从此走进深度人生 Deep net, deep life.

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  • Edward Gibbon《History of the Decline and Fall of the Roman Empire》VII-XI

    Chapter VII: Tyranny Of Maximin, Rebellion, Civil Wars, Death Of Maximin.

    Part I. The Elevation And Tyranny Of Maximin. — Rebellion In Africa And Italy, Under The Authority Of The Senate. — Civil Wars And Seditions. — Violent Deaths Of Maximin And His Son, Of Maximus And Balbinus, And Of The Three Gordians. — Usurpation And Secular Games Of Philip.

    Of the various forms of government which have prevailed in the world, an hereditary monarchy seems to present the fairest scope for ridicule. Is it possible to relate without an indignant smile, that, on the father’s decease, the property of a nation, like that of a drove of oxen, descends to his infant son, as yet unknown to mankind and to himself; and that the bravest warriors and the wisest statesmen, relinquishing their natural right to empire, approach the royal cradle with bended knees and protestations of inviolable fidelity? Satire and declamation may paint these obvious topics in the most dazzling colors, but our more serious thoughts will respect a useful prejudice, that establishes a rule of succession, independent of the passions of mankind; and we shall cheerfully acquiesce in any expedient which deprives the multitude of the dangerous, and indeed the ideal, power of giving themselves a master.

    In the cool shade of retirement, we may easily devise imaginary forms of government, in which the sceptre shall be constantly bestowed on the most worthy, by the free and incorrupt suffrage of the whole community. Experience overturns these airy fabrics, and teaches us, that in a large society, the election of a monarch can never devolve to the wisest, or to the most numerous part of the people. The army is the only order of men sufficiently united to concur in the same sentiments, and powerful enough to impose them on the rest of their fellow-citizens; but the temper of soldiers, habituated at once to violence and to slavery, renders them very unfit guardians of a legal, or even a civil constitution. Justice, humanity, or political wisdom, are qualities they are too little acquainted with in themselves, to appreciate them in others. Valor will acquire their esteem, and liberality will purchase their suffrage; but the first of these merits is often lodged in the most savage breasts; the latter can only exert itself at the expense of the public; and both may be turned against the possessor of the throne, by the ambition of a daring rival.

    The superior prerogative of birth, when it has obtained the sanction of time and popular opinion, is the plainest and least invidious of all distinctions among mankind. The acknowledged right extinguishes the hopes of faction, and the conscious security disarms the cruelty of the monarch. To the firm establishment of this idea we owe the peaceful succession and mild administration of European monarchies. To the defect of it we must attribute the frequent civil wars, through which an Asiatic despot is obliged to cut his way to the throne of his fathers. Yet, even in the East, the sphere of contention is usually limited to the princes of the reigning house, and as soon as the more fortunate competitor has removed his brethren by the sword and the bowstring, he no longer entertains any jealousy of his meaner subjects. But the Roman empire, after the authority of the senate had sunk into contempt, was a vast scene of confusion. The royal, and even noble, families of the provinces had long since been led in triumph before the car of the haughty republicans. The ancient families of Rome had successively fallen beneath the tyranny of the Cæsars; and whilst those princes were shackled by the forms of a commonwealth, and disappointed by the repeated failure of their posterity, it was impossible that any idea of hereditary succession should have taken root in the minds of their subjects. The right to the throne, which none could claim from birth, every one assumed from merit. The daring hopes of ambition were set loose from the salutary restraints of law and prejudice; and the meanest of mankind might, without folly, entertain a hope of being raised by valor and fortune to a rank in the army, in which a single crime would enable him to wrest the sceptre of the world from his feeble and unpopular master. After the murder of Alexander Severus, and the elevation of Maximin, no emperor could think himself safe upon the throne, and every barbarian peasant of the frontier might aspire to that august, but dangerous station.

    About thirty-two years before that event, the emperor Severus, returning from an eastern expedition, halted in Thrace, to celebrate, with military games, the birthday of his younger son, Geta. The country flocked in crowds to behold their sovereign, and a young barbarian of gigantic stature earnestly solicited, in his rude dialect, that he might be allowed to contend for the prize of wrestling. As the pride of discipline would have been disgraced in the overthrow of a Roman soldier by a Thracian peasant, he was matched with the stoutest followers of the camp, sixteen of whom he successively laid on the ground. His victory was rewarded by some trifling gifts, and a permission to enlist in the troops. The next day, the happy barbarian was distinguished above a crowd of recruits, dancing and exulting after the fashion of his country. As soon as he perceived that he had attracted the emperor’s notice, he instantly ran up to his horse, and followed him on foot, without the least appearance of fatigue, in a long and rapid career. “Thracian,” said Severus with astonishment, “art thou disposed to wrestle after thy race?” “Most willingly, sir,” replied the unwearied youth; and, almost in a breath, overthrew seven of the strongest soldiers in the army. A gold collar was the prize of his matchless vigor and activity, and he was immediately appointed to serve in the horseguards who always attended on the person of the sovereign.

    Maximin, for that was his name, though born on the territories of the empire, descended from a mixed race of barbarians. His father was a Goth, and his mother of the nation of the Alani. He displayed on every occasion a valor equal to his strength; and his native fierceness was soon tempered or disguised by the knowledge of the world. Under the reign of Severus and his son, he obtained the rank of centurion, with the favor and esteem of both those princes, the former of whom was an excellent judge of merit. Gratitude forbade Maximin to serve under the assassin of Caracalla. Honor taught him to decline the effeminate insults of Elagabalus. On the accession of Alexander he returned to court, and was placed by that prince in a station useful to the service, and honorable to himself. The fourth legion, to which he was appointed tribune, soon became, under his care, the best disciplined of the whole army. With the general applause of the soldiers, who bestowed on their favorite hero the names of Ajax and Hercules, he was successively promoted to the first military command; and had not he still retained too much of his savage origin, the emperor might perhaps have given his own sister in marriage to the son of Maximin.

    Instead of securing his fidelity, these favors served only to inflame the ambition of the Thracian peasant, who deemed his fortune inadequate to his merit, as long as he was constrained to acknowledge a superior. Though a stranger to real wisdom, he was not devoid of a selfish cunning, which showed him that the emperor had lost the affection of the army, and taught him to improve their discontent to his own advantage. It is easy for faction and calumny to shed their poison on the administration of the best of princes, and to accuse even their virtues by artfully confounding them with those vices to which they bear the nearest affinity. The troops listened with pleasure to the emissaries of Maximin. They blushed at their own ignominious patience, which, during thirteen years, had supported the vexatious discipline imposed by an effeminate Syrian, the timid slave of his mother and of the senate. It was time, they cried, to cast away that useless phantom of the civil power, and to elect for their prince and general a real soldier, educated in camps, exercised in war, who would assert the glory, and distribute among his companions the treasures, of the empire. A great army was at that time assembled on the banks of the Rhine, under the command of the emperor himself, who, almost immediately after his return from the Persian war, had been obliged to march against the barbarians of Germany. The important care of training and reviewing the new levies was intrusted to Maximin. One day, as he entered the field of exercise, the troops either from a sudden impulse, or a formed conspiracy, saluted him emperor, silenced by their loud acclamations his obstinate refusal, and hastened to consummate their rebellion by the murder of Alexander Severus.

    The circumstances of his death are variously related. The writers, who suppose that he died in ignorance of the ingratitude and ambition of Maximin, affirm, that, after taking a frugal repast in the sight of the army, he retired to sleep, and that, about the seventh hour of the day, a part of his own guards broke into the imperial tent, and, with many wounds, assassinated their virtuous and unsuspecting prince. If we credit another, and indeed a more probable account, Maximin was invested with the purple by a numerous detachment, at the distance of several miles from the head-quarters; and he trusted for success rather to the secret wishes than to the public declarations of the great army. Alexander had sufficient time to awaken a faint sense of loyalty among the troops; but their reluctant professions of fidelity quickly vanished on the appearance of Maximin, who declared himself the friend and advocate of the military order, and was unanimously acknowledged emperor of the Romans by the applauding legions. The son of Mamæa, betrayed and deserted, withdrew into his tent, desirous at least to conceal his approaching fate from the insults of the multitude. He was soon followed by a tribune and some centurions, the ministers of death; but instead of receiving with manly resolution the inevitable stroke, his unavailing cries and entreaties disgraced the last moments of his life, and converted into contempt some portion of the just pity which his innocence and misfortunes must inspire. His mother, Mamæa, whose pride and avarice he loudly accused as the cause of his ruin, perished with her son. The most faithful of his friends were sacrificed to the first fury of the soldiers. Others were reserved for the more deliberate cruelty of the usurper; and those who experienced the mildest treatment, were stripped of their employments, and ignominiously driven from the court and army.

    The former tyrants, Caligula and Nero, Commodus, and Caracalla, were all dissolute and unexperienced youths, educated in the purple, and corrupted by the pride of empire, the luxury of Rome, and the perfidious voice of flattery. The cruelty of Maximin was derived from a different source, the fear of contempt. Though he depended on the attachment of the soldiers, who loved him for virtues like their own, he was conscious that his mean and barbarian origin, his savage appearance, and his total ignorance of the arts and institutions of civil life, formed a very unfavorable contrast with the amiable manners of the unhappy Alexander. He remembered, that, in his humbler fortune, he had often waited before the door of the haughty nobles of Rome, and had been denied admittance by the insolence of their slaves. He recollected too the friendship of a few who had relieved his poverty, and assisted his rising hopes. But those who had spurned, and those who had protected, the Thracian, were guilty of the same crime, the knowledge of his original obscurity. For this crime many were put to death; and by the execution of several of his benefactors, Maximin published, in characters of blood, the indelible history of his baseness and ingratitude.

    The dark and sanguinary soul of the tyrant was open to every suspicion against those among his subjects who were the most distinguished by their birth or merit. Whenever he was alarmed with the sound of treason, his cruelty was unbounded and unrelenting. A conspiracy against his life was either discovered or imagined, and Magnus, a consular senator, was named as the principal author of it. Without a witness, without a trial, and without an opportunity of defence, Magnus, with four thousand of his supposed accomplices, was put to death. Italy and the whole empire were infested with innumerable spies and informers. On the slightest accusation, the first of the Roman nobles, who had governed provinces, commanded armies, and been adorned with the consular and triumphal ornaments, were chained on the public carriages, and hurried away to the emperor’s presence. Confiscation, exile, or simple death, were esteemed uncommon instances of his lenity. Some of the unfortunate sufferers he ordered to be sewed up in the hides of slaughtered animals, others to be exposed to wild beasts, others again to be beaten to death with clubs. During the three years of his reign, he disdained to visit either Rome or Italy. His camp, occasionally removed from the banks of the Rhine to those of the Danube, was the seat of his stern despotism, which trampled on every principle of law and justice, and was supported by the avowed power of the sword. No man of noble birth, elegant accomplishments, or knowledge of civil business, was suffered near his person; and the court of a Roman emperor revived the idea of those ancient chiefs of slaves and gladiators, whose savage power had left a deep impression of terror and detestation.

    As long as the cruelty of Maximin was confined to the illustrious senators, or even to the bold adventurers, who in the court or army expose themselves to the caprice of fortune, the body of the people viewed their sufferings with indifference, or perhaps with pleasure. But the tyrant’s avarice, stimulated by the insatiate desires of the soldiers, at length attacked the public property. Every city of the empire was possessed of an independent revenue, destined to purchase corn for the multitude, and to supply the expenses of the games and entertainments. By a single act of authority, the whole mass of wealth was at once confiscated for the use of the Imperial treasury. The temples were stripped of their most valuable offerings of gold and silver, and the statues of gods, heroes, and emperors, were melted down and coined into money. These impious orders could not be executed without tumults and massacres, as in many places the people chose rather to die in the defence of their altars, than to behold in the midst of peace their cities exposed to the rapine and cruelty of war. The soldiers themselves, among whom this sacrilegious plunder was distributed, received it with a blush; and hardened as they were in acts of violence, they dreaded the just reproaches of their friends and relations. Throughout the Roman world a general cry of indignation was heard, imploring vengeance on the common enemy of human kind; and at length, by an act of private oppression, a peaceful and unarmed province was driven into rebellion against him.

    The procurator of Africa was a servant worthy of such a master, who considered the fines and confiscations of the rich as one of the most fruitful branches of the Imperial revenue. An iniquitous sentence had been pronounced against some opulent youths of that country, the execution of which would have stripped them of far the greater part of their patrimony. In this extremity, a resolution that must either complete or prevent their ruin, was dictated by despair. A respite of three days, obtained with difficulty from the rapacious treasurer, was employed in collecting from their estates a great number of slaves and peasants blindly devoted to the commands of their lords, and armed with the rustic weapons of clubs and axes. The leaders of the conspiracy, as they were admitted to the audience of the procurator, stabbed him with the daggers concealed under their garments, and, by the assistance of their tumultuary train, seized on the little town of Thysdrus, and erected the standard of rebellion against the sovereign of the Roman empire. They rested their hopes on the hatred of mankind against Maximin, and they judiciously resolved to oppose to that detested tyrant an emperor whose mild virtues had already acquired the love and esteem of the Romans, and whose authority over the province would give weight and stability to the enterprise. Gordianus, their proconsul, and the object of their choice, refused, with unfeigned reluctance, the dangerous honor, and begged with tears, that they would suffer him to terminate in peace a long and innocent life, without staining his feeble age with civil blood. Their menaces compelled him to accept the Imperial purple, his only refuge, indeed, against the jealous cruelty of Maximin; since, according to the reasoning of tyrants, those who have been esteemed worthy of the throne deserve death, and those who deliberate have already rebelled.

    The family of Gordianus was one of the most illustrious of the Roman senate. On the father’s side he was descended from the Gracchi; on his mother’s, from the emperor Trajan. A great estate enabled him to support the dignity of his birth, and in the enjoyment of it, he displayed an elegant taste and beneficent disposition. The palace in Rome, formerly inhabited by the great Pompey, had been, during several generations, in the possession of Gordian’s family. It was distinguished by ancient trophies of naval victories, and decorated with the works of modern painting. His villa on the road to Præneste was celebrated for baths of singular beauty and extent, for three stately rooms of a hundred feet in length, and for a magnificent portico, supported by two hundred columns of the four most curious and costly sorts of marble. The public shows exhibited at his expense, and in which the people were entertained with many hundreds of wild beasts and gladiators, seem to surpass the fortune of a subject; and whilst the liberality of other magistrates was confined to a few solemn festivals at Rome, the magnificence of Gordian was repeated, when he was ædile, every month in the year, and extended, during his consulship, to the principal cities of Italy. He was twice elevated to the last-mentioned dignity, by Caracalla and by Alexander; for he possessed the uncommon talent of acquiring the esteem of virtuous princes, without alarming the jealousy of tyrants. His long life was innocently spent in the study of letters and the peaceful honors of Rome; and, till he was named proconsul of Africa by the voice of the senate and the approbation of Alexander, he appears prudently to have declined the command of armies and the government of provinces. * As long as that emperor lived, Africa was happy under the administration of his worthy representative: after the barbarous Maximin had usurped the throne, Gordianus alleviated the miseries which he was unable to prevent. When he reluctantly accepted the purple, he was above fourscore years old; a last and valuable remains of the happy age of the Antonines, whose virtues he revived in his own conduct, and celebrated in an elegant poem of thirty books. With the venerable proconsul, his son, who had accompanied him into Africa as his lieutenant, was likewise declared emperor. His manners were less pure, but his character was equally amiable with that of his father. Twenty-two acknowledged concubines, and a library of sixty-two thousand volumes, attested the variety of his inclinations; and from the productions which he left behind him, it appears that the former as well as the latter were designed for use rather than for ostentation. The Roman people acknowledged in the features of the younger Gordian the resemblance of Scipio Africanus, recollected with pleasure that his mother was the granddaughter of Antoninus Pius, and rested the public hope on those latent virtues which had hitherto, as they fondly imagined, lain concealed in the luxurious indolence of private life.

    As soon as the Gordians had appeased the first tumult of a popular election, they removed their court to Carthage. They were received with the acclamations of the Africans, who honored their virtues, and who, since the visit of Hadrian, had never beheld the majesty of a Roman emperor. But these vain acclamations neither strengthened nor confirmed the title of the Gordians. They were induced by principle, as well as interest, to solicit the approbation of the senate; and a deputation of the noblest provincials was sent, without delay, to Rome, to relate and justify the conduct of their countrymen, who, having long suffered with patience, were at length resolved to act with vigor. The letters of the new princes were modest and respectful, excusing the necessity which had obliged them to accept the Imperial title; but submitting their election and their fate to the supreme judgment of the senate.

    The inclinations of the senate were neither doubtful nor divided. The birth and noble alliances of the Gordians had intimately connected them with the most illustrious houses of Rome. Their fortune had created many dependants in that assembly, their merit had acquired many friends. Their mild administration opened the flattering prospect of the restoration, not only of the civil but even of the republican government. The terror of military violence, which had first obliged the senate to forget the murder of Alexander, and to ratify the election of a barbarian peasant, now produced a contrary effect, and provoked them to assert the injured rights of freedom and humanity. The hatred of Maximin towards the senate was declared and implacable; the tamest submission had not appeased his fury, the most cautious innocence would not remove his suspicions; and even the care of their own safety urged them to share the fortune of an enterprise, of which (if unsuccessful) they were sure to be the first victims. These considerations, and perhaps others of a more private nature, were debated in a previous conference of the consuls and the magistrates. As soon as their resolution was decided, they convoked in the temple of Castor the whole body of the senate, according to an ancient form of secrecy, calculated to awaken their attention, and to conceal their decrees. “Conscript fathers,” said the consul Syllanus, “the two Gordians, both of consular dignity, the one your proconsul, the other your lieutenant, have been declared emperors by the general consent of Africa. Let us return thanks,” he boldly continued, “to the youth of Thysdrus; let us return thanks to the faithful people of Carthage, our generous deliverers from a horrid monster — Why do you hear me thus coolly, thus timidly? Why do you cast those anxious looks on each other? Why hesitate? Maximin is a public enemy! may his enmity soon expire with him, and may we long enjoy the prudence and felicity of Gordian the father, the valor and constancy of Gordian the son!” The noble ardor of the consul revived the languid spirit of the senate. By a unanimous decree, the election of the Gordians was ratified, Maximin, his son, and his adherents, were pronounced enemies of their country, and liberal rewards were offered to whomsoever had the courage and good fortune to destroy them.

    [See Temple Of Castor and Pollux]

    During the emperor’s absence, a detachment of the Prætorian guards remained at Rome, to protect, or rather to command, the capital. The præfect Vitalianus had signalized his fidelity to Maximin, by the alacrity with which he had obeyed, and even prevented the cruel mandates of the tyrant. His death alone could rescue the authority of the senate, and the lives of the senators from a state of danger and suspense. Before their resolves had transpired, a quæstor and some tribunes were commissioned to take his devoted life. They executed the order with equal boldness and success; and, with their bloody daggers in their hands, ran through the streets, proclaiming to the people and the soldiers the news of the happy revolution. The enthusiasm of liberty was seconded by the promise of a large donative, in lands and money; the statues of Maximin were thrown down; the capital of the empire acknowledged, with transport, the authority of the two Gordians and the senate; and the example of Rome was followed by the rest of Italy.

    A new spirit had arisen in that assembly, whose long patience had been insulted by wanton despotism and military license. The senate assumed the reins of government, and, with a calm intrepidity, prepared to vindicate by arms the cause of freedom. Among the consular senators recommended by their merit and services to the favor of the emperor Alexander, it was easy to select twenty, not unequal to the command of an army, and the conduct of a war. To these was the defence of Italy intrusted. Each was appointed to act in his respective department, authorized to enroll and discipline the Italian youth; and instructed to fortify the ports and highways, against the impending invasion of Maximin. A number of deputies, chosen from the most illustrious of the senatorian and equestrian orders, were despatched at the same time to the governors of the several provinces, earnestly conjuring them to fly to the assistance of their country, and to remind the nations of their ancient ties of friendship with the Roman senate and people. The general respect with which these deputies were received, and the zeal of Italy and the provinces in favor of the senate, sufficiently prove that the subjects of Maximin were reduced to that uncommon distress, in which the body of the people has more to fear from oppression than from resistance. The consciousness of that melancholy truth, inspires a degree of persevering fury, seldom to be found in those civil wars which are artificially supported for the benefit of a few factious and designing leaders.

    For while the cause of the Gordians was embraced with such diffusive ardor, the Gordians themselves were no more. The feeble court of Carthage was alarmed by the rapid approach of Capelianus, governor of Mauritania, who, with a small band of veterans, and a fierce host of barbarians, attacked a faithful, but unwarlike province. The younger Gordian sallied out to meet the enemy at the head of a few guards, and a numerous undisciplined multitude, educated in the peaceful luxury of Carthage. His useless valor served only to procure him an honorable death on the field of battle. His aged father, whose reign had not exceeded thirty-six days, put an end to his life on the first news of the defeat. Carthage, destitute of defence, opened her gates to the conqueror, and Africa was exposed to the rapacious cruelty of a slave, obliged to satisfy his unrelenting master with a large account of blood and treasure.

    The fate of the Gordians filled Rome with just but unexpected terror. The senate, convoked in the temple of Concord, affected to transact the common business of the day; and seemed to decline, with trembling anxiety, the consideration of their own and the public danger. A silent consternation prevailed in the assembly, till a senator, of the name and family of Trajan, awakened his brethren from their fatal lethargy. He represented to them that the choice of cautious, dilatory measures had been long since out of their power; that Maximin, implacable by nature, and exasperated by injuries, was advancing towards Italy, at the head of the military force of the empire; and that their only remaining alternative was either to meet him bravely in the field, or tamely to expect the tortures and ignominious death reserved for unsuccessful rebellion. “We have lost,” continued he, “two excellent princes; but unless we desert ourselves, the hopes of the republic have not perished with the Gordians. Many are the senators whose virtues have deserved, and whose abilities would sustain, the Imperial dignity. Let us elect two emperors, one of whom may conduct the war against the public enemy, whilst his colleague remains at Rome to direct the civil administration. I cheerfully expose myself to the danger and envy of the nomination, and give my vote in favor of Maximus and Balbinus. Ratify my choice, conscript fathers, or appoint in their place, others more worthy of the empire.” The general apprehension silenced the whispers of jealousy; the merit of the candidates was universally acknowledged; and the house resounded with the sincere acclamations of “Long life and victory to the emperors Maximus and Balbinus. You are happy in the judgment of the senate; may the republic be happy under your administration!”

    Chapter VII: Tyranny Of Maximin, Rebellion, Civil Wars, Death Of Maximin.

    Part II.

    The virtues and the reputation of the new emperors justified the most sanguine hopes of the Romans. The various nature of their talents seemed to appropriate to each his peculiar department of peace and war, without leaving room for jealous emulation. Balbinus was an admired orator, a poet of distinguished fame, and a wise magistrate, who had exercised with innocence and applause the civil jurisdiction in almost all the interior provinces of the empire. His birth was noble, his fortune affluent, his manners liberal and affable. In him the love of pleasure was corrected by a sense of dignity, nor had the habits of ease deprived him of a capacity for business. The mind of Maximus was formed in a rougher mould. By his valor and abilities he had raised himself from the meanest origin to the first employments of the state and army. His victories over the Sarmatians and the Germans, the austerity of his life, and the rigid impartiality of his justice, while he was a Præfect of the city, commanded the esteem of a people whose affections were engaged in favor of the more amiable Balbinus. The two colleagues had both been consuls, (Balbinus had twice enjoyed that honorable office,) both had been named among the twenty lieutenants of the senate; and since the one was sixty and the other seventy-four years old, they had both attained the full maturity of age and experience.

    After the senate had conferred on Maximus and Balbinus an equal portion of the consular and tribunitian powers, the title of Fathers of their country, and the joint office of Supreme Pontiff, they ascended to the Capitol to return thanks to the gods, protectors of Rome. The solemn rites of sacrifice were disturbed by a sedition of the people. The licentious multitude neither loved the rigid Maximus, nor did they sufficiently fear the mild and humane Balbinus. Their increasing numbers surrounded the temple of Jupiter; with obstinate clamors they asserted their inherent right of consenting to the election of their sovereign; and demanded, with an apparent moderation, that, besides the two emperors, chosen by the senate, a third should be added of the family of the Gordians, as a just return

    of gratitude to those princes who had sacrificed their lives for the republic. At the head of the city-guards, and the youth of the equestrian order, Maximus and Balbinus attempted to cut their way through the seditious multitude. The multitude, armed with sticks and stones, drove them back into the Capitol. It is prudent to yield when the contest, whatever may be the issue of it, must be fatal to both parties. A boy, only thirteen years of age, the grandson of the elder, and nephew * of the younger Gordian, was produced to the people, invested with the ornaments and title of Cæsar. The tumult was appeased by this easy condescension; and the two emperors, as soon as they had been peaceably acknowledged in Rome, prepared to defend Italy against the common enemy.

    Whilst in Rome and Africa, revolutions succeeded each other with such amazing rapidity, that the mind of Maximin was agitated by the most furious passions. He is said to have received the news of the rebellion of the Gordians, and of the decree of the senate against him, not with the temper of a man, but the rage of a wild beast; which, as it could not discharge itself on the distant senate, threatened the life of his son, of his friends, and of all who ventured to approach his person. The grateful intelligence of the death of the Gordians was quickly followed by the assurance that the senate, laying aside all hopes of pardon or accommodation, had substituted in their room two emperors, with whose merit he could not be unacquainted. Revenge was the only consolation left to Maximin, and revenge could only be obtained by arms. The strength of the legions had been assembled by Alexander from all parts of the empire. Three successful campaigns against the Germans and the Sarmatians, had raised their fame, confirmed their discipline, and even increased their numbers, by filling the ranks with the flower of the barbarian youth. The life of Maximin had been spent in war, and the candid severity of history cannot refuse him the valor of a soldier, or even the abilities of an experienced general. It might naturally be expected, that a prince of such a character, instead of suffering the rebellion to gain stability by delay, should

    immediately have marched from the banks of the Danube to those of the Tyber, and that his victorious army, instigated by contempt for the senate, and eager to gather the spoils of Italy, should have burned with impatience to finish the easy and lucrative conquest. Yet as far as we can trust to the obscure chronology of that period, it appears that the operations of some foreign war deferred the Italian expedition till the ensuing spring. From the prudent conduct of Maximin, we may learn that the savage features of his character have been exaggerated by the pencil of party, that his passions, however impetuous, submitted to the force of reason, and that the barbarian possessed something of the generous spirit of Sylla, who subdued the enemies of Rome before he suffered himself to revenge his private injuries.

    When the troops of Maximin, advancing in excellent order, arrived at the foot of the Julian Alps, they were terrified by the silence and desolation that reigned on the frontiers of Italy. The villages and open towns had been abandoned on their approach by the inhabitants, the cattle was driven away, the provisions removed or destroyed, the bridges broken down, nor was any thing left which could afford either shelter or subsistence to an invader. Such had been the wise orders of the generals of the senate: whose design was to protract the war, to ruin the army of Maximin by the slow operation of famine, and to consume his strength in the sieges of the principal cities of Italy, which they had plentifully stored with men and provisions from the deserted country. Aquileia received and withstood the first shock of the invasion. The streams that issue from the head of the Hadriatic Gulf, swelled by the melting of the winter snows, opposed an unexpected obstacle to the arms of Maximin. At length, on a singular bridge, constructed with art and difficulty, of large hogsheads, he transported his army to the opposite bank, rooted up the beautiful vineyards in the neighborhood of Aquileia, demolished the suburbs, and employed the timber of the buildings in the engines and towers, with which on every side he attacked the city. The walls, fallen to decay during the

    security of a long peace, had been hastily repaired on this sudden emergency: but the firmest defence of Aquileia consisted in the constancy of the citizens; all ranks of whom, instead of being dismayed, were animated by the extreme danger, and their knowledge of the tyrant’s unrelenting temper. Their courage was supported and directed by Crispinus and Menophilus, two of the twenty lieutenants of the senate, who, with a small body of regular troops, had thrown themselves into the besieged place. The army of Maximin was repulsed in repeated attacks, his machines destroyed by showers of artificial fire; and the generous enthusiasm of the Aquileians was exalted into a confidence of success, by the opinion that Belenus, their tutelar deity, combated in person in the defence of his distressed worshippers.

    The emperor Maximus, who had advanced as far as Ravenna, to secure that important place, and to hasten the military preparations, beheld the event of the war in the more faithful mirror of reason and policy. He was too sensible, that a single town could not resist the persevering efforts of a great army; and he dreaded, lest the enemy, tired with the obstinate resistance of Aquileia, should on a sudden relinquish the fruitless siege, and march directly towards Rome. The fate of the empire and the cause of freedom must then be committed to the chance of a battle; and what arms could he oppose to the veteran legions of the Rhine and Danube? Some troops newly levied among the generous but enervated youth of Italy; and a body of German auxiliaries, on whose firmness, in the hour of trial, it was dangerous to depend. In the midst of these just alarms, the stroke of domestic conspiracy punished the crimes of Maximin, and delivered Rome and the senate from the calamities that would surely have attended the victory of an enraged barbarian.

    The people of Aquileia had scarcely experienced any of the common miseries of a siege; their magazines were plentifully supplied, and several fountains within the walls assured them

    of an inexhaustible resource of fresh water. The soldiers of Maximin were, on the contrary, exposed to the inclemency of the season, the contagion of disease, and the horrors of famine. The open country was ruined, the rivers filled with the slain, and polluted with blood. A spirit of despair and disaffection began to diffuse itself among the troops; and as they were cut off from all intelligence, they easily believed that the whole empire had embraced the cause of the senate, and that they were left as devoted victims to perish under the impregnable walls of Aquileia. The fierce temper of the tyrant was exasperated by disappointments, which he imputed to the cowardice of his army; and his wanton and ill-timed cruelty, instead of striking terror, inspired hatred, and a just desire of revenge. A party of Prætorian guards, who trembled for their wives and children in the camp of Alba, near Rome, executed the sentence of the senate. Maximin, abandoned by his guards, was slain in his tent, with his son, (whom he had associated to the honors of the purple,) Anulinus the præfect, and the principal ministers of his tyranny. The sight of their heads, borne on the point of spears, convinced the citizens of Aquileia that the siege was at an end; the gates of the city were thrown open, a liberal market was provided for the hungry troops of Maximin, and the whole army joined in solemn protestations of fidelity to the senate and the people of Rome, and to their lawful emperors Maximus and Balbinus. Such was the deserved fate of a brutal savage, destitute, as he has generally been represented, of every sentiment that distinguishes a civilized, or even a human being. The body was suited to the soul. The stature of Maximin exceeded the measure of eight feet, and circumstances almost incredible are related of his matchless strength and appetite. Had he lived in a less enlightened age, tradition and poetry might well have described him as one of those monstrous giants, whose supernatural power was constantly exerted for the destruction of mankind.

    It is easier to conceive than to describe the universal joy of the Roman world on the fall of the tyrant, the news of which is

    said to have been carried in four days from Aquileia to Rome. The return of Maximus was a triumphal procession; his colleague and young Gordian went out to meet him, and the three princes made their entry into the capital, attended by the ambassadors of almost all the cities of Italy, saluted with the splendid offerings of gratitude and superstition, and received with the unfeigned acclamations of the senate and people, who persuaded themselves that a golden age would succeed to an age of iron. The conduct of the two emperors corresponded with these expectations. They administered justice in person; and the rigor of the one was tempered by the other’s clemency. The oppressive taxes with which Maximin had loaded the rights of inheritance and succession, were repealed, or at least moderated. Discipline was revived, and with the advice of the senate many wise laws were enacted by their imperial ministers, who endeavored to restore a civil constitution on the ruins of military tyranny. “What reward may we expect for delivering Rome from a monster?” was the question asked by Maximus, in a moment of freedom and confidence. Balbinus answered it without hesitation — “The love of the senate, of the people, and of all mankind.” “Alas!” replied his more penetrating colleague — “alas! I dread the hatred of the soldiers, and the fatal effects of their resentment.” His apprehensions were but too well justified by the event.

    Whilst Maximus was preparing to defend Italy against the common foe, Balbinus, who remained at Rome, had been engaged in scenes of blood and intestine discord. Distrust and jealousy reigned in the senate; and even in the temples where they assembled, every senator carried either open or concealed arms. In the midst of their deliberations, two veterans of the guards, actuated either by curiosity or a sinister motive, audaciously thrust themselves into the house, and advanced by degrees beyond the altar of Victory. Gallicanus, a consular, and Mæcenas, a Prætorian senator, viewed with indignation their insolent intrusion: drawing their daggers, they laid the spies (for such they deemed them) dead at the foot of the altar,

    and then, advancing to the door of the senate, imprudently exhorted the multitude to massacre the Prætorians, as the secret adherents of the tyrant. Those who escaped the first fury of the tumult took refuge in the camp, which they defended with superior advantage against the reiterated attacks of the people, assisted by the numerous bands of gladiators, the property of opulent nobles. The civil war lasted many days, with infinite loss and confusion on both sides. When the pipes were broken that supplied the camp with water, the Prætorians were reduced to intolerable distress; but in their turn they made desperate sallies into the city, set fire to a great number of houses, and filled the streets with the blood of the inhabitants. The emperor Balbinus attempted, by ineffectual edicts and precarious truces, to reconcile the factions at Rome. But their animosity, though smothered for a while, burnt with redoubled violence. The soldiers, detesting the senate and the people, despised the weakness of a prince, who wanted either the spirit or the power to command the obedience of his subjects.

    After the tyrant’s death, his formidable army had acknowledged, from necessity rather than from choice, the authority of Maximus, who transported himself without delay to the camp before Aquileia. As soon as he had received their oath of fidelity, he addressed them in terms full of mildness and moderation; lamented, rather than arraigned the wild disorders of the times, and assured the soldiers, that of all their past conduct the senate would remember only their generous desertion of the tyrant, and their voluntary return to their duty. Maximus enforced his exhortations by a liberal donative, purified the camp by a solemn sacrifice of expiation, and then dismissed the legions to their several provinces, impressed, as he hoped, with a lively sense of gratitude and obedience. But nothing could reconcile the haughty spirit of the Prætorians. They attended the emperors on the memorable day of their public entry into Rome; but amidst the general acclamations, the sullen, dejected countenance of the guards sufficiently declared that they considered themselves as the

    object, rather than the partners, of the triumph. When the whole body was united in their camp, those who had served under Maximin, and those who had remained at Rome, insensibly communicated to each other their complaints and apprehensions. The emperors chosen by the army had perished with ignominy; those elected by the senate were seated on the throne. The long discord between the civil and military powers was decided by a war, in which the former had obtained a complete victory. The soldiers must now learn a new doctrine of submission to the senate; and whatever clemency was affected by that politic assembly, they dreaded a slow revenge, colored by the name of discipline, and justified by fair pretences of the public good. But their fate was still in their own hands; and if they had courage to despise the vain terrors of an impotent republic, it was easy to convince the world, that those who were masters of the arms, were masters of the authority, of the state.

    When the senate elected two princes, it is probable that, besides the declared reason of providing for the various emergencies of peace and war, they were actuated by the secret desire of weakening by division the despotism of the supreme magistrate. Their policy was effectual, but it proved fatal both to their emperors and to themselves. The jealousy of power was soon exasperated by the difference of character. Maximus despised Balbinus as a luxurious noble, and was in his turn disdained by his colleague as an obscure soldier. Their silent discord was understood rather than seen; but the mutual consciousness prevented them from uniting in any vigorous measures of defence against their common enemies of the Prætorian camp. The whole city was employed in the Capitoline games, and the emperors were left almost alone in the palace. On a sudden, they were alarmed by the approach of a troop of desperate assassins. Ignorant of each other’s situation or designs, (for they already occupied very distant apartments,) afraid to give or to receive assistance, they wasted the important moments in idle debates and fruitless recriminations. The arrival of the guards put an end to the

    vain strife. They seized on these emperors of the senate, for such they called them with malicious contempt, stripped them of their garments, and dragged them in insolent triumph through the streets of Rome, with the design of inflicting a slow and cruel death on these unfortunate princes. The fear of a rescue from the faithful Germans of the Imperial guards, shortened their tortures; and their bodies, mangled with a thousand wounds, were left exposed to the insults or to the pity of the populace.

    In the space of a few months, six princes had been cut off by the sword. Gordian, who had already received the title of Cæsar, was the only person that occurred to the soldiers as proper to fill the vacant throne. They carried him to the camp, and unanimously saluted him Augustus and Emperor. His name was dear to the senate and people; his tender age promised a long impunity of military license; and the submission of Rome and the provinces to the choice of the Prætorian guards, saved the republic, at the expense indeed of its freedom and dignity, from the horrors of a new civil war in the heart of the capital.

    As the third Gordian was only nineteen years of age at the time of his death, the history of his life, were it known to us with greater accuracy than it really is, would contain little more than the account of his education, and the conduct of the ministers, who by turns abused or guided the simplicity of his unexperienced youth. Immediately after his accession, he fell into the hands of his mother’s eunuchs, that pernicious vermin of the East, who, since the days of Elagabalus, had infested the Roman palace. By the artful conspiracy of these wretches, an impenetrable veil was drawn between an innocent prince and his oppressed subjects, the virtuous disposition of Gordian was deceived, and the honors of the empire sold without his knowledge, though in a very public manner, to the most worthless of mankind. We are ignorant by what fortunate accident the emperor escaped from this ignominious slavery, and devolved his confidence on a

    minister, whose wise counsels had no object except the glory of his sovereign and the happiness of the people. It should seem that love and learning introduced Misitheus to the favor of Gordian. The young prince married the daughter of his master of rhetoric, and promoted his father-in-law to the first offices of the empire. Two admirable letters that passed between them are still extant. The minister, with the conscious dignity of virtue, congratulates Gordian that he is delivered from the tyranny of the eunuchs, and still more that he is sensible of his deliverance. The emperor acknowledges, with an amiable confusion, the errors of his past conduct; and laments, with singular propriety, the misfortune of a monarch, from whom a venal tribe of courtiers perpetually labor to conceal the truth.

    The life of Misitheus had been spent in the profession of letters, not of arms; yet such was the versatile genius of that great man, that, when he was appointed Prætorian Præfect, he discharged the military duties of his place with vigor and ability. The Persians had invaded Mesopotamia, and threatened Antioch. By the persuasion of his father-in-law, the young emperor quitted the luxury of Rome, opened, for the last time recorded in history, the temple of Janus, and marched in person into the East. On his approach, with a great army, the Persians withdrew their garrisons from the cities which they had already taken, and retired from the Euphrates to the Tigris. Gordian enjoyed the pleasure of announcing to the senate the first success of his arms, which he ascribed, with a becoming modesty and gratitude, to the wisdom of his father and Præfect. During the whole expedition, Misitheus watched over the safety and discipline of the army; whilst he prevented their dangerous murmurs by maintaining a regular plenty in the camp, and by establishing ample magazines of vinegar, bacon, straw, barley, and wheat in all the cities of the frontier. But the prosperity of Gordian expired with Misitheus, who died of a flux, not with out very strong suspicions of poison. Philip, his successor in the præfecture, was an Arab by birth, and consequently, in the

    earlier part of his life, a robber by profession. His rise from so obscure a station to the first dignities of the empire, seems to prove that he was a bold and able leader. But his boldness prompted him to aspire to the throne, and his abilities were employed to supplant, not to serve, his indulgent master. The minds of the soldiers were irritated by an artificial scarcity, created by his contrivance in the camp; and the distress of the army was attributed to the youth and incapacity of the prince. It is not in our power to trace the successive steps of the secret conspiracy and open sedition, which were at length fatal to Gordian. A sepulchral monument was erected to his memory on the spot where he was killed, near the conflux of the Euphrates with the little river Aboras. The fortunate Philip, raised to the empire by the votes of the soldiers, found a ready obedience from the senate and the provinces.

    We cannot forbear transcribing the ingenious, though somewhat fanciful description, which a celebrated writer of our own times has traced of the military government of the Roman empire. “What in that age was called the Roman empire, was only an irregular republic, not unlike the aristocracy of Algiers, where the militia, possessed of the sovereignty, creates and deposes a magistrate, who is styled a Dey. Perhaps, indeed, it may be laid down as a general rule, that a military government is, in some respects, more republican than monarchical. Nor can it be said that the soldiers only partook of the government by their disobedience and rebellions. The speeches made to them by the emperors, were they not at length of the same nature as those formerly pronounced to the people by the consuls and the tribunes? And although the armies had no regular place or forms of assembly; though their debates were short, their action sudden, and their resolves seldom the result of cool reflection, did they not dispose, with absolute sway, of the public fortune? What was the emperor, except the minister of a violent government, elected for the private benefit of the soldiers?

    “When the army had elected Philip, who was Prætorian præfect to the third Gordian, the latter demanded that he might remain sole emperor; he was unable to obtain it. He requested that the power might be equally divided between them; the army would not listen to his speech. He consented to be degraded to the rank of Cæsar; the favor was refused him. He desired, at least, he might be appointed Prætorian præfect; his prayer was rejected. Finally, he pleaded for his life. The army, in these several judgments, exercised the supreme magistracy.” According to the historian, whose doubtful narrative the President De Montesquieu has adopted, Philip, who, during the whole transaction, had preserved a sullen silence, was inclined to spare the innocent life of his benefactor; till, recollecting that his innocence might excite a dangerous compassion in the Roman world, he commanded, without regard to his suppliant cries, that he should be seized, stripped, and led away to instant death. After a moment’s pause, the inhuman sentence was executed.

    Chapter VII: Tyranny Of Maximin, Rebellion, Civil Wars, Death Of Maximin. —

    Part III.

    On his return from the East to Rome, Philip, desirous of obliterating the memory of his crimes, and of captivating the affections of the people, solemnized the secular games with infinite pomp and magnificence. Since their institution or revival by Augustus, they had been celebrated by Claudius, by Domitian, and by Severus, and were now renewed the fifth time, on the accomplishment of the full period of a thousand years from the foundation of Rome. Every circumstance of the secular games was skillfully adapted to inspire the superstitious mind with deep and solemn reverence. The long interval between them exceeded the term of human life; and as none of the spectators had already seen them, none could flatter themselves with the expectation of beholding them a

    second time. The mystic sacrifices were performed, during three nights, on the banks of the Tyber; and the Campus Martius resounded with music and dances, and was illuminated with innumerable lamps and torches. Slaves and strangers were excluded from any participation in these national ceremonies. A chorus of twenty-seven youths, and as many virgins, of noble families, and whose parents were both alive, implored the propitious gods in favor of the present, and for the hope of the rising generation; requesting, in religious hymns, that according to the faith of their ancient oracles, they would still maintain the virtue, the felicity, and the empire of the Roman people. The magnificence of Philip’s shows and entertainments dazzled the eyes of the multitude. The devout were employed in the rites of superstition, whilst the reflecting few revolved in their anxious minds the past history and the future fate of the empire.

    Since Romulus, with a small band of shepherds and outlaws, fortified himself on the hills near the Tyber, ten centuries had already elapsed. During the four first ages, the Romans, in the laborious school of poverty, had acquired the virtues of war and government: by the vigorous exertion of those virtues, and by the assistance of fortune, they had obtained, in the course of the three succeeding centuries, an absolute empire over many countries of Europe, Asia, and Africa. The last three hundred years had been consumed in apparent prosperity and internal decline. The nation of soldiers, magistrates, and legislators, who composed the thirty-five tribes of the Roman people, were dissolved into the common mass of mankind, and confounded with the millions of servile provincials, who had received the name, without adopting the spirit, of Romans. A mercenary army, levied among the subjects and barbarians of the frontier, was the only order of men who preserved and abused their independence. By their tumultuary election, a Syrian, a Goth, or an Arab, was exalted to the throne of Rome, and invested with despotic power over the conquests and over the country of the Scipios.

    The limits of the Roman empire still extended from the Western Ocean to the Tigris, and from Mount Atlas to the Rhine and the Danube. To the undiscerning eye of the vulgar, Philip appeared a monarch no less powerful than Hadrian or Augustus had formerly been. The form was still the same, but the animating health and vigor were fled. The industry of the people was discouraged and exhausted by a long series of oppression. The discipline of the legions, which alone, after the extinction of every other virtue, had propped the greatness of the state, was corrupted by the ambition, or relaxed by the weakness, of the emperors. The strength of the frontiers, which had always consisted in arms rather than in fortifications, was insensibly undermined; and the fairest provinces were left exposed to the rapaciousness or ambition of the barbarians, who soon discovered the decline of the Roman empire.

    Chapter VIII:

    State Of Persion And Restoration Of The Monarchy.

    Part I.

    Of The State Of Persia After The Restoration Of The Monarchy By Artaxerxes.

    Whenever Tacitus indulges himself in those beautiful episodes, in which he relates some domestic transaction of the Germans or of the

    Parthians, his principal object is to relieve the attention of the reader from a uniform scene of vice and misery. From the reign of Augustus to the time of Alexander Severus, the enemies of Rome were in her bosom — the tyrants and the soldiers; and her prosperity had a very distant and feeble interest in the revolutions that might happen beyond the Rhine and the Euphrates. But when the military order had levelled, in wild anarchy, the power of the prince, the laws of the senate, and even the discipline of the camp, the barbarians of the North and of the East, who had long hovered on the frontier, boldly attacked the provinces of a declining monarchy. Their vexatious inroads were changed into formidable irruptions, and, after a long vicissitude of mutual calamities, many tribes of the victorious invaders established themselves in the provinces of the Roman Empire. To obtain a clearer knowledge of these great events, we shall endeavor to form a previous idea of the character, forces, and designs of

    those nations who avenged the cause of Hannibal and Mithridates.

    In the more early ages of the world, whilst the forest that covered Europe afforded a retreat to a few wandering savages, the inhabitants of Asia were already collected into populous cities, and reduced under extensive empires, the seat of the arts, of luxury, and of despotism. The Assyrians reigned over the East, till the sceptre of Ninus and Semiramis dropped from the hands of their enervated successors. The Medes and the Babylonians divided their power, and were themselves swallowed up in the monarchy of the Persians, whose arms could not be confined within the narrow limits of Asia. Followed, as it is said, by two millions of men, Xerxes, the descendant of Cyrus, invaded Greece. Thirty thousand soldiers, under the command of Alexander, the son of Philip, who was intrusted by the Greeks with their glory and revenge, were sufficient to subdue Persia. The princes of the house of Seleucus usurped and lost the Macedonian command over the East. About the same time, that, by an ignominious treaty, they resigned to the Romans the country on this side Mount Tarus, they were driven by the

    Parthians, * an obscure horde of Scythian origin, from all the provinces of Upper Asia. The formidable power of the

    Parthians, which spread from India to the frontiers of Syria, was in its turn subverted by Ardshir, or Artaxerxes; the founder of a new dynasty, which, under the name of Sassanides, governed Persia till the invasion of the Arabs. This great revolution, whose fatal influence was soon experienced by the Romans, happened in the fourth year of Alexander Severus, two hundred and twenty-six years after the Christian era.

    Artaxerxes had served with great reputation in the armies of Artaban, the last king of the

    Parthians, and it appears that he was driven into exile and rebellion by royal ingratitude, the customary reward for superior merit. His birth was obscure, and the obscurity equally gave room to the aspersions of his enemies, and the flattery of his adherents. If we credit the scandal of the former, Artaxerxes sprang from the illegitimate commerce of a tanner’s wife with a common soldier. The latter represent him as descended from a branch of the ancient kings of Persian, though time and misfortune had gradually reduced his ancestors to the humble station of private citizens. As the lineal heir of the monarchy, he asserted his right to the throne, and challenged the noble task of delivering the Persians from the oppression under which they groaned above five centuries since the death of Darius. The

    Parthians were defeated in three great battles. * In the last of these their king Artaban was slain, and the spirit of the nation was forever broken. The authority of Artaxerxes was solemnly acknowledged in a great assembly held at Balch in Khorasan. Two younger branches of the royal house of Arsaces were confounded among the prostrate satraps. A third, more mindful of ancient grandeur than of present necessity, attempted to retire, with a numerous train of vessels, towards their kinsman, the king of Armenia; but this little army of deserters was intercepted, and cut off, by the vigilance of the conqueror, who boldly assumed the double diadem, and the title of King of Kings, which had been enjoyed by his predecessor. But these pompous titles, instead of gratifying the vanity of the Persian, served only to admonish him of his duty, and to inflame in his soul and should the ambition of restoring in their full splendor, the religion and empire of Cyrus.

    1. During the long servitude of Persia under the Macedonian and the

    Parthian yoke, the nations of Europe and Asia had mutually adopted and corrupted each other’s superstitions. The Arsacides, indeed, practised the worship of the Magi; but they

    disgraced and polluted it with a various mixture of foreign idolatry. * The memory of Zoroaster, the ancient prophet and philosopher of the Persians, was still revered in the East; but the obsolete and mysterious language, in which the Zendavesta was composed, opened a field of dispute to seventy sects, who variously explained the fundamental doctrines of their religion, and were all indifferently derided by a crowd of infidels, who rejected the divine mission and miracles of the prophet. To suppress the idolaters, reunite the schismatics, and confute the unbelievers, by the infallible decision of a general council, the pious Artaxerxes summoned the Magi from all parts of his dominions. These priests, who had so long sighed in contempt and obscurity obeyed the welcome summons; and, on the appointed day, appeared, to the number of about eighty thousand. But as the debates of so tumultuous an assembly could not have been directed by the authority of reason, or influenced by the art of policy, the Persian synod was reduced, by successive operations, to forty thousand, to four thousand, to four hundred, to forty, and at last to seven Magi, the most respected for their learning and piety. One of these, Erdaviraph, a young but holy prelate, received from the hands of his brethren three cups of soporiferous wine. He drank them off, and instantly fell into a long and profound sleep. As soon as he waked, he related to the king and to the believing multitude, his journey to heaven, and his intimate conferences with the Deity. Every doubt was silenced by this supernatural evidence; and the articles of the faith of Zoroaster were fixed with equal authority and precision. A short delineation of that celebrated system will be found useful, not only to display the character of the Persian nation, but to illustrate many of their most important transactions, both in peace and war, with the Roman empire.

    The great and fundamental article of the system, was the celebrated doctrine of the two principles; a bold and injudicious attempt of Eastern philosophy to reconcile the existence of moral and physical evil with the attributes of a beneficent Creator and Governor of the world. The first and

    original Being, in whom, or by whom, the universe exists, is denominated in the writings of Zoroaster, Time without bounds; but it must be confessed, that this infinite substance seems rather a metaphysical, abstraction of the mind, than a real object endowed with self-consciousness, or possessed of moral perfections. From either the blind or the intelligent operation of this infinite Time, which bears but too near an affinity with the chaos of the Greeks, the two secondary but active principles of the universe, were from all eternity produced, Ormusd and Ahriman, each of them possessed of the powers of creation, but each disposed, by his invariable nature, to exercise them with different designs. * The principle of good is eternally absorbed in light; the principle of evil eternally buried in darkness. The wise benevolence of Ormusd formed man capable of virtue, and abundantly provided his fair habitation with the materials of happiness. By his vigilant providence, the motion of the planets, the order of the seasons, and the temperate mixture of the elements, are preserved. But the malice of Ahriman has long since pierced Ormusd’s egg; or, in other words, has violated the harmony of his works. Since that fatal eruption, the most minute articles of good and evil are intimately intermingled and agitated together; the rankest poisons spring up amidst the most salutary plants; deluges, earthquakes, and conflagrations attest the conflict of Nature, and the little world of man is perpetually shaken by vice and misfortune. Whilst the rest of human kind are led away captives in the chains of their infernal enemy, the faithful Persian alone reserves his religious adoration for his friend and protector Ormusd, and fights under his banner of light, in the full confidence that he shall, in the last day, share the glory of his triumph. At that decisive period, the enlightened wisdom of goodness will render the power of Ormusd superior to the furious malice of his rival. Ahriman and his followers, disarmed and subdued, will sink into their native darkness; and virtue will maintain the eternal peace and harmony of the universe.

    Chapter VIII: State Of Persion And Restoration Of The Monarchy. —

    Part II.

    The theology of Zoroaster was darkly comprehended by foreigners, and even by the far greater number of his disciples; but the most careless observers were struck with the philosophic simplicity of the Persian worship. “That people,” said Herodotus, “rejects the use of temples, of altars, and of statues, and smiles at the folly of those nations who imagine that the gods are sprung from, or bear any affinity with, the human nature. The tops of the highest mountains are the places chosen for sacrifices. Hymns and prayers are the principal worship; the Supreme God, who fills the wide circle of heaven, is the object to whom they are addressed.” Yet, at the same time, in the true spirit of a polytheist, he accuseth them of adoring Earth, Water, Fire, the Winds, and the Sun and Moon. But the Persians of every age have denied the charge, and explained the equivocal conduct, which might appear to give a color to it. The elements, and more particularly Fire, Light, and the Sun, whom they called Mithra, were the objects of their religious reverence, because they considered them as the purest symbols, the noblest productions, and the most powerful agents of the Divine Power and Nature.

    Every mode of religion, to make a deep and lasting impression on the human mind, must exercise our obedience, by enjoining practices of devotion, for which we can assign no reason; and must acquire our esteem, by inculcating moral duties analogous to the dictates of our own hearts. The religion of Zoroaster was abundantly provided with the former and possessed a sufficient portion of the latter. At the age of puberty, the faithful Persian was invested with a mysterious girdle, the badge of the divine protection; and from that moment all the actions of his life, even the most indifferent, or

    the most necessary, were sanctified by their peculiar prayers, ejaculations, or genuflections; the omission of which, under any circumstances, was a grievous sin, not inferior in guilt to the violation of the moral duties. The moral duties, however, of justice, mercy, liberality, &c., were in their turn required of the disciple of Zoroaster, who wished to escape the persecution of Ahriman, and to live with Ormusd in a blissful eternity, where the degree of felicity will be exactly proportioned to the degree of virtue and piety.

    But there are some remarkable instances in which Zoroaster lays aside the prophet, assumes the legislator, and discovers a liberal concern for private and public happiness, seldom to be found among the grovelling or visionary schemes of superstition. Fasting and celibacy, the common means of purchasing the divine favor, he condemns with abhorrence, as a criminal rejection of the best gifts of Providence. The saint, in the Magian religion, is obliged to beget children, to plant useful trees, to destroy noxious animals, to convey water to the dry lands of Persia, and to work out his salvation by pursuing all the labors of agriculture. * We may quote from the Zendavesta a wise and benevolent maxim, which compensates for many an absurdity. “He who sows the ground with care and diligence acquires a greater stock of religious merit than he could gain by the repetition of ten thousand prayers.” In the spring of every year a festival was celebrated, destined to represent the primitive equality, and the present connection, of mankind. The stately kings of Persia, exchanging their vain pomp for more genuine greatness, freely mingled with the humblest but most useful of their subjects. On that day the husbandmen were admitted, without distinction, to the table of the king and his satraps. The monarch accepted their petitions, inquired into their grievances, and conversed with them on the most equal terms. “From your labors,” was he accustomed to say, (and to say with truth, if not with sincerity,) “from your labors we receive our subsistence; you derive your tranquillity from our vigilance: since, therefore, we are mutually necessary to each other, let us live together like

    brothers in concord and love.” Such a festival must indeed have degenerated, in a wealthy and despotic empire, into a theatrical representation; but it was at least a comedy well worthy of a royal audience, and which might sometimes imprint a salutary lesson on the mind of a young prince.

    Had Zoroaster, in all his institutions, invariably supported this exalted character, his name would deserve a place with those of Numa and Confucius, and his system would be justly entitled to all the applause, which it has pleased some of our divines, and even some of our philosophers, to bestow on it. But in that motley composition, dictated by reason and passion, by enthusiasm and by selfish motives, some useful and sublime truths were disgraced by a mixture of the most abject and dangerous superstition. The Magi, or sacerdotal order, were extremely numerous, since, as we have already seen, fourscore thousand of them were convened in a general council. Their forces were multiplied by discipline. A regular hierarchy was diffused through all the provinces of Persia; and the Archimagus, who resided at Balch, was respected as the visible head of the church, and the lawful successor of Zoroaster. The property of the Magi was very considerable. Besides the less invidious possession of a large tract of the most fertile lands of Media, they levied a general tax on the fortunes and the industry of the Persians. “Though your good works,” says the interested prophet, “exceed in number the leaves of the trees, the drops of rain, the stars in the heaven, or the sands on the sea-shore, they will all be unprofitable to you, unless they are accepted by the destour, or priest. To obtain the acceptation of this guide to salvation, you must faithfully pay him tithes of all you possess, of your goods, of your lands, and of your money. If the destour be satisfied, your soul will escape hell tortures; you will secure praise in this world and happiness in the next. For the destours are the teachers of religion; they know all things, and they deliver all men.” *

    These convenient maxims of reverence and implicit were

    doubtless imprinted with care on the tender minds of youth; since the Magi were the masters of education in Persia, and to their hands the children even of the royal family were intrusted. The Persian priests, who were of a speculative genius, preserved and investigated the secrets of Oriental philosophy; and acquired, either by superior knowledge, or superior art, the reputation of being well versed in some occult sciences, which have derived their appellation from the Magi. Those of more active dispositions mixed with the world in courts and cities; and it is observed, that the administration of Artaxerxes was in a great measure directed by the counsels of the sacerdotal order, whose dignity, either from policy or devotion, that prince restored to its ancient splendor.

    The first counsel of the Magi was agreeable to the unsociable genius of their faith, to the practice of ancient kings, and even to the example of their legislator, who had a victim to a religious war, excited by his own intolerant zeal. By an edict of Artaxerxes, the exercise of every worship, except that of Zoroaster, was severely prohibited. The temples of the

    Parthians, and the statues of their deified monarchs, were thrown down with ignominy. The sword of Aristotle (such was the name given by the Orientals to the polytheism and philosophy of the Greeks) was easily broken; the flames of persecution soon reached the more stubborn Jews and Christians; nor did they spare the heretics of their own nation and religion. The majesty of Ormusd, who was jealous of a rival, was seconded by the despotism of Artaxerxes, who could not suffer a rebel; and the schismatics within his vast empire were soon reduced to the inconsiderable number of eighty thousand. * This spirit of persecution reflects dishonor on the religion of Zoroaster; but as it was not productive of any civil commotion, it served to strengthen the new monarchy, by uniting all the various inhabitants of Persia in the bands of religious zeal.

    1. Artaxerxes, by his valor and conduct, had wrested the sceptre of the East from the ancient royal family of

    Parthia. There still remained the more difficult task of establishing, throughout the vast extent of Persia, a uniform and vigorous administration. The weak indulgence of the Arsacides had resigned to their sons and brothers the principal provinces, and the greatest offices of the kingdom in the nature of hereditary possessions. The vitax, or eighteen most powerful satraps, were permitted to assume the regal title; and the vain pride of the monarch was delighted with a nominal dominion over so many vassal kings. Even tribes of barbarians in their mountains, and the Greek cities of Upper Asia, within their walls, scarcely acknowledged, or seldom obeyed. any superior; and the

    Parthian empire exhibited, under other names, a lively image of the feudal system which has since prevailed in Europe. But the active victor, at the head of a numerous and disciplined army, visited in person every province of Persia. The defeat of the boldest rebels, and the reduction of the strongest fortifications, diffused the terror of his arms, and prepared the way for the peaceful reception of his authority. An obstinate resistance was fatal to the chiefs; but their followers were treated with lenity. A cheerful submission was rewarded with honors and riches, but the prudent Artaxerxes suffering no person except himself to assume the title of king, abolished every intermediate power between the throne and the people. His kingdom, nearly equal in extent to modern Persia, was, on every side, bounded by the sea, or by great rivers; by the Euphrates, the Tigris, the Araxes, the Oxus, and the Indus, by the Caspian Sea, and the Gulf of Persia. That country was computed to contain, in the last century, five hundred and fifty-four cities, sixty thousand villages, and about forty millions of souls. If we compare the administration of the house of Sassan with that of the house of Sefi, the political influence of the Magian with that of the Mahometan religion, we shall probably infer, that the kingdom of Artaxerxes contained at least as great a number of cities, villages, and

    inhabitants. But it must likewise be confessed, that in every age the want of harbors on the sea-coast, and the scarcity of fresh water in the inland provinces, have been very unfavorable to the commerce and agriculture of the Persians; who, in the calculation of their numbers, seem to have indulged one of the nearest, though most common, artifices of national vanity.

    As soon as the ambitious mind of Artaxerxes had triumphed ever the resistance of his vassals, he began to threaten the neighboring states, who, during the long slumber of his predecessors, had insulted Persia with impunity. He obtained some easy victories over the wild Scythians and the effeminate Indians; but the Romans were an enemy, who, by their past injuries and present power, deserved the utmost efforts of his arms. A forty years’ tranquillity, the fruit of valor and moderation, had succeeded the victories of Trajan. During the period that elapsed from the accession of Marcus to the reign of Alexander, the Roman and the

    Parthian empires were twice engaged in war; and although the whole strength of the Arsacides contended with a part only of the forces of Rome, the event was most commonly in favor of the latter. Macrinus, indeed, prompted by his precarious situation and pusillanimous temper, purchased a peace at the expense of near two millions of our money; but the generals of Marcus, the emperor Severus, and his son, erected many trophies in Armenia, Mesopotamia, and Assyria. Among their exploits, the imperfect relation of which would have unseasonably interrupted the more important series of domestic revolutions, we shall only mention the repeated calamities of the two great cities of Seleucia and Ctesiphon.

    Seleucia, on the western bank of the Tigris, about forty-five miles to the north of ancient Babylon, was the capital of the Macedonian conquests in Upper Asia. Many ages after the fall of their empire, Seleucia retained the genuine characters of a Grecian colony, arts, military virtue, and the love of freedom.

    The independent republic was governed by a senate of three hundred nobles; the people consisted of six hundred thousand citizens; the walls were strong, and as long as concord prevailed among the several orders of the state, they viewed with contempt the power of the

    Parthian: but the madness of faction was sometimes provoked to implore the dangerous aid of the common enemy, who was posted almost at the gates of the colony. The

    Parthian monarchs, like the Mogul sovereigns of Hindostan, delighted in the pastoral life of their Scythian ancestors; and the Imperial camp was frequently pitched in the plain of Ctesiphon, on the eastern bank of the Tigris, at the distance of only three miles from Seleucia. The innumerable attendants on luxury and despotism resorted to the court, and the little village of Ctesiphon insensibly swelled into a great city. Under the reign of Marcus, the Roman generals penetrated as far as Ctesiphon and Seleucia. They were received as friends by the Greek colony; they attacked as enemies the seat of the

    Parthian kings; yet both cities experienced the same treatment. The sack and conflagration of Seleucia, with the massacre of three hundred thousand of the inhabitants, tarnished the glory of the Roman triumph. Seleucia, already exhausted by the neighborhood of a too powerful rival, sunk under the fatal blow; but Ctesiphon, in about thirty-three years, had sufficiently recovered its strength to maintain an obstinate siege against the emperor Severus. The city was, however, taken by assault; the king, who defended it in person, escaped with precipitation; a hundred thousand captives, and a rich booty, rewarded the fatigues of the Roman soldiers. Notwithstanding these misfortunes, Ctesiphon succeeded to Babylon and to Seleucia, as one of the great capitals of the East. In summer, the monarch of Persia enjoyed at Ecbatana the cool breezes of the mountains of Media; but the mildness of the climate engaged him to prefer Ctesiphon for his winter residence.

    From these successful inroads the Romans derived no real or lasting benefit; nor did they attempt to preserve such distant conquests, separated from the provinces of the empire by a large tract of intermediate desert. The reduction of the kingdom of Osrhoene was an acquisition of less splendor indeed, but of a far more solid advantage. That little state occupied the northern and most fertile part of Mesopotamia, between the Euphrates and the Tigris. Edessa, its capital, was situated about twenty miles beyond the former of those rivers; and the inhabitants, since the time of Alexander, were a mixed race of Greeks, Arabs, Syrians, and Armenians. The feeble sovereigns of Osrhoene, placed on the dangerous verge of two contending empires, were attached from inclination to the

    Parthian cause; but the superior power of Rome exacted from them a reluctant homage, which is still attested by their medals. After the conclusion of the

    Parthian war under Marcus, it was judged prudent to secure some substantia, pledges of their doubtful fidelity. Forts were constructed in several parts of the country, and a Roman garrison was fixed in the strong town of Nisibis. During the troubles that followed the death of Commodus, the princes of Osrhoene attempted to shake off the yoke; but the stern policy of Severus confirmed their dependence, and the perfidy of Caracalla completed the easy conquest. Abgarus, the last king of Edessa, was sent in chains to Rome, his dominions reduced into a province, and his capital dignified with the rank of colony; and thus the Romans, about ten years before the fall of the

    Parthian monarchy, obtained a firm and permanent establishment beyond the Euphrates.

    Prudence as well as glory might have justified a war on the side of Artaxerxes, had his views been confined to the defence or acquisition of a useful frontier. but the ambitious Persian openly avowed a far more extensive design of conquest; and he

    thought himself able to support his lofty pretensions by the arms of reason as well as by those of power. Cyrus, he alleged, had first subdued, and his successors had for a long time possessed, the whole extent of Asia, as far as the Propontis and the Ægean Sea; the provinces of Caria and Ionia, under their empire, had been governed by Persian satraps, and all Egypt, to the confines of Æthiopia, had acknowledged their sovereignty. Their rights had been suspended, but not destroyed, by a long usurpation; and as soon as he received the Persian diadem, which birth and successful valor had placed upon his head, the first great duty of his station called upon him to restore the ancient limits and splendor of the monarchy. The Great King, therefore, (such was the haughty style of his embassies to the emperor Alexander,) commanded the Romans instantly to depart from all the provinces of his ancestors, and, yielding to the Persians the empire of Asia, to content themselves with the undisturbed possession of Europe. This haughty mandate was delivered by four hundred of the tallest and most beautiful of the Persians; who, by their fine horses, splendid arms, and rich apparel, displayed the pride and greatness of their master. Such an embassy was much less an offer of negotiation than a declaration of war. Both Alexander Severus and Artaxerxes, collecting the military force of the Roman and Persian monarchies, resolved in this important contest to lead their armies in person.

    If we credit what should seem the most authentic of all records, an oration, still extant, and delivered by the emperor himself to the senate, we must allow that the victory of Alexander Severus was not inferior to any of those formerly obtained over the Persians by the son of Philip. The army of the Great King consisted of one hundred and twenty thousand horse, clothed in complete armor of steel; of seven hundred elephants, with towers filled with archers on their backs, and of eighteen hundred chariots armed with scythes. This formidable host, the like of which is not to be found in eastern history, and has scarcely been imagined in eastern romance, was discomfited in a great battle, in which the Roman

    Alexander proved himself an intrepid soldier and a skilful general. The Great King fled before his valor; an immense booty, and the conquest of Mesopotamia, were the immediate fruits of this signal victory. Such are the circumstances of this ostentatious and improbable relation, dictated, as it too plainly appears, by the vanity of the monarch, adorned by the unblushing servility of his flatterers, and received without contradiction by a distant and obsequious senate. Far from being inclined to believe that the arms of Alexander obtained any memorable advantage over the Persians, we are induced to suspect that all this blaze of imaginary glory was designed to conceal some real disgrace.

    Our suspicious are confirmed by the authority of a contemporary historian, who mentions the virtues of Alexander with respect, and his faults with candor. He describes the judicious plan which had been formed for the conduct of the war. Three Roman armies were destined to invade Persia at the same time, and by different roads. But the operations of the campaign, though wisely concerted, were not executed either with ability or success. The first of these armies, as soon as it had entered the marshy plains of Babylon, towards the artificial conflux of the Euphrates and the Tigris, was encompassed by the superior numbers, and destroyed by the arrows of the enemy. The alliance of Chosroes, king of Armenia, and the long tract of mountainous country, in which the Persian cavalry was of little service, opened a secure entrance into the heart of Media, to the second of the Roman armies. These brave troops laid waste the adjacent provinces, and by several successful actions against Artaxerxes, gave a faint color to the emperor’s vanity. But the retreat of this victorious army was imprudent, or at least unfortunate. In repassing the mountains, great numbers of soldiers perished by the badness of the roads, and the severity of the winter season. It had been resolved, that whilst these two great detachments penetrated into the opposite extremes of the Persian dominions, the main body, under the command of Alexander himself, should support their attack,

    by invading the centre of the kingdom. But the unexperienced youth, influenced by his mother’s counsels, and perhaps by his own fears, deserted the bravest troops, and the fairest prospect of victory; and after consuming in Mesopotamia an inactive and inglorious summer, he led back to Antioch an army diminished by sickness, and provoked by disappointment. The behavior of Artaxerxes had been very different. Flying with rapidity from the hills of Media to the marshes of the Euphrates, he had everywhere opposed the invaders in person; and in either fortune had united with the ablest conduct the most undaunted resolution. But in several obstinate engagements against the veteran legions of Rome, the Persian monarch had lost the flower of his troops. Even his victories had weakened his power. The favorable opportunities of the absence of Alexander, and of the confusions that followed that emperor’s death, presented themselves in vain to his ambition. Instead of expelling the Romans, as he pretended, from the continent of Asia, he found himself unable to wrest from their hands the little province of Mesopotamia.

    The reign of Artaxerxes, which, from the last defeat of the

    Parthians, lasted only fourteen years, forms a memorable æra in the history of the East, and even in that of Rome. His character seems to have been marked by those bold and commanding features, that generally distinguish the princes who conquer, from those who inherit an empire. Till the last period of the Persian monarchy, his code of laws was respected as the groundwork of their civil and religious policy. Several of his sayings are preserved. One of them in particular discovers a deep insight into the constitution of government. “The authority of the prince,” said Artaxerxes, “must be defended by a military force; that force can only be maintained by taxes; all taxes must, at last, fall upon agriculture; and agriculture can never flourish except under the protection of justice and moderation.” Artaxerxes bequeathed his new empire, and his ambitious designs against the Romans, to Sapor, a son not unworthy of his great father; but those designs were too extensive for the power of Persia, and served

    only to involve both nations in a long series of destructive wars and reciprocal calamities.

    The Persians, long since civilized and corrupted, were very far from possessing the martial independence, and the intrepid hardiness, both of mind and body, which have rendered the northern barbarians masters of the world. The science of war, that constituted the more rational force of Greece and Rome, as it now does of Europe, never made any considerable progress in the East. Those disciplined evolutions which harmonize and animate a confused multitude, were unknown to the Persians. They were equally unskilled in the arts of constructing, besieging, or defending regular fortifications. They trusted more to their numbers than to their courage; more to their courage than to their discipline. The infantry was a half-armed, spiritless crowd of peasants, levied in haste by the allurements of plunder, and as easily dispersed by a victory as by a defeat. The monarch and his nobles transported into the camp the pride and luxury of the seraglio. Their military operations were impeded by a useless train of women, eunuchs, horses, and camels; and in the midst of a successful campaign, the Persian host was often separated or destroyed by an unexpected famine.

    But the nobles of Persia, in the bosom of luxury and despotism, preserved a strong sense of personal gallantry and national honor. From the age of seven years they were taught to speak truth, to shoot with the bow, and to ride; and it was universally confessed, that in the two last of these arts, they had made a more than common proficiency. The most distinguished youth were educated under the monarch’s eye, practised their exercises in the gate of his palace, and were severely trained up to the habits of temperance and obedience, in their long and laborious parties of hunting. In every province, the satrap maintained a like school of military virtue. The Persian nobles (so natural is the idea of feudal tenures) received from the king’s bounty lands and houses, on the condition of their service in war. They were ready on the first

    summons to mount on horseback, with a martial and splendid train of followers, and to join the numerous bodies of guards, who were carefully selected from among the most robust slaves, and the bravest adventures of Asia. These armies, both of light and of heavy cavalry, equally formidable by the impetuosity of their charge and the rapidity of their motions, threatened, as an impending cloud, the eastern provinces of the declining empire of Rome.

    Chapter IX:

    State Of Germany Until The Barbarians.

    Part I.

    The State Of Germany Till The Invasion Of The Barbarians In The Time Of The Emperor Decius.

    The government and religion of Persia have deserved some notice, from their connection with the decline and fall of the Roman empire. We shall occasionally mention the Scythian or Sarmatian tribes, * which, with their arms and horses, their flocks and herds, their wives and families, wandered over the immense plains which spread themselves from the Caspian Sea to the Vistula, from the confines of Persia to those of Germany. But the warlike Germans, who first resisted, then invaded, and at length overturned the Western monarchy of Rome, will occupy a much more important place in this history, and possess a stronger, and, if we may use the expression, a more domestic, claim to our attention and regard. The most civilized nations of modern Europe issued from the woods of Germany; and in the rude institutions of those barbarians we may still distinguish the original principles of our present laws and manners. In their primitive state of simplicity and independence, the Germans were surveyed by the discerning eye, and delineated by the masterly pencil, of Tacitus, the first of historians who applied the science of philosophy to the study of facts. The expressive conciseness of his descriptions has served to exercise the

    diligence of innumerable antiquarians, and to excite the genius and penetration of the philosophic historians of our own times. The subject, however various and important, has already been so frequently, so ably, and so successfully discussed, that it is now grown familiar to the reader, and difficult to the writer. We shall therefore content ourselves with observing, and indeed with repeating, some of the most important circumstances of climate, of manners, and of institutions, which rendered the wild barbarians of Germany such formidable enemies to the Roman power.

    Ancient Germany, excluding from its independent limits the province westward of the Rhine, which had submitted to the Roman yoke, extended itself over a third part of Europe. Almost the whole of modern Germany, Denmark, Norway, Sweden, Finland, Livonia, Prussia, and the greater part of Poland, were peopled by the various tribes of one great nation, whose complexion, manners, and language denoted a common origin, and preserved a striking resemblance. On the west, ancient Germany was divided by the Rhine from the Gallic, and on the south, by the Danube, from the Illyrian, provinces of the empire. A ridge of hills, rising from the Danube, and called the Carpathian Mountains, covered Germany on the side of Dacia or Hungary. The eastern frontier was faintly marked by the mutual fears of the Germans and the Sarmatians, and was often confounded by the mixture of warring and confederating tribes of the two nations. In the remote darkness of the north, the ancients imperfectly descried a frozen ocean that lay beyond the Baltic Sea, and beyond the Peninsula, or islands of Scandinavia.

    Some ingenious writers have suspected that Europe was much colder formerly than it is at present; and the most ancient descriptions of the climate of Germany tend exceedingly to confirm their theory. The general complaints of intense frost and eternal winter, are perhaps little to be regarded, since we have no method of reducing to the accurate standard of the thermometer, the feelings, or the expressions, of an orator

    born in the happier regions of Greece or Asia. But I shall select two remarkable circumstances of a less equivocal nature. 1. The great rivers which covered the Roman provinces, the Rhine and the Danube, were frequently frozen over, and capable of supporting the most enormous weights. The barbarians, who often chose that severe season for their inroads, transported, without apprehension or danger, their numerous armies, their cavalry, and their heavy wagons, over a vast and solid bridge of ice. Modern ages have not presented an instance of a like phenomenon. 2. The reindeer, that useful animal, from whom the savage of the North derives the best comforts of his dreary life, is of a constitution that supports, and even requires, the most intense cold. He is found on the rock of Spitzberg, within ten degrees of the Pole; he seems to delight in the snows of Lapland and Siberia: but at present he cannot subsist, much less multiply, in any country to the south of the Baltic. In the time of Cæsar the reindeer, as well as the elk and the wild bull, was a native of the Hercynian forest, which then overshadowed a great part of Germany and Poland. The modern improvements sufficiently explain the causes of the diminution of the cold. These immense woods have been gradually cleared, which intercepted from the earth the rays of the sun. The morasses have been drained, and, in proportion as the soil has been cultivated, the air has become more temperate. Canada, at this day, is an exact picture of ancient Germany. Although situated in the same parallel with the finest provinces of France and England, that country experiences the most rigorous cold. The reindeer are very numerous, the ground is covered with deep and lasting snow, and the great river of St. Lawrence is regularly frozen, in a season when the waters of the Seine and the Thames are usually free from ice.

    It is difficult to ascertain, and easy to exaggerate, the influence of the climate of ancient Germany over the minds and bodies of the natives. Many writers have supposed, and most have allowed, though, as it should seem, without any adequate proof, that the rigorous cold of the North was favorable to long

    life and generative vigor, that the women were more fruitful, and the human species more prolific, than in warmer or more temperate climates. We may assert, with greater confidence, that the keen air of Germany formed the large and masculine limbs of the natives, who were, in general, of a more lofty stature than the people of the South, gave them a kind of strength better adapted to violent exertions than to patient labor, and inspired them with constitutional bravery, which is the result of nerves and spirits. The severity of a winter campaign, that chilled the courage of the Roman troops, was scarcely felt by these hardy children of the North, who, in their turn, were unable to resist the summer heats, and dissolved away in languor and sickness under the beams of an Italian sun.

    Chapter IX: State Of Germany Until The Barbarians. —

    Part II.

    There is not any where upon the globe a large tract of country, which we have discovered destitute of inhabitants, or whose first population can be fixed with any degree of historical certainty. And yet, as the most philosophic minds can seldom refrain from investigating the infancy of great nations, our curiosity consumes itself in toilsome and disappointed efforts. When Tacitus considered the purity of the German blood, and the forbidding aspect of the country, he was disposed to pronounce those barbarians Indigen, or natives of the soil. We may allow with safety, and perhaps with truth, that ancient Germany was not originally peopled by any foreign colonies already formed into a political society; but that the name and nation received their existence from the gradual union of some wandering savages of the Hercynian woods. To assert those savages to have been the spontaneous production of the earth which they inhabited would be a rash inference, condemned by religion, and unwarranted by reason.

    Such rational doubt is but ill suited with the genius of popular vanity. Among the nations who have adopted the Mosaic history of the world, the ark of Noah has been of the same use, as was formerly to the Greeks and Romans the siege of Troy. On a narrow basis of acknowledged truth, an immense but rude superstructure of fable has been erected; and the wild Irishman, as well as the wild Tartar, could point out the individual son of Japhet, from whose loins his ancestors were lineally descended. The last century abounded with antiquarians of profound learning and easy faith, who, by the dim light of legends and traditions, of conjectures and etymologies, conducted the great grandchildren of Noah from the Tower of Babel to the extremities of the globe. Of these judicious critics, one of the most entertaining was Oaus Rudbeck, professor in the university of Upsal. Whatever is celebrated either in history or fable, this zealous patriot ascribes to his country. From Sweden (which formed so considerable a part of ancient Germany) the Greeks themselves derived their alphabetical characters, their astronomy, and their religion. Of that delightful region (for such it appeared to the eyes of a native) the Atlantis of Plato, the country of the Hyperboreans, the gardens of the Hesperides, the Fortunate Islands, and even the Elysian Fields, were all but faint and imperfect transcripts. A clime so profusely favored by Nature could not long remain desert after the flood. The learned Rudbeck allows the family of Noah a few years to multiply from eight to about twenty thousand persons. He then disperses them into small colonies to replenish the earth, and to propagate the human species. The German or Swedish detachment (which marched, if I am not mistaken, under the command of Askenaz, the son of Gomer, the son of Japhet) distinguished itself by a more than common diligence in the prosecution of this great work. The northern hive cast its swarms over the greatest part of Europe, Africa, and Asia; and (to use the author’s metaphor) the blood circulated from the extremities to the heart.

    But all this well-labored system of German antiquities is annihilated by a single fact, too well attested to admit of any doubt, and of too decisive a nature to leave room for any reply. The Germans, in the age of Tacitus, were unacquainted with the use of letters; and the use of letters is the principal circumstance that distinguishes a civilized people from a herd of savages incapable of knowledge or reflection. Without that artificial help, the human memory soon dissipates or corrupts the ideas intrusted to her charge; and the nobler faculties of the mind, no longer supplied with models or with materials, gradually forget their powers; the judgment becomes feeble and lethargic, the imagination languid or irregular. Fully to apprehend this important truth, let us attempt, in an improved society, to calculate the immense distance between the man of learning and the illiterate peasant. The former, by reading and reflection, multiplies his own experience, and lives in distant ages and remote countries; whilst the latter, rooted to a single spot, and confined to a few years of existence, surpasses but very little his fellow-laborer, the ox, in the exercise of his mental faculties. The same, and even a greater, difference will be found between nations than between individuals; and we may safely pronounce, that without some species of writing, no people has ever preserved the faithful annals of their history, ever made any considerable progress in the abstract sciences, or ever possessed, in any tolerable degree of perfection, the useful and agreeable arts of life.

    Of these arts, the ancient Germans were wretchedly destitute. They passed their lives in a state of ignorance and poverty, which it has pleased some declaimers to dignify with the appellation of virtuous simplicity. * Modern Germany is said to contain about two thousand three hundred walled towns. In a much wider extent of country, the geographer Ptolemy could discover no more than ninety places which he decorates with the name of cities; though, according to our ideas, they would but ill deserve that splendid title. We can only suppose them to have been rude fortifications, constructed in the centre of

    the woods, and designed to secure the women, children, and cattle, whilst the warriors of the tribe marched out to repel a sudden invasion. But Tacitus asserts, as a well-known fact, that the Germans, in his time, had no cities; and that they affected to despise the works of Roman industry, as places of confinement rather than of security. Their edifices were not even contiguous, or formed into regular villas; each barbarian fixed his independent dwelling on the spot to which a plain, a wood, or a stream of fresh water, had induced him to give the preference. Neither stone, nor brick, nor tiles, were employed in these slight habitations. They were indeed no more than low huts, of a circular figure, built of rough timber, thatched with straw, and pierced at the top to leave a free passage for the smoke. In the most inclement winter, the hardy German was satisfied with a scanty garment made of the skin of some animal. The nations who dwelt towards the North clothed themselves in furs; and the women manufactured for their own use a coarse kind of linen. The game of various sorts, with which the forests of Germany were plentifully stocked, supplied its inhabitants with food and exercise. Their monstrous herds of cattle, less remarkable indeed for their beauty than for their utility, formed the principal object of their wealth. A small quantity of corn was the only produce exacted from the earth; the use of orchards or artificial meadows was unknown to the Germans; nor can we expect any improvements in agriculture from a people, whose prosperity every year experienced a general change by a new division of the arable lands, and who, in that strange operation, avoided disputes, by suffering a great part of their territory to lie waste and without tillage.

    Gold, silver, and iron, were extremely scarce in Germany. Its barbarous inhabitants wanted both skill and patience to investigate those rich veins of silver, which have so liberally rewarded the attention of the princes of Brunswick and Saxony. Sweden, which now supplies Europe with iron, was equally ignorant of its own riches; and the appearance of the arms of the Germans furnished a sufficient proof how little

    iron they were able to bestow on what they must have deemed the noblest use of that metal. The various transactions of peace and war had introduced some Roman coins (chiefly silver) among the borderers of the Rhine and Danube; but the more distant tribes were absolutely unacquainted with the use of money, carried on their confined traffic by the exchange of commodities, and prized their rude earthen vessels as of equal value with the silver vases, the presents of Rome to their princes and ambassadors. To a mind capable of reflection, such leading facts convey more instruction, than a tedious detail of subordinate circumstances. The value of money has been settled by general consent to express our wants and our property, as letters were invented to express our ideas; and both these institutions, by giving a more active energy to the powers and passions of human nature, have contributed to multiply the objects they were designed to represent. The use of gold and silver is in a great measure factitious; but it would be impossible to enumerate the important and various services which agriculture, and all the arts, have received from iron, when tempered and fashioned by the operation of fire, and the dexterous hand of man. Money, in a word, is the most universal incitement, iron the most powerful instrument, of human industry; and it is very difficult to conceive by what means a people, neither actuated by the one, nor seconded by the other, could emerge from the grossest barbarism.

    If we contemplate a savage nation in any part of the globe, a supine indolence and a carelessness of futurity will be found to constitute their general character. In a civilized state, every faculty of man is expanded and exercised; and the great chain of mutual dependence connects and embraces the several members of society. The most numerous portion of it is employed in constant and useful labor. The select few, placed by fortune above that necessity, can, however, fill up their time by the pursuits of interest or glory, by the improvement of their estate or of their understanding, by the duties, the pleasures, and even the follies of social life. The Germans were not possessed of these varied resources. The care of the house

    and family, the management of the land and cattle, were delegated to the old and the infirm, to women and slaves. The lazy warrior, destitute of every art that might employ his leisure hours, consumed his days and nights in the animal gratifications of sleep and food. And yet, by a wonderful diversity of nature, (according to the remark of a writer who had pierced into its darkest recesses,) the same barbarians are by turns the most indolent and the most restless of mankind. They delight in sloth, they detest tranquility. The languid soul, oppressed with its own weight, anxiously required some new and powerful sensation; and war and danger were the only amusements adequate to its fierce temper. The sound that summoned the German to arms was grateful to his ear. It roused him from his uncomfortable lethargy, gave him an active pursuit, and, by strong exercise of the body, and violent emotions of the mind, restored him to a more lively sense of his existence. In the dull intervals of peace, these barbarians were immoderately addicted to deep gaming and excessive drinking; both of which, by different means, the one by inflaming their passions, the other by extinguishing their reason, alike relieved them from the pain of thinking. They gloried in passing whole days and nights at table; and the blood of friends and relations often stained their numerous and drunken assemblies. Their debts of honor (for in that light they have transmitted to us those of play) they discharged with the most romantic fidelity. The desperate gamester, who had staked his person and liberty on a last throw of the dice, patiently submitted to the decision of fortune, and suffered himself to be bound, chastised, and sold into remote slavery, by his weaker but more lucky antagonist.

    Strong beer, a liquor extracted with very little art from wheat or barley, and corrupted (as it is strongly expressed by Tacitus) into a certain semblance of wine, was sufficient for the gross purposes of German debauchery. But those who had tasted the rich wines of Italy, and afterwards of Gaul, sighed for that more delicious species of intoxication. They attempted not, however, (as has since been executed with so much

    success,) to naturalize the vine on the banks of the Rhine and Danube; nor did they endeavor to procure by industry the materials of an advantageous commerce. To solicit by labor what might be ravished by arms, was esteemed unworthy of the German spirit. The intemperate thirst of strong liquors often urged the barbarians to invade the provinces on which art or nature had bestowed those much envied presents. The Tuscan who betrayed his country to the Celtic nations, attracted them into Italy by the prospect of the rich fruits and delicious wines, the productions of a happier climate. And in the same manner the German auxiliaries, invited into France during the civil wars of the sixteenth century, were allured by the promise of plenteous quarters in the provinces of Champaigne and Burgundy. Drunkenness, the most illiberal, but not the most dangerous of our vices, was sometimes capable, in a less civilized state of mankind, of occasioning a battle, a war, or a revolution.

    The climate of ancient Germany has been modified, and the soil fertilized, by the labor of ten centuries from the time of Charlemagne. The same extent of ground which at present maintains, in ease and plenty, a million of husbandmen and artificers, was unable to supply a hundred thousand lazy warriors with the simple necessaries of life. The Germans abandoned their immense forests to the exercise of hunting, employed in pasturage the most considerable part of their lands, bestowed on the small remainder a rude and careless cultivation, and then accused the scantiness and sterility of a country that refused to maintain the multitude of its inhabitants. When the return of famine severely admonished them of the importance of the arts, the national distress was sometimes alleviated by the emigration of a third, perhaps, or a fourth part of their youth. The possession and the enjoyment of property are the pledges which bind a civilized people to an improved country. But the Germans, who carried with them what they most valued, their arms, their cattle, and their women, cheerfully abandoned the vast silence of their woods for the unbounded hopes of plunder and conquest. The

    innumerable swarms that issued, or seemed to issue, from the great storehouse of nations, were multiplied by the fears of the vanquished, and by the credulity of succeeding ages. And from facts thus exaggerated, an opinion was gradually established, and has been supported by writers of distinguished reputation, that, in the age of Cæsar and Tacitus, the inhabitants of the North were far more numerous than they are in our days. A more serious inquiry into the causes of population seems to have convinced modern philosophers of the falsehood, and indeed the impossibility, of the supposition. To the names of Mariana and of Machiavel, we can oppose the equal names of Robertson and Hume.

    A warlike nation like the Germans, without either cities, letters, arts, or money, found some compensation for this savage state in the enjoyment of liberty. Their poverty secured their freedom, since our desires and our possessions are the strongest fetters of despotism. “Among the Suiones (says Tacitus) riches are held in honor. They are therefore subject to an absolute monarch, who, instead of intrusting his people with the free use of arms, as is practised in the rest of Germany, commits them to the safe custody, not of a citizen, or even of a freedman, but of a slave. The neighbors of the Suiones, the Sitones, are sunk even below servitude; they obey a woman.” In the mention of these exceptions, the great historian sufficiently acknowledges the general theory of government. We are only at a loss to conceive by what means riches and despotism could penetrate into a remote corner of the North, and extinguish the generous flame that blazed with such fierceness on the frontier of the Roman provinces, or how the ancestors of those Danes and Norwegians, so distinguished in latter ages by their unconquered spirit, could thus tamely resign the great character of German liberty. Some tribes, however, on the coast of the Baltic, acknowledged the authority of kings, though without relinquishing the rights of men, but in the far greater part of Germany, the form of government was a democracy, tempered, indeed, and controlled, not so much by general and positive laws, as by the

    occasional ascendant of birth or valor, of eloquence or superstition.

    Civil governments, in their first institution, are voluntary associations for mutual defence. To obtain the desired end, it is absolutely necessary that each individual should conceive himself obliged to submit his private opinions and actions to the judgment of the greater number of his associates. The German tribes were contented with this rude but liberal outline of political society. As soon as a youth, born of free parents, had attained the age of manhood, he was introduced into the general council of his countrymen, solemnly invested with a shield and spear, and adopted as an equal and worthy member of the military commonwealth. The assembly of the warriors of the tribe was convened at stated seasons, or on sudden emergencies. The trial of public offences, the election of magistrates, and the great business of peace and war, were determined by its independent voice. Sometimes indeed, these important questions were previously considered and prepared in a more select council of the principal chieftains. The magistrates might deliberate and persuade, the people only could resolve and execute; and the resolutions of the Germans were for the most part hasty and violent. Barbarians accustomed to place their freedom in gratifying the present passion, and their courage in overlooking all future consequences, turned away with indignant contempt from the remonstrances of justice and policy, and it was the practice to signify by a hollow murmur their dislike of such timid counsels. But whenever a more popular orator proposed to vindicate the meanest citizen from either foreign or domestic injury, whenever he called upon his fellow-countrymen to assert the national honor, or to pursue some enterprise full of danger and glory, a loud clashing of shields and spears expressed the eager applause of the assembly. For the Germans always met in arms, and it was constantly to be dreaded, lest an irregular multitude, inflamed with faction and strong liquors, should use those arms to enforce, as well as to declare, their furious resolves. We may recollect how often the

    diets of Poland have been polluted with blood, and the more numerous party has been compelled to yield to the more violent and seditious.

    A general of the tribe was elected on occasions of danger; and, if the danger was pressing and extensive, several tribes concurred in the choice of the same general. The bravest warrior was named to lead his countrymen into the field, by his example rather than by his commands. But this power, however limited, was still invidious. It expired with the war, and in time of peace the German tribes acknowledged not any supreme chief. Princes were, however, appointed, in the general assembly, to administer justice, or rather to compose differences, in their respective districts. In the choice of these magistrates, as much regard was shown to birth as to merit. To each was assigned, by the public, a guard, and a council of a hundred persons, and the first of the princes appears to have enjoyed a preeminence of rank and honor which sometimes tempted the Romans to compliment him with the regal title.

    The comparative view of the powers of the magistrates, in two remarkable instances, is alone sufficient to represent the whole system of German manners. The disposal of the landed property within their district was absolutely vested in their hands, and they distributed it every year according to a new division. At the same time they were not authorized to punish with death, to imprison, or even to strike a private citizen. A people thus jealous of their persons, and careless of their possessions, must have been totally destitute of industry and the arts, but animated with a high sense of honor and independence.

    Chapter IX: State Of Germany Until The Barbarians. —

    Part III.

    The Germans respected only those duties which they imposed on themselves. The most obscure soldier resisted with disdain the authority of the magistrates. “The noblest youths blushed not to be numbered among the faithful companions of some renowned chief, to whom they devoted their arms and service. A noble emulation prevailed among the companions, to obtain the first place in the esteem of their chief; amongst the chiefs, to acquire the greatest number of valiant companions. To be ever surrounded by a band of select youths was the pride and strength of the chiefs, their ornament in peace, their defence in war. The glory of such distinguished heroes diffused itself beyond the narrow limits of their own tribe. Presents and embassies solicited their friendship, and the fame of their arms often insured victory to the party which they espoused. In the hour of danger it was shameful for the chief to be surpassed in valor by his companions; shameful for the companions not to equal the valor of their chief. To survive his fall in battle, was indelible infamy. To protect his person, and to adorn his glory with the trophies of their own exploits, were the most sacred of their duties. The chiefs combated for victory, the companions for the chief. The noblest warriors, whenever their native country was sunk into the laziness of peace, maintained their numerous bands in some distant scene of action, to exercise their restless spirit, and to acquire renown by voluntary dangers. Gifts worthy of soldiers — the warlike steed, the bloody and even victorious lance — were the rewards which the companions claimed from the liberality of their chief. The rude plenty of his hospitable board was the only pay that hecould bestow, or they would accept. War, rapine, and the free-will offerings of his friends, supplied the materials of this munificence. This institution, however it might accidentally weaken the several republics, invigorated the general character of the Germans, and even ripened amongst them all the virtues of which barbarians are susceptible; the faith and valor, the hospitality and the courtesy, so conspicuous long afterwards in the ages of chivalry. The honorable gifts, bestowed by the chief on his brave companions, have been supposed, by an ingenious

    writer, to contain the first rudiments of the fiefs, distributed after the conquest of the Roman provinces, by the barbarian lords among their vassals, with a similar duty of homage and military service. These conditions are, however, very repugnant to the maxims of the ancient Germans, who delighted in mutual presents; but without either imposing, or accepting, the weight of obligations.

    “In the days of chivalry, or more properly of romance, all the men were brave, and all the women were chaste;” and notwithstanding the latter of these virtues is acquired and preserved with much more difficulty than the former, it is ascribed, almost without exception, to the wives of the ancient Germans. Polygamy was not in use, except among the princes, and among them only for the sake of multiplying their alliances. Divorces were prohibited by manners rather than by laws. Adulteries were punished as rare and inexpiable crimes; nor was seduction justified by example and fashion. We may easily discover that Tacitus indulges an honest pleasure in the contrast of barbarian virtue with the dissolute conduct of the Roman ladies; yet there are some striking circumstances that give an air of truth, or at least probability, to the conjugal faith and chastity of the Germans.

    Although the progress of civilization has undoubtedly contributed to assuage the fiercer passions of human nature, it seems to have been less favorable to the virtue of chastity, whose most dangerous enemy is the softness of the mind. The refinements of life corrupt while they polish the intercourse of the sexes. The gross appetite of love becomes most dangerous when it is elevated, or rather, indeed, disguised by sentimental passion. The elegance of dress, of motion, and of manners, gives a lustre to beauty, and inflames the senses through the imagination. Luxurious entertainments, midnight dances, and licentious spectacles, present at once temptation and opportunity to female frailty. From such dangers the unpolished wives of the barbarians were secured by poverty, solitude, and the painful cares of a domestic life. The German

    huts, open, on every side, to the eye of indiscretion or jealousy, were a better safeguard of conjugal fidelity, than the walls, the bolts, and the eunuchs of a Persian haram. To this reason another may be added, of a more honorable nature. The Germans treated their women with esteem and confidence, consulted them on every occasion of importance, and fondly believed, that in their breasts resided a sanctity and wisdom more than human. Some of the interpreters of fate, such as Velleda, in the Batavian war, governed, in the name of the deity, the fiercest nations of Germany. The rest of the sex, without being adored as goddesses, were respected as the free and equal companions of soldiers; associated even by the marriage ceremony to a life of toil, of danger, and of glory. In their great invasions, the camps of the barbarians were filled with a multitude of women, who remained firm and undaunted amidst the sound of arms, the various forms of destruction, and the honorable wounds of their sons and husbands. Fainting armies of Germans have, more than once, been driven back upon the enemy, by the generous despair of the women, who dreaded death much less than servitude. If the day was irrecoverably lost, they well knew how to deliver themselves and their children, with their own hands, from an insulting victor. Heroines of such a cast may claim our admiration; but they were most assuredly neither lovely, nor very susceptible of love. Whilst they affected to emulate the stern virtues of man, they must have resigned that attractive softness, in which principally consist the charm and weakness of woman. Conscious pride taught the German females to suppress every tender emotion that stood in competition with honor, and the first honor of the sex has ever been that of chastity. The sentiments and conduct of these high-spirited matrons may, at once, be considered as a cause, as an effect, and as a proof of the general character of the nation. Female courage, however it may be raised by fanaticism, or confirmed by habit, can be only a faint and imperfect imitation of the manly valor that distinguishes the age or country in which it may be found.

    The religious system of the Germans (if the wild opinions of savages can deserve that name) was dictated by their wants, their fears, and their ignorance. They adored the great visible objects and agents of nature, the Sun and the Moon, the Fire and the Earth; together with those imaginary deities, who were supposed to preside over the most important occupations of human life. They were persuaded, that, by some ridiculous arts of divination, they could discover the will of the superior beings, and that human sacrifices were the most precious and acceptable offering to their altars. Some applause has been hastily bestowed on the sublime notion, entertained by that people, of the Deity, whom they neither confined within the walls of the temple, nor represented by any human figure; but when we recollect, that the Germans were unskilled in architecture, and totally unacquainted with the art of sculpture, we shall readily assign the true reason of a scruple, which arose not so much from a superiority of reason, as from a want of ingenuity. The only temples in Germany were dark and ancient groves, consecrated by the reverence of succeeding generations. Their secret gloom, the imagined residence of an invisible power, by presenting no distinct object of fear or worship, impressed the mind with a still deeper sense of religious horror; and the priests, rude and illiterate as they were, had been taught by experience the use of every artifice that could preserve and fortify impressions so well suited to their own interest.

    The same ignorance, which renders barbarians incapable of conceiving or embracing the useful restraints of laws, exposes them naked and unarmed to the blind terrors of superstition. The German priests, improving this favorable temper of their countrymen, had assumed a jurisdiction even in temporal concerns, which the magistrate could not venture to exercise; and the haughty warrior patiently submitted to the lash of correction, when it was inflicted, not by any human power, but by the immediate order of the god of war. The defects of civil policy were sometimes supplied by the interposition of

    ecclesiastical authority. The latter was constantly exerted to maintain silence and decency in the popular assemblies; and was sometimes extended to a more enlarged concern for the national welfare. A solemn procession was occasionally celebrated in the present countries of Mecklenburgh and Pomerania. The unknown symbol of the Earth, covered with a thick veil, was placed on a carriage drawn by cows; and in this manner the goddess, whose common residence was in the Isles of Rugen, visited several adjacent tribes of her worshippers. During her progress the sound of war was hushed, quarrels were suspended, arms laid aside, and the restless Germans had an opportunity of tasting the blessings of peace and harmony. The truce of God, so often and so ineffectually proclaimed by the clergy of the eleventh century, was an obvious imitation of this ancient custom.

    But the influence of religion was far more powerful to inflame, than to moderate, the fierce passions of the Germans. Interest and fanaticism often prompted its ministers to sanctify the most daring and the most unjust enterprises, by the approbation of Heaven, and full assurances of success. The consecrated standards, long revered in the groves of superstition, were placed in the front of the battle; and the hostile army was devoted with dire execrations to the gods of war and of thunder. In the faith of soldiers (and such were the Germans) cowardice is the most unpardonable of sins. A brave man was the worthy favorite of their martial deities; the wretch who had lost his shield was alike banished from the religious and civil assemblies of his countrymen. Some tribes of the north seem to have embraced the doctrine of transmigration, others imagined a gross paradise of immortal drunkenness. All agreed, that a life spent in arms, and a glorious death in battle, were the best preparations for a happy futurity, either in this or in another world.

    The immortality so vainly promised by the priests, was, in some degree, conferred by the bards. That singular order of

    men has most deservedly attracted the notice of all who have attempted to investigate the antiquities of the Celts, the Scandinavians, and the Germans. Their genius and character, as well as the reverence paid to that important office, have been sufficiently illustrated. But we cannot so easily express, or even conceive, the enthusiasm of arms and glory which they kindled in the breast of their audience. Among a polished people, a taste for poetry is rather an amusement of the fancy, than a passion of the soul. And yet, when in calm retirement we peruse the combats described by Homer or Tasso, we are insensibly seduced by the fiction, and feel a momentary glow of martial ardor. But how faint, how cold is the sensation which a peaceful mind can receive from solitary study! It was in the hour of battle, or in the feast of victory, that the bards celebrated the glory of the heroes of ancient days, the ancestors of those warlike chieftains, who listened with transport to their artless but animated strains. The view of arms and of danger heightened the effect of the military song; and the passions which it tended to excite, the desire of fame, and the contempt of death, were the habitual sentiments of a German mind. *

    Such was the situation, and such were the manners of the ancient Germans. Their climate, their want of learning, of arts, and of laws, their notions of honor, of gallantry, and of religion, their sense of freedom, impatience of peace, and thirst of enterprise, all contributed to form a people of military heroes. And yet we find, that during more than two hundred and fifty years that elapsed from the defeat of Varus to the reign of Decius, these formidable barbarians made few considerable attempts, and not any material impression on the luxurious and enslaved provinces of the empire. Their progress was checked by their want of arms and discipline, and their fury was diverted by the intestine divisions of ancient Germany.

    1. It has been observed, with ingenuity, and not without truth, that the command of iron soon gives a nation the command of

    gold. But the rude tribes of Germany, alike destitute of both those valuable metals, were reduced slowly to acquire, by their unassisted strength, the possession of the one as well as the other. The face of a German army displayed their poverty of iron. Swords, and the longer kind of lances, they could seldom use. Their frame (as they called them in their own language) were long spears headed with a sharp but narrow iron point, and which, as occasion required, they either darted from a distance, or pushed in close onset. With this spear, and with a shield, their cavalry was contented. A multitude of darts, scattered with incredible force, were an additional resource of the infantry. Their military dress, when they wore any, was nothing more than a loose mantle. A variety of colors was the only ornament of their wooden or osier shields. Few of the chiefs were distinguished by cuirasses, scarcely any by helmets. Though the horses of Germany were neither beautiful, swift, nor practised in the skilful evolutions of the Roman manege, several of the nations obtained renown by their cavalry; but, in general, the principal strength of the Germans consisted in their infantry, which was drawn up in several deep columns, according to the distinction of tribes and families. Impatient of fatigue and delay, these half-armed warriors rushed to battle with dissonant shouts and disordered ranks; and sometimes, by the effort of native valor, prevailed over the constrained and more artificial bravery of the Roman mercenaries. But as the barbarians poured forth their whole souls on the first onset, they knew not how to rally or to retire. A repulse was a sure defeat; and a defeat was most commonly total destruction. When we recollect the complete armor of the Roman soldiers, their discipline, exercises, evolutions, fortified camps, and military engines, it appears a just matter of surprise, how the naked and unassisted valor of the barbarians could dare to encounter, in the field, the strength of the legions, and the various troops of the auxiliaries, which seconded their operations. The contest was too unequal, till the introduction of luxury had enervated the vigor, and a spirit of disobedience and sedition had relaxed the discipline, of the Roman armies. The introduction of barbarian auxiliaries into those armies, was a measure attended with

    very obvious dangers, as it might gradually instruct the Germans in the arts of war and of policy. Although they were admitted in small numbers and with the strictest precaution, the example of Civilis was proper to convince the Romans, that the danger was not imaginary, and that their precautions were not always sufficient. During the civil wars that followed the death of Nero, that artful and intrepid Batavian, whom his enemies condescended to compare with Hannibal and Sertorius, formed a great design of freedom and ambition. Eight Batavian cohorts renowned in the wars of Britain and Italy, repaired to his standard. He introduced an army of Germans into Gaul, prevailed on the powerful cities of Treves and Langres to embrace his cause, defeated the legions, destroyed their fortified camps, and employed against the Romans the military knowledge which he had acquired in their service. When at length, after an obstinate struggle, he yielded to the power of the empire, Civilis secured himself and his country by an honorable treaty. The Batavians still continued to occupy the islands of the Rhine, the allies, not the servants, of the Roman monarchy.

    1. The strength of ancient Germany appears formidable, when we consider the effects that might have been produced by its united effort. The wide extent of country might very possibly contain a million of warriors, as all who were of age to bear arms were of a temper to use them. But this fierce multitude, incapable of concerting or executing any plan of national greatness, was agitated by various and often hostile intentions. Germany was divided into more than forty independent states; and, even in each state, the union of the several tribes was extremely loose and precarious. The barbarians were easily provoked; they knew not how to forgive an injury, much less an insult; their resentments were bloody and implacable. The casual disputes that so frequently happened in their tumultuous parties of hunting or drinking, were sufficient to inflame the minds of whole nations; the private feuds of any considerable chieftains diffused itself among their followers and allies. To chastise the insolent, or to

    plunder the defenceless, were alike causes of war. The most formidable states of Germany affected to encompass their territories with a wide frontier of solitude and devastation. The awful distance preserved by their neighbors attested the terror of their arms, and in some measure defended them from the danger of unexpected incursions.

    “The Bructeri * (it is Tacitus who now speaks) were totally exterminated by the neighboring tribes, provoked by their insolence, allured by the hopes of spoil, and perhaps inspired by the tutelar deities of the empire. Above sixty thousand barbarians were destroyed; not by the Roman arms, but in our sight, and for our entertainment. May the nations, enemies of Rome, ever preserve this enmity to each other! We have now attained the utmost verge of prosperity, and have nothing left to demand of fortune, except the discord of the barbarians.” — These sentiments, less worthy of the humanity than of the patriotism of Tacitus, express the invariable maxims of the policy of his countrymen. They deemed it a much safer expedient to divide than to combat the barbarians, from whose defeat they could derive neither honor nor advantage. The money and negotiations of Rome insinuated themselves into the heart of Germany; and every art of seduction was used with dignity, to conciliate those nations whom their proximity to the Rhine or Danube might render the most useful friends as well as the most troublesome enemies. Chiefs of renown and power were flattered by the most trifling presents, which they received either as marks of distinction, or as the instruments of luxury. In civil dissensions the weaker faction endeavored to strengthen its interest by entering into secret connections with the governors of the frontier provinces. Every quarrel among the Germans was fomented by the intrigues of Rome; and every plan of union and public good was defeated by the stronger bias of private jealousy and interest.

    The general conspiracy which terrified the Romans under the reign of Marcus Antoninus, comprehended almost all the nations of Germany, and even Sarmatia, from the mouth of

    the Rhine to that of the Danube. It is impossible for us to determine whether this hasty confederation was formed by necessity, by reason, or by passion; but we may rest assured, that the barbarians were neither allured by the indolence, nor provoked by the ambition, of the Roman monarch. This dangerous invasion required all the firmness and vigilance of Marcus. He fixed generals of ability in the several stations of attack, and assumed in person the conduct of the most important province on the Upper Danube. After a long and doubtful conflict, the spirit of the barbarians was subdued. The Quadi and the Marcomanni, who had taken the lead in the war, were the most severely punished in its catastrophe. They were commanded to retire five miles from their own banks of the Danube, and to deliver up the flower of the youth, who were immediately sent into Britain, a remote island, where they might be secure as hostages, and useful as soldiers. On the frequent rebellions of the Quadi and Marcomanni, the irritated emperor resolved to reduce their country into the form of a province. His designs were disappointed by death. This formidable league, however, the only one that appears in the two first centuries of the Imperial history, was entirely dissipated, without leaving any traces behind in Germany.

    In the course of this introductory chapter, we have confined ourselves to the general outlines of the manners of Germany, without attempting to describe or to distinguish the various tribes which filled that great country in the time of Cæsar, of Tacitus, or of Ptolemy. As the ancient, or as new tribes successively present themselves in the series of this history, we shall concisely mention their origin, their situation, and their particular character. Modern nations are fixed and permanent societies, connected among themselves by laws and government, bound to their native soil by arts and agriculture. The German tribes were voluntary and fluctuating associations of soldiers, almost of savages. The same territory often changed its inhabitants in the tide of conquest and emigration. The same communities, uniting in a plan of

    defence or invasion, bestowed a new title on their new confederacy. The dissolution of an ancient confederacy restored to the independent tribes their peculiar but long-forgotten appellation. A victorious state often communicated its own name to a vanquished people. Sometimes crowds of volunteers flocked from all parts to the standard of a favorite leader; his camp became their country, and some circumstance of the enterprise soon gave a common denomination to the mixed multitude. The distinctions of the ferocious invaders were perpetually varied by themselves, and confounded by the astonished subjects of the Roman empire.

    Wars, and the administration of public affairs, are the principal subjects of history; but the number of persons interested in these busy scenes is very different, according to the different condition of mankind. In great monarchies, millions of obedient subjects pursue their useful occupations in peace and obscurity. The attention of the writer, as well as of the reader, is solely confined to a court, a capital, a regular army, and the districts which happen to be the occasional scene of military operations. But a state of freedom and barbarism, the season of civil commotions, or the situation of petty republics, raises almost every member of the community into action, and consequently into notice. The irregular divisions, and the restless motions, of the people of Germany, dazzle our imagination, and seem to multiply their numbers. The profuse enumeration of kings, of warriors, of armies and nations, inclines us to forget that the same objects are continually repeated under a variety of appellations, and that the most splendid appellations have been frequently lavished on the most inconsiderable objects.

    Chapter X:

    Emperors Decius, Gallus, Æmilianus, Valerian And Gallienus.

    Part I.

    The Emperors Decius, Gallus, Æmilianus, Valerian, And Gallienus. — The General Irruption Of The Barbari Ans. — The Thirty Tyrants.

    From the great secular games celebrated by Philip, to the death of the emperor Gallienus, there elapsed twenty years of shame and misfortune. During that calamitous period, every instant of time was marked, every province of the Roman world was afflicted, by barbarous invaders, and military tyrants, and the ruined empire seemed to approach the last and fatal moment of its dissolution. The confusion of the times, and the scarcity of authentic memorials, oppose equal difficulties to the historian, who attempts to preserve a clear and unbroken thread of narration. Surrounded with imperfect fragments, always concise, often obscure, and sometimes contradictory, he is reduced to collect, to compare, and to conjecture: and though he ought never to place his conjectures in the rank of facts, yet the knowledge of human nature, and of the sure operation of its fierce and unrestrained passions, might, on some occasions, supply the want of historical materials.

    There is not, for instance, any difficulty in conceiving, that the

    successive murders of so many emperors had loosened all the ties of allegiance between the prince and people; that all the generals of Philip were disposed to imitate the example of their master; and that the caprice of armies, long since habituated to frequent and violent revolutions, might every day raise to the throne the most obscure of their fellow-soldiers. History can only add, that the rebellion against the emperor Philip broke out in the summer of the year two hundred and forty-nine, among the legions of Mæsia; and that a subaltern officer, named Marinus, was the object of their seditious choice. Philip was alarmed. He dreaded lest the treason of the Mæsian army should prove the first spark of a general conflagration. Distracted with the consciousness of his guilt and of his danger, he communicated the intelligence to the senate. A gloomy silence prevailed, the effect of fear, and perhaps of disaffection; till at length Decius, one of the assembly, assuming a spirit worthy of his noble extraction, ventured to discover more intrepidity than the emperor seemed to possess. He treated the whole business with contempt, as a hasty and inconsiderate tumult, and Philip’s rival as a phantom of royalty, who in a very few days would be destroyed by the same inconstancy that had created him. The speedy completion of the prophecy inspired Philip with a just esteem for so able a counsellor; and Decius appeared to him the only person capable of restoring peace and discipline to an army whose tumultuous spirit did not immediately subside after the murder of Marinus. Decius, who long resisted his own nomination, seems to have insinuated the danger of presenting a leader of merit to the angry and apprehensive minds of the soldiers; and his prediction was again confirmed by the event. The legions of Mæsia forced their judge to become their accomplice. They left him only the alternative of death or the purple. His subsequent conduct, after that decisive measure, was unavoidable. He conducted, or followed, his army to the confines of Italy, whither Philip, collecting all his force to repel the formidable competitor whom he had raised up, advanced to meet him. The Imperial troops were superior in number; but the rebels formed an army of veterans, commanded by an able and experienced leader.

    Philip was either killed in the battle, or put to death a few days afterwards at Verona. His son and associate in the empire was massacred at Rome by the Prætorian guards; and the victorious Decius, with more favorable circumstances than the ambition of that age can usually plead, was universally acknowledged by the senate and provinces. It is reported, that, immediately after his reluctant acceptance of the title of Augustus, he had assured Philip, by a private message, of his innocence and loyalty, solemnly protesting, that, on his arrival on Italy, he would resign the Imperial ornaments, and return to the condition of an obedient subject. His professions might be sincere; but in the situation where fortune had placed him, it was scarcely possible that he could either forgive or be forgiven.

    The emperor Decius had employed a few months in the works of peace and the administration of justice, when he was summoned to the banks of the Danube by the invasion of the Goths. This is the first considerable occasion in which history mentions that great people, who afterwards broke the Roman power, sacked the Capitol, and reigned in Gaul, Spain, and Italy. So memorable was the part which they acted in the subversion of the Western empire, that the name of Goths is frequently but improperly used as a general appellation of rude and warlike barbarism.

    In the beginning of the sixth century, and after the conquest of Italy, the Goths, in possession of present greatness, very naturally indulged themselves in the prospect of past and of future glory. They wished to preserve the memory of their ancestors, and to transmit to posterity their own achievements.

    The principal minister of the court of Ravenna, the learned Cassiodorus, gratified the inclination of the conquerors in a Gothic history, which consisted of twelve books, now reduced to the imperfect abridgment of Jornandes. These writers

    passed with the most artful conciseness over the misfortunes of the nation, celebrated its successful valor, and adorned the triumph with many Asiatic trophies, that more properly belonged to the people of Scythia. On the faith of ancient songs, the uncertain, but the only memorials of barbarians, they deduced the first origin of the Goths from the vast island, or peninsula, of Scandinavia. * That extreme country of the North was not unknown to the conquerors of Italy: the ties of ancient consanguinity had been strengthened by recent offices of friendship; and a Scandinavian king had cheerfully abdicated his savage greatness, that he might pass the remainder of his days in the peaceful and polished court of Ravenna. Many vestiges, which cannot be ascribed to the arts of popular vanity, attest the ancient residence of the Goths in the countries beyond the Rhine. From the time of the geographer Ptolemy, the southern part of Sweden seems to have continued in the possession of the less enterprising remnant of the nation, and a large territory is even at present divided into east and west Gothland. During the middle ages, (from the ninth to the twelfth century,) whilst Christianity was advancing with a slow progress into the North, the Goths and the Swedes composed two distinct and sometimes hostile members of the same monarchy. The latter of these two names has prevailed without extinguishing the former. The Swedes, who might well be satisfied with their own fame in arms, have, in every age, claimed the kindred glory of the Goths. In a moment of discontent against the court of Rome, Charles the Twelfth insinuated, that his victorious troops were not degenerated from their brave ancestors, who had already subdued the mistress of the world.

    Till the end of the eleventh century, a celebrated temple subsisted at Upsal, the most considerable town of the Swedes and Goths. It was enriched with the gold which the Scandinavians had acquired in their piratical adventures, and sanctified by the uncouth representations of the three principal deities, the god of war, the goddess of generation, and the god of thunder. In the general festival, that was

    solemnized every ninth year, nine animals of every species (without excepting the human) were sacrificed, and their bleeding bodies suspended in the sacred grove adjacent to the temple. The only traces that now subsist of this barbaric superstition are contained in the Edda, * a system of mythology, compiled in Iceland about the thirteenth century, and studied by the learned of Denmark and Sweden, as the most valuable remains of their ancient traditions.

    Notwithstanding the mysterious obscurity of the Edda, we can easily distinguish two persons confounded under the name of Odin; the god of war, and the great legislator of Scandinavia. The latter, the Mahomet of the North, instituted a religion adapted to the climate and to the people. Numerous tribes on either side of the Baltic were subdued by the invincible valor of Odin, by his persuasive eloquence, and by the fame which he acquired of a most skilful magician. The faith that he had propagated, during a long and prosperous life, he confirmed by a voluntary death. Apprehensive of the ignominious approach of disease and infirmity, he resolved to expire as became a warrior. In a solemn assembly of the Swedes and Goths, he wounded himself in nine mortal places, hastening away (as he asserted with his dying voice) to prepare the feast of heroes in the palace of the God of war.

    The native and proper habitation of Odin is distinguished by the appellation of As-gard. The happy resemblance of that name with As-burg, or As-of, words of a similar signification, has given rise to an historical system of so pleasing a contexture, that we could almost wish to persuade ourselves of its truth. It is supposed that Odin was the chief of a tribe of barbarians which dwelt on the banks of the Lake Mæotis, till the fall of Mithridates and the arms of Pompey menaced the North with servitude. That Odin, yielding with indignant fury to a power which he was unable to resist, conducted his tribe from the frontiers of the Asiatic Sarmatia into Sweden, with the great design of forming, in that inaccessible retreat of freedom, a religion and a people, which, in some remote age,

    might be subservient to his immortal revenge; when his invincible Goths, armed with martial fanaticism, should issue in numerous swarms from the neighborhood of the Polar circle, to chastise the oppressors of mankind.

    If so many successive generations of Goths were capable of preserving a faint tradition of their Scandinavian origin, we must not expect, from such unlettered barbarians, any distinct account of the time and circumstances of their emigration. To cross the Baltic was an easy and natural attempt. The inhabitants of Sweden were masters of a sufficient number of large vessels, with oars, and the distance is little more than one hundred miles from Carlscroon to the nearest ports of Pomerania and Prussia. Here, at length, we land on firm and historic ground. At least as early as the Christian æra, and as late as the age of the Antonines, the Goths were established towards the mouth of the Vistula, and in that fertile province where the commercial cities of Thorn, Elbing, Koningsberg, and Dantzick, were long afterwards founded. Westward of the Goths, the numerous tribes of the Vandals were spread along the banks of the Oder, and the sea-coast of Pomerania and Mecklenburgh. A striking resemblance of manners, complexion, religion, and language, seemed to indicate that the Vandals and the Goths were originally one great people. The latter appear to have been subdivided into Ostrogoths, Visigoths, and Gepidæ. The distinction among the Vandals was more strongly marked by the independent names of Heruli, Burgundians, Lombards, and a variety of other petty states, many of which, in a future age, expanded themselves into powerful monarchies.

    In the age of the Antonines, the Goths were still seated in Prussia. About the reign of Alexander Severus, the Roman province of Dacia had already experienced their proximity by frequent and destructive inroads. In this interval, therefore, of about seventy years, we must place the second migration of about seventy years, we must place the second migration of the Goths from the Baltic to the Euxine; but the cause that

    produced it lies concealed among the various motives which actuate the conduct of unsettled barbarians. Either a pestilence or a famine, a victory or a defeat, an oracle of the gods or the eloquence of a daring leader, were sufficient to impel the Gothic arms on the milder climates of the south. Besides the influence of a martial religion, the numbers and spirit of the Goths were equal to the most dangerous adventures. The use of round bucklers and short swords rendered them formidable in a close engagement; the manly obedience which they yielded to hereditary kings, gave uncommon union and stability to their councils; and the renowned Amala, the hero of that age, and the tenth ancestor of Theodoric, king of Italy, enforced, by the ascendant of personal merit, the prerogative of his birth, which he derived from the Anses, or demi gods of the Gothic nation.

    The fame of a great enterprise excited the bravest warriors from all the Vandalic states of Germany, many of whom are seen a few years afterwards combating under the common standard of the Goths. The first motions of the emigrants carried them to the banks of the Prypec, a river universally conceived by the ancients to be the southern branch of the Borysthenes. The windings of that great stream through the plains of Poland and Russia gave a direction to their line of march, and a constant supply of fresh water and pasturage to their numerous herds of cattle. They followed the unknown course of the river, confident in their valor, and careless of whatever power might oppose their progress. The Bastarnæ and the Venedi were the first who presented themselves; and the flower of their youth, either from choice or compulsion, increased the Gothic army. The Bastarnæ dwelt on the northern side of the Carpathian Mountains: the immense tract of land that separated the Bastarnæ from the savages of Finland was possessed, or rather wasted, by the Venedi; we have some reason to believe that the first of these nations, which distinguished itself in the Macedonian war, and was afterwards divided into the formidable tribes of the Peucini, the Borani, the Carpi, &c., derived its origin from the

    Germans. * With better authority, a Sarmatian extraction may be assigned to the Venedi, who rendered themselves so famous in the middle ages. But the confusion of blood and manners on that doubtful frontier often perplexed the most accurate observers. As the Goths advanced near the Euxine Sea, they encountered a purer race of Sarmatians, the Jazyges, the Alani, and the Roxolani; and they were probably the first Germans who saw the mouths of the Borysthenes, and of the Tanais. If we inquire into the characteristic marks of the people of Germany and of Sarmatia, we shall discover that those two great portions of human kind were principally distinguished by fixed huts or movable tents, by a close dress or flowing garments, by the marriage of one or of several wives, by a military force, consisting, for the most part, either of infantry or cavalry; and above all, by the use of the Teutonic, or of the Sclavonian language; the last of which has been diffused by conquest, from the confines of Italy to the neighborhood of Japan.

    Chapter X: Emperors Decius, Gallus, Æmilianus, Valerian And Gallienus. —

    Part II.

    The Goths were now in possession of the Ukraine, a country of considerable extent and uncommon fertility, intersected with navigable rivers, which, from either side, discharge themselves into the Borysthenes; and interspersed with large and leafy forests of oaks. The plenty of game and fish, the innumerable bee-hives deposited in the hollow of old trees, and in the cavities of rocks, and forming, even in that rude age, a valuable branch of commerce, the size of the cattle, the temperature of the air, the aptness of the soil for every species of gain, and the luxuriancy of the vegetation, all displayed the liberality of Nature, and tempted the industry of man. But the Goths withstood all these temptations, and still adhered to a life of idleness, of poverty, and of rapine.

    The Scythian hordes, which, towards the east, bordered on the new settlements of the Goths, presented nothing to their arms, except the doubtful chance of an unprofitable victory. But the prospect of the Roman territories was far more alluring; and the fields of Dacia were covered with rich harvests, sown by the hands of an industrious, and exposed to be gathered by those of a warlike, people. It is probable that the conquests of Trajan, maintained by his successors, less for any real advantage than for ideal dignity, had contributed to weaken the empire on that side. The new and unsettled province of Dacia was neither strong enough to resist, nor rich enough to satiate, the rapaciousness of the barbarians. As long as the remote banks of the Niester were considered as the boundary of the Roman power, the fortifications of the Lower Danube were more carelessly guarded, and the inhabitants of Mæsia lived in supine security, fondly conceiving themselves at an inaccessible distance from any barbarian invaders. The irruptions of the Goths, under the reign of Philip, fatally convinced them of their mistake. The king, or leader, of that fierce nation, traversed with contempt the province of Dacia, and passed both the Niester and the Danube without encountering any opposition capable of retarding his progress. The relaxed discipline of the Roman troops betrayed the most important posts, where they were stationed, and the fear of deserved punishment induced great numbers of them to enlist under the Gothic standard. The various multitude of barbarians appeared, at length, under the walls of Marcianopolis, a city built by Trajan in honor of his sister, and at that time the capital of the second Mæsia. The inhabitants consented to ransom their lives and property by the payment of a large sum of money, and the invaders retreated back into their deserts, animated, rather than satisfied, with the first success of their arms against an opulent but feeble country. Intelligence was soon transmitted to the emperor Decius, that Cniva, king of the Goths, had passed the Danube a second time, with more considerable forces; that his numerous detachments scattered devastation over the province of Mæsia, whilst the main body of the army, consisting of seventy

    thousand Germans and Sarmatians, a force equal to the most daring achievements, required the presence of the Roman monarch, and the exertion of his military power.

    Decius found the Goths engaged before Nicopolis, one of the many monuments of Trajan’s victories. On his approach they raised the siege, but with a design only of marching away to a conquest of greater importance, the siege of Philippopolis, a city of Thrace, founded by the father of Alexander, near the foot of Mount Hæmus. Decius followed them through a difficult country, and by forced marches; but when he imagined himself at a considerable distance from the rear of the Goths, Cniva turned with rapid fury on his pursuers. The camp of the Romans was surprised and pillaged, and, for the first time, their emperor fled in disorder before a troop of half-armed barbarians. After a long resistance, Philoppopolis, destitute of succor, was taken by storm. A hundred thousand persons are reported to have been massacred in the sack of that great city. Many prisoners of consequence became a valuable accession to the spoil; and Priscus, a brother of the late emperor Philip, blushed not to assume the purple, under the protection of the barbarous enemies of Rome. The time, however, consumed in that tedious siege, enabled Decius to revive the courage, restore the discipline, and recruit the numbers of his troops. He intercepted several parties of Carpi, and other Germans, who were hastening to share the victory of their countrymen, intrusted the passes of the mountains to officers of approved valor and fidelity, repaired and strengthened the fortifications of the Danube, and exerted his utmost vigilance to oppose either the progress or the retreat of the Goths. Encouraged by the return of fortune, he anxiously waited for an opportunity to retrieve, by a great and decisive blow, his own glory, and that of the Roman arms.

    At the same time when Decius was struggling with the violence of the tempest, his mind, calm and deliberate amidst the tumult of war, investigated the more general causes, that, since the age of the Antonines, had so impetuously urged the

    decline of the Roman greatness. He soon discovered that it was impossible to replace that greatness on a permanent basis, without restoring public virtue, ancient principles and manners, and the oppressed majesty of the laws. To execute this noble but arduous design, he first resolved to revive the obsolete office of censor; an office which, as long as it had subsisted in its pristine integrity, had so much contributed to the perpetuity of the state, till it was usurped and gradually neglected by the Cæsars. Conscious that the favor of the sovereign may confer power, but that the esteem of the people can alone bestow authority, he submitted the choice of the censor to the unbiased voice of the senate. By their unanimous votes, or rather acclamations, Valerian, who was afterwards emperor, and who then served with distinction in the army of Decius, was declared the most worthy of that exalted honor. As soon as the decree of the senate was transmitted to the emperor, he assembled a great council in his camp, and before the investiture of the censor elect, he apprised him of the difficulty and importance of his great office. “Happy Valerian,” said the prince to his distinguished subject, “happy in the general approbation of the senate and of the Roman republic! Accept the censorship of mankind; and judge of our manners. You will select those who deserve to continue members of the senate; you will restore the equestrian order to its ancient splendor; you will improve the revenue, yet moderate the public burdens. You will distinguish into regular classes the various and infinite multitude of citizens, and accurately view the military strength, the wealth, the virtue, and the resources of Rome. Your decisions shall obtain the force of laws. The army, the palace, the ministers of justice, and the great officers of the empire, are all subject to your tribunal. None are exempted, excepting only the ordinary consuls, the præfect of the city, the king of the sacrifices, and (as long as she preserves her chastity inviolate) the eldest of the vestal virgins. Even these few, who may not dread the severity, will anxiously solicit the esteem, of the Roman censor.”

    A magistrate, invested with such extensive powers, would have appeared not so much the minister, as the colleague of his sovereign. Valerian justly dreaded an elevation so full of envy and of suspicion. He modestly argued the alarming greatness of the trust, his own insufficiency, and the incurable corruption of the times. He artfully insinuated, that the office of censor was inseparable from the Imperial dignity, and that the feeble hands of a subject were unequal to the support of such an immense weight of cares and of power. The approaching event of war soon put an end to the prosecution of a project so specious, but so impracticable; and whilst it preserved Valerian from the danger, saved the emperor Decius from the disappointment, which would most probably have attended it. A censor may maintain, he can never restore, the morals of a state. It is impossible for such a magistrate to exert his authority with benefit, or even with effect, unless he is supported by a quick sense of honor and virtue in the minds of the people, by a decent reverence for the public opinion, and by a train of useful prejudices combating on the side of national manners. In a period when these principles are annihilated, the censorial jurisdiction must either sink into empty pageantry, or be converted into a partial instrument of vexatious oppression. It was easier to vanquish the Goths than to eradicate the public vices; yet even in the first of these enterprises, Decius lost his army and his life.

    The Goths were now, on every side, surrounded and pursued by the Roman arms. The flower of their troops had perished in the long siege of Philippopolis, and the exhausted country could no longer afford subsistence for the remaining multitude of licentious barbarians. Reduced to this extremity, the Goths would gladly have purchased, by the surrender of all their booty and prisoners, the permission of an undisturbed retreat. But the emperor, confident of victory, and resolving, by the chastisement of these invaders, to strike a salutary terror into the nations of the North, refused to listen to any terms of accommodation. The high-spirited barbarians preferred death

    to slavery. An obscure town of Mæsia, called Forum Terebronii, was the scene of the battle. The Gothic army was drawn up in three lines, and either from choice or accident, the front of the third line was covered by a morass. In the beginning of the action, the son of Decius, a youth of the fairest hopes, and already associated to the honors of the purple, was slain by an arrow, in the sight of his afflicted father; who, summoning all his fortitude, admonished the dismayed troops, that the loss of a single soldier was of little importance to the republic. The conflict was terrible; it was the combat of despair against grief and rage. The first line of the Goths at length gave way in disorder; the second, advancing to sustain it, shared its fate; and the third only remained entire, prepared to dispute the passage of the morass, which was imprudently attempted by the presumption of the enemy. “Here the fortune of the day turned, and all things became adverse to the Romans; the place deep with ooze, sinking under those who stood, slippery to such as advanced; their armor heavy, the waters deep; nor could they wield, in that uneasy situation, their weighty javelins. The barbarians, on the contrary, were inured to encounter in the bogs, their persons tall, their spears long, such as could wound at a distance.” In this morass the Roman army, after an ineffectual struggle, was irrecoverably lost; nor could the body of the emperor ever be found. Such was the fate of Decius, in the fiftieth year of his age; an accomplished prince, active in war and affable in peace; who, together with his son, has deserved to be compared, both in life and death, with the brightest examples of ancient virtue.

    This fatal blow humbled, for a very little time, she insolence of the legions. They appeared to have patiently expected, and submissively obeyed, the decree of the senate which regulated the succession to the throne. From a just regard for the memory of Decius, the Imperial title was conferred on Hostilianus, his only surviving son; but an equal rank, with more effectual power, was granted to Gallus, whose experience and ability seemed equal to the great trust of guardian to the

    young prince and the distressed empire. The first care of the new emperor was to deliver the Illyrian provinces from the intolerable weight of the victorious Goths. He consented to leave in their hands the rich fruits of their invasion, an immense booty, and what was still more disgraceful, a great number of prisoners of the highest merit and quality. He plentifully supplied their camp with every conveniency that could assuage their angry spirits or facilitate their so much wished-for departure; and he even promised to pay them annually a large sum of gold, on condition they should never afterwards infest the Roman territories by their incursions.

    In the age of the Scipios, the most opulent kings of the earth, who courted the protection of the victorious commonwealth, were gratified with such trifling presents as could only derive a value from the hand that bestowed them; an ivory chair, a coarse garment of purple, an inconsiderable piece of plate, or a quantity of copper coin. After the wealth of nations had centred in Rome, the emperors displayed their greatness, and even their policy, by the regular exercise of a steady and moderate liberality towards the allies of the state. They relieved the poverty of the barbarians, honored their merit, and recompensed their fidelity. These voluntary marks of bounty were understood to flow, not from the fears, but merely from the generosity or the gratitude of the Romans; and whilst presents and subsidies were liberally distributed among friends and suppliants, they were sternly refused to such as claimed them as a debt. But this stipulation, of an annual payment to a victorious enemy, appeared without disguise in the light of an ignominious tribute; the minds of the Romans were not yet accustomed to accept such unequal laws from a tribe of barbarians; and the prince, who by a necessary concession had probably saved his country, became the object of the general contempt and aversion. The death of Hostiliamus, though it happened in the midst of a raging pestilence, was interpreted as the personal crime of Gallus; and even the defeat of the later emperor was ascribed by the voice of suspicion to the perfidious counsels of his hated

    successor. The tranquillity which the empire enjoyed during the first year of his administration, served rather to inflame than to appease the public discontent; and as soon as the apprehensions of war were removed, the infamy of the peace was more deeply and more sensibly felt.

    But the Romans were irritated to a still higher degree, when they discovered that they had not even secured their repose, though at the expense of their honor. The dangerous secret of the wealth and weakness of the empire had been revealed to the world. New swarms of barbarians, encouraged by the success, and not conceiving themselves bound by the obligation of their brethren, spread devastation though the Illyrian provinces, and terror as far as the gates of Rome. The defence of the monarchy, which seemed abandoned by the pusillanimous emperor, was assumed by Æmilianus, governor of Pannonia and Mæsia; who rallied the scattered forces, and revived the fainting spirits of the troops. The barbarians were unexpectedly attacked, routed, chased, and pursued beyond the Danube. The victorious leader distributed as a donative the money collected for the tribute, and the acclamations of the soldiers proclaimed him emperor on the field of battle. Gallus, who, careless of the general welfare, indulged himself in the pleasures of Italy, was almost in the same instant informed of the success, of the revolt, and of the rapid approach of his aspiring lieutenant. He advanced to meet him as far as the plains of Spoleto. When the armies came in right of each other, the soldiers of Gallus compared the ignominious conduct of their sovereign with the glory of his rival. They admired the valor of Æmilianus; they were attracted by his liberality, for he offered a considerable increase of pay to all deserters. The murder of Gallus, and of his son Volusianus, put an end to the civil war; and the senate gave a legal sanction to the rights of conquest. The letters of Æmilianus to that assembly displayed a mixture of moderation and vanity. He assured them, that he should resign to their wisdom the civil administration; and, contenting himself with the quality of their general, would in a short time assert the glory of

    Rome, and deliver the empire from all the barbarians both of the North and of the East. His pride was flattered by the applause of the senate; and medals are still extant, representing him with the name and attributes of Hercules the Victor, and Mars the Avenger.

    If the new monarch possessed the abilities, he wanted the time, necessary to fulfil these splendid promises. Less than four months intervened between his victory and his fall. He had vanquished Gallus: he sunk under the weight of a competitor more formidable than Gallus. That unfortunate prince had sent Valerian, already distinguished by the honorable title of censor, to bring the legions of Gaul and Germany to his aid. Valerian executed that commission with zeal and fidelity; and as he arrived too late to save his sovereign, he resolved to revenge him. The troops of Æmilianus, who still lay encamped in the plains of Spoleto, were awed by the sanctity of his character, but much more by the superior strength of his army; and as they were now become as incapable of personal attachment as they had always been of constitutional principle, they readily imbrued their hands in the blood of a prince who so lately had been the object of their partial choice. The guilt was theirs, * but the advantage of it was Valerian’s; who obtained the possession of the throne by the means indeed of a civil war, but with a degree of innocence singular in that age of revolutions; since he owed neither gratitude nor allegiance to his predecessor, whom he dethroned.

    Valerian was about sixty years of age when he was invested with the purple, not by the caprice of the populace, or the clamors of the army, but by the unanimous voice of the Roman world. In his gradual ascent through the honors of the state, he had deserved the favor of virtuous princes, and had declared himself the enemy of tyrants. His noble birth, his mild but unblemished manners, his learning, prudence, and experience, were revered by the senate and people; and if mankind (according to the observation of an ancient writer)

    had been left at liberty to choose a master, their choice would most assuredly have fallen on Valerian. Perhaps the merit of this emperor was inadequate to his reputation; perhaps his abilities, or at least his spirit, were affected by the languor and coldness of old age. The consciousness of his decline engaged him to share the throne with a younger and more active associate; the emergency of the times demanded a general no less than a prince; and the experience of the Roman censor might have directed him where to bestow the Imperial purple, as the reward of military merit. But instead of making a judicious choice, which would have confirmed his reign and endeared his memory, Valerian, consulting only the dictates of affection or vanity, immediately invested with the supreme honors his son Gallienus, a youth whose effeminate vices had been hitherto concealed by the obscurity of a private station. The joint government of the father and the son subsisted about seven, and the sole administration of Gallien continued about eight, years. But the whole period was one uninterrupted series of confusion and calamity. As the Roman empire was at the same time, and on every side, attacked by the blind fury of foreign invaders, and the wild ambition of domestic usurpers, we shall consult order and perspicuity, by pursuing, not so much the doubtful arrangement of dates, as the more natural distribution of subjects. The most dangerous enemies of Rome, during the reigns of Valerian and Gallienus, were, 1. The Franks; 2. The Alemanni; 3. The Goths; and, 4. The Persians. Under these general appellations, we may comprehend the adventures of less considerable tribes, whose obscure and uncouth names would only serve to oppress the memory and perplex the attention of the reader.

    1. As the posterity of the Franks compose one of the greatest and most enlightened nations of Europe, the powers of learning and ingenuity have been exhausted in the discovery of their unlettered ancestors. To the tales of credulity have succeeded the systems of fancy. Every passage has been sifted, every spot has been surveyed, that might possibly reveal some faint traces of their origin. It has been supposed

    that Pannonia, that Gaul, that the northern parts of Germany, gave birth to that celebrated colony of warriors. At length the most rational critics, rejecting the fictitious emigrations of ideal conquerors, have acquiesced in a sentiment whose simplicity persuades us of its truth. They suppose, that about the year two hundred and forty, a new confederacy was formed under the name of Franks, by the old inhabitants of the Lower Rhine and the Weser. * The present circle of Westphalia, the Landgraviate of Hesse, and the duchies of Brunswick and Luneburg, were the ancient of the Chauci who, in their inaccessible morasses, defied the Roman arms; of the Cherusci, proud of the fame of Arminius; of the Catti, formidable by their firm and intrepid infantry; and of several other tribes of inferior power and renown. The love of liberty was the ruling passion of these Germans; the enjoyment of it their best treasure; the word that expressed that enjoyment, the most pleasing to their ear. They deserved, they assumed, they maintained the honorable appellation of Franks, or Freemen; which concealed, though it did not extinguish, the peculiar names of the several states of the confederacy. Tacit consent, and mutual advantage, dictated the first laws of the union; it was gradually cemented by habit and experience. The league of the Franks may admit of some comparison with the Helvetic body; in which every canton, retaining its independent sovereignty, consults with its brethren in the common cause, without acknowledging the authority of any supreme head, or representative assembly. But the principle of the two confederacies was extremely different. A peace of two hundred years has rewarded the wise and honest policy of the Swiss. An inconstant spirit, the thirst of rapine, and a disregard to the most solemn treaties, disgraced the character of the Franks.

    Chapter X: Emperors Decius, Gallus, Æmilianus, Valerian And Gallienus. —

    Part III.

    The Romans had long experienced the daring valor of the people of Lower Germany. The union of their strength threatened Gaul with a more formidable invasion, and required the presence of Gallienus, the heir and colleague of Imperial power. Whilst that prince, and his infant son Salonius, displayed, in the court of Treves, the majesty of the empire its armies were ably conducted by their general, Posthumus, who, though he afterwards betrayed the family of Valerian, was ever faithful to the great interests of the monarchy. The treacherous language of panegyrics and medals darkly announces a long series of victories. Trophies and titles attest (if such evidence can attest) the fame of Posthumus, who is repeatedly styled the Conqueror of the Germans, and the Savior of Gaul.

    But a single fact, the only one indeed of which we have any distinct knowledge, erases, in a great measure, these monuments of vanity and adulation. The Rhine, though dignified with the title of Safeguard of the provinces, was an imperfect barrier against the daring spirit of enterprise with which the Franks were actuated. Their rapid devastations stretched from the river to the foot of the Pyrenees; nor were they stopped by those mountains. Spain, which had never dreaded, was unable to resist, the inroads of the Germans. During twelve years, the greatest part of the reign of Gallie nus, that opulent country was the theatre of unequal and destructive hostilities. Tarragona, the flourishing capital of a peaceful province, was sacked and almost destroyed; and so late as the days of Orosius, who wrote in the fifth century, wretched cottages, scattered amidst the ruins of magnificent cities, still recorded the rage of the barbarians. When the exhausted country no longer supplied a variety of plunder, the Franks seized on some vessels in the ports of Spain, and transported themselves into Mauritania. The distant province was astonished with the fury of these barbarians, who seemed to fall from a new world, as their name, manners, and complexion, were equally unknown on the coast of Africa.

    1. In that part of Upper Saxony, beyond the Elbe, which is at present called the Marquisate of Lusace, there existed, in ancient times, a sacred wood, the awful seat of the superstition of the Suevi. None were permitted to enter the holy precincts, without confessing, by their servile bonds and suppliant posture, the immediate presence of the sovereign Deity. Patriotism contributed, as well as devotion, to consecrate the Sonnenwald, or wood of the Semnones. It was universally believed, that the nation had received its first existence on that sacred spot. At stated periods, the numerous tribes who gloried in the Suevic blood, resorted thither by their ambassadors; and the memory of their common extraction was perpetrated by barbaric rites and human sacrifices. The wide-extended name of Suevi filled the interior countries of Germany, from the banks of the Oder to those of the Danube. They were distinguished from the other Germans by their peculiar mode of dressing their long hair, which they gathered into a rude knot on the crown of the head; and they delighted in an ornament that showed their ranks more lofty and terrible in the eyes of the enemy. Jealous as the Germans were of military renown, they all confessed the superior valor of the Suevi; and the tribes of the Usipetes and Tencteri, who, with a vast army, encountered the dictator Cæsar, declared that they esteemed it not a disgrace to have fled before a people to whose arms the immortal gods themselves were unequal.

    In the reign of the emperor Caracalla, an innumerable swarm of Suevi appeared on the banks of the Mein, and in the neighborhood of the Roman provinces, in quest either of food, of plunder, or of glory. The hasty army of volunteers gradually coalesced into a great and permanent nation, and as it was composed from so many different tribes, assumed the name of Alemanni, * or Allmen; to denote at once their various lineage and their common bravery. The latter was soon felt by the Romans in many a hostile inroad. The Alemanni fought chiefly on horseback; but their cavalry was rendered still more formidable by a mixture of light infantry, selected from the

    bravest and most active of the youth, whom frequent exercise had inured to accompany the horsemen in the longest march, the most rapid charge, or the most precipitate retreat.

    This warlike people of Germans had been astonished by the immense preparations of Alexander Severus; they were dismayed by the arms of his successor, a barbarian equal in valor and fierceness to themselves. But still hovering on the frontiers of the empire, they increased the general disorder that ensued after the death of Decius. They inflicted severe wounds on the rich provinces of Gaul; they were the first who removed the veil that covered the feeble majesty of Italy. A numerous body of the Alemanni penetrated across the Danube and through the Rhætian Alps into the plains of Lombardy, advanced as far as Ravenna, and displayed the victorious banners of barbarians almost in sight of Rome.

    The insult and the danger rekindled in the senate some sparks of their ancient virtue. Both the emperors were engaged in far distant wars, Valerian in the East, and Gallienus on the Rhine. All the hopes and resources of the Romans were in themselves. In this emergency, the senators resumed he defence of the republic, drew out the Prætorian guards, who had been left to garrison the capital, and filled up their numbers, by enlisting into the public service the stoutest and most willing of the Plebeians. The Alemanni, astonished with the sudden appearance of an army more numerous than their own, retired into Germany, laden with spoil; and their retreat was esteemed as a victory by the unwarlike Romans.

    When Gallienus received the intelligence that his capital was delivered from the barbarians, he was much less delighted than alarmed with the courage of the senate, since it might one day prompt them to rescue the public from domestic tyranny as well as from foreign invasion. His timid ingratitude was published to his subjects, in an edict which prohibited the senators from exercising any military employment, and even

    from approaching the camps of the legions. But his fears were groundless. The rich and luxurious nobles, sinking into their natural character, accepted, as a favor, this disgraceful exemption from military service; and as long as they were indulged in the enjoyment of their baths, their theatres, and their villas, they cheerfully resigned the more dangerous cares of empire to the rough hands of peasants and soldiers.

    Another invasion of the Alemanni, of a more formidable aspect, but more glorious event, is mentioned by a writer of the lower empire. Three hundred thousand are said to have been vanquished, in a battle near Milan, by Gallienus in person, at the head of only ten thousand Romans. We may, however, with great probability, ascribe this incredible victory either to the credulity of the historian, or to some exaggerated exploits of one of the emperor’s lieutenants. It was by arms of a very different nature, that Gallienus endeavored to protect Italy from the fury of the Germans. He espoused Pipa, the daughter of a king of the Marcomanni, a Suevic tribe, which was often confounded with the Alemanni in their wars and conquests. To the father, as the price of his alliance, he granted an ample settlement in Pannonia. The native charms of unpolished beauty seem to have fixed the daughter in the affections of the inconstant emperor, and the bands of policy were more firmly connected by those of love. But the haughty prejudice of Rome still refused the name of marriage to the profane mixture of a citizen and a barbarian; and has stigmatized the German princess with the opprobrious title of concubine of Gallienus.

    III. We have already traced the emigration of the Goths from Scandinavia, or at least from Prussia, to the mouth of the Borysthenes, and have followed their victorious arms from the Borysthenes to the Danube. Under the reigns of Valerian and Gallienus, the frontier of the last-mentioned river was perpetually infested by the inroads of Germans and Sarmatians; but it was defended by the Romans with more than usual firmness and success. The provinces that were the

    seat of war, recruited the armies of Rome with an inexhaustible supply of hardy soldiers; and more than one of these Illyrian peasants attained the station, and displayed the abilities, of a general. Though flying parties of the barbarians, who incessantly hovered on the banks of the Danube, penetrated sometimes to the confines of Italy and Macedonia, their progress was commonly checked, or their return intercepted, by the Imperial lieutenants. But the great stream of the Gothic hostilities was diverted into a very different channel. The Goths, in their new settlement of the Ukraine, soon became masters of the northern coast of the Euxine: to the south of that inland sea were situated the soft and wealthy provinces of Asia Minor, which possessed all that could attract, and nothing that could resist, a barbarian conqueror.

    The banks of the Borysthenes are only sixty miles distant from the narrow entrance of the peninsula of Crim Tartary, known to the ancients under the name of Chersonesus Taurica. On that inhospitable shore, Euripides, embellishing with exquisite art the tales of antiquity, has placed the scene of one of his most affecting tragedies. The bloody sacrifices of Diana, the arrival of Orestes and Pylades, and the triumph of virtue and religion over savage fierceness, serve to represent an historical truth, that the Tauri, the original inhabitants of the peninsula, were, in some degree, reclaimed from their brutal manners by a gradual intercourse with the Grecian colonies, which settled along the maritime coast. The little kingdom of Bosphorus, whose capital was situated on the Straits, through which the Mæotis communicates itself to the Euxine, was composed of degenerate Greeks and half-civilized barbarians. It subsisted, as an independent state, from the time of the Peloponnesian war, was at last swallowed up by the ambition of Mithridates, and, with the rest of his dominions, sunk under the weight of the Roman arms. From the reign of Augustus, the kings of Bosphorus were the humble, but not useless, allies of the empire. By presents, by arms, and by a slight fortification drawn across the Isthmus, they effectually guarded against the roving plunderers of Sarmatia, the access of a country,

    which, from its peculiar situation and convenient harbors, commanded the Euxine Sea and Asia Minor. As long as the sceptre was possessed by a lineal succession of kings, they acquitted themselves of their important charge with vigilance and success. Domestic factions, and the fears, or private interest, of obscure usurpers, who seized on the vacant throne, admitted the Goths into the heart of Bosphorus. With the acquisition of a superfluous waste of fertile soil, the conquerors obtained the command of a naval force, sufficient to transport their armies to the coast of Asia. This ships used in the navigation of the Euxine were of a very singular construction. They were slight flat-bottomed barks framed of timber only, without the least mixture of iron, and occasionally covered with a shelving roof, on the appearance of a tempest. In these floating houses, the Goths carelessly trusted themselves to the mercy of an unknown sea, under the conduct of sailors pressed into the service, and whose skill and fidelity were equally suspicious. But the hopes of plunder had banished every idea of danger, and a natural fearlessness of temper supplied in their minds the more rational confidence, which is the just result of knowledge and experience. Warriors of such a daring spirit must have often murmured against the cowardice of their guides, who required the strongest assurances of a settled calm before they would venture to embark; and would scarcely ever be tempted to lose sight of the land. Such, at least, is the practice of the modern Turks; and they are probably not inferior, in the art of navigation, to the ancient inhabitants of Bosphorus.

    The fleet of the Goths, leaving the coast of Circassia on the left hand, first appeared before Pityus, the utmost limits of the Roman provinces; a city provided with a convenient port, and fortified with a strong wall. Here they met with a resistance more obstinate than they had reason to expect from the feeble garrison of a distant fortress. They were repulsed; and their disappointment seemed to diminish the terror of the Gothic name. As long as Successianus, an officer of superior rank and merit, defended that frontier, all their efforts were

    ineffectual; but as soon as he was removed by Valerian to a more honorable but less important station, they resumed the attack of Pityus; and by the destruction of that city, obliterated the memory of their former disgrace.

    Circling round the eastern extremity of the Euxine Sea, the navigation from Pityus to Trebizond is about three hundred miles. The course of the Goths carried them in sight of the country of Colchis, so famous by the expedition of the Argonauts; and they even attempted, though without success, to pillage a rich temple at the mouth of the River Phasis. Trebizond, celebrated in the retreat of the ten thousand as an ancient colony of Greeks, derived its wealth and splendor from the magnificence of the emperor Hadrian, who had constructed an artificial port on a coast left destitute by nature of secure harbors. The city was large and populous; a double enclosure of walls seemed to defy the fury of the Goths, and the usual garrison had been strengthened by a reenforcement of ten thousand men. But there are not any advantages capable of supplying the absence of discipline and vigilance. The numerous garrison of Trebizond, dissolved in riot and luxury, disdained to guard their impregnable fortifications. The Goths soon discovered the supine negligence of the besieged, erected a lofty pile of fascines, ascended the walls in the silence of the night, and entered the defenceless city sword in hand. A general massacre of the people ensued, whilst the affrighted soldiers escaped through the opposite gates of the town. The most holy temples, and the most splendid edifices, were involved in a common destruction. The booty that fell into the hands of the Goths was immense: the wealth of the adjacent countries had been deposited in Trebizond, as in a secure place of refuge. The number of captives was incredible, as the victorious barbarians ranged without opposition through the extensive province of Pontus. The rich spoils of Trebizond filled a great fleet of ships that had been found in the port. The robust youth of the sea-coast were chained to the oar; and the Goths, satisfied with the

    success of their first naval expedition, returned in triumph to their new establishment in the kingdom of Bosphorus.

    The second expedition of the Goths was undertaken with greater powers of men and ships; but they steered a different course, and, disdaining the exhausted provinces of Pontus, followed the western coast of the Euxine, passed before the wide mouths of the Borysthenes, the Niester, and the Danube, and increasing their fleet by the capture of a great number of fishing barks, they approached the narrow outlet through which the Euxine Sea pours its waters into the Mediterranean, and divides the continents of Europe and Asia. The garrison of Chalcedon was encamped near the temple of Jupiter Urius, on a promontory that commanded the entrance of the Strait; and so inconsiderable were the dreaded invasions of the barbarians that this body of troops surpassed in number the Gothic army. But it was in numbers alone that they surpassed it. They deserted with precipitation their advantageous post, and abandoned the town of Chalcedon, most plentifully stored with arms and money, to the discretion of the conquerors. Whilst they hesitated whether they should prefer the sea or land Europe or Asia, for the scene of their hostilities, a perfidious fugitive pointed out Nicomedia, * once the capital of the kings of Bithynia, as a rich and easy conquest. He guided the march which was only sixty miles from the camp of Chalcedon, directed the resistless attack, and partook of the booty; for the Goths had learned sufficient policy to reward the traitor whom they detested. Nice, Prusa, Apamæa, Cius, cities that had sometimes rivalled, or imitated, the splendor of Nicomedia, were involved in the same calamity, which, in a few weeks, raged without control through the whole province of Bithynia. Three hundred years of peace, enjoyed by the soft inhabitants of Asia, had abolished the exercise of arms, and removed the apprehension of danger. The ancient walls were suffered to moulder away, and all the revenue of the most opulent cities was reserved for the construction of baths, temples, and theatres.

    When the city of Cyzicus withstood the utmost effort of Mithridates, it was distinguished by wise laws, a naval power of two hundred galleys, and three arsenals, of arms, of military engines, and of corn. It was still the seat of wealth and luxury; but of its ancient strength, nothing remained except the situation, in a little island of the Propontis, connected with the continent of Asia only by two bridges. From the recent sack of Prusa, the Goths advanced within eighteen miles. of the city, which they had devoted to destruction; but the ruin of Cyzicus was delayed by a fortunate accident. The season was rainy, and the Lake Apolloniates, the reservoir of all the springs of Mount Olympus, rose to an uncommon height. The little river of Rhyndacus, which issues from the lake, swelled into a broad and rapid stream, and stopped the progress of the Goths. Their retreat to the maritime city of Heraclea, where the fleet had probably been stationed, was attended by a long train of wagons, laden with the spoils of Bithynia, and was marked by the flames of Nice and Nicomedia, which they wantonly burnt. Some obscure hints are mentioned of a doubtful combat that secured their retreat. But even a complete victory would have been of little moment, as the approach of the autumnal equinox summoned them to hasten their return. To navigate the Euxine before the month of May, or after that of September, is esteemed by the modern Turks the most unquestionable instance of rashness and folly.

    When we are informed that the third fleet, equipped by the Goths in the ports of Bosphorus, consisted of five hundred sails of ships, our ready imagination instantly computes and multiplies the formidable armament; but, as we are assured by the judicious Strabo, that the piratical vessels used by the barbarians of Pontus and the Lesser Scythia, were not capable of containing more than twenty-five or thirty men we may safely affirm, that fifteen thousand warriors, at the most, embarked in this great expedition. Impatient of the limits of the Euxine, they steered their destructive course from the Cimmerian to the Thracian Bosphorus. When they had almost

    gained the middle of the Straits, they were suddenly driven back to the entrance of them; till a favorable wind, springing up the next day, carried them in a few hours into the placid sea, or rather lake, of the Propontis. Their landing on the little island of Cyzicus was attended with the ruin of that ancient and noble city. From thence issuing again through the narrow passage of the Hellespont, they pursued their winding navigation amidst the numerous islands scattered over the Archipelago, or the Ægean Sea. The assistance of captives and deserters must have been very necessary to pilot their vessels, and to direct their various incursions, as well on the coast of Greece as on that of Asia. At length the Gothic fleet anchored in the port of Piræus, five miles distant from Athens, which had attempted to make some preparations for a vigorous defence. Cleodamus, one of the engineers employed by the emperor’s orders to fortify the maritime cities against the Goths, had already begun to repair the ancient walls, fallen to decay since the time of Scylla. The efforts of his skill were ineffectual, and the barbarians became masters of the native seat of the muses and the arts. But while the conquerors abandoned themselves to the license of plunder and intemperance, their fleet, that lay with a slender guard in the harbor of Piræus, was unexpectedly attacked by the brave Daxippus, who, flying with the engineer Cleodamus from the sack of Athens, collected a hasty band of volunteers, peasants as well as soldiers, and in some measure avenged the calamities of his country.

    But this exploit, whatever lustre it might shed on the declining age of Athens, served rather to irritate than to subdue the undaunted spirit of the northern invaders. A general conflagration blazed out at the same time in every district of Greece. Thebes and Argos, Corinth and Sparta, which had formerly waged such memorable wars against each other, were now unable to bring an army into the field, or even to defend their ruined fortifications. The rage of war, both by land and by sea, spread from the eastern point of Sunium to the western coast of Epirus. The Goths had already advanced

    within sight of Italy, when the approach of such imminent danger awakened the indolent Gallienus from his dream of pleasure. The emperor appeared in arms; and his presence seems to have checked the ardor, and to have divided the strength, of the enemy. Naulobatus, a chief of the Heruli, accepted an honorable capitulation, entered with a large body of his countrymen into the service of Rome, and was invested with the ornaments of the consular dignity, which had never before been profaned by the hands of a barbarian. Great numbers of the Goths, disgusted with the perils and hardships of a tedious voyage, broke into Mæsia, with a design of forcing their way over the Danube to their settlements in the Ukraine. The wild attempt would have proved inevitable destruction, if the discord of the Roman generals had not opened to the barbarians the means of an escape. The small remainder of this destroying host returned on board their vessels; and measuring back their way through the Hellespont and the Bosphorus, ravaged in their passage the shores of Troy, whose fame, immortalized by Homer, will probably survive the memory of the Gothic conquests. As soon as they found themselves in safety within the basin of the Euxine, they landed at Anchialus in Thrace, near the foot of Mount Hæmus; and, after all their toils, indulged themselves in the use of those pleasant and salutary hot baths. What remained of the voyage was a short and easy navigation. Such was the various fate of this third and greatest of their naval enterprises. It may seem difficult to conceive how the original body of fifteen thousand warriors could sustain the losses and divisions of so bold an adventure. But as their numbers were gradually wasted by the sword, by shipwrecks, and by the influence of a warm climate, they were perpetually renewed by troops of banditti and deserters, who flocked to the standard of plunder, and by a crowd of fugitive slaves, often of German or Sarmatian extraction, who eagerly seized the glorious opportunity of freedom and revenge. In these expeditions, the Gothic nation claimed a superior share of honor and danger; but the tribes that fought under the Gothic banners are sometimes distinguished and sometimes confounded in the imperfect histories of that age; and as the barbarian fleets

    seemed to issue from the mouth of the Tanais, the vague but familiar appellation of Scythians was frequently bestowed on the mixed multitude.

    Chapter X: Emperors Decius, Gallus, Æmilianus, Valerian And Gallienus. —

    Part IV.

    In the general calamities of mankind, the death of an individual, however exalted, the ruin of an edifice, however famous, are passed over with careless inattention. Yet we cannot forget that the temple of Diana at Ephesus, after having risen with increasing splendor from seven repeated misfortunes, was finally burnt by the Goths in their third naval invasion. The arts of Greece, and the wealth of Asia, had conspired to erect that sacred and magnificent structure. It was supported by a hundred and twenty-seven marble columns of the Ionic order. They were the gifts of devout monarchs, and each was sixty feet high. The altar was adorned with the masterly sculptures of Praxiteles, who had, perhaps, selected from the favorite legends of the place the birth of the divine children of Latona, the concealment of Apollo after the slaughter of the Cyclops, and the clemency of Bacchus to the vanquished Amazons. Yet the length of the temple of Ephesus was only four hundred and twenty-five feet, about two thirds of the measure of the church of St. Peter’s at Rome. In the other dimensions, it was still more inferior to that sublime production of modern architecture. The spreading arms of a Christian cross require a much greater breadth than the oblong temples of the Pagans; and the boldest artists of antiquity would have been startled at the proposal of raising in the air a dome of the size and proportions of the Pantheon. The temple of Diana was, however, admired as one of the wonders of the world. Successive empires, the Persian, the Macedonian, and the Roman, had revered its sanctity and enriched its splendor. But the rude savages of the Baltic were destitute of a taste for the

    elegant arts, and they despised the ideal terrors of a foreign superstition.

    Another circumstance is related of these invasions, which might deserve our notice, were it not justly to be suspected as the fanciful conceit of a recent sophist. We are told, that in the sack of Athens the Goths had collected all the libraries, and were on the point of setting fire to this funeral pile of Grecian learning, had not one of their chiefs, of more refined policy than his brethren, dissuaded them from the design; by the profound observation, that as long as the Greeks were addicted to the study of books, they would never apply themselves to the exercise of arms. The sagacious counsellor (should the truth of the fact be admitted) reasoned like an ignorant barbarian. In the most polite and powerful nations, genius of every kind has displayed itself about the same period; and the age of science has generally been the age of military virtue and success.

    1. The new sovereign of Persia, Artaxerxes and his son Sapor, had triumphed (as we have already seen) over the house of Arsaces. Of the many princes of that ancient race. Chosroes, king of Armenia, had alone preserved both his life and his independence. He defended himself by the natural strength of his country; by the perpetual resort of fugitives and malecontents; by the alliance of the Romans, and above all, by his own courage. Invincible in arms, during a thirty years’ war, he was at length assassinated by the emissaries of Sapor, king of Persia. The patriotic satraps of Armenia, who asserted the freedom and dignity of the crown, implored the protection of Rome in favor of Tiridates, the lawful heir. But the son of Chosroes was an infant, the allies were at a distance, and the Persian monarch advanced towards the frontier at the head of an irresistible force. Young Tiridates, the future hope of his country, was saved by the fidelity of a servant, and Armenia continued above twenty-seven years a reluctant province of the great monarchy of Persia. Elated with this easy conquest, and presuming on the distresses or the degeneracy of the

    Romans, Sapor obliged the strong garrisons of Carrhæ and Nisibis * to surrender, and spread devastation and terror on either side of the Euphrates.

    The loss of an important frontier, the ruin of a faithful and natural ally, and the rapid success of Sapor’s ambition, affected Rome with a deep sense of the insult as well as of the danger. Valerian flattered himself, that the vigilance of his lieutenants would sufficiently provide for the safety of the Rhine and of the Danube; but he resolved, notwithstanding his advanced age, to march in person to the defence of the Euphrates. During his progress through Asia Minor, the naval enterprises of the Goths were suspended, and the afflicted province enjoyed a transient and fallacious calm. He passed the Euphrates, encountered the Persian monarch near the walls of Edessa, was vanquished, and taken prisoner by Sapor. The particulars of this great event are darkly and imperfectly represented; yet, by the glimmering light which is afforded us, we may discover a long series of imprudence, of error, and of deserved misfortunes on the side of the Roman emperor. He reposed an implicit confidence in Macrianus, his Prætorian præfect. That worthless minister rendered his master formidable only to the oppressed subjects, and contemptible to the enemies of Rome. By his weak or wicked counsels, the Imperial army was betrayed into a situation where valor and military skill were equally unavailing. The vigorous attempt of the Romans to cut their way through the Persian host was repulsed with great slaughter; and Sapor, who encompassed the camp with superior numbers, patiently waited till the increasing rage of famine and pestilence had insured his victory. The licentious murmurs of the legions soon accused Valerian as the cause of their calamities; their seditious clamors demanded an instant capitulation. An immense sum of gold was offered to purchase the permission of a disgraceful retreat. But the Persian, conscious of his superiority, refused the money with disdain; and detaining the deputies, advanced in order of battle to the foot of the Roman rampart, and insisted on a personal conference with the

    emperor. Valerian was reduced to the necessity of intrusting his life and dignity to the faith of an enemy. The interview ended as it was natural to expect. The emperor was made a prisoner, and his astonished troops laid down their arms. In such a moment of triumph, the pride and policy of Sapor prompted him to fill the vacant throne with a successor entirely dependent on his pleasure. Cyriades, an obscure fugitive of Antioch, stained with every vice, was chosen to dishonor the Roman purple; and the will of the Persian victor could not fail of being ratified by the acclamations, however reluctant, of the captive army.

    The Imperial slave was eager to secure the favor of his master by an act of treason to his native country. He conducted Sapor over the Euphrates, and, by the way of Chalcis, to the metropolis of the East. So rapid were the motions of the Persian cavalry, that, if we may credit a very judicious historian, the city of Antioch was surprised when the idle multitude was fondly gazing on the amusements of the theatre. The splendid buildings of Antioch, private as well as public, were either pillaged or destroyed; and the numerous inhabitants were put to the sword, or led away into captivity. The tide of devastation was stopped for a moment by the resolution of the high priest of Emesa. Arrayed in his sacerdotal robes, he appeared at the head of a great body of fanatic peasants, armed only with slings, and defended his god and his property from the sacrilegious hands of the followers of Zoroaster. But the ruin of Tarsus, and of many other cities, furnishes a melancholy proof that, except in this singular instance, the conquest of Syria and Cilicia scarcely interrupted the progress of the Persian arms. The advantages of the narrow passes of Mount Taurus were abandoned, in which an invader, whose principal force consisted in his cavalry, would have been engaged in a very unequal combat: and Sapor was permitted to form the siege of Cæsarea, the capital of Cappadocia; a city, though of the second rank, which was supposed to contain four hundred thousand inhabitants. Demosthenes commanded in the place, not so much by the

    commission of the emperor, as in the voluntary defence of his country. For a long time he deferred its fate; and when at last Cæsarea was betrayed by the perfidy of a physician, he cut his way through the Persians, who had been ordered to exert their utmost diligence to take him alive. This heroic chief escaped the power of a foe who might either have honored or punished his obstinate valor; but many thousands of his fellow-citizens were involved in a general massacre, and Sapor is accused of treating his prisoners with wanton and unrelenting cruelty. Much should undoubtedly be allowed for national animosity, much for humbled pride and impotent revenge; yet, upon the whole, it is certain, that the same prince, who, in Armenia, had displayed the mild aspect of a legislator, showed himself to the Romans under the stern features of a conqueror. He despaired of making any permanent establishment in the empire, and sought only to leave behind him a wasted desert, whilst he transported into Persia the people and the treasures of the provinces.

    At the time when the East trembled at the name of Sapor, he received a present not unworthy of the greatest kings; a long train of camels, laden with the most rare and valuable merchandises. The rich offering was accompanied with an epistle, respectful, but not servile, from Odenathus, one of the noblest and most opulent senators of Palmyra. “Who is this Odenathus,” (said the haughty victor, and he commanded that the present should be cast into the Euphrates,) “that he thus insolently presumes to write to his lord? If he entertains a hope of mitigating his punishment, let him fall prostrate before the foot of our throne, with his hands bound behind his back. Should he hesitate, swift destruction shall be poured on his head, on his whole race, and on his country.” The desperate extremity to which the Palmyrenian was reduced, called into action all the latent powers of his soul. He met Sapor; but he met him in arms. Infusing his own spirit into a little army collected from the villages of Syria and the tents of the desert, he hovered round the Persian host, harassed their retreat, carried off part of the treasure, and, what was dearer than any

    treasure, several of the women of the great king; who was at last obliged to repass the Euphrates with some marks of haste and confusion. By this exploit, Odenathus laid the foundations of his future fame and fortunes. The majesty of Rome, oppressed by a Persian, was protected by a Syrian or Arab of Palmyra.

    The voice of history, which is often little more than the organ of hatred or flattery, reproaches Sapor with a proud abuse of the rights of conquest. We are told that Valerian, in chains, but invested with the Imperial purple, was exposed to the multitude, a constant spectacle of fallen greatness; and that whenever the Persian monarch mounted on horseback, he placed his foot on the neck of a Roman emperor. Notwithstanding all the remonstrances of his allies, who repeatedly advised him to remember the vicissitudes of fortune, to dread the returning power of Rome, and to make his illustrious captive the pledge of peace, not the object of insult, Sapor still remained inflexible. When Valerian sunk under the weight of shame and grief, his skin, stuffed with straw, and formed into the likeness of a human figure, was preserved for ages in the most celebrated temple of Persia; a more real monument of triumph, than the fancied trophies of brass and marble so often erected by Roman vanity. The tale is moral and pathetic, but the truth of it may very fairly be called in question. The letters still extant from the princes of the East to Sapor are manifest forgeries; nor is it natural to suppose that a jealous monarch should, even in the person of a rival, thus publicly degrade the majesty of kings. Whatever treatment the unfortunate Valerian might experience in Persia, it is at least certain that the only emperor of Rome who had ever fallen into the hands of the enemy, languished away his life in hopeless captivity.

    The emperor Gallienus, who had long supported with impatience the censorial severity of his father and colleague, received the intelligence of his misfortunes with secret pleasure and avowed indifference. “I knew that my father was

    a mortal,” said he; “and since he has acted as it becomes a brave man, I am satisfied.” Whilst Rome lamented the fate of her sovereign, the savage coldness of his son was extolled by the servile courtiers as the perfect firmness of a hero and a stoic. It is difficult to paint the light, the various, the inconstant character of Gallienus, which he displayed without constraint, as soon as he became sole possessor of the empire. In every art that he attempted, his lively genius enabled him to succeed; and as his genius was destitute of judgment, he attempted every art, except the important ones of war and government. He was a master of several curious, but useless sciences, a ready orator, an elegant poet, a skilful gardener, an excellent cook, and most contemptible prince. When the great emergencies of the state required his presence and attention, he was engaged in conversation with the philosopher Plotinus, wasting his time in trifling or licentious pleasures, preparing his initiation to the Grecian mysteries, or soliciting a place in the Arcopagus of Athens. His profuse magnificence insulted the general poverty; the solemn ridicule of his triumphs impressed a deeper sense of the public disgrace. The repeated intelligence of invasions, defeats, and rebellions, he received with a careless smile; and singling out, with affected contempt, some particular production of the lost province, he carelessly asked, whether Rome must be ruined, unless it was supplied with linen from Egypt, and arras cloth from Gaul. There were, however, a few short moments in the life of Gallienus, when, exasperated by some recent injury, he suddenly appeared the intrepid soldier and the cruel tyrant; till, satiated with blood, or fatigued by resistance, he insensibly sunk into the natural mildness and indolence of his character.

    At the time when the reins of government were held with so loose a hand, it is not surprising, that a crowd of usurpers should start up in every province of the empire against the son of Valerian. It was probably some ingenious fancy, of comparing the thirty tyrants of Rome with the thirty tyrants of Athens, that induced the writers of the Augustan History to select that celebrated number, which has been gradually

    received into a popular appellation. But in every light the parallel is idle and defective. What resemblance can we discover between a council of thirty persons, the united oppressors of a single city, and an uncertain list of independent rivals, who rose and fell in irregular succession through the extent of a vast empire? Nor can the number of thirty be completed, unless we include in the account the women and children who were honored with the Imperial title. The reign of Gallienus, distracted as it was, produced only nineteen pretenders to the throne: Cyriades, Macrianus, Balista, Odenathus, and Zenobia, in the East; in Gaul, and the western provinces, Posthumus, Lollianus, Victorinus, and his mother Victoria, Marius, and Tetricus; in Illyricum and the confines of the Danube, Ingenuus, Regillianus, and Aureolus; in Pontus, Saturninus; in Isauria, Trebellianus; Piso in Thessaly; Valens in Achaia; Æmilianus in Egypt; and Celsus in Africa. * To illustrate the obscure monuments of the life and death of each individual, would prove a laborious task, alike barren of instruction and of amusement. We may content ourselves with investigating some general characters, that most strongly mark the condition of the times, and the manners of the men, their pretensions, their motives, their fate, and their destructive consequences of their usurpation.

    It is sufficiently known, that the odious appellation of Tyrant was often employed by the ancients to express the illegal seizure of supreme power, without any reference to the abuse of it. Several of the pretenders, who raised the standard of rebellion against the emperor Gallienus, were shining models of virtue, and almost all possessed a considerable share of vigor and ability. Their merit had recommended them to the favor of Valerian, and gradually promoted them to the most important commands of the empire. The generals, who assumed the title of Augustus, were either respected by their troops for their able conduct and severe discipline, or admired for valor and success in war, or beloved for frankness and generosity. The field of victory was often the scene of their election; and even the armorer Marius, the most contemptible

    of all the candidates for the purple, was distinguished, however by intrepid courage, matchless strength, and blunt honesty. His mean and recent trade cast, indeed, an air of ridicule on his elevation; * but his birth could not be more obscure than was that of the greater part of his rivals, who were born of peasants, and enlisted in the army as private soldiers. In times of confusion, every active genius finds the place assigned him by nature: in a general state of war, military merit is the road to glory and to greatness. Of the nineteen tyrants Tetricus only was a senator; Piso alone was a noble. The blood of Numa, through twenty-eight successive generations, ran in the veins of Calphurnius Piso, who, by female alliances, claimed a right of exhibiting, in his house, the images of Crassus and of the great Pompey. His ancestors had been repeatedly dignified with all the honors which the commonwealth could bestow; and of all the ancient families of Rome, the Calphurnian alone had survived the tyranny of the Cæsars. The personal qualities of Piso added new lustre to his race. The usurper Valens, by whose order he was killed, confessed, with deep remorse, that even an enemy ought to have respected the sanctity of Piso; and although he died in arms against Gallienus, the senate, with the emperor’s generous permission, decreed the triumphal ornaments to the memory of so virtuous a rebel.

    [See Roman Coins: From The British Museum. Number four depicts Crassus.]

    The lieutenants of Valerian were grateful to the father, whom they esteemed. They disdained to serve the luxurious indolence of his unworthy son. The throne of the Roman world was unsupported by any principle of loyalty; and treason against such a prince might easily be considered as patriotism to the state. Yet if we examine with candor the conduct of these usurpers, it will appear, that they were much oftener driven into rebellion by their fears, than urged to it by their ambition. They dreaded the cruel suspicions of Gallienus; they equally dreaded the capricious violence of their troops. If the

    dangerous favor of the army had imprudently declared them deserving of the purple, they were marked for sure destruction; and even prudence would counsel them to secure a short enjoyment of empire, and rather to try the fortune of war than to expect the hand of an executioner. When the clamor of the soldiers invested the reluctant victims with the ensigns of sovereign authority, they sometimes mourned in secret their approaching fate. “You have lost,” said Saturninus, on the day of his elevation, “you have lost a useful commander, and you have made a very wretched emperor.”

    The apprehensions of Saturninus were justified by the repeated experience of revolutions. Of the nineteen tyrants who started up under the reign of Gallienus, there was not one who enjoyed a life of peace, or a natural death. As soon as they were invested with the bloody purple, they inspired their adherents with the same fears and ambition which had occasioned their own revolt. Encompassed with domestic conspiracy, military sedition, and civil war, they trembled on the edge of precipices, in which, after a longer or shorter term of anxiety, they were inevitably lost. These precarious monarchs received, however, such honors as the flattery of their respective armies and provinces could bestow; but their claim, founded on rebellion, could never obtain the sanction of law or history. Italy, Rome, and the senate, constantly adhered to the cause of Gallienus, and he alone was considered as the sovereign of the empire. That prince condescended, indeed, to acknowledge the victorious arms of Odenathus, who deserved the honorable distinction, by the respectful conduct which he always maintained towards the son of Valerian. With the general applause of the Romans, and the consent of Gallienus, the senate conferred the title of Augustus on the brave Palmyrenian; and seemed to intrust him with the government of the East, which he already possessed, in so independent a manner, that, like a private succession, he bequeathed it to his illustrious widow, Zenobia.

    The rapid and perpetual transitions from the cottage to the

    throne, and from the throne to the grave, might have amused an indifferent philosopher; were it possible for a philosopher to remain indifferent amidst the general calamities of human kind. The election of these precarious emperors, their power and their death, were equally destructive to their subjects and adherents. The price of their fatal elevation was instantly discharged to the troops by an immense donative, drawn from the bowels of the exhausted people. However virtuous was their character, however pure their intentions, they found themselves reduced to the hard necessity of supporting their usurpation by frequent acts of rapine and cruelty. When they fell, they involved armies and provinces in their fall. There is still extant a most savage mandate from Gallienus to one of his ministers, after the suppression of Ingenuus, who had assumed the purple in Illyricum. “It is not enough,” says that soft but inhuman prince, “that you exterminate such as have appeared in arms; the chance of battle might have served me as effectually. The male sex of every age must be extirpated; provided that, in the execution of the children and old men, you can contrive means to save our reputation. Let every one die who has dropped an expression, who has entertained a thought against me, against me, the son of Valerian, the father and brother of so many princes. Remember that Ingenuus was made emperor: tear, kill, hew in pieces. I write to you with my own hand, and would inspire you with my own feelings.” Whilst the public forces of the state were dissipated in private quarrels, the defenceless provinces lay exposed to every invader. The bravest usurpers were compelled, by the perplexity of their situation, to conclude ignominious treaties with the common enemy, to purchase with oppressive tributes the neutrality or services of the Barbarians, and to introduce hostile and independent nations into the heart of the Roman monarchy.

    Such were the barbarians, and such the tyrants, who, under the reigns of Valerian and Gallienus, dismembered the provinces, and reduced the empire to the lowest pitch of disgrace and ruin, from whence it seemed impossible that it

    should ever emerge. As far as the barrenness of materials would permit, we have attempted to trace, with order and perspicuity, the general events of that calamitous period. There still remain some particular facts; I. The disorders of Sicily; II. The tumults of Alexandria; and, III. The rebellion of the Isaurians, which may serve to reflect a strong light on the horrid picture.

    1. Whenever numerous troops of banditti, multiplied by success and impunity, publicly defy, instead of eluding the justice of their country, we may safely infer, that the excessive weakness of the government is felt and abused by the lowest ranks of the community. The situation of Sicily preserved it from the Barbarians; nor could the disarmed province have supported a usurper. The sufferings of that once flourishing and still fertile island were inflicted by baser hands. A licentious crowd of slaves and peasants reigned for a while over the plundered country, and renewed the memory of the servile wars of more ancient times. Devastations, of which the husbandman was either the victim or the accomplice, must have ruined the agriculture of Sicily; and as the principal estates were the property of the opulent senators of Rome, who often enclosed within a farm the territory of an old republic, it is not improbable, that this private injury might affect the capital more deeply, than all the conquests of the Goths or the Persians.
    2. The foundation of Alexandria was a noble design, at once conceived and executed by the son of Philip. The beautiful and regular form of that great city, second only to Rome itself, comprehended a circumference of fifteen miles; it was peopled by three hundred thousand free inhabitants, besides at least an equal number of slaves. The lucrative trade of Arabia and India flowed through the port of Alexandria, to the capital and provinces of the empire. * Idleness was unknown. Some were employed in blowing of glass, others in weaving of linen, others again manufacturing the papyrus. Either sex, and every age, was engaged in the pursuits of industry, nor did even the

    blind or the lame want occupations suited to their condition. But the people of Alexandria, a various mixture of nations, united the vanity and inconstancy of the Greeks with the superstition and obstinacy of the Egyptians. The most trifling occasion, a transient scarcity of flesh or lentils, the neglect of an accustomed salutation, a mistake of precedency in the public baths, or even a religious dispute, were at any time sufficient to kindle a sedition among that vast multitude, whose resentments were furious and implacable. After the captivity of Valerian and the insolence of his son had relaxed the authority of the laws, the Alexandrians abandoned themselves to the ungoverned rage of their passions, and their unhappy country was the theatre of a civil war, which continued (with a few short and suspicious truces) above twelve years. All intercourse was cut off between the several quarters of the afflicted city, every street was polluted with blood, every building of strength converted into a citadel; nor did the tumults subside till a considerable part of Alexandria was irretrievably ruined. The spacious and magnificent district of Bruchion, * with its palaces and musæum, the residence of the kings and philosophers of Egypt, is described above a century afterwards, as already reduced to its present state of dreary solitude.

    III. The obscure rebellion of Trebellianus, who assumed the purple in Isauria, a petty province of Asia Minor, was attended with strange and memorable consequences. The pageant of royalty was soon destroyed by an officer of Gallienus; but his followers, despairing of mercy, resolved to shake off their allegiance, not only to the emperor, but to the empire, and suddenly returned to the savage manners from which they had never perfectly been reclaimed. Their craggy rocks, a branch of the wide-extended Taurus, protected their inaccessible retreat. The tillage of some fertile valleys supplied them with necessaries, and a habit of rapine with the luxuries of life. In the heart of the Roman monarchy, the Isaurians long continued a nation of wild barbarians. Succeeding princes, unable to reduce them to obedience, either by arms or policy,

    were compelled to acknowledge their weakness, by surrounding the hostile and independent spot with a strong chain of fortifications, which often proved insufficient to restrain the incursions of these domestic foes. The Isaurians, gradually extending their territory to the sea-coast, subdued the western and mountainous part of Cilicia, formerly the nest of those daring pirates, against whom the republic had once been obliged to exert its utmost force, under the conduct of the great Pompey.

    Our habits of thinking so fondly connect the order of the universe with the fate of man, that this gloomy period of history has been decorated with inundations, earthquakes, uncommon meteors, preternatural darkness, and a crowd of prodigies fictitious or exaggerated. But a long and general famine was a calamity of a more serious kind. It was the inevitable consequence of rapine and oppression, which extirpated the produce of the present, and the hope of future harvests. Famine is almost always followed by epidemical diseases, the effect of scanty and unwholesome food. Other causes must, however, have contributed to the furious plague, which, from the year two hundred and fifty to the year two hundred and sixty-five, raged without interruption in every province, every city, and almost every family, of the Roman empire. During some time five thousand persons died daily in Rome; and many towns, that had escaped the hands of the Barbarians, were entirely depopulated.

    We have the knowledge of a very curious circumstance, of some use perhaps in the melancholy calculation of human calamities. An exact register was kept at Alexandria of all the citizens entitled to receive the distribution of corn. It was found, that the ancient number of those comprised between the ages of forty and seventy, had been equal to the whole sum of claimants, from fourteen to fourscore years of age, who remained alive after the reign of Gallienus. Applying this authentic fact to the most correct tables of mortality, it evidently proves, that above half the people of Alexandria had

    perished; and could we venture to extend the analogy to the other provinces, we might suspect, that war, pestilence, and famine, had consumed, in a few years, the moiety of the human species.

    Chapter XI:

    Reign Of Claudius, Defeat Of The Goths.

    Part I.

    Reign Of Claudius. — Defeat Of The Goths. — Victories, Triumph, And Death Of Aurelian.

    Under the deplorable reigns of Valerian and Gallienus, the empire was oppressed and almost destroyed by the soldiers, the tyrants, and the barbarians. It was saved by a series of great princes, who derived their obscure origin from the martial provinces of Illyricum. Within a period of about thirty years, Claudius, Aurelian, Probus, Diocletian and his colleagues, triumphed over the foreign and domestic enemies of the state, reestablished, with the military discipline, the strength of the frontiers, and deserved the glorious title of Restorers of the Roman world.

    The removal of an effeminate tyrant made way for a succession of heroes. The indignation of the people imputed all their calamities to Gallienus, and the far greater part were indeed, the consequence of his dissolute manners and careless administration. He was even destitute of a sense of honor, which so frequently supplies the absence of public virtue; and as long as he was permitted to enjoy the possession of Italy, a victory of the barbarians, the loss of a province, or the rebellion of a general, seldom disturbed the tranquil course of his pleasures. At length, a considerable army, stationed on the

    Upper Danube, invested with the Imperial purple their leader Aureolus; who, disdaining a confined and barren reign over the mountains of Rhætia, passed the Alps, occupied Milan, threatened Rome, and challenged Gallienus to dispute in the field the sovereignty of Italy. The emperor, provoked by the insult, and alarmed by the instant danger, suddenly exerted that latent vigor which sometimes broke through the indolence of his temper. Forcing himself from the luxury of the palace, he appeared in arms at the head of his legions, and advanced beyond the Po to encounter his competitor. The corrupted name of Pontirolo still preserves the memory of a bridge over the Adda, which, during the action, must have proved an object of the utmost importance to both armies. The Rhætian usurper, after receiving a total defeat and a dangerous wound, retired into Milan. The siege of that great city was immediately formed; the walls were battered with every engine in use among the ancients; and Aureolus, doubtful of his internal strength, and hopeless of foreign succors already anticipated the fatal consequences of unsuccessful rebellion.

    His last resource was an attempt to seduce the loyalty of the besiegers. He scattered libels through the camp, inviting the troops to desert an unworthy master, who sacrificed the public happiness to his luxury, and the lives of his most valuable subjects to the slightest suspicions. The arts of Aureolus diffused fears and discontent among the principal officers of his rival. A conspiracy was formed by Heraclianus the Prætorian præfect, by Marcian, a general of rank and reputation, and by Cecrops, who commanded a numerous body of Dalmatian guards. The death of Gallienus was resolved; and notwithstanding their desire of first terminating the siege of Milan, the extreme danger which accompanied every moment’s delay obliged them to hasten the execution of their daring purpose. At a late hour of the night, but while the emperor still protracted the pleasures of the table, an alarm was suddenly given, that Aureolus, at the head of all his forces, had made a desperate sally from the town; Gallienus, who was never deficient in personal bravery, started from his

    silken couch, and without allowing himself time either to put on his armor, or to assemble his guards, he mounted on horseback, and rode full speed towards the supposed place of the attack. Encompassed by his declared or concealed enemies, he soon, amidst the nocturnal tumult, received a mortal dart from an uncertain hand. Before he expired, a patriotic sentiment using in the mind of Gallienus, induced him to name a deserving successor; and it was his last request, that the Imperial ornaments should be delivered to Claudius, who then commanded a detached army in the neighborhood of Pavia. The report at least was diligently propagated, and the order cheerfully obeyed by the conspirators, who had already agreed to place Claudius on the throne. On the first news of the emperor’s death, the troops expressed some suspicion and resentment, till the one was removed, and the other assuaged, by a donative of twenty pieces of gold to each soldier. They then ratified the election, and acknowledged the merit of their new sovereign.

    The obscurity which covered the origin of Claudius, though it was afterwards embellished by some flattering fictions, sufficiently betrays the meanness of his birth. We can only discover that he was a native of one of the provinces bordering on the Danube; that his youth was spent in arms, and that his modest valor attracted the favor and confidence of Decius. The senate and people already considered him as an excellent officer, equal to the most important trusts; and censured the inattention of Valerian, who suffered him to remain in the subordinate station of a tribune. But it was not long before that emperor distinguished the merit of Claudius, by declaring him general and chief of the Illyrian frontier, with the command of all the troops in Thrace, Mæsia, Dacia, Pannonia, and Dalmatia, the appointments of the præfect of Egypt, the establishment of the proconsul of Africa, and the sure prospect of the consulship. By his victories over the Goths, he deserved from the senate the honor of a statue, and excited the jealous apprehensions of Gallienus. It was impossible that a soldier could esteem so dissolute a sovereign, nor is it easy

    to conceal a just contempt. Some unguarded expressions which dropped from Claudius were officiously transmitted to the royal ear. The emperor’s answer to an officer of confidence describes in very lively colors his own character, and that of the times. “There is not any thing capable of giving me more serious concern, than the intelligence contained in your last despatch; that some malicious suggestions have indisposed towards us the mind of our friend and parent Claudius. As you regard your allegiance, use every means to appease his resentment, but conduct your negotiation with secrecy; let it not reach the knowledge of the Dacian troops; they are already provoked, and it might inflame their fury. I myself have sent him some presents: be it your care that he accept them with pleasure. Above all, let him not suspect that I am made acquainted with his imprudence. The fear of my anger might urge him to desperate counsels.” The presents which accompanied this humble epistle, in which the monarch solicited a reconciliation with his discontented subject, consisted of a considerable sum of money, a splendid wardrobe, and a valuable service of silver and gold plate. By such arts Gallienus softened the indignation and dispelled the fears of his Illyrian general; and during the remainder of that reign, the formidable sword of Claudius was always drawn in the cause of a master whom he despised. At last, indeed, he received from the conspirators the bloody purple of Gallienus: but he had been absent from their camp and counsels; and however he might applaud the deed, we may candidly presume that he was innocent of the knowledge of it. When Claudius ascended the throne, he was about fifty-four years of age.

    The siege of Milan was still continued, and Aureolus soon discovered that the success of his artifices had only raised up a more determined adversary. He attempted to negotiate with Claudius a treaty of alliance and partition. “Tell him,” replied the intrepid emperor, “that such proposals should have been made to Gallienus; he, perhaps, might have listened to them with patience, and accepted a colleague as despicable as himself.” This stern refusal, and a last unsuccessful effort,

    obliged Aureolus to yield the city and himself to the discretion of the conqueror. The judgment of the army pronounced him worthy of death; and Claudius, after a feeble resistance, consented to the execution of the sentence. Nor was the zeal of the senate less ardent in the cause of their new sovereign. They ratified, perhaps with a sincere transport of zeal, the election of Claudius; and, as his predecessor had shown himself the personal enemy of their order, they exercised, under the name of justice, a severe revenge against his friends and family. The senate was permitted to discharge the ungrateful office of punishment, and the emperor reserved for himself the pleasure and merit of obtaining by his intercession a general act of indemnity.

    Such ostentatious clemency discovers less of the real character of Claudius, than a trifling circumstance in which he seems to have consulted only the dictates of his heart. The frequent rebellions of the provinces had involved almost every person in the guilt of treason, almost every estate in the case of confiscation; and Gallienus often displayed his liberality by distributing among his officers the property of his subjects. On the accession of Claudius, an old woman threw herself at his feet, and complained that a general of the late emperor had obtained an arbitrary grant of her patrimony. This general was Claudius himself, who had not entirely escaped the contagion of the times. The emperor blushed at the reproach, but deserved the confidence which she had reposed in his equity. The confession of his fault was accompanied with immediate and ample restitution.

    In the arduous task which Claudius had undertaken, of restoring the empire to its ancient splendor, it was first necessary to revive among his troops a sense of order and obedience. With the authority of a veteran commander, he represented to them that the relaxation of discipline had introduced a long train of disorders, the effects of which were at length experienced by the soldiers themselves; that a people ruined by oppression, and indolent from despair, could no

    longer supply a numerous army with the means of luxury, or even of subsistence; that the danger of each individual had increased with the despotism of the military order, since princes who tremble on the throne will guard their safety by the instant sacrifice of every obnoxious subject. The emperor expiated on the mischiefs of a lawless caprice, which the soldiers could only gratify at the expense of their own blood; as their seditious elections had so frequently been followed by civil wars, which consumed the flower of the legions either in the field of battle, or in the cruel abuse of victory. He painted in the most lively colors the exhausted state of the treasury, the desolation of the provinces, the disgrace of the Roman name, and the insolent triumph of rapacious barbarians. It was against those barbarians, he declared, that he intended to point the first effort of their arms. Tetricus might reign for a while over the West, and even Zenobia might preserve the dominion of the East. These usurpers were his personal adversaries; nor could he think of indulging any private resentment till he had saved an empire, whose impending ruin would, unless it was timely prevented, crush both the army and the people.

    The various nations of Germany and Sarmatia, who fought under the Gothic standard, had already collected an armament more formidable than any which had yet issued from the Euxine. On the banks of the Niester, one of the great rivers that discharge themselves into that sea, they constructed a fleet of two thousand, or even of six thousand vessels; numbers which, however incredible they may seem, would have been insufficient to transport their pretended army of three hundred and twenty thousand barbarians. Whatever might be the real strength of the Goths, the vigor and success of the expedition were not adequate to the greatness of the preparations. In their passage through the Bosphorus, the unskilful pilots were overpowered by the violence of the current; and while the multitude of their ships were crowded in a narrow channel, many were dashed against each other, or against the shore. The barbarians made several descents on

    the coasts both of Europe and Asia; but the open country was already plundered, and they were repulsed with shame and loss from the fortified cities which they assaulted. A spirit of discouragement and division arose in the fleet, and some of their chiefs sailed away towards the islands of Crete and Cyprus; but the main body, pursuing a more steady course, anchored at length near the foot of Mount Athos, and assaulted the city of Thessalonica, the wealthy capital of all the Macedonian provinces. Their attacks, in which they displayed a fierce but artless bravery, were soon interrupted by the rapid approach of Claudius, hastening to a scene of action that deserved the presence of a warlike prince at the head of the remaining powers of the empire. Impatient for battle, the Goths immediately broke up their camp, relinquished the siege of Thessalonica, left their navy at the foot of Mount Athos, traversed the hills of Macedonia, and pressed forwards to engage the last defence of Italy.

    We still posses an original letter addressed by Claudius to the senate and people on this memorable occasion. “Conscript fathers,” says the emperor, “know that three hundred and twenty thousand Goths have invaded the Roman territory. If I vanquish them, your gratitude will reward my services. Should I fall, remember that I am the successor of Gallienus. The whole republic is fatigued and exhausted. We shall fight after Valerian, after Ingenuus, Regillianus, Lollianus, Posthumus, Celsus, and a thousand others, whom a just contempt for Gallienus provoked into rebellion. We are in want of darts, of spears, and of shields. The strength of the empire, Gaul, and Spain, are usurped by Tetricus, and we blush to acknowledge that the archers of the East serve under the banners of Zenobia. Whatever we shall perform will be sufficiently great.” The melancholy firmness of this epistle announces a hero careless of his fate, conscious of his danger, but still deriving a well-grounded hope from the resources of his own mind.

    The event surpassed his own expectations and those of the world. By the most signal victories he delivered the empire

    from this host of barbarians, and was distinguished by posterity under the glorious appellation of the Gothic Claudius. The imperfect historians of an irregular war do not enable as to describe the order and circumstances of his exploits; but, if we could be indulged in the allusion, we might distribute into three acts this memorable tragedy. I. The decisive battle was fought near Naissus, a city of Dardania. The legions at first gave way, oppressed by numbers, and dismayed by misfortunes. Their ruin was inevitable, had not the abilities of their emperor prepared a seasonable relief. A large detachment, rising out of the secret and difficult passes of the mountains, which, by his order, they had occupied, suddenly assailed the rear of the victorious Goths. The favorable instant was improved by the activity of Claudius. He revived the courage of his troops, restored their ranks, and pressed the barbarians on every side. Fifty thousand men are reported to have been slain in the battle of Naissus. Several large bodies of barbarians, covering their retreat with a movable fortification of wagons, retired, or rather escaped, from the field of slaughter. II. We may presume that some insurmountable difficulty, the fatigue, perhaps, or the disobedience, of the conquerors, prevented Claudius from completing in one day the destruction of the Goths. The war was diffused over the province of Mæsia, Thrace, and Macedonia, and its operations drawn out into a variety of marches, surprises, and tumultuary engagements, as well by sea as by land. When the Romans suffered any loss, it was commonly occasioned by their own cowardice or rashness; but the superior talents of the emperor, his perfect knowledge of the country, and his judicious choice of measures as well as officers, assured on most occasions the success of his arms. The immense booty, the fruit of so many victories, consisted for the greater part of cattle and slaves. A select body of the Gothic youth was received among the Imperial troops; the remainder was sold into servitude; and so considerable was the number of female captives, that every soldier obtained to his share two or three women. A circumstance from which we may conclude, that the invaders entertained some designs of settlement as well as of plunder; since even in a naval

    expedition, they were accompanied by their families. III. The loss of their fleet, which was either taken or sunk, had intercepted the retreat of the Goths. A vast circle of Roman posts, distributed with skill, supported with firmness, and gradually closing towards a common centre, forced the barbarians into the most inaccessible parts of Mount Hæmus, where they found a safe refuge, but a very scanty subsistence. During the course of a rigorous winter in which they were besieged by the emperor’s troops, famine and pestilence, desertion and the sword, continually diminished the imprisoned multitude. On the return of spring, nothing appeared in arms except a hardy and desperate band, the remnant of that mighty host which had embarked at the mouth of the Niester.

    The pestilence which swept away such numbers of the barbarians, at length proved fatal to their conqueror. After a short but glorious reign of two years, Claudius expired at Sirmium, amidst the tears and acclamations of his subjects. In his last illness, he convened the principal officers of the state and army, and in their presence recommended Aurelian, one of his generals, as the most deserving of the throne, and the best qualified to execute the great design which he himself had been permitted only to undertake. The virtues of Claudius, his valor, affability, justice, and temperance, his love of fame and of his country, place him in that short list of emperors who added lustre to the Roman purple. Those virtues, however, were celebrated with peculiar zeal and complacency by the courtly writers of the age of Constantine, who was the great grandson of Crispus, the elder brother of Claudius. The voice of flattery was soon taught to repeat, that gods, who so hastily had snatched Claudius from the earth, rewarded his merit and piety by the perpetual establishment of the empire in his family.

    Notwithstanding these oracles, the greatness of the Flavian family (a name which it had pleased them to assume) was deferred above twenty years, and the elevation of Claudius

    occasioned the immediate ruin of his brother Quintilius, who possessed not sufficient moderation or courage to descend into the private station to which the patriotism of the late emperor had condemned him. Without delay or reflection, he assumed the purple at Aquileia, where he commanded a considerable force; and though his reign lasted only seventeen days, * he had time to obtain the sanction of the senate, and to experience a mutiny of the troops. As soon as he was informed that the great army of the Danube had invested the well-known valor of Aurelian with Imperial power, he sunk under the fame and merit of his rival; and ordering his veins to be opened, prudently withdrew himself from the unequal contest.

    The general design of this work will not permit us minutely to relate the actions of every emperor after he ascended the throne, much less to deduce the various fortunes of his private life. We shall only observe, that the father of Aurelian was a peasant of the territory of Sirmium, who occupied a small farm, the property of Aurelius, a rich senator. His warlike son enlisted in the troops as a common soldier, successively rose to the rank of a centurion, a tribune, the præfect of a legion, the inspector of the camp, the general, or, as it was then called, the duke, of a frontier; and at length, during the Gothic war, exercised the important office of commander-in-chief of the cavalry. In every station he distinguished himself by matchless valor, rigid discipline, and successful conduct. He was invested with the consulship by the emperor Valerian, who styles him, in the pompous language of that age, the deliverer of Illyricum, the restorer of Gaul, and the rival of the Scipios. At the recommendation of Valerian, a senator of the highest rank and merit, Ulpius Crinitus, whose blood was derived from the same source as that of Trajan, adopted the Pannonian peasant, gave him his daughter in marriage, and relieved with his ample fortune the honorable poverty which Aurelian had preserved inviolate.

    The reign of Aurelian lasted only four years and about nine months; but every instant of that short period was filled by

    some memorable achievement. He put an end to the Gothic war, chastised the Germans who invaded Italy, recovered Gaul, Spain, and Britain out of the hands of Tetricus, and destroyed the proud monarchy which Zenobia had erected in the East on the ruins of the afflicted empire.

    It was the rigid attention of Aurelian, even to the minutest articles of discipline, which bestowed such uninterrupted success on his arms. His military regulations are contained in a very concise epistle to one of his inferior officers, who is commanded to enforce them, as he wishes to become a tribune, or as he is desirous to live. Gaming, drinking, and the arts of divination, were severely prohibited. Aurelian expected that his soldiers should be modest, frugal, and laborous; that their armor should be constantly kept bright, their weapons sharp, their clothing and horses ready for immediate service; that they should live in their quarters with chastity and sobriety, without damaging the cornfields, without stealing even a sheep, a fowl, or a bunch of grapes, without exacting from their landlords, either salt, or oil, or wood. “The public allowance,” continues the emperor, “is sufficient for their support; their wealth should be collected from the spoils of the enemy, not from the tears of the provincials.” A single instance will serve to display the rigor, and even cruelty, of Aurelian. One of the soldiers had seduced the wife of his host. The guilty wretch was fastened to two trees forcibly drawn towards each other, and his limbs were torn asunder by their sudden separation. A few such examples impressed a salutary consternation. The punishments of Aurelian were terrible; but he had seldom occasion to punish more than once the same offence. His own conduct gave a sanction to his laws, and the seditious legions dreaded a chief who had learned to obey, and who was worthy to command.

    Chapter XI: Reign Of Claudius, Defeat Of The Goths. —

    Part II.

    The death of Claudius had revived the fainting spirit of the Goths. The troops which guarded the passes of Mount Hæmus, and the banks of the Danube, had been drawn away by the apprehension of a civil war; and it seems probable that the remaining body of the Gothic and Vandalic tribes embraced the favorable opportunity, abandoned their settlements of the Ukraine, traversed the rivers, and swelled with new multitudes the destroying host of their countrymen. Their united numbers were at length encountered by Aurelian, and the bloody and doubtful conflict ended only with the approach of night. Exhausted by so many calamities, which they had mutually endured and inflicted during a twenty years’ war, the Goths and the Romans consented to a lasting and beneficial treaty. It was earnestly solicited by the barbarians, and cheerfully ratified by the legions, to whose suffrage the prudence of Aurelian referred the decision of that important question. The Gothic nation engaged to supply the armies of Rome with a body of two thousand auxiliaries, consisting entirely of cavalry, and stipulated in return an undisturbed retreat, with a regular market as far as the Danube, provided by the emperor’s care, but at their own expense. The treaty was observed with such religious fidelity, that when a party of five hundred men straggled from the camp in quest of plunder, the king or general of the barbarians commanded that the guilty leader should be apprehended and shot to death with darts, as a victim devoted to the sanctity of their engagements. * It is, however, not unlikely, that the precaution of Aurelian, who had exacted as hostages the sons and daughters of the Gothic chiefs, contributed something to this pacific temper. The youths he trained in the exercise of arms, and near his own person: to the damsels he gave a liberal and Roman education, and by bestowing them in marriage on some of his principal officers, gradually introduced between the two nations the closest and most endearing connections.

    But the most important condition of peace was understood

    rather than expressed in the treaty. Aurelian withdrew the Roman forces from Dacia, and tacitly relinquished that great province to the Goths and Vandals. His manly judgment convinced him of the solid advantages, and taught him to despise the seeming disgrace, of thus contracting the frontiers of the monarchy. The Dacian subjects, removed from those distant possessions which they were unable to cultivate or defend, added strength and populousness to the southern side of the Danube. A fertile territory, which the repetition of barbarous inroads had changed into a desert, was yielded to their industry, and a new province of Dacia still preserved the memory of Trajan’s conquests. The old country of that name detained, however, a considerable number of its inhabitants, who dreaded exile more than a Gothic master. These degenerate Romans continued to serve the empire, whose allegiance they had renounced, by introducing among their conquerors the first notions of agriculture, the useful arts, and the conveniences of civilized life. An intercourse of commerce and language was gradually established between the opposite banks of the Danube; and after Dacia became an independent state, it often proved the firmest barrier of the empire against the invasions of the savages of the North. A sense of interest attached these more settled barbarians to the alliance of Rome, and a permanent interest very frequently ripens into sincere and useful friendship. This various colony, which filled the ancient province, and was insensibly blended into one great people, still acknowledged the superior renown and authority of the Gothic tribe, and claimed the fancied honor of a Scandinavian origin. At the same time, the lucky though accidental resemblance of the name of Getæ, * infused among the credulous Goths a vain persuasion, that in a remote age, their own ancestors, already seated in the Dacian provinces, had received the instructions of Zamolxis, and checked the victorious arms of Sesostris and Darius.

    While the vigorous and moderate conduct of Aurelian restored the Illyrian frontier, the nation of the Alemanni violated the conditions of peace, which either Gallienus had purchased, or

    Claudius had imposed, and, inflamed by their impatient youth, suddenly flew to arms. Forty thousand horse appeared in the field, and the numbers of the infantry doubled those of the cavalry. The first objects of their avarice were a few cities of the Rhætian frontier; but their hopes soon rising with success, the rapid march of the Alemanni traced a line of devastation from the Danube to the Po.

    The emperor was almost at the same time informed of the irruption, and of the retreat, of the barbarians. Collecting an active body of troops, he marched with silence and celerity along the skirts of the Hercynian forest; and the Alemanni, laden with the spoils of Italy, arrived at the Danube, without suspecting, that on the opposite bank, and in an advantageous post, a Roman army lay concealed and prepared to intercept their return. Aurelian indulged the fatal security of the barbarians, and permitted about half their forces to pass the river without disturbance and without precaution. Their situation and astonishment gave him an easy victory; his skilful conduct improved the advantage. Disposing the legions in a semicircular form, he advanced the two horns of the crescent across the Danube, and wheeling them on a sudden towards the centre, enclosed the rear of the German host. The dismayed barbarians, on whatsoever side they cast their eyes, beheld, with despair, a wasted country, a deep and rapid stream, a victorious and implacable enemy.

    Reduced to this distressed condition, the Alemanni no longer disdained to sue for peace. Aurelian received their ambassadors at the head of his camp, and with every circumstance of martial pomp that could display the greatness and discipline of Rome. The legions stood to their arms in well-ordered ranks and awful silence. The principal commanders, distinguished by the ensigns of their rank, appeared on horseback on either side of the Imperial throne. Behind the throne the consecrated images of the emperor, and his predecessors, the golden eagles, and the various titles of the legions, engraved in letters of gold, were exalted in the air on

    lofty pikes covered with silver. When Aurelian assumed his seat, his manly grace and majestic figure taught the barbarians to revere the person as well as the purple of their conqueror. The ambassadors fell prostrate on the ground in silence. They were commanded to rise, and permitted to speak. By the assistance of interpreters they extenuated their perfidy, magnified their exploits, expatiated on the vicissitudes of fortune and the advantages of peace, and, with an ill-timed confidence, demanded a large subsidy, as the price of the alliance which they offered to the Romans. The answer of the emperor was stern and imperious. He treated their offer with contempt, and their demand with indignation, reproached the barbarians, that they were as ignorant of the arts of war as of the laws of peace, and finally dismissed them with the choice only of submitting to this unconditional mercy, or awaiting the utmost severity of his resentment. Aurelian had resigned a distant province to the Goths; but it was dangerous to trust or to pardon these perfidious barbarians, whose formidable power kept Italy itself in perpetual alarms.

    Immediately after this conference, it should seem that some unexpected emergency required the emperor’s presence in Pannonia. He devolved on his lieutenants the care of finishing the destruction of the Alemanni, either by the sword, or by the surer operation of famine. But an active despair has often triumphed over the indolent assurance of success. The barbarians, finding it impossible to traverse the Danube and the Roman camp, broke through the posts in their rear, which were more feebly or less carefully guarded; and with incredible diligence, but by a different road, returned towards the mountains of Italy. Aurelian, who considered the war as totally extinguished, received the mortifying intelligence of the escape of the Alemanni, and of the ravage which they already committed in the territory of Milan. The legions were commanded to follow, with as much expedition as those heavy bodies were capable of exerting, the rapid flight of an enemy whose infantry and cavalry moved with almost equal swiftness. A few days afterwards, the emperor himself

    marched to the relief of Italy, at the head of a chosen body of auxiliaries, (among whom were the hostages and cavalry of the Vandals,) and of all the Prætorian guards who had served in the wars on the Danube.

    As the light troops of the Alemanni had spread themselves from the Alps to the Apennine, the incessant vigilance of Aurelian and his officers was exercised in the discovery, the attack, and the pursuit of the numerous detachments. Notwithstanding this desultory war, three considerable battles are mentioned, in which the principal force of both armies was obstinately engaged. The success was various. In the first, fought near Placentia, the Romans received so severe a blow, that, according to the expression of a writer extremely partial to Aurelian, the immediate dissolution of the empire was apprehended. The crafty barbarians, who had lined the woods, suddenly attacked the legions in the dusk of the evening, and, it is most probable, after the fatigue and disorder of a long march. The fury of their charge was irresistible; but, at length, after a dreadful slaughter, the patient firmness of the emperor rallied his troops, and restored, in some degree, the honor of his arms. The second battle was fought near Fano in Umbria; on the spot which, five hundred years before, had been fatal to the brother of Hannibal. Thus far the successful Germans had advanced along the Æmilian and Flaminian way, with a design of sacking the defenceless mistress of the world. But Aurelian, who, watchful for the safety of Rome, still hung on their rear, found in this place the decisive moment of giving them a total and irretrievable defeat. The flying remnant of their host was exterminated in a third and last battle near Pavia; and Italy was delivered from the inroads of the Alemanni.

    Fear has been the original parent of superstition, and every new calamity urges trembling mortals to deprecate the wrath of their invisible enemies. Though the best hope of the republic was in the valor and conduct of Aurelian, yet such was the public consternation, when the barbarians were hourly

    expected at the gates of Rome, that, by a decree of the senate the Sibylline books were consulted. Even the emperor himself from a motive either of religion or of policy, recommended this salutary measure, chided the tardiness of the senate, and offered to supply whatever expense, whatever animals, whatever captives of any nation, the gods should require. Notwithstanding this liberal offer, it does not appear, that any human victims expiated with their blood the sins of the Roman people. The Sibylline books enjoined ceremonies of a more harmless nature, processions of priests in white robes, attended by a chorus of youths and virgins; lustrations of the city and adjacent country; and sacrifices, whose powerful influence disabled the barbarians from passing the mystic ground on which they had been celebrated. However puerile in themselves, these superstitious arts were subservient to the success of the war; and if, in the decisive battle of Fano, the Alemanni fancied they saw an army of spectres combating on the side of Aurelian, he received a real and effectual aid from this imaginary reenforcement.

    But whatever confidence might be placed in ideal ramparts, the experience of the past, and the dread of the future, induced the Romans to construct fortifications of a grosser and more substantial kind. The seven hills of Rome had been surrounded, by the successors of Romulus, with an ancient wall of more than thirteen miles. The vast enclosure may seem disproportioned to the strength and numbers of the infant state. But it was necessary to secure an ample extent of pasture and arable land, against the frequent and sudden incursions of the tribes of Latium, the perpetual enemies of the republic. With the progress of Roman greatness, the city and its inhabitants gradually increased, filled up the vacant space, pierced through the useless walls, covered the field of Mars, and, on every side, followed the public highways in long and beautiful suburbs. The extent of the new walls, erected by Aurelian, and finished in the reign of Probus, was magnified by popular estimation to near fifty, but is reduced by accurate measurement to about twenty-one miles. It was a great but a

    melancholy labor, since the defence of the capital betrayed the decline of the monarchy. The Romans of a more prosperous age, who trusted to the arms of the legions the safety of the frontier camps, were very far from entertaining a suspicion, that it would ever become necessary to fortify the seat of empire against the inroads of the barbarians.

    The victory of Claudius over the Goths, and the success of Aurelian against the Alemanni, had already restored to the arms of Rome their ancient superiority over the barbarous nations of the North. To chastise domestic tyrants, and to reunite the dismembered parts of the empire, was a task reserved for the second of those warlike emperors. Though he was acknowledged by the senate and people, the frontiers of Italy, Africa, Illyricum, and Thrace, confined the limits of his reign. Gaul, Spain, and Britain, Egypt, Syria, and Asia Minor, were still possessed by two rebels, who alone, out of so numerous a list, had hitherto escaped the dangers of their situation; and to complete the ignominy of Rome, these rival thrones had been usurped by women.

    A rapid succession of monarchs had arisen and fallen in the provinces of Gaul. The rigid virtues of Posthumus served only to hasten his destruction. After suppressing a competitor, who had assumed the purple at Mentz, he refused to gratify his troops with the plunder of the rebellious city; and in the seventh year of his reign, became the victim of their disappointed avarice. The death of Victorinus, his friend and associate, was occasioned by a less worthy cause. The shining accomplishments of that prince were stained by a licentious passion, which he indulged in acts of violence, with too little regard to the laws of society, or even to those of love. He was slain at Cologne, by a conspiracy of jealous husbands, whose revenge would have appeared more justifiable, had they spared the innocence of his son. After the murder of so many valiant princes, it is somewhat remarkable, that a female for a long time controlled the fierce legions of Gaul, and still more singular, that she was the mother of the unfortunate

    Victorinus. The arts and treasures of Victoria enabled her successively to place Marius and Tetricus on the throne, and to reign with a manly vigor under the name of those dependent emperors. Money of copper, of silver, and of gold, was coined in her name; she assumed the titles of Augusta and Mother of the Camps: her power ended only with her life; but her life was perhaps shortened by the ingratitude of Tetricus.

    When, at the instigation of his ambitious patroness, Tetricus assumed the ensigns of royalty, he was governor of the peaceful province of Aquitaine, an employment suited to his character and education. He reigned four or five years over Gaul, Spain, and Britain, the slave and sovereign of a licentious army, whom he dreaded, and by whom he was despised. The valor and fortune of Aurelian at length opened the prospect of a deliverance. He ventured to disclose his melancholy situation, and conjured the emperor to hasten to the relief of his unhappy rival. Had this secret correspondence reached the ears of the soldiers, it would most probably have cost Tetricus his life; nor could he resign the sceptre of the West without committing an act of treason against himself. He affected the appearances of a civil war, led his forces into the field, against Aurelian, posted them in the most disadvantageous manner, betrayed his own counsels to his enemy, and with a few chosen friends deserted in the beginning of the action. The rebel legions, though disordered and dismayed by the unexpected treachery of their chief, defended themselves with desperate valor, till they were cut in pieces almost to a man, in this bloody and memorable battle, which was fought near Chalons in Champagne. The retreat of the irregular auxiliaries, Franks and Batavians, whom the conqueror soon compelled or persuaded to repass the Rhine, restored the general tranquillity, and the power of Aurelian was acknowledged from the wall of Antoninus to the columns of Hercules.

    As early as the reign of Claudius, the city of Autun, alone and unassisted, had ventured to declare against the legions of

    Gaul. After a siege of seven months, they stormed and plundered that unfortunate city, already wasted by famine. Lyons, on the contrary, had resisted with obstinate disaffection the arms of Aurelian. We read of the punishment of Lyons, but there is not any mention of the rewards of Autun. Such, indeed, is the policy of civil war; severely to remember injuries, and to forget the most important services. Revenge is profitable, gratitude is expensive.

    Aurelian had no sooner secured the person and provinces of Tetricus, than he turned his arms against Zenobia, the celebrated queen of Palmyra and the East. Modern Europe has produced several illustrious women who have sustained with glory the weight of empire; nor is our own age destitute of such distinguished characters. But if we except the doubtful achievements of Semiramis, Zenobia is perhaps the only female whose superior genius broke through the servile indolence imposed on her sex by the climate and manners of Asia. She claimed her descent from the Macedonian kings of Egypt, * equalled in beauty her ancestor Cleopatra, and far surpassed that princess in chastity and valor. Zenobia was esteemed the most lovely as well as the most heroic of her sex. She was of a dark complexion, (for in speaking of a lady these trifles become important.) Her teeth were of a pearly whiteness, and her large black eyes sparkled with uncommon fire, tempered by the most attractive sweetness. Her voice was strong and harmonious. Her manly understanding was strengthened and adorned by study. She was not ignorant of the Latin tongue, but possessed in equal perfection the Greek, the Syriac, and the Egyptian languages. She had drawn up for her own use an epitome of oriental history, and familiarly compared the beauties of Homer and Plato under the tuition of the sublime Longinus.

    This accomplished woman gave her hand to Odenathus, who, from a private station, raised himself to the dominion of the East. She soon became the friend and companion of a hero. In the intervals of war, Odenathus passionately delighted in the

    exercise of hunting; he pursued with ardor the wild beasts of the desert, lions, panthers, and bears; and the ardor of Zenobia in that dangerous amusement was not inferior to his own. She had inured her constitution to fatigue, disdained the use of a covered carriage, generally appeared on horseback in a military habit, and sometimes marched several miles on foot at the head of the troops. The success of Odenathus was in a great measure ascribed to her incomparable prudence and fortitude. Their splendid victories over the Great King, whom they twice pursued as far as the gates of Ctesiphon, laid the foundations of their united fame and power. The armies which they commanded, and the provinces which they had saved, acknowledged not any other sovereigns than their invincible chiefs. The senate and people of Rome revered a stranger who had avenged their captive emperor, and even the insensible son of Valerian accepted Odenathus for his legitimate colleague.

    Chapter XI: Reign Of Claudius, Defeat Of The Goths. —

    Part III.

    After a successful expedition against the Gothic plunderers of Asia, the Palmyrenian prince returned to the city of Emesa in Syria. Invincible in war, he was there cut off by domestic treason, and his favorite amusement of hunting was the cause, or at least the occasion, of his death. His nephew Mæonius presumed to dart his javelin before that of his uncle; and though admonished of his error, repeated the same insolence. As a monarch, and as a sportsman, Odenathus was provoked, took away his horse, a mark of ignominy among the barbarians, and chastised the rash youth by a short confinement. The offence was soon forgot, but the punishment was remembered; and Mæonius, with a few daring associates, assassinated his uncle in the midst of a great entertainment. Herod, the son of Odenathus, though not of Zenobia, a young man of a soft and effeminate temper, was killed with his father. But Mæonius obtained only the pleasure of revenge by

    this bloody deed. He had scarcely time to assume the title of Augustus, before he was sacrificed by Zenobia to the memory of her husband.

    With the assistance of his most faithful friends, she immediately filled the vacant throne, and governed with manly counsels Palmyra, Syria, and the East, above five years. By the death of Odenathus, that authority was at an end which the senate had granted him only as a personal distinction; but his martial widow, disdaining both the senate and Gallienus, obliged one of the Roman generals, who was sent against her, to retreat into Europe, with the loss of his army and his reputation. Instead of the little passions which so frequently perplex a female reign, the steady administration of Zenobia was guided by the most judicious maxims of policy. If it was expedient to pardon, she could calm her resentment; if it was necessary to punish, she could impose silence on the voice of pity. Her strict economy was accused of avarice; yet on every proper occasion she appeared magnificent and liberal. The neighboring states of Arabia, Armenia, and Persia, dreaded her enmity, and solicited her alliance. To the dominions of Odenathus, which extended from the Euphrates to the frontiers of Bithynia, his widow added the inheritance of her ancestors, the populous and fertile kingdom of Egypt. * The emperor Claudius acknowledged her merit, and was content, that, while he pursued the Gothic war, sheshould assert the dignity of the empire in the East. ^61? The conduct, however, of Zenobia, was attended with some ambiguity; not is it unlikely that she had conceived the design of erecting an independent and hostile monarchy. She blended with the popular manners of Roman princes the stately pomp of the courts of Asia, and exacted from her subjects the same adoration that was paid to the successor of Cyrus. She bestowed on her three sons a Latin education, and often showed them to the troops adorned with the Imperial purple. For herself she reserved the diadem, with the splendid but doubtful title of Queen of the East.

    When Aurelian passed over into Asia, against an adversary whose sex alone could render her an object of contempt, his presence restored obedience to the province of Bithynia, already shaken by the arms and intrigues of Zenobia. Advancing at the head of his legions, he accepted the submission of Ancyra, and was admitted into Tyana, after an obstinate siege, by the help of a perfidious citizen. The generous though fierce temper of Aurelian abandoned the traitor to the rage of the soldiers; a superstitious reverence induced him to treat with lenity the countrymen of Apollonius the philosopher. Antioch was deserted on his approach, till the emperor, by his salutary edicts, recalled the fugitives, and granted a general pardon to all, who, from necessity rather than choice, had been engaged in the service of the Palmyrenian Queen. The unexpected mildness of such a conduct reconciled the minds of the Syrians, and as far as the gates of Emesa, the wishes of the people seconded the terror of his arms.

    Zenobia would have ill deserved her reputation, had she indolently permitted the emperor of the West to approach within a hundred miles of her capital. The fate of the East was decided in two great battles; so similar in almost every circumstance, that we can scarcely distinguish them from each other, except by observing that the first was fought near Antioch, and the second near Emesa. In both the queen of Palmyra animated the armies by her presence, and devolved the execution of her orders on Zabdas, who had already signalized his military talents by the conquest of Egypt. The numerous forces of Zenobia consisted for the most part of light archers, and of heavy cavalry clothed in complete steel. The Moorish and Illyrian horse of Aurelian were unable to sustain the ponderous charge of their antagonists. They fled in real or affected disorder, engaged the Palmyrenians in a laborious pursuit, harassed them by a desultory combat, and at length discomfited this impenetrable but unwieldy body of cavalry. The light infantry, in the mean time, when they had exhausted

    their quivers, remaining without protection against a closer onset, exposed their naked sides to the swords of the legions. Aurelian had chosen these veteran troops, who were usually stationed on the Upper Danube, and whose valor had been severely tried in the Alemannic war. After the defeat of Emesa, Zenobia found it impossible to collect a third army. As far as the frontier of Egypt, the nations subject to her empire had joined the standard of the conqueror, who detached Probus, the bravest of his generals, to possess himself of the Egyptian provinces. Palmyra was the last resource of the widow of Odenathus. She retired within the walls of her capital, made every preparation for a vigorous resistance, and declared, with the intrepidity of a heroine, that the last moment of her reign and of her life should be the same.

    Amid the barren deserts of Arabia, a few cultivated spots rise like islands out of the sandy ocean. Even the name of Tadmor, or Palmyra, by its signification in the Syriac as well as in the Latin language, denoted the multitude of palm-trees which afforded shade and verdure to that temperate region. The air was pure, and the soil, watered by some invaluable springs, was capable of producing fruits as well as corn. A place possessed of such singular advantages, and situated at a convenient distance between the Gulf of Persia and the Mediterranean, was soon frequented by the caravans which conveyed to the nations of Europe a considerable part of the rich commodities of India. Palmyra insensibly increased into an opulent and independent city, and connecting the Roman and the

    Parthian monarchies by the mutual benefits of commerce, was suffered to observe an humble neutrality, till at length, after the victories of Trajan, the little republic sunk into the bosom of Rome, and flourished more than one hundred and fifty years in the subordinate though honorable rank of a colony. It was during that peaceful period, if we may judge from a few remaining inscriptions, that the wealthy Palmyrenians constructed those temples, palaces, and porticos of Grecian architecture, whose ruins, scattered over an extent of several

    miles, have deserved the curiosity of our travellers. The elevation of Odenathus and Zenobia appeared to reflect new splendor on their country, and Palmyra, for a while, stood forth the rival of Rome: but the competition was fatal, and ages of prosperity were sacrificed to a moment of glory.

    In his march over the sandy desert between Emesa and Palmyra, the emperor Aurelian was perpetually harassed by the Arabs; nor could he always defend his army, and especially his baggage, from those flying troops of active and daring robbers, who watched the moment of surprise, and eluded the slow pursuit of the legions. The siege of Palmyra was an object far more difficult and important, and the emperor, who, with incessant vigor, pressed the attacks in person, was himself wounded with a dart. “The Roman people,” says Aurelian, in an original letter, “speak with contempt of the war which I am waging against a woman. They are ignorant both of the character and of the power of Zenobia. It is impossible to enumerate her warlike preparations, of stones, of arrows, and of every species of missile weapons. Every part of the walls is provided with two or three balist and artificial fires are thrown from her military engines. The fear of punishment has armed her with a desperate courage. Yet still I trust in the protecting deities of Rome, who have hitherto been favorable to all my undertakings.” Doubtful, however, of the protection of the gods, and of the event of the siege, Aurelian judged it more prudent to offer terms of an advantageous capitulation; to the queen, a splendid retreat; to the citizens, their ancient privileges. His proposals were obstinately rejected, and the refusal was accompanied with insult.

    The firmness of Zenobia was supported by the hope, that in a very short time famine would compel the Roman army to repass the desert; and by the reasonable expectation that the kings of the East, and particularly the Persian monarch, would arm in the defence of their most natural ally. But fortune, and the perseverance of Aurelian, overcame every obstacle. The

    death of Sapor, which happened about this time, distracted the councils of Persia, and the inconsiderable succors that attempted to relieve Palmyra, were easily intercepted either by the arms or the liberality of the emperor. From every part of Syria, a regular succession of convoys safely arrived in the camp, which was increased by the return of Probus with his victorious troops from the conquest of Egypt. It was then that Zenobia resolved to fly. She mounted the fleetest of her dromedaries, and had already reached the banks of the Euphrates, about sixty miles from Palmyra, when she was overtaken by the pursuit of Aurelian’s light horse, seized, and brought back a captive to the feet of the emperor. Her capital soon afterwards surrendered, and was treated with unexpected lenity. The arms, horses, and camels, with an immense treasure of gold, silver, silk, and precious stones, were all delivered to the conqueror, who, leaving only a garrison of six hundred archers, returned to Emesa, and employed some time in the distribution of rewards and punishments at the end of so memorable a war, which restored to the obedience of Rome those provinces that had renounced their allegiance since the captivity of Valerian.

    When the Syrian queen was brought into the presence of Aurelian, he sternly asked her, How she had presumed to rise in arms against the emperors of Rome! The answer of Zenobia was a prudent mixture of respect and firmness. “Because I disdained to consider as Roman emperors an Aureolus or a Gallienus. You alone I acknowledge as my conqueror and my sovereign.” But as female fortitude is commonly artificial, so it is seldom steady or consistent. The courage of Zenobia deserted her in the hour of trial; she trembled at the angry clamors of the soldiers, who called aloud for her immediate execution, forgot the generous despair of Cleopatra, which she had proposed as her model, and ignominiously purchased life by the sacrifice of her fame and her friends. It was to their counsels, which governed the weakness of her sex, that she imputed the guilt of her obstinate resistance; it was on their heads that she directed the vengeance of the cruel Aurelian.

    The fame of Longinus, who was included among the numerous and perhaps innocent victims of her fear, will survive that of the queen who betrayed, or the tyrant who condemned him. Genius and learning were incapable of moving a fierce unlettered soldier, but they had served to elevate and harmonize the soul of Longinus. Without uttering a complaint, he calmly followed the executioner, pitying his unhappy mistress, and bestowing comfort on his afflicted friends.

    Returning from the conquest of the East, Aurelian had already crossed the Straits which divided Europe from Asia, when he was provoked by the intelligence that the Palmyrenians had massacred the governor and garrison which he had left among them, and again erected the standard of revolt. Without a moment’s deliberation, he once more turned his face towards Syria. Antioch was alarmed by his rapid approach, and the helpless city of Palmyra felt the irresistible weight of his resentment. We have a letter of Aurelian himself, in which he acknowledges, that old men, women, children, and peasants, had been involved in that dreadful execution, which should have been confined to armed rebellion; and although his principal concern seems directed to the reestablishment of a temple of the Sun, he discovers some pity for the remnant of the Palmyrenians, to whom he grants the permission of rebuilding and inhabiting their city. But it is easier to destroy than to restore. The seat of commerce, of arts, and of Zenobia, gradually sunk into an obscure town, a trifling fortress, and at length a miserable village. The present citizens of Palmyra, consisting of thirty or forty families, have erected their mud cottages within the spacious court of a magnificent temple.

    Another and a last labor still awaited the indefatigable Aurelian; to suppress a dangerous though obscure rebel, who, during the revolt of Palmyra, had arisen on the banks of the Nile. Firmus, the friend and ally, as he proudly styled himself, of Odenathus and Zenobia, was no more than a wealthy merchant of Egypt. In the course of his trade to India, he had formed very intimate connections with the Saracens and the

    Blemmyes, whose situation on either coast of the Red Sea gave them an easy introduction into the Upper Egypt. The Egyptians he inflamed with the hope of freedom, and, at the head of their furious multitude, broke into the city of Alexandria, where he assumed the Imperial purple, coined money, published edicts, and raised an army, which, as he vainly boasted, he was capable of maintaining from the sole profits of his paper trade. Such troops were a feeble defence against the approach of Aurelian; and it seems almost unnecessary to relate, that Firmus was routed, taken, tortured, and put to death. Aurelian might now congratulate the senate, the people, and himself, that in little more than three years, he had restored universal peace and order to the Roman world.

    Since the foundation of Rome, no general had more nobly deserved a triumph than Aurelian; nor was a triumph ever celebrated with superior pride and magnificence. The pomp was opened by twenty elephants, four royal tigers, and above two hundred of the most curious animals from every climate of the North, the East, and the South. They were followed by sixteen hundred gladiators, devoted to the cruel amusement of the amphitheatre. The wealth of Asia, the arms and ensigns of so many conquered nations, and the magnificent plate and wardrobe of the Syrian queen, were disposed in exact symmetry or artful disorder. The ambassadors of the most remote parts of the earth, of Æthiopia, Arabia, Persia, Bactriana, India, and China, all remarkable by their rich or singular dresses, displayed the fame and power of the Roman emperor, who exposed likewise to the public view the presents that he had received, and particularly a great number of crowns of gold, the offerings of grateful cities. The victories of Aurelian were attested by the long train of captives who reluctantly attended his triumph, Goths, Vandals, Sarmatians, Alemanni, Franks, Gauls, Syrians, and Egyptians. Each people was distinguished by its peculiar inscription, and the title of Amazons was bestowed on ten martial heroines of the Gothie nation who had been taken in arms. But every eye,

    disregarding the crowd of captives, was fixed on the emperor Tetricus and the queen of the East. The former, as well as his son, whom he had created Augustus, was dressed in Gallic trousers, a saffron tunic, and a robe of purple. The beauteous figure of Zenobia was confined by fetters of gold; a slave supported the gold chain which encircled her neck, and she almost fainted under the intolerable weight of jewels. She preceded on foot the magnificent chariot, in which she once hoped to enter the gates of Rome. It was followed by two other chariots, still more sumptuous, of Odenathus and of the Persian monarch. The triumphal car of Aurelian (it had formerly been used by a Gothic king) was drawn, on this memorable occasion, either by four stags or by four elephants. The most illustrious of the senate, the people, and the army closed the solemn procession. Unfeigned joy, wonder, and gratitude, swelled the acclamations of the multitude; but the satisfaction of the senate was clouded by the appearance of Tetricus; nor could they suppress a rising murmur, that the haughty emperor should thus expose to public ignominy the person of a Roman and a magistrate.

    But however, in the treatment of his unfortunate rivals, Aurelian might indulge his pride, he behaved towards them with a generous clemency, which was seldom exercised by the ancient conquerors. Princes who, without success, had defended their throne or freedom, were frequently strangled in prison, as soon as the triumphal pomp ascended the Capitol. These usurpers, whom their defeat had convicted of the crime of treason, were permitted to spend their lives in affluence and honorable repose. The emperor presented Zenobia with an elegant villa at Tibur, or Tivoli, about twenty miles from the capital; the Syrian queen insensibly sunk into a Roman matron, her daughters married into noble families, and her race was not yet extinct in the fifth century. Tetricus and his son were reinstated in their rank and fortunes. They erected on the Cælian hill a magnificent palace, and as soon as it was finished, invited Aurelian to supper. On his entrance, he was agreeably surprised with a picture which represented their

    singular history. They were delineated offering to the emperor a civic crown and the sceptre of Gaul, and again receiving at his hands the ornaments of the senatorial dignity. The father was afterwards invested with the government of Lucania, and Aurelian, who soon admitted the abdicated monarch to his friendship and conversation, familiarly asked him, Whether it were not more desirable to administer a province of Italy, than to reign beyond the Alps. The son long continued a respectable member of the senate; nor was there any one of the Roman nobility more esteemed by Aurelian, as well as by his successors.

    So long and so various was the pomp of Aurelian’s triumph, that although it opened with the dawn of day, the slow majesty of the procession ascended not the Capitol before the ninth hour; and it was already dark when the emperor returned to the palace. The festival was protracted by theatrical representations, the games of the circus, the hunting of wild beasts, combats of gladiators, and naval engagements. Liberal donatives were distributed to the army and people, and several institutions, agreeable or beneficial to the city, contributed to perpetuate the glory of Aurelian. A considerable portion of his oriental spoils was consecrated to the gods of Rome; the Capitol, and every other temple, glittered with the offerings of his ostentatious piety; and the temple of the Sun alone received above fifteen thousand pounds of gold. This last was a magnificent structure, erected by the emperor on the side of the Quirinal hill, and dedicated, soon after the triumph, to that deity whom Aurelian adored as the parent of his life and fortunes. His mother had been an inferior priestess in a chapel of the Sun; a peculiar devotion to the god of Light was a sentiment which the fortunate peasant imbibed in his infancy; and every step of his elevation, every victory of his reign, fortified superstition by gratitude.

    The arms of Aurelian had vanquished the foreign and domestic foes of the republic. We are assured, that, by his salutary rigor, crimes and factions, mischievous arts and pernicious

    connivance, the luxurious growth of a feeble and oppressive government, were eradicated throughout the Roman world. But if we attentively reflect how much swifter is the progress of corruption than its cure, and if we remember that the years abandoned to public disorders exceeded the months allotted to the martial reign of Aurelian, we must confess that a few short intervals of peace were insufficient for the arduous work of reformation. Even his attempt to restore the integrity of the coin was opposed by a formidable insurrection. The emperor’s vexation breaks out in one of his private letters. “Surely,” says he, “the gods have decreed that my life should be a perpetual warfare. A sedition within the walls has just now given birth to a very serious civil war. The workmen of the mint, at the instigation of Felicissimus, a slave to whom I had intrusted an employment in the finances, have risen in rebellion. They are at length suppressed; but seven thousand of my soldiers have been slain in the contest, of those troops whose ordinary station is in Dacia, and the camps along the Danube.” Other writers, who confirm the same fact, add likewise, that it happened soon after Aurelian’s triumph; that the decisive engagement was fought on the Cælian hill; that the workmen of the mint had adulterated the coin; and that the emperor restored the public credit, by delivering out good money in exchange for the bad, which the people was commanded to bring into the treasury.

    We might content ourselves with relating this extraordinary transaction, but we cannot dissemble how much in its present form it appears to us inconsistent and incredible. The debasement of the coin is indeed well suited to the administration of Gallienus; nor is it unlikely that the instruments of the corruption might dread the inflexible justice of Aurelian. But the guilt, as well as the profit, must have been confined to a very few; nor is it easy to conceive by what arts they could arm a people whom they had injured, against a monarch whom they had betrayed. We might naturally expect that such miscreants should have shared the public detestation with the informers and the other ministers

    of oppression; and that the reformation of the coin should have been an action equally popular with the destruction of those obsolete accounts, which by the emperor’s order were burnt in the forum of Trajan. In an age when the principles of commerce were so imperfectly understood, the most desirable end might perhaps be effected by harsh and injudicious means; but a temporary grievance of such a nature can scarcely excite and support a serious civil war. The repetition of intolerable taxes, imposed either on the land or on the necessaries of life, may at last provoke those who will not, or who cannot, relinquish their country. But the case is far otherwise in every operation which, by whatsoever expedients, restores the just value of money. The transient evil is soon obliterated by the permanent benefit, the loss is divided among multitudes; and if a few wealthy individuals experience a sensible diminution of treasure, with their riches, they at the same time lose the degree of weight and importance which they derived from the possession of them. However Aurelian might choose to disguise the real cause of the insurrection, his reformation of the coin could furnish only a faint pretence to a party already powerful and discontented. Rome, though deprived of freedom, was distracted by faction. The people, towards whom the emperor, himself a plebeian, always expressed a peculiar fondness, lived in perpetual dissension with the senate, the equestrian order, and the Prætorian guards. Nothing less than the firm though secret conspiracy of those orders, of the authority of the first, the wealth of the second, and the arms of the third, could have displayed a strength capable of contending in battle with the veteran legions of the Danube, which, under the conduct of a martial sovereign, had achieved the conquest of the West and of the East.

    Whatever was the cause or the object of this rebellion, imputed with so little probability to the workmen of the mint, Aurelian used his victory with unrelenting rigor. He was naturally of a severe disposition. A peasant and a soldier, his nerves yielded not easily to the impressions of sympathy, and he could

    sustain without emotion the sight of tortures and death. Trained from his earliest youth in the exercise of arms, he set too small a value on the life of a citizen, chastised by military execution the slightest offences, and transferred the stern discipline of the camp into the civil administration of the laws. His love of justice often became a blind and furious passion and whenever he deemed his own or the public safety endangered, he disregarded the rules of evidence, and the proportion of punishments. The unprovoked rebellion with which the Romans rewarded his services, exasperated his haughty spirit. The noblest families of the capital were involved in the guilt or suspicion of this dark conspiracy. A nasty spirit of revenge urged the bloody prosecution, and it proved fatal to one of the nephews of the emperor. The executioners (if we may use the expression of a contemporary poet) were fatigued, the prisons were crowded, and the unhappy senate lamented the death or absence of its most illustrious members. Nor was the pride of Aurelian less offensive to that assembly than his cruelty. Ignorant or impatient of the restraints of civil institutions, he disdained to hold his power by any other title than that of the sword, and governed by right of conquest an empire which he had saved and subdued.

    It was observed by one of the most sagacious of the Roman princes, that the talents of his predecessor Aurelian were better suited to the command of an army, than to the government of an empire. Conscious of the character in which nature and experience had enabled him to excel, he again took the field a few months after his triumph. It was expedient to exercise the restless temper of the legions in some foreign war, and the Persian monarch, exulting in the shame of Valerian, still braved with impunity the offended majesty of Rome. At the head of an army, less formidable by its numbers than by its discipline and valor, the emperor advanced as far as the Straits which divide Europe from Asia. He there experienced that the most absolute power is a weak defence against the effects of despair. He had threatened one of his secretaries

    who was accused of extortion; and it was known that he seldom threatened in vain. The last hope which remained for the criminal, was to involve some of the principal officers of the army in his danger, or at least in his fears. Artfully counterfeiting his master’s hand, he showed them, in a long and bloody list, their own names devoted to death. Without suspecting or examining the fraud, they resolved to secure their lives by the murder of the emperor. On his march, between Byzanthium and Heraclea, Aurelian was suddenly attacked by the conspirators, whose stations gave them a right to surround his person, and after a short resistance, fell by the hand of Mucapor, a general whom he had always loved and trusted. He died regretted by the army, detested by the senate, but universally acknowledged as a warlike and fortunate prince, the useful, though severe reformer of a degenerate state.

  • Edward Gibbon《History of the Decline and Fall of the Roman Empire 》I-VI

    Introduction

    Preface By The Editor.

    The great work of Gibbon is indispensable to the student of history. The literature of Europe offers no substitute for “The Decline and Fall of the Roman Empire.” It has obtained undisputed possession, as rightful occupant, of the vast period which it comprehends. However some subjects, which it embraces, may have undergone more complete investigation, on the general view of the whole period, this history is the sole undisputed authority to which all defer, and from which few appeal to the original writers, or to more modern compilers. The inherent interest of the subject, the inexhaustible labor employed upon it; the immense condensation of matter; the luminous arrangement; the general accuracy; the style, which, however monotonous from its uniform stateliness, and sometimes wearisome from its elaborate art., is throughout vigorous, animated, often picturesque always commands attention, always conveys its meaning with emphatic energy, describes with singular breadth and fidelity, and generalizes with unrivalled felicity of expression; all these high qualifications have secured, and seem likely to secure, its permanent place in historic literature.

    This vast design of Gibbon, the magnificent whole into which he has cast the decay and ruin of the ancient civilization, the formation and birth of the new order of things, will of itself, independent of the laborious execution of his immense plan, render “The Decline and Fall of the Roman Empire” an unapproachable subject to the future historian:* in the eloquent language of his recent French editor, M. Guizot:

    “The gradual decline of the most extraordinary dominion which has ever invaded and oppressed the world; the fall of that immense empire, erected on the ruins of so many kingdoms, republics, and states both barbarous and civilized; and forming in its turn, by its dismemberment, a multitude of states, republics, and kingdoms; the annihilation of the religion of Greece and Rome; the birth and the progress of the two new religions which have shared the most beautiful regions of the earth; the decrepitude of the ancient world, the spectacle of its expiring glory and degenerate manners; the infancy of the modern world, the picture of its first progress, of the new direction given to the mind and character of man — such a subject must necessarily fix the attention and excite the interest of men, who cannot behold with indifference those memorable epochs, during which, in the fine language of Corneille —

    ‘Un grand destin commence, un grand destin s’achève.’”

    This extent and harmony of design is unquestionably that which distinguishes the work of Gibbon from all other great historical compositions. He has first bridged the abyss between ancient and modern times, and connected together the two great worlds of history. The great advantage which the classical historians possess over those of modern times is in unity of plan, of course greatly facilitated by the narrower sphere to which their researches were confined. Except Herodotus, the great historians of Greece — we exclude the more modern compilers, like Diodorus Siculus — limited themselves to a single period, or at least to the contracted sphere of Grecian affairs. As far as the Barbarians trespassed within the Grecian boundary, or were necessarily mingled up with Grecian politics, they were admitted into the pale of Grecian history; but to Thucydides and to Xenophon, excepting in the Persian inroad of the latter, Greece was the world. Natural unity confined their narrative almost to chronological order, the episodes were of rare occurrence and extremely brief. To the Roman historians the course was equally clear and defined. Rome was their centre of unity; and the uniformity with which the circle of the Roman dominion spread around, the regularity with which their civil polity expanded, forced, as it were, upon the Roman historian that plan which Polybius announces as the subject of his history, the means and the manner by which the whole world became subject to the Roman sway. How different the complicated politics of the European kingdoms! Every national history, to be complete, must, in a certain sense, be the history of Europe; there is no knowing to how remote a quarter it may be necessary to trace our most domestic events; from a country, how apparently disconnected, may originate the impulse which gives its direction to the whole course of affairs.

    In imitation of his classical models, Gibbon places Rome as the cardinal point from which his inquiries diverge, and to which they bear constant reference; yet how immeasurable the space over which those inquiries range; how complicated, how confused, how apparently inextricable the causes which tend to the decline of the Roman empire! how countless the nations which swarm forth, in mingling and indistinct hordes, constantly changing the geographical limits — incessantly confounding the natural boundaries! At first sight, the whole period, the whole state of the world, seems to offer no more secure footing to an historical adventurer than the chaos of Milton — to be in a state of irreclaimable disorder, best described in the language of the poet: —

    “A dark Illimitable ocean, without bound, Without dimension, where length, breadth, and height, And time, and place, are lost: where eldest Night And Chaos, ancestors of Nature, hold Eternal anarchy, amidst the noise Of endless wars, and by confusion stand.”

    We feel that the unity and harmony of narrative, which shall comprehend this period of social disorganization, must be ascribed entirely to the skill and luminous disposition of the historian. It is in this sublime Gothic architecture of his work, in which the boundless range, the infinite variety, the, at first sight, incongruous gorgeousness of the separate parts, nevertheless are all subordinate to one main and predominant idea, that Gibbon is unrivalled. We cannot but admire the manner in which he masses his materials, and arranges his facts in successive groups, not according to chronological order, but to their moral or political connection; the distinctness with which he marks his periods of gradually increasing decay; and the skill with which, though advancing on separate parallels of history, he shows the common tendency of the slower or more rapid religious or civil innovations. However these principles of composition may demand more than ordinary attention on the part of the reader, they can alone impress upon the memory the real course, and the relative importance of the events. Whoever would justly appreciate the superiority of Gibbon’s lucid arrangement, should attempt to make his way through the regular but wearisome annals of Tillemont, or even the less ponderous volumes of Le Beau. Both these writers adhere, almost entirely, to chronological order; the consequence is, that we are twenty times called upon to break off, and resume the thread of six or eight wars in different parts of the empire; to suspend the operations of a military expedition for a court intrigue; to hurry away from a siege to a council; and the same page places us in the middle of a campaign against the barbarians, and in the depths of the Monophysite controversy. In Gibbon it is not always easy to bear in mind the exact dates but the course of events is ever clear and distinct; like a skilful general, though his troops advance from the most remote and opposite quarters, they are constantly bearing down and concentrating themselves on one point — that which is still occupied by the name, and by the waning power of Rome. Whether he traces the progress of hostile religions, or leads from the shores of the Baltic, or the verge of the Chinese empire, the successive hosts of barbarians — though one wave has hardly burst and discharged itself, before another swells up and approaches — all is made to flow in the same direction, and the impression which each makes upon the tottering fabric of the Roman greatness, connects their distant movements, and measures the relative importance assigned to them in the panoramic history. The more peaceful and didactic episodes on the development of the Roman law, or even on the details of ecclesiastical history, interpose themselves as resting-places or divisions between the periods of barbaric invasion. In short, though distracted first by the two capitals, and afterwards by the formal partition of the empire, the extraordinary felicity of arrangement maintains an order and a regular progression. As our horizon expands to reveal to us the gathering tempests which are forming far beyond the boundaries of the civilized world — as we follow their successive approach to the trembling frontier — the compressed and receding line is still distinctly visible; though gradually dismembered and the broken fragments assuming the form of regular states and kingdoms, the real relation of those kingdoms to the empire is maintained and defined; and even when the Roman dominion has shrunk into little more than the province of Thrace — when the name of Rome, confined, in Italy, to the walls of the city — yet it is still the memory, the shade of the Roman greatness, which extends over the wide sphere into which the historian expands his later narrative; the whole blends into the unity, and is manifestly essential to the double catastrophe of his tragic drama.

    But the amplitude, the magnificence, or the harmony of design, are, though imposing, yet unworthy claims on our admiration, unless the details are filled up with correctness and accuracy. No writer has been more severely tried on this point than Gibbon. He has undergone the triple scrutiny of theological zeal quickened by just resentment, of literary emulation, and of that mean and invidious vanity which delights in detecting errors in writers of established fame. On the result of the trial, we may be permitted to summon competent witnesses before we deliver our own judgment.

    1. Guizot, in his preface, after stating that in France and Germany, as well as in England, in the most enlightened countries of Europe, Gibbon is constantly cited as an authority, thus proceeds: —

    “I have had occasion, during my labors, to consult the writings of philosophers, who have treated on the finances of the Roman empire; of scholars, who have investigated the chronology; of theologians, who have searched the depths of ecclesiastical history; of writers on law, who have studied with care the Roman jurisprudence; of Orientalists, who have occupied themselves with the Arabians and the Koran; of modern historians, who have entered upon extensive researches touching the crusades and their influence; each of these writers has remarked and pointed out, in the ‘History of the Decline and Fall of the Roman Empire,’ some negligences, some false or imperfect views some omissions, which it is impossible not to suppose voluntary; they have rectified some facts combated with advantage some assertions; but in general they have taken the researches and the ideas of Gibbon, as points of departure, or as proofs of the researches or of the new opinions which they have advanced.”

    1. Guizot goes on to state his own impressions on reading Gibbon’s history, and no authority will have greater weight with those to whom the extent and accuracy of his historical researches are known: —

    “After a first rapid perusal, which allowed me to feel nothing but the interest of a narrative, always animated, and, notwithstanding its extent and the variety of objects which it makes to pass before the view, always perspicuous, I entered upon a minute examination of the details of which it was composed; and the opinion which I then formed was, I confess, singularly severe. I discovered, in certain chapters, errors which appeared to me sufficiently important and numerous to make me believe that they had been written with extreme negligence; in others, I was struck with a certain tinge of partiality and prejudice, which imparted to the exposition of the facts that want of truth and justice, which the English express by their happy term misrepresentation. Some imperfect (tronquées) quotations; some passages, omitted unintentionally or designedly cast a suspicion on the honesty (bonne foi) of the author; and his violation of the first law of history — increased to my eye by the prolonged attention with which I occupied myself with every phrase, every note, every reflection — caused me to form upon the whole work, a judgment far too rigorous. After having finished my labors, I allowed some time to elapse before I reviewed the whole. A second attentive and regular perusal of the entire work, of the notes of the author, and of those which I had thought it right to subjoin, showed me how much I had exaggerated the importance of the reproaches which Gibbon really deserved; I was struck with the same errors, the same partiality on certain subjects; but I had been far from doing adequate justice to the immensity of his researches, the variety of his knowledge, and above all, to that truly philosophical discrimination (justesse d’esprit) which judges the past as it would judge the present; which does not permit itself to be blinded by the clouds which time gathers around the dead, and which prevent us from seeing that, under the toga, as under the modern dress, in the senate as in our councils, men were what they still are, and that events took place eighteen centuries ago, as they take place in our days. I then felt that his book, in spite of its faults, will always be a noble work — and that we may correct his errors and combat his prejudices, without ceasing to admit that few men have combined, if we are not to say in so high a degree, at least in a manner so complete, and so well regulated, the necessary qualifications for a writer of history.”

    The present editor has followed the track of Gibbon through many parts of his work; he has read his authorities with constant reference to his pages, and must pronounce his deliberate judgment, in terms of the highest admiration as to his general accuracy. Many of his seeming errors are almost inevitable from the close condensation of his matter. From the immense range of his history, it was sometimes necessary to compress into a single sentence, a whole vague and diffuse page of a Byzantine chronicler. Perhaps something of importance may have thus escaped, and his expressions may not quite contain the whole substance of the passage from which they are taken. His limits, at times, compel him to sketch; where that is the case, it is not fair to expect the full details of the finished picture. At times he can only deal with important results; and in his account of a war, it sometimes requires great attention to discover that the events which seem to be comprehended in a single campaign, occupy several years. But this admirable skill in selecting and giving prominence to the points which are of real weight and importance — this distribution of light and shade — though perhaps it may occasionally betray him into vague and imperfect statements, is one of the highest excellencies of Gibbon’s historic manner. It is the more striking, when we pass from the works of his chief authorities, where, after laboring through long, minute, and wearisome descriptions of the accessary and subordinate circumstances, a single unmarked and undistinguished sentence, which we may overlook from the inattention of fatigue, contains the great moral and political result.

    Gibbon’s method of arrangement, though on the whole most favorable to the clear comprehension of the events, leads likewise to apparent inaccuracy. That which we expect to find in one part is reserved for another. The estimate which we are to form, depends on the accurate balance of statements in remote parts of the work; and we have sometimes to correct and modify opinions, formed from one chapter by those of another. Yet, on the other hand, it is astonishing how rarely we detect contradiction; the mind of the author has already harmonized the whole result to truth and probability; the general impression is almost invariably the same. The quotations of Gibbon have likewise been called in question; — I have, in general, been more inclined to admire their exactitude, than to complain of their indistinctness, or incompleteness. Where they are imperfect, it is commonly from the study of brevity, and rather from the desire of compressing the substance of his notes into pointed and emphatic sentences, than from dishonesty, or uncandid suppression of truth.

    These observations apply more particularly to the accuracy and fidelity of the historian as to his facts; his inferences, of course, are more liable to exception. It is almost impossible to trace the line between unfairness and unfaithfulness; between intentional misrepresentation and undesigned false coloring. The relative magnitude and importance of events must, in some respect, depend upon the mind before which they are presented; the estimate of character, on the habits and feelings of the reader. Christians, like M. Guizot and ourselves, will see some things, and some persons, in a different light from the historian of the Decline and Fall. We may deplore the bias of his mind; we may ourselves be on our guard against the danger of being misled, and be anxious to warn less wary readers against the same perils; but we must not confound this secret and unconscious departure from truth, with the deliberate violation of that veracity which is the only title of an historian to our confidence. Gibbon, it may be fearlessly asserted, is rarely chargeable even with the suppression of any material fact, which bears upon individual character; he may, with apparently invidious hostility, enhance the errors and crimes, and disparage the virtues of certain persons; yet, in general, he leaves us the materials for forming a fairer judgment; and if he is not exempt from his own prejudices, perhaps we might write passions, yet it must be candidly acknowledged, that his philosophical bigotry is not more unjust than the theological partialities of those ecclesiastical writers who were before in undisputed possession of this province of history.

    We are thus naturally led to that great misrepresentation which pervades his history — his false estimate of the nature and influence of Christianity.

    But on this subject some preliminary caution is necessary, lest that should be expected from a new edition, which it is impossible that it should completely accomplish. We must first be prepared with the only sound preservative against the false impression likely to be produced by the perusal of Gibbon; and we must see clearly the real cause of that false impression. The former of these cautions will be briefly suggested in its proper place, but it may be as well to state it, here, somewhat more at length. The art of Gibbon, or at least the unfair impression produced by his two memorable chapters, consists in his confounding together, in one indistinguishable mass, the origin and apostolic propagation of the new religion, with its later progress. No argument for the divine authority of Christianity has been urged with greater force, or traced with higher eloquence, than that deduced from its primary development, explicable on no other hypothesis than a heavenly origin, and from its rapid extension through great part of the Roman empire. But this argument — one, when confined within reasonable limits, of unanswerable force — becomes more feeble and disputable in proportion as it recedes from the birthplace, as it were, of the religion. The further Christianity advanced, the more causes purely human were enlisted in its favor; nor can it be doubted that those developed with such artful exclusiveness by Gibbon did concur most essentially to its establishment. It is in the Christian dispensation, as in the material world. In both it is as the great First Cause, that the Deity is most undeniably manifest. When once launched in regular motion upon the bosom of space, and endowed with all their properties and relations of weight and mutual attraction, the heavenly bodies appear to pursue their courses according to secondary laws, which account for all their sublime regularity. So Christianity proclaims its Divine Author chiefly in its first origin and development. When it had once received its impulse from above — when it had once been infused into the minds of its first teachers — when it had gained full possession of the reason and affections of the favored few — it might be — and to the Protestant, the rational Christian, it is impossible to define when it really was– left to make its way by its native force, under the ordinary secret agencies of all-ruling Providence. The main question, the divine origin of the religion, was dexterously eluded, or speciously conceded by Gibbon; his plan enabled him to commence his account, in most parts, below the apostolic times; and it was only by the strength of the dark coloring with which he brought out the failings and the follies of the succeeding ages, that a shadow of doubt and suspicion was thrown back upon the primitive period of Christianity.

    “The theologian,” says Gibbon, “may indulge the pleasing task of describing religion as she descended from heaven, arrayed in her native purity; a more melancholy duty is imposed upon the historian: — he must discover the inevitable mixture of error and corruption which she contracted in a long residence upon earth among a weak and degenerate race of beings.” Divest this passage of the latent sarcasm betrayed by the subsequent tone of the whole disquisition, and it might commence a Christian history written in the most Christian spirit of candor. But as the historian, by seeming to respect, yet by dexterously confounding the limits of the sacred land, contrived to insinuate that it was an Utopia which had no existence but in the imagination of the theologian — as he suggested rather than affirmed that the days of Christian purity were a kind of poetic golden age; — so the theologian, by venturing too far into the domain of the historian, has been perpetually obliged to contest points on which he had little chance of victory — to deny facts established on unshaken evidence — and thence, to retire, if not with the shame of defeat, yet with but doubtful and imperfect success.

    Paley, with his intuitive sagacity, saw through the difficulty of answering Gibbon by the ordinary arts of controversy; his emphatic sentence, “Who can refute a sneer?” contains as much truth as point. But full and pregnant as this phrase is, it is not quite the whole truth; it is the tone in which the progress of Christianity is traced, in comparison with the rest of the splendid and prodigally ornamented work, which is the radical defect in the “Decline and Fall.” Christianity alone receives no embellishment from the magic of Gibbon’s language; his imagination is dead to its moral dignity; it is kept down by a general zone of jealous disparagement, or neutralized by a painfully elaborate exposition of its darker and degenerate periods. There are occasions, indeed, when its pure and exalted humanity, when its manifestly beneficial influence, can compel even him, as it were, to fairness, and kindle his unguarded eloquence to its usual fervor; but, in general, he soon relapses into a frigid apathy; affects an ostentatiously severe impartiality; notes all the faults of Christians in every age with bitter and almost malignant sarcasm; reluctantly, and with exception and reservation, admits their claim to admiration. This inextricable bias appears even to influence his manner of composition. While all the other assailants of the Roman empire, whether warlike or religious, the Goth, the Hun, the Arab, the Tartar, Alaric and Attila, Mahomet, and Zengis, and Tamerlane, are each introduced upon the scene almost with dramatic animation — their progress related in a full, complete, and unbroken narrative — the triumph of Christianity alone takes the form of a cold and critical disquisition. The successes of barbarous energy and brute force call forth all the consummate skill of composition; while the moral triumphs of Christian benevolence — the tranquil heroism of endurance, the blameless purity, the contempt of guilty fame and of honors destructive to the human race, which, had they assumed the proud name of philosophy, would have been blazoned in his brightest words, because they own religion as their principle — sink into narrow asceticism. The glories of Christianity, in short, touch on no chord in the heart of the writer; his imagination remains unkindled; his words, though they maintain their stately and measured march, have become cool, argumentative, and inanimate. Who would obscure one hue of that gorgeous coloring in which Gibbon has invested the dying forms of Paganism, or darken one paragraph in his splendid view of the rise and progress of Mahometanism? But who would not have wished that the same equal justice had been done to Christianity; that its real character and deeply penetrating influence had been traced with the same philosophical sagacity, and represented with more sober, as would become its quiet course, and perhaps less picturesque, but still with lively and attractive, descriptiveness? He might have thrown aside, with the same scorn, the mass of ecclesiastical fiction which envelops the early history of the church, stripped off the legendary romance, and brought out the facts in their primitive nakedness and simplicity — if he had but allowed those facts the benefit of the glowing eloquence which he denied to them alone. He might have annihilated the whole fabric of post-apostolic miracles, if he had left uninjured by sarcastic insinuation those of the New Testament; he might have cashiered, with Dodwell, the whole host of martyrs, which owe their existence to the prodigal invention of later days, had he but bestowed fair room, and dwelt with his ordinary energy on the sufferings of the genuine witnesses to the truth of Christianity, the Polycarps, or the martyrs of Vienne.

    And indeed, if, after all, the view of the early progress of Christianity be melancholy and humiliating we must beware lest we charge the whole of this on the infidelity of the historian. It is idle, it is disingenuous, to deny or to dissemble the early depravations of Christianity, its gradual but rapid departure from its primitive simplicity and purity, still more, from its spirit of universal love. It may be no unsalutary lesson to the Christian world, that this silent, this unavoidable, perhaps, yet fatal change shall have been drawn by an impartial, or even an hostile hand. The Christianity of every age may take warning, lest by its own narrow views, its want of wisdom, and its want of charity, it give the same advantage to the future unfriendly historian, and disparage the cause of true religion.

    The design of the present edition is partly corrective, partly supplementary: corrective, by notes, which point out (it is hoped, in a perfectly candid and dispassionate spirit with no desire but to establish the truth) such inaccuracies or misstatements as may have been detected, particularly with regard to Christianity; and which thus, with the previous caution, may counteract to a considerable extent the unfair and unfavorable impression created against rational religion: supplementary, by adding such additional information as the editor’s reading may have been able to furnish, from original documents or books, not accessible at the time when Gibbon wrote.

    The work originated in the editor’s habit of noting on the margin of his copy of Gibbon references to such authors as had discovered errors, or thrown new light on the subjects treated by Gibbon. These had grown to some extent, and seemed to him likely to be of use to others. The annotations of M. Guizot also appeared to him worthy of being better known to the English public than they were likely to be, as appended to the French translation.

    The chief works from which the editor has derived his materials are, I. The French translation, with notes by M. Guizot; 2d edition, Paris, 1828. The editor has translated almost all the notes of M. Guizot. Where he has not altogether agreed with him, his respect for the learning and judgment of that writer has, in general, induced him to retain the statement from which he has ventured to differ, with the grounds on which he formed his own opinion. In the notes on Christianity, he has retained all those of M. Guizot, with his own, from the conviction, that on such a subject, to many, the authority of a French statesman, a Protestant, and a rational and sincere Christian, would appear more independent and unbiassed, and therefore be more commanding, than that of an English clergyman.

    The editor has not scrupled to transfer the notes of M. Guizot to the present work. The well-known zeal for knowledge, displayed in all the writings of that distinguished historian, has led to the natural inference, that he would not be displeased at the attempt to make them of use to the English readers of Gibbon. The notes of M. Guizot are signed with the letter G.

    1. The German translation, with the notes of Wenck. Unfortunately this learned translator died, after having completed only the first volume; the rest of the work was executed by a very inferior hand.

    The notes of Wenck are extremely valuable; many of them have been adopted by M. Guizot; they are distinguished by the letter W.*

    III. The new edition of Le Beau’s “Histoire du Bas Empire, with notes by M. St. Martin, and M. Brosset.” That distinguished Armenian scholar, M. St. Martin (now, unhappily, deceased) had added much information from Oriental writers, particularly from those of Armenia, as well as from more general sources. Many of his observations have been found as applicable to the work of Gibbon as to that of Le Beau.

    1. The editor has consulted the various answers made to Gibbon on the first appearance of his work; he must confess, with little profit. They were, in general, hastily compiled by inferior and now forgotten writers, with the exception of Bishop Watson, whose able apology is rather a general argument, than an examination of misstatements. The name of Milner stands higher with a certain class of readers, but will not carry much weight with the severe investigator of history.
    2. Some few classical works and fragments have come to light, since the appearance of Gibbon’s History, and have been noticed in their respective places; and much use has been made, in the latter volumes particularly, of the increase to our stores of Oriental literature. The editor cannot, indeed, pretend to have followed his author, in these gleanings, over the whole vast field of his inquiries; he may have overlooked or may not have been able to command some works, which might have thrown still further light on these subjects; but he trusts that what he has adduced will be of use to the student of historic truth.

    The editor would further observe, that with regard to some other objectionable passages, which do not involve misstatement or inaccuracy, he has intentionally abstained from directing particular attention towards them by any special protest.

    The editor’s notes are marked M.

    A considerable part of the quotations (some of which in the later editions had fallen into great confusion) have been verified, and have been corrected by the latest and best editions of the authors.

    June, 1845.

    In this new edition, the text and the notes have been carefully revised, the latter by the editor.

    Some additional notes have been subjoined, distinguished by the signature M. 1845.

    Preface Of The Author.

    It is not my intention to detain the reader by expatiating on the variety or the importance of the subject, which I have undertaken to treat; since the merit of the choice would serve to render the weakness of the execution still more apparent, and still less excusable. But as I have presumed to lay before the public a first volume only of the History of the Decline and Fall of the Roman Empire, it will, perhaps, be expected that I should explain, in a few words, the nature and limits of my general plan.

    The memorable series of revolutions, which in the course of about thirteen centuries gradually undermined, and at length destroyed, the solid fabric of human greatness, may, with some propriety, be divided into the three following periods:

    1. The first of these periods may be traced from the age of Trajan and the Antonines, when the Roman monarchy, having attained its full strength and maturity, began to verge towards its decline; and will extend to the subversion of the Western Empire, by the barbarians of Germany and Scythia, the rude ancestors of the most polished nations of modern Europe. This extraordinary revolution, which subjected Rome to the power of a Gothic conqueror, was completed about the beginning of the sixth century.
    2. The second period of the Decline and Fall of Rome may be supposed to commence with the reign of Justinian, who, by his laws, as well as by his victories, restored a transient splendor to the Eastern Empire. It will comprehend the invasion of Italy by the Lombards; the conquest of the Asiatic and African provinces by the Arabs, who embraced the religion of Mahomet; the revolt of the Roman people against the feeble princes of Constantinople; and the elevation of Charlemagne, who, in the year eight hundred, established the second, or German Empire of the West

    III. The last and longest of these periods includes about six centuries and a half; from the revival of the Western Empire, till the taking of Constantinople by the Turks, and the extinction of a degenerate race of princes, who continued to assume the titles of Cæsar and Augustus, after their dominions were contracted to the limits of a single city; in which the language, as well as manners, of the ancient Romans, had been long since forgotten. The writer who should undertake to relate the events of this period, would find himself obliged to enter into the general history of the Crusades, as far as they contributed to the ruin of the Greek Empire; and he would scarcely be able to restrain his curiosity from making some inquiry into the state of the city of Rome, during the darkness and confusion of the middle ages.

    As I have ventured, perhaps too hastily, to commit to the press a work which in every sense of the word, deserves the epithet of imperfect. I consider myself as contracting an engagement to finish, most probably in a second volume, the first of these memorable periods; and to deliver to the Public the complete History of the Decline and Fall of Rome, from the age of the Antonines to the subversion of the Western Empire. With regard to the subsequent periods, though I may entertain some hopes, I dare not presume to give any assurances. The execution of the extensive plan which I have described, would connect the ancient and modern history of the world; but it would require many years of health, of leisure, and of perseverance.

    Bentinck Street, February 1, 1776.

    1. S. The entire History, which is now published, of the Decline and Fall of the Roman Empire in the West, abundantly discharges my engagements with the Public. Perhaps their favorable opinion may encourage me to prosecute a work, which, however laborious it may seem, is the most agreeable occupation of my leisure hours.

    Bentinck Street, March 1, 1781.

    An Author easily persuades himself that the public opinion is still favorable to his labors; and I have now embraced the serious resolution of proceeding to the last period of my original design, and of the Roman Empire, the taking of Constantinople by the Turks, in the year one thousand four hundred and fifty-three. The most patient Reader, who computes that three ponderous volumes have been already employed on the events of four centuries, may, perhaps, be alarmed at the long prospect of nine hundred years. But it is not my intention to expatiate with the same minuteness on the whole series of the Byzantine history. At our entrance into this period, the reign of Justinian, and the conquests of the Mahometans, will deserve and detain our attention, and the last age of Constantinople (the Crusades and the Turks) is connected with the revolutions of Modern Europe. From the seventh to the eleventh century, the obscure interval will be supplied by a concise narrative of such facts as may still appear either interesting or important.

    Bentinck Street, March 1, 1782.

    Preface To The First Volume.

    Diligence and accuracy are the only merits which an historical writer may ascribe to himself; if any merit, indeed, can be assumed from the performance of an indispensable duty. I may therefore be allowed to say, that I have carefully examined all the original materials that could illustrate the subject which I had undertaken to treat. Should I ever complete the extensive design which has been sketched out in the Preface, I might perhaps conclude it with a critical account of the authors consulted during the progress of the whole work; and however such an attempt might incur the censure of ostentation, I am persuaded that it would be susceptible of entertainment, as well as information.

    At present I shall content myself with a single observation. The biographers, who, under the reigns of Diocletian and Constantine, composed, or rather compiled, the lives of the Emperors, from Hadrian to the sons of Carus, are usually mentioned under the names of Ælius Spartianus, Julius Capitolinus, Ælius Lampridius, Vulcatius Gallicanus, Trebellius Pollio and Flavius Vopiscus. But there is so much perplexity in the titles of the MSS., and so many disputes have arisen among the critics (see Fabricius, Biblioth. Latin. l. iii. c. 6) concerning their number, their names, and their respective property, that for the most part I have quoted them without distinction, under the general and well-known title of the Augustan History.

    Preface To The Fourth Volume Of The Original Quarto Edition.

    I now discharge my promise, and complete my design, of writing the History of the Decline and Fall of the Roman Empire, both in the West and the East. The whole period extends from the age of Trajan and the Antonines, to the taking of Constantinople by Mahomet the Second; and includes a review of the Crusades, and the state of Rome during the middle ages. Since the publication of the first volume, twelve years have elapsed; twelve years, according to my wish, “of health, of leisure, and of perseverance.” I may now congratulate my deliverance from a long and laborious service, and my satisfaction will be pure and perfect, if the public favor should be extended to the conclusion of my work.

    It was my first intention to have collected, under one view, the numerous authors, of every age and language, from whom I have derived the materials of this history; and I am still convinced that the apparent ostentation would be more than compensated by real use. If I have renounced this idea, if I have declined an undertaking which had obtained the approbation of a master-artist, * my excuse may be found in the extreme difficulty of assigning a proper measure to such a catalogue. A naked list of names and editions would not be satisfactory either to myself or my readers: the characters of the principal Authors of the Roman and Byzantine History have been occasionally connected with the events which they describe; a more copious and critical inquiry might indeed deserve, but it would demand, an elaborate volume, which might swell by degrees into a general library of historical writers. For the present, I shall content myself with renewing my serious protestation, that I have always endeavored to draw from the fountain-head; that my curiosity, as well as a sense of duty, has always urged me to study the originals; and that, if they have sometimes eluded my search, I have carefully marked the secondary evidence, on whose faith a passage or a fact were reduced to depend.

    I shall soon revisit the banks of the Lake of Lausanne, a country which I have known and loved from my early youth. Under a mild government, amidst a beauteous landscape, in a life of leisure and independence, and among a people of easy and elegant manners, I have enjoyed, and may again hope to enjoy, the varied pleasures of retirement and society. But I shall ever glory in the name and character of an Englishman: I am proud of my birth in a free and enlightened country; and the approbation of that country is the best and most honorable reward of my labors. Were I ambitious of any other Patron than the Public, I would inscribe this work to a Statesman, who, in a long, a stormy, and at length an unfortunate administration, had many political opponents, almost without a personal enemy; who has retained, in his fall from power, many faithful and disinterested friends; and who, under the pressure of severe infirmity, enjoys the lively vigor of his mind, and the felicity of his incomparable temper. Lord North will permit me to express the feelings of friendship in the language of truth: but even truth and friendship should be silent, if he still dispensed the favors of the crown.

    In a remote solitude, vanity may still whisper in my ear, that my readers, perhaps, may inquire whether, in the conclusion of the present work, I am now taking an everlasting farewell. They shall hear all that I know myself, and all that I could reveal to the most intimate friend. The motives of action or silence are now equally balanced; nor can I pronounce, in my most secret thoughts, on which side the scale will preponderate. I cannot dissemble that six quartos must have tried, and may have exhausted, the indulgence of the Public; that, in the repetition of similar attempts, a successful Author has much more to lose than he can hope to gain; that I am now descending into the vale of years; and that the most respectable of my countrymen, the men whom I aspire to imitate, have resigned the pen of history about the same period of their lives. Yet I consider that the annals of ancient and modern times may afford many rich and interesting subjects; that I am still possessed of health and leisure; that by the practice of writing, some skill and facility must be acquired; and that, in the ardent pursuit of truth and knowledge, I am not conscious of decay. To an active mind, indolence is more painful than labor; and the first months of my liberty will be occupied and amused in the excursions of curiosity and taste. By such temptations, I have been sometimes seduced from the rigid duty even of a pleasing and voluntary task: but my time will now be my own; and in the use or abuse of independence, I shall no longer fear my own reproaches or those of my friends. I am fairly entitled to a year of jubilee: next summer and the following winter will rapidly pass away; and experience only can determine whether I shall still prefer the freedom and variety of study to the design and composition of a regular work, which animates, while it confines, the daily application of the Author. Caprice and accident may influence my choice; but the dexterity of self-love will contrive to applaud either active industry or philosophic repose.

    Downing Street, May 1, 1788.

    1. S. I shall embrace this opportunity of introducing two verbal remarks, which have not conveniently offered themselves to my notice. 1. As often as I use the definitions of beyond the Alps, the Rhine, the Danube, &c., I generally suppose myself at Rome, and afterwards at Constantinople; without observing whether this relative geography may agree with the local, but variable, situation of the reader, or the historian. 2. In proper names of foreign, and especially of Oriental origin, it should be always our aim to express, in our English version, a faithful copy of the original. But this rule, which is founded on a just regard to uniformity and truth, must often be relaxed; and the exceptions will be limited or enlarged by the custom of the language and the taste of the interpreter. Our alphabets may be often defective; a harsh sound, an uncouth spelling, might offend the ear or the eye of our countrymen; and some words, notoriously corrupt, are fixed, and, as it were, naturalized in the vulgar tongue. The prophet Mohammed can no longer be stripped of the famous, though improper, appellation of Mahomet: the well-known cities of Aleppo, Damascus, and Cairo, would almost be lost in the strange descriptions of Haleb, Demashk, and Al Cahira: the titles and offices of the Ottoman empire are fashioned by the practice of three hundred years; and we are pleased to blend the three Chinese monosyllables, Con-fû-tzee, in the respectable name of Confucius, or even to adopt the Portuguese corruption of Mandarin. But I would vary the use of Zoroaster and Zerdusht, as I drew my information from Greece or Persia: since our connection with India, the genuine Timour is restored to the throne of Tamerlane: our most correct writers have retrenched the Al, the superfluous article, from the Koran; and we escape an ambiguous termination, by adopting Moslem instead of Musulman, in the plural number. In these, and in a thousand examples, the shades of distinction are often minute; and I can feel, where I cannot explain, the motives of my choice.

    Chapter I: The Extend Of The Empire In The Age Of The Antoninies.

    Part I.

    Introduction — The Extent And Military Force Of The Empire In The Age Of The Antonines.

    In the second century of the Christian Æra, the empire of Rome comprehended the fairest part of the earth, and the most civilized portion of mankind. The frontiers of that extensive monarchy were guarded by ancient renown and disciplined valor. The gentle but powerful influence of laws and manners had gradually cemented the union of the provinces. Their peaceful inhabitants enjoyed and abused the advantages of wealth and luxury. The image of a free constitution was preserved with decent reverence: the Roman senate appeared to possess the sovereign authority, and devolved on the emperors all the executive powers of government. During a happy period of more than fourscore years, the public administration was conducted by the virtue and abilities of Nerva, Trajan, Hadrian, and the two Antonines. It is the design of this, and of the two succeeding chapters, to describe the prosperous condition of their empire; and after wards, from the death of Marcus Antoninus, to deduce the most important circumstances of its decline and fall; a revolution which will ever be remembered, and is still felt by the nations of the earth.

    The principal conquests of the Romans were achieved under the republic; and the emperors, for the most part, were satisfied with preserving those dominions which had been acquired by the policy of the senate, the active emulations of the consuls, and the martial enthusiasm of the people. The seven first centuries were filled with a rapid succession of triumphs; but it was reserved for Augustus to relinquish the ambitious design of subduing the whole earth, and to introduce a spirit of moderation into the public councils. Inclined to peace by his temper and situation, it was easy for him to discover that Rome, in her present exalted situation, had much less to hope than to fear from the chance of arms; and that, in the prosecution of remote wars, the undertaking became every day more difficult, the event more doubtful, and the possession more precarious, and less beneficial. The experience of Augustus added weight to these salutary reflections, and effectually convinced him that, by the prudent vigor of his counsels, it would be easy to secure every concession which the safety or the dignity of Rome might require from the most formidable barbarians. Instead of exposing his person and his legions to the arrows of the Parthians, he obtained, by an honorable treaty, the restitution of the standards and prisoners which had been taken in the defeat of Crassus.

    His generals, in the early part of his reign, attempted the reduction of Ethiopia and Arabia Felix. They marched near a thousand miles to the south of the tropic; but the heat of the climate soon repelled the invaders, and protected the un-warlike natives of those sequestered regions. The northern countries of Europe scarcely deserved the expense and labor of conquest. The forests and morasses of Germany were filled with a hardy race of barbarians, who despised life when it was separated from freedom; and though, on the first attack, they seemed to yield to the weight of the Roman power, they soon, by a signal act of despair, regained their independence, and reminded Augustus of the vicissitude of fortune. On the death of that emperor, his testament was publicly read in the senate. He bequeathed, as a valuable legacy to his successors, the advice of confining the empire within those limits which nature seemed to have placed as its permanent bulwarks and boundaries: on the west, the Atlantic Ocean; the Rhine and Danube on the north; the Euphrates on the east; and towards the south, the sandy deserts of Arabia and Africa.

    Happily for the repose of mankind, the moderate system recommended by the wisdom of Augustus, was adopted by the fears and vices of his immediate successors. Engaged in the pursuit of pleasure, or in the exercise of tyranny, the first Cæsars seldom showed themselves to the armies, or to the provinces; nor were they disposed to suffer, that those triumphs which their indolence neglected, should be usurped by the conduct and valor of their lieutenants. The military fame of a subject was considered as an insolent invasion of the Imperial prerogative; and it became the duty, as well as interest, of every Roman general, to guard the frontiers intrusted to his care, without aspiring to conquests which might have proved no less fatal to himself than to the vanquished barbarians.

    The only accession which the Roman empire received, during the first century of the Christian Æra, was the province of Britain. In this single instance, the successors of Cæsar and Augustus were persuaded to follow the example of the former, rather than the precept of the latter. The proximity of its situation to the coast of Gaul seemed to invite their arms; the pleasing though doubtful intelligence of a pearl fishery, attracted their avarice; and as Britain was viewed in the light of a distinct and insulated world, the conquest scarcely formed any exception to the general system of continental measures. After a war of about forty years, undertaken by the most stupid, maintained by the most dissolute, and terminated by the most timid of all the emperors, the far greater part of the island submitted to the Roman yoke. The various tribes of Britain possessed valor without conduct, and the love of freedom without the spirit of union. They took up arms with savage fierceness; they laid them down, or turned them against each other, with wild inconsistency; and while they fought singly, they were successively subdued. Neither the fortitude of Caractacus, nor the despair of Boadicea, nor the fanaticism of the Druids, could avert the slavery of their country, or resist the steady progress of the Imperial generals, who maintained the national glory, when the throne was disgraced by the weakest, or the most vicious of mankind. At the very time when Domitian, confined to his palace, felt the terrors which he inspired, his legions, under the command of the virtuous Agricola, defeated the collected force of the Caledonians, at the foot of the Grampian Hills; and his fleets, venturing to explore an unknown and dangerous navigation, displayed the Roman arms round every part of the island. The conquest of Britain was considered as already achieved; and it was the design of Agricola to complete and insure his success, by the easy reduction of Ireland, for which, in his opinion, one legion and a few auxiliaries were sufficient. The western isle might be improved into a valuable possession, and the Britons would wear their chains with the less reluctance, if the prospect and example of freedom were on every side removed from before their eyes.

    But the superior merit of Agricola soon occasioned his removal from the government of Britain; and forever disappointed this rational, though extensive scheme of conquest. Before his departure, the prudent general had provided for security as well as for dominion. He had observed, that the island is almost divided into two unequal parts by the opposite gulfs, or, as they are now called, the Friths of Scotland. Across the narrow interval of about forty miles, he had drawn a line of military stations, which was afterwards fortified, in the reign of Antoninus Pius, by a turf rampart, erected on foundations of stone. This wall of Antoninus, at a small distance beyond the modern cities of Edinburgh and Glasgow, was fixed as the limit of the Roman province. The native Caledonians preserved, in the northern extremity of the island, their wild independence, for which they were not less indebted to their poverty than to their valor. Their incursions were frequently repelled and chastised; but their country was never subdued. The masters of the fairest and most wealthy climates of the globe turned with contempt from gloomy hills, assailed by the winter tempest, from lakes concealed in a blue mist, and from cold and lonely heaths, over which the deer of the forest were chased by a troop of naked barbarians.

    Such was the state of the Roman frontiers, and such the maxims of Imperial policy, from the death of Augustus to the accession of Trajan. That virtuous and active prince had received the education of a soldier, and possessed the talents of a general. The peaceful system of his predecessors was interrupted by scenes of war and conquest; and the legions, after a long interval, beheld a military emperor at their head. The first exploits of Trajan were against the Dacians, the most warlike of men, who dwelt beyond the Danube, and who, during the reign of Domitian, had insulted, with impunity, the Majesty of Rome. To the strength and fierceness of barbarians they added a contempt for life, which was derived from a warm persuasion of the immortality and transmigration of the soul. Decebalus, the Dacian king, approved himself a rival not unworthy of Trajan; nor did he despair of his own and the public fortune, till, by the confession of his enemies, he had exhausted every resource both of valor and policy. This memorable war, with a very short suspension of hostilities, lasted five years; and as the emperor could exert, without control, the whole force of the state, it was terminated by an absolute submission of the barbarians. The new province of Dacia, which formed a second exception to the precept of Augustus, was about thirteen hundred miles in circumference. Its natural boundaries were the Niester, the Teyss or Tibiscus, the Lower Danube, and the Euxine Sea. The vestiges of a military road may still be traced from the banks of the Danube to the neighborhood of Bender, a place famous in modern history, and the actual frontier of the Turkish and Russian empires.

    Trajan was ambitious of fame; and as long as mankind shall continue to bestow more liberal applause on their destroyers than on their benefactors, the thirst of military glory will ever be the vice of the most exalted characters. The praises of Alexander, transmitted by a succession of poets and historians, had kindled a dangerous emulation in the mind of Trajan. Like him, the Roman emperor undertook an expedition against the nations of the East; but he lamented with a sigh, that his advanced age scarcely left him any hopes of equalling the renown of the son of Philip. Yet the success of Trajan, however transient, was rapid and specious. The degenerate

    Parthians, broken by intestine discord, fled before his arms. He descended the River Tigris in triumph, from the mountains of Armenia to the Persian Gulf. He enjoyed the honor of being the first, as he was the last, of the Roman generals, who ever navigated that remote sea. His fleets ravaged the coast of Arabia; and Trajan vainly flattered himself that he was approaching towards the confines of India. Every day the astonished senate received the intelligence of new names and new nations, that acknowledged his sway. They were informed that the kings of Bosphorus, Colchos, Iberia, Albania, Osrhoene, and even the

    Parthian monarch himself, had accepted their diadems from the hands of the emperor; that the independent tribes of the Median and Carduchian hills had implored his protection; and that the rich countries of Armenia, Mesopotamia, and Assyria, were reduced into the state of provinces. But the death of Trajan soon clouded the splendid prospect; and it was justly to be dreaded, that so many distant nations would throw off the unaccustomed yoke, when they were no longer restrained by the powerful hand which had imposed it.

    Chapter I: The Extend Of The Empire In The Age Of The Antoninies.

    Part II.

    It was an ancient tradition, that when the Capitol was founded by one of the Roman kings, the god Terminus (who presided over boundaries, and was represented, according to the fashion of that age, by a large stone) alone, among all the inferior deities, refused to yield his place to Jupiter himself. A favorable inference was drawn from his obstinacy, which was interpreted by the augurs as a sure presage that the boundaries of the Roman power would never recede. During many ages, the prediction, as it is usual, contributed to its own accomplishment. But though Terminus had resisted the Majesty of Jupiter, he submitted to the authority of the emperor Hadrian. The resignation of all the eastern conquests of Trajan was the first measure of his reign. He restored to the

    Parthians the election of an independent sovereign; withdrew the Roman garrisons from the provinces of Armenia, Mesopotamia, and Assyria; and, in compliance with the precept of Augustus, once more established the Euphrates as the frontier of the empire. Censure, which arraigns the public actions and the private motives of princes, has ascribed to envy, a conduct which might be attributed to the prudence and moderation of Hadrian. The various character of that emperor, capable, by turns, of the meanest and the most generous sentiments, may afford some color to the suspicion. It was, however, scarcely in his power to place the superiority of his predecessor in a more conspicuous light, than by thus confessing himself unequal to the task of defending the conquests of Trajan.

    The martial and ambitious of spirit Trajan formed a very singular contrast with the moderation of his successor. The restless activity of Hadrian was not less remarkable when compared with the gentle repose of Antoninus Pius. The life of the former was almost a perpetual journey; and as he possessed the various talents of the soldier, the statesman, and the scholar, he gratified his curiosity in the discharge of his duty. Careless of the difference of seasons and of climates, he marched on foot, and bare-headed, over the snows of Caledonia, and the sultry plains of the Upper Egypt; nor was there a province of the empire which, in the course of his reign, was not honored with the presence of the monarch. But the tranquil life of Antoninus Pius was spent in the bosom of Italy, and, during the twenty-three years that he directed the public administration, the longest journeys of that amiable prince extended no farther than from his palace in Rome to the retirement of his Lanuvian villa.

    Notwithstanding this difference in their personal conduct, the general system of Augustus was equally adopted and uniformly pursued by Hadrian and by the two Antonines. They persisted in the design of maintaining the dignity of the empire, without attempting to enlarge its limits. By every honorable expedient they invited the friendship of the barbarians; and endeavored to convince mankind that the Roman power, raised above the temptation of conquest, was actuated only by the love of order and justice. During a long period of forty-three years, their virtuous labors were crowned with success; and if we except a few slight hostilities, that served to exercise the legions of the frontier, the reigns of Hadrian and Antoninus Pius offer the fair prospect of universal peace. The Roman name was revered among the most remote nations of the earth. The fiercest barbarians frequently submitted their differences to the arbitration of the emperor; and we are informed by a contemporary historian that he had seen ambassadors who were refused the honor which they came to solicit of being admitted into the rank of subjects.

    The terror of the Roman arms added weight and dignity to the moderation of the emperors. They preserved peace by a constant preparation for war; and while justice regulated their conduct, they announced to the nations on their confines, that they were as little disposed to endure, as to offer an injury. The military strength, which it had been sufficient for Hadrian and the elder Antoninus to display, was exerted against the Parthians and the Germans by the emperor Marcus. The hostilities of the barbarians provoked the resentment of that philosophic monarch, and, in the prosecution of a just defence, Marcus and his generals obtained many signal victories, both on the Euphrates and on the Danube. The military establishment of the Roman empire, which thus assured either its tranquillity or success, will now become the proper and important object of our attention.

    In the purer ages of the commonwealth, the use of arms was reserved for those ranks of citizens who had a country to love, a property to defend, and some share in enacting those laws, which it was their interest as well as duty to maintain. But in proportion as the public freedom was lost in extent of conquest, war was gradually improved into an art, and degraded into a trade. The legions themselves, even at the time when they were recruited in the most distant provinces, were supposed to consist of Roman citizens. That distinction was generally considered, either as a legal qualification or as a proper recompense for the soldier; but a more serious regard was paid to the essential merit of age, strength, and military stature. In all levies, a just preference was given to the climates of the North over those of the South: the race of men born to the exercise of arms was sought for in the country rather than in cities; and it was very reasonably presumed, that the hardy occupations of smiths, carpenters, and huntsmen, would supply more vigor and resolution than the sedentary trades which are employed in the service of luxury. After every qualification of property had been laid aside, the armies of the Roman emperors were still commanded, for the most part, by officers of liberal birth and education; but the common soldiers, like the mercenary troops of modern Europe, were drawn from the meanest, and very frequently from the most profligate, of mankind.

    That public virtue, which among the ancients was denominated patriotism, is derived from a strong sense of our own interest in the preservation and prosperity of the free government of which we are members. Such a sentiment, which had rendered the legions of the republic almost invincible, could make but a very feeble impression on the mercenary servants of a despotic prince; and it became necessary to supply that defect by other motives, of a different, but not less forcible nature — honor and religion. The peasant, or mechanic, imbibed the useful prejudice that he was advanced to the more dignified profession of arms, in which his rank and reputation would depend on his own valor; and that, although the prowess of a private soldier must often escape the notice of fame, his own behavior might sometimes confer glory or disgrace on the company, the legion, or even the army, to whose honors he was associated. On his first entrance into the service, an oath was administered to him with every circumstance of solemnity. He promised never to desert his standard, to submit his own will to the commands of his leaders, and to sacrifice his life for the safety of the emperor and the empire. The attachment of the Roman troops to their standards was inspired by the united influence of religion and of honor. The golden eagle, which glittered in the front of the legion, was the object of their fondest devotion; nor was it esteemed less impious than it was ignominious, to abandon that sacred ensign in the hour of danger. These motives, which derived their strength from the imagination, were enforced by fears and hopes of a more substantial kind. Regular pay, occasional donatives, and a stated recompense, after the appointed time of service, alleviated the hardships of the military life, whilst, on the other hand, it was impossible for cowardice or disobedience to escape the severest punishment. The centurions were authorized to chastise with blows, the generals had a right to punish with death; and it was an inflexible maxim of Roman discipline, that a good soldier should dread his officers far more than the enemy. From such laudable arts did the valor of the Imperial troops receive a degree of firmness and docility unattainable by the impetuous and irregular passions of barbarians.

    And yet so sensible were the Romans of the imperfection of valor without skill and practice, that, in their language, the name of an army was borrowed from the word which signified exercise. Military exercises were the important and unremitted object of their discipline. The recruits and young soldiers were constantly trained, both in the morning and in the evening, nor was age or knowledge allowed to excuse the veterans from the daily repetition of what they had completely learnt. Large sheds were erected in the winter-quarters of the troops, that their useful labors might not receive any interruption from the most tempestuous weather; and it was carefully observed, that the arms destined to this imitation of war, should be of double the weight which was required in real action. It is not the purpose of this work to enter into any minute description of the Roman exercises. We shall only remark, that they comprehended whatever could add strength to the body, activity to the limbs, or grace to the motions. The soldiers were diligently instructed to march, to run, to leap, to swim, to carry heavy burdens, to handle every species of arms that was used either for offence or for defence, either in distant engagement or in a closer onset; to form a variety of evolutions; and to move to the sound of flutes in the Pyrrhic or martial dance. In the midst of peace, the Roman troops familiarized themselves with the practice of war; and it is prettily remarked by an ancient historian who had fought against them, that the effusion of blood was the only circumstance which distinguished a field of battle from a field of exercise. ^39 It was the policy of the ablest generals, and even of the emperors themselves, to encourage these military studies by their presence and example; and we are informed that Hadrian, as well as Trajan, frequently condescended to instruct the unexperienced soldiers, to reward the diligent, and sometimes to dispute with them the prize of superior strength or dexterity. Under the reigns of those princes, the science of tactics was cultivated with success; and as long as the empire retained any vigor, their military instructions were respected as the most perfect model of Roman discipline.

    Nine centuries of war had gradually introduced into the service many alterations and improvements. The legions, as they are described by Polybius, in the time of the Punic wars, differed very materially from those which achieved the victories of Cæsar, or defended the monarchy of Hadrian and the Antonines. The constitution of the Imperial legion may be described in a few words. The heavy-armed infantry, which composed its principal strength, was divided into ten cohorts, and fifty-five companies, under the orders of a correspondent number of tribunes and centurions. The first cohort, which always claimed the post of honor and the custody of the eagle, was formed of eleven hundred and five soldiers, the most approved for valor and fidelity. The remaining nine cohorts consisted each of five hundred and fifty-five; and the whole body of legionary infantry amounted to six thousand one hundred men. Their arms were uniform, and admirably adapted to the nature of their service: an open helmet, with a lofty crest; a breastplate, or coat of mail; greaves on their legs, and an ample buckler on their left arm. The buckler was of an oblong and concave figure, four feet in length, and two and a half in breadth, framed of a light wood, covered with a bull’s hide, and strongly guarded with plates of brass. Besides a lighter spear, the legionary soldier grasped in his right hand the formidable pilum, a ponderous javelin, whose utmost length was about six feet, and which was terminated by a massy triangular point of steel of eighteen inches. This instrument was indeed much inferior to our modern fire-arms; since it was exhausted by a single discharge, at the distance of only ten or twelve paces. Yet when it was launched by a firm and skilful hand, there was not any cavalry that durst venture within its reach, nor any shield or corselet that could sustain the impetuosity of its weight. As soon as the Roman had darted his pilum, he drew his sword, and rushed forwards to close with the enemy. His sword was a short well-tempered Spanish blade, that carried a double edge, and was alike suited to the purpose of striking or of pushing; but the soldier was always instructed to prefer the latter use of his weapon, as his own body remained less exposed, whilst he inflicted a more dangerous wound on his adversary. The legion was usually drawn up eight deep; and the regular distance of three feet was left between the files as well as ranks. A body of troops, habituated to preserve this open order, in a long front and a rapid charge, found themselves prepared to execute every disposition which the circumstances of war, or the skill of their leader, might suggest. The soldier possessed a free space for his arms and motions, and sufficient intervals were allowed, through which seasonable reenforcements might be introduced to the relief of the exhausted combatants. The tactics of the Greeks and Macedonians were formed on very different principles. The strength of the phalanx depended on sixteen ranks of long pikes, wedged together in the closest array. But it was soon discovered by reflection, as well as by the event, that the strength of the phalanx was unable to contend with the activity of the legion.

    The cavalry, without which the force of the legion would have remained imperfect, was divided into ten troops or squadrons; the first, as the companion of the first cohort, consisted of a hundred and thirty-two men; whilst each of the other nine amounted only to sixty-six. The entire establishment formed a regiment, if we may use the modern expression, of seven hundred and twenty-six horse, naturally connected with its respective legion, but occasionally separated to act in the line, and to compose a part of the wings of the army. The cavalry of the emperors was no longer composed, like that of the ancient republic, of the noblest youths of Rome and Italy, who, by performing their military service on horseback, prepared themselves for the offices of senator and consul; and solicited, by deeds of valor, the future suffrages of their countrymen. Since the alteration of manners and government, the most wealthy of the equestrian order were engaged in the administration of justice, and of the revenue; and whenever they embraced the profession of arms, they were immediately intrusted with a troop of horse, or a cohort of foot. Trajan and Hadrian formed their cavalry from the same provinces, and the same class of their subjects, which recruited the ranks of the legion. The horses were bred, for the most part, in Spain or Cappadocia. The Roman troopers despised the complete armor with which the cavalry of the East was encumbered. Their more useful arms consisted in a helmet, an oblong shield, light boots, and a coat of mail. A javelin, and a long broad sword, were their principal weapons of offence. The use of lances and of iron maces they seem to have borrowed from the barbarians.

    The safety and honor of the empire was principally intrusted to the legions, but the policy of Rome condescended to adopt every useful instrument of war. Considerable levies were regularly made among the provincials, who had not yet deserved the honorable distinction of Romans. Many dependent princes and communities, dispersed round the frontiers, were permitted, for a while, to hold their freedom and security by the tenure of military service. Even select troops of hostile barbarians were frequently compelled or persuaded to consume their dangerous valor in remote climates, and for the benefit of the state. All these were included under the general name of auxiliaries; and howsoever they might vary according to the difference of times and circumstances, their numbers were seldom much inferior to those of the legions themselves. Among the auxiliaries, the bravest and most faithful bands were placed under the command of præfects and centurions, and severely trained in the arts of Roman discipline; but the far greater part retained those arms, to which the nature of their country, or their early habits of life, more peculiarly adapted them. By this institution, each legion, to whom a certain proportion of auxiliaries was allotted, contained within itself every species of lighter troops, and of missile weapons; and was capable of encountering every nation, with the advantages of its respective arms and discipline. Nor was the legion destitute of what, in modern language, would be styled a train of artillery.

    It consisted in ten military engines of the largest, and fifty-five of a smaller size; but all of which, either in an oblique or horizontal manner, discharged stones and darts with irresistible violence.

    Chapter I: The Extend Of The Empire In The Age Of The Antoninies.

    Part III.

    The camp of a Roman legion presented the appearance of a fortified city. As soon as the space was marked out, the pioneers carefully levelled the ground, and removed every impediment that might interrupt its perfect regularity. Its form was an exact quadrangle; and we may calculate, that a square of about seven hundred yards was sufficient for the encampment of twenty thousand Romans; though a similar number of our own troops would expose to the enemy a front of more than treble that extent. In the midst of the camp, the prætorium, or general’s quarters, rose above the others; the cavalry, the infantry, and the auxiliaries occupied their respective stations; the streets were broad and perfectly straight, and a vacant space of two hundred feet was left on all sides between the tents and the rampart. The rampart itself was usually twelve feet high, armed with a line of strong and intricate palisades, and defended by a ditch of twelve feet in depth as well as in breadth. This important labor was performed by the hands of the legionaries themselves; to whom the use of the spade and the pickaxe was no less familiar than that of the sword or pilum. Active valor may often be the present of nature; but such patient diligence can be the fruit only of habit and discipline.

    Whenever the trumpet gave the signal of departure, the camp was almost instantly broke up, and the troops fell into their ranks without delay or confusion. Besides their arms, which the legendaries scarcely considered as an encumbrance, they were laden with their kitchen furniture, the instruments of fortification, and the provision of many days. Under this weight, which would oppress the delicacy of a modern soldier, they were trained by a regular step to advance, in about six hours, near twenty miles. On the appearance of an enemy, they threw aside their baggage, and by easy and rapid evolutions converted the column of march into an order of battle. The slingers and archers skirmished in the front; the auxiliaries formed the first line, and were seconded or sustained by the strength of the legions; the cavalry covered the flanks, and the military engines were placed in the rear.

    Such were the arts of war, by which the Roman emperors defended their extensive conquests, and preserved a military spirit, at a time when every other virtue was oppressed by luxury and despotism. If, in the consideration of their armies, we pass from their discipline to their numbers, we shall not find it easy to define them with any tolerable accuracy. We may compute, however, that the legion, which was itself a body of six thousand eight hundred and thirty-one Romans, might, with its attendant auxiliaries, amount to about twelve thousand five hundred men. The peace establishment of Hadrian and his successors was composed of no less than thirty of these formidable brigades; and most probably formed a standing force of three hundred and seventy-five thousand men. Instead of being confined within the walls of fortified cities, which the Romans considered as the refuge of weakness or pusillanimity, the legions were encamped on the banks of the great rivers, and along the frontiers of the barbarians. As their stations, for the most part, remained fixed and permanent, we may venture to describe the distribution of the troops. Three legions were sufficient for Britain. The principal strength lay upon the Rhine and Danube, and consisted of sixteen legions, in the following proportions: two in the Lower, and three in the Upper Germany; one in Rhætia, one in Noricum, four in Pannonia, three in Mæsia, and two in Dacia. The defence of the Euphrates was intrusted to eight legions, six of whom were planted in Syria, and the other two in Cappadocia. With regard to Egypt, Africa, and Spain, as they were far removed from any important scene of war, a single legion maintained the domestic tranquillity of each of those great provinces. Even Italy was not left destitute of a military force. Above twenty thousand chosen soldiers, distinguished by the titles of City Cohorts and Prætorian Guards, watched over the safety of the monarch and the capital. As the authors of almost every revolution that distracted the empire, the Prætorians will, very soon, and very loudly, demand our attention; but, in their arms and institutions, we cannot find any circumstance which discriminated them from the legions, unless it were a more splendid appearance, and a less rigid discipline.

    The navy maintained by the emperors might seem inadequate to their greatness; but it was fully sufficient for every useful purpose of government. The ambition of the Romans was confined to the land; nor was that warlike people ever actuated by the enterprising spirit which had prompted the navigators of Tyre, of Carthage, and even of Marseilles, to enlarge the bounds of the world, and to explore the most remote coasts of the ocean. To the Romans the ocean remained an object of terror rather than of curiosity; the whole extent of the Mediterranean, after the destruction of Carthage, and the extirpation of the pirates, was included within their provinces. The policy of the emperors was directed only to preserve the peaceful dominion of that sea, and to protect the commerce of their subjects. With these moderate views, Augustus stationed two permanent fleets in the most convenient ports of Italy, the one at Ravenna, on the Adriatic, the other at Misenum, in the Bay of Naples. Experience seems at length to have convinced the ancients, that as soon as their galleys exceeded two, or at the most three ranks of oars, they were suited rather for vain pomp than for real service. Augustus himself, in the victory of Actium, had seen the superiority of his own light frigates (they were called Liburnians) over the lofty but unwieldy castles of his rival. Of these Liburnians he composed the two fleets of Ravenna and Misenum, destined to command, the one the eastern, the other the western division of the Mediterranean; and to each of the squadrons he attached a body of several thousand marines. Besides these two ports, which may be considered as the principal seats of the Roman navy, a very considerable force was stationed at Frejus, on the coast of Provence, and the Euxine was guarded by forty ships, and three thousand soldiers. To all these we add the fleet which preserved the communication between Gaul and Britain, and a great number of vessels constantly maintained on the Rhine and Danube, to harass the country, or to intercept the passage of the barbarians. If we review this general state of the Imperial forces; of the cavalry as well as infantry; of the legions, the auxiliaries, the guards, and the navy; the most liberal computation will not allow us to fix the entire establishment by sea and by land at more than four hundred and fifty thousand men: a military power, which, however formidable it may seem, was equalled by a monarch of the last century, whose kingdom was confined within a single province of the Roman empire.

    We have attempted to explain the spirit which moderated, and the strength which supported, the power of Hadrian and the Antonines. We shall now endeavor, with clearness and precision, to describe the provinces once united under their sway, but, at present, divided into so many independent and hostile states.

    Spain, the western extremity of the empire, of Europe, and of the ancient world, has, in every age, invariably preserved the same natural limits; the Pyrenæan Mountains, the Mediterranean, and the Atlantic Ocean. That great peninsula, at present so unequally divided between two sovereigns, was distributed by Augustus into three provinces, Lusitania, Bætica, and Tarraconensis. The kingdom of Portugal now fills the place of the warlike country of the Lusitanians; and the loss sustained by the former on the side of the East, is compensated by an accession of territory towards the North. The confines of Grenada and Andalusia correspond with those of ancient Bætica. The remainder of Spain, Gallicia, and the Asturias, Biscay, and Navarre, Leon, and the two Castiles, Murcia, Valencia, Catalonia, and Arragon, all contributed to form the third and most considerable of the Roman governments, which, from the name of its capital, was styled the province of Tarragona. Of the native barbarians, the Celtiberians were the most powerful, as the Cantabrians and Asturians proved the most obstinate. Confident in the strength of their mountains, they were the last who submitted to the arms of Rome, and the first who threw off the yoke of the Arabs.

    Ancient Gaul, as it contained the whole country between the Pyrenees, the Alps, the Rhine, and the Ocean, was of greater extent than modern France. To the dominions of that powerful monarchy, with its recent acquisitions of Alsace and Lorraine, we must add the duchy of Savoy, the cantons of Switzerland, the four electorates of the Rhine, and the territories of Liege, Luxemburgh, Hainault, Flanders, and Brabant. When Augustus gave laws to the conquests of his father, he introduced a division of Gaul, equally adapted to the progress of the legions, to the course of the rivers, and to the principal national distinctions, which had comprehended above a hundred independent states. The sea-coast of the Mediterranean, Languedoc, Provence, and Dauphine, received their provincial appellation from the colony of Narbonne. The government of Aquitaine was extended from the Pyrenees to the Loire. The country between the Loire and the Seine was styled the Celtic Gaul, and soon borrowed a new denomination from the celebrated colony of Lugdunum, or Lyons. The Belgic lay beyond the Seine, and in more ancient times had been bounded only by the Rhine; but a little before the age of Cæsar, the Germans, abusing their superiority of valor, had occupied a considerable portion of the Belgic territory. The Roman conquerors very eagerly embraced so flattering a circumstance, and the Gallic frontier of the Rhine, from Basil to Leyden, received the pompous names of the Upper and the Lower Germany. Such, under the reign of the Antonines, were

    the six provinces of Gaul; the Narbonnese, Aquitaine, the Celtic, or Lyonnese, the Belgic, and the two Germanies.

    We have already had occasion to mention the conquest of Britain, and to fix the boundary of the Roman Province in this island. It comprehended all England, Wales, and the Lowlands of Scotland, as far as the Friths of Dumbarton and Edinburgh. Before Britain lost her freedom, the country was irregularly divided between thirty tribes of barbarians, of whom the most considerable were the Belgæ in the West, the Brigantes in the North, the Silures in South Wales, and the Iceni in Norfolk and Suffolk. As far as we can either trace or credit the resemblance of manners and language, Spain, Gaul, and Britain were peopled by the same hardy race of savages. Before they yielded to the Roman arms, they often disputed the field, and often renewed the contest. After their submission, they constituted the western division of the European provinces, which extended from the columns of Hercules to the wall of Antoninus, and from the mouth of the Tagus to the sources of the Rhine and Danube.

    Before the Roman conquest, the country which is now called Lombardy, was not considered as a part of Italy. It had been occupied by a powerful colony of Gauls, who, settling themselves along the banks of the Po, from Piedmont to Romagna, carried their arms and diffused their name from the Alps to the Apennine. The Ligurians dwelt on the rocky coast which now forms the republic of Genoa. Venice was yet unborn; but the territories of that state, which lie to the east of the Adige, were inhabited by the Venetians. The middle part of the peninsula, that now composes the duchy of Tuscany and the ecclesiastical state, was the ancient seat of the Etruscans and Umbrians; to the former of whom Italy was indebted for the first rudiments of civilized life. The Tyber rolled at the foot of the seven hills of Rome, and the country of the Sabines, the Latins, and the Volsci, from that river to the frontiers of Naples, was the theatre of her infant victories. On that celebrated ground the first consuls deserved triumphs, their

    successors adorned villas, and their posterity have erected convents. Capua and Campania possessed the immediate territory of Naples; the rest of the kingdom was inhabited by many warlike nations, the Marsi, the Samnites, the Apulians, and the Lucanians; and the sea-coasts had been covered by the flourishing colonies of the Greeks. We may remark, that when Augustus divided Italy into eleven regions, the little province of Istria was annexed to that seat of Roman sovereignty.

    The European provinces of Rome were protected by the course of the Rhine and the Danube. The latter of those mighty streams, which rises at the distance of only thirty miles from the former, flows above thirteen hundred miles, for the most part to the south-east, collects the tribute of sixty navigable rivers, and is, at length, through six mouths, received into the Euxine, which appears scarcely equal to such an accession of waters. The provinces of the Danube soon acquired the general appellation of Illyricum, or the Illyrian frontier, and were esteemed the most warlike of the empire; but they deserve to be more particularly considered under the names of Rhætia, Noricum, Pannonia, Dalmatia, Dacia, Mæsia, Thrace, Macedonia, and Greece.

    The province of Rhætia, which soon extinguished the name of the Vindelicians, extended from the summit of the Alps to the banks of the Danube; from its source, as far as its conflux with the Inn. The greatest part of the flat country is subject to the elector of Bavaria; the city of Augsburg is protected by the constitution of the German empire; the Grisons are safe in their mountains, and the country of Tirol is ranked among the numerous provinces of the house of Austria.

    The wide extent of territory which is included between the Inn, the Danube, and the Save, — Austria, Styria, Carinthia, Carniola, the Lower Hungary, and Sclavonia, — was known to the ancients under the names of Noricum and Pannonia. In

    their original state of independence, their fierce inhabitants were intimately connected. Under the Roman government they were frequently united, and they still remain the patrimony of a single family. They now contain the residence of a German prince, who styles himself Emperor of the Romans, and form the centre, as well as strength, of the Austrian power. It may not be improper to observe, that if we except Bohemia, Moravia, the northern skirts of Austria, and a part of Hungary between the Teyss and the Danube, all the other dominions of the House of Austria were comprised within the limits of the Roman Empire.

    Dalmatia, to which the name of Illyricum more properly belonged, was a long, but narrow tract, between the Save and the Adriatic. The best part of the sea-coast, which still retains its ancient appellation, is a province of the Venetian state, and the seat of the little republic of Ragusa. The inland parts have assumed the Sclavonian names of Croatia and Bosnia; the former obeys an Austrian governor, the latter a Turkish pacha; but the whole country is still infested by tribes of barbarians, whose savage independence irregularly marks the doubtful limit of the Christian and Mahometan power.

    After the Danube had received the waters of the Teyss and the Save, it acquired, at least among the Greeks, the name of Ister. It formerly divided Mæsia and Dacia, the latter of which, as we have already seen, was a conquest of Trajan, and the only province beyond the river. If we inquire into the present state of those countries, we shall find that, on the left hand of the Danube, Temeswar and Transylvania have been annexed, after many revolutions, to the crown of Hungary; whilst the principalities of Moldavia and Wallachia acknowledge the supremacy of the Ottoman Porte. On the right hand of the Danube, Mæsia, which, during the middle ages, was broken into the barbarian kingdoms of Servia and Bulgaria, is again united in Turkish slavery.

    The appellation of Roumelia, which is still bestowed by the Turks on the extensive countries of Thrace, Macedonia, and Greece, preserves the memory of their ancient state under the Roman empire. In the time of the Antonines, the martial regions of Thrace, from the mountains of Hæmus and Rhodope, to the Bosphorus and the Hellespont, had assumed the form of a province. Notwithstanding the change of masters and of religion, the new city of Rome, founded by Constantine on the banks of the Bosphorus, has ever since remained the capital of a great monarchy. The kingdom of Macedonia, which, under the reign of Alexander, gave laws to Asia, derived more solid advantages from the policy of the two Philips; and with its dependencies of Epirus and Thessaly, extended from the Ægean to the Ionian Sea. When we reflect on the fame of Thebes and Argos, of Sparta and Athens, we can scarcely persuade ourselves, that so many immortal republics of ancient Greece were lost in a single province of the Roman empire, which, from the superior influence of the Achæan league, was usually denominated the province of Achaia.

    Such was the state of Europe under the Roman emperors. The provinces of Asia, without excepting the transient conquests of Trajan, are all comprehended within the limits of the Turkish power. But, instead of following the arbitrary divisions of despotism and ignorance, it will be safer for us, as well as more agreeable, to observe the indelible characters of nature. The name of Asia Minor is attributed with some propriety to the peninsula, which, confined betwixt the Euxine and the Mediterranean, advances from the Euphrates towards Europe. The most extensive and flourishing district, westward of Mount Taurus and the River Halys, was dignified by the Romans with the exclusive title of Asia. The jurisdiction of that province extended over the ancient monarchies of Troy, Lydia, and Phrygia, the maritime countries of the Pamphylians, Lycians, and Carians, and the Grecian colonies of Ionia, which equalled in arts, though not in arms, the glory of their parent. The kingdoms of Bithynia and Pontus possessed the northern

    side of the peninsula from Constantinople to Trebizond. On the opposite side, the province of Cilicia was terminated by the mountains of Syria: the inland country, separated from the Roman Asia by the River Halys, and from Armenia by the Euphrates, had once formed the independent kingdom of Cappadocia. In this place we may observe, that the northern shores of the Euxine, beyond Trebizond in Asia, and beyond the Danube in Europe, acknowledged the sovereignty of the emperors, and received at their hands either tributary princes or Roman garrisons. Budzak, Crim Tartary, Circassia, and Mingrelia, are the modern appellations of those savage countries.

    Under the successors of Alexander, Syria was the seat of the Seleucidæ, who reigned over Upper Asia, till the successful revolt of the

    Parthians confined their dominions between the Euphrates and the Mediterranean. When Syria became subject to the Romans, it formed the eastern frontier of their empire: nor did that province, in its utmost latitude, know any other bounds than the mountains of Cappadocia to the north, and towards the south, the confines of Egypt, and the Red Sea. Phoenicia and Palestine were sometimes annexed to, and sometimes separated from, the jurisdiction of Syria. The former of these was a narrow and rocky coast; the latter was a territory scarcely superior to Wales, either in fertility or extent. * Yet Phoenicia and Palestine will forever live in the memory of mankind; since America, as well as Europe, has received letters from the one, and religion from the other. A sandy desert, alike destitute of wood and water, skirts along the doubtful confine of Syria, from the Euphrates to the Red Sea. The wandering life of the Arabs was inseparably connected with their independence; and wherever, on some spots less barren than the rest, they ventured to for many settled habitations, they soon became subjects to the Roman empire.

    The geographers of antiquity have frequently hesitated to what

    portion of the globe they should ascribe Egypt. By its situation that celebrated kingdom is included within the immense peninsula of Africa; but it is accessible only on the side of Asia, whose revolutions, in almost every period of history, Egypt has humbly obeyed. A Roman præfect was seated on the splendid throne of the Ptolemies; and the iron sceptre of the Mamelukes is now in the hands of a Turkish pacha. The Nile flows down the country, above five hundred miles from the tropic of Cancer to the Mediterranean, and marks on either side of the extent of fertility by the measure of its inundations. Cyrene, situate towards the west, and along the sea-coast, was first a Greek colony, afterwards a province of Egypt, and is now lost in the desert of Barca. *

    From Cyrene to the ocean, the coast of Africa extends above fifteen hundred miles; yet so closely is it pressed between the Mediterranean and the Sahara, or sandy desert, that its breadth seldom exceeds fourscore or a hundred miles. The eastern division was considered by the Romans as the more peculiar and proper province of Africa. Till the arrival of the Phnician colonies, that fertile country was inhabited by the Libyans, the most savage of mankind. Under the immediate jurisdiction of Carthage, it became the centre of commerce and empire; but the republic of Carthage is now degenerated into the feeble and disorderly states of Tripoli and Tunis. The military government of Algiers oppresses the wide extent of Numidia, as it was once united under Massinissa and Jugurtha; but in the time of Augustus, the limits of Numidia were contracted; and, at least, two thirds of the country acquiesced in the name of Mauritania, with the epithet of Cæsariensis. The genuine Mauritania, or country of the Moors, which, from the ancient city of Tingi, or Tangier, was distinguished by the appellation of Tingitana, is represented by the modern kingdom of Fez. Salle, on the Ocean, so infamous at present for its piratical depredations, was noticed by the Romans, as the extreme object of their power, and almost of their geography. A city of their foundation may still be discovered near Mequinez, the residence of the barbarian

    whom we condescend to style the Emperor of Morocco; but it does not appear, that his more southern dominions, Morocco itself, and Segelmessa, were ever comprehended within the Roman province. The western parts of Africa are intersected by the branches of Mount Atlas, a name so idly celebrated by the fancy of poets; but which is now diffused over the immense ocean that rolls between the ancient and the new continent.

    Having now finished the circuit of the Roman empire, we may observe, that Africa is divided from Spain by a narrow strait of about twelve miles, through which the Atlantic flows into the Mediterranean. The columns of Hercules, so famous among the ancients, were two mountains which seemed to have been torn asunder by some convulsion of the elements; and at the foot of the European mountain, the fortress of Gibraltar is now seated. The whole extent of the Mediterranean Sea, its coasts and its islands, were comprised within the Roman dominion. Of the larger islands, the two Baleares, which derive their name of Majorca and Minorca from their respective size, are subject at present, the former to Spain, the latter to Great Britain. * It is easier to deplore the fate, than to describe the actual condition, of Corsica. Two Italian sovereigns assume a regal title from Sardinia and Sicily. Crete, or Candia, with Cyprus, and most of the smaller islands of Greece and Asia, have been subdued by the Turkish arms, whilst the little rock of Malta defies their power, and has emerged, under the government of its military Order, into fame and opulence.

    This long enumeration of provinces, whose broken fragments have formed so many powerful kingdoms, might almost induce us to forgive the vanity or ignorance of the ancients. Dazzled with the extensive sway, the irresistible strength, and the real or affected moderation of the emperors, they permitted themselves to despise, and sometimes to forget, the outlying countries which had been left in the enjoyment of a barbarous independence; and they gradually usurped the license of confounding the Roman monarchy with the globe of the earth. But the temper, as well as knowledge, of a modern historian,

    require a more sober and accurate language. He may impress a juster image of the greatness of Rome, by observing that the empire was above two thousand miles in breadth, from the wall of Antoninus and the northern limits of Dacia, to Mount Atlas and the tropic of Cancer; that it extended in length more than three thousand miles from the Western Ocean to the Euphrates; that it was situated in the finest part of the Temperate Zone, between the twenty-fourth and fifty-sixth degrees of northern latitude; and that it was supposed to contain above sixteen hundred thousand square miles, for the most part of fertile and well-cultivated land.

    Chapter II: The Internal Prosperity In The Age Of The Antonines.

    Part I. Of The Union And Internal Prosperity Of The Roman Empire, In The Age Of The Antonines.

    It is not alone by the rapidity, or extent of conquest, that we should estimate the greatness of Rome. The sovereign of the Russian deserts commands a larger portion of the globe. In the seventh summer after his passage of the Hellespont, Alexander erected the Macedonian trophies on the banks of the Hyphasis. Within less than a century, the irresistible Zingis, and the Mogul princes of his race, spread their cruel devastations and transient empire from the Sea of China, to the confines of Egypt and Germany. But the firm edifice of Roman power was raised and preserved by the wisdom of ages. The obedient provinces of Trajan and the Antonines were united by laws, and adorned by arts. They might occasionally suffer from the partial abuse of delegated authority; but the general principle of government was wise, simple, and beneficent. They enjoyed the religion of their ancestors, whilst in civil honors and advantages they were exalted, by just degrees, to an equality with their conquerors.

    1. The policy of the emperors and the senate, as far as it concerned religion, was happily seconded by the reflections of the enlightened, and by the habits of the superstitious, part of

    their subjects. The various modes of worship, which prevailed in the Roman world, were all considered by the people, as equally true; by the philosopher, as equally false; and by the magistrate, as equally useful. And thus toleration produced not only mutual indulgence, but even religious concord.

    The superstition of the people was not imbittered by any mixture of theological rancor; nor was it confined by the chains of any speculative system. The devout polytheist, though fondly attached to his national rites, admitted with implicit faith the different religions of the earth. Fear, gratitude, and curiosity, a dream or an omen, a singular disorder, or a distant journey, perpetually disposed him to multiply the articles of his belief, and to enlarge the list of his protectors. The thin texture of the Pagan mythology was interwoven with various but not discordant materials. As soon as it was allowed that sages and heroes, who had lived or who had died for the benefit of their country, were exalted to a state of power and immortality, it was universally confessed, that they deserved, if not the adoration, at least the reverence, of all mankind. The deities of a thousand groves and a thousand streams possessed, in peace, their local and respective influence; nor could the Romans who deprecated the wrath of the Tiber, deride the Egyptian who presented his offering to the beneficent genius of the Nile. The visible powers of nature, the planets, and the elements were the same throughout the universe. The invisible governors of the moral world were inevitably cast in a similar mould of fiction and allegory. Every virtue, and even vice, acquired its divine representative; every art and profession its patron, whose attributes, in the most distant ages and countries, were uniformly derived from the character of their peculiar votaries. A republic of gods of such opposite tempers and interests required, in every system, the moderating hand of a supreme magistrate, who, by the progress of knowledge and flattery, was gradually invested with the sublime perfections of an Eternal Parent, and an Omnipotent Monarch. Such was the mild spirit of antiquity, that the nations were less attentive to

    the difference, than to the resemblance, of their religious worship. The Greek, the Roman, and the Barbarian, as they met before their respective altars, easily persuaded themselves, that under various names, and with various ceremonies, they adored the same deities. The elegant mythology of Homer gave a beautiful, and almost a regular form, to the polytheism of the ancient world.

    The philosophers of Greece deduced their morals from the nature of man, rather than from that of God. They meditated, however, on the Divine Nature, as a very curious and important speculation; and in the profound inquiry, they displayed the strength and weakness of the human understanding. Of the four most celebrated schools, the Stoics and the Platonists endeavored to reconcile the jaring interests of reason and piety. They have left us the most sublime proofs of the existence and perfections of the first cause; but, as it was impossible for them to conceive the creation of matter, the workman in the Stoic philosophy was not sufficiently distinguished from the work; whilst, on the contrary, the spiritual God of Plato and his disciples resembled an idea, rather than a substance. The opinions of the Academics and Epicureans were of a less religious cast; but whilst the modest science of the former induced them to doubt, the positive ignorance of the latter urged them to deny, the providence of a Supreme Ruler. The spirit of inquiry, prompted by emulation, and supported by freedom, had divided the public teachers of philosophy into a variety of contending sects; but the ingenious youth, who, from every part, resorted to Athens, and the other seats of learning in the Roman empire, were alike instructed in every school to reject and to despise the religion of the multitude. How, indeed, was it possible that a philosopher should accept, as divine truths, the idle tales of the poets, and the incoherent traditions of antiquity; or that he should adore, as gods, those imperfect beings whom he must have despised, as men? Against such unworthy adversaries, Cicero condescended to employ the arms of reason and eloquence; but the satire of Lucian was a much more

    adequate, as well as more efficacious, weapon. We may be well assured, that a writer, conversant with the world, would never have ventured to expose the gods of his country to public ridicule, had they not already been the objects of secret contempt among the polished and enlightened orders of society.

    Notwithstanding the fashionable irreligion which prevailed in the age of the Antonines, both the interest of the priests and the credulity of the people were sufficiently respected. In their writings and conversation, the philosophers of antiquity asserted the independent dignity of reason; but they resigned their actions to the commands of law and of custom. Viewing, with a smile of pity and indulgence, the various errors of the vulgar, they diligently practised the ceremonies of their fathers, devoutly frequented the temples of the gods; and sometimes condescending to act a part on the theatre of superstition, they concealed the sentiments of an atheist under the sacerdotal robes. Reasoners of such a temper were scarcely inclined to wrangle about their respective modes of faith, or of worship. It was indifferent to them what shape the folly of the multitude might choose to assume; and they approached with the same inward contempt, and the same external reverence, the altars of the Libyan, the Olympian, or the Capitoline Jupiter.

    It is not easy to conceive from what motives a spirit of persecution could introduce itself into the Roman councils. The magistrates could not be actuated by a blind, though honest bigotry, since the magistrates were themselves philosophers; and the schools of Athens had given laws to the senate. They could not be impelled by ambition or avarice, as the temporal and ecclesiastical powers were united in the same hands. The pontiffs were chosen among the most illustrious of the senators; and the office of Supreme Pontiff was constantly exercised by the emperors themselves. They knew and valued the advantages of religion, as it is connected with civil government. They encouraged the public festivals

    which humanize the manners of the people. They managed the arts of divination as a convenient instrument of policy; and they respected, as the firmest bond of society, the useful persuasion, that, either in this or in a future life, the crime of perjury is most assuredly punished by the avenging gods. But whilst they acknowledged the general advantages of religion, they were convinced that the various modes of worship contributed alike to the same salutary purposes; and that, in every country, the form of superstition, which had received the sanction of time and experience, was the best adapted to the climate, and to its inhabitants. Avarice and taste very frequently despoiled the vanquished nations of the elegant statues of their gods, and the rich ornaments of their temples; but, in the exercise of the religion which they derived from their ancestors, they uniformly experienced the indulgence, and even protection, of the Roman conquerors. The province of Gaul seems, and indeed only seems, an exception to this universal toleration. Under the specious pretext of abolishing human sacrifices, the emperors Tiberius and Claudius suppressed the dangerous power of the Druids: but the priests themselves, their gods and their altars, subsisted in peaceful obscurity till the final destruction of Paganism.

    Rome, the capital of a great monarchy, was incessantly filled with subjects and strangers from every part of the world, who all introduced and enjoyed the favorite superstitions of their native country. Every city in the empire was justified in maintaining the purity of its ancient ceremonies; and the Roman senate, using the common privilege, sometimes interposed, to check this inundation of foreign rites. * The Egyptian superstition, of all the most contemptible and abject, was frequently prohibited: the temples of Serapis and Isis demolished, and their worshippers banished from Rome and Italy. But the zeal of fanaticism prevailed over the cold and feeble efforts of policy. The exiles returned, the proselytes multiplied, the temples were restored with increasing splendor, and Isis and Serapis at length assumed their place among the Roman Deities. Nor was this indulgence a

    departure from the old maxims of government. In the purest ages of the commonwealth, Cybele and Æsculapius had been invited by solemn embassies; and it was customary to tempt the protectors of besieged cities, by the promise of more distinguished honors than they possessed in their native country. Rome gradually became the common temple of her subjects; and the freedom of the city was bestowed on all the gods of mankind.

    1. The narrow policy of preserving, without any foreign mixture, the pure blood of the ancient citizens, had checked the fortune, and hastened the ruin, of Athens and Sparta. The aspiring genius of Rome sacrificed vanity to ambition, and deemed it more prudent, as well as honorable, to adopt virtue and merit for her own wheresoever they were found, among slaves or strangers, enemies or barbarians. During the most flourishing æra of the Athenian commonwealth, the number of citizens gradually decreased from about thirty to twenty-one thousand. If, on the contrary, we study the growth of the Roman republic, we may discover, that, notwithstanding the incessant demands of wars and colonies, the citizens, who, in the first census of Servius Tullius, amounted to no more than eighty-three thousand, were multiplied, before the commencement of the social war, to the number of four hundred and sixty-three thousand men, able to bear arms in the service of their country. When the allies of Rome claimed an equal share of honors and privileges, the senate indeed preferred the chance of arms to an ignominious concession. The Samnites and the Lucanians paid the severe penalty of their rashness; but the rest of the Italian states, as they successively returned to their duty, were admitted into the bosom of the republic, and soon contributed to the ruin of public freedom. Under a democratical government, the citizens exercise the powers of sovereignty; and those powers will be first abused, and afterwards lost, if they are committed to an unwieldy multitude. But when the popular assemblies had been suppressed by the administration of the emperors, the conquerors were distinguished from the vanquished nations,

    only as the first and most honorable order of subjects; and their increase, however rapid, was no longer exposed to the same dangers. Yet the wisest princes, who adopted the maxims of Augustus, guarded with the strictest care the dignity of the Roman name, and diffused the freedom of the city with a prudent liberality.

    Chapter II: The Internal Prosperity In The Age Of The Antonines.

    Part II.

    Till the privileges of Romans had been progressively extended to all the inhabitants of the empire, an important distinction was preserved between Italy and the provinces. The former was esteemed the centre of public unity, and the firm basis of the constitution. Italy claimed the birth, or at least the residence, of the emperors and the senate. The estates of the Italians were exempt from taxes, their persons from the arbitrary jurisdiction of governors. Their municipal corporations, formed after the perfect model of the capital, * were intrusted, under the immediate eye of the supreme power, with the execution of the laws. From the foot of the Alps to the extremity of Calabria, all the natives of Italy were born citizens of Rome. Their partial distinctions were obliterated, and they insensibly coalesced into one great nation, united by language, manners, and civil institutions, and equal to the weight of a powerful empire. The republic gloried in her generous policy, and was frequently rewarded by the merit and services of her adopted sons. Had she always confined the distinction of Romans to the ancient families within the walls of the city, that immortal name would have been deprived of some of its noblest ornaments. Virgil was a native of Mantua; Horace was inclined to doubt whether he should call himself an Apulian or a Lucanian; it was in Padua that an historian was found worthy to record the majestic series of Roman victories. The patriot family of the Catos emerged from Tusculum; and the little town of Arpinum

    claimed the double honor of producing Marius and Cicero, the former of whom deserved, after Romulus and Camillus, to be styled the Third Founder of Rome; and the latter, after saving his country from the designs of Catiline, enabled her to contend with Athens for the palm of eloquence.

    The provinces of the empire (as they have been described in the preceding chapter) were destitute of any public force, or constitutional freedom. In Etruria, in Greece, and in Gaul, it was the first care of the senate to dissolve those dangerous confederacies, which taught mankind that, as the Roman arms prevailed by division, they might be resisted by union. Those princes, whom the ostentation of gratitude or generosity permitted for a while to hold a precarious sceptre, were dismissed from their thrones, as soon as they had per formed their appointed task of fashioning to the yoke the vanquished nations. The free states and cities which had embraced the cause of Rome were rewarded with a nominal alliance, and insensibly sunk into real servitude. The public authority was every where exercised by the ministers of the senate and of the emperors, and that authority was absolute, and without control. But the same salutary maxims of government, which had secured the peace and obedience of Italy were extended to the most distant conquests. A nation of Romans was gradually formed in the provinces, by the double expedient of introducing colonies, and of admitting the most faithful and deserving of the provincials to the freedom of Rome.

    “Wheresoever the Roman conquers, he inhabits,” is a very just observation of Seneca, confirmed by history and experience. The natives of Italy, allured by pleasure or by interest, hastened to enjoy the advantages of victory; and we may remark, that, about forty years after the reduction of Asia, eighty thousand Romans were massacred in one day, by the cruel orders of Mithridates. These voluntary exiles were engaged, for the most part, in the occupations of commerce, agriculture, and the farm of the revenue. But after the legions were rendered permanent by the emperors, the provinces were

    peopled by a race of soldiers; and the veterans, whether they received the reward of their service in land or in money, usually settled with their families in the country, where they had honorably spent their youth. Throughout the empire, but more particularly in the western parts, the most fertile districts, and the most convenient situations, were reserved for the establishment of colonies; some of which were of a civil, and others of a military nature. In their manners and internal policy, the colonies formed a perfect representation of their great parent; and they were soon endeared to the natives by the ties of friendship and alliance, they effectually diffused a reverence for the Roman name, and a desire, which was seldom disappointed, of sharing, in due time, its honors and advantages. The municipal cities insensibly equalled the rank and splendor of the colonies; and in the reign of Hadrian, it was disputed which was the preferable condition, of those societies which had issued from, or those which had been received into, the bosom of Rome. The right of Latium, as it was called, * conferred on the cities to which it had been granted, a more partial favor. The magistrates only, at the expiration of their office, assumed the quality of Roman citizens; but as those offices were annual, in a few years they circulated round the principal families. Those of the provincials who were permitted to bear arms in the legions; those who exercised any civil employment; all, in a word, who performed any public service, or displayed any personal talents, were rewarded with a present, whose value was continually diminished by the increasing liberality of the emperors. Yet even, in the age of the Antonines, when the freedom of the city had been bestowed on the greater number of their subjects, it was still accompanied with very solid advantages. The bulk of the people acquired, with that title, the benefit of the Roman laws, particularly in the interesting articles of marriage, testaments, and inheritances; and the road of fortune was open to those whose pretensions were seconded by favor or merit. The grandsons of the Gauls, who had besieged Julius Cæsar in Alcsia, commanded legions, governed provinces, and were admitted into the senate of Rome. Their ambition, instead of disturbing the tranquillity of the state, was intimately connected with its safety and greatness.

    So sensible were the Romans of the influence of language over national manners, that it was their most serious care to extend, with the progress of their arms, the use of the Latin tongue. The ancient dialects of Italy, the Sabine, the Etruscan, and the Venetian, sunk into oblivion; but in the provinces, the east was less docile than the west to the voice of its victorious preceptors. This obvious difference marked the two portions of the empire with a distinction of colors, which, though it was in some degree concealed during the meridian splendor of prosperity, became gradually more visible, as the shades of night descended upon the Roman world. The western countries were civilized by the same hands which subdued them. As soon as the barbarians were reconciled to obedience, their minds were open to any new impressions of knowledge and politeness. The language of Virgil and Cicero, though with some inevitable mixture of corruption, was so universally adopted in Africa, Spain, Gaul Britain, and Pannonia, that the faint traces of the Punic or Celtic idioms were preserved only in the mountains, or among the peasants. Education and study insensibly inspired the natives of those countries with the sentiments of Romans; and Italy gave fashions, as well as laws, to her Latin provincials. They solicited with more ardor, and obtained with more facility, the freedom and honors of the state; supported the national dignity in letters and in arms; and at length, in the person of Trajan, produced an emperor whom the Scipios would not have disowned for their countryman. The situation of the Greeks was very different from that of the barbarians. The former had been long since civilized and corrupted. They had too much taste to relinquish their language, and too much vanity to adopt any foreign institutions. Still preserving the prejudices, after they had lost the virtues, of their ancestors, they affected to despise the unpolished manners of the Roman conquerors, whilst they were compelled to respect their superior wisdom and power. Nor was the influence of the Grecian language and sentiments confined to the narrow limits of that once celebrated country. Their empire, by the progress of colonies and conquest, had been diffused from the Adriatic to the Euphrates and the Nile. Asia was covered with Greek cities, and the long reign of the Macedonian kings had introduced a silent revolution into Syria and Egypt. In their pompous courts, those princes united the elegance of Athens with the luxury of the East, and the example of the court was imitated, at an humble distance, by the higher ranks of their subjects. Such was the general division of the Roman empire into the Latin and Greek languages. To these we may add a third distinction for the body of the natives in Syria, and especially in Egypt, the use of their ancient dialects, by secluding them from the commerce of mankind, checked the improvements of those barbarians. The slothful effeminacy of the former exposed them to the contempt, the sullen ferociousness of the latter excited the aversion, of the conquerors. Those nations had submitted to the Roman power, but they seldom desired or deserved the freedom of the city: and it was remarked, that more than two hundred and thirty years elapsed after the ruin of the Ptolemies, before an Egyptian was admitted into the senate of Rome.

    It is a just though trite observation, that victorious Rome was herself subdued by the arts of Greece. Those immortal writers who still command the admiration of modern Europe, soon became the favorite object of study and imitation in Italy and the western provinces. But the elegant amusements of the Romans were not suffered to interfere with their sound maxims of policy. Whilst they acknowledged the charms of the Greek, they asserted the dignity of the Latin tongue, and the exclusive use of the latter was inflexibly maintained in the administration of civil as well as military government. The two languages exercised at the same time their separate jurisdiction throughout the empire: the former, as the natural idiom of science; the latter, as the legal dialect of public transactions. Those who united letters with business were equally conversant with both; and it was almost impossible, in any province, to find a Roman subject, of a liberal education, who was at once a stranger to the Greek and to the Latin language.

    It was by such institutions that the nations of the empire insensibly melted away into the Roman name and people. But there still remained, in the centre of every province and of every family, an unhappy condition of men who endured the weight, without sharing the benefits, of society. In the free states of antiquity, the domestic slaves were exposed to the wanton rigor of despotism. The perfect settlement of the Roman empire was preceded by ages of violence and rapine. The slaves consisted, for the most part, of barbarian captives, * taken in thousands by the chance of war, purchased at a vile price, accustomed to a life of independence, and impatient to break and to revenge their fetters. Against such internal enemies, whose desperate insurrections had more than once reduced the republic to the brink of destruction, the most severe regulations, and the most cruel treatment, seemed almost justified by the great law of self-preservation. But when the principal nations of Europe, Asia, and Africa were united under the laws of one sovereign, the source of foreign supplies flowed with much less abundance, and the Romans were reduced to the milder but more tedious method of propagation. * In their numerous families, and particularly in their country estates, they encouraged the marriage of their slaves. The sentiments of nature, the habits of education, and the possession of a dependent species of property, contributed to alleviate the hardships of servitude. The existence of a slave became an object of greater value, and though his happiness still depended on the temper and circumstances of the master, the humanity of the latter, instead of being restrained by fear, was encouraged by the sense of his own interest. The progress of manners was accelerated by the virtue or policy of the emperors; and by the edicts of Hadrian and the Antonines, the protection of the laws was extended to the most abject part of mankind. The jurisdiction of life and death over the slaves, a power long exercised and often abused, was taken out of private hands, and reserved to the magistrates alone. The subterraneous prisons were abolished; and, upon a just complaint of intolerable treatment, the injured slave obtained either his deliverance, or a less cruel master.

    Hope, the best comfort of our imperfect condition, was not denied to the Roman slave; and if he had any opportunity of rendering himself either useful or agreeable, he might very naturally expect that the diligence and fidelity of a few years would be rewarded with the inestimable gift of freedom. The benevolence of the master was so frequently prompted by the meaner suggestions of vanity and avarice, that the laws found it more necessary to restrain than to encourage a profuse and undistinguishing liberality, which might degenerate into a very dangerous abuse. It was a maxim of ancient jurisprudence, that a slave had not any country of his own; he acquired with his liberty an admission into the political society of which his patron was a member. The consequences of this maxim would have prostituted the privileges of the Roman city to a mean and promiscuous multitude. Some seasonable exceptions were therefore provided; and the honorable distinction was confined to such slaves only as, for just causes, and with the approbation of the magistrate, should receive a solemn and legal manumission. Even these chosen freedmen obtained no more than the private rights of citizens, and were rigorously excluded from civil or military honors. Whatever might be the merit or fortune of their sons, they likewise were esteemed unworthy of a seat in the senate; nor were the traces of a servile origin allowed to be completely obliterated till the third or fourth generation. Without destroying the distinction of ranks, a distant prospect of freedom and honors was presented, even to those whom pride and prejudice almost disdained to number among the human species.

    It was once proposed to discriminate the slaves by a peculiar habit; but it was justly apprehended that there might be some danger in acquainting them with their own numbers. Without interpreting, in their utmost strictness, the liberal appellations of legions and myriads, we may venture to pronounce, that the proportion of slaves, who were valued as property, was more considerable than that of servants, who can be computed only as an expense. The youths of a promising genius were instructed in the arts and sciences, and their price was ascertained by the degree of their skill and talents. Almost every profession, either liberal or mechanical, might be found in the household of an opulent senator. The ministers of pomp and sensuality were multiplied beyond the conception of modern luxury. It was more for the interest of the merchant or manufacturer to purchase, than to hire his workmen; and in the country, slaves were employed as the cheapest and most laborious instruments of agriculture. To confirm the general observation, and to display the multitude of slaves, we might allege a variety of particular instances. It was discovered, on a very melancholy occasion, that four hundred slaves were maintained in a single palace of Rome. The same number of four hundred belonged to an estate which an African widow, of a very private condition, resigned to her son, whilst she reserved for herself a much larger share of her property. A freedman, under the name of Augustus, though his fortune had suffered great losses in the civil wars, left behind him three thousand six hundred yoke of oxen, two hundred and fifty thousand head of smaller cattle, and what was almost included in the description of cattle, four thousand one hundred and sixteen slaves.

    The number of subjects who acknowledged the laws of Rome, of citizens, of provincials, and of slaves, cannot now be fixed with such a degree of accuracy, as the importance of the object would deserve. We are informed, that when the Emperor Claudius exercised the office of censor, he took an account of six millions nine hundred and forty-five thousand Roman citizens, who, with the proportion of women and children, must have amounted to about twenty millions of souls. The multitude of subjects of an inferior rank was uncertain and fluctuating. But, after weighing with attention every circumstance which could influence the balance, it seems probable that there existed, in the time of Claudius, about twice as many provincials as there were citizens, of either sex, and of every age; and that the slaves were at least equal in number to the free inhabitants of the Roman world. * The total amount of this imperfect calculation would rise to about one hundred and twenty millions of persons; a degree of population which possibly exceeds that of modern Europe, and forms the most numerous society that has ever been united under the same system of government.

    Chapter II: The Internal Prosperity In The Age Of The Antonines.

    Part III.

    Domestic peace and union were the natural consequences of the moderate and comprehensive policy embraced by the Romans. If we turn our eyes towards the monarchies of Asia, we shall behold despotism in the centre, and weakness in the extremities; the collection of the revenue, or the administration of justice, enforced by the presence of an army; hostile barbarians established in the heart of the country, hereditary satraps usurping the dominion of the provinces, and subjects inclined to rebellion, though incapable of freedom. But the obedience of the Roman world was uniform, voluntary, and permanent. The vanquished nations, blended into one great people, resigned the hope, nay, even the wish, of resuming their independence, and scarcely considered their own existence as distinct from the existence of Rome. The established authority of the emperors pervaded without an effort the wide extent of their dominions, and was exercised with the same facility on the banks of the Thames, or of the Nile, as on those of the Tyber. The legions were destined to serve against the public enemy, and the civil magistrate seldom required the aid of a military force. In this state of general security, the leisure, as well as opulence, both of the prince and people, were devoted to improve and to adorn the Roman empire.

    Among the innumerable monuments of architecture constructed by the Romans, how many have escaped the notice of history, how few have resisted the ravages of time and barbarism! And yet, even the majestic ruins that are still scattered over Italy and the provinces, would be sufficient to prove that those countries were once the seat of a polite and powerful empire. Their greatness alone, or their beauty, might deserve our attention: but they are rendered more interesting, by two important circumstances, which connect the agreeable history of the arts with the more useful history of human manners. Many of those works were erected at private expense, and almost all were intended for public benefit.

    It is natural to suppose that the greatest number, as well as the most considerable of the Roman edifices, were raised by the emperors, who possessed so unbounded a command both of men and money. Augustus was accustomed to boast that he had found his capital of brick, and that he had left it of marble. The strict economy of Vespasian was the source of his magnificence. The works of Trajan bear the stamp of his genius. The public monuments with which Hadrian adorned every province of the empire, were executed not only by his orders, but under his immediate inspection. He was himself an artist; and he loved the arts, as they conduced to the glory of the monarch. They were encouraged by the Antonines, as they contributed to the happiness of the people. But if the emperors were the first, they were not the only architects of their dominions. Their example was universally imitated by their principal subjects, who were not afraid of declaring to the world that they had spirit to conceive, and wealth to accomplish, the noblest undertakings. Scarcely had the proud structure of the Coliseum been dedicated at Rome, before the edifices, of a smaller scale indeed, but of the same design and materials, were erected for the use, and at the expense, of the cities of Capua and Verona. The inscription of the stupendous bridge of Alcantara attests that it was thrown over the Tagus by the contribution of a few Lusitanian communities. When Pliny was intrusted with the government of Bithynia and Pontus, provinces by no means the richest or most considerable of the empire, he found the cities within his jurisdiction striving with each other in every useful and ornamental work, that might deserve the curiosity of strangers, or the gratitude of their citizens. It was the duty of the proconsul to supply their deficiencies, to direct their taste, and sometimes to moderate their emulation. The opulent senators of Rome and the provinces esteemed it an honor, and almost an obligation, to adorn the splendor of their age and country; and the influence of fashion very frequently supplied the want of taste or generosity. Among a crowd of these private benefactors, we may select Herodes Atticus, an Athenian citizen, who lived in the age of the Antonines. Whatever might be the motive of his conduct, his magnificence would have been worthy of the greatest kings.

    [See Theatre Of Marcellus: Augustus built in Rome the theatre of Marcellus.]

    The family of Herod, at least after it had been favored by fortune, was lineally descended from Cimon and Miltiades, Theseus and Cecrops, Æacus and Jupiter. But the posterity of so many gods and heroes was fallen into the most abject state. His grandfather had suffered by the hands of justice, and Julius Atticus, his father, must have ended his life in poverty and contempt, had he not discovered an immense treasure buried under an old house, the last remains of his patrimony. According to the rigor of the law, the emperor might have asserted his claim, and the prudent Atticus prevented, by a frank confession, the officiousness of informers. But the equitable Nerva, who then filled the throne, refused to accept any part of it, and commanded him to use, without scruple, the present of fortune. The cautious Athenian still insisted, that the treasure was too considerable for a subject, and that he knew not how to use it. Abuse it then, replied the monarch, with a good-natured peevishness; for it is your own. Many will be of opinion, that Atticus literally obeyed the emperor’s last instructions; since he expended the greatest part of his fortune, which was much increased by an advantageous marriage, in the service of the public. He had obtained for his son Herod the prefecture of the free cities of Asia; and the young magistrate, observing that the town of Troas was indifferently supplied with water, obtained from the munificence of Hadrian three hundred myriads of drachms, (about a hundred thousand pounds,) for the construction of a new aqueduct. But in the execution of the work, the charge amounted to more than double the estimate, and the officers of the revenue began to murmur, till the generous Atticus silenced their complaints, by requesting that he might be permitted to take upon himself the whole additional expense.

    The ablest preceptors of Greece and Asia had been invited by liberal rewards to direct the education of young Herod. Their pupil soon became a celebrated orator, according to the useless rhetoric of that age, which, confining itself to the schools, disdained to visit either the Forum or the Senate. He was honored with the consulship at Rome: but the greatest part of his life was spent in a philosophic retirement at Athens, and his adjacent villas; perpetually surrounded by sophists, who acknowledged, without reluctance, the superiority of a rich and generous rival. The monuments of his genius have perished; some considerable ruins still preserve the fame of his taste and munificence: modern travellers have measured the remains of the stadium which he constructed at Athens. It was six hundred feet in length, built entirely of white marble, capable of admitting the whole body of the people, and finished in four years, whilst Herod was president of the Athenian games. To the memory of his wife Regilla he dedicated a theatre, scarcely to be paralleled in the empire: no wood except cedar, very curiously carved, was employed in any part of the building. The Odeum, * designed by Pericles for musical performances, and the rehearsal of new tragedies, had been a trophy of the victory of the arts over barbaric greatness; as the timbers employed in the construction consisted chiefly of the masts of the Persian vessels. Notwithstanding the repairs bestowed on that ancient edifice by a king of Cappadocia, it was again fallen to decay. Herod restored its ancient beauty and magnificence. Nor was the liberality of that illustrious citizen confined to the walls of Athens. The most splendid ornaments bestowed on the temple of Neptune in the Isthmus, a theatre at Corinth, a stadium at Delphi, a bath at Thermopylæ, and an aqueduct at Canusium in Italy, were insufficient to exhaust his treasures. The people of Epirus, Thessaly, Euboea, Boeotia, and Peloponnesus, experienced his favors; and many inscriptions of the cities of Greece and Asia gratefully style Herodes Atticus their patron and benefactor.

    In the commonwealths of Athens and Rome, the modest simplicity of private houses announced the equal condition of freedom; whilst the sovereignty of the people was represented in the majestic edifices designed to the public use; nor was this republican spirit totally extinguished by the introduction of wealth and monarchy. It was in works of national honor and benefit, that the most virtuous of the emperors affected to display their magnificence. The golden palace of Nero excited a just indignation, but the vast extent of ground which had been usurped by his selfish luxury was more nobly filled under the succeeding reigns by the Coliseum, the baths of Titus, the Claudian portico, and the temples dedicated to the goddess of Peace, and to the genius of Rome. These monuments of architecture, the property of the Roman people, were adorned with the most beautiful productions of Grecian painting and sculpture; and in the temple of Peace, a very curious library was open to the curiosity of the learned. * At a small distance from thence was situated the Forum of Trajan. It was surrounded by a lofty portico, in the form of a quadrangle, into which four triumphal arches opened a noble and spacious entrance: in the centre arose a column of marble, whose height, of one hundred and ten feet, denoted the elevation of the hill that had been cut away. This column, which still subsists in its ancient beauty, exhibited an exact representation of the Dacian victories of its founder. The veteran soldier contemplated the story of his own campaigns, and by an easy illusion of national vanity, the peaceful citizen associated himself to the honors of the triumph. All the other quarters of the capital, and all the provinces of the empire, were embellished by the same liberal spirit of public magnificence, and were filled with amphi theatres, theatres, temples, porticoes, triumphal arches, baths and aqueducts, all variously conducive to the health, the devotion, and the pleasures of the meanest citizen. The last mentioned of those edifices deserve our peculiar attention. The boldness of the enterprise, the solidity of the execution, and the uses to which they were subservient, rank the aqueducts among the noblest monuments of Roman genius and power. The aqueducts of the capital claim a just preeminence; but the curious traveller, who, without the light of history, should examine those of Spoleto, of Metz, or of Segovia, would very naturally conclude that those provincial towns had formerly been the residence of some potent monarch. The solitudes of Asia and Africa were once covered with flourishing cities, whose populousness, and even whose existence, was derived from such artificial supplies of a perennial stream of fresh water.

    We have computed the inhabitants, and contemplated the public works, of the Roman empire. The observation of the number and greatness of its cities will serve to confirm the former, and to multiply the latter. It may not be unpleasing to collect a few scattered instances relative to that subject without forgetting, however, that from the vanity of nations and the poverty of language, the vague appellation of city has been indifferently bestowed on Rome and upon Laurentum.

    1. Ancient Italy is said to have contained eleven hundred and ninety-seven cities; and for whatsoever æra of antiquity the expression might be intended, there is not any reason to believe the country less populous in the age of the Antonines, than in that of Romulus. The petty states of Latium were contained within the metropolis of the empire, by whose superior influence they had been attracted. * Those parts of Italy which have so long languished under the lazy tyranny of

    priests and viceroys, had been afflicted only by the more tolerable calamities of war; and the first symptoms of decay which they experienced, were amply compensated by the rapid improvements of the Cisalpine Gaul. The splendor of Verona may be traced in its remains: yet Verona was less celebrated than Aquileia or Padua, Milan or Ravenna. II. The spirit of improvement had passed the Alps, and been felt even in the woods of Britain, which were gradually cleared away to open a free space for convenient and elegant habitations. York was the seat of government; London was already enriched by commerce; and Bath was celebrated for the salutary effects of its medicinal waters. Gaul could boast of her twelve hundred cities; and though, in the northern parts, many of them, without excepting Paris itself, were little more than the rude and imperfect townships of a rising people, the southern provinces imitated the wealth and elegance of Italy. Many were the cities of Gaul, Marseilles, Arles, Nismes, Narbonne, Thoulouse, Bourdeaux, Autun, Vienna, Lyons, Langres, and Treves, whose ancient condition might sustain an equal, and perhaps advantageous comparison with their present state. With regard to Spain, that country flourished as a province, and has declined as a kingdom. Exhausted by the abuse of her strength, by America, and by superstition, her pride might possibly be confounded, if we required such a list of three hundred and sixty cities, as Pliny has exhibited under the reign of Vespasian. III. Three hundred African cities had once acknowledged the authority of Carthage, nor is it likely that their numbers diminished under the administration of the emperors: Carthage itself rose with new splendor from its ashes; and that capital, as well as Capua and Corinth, soon recovered all the advantages which can be separated from independent sovereignty. IV. The provinces of the East present the contrast of Roman magnificence with Turkish barbarism. The ruins of antiquity scattered over uncultivated fields, and ascribed, by ignorance to the power of magic, scarcely afford a shelter to the oppressed peasant or wandering Arab. Under the reign of the Cæsars, the proper Asia alone contained five hundred populous cities, enriched with all the gifts of nature, and adorned with all the refinements of art. Eleven cities of Asia had once disputed the honor of dedicating a temple of Tiberius, and their respective merits were examined by the senate. Four of them were immediately rejected as unequal to the burden; and among these was Laodicea, whose splendor is still displayed in its ruins. Laodicea collected a very considerable revenue from its flocks of sheep, celebrated for the fineness of their wool, and had received, a little before the contest, a legacy of above four hundred thousand pounds by the testament of a generous citizen. If such was the poverty of Laodicea, what must have been the wealth of those cities, whose claim appeared preferable, and particularly of Pergamus, of Smyrna, and of Ephesus, who so long disputed with each other the titular primacy of Asia? The capitals of Syria and Egypt held a still superior rank in the empire; Antioch and Alexandria looked down with disdain on a crowd of dependent cities, and yielded, with reluctance, to the majesty of Rome itself.

    Chapter II: The Internal Prosperity In The Age Of The Antonines.

    Part IV.

    All these cities were connected with each other, and with the capital, by the public highways, which, issuing from the Forum of Rome, traversed Italy, pervaded the provinces, and were terminated only by the frontiers of the empire. If we carefully trace the distance from the wall of Antoninus to Rome, and from thence to Jerusalem, it will be found that the great chain of communication, from the north-west to the south-east point of the empire, was drawn out to the length if four thousand and eighty Roman miles. The public roads were accurately divided by mile-stones, and ran in a direct line from one city to another, with very little respect for the obstacles either of nature or private property. Mountains were perforated, and bold arches thrown over the broadest and most rapid streams. The middle part of the road was raised into a terrace which commanded the adjacent country, consisted of several strata of sand, gravel, and cement, and was paved with large stones, or, in some places near the capital, with granite. Such was the solid construction of the Roman highways, whose firmness has not entirely yielded to the effort of fifteen centuries. They united the subjects of the most distant provinces by an easy and familiar intercourse; out their primary object had been to facilitate the marches of the legions; nor was any country considered as completely subdued, till it had been rendered, in all its parts, pervious to the arms and authority of the conqueror. The advantage of receiving the earliest intelligence, and of conveying their orders with celerity, induced the emperors to establish, throughout their extensive dominions, the regular institution of posts. Houses were every where erected at the distance only of five or six miles; each of them was constantly provided with forty horses, and by the help of these relays, it was easy to travel a hundred miles in a day along the Roman roads. * The use of posts was allowed to those who claimed it by an Imperial mandate; but though originally intended for the public service, it was sometimes indulged to the business or conveniency of private citizens. Nor was the communication of the Roman empire less free and open by sea than it was by land. The provinces surrounded and enclosed the Mediterranean: and Italy, in the shape of an immense promontory, advanced into the midst of that great lake. The coasts of Italy are, in general, destitute of safe harbors; but human industry had corrected the deficiencies of nature; and the artificial port of Ostia, in particular, situate at the mouth of the Tyber, and formed by the emperor Claudius, was a useful monument of Roman greatness. From this port, which was only sixteen miles from the capital, a favorable breeze frequently carried vessels in seven days to the columns of Hercules, and in nine or ten, to Alexandria in Egypt.

    [See Remains Of Claudian Aquaduct]

    Whatever evils either reason or declamation have imputed to extensive empire, the power of Rome was attended with some beneficial consequences to mankind; and the same freedom of intercourse which extended the vices, diffused likewise the improvements, of social life. In the more remote ages of antiquity, the world was unequally divided. The East was in the immemorial possession of arts and luxury; whilst the West was inhabited by rude and warlike barbarians, who either disdained agriculture, or to whom it was totally unknown. Under the protection of an established government, the productions of happier climates, and the industry of more civilized nations, were gradually introduced into the western countries of Europe; and the natives were encouraged, by an open and profitable commerce, to multiply the former, as well as to improve the latter. It would be almost impossible to enumerate all the articles, either of the animal or the vegetable reign, which were successively imported into Europe from Asia and Egypt: but it will not be unworthy of the dignity, and much less of the utility, of an historical work, slightly to touch on a few of the principal heads. 1. Almost all the flowers, the herbs, and the fruits, that grow in our European gardens, are of foreign extraction, which, in many cases, is betrayed even by their names: the apple was a native of Italy, and when the Romans had tasted the richer flavor of the apricot, the peach, the pomegranate, the citron, and the orange, they contented themselves with applying to all these new fruits the common denomination of apple, discriminating them from each other by the additional epithet of their country. 2. In the time of Homer, the vine grew wild in the island of Sicily, and most probably in the adjacent continent; but it was not improved by the skill, nor did it afford a liquor grateful to the taste, of the savage inhabitants. A thousand years afterwards, Italy could boast, that of the fourscore most generous and celebrated wines, more than two thirds were produced from her soil. The blessing was soon communicated to the Narbonnese province of Gaul; but so intense was the cold to the north of the Cevennes, that, in the time of Strabo, it was thought impossible to ripen the grapes in those parts of Gaul. This difficulty, however, was gradually vanquished; and there is some reason to believe, that the vineyards of Burgundy are as old as the age of the Antonines. 3. The olive, in the western world, followed the progress of peace, of which it was considered as the symbol. Two centuries after the foundation of Rome, both Italy and Africa were strangers to that useful plant: it was naturalized in those countries; and at length carried into the heart of Spain and Gaul. The timid errors of the ancients, that it required a certain degree of heat, and could only flourish in the neighborhood of the sea, were insensibly exploded by industry and experience. 4. The cultivation of flax was transported from Egypt to Gaul, and enriched the whole country, however it might impoverish the particular lands on which it was sown. 5. The use of artificial grasses became familiar to the farmers both of Italy and the provinces, particularly the Lucerne, which derived its name and origin from Media. The assured supply of wholesome and plentiful food for the cattle during winter, multiplied the number of the docks and herds, which in their turn contributed to the fertility of the soil. To all these improvements may be added an assiduous attention to mines and fisheries, which, by employing a multitude of laborious hands, serve to increase the pleasures of the rich and the subsistence of the poor. The elegant treatise of Columella describes the advanced state of the Spanish husbandry under the reign of Tiberius; and it may be observed, that those famines, which so frequently afflicted the infant republic, were seldom or never experienced by the extensive empire of Rome. The accidental scarcity, in any single province, was immediately relieved by the plenty of its more fortunate neighbors.

    Agriculture is the foundation of manufactures; since the productions of nature are the materials of art. Under the Roman empire, the labor of an industrious and ingenious people was variously, but incessantly, employed in the service of the rich. In their dress, their table, their houses, and their furniture, the favorites of fortune united every refinement of conveniency, of elegance, and of splendor, whatever could soothe their pride or gratify their sensuality. Such refinements, under the odious name of luxury, have been severely arraigned by the moralists of every age; and it might perhaps be more conducive to the virtue, as well as happiness, of mankind, if all possessed the necessaries, and none the superfluities, of life. But in the present imperfect condition of society, luxury, though it may proceed from vice or folly, seems to be the only means that can correct the unequal distribution of property. The diligent mechanic, and the skilful artist, who have obtained no share in the division of the earth, receive a voluntary tax from the possessors of land; and the latter are prompted, by a sense of interest, to improve those estates, with whose produce they may purchase additional pleasures. This operation, the particular effects of which are felt in every society, acted with much more diffusive energy in the Roman world. The provinces would soon have been exhausted of their wealth, if the manufactures and commerce of luxury had not insensibly restored to the industrious subjects the sums which were exacted from them by the arms and authority of Rome. As long as the circulation was confined within the bounds of the empire, it impressed the political machine with a new degree of activity, and its consequences, sometimes beneficial, could never become pernicious.

    But it is no easy task to confine luxury within the limits of an empire. The most remote countries of the ancient world were ransacked to supply the pomp and delicacy of Rome. The forests of Scythia afforded some valuable furs. Amber was brought over land from the shores of the Baltic to the Danube; and the barbarians were astonished at the price which they received in exchange for so useless a commodity. There was a considerable demand for Babylonian carpets, and other manufactures of the East; but the most important and unpopular branch of foreign trade was carried on with Arabia and India. Every year, about the time of the summer solstice, a fleet of a hundred and twenty vessels sailed from Myos-hormos, a port of Egypt, on the Red Sea. By the periodical assistance of the monsoons, they traversed the ocean in about forty days. The coast of Malabar, or the island of Ceylon, was the usual term of their navigation, and it was in those markets that the merchants from the more remote countries of Asia expected their arrival. The return of the fleet of Egypt was fixed to the months of December or January; and as soon as their rich cargo had been transported on the backs of camels, from the Red Sea to the Nile, and had descended that river as far as Alexandria, it was poured, without delay, into the capital of the empire. The objects of oriental traffic were splendid and trifling; silk, a pound of which was esteemed not inferior in value to a pound of gold; precious stones, among which the pearl claimed the first rank after the diamond; and a variety of aromatics, that were consumed in religious worship and the pomp of funerals. The labor and risk of the voyage was rewarded with almost incredible profit; but the profit was made upon Roman subjects, and a few individuals were enriched at the expense of the public. As the natives of Arabia and India were contented with the productions and manufactures of their own country, silver, on the side of the Romans, was the principal, if not the only * instrument of commerce. It was a complaint worthy of the gravity of the senate, that, in the purchase of female ornaments, the wealth of the state was irrecoverably given away to foreign and hostile nations. The annual loss is computed, by a writer of an inquisitive but censorious temper, at upwards of eight hundred thousand pounds sterling. Such was the style of discontent, brooding over the dark prospect of approaching poverty. And yet, if we compare the proportion between gold and silver, as it stood in the time of Pliny, and as it was fixed in the reign of Constantine, we shall discover within that period a very considerable increase. There is not the least reason to suppose that gold was become more scarce; it is therefore evident that silver was grown more common; that whatever might be the amount of the Indian and Arabian exports, they were far from exhausting the wealth of the Roman world; and that the produce of the mines abundantly supplied the demands of commerce.

    Notwithstanding the propensity of mankind to exalt the past, and to depreciate the present, the tranquil and prosperous state of the empire was warmly felt, and honestly confessed, by the provincials as well as Romans. “They acknowledged that the true principles of social life, laws, agriculture, and science, which had been first invented by the wisdom of Athens, were now firmly established by the power of Rome, under whose auspicious influence the fiercest barbarians were united by an equal government and common language. They affirm, that with the improvement of arts, the human species were visibly multiplied. They celebrate the increasing splendor of the cities, the beautiful face of the country, cultivated and adorned like an immense garden; and the long festival of peace which was enjoyed by so many nations, forgetful of the ancient animosities, and delivered from the apprehension of future danger.” Whatever suspicions may be suggested by the air of rhetoric and declamation, which seems to prevail in these passages, the substance of them is perfectly agreeable to historic truth.

    It was scarcely possible that the eyes of contemporaries should discover in the public felicity the latent causes of decay and corruption. This long peace, and the uniform government of the Romans, introduced a slow and secret poison into the vitals of the empire. The minds of men were gradually reduced to the same level, the fire of genius was extinguished, and even the military spirit evaporated. The natives of Europe were brave and robust. Spain, Gaul, Britain, and Illyricum supplied the legions with excellent soldiers, and constituted the real strength of the monarchy. Their personal valor remained, but they no longer possessed that public courage which is nourished by the love of independence, the sense of national honor, the presence of danger, and the habit of command. They received laws and governors from the will of their sovereign, and trusted for their defence to a mercenary army. The posterity of their boldest leaders was contented with the rank of citizens and subjects. The most aspiring spirits resorted to the court or standard of the emperors; and the deserted provinces, deprived of political strength or union, insensibly sunk into the languid indifference of private life.

    The love of letters, almost inseparable from peace and refinement, was fashionable among the subjects of Hadrian and the Antonines, who were themselves men of learning and curiosity. It was diffused over the whole extent of their empire; the most northern tribes of Britons had acquired a taste for rhetoric; Homer as well as Virgil were transcribed and studied on the banks of the Rhine and Danube; and the most liberal rewards sought out the faintest glimmerings of literary merit. The sciences of physic and astronomy were successfully cultivated by the Greeks; the observations of Ptolemy and the writings of Galen are studied by those who have improved their discoveries and corrected their errors; but if we except the inimitable Lucian, this age of indolence passed away without having produced a single writer of original genius, or who excelled in the arts of elegant composition. ^! The authority of Plato and Aristotle, of Zeno and Epicurus, still reigned in the schools; and their systems, transmitted with blind deference from one generation of disciples to another, precluded every generous attempt to exercise the powers, or enlarge the limits, of the human mind. The beauties of the poets and orators, instead of kindling a fire like their own, inspired only cold and servile mitations: or if any ventured to deviate from those models, they deviated at the same time from good sense and propriety. On the revival of letters, the youthful vigor of the imagination, after a long repose, national emulation, a new religion, new languages, and a new world, called forth the genius of Europe. But the provincials of Rome, trained by a uniform artificial foreign education, were engaged in a very unequal competition with those bold ancients, who, by expressing their genuine feelings in their native tongue, had already occupied every place of honor. The name of Poet was almost forgotten; that of Orator was usurped by the sophists. A cloud of critics, of compilers, of commentators, darkened the face of learning, and the decline of genius was soon followed by the corruption of taste.

    The sublime Longinus, who, in somewhat a later period, and in the court of a Syrian queen, preserved the spirit of ancient Athens, observes and laments this degeneracy of his contemporaries, which debased their sentiments, enervated their courage, and depressed their talents. “In the same manner,” says he, “as some children always remain pygmies, whose infant limbs have been too closely confined, thus our tender minds, fettered by the prejudices and habits of a just servitude, are unable to expand themselves, or to attain that well-proportioned greatness which we admire in the ancients; who, living under a popular government, wrote with the same freedom as they acted.” This diminutive stature of mankind, if we pursue the metaphor, was daily sinking below the old standard, and the Roman world was indeed peopled by a race of pygmies; when the fierce giants of the north broke in, and mended the puny breed. They restored a manly spirit of freedom; and after the revolution of ten centuries, freedom became the happy parent of taste and science.

    Chapter III: The Constitution In The Age Of The Antonines.

    Part I. Of The Constitution Of The Roman Empire, In The Age Of The Antonines.

    The obvious definition of a monarchy seems to be that of a state, in which a single person, by whatsoever name he may be distinguished, is intrusted with the execution of the laws, the management of the revenue, and the command of the army. But, unless public liberty is protected by intrepid and vigilant guardians, the authority of so formidable a magistrate will soon degenerate into despotism. The influence of the clergy, in an age of superstition, might be usefully employed to assert the rights of mankind; but so intimate is the connection between the throne and the altar, that the banner of the church has very seldom been seen on the side of the people. * A martial nobility and stubborn commons, possessed of arms, tenacious of property, and collected into constitutional assemblies, form the only balance capable of preserving a free constitution against enterprises of an aspiring prince.

    Every barrier of the Roman constitution had been levelled by the vast ambition of the dictator; every fence had been extirpated by the cruel hand of the triumvir. After the victory of Actium, the fate of the Roman world depended on the will of Octavianus, surnamed Cæsar, by his uncle’s adoption, and afterwards Augustus, by the flattery of the senate. The conqueror was at the head of forty-four veteran legions, conscious of their own strength, and of the weakness of the constitution, habituated, during twenty years’ civil war, to every act of blood and violence, and passionately devoted to the house of Cæsar, from whence alone they had received, and expected the most lavish rewards. The provinces, long oppressed by the ministers of the republic, sighed for the government of a single person, who would be the master, not the accomplice, of those petty tyrants. The people of Rome, viewing, with a secret pleasure, the humiliation of the aristocracy, demanded only bread and public shows; and were supplied with both by the liberal hand of Augustus. The rich and polite Italians, who had almost universally embraced the philosophy of Epicurus, enjoyed the present blessings of ease and tranquillity, and suffered not the pleasing dream to be interrupted by the memory of their old tumultuous freedom. With its power, the senate had lost its dignity; many of the most noble families were extinct. The republicans of spirit and ability had perished in the field of battle, or in the proscription . The door of the assembly had been designedly left open, for a mixed multitude of more than a thousand persons, who reflected disgrace upon their rank, instead of deriving honor from it.

    The reformation of the senate was one of the first steps in which Augustus laid aside the tyrant, and professed himself the father of his country. He was elected censor; and, in concert with his faithful Agrippa, he examined the list of the senators, expelled a few members, * whose vices or whose obstinacy required a public example, persuaded near two hundred to prevent the shame of an expulsion by a voluntary retreat, raised the qualification of a senator to about ten thousand pounds, created a sufficient number of patrician families, and accepted for himself the honorable title of Prince of the Senate, which had always been bestowed, by the censors, on the citizen the most eminent for his honors and services. But whilst he thus restored the dignity, he destroyed the independence, of the senate. The principles of a free constitution are irrecoverably lost, when the legislative power is nominated by the executive.

    Before an assembly thus modelled and prepared, Augustus pronounced a studied oration, which displayed his patriotism, and disguised his ambition. “He lamented, yet excused, his past conduct. Filial piety had required at his hands the revenge of his father’s murder; the humanity of his own nature had sometimes given way to the stern laws of necessity, and to a forced connection with two unworthy colleagues: as long as Antony lived, the republic forbade him to abandon her to a degenerate Roman, and a barbarian queen. He was now at liberty to satisfy his duty and his inclination. He solemnly restored the senate and people to all their ancient rights; and wished only to mingle with the crowd of his fellow-citizens, and to share the blessings which he had obtained for his country.”

    It would require the pen of Tacitus (if Tacitus had assisted at this assembly) to describe the various emotions of the senate, those that were suppressed, and those that were affected. It was dangerous to trust the sincerity of Augustus; to seem to distrust it was still more dangerous. The respective advantages of monarchy and a republic have often divided speculative inquirers; the present greatness of the Roman state, the corruption of manners, and the license of the soldiers, supplied new arguments to the advocates of monarchy; and these general views of government were again warped by the hopes and fears of each individual. Amidst this confusion of sentiments, the answer of the senate was unanimous and decisive. They refused to accept the resignation of Augustus; they conjured him not to desert the republic, which he had saved. After a decent resistance, the crafty tyrant submitted to the orders of the senate; and consented to receive the government of the provinces, and the general command of the Roman armies, under the well-known names of Proconsul and Imperator. But he would receive them only for ten years. Even before the expiration of that period, he hope that the wounds of civil discord would be completely healed, and that the republic, restored to its pristine health and vigor, would no longer require the dangerous interposition of so extraordinary a magistrate. The memory of this comedy, repeated several times during the life of Augustus, was preserved to the last ages of the empire, by the peculiar pomp with which the perpetual monarchs of Rome always solemnized the tenth years of their reign.

    Without any violation of the principles of the constitution, the general of the Roman armies might receive and exercise an authority almost despotic over the soldiers, the enemies, and the subjects of the republic. With regard to the soldiers, the jealousy of freedom had, even from the earliest ages of Rome, given way to the hopes of conquest, and a just sense of military discipline. The dictator, or consul, had a right to command the service of the Roman youth; and to punish an obstinate or cowardly disobedience by the most severe and ignominious penalties, by striking the offender out of the list of citizens, by confiscating his property, and by selling his person into slavery. The most sacred rights of freedom, confirmed by the Porcian and Sempronian laws, were suspended by the military engagement. In his camp the general exercise an absolute power of life and death; his jurisdiction was not confined by any forms of trial, or rules of proceeding, and the execution of the sentence was immediate and without appeal. The choice of the enemies of Rome was regularly decided by the legislative authority. The most important resolutions of peace and war were seriously debated in the senate, and solemnly ratified by the people. But when the arms of the legions were carried to a great distance from Italy, the general assumed the liberty of directing them against whatever people, and in whatever manner, they judged most advantageous for the public service. It was from the success, not from the justice, of their enterprises, that they expected the honors of a triumph. In the use of victory, especially after they were no longer controlled by the commissioners of the senate, they exercised the most unbounded despotism. When Pompey commanded in the East, he rewarded his soldiers and allies, dethroned princes, divided kingdoms, founded colonies, and distributed the treasures of Mithridates. On his return to Rome, he obtained, by a single act of the senate and people, the universal ratification of all his proceedings. Such was the power over the soldiers, and over the enemies of Rome, which was either granted to, or assumed by, the generals of the republic. They were, at the same time, the governors, or rather monarchs, of the conquered provinces, united the civil with the military character, administered justice as well as the finances, and exercised both the executive and legislative power of the state.

    From what has already been observed in the first chapter of this work, some notion may be formed of the armies and provinces thus intrusted to the ruling hand of Augustus. But as it was impossible that he could personally command the regions of so many distant frontiers, he was indulged by the senate, as Pompey had already been, in the permission of devolving the execution of his great office on a sufficient number of lieutenants. In rank and authority these officers seemed not inferior to the ancient proconsuls; but their station was dependent and precarious. They received and held their commissions at the will of a superior, to whose auspicious influence the merit of their action was legally attributed. They were the representatives of the emperor. The emperor alone was the general of the republic, and his jurisdiction, civil as well as military, extended over all the conquests of Rome. It was some satisfaction, however, to the senate, that he always delegated his power to the members of their body. The imperial lieutenants were of consular or prætorian dignity; the legions were commanded by senators, and the præfecture of Egypt was the only important trust committed to a Roman knight.

    Within six days after Augustus had been compelled to accept so very liberal a grant, he resolved to gratify the pride of the senate by an easy sacrifice. He represented to them, that they had enlarged his powers, even beyond that degree which might be required by the melancholy condition of the times. They had not permitted him to refuse the laborious command of the armies and the frontiers; but he must insist on being allowed to restore the more peaceful and secure provinces to the mild administration of the civil magistrate. In the division of the provinces, Augustus provided for his own power and for the dignity of the republic. The proconsuls of the senate, particularly those of Asia, Greece, and Africa, enjoyed a more honorable character than the lieutenants of the emperor, who commanded in Gaul or Syria. The former were attended by lictors, the latter by soldiers. * A law was passed, that wherever the emperor was present, his extraordinary commission should supersede the ordinary jurisdiction of the governor; a custom was introduced, that the new conquests belonged to the imperial portion; and it was soon discovered that the authority of the Prince, the favorite epithet of Augustus, was the same in every part of the empire.

    In return for this imaginary concession, Augustus obtained an important privilege, which rendered him master of Rome and Italy. By a dangerous exception to the ancient maxims, he was authorized to preserve his military command, supported by a numerous body of guards, even in time of peace, and in the heart of the capital. His command, indeed, was confined to those citizens who were engaged in the service by the military oath; but such was the propensity of the Romans to servitude, that the oath was voluntarily taken by the magistrates, the senators, and the equestrian order, till the homage of flattery was insensibly converted into an annual and solemn protestation of fidelity.

    Although Augustus considered a military force as the firmest foundation, he wisely rejected it, as a very odious instrument of government. It was more agreeable to his temper, as well as to his policy, to reign under the venerable names of ancient magistracy, and artfully to collect, in his own person, all the scattered rays of civil jurisdiction. With this view, he permitted the senate to confer upon him, for his life, the powers of the consular and tribunitian offices, which were, in the same manner, continued to all his successors. The consuls had succeeded to the kings of Rome, and represented the dignity of the state. They superintended the ceremonies of religion, levied and commanded the legions, gave audience to foreign ambassadors, and presided in the assemblies both of the senate and people. The general control of the finances was intrusted to their care; and though they seldom had leisure to administer justice in person, they were considered as the supreme guardians of law, equity, and the public peace. Such was their ordinary jurisdiction; but whenever the senate empowered the first magistrate to consult the safety of the commonwealth, he was raised by that decree above the laws, and exercised, in the defence of liberty, a temporary despotism. The character of the tribunes was, in every respect, different from that of the consuls. The appearance of the former was modest and humble; but their persons were sacred and inviolable. Their force was suited rather for opposition than for action. They were instituted to defend the oppressed, to pardon offences, to arraign the enemies of the people, and, when they judged it necessary, to stop, by a single word, the whole machine of government. As long as the republic subsisted, the dangerous influence, which either the consul or the tribune might derive from their respective jurisdiction, was diminished by several important restrictions. Their authority expired with the year in which they were elected; the former office was divided between two, the latter among ten persons; and, as both in their private and public interest they were averse to each other, their mutual conflicts contributed, for the most part, to strengthen rather than to destroy the balance of the constitution. * But when the consular and tribunitian powers were united, when they were vested for life in a single person, when the general of the army was, at the same time, the minister of the senate and the representative of the Roman people, it was impossible to resist the exercise, nor was it easy to define the limits, of his imperial prerogative.

    To these accumulated honors, the policy of Augustus soon added the splendid as well as important dignities of supreme pontiff, and of censor. By the former he acquired the management of the religion, and by the latter a legal inspection over the manners and fortunes, of the Roman people. If so many distinct and independent powers did not exactly unite with each other, the complaisance of the senate was prepared to supply every deficiency by the most ample and extraordinary concessions. The emperors, as the first ministers of the republic, were exempted from the obligation and penalty of many inconvenient laws: they were authorized to convoke the senate, to make several motions in the same day, to recommend candidates for the honors of the state, to enlarge the bounds of the city, to employ the revenue at their discretion, to declare peace and war, to ratify treaties; and by a most comprehensive clause, they were empowered to execute whatsoever they should judge advantageous to the empire, and agreeable to the majesty of things private or public, human of divine.

    When all the various powers of executive government were committed to the Imperial magistrate, the ordinary magistrates of the commonwealth languished in obscurity, without vigor, and almost without business. The names and forms of the ancient administration were preserved by Augustus with the most anxious care. The usual number of consuls, prætors, and tribunes, were annually invested with their respective ensigns of office, and continued to discharge some of their least important functions. Those honors still attracted the vain ambition of the Romans; and the emperors themselves, though invested for life with the powers of the consul ship, frequently aspired to the title of that annual dignity, which they condescended to share with the most illustrious of their fellow-citizens. In the election of these magistrates, the people, during the reign of Augustus, were permitted to expose all the inconveniences of a wild democracy. That artful prince, instead of discovering the least symptom of impatience, humbly solicited their suffrages for himself or his friends, and scrupulously practised all the duties of an ordinary candidate.

    But we may venture to ascribe to his councils the first measure of the succeeding reign, by which the elections were transferred to the senate. The assemblies of the people were forever abolished, and the emperors were delivered from a dangerous multitude, who, without restoring liberty, might have disturbed, and perhaps endangered, the established government.

    By declaring themselves the protectors of the people, Marius and Cæsar had subverted the constitution of their country. But as soon as the senate had been humbled and disarmed, such an assembly, consisting of five or six hundred persons, was found a much more tractable and useful instrument of dominion. It was on the dignity of the senate that Augustus and his successors founded their new empire; and they affected, on every occasion, to adopt the language and principles of Patricians. In the administration of their own powers, they frequently consulted the great national council, and seemed to refer to its decision the most important concerns of peace and war. Rome, Italy, and the internal provinces, were subject to the immediate jurisdiction of the senate. With regard to civil objects, it was the supreme court of appeal; with regard to criminal matters, a tribunal, constituted for the trial of all offences that were committed by men in any public station, or that affected the peace and majesty of the Roman people. The exercise of the judicial power became the most frequent and serious occupation of the senate; and the important causes that were pleaded before them afforded a last refuge to the spirit of ancient eloquence. As a council of state, and as a court of justice, the senate possessed very considerable prerogatives; but in its legislative capacity, in which it was supposed virtually to represent the people, the rights of sovereignty were acknowledged to reside in that assembly. Every power was derived from their authority, every law was ratified by their sanction. Their regular meetings were held on three stated days in every month, the Calends, the Nones, and the Ides. The debates were conducted with decent freedom; and the emperors themselves, who gloried in the name of senators, sat, voted, and divided with their equals.

    To resume, in a few words, the system of the Imperial government; as it was instituted by Augustus, and maintained by those princes who understood their own interest and that of the people, it may be defined an absolute monarchy disguised by the forms of a commonwealth. The masters of the Roman world surrounded their throne with darkness, concealed their irresistible strength, and humbly professed themselves the accountable ministers of the senate, whose supreme decrees they dictated and obeyed.

    The face of the court corresponded with the forms of the administration. The emperors, if we except those tyrants whose capricious folly violated every law of nature and decency, disdained that pomp and ceremony which might offend their countrymen, but could add nothing to their real power. In all the offices of life, they affected to confound themselves with their subjects, and maintained with them an equal intercourse of visits and entertainments. Their habit, their palace, their table, were suited only to the rank of an opulent senator. Their family, however numerous or splendid, was composed entirely of their domestic slaves and freedmen. Augustus or Trajan would have blushed at employing the meanest of the Romans in those menial offices, which, in the household and bedchamber of a limited monarch, are so eagerly solicited by the proudest nobles of Britain.

    The deification of the emperors is the only instance in which they departed from their accustomed prudence and modesty. The Asiatic Greeks were the first inventors, the successors of Alexander the first objects, of this servile and impious mode of adulation. * It was easily transferred from the kings to the governors of Asia; and the Roman magistrates very frequently were adored as provincial deities, with the pomp of altars and temples, of festivals and sacrifices. It was natural that the emperors should not refuse what the proconsuls had accepted; and the divine honors which both the one and the other received from the provinces, attested rather the despotism than the servitude of Rome. But the conquerors soon imitated the vanquished nations in the arts of flattery; and the imperious spirit of the first Cæsar too easily consented to assume, during his lifetime, a place among the tutelar deities of Rome. The milder temper of his successor declined so dangerous an ambition, which was never afterwards revived, except by the madness of Caligula and Domitian. Augustus permitted indeed some of the provincial cities to erect temples to his honor, on condition that they should associate the worship of Rome with that of the sovereign; he tolerated private superstition, of which he might be the object; but he contented himself with being revered by the senate and the people in his human character, and wisely left to his successor the care of his public deification. A regular custom was introduced, that on the decease of every emperor who had neither lived nor died like a tyrant, the senate by a solemn decree should place him in the number of the gods: and the ceremonies of his apotheosis were blended with those of his funeral. This legal, and, as it should seem, injudicious profanation, so abhorrent to our stricter principles, was received with a very faint murmur, by the easy nature of Polytheism; but it was received as an institution, not of religion, but of policy. We should disgrace the virtues of the Antonines by comparing them with the vices of Hercules or Jupiter. Even the characters of Cæsar or Augustus were far superior to those of the popular deities. But it was the misfortune of the former to live in an enlightened age, and their actions were too faithfully recorded to admit of such a mixture of fable and mystery, as the devotion of the vulgar requires. As soon as their divinity was established by law, it sunk into oblivion, without contributing either to their own fame, or to the dignity of succeeding princes.

    In the consideration of the Imperial government, we have frequently mentioned the artful founder, under his well-known title of Augustus, which was not, however, conferred upon him till the edifice was almost completed. The obscure name of Octavianus he derived from a mean family, in the little town of Aricia. It was stained with the blood of the proscription; and he was desirous, had it been possible, to erase all memory of his former life. The illustrious surname of Cæsar he had assumed, as the adopted son of the dictator: but he had too much good sense, either to hope to be confounded, or to wish to be compared with that extraordinary man. It was proposed in the senate to dignify their minister with a new appellation; and after a serious discussion, that of Augustus was chosen, among several others, as being the most expressive of the character of peace and sanctity, which he uniformly affected. Augustus was therefore a personal, Cæsar a family distinction. The former should naturally have expired with the prince on whom it was bestowed; and however the latter was diffused by adoption and female alliance, Nero was the last prince who could allege any hereditary claim to the honors of the Julian line. But, at the time of his death, the practice of a century had inseparably connected those appellations with the Imperial dignity, and they have been preserved by a long succession of emperors, Romans, Greeks, Franks, and Germans, from the fall of the republic to the present time. A distinction was, however, soon introduced. The sacred title of Augustus was always reserved for the monarch, whilst the name of Cæsar was more freely communicated to his relations; and, from the reign of Hadrian, at least, was appropriated to the second person in the state, who was considered as the presumptive heir of the empire. *

    Chapter III: The Constitution In The Age Of The Antonines.

    Part II.

    The tender respect of Augustus for a free constitution which he had destroyed, can only be explained by an attentive consideration of the character of that subtle tyrant. A cool head, an unfeeling heart, and a cowardly disposition,

    prompted him at the age of nineteen to assume the mask of hypocrisy, which he never afterwards laid aside. With the same hand, and probably with the same temper, he signed the proscription of Cicero, and the pardon of Cinna. His virtues, and even his vices, were artificial; and according to the various dictates of his interest, he was at first the enemy, and at last the father, of the Roman world. When he framed the artful system of the Imperial authority, his moderation was inspired by his fears. He wished to deceive the people by an image of civil liberty, and the armies by an image of civil government.

    1. The death of Cæsar was ever before his eyes. He had lavished wealth and honors on his adherents; but the most favored friends of his uncle were in the number of the conspirators. The fidelity of the legions might defend his authority against open rebellion; but their vigilance could not secure his person from the dagger of a determined republican; and the Romans, who revered the memory of Brutus, would applaud the imitation of his virtue. Cæsar had provoked his fate, as much as by the ostentation of his power, as by his power itself. The consul or the tribune might have reigned in peace. The title of king had armed the Romans against his life. Augustus was sensible that mankind is governed by names; nor was he deceived in his expectation, that the senate and people would submit to slavery, provided they were respectfully assured that they still enjoyed their ancient freedom. A feeble senate and enervated people cheerfully acquiesced in the pleasing illusion, as long as it was supported by the virtue, or even by the prudence, of the successors of Augustus. It was a motive of self-preservation, not a principle of liberty, that animated the conspirators against Caligula, Nero, and Domitian. They attacked the person of the tyrant, without aiming their blow at the authority of the emperor.

    There appears, indeed, one memorable occasion, in which the senate, after seventy years of patience, made an ineffectual attempt to re-assume its long-forgotten rights. When the throne was vacant by the murder of Caligula, the consuls

    convoked that assembly in the Capitol, condemned the memory of the Cæsars, gave the watchword liberty to the few cohorts who faintly adhered to their standard, and during eight-and-forty hours acted as the independent chiefs of a free commonwealth. But while they deliberated, the prætorian guards had resolved. The stupid Claudius, brother of Germanicus, was already in their camp, invested with the Imperial purple, and prepared to support his election by arms. The dream of liberty was at an end; and the senate awoke to all the horrors of inevitable servitude. Deserted by the people, and threatened by a military force, that feeble assembly was compelled to ratify the choice of the prætorians, and to embrace the benefit of an amnesty, which Claudius had the prudence to offer, and the generosity to observe.

    [See The Capitol: When the throne was vacant by the murder of Caligula, the consuls convoked that assembly in the Capitol.]

    1. The insolence of the armies inspired Augustus with fears of a still more alarming nature. The despair of the citizens could only attempt, what the power of the soldiers was, at any time, able to execute. How precarious was his own authority over men whom he had taught to violate every social duty! He had heard their seditious clamors; he dreaded their calmer moments of reflection. One revolution had been purchased by immense rewards; but a second revolution might double those rewards. The troops professed the fondest attachment to the house of Cæsar; but the attachments of the multitude are capricious and inconstant. Augustus summoned to his aid whatever remained in those fierce minds of Roman prejudices; enforced the rigor of discipline by the sanction of law; and, interposing the majesty of the senate between the emperor and the army, boldly claimed their allegiance, as the first magistrate of the republic.

    During a long period of two hundred and twenty years from the establishment of this artful system to the death of Commodus, the dangers inherent to a military government were, in a great measure, suspended. The soldiers were seldom roused to that fatal sense of their own strength, and of the weakness of the civil authority, which was, before and afterwards, productive of such dreadful calamities. Caligula and Domitian were assassinated in their palace by their own domestics: * the convulsions which agitated Rome on the death of the former, were confined to the walls of the city. But Nero involved the whole empire in his ruin. In the space of eighteen months, four princes perished by the sword; and the Roman world was shaken by the fury of the contending armies. Excepting only this short, though violent eruption of military license, the two centuries from Augustus to Commodus passed away unstained with civil blood, and undisturbed by revolutions. The emperor was elected by the authority of the senate, and the consent of the soldiers. The legions respected their oath of fidelity; and it requires a minute inspection of the Roman annals to discover three inconsiderable rebellions, which were all suppressed in a few months, and without even the hazard of a battle.

    In elective monarchies, the vacancy of the throne is a moment big with danger and mischief. The Roman emperors, desirous to spare the legions that interval of suspense, and the temptation of an irregular choice, invested their designed successor with so large a share of present power, as should enable him, after their decease, to assume the remainder, without suffering the empire to perceive the change of masters. Thus Augustus, after all his fairer prospects had been snatched from him by untimely deaths, rested his last hopes on Tiberius, obtained for his adopted son the censorial and tribunitian powers, and dictated a law, by which the future prince was invested with an authority equal to his own, over the provinces and the armies. Thus Vespasian subdued the generous mind of his eldest son. Titus was adored by the eastern legions, which, under his command, had recently achieved the conquest of Judæa. His power was dreaded, and, as his virtues were clouded by the intemperance of youth, his designs were suspected. Instead of listening to such unworthy suspicions, the prudent monarch associated Titus to the full powers of the Imperial dignity; and the grateful son ever approved himself the humble and faithful minister of so indulgent a father.

    The good sense of Vespasian engaged him indeed to embrace every measure that might confirm his recent and precarious elevation. The military oath, and the fidelity of the troops, had been consecrated, by the habits of a hundred years, to the name and family of the Cæsars; and although that family had been continued only by the fictitious rite of adoption, the Romans still revered, in the person of Nero, the grandson of Germanicus, and the lineal successor of Augustus. It was not without reluctance and remorse, that the prætorian guards had been persuaded to abandon the cause of the tyrant. The rapid downfall of Galba, Otho, and Vitellus, taught the armies to consider the emperors as the creatures of their will, and the instruments of their license. The birth of Vespasian was mean: his grandfather had been a private soldier, his father a petty officer of the revenue; his own merit had raised him, in an advanced age, to the empire; but his merit was rather useful than shining, and his virtues were disgraced by a strict and even sordid parsimony. Such a prince consulted his true interest by the association of a son, whose more splendid and amiable character might turn the public attention from the obscure origin, to the future glories, of the Flavian house. Under the mild administration of Titus, the Roman world enjoyed a transient felicity, and his beloved memory served to protect, above fifteen years, the vices of his brother Domitian.

    Nerva had scarcely accepted the purple from the assassins of Domitian, before he discovered that his feeble age was unable to stem the torrent of public disorders, which had multiplied under the long tyranny of his predecessor. His mild disposition was respected by the good; but the degenerate Romans required a more vigorous character, whose justice should strike terror into the guilty. Though he had several relations, he fixed his choice on a stranger. He adopted Trajan, then about forty years of age, and who commanded a powerful army in the Lower Germany; and immediately, by a decree of the senate, declared him his colleague and successor in the empire. It is sincerely to be lamented, that whilst we are fatigued with the disgustful relation of Nero’s crimes and follies, we are reduced to collect the actions of Trajan from the glimmerings of an abridgment, or the doubtful light of a panegyric. There remains, however, one panegyric far removed beyond the suspicion of flattery. Above two hundred and fifty years after the death of Trajan, the senate, in pouring out the customary acclamations on the accession of a new emperor, wished that he might surpass the felicity of Augustus, and the virtue of Trajan.

    We may readily believe, that the father of his country hesitated whether he ought to intrust the various and doubtful character of his kinsman Hadrian with sovereign power. In his last moments the arts of the empress Plotina either fixed the irresolution of Trajan, or boldly supposed a fictitious adoption; the truth of which could not be safely disputed, and Hadrian was peaceably acknowledged as his lawful successor. Under his reign, as has been already mentioned, the empire flourished in peace and prosperity. He encouraged the arts, reformed the laws, asserted military discipline, and visited all his provinces in person. His vast and active genius was equally suited to the most enlarged views, and the minute details of civil policy. But the ruling passions of his soul were curiosity and vanity. As they prevailed, and as they were attracted by different objects, Hadrian was, by turns, an excellent prince, a ridiculous sophist, and a jealous tyrant. The general tenor of his conduct deserved praise for its equity and moderation. Yet in the first days of his reign, he put to death four consular senators, his personal enemies, and men who had been judged worthy of empire; and the tediousness of a painful illness rendered him, at last, peevish and cruel. The senate doubted whether they should pronounce him a god or a tyrant; and the honors decreed to his memory were granted to the prayers of the pious Antoninus.

    The caprice of Hadrian influenced his choice of a successor. After revolving in his mind several men of distinguished merit, whom he esteemed and hated, he adopted Ælius Verus a gay and voluptuous nobleman, recommended by uncommon beauty to the lover of Antinous. But whilst Hadrian was delighting himself with his own applause, and the acclamations of the soldiers, whose consent had been secured by an immense donative, the new Cæsar was ravished from his embraces by an untimely death. He left only one son. Hadrian commended the boy to the gratitude of the Antonines. He was adopted by Pius; and, on the accession of Marcus, was invested with an equal share of sovereign power. Among the many vices of this younger Verus, he possessed one virtue; a dutiful reverence for his wiser colleague, to whom he willingly abandoned the ruder cares of empire. The philosophic emperor dissembled his follies, lamented his early death, and cast a decent veil over his memory.

    As soon as Hadrian’s passion was either gratified or disappointed, he resolved to deserve the thanks of posterity, by placing the most exalted merit on the Roman throne. His discerning eye easily discovered a senator about fifty years of age, blameless in all the offices of life; and a youth of about seventeen, whose riper years opened a fair prospect of every virtue: the elder of these was declared the son and successor of Hadrian, on condition, however, that he himself should immediately adopt the younger. The two Antonines (for it is of them that we are now peaking,) governed the Roman world forty-two years, with the same invariable spirit of wisdom and virtue. Although Pius had two sons, he preferred the welfare of Rome to the interest of his family, gave his daughter Faustina, in marriage to young Marcus, obtained from the senate the tribunitian and proconsular powers, and, with a noble disdain, or rather ignorance of jealousy, associated him to all the labors of government. Marcus, on the other hand, revered the character of his benefactor, loved him as a parent, obeyed him as his sovereign, and, after he was no more, regulated his own administration by the example and maxims of his predecessor. Their united reigns are possibly the only period of history in which the happiness of a great people was the sole object of government.

    Titus Antoninus Pius has been justly denominated a second Numa. The same love of religion, justice, and peace, was the distinguishing characteristic of both princes. But the situation of the latter opened a much larger field for the exercise of those virtues. Numa could only prevent a few neighboring villages from plundering each other’s harvests. Antoninus diffused order and tranquillity over the greatest part of the earth. His reign is marked by the rare advantage of furnishing very few materials for history; which is, indeed, little more than the register of the crimes, follies, and misfortunes of mankind. In private life, he was an amiable, as well as a good man. The native simplicity of his virtue was a stranger to vanity or affectation. He enjoyed with moderation the conveniences of his fortune, and the innocent pleasures of society; and the benevolence of his soul displayed itself in a cheerful serenity of temper.

    The virtue of Marcus Aurelius Antoninus was of severer and more laborious kind. It was the well-earned harvest of many a learned conference, of many a patient lecture, and many a midnight lucubration. At the age of twelve years he embraced the rigid system of the Stoics, which taught him to submit his body to his mind, his passions to his reason; to consider virtue as the only good, vice as the only evil, all things external as things indifferent. His meditations, composed in the tumult of the camp, are still extant; and he even condescended to give lessons of philosophy, in a more public manner than was perhaps consistent with the modesty of sage, or the dignity of an emperor. But his life was the noblest commentary on the precepts of Zeno. He was severe to himself, indulgent to the imperfections of others, just and beneficent to all mankind. He regretted that Avidius Cassius, who excited a rebellion in Syria, had disappointed him, by a voluntary death, * of the pleasure of converting an enemy into a friend;; and he justified the sincerity of that sentiment, by moderating the zeal of the senate against the adherents of the traitor. War he detested, as the disgrace and calamity of human nature; but when the necessity of a just defence called upon him to take up arms, he readily exposed his person to eight winter campaigns, on the frozen banks of the Danube, the severity of which was at last fatal to the weakness of his constitution. His memory was revered by a grateful posterity, and above a century after his death, many persons preserved the image of Marcus Antoninus among those of their household gods.

    If a man were called to fix the period in the history of the world, during which the condition of the human race was most happy and prosperous, he would, without hesitation, name that which elapsed from the death of Domitian to the accession of Commodus. The vast extent of the Roman empire was governed by absolute power, under the guidance of virtue and wisdom. The armies were restrained by the firm but gentle hand of four successive emperors, whose characters and authority commanded involuntary respect. The forms of the civil administration were carefully preserved by Nerva, Trajan, Hadrian, and the Antonines, who delighted in the image of liberty, and were pleased with considering themselves as the accountable ministers of the laws. Such princes deserved the honor of restoring the republic, had the Romans of their days been capable of enjoying a rational freedom.

    The labors of these monarchs were overpaid by the immense reward that inseparably waited on their success; by the honest pride of virtue, and by the exquisite delight of beholding the general happiness of which they were the authors. A just but melancholy reflection imbittered, however, the noblest of human enjoyments. They must often have recollected the instability of a happiness which depended on the character of single man. The fatal moment was perhaps approaching, when some licentious youth, or some jealous tyrant, would abuse, to the destruction, that absolute power, which they had exerted for the benefit of their people. The ideal restraints of the senate and the laws might serve to display the virtues, but could never correct the vices, of the emperor. The military force was a blind and irresistible instrument of oppression; and the corruption of Roman manners would always supply flatterers eager to applaud, and ministers prepared to serve, the fear or the avarice, the lust or the cruelty, of their master.

    These gloomy apprehensions had been already justified by the experience of the Romans. The annals of the emperors exhibit a strong and various picture of human nature, which we should vainly seek among the mixed and doubtful characters of modern history. In the conduct of those monarchs we may trace the utmost lines of vice and virtue; the most exalted perfection, and the meanest degeneracy of our own species. The golden age of Trajan and the Antonines had been preceded by an age of iron. It is almost superfluous to enumerate the unworthy successors of Augustus. Their unparalleled vices, and the splendid theatre on which they were acted, have saved them from oblivion. The dark, unrelenting Tiberius, the furious Caligula, the feeble Claudius, the profligate and cruel Nero, the beastly Vitellius, and the timid, inhuman Domitian, are condemned to everlasting infamy. During fourscore years (excepting only the short and doubtful respite of Vespasian’s reign) Rome groaned beneath an unremitting tyranny, which exterminated the ancient families of the republic, and was fatal to almost every virtue and every talent that arose in that unhappy period.

    Under the reign of these monsters, the slavery of the Romans was accompanied with two peculiar circumstances, the one occasioned by their former liberty, the other by their extensive conquests, which rendered their condition more completely wretched than that of the victims of tyranny in any other age or country. From these causes were derived, 1. The exquisite sensibility of the sufferers; and, 2. The impossibility of escaping from the hand of the oppressor.

    1. When Persia was governed by the descendants of Sefi, a race of princes whose wanton cruelty often stained their divan, their table, and their bed, with the blood of their favorites, there is a saying recorded of a young nobleman, that he never departed from the sultan’s presence, without satisfying himself whether his head was still on his shoulders. The experience of every day might almost justify the scepticism of Rustan. Yet the fatal sword, suspended above him by a single thread, seems not to have disturbed the slumbers, or interrupted the tranquillity, of the Persian. The monarch’s frown, he well knew, could level him with the dust; but the stroke of lightning or apoplexy might be equally fatal; and it was the part of a wise man to forget the inevitable calamities of human life in the enjoyment of the fleeting hour. He was dignified with the appellation of the king’s slave; had, perhaps, been purchased from obscure parents, in a country which he had never known; and was trained up from his infancy in the severe discipline of the seraglio. His name, his wealth, his honors, were the gift of a master, who might, without injustice, resume what he had bestowed. Rustan’s knowledge, if he possessed any, could only serve to confirm his habits by prejudices. His language afforded not words for any form of government, except absolute monarchy. The history of the East informed him, that such had ever been the condition of mankind. The Koran, and the interpreters of that divine book, inculcated to him, that the sultan was the descendant of the prophet, and the vicegerent of heaven; that patience was the first virtue of a Mussulman, and unlimited obedience the great duty of a subject.

    The minds of the Romans were very differently prepared for slavery. Oppressed beneath the weight of their own corruption and of military violence, they for a long while preserved the sentiments, or at least the ideas, of their free-born ancestors.

    The education of Helvidius and Thrasea, of Tacitus and Pliny, was the same as that of Cato and Cicero. From Grecian philosophy, they had imbibed the justest and most liberal notions of the dignity of human nature, and the origin of civil society. The history of their own country had taught them to revere a free, a virtuous, and a victorious commonwealth; to abhor the successful crimes of Cæsar and Augustus; and inwardly to despise those tyrants whom they adored with the most abject flattery. As magistrates and senators they were admitted into the great council, which had once dictated laws to the earth, whose authority was so often prostituted to the vilest purposes of tyranny. Tiberius, and those emperors who adopted his maxims, attempted to disguise their murders by the formalities of justice, and perhaps enjoyed a secret pleasure in rendering the senate their accomplice as well as their victim. By this assembly, the last of the Romans were condemned for imaginary crimes and real virtues. Their infamous accusers assumed the language of independent patriots, who arraigned a dangerous citizen before the tribunal of his country; and the public service was rewarded by riches and honors. The servile judges professed to assert the majesty of the commonwealth, violated in the person of its first magistrate, whose clemency they most applauded when they trembled the most at his inexorable and impending cruelty. The tyrant beheld their baseness with just contempt, and encountered their secret sentiments of detestation with sincere and avowed hatred for the whole body of the senate.

    1. The division of Europe into a number of independent states, connected, however, with each other by the general resemblance of religion, language, and manners, is productive of the most beneficial consequences to the liberty of mankind. A modern tyrant, who should find no resistance either in his own breast, or in his people, would soon experience a gentle restrain form the example of his equals, the dread of present censure, the advice of his allies, and the apprehension of his enemies. The object of his displeasure, escaping from the narrow limits of his dominions, would easily obtain, in a

    happier climate, a secure refuge, a new fortune adequate to his merit, the freedom of complaint, and perhaps the means of revenge. But the empire of the Romans filled the world, and when the empire fell into the hands of a single person, the world became a safe and dreary prison for his enemies. The slave of Imperial despotism, whether he was condemned to drags his gilded chain in Rome and the senate, or to were out a life of exile on the barren rock of Seriphus, or the frozen bank of the Danube, expected his fate in silent despair. To resist was fatal, and it was impossible to fly. On every side he was encompassed with a vast extent of sea and land, which he could never hope to traverse without being discovered, seized, and restored to his irritated master. Beyond the frontiers, his anxious view could discover nothing, except the ocean, inhospitable deserts, hostile tribes of barbarians, of fierce manners and unknown language, or dependent kings, who would gladly purchase the emperor’s protection by the sacrifice of an obnoxious fugitive. “Wherever you are,” said Cicero to the exiled Marcellus, “remember that you are equally within the power of the conqueror.”

    Chapter IV: The Cruelty, Follies And Murder Of Commodus.

    Part I. The Cruelty, Follies, And Murder Of Commodus. Election Of Pertinax — His Attempts To Reform The State — His Assassination By The Prætorian Guards.

    The mildness of Marcus, which the rigid discipline of the Stoics was unable to eradicate, formed, at the same time, the most amiable, and the only defective part of his character. His excellent understanding was often deceived by the unsuspecting goodness of his heart. Artful men, who study the passions of princes, and conceal their own, approached his person in the disguise of philosophic sanctity, and acquired riches and honors by affecting to despise them. His excessive indulgence to his brother, * his wife, and his son, exceeded the bounds of private virtue, and became a public injury, by the example and consequences of their vices.

    Faustina, the daughter of Pius and the wife of Marcus, has been as much celebrated for her gallantries as for her beauty. The grave simplicity of the philosopher was ill calculated to engage her wanton levity, or to fix that unbounded passion for variety, which often discovered personal merit in the meanest of mankind. The Cupid of the ancients was, in general, a very sensual deity; and the amours of an empress, as they exact on her side the plainest advances, are seldom susceptible of much sentimental delicacy. Marcus was the only man in the empire who seemed ignorant or insensible of the irregularities of Faustina; which, according to the prejudices of every age, reflected some disgrace on the injured husband. He promoted several of her lovers to posts of honor and profit, and during a connection of thirty years, invariably gave her proofs of the most tender confidence, and of a respect which ended not with her life. In his Meditations, he thanks the gods, who had bestowed on him a wife so faithful, so gentle, and of such a wonderful simplicity of manners. The obsequious senate, at his earnest request, declared her a goddess. She was represented in her temples, with the attributes of Juno, Venus, and Ceres; and it was decreed, that, on the day of their nuptials, the youth of either sex should pay their vows before the altar of their chaste patroness.

    The monstrous vices of the son have cast a shade on the purity of the father’s virtues. It has been objected to Marcus, that he sacrificed the happiness of millions to a fond partiality for a worthless boy; and that he chose a successor in his own family, rather than in the republic. Nothing however, was neglected by the anxious father, and by the men of virtue and learning whom he summoned to his assistance, to expand the narrow mind of young Commodus, to correct his growing vices, and to render him worthy of the throne for which he was designed. But the power of instruction is seldom of much efficacy, except in those happy dispositions where it is almost superfluous. The distasteful lesson of a grave philosopher was, in a moment, obliterated by the whisper of a profligate favorite; and Marcus himself blasted the fruits of this labored education, by admitting his son, at the age of fourteen or fifteen, to a full participation of the Imperial power. He lived but four years afterwards: but he lived long enough to repent a rash measure, which raised the impetuous youth above the restraint of reason and authority.

    Most of the crimes which disturb the internal peace of society, are produced by the restraints which the necessary but unequal laws of property have imposed on the appetites of mankind, by confining to a few the possession of those objects that are coveted by many. Of all our passions and appetites, the love of power is of the most imperious and unsociable nature, since the pride of one man requires the submission of the multitude. In the tumult of civil discord, the laws of society lose their force, and their place is seldom supplied by those of humanity. The ardor of contention, the pride of victory, the despair of success, the memory of past injuries, and the fear of future dangers, all contribute to inflame the mind, and to silence the voice of pity. From such motives almost every page of history has been stained with civil blood; but these motives will not account for the unprovoked cruelties of Commodus, who had nothing to wish and every thing to enjoy. The beloved son of Marcus succeeded to his father, amidst the acclamations of the senate and armies; and when he ascended the throne, the happy youth saw round him neither competitor to remove, nor enemies to punish. In this calm, elevated station, it was surely natural that he should prefer the love of mankind to their detestation, the mild glories of his five predecessors to the ignominious fate of Nero and Domitian.

    Yet Commodus was not, as he has been represented, a tiger born with an insatiate thirst of human blood, and capable, from his infancy, of the most inhuman actions. Nature had formed him of a weak rather than a wicked disposition. His simplicity and timidity rendered him the slave of his attendants, who gradually corrupted his mind. His cruelty, which at first obeyed the dictates of others, degenerated into habit, and at length became the ruling passion of his soul.

    Upon the death of his father, Commodus found himself embarrassed with the command of a great army, and the conduct of a difficult war against the Quadi and Marcomanni. The servile and profligate youths whom Marcus had banished, soon regained their station and influence about the new emperor. They exaggerated the hardships and dangers of a campaign in the wild countries beyond the Danube; and they assured the indolent prince that the terror of his name, and the arms of his lieutenants, would be sufficient to complete the conquest of the dismayed barbarians, or to impose such conditions as were more advantageous than any conquest. By a dexterous application to his sensual appetites, they compared the tranquillity, the splendor, the refined pleasures of Rome, with the tumult of a Pannonian camp, which afforded neither leisure nor materials for luxury. Commodus listened to the pleasing advice; but whilst he hesitated between his own inclination and the awe which he still retained for his father’s counsellors, the summer insensibly elapsed, and his triumphal entry into the capital was deferred till the autumn. His graceful person, popular address, and imagined virtues, attracted the public favor; the honorable peace which he had recently granted to the barbarians, diffused a universal joy; his impatience to revisit Rome was fondly ascribed to the love of his country; and his dissolute course of amusements was faintly condemned in a prince of nineteen years of age.

    During the three first years of his reign, the forms, and even the spirit, of the old administration, were maintained by those faithful counsellors, to whom Marcus had recommended his son, and for whose wisdom and integrity Commodus still entertained a reluctant esteem. The young prince and his profligate favorites revelled in all the license of sovereign power; but his hands were yet unstained with blood; and he had even displayed a generosity of sentiment, which might perhaps have ripened into solid virtue. A fatal incident decided his fluctuating character.

    One evening, as the emperor was returning to the palace, through a dark and narrow portico in the amphitheatre, an assassin, who waited his passage, rushed upon him with a drawn sword, loudly exclaiming, “The senate sends you this.” The menace prevented the deed; the assassin was seized by the guards, and immediately revealed the authors of the conspiracy. It had been formed, not in the state, but within the walls of the palace. Lucilla, the emperor’s sister, and widow of Lucius Verus, impatient of the second rank, and jealous of the reigning empress, had armed the murderer against her brother’s life. She had not ventured to communicate the black design to her second husband, Claudius Pompeiarus, a senator of distinguished merit and unshaken loyalty; but among the crowd of her lovers (for she imitated the manners of Faustina) she found men of desperate fortunes and wild ambition, who were prepared to serve her more violent, as well as her tender passions. The conspirators experienced the rigor of justice, and the abandoned princess was punished, first with exile, and afterwards with death.

    But the words of the assassin sunk deep into the mind of Commodus, and left an indelible impression of fear and hatred against the whole body of the senate. * Those whom he had dreaded as importunate ministers, he now suspected as secret enemies. The Delators, a race of men discouraged, and almost extinguished, under the former reigns, again became formidable, as soon as they discovered that the emperor was desirous of finding disaffection and treason in the senate. That assembly, whom Marcus had ever considered as the great council of the nation, was composed of the most distinguished of the Romans; and distinction of every kind soon became criminal. The possession of wealth stimulated the diligence of the informers; rigid virtue implied a tacit censure of the irregularities of Commodus; important services implied a dangerous superiority of merit; and the friendship of the father always insured the aversion of the son. Suspicion was equivalent to proof; trial to condemnation. The execution of a considerable senator was attended with the death of all who might lament or revenge his fate; and when Commodus had once tasted human blood, he became incapable of pity or remorse.

    Of these innocent victims of tyranny, none died more lamented than the two brothers of the Quintilian family, Maximus and Condianus; whose fraternal love has saved their names from oblivion, and endeared their memory to posterity. Their studies and their occupations, their pursuits and their pleasures, were still the same. In the enjoyment of a great estate, they never admitted the idea of a separate interest: some fragments are now extant of a treatise which they composed in common; and in every action of life it was observed that their two bodies were animated by one soul. The Antonines, who valued their virtues, and delighted in their union, raised them, in the same year, to the consulship; and Marcus afterwards intrusted to their joint care the civil administration of Greece, and a great military command, in which they obtained a signal victory over the Germans. The kind cruelty of Commodus united them in death.

    The tyrant’s rage, after having shed the noblest blood of the senate, at length recoiled on the principal instrument of his cruelty. Whilst Commodus was immersed in blood and luxury, he devolved the detail of the public business on Perennis, a servile and ambitious minister, who had obtained his post by the murder of his predecessor, but who possessed a considerable share of vigor and ability. By acts of extortion, and the forfeited estates of the nobles sacrificed to his avarice, he had accumulated an immense treasure. The Prætorian guards were under his immediate command; and his son, who already discovered a military genius, was at the head of the Illyrian legions. Perennis aspired to the empire; or what, in the eyes of Commodus, amounted to the same crime, he was capable of aspiring to it, had he not been prevented, surprised, and put to death. The fall of a minister is a very trifling incident in the general history of the empire; but it was hastened by an extraordinary circumstance, which proved how much the nerves of discipline were already relaxed. The legions of Britain, discontented with the administration of Perennis, formed a deputation of fifteen hundred select men, with instructions to march to Rome, and lay their complaints before the emperor. These military petitioners, by their own determined behaviour, by inflaming the divisions of the guards, by exaggerating the strength of the British army, and by alarming the fears of Commodus, exacted and obtained the minister’s death, as the only redress of their grievances. This presumption of a distant army, and their discovery of the weakness of government, was a sure presage of the most dreadful convulsions.

    The negligence of the public administration was betrayed, soon afterwards, by a new disorder, which arose from the smallest beginnings. A spirit of desertion began to prevail among the troops: and the deserters, instead of seeking their safety in flight or concealment, infested the highways. Maternus, a private soldier, of a daring boldness above his station, collected these bands of robbers into a little army, set open the prisons, invited the slaves to assert their freedom, and plundered with impunity the rich and defenceless cities of Gaul and Spain. The governors of the provinces, who had long been the spectators, and perhaps the partners, of his depredations, were, at length, roused from their supine indolence by the threatening commands of the emperor. Maternus found that he was encompassed, and foresaw that he must be overpowered. A great effort of despair was his last resource. He ordered his followers to disperse, to pass the Alps in small parties and various disguises, and to assemble at Rome, during the licentious tumult of the festival of Cybele. To murder Commodus, and to ascend the vacant throne, was the ambition of no vulgar robber. His measures were so ably concerted that his concealed troops already filled the streets of Rome. The envy of an accomplice discovered and ruined this singular enterprise, in a moment when it was ripe for execution.

    Suspicious princes often promote the last of mankind, from a vain persuasion, that those who have no dependence, except on their favor, will have no attachment, except to the person of their benefactor. Cleander, the successor of Perennis, was a Phrygian by birth; of a nation over whose stubborn, but servile temper, blows only could prevail. He had been sent from his native country to Rome, in the capacity of a slave. As a slave he entered the Imperial palace, rendered himself useful to his master’s passions, and rapidly ascended to the most exalted station which a subject could enjoy. His influence over the mind of Commodus was much greater than that of his predecessor; for Cleander was devoid of any ability or virtue which could inspire the emperor with envy or distrust. Avarice was the reigning passion of his soul, and the great principle of his administration. The rank of Consul, of Patrician, of Senator, was exposed to public sale; and it would have been considered as disaffection, if any one had refused to purchase these empty and disgraceful honors with the greatest part of his fortune. In the lucrative provincial employments, the minister shared with the governor the spoils of the people. The execution of the laws was penal and arbitrary. A wealthy criminal might obtain, not only the reversal of the sentence by which he was justly condemned, but might likewise inflict whatever punishment he pleased on the accuser, the witnesses, and the judge.

    By these means, Cleander, in the space of three years, had accumulated more wealth than had ever yet been possessed by any freedman. Commodus was perfectly satisfied with the magnificent presents which the artful courtier laid at his feet in the most seasonable moments. To divert the public envy, Cleander, under the emperor’s name, erected baths, porticos, and places of exercise, for the use of the people. He flattered himself that the Romans, dazzled and amused by this apparent liberality, would be less affected by the bloody scenes which were daily exhibited; that they would forget the death of Byrrhus, a senator to whose superior merit the late emperor had granted one of his daughters; and that they would forgive the execution of Arrius Antoninus, the last representative of the name and virtues of the Antonines. The former, with more integrity than prudence, had attempted to disclose, to his brother-in-law, the true character of Cleander. An equitable sentence pronounced by the latter, when proconsul of Asia, against a worthless creature of the favorite, proved fatal to him. After the fall of Perennis, the terrors of Commodus had, for a short time, assumed the appearance of a return to virtue. He repealed the most odious of his acts; loaded his memory with the public execration, and ascribed to the pernicious counsels of that wicked minister all the errors of his inexperienced youth. But his repentance lasted only thirty days; and, under Cleander’s tyranny, the administration of Perennis was often regretted.

    Chapter IV: The Cruelty, Follies And Murder Of Commodus.

    Part II.

    Pestilence and famine contributed to fill up the measure of the calamities of Rome. The first could be only imputed to the just indignation of the gods; but a monopoly of corn, supported by the riches and power of the minister, was considered as the immediate cause of the second. The popular discontent, after it had long circulated in whispers, broke out in the assembled circus. The people quitted their favorite amusements for the more delicious pleasure of revenge, rushed in crowds towards a palace in the suburbs, one of the emperor’s retirements, and demanded, with angry clamors, the head of the public enemy. Cleander, who commanded the Prætorian guards, ordered a body of cavalry to sally forth, and disperse the seditious multitude. The multitude fled with precipitation towards the city; several were slain, and many more were trampled to death; but when the cavalry entered the streets, their pursuit was checked by a shower of stones and darts from the roofs and windows of the houses. The foot guards, who had been long jealous of the prerogatives and insolence of the Prætorian cavalry, embraced the party of the people. The tumult became a regular engagement, and threatened a general massacre. The Prætorians, at length, gave way, oppressed with numbers; and the tide of popular fury returned with redoubled violence against the gates of the palace, where Commodus lay, dissolved in luxury, and alone unconscious of the civil war. It was death to approach his person with the unwelcome news. He would have perished in this supine security, had not two women, his eldest sister Fadilla, and Marcia, the most favored of his concubines, ventured to break into his presence. Bathed in tears, and with dishevelled hair, they threw themselves at his feet; and with all the pressing eloquence of fear, discovered to the affrighted emperor the crimes of the minister, the rage of the people, and the impending ruin, which, in a few minutes, would burst over his palace and person. Commodus started from his dream of pleasure, and commanded that the head of Cleander should be thrown out to the people. The desired spectacle instantly appeased the tumult; and the son of Marcus might even yet have regained the affection and confidence of his subjects.

    But every sentiment of virtue and humanity was extinct in the mind of Commodus. Whilst he thus abandoned the reins of empire to these unworthy favorites, he valued nothing in sovereign power, except the unbounded license of indulging his sensual appetites. His hours were spent in a seraglio of three hundred beautiful women, and as many boys, of every rank, and of every province; and, wherever the arts of seduction proved ineffectual, the brutal lover had recourse to violence. The ancient historians have expatiated on these abandoned scenes of prostitution, which scorned every restraint of nature or modesty; but it would not be easy to translate their too faithful descriptions into the decency of modern language. The intervals of lust were filled up with the basest amusements. The influence of a polite age, and the labor of an attentive education, had never been able to infuse into his rude and brutish mind the least tincture of learning; and he was the first of the Roman emperors totally devoid of taste for the pleasures of the understanding. Nero himself excelled, or affected to excel, in the elegant arts of music and poetry: nor should we despise his pursuits, had he not converted the pleasing relaxation of a leisure hour into the serious business and ambition of his life. But Commodus, from his earliest infancy, discovered an aversion to whatever was rational or liberal, and a fond attachment to the amusements of the populace; the sports of the circus and amphitheatre, the combats of gladiators, and the hunting of wild beasts. The masters in every branch of learning, whom Marcus provided for his son, were heard with inattention and disgust; whilst the Moors and Parthians, who taught him to dart the javelin and to shoot with the bow, found a disciple who delighted in his application, and soon equalled the most skilful of his instructors in the steadiness of the eye and the dexterity of the hand.

    The servile crowd, whose fortune depended on their master’s vices, applauded these ignoble pursuits. The perfidious voice of flattery reminded him, that by exploits of the same nature, by the defeat of the Nemæan lion, and the slaughter of the wild boar of Erymanthus, the Grecian Hercules had acquired a place among the gods, and an immortal memory among men. They only forgot to observe, that, in the first ages of society, when the fiercer animals often dispute with man the possession of an unsettled country, a successful war against those savages is one of the most innocent and beneficial labors of heroism. In the civilized state of the Roman empire, the wild beasts had long since retired from the face of man, and the neighborhood of populous cities. To surprise them in their solitary haunts, and to transport them to Rome, that they might be slain in pomp by the hand of an emperor, was an enterprise equally ridiculous for the prince and oppressive for the people. Ignorant of these distinctions, Commodus eagerly embraced the glorious resemblance, and styled himself (as we still read on his medals ) the Roman Hercules. * The club and the lion’s hide were placed by the side of the throne, amongst the ensigns of sovereignty; and statues were erected, in which Commodus was represented in the character, and with the attributes, of the god, whose valor and dexterity he endeavored to emulate in the daily course of his ferocious amusements.

    Elated with these praises, which gradually extinguished the innate sense of shame, Commodus resolved to exhibit before the eyes of the Roman people those exercises, which till then he had decently confined within the walls of his palace, and to the presence of a few favorites. On the appointed day, the various motives of flattery, fear, and curiosity, attracted to the amphitheatre an innumerable multitude of spectators; and some degree of applause was deservedly bestowed on the uncommon skill of the Imperial performer. Whether he aimed at the head or heart of the animal, the wound was alike certain and mortal. With arrows whose point was shaped into the form of crescent, Commodus often intercepted the rapid career, and cut asunder the long, bony neck of the ostrich. A panther was let loose; and the archer waited till he had leaped upon a trembling malefactor. In the same instant the shaft flew, the beast dropped dead, and the man remained unhurt. The dens of the amphitheatre disgorged at once a hundred lions: a hundred darts from the unerring hand of Commodus laid them dead as they run raging round the Arena. Neither the huge bulk of the elephant, nor the scaly hide of the rhinoceros, could defend them from his stroke. Æthiopia and India yielded their most extraordinary productions; and several animals were slain in the amphitheatre, which had been seen only in the representations of art, or perhaps of fancy. In all these exhibitions, the securest precautions were used to protect the person of the Roman Hercules from the desperate spring of any savage, who might possibly disregard the dignity of the emperor and the sanctity of the god. ^

    But the meanest of the populace were affected with shame and indignation when they beheld their sovereign enter the lists as a gladiator, and glory in a profession which the laws and manners of the Romans had branded with the justest note of infamy. He chose the habit and arms of the Secutor, whose combat with the Retiarius formed one of the most lively scenes in the bloody sports of the amphitheatre. The Secutor was armed with a helmet, sword, and buckler; his naked antagonist had only a large net and a trident; with the one he endeavored to entangle, with the other to despatch his enemy. If he missed the first throw, he was obliged to fly from the pursuit of the Secutor, till he had prepared his net for a second cast. The emperor fought in this character seven hundred and thirty-five several times. These glorious achievements were carefully recorded in the public acts of the empire; and that he might omit no circumstance of infamy, he received from the common fund of gladiators a stipend so exorbitant that it became a new and most ignominious tax upon the Roman people. It may be easily supposed, that in these engagements the master of the world was always successful; in the amphitheatre, his victories were not often sanguinary; but when he exercised his skill in the school of gladiators, or his own palace, his wretched antagonists were frequently honored with a mortal wound from the hand of Commodus, and obliged to seal their flattery with their blood. He now disdained the appellation of Hercules. The name of Paulus, a celebrated Secutor, was the only one which delighted his ear. It was inscribed on his colossal statues, and repeated in the redoubled acclamations of the mournful and applauding senate. Claudius Pompeianus, the virtuous husband of Lucilla, was the only senator who asserted the honor of his rank. As a father, he permitted his sons to consult their safety by attending the amphitheatre. As a Roman, he declared, that his own life was in the emperor’s hands, but that he would never behold the son of Marcus prostituting his person and dignity. Notwithstanding his manly resolution Pompeianus escaped the resentment of the tyrant, and, with his honor, had the good fortune to preserve his life.

    Commodus had now attained the summit of vice and infamy. Amidst the acclamations of a flattering court, he was unable to disguise from himself, that he had deserved the contempt and hatred of every man of sense and virtue in his empire. His ferocious spirit was irritated by the consciousness of that hatred, by the envy of every kind of merit, by the just apprehension of danger, and by the habit of slaughter, which he contracted in his daily amusements. History has preserved a long list of consular senators sacrificed to his wanton suspicion, which sought out, with peculiar anxiety, those unfortunate persons connected, however remotely, with the family of the Antonines, without sparing even the ministers of his crimes or pleasures. His cruelty proved at last fatal to himself. He had shed with impunity the noblest blood of Rome: he perished as soon as he was dreaded by his own domestics. Marcia, his favorite concubine, Eclectus, his chamberlain, and Lætus, his Prætorian præfect, alarmed by the fate of their companions and predecessors, resolved to prevent the destruction which every hour hung over their heads, either from the mad caprice of the tyrant, * or the sudden indignation of the people. Marcia seized the occasion of presenting a draught of wine to her lover, after he had fatigued himself with hunting some wild beasts. Commodus retired to sleep; but whilst he was laboring with the effects of poison and drunkenness, a robust youth, by profession a wrestler, entered his chamber, and strangled him without resistance. The body was secretly conveyed out of the palace, before the least suspicion was entertained in the city, or even in the court, of the emperor’s death. Such was the fate of the son of Marcus, and so easy was it to destroy a hated tyrant, who, by the artificial powers of government, had oppressed, during thirteen years, so many millions of subjects, each of whom was equal to their master in personal strength and personal abilities.

    The measures of he conspirators were conducted with the deliberate coolness and celerity which the greatness of the occasion required. They resolved instantly to fill the vacant throne with an emperor whose character would justify and maintain the action that had been committed. They fixed on Pertinax, præfect of the city, an ancient senator of consular rank, whose conspicuous merit had broke through the obscurity of his birth, and raised him to the first honors of the state. He had successively governed most of the provinces of the empire; and in all his great employments, military as well as civil, he had uniformly distinguished himself by the firmness, the prudence, and the integrity of his conduct. He now remained almost alone of the friends and ministers of Marcus; and when, at a late hour of the night, he was awakened with the news, that the chamberlain and the præfect were at his door, he received them with intrepid resignation, and desired they would execute their master’s orders. Instead of death, they offered him the throne of the Roman world. During some moments he distrusted their intentions and assurances. Convinced at length of the death of Commodus, he accepted the purple with a sincere reluctance, the natural effect of his knowledge both of the duties and of the dangers of the supreme rank.

    Lætus conducted without delay his new emperor to the camp of the Prætorians, diffusing at the same time through the city a seasonable report that Commodus died suddenly of an apoplexy; and that the virtuous Pertinax had already succeeded to the throne. The guards were rather surprised than pleased with the suspicious death of a prince, whose indulgence and liberality they alone had experienced; but the emergency of the occasion, the authority of their præfect, the reputation of Pertinax, and the clamors of the people, obliged them to stifle their secret discontents, to accept the donative promised by the new emperor, to swear allegiance to him, and with joyful acclamations and laurels in their hands to conduct him to the senate house, that the military consent might be ratified by the civil authority.

    This important night was now far spent; with the dawn of day, and the commencement of the new year, the senators expected a summons to attend an ignominious ceremony. * In spite of all remonstrances, even of those of his creatures who yet preserved any regard for prudence or decency, Commodus had resolved to pass the night in the gladiators’ school, and from thence to take possession of the consulship, in the habit and with the attendance of that infamous crew. On a sudden, before the break of day, the senate was called together in the temple of Concord, to meet the guards, and to ratify the election of a new emperor. For a few minutes they sat in silent suspense, doubtful of their unexpected deliverance, and suspicious of the cruel artifices of Commodus: but when at length they were assured that the tyrant was no more, they resigned themselves to all the transports of joy and indignation. Pertinax, who modestly represented the meanness of his extraction, and pointed out several noble senators more deserving than himself of the empire, was constrained by their dutiful violence to ascend the throne, and received all the titles of Imperial power, confirmed by the most sincere vows of fidelity. The memory of Commodus was branded with eternal infamy. The names of tyrant, of gladiator, of public enemy resounded in every corner of the house. They decreed in tumultuous votes, that his honors should be reversed, his titles erased from the public monuments, his statues thrown down, his body dragged with a hook into the stripping room of the gladiators, to satiate the public fury; and they expressed some indignation against those officious servants who had already presumed to screen his remains from the justice of the senate. But Pertinax could not refuse those last rites to the memory of Marcus, and the tears of his first protector Claudius Pompeianus, who lamented the cruel fate of his brother-in-law, and lamented still more that he had deserved it.

    These effusions of impotent rage against a dead emperor, whom the senate had flattered when alive with the most abject servility, betrayed a just but ungenerous spirit of revenge. The legality of these decrees was, however, supported by the principles of the Imperial constitution. To censure, to depose, or to punish with death, the first magistrate of the republic, who had abused his delegated trust, was the ancient and undoubted prerogative of the Roman senate; but the feeble assembly was obliged to content itself with inflicting on a fallen tyrant that public justice, from which, during his life and reign, he had been shielded by the strong arm of military despotism. *

    Pertinax found a nobler way of condemning his predecessor’s memory; by the contrast of his own virtues with the vices of Commodus. On the day of his accession, he resigned over to his wife and son his whole private fortune; that they might have no pretence to solicit favors at the expense of the state. He refused to flatter the vanity of the former with the title of Augusta; or to corrupt the inexperienced youth of the latter by the rank of Cæsar. Accurately distinguishing between the duties of a parent and those of a sovereign, he educated his son with a severe simplicity, which, while it gave him no assured prospect of the throne, might in time have rendered him worthy of it. In public, the behavior of Pertinax was grave and affable. He lived with the virtuous part of the senate, (and, in a private station, he had been acquainted with the true character of each individual,) without either pride or jealousy; considered them as friends and companions, with whom he had shared the danger of the tyranny, and with whom he wished to enjoy the security of the present time. He very frequently invited them to familiar entertainments, the frugality of which was ridiculed by those who remembered and regretted the luxurious prodigality of Commodus.

    To heal, as far as I was possible, the wounds inflicted by the hand of tyranny, was the pleasing, but melancholy, task of Pertinax. The innocent victims, who yet survived, were recalled from exile, released from prison, and restored to the full possession of their honors and fortunes. The unburied bodies of murdered senators (for the cruelty of Commodus endeavored to extend itself beyond death) were deposited in the sepulchres of their ancestors; their memory was justified and every consolation was bestowed on their ruined and afflicted families. Among these consolations, one of the most grateful was the punishment of the Delators; the common enemies of their master, of virtue, and of their country. Yet even in the inquisition of these legal assassins, Pertinax proceeded with a steady temper, which gave every thing to justice, and nothing to popular prejudice and resentment.

    The finances of the state demanded the most vigilant care of the emperor. Though every measure of injustice and extortion had been adopted, which could collect the property of the subject into the coffers of the prince, the rapaciousness of Commodus had been so very inadequate to his extravagance, that, upon his death, no more than eight thousand pounds were found in the exhausted treasury, to defray the current expenses of government, and to discharge the pressing demand of a liberal donative, which the new emperor had been obliged to promise to the Prætorian guards. Yet under these distressed circumstances, Pertinax had the generous firmness to remit all the oppressive taxes invented by Commodus, and to cancel all the unjust claims of the treasury; declaring, in a decree of the senate, “that he was better satisfied to administer a poor republic with innocence, than to acquire riches by the ways of tyranny and dishonor. “Economy and industry he considered as the pure and genuine sources of wealth; and from them he soon derived a copious supply for the public necessities. The expense of the household was immediately reduced to one half. All the instruments of luxury Pertinax exposed to public auction, gold and silver plate, chariots of a singular construction, a superfluous wardrobe of silk and embroidery, and a great number of beautiful slaves of both sexes; excepting only, with attentive humanity, those who were born in a state of freedom, and had been ravished from the arms of their weeping parents. At the same time that he obliged the worthless favorites of the tyrant to resign a part of their ill-gotten wealth, he satisfied the just creditors of the state, and unexpectedly discharged the long arrears of honest services. He removed the oppressive restrictions which had been laid upon commerce, and granted all the uncultivated lands in Italy and the provinces to those who would improve them; with an exemption from tribute during the term of ten years.

    Such a uniform conduct had already secured to Pertinax the noblest reward of a sovereign, the love and esteem of his people. Those who remembered the virtues of Marcus were happy to contemplate in their new emperor the features of that bright original; and flattered themselves, that they should long enjoy the benign influence of his administration. A hasty zeal to reform the corrupted state, accompanied with less prudence than might have been expected from the years and experience of Pertinax, proved fatal to himself and to his country. His honest indiscretion united against him the servile crowd, who found their private benefit in the public disorders, and who preferred the favor of a tyrant to the inexorable equality of the laws.

    Amidst the general joy, the sullen and angry countenance of the Prætorian guards betrayed their inward dissatisfaction. They had reluctantly submitted to Pertinax; they dreaded the strictness of the ancient discipline, which he was preparing to restore; and they regretted the license of the former reign. Their discontents were secretly fomented by Lætus, their præfect, who found, when it was too late, that his new emperor would reward a servant, but would not be ruled by a favorite. On the third day of his reign, the soldiers seized on a noble senator, with a design to carry him to the camp, and to invest him with the Imperial purple. Instead of being dazzled by the dangerous honor, the affrighted victim escaped from their violence, and took refuge at the feet of Pertinax. A short time afterwards, Sosius Falco, one of the consuls of the year, a rash youth, but of an ancient and opulent family, listened to the voice of ambition; and a conspiracy was formed during a short absence of Pertinax, which was crushed by his sudden return to Rome, and his resolute behavior. Falco was on the point of being justly condemned to death as a public enemy had he not been saved by the earnest and sincere entreaties of the injured emperor, who conjured the senate, that the purity of his reign might not be stained by the blood even of a guilty senator.

    These disappointments served only to irritate the rage of the Prætorian guards. On the twenty-eighth of March, eighty-six days only after the death of Commodus, a general sedition broke out in the camp, which the officers wanted either power or inclination to suppress. Two or three hundred of the most desperate soldiers marched at noonday, with arms in their hands and fury in their looks, towards the Imperial palace. The gates were thrown open by their companions upon guard, and by the domestics of the old court, who had already formed a secret conspiracy against the life of the too virtuous emperor. On the news of their approach, Pertinax, disdaining either flight or concealment, advanced to meet his assassins; and recalled to their minds his own innocence, and the sanctity of their recent oath. For a few moments they stood in silent suspense, ashamed of their atrocious design, and awed by the venerable aspect and majestic firmness of their sovereign, till at length, the despair of pardon reviving their fury, a barbarian of the country of Tongress levelled the first blow against Pertinax, who was instantly despatched with a multitude of wounds. His head, separated from his body, and placed on a lance, was carried in triumph to the Prætorian camp, in the sight of a mournful and indignant people, who lamented the unworthy fate of that excellent prince, and the transient blessings of a reign, the memory of which could serve only to aggravate their approaching misfortunes.

    Chapter V: Sale Of The Empire To Didius Julianus.

    Part I. Public Sale Of The Empire To Didius Julianus By The Prætorian Guards — Clodius Albinus In Britain, Pescennius Niger In Syria, And Septimius Severus In Pannonia, Declare Against The Murderers Of Pertinax — Civil Wars And Victory Of Severus Over His Three Rivals — Relaxation Of Discipline — New Maxims Of Government.

    The power of the sword is more sensibly felt in an extensive monarchy, than in a small community. It has been calculated by the ablest politicians, that no state, without being soon exhausted, can maintain above the hundredth part of its members in arms and idleness. But although this relative proportion may be uniform, the influence of the army over the rest of the society will vary according to the degree of its positive strength. The advantages of military science and discipline cannot be exerted, unless a proper number of soldiers are united into one body, and actuated by one soul. With a handful of men, such a union would be ineffectual; with an unwieldy host, it would be impracticable; and the powers of the machine would be alike destroyed by the extreme minuteness or the excessive weight of its springs. To illustrate this observation, we need only reflect, that there is no superiority of natural strength, artificial weapons, or acquired skill, which could enable one man to keep in constant subjection one hundred of his fellow-creatures: the tyrant of a single town, or a small district, would soon discover that a hundred armed followers were a weak defence against ten thousand peasants or citizens; but a hundred thousand well-disciplined soldiers will command, with despotic sway, ten millions of subjects; and a body of ten or fifteen thousand guards will strike terror into the most numerous populace that ever crowded the streets of an immense capital.

    The Prætorian bands, whose licentious fury was the first symptom and cause of the decline of the Roman empire, scarcely amounted to the last-mentioned number They derived their institution from Augustus. That crafty tyrant, sensible that laws might color, but that arms alone could maintain, his usurped dominion, had gradually formed this powerful body of guards, in constant readiness to protect his person, to awe the senate, and either to prevent or to crush the first motions of rebellion. He distinguished these favored troops by a double pay and superior privileges; but, as their formidable aspect would at once have alarmed and irritated the Roman people, three cohorts only were stationed in the capital, whilst the remainder was dispersed in the adjacent towns of Italy. But after fifty years of peace and servitude, Tiberius ventured on a decisive measure, which forever rivetted the fetters of his country. Under the fair pretences of relieving Italy from the heavy burden of military quarters, and of introducing a stricter discipline among the guards, he assembled them at Rome, in a permanent camp, which was fortified with skilful care, and placed on a commanding situation.

    Such formidable servants are always necessary, but often fatal to the throne of despotism. By thus introducing the Prætorian guards as it were into the palace and the senate, the emperors taught them to perceive their own strength, and the weakness of the civil government; to view the vices of their masters with familiar contempt, and to lay aside that reverential awe, which distance only, and mystery, can preserve towards an imaginary power. In the luxurious idleness of an opulent city, their pride was nourished by the sense of their irresistible weight; nor was it possible to conceal from them, that the person of the sovereign, the authority of the senate, the public treasure, and the seat of empire, were all in their hands. To divert the Prætorian bands from these dangerous reflections, the firmest and best established princes were obliged to mix blandishments with commands, rewards with punishments, to flatter their pride, indulge their pleasures, connive at their irregularities, and to purchase their precarious faith by a liberal donative; which, since the elevation of Claudius, was enacted as a legal claim, on the accession of every new emperor.

    The advocate of the guards endeavored to justify by arguments the power which they asserted by arms; and to maintain that, according to the purest principles of the constitution, their consent was essentially necessary in the appointment of an emperor. The election of consuls, of generals, and of magistrates, however it had been recently usurped by the senate, was the ancient and undoubted right of the Roman people. But where was the Roman people to be found? Not surely amongst the mixed multitude of slaves and strangers that filled the streets of Rome; a servile populace, as devoid of spirit as destitute of property. The defenders of the state, selected from the flower of the Italian youth, and trained in the exercise of arms and virtue, were the genuine representatives of the people, and the best entitled to elect the military chief of the republic. These assertions, however defective in reason, became unanswerable when the fierce Prætorians increased their weight, by throwing, like the barbarian conqueror of Rome, their swords into the scale.

    The Prætorians had violated the sanctity of the throne by the atrocious murder of Pertinax; they dishonored the majesty of it by their subsequent conduct. The camp was without a leader, for even the præfect Lætus, who had excited the tempest, prudently declined the public indignation. Amidst the wild disorder, Sulpicianus, the emperor’s father-in-law, and governor of the city, who had been sent to the camp on the first alarm of mutiny, was endeavoring to calm the fury of the multitude, when he was silenced by the clamorous return of the murderers, bearing on a lance the head of Pertinax. Though history has accustomed us to observe every principle and every passion yielding to the imperious dictates of ambition, it is scarcely credible that, in these moments of horror, Sulpicianus should have aspired to ascend a throne polluted with the recent blood of so near a relation and so excellent a prince. He had already begun to use the only effectual argument, and to treat for the Imperial dignity; but the more prudent of the Prætorians, apprehensive that, in this private contract, they should not obtain a just price for so valuable a commodity, ran out upon the ramparts; and, with a loud voice, proclaimed that the Roman world was to be disposed of to the best bidder by public auction.

    This infamous offer, the most insolent excess of military license, diffused a universal grief, shame, and indignation throughout the city. It reached at length the ears of Didius Julianus, a wealthy senator, who, regardless of the public calamities, was indulging himself in the luxury of the table. His wife and his daughter, his freedmen and his parasites, easily convinced him that he deserved the throne, and earnestly conjured him to embrace so fortunate an opportunity. The vain old man hastened to the Prætorian camp, where Sulpicianus was still in treaty with the guards, and began to bid against him from the foot of the rampart. The unworthy negotiation was transacted by faithful emissaries, who passed alternately from one candidate to the other, and acquainted each of them with the offers of his rival. Sulpicianus had already promised a donative of five thousand drachms (above one hundred and sixty pounds) to each soldier; when Julian, eager for the prize, rose at once to the sum of six thousand two hundred and fifty drachms, or upwards of two hundred pounds sterling. The gates of the camp were instantly thrown open to the purchaser; he was declared emperor, and received an oath of allegiance from the soldiers, who retained humanity enough to stipulate that he should pardon and forget the competition of Sulpicianus. *

    It was now incumbent on the Prætorians to fulfil the conditions of the sale. They placed their new sovereign, whom they served and despised, in the centre of their ranks, surrounded him on every side with their shields, and conducted him in close order of battle through the deserted streets of the city. The senate was commanded to assemble; and those who had been the distinguished friends of Pertinax, or the personal enemies of Julian, found it necessary to affect a more than common share of satisfaction at this happy revolution. After Julian had filled the senate house with armed soldiers, he expatiated on the freedom of his election, his own eminent virtues, and his full assurance of the affections of the senate. The obsequious assembly congratulated their own and the public felicity; engaged their allegiance, and conferred on him all the several branches of the Imperial power. From the senate Julian was conducted, by the same military procession, to take possession of the palace. The first objects that struck his eyes, were the abandoned trunk of Pertinax, and the frugal entertainment prepared for his supper. The one he viewed with indifference, the other with contempt. A magnificent feast was prepared by his order, and he amused himself, till a very late hour, with dice, and the performances of Pylades, a celebrated dancer. Yet it was observed, that after the crowd of flatterers dispersed, and left him to darkness, solitude, and terrible reflection, he passed a sleepless night; revolving most probably in his mind his own rash folly, the fate of his virtuous predecessor, and the doubtful and dangerous tenure of an empire which had not been acquired by merit, but purchased by money.

    He had reason to tremble. On the throne of the world he found himself without a friend, and even without an adherent. The guards themselves were ashamed of the prince whom their avarice had persuaded them to accept; nor was there a citizen who did not consider his elevation with horror, as the last insult on the Roman name. The nobility, whose conspicuous station, and ample possessions, exacted the strictest caution, dissembled their sentiments, and met the affected civility of the emperor with smiles of complacency and professions of duty. But the people, secure in their numbers and obscurity, gave a free vent to their passions. The streets and public places of Rome resounded with clamors and imprecations. The enraged multitude affronted the person of Julian, rejected his liberality, and, conscious of the impotence of their own resentment, they called aloud on the legions of the frontiers to assert the violated majesty of the Roman empire.

    The public discontent was soon diffused from the centre to the frontiers of the empire. The armies of Britain, of Syria, and of Illyricum, lamented the death of Pertinax, in whose company, or under whose command, they had so often fought and conquered. They received with surprise, with indignation, and perhaps with envy, the extraordinary intelligence, that the Prætorians had disposed of the empire by public auction; and they sternly refused to ratify the ignominious bargain. Their immediate and unanimous revolt was fatal to Julian, but it was fatal at the same time to the public peace, as the generals of the respective armies, Clodius Albinus, Pescennius Niger, and Septimius Severus, were still more anxious to succeed than to revenge the murdered Pertinax. Their forces were exactly balanced. Each of them was at the head of three legions, with a numerous train of auxiliaries; and however different in their characters, they were all soldiers of experience and capacity.

    Clodius Albinus, governor of Britain, surpassed both his competitors in the nobility of his extraction, which he derived from some of the most illustrious names of the old republic. But the branch from which he claimed his descent was sunk into mean circumstances, and transplanted into a remote province. It is difficult to form a just idea of his true character. Under the philosophic cloak of austerity, he stands accused of concealing most of the vices which degrade human nature.

    But his accusers are those venal writers who adored the fortune of Severus, and trampled on the ashes of an unsuccessful rival. Virtue, or the appearances of virtue, recommended Albinus to the confidence and good opinion of Marcus; and his preserving with the son the same interest which he had acquired with the father, is a proof at least that he was possessed of a very flexible disposition. The favor of a tyrant does not always suppose a want of merit in the object of it; he may, without intending it, reward a man of worth and ability, or he may find such a man useful to his own service. It does not appear that Albinus served the son of Marcus, either as the minister of his cruelties, or even as the associate of his pleasures. He was employed in a distant honorable command, when he received a confidential letter from the emperor, acquainting him of the treasonable designs of some discontented generals, and authorizing him to declare himself the guardian and successor of the throne, by assuming the title and ensigns of Cæsar. The governor of Britain wisely declined the dangerous honor, which would have marked him for the jealousy, or involved him in the approaching ruin, of Commodus. He courted power by nobler, or, at least, by more specious arts. On a premature report of the death of the emperor, he assembled his troops; and, in an eloquent discourse, deplored the inevitable mischiefs of despotism, described the happiness and glory which their ancestors had enjoyed under the consular government, and declared his firm resolution to reinstate the senate and people in their legal authority. This popular harangue was answered by the loud acclamations of the British legions, and received at Rome with a secret murmur of applause. Safe in the possession of his little world, and in the command of an army less distinguished indeed for discipline than for numbers and valor, Albinus braved the menaces of Commodus, maintained towards Pertinax a stately ambiguous reserve, and instantly declared against the usurpation of Julian. The convulsions of the capital added new weight to his sentiments, or rather to his professions of patriotism. A regard to decency induced him to decline the lofty titles of Augustus and Emperor; and he imitated perhaps the example of Galba, who, on a similar occasion, had styled himself the Lieutenant of the senate and people.

    Personal merit alone had raised Pescennius Niger, from an obscure birth and station, to the government of Syria; a lucrative and important command, which in times of civil confusion gave him a near prospect of the throne. Yet his parts seem to have been better suited to the second than to the first rank; he was an unequal rival, though he might have approved himself an excellent lieutenant, to Severus, who afterwards displayed the greatness of his mind by adopting several useful institutions from a vanquished enemy. In his government Niger acquired the esteem of the soldiers and the love of the provincials. His rigid discipline foritfied the valor and confirmed the obedience of the former, whilst the voluptuous Syrians were less delighted with the mild firmness of his administration, than with the affability of his manners, and the apparent pleasure with which he attended their frequent and pompous festivals. As soon as the intelligence of the atrocious murder of Pertinax had reached Antioch, the wishes of Asia invited Niger to assume the Imperial purple and revenge his death. The legions of the eastern frontier embraced his cause; the opulent but unarmed provinces, from the frontiers of Æthiopia to the Hadriatic, cheerfully submitted to his power; and the kings beyond the Tigris and the Euphrates congratulated his election, and offered him their homage and services. The mind of Niger was not capable of receiving this sudden tide of fortune: he flattered himself that his accession would be undisturbed by competition and unstained by civil blood; and whilst he enjoyed the vain pomp of triumph, he neglected to secure the means of victory. Instead of entering into an effectual negotiation with the powerful armies of the West, whose resolution might decide, or at least must balance, the mighty contest; instead of advancing without delay towards Rome and Italy, where his presence was impatiently expected, Niger trifled away in the luxury of Antioch those irretrievable moments which were diligently improved by the decisive activity of Severus.

    The country of Pannonia and Dalmatia, which occupied the space between the Danube and the Hadriatic, was one of the last and most difficult conquests of the Romans. In the defence of national freedom, two hundred thousand of these barbarians had once appeared in the field, alarmed the declining age of Augustus, and exercised the vigilant prudence of Tiberius at the head of the collected force of the empire. The Pannonians yielded at length to the arms and institutions of Rome. Their recent subjection, however, the neighborhood, and even the mixture, of the unconquered tribes, and perhaps the climate, adapted, as it has been observed, to the production of great bodies and slow minds, all contributed to preserve some remains of their original ferocity, and under the tame and uniform countenance of Roman provincials, the hardy features of the natives were still to be discerned. Their warlike youth afforded an inexhaustible supply of recruits to the legions stationed on the banks of the Danube, and which, from a perpetual warfare against the Germans and Sarmazans, were deservedly esteemed the best troops in the service.

    The Pannonian army was at this time commanded by Septimius Severus, a native of Africa, who, in the gradual ascent of private honors, had concealed his daring ambition, which was never diverted from its steady course by the allurements of pleasure, the apprehension of danger, or the feelings of humanity. On the first news of the murder of Pertinax, he assembled his troops, painted in the most lively colors the crime, the insolence, and the weakness of the Prætorian guards, and animated the legions to arms and to revenge. He concluded (and the peroration was thought extremely eloquent) with promising every soldier about four hundred pounds; an honorable donative, double in value to the infamous bribe with which Julian had purchased the empire. The acclamations of the army immediately saluted Severus with the names of Augustus, Pertinax, and Emperor; and he thus attained the lofty station to which he was invited, by conscious merit and a long train of dreams and omens, the fruitful offsprings either of his superstition or policy.

    The new candidate for empire saw and improved the peculiar advantage of his situation. His province extended to the Julian Alps, which gave an easy access into Italy; and he remembered the saying of Augustus, That a Pannonian army might in ten days appear in sight of Rome. By a celerity proportioned to the greatness of the occasion, he might reasonably hope to revenge Pertinax, punish Julian, and receive the homage of the senate and people, as their lawful emperor, before his competitors, separated from Italy by an immense tract of sea and land, were apprised of his success, or even of his election. During the whole expedition, he scarcely allowed himself any moments for sleep or food; marching on foot, and in complete armor, at the head of his columns, he insinuated himself into the confidence and affection of his troops, pressed their diligence, revived their spirits, animated their hopes, and was well satisfied to share the hardships of the meanest soldier, whilst he kept in view the infinite superiority of his reward.

    The wretched Julian had expected, and thought himself prepared, to dispute the empire with the governor of Syria; but in the invincible and rapid approach of the Pannonian legions, he saw his inevitable ruin. The hasty arrival of every messenger increased his just apprehensions. He was successively informed, that Severus had passed the Alps; that the Italian cities, unwilling or unable to oppose his progress, had received him with the warmest professions of joy and duty; that the important place of Ravenna had surrendered without resistance, and that the Hadriatic fleet was in the hands of the conqueror. The enemy was now within two hundred and fifty miles of Rome; and every moment diminished the narrow span of life and empire allotted to Julian.

    He attempted, however, to prevent, or at least to protract, his ruin. He implored the venal faith of the Prætorians, filled the city with unavailing preparations for war, drew lines round the suburbs, and even strengthened the fortifications of the palace; as if those last intrenchments could be defended, without hope of relief, against a victorious invader. Fear and shame prevented the guards from deserting his standard; but they trembled at the name of the Pannonian legions, commanded by an experienced general, and accustomed to vanquish the barbarians on the frozen Danube. They quitted, with a sigh, the pleasures of the baths and theatres, to put on arms, whose use they had almost forgotten, and beneath the weight of which they were oppressed. The unpractised elephants, whose uncouth appearance, it was hoped, would strike terror into the army of the north, threw their unskilful riders; and the awkward evolutions of the marines, drawn from the fleet of Misenum, were an object of ridicule to the populace; whilst the senate enjoyed, with secret pleasure, the distress and weakness of the usurper.

    Every motion of Julian betrayed his trembling perplexity. He insisted that Severus should be declared a public enemy by the senate. He entreated that the Pannonian general might be associated to the empire. He sent public ambassadors of consular rank to negotiate with his rival; he despatched private assassins to take away his life. He designed that the Vestal virgins, and all the colleges of priests, in their sacerdotal habits, and bearing before them the sacred pledges of the Roman religion, should advance in solemn procession to meet the Pannonian legions; and, at the same time, he vainly tried to interrogate, or to appease, the fates, by magic ceremonies and unlawful sacrifices.

    Chapter V: Sale Of The Empire To Didius Julianus.

    Part II.

    Severus, who dreaded neither his arms nor his enchantments, guarded himself from the only danger of secret conspiracy, by the faithful attendance of six hundred chosen men, who never quitted his person or their cuirasses, either by night or by day, during the whole march. Advancing with a steady and rapid course, he passed, without difficulty, the defiles of the Apennine, received into his party the troops and ambassadors sent to retard his progress, and made a short halt at Interamnia, about seventy miles from Rome. His victory was already secure, but the despair of the Prætorians might have rendered it bloody; and Severus had the laudable ambition of ascending the throne without drawing the sword. His emissaries, dispersed in the capital, assured the guards, that provided they would abandon their worthless prince, and the perpetrators of the murder of Pertinax, to the justice of the conqueror, he would no longer consider that melancholy event as the act of the whole body. The faithless Prætorians, whose resistance was supported only by sullen obstinacy, gladly complied with the easy conditions, seized the greatest part of the assassins, and signified to the senate, that they no longer defended the cause of Julian. That assembly, convoked by the consul, unanimously acknowledged Severus as lawful emperor, decreed divine honors to Pertinax, and pronounced a sentence of deposition and death against his unfortunate successor. Julian was conducted into a private apartment of the baths of the palace, and beheaded as a common criminal, after having purchased, with an immense treasure, an anxious and precarious reign of only sixty-six days. The almost incredible expedition of Severus, who, in so short a space of time, conducted a numerous army from the banks of the Danube to those of the Tyber, proves at once the plenty of provisions produced by agriculture and commerce, the goodness of the roads, the discipline of the legions, and the indolent, subdued temper of the provinces.

    The first cares of Severus were bestowed on two measures the one dictated by policy, the other by decency; the revenge, and the honors, due to the memory of Pertinax. Before the new emperor entered Rome, he issued his commands to the Prætorian guards, directing them to wait his arrival on a large plain near the city, without arms, but in the habits of ceremony, in which they were accustomed to attend their sovereign. He was obeyed by those haughty troops, whose contrition was the effect of their just terrors. A chosen part of the Illyrian army encompassed them with levelled spears. Incapable of flight or resistance, they expected their fate in silent consternation. Severus mounted the tribunal, sternly reproached them with perfidy and cowardice, dismissed them with ignominy from the trust which they had betrayed, despoiled them of their splendid ornaments, and banished them, on pain of death, to the distance of a hundred miles from the capital. During the transaction, another detachment had been sent to seize their arms, occupy their camp, and prevent the hasty consequences of their despair.

    The funeral and consecration of Pertinax was next solemnized with every circumstance of sad magnificence. The senate, with a melancholy pleasure, performed the last rites to that excellent prince, whom they had loved, and still regretted. The concern of his successor was probably less sincere; he esteemed the virtues of Pertinax, but those virtues would forever have confined his ambition to a private station. Severus pronounced his funeral oration with studied eloquence, inward satisfaction, and well-acted sorrow; and by this pious regard to his memory, convinced the credulous multitude, that he alone was worthy to supply his place. Sensible, however, that arms, not ceremonies, must assert his claim to the empire, he left Rome at the end of thirty days, and without suffering himself to be elated by this easy victory, prepared to encounter his more formidable rivals.

    The uncommon abilities and fortune of Severus have induced an elegant historian to compare him with the first and greatest of the Cæsars. The parallel is, at least, imperfect. Where shall we find, in the character of Severus, the commanding superiority of soul, the generous clemency, and the various genius, which could reconcile and unite the love of pleasure, the thirst of knowledge, and the fire of ambition? In one instance only, they may be compared, with some degree of propriety, in the celerity of their motions, and their civil victories. In less than four years, Severus subdued the riches of the East, and the valor of the West. He vanquished two competitors of reputation and ability, and defeated numerous armies, provided with weapons and discipline equal to his own. In that age, the art of fortification, and the principles of tactics, were well understood by all the Roman generals; and the constant superiority of Severus was that of an artist, who uses the same instruments with more skill and industry than his rivals. I shall not, however, enter into a minute narrative of these military operations; but as the two civil wars against Niger and against Albinus were almost the same in their conduct, event, and consequences, I shall collect into one point of view the most striking circumstances, tending to develop the character of the conqueror and the state of the empire.

    Falsehood and insincerity, unsuitable as they seem to the dignity of public transactions, offend us with a less degrading idea of meanness, than when they are found in the intercourse of private life. In the latter, they discover a want of courage; in the other, only a defect of power: and, as it is impossible for the most able statesmen to subdue millions of followers and enemies by their own personal strength, the world, under the name of policy, seems to have granted them a very liberal indulgence of craft and dissimulation. Yet the arts of Severus cannot be justified by the most ample privileges of state reason. He promised only to betray, he flattered only to ruin; and however he might occasionally bind himself by oaths and treaties, his conscience, obsequious to his interest, always released him from the inconvenient obligation.

    If his two competitors, reconciled by their common danger, had advanced upon him without delay, perhaps Severus would have sunk under their united effort. Had they even attacked him, at the same time, with separate views and separate armies, the contest might have been long and doubtful. But they fell, singly and successively, an easy prey to the arts as well as arms of their subtle enemy, lulled into security by the moderation of his professions, and overwhelmed by the rapidity of his action. He first marched against Niger, whose reputation and power he the most dreaded: but he declined any hostile declarations, suppressed the name of his antagonist, and only signified to the senate and people his intention of regulating the eastern provinces. In private, he spoke of Niger, his old friend and intended successor, with the most affectionate regard, and highly applauded his generous design of revenging the murder of Pertinax. To punish the vile usurper of the throne, was the duty of every Roman general. To persevere in arms, and to resist a lawful emperor, acknowledged by the senate, would alone render him criminal. The sons of Niger had fallen into his hands among the children of the provincial governors, detained at Rome as pledges for the loyalty of their parents. As long as the power of Niger inspired terror, or even respect, they were educated with the most tender care, with the children of Severus himself; but they were soon involved in their father’s ruin, and removed first by exile, and afterwards by death, from the eye of public compassion.

    Whilst Severus was engaged in his eastern war, he had reason to apprehend that the governor of Britain might pass the sea and the Alps, occupy the vacant seat of empire, and oppose his return with the authority of the senate and the forces of the West. The ambiguous conduct of Albinus, in not assuming the Imperial title, left room for negotiation. Forgetting, at once, his professions of patriotism, and the jealousy of sovereign power, he accepted the precarious rank of Cæsar, as a reward for his fatal neutrality. Till the first contest was decided, Severus treated the man, whom he had doomed to destruction, with every mark of esteem and regard. Even in the letter, in which he announced his victory over Niger, he styles Albinus the brother of his soul and empire, sends him the affectionate salutations of his wife Julia, and his young family, and entreats him to preserve the armies and the republic faithful to their common interest. The messengers charged with this letter were instructed to accost the Cæsar with respect, to desire a private audience, and to plunge their daggers into his heart. The conspiracy was discovered, and the too credulous Albinus, at length, passed over to the continent, and prepared for an unequal contest with his rival, who rushed upon him at the head of a veteran and victorious army.

    The military labors of Severus seem inadequate to the importance of his conquests. Two engagements, * the one near the Hellespont, the other in the narrow defiles of Cilicia, decided the fate of his Syrian competitor; and the troops of Europe asserted their usual ascendant over the effeminate natives of Asia. The battle of Lyons, where one hundred and fifty thousand Romans were engaged, was equally fatal to Albinus. The valor of the British army maintained, indeed, a sharp and doubtful contest, with the hardy discipline of the Illyrian legions. The fame and person of Severus appeared, during a few moments, irrecoverably lost, till that warlike prince rallied his fainting troops, and led them on to a decisive victory. The war was finished by that memorable day.

    The civil wars of modern Europe have been distinguished, not only by the fierce animosity, but likewise by the obstinate perseverance, of the contending factions. They have generally been justified by some principle, or, at least, colored by some pretext, of religion, freedom, or loyalty. The leaders were nobles of independent property and hereditary influence. The troops fought like men interested in the decision of the quarrel; and as military spirit and party zeal were strongly diffused throughout the whole community, a vanquished chief was immediately supplied with new adherents, eager to shed their blood in the same cause. But the Romans, after the fall of the republic, combated only for the choice of masters. Under the standard of a popular candidate for empire, a few enlisted from affection, some from fear, many from interest, none from principle. The legions, uninflamed by party zeal, were allured into civil war by liberal donatives, and still more liberal promises. A defeat, by disabling the chief from the performance of his engagements, dissolved the mercenary allegiance of his followers, and left them to consult their own safety by a timely desertion of an unsuccessful cause. It was of little moment to the provinces, under whose name they were oppressed or governed; they were driven by the impulsion of the present power, and as soon as that power yielded to a superior force, they hastened to implore the clemency of the conqueror, who, as he had an immense debt to discharge, was obliged to sacrifice the most guilty countries to the avarice of his soldiers. In the vast extent of the Roman empire, there were few fortified cities capable of protecting a routed army; nor was there any person, or family, or order of men, whose natural interest, unsupported by the powers of government, was capable of restoring the cause of a sinking party.

    Yet, in the contest between Niger and Severus, a single city deserves an honorable exception. As Byzantium was one of the greatest passages from Europe into Asia, it had been provided with a strong garrison, and a fleet of five hundred vessels was anchored in the harbor. The impetuosity of Severus disappointed this prudent scheme of defence; he left to his generals the siege of Byzantium, forced the less guarded passage of the Hellespont, and, impatient of a meaner enemy, pressed forward to encounter his rival. Byzantium, attacked by a numerous and increasing army, and afterwards by the whole naval power of the empire, sustained a siege of three years, and remained faithful to the name and memory of Niger. The citizens and soldiers (we know not from what cause) were animated with equal fury; several of the principal officers of Niger, who despaired of, or who disdained, a pardon, had thrown themselves into this last refuge: the fortifications were esteemed impregnable, and, in the defence of the place, a celebrated engineer displayed all the mechanic powers known to the ancients. Byzantium, at length, surrendered to famine. The magistrates and soldiers were put to the sword, the walls demolished, the privileges suppressed, and the destined capital of the East subsisted only as an open village, subject to the insulting jurisdiction of Perinthus. The historian Dion, who had admired the flourishing, and lamented the desolate, state of Byzantium, accused the revenge of Severus, for depriving the Roman people of the strongest bulwark against the barbarians of Pontus and Asia The truth of this observation was but too well justified in the succeeding age, when the Gothic fleets covered the Euxine, and passed through the undefined Bosphorus into the centre of the Mediterranean.

    Both Niger and Albinus were discovered and put to death in their flight from the field of battle. Their fate excited neither surprise nor compassion. They had staked their lives against the chance of empire, and suffered what they would have inflicted; nor did Severus claim the arrogant superiority of suffering his rivals to live in a private station. But his unforgiving temper, stimulated by avarice, indulged a spirit of revenge, where there was no room for apprehension. The most considerable of the provincials, who, without any dislike to the fortunate candidate, had obeyed the governor under whose authority they were accidentally placed, were punished by death, exile, and especially by the confiscation of their estates. Many cities of the East were stripped of their ancient honors, and obliged to pay, into the treasury of Severus, four times the amount of the sums contributed by them for the service of Niger.

    Till the final decision of the war, the cruelty of Severus was, in some measure, restrained by the uncertainty of the event, and his pretended reverence for the senate. The head of Albinus, accompanied with a menacing letter, announced to the Romans that he was resolved to spare none of the adherents of his unfortunate competitors. He was irritated by the just suspicion that he had never possessed the affections of the senate, and he concealed his old malevolence under the recent discovery of some treasonable correspondences. Thirty-five senators, however, accused of having favored the party of Albinus, he freely pardoned, and, by his subsequent behavior, endeavored to convince them, that he had forgotten, as well as forgiven, their supposed offences. But, at the same time, he condemned forty-one other senators, whose names history has recorded; their wives, children, and clients attended them in death, * and the noblest provincials of Spain and Gaul were involved in the same ruin. Such rigid justice — for so he termed it — was, in the opinion of Severus, the only conduct capable of insuring peace to the people or stability to the prince; and he condescended slightly to lament, that to be mild, it was necessary that he should first be cruel.

    The true interest of an absolute monarch generally coincides with that of his people. Their numbers, their wealth, their order, and their security, are the best and only foundations of his real greatness; and were he totally devoid of virtue, prudence might supply its place, and would dictate the same rule of conduct. Severus considered the Roman empire as his property, and had no sooner secured the possession, than he bestowed his care on the cultivation and improvement of so valuable an acquisition. Salutary laws, executed with inflexible firmness, soon corrected most of the abuses with which, since the death of Marcus, every part of the government had been infected. In the administration of justice, the judgments of the emperor were characterized by attention, discernment, and impartiality; and whenever he deviated from the strict line of equity, it was generally in favor of the poor and oppressed; not so much indeed from any sense of humanity, as from the natural propensity of a despot to humble the pride of greatness, and to sink all his subjects to the same common level of absolute dependence. His expensive taste for building, magnificent shows, and above all a constant and liberal distribution of corn and provisions, were the surest means of captivating the affection of the Roman people. The misfortunes of civil discord were obliterated. The clam of peace and prosperity was once more experienced in the provinces; and many cities, restored by the munificence of Severus, assumed the title of his colonies, and attested by public monuments their gratitude and felicity. The fame of the Roman arms was revived by that warlike and successful emperor, and he boasted, with a just pride, that, having received the empire oppressed with foreign and domestic wars, he left it established in profound, universal, and honorable peace.

    Although the wounds of civil war appeared completely healed, its mortal poison still lurked in the vitals of the constitution. Severus possessed a considerable share of vigor and ability; but the daring soul of the first Cæsar, or the deep policy of Augustus, were scarcely equal to the task of curbing the insolence of the victorious legions. By gratitude, by misguided policy, by seeming necessity, Severus was reduced to relax the nerves of discipline. The vanity of his soldiers was flattered with the honor of wearing gold rings their ease was indulged in the permission of living with their wives in the idleness of quarters. He increased their pay beyond the example of former times, and taught them to expect, and soon to claim, extraordinary donatives on every public occasion of danger or festivity. Elated by success, enervated by luxury, and raised above the level of subjects by their dangerous privileges, they soon became incapable of military fatigue, oppressive to the country, and impatient of a just subordination. Their officers asserted the superiority of rank by a more profuse and elegant luxury. There is still extant a letter of Severus, lamenting the licentious stage of the army, * and exhorting one of his generals to begin the necessary reformation from the tribunes themselves; since, as he justly observes, the officer who has forfeited the esteem, will never command the obedience, of his soldiers. Had the emperor pursued the train of reflection, he would have discovered, that the primary cause of this general corruption might be ascribed, not indeed to the example, but to the pernicious indulgence, however, of the commander-in-chief.

    The Prætorians, who murdered their emperor and sold the empire, had received the just punishment of their treason; but the necessary, though dangerous, institution of guards was soon restored on a new model by Severus, and increased to four times the ancient number. Formerly these troops had been recruited in Italy; and as the adjacent provinces gradually imbibed the softer manners of Rome, the levies were extended to Macedonia, Noricum, and Spain. In the room of these elegant troops, better adapted to the pomp of courts than to the uses of war, it was established by Severus, that from all the legions of the frontiers, the soldiers most distinguished for strength, valor, and fidelity, should be occasionally draughted; and promoted, as an honor and reward, into the more eligible service of the guards. By this new institution, the Italian youth were diverted from the exercise of arms, and the capital was terrified by the strange aspect and manners of a multitude of barbarians. But Severus flattered himself, that the legions would consider these chosen Prætorians as the representatives of the whole military order; and that the present aid of fifty thousand men, superior in arms and appointments to any force that could be brought into the field against them, would forever crush the hopes of rebellion, and secure the empire to himself and his posterity.

    The command of these favored and formidable troops soon became the first office of the empire. As the government degenerated into military despotism, the Prætorian Præfect, who in his origin had been a simple captain of the guards, * was placed not only at the head of the army, but of the finances, and even of the law. In every department of administration, he represented the person, and exercised the authority, of the emperor. The first præfect who enjoyed and abused this immense power was Plautianus, the favorite minister of Severus. His reign lasted above then years, till the marriage of his daughter with the eldest son of the emperor, which seemed to assure his fortune, proved the occasion of his ruin. The animosities of the palace, by irritating the ambition and alarming the fears of Plautianus, threatened to produce a revolution, and obliged the emperor, who still loved him, to consent with reluctance to his death. After the fall of Plautianus, an eminent lawyer, the celebrated Papinian, was appointed to execute the motley office of Prætorian Præfect.

    Till the reign of Severus, the virtue and even the good sense of the emperors had been distinguished by their zeal or affected reverence for the senate, and by a tender regard to the nice frame of civil policy instituted by Augustus. But the youth of Severus had been trained in the implicit obedience of camps, and his riper years spent in the despotism of military command. His haughty and inflexible spirit could’ not discover, or would not acknowledge, the advantage of preserving an intermediate power, however imaginary, between the emperor and the army. He disdained to profess himself the servant of an assembly that detested his person and trembled at his frown; he issued his commands, where his requests would have proved as effectual; assumed the conduct and style of a sovereign and a conqueror, and exercised, without disguise, the whole legislative, as well as the executive power.

    The victory over the senate was easy and inglorious. Every eye and every passion were directed to the supreme magistrate, who possessed the arms and treasure of the state; whilst the senate, neither elected by the people, nor guarded by military force, nor animated by public spirit, rested its declining authority on the frail and crumbling basis of ancient opinion. The fine theory of a republic insensibly vanished, and made way for the more natural and substantial feelings of monarchy. As the freedom and honors of Rome were successively communicated to the provinces, in which the old government had been either unknown, or was remembered with abhorrence, the tradition of republican maxims was gradually obliterated. The Greek historians of the age of the Antonines observe, with a malicious pleasure, that although the sovereign of Rome, in compliance with an obsolete prejudice, abstained from the name of king, he possessed the full measure of regal power. In the reign of Severus, the senate was filled with polished and eloquent slaves from the eastern provinces, who justified personal flattery by speculative principles of servitude. These new advocates of prerogative were heard with pleasure by the court, and with patience by the people, when they inculcated the duty of passive obedience, and descanted on the inevitable mischiefs of freedom. The lawyers and historians concurred in teaching, that the Imperial authority was held, not by the delegated commission, but by the irrevocable resignation of the senate; that the emperor was freed from the restraint of civil laws, could command by his arbitrary will the lives and fortunes of his subjects, and might dispose of the empire as of his private patrimony. The most eminent of the civil lawyers, and particularly Papinian, Paulus, and Ulpian, flourished under the house of Severus; and the Roman jurisprudence, having closely united itself with the system of monarchy, was supposed to have attained its full majority and perfection.

    The contemporaries of Severus in the enjoyment of the peace and glory of his reign, forgave the cruelties by which it had been introduced. Posterity, who experienced the fatal effects of his maxims and example, justly considered him as the principal author of the decline of the Roman empire.

    Chapter VI: Death Of Severus, Tyranny Of Caracalla, Usurpation Of Marcinus.

    Part I. The Death Of Severus. — Tyranny Of Caracalla. — Usurpation Of Macrinus. — Follies Of Elagabalus. — Virtues Of Alexander Severus. — Licentiousness Of The Army. — General State Of The Roman Finances.

    The ascent to greatness, however steep and dangerous, may entertain an active spirit with the consciousness and exercise of its own powers: but the possession of a throne could never yet afford a lasting satisfaction to an ambitious mind. This melancholy truth was felt and acknowledged by Severus. Fortune and merit had, from an humble station, elevated him to the first place among mankind. “He had been all things,” as he said himself, “and all was of little value” Distracted with the care, not of acquiring, but of preserving an empire, oppressed with age and infirmities, careless of fame, and satiated with power, all his prospects of life were closed. The desire of perpetuating the greatness of his family was the only remaining wish of his ambition and paternal tenderness.

    Like most of the Africans, Severus was passionately addicted to the vain studies of magic and divination, deeply versed in the interpretation of dreams and omens, and perfectly acquainted with the science of judicial astrology; which, in almost every age except the present, has maintained its dominion over the mind of man. He had lost his first wife, while he was governor of the Lionnese Gaul. In the choice of a second, he sought only to connect himself with some favorite of fortune; and as soon as he had discovered that the young lady of Emesa in Syria had a royal nativity, he solicited and obtained her hand. Julia Domna (for that was her name) deserved all that the stars could promise her. She possessed, even in advanced age, the attractions of beauty, and united to a lively imagination a firmness of mind, and strength of judgment, seldom bestowed on her sex. Her amiable qualities never made any deep impression on the dark and jealous temper of her husband; but in her son’s reign, she administered the principal affairs of the empire, with a prudence that supported his authority, and with a moderation that sometimes corrected his wild extravagancies. Julia applied herself to letters and philosophy, with some success, and with the most splendid reputation. She was the patroness of every art, and the friend of every man of genius. The grateful flattery of the learned has celebrated her virtues; but, if we may credit the scandal of ancient history, chastity was very far from being the most conspicuous virtue of the empress Julia.

    Two sons, Caracalla and Geta, were the fruit of this marriage, and the destined heirs of the empire. The fond hopes of the father, and of the Roman world, were soon disappointed by these vain youths, who displayed the indolent security of hereditary princes; and a presumption that fortune would supply the place of merit and application. Without any emulation of virtue or talents, they discovered, almost from their infancy, a fixed and implacable antipathy for each other.

    Their aversion, confirmed by years, and fomented by the arts of their interested favorites, broke out in childish, and gradually in more serious competitions; and, at length, divided the theatre, the circus, and the court, into two factions, actuated by the hopes and fears of their respective leaders. The prudent emperor endeavored, by every expedient of advice and authority, to allay this growing animosity. The unhappy discord of his sons clouded all his prospects, and threatened to overturn a throne raised with so much labor, cemented with so much blood, and guarded with every defence of arms and treasure. With an impartial hand he maintained between them an exact balance of favor, conferred on both the rank of Augustus, with the revered name of Antoninus; and for the first time the Roman world beheld three emperors. Yet even this equal conduct served only to inflame the contest, whilst the fierce Caracalla asserted the right of primogeniture, and the milder Geta courted the affections of the people and the soldiers. In the anguish of a disappointed father, Severus foretold that the weaker of his sons would fall a sacrifice to the stronger; who, in his turn, would be ruined by his own vices.

    In these circumstances the intelligence of a war in Britain, and of an invasion of the province by the barbarians of the North, was received with pleasure by Severus. Though the vigilance of his lieutenants might have been sufficient to repel the distant enemy, he resolved to embrace the honorable pretext of withdrawing his sons from the luxury of Rome, which enervated their minds and irritated their passions; and of inuring their youth to the toils of war and government. Notwithstanding his advanced age, (for he was above threescore,) and his gout, which obliged him to be carried in a litter, he transported himself in person into that remote island, attended by his two sons, his whole court, and a formidable army. He immediately passed the walls of Hadrian and Antoninus, and entered the enemy’s country, with a design of completing the long attempted conquest of Britain. He penetrated to the northern extremity of the island, without meeting an enemy. But the concealed ambuscades of the Caledonians, who hung unseen on the rear and flanks of his army, the coldness of the climate and the severity of a winter march across the hills and morasses of Scotland, are reported to have cost the Romans above fifty thousand men. The Caledonians at length yielded to the powerful and obstinate attack, sued for peace, and surrendered a part of their arms, and a large tract of territory. But their apparent submission lasted no longer than the present terror. As soon as the Roman legions had retired, they resumed their hostile independence. Their restless spirit provoked Severus to send a new army into Caledonia, with the most bloody orders, not to subdue, but to extirpate the natives. They were saved by the death of their haughty enemy.

    This Caledonian war, neither marked by decisive events, nor attended with any important consequences, would ill deserve our attention; but it is supposed, not without a considerable degree of probability, that the invasion of Severus is connected with the most shining period of the British history or fable. Fingal, whose fame, with that of his heroes and bards, has been revived in our language by a recent publication, is said to have commanded the Caledonians in that memorable juncture, to have eluded the power of Severus, and to have obtained a signal victory on the banks of the Carun, in which the son of the King of the World, Caracul, fled from his arms along the fields of his pride. Something of a doubtful mist still hangs over these Highland traditions; nor can it be entirely dispelled by the most ingenious researches of modern criticism; but if we could, with safety, indulge the pleasing supposition, that Fingal lived, and that Ossian sung, the striking contrast of the situation and manners of the contending nations might amuse a philosophic mind. The parallel would be little to the advantage of the more civilized people, if we compared the unrelenting revenge of Severus with the generous clemency of Fingal; the timid and brutal cruelty of Caracalla with the bravery, the tenderness, the elegant genius of Ossian; the mercenary chiefs, who, from motives of fear or interest, served under the imperial standard, with the free-born warriors who started to arms at the voice of the king of Morven; if, in a word, we contemplated the untutored Caledonians, glowing with the warm virtues of nature, and the degenerate Romans, polluted with the mean vices of wealth and slavery.

    The declining health and last illness of Severus inflamed the wild ambition and black passions of Caracalla’s soul. Impatient of any delay or division of empire, he attempted, more than once, to shorten the small remainder of his father’s days, and endeavored, but without success, to excite a mutiny among the troops. The old emperor had often censured the misguided lenity of Marcus, who, by a single act of justice, might have saved the Romans from the tyranny of his worthless son. Placed in the same situation, he experienced how easily the rigor of a judge dissolves away in the tenderness of a parent. He deliberated, he threatened, but he could not punish; and this last and only instance of mercy was more fatal to the empire than a long series of cruelty. The disorder of his mind irritated the pains of his body; he wished impatiently for death, and hastened the instant of it by his impatience. He expired at York in the sixty-fifth year of his life, and in the eighteenth of a glorious and successful reign. In his last moments he recommended concord to his sons, and his sons to the army. The salutary advice never reached the heart, or even the understanding, of the impetuous youths; but the more obedient troops, mindful of their oath of allegiance, and of the authority of their deceased master, resisted the solicitations of Caracalla, and proclaimed both brothers emperors of Rome. The new princes soon left the Caledonians in peace, returned to the capital, celebrated their father’s funeral with divine honors, and were cheerfully acknowledged as lawful sovereigns, by the senate, the people, and the provinces. Some preeminence of rank seems to have been allowed to the elder brother; but they both administered the empire with equal and independent power.

    Such a divided form of government would have proved a source of discord between the most affectionate brothers. It was impossible that it could long subsist between two implacable enemies, who neither desired nor could trust a reconciliation. It was visible that one only could reign, and that the other must fall; and each of them, judging of his rival’s designs by his own, guarded his life with the most jealous vigilance from the repeated attacks of poison or the sword. Their rapid journey through Gaul and Italy, during which they never ate at the same table, or slept in the same house, displayed to the provinces the odious spectacle of fraternal discord. On their arrival at Rome, they immediately divided the vast extent of the imperial palace. No communication was allowed between their apartments; the doors and passages were diligently fortified, and guards posted and relieved with the same strictness as in a besieged place. The emperors met only in public, in the presence of their afflicted mother; and each surrounded by a numerous train of armed followers. Even on these occasions of ceremony, the dissimulation of courts could ill disguise the rancor of their hearts.

    This latent civil war already distracted the whole government, when a scheme was suggested that seemed of mutual benefit to the hostile brothers. It was proposed, that since it was impossible to reconcile their minds, they should separate their interest, and divide the empire between them. The conditions of the treaty were already drawn with some accuracy. It was agreed that Caracalla, as the elder brother should remain in possession of Europe and the western Africa; and that he should relinquish the sovereignty of Asia and Egypt to Geta, who might fix his residence at Alexandria or Antioch, cities little inferior to Rome itself in wealth and greatness; that numerous armies should be constantly encamped on either side of the Thracian Bosphorus, to guard the frontiers of the rival monarchies; and that the senators of European extraction should acknowledge the sovereign of Rome, whilst the natives of Asia followed the emperor of the East. The tears of the empress Julia interrupted the negotiation, the first idea of which had filled every Roman breast with surprise and indignation. The mighty mass of conquest was so intimately united by the hand of time and policy, that it required the most forcible violence to rend it asunder. The Romans had reason to dread, that the disjointed members would soon be reduced by a civil war under the dominion of one master; but if the separation was permanent, the division of the provinces must terminate in the dissolution of an empire whose unity had hitherto remained inviolate.

    Had the treaty been carried into execution, the sovereign of Europe might soon have been the conqueror of Asia; but Caracalla obtained an easier, though a more guilty, victory. He artfully listened to his mother’s entreaties, and consented to meet his brother in her apartment, on terms of peace and reconciliation. In the midst of their conversation, some centurions, who had contrived to conceal themselves, rushed with drawn swords upon the unfortunate Geta. His distracted mother strove to protect him in her arms; but, in the unavailing struggle, she was wounded in the hand, and covered with the blood of her younger son, while she saw the elder animating and assisting the fury of the assassins. As soon as the deed was perpetrated, Caracalla, with hasty steps, and horror in his countenance, ran towards the Prætorian camp, as his only refuge, and threw himself on the ground before the statues of the tutelar deities. The soldiers attempted to raise and comfort him. In broken and disordered words he informed them of his imminent danger, and fortunate escape; insinuating that he had prevented the designs of his enemy, and declared his resolution to live and die with his faithful troops. Geta had been the favorite of the soldiers; but complaint was useless, revenge was dangerous, and they still reverenced the son of Severus. Their discontent died away in idle murmurs, and Caracalla soon convinced them of the justice of his cause, by distributing in one lavish donative the accumulated treasures of his father’s reign. The real sentiments of the soldiers alone were of importance to his power or safety. Their declaration in his favor commanded the dutiful professions of the senate. The obsequious assembly was always prepared to ratify the decision of fortune; * but as Caracalla wished to assuage the first emotions of public indignation, the name of Geta was mentioned with decency, and he received the funeral honors of a Roman emperor. Posterity, in pity to his misfortune, has cast a veil over his vices. We consider that young prince as the innocent victim of his brother’s ambition, without recollecting that he himself wanted power, rather than inclination, to consummate the same attempts of revenge and murder.

    The crime went not unpunished. Neither business, nor pleasure, nor flattery, could defend Caracalla from the stings of a guilty conscience; and he confessed, in the anguish of a tortured mind, that his disordered fancy often beheld the angry forms of his father and his brother rising into life, to threaten and upbraid him. The consciousness of his crime should have induced him to convince mankind, by the virtues of his reign, that the bloody deed had been the involuntary effect of fatal necessity. But the repentance of Caracalla only prompted him to remove from the world whatever could remind him of his guilt, or recall the memory of his murdered brother. On his return from the senate to the palace, he found his mother in the company of several noble matrons, weeping over the untimely fate of her younger son. The jealous emperor threatened them with instant death; the sentence was executed against Fadilla, the last remaining daughter of the emperor Marcus; * and even the afflicted Julia was obliged to silence her lamentations, to suppress her sighs, and to receive the assassin with smiles of joy and approbation. It was computed that, under the vague appellation of the friends of Geta, above twenty thousand persons of both sexes suffered death. His guards and freedmen, the ministers of his serious business, and the companions of his looser hours, those who by his interest had been promoted to any commands in the army or provinces, with the long connected chain of their dependants, were included in the proscription; which endeavored to reach every one who had maintained the smallest correspondence with Geta, who lamented his death, or who even mentioned his name. Helvius Pertinax, son to the prince of that name, lost his life by an unseasonable witticism. It was a sufficient crime of Thrasea Priscus to be descended from a family in which the love of liberty seemed an hereditary quality. The particular causes of calumny and suspicion were at length exhausted; and when a senator was accused of being a secret enemy to the government, the emperor was satisfied with the general proof that he was a man of property and virtue. From this well-grounded principle he frequently drew the most bloody inferences.

    Chapter VI: Death Of Severus, Tyranny Of Caracalla, Usurpation Of Marcinus.

    Part II.

    The execution of so many innocent citizens was bewailed by the secret tears of their friends and families. The death of Papinian, the Prætorian Præfect, was lamented as a public calamity. During the last seven years of Severus, he had exercised the most important offices of the state, and, by his salutary influence, guided the emperor’s steps in the paths of justice and moderation. In full assurance of his virtue and abilities, Severus, on his death-bed, had conjured him to watch over the prosperity and union of the Imperial family. The honest labors of Papinian served only to inflame the hatred which Caracalla had already conceived against his father’s minister. After the murder of Geta, the Præfect was commanded to exert the powers of his skill and eloquence in a studied apology for that atrocious deed. The philosophic Seneca had condescended to compose a similar epistle to the senate, in the name of the son and assassin of Agrippina. “That it was easier to commit than to justify a parricide,” was the glorious reply of Papinian; who did not hesitate between the loss of life and that of honor. Such intrepid virtue, which had escaped pure and unsullied from the intrigues courts, the habits of business, and the arts of his profession, reflects more lustre on the memory of Papinian, than all his great employments, his numerous writings, and the superior reputation as a lawyer, which he has preserved through every age of the Roman jurisprudence.

    It had hitherto been the peculiar felicity of the Romans, and in the worst of times the consolation, that the virtue of the emperors was active, and their vice indolent. Augustus, Trajan, Hadrian, and Marcus visited their extensive dominions in person, and their progress was marked by acts of wisdom and beneficence. The tyranny of Tiberius, Nero, and Domitian, who resided almost constantly at Rome, or in the adjacent was confined to the senatorial and equestrian orders. But Caracalla was the common enemy of mankind. He left capital (and he never returned to it) about a year after the murder of Geta. The rest of his reign was spent in the several provinces of the empire, particularly those of the East, and province was by turns the scene of his rapine and cruelty. The senators, compelled by fear to attend his capricious motions, were obliged to provide daily entertainments at an immense expense, which he abandoned with contempt to his guards; and to erect, in every city, magnificent palaces and theatres, which he either disdained to visit, or ordered immediately thrown down. The most wealthy families ruined by partial fines and confiscations, and the great body of his subjects oppressed by ingenious and aggravated taxes. In the midst of peace, and upon the slightest provocation, he issued his commands, at Alexandria, in Egypt for a general massacre. From a secure post in the temple of Serapis, he viewed and directed the slaughter of many thousand citizens, as well as strangers, without distinguishing the number or the crime of the sufferers; since as he coolly informed the senate, allthe Alexandrians, those who perished, and those who had escaped, were alike guilty.

    The wise instructions of Severus never made any lasting impression on the mind of his son, who, although not destitute of imagination and eloquence, was equally devoid of judgment and humanity. One dangerous maxim, worthy of a tyrant, was remembered and abused by Caracalla. “To secure the affections of the army, and to esteem the rest of his subjects as of little moment.” But the liberality of the father had been restrained by prudence, and his indulgence to the troops was tempered by firmness and authority. The careless profusion of the son was the policy of one reign, and the inevitable ruin both of the army and of the empire. The vigor of the soldiers, instead of being confirmed by the severe discipline of camps, melted away in the luxury of cities. The excessive increase of their pay and donatives exhausted the state to enrich the military order, whose modesty in peace, and service in war, is best secured by an honorable poverty. The demeanor of Caracalla was haughty and full of pride; but with the troops he forgot even the proper dignity of his rank, encouraged their insolent familiarity, and, neglecting the essential duties of a general, affected to imitate the dress and manners of a common soldier.

    It was impossible that such a character, and such conduct as that of Caracalla, could inspire either love or esteem; but as long as his vices were beneficial to the armies, he was secure from the danger of rebellion. A secret conspiracy, provoked by his own jealousy, was fatal to the tyrant. The Prætorian pr æfecture was divided between two ministers. The military department was intrusted to Adventus, an experienced rather than able soldier; and the civil affairs were transacted by Opilius Macrinus, who, by his dexterity in business, had raised himself, with a fair character, to that high office. But his favor varied with the caprice of the emperor, and his life might depend on the slightest suspicion, or the most casual circumstance. Malice or fanaticism had suggested to an African, deeply skilled in the knowledge of futurity, a very dangerous prediction, that Macrinus and his son were destined to reign over the empire. The report was soon diffused through the province; and when the man was sent in chains to Rome, he still asserted, in the presence of the præfect of the city, the faith of his prophecy. That magistrate, who had received the most pressing instructions to inform himself of the successors of Caracalla, immediately communicated the examination of the African to the Imperial court, which at that time resided in Syria. But, notwithstanding the diligence of the public messengers, a friend of Macrinus found means to apprise him of the approaching danger. The emperor received the letters from Rome; and as he was then engaged in the conduct of a chariot race, he delivered them unopened to the Prætorian Præfect, directing him to despatch the ordinary affairs, and to report the more important business that might be contained in them. Macrinus read his fate, and resolved to prevent it. He inflamed the discontents of some inferior officers, and employed the hand of Martialis, a desperate soldier, who had been refused the rank of centurion. The devotion of Caracalla prompted him to make a pilgrimage from Edessa to the celebrated temple of the Moon at Carrhæ. * He was attended by a body of cavalry: but having stopped on the road for some necessary occasion, his guards preserved a respectful distance, and Martialis, approaching his person under a presence of duty, stabbed him with a dagger. The bold assassin was instantly killed by a Scythian archer of the Imperial guard. Such was the end of a monster whose life disgraced human nature, and whose reign accused the patience of the Romans. The grateful soldiers forgot his vices, remembered only his partial liberality, and obliged the senate to prostitute their own dignity and that of religion, by granting him a place among the gods. Whilst he was upon earth, Alexander the Great was the only hero whom this god deemed worthy his admiration. He assumed the name and ensigns of Alexander, formed a Macedonian phalanx of guards, persecuted the disciples of Aristotle, and displayed, with a puerile enthusiasm, the only sentiment by which he discovered any regard for virtue or glory. We can easily conceive, that after the battle of Narva, and the conquest of Poland, Charles XII. (though he still wanted the more elegant accomplishments of the son of Philip) might boast of having rivalled his valor and magnanimity; but in no one action of his life did Caracalla express the faintest resemblance of the Macedonian hero, except in the murder of a great number of his own and of his father’s friends.

    After the extinction of the house of Severus, the Roman world remained three days without a master. The choice of the army (for the authority of a distant and feeble senate was little regarded) hung in anxious suspense, as no candidate presented himself whose distinguished birth and merit could engage their attachment and unite their suffrages. The decisive weight of the Prætorian guards elevated the hopes of their præfects, and these powerful ministers began to assert their legal claim to fill the vacancy of the Imperial throne. Adventus, however, the senior præfect, conscious of his age and infirmities, of his small reputation, and his smaller abilities, resigned the dangerous honor to the crafty ambition of his colleague Macrinus, whose well-dissembled grief removed all suspicion of his being accessary to his master’s death. The troops neither loved nor esteemed his character. They cast their eyes around in search of a competitor, and at last yielded with reluctance to his promises of unbounded liberality and indulgence. A short time after his accession, he conferred on his son Diadumenianus, at the age of only ten years, the Imperial title, and the popular name of Antoninus. The beautiful figure of the youth, assisted by an additional donative, for which the ceremony furnished a pretext, might attract, it was hoped, the favor of the army, and secure the doubtful throne of Macrinus.

    The authority of the new sovereign had been ratified by the cheerful submission of the senate and provinces. They exulted in their unexpected deliverance from a hated tyrant, and it seemed of little consequence to examine into the virtues of the successor of Caracalla. But as soon as the first transports of joy and surprise had subsided, they began to scrutinize the merits of Macrinus with a critical severity, and to arraign the nasty choice of the army. It had hitherto been considered as a fundamental maxim of the constitution, that the emperor must be always chosen in the senate, and the sovereign power, no longer exercised by the whole body, was always delegated to one of its members. But Macrinus was not a senator. The sudden elevation of the Prætorian præfects betrayed the meanness of their origin; and the equestrian order was still in possession of that great office, which commanded with arbitrary sway the lives and fortunes of the senate. A murmur of indignation was heard, that a man, whose obscure extraction had never been illustrated by any signal service, should dare to invest himself with the purple, instead of bestowing it on some distinguished senator, equal in birth and dignity to the splendor of the Imperial station. As soon as the character of Macrinus was surveyed by the sharp eye of discontent, some vices, and many defects, were easily discovered. The choice of his ministers was in many instances justly censured, and the dissatisfied people, with their usual candor, accused at once his indolent tameness and his excessive severity.

    His rash ambition had climbed a height where it was difficult to stand with firmness, and impossible to fall without instant destruction. Trained in the arts of courts and the forms of civil business, he trembled in the presence of the fierce and undisciplined multitude, over whom he had assumed the command; his military talents were despised, and his personal courage suspected; a whisper that circulated in the camp, disclosed the fatal secret of the conspiracy against the late emperor, aggravated the guilt of murder by the baseness of hypocrisy, and heightened contempt by detestation. To alienate the soldiers, and to provoke inevitable ruin, the character of a reformer was only wanting; and such was the peculiar hardship of his fate, that Macrinus was compelled to exercise that invidious office. The prodigality of Caracalla had left behind it a long train of ruin and disorder; and if that worthless tyrant had been capable of reflecting on the sure consequences of his own conduct, he would perhaps have enjoyed the dark prospect of the distress and calamities which he bequeathed to his successors.

    In the management of this necessary reformation, Macrinus proceeded with a cautious prudence, which would have restored health and vigor to the Roman army in an easy and almost imperceptible manner. To the soldiers already engaged in the service, he was constrained to leave the dangerous privileges and extravagant pay given by Caracalla; but the new recruits were received on the more moderate though liberal establishment of Severus, and gradually formed to modesty and obedience. One fatal error destroyed the salutary effects of this judicious plan. The numerous army, assembled in the East by the late emperor, instead of being immediately dispersed by Macrinus through the several provinces, was suffered to remain united in Syria, during the winter that followed his elevation. In the luxurious idleness of their quarters, the troops viewed their strength and numbers, communicated their complaints, and revolved in their minds the advantages of another revolution. The veterans, instead of being flattered by the advantageous distinction, were alarmed by the first steps of the emperor, which they considered as the presage of his future intentions. The recruits, with sullen reluctance, entered on a service, whose labors were increased while its rewards were diminished by a covetous and unwarlike sovereign. The murmurs of the army swelled with impunity into seditious clamors; and the partial mutinies betrayed a spirit of discontent and disaffection that waited only for the slightest occasion to break out on every side into a general rebellion. To minds thus disposed, the occasion soon presented itself.

    The empress Julia had experienced all the vicissitudes of fortune. From an humble station she had been raised to greatness, only to taste the superior bitterness of an exalted rank. She was doomed to weep over the death of one of her sons, and over the life of the other. The cruel fate of Caracalla, though her good sense must have long taught her to expect it, awakened the feelings of a mother and of an empress. Notwithstanding the respectful civility expressed by the usurper towards the widow of Severus, she descended with a painful struggle into the condition of a subject, and soon withdrew herself, by a voluntary death, from the anxious and humiliating dependence. * Julia Mæsa, her sister, was ordered to leave the court and Antioch. She retired to Emesa with an immense fortune, the fruit of twenty years’ favor accompanied by her two daughters, Soæmias and Mamæ, each of whom was a widow, and each had an only son. Bassianus, for that was the name of the son of Soæmias, was consecrated to the honorable ministry of high priest of the Sun; and this holy vocation, embraced either from prudence or superstition, contributed to raise the Syrian youth to the empire of Rome. A numerous body of troops was stationed at Emesa; and as the severe discipline of Macrinus had constrained them to pass the winter encamped, they were eager to revenge the cruelty of such unaccustomed hardships. The soldiers, who resorted in crowds to the temple of the Sun, beheld with veneration and delight the elegant dress and figure of the young pontiff; they recognized, or they thought that they recognized, the features of Caracalla, whose memory they now adored. The artful Mæsa saw and cherished their rising partiality, and readily sacrificing her daughter’s reputation to the fortune of her grandson, she insinuated that Bassianus was the natural son of their murdered sovereign. The sums distributed by her emissaries with a lavish hand silenced every objection, and the profusion sufficiently proved the affinity, or at least the resemblance, of Bassianus with the great original. The young Antoninus (for he had assumed and polluted that respectable name) was declared emperor by the troops of Emesa, asserted his hereditary right, and called aloud on the armies to follow the standard of a young and liberal prince, who had taken up arms to revenge his father’s death and the oppression of the military order.

    Whilst a conspiracy of women and eunuchs was concerted with prudence, and conducted with rapid vigor, Macrinus, who, by a decisive motion, might have crushed his infant enemy, floated between the opposite extremes of terror and security, which alike fixed him inactive at Antioch. A spirit of rebellion diffused itself through all the camps and garrisons of Syria, successive detachments murdered their officers, and joined the party of the rebels; and the tardy restitution of military pay and privileges was imputed to the acknowledged weakness of Macrinus. At length he marched out of Antioch, to meet the increasing and zealous army of the young pretender. His own troops seemed to take the field with faintness and reluctance; but, in the heat of the battle, the Prætorian guards, almost by an involuntary impulse, asserted the superiority of their valor and discipline. The rebel ranks were broken; when the mother and grandmother of the Syrian prince, who, according to their eastern custom, had attended the army, threw themselves from their covered chariots, and, by exciting the compassion of the soldiers, endeavored to animate their drooping courage. Antoninus himself, who, in the rest of his life, never acted like a man, in this important crisis of his fate, approved himself a hero, mounted his horse, and, at the head of his rallied troops, charged sword in hand among the thickest of the enemy; whilst the eunuch Gannys, * whose occupations had been confined to female cares and the soft luxury of Asia, displayed the talents of an able and experienced general. The battle still raged with doubtful violence, and Macrinus might have obtained the victory, had he not betrayed his own cause by a shameful and precipitate flight. His cowardice served only to protract his life a few days, and to stamp deserved ignominy on his misfortunes. It is scarcely necessary to add, that his son Diadumenianus was involved in the same fate. As soon as the stubborn Prætorians could be convinced that they fought for a prince who had basely deserted them, they surrendered to the conqueror: the contending parties of the Roman army, mingling tears of joy and tenderness, united under the banners of the imagined son of Caracalla, and the East acknowledged with pleasure the first emperor of Asiatic extraction.

    The letters of Macrinus had condescended to inform the senate of the slight disturbance occasioned by an impostor in Syria, and a decree immediately passed, declaring the rebel and his family public enemies; with a promise of pardon, however, to such of his deluded adherents as should merit it by an immediate return to their duty. During the twenty days that elapsed from the declaration of the victory of Antoninus, (for in so short an interval was the fate of the Roman world decided,) the capital and the provinces, more especially those of the East, were distracted with hopes and fears, agitated with tumult, and stained with a useless effusion of civil blood, since whosoever of the rivals prevailed in Syria must reign over the empire. The specious letters in which the young conqueror announced his victory to the obedient senate were filled with professions of virtue and moderation; the shining examples of Marcus and Augustus, he should ever consider as the great rule of his administration; and he affected to dwell with pride on the striking resemblance of his own age and fortunes with those of Augustus, who in the earliest youth had revenged, by a successful war, the murder of his father. By adopting the style of Marcus Aurelius Antoninus, son of Antoninus and grandson of Severus, he tacitly asserted his hereditary claim to the empire; but, by assuming the tribunitian and proconsular powers before they had been conferred on him by a decree of the senate, he offended the delicacy of Roman prejudice. This new and injudicious violation of the constitution was probably dictated either by the ignorance of his Syrian courtiers, or the fierce disdain of his military followers.

    As the attention of the new emperor was diverted by the most trifling amusements, he wasted many months in his luxurious progress from Syria to Italy, passed at Nicomedia his first winter after his victory, and deferred till the ensuing summer his triumphal entry into the capital. A faithful picture, however, which preceded his arrival, and was placed by his immediate order over the altar of Victory in the senate house, conveyed to the Romans the just but unworthy resemblance of his person and manners. He was drawn in his sacerdotal robes of silk and gold, after the loose flowing fashion of the Medes and Phnicians; his head was covered with a lofty tiara, his numerous collars and bracelets were adorned with gems of an inestimable value. His eyebrows were tinged with black, and his cheeks painted with an artificial red and white. The grave senators confessed with a sigh, that, after having long experienced the stern tyranny of their own countrymen, Rome was at length humbled beneath the effeminate luxury of Oriental despotism.

    The Sun was worshipped at Emesa, under the name of Elagabalus, and under the form of a black conical stone, which, as it was universally believed, had fallen from heaven on that sacred place. To this protecting deity, Antoninus, not without some reason, ascribed his elevation to the throne. The display of superstitious gratitude was the only serious business of his reign. The triumph of the god of Emesa over all the religions of the earth, was the great object of his zeal and vanity; and the appellation of Elagabalus (for he presumed as pontiff and favorite to adopt that sacred name) was dearer to him than all the titles of Imperial greatness. In a solemn procession through the streets of Rome, the way was strewed with gold dust; the black stone, set in precious gems, was placed on a chariot drawn by six milk-white horses richly caparisoned. The pious emperor held the reins, and, supported by his ministers, moved slowly backwards, that he might perpetually enjoy the felicity of the divine presence. In a magnificent temple raised on the Palatine Mount, the sacrifices of the god Elagabalus were celebrated with every circumstance of cost and solemnity. The richest wines, the most extraordinary victims, and the rarest aromatics, were profusely consumed on his altar. Around the altar, a chorus of Syrian damsels performed their lascivious dances to the sound of barbarian music, whilst the gravest personages of the state and army, clothed in long Phnician tunics, officiated in the meanest functions, with affected zeal and secret indignation.

    Chapter VI: Death Of Severus, Tyranny Of Caracalla, Usurpation Of Marcinus.

    Part III.

    To this temple, as to the common centre of religious worship, the Imperial fanatic attempted to remove the Ancilia, the Palladium, and all the sacred pledges of the faith of Numa. A crowd of inferior deities attended in various stations the majesty of the god of Emesa; but his court was still imperfect, till a female of distinguished rank was admitted to his bed. Pallas had been first chosen for his consort; but as it was dreaded lest her warlike terrors might affright the soft delicacy of a Syrian deity, the Moon, adorned by the Africans under the name of Astarte, was deemed a more suitable companion for the Sun. Her image, with the rich offerings of her temple as a marriage portion, was transported with solemn pomp from Carthage to Rome, and the day of these mystic nuptials was a general festival in the capital and throughout the empire.

    A rational voluptuary adheres with invariable respect to the temperate dictates of nature, and improves the gratifications of sense by social intercourse, endearing connections, and the soft coloring of taste and the imagination. But Elagabalus, (I speak of the emperor of that name,) corrupted by his youth, his country, and his fortune, abandoned himself to the grossest pleasures with ungoverned fury, and soon found disgust and satiety in the midst of his enjoyments. The inflammatory powers of art were summoned to his aid: the confused multitude of women, of wines, and of dishes, and the studied variety of attitude and sauces, served to revive his languid appetites. New terms and new inventions in these sciences, the only ones cultivated and patronized by the monarch, signalized his reign, and transmitted his infamy to succeeding times. A capricious prodigality supplied the want of taste and elegance; and whilst Elagabalus lavished away the treasures of his people in the wildest extravagance, his own voice and that of his flatterers applauded a spirit of magnificence unknown to the tameness of his predecessors. To confound the order of seasons and climates, to sport with the passions and prejudices of his subjects, and to subvert every law of nature and decency, were in the number of his most delicious amusements. A long train of concubines, and a rapid succession of wives, among whom was a vestal virgin, ravished by force from her sacred asylum, were insufficient to satisfy the impotence of his passions. The master of the Roman world affected to copy the dress and manners of the female sex, preferred the distaff to the sceptre, and dishonored the principal dignities of the empire by distributing them among his numerous lovers; one of whom was publicly invested with the title and authority of the emperor’s, or, as he more properly styled himself, of the empress’s husband.

    It may seem probable, the vices and follies of Elagabalus have been adorned by fancy, and blackened by prejudice. Yet, confining ourselves to the public scenes displayed before the Roman people, and attested by grave and contemporary historians, their inexpressible infamy surpasses that of any other age or country. The license of an eastern monarch is secluded from the eye of curiosity by the inaccessible walls of his seraglio. The sentiments of honor and gallantry have introduced a refinement of pleasure, a regard for decency, and a respect for the public opinion, into the modern courts of Europe; * but the corrupt and opulent nobles of Rome gratified every vice that could be collected from the mighty conflux of nations and manners. Secure of impunity, careless of censure, they lived without restraint in the patient and humble society of their slaves and parasites. The emperor, in his turn, viewing every rank of his subjects with the same contemptuous indifference, asserted without control his sovereign privilege of lust and luxury.

    The most worthless of mankind are not afraid to condemn in others the same disorders which they allow in themselves; and can readily discover some nice difference of age, character, or station, to justify the partial distinction. The licentious soldiers, who had raised to the throne the dissolute son of Caracalla, blushed at their ignominious choice, and turned with disgust from that monster, to contemplate with pleasure the opening virtues of his cousin Alexander, the son of Mamæa. The crafty Mæsa, sensible that her grandson Elagabalus must inevitably destroy himself by his own vices, had provided another and surer support of her family. Embracing a favorable moment of fondness and devotion, she had persuaded the young emperor to adopt Alexander, and to invest him with the title of Cæsar, that his own divine occupations might be no longer interrupted by the care of the earth. In the second rank that amiable prince soon acquired the affections of the public, and excited the tyrant’s jealousy, who resolved to terminate the dangerous competition, either by corrupting the manners, or by taking away the life, of his rival. His arts proved unsuccessful; his vain designs were constantly discovered by his own loquacious folly, and disappointed by those virtuous and faithful servants whom the prudence of Mamæa had placed about the person of her son. In a hasty sally of passion, Elagabalus resolved to execute by force what he had been unable to compass by fraud, and by a despotic sentence degraded his cousin from the rank and honors of Cæsar. The message was received in the senate with silence, and in the camp with fury. The Prætorian guards swore to protect Alexander, and to revenge the dishonored majesty of the throne. The tears and promises of the trembling Elagabalus, who only begged them to spare his life, and to leave him in the possession of his beloved Hierocles, diverted their just indignation; and they contented themselves with empowering their præfects to watch over the safety of Alexander, and the conduct of the emperor.

    It was impossible that such a reconciliation should last, or that even the mean soul of Elagabalus could hold an empire on such humiliating terms of dependence. He soon attempted, by a dangerous experiment, to try the temper of the soldiers. The report of the death of Alexander, and the natural suspicion that he had been murdered, inflamed their passions into fury, and the tempest of the camp could only be appeased by the presence and authority of the popular youth. Provoked at this new instance of their affection for his cousin, and their contempt for his person, the emperor ventured to punish some of the leaders of the mutiny. His unseasonable severity proved instantly fatal to his minions, his mother, and himself.

    Elagabalus was massacred by the indignant Prætorians, his mutilated corpse dragged through the streets of the city, and thrown into the Tiber. His memory was branded with eternal infamy by the senate; the justice of whose decree has been ratified by posterity.

    [See Island In The Tiber: Elagabalus was thrown into the Tiber]?

    In the room of Elagabalus, his cousin Alexander was raised to the throne by the Prætorian guards. His relation to the family of Severus, whose name he assumed, was the same as that of his predecessor; his virtue and his danger had already endeared him to the Romans, and the eager liberality of the senate conferred upon him, in one day, the various titles and powers of the Imperial dignity. But as Alexander was a modest and dutiful youth, of only seventeen years of age, the reins of government were in the hands of two women, of his mother, Mamæa, and of Mæsa, his grandmother. After the death of the latter, who survived but a short time the elevation of Alexander, Mamæa remained the sole regent of her son and of the empire.

    In every age and country, the wiser, or at least the stronger, of the two sexes, has usurped the powers of the state, and confined the other to the cares and pleasures of domestic life. In hereditary monarchies, however, and especially in those of modern Europe, the gallant spirit of chivalry, and the law of succession, have accustomed us to allow a singular exception; and a woman is often acknowledged the absolute sovereign of a great kingdom, in which she would be deemed incapable of exercising the smallest employment, civil or military. But as the Roman emperors were still considered as the generals and magistrates of the republic, their wives and mothers, although distinguished by the name of Augusta were never associated to their personal honors; and a female reign would have appeared an inexpiable prodigy in the eyes of those primitive Romans, who married without love, or loved without delicacy and respect. The haughty Agripina aspired, indeed, to share the honors of the empire which she had conferred on her son; but her mad ambition, detested by every citizen who felt for the dignity of Rome, was disappointed by the artful firmness of Seneca and Burrhus. The good sense, or the indifference, of succeeding princes, restrained them from offending the prejudices of their subjects; and it was reserved for the profligate Elagabalus to discharge the acts of the senate with the name of his mother Soæmias, who was placed by the side of the consuls, and subscribed, as a regular member, the decrees of the legislative assembly. Her more prudent sister, Mamæa, declined the useless and odious prerogative, and a solemn law was enacted, excluding women forever from the senate, and devoting to the infernal gods the head of the wretch by whom this sanction should be violated. The substance, not the pageantry, of power. was the object of Mamæa’s manly ambition. She maintained an absolute and lasting empire over the mind of her son, and in his affection the mother could not brook a rival. Alexander, with her consent, married the daughter of a patrician; but his respect for his father-in-law, and love for the empress, were inconsistent with the tenderness of interest of Mamæa. The patrician was executed on the ready accusation of treason, and the wife of Alexander driven with ignominy from the palace, and banished into Africa.

    Notwithstanding this act of jealous cruelty, as well as some instances of avarice, with which Mamæa is charged, the general tenor of her administration was equally for the benefit of her son and of the empire. With the approbation of the senate, she chose sixteen of the wisest and most virtuous senators as a perpetual council of state, before whom every public business of moment was debated and determined. The celebrated Ulpian, equally distinguished by his knowledge of, and his respect for, the laws of Rome, was at their head; and the prudent firmness of this aristocracy restored order and authority to the government. As soon as they had purged the city from foreign superstition and luxury, the remains of the capricious tyranny of Elagabalus, they applied themselves to remove his worthless creatures from every department of the public administration, and to supply their places with men of virtue and ability. Learning, and the love of justice, became the only recommendations for civil offices; valor, and the love of discipline, the only qualifications for military employments.

    But the most important care of Mamæa and her wise counsellors, was to form the character of the young emperor, on whose personal qualities the happiness or misery of the Roman world must ultimately depend. The fortunate soil assisted, and even prevented, the hand of cultivation. An excellent understanding soon convinced Alexander of the advantages of virtue, the pleasure of knowledge, and the necessity of labor. A natural mildness and moderation of temper preserved him from the assaults of passion, and the allurements of vice. His unalterable regard for his mother, and his esteem for the wise Ulpian, guarded his unexperienced youth from the poison of flattery. *

    The simple journal of his ordinary occupations exhibits a pleasing picture of an accomplished emperor, and, with some allowance for the difference of manners, might well deserve the imitation of modern princes. Alexander rose early: the first moments of the day were consecrated to private devotion, and his domestic chapel was filled with the images of those heroes, who, by improving or reforming human life, had deserved the grateful reverence of posterity. But as he deemed the service of mankind the most acceptable worship of the gods, the greatest part of his morning hours was employed in his council, where he discussed public affairs, and determined private causes, with a patience and discretion above his years. The dryness of business was relieved by the charms of literature; and a portion of time was always set apart for his favorite studies of poetry, history, and philosophy. The works of Virgil and Horace, the republics of Plato and Cicero, formed his taste, enlarged his understanding, and gave him the noblest ideas of man and government. The exercises of the body succeeded to those of the mind; and Alexander, who was tall, active, and robust, surpassed most of his equals in the gymnastic arts. Refreshed by the use of the bath and a slight dinner, he resumed, with new vigor, the business of the day; and, till the hour of supper, the principal meal of the Romans, he was attended by his secretaries, with whom he read and answered the multitude of letters, memorials, and petitions, that must have been addressed to the master of the greatest part of the world. His table was served with the most frugal simplicity, and whenever he was at liberty to consult his own inclination, the company consisted of a few select friends, men of learning and virtue, amongst whom Ulpian was constantly invited. Their conversation was familiar and instructive; and the pauses were occasionally enlivened by the recital of some pleasing composition, which supplied the place of the dancers, comedians, and even gladiators, so frequently summoned to the tables of the rich and luxurious Romans. The dress of Alexander was plain and modest, his demeanor courteous and affable: at the proper hours his palace was open to all his subjects, but the voice of a crier was heard, as in the Eleusinian mysteries, pronouncing the same salutary admonition: “Let none enter these holy walls, unless he is conscious of a pure and innocent mind.”

    Such a uniform tenor of life, which left not a moment for vice or folly, is a better proof of the wisdom and justice of Alexander’s government, than all the trifling details preserved in the compilation of Lampridius. Since the accession of Commodus, the Roman world had experienced, during the term of forty years, the successive and various vices of four tyrants. From the death of Elagabalus, it enjoyed an auspicious calm of thirteen years. * The provinces, relieved from the oppressive taxes invented by Caracalla and his pretended son, flourished in peace and prosperity, under the administration of magistrates, who were convinced by experience that to deserve the love of the subjects, was their best and only method of obtaining the favor of their sovereign.

    While some gentle restraints were imposed on the innocent luxury of the Roman people, the price of provisions and the interest of money, were reduced by the paternal care of Alexander, whose prudent liberality, without distressing the industrious, supplied the wants and amusements of the populace. The dignity, the freedom, the authority of the senate was restored; and every virtuous senator might approach the person of the emperor without a fear and without a blush.

    The name of Antoninus, ennobled by the virtues of Pius and Marcus, had been communicated by adoption to the dissolute Verus, and by descent to the cruel Commodus. It became the honorable appellation of the sons of Severus, was bestowed on young Diadumenianus, and at length prostituted to the infamy of the high priest of Emesa. Alexander, though pressed by the studied, and, perhaps, sincere importunity of the senate, nobly refused the borrowed lustre of a name; whilst in his whole conduct he labored to restore the glories and felicity of the age of the genuine Antonines.

    In the civil administration of Alexander, wisdom was enforced by power, and the people, sensible of the public felicity, repaid their benefactor with their love and gratitude. There still remained a greater, a more necessary, but a more difficult enterprise; the reformation of the military order, whose interest and temper, confirmed by long impunity, rendered them impatient of the restraints of discipline, and careless of the blessings of public tranquillity. In the execution of his design, the emperor affected to display his love, and to conceal his fear of the army. The most rigid economy in every other branch of the administration supplied a fund of gold and silver for the ordinary pay and the extraordinary rewards of the troops. In their marches he relaxed the severe obligation of carrying seventeen days’ provision on their shoulders. Ample magazines were formed along the public roads, and as soon as they entered the enemy’s country, a numerous train of mules and camels waited on their haughty laziness. As Alexander despaired of correcting the luxury of his soldiers, he attempted, at least, to direct it to objects of martial pomp and ornament, fine horses, splendid armor, and shields enriched with silver and gold. He shared whatever fatigues he was obliged to impose, visited, in person, the sick and wounded, preserved an exact register of their services and his own gratitude, and expressed on every occasion, the warmest regard for a body of men, whose welfare, as he affected to declare, was so closely connected with that of the state. By the most gentle arts he labored to inspire the fierce multitude with a sense of duty, and to restore at least a faint image of that discipline to which the Romans owed their empire over so many other nations, as warlike and more powerful than themselves. But his prudence was vain, his courage fatal, and the attempt towards a reformation served only to inflame the ills it was meant to cure.

    The Prætorian guards were attached to the youth of Alexander. They loved him as a tender pupil, whom they had saved from a tyrant’s fury, and placed on the Imperial throne. That amiable prince was sensible of the obligation; but as his gratitude was restrained within the limits of reason and justice, they soon were more dissatisfied with the virtues of Alexander, than they had ever been with the vices of Elagabalus. Their præfect, the wise Ulpian, was the friend of the laws and of the people; he was considered as the enemy of the soldiers, and to his pernicious counsels every scheme of reformation was imputed. Some trifling accident blew up their discontent into a furious mutiny; and the civil war raged, during three days, in Rome, whilst the life of that excellent minister was defended by the grateful people. Terrified, at length, by the sight of some houses in flames, and by the threats of a general conflagration, the people yielded with a sigh, and left the virtuous but unfortunate Ulpian to his fate. He was pursued into the Imperial palace, and massacred at the feet of his master, who vainly strove to cover him with the purple, and to obtain his pardon from the inexorable soldiers. * Such was the deplorable weakness of government, that the emperor was unable to revenge his murdered friend and his insulted dignity, without stooping to the arts of patience and dissimulation. Epagathus, the principal leader of the mutiny, was removed from Rome, by the honorable employment of præfect of Egypt: from that high rank he was gently degraded to the government of Crete; and when at length, his popularity among the guards was effaced by time and absence, Alexander ventured to inflict the tardy but deserved punishment of his crimes. Under the reign of a just and virtuous prince, the tyranny of the army threatened with instant death his most faithful ministers, who were suspected of an intention to correct their intolerable disorders. The historian Dion Cassius had commanded the Pannonian legions with the spirit of ancient discipline. Their brethren of Rome, embracing the common cause of military license, demanded the head of the reformer. Alexander, however, instead of yielding to their seditious clamors, showed a just sense of his merit and services, by appointing him his colleague in the consulship, and defraying from his own treasury the expense of that vain dignity: but as was justly apprehended, that if the soldiers beheld him with the ensigns of his office, they would revenge the insult in his blood, the nominal first magistrate of the state retired, by the emperor’s advice, from the city, and spent the greatest part of his consulship at his villas in Campania.

    Chapter VI: Death Of Severus, Tyranny Of Caracalla, Usurpation Of Marcinus.

    Part IV.

    The lenity of the emperor confirmed the insolence of the troops; the legions imitated the example of the guards, and defended their prerogative of licentiousness with the same furious obstinacy. The administration of Alexander was an unavailing struggle against the corruption of his age. In llyricum, in Mauritania, in Armenia, in Mesopotamia, in Germany, fresh mutinies perpetually broke out; his officers were murdered, his authority was insulted, and his life at last sacrificed to the fierce discontents of the army. One particular fact well deserves to be recorded, as it illustrates the manners of the troops, and exhibits a singular instance of their return to a sense of duty and obedience. Whilst the emperor lay at Antioch, in his Persian expedition, the particulars of which we shall hereafter relate, the punishment of some soldiers, who had been discovered in the baths of women, excited a sedition in the legion to which they belonged. Alexander ascended his tribunal, and with a modest firmness represented to the armed multitude the absolute necessity, as well as his inflexible resolution, of correcting the vices introduced by his impure predecessor, and of maintaining the discipline, which could not be relaxed without the ruin of the Roman name and empire. Their clamors interrupted his mild expostulation. “Reserve your shout,” said the undaunted emperor, “till you take the field against the Persians, the Germans, and the Sarmatians. Be silent in the presence of your sovereign and benefactor, who bestows upon you the corn, the clothing, and the money of the provinces. Be silent, or I shall no longer style you solders, but citizens, if those indeed who disclaim the laws of Rome deserve to be ranked among the meanest of the people.” His menaces inflamed the fury of the legion, and their brandished arms already threatened his person. “Your courage,” resumed the intrepid Alexander, “would be more nobly displayed in the field of battle; me you may destroy, you cannot intimidate; and the severe justice of the republic would punish your crime and revenge my death.” The legion still persisted in clamorous sedition, when the emperor pronounced, with a cud voice, the decisive sentence, “Citizens! lay down your arms, and depart in peace to your respective habitations.” The tempest was instantly appeased: the soldiers, filled with grief and shame, silently confessed the justice of their punishment, and the power of discipline, yielded up their arms and military ensigns, and retired in confusion, not to their camp, but to the several inns of the city. Alexander enjoyed, during thirty days, the edifying spectacle of their repentance; nor did he restore them to their former rank in the army, till he had punished with death those tribunes whose connivance had occasioned the mutiny. The grateful legion served the emperor whilst living, and revenged him when dead.

    The resolutions of the multitude generally depend on a moment; and the caprice of passion might equally determine the seditious legion to lay down their arms at the emperor’s feet, or to plunge them into his breast. Perhaps, if this singular transaction had been investigated by the penetration of a philosopher, we should discover the secret causes which on that occasion authorized the boldness of the prince, and commanded the obedience of the troops; and perhaps, if it had been related by a judicious historian, we should find this action, worthy of Cæsar himself, reduced nearer to the level of probability and the common standard of the character of Alexander Severus. The abilities of that amiable prince seem to have been inadequate to the difficulties of his situation, the firmness of his conduct inferior to the purity of his intentions. His virtues, as well as the vices of Elagabalus, contracted a tincture of weakness and effeminacy from the soft climate of Syria, of which he was a native; though he blushed at his foreign origin, and listened with a vain complacency to the flattering genealogists, who derived his race from the ancient stock of Roman nobility. The pride and avarice of his mother cast a shade on the glories of his reign; an by exacting from his riper years the same dutiful obedience which she had justly claimed from his unexperienced youth, Mamæa exposed to public ridicule both her son’s character and her own. The fatigues of the Persian war irritated the military discontent; the unsuccessful event * degraded the reputation of the emperor as a general, and even as a soldier. Every cause prepared, and every circumstance hastened, a revolution, which distracted the Roman empire with a long series of intestine calamities.

    The dissolute tyranny of Commodus, the civil wars occasioned by his death, and the new maxims of policy introduced by the house of Severus, had all contributed to increase the dangerous power of the army, and to obliterate the faint image of laws and liberty that was still impressed on the minds of the Romans. The internal change, which undermined the foundations of the empire, we have endeavored to explain with some degree of order and perspicuity. The personal characters of the emperors, their victories, laws, follies, and fortunes, can interest us no farther than as they are connected with the general history of the Decline and Fall of the monarchy. Our constant attention to that great object will not suffer us to overlook a most important edict of Antoninus Caracalla, which communicated to all the free inhabitants of the empire the name and privileges of Roman citizens. His unbounded liberality flowed not, however, from the sentiments of a generous mind; it was the sordid result of avarice, and will naturally be illustrated by some observations on the finances of that state, from the victorious ages of the commonwealth to the reign of Alexander Severus.

    The siege of Veii in Tuscany, the first considerable enterprise of the Romans, was protracted to the tenth year, much less by the strength of the place than by the unskillfulness of the besiegers. The unaccustomed hardships of so many winter campaigns, at the distance of near twenty miles from home, required more than common encouragements; and the senate wisely prevented the clamors of the people, by the institution of a regular pay for the soldiers, which was levied by a general tribute, assessed according to an equitable proportion on the property of the citizens. During more than two hundred years after the conquest of Veii, the victories of the republic added less to the wealth than to the power of Rome. The states of Italy paid their tribute in military service only, and the vast force, both by sea and land, which was exerted in the Punic wars, was maintained at the expense of the Romans themselves. That high-spirited people (such is often the generous enthusiasm of freedom) cheerfully submitted to the most excessive but voluntary burdens, in the just confidence that they should speedily enjoy the rich harvest of their labors. Their expectations were not disappointed. In the course of a few years, the riches of Syracuse, of Carthage, of Macedonia,

    and of Asia, were brought in triumph to Rome. The treasures of Perseus alone amounted to near two millions sterling, and the Roman people, the sovereign of so many nations, was forever delivered from the weight of taxes. The increasing revenue of the provinces was found sufficient to defray the ordinary establishment of war and government, and the superfluous mass of gold and silver was deposited in the temple of Saturn, and reserved for any unforeseen emergency of the state.

    History has never, perhaps, suffered a greater or more irreparable injury than in the loss of the curious register * bequeathed by Augustus to the senate, in which that experienced prince so accurately balanced the revenues and expenses of the Roman empire. Deprived of this clear and comprehensive estimate, we are reduced to collect a few imperfect hints from such of the ancients as have accidentally turned aside from the splendid to the more useful parts of history. We are informed that, by the conquests of Pompey, the tributes of Asia were raised from fifty to one hundred and thirty-five millions of drachms; or about four millions and a half sterling. Under the last and most indolent of the Ptolemies, the revenue of Egypt is said to have amounted to twelve thousand five hundred talents; a sum equivalent to more than two millions and a half of our money, but which was afterwards considerably improved by the more exact economy of the Romans, and the increase of the trade of Æthiopia and India. Gaul was enriched by rapine, as Egypt was by commerce, and the tributes of those two great provinces have been compared as nearly equal to each other in value. The ten thousand Euboic or Phnician talents, about four millions sterling, which vanquished Carthage was condemned to pay within the term of fifty years, were a slight acknowledgment of the superiority of Rome, and cannot bear the least proportion with the taxes afterwards raised both on the lands and on the persons of the inhabitants, when the fertile coast of Africa was reduced into a province.

    Spain, by a very singular fatality, was the Peru and Mexico of the old world. The discovery of the rich western continent by the Phnicians, and the oppression of the simple natives, who were compelled to labor in their own mines for the benefit of strangers, form an exact type of the more recent history of Spanish America. The Phnicians were acquainted only with the sea-coast of Spain; avarice, as well as ambition, carried the arms of Rome and Carthage into the heart of the country, and almost every part of the soil was found pregnant with copper, silver, and gold. * Mention is made of a mine near Carthagena which yielded every day twenty-five thousand drachmns of silver, or about three hundred thousand pounds a year. Twenty thousand pound weight of gold was annually received from the provinces of Asturia, Gallicia, and Lusitania.

    We want both leisure and materials to pursue this curious inquiry through the many potent states that were annihilated in the Roman empire. Some notion, however, may be formed of the revenue of the provinces where considerable wealth had been deposited by nature, or collected by man, if we observe the severe attention that was directed to the abodes of solitude and sterility. Augustus once received a petition from the inhabitants of Gyarus, humbly praying that they might be relieved from one third of their excessive impositions. Their whole tax amounted indeed to no more than one hundred and fifty drachms, or about five pounds: but Gyarus was a little island, or rather a rock, of the Ægean Sea, destitute of fresh water and every necessary of life, and inhabited only by a few wretched fishermen.

    From the faint glimmerings of such doubtful and scattered lights, we should be inclined to believe, 1st, That (with every fair allowance for the differences of times and circumstances) the general income of the Roman provinces could seldom amount to less than fifteen or twenty millions of our money; and, 2dly, That so ample a revenue must have been fully adequate to all the expenses of the moderate government instituted by Augustus, whose court was the modest family of a private senator, and whose military establishment was calculated for the defence of the frontiers, without any aspiring views of conquest, or any serious apprehension of a foreign invasion.

    Notwithstanding the seeming probability of both these conclusions, the latter of them at least is positively disowned by the language and conduct of Augustus. It is not easy to determine whether, on this occasion, he acted as the common father of the Roman world, or as the oppressor of liberty; whether he wished to relieve the provinces, or to impoverish the senate and the equestrian order. But no sooner had he assumed the reins of government, than he frequently intimated the insufficiency of the tributes, and the necessity of throwing an equitable proportion of the public burden upon Rome and Italy. In the prosecution of this unpopular design, he advanced, however, by cautious and well-weighed steps. The introduction of customs was followed by the establishment of an excise, and the scheme of taxation was completed by an artful assessment on the real and personal property of the Roman citizens, who had been exempted from any kind of contribution above a century and a half.

    1. In a great empire like that of Rome, a natural balance of money must have gradually established itself. It has been already observed, that as the wealth of the provinces was attracted to the capital by the strong hand of conquest and power, so a considerable part of it was restored to the industrious provinces by the gentle influence of commerce and arts. In the reign of Augustus and his successors, duties were imposed on every kind of merchandise, which through a thousand channels flowed to the great centre of opulence and luxury; and in whatsoever manner the law was expressed, it was the Roman purchaser, and not the provincial merchant, who paid the tax. The rate of the customs varied from the eighth to the fortieth part of the value of the commodity; and we have a right to suppose that the variation was directed by

    the unalterable maxims of policy; that a higher duty was fixed on the articles of luxury than on those of necessity, and that the productions raised or manufactured by the labor of the subjects of the empire were treated with more indulgence than was shown to the pernicious, or at least the unpopular commerce of Arabia and India. There is still extant a long but imperfect catalogue of eastern commodities, which about the time of Alexander Severus were subject to the payment of duties; cinnamon, myrrh, pepper, ginger, and the whole tribe of aromatics a great variety of precious stones, among which the diamond was the most remarkable for its price, and the emerald for its beauty;

    Parthian and Babylonian leather, cottons, silks, both raw and manufactured, ebony ivory, and eunuchs. We may observe that the use and value of those effeminate slaves gradually rose with the decline of the empire.

    1. The excise, introduced by Augustus after the civil wars, was extremely moderate, but it was general. It seldom exceeded one per cent.; but it comprehended whatever was sold in the markets or by public auction, from the most considerable purchases of lands and houses, to those minute objects which can only derive a value from their infinite multitude and daily consumption. Such a tax, as it affects the body of the people, has ever been the occasion of clamor and discontent. An emperor well acquainted with the wants and resources of the state was obliged to declare, by a public edict, that the support of the army depended in a great measure on the produce of the excise. 1

    III. When Augustus resolved to establish a permanent military force for the defence of his government against foreign and domestic enemies, he instituted a peculiar treasury for the pay of the soldiers, the rewards of the veterans, and the extra-ordinary expenses of war. The ample revenue of the excise, though peculiarly appropriated to those uses, was found inadequate. To supply the deficiency, the emperor suggested a new tax of five per cent. on all legacies and inheritances. But the nobles of Rome were more tenacious of property than of freedom. Their indignant murmurs were received by Augustus with his usual temper. He candidly referred the whole business to the senate, and exhorted them to provide for the public service by some other expedient of a less odious nature. They were divided and perplexed. He insinuated to them, that their obstinacy would oblige him to propose a general land tax and capitation. They acquiesced in silence. . The new imposition on legacies and inheritances was, however, mitigated by some restrictions. It did not take place unless the object was of a certain value, most probably of fifty or a hundred pieces of gold; nor could it be exacted from the nearest of kin on the father’s side. When the rights of nature and poverty were thus secured, it seemed reasonable, that a stranger, or a distant relation, who acquired an unexpected accession of fortune, should cheerfully resign a twentieth part of it, for the benefit of the state.

    Such a tax, plentiful as it must prove in every wealthy community, was most happily suited to the situation of the Romans, who could frame their arbitrary wills, according to the dictates of reason or caprice, without any restraint from the modern fetters of entails and settlements. From various causes, the partiality of paternal affection often lost its influence over the stern patriots of the commonwealth, and the dissolute nobles of the empire; and if the father bequeathed to his son the fourth part of his estate, he removed all ground of legal complaint. But a rich childish old man was a domestic tyrant, and his power increased with his years and infirmities. A servile crowd, in which he frequently reckoned prætors and consuls, courted his smiles, pampered his avarice, applauded his follies, served his passions, and waited with impatience for his death. The arts of attendance and flattery were formed into a most lucrative science; those who professed it acquired a peculiar appellation; and the whole city, according to the lively descriptions of satire, was divided between two parties, the hunters and their game. Yet, while so many unjust and extravagant wills were every day dictated by cunning and subscribed by folly, a few were the result of rational esteem and virtuous gratitude. Cicero, who had so often defended the lives and fortunes of his fellow-citizens, was rewarded with legacies to the amount of a hundred and seventy thousand pounds; nor do the friends of the younger Pliny seem to have been less generous to that amiable orator. Whatever was the motive of the testator, the treasury claimed, without distinction, the twentieth part of his estate: and in the course of two or three generations, the whole property of the subject must have gradually passed through the coffers of the state.

    In the first and golden years of the reign of Nero, that prince, from a desire of popularity, and perhaps from a blind impulse of benevolence, conceived a wish of abolishing the oppression of the customs and excise. The wisest senators applauded his magnanimity: but they diverted him from the execution of a design which would have dissolved the strength and resources of the republic. Had it indeed been possible to realize this dream of fancy, such princes as Trajan and the Antonines would surely have embraced with ardor the glorious opportunity of conferring so signal an obligation on mankind. Satisfied, however, with alleviating the public burden, they attempted not to remove it. The mildness and precision of their laws ascertained the rule and measure of taxation, and protected the subject of every rank against arbitrary interpretations, antiquated claims, and the insolent vexation of the farmers of the revenue. For it is somewhat singular, that, in every age, the best and wisest of the Roman governors persevered in this pernicious method of collecting the principal branches at least of the excise and customs.

    The sentiments, and, indeed, the situation, of Caracalla were very different from those of the Antonines. Inattentive, or rather averse, to the welfare of his people, he found himself under the necessity of gratifying the insatiate avarice which he had excited in the army. Of the several impositions introduced by Augustus, the twentieth on inheritances and legacies was the most fruitful, as well as the most comprehensive. As its influence was not confined to Rome or Italy, the produce continually increased with the gradual extension of the Roman City. The new citizens, though charged, on equal terms, with the payment of new taxes, which had not affected them as subjects, derived an ample compensation from the rank they obtained, the privileges they acquired, and the fair prospect of honors and fortune that was thrown open to their ambition. But the favor which implied a distinction was lost in the prodigality of Caracalla, and the reluctant provincials were compelled to assume the vain title, and the real obligations, of Roman citizens. * Nor was the rapacious son of Severus contented with such a measure of taxation as had appeared sufficient to his moderate predecessors. Instead of a twentieth, he exacted a tenth of all legacies and inheritances; and during his reign (for the ancient proportion was restored after his death) he crushed alike every part of the empire under the weight of his iron sceptre.

    When all the provincials became liable to the peculiar impositions of Roman citizens, they seemed to acquire a legal exemption from the tributes which they had paid in their former condition of subjects. Such were not the maxims of government adopted by Caracalla and his pretended son. The old as well as the new taxes were, at the same time, levied in the provinces. It was reserved for the virtue of Alexander to relieve them in a great measure from this intolerable grievance, by reducing the tributes to a thirteenth part of the sum exacted at the time of his accession. It is impossible to conjecture the motive that engaged him to spare so trifling a remnant of the public evil; but the noxious weed, which had not been totally eradicated, again sprang up with the most luxuriant growth, and in the succeeding age darkened the Roman world with its deadly shade. In the course of this history, we shall be too often summoned to explain the land tax, the capitation, and the heavy contributions of corn, wine, oil, and meat, which were exacted from the provinces for the use of the court, the army, and the capital.

    As long as Rome and Italy were respected as the centre of government, a national spirit was preserved by the ancient, and insensibly imbibed by the adopted, citizens. The principal commands of the army were filled by men who had received a liberal education, were well instructed in the advantages of laws and letters, and who had risen, by equal steps, through the regular succession of civil and military honors. To their influence and example we may partly ascribe the modest obedience of the legions during the two first centuries of the Imperial history.

    But when the last enclosure of the Roman constitution was trampled down by Caracalla, the separation of professions gradually succeeded to the distinction of ranks. The more polished citizens of the internal provinces were alone qualified to act as lawyers and magistrates. The rougher trade of arms was abandoned to the peasants and barbarians of the frontiers, who knew no country but their camp, no science but that of war no civil laws, and scarcely those of military discipline. With bloody hands, savage manners, and desperate resolutions, they sometimes guarded, but much oftener subverted, the throne of the emperors.

  • 费孝通《乡土中国》

    乡土本色

    从基层上看去,中国社会是乡土性的。我说中国社会的基层是乡 土性的,那是因为我考虑到从这基层上曾长出一层比较上和乡土基层 不完全相同的社会,而且在近百年来更在东西方接触边缘上发生了一 种很特殊的社会。这些社会的特性我们暂时不提,将来再说。我们不 妨先集中注意那些被称为土头土脑的乡下人。他们才是中国社会的基 层。

    我们说乡下人土气,虽则似乎带着几分藐视的意味,但这个土字 却用得很好。土字的基本意义是指泥土。乡下人离不了泥土,因为在 乡下住,种地是最普通的谋生办法。在我们这片远东大陆上,可能在 很古的时候住过些还不知道种地的原始人,那些人的生活怎样,对于 我们至多只有一些好奇的兴趣罢了。以现在的情形来说,这片大陆上 最大多数的人是拖泥带水下田讨生活的了。我们不妨缩小一些范围来 看,三条大河的流域已经全是农业区。而且,据说凡是从这个农业老 家里迁移到四围边地上去的子弟,也都是很忠实地守着这直接向土里 去讨生活的传统。最近我遇着一位到内蒙旅行回来的美国朋友,他很 奇怪地问我:你们中原去的人,到了这最适宜于放牧的草原上,依旧 锄地播种,一家家划着小小的一方地,种植起来;真像是向土里一 钻,看不到其他利用这片地的方法了。我记得我的老师史禄国先生也 告诉过我,远在西伯利亚,中国人住下了,不管天气如何,还是要下 些种子,试试看能不能种地。——这样说来,我们的民族确是和泥土 分不开的了。从土里长出过光荣的历史,自然也会受到土的束缚,现 在很有些飞不上天的样子。

    靠种地谋生的人才明白泥土的可贵。城里人可以用土气来藐视乡 下人,但是乡下,“土”是他们的命根。在数量上占着最高地位的 神,无疑是“土地”。“土地”这位最近于人性的神,老夫老妻白首 偕老的一对,管着乡间一切的闲事。他们象征着可贵的泥土。我初次 出国时,我的奶妈偷偷地把一包用红纸裹着的东西,塞在我箱子底 下。后来,她又避了人和我说,假如水土不服,老是想家时,可以把 红纸包裹的东西煮一点汤喝。这是一包灶上的泥土。——我在《一曲 难忘》的电影里看到了东欧农业国家的波兰也有着类似的风俗,使我 更领略了“土”在我们这种文化里所占和所应当占的地位了。

    农业和游牧或工业不同,它是直接取资于土地的。游牧的人可以 逐水草而居,飘忽无定;做工业的人可以择地而居,迁移无碍;而种 地的人却搬不动地,长在土里的庄稼行动不得,侍候庄稼的老农也因 之像是半身插入了土里,土气是因为不流动而发生的。

    直接靠农业来谋生的人是粘着在土地上的。我遇见过一位在张北 一带研究语言的朋友。我问他说在这一带的语言中有没有受蒙古话的 影响。他摇了摇头,不但语言上看不出什么影响,其他方面也很少。 他接着说: “村子里几百年来老是这几个姓,我从墓碑上去重构每家 的家谱,清清楚楚的,一直到现在还是那些人。乡村里的人口似乎是 附着在土上的,一代一代的下去,不太有变动。”——这结论自然应 当加以条件的,但是大体上说,这是乡土社会的特性之一。我们很可 以相信,以农为生的人,世代定居是常态,迁移是变态。大旱大水, 连年兵乱,可以使一部分农民抛井离乡;即使像抗战这样大事件所引 起基层人口的流动,我相信还是微乎其微的。

    当然,我并不是说中国乡村人口是固定的。这是不可能的,因为 人口在增加,一块地上只要几代的繁殖,人口就到了饱和点;过剩的 人口自得宣泄出外,负起锄头去另辟新地。可是老根是不常动的。这 些宣泄出外的人,像是从老树上被风吹出去的种子,找到土地的生存 了,又形成一个小小的家族殖民地,找不到土地的也就在各式各样的 运命下被淘汰了,或是“发迹了”。我在广西靠近瑶山的区域里还看 见过这类从老树上吹出来的种子,拚命在垦地。在云南,我看见过这 类种子所长成的小村落,还不过是两三代的事;我在那里也看见过找 不着地的那些“孤魂”,以及死了给狗吃的路毙尸体。

    不流动是从人和空间的关系上说的,从人和人在空间的排列关系 上说就是孤立和隔膜。孤立和隔膜并不是以个人为单位的,而是以住 在一处的集团为单位的。本来,从农业本身看,许多人群居在一处是 无需的。耕种活动里分工的程度很浅,至多在男女间有一些分工,好 像女的插秧,男的锄地等。这种合作与其说是为了增加效率,不如说 是因为在某一时间男的忙不过来,家里人出来帮帮忙罢了。耕种活动 中既不向分工专业方面充分发展,农业本身也就没有聚集许多人住在 一起的需要了。我们看见乡下有大小不同的聚居社区,也可以想到那 是出于农业本身以外的原因了。

    乡下最小的社区可以只有一户人家。夫妇和孩子聚居于一处有着 两性和抚育上的需要。无论在什么性质的社会里,除了军队、学校这 些特殊的团体外,家庭总是最基本的抚育社群。在中国乡下这种只有 一户人家的小社区是不常见的。在四川的山区种梯田的地方,可能有 这类情形,大多的农民是聚村而居。这一点对于我们乡土社会的性质 很有影响。美国的乡下大多是一户人家自成一个单位,很少有屋沿相 接的邻舍。这是他们早年拓殖时代,人少地多的结果,同时也保持了 他们个别负责、独来独往的精神。我们中国很少类似的情形。

    中国农民聚村而居的原因大致说来有下列几点:一、每家所耕的 面积小,所谓小农经营,所以聚在一起住,住宅和农场不会距离得过 分远。二、需要水利的地方,他们有合作的需要,在一起住,合作起 来比较方便。三、为了安全,人多了容易保卫。四、土地平等继承的 原则下,兄弟分别继承祖上的遗业,使人口在一地方一代一代地积起 来,成为相当大的村落。

    无论出于什么原因,中国乡土社区的单位是村落,从三家村起可 以到几千户的大村。我在上文所说的孤立、隔膜是就村和村之间的关 系而说的。孤立和隔膜并不是绝对的,但是人口的流动率小,社区间 的往来也必然疏少。我想我们很可以说,乡土社会的生活是富于地方 性的。地方性是指他们活动范围有地域上的限制,在区域间接触少, 生活隔离,各自保持着孤立的社会圈子。

    乡土社会在地方性的限制下成了生于斯、死于斯的社会。常态的 生活是终老是乡。假如在一个村子里的人都是这样的话,在人和人的 关系上也就发生了一种特色,每个孩子都是在人家眼中看着长大的, 在孩子眼里周围的人也是从小就看惯的。这是一个“熟悉”的社会, 没有陌生人的社会。

    在社会学里,我们常分出两种不同性质的社会:一种并没有具体 目的,只是因为在一起生长而发生的社会;一种是为了要完成一件任 务而结合的社会。用Tönnies的话说:前者是Gemeinschaft,后者是 Gesellschaft;用Durkheim的话说:前者是“有机的团结”,后者 是“机械的团结”。用我们自己的话说,前者是礼俗社会,后者是法 理社会。——我以后还要详细分析这两种社会的不同。在这里我想说 明的是生活上被土地所囿住的乡民,他们平素所接触的是生而与俱的 人物,正像我们的父母兄弟一般,并不是由于我们选择得来的关系, 而是无须选择,甚至先我而在的一个生活环境。

    熟悉是从时间里、多方面、经常的接触中所发生的亲密的感觉。 这感觉是无数次的小磨擦里陶炼出来的结果。这过程是《论语》第一 句里的“习”字。“学”是和陌生事物的最初接触,“习”是陶 炼,“不亦悦乎”是描写熟悉之后的亲密感觉。在一个熟悉的社会 中,我们会得到从心所欲而不逾规矩的自由。这和法律所保障的自由 不同。规矩不是法律,规矩是“习”出来的礼俗。从俗即是从心。换 一句话说,社会和个人在这里通了家。

    “我们大家是熟人,打个招呼就是了,还用得着多说么?”—— 这类的话已经成了我们现代社会的阻碍。现代社会是个陌生人组成的 社会,各人不知道各人的底细,所以得讲个明白;还要怕口说无凭, 画个押,签个字。这样才发生法律。在乡土社会中法律是无从发生 的。“这不是见外了么?”乡土社会里从熟悉得到信任。这信任并非 没有根据的,其实最可靠也没有了,因为这是规矩。西洋的商人到现 在还时常说中国人的信用是天生的。类于神话的故事真多:说是某人 接到了大批瓷器,还是他祖父在中国时订的货,一文不要地交了来, 还说着许多不能及早寄出的抱歉话。——乡土社会的信用并不是对契 约的重视,而是发生于对一种行为的规矩熟悉到不加思索时的可靠 性。

    这自是“土气”的一种特色。因为只有直接有赖于泥土的生活才 会像植物一般的在一个地方生下根,这些生了根在一个小地方的人, 才能在悠长的时间中,从容地去摸熟每个人的生活,像母亲对于她的 儿女一般。陌生人对于婴孩的话是无法懂的,但是在做母亲的人听来 都清清楚楚,还能听出没有用字音表达的意思来。

    不但对人,他们对物也是“熟悉”的。一个老农看见蚂蚁在搬家 了,会忙着去田里开沟,他熟悉蚂蚁搬家的意义。从熟悉里得来的认 识是个别的;并不是抽象的普遍原则。在熟悉的环境里生长的人,不 需要这种原则,他只要在接触所及的范围之中知道从手段到目的间的 个别关联。在乡土社会中生长的人似乎不太追求这笼罩万有的真理。 我 读 《 论 语 》 时 , 看 到 孔 子 在 不 同 人 面 前 说 着 不 同 的 话 来 解 释“孝”的意义时,我感觉到这乡土社会的特性了。孝是什么?孔子 并没有抽象地加以说明,而是列举具体的行为,因人而异地答复了他 的学生。最后甚至归结到心安二字。做子女的得在日常接触中去摸熟 父母的性格,然后去承他们的欢,做到自己的心安。这说明了乡土社 会中人和人相处的基本办法。

    这种办法在一个陌生人面前是无法应用的。在我们社会的急速变 迁中,从乡土社会进入现代社会的过程中,我们在乡土社会中所养成 的生活方式处处产生了流弊。陌生人所组成的现代社会是无法用乡土 社会的习俗来应付的。于是,“土气”成了骂人的词汇,“乡”也不 再是衣锦荣归的去处了。

    文字下乡

    乡下人在城里人眼睛里是“愚”的。我们当然记得不少提倡乡村 工作的朋友们,把愚和病贫联接起来去作为中国乡村的症候。关于病 和贫我们似乎还有客观的标准可说,但是说乡下人“愚”,却是凭什 么呢?乡下人在马路上听见背后汽车连续地按喇叭,慌了手脚,东避 也不是,西躲又不是,司机拉住闸车,在玻璃窗里,探出半个头,向 着那土老头儿,啐了一口: “笨蛋!”——如果这是愚,真冤枉了他 们。我曾带了学生下乡,田里长着包谷,有一位小姐,冒充着内行, 说: “今年麦子长得这么高。”旁边的乡下朋友,虽则没有啐她一 口,但是微微的一笑,也不妨译作“笨蛋”。乡下人没有见过城里的 世面,因之而不明白怎样应付汽车,那是知识问题,不是智力问题, 正等于城里人到了乡下,连狗都不会赶一般。如果我们不承认郊游的 仕女们一听见狗吠就变色是“白痴”,也就自然没有理由说乡下人不 知道“靠左边走”或“靠右边走”等时常会因政令而改变的方向是因 为他们“愚不可及”了。“愚”在什么地方呢?

    其实乡村工作的朋友说乡下人愚那是因为他们不识字,我们称之 曰“文盲”,意思是白生了眼睛,连字都不识。这自然是事实。我决 不敢反对文字下乡的运动,可是如果说不识字就是愚,我心里总难甘 服。“愚”如果是指智力的不足或缺陷,那么识字不识字却并非愚不 愚的标准。智力是学习的能力。如果一个人没有机会学习,不论他有 没有学习的能力还是学不到什么的。我们是不是说乡下人不但不识 字,而且识字的能力都不及人呢?

    说到这里我记起了疏散在乡下时的事来。同事中有些孩子被送进 了乡间的小学,在课程上这些孩子样样都比乡下孩子学得快、成绩 好。教员们见面时总在家长面前夸奖这些孩子们有种、聪明。这等于 说教授们的孩子智力高。我对于这些恭维自然是私心窃喜。穷教授别 的已经全被剥夺,但是我们还有别种人所望尘莫及的遗传。但是有一 天,我在田野里看放学回来的小学生们捉蚱蜢,那些“聪明”而有种 的孩子,扑来扑去,屡扑屡失,而那些乡下孩子却反应灵敏,一扑一 得。回到家来,刚来的一点骄傲似乎又没有了着落。

    乡下孩子在教室里认字认不过教授们的孩子,和教授们的孩子在 田野里捉蚱蜢捉不过乡下孩子,在意义上是相同的。我并不责备自己 孩子蚱蜢捉得少,第一是我们无需用蚱蜢来加菜(云南乡下蚱蜢是下 饭的,味道很近于苏州的虾干),第二是我的孩子并没有机会练习。 教授们的孩子穿了鞋袜,为了体面,不能不择地而下足,弄污了回家 来会挨骂,于是在他们捉蚱蜢时不免要有些顾忌,动作不活灵了。这 些也许还在其次,他们日常并不在田野里跑惯,要分别草和虫,须费 一番眼力,蚱蜢的保护色因之易于生效。——我为自己孩子所作的辩 护是不是同样也可以用之于乡下孩子在认字上的“愚”么?我想是很 适当的。乡下孩子不像教授们的孩子到处看见书籍,到处接触着字, 这不是他们日常所混熟的环境。教授们的孩子并不见得一定是遗传上 有什么特别善于识字的能力,显而易见的却是有着易于识字的环境。 这样说来,乡下人是否在智力上比不上城里人,至少还是个没有结论 的题目。

    这样看来,乡村工作的朋友们说乡下人愚,显然不是指他们智力 不及人,而是说他们知识不及人了。这一点,依我们上面所说的,还 是不太能自圆其说。至多是说,乡下人在城市生活所需的知识上是不 及城市里人多,这是正确的。我们是不是也因之可以说乡下多文盲是 因为乡下本来无需文字眼睛呢?说过这里,我们应当讨论一下文字的 用处了。

    我在上一篇里说明了乡土社会的一个特点就是这种社会的人是在 熟人里长大的。用另一句话来说,他们生活上互相合作的人都是天天 见面的。在社会学里我们称之作Face to face group,直译起来 是“面对面的社群”。归有光的《项脊轩记》里说,他日常接触的老 是那些人,所以日子久了可以用脚声来辨别来者是谁。在“面对面的 社群”里甚至可以不必见面而知道对方是谁。我们自己虽说是已经多 少在现代都市里住过一时了,但是一不留心,乡土社会里所养成的习 惯还是支配着我们。你不妨试一试,如果有人在你门上敲着要进来, 你问: “谁呀!”门外的人十之八九回答你一个大声的“我”。这是 说,你得用声气辨人。在“面对面的社群”里一起生活的人是不必通 名报姓的。很少太太会在门外用姓名来回答丈夫的发问。但是我们因 为久习于这种“我呀!”“我呀!”的回答,也很有时候用到了门内 人无法辨别你声音的场合。我有一次,久别家乡回来,在电话里听到 了一个无法辨别的“我呀”时,的确闹了一个笑话。

    “贵姓大名”是因为我们不熟悉而用的。熟悉的人大可不必如 此,足声、声气、甚至气味,都可以是足够的“报名”。我们社交上 姓名的不常上口也就表示了我们原本是在熟人中生活的,是个乡土社 会。

    文字发生之初是“结绳记事”,需要结绳来记事是为了在空间和 时间中人和人的接触发生了阻碍,我们不能当面讲话,才需要找一些 东西来代话。在广西的瑶山里,部落有急,就派了人送一枚铜钱到别 的部落里去,对方接到了这记号,立刻派人来救。这是“文字”,一 种双方约好代表一种意义的记号。如果是面对面可以直接说话时,这 种被预先约好的意义所拘束的记号,不但多余,而且有时会词不达意 引起误会的。在十多年前青年们讲恋爱,受着直接社交的限制,通行 着写情书,很多悲剧是因情书的误会而发生的。有这种经验的人必然 能痛悉文字的限制。

    文字所能传的情、达的意是不完全的。这不完全是出于“间接接 触”的原因。我们所要传达的情意是和当时当地的外局相配合的。你 用文字把当时当地的情意记了下来,如果在异时异地的圜局中去看, 所会引起的反应很难尽合于当时当地的圜局中可能引起的反应。文字 之成为传情达意的工具常有这个无可补救的缺陷。于是在利用文字 时,我们要讲究文法,讲究艺术。文法和艺术就在减少文字的“走 样”。

    在说话时,我们可以不注意文法。并不是说话时没有文法,而是 因为我们有着很多辅助表情来补充传达情意的作用。我们可以用手指 指着自己而在话里吃去一个我字。在写作时却不能如此。于是我们得 尽量地依着文法去写成完整的句子了。不合文法的字词难免引起人家 的误会,所以不好。说话时我们如果用了完整的句子,不但显得迂 阔,而且可笑。这是从书本上学外国语的人常会感到的痛苦。

    文字是间接的说话,而且是个不太完善的工具。当我们有了电 话、广播的时候,书信文告的地位已经大受影响。等到传真的技术发 达之后,是否还用得到文字,是很成问题的。

    这样说来,在乡土社会里不用文字绝不能说是“愚”的表现了。 面对面的往来是直接接触,为什么舍此比较完善的语言而采文字呢?

    我还想在这里推进一步说,在面对面社群里,连语言本身都是不 得已而采取的工具。语言本是用声音来表达的象征体系。象征是附着 意义的事物或动作,我说“附着”是因为“意义”是靠联想作用加上 去的,并不是事物或动作本身具有的性质。这是社会的产物,因为只 有在人和人需要配合行为的时候,个人才需要有所表达;而且表达的 结果必须使对方明白所要表达的意义。所以象征是包括多数人共认的 意义,也就是这一事物或动作会在多数人中引起相同的反应。因之, 我们绝不能有个人的语言,只能有社会的语言。要使多数人能对同一 象征具有同一意义,他们必须有着相同的经历,就是说在相似的环境 中接触和使用同一象征,因而在象征上附着了同一意义。因此在每个 特殊的生活团体中,必有他们特殊的语言,有许多别种语言所无法翻 译的字句。

    语言只能在一个社群所有的相同经验的一层上发生。群体愈大, 包括的人所有的经验愈繁杂,发生语言的一层共同基础也必然愈有 限,于是语言也愈趋于简单化。这在语言史上是看得很清楚的。

    可是从另一方面说,在一个社群所用的共同语言之外,也必然会 因个人间的需要而发生许多少数人间的特殊语言,即所谓的“行 话”。行话是同行人中的话,外行人因为没有这种经验,不会懂的。 在每个学校里,甚至每个寝室里,都有他们特殊的语言。最普遍的特 殊语言发生在母亲和孩子之间。

    “特殊语言”不过是亲密社群中所使用的象征体系的一部分,用 声音来作象征的那一部分。在亲密社群中可用来作象征体系的原料比 较多。表情、动作,在面对面的情境中,有时比声音更容易传情达 意。即使用语言时,也总是密切配合于其他象征原料的。譬如:我可 以和一位熟人说: “真是那个!”同时眉毛一皱,嘴角向下一斜,面 上的皮肤一紧,用手指在头发里一插,头一沉,对方也就明白“那 个”是“没有办法”、“失望”的意思了。如果同样的两个字用在另 一表情的配合里,意义可以完全不同。

    “特殊语言”常是特别有效,因为它可以摆脱字句的固定意义。 语言像是个社会定下的筛子,如果我们有一种情意和这筛子的格子不 同也就漏不过去。我想大家必然有过“无言胜似有言”的经验。其实 这个筛子虽则有助于人和人间的了解,但同时却也使人和人间的情意 公式化了,使每一人、每一刻的实际情意都走了一点样。我们永远在 削足适履,使感觉敏锐的人怨恨语言的束缚。李长吉[李长吉,即李贺(790—816),唐代著名诗人,诗风愁苦多病,被誉为“鬼才”、“诗鬼”]要在这束缚中去 求比较切近的表达,难怪他要呕尽心血了。

    于是在熟人中,我们话也少了,我们“眉目传情”,我们“指石 相证”,我们抛开了比较间接的象征原料,而求更直接的会意了。所 以在乡土社会中,不但文字是多余的,连语言都并不是传达情意的唯 一象征体系。

    我决不是说我们不必推行文字下乡,在现代化的过程中,我们已 开始抛离乡土社会,文字是现代化的工具。我要辨明的是乡土社会中 的文盲,并非出于乡下人的“愚”,而是由于乡土社会的本质。而且 我还愿意进一步说,单从文字和语言的角度中去批判一个社会中人和 人的了解程度是不够的,因为文字和语言,只是传情达意的一种工 具,并非唯一的工具;而且这工具本身也是有缺陷的,能传的情、能 达的意是有限的。所以提倡文字下乡的人,必须先考虑到文字和语言 的基础,否则开几个乡村学校和使乡下人多识几个字,也许并不能使 乡下人“聪明”起来。

    再论文字下乡

    在上一篇“文字下乡”里,我说起了文字的发生是在人和人传情达意的过程中受到了空间和时间的阻隔的情境里。可是我在那一篇里只就空间阻隔的一点说了些话。乡土社会是个面对面的社会,有话可以当面说明白,不必求助于文字。这一层意思容易明白,但是关于时间阻隔上怎样说法呢?在本文中,我想申引这一层意思了。

    所谓时间上的阻隔有两方面:一方面是个人的今昔之隔;一方面是社会的世代之隔。让我先从前一方面说起。

    人的生活和其他动物所不同的,是在他富于学习的能力。他的行为方式并不固执地受着不学而能的生理反应所支配。所谓学就是在出生之后以一套人为的行为方式作模型,把本能的那一套方式加以改造的过程。学的方法是“习”。习是指反复地做,靠时间中的磨练,使一个人惯于一种新的做法。因之,学习必须打破个人今昔之隔。这是靠了我们人类的一种特别发达的能力,时间中的桥梁,记忆。在动物的学习过程中,我们也可以说它们有记忆,但是它们的“记忆”是在简单的生理水准上。一个小白老鼠在迷宫里学得了捷径,它所学得的是一套新的生理反应。和人的学习不相同的是它们并不靠一套象征体系的。人固然有很多习惯,在本质上是和小白老鼠走迷宫一般的,但是他却时常多一个象征体系帮他的忙。所谓象征体系中最重要的是“词”。我们不断地在学习时说着话,把具体的情境抽象成一套能普遍应用的概念,概念必然是用词来表现的,于是我们靠着词,使我们从特殊走上普遍,在个别情境中搭下了桥梁;又使我们从当前走到今后,在片刻情境中搭下了桥梁。从这方面看去,一个动物和时间的接触,可以说是一条直线的,而人和时间的接触,靠了概念,也就是词,却比一条直线来得复杂。他有能力闭了眼睛置身于“昔日”的情境中,人的“当前”中包含着从“过去”拔萃出来的投影,时间的选择累积。

    在一个依本能而活动的动物不会发生时间上阻隔的问题,它的寿命是一连串的“当前”,谁也不能剪断时间,像是一条水,没有刀割得断。但是在人却不然,人的当前是整个靠记忆所保留下来的“过去”的累积。如果记忆消失了、遗忘了,我们的“时间”就可说是阻隔了。

    人之所以要有记忆,也许并不是因为他的脑子是个自动的摄影箱。人有此能力是事实,人利用此能力,发展此能力,还是因为他“当前”的生活必须有着“过去”所传下来的办法。我曾说人的学习是向一套已有的方式的学习。唯有学会了这套方式才能在人群中生活下去。这套方式并不是每个人个别的创制,而是社会的遗业。小白老鼠并不向别的老鼠学习,每只老鼠都得自己在具体情境里,从“试验错误”的过程中,得到个别的经验。它们并不能互相传递经验,互相学习,人靠了他的抽象能力的象征体系,不但累积了自己的经验,
    而且还可以累积别人的经验。上边所谓那套传下来的办法,就是社会共同的经验的累积,也就是我们常说的文化。文化是依赖象征体系和个人的记忆而维护着的社会共同经验。这样说来,每个人的“当前”,不但包括他个人“过去”的投影,而且还是整个民族的“过去”的投影。历史对于个人并不是点缀的饰物,而是实用的、不可或缺的生活基础。人不能离开社会生活,就不能不学习文化。文化得靠
    记忆,不能靠本能,所以人在记忆力上不能不力求发展。我们不但要
    在个人的今昔之间筑通桥梁,而且在社会的世代之间也得筑通桥梁,
    不然就没有了文化,也没有了我们现在所能享受的生活。

    我说了这许多话,也许足够指明了人的生活和时间的关联了。在这关联中,词是最主要的桥梁。有人说,语言造成了人,那是极对的。《圣经》上也有上帝说了什么,什么就有了,“说”是“有”的
    开始。这在物质宇宙中尽管可以不对,但在文化中却是对的。没有象
    征体系也就没有概念,人的经验也就不能或不易在时间里累积,如要
    生活也不能超过禽兽。

    但是词却不一定要文。文是用眼睛可以看得到的符号,就是字。词不一定是刻出来或写出来的符号,也可以是用声音说出来的符号,语言。一切文化中不能没有“词”,可是不一定有“文字”。我这样说是因为我想说明的乡土社会,大体上,是没有“文字”的社会。在上篇,我从空间格局中说到了乡下人没有文字的需要,在这里我是想从时间格局中说明同一结果。

    我说过我们要发展记忆,那是因为我们生活中有此需要。没有文
    化的动物,能以本能来应付生活,就不必有记忆。我这样说,其实也
    包含了另一项意思,就是人在记忆上发展的程度是依他们的生活需要
    而决定的。我们每个人,每一刻,所接触的外界是众多复杂,但是并
    不尽入我们的感觉,我们有所选择。和我们眼睛所接触的外界我们并
    不都看见,我们只看见我们所注意的,我们的视线有焦点,焦点依着
    我们的注意而移动。注意的对象由我们选择,选择的根据是我们生活
    的需要。与我们生活无关的,我们不关心,熟视无睹。我们的记忆也
    是如此,我们并不记取一切的过去,而只记取一切过去中极小的一部
    分。我说记取,其实不如说过后回忆为妥当。“记”带有在当前为了
    将来有用而加以认取的意思,“忆”是为了当前有关而回想到过去经
    验。事实上,在当前很难预测将来之用,大多是出于当前的需要而追
    忆过去。有时这过程非常吃力,所以成为“苦忆”。可是无论如何记
    忆并非无所为的,而是实用的,是为了生活。

    在一个乡土社会中生活的人所需记忆的范围和生活在现代都市的
    人是不同的。乡土社会是一个生活很安定的社会。我已说过,向泥土
    讨生活的人是不能老是移动的。在一个地方出生的就在这地方生长下
    去,一直到死。极端的乡土社会是老子所理想的社会,“鸡犬相闻,
    老死不相往来”。不但个人不常抛井离乡,而且每个人住的地方常是
    他的父母之邦。“生于斯,死于斯”的结果必是世代的黏着。这种极
    端的乡土社会固然不常实现,但是我们的确有历世不移的企图,不然
    为什么死在外边的人,一定要把棺材运回故乡,葬在祖茔上呢?一生
    取给于这块泥土,死了,骨肉还得回入这块泥土。

    历世不移的结果,人不但在熟人中长大,而且还在熟悉的地方上
    生长大。熟悉的地方可以包括极长时间的人和土的混合。祖先们在这
    地方混熟了,他们的经验也必然就是子孙们所会得到的经验。时间的
    悠久是从谱系上说的,从每个人可能得到的经验说,却是同一方式的
    反复重演。同一戏台上演着同一的戏,这个班子里演员所需要记得
    的,也只有一套戏文。他们个别的经验,就等于世代的经验。经验无
    需不断累积,只需老是保存。

    我记得在小学里读书时,老师逼着我记日记,我执笔苦思,结果只写下“同上”两字。那是真情,天天是“晨起,上课,游戏,睡觉”,有何可记的呢?老师下令不准“同上”,小学生们只有扯谎了。

    在定型生活中长大的有着深入生理基础的习惯帮着我们“日出而起,日入而息”的工作节奏。记忆都是多余的。“不知老之将至”就是描写“忘时”的生活。秦亡汉兴,没有关系。乡土社会中不怕忘,
    而且忘得舒服。只有在轶出于生活常轨的事,当我怕忘记时,方在指
    头上打二个结。

    指头上的结是文字的原始方式,目的就是用外在的象征,利用联
    想作用,帮助人的记忆。在一个常常变动的环境中,我们感觉到自己
    记忆力不够时,方需要这些外在的象征。从语言变到文字,也就是从
    用声音来说词,变到用绳打结,用刀刻图,用笔写字,是出于我们生
    活从定型到不定型的过程中。在都市中生活,一天到晚接触着陌生面
    孔的人才需要在袋里藏着本姓名录、通信簿。在乡下社会中黏着相片
    的身份证,是毫无意义的。在一个村子里可以有一打以上的“王大
    哥”,绝不会因之错认了人。

    在一个每代的生活等于开映同一影片的社会中,历史也是多余
    的,有的只是“传奇”。一说到来历就得从“开天辟地”说起;不从
    这开始,下文不是只有“寻常”的当前了么?都市社会里有新闻;在
    乡土社会,“新闻”是稀奇古怪、荒诞不经的意思。在都市社会里有
    名人,乡土社会里是“人怕出名猪怕壮”。不为人先,不为人后,做
    人就得循规蹈距。这种社会用不上常态曲线,而是一个模子里印出来
    的一套。

    在这种社会里,语言是足够传递世代间的经验了。当一个人碰着
    生活上的问题时,他必然能在一个比他年长的人那里问得到解决这问
    题的有效办法,因为大家在同一环境里,走同一道路,他先走,你后
    走;后走的所踏的是先走的人的脚印,口口相传,不会有遗漏。哪里
    用得着文字?时间里没有阻隔,拉得十分紧,全部文化可以在亲子之
    间传授无缺。

    这样说,中国如果是乡土社会,怎么会有文字的呢?我的回答是
    中国社会从基层上看去是乡土性,中国的文字并不是在基层上发生。
    最早的文字就是庙堂性的,一直到目前还不是我们乡下人的东西。我
    们的文字另有它发生的背境,我在本文所需要指出的是在这基层上,
    有语言而无文字。不论在空间和时间的格局上,这种乡土社会,在面
    对面的亲密接触中,在反复地在同一生活定型中生活的人们,并不是
    愚到字都不认得,而是没有用字来帮助他们在社会中生活的需要。我
    同时也等于说,如果中国社会乡土性的基层发生了变化,也只有在发
    生了变化之后,文字才能下乡。

    差序格局

    在乡村工作者看来,中国乡下佬最大的毛病是“私”。说起私,我们就会想到“各人自扫门前雪,莫管他家瓦上霜”的俗语。谁也不敢否认这俗语多少是中国人的信条。其实抱有这种态度的并不只是乡下人,就是所谓城里人,何尝不是如此。扫清自己门前雪的还算是了不起的有公德的人,普通人家把垃圾往门口的街道上一倒,就完事了。苏州人家后门常通一条河,听来是最美丽也没有了,文人笔墨里是中国的威尼斯,可是我想天下没有比苏州城里的水道更脏的了。什么东西都可以向这种出路本来不太畅通的小河沟里一倒,有不少人家根本就不必有厕所。明知人家在这河里洗衣洗菜,却毫不觉得有什么需要自制的地方。为什么呢?——这种小河是公家的。

    一说是公家的,差不多就是说大家可以占一点便宜的意思,有权利而没有义务了。小到两三家合住的院子,公共的走廊上照例是尘灰堆积,满院生了荒草,谁也不想去拔拔清楚,更难以插足的自然是厕所。没有一家愿意去管“闲事”,谁看不惯,谁就得白服侍人,半声谢意都得不到。于是像格兰亨姆的公律,坏钱驱逐好钱一般,公德心就在这里被自私心驱走。

    “格兰亨姆的公律”即Greshams’ Law,为16世纪英国伊丽莎白铸
    币局长托马斯·格雷欣(Thomas Gresham)所提出。指的是在铸币时
    代,金银复本位的制度之下,人们倾向于将达到法定重量及成色标准
    的货币贮藏起来,而使用低于法定重量或成色的货币进行流通,从而
    导致劣币驱逐良币的这样一种现象。Gresham’s Law后来被广泛应用于
    非经济学的层面,人们用其来泛指价值不高的东西会把价值较高的东
    西挤出流通领域。

    从这些事上来说,私的毛病在中国实在是比愚和病更普遍得多,
    从上到下似乎没有不害这毛病的。现在已成了外国舆论一致攻击我们
    的把柄了。所谓贪污无能,并不是每个人绝对的能力问题,而是相对
    的,是从个人对公家的服务和责任上说的。中国人并不是不善经营,
    只要看南洋那些华侨在商业上的成就,西洋人谁不侧目?中国人更不
    是无能,对于自家的事,抓起钱来,拍起马来,比哪一个国家的人能
    力都大。因之这里所谓“私”的问题却是个群己、人我的界线怎样划
    法的问题。我们传统的划法,显然是和西洋的划法不同。因之,如果
    我们要讨论私的问题就得把整个社会结构的格局提出来考虑一下了。
    西洋的社会有些像我们在田里捆柴,几根稻草束成一把,几把束
    成一扎,几扎束成一捆,几捆束成一挑。每一根柴在整个挑里都属于
    一定的捆、扎、把。每一根柴也都可以找到同把、同扎、同捆的柴,
    分扎得清楚不会乱的。在社会,这些单位就是团体。我说西洋社会组
    织像捆柴就是想指明:他们常常由若干人组成一个个的团体。团体是
    有一定界限的,谁是团体里的人,谁是团体外的人,不能模糊,一定
    得分清楚。在团体里的人是一伙,对于团体的关系是相同的,如果同
    一团体中有组别或等级的分别,那也是事先规定的。我用捆柴来比
    拟,有一点不太合适,就是一个人可以参加好几个团体,而好几扎柴
    里都有某一根柴当然是不可能的,这是人和柴不同的地方。我用这譬
    喻是在想具体一些使我们看到社会生活中人和人的关系的一种格局。
    我们不妨称之作团体格局。

    家庭在西洋是一种界限分明的团体。如果有一位朋友写信给你说他将要“带了他的家庭”一起来看你,他很知道要和他一同来的是哪几个人。在中国,这句话是含糊得很。在英美,家庭包括他和他的妻以及未成年的孩子。如果他只和他太太一起来,就不会用“家庭”。在我们中国“阖 第 光 临 ” 虽 则 常 见 , 但 是很少人 能说得出 这个“第”字究竟应当包括些什么人。

    提到了我们的用字,这个“家”字可以说最能伸缩自如了。“家里的”可以指自己的太太一个人,“家门”可以指伯叔侄子一大批,“自家人”可以包罗任何要拉入自己的圈子,表示亲热的人物。自家人的范围是因时因地可伸缩的,大到数不清,真是天下可成一家。

    为什么我们这个最基本的社会单位的名词会这样不清不楚呢?在
    我看来却表示了我们的社会结构本身和西洋的格局是不相同的,我们
    的格局不是一捆一捆扎清楚的柴,而是好像把一块石头丢在水面上所
    发生的一圈圈推出去的波纹。每个人都是他社会影响所推出去的圈子
    的中心。被圈子的波纹所推及的就发生联系。每个人在某一时间某一
    地点所动用的圈子是不一定相同的。

    我们社会中最重要的亲属关系就是这种丢石头形成同心圆波纹的
    性质。亲属关系是根据生育和婚姻事实所发生的社会关系。从生育和
    婚姻所结成的网络,可以一直推出去包括无穷的人,过去的、现在的
    和未来的人物。我们俗语里有“一表三千里”,就是这个意思,其实
    三千里者也不过指其广袤的意思而已。这个网络像个蜘蛛的网,有一
    个中心,就是自己。我们每个人都有这么一个以亲属关系布出去的
    网,但是没有一个网所罩住的人是相同的。在一个社会里的人可以用
    同一个体系来记认他们的亲属,所同的只是这体系罢了。体系是抽象
    的格局,或是范畴性的有关概念。当我们用这体系来认取具体的亲亲
    戚戚时,各人所认的就不同了。我们在亲属体系里都有父母,可是我
    的父母却不是你的父母。再进一步说,天下没有两个人所认取的亲属
    可以完全相同的。兄弟两人固然有相同的父母了,但是各人有各人的
    妻子儿女。因之,以亲属关系所联系成的社会关系的网络来说,是个
    别的。每一个网络有个“己”作为中心,各个网络的中心都不同。

    在我们乡土社会里,不但亲属关系如此,地缘关系也是如此。现代的保甲制度是团体格局性的,但是这和传统的结构却格格不相入。在传统结构中,每一家以自己的地位作中心,周围划出一个圈子,这个圈子是“街坊”。有喜事要请酒,生了孩子要送红蛋,有丧事要出来助殓,抬棺材,是生活上的互助机构。可是这不是一个固定的团体,而是一个范围。范围的大小也要依着中心的势力厚薄而定。有势力的人家的街坊可以遍及全村,穷苦人家的街坊只是比邻的两三家。这和我们的亲属圈子是一样的。像贾家的大观园里,可以住着姑表林黛玉,姨表薛宝钗,后来更多了,什么宝琴,岫云,凡是拉得上亲戚的,都包容得下。可是势力一变,树倒猢狲散,缩成一小团。到极端时,可以像苏秦潦倒归来,“妻不以为夫,嫂不以为叔。”中国传统结构中的差序格局具有这种伸缩能力。在乡下,家庭可以很小,而一到有钱的地主和官僚阶层,可以大到像个小国。中国人也特别对世态炎凉有感触,正因为这富于伸缩的社会圈子会因中心势力的变化而大
    小。

    在孩子成年了住在家里都得给父母膳食费的西洋社会里,大家承认团体的界限。在团体里的有一定的资格。资格取消了就得走出这个团体。在他们不是人情冷热的问题,而是权利问题。在西洋社会里争的是权利,而在我们却是攀关系、讲交情。

    以“己”为中心,像石子一般投入水中,和别人所联系成的社会关系,不像团体中的分子一般大家立在一个平面上的,而是像水的波纹一般,一圈圈推出去,愈推愈远,也愈推愈薄。在这里我们遇到了
    中国社会结构的基本特性了。我们儒家最考究的是人伦,伦是什么
    呢?我的解释就是从自己推出去的和自己发生社会关系的那一群人里
    所发生的一轮轮波纹的差序。“释名”于伦字下也说“伦也,水文相
    次有伦理也”。潘光旦先生曾说:凡是有“仑”作公分母的意义都相
    同,“共同表示的是条理,类别,秩序的一番意思”。(见潘光旦
    《说伦字》《社会研究》第十九期)

    伦重在分别,在《礼记》祭统里所讲的十伦:鬼神、君臣、父
    子、贵贱、亲疏、爵赏、夫妇、政事、长幼、上下,都是指差
    等。“不失其伦”是在别父子、远近、亲疏。伦是有差等的次序。在
    我们现在读来,鬼神、君臣、父子、夫妇等具体的社会关系,怎能和
    贵贱、亲疏、远近、上下等抽象的相对地位相提并论?其实在我们传
    统的社会结构里最基本的概念,这个人和人往来所构成的网络中的纲
    纪,就是一个差序,也就是伦。《礼记》大传里说:“亲亲也、尊尊也、长长也、男女有别,此其不可得与民变革者也。”意思是这个社
    会结构的架格是不能变的,变的只是利用这架格所做的事。

    孔子最注重的就是水纹波浪向外扩张的推字。他先承认一个己,
    推己及人的己,对于这己,得加以克服于礼,克己就是修身。顺着这
    同心圆的伦常,就可向外推了。“本立而道生。”“其为人也孝悌,
    而好犯上者鲜矣,不好犯上而好作乱者,未之有也。”从己到家,由
    家到国,由国到天下,是一条通路。《中庸》里把五伦作为下之达
    道。因为在这种社会结构里,从己到天下是一圈一圈推出去的,所以
    孟子说他“善推而已矣”。

    在这种富于伸缩性的网络里,随时随地是有一个“己”作中心
    的。这并不是个人主义,而是自我主义。个人是对团体而说的,是分
    子对全体。在个人主义下,一方面是平等观念,指在同一团体中各分
    子的地位相等,个人不能侵犯大家的权利;一方面是宪法观念,指团
    体不能抹杀个人,只能在个人们所愿意交出的一分权利上控制个人。
    这些观念必须先假定了团体的存在。在我们中国传统思想里是没有这
    一套的,因为我们所有的是自我主义,一切价值是以“己”作为中心
    的主义。

    自我主义并不限于拔一毛而利天下不为的杨朱[先秦哲学家,战国时魏人,字子居,反对儒墨],连儒家都该包括在内。杨朱和孔子不同的是杨朱忽略了自我主义的相对性和伸缩性。

    他太死心眼儿一口咬了一个自己不放;孔子是会推己及人的,可是尽管放之于四海,中心还是在自己。子曰:“为政以德,譬如北辰,居其所,而众星拱之。”这是很好的一个差序格局的譬喻,自己总是中心,像四季不移的北斗星,所有其他的人,随着他转动。孔子并不像
    耶稣,耶稣是有超于个人的团体的,他有他的天国,所以他可以牺牲自己去成全天国。孔子呢,不然。

    子贡曰:“如有博施于民,而能济众何如?可谓仁乎?”子曰:“何事于仁,必也圣乎!尧舜其犹病诸?夫仁者己欲立而立人,己欲达而达人,能近取譬,可谓仁之方也已。”

    孔子的道德系统里绝不肯离开差序格局的中心,“君子求诸己,小人求诸人”。因之,他不能像耶稣一样普爱天下,甚至而爱他的仇敌,还要为杀死他的人求上帝的饶赦——这些不是从自我中心出发的。孔子呢?或曰:“以德报怨,何如?”子曰:“何以报德?以直报怨,以德报德。”这是差序层次,孔子是决不放松的。孔子并不像杨朱一般以小己来应付一切情境,他把这道德范围依着需要而推广或缩小。他不像耶稣或中国的墨翟,一放不能收。

    我们一旦明白这个能放能收、能伸能缩的社会范围就可以明白中国传统社会中的私的问题了。我常常觉得:“中国传统社会里一个人
    为了自己可以牺牲家,为了家可以牺牲党,为了党可以牺牲国,为了国可以牺牲天下。”这和《大学》的:古之欲明明德于天下者,先治其国,欲治其国者,先齐其家,欲齐其家者,先修其身……身修而后家齐,家齐而后国治,国治而后天下平。在条理上是相通的,不同的只是内向和外向的路线,正面和反面的说法,这是种差序的推浪形式,把群己的界限弄成了相对性,也可
    以说是模糊两可了。这和西洋把权利和义务分得清清楚楚的社会,大
    异其趣。

    为自己可以牺牲家,为家可以牺牲族……这是一个事实上的公
    式。在这种公式里,你如果说他私么?他是不能承认的,因为当他牺
    牲族时,他可以为了家,家在他看来是公的。当他牺牲国家为他小团
    体谋利益,争权利时,他也是为公,为了小团体的公。在差序格局
    里,公和私是相对而言的,站在任何一圈里,向内看也可以说是公
    的。其实当西洋的外交家在国际会议里为了自己国家争利益,不惜牺
    牲世界和平和别国合法权益时,也是这样的。所不同的,他们把国家
    看成了一个超过一切小组织的团体,为这个团体,上下双方都可以牺
    牲,但不能牺牲它来成全别种团体。这是现代国家观念,乡土社会中
    是没有的。
    在西洋社会里,国家这个团体是一个明显的也是唯一特出的群己
    界线。在国家里做人民的无所逃于这团体之外,像一根柴捆在一束
    里,他们不能不把国家弄成个为每个分子谋利益的机构,于是他们有
    革命、有宪法、有法律、有国会等等。在我们传统里群的极限是模糊
    不清的“天下”,国是皇帝之家,界线从来就是不清不楚的,不过是
    从自己这个中心里推出去的社会势力里的一圈而已。所以可以着手
    的,具体的只有己,克己也就成了社会生活中最重要的德性,他们不
    会去克群,使群不致侵略个人的权利。在这种差序格局中,是不会发
    生这问题的。

    在差序格局中,社会关系是逐渐从一个一个人推出去的,是私人
    联系的增加,社会范围是一根根私人联系所构成的网络,因之,我们
    传统社会里所有的社会道德也只在私人联系中发生意义。——这一
    点,我将留在下篇里再提出来讨论了。

    维系着私人的道德

    中国乡土社会的基层结构是一种我所谓的“差序格局”,是一
    个“一根根私人联系所构成的网络”。这种格局和现代西洋的“团体
    格局”是不同的。在团体格局里个人间的联系靠着一个共同的架子;
    先有了这架子,每个人结上这架子,而互相发生关联。“公民”的观
    念不能不先有个“国家”。这种结构很可能是从初民民族的“部
    落”形态中传下来的。部落形态在游牧经济中很显著的是“团体格
    局”的。生活相依赖的一群人不能单独地、零散地在山林里求生。在
    他们,“团体”是生活的前提。可是在一个安居的乡土社会,每个人
    可以在土地上自食其力地生活时,只在偶然的和临时的非常状态中才
    感觉到伙伴的需要。在他们,和别人发生关系是后起和次要的,而且
    他们在不同的场合下需要着不同程度的结合,并不显著地需要一个经
    常的和广被的团体。因之他们的社会采取了“差序格局”。

    社会结构格局的差别引起了不同的道德观念。道德观念是在社会
    里生活的人自觉应当遵守社会行为规范的信念。它包括着行为规范、
    行为者的信念和社会的制裁。它的内容是人和人关系的行为规范,是
    依着该社会的格局而决定的。从社会观点说,道德是社会对个人行为
    的制裁力,使他们合于规定下的形式行事,用以维持该社会的生存和
    绵续。

    在“团体格局”中,道德的基本观念建筑在团体和个人的关系
    上。团体是个超于个人的“实在”,不是有形的东西。我们不能具体
    地拿出一个有形体的东西来说这是团体。它是一束人和人的关系,是
    一个控制各个人行为的力量,是一种组成分子生活所依赖的对象,是
    先于任何个人而又不能脱离个人的共同意志……这种“实在”只能用
    有形的东西去象征它、表示它。在“团体格局”的社会中才发生笼罩
    万有的神的观念。团体对个人的关系就象征在神对于信徒的关系中,
    是个有赏罚的裁判者,是个公正的维持者,是个全能的保护者。
    我们如果要了解西洋的“团体格局”社会中的道德体系,决不能
    离开他们的宗教观念的。宗教的虔诚和信赖不但是他们道德观念的来
    源,而且还是支持行为规范的力量,是团体的象征。在象征着团体的
    神的观念下,有着两个重要的派生观念:一是每个个人在神前的平
    等;一是神对每个个人的公道。

    耶稣称神是父亲,是个和每一个人共同的父亲,他甚至当着众人的面否认了生育他的父母。为了要贯彻这“平等”,基督教的神话中,耶稣是童贞女所生的。亲子间个别的和私人的联系在这里被否定了。其实这并不是“无稽之谈”,而是有力的象征,象征着“公有”的团体,团体的代表——神,必须是无私的。每个“人子”,耶稣所象征的“团体构成分子”,在私有的父亲外必须有一个更重要的与人相共的是“天父”,就是团体。——这样每个个人人格上的平等才能确立,每个团体分子和团体的关系是相等的。团体不能为任何个人所私有。在这基础上才发生美国《独立宣言》中开宗明义的话:“全人类生来都平等,他们都有天赋不可夺的权利。”可是上帝是在冥冥之中,正象征团体无形的实在;但是在执行团体的意志时,还得有人来代理。“代理者”Minister是团体格局的社会中一个基本的概念。执行上帝意志的牧师是Minister,执行团体权力的官吏也是Minister,都是“代理者”,而不是神或团体的本身。这上帝和牧师、国家和政府的分别是不容混淆的。在基督教历史里,人们一度再度地要求直接和上帝交通,反抗“代理者”不能真正代理上帝的意旨。同样的,实际上是相通的,也可以说是一贯的,美国《独立宣言》可以接下去说:“人类为了保障这些权利,所以才组织政府,政府的适当力量,须由受治者的同意中产生出来;假如任何政体有害于这些目标,人民即有改革或废除任何政体之权。这些真理,我们认为是不证自明的。”

    神对每个个人是公道的,是一视同仁的,是爱的;如果代理者违
    反了这些“不证自明的真理”,代理者就失去了代理的资格。团体格
    局的道德体系中于是发生了权利的观念。人对人得互相尊重权利,团
    体对个人也必须保障这些个人的权利,防止团体代理人滥用权力,于
    是发生了宪法。宪法观念是和西洋公务观念相配合的。国家可以要求
    人民的服务,但是国家也得保证不侵害人民的权利,在公道和爱护的
    范围内行使权力。

    我说了不少关于“团体格局”中道德体系的话,目的是在陪衬
    出“差序格局”中道德体系的特点来。从它们的差别上看去,很多地
    方是刚刚相反的。在以自己作中心的社会关系网络中,最主要的自然
    是“克己复礼”,“壹是皆以修身为本”——这是差序格局中道德体
    系的出发点。

    从己向外推以构成的社会范围是一根根私人联系,每根绳子被一种道德要素维持着。社会范围是从“己”推出去的,而推的过程里有着各种路线,最基本的是亲属:亲子和同胞,相配的道德要素是孝和悌。“孝悌也者其为仁之本欤。”向另一路线推是朋友,相配的是忠信。“为人谋而不忠乎?与朋友交而不信乎?”“主忠信,无友不如己者。”孔子曾总结说:“弟子入则孝,出则悌,谨而信,泛爱众,而亲仁。”

    在这里我得一提这比较复杂的观念“仁”。依我以上所说的,在差序格局中并没有一个超乎私人关系的道德观念,这种超己的观念必须在团体格局中才能发生。孝、悌、忠、信都是私人关系中的道德要素。但是孔子却常常提到那个仁字。《论语》中对于仁字的解释最多,但是也最难捉摸。一方面他一再地要给仁字明白的解释,而另一方面却又有“子罕言利,与命与仁”。孔子屡次对于这种道德要素“欲说还止”。
    司马牛问仁。子曰:“仁者其言也讱。”曰,“其言也讱,斯谓之仁已乎?”子曰:“为之难,言之得无讱乎?”
    子曰:“我未见好仁者。……盖有之矣,我未之见也。”
    孟武伯问:“子路仁乎?”子曰:“不知也。”又问。子曰:“由也,千乘之国,可使治其赋也,不知其仁也。”“求也何如?”子曰:“求也,千室之邑,百乘之家,可使为之宰也,不知其仁也。”“赤也何如?”子曰:
    “赤也,束带立于朝,可使与宾客言,不知其仁也。”

    孔子有不少次数说“不够说是仁”,但是当他积极地说明仁字是什么时,他却退到了“克己复礼为仁”,“恭宽信敏惠”这一套私人间的道德要素了。他说:“能行五者于天下为仁矣。——恭则不侮,宽则得众,信则人任焉,敏则有功,惠则足以使人。”孔子的困难是在“团体”组合并不坚强的中国乡土社会中并不容
    易具体地指出一个笼罩性的道德观念来。仁这个观念只是逻辑上的总
    合,一切私人关系中道德要素的共相,但是因为在社会形态中综合私
    人关系的“团体”的缺乏具体性,只有个广被的“天下归仁”的天
    下,这个和“天下”相配的“仁”也不能比“天下”观念更为清晰。
    所以凡是要具体说明时,还得回到“孝悌忠信”那一类的道德要素。
    正等于要说明“天下”时,还得回到“父子,昆弟,朋友”这些具体
    的伦常关系。

    不但在我们传统道德系统中没有一个像基督教里那种“爱”的观
    念——不分差序的兼爱;而且我们也很不容易找到个人对于团体的道
    德要素。在西洋团体格局的社会中,公务,履行义务,是一个清楚明
    白的行为规范。而这在中国传统中是没有的。现在我们有时把“忠”字抬出来放在这位置上,但是忠字的意义,在《论语》中并不如此。我在上面所引“为人谋而不忠乎”一句中的忠,是“忠恕”的注解,是“对人之诚”。“主忠信”的忠,可以和衷字相通,是由衷之意。

    子张问曰:“令尹子文三仕为令尹,无喜色,三已之,无愠色。
    旧令尹之政,必以告新令尹。何如?”子曰,“忠矣。”这个忠字虽
    则近于“忠于职务”的忠字,但是并不包含对于团体的“矢忠”。其
    实,在《论语》中,忠字甚至并不是君臣关系间的道德要素。君臣之
    间以“义”相结合。“君子之仕也,行其义也。”所以“忠臣”的观
    念可以说是后起的,而忠君并不是个人与团体的道德要素,而依旧是
    对君私之间的关系。

    团体道德的缺乏,在公私的冲突里更看得清楚。就是负有政治责
    任的君王,也得先完成他私人间的道德。《孟子·尽心上篇》有:桃
    应问,“舜为天子,皋陶为士,瞽叟杀人,则如之何?”孟子
    曰:“执之而已矣。”“然则舜不禁与?”曰:“夫舜恶得而禁之,
    夫有所授之也。”“然则舜如之何?”曰:“舜视弃天下,犹弃敝屣
    也。窃负而逃,遵海滨而处,终身诉然,乐而忘天下。”——这是说
    舜做了皇帝,不能用对其他国民一样的态度去对待他的父亲。孟子所
    回答的是这种冲突的理想解决法,他还是想两全,所以想出逃到海滨
    不受法律所及的地方去的办法。他这样回答是可以的,因为所问的也
    并非事实问题。另一个地方,孟子所遇到的问题,却更表现了道德标
    准的缺乏普遍性了。万章问曰:“象日以杀舜为事,立为天子,则放
    之,何也?”孟子曰:“封之也,或曰放焉。”万章曰:“象至不仁,封之有庳,有庳之人奚罪焉?仁人固如是乎?在他人则诛之,在弟则封之?”孟子的回答是“身为天子,弟为匹夫,可谓亲爱之乎?”

    一个差序格局的社会,是由无数私人关系搭成的网络。这网络的每一个结都附着一种道德要素,因之,传统的道德里不另找出一个笼统性的道德观念来,所有的价值标准也不能超脱于差序的人伦而存在了。

    中国的道德和法律,都因之得看所施的对象和“自己”的关系而加以程度上的伸缩。我见过不少痛骂贪污的朋友,遇到他的父亲贪污时,不但不骂,而且代他讳隐。更甚的,他还可以向父亲要贪污得来的钱,同时骂别人贪污。等到自己贪污时,还可以“能干”两字来自解。这在差序社会里可以不觉得是矛盾;因为在这种社会中,一切普遍的标准并不发生作用,一定要问清了,对象是谁,和自己是什么关系之后,才能决定拿出什么标准来。

    团体格局的社会里,在同一团体的人是“兼善”的,就是“相同”的。孟子最反对的就是那一套。他说:“夫物之不齐,物之情也,子比而同之,是乱天下也。”墨家的“爱无差等”,和儒家的人伦差序,恰恰相反,所以孟子要骂他无父无君了。

    家族

    我曾在以上两章中,从群己的关系上讨论到社会结构的格局。我
    也在那章里提出了若干概念,比如“差序格局”和“团体格局”。我
    知道这些生疏的名词会引起读者的麻烦,但是为了要表明一些在已有
    社会学词汇里所没有确当名词来指称的概念,我不能不写下这些新的
    标记。这些标记并没有使我完全满意,而且也有容易引起误会的地
    方。譬如有一位朋友看过我那一章的分析之后,曾摇头说,他不能同
    意我说中国乡土社会里没有团体。他举出了家庭、氏族、邻里、街
    坊、村落,这些不是团体是什么?显然我们用同一名词指着不同的实
    体。我为了要把结构不同的两类“社群”分别出来,所以把团体一词
    加以较狭的意义,只指由团体格局中所形成的社群,用以和差序格局
    中所形成的社群相区别;后者称之作“社会圈子”,把社群来代替普
    通所谓团体。社群是一切有组织的人群。在那位朋友所列举的各种社
    群中,大体上都属于我所谓社会圈子的性质。在这里我可以附带说
    明,我并不是说中国乡土社会中没有“团体”,一切社群都属于社会
    圈子性质,譬如钱会,即,显然是属团体格局的;我在这个分析中只
    想从主要的格局说,在中国乡土社会中,差序格局和社会圈子的组织
    是比较的重要。同样的,在西洋现代社会中差序格局也是同样存在
    的,但比较上不重要罢了。这两种格局本是社会结构的基本形式,在
    概念上可以分得清,在事实上常常可以并存的,可以看得到的不过各
    有偏胜罢了。

    在概念上把这两种格局和两种组织区别出来并不是多余的,因为这个区别确可帮助我们对社会结构获得许多更切实的了解,免除种种混淆。在这里我将接着根据这套概念去看中国乡土社会中基本社群——“家”的性质。

    我想在这里提出来讨论的是我们乡土社会中的基本社群,这社群
    普通被称为“大家庭”的。我在《江村经济》中把它称作“扩大了的
    家庭”Extended family。这些名词的主体是“家庭”,在家庭上加一个小或大的形容词来说明中国和西洋性质上相同的“家庭”形式上的分别。可是我现在看来却觉得这名词并不妥当,比较确当的应该称中
    国乡土社会基本社群作“小家族”。

    我提出这新名词来的原因是在想从结构的原则上去说明中西社会
    里“家”的区别。我们普通所谓大家庭和小家庭的差别决不是在大小
    上,不是在这社群所包括的人数上,而是在结构上。一个有十多个孩
    子的家并不构成“大家庭”的条件,一个只有公婆儿媳四个人的家却
    不能称之为“小家庭”。在数目上说,前者比后者为多,但在结构上
    说,后者却比前者为复杂,两者所用的原则不同。

    家庭这概念在人类学上有明确的界说:这是个亲子所构成的生育
    社群。亲子指它的结构,生育指它的功能。亲子是双系的,兼指父母
    双方;子女限于配偶所生出的孩子。这社群的结合是为了子女的生和
    育。在由个人来担负孩子生育任务的社会里,这种社群是不会少的。
    但是生育的功能,就每个个别的家庭说,是短期的,孩子们长成了也
    就脱离他们的父母的抚育,去经营他们自己的生育儿女的事务,一代
    又一代。家庭这社群因之是暂时性的。从这方面说,家庭这社群和普
    通的社群不完全一样。学校、国家这些社群并不是暂时,虽则事实上
    也不是永久的,但是都不是临时性的,因为它们所具的功能是长期性
    的。家庭既以生育为它的功能,在开始时就得准备结束。抚育孩子的
    目的就在结束抚育。关于这一层意思我在《生育制度》一书中有详细
    的讨论。

    但是在任何文化中,家庭这社群总是赋有生育之外其他的功能。
    夫妇之间的合作并不因儿女长成而结束。如果家庭不变质,限于亲子
    所构成的社群,在它形成伊始,以及儿女长成之后,有一段期间只是
    夫妇的结合。夫妇之间固然经营着经济的、感情的、两性的合作,但
    是所经营的事务受着很大的限制,凡是需要较多人合作的事务就得由
    其他社群来经营了。

    在西洋,家庭是团体性的社群,这一点我在上面已经说明有严格
    的团体界限。因为这缘故,这个社群能经营的事务也很少,主要的是
    生育儿女。可是在中国乡土社会中,家并没有严格的团体界限,这社
    群里的分子可以依需要,沿亲属差序向外扩大。构成这个我所谓社圈
    的分子并不限于亲子。但是在结构上扩大的路线却有限制。中国的家
    扩大的路线是单系的,就是只包括父系这一方面;除了少数例外,家
    并不能同时包括媳妇和女婿。在父系原则下女婿和结了婚的女儿都是
    外家人。在父系方面却可以扩大得很远,五世同堂的家,可以包括五
    代之内所有父系方面的亲属。

    这种根据单系亲属原则所组成的社群,在人类学中有个专门名
    称,叫氏族。我们的家在结构上是一个氏族。但是和普通我们所谓族
    也不完全相同,因为我们所谓族是由许多家所组成,是一个社群的社
    群。因之,我在这里提了这个“小家族”的名词。小家族和大家族在
    结构原则上是相同的,不相同是在数量、在大小上。——这是我不愿
    用大家庭,而用小家族的原因。一字的相差,却说明了这社群的结构
    性质。

    家族在结构上包括家庭;最小的家族也可以等于家庭。因为亲属
    的结构的基础是亲子关系,父母子的三角。家族是从家庭基础上推出
    来的。但是包括在家族中的家庭只是社会圈子中的一轮,不能说它不
    存在,但也不能说它自成一个独立的单位,不是一个团体。

    形态上的差异,也引起了性质上的变化。家族虽则包括生育的功
    能,但不限于生育的功能。依人类学上的说法,氏族是一个事业组
    织,再扩大就可以成为一个部落。氏族和部落具有政治、经济、宗教
    等复杂的功能。我们的家也正是这样。我的假设是中国乡土社会采取
    了差序格局,利用亲属的伦常去组合社群,经营各种事业,使这基本
    的家,变成氏族性了。一方面我们可以说在中国乡土社会中,不论政
    治、经济、宗教等功能都可以利用家族来担负,另一方面也可以说,
    为了要经营这许多事业,家的结构不能限于亲子的小组合,必须加以
    扩大。而且凡是政治、经济、宗教等事物都需要长期绵续性的,这个
    基本社群决不能像西洋的家庭一般是临时的。家必须是绵续的,不因
    个人的长成而分裂,不因个人的死亡而结束,于是家的性质变成了
    族。氏族本是长期的,和我们的家一般。我称我们这种社群作小家
    族,也表示了这种长期性在内,和家庭的临时性相对照。

    中国的家是一个事业组织,家的大小是依着事业的大小而决定
    的。如果事业小,夫妇两人的合作已够应付,这个家也可以小得等于
    家庭;如果事业大,超过了夫妇两人所能担负时,兄弟伯叔全可以集
    合在一个大家里。这说明了我们乡土社会中家的大小变异可以很甚。
    但不论大小上差别到什么程度,结构原则上却是一贯的、单系的差序
    格局。

    以生育社群来担负其他很多的功能,使这社群中各分子的关系的
    内容也发生了变化。在西洋家庭团体中,夫妇是主轴,夫妇共同经营
    生育事务,子女在这团体中是配角,他们长成了就离开这团体。在他
    们,政治、经济、宗教等功能有其他团体来担负,不在家庭的分内。
    夫妇成为主轴,两性之间的感情是凝合的力量。两性感情的发展,使
    他们的家庭成了获取生活上安慰的中心。我在《美国人性格》一书中
    曾用“生活堡垒”一词去形容它。

    在我们的乡土社会中,家的性质在这方面有着显著的差别。我们
    的家是个绵续性的事业社群,它的主轴是在父子之间,在婆媳之间,
    是纵的,不是横的。夫妇成了配轴。配轴虽则和主轴一样并不是临时
    性的,但是这两轴却都被事业的需要而排斥了普通的感情。我所谓普
    通的感情是和纪律相对照的。一切事业都不能脱离效率的考虑。求效
    率就得讲纪律;纪律排斥私情的宽容。在中国的家庭里有家法,在夫
    妇间得相敬,女子有着三从四德的标准,亲子间讲究负责和服从。这
    些都是事业社群里的特色。

    不但在大户人家,书香门第,男女有着阃内阃外的隔离,就是在
    乡村里,夫妇之间感情的淡漠也是日常可见的现象。我在乡间调查时
    特别注意过这问题,后来我又因疏散下乡,和农家住在一所房子里很
    久,更使我认识了这事实。我所知道的乡下夫妇大多是“用不着多说
    话的”,“实在没有什么话可说的”。一早起各人忙着各人的事,没
    有工夫说闲话。出了门,各做各的。妇人家如果不下田,留在家里带
    孩子。工做完了,男子们也不常留在家里,男子汉如果守着老婆,没
    出息。有事在外,没事也在外。茶馆,烟铺,甚至街头巷口,是男子
    们找感情上安慰的消遣场所。在那些地方,大家有说有笑,热热闹闹
    的。回到家,夫妇间合作顺利,各人好好地按着应做的事各做各的。
    做得好,没事,也没话;合作得不对劲,闹一场,动手动脚,说不上
    亲热。这些观察使我觉得西洋的家和我们乡下的家,在感情生活上实
    在不能并论。乡下,有说有笑,有情有意的是在同性和同年龄的集团
    中,男的和男的在一起,女的和女的在一起,孩子们又在一起,除了
    工作和生育事务上,性别和年龄组间保持着很大的距离。这决不是偶
    然的,在我看来,这是把生育之外的许多功能拉入了这社群中去之后
    所引起的结果。中国人在感情上,尤其是在两性间的矜持和保留,不
    肯像西洋人一般的在表面上流露,也是在这种社会圜局中养成的性
    格。

    男女有别

    在上篇我说家族在中国的乡土社会里是一个事业社群,凡是做事
    业的社群,纪律是必须维持的,纪律排斥了私情。这里我们碰着了中
    国传统感情定向的基本问题了。在上篇我虽则已说到了一些,但是还
    想在本篇里再申引发挥一下。

    我用感情定向一词来指一个人发展他感情的方向,而这方向却受
    着文化的规定,所以在分析一个文化范型时,我们应当注意这文化所
    规定个人感情可以发展的方向,简称作感情定向。“感情”又可以从
    两方面去看:心理学可以从机体的生理变化来说明感情的本质和种
    类,社会学却从感情在人和人的关系上去看它所发生的作用。喜怒哀
    乐固然是生理现象,但是总发生在人事圜局之中,而且影响人事的关
    系,它们和其他个人的行为一样,在社会现象的一层里得到它们的意
    义。

    感情从心理方面说是一种体内的行为,导发外表的行为。William James[1842—1910,哲学家、心理学家,实用主义的创始人之一]说感情是内脏的变化。这变化形成了动作的趋势,本身是一种紧张状态,发动行为的力量。如果一种刺激和一种反应之间的关联,经过了练习,已经相当固定的话,多少可说成为自动时,就不会发生体内的紧张状态,也就是说,不带着强烈的感情。感情常发生在新反应的尝试和旧反应的受阻情形中。

    这里所谓感情相当于普通所谓激动,动了情,甚至说动了火。用火来形容感情,就在指这动的势和紧张的状态,从社会关系上说感情是具有破坏和创造作用的。感情的激动改变了原有的关系。这也就是说,如果要维持固定的社会关系,就得避免感情的激动。其实,感情的淡漠是稳定的社会关系的一种表示。所以我在上篇曾说纪律是排斥私情的。

    稳定社会关系的力量,不是感情,而是了解。所谓了解,是指接
    受着同一的意义体系。同样的刺激会引起同样的反应。我在论“文字
    下乡”的两篇里,已说起过熟习所引起的亲密感觉。亲密感觉和激动
    性的感情是不相同的。它是契洽,发生持续作用;它是无言的,不像
    感情奔放时铿然有声,歌哭哀号是激动时不缺的配合。

    Oswald Spengler[奥斯瓦德·斯宾格勒,1880—1936,历史学家]在“西方陆沈论[《西方的没落》]”里曾说西洋曾有两种文化模式:一种他称作阿波罗式的Apollonian;一种他称作浮士德式的Faustian。阿波罗式的文化认定宇宙的安排有一个完善的秩序,这个秩序超于人力的创造,人不过是去接受它,安于其位,维持它;但是人连维持它的力量都没有,天堂遗失了,黄金时代过去了。这是西方
    古典的精神。现代的文化却是浮士德式的。他们把冲突看成存在的基
    础,生命是阻碍的克服;没有了阻碍,生命也就失去了意义。他们把
    前途看成无尽的创造过程,不断改变。

    这两种文化观很可以用来了解乡土社会和现代社会在感情定向上的差别。乡土社会是阿波罗式的,而现代社会是浮士德式的。这两套精神的差别也表现在两种社会最基本的社会生活里。

    乡土社会是靠亲密和长期的共同生活来配合各个人的相互行为,
    社会的联系是长成的,是熟习的,到某种程度使人感觉到是自动的。
    只有生于斯、死于斯的人群里才能培养出这种亲密的群体,其中各个
    人有着高度的了解。好恶相投,连臭味都一般。要达到这境界,却有
    一个条件,就是没有什么差别在阻碍着各人间的充分了解。空间的位
    置,在乡土社会中的确已不太成为阻碍人了解的因素了。人们生活在
    同一的小天地里,这小天地多少是孤立的,和别群人没有重要的接
    触。在时间上,每一代的人在同一的周期中生老病死,一个公式。年
    轻的人固然在没有经历过年长的生活时,可以不了解年长的人的心
    情,年龄因之多少是一种隔膜,但是这隔膜却是一方面的,年长的人
    可以了解年轻的人,他们甚至可以预知年轻的人将要碰着的问题。年
    轻的人在把年长的人当作他们生活的参考蓝图时,所谓“不了解”也
    不是分划的鸿沟。

    乡土社会中阻碍着共同生活的人充分了解的却是个人生理上的差
    别。这差别倒并不是起于有着悬殊的遗传特质,这在世代互婚的小社
    区里并不会太显著的。永远划分着人们生理差别的是男女两性。正因
    为还没有人能亲身体会过两性的差别,我们对于这差别的认识,总是
    间接的;所能说的差别多少只限于表面的。在实际生活中,谁都会感
    觉到异性的隔膜,但是差别的内容却永远是个猜想,无法领会。

    在以充分了解来配合人们相互行为的社会中,这性别的鸿沟是个
    基本的阻碍。只在他们理想的天堂里,这鸿沟才算被克服:宗教家对
    性的抹杀,不论自觉或不自觉,决不是偶然的。完全的道义必须有充
    分的了解,无所隔,这就不能求之于生理上早已划下了鸿沟的男女之
    间。

    男女生理上的分化是为了生育,生育却又规定了男女的结合。这
    一种结合基于异,并非基于同。在相异的基础上去求充分了解,是困
    难的,是阻碍重重的,是需要不断地在创造中求统一,是浮士德式的
    企图。浮士德是感情的象征,是把感情的激动,不断的变,作为生命
    的主脉。浮士德式的企图也是无穷止的,因为最后的统一是永远不会
    完成的,这不过是一个求同的过程。不但这样,男女的共同生活,愈
    向着深处发展,相异的程序也愈是深,求同的阻碍也愈是强大,用来
    克服这阻碍的创造力也更需强大,在浮士德的立场说,生命力也因之
    愈强,生活的意义也因之愈深。

    把浮士德式的两性恋爱看成是进入生育关系的手段是不对的。恋
    爱是一项探险,是对未知的摸索。这和友谊不同,友谊是可以停止在
    某种程度上的了解,恋爱却是不停止的,是追求。这种企图并不以实
    用为目的,是生活经验的创造,也可以说是生命意义的创造,但不是
    经济的生产,不是个事业。恋爱的持续依赖于推陈出新,不断地克服
    阻碍,也是不断地发现阻碍,要得到的是这一个过程,而不是这过程
    的结果。从结果说可以是毫无成就的。非但毫无成就,而且使社会关
    系不能稳定,使依赖于社会关系的事业不能顺利经营。依现代文化来
    看,男女间感情激动的发达已使生育的事业摇摇欲坠。这事业除非另
    外设法,由社会来经营,浮士德式的精神的确在破坏这社会上的基本
    事业。

    在乡土社会中这种精神是不容存在的。它不需要创造新的社会关
    系,社会关系是生下来就决定的。它更害怕社会关系的破坏,因为乡
    土社会所求的是稳定。它是阿波罗式的。男女间的关系必须有一种安
    排,使他们之间不发生激动性的感情。那就是男女有别的原则。“男
    女有别”是认定男女间不必求同,在生活上加以隔离。这隔离非但是
    有形的,所谓男女授受不亲,而且还是在心理上的,男女只在行为上
    按着一定的规则经营分工合作的经济和生育的事业,他们不向对方希
    望心理上的契洽。

    在社会结构上,如上篇所说的,因之发生了同性间的组合。这在
    我们乡土社会中看得很清楚。同性组合和家庭组合原则上是交错的,
    因为以生育为功能的家庭总是异性的组合。因之,乡土社会中“家
    庭”的团结受到了这同性组合的影响,不易巩固。于是家族代替了家
    庭,家族是以同性为主、异性为辅的单系组合。中国乡土社会里,以
    家族为基本社群,是同性原则较异性原则为重要的表示。

    男女有别的界限,使中国传统的感情定向偏于向同性方面去发展。变态的同性恋和自我恋究竟普遍到什么程度,我们无法确说;但是乡土社会中结义性的组织,“不愿同日生,但愿同日死”的亲密结合,多少表示了感情方向走入同性关系的一层里的程度已经并不很浅。在女性方面的极端事例是华南的姊妹组织,在女性文学里所流露的也充满着冯小青[明代扬州才女,18岁丧葬于西湖旁,成为后人咏叹对象]式的自恋声调。可惜我们对于中国人的感情生活太少分析,关于这方面的话我们只能说到这里为止了。

    缺乏两性间的求同的努力,也减少了一个不在实利上打算的刺激。中国乡土社会中那种实用的精神安下了现世的色彩。儒家不谈鬼,“祭神如神在”,可以说对于切身生活之外都漠然没有兴趣。一
    般人民更会把天国现世化;并不想把理想去改变现实,天国实现在这
    世界上,而把现实作为理想的底稿,把现世推进天国。对生活的态度
    是以克己来迁就外界,那就是改变自己去适合于外在的秩序。所以我
    们可以说这是古典的,也是阿波罗式的。

    社会秩序范围着个性,为了秩序的维持,一切足以引起破坏秩序的要素都被遏制着。男女之间的鸿沟从此筑下。乡土社会是个男女有别的社会,也是个安稳的社会。

    礼治秩序

    普通常有以“人治”和“法治”相对称,而且认为西洋是法治的
    社会,我们是“人治”的社会。其实这个对称的说法并不是很清楚
    的。法治的意思并不是说法律本身能统治,能维持社会秩序,而是说
    社会上人和人的关系是根据法律来维持的。法律还得靠权力来支持,
    还得靠人来执行,法治其实是“人依法而治”,并非没有人的因素。
    现代论法理的学者中有些极重视人的因素。他们注意到在应用法
    律于实际情形时,必须经过法官对于法律条文的解释。法官的解释对
    象虽则是法律条文,但是决定解释内容的却包含很多因素,法官个人
    的偏见,甚至是否有胃病,以及社会的舆论都是极重要的。于是他们
    认为法律不过是法官的判决。这自是片面的说法,因为法官并不能任
    意下判决的,他的判决至少也须被认为是根据法律的,但是这种看法
    也告诉我们所谓法治绝不能缺少人的因素了。

    这样说来,人治和法治有什么区别呢?如果人治是法治的对面,
    意思应当是“不依法律的统治”了。统治如果是指社会秩序的维持,
    我们很难想象一个社会的秩序可以不必靠什么力量就可以维持,人和
    人的关系可以不根据什么规定而自行配合的。如果不根据法律,根据
    什么呢?望文生义地说来,人治好像是指有权力的人任凭一己之好恶
    来规定社会上人和人的关系的意思。我很怀疑这种“人治”是可能发
    生的。如果共同生活的人们,相互的行为、权利和义务,没有一定规
    范可守,依着统治者好恶来决定。而好恶也无法预测的话,社会必然
    会混乱,人们会不知道怎样行动,那是不可能的,因之也说不
    上“治”了。

    所谓人治和法治之别,不在人和法这两个字上,而是在维持秩序
    时所用的力量,和所根据的规范的性质。

    乡土社会秩序的维持,有很多方面和现代社会秩序的维持是不相
    同的。可是所不同的并不是说乡土社会是“无法无天”,或者说“无
    需规律”。的确有些人这样想过。返朴回真的老子觉得只要把社区的
    范围缩小,在鸡犬相闻而不相往来的小国寡民的社会里,社会秩序无
    需外力来维持,单凭每个人的本能或良知,就能相安无事了。这种想
    法也并不限于老子。就是在现代交通之下,全世界的经济已密切相关
    到成为一体时,美国还有大多数人信奉着古典经济学里的自由竞争的
    理想,反对用人为的“计划”和“统制”来维持经济秩序,而认为在
    自由竞争下,冥冥之中,自有一双看不见的手,会为人们理出一个合
    于道德的经济秩序来的。不论在社会、政治、经济各个范围中,都有
    认为“无政府”是最理想的状态,当然所谓“无政府”决不是等
    于“混乱”,而是一种“秩序”,一种不需规律的秩序,一种自动的
    秩序,是“无治而治”的社会。

    可是乡土社会并不是这种社会,我们可以说这是个“无法”的社
    会,假如我们把法律限于以国家权力所维持的规则;但是“无法”并
    不影响这社会的秩序,因为乡土社会是“礼治”的社会。
    让我先说明,礼治社会并不是指文质彬彬,像《镜花缘》里所描
    写的君子国一般的社会。礼并不带有“文明”、或是“慈善”、或
    是“见了人点个头”、不穷凶极恶的意思。礼也可以杀人,可以
    很“野蛮”。譬如在印度有些地方,丈夫死了,妻子得在葬礼里被别
    人用火烧死,这是礼。又好像在缅甸有些地方,一个人成年时,一定
    要去杀几个人头回来,才能完成为成年礼而举行的仪式。我们在旧小
    说里也常读到杀了人来祭旗,那是军礼。——礼的内容在现代标准看
    去,可能是很残酷的。残酷与否并非合礼与否的问题。“子贡欲去告
    朔之饩羊。子曰,赐也,尔爱其羊,我爱其礼。”恻隐之心并没有使
    孔子同意于取消相当残忍的行为。

    礼是社会公认合式的行为规范。合于礼的就是说这些行为是做得对的,对是合式的意思。如果单从行为规范一点说,本和法律无异,法律也是一种行为规范。礼和法不相同的地方是维持规范的力量。法
    律是靠国家的权力来推行的。“国家”是指政治的权力,在现代国家
    没有形成前,部落也是政治权力。而礼却不需要这有形的权力机构来
    维持。维持礼这种规范的是传统。

    传统是社会所累积的经验。行为规范的目的是在配合人们的行为以完成社会的任务,社会的任务是在满足社会中各分子的生活需要。人们要满足需要必须相互合作,并且采取有效技术,向环境获取资源。这套方法并不是由每个人自行设计,或临时聚集了若干人加以规
    划的。人们有学习的能力,上一代所试验出来有效的结果,可以教给
    下一代。这样一代一代地累积出一套帮助人们生活的方法。从每个人
    说,在他出生之前,已经有人替他准备下怎样去应付人生道上所可能
    发生的问题了。他只要“学而时习之”就可以享受满足需要的愉快了。

    文化本来就是传统,不论哪一个社会,绝不会没有传统的。衣食
    住行种种最基本的事务,我们并不要事事费心思,那是因为我们托祖
    宗之福,一一有着可以遵守的成法。但是在乡土社会中,传统的重要
    性比现代社会更甚。那是因为在乡土社会里传统的效力更大。
    乡土社会是安土重迁的,生于斯、长于斯、死于斯的社会。不但
    是人口流动很小,而且人们所取给资源的土地也很少变动。在这种不
    分秦汉,代代如是的环境里,个人不但可以信任自己的经验,而且同
    样可以信任若祖若父的经验。一个在乡土社会里种田的老农所遇着的
    只是四季的转换,而不是时代变更。一年一度,周而复始。前人所用
    来解决生活问题的方案,尽可抄袭来作自己生活的指南。愈是经过前
    代生活中证明有效的,也愈值得保守。于是“言必尧舜”,好古是生
    活的保障了。

    我自己在抗战时,疏散在昆明乡下,初生的孩子,整天啼哭不
    定,找不到医生,只有请教房东老太太。她一听哭声就知道牙根上生
    了“假牙”,是一种寄生菌,吃奶时就会发痛,不吃奶又饿。她不慌
    不忙地要我们用咸菜和蓝青布去擦孩子的嘴腔。一两天果然好了。这
    地方有这种病,每个孩子都发生,也因之每个母亲都知道怎样治,那
    是有效的经验。只要环境不变,没有新的细菌侵入,这套不必讲学理
    的应付方法,总是有效的。既有效也就不必问理由了。

    像这一类的传统,不必知之,只要照办,生活就能得到保障的办
    法,自然会随之发生一套价值。我们说“灵验”,就是说含有一种不
    可知的魔力在后面。依照着做就有福,不依照了就会出毛病。于是人
    们对于传统也就渐渐有了敬畏之感了。

    如果我们对行为和目的之间的关系不加推究,只按着规定的方法
    做,而且对于规定的方法带着不这样做就会有不幸的信念时,这套行
    为也就成了我们普通所谓“仪式”了。礼是按着仪式做的意思。礼字
    本是从豊从示。豊是一种祭器,示是指一种仪式。

    礼并不是靠一个外在的权力来推行的,而是从教化中养成了个人的敬畏之感,使人服膺;人服礼是主动的。礼是可以为人所好的,所谓“富于好礼”。孔子很重视服礼的主动性,在下面一段话里说得很楚:颜渊问仁。子曰:“克己复礼为仁。一日克己复礼,天下归仁焉。为仁由己,而由人乎哉?”颜渊曰:“请问其目。”子曰:“非礼勿视,非礼勿听,非礼勿言,非礼勿动。”颜渊曰:“回虽不敏,请事斯语。”

    这显然是和法律不同了,甚至不同于普通所谓道德。法律是从外限制人的,不守法所得到的罚是由特定的权力所加之于个人的。人可以逃避法网,逃得脱还可以自己骄傲、得意。道德是社会舆论所维持的,做了不道德的事,见不得人,那是不好;受人吐弃,是耻。礼则有甚于道德:如果失礼,不但不好,而且不对、不合、不成。这是个人习惯所维持的。十目所视,十手所指的,即使在没有人的地方也会不能自已。曾子易箦[《礼记》:孔子学生曾子严守礼法,病死前仍坚持换掉大夫专用卧席 ]是一个很好的例子。礼是合式的路子,是经教化过程而成为主动性的服膺于传统的习惯。

    礼治从表面看去好像是人们行为不受规律拘束而自动形成的秩序。其实自动的说法是不确,只是主动地服于成规罢了。孔子一再地用“克”字,用“约”字来形容礼的养成,可见礼治并不是离开社会,由于本能或天意所构成的秩序了。

    礼治的可能必须以传统可以有效地应付生活问题为前提。乡土社会满足了这前提,因之它的秩序可以用礼来维持。在一个变迁很快的社会,传统的效力是无法保证的。不管一种生活的方法在过去是怎样有效,如果环境一改变,谁也不能再依着法子去应付新的问题了。所应付的问题如果要由团体合作的时候,就得大家接受个同意的办法,要保证大家在规定的办法下合作应付共同问题,就得有个力量来控制各个人了。这其实就是法律。也就是所谓“法治”。

    法治和礼治是发生在两种不同的社会情态中。这里所谓礼治也许
    就是普通所谓人治,但是礼治一词不会像人治一词那样容易引起误
    解,以致有人觉得社会秩序是可以由个人好恶来维持的了。礼治和这
    种个人好恶的统治相差很远,因为礼是传统,是整个社会历史在维持
    这种秩序。礼治社会是并不能在变迁很快的时代中出现的,这是乡土
    社会的特色。

    无讼

    在乡土社会里,一说起“讼师”,大家就会联想到“挑拨是
    非”之类的恶行。作刀笔吏的在这种社会里是没有地位的。可是在都
    市里律师之上还要加个大字,报纸的封面可能全幅是律师的题名录。
    而且好好的公司和个人,都会去请律师作常年顾问。在传统眼光中,
    都市真是个是非场,规矩人是住不得的了。

    讼师改称律师,更加大字在上;打官司改称起诉;包揽是非改称
    法律顾问——这套名词的改变正代表了社会性质的改变,也就是礼治
    社会变为法治社会。

    在都市社会中一个人不明白法律,要去请教别人,并不是件可耻
    之事。事实上,普通人在都市里居住,求生活,很难知道有关生活、
    职业的种种法律。法律成了专门知识。不知道法律的人却又不能在法
    律之外生活。在有秩序的都市社会中,在法律之外生活就会捣乱社会
    的共同安全,于是这种人不能不有个顾问了。律师地位的重要从此获
    得。

    但是在乡土社会的礼治秩序中做人,如果不知道“礼”,就成了
    撒野,没有规矩,简直是个道德问题,不是个好人。一个负责地方秩
    序的父母官,维持礼治秩序的理想手段是教化,而不是折狱。如果有
    非打官司不可,那必然是因为有人破坏了传统的规矩。在旧小说上,
    我们常见的听讼,亦称折狱的程序是:把“犯人”拖上堂,先各打屁
    股若干板,然后一方面大呼冤枉。父母官用了他“看相”式的眼光,
    分出那个“獐头鼠目”,必非好人,重加呵责,逼出供状,结果好恶
    分辨,冤也伸了,大呼青天。——这种程序在现代眼光中,会感觉到
    没有道理;但是在乡土社会中,这却是公认正当的。否则为什么这类
    记载,《包公案》、《施公案》等等能成了传统的畅销书呢?

    我在上一次杂话中已说明了礼治秩序的性质。在这里我可以另打
    一个譬喻来说明:在我们比赛足球时,裁判官吹了叫子,说那个人犯
    规,那个人就得受罚,用不到由双方停了球辩论。最理想的球赛是裁
    判员形同虚设(除了做个发球或出界的信号员)。为什么呢?那是因
    为每个参加比赛的球员都应当事先熟悉规则,而且都事先约定根据双
    方同意的规则进行比赛,裁判员是规则的权威。他的责任是在察看每
    个球员的动作不越出规则之外。一个有Sportsmanship的球员并不会在
    裁判员的背后,向对方的球员偷偷地打一暗拳。如果发生此类事情,
    不但裁判员可以罚他,而且这个球员,甚至全球队的名誉即受影响。
    球员对于规则要谙熟,技艺要能做到从心所欲而不逾规的程度,他需
    要长期的训练。如果发生有意犯规的举动,就可以说是训练不良,也
    是指导员的耻辱。

    这个譬喻可以用来说明乡土社会对于讼事的看法。所谓礼治就是
    对传统规则的服膺。生活各方面,人和人的关系,都有着一定的规
    则。行为者对于这些规则从小就熟习,不问理由而认为是当然的。长
    期的教育已把外在的规则化成了内在的习惯。维持礼俗的力量不在身
    外的权力,而是在身内的良心。所以这种秩序注重修身,注重克己。
    理想的礼治是每个人都自动地守规矩,不必有外在的监督。但是理想
    的礼治秩序并不是常有的。一个人可以为了自私的动机,偷偷地越出
    规矩。这种人在这种秩序里是败类无疑。每个人知礼是责任,社会假
    定每个人是知礼的,至少社会有责任要使每个人知礼。所以“子不
    教”成了“父之过”。这也是乡土社会中通行“连坐”的根据。儿子
    做了坏事情,父亲得受刑罚,甚至教师也不能辞其咎,教得认真,子
    弟不会有坏的行为。打官司也成了一种可羞之事,表示教化不够。
    在乡村里所谓调解,其实是一种教育过程。我曾在乡下参加过这
    类调解的集会。我之被邀,在乡民看来是极自然的,因为我是在学校
    里教书的,读书知礼,是权威。其他负有调解责任的是一乡的长老。
    最有意思的是保长从不发言,因为他在乡里并没有社会地位,他只是
    个干事。调解是个新名词,旧名词是评理。差不多每次都由一位很会
    说话的乡绅开口。他的公式总是把那被调解的双方都骂一顿。“这简
    直是丢我们村子里脸的事!你们还不认了错,回家去。”接着教训了
    一番。有时竟拍起桌子来发一阵脾气。他依着他认为“应当”的告诉
    他们。这一阵却极有效,双方时常就“和解”了,有时还得罚他们请
    一次客。我那时常觉得像是在球场旁看裁判官吹哨子,罚球。

    我记得一个很有意思的案子:某甲已上了年纪,抽大烟。长子为
    了全家的经济,很反对他父亲有这嗜好,但也不便干涉。次子不务正
    业,偷偷抽大烟,时常怂恿老父亲抽大烟,他可以分润一些。有一次
    给长子看见了,就痛打他的弟弟,这弟弟赖在老父身上。长子一时火
    起,骂了父亲。家里大闹起来,被人拉到乡公所来评理。那位乡绅,
    先照例认为这是件全村的丑事。接着动用了整个伦理原则,小儿子是
    败类,看上去就不是好东西,最不好,应当赶出村子。大儿子骂了父
    亲,该罚。老父亲不知道管教儿子,还要抽大烟,受了一顿教训。这
    样,大家认了罚回家。那位乡绅回头和我发了一阵牢骚。一代不如一
    代,真是世风日下。子曰:“听讼,吾犹人也,必也使无讼乎。”——当时体会到了
    孔子说这话时的神气了。

    现代都市社会中讲个人权利,权利是不能侵犯的。国家保护这些
    权利,所以定下了许多法律。一个法官并不考虑道德问题、伦理观
    念,他并不在教化人。刑罚的用意已经不复“以儆效尤”,而是在保
    护个人的权利和社会的安全。尤其在民法范围里,他并不是在分辨是
    非,而是在厘定权利。在英美以判例为基础的法律制度下,很多时间
    诉讼的目的是在获得以后可以遵守的规则。一个变动中的社会,所有
    的规则是不能不变动的。环境改变了,相互权利不能不跟着改变。事
    实上并没有两个案子的环境完全相同,所以各人的权利应当怎样厘
    定,时常成为问题,因之构成诉讼,以获取可以遵守的判例,所谓
    Test case。在这种情形里自然不发生道德问题了。

    现代的社会中并不把法律看成一种固定的规则,法律一定得随着
    时间而改变其内容。也因之,并不能盼望各个在社会里生活的人都能
    熟悉这与时俱新的法律,所以不知道法律并不成为“败类”。律师也
    成了现代社会中不可缺的职业。

    中国正处在从乡土社会蜕变的过程中,原有对诉讼的观念还是很
    坚固地存留在广大的民间,也因之使现代的司法不能彻底推行。第一
    是现行法里的原则是从西洋搬过来的,和旧有的伦理观念相差很大。
    我在前几篇杂话中已说过,在中国传统的差序格局中,原本不承认有
    可以施行于一切人的统一规则,而现行法却是采用个人平等主义的。
    这一套已经使普通老百姓不明白,在司法制度的程序上又是隔膜到不
    知怎样利用。在乡间普通人还是怕打官司的,但是新的司法制度却已
    推行下乡了。那些不容于乡土伦理的人物从此却找到了一种新的保
    障。他们可以不服乡间的调解而告到司法处去。当然,在理论上,这
    是好现象,因为这样才能破坏原有的乡土社会的传统,使中国能走上
    现代化的道路。但是事实上,在司法处去打官司的,正是那些乡间所
    认为“败类”的人物。依着现行法去判决(且把贪污那一套除外),
    时常可以和地方传统不合。乡间认为坏的行为却正可以是合法的行
    为,于是司法处在乡下人的眼光中成了一个包庇作恶的机构了。
    有一位兼司法官的县长曾和我谈到过很多这种例子。有个人因妻
    子偷了汉子打伤了奸夫。在乡间这是理直气壮的,但是和奸没有罪,
    何况又没有证据,殴伤却有罪。那位县长问我:他怎么判好呢?他更
    明白,如果是善良的乡下人,自己知道做了坏事决不会到衙门里来
    的。这些凭借一点法律知识的败类,却会在乡间为非作恶起来,法律
    还要去保护他。我也承认这是很可能发生的事实。现行的司法制度在
    乡间发生了很特殊的副作用,它破坏了原有的礼治秩序,但并不能有
    效地建立起法治秩序。法治秩序的建立不能单靠制定若干法律条文和
    设立若干法庭,重要的还得看人民怎样去应用这些设备。更进一步,
    在社会结构和思想观念上还得先有一番改革。如果在这些方面不加以
    改革,单把法律和法庭推行下乡,结果法治秩序的好处未得,而破坏
    礼治秩序的弊病却已先发生了。

    无为政治

    论权力的人多少可以分成两派,两种看法:一派是偏重在社会冲突的一方面,另一派是偏重在社会合作的一方面;两者各有偏重,所看到的不免也各有不同的地方。

    从社会冲突一方面着眼的,权力表现在社会不同团体或阶层间主从的形态里。在上的是握有权力的,他们利用权力去支配在下的,发号施令,以他们的意志去驱使被支配者的行动。权力,依这种观点说,是冲突过程的持续,是一种休战状态中的临时平衡。冲突的性质并没有消弭,但是武力的阶段过去了,被支配的一方面已认了输,屈服了。但是他们并没有甘心接受胜利者所规定下的条件,非心服也。于是两方面的关系中发生了权力。权力是维持这关系所必需的手段,它是压迫性质的,是上下之别。从这种观点看去,政府,甚至国家组织,凡是握有这种权力的,都是统治者的工具。跟下去还可以说,政府、甚至国家组织,只存在于阶级斗争的过程中。如果有一天“阶级斗争”的问题解决了,社会上不分阶级了,政府、甚至国家组织,都会像秋风里的梧桐叶一般自己凋谢落地。——这种权力我们不妨称之为横暴权力。

    从社会合作一方面着眼的,却看到权力的另一性质。社会分工的
    结果使得每个人都不能“不求人”而生活。分工对于每个人都是有利
    的,因为这是经济的基础,人可以花费较少劳力得到较多收获;劳力
    是成本,是痛苦的;人靠了分工,减轻了生活担子,增加了享受。享
    受固然是人所乐从的,但贪了这种便宜,每个人都不能自足了,不能
    独善其身,不能不管“闲事”,因为如果别人不好好地安于其位地做
    他所分的工作,就会影响自己的生活。这时,为了自己,不能不干涉
    人家了。同样,自己如果不尽其分,也会影响人家,受着人家的干
    涉。这样就发生了权利和义务,从干涉别人一方面说是权利,从自己
    接受人家的干涉一方面说是义务。各人都有维持各人的工作、维护各
    人可以互相监督的责任。没有人可以“任意”依自己高兴去做自己想
    做的事,而得遵守着大家同意分配的工作。可是这有什么保障呢?如
    果有人不遵守怎么办呢?这就发生了共同授予的权力。这种权力的基
    础是社会契约,是同意。社会分工愈复杂,这权力也愈扩大。如果不
    愿意受这种权力的限制,只有回到“不求人”的境界里去做鲁宾逊,
    那时才真的顶天立地。不然,也得“小国寡民”以减少权力。再说得
    清楚些,得抛弃经济利益,不讲享受,像人猿泰山一般回到原始生活
    水准上去。不然的话,这种权力也总解脱不了。——这种权力我们不
    妨称之为同意权力。

    这两种看法都是有根据的,并不冲突的,因为在人类社会里这两
    种权力都存在,而且在事实层里,统治者、所谓政府,总同时代表着
    这两种权力,不过是配合的成分上有不同。原因是社会分化不容易,
    至少以已往的历史说,只有合作而没有冲突。这两种过程常是互相交
    割,错综混合,冲突里有合作,合作里有冲突,不很单纯的。所以上
    面两种性质的权力是概念上的区别,不常是事实上的区分。我们如果
    要明白一个社区的权力结构就不能不从这两种权力怎样配合上去分
    析。有的社区偏重在这方面,有的社区偏重在那方面。而且更可以在
    一社区中,某些人间发生那一种权力关系,某些人间发生另一种权力
    关系。譬如说美国,表面上是偏重同意权力的,但是种族之间,事实
    上,却依旧是横暴权力在发生作用。

    许由、务光皆是传说中的贤士。相传唐尧欲让天下于许由,许由
    避之于箕山中。商汤欲让天下于务光,务光负石投水而死。
    有人觉得权力本身是具有引诱力的,人有“权力的饥饿”。这种
    看法忽略了权力的工具性。人也许因为某种心理变态可能发生单纯的
    支配欲或所谓Sadism(残酷的嗜好),但这究竟不是正常。人们喜欢
    的是从权力得到的利益。如果握在手上的权力并不能得到利益,或是
    利益可以不必握有权力也能得到的话,权力引诱也就不会太强烈。譬
    如英国有一次民意测验,愿意自己孩子将来做议员或做阁员的人的比
    例很低。在英国做议员或做阁员的人薪水虽低,还是有着社会荣誉的
    报酬,大多数的人对此尚且并无急于攀登之意,如果连荣誉都不给的
    话,使用权力的人真成为公仆时,恐怕世界上许由、务光之类的人物
    也将不足为奇了。

    权力之所以引诱人,最主要的应当是经济利益。在同意权力下,
    握有权力者并不是为了要保障自身特殊的利益,所以社会上必须用荣
    誉和高薪来延揽。至于横暴权力和经济利益的关系就更为密切了。统
    治者要用暴力来维持他们的地位不能是没有目的的,而所具的目的也
    很难想象不是经济的。我们很可以反过来说,如果没有经济利益可
    得,横暴权力也就没有多大的意义,因之也就不易发生。

    甲团体想用权力来统治乙团体以谋得经济利益,必须有一前提:
    就是乙团体的存在可以供给这项利益;说得更明白一些,乙团体的生
    产量必须能超过他的消费量,然后有一些剩余去引诱甲团体来征服
    他。这是极重要的。一个只有生产他生存必需的消费品的人是并没有
    资格做奴隶的。我说这话意思是想指出农业社会中横暴权力的限制。
    在广西瑶山里调查时,我常见到汉人侵占瑶人的土地,而并不征服瑶
    人来作奴隶。原因当然很多,但主要的一个,依我看来,是土地太贫
    乏,而种水田的瑶人,并不肯降低生活程度,做汉人的佃户。如果瑶
    人打不过汉人,他们就放弃土地搬到别处去。在农业民族的争斗中,
    最主要的方式是把土著赶走而占据他们的土地自己来耕种。尤其是在
    人口已经很多、劳力可以自足、土地利用已到了边际的时候更是如
    此。我们读历史,常常可以找到“坑卒几万人”之类的记录,至于见
    人便杀的流寇,一直到不久之前还是可能遭遇的经验。这种情形大概
    不是工业性的侵略权力所能了解的。

    我并不是说在农业性的乡土社会基础上并不能建立横暴权力。相
    反,我们常常见到这种社会恰是皇权的发祥地,那是因为乡土社会并
    不是一个富于抵抗能力的组织。农业民族受游牧民族的侵略是历史上
    不断的记录。这是不错的,东方的农业平原正是帝国的领域,但是农
    业的帝国是虚弱的,因为皇权并不能滋长壮健,能支配强大的横暴权
    力的基础不足,农业的剩余跟着人口增加而日减,和平又给人口增加
    的机会。

    中国的历史很可助证这个看法:一个雄图大略的皇权,为了开疆
    辟土,筑城修河,这些原不能说是什么虐政,正可视作一笔投资,和
    罗斯福造田纳西工程性质可以有相类之处。但是缺乏储蓄的农业经济
    却受不住这种工程的费用,没有足够的剩余,于是怨声载道,与汝偕
    亡地和皇权为难了。这种有为的皇权不能不同时加强它对内的压力,
    费用更大,陈胜吴广之流,揭竿而起,天下大乱了。人民死亡遍地,
    人口减少了,于是乱久必合,又形成一个没有比休息更能引诱人的局
    面,皇权力求无为,所谓养民。养到一个时候,皇权逐渐累积了一些
    力量,这力量又刺激皇帝的雄图大略,这种循环也因而复始。
    为了皇权自身的维持,在历史的经验中,找到了“无为”的生存
    价值,确立了无为政治的理想。

    横暴权力有着这个经济的拘束,于是在天高皇帝远的距离下,把
    乡土社会中人民切身的公事让给了同意权力去活动了。可是同意权力
    却有着一套经济条件的限制。依我在上面所说的,同意权力是分工体
    系的产物。分工体系发达,这种权力才能跟着扩大。乡土社会是个小
    农经济,在经济上每个农家,除了盐铁之外,必要时很可关门自给。
    于是我们很可以想象同意权力的范围也可以小到“关门”的程度。在
    这里我们可以看到的是乡土社会里的权力结构,虽则名义上可以说
    是“专制”“独裁”,但是除了自己不想持续的末代皇帝之外,在人
    民实际生活上看,是松弛和微弱的,是挂名的,是无为的。

    长老统治

    要了解乡土社会的权力结构,只从我在上篇所分析的横暴权力和
    同意权力两个概念去看还是不够的。我们固然可以从乡土社会的性质
    上去说明横暴权力所受到事实上的限制,但是这并不是说乡土社会权
    力结构是普通所谓“民主”形式的。民主形式根据同意权力,在乡土
    社会中,把横暴权力所加上的一层“政府”的统治揭开,在传统的无
    为政治中这层统治本是并不很强的,基层上所表现出来的也并不完全
    是许多权利上相等的公民共同参预的政治。这里正是讨论中国基层政
    治性质的一个谜。有人说中国虽没有政治民主,却有社会民主。也有
    人说中国政治结构可分为两层,不民主的一层压在民主的一层上边。
    这些看法都有一部分近似;说近似而不说确当是因为这里还有一种权
    力,既不是横暴性质,也不是同意性质;既不是发生于社会冲突,也
    不是发生于社会合作;它是发生于社会继替的过程,是教化性的权
    力,或是说爸爸式的,英文里是Paternalism。

    社会继替是我在《生育制度》一书中提出来的一个新名词,但并
    不是一个新的概念,这就是指社会成员新陈代谢的过程。生死无常,
    人寿有限;从个人说这个世界不过是个逆旅,寄寓于此的这一阵子,
    久暂相差不远。但是这个逆旅却是有着比任何客栈、饭店更复杂和更
    严格的规律。没有一个新来的人,是在进门之前就明白这一套的。不
    但如此,到这“逆旅”里来的,又不是由于自己的选择,来了之后又
    不得任意搬家;只此一家,别无分店。当然,在这大店里有着不同部
    分;每个部分,我们称之为不同文化的区域,有着不完全一样的规
    律,但是有规律这一点却并无轩轾。没有在墙壁上不挂着比十诫还多
    的“旅客须知”的。因之,每个要在这逆旅里生活的人就得接受一番
    教化,使他能在这些众多规律下,从心所欲而不碰着铁壁。

    社会继替,就是社会分工的世代交替。“在人寿有限、生死无常的变动中,一个人的生活却依赖于一个完整的社会分工结构,所以社会不能不不断地预备下新人物等着去接替旧人物死亡和退伍所发生的
    缺位。”(费孝通:《乡土中国·生育制度》,北京:北京大学出版社1998年版,第223页。)

    社会中的规律有些是社会冲突的结果,也有些是社会合作的结
    果。在个人行为的四周所张起的铁壁,有些是横暴的,有些是同意
    的。但是无论如何,这些规律是要人遵守的,规律的内容是要人明白
    的。人如果像蚂蚁或是蜜蜂,情形也就简单了。群体生活的规律有着
    生理的保障,不学而能。人的规律类皆人为。用筷子夹豆腐,穿了高
    跟鞋跳舞不践别人的脚,真是难为人的规律;不学,不习,固然不
    成,学习时还得不怕困,不惮烦。不怕困,不惮烦,又非天性;于是
    不能不加以一些强制。强制发生了权力。

    这样发生的权力并非同意,又非横暴。说孩子们必须穿鞋才准上
    街是一种社会契约未免过分。所谓社会契约必先假定个人的意志。个
    人对于这种契约虽则并没有自由解脱的权利,但是这种契约性的规律
    在形成的过程中,必须尊重各个人的自由意志,民主政治的形式就是
    综合个人意志和社会强制的结果。在教化过程中并不发生这个问题,
    被教化者并没有选择的机会。他所要学习的那一套,我们称作文化
    的,是先于他而存在的。我们不用“意志”加在未成年的孩子的人格
    中,就因为在教化过程里并不需要这种承认。其实,所谓意志并不像
    生理上的器官一样是慢慢长成的,这不是心理现象,而是社会的承
    认。在维持同意秩序中,这是个必需的要素;在别的秩序中也就不发
    生了。我们不承认未成年的人有意志,也就说明了他们并没有进入同
    意秩序的事实。

    我曾说:“孩子碰着的不是一个为他方便而设下的世界,而是一个为成人们方便所布置下的园地。他闯入进来,并没有带着创立新秩序的力量,可是又没有个服从旧秩序的心愿”(《生育制度》一〇一
    页)。从并不征求、也不考虑他们同意与否而设下他们必须适应的社
    会生活方式的一方面说,教化他们的人可以说是不民主的,但若说是
    横暴却又不然。横暴权力是发生于社会冲突,是利用来剥削被统治者
    以获得利益的工具。如果说教化过程是剥削性的,显然也是过分的。
    我曾称这是个“损己利人”的工作,一个人担负一个胚胎培养到成人
    的责任,除了精神上的安慰外,物质上有什么好处呢?“成人”的时
    限降低到生理上尚是儿童的程度,从而开始“剥削”,也许是可以发
    生的现象,但是为经济打算而生男育女,至少是一件打算得不大精到
    的亏本生意。

    从表面上看,“一个孩子在一小时中所受到的干涉,一定会超过
    成年人一年中所受社会指摘的次数。在最专制的君王手下做老百姓,
    也不会比一个孩子在最疼他的父母手下过日子为难过”(同上注)。
    但是性质上严父和专制君王究竟是不同的。所不同的就在教化过程是
    代替社会去陶炼出合于在一定的文化方式中经营群体生活的分子。担
    负这工作的,一方面也可以说是为了社会,一方面可以说是为了被教
    化者,并不是统治关系。

    教化性的权力虽则在亲子关系里表现得最明显,但并不限于亲子关系。凡是文化性的,不是政治性的强制都包含这种权力。文化和政治的区别就在这里:凡是被社会不成问题地加以接受的规范,是文化
    性的;当一个社会还没有共同接受一套规范,各种意见纷呈,求取临
    时解决办法的活动是政治。文化的基础必须是同意的,但文化对于社
    会的新分子是强制的,是一种教化过程。

    在变化很少的社会里,文化是稳定的,很少新的问题,生活是一
    套传统的办法。如果我们能想象一个完全由传统所规定下的社会生
    活,这社会可以说是没有政治的,有的只是教化。事实上固然并没有
    这种社会,但是乡土社会却是靠近这种标准的社会。“为政不在多
    言”、“无为而治”都是描写政治活动的单纯。也是这种社会,人的
    行为有着传统的礼管束着,儒家很有意思想形成一个建筑在教化权力
    上的王者;他们从没有热心于横暴权力所维持的秩序。“苛政猛于
    虎”的政是横暴性的,“为政以德”的政是教化性的。“为民父
    母”是爸爸式权力的意思。

    教化权力的扩大到成人之间的关系必须得假定个稳定的文化。稳
    定的文化传统是有效的保证。我们如果就个别问题求个别应付时,不
    免“活到老,学到老”,因为每一段生活所遇着的问题都是不同的。
    文化像是一张生活谱,我们可以按着问题去查照。所以在这种社会里
    没有我们现在所谓成年的界限。凡是比自己年长的,他必定先发生过
    我现在才发生的问题,他也就可以是我的“师”了。三人行,必有可
    以教给我怎样去应付问题的人。而每一个年长的人都握有强制年幼的
    人的教化权力:“出则悌”,逢着年长的人都得恭敬、顺服于这种权
    力。

    在我们客套中互问年龄并不是偶然的,这礼貌正反映出我们这个
    社会里相互对待的态度是根据长幼之序。长幼之序也点出了教化权力
    所发生的效力。在我们亲属称谓中,长幼是一个极重要的原则,我们
    分出兄和弟、姊和妹、伯和叔,在许多别的民族并不这样分法。我记
    得老师史禄国先生曾提示过我:这种长幼分划是中国亲属制度中最基
    本的原则,有时可以掩盖世代原则。亲属原则是在社会生活中形成
    的,长幼原则的重要也表示了教化权力的重要。

    文化不稳定,传统的办法并不足以应付当前的问题时,教化权力
    必然跟着缩小,缩进亲子关系,师生关系,而且更限于很短的一个时
    间。在社会变迁的过程中,人并不能靠经验作指导。能依赖的是超出
    于个别情境的原则,而能形成原则、应用原则的却不一定是长者。这
    种能力和年龄的关系不大,重要的是智力和专业,还可加一点机会。
    讲机会,年幼的比年长的反而多。他们不怕变,好奇,肯试验。在变
    迁中,习惯是适应的阻碍,经验等于顽固和落伍。顽固和落伍并非只
    是口头上的讥笑,而是生存机会上的威胁。在这种情形中,一个孩子
    用小名来称呼他的父亲,不但不会引起父亲的呵责,反而是一种亲热
    的表示,同时也给父亲一种没有被挤的安慰。尊卑不在年龄上,长幼
    成为没有意义的比较,见面也不再问贵庚了。——这种社会离乡土性
    也远了。

    回到我们的乡土社会来,在它的权力结构中,虽则有着不民主的
    横暴权力,也有着民主的同意权力,但是在这两者之外还有教化权
    力,后者既非民主又异于不民主的专制,是另有一工的。所以用民主
    和不民主的尺度来衡量中国社会,都是也都不是,都有些像,但都不
    确当。一定要给它一个名词的话,我一时想不出比长老统治更好的说
    法了。

    血缘和地缘

    缺乏变动的文化里,长幼之间发生了社会的差次,年长的对年幼
    的具有强制的权力。这是血缘社会的基础。血缘的意思是人和人的权
    利和义务根据亲属关系来决定。亲属是由生育和婚姻所构成的关系。
    血缘,严格说来,只指由生育所发生的亲子关系。事实上,在单系的
    家庭组织中所注重的亲属确多由于生育而少由于婚姻,所以说是血缘
    也无妨。

    生育是社会持续所必需的,任何社会都一样,所不同的是说有些
    社会用生育所发生的社会关系来规定各人的社会地位,有些社会却并
    不如此。前者是血缘的。大体上说来,血缘社会是稳定的,缺乏变
    动;变动得大的社会,也就不易成为血缘社会。社会的稳定是指它结
    构的静止,填入结构中各个地位的个人是不能静止的,他们受着生命
    的限制,不能永久停留在那里,他们是要死的。血缘社会就是想用生
    物上的新陈代谢作用,生育,去维持社会结构的稳定。父死子继:农
    人之子恒为农,商人之子恒为商——那是职业的血缘继替;贵人之子
    依旧贵——那是身份的血缘继替;富人之子依旧富——那是财富的血
    缘继替。到现在固然很少社会能完全抛弃血缘继替,那是以亲属来担
    负生育的时代不易做到的。但是社会结构如果发生变动,完全依血缘
    去继替也属不可能。生育没有社会化之前,血缘作用的强弱似乎是以
    社会变迁的速率来决定。

    血缘所决定的社会地位不容个人选择。世界上最用不上意志,同
    时在生活上又是影响最大的决定,就是谁是你的父母。谁当你的父
    母,在你说,完全是机会,且是你存在之前的既存事实。社会用这个
    无法竞争,又不易藏没、歪曲的事实来作分配各人的职业、身份、财
    产的标准,似乎是最没有理由的了;如果有理由的话,那是因为这是
    安稳既存秩序的最基本的办法。只要你接受了这原则(我们有谁曾认
    真地怀疑过这事实?我们又有谁曾想为这原则探讨过存在的理由?)
    社会里很多可能引起的纠纷也随着不发生了。

    血缘是稳定的力量。在稳定的社会中,地缘不过是血缘的投影,
    不分离的。“生于斯、死于斯”把人和地的因缘固定了。生,也就是
    血,决定了他的地。世代间人口的繁殖,像一个根上长出的树苗,在
    地域上靠近在一伙。地域上的靠近可以说是血缘上亲疏的一种反映,
    区位是社会化了的空间。我们在方向上分出尊卑:左尊于右,南尊于
    北,这是血缘的坐标。空间本身是混然的,但是我们却用了血缘的坐
    标把空间划分了方向和位置。当我们用“地位”两字来描写一个人在
    社会中所占的据点时,这个原是指“空间”的名词却有了社会价值的
    意义。这也告诉我们“地”的关联派生于社会关系。

    在人口不流动的社会中,自足自给的乡土社会的人口是不需要流
    动的,家族这个社群包含着地域的涵义。村落这个概念可以说是多余
    的。儿谣里“摇摇摇,摇到外婆家”,在我们自己的经验中,“外婆
    家”充满着地域的意义。血缘和地缘的合一是社区的原始状态。
    但是人毕竟不是植物,还是要流动的。乡土社会中无法避免的
    是“细胞分裂”的过程,一个人口在繁殖中的血缘社群,繁殖到一定
    程度,他们不能在一定地域上集居了,那是因为这个社群所需的土地
    面积,因人口繁殖,也得不断地扩大。扩大到一个程度,住的地和工
    作的地距离太远,阻碍着效率时,这个社群就不能不在区位上分裂。
    ——这还是以土地可以无限扩张时说的。事实是,每个家族可以向外
    开垦的机会很有限,人口繁殖所引起的常是向内的精耕,精耕受着土
    地报酬递减律的限制,逼着这个社群分裂,分出来的部分另外到别的
    地方去找耕地。

    如果分出去的细胞能在荒地上开垦,另外繁殖成个村落,它和原
    来的乡村还是保持着血缘的联系,甚至用原来地名来称这新地方,那
    是说否定了空间的分离。这种例子在移民社会中很多。在美国旅行的
    人,如果只看地名,会发生这是个“揉乱了的欧洲”的幻觉。新英
    伦、纽约(新约克)是著名的;伦敦、莫斯科等地名在美国地图上都
    找得到,而且不只一个。就拿我们自己来说吧,血缘性的地缘更是显
    著。我十岁就离开了家乡,吴江,在苏州城里住了九年,但是我一直
    在各种文件的籍贯项下填着“江苏吴江”。抗战时期在云南住了八
    年,籍贯毫无改变,甚至生在云南的我的孩子,也继承着我的籍贯。
    她的一生大概也得老是填“江苏吴江”了。我们的祖宗在吴江已有二
    十多代,但是在我们的灯笼上却贴着“江夏费”的大红字。江夏是在
    湖北,从地缘上说我有什么理由和江夏攀关系?真和我的孩子一般,
    凭什么可以和她从来没有到过的吴江发生地缘呢?在这里很显然在我
    们乡土社会里地缘还没有独立成为一种构成团结力的关系。我们的籍
    贯是取自我们的父亲的,并不是根据自己所生或所住的地方,而是和
    姓一般继承的,那是“血缘”,所以我们可以说籍贯只是“血缘的空
    间投影”。

    很多离开老家漂流到别地方去的并不能像种子落入土中一般长成新村落,他们只能在其他已经形成的社区中设法插进去。如果这些没有血缘关系的人能结成一个地方社群,他们之间的联系可以是纯粹的地缘,而不是血缘了。这样血缘和地缘才能分离。但是事实上这在中国乡土社会中却相当困难。我常在各地的村子里看到被称为“客边”“新客”“外村人”等的人物。在户口册上也有注明“寄籍”的。在现代都市里都规定着可以取得该地公民权的手续,主要的是一定的居住时期。但是在乡村里居住时期并不是个重要条件,因为我知道许多村子里已有几代历史的人还是被称为新客或客边的。我在江村和禄村调查时都注意过这问题:“怎样才能成为村子里的人?”大体上说有几个条件:第一是要生根在土里:在村子里有土地。第二是要从婚姻中进入当地的亲属圈子。这几个条件并不是容易的,因为在中国乡土社会中土地并不充分自由卖买。土地权受着氏族的保护,除非得到氏族的同意,很不易把土地卖给外边人。婚姻的关系固然是取得地缘的门路,一个人嫁到了另一个地方去就成为另一个地方的人(入赘使男子可以进入另一地方社区),但是已经住入了一个地方的“外客”却并不容易娶得本地人作妻子,使他的儿女有个进入当地社区的机会。事实上大概先得有了土地,才能在血缘网中生根。——这不过是我的假设,还得更多比较材料加以证实,才能成立。

    这些寄居于社区边缘上的人物并不能说已插入了这村落社群中,
    因为他们常常得不到一个普通公民的权利,他们不被视作自己人,不
    被人所信托。我已说过乡土社会是个亲密的社会,这些人却是“陌
    生”人,来历不明,形迹可疑。可是就在这个特性上却找到了他们在
    乡土社会中的特殊职业。

    亲密的血缘关系限制着若干社会活动,最主要的是冲突和竞争;
    亲属是自己人,从一个根本上长出来的枝条,原则上是应当痛痒相
    关,有无相通的。而且亲密的共同生活中各人互相依赖的地方是多方
    面和长期的,因之在授受之间无法一笔一笔地清算往回。亲密社群的
    团结性就依赖于各分子间都相互的拖欠着未了的人情。在我们社会里
    看得最清楚,朋友之间抢着回账,意思是要对方欠自己一笔人情,像是投一笔资。欠了别人的人情就得找一个机会加重一些去回个礼,加重一些就在使对方反欠了自己一笔人情。来来往往,维持着人和人之间 的互助 合作 。 亲密 社 群中 既无法不互欠人情,也最怕“算账”。“算账”“清算”等于绝交之谓,因为如果相互不欠人情,也就无需往来了。

    但是亲属不管怎样亲密,终究还是体外之己;虽说痛痒相关,事
    实上痛痒是走不出皮肤的。如果要维持这种亲密团体中的亲密,不成
    为“不是冤家不碰头”,也必须避免太重叠的人情。社会关系中权利
    和义务必须有相当的平衡,这平衡可以在时间上拉得很长,但是如果
    是一面倒,社会关系也就要吃不消,除非加上强制的力量,不然就会
    折断的。防止折断的方法之一是减轻社会关系上的担负。举一个例子
    来说:云南乡下有一种称上的钱会,是一种信用互助组织。我调查了
    参加的人的关系,看到两种倾向,第一是避免同族的亲属,第二是侧
    重在没有亲属关系的朋友方面。我问他们为什么不找同族亲属入。他
    们的理由是很现实的。同族的亲属理论上有互通有无,相互救济的责
    任,如果有能力,有好意,不必入就可以直接给钱帮忙。事实上,这
    种慷慨的亲属并不多,如果拉了入,假若不按期交款时,碍于人情不
    能逼,结果也吹了。所以他们干脆不找同族亲属。其他亲属如舅家的
    人虽有入的,但是也常发生不交款的事。我调查时就看到一位首为此
    发急的情形。他很感慨地说:钱上往来最好不要牵涉亲戚。这句话就
    是我刚才所谓减轻社会关系上的担负的注解。

    社会生活愈发达,人和人之间的往来也愈繁重,单靠人情不易维
    持相互间权利和义务的平衡。于是“当场算清”的需要也增加了。货
    币是清算的单位和媒介,有了一定的单位,清算时可以正确;有了这
    媒介可以保证各人间所得和所欠的信用。“钱上往来”就是这种可以
    当场清算的往来,也就是普通包括在“经济”这个范围之内的活动,
    狭义地说就是生意经,或是商业。

    Kula,是一种大范围的、具有跨部落性质的交换方式。库拉施行
    于居住在一大圈岛屿上的居民之间,把散布在东新几内亚东部和北部
    的岛屿连接在一起,正好形成一个封闭的循环圈,称为库拉圈。
    在亲密的血缘社会中商业是不能存在的。这并不是说这种社会不
    发生交易,而是说他们的交易是以人情来维持的,是相互馈赠的方
    式。实质上馈赠和贸易都是有无相通,只在清算方式上有差别。以馈
    赠来经营大规模的易货在太平洋岛屿间还可以看得到。Malinowski[社会人类学家,功能主义学派的开创者之一]所描写和分析的kula制度就是一个例证。但是这种制度不但复杂,而且很受限制。普通的情形是在血缘关系之外去建立商业基础。在我们乡土社会中,有专门作贸易活动的街集。街集时常不在村子里,而在一片空场上,各地的人到这特定的地方,各以“无情”的身份出现。在
    这里大家把原来的关系暂时搁开,一切交易都得当场算清。我常看见
    隔壁邻舍大家老远的走上十多里在街集上交换清楚之后,又老远地背
    回来。他们何必到街集上去跑这一趟呢,在门前不是就可以交换的
    么?这一趟是有作用的,因为在门前是邻舍,到了街集上才是“陌
    生”人。当场算清是陌生人间的行为,不能牵涉其他社会关系的。

    在从街集贸易发展到店面贸易的过程中,“客边”的地位就有了
    特殊的方便了。寄籍在血缘性社区边缘上的外边人成了商业活动的媒
    介。村子里的人对他可以讲价钱,可以当场算清,不必讲人情,没有
    什么不好意思。所以依我所知道的村子里开店面的,除了穷苦的老年
    人摆个摊子,等于是乞丐性质外,大多是外边来的“新客”。商业是
    在血缘之外发展的。

    地缘是从商业里发展出来的社会关系。血缘是身份社会的基础,
    而地缘却是契约社会的基础。契约是指陌生人中所作的约定。在订定
    契约时,各人有选择的自由,在契约进行中,一方面有信用,一方面
    有法律。法律需要一个同意的权力去支持。契约的完成是权利义务的
    清算,须要精密的计算,确当的单位,可靠的媒介。在这里是冷静的
    考虑,不是感情,于是理性支配着人们的活动——这一切是现代社会的特性,也正是乡土社会所缺的。

    从血缘结合转变到地缘结合是社会性质的转变,也是社会史上的一个大转变。

    名实的分离

    我们把乡土社会看成一个静止的社会不过是为了方便,尤其是在
    和现代社会相比较时,静止是乡土社会的特点,但是事实上完全静止
    的社会是不存在的,乡土社会不过比现代社会变得慢而已。说变得
    慢,主要的意思自是指变动的速率,但是不同的速率也引起了变动方
    式上的殊异。我在本文里将讨论乡土社会速率很慢的变动中所形成的
    变动方式。

    我在上面讨论权力的性质时已提出三种方式:一是在社会冲突中
    所发生的横暴权力;二是从社会合作中所发生的同意权力;三是从社
    会继替中所发生的长老权力。现在我又想提出第四种权力,这种权力
    发生在激烈的社会变迁过程之中。社会继替是指人物在固定的社会结
    构中的流动;社会变迁却是指社会结构本身的变动。这两种过程并不
    是冲突的,而是同时存在的,任何社会决不会有一天突然变出一个和
    旧有结构完全不同的样式,所谓社会变迁,不论怎样快,也是逐步
    的;所变的,在一个时候说,总是整个结构中的一小部分。因之从这
    两种社会过程里所发生出来的两种权力也必然同时存在。但是它们的
    消长却互相关联。如果社会变动得慢,长老权力也就更有势力;变得
    快,“父不父,子不子”的现象就会发生,长老权力也会随着缩小。
    社会结构自身并没有要变动的需要。有些学者,好像我在上文所
    提到的那位Spengler,把社会结构(文化中的一主要部分)视作有类
    于有机体,和我们身体一般,有幼壮老衰等阶段。我并不愿意接受他
    们的看法,因为我认为社会结构,像文化的其他部分一般,是人造出
    来的,是用来从环境里取得满足生活需要的工具。社会结构的变动是
    人要它变的,要它变的原因是在它已不能答复人的需要。好比我们用
    笔写字,笔和字都是工具,目的是在想用它们来把我们的意思传达给
    别人。如果我们所要传达的对象是英国人,中文和毛笔就不能是有效
    的工具了,我们得用别的工具,英文和打字机。

    这样说来社会变迁常是发生在旧有社会结构不能应付新环境的时
    候。新的环境发生了,人们最初遭遇到的是旧方法不能获得有效的结
    果,生活上发生了困难。人们不会在没有发觉旧方法不适用之前就把
    它放弃的。旧的生活方法有习惯的惰性。但是如果它已不能答复人们
    的需要,它终必会失去人们对它的信仰,守住一个没有效力的工具是
    没有意义的,会引起生活上的不便,甚至蒙受损失。另一方面,新的
    方法却又不是现存的,必须有人发明,或是有人向别种文化去学习,
    输入,此外,还得经过试验,才能被人接受,完成社会变迁的过程。
    在新旧交替之际,不免有一个惶惑、无所适从的时期,在这个时期,
    心理上充满着紧张、犹豫和不安。这里发生了“文化英雄”,他提得
    出办法,有能力组织新的试验,能获得别人的信任。这种人可以支配
    跟从他的群众,发生了一种权力。这种权力和横暴权力并不相同,因
    为它并不是建立在剥削关系之上的;和同意权力又不同,因为它并不
    是由社会所授权的;和长老权力更不同,因为它并不根据传统的。它
    是时势所造成的,无以名之,名之曰时势权力。

    这种时势权力在初民社会中常可以看到。在荒原上,人们常常遭
    遇不平常的环境,他们需要有办法的人才,那是英雄。在战争中,也
    是非常的局面,这类英雄也脱颖而出。现代社会又是一个变迁剧烈的
    社会,这种权力也在抬头了。最有意思的就是在一个落后的国家要赶
    紧现代化的过程中,这种权力表现得也最清楚。我想我们可以从这个
    角度去看苏联的权力性质。英美的学者把它归入横暴权力的一类里,
    因为它形式上是独裁的;但是从苏联人民的立场来看,这种独裁和沙
    皇的独裁却不一样,如果我们采用这个时势权力的概念看去,就比较
    容易了解它的本质了。

    这种权力最不发达的是在安定的社会中。乡土社会,当它的社会
    结构能答复人们生活的需要时,是一个最容易安定的社会,因之它也
    是个很少“领袖”和“英雄”的社会。所谓安定是相对的,指变得很
    慢。如果我单说“很慢”,这话句并不很明朗,一定要说出慢到什么
    程度。其实孔子已回答过这问题,他的答案是“三年无改于父之
    道”。换一句话来说,社会变迁可以吸收在社会继替之中的时候,我
    们可以称这社会是安定的。
    儒家所注重的“孝”道,其实是维持社会安定的手段,孝的解释
    是“无违”,那就是承认长老权力。长老代表传统,遵守传统也就可
    以无违于父之教。但是传统的代表是要死亡的,而且自己在时间过程
    中也会进入长老的地位。如果社会变迁的速率慢到可以和世代交替的
    速率相等,亲子之间,或是两代之间,不致发生冲突,传统自身慢慢
    变,还是可以保持长老的领导权。这种社会也就不需要“革命”了。
    从整个社会看,一个领导的阶层如果能追得上社会变迁的速率,
    这社会也可以避免因社会变迁而发生的混乱。英国是一个很好的例
    子。很多人羡慕英国能不流血而实行种种富于基本性的改革,但很多
    人都忽略了他们所以能这样的条件。英国在过去几个世纪中,就整个
    世界的文化来说是处于领导地位,他是工业革命的老家。英国社会中
    的领导阶层却又是最能适应环境变动的,环境变动的速率和领导阶层
    适应变动的速率配得上才不致发生流血的革命。英国是否能保持这个
    纪录,还得看他们是否能保持这种配合。

    乡土社会环境固定,在父死三年之后才改变他的道的速率中,社
    会变迁也不致引起人事的冲突。在人事范围中,长老保持他们的权
    力,子弟们在无违的标准中接受传统的统治。在这里不发生“反
    对”,长老权力也不容忍反对。长老权力是建立在教化作用之上的,
    教化是有知对无知,如果所传递的文化是有效的,被教的自没有反对
    的必要;如果所传递的文化已经失效,根本也就失去了教化的意
    义。“反对”在这种关系里是不发生的。
    容忍、甚至奖励、反对在同意权力中才发生,因为同意权力建立
    在契约上,执行这权力的人是否遵行契约是一个须随时加以监督的问
    题。而且反对,也就是异议,是获得同意的必要步骤。在横暴权力之
    下,没有反对,只有反抗,因为反对早就包含在横暴权力的关系中。
    因之横暴权力必须压制反抗,不能容忍反对。在时势权力中,反对是
    发生于对同一问题不同的答案上,但是有时,一个社会不能同时试验
    多种不同的方案,于是在不同方案之间发生了争斗,也可以称作“冷
    仗”,宣传战,争取人民的跟从。为了求功,每一个自信可以解决问
    题的人,都会感觉到别种方案会分散群众对自己的方案的注意和拥
    护,因之产生了不能容忍反对的“思想统制”。在思想争斗中,主要
    的是阵线,反对变成了对垒。

    回到长老权力下的乡土社会说,反对被时间冲淡,成了“注
    释”。注释是维持长老权力的形式而注入变动的内容。在中国的思想
    史中,除了社会变迁急速的春秋战国这一个时期,有过百家争鸣的思
    想争斗的场面外,自从定于一尊之后,也就在注释的方式中求和社会
    的变动谋适应。注释的变动方式可以引起名实之间发生极大的分离。
    在长老权力下,传统的形式是不准反对的,但是只要表面上承认这形
    式,内容却可以经注释而改变。结果不免是口是心非。在中国旧式家
    庭中生长的人都明白家长的意志怎样在表面的无违下,事实上被歪曲
    的。虚伪在这种情境中不但是无可避免而且是必需的。对不能反对而
    又不切实用的教条或命令只有加以歪曲,只留一个面子。面子就是表
    面的无违。名实之间的距离跟着社会变迁速率而增加。在一个完全固
    定的社会结构里是不会发生这距离的,但是事实上完全固定的社会并
    不存在。在变得很慢的社会中发生了长老权力,这种统治不能容忍反
    对,社会如果加速地变动,注释式歪曲原意的办法也就免不了。挟天子以令诸侯的结果,位与权,名与实,言与行,话与事,理论与现实,全趋向于分离了。

    从欲望到需要

    提起了时势权力使我又想到关于社会变迁另一问题,也就是现在
    我们常常听到的社会计划,甚至社会工程等一套说法。很明显的,这
    套名字是现代的,不是乡土社会中所熟习的。这里其实包含着一个重
    要的变化,如果我们要明白时势权力和长老权力的差别,我们还得在
    这方面加以探讨。人类发现社会也可以计划,是一个重大的发现,也
    就是说人类已走出了乡土性的社会了。在乡土社会里是没有这想法
    的。在乡土社会中人可以靠欲望去行事,但在现代社会中欲望并不能
    作为人们行为的指导,于是产生“需要”,因之有了“计划”。从欲
    望到需要是社会变迁中一个很重要的里程碑,让我先把欲望和需要这
    两个概念区别一下。
    观察人类行为,我们常可以看到人类并不是为行为而行为、为活
    动而活动的;行为或是活动都是手段,是有所为而为的。不但你自己
    可以默察自己,一举一动,都有个目的,要吃饭才拿起筷子来,要肚
    子饿了才吃饭……总是有个“要”在领导自己的活动;你也可问别
    人:
    “为什么你来呢?有什么事么?”我们也总可以从这问题上得到
    别人对于他们的行为的解释。于是我们说人类行为是有动机的。
    说人类行为是有动机的包含着两个意思:一是人类对于自己的行
    为是可以控制的。要这样做就这样做,不要这样做就不这样做,也就
    是所谓意志。一是人类在取舍之间有所根据,这根据就是欲望。欲望
    规定了人类行为的方向,就是上面所说要这样要那样的“要”。这
    个“要”是先于行为的,要得了,也就是欲望满足了,我们会因之觉
    得愉快,欲望不满足,要而得不到,周身不舒服。在英文里欲望和要
    都是want,同时want也作缺乏解。缺乏不只是一种状态的描写,而是
    含有动的意思,这里有股劲,由不舒服而引起的劲,他推动了人类机
    体有所动作,这个劲也被称作“紧张状态”,表示这状态是不能持
    久,必须发泄的,发泄而成行为,获得满足。欲望——紧张——动作
    ——满足——愉快,那是人类行为的过程。
    欲望如果要能通过意志对行为有所控制,它必须是行为者所自觉
    的。自觉是说行为者知道自己要的是什么。在欲望一层上说这是不错
    的,可是这里却发生了一个问题,人类依着欲望而行为,他们的行为
    是否必然有利于个体的健全发展,和有利于社会间各个人的融洽配
    合,社会的完整和持续?这问题在这里提出来并不是想考虑性善性
    恶,而是从人类生存的事实上发生的。如果我们走出人类的范围,远
    远地站着,像看其他生物一般地看人类,我们可以看见人类有着相当
    久的历史了,他们做了很多事,这些事使人类能生存和绵续下去,好
    像个人的健全发展和社会的完整是他们的目的。但是逼近一看,拉了
    那些人问一问,他们却说出了很多和这些目的毫不相关的欲望来了。
    你在远处看男女相接近,生了孩子,男女合作,抚养孩子,这一套行
    为是社会完整所必需的,如果没有孩子出生,没有人领孩子,人类一
    个个死去,社会不是会乱了,人类不是断绝了么?你于是很得意去问
    这些人,他们却对你说,“我们是为了爱情,我们不要孩子,孩子却
    来了。”他们会笑你迂阔,天下找不到有维持人类种族的欲望的人,
    谁在找女朋友时想得着这种书本上的大问题?
    同样的,你在远处看,每天人都在吃淀粉、脂肪,吃维他命A、维
    他命C,一篇很长的单子,你又回去在实验室研究了一下,发现一点不
    错,淀粉供给热料,维他命A给人这个那个——合于营养,用以维持生
    命。但是你去找一个不住在现代都市的乡下佬问他,为什么吃辣子、
    大蒜,他会回答你:“这才好吃,下饭的呀。”

    爱情,好吃,是欲望,那是自觉的。直接决定我们行为的确是这
    些欲望。这些欲望所引导出来的行为是不是总和人类生存的条件相合
    的呢?这问题曾引起过很多学者的讨究。我们如果从上面这段话看
    去,不免觉得人类的欲望确乎有点微妙,他们尽管要这个要那个,结
    果却常常正合于他们生存的条件。欲望是什么呢?食色性也,那是深
    入生物基础的特性。这里似乎有一种巧妙的安排,为了种族绵续,人
    会有两性之爱;为了营养,人会有五味之好。因之,在十九世纪发生
    了一种理论说,每个人只要能“自私”,那就是充分地满足我们本性
    里带来的欲望,社会就会形成一个最好、最融洽的秩序。亚当·斯密
    说“冥冥中那只看不见的手”会安排个社会秩序给每个为自己打算的
    人们去好好生活的。

    这种理论所根据的其实并非现代社会而是乡土社会,因为在乡土
    社会中,这种理论多少可以说是正确的,正确的原因并不是真是有
    个“冥冥中”的那只手,而是在乡土社会中个人的欲望常是合于人类
    生存条件的。两者所以合,那是因为欲望并非生物事实,而是文化事
    实。我说它是文化事实,意思是人造下来教人这样想的。譬如说,北
    方人有吃大蒜的欲望,并不是遗传的,而是从小养成的。所谓“自
    私”,为自己打算,怎样打算法却还是由社会上学来的。问题不是在
    要的本身,而是在要什么的内容。这内容是文化所决定的。

    我说欲望是文化事实,这句话并没有保证说一切文化事实都是合
    于人类生存条件的。文化中有很多与人类生存条件无关甚至有害的。
    就是以吃一项来说,如果文化所允许我们入口的东西样样都是合于营
    养原则的,我们也不至于有所谓毒物一类的东西了。就是不谈毒物,
    普通的食品,还是可以助证“病从口入”的说法。再说得远一些,我
    常觉得把“生存”作为人类最终的价值是不太确切的。人类如果和其
    他动植物有些不同的地方,最重要的,在我看来,就在人在生存之外
    找到了若干价值标准,所谓真善美之类。我也常喜欢以“人是生物中
    唯一能自杀的种类”来说明人之异于禽兽的“几希”。——但是,人
    类主观上尽管有比生存更重要的价值,文化尽管有一部分可以无关及
    无益于人类的生存,这些不合于生存的条件的文化以及接受不合于生
    存条件的文化的人,却在时间里被淘汰了。他们不存在了。淘汰作用
    的力量并不限于文化之内,也有在文化之外的,是自然的力量。这力
    量并不关心于价值问题;美丑,善恶,真伪,对它是无关的,它只列
    下若干条件,不合则去,合则留。我们可以觉得病西施是美,但是自
    然却并不因她美而保留她,病的还是要死的,康健才是生存的条件。
    自然不禁止人自杀,但是没有力量可以使自杀了的还能存在。

    于是另外一种说法发生了。孙末楠[William Graham Sumner,1840—1910,社会学家,主张社会达尔文主义 ]在他的名著Folkways开章明义就说:人类先有行为,后有思想。决定行为的是从试验与错误的公式中累积出来的经验,思想只有保留这些经验的作用,自觉的欲望是文化的命令。

    在一个乡土社会中,这也是正确的,那是因为乡土社会是个传统
    社会,传统就是经验的累积,能累积就是说经得起自然选择的,各
    种“错误”——不合于生存条件的行为——被淘汰之后留下的那一套
    生活方式。不论行为者对于这套方式怎样说法,它们必然是有助于生
    存的。

    在这里更可以提到的是,在乡土社会中有很多行为我们自以为是
    用来达到某种欲望或目的;而在客观的检讨中,我们可以看到这些行
    为却在满足主观上并没有自觉的需要,而且行为和所说的目的之间毫
    无实在的关联。巫术是这种行为最明显的例子。譬如驱鬼,实际上却
    是驱除了心理上的恐惧。鬼有没有是不紧要的,恐惧却得驱除。
    在乡土社会中欲望经了文化的陶冶可以作为行为的指导,结果是
    印合于生存的条件。但是这种印合并不是自觉的,并不是计划的,乡
    土文化中微妙的配搭可以说是天工,而非人力,虽则文化是人为的。
    这种不自觉的印合,有它的弊病,那就是如果环境变了,人并不能做
    主动的有计划的适应,只能如孙末楠所说的盲目地经过错误与试验的
    公式来找新的办法。乡土社会环境不很变,因之文化变迁的速率也
    慢,人们有时间可以从容地做盲目的试验,错误所引起的损失不会是
    致命的。在工业革命的早期,思想家还可以把社会秩序交给“冥冥中
    那只看不见的手”,其实一直到目前,像美国那样发达的文化里,那
    样复杂的社会里,居然还有这样大的势力在反对计划经济。但是这时
    候要维持乡土社会中所养成的精神是有危险的了。出起乱子来,却非
    同小可了。

    社会变动得快,原来的文化并不能有效地带来生活上的满足时,
    人类不能不推求行为和目的之间的关系了。这时发现了欲望并不是最
    后的动机,而是为了达到生存条件所造下的动机。于是人开始注意到
    生存条件的本身了,——在社会学里产生了一个新的概念,“功
    能”。功能是从客观地位去看一项行为对于个人生存和社会完整上所
    发生的作用。功能并不一定是行为者所自觉的,而是分析的结果,是
    营养而不是味觉。这里我们把生存的条件变成了自觉,自觉的生存条
    件是“需要”,用以别于“欲望”。现代社会里的人开始为了营养选
    择他们的食料,这是理性的时代,理性是指人依了已知道的手段和目
    的的关系去计划他的行为,所以也可以说是科学化的。

    在现代社会里知识即是权力,因为在这种社会里生活的人要依他
    们的需要去做计划。从知识里得来的权力是我在上文中所称的时势权
    力;乡土社会是靠经验的,他们不必计划,因为时间过程中,自然替
    他们选择出一个足以依赖的传统的生活方案。各人依着欲望去活动就
    得了。

    后记

    这集子里所收的十四篇论文是从我过去一年所讲“乡村社会学”的课程中所整理出来的一部分。我这门课程已讲过好几遍,最初
    我采用美国的教本作参考,觉得不很惬意,又曾用我自己调查的材料
    讲,而那时我正注意中国乡村经济一方面的问题,学生们虽觉得有兴
    趣,但是在乡村社会学中讲经济问题未免太偏,而且同时学校有土地
    经济学和比较经济制度等课程,未免重复太多。过去一年我决定另起
    炉灶,甚至暂时撇开经济问题,专从社会结构本身来发挥。初次试验
    离开成熟之境还远,但这也算是我个人的一种企图。

    以我个人在社会学门内的工作说,这是我所努力的第二期。第一期的工作是实地的社区研究。我离开清华大学研究院之后就选择了这
    方面。二十四年的夏天,我和前妻王同惠女士一同到广西瑶山去研究
    当地瑶民的生活。那年冬天在山里遭遇了不幸,前妻未获生回,我亦
    负伤,一直在广州医院度过了春天才北返。在养病期间,我整理了前
    妻的遗稿,写成了《花篮瑶社会组织》。二十五年夏天我到自己家乡
    调查了一个村子,秋天到英国,整理材料,在老师Malinowski教授指
    导之下,写成了Peasant Life in China 一书,在二十七年返国前付
    印,二十八年出版。返国时抗战已进入第二年,所以我只能从安南入
    云南,住下了,得到中英庚款的资助,在云南开始实地研究工作,写
    出了一本《禄村农田》。后来得到农民银行的资助,成立了一个小规
    模的研究室,附设于云南大学,系云大和燕京大学合作机关。我那时
    的工作是帮忙年轻朋友们一起下乡调查,而且因为昆明轰炸频繁,所
    以在二十九年冬迁到呈贡,古城村的魁星阁。这个研究室从此得到
    了“魁阁”这个绰号。我们进行的工作有好几个计划,前后参加的也
    有十多人,有结果的是:张子毅先生的《易村手工业》、《玉村土地
    与商业》、《洱村小农经济》;史国衡先生的《昆厂劳工》、《个旧
    矿工》;谷苞先生的《化城镇的基层行政》;田汝康先生的《芒市边
    民的摆》、《内地女工》;胡庆钧先生的《呈贡基层权力结构》。其
    中有若干业已出版。我是魁阁的总助手,帮着大家讨论和写作,甚至
    抄钢笔板和油印。三十二年我到美国去了一年,把《禄村农田》《易
    村手工业》和《玉村土地与商业》改写英文,成为Earthbound China
    一书,《昆厂劳工》改写成China Enters the Machine Age 。三十三
    年回国,我一方面依旧继续做魁阁的研究工作,同时在云大和联大兼
    课,开始我的第二期工作。第二期工作是社会结构的分析,偏于通论
    性质,在理论上总结并开导实地研究。《生育制度》是这方面的第一
    本著作,这本《乡土中国》可以说是第二本。我在这两期的研究工作
    中虽则各有偏重,但在性质上是连贯的。为了要说明我选择这些方向
    来发展中国的社会学的理由,我不能不在这里一述我所认识的现代社
    会学的趋势。

    社会学在社会科学中是最年轻的一门。孔德Comte[Auguste Comte,1798—1857,哲学家、实证主义的创始人]在他《实证哲学》里采取这个名字到现在还不过近一百年,而孔德用这名词来预言的那门研究社会现象的科学应当相等于现在我们所谓“社会科学”的统称。斯宾塞Spencer[Herbert Spencer,1820—1903,哲学家]也是这样,他所谓社会学是研究社会现象的总论。把社会学降为和政治学、经济学、法律学等社会科学并列的一门学问,并非创立这名称的早年学者所意想得到的。

    社会学能不能成为一门特殊的社会科学其实还是一个没有解决的
    问题。这里牵涉到了社会科学领域的划分。如果我们承认政治学、经
    济学有它们特殊的领域,我们也就承认了社会科学可以依社会制度加
    以划分:政治学研究政治制度,经济学研究经济制度等。社会现象能
    分多少制度也就可以成立多少门社会科学。现在的社会学,从这种立
    场上说来,只是个没有长成的社会科学的老家。一旦长成了,羽毛丰
    满,就可以闹分家,独立门户去了。这个譬喻确实是说明了现代社会
    学中的一个趋势。

    讥笑社会学的朋友曾为它造下了个“剩余社会科学”的绰号。早
    年的学者像孟德斯鸠,像亚当·斯密,如果被称作社会学家并非过
    分,像《法意》,像《原富》一类的名著,包罗万象,单说是政治学
    和经济学未免偏重。但是不久他们的门徒们把这些大师们的余绪发挥
    申引,蔚成家数,都以独立门户为荣,有时甚至讨厌老家的渊源。政
    治学,经济学既已独立,留在“社会学”领域里的只剩了些不太受人
    问津的、虽则并非不重要的社会制度,好像包括家庭、婚姻、教育等
    的生育制度,以及宗教制度等等。有一个时期,社会学抱残守缺地只
    能安于“次要制度”的研究里。这样,它还是守不住这老家的,没有
    长成的还是会长成的。在最近十多年来,这“剩余领域”又开始分化
    了。
    在这次大战之前的几年里,一时风起云涌地产生了各种专门性质
    的社会学,好像孟汉Karl Mannheim的知识社会学,Joachim Wach的宗
    教社会学,叶林Eugen Ehrlich的法律社会学,甚至人类学家斐司
    Raymond Firth称他We the Tikopia的调查报告作亲属社会学。按这种
    趋势发展下去,都可以独立成为知识学,宗教学,法律学和亲属学
    的。它们还愿意拖着社会学的牌子,其实并不是看得起老家,比政治
    学和经济学心肠软一些,而是因为如果直称知识学或宗教学就不易和
    已经占领着这些领域的旧学问相混。知识学和知识论字面上太近似,
    宗教学和神学又使人易一见就分得清楚。拖着个“社会学”的名词表
    示是“以科学方法研究该项制度”的意思。社会学这名词在这潮流里
    表面上是热闹了,但是实际上却连“剩余社会科学”的绰号都不够资
    格了,所剩的几等于零了。
    让我们重回到早期的情形看一看。在孔德和斯宾塞之后有一个时
    期许多别的科学受了社会学的启发,展开了“社会现象和其他现象交
    互关系”的研究,我们不妨称作“边缘科学”。这种研究在中国社会
    学中曾占很重要的地位。我记得在十五年左右以前,世界书局曾出过
    一套社会学丛书,其中主要的是:社会的地理基础、心理基础、生物
    基础、文化基础等的题目。孔德早已指出宇宙现象的级层,凡是在上
    级的必然以下级为基础,因之也可以用下级来“解释”上级。社会现
    象正处于顶峰,所以从任何其他现象都可以用来解释它的。从解释进
    而成为“决定论”,就是说社会现象决定于其他现象。这样引诱了很
    多在其他科学里训练出来的学者进入社会学里来讨论社会现象,因而
    就从社会学里引出了许多派别:机械学派、生物学派、地理学派、文
    化学派。

    苏洛金Sorokin[Pitirim A.Sorokin,1889—1968,社会学家]曾写了一本《当代社会学学说》(黄凌霜译,商务出版)来介绍这许多派别。这书已有中译本,我在这里不必赘述。

    虽则苏洛金对于各家学说的偏见很有批评,但是我们得承认“边
    缘科学”的性质是不能不“片面”的。着眼于社会现象和地理接触边
    缘的,自不能希望他会顾到别的边缘。至于后来很多学者一定要比较
    哪一个边缘为“重要”因而发生争论,实在是多余的。从边缘说,关
    系是众多的,也可以是多边的,偏见的形成是执一废百的结果。社会
    学本身从这些“边缘科学”所得的益处,除了若干多余的争论外还有
    多少,很难下断语,但是对于其他科学却引起了很多新的发展,好像
    人文生物学,人文地理等等,在本世纪的前期有了重要的进步,不能
    不说是受了社会学的影响。

    社会现象有它的基础,那是无从否认的;其他现象对社会现象发
    生影响,也是事实;但是社会学不能被“基础论”所独占,或自足于
    各种“决定论”,那也是自明的道理。社会学躲到这边际上来是和我
    上述的社会科学分家趋势相关的。堂奥既被各个特殊社会科学占领了
    去,社会学也只能退到门限上,站在门口还要互争谁是大门,怎能不
    说是可怜相?

    社会学也许只有走综合的路线,但是怎样综合呢?苏洛金在批评
    了各派的偏见之后,提出了个X+1的公式,他的意思是尽管各派偏重各
    派的边缘,总有一个全周。其实他的公式与其说是“综合”不如说
    是“总和”。总是把各边缘加起来,和是调解偏见。可是加起来有什
    么新的贡献呢?和事老的地位也不够作为一门科学的基础。社会学的
    特色岂能只是面面周到呢?

    社会现象在内容上固然可以分成各个制度,但是这些制度并不是
    孤立的。如果社会学要成为综合性的科学,从边缘入手自不如从堂奥
    入手。以社会现象本身来看,如果社会学不成为各种社会科学的总
    称,满足于保存一个空洞的名词,容许各门特殊的社会科学对各个社
    会制度做专门的研究,它可以从两层上进行综合的工作:一是从各制
    度的关系上去探讨。譬如某一种政治制度的形式常和某一种经济制度
    的形式相配合,又譬如在宗教制度中发生了某种变动会在政治或经济
    制度引起某种影响。从各制度的相互关系上着眼,我们可以看到全盘
    社会结构的格式。社会学在这里可以得到各个特殊的社会科学所留下
    的,也是它们无法包括的园地。

    中镇(Middletown),1924年,美国社会学家R.S.林德和H.M.林
    德夫妇对美国的一个小镇进行了人类学的研究,并于1929年、1937年
    先后发表了《中镇:现代美国文化研究》、《转变中的中镇:文化冲
    突研究》,发展了社区研究,开拓了都市人类学的研究视野。
    以全盘社会结构的格式作为研究对象,这对象并不能是概然性
    的,必须是具体的社区,因为联系着各个社会制度的是人们的生活,
    人们的生活有时空的坐落,这就是社区。每一个社区都有它的一套社
    会结构,各制度配合的方式。因之,现代社会学的一个趋势就是社区
    研究,也称作社区分析。

    社区分析的初步工作是在一定时空坐落中去描画出一地方人民所赖以生活的社会结构。在这一层上可以说是和历史学的工作相通的。社区分析在目前虽则常以当前的社区作研究对象,但这只是为了方便的原因,如果历史材料充分的话,任何时代的社区都同样可作分析对象。

    社区分析的第二步是比较研究,在比较不同社区的社会结构时,常会发现每个社会结构都有它配合的原则,原则不同,表现出来结构的形式也不一样。于是产生了“格式”的概念。在英美人类学中这种研究的趋势已经十分明显,好 像 Pattern,Configuration,Integration一类名词都是针对着这种结构方面的研究,我们不妨称之作“结构论”Structuralism,它是“功能论”Functionalism的延续。但是在什么决定“格式”的问题上却还没有一致的意见。在这里不免又卷起“边缘科学”的余波,有些注重地理因素,有些注重心理因素。但这余波和早年分派互讦的情形不完全相同,因为社区结构研究中对象是具体的;有这个综合的中心,各种影响这中心的因素都不致成为抽象的理论,而是可以观察、衡量的作用。

    在社区分析这方面,现代社会学却和人类学的一部分通了家。人类学原是一门包罗极广的科学,和社会学一样经历了分化过程,研究文化的一部分也发生了社区研究的趋势。所以这两门学问在这一点上辐辏会合。譬如林德Lynd的Middletown和马林诺夫斯基Malinowski在Trobriad岛上的调查报告,性质上是相同的。嗣后人类学者开始研究文明人的社区,如槐南Warner的Yankee City Series ,艾勃里Embree的《须惠村》(日本农村)以及拙作Peasant Life in China 和Earthbound China ,更不易分辨是人类学或社会学的作品了。美国社会学大师派克先生Park[Robert Ezra Park,1864—1944,社会学家]很早就说:社会学和人类学应当并家,他所主持的芝加哥都市研究就是应用人类学的方法,也就是我在上面所说的“社区分析”。英国人类学先进布朗先生Radcliffe-Brown[1881—1955,人类学家,结构功能论创建者]在芝加哥大学讲学时就用“比较社会学”来称他的课程。

    以上所说的只是社会学维持其综合性的一条路线,另一条路线却不是从具体的研究对象上求综合,而是从社会现象的共相上着手。社会制度是从社会活动的功能上分出来的单位:政治、经济、宗教等是指这些活动所满足人们不同的需要。政治活动和经济活动,如果抽去了它们的功能来看,原是相同的,都是人和人之间的相互行为。这些行为又可以从它们的形式上去分类,好像合作,冲突,调和,分离等不同的过程。很早在德国就有形式社会学的发生,席木尔Simmel[Georg Simmel,1858—1918,社会学家,形式社会学(Formale Soziologie)的创建者之一]是这一派学者的代表。冯维瑞Von Wiese的系统社会学经贝干Becker的介绍在美国社会学里也有很大的影响。派克和盘吉斯Park and Burgess的《社会学导论》也充分表明这种被称为“纯粹社会学”的立场。

    纯粹社会学是超越于各种特殊社会科学之上的,但是从社会行为作为对象,撇开功能立场,而从形式入手研究,又不免进入心理学的范围。这里又使我们回想到孔德在建立他的科学级层论时对于心理学地位的犹豫了。他不知道应当把心理现象放在社会现象之下,还是之上。他这种犹豫是起于心理现象的二元性:其一是现在所谓生理心理学;其二是现在所谓社会心理学。这两种其实并不隶属于一个层次,而是两片夹着社会现象的面包。纯粹社会学可以说是以最上层的一片为对象的。

    总起来说,现代社会学还没有达到一个为所有被称为社会学者共同接受的明白领域。但在发展的趋势上看去,可以说的是社会学很不容易和政治学、经济学等在一个平面上去分得一个独立的范围。它只有从另外一个层次上去得到一个研究社会现象的综合立场。我在这里指出了两条路线,指向两个方向。很可能是再从这两个方向分成两门学问:把社区分析让给新兴的社会人类学,而由“社会学”去发挥社会行为形式的研究。名称固然是并不重要的,但是社会学内容的常变和复杂确是引起许多误会的原因。

    依我这种对社会学趋势的认识来说,《生育制度》可以代表以社会学方法研究某一制度的尝试,而这《乡土中国》却是属于社区分析第二步的比较研究的范围。在比较研究中,先得确立若干可以比较的类型,也就是依不同结构的原则分别确定它所形成的格式。去年春天我曾根据Mead女士的The American Character 一书写成一本《美国人性格》,并在该书的后记里讨论过所谓文化格式的意思。在这里我不再复述了。这两本书可以合着看,因为我在这书里是以中国的事实来说明乡土社会的特性,和Mead女士根据美国的事实说明移民社会的特性在方法上是相通的。

    我已经很久想整理这些在“乡村社会学”课上所讲的材料,但是总觉得还没有成熟,所以迟迟不敢下笔。去年暑假里,张纯明先生约我为《世纪评论》长期撰稿,盛情难却,才决定在这学期中,随讲随写,随写随寄,随寄随发表,一共已有十几篇。储安平先生约我在观察丛书里加入一份,才决定重新编了一下,有好几篇重写了,又大体上修正了一遍。不是他们的督促和鼓励,我是不会写出这本书的,但也是因为他们限期限日的催稿,使我不能等很多概念成熟之后才发表,其中有很多地方是还值得推考。这算不得是定稿,也不能说是完稿,只是一段尝试的记录罢了。

    三十七年二月十四日于清华胜因院

    附录:个人·群体·社会

    ——一生学术历程的自我思考

    本文是作者于1993年在香港中文大学社会科学院和北京大学社会学人类学研究所联合主办的第四届现代化与中国文化国际研讨会上的发言。

    年近谢幕,时时回首反思多年来在学术园地里走过的道路,迂回曲折;留下的脚印,偏谬卒呈;究其轨迹,颇有所悟。趁这次老友会聚,略作自述,切盼指引,犹望在此生最后的尾程中勉图有所补益。

    对“社会”历来有两种基本上不同的看法。一是把社会看作众多个人集合生活的群体。严复翻译sociology作“群学”。众人为群,一个个人为了生活的需要而聚集在一起形成群体,通过分工合作来经营共同生活,满足各人的生活需要。人原是动物中的一类,衣食男女,七情六欲等生活需要,来源于自然界的演化,得之于个人的生物遗传。在这些方面人和其他动物基本上是一致的,只是生物界演化到了人这个阶段出现了超过其他动物的智力。人被生物学者称之为homosapiens,sapiens就是智力的意思。凭此特点人在其满足需要上具备了超过其他动物的智力。人和人能通过共识和会意建立起分工合作的体系,形成了聚居在一起的群体。

    严复把sociology译作群学,以我的体会说,是肯定活生生的生物人是构成群体的实体,一切群体所创制的行为规范,以及其他所谓文化等一切人为的东西都是服务于人的手段。

    另一种看法却认为群体固然是由一个个人聚合而成,没有一个个人也就没有群体,这是简单易明的。但是形成了群体的个人,已经不仅是一个个生物体,他们已超出了自然演化中的生物界,进入了另一个层次,这个层次就是社会界。在这个层次里一个人不仅是生物界中的一个个生物体,或称生物人,而且还是一个有组织的群体里的社会成员,或称社会人。社会是经过人加工的群体。不仅不像其他动物群体那样依从生物的繁育机制吸收新的成员,也不像其他动物一样,每个人可以依它生物遗传的本能在群体里进行生活,在人的社会里,孩子须按社会规定的手续出生入世,生下来就得按社会规定相互对待的程式过日子;在不同时间,不同场合,对待不同的对象,都得按其所处的角色,照着应有的行为模式行事。各个社会都为其成员的生活方式规定着一个谱法。为了方便打个不太完全恰当的比喻,像是一个演员在戏台上都得按指定了的角色照剧本规定的程序进行表演。每一个歌手都得按谱演唱。社会上为其成员规定的行为模式,一般称为规矩,书本上也称礼制或法度。它确是人为的,不是由本能决定的;是经世世代代不断积累和修改传袭下来的成规。通过上一代对下一代的教育,每个人“学而时习之”获得他所处社会中生活的权利和生活的方式。不仅如此,如果一个社会成员不按这些规矩行事,就会受到社会的干涉、制裁,甚至被剥夺掉在这个社会里继续生存下去的机会,真是生死所系。

    社会在自然的演化中是继生物世界而出现的一个新的但同样是实在的世界。这个世界是以生物体为基础的,正如生物体是以无生的有机体为基础一样。生命的开始,出现了生物界,生物群体的发展,出现了社会界。人还是动物,但已不是一般的动物,人的群体已不是一般的群体,上升成为社会。从这个角度来看,社会本身是个实体,生物人不能认为是社会的实体,而只是社会的载体。没有生物人,社会实体无法存在,等于说没有有机物质,生物实体无法存在一样。有机物质是生命的载体,生物人是社会的载体。实体和载体不同,实体有自己发展的规律,它可以在载体的新陈代谢中继续存在和发展。正如一个生物人是由无数细胞组成,个别细胞的生死,不决定整个人的寿命。个人的生命正是靠其机体细胞的不断更新而得以延续。同样的社会里的个别成员,因其尚属生物体,还是受生物规律的支配,有生有死,但并不决定社会群体兴衰存亡。因之,生物实体和社会实体是属于自然演化过程中的两个层次。人有两个属性:生物人和社会人。这一种把社会看成比生物群体高一层次的实体和把社会只看成是人的群体的生活手段,从理论上说是两种不同的看法。

    我初学社会学时,并没有从理论入手去钻研社会究竟是什么的根本问题。我早年自己提出的学习要求是了解中国人是怎样生活的,了解的目的是在改善中国人的生活。为此我选择了社会学。现在回头看来,我是受上述第一种看法的引导而进入这门学科的。把社会学看作是一门研究人们群体生活的行为学科,很符合严复翻译的意思,社会就是人类的群体。更符合我的主观倾向的是社会所规定的一切成规和制度都是人造出来,满足人的生活需要的手段,如果不能满足就得改造,手段自应服从人的主观要求。中国人民在我这一生中正处在社会巨大变动之世。如果社会制度不是人类的手段,那就好像谈不上人为的改革了。

    我第一本翻译的社会著作是奥格朋Ogburn[William Fielding Ogburn,1886—1959,社会学家]的《社会变迁》。那时我还刚刚和社会学接触。这本书给我的印象很深,因为我很同意他的科技进步引起社会变迁的理论。科技变迁了,社会的其他制度也得相应地变迁,不然就出现社会脱节和失调。科技的进步是人为的,是人用来取得生活资源的手段,其他部门向科技适应也得出于人的努力改造已有的制度。这个理论对我很有吸引力。我把这本书翻译成中文,在商务印书馆出版,也可算是我进入社会学这个学科的入门标记。今天提到这件事是想说,我是无意地从上述的对社会第一种看法进入这个学科的,我说无意地因为我当时还没有领会到还有第二种看法,所以并非有意的选择。

    接着我在燕京大学学习的最后一年,适逢美国芝加哥大学的派克教授来华讲学。我被他从实地观察来进行社会学研究的主张所吸住了,据说这种方法来自人类学,我就决心去学人类学,虽然我当时对人类学还一无所知。我从燕京大学社会系毕业后,由吴文藻先生介绍考入清华大学研究院跟史禄国教授学人类学。史禄国原是帝俄时代国家科学院里的人类学研究员。十月革命时他正在西伯利亚和我国东北考察,研究通古斯人。当时俄国发生了革命,他不愿回国而留在中国进入了当时的中央研究院,后来又和同事们合不来,转入清华大学教书和著书。人类学在中国当时还少为人知,我投入他的门下,成了他所指导的唯一的研究生。

    他依据欧洲大陆的传统,认为人类学所包括的范围很广,主要有人类体质、语言、考古、社会和文化。可说是人和人文的总体研究。他为我定下了一个六年的基础学习计划,包括体质人类学、语言学和社会人类学三个部门,规定我以两年为一期,三期完成。我从1933年先修体质人类学,同时补习动物学,作为第一期。按清华大学的章程,研究生学习只规定至少两年,没有限期。我就准备按他的学习计划进行,预备修完三期。到1935年暑假我结束了第一期,学会了人体测量和体质类型分析,写出了两篇论文,经过考试委员口试及格,按清华的章程,两年后考试成绩优秀可以取得清华公费留学的资格。1935年正逢史禄国的休假期,而且他自己又另有打算,决定休假后不再继续在清华任教。所以他为我作出了新的安排,1935年暑假后到国内少数民族地区进行调查一年,然后1936年由清华公费出国进修,他
    不再自己指导我第二和第三期的学习计划了。

    我按他的意见,1935年暑假到广西大瑶山,现在的金秀瑶族自治
    县去进行实地调查。我携带了人体测量仪器以进行体质调查,并有前
    妻王同惠同行,共同进行社会调查。该年12月结束了大瑶山里的花篮
    瑶地区的调查后,准备转入附近坳瑶地区时,在路上迷失方向,遭遇
    不幸事故,我自己负伤,前妻单独离我觅援,溺水身亡。我在医伤和
    休养期间按和王同惠一起搜集的资料写成《花篮瑶社会组织》。这是
    我第一本社会实地调查的成果。

    按史禄国所设计的学习进程,这是我超前的行动,因为社会人类
    学这一部分是安排在第三期学习计划里的。在编写这本书之前我只阅
    读过史禄国关于满族和通古斯族的社会调查,印象并不深,而且我对
    社会学理论也并没有系统地学习过。回想起来,从史禄国老师学到的
    也许就是比较严格的科学态度和对各个民族在社会结构上各具特点、
    自成系统的认识。所谓各有特点、自成系统就是指社会生活的各部门
    是互相配合而发生作用的,作为一个整体就有它特独的个性。我通过
    瑶族的调查,对社会生活各部门之间的密切相关性看得更清楚和具体
    了。这种体会就贯穿在我编写的这本《花篮瑶社会组织》里。我从花
    篮瑶的基本社会细胞家庭为出发点,把他们的政治、经济各方面生活
    作为一个系统进行了叙述。

    瑶山里所取得体质测量资料我没有条件整理,一直携带在行李
    里,最后在昆明发生李闻事件后仓促离滇全部遗失,花篮瑶的体质报
    告也就永远写不出来了。但这并不是说我这两年体质人类学的学习对
    我的学术工作上没有留下影响。除了我对人类的生物基础有了较深的
    印象外,在分析类型进行比较的科学方法也为我以后的社会学调查开
    出了一个新的路子。

    我原有的学习计划既然发生了改变,1936年暑假我就准备出国,并由吴文藻先生安排、决定到英国L.S.E跟马林诺夫斯基学习社会人类学。比史禄国给我预定的计划,免去了语言学的一节。

    从瑶山回到家乡我有一段时间在国内等候办理出国入学手续,我姐姐就利用这段时间为我安排到她正在试办农村生丝精制产销合作社的基地去参观和休息,这是一个离我家不远的太湖边上的一个名叫开弦弓的村子。我利用在村里和农民的往来,进行了一次有类于在瑶山里的社会调查。我带了这份在这村子里收集到有关农民生活的调查资料一起到了伦敦。

    我根据这批开弦弓的调查资料写出的提纲,首先得到了当时我在
    伦敦的导师Firth的肯定,随后又得到Malinowski的注意,当即决定他
    自己亲自指导我编写以中国农民生活为主题的博士论文。当时我并不
    明白为什么我能获这样顺利的学习机会。后来在有人看到我的论文
    后,向我提出了个问题:你怎么会在没有和L.S.E接触之前,就走上了
    功能学派的路子?那时我才明白我从史禄国那里学来的这些东西,着
    重人的生物基础和社会结构的整体论和系统论,原来就是马氏的功能
    论的组成部分。我当时只觉得马氏所讲的人类学是我熟悉的道理。我
    们相见以前,已有了共同的语言。

    回到我第一节里提出对社会的两种看法,我在这个阶段还没有作
    出明确的选择。原因也许在我当时并没有意识到除了第一种看法之
    外,还有第二种看法,和两种不同看法的区别。这表明我在理论上不
    够敏感,也就是功底不深。

    我对史、马两位老师理论上的特点直到现在也不敢说已经了然。
    我听说史禄国后来看到了我那本《江村经济》时曾经表示过不满意的
    评论。我模糊地感觉到在他的理论框框里,我这本书是找不到重要地
    位的。但由于我没有吃透他的理论,我还不敢说哪些方面引起了他不
    满意的反应。

    对马氏的理论我多少有一些捉摸。按他已经写出来的有关文化功
    能的理论,按我所理解的程度来说,基本是属于我上述的第一种看
    法。马氏的功能论的出发点是包括社会结构在内的,文化体系都属于
    人用来满足其基本生物需要及由生物需要派生的各种需要的手段。这
    一点他一直坚持的,同时他也承认文化的整体性,就是说人类的满足
    其需要而创造出的文化是完整的。说是完整就是完备而整体。它必须
    满足人作为生物体所有全部需要,本身形成一个整体,其各部分是相
    互联系和配合的一个体系。简单说是整体论和系统论。

    他提出这一套理论是有其历史背景的,他是个人类学中主张实地
    调查的先行者。他长时间地住在Trobriand岛的土人中间,学会土语,
    直接参与土人的集体生活,他深深觉得要理解一个群体的生活必须从
    整体上去观察他们怎样分工合作,通过有系统的活动来维持他们的生
    活,也就是满足他们的需要,而人的一切需求都是从人作为一个生物
    体而发生的。食色性也,是从人是动物的这个属性上带来的。从这个
    基本的生物需要出发,逐次发生高层次的需要,如维持分工合作体系
    的社会性的需要等等。他用这个理论来批判当时在人类学界盛行的文
    化传播论、历史重构论等等,因为这些理论都是把文化要素孤立起
    来,脱离了人而独立处理的。比如当时就有些学者把图腾信仰脱离他
    所发生的具体群体而研究其起源、流动和在人类整个历史发展中的地
    位等等。他以当时盛行在欧洲的人类学作为靶子,针锋相对地提出功
    能论、整体论和系统论。这在人类学学科史上是一次革命性的行动,
    使人类学的研究回归到科学的行列。

    马氏自己称他的人类学理论是功能学派。他的所谓功能,就是文化是人为了满足其需要而产生的,所以都是有用的手段,文化中各个要素,从器物和信仰对人的生活来说都是有功能的,功能就是满足需
    要的能力,简单说就是有用的。功能这一词是英文function的译文。
    这词在英文中原有两个意义:一是普通指达到目的所起的作用;二是
    在数学里的函数,如果说甲是乙的函数,甲变乙也随着要变。马氏称
    自己是功能学派实际上是一语两义都兼有的。但在叙述他的理论时却
    常强调第一个意义,比如他在论巫术时就强调它在支持实际农作活动
    的节奏和权威的作用,用以批判过去认为巫术是未开化的人思想上缺
    乏理性的表现,是一种前科学或假科学思想的产物。19世纪在欧洲人
    类学充满着当时通行的民族优越感,把殖民地上的土人看成是未开化
    的野蛮人,把土人的生活方式看作是一堆不合理的行为。功能论是针
    对这种思想的批判,但是这种理论走到极端,认为文化中一切要素都
    是有用的,又会给人以存在就是合理的印象。这个命题在哲学上常受
    到批判,在常识上也和社会的传统中颇多对人无益而有害的事实不能
    协调。至于把满足生物需要作为功能的基本标准更是不易为普通人所
    接受。因之当马氏的功能论在人类学中盛极一时之际,就有不同的看
    法出现。而且就出现在也自称是功能学派的阵营里。最突出的是曾到
    过燕京大学讲学的Radcliffe-Brown。

    布朗也是主张实地调查而且主张文化整体论和系统论的人类学
    者。但是他认为功能的意义不必挂在有用无用的鉴别上,更不应当和
    生物需要挂钩,他把功能意义作数学中的函数来讲,也就是把功能的
    含义去掉了马氏所强调的一半。当时我们这些年轻的学生,经常把他
    们两个看成是在唱对台戏的主角。对我这个对理论缺乏敏感的人来
    说,在这场争论中除了看热闹之外,并没有认真思考加以辨别,而实
    际上却被这个争论带进了这在本文开始时所述对社会的两种看法的迷
    阵里。当我接触了功能派的先锋法国涂尔干的著作之后,对第二种看
    法发生了兴趣。他比较明确地把社会看成本身是有其自身存在的实
    体,和生物界的人体脱了钩。

    我在医预科和在体质人类学课上受到的基础训练和社会文化和生物挂钩原是比较顺理成章容易接受的。但是我对社会的看法却被马、布的争论所动摇了,特别是联系到在瑶山和在开弦弓的实地调查的经历,使我逐渐倒向布氏的一面。我在初步进入社区的实地调查中所得到的感受值得在这里回忆一下。

    当我踏入一个社区时,我接触到的是一群不相识的人。我直接看
    到的是各个人在不同场合的行动举止。在这一片似乎纷乱杂呈的场面
    里,我怎样才能从中理出个理解的头绪呢?这时我就想到了社会行为
    是发生在社会所规定的各种社会角色之间,不是无序的而是有序的。
    如果我从这个角度去看在我面前展开的各个人的活动,就有了一个井
    然的秩序。不论哪一家,我们如果用父母、子女、亲戚、邻居等社会
    角色去观察这些似乎是杂乱的个人行为,就可以看到在不同人身上出
    现重复的行为模式,比如不论哪一家,母亲对儿子之间相互的行为都
    是类似的,成为一种模式,而这套行为模式却不同于妻子对丈夫,甚
    至不完全相同于母亲对女儿之间的相互行为。我在实地调查中才理解
    到一个社区中众人初看时似乎是纷杂的活动,事实上都按着一套相关
    的各种社会角色的行为模式而行动的。再看各种社会角色又是相互配
    合,关关节节构成一个网络般的结构。从这个结构去看这社区众人的
    行为就会觉得有条有理,一点不乱。而且这个有条有理的结构并不是
    当时当地的众人临时规定的,而是先于这些人的存在,就是说这些人
    从小在生活中向一个已存在的社会结构里逐步学习来的。这就是个人
    社会化的过程。这个结构里规定的各种角色间的相互行为模式也是个
    人在社会中生活时不能超出的规范,一旦越出就有人出来干涉,甚至
    加以制裁。也因之在一个外来的调查者所能看到经常都是些按照社会
    模式而行为的行为,有时也可以见到一些正在或将会受到制裁的超规
    行为。作为一个人类学者在实地调查时,通常所观察到的就是这些有
    规定的各种社会角色的行为模式。至于角色背后的个人的内在活动对
    一般的人类学者来说就是很难接触到的。

    我的社区调查不论在瑶山或在江村,现在回头来看,都是不够深入的,还是满足于社会角色的行为模式,因而影响了我对社会的看法,把它看成了自成格局的实体,表达得最清楚是我根据讲课内容编出的《生育制度》。

    我本人的具体经历也影响了我学术观点的形成。所以在这里得补
    充几句。我是1938年离开伦敦的。那时,我国的抗日战争已进行了一
    年,我的家乡已经沦陷,原在沿海的各大学都已迁入内地。所以我只
    能取道越南回国,到达昆明,在当时的云南大学和由清华、北大、南
    开联合的西南联大工作。实际上,我到了云南,立即继续我的社会调
    查:接着以罗氏基金对燕京大学的社会学系的资助在云南大学成立了
    一个社会学研究中心,为了避免轰炸,设立在昆明附近呈贡的魁星
    阁,而普通就称魁阁。从这时起,我的学术环境是相当偏僻和孤立
    的,除了少数原来的师友外,和外地及国外的社会学界几乎隔绝。不
    仅我们在当时和自己这个小圈子之外的思想很少接触,而且没有搜集
    和储藏过去社会学书籍和资料的图书馆,我们对国内外过去的社会学
    遗产也得不到运用。这种缺乏消息交流对学术思想的发展确是一个很
    大的限制。现在回想起来,就能看到这种特殊环境的确对我自己学术
    思想有很大的影响。影响之深不仅是当时孤陋寡闻,而且造成了自力
    更生,独树一帜,一切靠自己来的心理,一直发展成为我后来不善于
    接受新的社会学流派的习惯。

    1943年我虽则有由美国国务院的邀请参加了当时所谓“十教授访美讲学”的机会在美国住了一年,但是我却利用这时期,忙着编写魁阁的调查成果。在美国几个大学的同行协助下写出了Earthbound China 和China Enters the Machine Age 两书。说实话我并没有用心去吸收当时国外人类学和社会学的新思潮。比如我在哥伦比亚见过Linton,在芝加哥见到Redfield,在哈佛商学院见Elton Mayo,我也在编写上述两书时都得到了他们的关切和具体协助,但是我对他们的著作却没有深入的钻研。除了我回国后翻译过Mayo的一本著作外,对其他几位老师的著作并未认真阅读。至多是吸收了一些皮毛,为我已在胸中长成的竹子添些枝叶。

    我在老朋友面前无需掩饰,从40年代后期起,直到70年代结束前一年,我在国际的社会学圈子里除了两次简短的接触之外是个遗世独立的人物。

    回顾我在昆明这一时期,我们在魁阁的研究工作是按照了《江村经济》所走出的这条路前进的。这条路我们称之为社区研究。社区这个名词是我这一代学生时代所新创的。其由来是1933年燕京大学社会学的毕业班为了纪念派克教授来华讲学要出一本纪念文集,我记得其中有一篇是派克自己写的文章需要翻译,其中有一句话“Community is not Society”,这把我们卡住了。原来这两个名词都翻成“社会”的,如果直译成“社会不是社会”就不成话了。这样逼着我们去澄清派克词汇里两者的不同涵义。依我们当时的理解,社区是具体的,在一个地区上形成的群体,而社会是指这个群体中人与人相互配合的行为关系,所以挖空心思把社字和区字相结合起来成了“社区”。

    社区这个概念一搞清楚,我们研究的对象也就明确了,就是生活
    在一个地区的一群人的社会关系,社区可大可小,一个学校,一个村
    子,一个城市,甚至一个民族,一个国家,以至可以是团结在一个地
    球上的整个人类。只要其中的人都由社会关系结合起来,都是一个社
    区。有了这个概念我们实地观察的对象也有了一定范围。我当时就提
    出可以在瑶山进行民族集团的社区研究,也可以在各地农村里进行社
    区研究;在1933年这种社区研究就在燕京大学学生里流行了起来。我
    到了昆明还是继续走这条路子。

    还应当提到的是魁阁研究工作标榜的特点是比较方法和理论与实际结合。在接受派克社区研究的概念和方法的,同也接受了是由吴文藻先生为首提出的社会学中国化的努力方向。燕京大学的学生就是想通过社区研究达到社会学的中国化。社会学中国化其实就是社会学的主要任务,目的是在讲清楚中国社会是个什么样的一个社会。通过社区研究能不能达到这个目的呢?当然我们要说明中国社会是个什么样的社会,科学的方法只有实地观察,那就是社区调查。但是有人就质问我们,我们的社会研究如是一个具体的社区,那也只能是中国的一部分,你们能把全国所有的农村城市都观察到么?社区研究只能了解局部的情况,汪洋大海里的一滴水,怎能不落入以偏概全的弊病呢?我们对此提出了比较方法和理论与实际结合的对策。我在这里不能详细加以说明,好在我前年在东京的一个讨论会上发表的“人的研究在中国”的发言中已经答复了这个问题,这里不再重复了。

    这里我想说的是社区研究的理论基础是直接和1936年到燕京大学讲学的布朗有关的。他在美国芝加哥大学开讲的人类学课程,就称作为比较社会学。社区研究接纳了布朗对社会的系统论和整体论的看法。我想只有从每个社区根据它特有的具体条件而形成的社会结构出发,不同社区才能相互比较。在互相比较中才能看出同类社区的差别,而从各社区具体条件去找出差别的原因,进一步才能看到社区发展和变动的规律,进入理论的领域。

    魁阁的社区研究从1938年到1946年,一共只有8年,而且后来的3年由于教课任务的加重和政局的紧张,我自己的实地调查已经无法进行。所以魁阁的工作只能说是社区研究的试验阶段。这种工作一直到80年代才得以继续。

    魁阁时期的社区研究基本上是瑶山和江村调查的继续。如果把这两期比照来看,这一期除了继承整体性和系统性之外,加强了比较研究同理论挂钩的尝试。先说比较研究。如果要从我本人的经历中寻找比较研究的根源,还应当推溯于我在清华研究院里补读比较解剖学和跟史禄国学习的人体类型分析。我们既然已在由内地看到了和沿海不同农村在社会结构上存在着差异,我们更有意识地在昆明滇池周围寻找条件不同的农村进行研究,用以求证我们认为凡是受到城市影响的程度不同的农村会发生不同的社会结构的设想。这种方法上的尝试,我在Earthbound China 一书的最后一章里作了系统的申说。这不能不说是魁阁的《云南三村》比起瑶山和江村的研究在方法及理论上提高了一步。

    比较研究的尝试在另一方面更使我偏向于本文开始时提出的对社会的第二种看法,就是把社会作为一个本身具有其发展的过程的实体,这种思路难免导致“见社会不见人”的倾向,也进一步脱离马氏的以生物需要为出发点的功能论,而靠近了布朗对重视社会结构的功能论了。

    魁阁后期,由于兼任云大和联大两校的教授以及当时政治局势的
    紧张,我不便直接参预实地调查,所以更多时间从事讲课和写作。也
    可以提到,当时直线上升的通货膨胀使个人的实际收入不断下降,而
    我又在1940年成了一个孩子的父亲。我们在呈贡的农村里赁屋而居,
    楼底下就是猪圈,生活十分艰苦。因之,我不能不在固定的薪金之
    外,另谋收入。我这个书生能找到的生活补贴,只有靠我以写作来换
    取稿费。我在当时竟成了一个著名的多产作家。大后方的各大报纸杂
    志上经常发表我的文章,我几乎每天都要写,现货现卖,所得稿费要
    占我收入之半。写作的内容,不拘一格,主要是我课堂上的讲稿和对
    时事的评论,以及出国访问的杂记。这段时间里所发表的文章后来编
    成小册子发行,其中比较畅销的有《初访美国》、《美国人性格》、
    《重访英伦》;《内地农村》、《乡土中国》、《乡土重建》;《生
    育制度》、《民主·人权·宪法》等。

    这许多为了补贴生活而写下的文章,其实更直接地暴露了我的思
    想,而我的思想也密切和我的学术思路相联系的。现在回头翻阅一
    看,其中很明显地贯穿着我在上面所说的向社会实体的倾斜。我的三
    本访外杂写,实际上是把英美的社会分别作为各具个性的实体所谓民
    族性格来描述的。尽管其中我常用具体看到的人和事作为资料,我心
    目中一直在和中国社会作比较。比如我把住处经常迁移的美国城市居
    民和中国传统的市镇和乡村的居民相比较而以“没有鬼的世界”来表
    明美国社会的特点。文内尽管有人有事,而实际是把它们作文化的载
    体来处理的。

    我在美国时特别欣赏R.Benedict[Ruth Benedict,1887—1948,文化人类学家]的《文化模式》和M.Mead[Margaret Mead,1901—1978,人类学家,文化心理学派的代表人物之一]的《美国人性格》,我根据Mead这本书,用我自己的语言和所见的事实写出了《美国人性格》一系列文章,并编成一册。这里所说的社会性格都是超于个人而存在和塑形个人的社会模式。这不是把社会看成了超人的实体的思路么?我又写出了《乡土中国》一系列文章,也许可以说和《美国人性格》是姐妹篇,现在看来,这种涂尔干式的社会观已成了我这一段时间的主要学术倾向。

    上面已提到这种倾向在理论上表白得最清楚的是在1936年完成的那一系列《生育制度》文章。我明确地否定家庭、婚姻、亲属等生育制度是人们用来满足生物基础上性的需要的社会手段。相反,社会通
    过这些制度来限制人们满足生物需要的方式。这些制度是起着社会新
    陈代谢的作用,甚至可以说,为了解决生物界中人的生命有生有死的
    特点和社会实体自身具有长期绵续、积累和发展的必要所发生的矛
    盾,而发生社会制度的。我说如果从以满足两性结合的生物需要作为
    出发点,其发展顺序应当是说由于要满足两性结合的需要而结婚生孩
    子,接着不得不抚育孩子而构成家庭,又由子孙增殖而形成亲戚,这
    种一环扣一环可说是“将错就错”形成的社会结构。如果反过来看由
    于社会需要维持其结构的完整以完成其维持群体的生存的作用,必须
    解决其内部成员的新陈代谢的问题,而规定下产生、抚养新成员办
    法,而形成了“生育制度”。这个制度并不是用来使个人满足其生物
    上性的需要,而是因婚姻和家庭等规定的制度来确定夫妻、亲子及亲
    属的社会角色,使人人得以按部就班地过日子。这两种对“生育制
    度”不同的理解正好说明功能派里两派的区别。

    我这本《生育制度》是在1946年和潘光旦先生一起住在乡间时完成的,他最先看到我的稿纸,而且看出了我这个社会学的思路,和他所主张的优生强种的生物观点格格不入。当我请他写序时,他下笔千言,写了一篇《派与汇》的长文,认为我这本书固然不失一家之言,但忽视了生物个人对社会文化的作用,所以偏而不全,未能允执其中。

    他从社会学理论发展上提出了新人文思想,把生物人和社会结合了起来,回到人是本位文化是手段的根本观点。这种观点我们当时并没有融会贯通。而且我们在当时的处境中并没有条件和心情展开学术上的理论辩论。我把全书连着这篇长序交给商务印书馆出版后,自己就去伦敦访问。1947年回国,我和潘先生虽则同住一院,但却无心继续在这个社会学的根本观点上进一步切磋琢磨,这场辩论并没有展开,一直被搁置在一旁,经过了近半个世纪,潘先生已归道山,我在年过80时才重新拾起这个似乎已尘灰堆积的思绪,触起了我的重新思考,这已是90年代的事了,留在下面再说。我这本《生育制度》实际上结束了我学术历程的前半生。

    1947年在英国访问以及回国之后到1949年北京解放,这段期间从我写作上说我曾称之为“丰收期”,北京的《中建》周刊,上海的《观察》周刊和《大公报》经常有我的文章,但我所写的主要是时事评论,其中固然表达我对社会的基本观点,而且通过《观察》及三联书店出版了我在抗战时期所发表的文章的集子,一时流传很广,成了当时的一个多产作家,但是回头来看,这段时间,在学术思想上并没有什么新的发展。

    如果限于狭义的学术经历来说,我觉得可以用《生育制度》一书来作为我前半生学术经历的结束。从1930年进入社会学园地时算起到1949年解放,一共是大约20年。接下去的30年是一段很不寻常的经历,包括解放、反右和“文革”的中国大变革时期。这一段时期里我的思想情况在Curent Anthropology 杂志发表的1988年10月我和Pasternak(巴博德)教授的谈话记录中有比较直率的叙述,这里不用重复了。但是联系上面所提出有关对社会性质的根本问题时,我觉得有一些补充,说一说我近来才有的一点新的体会,足以说明我后半生学术思路的若干变化的由来。我越来越觉得一个人的思想总是离不开他本人的切身经历。我从解放后所逢到的我称之为不寻常的经历,必然会反映在我其后的学术思想上,以至于立身处世的现实生活上。我如果完全把这段时间作为学术经历中的空白是不够认真的。

    在比较这一生中前后两个时期对社会本质的看法时,发现有一段经历给我深刻的影响。我在前半生尽管主张实地调查,主张理论联系实际,但在我具体的社区调查中我始终是以一个调查者的身份去观察别人的生活。换一句话说,我是以局外人的立场去观察一个处在生活中的对象。我自身有自己的社会生活,我按着我自己社会里所处的角色进行分内的活动。我知道我所作所为是在我自己社会所规定的行为模式之内的,我不需犹豫,内心不存在矛盾,我所得到别人对我的反应也是符合我的意料的。这就是说我在一个共同的社会结构中活动。尽管这个社会结构也在变动中,这种变动是逐步的,而且是通过主动能适应的变动。我并不觉得自己和社会是对立物。

    但是在解放之后的一段时间里,我自己所处的社会结构发生了革命性的变动,也就是说构成这个结构的各种制度起了巨大变动,在各个制度里规定各个社会角色的行为模式也发生了巨大变动。表演得最激烈的例子发生在“文化大革命”的高潮中。作为一个教授的社会角色可以被他的学生勒令扫街、清厕和游街、批斗。这种有着社会权力支持的行为模式和“文化大革命”前的教授角色的行为规范是完全相悖的。当然“文化大革命”这种方式的革命是很不寻常的,但是在这不寻常的情景中,社会的本来面目充分显示出来。我觉得置身于一个目的在有如显示社会本质和力量的实验室里。在这个实验室里我既是实验的材料,就是在我身上进行这项实验。同时,因为我是个社会学者,所以也成了观察这实验过程和效果的人。在这个实验里我亲自感觉到涂尔干所说“集体表象”的威力,他所说的集体表象,就是那“一加一大于二”的加和大的内容,也就是我们通常说的社会的本质这个试验证实了那个超于个人的社会实体的存在。

    但就在同时我也亲自感觉到有一个对抗着这个实体的“个人”的存在。这个“个人”固然外表上按着社会指定他的行为模式行动:扫街、清厕、游街、批斗,但是还出现了一个行为上看不见的而具有思想和感情的“自我”。这个自我的思想和感情可以完全不接受甚至反抗所规定的行为模式,并作出各种十分复杂的行动上的反应,从表面顺服,直到坚决拒绝,即自杀了事。这样我看见了个人背后出现的一个看不见的“自我”。这个和“集体表象”所对立的“自我感觉”看来也是个实体,因为不仅它已不是“社会的载体”,而且可以是“社会的对立体”。这个实验使我看到了世界是可以发生不寻常的社会结构革命性的变动。这种变动可以发生在极短的时间里,但它极为根本地改变了社会结构里各制度中社会角色的行为模式。为期十年的“文化大革命”在人类历史上是一次少见的“实验”,一次震度极强烈的社会变动。我的学力还不够作更深入的体会和分析,但是我确是切身领会到超生物的社会实体的巨大能量,同时也更赤裸裸地看到个人生物本性的顽强表现。

    从这次大震动中恢复过来,我初步体会是做个社会里的成员必须清醒地自觉地看到社会结构的不断变化,尽管有时较慢较微,有时较快和较为激烈。处在社会结构中的个人,应当承认有其主动性。个人的行为既要能符合社会身份一时的要求,还得善于适应演变的形势。学术工作也是个人的社会行为,既不能摆脱社会所容许的条件,也还要适应社会演进的规律,这样才能决定自己在一定历史时期里应当怎样进行自己的学术工作。这种自觉可说是既承认个人跳不出社会的掌握,而同时社会的演进也依靠着社会中个人所发生的能动性和主观作用。这是社会和个人的辩证关系,个人既是载体也是实体。

    这点理论上的感受,虽则一直潜伏在我的思想里,在我“文化大革命”后的公开讲话中也有所表达,但是还不能说已充分落实在后半生的学术工作中。“见社会不见人”还是我长期以来所做的社区研究的主要缺点。

    下半生的学术生涯,可以说从1978年开始,直到目前一共有15
    年。刚从“不寻常”的经历中苏醒过来时,我就想既然得到了继续学
    术研究的机会,就该把30年丢下的线头接下去,继续从事社区研究,
    而且这时我对社区研究本身的功能有了一些更明确的看法,正如我在
    和巴博德教授谈话中所说的,我们做的研究实际上是发挥人特有的自
    觉能力,成为自然演化的一种动力。人类社会是不断发展的,表现为
    生产力的不断增长。我们就得有意识的把中国社会潜在的生产力开发
    出来,提高人民的生活水平。这个进化观点我是早就接受了的。解放
    之后我又接受了当时的马列主义学习,认识到生产力是社会发展的基
    本推动力。这种思想和我早日翻译的奥格朋的《社会变迁》中强调科
    技的发展也正相合。我的《江村经济》调查就是接受了我姐姐改革蚕
    丝生产技术的启发而进行的。所以我在80岁生日那天以“志在富
    民”四字来答复朋友们要求我总结我过去80年所作所为的中心思
    想。“志在富民”落实到学术工作上就是从事应用科学,所以我把调
    查看作应用社会学。这一个思路,我有机会于1980年2月在美国丹佛接
    受应用人类学会授予我马林诺夫斯基奖的大会上发表的“迈向人民的
    人类学”讲话时,得到公开发表的机会。

    1981年我又接到英国皇家人类学会授予我赫胥黎奖的通知,并由
    我的老师Firth的建议,要我在会上介绍江村在解放后的变化,为此我
    特地三访江村进行一次简短的调查。就是这次调查引起了我对当时正
    在发生的乡镇企业和小城镇的研究兴趣。从那时起我就抓住这个题目
    不放,组织了一个研究队伍,跟着农村经济发展的势头,从江村一个
    村,扩大到吴江县的七个镇。然后一年一步从县到市,从市到省,从
    一个省到全国大部分的省;从沿海到内地,从内地到边区,不断进行
    实地观察,直到现在已经有10年多了。我每去一地调查常常就写一篇
    文章,记下我的体会。10年来已积了近40篇,其中大部分已收集在今
    年出版的《行行重行行》一书中。这一系列文章还在继续写下去,可
    说是我下半生的主要学术方向。

    这一系列文章在理论上说是以《江村经济》为基础的。把社区的经济发展看成是社区整体发展中的一主要方面,并和其人文地理及历史条件密切联系起来,进行分析。我看到在不同条件下社区发展所走的路子不同,于是我又应用比较观点分出不同模式,并提出“多种模式,城乡结合,随机应变,不失时机”的发展方针。更从城乡结合的基础上升到经济区域的概念,逐步看到整个中国发展过程中形成的位区格局。这种社区研究是以农民自己创造的社会结构为出发点,分析这种结构形成的过程,它所具有的特点,并看出其发展的前景。这是实事求是的看法,而其目的是在使各地农民可以根据自身所处的条件,吸取别地方的经验,来推动自身的发展。所以可以说这种社区研究是应用社会学,一门为人民服务的社会科学。

    回顾我这十年的研究成果总起来看还是没有摆脱“见社会不见人”的缺点。我着眼于发展的模式,但没有充分注意具体的人在发展中是怎样思想,怎样感觉,怎样打算。我虽然看到现在的农民饱食暖衣,居处宽敞,生活舒适了。我也用了他们收入的增长来表示他们生活变化的速度。但是他们的思想和感情,忧虑和满足,追求和希望都没有说清楚。原因是我的注意力还是在社会变化而忽视了相应的人的变化。

    翻阅我这段时间里所发表关于社会学的言论时,我看到这思想确是已经改变了一些原来对个人和社会关系的看法,我不再像在《生育制度》中那样强调社会是实体、个人是载体的论调,而多少已接受了潘光旦先生的批评,认识到社会和人是辩证统一体中的两面,在活动的机制里互相起作用的。这种理论见于我在1980年所讲的《社会学和企业管理》及《与精神病医生谈社会学》里。

    《社会学和企业管理》是我在第一机械工业部的讲话,在这讲话里我提到了1944年我在哈佛商学院遇见的埃尔顿·梅岳教授EltonMayo[George Elton Mayo,1880—1949,心理学家],他曾在芝加哥的霍桑工厂里研究怎样提高劳动生产率的问题,做了一系列实验。起初他采取改变各种工作条件,如厂内的光线,休息的时间等,来测验工作效率是否有相应的提高,结果确是上升了。但梅岳认为并没有解决提高工作效率的关键问题。他接着再做实验倒过来一一取消了这些客观条件的改变,出乎大家意料之外,工作效率却依然上升。他从中得到了一个重大的发现,原来不是客观条件的改变促使了工作效率的上升,而是他的实验本身起了作用。因为工人参与了这个实验,自己觉得在进行一项有意义的科学工作,从而发现了自己不仅是一个普通拿工资干活的机器,而是一个能创造科学价值的实验者了。这个转变提高了他们的积极性。梅岳在这里发现了普通“工人身份”后面潜伏着一种“人的因素”,这个因素是工作效率的泉源,梅岳的“人的发现”改变了美国的工厂管理。联系我们所关心的问题来说,他是使社会身份,即社会规定的行为模式,背后这个
    一直被认为“载体”的个人活了起来了。使行为模式变成人的积极行为的是潜伏在社会身份背后的个人。其实我们在舞台上评论演员时,总是看他是否进入了角色。进入了角色就发挥出演员的积极性,演好了戏,演唱的好坏还是决定于演员本人。明白这一点,个人和社会的关系也就明白了。

    上面提到的第二篇讲话是我在北京医学心理学讲习班上的讲话。我最初的题目是《神兽之间》,意思是说人既是动物而又已经不是动物,人想当神仙,而又当不成神仙,是个两是两不是的统一体。社会总是要求“满街都是圣人”,把一套行为规范来套住人的行为,可是事实上没有一个人是甘心情愿当圣人的,即便是我们的至圣先师孔老夫子也是到了快死的70岁时方才做到“从心所欲不逾矩”。但是人又不能不在社会结构里得到生活,不能不接受这个紧箍咒,小心翼翼,意马心猿地做人,所以我用了Freud[Sigmund Freud,1856—1939,精神分析学家,精神分析学创始人]所说的三层结构来说明人的心理构成:一是id(生物性的冲动),二是ego(自己),三是superego(超己)。id就是兽性,ego是个两面派,即一面要克己复礼地做个社会所能接受的人,一面又是满身难受地想越狱当逃犯。super-ego就是顶在头上,不得不服从的社会规定的身份。我当时指出神兽之间发生的形形色色的矛盾正是(精神病)医生要对付的园地,神兽之间有其难于调适的一面,但是普通的人并不都是要挂号去请教精神病医生的。那就是说神兽之间可以找到一个心安理得做人的办法的。于是我得回到潘光旦先生给我的《生育制度》写的序言里所提出的中和位育的新人文思想。

    新人文思想依我的理解就是一面要承认社会是实体。它是个人在群体中分工合作才能生活的结果,既要分工就不能没有各自的岗位,分工之后必须合作,岗位之间就不能不互相配合,不能没有共同遵守的行为规则。有了规则就得有个力量来维持这些规则。社会是群体中分工合作体系的总称,也是代表群体维持这分工合作体系的力量。这个体系是持续的超过于个人寿命的,所以有超出个人的存在、发展和兴衰。社会之成为实体是不可否认的。但是社会的目的还是在使个人能得到生活,就是满足他不断增长的物质及精神的需要。而且分工合作体系是依靠个人的行为而发生效用的,能行为的个人是个有主观能动性的动物,他知道需要什么,希望什么,也知道需要是否得到了满足,还有什么期望。满足了才积极,不满足就是消极。所以他是活的载体,是可以发生主观作用的实体。社会和个人是相互配合的永远不能分离的实体。这种把人和社会结成一个辩证的统一体的看法也许正是潘光旦先生所说的新人文思想。

    我回顾一生的学研思想,迂回曲折,而进入了现在的认识,这种认识使我最近强调社区研究必须提高一步,不仅需看到社会结构,而且还要看到人,也就是我指出的心态的研究。而且我有一种想法,在我们中国世世代代这么多的人群居住在这块土地上,经历了这样长的历史,在人和人中和位育的故训的指导下应当有丰富的经验。这些经验不仅保留在前人留下的文书中,而且应当还保存在当前人的相处的现实生活中。怎样发掘出来,用现代的语言表达出来,可能是今后我们社会学者应尽的责任。对这个变动越来越大,全世界已没有人再能划地自守的时代里,这些也许正是当今人类迫切需要的知识。如果天假以年,我自当努力参与这项学术工作,但是看来主要还是有待于后来的青年了。愿我这涓滴乡土水,汇归大海洋。

    (原载《北京大学学报》1994年第1期)

  • 费孝通《江村经济》

    第一章

    这是一本描述中国农民的消费、生产、分配和交易等体系的书, 是根据对中国东部,太湖东南岸开弦弓村的实地考察写成的。它旨在 说明这一经济体系与特定地理环境的关系,以及与这个社区的社会结 构的关系。同大多数中国农村一样,这个村庄正经历着一个巨大的变 迁过程。因此,本书将说明这个正在变化着的乡村经济的动力和问题。

     《江村经济》 这种小范围的深入实地的调查,对当前中国经济问题宏观的研究 是一种必要的补充。在分析这些问题时,它将说明地区因素的重要性 并提供实事的例子。

    这种研究也将促使我们进一步了解传统经济背景的重要性及新的 动力对人民日常生活的作用。

     强调传统力量与新的动力具有同等重要性是必要的,因为中国经济生活变迁的真正过程,既不是从西方社会制度直接转渡的过程,也 不仅是传统的平衡受到了干扰而已。目前形势中所发生的问题是这两 种力量相互作用的结果。例如对我们观察的这个村庄的经济问题,只 有在考虑到两方面的情况时才能有所理解:一方面是由于世界工业的 发展,生丝价格下跌,另一方面是以传统土地占有制为基础的家庭副 业在家庭经济预算中的重要性。对任何一方面的低估都将曲解真实的 情况。此外,正如我们将在以后的描述中所看到的,这两种力量相互 作用的产物不会是西方世界的复制品或者传统的复旧,其结果如何, 将取决于人民如何去解决他们自己的问题。正确地了解当前存在的以 实事为依据的情况,将有助于引导这种变迁趋向于我们所期望的结 果。社会科学的功能就在于此。

     文化是物质设备和各种知识的结合体。人使用设备和知识以便生 存。为了一定的目的人要改变文化。一个人如果扔掉某一件工具,又 去获取一件新的,他这样做,是因为他相信新的工具对他更加适用。 所以,任何变迁过程必定是一种综合体,那就是:他过去的经验、他 对目前形势的了解以及他对未来结果的期望。过去的经验并不总是过 去实事的真实写照,因为过去的实事,经过记忆的选择已经起了变 化。目前的形势也并不总是能得到准确的理解,因为它吸引注意力的 程度常受到利害关系的影响。未来的结果不会总是像人们所期望的那 样,因为它是希望和努力以外的其它许多力量的产物。所以,新工具 最后也可能被证明是不适合于人们的目的。

    对社会制度要完成一个成功的变革是更加困难了。当一种制度不 能满足人民的需要时,甚至可能还没有替代它的其它制度。困难在于 社会制度是由人际关系构成的,只有通过一致行动才能改变它,而一 致行动不是一下子就组织得起来的。另外,社会情况通常是复杂的, 参与改革的一个个人,他们的期望也可以各不相同。所以在社会变革 的过程中,为组织集体行动,对社会情况需要有一个多少为大家所接 受的分析和定义以及一个系统的计划。这种准备活动一般都需要一种 语言形式。最简单的形式如一个船长在指挥一条船航行时,对他的船 员们发出命令。又如在议会或国会里进行一场有准备的辩论。对形势 或情况的不同解释和关于结果的各种期望形成辩论的中心。无论如 何,这样的准备活动总是会在有组织的革新活动中出现的。

     对形势或情况的不准确的阐述或分析,不论是由于故意的过错或 出于无知,对这个群体都是有害的,它可能导致令人失望的后果。本 书有许多例子说明了对情况或形势的实事求是的阐述或分析的重要 性。下面我想先举几个例子:在亲属组织中,目前法律对财产继承问 题的规定似已成为两性不平等的实例。一旦男女平等的思想被接受, 这样的规定将产生一种修改单方亲属原则的行动。正如我要说明的, 财产的继承是两代人之间相互关系的一部分。供养老人的义务,落在 子女身上的社会里,在目前父系家庭的婚姻制度下,女儿和儿子不能 分担同等的义务。因此,双系继承与单方立嗣相结合将形成两性的不 平等。从这一点来看,立法的后果显然与期望是背道而驰的。(第四 章第6节)

    有时,对情况或形势的阐明或分析可能是正确的,但不完整。例 如,在缫丝工业中,改革者主要从技术方面来分析情况,忽略了在丝 价下降中国际贸易的因素,这就导致多年来,对村民许下的从工业中 增加收入的诺言,未能实现。(第十一章第8节)

    如果要组织有效果的行动并达到预期的目的,必须对社会制度的 功能进行细致的分析,而且要同它们意欲满足的需要结合起来分析, 也要同它们的运转所依赖的其它制度联系起来分析,以达到对情况的 适当的阐述。这就是社会科学者的工作。所以社会科学应该在指导文 化变迁中起重要的作用。

    中国越来越迫切地需要这种知识,因为这个国家再也承担不起因失误而损耗任何财富和能量。我们的根本目的是明确的,这就是满足 每个中国人共同的基本需要。大家都应该承认这一点。一个站在饥饿 边缘上的村庄对谁都没有好处。从这个意义上说,对这些基本措施, 在中国人中间应该没有政治上的分歧。分歧之处是由于对事实的误述 或歪曲。对人民实际情况的系统反映将有助于使这个国家相信,为了 恢复广大群众的正常生活,现在迫切地需要一些政策。这不是一个哲学思考的问题,更不应该是各学派思想争论的问题。真正需要的是一 种以可靠的情况为依据的常识性的判断。

     目前的研究,仅仅是一群懂得了这一任务的重要性的中国青年学生们的初步尝试。在福建、山东、山西、河北和广西都开展了同样的 研究。将来还会有更广泛的、组织得更好的力量,继续进行研究。我 不太愿意把这本不成熟的书拿出来,它之所以不成熟,是因为日本人占领并破坏了我所描述的村庄,我被剥夺了在近期作进一步的实地调 查的机会。但我还是要把本书贡献出来,希望它能为西方读者提供一 幅现实的画面,这就是:我的人民肩负重任,正在为当前的斗争付出 沉痛的代价。我并不悲观,但肯定地说这是一场长期而严重的斗争。 我们已作了最坏的准备,准备承受比日本的炸弹和毒气还会更坏的情况。然而我确信,不管过去的错误和当前的不幸,人民通过坚持不懈 的努力,中国将再一次以一个伟大的国家屹立在世界上。本书并不是一本消逝了的历史的记录,而是将以百万人民的鲜血写成的世界历史 新篇章的序言。

     第二章 调查区域

    1.调查区域的界定

    为了对人们的生活进行深入细致的研究,研究人员有必要把自己 的调查限定在一个小的社会单位内来进行。这是出于实际的考虑。调 查者必须容易接近被调查者,以便能够亲自进行密切的观察。另一方 面,被研究的社会单位也不宜太小,它应能提供人们社会生活的较完 整的切片。

     A.拉德克利夫——布朗教授、吴文藻博士和雷蒙德·弗思博士 [2] 曾经讨论过这个基本问题。他们一致认为,在这种研究的最初阶段, 把一个村子作为单位最为合适。弗思博士说,应当“以一个村子作研 究中心来考察村民们相互间的关系,如亲属的词汇、权力的分配、经 济的组织、宗教的皈依以及其它种种社会联系,并进而观察这种种社 会关系如何相互影响,如何综合以决定这社区的合作生活。从这研究 中心循着亲属系统、经济往来、社会合作等路线,推广我们的研究范 围到邻近村落以及市镇。” [3]

    村庄是一个社区,其特征是,农户聚集在一个紧凑的居住区内, 与其它相似的单位隔开相当一段距离(在中国有些地区,农户散居, 情况并非如此),它是一个由各种形式的社会活动组成的群体,具有 其特定的名称,而且是一个为人们所公认的事实上的社会单位。

    这样一个村庄并没有正式进入保甲制。保甲制是中国的一种新的 行政体制,是为了某种特殊目的而人为地设置的(第六章第5节)。开 弦弓村在1935年才有这种制度,因此很难说得清,这种法律上的保甲 单位,究竟到什么时候才能以其不断增长的行政职能取代现存的事实 上的群体。但目前,在实施过程中,保甲制仍然大多流于形式。因 此,我们所研究的单位必须是实际存在的职能单位——村庄。我们研 究的目的在于了解人民的生活。

    在目前阶段的调查中,把村庄作为一个研究单位,这并不是说村 庄就是一个自给自足的单位。在中国,地方群体之间的相互依存,是 非常密切的,在经济生活中尤为如此。甚至可以说,在上半个世纪 中,中国人民已经进入了世界的共同体中。西方的货物和思想已经到 达了非常边远的村庄。西方列强的政治、经济压力是目前中国文化变 迁的重要因素。在这一点上有人可能会问,既然如此,那么在这样一 个小的地区,在一个村庄里搞实地调查,对于这种外来力量及其所引 起的变迁会取得什么进一步的了解呢?

     显然,身处村庄的调查者不可能用宏观的眼光来观察和分析外来 势力的各种影响。例如,由于世界经济萧条及丝绸工业中广泛的技术 改革引起了国际市场上土产生丝价格的下跌,进而引起农村家庭收入 不足、口粮短缺、婚期推迟以及家庭工业的部分破产。在这种情况 下,实地调查者必须尽可能全面地记录外来势力对村庄生活的影响, 但他当然应该把对这些势力本身的进一步分析留给其它学科去完成。 调查者应承认这些事实,并且尽力约束自己去跟踪那些可以从村庄生 活中直接观察到的影响。

    对这样一个小的社会单位进行深入研究而得出的结论并不一定适 用于其它单位。但是,这样的结论却可以用作假设,也可以作为在其 它地方进行调查时的比较材料。这就是获得真正科学结论的最好方 法。

     2.地理状况

    我所选择的调查地点叫开弦弓村,坐落在太湖东南岸,位于长江下游,在上海以西约80英里的地方,其地理区域属于长江三角洲。 G.B.克雷西曾经这样描述该区域的地理概况:“在长江平原的土地 上,布满了河流与运河。世界上大概再也没有其它地区会有那么多可 通航的水路。长江、淮河及其支流形成了一条贯穿这个区域的通道, 颇为壮观。不但河流多,而且还有许多大小湖泊,其中主要有洞庭 湖、鄱阳湖、太湖、洪泽湖。然而赋予这个地貌以最显著的特征的是 人工河渠。这些河渠正是生活的命脉。在长江三角洲地区,河渠形成 了错综复杂的网络,起着人工水系的作用,取代了河流。据F.H.金的 估计,仅三角洲南部的河渠长度就有25000英里左右。

    这个地区是复合冲积平原,由长期以来河流带来的泥沙淤积而 成,只有少数孤立的山丘,大部地区是平川。乡下土地平坦,但是无 数的坟墩和村子周围的树林遮住了视线。这里,无论是乡村或城市的 居住区都比北方地区人口密集。但由于气候、地理位置等因素的共同 作用,使得这里成为中国最繁荣的地方。 [4]

    长江平原……显然受夏季季节风的影响……也经受大陆性旋风的 巨大威力。

    由于纬度偏南,夏季呈亚热带气候,气温经常升至38℃(100℉) ……整个地区平均降雨量约为1,200毫米(45英寸)……春、夏季多 雨,6月份的雨量最多。自10月至来年2月,气候较为干燥,天空晴 朗,气温宜人,这时候,是一年中最爽快的季节。

    冬天的气温,难得一连数日都在零下,在较冷的夜间才结薄冰, 很少下雪……在上海,夏季平均最高气温37℃(91℉),冬季平均最 低气温为-7℃(19℉)。

    长江平原一年四季,大部分时间的气候条件都有利于农业,生长 季节约持续300天。” [5]

    这个地区之所以在中国经济上取得主导地位,一方面是由于其优 越的自然环境,另一方面是由于它在交通上的有利位置。该地区位于 长江和大运河这两条水路干线的交叉点上。这两条水路把这个地区与 中国西部和北部的广大疆土联结起来。作为沿海地区,自从通过远洋 运输发展国际贸易以来,它的重要性与日俱增。该地区的港口上海, 现已发展成为远东的最大城市。这里的铁路系统也很发达,已经修建 了两条重要线路,一条从上海经苏州至南京;另一条由上海经嘉兴至 杭州。最近,也就是在1936年,苏州与嘉兴之间又增加了一条新线 路,与上述两条干线形成环行铁路。为了便利地区内的交通,还修建 了汽车路;除此之外,还广泛利用了运河及改成运河的河道进行交通 运输。

    该地区人口密集,大多数人口居住在农村。如从空中俯视,可以 看见到处是一簇簇的村庄。每个村子仅与邻村平均相隔走20分钟路的 距离。开弦弓只不过是群集在这块土地上成千上万个村庄之一。

    在数十个村庄的中心地带就有一个市镇。市镇是收集周围村子土 产品的中心,又是分配外地城市工业品下乡的中心。开弦弓所依傍的 市镇叫震泽,在开弦弓以南约4英里,坐手摇船单程约需两个半小时。 震泽地处太湖东南约6英里,大运河及苏嘉线以西约8英里。目前,可 乘轮船或公共汽车到达苏嘉线的平望站。通过现有的铁路线,可在8小 时以内从震泽到达上海。开弦弓的地理位置及其与上述各城市及集镇 间的关系,详见所附地图(Ⅰ、Ⅱ)。

    3.经济背景

    在这里,人文地理学者会正确地从人们所占据的土地的自然条件 推论人们的职业。一个旅客,如果乘火车路经这个地区时,将接连不 断地看到一片片的稻田。据估计,开弦弓90%以上的土地都用于种植水 稻。该村每年平均产米18,000蒲式耳(第十章第2节)。仅一半多一 点的粮食为人们自己所消费(第七章第5节)。村里极少有完全不干农 活的人家。占总户数约76%的人家以农业为主要职业(第八章第1 节)。一年中,用于种稻的时间约占6个月(第九章第3节)。人们靠 种稻挣得一半以上的收入(第十二章第2节)。因而,从任何一个角度 看,种植水稻是居于首位的。

    地图Ⅰ 长江下游流域

    地图Ⅱ 开弦弓周围的环境

    此地不仅产米,人们还种麦子、油菜籽及各种蔬菜,尽管它们与 主要作物相比是无足轻重的。此外,江河里尚有鱼、虾、蟹及各种水 生植物等,这些都是当地的食物。

    桑树在农民的经济生活中起着重要的作用。人们靠它发展蚕丝 业。赖特早在1908年写道: “白色生丝,即欧洲市场中的‘辑里 丝’,是中国养蚕农家用手抽制的……最佳生丝产自上海附近地区, 该地区出口的丝占出口额的绝大部分。” [6]

    蚕丝业在整个地区非常普遍,在太湖周围的村庄里尤为发达。据 当地人说,它之所以成为该地特产是由于水质好。据说,所谓的“辑 里丝”仅产于开弦弓周围方圆4英里的地带。这一说法的真实性暂且不 论,但这个村庄在当地乡村工业中的重要地位确是毫无疑问的。在繁 荣时期,这个地带的丝不仅在中国蚕丝出口额中占主要比重,而且还 为邻近的盛泽镇(见地图Ⅱ)丝织工业的需要提供原料。在丝织业衰 退之前,盛泽的丝织业号称“日产万匹”。

    现代制丝业的先进生产技术引进日本、中国之后,乡村丝业开始 衰退。这一工业革命改变了国内乡村手工业的命运。

    “1909年以前……中国蚕丝出口量比日本大。例如1907年,两国 出口量几乎相同。但到1909年,日本蚕丝出口便超过了中国,而且从 此以后,日本一直保持优势。事实上近年来,日本的出口量几近中国 的3倍。从我国外贸角度来看,自从1909年以来,蚕丝逐年减产。以 前,蚕丝通常占我国出口总额的20%至30%,而从1909年至1916年的平 均数下降至17%。” [7]

     “尽管如此,一直到1923年,蚕丝的产量虽不规则,但一直是在 增加的。由于蚕丝价格下跌,出口量的增长并不一定意味着收入的增 加。从1923年以后,出口量便就此一蹶不振。1928年至1930年间,出 口 量 下 降 率 约 为 20% 。 [8] 1930 年 至 1934 年 间 , 下 降 得 更 为 迅 速。“1934年下半年,由于日本向美国市场倾销蚕丝,中国蚕丝出口 量随之降到最低水平。出口蚕丝量共计仅为1930年的五分之一。这一 事实,说明了中国蚕丝贸易的不景气。

    1934年生丝价格跌到前所未有的更低的水平……同样质量的丝, 1934年的价格水平仅为1930年的三分之一。” [9] 工业革命影响丝织业的力量同样使国内蚕丝市场随之缩小。市场 缩小的结果带来了农村地区传统家庭蚕丝手工业的破产。蚕丝业的传 统特点及其近年来的衰落就形成了我们目前所分析的开弦弓村的经济 生洁背景。

    4.村庄

    现在让我们来观察一下村庄本身。村里的人占有土地共11圩。圩 是土地单位,当地人称一块环绕着水的土地单位为“圩”。每个圩有 一个名字。圩的大小取决于水流的分布,因此各不相等。该村土地的 总面积为3,065亩,或461英亩。据1932年官方勘测,各圩的名称及面 积如下表所示,其中有两圩部分属于其它村子,由于无明显的界限, 我只能粗略地估计属于开弦弓那部分土地的面积:

    土地可略分为两部分:庄稼用地及居住用地。住宅区仅占相当小 的部分,就在三条小河的汇集处,房屋分散在四个圩的边缘。这四个 圩的名称及每个圩边的房屋数目如下:

    研究住宅区的规划必须同村子的交通系统联系起来。在这个地 区,人们广泛使用船只载运货物进行长途运输。连接不同村庄和城镇 的陆路,主要是在逆流、逆风时拉纤用的,即所谓塘岸。除了一些担 挑的小商人之外,人们通常乘船来往。几乎家家户户都至少有一条 船。由于船只在交通运输上的重要位置,为便利起见,房屋必须建筑 在河道附近,这就决定了村子的规划。河道沿岸,大小村庄应运而 生;大一些的村子都建在几条河的岔口。正如我们可以从附图上看 到,开弦弓的“脊梁骨”系由三条河组成,暂且定名为A、B和C。河A 是主流,像一张弓一样流过村子,开弦弓便由此而得名。字面上的意 思就是:“拉开弦的弓。”

    在住宅区内,用船装载轻微的东西,或作短距离运输,不甚方 便。因此在住房之间修起了道路以利往来。在这种情况下,河流就成 了交通的障碍。各圩被河流所分割,必须用桥来连接。

    这个村的陆路系统不能形成完全的环行路。在圩Ⅲ的北部,大部 分土地用来耕种,田间仅有小路,不便于行走,雨天尤其如此,因 此,河A西端的桥便成了交通中心。小店铺大多集中在各桥附近。特别 是集中在村子西边的桥旁。(第十四章第8节)

     虽然如此,村庄的规划中却没有一个人们集中起来进行公共活动 的专用场所。自从一年一度的唱戏停止演出后,除了夏天夜晚人们随 意地聚集在桥边乘凉以外,十多年来,从未有过组织起来的公众集 会。

    村长的总部设在村子东端合作丝厂里面。厂址的选择是出于技术 上的原因。河A的水自西向东流。由于河A供给沿岸居民的日常用水, 所以把厂子建在下游,以免污染河水。

     在住宅区外围有两座庙,一个在村西,一个在村北。这并不意味 着人们的宗教活动都集中在村外边进行。实际上,他们的宗教活动多 数都在自己家里开展。比较确切地说,庙是和尚及菩萨的住所。和 尚、菩萨不仅同普通的人隔开一段距离,而且也与社区的日常生活隔 开,但进行特殊仪式时除外。

    地图Ⅲ 村庄详图

    公办小学在村的南端。校舍原先用作蚕丝改进社的办公室。合作 丝厂建立以后便把房子给了学校。

    住宅区周围都是农田,由于灌溉系统的缘故,农田地势较低(第 十章第1节)。适宜于建筑的地区都已盖满了房屋,而且长期没有扩 大。

    新的公共机构,例如学校和合作丝厂,只有在老的住宅区外围找 到地盘。它们的位置说明了社区生活的变化过程。

    5.村里的人

    1935年该村的人口有过一次普查。因为出生、死亡情况一直没有 连续的登记,所以我只能把这次普查结果作为分析的基础。在人口普 查中,对村里的所有居民,包括暂时不在村里的人口,都做了记录。 统计数字见下表:

    对那些暂时寄居在村里农户家里的人口,普查记录专设了一栏。 这些人口未包括在上表中。这一栏的总人数为25人。

    人口密度(计算时不包括水面面积)约为每平方英里1,980人。 这个数字不能与本省的平均人口密度相比,因为省人口密度是根据全 省总面积(包括水面及未耕地)来计算的,那是一个总密度。我的数 字代表着人和被使用的土地之间的比率。托尼教授所引述的江苏省的 人口总密度是每平方英里896人。 [10]

    人们并不认为所有住在村里的人一律都是本村人。如果问本村居 民,哪些人是本村的,我们就会发现当地对于本村人和外来人有着明 显的区别。但这种区别并不是法律上的;从法律观点看,一个人只要 在某地居住三年以上,他就成为当地社区的一名成员。 [11] 可是在人 们的眼里,这样的人并不是真正的本村人。

    为说明这种区别,不妨举一些具体的例子:那些被当作外来户的 村里人。这样的外来户共有10家,其职业和本籍分述如下:

    他们的共同特点是(1)都是移民(2)从事某种特殊职业。我未 听说一个外来人究竟需要在本村住多久才能算作本村人,但是我却听 说过:外来人的孩子,虽生于本村,仍像其父母一样,被视作外来 人。由此看来,并非完全根据居住期的长短来确定这种区别的。

    另一方面,值得研究的是这样一个事实:凡是外来户都不是农 民。虽然并非所有特殊的职业都是外来人干的,但他们仍构成了这类 人的三分之一(第八章第2节),从事特殊职业使他们不会很快被同 化。

    作为一个群体,本村人具有一定的文化特色。一个提供资料的本 地人向我提到过三个显著特点:(1)本村人说话时,吐字趋于腭音 化,例如“讲”、“究”等等;(2)妇女不下田干活;(3)妇女总 是穿裙子,甚至在炎热的夏天也穿着。在这几方面,本村人甚至与最 近的震泽镇人都不相同。

    那些被视为外来户的人,在生活上一直未被同化。我注意到他们 的非本地口音及非本地穿着方式,例如,药店里的妇女不穿裙子。

    只要外来户保留着他们自己的语言和文化差别,而且本村人注意 到这些差别,那么,在这个社区内,外来户总是过着多少有所见外的 生活。对本村人及外来户作出区别是颇有意义的,因为这种区别已经 具有广泛的社会意义。外来户全部从事特殊职业,没有土地,仅这一 事实就足以说明,区别是有其深远的经济后果的。

    6.选择这个调查区域的理由

    这个村庄有下列值得注意和研究之处:

    (1)开弦弓村是中国国内蚕丝业的重要中心之一。因此,可以把 这个村子作为在中国工业变迁过程中有代表性的例子;主要变化是工 厂代替了家庭手工业系统,并从而产生的社会问题。工业化是一个普 遍过程,目前仍在我国进行着,世界各地也有这样的变迁。在中国, 工业的发展问题更有其实际意义,但至今没有任何人在全面了解农村 社会组织的同时,对这个问题进行过深入的研究。此外,在过去十年 中,开弦弓村曾经进行过蚕丝业改革的实验。社会改革活动与中国的 社会变迁是息息相关的;应该以客观的态度仔细分析各种社会变迁。 通过这样的分析,有可能揭示或发现某些重要的但迄今未被注意到的 问题。

     (2)开弦弓一带,由于自然资源极佳,农业发展到很高水平。有 关土地占有制度在这里也有特殊的细节。开弦弓将为研究中国土地问 题提供一个很好的实地调查的场地。

    (3)这个地区广泛使用水上交通,有着网状分布的水路,因而城 乡之间有着特殊的关系,这与华北的情况截然不同。这样我们就能够 通过典型来研究依靠水上运输的集镇系统。

    除去这些考虑之外,我调查开弦弓村还具备特殊便利的条件。由 于时间有限,我的调查必须在两个月之内完成。如果我在一个全然不 熟悉的地方工作,要在这样短的时间内进行任何细致的研究是不可能 的。开弦弓村属于吴江县,而我就是吴江人,我首先在语言上就有一 定的有利条件。中国各地方言的差别是进行实地调查的实际困难之 一。村里的人们除自己的方言外,一般不懂得任何其它方言。作为一 个本地人,就不必再花费时间去学习当地方言。而且同乡的感情使我 能够进一步深入到人们的生活中去,不致引起怀疑。

    尤其是在这个村里,我可以充分利用我姐姐个人的联系。我姐姐 负责蚕丝业的改革,村里的人确实都很信任她。我能够毫无困难地得 到全村居民的通力合作,特别是村长们的帮助。他们理解我的意图, 不仅尽一切可能提供材料,而且还提出一些可行的办法和有价值的建 议,这使我的调查得以顺利进行。此外,我以前曾多次访问过该村, 姐姐也继续不断地向我提供该村的情况。因此,我一开始就能直接进 入调查本身,无须浪费时间去做那些初步的准备工作。

    我的调查历时两个月,是在1936年的7至8月进行的。在这有限的 时间内,我自然不能对完整的一年为周期的社会活动进行调查。然 而,这两个月在他们的经济生活中是有重要意义的,包括了一年中蚕 丝业的最后阶段及农活的最初阶段。以我过去的经历及人们口头提供 的资料作为补充,到目前为止,我所收集到的关于他们的经济生活及 有关社会制度的材料,足以进行初步的分析。

    第三章 家

    农村中的基本社会群体就是家,一个扩大的家庭。这个群体的成员占有共同的财产,有共同的收支预算,他们通过劳动的分工过着共同的生活。儿童们也是在这个群体中出生、养育并继承了财物、知识及社会地位。

    村中更大的社会群体是由若干家根据多种不同目的和亲属、地域等关系组成的。由个人成员组成的社团很少而且占次要地位。以下四章将提供该村的社会背景以便我们研究其经济生活。

    1.家,扩大的家庭

    家庭这个名词,人类学家普遍使用时,是指一个包括父母及未成年子女的生育单位。中国人所说的家,基本上也是一个家庭,但它包括的子女有时甚至是成年或已婚的子女。有时,它还包括一些远房的父系亲属。之所以称它是一个扩大了的家庭,是因为儿子在结婚之后并不和他们的父母分居,因而把家庭扩大了。

    家,强调了父母和子女之间的相互依存。它给那些丧失劳动能力的老年人以生活的保障。它也有利于保证社会的延续和家庭成员之间的合作。

    在一定的经济条件下,这个群体本身无限的扩展很可能是不利的。在扩展进程中,其成员之间的磨擦增加了。我们即将看到,家是会分的,即所谓“分家”。而且,分家只要较为可取,它就分。因此,家的规模大小是由两股对立的力量的平衡而决定的,一股要结合在一起的力量,另一股要分散的力量。在下面几节里,我将分析这两股力量。

    关于这村里家的规模,有一些定量的数据可以帮助我们进一步开展讨论。尽管大部分对中国的研究强调中国大家庭制度的重要性,但非常奇怪,在这个村里,大家庭很少。在家的总数中,我们发现有一对以上已婚夫妇的家不到总数的十分之一。

    最常见的类型是,以一对已婚配偶为核心,再包括几个依赖于此家的父系亲属。事实上,超过一半的家,准确地说,占总数58%的家都
    属于此类。但并不是每一个家都有一对已婚配偶。有时候,在一个妇女丧夫之后,她就和她的子女在一起生活,而不去加入另一个单位。
    也有这样的情况,一个父亲和他儿子居住在一起,家中没有女人。这些都是社会解组的结果,主要是由于这个群体中从事劳动的成员死亡
    所致,因而它们是不稳定的。鳏夫会再结婚,孩子也会在不久的将来,一有可能就结婚。任何一种情况都能使一个不正常的家庭得到恢
    复。这一类不稳定的家占总数的27%。 [12]

    村中,一个家的成员平均为4人。这说明这种群体是很小的,而且这绝不是一种例外的情况,从中国其它农村地区的材料也可以得出同样的结论。中国农村家庭,平均的人数大约是在4至6人之间。 [13] 所谓大家庭,看来主要存在于城镇之中,很明显,它们具有不同的经济
    基础。就现有材料看,可以说,这个村里的家是一个小的亲属群体,以一个家庭为核心,并包含有几个依靠他们的亲属。

    2.“香火”绵续

    父母与子女、夫与妻这两种关系是家庭组织的基本轴心。但在中国所谓的家,前者的关系似乎更为重要。家的基本特征是已婚的儿子中往往有一个不离开他们的父母,父母之中如有一人亡故,更是如此。此外,为儿子找一个媳妇,被视为父母的责任。配偶由父母选就,婚礼由父母安排。另一方面,婚姻的法定行为尽管先于生孩子,但结婚总是为了有后代。生孩子的期望先于婚姻。在农村中,结成婚姻的主要目的,是为了保证传宗接代。选聘媳妇的主要目的是为了延续后代,保证生育男儿是向算命先生明白提出的要求。如果当媳妇的没有能力来完成她的职责,夫家就有很充足的理由将她遗弃而无需任何赔偿。妇女在生育了孩子之后,她的社会地位才得到完全的确认。

    同样,姻亲关系只有在她生育孩子以后才开始有效。因此,先从父母与孩子的关系着手来描述和研究家的组织是有根据的。

    传宗接代的重要性往往用宗教和伦理的词汇表达出来。传宗接代,用当地的话说就是“香火”绵续,意思是,不断有人继续祀奉祖先。关于活着的子孙和他们祖先鬼魂之间联系的信仰,在人们中间是不太明确和没有系统的说法的。大致的观点是,这些祖宗的鬼魂生活在一个和我们非常相像的社会中,但在经济方面他们部分地依靠子孙所作的奉献,这就是定时地烧纸钱、纸衣服和其它纸扎的模拟品。因此,看来死者在阴间的福利还是要有活人来照管的。

    有人用纯伦理的观点来解释生育子女的重要性。他们认为这是一种做人的责任,因为只有通过他们的子女才能向自己的父母偿还他们对自己的抚育之恩。因此,要有子女的愿望是出于双重的动机:首先是传宗接代;第二是向祖宗表示孝敬。

    这些信仰,无疑地和宗教及伦理观念联系在一起,同时也有实际的价值。在以后的章节里我将说明子女如何有助于建立夫妇间亲密的关系,因为丈夫和妻子在结婚前是互不相识的。子女还起着稳定家庭群体里各方关系的作用。子女的经济价值也是很重要的。孩子很早就
    开始给家庭福利作出贡献,常常在10岁之前,就打草喂羊。女孩在日常家务劳动及缫丝工业方面是非常有用的。再者,孩子长大结婚后,
    年轻的夫妇代替父母担负起在田地上及家庭中的重担。当父母年老而不能劳动时,他们就由儿子们来赡养。这些可以由以下的事实来说
    明:这个村子中有145名寡妇,她们不能靠自己的经济来源维持生活,但这并没有形成一个严重的社会问题,因为她们之中的绝大多数都由成年子女赡养。从这个意义上来说,孩子是老年的保障,即所谓“养儿防老”。

    亲属关系的社会延续问题,由于强调单系的亲属关系而变得复杂起来。一个人的身份和财产并不是平等地传递给子女的。总是把重点放在男性这一边。在幼年时期,男孩和女孩都由父母抚养。他们都用父亲的姓氏。但当他们长大成亲后,儿子在分家前还继续住在父母的房屋里,而女儿则离开父母去和自己的丈夫住在一起。她在自己的姓名前要加上丈夫的姓氏。她除了能得到自己的一份嫁妆外,对自己父母的财产不能提出什么要求。出嫁的女儿,除了定时给父母送礼品及有时给父母一些经济帮助外,她也没有赡养自己父母的责任(第十五章第2节)。财产由儿子继承,他的责任是赡养其父母(第四章第3节)。在第三代,只有儿子的儿子接续他的家系。女儿的孩子则被视为亲戚关系,他们使用自己父亲的姓氏。因此,在村子中,传代的原则是父系的。

    然而,这个原则有时也可以根据需要加以修改。经过协议,女儿的丈夫也可以在自己的姓名前面加上他妻子的姓,他们的孩子则接续母亲的家系。也有时夫妇双方各自接续双方的家系。总之,这些是总的原则在特定条件下的次要变动(第四章第4节)。由于男女平等的新概念,现行的法律制度企图改变这种传统的偏重单系的亲属制度(第四章第6节)。关于这些变化,留到以后再加以讨论。

    3.人口控制

    尽管村中的人认识到后代的重要性,但现实中还存在着必须限制人口的因素。儿童的劳动能对家庭经济作出贡献,这是事实,但必须要有足够的劳动对象来利用这些劳动力,由于拥有土地的面积有限,能养多少蚕也有限度,家中多余的成员,成了沉重的负担,有鉴于此,让我们先来观察一下这个村平均的土地拥有量情况。

    该村的总面积为3,065亩,农地占90%,如果将2,758.5亩农田平均分配给274家农户,则意味着每户只能有一块约10.06亩大的土地。
    正常年景,每亩地能生产6蒲式耳稻米。一男、一女和一个儿童一年需消费33蒲式耳稻米(第七章第5节)。换句话说,为了得到足够的食物,每个家庭约需有5.5亩地。目前,即使全部土地都用于粮食生产,一家也只有大约60蒲式耳的稻米。每户以4口人计算,拥有土地的面积在满足一般家庭所需的粮食之后仅能勉强支付大约相当于粮食所值价的其它生活必需品的供应。因此,我们可以看到,这个每家平均有4口人的村子,现有的土地已受到相当重的人口压力。这是限制儿童数量的强烈因素。

    按照当地的习惯,孩子长大后就要分家产。有限的土地如果一分为二,就意味着两个儿子都要贫困。通常的办法是溺婴或流产。人们并不为这种行为辩护,他们承认这是不好的,但是有什么别的办法以免贫穷呢?从这个村子中儿童的总数可以看到这个结果:16岁以下儿童,总共只有47名,平均每家1.3个。

    杀害女婴就更为经常。父系传代及从父居婚姻影响了妇女的社会地位。在父母亲的眼中,女孩的价值是较低的,因为她不能承继“香火”,同时,她一旦长成,就要离开父母。结果0—5岁年龄组的性比例是:100个女孩比135个男孩(第二章第5节)。只在131家中,即占总数37%的家中,有16岁以下的女孩(不包括“小媳妇”),只在14家中,有一个以上的女孩。

    正因为人口控制是为了预防贫穷,一些有着较大产业的家庭就不受限制地有更多的子女。他们对自己有为数众多的子女感到自豪,而在人们的眼中,又视之为富裕的象征。有后嗣的愿望,厌恶杀婴、流产及经济上的压力等等,这些因素同时发生作用使土地的拥有量趋向平均化(第十一章第6节)。

    4.父母和子女

    孩子出生之前,当母亲的已经有了明确的责任。在妊娠期间,当母亲的要避免感情冲动,避免观看令人憎恶的事物,禁忌吃某些食物等。这种看法叫胎教。期望母亲的良好行为会影响到孩子将来的性格。对父亲则无特殊的要求,只是认为他应避免和妻子同房,因为这被认为对孩子的生理发育不利,甚至可能导致夭亡。

    对生育的期待与恐惧,使家庭充满了紧张的气氛。怀孕的妇女被认为处于特殊地位并免除了她各项家务劳动。这是因为人们对性有一种不洁净的意识。她自己的父母也分担了这种紧张。小孩快出生之前,娘家的父母给她喝药汤。母亲要在女儿房里陪住几天,以便照顾她。她的母亲也有责任去洗涤污脏的衣服,并在产后,守在她身边。

    孩子出生后,按习惯当母亲的不长期休息。她在一个星期之内便恢复家务劳动。当地向我提供情况的人认为,这种做法是造成妇女产后高死亡率的原因。真实的死亡率还不得而知,但在人口统计中,26—30岁及41—45岁两年龄组妇女人数的明显下降(第二章第5节)说明了这个问题。

    婴儿的死亡率也是高的。如果把年龄组0—5岁与6—10岁相比较,会发现人数有很大的下降。两组数字相差为73人,占这个组总数的33%。这种现象也反映在当地人迷信“鬼怪恶煞”。孩子“满月”时要剃头,并由孩子的舅父起一个小名。这通常是一个带贬义的名字,如阿狗、阿猫、和尚等等。人们迷信孩子的生命会被鬼怪追索,受父母宠爱的孩子尤其如此。保护孩子的一种办法,就是向鬼怪表示,没有人对这孩子感到兴趣;其理由是鬼怪性喜作恶,看父母溺爱孩子,就要进行打击;孩子既然受到冷淡,鬼怪就不再继续插手了。甚至有时采取这样一些方法,名义上把孩子舍给那些被认为大有影响、甚至在神道面前也是很有影响的人物,以求得保护。这种假的领养孩子的办法以后还会讲到(第五章第3节)。因此,父母原来在表面上表露出来的对儿子的珍爱,被小心地掩藏起来了。

    关于父母以及长亲对孩子的态度问题,必须联系下述各种因素来加以理解。这些因素是:由于经济压力需要控制人口;儿童为数很少;婴儿死亡率高;迷信鬼怪恶煞;要子嗣的愿望及有关的宗教伦理观念。从这众多因素的结合中可以看到,活下来的孩子便受到高度的珍爱,虽然从表面上看,对待孩子的态度是淡漠的。

    村里的孩子整天依恋着他们的母亲。只要有可能,孩子总是被抱在手里,很少用摇篮。孩子吃奶要吃到3岁或更长的时间。喂奶无定时。每当孩子哭闹,母亲立刻就把奶头塞到孩子的嘴里,使他安静下来。村里的妇女不到田里劳动,整天在家中忙碌。因此在平常的环境里,母子的接触几乎是不间断的。

    孩子与父亲的关系稍有不同。在妻子怀孕和生孩子时,丈夫并没有什么特殊的责任。在一年之中,男人有半年以上的时间在户外劳动。他们早出晚归,夫妻之间、父子之间的接触相对地比较少。在孩子的幼年,就孩子来说,父亲只是母亲的一个助手,偶然还是他的玩伴。在妻子养育孩子时,丈夫会接过她的一部分工作,甚至是厨房里的工作。我曾经看到,一些年轻的丈夫,经过一天忙碌的劳动,在傍晚余暇的时候,笨拙地把孩子抱在手里。

    孩子大一些以后,父亲对孩子的影响就增加了。对男孩来说,父亲或为执行家法的主要人物,对女孩子,则管得较少些。母亲对孩子总有点溺爱。当孩子淘气时,母亲往往不惩罚他而只吓唬说要告诉他的父亲。而父亲经常用敲打的办法来惩罚他。傍晚时分,常常听到一所房子里突然爆发一阵风暴,原来是一个坏脾气的父亲在打孩子。通常这阵风波往往由母亲调解而告平息。有时,也在夫妻之间引起一场争辩。孩子过了6岁就参加打草、喂羊的劳动。孩子们对这种劳动很感兴趣,因为可以和同伴们在田野里随便奔跑而不受大人的任何干涉。

    女孩子过了12岁,一般都耽在家中,和母亲共同操持家务和缫丝,不再和孩子们在一起了。

    只有通过这样一个过程,一个依赖别人的孩子才逐渐成为社区的一个正式成员,同样,通过这种逐渐的变化,老年人退到了一个需要依靠别人的地位。这两个过程是总的过程的两个方面,这就是社会职能逐代的继替。虽然在生物学上一代代的个体是要死亡的,但社会的连续性却由此得到了保证。由于社区的物质条件有限,老的不代谢,新生力量的社会功能就得不到发挥。农村中物质基础的扩大极为缓慢,情况尤为如此。例如,在生产技术不改变的情况下,土地所需要的劳力总量一般来说是不变的。一个年轻人的加入便意味着生产队伍里要淘汰一个老人。

    虽然这个过程是缓慢的,但老的一代逐步隐退。在这一过程中知识和物质的东西从老的一代传递给青年一代,同时,后者便逐步承担起对社区和老一代的义务。因此,也就产生了教育、继承和子女义务等问题。

    5.教育

    孩子们从自己的家庭中受到教育。男孩大约从14岁开始,由父亲实际指导,学习农业技术,并参加农业劳动。到20岁时,他成为全劳力。女孩子从母亲处学习蚕丝技术、缝纫及家务劳动。

    另外还要讲几句村里的学校教育。公立学校根据教育部的教学大纲进行教学。学生就学的时间为6年,是单纯的文化教育。如果孩子在6岁开始上学,在12岁以后还有足够的时间来学习他的主要职业技能,蚕丝业或农业劳动。但在最近的10年里,养羊开始成为一种重要的家庭副业。以后我们还要讲到这个问题。羊是饲养在羊圈里的,因此要为羊打饲草(第八章)。打草就成了孩子们的工作。因此,村子里的经济活动与学校的课程发生了矛盾。

    再说,文化训练并不能显示对社区生活有所帮助。家长是文盲,不认真看待学校教育;而没有家长的帮助,小学校的教育是不易成功的。学校里注册的学生有100多人,但有些学生告诉我,实际上听课的人数很少,除了督学前来视察的时间外,平时上学的人很少超过20人。学校的假期很长。我这次在村中停留的时间比学校正式的放假时间长,但我仍没有机会看到村中的学校上课。学生的文化知识,就作文的测验看,是惊人的低下。

    姓陈的村长,他曾经当过村中的小学校长,向我诉说,认为这种新的学校制度在村中不能起作用。很值得把他的理由引用在下面:第一,学期没有按照村中农事活动的日历加以调整(第九章第3节)。村中上学的学生大多数是12岁的孩子,他们已到了需要开始实践教育的年龄。在农事活动的日历中有两段空闲的时间,即从1月至4月及7月至9月。但在这段时间里,学校却停学放假。到了人们忙于蚕丝业或从事农作的时候,学校却开学上课了。第二,学校的教育方式是“集体”授课,即一课接着一课讲授,很少考虑个人缺席的情况。由于经常有人缺席,那些缺课的孩子再回来上课时,就跟不上班。结果是,学生对学习不感兴趣,并造成了进一步的缺课。第三,现在的女教员在村中没有威信。

    在这里,我不能就此问题更深入一步进行讨论,但明显的是,村中现有的教育制度与总的社会情况不相适应。廖泰初 [14] 先生在山东地区对教育制度进行了实地调查。从他的材料中可以看到,不适应的情况不限于这个村子,而是中国农村中的普遍现象。应当进一步进行系统的调查以便提出更为实际的建议。

    6.婚姻

    关于继承问题和子女的义务问题,在通常情况下并不会提出来,要到孩子长大成人并且要结婚的时候才会提出来。因此,我们首先要提到婚姻问题。

    在这个村子里,儿女的婚姻大事完全由父母安排并且服从父母的安排。谈论自己的婚姻,被认为是不适当的和羞耻的。因此,这里不存在求婚的这个说法。婚配的双方互不相识;在订婚后,还要互相避免见面。

    婚姻大事,在孩子的幼年,经常在6—7岁时就已安排了。如果要在较大的范围内进行选择,这是必要的,因为好人家的孩子往往很早就定了婚。村中向我提供情况的人曾多次说到,如果女孩订婚过晚,她就不能找到好的婚配对象。但由女孩的母亲来提亲也是不合适的。

    而且前面讲过,母亲和女儿之间的关系是极为紧密的。结婚意味着女儿和她父母的分离,因而当母亲的总是很勉强地来办这件事。女儿留在父母的家中时间过长也是不可能的。在父系社会里,女人没有权利继承她父母的财产。她的前途,即使是一个安定的生活,也只有通过她的婚姻才能得到。因此,需要有第三者来为双方的婚姻作出安排。村里的人说作媒是一件好差使,因为媒人从中说合可以得到很好的报酬。

    媒人的第一件事是弄清楚女方的生日。就是在红帖上写明女孩的八字,即诞生的年、月、日及时辰。当父母的对媒人送去红帖子的那一家男方从来不表示反对,至少是假装不反对。媒人把红帖送到有合适男童的家庭时,把红帖供在灶神前面,然后媒人说明来意。一个普通家庭的男孩,同时会收到几张帖子,因而他的父母可以进行选择。

    下一个步骤是男孩的母亲拿着红帖去找算命先生。他将根据生辰八字的一种特殊推算办法,来回答一些问题,即这个女孩的命与男孩家里人是否和谐。他要对每个女孩命中的优点加以介绍,并圆滑地让他的顾客来表示她的真实态度,并依此作出决定。即使算命先生的判断和顾客的意愿不一致,顾客的愿望通常是犹豫不定的,她不一定要把算命先生的话当作最后决定。她可以找这位算命先生再商量,或者另找一位算命先生。

    用理智选择儿媳妇是一件很难的事情。没有一个女孩子是完美无缺的,但每户人家都想找到最好的。因此很容易出错。如果找不到其它出错的原因,那就要归罪于挑选的人了。因此,算命先生不仅是充当作出决定的一种工具,同时,也被用作把错误的责任推卸给上天意志的一个办法。如果婚姻不美满,那是命运。这个态度实际上有助于维持夫妻关系。但必须明白,真正起作用的挑选因素,首先是男孩父母的个人喜好,在表亲婚配时尤其如此(第三章第8节),但这都被假装说成为天意的决定。

    挑选时主要考虑到两点:一是身体健康,能生育后代;二是养蚕缫丝的技术。这表明了对一个儿媳妇所要求的两个主要职能,即是,能绵续家世及对家中的经济有所贡献。

    当一个对象被选中之后,媒人就去说服女方的父母接受订婚。按
    照风俗习惯,女方应当首先拒绝提亲。但只要不出现其它竞争者,一
    个会办事的媒人,不难使对方答应。为了作好以后的婚事安排,要进
    行长时间的协商,双方的协议要经过第三者,即媒人来达成。村里的
    人说,在协商的阶段双方家长相持如同对手一般。女孩的父母提出极
    高的聘礼要求,男孩的父母表示要求过高,难于接受,媒人则在中间
    说合。聘礼包括钱、衣服、首饰等,聘礼分三次送去。聘定所花的
    钱,总数约在200元至400元之间。 [15]
    如果把双方的争议看成一件经济交易是完全不正确的。财礼并不
    是给女孩父母的补偿。所有的聘礼,除了送给女方亲属的一部分外,
    这些聘礼都将作为女儿的嫁妆送还给男家,而其中还由女方父母增添
    了一份相当于聘礼的财物。究竟女方的父母增添多少嫁妆,是较难估
    计的,但按照一般能接受的规则来说,增添的财物如果抵不上聘礼,
    那就是丢脸的事,女儿在新的家中的地位也将是尴尬的。
    尖锐而热烈的协商本身具有双重的意义。它是母爱与父系继嗣这
    两者之间斗争的心理反映。就像人们所说的,“我们可不能随随便便
    地把女孩子给人家。”从社会学方面看,它的重要性在于,这些聘礼
    与嫁妆事实上都是双方父母提供新家庭的物质基础,同时也是为每一
    家物质基础定期的更新。
    应当明确,从经济观点来看,女儿的婚姻对女方父母是不利的。
    女孩一旦长成,能分担一部分劳动之后,却又被人从她的父母手中夺
    走,而父母为了把她抚育成人,是花了不少钱的。所收下的聘礼并不
    属于父母,这些聘礼要作为嫁妆陪嫁;此外,还要加上一份至少和聘
    礼相等的嫁妆在内。新娘婚后将要在她丈夫家里生活和劳动,这对她
    父母来说,是一种损失。再说女儿结婚后,她的父母和兄弟又对这门
    亲戚承担了一系列新的义务,特别是对女儿生的孩子将承担更多的义
    务。在现实生活中,不论父方还是母方的亲戚,都对孩子感到兴趣,
    但由于是单系继嗣,因而孩子对他母亲方面的亲戚承担的义务较小
    (第四章第5节及第五章第2节)。在女方父母方面,对女儿出嫁受到
    的损失所作出的反应,首先表现在整个安排过程及举行婚礼方面;同
    时,也表现为大量溺死女婴,从而造成人口的男女性别比例失调的现
    象。

    婚礼照例有如下的一些程序。由新郎去迎亲,乘坐一条特备
    的“接亲船”。他要作到很谦逊而不惹事,他要面对的是新娘家的一
    群亲戚,他们对他的态度通常都是装得不友好的。他的一举一动必须
    严格按照习惯行事,一些专门管礼仪的人在旁进行指导。发生的任何
    一个错误都会使整个进程停下来。有时,这种仪式要延续整整一夜。
    最后结束的场面是新娘作出表示拒绝的最后努力。她在离开她父母的
    房子之前痛哭流涕,于是由她父亲进行“抛新娘”的仪式,把新娘送
    进轿子。如果她没有父亲,则由父方的最近男亲来代替。一旦新娘上
    了船,男方的迎亲队伍马上安静地离去,乐队默默无声,直到离开村
    庄。女方亲属的这种象征性的对抗,往往会引起男家亲戚们不愉快的
    感觉,如果他们缺乏幽默感的话。

    下一步的程序是用“接亲船”接新娘、两人拜堂、新娘向丈夫的
    亲戚见礼以及向男方的祖先祭拜等等。这些,我在这里就不详加描写
    了。新郎的父母为亲友准备了盛宴,这是亲属会集的一个场合,他们
    之间的联系因而也得到了加强。每门亲朋都要以现钱作贺礼,至于送
    多少钱,由他们之间的关系亲疏而定。举行婚礼的开支,在200元至
    400元之间。

    7.家中的儿媳妇

    女孩子终于到了他丈夫的家中。她发现自己处在陌生人的中间,
    但这些人又属于和她有着最亲密的关系的人。她的地位是由习俗来支
    配的。夜间,她和丈夫睡在一起,她必须对丈夫十分恭顺。她只能和
    丈夫发生两性关系。白天,她在婆婆的监督下从事家务劳动,受她婆
    婆的管教。她必须对她的公公很尊敬但又不能亲近。她必须灵活机敏
    地处理她和小姑子、小叔子的关系,否则他们将同她捣乱。她要负责
    烧饭,而在吃饭的时候,她只能坐在饭桌的最低下的位置,甚至不上
    桌吃饭。
    必须记住,她在娘家的时候,生活是相当自由的,因此,可以想
    象她进入了一个什么样的新环境。这是她要严守规矩的时候了。她偶
    然也被允许回家去看望她的母亲,并向她的母亲哭诉一番以解心头之
    闷,差不多所有的新娘都是这样做的。但正如俗话所说:
    “泼水难
    收”,没有人再能帮助她。她只能接受她的地位和处境。宗教信仰在
    此也起着促进的作用。人们相信,人间的姻缘是由月下老人用肉眼看
    不见的红线绿线牵在一起的。在结婚仪式上也象征性地用红绿绸带来
    表示这种结合。每一个结婚典礼中都可看到刻印在纸上的“月老”神
    像。人类本身无能为力的感觉,引起了这种宗教信仰,并借此减轻现
    实的压力。至少在这种情况下,可以缓和新娘的反抗倾向。
    一般说来,新娘适应她夫家的状况并不需要很长的时间。她在家
    中,特别对从事蚕丝生产是很有用的。后面还要讲到,蚕丝业在家庭
    经济中占有很重要的地位(第七章第2节)。在结婚之后的第一个春
    天,新的儿媳妇必须经过这样的一种考试。新娘的母亲送给她一张特
    殊挑选出来的好蚕种。她完全靠自己的能力来养这批蚕。如果她养得
    好,显示了她的技能,就能赢得她婆婆的好感。这被认为是女孩子一
    生中的重要时刻,据此可以确定她在丈夫家中的地位。

    同样,她如果能生一个孩子,特别是一个男孩,她的地位也可以
    得到提高。在生孩子之前,丈夫对她的态度是冷淡的,至少在公开场
    合是如此。在讲话的时候,丈夫都不会提到她。甚至在家中,只要有
    别人在场,她的丈夫如果表示出对她有一些亲密的感情都会被认为是
    不妥当的,结果会成为人们背后议论的一个话题。在这种情况下,夫
    妻之间坐也不挨得很近,而且彼此极少交谈。他们宁愿通过第三者来
    交谈,而且彼此还没有一个专门名词来称呼对方。但一旦生了孩子,
    当丈夫的就能称他的妻子为孩子的妈。从此之后,他们能比较自由地
    交谈,彼此之间也能较自然地相处。对于其它亲属来说,情况也是相
    同的。真正使丈夫的家接受一个妇女的,是那个孩子。对孩子的关怀
    是家中的一种结合力量。

    然而,新娘和她的新的亲属之间的关系,要调整得好,总是有困
    难的。她对自己的丈夫,由于过去并不熟悉,也许不会很快就喜欢
    他。人们对一个妇女与婚姻之外的任一个男性比较亲密的关系都存在
    着偏见。为了防止这种可能性,社会上绝不允许成年的女孩和男孩有
    亲密的关系,以严格保持女孩婚前的贞洁。女方的任何失检将导致原
    定婚约无效,并亦为其它的婚事安排带来困难。对已婚妇女的通奸,
    看得更为严重。从理论上说,当丈夫的可以杀死奸夫而不受惩罚,然
    而在实际上很少这样做。由于结婚花费很贵,甚至防止人们遗弃有不
    轨行为的儿媳。晚上人们聚拢在一起时,也会很随便地谈到私通的
    事。我的情况提供者告诉我,有那么一个例子,有一个丈夫因经济上
    的原因纵容妻子另有一个男人。但毫无疑问的是,妻子的不忠实始终
    是家庭中发生争吵的一个因素。

    但家庭纠纷更经常地发生在媳妇和婆婆之间。人们理所当然地认
    为婆婆是媳妇的潜在对手。她们之间发生磨擦是司空见惯的,因而关
    系和睦就会得到特殊的赞扬。有人如果听到老年妇女的私下议论,就
    会证实我的说法。那些老年的妇女总是喋喋不休地咒骂她们的儿媳。
    如果考虑到日常的家庭生活,婆媳之间存在的潜在冲突是可想而知的
    了。丈夫和公公白天不在家中,终日外出劳动,但婆婆总是在家。儿
    媳对婆婆本来毫无感情基础,来到这个家之后,感到自己被婆婆看管
    着,且经常受到批评和责骂。但她必须服从婆婆,否则,丈夫会替婆
    婆来打她。婆婆就代表着权力。

    老年妇女都有类似的观点,认为儿媳妇总是不合意。我在前面已
    经指出过,父母和孩子之间的联系是紧密的。夫妻之间的关系,在一
    定的意义上说,是父母与儿女关系中的干扰因素。如果婆媳之间发生
    纠纷,当丈夫的不能完全置身事外。如果他站在母亲一边,这往往是
    结婚后不久发生的情况,夫妻之间将发生争吵。如果他站在妻子一
    边,就成为母子纠纷。我曾亲眼看到过这样一个例子,由于婆媳之间
    的纠纷,儿子对母亲大发雷霆以致打了母亲,受到社会的谴责。家庭
    中的这种三角关系使家庭很难保持和睦相处。

    如果纠纷闹得忍无可忍,儿媳妇就可能被休弃。休妻通常是由婆
    婆提出,甚至违背自己儿子的意愿。如果婆婆能为采取这种行动找到
    一些站得住脚的理由,如儿媳通奸、不育等,则儿媳不能要求赔偿,
    否则必须给离弃的女方60至70元。当儿媳的没有权利来改变这种行
    动,但她可能说服她的丈夫坚定地站在她一边。如果发生后一种情
    况,就要闹分家。

    媳妇无权提出离婚。她唯一可以采取的有效行动是放弃家庭。她
    可以逃奔到城里去,在那里找些事干来维持生活,直到有可能和家庭
    慢慢达成和解。如果她丈夫坚决地支持他的母亲,以致夫妻和好无望
    时,她可能采取更加绝望的行动,即自杀。人们普遍都迷信她将变成
    鬼为自己报仇。此外,她自己的父母、兄弟将要求赔偿,有时甚至把
    丈夫的房子部分拆毁。因此,仅仅是自杀的威胁,实际上已足以使人
    们重新言归于好。另一方面,当婆婆的由于害怕面临这种可能性,因
    而她通常还不敢把媳妇逼到这种地步,以免激起她自己都十分害怕的
    后果。

    家中的不和睦也不应当加以夸张。在这群体中,基本的情况是合
    作的。当婆婆的有特权,这是事实,只要她得到她的丈夫和儿子的支
    持。但也应当考虑到她维护家规所具有的教育作用。男孩从父亲那里
    受到的管教,媳妇从婆婆处得到。而且正像人们所说的那样,日久天
    长总有公道。因为当这个女孩自己有了一个儿子并娶了妻,她自己也
    能享受当婆婆的特权。一个媳妇的经济价值和对小孩的共同兴趣,使
    家庭中得失相抵,大致上得到了和谐。

    8.表亲婚姻与“小媳妇”

    我已扼要地叙述了父母与子女的关系及夫妻关系,并提出了这样的事实,在男方和女方亲家之间,很明显地缺少经济的互惠关系。而
    且婚姻的安排很少考虑到丈夫和妻子的爱好,因而存在着家庭不和睦
    的可能性,它会导致家的不稳定。从长远看来,经济互惠还是存在
    的,它是亲属制度基本稳定力量;但在短时期内,媳妇的处境不利于
    这个群体的和睦相处。因此,表亲联婚成了一种解决问题的办法。
    在村中可以看到有两种不同的“表亲”婚姻。一个女孩子嫁给她
    父亲的姊妹的儿子,叫做“上山丫头”,“上山”意味着家庭的兴
    旺。一个女孩子嫁给她母亲的兄弟的儿子,叫做“回乡丫头”,就是
    一个女孩又回到她的本地。这被认为对这家不利的。可以从这字面上
    表达的意思,看到人们都喜欢“上山”的一类,而不喜欢“回乡”的
    一类。

    让我们来看看这两种类型之间有哪些真正的不同。如甲家庭在第
    一代将一个女孩给乙家庭,成为乙家的儿媳妇;到了第二代,又重复
    了这个过程,这种婚姻就叫做“上山”型。如果这个过程在第二代向
    相反方向发展,这女孩子的婚姻就成了“回乡”型。在第一种情况
    下,这女孩子成为她父亲的姊妹的儿媳,她的婆婆是从她的父亲的家
    中来的,和儿媳的父亲还有着亲密的关系;而在第二种情况下,一个
    女孩成为她母亲的兄弟的妻子的儿媳。兄弟的妻子曾在婆婆手里受过
    苦的。兄弟的妻子的婆婆正是女孩的母亲的母亲。当母亲的总和她出
    嫁的女儿之间存在着一种亲密的关系,而这种亲密的关系往往被她的
    儿媳所忌恨。当这个女孩子落到了她母亲的兄弟的妻子手上当儿媳,
    而她的婆婆正是她母亲的母亲的儿媳,她正好成了她婆婆报复的对
    象。

    在这种家庭情况下,可以看到心理上的因素往往超过了经济上的
    因素。因为从经济观点来看,第二种情况更利于两家在承担义务问题
    上取得平衡。

    我不能证实每类表亲婚姻的准确数字。但向我提供情况的人认
    为,如果有合适的上山型婚配机会,往往就办成了。在邻村,只有一
    对“回乡”型的婚姻,恰好成为被引用来作为结局不愉快的最新证
    据。此外,从中国南部得到的对比材料也证明了这里所提出的结论。
    在那里,一样的父系家庭制度以及婆媳之间潜在冲突,同样,也存在
    着偏爱上山型表亲婚姻中的情况。 [16]

    女孩带来的经济负担导致了大量的溺女婴,这在前面的章节里已
    有所述。现存的两性比例的情况,使一些贫穷的男孩子难以找到对
    象。如果以16岁为结婚的最低年龄,我们发现有128个婚龄男子,占总
    数的25%,仍是单身汉。另一方面,超过16岁的妇女只有29名,占总数
    的8%,没有结婚。25岁以上的妇女没有一个是未婚的,但村里却有43
    个25岁以上的男单身汉。
    两性比例的不平衡也影响到夫妻之间的年龄差别。在294例中,夫
    妻之间的平均年龄差别为4.9岁,其中,丈夫比妻子平均大3.65岁。应
    当知道,在农村里娶年龄太小的妻子并没有什么好处,因为她们还不
    能分担家务劳动。有许多例妻子的年龄大于丈夫,事实上,有一对夫
    妻,女的比男的大11岁。

    我必须进一步说明,这些数字仅限于这个村子,而大部分婚姻是
    本村与外村之间的。因此,我假定在别的村子中也存在着相同的情
    况。这种假设是由以下的事实来证明的,即进行婚配的地区与从事某
    种家庭工业的地区是相同的,而这地区的蚕丝业对女孩子的需求也是
    相同的。在城市中,情况可以不同,城市中的两性比例尚不清楚。但
    农村中的人,常把女孩送到城里去给大家庭作养女,或把她们送到慈
    善机构里去,以代替溺婴。此外,我发现在城中较少溺婴。因此,可
    以预期在城市中女性的比例比农村中为高。由于农村和城市中两性比
    例的不同,导致了从城市中把妇女送到农村的现象。例如,在城里的
    年轻女佣,到了结婚的年龄,她的主人就为她安排一门农村的亲事。
    在这个村子中,我知道有11对(占已婚妇女的2.5%)就属于这种情
    况。
    晚婚也是由于婚事费用过高而造成的。虽然我还没有找到这种开
    支的一个肯定的数字,粗略地估计,大约需500元(第七章第7节)。
    这个数字相当于一个家庭一年的开支。由于近几年来经济萧条,村里
    几乎中止办婚事。农村工业的不景气从根本上向现存的婚姻程序进行
    了挑战。但由于成婚是不可能无限期推迟的,所以出现了另一种结婚
    的方式,这就是所谓的“小媳妇”制度,“小媳妇”的意思是年幼的
    儿媳妇,即别的地方所说的“童养媳”。
    在女孩很小的时候,男孩的父母领养了她。她未来的婆婆甚至还
    要给她喂奶,并一直要抚养她到结婚。如果这女孩是在她丈夫家中养
    大的,那么婚姻的一切复杂程序如做媒、行聘、接亲船、轿子等等都
    不再需要了。有些“小媳妇”甚至不知道她自己的父母。而那些与自
    己父母还保持联系的女孩,由于早期即与父母分离,父母对她们也就
    没有特别的兴趣。婚事的费用,可以缩减到少于100元。
    由于这种新的制度,家中的成员之关系和姻亲之间的关系起了很
    大的变化。我曾观察到,有许多从幼年起就被未来的婆婆带领大的女
    孩子,十分依附于她的婆婆,就像一个女儿对母亲一样。特别是,如
    果这家真的没有女儿,情况就更是如此。甚至那些受到未来的婆婆虐
    待者,逐渐习惯于自己的地位,在婚后也不至于经受不起。故婆媳之
    间的纠纷,即使不能完全避免却常常不是那么尖锐。姻亲关系是松散
    的,在许多情况下它已经消失了。
    在最近的10年里,“小媳妇”的数字增加了。在已婚的439名妇女
    中,有74人,即17%,在婚前是“小媳妇”。但在未婚的妇女中,“小
    媳妇”有95人,而非小媳妇有149人,“小媳妇”占39%。平均起来,
    每2.7户人家就有一个“小媳妇”。这个数字是非常有意义的。但现在
    就来预测这种制度进一步发展的情况,为时尚早。从成婚率和人们关
    心的程度来看,传统的婚姻仍然是主要的制度。“小媳妇”制度是受
    到轻视的,因为它是在经济萧条的时候产生的,而且通常是贫困的人
    家才这么做。此外,它使姻亲联系松散,影响亲属结构的正常功能。
    它对妇女的地位、甚至对年轻夫妇建立一个独立的家庭都有不利的影
    响,因为他们缺少双方的父母供给的聘礼和嫁妆。有意思的是,据提
    供情况者说,此类型的婚姻,在太平天国运动(1848—1865年)之
    后,曾在很相似的情况下流行过。太平天国运动以后接着是普遍的经
    济萧条。但一旦情况恢复正常,传统婚姻就取代了这种类型的婚姻。

    第四章 财产与继承

    1.所有权

    在开始讨论财产和继承问题以前,有必要在本章加述一节所有权的问题。关于土地所有权问题,我将在以后章节中论述。

    所有权是一物与个人或一组人之间的一定关系。所有者根据惯例
    和法律规定,可以使用、享有和处理某物。关于这一问题有下列三方
    面需要研究:所有者、物、所有者与物之间的关系。我们从村里的人
    了解到他们对财产的一种分类办法。他们是根据所有者的性质来分类
    的。
    (1)“无专属的财产”。每个人,可以无例外地自由享用此类财
    产——如空气、道路、航道等。但自由享用必须是在不侵犯别人享用
    的条件下进行。以航道或水路为例:每个人均能享用村里的河流,但
    不允许其在使用时做出对当地居民有害的事。夜间停止使用河流,除
    得到守夜人许可外,任何人不得通过。又如,即使在白天,船只不得
    堵塞航道,船只停留时,必须靠岸以使他人通过。
    (2)村产。凡该村居民,均有同等权利享用此类财产,如:周围
    湖泊河流的水产品、公共道路和“坟地”上的草。但在某些情况下,
    此类财产的处理权在村长手中。这将在土地占有这一章(第十一章第1
    节)中作更详细的描述。
    属于其它地域群体的物很少,也许我们可以提到刘皇的偶像,它
    属于“段”这个群体所有(第六章第3节)。
    (3)扩大的亲属群体的财产。村里的氏族没有任何共同的财产。
    但兄弟之间分家后,仍然可共用一间堂屋(第七章第2节)。祖坟不列
    入真正的财产,因为它对子孙后代没有任何用处,相反,后代有修缮
    祖坟的义务。同一祖宗的各家均有这种义务。
    (4)家产。此类财产是下一节要讨论的主要题目。
    村里的人告诉你的都可包括在这四类财产之中。村里全部东西也
    可依据这四类来分类。可能有人会惊奇地注意到,没有列出个人的所
    有权。实际上,个人所有权总是包括在家的所有权名义之下。譬如,
    你问一个人,他的烟斗是属于他的还是属于他家的,他会回答是属于
    这两者的。说烟斗是他家的,意思是别家的人不能用这烟斗。说烟斗
    是他个人的东西,指的是,他家里的其他成员不用这烟斗。这两种所
    有形式对他来说似乎并不互相排斥。个人拥有的任何东西都被承认是
    他家的财产的一部分。家的成员对属于这个群体内任一个成员的任何
    东西都有保护的义务。但这并不意味着这个群体中的不同成员对一件
    物的权利没有差别。家产的所有权,实际表示的是这个群体以各种不
    同等级共有的财产和每个成员个人所有的财产。
    物还可以按其不同的用途来分类。
    (1)用作生产资料的物,如土地养蚕缫丝用的房屋、羊栏、农
    具、厨房等。
    (2)消费品。
    a)用后未破坏或消耗尽的,如房间、衣服、家具、装饰物等。
    b)用后被破坏或消耗的,如食物等。
    (3)非物质的东西,如购买力(以钱币形式出现)、信贷、服
    务,以及相反方面的,如债务。

    2.家产

    拥有财产的群体中,家是一个基本群体。它是生产和消费的基本
    社会单位,因此它便成为群本所有权的基础。但如前所述,家的集体
    所有权的部分,对这个群体的各个成员并不完全保持同等权利,所以
    必须分析不同种类的物,如何为不同的成员所拥有。同时也需要分析
    不同类型的所有权是如何在各成员之间分配的。
    土地是由农户全体成年男子或一些成年男子耕种的。男孩有时帮
    助耕种,女人只帮着灌溉。产品部分被贮存起来供一家人消费之用,
    部分出售,以纳税、交租和支付工资,并买回其它消费物品。土地使
    用权和产品享用权有时通过契约扩大到雇工。收税和收租人的权利只
    限于从土地取得的利益的范围。在村里,除了例外,耕种者一般保留
    使用和处理土地的权利。如果他不付给任何人地租而向政府纳税,他
    可被认为是一个完全的所有者。如果他失去了法定的土地所有权,他
    必须对持所有权者交地租,持所有权者用所收地租的一部分向政府纳
    税,在任何情况下,耕种者受法律和惯例的保护,使其不离开土地,
    不受持所有权者的干扰。换句话说,耕种者拥有土地但有一个附带的
    条件,即与持所有权者分享部分产品(第十一章第4节)。
    处理土地的权利掌握在家长手中。但在日常管理中,例如决定播
    种的作物、播种日期等,家长,特别若是女人的话,不行使权利,而
    把决定留给一个技术熟练的人来作。但出售或出租土地的事,除家长
    外,没有别人能作决定。实际上他的行动可能受其他成员所驱使或者
    是根据其他成员的建议来作出决定,但责任由他自己来负。在土地所
    有权这一问题上,我们可以看到,土地的使用权、处理权和利益的享
    用权是如何在这一群体的各个成员中分布的。
    房屋用于蚕丝工业、打谷、烹饪及其它生产性工作。房屋也用作
    庇护、睡觉和休息的场所。这些不同的功能来自相当不同类型的所有
    权。养蚕时期,特别是最后两周需要很大的地方。在这一时期,除去
    厨房外,所有房间都可能用来养蚕。全家人都挤在一间卧室里。个人
    就暂时没有各自的房间。打谷时,中间的房屋公用,有时还需与新分
    家的兄弟合用。厨房主要是妇女用的场所,但做得的食品全体成员共
    同享用,偶尔有为特殊成员供食的情况。

    个人所有权,意即某些人专用某些物的权利,绝大多数是消费物品。虽然,那些用后耗尽的物品必须归个人所有。但那些能够重复使用的物件,可由几个人连续共用。兄弟之间和姊妹之间,双亲和孩子
    之间在不同时期可共用衣物,但在一定时期内,或多或少是一个人专
    用的。贵重的手饰等归个别成员所有,多半属于妇女,而且是嫁妆的
    一部分。嫁妆被认为是妇女的“私房”,但可与丈夫和儿女共享。它也是这个家的家产,遇到必要时,可以抵押出去来接济家里的困难。但在这种情况下,必须征得妇女本人的同意。未经妻子同意便出售她的首饰往往引起家庭纠纷。

    分给个人住的房间,或多或少是小家庭专用的。部分家具系由妻
    子的父母提供。媳妇外出可以把房门锁上,虽然,一般认为这样做对
    婆婆是不很礼貌的。房内箱子和抽屉的钥匙由媳妇保管,这是家中的
    成员专有权的象征。
    小家庭私用的卧室并不损害家长对房屋的最终处理权。幼辈成员
    不能出售或与任何人交换住房和土地的情况一样,家长对不动产的处
    理有最后决定权。对土地和副业的产品也是如此。妇女可以出售生
    丝,如果她不是家长,她必须把钱交给家长。在这个意义上,家长对
    财产具有较大的权利,超过这个群体中的任何一员。对非物质的物品
    的权利,包括作为购买力的钱,更为复杂。种稻、养蚕、养羊的主要
    收入来源由家长控制。钱主要在他手中。只有家长才能决定购买农
    具、肥料、添置新的土地或房屋。从理论上说,这个制度的理想做法
    是:每当其他成员从其它来源得到收入时,必须把钱交给家长,他们
    需要什么时,要求家长去买。这是一种非常集权的经济。但实际上,
    挣钱的人通常保留他或她的全部或部分收入。例如在工厂做工的女孩
    通常不把她的工资交给父亲而是交给她母亲保存,以备她将来之用。
    儿媳妇认为工资是她自己的钱。如果一个媳妇不直接挣钱,她向家长
    要的钱往往超过实际的开支,把多余的节省下来。这样,她自己有少
    量储蓄,称为“私房”,她“私人的钱包”。这是媳妇秘密保存的,
    但总是受到婆婆严密的监视,最终往往成为冲突的缘由。
    家庭的日常费用由公共财源开支。但每个人每月有一些零用钱可
    以自由处理。主要的项目如税金、工资、食物、衣服和其它开销由家
    长控制。个人在办理这类事务之前应先得到家长允许。除家长外,个
    人不准借贷。如果一个儿子秘密欠了某人的债,在邻居们看来就是个
    坏人,他父亲只要活着就可以拒付这笔债款,儿子只有在得到一份遗
    产后才能还债。因此,这样的贷款利息通常是很高的。
    从经济地位来说,家长在这个群体中确实是有权威的。不是家长
    的人,对物的享有权既有限也不完整。

    3.财产的传递

    广义地说,继承是根据亲属关系传递财产的整个过程。但它在法
    律上的用法限于指取得对已故祖先的财产的权利。 [17] 在人类学中,
    通常是指一个已故者的财产处理问题。 [18]
    但如果把研究限制在这样一个范围内,势必把其它各种事实遗
    漏,例如父母活着时的财产传递,后代接受已故祖先的经济义务等。
    所有权是对物的各种权利的一个混合概念。传递的过程通常是一点一
    点进行的,甚至在祖先死后,还未必完成。惧怕惹恼祖先鬼魂的心
    理,或是子孙孝顺的伦理思想,都表明了死者对继承人自由处理遗产
    的缠绵不息的影响。因此为分析当前的问题,我将从广义方面来使
    用“继承”这个术语。
    一个婴儿,一无所有,赤身裸体地来到这个世界。由于他的身体
    还不具备获得物体的能力,因此他全靠他人的供养。家庭的作用就是
    把一个没有独立生活能力的婴儿抚养成为社会中的一名完全的成员。
    父母对孩子的义务是根据亲属关系确定财产传递的一般原则的基础。
    孩子通过父母同各种东西发生接触,从而满足其需要。最初时,
    未征得父母的同意,他不能使用任何东西。例如,对基本的营养需要
    依靠母亲的供应。当然,这种供应在一定程度上是受到人类感情和社
    会规则的保证的,但即使这一点也不一定总有保障。假如这孩子不受
    家庭的欢迎,他可能因为不喂奶而饿死。他长大后,归他用的东西增
    加了。但他不能自由取用那些东西。他的衣服,穿上或脱掉都需随他
    母亲的意愿。放在他面前的食品,必须经他母亲许可才能吃。亲戚送
    给他的礼物,由母亲保管。成人控制孩子同物之间的关系,主要是为
    了孩子的福利或为了防止孩子由于技术不熟练而用坏物品。所以当孩
    子懂得照顾自己并学会正确使用物品时,这种控制便减少了。孩子的
    技术知识增长并参加了生产劳动,就逐步获得了那些属于家的物品的
    使用权。但真正专门归他用的或可由他自由使用的物品极少。他所消
    费的物品类型和数量也总是在他长辈的监视之下。
    财产传递过程中的一个重要步骤发生在结婚的时候。男女双方的
    父母都要以聘礼和嫁妆的名义供给新婚夫妇一套属于个人的礼物,作
    为家庭财产的核心。新婚夫妇现在有了一间多少是他们自己的房间。
    但从新娘的角度来看,她同时失去了使用自己娘家财物的一定权利。
    她出嫁后回娘家,便成了客人;如果父母去世,更是如此。家屋已归
    她兄弟所有。她住在丈夫的家中但却不能像在自己娘家那样自由自
    在。实际上,她对物的使用权非常有限。除去她丈夫的东西外,家中
    其他成员个人的东西,她无权共有。家的集体经济的分解倾向,往往
    是从她开始的。
    上述集权的家庭经济体系削弱了年轻夫妇的独立性。在孩子的成
    长过程中,父母的控制是必要的,但婚后继续进行这种控制,就是另
    一回事了。社会的一个完全的成员,需要一定数量属于他自己支配的
    财物,同时一个家庭的正常功能需要较丰富的物质基础。但这些均受
    到家的集权经济体系的阻碍。年轻一代对经济独立的要求便成为家这
    一群体的瓦解力量,最终导致分家。
    分家的过程也就是父母将财产传递给下一代的最重要的步骤之
    一。通过这一过程,年轻一代获得了对原属其父亲的部分财产的法定
    权利,对这部分财产开始享有了专有权。
    父母和已婚儿子分家,通常是在某一次家庭磨擦之后发生的。那
    时,舅父便出来当调解人,并代表年轻一代提出分家的建议。他将同
    老一代协商决定分给儿子的那份财产。父母去世后,已婚的兄弟之间
    则自动分家。
    让我们以有一父、一母、两个儿子、一个女儿的一个五口
    之“家”为例。长子成婚后,如果要求分家,便将土地分成不一定等
    量的四份。第一份留给父母。第二份是额外给长子的,剩下的一份由
    两个儿子平分。
    父母的一份将足以供给他俩日常生活及女儿出嫁、小儿子成婚所
    需的费用。这一份土地的大小根据两老的生活费用及未婚子女的多少
    而定。
    长子接受两份,额外归他的那份一般比较小,其大小将根据他对
    这个集体单位的经济贡献而定。长子年纪大些,肯定较其弟多做些贡
    献。从村里邻人的眼光看来,长子对已故双亲也具有较大的礼仪上的
    义务。
    未婚儿子的那一份是名义上的。他与父母一起生活,没有独立地
    位。但成婚后,他可以要求分得这一份。如父母之一在他成婚前去
    世,就不再分家。尚未与父母分家的儿子供养在世的父亲或母亲。父
    亲或母亲甚至不通过分家的方式就将大部分经济权交给已婚的儿子。
    当父母都死去时,由于小儿子曾供养他们,留给父母的那份土地便留
    给小儿子。这样,最终他也继承两份土地。但如长子也赡养父母,他
    亦可对留给父母的那份土地提出要求。长子和幼子最后分得的土地数
    不一定相等。
    房屋有几种分法。父母在世时,长子住在外面其它房屋里。例
    如,该村副村长周某,他是幼子,同父母一起住在老房屋内。其兄在
    分家后搬到离老房屋不远的新屋内。如父亲去世后才分家,长子便占
    住老房子,幼子同母亲一起迁往新居。由于修建或租用新房屋有困
    难,因此,多数情况下将老房屋分成两部分。长子住用东屋,幼子住
    西屋(房屋的方向总是朝南),堂屋为公用。
    如仅有一子,只有在发生严重冲突的情况下他才会要求和父母分
    家。在此种情况下,分家仅意味着是一种经济独立的要求。儿子分得
    多少,无关重要,因为这只是一种暂时的分配。最终全部财产仍将传
    交给儿子。父母年老不能工作时,他们又将再合并到儿子的家中去。
    这种再合并的过程不损害儿子已获得的权利,反而是将其余的财产权
    传给儿子。

    不论是土地或房屋均为单系继承。女儿无继承权。女儿出嫁时,
    父母给她一份嫁妆,包括家具、首饰、衣服,有时有一笔现钱;但从
    不分土地或房屋,甚至最穷的父母也得为女儿备一份被褥。
    分家以后,儿子获得单独的住房或分得一部分老房屋,其中单有
    一间厨房,其妻便在这厨房内为这个家煮饭。他有单独另一块土地,
    所得产品归他个人支配。但实际上,他对这些分配所得的权利仍是不
    完全的,只要他父亲在世,便可以对他使用土地和房屋施加影响。儿
    子不得违背父亲的意愿去出售土地。父母需要食物时,他必须送往。
    父母双方年老或有一方在世时,他必须负责赡养。所以分家并非就此
    完全结束了父母与子女之间的经济关系。
    此时所分的仅限于生产用的和一部分消费用的财产。属于父母个
    人的财产仍然被保留着。儿子通常分得一笔钱以开始经营他那新的经
    济单位。至于债务,除去儿子私下欠的债以外,仍将留到父亲去世时
    才解决。
    父母年老,丧失劳动能力时,保留的不动产部分将传给儿子。最
    后的传递在父母去世时进行,特别是在父亲去世时。部分个人用品将
    与死者一起埋葬,另一部分火化,被认为是给死者的灵魂使用的。其
    余部分,不仅为儿子而且将为服侍过死者的其他亲戚所分用。女儿可
    分得相当一部分母亲的遗物,包括衣物和首饰。在某种程度上,这意
    味着母系继承,但由于儿媳也往往分得一份,这个惯例便不是绝对的
    了。对此类财产的分配或多或少是按照死者或其丈夫(或妻子)的意
    愿,他们有权决定对遗物的处理。

    4.继承对婚姻和继嗣的影响

    就土地和房屋而言,继承是按继嗣系统进行的。但如果一个人没
    有儿子,财产传给谁呢?这个问题有两种情况:一个人可能没有孩子
    或有女儿而没有儿子。让我们先研究一下第一种情况。
    因生理原因而无子女的情况极少。如果一个妇女不能生育,就会
    受到遗弃,丈夫将重新结婚。多数是因为孩子死亡而无子女的。一个
    男人上了年纪而没有活着的孩子时,可以领养一个男孩。他可以自由
    选择一个养子。在领养时,他必须邀请他同族的人,在他们面前,与
    孩子的父母或孩子的其他负责人签订契约。契约分两个部分:一方
    面,养父正式允诺,保证养子具有正式的地位,特别是继承权;另一
    方面孩子的父母或负责人保证断绝他与孩子之间的关系,同时以孩子
    的名义担保在养父或养母年老时赡养他们。
    同族人在契约上签字甚为重要,因为这一行动是违背他们的利益
    的。如果一个人死后无子女,他的近亲层中最近的亲属便自然地成了
    他的嗣子,并根据惯例,继承他的财产。但在此种情况下,继承人不
    会同他自己的父母断绝社会关系。他将与自己的父母同住,不替被继
    承人做事。事实上,这种继承人主要只是承担礼仪上的义务。
    从经济观点考虑,人们认为领养一个能为养父母干活的孩子,在
    他们生前侍候他们,比在亲属中指定一个继承人好得多。但领养一个
    外人意味着在最近的亲属方面失去了对财产的潜在的继承权。因此潜
    在的继承人的父母往往想尽一切办法来制止这一行动。通常的结果是
    妥协。或者最近的亲属答应赡养领养父母,或者年老的父母领养一个
    外人,但是允诺把一份财产传给潜在的继承人。这份财产并非土地或
    房屋,而是一笔金钱。
    假如儿子成婚后死去,未留下孩子,其父母将为死去的儿子找一
    个替代人作为儿媳妇的后夫。此替代人被称为“黄泥膀”。 [19] 他将
    改姓其妻子前夫的姓并住在前夫的房屋内。他的孩子将被视作死者的
    嗣子。这个替代人的社会地位很低,富裕的人是不会接受这种位置
    的。村里有两个“黄泥膀”。
    假如死者有二个未定婚的弟弟,叔嫂婚也就在同样的情况下产
    生。村里有两起这样的婚姻。当“小媳妇”的未婚夫在结婚前去世,
    在这种情况下,叔嫂婚比较普遍。
    现在,我们必须转入第二种情况:即一个男人仅有女无子。如果
    女儿在弟弟死前出嫁,她对她父系的继嗣不能作出任何贡献。但如果
    她尚未出嫁,父母也明白不可能再有儿子,他们便可要求女儿的未婚
    夫的父母允许他们的女儿为他们传嗣。换句话说,他们有权利将其女
    儿的一个男孩作为他们自己的孙子。这类婚姻称作“两头挂花幡”,
    意思是在两个家的祖宗牌位上插两面花旗。在结婚仪式上,花幡是传
    嗣的象征。这个村子有一起这样的婚姻。
    假如女儿尚未定婚,他的父母可以领养一个女婿。女孩的父母向
    男孩的父母送一份结婚礼物。婚礼在女孩家中举行,丈夫将住在妻子
    家里与岳父母一起生活。除举行婚礼外,女孩的父母还将与男孩的父
    母签订一项契约,与领养一个儿子的契约类似,并有同族人连署。其
    女儿的孩子姓他们的姓,为他们继嗣。这类婚姻本村有12起。如果我
    们考虑到无子的父母相对来说比较少,且一般定婚比较早,12起的数
    目是相当可观的了。在父母还有希望获得亲生儿子时,他们是不会安
    排此类婚姻的。但如女儿成婚后,父母又得一子,已办成的事仍然有
    效。我们见到一例。这是普遍都接受的制度,而且在民法中已有法定
    条文。 [20]

    在上述情况中,父系继嗣的原则已作修改,婚姻制度有所改变。这说明,继承和继嗣的问题应被视为两代人之间相互关系的一部分,一方面是财产的传递,另一方面是赡养老人的义务。年轻一代供养老
    人的义务不仅靠法律的力量来维持,而且是靠人的感情来保持的。由于感情上的联系及老人经济保证的缘故,他们宁愿从外面领养一个儿子,而不愿在亲属中指定一个继承人。他们领养女婿,改变了父系原
    则。老人去世后,下一代的义务并未结束。照看坟墓、祭祀祖宗便是这相互关系的一部分。此外,对继承下来的财产的自由处理权又受到崇敬祖先的宗教和伦理信念的约束。因此,我们研究年轻人赡养父母
    的义务必须联系继承问题。

    5.赡养的义务

    一开始,家庭里尚未添丁时,成人自己割羊草。家里有了孩子并
    能工作时,成人才摆脱了这项工作。在种稻这项工作中,男孩最初可
    帮着插秧,进行灌溉。男孩长大后便与父亲并肩劳动,终于,甚至在
    成婚前已比他父亲担任更多的工作。女孩帮助母亲料理日常家务及养
    蚕缫丝。当他们对家庭的贡献超出他们自己的消费时,便已开始赡养
    父母。虽则由于经济收入归家庭的缘故,他们供给家庭的份额并不明
    显。
    在父母和孩子之间并不计较经济贡献上的平等问题,但在兄弟之
    间确有这个问题。我知道这样一个事例,有一个人根本不在地里劳动
    而靠他弟弟过活。为继续他的寄生生活,他甚至阻碍弟弟结婚。他受
    到了社会舆论的严厉批评。公众舆论迫使他为弟弟安排了婚事,并准
    备婚后接着分家,但在我离开村子以前,分家尚未举行。普遍接受的
    观念是,既然一个人在童年时代受了父母的抚育,又接受了父母的财
    产,为父母劳动就是他的责任,但为兄弟劳动却不是义务。
    然而,父母和子女之间平等的意识并非完全被排除了。年轻夫妇
    如果挑起了家中的大部分劳动重担,而由于经济权力集中在老一代手
    里,青年仍然没有独立的地位时,他们也会产生不满。这将最终迫使
    父母在逐渐退出劳动过程中,同时放弃他们的权力。
    儿子有了独立地位时,赡养父母的义务就明显了。假如父母年老
    时,仍然掌握一份土地,但已无力耕种,儿子将代他们耕种。这意味
    着实际上儿子必须为父母出一份劳力。另一个普遍的形式是,当父母
    一方去世时,活着的一方将与儿子的家进行合并,并一起居住。供养
    的金额并不固定。如果有两个儿子,他们可以轮流赡养。总之,随着
    父母年老依赖程度的增加,他们的权威便按比例地缩小。从各类型所
    有权的角度看,父母退却的一般规律是从使用产品的权利退到处理产
    品的权利,最后到处理用具和生活享受的权利。从各类物体的角度
    看,从生产资料退却到消费物品,最后到非物质的权利和债务。这些
    退却的步骤与下一代义务的增加是相互关联的。下一代从完全依赖于
    父母到担当合作的角色,最后到挑起赡养父母的全部责任。正如前面
    已经提到的,甚至到父母死亡,尚未完全解除下一代对上一代的义
    务。对遗体的处理、服丧和定期祭祀,都是子女义务的延续。由于受
    赡养和祭祀的一方对这些义务不能施加直接的影响和控制,宗教信仰
    和公众舆论便成了强烈的约束力。
    当一个人垂死的时候,家的成员都要聚集在身旁,小辈们跪在床
    前。当儿子的位置最接近死者。女儿不一定在此之列,但一旦父母死
    亡,出嫁了的女儿便得迅速赶到。在死者大门前燃烧起一包衣服和一
    张纸钱。邻居们纷纷到来,协助料理丧事,因为家的成员此刻都服重
    孝,无心办事。儿子、儿媳和女儿都身穿麻布孝服,头缠白色长带,
    一直拖到地面。孙儿辈则穿白衣,头系短带。
    到第二天或第三天便是遗体入殓。长子捧头,幼子扶足。再下一
    天,盖棺,把棺材运到坟地。村里同城镇的做法不同,棺材不埋在地
    下,而是放在地上桑树丛中,用砖和瓦片盖起一个遮蔽棺材的小坟
    屋。如果这家买不起砖和瓦,则用稻草搭成坟棚。这样,并不因为埋
    葬而荒废土地。 [21]
    后代有责任修缮祖先的坟屋,一直继续负责到五代。那些腐烂的
    棺材没有人再管时,有专门的慈善机关将它们运走,埋葬在别处。
    人们相信死者的灵魂离开尸体,进入阴间。死后第十七或十八天
    灵魂将回到家里。那天,家中应准备就绪,迎接死者的灵魂到来,女
    婿将奉献木龛一个,内立有死者名字的牌位,安放在堂屋里,举哀49
    天。每餐都准备好食品供在灵位前,并且有一妇女在旁边哀嚎恸哭,
    如诵悼歌。这是一个妻子对丈夫的义务,也是儿媳对公婆的义务。男
    人从不参与这种恸哭。
    举行丧礼期间,邀请保管家谱的和尚在死者面前念佛经。人们相
    信诵经对阴间有财富的价值。从此,死者的名字便由和尚记载在家谱
    中,列入崇祀的名册。
    49天后,每天的祭祀告终。两年零两个月后烧掉牌位龛,居丧便
    告结束。死者的牌位便放入祖祠内。
    在平时,每一个祖宗的生日和终日都要祭供。对所有直系祖先,
    每年要集体祭祀5次,其时间见第九章第3节社会活动时间表所列。祭
    祀的方式是为祖先的鬼魂准备一次宴席。席后,焚烧一些锡箔做的纸
    钱。这直接说明了下代对上代的经济义务,甚至延长到老人去世以
    后。后裔遵奉这些义务,在某种意义上表明了传嗣的合法权利,以及
    对继承权的要求。例如,遗体被放进棺材时,捧头的行动被认为是长
    子继承父母那份额外的土地的合法证明,也是在亲属中指定一名继承
    人的决定性依据。事实上,不会有两个人与死者的亲属关系是处在完
    全同等的位置,但如果最近的亲属未能履行这个行动,第二个人便接
    过这一角色,最近的亲属便丧失了继承权。奉行这个义务的,就是合
    法继承人,他将继承死者的遗产。
    此外,如果死者是一个既未结婚也没有财产的人,就不发生继承
    的问题,因此不指定继承人。
    但是,服丧的义务不是单系的,参加服丧的成员如下表所列:

    从表中,我们可以看出,服丧的时间及戴孝的轻重并不与传嗣相关。而在某种程度上与实际的社会关系及他们与死者之间的标准化的感情关系相关。人们并不认为戴孝会增加鬼魂的福利,而认为是对死者的感情上的表露。这同祭祀祖宗不同,人们认为祭祀是对鬼魂福利有一定的贡献,是对阴间祖先的赡养。

    人断气时,对物和对人的直接控制便停止。但人们相信鬼魂的存在,这便延长了死者对财产的影响。家中的不幸、病痛,有时被解释为是祖宗的鬼魂对他们所不同意的某些行动的警告,例如,不遵奉定
    期祭祀、遮蔽棺材的小坟屋坏了、有人出售家中的土地或房屋等。从纯粹的伦理观念出发,已足以阻止一个人随意出售他所得的遗产。继续保持土地拥有是子女孝心的表现。相反的行动就会遭到社区舆论的
    批评,认为是不道德的。这对土地占有问题至关重要。

    6.新的继承法

    在描述了村中财产的实际传递过程之后,现在我们可以看一看法律条款。在制定1929年生效的新民法的时候,立法者是按照中国国民党的基本政策给男女以同等的继承权,以便促进男女平等的。这与旧民法和以上描述的传统做法有重要的区别。

    在继承问题上,新旧民法的原则可以归纳如下:

    “过去,根据中国法律,一个女人,除去个别例外,是没有继承权的。例如,假定一个中国人在15年以前去世,留下一个寡妇、一个儿子和一个女儿,根据法律,全部遗产只能由儿子继承,寡妇和女儿一概没有权利继承。如果死者没有子嗣,只有一个女儿,而他兄弟有一个儿子,在这种情况下,女儿和寡妇仍然没有任何继承权,死者兄弟的儿子是法定继承人,一切财产均归于他。再如,即便死者没有兄弟或他的兄弟没有儿子,但只要死者有一个男性亲属活着,他是与死者同一个男性祖先的后裔,而且是属于小辈,这个男性亲属便有继承死者全部财产的法定继承权。所以,女儿只有在她的先父去世时既没有儿子、侄子也没有活着的男性亲属的情况下,才有继承权。寡妇在任何情况下不得继承。”

    “但是现在,法律有了很大的改变。在民法中明确地承认女子的继承权 [22] 。”“假定上述男人现在死去,而不是15年以前死去,他的财产便可平均分配给寡妇、儿子和女儿。如果他没有儿子只有女儿,母女可以共同继承遗产。父系侄子和其他男性亲属一概无权继承。” [23]

    旧的立法原则规定严格沿着父系传嗣单系继承。只要一个人自己
    有一个儿子,就沿着这种惯例进行。他的女儿,出嫁后与丈夫住在一
    起并参加后者的经济单位。她没有赡养娘家父母的义务。在人们的思
    想里,女人没有继承娘家父母财产的权利是公平的。但在一个人没有
    儿子的情况下,根据旧法律,他只能把财产留给他最近的亲属,别无
    其它选择。他可以领养一个儿子或一个女婿,但后者没有法定的继承
    权。在这种情况下,习惯提供了折衷的办法。在人们的眼里,剥夺一
    直赡养父母的人的继承权是不合理的。但正如以上所述,他们也承认
    最近亲属的潜在继承权,因此允许提出补偿的要求。
    新民法改变了单系继承的原则,因为这被认为是违反男女平等原
    则的。但对传嗣原则,究竟作了多少改变,不很清楚。它承认女儿甚
    至出嫁后,仍像她兄弟一样是她父母的后嗣(第967条)。但必须
    是“妻以其本姓冠以夫姓”(第1,000条),“妻以夫之住所为住
    所”(第1,002条),除非她父母为她招赘。她的子女将“从父
    姓”(第1,059条),除另有安排协议外,未成年之子女以其父之住
    所为住所(第1,060条)。作为后嗣,她有义务供养娘家的父母(第
    1,115条)。因此,每个家庭,夫妻必须住在一起,他们也同时有供
    养双方亲属的义务。

    这些法律条款付诸实际社会实施时,将形成以双系亲属关系原则
    为基础的组织。布·马林诺夫斯基教授曾经指出,“单系继嗣是与亲
    子关系的性质密切联系在一起的,就是与地位、权力、官职和财产从
    一代传给另一代有密切的关系。亲嗣规则中的单系秩序,对社会结合
    来说是最重要的。” [24]
    所以研究这个法律制度的社会效果是有意义的。它为人类学家研
    究从单系亲属关系变为双系亲属关系的过程提供了一个实验的机会。
    但就这个村子而论,虽然新法律已颁布7年,我尚未发现有向这一方向
    发生任何实际变化的迹象。

    第五章 亲属关系的扩展

    使得家的各个成员联系起来的基本纽带便是亲属关系。但家并不把它自己只限制在这个群体之内。它扩展到一个较广的范围,并使亲属关系形成较大社会群体的联系原则。

    1.父系亲属关系的扩展

    家是一个未分家的、扩大的父系亲属群体,它不包括母亲方面的
    亲戚和已出嫁的女儿。父系方面的较大的亲属群体是这样一个群体,
    即其成员在分家后,仍然在一定程度上,保持着家的原来的社会关
    系。我们已看到,家中的家庭核心增大时,这个群体就变得不稳定起
    来。这就导致分家。但已经分开的单位,相互间又不完全分离。经济
    上,他们变成独立了,这就是说他们各有一份财产,各有一个炉灶。
    但各种社会义务仍然把他们联系在一起。开始时,他们通常住在邻近
    的房屋里,有时共用一间大的堂屋。他们互相帮助,在日常生活中关
    系比较密切。在第二代,由于他们双方父母之间的关系密切,儿辈之
    间也亲密相处。他们之间互相帮助和日常交往的密切程度,视亲属关
    系的远近和居住地区的远近而异。分家后弟兄们如果住得较远,互相
    帮助的机会就减少,下一代的兄弟姐妹更是如此。

    根据已接受的原则,五代以内同一祖宗的所有父系后代及其妻,
    属于一个亲属关系集团称为“族”,互相间称“祖宗门中”,意思
    是“我同族门中的人”。但实际上,这个谱系的严格计算并不重要。
    第一,没有文字记载的家谱,对家系的记忆并不准确。和尚记家谱是
    为了记得需要定期祭祀的直系祖先,而不是为了承认活着的亲戚。兄
    弟并不被列人祖先鬼魂的名单。五代以前的祖先不再列人祭祀的名
    单。第二,如果严格遵照这一原则,从理论上说,在每一代,族都要
    淘汰一些远亲,但实际上族很少这样做的。
    实际情况是这样的:长期以来村的人口一直是变动不大。如族的
    成员人数不增加,就不分族。如果人数增加,对土地压力增加,就必
    定移民到其它地方去。人离开了,就不再积极参与这个亲属群体。一
    代或几代以后亲属联系就停止发生作用。这就是为什么我尚未发现任
    何族有成员永久居住在其它村里。
    下面是一个村里人告诉我的一段话。“一个族的大小,平均约有8
    家。因为,我儿子结婚的时候,全族都要围着一张桌子团坐(每张桌
    子有8个座位,一个座位坐一个家的代表,女人和男人在不同时候分别
    集会)。桌子座位不够时,我们就不请远亲来参加庆祝。”当然,这
    段说明,并不就是实际的规则,但它表明,一个单位在承认其成员的
    资格时允许有区别对待。在礼节性聚会时,可以排除那些远的亲戚,
    他们也不会坚持要求受邀请。一个富裕的家能请两桌或更多桌的族
    人,他们乐于这样做,也往往受到赞扬。在这个意义上说,族也可以
    说是一个礼仪的群体,有婚丧大事时,聚集在一起,宴会或祭祀共同
    的祖先,同时也送少量礼金勉强够食物的开支。互相帮助的真正的社
    会义务则在更小的群体内进行,例如刚分家的兄弟。此时,人们不
    用“祖宗门中”这个俗语,他们用“兄弟”或用兄弟辈这样的字眼来
    描写他们之间的关系。
    族这个单位的另一个特征是,它的成员资格是家。因此,从它的
    个人成员来说,族并不是单系的亲属关系。一个已婚妇女,到了丈夫
    的家,便自动成了丈夫的族的一员。她姓丈夫的姓,把她父亲的姓放
    在第二位。她丈夫的亲戚遇有重大礼节性场合时,她跪在丈夫旁边,
    共同拜祭祖先。她死后将与丈夫一起接受祭祀。
    妇女出嫁后不再是她父亲那个族的成员,她不再参加对父亲一方
    祖先的祭祀,死后也不受父方下辈的祭祀。
    族的最重要的功能在于控制婚姻规则。族是外婚制单位,叔嫂婚
    例外。同姓,非同族的人可以结婚。古时候的规定及旧的法律规定,
    禁止同姓的人结婚,但这个村并非如此,至少在向我提供情况的人所
    能记忆的时期内,这个村子从未这样实行过。族缺少明确的界线,这
    一点并不妨碍外婚制的功能,因为大多数婚姻都在各村之间进行,而
    族的组织很少超越村的范围。

    2.母系亲属关系的扩展

    从上面几节,我们已看到孩子与母亲方面的亲戚保持密切的联
    系。母亲生孩子时,他的外婆来帮助料理。孩子一年要看望母方亲戚
    数次。舅舅对孩子有特殊的义务。他是孩子满月时的贵客。给孩子取
    名字的是他,陪伴孩子第一次上学校去见老师的也是他。外甥结婚
    时,舅舅要送贵重礼物如首饰或现金。对孩子来说,父亲若对孩子管
    得太严厉,舅舅是孩子的保护人。需要时,孩子也可以跑到舅舅那里
    去。父子有矛盾时,舅舅就出来作调解人。父子之间或兄弟之间分财
    产时,舅舅是正式的裁判。舅舅去世时,外甥须为他服丧。
    母亲的姊妹,特别是那些嫁给父亲的同村人的,由于住得较近,
    关系也很亲密。但母系亲戚关系不超过舅家和姨家的群体范围。舅姨
    家的亲属是不属于这个功能群体之内的。
    妻方的亲属,在妻子生孩子之前,并没有密切的联系。他们不参
    加女儿的婚礼,要到婚礼后的一个月才去探望她。婚后第三天,新郎
    和新娘要到岳父母家去“回门”。礼节性拜访结束后,彼此不再探
    望,只是妻子本人偶尔回娘家探视。生孩子时,妻子的母亲便来女儿
    处陪伴数夜。从这时候起,妻方的亲属便成为孩子的母系亲戚。

    3.名义上的收养

    名义上的收养就是一个人不通过生育和婚姻,部分地被接受到另
    一个亲属关系群体中去的制度,当地称之为“过房”,意思是“过寄
    到另一家去”,过寄意思是依附。据说这来源于人们相信恶毒的鬼魂
    对父母娇养的孩子往往要找一些麻烦(第三章第4节)。按同样的推
    理,多子女的人对鬼魂的抵抗能力较强。因此,把孩子“过寄”这样
    一个强有力的人,孩子可以得到保护。另一方面,孩子虽然是名义上
    过寄别人,但也足以向鬼魂表示父母对孩子的淡漠。
    这种信仰与婴儿的高死亡率有关,但这种名义上收养的制度不仅
    仅意味着对孩子的一种精神上的保护,这也为孩子提供了一种较新的
    社会联系。在前面已谈到过,那些多子女的父母,无论他们是否真正
    具有精神上的强大力量,他们比较富裕,社会影响大,这是肯定的
    (第三章第3节)。通过名义上的收养与他们建立关系,孩子将在这个
    社区内获得较好的经济和社会地位。另一方面,名义上收养孩子的人
    也感到高兴,因为他相信,这表示他的声誉和未来的兴旺。
    这种收养关系将通过一次仪式来建立,那就是向一个被称为“新
    官马”(意思不明)的神进行祭祀。被收养的孩子向过寄的父母赠送
    针、桃、酒等象征长寿的礼物。收养孩子的过寄父母要给孩子办筵
    席,并给孩子取一个新名字,姓他过寄父的姓(实际上从不用此
    姓),送他一些饰物和现金。
    从此,孩子便有了新的责任和权利。他须按照亲属关系来称呼他
    的寄父母。新年的时候,他必须向寄父母拜年,送礼物。有婚丧大事
    时他必须参加,为他们戴孝,他不应与他们的子女结婚。寄父母则须
    请寄养儿子吃年夜饭,供给他三年鞋、帽和长袍(象征孩子已被接纳
    到寄父母的家中来)以及定期送礼物和给予其它关怀。
    这种“收养”是象征性的;孩子并不离开生父、生母。他不要继
    承权也没有赡养寄父母的义务。他名义上改了姓,但正像乡亲们说
    的,这是骗那些鬼魂的。所以真正的意义在于通过象征性的亲属关系
    称谓和礼仪形式来建立一种新的与亲属关系相似的社会关系。
    社会关系的扩展促使社会活动增加,但也会增加开支。在经济萧
    条时期,甚至真正的亲属关系也成为一种负担,那时,亲属关系的组
    织明显缩小。名义收养也不流行了。向我提供情况的人告诉我说,为
    了免于受鬼魂的侵害,他们把孩子“寄”给神或“寄”给父亲的姊妹
    的丈夫。这样并没有建立新的关系。由于女孩很少被“寄养”,特别
    喜欢让父亲的姊妹的丈夫来担当这个角色很可能与不吉利的“回
    乡”型婚姻观念有联系(第三章第8节)。当父亲的姊妹的女儿被包括
    进外婚制单位中时,并没有使婚姻的选择面变窄。

    4.村庄的亲属关系基础

    在名义收养制度中,人们象征性地使用亲属关系的称谓来建立新
    的社会关系,这种关系来源于亲属关系并与亲属关系相类似。亲属关
    系的这种扩大方式在这个村里很普遍,它既与生育无关,也不与婚姻
    相联系。
    除了父亲、母亲、祖父、祖母的称呼外,人们根据不同的性别、
    年龄、血统关系和姻亲关系,用父方的所有亲属称谓来称呼同村人并
    用母方所有的亲戚称谓,除外祖父、外祖母以外,来称呼外祖父母村
    子里的人们。亲属称谓的这种延伸的用法,起到了区分不同的地方和
    年龄组的作用,并可由现存的亲属关系派生的这种关系来说明不同类
    型的社会关系。
    亲属称谓的延伸使用是有一定目的的。每一个称谓,当它最初被
    用来称呼时就包含了与亲密的亲属相应的某种心理态度。由于称谓的
    延伸使用,这种感情上的态度也逐渐被用来对待实际上并不处于这样
    一种亲属关系的人。譬如,一个人称呼他村里的年长的人时,用父亲
    兄弟的称谓,这就是说,他将像对待他伯伯或叔叔那样来服从或尊敬
    他们。与母亲的兄弟的称谓相联系的态度,与伯伯或叔叔的称谓相关
    的态度不同。外甥把舅舅与友好和宠爱的观念相联系。用舅舅这个称
    谓来称呼他母亲村里的人便意味着,他可以在这些人之中自由自在的
    行动,并乐于被他们待为上客。

    典型的房屋正面图

    应当注意的是延伸地用这种感情态度来对待实际上并不是属于这
    种亲属地位的人,并不意味着他们之间就延伸特定的权利和义务。用
    这种称呼,并不等于他们之间真的建立了这样的亲属关系,但这种称
    呼有助于说明这个社区内不同的人的地位。在这个社区内,老年人受
    到尊敬,而且通常是具有威信的。
    近来,按年龄组分配权力的原则有所变化。村里的老年人,不能
    适应迅速改变着的形势的需要,因而不能胜任这个社区的领导人的角
    色。现任村长周某,属于村里第二个年龄组。他用个人名字来称呼在
    他下面工作或在社区内不太有影响的老年人。过去只有年长者能用姓
    名称呼年轻的人。另一方面,现在已引进一个新的名称“先生”(在
    城镇普遍用作教师的头衔或仅如英文中的Mister这个普通头衔),比
    周年长的人也这样称呼他。这一例子很清楚地说明了感情与称谓的关
    系。当情况有了变化,年纪大的人变成在他下面的人,原先的尊敬的
    感情与整个环境不甚相符。因此,变化了的社会环境便引起心理上的
    别扭,最后引起语言的改口。
    必须指出的是亲属称谓的延伸使用不应被当作过去或现在在中国
    这部分地区有“族村”存在的证据。对这个村子的姓的分布的调查可
    以说明,虽然亲属关系群体倾向于集中在某地区,但家族关系并没有
    形成地方群体的基础。
    在父系社会中,姓是由父亲传给儿子的。但这并不是说,同姓的
    人都可溯源到同一个祖宗。例如,周某告诉我,该村姓周的人属于两
    个完全不同的血统。此外,有同一个祖宗的那些人,社会上不一定承
    认他们是宗族关系。但有一件事是明确的,不同姓的人,不可能属于
    同一父系的亲属群体。所以可以认为,一个村子里的居民有许多不同
    的姓,说明了这个村里有许多不同的父系亲属群体。
    这个村共有29个姓,下表说明了在每个圩里(第二章第3节)每一
    姓的家数。

    同姓的家的分布情况:

    续表

    从此表可以看出同姓的家的分布情况。亲属群体有集中的倾向。
    例如周姓和姚姓集中在圩Ⅰ;吕姓在圩Ⅱ;谈姓在圩Ⅲ和Ⅳ;某些
    姓,如,吕和邱,只分布在一个圩里。这些事实表明,居住地亲属关
    系之间的密切联系。换句话说,有这样一种趋势,同姓的家,可能因
    亲属关系联系在一起并住在一个邻近的居住地区。但这个村子里的姓
    很多而且同姓住得也分散,这个事实也清楚地说明,村里有许多亲属
    群体而亲族联系和地方联系的相互关系不大。
    姻亲关系的情况也相同。严格地说,这个村既不是外婚制也不是
    内婚制的单位。但正如已经提到过的,不同村的人互相通婚更为经
    常。虽然并没有明确提出,但是有地方性外婚的趋向。各村之间,在
    婚姻关系上并没有特殊的偏向,因而,姻亲关系并没有在同村人之中
    或在各个村庄之间保持密切的纽带关系。

    第六章 户与村

    除了亲属关系的联结,另外一个基本的社会纽带就是地域性的纽带。居住在邻近的人们感到他们有共同利益并需要协同行动,因而组成各种地域性的群体。在这一章里,将加以分析。

    1.户

    家是由亲属纽带结合在一起的,在经济生活中,它并不必定是一个有效的劳动单位。家中的成员有时会暂时离去,有时死亡。在家中要吸收新的劳动成员,通过亲属关系,如生养、结婚、收养等办法,有时不易做到,有时则因涉及继承等问题而不宜进行。在另一方面,有些人的家破裂了,可能希望暂时参加另一劳动单位,但并不希望承认新的亲属关系。因此,那些住在一起、参加部分共同经济活动的人,不一定被看作是家的成员。 [25] 我们在这里采用了“户”这个名词,来指这种基本的地域性群体。

    在这个村子里,我找到有28人被分别吸收到这种经济单位中。作
    为户的一员,一起居住、吃饭和劳动,但他们和家的成员有着明显的
    区别。他们和这家人并不存在一定的亲属纽带关系,并不把自己的财
    产永久地投入这一家中。通常情况是,他们在一定条件下参加这个单
    位。这种成员和这家的关系大有差别,有些是长期的客人,有些是除
    了没有财产的法定权利外,其它都和家里人是一样的。
    非家成员进入一户,通常采取三种办法。其一,这个成员可能是
    这家庭的客人,他在一个较长时期内住在这里,每月付一笔钱。例
    如,有一个医生在村中开业,他就在药店老板的家中住了多年。他单
    独有一间房,并和他的房东共同生活。另一例是一个小孩,他自己的
    家住在另一个村子里,但他是这个村的一家人抚养大的。这个孩子的
    父母每个月付给抚养孩子的家庭一笔钱。还有5例,他们都和房东有姻
    亲关系。他们自己的家破裂之后,跟随着母方的亲戚。虽然他们实际
    上和家的成员一样地生活在一起,但他们不能加入这个家,而保留着
    他们的客人身份。
    学徒制度也是一种从外面吸收工作成员的办法。这种情况有4例。
    师傅为学徒提供食宿,免收学费;而学徒则必须为他的师傅做一定年
    限的工,没有工资,只是在最后一年,可以要少量的“鞋袜钱”。
    最普遍采用的办法是雇佣。一个人可按一定契约作一名佣工进入
    一户,他为那家种田或养蚕缫丝,佣工在雇主的家中得到住宿。他参
    加该户的劳动,有权使用所有的用具,并由该户供给食宿。他每年可
    得到一笔事先议定的工资。
    以上是村中不属于家的成员而进入户的全部情况。
    家中的成员也可能不住在家里而在远处工作。他们暂时不在家,
    并不影响他们的亲属关系。但他们不在的时候,他们不能算作户的成
    员,虽然他们和这一户有着明确的经济关系。
    在这个村子里,那些不住在自己家里的人,总共有54人,其中女
    32人,男18人。除了其中4个男孩作为学徒住在本村的师傅家里外,其
    他人都在城里工作,这个数字表明了人口流入城市的强烈倾向,其中
    尤以女性人口更为突出。
    2.邻里
    若干“家”联合在一起形成了较大的地域群体。大群体的形成取
    决于居住在一个较广区域里的人的共同利益。比如,水、旱等自然灾
    害以及异国人侵略的威胁,不是影响单个的人而是影响住在这个地方
    的所有的人。他们必须采取协同行动来保护自己——如筑堤、救济措
    施、巫术及宗教等活动。此外,个人要很好地利用他的土地,需要别
    人的合作;同样,运送产品、进行贸易、工业生产都需要合作。休息
    和娱乐的需要又是一个因素,把个人集聚在各种形式的游戏和群体娱
    乐活动中。因此,人们住在一起,或相互为邻这个事实,产生了对政
    治、经济、宗教及娱乐等各种组织的需要。下面几节将对这个村子的
    各种地域性群体作概括的描述,但有关经济活动的各种群体,将在以
    后几章里详细讨论。
    邻里,就是一组户的联合,他们日常有着很亲密的接触并且互相
    帮助。这个村里习惯上把他们住宅两边各五户作为邻居。对此,他们
    有一个特别的名词,叫做“乡邻”。他们互相承担着特别的社会义
    务。
    沿河的房屋
    当新生的孩子满月以后,他的母亲就带他去拜访四邻。他们受到
    殷勤的接待,用茶点款待。离开的时候,还送点心给孩子。这是孩子
    第一次到别人家中去,那时他甚至尚未到过外公家。
    办婚事前,新郎的家庭要分送喜糕到各家去,作为婚事的通告和
    参加婚礼的邀请。邻居都包括在邀请的名单里。各家在举行婚礼那天
    送现金作为回礼,并参加婚宴。在丧葬时,每家邻居都派一人去帮
    忙,不取报酬。
    在日常生活中,当某人家有搬运笨重东西等类似的家务劳动,需
    要额外的劳力时,邻居们齐来帮忙。如果经济拮据,也可向邻居借到
    少数贷款,不需利息。此种互相帮助的关系,并不严格地限制在十户
    人家之中,它更多地取决于个人之间的密切关系,而不是按照正式规
    定。

    3.宗教和娱乐团体

    在村里,除了祭祀祖先外,最经常得到祭祀的是灶王爷,有时也
    包括灶王奶奶。灶神是上天在这户人家的监察者,是由玉皇大帝派来
    的。他的职责是视察这一家人的日常生活并在每年年底向上天作出报
    告。神像是刻印在纸上的,由城里店铺中买来,供在灶头上面小神龛
    中。灶神每月受两次供奉,通常是在初一和十五。也在其它时候受到
    供奉,具体时间可见社会活动的日期表(第九章第3节)。各式刚上市
    的时鲜食品,第一盘要供奉灶神。供奉是把一盘盘菜看供在灶神座
    前,并点上一对蜡烛,一束香以示祀奉。

    到了年底,农历12月24日祭送灶神上天。这次供奉的东西特别丰
    富,而且在堂屋中举行。这次供奉之后,纸的神像和松枝、纸椅一起
    焚化。灶王爷就由火焰的指引回到了天堂。他通过每年一次向玉帝的
    拜奏,对他所负责的这一家人的行为作出报告。这一户下一年的命运
    就根据他的报告被作出了决定。
    使神道高兴或是不去触怒神道的愿望是一种对人们日常行为很重
    要的控制。标准就看是遵奉还是违犯传统的禁忌。我还不能列出一张
    表格来说明各种禁忌,但在日常生活中,却肯定地存在着一种模糊的
    恐惧,人们怕做出了使神道不悦的行为,而引起上天的干预。就我所
    知,这些禁忌可分为三类:第一类是以敬谷为基础的,有如不能踩踏
    或糟踏稻米,甚至馊饭也不得随意抛弃。最规矩的方式,就是把每一
    粒米饭都吃下去。如果实在做不到,就把这些米饭抛到河塘中去喂
    鱼。第二类禁忌是和有关性的事物都是脏污的意识联系在一起的。所
    有与性有关的行为和东西,都必须从厨房中清除出去。妇女在月经期
    间,不准接触灶王爷神龛前的任何东西。第三类禁忌和尊敬知识相联
    系。任何字纸,甚至是新闻报纸,都应仔细地收集起来;废纸应加以
    焚化,但绝不在厨房里烧毁,而应送到庙宇中专门用来焚化纸帛的炉
    子中去加以焚化;或在露天烧掉。
    有一个组织完善的天庭的观念,使得人类的行动与上天的干预这
    两者之间的关系复杂化了。任何违犯禁忌的行为,并不因触怒上苍而
    直接受到惩罚。这件事情要由天庭的管理机构来处理。因此,如果能
    防止上天派来的监察者——灶神看到或向上天报告人们的行为,则犯
    了禁忌也不会受罚。人们并不认为上天的使者是无所不在和无所不能
    的。他们实际上只是一些肉眼所看不到的人,有着和普通人差不多的
    感情和愿望。既然他们和人们相像,他们也具有人们同样的弱点和愚
    蠢。因此,凡是人们所能使用来对付人间警察的各种方法,诸如欺
    骗、谎言、贿赂,甚至人身威胁等等对付天庭派下来的监察使者也都
    能用上。
    在送灶王爷上天之前的最后一次的祭灶之时,人们准备了糯米做
    的团子。这是灶神非常喜欢吃的点心。大家都相信,灶王爷吃了糯米
    团之后,他的嘴就粘在一起了。当玉皇大帝要他做年度报告时,这是
    口头的报告,他只能点头而说不出话来,因此,他要说坏话也不可能
    了。但这也不能认为是犯了禁忌之后的一个万无一失的补救办法。
    灶王爷所具有的警察职能,传说中有过清楚的阐述。有一段时
    间,外国人统治了中国,每家中国人都被迫供养一个外国兵。每个兵
    监管每一家人。老百姓受不了这样的管制,终于商定了一个计谋,各
    家都在同一个时间把这些士兵杀掉。于是就准备了这种糯米团给士兵
    们吃,他们的嘴都粘到了一起。因此在他们被杀时不能发出任何声
    音。这个计谋在12月24日执行成功。但这些老百姓又立刻想起这些外
    国兵的鬼魂会向他们报复。于是作了这样的一种妥协,从那时起,把
    这些外国兵的鬼魂当作家里的神道,在厨房里受到祭拜,并继续行使
    监察者的职责。
    这个传说只有少数人向我讲过。大部分人并不知道这个神道原来
    的根底,也不怎么关心这件事。但这个神话实际上揭示了老百姓对上
    天派来监管者的态度。这表明他们很不愿意把自己的行动自由驯服于
    社会性的限制,这种限制是社会强加于他们的。这与对祖先的祭拜是
    稍有不同的。祭拜祖先,反映了对已故祖先的依恋的感情。

    另外有一个崇奉神道“刘皇”的较大的地域性群体,由大约30家住户组成。这个地域性的群体有一个专门的名称:“段”,地域组织的单位。在这个村中,共有11段。每个段都有自己的刘皇偶像,同段的每一户每年要出一名男的或女的代表,在正月和8月里各聚会一次。聚会时,把神道请到其中的一户人家,这家的主人则准备好盛宴供奉。

    “刘皇”——“刘”是神道个人的姓,而“皇”则是大神的意思。这个神道在这个地区很流行。在我幼年的时候,经常听到这个精
    心编制的神话。但村里经常向我提供情况的人对此却一无所知。他们
    坦白地告诉我,虽然他们祀奉刘皇已经多少代了,但他们却不知道刘
    皇是谁。每年两次聚会的目的据说与收成有关。但这种联系在人们的
    思想上是很模糊的。有的人承认,他们的真正兴趣是在聚会时的那顿
    盛餐。我在后面还要讲到,这个村庄不是一个自给自足的宗教活动单
    位。但凡遇到干旱、蝗灾或水灾,所有宗教和巫术的活动都在该区的
    镇内举行。镇不仅是经济中心,也是宗教中心。刘皇是上苍派来保护
    免遭蝗灾的神道。以后要讲到有关他的神话(第十章第3节)。在这里
    指出这点也许是有意思的,在遇到农业危机的时候,村里缺少独立的
    宗教活动,这是与人们对有关这神道的神话模糊不清或无知有联系的。

    十年以前,这里每年有一次集会,它既是宗教活动,也是当地人的娱乐消遣。一般在秋后举行,一方面对专司收获的神道感恩,同时又是祈求来年的丰收。管这地方的神像被请来入座,还有一个乐队在一个专搭的戏台上演奏。全村分成五组,叫“台基”,即戏台的基础。每个组轮流负责这种集会的管理和开支。

    随着村庄经济萧条的加深,这些集会已暂时停止;现在也很难说
    在经济不景气过去之后,这种集会是否还会恢复。有趣的是人们并没
    有认为由于暂停了集会而造成了经济萧条;相反地,却认为是经济萧
    条造成了每年集会的中止。这表明聚会的真正意义是娱乐多于宗教或
    迷信。经济萧条唯一的真正原因是稻米和蚕丝价格的下降,人们能够
    正确地理解,因而最合理的解决办法就是引进新的工业和现代技术。
    过去常被请来看戏的地方神道,现在村中的两个小庙里。一座庙
    在村北,另一座在村西(第二章第4节)。每家每月派代表到庙里去单
    独供奉祭拜两次。这不是强制性的,而且经常被人忽视。但那些继续
    供奉的人,经常只去其中的一个庙。去哪个庙,要由住家的位置决
    定。住在第一圩、第三圩及第二圩北边的人家,常去村北的庙;其余
    人家则去村西的庙。但同一地区的个人,在承担一定的责任和义务时
    并不互相联合起来,如祭拜刘皇时那样做,他们只通过庙宇而有所联
    系。因此,应该说这里并没有宗教团体而只有宗教区域的存在。
    这两个庙分别为不同的和尚所有。村北的庙里住着庙主。村西的
    庙主则不住在内,庙内的日常工作由一位非宗教代理人代管,人们叫
    他“香火”。和尚信佛教,靠庙的收入为生,远离俗务。然而在社区
    里他有着一定的职能。他负责招待到庙里去的人,并参加村中的丧
    事。为人举办丧事他可以得到一笔现金或是相当数量的香,香可以留
    下来以后再出售。但这两个庙并不垄断村中人的所有宗教活动。到了
    重要时节,如为新近亡故的亲属“烧香”,因病人康复而向菩萨还愿
    等,人们往往改去城中的大庙宇,或到太湖边去拜佛,因为那里的神
    道有更大的法力。
    和尚还有一种重要的职能,他们把村民祖先的记载保存在手中。
    这使他们所干的事超出了村中小庙的范围。各家的家谱是由外边的不
    同庙宇保存的。由于家谱记载了家庭祖先的姓名,这些记录的持有
    者,得到这些家庭的酬报,所以这种记录簿在某种程度上成为和尚的
    个人财产。这种记录簿可以购买或出售,就像其它私人财产一样。因
    而,僧侣之间这种财产的流动,使得村民对哪个庙宇更为忠诚这样一
    个问题,变得较为复杂了。
    村民们的这种忠诚,与他们的信仰或教派全无关系。僧侣们从来
    不向百姓宣讲宗教教义,除非是为死亡者念经。甚至那些僧侣用外地
    口音念经。但当地普遍认为,口音越陌生,念的经就越灵。

    4.村政府

    为了履行多种社会职能,各户聚合在一起形成较大的地域群体。
    这些群体并不构成等级从属的系列,而是互相重叠的。由于村庄是各
    户密集在一起的聚居区,村和村之间都间隔着相当的距离,这就使它
    在直接扩大地域联系以实现多种功能方面,受到了限制。村庄为邻近
    地域的群体之间标出一条共同边界。村庄综合各种社会职能,有时承
    担一些小的单位不能胜任的特殊职能。这一切都由村长通过村政府来
    执行。
    一般说来,村长易于接近,村中所有人都认识他;外来的生人,
    总能很快地得到村长的接待。来访者会对他的繁重的工作感到惊讶。
    他帮村里的居民写信、念信,以及代办其它文书,按照当地借贷规则
    算账,办婚礼,仲裁社会争议,照看公共财产。他们并有责任组织自
    卫,管理公款,并且要传达、执行上级政府下达的行政命令。他们还
    积极地采取各种有利于本村的措施,村中的蚕丝改革,就是一例。
    目前在这个村子里有二位村长。下述的记录可以给人们一个概
    貌:
    陈先生是位老年人,近60岁。他在前清的科举制度下,曾考上了
    秀才。这种制度在清末已废止了。由于他在科举考试中未能进一步考
    中,所以被人请到城里去当家庭教师。到民国初年,他回村办私塾,
    自此时起十年多,他是村中唯一的教书先生。此后,他在村中担任领
    导工作,根据不断改变的行政系统的任命,他得到了各种正式的头
    衔。1926年,在省蚕桑学校的支持下,他开始实行蚕丝改良计划,在
    村中开办了蚕丝改进社。1932年,他正式负责合作丝厂的建厂工作。
    他放弃了教书的职务,担任丝厂厂长。当新的行政体制保甲推行时,
    他感到政府工作不合他的口味,于是退休了。然而他还是事实上的村
    长,并仍旧负责社区的事务。
    另一位领导人是周先生。他较年轻,约40岁,他从家庭教师受
    业,但已不及参加科举考试。由于不再想做学问,他和他的兄弟在一
    起务农。他为人诚实,又有文化,被蚕丝改进社选用为助手。从这时
    起,他得到了改良工作者及当地人民两方面的信任,并逐渐地分担了
    村中公务的领导工作。当推行保甲制时,他经由陈先生推荐,正式当
    选并被任命为乡长,包括本村的领导。
    村长的职务不是世袭的。周的父亲是瓦商,他的哥哥仍在种田;
    他的儿子住在城里,将来不大可能接替他的工作。陈与周之间,并无
    亲戚关系。
    陈和周生活较富裕,但他们两人并不是村中最富有的人。最富的
    人姓王,他生活得默默无闻,在村中没有突出的威望。当一个领导人
    并没有直接的经济报酬,而且为达到此地位,需要经过相当长时间准
    备费钱的过程,才能使自己达到一定的文化水平。一个穷人家的孩子
    要得到这种职位的机会是比较少的。但单靠财富本身也不能给人带来
    权力和威信。
    甚至法定地位对于当村长的人来说,也不是必不可少的。陈先生
    现在仍然是村中有资望的领导人,但他在正式行政系统中并不担任职
    务。年长的人都倾向于不和上级政府打交道,以避免麻烦。当村领导
    人的基础在于,不论他们代表社区面向外界时,或是他们在领导社区
    的事务中,都能得到公众的承认和支持。陈原职是教师,而周是以蚕
    丝厂的助理开始他的事业的。他们为公众服务的精神和能力,使他们
    得到了权力和威望。村中有文化的人很少,愿意在没有经济报酬的情
    况下承担起责任的人更少。有抱负的年轻人对这种职位并不感到满
    意,我在村里遇见过二位中学毕业生,他们认为这种工作枯燥无味,
    而且缺乏前途。因此,选择村长的范围并不很宽。
    虽然他们得不到直接的经济报酬,但由于为村里人办了事,他们
    也乐于享有声誉,接受一些礼物。比如,他们受人尊敬,可以对长辈
    (除了近亲)直呼其名而不用加上辈分的尊称。普通人是不允许这样
    做的。他们在村里所处的领导地位也有助于他们保持有特权的工作,
    如当教师,当丝厂的厂长等。
    当领导人并不与享有特权的“阶级”有关。从周的情况可看出,
    年长也不是必要的条件。但性别上的排斥却未能克服,妇女是不许参
    加公众事务的。只是在最近,妇女才在蚕丝合作社中获得了和男人相
    同的职位;在学校中也任命了一位女教员,但这位妇女,除了在男女
    学童中之外,在当地社区中的影响很小。

    5.保甲——强加的行政体制

    前面已经讲到,这样的村子,是没有法定地位的。因为与这种功
    能性的地域性群体并行存在的有一个行政体制,它是强加于村的组织
    之上的。我把这两种体制分别称之为事实上的体制和法定的体制。它
    们两者之间不相符合。在本节我将描述这个法定的体制,并把与事实
    上的体制相比较,以观察它们的差异。
    新的行政体制叫做“保甲”。保甲是个旧词。政府最近有意要恢
    复一种古老的行政体制。这种体制是宋朝(公元960—1276年)的行政
    改革者建议的。这个古老的体制究竟实行到什么程度是另一个问题。
    但对这个村子来说,它完全是新的。村长解释说,新体制的实施准
    备,最近方告完成。它从来没有在人们的记忆中存在过。他说,镇长
    把村民都传唤去,告诉他们要按照县政府的规定来安排他们各户在行
    政组织中的地位,这件事已经完成了。为了要研究保甲制,必须从法
    令全书中找出它的意图,以及政府在保甲组织中所遵循的原则。

    1929年6月5日,根据孙中山先生地方自治的原则,南京的国民政府颁布了一个《县组织法》,按此法律每个县必须分为几个区,每区又分为20—50个乡(农村地区)或镇(城市地区)。农村地区,凡有100户以上的村子,划为一个乡;不到100户的村子,则和其它村子联合成为一个乡。城市地区,凡有100户以上的,可划为镇;如不足此数,则与附近村子合并建乡。乡则进一步分为闾(25户)及邻(5户)。这些单位都通过选出的领导人及地方自治会来实行自治。这些地方政府的职能在法律中已有规定,计有:人口普查及人口登记、土地调查、公益工作、教育、自卫、体育训练、公共卫生、水利灌溉、森林培植及保护、工商改良及保护、粮食储备及调节、垦牧渔猎保护及取缔、合作社组织、改革习俗、公众信仰、公共企业及财政控制等等。

    这些职能对地方社区来说不完全是新的。其中许多项早已由传统的、事实上的群体所实施。为了促进自治政府的行政职能,法律创造了新的地域性的群体。但实际上,它妨碍了事实上的群体的正常职能。因此,在1931年举行的第二次全国行政会议上,对各种单位的大小所作的刻板规定,受到了严厉的批评。结果是由立法院提出了修正案。

    当此修正案尚在讨论阶段,另外一个影响到地方政府的体制却实
    施了。1932年8月,在华中的剿共司令部,发布了一个法令,规定在军
    事行动区(湖北、湖南及安徽)的人民要在保甲制之下,组织起统一
    的自卫单位。按此制度,每十户为一甲,每十甲为一保。成立此组织
    的意图,在法令中有所说明,即:“在遭到破坏的地区有效地组织民众,取得精确的人口统计以便增强地方自卫反共的力量,并使军队能更有效地履行其职能。”此制度主要是为军事目的而实行的。除非人
    口登记做得十分精确,否则,在动荡的地区,很难防止共产党人和非
    共产党人混合在一起。为了反对共产党活跃的宣传活动,军队还实施
    了在同一个保甲之内,人与人互相担保的制度,使人们可以互相检
    查。

    1933年,共产党影响扩展,福建成为军事地区。福建省政府已开
    始根据1929年的《县组织法》组建地方自治体系。司令部命令省政府
    停止地方自治体系而代之以保甲制。在《法》与法令的冲突中,省政
    府服从中央政府,中央政治会议决定把保甲制纳入自治体系中。1929
    年的《法》被1935年的一系列法律所代替。这两种体系在以下六点中
    得到了妥协:(1)由统一的保甲单位代替老单位闾和邻,并使区、
    乡、镇等单位保持同等的级别。换句话说,原来处于县和乡、镇之间
    的单位——区取消了;(2)在结束训政时期前,按照保甲制度,以间
    接选举代替直接选举;(3)在按保甲制编户的过程中,进行人口普
    查;(4)把保甲制的军训扩大为普遍的民众训练;(5)只在紧急情
    况下,才实行互相担保的制度;(6)保甲制担负自治的职能,但允许
    进行地方性的修改以适应具体情况。

    很明显,妥协并没有解决根本问题。这就是这些特别的、有统一
    规模的自卫单位,在多大程度上能承担1929年的《法》所规定的一般
    的行政职能。真正的问题并不在于这个法律与那个法令之间的法律性
    斗争,而在于事实上的地域群体早已行使的传统的职能,能否被这种
    专横地创造出来的保甲所接替。老的邻、闾单位,并不那么严格,但
    已被事实证明是行不通的;那么这种更为严格的保甲制度,似乎更不
    大可能行得通。若发生紧急情况,保甲制的自卫效能也并不能保证它
    是适合于行政自治的一种制度。的确可以争辩说,在中国政治结合的
    过程中,用一个合理的和统一的结构来代替参差不齐的传统结构,看
    起来比较理想。但应当考虑到,这种替代是否必需,以及需要花多大
    的代价去实施它。由于我访问这个村子时,这个新制度实行了还不到
    一年,因此,下结论还为时过早。但以传统的结构为背景,对照这个
    制度的实施状况进行一些分析,显然有助于了解问题的余貌,至少会
    有助于在将来的行政政策中强调这个问题的重要性。

    这个村所实施的并允许进行一些地方性修改的保甲制,并不严格
    符合法律规定的数字。村中360户按地理位置被分编为4个保。从前面
    所示的本村详图中可看出,村中的房屋沿小河的两旁建造,并分为4个
    圩。在同一个圩里的户被合成一个保。按照它们所处的位置,从东往
    西,或由南往北数,大约每10户构成一个甲。这4个保和邻村的7个保
    合成一个乡,这个乡按本村名而被称为“开弦弓乡”。保和甲则分别
    冠以数字。村中的4个保是第八保至第十一保。另一个在法律与实践之
    间不相符合的事,是保持了旧法律中的区,它是县和乡之间的一个中
    间单位,它大致上和镇的腹地相当(第十四章第8节)。按照这个行政
    体制,这个村可称为:
    要剖析乡的本质,必须深入了解村与村之间的关系问题。在同一
    个乡的村子之间,是否有特殊的联系?与这个行政单位相当的职能群
    体是什么?我将在后面讲到(第十四章第8节),这个地区中的村子,
    在经济方面是相互独立的。每个村子都有自己的航船,充当村民到镇
    的市场上出售或购买的代理人。一个村子,不论它有多大,都不成为
    它邻村间的一个低级销售中心。换句话说,由于水运方便,并有了航
    船制度,因此作为销售区域中心的镇,完全有能力向所属的村庄进行
    商品的集散,在商品流通过程中不需任何中间的停留。在这个地区
    内,有数十个村庄依赖这个镇,但它们彼此之间都是独立的。这些村
    子,做的是相同的工作,生产同样的产品,互相之间很少需要进行贸
    易往来。因此,乡作为销售区域与村庄之间的一个层次,是没有经济
    基础的。从亲属关系的观点看,情况也完全一样。虽然村与村之间的
    婚姻是很时行的,但并没有迹象说明,在同一个乡内的村庄,宁愿到
    乡外的村庄去找婚配对象的。

    从语言的角度看,人们日常叫的“开弦弓”这个名字,在当地群众用语中是指这一个村庄而言。把邻村都说成是开弦弓的一部分,当地人听来可笑。他们的这种执拗并不是不合理的。这个称呼的改变对当地人来说含义很多。有人跟我说:“如果邻近村庄都算开弦弓的一部分,那末,原来属于开弦弓村人的湖泊,也要被邻近村庄的人分去了。当然,这是不能允许的。”

    目前,由于这个村庄的名声日增,蚕丝改良运动的经济功能及乡长的行政地位等因素,把开弦弓村周围的村子都吸引了过去。蚕丝改
    良运动和乡的首脑机关都在这个村里。我看到,不仅本乡的各村,而
    且外乡的人,也比过去更经常地来到这个村庄。他们前来订购蚕种,
    供给丝厂蚕茧,并解决村与村之间的争端。在前面的分析中所提到的
    姓周的乡长,并不是利用他的法定地位办事,而主要还是通过他个人
    的影响,即以蚕丝厂助理厂长的身份去办事的。同时,他也从不采取
    任何重要行动,除非他事先与各有关村庄的事实上的领导有过接触。
    当然,如果给以时间,并取得新的行政职能的内容,没有理由说
    新的行政单位永远是停留在纸面上的一纸空文。

    至于保这个单位,那就不同了。把村庄按小河为界而隔开的做
    法,不大可能成功。在此情况下,把小河假设为社会活动的一条分界
    线。但这种假设是不对的。正如已经说明的,船可以在水面上自由划
    动,造桥是为了把分割的土地联结起来。这些都是交通的工具而不是
    交通的障碍。

    最后,我还要谈一谈甲。在职能性的群体中,我们已知有一种群
    体叫“乡邻”。它包括十户。但它不与甲相符。甲是一个固定的地段
    而乡邻是一串相互交搭、重叠的单位。在乡邻这个结构中,每户都是
    以自己为中心,把左右五家组合起来。甲是一种非常人为的分段,它
    是同人们实际的概念相矛盾的。

    然而,在将来再次调查时,来研究此问题是很有趣的,看一看有
    计划的社会变迁,从社会结构,包括群体形式、正式的行为准则、正
    统的思想体系等等开始,能进行到什么程度。在要求全国具有一致性
    的愿望之下,这种尝试显然会越来越普遍的。

    第七章 生活

    对村子的地理情况和社会背景进行了综合调查之后,现在我们可以开始研究人们的经济生活了。我想先描述消费体系并且试行估计这村居民的一般生活水平。分析这一生活水平,我们可以了解普通生活的必要条件。满足生活的这些必要条件是激励人们进行生产和工业改革的根本动力。

    从消费的角度看,村里的居民之间没有根本性的差别,但从生产
    上看,职业分化是存在的。目前的研究主要限于构成居民大多数的农
    民。他们从事耕种及养蚕。这是他们收入的两个主要来源。饲羊、定
    期出去做些贩运是次要的收入来源。在叙述这些活动之前,我将通过
    农历来表明这些活动是怎样按时序安排的。
    有关农业法律方面的问题将在土地占有这一章中讨论。在此只略
    提一下,传统力量在这项制度中起着强大的作用,足以抗拒任何重大
    的变化发生。甚至在技术上,现在尚未成功地引进什么新方法和新工
    具。但在蚕丝业中,情况有所不同。
    从村民的观点来看,最迫切的经济问题就是蚕丝改革。丝价下跌
    是使农民无力偿还债务的直接原因。在过去十年中,努力进行一系列
    改革的结果使蚕丝业的技术以及社会组织都发生了根本性的变化。因
    此,我们才能够对这个村子的变化过程,作为乡村经济中工业化的一
    个实例来分析研究。
    我们将从消费系统与生产系统的分析引导到流通系统。通过市场
    销售,村民用他们自己的产品来换取他们自己不生产的消费品。在市
    场销售中我们可以看到村子自给自足的程度,以及村子对外界的依赖
    程度。
    有了这些经济活动的概况,我们现在就可以观察一下村里的财务
    状况。国内工业的衰落,高额地租的负担使村民面临着空前的经济不
    景气。村民难以取得贷款,或成为高利贷者牺牲品,他们的处境是进
    退维谷。我对这个村子在日本侵华战争爆发前不久的经济状况的描述
    将到此为止。

    1.文化对于消费的控制

    为满足人们的需要,文化提供了各种手段来获取消费物资,但同
    时也规定并限制了人们的要求。它承认在一定范围内的要求是适当和
    必要的,超出这个范围的要求是浪费和奢侈。因此便建立起一个标
    准,对消费的数量和类型进行控制。人们用这个标准来衡量自己的物
    质是充足还是欠缺。按照这个标准,人们可以把多余的节约起来。有
    欠缺时,人们会感到不满。
    安于简朴的生活是人们早年教育的一部分。浪费要用惩罚来防
    止。孩子们饮食穿衣挑肥拣瘦就会挨骂或挨打。在饭桌上孩子不应拒
    绝长辈夹到他碗里的食物。母亲如果允许孩子任意挑食,人们就会批
    评她溺爱孩子。即使是富裕的家长也不让孩子穿着好的、价格昂贵的
    衣服,因为这样做会使孩子娇生惯养,造成麻烦。
    节俭是受到鼓励的。人们认为随意扔掉未用尽的任何东西会触犯
    天老爷,他的代表是灶神。例如,不许浪费米粒。甚至米饭已变质发
    酸时,全家人还要尽量把饭吃完。衣物可由数代人穿用,直到穿坏为
    止。穿坏的衣服不扔掉,用来做鞋底、换糖果或陶瓷器皿。(第十四
    章第7节)。
    在农村社区中,由于生产可能受到自然灾害的威胁,因此,知足
    和节俭具有实际价值。一个把收入全部用完毫无积蓄的人,如果遇到
    欠收年成就不得不去借债从而可能使他失去对自己土地的部分权利
    (第十五章第3节)。一个人失去祖传的财产是违背孝道的,他将受到
    责备。此外,村里也没有什么东西引诱人们去挥霍浪费。在日常生活
    中炫耀富有并不会给人带来好的名声,相反却可能招致歹徒的绑架,
    几年前发生王某案件便是一个例子。
    但在婚丧礼仪的场合,节俭思想就烟消云散了。人们认为婚丧礼
    仪中的开支并不是个人的消费,而是履行社会义务。孝子必须为父母
    提供最好的棺材和坟墓。如前面已经提到,父母应尽力为儿女的婚礼
    准备最好的彩礼与嫁妆,在可能的条件下,摆设最丰盛的宴席。
    节俭仅仅为不同的生活标准提出了一个上限,当一个人未能达到
    公认的正常生活标准时,这个上限也就失去了意义。人们凭藉慷慨相
    助和尽亲属义务的思想(第十五章第2节)去帮助生活困难的人,使他
    们的生活标准不至于同公认的标准相差太远。因此,村里财产分布的
    不均匀,并没有在日常生活水平方面表现出明显的不同。少数人有特
    殊的值钱的衣服,但住房和食物上并无根本的差别。

    2.住房

    一所房屋,一般有三间房间。堂屋最大,用来作劳作的场所,例
    如养蚕、缫丝、打谷等等。天冷或下雨时,人们在这里休息、吃饭,
    也在这里接待客人或存放农具和农产品。它还是供置祖先牌位的地
    方。
    堂屋后面是厨房,大小仅为堂屋的四分之一。灶头和烟囱占厨房
    面积的三分之一。紧靠烟囱有供灶王爷的神龛和小平台。
    再往后是卧室,家中如有两个家庭单位时,就把卧室用木板隔成
    两间。每间房里放一两张床。已婚夫妇和七八岁以下的孩子合睡一张
    床。孩子长大以后,他或她先在父母屋里单独睡一张床,再大一些的
    未婚男孩就搬到堂屋里睡,像那些雇工一样。女孩出嫁前一直睡在父
    母屋里,也可以搬到祖母屋里去,但决不睡在堂屋里,因为妇女是不
    允许睡在供祖先牌位的房屋里的。
    广义地说,一所房屋包括房前或房后的一块空地。这块空地既作
    为大家走路的通道,也用作一家人干活、堆放稻草或其它东西的地
    方。在这块地里种上葫芦或黄瓜就是小菜园。房屋附近还有养羊或堆
    放东西的小屋。
    人的粪尿是农家最重要的肥料,在房后有些存放粪尿的陶缸,半
    埋在土地里面。沿着A河南岸,路边有一排粪缸,由于有碍卫生,政府
    命令村民搬走,但没有实行。
    房屋是由城镇里的专门工匠来修建的。养蚕期间,停止房屋施
    工,否则当地人相信全村的蚕丝业会毁掉。他们认为破土是一种危险
    的行为,会招致上天的干预。于是就要请道士来做法事。修建一所普
    通的房屋,总开支至少500元。房屋的使用寿命根据修缮情况而异,难
    以作出肯定的估计。每隔两三年必须把房屋的木结构部分重新油漆一
    遍,部分瓦片要重新铺盖,诸如此类的修缮费用每年平均为10元。

    3.运输
    人们广泛使用木船进行长途和载重运输,但村庄自己并不造船而
    是从外面购买。每条船平均价格约80—100元。除那些不从事农业、渔
    业劳动的人家以外,几乎每户都有一条或几条船。男人、妇女都会划
    船。人们在小时候就学会了划船。只要一学会这门技术,一个人就可
    以不停地划几个小时。划船所耗的力量并不与船的载重量成正比,而
    是与水流、风向等情况密切有关。所以,载重增加时,此类运输的费
    用就降低。如果船夫能够利用风向,距离只是一个时间问题,而不是
    花力气的问题,这样,费用就可进一步减少。这是水运的一个重要特
    点。这就有可能使一个地区的住房集中在靠河边的位置。它也使分散
    的农田占有制成为可能。此外,水运在市场贸易中的作用也影响了流通系统。所有这些有关的方面将适当结合其它有关内容进一步论述。

    畜力不用于运输。在陆地上,人不得不靠自己的力量来搬运货物。

    4.衣着

    村里的家庭纺织业实际上已经破产。我在村里的时候,虽然几乎
    每一家都有一台木制纺织机,但仍在运转的只有两台。因此,衣料大
    部分来自外面,主要是亚麻布和棉布。村里的缫丝工业主要为商品出
    口,并非为本村的消费。只有少数人在正式场合穿着丝绸衣服。
    由于一年四季气候变化很大,村民至少有夏季、春秋和冬季穿用
    的三类衣服。夏天,男人只穿一条短裤,会客或进城时便穿上一条作
    裙。村长要离开村子外出时,即使是炎日当头,至少手臂上要搭上一
    件绸子长袍。妇女穿不带袖的上衣和长裙。这里的妇女不下农田干
    活,穿裙子是这个地区妇女的特点。天气较冷时,有身份的男子,不
    干活时就穿长袍。普通人只穿短上衣。

    衣服并不仅仅为了保护身体,同时也为了便于进行社会区别。性
    的区别是明显的。还表现出年龄的区别,譬如,未成年的女孩不穿裙
    子。社会地位直接在服装的款式上表现出来,例如,长袍是有身份的
    人不可缺少的衣服。两个中学生,上学以后服装式样有了变化,他们
    穿西式长裤和衬衫,但不穿外衣。

    除裁缝以外,缝纫是妇女的工作。多数妇女的手艺足以为她们的
    丈夫和孩子做普通衣服,因为这是做新娘必备的资格。新娘结婚满一
    个月以后会送给她丈夫的每一位近亲一件她自己缝制的东西,亲属的
    称赞是她的荣誉,同时也是对她在这新社会群体中的地位的一种支
    持。但是在置办嫁妆、彩礼或缝制正式场合穿的高质量服装时,照例
    是要请专门的裁缝来做的。
    一个普通的家,每年买衣料的费用估计为30元,礼服除外。

    5.营养

    食品是家庭开支的一个主要项目,占每年货币支出总额的40%。而
    且它与上述几项支出不同。住房费用无须每天支付,衣服也不像饭食
    那样迫切。为了维持正常生活所必需的一定数量的食物,或多或少是
    恒定的,因此它在家庭生活中成为一个相对恒定的项目。
    主食是稻米,为我提供情况的人估计,不同年龄或性别的人每年
    消费所需稻米数量如下:
    对一个有一名老年妇女、两个成人和一个儿童的普通家庭而言,
    所需米的总量为33蒲式耳。这一估计是相当准确的,因为农民在储存
    稻米以前必须知道他们自己的需要量。稻米是农民自己生产的,剩余
    的米拿到市场上去出售,换得钱来用于其它开支。上面的估计是人们
    认为必须贮存的数量。
    蔬菜方面有各种青菜、水果、蘑菇、干果、薯类以及萝卜等,这
    个村子只能部分自给。人们只能在房前屋后的小菜园里或桑树下有限
    的土地上种菜。农民主要依靠太湖沿岸一带的村庄供给蔬菜。种菜已
    经成为这一带的专业,他们的产品已是这一地区人们蔬菜供应的重要
    来源之一。
    食油是村民自己用油菜子榨的,春天种稻之前种油菜。但这个地
    区农田水平面较低,油菜收成有限,产量仅够家用。鱼类由本村的渔
    业户供给。人们吃的肉类仅有猪肉,由村里卖肉的人从镇里贩来零
    售。食糖、盐和其它烹调必需品主要通过航船每天上镇购买(第十四
    章第5节)。
    一天三餐:早饭、午饭、晚饭,分别准备。但农忙期间,早上就
    把午饭和早饭一起煮好。妇女第一个起床,先清除炉灰,烧水,然后
    煮饭。早饭是米粥和腌菜,粥系用干米饭锅巴放在水中煮开而成。午
    饭是一天之中主要的一餐。但农忙季节,男人们把午饭带往农田,直
    到傍晚收工以后才回家。留在家中的妇女和儿童也吃早上煮好的饭,
    但吃得较少。
    晚上男人们回家以后,全家在堂屋里一起吃晚饭。但天气热的时
    候,就把桌子搬出来摆在房屋前面场地上;夏天傍晚,到街上走一
    走,印象非常深刻。沿街摆着一排桌子,邻居们各自在桌边吃饭,边
    吃边谈。全家人都围着桌子坐着,只有主妇在厨房里忙着给大家端
    饭。
    家中每一个人在桌旁都有一定的位置。按家庭的亲缘顺序,家长
    面南,坐在“上首”,第二位面向西,在家长的左侧,第三位在右
    侧。主妇,特别是媳妇,坐在下首,或者不上桌,在厨房里吃饭。
    同进晚餐,在家庭生活中是很重要的,父亲和孩子这时有机会互
    相见面。父亲整天外出,孩子直到晚饭时才能见到他。他们一起在桌
    旁吃饭。父亲常利用这机会对孩子进行管教。吃饭要讲吃饭的规矩。
    孩子不准抱怨食物不可口,也不准挑食。他如这样做,就立刻会受到
    父亲的责备,有时还要挨打。通常在吃饭时孩子都默不作声地顺从长
    辈的意见。
    在农忙期间,饭食较为丰富。他们吃鱼、吃肉。但平时不经常吃
    肉食。除去几个寡妇以外,很少有素食主义者。普通妇女每月素斋两
    次,初一和十五各一次,这是由于宗教告诫人们,天上的神仙不愿意
    伤害生灵。吃素被视为有利于人死后升天过好日子。
    在厨房里做的东西不应该留藏给家里个别人独自吃。但是偶尔,
    小家庭可以自己花钱买些特别的菜在自己房间里吃。这种做法被认为
    是不好的,会惹得家里其他成员生气。一个人用自己的零花钱去买点
    心、糖果吃是私事,不一定告诉别人。

    6.娱乐

    辛勤劳动之后,放松肌肉和神经的紧张是一种生理需要。娱乐需
    要集体活动,于是社会制度发展了这种功能。娱乐中的集体活动加强
    了参加者之间的社会纽带,因此它的作用超出了单纯的生理休息。在
    家中全家团聚的时间是在晚上,全天劳动完毕以后。大家聚集起来,
    家庭间的联系得到了加强,感情也更加融洽。
    农业劳动和蚕丝业劳动有周期性的间歇,人们连续忙了一个星期
    或10天之后,可以停下来稍事休息。娱乐时间就插入工作时间表中。
    在间歇的时候,大家煮丰盛的饭菜,还要走亲访友。

    男人们利用这段时间在茶馆里消遣。茶馆在镇里。它聚集了从各
    村来的人。在茶馆里谈生意,商议婚姻大事,调解纠纷等等。但茶馆
    基本上是男人的俱乐部。偶尔有少数妇女和她们的男人一起在茶馆露
    面。妇女们在休息时期一般是走亲戚,特别是要回娘家看望自己的父
    母和兄弟。孩子们大多数是要跟随母亲一起去的。

    家人在晚间的聚会,朋友们在茶馆相会,以及农闲时看望亲戚,
    都是非正式的,不是必须履行的。从这一点来讲,这些活动与节日期
    间的聚会以及正式的社区聚会有所不同。第九章所列的社会活动时间
    表总结了一年中的所有节日,与其它活动一起按年月顺序排列。
    很明显,各个节日总是出现在生产活动间歇之际。阳历2月份,农
    闲时节,庆祝“新年”15天,人们欢欢喜喜地过年,并尽亲戚之谊,
    前去拜年。婚礼也往往在这时候举行,人们认为这是结婚的好时光。
    在蚕丝业繁忙阶段之前不久的是清明,进行祭祖和扫墓。蚕第三次蜕
    皮时,就到了立夏,有一次欢庆的盛宴。在缫丝工作之后,插秧之
    前,有端阳节。阴历8月满月的日子是中秋。此时正值稻子孕穗,也是
    在农活第一次较长间歇期的中间。在此间歇的末尾是重阳节。农活完
    毕之后就是冬至了。每逢这些节日都要有一定的庆祝活动,通常是同
    祭祖和祭灶联系在一起。庆祝这样一些节日只限于在家人和近亲中进行。

    较大的地方群体的定期集会有每年一次的“段”的“刘皇会”(第六章第3节),和每10年一次在太湖边举行的村际的庆祝游行“双阳会”,俗称“出会”,它们也与宗教思想有关。10多年来,除“刘皇会”以外,所有这些集会都已停止。停止的直接原因就是政府不赞同。政府认为,这些活动是迷信而且奢侈。地方行政官的职责之一就是禁止这些集会。 [26] 但是更实际的根本的原因是乡村地区的经济萧条。当食品、衣服之类的必需品都成为人们的负担时,他们就不会有多余的钱去进行不太急迫的社会活动。

    根据我目前的材料,难以确定社区停止聚会在多大程度上削弱了
    当地人民之间的联系。但当我坐在人们中间,听着他们叙述村际“出
    会”那些令人兴奋的往事时,我明白地觉察到他们对于目前处境的沮
    丧和失望之情。我并不想再恢复那些盛大的场面,并对其社会价值进
    行估价,然而对往事的回忆是形成人们目前对现状的态度的一个重要
    因素。在人们心目中,停止这些庆祝活动,直接说明了社会生活的下
    降。由于他们盼望着过去的欢乐日子复而再来,所以他们不会拒绝任
    何可能采取的确信会改善社会生活的措施。对社会变革不会发生强大
    的阻力,上述这种心理至关重要,我以后还要说明(第十二章第2
    节)。

    7.礼仪开支

    礼仪开支与一生中的重大事件:出生、结婚、死亡,有着密切联
    系。从经济观点来看,这种开支是一家不可缺少的负担。彩礼和嫁妆
    是新家庭必要的准备。丧葬安排是处理死者所必须的措施。个人生活
    及其相关的社会群体所发生的这些红白大事里产生出来的感情,使得
    这些礼仪得到更加精心的安排而且花费相当的钱财。当一种礼仪程序
    被普遍接受之后,人们就不得不付出这笔开销,否则他就不能通过这
    些人生的关口。

    然而,经济萧条使礼仪受到了影响。例如采取了“小媳妇”的制
    度来改变昂贵的婚礼(第三章第8节)。它是由于经济便利才被采用
    的,但对亲属组织却发生了深远的后果。姻亲关系的完全或部分退化
    已使妇女和儿童的社会地位受到影响。彩礼和嫁妆的取消延长了青年
    在经济上依赖父母的时间。所有这些说明了这样一个事实,礼仪开支
    不全然是浪费和奢侈的。这些开支在社会生活中起着重要的作用。
    再者,结婚时的宴会为亲戚们提供了一个相聚的机会,对新建立
    的亲属纽带予以承认,对旧有的关系加以巩固。亲属纽带不仅仅是感
    情上的关系,它还调节各种类型的社会关系。从经济观点来看,它规
    定了参加互助会的相互义务(第十五章第2节),以及定期互赠礼物。
    在已经改变了的婚姻礼仪中,所请客人的名单通常已经缩减。这使原
    来较广的亲属纽带变得松散。从长远看,就可能封闭了一些经济援助
    的渠道,这种结果可能不会很快或明显地表现出来,但最终会感觉到
    的。这就是人们拒绝“小媳妇”制度的原因。一俟经济条件许可,就
    要恢复正常的程序。为了维持传统的礼仪,甚至有许多人宁可推迟婚
    期或借钱也要把婚礼办得像个样子。

    从礼仪事务在人们生活中的重要性来看,就不难理解礼仪开支在
    家庭预算中占有很高的百分比。在一个普通的4口之家,假设平均寿命
    为50岁,那么每隔5年将有一次礼仪事务。对于礼仪事务的最低开支估
    计如下:出生30元,结婚500元,丧葬250元,平均每年开支50元,这
    个数字为每年全部开支的七分之一。
    亲戚家有这些婚丧娶嫁等大事时,他们还须送礼,所以我们也必
    须把这笔开支计入总和。根据亲友关系亲疏的不同,礼品的价值从
    0.20元至5元不等。每家每年的平均数量至少约为10元。同中国的其它
    乡村相比,这些估值似乎相当高。根据巴克的研究,在华东每家用于
    一次结婚的平均费用为114.83元,丧葬费平均为62.07元。 [27] 差别
    可能由于地方的特点不同,或者由于列入礼仪开支的项数不同。在开
    弦弓,结婚当天的开销在100至250元之间。为我提供资料的人引述一
    个众所周知的例外情况:一家仅花了不到100元办了一次婚礼。此处所
    作对婚礼开支的估计还包括了结婚礼物的费用,所以总数理应高一
    些。
    丧葬开支,根据死者社会地位的高低而大不相同。如在北平所观
    察到的,孩子的“丧葬费用比家庭每月收入的八分之一略多一点。年
    长者的丧葬费自然要贵一些。小孩和成人加在一起总数为每月收入的
    1.25至1.3倍不等。但这些数字都不包括丧宴费用。有关丈夫、妻子、
    哥哥、母亲的丧葬,其费用为月收入的2.5、3.5、5.5倍。” [28] 巴
    克的平均数是从有丧事的人家的2.8%中推算出来的。该数字可能略低
    于本地人提供给我的有关该村一个成年人死后所需的适当的丧葬费
    用。
    这些定期的开销需要在平时积蓄起来。积蓄可能采取贷款的形
    式,但通常采取向互助会交纳储金的形式。互助会是本地的一种储蓄
    制度(第十五章第2节)。这样,我们可以把估计的礼仪开支费用同每
    家每年交纳储金的平均数作一比较。我发现,一般每家同时加入两个
    互助会,每年总共交纳储金40元。这一数字有助于证实以上估计的可
    靠性。

    8.正常生活的最低开支

    前几节中所作的全部定量估计仅仅代表村里公认的正常生活的最
    低需要。为了取得这些估计,我曾请教了不少知情人。个人估计之间
    的差别非常小,这说明了这样的估计具有较高的一致性。我们所考虑
    的普通的家是由四个人组成:一位老年妇女、一位成年男子、一位成
    年妇女和一个小孩。这四个人是9亩土地的完全所有者。

    这些估计之所以有用,有以下几条理由:(1)单独的实地调查者
    几乎不可能采用簿记研究法,特别是在村里,人们没有记账的习惯,
    除非调查者把他的全部时间用于研究记账问题。(2)这些估计可以使
    人们对本村人的生活得到一个一般的概念,它代表正常生活的最低需
    要,与实际平均数不会相差太远。(3)村里的生活标准没有显著的差
    别,因而可以使用这种简便的方法。(4)如上所述,这些估计在人们
    心目中形成了一个度量社区中物质福利充足的标准,其结果是产生了
    一种控制消费的实际社会力量。

    此外,在研究乡村社区生活水准问题方面,簿记研究法有一定的
    局限性。乡村社区是部分自给经济,生活上的各项费用并不完全包括
    在日常账目之中,因为账目通常限于记录货币交易。账簿只能说明村
    民依赖外界商品供应的程度。而这种依赖程度并不一定能够表明生活
    水准。例如,在正常情况下,村民不会去买米,因为他们自己有储
    备。只有在家庭经济困难,储存的大米已被卖光时,村民才去买米来
    吃。在这种情况下,现金交易量的增加与生活下降有关而不是与生活
    改善有关。只有这种情况才会在账目中有所反映。
    很明显,在研究乡村社区生活水准时,简单地以货币的收支来总
    计家庭预算,是不足以说明问题的。调查者必须从两方面入手来对消
    费品进行估价:一方面是那些从市场买来的消费品;另一方面是消费
    者自己生产的物品。前者应以货币值来表示,其总和代表着人们生活
    所需的货币量。这个数额确定了人们为得到此数额的货币而出售的产
    品量。消费者自产自用的物品不进入市场。这些物品的货币值无人知
    晓。因为如果它们进入了市场,价格就会受到影响。如以市场价格表
    示这些物品,从理论上讲是不正确的。的确,若不把它们折合为货币
    价值,就不可能得出人们生活水准的总指数。但是,这样的一个总指
    数是不真实的。把这两类物品分开研究,有助于我们调查其间的关
    系,而这种关系在农业经济研究中是非常重要的。例如,目前中国农
    业经济中最重要的问题之一是农产品的价格下跌。为了满足必需的生
    活条件,村民被迫向市场多出售他们的产品。这样就降低了村民的自
    给程度。另一方面,农村地区的辅助工业的萧条,减少了农产品的品
    种和数量,增加了对货币的需要,以购买所需的工业品。为了探讨这
    些问题,分析这两类消费品之间的关系是很重要的。
    这种“从两方面入手的方法”需要实地调查者付出更多的劳动。
    收集统计资料可能是不实际的。所以,我建议采用咨询估算的方法。
    如果可能的话,再用抽样观察来补充。选定几个有代表性的实例,在
    一个时期中,系统地记录消费项目和数量。但本文尚不能提供这一类
    的数据。下表仅仅列出了村民必须到市场上购买的物品之货币价值,
    以及强制支付的租金和税款。该表可以用来估计村民生活所需的最低
    货币量。消费者自己生产的物品包括食物,例如米、油、麦子、蔬
    菜,及部分衣料。自给经济最重要的部分是劳动和服务。如上所述,
    只有少数农户雇工种田。关于这方面的分析,将进一步结合生产过程
    来进行。

    第八章 职业分化

    1.农业——基本职业

    在消费过程中,没有必要把该村的居民进行分类,但在生产过程中,则有职业的区别。根据人口普查,有四种职业:(1)农业;(2)专门职业;(3)渔业;(4)无业。

    这些职业类别并不是互相排斥的。没有被划入农业的人也可能参
    与部分的农业活动。除去无地的外来人以外,对几乎所有居民来说,
    农业是共同的基本职业。区别仅仅在于侧重面不同而已。被划归农业
    的人并不是只依赖于土地,他们还从事养蚕、养羊和经商。第四类人
    包含这样一些农户:成年男子业已死亡,寡妇和儿童靠出租的土地生
    活,而不是靠他们自己的生产劳动过日子。

    在人口普查记录里,家庭的职业是根据一家之长的职业而定的。
    家庭的成员可以从事不同的职业,例如,店主的孩子可能从事农业,
    农民的女儿可以到城里的工厂工作。这些情况都没有表示出来。该村
    各类职业的家庭数字如下:

    上表清楚地说明占人口总数三分之二以上或76%的人,主要从事农
    业。由于实地调查的时间有限,我的调查工作主要是有关这个职业组
    的。下章再详细分析这个职业组的生产活动。其它职业组,我只能简
    单地描述一下。

    2.专门职业

    第二类的进一步分析,见下表:

    表中第一项,只包含那些家长在城里经商的家庭或家长从事其它职业,住在城里。不包括那些在村外丝厂工作的女工。

    纺丝工人,代表一种专门职业。他们为镇上的丝行工作,丝行从
    村民手里收集土法缫制的生丝,质量不整齐,在出口或卖给丝织厂以
    前,必须通过反摇整理。这种整理工作由村民来做。丝行把原料分配
    给纺丝人,然后再收集起来,按照工作量给予工资。

    零售商人和航船,在讨论贸易的一章中另作描述(第十四章第4至6节)。

    整个手工业和服务行业人员占这个村庄总户数的7%。这样低的百
    分比是惊人的。首先,这是由于这些行业还不完全是专业化的。缝
    纫、做鞋、碾磨等工作,是各户自己劳动的普通工作。比较粗糙的木
    工、竹工和泥水匠的工作不需非常专门的知识和技巧,所用工具在大
    多数住家中都自备。现代抽水机尚未被广泛使用,主要在紧急时用。
    生孩子也不一定需要专家的帮助。在上表中,除了现代抽水机操作者
    外,也许只有理发匠、和尚、庙宇看守人和合作丝厂的职工的工作比
    较专业化,农民自己不能兼任。
    此外,人们不一定都要村里供应他们所需的物品或依赖这个村里
    的人来解决他们生活服务的问题。质量较好的木器、竹器或铁器可以
    在城镇里买到。甚至于有一次理发匠对我抱怨说,村民逐渐倾向于到
    镇里去剃头了。有丧事时,人们往往到远处庙宇去请和尚。妇女难产
    时不能信托村里的接生婆来接生。
    所有住在村里的外来人都是商人和手艺人,他们实际上占这个群
    体(第二章第5节)总人数的三分之一。关于商业和手艺是否原来就是
    从外面传来的一种新的职业,我手头没有资料可以说明这一点,但我
    们有理由猜想一些新的手工艺往往是通过某些渠道从外边引进的。由
    于技术知识通常是通过亲属关系传授,本地人不易很快地吸收这种知
    识。即使师傅可以公开传授手艺,但那些有条件让孩子们种地的父母
    仍愿意让他们种地。村子里的土地不足以提供额外人口谋生,因此,
    外来人很难获得土地,而且土地也很少在市场出售。所以,正如上面
    已提到的,目前,所有外来人都没有地,其谋生的唯一手段是从事某
    种新手艺或经商。

    3.渔业

    有两类渔业户,他们的捕鱼方法不同,居住地区也不同。第一类
    渔户,住在村的西头,圩Ⅰ、圩Ⅱ,仅以捕鱼为副业。他们的捕鱼方
    法是用网和鱼钩。冬季工作较忙。那时,农活告一段落,他们便开始
    进行大规模的“围鱼”作业。几只船合作组成捕鱼队,在又粗又长的
    绳子上密挂小鱼钩,然后再加上一些重量,捕鱼队队员围成一个圈,
    把鱼钩沉入湖底。寒冷天气,特别是下雪以后,湖面不结冰,但鱼都
    在泥里冬眠,鱼钩在泥里拉过,很容易把鱼钩住。这样的“围鱼”作
    业有时持续数周,收获量颇大。平时,渔民撒大网捕鱼,一日数次。
    这种捕鱼方式只有那些住在湖边的居民才能采用。这也就是这群渔户
    局限在村西地区的原因。
    捕虾篓
    虾是用一种竹编的捕虾篓从湖里捕捉。捕虾也是住在湖边的渔户
    的普遍职业。根据1935年夏我所收集的情况,共有43条船从事这项工
    作。捕虾篓用一条长长的绳索连结起来,放入水中。每四小时清一次
    篓子,因为时间过久,虾在篓里容易死去,死虾在市场上的价格低于
    活虾。两个渔民一条船,平均收入每天1元。
    另一种渔户在B河中游沿岸圩Ⅱ居住。这种渔民喂养会潜入水中捕
    鱼的鱼鹰。喂养和训练此种鸟需要专门知识,是由家庭传授的,因此
    是一种世袭的职业。这些家庭形成一个特殊群体甚至与其它村里的同
    行渔民合作。由于他们需要到离本村较远的地方去,夜间鱼鹰需要细
    心保护,因此,这些渔民在共同的专业利益基础上形成了一个超村庄的群体。从事同一专业的渔民,对他们的同行都有友善招待的义务。

    第九章 劳作日程

    1.计时系统

    为研究一个社区的生产体系必须要调查他们的各种活动在时间上
    是如何安排的。在分析农村经济时更需如此,因为庄稼通常直接依赖
    于气候条件。

    有机世界的季节循环的知识,对人民有重要的现实意义。农民的
    生产活动不是个人自发的活动。他们需要集体的配合和准备。他们必
    须知道种子何时发芽以便确定播种日期,必须知道秧苗需要多长时间
    才能长成以便把土地准备好进行移植。如果没有农时的计算,就不能
    保证在正确的时间里采取某种行动。
    辨认时间不是出于哲学考虑或对天文学好奇的结果。正如布·马
    林诺夫斯基教授已明确指出的,“计时法不论如何简单,它是每一种
    文化的实际的需要,也是感情上的需要。人类每一群体的成员都需要
    对各种活动进行协调,例如为未来的活动选定日期,对过去的事进行
    追忆,对过去和未来时期的长短进行测量。” [29]
    从功能上来研究计时问题,我们就必须仔细地观察一下历法,以
    便了解计时系统如何安排社会活动,这一系统又是如何由社会活动来
    表示的。

    中国农村中使用的传统历法是以纪月系统为基础的阴历。它的原
    理如下:望日被视作一个月的第十五天的夜晚。因此,每一个月的天
    数是29或30天(实际上一个月历时为29.53天)。12个月为一年,共有
    354.36天,其总数与纪日系统的阳历365.14天为一年的数字不合。每
    隔二或三年有一个闰月以补足每年缺少的天数。但是有机世界的季节
    循环更多地是遵循地球和太阳之间的关系,与地球和月亮之间的关系
    较少。虽然两种系统最后有闰月来调整,但这两种系统的日期永远不
    能有规律地一致起来。

    阴历的日期不能始终如一地说明地球对太阳的相对位置,因而也
    不能表明季节性气候的变化。譬如说,假定今年人们抓住了正确的播
    种时间,4月17日,但由于闰月的关系,他们明年如果在同一天播种,
    就为时太晚了。阴历和季节循环两者之间的不一致性,使得阴历在农
    事活动中不能作为一种有效的推算农作物生长期的指南。这种理论上
    的考虑必然引导人们进一步来考察传统的历法。

    实际上,在传统历法中,有一种潜在的纪日系统。它表明各个时
    期地球在其太阳轨道中的确切位置。这一系统中的单位是“节”,意
    思是“段”或“接头”。整个太阳历年分成24个节。1936年24个节的
    总天数为364.75天。这说明实际上一个年度的时间仍有微弱的0.59天
    之差。我不知道定节气的原理,但在旧历本中可以找到每个节气开始
    的准确时间,它是用时辰(两小时)、刻(四分之一小时)和分(分
    钟)为单位来表示的。在不同年份里不同节气的长短上,闰期的变化
    微小,因此不需要特殊的说明。下表为1936年,每个节气开始的时间
    和节气的名称。

    既然西方的阳历是法定通行的,自然也传入乡村,它又与传统的
    纪日系统的节气有区别,因为它以一个整天作为单位,所以有一个规
    则的闰日方法。这两种历法不同年份相应的日期不同。

    2.三种历法

    这三种历法均被村里的人们采用。但各有各的作用,西历通常在
    新建的机构如学校、合作工厂和行政办公室里使用。这些机构必须与
    使用西历的外界协调工作。
    传统的阴历最广泛使用在记忆动感情的事件以及接洽实际事务等
    场合。它被用作传统社会活动日的一套名称。在宗教活动上,人们也
    广泛使用阴历。每月初一及十五要定期祭祀灶神。人们还在这两个日
    子里去庙宇拜佛或吃素斋。在祖先的生日、忌日和固定的节日要祭
    祖,但有些节日是根据传统的节气来安排的。
    传统的节气并不是用作记日子的,而是用来记气候变化的。有了
    这一总的系统,每个地方可根据当地情况来安排农活日程。
    这个系统主要用于生产劳动。除日常谈话外,下列歌谣说明了它
    的作用:
    白露白迷迷(指稻花开) 秋分稻秀齐
    霜降剪早稻 立冬一齐倒
    向我提供情况的人曾来一信,也可引述其中一段:
    “村里的人,
    每年有两个清闲的时期,第一个阶段是在秋天,从处暑到寒露,为时
    约两个月……第二阶段是在冬天,从大雪到年底,也是两个月,在这
    农闲季节,我们出去经商。”
    农民用传统的节气来记忆、预计和安排他们的农活。但节气不能
    单独使用,因为没有推算日期的办法,在使用上有困难。农村用阴历
    来算日子。人们必须学习每年各个节气的相应日期。例如上表所示,
    第一个立春是在正月十三日,而第二个立春则在十二月二十三日。因
    此,也可以这样说,阴历通过节气系统来安排人们的工作顺序。
    历本并非村民自己编排,他们只是从城镇买来一红色小册子,根
    据出版的历本来进行活动。他们也不懂其历法的原理,他们甚至不知
    道历本是哪里发行或经谁批准的。因政府禁止传统历,出版这些小册
    子是非法的。我未能找到谁是负责的出版者。
    然而政府的行动在任何意义上来说,并未影响小册子的普及和声
    誉。在任何一家人的房屋中都可以找到这本册子,而且在绝大多数情
    况下,这往往是家中唯一的一本书。人们通常将它放在灶神爷前面,
    被当作一种护身符。不仅在安排工作时,而且在进行各种社会活动和
    私人事务的时候,农民都要查询这本历书。在历书中,每一天,有一
    栏,专门说明哪些事在这一天做吉利,哪些事不吉利。我列举数栏说
    明如下:
    三月一日(1936年),星期日;阴历二月初八日
    张大帝(洪水之神)生日。
    宜祭祀,祈福求嗣,还愿,会亲友,经商,上官赴任,结婚姻,行聘,嫁娶,迁人新
    宅,移徙,裁衣,修造,竖柱上梁,修店铺,开市,立券,开仓库,栽种,破土,安葬。
    不宜用茅草铺盖房顶,灌田,行猎。
    三月二日,星期一;阴历二月初九日
    宜会亲友,捕捉畋猎。
    不宜诉讼,求医疗病。(植物发芽)
    三月十六日,星期一;阴历二月二十三日
    诸事不宜。
    三月二十七日,星期五;阴历三月初五日
    宜沐浴,畋猎取鱼,扫舍宇。
    不宜安床,买地纳财。(开始雷鸣)
    农民并非完全按照栏内所列的忠告行事。但盖房、安排婚事、开
    始长途旅行等事,他们确实要查询此种历本。他们根据栏内所列吉利
    的事情多少,笼统地区别“宜”或“不宜”的日子。他们避免在“不
    宜”的日子,特别是那些表明“诸事不宜”的日子,进行重要的冒风
    险的活动。每隔数天,在这一栏的末尾有一项括号内的说明,如“植
    物发芽”和“开始雷鸣”等。这是用周期性的自然现象来推算时间的
    一种附加系统。

    3.经济活动和其它社会活动时间表

    有了以上的这些计时系统,我们便能列出村庄各种经济和社会活动的时间表。它可供进一步分析作参考。对某些具体项目,将在其它
    恰当的有关之处再作一些解释。

    第十章 农业

    农业在这个村子经济中的重要性,已经在以上章节中显示出来。
    这村有三分之二以上的农户主要从事农业。一年中有8个月用来种地。
    农民的食物完全依赖自己田地的产品。因此,要研究生产问题,首先
    必须研究农业问题。
    本章所使用的农业一词,只是从它的狭义说的,指的是使用土地
    来种植人们想要种的作物。要研究如何使用土地,必须先分析土地本
    身。土壤的化学成分、地形和气候都是影响农业的条件。我们也需要
    了解谷物的生物性质。这些分析尽管比较重要,所需要的专门知识却
    往往是人类学者所不具备的。然而,农业占用的土地不只是自然实
    体。文化把土地变成了农田。此外,在农业中,直接指导人类劳动的
    是人们自身掌握的关于土地和谷物的知识,通过技术和信仰表现出
    来。
    从分析物质基础开始,我们首先来描述一下这个村子的农田。根
    据技术需要出发的农田安排,对劳力组织、土地所有权和亲属组织都
    有深远的影响。研究这个问题对进一步研究人与土地关系问题的各个
    复杂的方面将是最好的开始。
    1.农田安排
    农田的安排取决于农民选择种植哪一种作物。这个村农业的主要
    作物是水稻、油菜籽和小麦。水稻的种植期从6月开始,12月初结束,
    这是主要农作物。收稻以后,部分高地可用来种小麦和油菜籽。但后
    两种仅是补充性的农作物,其产量仅供家庭食用。
    村里90%以上的土地种植上述这些农作物。沿着每一圩的边缘,留
    有10—30米的土地种桑树,有三个圩再留一块大一些的空地盖房屋。
    在边缘的土地较高,也用作农田的堤堰。
    种庄稼的土地被分成若干农田。由于种水稻需要定期供水,因此农田安排还取决于水利管理措施。

    集体排水向我提供情况的人说:“水是农田中最重要的东西。如果土壤干裂,稻就会枯死,如果水太多 ,淹过稻‘眼’时,稻又会淹死。”稻“眼”即上方叶和茎的接节点。当地人认为,这部分被淹了,六七天之内,稻就枯萎。把稻的这一部位说得如此脆弱,未必那么真实。但稻“眼”确实被用作标志稻田中水多水少的一个基准。必须按照稻的长势调节水面,水位太低时进行灌溉,太高时则及时排水。水的管理是农业中的一件主要任务,它支配农田的地形。

    土地被河流分割成小块,称作“圩”。每一圩周围是水。每一块
    农田得水机会的多少视这块农田在圩中的位置而异。圩正中间的一块
    田离河最远,被灌溉的机会也最少。为使中间的农田得到足够的水,
    人们必须把圩的土地平整得犹如一个碟子。但碟状土地表面又为储水
    带来困难。水总是趋向水平面,因此农田不能得到水的平均分配,反
    而中间形成水塘,边缘土地干旱。所以必须筑起与土地边缘平行的田
    埂。另一个困难是必须从较低的河流中将水引到较高的田地中来。这
    样,便必须用水车。人们在河岸上选择一个地点,安装好水车,同时
    还要挖一道水渠以便将水引到里面的稻田。靠这一车水点供水的每一
    大片田地,还要有与边缘相垂直的田埂。两种田埂相互交叉,把农田
    分成小块,称作小块田或“爿”。

    图Ⅳ 西长圩农田的安排
    1.房屋 2.种桑树的边缘地 3.两瑾田中间的埂 4.桥 5.两小块田之间的埂 6.一小块田 7.车水
    灌溉点 8.集体排水点 9.公用排水渠 10.河

    每小块田的高低必须相同,以便能得到平均的灌溉。小块田的所有权如果不属同一个家,那么耕种者之间常常因灌水发生争执。每一
    片田地有一条共同的水渠通过,在每片田地的小块田间有一个通水
    口。农民引水进田时,先从边缘的小块田开始。在一小块田的进水口
    处下面把水渠堵住,这样水便流入这小块田地。水灌足后便堵住这一
    进水口,打开水渠再灌溉下一块田地。这样继续下去直到最后一块田
    浇灌完毕。一片田地为一个灌溉单位(见地图Ⅴ)。
    雨水多的时候,这一灌溉系统不能把田里多余的水排出,因为水
    不能从较低的田中央往较高的田边缘流出。所以必须在整个碟形圩地
    的最低部分挖一水沟。它汇集了各大片田里多余的水,水沟终端装部
    水车把水排出。接着,我们将看到灌溉和排水需要不同的社会组织工
    作。

    图Ⅴ 田埂和水渠系统

    单纯从技术观点来看,排水问题的困难主要是各圩面积大小不等
    的问题。圩的大小取决于河流天然分布的情况,大小相差极大。例
    如,这个村里有11个圩,大小从8亩至900余亩不等(第二章第2节)。
    圩的面积越大,将它纳入集体排水系统的困难越多。为适应紧急需要
    并提高工作效率,大圩必须分成较小的排水单位,称“墐”,
    各“墐”之间筑了较大的埂。也是农田里的主要道路。

    农田安排平面图,如图Ⅳ所示。图比实际情况简单得多,但足以说明刚才描述的情况。

    2.种稻

    田地主要用来种稻,但不完全是种稻。目前只限于研究种稻这一方面。
    6月开始种稻。先准备好一小块田地育秧。把种子撒在秧田里。约
    一个月以后,稻子长出30厘米长的嫩秧。这一时期稻秧不需要大的间
    隔,只是在浇灌方面需要细心调节。在小块田地上育秧,同时在大块
    田地上作准备工作,这样比较方便、经济。
    移秧之前必须作好以下准备:翻地、耙地、平地,然后是灌溉。
    一切工作都是人力做的。这个地区农业劳动的一个特点就是不用畜
    力。下面我们将看到,农田较小,每户的土地又是如此分散,以至不
    能使用畜力。农民只用一种叫做“铁”的工具,它的木把有一人高,
    铁耙上有四个齿,形成一个小锐角。农民手握木把的一端,把耙举过
    头先往后,再往前甩,铁齿由于甩劲插入泥土,呈一锐角,然后向后
    拉耙,把土翻松。这个村子不用犁。
    翻地以后,土块粗,地面不平。第二步就是耙细和平地,使用同
    一工具。一个人翻耙平整一亩地需要4天。
    这一阶段要引水灌溉,必要时需检修田埂和水渠。用水车从河流
    车水。水车有一个长方盒形的、三面用木板做成的管道,木管内有一
    系列用小木片做成的阀,由活动的链条连在一起形成一个环。小阀接
    触三面木头的管道便在管内形成一系列方形空间,链条通过枢轴与一
    个轮子相连。农民踏动轮旁的踏脚板时阀链便按圆环形转动。木管的
    下部置人水中,上部打开,对着一个通向水渠的小水塘。由阀和木管
    三面形成的小方空间在下端充满了水,阀链转动时便将水带上来,流
    入水塘。水并非通过空气压力的差别带入塘内,而是由于阀的转动把
    水带到水塘。

    用这种工具把水车至高处,效率不很高。由木阀形成的方形空间
    结构不严密,阻力较大。为一亩地车水高出地面10余厘米约需用一天
    的时间。灌溉上的低效率使每一大片田地中相连的小块田地产生了不
    同的价值。我在前面已经提到,水从边缘的田地依次流到中间,中间
    的田地必须等边缘的田地灌溉结束后,才能得到它所需要的水。雨水
    太多时,中间的田地又必须等待边缘的田地排完水后,多余的水才能
    排除。而等待排灌时间的长短则有赖于水车效率的高低。排水系统的
    不能令人满意的效率,当然是产量降低的一个因素。因此也就产生了
    土地价值的差别。边缘田地与中间田地价值的差别有时可达10元或相
    当于土地平均价值的五分之一。

    前两年,村里有了两台动力抽水泵。一台为私人所有,另一台为
    合作工厂所有。承包全年的灌溉,按每亩收费。这使整个灌溉过程逐
    步转入集体化和专业化。然而,这种机器尚未被普遍采用,主要是因
    为使用机械而节约下来的劳力尚未找到生产性的出路。从村民的观点
    来看,他们宁愿使用旧水车,不愿缴纳动力泵费用而自己闲搁数月。
    有些人告诉我,那些依赖动力泵灌溉的人,自己没有事,便到城镇的
    赌场去赌博,害了自己。现在尚未看到节约劳力的机器和水利集体化
    过程对社会组织和农田安排的影响。
    引水到田以后,每亩田还需要用一天的时间加以平整。现在就可
    以估计在准备土地过程中总共需要多少时间。一个劳力如果种7亩地,
    大约需要35天,相当于稻秧在秧田里生长所需的时间。
    农活开始的时候没有什么仪式,每个农户自己掌握农活开始的时
    间。时间先后的差别约为两个星期。
    把稻秧从育秧田里移植到大田里,是种稻的重要部分。人们把这
    段时间描述为“农忙”时节。农民一早出发到秧田去,秧田有时离稻
    田很远。农民必须用船来往运送秧苗,孩子们那时也被动员起来帮助
    工作,但不用妇女。插秧时六七棵秧为一撮插在一起,孩子们的工作
    是把秧递给插秧人,一个人不旁移脚步,在他所能达到的范围内,一
    行可插六七撮,这一行插完后,向后移动一步,开始插另一行。插完
    一片地以后,再从头开始插另一片。在同一块田地,如果同时有几个
    人工作,他们便站成一行同时向后移动。插秧人那有节奏的动作给人
    留下深刻的印象。对这种单调枯燥的工作加点节奏是有益的,为保持
    这种节奏,农民常常唱着有节奏的歌曲。随之发展而成专门的秧歌。
    但这一地区的女子不参加插秧,秧歌流传不如邻区广泛。
    每人一天大约可插半亩,插7亩约共需二周。
    7月已经是夏天了,在华氏80度的气温下,稻的长势很快。这时期
    雨水很多(5.5吋),老天帮忙,为幼秧提供水源。但自然界不总是那
    么可靠的。如果二三天没有雨,秧就需要车水灌溉,这就需要人力。
    如果连续下三四天雨,人们又要忙着车出多余的水。
    和稻混杂在一起的野草有时长得更快。插秧工作刚刚结束一个星
    期,农民便需忙于除草。专用于除草的工具是一片装在竹竿柄上的木
    板,上面有很多钉子,农民手握耙柄,把钉耙向后拉过泥土,便把野
    草拔除。
    除草后,下一件工作便是给土地施肥。肥料有人粪肥,畜粪肥和
    豆饼。黄豆榨油以后剩下的渣,压成豆饼。豆饼被碾成碎片,均匀地
    撒在田地里。
    人粪肥保存在房屋后面的专用的粪坑里。羊粪从羊栏里收集,曝
    露、晾晒,并与草混合以后,撒在田里。不用新鲜粪肥。
    当稻长到相当高度,开花以前,还需彻底除一遍草。这时便只能
    用手来拔草,因钉耙容易伤害作物的根部。为避免伤害稻,农民在大
    腿部系一马鞍形竹筐,他们在泥里行走时,它可先把稻撇开。
    从7月到9月农民几乎都在除草和灌溉,中间有数次短的间歇。工
    作量的大小依据雨量的多少。9月上旬,稻子开花,月底结谷。这一时
    期没有特殊的工作可做,是最长的农闲时节。到10月下旬,某些早稻
    可以收割。长长的弯形镰刀便是收割的工具。割稻时把稻杆近根部割
    断,扎成一捆捆放在屋前空地上。打谷在露天空地或堂屋中进行,把
    谷穗打击着一个大打谷桶的一边,谷子便从杆上落下,留在桶底,然
    后收集起来。打过的稻秆便堆放在路边。
    稻谷被放在一个木制磨里去壳,碾磨转动,壳便与米分开。粗磨
    的米可以出售,再经过一次精磨,才能食用。最后一次碾磨过程完全
    用现代机器进行。旧式工具杵臼已不再使用。

    3.科学与巫术

    在上述农田安排、灌溉与排水、翻土与平地、插秧与除草等农活
    中所用的知识,是通过农民的实践经验的长期积累一代一代传授下来
    的。这是一种经验性的知识,使人们能控制自然力量,以达到人们的
    目的。详细的调查研究会表明这个地区的农业科学发展到如何高的程
    度。上述情况已经说明,人们懂得稻的生长过程中的普通生物原理,
    不同时期所需的水量,植物生理中叶子和根部的作用以及有关水的运
    动、水平面等的物理常识。

    通过他们采用新技术和工具的方式,也可以看到他们对所经营的
    事业采取了一种经验式的方法。对工具的选择完全是从经济和效率原
    则出发的。例如,需要紧急排灌时就用水泵,但作为平时灌溉,花费
    太大时就不用它。

    然而到目前为止,科学只能通过人力的有效控制来支配自然因
    素。自然界中尚有不能控制的因素。譬如对水的基本需要只能通过排
    水、灌溉、筑堤、挖沟等人为的手段进行部分的控制。大部分还是要
    靠雨水。如果雨水太多或太少时,不管人们如何努力使用水泵,稻还
    会枯死或淹死。蝗虫可能出乎意外地突然到来。在这种性命攸关的领
    域,也仅仅在这一范围内,我们发现人们有非科学的信仰和行动。
    这并非意味着人们把雨和蝗虫当作是超自然的表现。他们有气象
    知识。“天气太热时,湖水蒸发太多,气温一有改变,就会下
    雨。”但这些自然现象,人不能控制。它们对实际生活可能是巨大的
    威胁,可能顿时把一切努力化为乌有。在这个关键时刻,人们说“我
    们靠天吃饭”。承认人的力量有限,转而产生了种种巫术,但巫术并
    不代替科学。它只是用来对付自然灾害的一种手段。它不排除其它手
    段。科学和巫术同时被用来达到一个现实的目的。 [30]

    巫术不是一个自发的个人的行动,而是一种有组织的制度。有一
    个固定的人,他拥有魔力并负责施展巫术。其次,有一套传统的礼仪
    来唤起超自然的干预。最后还有一些神话来维护这种礼仪和巫术师的
    能力。

    当遭到水灾、旱灾和蝗灾的威胁时,便要施行巫术。过去每逢这
    种时机出现,人们纷纷到县政府去要求巫术的帮助。按照古老的传
    统,县行政官就是百姓的巫术师。有水灾时,他就到河边或湖边把供
    物扔进水里,祈求洪水退去。干旱时,他就发布命令禁止宰猪,并组
    织游行,游行者带着一切象征雨的用具如伞、长统靴等。有蝗灾时,
    他就带着刘皇的偶像游行。
    以下神话解释了地方行政官担任巫术师的义务以及他担任这一角
    色的效果。在县政府所在地,吴江城北门大约一里开外的地方,有一
    个拜祭张大帝的庙宇,他的生日是阴历二月初八日(第九章第2节)。
    按照人们的信仰,他是很久以前,历史上的一个县行政官。在他任职
    期间,有一次大雨连绵不断,湖水泛滥,造成了水灾的威胁。他便到
    湖边下令退水,把他的鞋、衣服和标志官衔的玉带,一件件扔进水
    里。但是水仍然上涨,雨继续不停地下着。最后,他自己纵身投入水
    中。水灾被征服了。直到现在,据说每当县里发生水灾时,张大帝偶
    像的长袍总是非常潮湿,因为他仍旧在暗暗地履行他的职责。
    就我所知,村里不知道有关刘皇和他的灭蝗的神话。但在吴江附
    近的城镇里,刘皇是人人皆知的。刘皇是一个历史人物。他一生受后
    母的虐待。小时候是一个淘气的男孩,还能施展巫术,一夜,他邀请
    了所有的朋友来赴宴,把他家中的牛全部杀死。清早,他把牛的头和
    尾巴安放得犹如把牛半埋在地下一般。但天快破晓,他尚未安放完
    毕。他命令太阳慢些升起,太阳便又落到地平线下。据说,甚至到如
    今,早上太阳还推迟片刻升起。当他后母发现牛被半埋在地下时,由
    于刘皇的巫术,牛都哞哞地向主人呼叫,摇着尾巴。后母十分恼怒,
    后来便更加残暴地虐待刘皇,直至他死去。他死后,人们仍然相信他
    的阴魂有能力赶走蝗虫。这一神话证明了这个淘气男孩的魔力,也是
    目前人们信仰和施行驱蝗巫术的依据。
    地方行政官的这种巫术师的职能是与现代行政公务的概念相违背
    的。而且,现在的政府认为人民中间的迷信是社会进步的障碍。因此
    政府发布了各种命令禁止任何巫术。所以现今的地方行政官不仅拒绝
    履行人民的巫术师的传统职能,而且还应该执行反对巫术的法律。但
    水灾、旱灾、蝗虫的自然威胁仍然危害着人民。他们的科学知识和装
    备仍然不足以控制许多自然灾害,对巫术的需要依然保留不变。
    一个前地方行政官告诉我这个问题是如何得到解决的。“在人们
    普遍要求对旱灾有所举动的压力下,我不得不发出命令禁止宰猎。我
    认为这是很有用的,因为流行病往往与旱灾俱来,素食能防止传染病
    流行。这是这种信仰的真正的作用。在我缺席的情况下组织了游行。
    强迫人们不抵御旱灾是不利的。”

    只要巫术对人们的生活起着一些有用的作用,尽管政府发出多少
    命令和阐述很多理由,它仍然会存在的。在理论上,从把巫术当作一
    种假科学,并认为它对科学发展是一种障碍,转变到承认它的实际作
    用,对于处理这个问题采取实际态度方面,能给以一些启示。这种事
    情不是命令所能禁止的,只有提供更有效的人为控制自然的办法才能
    消灭巫术。既然目前不可能有完全的科学控制办法,那么在人类文化
    中也难以完全消除巫术。

    4.劳动组织

    谁在田里劳动?在什么情况下农民需要合作?谁和谁合作?形成
    了何种组织?让我们仍然从技术的角度来考察这些问题。把法律上的
    问题留到下一章去探讨。
    我已经讲过,户是基本经济单位。但一户中并不是全体成员都参
    加农业劳动;孩子只是有时候到田地里去,女人完全不参加农业劳
    动。农业主要是男人的职业。男人和女人的这种劳动分工是产丝地区
    的一个特点。它说明了蚕丝工业的发展是产生这种特点的主要因素。
    在家庭缫丝业兴旺时期,女人忙于缫丝时,男人正忙着准备稻田。另
    一方面,从丝业得到的收入可与农业收入比拟。这也使人们有可能靠
    小块农地生活下去。因此农田的大小一直保持在有限的范围内,农业
    所需的劳动量也相应地有所限制。
    为说明村里的劳力和土地是如何恰当安排的,可引用几个统计数
    字。成年男子,实际的或潜在的农业劳动者,年龄在15至55岁之间的
    其总数共450人。如果将2,758.5亩耕地平均分配给劳动者,每人将得
    6.1亩。上文我已经说明了工作速度,稻的生长所需时间,以及得出一
    个人可耕种约6亩地的结论。从技术上来说,我已经表明了使用铁耙耕
    作使得大部分劳动成为非常个体性的。集体工作不比个体劳动增加多
    少收成。效率也不会提高很多。目前的技术已决定了这样大小的一片
    土地需要多少劳动量。因此,我们也有了每个农业劳动者能种多少亩
    地的近似数字。这一事实对土地占有、对农田分散的制度、对分家的
    频率,以及对小型的户都有深远的影响。
    目前,丝业的衰落打乱了传统协调的经济活动。缫丝工业被现代
    工厂接收后,农田的大小仍然同过去一样。由工业变化而剩下的妇女
    劳动力不能为这种小块农田所吸收。这种失调的情况可以从妇女在村
    里闲暇时间较多这一情形中观察到,也可以见之于妇女人口从农村到
    城镇的高度流动性。在邻近的村庄里农田较大,在适应工业变化的新
    情况过程中,妇女劳力被农业所吸收。这说明传统的劳动分工是出于
    实践的安排,而不是由于非经验的原因。它是经济调节的一个部分。
    在男子只靠自己劳动,而农田不能再扩大的情况下,农业是不需要女
    劳力的。唯一需要女劳力的场合是紧急灌溉或排水的时期。控制水有
    时候需要立即行动,女人便毫不犹豫地去车水。
    一户里的男子在同一农田里工作。他们之间没有特殊的分工。每
    个人做同样的工作,除在插秧时,孩子不插秧而是给成人递秧苗。所
    以大部分劳动是个体性的。
    水的调节是需要合作进行的。在灌溉过程中户的成员,包括女人
    和孩子都在同一水车上劳动。在排水时必须把一墐地里的水从公共水
    沟里排出去。在同一墐地里劳动的人是共命运的。因此便出现了一个
    很好地组织起来的集体排水系统。为描述这种系统,我试举两长圩北
    墐为具体例子,加以说明。
    这一墐地有336亩地。在北面边缘有一条通向河A的共同的水沟。
    在出口处有15个车水点。这就是说,可以有15架水车同时工作。每一
    水车需要3名劳动者。墐的每个成员所提供的劳动量,以户为单位,是
    同他所有的土地大小成比例的。派工是以劳动单位来计算的。一个单
    位是在4天内总劳动量的1/3366。15架水车,每车分22.4单位。每个人
    工作4天算作6个单位,提供水车的人和小队管理人算作4.4单位。这种
    计算方法叫作“6亩算起”。这就是说这墐地里每6亩地的土地所有者
    应每天派一个人参加劳动,3亩地的拥有者每隔一天派一个人参加工作
    等等。每墐田,由于大小不同,各有其计算方法。
    墐的成员按照15架水车组织成15个小队。每年由队里一个人负责
    提供水车并管理队的工作。这一职务由队里的成员轮流担任。15个
    队,有一个总管理人。这个职务也是轮流担任的。年初,总管理人召
    集其他14个管理人开会,准备筵席,作为正式开始的仪式。总管理人
    有权决定何时开始或停止排水。
    每逢需要排水时,总管理人向其他管理人发布命令。清晨,这些
    管理人敲着铜锣通知值班人员。半小时以后,如果任一值班人员没有
    到水车前来,在同一水车前工作的另两个人就停止工作,拿着水车的
    枢轴到最近的杂货铺去并带回40斤酒和一些水果、点心等,这些东西
    的费用作为对缺席者的罚款。但如果是管理人没有通知那个缺席者,
    管理人自己必须承担责任。
    排水的集体负责制使得引进现代水泵发生了困难,因为用新式水
    泵需要获得全墐的一致赞同。这种组织将如何适应技术改革的需要,
    还有待于进一步的观察。

    第十一章 土地的占有

    土地的占有通常被看作习惯上和法律上承认的土地所有权。马林诺夫斯基教授指出:“但是,这种体系产生于土壤的用途,产生于与其关联的经济价值。因此,土地的占有不仅是一种法律体系,也是一个经济事实。”“我们能够立刻提出这样一条原则,任何仅从法律的观点来研究土地占有的企图,必然导致不能令人满意的结果。如果对于当地人的经济生活不具有完备的知识,就不能对土地的占有进行定义和描述。” [31]

    “‘对游戏本身一无所知,就不能理解游戏的规则。’这句格言说明了这种方法的本质。你必须首先知道人类怎样使用他的土地;怎样使得民间传说、信仰和神秘的价值围绕着土地问题起伏变化;怎样为土地而斗争,并保卫它;懂得了这一切之后,你才能领悟那规定人与土地关系的法律权利和习惯权利体系。” [32]

    在前一章中,我们已经研究过村民是如何利用土地和水的。现在我们准备讨论土地占有问题。

    1.湖泊、河流及道路

    就水的用于交通来说,它并不为任何人所专有。但是当你进村的
    时候,可以看到在河的入口处装着栅栏,夜间栅栏关闭。作为交通手
    段,河流的使用在这方面受到了限制。这是为了防止坏人利用此交通
    路线,对村民的生命和财产进行威胁。

    另一方面,由于交通航道不是任何人专有的权利,所以,不允许
    任何人阻拦河中的船只,干涉公众的便利。在饮用水及洗涤用水管理
    方面也有同样的限制。丝厂不得不建在河的下游,否则脏水就会污染
    河水,使得他人无法饮用。

    灌溉用水的管理要复杂得多。不允许人们为垄断水源而在河中筑
    堤。这是村民之间经常发生争执的问题,在旱期尤为如此。人力引人
    农田的水属于参加这项劳动的人所专有。为了从较高的地块“偷”水
    而掘开田埂是不允许的。但一块地可能属几个人共有,每人各占其中
    一部分。由于各人占有的各部分之间没有田埂隔开,所以水是大家分
    享的。在这种情况下,根据这块田地上各人地片大小不同来公平分配
    每个人在灌溉中应付出的劳动量。最重要的一点是,这块田的地平面
    要保持平坦,为的是使水的分配公平。这是产生争论的又一个起因。
    我目睹了几起这样的争执。因为每个人都想降低他那部分的地面,以
    有利于水的蓄留。

    水中的自然产品包括鱼、虾和水藻。水藻可用来肥田。所有水产
    是村子的共同财产。这就是说,村里的居民对于这些水产享有平等的
    权利,其它村庄的人们则排除在外。为了说明其涵义,可以引用以下
    的例证。

    1925年,周村长把村西的湖中捕鱼的权利租给了湖南省来的人。
    这是由于那时村庄需要钱来修理河上自卫用的栅栏。签订合同以后,
    周向村民宣布,今后不得有人去该湖捕鱼。村民遵守了这个协定。我
    在村里的时候,发生了一起争端。那些湖南人抓获了一条捞虾的船,
    把渔民押送到城里警察署,控告他们偷窃。周抗议说,租给湖南人的
    不是那个湖,而是在湖中捕鱼的权利,这个权利不包括捞虾的权利。
    最后,被抓的人获释。

    村民还要阻止外来者在河里采集水藻。

    在村内和村周围水中采集自然产品的权利由村民共享。但捞获的
    鱼和水藻是属于捞获者专有的财产。

    田埂和公共道路,就交通用途而言,像水路一样,不是任何人的
    特有财产。任何人不得拦阻公共道路或田埂上行走的任何其他人。但
    是道路和田埂也用来种菜。这种道路和田埂的使用权,是对此有特殊
    权利的家所专有的。因为公共道路要通过各家门前的空地,这空地是
    用来堆放稻草、安放缫丝机和粪缸、安排饭桌、晾衣服的地方,所以
    这个问题比较复杂。每一家都有把道路作这些用途的特权。

    2.农田的所有权

    所有农田都划分归各家耕种。在我们讨论农田所有者之前,必须
    为农田所有制的概念下一个明确的定义。

    根据当地对土地的占有的理论,土地被划分为两层,即田面及田
    底。田底占有者是持土地所有权的人。因为他支付土地税,所以他的
    名字将由政府登记。但他可能仅占有田底,不占有田面,也就是说他
    无权直接使用土地,进行耕种。这种人被称为不在地主。既占有田面
    又占有田底的人被称为完全所有者。仅占有田面,不占有田底的人被
    称为佃户。我将只按照以上定义使用这些词语。

    无论是完全所有者还是佃户,只要是田面的所有者,就能自行耕
    种土地;据此可以把这种人与不在地主区别开来。这种人也能够把土
    地租给他人,或雇工为自己种地。承租人有暂时使用土地的权利,他
    也能雇工。根据以上情况,拥有田面权利的人可以不是土地的实际耕
    作者。因此我们必须把实际耕作者、田面所有者以及田底所有者区别
    开来。对于同一块土地,他们可以是同一个人,也可以是不同的人。
    所有这些人都对土地的产品有一定的权利。田底所有者可以要求
    佃户交地租。田面所有者可以要求承租人交租。雇工可以从雇主那里
    取得工钱作为劳动的报酬。无论土地的实际收成如何,不在地主、出
    租者以及雇工分别取得固定的地租和工钱。所以,完全所有者、佃户
    和承租者就要承担风险。后者(有时雇工除外)也是农具的所有者。下表对以上几点进行了归纳。

    3.雇农及小土地出租

    田面所有权通常属于家这个群体。家提供男子到田里劳动。但有
    时它也许不能提供足够的劳力,这就产生了雇农制度。从事这种劳动
    的人是长工。长工住在雇主家里,得到食宿供应。每年付给长工80元
    的工钱,在新年农闲期间有两个月的假期。在需要短期劳动力的时候
    就雇用短工。短工住在自己家中,自供膳食。短工通常有自己的土
    地,只有当他们完成了自己的工作后才受雇。

    长工出卖自己的劳动力,不拥有生产工具,偶有锄头。长工来自
    那些土地太少,以至劳力有余的家庭。尤其是那些需要钱娶妻的人,
    他们愿意为别人做几年长工。我没有遇到过一辈子都没有土地的人。
    这个村庄中的雇工总共只有17人(第六章第1节)。这说明,在这个村
    子的经济生活中,雇工制度不起重要作用。如果我们考察一下人口统
    计数字,这个现象就能得到解释。前面已经提到(第三章第3节),任
    何一家只要其占有的土地在平均数以上,这家就很可能有较多的孩
    子。孩子长大之后就要分家产。换句话说,家中原来就不多的劳动机
    会,在人口压力和亲属关系的意识之下,更加减少了。况且也没有迹
    象表明人们要离开自己的土地去寻求其它职业,而同时又雇工来耕种
    土地。首先,这是由于职业分化的程度很低(第八章第1节),其次,
    是由于土地附有特殊价值(下一节),最后一点是,由于城里的工业
    不发达。

    小土地出租制度也是非常有限的。出租土地大多是因为家里的男
    人死亡。孤儿寡母无力耕种土地。小土地出租与佃租是大不相同的。
    出租者保留土地的所有权。合同有一定的期限。出租者可以自由选择
    承租人,在合同期满时,可以更换承租人。
    将这里的情况与华南的情况相比较是很有意思的。华南的雇工与
    无地的贫农为数较多,土地出租制要复杂得多。 [33] 这似乎是由于华
    东不在地主制的特点,即“永久性佃权”制的存在;而在华南,已经
    消失了。接着让我们来考查一下不在地主制。

    4.不在地主制

    为了研究不在地主制度,必须首先考查土地所附有的价值。土地
    的基本作用是生产粮食。但土地不仅仅是生产粮食的资料。

    土地的生产率随着人们对农田的照料和投入的劳动量而波动。而
    且人只能部分地控制土地,有时会遭到出乎意料的灾情。因此,对人
    们的期望来说,土地具有其捉摸不定的特性。恐惧、忧虑、期待、安
    慰以及爱护等感情,使人们和土地间的关系复杂起来了。人们总是不
    能肯定土地将给人带来些什么。人们利用土地来坚持自己的权利,征
    服未知世界,并表达成功的喜悦。

    尽管土地的生产率只能部分地受人控制,但是这部分控制作用提
    供了衡量人们手艺高低的实际标准。名誉、抱负、热忱、社会上的赞
    扬,就这样全都和土地联系了起来。村民根据个人是否在土地上辛勤
    劳动来判断他的好坏。例如,一块杂草多的田地会给它的主人带来不
    好的名声。因此,这种激励劳动的因素比害怕挨饿还要深。

    土地,那相对的用之不尽的性质使人们的生活有相对的保障。虽
    然有坏年景,但土地从不使人们的幻想彻底破灭,因为将来丰收的希
    望总是存在,并且这种希望是常常能实现的。如果我们拿其它种类的
    生产劳动来看,就会发现那些工作的风险要大得多。一个村民用下面
    的语言向我表述了他的安全感:地就在那里摆着。你可以天天见到它。强盗不能把它抢走。窃贼不能把它偷走。人死了地还在。占有土地的动机与这种安全感有直接关系。那个农民说:“传给儿子最好的东西就是地,地是活的家产,钱是会用光的,可地是用不完的。”

    的确,获取食物的方法很多。可是人们不愿意拿自己的土地去和
    其它资料交换即使其它的生产率更高,他们也不愿意。他们确实也从
    事其它职业,例如丝业和渔业,但农业始终是村里的主要职业。

    对于情况的分析越深入,这个问题就越明显,土地不仅在一般意
    义上对人们有特殊的价值,并且在一家所继承的财产中有其特殊价
    值。土地是按照一定的规则传递的(第四章第3节)。人们从父亲那里
    继承土地。起源于亲属关系,又在对祖先的祭祀中加深的那种情感,
    也表现在对某块土地的个人依恋上。关于绵续后代的重要性的宗教信
    仰,在土地占有的延续上得到了具体表现。把从父亲那里继承来的土
    地卖掉,就要触犯道德观念。“好儿子不做这种事。这样做就是不
    孝。”这种评论总结了这一传统观念。

    一直在某一块土地上劳动,一个人就会熟悉这块土地,这也是对
    土地产生个人感情的原因。人们从刚刚长大成人起,就在那同一块土
    地上一直干到死,这种现象是很普通的。如果说人们的土地就是他们
    人格整体的一部分,并不是什么夸张。

    土地的非经济价值使土地的交易复杂化。虽然土地具有非经济价
    值,但从任何意义上讲,它都没有失去其经济价值。在感情和道德上
    对于出卖土地的反应,并不完全排除土地交易的可能性。人们有时急
    需用钱,经济紧张迫使人们把土地当做商品对待。除了在真正压力很
    大的情况下,我没有发现其它转让土地的事例。即使在那时,出卖土
    地也要通过转弯抹角的形式来完成。

    一个急需用钱的人,不管是纳税还是交租,都要被迫向放债者借
    钱。在一定时期之后,如果借款者无力偿还本金及利息,他就被迫把
    土地所有权(限于田底所有权)转交给放债者。 [34] 实际上,这种交
    易对于借款者没有什么意义,因为在日益加重的利息负担下,借款者
    很难有希望偿还债务。偿还高利比交付定租还要难以忍受。

    事实上,从每年偿付利息变为每年交付租金,对负债者而言并无
    很大差别。我遇到一例情况,有关的人甚至还不理解这种改变的意
    义。“我借了他的钱,他占了我的地。我没有希望赎回我抵押出去的
    地。我付给他的钱到底是租还是利,这又有什么关系呢?”
    当地的土地占有理论,进一步掩盖了这种差别。佃户保留着他的
    田面所有权。这个权利不受田底占有者的干涉。按这种惯例,佃户的
    权利得到了保护,不受田底所有者任何直接的干涉。 [35] 佃户的唯一
    责任是交租。根据法律,如果佃户连续两年交不起租,地主即可退
    佃。但该法律并不适用于惯例至上的地方。 [36] 逐出佃户的实际困难
    在于寻找一个合适的替换者。不在地主自己不耕种土地。如果由外村
    人来挤掉本村人的位置,那么这些外村人也不会受到本社区的欢迎。
    只要是有正当的理由交不起租,村民们是不愿意卡同村人的脖子的。
    在这种情况下,抱着将来收回租子的希望,宽容拖欠是符合地主利益
    的。这种情况并不会对地主的地位造成真正的威胁,因为,只要有可
    能交租时,就有规定的制裁办法迫使佃户还租。
    按以上分析,在土地占有问题中的几个重点已经明确了。村里土
    地的实际耕种者(雇工除外)保持不变,甚至在田底所有者变更后仍
    然如此。因为放高利贷被认为是不道德的,所以邻居不可能互相压
    榨。不在地主制度仅仅出现在农村和城市的关系之中。田面所有权一
    直保留在村民的手中;即使是住在村里的外来户也难以成为田面所有
    者,即土地的耕种者(第二章第5节)。
    城镇和村庄之间发生密切的金融关系的结果,使上述不在地主制
    度获得了新的意义。R.H.托尼教授正确地说道:
    “看来,在某些地区
    正在出现……不在地主阶级。这个阶级与农业的关系纯属金融关
    系。” [37] 他又说道:“也不应忘记,土地的名义占有者常常和放债
    人的佃户差不多。” [38]

    田底所有权的这一变化实际上意味着城镇资本对乡村进行投资。

    这样,城镇市场中的土地价值与土地的真实价值相差甚大。从地主的
    观点来看,土地的价值寓于佃户交租的能力之中。土地的价格随着可
    供土地投资的资本量以及收租的可靠性而波动。于是,土地的市场价
    格不包含田面的价格。正如我的情况提供者所说,如果他的地主想要
    种地,地主就得向他购买田面。因为从来没有听说过这种事,所以无
    法计算田面的价格。

    田底所有权仅仅表明对地租的一种权利,这种所有权可以像买卖
    债券和股票那样在市场上出售。田底所有权可以属于任何法人,不论
    是个人、家族或政府。这个所有权可能是私人的,也可能是公共的。
    但在这里我们不能详加探讨,因为这需要进行超出我们目前范围的调
    查。 [39]

    交租的可靠性是不在地主制度发展的一个重要条件。由此导致考
    察收租的方法和佃户对交租的责任所抱的态度。由于城里土地(即田
    底)市场的交易自由,地主和他们占有的土地之间的个人关系缩减到
    最小的程度。大多数不在地主对于土地的位置、土地上种的庄稼、甚
    至对于交租的人都一无所知。他们的唯一兴趣就是租金本身。

    收租可以有各种各样的方式。最简单的一种是直接收租,地主亲
    自到村子里来收租,但是这种方式的效率不很高。地主跑到各村去找
    佃户要花时间和力气,大多数地主不愿意自找麻烦,加之,地主与佃
    农的直接接触有时反而阻碍了收租的进程。佃户可能很穷,一开口就
    要求免租或减租。另一方面,若是这个地主属于老的文人阶层,他有
    时会受人道主义教育的影响。我知道几件地主不愿勒索佃农的事。传
    统道德与寄生虫生活之间的冲突,有时使这些地主绅士们的乡下之行
    只能得到精神上的满足,而得不到足够的钱来纳税。但这种直接收租
    的方式限于少量的小地主,大多数地主通过他们的代理人收租。
    家产大的地主建立自己的收租局,而小地主则与大地主联合经营,租款分成。收租所被称做“局”。佃户不知道,也不关心谁是地主,只知道自己属于哪个局。

    佃户的名字和每个佃户耕地的数量,收租局均有记录。在阳历十
    月底,收租局就会通知每个佃户,当年该交多少租。通知由专门的代
    理人传达。这些代理人是租局雇用的,并且县政府把警察的权力交给
    他们使用。这样,收租局事实上是一种半政治机构。

    在确定收租数量之前,地主联合会举行一次会议,根据旱、涝情
    况,商定该作何项减免,并决定米租折合成现金的兑换率(地租是以
    稻米数量为标准来表示的,但以现金交付)。这个兑换率并不是市场
    上的兑换率,而是由地主联合会独断专行的。贫农必须卖米换钱交
    租,并且往往正值通常市场上米价较低的时候。租米和租款的双重作
    用更加加重了交租者的负担。

    对于不同品质的土地,地租被分为九等。平均每亩地约交2.4蒲式
    耳租米。这等于土地全部产米量的40%。

    在村里,租金交付到租局代理人的手中。这是本村独特的作法,
    与本县中其它地方不同。交租的实际数量并不一定与收租通知上写明
    的数量相等。正如一个老代理人告诉我的:“村里的人不识字。他们
    不知道怎样把米折算为钱。没有收据之类的东西。”如果佃户拒不交
    租,代理人有权力把他抓起来关到县政府的监狱里去。但如果佃户真
    的没有能力交租的话,就会在年底得到释放,把他关在狱里无济于
    事,反而荒了田地,无人耕种。

    更加详细地叙述收租方法,就会超出目前的研究范围,但注意佃户对于自己责任的不同态度,是令人感兴趣的。

    按老年人的看法,交租被认为是一种道义上的责任。正如有些老人说的:“我们是好人,我们从不拒绝交租。我们就是穷,也不会去偷东西,我们怎么会拒绝交租呢 ?”——“ 你为什么要交租呢?”——“地是地主的,我们种他的地,我们只有田面。没有田底,就不会有田。”这些习惯规定的约束力是适合于维护这个制度的,不仅是对于监禁的恐惧心理才使得佃户履行职责。佃户不交租是由于遇到了饥荒、疾病等灾难,佃户对这些是没有责任的。一个好心的地主,这时就会同意减免地租。

    最近局势正在发生变化。乡村地区的经济萧条已使得地租成为贫农的沉重负担;对地主来说,从地租得到的收入极易受到责难。农民对有关土地制度的一些新思想比较容易接受。“耕者有其田”是已故孙中山先生提出的原则,至少在理论上已被现政府接受。 [40] 在共产党人和其它左派团体中,正传播着一种更加极端的观点。所有这些思想都已对上述的制裁措施发生了影响。交不起租的贫农现在感到不交租是正当的,那些交得起租的人则先观望是否要强迫他们交租。在地主方面,他们必须采取强硬措施来维护自己的特权,他们也不再把可用的资本放在农田上了。结果是佃户与地主间的冲突加剧,乡村经济发生金融危机。县监狱中不断挤满了欠租者。贫农组织起来采取行动,拒绝交租,与政府支持的地主发生了严重冲突。在华东,1935年发生了农民起义,导致了苏州附近农村中的许多农民死亡。土地价值迅速贬值,村子里全部财务组织濒临险境。这个局势在中国具有普遍性。局势最严重的地方是华中,以上问题已表现为中国的苏维埃政权与中央政府间政治斗争的形式。但在我们所述的开弦弓村,问题尚未如此尖锐。较好的天然条件以及乡村工业改造的部分成功,起了缓冲作用。有利于交租的那种约束力仍然在起作用。

    5.完全所有制

    只有当城乡金融关系密切的时候才出现不在地主制。与城镇资本
    在乡下的投资相应,农田的田底所有权落到了城里人的手中。目前,
    该村约有三分之二的田底被不在地主占有,余下的三分之一仍在村民
    手中(对于这点,我不能提出精确的统计数。此估计数是我的情况提
    供者提供的)。村民自己也可以出租土地,也可以雇工,但只是从未
    获得过田底所有权。完全所有者、承租者以及佃户并没有形成轮廓清
    楚、严密的阶级。同一个家可能拥有家里一部分土地的全部权利,可
    能承租或出租土地的另一部分,也可能还有一部分土地属于不在地
    主。每家实际耕种的土地量取决于可用的劳动量。因为每家的男性成
    人人数差别不大,所以每家耕种的土地量也相差无几。但如果我们来
    了解一下每家耕种自己土地的程度,或者说每家有多少土地是完全属
    于自己的,我们就会发现这个差别是可观的。村公所向我提供了下列
    估计数:

    根据这个估计,村中自己有地不到10亩(1.5英亩)的人口约为90%。他们有剩余的劳动力,但没有足够的土地。这样,他们就成了承租者或佃户。

    理论上讲,佃户无交税的责任。土地税由田底所有者承担。但实
    际不然,此地的税收制有些特殊,与本县其它地方不同。

    我从前地方行政官那里得到了以下解释。在清朝末年,政府试图
    对纳税者进行登记,但没有完成。这个地方的税款每年一次分派给每
    一圩的耕种者,指定他们缴纳一定的数额。每圩中有地20亩以上的一
    个耕种者负责征收此款额。此工作由每圩中的各位合格者轮流担任。
    政府对收税人分派税款的方式不加干涉。

    每一圩交税的数额取决于该圩的面积。但由于土地最近才得到测
    量,土地的登记尚未完成,所以现在还是根据当地收税者的估计来决
    定其面积。这个估计不是严格地根据土地的实际大小做出的,而是根
    据交税人的能力做出的。无论收税人实际收到多少税,他必须向政府
    上交估定的数额。为了避免他自己必须补足缺额的危险,收税人便以
    土地荒芜为借口,提出较低的估计。遇到水旱灾情,他就会请求政府
    减税(这种请求以前是与祈祷神明相助联系在一起的)。

    于是,税款负担的实际分派并不严格。收税者可根据人们的能
    力,通情达理地分配负担。诚实与平等的观念可以防止这种非正规工
    作中可能发生的弊端。

    按目前实行的办法,佃户实际上没有免除交税的责任。关于这一
    点,我没有确定的资料来表明实际的分派是怎样进行的。

    在土地的测量和登记工作完成之后,政府将根据每一个土地所有
    者拥有土地的实际面积征收税款。通过这一措施,传统税制很可能发
    生变化。佃户的纳税负担可能解除,但在税率不降低的情况下,肯定
    要使总税额增加,这是因为以前上报的土地面积总是小于测量面积
    的。村民意识到了这个可能性,经常想方设法破坏政府的行动。目
    前,这个问题还远远得不到解决。

    6.继承与农业

    在第三章中,我推迟了对这个问题的论述,即在家产的传递过程
    中,土地实际上是如何划分的。这是由于谈这个问题需要预先了解土
    地的占有制。另一方面,如不考虑亲属关系这一因素,在土地占有及
    农业技术方面仍有些问题尚不明了。在这一节,我想把土地占有和农
    业与亲属关系联系起来。

    让我们仍以前面章节中一父两子的分“家”为例。此例中土地被
    划分为三个不相等的部分。让我们假设:在分家前,这家有一片农
    田,包括相连的A、B、C、D共四块。因为这四块地距河流的远近不
    同,所以它们的价值亦各不相同。按照规矩,父亲可以挑选自己那一
    份。假设他选中了田块A和田块B的一半,这半块可以沿着地头平行划
    分。田块B的其余一半分配给大儿子,作为额外部分。剩下的两块田两
    兄弟均分。为了保证分配平均,必须使分界线垂直于地头,每个儿子
    取一条。如果父亲死了,他那一份地还要再分配,划分方式同上。下
    图说明了此例土地划分情况:

    这些划分线,或土地分界线,并不一定要同调节水的田埂一致。
    这些分界线是非实体的,在田块两端的田埂上栽两棵树,用来作为分
    界标志。遗产的各次相继划分,结果使个人占有土地的界线变得非常
    复杂。农田被分为许多窄长的地带,宽度为几米。

    在中国广大地区都可见到农田的分散性。这个村子亦不例外。虽
    然不能认为频繁的土地划分就是农田不相邻的起源,但这种划分确实
    加大了土地的分散程度。每“家”占有相隔甚远的几条带状田地。从
    一条地带到另一条地带,有时要乘船20分钟。根据情况提供者的估
    计,极少有面积在6亩以上的地带。大多数地带不超过1—2亩。目前,
    每一家有3至7条地带。

    狭窄的地带和分散的地块妨碍了畜力的使用,也妨碍了采用其它
    集体耕作方式。这是中国农业技术落后的首要原因。

    再者,一块田地可能有好几个所有者,而每人只对自己那一条地
    带负责。我们已经看到过这种情况怎样引起了用水方面的频繁争执。
    每家土地面积窄小,限制了抚育孩子的数量。另一方面,土地相
    对较多的农户生养较多的孩子,从而在几代人之后,他们占有土地的
    面积就将缩小。在这些条件之下,人口与土地之间的比例得到了调
    整。

    第十二章 蚕丝业

    蚕丝业是这个村里的居民的第二主要收入来源,这是太湖一带农民的特点。农民从事家庭蚕丝业已有几千年的历史。但近十年来,由于上面已讲过的原因(第二章第3节)有所衰退,并引进了蚕丝业的新改革。蚕丝业的衰落深深地影响了农村人民的生活。政府和其它机构已经作了各种尝试来控制这个变化,以减轻或消灭其灾难性的后果。

    我们所研究的村庄,是蚕丝业中心之一,它为我们分析这一过程提供了典型的例子,同时,由于江苏女子蚕业学校已经开展了改革蚕丝业的实验。因此对于这样一个有意识地进行经济改革过程中所遇到的各种可能性和困难进行观察更具有特殊的意义。

    1.变迁过程图解

    目前所作的分析将把影响情况的各种不同力量考虑进去。力量可分成两类:促使变化的外界力量和承受变化的传统力量,这两种力量的互相作用导致了情况的变化。因此变迁过程,可以三栏图解表示如下 [41] ,图表中所列的项目将在以下各节讨论。

    2.促进工业变迁的条件

    为了对农业在家庭经济中的相对重要性作恰当的估价,我们必须再注意一下在上述章节中已经提到过的一些事实。平均一户拥有土地约10亩(第三章第3节)。在正常年景每亩每年可生产6蒲式耳的稻米。对拥有平均土地量的农户来说,总生产量是60.36蒲式耳。平均一家四口,需直接消费米33蒲式耳(第七章第5节),所以有27.36蒲式耳余粮。新米上市后,每蒲式耳米价约2.5元,如把余粮出卖约可得68.4元。但一个家目前的开支需要至少200元(第七章第8节)。显然,单靠农业,不能维持生活。每年家庭亏空约为131.6元。佃农情况更为悲惨,而村民中大多数是佃农(第十一章第4节)。佃农按平均土地拥有量,必须向地主交付相当于总生产量的40%,即24蒲式耳米作为地租。剩余36蒲式耳仅仅够一户食用。

    因此,很明显,为维持正常生活所需,包括日常必须品、礼节性费用、税和地租以及再生产所需的资金(C栏Ⅰ项)等,辅助企业是必不可少的。缫丝工业兴旺时,生产生丝,可使一般农户收入约300元,
    除去生产费用可盈余250元(当地生丝最高价格每两超过1元,一般农户总生产量为280两。生产成本约50元。工资在外)。在这种情况下,生活水平要比上述预期最低水平高得多(第七章第8节)。这样,农民
    便有了一些钱可以开展各种文娱和礼节性活动。这种活动已停止了约十余年。

    当地生丝价格下跌。1935年3两丝约值1元。生产量没有任何降低,但一般的户仅能获利45元。在这种情况下,用传统生产技术所获利益便难以平衡家庭预算。下一章我将叙述如何引进新的工业,村民如何尝试扩大商业活动来增加收入。很多人不得不在冬天出售存粮来维持生活,夏天到粮店借粮(第十五章第3节)。遇紧急需要时,他们不得不向高利贷者求援(第十五章第4节)。另一方面,他们试着削减
    非必需的开支,例如娱乐性聚会、婚事开支等(B栏Ⅰ项)。

    农民收入的减少不是由于他们的产品质量下降或数量减少的缘故。村民生产同样品种,同等数量的生丝,但从市场上不能赚回同等金额的钱。当然,影响生丝价格的因素来自外界,我在此仅举两个最重要的因素,即战后世界经济萧条以及家庭缫丝质量不匀,不适合高度机械化的丝织工业的需要(A栏Ⅰ项)。

    3.变革的力量及其意图

    生丝价格低落及贫困加剧两者之间的关系,人们已经清楚。开始为了恢复原有的经济水平,他们试图发现技术上需要什么样的变革。

    但他们的知识有限,靠他们自己并不能采取任何有效的行动,发起和指导变革过程的力量来自外界。

    在这种情况下,发起单位便是苏州附近浒墅关的女子蚕业学校。它对后来的发展起着深远的影响,当然这是来自村外的一种因素。

    中国的技术学校,是传播现代工业技术的中心。现代技术主要来自国外,至于缫丝工业则主要来自日本。这是中国和西方文明接触的结果,种典型的接触情境。技术学校在执行任务过程中的困难是,除非新技术为人民所接受,否则单靠它本身,事业并不能开展。从这方面来说,受过训练的学生找不到职业便反映了这种失败。蚕丝业的情况最尖锐。蚕丝业,特别是养蚕的过程,是村里的一种家庭副业。为了使进步的技术为人们所接受,并为学生找到职业,村庄的工业改革便成为技术学校迫切需要解决的问题。技术学校不能停留在纯教育机构的性质。因此,蚕业学校建立了一个推广部门,负责在农村地区传播新的技术知识。

    变革力量的性质如何是重要的,因为它决定变革的计划。它制定应付形势的措施并组织行动。它对形势的理解是行动的前提。但变革力量受其社会环境影响,对形势所作的阐述往往不能代表现实的全貌。 [42] 再回头来说这个村庄,生丝价格下跌的原因是多方面的。世界经济的资本主义结构,帝国主义国家之间的斗争,被压迫国家的政治地位以及摩登女郎新近获得的赤脚审美观等等,这一切都可能直接或间接成为中国农村生产的生丝价格下跌的原因,但变革力量不会把这些全部都考虑进去。由于当前的变革力量是蚕业学校,对情况的阐述是从技术因素来考虑的。村里负责改革计划的人对我讲了以下情况。

    用传统方法养蚕,在最坏的年景里,只有30%的蚕能成活到最后阶段并结茧。蚕的吐丝量
    少。这种不能令人满意的情况是由于对蚕的病毒传播没有预防措施。蚕蛾通过接触把致病的微
    生物带给蚕卵。这样,病毒便一代代传下去,无法控制。喂养新蚕前,房屋和器具未经消毒。
    一旦房屋被病菌污染,蚕便连年闹病。病蚕或死蚕被扔在桑树下。人们以为死蚕可用作桑树的
    肥料,但实际上它们传播细菌,由桑叶把细菌带到养蚕的房子里。(C栏,Ⅲ项,A.1)
    蚕生长过程中的重要条件,温度和湿度得不到调节。按照习惯,不管气候有何变化,蚕
    第三次蜕皮后就停止烧火。村里桑树不足,人们必须从邻村购买桑叶。由于运输困难,他们往
    往把干萎的桑叶喂蚕。喂食的质量和次数都没有规则。即使那些没有感染病毒的蚕也不健康,
    不能结出好的茧子。(C栏,Ⅲ项,A.2)

    缫丝的基本原则是把蚕茧的丝纤维抽出来,把数条纤维合成一根丝线供纺织用。旧式缫丝机器分成三部分:煮水的炉子,绕丝线的轮子,和连着踏脚板的旋转轴。当纤维合成一股丝线后,用脚踏板,使轮子转动,抽缫丝线。用热水可以把蚕茧的粘性物溶解。但水温不稳定,因此溶解的程度不匀。这不仅影响丝的光泽而且影响纤维的折断率。轮子转动,同时从几个蚕茧抽丝。丝线的粗细取决于合成的纤维数目。从蚕茧的不同层次抽出来的丝,粗细不同。为保持丝线粗细的匀称,必须保持抽取固定数目的纤维,并不断地
    调整从不同层次里抽出来的纤维。手工缫丝不易达到这一目的,因为首先,纤维折断率高,第二,轮子转动不均匀,第三,工人没有受过专门训练。(C栏,Ⅲ项,A.3)生丝是纺织工业的原料。既然农村生产的生丝大部分出口,它就必须与西方国家的纺织工业技术发展相适应。高度机械化了的纺织工业为生丝规定了一个新的标准。粗细程度必须一致,而且有精确的规定。断头现象必须减到最少程度。这样的要求,用传统手工缫丝是不能满足的。结果是,村民生产的生丝不适用于改进了的纺织工业。西方纺织工业对这种生丝需求下降,因而价格下跌。这也就是为什么我们必须把科学方法引进村里的原因。(A栏,Ⅲ项,A.3)

    但如果没有社会组织的相应变革,技术变革是不可能的。例如,轮子平稳的转动只有通过中心动力有规则的机械运动才能达到。为了改进技术,引进蒸汽引擎,必然引起一种从家庭个体劳动到工厂集体
    劳动的变革。电力的使用,又可能使生产过程分散,从而需要工业之
    间复杂得多的协作。在一个集体企业系统下,生产资料和劳动之间的
    关系也变得更加复杂。为了生产,引进新的社会组织,变革力量也必
    须传授新的社会原则。在组织新工业中选择社会原则也与变革力量的
    利益相关。蚕业学校对本身盈利不感兴趣,因为它不是一个企业机
    构。那么工业改革使谁得益呢?变革者的回答是人民。新工业组织的
    原则是“合作”(A栏,Ⅳ项,B.2)。变革者对变革的正确解说如
    下:

    机器用来增添人类的幸福。不幸的是,它被用来为相反的目的服务。但我仍然相信,试
    图把这些工具引进中国的改革者的责任,是寻找一种正当的办法使用机器。对我来说,最重要
    的是,人不应该成为机器的奴隶。换句话说,把机器当作一种生产资料的人应该拥有机器。这
    就是为什么我坚持合作的原则。要按照资本主义的方式来组织新的工厂容易得多,但我为什么
    要这样做呢?我应该为资本家的利益工作而使人民更加痛苦吗?从技术改革所得到的利益应该
    归于参加生产的人们。

    我的另一个信念是,蚕丝工业曾经是而且应该继续是一种乡村工业。我的理由是,如果
    我们把工业从农村引向别的地方,像很多工业家所做的那样,也是非常容易做到的,农民实际
    上就会挨饿。另一方面,我也很了解,工人们在城市里是如何生活的。农村姑娘被吸引到城市
    工厂去工作,挣微薄的工资,几乎不能养活自己,她们离开了自己的家。这种过程既损害了城
    市工人又破坏了农村的家庭。如果中国工业只能以牺牲穷苦农民为代价而发展的话,我个人认
    为这个代价未免太大了。

    我工作的目的是,通过引进科学的生产技术和组织以合作为原则的新工业,来复兴乡村经济。

    变革者趋向社会主义的思想代表了当前中国知识阶级的部分思想状况。这是同西方的现代技术和资本主义工业系统一起引进的新看法。中国人民在世界经济中的地位以及同西方列强的不断斗争,为传播社会主义思想创造了有利条件。正如中国人民所了解的,公众普遍反对资本主义,甚至于那些代表资本主义的人也不敢公开为资本主义的原则辩护。这种态度在已故孙中山先生的“三民主义”里阐述得很清楚,从理论上说,它被现今政府所接受并作为国家政策的指导原则。

    另一方面,社会主义思想在中国并非新的东西。孙中山先生的基本政治思想是实现传统的教导,诸如“天下为公”和“耕者有其田”。(C栏,Ⅲ项,B.1)

    4.当地对变革的支持

    我们已经看到,蚕业学校由于在村外,因此仅仅是一种潜在的力量。为把潜在力量转变成现实力量,还需要另一个因素,学校和村民之间没有直接的社会关系。占有新知识的群体没有直接使用知识,而需要这种知识的群体又没有机会获得知识,要使变革力量在村中起作用,中间必须有一座桥梁,这是重要的。当地领导人是充当这个桥梁的角色。

    根据合作工厂已公布的报告,主动在于当地领导人一边。可以引陈写的一席话来说明。

    江苏以产丝著称,但这一工业更多地依赖自然因素而不是人的力量,结果是农民在丝业
    中失败了。这经常损害人民。鉴于这种情况,我(陈)和沈先生(震泽镇的一个领导人)在
    1923年的夏季例会中向镇改进社建议,应设立一个教学中心以便改革养蚕方法。建议获得批准
    后,拨款600元来筹办此事。

    恰巧蚕业学校的校长,也因生丝价格下跌正想为改革缫丝工业传统技术开办一个附设的
    推广部门。当年冬天,他由费女士和胡女士陪同来到开弦弓,并讲了一些课。人们都非常感兴
    趣。然后,镇改进社的主席根据决议,授权校长组织拟议的教学中心。校长同意与镇改进社合
    作,资助这一计划并决定就地在开弦弓开始工作。

    除了我自己的家庭以外,我还把过去由于丝业的不断失败而受苦的20家召集在一起。改
    革工作于1924年春开始了。 [43] 我已提过,村长的职务不是世袭的。除了他的服务对社区
    有用以外,他的权威没有其它的凭藉(第六章第4节)。他的一项最重要的职能是了解当地的
    需要,采取必要的措施来实行领导。村长的职务没有经济报酬,但通过为村里做一些特殊的工
    作,他可以得到经济上的收益。这就是陈支持蚕业改革计划的意愿。(B栏,Ⅱ项,A及B)
    当地领导人的地位,通过丝业改革加强了,这从周的情况来看更
    为明显。在丝业改革以前周没有什么社会影响。由于他识字,有能
    力,他成为这项工作的助手并提高了声望。最后,他被高一级的行政
    管理机构任命为乡长(第七章第5节)。他的社会地位是通过参加这项
    改革计划而获得的。

    在解释村长在社会变革中为什么不是一股反对改革的力量时,上
    述分析有重要参考价值。在最初阶段没有人积极反对改革。蚕业学校
    作了情况会得到改善的允诺,在人民一方面则抱着希望。

    蚕丝价格的急剧下跌迫使人民接受对传统丝业的某些改革。但他
    们缺乏阐明情况的知识和缺乏制定变革计划的知识(C栏,II项)。他
    们对已经提出的计划所要达到的要求也缺乏判断能力。新的技术虽然
    已被证明有用时,人们一方面准备接受改革,一方面还在怀疑新鲜事
    物。这就是为什么一开始参加这项计划的仅有21户,正如该报告具体
    说明的那样,这些户用传统技术操作时遭受了惨痛的失败。但总起来
    说,只用了两年工夫便把整个村子纳入蚕业教学中心的指导。

    5.养蚕的改革计划

    如同我已经解释过的,改革者的主要目的是从技术上改进农村企
    业,但是对文化的某一方面进行变革,自然会引起其它诸方面的变
    化。这样的过程一旦开始,便会继续下去,直到整个系统完全重新改
    组为止。在研究社会制度之间的功能关系时,研究变迁的顺序是特别
    有意义的。

    改革计划是沿着蚕丝业的自然过程向前推进的。这是从蚕蛾产卵
    生产蚕种开始,接着是孵化,养蚕、收集蚕茧,从农村来说,到缫丝
    作为结束。关于市场销售问题,将在以后章节中讨论。

    生产蚕种的科学知识可分成两个部分,即通过实验杂交,培育良
    种,以及通过显微镜检查,分离受感染的蚕种。过去,人们是通过他
    们自己喂养的蚕的纯系繁育生产蚕种的。这也会使病菌传给第二代。
    为了改革蚕种生产系统,把遗传学的原理和使用显微镜的方法教给每
    一个农民是不实际的,聘请一个专家为农民生产蚕种要便宜得多。因
    此,蚕业学校首先接过了此项工作,供应村民蚕种。有趣的是我们发
    现在这一点上,改革者的行动与他们的目的不那么一致。他们决定把
    工业留在农村里,却把蚕种的生产从农村转移到专家手里。但蚕种的
    生产从经济上来说是不重要的,因为蚕种的价格仅为生丝生产总费用
    的3%。

    当蚕丝改革工作逐步普及到整个长江下游地区时,对于灭菌蚕种
    的需求量迅速增加。蚕业学校已不能满足需要,很多私人便来生产蚕
    种,乘此机会牟取利益。蚕种的质量不能保持,对改革计划的坏影响
    明显起来,这引起了政府的干预。省政府成立了蚕种检查局,对私人
    生产的蚕种有权检查,并进行价格控制。(B栏,Ⅳ项,B.1)
    人们只在孵化前不久收到蚕种。蚕种在生产者手里是得到特殊照
    料的。从孵化到收茧子,这整个工作过程都包括在“养蚕”这个词
    中。这个过程是在一个特殊组织之下在村里开展起来的。改革开始阶
    段,学校派出指导人员教村民如何利用科学知识,特别是防止蚕病、
    控制温度和湿度。为了便于管理和指导,各家的幼蚕,按照合作的原
    则,集中到公共房屋里,称作“稚蚕公育”。费用和劳动根据蚕主放
    在公用蚕室内的蚕种按比例分摊。目前村里共有8间公用蚕室,基本上
    包括了村里养的全部幼蚕。为了这一目的,专门造了这所有8间房屋的
    建筑物。从1923年至1925年对每张蚕种增收两角作为建筑费。(B栏,
    Ⅲ项,B.1.a)

    集体养蚕的方法只有在幼蚕时期有效。6个星期之内,它们从极为
    细小的“蚕蚁”长到两吋半长蚕身。第三次蜕皮以后,目前公用的房
    间便不足以容纳这些蚕了。如果没有更大的房屋,集体喂养的方法便
    只得中断。建造能容纳全部的蚕的一所房屋从经济上来说并不值得,
    因为需要大地方喂养的这一段时间较短,用私人的房子方便得多。最
    后两个星期,家里的全部房间,除去厨房和一半卧室以外,都用来养
    蚕。仅这一事实就意味着除非村里的物质基础有根本的改变,否则养
    蚕基本上只能依旧是家庭副业。

    第三次蜕皮以后,蚕被搬到各户。每户分别喂养自己的蚕。在搬
    蚕以前,个人养蚕的房子要经过消毒,学校的指导员要告诉他们注意
    事项。在这一阶段经常要去检查。有病的蚕立即消灭以防传染。根据
    蚕的需要控制室内温度和湿度(B栏,Ⅲ项,A.2)。采取这些措施的
    结果,因病而损失的蚕,其数量控制在20%以下,蚕茧的总生产量同用
    传统方法喂养时相比至少增加40%。

    当学校指导工作在村里被公认取得成功时,省政府便把它的工作
    向整个产丝区推广。在以后章节中我们再进一步描述这一情况。
    在讨论缫丝程序以前,可尝试估计一下这一部分的生产及其成
    本。一家养蚕的总数取决于房屋大小和劳力多少。蚕是养在约1.5×1
    米大小的长方形匾里。匾放在支架的搁杆上。每一个支架可放8个匾。
    每间房间可放5个支架。一张蚕种(标准大小)孵出来的蚕,到最后阶
    段需占一个支架的地方。一个人可管理2或3架。每架可收蚕茧34磅,
    可缫生丝48两(或3.4磅)。在改革条件下,一户一般可生产蚕茧约
    200磅,每100磅可卖60至70元(根据上述报告)。

    每养一架蚕约需400磅桑叶。在养蚕期间,桑叶价格升降幅度很
    大。每100磅的最高价格有时超过3.5元,最低价格不到1.5元。养蚕所
    需总的开支约30至40元。除其它费用以外,蚕茧生产费用不包括劳
    动,每户约需50元。如果出售蚕茧,一般的户可收入70至90元。
    改革计划还包括引进秋种。这个地区一年可育三次蚕。但因气候
    关系,夏季和秋季养蚕需要更多的设备和注意的地方。目前,养两季
    蚕的仍然非常有限。

    6.合作工厂

    现在我们就要说到缫丝过程,这就是把蚕茧缫成生丝的最后阶
    段。对这一过程的改革主要目的是生产质量较好的生丝。根据丝的粗
    细划一,断头减少来评定生丝的质量。据蚕业学校的专家说,传统方
    法的缺点在于:(1)用于溶解蚕茧上胶质的水温不恒定;(2)一股
    丝线中所含纤维数不固定;(3)从蚕茧不同的层次抽出来的丝粗细不
    同,未予重视;(4)缫丝机轮子的运动不规则。为了改进生丝质量,
    改革者试了数种方法。他们的下述谈话将说明这个情况。

    一开始,我们并没有想要引进工厂。我们想的是继续在家里进行这种劳动。我们只不过
    采用一种改良的木制机器来代替旧式机器。用脚踏转动轮子,每个人可分别在自己家中工作。
    用化学品来溶解胶质,但溶液温度无法达到严格的控制。蚕业学校在镇里组织了训练班,为时
    3个月,教授调整蚕茧各层的丝以及保持固定数量纤维的技术。1924年的时候,村里只有10台
    这样的机器。到了1927年,机器总数增加到100多台。在训练班里有70多名年青妇女。但由于
    轮子的运动不规则,产品质量仍然达不到出口标准的要求。另一方面,市场萧条更加严重。

    1928年,这种“改良丝”的价格跌到每100两60元。虽然它比土产丝好些,但我们不满意这种
    情况。我们从实验中了解到,除非能有一个用蒸汽引擎的中心动力,质量就不易达到出口水
    平。但引进蒸汽引擎必须同时有集体工厂系统。换句话说,如果我们要提高产品质量,就不能
    保持家庭手工业的生产方式。所以我们决定试验设计一个要能实现应用现代生产技术的一切有
    利条件的工厂。这个工厂同时又不宜太大,要能办在农村里,用当地的劳力和由当地供应的原
    料。这个试验具有比较广泛的意义。如果我们能用较便宜的劳动力生产与大工厂同等质量的生
    丝,我们就能扩大这种缫丝工厂而不必惧怕城里工厂的竞争。通过开办这种小规模的工厂,乡
    村工业能打下一个坚实的基础,乡村经济从而可以复兴。1929年我们开始试验。我们的试验直
    到1935年重新装备了新机器之后才证明是成功的。这种机器是由日本最新型机器修改而成。我
    们用它生产出中国最好的生丝。1935年,这个工厂的产品被出口局列为最佳产品。

    从上述情况可以明显地看到合作工厂代替家庭手工业是由技术考
    虑决定的。蒸汽引擎使轮子转动可以控制,并且平稳,从而使抽丝均
    匀,速度加快,因而不可避免地产生了一种集中的系统。至于引进电
    力是否会再改变集中的系统,则是将来试验的问题了。(B栏,Ⅲ项,
    A.3)

    一个从事生产的工厂需要有适合安装机器的房子。建造工厂又需
    要技术知识和经费。技术知识由蚕业学校提供,但经费从哪儿来呢?
    这个问题就关系到所有制和分配问题。根据改革者的意图,在工厂开
    办以前,制定这些规章所依据的基本原则都已经确定了。原则是,工
    厂应属于农民。但农民如何拥有它,谁是农民?

    所有权属于这个合作社的社员。他们对工厂的责任限于他们所贡
    献的股份。入社以自愿为原则,并不限于本村的人。凡愿遵守社员义
    务者便可被吸收为社员。社员的义务是在工厂里有一份股金,每年供
    给工厂一定数量的蚕茧作原料。这一合作社共有429名社员,基本上包
    括了村里所有的住户及邻村的50多户。

    根据规章,工厂的最高权力机构是社员全体大会。大会选出一个
    执行委员会,理论上它对大会负责。实际上恰恰相反,人们按照当地
    领导人和执行委员会的意见工作,当地领导人遵照改革者和蚕业学校
    的意见行事。由于整个工作是在改革者的指导下进行,人们对开办工
    厂也没有足够的知识。社员没有什么可以说的。由于农民缺乏受教育
    的机会,文盲率高,这使改革者在实施训练计划中发生很大困难,这
    些需要受训练的农民才是工厂的真正的主人(C栏,Ⅲ项,B.2)。社
    员对投票制度完全不熟悉,他们也未想过行使投票的权利来管理工
    厂。他们只关心以利润形式分给他们的实际利益,对工厂的其它工作
    很不了解(C栏,Ⅲ项,B.3)。他们不知道根据什么他们可以要求利
    润,正如他们不知道根据什么他们应该给地主交租。对他们来说,所
    有权只意味着他们可以分得一份利润。当我们讨论工厂的财务问题
    时,这个问题将表现得更加清楚。

    当然,村里没有多余的资金来资助工厂(本章第2节)。开办工厂
    所需的经费总共为49,848元。每个社员约需分担114元,第一年,社
    员入股金额实际上仅2,848元,约为总额的5.7%。
    名义上,“资本”,或工厂所有者的贡献,或工厂主的有限责任
    固定在10,000元。这一数目被分成1,000股,每股10元。社员每人至
    少购买一股。第一年,认购了700股,可在五年期间交款。目前,只收
    到一半的股金(B栏,Ⅲ项,B.3.a)。显然,工厂的资金还需靠其它
    来源。

    蒸汽机和机器(旧式)是从蚕业学校借来的,估计价值4,000
    元。有协议规定,五年以后工厂从利润中抽出钱来还给学校。但由于
    经济困难,工厂尚未履行这一诺言。为建造厂房和其它开支,工厂向
    省农民银行借了15,000元的一笔长期贷款。由于商业上的原因,农民
    银行尚未同意支付。显然,负债是受“资本”10,000元的限制的,由
    于工厂在农村,一旦工厂破产,厂房和其它不动产无法拍卖。但政府
    的政策是要为乡村工业提供资金,这才有可能向银行借贷(B栏,Ⅳ
    项,B.2)。另外,工厂向最近的镇,震泽的一个地方银行借了一笔
    3,000元的短期贷款(用土地和厂房作抵押)。

    从上述情况可以看到,工厂资金的基础实际上主要是政府的信贷,并不是靠人民的投资。

    原料由社员供应。每年收集新鲜蚕茧。社员交蚕茧时,工厂交付蚕茧价值的70%。这笔钱,是每年从省银行借来的,蚕茧作为抵押。

    由于30%是延期付款,社员多交蚕茧也得不到多少好处,因此他们只交最低限额的蚕茧,尤其是1930年以后。1930年是把利润分给社员的最后一年。以下是工厂提供的统计数字。

    上表说明从1930年到1935年社员供应蚕茧的数量逐渐下降(B栏,
    Ⅲ项,B.3.b)。1932年总供应量还不足以供工厂开工一百余天之用。
    机器闲着不转是不经济的。因此,还需从市场购买一些蚕茧。1934年
    从市场购买的蚕茧量比社员供应的多。在另一方面,工厂还接受其它
    工厂供给的原料代为缫丝的订货。这种方法被称为“代缫”,即为其
    他人缫丝。1932年为别厂缫丝超过25担,实际上相当于从村里供应原
    料的缫丝量。1935年工厂重新装备以后,丝的总产量超过前几年平均
    量的三分之一。但社员的蚕茧供应没有跟上来,虽然1935年稍有增
    加。在原料供应方面,工厂是半依赖于外界的。
    劳力来自社员。由于引进工厂,生产中所需的劳力比在家庭手工
    业中所需的劳力少得多。这个工厂的缫丝部分30个工人已足够。她们
    都是年轻妇女,年龄从16至30岁不等。选茧和清洗蚕茧需要非技术工
    人10名。丝抽出来以后必须重新整理并按出口标准包扎,这一部分工
    作需要6至8名技术工人。工人总数约50人。此外,尚有两名经理,一
    名技师,一名司库,一名机器维修保养工,两名杂工。

    在缫丝和整理丝时需要特殊训练。因此,工种不同,待遇也不
    同。缫丝和整理工按日工资计算,每天4角至6角。挑选和清洗蚕茧工
    按计件工资计算,一天可得约2至3角。(B栏,Ⅲ项,B.2.a)
    技师由蚕业学校推荐,司库由当地银行推荐。总的管理业务由当
    地领导人陈和周负责。但最高职权在蚕业学校推广部。职员均是固定
    工资。1929年总工资为7,557元,占当时总开支的57%。每一个普通工
    人一年工作150天约可得70元。

    从以上分析,我们能看到工厂:(1)属于社员所有;(2)主要
    由农民银行给予资金;(3)由蚕业学校通过当地领导人管理;(4)
    部分社员参加劳动,担任工作。所谓合作原则其意义主要在于分配
    上。

    1929年即第一年,工厂的利润为10,807,934元。按下列原则进行分配:为鼓励社员并扩大组织,我们决定提高红利,约为总利润的70%。我们要求社员借一半红利给工厂以便工厂还债。利润的15%。将作为我们的储备基金。其余金额将被分成:(1)改良储备金;(2)明年开支津贴;(3)职员奖金。比例为4∶3∶3。 [44]那一年,社员所分到的红利确实相当于他们所购股份的两倍。但自从那年以后,丝价跌落到如此程度,以致毫无利润可得。1931年以来一直没有公布资产负债表。我只能提供头三年的数字。

    1931年起,工厂想开始还债。如1929年资产负债表上所示,负债
    达135,663,763元,但1931年减为77,271,544元。大笔借款的利
    息,也是亏损的一个原因。1929年利息为5,060元,1930年为5,500
    元,1931年为4,121元。1935年工厂重新装备现代机器。预期在1936
    年可有一些盈利。他们想要修改分配原则。改革者和当地领导人都认
    为一开始分配这样高的股息是错误的。一般社员把这看成是理所当
    然。但当工厂不能分配利润时,他们便抱怨和失望。他们认识到以后
    每年如能分到少一些但固定的红利比在一个时期分到一大笔红利要
    好。

    7.政府的支持

    上面我已说明政府是如何进入改革事业的。一开始,镇地方政
    府,即镇公所与蚕业学校合作草拟改革计划。但1923年那时候,省政
    府在一个军阀手里,他对那种措施没有任何兴趣。南京国民党政府在
    1927年成立以后,农村建设才逐渐成为政府的主要政策,对乡村丝业
    和合作运动给予特殊关切。所以,这个村子的合作工厂才能得到政府
    提供的资金。此外,村里的试验是中国农村工业中大的改革方案的先
    驱。回顾一下政府是如何接受这个趋势并把这种改革计划传到中国产
    丝的其它许多区域,是颇有意思的。
    下面摘引的几段文章是选自《中国年鉴》中有关这个问题的、有
    代表性的官方计划。

    (1)蚕丝业改革。

    “中国农村工业中最重要的一项是蚕丝业。但近年来甚难与日本
    竞争,主要是因为在该国培育了最好的蚕。
    在所有省份中,凡蚕丝生产有所发展者,均属地方当局与国民政
    府合作,或为改善蚕丝工作中的状况而采取了特殊措施。江苏、浙江
    两省之所为,可作为全国各地为振兴蚕丝业而采取的措施的典型。过
    去,蚕都由农民饲养,他们的保守态度以及缺少资金的条件,阻碍了
    引进改良办法来改进工业的可能性。……江苏、浙江的官员,组织了
    一个蚕丝业委员会,作为改良工作的第一步。一开始,委员会为避免
    与茧商竞争,提出了收购鲜茧的官价。在秋季,委员会倾注全力于改
    进蚕种,用改良的品种来代替当地的蚕种。浙江农民用的蚕种由政府
    的蚕丝实验站颁发,私人培育的蚕种禁止使用。1934年江苏实行了同
    样的控制,措施是试验性的,不像浙江那样彻底……除改良品种外,
    委员会还对新鲜蚕茧规定一个官价以及对每一地区的收购代理处限定
    了数目。
    江苏、浙江、山东、四川、广东等省改进蚕丝工业的三年计划也
    由国家经济委员会的蚕丝改良委员会制定。为实现1935年的第一年计
    划,所需经费为1,500,000元。
    1934年7月至1935年6月的财政年度,国家经济委员会为蚕丝改良
    委员会拨款400,000元。” [45]

    (2)合作运动。

    “自从1919年中国开始了合作运动以来进展很慢;但随着北伐国
    家统一,合作运动在国民党计划中开始有了重要的地位,它和旨在同
    外国平等的基础上发展中国。从那时起,合作运动迅速发展。国民党
    早在1919年便对合作运动有了兴趣。孙中山先生在地方政府的演说中
    曾建议,在工人农民中促进合作企业……国民党第二次全国代表大会
    决定组织农民银行,在中国农民中间推广合作企业。1936年8月国民党
    中央执行局全体会议决议中指出政府应在农民中推进合作社的组
    织……
    南京国民党政府成立以后,很多省开始认真推动合作运动。1928
    年2月国民党中央执行理事会第四次全体会议上,蒋介石将军和陈果夫
    联合提议组织专门的合作委员会。当年10月,国民党中央执行局向所
    有分支发布命令,要求它们把合作事业作为其政治活动的一个组成部
    分。
    此外,江苏省政府颁发了一系列有关合作社的暂行规章制度,并
    于1928年7月16日组织了江苏农民银行以便发展农村经济并为农民提供
    方便的低息贷款。” [46]

    8.改革中的困难

    人民愿意接受改革,主要在于实际利益,例如增加了家庭收入。
    现在我们可以看一看改革计划在多大程度上满足这种期望。
    蚕种的消毒、稚蚕公育、教员的定期指导使成本有所降低,蚕茧
    增产。这一部分改革使得农民的收入大约比以前增加了一倍(B栏,Ⅲ
    项,C.1.a)。缫丝改革的成果并不理想。1929年每股分得红利约10
    元。但自从那年起,他们再也没有从工厂拿到什么。相反,他们还有
    义务供应原料而且是延期付款30%。至目前为止,由于有了工厂而收入
    真正有所增加的是工厂的工人和职员,以工资的形式增加了收入。他
    们是这一社区的少数。(B栏,Ⅲ项,C.1.b)
    工厂未能分给社员年利是由于两个基本因素。首先,改革者未能
    控制价格水平。他们成功地生产了高质量的丝,但质量和价格之间比
    率不相称。确实,好丝应该能卖好价,但丝的总的价格在不同时期波
    动较大。只要改革者不能控制市场,单是改进产品质量未必能获取高
    的报酬,因此,村民的收入未见提高。
    造成目前这种状况的更直接的因素是资金问题。在1930至1936年
    间工厂并不是没有盈利,因为贷款的数目每年有所降低。换句话说,
    工厂节约下自己生产的盈利,买回了借来的生产资料。人们不算这笔
    账。他们只知道家庭的具体收入。一旦他们的愿望没有实现,他们的
    希望破灭,其直接反应就是不再继续向工厂交纳股金,至目前为止,
    只缴纳了认购股金的半数。

    当然,根据规章,社员自己有权查账,并可要求经理解释。但人
    们只停留于怀疑和偶尔的议论上,而不采取一定步骤进行调查。他们
    大多数是文盲。他们不明白写在资产负债表上的数字。规章赋予他们
    的角色,对他们来说是新的。改革者只教授女孩子如何缫丝,而没有
    教社员如何当工厂的主人。他们对自己的责任没有认识。只要教育工
    作跟不上工业改革的步伐,合作工厂可以只是为人民而开设,部分属
    于人民,但决不可能真正由人民管理。

    现代机械被引进农村经济,正如我们已经看到在农业中引进了水
    泵,使有缫丝机的家家户户发生了一个新的劳动工具利用的问题。换
    句话说,这个村庄过去至少有350名妇女从事缫丝工作。现在开办了工
    厂,同等量的工作,不到70个人就能轻易地担负起来。生产所需的劳
    动量减少了。例如,现代的缫丝机,每个工人同时能照看20个锭子,
    而旧缫丝机一个人只能掌握4至5个。从技术观点来看,这是一个很大
    的改进。但这一改进对农村经济意味着什么呢?将近300名妇女失去了
    他们的劳动机会(B栏,Ⅲ项,C.2.b)。“失业”的问题引起了比较
    广泛的反响——根据男女性别不同的传统分工仍然不变,但农田面积
    如此之小,要把妇女劳力引向田地是不可能的。然而也没有引进新的
    工业来吸收多余的妇女劳力。(C栏,Ⅲ项,C.2.b)

    改革者曾经想用分红办法来解决问题。但如我们在上面表明的,
    并未获得成功。结果是:(1)为那些由于多种原因不能到城镇去的人
    保存了或在某种程度上恢复了传统的家庭工业,通过原料的竞争成为
    改革计划的一种阻力;(2)妇女向城镇移动,这是与改革者原来的意
    图相矛盾的;(3)农村中产生了一种特殊的挣工资的阶层。
    对残存的传统家庭工业,可以作量的估计,这个村庄蚕茧的总生
    产量约为72,000磅。假定这一生产量是稳定的,直接卖给城镇的茧子
    为数极少,那么对工厂的供应减少表明了家庭的储存增加。1929年,
    留给家庭的蚕茧约为总生产量的六分之一,但1932年增加到三分之
    二。1936年我离开村庄以前,留给家庭的约为三分之一。卖生丝能比
    卖蚕茧多得多少,很难说,因为蚕茧和生丝价格都有波动,农民不知
    如何预测。如果我们按生丝最低价格看,一元钱三两,生产者仅能比
    原料的价值多拿少许,如果后者的价格约为每担50元。但蚕茧市场开
    放时生丝的价格还是未知数。农民保留原料以便从事家庭缫丝的原
    因,并不在于实际考虑丝和茧的价格,而是因为他们相信缫丝能比卖
    原料多挣钱。

    在蚕丝工业中工厂取代家庭工业是一个普遍过程,并不限于这个
    村庄。近二十年来附近城市机缫丝业的发展极快 [47] ,城市工业吸引
    农村劳力,无疑这种人口流动对农村社区的传统社会结构是一种破坏
    性的力量。改革者的原意之一就是要阻止这一过程。但村庄里的小型
    工厂为当地原料供应所限,未能充分利用村里现有的劳力。相反,它
    也不能阻止农村人口的外流,我已经在上面表明,1935年有32名16—
    25岁的女青年住在村外(第六章第1节),她们在无锡丝厂工作。我在
    村里的时候,震泽又开了一家蚕丝工厂。村中更多的女青年被吸收到
    工厂里。本村16—25岁的女青年共有106名。80%以上现在村外的工厂
    或在合作工厂工作。她们就是新的挣工资的人。

    挣工资的阶层并不是村里传统的结构。农业雇工非常少。劳动在
    非常有限的意义上进入商品领域。只有在家庭手工业衰落的情况下,
    妇女劳动力才在村里形成了一个市场。我们将在下一节再讨论这个问
    题。

    9.对亲属关系的影响

    现在挣工资被看作是一种特殊的优惠,因为它对家庭预算有直接
    的贡献。那些没有成年妇女的人家开始懊悔了。妇女在社会中的地位
    逐渐起了变化。例如,一个在村中工厂工作的女工因为下雨时丈夫忘
    记给她送伞,竟会公开责骂她的丈夫。这是很有意思的,因为这件小
    事指出了夫妻之间关系的变化。根据传统的观念,丈夫是不侍候妻子
    的,至少在大庭广众之下,他不能这样做。另外,丈夫不能毫无抗议
    或反击,便接受妻子的责备。

    一个女孩的传统经济地位是依附于她的父亲或丈夫的。她没有机
    会拥有大宗的钱财(第四章第2节)。家的财权在一家之长的手里。这
    与传统的集体生产相互关联。在地里工作的男人靠他们的女人送饭,
    饲养蚕所需的桑叶由男人从远处运来。个人不容易意识到在一家的集
    体生产中的贡献。但挣工资基本上是个人的事。挣钱的人能感觉到她
    的工资收入是她自己劳动的结果。这是收入者本人和家长,都会感觉
    到的。此外,工资由工厂直接付给她本人。至少在这个时候,她可以
    将她的一部分工资按她自己的愿望去花费。因此,家中的经济关系就
    逐步地得到改变。比如,女孩子在合理范围内,为了正当的目的,如
    买一些衣服,那是可以允许而不受干涉的。但不允许她把所有的工资
    都花掉,工资的大部分要交给家长,归入一家的共同预算。为了在这
    个新的形势下,保持集体和集中的经济体系,家长甚至不惜牺牲他的
    权威,也必须被迫的对家中的成员作出考虑。女孩子挣的钱交给谁,
    不是一个复杂的问题。女孩子未婚时,如果她有母亲,而家长是她的
    祖父,她的母亲会将她的钱收下一部分以供她将来结婚时所用。如果
    经济状况不允许存钱,全部金额归入家的总的预算之中。一个已婚的
    妇女则将她收入的一部分留作她自己的积蓄。这种情况说明了单个家
    庭不断从家的复合群体中分化出来。

    挣钱的人从一家的成员中分离出来,对亲属关系也产生了实质的
    变化。儿媳从婆母处分离出来可以减少日常的争吵。但妻子从丈夫处
    分离出来会使婚姻的关系松散。可以举出一个极端的例子来说明。有
    一个妇女,在结婚一年后离开了他的丈夫。她在无锡的一家工厂里工
    作,并和这个厂里的一个工人发生了恋爱。他们这种不合法的结合被
    发现之后,他们被厂方开除。他们同居了两个月,由于经济所迫不得
    不分离。这妇女回到村中,受到很大的羞辱。她的公婆拒绝再要她,
    但后来又收留了她,因为她的公婆准备将她另嫁他人,以便可以收到
    一笔钱作为补偿。最后,考虑到她在本村丝厂里能工作的本领,她的
    公婆取消了原来的打算,待她一如既往。她的丈夫对这件事则完全采
    取被动的态度。

    孩子从母亲处分开,就会使家中的亲密关系发生新的安排。母亲
    喂奶的时间缩短了。当祖母的接过母亲的责任,继续照看、抚养孩
    子。这也使婆媳之间产生了新的关系。那些在本村工厂里工作而不能
    带孩子的女人,也有类似的状况。

    以上事实说明了亲属关系以新的形式进行着重新组合,并将随着工业的变迁得到调整。我现有的材料只能为进一步的调查提出一些问题。

    第十三章 养羊与贩卖

    进行蚕丝业的改革仅仅是为增加居民的收入、抵制丝价下跌所做的各种努力之一。但根据我现有的资料不可能对目前采取的其它措施进行详尽的分析。

    新兴事业中最重要的一项是养羊。大约10年前就有人开始养羊。但到最近才变得重要起来。养羊业的发展并不是由于某个人的倡议。村里的人从邻居那里听说,镇里新开了一家店铺,收购羊胎和新生的羊羔。市场的需要使这个村子里兴起了这项新事业。但甚至到现在,人们还不甚了解羊胎究竟有何用处,他们经常向我提出这个问题。有些人想要杀掉母羊好取羊胎,羊胎皮是值钱的。这个主意与传统的伦理观念很不相符,尽管人们自己还要溺杀婴儿。

    养羊所遇到的主要困难是饲养问题。土地的90%是农田(第十章第2节)。除几块属于城里人的坟地外,几乎没有适于放羊的场地。农田是敞开的,没有篱笆,牲畜乱走,可能损害庄稼。在这种情况下无法在田野中放羊。所以,就盖起了专用的羊圈,把羊关在里面。正如我上面提到的,羊圈已变成了住家普遍都有的附属建筑了。

    为了喂羊,就必须割草,冬天用干桑叶喂羊。就这一点而言,家庭劳务中就产生了一种新的劳动分工。割草的事由孩子们担任。如果你在村里走一走,就可以看见到处有三五成群割草的孩子,有些还不到10岁,他们有的在桑树下,有的沿着河边,还有些在坟地里。这样,孩子们的劳动与家庭经济结合了起来。对于小学校来说,这就产生了一个新问题,文化教育的价值在人们眼里,还不如孩子们割草直接为家庭收入作出的贡献大。缺课人数与村里养羊的头数相关。陈曾遗憾地表示,学校的课程过于死板,难以与目前的经济状况相适应(第三章第5节)。这使人们注意到关于经济与教育的关系的令人感兴趣的问题,但目前我不能讨论这个问题。

    把羊关在羊圈里饲养的另一个好处是便于收集羊粪。羊粪是一种有价值的肥料。村里有300多个小羊栏。每个羊圈养1—5只羊。粗略估计,村里养羊的总数约为500头。

    为了开展养羊业,需要一定数额的资金,至少要有足够购买母羊的钱。公羊可以从亲戚那里借来或者租来为繁殖之用。对于这项服务所付的报酬没有固定的数目,多数是采取送礼的形式。如果一个农民自己筹不起款子来买母羊,他可以养别人的羊。这样就产生了一种特有的方式,村民称之为“分羊”,从字面上讲就是“把羊分开”。养羊的人的责任是饲养,到时便能分得半数小羊羔和羊栏里的一半粪肥。周的父亲是最大的羊主,他有40只羊,其中只有4只养在他自己的羊圈里。

    当羊胎即将长成前不久,就可以把母羊卖掉。每只羊胎的价格为3—5元。羊主也可以把刚生下的羊羔卖掉,把母羊留下。这时,羊羔的价格略低,但一只母羊一年能生一两次羊羔,而把羊羔饲养成熟却需要一年多的时间。所以人们喜欢卖羊羔,而不卖羊胎。反对屠杀孕期动物的传统也使得人们更加愿意这样做。一只母羊平均每年生产2—4只羊羔,能为羊主增加20—30元的收入。

    农民收入的另一个来源是贩卖。在较长的农闲季节里,人们从事这种买卖(第九章第3节)。货物并非自己生产,而是用自己的船从邻省浙江运至沿岸的一些城镇贩卖。这是一种地区之间的流通。但从村民的观点看来,实际是像贩卖或搬运工一样出卖自己的劳务。为我提供情况的当地人说,每条贩运船一年可赚40元。当然,收入取决于贩运货物的种类及其价格的波动情况。我没有机会跟着他们一起去,因为他们这行的活动时间是8月底至10月中,然后又从12月中至1月底,那时我已经离开这个村庄。这些商业活动都是按阳历时间安排的。我不能在此作很深入的分析,只是想说明,这是农民收入的一个重要来源,根据提供情况的人说,从事该项行业的船只数目,近几年来有所增加。

    十四章 贸易

    1.交换方式

    交换是个人之间或一些人之间,他们的物品或劳务在某种等价的基础上,相互转换的过程。哪里有专业化的生产,哪里便需要交换。生产专业化甚至发生在家庭的不同成员间,但在家庭中,交换方式同
    在市场中所见到的不同。因为首先在集体经济中,分配和交换的过程
    不易区别。在田里劳动的丈夫靠妻子为他煮饭。从妻子对生产过程的
    贡献来说,她对农产品的权利,应该列在产品分配的项目下。但如果
    她消耗的要比她分配所得的那一份多,实际上便产生了交换。其次,
    当财产为一个群体的成员共同所有时,交换的要素是模糊不清的。有
    了劳动分工,成员通过不同的职业向共同生活的来源作出自己的贡
    献,同时从这一来源获取各自生活所需的资料。各成员之间究竟作了
    些什么交换因而是不明显的。

    这并不意味着权利和义务的相互关系的概念、贡献和享受对等的
    概念不存在于亲近的社会群体中。相反,它们是家庭生活中发生争吵
    和不满的最常见的原因,并且往往发生一种妒忌性的坚持不下的局
    面。对这种家庭群体的经济关系作出定量分析,需要精确的实地调查
    技术,但并不是不可能的。

    比较不明显的、不直接的交换形式通过群体固有的制度的约束,
    已经成为可能了。例如,父母对孩子的义务可以通过年轻一代以后对
    父母的赡养,或者年轻一代对下一代的义务来取得平衡。时间越长,
    物品和劳务的转换范围越大,群体中社会纽带亦越强。物品或劳务的
    交换是社会纽带的具体表现。只有在一些需要很长时期才能相互完成
    的义务,有关的个人才会感到他们之间有着牢固的社会关系,其结果
    是形成了群体的一种内聚力量。从这一角度考虑,慷慨可以被看作是
    一个人向另一个人提供劳务或物品的预支性质取得使两个人的关系密
    切起来的结果。

    在大一些的社会群体中有同类的交换。例如扩大的亲属关系群体
    和邻里群体。在村里邻居之间,需要时可以互相挪拿东西用于消费或
    其它用途。在一定的限度内,一个人对他的邻居有用,他会感到高
    兴。如果借用者立刻要付酬并说明同等交换,出借者便会很不高兴地
    说:“我们不是外人。”田里如果需要额外劳力,住在附近的亲戚便
    来帮忙,不要报酬;有重大婚丧喜事时,邻居也这样来帮忙(第六章
    第2节)。从长远看,亲戚和邻居之间的互相接待、留宿和服务都是取
    得平衡的。社会关系越亲密,对等的交换也越少。

    送礼亦可被看作是另一种交换。这不是专业化生产的结果。不同
    职业的亲戚,也不把他们的专业产品作为一种礼物。用来作为正式礼
    品的一些东西是根据习俗而来的,主要是食品。在重要礼仪场合则送
    一些现金。人们送礼的食品,或是从市场买来的,如年底送的火腿和
    糖果,或是自己制作的,如端阳节(第九章第3节)送的三角形的糯米
    粽子。接受礼物的人,也做同样的粽子,买相同的东西回送亲戚。这
    种类型的物品转让意义不在于弥补相互间的欠缺而是加强社会联系。
    从上述分析可以看出,社会义务、互相接待、留宿和互赠礼物是
    不够的,它不足以使村里的一个农户获得他自己不生产的日常必需
    品。在消费品中,消费者生产的只占总数的三分之一(第七章第8
    节)。另一方面,农民生产的东西,很多不是生产者消费的。羊羔和
    羊胎的真正用处,看来养羊人本身也不知道(第十三章)。在产丝
    区,丝绸衣服很少,甚至于米,也只是部分地供人们自己消费。所以
    非常明显,必须有广泛的流通系统。

    2.内外购销

    购销是一种交换方式,在交易中对等的价值被明白地表达出来,
    立即付给或许诺偿付。简单地说,这就是购买和销售的过程。在农村
    里,除少数例外,交换一般是通过货币来进行的。
    我们可以把购销分成内部和外部两种:内部购销是在村庄社区范
    围内交换货物和劳务,外部购销是村和外界进行的交换,它们是互相
    依赖的。
    村的内部市场是同这个社区职业分化有密切联系的(第八章第1
    节)。我们已经看到,村里三分之二以上的人口从事生产稻米、生丝
    和羊羔的工作。他们不在村里出售这些产品,而要到城镇里去出卖。
    从事渔业的也只能出售一小部分产品给同村的人。生产专门货物和给
    村民提供专门服务的限于少数,只占总人口的7%了(第八章第2节)。
    大部分工作并非完全专业化而是普通农户所需的工作的一种补充。木
    匠、篾匠、泥水匠主要是从事修理工作,他们在自己家里干活,也到
    顾客家中去做活。
    职业分化程度小,这使社区内部市场非常狭窄,人们靠外界供应
    货物和劳务。因而,产生了一个问题:货物如何运到村里来?农民可
    以直接在外部市场购买货物并带回村来,或者货物可由不同的中间人
    带到村里来。中间人,主要可分三类:
    (1)定期到村里来的小贩,在买主家门口卖东西。
    (2)零售店,在村里有固定的地点,店铺里存放着从外界买来的
    货物,吸引顾客去购买。
    (3)航船从城镇代消费者购买货物并运到村里。

    3.小贩

    小贩可以是固定的或不固定的,根据他们出售的货物种类而定。
    小贩卖的货可以是他们自己制作的,也可能是从市场上零买来的。大
    多数不固定的小贩出售他们自己的产品,他们来自其它村,不是来自
    城镇。这是一种城镇外的村际分散性的贸易活动。这种市场的范围受
    到这种情况的限制,即附近村子的地方生产方面分化程度不大。如已
    经提到过的(第七章第5节),唯一的分化是蔬菜的种植。在村里,菜
    园太小,不能种足量的蔬菜供村民消费。但太湖附近的农民可以种植
    大量蔬菜,并把附近的村子作为他们的市场。同样,时令水果,村里
    没有种植,是邻县供应的。卖者用船载着他们的产品到周围的村子来
    兜售。

    这些小贩只盼望回去时赚到一些钱,对每一笔交易并不坚持一个
    固定的价格。譬如卖者报一个价,三个甜薯卖两个铜板,买者并不和
    他讨价还价而是给了钱以后,再拿几块甜薯。卖者可能拒绝不给或装
    着拒绝,但我从未见到过因为买者拿得太多而否定交易的。这种讨价
    还价之所以可能是由各种因素造成的:卖者对价格没有严格的概念,
    买者对他自己的要价也没有严格的想法。卖者和买者都没有直接竞争
    者。付钱以后买者拿取额外货物的量不会超过买者看来是合理的范
    围,同时还有其它不同的情况。譬如说,男人就不拿额外的货物,因
    为他们认为,这有损于他们的自尊心;但他们的妻子可以随便这样
    做。对话和开玩笑,特别是异性之间开玩笑,将增加拿取额外货物的
    数量。在这种情况下,卖者将不经要求自愿多给一些。当然,不能拿
    得太多,除非把额外货物当作礼物来送。从长远看来,这种买卖的价
    格不比城镇里的市场价格高,因为如果被发现确实是这种情况,卖者
    下次将不易出售他的货物。可能价格也不低于城镇的商品,因为如果
    卖者的利润比他把商品卖给城镇的店铺要少,最后他就不到农村来卖
    货了。但在某些具体交易中价格上下的界限是比较宽的。

    从城镇来的有两名固定的小贩:一个卖缝纫和梳妆用品,另一个
    卖小孩吃的糖果。女人由于有家务在身,还需照顾孩子,因此到城里
    去的机会比男人少。缝纫和梳妆等用品是专为妇女的消费品。此外,
    对这些商品的需求与个人喜好有关。妇女不愿托别人或丈夫替她购
    买,这才使小贩有他的市场。与这种小贩做买卖的形式和上述有所不
    同。买主不是先接受小贩的要价然后拿取额外的商品,而是先还价。
    因此价格如不能使双方满意时便不能达成交易。小贩要的最低价格决
    定于他买货时付的价钱和维持他的生活所需的利润。货物不会消失,
    他可以等好一些的价钱。

    卖糖果的小贩用另一种方式。对这种货物的需求必须通过卖者人
    为的创造。小贩用一个很响的喇叭来吸引孩子。通常孩子们不是都有
    零钱用的。很多孩子必须要求大人买给他们。因此,小贩常常会引起
    戏剧化的家庭场面。孩子的吵闹和母亲的呵责往往与买卖糖果声混杂
    在一起。这种买卖,讨价还价并不厉害,因为,买主或是不懂得隐瞒
    自己真正兴趣的那些孩子,或者是一心想摆脱麻烦的孩子母亲。部分
    糖果是在小贩自己家里做的,原料便宜。因此糖果的价格主要决定于
    小贩的生活费用。

    每一个小贩都有一个习惯卖货的地区,有时是几个村,范围的大
    小取决于小贩能走多少路,能赚多少钱。售货的次数也取决于上述因
    素。卖缝纫和梳妆用品的小贩每隔二至四天到村里一次,而卖糖果的
    则几乎每天都来。

    4.零售店

    小贩不住在村里。他们定期到消费者那里去。而零售店则坐落在
    一个固定的地方吸引顾客到店里来。这就产生了一群专门从事商业的
    人。他们出售的东西并不是自己生产的,而是把从城镇里买来的东西
    再卖给村庄。下表说明了各行业的店铺数目:

    三家杂货店在三座桥附近。它们主要出售香烟、火柴、糖果、纸
    张、蜡烛、纸钱及其它带宗教色彩的物品。我未能估计他们的存货数
    量。我也无从计算他们每天的平均销售量。主要困难是他们不记账。
    按他们所说,每天销售额两角至一元不等,很明显,他们不能供应全
    村以各种日用必需品。我即将谈到,大多数货物是靠航船从城里购运
    来的。周向我描述了杂货店的功能。“我们有客人时,便到杂货店去
    买纸烟。”换句话说,这只是航船的一种补充。航船为了满足顾客的
    订货,需要花一整天的时间在城里购买,紧急需要时,顾客等不及它
    们回来,便到店铺里去买。带宗教色彩的东西不属于紧急需要,但在
    预期的某一时间内使用。又由于这些东西用航船运输有一定困难,所
    以人们常常可在零售店里见到这些东西。纸钱是用锡箔做或旧的银锭
    形,里面是空的不能受压,航船无法提供如此大的空间来运输它。
    在村里,肉类是重要食物之一。肉贩在半夜去到城镇屠夫那里购
    买第二天早晨需要的猪肉后,将其运回村里。消费者到中午煮饭时就
    能有肉。由于没有保存鲜肉的手段,所以卖肉的商人根据他能卖出多
    少来买进。最后一个主顾去买肉时往往就销售一空,如果有人一定要
    买到肉,必需在前一天傍晚订购。
    豆饼是农田的肥料,份量重,像砖一样,也占地方。航船不能运
    这类货物。村里有专门的店铺出售砖。药店出售中草药,零售价格较
    高,又常常是急需的,所以在村里,药店有一个固定的地方。
    5.航船,消费者的购买代理人
    村庄店铺不能满足农民全部日常的需求。例如村里没有地方卖盐
    和糖这样的重要物品。这些东西必须由航船去买。航船提供免费的日
    常服务,从城里购买日常必需品,同时充当村民的销售代理人,从中
    赚得一些收入。他们在乡村经济中起着重要的作用。这种制度在太湖
    周围地区非常普遍,它促使附近城镇有了特殊的发展。
    每天早晨,约7时许,航船开始活跃起来。村里共有4条船,2条往
    返于河A,2条往返于河B与河C(第二章第4节)。船沿着河划出村时,
    农民们便向航船主订货。“请在这个瓶里打20个铜板的油,在那个坛
    里打30个铜板酒。”航船主收了瓶和钱,数也不数,他把钱扔在船尾
    的底板上,便和顾客随便交谈起其它的话题来。船到了村的西端,从
    这里就可以直接到城里,那时他已经收了数十个瓶子和很多铜板。那
    些要到城里去的人,船经过他们的家门口时便搭上船,他们不用付船
    费。
    每一条船有它自己固定的顾客。村子可分为两个区域,每个区域
    有两条船为他们服务。在一条河里的两条船,它们的顾客是同一区域
    的。这两条船互相就有竞争,但是友好的竞争。如果一条船上的乘客
    很少,它就会等另一条船,把乘客都合到一条船上。摇船的是年轻乘
    客。航船主按照顾客订货把瓶子和容器分类,把船板上的铜钱收起
    来,一面与乘客聊天,或帮助他们把蚕丝按照出售的要求捆起来。
    从村庄到城里需要两个半小时。船约于10时到达。每条船与城里
    的一些店铺有联系,航船主就向这些店铺购买农民订购的东西。店里
    的学徒下船来拿瓶子和容器并接受订货。下午店铺里的学徒回到船上
    以前,航船主要到店铺去结账。下午2时,航船开始返回,约四五点钟
    到达村里。船经过时,村民都在门口等待,接受他们托买的东西。
    其中有一条船在我到村子以前约两个月才开始做此项经营,另三
    条船已做了多年。有一个航船主,现在已年老,这一职业是从他父亲
    处继承的。因此,我们可以了解到,这是一个存在已久的制度。
    从理论上讲,任何人可以经营航船,航船主没有正式的资格,他
    只要向公众宣布,他将做航船这行业,接受别人委托买东西即可。但
    一旦开始了这个行业,他必须每天有规律地继续下去,无论他接受多
    少委托。有一个航船主名叫周福生,我在村里时,他病得很厉害,但
    他无法停止他的服务工作,因为所有顾客都靠他供应日常必需品。有
    一个新经营这行业的叫周志法,他有时到城里去,连一家订户都没
    有。这意味着,航船主必须把全部时间和精力花在经营这个行业中,
    大多数有地种的农民是不可能达到这种要求的。此外,航船主必须与
    城里的店铺有关系,特别是作为一个销售代理人。要懂得商业上的知
    识和习惯,需要时间和实践。

    一个地区有多少航船,要看有多少居民及航船主个人有多大能
    力。一个像福生这样有非凡能力的人,过去垄断沿河A的整个地区,约
    150多户。个人能力即脑子清楚,记忆力好,不会记错各种口头的委
    托。一眼看去,不借助任何记录,能处理这么多瓶瓶罐罐。这简直是
    不能使人相信的。实际上,只有经过一个缓慢的过程,才能逐渐熟悉
    每一个顾客的瓶子或罐头,记得每个顾客经常的需要。有时也会记
    错,有一次一个顾客说,给了福生一元钱,但福生不记得他这件事
    了。虽然福生毫不犹豫地负责还了他一元钱,但顾客还是埋怨。当福
    生的能力逐渐衰退时,志法已能够在他这地区开始接替他了。
    航船主为顾客服务并不向顾客索取佣金,也不从中赚钱,城里的
    店铺定时送他一些礼物或招待他。货物通过航船主的手,价格并不提
    高。如果农民自己直接到城镇商店去买,他们可能得到更少或更坏的
    东西,城里的商人可能欺侮个别来的买主而他不敢欺侮航船主。这并
    不是因为航船主个人能力比城里的商人强,而是由于城镇商人竞争需
    要保持经常的主顾。大多数城里的店铺依赖航船来得到农村这个广阔
    的市场。对商人来说,失去一条船即意味着很大的损失。他们力图保
    持旧主顾,吸引新主顾。因此行贩在交易中是处于有利地位的。
    航船的存在使村庄的店铺处于一种辅助性的地位。村庄店铺无法
    与航船竞争。它们太小,不能像城镇商店那样直接向城市里的大批发
    商店订货。它们也像航船一样向城镇店铺购货。但航船代客买东西免
    收服务费,而村庄的商人零售时要赚钱。如上所述,村庄小店里只有
    那些急需品以及船船不能运输的货物才有买主。
    航船主不记账,所以我无从估计他们的交易额。福生作了一个估
    计,每天约10—20元。快到年底时,最高记录为每天40元。看来,这
    一估计是可靠的,可以从农民向外购货的总金额来核对一下。按农户
    开支的分析(第七章第8节),估计每年约为8万元。如果我们从这一
    数字减去衣服、蔬菜、重型工具和桑叶的费用,这些东西不是通过航
    船购买的,约为3万元,这与福生的估计大致相似。

    我不能把航船从城镇购买的商品开列一个清单。这个清单一定会
    很长,因为所有可从城镇购买的,航船可以运输的商品都可以委托航
    船去购买。船不挤的时候,少量的豆饼、砖、纸钱一类的商品也可代
    购。委托航船购买最多的东西是食品和烹调用的配料或调料。

    为了对购买过程进行全面的描述,必须重提一下消费者从城镇市
    场或其它村庄直接购买的商品。譬如,村里桑叶不够,这是蚕丝工业
    的重要原料。村民必须从太湖附近的其它村庄购买。买主自己去购买
    和运输,每次他们进城,都要买些其它东西。通过这一渠道进行的贸
    易额就难以估计。但由于村民不常进城,所以买的东西也有限。

    6.航船,生产者的销售代理人

    航船的一个重要特点是作为消费者的代购人,是不赚钱的。同
    样,乘客也不付船费(年轻人得出劳力划船除外)。城镇店铺给航船
    主的礼物远远不足以维持他们的生活。他们只有在充当生产者的销售
    代理人时才得到报酬。
    销售货物需要更多的技巧和有关市场的知识,农民不一定具备,
    因此他们出售产品时需要依靠航船主。后者经常与城镇里的收购商品
    的行家保持联系。他了解各个行家的情况。行家与不同的商人或纺织
    厂相联系,他们收购货物是有挑选的。生产者为了出售他们的某种产
    品应该知道与那些有关的收购人保持联系,这是很重要的。此外,在
    收购生丝的时候,有一种已经被收购者接受了的习惯做法,即允许生
    产者在丝里加一定量的棉花和水以加重份量。但如果超过惯常的限
    量,收购者便要扣钱,扣的数量比外加份量的钱更多。因此,生产者
    需要就这方面的业务与内行的代理人商量。

    航船主还帮助生产者按照购买者的要求来包装蚕丝,以便使同样
    数量、质量的丝能卖到较高的价钱。生产者与航船主一起到收购人那
    里去,但收购人只认识航船主,他的账上有航船主的户头。如果生产
    者不接受对方的价格,他可以不出售他的产品。但在一般情况下,他
    听从他所信任的航船主的忠告。生产者如果出售100两蚕丝,约合当前
    的市价25元,他便付给航船主一元钱佣金。换句话说,航船主按生产
    者出售蚕丝的数量拿4%的佣金。佣金数不随蚕丝价格的变化而变化。
    因此,蚕丝价格高时佣金率反而低。每出售3蒲式耳米要给佣金5分,
    生产者收益约合7元,佣金百分率约为0.7%。这个村庄的蚕丝总生产量
    约为9万两,航船主可得900元佣金。大米的总出口量为7,000蒲式
    耳,航船主可得总数约为650元的佣金。如果四个航船主平分这个数
    额,每人一年约得400元。有这样一笔数目,生活可以过得不错了。
    那些卖出产品后付给航船主佣金的人,有权把船当做交通工具使
    用,而且可委托航船主购买货物。因此,此项服务的支付额是根据生
    产量来定,而不是根据顾客的消费量来定的。
    新近的养羊工作为航船主增加了一项新的收入来源,但我不知道
    卖羊收佣金的确切办法。
    蚕丝业的改革对航船制度的存在提出了挑战。新的丝厂不利用航
    船到城镇市场去代销蚕丝。产品直销上海。开始时,航船主要求补
    偿。改革者考虑到航船是村里一种有用的制度,因此决定根据传统的
    佣金额给他们补偿。合作社的每一个社员收到一张卡片,上面记录着
    他供应蚕茧的数量。生产者可以把卡片交给他委托购买东西的航船
    主。根据合作社社员卡片上记载的蚕茧供应数量,航船主可收到一定
    数量的补偿费。这样才把航船制度保存了下来。

    7.其它收集方式

    大宗的农村产品由城镇通过航船或由城市通过工厂收购。但对一
    些零星物品和废品一如旧衣服、纸钱灰、废铜烂铁等还有另一种收购
    方法。有时候是以货易货的形式出现,即:货物直接交换。收购者带
    着陶瓷器或一种特别的糖果来换取旧衣服和金属器皿。纸钱灰含锡,
    可换叠纸钱的锡箔。

    8.贸易区域和集镇

    贸易区域的大小决定于运输系统——人员及货物流动所需的费用
    和时间。消费者直接购买货物的初级市场局限于这样一个区域,即买
    者不需要花很多时间以致妨碍他的其它活动便可在其中买到货物。在
    这个村里我们可以看出来,有两个初级购销区域。住在河B的桥附近的
    人们不会到河A的桥附近的商店去买东西。例如,理发店、肉店、杂货
    店和庙宇都分设在两个地区,大致与航船活动分工范围相当。但银
    匠、鞋匠和药店坐落在河A的西桥附近,是村内道路系统的中心(第二
    章第4节)。这些行业在村里各自只有这一家店。从这个意义上说,这
    个村子也是一个初级市场。
    中级市场就是初级市场的零售商用批发价格购买货物的地方。在
    这个地区,航船不能被看作是一个零售商。它代替消费者买货,但正
    如我们知道的,这项服务不收费。这样,航船便限制了村里初级市场
    的作用,并使远处的城镇成为消费者初级购买的中心。
    专门从事这项工作的航船主能把他所有的时间用于这一活动。因
    此,购买者和出售者之间的距离便延长到适于当日往返的旅程。实际
    距离取决于船的速度,估计每小时为1.6英里。能够派出航船到镇上代
    购货物的村子,其最远的距离不能超出五英里以外。因此,这样一个
    购销区域的直径是8—10英里。
    每个贸易区域的中心是一个镇,它与村庄的主要区别是,城镇人
    口的主要职业是非农业工作。镇是农民与外界进行交换的中心。农民
    从城镇的中间商人那里购买工业品并向那里的收购的行家出售他们的
    产品。城镇的发展取决于它吸引顾客的多少。正如我们已经了解的,
    航船的制度使这一地区的城镇把附属村庄的初级购买活动集中了起
    来,从而减弱了农村商人的作用。这一类购销区域的范围比中国北方
    的购销区域大得多,中国北方主要是陆路运输,代购或代销体系不发
    达。杨庆堃的研究 [48] 说明了在村庄初级市场之上的典型的中国北方
    购销区域的直径约为1.5—3英里。更高一级的购销区域,包含六个基
    本购销区域,其直径约为8—12英里。后者与我们现在正在研究的城镇
    市场规模相仿。
    这个村庄所依托的城镇,就是航船每天去的镇,叫做震泽,在村
    庄以南约4英里的地方。其实,这个镇没有垄断这个村庄的全部贸易活
    动。在北面,还有一个镇,叫大庙港,离村庄约1.5英里,在太湖边上
    (地图Ⅱ)。这是一个专门与太湖里的岛屿进行贸易的小镇。镇附近
    有一座太湖神庙,镇由此而得名。人们去庙宇的时候,通常在这个镇
    里购买物品。徒步走去需要约1.5小时。但这个村庄和大庙港之间的贸
    易同这个村庄和震泽镇的贸易相比是无足轻重的。
    在收购农产品的过程中,震泽镇垄断了这个村庄全部大米的贸
    易。但它从未完全垄断蚕丝产品,自从村中丝厂成立以来,加过工的
    蚕丝被直接运到上海。即使在过去,这个村庄也供应大量生丝给村东
    约12里处的盛泽镇丝织工业时,也有一条航船直接往返此镇。路程太
    远,不能当天往返,班次也不定期,所以只管售货。十多年来,一方
    面由于该镇丝织工业衰落,另一方面由于这个村庄的蚕丝业改革,此
    船已经停止了。
    关于城镇之间如何竞争以保持它们的附属村庄,将是一个有趣的
    研究。但是对这一问题的详细分析,需要对整个地区作更广泛的调
    查,这不是目前的研究所能达到的。

    9.销售与生产

    丝和羊完全是为出售而生产的。我们已经看到,在这些行业中,
    价格是如何影响生产的。土产生丝的价格低廉,剌激了技术改革。改
    革结果,土产生丝产量大大下降。但近年来,其产量并未按其价格下
    降的比率下降。相反,还有一些增加的迹象。正如已经解释过的,这
    是由于缺乏其它工作来吸收村里剩余的妇女劳力的缘故。村里开始养
    羊,这是因为市场有新的需要。但目前缺乏草的供应,产量不可能增
    加。因此,价格不是决定产量的唯一因素。

    生产大米,部分是为出售,部分是为消费。储备粮的数量不一定
    根据价格的波动而升降。每一户都要准备够一年消费的储备粮。市场
    大米价格上涨不会诱使生产者出售他的存粮,因为未来的大米价格不
    确定。但大米价格低会迫使农民出售更多的大米。这是因为收割的时
    候要求佃农用钱交租,那时每户所需要的货币收入或多或少都已知
    道。这一事实,对大米收购者来说很重要。他们通常为了增加贸易额
    而压低大米价格。农民的总储备量往往就这样被减少到不够他们自己
    消费。来年夏季,他们就只得靠外界供应(第十五章第3节)。这对商
    人也有利可图。

    价格波动不影响大米的总生产量。总生产量决定于土地的大小、
    生产的技术以及最终决定于降雨量的多少。这些都是人们几乎不能控
    制的事。改变职业是困难的,甚至改变农作物,村民脑中都很少想
    到。因此,生产结构是受到严格限制的,它不能随着市场的需求作出
    灵活的反应,变化是缓慢而长远的。

    让我们以丝业作为例子。尽管在蚕丝业方面有很好的改革计划,
    计划者对改革也作出了特殊的努力,但市场的新需求与生产系统之间
    的调整过程经历了几乎10年的时间。从我们对变迁过程的分析(第十
    二章),我们看到供应和需求的有效性取决于对市场的了解,这是农
    民不具备的。如果没有特殊的力量来影响并促使变革,人们几乎不理
    解蚕丝价格下跌的原因,更不明白市场对货物类型所提出的新的需
    求。为了实现蚕丝改革,需要专门的知识和社会组织。所有这些因素
    延误乡村经济在供求方面的及时自动调整。

    在农村,改变职业比改革现有作业更加困难。除养羊以外,没有发现人们想在村里发展新的职业。甚至养羊也仅仅是现有生产系统的一种补充,而不是职业的改变。农村居民只有离开农村才能改变他们
    的职业。换句话说,在目前情况下,职业流动意味着人口从农村流向
    城镇。在村里,出去找新职业的大多数是女青年,她们在这个社区里
    尚未进入一个固定的社会位置。甚至在这个群体里,这种流动已经向
    传统亲属关系和家庭群体的稳定性提出了挑战(第十二章第9节)。反
    抗破坏社会稳定的力量变成了一股阻碍当前人口流动的力量。目前很
    难说,在新的情况下,传统力量会作多少让步。但总的来说,人口流
    动是缓慢的,特别是男性人口流动得很少,这说明了外界对劳动的需求不大和村里传统生产系统的僵化。

    尽管如此,市场强烈地影响着生产,这一点是显而易见的。它导致了各方面的变化,这些变化不仅仅局限于人们的经济生活。生产系统对市场情况的反应不是一个简单的过程,而是一个长期复杂的过程,要了解这一过程需进行范围更广泛的调查研究,单纯从经济方面研究是不够的。

    第十五章 资金

    在交换过程中,以货物、劳务或现金不能及时偿还时便发生了信
    贷。简单地说,信贷就是一方信赖另一方,经过延迟一段时间,最后
    偿还。

    在这一意义上讲,相互之间的义务,互相接待留宿,互赠礼物等
    非即刻交换的形式也是信贷的形式。这些信贷的偿还是通过社会制度
    中固有的互惠原则来保证的,并与亲属关系及友谊有密切关系。对于
    有这种关系的群体之外的交易,偿还的时间必须有明确的协议,并且
    信贷只有对贷方有利才能被接受。

    贷款可以作任何用途,或可能限于协议中规定的某种用途。但信
    贷一词不能仅限于指对未来产品的预先付款。在这个村里,信贷在多
    数情况下是用于消费或付租付税,租和税与生产过程仅有间接的关
    系。同样地,也很难把借来办婚事的钱看作是对借钱人的生产能力有
    所帮助(除非是隐喻的意义)。

    在讨论中国农村的信贷体系时,托尼教授写道:“这个体系的特点……是借钱人和出借人对用于农业生产的信贷和补助家庭开支的借款两者之间的区别看来都不清楚。这就是说,把一切都记作一笔笼统
    的账,其结果,在欠债人或债权人的脑海中对借贷来作生产用途或家
    庭用途的钱无所区别。他们不明确用于生产的钱最后应该产生利润并
    足以偿还利息,家庭开支在没有意外的不幸事故的情况下,应能以收
    入偿付。” [49]

    在本章,我将从信贷的广泛意义上来使用这一术语。

    1.积蓄与亏空

    信贷只有在一方面有积蓄,另一方面亏空时才可能产生。积蓄是
    指村里的经济单位家庭的收入超过支出时的剩余。收入指家庭的全部
    产品。它可以转换为钱,也可以不转换为钱。支出则包括家庭的成员
    用于消费、用于完成社会义务和用于生产而由自家生产或从市场购买
    的全部物品。
    村里每家的生产量,相差不大,因为这种群体的大小,大致相
    仿,生产技术亦基本相同。它们的消费量也有一致性(第七章第1
    节)。除个别情况有特殊原因外,其财产分配不平等的原因,主要是
    土地占有制问题。佃农必须负担很重的地租。村里三分之二的土地为
    不在地主掌握。村民每年交付租米总额为4,800蒲式耳。这一负担并
    不是平均分摊在村民身上,而是由70%以上的人分担。在这些人中间,
    负担又不同(第十一章第5节)。土地占有制的这种情况导致了每年大
    量财富从村里外流到城镇,以及村中财富分配不均的情况。
    蚕丝业兴旺时,尽管地租很高,但村民仍可维持足够的生活水
    平,并且尚可有所积蓄。这种积蓄通常被储藏起来。在村里,很少有
    投资的机会,除交租以外,城镇没有其它手段吸收积累的财富。农民
    储藏的货物或金钱首先是用作储备以对付经常发生的灾难,其次是供
    昂贵的礼节性开支。与个人生活有关的繁重的礼节或当地群体定期的
    宗教集会实际上是农村地区所积蓄的财富的重要出路。在礼节性场
    合,炫耀财富的思想替代了勤俭节约。在丧葬、结婚聘礼、嫁妆、宴
    席等方面,特别是举行村际游行时,财富挥霍严重(第七章第7节)。
    蚕丝业的萧条使村里的平均收入减少了三分之一(第十二章第2
    节)。在开支方面,消费和社会义务仍然像过去一样。唯一可以缩减
    或暂缓的款项是礼仪性开支,据我估计,目前这种开支占总货币开支
    的五分之一(第七章第8节)。由于收入迅速降低,支出依然不变,结
    果是亏空。
    亏空可以是紧急的或非紧急的。紧急亏空需要采取立即措施。食
    物不足、资本货物缺少、无能力付租付税等属于这种情况。除非给以
    资助,否则对有关个人会产生灾难性结果。由于付租义务并不是人人
    都有的,这种紧急亏空限于一部分村民。一小部分人,即使在目前情
    况下,仍能有些积蓄,还有另一些人则可以维持最低限度的生活。非
    紧急亏空,例如无力支付礼仪所需的费用,这在比较有钱人中间也是
    较普通的。我已经描述过村民是怎样推迟婚期、暂停每年的团聚、缩
    减礼仪性开支等情况。
    积蓄减少造成了对外界资金流入的需求增加。内部借贷系统只能
    对付这个社区内部财富分配上的不平等,不能解决普遍无力偿付债务
    的问题。因此外界资金流入便成为村里紧急的金融问题。
    以下各节,我将描述各种内部和外部的信贷系统。但目前掌握的
    材料不足以从定量分析方面来阐明它们相对的重要性。这种数据很重
    要,但需要比我现在所能做到的更广泛的调查研究。

    2.互助会

    物品、劳务和少量的钱可以不付利息,短期地向亲戚朋友借用。
    这种补贴的办法主要见于遇有暂时性亏空时,债权人相信借款人有能
    力在短期内还债。此类借贷可能延续数个月。这种相对较长期的信贷
    在分家后的兄弟之间常见。他们虽然有各自的房子和财产,但仍然有
    社会纽带把他们联系起来,照顾彼此的福利。为少量借款,向兄弟要
    利息,被认为是不可能的。
    但需要大笔款项时,向个人商借并在短期内归还常有困难。因
    此,兄弟之间或其他亲戚之间的互相帮助便不能满足需要。这样才产
    生了互助会。
    互助会是集体储蓄和借贷的机构,由若干会员组成,为时若干
    年。会员每年相聚数次。每次聚会时存一份款。各会员存的总数,由
    一个会员收集借用。每一个会员轮流收集使用存款。第一个收集人即
    组织者。一开始,他是该会的借债人。他分期还款,交一定量的利
    息。最后一个收集人是存款人。他最后收集自己那笔存款和利息。其
    他成员则依次收集存款,从存款人变为借债人。收款次序按协议、抽
    签或自报公议的办法决定。每次聚会时,每一会员存款数目的计算往
    往由于各种因素而变得较为复杂,我将在以后描述。
    这种互助会,经常是由于某人需要经济援助而发起组成的。参加
    互助会的会员被认为是对组织者的帮助。按以上描述的办法,每个人
    似乎都轮流得到好处。但我们必须记住,投资的机会有限,借一笔款
    并付利息,可能是不经济的。此外,由于收钱时间不定,收款人可能
    难以把收来的钱用于最适当的需要。所以组织者对会员不能只强调他
    们在经济上会得到什么好处,而必须说他自己需要经济上的帮助。因
    此,会员通常只限于某些有义务帮助组织者的人或一些为了其它目的
    自愿参加的人。
    通常组织这种互助会的目的是为办婚事筹集资金,为偿还办丧事
    所欠的债务。这些也是筹集资金的可以被接受的理由。但如为了从事
    生产,譬如说要办一个企业或买一块土地,人们往往认为这不是借钱
    的理由。
    有了一个正当的目的,组织者便去找一些亲戚,如:叔伯、兄
    弟、姐夫、妹夫、舅父、丈人等。他们有义务参加这个互助会。如果
    他们自己不能出钱,他们会去找一些亲戚来代替。
    会员的人数从8—14人不等。在村庄里,保持密切关系的亲属圈子
    有时较小。因此,会员可能扩展至亲戚的亲戚或朋友。这些人不是凭
    社会义务召集来的而必须靠互利互惠。如果一个人需要经济上的帮
    助,但他没有正当的理由来组织互助会,他将参加别人组织的互助
    会。被这个社区公认为有钱的人,为了表示慷慨或免受公众舆论的指
    责,他们将响应有正当理由的求援。例如,周加入了十多个互助会,
    他的声誉也因此有很大提高。

    但这种互助会的核心总是亲属关系群体。一个亲戚关系比较广的
    人,在经济困难时,得到帮助的机会也比较多。从这一点来说,我们
    可以看到,像“小媳妇”(第三章第8节)这样的制度,使亲属圈子缩
    小,最终将产生不利于经济的后果,另一方面,扩大亲属关系,即使
    是采取名义领养的方式,在经济上也有重要的意义(第五章第3节)。
    在理论上,组织者将对会员的任何违约或拖欠负责,他将支付拖
    欠者的一份款项。但由于他自己需要别人的经济援助,因此他的负责
    是没有实际保证的。拖欠或违约并不是通过法律的制裁来防止而是通
    过亲戚之间公认的社会义务来防止。拖欠的可能性又因互相补贴的辅
    助办法的存在而减少。一个人在这样的环境中,很容易提出要求补
    贴,特别是他届时有从互助会中收集存款的机会。不利于自己的后果
    也是一项重要的考虑。拖欠人会发现,他需要帮助时便难于组织起他
    所需的互助会。然而事实上还是有违约或拖欠的,尤其是以往数年
    来,有这种情形发生。正如我已提到过,当地信贷系统的有效程度取
    决于村民普遍的储蓄能力。经济萧条使拖欠人数增加,从而威胁着当
    地的信贷组织。这对现存的亲属联系起着破坏的作用。但由于我对此
    问题没有详细的调查,只好将它留待以后作进一步的研究。
    有三种互助会,最流行的一种叫“摇会”,在这个会中,组织者
    召集14个会员,每人交纳10元。组织者总共得140元。摇会每年开两次
    会:第一次在7月或8月,那时蚕丝生产告一段落,第二次在11月或12
    月,水稻收割完毕。在每一次会上,组织者偿还摇会10元本钱和3元利
    息。这样,在第十四次会结束时,他可以把债还清。
    在相继的每一次会上,有一个会员收集70元钱。收这笔钱的人就
    是摇会的借款人,他在以后的每一次会上应还5元本钱及1.5元利息。
    由于会员只拿相当于组织者一半的钱,所以计算时稍为复杂。组织者
    每年交款的半数将在会员中平分(13/2÷14)=0.464,这叫组织者的
    余钱。会员拿的实际数为70+0.464,借款人每年交款为6.036(6.5-
    0.464)元。
    组织者和借款人每年交的钱和会员收的钱数均为恒定。没有收款
    的那些人为摇会的存款人。由于每一次会有一个会员收款,所以借款
    人逐步增加,存款人随之减少。在每一次会上,存款人存款数目根据
    以下公式计算:会员的款数(70.464-{组织者的存款(13)+〔借债人
    数×借债人存款(6.036)〕})÷存款人数。
    在每一次会上存款人存款总数减少。 [50] 对每一个会员来说,存
    款总数,按照收款的次序逐步减少。由于收款数不变,存款和收款数
    目之间的差即借债人付的利息或存款人收的利息。借债人的利率规定
    为年利4.3%。但由于存款和借款以及两种余额混在一起,因此,会员
    之间以及每年的实际利率不同。 [51] 每次会的收款人根据抽签的办法
    决定。每个会员掷两颗骰子,点数最高者为收款人。组织者为每次摇
    会准备了宴席,由各次摇会的收钱人负担宴席费用。席后,组织者收
    齐了会员交纳的款项,再进行抽签。
    摇会的办法比较复杂。但有它的优点:
    (1)参加会的会员对收来的钱没有预计肯定的用处。减少会员交
    纳的钱数,会员的负担减少,从而也减少了拖欠的危险。(2)用抽签
    办法决定收款人,每个存款人都有收款的均等希望。这促使需要经济
    援助的人去交款。(3)存款人交款数迅速下降弥补了他们延期收款的
    不足之处。(4)丰盛的宴席吸引会员。有些人,把宴席改在冬天,每
    年一次,下一阶段的收款人预先决定。人们发现春天收款极为困难,
    所以放弃了这种办法。

    这种会的办法比较复杂,普通农民很难理解它。事实上在村子
    里,懂得这种计算办法的人很少,所以必须请村长来教。为了解决这
    一困难,不久以前,有人提出一个比较简单的互助会办法,叫徽会,
    因为据说这是从安徽传来的。这个会的收款次序,及每个会员交纳的
    款数,均事先规定。 [52]
    每次会收款总数不变,规定为80元,包括收款人自己交纳的一
    份。这一借贷办法便于计算,每个会员能预知轮到他收款的时间并纳
    入他自己的用款计划。
    第三种互助会称广东票会,来源于广东,采取自报的方式。所有
    存款人自报一个希望在会上收款的数目,报数最低的人为收款人。存
    款余钱减去收款人的款数后,在会员中平分。在村子里,此种会不很
    普遍,向我提供材料的人告诉我,这种方式的赌博性质太重。

    3.航船,信贷代理人

    村庄和城镇之间亲属关系非常有限。住在城镇的农民很少。几代
    在城镇居住的人,他们与村子里同族的关系已经比较疏远。我已提到
    过,族人分散后,族就分开了(第五章第1节)。城镇与农村通婚也很
    少。在我看来,城里人和村民的关系主要是经济性质的。例如,他们
    可能是地主和佃农的关系,在目前的土地占有情况下,他们之间的关
    系不是个人的关系。主人和暂时在城里当女佣的妇女,他们之间的关
    系较密切。但就整体来看,城里人和农民之间的社会关系不密切,不
    足以保持一个在经济上互相补贴或互助会的系统。当村民需要外界资
    助时,他们通常只得求助于借米和高利贷系统。
    在稻米是主要产品的农村里,粮食供应不足并非常态。这是农产
    品价格下降的结果。要使收入与过去一样不变,产量必须增加。结果
    是村民的稻米储备往往在新米上市以前便消耗尽,以致需要借贷维
    持。从这方面讲,航船在村庄经济中起着重要的作用。
    村民通过航船出售稻米给城镇的米行。米行与航船主联系,而不
    是与真正的生产者联系的。为了能得到经常不断的供应,特别是为对
    付城镇市场的竞争,米行必须与航船主保持友好的关系。另一方面,
    航船主对生产者来说,是不可缺少的服务对象。生产者依赖航船主进
    行购销。这些关系使航船主在需要时建立起米行和村民之间的借贷关
    系。
    航船主代表他的顾客向米行借米,并保证新米上市后归还。他的
    保证是可靠的,因为借米人生产的米将通过他出售。此外,收购人出
    借大米不但可以获利而且也有利于保证未来的供应。

    向米行借米的价格为每三蒲式耳12元,比市场价高。借债人将以
    市场价格偿还相当于12元钱的大米(冬天,三蒲式耳米约为7元)。如
    果借期两个月,每月利率约为15%。这一利率比较高利贷还算低些。这
    是因为一方面有航船主作为中保,另一方面对米行来说,可以保证其
    未来的大米供应,出借人所担的风险不大。由于镇上存在好几家米
    行,出借大米,价格并不划一,有利于借米人以较低的利息借进大
    米。
    这是一种比较新的信贷系统。它尚未超出借米的范围。但用同样
    的原则,这种系统可逐步扩展至通过米行和丝行变成银行来出借钱,
    作为对收购产品的预先支付。这种产品相对来说比较稳定,而且是可
    以预计的。

    4.高利贷

    当农村资金贫乏时,从城镇借钱给农村是必然会发生的。农民向
    城镇里有关系的富裕人家借钱。其利息根据借债人与债权人之间关系
    疏密而异。然而,如我已经提到过的,农民和城里人之间的个人关系
    有限,而且与农民有个人关系的人也可能没有钱可出借。结果城镇里
    便出现了一种职业放债者。职业放债者以很高的利息借钱给农民。这
    种传统制度,我们可称之为高利贷。

    例如,无力支付地租并不愿在整个冬天被投人监狱的人,只得向
    别人借钱。高利贷者的门是向他敞开的,出借的钱按桑叶量计算。农
    民借钱时并没有桑叶,也没有桑叶的市场价格。价格是人为制定的,
    每担(114磅)7角。譬如,借7元钱,可折算成10担桑叶。借期在清明
    (4月5日)结束,必须在谷雨以前还款(4月20日)。借债人必须按照
    当时桑叶的市场价格归还相当于10担桑叶的钱,那时每担桑叶为3元。
    因此,如10月份借7元钱,到第二年4月必须还高利贷者30元。在这五
    个月中,借债人每月付利息65%。这种借贷办法被称为“桑叶的活
    钱”。

    清明时节,人们正开始从事养蚕业。在村里,这是经济上最脆弱
    的时期。冬天付不起地租的人,也不见得有能力还钱给债权人。在前
    五个月中,人们除了做一些生意外,不从事大的生产活动。在这种情
    况下,借债人可以向债权人续借贷款,按米计算。这种方式被称
    作“换米”。不论市场米价如何,借米的价格为每三蒲式耳5元。借期
    延续至下一年10月。偿还时按市场最高米价计算,每三蒲式耳约7元。
    一个人在10月借7元到第二年10月应还48元,利率平均每月53%。
    借债人如果仍无力还清债务便不允许再延长借期。借债人必须把
    手中合法的土地所有权交给债权人。换句话说,他将把田底所有权移
    交给债权人。土地价格为每亩30元。从此以后,他再也不是一个借债
    人而是一个永佃农。他每年须付地租(第十一章第4节)而不是利息。
    地租为每亩2.4蒲式耳米或约4.2元。如果我们按巴克对农村土地
    投资所估计的平均利率8.5%计算 [53] ,我们发现每亩地值56元。因
    此,7元钱的贷款一年之后使债权人最终得利为一块价值89元的土地。
    通过高利贷者,田底所有权从耕种者手中转移到不在地主手中,
    不在地主系从高利贷者手上购得土地所有权。不在地主制便是以这种
    金融制度为基础的(第十一章第4节)。

    高利贷是非法的制度,根据法律,约定年利率超过20%者,债权人
    对于超过部分之利息无请求权。 [54] 所以,契约必须用其它手段来实
    施而不是法律力量。高利贷者雇用他自己的收款人,在借债满期时迫
    使借债人还债。如果拒绝归还,收款人将使用暴力并拿走或任意损坏
    东西。我知道一个实例,借债人死的时候,债权人便抢走死者的女
    儿,带到城里作他的奴婢。借债人通常无知,不懂得寻求法律保护,
    社区也不支援他。他完全受高利贷者的支配,如果借债人既没有钱还
    债,也没有田底所有权,债权人认为比较巧妙的办法还是让借债人继
    续耕种,这样可以保留他向借债人未来产品提出要求的权利。借债人
    被逼得毫无办法时,可能在高利贷者家里自尽。高利贷者便面临着鬼
    魂报复,也会引起公愤而被迫失去债权。这种极端的手段虽然很少使
    用,但在某种程度上,对防止高利贷者贪得无厌的做法是有效的。
    高利贷者住在城里,每人有一外号。同我调查的这个村庄有关系
    的一个高利贷者,姓施,叫剥皮。这一外号说明了公众的愤恨。但他
    却又是农民急需用款时的一个重要来源。可供借贷的款项极为有限,
    而需求又很迫切。入狱或者失去全部蚕丝收益的后果更加势不可当。
    向高利贷者借款至少到一定的时候,还可能有一线偿还的希望。
    我未能计算出村里高利贷者放债的总数。因为田底所有权转移到
    村外的其它方式即使有的话,也是很少的。租佃的范围可能就说明了
    高利贷制度的范围。

    高利贷的存在是由于城镇和农村之间缺乏一个较好的金融组织。

    在目前的土地占有制下,农民以付租的形式,为城镇提供了越益增多
    的产品,而农民却没有办法从城镇收回等量的东西。从前,中国的主
    要纺织工业,例如蚕丝和棉织工业在农村地区发展起来,农民能够从
    工业出口中取得利润以补偿农村的财富外流。农村地区工业的迅速衰
    退打乱了城镇和农村之间的经济平衡。广义地说,农村问题的根源是
    手工业的衰落,具体地表现在经济破产并最后集中到土地占有问题上
    来。在这个村子里,为了解决当前的问题,曾致力于恢复蚕丝业。这
    种努力的部分成功是很重要的,它也是在尖锐的土地问题下减轻农民
    痛苦的一个因素。

    5.信贷合作社

    关于信贷问题,我也应该提一下政府为稳定农村金融而采取的措
    施。农村的合作信贷系统实际上不是农民自己的组织,而是农民用低
    利率从国家银行借钱的一种手段。江苏省农民银行专拨一笔款项供农
    民借贷。这一措施指望基本解决农村资金问题。但它的成功与否取决
    于它的管理水平和政府提供贷款的能力。在我们这个村里,我知道这
    个“合作社”借出了数千元钱。但由于借债人到期后无能力偿还债
    务,信贷者又不用高利贷者所用的手段来迫使借债人还债,借款利息
    又小,不足以维持行政管理上的开支。当这笔为数不大的拨款用完
    后,信贷合作社也就停止发生作用,留下的只是一张写得满满的债
    单。

    目前,至少在这个村里,这种实验的失败告诫我们,需要对当地
    的信贷组织有充分的知识,这是很重要的。如果政府能利用现有的航
    船、互助会等系统来资助人民,效果可能要好一些。建立一个新的信
    贷系统需要有一个新的约束办法。在当地的信贷系统中,对到期不还
    者有现成的约束办法。如果能利用传统的渠道,再用政府的力量将其
    改进,似乎成功的机会会大一些。

    第十六章 中国的土地问题

    上述一个中国村庄的经济生活状况是对一个样本进行微观分析的
    结果。在这一有限范围内观察的现象无疑是属于局部性质的。但他们
    也有比较广泛的意义,因为这个村庄同中国绝大多数的其它村子一
    样,具有共同的过程。由此我们能够了解到中国土地问题的一些显著
    特征。

    中国农村的基本问题,简单地说,就是农民的收入降低到不足以
    维持最低生活水平所需的程度。中国农村真正的问题是人民的饥饿问
    题。

    在这个村里,当前经济萧条的直接原因是家庭手工业的衰落。经
    济萧条并非由于产品的质量低劣或数量下降。如果农民生产同等品质
    和同样数量的蚕丝,他们却不能从市场得到同过去等量的钱币。萧条
    的原因在于乡村工业和世界市场之间的关系问题。蚕丝价格的降低是
    由于生产和需求之间缺乏调节。

    由于家庭手工业的衰落,农民只能在改进产品或放弃手工业两者
    之间选择其一。正如我已说明的,改进产品不仅是一个技术改进的问
    题,而且也是一个社会再组织的问题。甚至于这些也还是不够的。农
    村企业组织的成功与否,最终取决于中国工业发展的前景。目前的分
    析对那些低估国际资本主义经济力量的改革者来说,是一个警告。
    如果农村企业不立即恢复,农民只得被迫选择后者。他们将失望
    地放弃传统的收入来源,正如纺织工业已经发生的那样。如果从衰败
    的家庭手工业解除出来的劳动力能用于其它活动,情况还不至于如此
    严重。必须认识到工业发展中,某些工业并不一定适合留在农村。但
    就目前来说,尚无新的职业代替旧职业,劳力的浪费将意味着家庭收
    入的进一步减少。

    当他们的收入不断下降,经济没有迅速恢复的希望时,农民当然
    只得紧缩开支。关于中国农民的开支有四类:日常需要的支出,定期
    礼仪费用,生产资金,以及利息、地租、捐税等。正如我们已经看到
    的,农民已经尽可能地将礼仪上的开支推迟,甚至必要时将储备的粮
    食出售。看来,农民的开支中最严峻的一种是最后一种。如果人民不
    能支付不断增加的利息、地租和捐税,他不仅将遭受高利贷者和收租
    人、税吏的威胁和虐待,而且还会受到监禁和法律制裁。但当饥饿超
    过枪杀的恐惧时,农民起义便发生了。也许就是这种情况导致了华北
    的“红枪会”,华中的共产党运动。如果《西行漫记》的作者是正确
    的话,驱使成百万农民进行英勇的长征,其主要动力不是别的而是饥
    饿和对土地所有者及收租人的仇恨。

    在现在这个研究中,我试图说明单纯地谴责土地所有者或即使是
    高利贷者为邪恶的人是不够的。当农村需要外界的钱来供给他们生产
    资金时,除非有一个较好的信贷系统可供农民借贷,否则不在地主和
    高利贷是自然会产生的。如果没有他们,情况可能更坏。目前,由于
    地租没有保证,已经出现一种倾向,即城市资本流向对外通商口岸,
    而不流入农村,上海的投机企业危机反复发生就说明了这一点。农村
    地区资金缺乏,促使城镇高利贷发展。农村经济越萧条,资金便越缺
    乏,高利贷亦越活跃——一个恶性循环耗尽了农民的血汗。

    中国的土地问题面临的另一个困境是,国民党政府在纸上写下了
    种种诺言和政策,但事实上,它把绝大部分收入都耗费于反共运动,
    所以它不可能采取任何实际行动和措施来进行改革,而共产党运动的
    实质,正如我所指出的,是由于农村对土地制不满而引起的一种反
    抗,尽管各方提出各种理由,但有一件事是清楚的,农民的境况是越
    来越糟糕了。自从政府重占红色区域以来到目前为止,中国没有任何
    一个地区完成了永久性的土地改革。

    我们必须认识到,仅仅实行土地改革、减收地租、平均地权,并
    不能最终解决中国的土地问题。但这种改革是必要的,也是紧迫的,
    因为它是解除农民痛苦的不可缺少的步骤。它将给农民以喘息的机
    会,排除了引起“反叛”的原因,才得以团结一切力量寻求工业发展
    的道路。

    最终解决中国土地问题的办法不在于紧缩农民的开支而应该增加
    农民的收入。因此,让我再重申一遍,恢复农村企业是根本的措施。
    中国的传统工业主要是乡村手工业,例如,整个纺织工业本来是农民
    的职业。目前,中国实际上正面临着这种传统工业的迅速衰亡,这完
    全是由于西方工业扩张的缘故。在发展工业的问题上,中国就同西方
    列强处于矛盾之中。如何能和平地解决这个矛盾是一个问题,我将把
    这个问题留待其他有能力的科学家和政治家去解决了。

    但是有一点,与中国未来的工业发展有关,必须在此加以强调。
    在现代工业世界中,中国是一名后进者,中国有条件避免前人犯过的
    错误。在这个村庄里,我们已经看到一个以合作为原则来发展小型工
    厂的实验是如何进行的。与西方资本主义工业发展相对照,这个实验
    旨在防止生产资料所有权的集中。尽管它遇到了很多困难甚至失败,
    但在中国乡村工业未来的发展问题上,这样一个实验是具有重要意义
    的。

    最后,我要强调的是,上述问题自从日本入侵以来并未消失。这
    种悲剧在建设我们的新中国过程中是不可避免的。这是我们迟早必然
    面临的国际问题的一部分。只有经历这场斗争,我们才有希望真正建
    设起自己的国家。在斗争过程中,土地问题事实上已经成为一个更加
    生死攸关的问题。只有通过合理有效的土地改革,解除农民的痛苦,
    我们与外国侵略者斗争的胜利才能有保证。现在日本入侵,给我们一
    个机会去打破过去在土地问题上的恶性循环。成千个村庄,像开弦弓
    一样,事实上已经被入侵者破坏,然而在它们的废墟中,内部冲突和
    巨大耗费的斗争最后必将终止。一个崭新的中国将出现在这个废墟之
    上。我衷心希望,未来的一代会以理解和同情的态度称赞我们,正视
    我们时代的问题。我们只有齐心协力,认清目标,展望未来,才不辜
    负于我们所承受的一切牺牲和苦难。

    附录

    关于中国亲属称谓的一点说明

    由于对人类学中亲属称谓问题具有特殊的兴趣,我想为本书增写一个附录,作为“亲属关系的扩展”这一章的补充。

    必须弄清楚亲属称谓的结构分析至多只能作为研究整个亲属系统
    问题的一部分,如果仅仅提供一个称呼表是没有什么用处的,因为这
    不能说明它们的社会意义。过去的有关研究都用这种方法处理,从摩
    尔根和哈特的旧著直至冯汉骥 [55] 最近的出版物都是如此。这是由于
    对语言的概念谬误,把词语看作是表现现实的结果,因此才相信对亲
    属称谓的分析就足以了解亲属关系的组织情况。

    像其它一切语言资料一样,亲属关系的称谓应该结合其整个处境
    来研究。它们被用来表示某人身份或对某物享有某种权利,表达说话
    人对亲属的感情和态度,总之是说话人对亲属的部分行为。我们必须
    直接观察称谓究竟是如何使用的,然后才能充分地分析。 [56] 但在本
    说明中不可能详尽地研究这一问题,我只想为今后的进一步调查研究
    提供一个提纲。

    中国亲属称谓从语言处境来说大致可分为四类:
    (1)某人直接与亲属说话;
    (2)某人说话时间接提到亲属;
    (3)某人用通俗口语描述亲属关系;
    (4)用书面语表达亲属关系。

    1.对话时的称呼

    对话时的称呼是个人生活中最早使用的一套亲属称呼。人们教孩
    子用亲属称谓称呼他所接触的不同的人。孩子最先接触要称呼的人便
    是他家里的人父母、父亲的双亲、有时父亲的兄弟和他们的妻子、孩
    子以及父亲的未婚的姐妹等等。在多数情况下母亲抱孩子,母亲的家
    务繁忙时,她便把孩子交给别人抱,这时孩子的祖母、父亲的姐妹,
    孩子的姐姐以及父亲兄弟的妻子将代替母亲担任起照看孩子的功能。
    家中的男性成员对照看孩子负较少的直接责任。但当孩子长大
    时,父亲作为孩子的纪律教育者,他的作用便逐渐显得重要起来。
    (孩子与亲属的关系,参看第三章第4节和第五章第1、2节。)父亲方
    面的亲属称谓见下表。

    表中所记载的有时只是实际生活中所使用的称谓的基本词。对讲
    话的人来说,每一个称呼代表一个确定的人。如果与讲话人有同样关
    系的有两个以上的人,例如他父亲的两个哥哥,则须在基本称呼词前
    面 加 修 饰 词 , 以 表 示 特 指 的 关 系 。 他 将 称 父 亲 的 大 哥 为 “DA
    PAPA”(“DA”意思是年纪大的或年长的)。称父亲的二哥为“N′I
    PAPA”(“N′I”意思是第二)。修饰词有两种:数词和个人名字。
    一般说来,对近亲或亲属中年纪大的,如父亲的兄弟姊妹及自己的哥
    哥、姐姐加数字。对远亲和弟弟妹妹则加个人的名字作为称谓前的修
    饰词。

    父系亲属称谓表

    说明:=代表婚姻关系;>代表年长的;<代表年幼的;()表示近来用的称谓。下同。

    所有下代的亲属均用个人名字或以简单数字称呼。

    对父系亲属分类时可从上表看出几个主要规则:
    (a)性的区别:这一规则没有发现例外。在这一页中,语言区别
    与社会关系方面的区别两者之间的相关关系大。在家务劳动、其它社
    会功能、权利和义务方面的性的区别在上面已有描述。
    (b)亲属关系级别的区别 [57] :根据亲属关系级别而分化的社
    会义务和权利,在亲属关系社会学中已有很好的表述。例如,祖父对
    孙子往往不像父亲对儿子那样行使他的权威,相反还经常姑息孩子,
    在父亲和儿子之间充当调停者。只要父亲还活着,孙子对祖父没有特
    定的经济义务。但上二代上三代的男性称谓,除父亲的父亲外有同一
    个基本称谓词GON;TA是修饰词,意思是大。实际上,TAGON这个称呼
    在直接对话中很少用,因为罕见有四代同堂的。
    (c)血亲关系与姻亲关系之间的区别:由于婚嫁而产生的姻亲与
    由于生育而产生的血亲总是有区别的。譬如,父亲的姊妹与父亲的兄
    弟的妻子有区别。在日常生活中就保持这种区别。父亲的兄弟的妻
    子,即使不住在一所房屋内,但也住得不远,而父亲的姊妹出嫁后通
    常便住到另一个村子里。前者,在需要的时候便接替母亲的任务,后
    者则多数在逢年过节、走亲戚时才见面。
    (d)自己同代中,年长的或年幼的亲属的区别或自己直接的男性
    上代中,年长的和年幼的亲属的区别:这种区别只存在于自己的一代
    或自己的上一代。但称呼后者,发音区别不大,因为父亲的哥哥和弟
    弟都用PA这个音,只是称呼哥哥的音长一些,称弟弟的音短一些,然
    而区别还是有的。对父亲的姊妹和她们的丈夫用同样称呼,大小没有
    区别。
    哥哥和弟弟的区别可与长子的特殊权利和义务联系起来(第四章
    第3节)。上代亲属的社会关系区别较少,从称谓的融合来看也反映了
    这一点。
    (e)家庭群体的区别。这一规律不影响自己这一代。自己的上一
    代,父亲这个称谓与称呼父亲的兄弟用同一个主要词素PA。而近来又
    有一种新的称谓JAJA。用于描述这种关系时,JA是父亲的称谓。母亲
    和父亲兄长的妻子用同一个主要词素ma。虽然如此,保持的区别说明
    了同样一个事实,即在较大的亲属关系单位的家中,家庭核心并未完
    全被淹没。

    从上述情况,我们可以看出亲属关系的语言与亲属社会学之间大体上是相关的。这种关系只能在分类的普遍规律中找到,而不能在具体称呼中找到。

    第二类亲属是孩子母亲方面的亲属,他们通常住在邻近的村子里。虽然,孩子的外婆在他母亲生孩子时就来帮忙,但她待得不长;女儿出嫁以后,母亲只是在这种情况下偶尔在女婿家待一夜。但是孩子却常常和母亲一起到外婆家去,每年数次,每次住十天或十多天。

    在外婆家,他是客人而且是受娇宠的(第五章第2节)。他在这个环境中学到了母亲一方的亲属称谓,其含义与他在父亲一方学到的自己的亲属称谓不同。

    母系亲属与父系亲属在称呼上的区别主要存在于上一代,母亲自己的父母例外。正如我已在上面说明的,与自己有亲密关系的母系亲属限于母亲的父母,母亲的兄弟和姐妹以及他们的儿女。特殊的称谓也限于他们,与自己同一代的亲属除外。年长的和年轻的区别仅在对母亲的姊妹的称呼。这种区别是在称呼前加修饰词来表示。他们和自己在社会关系方面没有区别。

    通常一个人,在童年时便学会了全部亲属称谓,有时弟弟妹妹的称呼除外。成婚后再加上的新称谓很少。

    已婚妇女在她的婚礼结束后,人们便把他丈夫一方的亲戚介绍给她。在介绍时,她同她丈夫一样称呼他们,公公除外,她称公公为“亲爸”。称丈夫的兄弟的妻子,同她称自己的姊妹一样。结婚初期,她是一个新来的人,不便于同她丈夫一方的亲属有过多密切的接触。她甚至不称呼自己的丈夫。因此,彼此间没有特别的称呼。例如,她烧好了饭,便招呼“大家”,意思是大家来吃饭。这种无名的称呼是大家认可的做法。她要提起丈夫时,用一个简单的代名词就足够了。但如果她必须称呼亲戚时,她用丈夫所用的称谓。生下了孩子后,她代表着孩子,与丈夫一方亲属的接触增多。她也有义务教育孩子称呼长辈。亲属关系称谓是这种教育的一个组成部分。代孩子问询或问到孩子并教孩子认识亲属关系时,她用孩子应该用的称谓。例如,在这种情况下她叫孩子的祖父为DJADJA。但这并不意味着,放弃在别的场合用TCHINPA的称谓。事实上她可以根据不同情况选择她自己专用的、她丈夫用的以及孩子用的称谓。母系亲属称谓见下表:

    一个男人称他妻子的父亲为TCHINPA,称妻子的母亲为tchinm。TCHINPA的称呼也用于父亲的姊妹的丈夫。它既然也被媳妇用来称呼公公,这表明了两种表亲婚姻——“上山”型和“回乡”型(第三章第8节)。在实际生活中“回乡型”不受欢迎。因此,称谓的识别不能只用婚姻方式来理解。

    对于他妻子的其他亲戚,根据不同的场合用他妻子或孩子用的合适的称呼。

    实际使用的称谓,其数目取决于亲属关系群体的大小。在农村,家的规模小,所以称谓数目不会大。此外,一个孩子的母亲如果是通过“小媳妇”制度成婚的,则整个母系亲戚群可能就消灭了。

    2.间接称谓

    如果一个人对另一个人谈起某一个亲戚,对这个亲戚用什么称呼呢?牵涉到三个人。A,说话人;B,同A谈话的人;C,A和B谈及的人。

    A对B谈及C时可用:
    (Ⅰ)他招呼C时所用的称谓,或
    (Ⅱ)用B招呼C时所用的称谓,或
    (Ⅲ)用口语或书面语描述A和C之间的关系或B和C之间的关系时
    所用的称谓(见下节),或
    (Ⅳ)用提及非亲属时所用的称谓(第五章第4节)。

    应用这些原则还须视A、B和C之间存在的关系而定——他们是否属于同一亲属群体,在亲属级别和社会地位方面哪一个是长者。

    一般的规则可列公式如下,但没有篇幅一一举例说明并描述特殊例外。

    (1)A、B和C属于同一家:
    (a)C<A和B,用C本人的名字
    (b)C=A和B,用(Ⅰ)
    (c)C>A和B,A<B,用(Ⅰ)
    A=B,用(Ⅰ)
    A>B,用(Ⅱ)
    (2)A、B和C属于同一个扩大了的亲属群体:
    (A)C在A的家中:
    (a)用(Ⅲ)或个人名字,
    (b)用(Ⅲ)或个人名字,
    (c)A<B,用(Ⅰ)或(Ⅲ)
    A=B,用(Ⅲ)
    A>B用(Ⅱ)
    (B)C在B的家中:
    (a)用C的个人名字
    (b)用(Ⅱ)、(Ⅲ)或(Ⅳ)
    (c)A<B,用(Ⅰ)
    A=B,用(Ⅰ)或(Ⅲ)
    A>B,用(Ⅱ)、(Ⅲ)或(Ⅳ)
    (3)A和B之间没有系属关系(哪一个是长者系按年龄大小和社会地位高低来计算的):
    (A)C是A的亲属,
    (a)用(Ⅲ)或个人名字,
    (b)用(Ⅲ)或个人名字,
    (c)A<B,用(Ⅰ)或(Ⅲ)
    A=B,用(Ⅲ)
    A>B,用(Ⅲ)或(Ⅳ)
    (B)C是B的亲属,
    (a)用(Ⅲ)或个人名字,
    (b)用(Ⅲ)或个人名字,
    (c)A<B,用(Ⅳ)
    A=B,用(Ⅲ)或(Ⅳ)
    A>B,用(Ⅱ)、(Ⅲ)或(Ⅳ)

    在上述情况中,A和B是直接对话,C是间接地被谈及。另一种情形是A和C对话,B作为涉及的中心。我已经指出,孩子由别人作为代言人的例子。孩子的母亲代孩子说话称公公为DJADJA,即祖父。在这种情况下,A并不是作为他或她自己在说话,而是替别人说话。这不能同直接对话时用的称呼混淆。

    3.描述亲属关系用的称谓

    这类称谓与上述称谓不同,后者指特定的人,前者指这种关系。一个孩子叫母亲ma,但两者之间的关系被描述为NITZE(儿子)和njian(娘)。

    如上节所示,这种称谓在间接提到时也使用。例如,一个大人问
    小孩“你的njian怎么样了”?或“他njian好吗?”在这种情况下,
    除非完全不可能混淆,一般要加一个代名词。

    描述关系用的一般称谓是可以“归类的”,因为可能有一群人与
    自己有同一类关系。例如,父亲有两个弟弟,他们同自己的关系是一
    样的,即SOSO(叔叔——父亲的弟弟)和ADZE(阿侄——兄弟的儿
    子)的关系。

    对话时用同一个基本称谓表述的亲属分类与描述亲属关系时用的
    称谓的分类不同。例如,称母亲的兄弟的儿子与称父亲的兄弟的儿子
    用同样的称呼。但在描述关系时,前者为PIAOGA(表哥)后者为
    AGA(阿哥)。称呼所有下代的亲戚用个人名字或用数字,但描述关系
    的称谓则分类了,自己的儿子叫NITZE(儿子),兄弟的儿子叫
    ADZE(阿侄),姊妹的儿子叫WASEN(外甥)等。

    在这一类称呼中,口头语言和书面语之间可能不一致。口语和书面语的总的区别在于前者系当地人口说的,后者为所有有文化的中国人写的。当然两者都可以口头说和用文字写,在实际运用中,总起来说,一直保留着这种区别。虽然近来有一种发展口头文学的赏试,换句话说,就是写成口说的形式,即白话,实际上是“北京话”。另一方面,几千年来有文化的中国人用的书面语言是以书写的文字表达的,可以根据地方的特有语音,读法不同。但总是写在纸上,随时可以读它。由于书面语的语法与口语语法不同,将前者读出来,普通人听不懂。书面的词语仅在特殊的情况出现于口语中。书面表示一件东西或一种关系与口头表达所用词语可以不同。这种区别可以用亲属称谓举例说明。例如,描述父亲的关系:书面词用Fu(父),但口语,在村庄中用JA(爷)。此外,在书面语中分类别的亲属在口语中可能就没有区别。例如,父亲的兄弟的儿子这一亲属关系和父亲的父亲的兄弟的儿子的儿子,在口语中都叫Z-ZOSHONDI(自族兄弟——我本族的兄弟),但在书面则分别称TONSHON(堂兄)和ZETONSHON(族堂兄)。

    我不能在此充分阐述书面的和口头的亲属称谓之间的关系问题。我已在别处扼要发表了我的观点。“在称谓的书写系统中,理论家系统地、完全地实现了分类原则,这些分类原则是在亲属关系系统变化的实际过程中注意到的。每一代用同一主干定名,垂直分裂成两组,年长的和年轻的,然后在这个‘家庭’(父母子女这个团体)的称谓前加修饰词以此表示它不同于其它‘家庭’;其它‘家庭’又根据其与这个‘家庭’的亲疏加以区别。这种逻辑结构不仅模糊了年长和年轻的类别的存在,特别是年少的一类失去了特殊的称呼,而且还错误地表述了这些原则实际应用时的现实性。这种结构的结果是,书面语的称谓系统与实际上实行的称谓系统相去甚远。当然,上面提到的变化方向曾受到了书面称谓系统的很大影响。然而中国社会组织的新变化,如族的部分瓦解,母系亲属的日益重要,妇女社会地位的变化等,正如对吴江情况分析中所显示的,已经形成了一种变化的趋向,这些是过去的理论家所未预见到的,同时也是在已编纂的书面称谓系统中找不到的。故新的社会变化将促使实践中的称谓系统更加远离书面的称谓系统。” [58]

    注释:

    [1] 这些已经完成的作品,大多用中文写成,有下列诸题:《山东的集市系统》,杨庆
    堃著;《河北农村社区的诉讼》,徐雍舜著;《河北农民的风俗》,黄石著;《福建的一个氏
    族村》,林耀华著;《变动中的中国农村教育》,廖泰初著;《花篮瑶社会组织》,费博士及
    夫人著。正在进行研究的有李有义的“山西的土地制度”,及郑安仑的“福建和海外地区移民
    的关系问题”。
    [2] A.拉德克利夫——布朗(A.Radcliff-Brown)教授于1935年在北平燕京大学就深入
    研究中国农村的问题作了讲演;接着,吴文藻博士在天津《益世报》的《社会研究》周刊上就
    这个问题发表了一系列文章。近来,雷蒙德·弗思(Raymond Firth)博士在《中国农村社会
    团结性的研究》一文中讨论了这个问题。此文刊登在《社会学界》第十卷中。
    [3] 同前引文,英文文摘,第435页。
    [4] 《中国地理概况》(China’s Geographical Foundation ),1934年,第283页。
    [5] 同前引书,第295页。
    [6] 阿诺德·赖特编:《香港、上海及中国其它通商口岸二十世纪印象记》(Arnold
    wright,ed.,Twentieth Century Impression of Hong Kong ,Shanghai and Treaty Ports
    of China ),第291页,1908年。
    [7] 刘大钧:《上海缫丝工业》(The Silk Reeling Industry in Shanghai ),第9
    页,1933年。
    [8] 同前引书,第9页。
    [9] 《1935—1936年中国年鉴·对外贸易》,第1094页,1935年。
    [10] 《中国的土地和劳动》(Land and Labour in China ),第24页,1932年。
    [11] 《人口登记法》,1931年12月12日。
    [12] 下表列出了各类不同的家的数字:
    [13] R.H.托尼(R.H.Tawney):《中国的土地和劳动》(Land and Labour in China
    ),第43页,注1,1932年。
    [14] 《动变中的中国农村教育》,燕京大学,1936年。
    [15] 按正常兑换率,中国币制一元等于英国货币约一先令至一先令三便士。
    [16] 林耀华:《福州的族村》,未出版的专著,燕京大学(汉文),及库尔普
    Ⅱ(KulpⅡ):《中国南方的农村生活》(Country Life in South China ),第167—168
    页,1925年。
    [17] 《民法》第1,147条。《民法》译本(C.L.夏等,凯林及沃尔什有限公司,1930
    年 ) 用 “Succession to Property” 这 一 术 语 。 我 沿 用 W.H.R. 里 弗 斯 的 定 义 :
    用“inheritance”一词表述财产的继承,用“succession”一词来表述职位的继承(《社会
    的组织》,第87页,1924年)。
    [18] R.H.洛伊,《原始社会》,第243—255页,1919年。
    [19] 村里的人解释方言“黄泥膀”这个词的意思为黄泥腿。但他们并不知道为什么要这
    样称呼他。后来我发现中国北方方言也有同样的叫法,“泥腿光棍”,例如在古典小说《红楼
    梦》第45回中,指那些无业单身汉。但城镇里识字的人告诉我这个词的另一种文言的解释
    是“防儿荒”。“防”,当地人念ban,在此词中变音为Wan。“儿”,当地方言念作
    ni。“荒”,读作Whan在这里变成Pon。语音变化如b变成w,wh变成p,在其它例子中也常见。
    识字人的解释,说出了替代人的功能,而当地人的解释说明了替代人的性质。两种解释对了解
    这种习俗都有用处。
    [20] 《民法》第1,000、1,002、1,059、及1,060条。
    [21] 在华东中部,农村坟地的平均百分比为2.6%(巴克:《中国农村经济》(Buck ,
    Chinese Farm Economy ),第33页,1930年)。除城镇里的富人把死者埋葬在农村以外,没
    有其它专门的坟地,这说明了人口极其众多,土地稀缺。
    [22] 《民法》第1,138条:“遗产继承人,除配偶外,依下列顺序定之。一、直系血亲
    卑亲属。二、父母。三、兄弟姊妹。四、祖父母。”直系亲属在第967条中的定义为,“称直
    系血亲者,谓己身所从出,或从己身所出之血亲。”他们包括儿子、女儿以及他们的直系后
    裔。
    [23] 这一条综述系由上海高等法院律师H.P.李先生提供的。
    [24] 《不列颠百科全书·亲属关系》,第14版(“Kingship”,Encyclopaedia
    Britanirica ,14th,ed.)。
    [25] 从法律观点来看,一个人虽然无亲属关系,但永久地住在此群体内者,亦应视
    为“家”的一员(《民法》第1,122—1,123条)。但此规定并未被村民所接受。甚至那些
    在“家”中居住了很长时间的人还是被认为与“家”的成员有区别的。
    [26] 《区自治施行法》,第七条,1928年6月。
    [27] 巴克:《中国农村经济》(G.L.Buck,Chinese Farm Economy ),第416—417
    页,1930年。
    [28] 甘布尔:《北平的中国家庭是怎样生活的》(S.D.Gamble,How Chinese Families
    Live in Peiping ),第200页,1933年。
    [29] 《特罗布里恩德群岛的阴历和季节历》(Lunar and Seasonal Calendar in the
    Trobriands),《皇家人类学会杂志》(Journal of the Royal Anthropological Institute
    ),第57卷,第203—215页,1927年。
    [30] 巫术与科学的理论,见布·马林诺夫斯基教授的“文化”条,《社会科学百科全
    书》(“Culture”,Encyclopedia of Social Science )。
    [31] 《珊瑚园和它们的巫术》(Coral Gardens and their Magic ),第318页,1935
    年。
    [32] 同前书,第320页。
    [33] 陈翰笙:《华南土地问题》(Agrarian Problem in Southernmost China ),岭
    南大学,广东,第4页及第三章,1936年。
    [34] 在华南还可以看到,土地的移交是通过抵押这个中间步骤来完成的。陈翰笙
    说:“有时,半数的贫农家庭抵押了他们的土地,如在翁源和梅县的许多村子中那样。在那个
    地方,拥有土地的农民比例相对地较高。抵押的价格为土地价格的50%至60%,很少有80%到90%
    的。当然,只有极少数的贫农愿意出售自己的土地,多数人抱着赎回来的希望抵押自己的土
    地。但是,一旦贫农踏入了高利贷之墓门,他们就会被不容逃脱的阶梯一步步引入墓穴深处,
    再次离开坟墓的机会渺茫。在广东,至少有70%或80%的无地贫农在抵押中失去了一部分地
    产。”“根据统计,在番禺县的10个有代表性的村子中,贫农在5年内抵押和出售的土地占他
    们土地面积的5%。”同前书,第95—96页。
    [35] 《民法》,第846及847条。
    [36] 永佃制似乎保护了贫农不至因乡村工业需要资金而迅速失去土地权。不应把永佃制
    当作历史遗存来研究,而应把它作为耕种者与投资者利益的调节来看待,是不在地主制整体的
    一个部分。这也可以用华南所作的观察来说明。陈翰笙说道:“一个明显的事实是,在广东的
    西南部尚未听说过永佃制,这里恰是那种人们预料会有旧经济陈迹的地方,因为至今这里还较
    少受到现代商业的影响。另一方面,在一些料想不到的地方,却见到了这种惯例。就是在广东
    省的最东端,韩江上来来往往的不仅有帆船、驳船,而且还有现代的轮船,以及一条地方铁
    路,经营得生意兴隆,汕头商业界的现代化影响出现在内地。在这个地区,的确不止是有永佃
    制的遗迹,而是已耕地的相当一部分实际上以这种形式出租”(同前书,第52页)。陈倾向于
    用历史观点来解释永佃制(第51页)。尽管上面的引语表明,目前的事实与他的期望并不吻
    合。对我来说,作历史的解释,其本身可能很有意义,但如果我们试图理解永佃制在土地占有
    中的作用,则这种解释并不重要。若不怀无根据的期望,陈就可能会意识到金融问题与土地问
    题关系的重要性。他在分析中,曾几度非常正确地指出了这一关系,但未能加以强调。
    [37] 《中国的土地与劳动》(Land and Labour in China ),第67—68页,1932年。
    [38] 同前引书,第36页。目前的材料似乎肯定了托尼(Tawney)教授提出的观点,租佃
    制问题是城乡间金融关系的职能。他说:“自耕所有制在大城市附近极不流行。在那里,城市
    资本流入农业,据说,在广东三角洲,85%的农民是佃农,在上海附近,95%是佃农。但在很少
    受到现代经济发展影响的地区自耕所有制却普遍盛行。陕西、山西、河北、山东、河南等省是
    中国农业的发源地,那里约有三分之二的农民据称是土地占有者。他们与工商业几乎没有什么
    接触,土壤的产量太低,不足以吸引资本家在那里投资,而农民也无能力租种更多的土地。在
    南方,土壤具有较高的生产率,农业产生了盈余,经济关系的商业化得到了发展,对土地进行
    投资的诱因和能力相应较强。可以合理地设想,随着现代工业和财务方法扩展到那些尚未受其
    影响的地区,中国的其它部分也会逐步产生类似的情况。在这种情况下欧洲经常发生的那种农
    民的习惯权利,为生存而耕作,同不在地主唯利是图地做投机生意这两者之间的斗争很可能在
    中国重新出现。在中国的某些地方,这种斗争已经发生了。”同前书,第37—38页。
    [39] 参照陈翰笙,前引书,第二章,第24—41页。

    [40] 在中山县土地局《年鉴》的前言中,孙中山先生的一名拥护者写道:“土地问题是关系到我们国计民生的根本问题。如果这个问题能得到正确的解决,我们国计民生的问题也就自然会迎刃而解。只有解决了这个问题,人类才能够逐渐摆脱战争。土地所有制中的平等权利是国民党提倡的原则,我们的首要目的是防止少数人的独占,为所有的人提供利用土地的平等权利和同等机会。”引自陈翰笙前引书,第23页。
    在 1924 年 《 国 民 党 第 一 次 全 国 代 表 大 会 宣 言 》 中 有 下 列 陈述:“民生主义——国民党之民生主义,其最要之原则,不外二者:一曰平均地权,二曰节制资本。酝酿成经济组织之不平均者,莫大于土地权之为少数人所操纵,故当由国家规定土地法、土地使用法、土地征收法及地价税法。私人所有土地,由地主估价呈报政府,国家就价征税,并于必要时依报价收买之,此则平均地权之要旨也……中国以农立国,而全国各阶级所受痛苦,以农民为尤甚。国民党之主张,则以为农民之缺乏田地,沦为佃户者,国家当给以土地,资其耕作,并为之整顿水利,移殖荒徼,以均地力。农民之缺乏资本,至于高利借贷以负债终身者,国家为之筹设调剂机关,如农民银行等,供其匮乏,然后农民得享人生应有之乐。”伍朝枢:《国民党以及 中 国 革 命 之 前 途 》 ( The Kuomintang and the Future of theChinese Revolution ),附录C,第255—256页,1928年。
    [41] 三栏分析法是布·马林诺夫斯基教授创始,用以研究文化接触。这种方法的理论根据在他的《变化中的非洲文化人类学概论》(Introductory Essay on The Anthropolgy of Changing African Cultures)一文中已有解释,载国际《非洲语言和文化研究所备忘录》
    XV(Memorandom XV of the International Institute of African Languages and Cultures),1938年。
    [42] 参阅卡尔·曼海姆:《意识形态与乌托邦以及知识社会学概论》(Karl Mannheim,Ideology and Utopia ,and Introduction to the Sociology of Knowledge ),1936年。
    [43] 《过去三年的合作工厂》,1931年。
    [44] 《过去三年的合作工厂》,1931年。
    [45] 《中国的重建》(Reconstruction in China),汤良礼编,转载于《中国年鉴》(The Chinese Year Book ),第859页,1935—1936年。
    [46] 《合作运动》(The Co-operative Movement),王志莘,载《中国年鉴》(TheChinese Year Book ),第881—882页,1935—1936年。
    [47] 刘大钧:《上海的蚕丝工业》(The Silk Industry in Shanghai ),1933年。
    [48] 杨庆堃:“山东邹平的贸易系统”,中国,燕京大学社会学系,未出版的专著。
    [49] 《中国的土地和劳动》,第62页,1932年。
    [50] 在第十一次会上,组织者和借债人交纳的钱数已经超过会员的集款数。存钱人不需再交付任何款项而可以分享新的余款。分配余款的原则是:前四次会的组织人和收款人除外,其余会员根据他们集款的次序按比例均可分得一份。例如,在第十一次会上,第五次会的集款人将得0.11元或总余款(2.432)的5/110。但这个会上的三个存款人,其集款次序尚未确定,他们将各得余款的13/110。从第十一次会后的每次会的总余款为:第11次 2.432,第12次8.004,第13次 14.968,第14次 21.004
    [51] 见下表:
    [52] 如下:
    [53] 《中国农村经济》(Chinese Farm Economy ),第158页,1930年。
    [54] 《民法》,第205条。
    [55] 我对用历史书面语言研究中国亲属制度的批评,参见《中国亲属关系制度问题》(The Problem of Chinese Relationship System),《华裔学志》(Monumenta Serica),第Ⅱ卷,1936—1937年;我对冯汉骥的《中国亲属制度》(The Chinese Kinship System)的评论,《人类》(Man ),1938年8月,第135页。
    [56] 语言理论,参见马林诺夫斯基《珊瑚园和它们的巫术》(Malinowski,Coral Gardens and their Magic ),第Ⅱ卷,1935年。
    [57] 根据雷蒙德·弗思,亲属关系级别在下述意义上与世代不同,即“前者根据出生,含有生物学上分类的意思;后者根据家谱等级,属于社会学上的次序。”《我们提科皮亚人》(We,the Tikopia,1936),第248页。
    [58] 《中国亲属关系制度问题》,第148页。在上述引语中,实际上实行的称谓系统指口语的称谓,书写的称谓系统指书面称谓。书面称谓的详单可见陈和施赖奥克(Chen and Shryock),《中国亲属称谓》(Chinese Relationship Terms)一文,《美国人类学家》(American anthropologists )1932年,第34卷第4期;或冯汉骥,同前引文,《哈佛亚洲研究杂志》(Harvard Journal of Asiatic Studies ),1937年,第2卷第2期。
    [59] 因篇幅有限,本书未收入此文。——编者

    本书是1939年英国Routledge书局出版作者所写Peasant Life in China 一书的中译本,原书扉页有《江村经济》中文书名,今译本即沿用此名。

  • 叔本华《作为意志和表象的世界》

    第一篇 世界作为表象初论 §1

        服从充分根据律的表象经验和科学的客体跳出童年时代吧,朋友,觉醒呵! ——j·j·卢梭

    “世界是我的表象”:这是一个真理,是对于任何一个生活着和认识着的生物都有效的真理;不过只有人能够将它纳入反省的,抽象的意识罢了。并且,要是人真的这样做了,那么,在他那儿就出现了哲学的思考。于是,他就会清楚而确切地明白,他不认识什么太阳,什么地球,而永远只是眼睛,是眼睛看见太阳;永远只是手,是手感触着地球;就会明白围绕着他的这世界只是作为表象而存在着的,也就是说这世界的存在完全只是就它对一个其他事物的,一个进行“表象者”,的关系来说的。这个进行“表象者”就是人自己。如果有一真理可以先验地说将出来,那就是这一真理了,因为这真理就是一切可能的、可想得到的经验所同具的那一形式的陈述。它比一切,比时间、空间、因果性等更为普遍,因为所有这些都要以这一真理为前提。我们既已把这些形式都认作根据律的一些特殊构成形态,如果其中每一形式只是对一特殊类型的表象有效,那么,与此相反,客体和主体的分立则是所有那些类型的共同形式。客体主体分立是这样一个形式:任何一个表象,不论是哪一种,抽象的或直观的,纯粹的或经验的,都只有在这一共同形式下,根本才有可能,才可想象。因此,再没有一个比这更确切,更不依赖其他真理,更不需要一个证明的真理了;即是说:对于“认识”而存在着的一切,也就是全世界,都只是同主体相关联着的客体,直观者的直观;一句话,都只是表象。当然,这里所说的对于现在,也对于任何过去,任何将来,对于最远的和近的都有效;因为这里所说的对于时间和空间本身就有效;而又只有在时间、空间中,所有这些[过去、现在、未来、远和近] 才能区别出来。一切一切,凡已属于和能属于这世界的一切,都无可避免地带有以主体为条件[的性质] ,并且也仅仅只是为主体而存在。世界即是表象。

    这个真理决不新颖。它已包含在笛卡儿所从出发的怀疑论观点中。不过贝克莱是断然把它说出来的第一人;尽管他那哲学的其余部分站不住脚,在这一点上,他却为哲学作出了不朽的贡献。康德首先一个缺点就是对这一命题的忽略,这在本书附录中将有详尽的交代。与此相反,吠檀多哲学被认为是毗耶舍的作品,这里所谈的基本原理在那里就已作为根本命题出现了,因此印度智者们很早就认识这一真理了。威廉·琼斯在他最近《论亚洲哲学》(《亚洲研究》,第四卷第164页)一文中为此作了证,他说:“吠檀多学派的基本教义不在于否认物质的存在,不在否认它的坚实性、不可入性、广延的形状(否认这些,将意味着疯狂),而是在于纠正世俗对于物质的观念,在于主张物质没有独立于心的知觉以外的本质,主张存在和可知觉性是可以互相换用的术语。”这些话已充分地表出了经验的实在性和先验的观念性两者的共存。

    在这第一篇里,我们只从上述的这一方面,即仅仅是作为表象的一面来考察这世界。至于这一考察,虽无损于其为真理,究竟是片面的,从而也是由于某种任意的抽象作用引出来的,它宣告了每一个人内心的矛盾,他带着这一矛盾去假定这世界只是他的表象,另一方面他又再也不能摆脱这一假定。不过这一考察的片面性就会从下一篇得到补充,由另一真理得到补充。这一真理,可不如我们这里所从出发的那一个,是那么直接明确的,而是只有通过更深入的探讨,更艰难的抽象和“别异综同”的功夫才能达到的。它必然是很严肃的,对于每一个人纵不是可怕的,也必然是要加以郑重考虑的。这另一真理就是每人,他自己也能说并且必须说的:“世界是我的意志。”

    在作这个补充之前,也就是在这第一篇里,我们必须坚定不移地考察世界的这一面,即我们所从出发的一面。“可知性”的一面:因此,也必须毫无抵触心情地将当前现成的客体,甚至自己的身体(我们就要进一步谈到这点)都仅仅作为表象看,并且也仅仅称之为表象。我们希望往后每一个人都会确切明白我们在这样做的时候,只仅仅是撇开了意志;而意志就是单独构成世界另外那一面的东西;因为这世界的一面自始至终是表象,正如另一面自始至终是意志。至于说有一种实在,并不是这两者中的任何一个方面,而是一个自在的客体(康德的“自在之物”可惜也不知不党的蜕化为这样的客体),那是梦呓中的怪物;而承认这种怪物就会是哲学里引人误入迷途的鬼火。

    那认识一切而不为任何事物所认识的,就是主体。因此,主体就是这世界的支柱,是一切现象,一切客体一贯的,经常作为前提的条件;原来凡是存在着的,就只是对于主体的存在。每人都可发现自己就是这么一个主体,不过只限于它在认识着的时候,而不在它是被认识的客体时。而且人的身体既已是客体,从这观点出发,我们也得称之为表象。身体虽是直接客体,它总是诸多客体中的一客体,并且服从客体的那些规律。同所有直观的客体一样,身体也在一切认识所共有的那些形式中,在时间和空间中;而杂多性就是通过这些形式而来的。但是主体,作为认识着而永不被认识的东西,可就不在这些形式中,反而是这些形式总要以它为前提。所以,对于它,既说不上杂多性,也说不上杂多性的反面:统一性。我们永不能认识它,而它总是那认识着的东西,只要哪儿有“被认识”这回事。

    所以,作为表象的世界,也就是这儿我们仅在这一方面考察的世界,它有着本质的、必然的、不可分的两个半面。一个半面是客体,它的形式是空间和时间,杂多性就是通过这些而来的。另一个半面是主体,这却不在空间和时间中,因为主体在任何一个进行表象的生物中都是完整的,未分裂的。所以这些生物中每一单另的一个和客体一道,正和现有的亿万个生物和客体一道一样,都同样完备地构成这作为表象的世界;消失了这单另的一个生物,作为表象的世界也就没有了。因此,这两个半面是不可分的;甚至对于思想,也是如此,因为任何一个半面部只能是由于另一个半面和对于另一个半面而有意义和存在:存则共存,亡则俱亡。双方又互为限界,客体的起处便是主体的止处。这界限是双方共同的,还在下列事实中表示出来,那就是一切客体所具有本质的,从而也是普遍的那些形式,亦即时间、空间和因果性,无庸认识客体本身,单从主体出发也是可以发现的,可以完全认识的;用康德的话说,便是这些形式是先验地在我们意识之中的。康德发现了这一点,是他主要的,也是很大的功绩。我现在进一步主张,根据律就是我们先天意识着的,客体所具一切形式的共同表述,因此,我们纯粹先天知道的一切并不是别的,而正是这一定律的内容。由此产生的结果是:我们所有一切先天明确的“认识”实际上都已在这一定律中说尽了。我在《根据律》那篇论文中已详尽地指出,任何一个可能的客体都服从这一定律,也就是都处在同其他客体的必然关系中,一面是被规定的,一面又是起规定作用的。这种互为规定的范围是如此广泛,以至一切客体全部存在,只要是客体,就都是表象而不是别的,就整个儿都要还原到它们相互之间的必然关系,就只在这种关系中存在,因而完全是相对的。关于这些,随即再详论。我还曾指出,客体既各按其可能性而分为不同的类别,那由根据律普遍表示出的必然关系也相应的出现为不同的形态,从而又反过来保证了那些类别的正确划分。我在这里一贯假定,凡是我在那篇论文中所已说过的都是读者所已熟悉的,并且还在记忆中;因为,如果还有在那儿没有说过的,就会在这里给以必要的地位。

    在我们所有一切表象中的主要区别即直观表象和抽象表象的区别。后者只构成表象的一个类,即概念。而概念在地球上只为人类所专有。这使人异于动物的能力,达到概念的能力,自来就被称为理性。我们以后再单另考察这种抽象的表象,暂时我们只专谈直观的表象。直观表象包括整个可见的世界或全部经验,旁及经验所以可能的诸条件。前已说过,这是康德一个很重要的发现,他正是说经验的这些条件,这些形式,也就是在世界的知觉中最普遍的东西,世间一切现象在同一方式上共有着的东西,时间和空间,在单独而离开它们的内容时,不仅可以抽象地被思维,而且也可直接加以直观。并且这种直观不是从什么经验的重复假借来的幻象,而是如此地无须依傍经验,以至应该反过来设想经验倒是依傍这直观的,因为空间和时间的那些属性,如直观先验地所认识的,作为一切可能的经验的规律都是有效的;无论在哪儿,经验都必须按照这些规律而收效。为此,我在讨论根据律的那篇论文中曾将时间和空间,只要它们是纯粹而无内容地被直观38 的,便把它们看作是表象的一个特殊的,独自存在的类。这由康德所发现的,属于直观的那些普遍形式的本性固然如此重要,即是说这些形式单另独立于经验之外。可以直观地,按其全部规律性而加以认识,数学及其精确性即基于这种规律性:但是,直观的普遍形式还另有一个同样值得注意的特性,那就是根据律,在将经验规定为因果和动机律,将思维规定为判断根据律的同时,在这儿却又以一种十分特殊的形态出现;这一形态我曾名之为存在根据。这一形态在时间上就是各个瞬间的先后继起;在空间上就是互为规定至于无穷的空间部分。

    谁要是从那篇序论清晰地明白了根据律在形态上有着差别的同时,在内容上又有完整的同一性,他也就会信服为了理解这定律最内在的本质,认识它那最简单的一个构成形态是如何的不要,而这就是我们已将它认作时间的那一构成形态。如同在时间上,每一瞬只是在它吞灭了前一瞬,它的“父亲”之后,随即同样迅速地又被吞灭而有其存在一样;如同过去和将来(不计它们内容上的后果)只是象任何一个梦那么虚无一样;现在也只是过去未来间一条无广延无实质的界线一样;我们也将在根据律所有其他形态中再看到同样的虚无性;并且察知和时间一样,空间也是如此;和空间一样,那既在空间又在时间中的一切也是如此。所以,从原因和动机听发生的一切,都只有一个相对的实际存在,只是由于,只是对于一个别的什么,和它自身同样也只是如此存在着的一个什么,而有其存在。这一见解中的本质的东西是古老的:赫拉克立特就在这种见解中埋怨一切事物的流动变化性;柏拉图将这见解的对象贬为经常在变易中而永不存在的东西;斯宾诺莎称之为那唯一存在着不变的实体的偶性;康德则将这样被认识的[一切]作为现象,与“自在之物”对立起来。最后,印度上古的智者说:“这是摩耶,是欺骗[之神]的纱幔,蒙蔽着凡人的眼睛而使他们看见这样一个世界,既不能说它存在,也不能说它不存在,因为它象梦一样,象沙粒上闪烁着的阳光一样,行人从远处看来还以为是水,象随便抛在地上的绳子一样。人们却将它看作一条蛇。”(这样的比喻,在《吠陀》和《布兰纳》经文中重复着无数次。)这里所意味着的,所要说的,都不是别的而正是我们现在在考察着的:在根据律的支配之下作为表象的世界。

    谁要是认识了根据律的这一构成形态,即在纯粹时间中作为这一定律出现,而为一切计数和计算之所本的这一形态,他也就正是由此而认识了时间的全部本质。时间并不还是别的什么,而只是根据律的这一构成形态,也再无其他的属性。先后“继起”是根据律在时间上的形态,“继起”就是时间的全部本质。其次,谁要是认识了根据律如何在纯粹直观的空间中起着支配的作用,他也就正是由此而穷尽了空间的全部本质;因为空间自始至终就不是别的,而只是其部分互为规定的可能性、也就是位置。关于这方面的详细考察和由此而产生的结果,沉淀为抽象的概念而更便于应用,那就是全部几何学的内容。——同样,谁要是认识了根据律的又一构成形态,认识它支配着上述形式的(时间和空间的)内容,支配着这些形式的“可知觉性”,即支配着物质,也就是认识了因果律;他并由此也认识了物质所以为物质的全部本质了。因为物质,自始至终除因果性外,就再不是别的;这是每人只要思考一下便可直接理解的。物质的存在就是它的作用,说物质还有其他的存在,那是要这么想象也不可能的。只是因为有作用,物质才充塞空间、时间。物质对直接客体(这客体自身也是物质)的作用是“直观”的条件,在直观中唯有这一作用存在;每一其他物质客体对另一物质客体发生作用的后果,只是由于后者对直接客体先后起着不同的作用才被认识的,也只在此中才有其存在。所以,原因和效果就是物质的全部本质;其存在即其作用(详见《充足根据律》那篇论文§21第77页)。因而可知在德语中将一切物质事物的总括叫做现实性wirklichkeit,是极为中肯的;这个词儿比实在性realit一词的表现力要强得多。物质起作用,而被作用的还是物质。它的全部存在和本质都只在有规律的变化中,而变化又是物质的这一部分在别的一部分中引出来的,因此,它的全 部存在和本质也完全是相对的,按一个只在物质界限内有效的关系而为相对的,所以[在这一点上]恰和时间相同,恰和空间相同。

    但是,时间和空间假若各自独立来看,即令没有物质,也还可直观地加以表象:物质则不能没有时间和空间。物质是和其形状不可分的,凡形状就得以空间为前提。物质的全部存在又在其作用中,而作用又总是指一个变化,即是一个时间的规定。不过,时间和空间不仅是分别地各为物质的前提,而是两者的统一才构成它的本质;正因为这本质,已如上述,乃存于作用中、因果性中。如果一切可想到的、无数的现象和情况,果真能够在无限的空间中无庸互相拥挤而并列,或是在无尽的时间中不至紊乱而先后继起;那么,在这些现象和情况的相互之间就无需乎一种必然关系了;按这关系而规定这些现象和情况的规则更不必要了,甚至无法应用了。结果是尽管有空间中一切的并列,时间中一切的变更,只要是这两个形式各自独立,而不在相互关联中有其实质和过程,那就仍然没有什么因果性;而因果性又是构成物质真正本质的东西;所以,没有因果性也就没有物质了。——可是因果律所以获得其意义和必然性,仅仅是由于变化的本质不只是在于情况的变更本身,而更是在于空间中同一地点上,现在是一情况而随后又是一情况;在于同一个特定的时间上,这儿是一情况而那儿又是一情况;只有时间和空间这样的相互制约,才使一个规则,变化依之而进行的这规则有意义,同时也有必然性。从而,因果律所规定的不是仅在时间中的情况相继起,而是这继起是就一特定的空间说的;不是情况的存在单在一特定的地点,而是在某一特定的时间,在这个地点。变化也即是按因果律而发生的变更,每次总是同时而又统一地关涉到空间的一定部位和时间的一定部分。于是,因果性将空间和时间统一起来了。而且我们既已发现物质的全部本质是在其作用中,也就是在因果性中,那么,在物质中,空间和时间也必然是统一的,即是说不管时间和空间各自的属性是如何互相凿枘,物质必须将双方的属性一肩挑起:在双方各自独立时不可能统一的在物质中都必须统一起来,即是将时间方面无实质的飘忽性和空间方面僵硬不变化的恒存统一起来;至于无尽的可分性则是物质从时空双方获得的。准此,我们看到由于物质才首先引出同时存在,它既不能在没有并列的孤立的时间中,也不能在不知有以前、以后和现在的孤立空间中。可是,众多情况的同时存在才真正构成现实的本质,因为由于同时存在,持续始有可能。而持续又在于它只是在某种变更上,与持续着的东西同时俱在之物的变更上看出来的;不过这同时俱在之物在此时也只是由于变更中有持续着的东西才获得变化的特征,亦即在实体,也就叫做物质恒存的同时,性质和形式却要转变的特征。如果只单是在空间中,这世界就会是僵硬的、静止的,就没有先后继起,没有变化,没有作用:而没有作用,那就连同物质的表象也取消了。如果只单是在时间中,那么,一切又是太缥缈易于消逝的了,就会没有恒存,没有并列,因而也没有同时,从而没有持续,所以也是没有物质。由于时间和空间的统一才生出物质,这即是同时存在的可能性,由此才又有持续的可能性;再由于这后一可能性,然后在情况变化的同时,才有实体恒存的可能性。物质既在时间和空间的统一性中有其本质,它也就始终打上了双方的烙印。物质得以从空间追溯其来源,部分地是由于其形状,那是和它不可分的;但特别是(因为变更是只属于时间的,而单是只在时间自身中就没有什么是常住的)由于其恒存(实体);而“恒存”的先验的明确性是完全要从空间的先验的明确性引出的。物质在时间方面的来源是在物性上(偶然属性)展示出来的;没有物性,它决不能显现;而物性简直永远是因果性,永远是对其他物质的作用,所以也就是变化(一个时间概念)。但是这作用的规律性总是同时关涉到空间和时间,并且只是由此而具有意义。关于此时此地必然要发生怎样一个情况的规定,乃是因果性的立法所能及的唯一管辖范围。基于物质的基本规定是从我们认识上先验意识着的那些形式引伸出来的,我们又先天赋予物质某些属性:那就是空间充塞,亦即不可透入性,亦即作用性;再就是广延,无尽的可分性,恒存性,亦即不灭性;最后还有运动性。与此不同的是重力,尽管它是普遍无例外的,还是要算作后天的认识;尽管康德在《自然科学的形而上学初阶》第71页(罗森克朗兹版,第372页)上提出重力时,却把它当作是可以先天认识的。

    如同客体根本只是作为主体的表象而对主体存在一样,表象的每一特殊的类也就只为主体中相应的一特殊规定而存在;每一这样的规定,人们就叫作一种认识能力,康德把作为空洞形式的时间和空间自身在主体方面的对应物叫做纯粹感性;这个说法本不大恰当,因为一提到感性就已先假定了物质;不过康德既已开了先例,也可以保留。物质或因果性,两者只是一事,而它在主体方面的对应物,就是悟性。悟性也就只是这对应物,再不是别的什么。认识因果性是它唯一的功用,唯一的能力;而这是一个巨大的、广泛包摄的能力;既可有多方面的应用,而它所表现的一切作用又有着不可否认的同一性。反过来说,一切因果性,即一切物质,从而整个现实都只是对于悟性,由于悟性而存在,也只在悟性中存在。悟性表现的第一个最简单的,自来即有的作用便是对现实世界的直观。这就始终是从效果中认原因,所以一切直观都是理智的。不过如果没有直接认识到的某一效果而以之为出发点,那也就决到不了这种直观。然而这样的效果就是在动物身体上的效果,在这限度内,动物性的身体便是主体的直接客体,对于其他一切客体的直观都得通过这一媒介。每一动物性的身体所经受的变化都是直接认识的,也即是感觉到的;并且在这效果一经联系到其原因时,就产生了对于这原因,对于一个客体的直观。这一联系不是在抽象概念中的推论结果,不经由反省的思维,不是任意的;而是直接的、必然的、妥当的。它是纯粹悟性的认识方式;没有悟性就决到不了直观,就只会剩下对直接客体变化一种迟钝的、植物性的意识,而这些变化,如果不是作为痛苦或愉快而对意志有些意义的话,那就只能是完全无意义地在互相交替着而已。但是,如同太阳升起而有这个可见的世界一样,悟性,由于它唯一的单纯的职能,在一反掌之间就把那迟钝的,无所云谓的感觉转变为直观了。眼、耳、手所感觉的还不是直观,那只是些感觉张本。要在悟性从效果过渡到原因时,才有这世界,作为在空间中展开的直观,在形态上变更着的,在物质上经历一切时间而恒存的世界,因为悟性将空间和时间统一于物质这个表象中,而这就是因果性的作用。这作为表象的世界,正如它只是由于悟性而存在一样,它也只对悟性而存在。我在《视觉和色彩》那篇论文的第一章里已经分析过悟性如何从感官所提供的张本造成直观,孩子们如何通过不同官能对同一客体所获印象的比较而学会直观,如何只有这样才揭穿了这许多感官现象[之谜]:譬如用两只眼睛观看而事物却只是单一的一个,但在斜视一物时又现出重叠的双影;又如眼睛同时[而不是先后]看到前后距离不同的各对象,还有由于感觉器官上突然的变化所引起的一切假象等等。关于这一重要的题材,我在《根据律》那篇论文的第二版§21里已有过更详细、更彻底的论述。凡是在那儿说过的,原应该在这里占有它必要的篇幅,应该在这里重说一遍;不过我对于抄写自己的东西几乎同抄写别人的是同样的厌恶;同时,我现在也不能比在那儿作出更好的说明;因此,与其在这儿再重复,我宁可只指出到那儿去参考,并且假定那儿说过的也是众所周知的。

    [所有这些现象,如]经过手术治愈的先天盲人和幼儿们的视觉学习;两眼感觉所得的只现为单一的视象;感觉器官受到震动而失去正常情况时所产生的双重视象或双重触觉;对象的正竖形象却在视网膜上现为倒影;色彩之移植原只是一种内在功能,是眼球活动的两极分化作用,却到了外在的对象上;最后还有立体镜;——这一切都牢固而不可反驳地证明了一切直观不仅是感性的而且是理智的,也就是悟性从后果中认取原因的纯粹认识,从而也是以因果律为前提的。一切直观以及一切经验,自其初步的和全部的可能性说,都要依赖因果律的认识,而不是反过来,说什么因果律的认识要依赖经验。后面这一说法即休谟的怀疑论,在这里才第一次将它驳斥了。原来因果性的认识不依赖一切经验,亦即这认识的先验性,只能从一切经验要依赖因果性的认识而得到说明;而要做到这一点,又只有以这里提出的和方才指出要参照的那几段所采用的方式来证明因果性的认识根本就已包含在直观中,而一切经验又都在直观的领域中:也就是从经验这方面来说,因果性的认识完全是先验的,是经验假定它为条件而不是它以经验为前提。[只有这样来证明才是正确的,]但是,这可不能从康德所尝试过,而为我在《根据律》那篇论文§23中所批判过的方式得到证明。

    人们还得防止一个重大的误会,不要因为直观是经由因果性的认识而成立的,就以为客体和主体之间也存在着原因和效果的关系。其实,更正确的是:这一关系总是只存在于直接的和间接的客体之间,即总是只存在于客体相互之间。正是由于上述那错误的前提,才有关于外在世界的实在性的愚蠢争论。在争论中,独断论和怀疑论相互对峙;前者一会儿以实在论,一会儿又以唯心论出现。实在论立客体为原因而又置该原因的效果于主体中。费希特的唯心论则[反过来] 以客体作为主体的后果,可是,在主体客体之间根本就没有什么依傍着根据律的关系,而这一点又总嫌不够深入人心;因此,上述两种主张中彼此都不可能得到证明,而怀疑论却得以对双方发动有利的攻势。犹如因果律在它作为直观和经验的条件时,就已走在直观和经验之前,因而它就不可能是从这些学来的(如休谟所见);客体和主体作为“认识”的首要条件时,也一样已经走在一切认识之前,因之也根本走在根据律之前;因为根据律只是一切客体的形式,只是客体所以显现的一贯方式;可是一提到客体就已先假定了主体,所以这两者之间不可能有根据与后果的关系。我的《根据律》那篇论文正是要完成这一任务,要说明该定律的内容只是一切客体的本质的形式,也即是客体之所以为客体的普遍方式,是一种附加于客体之所以为客体的东西。作为这样的客体,无论什么时候它总要以主体为前提,以主体为其必然的对应物;因此,这对应物就总在根据律的有效范围之外。关于外在世界的实在性[所以有]争论,正是基于错误地将根据律的有效性扩充到主体上;从这一误会出发,这个争论也决不能理解它自己了。一方面是实在论者的独断说,在将表象作为客体的效果看时,要把这是二而一的表象和客体拆开而假定一个和这表象完全不同的原因,假定一种自在的客体,不依赖于主体:那是一种完全不可想象的东西;因为[客体] 在作为客体时,就已经是以主体为前提了,因而总是主体的表象。另一方面,怀疑论在同一错误的前提下反对独断论说:人们在表象中永远只看到效果,决不认识原因,也就是决不认识存在,总是只认识客体的作用,而客体和它的作用也许根本没有什么相似之处,甚至于根本是将客体完全认锗了,因为因果律是要从经验中撷取来的,而经验的真实性又要基于因果律。在这儿就应教导争论的双方,第一、客体和表象是一个东西,其次是可以直观的47客体的存在就是它的作用,事物的现实性就正在其作用中;而在主体的表象之外要求客体的实际存在,要求真实事物有一个存在,不同于其作用,那是全无意义的,并且也是矛盾的。因此,只要直观的客体是客体,也即是表象,那么,认识了一直观客体的作用方式也就是毫无余蕴地认识了这客体;因为除此而外,在客体上就再没有什么是为这认识而留存着的东西了。就这一点说,这在空间和时间中的直观世界,既纯以因果性表出它自己,也就完全是实在的,它也就是它显现为什么的东西,并且它也是整个儿地、无保留地作为表象,按因果律而联系着,而显现它自己的。这就是它的经验的实在性。可是另一方面,一切因果性又只在悟性中,只对悟性而存在;所以那整个现实的世界,亦即发生作用的世界,总是以悟性为条件的;如果没有悟性,这样的世界也就什么也不是了。但还不仅是为了这一缘故,而是因为想象一个没有主体的客体根本就不能不是矛盾,我们才不能不干脆否认独断论所宣称的那种实在性,独立于主体之外的实在性。整个客体的世界是表象,无可移易的是表象,所以它自始至终永远以主体为条件;这就是说它有先验的观念性。但是它并不因此就是对我们说谎,也不是假象。它是什么,就呈现为什么,亦即呈现为表象;并且是一系列的表象,根据律就是其间一条共同的韧带。这样的世界对于一个庭全的悟性,即令是在这世界最内在的意义上说,也是可理解的,它对悟性说着一种完全清晰的语言。只有那由于理性的误钻牛角尖以致怪僻成性的心灵,才会想到要为它的实在性争论。并且这争论总是由于误用根据律而起的,[须知]这定律固然将一切表象,不管是哪一种表象,互相联系起来,却并不将表象和主体联系起来,也不是同那既非客体又非主体而只是客体的根据那种东西联系起来。后者原是一个不成话的概念,因为只有客体才能是根据,并且又总是[另一]客体的根据。如果人们更仔细一些追究这外在世界实在性问题的来源,就会发现,除了根据律误用于不在其效力范围的事物之外,还要加上这定律各形态间一种特有的混淆情况;即是说这定律原只在概念上或抽象的表象上而有的那一形态被移用于直观表象上,实在的客体上了;是向客体要求一个认识根据,而事实上是客体除了变易根据之外,不能有其他的任何根据。根据律原来是以这样一种方式支配着抽象的表象,支配着联结成判断的概念的,就是说每一判断所以有其价值,有其妥当性,有其全部存在,亦即这里所谓真理,仅仅只能是由于判断同其自身以外的什么,同它的认识根据这一关系而来的,所以总得还原到这认识根据。与此相反,根据津在支配着实在的客体或直观表象时,就不是作为认识根据律而是作为变易根据律,作为因果律而有效的:每一客体,由于它是变成的,也即是作为由原因所产生的效果,就已对这定律尽了它的义务了[满足了这定律的要求]。所以,在这儿要求一个认识根据,那是既无效又无意义的;这要求只能对完全另一种类的客体提出。所以,只要是就直观表现说话,它在观察者的心里既不激起思虑,也不激起疑义;这儿既无所谓谬误,也说不上真理,正误两者都是圈定在抽象的范围内,反省思维的范围内的事。在这儿,这世界对感官和悟性是但然自呈的;它是什么,就以素朴的真相而显现它自己为直观表象;而直观表象又是规律地在因果性这韧带上开展着的。

    到这儿为止,我们所考察过的外在世界的实在性问题,总是由于理性的迷误,一直到误解理性自己的一种迷误所产生的;就这一点说,这问题就只能由阐明其内容来回答,这一问题,在探讨了根据律的全部本质,客体和主体间的关系,以及感性直观本有的性质之后,就必然的自动取消了;因为那时这问题就已不再具任何意义了。但是,这一问题还另有一个来源,同前此所提出的纯思辨性的来源完全不同。这另一来源虽也还是在思辨的观点中提出的,却是一个经验的来源。在这种解释上,和在前面那种解释上比起来,这问题就有更易于理解的意义了。这意义是:我们都做梦,难道我们整个人生不也是一个梦吗?——或更确切些说:在梦和真实之间,在幻象和实在客体之间是否有一可靠的区分标准?说人所梦见的,比真实的直观较少生动性和明晰性这种提法,根本就不值得考虑,因为还没有人将这两者并列地比较过。可以比较的只有梦的记忆和当前的现实。康德是这样解决问题的:“表象相互之间按因果律而有的关系,将人生从梦境区别开来。”可是,在梦中的一切各别事项也同样地在根据律的各形态中相互联系着,只有在人生和梦之间,或个别的梦相互之间,这联系才中断。从而,康德的答案就只能是这样说:那大梦(人生)中有着一贯的,遵守根据律的联系,而在诸短梦间却不如此;虽在每一个别的梦中也有着同样的联系,可是在长梦与短梦之间,那个桥梁就断了,而人们即以此区别这两种梦。不过,按这样一个标准来考察什么是梦见的,什么是真实经历的,那还是很困难,并且每每不可能。因为我们不可能在每一经历的事件和当前这一瞬之间,逐节来追求其因果联系,但我们又并不因此就宣称这些事情是梦见的。因此,在现实生活中,就不用这种考察办法来区别梦和现实。用以区别梦和现实的唯一可靠标准事实上不是别的,而是醒[时]那纯经验的标准。由于这一标准,然后梦中的经历和醒时生活中的经历两者之间,因果联系的中断才鲜明,才可感觉。在霍布斯所著《利维坦》第二章里,该作者所写的一个脚注对于我们这儿所谈的倒是一个极好的例证。他的意思是说,当我们无意中和衣而睡时,很容易在醒后把梦境当作现实;尤其是加上在入睡时有一项意图或谋划占据了我们全部的心意,而使我们在梦中继续做着醒时打算要做的,在这种情况下,觉醒和入睡都一样未被注意,梦和现实交流,和现实沆瀣不分了。这样,就只剩下应用康德的标准这一个办法了。可是,如果事后干脆发现不了梦和现实之间有无因果关系(这种情况是常有的),那么,一个经历究竟是梦见的还是实际发生了的[这一问题]就只能永远悬而不决了。——在这里,人生与梦紧密的亲属关系问题就很微妙了;其实,在许多伟大人物既已承认了这种关系,并且也这样宣称过之后,我们就但然承认这种关系,也不必惭愧了。在《吠陀》和《普兰纳》经文中,除了用梦来比喻人们对真实世界(他们把这世界叫做“摩耶之幕”)的全部认识外,就不知道还有什么更好的比喻了,也没有一个比喻还比这一个用得更频繁。柏拉图也常说人们只在梦中生活,唯有哲人挣扎着要觉醒过来。宾达尔说:“人生是一个影子[所做] 的梦(《碧迪安颂诗》第五首第135行),而索福克利斯说:

    “我看到我们活着的人们,

    都不过是,

    幻形和飘忽的阴影。”

    索福克利斯之外还有最可尊敬的莎士比亚,他说:

    “我们是这样的材料,

    犹如构成梦的材料一样;

    而我们渺小的一生,

    睡一大觉就圆满了。”

    最后还有迦尔德隆竟这样深深地为这种见解所倾倒,以致于他51曾企图在一个堪称形而上学的剧本《人生一梦》中把这看法表达出来。

    引述了这许多诗人的名句之后,请容许我也用一个比喻谈谈我自己的见解。[我认为] 人生和梦都是同一本书的页子,依次联贯阅读就叫做现实生活。如果在每次阅读钟点(白天)终了,而休息的时间已到来时,我们也常不经意地随便这儿翻一页,那儿翻一页,没有秩序,也不联贯;[在这样翻阅时] 常有已读过的,也常有没读过的,不过总是那同一本书。这样单另读过的一页,固然脱离了依次阅读的联贯,究竟并不因此就比依次阅读差多少。人们思考一下[就知道] 全篇秩序井然的整个读物也不过同样是临时拈来的急就章,以书始,以书终;因此一本书也就可看作仅仅是较大的一单页罢了。

    虽然个别的梦得由下列这事实而有别于现实生活,也就是说梦不搀入那无时不贯穿着生活的经验联系,而醒时状态就是这区别的标志;然而作为现实生活的形式而已属于现实生活的[东西]正是经验的这种联系;与此旗鼓相当,梦中同样也有一种联系可以推求。因此,如果人们采取一个超然于双方之外的立足点来判断,那么在双方的本质中就没有什么确定的区别了,人们将被迫同意诗人们的那种说法:人生是一大梦。

    现在我们再从外在世界实在性问题的这一根源,独当一面的、来自经验的根源,回到它那思辨的根源;那么,我们已发现这一根源第一是在于误用根据律,即用之于主体客体之间;其次,又52在于混淆了这定律的一些形态,将认识根据律移用于[只有]变易根据律[才] 有效的领域。虽然如此,要是这一问题全无一点儿真实内容,在问题的核心没有某种正确的思想和意义作为真正的根源,这问题就难于这样长期地纠缠着哲学家们了。准此,人们就只有假定,当这一正确的思想一开始进入反省思维而寻求一个表示的时候,就已走入本末倒置的,自己也不理解的一些形式和问题中去了。事实也是如此,至少,我的意见认为是如此。并且,人们对于这问题的最内在的意义既不知如何求得一个简洁的表示,我就把它确定为这样一个问题:这个直观的世界,除了它是我的表象外,还是什么呢?这世界,我仅仅是一次而且是当作表象意识着的世界,是不是和我的身体一样,我对于它有着一面是表象,一面又是意志的双重意识呢?关于这个问题更清楚的说明和肯定,将是本书第二篇的内容,而由此推演出的结论则将占有本书其余的篇幅。

    现在在第一篇内,我们还只是把一切作为表象,作为对于主体的客体来考察。并且,和其他一切真实客体一样,我们也只从认识的可能性这一面来看自己的身体,它是每人对世界进行直观的出发点。从这方面看,自己的身体对于我们也仅是一个表象。固然,每人的意识都要反对这种说法;在将其他一切客体说成仅是表象时,人们已经有反感,如果说[他们]自己的身体也仅是一个表象,那就更要反对了。人们所以要反对,是由于“自在之物”,当它显现为自己的身体时,是每人直接了知的;而当它客体化于直观的其他对象中时,却是间接了知的。不过,我们这探讨的过程使得对于本质上共同存在着的东西,作出这样的抽象,这样的片面看法,这样强制的拆散,确有必要。因此,人们就只好以一种期望暂时抑制这里所说的反感而安定下来,也就是期望下续的考察就会补足这目前的片面性而使我们完整地认识到世界的本质。

    就这里说,身体对于我们是直接的客体,也就是这样一种表53象:由于这表象自身连同它直接认识到的变化是走在因果律的运用之前的,从而得以对因果律的运用提供最初的张本,它就成为主体在认识时的出发点了。如前所说,物质的全部本质是在它的作用中。作用的效果及原因又只是对悟性而言的,悟性也就是原因。效果在主体方面的“对应物”,而并不是别的什么。但是,悟性如果没有另外一种它所从出发的东西,就决不能应用。这样一种东西就是单纯的官能感觉,就是对于身体变化直接的意识;身体也是借此成为直接客体的。准此,我们发现认识直观世界的可能性是在乎两个条件:第一个条件,如果我们从客体方面来表述,就是物体互相作用的可能,互相引出变化的可能;要是没有这种一切物体共同的属性,即令以动物身体的感性为中介,还是不可能有直观。如果我们从主体方面来表述这第一条件,那么,我们说:使直观成为可能的首先就是悟性,因为因果律、效果和原因的可能性都只是从悟性产生的,也只对悟性有效;所以直观世界也只是由于悟性,对于悟性而存在的。可是第二个条件就是动物性身体的感性,也就是某些物体直接成为主体的客体那一属性。那些单纯的变化,那些由感觉器官通过特别适应于感官的外来影响所感受的变化,就这些影响既不激起痛苦,又不激起快感,对于意志没有任何直接的意义而仍被感知,也就是只对认识而存在说,固然已经要称为表象,并且我也是就这种意义说身体是直接认识的,是直接客体;然而,客体这一概念在这里还不是按其本来意义来体会的,因为由于身体的这种直接认识既走在悟性的应用之前,又是单纯的官能感觉,所以身体本身还不得算作真正的客体,而54只有对它起作用的物体才是真正的客体。这里的理由是:对于真正的客体的任何认识,亦即对于空间中可以直观的表象的任何认识,都只是由于,对于悟性而有的,从而就不能走在悟性的应用之前,而只能在其后。所以,身体作为真正的客体,作为空间中可以直观的表象,如同一切其他客体一样,就只能是间接认识的,是在身体的一部分作用于另一部分时认识的,如在眼睛看见身体,手触着身体时,应用因果律于此等作用而后认识的。从而,我们身体的形态,不是由普通的肉体感觉就可了知的,却只能通过认识,只能在表象中,也就是在头脑中,自己的身体才显现为[在空间] 展开的,肢体分明的,有机的[体]。一个先天盲人就只能逐渐逐渐地、通过触觉所提供的张本,才能获得这样的表象。盲人而没有两手将永不能知道自己的体形,最多只能从作用于他的其他物体逐渐逐渐地推断和构成自己的体形。因此,在我们称身体为直接客体时,就应该在这种限制下来体会。

    在别的方面,则仍依前所说,一切动物性的身体都是直接客体,也即是主体,认识一切而正因此决不被认识的主体,在直观这世界时的出发点。这认识作用和以认识为条件,随动机而起的活动,便是动物性的真正特征,犹如因刺激而起的运动是植物的特征一样。但是无机物则除了那种由最狭义的“原因”所引起的运动外,没有别的运动。所有这些,我已在论根据律那篇论文中(第二版,§20),在《伦理学》第一讲第三章以及在《视觉和色彩》§1中详细地阐述过了,请读者参照这些地方吧。

    由上述各点得来的结果是一切动物,即令是最不完善的一种,都有悟性,因为它们全都认识客体,而这一认识就是规定它们的行动的动机。悟性,在一切动物和一切人类,是同一个悟性,有着到处一样的简单形式:因果性的认识,由效果过渡到原因,由原因过渡到效果[的认识];此外再没有什么了。但是在敏锐的程度上,在知识范围的广狭上,悟性是大有区别的,是多种多样,等级繁多的;从最低级只认识到直接客体和间接客体间的因果关系起,也就是刚从身体感受的作用过渡到这作用的原因,而以这原因作为空间中的客体加以直观;直到最高级认识到同是间接客体相互间的因果关联,以至于理解大自然中各种最复杂的因果锁链。

    然而即令是后面这种高级的认识也还是属于悟性的,不是瞩于理性的。属于理性的抽象概念只能为接收、固定、联系那直接所理解的东西服务,决不直接产生“理解”自身。每一种自然力,每一条自然律,以及二者所从出现的每一情况,都必须先由悟性直接认识,直观的加以掌握,然后才能抽象地(in abstract),为了理性而进入反省思维的意识。胡克发现的引力法则,以及许多重要现象的还原到这一法则,然后是牛顿用算式证明了这些法则,这些都是通过悟性而有的直观的、直接的认识。可与此等量齐观的;还有拉瓦西耶发现氧及其在自然中的重要作用;还有歌德发现物理性色彩的产生方式等。所有这些发现全部不是别的,而只是正确地、直接地从效果还原到原因;随之而来的便是对自然力的,在一切同类的原因中显出的自然力同一性的认识。所有这些见解不过是悟性的同一功能在程度上不同的表现。由于这一功能,一个动物也把作用于它身体的原因当作在空间中的客体加以直观。因此,所有那些重大发现,正和直观一样,和悟性每一次的表现一样,都是直接的了知,并且作为直接了知也就是一刹那间的工作,是一个appercu,是突然的领悟;而不是抽象中漫长的推论锁链的产物。与此相反,推论锁链的功用则在于使直接的、悟性的认识由于沉淀于抽象概念中而给理性固定下来,即是说使悟性的认56识获得[概念上的]明晰,也即是说使自己能够对别人指出并说明这一认识的意义。一在掌握间接认识到的客体间的因果关系时,悟性的那种敏锐不仅在自然科学上(自然科学中的一切发现都要依仗它),而且在实际生活上也有它的功用。在实际生活上,这种敏锐就叫作精明。严格地说,精明是专指为意志服务的悟性而言;但在自然科学范围内,就不如称之为“锐利的辨别力”,“透入的观察力”和“敏慧”。虽然,这些概念的界限总是不能严格划分的,因为它们始终都是悟性的同一功能。这是每一动物对空间中的客体进行直观时,就已起作用的悟性。它的功能,常以最大限的敏锐,有时在自然现象中从已知的效果正确地探索到未知的原因,从而为理性提供材料,以思维比自然规律更为普遍的规则;有时又应用已知的原因以达到预定的效果而发明复杂灵巧的机器;有时又用之于动机,则或是看破和挫败细致的阴谋诡计,或是按各人适合的情况,为人们布置相应的动机,使人们跟随我的意愿,按我的目的而行动。好象[我]是用杠杆和轮盘转动机器一样。缺乏悟性,在本义上就叫做痴呆,也就是应用因果律时的迟钝,是在直接掌握原因效果联锁,动机行为联锁时的无能。一个痴呆的人不了解自然现象间的联系,不论这些现象是自然出现的,或是按人的意愿运行,用在机器上的;因此,他喜欢相信魔术和奇迹。一个痴呆的人看不出貌似互不相关而实际上是串通行动的人们,所以他很容易陷入别人布置的疑阵和阴谋。他看不出别人向他所进的劝告,所扬言的看法等隐藏着不可告人的动机。他总是仅仅缺乏一样东西:运用因果律时的精明、迅速和敏捷,也即是缺乏理解力。——在我生平所遇到的,有关痴呆的事例中,有一个最显著的,也是对我们这儿考察的问题最有启发意义的一个例子:疯人院里有一个十一岁左右的白痴男孩,他有正常的理性,因为他能说话,也能听懂话;但在悟性上却还不如某些动物。我常到疯人院去,并且总是[从鼻梁上]摘下以一条辫带套在脖子上的眼镜,垂于胸前;那孩子每次都要注视这副眼镜,因为镜片里反映着房间的窗户和窗外的树梢。对于这一现象,他每次都感到特别惊奇和高兴,他以诧异的神情注视着,毫不厌倦。这是因为他不理解镜片反映作用那种完全直接的因果性。

    悟性的敏锐程度,在人与人之间已很有区别;在不同物种的动物之间,区别就更大了。一切动物,即令是最接近植物的那一些种类,都有如许的理智,足够从直接客体上所产生的效果过渡到以间接客体为原因,所以足够达到直观,足够了知一个客体。而了知一个客体就使动物成为动物,有可能按动机而行动,由此便有可能去寻找食物或至少是攫取食物;而不是象植物那样只随刺激而有所作为。植物只能等待这些刺激的直接影响,否则只有枯萎;它不能去追求或捕捉刺激。在最高等动物中,如犬,如象,如猴,它们特有的机智常使我们称奇叫好;而狐的聪明,则已有皮丰大笔描写过了。在这些最聪明的动物身上,我们几乎可以准确地测出悟性在没有理性从旁相助,即是没有概念中的抽象认识时能有多大作为。这种情况在我们人类是辨认不出来的,因为在人类总是悟性和理性在相互支援。因此,我们常发现动物在悟性上的表现,有时超过,有时又不及我们之所期待。譬如,一方面有象的机智使我们惊奇:有一只象,它在欧洲旅行中已走过了很多的板桥。有一次,尽管它看见大队人马络绎过桥,一如往日,可是它拒绝走上这桥,因为它觉得这桥的构造太单薄,承不起它的重量。另58一方面有聪明的人猿又使我们感到诧异。它们常就现成的篝火取暖,但不懂得添柴以保住火种不灭。这证明添柴留火的行动已经需要思考,没有抽象概念是搞不来的。对于原因和效果的认识,作为悟性的普遍形式,甚至也是动物先验地所具有的,[这事实]固已完全确定,即由于这一认识之在动物,和在我们[人]一样,是对于外在世界一切直观认识的先行条件[这事实而完全确定];可是人们也许还想要一个特殊的例证。[如果这样,]人们就可观察一下这个例子:纵然是一只很幼小的狗,尽管它很想从桌上跳下,但是它不敢这样做。这是因为它[能]预见到自己体重的效果,而并不须在别的地方从经验认识到这一特殊情况。在我们辨识动物的悟性时,应注意不要把本能的表现认作悟性的表现。本能和悟性、理性都是完全不同的属性,但又和悟性、理性两者合起来的行动有着很相象的作用。不过,这儿不是讨论这些的地方,在第二篇考察大自然的谐律或目的性时,会有谈到它的地位,而补充篇第二十七章就是讨论这问题的专章。

    缺乏悟性叫作痴呆;而在实践上缺乏理性的运用,往后我们就把它叫作愚蠢;缺乏判断力叫作头脑简单。最后,局部的或整个的缺乏记忆则叫作疯癫。不过,这里的每一项都要分别在适当的地方再谈。为理性所正确认识的是真理,也即是一个具有充分根据的抽象判断(关于根据律的论文§29及下续各节);由悟性正确认识的是实在,也即是从直接客体所感受的效果正确地过渡到它的原因。谬误作为理性的蒙蔽,与真理相对;假象作为悟性的蒙蔽,与实在相对。关于这一切的详细论述都可参考我那篇关于视觉和色彩的论文第一章。假象是在这样的场合出现的,就是在同一效果可由两种完全不同的原因引出时,其中一个所引起的作用是常见的,另一个所起的作用是不常见的。效果既然一般无二,悟性又不获识别哪一原因是起作用的张本,就总是假定那习惯上常见的当作原因,而悟性的作用并不是反省思维的,不是概念推论的,而是直接的,当下即是的;于是这一虚假的原因就作为直观的客体而呈现于我们之前了;这就正是假象。在感觉器官陷于不正常的位置时,如何在这种情况下产生双重视觉,双重触觉[的问题],我已在上面引证的篇章里说明过了;并且由此得到一个不能推翻的证明,证明直观只是由于悟性,对于悟性而存在的。此外,这种悟性的蒙蔽或假象的例子,还有浸在水中笔直的棍儿所现出的曲折形象,有球面镜中的人影在圆凸面上显出时,好象要在镜面后面一些,在圆凹面上显出时又好象要在镜面前好远似的。属于这儿的例子,还有地平线上的月球好象比在天顶上的要大一些似的。[其实]这不是一个光学上的问题,因为测微仪已证明眼睛看天顶上的月球时,比在地平线上看的时候,视角要稍微大一些。这仍是悟性的作用,悟性以为地平线上的月球以及一切星辰的光度所以较弱,原因在于距离较远,把这些星、月同地面上的事物一样看待,按空气透视律来估计,因此就把地平线上的月看成比天顶上的月要大些;同时也把地平线上的天顶看成较为开展些,看成平铺一些。按空气透视律而有的同一错误估计,使我们觉得很高的山,只在于净透明的空气中才看得见的那些山峰,比实际上的距离要近些,同时也觉得它矮些而歪曲了实际的高度,譬如从萨朗希地方看蒙勃朗山峰就是这样。——所有这些使人发生幻觉的假象都在当下的直观中呈现于我们之前,不能用理性的任何推理来消灭它。理性的推理只能防止谬误,而谬误就是没有充分根据的判断,理性的推论是以一个与谬误相反的正确推论来防止谬误的,譬如说抽象地认识到星月的光度所以在地平线上较弱的原因不是更远的距离,而是由于地平线上较浑浊的气围。可是上述各种假象,偏要和每一抽象的认识为难,偏是依然如故,无可改易。这是因为理性是惟一附加于人类,为人类所专有的认识能力;而悟性和理性之间却有着完全不同而严格的区别。就悟性本身说,即令是在人类,它也还不是理性的。理性总是只能知道,而在理性的影响之外,直观总是专属于悟性的。

    就我们前此的全部考察说,还有下列事项应该说明一下。我们在这考察中,既未从客体,也未从主体出发,而是从表象出发的。表象已包含这主客两方面并且是以它们为前提的,因为主体客体的分立原是表象首要的、本质的形式。所以,作为这种形式的主客分立是我们首先考察过的,然后(尽管有关这问题的主要事项,在这里还是援引那篇序论作说明的)是次一级的其他从属形式,如时间、空间、因果性等。这些从属形式是专属于客体的,但这些形式对于客体之为客体是本质的,而客体对于主体之为主体又是本质的;因此又可从主体方面发现这些形式,即是说可以先验地认识它们。就这方面说,这些形式可以看作主体客体共同的界限。不过所有这些形式都要还原到一个共同名称,还原到根据律;而这是在序论里已详细指出了的。

    上述这一做法,是我们这种考察方式和一切已往哲学之间的根本区别。因为所有那些哲学,不从容体出发,便从主体出发,二者必居其一,从而总是要从容体引出主体,或从主体引出客体,并且总是按根据津来引伸的。我们相反,是把客体主体之间的关系从根据律的支配范围中抽了出来的,认根据律只对客体有效。人们也许有这种看法,说产生于我们现代而已为众所周知的同一哲学就不包括在上述两种对立[的哲学]之中;因为它既不以客体,又不以主体作为真正的原始出发点,而是以一个第三者,一个由“理性直观”可认识的“绝对”为出发点的。“绝对”既不是客体,又61 不是主体,而是两者的二合一。我虽是由于完全缺乏任何。“理性直观”,而不敢对这可尊敬的“二合一”或“绝对”赞一词,可是我仍须以“理性直观”者们自己对任何人、对我们这些不敬的异教徒也摊开着的纪录为根据,而指出这种哲学并不能自外于上列两种互相对峙的错误。因为这种哲学,虽说有什么不可思维而却是可以“理性直观”的同一性,或是由于自己浸沉于其中便可经验到的主客体同一性;却并不能避免那两相对峙的错误,只不过是把两者的错误混合起来了。这种哲学自身又分为两个学科,一是先验唯心论,也就是费希特的“自我”学说,按根据律自主体中产出或抽绎出客体的学说。二是自然哲学,认为主体是逐渐从客体中变化出来的;而这里所使用的方法就叫做“构造”。关于,“构造”,我所知道的虽很少,却还足以明白“构造”即是按根据律在某些形态中向前进动的过程。对于“构造”所包含的深湛智慧,我则敬谢不敏,因为我既完全缺乏那种“理性直观”,那么,以此为前提的奄书篇,对于我就只能是一部密封的天书了。这一比喻竟真实到这种程度,说起来也奇怪,即是在听到那些“智慧深湛”的学说时,我总是好象除了听到可怕的并且是最无聊的瞎吹牛之外,再也没听到什么了。

    从客体出发的那些哲学体系,固然总有整个的直观世界及其秩序以为主题,但他们所从出发的客体究竟不就是直观世界或其基本元素——物质。更可以说,那些体系可按序论中所提的四类可能的客体而划分类别。据此,就可以说:从第一类客体或从现实世界出发的是泰勒斯和伊翁尼学派,是德谟克利特,厄璧鸠鲁,约旦·普禄诺以及法国的唯物论者。从第二类或抽象概念出发的62是斯宾诺莎(即是从纯抽象的,仅于其定义中存在的概念——实体出发)和更早的厄利亚学派。从第三类,也就是从时间,随即也是从数出发的是毕达戈拉斯派和《易经》中的中国哲学。最后,从第四类,从认识发动的意志活动出发的是经院学派,他们倡导说,一个在世外而具有人格的东西能以自己的意志活动从无中创造世界。

    从客体出发的体系中,以作为地道的唯物论而出现的一种最能前后一贯,也最能说得过去。唯物论肯定物质,与物质一起的时间和空间,都是无条件而如此存在着的;这就跳过了[这些东西]同主体的关系,而事实上所有这些东西都是只存在于这关系中的。然后,唯物论抓住因果律作为前进的线索,把因果律当作事物的现成秩序,当作永恒真理。这就跳过了悟性,而因果性本是只在悟性中,只对悟性而存在的。于是,唯物论就想找到物质最初的、最简单的状态,又从而演绎出其他一切状态;从单纯的机械性上升到化学作用,到磁性的两极化作用,到植物性,到动物性等等。假定这些都做到了。可是还有这条链带最后的一环——动物的感性,认识作用;于是这认识作用也只好作为物质状态的一种规定,作为由因果性产生的物质状态而出现。如果我们一直到这儿,都以直观的表象来追随唯物论的观点,那么,在和唯物论一同达到它的顶点时,就会觉察到奥林普斯诸天神突然发出的,收敛不住的笑声。因为我们如同从梦中觉醒一样,在刹那之间,心里明亮了:原来唯物论这个几经艰难所获得的最后结果,这认识作用,在它最初的出发点,在纯物质时,就已被假定为不可少的条件了,并且当我们自以为是在同唯物论一道思维着物质时,事实上这所思维的并不是别的,反而是表象着这物质的主体;是看见物质的眼睛,是触着物质的手,是认识物质的悟性。这一大大的丐词(petitio principii)意外地暴露了它自己,因为最后这一环忽然又现为最初那一环所系的支点,[从机械性到认识作用]这条长链也忽然现为一个圆圈了。于是,唯物论者就好比闵63希豪森男爵一样,骑着马在水里游泳,用腿夹着马,而自己却揪住搭在额前的辫子想连人带马扯出水来。由此看来,唯物论基本的荒唐之处就在于从容体事物出发,在于以一种客体事物为说明的最后根据。而这客体事物可以是只被思维而在抽象中的物质,也可以是已进入认识的形式而为经验所给与的物质或元素,如化学的基本元素以及初级的化合物等。如此之类的东西,唯物论都看作是自在地、绝对地存在着的,以便从此产生有机的自然,最后还产生那有认识作用的主体;并以此来充分说明自然和主体。事实上是一切客体事物,既已作客体论,就已是由于认识着的主体通过其“认识”的诸形式从多方加以规定了的,是早已假定这些形式为前提了的。因此,如果人们撇开主体,一切客体事物便完全消失。所以唯物论的企图是从间接给与的来说明直接给与的。凡是客体的、广延的、起作用的事物,唯物论即认为是它作说明的基础;以为是如此巩固的基础,一切说明只要还原到它(尤其是在以作用与反作用为说明的最后出路时),便万事已足,无待他求了。其实,所有这些事物,我说,都仅是最间接的,最受条件制约的给与,从而只是相对地出现的事物;因为这一切都是通过了人脑的机括和制作的,也即是进入了这机括、制作的时间、空间、因果性等形式的;这一切也唯有有赖于这些形式始得呈现为在空间中广延的,在时间中起作用的事物。现在唯物论竟要从这样一种给与来说明直接的给与,说明表象(其实,那一切也都在表象中),最后还要说明意志。事实上应该反过来说,所有那些在原因后又有原因的线索上,按规律呈现的一切基本动力都只能从意志得到说明。对于认识也是物质的模式化的说法,也另有一相反的说法,常有同等的权利与之分庭抗礼,即是说一切物质,作为主体的表象,倒是主体的认识之模式化。但是一切自然64科学的目标和理想,在根本上仍完全是彻底的唯物论。唯物论显然不可能,这是在我们往后的考察里自会得到的结论;在这里还有一个真理也证实[我们] 这一见解。原来一切狭义的科学,也就是我所理解的,以根据律为线索的有系统的知识,永远达不到一个最后的目标,也不能提出完全圆满的说明;因为这种知识永达不到世界最内在的本质,永不能超出表象之外;而是根本除了教导人们认识一些表象间的相互关系以外,再没有什么了。

    每一种科学都是从两个主要的张本出发的。其中一个总是在某一形态中的根据律,这就是科学的论证工具,另外一个即这门科学特有的对象,也就是这门科学的主题。例如几何学就是以空间为主题,以空间中的存在根据为工具的。逻辑以狭义的概念联系为主题,以认识根据为工具;历史以人类过去大规模的、广泛的事迹为主题,以动机律为工具;自然科学则以物质为主题,以因果律为工具;因此,自然科学的指标和目的就是以因果性为线索,使物质的一切可能状态互相还原,最后且还原到一个状态;又使互相引伸,最后且从一个状态引出其他一切状态。于是,在自然科学中有两种状态作为两极而对峙,即离主体的直接客体最远的和最近的两种物质状态相对峙,也即是最无生机的,最原始的物质或第一基本元素和人的有机体相对峙。作为化学的自然科学是寻求前者,作为生理学,则是寻求后者。直到现在为止,这两极都没有达到过;只在中间地区有些收获罢了。就未来的展望说,也颇难有什么希望。化学家们在物质的定性分析方面不象定量分析方面可以分至无穷的前提下,总是想把化学的基本元素(现在还在六十种上下)的总数缩小;假设已缩到只有两种的话,他们还想把两种还原为一种。这是因为均质律导向一种假定,即是说物质有一种最初的化学状态先于一切其他状态;后者不是物质所以为物质的本质,而只是偶然的形式、属性等;前者则专属于“物质所以为物质”的本质。在另一方面,这种最初状态既没有第二种状态在那儿对它发生作用,怎么能发生一种化学变化,却正是不可理解的。这样,这里在化学上也出现了厄璧鸠鲁在力学上所遇到的狼狈情况。这种情况,是厄壁鸠鲁在要说明一个原子开始是如何脱离它原来的运动方向时所遇到的。是的,这一自发地发展起来的矛盾,既不可避免,又不能解决,本是完全可以作为化学上的二律背反提出来的。在自然科学所寻求的两极端之一[的化学]中,既已发现这种矛盾,那么,在另一极端,我们也会看到相应的对比。要达到自然科学的另一极端,同样是很少希望的;因为人们只有看得更清楚,凡属化学的决不能还原为力学的,有机的也不能还原为化学的或电气的。那些在今天又重新走上这条古老的错误道路的人们,很快就要和他们的前辈一样,含羞地、悄悄地溜回来。关于这些,在下一篇再评论。这儿顺便提到的还只是自然科学在自己的领域内所遭遇的[情况]。自然科学作为哲学看,在这些困难之外,它又还是唯物论;而唯物论,如我们已经看到的,在它初生时就已在它自己的心脏中孕育着死亡了。这是因为唯物论跳过了主体和认识形式,而在它所从出发的原始物质中,和它所欲达到的有机体中一样,主体和认识形式都已是预定的前提了。须知“没有一个客体无主体”就是使一切唯物论永不可能的一条定律。太阳和行星没有眼睛看见他们,没有悟性认识他们,虽然还可用字句加以言说,但是这些字句对于表象来说,只是[不曾见过的]“铁树”。另一面,因果律和根据此律而对大自然所作的观察和探讨又必然地导引我们到一个可靠的假定,即是说在时间中,物质的每一较高组织状态总是跟着一个较原始的状态而来的,动物就先于人类,鱼类先于陆栖动物,植物又先于鱼类与陆栖动物,无机物则先于一切有机物。从而那原始的浑饨一团必需经过好长一系列的变化,才到得有最初的一只眼睛张开的时候。然而,这整个世界的实际存在都有赖于这第一只张开的眼睛,即使这只是属于一个昆虫的眼睛;因为有赖于眼睛即有赖于认识所必需的媒介,而世界是只对认识、只在认识中存在的。没有认识,世界就根本不能想象;而这又因为世界干脆就是表象;以表象论,它需要“认识”的主体作为它实际存在的支往。是的,就是那漫长的时间系列本身,为无数变化所填充,物质通过这系列而从一个形式上升到又一形式,直到第一个有认识作用的动物出现于世;这整个时间本身也只在一个意识的同一性中才可思维,它是这意识的表象的秩序,是意识的认识形式;如果在意识的同一性以外,它就彻底丧失了一切意义,也就什么都不是了。于是,一方面我们看到整个世界必然地有赖于最初那个认识着的生物,不管这生物是如何的不完全;另一方面又看到这第一个认识着的生物必然完全地有赖于它身前的一长串因果锁链,而这动物只是参加在其中的一小环。这两种相互矛盾的意见,每一种都是我们事实上以同样的必然性得来的,人们诚然可称之为我们认识能力中的二律背反,并把它和自然科学那第一极端中发现的二律背反作为对照确定起来。同时,在本书附录的康德哲学批判中,将证明康德的四种二律背反只是毫无根据的无的放矢。至于这里最后必然出现的这矛盾倒还可找到它的解决方案,即是用康德的话说,时间、空间和因果性并不属于自在之物,而只属于其现象,是现象的形式。用我的话来说,则是客观的世界,即67 作为表象的世界,不是世界唯一的一面,而仅是这世界外表的一面;它还有着完全不同的一面,那是它最内在的本质,它的内核,那是“自在之物”。这本质,我们将在下一篇中考察,并按它最直接的一种客体化而称之为意志。作为表象的世界是我们这里唯一要考察的,它是随最早一只眼睛的张开而开始存在的;没有认识的这一媒介,它是不能存在的,所以也不先于最初一只眼的张开而存在。并且没有这只眼睛,也就是在认识以外,那也就没有先于[“后于”],没有时间了。可是时间并不因此就有一个起始,一切起始倒都是在时间中的。又因为时间是认识的可能性一最普遍的形式,一切现象都经由因果联带而嵌合于其中,所以它(时间)是和最初第一认识同时而有的,井同时具有向先向后这两方面全部的无限性。填充这第一现在的那个现象,也必同时被认为是在原因系列上,上联于并依附于向过去无限延伸的现象系列。而这过去本身的由于第一现在而被规定,正同后者之被规定于前者是一样的。所以和第一现在一样,它所从出的过去也有赖于认识着的主体;没有这主体,就不能是什么。这又引出一个必然的事实,即是说这第一现在并不呈现为初创的,不是没有过去作母亲的时间之起点,而是按时间的存在根据呈现为过去的后续的;同样,填充第一现在的现象也按因果律呈现为早先填充过去的那些情况的后果。谁要是喜欢附会神话以当说明的活,他可以用最小一个泰坦的、即克隆诺斯的诞生象征这里所表明的,实际上本无始的时间初现的那一刹那;由于克隆诺斯阉割了他自己的父亲,于是天地造物的粗胚都终止了,现在是神的和人的族类登上了舞台。

    这里的叙述是我们跟着从容体出发最彻底的哲学体系唯物论进行探讨所得[的结果]。这一叙述同时也有助于使主体客体间,还有不可分的相互依赖性显而易见。在不能取消主客相互对立的同时,这一认识所导致的后果是[人们]不能再在表象的两个因素中的任何一个里,而只能在完全不同于表象的东西中去寻求世界最内在的本质,寻求自在之物;而自在之物是不为那原始的,本质的,同时又不能消解的[主客] 对立所累的。

    和上述从客体出发相反的,和从客体引出主体相反的,是从主体出发,从主体找出客体。在以往的各种哲学中,前者是普通而常有的;后者相反,只有唯一的例子,并且是很新的一个例子,那就是费希特的冒牌哲学。在这“唯一”而“新”的意义上,这里必须指出,他那学说虽然只有那么一点儿真实价值和内在含义,可说根本只是一种花招;然而这个学说却是以最严肃的道貌,约束着情感的语调和激动的热情陈述出来的;它又能以雄辩的反驳击退低能的敌人,所以它也能放出光芒,好象它真是了不起似的。可是那真正的严肃态度,在心目中坚定不移地追求自己的目标,追求真理,不受任何外来影响的态度,是他和所有迁就当前形 势的,同他类似的哲学家们完全没有的。诚然,他也不能不如此。人所以成为一个哲学家,总是[由于]他自求解脱一种疑难。这疑难就是柏拉图的惊异怀疑,他又称之为一个富于哲学意味的情绪。区别哲学家的真伪,就在于此:真正的哲学家,他的疑难是从观察世界产生的;冒牌哲学家则相反,他的疑难是从一本书中,从一个现成体系中产生的。这就是费希特的情况,他是在康德的自在之物上成为哲学家的。要是没有这自在之物,以他修辞学上的天才去干些别的行当,他很可能有大得多的成就。《纯粹理性批判》这本书使他成了哲学家。只要他真有点儿钻进这书的意义了,他就会理解该书主要论点的精神是这样的:根据律不是一个永恒真理,这和经院学派是不同的。根据律不是在整个世界之前,之外,之上而有无条件的妥当性;任它是作为空间、时间的必然关系也好,因果律也好,或是作为“认识根据律”也好,它单单只是在现象中相对地,在条件制约下有效。因此,世界的内在本质,自在之物,是永不能以根据律为线索而得发现的;相反,根据律导致的一切,本身就总是相对的、有待的;总在现象之中而不是自在之物,此外,根据律根本不触及主体,而只是客体的形式;客体也正因此而不是自在之物。并且与客体同时,主体已立即同在,相反亦然;所以既不能在客体对主体、也不能在主体对客体的关系上安置从后果到原因这一关系。但是,有关这种思想的一切,在费希特那儿是一点气味也没有。在这件事上,他唯一感兴趣的是丛主体出发。康德所以选择这个出发点,是为了指出已往从容体出发,因而将客体看成自在之物的错误。费希特却把从主体出发当作唯一有关的一回事;并且有如一切摹仿者之所为,以为他只要在这一点上比康德走得更远些,他就超过康德了。他在这个方向所重犯的错误,也就是以往独断论在相反的方向所犯的错误。正是后者招致了康德的批判。于是,在根本问题上仍旧毫无改进,在客体主体问认定原因后果关系的基本错误依然如故;以为根据律具有无条件的妥当性,也前后无二致;不过以往是将自在之物置于客体中,而现在则是移置于认识着的主体中罢了。还有,主体客体间十足的相对性,以及这相对性所指出的自在之物或世界的内在本质,不得在主体客体中寻求,只能在此以外,在一切仅以相关而存在的事物以外去寻求[的道理]依然未被认识,也是今昔相同的。好象根本没有过康德这么个人似的,根据律之在费希特,和它在一切经院哲学那儿一样,是同一事物,是永恒真理。在古代的诸神之上,还有永恒的命运支配着;同样,在经院学派的上帝之上,也有一些永恒真理支配着,也就是一些形而上的、数理的、超逻辑的真理在支配着;[除此以外,]有些人还要加上道德的妥当性这一条。[他们说] 唯有这些“真理”不依存于任何事物,由于它们的必然性才有上帝和世界。在费希特,根据律就是作为这种永恒真理看的;按根据律,自我便是世界或非我的根据,是客体的根据;客体是自我的后果,是自我的产品。因此,他谨防着对根据律作进一步的检查和限制。费希特使自我产出非我,有如蜘蛛结网一样;如果要我指出他的线索是根据律的哪一形态,那么,我认为那就是空间中的存在根据律。只有关涉到这一定律,费希特那种艰涩的演绎还能有某种意义和解释。[须知]这些如此这般的演绎,譬如自我产生并制成非我等,实构成了这自来最无意味的,就拿这一点说已是最无聊的一本书的内容。费希特这哲学本来并无一谈的价值,[不过] 对于古老的唯物论,它是晚出的、真正的对立面;只在这一点上还有些意思,因为一面是从客体出发最彻底的[体系],一面是从主体出发最彻底的[体系]。唯物论忽略了在它指定一最单纯的客体时,也就已立即指定了主体。费希特也忽略了他在指定主体时(至于他给这主体一个什么头衔,那可听其自便),不仅也已指定了客体(无客体也就没有一个可想象的主体),并且还忽略了这一点,即是说一切先验的引伸,根本是所有的论证,都要以必然性为支点[这事实];而一切必然性又仅仅只以根据律为支点,因为所谓“必然是”和“从已知根据推论”是可以互换的同义概念。他还忽略了根据律除了是“客体所以为客体”的形式外,就不再是什么;从而根据律先已假定客体为前提,而不是在客体之前,于客体之外有什么效力,就能引出客体,就能按自己的法令而使之产生。所以,从主体出发和前面说过的从客体出发,有着共同的错误,双方都是一开始先就假定了它们声称注后要证明的,也就是已假定了他们那出发点所不可少的对应[物]。

    我们的办法是在种类上完全不同于上述两种相反的谬见的,我们既不从客体,也不从主体出发,而是从表象出发的。表象是意识上最初的事实,表象的第一个本质上所有的基本形式就是主体客体的分立。客体的形式又是寓于各种形态内的根据律;如已指出,每一形态又是如此圆满地支配着所属的一类表象,以至随同该形态的认识,整个这一类表象的本质也就被认识了。这是因为这个类别(作为表象)除了是该形态的本身之外,便无其他;譬如时间本身除了是时间中的存在根据外,即先后继起外,便无其他,空间除了是空间中的根据律外,即部位而外,便无其他,物质除了是因果性外,便无其他:概念(如即将指出的)除了是对认识根据的关系之外,便无其他。作为表象的世界有它十足的,一贯的相对性,或按它最普遍的形式(主体和客体)看,或按次一级的形式(根据律)看,如上所说,都为我们指出世界最内在的本质只能到尧全不同于表象的另一面去找。下一篇即将在一切活着的生物同样明确的一事实中,指出这另外的一面。

    目前还有专属于人类的那类表象尚待考察。这类表象的素材就是概念,而它在主体方面的对应物则是理性,正和前此所考察的表象以悟性和感性为主体方面的对应物相同;不过悟性和感性却是每一动物所具有的罢了。

    好比从太阳直接的阳光之下走到月亮间接的返光之下一样,我们现在就从直观的,当下即是的,自为代表的,自为保证的表象转向反省思维,转向理性的抽象的、推理的概念。概念只从直观认识,只在同直观认识的关系中有其全部内容。只要我们一直是纯直观地行事,那么,一切都是清晰的、固定的和明确的。这时既无问题,也无怀疑,也无谬误;人们不会再有所求,也不能再有所求,人们在直观中已心安理得,在当下已经有了满足。直观是自身 具足的,所以凡纯粹由直观产生的,忠于直观的事物,如真正的艺术品,就决不能错,也不能为任何时代所推翻,因为它并不发表一种意见,而只提供事情本身。可是随同抽象的认识,随同理性,在理论上就出现了怀疑和谬误,在实践上就出现了顾虑和懊悔。在直观表象中,假象可以在当下的瞬间歪曲事实;在抽象的表象中,谬误可以支配几十个世纪,可以把它坚实如铁的枷锁套上整个整个的民族,可以窒息人类最高贵的冲动;而由于它的奴隶们,被它蒙蔽的人们,甚至还可给那些蒙蔽不了的人们带上镣铐。对于这个敌人,历代大哲们和它进行过实力悬殊的斗争;只有大哲们从它那儿缴获的一点东西才成为了人类的财富。因此,在我们初踏上这敌人所属的领土时,立刻就唤起我们对它的警惕,是有好处的。虽然已有人这样说过,即令看不到任何好处,我们仍应追求真理,因为真理的好处是间接的,并且能够隔一个时期意外地又重现出来;可是我在这儿还要加上一句,说:即令看不到任何害处,人们也得同样作出努力来揭露并铲除每一谬误,因为它的害处也是间接的,也在人们不提防的时候又能出现;而每一谬误里面都是藏着毒素的。如果是人的智力,人的知识使人类成为地了球上的主宰,那么,就没有什么无害的谬误;如果是那些尊严的、神圣的谬误就更不是无害的了。为了安慰那些用任何一方式,在任何一场合,由于对谬误进行过崇高艰巨的斗争而献出力量和生命的人们,我不禁要在这儿插一句:在真理尚未出现以前,谬误固然还能猖獗一时.正如猫头鹰和蝙蝠能在夜间活动一样;但是如果说真理既已被认识,既已明晰而完整的表达出来了之后还能再被逐退,而旧的谬误又得安逸地重占它那广阔的阵地,那么,猫头鹰和蝙蝠把东边升起的太阳吓回去,就更有可能了。这就是真理的力量,它的胜利虽然是在艰苦困难中赢得的,但足以弥补这个遗憾的是若是真理一旦赢得了这胜利,那也就永远夺它不走了。

    到这里为止,我们所考察过的表象,按其构成来看,如从客体方面着眼,就可还原为时间、空间和物质;如从主体方面着眼,就可还原为纯粹感性和悟性(即因果性的认识)。除了这些表象之外,在生活于地球的一切生物之中,独于人类还出现了一种认识能力,发起了一种完全新的意识。人们以一种冥悟的准确性而很恰当地把这种意识叫做反省思维。诚然,这种意识在事实上是一种反照,是从直观认识引伸而来的;然而它有着完全不同于直观认识所有的性质和构成,它不知道有属于直观认识的那些形式;即令是支配着一切客体的根据律,在这儿也有着完全不同的另一形态。这新的,本领更高强的意识,一切直观事物的这一抽象的反照,在理性的非直观的概念中的反照,——唯有它赋予人类以思考力。这就是人的意识不同于动物意识的区别。由于这一区别,人在地球上所作所为才如此的不同于那些无理性的兄弟种属。人在势力上超过它们,在痛苦上人也以同样的程度超过它们。它们只生活于现在,人则同时还生活于未来和过去。它们只满足当前的需要,人却以他机巧的措施为将来作准备,甚至为他自己看不到的时代作准备。它们完全听凭眼前印象摆布,听凭直观的动机的作用摆布;而规定人的却是不拘于现前的抽象概念。所以人能执行预定计划,能按规章条款办事;可以不顾[一时的] 环境,不顾当前偶然的印象。譬如说,人能够无动于中为自己身后作出安排,能够伪装得使人无法看出破绽,而把自己的秘密带进坟墓去。最后,在为数较多的动机中他还有真正的选择权。因为只有在抽象中,这些动机同时并列于意识中,才能带来这样一个认识:就是动机既互相排斥,就得在实力上较量一下,看谁能支配意志。在较量中占优势的动机,也就是起决定作用的动机,这就是经过考虑后的意志的抉择,这一动机便是透露意志的本性一个可靠的标志。动物与此相反,是由眼前印象决定的;只有对当前强制力的畏惧才能控制它的欲求,到这种民惧成为习惯时,以后便受习惯的约束,这就是施于动物的训练。动物有感觉,有直观;人则还要思维,还要知道。欲求则为人与动物所同有。动物用姿态和声音传达自己的感觉和情绪,人则是用语言对别人传达思想或隐瞒思想。语言是他理性的第一产物,是理性的必需工具,所以,在希腊文和意大利文中,语言和理性是用同一个词来表示的:在希腊文是“逻戈斯”logos,在意大利文是“迪斯戈尔索”ildiscorso。[在德语,] 理性[“费尔窿夫特”]vernunft是从“理会”[“费尔涅门”]vernehmen来的,而这又和“听到”hren并非同义词,而有了解语言所表达的思想的意味。唯有借助于语言,理性才能完成它那些最重要的任务,例如许多个别人协同一致的行动,几千人有计划的合作;例如文明,国家:再还有科学,过去经验的保存,概括共同事物于一概念中,真理的传达,75谬误的散布,思想和赋诗,信条和迷信等等,等等。动物只在死亡中才认识死亡,人是意识地一小时一小时走向自己的死亡。即令一个人还没认识到整个生命不断在毁灭中这一特性,逐步走向死亡有时也会使他感到生命的可虑。人有各种哲学和宗教,主要是由于这个原因。但是在人的行为中,我们有理由给予某些东西高于一切的评价,如自觉的正义行为和由心性出发的高贵情操;这些东西究竟是不是可以称为哲学或宗教的后果,那是并不明确的。与此相反,肯定是专属于哲学、宗教这两者的产物的,肯定是理性在这条路上的出品的,却是各派哲学家那些离奇古怪的意见,各教派僧侣们那些奇奇怪怪的,有时也残酷的习俗。

    至于所有这些多种多样的,意义深远的成就都是从一个共同原则产生的,这是一切时代,一切民族共同一致的意见。这原则就是人对动物所以占优势的那种特殊精神力。人们称之为理性,希腊文叫做“逻戈斯”logos,“逻辑斯谛拱”logistikog ,“逻辑蒙”logimon ;拉丁文叫“拉齐奥”ratio。所有的人也都很知道如何认识这一能力的表现,也知道说什么是理性的,什么是非理性的;知道理性在什么地方是和人类其他能力,其他属性相对称的。最后,人还知道,由于动物缺乏理性,所以,尽管是动物中最聪明的一个,也还有某些事情是不能指望于它的。一切时代的哲学家们,对于理性这种一般的知识也全有一致的说法;此外,他们还指出理性的一些特殊重要表现,如情感和激动的控制,如推求结论的能力,制定普遍原则的能力,甚至是[确定] 那些不待经验就已明确了的原则,等等。虽然[在这些地方已有一致的说法],但是所有他们那些关于理性真正本质的说明仍是摇摆不定的,是规定不严格的,游离的;既无统一性又无中心,一会儿着重这一表现,一会儿又着重那一表现,因此[各家]常常互有出入。此外,还有好多哲学家在说到理性的本质时,是从理性和启示之间的对立出发的。这种对立在哲学上是完全不相干的,只有增加混乱的作用而已。最奇特的是直76到现在为止,没有一个哲学家把理性所有那些杂多的表现,严格地归根于一个单一的功能。这种功能,既可在所有的表现中一一识别出来,又可从而解释这一切表现,所以这功能就应该构成理性所特有的内在本质。虽然有卓越的洛克在《人类悟性论》第二卷第十一章第十和第十一节中很正确地指出抽象的普遍概念是人兽之间起区别作用的特征;虽有莱布尼兹在《人类悟性新论》第二卷第十一章第十和第十一节中完全同意洛克并又重复了这一点;但是,当洛克在同一本书第四卷第十七章第二、三两节中到了真正要说明理性时,他就把理性那唯一的重要特征遗忘了,他也落到和别人一样,[只能] 对理性一些零零碎碎的、派生的表现作一种摇摆不定的、不确定的、不完备的陈述了。莱布尼兹在他那本著作中与上列章节相应的地方,整个说来也同洛克如出一辙,只是更加混乱,更加含糊罢了。至于康德如何混淆了,歪曲了理性的本质的概念,那是我在本书附录中详细谈过了的。谁要是为了这一点而不厌其烦,读遍康德以后出版的大量哲学著作,他就会认识到:君王们犯了错误,整个整个的民族都要为他补过;和这一样,伟大人物的谬误就会把有害的影响传播干好些整个整个的世代,甚至到几个世纪;并且这种谬误还要成长、繁殖,最后则变质为怪诞不经。这一切又都是从贝克莱说的那句话产生的,他说的是:“少数几个人在思维,可是所有的人都要有自己的意见”。

    悟性只有一个功能,即是直接认识因果关系这一功能。而真实世界的直观,以及一切聪明、机智、发明的天才等等,尽管在应用上是如何多种多样,很显然都是这单一功能的诸多表现,再不是别的什么。和悟性一样,理性也只有一个功能,即构成概念的功能。从这单一的功能出发,上述区别人的生活和动物生活的一切现象就很容易说明了,并且是完完全全自然而然的说明了。而人们无论何时何地所说的“合理”或“不合理”,全都意味着应用了或没有应用这唯一功能。

    概念构成一个特殊类别的表象,和我们前此所考察过的直观表象是在种类上完全不同的一个类别,是只在人的心智中才有的。因此,关于概念的本质,我们就永不能获得直观的、真正自明的认识,而只能有一种抽象的、推理的认识。只要经验是当作真实外在世界来体会的,而外在世界又正是直观表象,那么,要求在经验中证实概念,或者要求和直观客体一样,可以把概念放在眼前或想象之前,那就文不对题了。概念,只能被思维,不能加以直观;只有人由于使用概念而产生的作用或后果才真正是经验的对象。这类后果有语言,有预定计划的行动,有科学以及由此而产生的一切。言语作为外在经验的对象,显然不是别的,而只是一个很完善的电报,以最大速度和最精微的音差传达着任意[约定]的符号。这些符号意味着什么呢?是如何来解释的呢?是不是在别人谈话的时候,我们就立刻把它的言辞翻译成想象中的图画呢?是不是接着悬河般涌来的词汇和语法变化,这些图画包相应地掣电般飞过我们眼前,自己在运动,在相互挂钩,在改组,在绘影绘声呢?果真是这样,那么,听一次演讲,或读一本书,我们脑子里将是如何的骚动混乱啊!事实上,解释符号,全不是这样进行的。言辞的意义是直接了知的,是准确地、明晰地被掌78握的,一般并不搀入想象作用。这是理性对理性说话,理性在自己的领域内说话。理性所传达的和所接受的都是抽象概念,都是非直观的表象,而这些概念又是一次构成便次次可用的,在数量上虽比较少,却包括着,涵蕴着,代表着真实世界中无数的客体。只有从这里才能说明为什么一个动物,虽和我们同有说话的器官,同有直观表象,却决不能说话,也不能听懂言语。这正是因为字句所指的是那特殊类别的表象,它在主体方面的对应[物] 便是理性,[动物没有理性,] 所以任何字句就不能对它有意义,有解释了。既是这样,所以语言,以及一切隶属于理性的任何其他现象,一切区分人禽之别的事物,都只能以这唯一的、简单的东西作为来源而得到解释;而这就是概念,就是抽象的,非直观的,普遍的,不是个别存在于时间,空间的表象。只有在个别的场合,我们也从概念过渡到直观,为自己构成幻影作为概念的有形象的代表,但这幻影决不能有恰如其分的代表性而和概念完全契合无间。这是我在《根据律》第二十八节中特别阐明了的,在这儿就不再重复了。应该以那儿说过的和休漠在他的《哲学论文集》第十二篇中所说的(第244页)和赫德尔在《超批判》第一篇,第274页所说的(再说,这是一部写得不好的书)那些话比较一下。至于柏拉图的理念型,那是由于想象力和理性的统一而后可能的,将构成本书第三篇的主要题材。

    概念和直观表象虽有根本的区别,但前者对后者又有一种必然的关系;没有这种关系,概念就什么也不是了。从而这种关系就构成概念的全部本质和实际存在。[这是怎样一种关系呢?原来] 反省思维必然的是原本直观世界的摹写、复制;虽然是一种十分别致的,所用材料也完全不同的摹写。因此,把概念叫做79“表象之表象”,那倒是很恰当的。在这儿,根据律也有一个特殊的形态。根据律是在哪一个形态中支配着一个类别的表象,那么,只要该类别是表象,这一形态必然也构成并且无余地赅括着该类别的全部本质;譬如我们已看到过,时间始终只是“继起”,更无其他;空间始终是部位,更无其他;物质始终是因果性,更无其他。与此相同,概念或抽象表象这个类别的全部本质也只在一种关系中,只在根据律在概念中所表出的那关系中。而因为这就是对于认识根据的关系,所以抽象表象也只在它和是它的认识根据的另一表象的那关系中有着它全部的本质。这另一表象,虽在开始又可是一概念或抽象表象,甚至于后面这概念又只能有一个同样抽象的认识根据;但这不能继续下去推之于无穷,这一认识根据的系列必须以一个在直观认识中有根据的概念来结束,因为反省思维所有的整个世界都要基于那作为其认识根据的直观世界。由此,抽象表象这一类别就有别于其他类别,即是说:在其他类别[的表象],根据律总是只要求一个[这表象]和同类的另一表象之间的关系;而在抽象表象,[到了] 最后却要求一个[这表象] 和不同类的一表象之间的关系。

    人们常把上述那些概念,不是直接,而是间接通过一个甚至几个其他概念才和直观认识有关的一些概念优先叫做“共相”;与此相反,又把那些直接在直观世界中有其根据的概念叫做“殊相”。后面这一称呼同它所指的概念并不完全相当,因为这些概念总还是抽象的共相而决不就是些直观表象。这两种称呼本不过是在要说明两者的区别时,在模糊的意识中产生的;既然这里已另有解释,依旧沿用也未尝不可。第一类,也就是特殊意味的“共相”的例子,有“关系”,“美德”,“探讨”,“肇始”等等概念。后面一类,也80就是名实不大相符的“殊相”,则有这些概念:“人”,“石头”,“马”等等。如果不嫌这样一个比喻太形象化,从而有些荒诞可笑的话,人们就可很恰当的说,后面这一类概念是反省思维这个建筑物的地面层,而第一类概念则是其上各层的楼房。

    一个概念所赅括的很多,即是说很多直观的表象,甚至还有些也是抽象的表象,都和它有着认识根据的关系,也即是都要通过它而被思维。这一点却并不如人们一般所说,一定是概念的基本属性,实际上只是一种派生的、次要的属性;在可能性上尽管是必然有的属性,在实际上则并不是常有的属性。这一属性是由于概念是表象的表象,即是由于概念的全部本质只在于它和另一表象的关系中而产生的。可是概念并不就是这另一表象自身;这另一表象甚至经常是属于不同类别的,是直观表象,因而可以有时间的,空间的以及其他的规定,并且根本还可以有更多的,在概念中不连同被思维的关系。就是由于这一原因,所以一些表象虽有着非本质的区别,都能由同一概念而被思维,即是说都可包括在这一概念之中。不过这种“以一赅万”[的本领] 并不是概念的基本属性,而只是它偶然的属性。所以就可以有些概念,只能用以想到一个单一的实在客体,但仍然是抽象的、一般的表象,全不因此就算是个别的、直观的表象。举例说,某人仅仅是从地理书本上知道了一个特定的城市,他从这一城市得来的概念就是这里讲的那种概念。这里被思维到的虽然只是这一个城市,不过总还可能有些局部不同的城市全都适用这一概念。所以,不是由于一个概念是从一些客体抽象来的,它才有一般性;而是相反。是因为一般性,又叫做“个别的非规定”,是概念作为理性的抽象表象在本质上所有的[东西],不同的事物才能用同一个概念来思维。

    由上所说,又发生这样一个情况:由于概念是抽象表象而不是直观表象,从而也就不是十分确定的表象,于是每一概念便进而有人们叫做意义范围或含义圈的东西;并且即令是在这概念只适应于唯一的一个实在客体的场合,也是如此。这样,我们就发现每一概念的含义圈和其他概念的含义圈总有些共同的地方,即是说在此一概念中被思维的某部分,同时也就是在彼一概念中被思维的部分;反之亦然,在彼一概念中所思维的某部分便是此一概念中所思维的部分;虽然同时,它们又是真正不同的概念,每一概念,或至少是两者中的一个概念又含有另外那一概念所没有的东西。每一主语和其谓语就是在这样的关系之中的,而认识这一关系就叫做“判断”。用空间的图形来说明那些含义圈是一个极有意义的想法。普陆克是有这个想法的第一人,他用的是正四方形:兰柏尔特虽在他后,却还在用一根叠一根上下相间的直线条;倭以勒最后才用圆圈,这一办法才圆满的解决了。不过概念的相互关系是基于什么而同其空间图形有这种准确的类似性,我可说不上来。自此以后,一切概念的相互关系,甚至单从其可能性出发,也即是先验地,都能用这样的图形作形象的说明;对于逻辑这是一个有利的情况。图解的方式如下:

    1)两概念的含义圈完全相同,例如必然性这概念和从已知根据推论后果这概念,反刍动物和偶蹄动物两概念,又如脊椎动物和红血动物(由于某些节肢动物[也有红血],这一点有可皆议之处):这都是些交替概念,用一个圆圈来说明,既意味着这一概念,又意味着那一概念。

    2)一个概念的含义圈完全包括82另一概念的含义圈在其内。

    3)一个含义圈包括两个或两个以上的含义圈,而这些包括在内的含义圈既不互相包含又共同充满包括着它们的大圈。

    4)两圈互相包含另一圈的一部分。

    5)两圈同位于一第三圈中,但并不充满第三圈。

    最后这一情况是指所有那些概念,其含义圈[在相互之间] 并无直接共同之处,但总有一个第三概念,往往广泛得多的概念,包含着两者。

    概念的一切联系都可归结到这些情况,而关于判断的全部教程,判断的转换、对称、交互相关、交互相斥(这一点按第三图),又可从此引伸而得。同样,还可由此引伸出判断的属性,这就是康德号称悟性的范畴之所本的;不过假言判断这一形式已不仅是概念的联系,而是判断的联系,应作例外。然而样态也是例外的,关于这一点以及范畴所本的判断的每一属性,都在本书附录中有详尽的交代。关于上列[各种] 可能的概念联系,只有一点还须指出,即是各种联系又可各式各样的互为联系,例如第四图与第二图的联系。只在一个含义圈或整个或部分的包括着另一含义圈,同时自身又为第三个含义圈所包括时,这一些含义圈合起来才表出第一图里的推论法;也就是表出判断的这样一种联系,即由此联系便可认识到一个概念既整个的或部分的被包含于另一概念中,又同样被包含于一个第三概念之中,而这第三概念又包含着原来的那一概念。这还可以表出这一推论的反面,表出否定;而用图形表示这否定,当然就只能是两个联系着的含义圈都不在第三个内。如果许多含义圈以这种方式依次包含,则产生较长的一连串推论。这种概念的图解方式,已在一些教科书中推行,颇有成效,可以作为说明判断以及全部三段论法的基础,以此来讲述这两个方面就很容易而简单了。这是因为这两方面的一切规则都可由此按其来源得到理解,得到引伸和说明。但是拿这些东西给记忆力增加包袱是不必要的,因为逻辑从来不能对实际生活有什么用处,而只是在哲学上有理论的兴趣罢了。原来我们虽可说逻辑之于合理的思维,就等于通奏低音之于音乐;如果再放宽些尺度,也可说如伦理学之于美德,或美学之于艺术;但这里应注意从来没有人是因为研究了美学而成为艺术家的,没有人是因为研究了伦理学而获得高尚品质的:应注意早在拉摩之前,就已有了正确谐和的作曲,无须着意于通奏低音,也能觉察非谐音。同样,人们并无须懂得逻辑,也能不为错误的推论所蒙蔽。不过,话又得说回来,应该承认通奏低音对于音乐的鉴别虽没有什么用处,对于作曲的实践却有很大的用处;如果把程度降低些说,甚至美学、伦理学,虽主要的是在消极方面,也能分别对[艺术、道德的]实践有若干好处;所以不应完全剥夺这些理论在实践上的价值。至于逻辑,则连这一点[实践上的价值] 也无可矜夸了。逻辑是在抽象中的知识,是对于人人在具体中所已知的又于抽象中知之。因此,人们少有用逻辑来否定一个错误推论的,同样也少有借助于逻辑规则来作出一个正确推论的。即令是最渊博的逻辑学家本人,当他在进行真正的思维时,他也完全把逻辑丢在一边了。这一点可从下文得到说明。原来每一种科学都是由关于某一类对象的普遍的,从而也是抽象的一套真理、规律、规则系统所组成的。于是,往后对于这些对象中出现的个别情况,每次都要按那一次妥当,便次次妥当的普遍知识加以规定,因为这样应用普遍原则比从头来检查每次出现的个别情况要容易得不知若干倍。并且这一旦已获得的普遍的、抽象的知识又经常要比经验上个别的探讨更为近便,在逻辑则恰相反。逻辑是以规则的形式表出有关理性的工作方式的知识,是由于对理性作自我观察,抽去一切事物的内容而获得的普遍知识。这种工作方式在理性[自身二原是必然的、本质的,如果任其自然,理性遵守这些方式决不会有什么偏差。所以在每一特殊情况中,让理性按其自有的本质做去,比使它就范于一种知识,一种在工作进行中才抽绎得的,以一个陌生的外来的法则为形态的知识,既要容易些,也要妥当一些。其所以容易些,那是因为在其他一切科学中,普遍规则对于我们要比单独地,就事论事来研究个别情况近便些、熟悉些;但是在使用理性时则相反,理性在当前情况中必然[要采取]的工作方式,对于我们反而总是比从这一工作方式抽象而得的普遍规则更为近便些、熟悉些;因为在我们自己里面思维着的[东西]就正是这理性自身。其所以妥当些,那是因为在这种抽象的知识或其应用中产生谬误要比“理性”的行事发生有违其本质、本性的情况要容易得多。因此就出现了一种特有的情形:在其他科学中、人们是拿普遍规则来检验个别情况的真实性的,在逻辑中则相反,规则反而是要放到个别情况下来检验的。即令是一个最熟练的逻辑学家,当他发现他在个别情况下作出的结论和规则所说的有出入时,他总是宁可先在规则上,然后在他实际作出的结论中去找差错。要从逻辑学得到实际的用途就等于说要把我们在个别事物中直接以最大妥当性意识了的东西,又以说不尽的辛勤再从普遍规则中去引伸;正好比人们自己的一举手、一顿足也要求教于力学,而自己的消化作用也要求教于生理学一样。谁要是为了实践的目的而学习逻辑,就等于训练一只海狸去筑他的巢穴似的。尽管逻辑没86有实际用处卜却并不因此就能说没有保留它的必要了,因为它[本] 是有关理性的组织、活动的特种知识而有哲学上的意义。逻辑作为一种自足的,自为存在的,圆满的,完整的,完全可靠的一门学科,有理由单独地,无所依傍地,科学地去加以研求,有理由要在各大学讲授它。不过,只在整个哲学的关联中,在考察认识并且是在考察理性的或抽象的认识时,逻辑才获得它特有的价值。因此,讲授逻辑就不应有一种太着意于实用的科学那么一个形式,不应只包括一些赤裸裸地确定在那儿的规则以校正判断、推论等等的错误,而更应着意于认识理性的,概念的本质,详细考察认识的根据律;因为逻辑不过就是这一根据律的译意而已;并且实际上也只限于这样一种情形,就是说赋予判断以真理的那根据不得是经验的或形而上的,而只能是逻辑的或超逻辑的。和认识的根据律同时,还要提出与之密切接近的,思维的其他三个基本法则或超逻辑的真理判断;而理性的全部技能即是由此逐步长成的。真正的思想的本质,就是说判断和推理的本质,是从概念含义圈的联结、按空间图表格式以前面示意过的方式来表出的;然后由此又通过意象的构造来引伸“判断”和“推论”的一切规则。人们得以从逻辑找到的唯一实际用途,是人们在辩论的时候,与其指出对方的实际错误,毋宁使用逻辑术语来点破对方蓄意蒙骗的结论。既已这样在实践意义方面压低了逻辑的地位,同时又这样着重提出逻辑和整个哲学的关联,把它作为哲学里的一章看,那么,有关逻辑的知识将来就不应该比现在还要罕有,因为在今天,任何人如果不想在主要的方面停留于浅陋状态之中,不想把自己列于无知的,陷于矇眬状态的群众中,就必须先学过思辨的哲学。这又是因为这个十九世纪是一个哲学的世纪;但这却不是说这个世纪已有了哲学,或者说哲学已占有统治的地位了;而是说就接受哲学而论,这个世纪是已经成熟了,因此[也] 迫切的需要哲学。这是教养高度发展的标志,甚至是历代文化上升的阶梯上牢固的一级。

    虽说逻辑没有多大的实际用途,却难以否认它是为了实际的目的而创立的。对于逻辑[这门科学]的起源我是这样解释的:当厄利亚学派的,麦咖利学派的,诡辩派的好辩风气一直在发展着,逐渐成为一种嗜好的时候,几乎每次争辩都要陷入混乱;这就使他们感到必须有一种指导辩论的规程,为此,就只有寻求一种科学的论证方法。首先要指出的就是争论双方在辩论之中,必须在论点所涉及的某一命题上互相一致。辩论程序的第一步便是正式宣布这些双方共同承认的命题而置之于研讨的开端。其初,这些命题还只涉及研讨的材料方面,随后人们又发觉在如何还原到这一共同承认的真理,如何由之引伸自己的主张的方式方法上,也是服从着某些公式和法则的。关于这一点,虽然没有事先的说合,他们都无异议;由此可见这些公式、法则必然就是理性本有的,在理性自己本质中的程序,必然就是研讨的形式方面。这虽然并未遭遇到怀疑和异议,却有酷好系统成痹的头脑会想到这么个念头,他想:如果一切辩论的这些形式方面,理性88自身这些不变的法则性程序,也和研讨的材料方面那些共同承认的命题一样,也在抽象的命题中陈述出来,作为辩论自身中不可移易的绳准而置于研讨的开端,于是人们得永远有所依据,有所参证;那就会是一件大大的好事,就会是辩证方法的大功告成。就是这样,凡以往只是一致默认地服从着的东西,或是本能地在那么做着的东西,现在人们要意识地认之为法则并正式把它宣布出来。在这期间,人们逐渐为逻辑的基本命题找到了一些程度不同的恰当称谓,如矛盾律,充分根据律,排中律,有无律;然后是三段论法的一些特殊规则,例如“从纯粹特殊的或纯粹否定的前提不能得出任何结论”,“从后果到根据的推论无效”,等等。人们只能缓慢地、很艰苦地达到这些成就;在亚里士多德以前,一切都很不完备。这种情形,部分地可从柏拉图的某些对话中看得出来,在那儿,揭露逻辑真理的方式还是笨拙的、不着边际的。从塞克司都斯、恩披瑞古斯关于麦咖利学派争论的报道中还可更好地看得出来,他们不但是只为一些最简单的逻辑规律而争论,并且用以表示这些规律的方式也是那么捉襟见肘(塞·恩披瑞古斯:《反对数学字论》第八卷第122页及随后几页)。亚里士多德收集了,整理了,订正了当时已有的成就,而使之具有无比高度的完整性。如果人们这样看希腊文化的进展如何引起了亚里士多德的研究,如何为他作了准备;人们就会不愿相信波斯作家的说法。说什么迹利斯吞在印度人那里发现了完整的逻辑,就把它寄回给他舅父亚里士多德了。琼斯是很偏爱这种说法的,这说法也是他传达给我们的(《亚洲研究》第四卷第163页)。至于在可悲的中世纪,经院学派中好辩成癣的人们,并无任何实际知识,只在公式章句中消磨精神;所以他们那么极度欢迎亚里士多德的逻辑,甚至热中于那些译成阿拉伯文的残简断篇,并且随即奉之为一切知识的中心;那是容易理解的。自此以后,逻辑的威望固然降低了,但是作为一门自足的、实际的、极其必要的科学,仍有它的信誉,它也一直被保全到现在,并且,在我们这时代,康德既已从逻辑取得他那哲学的奠基石,他的哲学也重新为逻辑掀起了新的兴趣。如果从这方面看,也就是从作为认识理性的本质的手段看,对于逻辑有这样的兴趣倒也是应该的。

    严格正确的结论是由于正确地观察概念含义圈的相互关系而获致的,只在一个含义圈包括在另一个含义圈内,而这另一圈又包括在第三圈内时,然后才能承认第一圈是包括在第三圈内的。与此相反,有一种游说术则是基于仅仅只从表面看概念含义圈的各种关系,随即按自己的意图作出片面的规定[这样一种手法的] ;主要是这样:如果考察中的概念的含义圈只是一部分包括在另一圈中,又有一部分却包括在完全不同的另一圈中,说话的人就按自己的意图把这概念说成是全在这一圈,或全在那一圈内。举例说,在谈到“激情”的时候,人们可以任意将它概括于“最大力”,“世界最强大的动因”这些概念之下,也可以把它概括于“非理性”的概念之下,而这又可概括为“无力”,“软弱”这些概念之下。人们可以继续使用这个办法,在谈到任何一概念时,都可如法炮制从头做起。[譬如说,]一个概念的含义圈几乎经常有几个别的含义圈同在其中,这些含义圈的每一个都在其范围内含有那第一圈的一部分,同时又各自还包括着其他的东西在内;[这时,]人们就只单就其中的一个含义圈作出说明,用以概括那第一概念,而其余的则一概置之不顾或加以隐蔽。一切游说术,一切伶俐的诡辩就都依靠这一手法;因为逻辑上的那些手法,如拟似谎骗法,蒙蔽失真法,嘲弄蛊惑法等在实际应用上显然都大笨[不适用]了。我不知道直到现在为止是不是已有人把一切诡辩和游说的本质归结到这些东西所以可90能的最后根据,或已在概念特有的本质中,亦即在理性的认识方式中证实了这种根据;因此,我的陈述既已到了这里,尽管这一点并不难理解,我仍想在一张附表中用图解来说明一下。这图解是要指出概念的含义圈是如何错综复杂地相互连环的,因而留有余地可以从每一概念任意过渡到这个或那个含义圈。我只希望人们不要由于附表而发生错觉,对这个小小的,附带的说明予以过分的,超出这事情本性上所能有的重要性。作为一个说明的例子,我选择了“旅行”这一概念。这个概念的含义圈部分地分别套人其他四个含义圈的范围内,游说者可任意过渡到其中的一个。这其他四个又部分地套入其他的含义圈,也有套入两个或几个的,于此游说者又可以任意选择其途径,并且总是把它作为唯一的途径看待。最后,看他的意图何在,便可以达到“有利”(善),也可以达到“有害”(恶)。不过在人们逐圈前进时,必须只遵循从中心(已知的主要概念)到边缘的方向,不得反其道而行。这种诡辩在形式上可以是连续的谈话,也可以采取严格的推论形式,那就要看听话的人对哪一种形式有所偏爱而随机应变了。基本上大多数的科学论证,尤其是哲学的论证也同这种做法差不多;否则各时代中就不可能有那么多的东西,不但是搞错了的,(因为谬误本身另有来源)还有说明了,证明了往后又被认为是根本错误了的,例如莱布尼兹—邬尔佛的哲学,托雷密的天文学,斯达尔的化学,牛顿的色彩学说等等等等。

    由于这一切一切,如何获致确实性,如何为判断找根据,知识和科学以什么组成这些问题就更迫在眉睫了。而科学同语言和熟虑后的行为鼎足而三,是继后二者之后我们誉之为[人类] 由理性得来的第三大优势。

    理性的本性是女性的,它只能在有所取之后,才能有所与。仅就它自身说,除了它用以施展的空洞形式外,它是什么也没有的。十足纯粹的理性认识,除了我称为超逻辑的真理那四个定律:同一律,矛盾律,排中律,充分的认识根据律之外,再没有别的了。逻辑自身的其余部分就已不是十足纯粹的理性认识,因为这些部分都要先假定概念含义圈的关系和组合,而概念根本就是只在先已有了的直观表象之后才有的,并同这表象的关系构成它全部的本质,从而概念已是先假定了这表象的。不过由于这假定并不涉及概念的固定内容,而只泛泛地涉及概念的实际存在,那么,整个说来,逻辑仍可算作纯粹的理性科学。在其他一切科学中,理性就接受了来自直观表象的内容:在数学中这内容来自先于经验、直观地意识着的空间关系和时间关系;在纯粹的自然科学中,即是在我们对于自然过程先于一切经验的知识中,科学的内容来自纯粹的悟性,即来自因果律及该律和时间、空间的纯粹直观相结合的先验认识。在此以外的一切科学中,所有不是从上述来源获得一切[内容〕的科学,一概来自经验。“知”根本就是:在人的心智的权力下有着可以任意复制的某些判断,而这些判断在它们自身以外的别的事物中有其充分的认识根据;即是说这些判断是真的。所以只有抽象的认识才是“知”,它是以理性为条件的。动物虽然也有直观的认识,并且它们做梦这一事实还证明它们有对于直观认识的记忆;既有记忆,当然也有想象。但是严格点讲,我们就不能说动物也有所知。我们说动物有意识,那就是说意识作用这个概念,在语源上虽从“知”而来,却同表象作用这概念,不论是哪种表象作用,符合一致。因此,我们说植物虽有生命,却无意识。所以“知”便是抽象的意识,便是把在别的方式下认识了的一切又在理性的概念中固定起来的作用。

    在这种意义下,“知”的真正对称便是“感”,所以我们要在这里插入“感”的说明。指“感”这个词的概念始终只有一个否定意味的内容,即这样一个内容:那出现于意识上的东西不是概念,不是理性的抽象概念。在此以外,不管它是些什么,就都隶属于“感”这概念之下。[感] 这个概念有着广泛无边的含义圈,所以可包括一些极不相同的东西;如果人们还没认识到只有这些东西在这否定的意味上不是抽象概念这一点上是互相一致的,还决不能理解它们何以能类聚在一起呢?因为最不相同的,甚至敌对的因素都并存于这一概念中,相安无事;例如:宗教感,快适感,道德感,分为触着感、痛感、色彩感、声音感、谐音感、不谐音感的各种身体感,仇恨感,憎恶感,自满感,荣誉感,耻辱感,正义感,非正义感,真理感,美感,有力感,软弱感,健康感,友谊感,性爱感等等等等。所有这些“感”之间,除了否定意味的共同性,即全都不是抽象的理性认识这一点外,根本没有任何共同性。这还不算,最为触目的是人们把空间关系先验的直观认识,甚至把纯粹悟性所有的先验直观认识也置于这一概念之下;或是说每一认识,每一直观,只要仅仅是直观地意识到的,还没有在概念中沉淀的,都是人们感到的。这里为了说明起见,我想从新出的著作中举几个例子,因为这些例子对于我的解释是非常巧合的一些证明。我记得在欧几里得德译本的导论中读过这样的话,意思是说人们应让初学者在讲课之前,先绘制几何图形,以便在未从讲课获得完整的认识之前,先就感到几何学的真理。同样,在席莱尔马哈所著《伦理学批判》中也谈到逻辑感和数学感(第339页),还谈到两个公式间的相同感或不同感(第342页)。此外,在滕勒曼著《哲学史》第一卷第361页上也这样说:“人们感到那些错误推论是不对的,但又找不到错误何在。”[总之,] 人们一天不从正确的观点考察“感”这个概念,不认识那唯一构成其本质的否定意味的标志,那么,这概念,由于其含义圈过于广泛,由于它只有否定的意味,完全片面规定的,贫乏的内容,就会不断引起误会和争论。在德语中我们还有意义颇为相近的感觉(die fmpflndung)这个词,[也足以引起混淆,] 所以指定这个词专用于身体感,作为“感”的一个低级类别,那或者更要适当些。“感”这概念,既和其他一切概念不成比例,无疑的有着下述这样一个来源:一切概念——凡是词所指及的也只是概念——都只是对理性而有,都是从理性出发的;所以,人们以概念说话就已经是站在一个片面的立场上了。可是从这样一个立场出发,近于我的就显得清楚明白,还要被确定为肯定的方面;远于我的就含混不清了,并且随即也就只计及它的否定意味了;所以每一民族都称其他一切民族为外国人;希腊人称其他一切民族为夷狄,凡不是英国或非英国的,英国人都称为“大陆”和“大陆的”,基督教徒称所有其他的人为异教徒或多神教徒;贵族称一切其他的人为“小民”;大学生称一切其他的人为市侩,如此等等。这种片面性,人们也可说是由于骄傲产生的固陋无知,听起来尽管有些特别,竞要归咎于理性自己;因为理性用“感”这一个概念来包括任何样式的意识内容,只要这内容不是直接属于它自己的表象方式的,即是说只要不是抽象的概念[就都包括在内]。理性为了这种作法,由于它没有通过彻底的自我认识而弄清楚自己的工作方式,直到现在,还不得不看到自己领域内发生的误解和混乱而自食其果;不是现在竟还有人提出了一种特别的“感”的能力,并且还在为之构造理论吗?

    上面我已说明感这概念和知[这概念]正是反面的对称,而知呢,已如上述,就是抽象的认识,亦即理性认识。但是理性不过是把从别的方面接受来的东西又提到认识之前,所以它并不是真正扩大了我们的认识,只是赋予这认识另外一个形式罢了。这也就是说,理性把直观地,在具体中被认识的再加以抽象的、普遍的认识。可以这样说,这一点比不经意地初看时重要得多,因为[意识上]一切可靠的保存,一切传达的可能性,以及一切妥当的,无远弗届地应用认识于实践,都有赖于这认识是一种知,有赖于它已成为抽象的认识。直观的认识总只能对个别情况有用,只及于,也终于眼前最近的事物,因为感性和理智在任何一时刻,本来就只能掌握一个客体。所以每一持续的、组合的、计划的行动必须从原则出发,也就是从抽象的知出发,循之进行。例如悟性认识因果关系就比在抽象中思维所得的要更完整、更深入、更详尽,唯有悟性能通过直观既直接又完全地认识一个杠杆,一组滑车,一个齿轮,一个拱顶的安稳等,有些什么样作用。但是,正如刚才谈到的,由于直观认识的属性只能及于当前所有的东西,所以单是悟性就不足以构造机器和建筑物;这里还需要理性插足进来,以抽象的概念代替直观作行动的绳准。如果这些抽象概念是正确的,预期的后果也必然出现。同样,我们在直观中也能完全地认识抛物线,双曲线,螺旋线的本质和规律性;但是要应用这种认识于实际,那就必须这种认识先成为抽象的知。在这一转变中,损失了的是直观的形象性,而赢得的却是抽象的知的妥当性和精确性。所以一切微分计算法并没有扩大我们对曲线的知识,并没有比单纯直观所包括的有所增益;但是认识的种类变更了,直观的认识变为抽象的认识了。这一转变对于认识的应用有着最大限的功效。不过这里还要说到我们认识能力的另一特性。在没有弄清直观认识和抽象认识之间的区别以前,人们也不能注意到这种特性。这就是空间上的那些关系不能就是空间关系而直接转入抽象认识。要转入抽象认识,唯有时间上的量,亦即数,才是适合的。唯有数才能够在与之准确相符的抽象概念中被表示出来,而不是空间上的量。千这概念之不同于十这概念,有如这两种时间上的量在直观中的不同一样;我们把千想成一定倍数的十,这样就可以在时间上替直观任意分解千为若干的十,这就是可以数了。但是在一英里和一英尺两个抽象概念之间,如果没有双方的直观表象,没有数的帮助,那就简直没有准确的,符合于双方不同的量的区别。在这两个概念中,人们根本只想到空间上的量;如果要在两者间加以充分的区别,要么就是借助于空间的直观,也就是离开了抽象认识的领域;要么就是在数中来想这个区别。所以,人们如果要从空间关系获得抽象认识,空间关系就得先转为时间关系,即是先转为数。因此,只有算术,而不是几何,才是普遍的量的学说。几何如果要有传达的可能性,准确的规定性和应用于实际的可能性,就得先翻译成算术。固然,一种空间关系也可以就是空间关系而被抽象地思维,例如下弦随角度的增大而增大;但是要指出这种关系的量,就必须用数来表示。在人们对空间关系要求一个抽象认识(即是知而不是单纯的直观)的时候,把三进向的空间翻译为一进向的时间,就有必要了。使得数学这么困难的,也就是这个必要性。这是很好理解的,我们只要把一条曲线的直观和这曲线的解析的算式比较一下,或者是把三角上应用的对数表和这表所示三角形各个部分间变更着的关系比较一下;这里在直观中只要一瞥就可完全而最准确地理解,譬如余弦如何随正弦之增而减,譬如此一角的余弦即彼一角的正弦,譬如该两角互为此增彼减,此减彼增的相反关系等等。可是为了把这些直观认识到的东西,抽象地表达出来,那就需要庞大的数字网,需要艰难的计算。人们可以说,一进向的时间为了复制三进向的空间,如何得不自苦啊!但是为了应用的需要,要把空间关系沉淀为抽象概念,这一切就都是必要的了。空间关系不能直接转入抽象概念,而只能通过纯时间上的量,通过数的媒介,因为只有数直接契合于抽象的认识。还有值得注意的是空间以其三进向而适宜于直观,即令是复杂的关系也可一览无余,这又是抽象认识做不到的。与此相反,时间虽容易进入抽象概念,但是能够给予直观的却很少。在数的特有因素中,在单纯的时间中,不牵入空间,我们对数的直观几乎到不了十;十以上我们就只能有抽97象的概念,不再是数的直观认识了。在另一方面,我们却能用数字和所有的代数符号把准确规定的抽象概念连结起来。

    这里附带的还要指出有些人们的心灵,只在直观认识到的[事物中] 才有完全的满足。把存在在空间上的根据和后果形象地表达出来,那就是这些人所寻求的。欧几里得的证明,或是空间问题的算术解答都不能吸引他们。另外一些人们的心灵却又要求在应用和传达上唯一可用的抽象概念。他们对于抽象定理,公式,冗长的推论系列中的证明,对于计算,都很有耐性,很有记忆力,而计算所使用的符号则代表着最复杂的抽象[事物]。一种人寻求准确性,一种人寻求形象性。这个区别是[人的]特性不同的表示。

    知或抽象认识的最大价值在于它有传达的可能性和固定起来被保存的可能性。因此,它在实际上才是如此不可估计的重要。任何人固然能够在单纯的悟性中,当下直观地认识到自然物体变化和运动的因果关系,可因此而十分得意;但是为了传达于别人,那就要先把直观认识固定为概念才能合用。如果一个人只是独自进行一种活动,尤其是在这活动的实施中直观认识还鲜明的时候,在实践上直观认识本来也就够用了;可是如果他需要别人的帮助,或者虽是自己本人来干,却要间歇一个时候才能进行,因而需要一个计划的时候,那就不够用了。譬如一个精于台球的人,对于弹性物体相撞击的规律,他拥有纯悟性上的完整知识;这虽仅是对于当前的直观认识,但是对于他的球艺已是绰有余裕了。与此不同的是,唯有一个有学问的力学家才能对于这些规律真正有所知,也就是说只有他才有抽象的认识。甚至于象制造一部机器,如果这位发明人是独自工作的,单纯直观的悟性认识也足够应用98了;这是我们在天才卓越而无任何科学知识的手艺工人那里经常看到的。与此相反,如果是要完成一个力学上的工程、一部机器、一座建筑物而需要一些人,需要这一些人协同的,在不同时间上进行的活动,那么,这一活动的领导人就必须先在抽象中拟好一个计划,只有借助于理性才可能有这样的协同活动。既值得注意,又有些特别的,是在前面那种活动中,也就是独自一人想要在不间断的活动中完成什么的时候,知,理性的应用,思索,反而可能常是一种障碍;例如在台球游戏中,在击剑中,在管弦调音中,在歌唱中,就是这样。在这些场合,必须是直观认识直接指导活动;如果搀入思索,反会使这些活动不恰当,因为思索反而会使人分心而迷乱。所以野蛮人和老粗正因为他们没有什么思维的习惯,反而能够既稳且快的完成一些体力活动,譬如同兽类搏斗啦,射箭命中啦;凡此都是惯于思索的欧洲人望尘莫及的。譬如[射箭],这个欧洲人,不论是在空间上或时间上,他就要度量上下、左右、先后等等,然后在这一些两极之间找得等距的中点,[这何能如]一个自然人全不能在距离上思索,就能直接中的呢?同样,尽管我能够在抽象中指出应以几度几分的角度来使用剃刀,但是我如果不能直觉地知道,也就是在指头上没有敏感,抽象的知仍然于我毫无裨益。同样,在相术上应用理性,对于人相的理解也会起干扰作用。这种理解也必须通过悟性,因为人相所表示的,面部的线条起伏等都只能让人感到;人们说这就是不能进入抽象概念的东西。任何人都有他自己直接的直观的[一套]相术和病理症候学,不过对于这些事物的标志,有些人又比别人认识得更清楚些罢了。但是要在抽象中写出一套可以教学的相术,那也是不可能的;因为人相上的差别和变化太微妙了,概念于此无能为力。[用一个比喻说,]抽象的知对于这些几微的差别关系。就如彩色碎片镶嵌的画对维佛特或滕勒的画一样。概念好比镶嵌的手艺一样,不管是如何细致,但是嵌合的碎片间总不能没有界线,所以不可能从一个颜色,毫无痕迹地过渡到另一颜色。概念正是如此,由于它的硬性规定,由于精确地互为界划,尽管人们用如何更细致的规定,把一个概念分而又分,还是永远不能达到直观中的那种细腻分限;而这里作为例子的相术恰好有赖于这种细腻的分限。

    就是概念的这一本性使概念近似于镶嵌画中的碎片,由于这一本性,直观永远是概念可近不可即的极限。这也是何以在艺术中不能用概念获得良好成绩的理由。如果一位歌唱家或音乐家用反复思索来指导他的演出,那就会是死症。这种情况在作曲家、画家、乃至诗人,也是一样的真实。概念用于艺术总是无结果的。概念只能指导艺术中的技术部分,那是属于学术领域的。我们将在第三篇中进一步探讨何以一切真正的艺术只能从直观认识出发,而决不能从概念出发。甚至在人的举止方面,在社交中的美好风度上,概念也只有消极的用处,只能防止粗暴的自私自利心和兽性的发作;因此,彬彬有礼就是概念的产物,值得赞美。但是风度翩翩、雍容华贵、令人倾慕的举止:情意缠绵、友谊洋溢的格调就不可能出自概念了,否则“人们感到了[你的] 意图,人们灰心丧气了。”一切伪装的假情假意都是思索的产物,但是不能继续持久而不露破绽。“没有人能够持续不断地伪装”,这是辛乃加在《仁慈论》那本书中说的,伪装多半是要被看穿而失效的。在生活的紧急关头,需要当机立断,敢作敢为,需要迅速和坚定地对付事故时,虽然理性也是必要的,但是如果理论占了上风,那反而要以心情迷乱妨碍直党的、直接的、纯悟性的洞见和正确地掌握对策,从而引起忧柔寡断,那就会很容易把全局弄糟。

    最后还有美德的神圣性也不是出自思索的,而是出于意志的内在深处和这深处与认识的关系。说明这一点原应该在本书别的地方着手,这里我只指出这么一点,那就是有关伦理的信条在整个、整个民族的理性中可以相同,可是每人的行为却各有不同:相反亦然[行为相同,有关伦理的信条又各有别]:人们常说,行为是以感为依据的,即是说不以概念,也就是不以伦理的含蕴为依据的。教条只使有闲的理性为它忙碌,行为到了最后还是立于教条之外有它自己的走法;并且多半不是按抽象的而是按没有说出来的规范行事的,而这些规范的表现就是整个的人自己。因此,尽管各个民族的宗教教条各不相同,然而在一切民族,若有善行则有难以形容的快慰,若有恶行则有无限的痛恶与之俱来。冷嘲热讽不能动摇前者,神父的赦免不能解脱后者。话虽如此,但我们也不能因此就否认美德懿行的实现仍有应用理性的必要,不过理性不是德行的源泉罢了。理性的功能是次一级的,就是帮助人固执已有的决心,经常把规范置于人们的座右,以抗拒一时的意志薄弱,以贯彻行为的始终。最后,理性在艺术上也有同样的功能:在主要的方面,理性固然无能为力,但可以支持艺术工作的进展;因为[人的] 天才是不能随时随刻招之即来的,而一件作品却要一部分一部分的去完成才能圆满地结束整个的工程。

    上面这些考察既已指出理性的应用有好处,也有坏处,也应有助于说明抽象的知虽是直观表象的反照,虽以直观表象为根基,却并不与之完全吻合,不是在任何地方都可取而代之的。更应该说抽象的知决不与直观表象完全相符;因此,如我们已看到的,人类虽有好多地方只有借助于理性和方法上的深思熟虑才能完成,但也有好些事情,不应用理性反而可以完成得更好些,正是直观的和抽象的认识不相吻合,所以后者之近似于前者亦如镶嵌画之近似于绘画。还有一种很特别的现象,它和理性一样也是人类专有的;直到现在,人们一再企图说明这个现象,而一切说明又都不充分。这就是笑这一现象,它也是以直观的和抽象的认识不吻合为根据的。在这里研究笑,虽然又一次阻碍了我们的前进,不过由于笑的根源与这里有关,我们也不能避而不谈。实在的客体总是在某一方面通过概念来思维的,笑的产生每次都是由于突然发觉这客体和概念两者不相吻合。除此而外,笑再无其他根源;笑自身就正是这不相吻合的表现。不相吻合经常是在这样一些场合出现的:一种情况是两个或两个以上的实在客体用一个概念来思维而把这概念的同一性套在这些客体上,可是这样做了之后,各个客体在别的方面的差异又突出地使人注意到这概念不过仅仅是在某一方面同客体相应而已。又一种情况是单一的实在客体,从一方面说是正确地包含在这一概念之内,却突然[在另一方面] 又感到它和概念不相称。还有这种情形也是同样常有的:一方面是这样总括实物于一概念愈是正确,另一方面实物不符于概念的广泛程度愈是突出,那么,从这一对照产生的发笑效果也就愈强烈。所以任何笑的发生,每次都是由于一种似是而非的,从而也是意料之外的概括作用所促成的,而不管这是由语言文字或是由举止动作表示出来的。这就是事情何以可笑的简略说明。

    这里我就不举笑林中的故事作说明的例子来耽搁时间了,因为这事简单易明,无须举这些例子。每个读者回忆到的可笑事件都同样适宜于证实这一点。不过由于笑料发展为两个种类,我们的理论既可得到佐证,又可获得阐明。这种类别也出自我们的理论,一种是在认识中已先有两个或几个很不相同的实在客体或直观表象,而人们却故意用一个包含这双方或多方的概念,同这概念的统一性[笼统地]作为这些客体的标志;这种笑料叫做滑稽。一种是反过来,在认识中先有的是概念,然后人们从这概念过渡到现实,到群响现实,到行动;在行动中,这些原来根本不同的客体都被同样看待,同样处理,直到这些根本差异出乎意料之外地暴露出来,使在行动中的人惊奇不置;这种笑料叫做憨傻。据此,任何笑料不是滑稽的一念,就是一个傻里傻气的行动;前者是从诸客体到概念的同一性而显出双方的距离,后者是反其道而行之;前者总是故意的,后者总是无心的,并且是由于外因的促使所致。表面上把这种出发点颠倒过来,把滑稽伪装为憨傻就是宫廷弄臣和舞台小丑的手法。这手法是这么回事:明知各个实体的不同,却用那滑稽的手法把这些客体统一于一个概念之下,从这里出发,往后暴露出客体间的差别时便使他惊愕莫知所措,其实这本是他为自己预先安排好的。如果把最后这种逗乐的方式除外,从这个简略的,然而足够完备的笑之理论可以看出“滑稽”总是要由语言表示,憨傻则多半是由动作表示的,不过在只扬言要做而不真正就做时,或者是这傻气仅仅只在判断和意见中露出时,[“憨傻”] 也可以用语言来表示。

    属于憨傻的还有可笑的迂腐。迂腐之所以产生是由于人们不甚信任自己的悟性,所以不让悟性在个别场合直接去认识什么是对的;因此总是置悟性于理性的监护之下,自己则无时不仰仗理性,即是说经常从普遍概念、从规则规范出发;在生活上,在艺术上,甚至在伦理的嘉言懿行上,他都拘谨地严守这些规则规范。这种专属于迂腐类型的呆板形式,礼法,[固定的]表达方式和言词[等]就是从这里出来的。对于迂腐[这种性格],这些东西就代替了事物的本质。这里显而易见的是概念对实际的不吻合,是概念永不能下达于个别事物,是概念的普遍性和僵硬的规定性永不能精当地符合实际所有的几微之差和多重性相。在生活上,一个迂夫子尽管满腹格言、规范,几乎总是有所短而现为不聪明、索然寡味、没有用处。在艺术上,概念本没有什么生产性,迂夫子也只能生出没有生命的,僵硬的,装扮起来的死婴。甚至在伦理方面,行为如何高尚,如何正义的打算也不能到处按抽象规范行事,因为在许多场合,不同情况间存在着差别微妙这一属性, 使直接来自[整个]人格的择善固执成为必要,而这又是由于在应用单纯的抽象规范时,一部分规范因只能一半适合而产生错误的后果,一部分又同当事人不可忽视的个性格格不入而无法贯彻始终以至半途而废。康德认为行为只是由于纯粹理论性的抽象规范而实现,不带有任何情意的倾向或一时的激动,乃是行为具有道德价值的条件;就这一点说,他也不免有促成道德上的迂腐之嫌。席勒以《良心的犹豫》为题的警句诗就是意在责备贤者。当人们[讽刺地]说“教条主义者”、“理论家”、“学者”等等的时候,尤其是就政治事件说,意思就是指迂夫子,也即是说虽在抽象中,却不能在具体中认识事物的人们。抽象之所以为抽象,就在于抽掉了细致的规定,而在实际上、要紧的正是这些东西。

    为了完成这里的理论,还有俏皮话的一个变种要谈一谈,那就是耍字眼,法文叫做“加仑布尔” (calembourg),英文叫做“潘”(pun)。使用双关语(法文叫做l’equivoque),主要的是用猥亵(秽亵)的言词,也可算在这一类。俏皮话是硬把两个极不相同的实在客体压入一个概念,耍字眼却是借偶然的机会把两个概念压入一个词儿。这样也能产生[概念与实体]双方之间的差距,不过更肤浅而已,因为这种差距不是从事物的本质中,而是从偶然的命名中产生的。同一性在概念,而差别性在实物,这就是俏皮话,耍字眼却是差别性在概念,而同一性在实物,因为那字眼就是实物。“耍字眼”和俏皮话的关系有一个近乎勉强的比喻,那就是说这种关系等于上面一个倒锥形的抛物线同下面一个锥形的抛物线的关系。而误解词句或“以此为彼”却是无心的“加仑布尔”,这对于“耍字眼”的关系又和憨傻对俏皮的关系一样。因此重听的人也能和傻子一样提供笑料,低能的喜剧作家就用聋子代替傻子使人发笑。

    这里我只是从心理方面考察了笑,至于在生理方面的研究则可参照作为补充篇的第二卷第六章第九十六节(第一版)134页所论及的部分。

    于是,一方面有理性的认识方式,有知,有概念,一方面存105在纯感性的,数理的直观中的直接认识和悟性的领会;由于上述多方面的考察,[我们]希望这两种认识间的区别和关系都已摆得十分清楚了。关于感和笑我们还有过这两段插曲式的说明,这也是我们在探讨两种认识的特殊关系时不免要触及的。现在我就从这些研究兜转回来再继续谈谈科学,和语言,熟虑的行动鼎立而为人类专有的第三大优势的科学。对科学作一个总的考察是我们这里职责所在,至于要触及的问题则一部分是科学的形式,一部分是其判断的根据,最后还有它内含的实质。

    我们已经看到,除纯逻辑的基础以外,一切[知或]知识的根源根本就不在理性自身;而是从别的方面获得的直观认识沉淀于理性中,由是转进为完全另一种认识方式,抽象的认识方式。这才是知识的根源。一切知识,也即是上升为抽象意识的认识,和科学的关系等于片段和整个的关系。任何人都能由于经验,由于现成事物的观察获得有关某些事物的知识,可是在抽象中对于某一类事物获得完整的认识,[那就不同了,]也只有以此为任务的人是在为科学而努力。唯有通过概念他才能使这类事物分立,所以在每一种科学的开端总是一个概念。由于这一概念,这[分立的] 部分才可脱离一切事物的大全而被思维,从这一概念这门科学才能指望一个在抽象中的完整认识;例如空间关系的概念,无机物体相互作用的概念,动植物性能的概念,地壳连续变化的概念,人类这整个物种变化的概念,语言结构的概念等等。科学为了获得有关其题材的认识,如果采取个别研究一个总概念所包括的事物,以期逐渐认识所有事物的办法,那么,一面是人的记忆力太有限,一面也无法保证这种认识的完整性。因此,科学就利用上述概念含义圈的那种特性,使之互相包括;而主要的是注意原在这门科学总概念中的,较大的那些含义圈。科学在规定这些含义圈的相互关系时,在这些含义圈中被想到的一切也就一般地随之而被规定了。并且还能够通过区分更狭小的含义圈,一步一步作出更精细的规定。由是,一种科学就完全包括了它的对象。获得认识的这一途径,即从普遍到特殊的途径,是科学和普通知识的区别。因此,系统的形式乃是科学的一个本质的、特有的标志。在任何科学中,连结最普遍的概念含义圈,也即是认识其最高的一些原则性的命题是学习一门科学不可回避的条件。至于在这以后更深入到较细微的特殊命题至何程度,则听各人自便;并且深入也不是对彻底认识这门科学有所增益,只是扩大渊博的范围罢了。一切其他的命题都从属于最高级命题。在各门科学中,最高命题的数量是极不一致的,所以在有些科学中,[命题的] 从属关系多一些;在另外一些科学中,或又多有一些平行关系。就这方面说,从属关系要求的判断力要多一些。平行关系则多要求一些记忆力。经院学派已经知道一个结论必需两个前提,所以没有一门科学能够从单一的,无法引伸的最高命题出发,而是需要几个、至少两个命题。真正以分类是务的科学,如动物学、植物学,如果一切无机的相互作用也可还原为少数基本自然力的话,则还有物理和化学;这些都是从属关系最多的科学。与此相反,历史根本没有什么从属关系;因为在历史上,普遍只存于主要历史阶段的概览中,而个别事迹又不能从这些阶段演绎出来,只是在时间上从属于这些阶段,在概念上还是同这些阶段平行的。因此,严格说来,历史虽是一种知识,却不是一门科学。在数学中,按欧几里得的办107法,唯有公理是不得而证明的最高命题,一切可证的[命题] 都严格地分级从属于公理。不过这种办法并不是主要的,事实上,每一定理又发起一种新的空间结构,独立于以前的各定理之外,完全无待于以前各定理使可认识——在空间的直观中由于自身而被认识。在这直观中,任何复杂的空间结构之为直接自明的,正和公理一般无二。这些,下文还有详细的交代。这里要说的是,每一数学公理总还是一个普遍的真理,对于无数的个别事项有效,并且在数学中,由简单命题分级发展至复杂命题,以及后者又可还原到前者的办法还是主要的。因此,在任何方面,数学都是一门科学。科学之所以为科学的完美性,也即是从形式方面来说,是在于尽可能的多有一些命题间的从属关系,尽可能少一些平行关系。因此,一般说来,在科学上有天才,就是有按不同规定使概念含义圈形成从属关系的能力,用以构成科学的,如柏拉图一再声称的,不仅是一个总的普遍概念,不是无尽的多样性直接并列于普遍之下;而是认识经由中介概念,经由各种以逐次加详的规定为准则而作出的区分,逐步从普遍下行到特殊。用康德的话来说,这就叫做平均地满足同质律和“转化律”。不过,正由于这就构成科学真正的完美,也就可以看出科学的目的不在于更高的确实性,因为确实性是任何割裂的单独认识也能有的;而是在于通过知识的形式使知识简易化,在于由此获得知识完整的可能性。因此,说认识的科学性是在于高度的确实性,这种意见虽然流行,却是不对的。由此而产生的一种主张就认为只有数学和逻辑才是真正的科学,说由于这两门科学完全的先验性,所以认识所有一切不可动摇的确实性就只在这两门科学中有之。这种见解也是错误的。逻辑和数学的这种优点是无可争辩的,但是这种优点并不赋108予它独擅“科学性”的特权。“科学性”的要求并不在于确实性,而是在于认识所有的,基于从普遍到特殊逐级下行的系统形式。科学特有的这一认识途径,从普遍到特殊的途径,造成科学中很多东西由先行命题演绎出来的事实,由证明确立起来的事实。这就促成一个古老的谬见,以为只有经过证明的东西才是完全真的,而每一真理都需要一个证明。事实上恰相反,每一证明都需要一个未经证明的真理;这个真理最后又支持这一证明或这个证明的一些证明。因此,一个直接确立的真理比那经由证明而确立的更为可取,正如泉水比用管子接来的水更为可取是一样的。直观是一切真理的源泉,是一切科学的基础;它那纯粹的,先验的部分是数学的基础,它那后验的部分是一切其他科学的基础。(唯一的例外是逻辑。逻辑不是基于直观知识的。而是基于理性对于理性自己的法则的直接认识。)好比太阳在宇宙空间一样,所有的光都是从这里发出来的,在此光照耀之下,其他一切才发出反光来;在科学中占有这种地位的也不是经过证明的判断,不是判断的那些证明,而是那些直接由直观取得的,基于直观而非基于证明的那些判断。直接从直观确立这些原始判断的真理,从浩如烟海的实际事物中建立科学的堡垒,这就是判断力的任务。判断力[的作用]既然存在于正确、准确地把直观认识到的[东西]移置于抽象意识这一能力中,当然它就是悟性和理性间的“中介人”了。只有个人的判断力具有特别突出的,超过一般水平的强度时才真能使科学前进;至于从命题引出命题,作出证明,作出结论,那是每个人都能做的,只要他有健全的理性。与此相反,为了反省思维而把直观认识到的东西沉淀,固定于相适应的概念中,一方面以使诸多实在客体的共同之处得以用一个概念来思维,另一方面,这些客体间有多少差别之点,便用多少概念来思维;于是,客体间虽有局部的相同,其差别仍作差别来识别,来思维,一切都按每次规定的目的和考虑引事,这一切就是判断力所做的事。缺乏判断力叫做头脑简单。头脑简单的人时而看不到在一方面是同的概念又有局部的或相对的异,时而看不到相对的或局部的异又有其同[的一面]。此外,康德区分判断力为反省思维的和概括的两种,这种区分法也可运用于这里的说明,亦即分别适用于从直观客体到概念,或是由后者到前者。在这两种场合,判断力总是中介于悟性的直观认识和理性反省思维的认识之间。不可能有什么绝对只是由推论产生的真理,单从推论来确立真理这一必要性是相对的;是的,甚至是主观的。既然一切证明都是三段式推论,所以对于一个崭新的真理,首先不是就要找证明,而是找直接的依据;只在无法找到直接依据时,才暂时提出证明。没有一种科学是彻头彻尾都可以证明的,好比一座建筑物不可能悬空吊起一样。科学的一切证明必须还原到一个直观的,也就是不能再证明的事物。原来反省思维所有的整个世界都是基于,并且是立根于这直观世界的。一切最后的、也就是原始的依据都是一个直观上自明的依据。这个词儿本身就已透露了此中消息。准此,它要么是一个经验上的依据,要么是基于[人们]对可能的经验的诸条件所有的先验直观:在这两种场合之下,依据所提供的都只是内在的而非超绝的知识。任何一概念只在它和一直观表象的关系中有其价值和实际 把前提内已经现成的东西加以显豁和引出之外,再也不能另有所获。人们不过仅仅是明显外露地表出前提中含蓄内在地已理解了的[东西]罢了。就人们高调称颂的那些科学说,他们的意思特别是指数理科学,也即易指天文学。不过天文学所以有真确性,那是这样来的:它有先验给与的,因而决不会错的空间的直观以为根据,但一切空间关系都是以一种必然性(存在根据)——这必然性先验地提供确实性——而一个从一个求出来的,所以空间关系是可以妥当地相互推论而得的。在这些数理的规定之外,这里仅仅还要加上一种自然力,即引力;而引力是准确地按质量和距离自乘的关系而起作用的。最后还要加上由因果性产生的,从而先验妥当的惯性定律,连同一劳永逸地表现了每一质量的运动的经验数据。这就是天文学的全部材料。这些材料既简明又妥当,导致了确定的结果;而由于对象的庞大和重要,并且是导致了很有趣味的结果。例如我已知道一个行星的质量,也知道它的卫星和它的距离,我就能按克卜勒第二定律准确地推算这卫星环绕一周的时间。可是这个定律是以在一定距离上只有一定的速度才能维系卫星,同时又能使之不下堕人行星里这事实为根据的。所以说只要在这样的几何学基础上,亦即借助于先验的直观,再应用一条自然律就可利用推论得出很好的结果。原来推论在这里实只等于是从一个直观体会到另一个直观体会的桥梁;而单是在逻辑途径上作单纯的推论,那就不是这样。可是天文学上最高基本真理的根源还是归纳法。归纳法是将直观中许多已有的东西总括于一个正确的,直接有根据的判断之中,然后从这个判断构成一些假设,假设又被经验所证实;这样,作为愈益接近于完整的归纳法,就替那个判断找到了证明。例如可见的行星运动是由经验认识的:对于这个运动的空间关系(行星轨道),在作过许多错误的假设之后,最后找到了正确的假设,那就是找到了这些运动所服从的定律(克卜勒定律),最后还找到了这种运动的原因(万有引力)。并且这由经验所认识的[东西],一面是所有已出现的情况,一面是所有那些假设以及由假设引出的论断这双方之间的相互契合,就为这一切假设,也即是为归纳法,带来了完全的确实性。创立假设是判断力的事情,判断力正确地体会了现成的事实并且相应地把它表达出来,而归纳的作用,也就是多次的直观,则证实这些假说。要是我们有一天能够自由穿过宇宙空间,要是我们有望远镜般的眼镜,那么,我们甚至于也能直接,通过经验的一次直观而为这些假设找到根据。因此,即令是在天文学,推论方式也不是这种知识主要的,唯一的来源,事实上推论总只是一个应急的权宜办法。

    最后,为了举出第三个,性质不同的例子,我们还要指出即令是那些所谓形而上学的真理,亦即康德在《自然科学的形而上学初阶》里提出的那种真理,也并不是由于证明而有其依据的。那先验真确的东西是我们直接认识的。作为一切认识的形式,这是我们以最大的必然性意识着的东西。譬如说物质是恒存的,也即是说既不生亦不灭,这就是我们直接知道的消极真理;因为我们对于空间和时间的纯粹直观提供了运动的可能性,悟性又于因果律中提供了形状和物性变易的可能性;但是对于物质的生和灭,我们就没有这样一种可用以想象的形式。因此,这一真理,在任何时代,任何地方,对任何人都是自明的,从来也未曾有人认真地加以怀疑过。如果说这个真理除了康德那艰涩的,在针尖上驰骋的证明之外就别无其他认识根据,那当然是不可能的。并且,我还发觉(如附录中论述的)了康德的证明是错误的。我在前文中也指出过物质的不灭不是从时间在经验的可能性上占有的那一份,而是从空间在经验的可能性上占有的那一份引伸出来的。这就意味着所谓形而上的真理也就是知识的普遍必然形式的抽象表示。这些真理的真正根据不能又在一些抽象命题中,而只能在[人们]对于表象所具的形式的直接意识中,在以断然的、无虑反驳的先验论断表出自己的意识中。如果人们还要为此举出一个证明,那就只能是这样一个证明:人们须指出在任何一个无可怀疑的真理中已包含着待证的东西,或是作为[组成]部分,或是作为前提,譬如我曾指出一切经验的直观就包含着因果律的应用,所以认识因果律是一切经验的条件:从而不能是如休漠所主张的,说因果律是由经验产生的,是以经验为前提的。——其实,与其说证明是为那些要学习的人而设的,毋宁说更是为那些要争论的人而设的。这些人固执地否认那些有直接根据的见解。然而只有真理才是在一切方面都前后一贯的,所以我们要给这些人指出他们在一种形态中间接承认的也就是他们在另一形态中直接否认的,也就是指出他们所否认的和所承认的两者之间的逻辑必然关联。

    此外,科学的形式,也就是特殊统属于普遍之下、以次递进不已的形式,还带来了这样一种后果,即是说许多命题的真实性只有由于依附于其他命题,也就是通过一些同时又作为证明而出现的推论,才有逻辑的根据。但是人们决不可忘记,整个主一形式只是知识简易化的手段,而不是取得更高度的真确性的法门。从一个动物所属的“种”,递进到属、科、纲、目,来识别一个动物的生性,这比个别研究每次遇到的动物要容易些[这是事实]。但是一切由推沦引伸出来的命题,它的真实性最后总是决定于,有赖于某一个不是推论出来的,而是以直观为根据的真理。如果直观经常和推论是同样的近便,那就肯定的宁可采用直观。因为来自概念的一切引伸,由于前文指出的含义圈相互错综交叉和内容上出入无常的规定,都难免不为迷误所乘;各种各样的邪说诡辩就是证明这一点的例子。从形式上说,推论是完全正确的;然而由于它的材料,亦即由于概念,推论就很不可靠了。一面是含义圈的规定不够严格,一面是含义圈又多方交叉,以至一个含义圈的各个部分又可包含在许多其他含义圈内;这样,如前文已阐明了的,人们便可从前者任意过渡到后者的这一个或那一个,然后再如法炮制,继续下去。换句话说,就是小词以及中词都可以随便隶属于不同的概念,人们在这些概念中就任意选择大词和中词,由是结论亦随之而各异其趣。因此,无论在那里,由证明得来的真理远远抵不上直接自明的依据;只有后者远不可及时,才采用前者;而不是在两者同样近便,或后者更为近便时,也采用前者。所以我们在前面已经看到,在逻辑上,每一个别场合,如果直接的知识比演绎而来的科学知识对于我们更为近便的话,我们事实114上总是按自己对于思维法则的直接知识来指导思维而把逻辑放在一边不用。

    我们既已确信直观是一切证据的最高源泉,只有直接或间接以直观为依据才有绝对的真理,并且确信最近的途径也就是最可靠的途径,因为一有概念介于其间,就难免不为迷误所乘;那么,在我们以这种信念来看数学,来看欧几里德作为一门科学来建立的,大体上流传至今的数学时,我说,我们无法回避不认为数学走的路既是奇特的,又是颠倒的。我们要求的是把一个逻辑的根据还原为一个直观的根据,数学则相反,它偏要费尽心机来作难而弃却它专有的,随时近在眼前的,直观的依据,以便代之以逻辑的证据。我们不能不认为这种做法,就好比一个人锯下两腿以便用拐杖走路一样,又好比是《善感的胜利》一书中的太子从真实的自然美景中逃了出来,以便欣赏摹仿这处风景的舞台布景。这里我不能不回忆到我在《根据律》第六章中所已说过的,并且假定读者对此也是记忆犹新,宛在目前的。这样,我这里的陈述就可以和那里说的挂上钩,而无庸重新指出一个数学真理的单纯认识根据和它的存在根据之间的区别是在于前者可由逻辑途径获得,后者则是空间、时间各个局部间直接的,卑由直观途径认识的关联。唯有理解这种关联才能真正令人满意,才能提供透彻的知识;如果单是认识根据,那就永远停留在事物的表面上,虽然也能给人知道事物是如此的知识,但不能给人知道[事物] 何以是如此的知识。欧几里德就是走的后面这条路,显然是不利于科学的路。譬如说,他应该一开始就要一劳永逸地指出在三角形之中,角与边是如何互为规定的,是如何互为因果的;并且在他指出这些时,还应该按照根据律在纯空间上所有的形式;应指出这一形式在三角形角和边的关系上,和在任何地方一样,都要产生这样一种必然性,即一事物之是如此,乃是由于完全不同的另一事物之是如彼。他不这样让人们对于三角形的本质有彻底的理解,却提出有关三角形一些片段的,任意选择的命题,并经由逻辑地,按矛盾律获得的艰涩证明而为这些命题提出逻辑的认识根据,人们不是对于这种空间关系获得了应有尽有的知识,人们得到的只是这些关系中任意传达出来的一些结果;这就好比把一部精巧的机器指给一个人看时,只告诉他一些不同的作用,而不把这机器的内在结构和运转原理告诉他一样。欧几里德所证明的一切如此如彼,都是人们为矛盾津所迫不得不承认的,但是何以如此如彼,那就无法得知了。所以人们几乎是好象看过魔术表演一样,有一种不太舒服的感受,事实上,欧几里德大多数的证明都显著地象魔术。真理几乎经常是从后门溜进来的,因为它是由于偶然从某一附带情况中产生的。一种间接的反证常常一扇又一扇把门都给关了,只留下了一扇不关,这也就是人们无可奈何,不得不由此而进的一扇门。通常在几何学中,例如在毕达戈拉斯定理中,须要作出一些直线,却不明白为什么要这样做;往后才发现这些原来都是圈套,出其不意地收紧这圈套的口,就俘虏了学习人的信服,学习人只得拜倒而承认一些他完全不懂个中情况的东西。事实竟至于此,学习人可以从头至尾研读欧几里德的著作,然而仍不能对空间关系的规律有任何真正的理解,代之而有的只是背诵一些来自此等规律的结果。这种原属经验的,非科学的知识就如一个医生,他虽知道什么病要用什么药,却不认识两者间的关系一样。这一切都是由于人们异想天开,拒绝一个认识类型自有的求证求据的方式,而横蛮地代之以一种与这类型格格不入的方式。同时,在别的方面欧几里德用以贯彻他这主张的方法却还值得赞美,这是好多世纪以来便是如此的,以至于人们竟宣称他这种治数学的方法是一切科学论述的模范,所有其他科学莫不争起效尤;不过人们后来自己也不知其所以然,又从这里回过头来了。在我的眼光看起来,欧几里德在数学上使用的方法只能算作一种很“辉煌的”错误。凡是一种大规模的,故意有计划地造成而后来又普遍地被称许的迷误,既可以涉及生活也可以涉及科学;大致总可以在当时有权威的哲学中找到他的根据。最早是厄利亚学派发现了直观中的事物和思维中的事物两者间的区别,更常发现两者间的冲突,并且在他们的哲学警句中,诡辩中广泛地利用过这种区别。继厄利亚学派,往后有麦珈利学派,辩证学派,诡辩派,新学院派和怀疑论者;他们指出要注意的是假象,也就是感官的迷误,或者更可说是悟性的迷误。悟性把感官的材料变为直观,常使我们看见一些事物,其非真实是理性一望而知的;例如水影中显为破折的直杆等等。人们已知道感性的直观不是绝对可靠的,就作出了过早的结论,以为只有理性的,逻辑的思维才能建立真理;其实柏拉图(在《巴门尼德斯》),麦珈利学派,毕隆(pyrrhon)和新学院溅已在一些例子(如后来塞克司都斯、恩比瑞古靳所用的那类例子)中指出在另一方面,推论和概念也导致错误,甚至造成背理的推论和诡辩,说这些东西比感性直观中的假象更容易产生,却更难于解释。那时,与经验主义对立而产生的唯理主义占着上风,欧几里德就是遵循唯理主义来处理数学的,所以他只将公理,无可奈何地,建立于直观证明上,其他一切则建立在推论上。在[过去的]一切世纪中,他的方法一直是有权威的;并且一天不把先验的纯粹直观从经验的直观区别开来,这种情况也必然会延续下去。虽有欧几里德的注释家普洛克罗斯似乎已经看到这种区别,譬如克卜勒在他那部《世界的谐律》中译成拉丁文的一段,就是这位注释家的原作在这方面的表现;不过普洛克罗斯不够重视这件事,他是把它孤立地提出来的,他未被人注意,自己也没有贯彻到底。所以直到两千年以后,康德的学说既命定要在欧洲各民族的知识、思想、行为上产生这样重大的变化,才会在数学领域里促成同样的变化。因为只有我们从这位伟大哲人那里懂得空间和时间的直观完全不同于经验的直观,完全无待于一切感官上的印象,决定感官而不为感官所决定,即是说空间和时间的直观是先验的,从而也是根本不容感官的迷误入侵的;只有学得了这些,然后我们才能理解欧几里德在数学上使用的逻辑方法只是多余的谨慎,有如健全的腿上再加拐杖似的;有如行人在夜间把白色的干路当作水,唯恐踏入水中,宁可在路边高一步,低一步,走过一段又一段,还自以为得计没有碰到这原不存在的水。直到现在,我们才能有确实把握说:在我们直接观察一个几何图形时,那必然是显现于我们之前的,既不来自划在纸上不很精确的图形,也不来自我们边看边设想的抽象概念。而是来自我们意识中一切先验的认识的形式。这形式,无论在什么地方,都是根据律;在这里、作为直观的形式,也即是空间,则是存在的根据律。存在根据律的自明性、妥当性,和认识根据律的自明性、妥当性,亦即是和逻辑的真确性,是同样大小,同样直接的。所以我们不用,也不可为了单独相信后者,就离开数学自有的领域而在二个和数学不相干的领域,概念的领域里求取数学的证明。如果我们坚守数学自有的园地,我们便可获得一个[很]大的优点,就是在数学中所知道的“有这么回事”与其“何以如此”现在成为一件事了,而不再是欧几里德把它完全割裂为两事,只许知道前者,不许知道后者的办法了。其实,亚里士多德在《后分析篇》第一篇第27节中说得非常中肯:“同时告诉我们‘有一事物’及其‘何以如此’的知识比分别讲述事物之有及其所以然的知识要准确些,优越些。”在物理学中我们要得到满足,只有事物之如此与其何以如此两种知识统一起来,才有可能。单是知道托瑞切利管中的水银柱高过二十八英寸,如果不同时知道其所以如此是由于空气的压力,那是一种不够的知识。然则在数学园里的隐秘属性,譬如[知道] 圆形中两两交叉的弦的线段总是构成同样的矩形,就能满足我们吗?这里的“是如此”,欧几里德固然已在第三卷第三十五条定理中证明了,但是“何以如此”仍然没有交代。同样,毕达戈拉斯定理也告诉了我们直角三角形的一种隐秘属性。欧几里德那矫揉造作,挖空心思的证明,一到“何以如此”就避不见面了,而下列简单的,已经熟知的图形,一眼看去,就比他那个证明强得多。这图形让我们有透入这事的理解,使我们从内心坚定地理解[上述]那种必然性,理解[上述] 那种属住对于直角的依赖性:在勾股两边不相等的时候,要解决问题当然也可以从这种直观的理解着手。根本可说任何可能的几何学真理都应该这样,单是因为每次发现这样的真理都是从这种直观的必然性出发的,而证明却是事后想出来追加上去的,就应该这样。所以人们只须分析一下在当初找出一条几何学真理时的思维过程,就能直观地认识其必然性。我希望数学的讲授根本就用分析的方法,而不采取欧几里德使用的综合方法。对于复杂的数学真理,分析方法诚然有很大的困难,然而并不是不可克服的困难。在德国已经一再有人发起改变数学讲授的方式并主张多采取这种分析的途径。在这方面表现得最坚定的是诺德豪森文科中学的数学、物理教员戈萨克先生,因为他在一八五二年四月六日学校考试的提纲后面,还附加了一个详细的说明,[内容是]如何试用我的原则来处理几何学。

    为了改善数学的方法,首先就要求人们放弃这样一种成见,这种成见以为经过证明的真理有什么地方胜似直观认识的真理,或是以为逻辑的,以矛盾律为根据的真理胜似形而上的真理;[其实]后者是直接自明的,而空间的纯直观也是属于[自明的]真理之内的。

    最真确而又怎么也不能加以说明的便是根据律的内容。因为根据律,在其各别的形态中,原意味着我们所有一切表象和“认识”的普遍形式。一切说明都是还原到根据律,都是在个别情况中指出表象与表象之间的关联,这些关联根本就是由根据律表述出来的。因此,根据律才是一切说明[所根据]的原则,从而它自身就不能再加以说明,也不需要一个说听。每一说明都要先假定它,只有通过它才具有意义。但是在它的各个形态之间,并无优劣之分;作为存在的根据律、或是变易的根据律、或是行为的根据律、或是认识的根据律,它都是同等的真确,同样的不可证明。在它的各个形态中,根据和后果的关系都是一个必然的关系;这个关系根本就是“必然性”这概念的最高源泉,也就是这个概念的唯一意义。如果已经有了根据,那么,除了后果的必然性之外,就再没有什么必然性了,并且也没有一种根据不导致后果的必然性。所以,从前提中已有的认识根据引出在结论中道出来的后果,和空间上的存在根据决定其空间上的后果是同样的确实可靠。如果我直观地认识了这空间上的存在根据及其后果的关系,那么,这种真确性和逻辑的真确性是同等的。而每一个几何学定理就是这种关系的表出,和十二公理中任何一条都是同样真确的。这种表出是一个形而上的真理,作为这样的真理,它和矛盾津自身是同样直接真确的。矛盾律是一个超逻辑的真理,也是一切逻辑求证的普遍基础。谁要是否认几何定理表出的空间关系在直观中所昭示的必然性,他就可以以同等权利否认那些公理,否认从前提中推论出来的结果,甚至可以否认矛盾津自身;因为所有这些都同样是不得而证明的,直接自明的,可以先验认识的一些关系。所以,空间的关系本有可以直接认识到的必然性,然而人们都要通过一条逻辑的证明从矛盾律来引伸这必然性;这就不是别的,而是好象自有土地的领主却要另外一位领主把这土地佃给他似的。可是这就是欧几里德所做的。他只是被迫无可奈何才让他那些公理立足于直接的证据之上,在此以后所有的几何学真理都要经过逻辑的证明,即是说都要以那些公理为前提而从公理和定理的符合中作出的假定,或前面已有的定理来证明,或是从定理的反面对于假定的矛盾,对于公理的矛盾,对于前面定理的矛盾,甚至是对于定理自身的矛盾来证明。不过公理本身也不比其他任何几何定理有更多的直接证据,只是由于内容贫乏一些,所以更简单一此罢了。

    当人们审问一个犯人时,人们总是把他的口供记录下来,以便从口供的前后一致来判断口供的真实性。但是这不过是一个不得已的措施;如果人们能够直接研究每一句口供的真实性,那就不会这样做了,因为这个犯人还可从头至尾自圆其说地撤谎。可是[单凭口供的前后一致,] 这就是欧几里德按以研究空间的方法。他虽是从[下面] 这个正确的前提出发的,即是说大自然既无处不是一致的,那么在它的基本形式中,在空间中也必须是一致的;并且由于空间的各部分既在互为根据与后果的关系中,所以没有一个空间的规定能够在它原来的样儿之外又是另外一个样儿而不和其他一切的规定相矛盾。但是这是一条繁重的,难以令人满意的弯路,这条弯路以为间接的认识比同样真确的直接认识更为可取;它又割裂了“有此事物”与“何以有此事物”的认识而大不利于科学。最后它还完全遮断了初学者对于空间规律的理解,甚至于不使他习惯于真正的探求根据,探求事物的内部联系;却反而诱导他以“事物是如此”这种历史往的知识为己足。人们经常称道这种方法可以锻炼辨别力,其实不过是学生们为了记住所有那些资料要在记忆上多费劲而已,[因为] 这些资料间的一致性是要加以比较的。

    此外还有值得注意的是这种求证方法只用在几何学上而不用在算术上。在算术中,人们倒真是只用直观来阐明真理,而直观在这里就是单纯的计数。因为数的直观只在时间中,所以不能和几何学一样用感性的图形来表出,这就去掉了一个顾虑,[不必顾虑] 直观只是经验的,从而难免为假象所惑了。原来能够把逻辑的求证方式带进几何学里来的也只是这一顾虑。因为时间只有一进向,所以计数是唯一的算术运算,.其他一切运算都要还原到这一运算。这计数并不是别的,而是先验的直观。人们在这里可以毫不犹豫地援用这直观;只是由于这直观,其他一切,每一演算,每一等式最后才得以证实。譬如人们并不去证明,而是援用时间中的纯粹直观,援用计数,这就把每一个别的命题都变成公理了。因此算术和代数的全部内容不是充满了几何学的那些证明,而只是简化计数的一种方法罢了。我们在时间上所得到的数的直观,已如前述,大抵只到“十”为止,不能再多;过此以上就必需有一个“数”的抽象概念,固定于一个词儿中的概念,起而代替直观。因此就再没有真正完满地作到这直观,而不过是完全确切地加以标明罢了。就以这种情况说,由于数的自然秩序这个重要辅助工具,还是可以用同样的小数字来代替较大的数字[而价值不变],依然可以使任何一个演算都有直观的明显性。甚至于在人们高度利用抽象作用时也是这样;在抽象中思维的不仅是数,而且有不定的量或整个演算过程,这些都可在这种意义之下用符号标记出来,譬如;这样,人们就不再进行演算,只仅仅示意而已。

    和在算术中一样,人们也可以在几何学中以同样的权利,用同样的妥当性仅仅只以先验的纯粹直观作为真理的根据。事实上,赋予几何学以较大自明性的也总是这按存在根据律而直观地认识到的必然性。几何学的定理在每人意识中的真确性就是建立在这种自明的根据上的,而决不是建立在矫揉造作的逻辑证明上的。逻辑证明总是于事太疏远,大多是不久就被遗忘了;不过遗忘了也并无损于[人的] 确信。就是完全没有逻辑证明也不会减少几何学的自明之理,这是因为几何学的自明本无待于逻辑的证明,逻辑的证明总不过是证明着人们原已从别的认识方式完全确信了的东西。这就等于一个胆小的士兵在别人击毙的敌人身上戳上一刀,便大吹大擂是他杀了敌人。

    有了上述这一切,可望人们以后再不会怀疑数学上的自明之理既已成为一切自明之理的模范和象征,在本质上并不是建立在证明上的而是建立在直接的直观上的。在这里如此,在任何地方也是如此,直观总是一切真理的源泉和最后根据。并且数学所根据的直观和任何其他的直观,亦即和经验的直观相比,有着一个很大的优点;即是说数学所依据的直观是先验的,从而是不依赖于经验的;经验是一部分一部分,依次获得的,对于先验的直观,[无分先后远近]则一切同时俱在,人们可以任便从根据出发或从后果出 发。这就给数学所本的先验直观带来了一种充分的、无误的正确性,因为在这直观中是从原因识取后果的,而这就是唯一有必然性的认识。例如说一个三角形中的三边相等被认为是基于角的相等。与此相反,一切经验的直观和大部分经验却只是反过来从后果认原因的,这种认识方法就不能说没有错误,因为只有在已有了原因之后,后果才说得上有必然性;而从后果认取原因就不能有这种必然性,因为同一后果可能是从不同的原因产生的。后面这种认识方法永远只是归纳法,即是从多数的后果指向一个原因而假定这原因是正确的。但是个别的情况既决不可能尽集于一处,所以这样的真理也决不是绝对可靠的。然而一切感性直观的认识和绝大部分的经验就都只有这样的真理。官能有所感受便促起悟性作出一个从后果到原因的论断,但是从原因所产生的[后果]上溯原因的推论是决不可靠的,所以作为感性迷误的假象就有可能了;并且如前所述,也经常出现。只有几种或所有五种官能都有指向同一原因的感受,假象的可能性才减低到最小限度,但并不是就完全没有了。因为在某些场合,例如使用伪造的钱币,人们就骗过了所有的感官。一切经验的认识,从而全部自然科学,如不计其纯粹的(即康德所谓形而上的)部分,也同在上述情况中。在这里也是从后果认原因,所以有关自然的一切学说都是建立在假设上的。假设又往往是错误的,错误的假设只有逐渐让位于比较正确的假设。只有在有意举行的实验中,认识过程是从原因到后果的,也就是走的那条可靠的路;可是这些实验本身又是按假设而进行的。所以没有一种自然科学的分支,如物理学、天文学,或生理学,能够象数学或逻辑一样,可以是一次被发现的,而是曾经 需要,现在还需要许多世纪所搜集的,经过比较的经验。只有经过多次经验的证实,才能使假设所依据的归纳法有那么近于完备的程度,以至这种完备的程度在实践上就可以代替准确性。于是,人们也不大以为这种完备程度的来源对于假设有什么不利,正如人们不大以为直线和曲线的不能通约对于几何学的应用有什么不利,不以为“对数”永远达不到完全的精确性对于算术有什么不利一样。原来如同人们[可以] 以无穷的分数使圆无限的接近于方,使对数无限地接近精确一样,同样,人们也[可以]以多次的经验使归纳法——亦即从后果认原因的知识——虽不是无限的,却能那么接近于数学的自明性——亦即从原因到后果的知识———以致误差的可能性小到了可以被忽略的程度。不过误差的可能性尽管小,总还是存在的;譬如从无数情况来推沦一切的情况,实际上也就是推沦一切情况所依据的那一未知的原因,就是一个归纳的推论。在这种论断中还有一个比“人的心脏都在左边”这样的论断更显得可靠的吗?然而,在最罕有的场合,在极个别的例外,居然有些人的心脏在右边。——因此,感性的直观和经验的科学都有着同一类的证据。和感性直观与经验科学相比,数学,纯粹自然科学与逻辑,作为先验的知识而有的优点,只在于一切先验性所本的认识的形式方面是全部而同时被给与的;所以,在数学,纯粹自然科学和逻辑经常可以从原因走向后果;而在感性直观和经验科学则大多只能从后果走到原因。在别的方面,因果律本身,亦即指导经验认识的变易根据律,和上述[纯粹]科学先验地服从的根据律的其他形态是同等妥当的。——从概念得来的逻辑证明或推沦也和先验直观的认识一样,有着从原因认取后果的优点,由此这些推论在其自身,亦即在形式上,也是不可能有错误的。这很有助于使证明根本享有如此高的评价。可是逻辑证明的无误性只是相对的。这些证明只是在一门科学的最高命题之下从事概括罢了,而这些最高命题才是包含这门科学所有一切真理的总汇,所以不能就以证明了事,而是必须以直观为根据的。这种直观在上述几个少数的先验科学中是纯粹的,否则总是经验的,并且只有通过归纳法才能提升到普遍。所以,在经验的科学中虽也可以从普遍证明特殊,但这普遍是从个别获得其真实性的,这普遍是一个储存器材的仓库,却不是自己能生产的土壤。

    关于真理的求证已说得不少了。至于谬误的来源和可能性,自柏拉图以来,人们曾一再企图加以说明。柏拉图的答案是形象化的,他说谬误就好比在鸽笼里捉错了一只鸽;如此等等(《特厄特都斯》,第167页等)。关于谬误的来源康德所作的说明是空洞的,模糊的,他用对角线的移动这一图形来作说明,可以参看《纯粹理性批判》第一版第294页,第五版第350页。——既然真理就是一个判断和其认识根据的相关,那么,这个作判断的人怎么真能相信有这么一个根据而实际上却没有,即是说谬误,这理性上的蒙蔽是怎么可能的就诚然是一个问题了。我认为谬误的可能性和前文所说假象的可能性,或悟性的蒙蔽的可能性,完全是类似的。我的意见就是(所以这里恰好是插入这个说明的地方)每一谬误都是从结论到根据的推论;如果人们知道这结论只能有这一个而决不能另有一个根据时,这根据还是妥当的,否则就不妥当。陷入谬误的人,要么是为结沦指定一个它根本不可能有的根据,这就表现他真正是缺乏悟性,也即是缺乏直接认识因果联系的能力;要么是一个更常见的情况:他为结论指定一个可能有的根据,同时还为他这种从结论到根据的推论补上一个大前提,说该结论无论何时只能是由他所提出的这根据产生的。其实只有作过完备的归纳功夫之后,他才有权这样说,然而他并未作过这功夫就事先这样假定了。因此,“无论何时”这个概念就大广泛了,而应代之以“有时”或“大多是”:这样的结论命题是悬而未决的,那也就不会错误了。但陷于谬误的人既然只按上述方式行事,那么他不是操之过急,便是对于可能性的认识大有限,从而不知有应作归纳功夫的必要。因此,谬误和假象完全是类似的。两者都是从结论到根据的推沦。假象总是由悟性来的,也就是悟性直接从直观自身中按因果律造成的;谬误总是由理性来的,也就是理性在真正127的思维中按根据律所有的形式,最大多数也可以是按因果律造成的。按因果律造成的谬误有下面三个例证,人们可以视之为三类谬误的典型或代表:1)感性假象(悟性的蒙蔽)促成谬误(理性的蒙蔽),例如人们把绘画看作浮雕,并且真以为是浮雕。这是由于这样一个大前提得来的推沦:“如果暗灰色逐点经过所有色差而过渡到白色,那么,这原因无论何时都是光线,因为光照耀在高凸处和低凹处是不同的,所以……。”2)“如果我的钱柜中少了钱,那么,这原因无论何时都是我的仆人有了一把仿制钥匙,所以……。”3)“如果棱镜中被折射的,也就是挪上或移下了的日影已不是前此的圆而白,却是长形而有色彩的,那么,这原因,一次乃至千百次,都是目光中原藏有质同而色彩不同、折射度不同的光线,现在这光线由于折射度不同而被分离出来,于是现为长形的、色彩杂陈的光带了;所以——让我们喝一杯吧!”——任何一个谬误都必然要归结到这样一个推论,也就是以一个常是概括错误的,假设的,从假定某根据到某结论而产生的大前提这样的推论。只有演算的误差不在此列,这种误差本不是谬误而只是差错:即是数的概念所指定的演算过程并没有在纯粹直观中,没有在计数中完成,完成的是另一演算过程。

    至于[一切]科学的内容,根本看来,事实上无非都是世间各现象的相互关系,是既符合根据律、又是在唯有根据律能使“为什么”有效力,有意义这条线索上的相互关系。证实这些关系就叫做说明。如果两个表象同属一类,而支配该类的又是根据律的某一形态;那么,所谓说明,除了指出这两个表象在这一形态中的相互关系外,就再也不能前进一步了。说明若到了这一步,那就根本不得再问“为什么”:因为这证实了的关系就是一个决不能不如128此想的关系,也即是说它是一切认识的形式。所以人们并不问为什么二加二等于四;不问为什么三角形的内角相等也就决定边的相等;不问为什么在任何一个已知的原因之后必继以其后果;不问为什么前提的真实性使结论也有自明的真实性。任何一种说明,如果不还原到一个不能再问“为什么”的关系,就只能上于一个假定的隐秘属性。可是任何一种原始的自然力也都是这种属性。任何自然科学的说明最后必然要止于这样的隐秘属性,也就是止于漆黑一团。所以自然科学的说明只有让一个石头的,或一个人的,内在本质同样得不了说明完事;对于石头所呈现的重力、凝聚力、化学特性等,和对于人的认识作用、人的行为是一样的说不出一个所以然。例如。‘重”就是一个隐秘属性,因为人们可以设想它不存在,它不是从认识的形式中产生的必须有之物,但惯性定律则不然,它是从因果律推出来的,因而再还原到因果律就是一个充分的说明了。有两种东西是根本不得而说明的,也就是不能还原到根据律所示的关系上去的;第一是在四种形态中的根据律本身,因为它是一切说明的原则,任何说明只有关涉到它才有意义;第二是根据律达不到而是一切现象中本有的东西所从出的自在之物,对于自在之物的认识根本就不是服从根据律的认识。自在之物不可得而理解,在这里只好听之任之;但在下一篇中我们重行考察科学可能的成就时,就可以理解了。但是在自然科学,一切科学,要止步的地方,也就是不仅是说明,甚至连这说明的原则——根据律也不能前进一步的地方,那就是哲学[把问题]重新拿到手里并且以不同于科学的方式来考察的地方——。在《根据律》51节我曾指出根据律的这一形态或那一形态如何分别是指导各种科学的主要线索。——事实上按这种办法也应该可以作出最恰当的科学分类。不过按每一线索而作出的说明,如已说过,永远只是相对的,总是在相互关系中说明事物,总要留下一些未说明的东西,而这也就是每个说明预先假定了的东西。这种东西,例如在数学中就是空间和时间;在力学、物理学、化学中就是物质、物性、原始的[自然]力、自然规律等等,在植物学和动物学中就是种属的分歧和生命本身;在历史学中就是人类及其思想方面和意欲方面的一切特征;——在一切这些[科学]中的还有根据律按个别需要而加以应用的某一形态。——哲学有一个特点:它不假定任何东西为已知,而是认一切为同样的陌生都是问题;不仅现象间的关系是问题,现象本身也是问题,根据律本身也是问题。别的科学只要把一切还原到根据律,便万事已足;对于哲学这却是一无所获,因为一个系列中此一环节和彼一环节在哲学上都是同样陌生的。此外,这种关联自身和由此而被联结的东西也同样的是问题,而这些东西在其联结被指出以前又和被指出以后同样也还是问题。总之,如已说过,正是科学所假定的,以之为说明的根据和限度的,就正是哲学应有的问题。由此看来,那些科学到此止步的地方,也就正是哲学开步走的地方。证明不能是哲学的基础,因为证明只是从已知的命题演绎未知的命题,而对于哲学来说,一切都是同样的陌生[并无已知未知之别]。不可能有这样一个命题,说由于这一命题始有这世界及其一切现象:因此,不可能象斯宾诺莎所要作的那样,从“一个坚定的原则”进行证明便可引伸出一种哲学来。并且哲学还是最普遍的知识,它的主要命题就不能是从别的更普遍的知识引伸出来的结论。矛盾律不过是把概念问的一致固定下来,但并不产生概念。根据律说明现象间的联系,但不说明现象本身。因此哲学不能从寻找整个世界的一个有效因或一个目的因出发。至少是我的哲学就根本不问世界的来由,不问为何有此世界,而只问这世界是什么。在这里,“为什么”是低于“什么”一级的,因为这“为什么”既只是由于世界的现象[所由呈现]的形式,由于根据律而产生的,并且只在这个限度内有其意义和妥当性,所以早就是属于这个世界的了。人们固然可以说,世界是什么,这是每人无须别的帮助就认识到的[问题],因为人自己就是认识的主体,世界就是这主体的表象。这种说法在一定限度内也是对的。不过这种认识是一个直观的认识,是具体中的认识;而在抽象中复制这些认识,把先后出现的,变动不居的直观,根本把感这个广泛概念所包括的一切,把只是消极规定的非抽象、非明晰的知识提升为一种抽象的、明晰的、经久的知识,这才是哲学的任务。因此,哲学必须是关于整个世界的本质的一个抽象陈述,既关于世界的全部,又关于其一切部分。但是为了不迷失于无数的个别判断,哲学必须利用抽象作用而在普遍中思维一切个别事物,在普遍中思维个别事物所具的差异;从而它一面要分,一面要合,以便将世界所有纷坛复杂的事物,按其本质,用少数的抽象概念概括起来,提交给知识。哲学既将世界的本质固定于这些概念中,那么,由于这些概念就必须能认识普遍,也要能认识一切特殊,也就是对这两者的认识必须有最准确的联系。因此,在哲学上有天才就在于柏拉图所确定的一点:在多中认一,在一中认多。准此,哲学将是极普遍的判断之总和,而其认识根据直接就是在其完整性中的世界本身,不遗漏任何点滴,也就是在人的意识中呈现出来的一切一切。哲学将是世界在抽象概念中的一个完整的复制,好比明镜中的反映作用似的。而这些抽象概念是由于本质上同一的合为一个概念,本质上相异的分为另一概念才可能的。培根就早已为哲学规定了这个任务,他是这样说的:“最忠实地复述着这世界自己的声音,世界规定了多少,就恰如其分他说出多少;不是别的而只是这世界的阴影和反映,不加上一点自己的东西,而仅仅只是复述和回声;只有这,才是真的哲学。”(《关于广义的科学》第二卷第13页)不过,我们是在培根当时还不能想到的一种更广泛的意义中承认这一点的。

    世界各方面、各部分,由于其同属一整体而有的相互一致性也必须重现于世界的抽象复制中。因此在那判断的总和中,此一判断可在某种程度内由彼一判断引伸而来,并且也总是相互引伸的。不过在相互引伸中要使第一个判断有可能,这一些判断都必须齐备才行,也就是要事先把这些判断作为直接建立在对这世界的具体认识上的判断确立起才行:而一切直接的证明都比间接的证明妥当些,所以更应如此。这些判断借助于它们相互之间的谐和甚至汇成一个单一的思想的统一性,而这统一性又来自直观世界本身的谐和与统一,这直观世界又是这些判断共同的认识根据,所以这些判断相互之间的谐和不能作为各判断的最初的东西来为这些判断建立根据,而是只能附带地加强这些判断的真实性而已。——这个问题本身只能由于问题的解决才能完全明白。

    在我们对于理性,作为人类独有的,特殊认识能力的理性,以及由理性带来的,人类本性上特有的成就和现象作了这一整个的考察之后,关于理性还剩下[一个问题] 是我要谈一谈的。这就是理性指导人类行为的问题。从这方面说,理性也可称为实践的。不过这里要说的,大部分已在别的地方,也就是在本书附录中已经论述过了,那儿也是驳斥康德的所谓实践理性有其实际存在的地方。康德(诚然是很方便的)把实践理性当作一切美德的直接源泉,把它说成是一个绝对(即自天而降的)应为的[宝]座。后 来我在《伦理学根本问题》中详细而彻底地反驳了康德的这一道德原理。因此,就理性的真正意义说,关于理性对行为的影响,我在这里要说的就不多了。在我们开始考察理性的时候,我们已大致地指出人类的作为是如何不同于动物的作为,并已指出这种区别只能看作是意识中有无抽象概念的后果。这些抽象概念对于我们整个生存的影响是如此深远而重要,以至于我们[人]对动物的关系,可以比拟于有视觉的动物对无眼睛的动物(某些幼虫、蠕虫、植虫)的关系。无眼睛的动物由触觉认识空间中直接与它们接触的东西,而有视觉的动物则相反,它们认识一个远近并收的大圈子。同样,缺乏理性就把动物限制在在时间上直接呈现的直观表象上,也就是限制在现实的客体上;我们人则相反,借助于抽象中的认识,在窄狭的、实有的现在之外,还能掌握整个的过去和未来,以及可能性的广大王国。我们能从各个方面综观生活,远远超过当前和现实之外。所以在这一定限度内,眼睛在空间中对于感性认识是什么[作用],理性在时间上对于内在认识也就是什么[作用]。如同对象的可见性所以有价值和意义仅在于这可见性宣告了对象的可触性一样,抽象认识的全部价值同样也永远只在它和直观认识的对应关系上。因此,一个普通人总认为那直接地、直观地认识了的[东西],比抽象概念,比仅是想得的[东西] 更要有价值些。他认为经验的认识胜于逻辑的认识。另外133有些人的想法却相反,这些人在他们的生活中说得多,做得少,他们所经历的,来自报纸书籍的多,来自现实世界的少;充其量,他们能蜕变为迂夫子和一些咬文嚼字的人。只有从这里,人们才可以理解莱布尼兹以及沃尔佛和他们所有的继承人怎么能迷信到那步田地,以至于重蹈膝斯·斯阁都司的覆辙而宣称直观认识只是模糊的抽象认识!为了斯宾诺莎的令誉,我必须提到他那比较清醒的神智终于反过来;宣称一切通常的概念都是从直观认识的东西的紊乱无章中产生的。(《伦理学》第二卷第四十题,附论一)从上面那种颠倒的想法中产生出来的[后果] 是人们在数学中舍弃数学本来自有的证据,以便只许逻辑的证据有效;还有人们根本把一切非抽象的认识一概属之于“感”这广泛的名义之下而贬低其价值;最后还有康德的伦理学宣称纯粹的,直接在认识到情况时促使人而导致正义行为和慈善行为的善意,作为单纯的感和激动是无价值的、无功果的,而只愿承认由抽象规范产生的行为有道德价值。

    人由于有理性而超过动物的[地方],就是他能对整个生活有全面的概览。这种概览可以比作他一生过程的草图,犹如几何学那样抽象的、未着色的、缩小了的草图。有此,人和动物的差别就好比一个航海家和一个无知水手的差别一样。前者借海上地图、罗盘、象限仪而能准确地认识航程和每次当前的所在地;后者则只看见波涛与天空而已。因此,值得注意,也值得惊奇的是:人除了在具体中过着一种生活外,还经常在抽象中度着第二种生活。在第一种生活中,人和动物一样、任凭现实的激流和当前的势力作弄,必须奋斗、受苦、死亡。人在抽象中过的生活[则不同],当这种生活出现于他理性的思考之前时,乃是第一种生活的无声的反映,是他生活于其中的世界的反映,也正是上述缩小了的草图。在第一种生活中占有他全部心灵的,使人剧烈激动的[一切],在这无声的反映中,在这安静思考的园地里就都显得冷静了,褪色了;就当前这瞬间说,也显得陌生了。在这里,134人只是一个旁观者,只是一个观察者了。在这样退缩到反省的思维时,他好比一个演员在演出一幕之后,再轮到他登场之前,却在观众中找到一个坐位,毫不在意地观看演出,不管演出的是什么情节,即令是安排一些致他于死地的措施(剧情中的安排),他也无动于中;然后他又粉墨登场,或是做什么,或是为着什么而痛苦,仍一一按剧情的要求演出。和动物的无思无虑显然不同的是人的这种毫不在意,无动于中的宁静,这种宁静就是从人的双重生活而来的。因此,一个人,按自己的考虑,按作出的决断,或是看清楚了必然性,就可以冷静地忍受或执行他生命上最重要的,有时是最可怕的事项,如自杀、死刑、决斗、有生命危险的各种冒险举动以及人的全部动物性的本能要抗拒畏避的一切事项。从这里可以看到人的理性如何是动物性本能的主宰,并可大声地对坚强的人说:“诚然,你有一颗钢铁般的心!”(《特劳埃战争》)这里,人们才真能说理性是表现为实践的了。所以无论在什么场合,只要是理性指导行为,只要动机是由抽象概念决定的,而不是直观的,个别的表象,或指导动物行为的当前印象在起决定作用,那就是实践理性的出现。至于实践理性的出现完全不同于,无赖于行为的伦理价值;理性的行为和美德的行为完全是不同的两回事,理性既可以和元凶大憨,也可以和美德懿行伙同行事,由于理性参加任何一方,那一方才发生巨大的作用;对于有方法地,贯彻始终地实现一个高尚的或卑鄙的预谋,实现一个有 智慧的或无意义的格言,理性是同样的有准备,同样的有功用;而这又正是由于理性那种女性的,只接受保存而自己不生产的本性所使然;——这一切一切,我在附录中都作了详尽的分析,用例证作了说明。在那里讲过的本应放在这里才合适,[不过]因为这是驳斥康德的所谓实践理性,所以不得不移置在那里了。因此我135只指出请到那里去参考。

    实践理性,从这个词的真正原义来说,它最完美的发展,人只是由于使用他的理性才能达到的最高峰——人禽之别在这最高峰上最为显著——是在斯多噶派智者身上作为理想表出的东西。原来斯多噶派的伦理学在发生上、本质上根本就不是讨论道德的学说,而只是理性生活的指南;[他们的]目标和鹄的是通过心神的宁静而得到幸福。美德的行为好象只是偶然地作为手段而不是目的,才夹杂在理性生活中的。因此,斯多噶派的伦理学,从其全部本质和观点说,根本不同于直指美德懿行的那些伦理学体系,例如《吠陀》、柏拉图、基督教和康德的学说。斯多噶沦理的目的就是幸福:“美德的整个目的就是有幸福”,这就是斯多帕阿斯在阐述斯多噶派哲学时所说的。(《希腊古文分类选录》第二卷,第七章第114页和138页)不过斯多噶派的伦理学指出了幸福只有在内心的和平与心神的恬静中才可确实获得,而这和平宁静又只有通过德行才能达到;这就正是“美德是最高的善”这句话的意义。但是,如果不期然而然的逐渐地在手段上忘记了目的而又这样高捧美德,以致美德自身又透露出另一种完全不同于本人幸福的旨趣,两种旨趣且有着显著的矛盾;那么,这就是一种前后不一贯。由于这种前后不一贯,在每个系统中,直接认识到的真理,亦即人们称为“感到”的真理,便得以回到正路上来而压倒逻辑的推论。例如这在斯宾诺莎的《伦理学》中就看得很清楚,他这种伦理学就用显而易见的诡辩从自利心的“追求个人本身利益”中引伸出纯粹的道德学说。按我对斯多噶派伦理学的精神所理解的,这种伦理学的渊源在于这样一个思想:人的巨大特权,人的理性,既已间接地由于计划周密的行动及行动所产生的后果如此减轻了生活的重负,使得生活轻松了,那么是否还能直接地,即是说单是由于认识就能使人立即完全或几乎完全地解脱那些充满人生的痛苦和折磨呢?人们认为一个具有理性的生物既能通过理性而掌握,而综览无穷的事物与情况,却仍然要由于这短促、飘忽、无常的生命的有限岁月所能包罗的瞬瞬当前和各种事故,而陷入“贪求”与“规避”的激烈冲动所产生的如许剧烈痛苦,如此沉重的忧俱和苦楚之中,这是和理性的优越地位不相称的;并且认为适当地运用理性应该使人超脱这一切,使他不可能为这一切所伤害。因此,安第斯顿涅斯说:“要么为自己获致理性,要么就是安排一条自缢的绞索。”(普禄塔尔克著《关于斯多噶派的反驳》第十四章)即是说:人生既充满如许苦难和烦恼,那么人们就只有借纠正了的思想而超脱烦恼,否则就只有离开人世了。人们已经看清楚,困苦、忧伤并不直接而必然地来自“无所有”,而是因为“欲有所有”而仍“不得有”才产生的;所以这“欲有所有”才是“无所有”成为困苦而产生伤痛唯一必需的条件。“导致痛苦的不是贫穷,而是贪欲”。(厄披克德特:《断片》第二十五条)此外,人们从经验中也知道,只有希望、只有可以提出要求的权利才产生,才滋养着[人的] 愿望;所以使我们动心和难受的,既不是人所共有的,不得而免的诸恶,也不是无从获致的诸善,而只是在可以躲避的和可以获致的两者之间几微的或多或少而已。是的,还不必是绝对的、只要是相对的无从获致或无可避免就全不会扰乱我们了。因此,或是一经附在我的个性中[便再也丢不掉] 的诸恶,或是在我的个性上已必然不容问津的诸善,我们对之便一概漠不关心。由于人的这种特性,如果没有“希望”在供应养料,任何愿望很快的就自行幻灭了,也就再不能产生痛苦。从上述这一切、可得出如下的结论,即是说一切幸福部建立在我们可能要求的和实际获得的两者之间的比例关系上。至于这关系中前后两项的或大或小,[构成幸福]并无二致,或缩小前项,或扩大后项,都同样地构成这一关系。并且,一切痛苦都是由于我们所要求,所期待的和我们实际所得到的不成比例而产生的,而这种不成比例的关系又显然只在人的认识中才能有,所以有了更高的解悟就可以把它取消。因此克利西波斯说:“人只有按自然所启示的经验来生活。”(斯多帕阿斯:《希腊古文分类选录》第二卷第七章第134页)这即是说人们生活应适当地认识世间事物的来龙去脉,因为,每当一个人由于某种原因而不知所措时,或是由于不幸而一撅不振时,或是怒不可遏,或是踌躇不前时,他就正是以此表现了他发现事物之来不是如意料所及,因此也表现了他是谬误的俘虏,没有认识人生和世界,没有知道无机的自然如何出于无心的偶合,有机的自然又如何出于意图相反,存心不良,而寸寸步步在阻遏着每一个人的意志。因此,要么是这个人没有使用他的理性以求普遍地认识人生这种本来面目,或者也是他缺乏判断力,他虽认识了一般,却不能在特殊中加以运用,因而具体事物之来常出其不意而使他不知所措。所以任何动人的欢愉之情都是谬误,都是妄念;因为没有一个已达成的愿望能够使人满足,经久不衰,因为任何财产,任何幸福都只是偶然悦来,为期难定,说不定随即又要被收回去。任何痛苦都是由于这种妄念的幻灭而产生的。痛苦和妄念都以错误的认识为根源。所以欢愉和痛苦都不能接近智者,没有什么事故能扰乱智者的“恬静”。

    按照斯多噶派的这种精神,这种目的,厄披克德特认为人们总得考虑并且区别什么是,什么不是以我们为转移的,从而对于那些不以我们为转移的事物根本不作任何打算,这就可以稳当地免了痛楚、苦难和忧惧。厄披克德特从这里出发,又常回到这个论点,好象这就是他的智慧的核心。然而以我们为转移的仅仅只有意志。从这里开始就逐渐过渡到德行论了,因为这里论到的是不以我们为转移的外在世界既决定着幸与不幸,那么对于我们自己而有的内在满足或不满足则是从意志产生的。注后人们又问是否应以善与恶的字样分别称幸与不幸或满足与不满足呢?其实这种说法是任意的,随人所好,无关宏旨。然而在这一点上,斯多噶派和亚里士多德派,厄壁鸠鲁派竟至争论不休,这原是完全没有同一基础的两种量,他们偏以这种不能容许的比较,以及由此而产生的,相反的,似是而非的论点自娱,又以之互相责难。西塞罗把斯多噶派方面的这些论点搜集在《矛盾集》中,为我们留下了有趣的[资料]。

    斯多噶派创始人芝诺好象原来曾采取过另外一种途径。他的出发点是这样的:人们为了获得最高的善,也即是获得幸福感和心神的恬静,他在生活中就必须和自己一致。“生活要一致也就是生活要按一定的道理并且与自己谐和。”(斯多帕阿斯的《希腊古文分类选录:伦理编》第二卷,第七章,第132页。)又说:“美德在于整个一生,[都是]心灵和自己谐和一致”(同前书,第104页。)但是要做到这一点,人们只有一贯理性地依概念,不依变换无常的印象和心情来决定自己。我们所能掌握的既然只有行为的139规范,而不是行为的后果,不是外来的因素;那么,一个人如果要前后一贯,始终不渝,就只能把前者,而不能把后者当作目的,这就又引入德行论了。

    不过芝诺那些直接的继承人已经觉到芝诺的道德原理——与自己谐和地生活——是太形式的了,太空洞了。他们用“生活须和天性一致”这个补充而赋予这原理以具体内容。斯多帕阿斯在他的书中报道说,第一个加上这补充的是克勒安特斯;但由于概念的含义广泛,语义又不确定,这问题就更拉长了。克勒安特斯说的是指一般天性的总称,而克利西波斯却是专指人的天性而言。后来人们就认为只有和人的天性相称的才是美德,犹如只有动物冲动的满足才和动物的天性相称一样。这样,又很勉强地把问题引入德行论了,并且不管是如何迂回曲折,总是想把伦理学建立于物理学之上。这是因为斯多噶派到处都要以原则的统一为目标,正如在他们看来上帝和世界也绝对不是两回事。

    整个他说来,斯多噶派的伦理学事实上是一种很可宝贵的,也是很可敬佩的尝试,企图用这样一个指示“看你怎样打算使自己的一生近乎中庸:不让贪欲,不让恐惧和琐细的企望来激动你,烦恼你——永远一无所有的人。”

    来为一个重要的,带来幸福的目的利用人的特长,人的理性,也就是使人解脱人生中注定的痛苦和烦恼;并且使他得以最充分地享有人的尊严。这是人作为一个理性的生物,与动物有别而应有的尊严。不过这里所谓尊严,也就只是在这种意义上说话,不能牵涉到别的意义上去。——由于我对于斯多噶派伦理学有这样的看法,在我阐述什么是理性,理性有些什么能为的时候,就不能不提到这种伦理学,这是我那种看法带来的。尽管[斯多噶派的]那种目的,在一定限度内由于运用理性或仅是由于一种合理的伦理学就可以达到,尽管经验也指出那些纯粹是合乎理性的人物——人们一般称为实践哲学家的人物,这种称呼也是有理由的,因为本来的,也就是理论的哲学家是把生活带到概念中去,而这些实践哲学家却是把概念带到生活中去——就是最幸福的人们,然而,如果说用这种方式就能达到什么完美的[境界],如果说正确使用理性就真能使我们摆脱人生的一切重负和一切痛苦而导致极乐,那就差得太远了。应该说既要生活而又不痛苦,那根本就是十足的矛盾;因此,通常说的“幸福的人生”也含有这种矛盾。谁要是把我下面的说明,直至最后一个字,都掌握了,他就会确切地明白这个道理。其实,这种矛盾在那纯理性的伦理学本身中便已暴露出来了,那就是说,[人的] 肉身上的痛苦是不可能用一些命题,定理和逻辑推论,就可在哲学的谈话中把它谈掉的。斯多噶派哲人在这痛苦既占优势而又无可救药的时候,也就是人的唯一宗旨了一幸福——已经无法达到的时候,除死而外无法摆脱痛苦的时候,就不得不被迫在他们指示幸福生活的教条中(他们的伦理学总是这种指示)把自杀的劝告搀杂到这些教条中去(好象在东方专制帝王的豪华装饰品和用具中也有一个珍贵的小瓶儿装着毒药一样),于是死也就和其他药物一样,可以漠然无动于中的吃下去了。于是,这里就出现了一个显著的对照:一面是斯多噶派的这种伦理学;一面是前文论及的一切其他伦理学要把美德自身直接作为目的,不管痛苦是如何沉重,也不要人们为了摆脱痛苦就结束自己的生命。可是在这些人中,没有一个能说出反对自杀的真正理由,他们只是艰苦地搜集了一些各种各样的,似是而非的,表面上的理由。反对自杀的真正理由在本书第四篇中自会随同我们考察的进展而显豁出来。斯多噶派的伦理学实质上只是一种特殊的幸福论,它和以美德为直接目的的那些学说常在结论上不谋而合而有外表上的类似关系,然而刚才指出的那个对照既暴露了,又证实了双方之间有着本质的,原则上的根本区别。至于上述那个内在的矛盾,甚至在基本思想上就附在斯多噶派伦理学中的矛盾,还在另了方面有其表现,即是说这种伦理学的理想,斯多噶派的智者,即令是在[他们自己]这种沦理的陈述中也决不能获得生命或内在的、诗意的真理。这个智者仍然是一个木雕的,僵硬的,四肢拼凑起来的假人;人们既不知道拿它怎么办,他自己也不知道怀着满腔智慧往哪里去。他那种完全的宁静、自足、极乐恰好和人生的本质相矛盾,不能使我们对之有什么直观的表象。同这种智者相比,那些世界的超脱者,那些自觉自愿的仟悔者就完全不同了。这些人是印度的智慧给我们指出过,并真正产生过的。至于基督教的救主,那就是一个更为卓越的形象了。他,充满着这个深刻形象的生命,拥有最高的、诗意的真理和最重大的[人生]意义,在具备完美的德行、神圣性、崇高性的同时,又在无比的受难状况中矗立在我们面前。

    第二篇 世界作为意志初论

    意志的客体化

    精神的寓所是我们,不是阴曹地府,不是天上星辰:这两者都是活在我们之中的精神所制作的。

    在第一篇里我们只是把表象作为表象,从而也只是在普遍的形式上加以考察。至于抽象的表象,亦即概念,它只是由于和直观表象有着相应的关系,它才有一切内蕴和意义,否则便无价值、无内容;就这一点说,我们也是按它的内蕴而认识它的。[不过]既然完全要指靠直观表象,我们现在就也要认识直观表象的内容、认识它的详细规定和它在我们面前表演出来的形象。而我们特别关心的则是对于它本来的真正意义,对于这个否则仅只是“感到”的意义获得理解。借助于这种真正的意义,[出现于我们面前的]这些景色才不至于完全陌生地,无所云谓地在我们面前掠过,——不借助于这种意义,那就必然会如此——,而是直接向我们招呼,为我们所理解,并使我们对它发生一种兴趣,足以吸引我们的全部本质。

    我们且把视线转到数学、自然科学和哲学上来,三者之中每一种都容许我们指望它会部分地提供我们所寻求的理解。——可是我们首先就发现哲学是一个长有许多脑袋的怪物,每个脑袋都说着一种不同的语言。就我们这里提出的,有关直观表象的意义这一点说,他们固然不是全部各异其辞,因为除怀疑论者和唯心论者以外,其余的,在主要的方面,说法部颇为一致。他们说,客体是表象的基础,客体虽在全部的存在和本质上与表象不同,同时却又在一切片段上如此相似,有如鸡蛋与鸡蛋彼此的相似一样。虽然有他们这样一致的说法,却不能对我们有什么帮助,因为我们根本不知道[如何]把客体从表象区别开来,而只发现彼此是同一事物,是二而一。既然一切客体总是,并且永远是以主体146为前提的,因而也总是表象,无可更改;同样,我们也已认识了“是客体”乃是表象的最普遍的形式,而这形式又正是客体和主体的分立。此外,人们在谈到客体时引以为据的根据律,在我们看来也只是表象的形式,即是此一表象与另一表象间有规律性的联系,而不是整个的、有尽的或无穷的系列的表象和一个并非表象的什么、一个不得成为表象的什么之间的联系。至于怀疑论者和唯心论者的说法,我们在上面谈到外在世界实在性的争论时就已谈过了。

    对于我们只是一般地,只在形式上认识了的直观表象,如果我们现在要在数学方面来找我们所寻求的、进一步的认识,那就只能谈到那些充塞时间和空间的表象,即是只能就表象是数量这一范围来说话。数学对于多少或多大固然会有最精确的答案,但是这多少或多大总只是相对的,即是一个表象和另一个表象的比较,并且只是片面地计及数量的比较;因此,这也不会是我们在主要的方面所寻求的答案。

    最后我们如果再看看自然科学广泛的,分成许多部门的领域,那么我们首先就能大别之为两个主要部门。自然科学要么就是形态的描写入要么就是变化的说明,我则分别称之为形态学和事因学。前者考察不变的形式,后者按形式转变的规律而考察变迁中的物质。虽不甚恰当,但前者在其整个范围内就是人们称为自然史的[科学];特别是作为植物学和动物学,它教我们认识各种不同的,个体[尽管]无止境地相互替换(而无碍于〕不变的,有机的,从而是硬性规定的那些形态。这些形态构成直观表象内容的一大部分,形态学把它们分类,加以区分,加以统一,按自然的和人为的系统加以排列,置之于概念之下而使概览和认识所有的形态成为可能。此外,形态学还在整个的或部分的领域中指出一种贯穿一切[形态] 的,差别无限细微的类似性(设计的统一性),借此类似性,这些形态就好比是围绕着未经一日入谱的主旋律的繁复变调似的。物质如何进入那些形态,也即是个体的发生[问题] 不是我们要研究的主要部分。这是因为每一个体都是从一个与之相同的个体经由生殖作用而出世的。这种生殖作用,到处都是一样的神秘,至今还躲避着[人们] 清楚的认识;而人们所知道的一点两点又属于生理学的范围,生理学又属于事因学的自然科学。基本上属于形态学的矿物学,尤其是矿物学成为地质学的时候,也[是] 倾向于事因学的自然科学。本来事因学就是到处以认识原因后果为主题的一切自然科学的各科别。因果的认识指出在物质的一个状态之后,如何按一个从无讹误的规则又必然的有另一个一定的状态继之而起,指出一个一定的变化如何必然地制约并引出另一个一定的变化:这样指出就叫作说明。属于事因学的[科学] 主要的是力学、物理学、化学、生理学。

    可是如果我们一味信任这些科学的教导,我们随即就会发现事因学和形态学一样,都不能在我们追究的主要问题上作出答复。形态学把无数的、变化无穷的、却是由于一种不会看错的族类相似性而相近的众形态摊[开]在我们面前;在这种方式下,这些形态对于我们永远只是些陌生的表象;如果仅仅是这样去考察,这些形态也就等于摊开在我们面前不同”理解的象形文字一样。与此相反,事因学教导我们的是物质的这一个一定状态按因果法则引出那一状态,这就把状态说明了,就算尽了它事因学的职责了。事实上,事因学所做的根本只是指出物质状态出现于时间空间所遵守的、有规律性的秩序,只是为一切场合肯定哪一现象一定在此时此地必然出现,只是按一个规律决定那些状态在时间空间中的地位。这规律所有的一定的内容是经验已告诉了我们的,至于其一般的形式和必然性却是无待于经验而为我们所意识的。但是,关于那些现象中任何一个现象的内在本质,我们并未由此获得丝毫的启发,这种本质则被称为自然力而在事因学的说明范围以外。事因学的说明每当有了那些它所知道的,自然力表出所需的条件时,就把这种力开始表出时不变的常规叫作自然律。不过,这自然律,这些条件,这种开始表出,就一定的地点和一定的时间说,也就是事因学的说明所知道的,能知道的一切了。而自行表出的自然力本身,按那些规律而发生的现象的内在本质,对于事因学却永远是一个秘密,不管现象是最简或最繁,永远是完全陌生的和未知的东西。因为事因学直至现在为止,虽已在力学方面最圆满地,在生理学方面最不圆满地达到了自己的目的,然而一颗石子借以落到地上或一个物体借以撞走另一物体的力,从其内在本质说,对于我们,其为陌生和神秘并不亚于促使动物运动,促进动物生长的力。力学假定物质、重力、不可透入性、由撞击而来的运动的可传递性、形体固定性等等为不可穷究的,称之为自然力;而自然力在一定条件下必然的,规律性的表出又称为自然律,这然后才开始力学的说明[工作]。所谓说明就是忠实地并以数学的精确性指出每一种力在何时,何地,如何表出;把力学发现的每一现象还原为这些力的一种。物理学、化学、生理学各在其领域内也是如此炮制,只是它们的假定更多而成绩更少罢了。准此,即令是整个自然界的最完备的事因学说明,实质上也不过是罗列一些不能说明的[自然]力,不外在这些力表出于时间空间,其现象相互继起相互让位时妥当地指出其规则;但是如此显现的诸力,因为它们的内在本质是事因学所服从的规律所达不到的,所以事因学只好长此任其不得说明而止于现象及现象的秩序而已。在这种意义上,事因学的说明就可和大理石的横切面相比拟,因为这种横切面虽然现出许多[平头]并列的纹理,但无从认识这些纹理是如何从大理石的内部达到这横切面的。如果我可以因为太巧合而容许自己再举一个有玩笑意味的例子,那么,对于整个自然界完成了事因学的说明之后,在一个哲学研究者看来必然是这样一种滋味,就好比一个人自己不知道怎么的闯进了一个他全无所知的社交团体,这里的成员们依次向他介绍了一个又一个,说某人是他的朋友,某人是他的中表,也算够详细的了;但是他自己在每次有人作介绍时,虽然总是向人表示他很高兴认识这些新交,可是每次都有一个问题到了口边上:“可才见鬼,我究竟是怎么闯进这一伙的呢?”

    于是,关于我们当作自己的表象而认识的那些现象,事因学也就不能给我们指出我们所期望的,使我们超出现象以外的那个理解。因为这些现象,有了事因学的一切说明之后,依然仅仅是出现在我们面前的,完全陌生的表象,我们并不了解它的意义。至于因果的联系又仅仅只指出这些现象出现于时间空间的规律和相对的秩序,并不教我们进一步认识如此出现的[东西本身]。并且因果律本身也仅是对表象,对一定种类的客体有效,只有在假定了这些客体之后才有意义。于是,因果律和客体本身一样,总要关联到主体,是在条件之下存在的;所以因果律,正如康德教导我们的,既可以从主体出发,也即是先验地去认识,也可以从客体出发,也即是经验地去认识。

    不过现在推动我们去探求的,正是我们不能自满于知道我们有表象,知道表象是如此这般的,是按这个那个规律联系着的,知道根据律就是这一些规律的总形式等等。我们正是不能以此自足,我们要知道那些表象的意义,我们要问这世界除了是表象之外,是否就再没什么了;——如果真是这样,这世界在我面前掠过,就必然和无实质的梦一样,就和幽灵般的海市蜃楼一样,不值我们一顾了——;我们要问世界除了是表象之外,是否还有什么,如果有,那又是什么。现在就可以确定的是:我们这儿所追问的必然是在本质上和表象根本不同,完全不同的东西,表象的那些形式和法则对于它必然是毫不相干的,因而人们也不能从表象或以这些法则为线索求得这东西。法则仅仅是把那些客体,那些表象互相联系起来,所以法则就是根据律的那些形态。

    在这里我们已经看到,从外面来找事物的本质是决无办法的,无论人们如何探求,所得到的除了作为比喻的形象和空洞的名称之外,再没有什么了。这就好比一个人在自绕着一座王宫走而寻不到进去的人口,只落得边走边把各面官墙素描一番。然而这就是我以前的一切哲学家所走的路。

    事实上,如果这个探讨的人单纯的只是一个认识着的主体(长有翅膀而没有身躯的天使),此外就不是什么了,那么,要追求这个世界,仅是作为我的表象而与我对立的世界的意义,或是发现从这个世界只是作为认识主体的纯粹表象的世界(如何)过渡到它除了是表象之外还可能是的那个什么,那就绝对做不到了。然而这个探讨人自己的根子就栽在这[样一]个世界里,他在这世界里是作为个体[的人] 而存在的,即是说尽管他的认识是作为表象的整个世界以之为前提的支柱,这种认识毕竟是以一个身体为媒介而获得的。身体的感受,如已指出的,就是悟性在直观这世界时的出发点。对于单是认识着的主体,就它是主体说,这个身体也是表象之一,无异于其他表象,是客体中的一客体。这个身体的活动和行为的意义,如果不是以完全不同的另一方式来揭穿谜底的话,对于这主体也将无异于它所知道的一切其他直观客体的变化,也将是陌生的,不可理解的。要不是(另有方法揭穿谜底)的话,这主体也会看到它自己的行为按已出现的动机而以一种自然规律的恒常性起落,正和其他客体的变化随原因、刺激、动机而起落一般无二。而对于动机的影响,除了[看作]对主体显现的任何其他后果与其原因之间的联系外,这主体也不会有进一步的了解。它会把自己身体的那些表现和行为的内在的、它所不了解的本质也任意叫做一种力、一种属性、或一种特质,但是再没有更深入的见解了。可是实际上,这一切[看法]都是不对的,而应该说这里的谜底已是作为个体而出现的认识的主体所知道的了;这个谜底叫做意志。这,也唯有这,才给了这主体理解自己这现象的那把钥匙,才分别对它揭露和指出了它的本质,它的作为和行动的意义和内在动力。认识的主体既由于它和身体的同一性而出现为个体,所以这身体对于它是以两种方式而存在的:一种是悟性的直观中的表象,作为客体中的一客体,服从这些客体的规律。同时还有一种完全不同的方式,即是每人直接认识到的,意志这个词所指[的那东西]。他的意志的每一真正的活动都立即而不可避免的也是他身体的动作;如果他不同时发觉这意志活动是以身体的动作而表出的,他就不曾是真实地要求这一活动。意志活动和身体的活动不是因果性的韧带联结起来的两个客观地认识到的不同的情况,不在因和果的关系中,却是二而一,是同一事物;只是在两种完全不同的方式下给与的而已:一种是完全直接给与的,一种是在直观中给与悟性的。身体的活动不是别的,只是客体化了的,亦即进入了直观的意志活动。再往后面我们就会明白这一点不仅适用于随动机而起的活动,并且也适用于只是随刺激而起的,非有意的身体活动。适用于每一种身体活动。可以说整个身体不是别的,而是客体化了的,即已成为表象了的意志。这一切都在后文中交代并且有明白[的解释]。我在第一篇和《根据律》那篇论文中,曾按当时有意采取的片面立场(表象的立场)把身体叫做直接客体,这里在另一意义中,我[又]把它叫做意志的客体性。因此,在某种意义上人们也可以说:意志是认识身体的先验认识,身体是认识意志的后验认识。指向将来的意志决断只是理性对于人们行将欲求的[东西] 作考虑,不是本来意义的意志活动。只有实施才在决断上盖上了印记;在此以前,决断总还只是可变的预定,只存在于理性中,抽象中。唯有在反省思维中,欲求和行为才是不同的[两事],在现实中二者只是一[事]。每一真正的、无伪的、直接的意志活动都立即而直接的也就是身体的外现活动。在另一方面与此相应的是对于身体的每一作用也立即而直接的就是对于意志的作用。这种作用,如果和意志相违,就叫作痛苦;如果相契合,则叫做适意,快感。双方的程度,份量都是极不相同的。所以,如果人们把苦乐称为表象,那是完全不对头的。苦乐决不是表象,而是意志的直接感受,在意志的显现中,在身体中。昔乐是身体对所忍受的外来印象,被迫而然的,一瞬间的中意或不中意。可以直接只是当作表象看的,因而要从刚才所讲的除出来的,只有施于身体的某些少数印象。这些印象不激动意志,身体也只是由于这些印象才是认识的直接客体;因为身体作为悟性中的直观就已经是和其他客体一样,是间接客体了。这里所指的是纯粹客观的感性官能的感受,如视觉、听觉、触觉等官能的感受,并且只限于这些器官是以其特有的,专擅的,与其本性符合的方式而有所感受的范围内,只在这时,那些感受才是对于这些器官的提高了的,专门化了的感觉力最微弱的刺激,其微弱的程度不足影响意志,不为意志的激动所干扰:而仅仅只是给悟性提供资料,直观就是从这些资料中产生的。对于感性器官任何一种更强烈的或其他种类的感受都是痛苦的,亦即是和意志相反的,所以感性器官也属于意志的客体性之一种。——神经衰弱就在于这些153外来作用原有的强度本仅足以使这些作用成为悟性的材料,现在却达到一种更高的强度,以至激动意志,即产生痛苦或快感,并且多半是痛苦,不过其中一部分是迟钝的模糊的:所以神经衰弱不仅是对于个别声音和强烈光线会有痛感,并且一般也造成病态的易怒善感的精神状态,然而又不是清晰的有所认识。还有些情况也足以表现身体和意志的同一性,其中之一就是意志每一次剧烈的、过度的激动,亦即激情,都绝对直接震撼身体及其内在动力,干扰其生命机能的运行。关于这一点,人们可在《自然界的意志》第二版第27页看到专门的论述。

    最后,我对于自己的意志的认识,虽然是直接的,却是和我对于自己身体的认识分不开的。我不是整个地认识我的意志,我不是把它作为统一的,在本质上完整的认识它,而只是在它个别的活动中认识它,也就是在时间中认识它,而时间又是我的身体这个现象的形式,也是任何客体的形式;因此身体乃是我认识自己意志的条件。准此,没有我的身体,我便不能想象这个意志。在《根据律》那篇论文里,虽然曾把意志或者该说欲求的主体,当作表象或客体的一个特殊类别提出,然而即令是在那里,我们也已经看到这个客体和主体落到一处而合一了,即是说已不再是客体了。在那里我们把这种合一叫作最高意义上的奇迹。在某种限度内,本篇的文字整个儿的就是这个奇迹的解说。——只要我是把自己的意志真当作客体来认识,我就是把它当作身体来认识的;可是,我这就又到了上述那篇论文所提出的第一类表象了,也就是又到了实在客体。我们将在后文中逐渐逐渐更体会到那第一类表象恰好只能在那儿提出的第四类表象中找到它的解释,它的谜底,而第四类表象已不便作为和主体对立的客体看了;将更体会到我们准此就必须从支配第四类表象的动机律来理解支配第一类表象的因果律的内在本质,以及依这条规律而运行的[东西]的内在本质。

    目前初步描述了的意志和身体的同一性,是只能象在这里这样作的加以指实;这里虽是第一次这样作,在后文中还要逐步加强这样作。这里所谓“指实”就是从直接的意识,从具体中的认识提升为理性的知识或转入抽象中的认识。在另一方面,这种同一性,由于其本性、又决不能加以证明的,也就是不能作为从另一个直接认识引伸出来的间接认识;这又正是因为这个同一性本身就是最直接的认识,并且如果我们不把它当作这样的认识来理解它,牢固地掌握它,那么我们就会徒劳地等待怎样间接地把它当作引伸出来的认识而再掌握它。它完全是一种特别的认识,因此它的真实性也不能纳入我在《根据律》那篇论文§29中及其后各节对于一切真理所作的四种区分中,亦即不能归类于逻辑的,经验的、形而上的和超逻辑的四种真理之中。原来它和所有这些真理都不同,它既不是一个抽象表象对另一表象的关系,也不是一个抽象表象对直观的表象作用或抽象的表象作用必需的形式的关系,而 是指一个对关系的判断,这种关系乃是一个直观表象,即身体对一个根本不是表象,与表象在种类上不同的东西、即意志的关系。因此,我想使这种真理突出于其他一切真理之上,把它叫作最高意义上的哲学真理。人们可以用各种不同的方式来表达这一真理,可以说:我的身体和我的意志是同一事物;或者说:我把它当作直观表象而称之为我的身体的东西,只要它是在一种完全不同的,没有其他可以比拟的方式下为我所意识,我就称之为我的意志;或者说:我的身体是我的意志的客体性;或者说:如果把我的身体是我的表象[这一面] 置之不论,那么,我的身体就只还是我的意志;如此等等。

    当我们在第一篇里,把自己的身体和这直观世界的其他一切客体一样,都说成只是认识着的主体的表象时,[曾不免] 有内心的争执;可是现在我们明白了在每人的意识中是什么东西把自己身体的表象,和其他的在别的方面仍与之相同的一切表象区别开来。这区别就在于身体还在完全另一个在种类上不同的方式中出现于意识,这个方式人们就用意志这个词来标志。并且正是我们对于自己身体所有的这一双重认识给我们指出了理解身体本身,身体随动机而有的作用和运动,以及身体对外来作用所受的影响[等等] 的钥匙;一句话,给了我们理解身体在不作为表象时,而是在表象以外,它自在的本身是什么的钥匙。这不是我们对于一切其他实在客体的本质、作用和所受的影响直接能有的理解。

    认识着的主体正是由于这一特殊的关系对这么一个身体的关系而是个体。[当然,] 如不在这特殊关系中看,身体对于认识着的主体也只是一个表象,无异于其他一切表象。可是认识着的主体借以成为个体的这个关系就正是因此而只在每个主体和其所有一切表象中的唯一的一个表象之间了,所以主体对于这唯一的表象就不仅是把它作为表象,而是同时在完全另一方式中意识着它,也就是把它作为意志而意识着它。然而,如果这主体脱离了这个特殊关系,脱离了对唯一的[与自己] 同一的东西所有的两种完全不同的双重认识,那么,这唯一的东西,身体,仍然是一个表象,无异于其他表象,那么,为了在这方面找到一个头绪,认识着的个体要么是必须假定这唯一的表象所以与众不同,仅在于只是对这一表象他的认识才有这样的双重关系,只在这一个直观客体中他同时具有以两种方式来理解的可能,然而这[可]不是以这个客体和其他一切客体之间的区别来解释的,而是以他的认识对这一客体的关系不同于他对一切其他客体的关系来解释的。要么是必须假定这唯一的客体在本质上不同于其他一切客体,在一切客体中唯独它同时是意志和表象,而其余的则相反,仅仅只是表象,也就只是些幻象;所以他的身体是世界上唯一真实的个体,亦即是唯一的意志现象和主体的唯一直接客体。——至于其他客体仅仅作为表象看,是和他的身体相同的,亦即和身体一样充塞空间(只是本身作为表象才可能有的[空间]),在空间中起作用。这固然是可以从对于表象[有] 先验妥当[性]的因果律得到确实证明的,而因果律是不容许一个没有原因的后果的,可是如果撇开从后果根本只许推论到一个原因而不是推论到一个相同的原因这一点不谈,那么人们以此就总还是在单纯的表象范围之内,而因果律就单是对表象有效的,过此它决不能越雷池一步。至于在个体看来只是作为表象而认识的诸客体是否也和他自己的身体一样,是一个意志的诸现象,这一点,如在前一篇已经说过的,就是外在世界的真实性这问题的本来意义。否认这一点就是理论上的自我主义的旨趣。这种自我主义正是由此而把自己个体以外所有的现象都当作幻象,犹如实践上的自我主义在实践的方面做着完全相同的事一样,即是只把自己本人真当作人,而把其余一切人都看作幻象,只当作幻象对待。理论的自我主义固然是用推证再也驳不倒的,不过它在哲学上决不是除了作为怀疑诡辩外,亦即除了带来假象外还有什么可靠的用处。但是作为严肃的信念,那就只能在疯人院里找到这种理论上的自我主义;而作为这样的信念,人们要做的与其是用推论的证明来驳斥它,倒不如用一个疗程来对付它。既然如此,我们就不再在它身上纠缠下去,而只把它看作永远要争论的怀疑论的最后一个堡垒就得了。我们的认识永远是束缚在个体性上的,并且也正是因此而有其局限性。真正说起来,正是这局限性才产生了我们对于哲学的需要。如果我们这种认识必然带来的后果是每人只能是“一”却能认识其他一切,那么,我们,正是因此而努力以哲学来扩大知识领域的我们.就157会把在这里和我们作对的,理论的自我主义[所提出] 的那个怀疑论点当作一个小小的边防堡垒看待;尽管永远攻它不下,好在它的守备人员也绝对冲不出来,因此人们大可以放心走过去,把它留在后方并没有危险。

    准此,我们以后就要把现在既已弄明白了的认识,亦即我们对于自己身体的本质和作用所有的双重认识,在两种完全不同的方式下所得到的认识,当作一把钥匙使用,以便探讨自然中任何一现象的本质:并且所有一切客体并不是我们自己的身体,从而在我们的意识中也不是在双重方式下知道的,而只是单纯表象,那些客体也要按前面所说身体的类似性来判断;所以要假定这些客体一方面完全和身体一样,也是表象,以此和身体为同类;另一方面,如果人们把它们的实际存在原是主体的表象这一面放在一边,那么,还剩下的那[一面],就其本质说,就必须和我们在自己身上叫做意志的东西是同一回事了。原来,我们还能以什么另一种的实际存在或实在性附置于其余的物体世界之旁吗?到哪里去找我们构成这样一个世界的因素呢?除了意志和表象之外,根本没有什么我们[能]知道,能思议的东西了。这个物体世界直接只存在于我们的表象中,如果我们要把我们所知道的一种最大的实在性附置于这个物体世界之旁,那么我们就给它每人自己身体所有的那种实在性,因为身体对于任何一个人都是最实在的东西。但是如果我们分析这个身体的实在性和它的活动,那么,除了它是我们的表象外,我们在身体中所碰到的就只有意志了。除此而外,身体的实在性也就以此告罄了。因此,我们再没有什么地方还可找到别样儿的实在性来附置于物体世界了。如果说物体世界除了只是我们的表象以外,还应是什么,那么,我们就必须说,它除了是表象而外,也就是在它自在的本身,在它最内在的本质上,又是我们在自己身上直接发现为意志的东西。我说“在它最内在的本质上”,那么我们首先就得进一步认识意志的这个本质,以便我们知道如何区分意志和不属于意志自身而已是属于它那些级别繁多的现象的东西。例如有“认识”相随伴和以此认识为条件而被动机所决定[这情况] 就是这类东西。我们在后文中就会看清楚这些东西并不属于意志的本质,而只是属于意志作为动物或人那些鲜明的现象。因此,我如果说促使石子降落到地面上来的力,就其本质说,在它自在的本身上,在一切表象之外,也是意志,人们就不会对这句话有这种怪诞的想法,说这石子也是按照一个认识了的动机而运动的,因为在人[身上] 意志是这样显现的。——可是从现在起,我们就要更详尽地,更明晰地证实前此初步地,一般地阐述过的东西,井指出其根据而加以充分的发挥。

    如上所说,意志,作为[人] 自己的身体的本质自身,作为这身体除了是直观的客体,除了是表象之外的东西,首先就在这身体的有意的运动中把它自己透露出来,只要这些运动不是别的而是个别意志活动的“可见性”。这“可见性”和意志活动是直接而完全同时发起的,和意志活动是同一回事;只是由于这“可见性”转入了“认识”的形式,亦即成为表象,才和意志活动有区别。

    可是意志的这些活动还永远有一个自身以外的根据,在动机中的根据。不过动机所规定的决不超出我此时,此地,在此情况丁欲求什么;既不规定我根本有欲求,也不规定我根本欲求什么,亦即不规定那些标志着我整个欲求的特征的行为规范。因此,我的欲求并不是在其全部本质上都可以以动机来说明的,动机只是在时间的某一点上规定这欲求的表出,只是促成我的意志把它自己表出的一个契机。意志本身则相反,它是在动机律的范围以外的,只有它在时间的任何一点上的显现才必然是动机律所规定的。唯有在假定我的验知性格之后,动机才是说明我们行为的一个充分根据。如果把我的性格撇开,然后来问我为什么要这而不要那,那就不可能有一个答复,因为服从根据律的只是意志的现象,而不是意志本身;在这种意义上说,意志就要算是无根据的了。关于这一点,一部分以康德关于验知性格和悟知性格的学说和我自己在《伦理学基本问题》(第一版第48—58页,又见第178页等,第二版第46—53页,又见第174页等)中的说明为前提,一部分则将在[本书]第四篇详细讨论。目前我只须唤起注意,一个现象以另一现象为根据这事实,在这里也就是行为以动机为根据的事实,并不和现象的自在本质便是意志[这事实]相背驰。意志本身并无根据,因为根据律无论在哪一形态中都只是认识的形式,也就是根据律的效用只及于表象,现象[或]意志的“可见性”,而不及于意志本身,意志本身[是不可见的,是后来才] 成为可见的。

    既然我身体的每一活动都是一个意志活动的现象,而我的意志本身,亦即我的性格,又在一定的动机之下根本整个的自行表出于这意志活动中,那么,每一活动的不可少的条件和前提也必然就是意志的显现了;因为意志的显现不能有赖于什么不是直接地,不是单由意志[发动的] 东西,也就是不能有赖于对意志只是偶然的东西。如果有赖于偶然的东西,意志的显现自身也就只能是偶然的了:然则上述的条件也就正是整个身体本身了。所以这身体本身必然已是意志的现象,并且这身体对于我的整个的意志,亦即对于我的悟知性格——我的“悟知性格”表现于时间即我的验知性格——必须和身体的个别活动对于意志的个别活动为同一样的关系。所以,只要身体是直观客体,是第一类表象,整个身体就必然是我的,已成为可见了的意志,必然是我的可见的意志本身,而不能是别的什么。——作为这一点的证明是前文所已说过的[事实],亦即我的身体每次受到外来的作用,这个作用也立刻而直接地激动我的意志,在这意义上这就叫做痛苦或快适,或程度轻微些就叫做适意的或不适意的感觉;并且反过来也是一样,意志的每一剧烈激动,也就是感动和激情,都震撼着身体,阻挠身体机能的运行。——尽管事因学能够对于我身体的发生作出一点很不完善的说明,对于我身体的发育和保存作出更好的说明,而这种说明也就正是生理学;可是生理学恰好也只是和动机说明行为那样的来说明它的题材。因此,正和以动机和由动机产生的必然后果作为个别行为的根据并不因此就和行为在根本上及其本质上只是一个本身并无根据的意志的现象[这种说明]相刺谬一样;生理学对身体机能的说明也同样无损于这一哲学的真理,即是说这身体全部的实际存在以及其整个系列的机能也只是那意志的客体化,而这意志是在它身体的外在活动中按动机的尺度而显现的。生理学虽然甚至也企图把这些外在活动,直接的、有意的运动归结到有机体中的一些原因,譬如以各种液体的集聚于一处来说明肌肉的运动(雷尔在《生理学资料丛书》第六卷第153页说:“有如潮湿了的绳子要缩短似的”),可是即令人们真正彻底作出这种说明,也决不会取消这一直接确切的真理,[无碍于]说每61一有意的运动(动物的机能)都是一个意志活动的现象。同样,生理学对于繁殖成长着的生命(自然的机能、生命的机能)的说明,尽管如何发展,也不能取消这整个的,如此发展着的动物生命本身就是意志的现象这一真理。如上所述,任何事因学的说明除了指出个别现象在时间、空间中必然被规定的地位,指出现象在这儿必然出现的固定规则而外,决不再指出什么[东西];另一面,在这种途径上,任何现象的内在本质总是无法探究的,事因学的说明只有假定这种本质[的存在]而仅仅是以“力”、“自然律”这类名称来标志它,而如果所说的是行为,就用性格、意志这类名称来标志它。所以尽管每一个别的行为,假定性格是固定的,必然要随已出现的动机而发起;尽管[动物的] 成长、营养过程和动物身体内的全部变化部按必然地起作用的原因(刺激)而进行;然而这整个系列的行为,从而每一个别的行为,并且还有行为的条件,执行这些行为的整个身体本身,从而还有身体存在于其中,由之而存在的过程[等等],这些都不是别的,而只是意志的现象,是意志的成为可见,是意志的客体化。这就是人和动物的身体所以根本和人与动物的意志完全相适应的理由,正和故意制造的工具与制造者的意志相适应一样,不过更远远的超过这种相适应的[关系] 罢了。因此,这种相适应就显现为目的性,亦即用目的论来说明身体的可能性。因此,身体的各部分必须完全和意志所由宣泄的各主要欲望相契合,必须是欲望的可见的表出:牙齿、食道、肠的输送就是客体化了的饥饿;生殖器就是客体化了的性欲;至于攫取物的手和跑得快的腿所契合的已经是意志的比较间接的要求了,手和脚就是这些要求的表出。如同人的一般体形契合于人的一般意志一样,同样,个人的身体也契合个别形成的意志,各个人的性格。因此,人的身体,无论是就全体说或是就所有各个部分说,都有个别的特征,都富有表现力。很可注意的是在亚里士多德所引(《形而上学》111。5)巴门尼德斯的一段诗句中就已道出了这种思想,诗是这样写的:

    “如同每人有屈伸自如的肢体结构,

    与此相应,在人们中也住着心灵;

    因为精神和人的自然肢体

    对于一切人都相同,因为在这以上

    有决定性的还是智慧。”

    谁要是现在由于所有这一切考察也在抽象中,从而是明晰地,妥当地,获得了每人在具体中直接具备的认识;也就是作为感到的认识,从而认识到他自己的现象的本质就是他自己的意志,而他自己的现象既是由于他的行为,又是由于这行为的不变底本,他的身体,作为表象而对他展示出来的,认识到意志构成他意识中最直接的[东西],但作为这种最直接的东西,它并没有完全进入表象的形式,——在表象的形式中,客体和主体是对峙的———而是在一种直接的方式中——在此方式中人们不十分清楚地区别主体客体——把自己透露出来的;并且也不是整个的透露出来的,而仅仅只是在其个别活动中使个体本身得以认识它而已;——我说,谁要是和我一同获得了这个信念,那么,这个信念就会自动的成为他认识整个自然的最内在本质的钥匙,因为他现在可以把这信念也转用到所有那些现象上去了。[当然,]那些现象不同于他自己的现象,不是在间接的认识之外,又在直接的认识中被知的,而仅仅是在间接的认识中,亦即片面地作为表象而被知的。他不仅将在和自己的现象类似的那些现象中,在人和动物中,把那同一个意志认为它们最内在的本质;而且继续不断的反省思维还将引导他也把在植物中茁芽成长的力,结晶体所由形成的力,使磁针指向北极的力,从不同金属的接触中产生的震动传达于他的力,在物质的亲和作用中现为趋避分合的力,最后还有在一切物质中起强大作用的重力,把石子向地球吸引,把地球向太阳吸引的力,——把这一切一切只在现象上认为各不相同,而在其内在本质上则认作同一的东西,认作直接地,如此亲密地,比一切其他[事物] 认识得更充分的东西,而这东西在其表现得最鲜明的地方就叫作意志。唯有这样运用反省思维才使我们不致再停留于现象,才使我们越过现象直达自在之物。现象就叫作表象,再不是别的什么。一切表象,不管是哪一类,一切客体,都是现象。唯有意志是自在之物。作为意志,它就决不是表象,而是在种类上不同于表象的。它是一切表象,一切客体和现象,可见性,客体性之所以出。它是个别[事物]的,同样也是整体[大全]的最内在的东西,内核。它显现于每一盲目地起作用的自然力之中。它也显现于人类经过考虑的行动之中。而这两者的巨大差别却只是对显现的程度说的,不是对“显现者”的本质说的。

    这个自在之物(我们将保留康德这一术语作为一个固定的公式)既已作为自在之物,便决不再是客体,因为一切客体已经又是它的现象而不是它自己了。但是在需要客观地来设想它的时候,它就必须从一个客体,从一个只要是客观地已知的什么,从而即是从它自己的一个现象借用名称和概念。不过为了合于作共同理解的支点之用。这个现象就不能是别的,而只能是它所有一切现象中最完善的,亦即是最鲜明,最发达的,直接为认识所照明了的一个现象。而这就正是人的意志。人们也很可以指出我们在这里当然只是用了从优命名法,由此,意志这个概念就获得了比它前此所有的更为广泛的范围了。在不同的现象中认出同一的东西,在相似的现象中认出差别,如柏拉图屡次说过的,这就正是搞哲学的条件。可是直到现在,人们还没认识到自然界中任何一种挣扎着的,起作用的力和意志的同一性,因此也就没有把那些复杂的现象看作只是一个属的不同的种,而是看作完全不同属,不同类的[东西],所以也没有一个字眼来标志这个属的概念。因此,我就按最优先的种来称呼这个属,而对于这个种的直接的,近在眼前的认识又导致对其他一切[种]的间接知识。但是对于[意志] 这概念,这里是要求把这概念扩大,谁要是不能做到这一点而对于意志这个词仍然要把它理解为自来单是用这一词来标志的一个种,理解为由认识指导而专按动机,甚至是只按抽象动机——也就是在理性的指导之下——而自行表出的意志,那么,他就会自陷于无止境的误会中;[因为理性指导下的]这种意志,已如上述,只是意志最鲜明的一个现象而已。我们必须在思想中把我们对于这一现象直接认识到的最内在本质纯净地提出来,然后把它转用于同一个本质所有一切较微弱、较模糊的现象,这样我们就满足了扩大意志这概念的要求。——站在与此相反的方面,如果有人认为用意志这个字眼或是用任何其他字眼来标志一切现象的本质自身究竟是一样的,那他就要误会我了。如果说那自在之物是这么个东西,我们只是从推论得出其存在,我们只是间接而在抽象中认识它;那倒是和上述这种情况相符,人们诚然可以随便叫它什么;而名称就不过是一个未知数的符号罢了。可是意志这个词儿,好象一道符咒似的要为我们揭露自然界中任何事物的最内在本质,那就不是标志着一个未知数,不是指一个由推理得来的什么,而是标志着我们直接认识的[东西],并且是我们如此熟悉的东西;我们知道并懂得意志是什么,比了解其他任何别的东西更清楚,不管那是什么东西。过去人们总是把意志这概念腹括在力这概念之下,我则恰好反其道而行之,要把自然界中每一种力设想为意志。人们不可认为这是字面上的争论,也不可认为这是无所谓,可以漠不关心的[事情],却更应该说这是有头等意义和重要性的[事情]。原来力这个概念,和其他一切概念一样,最后是以客观世界的直观认识,即现象,亦即表象为根据的,力的概念也就是从这里产生的。它是从因与果支配着的领域内提出来的,所以也是从直观表象中提出来的,从而正是意味着原因之为原因,[也就是] 在这原因之为原因不能在事因学上再有进一步的说明反而正是一切事因学的说明不可少的前题这一点上,它意味着原因之为原因。与此相反,在一切可能的概念中,意志这概念是唯一的一个不在现象中,不在单纯直观表象中而有其根源的概念,它来自内心,出自每人最直接的意识。在这意识中,每人直接地,没有一切形式,甚至没有主体和客体的形式,就在本质上认识到他自己的个体,认识到他同时也就是这个体;因为在这里认识者和被认识者完全合而为一了。因此,如果我们把力这概念归结为意志这概念,那么,我们在事实上就是把较不知的还原为不能更熟悉的,还原为真正直接,完全的已知,并大大地扩大了我们的认识。如果相反,我们仍和过去一样把意志这概念赅括在力这概念之下,那么,我们就剥夺了自己唯一的直接认识,——而这是我们对于世界内在本质所有的认识……,因为我们让这种认识消失于一个从现象抽出来的概念之中了,因此我们也决不能以此概念超出现象之外。

    意志作为自在之物是完全不同于它的现象的,是完全不具现象的一切形式的。只有在意志出现为现象时,它才进入这些形式;所以形式只和它的客体性有关,对于它自己本身则是不相干的。一切表象的最普遍的形式,客体对于主体这一形式就已经和它无关;至于次于这一级的,一切那些在根据律中有其共同表现的形式,那就更加不与它相干了。属于这些次一级的形式的,如众所周知,还有时间和空间,以及唯有由于时间、空间而存在而成为可能的杂多性。就最后这一点说,我将借用古经院哲学的一个术语,把时间和空间叫做个体化原理,这是我要请求读者一劳永逸把它记住的。原来唯有时间和空间才是本质上,概念上既相同而又是一的[东西] 毕竟要借以显现为差别,为杂多性,为互相并列,互相继起的东西。所以时间和空间是“个体化原理”,是经院学派伤透脑筋和争论不休的对象。苏阿内兹搜集了这些材料(《争辩集》第五节,第三分段),可以参阅。由上所说,意志作为自在之物是在具有各种形态的根据律的范围之外的,从而就简直是无根据的;虽然它的每一现象仍然是绝对服从根据律的。并且,在时间、空间中,它那些现象虽不可数计,它却独立于一切杂多性之外.它本身是单一的一,但又不同于一个客体之为一。客体的单位性只是在和可能的杂多性的对比上认出来的。[意志的一]还不同于一个概念之为一,那只是从杂多性的抽象产生的,它[,意志,不是这样的一,而]是在时间、空间、个体化原理以外的,即多的可能性之外的一。只有由于下文考察各种现象和意志的不同表现而完全明白了这里所说的一切之后,我们才能完全体会到康德学说的旨趣。[才懂得] 时间、空间和因果性不与自在之物相于,而只是认识的形式。

    在意志作为人的意志而把自己表现得最清楚的时候,人们也就真正认识了意志的无根据,并已把人的意志称为自由的、独立[无所待]的。可是同时,人们就在意志本身的无根据上又忽视了意志的现象随处要服从的必然性,又把行为也说成是自由的。[其实] 行为并不是自由的,因为从动机对于性格的作用中产生出来的每一个别行为都是以严格的必然性而发起的。一切必然性,如前所说,都是后果对原因的关系,并且绝对不再是别的什么。根据律是一切现象的普遍形式,而入在其行动中也必然和其他任何一现象一样要服从根据律。不过因为意志是在自我意识中直接地,在它本身上被认识的,所以在这[自我] 意识中也有对于自由的意识。可是这就忽视了个体的人,人格的人并不是自在之物的意志,而已经是意志的现象了,作为现象就已被决定而进入现象的形式,进入根据律了。这就是一件怪事的来源,[其所以怪的是] 每人都先验地以为自己是完全自由的,在其个别行为中也自由;并且认为自己能在任何瞬间开始另外一种生涯,也就是说变为另外一个人。但是通过经验,后验地,他又惊异地发现自己并不自由,而是服从必然性的,发现他自己尽管有许多预定计划和反复的思考,可是他的行径并没改变;他必须从有生之初到生命的未日始终扮演他自己不愿担任的角色,同样的也必须把自己负责的[那部分]剧情演出直到剧终。这里我不能再继续这个考察,作为一个伦理学的问题这个考察属于本书的另外一篇。目前,我在这里只想指出本身并无根据的意志,它的现象作为现象说,还是服从必然规律的,也是服从根据律的;以便我们要在自然现象中识别意志的表出时,不在这些现象借以出现的必然性上感到别扭。

    在此以前人们只把某些变化,除开一个动机外,亦即除开一个表象外,就没有其他根据的变化看作意志的现象;因此,在自然界中,人们仅仅只认人类有意志,最多还承认动物也有意志,因为认识作用,表象作用,如我在别的地方已提到过的,当然要算作动物界真正的、专有的特征。但是在没有任何认识指导它的地方,意志也起作用;这是我们在动物的本能和天生的技巧上最容易看得出来的。这里根本谈不上它们也有表象、认识,因为它们就是这么一直向前奔赴这种目的的,如果说这目的就是它们认识了的一个动机,那是它们完全不明白的。因此它们的行为在这里是无动机而发生的,是没有表象的指导的,并且是领先最清楚地给我们指出了意志如何没有任何认识也还有活动。才一岁的鸟儿并没有蛋的表象,[可是] 它为那些蛋而筑巢;年幼的蜘蛛没有俘获品的表象,[可是] 它为这些俘获品而结网;在它第一次挖坑以伺蚂蚁的时候,食蚁虫也没有蚂蚁的表象。鹿角虫的蛹在树木里打洞,以为自己蜕变期的居留所留余地,就是不管自己将来变成雄虫还是雌虫,它总是把洞子打得比自己[长成时的身体] 大一倍;这样,如果它变成雄的,那就给他的两只角留下余地了,而它并没有什么角的表象。在这些动物如此这般的行为和它们的其他行为中,当然有意志的活动在,是显然的,不过意志是在盲目的行动中;这种行动虽有认识相随伴,但不是由认识指导的。如果我们已经一度获得了表象和动机并非意志活动的必要的与本质的条件这一见解,那么,我们就会更容易在比较不显著的一些场合也能识别意志的作用。例如蜗牛[背负着] 的“住宅”,就不能归之于一个与蜗牛不相干的,然而是由认识来指导的意志;这就犹如[不能说] 我们自己盖的住宅是由于别人的,而不是我们自己的意志才169竖立起来的;相反,我们会把这两种住宅都认为是在这两个现象中把自己客体化的意志的产品。这意志在我们[人] 是按动机而起作用的,而在蜗牛,却还是盲目的,是作为指向外界的营造冲动而起作用的。就在我们[人],这同一意志在好多方面也是盲目地在起作用,在我们身体中的,没有认识指导的一切机能中,在一切生机的,成长的过程中[都是如此],[如] 消化作用、血液循环、分泌、成长、再生作用[等等]。不仅是身体的活动,就是整个身体全部,如前已证实过的,都是意志的现象,都是客体化了的意志,具体的意志。因此,凡是在身体内进行的一切,就必然是通过意志而进行的,虽然这里意志不是由认识指导的,不是按动机而决定的;而是盲目地起作用,[只是] 按原因[起作用],而在这种场合的原因就叫作刺激。

    我把物质的某一状态称为原因,本来是就最狭义的原因说的,即是说这个状态在它必然引起另一状态时,它自己也经受同样大的一个变化,和由它所引起的变化一样大;而这就是“作用与反作用相等”这定律所表示的。再进一步就所谓真正的原因说,后果和原因的增长成准确的正比,并且反作用也是这样;所以,一旦知道了这一作用的方式,那么后果的强度就可从原因的强度测知并计算出来,相反亦然。这种所谓原因是在力学、化学等等的一切现象中起作用的,简言之,就是在无机体的一切变化中起作用的。与此相反,我又以刺激称呼某种原因,这种原因自己不经受与其作用相当的反作用,并且它的强度也不和后果的强度成比例,所以后果的强度也不能从原因的强度测量出来,反而是在刺激方面极小量的加强可以在后果方面促起很显著的加强,也可以反过来把早先的那个作用完全取消,如此等等。属于这一类的是对于有:机体的所有一切作用;所以动物身体中一切真正有机的变化和生物生长的变化都是在刺激之下而不是在单纯的原因之下发生的,不过刺激根本和任何原因一样,——动机也正是如此——除了决定任何力的表出在进入时间空间时的那一瞬,那一点之外,断不决定其他,不决定自行表出的力的内在本质。这种内在的本质,根据我们前面的引伸,就是我们认作意志的东西,所以我们把身体内意识的和无意识的变化一概都归之于意志。刺激则居间成为[一方面是] 动机——那是通过认识作用而来的因果性——[一方面是] 最狭义的原因,两者间的桥梁。在个别情况,刺激时而更近于动机一些,时而又更近于原因一些,不过在[近] 此[近彼之] 际,总还是可以从两者区别开来的。例如植物中各种汁液的上升就是在刺激之下进行的,而不是由原因,不是由水力定律,也不是由毛细管定律来解释的,不过这种上升仍然是受到这些[作用]的支持的,并且根本已很近于纯原因的变化了。与此相反,向日葵和含羞草的动作虽然还是随刺激而起的,但已很近于随动机而起的动作了,并且几乎象是要成为[过渡到动机的] 桥头了。光线加强时的瞳孔缩小是在刺激之下进行的,但是,如果因为太强的光线使视网膜有了痛感,而我们为了避免痛感而缩小瞳孔时,那就已是向动机的行动过渡了。——生殖器勃起的导因是一个动机,因为这导因本是一个表象;可是这导因仍然是以刺激所有的那种必然性在起作用,这即是说这种导因是不可抗的,而是要使它不发生作用就必须去掉它。那些使人心噁欲呕的污秽事物也有同样的情况。就在前面,我们已把动物的本能看作刺激之下的动作和按认识了的动机而[发生] 的行为两者间的一个真正中间环节。人们也可被诱致还把呼吸也看成这一类的又一中间环节。原来人们已经争论过呼吸是属于有意的还是无意的动作[这问题],也即是争论呼吸究竟是在动机之下还是在刺激之下产生的;因此,呼吸也许可以解释为两者间的中介物。马歇尔·霍尔(《神经系统疾病论》第293节及其下文)把呼吸解释为一种混合机能,因为呼吸一面受大脑神经[有意的]的支配,一面又受脊椎神经[无意的]的支配。在这些说法中,我们毕竟还是必须把它算作动机下产生的意志表现,因为其他的动机,也就是单纯表象,也能够促使意志去阻止或加速呼吸,并且呼吸和其他任何有意的行为一样,也容或有使之完全停顿而自愿窒息的可能性。事实上,人们也能这样作,只要有某种别的动机如此有力地决定意志,以致这动机压倒了吸入空气的迫切需要。根据有些人[的说法],狄奥琴尼斯就真是采取这种方式来结束他自己的生命的(《希腊哲学家传记》)v1,76)。有人说黑人也曾这样作过(阿西安德尔《论自杀))1813年版,第170—180页)。在这种事实上我们也许有了一个关于抽象动机的影响的显明例子,这种影响也就是真正从理性产生的欲求对单纯动物性的欲求的压倒优势。有一事实确实说明呼吸至少是部分地受制于大脑的活动,即氰酸所以毒死人,第一步是麻痹脑部,然后间接妨碍到呼吸,但是如果用人工呼吸不使[人] 气绝,到脑部的麻醉性过去了,则并不发生死亡。同时,在这里呼吸还给了我们一个最明显的例子,即动机和刺激与狭义的原因一样,也是以同等的必然性起作用的,也只能由相反的动机才能使它失去作用,犹如压力之由反压力失去作用一样,因为呼吸和其他在动机之下产生的活动相比,容或予以停顿的可能性要小得多;[这又是] 因为在呼吸这种场合,动机是很迫促的,很接近的,而动机的实现,由于执行的肌肉不知有疲倦又是很容易的,[所以] 一般是没有阻碍的,并且整个的还是由个人最悠久的习惯所支持的。然而一切动机本来都是以同一样的必然性而起作用的。认识了必然性是动机之下的活动和刺激之下的活动所共有的,就会使我们易于理解有机体中因刺激而完全有规律地运行的东西,在其内在本质上仍然还是意志。意志自身虽然决不服从根据律,但是意志的一切现象是服从根据律的,即是服从必然性的。因此,我们将不就此止步,只认动物——就它们的行为又就它们整个的实际存在说——形体和组织为意志现象,而且要把我们对于事物的本质自身所具有的唯一直接认识转用于植物。植物所有的活动都是因刺激而发生的,只因缺少认识,缺少在动机之下被认识决定的活动,才构成动物和植物之间的本质的区别。所以,凡在表象上作为植物,作为单纯的成长,作为盲目的冲动力而显现的东西,我们都将按其本质自身而认定它为意志,并把它看作正是构成我们自己的现象的基础的东西;因为这基础是在我们行为中,在我们身体本身的整个实际存在中把它自己表现出来的。

    这就只剩下最后要走的一步了,我们还要把我们的考察方式扩充到自然界中所有按普遍不变的规律而起作用的那些力上去。所有一切的物体,完全没有器官,对于刺激没有感应,对于动机没有认识的物体,它们的运动都必须遵守这些不变的规律。所以我们必须拿理解事物本质自身的钥匙——这是只有直接认识我们的本质才能获得的——来了解无机世界的现象,这也就是一切现象中离我们最远的现象。如果我们以研究的眼光观察这些现象,当我们看到水以强大的不可阻拦的冲力流入深渊;磁针总是固执地指向北极;铁[屑]有向磁铁飞[集] 的热情;电的两极激烈地要求再结合,并且和人的愿望相类似,激烈的程度是随阻碍的增加而增173加的;当我们看到结晶体是那么迅速而突然的形成,它们在结构上又是那么合乎规律,[而] 这个结构显然只是完全固定,精确规定的指向不同方向的努力被僵化作用捉住而冻结了;当我们看到那些物体由于[从固体到] 液体状态而解除了僵硬的羁绊,获得了自由时借以互相趋避离合的选择作用;最后当我们完全直接地感到我们身上负载的东西以其趋赴地球的努力妨碍着我们[挺直] 身体,顺着它唯一的趋向毫不放松地对这身体施加压力;——[当我们看到这一切时,] 那就无须我们的想象力费多大的劲,即令有这么大的距离,还是可以识出我们自己的本质,也就是在我们[人]。它是在认识的照明之下追求它的目的,而在这里[在大自然]是在它最微弱的现象中盲目地,朦胧地、片面地、不变地向前奔的东西。正因为它随便在哪儿都是一个同一的东西;一一好比晨光曦微和正午的阳光共同有着日光这名字一样,那么在我们和在自然这同一的东西也共同有着意志这个名字;而这个名字就标志着既是世界中每一事物的存在自身,又是每一现象唯一的内核的那东西。

    在无机的自然现象和意志之间,——这意志是作为我们自己本质中内在的东西而被觉知的——,所以发生距离,所以在表面上似乎完全不相同,首先是由于两种现象的对照而来,一种有完全固定的规律性,另一种又有表面上无规则的任意[活动]。原来,在人类,个性的势力极为显著:每人都有他自己独特的性格;所以同一动机也不能对一切人发生同等的力量;并且在个人广泛的知识领域内还有为别人所不得而知的千百种次要情况有其用武之地,还要更动动机的作用。所以单从动机就不得预测行为,因为[我们] 缺乏另外一种因素,亦即我们对于个别的性格和随伴这种性格的知识没有准确的了解。与此相反,那些自然力的现象在这里表现出另外一个极端,它们是按普遍规律而起作用的,没有例外,没有个性;按照公开摆出来的情况服从着准确的预先规定,同一自然力是以完全相同的方式而把自己表出于千万个现象中的。为了把这一点解释清楚,为了指出一个不可分割的意志在它一切不同的现象中,在最微弱的和最显著的现象中的同一性。我们首先必须考察作为自在之物的意志对于现象的关系,也即是作为意志的世界对作为表象的世界的关系,由此将为我们开辟一条最好的途径,以便[我们] 更深入地探讨在这第二篇中所处理的全部题材。

    我们跟伟大的康德学习,已经知道时间、空间、因果性,按其整个规律性和它的所有一切形式上的可能性说,在我们的意识中都是现成已有的,完全无待于客体。客体显现于其中,构成其内容。换句话说,从主体出发和从客体出发一样,人们都能发现时间、空间和因果性;因此人们有同等的权利把它们叫做主体的直观方式,或叫做客体的本性,只要它是客体(即康德所谓现象),也即是表象的话。人们还可以把这些形式看作客体和主体之间一条不可分的界线,所以一切客体必须在这些形式中显现,但是主体无待于显现着的客体,也完全具备这些形式,全面看到这些形式。但是,如果要显现于这些形式中的客体不是空洞的幻象而有一个意义,那么,这些客体就必须有所指,必须是某种东西的表出,而这种东西不再和客体自身一样又是客体、表象,又只是相对的,即仅是对主体而有的东西[等等];而是这东西的存在无待于一个作为其主要条件而和它对峙的东西,无待于这与之对峙的东西的形式;即是说这东西已不是表象,而是一个自在之物。因此,人们至少可以问:那些表象,那些客体,除了它们是表象,是主体的客体,把这撇开不谈,还能是什么吗?如果还能是什么,然则,在这种意义上,它又是什么呢?它那完全不同于表象的那一面是什么呢?自在之物是什么呢?就是——意志,这是我们[对于这些问题] 的答复,不过目前我暂时还不提这个答复。

    且不管自在之物是什么,康德那正确的论断说:时间、空间和因果性[往后我们会要把这些东西认作根据律的一些形态,把恨据律又认作现象的各形式的普遍表现)不是自在之物的规定,而只是自在之物成为表象之后才能附加于它的;即是说[这些东西] 只隶属于现象而不隶属于自在之物本身。原来主体既然从其自身,无待于一切客体就完全认识到时间、空间和因果性,并且能使它们成立;那么,这些东西必然是附加在表象之为表象上的,而不是附加在那尚待成为表象之物上的。这些东西必须是表象成为表象的形式,而不是那接受了这些形式之物[本身] 的属性。这些东西必然是随同主体客体的单纯对立(不是在概念上而是在事实上[的对立])而出现的,从而都只能是认识的根本形式的更细致的规定而已,而这根本形式的普遍规定就是主体客体的那对立本身。于是凡是在现象中,客体中的东西——这又是被时间、空间和因果性所决定的,因为这些东西只有借时间、空间和因果性才能加以表象——,也就是由并列和继起所决定的杂多性,由因果律所决定的变更和持续,以及只有在因果性的前提之下才可表象的物质,最后又还有借助于物质才能表象的一切一切,——这一切一切在本质上整个的都不属于那显现着的,那进入表象的形式的东西,而只是自己附在这形式上的。反过来说,那在现象里面而不为时间、空间和因果性所决定的东西,不能还原为这些,不能以这些来说明的东西,也就正是那显现着的东西,正是自在之物直接自行透露于其中的东西。根据这一点,认识所以为认识而具有的东西,亦即认识的形式,就会获得最完整的认识之可能,即最高度的清楚、明晰和穷究一切的彻底性,但这不是那本身不是表象,不是客体,而是要[先] 进入这些形式之后才可认识的东西,亦即成为表象,客体才可认识的东西所能有的。所以只有完全有赖于被认识[这回事],根本有赖于是表象[这回事]的那个什么,并且作为这个什么(不是有赖于被认识的东西和后来成为表象的东西)也就是一切彼认识的东西无分轩轾所有的,所以也是既可从主体出发又可从客体出发都可发现的东西,——唯有这个什么才能够毫无保留地提供一个足够的,真正彻底不留余蕴的鲜明认识。不过这个什么,除了存在于我们先验意识到的,一切现象的形式中,就不存在于其他什么之中;而所有这些形式又共同地都可作为根据律论,至于根据律那些和直观认识(我们这里唯一关心的就是直观认识)相关的形态就是时间,空间和因果性。完全奠基于[时间、空间、因果性] 这些形态上的是整个的纯粹数学和纯粹先验的自然科学。所以只有在这些科学中[人的] 认识才不发现漆黑[的疑团],碰不到不可根究的东西(无根据的,即意志),碰不到无法再引伸的东西。在这种意义上,如已说过,康德也要在逻辑之外首先,甚至单独把这些知识称为科学。但是在另一面,这些知识告诉我们的除了空洞的关系,除了此一表象对彼一表象的关系之外,就没有什么了;所告诉我们的只是形式,没有任何内容。这些知识所得到的每一内容,填充那些形式的每一现象,都已包含着一些在其全部本质上不完全可认识的东西,不能由于别的东西而可加以根本说明的东西,亦即无根据的东西;而认识就在这一点上立刻丧失了自明的依据,而且把完整的明晰性也牺牲了。这个躲避根究的东西却正是自在之物,是那本质上非表象、非认识的客体的东西;是只有进入那些形式才可认识的东西。形式对于它,最初原是不相于的,它也决不能和形式完全[融合]为一,决不能还原为赤裸裸的形式,而形式既然就是根据律,所以它也就是不能彻底加以追究的了。因此,即令所有的数学把在现象上[叫作]数量、位置、数目的知识,一句话,关于时间、空间关系的详尽知识给了我们,即令各种事因学也完整地给我们指出了那些合乎规律的条件,也就是各现象带着它们所有的规定在出现于时间和空间时所服从的那些条件,但是尽管有这些,却是除了[提到]为什么每一个一定的现象恰好必然出现于此时此地或此地此时之外,却并没教给[我们]什么[其他的东西];这样,我们就绝不能凭借这些深入各物的内在本质,这样就总要留下一些东西,不得冒昧加以解释而又必须假定它们的东西,亦即自然的各种力,事物固定的作用方式,物性,每一现象的特征等,[还有]那不依赖于现象的形式的东西,不依赖于根据律而无根据的,和形式漠不相关但又进入了形式而又按这些规律而出现的东西。这些规律也就正是只规定这个出现,而不规定那出现的东西,只规定现象的“如何”,不规定现象的“什么”,只管形式,不管内容。力学、物理学、化学告诉[我们]一些力按以起作用的规则和规律,这些力有不可透人的力,重力,固体的力,液体的力,凝聚力,弹力,热力,光,化学亲和力,磁力,电力等等,[而所谓规律也就是]这些力在其每次出现于时间和空间时所遵守的规律、规则;不过这些力自身,不管人们是如何装模作样,依然是[些潜伏不明的性能]隐秘属性。因为这正是那自在之物,在它显现时,在它展出为现象时,它自身和现象是完全不同的,虽在其现象中完全服从作为表象形式的根据律,它自身却决不能还原为这些形式,从而也不能在事因学上获得最后的说明,没有彻底根究的可能。在它进入那形式之后,即在它是现象时,它固然是完全可以理解的,但是在它内在的本质上,却并不因这种可理解就有了丝毫的解释。因此,一种认识愈是带有必然性,愈多一些根本不容有别的想法178或表象法的东西,——例如空间的那些关系——,这些关系愈是明晰和充足;就愈少纯粹客观的内容,或者说其中愈少真正的实在性。反过来说,认识中愈多一些必须纯粹偶然来理解的东西,愈多一些作为单是经验上的已知而对我们涌现的东西,则这种认识里就愈多真正客观的东西,实际的东西;不过同时也就更多一些不可解释的东西,即更多一些不能再从别的什么引伸[得来]的东西。

    诚然,一切时代都有错认自己目标的事因学,企图把所有的有机生命还原为化学作用或电的作用;再把一切化学作用,即物性,还原为力学作用(由于原子的形态的作用);再又把力学作用一部分还原为运动的对象,而这就是时间空间为运动的可能性而统一起来,一部分还原为几何学的对象,即空间中的位置(譬如人们——而且他们也是正确的——纯粹以几何的方式求得一个作用的递减与距离的平方成比例或求得杠杆理论,大概也是用这种方式)。最后几何学又可还原为算术,而算术,由于只有一进向,已是根据律最易理解的,最易全面看到的,可以根究到底的一个形态。这里概括地指出的方法有下面这些例证:德谟克利特的原子[论],笛卡儿的漩涡[论],勒萨琦的机械物理学。勒萨琦在接近上世纪末的时候,曾企图机械地以作用与反作用解释化学的亲和力以及引力;关于这一点,在《牛顿的卢克瑞斯》中可以看到更详尽的论述。雷尔以形式和混合作为动物生命的原因也是这种倾向。最后,完全属于这一类的是目前在十九世纪中叶又[旧梦]重温的,由于无知而自以为新创的粗鄙的唯物主义。这种唯物主义,首先在笨拙的否认生命力之后,要从物理的、化学的一些力来解释生命现象,再又认为这些物理化学的力是从物质的、位置的、梦想的原子的形态和运动的机械作用产生的。这就是要把自然界的一切力还原为作用与反作用,而这些就是它的“自在之物”。按这种说法,甚至于光也得是一种幻想的,为此目的而假定的以太的机械震动或根本是波动;这以太在被关涉到时,就擂鼓似的撞击视网膜;于是,譬如是每秒483兆次就是红色,而每秒727兆次就是紫色等等。这样说来,色盲[的人]大概就是那些数不清每秒钟被擂击若干次的人了,难道不是吗?在歌德的色素学说出现五十年后的今天,还有这样粗犷的、机械的、德漠克利特式的、笨拙的、真正块然一物的学说,倒真是合了某些人的胃口,这些人还相信牛顿的光素同质说而不以为耻呢。他们将发现人们对于孩子(对于德谟克利特)可以包涵的,对于成人[现代人]却不能原谅了。这些学说甚至会有一天很不体面的倒台,那时,人人都溜开了,装着他并未在场似的。我们不久还要谈到这种原始自然力互相还原的错误,这里暂以此为止。即令假定这种说法可以行得通,那么,一切一切诚然是得以解释了,追出根由了,最后甚至还原到一个运算公式了;那么,这公式也就是智慧的大殿上最最神圣的东西了,根据律到底幸运地[把人们]引到了这里了。但是现象的一切内容也要消失而只剩下空洞的形式了。那显现着的什么就要还原到它是如何显现的,而这如何就必须也是先验可认识的[东西],从而也就是完全有赖于主体的,从而仅仅是对于主体而有的,从而到底只是幻象,只是表象,始终是表象的形式。要问自在之物,是不可能的。假定这样说得通,那么,按这种说法,整个世界就真是从主体引伸出来的了,并且是在事实上完成了费希特在表面上想用他的乱吹牛来完成的东西。——可是这样是行不通的,在这种方式之下,人们建立的是幻想,是诡辩,是空中楼阁,而不是科学。[不过]把自然中许多复杂的现象还原为个别原始的力,也有成功的:而每次有所成功,也就是一个真正的进步。人们曾把一些初以为是不同的力和不同的物性一个从另一个引出(例如从电引出磁力),并由此而减少了这些力的数目。如果事因学这样认识了,提出了一切原始的自然力,并确立了它们的现象以因果性为线索而出现于时间和空间的规律,以及[这些现象]互相决定其地位的作用方式或规律;那么事因学也就达到目的了。但是,[尽管如此,]总要剩下些原始力,总要留下不可溶解的残渣作为现象的一内容,而这内容是不可还原为现象的形式的,所以也不是按根据律可从别的什么得到解释的。——因为在自然界的每一事物里面,总有些东西是绝对说不上根据的,要解释也是不可能的,是没有原因可求的;这就是每一事物独特的作用方式,也即是它存在的方式,它的本质。事物的每一个别作用虽然都可指出一个原因,由此得出它必须恰好在此时,在此地起作用;但决不能得出它之所以根本有作用和恰好是如此起作用。即令这事物没有其他属性,即令它是日影中的一颗尘埃,那么,那不得而根究的东西至少还是要以重力和不可透入性显示出来的。我说,这不可根究的东西之于尘埃,就等于意志之于人,并且和意志一样,在其本质上是不服从任何解释说明的;是的,这不可根究的东西,它本身和意志就是同一的。对于意志的每一表出,对于此时此地的意志的每一个别活动,[人们]固然得以指出一个动机,并且在个人性格的前提之下,意志还必须随这动机而起作用。然而人之[所以]有这性格,人之[所以] 根本有欲求;在一些动机中[何以] 单是这一动机而不是别的,还有任何一个动机[所以]发动意志等,对于这些[问题],从来就没有一个可以指出的根由。[这,]在人就是他不可根究的,在以动机说明行动时所假定的性格,在无机物体则正是它本质的物性,是它起作用的方式。这种作用方式的表出是由外来影响所引出的,它自身则相反,却不为它以外的什么所决定,所以也是不可解释的。181它的个别现象,它唯一赖以成为可见的那些现象,是服从根据律的,它自身是无根据的。这是经院学派基本上早已正确地认识了的,并已把它叫作实体的形式。(见苏阿内兹《形而上学的辩论》辩论第十五,第一段)以为最经常的、最普遍的和最简单的那些现象就是我们最[能]的理解的[现象],这种说法是一个既巨大而又流行的错误,因为这些现象不过是我们最常见的,我们对于这些现象虽然无知,但已习已为常[而不再求理解]了。[其实]一颗石子往地下掉正和一个动物的运动是同样不可解释的。前已说过,人们曾经以为从最普遍的自然力(例如引力,凝聚力,不可透入性)出发,就可从这些常见的自然力说明不经常而只是在复合的情况下起作用的那些力(例如化学性能,电力,磁力),然后又从这些力来理解有机体和动物的生命,甚至于要由这些力来理解人的认识和意欲。人们默无一言地安于从许多隐秘属性出发,而如何弄明白这些属性则已放弃,因为他们所要的是想在这些属性上面进行建筑,而不是从下面来探讨这些属性。这种做法,如已说过的,是不会成功的。

    撇开这一面不说,这样的建筑物也总是悬空的。那些说明、解释。最后又还原到一个未知[数],而其为未知正无异于出发时的第一个疑问,这有什么用处呢?人们对于那些普遍自然力的内在本质,到底是不是比对一个动物的内在本质理解得多一些呢?彼此不都是一样未经探讨的吗?这两种本质都是不可根究的,因为它们都是无根据的,因为它们都是现象的内容,都是现象的什么,都是不能还原为现象的形式,现象的如何的,都不能还原为根据律。可是我们呢,我们的目的并不在事因学而是在哲学,即是说不在对世界的相对认识而在对世界的绝对认识,[所以]我们是走的一条方向相反的路,即是从我们直接的,认识得最完整的,绝对熟悉的,最接近的东西出发,以求了解那离我们较远的,片面地间接地知道的东西;我们要从最强烈、最显著、最清晰的现象出发,以求了解那些较不完备的,较微弱的现象。除了我自己的身体以外,我对一切事物所知道的只是一面,表象的一面;而其内在的本质,即令我认识其变化所从出的一切原因,对于我依然是不得其门而入的,是一个深藏的秘密。只有比较一下当动机推动我而我的身体发出一个动作时在我自己里面所发生的东西,比较一下那是我自己的,被外在根据所决定的变化之内在本质的东西,我才能对无机体如何随原因而变化的方式获得理解,这样才能体会它的内在本质是什么;而对于这本质所以显现的原因的知识,则只能示我以其进入时间空间的规律而已,此外再没什么别的。我之所以能作这样的比较,那是因为我的身体乃是那唯一的客体,即我不但认识其一面,表象的一面,而且还认识其第二面,叫做意志的那一面的客体。所以我不应相信:如果我能把自己的有机体,然后把我的认识,我的意欲和我的由动机而产生的行动还原为由原因产生的动作;为由电力、化学作用、机械作用产生的动作,我就会对于自己的认识,意欲等理解得更为透彻;而是只要我所求的是哲学而不是事因学,就必须反过来首先从我们自己的由动机而产生的行为,学会在本质上理解无机物体那些最简单的、最寻常的、我所看到随原因而起的运动,而把表出于自然界一切物体中那些不可根究的力,在种类上认作与那在我里面作为意志的东西是同一的,不过在程度上与此有别而已。这就叫做:在《根据律》一书中提出的第四类表象应成为我认识第一类表象的内在本质的钥匙,并且我必须从动机律,在其内在意义上,学会理解因果律。

    斯宾诺莎说(《书札》第六二封),那一掷而飞入空中的石子如果有意识的话,将认为它是由于自己的意志而飞行的。我只补充说,那石子[容或]是对的。投掷[这动作]之于它,正如动机之于183我;在它作为凝聚力、重力、恒存性而显现于上述状态中的东西,在内在本质上也就和我在自己里面认作意志的东西是同一物,并且如果石子也有了认识,这也就是它要认作意志的东西。斯宾诺莎在说这话时,他注意的是石子所以飞的必然性,并且要把这种必然性移作一个人个别意志活动的必然性。他这样作也是对的。和他相反,我则考察内在的本质。这内在本质,作为一切现象的必然性(即出自原因的后果)的前提,才赋予这必然性以意义和妥当性;在人叫做性格,在石子叫做物性。两者是同一的东西,[不过],如果是直接被认识的,就叫做意志。在石子,它[只]有程度最低微的可见性、客体性,而在人,它[却]有程度最强的可见性、客体性。甚至圣奥古斯丁就以正确的感知而认识了这和我们意欲等同的,在一切事物的向上冲动中的东西,我不禁要在这里把他对于此事的素朴的说法引述一番,他说:“如果我们是动物的话,我们就会爱肉体的生命以及相应于这生命的意义的东西,这也就会是我们足够的幸福了;如果按此说来我们就幸福了,我们也就会不再追求什么了。同样,如果我们是树木,那么我们就不能意识什么,不能由运动而有所爱慕了,然而我们仍好象是有所追求似的,以此追求我们得以是生产果实的,并获得更丰富的果实。如果我们是石头,或是流水,或是风,或是火焰,或是其他这类的东西,没有任何感觉与生命,然而并不是我们就缺乏对自己位置和秩序的欲求,因为如同一种欲望似的,重量对于物体也是有决定性的,或以引力而下降,或以轻飘而上升,因为物体之彼驱使是由于其重量,正犹如心之被驱使是由于欲望,驱使到哪里,就到哪里。”(《上帝之国》xi,28)

    还有值得指出的是倭以勒曾洞察到引力的本质最后必须还原为物体本有的“倾向和贪欲”(那就是意志)(《上公主书》第68函)。正是这种看法使他不喜欢牛顿用的引力这个概念,他颇有意按从前笛卡儿的学说对这概念作修正的尝试,就是从一种以太对物体的冲击来引伸引力,认为这样会“合理些,对于爱好鲜明易解的基本原理的人们”也要相安些。他想看到把吸引作用当作隐秘属性而放逐于物理学之外。这种看法正是只和倭以勒时代作为非物质的灵魂的对应物而流行着的死气沉沉的自然观相符合的,不过就我所确立的基本真理这一面来说,值得注意的是,还在那时这位卓越的人物在遥远地看到这真理闪耀的时候,却急于要及时回头,并且由于他怕看到当时的一切基本观点受到威胁,他甚至又去向陈旧的,已经推翻了的无稽之谈求庇护。

    我们知道杂多性绝对地必须以时间和空间为条件,也只是在时间和空间中才可思维的;在这种意义下我们把时间和空间称为个体化原理。不过我们已把时间和空间认作根据律的形态,而我们所有的先验知识就都是在这条定律中表现出来的。这些形态作为形态说,如上面已分析过的,就只能是事物的可知性上所有的,而不能是事物本身所有的,即是说这些形态只是我们认识的形式而不是自在之物的属性。自在之物之所以自在是独立于认识的一切形式之外的,并且独立于“是主体的客体”这个最普遍的形式之外,即是说自在之物是根本不同于表象的东西。如果这自在之物就是意志,——我相信这是我已充分证明了,弄明白了的——,那么,意志作为意志并和它的现象分开来看,就站在时间和空间之外了,从而也不知有什么杂多性,从而[只]是“一”了;然而如已说过的,这“一”既不象一个个体的“一”,又不象一个概念的“一”,而是一种与杂多性可能的条件,亦即和个体化原理不相涉的东西。事物在空间和时间中的杂多性全部是意志的客体性,因此杂多性管不着意志,意志也不管杂多性,依然是不可分的。[不能说]在石头里面是意志的一小部分,在人里面是其大部分,因为部分与全体的关系是专属于空间的,只要人离开这一直观的形式说话,这种关系就再没有什么意义了。相反,这或多或少只管得着现象,即只管可见性、客体化。以可见性或客体化的程度说,那么在植物里的是高于在石头里的,在动物里的又高于在植物里的,是的,意志已出现于可见性,它的客体化是有无穷等级的,有如最微弱的晨曦或薄暮和最强烈的日光之间的无限级别一样,有如最高声音和最微弱的尾声之间的无限级别一样。往后在下文中我们还要回头来考察可见性的这种级别,这是属于意志的客体化,属于它的本质的写照的。意志客体化的级别已不是和意志本身直接有关的了,在这些级别上,现象的杂多性就更管不着意志本身了;而现象的杂多性就是每一形式中个体的数量或每种力个别表出的数量。[这杂多性管不着意志],因为杂多性是直接由时间和空间决定的,而意志是决不进入时间空间的。它呈现于一株或千百万株橡树,都是同样完整的,同样彻底的。橡树的数量,橡树在空间和时间中的繁殖对于意志本身这方面是毫无意义的,只有就个体的杂多性说才是有意义的;而这些个体是在空间和时间中被认识的,又是繁殖于,播散于空间时间中的。它们的杂多性也只和意志的现象有关,与意志自身无关。因此人们也许可以主张,假如,——因为不可能——一个单一的生物,哪怕是最微小的一个,完全消灭了,那么整个世界也必须和它同归于尽。在对于这一点有所感悟时,伟大的神秘主义者安琪路斯·席勒治乌斯说:“我知道,没有我,上帝一忽儿也不能生存;我若化为无而不在了,他也必然要丢掉精神。”

    人们曾以各种方式企图使天体的无穷大更适合于每个人的理解力,于是,也曾由此取得了促进鼓舞人心的考察的缘由,譬如谈什么地球的,甚至人的渺小,然后又反转来说这渺小的人里面又有伟大的精神,能够发现、了解、甚至测量宇宙之大等等。这都很好!但就我来说,在考察宇宙的无穷大时,最重要的是那本质自身,它的现象即此世界的那本质自身,——不管它可能是什么——,它真正的自己究竟不能是这样展布于无边的空间,不能是这样分散了的。这无尽的广袤完全只属于它的现象,它自己则相反,在自然界每一事物中,在每一生命体中,都是完整的、不可分的。因此,即令是人们只株守任何一个个别的[物体或生命体],人们并不会损失什么;并且即令人们测量了这无边无际的宇宙,或是更合目的些,亲自飞过了无尽的空间,却还是不能获得什么真正的智慧。人们只有彻底研究任何一个个别的[事物],要学会完全认识,完全理解这个别事物的真正、原有的本质,才能获得智慧。

    如此说来,下面的东西,也就是这里在每一个柏拉图的信徒自然而然已经涌上心头的东西,在下一篇里就会是[我们]详细考察的题材了。这就是说意志客体化的那些不同级别,在无数个体中表出,或是作为个体未曾达到的标准模式,或是作为事物的永久形式,它们本身是并不进入时间空间,不进入个体的这媒介的:而是在时间之外的,常住不变的,永久存在的,决不是[后来才] 变成的;同时这些个体则有生灭,永远在变,从不常住。[因此] 我说“意志客体化”的这些级别不是别的,而就是柏拉图的那些理念。我在这里暂先提到这一点,是为了以后好在这个意义上使用理念这个词。所以在我用这个词时,总要用它原始的,道地的,柏拉图曾赋予过的意义来体会;而决不可想到以经院派的方式来进行独断的理性的那些抽象产物上去。康德拿柏拉图早已占用了的,并且使用得极为恰当的这个词来标志那些抽象产物,是既不相称又不合法的误用。所以我对理念的体会是:理念就是意志的客体化每一固定不变的级别,只要意志是自在之物,因而不与杂多性相涉的话。而这些级别对个别事物的关系就等于级别是事物的永恒形式或标准模式。关于柏拉图的有名理论,狄阿琴尼斯·181勒厄兹乌斯(《希腊哲学家传记》Ⅳ,12)给了我们一个最简短最紧凑的叙述:“柏拉图的意思是说理念之于自然,有如给自然套上一种格式,其他一切事物只是和理念相似而已,是作为理念的摹本而存在的。”至于康德误用[理念]这个词,我在这里不再理会,必须要说的都在附录中。

    意志客体化最低的一级表现为最普遍的自然力。这种自然力,一部分是无例外的显现于每一种物质中,如重,如不可透入性;一部分则各别分属于现有一切物质,有些管这一种物质,有些管那一种物质,由此而成为各别特殊的物质,如固体性,液体性,弹性,电气,磁力,化学属性和各种物性。这些都是意志的直接表出,无异于人的动作;并且作为这种直接表出是没有根由的,也无异于人的性格;只有它们的个别现象和人的行为一样,是服从根据律的;它们自身既不能叫作后果,也不能叫做原因,而是一切原因后果先行的,作为前提的条件。它们自己的本质就是通过这些原因后果而展出而呈现的。因此,要问重力的原因,电气的原因,那是没有意思的。这些都是原始的力,它们的表出虽然按因和果而进行,乃至它们的个别现象都有一个原因,而这原因又是这样的一个个别现象,决定着该力的表出必须在时间和空间中发生;但该力本身却不是一个原因的后果,也不是一个后果的原因。因此说“石子所以下落,重力是其原因”,也是错误的;其实这里更应说地球处在近边是石子落下的原因,因为是地球吸引着石子;如果把地球挪开了,石子便不会掉下,尽管重力依然存在,力本身完全在因果锁链之外。因果锁链以时间为前提,只能就时间说才有意义,而力本身却是在时间之外的。个别变化总有一个同类的个别变化为原因,而不是以该力为原因,力的表出就是个别的变化。因为不管一个原因出现多少次,那一贯以后果赋予原因的就是一种自然力;而作为自然力,它就是无根由的,即是说完全在原因的锁链之外,根本在根据律的范围之外;在哲学上它被认作意志的直接客体性,是整个自然的“自在”[本身];在事因学上——这里是在物理学上——它却被指为原始的力,也即是“隐秘属性”。

    在意志的客体性较高的级别里我们看到显著的个性出现,尤其是在人,[这种个性]出现为个别性格的巨大差别,也即是完整的人格;这是在显著不同的个别相貌上已有着外在表现的,而人的相貌又包括着整个的体型。动物的个性差别在程度上远不及人,只有最高等的动物还有点踪迹可寻;在动物还是“种性”占绝对的统治地位,所以个别的相貌也就不显著了。越到下等动物,个性的痕迹越是汩没于种属的一般性格中,这些种属也就只有单一的相貌。[在动物的种属中,]人们知道一个种族的生理特征,就能对每一个个体事先作出精确的判断,与此相反,在人这个物种,每一个体都得个别的研究,个别的探讨,因为[人有了]与理性而俱来的伪装的可能性,所以要有几分把握事先来判断人的行径是极为困难的。人类和其他一切物种的区别也许和这一点有关,即是说大脑皮在鸟类是完全没有褶叠皱纹的,在啮齿类皱纹也还很微弱,即令是在高等动物也比在人类的要[左右]两边匀整些,并且在每一个体的相似性和人相比也更少变化。此外,可以作为区别人禽有无个性特征看的一个现象是动物在寻求“性”的满足时没有显著的选择,而在人类这种选择固然是在独立于任何反省思维之外的,本能的方式之下[进行的],竟强调到这种程度,以致选择转进为强烈的激情了。所以每一个人要看成一个特殊规定的,具有特征的意志现象,在一定程度上甚至要看成一个特殊的理念;而在动物整个的说都缺乏这种个性特征,因为只有物种还保有一种特殊意义。与人类的距离愈远,个性特征的痕迹愈消失;到了植物,除了从土壤、气候及其他偶然性的有利或不利影响得以充分说明的那些特殊属性外,已完全没有其他的个体特性了。最后在无机的自然界,则一切个性已经消失无余了。只有结晶体还可在某种意义上看作个体,它是趋向固定方向的冲力的一个单位,在僵化作用中冻结而留下了那冲力的遗迹。同时它也是它原始形态的聚合体,由于一个理念而联成单位,完全和一棵树是各自发展的组织纤维的聚合体一样。在树叶的每根筋络中,在每片树叶中,在每一根枝条中都呈现着,重复着这种纤维;而这些东西中的每一件又可在一定意义下看成是个别的生长的,寄生于一个更大的生长物而获得营养,所以也和结晶体一样,也是小植物有系统的聚合体;不过这[树的]整体才是一个不可分的理念的,亦即意志客体化这一固定级别的完整表现。但是同类结晶体中的个体,除了外在偶然性带来的区别外,不能更有其他区别;人们甚至可以任意使任何一类成为或大或小的结晶体。可是个体作为个体说,亦即具有个别特征的形迹的个体,在无机自然界是绝对找不到的。无机自然界的一切现象都是普遍自然力的表出,也就是意志客体化的这样一些级别:这些自然力的客体化完全不借个性的差别,(如在有机自然界那样,)——这些个性是部分地表出了整个的理念——,而仅是表出于种属的;这种属又是完整地,毫无任何差别地表出于每一个别现象的。时间、空间、杂多性和由于原因而来的规定既不属于意志,又不属于理念(意志客体化的级别),而只属于它们的个别现象,那么,在这样一种自然力的,——如重力的,电力的——千百万现象中,自然力作为自然力就只能以完全同样的方式表出,而只有外来情况才能够改变[一个]现象。自然力的本质在其一切现象中的这种统一性,这些现象发生时的不变常规,在因果性的线索下只要有了发生的条件,就叫做一个自然津。自然力的特征既是在自然律中表达出来的,在自然律中固定了的,如果一旦由于经验而认识了这样一条自然律,那就可以很准确地预先规定并计算这自然力的现象。意志客体化较低级别的现象所具有的这种规律性使这些现象获得一个不同的外表,有别于同一意志在它客体化的较高,即较清晰的级别上的现象,即有别于在动物,在人及其行动中的意志现象,而这些现象中又有个别特性或强或弱的出现,以及由动机推动[的行为],——动机是在认识中的,对于旁观者始终是隐而不见的——,遂使[人们]至今未能认识到这两类现象的内在本质是同一的。

    如果人们从个别事物的认识,而不是从理念的认识出发,则自然律的准确无差误就会有些使人出乎意料之外而惊异,有时甚至使人惊惧战栗。人们可能感到诧异,大自然竟一次也不忘记它自己的规律,例如只要是符合一条自然律而在一定条件之下,某191些物质在遇合时就会产生化合作用,放出气体,发生燃烧;所以只要条件齐备,不管是我们的设施使然或者完全是出于偶然(由于原非意料所及,准确性就更可诧异),则立刻而无延宕地就会发生一定的现象,今天如此,千年之前也是如此。我们对于这种可惊异的事实有着最鲜明的感觉是在罕有的,只在极复杂的情况下才出现的现象中——不过是在这些情况下预先告诉了我们[会出现]的现象——,例如说某些金属带有酸化了的水分,一种接着另外一种交互相间而互相挨着时,把小小一片银箔放在这一串金属的两端之间,这片银箔一定会突然地自行焚毁于绿色火焰之中,或是在一定条件之下,坚硬的钻石也要把自己化为碳酸。自然力好象有一种无所不在的心灵似的,这才是使我们惊异的东西,而日常现象中并不引起我们注意的事,我们在这里都看到因果之间的关联原来是如此的神秘,实和人们在符、咒和鬼神之间虚构的关联无异,说鬼神是在符篆的召唤之下必然出现的。与此相反,如果我们已经深入哲学的认识,认识了一种自然力就是意志客体化的一定级别,也即是我们认为是自己最内在的本质的客体化的一个级别;认识了这意志本身是自在的,既不同于它的现象,又不同于现象的形式,不在时间和空间之内,因而由时间空间制约的杂多性既不属于意志,也不直接属于它客体化的级别,也就是不属于理念,而只属于理念的现象,认识了因果律只在时间和空 间上说才有意义,因为因果律只是在时间空间中为各种理念翻了多少番的现象,意志自行显示于其中的现象,决定它们的位置,规定这些现象必须进入的秩序;——我说,如果在这些认识中我们明白了康德的伟大学说的内在旨趣,明白了空间、时间和因果性与自在之物无关而只是现象所有,只是我们“认识”的形式而不是自在之物的本性,那么我们就能理解[人们]对于自然力作用的规律性和准确性,对于自然力亿万现象完全的齐一性,对于这些现象出现的毫无差误等等的那种惊奇,在事实上可比拟于一个孩子或野蛮人初次透过多棱的玻璃来看一朵花,对他看到的无数朵花的完全相同惊奇不止而各别地数着每一朵花的花瓣。

    所以每一普遍的、原始的自然力,在其内在本质上并不是别的,而只是意志在[最]低级别上的客体化。每一个这样的级别,我们按柏拉图的意思称之为一个永恒的理念。而自然律则是理念对其现象的形式之关系。这形式就是时间、空间和因果性,而三者又有着必然的、不可分的联系和彼此的相互关系,理念通过时间和空间自行增殖为无数现象,但是现象按以进入多样性的形式的那个秩序都是由因果律硬性规定的。因果律好比是各个不同理念的那些现象之间的临界点的限额似的,空间、时间和物质就是按此限额而分配于那些现象的。因此,这限额就必然地和全部现存物质的同一性有关,而物质又是所有那些不同现象共同的不变底料。如果这些现象不全都仰仗那共同的物质,物质也无须分属于现象的话,那也就无须乎这样一条定律来规定现象的要求了,现象就可全都同时并列的,经历无穷的时间充塞无尽的空间。所以单是为了永恒理念,所有那些现象都要仰仗同一的物质,才必须有物质进出[于现象]的规则,要是没有这种规则,现象和现象之间就不会彼此互让了。因果律就是这样在本质上和实体恒存津相联的,两者互相从对方获得意义;不过空间和时间对于两者也有着与此相同的关系。原来在同一物质上有相反规定这种单纯的可能性,这就是时间,同一物质在一切相反的规定下恒存,这种单纯的可能性就是空间。因此我们在前一篇里曾把物质解释为时间和空间的统一;这种统一又表现为偶然属性在实体恒存时的变换,这种变换普遍的可能性就正是因果性或变易。因此我们也说过物质彻始彻终是因果性。我们曾把悟性解释为因果性在主体方面的对应物,并说过物质(即作为表象的整个世界)只是对悟性而存在的,悟性作为物质必需的对应物是物质的条件,是物质的支点,[这里]说这一切,都只是为了顺便回忆一下第一篇所论述过的东西。要完全理解这一、二两篇,就要注意到这两篇之间内在的一致,因为统一于真实世界不可分的两面,意志和表象,在这两篇里是把它们割裂开来了,[而所以这样做,乃是为了]以便分别孤立地,更明晰地认识[世界的这两个方面]。

    再举一个例子以便更清楚地说明因果律如何只在对时间的关系,空间的关系,对存在于二者的统一中的物质的关系上才有意义,也许不是多余的罢。[因果律的意义]在于它规定一些界限,自然力的现象即按这些界限而分占物质;而原始的自然力本身作为意志的直接客体化,意志作为自在之物,都是不服从根据律的,都不在这些形式中;[也]只有在这些形式中,然后每一种事因学的说明才有妥当性和意义。事因学的说明也正以此故而决不能触及自然的内在本质。——为了举例,我们可以想一想一部按力学原理制成的机器。铁质的重块由于它们的重力,才发起运动;铜的轮盘由于它们的固体性,才发生抗拒作用;借它们的不可透入性,才互相推动,互相擎举并推动,举起杠杆等等。这里,重力,固体性,不可透人性是原始的,未经解释的一些力;力学仅仅只指出这些自然力按以表示自己,按以出现,并按以支配一定的物质和时间、空间的一些条件和方式。假如现在有一块磁性很强的磁铁对那些重块的铁发生作用,抵消了重力,那么机器的运转就会停顿,而这里的物质也就立刻成为完全另一种自然力的舞台了。对于这一自然力,事因学的说明又同样只指出这个力,磁性,出现的条件,此外也就没什么了。或者是把那机器上的铜片放在锌板上,而在两者间导入酸性液体,这就使该机器的原来的物质又陷入另一种原始力,即陷入金属的化学放电作用之中;于是化学放电作用又按其特有的那些规律而支配着物质,在这物质上显出它自己的现象。关于这些现象,事因学也只能指出现象出现的一些情况和规律,此外不能再有什么了。现在[再]让我们把温度加高,又导来纯氧,整个机器便燃烧起来,这即是说又一次有一种完全不同的自然力,亦即化学作用,在此时此地不可抗拒地占有那物质,在物质上显现为理念而为意志客体化的一个固定级别。由此产生的金属白垩又再和一种什么酸化合,就产生一种盐,出现了结晶体。这又是另一种理念的现象,这理念自身又是完全不可根究的,而其现象的出现又有赖干事因学能指出的那些条件。结晶体风化,和别的物质因素混合,于是又从这些混合中长出植物生命来,这又是一种新的意志现象。如此类推以至于无穷,可以跟踪恒存的物质而看到时而是一自然力,时而是那一自然力获得支配它的权利,看到这些力无可规避地掌握着这权利以出现[于世]而展出其本质。这个权利的规定,这权利在时间空间中成为有效的那一点,这是因果律指出来的,但是以此为根据的说明也就仅仅到此止步。“力”自身是意志的现象,是不服从根据律的那些形态,也即是无根据的。“力”在一切时间之外,是无所不在的,好象是不断地在等待着一些情况的出现,以便在这些情况下出现,以便在排挤了那些直至当前还支配着某一定物质的力之后,能占有那物质。一切时间都只是为“力”的现象而存在,对于。“力”自身是无意义的。化学作用的一些“力”可在一物质中长眠几千年,直至和反应剂接触才得到解放,这时它们就显现了:但时间就只是为这显现,而不是为那些“力”自身而有的。金属放电作用可长眠于铜和锌中几千年,铜与锌和银放在一起也相安无事;而这三者一旦在必要的条件下互相接触,银就必然化为火焰。甚至在有机领域内,我们也可看到一粒干瘪的种子,把那长眠于[其中]的力保存了三千年之后,最后在顺利的情况出现时,又成为植物。

    如果由于这一考察,我们弄清楚了自然力和它所有的现象两196者间的区别;如果我们体会了自然力就是在这一固定级别上客体化了的意志本身;[体会了]出自时间和空间的杂多性仅仅只属于现象,而因果律也只是为个别现象在时间、空间中决定地位而已;那么,我们就会认识到马勒布朗希关于偶然原因的学说的全部真理和深刻意义。马勒布朗希在《真理研究》,尤其是在该书第六篇第二段第三章和附录中对这一章的说明中阐述了这一学说,把他的学说和我这里的论述比较一下,就可发现这两种学说虽在思想的路线上差别极大,却是完全一致的,这样比较是值得辛苦一趟的。是的,马勒布朗希完全被他的时代无可抗拒地强加于他的那些流行的信条所局限,然而在这样的束缚中,在这样的重负下,他还能这样幸运地,这样正确地找到真理,又善于把这真理和那些信条,至少是在字面上,统一起来;这是我不得不叹服的。

    原来真理的力量之大是难以相信的,它的经久不衰也是难以限量的。我们在各种不同的时代,不同的国家所有一切独断的信条中,甚至是在最芜杂的、最荒唐的信条中也能多方的发现真理的痕迹;这些痕迹常和光怪陆离的事物为伍,虽在奇怪的混合之中,但总还是可以识别的。所以真理有如一种植物,在岩石堆中发芽,然而仍是向着阳光生长,钻隙迂回地,伛偻、苍白、委屈,——然而还是向着阳光生长。

    马勒布朗希诚然是对的:每一个自然的原因都是一个偶然的原因,只提供机会,提供契机使那唯一的,不可分的意志得以表出为现象;而意志乃是一切事物自在的本身,它的逐级客体化就是这整个可见的世界。不是现象的全部,不是现象的内在本质,而只有这出现,这转化为可见,在此时此地的出现和转化才是由原因引起的,也只在这种意义上是有赖于原因的。现象的内在本质乃是意志自身,根据律不能适用于它,从而它也是无根据的。世界上没有一个东西在它根本的,整个的存在上有一个什么原因,而只有一个它所以恰好在此时此地的原因。为什么一颗石子一会儿表现出重力,一会儿表现出固体性,那是有赖于原因,有赖于外来作用的,也是可以由这些原因或作用来解释的;但是那些属性本身,也就是石子的全部本质,由这些属性所构成而又按刚才说的那些方式表出的本质,石子所以根本是这样一个如此这般的事物,它[何以]根本存在着,这些都是无根由的而是无根据的意志的“可见化”。所以说一切原因都是偶然原因。我们既在无知的自然界发现了这一点,那么,在那些已非原因和刺戟而是动机决定着现象出现的时间地点的场合,也即是在人和动物的行为中,也正是如此。因为在这些场合和在自然界,都是那唯一的同一的意志在显现,这意志在其显露的程度上差别很大,在各程度的现象中被复制了;而就这现象说,那是服从根据律的,它自在的本身却独立于这一切之外。动机并不决定人的性格,而只决定这性格的显现,也就是决定行动:只决定生命过程的外在形相,而不决定其内在的意义和内蕴。这后二者来自人的性格,而性格是意志的直接表出,所以是无根由的。为什么这个人坏,那个人好,这是不以动机或外来作用,如什么箴诫或说教为转移的,而是在这种意义上简直就无法解释。但是一个坏蛋或是在他周围的小圈子里以琐细的不义,胆小的诡计,卑鄙的捣蛋表出自己的坏,或是作为一个征服者而在迫害一些民族,把世界推入悲惨的深渊,使 千百万人流血[牺牲];这些却是他显现的外在形相,是现象所有的,非本质的东西,是以命运把他放在哪种情况为转移的,是以环境,外来影响,动机为转移的,然而[人们又]决不能从这些方面来说明他在这些动机上的决断,决断来自意志,而这意志的现象就是这个人。关于这一点,待第四篇再说。性格如何展开其特性的方式方法完全可以比拟于无知自然界的每一物体如何表出其物性的方式方法。水,具有其内在的特性,总还是水。水或是作为宁静的湖而反映着湖边[的风物],或是泡沫飞溅从岩石上倾泻而下,或是由于人为的设施而向上喷出如同一根长线,——这些却有赖于外因;而或是这样或是那样,对于水来说都是同样自然的,不过按情况的不同,它的表出也有这样那样[的不同];对于任何[可能的]情况它都处于同样准备状态,并且在每一情况下它都忠实于自己的性格,总是只显示这个性格。同样每个人的性格也会在一切情况下显示出来,不过由此产生的现象如何,则将各随其情况而定。

    如果我们现在由于上面所有这些关于自然力及其现象的考察而弄清楚了从原因作出来的说明能走多么远,必须在什么地方停步,——如果这种说明要不堕落为那种愚蠢的企图,企图把一切现象的内容都还原为现象的一些赤裸裸的形式,以至最后除形式而外便一无所有了——,那么,我们也就能够在大致地规定要求干事因学的是什么。事因学的职责是给自然界的一切现象找出原因,即找出这些现象无论在什么时候都要出现的那些情况,然后又得把在多种情况下形态已很繁复的现象还原为在这一切现象中起作用的,在指出原因时已被假定的那东西,还原为自然界中原始的力,同时正确地区别着现象的不同究竟是从力的不同,还是从力借以表出的那些情况的不同来的,并且既要防止把同一种力而只是在不同情况下的表现当作不同种类的力的现象看,又不可反过来把原是属于不同种类的力的现象当作一种力的[不同]表现。这就直接需要判断力;这也就是何以在物理学上,只有这样少数的人能够扩大[我们的]见解,但是任何人都能推广经验。在物理学中懒惰和无知使人倾向于过早地援引各种原始力,这一点在经院学派的存在和本质中以近乎讽刺的夸大,就已表现出来了。我最不愿意的就是促成这些东西的卷上重来,人们不去提出一个物理的解释,反而求助于意志的客体化或上帝的创造力,这都是不容许的。原来物理学要求的是原因,而意志可决不是原因。意志对现象的关系完全不遵循根据律,而是就其自在的本身说[原]是意志的东西,在另一方面它又是作为表象而存在的,也即是现象。作为现象,它服从那些构成现象的形式的规律;譬如说,每一运动尽管它每次都是意志的显现,却仍必须有一个原因;就这运动对一定时间、地点的关系说,亦即不是在普遍性上,不是在它内在的本质上说,而是作为个别的现象说,这运动就是由这个原因来解释的。这个原因,在石头是力学原因,在人的行动是动机,可是决不能没有这个原因。在另一面,那一般的东西,某一种类一切现象所共同的本质,也就是不假定它,则从原因来的解释就会无意思无意义的那东西,——这个东西就是普遍的自然力。这种自然力在物理学上不能不一直下去都是隐秘属性,正因为这就是事因学的说明到了尽头,形而上学的说明[从此]发端的地方了。因的锁链和果的锁链决不会被人们要向之求助的原始力所打断,也不回归到这原始的力,不是把原始力当作[锁链的]第一个环节而回归到它;而是这锁链的[一切环节,]不分最近的和最远的,都已先假定了原始的“力”,否则什么也不能说明。许多因和许多果的系列可以是些极不相同的“力”的现象,这些力在因果系列的引导下接踵成为可见的,这是我在前面那个金属机器的例子中已阐明了的。但是这些原始的,不得互相引出的力虽不相同,却一点也不打断那原因锁链的统一性,不打断这锁链中一切环节间的联系。“自然”的事因学和“自然”的哲学决不互相损害,而是从不同观点来考察同一对象,平行不悖。事因学论证那些必然导致个别的,要说明的现象的原因,指出那些普遍的,在所有这些原因后果中起作用的力作为事因学一切说明的基础,并精确地规定这些力,规定它们的数目,差别;然后规定每一种力各按情况的不同而分别出现于这些情况中的一切作用。每一种力又都是遵循它特有的性格而出现的,这个性格又是它按一个[从来]不失误的规则展出的,这规则就叫做自然律。物理学一直在每一点上都完成了这一切[任务],达到了它的圆满境界,那么,在无机的自然界中就不会还有不知道的力了,也再不会有什么作用还没有被证明为那些力中的某种力在一定情况之下,遵循一个自然律的显现了。不过自然律仍然只是从观察自然界记下来的规则,只要一定的情况出现,大自然每次就遵循这规则办事,因此人们很可以对自然律下这样一个定义:自然律是一个普遍表出的事实,是“一个一般化了的,概括起来事实。”准此,完整无缺的列举所有一切的自然律也不过是一本完备的记录事实的流水账罢了。——于是,对于整个大自然的考察就要由形态学来完成了,形态学肿举有机自然界中一切不变的形态,并加以比较和整理。对于个别生物出现的原因,形态学没有什么可多说的,因为在任何生物这个原因都是生育,而关于生育的学说,那又另是一套,在罕有的情况下生育还有两可的双重方式。严格他说,意志客体性的较低级别,亦即物理化学现象,如何分别出现的方式也是属于形态学的,而指出这一出现的各条件就正是事因学的任务。与此相反,哲学在任何地方,所以也在自然界,所考察的只是普遍的东西;在这里原始的力本身就是哲学的对象。哲学将这些原始力认作意志客体化的不同级别,而意志却是这世界的内在本质,这世界自在的本身;至于这个世界,哲学如果把本质别开不论,就把它解释为主体的201单纯表象。——可是现在如果事因学不为哲学做些开路的工作,用例证为哲学的学说提供应用[的可能],反而以为它自己的目标就是把一切原始的“力”都否定掉,直到只剩下一种,那最普遍的一种,例如不可透入性,这也就是它自以为能够彻底了解的,因而横蛮地要把一切其他的力还原为这一种;那么它就挖掉了自己的墙脚,它提出的就只能是谬论而不是真理了。这样,大自然的内蕴就被形式挤掉了,把什么都推在从外面起作用的情况上,没有一点什么是从事物的内在本质来的。如果真正在这条途径上可以成功的话,那么,如已说过的,在最后一个运算公式就会揭穿宇宙之谜了。可是,如果人们,如已谈过的,把生理作用还原为形式和化合[作用],譬如说还原到电,电又再还原为化学作用,化学作用又还原为机械作用,那么他就是在走着这条途径了。例如笛卡儿和所有原子论者们的错误就是这种办法。他们曾把天体的运行还原为一种流动体的推动作用,曾把物性还原为原子的关联和形态:他们努力的方向是要把自然的一切现象解释为仅仅只是不可透入性和凝聚力的显现。尽管一般已经从这些说法回过头来了,可是在我们今天,那些电气的、化学的、力学的生理学家们仍在依样画葫芦,他们仍顽固地要从有机体组成部分的“形式和化合作用”来说明整个的生命和有机体的一切功能。人们在麦克尔编的《生理学资料汇编》1820年第五卷第185页上还看得到这种说法,认为生理学的解释,目的在于把有机生命还原为物理学所考察的那些普遍[自然]力。拉马克在他的《动物哲学》第二卷第三章中也宣称生命只是热和电的作用;他说:“热[能]和电的物质完全足以合共组成生命的那个本质的原因”(《动物哲学》第16页)。依此说来,热和电就得算作自在之物而动物界和植物界就是这自在 之物的现象或显现了。这种说法的荒唐在该书306页上已暴露无遗。大家都知道,在最近期间所有那些屡被推翻的说法又复狂妄地招摇过市了。如果人们仔细地考察一下,所有这些说法最后都是以这么个假设为基础的,亦即假定有机体只是物理的、化学的、机械的力的各种现象的集合体,这些力偶然地在这里凑到一起就把有机体搞成功了;[不过] 搞成功也只是作为大自然的游戏,再没有其他意义了。从哲学上看,若是依这种说法,动物或人的有机体就不是一个特殊理念的表出了,亦即有机体自身不直接是意志在一较高的级别上的客体性了,而是要说在有机体中显现的只是在电气,在化学作用,在机械作用中使意志客体化的那些理念了;而有机体也就会是由这些力的凑合偶然吹到一起的,似乎人和动物的形体只是由云雾或钟乳石凑合成的,因而在有机体自身也再没什么可资玩味的了。不过我们也就会看到,在哪种范围之内把物理化学的说明方法应用到有机体上还是可以容许的,有用处的,因为我就要阐明生命力固然使用着,利用着无机自然界的一些“力”,却不是由这些“力”所构成的,正如铁匠不是锤和砧构成的一样。因此,即令只是最简单的植物生命,也决不能以毛细管作用和渗透作用来说明,如果是动物的生命那就更不必说了。讨论这一点是相当困难的,下面的考察可以为我们铺平道路。

    根据上面所说过的一切,自然科学要把意志的客体性的较高级别还原为较低级别,这当然是自然科学的错误,因为误认和否认原始的,各自独立的自然力这种错误,等于毫无根据地又另外假定一些特殊的力,而其实并不是什么原始的力,只不过是已知的力的又一特殊显现方式罢了。因此,康德说得很有理,他说:不对头的事情是为一根草茎也希望有一个牛顿,亦即希望有这么一个人把草茎还原为物理化学上一些力的现象,似乎这草茎就是这些力偶然的聚集,从而只是大自然的一次游戏罢了;其中并无特殊理念的显现,亦即并非意志直接展出于一较高的、特殊的级别上,而是恰好和它显现在无机自然界的现象中一样,偶然的显现在这一形式中。那些无论如何也不会容许这种说法的经院学派,他们的说法就会完全正确,他们说这是整个儿否定了本质的形式,把本质的形式贬低为偶然的形式了。原来亚里士多德的本质的形式正是指我所谓意志在一切事物中的客体化的程度而言。——可见在另一方面也不要看漏了,在一切理念中,也就是在无机自然界的一切力中,在有机自然界的一切体型中只是同一个意志在那里显示着它自己,而显示它自己也就是进入表象的形式,进入客体性。因此,意志的单一性也必然地可从意志的一切现象之间的一种内在的亲属关系上看得出来。这种亲属关系在意志客体性的较高级别中,在那儿整个现象也较为明晰些,也就是在植物界和动物界中,通过普遍贯穿着一切形式的类似性,通过在一切现象中重现的基型把自己显示出来。这种基型也因此已成为卓越的,在本世纪由法国人首创的动物学体系的指导原则了,并在比较解剖学中作为“设计的统一性”、作为“解剖学的因素的齐一性”已获得了最完整的证明。发现这一基型也曾是谢林学派自然哲学家们的主要任务,至少可以肯定是他们最可表扬的企图;虽然他们追求自然中的类似性,在好多场合己堕落为纯粹的儿戏,然而他们也有些功劳。不过他们也有做得对的地方,他们证明了在无机自然界的理念中也有普遍的亲属关系和属类间的类似性;例如在电和磁之间,——这两者的同一性后来已证实——,在化学的吸引力和重力之间,以及其他等等之间[都有这种关系]。他们还着重指出了[相反相成的]“极性”,即一个力的分裂为属性不同,方向相反而又趋向重新统一的[两种]活动,——这种分裂最常见的是在空间上显示为相反方向的背道而驰——,几乎是一切自然现象的,从磁石和结晶体一直到人的一种基型。不过从上古以来,在中国阴阳对立的学说中已经流行着这种见解了。——正因为世界的一切事物都是那同一个意志的客体性,从而在内在本质上[本] 是同一的;所以必然的不只是在事物之间有着不可忽视的类似性,不只是在较不完备的事物中已经出现了高一级较完备的事物中的痕迹、迹象、粗胚,而且因为所有那些形式都只属于作为表象的世界,所以甚至可以承认即令是在表象的最普遍的形式中、在现象的世界特有的这基本间架——空间和时间——中,已经可以找到,可以指明充塞这些形式的一切事物的这个基型,这种迹象,[这种]粗胚。关于这一点,过去似乎已有了一种模糊的认识,这种认识构成犹太伽巴拉密教,毕达戈拉斯派所有的数理哲学以及中国人所著《易经》的渊源。还有在谢林学派中,我们也看到他们在多方努力要揭露一切自然现象间的类似性,同时又有一些企图要从单纯的空间规律和时间规律来引伸自然律。这当然是些不幸的企图。不过人们也无从知道一个有天才的头脑一时究竟能实现这两种努力到什么地步。

    尽管现象与自在之物的区别是决不可置若无睹的,从而决不可把在一切理念中客体化了的意志(因为意志的客体性有它一定的级别)的同一性歪曲为意志显现于其中的个别理念本身的一种同一性,例如决不可把化学的或电力的吸引还原为由于重力的吸引,虽然它们内在的类似性已被认识而可以把前者看作等于是后者更高一级次的存在;同样,在一切动物身体的构造有着内在的类似性也决不可以作为理由把物种混淆起来认为是同一的,不可把较完备的[物种]解释为较不完备的[物种]的变种;最后尽管生理机能也决不可还原为化学和物理过程,然而在一定的限制内人们还可承认下列事实有很大的盖然性而为上述这种做法辩护。

    如果在意志客体化的较低级别上,也就是在无机体中,意志的现象中有几种现象陷入相互冲突中,这时每一现象都在因果性的线索上争着要占据眼前现有的物质。于是,从这冲突中产生的是[其中]一个高级一些的理念的现象,这现象把原先所有的一切较不完备的现象都降服了,并且是在降服它们之后仍容许它们的本质在一个较低级的状态中继续存在,这时战胜的现象就从它们那里吸收了一种和它们类似的东西了。这一过程是只能从显现于一切理念中的同一个意志及其一贯趋向较高客体化的冲力来理解的。例如在骨骼的硬化中我们就发现一种不会看错的类似于晶体化的东西,因为这骨化作用本来是支配着石灰质的,不过骨化作用仍决不得还原为晶体化作用。在肌肉的硬化中,这种类似性就更为微弱了。同样,动物身体中各种液汁的混合和分泌也是化学上化合和化分的类似物,并且化学的规律仍然继续在起作用,不过是次一级的作用,大受限制,被一个更高的理念所制服罢了。因此单是化学的那些力,如不在有机体中,就决不会产生这样的身体液汁;而是[某种东西]

    化学不知儿,解嘲有何益?

    “自然之精华”,姑以为定义。

    由于战胜一些较低的理念或意志较低的客体化而涌现的那一较完备的理念,正是由于它从每一被降服了的理念吸收了一较高级次的类似物在它自身中而获得了一崭新的特性。意志把自己在一新的更明晰的方式上客体化了。原来本是由于两可的双重方式,后来却是由于同化于现成的种子而生的,有有机的浆液、植物、动物、人。所以那较高现象是从一些较低现象的相互冲突中产生的,它吞噬了这一切现象然而又在较高的程度上实现了这一切现象的向上冲动。所以这里就已经是“蛇不吃蛇、不能成龙”这一条规律在支配着。

    我原以为由于[我这]论述的明晰性可以使我克服这些思想在[它们] 的题材上附带有的晦涩,可是我已看清楚,如果我不想仍然为人所不理解或误解的话,那么,读者们自己的考察就必须大大的助我一臂之力才行。——根据上面提出来的看法,人们固然得以在有机体中指出各种物理化学作用的迹象,但决不应以这些迹象来解释有机体;因为有机体怎么也不是由这些力统一起来的作用所产生的现象,所以也不是偶然产生的现象,而是一个较高的理念、这一理念以压倒一切的同化作用降眼了那些较低的理念;[而这又是] 因为那把自己客体化于一切理念中那一个意志在它力趋最高可能的客体化时,在这儿把它较低级别的现象,在经过一场冲突之后,放弃了,以便在一个铰高的级别上更强有力地显现。没有胜利不是通过冲突而来的……较高的理念或意志的较高的客体化,既只能由于降眼了较低级的理念才能出现,那么,它就要遭到这些较低理念的抵抗了。这些理念虽然是已降到可供驱使的地位了,总还是挣扎着要获得它们自在的本质独立完整的表出。把一块铁吸上来的磁石就不断地在和重力进行着斗争,[因为] 重力作为意志最低级的客体化,对于这铁的物质有着更原始的权利。在这个不断的斗争中,由于抗拒力好比是在刺激着它作出更大的努力似的,这磁石也使自己更坚强了。和磁石一样,每一意志现象,包括在人类有机体内表出的意志现象,也在对许多物理的,化学的力进行着持续的斗争;而这些力作为较低级的理念,对于有机体中的物质也有着先人为主的权利。所以人的手臂,由于克服了重力而把它举起一会儿之后,仍会掉下去。因此健康的舒适感[虽然] 表现着一种胜利,是自意识着这舒适感的有机体的理念战胜了原来支配着身体浆液的物理化学规律。可是这舒适感是常常被间断了的,甚至经常有一种或大或小的,由于那些物理化学力的抗拒而产生的不适感与之相伴,由此我们生命中无知地运行着的部分就已经是经常的和一种轻微的痛苦联在一起了。所以消化作用也要压低一切动物性的机能,因为消化要据有全部生命力以便通过同化作用而战胜化学的自然力。所以根本是由于这些自然力才有肉体生活的重负,才有睡眠的必要,最后还有死亡的必然性。在死亡中,那些被制服了的自然力,由于有利情况的促成,又能从疲于不断斗争的有机体[手里]夺回它们被劫走的物质而它们的本质又得以无阻碍地表达出来了。因此人们也可以说,每一有机体之表出一理念,——有机体就是这理念的摹本——,仅仅是在抽去那部分用于降服和这有机体争夺物质的低级理念的力量之后。耶各·丕姆似乎已隐约的看到这一点,他在有一个地方说人类和动物,甚至植物所有的一切身体,真正说起来都是半死的。那么,在有机体降服那些表出着意志客体性低层级别的自然力时,各按其成功的或大或小,有机体便随之而成为其理念的较圆满或较不圆满的表现,即是说或较近于或较远于那理想的典念;而在有机体的种属中,美就是属于这典型的。

    这样我们在自然中就到处看到了争夺,斗争和胜败无常,转败为胜,也正是在这种情况中我们此后还要更清楚地认识到对于意志有着本质上的重要性的自我分裂。意志客体化的每一级别都在和另一级别争夺着物质、空间、时间。恒存的物质必须经常更换[自己的]形式,在更换形式时,机械的、物理的、化学的、有机的现象在因果性的线索之下贪婪地抢着要出现,互相夺取物质,因为每一现象都要显示它的理念。在整个自然界中都可跟踪追寻这种争夺,是的,自然之为自然正就只是由于这种争夺:“因为如果冲突争夺不存在于事物中,一切就会是‘一’,有如恩披陀克勒斯所说。”(亚里士多德:《形而上学》b.5)原来这冲突争夺自身就只是对于意志有本质的重要性的自我分裂的外现。这种普遍的斗争在以植物为其营养的动物界中达到了最显著的程度。在动物界自身中,每一动物又为另一动物的俘虏和食料,也就是说每一动物又得让出它借以表出其理念的物质,以便于另一理念得据以为其表出之用,因为每一动物都只能由于不断取消异类的存在以维持它自己的存在。这样,生命意志就始终一贯是自己在啃着自己,在不同形态中自己为自己的食品,一直到了人类为止,因为人制服了其他一切物种,把自然看作供他使用的一种出品。然而就是在人这物种中,如我们在第四篇里将看到的,人把那种斗争,那种意志的自我分裂暴露到最可怕的明显程度,而“人对人,都成了狼”了。同时,我们在意志客体性的较低级别上也看到这同一的斗争,同一的[一物]制[一物]。许多昆虫(尤其是膜翅类昆虫)把蛋下在别种昆虫的蛹的表皮上,甚至下在蛹的体内,而这些蛹的慢性毁灭就是新孵出的这一幼虫做出来的第一件工作。枝生水媳的幼虫从成虫中长出,好象树之有枝一样,后来才和成虫分离;在幼虫还牢固地长在成虫身上时,已经在和成虫争夺那些自己送上来的食物,竟可说是互相从口中抢夺这些东西(春百烈[trembley]:《百足动物》Ⅱ,第110页,Ⅳ,第165页)。澳洲的猛犬蚁为这种斗争情况提供了最触目的例子:当人们把它切断之后,在头部和尾部之间就开始一场战斗,头部以上下颚咬住尾部,尾部力刺头部而[发起]勇敢的自卫。这场战斗经常要延长到半小时之久,直到双方死亡或被其他蚂蚁拖走为止。[每次试验,]每次都发生同样的过程(引自《英国w.杂志》豪威特[holwitt]的一封信,转载于贾立格兰尼的《邮报》,1855年11月17日)。在米苏里河的两岸,人们不时看到参天的椽树被巨大的野葡萄藤缠住枝千,束缚着、捆绑着大树,以至这树不能不窒息枯萎。甚至在最低的一些级别上也可看到同样的情况,例如通过有机的同化作用,水和碳就变为植物浆液,植物或面包又变为血液;并且,只要是一些化学的力被限制为低一级的作用而动物分泌又正在进行的场合,到处也都有这样的变化。其次是在无机自然界也有这种情况,例如正在形成的结晶体互相遭遇,互相交叉而互相干扰,以至无从表出它们完整的结晶形式,以至任何晶簇几乎都是意志在其客体化那么低的级别上冲突着的摹本。或是磁石把磁性强加在铁上时,磁石要在铁中显出它的理念,或是化学的放电作用制服了各种化学的亲和力,把牢固的化合物分解了而如此严重地抑制着化学的规律,以致在阴极被分解的一种盐类的酸不得不奔赴阳极,却又不得和它中途必须通过的硷类相结合,即令只是把中途遇着的石蕊纸变成红色也不可能。在宏观[的宇宙]方面,也有同样的情况表现在恒星与行星之间的关系上。行星星是断然的依附[于恒星],却还是和有机体内的一些化学力一样,在抗拒着[恒星],从而产生向心力和离心力之间永恒的紧张。这种紧张[不但]使宇宙天体运行不息,而且自身就已是我们正在考察着的那普遍的,意志现象本质上的斗争的一个表现。因为任何物体既然必须作为意志的一个现象看,而意志又必然是作为一种向上冲动而表达出来的;那么,任何拎成球形的天体,它的原始本然状态就不能是静,而是动,而是无休止地,无目标地,在无穷空间中向前的迈迸。这一点既不和惯性定律,也不和因果律相反。因为按惯性定律,物质之为物质对于动静是无所偏爱的,所以物质的本然状态可以是动,也可以是静。因此,如果我们发现它在运动中,我们便无权假定它前此经历了静止状态,无权追问运动所以发起的原因;正和反过来,我们发现它在静止中,无权假定它前此经历过运动状态,无权追问那运动何以停下来的原因,是一样的。因此要为离心力找到最初的推动力,那是无处可找的,因为离心力在行星,依康德和拉布拉斯的假设,是恒星原有自转运动的残余,这又因为行星是在恒星自行缩小时从恒星中分离出来的。但运动对于恒星是本质上重要的[东西],它仍一贯自转着,并同时在无穷空间中飞去,或是围绕着一个更大的,我们看不见的恒星在旋转。这一看法和天文学家的臆测的中央恒星说完全一致,也符合于已发现了的,我们整个太阳系在移动的事实;也许是我们太阳所属的整个星群在移动,最后还可推论到一切恒星的,包括中央恒星在内的普遍移动,而这种在无穷空间中的移动当然也就己失去任何意义了[因为在绝对空间中的运动是无法能区别于静止的]。这种无穷空间中的向前移动正由于失去意义,直接由于无目标的奋进和飞行,就已表现为我们在本书的末尾必须认为是意志在其一切现象中的奋进所[共]有的那种虚无性,那种缺乏最后目的了。因此无穷的空间和无尽的时间又必然是意志所有一切现象最普遍、最基本的形式,而意志的整个本质就是为了要表出为现象而存在的。——最后,甚至在单纯的物质中,在物质作为物质看时,只要物质现象的本质是康德正确地称为排拒力和吸引力[的东西],我们就已经能看出[这里]纳入考察的,一切意志现象的相互斗争了。所以物质已经就只是在相反力量的斗争中而有其存在了。如果我们把物质的一切化学差别抽掉,或是在因果链上设想,一直回溯到没有化学差别存在的时候,那么我们就只有剩下来的纯物质了,剩下这世界传成一颗弹丸,而这弹丸的生命,亦即意志的客体化,也就是吸引力和排拒力之间的那斗争所构成的了;前者作为重力,从一切方面向中心扑去;后者作为不可透入性,或是惜固体性或是惜弹性抗拒着前者。这一永恒的扑向中心和抗拒作用就可看作意志在最低级别上的客体性,并且在这级别上就已表现了意志的特性。

    于是我们在这里,在这最低级别上,就好象是看到意志把自己表出为盲目的冲动,为一种昏暗无光的、冥顽的躁动,远离着一切直接认识的可能性。这是意志客体化最简单最微弱的一种。

    不过在整个无机的自然界,在一切原始的“力”中,意志也是作为这种盲目冲动和无知的奋斗而显现的;物理化学所从事的就是找出,这些原始“力”和认识它们的规律。这些原始“力”中的任何一种都是在百万次完全相同的,合乎规律的现象中,把自己表出于我们之前,毫不露出一点个性特征的痕迹,而只是被时间和空间,亦即被个体化原理所复制罢了,有如一个图片被菱镜的许多平刻面所复制一样。

    意志的客体化一级比一级明显,然而在植物界,连结意志现象的纽带虽已不是原因而是刺就,意志仍然是完全无知的作用,还是无明的冲动;同样,最后在动物现象中自然运行的部分,在任何动物的生育和成长中,在动物内部营养输将的维系上,依然还只是刺戟在必然地决定着意志的现象,意志也还是盲目的。意志客体性的级别一直上升,最后达到一点,在这一点上表出理念的个体已经不能单由随刺戟[而发生]的活动来获得它要加以同化的营养品了,因为这种刺戟必须待其自来,而在这里,营养品都是特殊规定的,在现象愈来愈复杂的时候,拥塞混乱的情况就更加剧了,以致这些现象互相干扰起来,于是单是由刺戟发动的个体必须从偶然的机会来等待食物,那就太不利了。因此,动物在卵中或母体中是无知的成长着,从它脱离卵或母体那一瞬开始,食物就必须是搜寻来的,拣选来的。由于这个缘故,行动就必要按动机[而发],而为了这些动机又必须有认识;所以认识是在意志客体化的这一级别上作为个体保存和种族延续所要求的一种辅助工具,[一种]“器械”而出现的。认识的出现是以大脑或一更大的神经节为代表的,正如把自己客体化的意志其他的任何企求或规定都是以一个器官为代表的一样,也即是为表象而把自己表出为一器官。——可是因为有了这个辅助工具,这个“器械”,在反掌之间就出现了作为表象的世界,附带地还有它所有的形式:客体和主体,时间,空间,杂多性和因果性。这时世界显出了[它的]第二面。在此以前世界原只是意志,现在它同时又是表象,是认识着的主体的客体了,直到这里,意志是在黑暗中极准确无误地追随它的冲动;到了[现在]这一级别,它却为自己点燃了一盏明灯。为了消灭那个从它那些现象的拥塞和复杂情况中产生出来的缺点,即令最完备的现象也不免要产生的那个缺点,这盏明灯是一个不可少的工具。在此以前,意志所以能在无机的和单纯植物性的自然中以一种决不失误的妥当性和规律性起作用,那是因为只有它独自在它的原始本质中,作为盲目冲动,作为意志在活动,没有别的援助,可是也没有来自第二个完全不同的世界,来自作为表象的世界的干扰。作为表象的世界虽然只是它自己的本质的写照,但却是完全另一性质,现在却要插手在它那些现象的联系之中了。于是,它那些现象的决不失误的妥当性就从此告终了。动物就已经不免为假象,幻觉所迷误。动物还只有直观的表象,没有概念,没有反省思维:因此它们是束缚在“现在”上的,不能顾及将来。——看起来,这种没有理性的认识好象不是在一切场合都足以达到它的目的似的,有时候好象也需要一种帮助似的。原来还有这样一种值得注意的现象摆在我们面前,就是说盲目的意志作用和由认识照明的作用这两种作用,在两类[不同的]现象之中[每]以非常出乎意料的方式互相侵入对方的范围。一面我们看到在动物那些由直观认识和动机来指导的作为之中,就有一种不带这些认识和动机的作为,也就是以盲目地起作用的意志的必然性来完成的作为。这种作为可以在动物的制作本能中看得出来,这种本能既无动机,又无认识的指导,然而看起来甚至好象是按抽象的、理性的动机来完成它们那些工作的。和这相反的另一情况是反其道而行之,认识之光侵入了盲目地起作用的意志的工地里去了,把人类有机体的纯生理机能照明了:在磁性催眠术中就是这样。——最后在意志达到了它客体化的最高程度时,发生于动物的那种悟性的认识,由于是感官为它提供资料,而从这些资料产生的[又]只是局限于眼前的直观,所以就不敷应用了。人,这复杂的、多方面的、有可塑性的、需求最多的、难免不受到无数伤害的生物,为了能够生存,就必须由双重认识来照明,等于是直观认识之上加上比直观认识更高级次的能力,加上反映直观认识的思维,亦即加上具有抽象概念能力的理性。与理性俱来的是思考,囊括着过去和未来的全景,从而便有考虑、忧虑,有事先筹划的能力,有不以当前为转移的行为,最后还有对于自己如此这般的意志决断完全明晰的意识。假象和幻觉的可能性既已随单纯的直观认识而俱来,于是,前此在意志无知的冲动中的可靠性就被取消了,因此本能和制作冲动,作为无知的意志之表出而杂在那些由认识指导的意志之表出中,就必须出而助以一臂之力;所以说和理性出现的同时,[前此]意志之表出的那种可靠性和准确性(在另一极端、在无机自然界,甚至现为严格的规律性)就丧失殆尽了。本能[既]几乎完全引退,势欲取一切而代之的思考(如在第一篇里论列的)就产生了摇摆不定和踟蹰不决,于是谬误有了可能,并且在好些场合还以行动妨碍着意志恰如其分的客体化。这是因为意志虽在性格中已拿定了它固定不变的方向,而欲求本身又少不了要在动机的促使之下按此方向而出现;然而由于幻想的动机如同真实的动机一样插手其间,取消了真实动机,谬误就能把意志的表出加以篡改;例如迷信在不知不党中带进了幻想的动机,强制一个人进行某种行为,和他的意志在原来情况之下没有这种强制时会要表出的行为方式恰恰相反:[所以]阿格梅姆隆杀了他的女儿;吝啬鬼出于纯粹自私,希望将来获得百倍的酬报也要布施,如此等等。

    所以认识,从根本上看来,不管是理性的认识也好,或只是直观的认识也好,本来都是从意志自身产生的。作为仅仅是一种辅助工具,一种“器械”,认识和身体的任何器官一样,也是维系个体存在和种族存在的工具之一。作为这种工具,认识[原]是属于意志客体化较高级别的本质的。认识本来是命定为意志服务的,是为了达成意志的目的的,所以它也几乎始终是驯服而胜任的,在所有的动物,差一些儿在所有的人,都是如此的。然而在[本书]第三篇我们就会看到在某些个别的人,认识躲避了这种劳役,打开了自己的枷锁;自由于欲求的一切目的之外,它还能纯粹自在地,仅仅只作为这世界的一面镜子而存在。艺术就是从这里产生的。最后在第四篇里,我们将看到如何由于这种[自在的]认识,当它口过头来影响意志的时候,又能发生意志的自我扬弃。这就叫作无欲。无欲是[人生的]最后目的,是的,它是一切美德和神圣性的最内在本质,也是从尘世得到解脱。

    意志把自己客体化于现象中,我们已考察了这些现象的巨大差别性和多样性,我们也看到了这些现象相互之间无穷尽的和不妥协的斗争。然而,根据我们前此所有的论述。意志自身,作为自在之物,却并不包括在这种杂多性和变换之中。理念(柏拉图的)的差别,也即是客体化的各个级别;一大群的个体,每一理念都把自己表出于这些个体中;形式与形式之间为占有物质而进行的斗争[等等];这一切都和意志无关,而不过是意志客体化的方式和佯态,只是由于客体化才和意志有着间接的关系;借此关系这一切才属于意志的本质为[了成为]表象[而有]的表现。犹如一盏神灯映出多种多样的图片,然而使所有这些图片获得可见性的却只是[灯里]那一个火焰,那么,在一切繁复的现象中,——这些现象或是并列而充塞宇宙,或是作为事故先后继起而相消长——,在这一切变动中只有那一个意志是显现者,永无变动;而那一切一切则是它的可见性、客体性。唯有它是自在之物而一切客体则都是显现,用康德的话说,亦即都是现象。——意志作为(柏拉图的)理念,虽在人类中有其最明显的和最完美的客体化,然而单是这一客体化还不能表出意志的本质。人的理念,如果要在应有的意义之下显露出来,就不可孤立地、割裂地表出,而必须有向下行的各级别,经过动物的一切形态,经过植物界直到无机界[的自然]相随在后才行。有这一切才使意志的客体化达到完整的地步。人的理念要以这一切为前提,正如树上的花要以枝、叶、根、干为前提是一个道理。这些级别形成一个金字塔,而入就是塔顶。如果人们爱好比喻的话,我们也可以说这一切一切,它们的现象是如此的必然随伴着人的现象,正如[白昼]完全的光明必有逐级不同的半明半暗相随伴一样,经过半明半暗才消失于黑暗之中。人们还可以把这一切称为人类的余音,可以说动物和植物是下降的第五和第三音阶,而无机界则是较低的第八音阶。不过最后这个比喻的全部真实性,要在下一篇中我们探讨音乐的深长意味时,才能明白;[在那儿]我们将看到那通过轻快的高音而在连续中进行的曲调,何以要在某种意义上看作是在表现着人的由于反省思维而有着连续的生活与奋斗。与此相反,那些不相连续的补助音和慢低音原是音乐的完整性所必需的谐音之所从出,这些音就象征着其他动物界和无知觉的自然。不过关于这一点,容在后文适当的地方再谈,在那里听起来就不会是这样难解了。——可是我们也看到了意志现象所以要排成级别的内在的,和意志恰如其分的客体性分不开的必然性,在所有一切意志现象中都是由一种外在的必然性表现出来的。由于这种[外在] 必然性,人为了自己的生存就需要动物,动物又因而依次需要另一种动物,然后也需要植物;植物又需要土壤、水分、化学元素、元素的化合物等,需要行星、太阳、[行星的]自转和公转、黄道的倾斜度等等。归根结底,这都是由于意志必须以自身饱自己的馋吻而产生的,因为除意志以外,再没有什么存在的东西了,而它呢,却是一个饥饿的意志。[人世的]追逐、焦虑和苦难都是从这里来的。

    唯有在现象无穷的差别性和多样性中,认识到作为自在之物的意志的统一性、单一性,才能对于自然界一切产物间那种奇迹般的,不会看错的类似性,那种亲族的近似性提出真正的说明。由于这种亲族的近似性,我们才能把自然界的产物看作那同一的,但不是随同提出的一个主旋律的变化。与此相似,由于清晰而深入地认识到这世界一切部分间的那种谐和,那种本质上的联系,认识这些部分划成级别的必然性——这是我们才考察过的——,我们对于自然界一切有机产物的内在本质及其不可否认的目的性有何意义才能有一个真实的充分的理解。[至于]这种目的性,在我们考察和审定这些有机的自然产物时,我们已先验地把它假定下来了。

    这个目的性有双重的性质,一面是内在的,也就是一个个别有机体所有各部分间有如此安排好了的相互协调,以致该有机体及其种族有了保存的可能,因而这就表现为那种安排的目的。另外一面这目的性又是外在的,一般说来这根本是无机自然界对有机自然界的一种关系,不过有时也是有机自然界各部分之间相互的一种关系;这种关系使整个有机自然界,同时也使个别物种有了保存的可能,因此,这关系对于我们的判断是作为达到这一目的的手段而呈现的。

    这内在的目的性就是以下述方式插到我们这考察的序列中来的。如果以前此所说的为据,在自然界中一切形态的差别性和个体的杂多性都不属于意志,而只属于意志的客体性和客体性的形式;那就必然要说,意志,尽管它客体化的程序,也就是(柏拉图的)理念,是差别很大的,它自己却是不可分割的,在任何一现象中出现,都是整个的意志。为了易于了解起见,我们可以把这些不同的理念作为个别的,自身简单的意志活动看,而意志的本质又是或多或少地把自己表出在这些活动中的。个体却又是这些理念——亦即那些活动——在时间、空间和杂多性中的一些现象。——一个这样的[意志]活动(或理念)在客体性的最低级别上也在现象中保有它自己的统一性,而如果在较高的级别上,为了显现出来,这种活动就需要时间上的整个一系列的情祝和发展,所有这些情况和发展结合起来才能完成它的本质的表出。例如,在任何一种普遍自然力中显示出来的理念,不管它这个表出按外在情况的变化是如何的有差别;它总只有一个单一的表出;否则就根本不能指出这表出的同一性,而指出这种同一性正是由剥落那些从外在情况发生的差别性来完成的。结晶体正是这样才只有一次的生命表现,那就是它的结晶活动。这个生命表出随后就在僵化了的形式上,在它一瞬息的生命的遗骸上有着它完全充分和赅括无余的表现。植物[也]是理念的显现,但植物表现理念——植物即这理念的显现——就已不是一次的,也不是由一个单一的表出,而是由植物器官在时间上的继续发育来表现的。动物则不仅是在同一形式下,不仅是在相续而常不相同的形态(形变)中发展着它的有机体,而是这形态本身,虽已是意志在这级别上的客体性,却仍不足以充分表现它的理念;而是由于动物的行为,这理念才得到完整的表现,因为动物的验知性格,也即是在整个这一物种中相同的性格,是在这些行为中透露出来的,这才是理念的充分显出。这时,理念的显出就是以那一定的有机体为基本条件的。至于人类,每一个体已各有其特殊的验知性格(我们将在第四篇看到直至完全取消种性,即是由于一切意欲的自我扬弃而取消种性)。那由于时间上必然的发展,由于以此发展为条件的分散为个别行为而被认为是“验知性格”的东西,在抽去属于现象的这时间形式时,就是康德术语中的“悟知性格”。康德指出了这一区别和阐明了自由与必然之间的关系,实际上也就是阐明了自在之物的意志和意志在时间中的现象两者之间的关系;在这些指示中特别辉煌地显出了他不朽的功绩。所以这悟知性格是和理念,或更狭义些是和显露于理念中的原始意志活动相准的。那么,在这个范围内说,就不仅是每个人的验知性格,而且是每一动物种属的,每一植物种属的,甚至无机自然每一原始力的验知性格都要作为悟知性格的——也即是一个超乎时间、不可分割的意志活动的——现象看。——附带的我想在这里指出植物的坦率也可注意一下。每一植物单是在它的形态中便已坦率地表出了它整个的性格,公开显示着它的存在和意欲;植物面貌所以那么有趣就是由于这一点。可是动物[就不同],如果要在理念上认识它,就已经要在它的行动和营为上来观察;而人呢,因为理性使他具有进行伪装的高度能力,就只有全靠研究和试探[来认识他了]。动物比人更坦率,在程度上比较正等于植物比动物更坦率。在动物,比在人更能看到赤裸裸的生命意志,因为人是用许多知识包扎起来的,此外又是被伪装的本领掩饰起来的,以至他的真正本质几乎只偶然地问或显露出来。完全赤裸裸的,不过也微弱得多,那是显出于植物的生命意志,那是没有目的和目标,盲目求生存的冲动。这是因为植物显示它全部的本质,是一览无余的,是完全天真无邪的。这种天真无邪,并不因一切禽兽的生殖器官都在隐蔽的部位,而植物却顶戴之以供观赏,便有所损失。植物的天真无邪基于它的无知无识。邪恶并不在意欲中,而是在带有知识的意欲中。每一植物首先就吐露了它的故乡,吐露这故乡的气候和它所从生长的土壤的性质。因此,即令是一个没有学习过的人也容易识别一种异乡的植物是热带地区的还是温带地区的,是生长在水里的,在沼地的,在山上的还是在荒地上的。此外每一种植物还表达了它种族的特殊意志而说出用任何其他语言不能表示的东西。——但是现在要看看[如何]应用已说过的[这些] 来对有机体作目的论上的考察,并且这种考察也只以针对有机体内的目的性为范围。在无机的自然中,当那到处都是当作一个单一的意志活动来看的理念把自己显露于仅仅一个单一的并且总是相同的表出[方式中] 时,人们就能说验知性格在这里直接具有“悟知性格”的统一性,等于是和“悟知性格”合一了,因此这里就不能显出什么内在的目的性。与此相反,当一切有机体是以前后相继的发展来表出它的理念时,而这发展又是被决定于不同部位互相并列的多样性的,也就是说这些有机体的“验知性格”所有那些表现的总和统括起来才是“悟知性格”的表出;那么,这就并不是说这些部位的必然互相并列,这些发展的必然前后相继就取消了这显现着的理念的统一性了,就取消了这把自己表出的意志活动的统一性了。实际上,倒反而是这个统一性在那些部位和发展按因果律而有的必然关系与必然连锁上获得了它的表现。把自己显出于一切理念中的,亦如显出于一个[意志]活动中的,既然就是那唯一的,不可分的,因而完全和自己相一致的意志,那么,意志的现象虽然分散为不同的部位和情况,仍然必须在这些部位和情况一贯的相互协调中显出那统一性。这是由于所有一切部分间的必然相关和相互因依而后可能的,由此即令是在现象中也恢复了理念的统一性。准此,我们现在[就可]把有机体的那些不同部分和不同功能看作相互之间的手段和目的,而有机体自身则为一切目的的最后目的。从而一面有自身单一的理念分散为有机体杂多的部位和情况,另一面是理念的统一性又由于那些部位和功能的必然联系作为互相依存的因和果,手段和目的而得恢复;无论哪一面对于显现着的意志之为意志,对于[这]自在之物,都不是特有的,本质的东西;而只是对于意志在空间、时间和囚果性(都是根据律的一些形态,现象的一些形式)中的现象,这两面才都是特有的、本质的东西。这两面都属于作为表象的世界而不属于作为意志的世界;属于意志221在其客体性的这一级别上如何成为客体——也即是如何成为表象——的方式和方法。谁要是钻进了这一容或有些难于理解的讨论[所包含]的意思,以后就会充分地懂得康德的学说。这学说的旨趣是说有机界的目的性也好,无机界的规律性也好,最初都是由我们的悟性带进自然界来的,因此目的性和规律性两者都只属于现象而不属于自在之物。前面已说过,人们对于无机自然界的规律性感到惊奇的是这种规律从不失效的恒常性。这种惊奇,和人们对于有机自然界的目的性所感到的惊奇基本上是同一回事,因为在这两种情况之下,使我们诧异的都只是看到了理念本有的统一性,而理念[只是]为了现象才采取了杂多性和差别性的形式。

    至于第二种目的性,外在的目的性——按前面所作的分类——那是在有机体的内部生活中看不到的,而只是在有机体从外面,从无机的自然获得的,或是从别的有机体获得的支援和帮助中看得到的。就这一目的性说,它同样的可在上面确立的论点中获得一般的说明,因为这整个世界,连同其一切现象既都是一个不可分割的意志的客体性,而这理念对一切其他理念的关系又有如谐音对个别基音的关系,那么,在意志所有一切现象相互之间的协调中,也必然可以看到意志的那种统一性。不过,如果我们再深入一点来察看那外在目的性的一些现象以及自然界各不同部分之间的协调,那么,我们就能够把这里的见解大大的弄清楚些;并且这样来讨论还可以回过头来说明前面的论点,而要达到这一步,我们最好是来考察下面的类比。

    任何一个人的性格,只要彻底是个别的而不是完全包涵于种性中的,都可以看作一个特殊的理念,相当于意志的一个特殊客体化行动。那么,这一行动自身就可说是人的悟知性格,而人的验知性格就是这悟知性格的显现了。悟知性格是没有根据的,即是作为自在之物而不服从根据律(现象的形式)的意志。验知性格是完完全全被这“悟知性格”所规定的。验知性格必须在一个生活过程中构成悟知性格的摹本,并且除了悟知性格的本质所要求的而外,不能有别的作为。不过这种规定只对如此显现的生命过程的本质方面有效,对于非本质的方面是无效的。属于这非本质方面的就是经历和行为的详细规定,而经历和行为就是“验知性格”借以显现于其中的材料。经历和行为是由外在情况规定的,外在情况又产生动机,而性格则按其自性而对动机起反应。因为外在情况可以大不相同,那么“验知性格”由之而显现的外在形态——亦即生活过程上某些实际的或历史的形态——必须适应外在情况的影响。这种形态可以很不相同,尽管这现象的本质方面,现象的内容,保持不变。例如人们是拿胡桃,还是拿王冠作赌注,这是非本质的方面,但在赌博中人们是故弄玄虚而欺骗或是老老实实按规矩赌博,这却是本质的方面。后者是由悟知性格决定的,前者是由外来影响决定的。正如一个主旋律可以用千百种音调的变化来发挥,同一个性格一样也可出现于千百种不同的生活过程中。尽管外来影响可以如此多变,在生活过程中表出的验知性格,不管那影响如何,仍然必须准确地[去)客体化那悟知性格,因为后者是常使它的客体化适应着实际情况已有的材料的。——如果我们愿意想一想,意志在它客体化的那一原始活动中是如何决定着它把自己客体化于其中的不同理念,——而这些理念也就是各种自然产物的不同形态———且意志的客体化既分属于这些形态,所以这些形态在现象中也必然有着相互的关系;那么,我们现在就得假定一种和外在情况对于在本质方面被性格决定的生活过程所发生的影响相类似的东西。我们必须假定在一个意志所有一切的那些现象之间都有着普遍的相互适应和相互迁就;不过,我们就会看得更清楚,在这里应将一切时间上的规定除外,因为理念原是在时间之外的。准此,每一现象都必须和它所进入的环境相适应,不过环境也得和现象相适应,虽然在时间上,现象所占的地位要晚得多。于是我们到处都能看到这种“自然[界]的协调”。因此,每一植物都是和它的土壤,所在地带相适应的;每一动物都是和它生息于其中的因素,和它用为食料的捕获品相适应的,并且还有一定的防御能力以对付它在自然界中的迫害者。眼睛是和光及光的折射相适应的,肺和血是和空气相适应的,鱼鳔是和水相适应的,海狗的眼是和它借以看事物的本质的变化相适应的,骆驼胃里的蓄水细胞是和非洲沙漠的干旱相适应的,鹦鹉螺的“帆”是和送它那只“小船”前进的风相适应的,如此等等,可往下列举直至最特殊,最使人惊奇的,外在的目的性。不过这里要把一倒时间性关系撇开,因为时间关系只能对理念的显现而言,却不能对理念自身而言。因此上面这种说法也可反过来用,就是不仅承认每一物种适应着已有的情况。而且要承认这在时间上先已有了的情况本身也同样要照顾行将到来的生物。这是因为在整个世界把自己客体化的只是一个同一的意志;它不知有什么时间,因为根据律的这一形态既不属于它,也不属于它原始的客体性——理念——,而是只属于这理念如何被自身无常的个体所认识的方式方法,也即是说只属于理念的显现。因此,就我们目前对于意志的客体化如何把自己分属于各理念的考察来说,时间顺序是全无意义的,而有些理念也并不因为它们的现象按因果津——作为现象是服从因果律的——而先进入时间顺序就对另外一些理念,其现象进入时间顺序较晚一些的理念有什么优先权;反而是这后进入时间的现象正是意志的最圆满的客体化,那些先进入时间顺序的现象必须适应这些后进入的,犹如后者必须适应前者一样。所以行星的运行,黄道的倾向[于赤道],地球的自转,[地壳上]水陆的分布,大气层,光,温暖以及一切类似的现象,它们在大自然正犹如通奏低音之在谐音中,都富有预觉地准备着适应即将降临的各族生物,准备成为这些族类的支柱和维系人。同样,土壤要迁就植物而成为它的营养,植物又准备成为动物的营养,这些动物又安排自己作为别的动物的营养,完全和所有后面的这些又反过来把自己安排为前者的营养一样。大自然的一切部分都互相适应,因为在这一切部分中显现的总是一个意志,而时间顺序对于意志原始的和唯一恰如其分的客体性(下一篇将解释这个术语)——理念——却完全不相干。现在,在各种族已只要保存而无须再发生的时候,我们还一再看到大自然指向将来的,事实上好象是从时间顺序套取来的事先筹划似的,看到那已存在的准备迎接那将要到来的。所以鸟儿要为幼雏筑巢,而它还并不认识这些幼雏;海狸要造窝,而它也并不知它的目的何在;蚂蚁、土拨鼠、蜜蜂要为它们所不知的冬季贮存粮食;蜘蛛,蚁狮好象是以熟虑的妙算要为将来的,它们所不知道的捕获品设立陷阱;而昆虫总是把蛋下在未来的幼虫将来能找到食物的地方。并蒂螺旋藻的雌花本来是被它那螺旋的花茎留在水面之下的,[可是]在花事期间,它却把这螺旋茎伸直而上升到水面,恰好同时,那水底下长在一根短茎上的雄花也就自动从这茎上脱落下来,不惜牺牲生命而浮于水面,以便在飘游中找到雌花;而雌花一经受精之后,又由螺旋茎的收缩作用而回到水底,然后在那里结成果实。这里我不得不又一次想到鹿角虫的雄性幼虫,它们为了将来的形变,在树木里咬出的洞要比雌性幼虫所咬出的要大一倍,以便为将来的两角留出余地。所以动物的本能,根本就给我们提供了最好的解释以说明自然界的其他目的性。原来如同本能很象是按目的概念而有的行为却完全没有目的概念一样;同样,大自然的一切营造也等同于按目的概念而有的营造,而其实并完全没有目的概念。原来我们在大自然的外在目的性中,也同在内在目的性中一样,我们不得不设想为手段和目的的[东西],到处都只是如此彻底自相一致的一个意志的单一性:对我们的认识方式自行分散于空间和时间中的现象。

    同时,由这单一性所产生的现象之间的相互适应和相互迁就却并不能消灭前文阐述过的,出现于自然界普遍斗争中的内在矛盾。这是意志本质上的东西。上述那种协调的范围所及,只是使世界和世界的生物有继续存在的可能,所以没有那种协调,世界也早就完了。因此协调的范围只及于物种的继续存在和一般的生活条件,但不及于个体的继续存在。因此,在物种和普遍自然力借那种协调与适应各自分别在有机界和无机界并存不悖,甚至互相支援的时候,同时与此相反,经过所有一切理念而容体化了的意志,它的内在矛盾也分别显出于[每一〕物种个体之间无休止的毁灭战中和自然力的现象之间相互不断的搏斗中,一如前文所述。这斗争的校场和对象就是物质;互相要从对方夺过来的就是物质以及空间和时间;而空间和时间由于因果性这形式而有的统一才真正是物质,这是在第一篇里已阐明了的。

    我在这里结束这篇论述的第二个主要部分,我是抱有一种希望的,我希望在第一次传达一个前所未有的思想的可能范围内,——正因为前所未有,所以这思想不能全免于一种个性的痕迹,它原是由于这种个性才产生的——,我已成功地传达了一个明显的确的真理,就是说我们生活存在于其中的世界,按其全部本质说,彻头彻尾是意志,同时又彻头彻尾是表象,就是说这表象既是表象,就已假定了一个形式,亦即客体和主体这形式,所以表象是相对的。如果我们问,在取消了这个形式和所有由根据律表出的一切从属形式之后还剩下什么,那么,这个在种类上不同于表象的东西,除了是意志之外,就不能再是别的什么了。因此,意志就是真正的自在之物。任何人都能看到自己就是这意志,世界的内在本质就在这意志中。同时,任何人也能看到自己就是认识着的主体,主体[所有]的表象即整个世界,而表象只是在人的意识作为表象不可少的支往这一点上,才有它的存在。所以在这两重观点之下,每人自己就是这全世界,就是小宇宙,并看到这世界的两方面都完整无遗地皆备于我。而每人这样认作自己固有的本质的东西,这东西也就囊括了整个世界的,大宇宙的本质。所以世界和人自己一样,彻头彻尾是意志,又彻头彻尾是表象,此外再没有剩下什么东西了。所以我们在这里看到泰勒靳考察大宇宙的哲学和苏格拉底考察小宇宙的哲学,由于两种哲学的对象相同而在这一点上契合一致了。——在本书前两篇中所传达的一切见解将由于下续两篇获得更大的完整性,并且由于更完整也就会有更大的妥当性。在我们前此考察中还曾或隐或现地提出过一些问题,希望这些问题也能在后两篇中得到充分的答复。

    目前还可以单独谈谈这样一个问题,因为这本来只是在人们尚未透彻了解前此的论述的意义时才能提出的问题,所以也只在这种情况下才能有助于阐明前此的论述。这是这样一个问题:任何意志既是一个欲求什么东西的意志,既有一个对象,有它欲求的一个目标,那么,在我们作为世界的本质自身沦的那意志究竟是欲求什么或追求什么呢?——这个问题和许多其他问题一样,是由于混淆了自在之物和现象而发生的。根据律只管后者,不管前者,而动机律也是根据律的一形态。任何地方都只能给现象,道地的现象,只能给个别事物指出一个根据或理由,而决不能给意志自身,也不能给意志恰如其分地客体化于其中的理念指出什么根据或理由。所以每一项个别的动作,或自然界的一切变化部有一个原因可寻,而原因也就是必然要引起这些变化的一个情况;唯独自然力本身,它是在这一现象和无数类似现象中把自己显露出来的东西,那就决无理由或原因可寻了。所以如果要追问重力、电等等的原因,那就是由于真正的不智,由于缺乏思考而产生的。只有在人们证明了重力、电等等不是原始的固有的自然力,而只是一个更普遍的,已为人所知道的自然力的一些显现方式之后,才可以问原因,问那个在这里使那些自然力产生重力、电等等现象的原因。这一切都在前面详细申论过了。同样,一个认识着的个体(这个体自身只是意志作为自在之物而显出的现象),他的每一个别意志活动都必然的有一动机,没有动机那意志活动就决不能出现;但是和物质的原因只包含着这个或那个自然力的表出必然要在此时此地,在此一物质上出现的规定一样,动机也只是把一个认识着的生物在此时此地,在某些情况之下的意志活动作为完全单独的,个别的东西来规定,而决不是规定这一生物它根本欲求和在这一方式下欲求。这种欲求是生物的悟知性格的表出,而悟知性格,作为意志自身,作为臼在之物,是没有根据或理由的,是在根据律的范围之外的。因此,每人也 经常有目的和动机,他按目的和动机指导他的行为;无论什么时候,他都能为自己的个别行动提出理由。但是如果人们问他何以根本要欲求或何以根本要存在,那么,他就答不上来了,他反而会觉得这问题文不对题。这里面就正是真正的说出了他意识着自己便是意志,而不是别的。意志的欲求根本是自明的,只有意志的个别活动在每一瞬点上才需要由动机来作较详尽的规定。

    事实上,意志自身在本质上是没有一切目的,一切止境的,它是一个无尽的追求。这一点,在谈到离心力的时候,已经触及到。在意志客体化的最低级别上,也就是在重力上,“也可看到这一点:重力不停地奔赴[一个方向],一眼就可明白看到它不可能有一个最后日的。因为,即令是所有存在的物质都按它的意志而传成一个整块,然而重力在这整块中,向中心点奔赴挣扎着,也还得和不可透入性作斗争,[不管]这不可透入性是作为固体性或弹性而出现的。所以物质的这种追求永远只能受到阻碍,却决不,也永不会得到满足或安宁。可是意志所有的现象的一切追求也正是这样一个情况。每一目标,在达成之后,又是一个新的[追求] 过程的开端,如此[辗转]以至于无穷。植物从种子经过根、干、枝、叶以达到花和果而提高了它自己的显现,这果又只是新种子的开端,一个新的个体的开端,这新个体又按老一套重演一遍,经过无尽的时间如此辗转[往复]。动物的生活过程也是这样的:生育是过程的顶点;在完成这[一任务]之后,这一代的个体的生命就或快或慢地走向下坡,同时自然地,一个新个体便[起而]保证了这物种的继续生存且又重演这同一过程。是的,每一有机体[中]物质的不断更新也只能作这种不断冲动和不断变换的现象看。这种现象,生理学家们现在已中止把它作为对运动中被消耗的物质的必要补偿看了,因为机器的可能损耗决不可和通过营养而来的不断增益等同起来。永远的变化,无尽的流动是属于意志的本质之显出的[事]。最后,在人类的追求的愿望中也能看到同样的情况。这些欲望总是把它们的满足当作[人的]欲求的最后目标来哄骗我们,可是在一旦达成之后,愿望就不成为愿望了,很快的也就被忘怀了,作为古董了;即令人们不公开承认,实际上却总是当作消逝了的幻想而放在一边[不管]了的。如果还剩下有什么可愿望可努力的,而这从愿望到满足,从满足到新愿望的游戏得以不断继续下去而不陷于停顿,那么,这就够幸运的了。从愿望到满足又到新的愿望这一不停的过程,如果辗转快,就叫作幸福,慢,就叫作痛苦;如果限于停顿,那就表现为可怕的,使生命僵化的空虚无聊,表现为没有一定的对象,模糊无力的想望,表现为致命的苦闷。——根据这一切,意志在有认识把它照亮的时候,总能知道它现在欲求什么,在这儿欲求什么;但决不知道它根本欲求什么。每一个别活动都有一个目的,而整个的总欲求却没有目的。这正是和每一个别自然现象在其出现于此时此地时,须由一个充足的原因来决定,而显现于现象中的力却根本没有什么原因,是同出一辙的,因为这种原因已经是自在之物的,也是无根据的意志的现象之级别。——意志唯一的自我认识总的说来就是总的表象,就是整个直观世界。直观世界是意志的客体性,是意志的显出,意志的镜子。直观世界在这一特殊意味中吐露些什么,那将是我们后面考察的对象。

    第三篇 世界作为表象再论

    独立于充分根据律以外的表象柏拉图的理念艺术的客体那永存而不是发生了的是什么,那永远变化着、消逝着而决不真正存在着的又是什么? ——柏拉图

    我们既已在第二篇里从世界的另一面考察了在第一篇里作为单纯表象,作为对于一个主体的客体看的世界,并发现了这另一面就是意志。唯有意志是这世界除了是表象之外还是什么的东西。在此以后,我们就根据这一认识把这世界不管是从全体说还是从世界的部分说,都叫做表象,叫做意志的客体性。由此说来,表象或意志的客体性就意味着已成为客体——客体即表象——的意志。此外我们现在还记得意志的这种客体化有很多然而又固定的级别,意志的本质在这些级别上进入表象,也就是作为客体而显现,而明晰和完备的程度则是逐级上升的。只要这些级别意味着一定物种或有机和无机的一切自然物体的原始,不变的形式和属性,意味着那些按自然规律而把自己显露出来的普遍的力,那么,我们在第二篇里就已在那些级别上看出了柏拉图的理念。所有这些理念全部总起来又把自己展出于无数个体和个别单位中,理念对个体的关系就是个体的典型对理念的摹本的关系。这种个体的杂多性是由于时间,空间,而其生灭[无常]则是由于因果性才能想象的。在时间、空间、因果性这一切形式中,我们又只认识到根据律的一些不同形态;而根据律却是一切有限事物,一切个体化的最高原则。并且在表象进入这种个体的“认识”时,根据律也就是表象的普遍形式。与此相反,理念并不进入这一最高的原则,所以一个理念既说不上杂多性,也没有什么变换。理念显示于个体中,个体则多至无数,是不断在生灭中的;可是理念作为同一个理念,是不变的;根据律对于它也是无意义的。但是根据律既是主体的一切:‘认识”的形式,只要这主体是作为个体而在认识着,那么,这些理念也就会完全在这种个体的认识范围以外。因此,如果要这些理念成为认识的对象,那就只有把在认识着的主体中的个性取消,才能办到。今后我们首先就要更详尽地从事于这一点的说明。

    在谈到这一点之前,首先还有下面这个要注意的主要事项。我希望我已在前一篇里成功地缔造了一种信念,即是说在康德哲学里称为自在之物的东西,在他那哲学里是作为一个如此重要却又暖味而自相矛盾的学说出现的。尤其是由于康德引入这个概念的方式,也就是由于从被根据决定的东西推论到根据的方式,这自在之物就被认为是他那哲学的绊脚石,是他的缺点了。现在我说,如果人们从我们走过的完全另一途径而达到这自在之物,那么,自在之物就不是别的而是意志,是在这概念按前述方式已扩大,固定了的含义圈中的意志。此外,我还希望在既有了上面所申述的这些之后,人们不会有什么顾虑就[能]在构成世界自身的意志之客体化的一定级别上看出柏拉图的所谓永恒理念或不变形式。这永恒理念[之说],多少世纪以来就被认为是柏拉图学说中最主要的,然而同时也是最晦涩的、最矛盾的学说,是许许多多心情不同的头脑思考、争论、讥刺和崇敬的对象。

    在我们看来,意志既然是自在之物,而理念又是那意志在一定级别上的直接客体性;那么,我们就发现康德的自在之物和柏拉图的理念——对于他理念是唯一“真正的存在”——,西方两位最伟大哲人的两大晦涩的思想结虽不是等同的,却是很接近的,并且仅仅是由于一个唯一的规定才能加以区别。两大思想结,一面有着内在的一致和亲属关系,一面由于两者的发起人那种非常不同的个性而极不同调,却又正以此而互为最好的注释,因为两者等于是导向一个目标的两条完全不同的途径。这是可以不费很多事就说清楚的。即是说康德所说的,在本质上看便是下面这一点:“时间、空间和因果性不是自在之物的一些规定,而只是属于自在之物的现象的,因为这些不是别的,而是我们‘认识’的形式。且一切杂多性和一切生灭既仅仅是由于时间、空间和因果性才有可能的,那么,杂多性和生灭也只是现象所有,而决不是自在之物所有的。又因为我们的认识是由那些形式决定的,所以我们的全部经验也只是对现象而不是对自在之物的认识。因此也就不能使经验的规律对自在之物有效。即令是对于我们自己的自我,这里所说的也还是有效,只有作为现象时我们才认识自我,而不是按自我本身是什么来认识的。”从这里考察的重点来说,这就是康德学说的旨趣和内蕴。可是柏拉图却说,“世界上由我们的官能所觉知的事物根本没有真正的存在。它们总是变化着,决不是存在着的,它们只有一个相对的存在,只是在相互关系中存在,由于相互关系而存在,因此人们也很可以把它们的全部[相互]依存叫做‘非存在’。从而它们也不是一种真正的认识的对象,因为只有对于那自在的,自为的而永恒不变样的东西才能有真正的认识。它们与此相反,只是由于感觉促成的想当然的对象。我们既然被局限于对它们的觉知,我们就等于是黑暗岩洞里的人,被牢固地绑住坐在那里,连头也不能转动,什么也看不见;只有赖于在背后燃着的火光,才能在对面的墙壁上看到在火光和这些人之间出现着的真实事物的一些影子。甚至于这些人互相看到的,每人所看到的自己也只是那壁上的阴影而已。而这些人的智慧就是[能]预言他们从经验习知的那些阴影前后相续成系列的顺序。与此相反,因为永远存在却不生不灭而可称为唯一真正存在的,那就是那些阴影形象的真实原象,就是永恒的理念,就是一切事物的原始本象。杂多性到不了原始本象,因为每一原象自身,它的摹本或阴影都是和它同名的,个别的,无常的类似物。生和火也到不了原始本象,因为它们是真灭存在的,决不和它那些行将消逝的摹本一样,有什么生长衰化。(在这两个消极的规定中必然包括这样一个前提,即是时间、空间和因果性对于原象并无意义和效力,原象不在这些[形式]中。)因此,只有对于这些原象才能有一个真正的认识,因为这种认识的对象只能是永久和从任何方面看(即是本身自在的)都是存在的东西,而不能是人们各按其观点,可说既存在而又不存在的东西。”——这就是柏拉图的学说。显然而无须多加证明的是康德和柏拉图这两种学说的内在旨趣完全是一个东西。双方都把可见[闻]的世界认作一种现象,认为该现象本身是虚无的,只是由于把肉己表出于现象中的东西(在一方是自在之物,另一方是理念)才有意义和假借而来的实在性。可是根据这两家学说,那现象的一切形式,即令是最普遍的最基本的形式,也断然与那自行表出的东西,真正存在着的东西无关。康德为了要否定这些形式[的实在性],他已把这些形式自身直接了当地概括为一些抽象的名称,并径自宣称时间、空间和因果性,作为现象的一些形式,是不属于自在之物的。柏拉图与此相反,他并没达到把话说彻底的地步,他是由于否定他的理念具有那些唯有通过这些形式才可能的东西,亦即同类中[个体]的杂多性以及生与灭,而把这些形式间接地从他的理念上剥落下来的。[这里]尽管已是说得大多了,我还是要用一个比喻把[两家学说]值得注意的,重要的,互相一致之处加以形象化:假如在我们面前有一个动物正在充满生命力的活动中,那么,柏拉图就会说:“这个动物并没有什么真正的存在,它只有一个表面的存在,只有不住的变化,只有相对的依存。这种依存既可以叫做一个存在,同样也可叫做一个‘非存在’,而真正存在着的只是把自己复制于这动物中的理念或该动物自在的本身。这种动物自在的本身对于什么也没有依存关系,而是自在和自为的;不是生出来的,不是有时而灭的,而是永远存在一个样儿[不变]的。如果就我们在这动物中认识它的理念来说,那就不管在我们面前的是这一动物或是它活在千年前的祖先,不管它是在这里或是在遥远的异乡,不管它是以这一方式,这一姿态,这一行动或那一方式,那一姿态,那一行动而出现,最后也不管它是它那种族中的这一个体或任何其他一个体,反正全都是一样而不相干了,[因为]这一切都是虚无的而只同现象有关。唯有这动物的理念才有真实的存在而是真正的‘认识’的对象。”——这是柏拉图。康德大抵会要这样说:“这个动物是时间、空间和因果性中的一现象;而时间、空间和因果性全都是在我们认识能力以内,经验所以可能的先验条件,而不是自在之物的一些规定。因此,这一动物,我们在这一定的时间,在这已知的地点,作为在经验的关联中。——也即是在原因和后果的锁链上——必然发生,同样又必然消灭的个体而被觉知的动物,就不是自在之物,而只是就我们的认识说才可算是一个现象。如果要就这动物自在的本身方面来认识它,也就是撇开时间,空间和因果性中的一切规定来认识它,那就要在我们唯一可能的,通过感性和悟性的认识方式以外,还要求一种别的认识方式。”

    为了使康德的说法更接近于柏拉图的说法,人们也可说:时间、空间和因果性是我们心智的这样一种装置,即是说借助于这种装置任何一类唯一真有的一个事物得以把自己对我们表出为同类事物的杂多性,永远再生又再灭辗转以至无穷。对于事物的理解如果是借助于并符合上述心智的装置,那就是内在的理解;与此相反,对于事物的又一种理解,即意识着事物所有的个中情况则是超绝的理解。这种理解是人们在抽象中从纯粹理性批判获得的,不过在例外的场合,这种理解也可从直观获得。最后这一点是我加上的。这就正是我在目前这第二篇里要努力来说明的。

    如果人们曾经真正懂得而体会了康德的学说,如果人们自康德以后真正懂得而体会了柏拉图,如果人们忠实地、认真地思考过这两位大师的学说的内在旨趣和含义,而不是滥用这一位大师的术语以炫渊博,又戏效那一位大师的风格以自快;那么人们就不至于迟迟未发现这两大哲人之间的一致到了什么程度和两种学说基本意义与目标的彻底相同。那么,人们就不仅不会经常以柏拉图和莱布尼兹——后者的精神根本不是以前者为基础的——,甚至和现在还健存的一位有名人物相提并论,——好象人们是有意在嘲弄已往伟大思想家的阴灵似的——,而且是根本会要比现在前进得远多了,或者更可说人们将不至于象最近四十多年来这样可耻地远远的向后退了。人们将不至于今天被这种空谈,明天又被另一种胡说牵着鼻子走,不至于以在康德墓上演出滑稽剧(如古人有时在超度他们的死者时所演出的)来替这十九世纪——在德国预示着如此重大意义的[世纪]揭幕了——。这种滑稽剧的举行遭到别的国家的讥刺也是公平的,因为这是和严肃的,甚至拘谨的德国人一点儿也不相称的。然而真正的哲学家们,他们的忠实群众那么少,以至要若干世纪才给他们带来了寥寥几个懂得他们的后辈。——“拿着巴古斯的雕花杖的人倒很多,但并没几个人真正是这位酒神的信奉者。”“哲学所以披鄙视,那是因为人们不是按哲学的尊严来治哲学的;原来不应该是那些冒牌的假哲学家,而应该是真正的哲学家来治哲学。”(柏拉图)

    人们过去只是在字面上推敲,推敲这样的词句如:“先验的表象”,“‘独立于经验之外而被意识到的直观形式和思维形式”,“纯粹悟性的原本概念”,如此等等——于是就问:柏拉图的理念既然说也是原本概念,既然说也是从回忆生前对真正存在着的事物已有了的直观得来的,那么,理念是不是和康德所谓先验地在我们意识中的直观形式与思维形式大致是一回事呢?这两种完全不同的学说,——康德的是关于形式的学说,说这些形式把个体的“认识”局限于现象之内;柏拉图的是关于理念的学说,认识了理念是什么就正是明显地否认了那些形式——,在这一点上恰好相反的[两种]学说,[只]因为在它们的说法上有些相似之处,人们就细心地加以比较、商讨,对于两者是一还是二进行了辩论;然后在未了发现了两者究竟不是一回事,最后还是作出了结论说柏拉图的理念学说和康德的理性批判根本没有什么共同之处。不过,关于这一点已说够了。

    根据我们前此的考察,尽管在康德和柏拉图之间有着一种内在的一致,尽管浮现于两人之前的是同一目标,而唤起他们,导引他们从事哲学的是同一世界观,然而在我们看来理念和良在之物并不干脆就是同一个东西。依我们看来,倒是应该说理念只是自在之物的直接的,因而也是恰如其分的客体性。而自在之物本身却是意志,是意志,——只要它尚未客体化,尚未成为表象。原来正是康德的说法,自在之物就应是独立于一切附着于“认识”上的形式之外的;而只是他在这些形式之中没有首先把对于主体240是客体[这一形式]加进去(如附录中所提出的),才是康德的缺点;因为这正是一切现象的,也即是表象的,首要的和最普遍的形式。所以他本应该显明的剥夺自在之物之为客体,那就可以保全他不陷入显著的,早就被发现过的前后不符了。与此相反,柏拉图的理念却必然是客体,是一个被认识了的东西,是一表象;正是由于这一点,不过也仅是由于这一点,理念才有所不同于自在之物。理念只是摆脱了,更正确些说,只是尚未进入现象的那些次要形式,也就是未进入我们把它全包括在根据律中的那些形式;但仍保留了那一首要的和最普遍的形式,亦即表象的根本形式,保留了对于主体是客体这形式。至于比这形式低一级的一些形式(根据律是其共同的表述),那就是把理念复制为许多个别,无常的个体的那东西,而这些个体的数目对理念来说,则完全是漠不相关的。所以根据律又是理念可进入的形式,当理念落入作为个体的主体的认识中时,它就进入这形式了。于是,个别的,按根据律而显现的事物就只是自在之物(那就是意志)的一种间接的客体化,在事物和自在之物中间还有理念在。理念作为意志的唯一直接的客体性、除了表象的根本形式,亦即对于主体是客体这形式以外,再没有认识作为认识时所有的其他形式。因此也唯有理念是意志或自在之物尽可能的恰如其分的客体;甚至可说就是整个自在之物,不过只是在表象的形式之下罢了。而这就是柏拉图和康德两人之间所以有巨大的一致的理由,虽然,最严格地说起来,这两个人所说的还并不是同一回事。个别事物并不是意志的完全恰如其分的客体性,而是已经被那些以根据律为总表现的形式弄模糊了。可是这些形式却是认识的条件。是认识对于如此这般的个体之所以可能。——如果容许我们从一个不可能的前提来推论,假如我们在作为认识的主体时不同时又是个体,——这即是说如果我们的直观不是以身体为媒介,而这直观就是从身体的感受出发的,身体本身又只是具体的欲求,只是意志的客体性,所以也是诸客体中的一客体;并且作为这样的客体,当它一旦进入认识着的意识时,也只能在根据律的形式中[进入意识]就已假定了,并由此引进了根据律所表述的时间和其他一切形式;——事实上我们就会根本不再认识个别的物件,也不会认识一桩事件,也不会认识变换和杂多性,而是在清明未被模糊的认识中只体会理念,只体会那一个意志或真正自在之物客体化的那些级别;从而我们的世界也就会是“常住的现在了”。时间却只是一个个体的生物对这些理念所有的那种化为部分,分成片断的看法,理念则在时间以外,从而也是永恒的。所以柏拉图说“时间是永恒性的动画片”。

    作为个体的我们既然不能在服从根据律的认识之外,还有什么别的认识,而[根据律]这形式又排除了[人对]理念的认识,那么,如果有可能使我们从个别事物的认识上升到理念的认识,那就肯定只有这样才有可能,即是说在主体中必须发生一种变化,而这变化和[在认识中]换过整个一类客体的巨大变化既是相符合的又是相对应的。这时的主体,就它认识理念说,借此变化就已不再是个体了。

    我们从前一篇还记得认识[作用]本身根本是属于较高级别上的意志的客体化的,而感性、神经、脑髓,也只是和有机生物的其他部位一样,都是意志在它客体性的这一级别上的表现;因此通过这些东西而产生的表象也正是注定要为意志服务的,是达到它那些现在已复杂起来的目的的手段[机械工具],是保存一个有着242多种需要的生物的手段。所以认识闩始以来,并且在其本质上就彻底是可以为意志服务的。和直接客体——这由于因果律的运用而已成为认识的出发点了——只是客体化了的意志一样,所有一切遵循根据律的知识对于意志也常有一种较近或较远的关系。这是因为个体既发现他的身体是诸客体中的一客体,而身体对这些客体又是按根据津而有着复杂的相关和联系的,所以对这些客体作考察,途径[可以]或远或近,然而总得又回到这个体的身体,也就是要回到他的意志。既然是根据律把这些客体置于它们对身体,且通过身体又是对意志的这种关系中,那么,为意志服务的认识也就只有努力从这些客体认取根据律所建立的那些关系,也就是推敲它们的空间、时间和因果性中的复杂关系。原来只有通过这些关系,客体对于个体才是有兴味的,即是说这些客体才和意志有关系。所以为意志服务的“认识”从客体所认取的也不过是它们的一些关系,认识这些客体也就只是就它们在此时此地,在这些情况下,由此原因,得此后果而言;一句活:就是当作个别事物[而认识]的,如果把所有这些关系取消了,对于认识来说,这些客体也就消逝了,正因为“认识”在客体上所认取的除此而外本来再没有什么别的了。——我们也不容讳言,各种科学在事物上考察的东西,在本质上同样也不是什么别的,而就是事物的这一切关系,这时间空间上的关系,自然变化的原因,形态的比较。发生事态的动机等等,也就是许许多多的关系。科学有所不同于通俗常识的只是科学的形式是有条理的系统,是由于以概念的分层部署为手段而概括一切特殊为一般所得来的知识之简易化,和于是而获致的知识之完整性。任何关系本身又只有一个相对的实际存在;譬如时间中的一切存在就也是一个非存在,因为时间恰好只是那么一个东西,由于这东西相反的规定才能够同属于一个事物;所以每一现象都在时间中却又不在时间中。这又因为把现象的首尾分开来的恰好只是时间,而时间在本质上却是逝者如斯的东西,无实质存在的、相对的东西,在这里[人们就把它] 叫做延续。然而时间却是为意志服务的知识所有的一切客体的最普遍的形式,并且是这些客体的其他形式的原始基型。

    照例认识总是服服帖帖为意志服务的,认识也是为这种服务而产生的;认识是为意志长出来的,有如头部是为躯干而长出来的一样。在动物,认识为意志服务[的常规]根本是取消不了的。在人类,停止认识为意志服务也仅是作为例外出现的,这是我们立刻就要详加考察的。人兽之间的这一区别在[形体的]外表上是由头部和躯于两者之间的关系各不相同而表现出来的。在低级动物,头和身还是完全长在一起没有接榫的痕迹。所有这些动物的头部都是垂向地面的,[因为]意志的对象都在地面上。即令是在高等动物,和人比起来,头和身还是浑然一物难分彼此;但是人的头部却好象是自由安置在躯干上似的,只是由躯干顶戴着而不是为躯干服务。贝尔维德尔地方出土的阿颇罗雕像把人类的这一优越性表现到最大限度:这个文艺之神高瞻远瞩的头部是如此自在无碍地立于两肩之上,好象这头部已完全摆脱了躯体,再也不以心为形役似的。

    前面已说到从一殷的认识个别事物过渡到认识理型,这一可能的,然而只能当作例外看的过渡,是在认识挣脱了它为意志服务[的这关系]时,突然发生的。这正是由于主体已不再仅仅是个体的,而已是认识的纯粹而不带意志的主体了。这种主体已不再按根据津来推敲那些关系了,而是栖息于,浸沉于眼前对象的亲切观审中,超然于该对象和任何其他对象的关系之外。

    为了把这一点弄明白,必然需要[作出]详尽的讨论;其中使人感到陌生和诧异的地方,人们只得暂时放宽一步,到本书待要传达的整个思想总括起来了之后,这些陌生的地方自然就消失了。

    如果人们由于精神之力而被提高了,放弃了对事物的习惯看法,不再按根据津诸形态的线索去追究事物的相互关系——这些事物的最后目的总是对自己意志的关系———即是说人们在事物上考察的已不再是“何处”、“何时”、“何以”、“何用”,而仅仅只是“什么”,也不是让抽象的思维、理性的概念盘踞着意识,而代替这一切的却是把人的全副精神能力献给直观,浸沉于直观,并使全部意识为宁静地观审恰在眼前的自然对象所充满,不管这对象是风景,是树木,是岩石,是建筑物或其他什么。人在这时,按一句有意味的德国成语来说,就是人们自失于对象之中了,也即是说人们忘记了他的个体,忘记了他的意志;他已仅仅只是作为纯粹的主体,作为客体的镜子而存在;好象仅仅只有对象的存在而没有觉知这对象的人了,所以人们也不能再把直观者[其人]和直观[本身]分开来了,而是两者已经合一了;这同时即是整个意识完全为一个单一的直观景象所充满,所占据。所以,客体如果是以这种方式走出了它对自身以外任何事物的一切关系,主体[也]摆脱了对意志的一切关系,那么,这所认识的就不再是如此这般的个别事物,而是理念,是永恒的形式,是意志在这一级别上的直接客体性。并且正是由于这一点,置身于这一直观中的同时也不再是个体的人了,因为个体的人已自失于这种直观之中了。他已是认识的主体,纯粹的、无意志的、无痛苦的、无时间的主体。目前就其自身说还很触目的[这一点](关于这一点我很清楚的知道它证实了来自托马斯·佩因的一句活:“从崇高到可笑,还不到一步之差”)将由于下文逐渐明朗起来而减少陌生的意味。这也就是在斯宾诺莎写下“只要是在永恒的典型下理解事物,则精神是永恒的”(《伦理学》第五卷,命题31,结论)这句话时,浮现于他眼前的东西。在这样的观审中,反掌之间个别事物已成为其种类的理念,而在直观中的个体则已成为认识的纯粹主体。作为个体,人只认识个别事物,而认识的纯粹主体则只认识理念。个体原来只在他对意志的某一个别现象这关系中才是认识的主体,也是为意志的现象服务的。所以这种个别的意志现象是服从根据律的,在该定律的一切形态中服从该定律。因此,一切与这认识的主体有关的知识也服从根据律,并且就意志的立场说,除此而外也更无其他有用的知识,而这种知识也永远只含有对客体的一些关系。这样认识着的个体和为他所认识的个别事物总是在某处,在某时,总是因果链上的环节。而知识的纯粹主体和他的对应物——理念——却是摆脱了根据律所有那些形式的;时间、空间,能认识的个体,被认识的个体对于纯粹主体和理念都没有什么意义。完全只有在上述的那种方式中,一个认识着的个体已升为“认识”的纯粹主体,而被考察的客体也正因此而升为理念了,这时,作为表象的世界才[ 能] 完美而纯粹地出现,才圆满地实现了意志的客体化,因为唯有理念才是意志恰如其分的客体性。这恰如其分的客体性以同样的方式把客体和主体都包括在它自身之内,因为这两者是它唯一的形式。不过在这种客体性之内,客体主体双方完全保持着平衡;并且和客体在这里仅仅只是主体的表象一样,主体,当它完全浸沉于被直观的对象时,也就成为这对象的自身了,因为这时整个意识已只是对象的最鲜明的写照而不再是别的什么了。正是这个意识,在人们通过它而从头至尾依次想到所有一切的理念或意志的客体性的级别时,才真正构成作为表象的世界。任何时间和空间的个别事物都不是别的什么,而只是被根据律(作为个体的认识形式)化为多数,从而在其纯粹的客体性上被弄模糊了的理念。在理念出现的时候,理念中的主体和客体已不容区分了,因为只有在两者完全相互充满,相互渗透时,理念,意志的恰如其分的客体性,真正作为表象的世界,才发生;与此相同,此时能认识的和所认识的个体,作为自在之物,也是不分的。因为我们如果别开那真正作为表象的世界,那么,剩下来的除了作为意志的世界以外,再没什么了。意志乃是理念的自在本身,理念把意志客体化了,这种客体化是完美的。意志也是个另也事物以及认识这个别事物的个体的自在本身,这些物与人也把意志客体化了,但这种客体化是不完美的。作为意志而在表象和表象的一切形式之外,则在被观审的客体中和在个体中的都只是同一个意志,而这个体当他在这观审中上升时又意识着自己为纯粹主体。因此被观审的客体和个体两者在它们自在本身上是并无区别的,因为它们就“自在本身”说都是意志。意志在这里是自己认识到自己;并且只是作为意志如何得到这认识的方式方法,也即是只在现象中,借助于现象的形式,借助于根据律,才有杂多性和差别性的存在。和我没有客体,没有表象,就不能算是认识着的主体而只是盲目的意志一样,没有我作为认识的主体,被认识的东西同样也不能算是客体而只是意志,只是盲目的冲动。这个意志就其自在本身,亦即在表象之外说,和我的意志是同一个意志;只是在作为表象的世界中,[由于]表象的形式至少总有主体和客体[这一项],我们(——这意志和我的意志——)才一分为二成为被认识的和能认识的个体。如果把认识,把作为表象的世界取消,那么除了意志,盲目的冲动之外,根本就没剩下什么了。至于说如果意志获得客体性,成为表象,那就一举而肯定了主体,又肯定了客体少而这客体性如果纯粹地,完美地是意志的恰如其分的客体性,那就肯定了这客体是理念,摆脱了根据律的那些形式:也肯定了主体是“认识”的纯粹主体,摆脱了个性和为意志服务的可能性。

    谁要是按上述方式而使自己浸沉于对自然的直观中,把自己都遗忘了到这种地步,以至他已仅仅只是作为纯粹认识着的主体而存在,那么,他也就会由此直接体会到[他]作为这样的主体,乃是世界及一切客观的实际存在的条件,从而也是这一切一切的支柱,因为这种客观的实际存在已表明它自己是有赖于他的实际存在的了。所以他是把大自然摄入他自身之内了,从而他觉得大自然不过只是他的本质的偶然属性而已。在这种意义之下拜仑说:

    “难道群山,波涛,和诸天

    不是我的一部分,不是我

    心灵的一部分,

    正如我是它们的一部分吗?”

    然则,谁要是感到了这一点,他又怎么会在和常住的自然对照时把自己当作绝对无常的呢?笼罩着他的反而应该是那么一种意识,也就是对于《吠陀》中的《邬波尼煞昙》所说的话的意识,那儿说:“一切天生之物总起来就是我,在我之外任何其他东西都是不存在的。”(邬布涅迦Ⅰ.122)

    为了对世界的本质获得一个更深刻的理解,人们就不可避免地必需学会把作为自在之物的意志和它的恰如其分的客体性区分开来,然后是把这客体性逐级较明显较完整地出现于其上的不同级别,也即是那些理念自身,和[显现于]根据律各形态中的理念的现象,和个体人有限的认识方式区别开来。这样,人们就会同意柏拉图只承认理念有真正的存在[的作法],与此相反,对于在空间和时间中的事物,对于个体认为真实的世界,则只承认它们有一种假象的,梦境般的存在。这样,人们就会理解同此一个理念如何又把自己显示于那么多现象之中,对于认识着的个体又如何只是片断地,一个方面跟着一个方面,展出它的本质。这样。人们就会把理念和它的现象按以落入个体的考察的方式方法区别开来,而认前者为本质的,后者为非本质的。以举例的方式,我们将在最细微的和最巨大的[事物]中来考察这一点。——在浮云飘荡的时候,云所构成的那些形相对于云来说并不是本质的,而是无所谓的;但是作为有弹性的蒸气,为风的冲力所推动[时而]紧缩一团,[时而]飘散、舒展、碎裂,这却是它的本性,是把自己客体化于云中的各种力的本质,是理念。云每次所构成的形相,那只是对个体的观察者的[事]。——对于在[巨]石之间滚滚流去的溪水来说,它让我们看到的那些漩涡、波浪、泡沫等等是无所谓的,非本质的。至于水的随引力而就下,作为无弹性的、易于流动的、无定形的、透明的液体,这却是它的本质;这些如果是直观地被认识了的,那就是理念了。只对于我们,当我们是作为个体而在认识着的时候,才有那些漩涡、波浪、泡沫。——窗户玻璃上的薄冰按结晶的规律而形成结晶体,这些规律显示着出现在这里的自然力的本质,表出了理型;但是冰在结晶时形成的树木花草则不是本质的,只是对我们而有的。——在浮云、溪水、结晶体中显现的[已]是那意志最微弱的尾声了,它若出现于植物中那就要完满些,在动物又更完满一些,最完满是在人类。但是只有意志的客体化所有那些级别的本质上的东西才构成理念;与此相反,理念的开展——因为理念在根据律的诸形态中已被分散为多种的和多方面的现象——对于理念却是非本质的东西,这只在个体的认识方式以内,并且只是对这个体才有其实在性的。那么,这种情况对于那一理念的开展——意志最完满的客体性的那一理念——也必然是一样的;所以人类的历史,事态的层出不穷,时代的变迁,在不同国度,不同世纪中人类生活的复杂形式,这一切一切都仅仅是理念的显现的偶然形式,都不属于理念自身——在理念自身中只有意志的恰如其分的客体性——,而只属于现象——现象[才]进入个体的认识——;对于理念,这些都是陌生的、非本质的、无所谓的,犹如[苍狗的]形相之于浮云——是浮云构成那些形相——,漩涡泡沫的形相之于溪水,树木花卉之于窗户上的薄冰一样。

    谁要是掌握好了这一点,并且懂得将意志从理念,将理念从它的现象区分开来,那么,世界大事对于这人来说,就只因为这些事是符号,可以从而看出人的理念,然后才有意义;而不是这些事自在的和自为的本身有什么意义。他也就不会和别人一样,相信时间真的产生了什么新的和重要的东西;相信根本有什么绝对实在的东西是通过时间或在时间中获得具体存也的;或甚至于相信时间自身作为一个完整的东西是有始终,有计划,有发展的,并且也许要以扶助活到三十岁的最近这个世代达到最高的完善(按他们的概念)为最后目标。因此,这人就不会和荷马一样,设立整个的奥林卜[斯山],充满神抵的导演那些时间中的世事;同样他也不会和奥希安一样,把云中形象当作具体事物;因为上面已说过,[世事和白云苍狗]两者就其中显现着的理念来说,都是同样的意味。在人类生活纷坛复杂的结构中,在世事无休止的变迁中,他也会只把理念当作常住的和本质的看待。生命意志就在这理念中有着它最完美的客体性,而理念又把它的各个不同方面表现于人类的那些特性,那些情欲、错误和特长,表现于自私、仇恨、爱、恐惧、勇敢、轻率、迟钝、狡猾、伶俐、天才等等等等;而这一切一切又汇合并凝聚成千百种形态(个体)而不停地演出大大小小的世界史;并且在演出中,推动这一切的是什么,是胡桃或是王冠,就理念自在的本身说是毫不相干的。最后这人[还]发现在人世正和在戈箕的杂剧中一样,在所有那些剧本中总是那些相同的人物,并且那些人物的企图和命运也总是相同的,尽管每一剧本各有其主题和剧情,但剧情的精神总是那么一个;(同时),这一剧本的人物也一点儿不知道另一剧本中的情节,虽然他们自己是那一剧本中的人物。因此,尽管在有了上演前此各剧的经验之后,[登场人物]班达龙并没变得敏捷些或者慷慨些,达塔格利亚也没变得谨严老实些,布瑞格娜没有变得胆壮些,而哥隆宾涅也没有变得规矩些。

    假如有那么一天,容许我们在可能性的王国里,在一切原因和后果的联锁上看得一清二楚,假如地藏王菩萨现身而在一幅图画中为我们指出那些卓越的人物,世界的照明者和英雄们,在他们尚未发挥作用之前,就有偶然事故把他们毁灭了;然后又指出那些重大的事变,本可改变世界历史并且导致高度文化和开明的时代,但是最盲目的契机,最微小的偶然,在这些事变发生之初就把这些事变扼杀了,最后[还]指出大人物雄伟的精力,但是由于错误或为清欲所诱惑,或由于不得已而被迫,他们把这种精力无益地消耗在无价值无结果的事物上了,甚至是儿戏地浪费了。如果我们看到了这一切,我们也许会战栗而为损失了的旷代珍宝惋惜叫屈。但是那地藏王菩萨会要微笑着说:“个体人物和他们的精力所从流出的源泉是取之不竭的,是和时间空间一样无穷无尽的,因为人物和他们的精力,正同一切现象的这[两种]形式一样,也只是一些现象,是意志的‘可见性’。那无尽的源泉是以有限的尺度量不尽的。因此,对于任何一个在发生时便被窒息了的变故或事业又卷土重来,这无减于昔的无穷无尽[的源泉]总还是敞开着大门、[提供无穷的机会]的。在这现象的世界里,既不可能有什么真正的损失,也不可能有什么真正的收益。唯有意志是存在的,只有它,[这]自在之物;只有它,这一切现象的源泉。它的自我认识和随此而有的,起决定作用的自我肯定或自我否定,那才是它本身唯一的大事。”——

    历史是追踪大事的那根线索前进的。如果历史是按动机律来引伸这些大事的,那么,在这范围之内历史是实践性的。而动机律却是在意志被“认识”照明了的时候决定着显现的意志的。在意志的客体性较低的级别上,意志在没有“认识”而起作用的时候,自然科学是作为事因学来考察意志现象变化的法则的,是作为形态学来考察现象上不变的东西的。形态学借助于概念把一般的概括起来以便从而引伸出特殊来,这就使它的几乎无尽的课题简易化了。最后数学则考察那些赤裸裸的形式,在这些形式中,对于作为个体的主体的认识,理念显现为分裂的杂多;所以也就是考察时间和空间。因此这一切以科学为共同名称的[学术]都在根据律的各形态中遵循这个定律前进,而它们的课题始终是现象,是现象的规律与联系和由此发生的关系。——然则在考察那不在一切关系中,不依赖一切关系的,这世界唯一真正本质的东西,世界各现象的真正内蕴,考察那不在变化之中因而在任何时候都以同等真实性而被认识的东西,一句话在考察理念,考察自在之物的,也就是意志的直接而恰如其分的客体性时,又是哪一种知识或认识方式呢?这就是艺术,就是天才的任务。艺术复制着由纯粹观审而掌握的永恒理念,复制着世界一切现象中本质的和常住的东西;而各按用以复制的材料[是什么],可以是造型艺术,是文艺或音乐。艺术的唯一源泉就是对理念的认识,它唯一的目标就是传达这一认识。——当科学追随着四类形态的根据和后果[两者] 无休止,变动不尽的洪流而前进的时候,在每次达到目的之后,总得又往前奔而永无一个最后的目标,也不可能获得完全的满足,好比人们[向前]疾走以期达到云天和地平线相接的那一点似的。与此相反的是艺术,艺术在任何地方都到了[它的]目的地。这是因为艺术已把它观审的对象从世界历程的洪流中拔出来了,这对象孤立在它面前了。而这一个别的东西,在那洪流中本只是微不足道的一涓滴,在艺术上却是总体的一个代表,是空间时间中无穷“多”的一个对等物。因此艺术就在这儿停下来了,守着这个个别的东西,艺术使时间的齿轮停顿了。就艺术来说,那些关系也消失了。只有本质的东西,理念,是艺术的对象。——因此,我们可以把艺术直称为独立于根据律之外观察事物的方式,恰和遵循根据律的考察[方式]相对称;后者乃是经验和科学的道路。后一种考察方式可以比作一根无尽的,与地面平行的横线,而前一种可以比作在任意一点切断这根横线的垂直线。遵循根据律的是理性的考察方式,是在实际生活和科学中唯一有效而有益的考察方式,而撇开这定律的内容不管,则是天才的考察方式,那是在艺术上唯一有效而有益的考察方式。前者是亚里士多德的考察方式,后者总起来说,是柏拉图的考察方式。前者好比大风暴,无来由,无目的向前推进而摇撼着,吹弯了一切,把一切带走,后者好比宁静的阳光,穿透风暴行经的道路而完全不为所动。前者好比瀑布中无数的,有力的搅动着的水点,永远在变换着[地位],一瞬也不停留;后者好比宁静地照耀于这汹涌澎湃之中的长虹。——只有通过上述的,完全浸沉于对象的纯粹观审才能掌握理念,而天才的本质就在于进行这种观审的卓越能力。这种观审既要求完全忘记自己的本人和本人的关系,那么,天才的性能就不是别的而是最完美的客观性,也就是精神的客观方向,和主观的,指向本人亦即指向意志的方向相反。准此,天才的性能就是立于纯粹直观地位的本领,在直观中遗忘自己,而使原来服务于意志的认识现在摆脱这种劳役,即是说完全不在自己的兴趣,意欲和目的上着眼,从而一时完全撤销了自己的人格,以便[在撤销人格后]剩了为认识着的纯粹主体,明亮的世界眼。并且这不是几瞬间的事,而是看需要以决定应持续多久,应有多少思考以便把掌握了的东西通过深思熟虑的艺术来复制,以便把“现象中徜恍不定的东西拴牢在永恒的思想中”。[这就是天才的性能。]——这好象是如果在个体中要出现天才,就必须赋予这个体以定量的认识能力,远远超过于为个别意志服务所需要的定量;这取得自由的超额部分现在就成为不带意志的主体,成为[反映]世界本质的一面透明的镜子了。——从这里可以解释[ 何以]在天才的个人,他的兴奋情绪竟至于使他心境不宁,原来[眼前的]现在罕有满足他们的可能,[这又是]因为现在不能填满他们的意识。就是这一点常使他们作无休止的追求,不停地寻找更新的,更有观察价值的对象,又使他们为了寻求和自己同道的,生来和他们一致的,可以通情意的人物而几乎永不得满足。与此同时,凡夫俗子是由眼前现在完全充满面得到了满足的,完全浸沉于这现在中:并且他们到处都有和他们相类似的人物,在日常生活中他们也有着天才不可得而有的那种特殊舒服劲儿。——人们曾认为想象力是天才性能的基本构成部分,有时甚至把想象力和天才的性能等同起来。前一种看法是对的,后一种是不对的。既然天才作为天才,他的对象就是永恒的理念,是这世界及其一切现象恒存的,基本的形式,而认识理念却又必然是直观的而不是抽象的;那么,如果不是想象力把他的地平线远远扩充到他个人经验的现实之外,而使他能够从实际进入他觉知的少数东西构成一切其余的[事物],从而能够使几乎是一切可能的生活情景——出现于他面前的话,则天才的认识就会局限于那些实际出现于他本人之前的一些客体的理念了,而且这种认识还要依赖把这些客体带给他的一系列情况。并且那些实际的客体几乎经常只是在这些客体中把自己表出的理念的很有缺陷的标本,所以天才需要想象力以便在事物中并不是看到大自然实际上已构成的东西,而是看到大自然努力要形成,却由于前一篇所讲述的它那些形式之间的相互斗争而未能竟其功的东西。我们在后面考察雕刻的时候,将再回头来谈这一点。因此想象力既在质的方商又在量的方面把天才的眼界扩充到实际呈现于天才本人之前的诸客体之上,之外。以此之故,特殊强烈的想象力就是天才的伴侣,天才的条件。但并不是想象力反过来又产生天才性能,事实上每每甚至是极无天才的人也能有很多的想象。这是因为人们能够用两种相反的方式观察一个实际的客体,一种是那纯客观的,天才地掌握该客体的理念;一种是一般通俗地,仅仅只在该客体按根据律和其他客体,和本人意志[所发生]的关系中进行观察。与此相同,人们也能够用这两种方式去直观一个想象的事物:用第一种方式观察,这想象之物就是认识理念的一种手段,而表达这理念的就是艺术;用第二种方式观察,想象的事物是用以盖造空中楼阁的。这些空中楼阁是和人的私欲,本人的意趣相投的,有一时使人迷恋和心旷神怡的作用;[不过]这时人们从这样联系在一起的想象之物所认识到的经常只是它们的一些关系而已。从事这种玩意儿的人就是幻想家。他很容易把他那些用以独个儿自愉的形象混入现实而因此成为在现实[生活]中不能胜任的[人]。他可能会把他幻想中的情节写下来,这就产生了各种类型的庸俗小说。在读者梦想自己居于小说中主人翁的地位而觉得故事很“有趣”时,这些小说也能使那些和作者类似的人物乃至广大群众得到消遣。

    这种普通人,大自然的产物,每天出生数以千计的这种普通人,如上所说,至少是断不可能持续地进行一种在任何意义之下都完全不计利害的观察——那就是真正的静观——;他只是在这样一种范围内,即是说这些事物对他的意志总有着某种关系,哪怕只是一种很间接的关系才能把他们的注意力贯注到事物上。就255这一方面说,所要求的既然永远只是对于关系的认识,而事物的抽象概念又已足够应用,在大多数场合甚至用处更大,所以普通人就不在纯粹直观中流连了。不把他的视线持久地注集于一个对象了;而只是迅速地在呈现于他之前的一切事物中寻找概念,以便把该事物置于概念之下,好象懒怠动弹的人要找一把椅子似的,[如果找到了,那么]他对这事物也不再感兴趣了。因此,他会对于一切事物,对于艺术品,对于美的自然景物,以及生活的每一幕中本来随处都有意味的情景,都走马看花似的浏览一下匆促了事。他可不流连忘返。他只找生活上的门路,最多也不过是找一些有朝一日可能成为他生活的门路的东西,也就是找最广义的地形记录。对于生活本身是怎么回事的观察,他是不花什么时间的。天才则相反,在他一生的一部分时间里,他的认识能力,由于占有优势,已摆脱了对他自己意志的服务,他就要流连于对生活本身的观察,就要努力掌握每一事物的理念而不是要掌握每一事物对其他事物的关系了。于此,他经常忽略了对自己生活道路的考察,在大多数场合,他走这条[生活的]道路是够笨的。一个人的认识能力,在普通人是照亮他生活道路的提灯;在天才人物,却是普照 世界的太阳。这两种如此不同的透视生活的方式随即甚至还可在这两种人的相貌上看得出来,一个人,如果天才在他的腔子里生活并起作用,那么这个人的眼神就很容易把天才标志出来,因为这种眼神既活泼同时又坚定,明明带有静观,观审的特征。这是我们可以从罕有的几个天才,大自然在无数千万人中不时产出一二的天才,他们的头部画像中看得到的。与此相反,其他人们的眼神,纵令不象在多数场合那么迟钝或深于世故而寡情,仍很容易在这种眼神中看到观审[态度]的真正反面,看到“窥探”[的态度]。准此,则人相上有所谓“天才的表现”就在于能够在相上看出认识对欲求有一种断然的优势,从而在相上表出一种对欲求没有任何关系的认识,即纯粹认识。与此相反,在一般的相中,突出的照例是欲求的表现,人们并且看到认识总是由于欲求的推动才进入活动的,所以[“认识”的活动]仅仅只是对动机而发的。

    既然天才[意味]的认识或对理念的认识是那不遵循根据律的认识,相反,遵循根据律的都是在生活上给人带来精明和审慎、也是把科学建立起来的认识;那么,天才人物就免不了,一些缺点,随这些缺点而来的是把后面这一种认识方式忽略了。不过就我要阐明的这一点说,[我们]还要注意这一限度,即是说我所讲的只是指天才人物真正浸沉于天才[意味]的认识方式时而言,并且只以此为限;但这决不是说天才的一生中每一瞬都在这种情况中;因为摆脱意志而掌握理念所要求的高度紧张虽是自发的,却必然又要松弛,并且在每次张紧之后都有长时间的间歇。在这些间歇中,无论是从优点方面说或是从缺点方面说,天才和普通人大体上都是相同的。因此,人们自来就把天才所起的作用看作灵感;是的,正如天才这个名字所标志的,自来就是看作不同于个体自身的,超人的一种东西的作用,而这种超人的东西只是周期地占有个体而已。天才人物不愿把注意力集中在根据律的内容上,这首先表现在存在根据方面为对于数学的厌恶;[因为]数学的考察是研究现象的最普遍的形式,研究时间和空间的,而时间空间本身又不过是根据律的[两]形态而已;因此数学的考察和撇开一切关系而只追求现象的内蕴,追求在现象中表出的理念的那种考察完全相反。除此以外,用逻辑方法来处理数学[问题]也是和天才相左的,因为这种方法不仅将真正的体会遮断,不能使人获得满足,而且只是赤裸裸地按认识根据律而表出一些推论连锁;因而在所有一切精神力中主要的是要求记忆力,以便经常在心目中保有前面所有的,人们要以之为根据的那些命题。经验也证明了艺术上的伟大天才对于数学并没有什么本领。从来没有一个人在这两种领域内是同样杰出的。阿尔菲厄瑞说他自己竟乃至于连欧几里得的第四定理也从未能理解。歌德为了缺乏数学知识,已被那些反对他的色彩学说的无知之徒指责得够了;其实这里的问题并不在乎按假设的数据进行推算和测量,而是在于悟性对原因和结果的直接认识,[所以]那种指责完全是文不对题的,不恰当的。反对他的人们全然缺乏判断力[的事实],由于这一点正和由于他们象米达斯王的胡说一样已暴露无遗了。至于在今天,在歌德的色彩学说问世已半世纪之后,牛顿的空谈甚至在德国还是无阻碍地盘踞着那些[教授们的]讲座,人们还一本正经地继续讲什么七种同质的光及其不同的折射度;——这,总有一天会要算作一般人性的,特别是德国人性的心灵特征之一。由于上面这同一个理由,还可说明一个众所周知的事实,那就是反过来说,杰出的数学家对于艺术美[也]没有什么感受[力]。这一点在一个有名的故事中表现得特别率真,故事说一位法国数学家在读完拉辛的《伊菲琴尼》之后,耸着两肩问道:“可是这证明了什么呢?”——并且进一步说,既然准确地掌握那些依据因果律和动机律的关系实际就是[生活中的]精明,而天才的认识又不是对这些关系而发的;那么,一个聪明人,就他是精明人来说,当他正是精明的时候,就不是天才,而一个天才的人,就他是天才来说,当他是天才的时候,就不精明。——最后,宜观的认识和理性的认识或抽象的认识根本是相对立的,在前者范围内的始终是理念,而后者却是认识根据律所指导的。大家知道,人们也很难发现伟大的天才和突出的凡事求合理的性格配在一起,事实却相反,天才人物每每要屈服于剧烈的感受和不合理的情欲之下。然而这种情况的原因倒并不是理性微弱,而一面是由于构成天才人物的整个意志现象有着不同寻常的特殊精力,要从各种意志活动的剧烈性中表现出来;一面是通过感官和悟性的直观认识对于抽象认识的优势,因而有断然注意直观事物的倾向,而直观事物对天才的个人们[所产生的]那种极为强烈的印象又大大地掩盖了黯淡无光的概念,以至指导行为的已不再是概念而是那印象,[天才的]行为也就正是由此而成为非理性的了。因此,眼前印象对于天才们是极强有力的,[常]挟天才冲决[藩篱],不加思索而陷于激动,情欲[的深渊]。因此,由于他们的认识已部分地摆脱了对意志的服务,他们也会,根本就会在谈话中不那么注意谈话的对方,而只是特别注意他们所谈的事,生动地浮现于他们眼前的事。因此,就他们自己的利害说,他们的判断或叙述也就会过于客观,一些最好不说出来,含默反更为聪明的事,他们也不知含默都会要说出来了,如此等等。最后,他们还因此喜欢自言自语,并且根本也常表现一些真有点近于疯癫的弱点。天才的性能和疯癫有着相互为邻的一条边界,甚至相互交错,这是屡经指出过的,人们甚至于把诗意盎然的兴致称为一种疯癫:荷雷兹称之为“可爱的疯癫”,(《颂诗》iii.4.)维兰特在《奥伯隆》的开场白中称之为“可亲的疯癫”。根据辛乃加的引文(《论心神的宁静》15.16),说亚里士多德亲自说过:“没有一个伟大的天才不是带有几分疯癫的。”在前述洞喻那神话里,柏拉图是这样谈到这一点的:(《共和国》7),他说“在洞外的那些人既看到真正的阳光和真正存在的事物(即理念)之后,由于他们的眼睛已不惯于黑暗,再到洞里时就看不见什么了,看那下面的阴影也再辨不清楚了,因此在他们无所措手足的时候,就会被别人讪笑;而这些讪笑他们的人却从未走出过洞窟,也从未离开过那些阴影。”柏拉图还在《费陀罗斯》(第317页)中直接了当他说:“没有某种一定的疯癫,就成不了诗人、还说(第327页):“任何人在无常的事物中看到永恒的理念,他看起来就象是疯癫了的。”齐撤罗也引证说:“德漠克利特否认没有狂气不能是伟大诗人[的说法],[然而]柏拉图却是这样说的。”(《神性论》Ⅰ。37)最后薄朴也说:

    “大智与疯癫,诚如亲与邻,

    隔墙如纸薄,莫将畛域分。”

    就这一点说,歌德的[剧本]《托尔括多·达素》特别有意义。他在这剧本中不仅使我们看到天才的痛苦,天才的本质的殉道精神,并且使我们看到天才常在走向疯癫的过渡中。最后,天才和疯癫直接邻近的事实可由天才人物如卢梭、拜仑、阿尔菲厄瑞的传记得到证明,也可从另外一些人平生的轶事得到证明。还有一部分证明,我得从另一方面来谈谈:在经常参观疯人院时,我曾发现过个别的患者具有不可忽视的特殊禀赋,在他们的疯癫中可以明显地看到他们的天才,不过疯癫在这里总是占有绝对的上风而已。这种情况不能[完全]归之于偶然,因为一方面疯人的数字是比较很小的,而另一方面,一个有天才的人物又是一个罕有的,比通常任何估计都要少得多的现象,是作为最突出的例外而出现于自然界的现象。要相信这一点,人们只有数一下真正伟大的天才,数一下整个文明的欧洲在从古到今的全部时间内所产生的天才,并且只能计入那些把具有永久价值的作品贡献于人类的天才,——那么,我说,把这些屈指可数的天才和经常住在欧洲,每三十年更换一代的二亿五千万人比一下罢!是的,我也不妨提一下我曾认识有些人,他们虽不怎么了不得,但确实有些精神上的优越性,而这种优越性同时就带有些轻微的疯狂性。这样看起来,好象是人的智力每一超出通常的限度,作为一种反常现象就已有疯癫的倾向了。夹在这里,我想尽可能简短他说出我自己关于天才和疯癫之间所以有那种亲近关系,纯粹从智力方面看是什么原因的看法,因为这种讨论多少有助于说明天才性能的真正本质,这本质也即是唯一能创造真艺术品的那种精神属性。可是这又必然要求[我们]简单地谈一下疯癫本身[的问题]。

    据我所知,关于疯癫的本质[问题]至今还不曾有过明晰和完备的见解,对于疯人所以真正不同于常人至今还不曾有过一种正确和明白的概念。——[我们]既不能说疯人没有理性,也不能说他们没有悟性,因为他们[也]说话,也能听懂话;他们的推论每每也很正确。一般说来,他们也能正确地对待眼前的事物,能理解因果的关系。幻象,和热昏中的诣妄一样,并不是疯癫的一般症候;谵妄只扰乱直觉,疯狂则扰乱思想。在大多数场合,疯人在直接认识眼前事物时根本不犯什么错误,他们的胡言乱语总是和不在眼前的和过去的事物有关的,只是因此才乱说这些事物和眼前事物的联系。因此,我觉得他们的病症特别和记忆有关;但这并不是说他们完全没有记忆,因为很多疯人都能背诵许多东西,有时还能认识久别之后的人,而是说他们的记忆的线索中断了,这条线索继续不断的联系被取消了,始终如一地联贯着去回忆过去已不可能了。过去的个别场面和个别的眼前[情况]一样,可以正确地看到,但因忆往事就有漏洞了,疯人就拿一些虚构的幻想去填补漏洞。这些虚构的东西或者总是老一套。成为一种定型的妄念,那么这就是偏执狂,忧郁症;或是每次是另一套,是临时忽起的妄念,那就叫做痴愚,是“心里不亮”。因此,在疯人初进疯人院时,要问明他过去的生活经历是很困难的。在他的记忆中,越问下去总是越把真的假的混淆不清了。即令[他]正确地认识了当前的现在,随即又要由于扯到一种幻想出来的过去而与当前现在发生虚构的关系,而把“现在”也弄糊涂了。因此他们把自己和别人也同他虚构的过去人物等同起来,有些相识的熟人也完全认不出来了。这样,当他们对眼前的个别事物有着正确的认识时,[却把这些和不在眼前之物的关系搞错了,]心里都是些这样错误的关系。疯癫如果到了严重的程度,就会产生完全失去记忆的现象;因此这个疯人就再不能对任何不在眼前的或过去的事物加以考虑了,他完全只是被决定于当前一时的高兴,联系着他在自己头脑中用以填充过去的幻想。所以接近这样一个疯子,如果人们不经常使他看到[对方的]优势,那就没有一秒钟能够保证不受到他的袭击或杀害。——疯人的认识和动物的认识在有一点上是共同的,即是说两者都是局限于眼前的,而使两者有区别的是:动物对于过去所以是根本无所知,过去虽以习惯为媒介而在动物身上发生作用,例如狗能在多年之后还认识从前的旧主人,那就叫做从主人的面貌重获那习惯了的印象;但是对于自从主人别后的岁月,它却没有什么回忆。疯人则相反,在他的理性中总还带有抽象中的过去,不过,这是一种虚假的过去,只对他而存在,这种情况可以是经常的,也可以仅仅只是当前一时的。虚假的过去的这种影响又妨碍他使用正确地认识了的“现在”,而这反而是动物能够使用的。至于剧烈的精神痛苦,可怕的意外事变所以每每引起疯癫,我的解释是这样的:每一种这样的痛苦作为真实的经过说总是局限于眼前的,所以只是暂时的,那么这痛苦总还不是过分沉重的。只有长期持久的痛楚才会成为过分巨大的痛苦。但是这样的痛苦又只是一个思想,因而是记忆中的[东西]。那么,如果有这样一种苦恼,有这样一种痛苦的认识或回忆竟是如此折磨人,以至简直不能忍受而个体就会要受不住了,这时被威胁到如262此地步的自然[本能]就要求助于疯癫作为救命的最后手段了。痛苦如此之深的精神好象是扯断了记忆的线索似的,它拿幻想填充漏洞,这样,它就从它自己力所不能胜的精神痛苦逃向疯癫了,——好比人们把烧伤了的手脚锯掉而换上木制的手脚一样。——作为例证我们可以看看发狂的阿亚克斯、李尔王和奥菲利亚;因为真正天才笔下的人物可以和真人实物有同等的真实性;在这里人们也只能援引这些众所周知的人物为例证。此外,常有的实际经验也一贯证实同样的情况。从痛苦的这种方式过渡到疯癫还有一种近乎类似的情况可以与之比拟,那就是我们所有的人,常在一种引起痛苦的回忆突然袭击我们的时候,我们不禁要机械地要喊叫一声或做一个什么动作来驱逐这一回忆,把自己引向别的方向,强制自己想些别的事情。——

    我们在上面既已看到疯人能正确地认识个别眼前事物,也能认识某些过去的个别事物,可是锗认了[其间的] 联系和关系,因而发生错误和胡言乱语,那么,这正就是疯人和天才人物之间的接触点。这是因为有天才的个体也抛弃了对事物关系——遵循根据律的关系——的认识,以便在事物中单是寻求,看到它们的理念,以便掌握理念在直观中呈现出来的那真正本质。就这本质说,一个东西就能代表它整个这一类的东西,所以,歌德也说“一个情况是这样,千百个情况也是这样”。——天才人物也是在这一点上把事物联系的认识置之不顾的,他静观中的个别对象或是过分生动地被他把握了的“现在”反而显得那么特别鲜明,以致这个“现在”所属的连锁上的其他环节都因此退入黑暗而失色了;这就恰好产生一些现象,和疯癫现象有着早已被[人] 认识了的近似性。凡是在个别现成事物中只是不完美的,和由于各种规定限制而被削弱了的东西,天才的观察方式却把它提升为那些事物的理念,成为完美的东西。因此他在到处都[只] 看到极端,他的行动也正263以此而陷入极端。他不知道如何才是适当的分寸,他缺少清醒[ 的头脑],结果就是刚才所说的。他完完全全认识理念,但他不是这样认识个体的。因此,加人们已指出的,一个诗人能够深刻而彻底地认识人,但他对于那些[具体的]人却认识不够;他是容易受骗的,在狡猾的人们手里他是[被人作弄的]玩具。

    根据我们的论述,虽然要说天才所以为天才是在于有这么一种本领:他能够独立于根据律之外,从而不是认识那些只在关系中而有其存在的个别事物,而是认识这些事物的理念;能够在这些理念的对面成为这些理念[在主体方面] 的对应物,亦即不再是个体的人而是“认识”的纯粹主体,然而这种本领,[就一般人说] 在程度上虽然要低一些并且也是人各不同的,却必然地也是一切人们所共有的;否则一般人就会不能欣赏艺术作品,犹如他们不能创造艺术作品一样;并且根本就不能对优美的和壮美的事物有什么感受的能力,甚至优美和壮美这些名词就不能对他们有什么意义了。因此,如果不能说有些人是根本不可能从美感获得任何愉快的,我们就必须承认在事物中认识其理念的能力,因而也正就是暂时撇开自己本人的能力,是一切人所共有的。天才所以超出于一切人之上的只在这种认识方式的更高程度上和持续的长久上,这就使天才得以在认识时保有一种冷静的观照能力,这种观照能力是天才把他如此认识了的东西又在一个别出心裁的作品中复制出来所不可少的。这一复制就是艺术品。通过艺术品,天才把他所把握的理念传达于人。这时理念是不变的,仍是同一理念,所以美感的愉悦,不管它是由艺术品引起的,或是直接由于观审自然和生活而引起的,本质上是同一愉快。艺术品仅仅只是使这种愉悦所以可能的认识较为容易的一个手段罢了。我们所以能够从艺术品比直接从自然和现实更容易看到理念,那是由于艺术家只认识理念而不再认识现实,他在自己的作品中也仅仅只复制了理念,把理念从现实中剥出来,排除了一切起干扰作用的偶然性。艺术家让我们通过他的眼睛来看世界。至于艺术家有这种眼睛,他认识到事物的本质的东西,在一切关系之外的东西,这是天才的禀赋,是先天的,但是他还能够把这种天禀借给我们一用,把他的眼睛套在我们[头上],这却是后天获得的,是艺术中的技巧方面。因此,我在前文既已在最粗浅的轮廓中托出了美感认识方式的内在本质,那么我就要同时讨论现在接下去的关于自然中和艺术中的优美壮美两者更详尽的哲学考察,而不再[在自然和艺术之间]划分界线了。我们将首先考察一下,当优美或是壮美使一个人感动时,在他内心里发生了什么变化。至于这个人是直接从自然,是从生活,或是间接惜助于艺术而获得这种感动,却不构成本质上的区别,而只是一个表面上的区别。

    我们在美感的观察方式中发现了两种不可分的成分:[一种是]把对象不当作个别事物而是当作柏拉图的理念的认识,亦即当作事物全类的常住形式的认识,然后是把认识着主体不当作个体而是当作认识的纯粹而无意志的主体之自意识。这两个成分经常合在一起出现的条件就是摆脱系于根据律的那认识方式,后者和这里的认识方式相反的,是为意志和科学服务唯一适用的认识方式。——我们将看到由于审美而引起的愉悦也是从这两种成分265中产生的;并且以审美的对象为转移,时而多半是从这一成分,时而大半是从那一成分产生的。

    一切欲求皆出于需要,所以也就是出于缺乏,所以也就是出于痛苦。这一欲求一经满足也就完了;可是一面有一个愿望得到满足,另一面至少就有十个不得满足。再说,欲望是经久不息的,需求可以至于无穷。而[所得]满足却是时间很短的,分量也扣得很紧。何况这种最后的满足本身甚至也是假的,事实上这个满足了的愿望立即又让位于一个新的愿望;前者是一个已认识到了的错误,后者还是一个没认识到的错误。在欲求已经获得的对象中,没有一个能够提供持久的,不再衰退的满足,而是这种获得的对象永远只是象丢给乞丐的施舍一样,今天维系了乞丐的生命以便在明天[又]延长他的痛苦。——因为这个缘故,所以说如果我们的意识还是为我们的意志所充满,如果我们还是听从愿望的摆布,加上愿望中不断的期待和恐惧;如果我们还是欲求的主体;那么,我们就永远得不到持久的幸福,也得不到安宁。至于我们或是追逐,或是逃避,或是害怕灾祸,或是争取享乐,这在本质上只是一回事。不管在哪种形态之中,为不断提出要求的意志这样操心虑危,将无时不充满着激动着意识;然而没有安宁也就决不可能有真正的怡情悦性。这样,欲求的主体就好比是永远躺在伊克希翁的风火轮上,好比永远是以妲娜伊德的穿底桶在汲水,好比是水深齐肩而永远喝不到一滴的坦达努斯。

    但在外来因素或内在情调突然把我们从欲求的无尽之流中托出来,在认识甩掉了为意志服务的枷锁时,在注意力不再集中于欲求的动机,而是离开事物对意志的关系而把握事物时,所以也即是不关利害,没有主观性,纯粹客观地观察事物,只就它们是赤裸裸的表象而不是就它们是动机来看而完全委心于它们时;那么,在欲求的那第一条道路上永远寻求而又永远不可得的安宁就会在转眼之间自动的光临而我们也就得到十足的怡悦了。这就是没有痛苦的心境,厄壁鸠鲁誉之为最高的善,为神的心境,原来我们在这样的瞬间已摆脱了可耻的意志之驱使,我们为得免于欲求强加于我们的劳役而庆祝假日,这时伊克希翁的风火轮停止转动了。

    可是这就正是我在上面描写过的那种心境,是认识理念所要求的状况,是纯粹的观审,是在直观中浸沉,是在客体中自失,是一切个体性的忘怀,是遵循根据律的和只把握关系的那种认识方式之取消;而这时直观中的个别事物已上升为其族类的理念,有认识作用的个体人已上升为不带意志的“认识”的纯粹主体,双 方是同时井举而不可分的,于是这两者[分别] 作为理念和纯粹主体就不再在时间之流和一切其他关系之中了。这样,人们或是从狱室中,或是从王宫中观看日落,就没有什么区别了。

    内在的情调,认识对欲求的优势,都能够在任何环境之下唤起这种心境。那些杰出的荷兰人给我们指出了这一点。他们把这样的纯客观的直观集注于最不显耀的一些对象上而在静物写生中为他们的客观性和精神的恬静立下了永久的纪念碑。审美的观众看到这种纪念碑,是不能无动于中的,因为它把艺术家那种宁静的、沉默的、脱去意志的胸襟活现于观审者之前;而为了如此客观地观审如此不重要的事物,为了如此聚精会神地观察而又把这直观如此深思熟虑地加以复制,这种胸襟是不可少的。并且在这画面也挑动他[这个观赏者]对那种心境发生同感时,他的感动也往往由于将这种心境和他自己不宁静的,为剧烈欲求所模糊了的心情对比而更加加强了。在同一精神中,风景画家,特别是路以思大尔,画了些极不重要的自然景物,且由于这样作反而得以更令人欣慰地造成同样的效果。

    艺术胸襟的内在力量完全单独地固已能有如许成就,但是这种纯粹客观的情调还可以由于惬意的对象,由于自然美歆动人去鉴赏,向人蜂涌而来的丰富多采而从外面得到资助,而更轻而易举。自然的丰富多采,在它每次一下子就展开于我们眼前时,为时虽只在几瞬间,然而几乎总是成功地使我们摆脱了主观性,摆脱了为意志服务的奴役而转入纯粹认识的状况。所以一个为情欲 或是为贫困和忧虑所折磨的人,只要放怀一览大自然,也会这样突然地重新获得力量,又鼓舞起来而挺直了脊梁;这时情欲的狂澜,愿望和恐惧的迫促,[由于]欲求[而产生]的一切痛苦都立即在一种奇妙的方式之下平息下去了。原来我们在那一瞬间已摆脱了欲求而委心于纯粹无意志的认识,我们就好象进入了另一世界,在那儿,[日常]推动我们的意志因而强烈地震撼我们的东西都不存在了。认识这样获得自由,正和睡眠与梦一样。能完全把我们从上述一切解放出来,幸与不幸都消逝了。我们已不再是那个体的人,而只是认识的纯粹主体,个体的人已被遗忘了。我们只是作为那一世界眼而存在,一切有认识作用的生物[固然]都有此眼,但是唯有在人这只眼才能够完全从意志的驱使中解放出来。由于这一解放,个性的一切区别就完全消失了,以致这只观审的眼属于一个有权势的国王也好,属于一个被折磨的乞丐也好,都不相干而是同一回事了。这因为幸福和痛苦都不会在我们越过那条界线时一同被带到这边来。一个我们可以在其中完全摆脱一切痛苦的领域经常近在咫尺,但是谁有这份力量能够长期地留在这领域之上呢?只要这纯粹被观赏的对象对于我们的意志,对于我们在人的任何一种关系再又进入我们的意识,这魔术就完了。我们又回到了根据律所支配的认识,我们就不再认识理念,而是认识个别事物,认识连锁上的一个环节,——我们也是属于这个连锁的——,我们又委身于自己的痛苦了。——大多数人,由于他的完全缺乏客观性,也就是缺乏天才,几乎总是站在这一立足点上的。因此他们不喜欢独自和大自然在一起,他们需要有人陪伴,至少也要一本书。这是因为他们的认识经常是为意志服务的,所以他们在对象上也只寻求这对象对于他们的意志有什么关系;在所有一切没有这种关系的场合,在他们的内心里,好象通奏低音似的,就会发出一种不断的,无可奈何的声音:“这对于我毫无用处”。因此,在他们看来,在寂寞中即令是面对最优美的环境,这种环境也有一种荒凉的、黯谈的;陌生的、敌对的意味。

    在过去和遥远[的情景]之上铺上一层这么美妙的幻景,使之在很有美化作用的光线之下而出现于我们之前的[东西],最后也是这不带意志的观赏的怕悦。这是由于一种自慰的幻觉[而成的],因为在我们使久已过去了的,在遥远地方经历了的日子重现于我们之前的时候,我们的想象力所召回的仅仅只是[当时的]客体,而不是意志的主体。这意志的主体在当时怀着不可消灭的痛苦,正和今天一样,可是这些痛苦已被遗忘了,因为自那时以来这些痛苦又早已让位于别的痛苦了。于是,如果我们自己能做得到,把我们自己不带意志地委心于客观的观赏,那么,回忆中的客观观赏就会和眼前的观赏一样起同样的作用。所以还有这么一种现象:尤其是在任何一种困难使我们的忧惧超乎寻常的时候,突然回忆到过去和遥远的情景,就好象是一个失去的乐园又在我们面前飘过似的。想象力所召回的仅仅是那客观的东西,不是个体主观的东西,因此我们就以为那客观的东西在过去那时,也是纯粹地,不曾为它对于意志的任何关系所模糊而出现于我们之前,犹如它现在在我们想象中显出的形象一样,而事实上却是在当时,那些客体的东西和我们意志有关,为我们带来痛苦,正无异于今日。我们能够通过眼前的对象,如同通过遥远的对象一样,使我们摆脱一切痛苦,只要我们上升到这些对象的纯客观的观审,并由此而能够产生幻觉,以为眼前只有那些对象而没有我们自己了。于是我们在摆脱了那作孽的自我之后,就会作为认识的纯粹主体而和那些对象完全合一,而如同我们的困难对于那些客体对象不相干一样,在这样的瞬间,对于我们自己也是不相干的了。这样,剩下来的就仅仅只是作为表象的世界了,作为意志的世界已消失[无余]了。

    由于所有这些考察,我希望已弄清楚了在审美的快感上,这种快感的主观条件占有什么样的和多大的成份;而所谓主观条件也就是认识从意志的奴役之下解放出来,忘记作为个体人的自我和意识也上升为纯粹的,不带意志的,超乎时间的,在一切相对关系之外的认识之主体。和审美的观赏这一主观方面,作为不可少的对应物而同时出现的是观赏的客观方面,亦即对于柏拉图的理念的直观的把握。不过在我们更详尽地考察这一点之前,在就这一点来考察艺术的成就之前,更适合的是还要在审美感的快感的主观方面多停留一会儿,以便通过讨论那依赖于主观方面,由于这主观方面的一种制约而产生的壮美印象来完成这主观方面的考察。在此之后,我们对于审美的快感的探讨将由于从客观方面来考察而获得全部的完整性。

    但是首先有下面这一点[应该]还是属于上文的。光明是事物中最可喜爱的东西:光明已成为一切美好事物和多福的象征了。在一切宗教中它都是标志着永恒的福善,而黑暗则标志着沉沦。峨马磁德住在纯洁的光明中,阿瑞曼住在永久的黑夜中。在但丁的天堂里看起来有些象伦敦的佛克斯霍尔水晶官,因为那儿的圣灵也现为一些光点,这些光点又聚合成规则的形象。没有光明会直接使我们忧愁,光明的回复又使我们愉快。各种色彩直接引起生动的喜悦,如果色彩是透明的,这种喜悦便达到了最高度。这一切都仅仅是由于光是完美的直观认识方式的对应物和条件,而这也是唯一决不直接激动意志的认识方式。原来视觉不同于其他官能的感受,自身根本不可能直接地或通过视觉的官能效果而在器官上具有适不适的感觉,即是说和意志没有什么直接联系;而只有在悟性中产生的直观才能有这种联系,那么这种联系也就是客体对意志的关系。听觉已经就不同了:声音能够直接引起痛感,并且也可以直接是官能上的快感,而并不涉及谐音或乐调。触觉,作为和全身的感触相同的东西,那就更加要服从意志所受的这一直接影响了;不过也还有一种无痛的和无快感的触觉罢了。至于嗅觉则经常是适的或不适的,味觉更然。所以最后这两种也是和意志最有勾搭的感官,从而也是最低级的,康德称之为主观的感官。光既是最纯粹、最完美的直观认识方式之客观的可能性,因此对于光的喜悦,在事实上就只是对于这种客观的可能性的喜悦,并且作为这样的喜悦就可以从纯粹的,由一切欲求解放出来的,摆脱了欲求的认识是最可喜的[这事实]引伸而得,而作为这样的东西就已经在审美的快感中占有很大的地位了。——[我们]从对于光的这一看法又可以推论我们何以认为事物在水中的反映有那种难以相信的高度的美。物体之间这种最轻易,最快速,最精微的相互作用方式,就是我们在更大程度上最完美的、最纯粹的知觉也要归功于它,归功于这种借光线的反射[而发生的]作用:——在这里这种作用完全清楚地、一览无余地、完善地,在原因与后果中,并且是充其量的摆在我们眼前的;因此,我们在这上面有美感的喜悦,而这种喜悦的根子主要地完全是在审美的快感的主观根据中,并且也[就]是对于纯粹认识及其途径的喜悦。

    所有这些考察都是为了突出审美的快感的主观方面,就是说这快感和意志相反,是对于单纯的、直观的认识本身的喜悦。——现在要接上这些考察的,与此直接相关的,就是下面这一说明,说明人们称为壮美感的那种心情。

    上面已经指出在对象迎合着纯粹直观的时候,转入纯粹直观状态也最容易。所谓对象迎合纯粹直观,即是说由于这些对象的复杂而同时又固定的、清晰的形态很容易成为它们的理念的代表,而就客观意义说,美即存在于这些理念中。比什么都显著,优美的自然[风景] 就有这样的属性,由于这种属性,即令是感应最迟钝的人们,至少也能迫使他们产生一点飘忽的审美的快感。植物世界尤其令人注意,植物挑起[人们作] 美感的观赏,好象是硬赖着要人欣赏似的,以至人们要说这种迎上来的邀请和下面这一事实有关,即是说这些有机生物同动物身体不一样,自身不是认识的直接客体,因此它们需要别人有悟性的个体[助以一臂之力] ,以便从盲目欲求的世界进入表象的世界,所以它们好象是在渴望这一转进,以便至少能够间接地获得它们直接不能“得到的东西。我这一大胆的,也许近乎吃语的思想可以根本存而不论,因为只有对于自然作极亲切的,一往情深的观察才能引起这种思想,才能为这种思想提出理由。所以,把我们从服务于意志的,只是对于关系的认识转入美感观审,从而把我们提升为认识的不带意志的主体时,如果就是自然界这种迎上来的邀请,就是自然界那些形式的重要意味和明晰性,——而在这些形式中个别化了的理念得以容易和我们招呼———那么,对我们起作甩的也就只是美,而被激起来的也就是美感。可是现在,如果就是这些对象,以其意味重大的形态邀请我们对之作纯粹的观审,[然而]对于人的意志,对于自显于其客体性中——亦即人身中——的意志根本有着一种敌对的关系,和意志对立,或是由于那些对象具有战胜一切阻碍的优势而威胁着意志,或是意志在那些对象的无限大之前被压缩至于零;但[这时的] 观察者却并不把自己的注意力集中在这触目的,与他的意志敌对的关系上,而是虽然觉察着,承认着这关系,却有意地避开这关系,因为他这时以强力挣脱了自己的意志及其关系而仅仅只委心于认识,只是作为认识的纯粹无意志的主体宁静地观赏着那些对于意志[非常] 可怕的对象,只把握着对象中与任何关系不相涉的理念,因而乐于在对象的观赏中逗留,结果,这观察者正是由此而超脱了自己,超脱了他本人,超脱了他的欲求和一切欲求,——这样,他就充满了壮美感,他已在超然物外的状况中了,因而人们也把那促成这一状况的对象叫做壮美。所以壮美感和优美感的不同就是这样一个区别:如果是优美,纯粹认识无庸斗争就占了上风,其时客体的美,亦即客体使理念的认识更为容易的那种本性,无阻碍地,因而不动声色地就把意志和为意志服役的,对于关系的认识推出意识之外了,使意识剩下来作为“认识”的纯粹主体,以致对于意志的任何回忆都没留下来了。如果是壮美则与此相反,那种纯粹认识的状况要先通过有意地,强力地挣脱该客体对意志那些被认为不利的关系,通过自由的,有意识相伴的超脱于意志以及与意志攸关的认识之上,才能获得。这种超脱不仅必须以意识获得,而且要以意识来保存,所以经常有对意志的口忆随伴着,不过不是对单独的,个别的欲求的回忆,如恐惧或愿望等,而是对人的总的欲求的回忆,只要这欲求是由其客体性——人身——普遍表示出来的。如果由于对象方面有真实的,及于人身的迫害与危险,而有实际的,个别的意志活动进入意识,那么,这真正被激动的个人意志就会立即赢得上‘风,观审的宁静就成为不可能了,壮美的印象就会消失,因为这印象让位于忧虑,个体人在忧虑中挣扎自救把任何其他念头都挤掉了。——举几个例子将会有助于弄清楚美学的壮美理论并使之了无疑义,同时,这些例子还可指出壮美感在程度上的差别。因为壮美感既和优美感在主要的决定因素方面,在纯粹的,不带意志的认识上,在与此同时出现的,对于理念——不在一切由根据律决定的关系中的理念——的认识上,是相同的;而仅仅只是由于一个补充[规定],即超脱那被认识了的,正在观审中的对象对于意志的根本敌对关系,才和优美感有所区别;那么,分别按这一补充[规定]或是强烈鲜明的、迫近的或只是微弱的,远离的,只是示意而已,就产生了壮美的各级程度,产生了从优美到壮美的过渡。我认为在说明上更适当的是首先把这种过渡和程度较微弱的壮美印象用例子显示出来;虽然那些对于美的感受力根本不太强而想象力又不生动的人们只会了解后面那些有关程度较高,较明晰的壮美印象的例子。他们本可以只注意后面那些例子,对于这里要先举出的那些有关程度极微弱的壮美印象的例子,却可以听之任之。

    人一方面是欲求的激烈而盲目的冲动(由生殖器这一“极”作为其焦点而标志出来),同时在另一面又是纯粹认识永恒的,自由的,开朗的主体(由大脑这一极标志出来),那么,和人之有这两方面的对立一样,和这种对立相应,太阳也同时是光的源泉,是得到最完美的认识方式的条件的源泉,因而也是事物中最可喜爱的东西;——同时又是温暖的源泉,也就是生命的,较高级别上的意志现象的第一个条件的源泉。因此,温暖之于意志,就等于光之于认识。所以光就正是“美”的王冠上一颗最大的钻石,对于每一美的对象的认识是最有决定性的影响的。光根本就是[美的] 不可少的条件,而在有利的角度光还能使最美的东西更美。不过尤其显著,和其他一切不同的是建筑艺术,建筑的美可以由于光的资助而增高,即令是最不值一顾的东西也可由此而成为最美的对象。——在严寒的冬季,大自然在普遍的僵冻之中,这时,我们看一看斜阳的夕晖为堆砌的砖石所反射,在这儿只是照明而没有温暖的意味,即只是对最纯粹的认识方式有利而不是对意志有利, 于是观赏这光在砖石的建筑物上的美化作用,如同一切美一样,也会使我们转入纯粹认识的状况。不过在这里,由于轻微地想到那光线缺少温暖的作用,缺少助长生命的原则,这状况就已要求超脱意志的利益,已包含着一种轻微的激励要在纯粹认识中坚持下去,避开一切欲求;正是因此,这一状况就已是从优美感到壮美感的过渡了。这是优美中有着一点儿壮美的意味,最微弱的一点意味,而这里的优美本身也只是在较低程度上出现的。下面还有一个[壮美的] 例子,[在壮美感上]几乎是同样轻微的例子。

    假如我们进入一个很寂寞的地区,一望无际;在完全无云的天空下,树木和植物在纹丝不动的空气中,没有动物,没有人,没有流水,[只是] 最幽静的肃穆;——那么,这种环境就等于是一个转入严肃,进入观赏的号召,随而挣脱了一切欲求及其需要;可是单是这一点就已赋予了这只是寂寞幽静的环境以一些壮美的色彩了。这是因为这个环境对于这不断需要追求[什么] 和达成[什么]的意志不提供任何对象,不管是有利的或不利的对象,所以就只剩下纯粹观赏的状况了。谁要是不能作这种观赏,就会以羞愧的自卑而陷入意志无所从事的空虚,陷入闲着的痛苦。就这一点说,这个环境提供了测验我们自己的智慧有什么价值的机会,对于这种价值,我们忍受或爱好寂寞的能力到了什么程度根本就是一个好的标准。所以这里描写的环境给低度的壮美提供了一个例子,因为在这环境中,纯粹认识的状况在其宁静和万事已足[的心情]中,作为[这种心情的]对照,[仍然]混杂着一种回忆,回忆到少不了要不断追求的意志那种依赖性和可怜相。——这就是壮美的一个类型,北美洲内地无边草原的风光就被誉为这种类型[的壮美]。

    现在让我们把这样一个地区的植物也去掉;只看到赤裸裸的岩石,那么,由于完全缺乏我们保持生存所必要的有机物,意志简直已感到威胁;这块荒地获得了一种可怕的气氛,我们的心情也变得更有悲剧意味了。这里上升至纯粹认识是经过更坚决的挣脱意志所关心的利害而来的,在我们坚持逗留于纯粹认识的状况时,就明显地出现了壮美感。

    下面这种环境还能引起更高度的[壮美感]:大自然在飙风般的运动中;天色半明不黯,透过山雨欲来的乌云;赤裸裸的、奇形怪状的巨石悬岩,重重叠叠挡住了前面的视线;汹涌的、泡沫四溅的山洪;全是孤寂荒凉;大气流通过岩谷隙缝的怒号声。这时,我们就直观地形象地看到我们自己的依赖性,看到我们和敌对的自然作斗争,看到我们的意志在斗争中被摧毁了。然而只要不是个体的危急焦虑占了上风,而是我们仍继续着美的观赏,那么,认识的纯粹主体的视线[还能]透过大自然的斗争,透过被摧毁了的意志那副形象而宁静地,无动于中地,不连同被震撼(不关心地)就在威胁着意志的,为意志所恐惧的那些对象上把握理念。壮美感就正在于这种[可怖的环境和宁静的心境两者之间的]对照中。

    不过[有时候]印象还要强烈些,那[就是]当我们在自己眼前看到激怒了的自然力在作大规模的斗争的时候,譬如在[上述]那环境里有悬河[下泻],水声翻腾喧嚣,震耳欲聋,使我们不可能听见自己的声音了,——或者是当我们在辽阔的,飓风激怒了的海洋中时,[看到] 几幢房子高的巨浪此起彼伏,猛烈地冲击着壁立的岩岸,水花高溅人云;看到狂风怒吼,海在咆哮,乌云中电光闪烁而雷声又高于风暴和海涛[之声]。于是,在观察这一幕景象而不动心的人,他的双重意识便达到了明显的顶点。他觉得自己一面是个体,是偶然的意志现象;那些[自然]力轻轻一击就能毁灭这个现象,在强大的自然之前他只能束手无策,不能自主,[生命]全系于偶然,而对着可怕的暴力,他是近乎消逝的零,而与此同时,他又是永远宁静的认识的主体;作为这个主体,它是客体的条件,也正是这整个世界的肩负人;大自然中可怕的斗争只是它的表象,它自身却在宁静地把握着理念,自由而不知有任何欲求和任何需要。这就是完整的壮美印象。这里是由于看到威胁着生存的,无法比较的,胜于个体的威力而造成这个印象的。

    在完全不同的方式之下,借想象空间辽阔和时间的悠久也可产生[壮美]印象,辽阔悠久,无际无穷可使个体缩小至于无物。上述一种我们可以称之为动力的壮美,而这一种则可称为“数学的壮美”,[这便]保留了康德的命名和他正确的分类[法],不过在说明那种印象的内在本质时,我们和他完全不同,我们既不承认什么道德的内省,也不承认来自经院哲学的假设在这里有什么地位。

    当我们沉溺于观察这世界在空间和时间上无穷的辽阔悠久时,当我们深思过去和未来的若干千年时,一或者是当夜间的天空把无数的世界真正展出在我们眼前因而宇宙的无边无际直印入我们的意识时,——那么我们就觉得自己缩小[几]至于无物,觉得自己作为个体,作为活的人身,作为无常的意志现象,就象是沧海一粟似的,在消逝着,在化为乌有。但是同时又有一种直接的意识起而反抗我们自己渺小这种幽灵[似的想法],反抗这种虚假的可能,[就是使我们意识着]所有这些世界只存在于我们表象中,只是作为纯粹认识的永恒主体所规定的一些形态而存在,而我们只要忘记[自己的]个体性,就会发现我们便是那纯粹认识的永恒主体,也就是一切世界和一切时代必需的,作为先决条件的肩负人。原先使我们不安的世界之辽阔,现在却已安顿在我们[心]中了;我们的依存于它,已由它的依存于我们而抵消了。——然而这一切却并不是立刻进入反省思维的,[其初] 只是作为一种感到的意识而出现的,意识着在某种意义上(唯有哲学把这意义弄清楚了)人和宇宙是合一的,因此人并不是由于宇宙的无边无际而被压低了,相反的却是被提高了。这是那感到的“意识”意识到了吠陀教《邬波尼煞昙》在各种讲法中反复说过的东西,尤其是意识到上面已引用过的这句话:“一切无生之物总起来就是我,在我之外任何其他东西都是不存在的。”这就是超然于本人的个体之上,就是壮美感。

    只要有[这么]一个空间,它和宇宙空间比固然很小,但由于我们是完全直接地觉知这种空间,它以三进向的全部容积对我们起作用,这就足以使我们感到自己身体几乎是无限的渺小,这时我们就能直接地获得数理壮美的印象了,如果所觉知的是一个空洞的空间,那可决不能做到这一点;决不能是露天的,而只能是在三进向都有际限而直接可以觉知的空间,所以只能是极高大的圆顶建筑物如罗马的圣彼得教堂,或伦敦的圣保罗教堂。这里所以产生壮美感是由于[人们]在一个广阔的空际之前感到了自己躯体渺小近于零;另一方面[又意识到]这种空际不过是我们表象中的东西,而我们作为认识的主体又正是这表象的负荷人。所以这里也和到处一样,壮美感的产生是由于两方面的对比,一方面是我们自己作为个体,作为意志现象的充关重要和依赖性,一方面是我们对于自己是认识的纯粹主体这一意识。就是满天星宿的窿穹,如果不是以反省的思维去考察的话,对于我们所起的作用也不过是和那砖石的圆顶建筑一样,这里起作用的不是天空真正的广麦,而只是其表面上显出的广羡。——我们直观的一些对象之所以引起壮美印象既是由于其空间的广大,又是由于其年代的久远,也就是时间的悠久;而我们在这种广大悠久之前虽感到自己的渺小近于零,然而我们仍然饱尝观赏这种景物的愉快;属于这类对象的是崇山峻岭,是埃及的金字塔,是远古的巨型废墟[等]。

    是的,我们对于壮美的说明还可移用于伦理的事物上,也就是用于人们称为崇高的品德上。这种品德的产生也是由于对象本来是适于激动意志的,然而意志究不为所激动,这里也是认识占了上风。那么这样的人物就会纯粹客观地观察世人,而不是按这些人对他的意志有什么可能的关系来看他们。譬如说他会察知世人的错误,甚至看到他们对他自己的憎恨和不义,但是在他那方面却并不因此而被激起憎恨;他会看到他们的幸福而并不感到嫉妒;他会承认他们优良的性能,却不希望和他们有更亲近的联系;他会看到妇人们的美貌而并不想占有她们。他自己本人的幸不幸[也]不会剧烈的影响他,反而可说他象汉姆勒待所描写的霍内觉那样:

    “因为你过去,

    象这么一个人,

    在备尝痛苦中并不感到痛苦,

    象这么一个人,

    不管命运为他带来的是打击或是酬劳,

    你都常以同等的谢意加以接受,”等等

    (第三场第二幕)

    这是因为有崇高品德的人在自己的一生和不幸中,他所注意的大279半是整个人类的命运,而很少注意到自己个人的命运;从而他对这些事的态度[纯]认识[的方面][常]多于感受[的方面]。

    因为相反的事物互相映证,在这里来谈一谈人们初看并不以为然,而实际上却是壮美的真正对立面的东西——媚美——乃正是适当的地方。我所理解的媚美是直接对意志自荐,许以满足而激动意志的东西。——如果壮美感的发生是由于一个直接不利于意志的对象成为纯粹观赏的客体,而又只能由于不断避开意志,超然于意志所关心的利害之上才能获得这种观赏,这[才]构成壮美的情调,那么与此相反,媚美却是将鉴赏者从任何时候领略美都必需的纯粹观赏中拖出来,因为这媚美的东西由于[它是] 直接迎合意志的对象必然地要激动鉴赏者的意志,使这鉴赏者不再是 “认识”的纯粹主体,而成为有所求的,非独立的欲求的主体了。——至于人们习惯地把任何轻松一类的优美都称为媚美,这是由于缺乏正确的区分而有的一个过于广泛的概念,这种概念我只能完全置之不论或加以指摘。但在已确定和已阐明了的意义上,我认为在艺术的领域里只有两种类型的媚美,并且两种都不配称为艺术。一种是相当鄙陋的,譬如在荷兰人的静物写生中如果走错了途径,描绘出来的对象是些食品,而由于画中食品酷似真物又必然地引起食欲。这当然就是意志的激动,这种激动把[我们]在事物上任何审美的观赏都断送了。画出水果这是可以容许的,因为水果是花卉往后发展的结果,并且还可由形状和色彩来表现为美丽的自然产物,还不至于直接强制人们就想到它是可吃的东西,可惜我们也经常看到酷似真物,画着陈列在桌上的,烹调停当的食品,如牡蛎啦,鰽白鱼啦,海蟹啦,奶油面包啦,啤酒啦,葡萄酒啦等等等等,这些都全是要不得的东西。——在历史的绘画和雕刻中,媚美则在裸体人像中。这些裸体像的姿态,半掩半露甚至整个的处理手法都是意在激起鉴赏人的肉感,因而纯粹审美的观赏就立即消失了,而作者创造这些东西也违反了艺术的目的。这个错误和我们方才责备过荷兰人的,完全同出一辙。古代艺术尽管形象极美而又全裸,然而几乎一贯不犯这种错误,因为[古典的] 艺术家自己就是以纯客观的、为理想的美所充满的精神来创作这些人像的,而不是以主观的,可耻的充满肉欲的精神来创作的。——所以媚美在艺术[的园地] 里是到处都应该避免的。

    还有一种消极的媚美,比方才阐述过的积极的媚美更糟,那就是令人厌恶作呕的东西。这和真正的媚美一样,也唤起鉴赏者的意志因而摧毁了纯粹的审美观赏。不过这里激起的是一种剧烈的不想要,一种反感;其所以激动意志是由于将意志深恶的对象展示于鉴赏者之前。因此,人们自来就已认识到在艺术里是决不能容许这种东西的;倒是丑陋的东西,只要不是令人作呕的,在适当的地方还是可以容许的。我们在下文中就会看到这一点。

    我们这一考察的进度使我们在这里有必要插入一段壮美的讨论,其实在这里关于优美的讨论还只完成了一半,只完成了主观一面的讨论。可是区分壮美和优美的东西恰好只是这主观方面所规定的一种特殊状态。这就是说任何审美的观赏所要求的,以之为前提的纯粹而无意志的认识状况究竟是在客体邀请、吸引[人们]去观赏时,毫无抵抗地,仅仅是由于意志从意识中消逝自然而然出现的呢,或者是要由于自愿自觉的超脱意志才争取得来的呢,并且[这时]这观赏的对象本身对于意志本有着一个不利的,敌对的关系,惦念这一关系,就会取消[审美的]观赏;——这就是优281美和壮美之间的区别。在客体上,优美和壮美在本质上并没有区别,因为在这两种场合中审美观赏的客体都不是个别的事物,而是在该事物中趋向于展示的理念,也就是意志在一定级别上恰如其分的客体性。这客体性所必有的,和它一样摆脱了根据律的对应物就是认识的纯粹主体,犹如个别事物的对应物是认识着的个体人一样,[不过个别的物和个体的人]两者都在根据律的范围之内罢了。

    当我们称一个对象为美的时候,我们的意思是说这对象是我们审美观赏的客体,而这又包含两方面。一方面就是说看到这客体就把我们变为客观的了,即是说我们在观赏这客体时,我们所意识到的自己已不是个体人,而是纯粹而无意志的认识的主体了;另一方面则是说我们在对象中看到的已不是个别事物,而是认识到一个理念;而所以能够这样,只是由于我们观察对象不依靠根据律,不追随该对象和其自身以外的什么关系(这种关系最后总是要联系到我们的欲求的),而是观察到客休自身为止。原来理念和认识的纯粹主体作为相互的对应物总是同时进入意识的;当其进入意识时,一切时间上的差别也立即消失了,因为这两者都完全不知有根据律及其一切形态,是在根据律所确立的一些关系之外的;可以比拟于虹与太阳,两者都不参顶雨点不停下降,前一点继以后一点相继不绝的运动。所以,比方说当我以审美的,也即是以艺术的眼光观察一棵树,那么,我并不是认识了这棵树,而是认识了这树的理念;至于所观察的是这棵树还是其千年以前枝繁叶茂的祖先,观察者是这一个还是任何另一个在任何时间任何地点活着的个体,那就立即无足轻重了;[这时]个别事物和认识着的个体随着根据律的取消而一同取消了,剩下来的除理念与“认识”的纯粹主体外,再没有什么了;而这两者合起来便构成意志在这一级别上恰如其分的客体性。理念并且不仅是摆脱了时间,而且也摆脱了空间;因为并非浮现于我眼前的空间形象,而是这形象所表现的,它的纯粹意义,它的最内在的本质,对我泄露它自己,向我招呼的内在本质才算真正的理念;并且尽管这形象的空间关系区别很大,这理念却是同一理念,一成不变。

    既然一方面我们对任何现成事物都可以纯客观地,在一切关系之外加以观察,既然在另一方面意志又在每一事物中显现于其客体性的某一级别上,从而该事物就是一个理念的表现,那就也可以说任何一事物都是美的。——至于最微不足道的事物也容许人们作纯粹客观的和不带意志的观赏,并且由此而证实它的美,这在上面(§38)就这一点而谈及荷兰人的静物写生时就已证实了。不过一物之所以比另一物更美,则是由于该物体使得纯粹客观的观赏更加容易了,是申于它迁就,迎合这种观赏,甚至好象是它在迫使人来作如是的观赏,这时我们就说该物很美。其所以如此,一面是由于该物作为个别事物,[能够]通过它那些部分间甚为明晰的,规定得清清楚楚的,一贯意味深长的关系而把它这个类别的理念纯洁地表示出来,通过在它这一类别可能的一切表现皆备于它一身而把这一类别的理念完善地显露出来,这就使鉴赏人从个别事物过渡到理念容易多了,因此也使纯粹的静观状态随之而容易了。另外一面一个客体特别美的那种优点是在于从客体中向我们招呼的理念本身、它是意志的客体性[很]高的一个级别,所以是非常有意义的,含蕴丰富的。因此,人比其他一切都要美,而显示人的本质就是艺术的最高目的。人的体态,人的表情是造型艺术最重要的对象,犹如人的行为是文艺的最重要对象一样。——不过任何一物仍然各有其独特的美,不仅是每一有机的,表出于个体性的单位中的东西,而且是任何无机的,无形式的,乃至任何工艺品[都有这种美]。原来所有这些东西都显示理念,意志通过这些理念而自行客体化于最低的级别上,好象是谱出了大自然最低沉的,余音袅袅的低音符似的。重力,固体性,液体性,光等等是表出在岩石中,建筑物中,流水中的一些理念。风景园艺和建筑艺术除了帮助岩石,建筑物,流水等明晰地,多方面地,完备地展出它们独特的属性,为它们提供机会以便纯洁地表示它们自己之外,不能有所作为,不过它们由此得以邀请[人们]对它们作审美的鉴赏,减轻了鉴赏的困难。与此相反,不好的建筑和景物,或是大自然所忽略了的或是被艺术所糟踏了的,就很少或没有这种功效,不过大自然的普遍基本理念就在它们那里也不可能完全消失掉。在这里基本理念还是要召唤寻求它的观察者,即令是不好的建筑物以及如此之类的东西也还可以作鉴赏的对象,它们那些物质的最普遍的属性的理念还可在它们身上看得出来,不过是人们有意赋予它的形式不成为一个[使鉴赏]容易的手段,反而是一个障碍,使鉴赏更困难了。从而工艺品也是用以表达理念的,不过从工艺品中表达出来的并不是这工艺品的理念而[只] 是人们赋予以这人为的形式的材料,它的廷念。在经院学派的语言中,这一类可以很方便地用两个字来表示,即是说在工艺品里表出来的是其实体形式的理念,而不是其偶然形式的理念;而后面这一形式并不导向什么理念,而只是导向这形式所从出的一个属于人的概念。不言而喻,我们这里所谈的工艺品明明不是指造型艺术的作品而言。此外,经院学派在实体形式这一词中所理解的,实际上就是我所谓意志在一物中客体化的程度。我们立即就会在考察美术的建筑学时回头来讨论材料的理念这一词。——根据我们的看法,那么我们就不能同意柏拉图的说法(《共和国》x,第284—285页,又《巴门尼德斯》第79页,双桥版),他主张桌子和凳子就是表示着桌子和凳子的理念,而我们却说桌于和凳子所表示的理念就是在其单纯的材料之中已经表出的理念。然而据亚里士多德却说(《形而上学》,第十一篇第三章),柏拉图本人只承认284自然界的事物有理念,“柏拉图说,有多少自然事物,就有多少理念”,[亚里士多德] 又在[同书第十一篇] 第五章里说根据柏拉图派的学者·并没有什么房屋和马戏场的理念。无论如何,柏拉图的及门弟子,——据阿尔基诺斯给我们[留下]的报道(《柏拉图哲学入门》第九章)说——都曾否认工艺品也有理念。阿尔基诺斯说:“他们把理念定义为自然事物的超时间的原始形象。因为柏拉图大多数的学生都不承认工艺品有理念,例如盾或琴,以及和自然事物相反的东西,如热病或霍乱症,还有个别生物如苏格拉底或柏拉图,还有那些琐屑事物如垃圾和破片,还有那些关系如大于[什么] 和超出[什么] 的关系都没有理念;因为理念是上帝的永恒的,自身圆满的思想。”——借此机会我们还可以谈一谈我们在理念学说上大不同干枯拉图的另外一点。这即是说他主张(《共和国》X,第288页)美术企图表出的对象,绘画和诗歌的典型都不是理念而是个别事物。我们到此为止的全部分析恰好主张相反的一面,而柏拉图这一看法愈为人们所公认是这位伟人最大的错误之源泉,在这里就愈不会使我们迷惑。他的错误就在于轻视和唾弃艺术,尤其是文艺;他把他关于文艺的错误判断直接续在上面那段引文之后。

    我现在再回头来讨论美感的印象。对于美的认识固然总是把纯粹认识的主体和作为客体而被认识的理念规定为同时的,不可分的,不过美感的来源时而更在于领会已认识到的理念,时而更在于纯粹认识摆脱了欲求,从而摆脱了一切个体性和由个体性而产生的痛苦之后的怡悦和恬静。并且,是美感的这一成分还是那一成分取得优势都要以直观地领会到的理念是意志客体性的较高还是较低级别为转移。所以在无机物、植物和建筑艺术中鉴赏自然美(实物的鉴赏或通过艺术的鉴赏),由纯粹无意志的认识而来的美感就会占优势,因为这里领会到的理念只是意志客体性的下层级别,从而也不是意味深长和含义丰富的现象。与此相反,如果动物或人是鉴赏的或艺术表现的对象,那么,美的享受就会偏重在这些理念的客观体会之中。理念[于此] 是意志的最明晰的表出;因为动物和人展出了最复杂的形态,展出了现象的丰富和深长意味,并且是最完整地给我们展出了意志的本质,不管这本质是在意志的激动中,恐怖中,满足中或在其挫折中(最后这一点在悲剧的演出中),最后或甚至在其方向变换或自我扬弃中。自我扬弃尤其是基督教教义绘画的题材,正如故事画和戏剧根本就是以被认识充分照明了的意志之理念为对象一样。——下面我们就要分别探讨各种艺术,这样探讨之后这里建立起来的美学理论就会获得完整性和明确性。

    物质作为物质论不能够是一理念的表出。因为物质,如我们在第一篇里已看到的那样,彻底只是因果性。它的存在也全是些作用。可是因果性却是根据律的形态,而理念的认识则相反,基本上排除了这条定律的内容。在第二篇里我们又看到物质是理念所有的一切个别现象的共同基质,从而又是理念和现象或个别事物之间的联系。所以物质本身,无论是从这一理由或那一理由说,都不能表出一个理念。不过后验地证实这一点总是这样说的:即是说[我们对于]这样的物质根本不可能有一个直观的表象,而只可能有一个抽象的概念;唯有在表象中才能有形状和属性的展出。荷载形状属性的是物质,在这一切形状属性中才有理念的显出。这和因果性(物质的全部本质)本身无法加以直观的描述而只是某种因果联系这事实是相符的。——在另一面则相反,一个理念的每一现象,因为这种现象既已进入根据律的形式或个体化原理,就必须在物质上作为物质属性而把自己展示出来。所以在这一点上,如已说过,物质是联系理念和个体化原理的环节,而个体化原理就是个体的“认识”之形式,或者就是根据律。——因此,怕拉图认为在理念及其现象、即个别事物之外,——这两者本可包括世界上一切事物——,仅仅就只有作为第三者而不同于这两者的物质,(《蒂迈欧篇》第345页)是完全正确的。个体作为理念的显现,永远是物质。物质的每一属性也永远是一个理念的显现,并且作为这种显现也就可加以审美的鉴赏,而鉴赏就是认识现象中表出的理念。这一点,即令是就物质的最普遍的属性说,也是有效的;没有这些属性就决不成其为物质,而这些属性的理念却是意志的最微弱的客体性。这样的属性是:重力,内聚287力,固体性,液体性,对光的反应等等。

    如果我们现在把建筑艺术只当作美术来看,撇开它在应用目的上的规定,——[因为]在这些目的中它是为意志而不是为纯粹认讽服务的,按我们的说法也就不再是艺术了——;那么,除了使某些理念——这些都是意志的客体性最低的级别——可加以更明晰的直观以外,我们不能指定建筑艺术还有其他的目的。此最低级别的客体性就是重力,内聚力,固体性,硬性;即砖石的这几个最普遍的属性,意志的这几种最原始的,最简单的,最冥顽的可见性,大自然的一些基本通奏低音。在这些以外还有光,[不过] 光在好些方面又和这些属性相反。即令是在意志客体性的这种低级别上,我们已经看到意志的本质显出于矛盾之中;因为建筑艺术在审美方面唯一的题材实际上就是重力和固体性之间的斗争,以各种方式使这一斗争完善地,明晰地显露出来就是建筑艺术的课题。它解决这类课题[的方法] 是切断这些不灭的力所由获致满足的最短途径,而用一种迂回的途径撑住这些力;这样就把斗争延长下去了,两种力无穷尽的[各]奔一趋向就可在多种方式之下看得见了。——建筑物的整个质量,如果全委之于它原来的趋向,那就只会成为整整一大块的东西,尽可能紧贴在地面上;而这里意志既显为重力,这[块然大物] 就会不停地向地面挤去;这时固体性,[它]也是意志的客体性,却在抵抗着。然而正是这一倾向,这一冲劲,建筑艺术就不许它有直接满足而只许以间接的满足,通过迂回曲折的满足。譬如说横梁就只有借助于直柱才[间接地] 落到地面上,圆顶则必须自己负载自己,并且只有借一些桩子才能满足它指向地球的冲劲;如此等等。然而正是在这被强制的间接途径上,正是由于这种阻碍,隐藏于顽石中的那些[自然] 力才得以最明晰地,多样化地显露出来,[除此以外,] 建筑术也就不能再有什么纯艺术的目的了。因此,一个建筑物的美,无论怎么说都完整地在它每一部分一目了然的目的性中,[然而]这不是为了外在的,符合人的意志的目的(这种工程是属于应用建筑的),而是直接为了全部结构的稳固,对于这全部结构,每一部分的位置,尺寸和形状都必须有[牵一发而动全身] 这样的:种必然关系,即是说如其可能的话,抽掉任何一部分,则全部必然要坍塌。这是因为唯有每一部分所承载的恰是它所能胜任的,每一部分又恰好是在它必需的地方,必需的程度上被支撑起来,然后在构成顽石的生命或其意志表现的固体性和重力之间的那一相反作用,那一斗争才发展到最完整的可见性,意志客体性的最低级别才鲜明地显露出来。同样,每一部分的形态也必须由其目的和它对于全体的关系,而不是由人意任意来规定。圆柱是最简单的,只是由目的规定的一种支柱的形式。扭成曲折的住子是庸俗无味的。四方桩有时虽然容易做些,事实上却不如圆住的那么简单。同样,飞檐、托梁、拱顶、圆顶的形式也完全是由它们的直接目的规定的,而这目的也就自然说明了这些形式。柱端等处的雕饰已属于雕刻而不属于建筑范围了,这既是附加的装饰,是可有可无的。——根据这里所说的,对于一座建筑物如果要获得理解和美感的享受,就不可避免地要在重量、固体性、内聚力[几方面]对于[建筑]材料有一直接的直观认识,如果[有人]透露消息说这建筑材料是浮石,那就会立刻减少我们对于这建筑物的欣赏;因为这样一来,这个建筑物就象是一种假屋似的。如果我们原来假定是麻石建筑,却有消息说这只是木头的,这消息几乎也会产生同样的效果,因为在木质房屋中那些自然力的表出既然要微弱得多,这就把固体性和重力的关系,从而[建筑物]所有一切部分的意义和必然住都改变了更动了,所以以木材为材料尽管也可有各种形式,却不能成为艺术的建筑,而这一点是完全只能由我们的理论得到说明的。可是如果竟至于有人对我们说,有一座建筑物,看起来使我们爱好,却完全是由一些不同的材料建成的,材料的重量和耐性至不齐一,但又非肉眼所能分辨;那么,这整个建筑物就会因此而无法欣赏,正如用一种我们不懂的文字写成的一首诗一样。这一切正是证明了建筑艺术的作用不仅只是数学的,而且也是动力学的;还证明了通过这一艺术而使我们欣赏的不仅是形式和匀整性,反而更应该是大自然的那些基本力,那些原始的理念,意志客体性那些最低的级别。——建筑物及其各部分的规则性一面是由每一环节对于全部结构的直接目的性带来的,一面又有使全面的概览和理解更为容易的功用,最后这些规则的图形,由于它们显露了空间之为空间的规律性,还有助于美观。但是这一切都只有次要的价值和必然性,而决不是主要的东西,须知即令匀整性也并不是万不可少的要求,就是废墟也是美的呢。

    建筑艺术的作品对于光还有一种很特殊的关系;这些作品在充分的阳光中,以蔚蓝的天空为背景,便可获得双重的美;而在月亮之下又表现出完全另一种效果。因此在营造一座建筑艺术上的作品时,总要特别顾虑到光线的效果和坐落的方向才好。这一切一切的根据固然大部分是在于只有明朗的,强烈的照明才能使[建筑物的]一切部分及其关系看碍充分明白,不过此外我还认为建筑艺术注定要显露的自然是重力和固体性,同时也还有与这两者相反的光的本质。即是说在光被那巨大的,不得透视的,界限 明晰和形态复杂的庞然大物所吸收,所阻挡,所反射的时候,光得以最纯洁地,最明晰地展出其本性和一些属性而使鉴赏者大受290其赐,因为光,作为最完美的直观认识方式的条件和客观方面的对应物,是事物中最可喜爱的东西。

    因为由于建筑艺术而进于明晰直观的这些理念是意志客体性最低的一些级别,从而建筑艺术展出于我们之前的东西,它的客观意义也就相对地微小;所以[人们]在看到一个美丽的,适当照明了的建筑物时,欣赏的享受与其说是在于把握了理念,毋宁说是在理念的,随把握理念而起的主观对应物方面,即是说欣赏的享受主要是在于鉴赏者在看到建筑物时,摆脱了为意志服务的,服从根据律的个体的认识方式而上升为纯粹的,不带意志的。‘认识”的主体了;也即是在纯粹的,从欲求和个性的一切痛苦解放出来的观赏本身中。——就这一点说,那么和建筑对立的那一极端,各种艺术排成系列的另一极端就是戏剧了;戏剧[能]使那些最重要的理念进入认识的领域,因此在戏剧的欣赏中客观的那一面就占有压倒的优势了。

    建筑艺术和造型艺术,和文艺的区别乃在于建筑所提供的不是实物的拟态,而是实物自身。和造型艺术,文艺不一样,建筑艺术不是复制那被认识了的理念。在复制中是艺术家把自己的眼睛借给观众,在建筑上艺术家只是把客体对象好好的摆在观众之前,在他使那实际的个别客体明晰地,完整地表出其本质时,得以使观众更容易把握理念。

    建筑艺术的作品,和艺术的其他作品一样,很少是纯粹为了审美的目的而完成的。审美的目的反而是附属于其他的,与艺术不相干的实用目的之下的;所以建筑艺术家的大功就在于审美的目的尽管从属于不相干的目的,仍能贯彻,达成审美的目的,而这是由于他能够巧妙地,用多种的方式使审美的目的配合每一实291用目的,能够正确地判断哪一种建筑艺术的美适宜于用在庙宇上,哪一种适宜于宫殿,哪一种适宜于武器陈列馆等等。严酷的气候越是加强了满足[特殊]需要的要求,功用的要求,越是呆板地规定了这些要求,越是不容更改地指定了这些要求,那么,美在建筑艺术中也越少活动的余地。在印度、埃及、希腊和罗马的温带气候,那儿生活上必须提出的要求就减少了些,规定也要松一些,建筑艺术就可以最自由地追求审美的目的了。在北欧的天空下,建筑艺术的审美目的就要大受委曲;这里的要求是鸽笼式的房子,尖顶的阁塔,建筑艺术既然只能在很窄狭的范围内展出其特有的美,就更加要惜重雕刻的装饰作为代用品了,这是我们在哥特式艺术建筑物上所看到的。

    建筑艺术在这种情况之下,虽有必然性和功利性[两方面]的要求而不得不受到很大的限制,然而在另一方面这些要求和限制叉大大地帮助了它;因为建筑如果不同时又是一种有实利有必要的工艺而在人类营为中有着一个巩固和光荣的地位,那么,以其工程的浩大和经费的庞大而艺术效用的范围又如此窄狭,它就根本不可能作为纯粹的艺术而保存到今天了。还有一种艺术虽就审美观点说完全可以和建筑艺术并列,然而因为缺乏上述那些实用方面的意味,我们就不能把这种艺术和建筑艺术列为姊妹艺术;我的意思是指风景美的水利工程。原来在建筑艺术上,重力的理念是和固体性联带出现的;而在风景美的水利工程中,重力的理念则是和液体性、也就是和形状不定性、流动性、透明性为伍的;两种艺术都是为同一理念服务的,有从悬岩之上倾注的巨流,咆哮汹涌,有飞溅着的瀑布,静穆幽闲,有水柱般高耸的喷泉和明镜般的湖水[等等],其显示沉重液体物质的理念恰和建筑物显露固体物质的理念是一样的。但风景的水利工程不能从实用的水利292工程方面获得支援;因为两种水利工程的目的一般是冰炭不相容的,只在例外的场合可以合而为一,罗马的特莱维人工瀑布即其一例。

    上面两种艺术为意志客体性的那些最低级别所作的,在一定范围内也就是审美的园艺学为植物界的较高级别所作的。一块地方的风景美大部分有赖于聚集在这里的自然对象丰富多采,然后又在于这些对象各自有醒目的分类,分明不紊,然而又表出适当的互相配合和交替的变化。园艺的美所致力的就是这两个条件,然而园艺远不如建筑艺术那样能够掌握自己的材料,因此园艺的效果就很有限了。园艺所展出的美几乎全是属于自然所有的,园艺本身在自然上面增加的部分却很少。并且在另一方面,如果天公不作美,园艺就没有多少办法了;如果自然不留情而是帮倒忙的话,园艺的成就也就微不足道了。

    植物界没有艺术的媒介也到处可供欣赏,不过就其为艺术的对象说,则主要的是风景画的对象。和植物界同在这一领域的还有其余一切无知的自然界。——在静物写生中和画出的单纯建筑物、废墟、教堂内部等场合,欣赏的主观方面是主导的,即是说我们在这上面的恰悦主要的不直接在于把握了展出的理念,而更是在于把握理念的主观对应物,在于纯粹而无意志的认识;因为在画家让我们惜助于他的眼睛而看到事物的时候,我们在这时对于那隽永的心神之宁静和意志的完全沉默就会同时获得一种同感和余味,而这是为了[我们]把[自己的]认识完全浸沉到那些无生的对象中去,为了以这样的爱好——在这里也就是以高度的客观性——来领会事物所不可少的。真正风景画的效果总的说起来固然也属于这一类型,不过由于所展出的理念已是意志客体性的较高级别,这些理念的意义就丰富得多,表现力也强得多,所以美感的客观方面就要更突出些而同主观的方面平衡了。这里纯粹的认识自身已不完全是主要的了,而是被认识了的理念,作为表象的世界在意志客体化更显著的级别上[在那儿]以同等的力量起作用。

    可是动物画和动物雕刻又展出一个高得多的级别。从古代遗留下来的动物雕刻还相当多,譬如马,在维尼斯的马山、厄尔琴的浮雕上都有;在佛洛仑斯还有铜马和大理石的马,这里又有古代的野猪,嗥着的狼;此外在维尼斯的兵器展览馆还有雕刻的狮子像,在梵蒂冈还有整个一厅子大半都是古代的动物[雕刻];不胜枚举。在这些作品上,美感的客观方面和主观方面相比就已占有断然的上风了。这里认识理念的主体已把自己的意志镇压下去了,可是已有了主体的这种宁静——在任何鉴赏都是这样——,但鉴赏者并不感到这宁静的效果,因为我们的心情[在鉴赏时]已被我们面前展示出来的那意志的不安和激动所占据了。出现于我们眼前的就是构成我们本质的那一欲求,但这欲求在[雕刻的]形态中的显现不同于在我们之中的显现,不是由思考主宰节制的,而是在粗线条中以一种近乎离奇不经和粗犷凶顽的明显性表出的;不过好在也并无伪装,是天真的、坦白的,无所掩饰的,我们对于动物发生兴趣就正在于这一点。在画出植物的时候就已显出了种族的特征,不过还只是在形状中显出罢了;在动物[雕刻]则特征就要明显得多,并且不仅在形态中显出,而是在行动、姿势、体态中显出,不过总还只是种类的特征而不是个性的特征。———对于较高级别的理念之认识,我们在绘画中通过别人的媒介而接受的那些认识,是我们在欣赏植物和观察动物时也能直接获得的,并且如果是动物,就应该在它们不受拘束,自然而舒展的时候进行观察。客观地观察它们丰富多采、稀奇美妙的形态和举止行动是从大自然听取富有教育意义的一课,是认出了真正的“事物的标记”。我们在这些标记中看到意志显露的各种程度和方式,而在一切生物中又只是同一个意志,这意志所欲求的也到处是同一个东西,亦即变化如此无穷,形态如此各异而把自己客观化为生命,为实际存在的东西;[同时],所有这些形态又都是对不同的外在条件的一些适应,可比拟于同一主旋律的许多变调。如果我们要给观赏者,为了[他的]反省思维,而用一句活来传达[我们]对于动植物的内在本质所获得的理解,那么,我们最好就用常出现于印度神圣典籍中叫做摩诃发古亚,即大咒语的梵文公式:“塔特,都阿门,阿西”,意即:“凡此有情。无非即汝。”

    最后直接地、直观地把这种理念,即意志可以在其中达到最高度客体化的理念表达出来乃是故事画和[人像]雕刻的巨大课题。在这里欣赏的客观方面绝对占着上风,而那主观的方面则已引退到后台去了。此外要注意的是还在比这低一级的级别上,在画动物时,特征和美完全是一回事;最能表出特征的狮,狼,马,绵羊,犍牛也总是最美的。这里的理由是动物只有族类特征而没有个别的特征。[艺术]在表达人的时候,族类特征可就和个体特征分开了,前者现在叫做美(完全在客观意义上),后者保留“特征”或“表情”的名称,于是就产生了新的困难,亦即如何将两者同时在同一个体中完善的表达出来[的问题]。

    人的美是一种客观的表现,这种表现标志着意志在其可被认识的最高级别上,最完美的客体化上,根本是人的理念完全表出于直观看得到的形式中。在这里尽管是美的客观方面如此突出,然而那主观方面依然是这客观方面永久的伴当。并且正因为没有一个对象能够象美人的容貌和身段那样迅速地把我们移人审美的直观,在一看到这种容貌和身段时,我们立刻就为一种说不出的快感所控制,使我们超然于我们自己,超然于一切使我们痛苦的事物之上,所以这种情况的可能就仅仅在于意志可加以最明晰,最纯洁的认识的可能性也[能]最轻易地,最迅速地把我们移入纯粹的认识状态;在这状态中,只要纯粹的美感还在,我们的人格,我们的欲求及其经常的痛苦就都消失了。所以歌德说:“谁要是看到人的美,就没有邪恶的东西能够触犯他;他觉得自己和自己,自己和宇宙都协调一致了。”——至于自然[如何]成功地[产生了] 一个美的人体形象,我们必须这样来说明:即是说当意志在这最高级别上把自己客体化于一个个体中时,由于幸运的情况和自己的力量[它]完全战胜了一切障碍和阻力,较低级别的意志现象常使这些障碍与阻力和意志作对,——各种自然力就属于这类现象——。意志总是必须先从这些阻力手里夺取并赢得那本属于一切现象的物质。再进一步说,在较高级别上的意志现象在其形式上总是有多种多样的。一株树已经是无数重复着的,成长着的纤维的一个有系统的组合体。这种组合到愈高的级别愈是有增无已,而入体就是极不相同的部分组成的最复杂的系统;其中每一部分都有。着一个从属于整体的,然而又是独特的生命。至于所有这些部分又恰好是在适当的方式下从属于整体,在适当的方式下互相配合,为了整体的表出而和谐地同谋协力,不多出一点,也不委曲一点,——这一切就是这样一些罕有的条件,就是说它的后果就是美,就是完全刻画出来的种性。——大自然是这样,然则艺术又是怎样呢?人们的意见是,[艺术是]以摹仿自然[来创造美的]。——但是如果艺术家不是在经验之前就预期着美,要他从哪里去识别在自然中已成功了的,为我们要去摹仿的事物呢?又如何从那些未成功的作品中去找这些已成功的呢?大自然又曾经创造过所有一切部位都十全十美的人吗?——于是人们又曾认为艺术家应该把分散在许多人身上的,各个不同的美的部位搜集拢来,凑成一个美的整体,——[这是]一种颠倒的未经思考的意见。因为这里又要问艺术家队哪里识别恰好这一形式是美的而那一形式又不美呢?——我们不是已看到那些古代德国画家摹仿自然吗?然而在美[的领域]内他们又走了多远呢?请看他们的裸体画像罢!——纯粹从后验和只是从经验出发,根本不可能认识美,美的认识总是,至少部分地是先验的,不过完全是另一类型的先验认识,不同于我们先验意识着的根据律各形态。这些形态只管得着现象作为现象论,它们的普遍形式以及这些形式如何根本就是认识的可能性的基础,只管得着现象的普遍的无例外的如何,譬如数学和纯粹自然科学就是从这种认识出发的。另外这一种先验的认识方式,使美的表出有可能的认识方式,则与此相反,不是管现象的形式而是管[现象的]内容,不是管如何显现,而是管显现的是什么。如果我们看到人[体]的美,我们都能认识这种美,但是在真正的艺术家,他认识这种美竟如此明晰,以致他表达出来的美乃是他从来未曾实际看到过的美,[我们看到的美]在他的表达中已超过了自然。而这所以可能又仅仅是由于意志——它的恰如其分的客体化,在其最高级别上,要在这里来判断,来发现——就是我们自己。仅仅是由于这一点,事实上我们对“能对于自然(自然也就是构成我们自己的本质的意志)努力要表出的东西有一种预期。在真正的天才,这种预期是和高度的观照力相伴的,即是说当他在个别事物中认识到该事物的理念时,就好象大自然的一句话还只说出一半,他就已经体会了。并且把自然结结巴巴未说清的话爽朗的说出来了。他把形式的美,在大自然尝试过千百次而失败之后,雕刻在坚硬的大理石上。把它放在大自然的面前好象是在喊应大自然:“这就是你本来想要说的!”而从内行的鉴赏家那边来的回声是:“是,这就是了!”——只有这样,天才的希腊人才能发现,人类体形的原始典型,才能确立这典型为[人体] 雕刻这一艺术的教规。我们所有的人也只有借助于这样的预期,才可能在大自然在个别事物中真正成功了的地方认识到美。这个“预期”就是理想的典型。只要理念,至少有一半是先验地认识了的,并且在作为这种理念从先验方面来补充大自然后验地提供出来的东西,从而对于艺术具有实践的意义时,理念也就是理想的典型。艺术家对于美所以有这种先验的预期以及鉴赏家对于美所以有后验的赞赏,这种可能性就在于艺术家和鉴赏家他们自己就是大自然自在的本身,就是把自己客体化的意志。正如恩披陀克勒斯所说,同类的只能为同类的所认识;所以只有大自然能理解他自己,只有大自然才会根究它自己,那么,精神也只为精神所理解。

    认为希腊人所以找到已成定论的,人体美的理想典型完全是由于经验而来,是由于搜集各个不同的美的部分,这里裸露一个膝盖,留心一下,那里裸露一只膀子,又注意一下而来的错误见解,还在文艺方面有着完全与此雷同的见解,亦即这样一种看法,譬如说莎士比亚剧本中那么多复杂的,那样有真实性的,那么用心处理的,那么精心刻画出来的人物都是他从他自己的生活经验里留心看出来,然后加以复制而写出来的。这种看法的不可能和荒谬已没有分析的必要。显然的是一个天才,犹如他只是由于对于美有一种拟想的预期才创造造型艺术的作品一样,他在文艺上的创作也是由于对人物特征先有这样的预期,然而这两种创作都需要经验作为一种蓝本,唯有在这蓝本上,那先验模糊地意识着的东西才能引出来变为完全明晰[的东西],这然后才出现了从容创作的可能性。

    上面已经把人的美解释为意志的最完美的客体化,在其可以被认识的最高一级别上的客体化。这种美是由形式表达出来的,而这形式又只在空间中,和时间没有什么必然的关系,不象运动是有这么一种关系的。单就这一点,我们可以说意志由于单纯的空间现象而有恰如其分的客体化便是客观意义上的美。植物,除了单是意志的这种空间现象之外,再不是别的什么,因为要表出植物的本质无需运动,从而也无需时间关系(撇开植物的发育不谈);单是植物的形态已表出了它全部的本质,已把它的本质揭露出来了。可是在动物和人,要完全显露正在它们身上显现出来的意志就还需要一系列的动作;由于动作,在它们身上的现象就获得了对时间的直接关系。这些都是在上一篇里阐述过了的,却由于下面的这一点又和我们目前的考察挂上了钧。如意志的纯空间现象能够在每一固定的级别上使意志完美地或不完美地客体化,一这就正是构成美或丑的东西——,意志在时间上的客体化,亦即行为,并且是直接的行为,也就是[身体的]动作,也能纯洁地、完美地契合在动作中客体化了的意志,没有外来的掺杂物,没有多余的或不足的地方,而恰好只是表出每次一定的意志活动;——也可以和这一切相反[,即或有余或不足等等]。在前一情况,动作的完成是有仪态的,在后一情况则没有。所以犹如根本就是意志通过它纯空间的现象而有的相应表出,那么,与此相似,仪态就是通过它在时间上的现象而有的相应表出,也即是每一意志清动通过使意志得以客体化的举动和姿势而有的完全正确的、相称的表示。动作和姿势既以身体为前提,所以文克尔曼的说法很对很中肯,他说:“优雅是行为的人和行为之间一种特殊的关系。”(《全集》第一卷第258页)结果自然是:我们固然可说植物有美,但不能说植物有优雅;如果要这样说,也只能是拟人的意义。动物和人则两者兼而有之。根据上面所说的,有优雅就在于每一动作和姿势都是在最轻松、最相称和最安详的方式之下完成的,也就是纯粹符合动作的意图,符合意志活动的表现。没有多余,多余就是违反目的的、无意义的举措或蹩扭难看的姿势;没有不足,不足就是呆板僵硬的表现。优雅以所有一切肢体的匀称,端正谐和的体形为先决条件,因为只有借助于这些,在一切姿势和动作中才可能有完全的轻松的意味和显而易见的目的性。所以优雅决不可能没有一定程度的体型美。优雅和体型美两者俱备而又统一起来便是意志在客体化的最高级别上的最明晰的显现。

    如前面已提到过的,使人突出的标志是人的族类特征和个人特征各自分离,以致每人!如在前一篇里已说过的,在一定限300度内部表现出一种特殊的理念。因此,以表出人的理念为目的的各种艺术,除了作为族类的特征的美以外,还要以个人特征为任务。个人特征最好就叫做性格。然而表出性格又只能在这样一个范围内,即是说不能把性格看作什么偶然的,绝对专属于这么一个人的个体的东西,而是要把性格看作人的理念恰好在这一个个体中特别突出的一个方面,这样性格的描写才有助于显出人的理念。于是性格,作为性格说,固然是个别的,却仍然要按理想的典型来把握,来描写,也即是说根本要就人的理念(性格以它的方式助成人的理念的客体化)来突出性格的特殊意义。在此以外,这一描写也是一个人,作为个别人的肖像、复制,包括一切偶然的东西。并且即令是肖像,正如文克尔曼所说,也应该是个体[最]理想的典型。

    应作为理想的典型来体会的那种性格,亦即人的理念某一特殊方面的突出,它之所以显为可见的,一面是由于不变的相貌和体型,一面是由于情过境迁的感触和热情,由于“知”和“意”的相互影响,而这一切又都是在面部表情和举止行动中表现出来的。个体既然总是属于人类的,在另一方面人性又总是在个体中并且是包括个体特有的典型的意味而显露出来的;所以既不可以以性格来取消美,也不可以以美来取消性格;因为以个体特征来取消族类特征便是漫画,而以族类特征取消个体特征,结果又会[空洞]无意义。因此,以美为宗旨的艺术表现一主要的是雕刻——总还是以个别性格在某些方面把这种美(即族类特征)加以修正和限制,总要在突出人的理念的某一方面时在一定的,个别的方式下表出人的理念;这是因为人的个体作为个体说,在一定程度上都有一个特有的理念[这么一种]尊严,而就人的理念说,最重要的正是把它自己表出于有特殊重要意味的个体中。所以我们常在古代作品中看到他们清晰地体会到的美不是用一个,而是用好多带有不同特性的形象来表出的,等于总是从一个不同的方面来体会的,从而阿颇罗表出的是一个样儿,[酒神]巴库斯又是一个样儿,[大力神]赫库勒斯又是一个样儿,[青年美典型的]安迪诺奥斯又是一个样儿。并且特殊性格的方面对于美还有限制的作用,这种性格方面甚至可以出现为丑,如大醉之后的[酒鬼]席仑,如森林神浮恩等等。如果性格方面竟至于真正取消了族类特征,也就是到了不自然的程度,那就会成为漫画。——但和美相比,优雅更不能受到性格方面的侵蚀。不管性格的表出要求哪种姿态和举动,这种姿态和举动务必以同本人最相称的、最合目的的、最轻便的方式来完成。这一点不仅是雕刻家和画家,而且也是每一个优秀的演员要遵守的,否则这里也会由于姿式不正,举动蹩扭而产生漫画式的形象。

    在雕刻中,美的仪态依然是主要的。在感触中,激情中,知和意的相互影响中出现的精神特征是只能由面都表情和姿态表现出来的,[所以]精神特征最好是绘画的题材。原来眼神[的表出] 和色彩[的运用]都在雕刻的范围之外,这两种手法固然很可以助长美,对于性格[的表现]则更不可少。此外,美对于从几个观点出发的鉴赏就会有更完整的展出;与此相反,如果是表情,是性格,从一个观点出发也能完全被掌握。

    因为美显然是雕刻的主要目的,所以勒辛曾企图以惊呼和美两不相容来解释拉奥孔不惊呼。这个对象既已成为勒辛自己一部书的主题或至少是该书的转折点,并且在他以前以后还有那么多著述讨论这一对象,那么,请容许我在这里作为插曲似的说出我对这事的意见,虽然这样一种个别的讨论本不应属于我们的考察范围之内,因为我们的考察一贯是以“普遍”为宗旨的。

    至于拉奥孔在享有盛名的那一群雕刻形象中并不是在惊呼,那是显然的。那么,这一点所以一般总是使人一再感到讶异,自然是由于我们设想自己在拉奥孔的地位必然要惊呼;并且人的本能也会要这样做,因为[他那时] 既有剧烈的生理上的痛苦和突然发生的、肉体上极大的恐惧,而可能使人沉默忍受下来的一切反省思维,这时已全被排挤在意识之外,[那么,] 自然的本能就会发为惊呼,既以表示痛苦和恐惧,又以呼救而骇退来袭击的敌人。文克尔曼虽已发现[拉奥孔] 没有惊呼的表情,但是在他企图为[创造这作品的] 艺术家辩护时,他竟把拉奥孔说成为一个斯多噶派了,认为拉奥孔矜持自己的尊严,不屑于随自然的本能而惊呼,反而要在其痛苦之上再加上无补于事的抑制,咬牙忍住了痛苦的表情。因此文克尔曼在拉奥孔身上看见的是“一个伟大人物的经得起考验的精神,和极度的惨痛搏斗而企图抑制自己痛苦的表情,把痛苦隐藏于内心。他不象维琪尔[诗中的拉奥孔] 那样冲口惊呼,而只是发出剧痛的叹息”如此等等(《[文克尔曼] 全集》第七卷第98页。——讨论此事更详细的是[ 同书] 第六卷第104页及随后儿页)。 勒辛在他的《拉奥孔》中就批评了文克尔曼的这个见解并以上面指出的意见修正了这个见解。勒辛以纯粹美学的理由代替了心理学的理由,认为美,认为古代艺术的原则,不容许有惊呼这种表情。他还加上了另外一个论点,说一种静态的艺术作品不容表现一种飘忽不定,不能经久的状态;[然而]这个论点却有数以百计的优美雕像的例子证明了它的反面,这些雕像都是在变化不定的运动中,譬如在舞蹈、搏斗、追逐等等中捉住了的形象。歌德在他论拉奥孔的那篇文章中——该文是文艺杂志《庙堂》的创刊词(第8页)——甚至以为选择运动中这倏忽的一瞬恰好是必要的。——在我们今天,市尽管(《时代之神》1797第十期)在把一切归结于表情的最高真实性时是这样解决问题的,他说拉奥孔所以不惊呼,是因为他在窒息中即将死亡,已不能惊呼了。最后,费诺(《罗马研究》第一卷第426页及其后几页)把所有这三种意见都评述了,比较了,然而他自己却没补充什么新的东西,而只是折衷调和那三种意见而已。

    我不禁觉得奇怪,[为什么] 这样深思明辨的人们要辛苦地从老远去找一些不充分的理由,要抓一些心理学的、生理学的论据来解释这回事;[其实] 这件事的理由就近在眼前,并且对于没有成见的人也是显然的理由;——尤其可怪的是勒辛已那么接近正确的解释,却还是没有得到真正的要领。

    在未作任何心理学的和生理学的研究之前,究竟拉奥孔在他那地位会不会惊呼这个问题——附带他说我是完全站在肯定的一面——;首先应就这群雕刻形象目身来作决定,即是说在这群形象中不得把惊呼表达出来唯一的理由就是因为表示惊呼[的艺术手法] 完全在雕刻的领域之外。人们不可能从大理石中塑造一个惊呼着的拉奥孔,而只能雕出一个张着嘴的,欲呼不能的拉奥孔,一个声音在喉头就停住了的拉奥孔。惊呼的本质,从而惊呼对于观众的效果也完全只在于[惊呼] 之声,而不在于张开嘴。张开嘴这必然和惊呼相伴的现象,必须先有由于张嘴而发出的声音为动机才可理解;这然后作为这一行为的特征,张嘴才是可以容许的,甚至是必要的,虽然这已有损于[作品的] 美了。可是造型艺术自身对于惊呼的表现完全是外行,是不可能的。要在造型艺术中表出用以惊呼的手段,那种勉强的,破坏一切面容轮廓和其余表情的手段,也就是表出嘴的张开,那可真是不智已极;因为即令人们这样做了,也不过是把这种附带地还要要求许多牺牲的手段摆到眼前而已,而这手段的目的,惊呼本身,和惊呼对于[我们] 情绪的作用却依然付之缺如。何况还不仅是付之缺如而已,当人们这样作时,无非是塑出每当努力而终于无效的可怜相;直可比拟于一个更夫,在他睡熟之后,捉狭鬼为了取乐用蜡塞住了[他的] 牛角,然后大叫失火以惊醒他时,徒然使劲而吹不响牛角的可怜相。——与此相反,如果是在叙述的或表演的艺术范围内表出惊呼[的神情],那又完全是可以容许的,因为这样做有助于[艺术的]真实性,这真实性也就是理念的完整表现。在文艺中就是这样,——文艺要求读者想象力[的合作]以使它所描写的更有直观的形象性——,因此在维滇尔[诗中]的拉奥孔就象公牛在着了一斧又挣脱捆索时那样狂叫;因此荷马(《伊利亚德》xx,第48—53页)也让战神马儿斯和智慧之神闵涅华发出十分可怕的叫声,然而这既无损于他们神的尊严,也无损于他们天神的美。在戏剧艺术中也是这样,在舞台上的拉奥孔简直不得不惊呼。索福克勒斯也让菲洛克德特呼痛,在古代的舞台上[这个人物登场时]大抵也真是呼号过的。我记得一个完全相似的情况,在伦敦我看见过著名演员肯帕尔在译自德国的《皮查洛》这个剧本中扮演美国人洛拉。洛拉是一个野蛮人但品德高尚,然而在他受伤之后,他高声剧烈地大叫,这在剧情上的效果很大很好,因为这最足以表示人物的性格,大有助于[艺术的]真实性。——相反,一个画出来的或石雕的没有声音的呼号者,那就比画出来的音乐还要可笑。在歌德的《庙堂》杂志里已对此指斥过,因为[在造型艺术中]呼号比音乐更有损于其他的一些表情和[整个的]美;[在这里]音乐大抵只是使手和臂有所操作,还可看作标志其人的性格的行动,并且只要不要求身体的剧烈运动或歪嘴缩腮,还可画得十分像样,例如弹风琴的圣女车栖利亚,罗马斯希阿拉画廊里拉菲尔的“提琴演奏者”等等。——所以说,由于艺术各有疆界而不能以惊呼来表现拉奥孔的痛苦,那么,那位艺术家就得使出一切其他的手法来表现拉奥孔的痛苦了。正如文克尔曼的大笔所描写的,那位艺术家是十全十美地作到了这一点;而人们只要撇开文克尔曼赋予拉奥孔以斯多噶派思想意识的渲染,文克尔曼杰出的描写仍可保有它充分的价值和真实性。

    因为在仪态之外还有“美”是[人体]雕刻的主要课题,所以雕刻喜欢裸体,只在衣着并不隐蔽身段时,[才]可以容许衣着。雕刻利用艺术上的褶裙不是用以隐蔽,而是用以间接地表现身段。这种表现手法要求悟性作出很大的努力,因为悟性只是由于直接显出的效果,由于衣裙的褶绪就要直观地看到这榴绪的原因,看到身段。那么,褶裙之于雕刻,在一定限度内,正就是缩影之于绘画。两者都是示意,但不是象征的,而是这样一种示意,即在其成功时就会强制悟性把只是示意的地方当作和盘托出的来看。

    这里请容许我附带地插入一个有关语文艺术的比喻。即是说少穿衣服或完全不穿衣服最有利于欣赏美的身段,所以一个很美的人,如果他既有审美的趣味,又可按趣味而行事的话,他最喜欢的就会是少穿衣服,最好是几乎是全裸着身子过日子,仅仅和希腊人一样着那么一点儿衣服,——与此相同,每一个心灵优美而思想丰富的人,在他一有任何可能就争取把自己的思想传达于别人,以便由此而减轻他在此尘世中必然要感到的寂寞时,也会经常只用最自然的,最不兜圈子的,最简易的方式来表达自己[的思想]。反过来,思想贫乏,心智混乱,怪癖成性的人就会拿些牵强附会的词句,晦涩难解的成语来装饰自己,以便用艰难而华丽的词藻为[他自己]细微渺小的,庸碌通俗的思想藏拙。这就象那个并无俊美的威仪而企图以服饰补偿这一缺点的人一样,要以极不驯雅的打扮,如金银丝绦、羽毛、卷发、高垫的肩袖和鹤氅来遮盖他本人的委琐丑陋。有些作者,在人们强迫他改作他[写得]那么堂皇而晦涩的著作,[以符合]书中渺小的、一览无余的内容时,就会和一个人在要他光着身于走路时一样的难为情。

    故事画在美和优雅之外,还要以[人物]性格为主要对象。这根本就要理解为在意志客体化的最高级别上来表出意志。在这最高级别上,个体作为人的理念在某一特殊方面的突出,已有它特殊的意味。并且这种意味不单是在形体上就可认识到的,而是要由于在面部表情和姿态上看得出的各种各样的行为,以及促成这行为,与这行为并存,由于认识和欲求带来的影响才能够认识到。人的理念既然要在这样的范围内来表出,那么,人的理念在多方面的开展就必须通过有特殊意味的个体使我们亲眼得见,而这些带有特殊意味的个体又只能通过多种多样的背景,故事和行为才能使他们显而易见。故事画用以解决这些无数任务的方法就是把各种生活的情景,不分意义的大小,[一一]摆在[我们]眼前。既没有一个个体,也没有一种行为能够是毫无意义的。人的理念是在这一切个体一切行为中,通过这一切个体一切行为逐渐逐渐展开的。因此,绝对没有一种生活过程是可以排斥于绘画之外的。所以如果人们[先入为主地]只承认世界史上的大事或圣经上的故事有重大意义,对于荷兰派的画家则只看重他们的技巧方面而在其他方面轻视他们,以为他们大抵只写出一些日常生活中的对象罢了,那是对于这些优秀的画家太不公允了。人们首先就该考虑一下,一个行为的内在意义和它的外在意义是完全不同的。两者也每每各自分别出现[,不相为谋]。外在的意义是就一个行为对于实际世界的,在实际世界中的后果来说的重要性,所以是按根据律[来决定]的。内在的意义是[我们]对于人的理念体会的深刻。这种体会由于凭借按目的而配置妥当的情况,让那些表现明确而坚定的个性展出它们的特性因而揭露了人的理念不常见的那些方面,就显示了人的理念。在艺术里有地位的只是内在意义,外在意义则在历史上有地位。两者完全各自独立,可以合并出现,但也可以分别单独出现。在历史上极为重大的一种行为在内在意义上很可能是平凡而庸俗的行为。相反,日常生活中的[任何]一幕,如果个体的人以及人的作为,人的欲求,直到最隐蔽的细微未节都能够在这一幕中毫发毕露,也可能有很大的内在意义。又外在意义尽可极不相同,而内在意义仍可相同或无非是同一个意义;例如:或是内阁大臣们在地图上为争夺土地和臣民而相持不下,或是农民们在小酒店里用纸牌和骰子互赌输赢而拌嘴,这在内在意义上说,并没有什么不同,正如人们下棋,不管棋子是黄金制的或木头制的,其为博弈则一。何况单是由于这一理由,构成亿万人生活内容的这些情景和事态,他们的作为和营谋,他们的困苦和欢乐就有足够的重要性作为艺术的题材;并且由于这些情景和事态的丰富多采,一定也能提供足够的材料以展出人的理念的许多方面。甚至瞬息间的过眼烟云,一经艺术掌握而固定于画面(于今称为生活素描)之上,也要激起一种轻微的,别具意义的感动,原来在一些个别的,却又能代表全体的事态中把这瞬息万变不停地改头换面的世界固定在经久不变的画面上,乃是绘画艺术的成就。由于这种成就,在绘画艺术把个别的东西提升为其族类的理念时,这一艺术好象已使时间[的齿轮]本身也停止转动了似的。最后,绘画上历史的、具有外在意义的题材常有这么一种缺点,即是说这种题材的意义[有时]恰好不能有直观的表现而必须以想当然来补充。就这一点说,我们根本就应区别一幅画的名称意义和它的实物意义;前者是外在的,但只是作为概念而具备的意义;后者是人的理念的一个方面,是由这幅画给直观显出的。例如前者是摩西被埃及的公主发见,是历史上极为重要的一个关键,而这里的实际意义,真正给直观提出的东西则相反,只是一个贵妇从浮于水上的摇篮中救出一个弃婴来,是可以常发生的一件事。在这里,单是那一套穿戴已能使一个学者认出这一回历史公案;但是穿戴服装只在名称的意义上有用处,在实物的意义上却无关重要,因为后者只认人本身,而不认[衣服,不认]随意拣来的形式。[艺术]从历史中取得的题材和从纯粹可能性取得的题材,亦即并非个别的而只能称为一般的题材相比,并没有什么突出的优点;这是因为在历史题材中真正有意义的并不是那个别的东西,不是个别事态本身,而是个别事态中普遍的东西,是由这事态表出的人的理念的一个方面。因此,在另一面,某些历史题材却也不可厚非,不过以真正艺术眼光来看这些题材则不管是画家还是鉴赏家,都决不在乎这些题材中个别的、单一的东西,恰好是构成历史性的东西,而是在乎题材中表现出来的普遍的东西,在乎理念。并且也只有在主题真可以表现出来,无须以“想当然”来补充的场合才可选用历史题材,否则名称意义和实物意义就会距离太远,在画面上想到的就会成为最重要的[东西]而有损于直观看到的[东西]。在舞台上(譬如在法国的悲剧里)已经不宜于使表现主题的剧情在幕后发生,如果在绘画中这样做,那就显然是大错特错了。历史的题材只在把画家圈定在一个不是按艺术的目的而是任意按其他目的选定的范围中时,才是肯定不利的。绝对不利的是这个范围缺乏画意和有意味的题材,例如说如果这个范围是一个弱小的、被隔离的、冥顽的、为教会立法所统治的,也就是被错误的妄念所支配的,为东西方当代各大民族所藐视的卑微的民族——如犹太民族——的历史。——在我们和一切古代民族之间既曾有一次民族大迁徙横亘在中间,有如过去一度的海底变化横亘在今日的和我们现在只能从化石认出其结构的两种地壳之间一样;那么,根本要算我们大不幸的是在主要成份上以过去的文化给我们的文化提供基础的民族,一不是希腊人,二不是印度人,甚至连罗马人也不是而凑巧是这些犹太人。不过尤其不幸的是十五和十六世纪中意大利的天才画家们,他们是人为地被限制在一个狭窄的圈子里在选择题材,不得不抓住各种各样的可怜虫[作题材]。原来新约全书,就历史的部分说,作为绘画题材的来源比旧约全书还要差劲,至于继新约全书而起的殉道者和教会传道人的历史,那更是些糟透了的东西。不过[又不可一概而论]在这些画中人们还得好好加以甄别,一种是那些专以犹太教和基督教的历史或神话部分为题材的画,一种是使真正的,亦即基督教的伦理精神可以直观看到的画,而所用的方法就是画出充满这种精神的人物。后一种画事实上是绘画艺术中最高的、最可敬佩的成就,也只有这一艺术中最伟大的巨匠,尤其是拉菲尔和戈内琪奥——后者大体上是在其初期作品中——,才能获得这样的成功。这一类的绘画本来不能算在历史故事画之内,因为这些画大多数并不写一种事态的过程,不写什么行为,而只是把一些神圣人物凑到一起而已,往往是救世主自己,大310半还在幼儿期,和他的母亲以及天使们等等。我们在他们的面部,尤其是在他们的眼神中,看到那种最圆满的“认识”的表情和反映。这不是关心个别事物,而是把握了那些理念,亦即完全把握了宇宙和人生全部本质的认识。这一认识在那些神圣人物心中回过头来影响意志的时候,就不同于别的认识,只是为意志提供一些动机,而是相反,已成为取消一切欲求的清静剂了。从这种清静剂可以产生绝对的无欲——这是基督教和印度智慧的最内在精神——,可以产生一切欲求的放弃,意志的收敛,意志的取消,随意志的取消也可以产生最后的解脱。那些永远可钦佩的艺术大师就是这样以他们的作品直观地表出了这一最高的智慧。所以这里就是一切艺术的最高峰。艺术在意志的恰如其分的客体性中,在理念中追踪意志,通过了一切级别,从最低级别起,开始是原因,然后是刺激,最后是动机这样多方的推动意志,展开它的本质,一直到现在才终于以表示意志[自己]自由的自我扬弃而结束。这种自我扬弃是由一种强大的清静剂促成的,而这清静剂又是意志在最圆满地认识了它自己的本质之后获得的。

    我们前此关于艺术的一切考察,无论在什么地方都是以这样一个真理为根据的,即是说:艺术的对象——表出这个对象就是艺术家的日的,所以对于这个对象的认识,作为[艺术品的]胚胎和根源,就必然要走在艺术家的作品之前了——就是柏拉图心目中的理念,而决不是别的什么;不是个别事物,不是理性思维的和科学的对象。理念和概念在两者[各自]作为单位的“一”而代表实际事物的多时,固然有些共同性,然而两者的巨大区别,由于在第一篇里关于概念和在本篇里关于理念所说过的,应该是够明确够清楚的了。不过说柏拉图也明白地体会了这一区别,我是决不主张的;反而应该说他有好些关于理念的例子,关于理念的讨论都只能适用于概念。关于这一点,我们现在将置而不论,而只走我们自己的路。足以自慰的是我们虽然这样屡次踏上了一个伟大的卓越的人物的旧路,却并不是[一步一趋]踏着他的足印前进,而是追求我们自己的目标。——概念是抽象的,是从推理来的。概念在其含义圈内完全是不确定的,只在范围上是确定的。概念是任何人只要有理性就得而理解和掌握的,只要通过词汇而无须其他媒介就可传达于人的,它的定义就把它说尽了。理念则相反,尽管可作概念的适当代表来下定义,却始终是直观的。并且理念虽然代表着无数的个别事物,却一贯是确定的:它决不能被个体所认识,而只能被那超然于一切欲求,一切个性而已上升为认识的纯粹主体的人所认识;也就是说只能被天才以及那些由于提高自己的纯粹认识能力——多半是天才的作品使然——而在天才心境中的人们所获得。因此,理念不是无条件地,而只是在条件之下才可以传达于人的,因为那既被把握又在艺术作品中被复制出来的理念只按各人本身的智力水平而[分别]引起人们的注意。因为这一缘故,所以恰好是各种艺术中最优秀的作品,天才们最珍贵的产物,对于人类中迟钝的大多数必然永远是一部看不懂的天书。在这些作品与多数人之间隔着一条鸿沟,大多数人不能接近这种天书,犹如平民群众不能接近王侯们的左右一样。最无风雅的人固然也把公认的杰作当作权威,但那不过是为了不暴露他们自己的低能罢了。这时他们虽口里不说,但总是准备着大肆低毁这些杰作,一旦有人容许他相信可以这样作而不致暴露他们自己,那么,他们对于一切伟大的、优美的东西——这些东西从来不引起他们欣赏,所以正是因此而伤害了他们312的自尊心———对于这些东西的创作者既然衔恨已久,现在就可以兴高采烈的尽情发泄他们的憎恨了。原来一个人要自觉自愿地承认别人的价值,尊重别人的价值,根本就得自己有自己的价值。这是[一个人]尽管有功而必须谦逊的理由所在,也是[人们]对于[别人的]这一德性往往加以过誉的理由之所在。在一切姊妹德性中,唯有谦逊是每一个敢于赞扬任何一个卓越人物的人,为了化解和消除[人们自己]无价值的忿怒,每次都要添加在他的称颂之后的。然则谦逊不是伪装的卑躬屈节,又是什么呢?难道谦逊不是人们因为自己有优点和功绩而在这充满卑鄙嫉妒的世界里[不得不]用以请求那些没有任何优点和功绩的人们加以原谅的手段?原来谁要是因为无功可伐而不自高自大,这不是谦逊,而只是老实。

    理念是借助于我们直观体验的时间、空间形式才分化为多的一。概念则相反,是凭我们理性的抽象作用由多恢复的一,这可以称之为事后统一性,而前者则可称之为事前统一性。最后,人们还可以用这样一个比喻来表示概念和理型之间的区别,人们可以说概念好比一个无生命的容器,人们放进去的东西在里面一个挨一个,杂乱无章,可是除了人们原先放进去的(由于综合判断),也不能再拿出(由于分析判断)什么来。理念则不然,谁把握了它,它就在他心里发展一些表象,而这些表象和它们同名的概念来说,都是新的。理念好比一个有生命的,发展着的,拥有繁殖力的有机体,这有机体所产生出来的都是原先没有装进里面去的东西。

    那么,根据所说过的一切,概念,尽管它对于生活是这样有益,对于科学是这样有用,这样必要,这样富于后果;对于艺术却永远是不生发的。与此相反,被体会了的理念是任何地道艺术作品真正的和唯一的源泉。理念,就其显著的原始性说,只能是从生活自身,从大自然,从这世界汲取来的,并且也只有真正的天才或是一时兴奋已上跻于天才的人才能够这样做。只有从这样的直接感受才能产生真正的,拥有永久生命力的作为。正因为理念现在是,将来也依然是直观的,所以艺术家不是在抽象中意识着他那作品的旨趣和目标,浮现于他面前的不是一个概念,而是一个理念。因此,他不能为他的作为提出一个什么理由来。他是如人们所形容的,只是从他所感到的出发,不意识地,也可说本能地在工作。与此相反,摹仿着,矫揉造作的人,效颦的东施,奴隶般的家伙,这些人在艺术中都是从概念出发的。他们在真正的杰作上记住什么是使人爱好的,什么是使人感动的;把这些弄明白了,就都以概念,也就是抽象地来理解,然后以狡猾的用心或公开或隐蔽地进行摹仿。他们和寄生植物一样,从别人的作品里吸取营养,又和水蛭一样,营养品是什么颜色,它们就是什么颜色。是啊,人们还可以进一步比方说,他们好比是些机器,机器固然能够把放进去的东西碾碎,拌匀,但决不能使之消化,以致放进去的成份依然存在,仍可从混合物里找出来,筛分出来。与此相反,唯有天才可比拟于有机的、有同化作用的、有变质作用的、能生产的身体。因为他虽然受到前辈们及其作品的教育和薰陶,但是通过直观所见事物的印象,直接使他怀胎结果的却是生活和这世界本身。因此,即令是最好的教养也决无损于他的独创性。一切摹仿者,一切矫揉造作的人都把人家模范作品的本质装到概念里来体会,但概念决不能以内在的生命赋予一个作品。时代本身,也就是各时期蒙昧的大众,就只认识概念,株守着概念,所以他们情愿以高声的喝彩来接受那些装模作样的作品。可是这些作品,不到几年便已[明日黄花]无鉴赏的价值了,因为时代精神,也就是一些流行的概念,已自变换了,而那些作品本就是只能在这些概念上生根的。只有真正的杰作,那是从自然,从生活中直接汲取来的,才能和自然本身一样永垂不朽,而常保有其原始的感动力。因为这些作品并不属于任何时代,而是属于[整个]人类的。它们也正因此而不屑于迎合自己的时代,这时代也半冷不热地接受它们。又因为这些作品每每要间接地消极地揭露当代的错误,所以[人们]即令承认这些作品,也总是蜘蹰不前,亦非衷心所愿。然而可以抵消这一切的是它们能够永垂不朽,能够在最辽远的将来也还能有栩栩如生的,依然新颖的吸引力。那时它们也就不会再任人忽视,任人错看了,因为那若干世纪以来屈指可数的几个有判断力的人物由于赞扬它们已给它们加了冕,批准了它们。这些少数人的发言逐渐逐渐增加了就构成了权威。

    如果人们对于后世有所指望的话,唯有这种权威才是人们心目中的裁判员。这完全只是那些陆续出现的少数个别人。原来后世的大众和人群,不论在什么时代还是同当代的大众和人群一样,过去是,现在是,将来也还是乖饵的、顽钝的。——人们请读一读每一世纪的伟大人物对其当代人的控诉罢,这听起来总好象就是今天发出来的声音似的,因为[今昔]都是同一族的人。在任何时代,在每一种艺术中都是以空架子的格局代替精神。精神永远只是个别人的所有物,而格局却是由最近出现的,公认的精神现象脱下来的一件旧衣服。根据这一切,如果要获得后世的景仰,除了牺牲当代人的赞许外,别无他法;反之亦然。

    然则,如果任何艺术的目的都是为了传达一个被领会了的理念,[即是说]这个理念在通过艺术家的心灵所作的安排中出现,已肃清了一切不相干的东西,和这些东西隔离了,因而也能为感受力较弱而没有生产力的人所领会了;如果再进一步说人们在艺术中也从概念出发,是要把事情弄糟的;那么,要是有人故意地,毫不讳言地公然指定一件艺术作品来表示一个概念,我们当然也不能予以赞同。寓意画就是这种情况。寓意画是这样一种艺术作品:它意味着不是画面上写出来的别的什么东西。但是那直观看到的东西,从而还有理念,都是直接而十分完美的把自己表现出来的,无需乎一个别的什么作媒介,不必以此来暗示。所以凡是因自身不能作为直观的对象,而要以这种方式,要依靠完全不同的另一什么来示意,来当代表的,就总是一个概念。因此寓意画总要暗示一个概念,从而要引导鉴赏者的精神离开画出来的直观表象而转移到一个完全不同的、抽象的、非直观的、完全在艺术品以外的表象上去。所以这里是叫绘画或雕刻去做文字所做的工作,不过文字做得更好些罢了。那么,我们所谓艺术目的,亦即表出只是直观可以体会的理念,就不是这儿的目的了。不过要达成这里的意图,倒也并不需要什么高度完美的艺术品,只要人们能看出画的是什么东西就足够了;因为一经看清了是什么,目的也就达到了。此后[人们的]精神也就被引到完全不同的另一种表象,引到抽象概念上去了。而这就是原来预定的目标。所以寓意的造型艺术并不是别的什么,实际上就是象形文字。这些象形文字,在另一面作为直观的表出仍可保有其艺术价值,不过这价值不是从寓意而是从别的方面得以保有的。至于戈内滇奥的《夜》,汉尼巴尔·卡拉齐的《荣誉的天使》,普桑的《时间之神》都是很美的画,这些作品虽是寓意画,还是要完全分开来看。作为寓意画;这些作品所完成的不过是一种传奇的铭刻罢了,或更不如。这里又使我们回忆到前面在一张画的实物意义和名称意义之间所作的区别。名称意义就正是这里所寓意的东西,例如《荣誉之神》;而实物意义就是真正画出来的东西,这里是一个长着翅膀的美少年,有秀丽的孩子们围着他飞。这就表出了一个理念。但是这实物意义只在人们忘记了名称意义,忘记它的寓意时才起作用。如果人们一想到这指及意义,他就离开了直观,[人们的]精神又被一个抽象的概念占据了。可是从理念转移到概念总是一种堕落。是的,那名称意义,寓意的企图,每每有损于实物意义,有损于直观的真实性;例如戈内琪奥的《夜》[那幅画]里违反自然的照明,虽然处理得那么美,仍是从寓意的主题出发的,实际上并不可能。所以如果一幅寓意画也有艺术价值,那么这价值和这幅画在寓意上所成就的是全不相干的,是独立的。这样一种艺术作品是同时为两个目的服务的,即为概念的表现和理念的表出服务。只有后者能够是艺术的目的;另外那一目的是一个外来的目的。使一幅画同时又作为象形文字而有文字的功用,是为那些从不能被艺术的真正本质所欲动的人们取乐而发明出来的玩意儿。这就等于说一件艺术品同时又要是一件有用的工具,这也是为两种目的服务,例如一座雕像同时又是烛台或同时又是雅典寺院中楣梁的承柱;又譬如一个浅浮雕同时又是阿希尔的盾牌。真正的艺术爱好者既不会赞许前者,也不会赞许后者。一幅寓意画因为也恰好能以这种寓意的性质在[人的]心灵上产生生动的印象,不过在相同的情况下,任何文字也能产生同样的效果。举例说:如果一个人的好名之心不但由来已久而且根深蒂固,以致于认荣誉为他的主权所应有,不过是因为他还没拿出所有权证件来,所以一直还没让他来领取;那么要是这样一个人走到了头戴桂花冠的《荣誉之神》的面前,他的全部心灵就会因此激动起来,就会鼓励他把精力投入行动。不过,如果他突然看见墙壁上清楚地[写着]“荣誉”两个大字,那也会发生同样的情况。又譬如一个人公布了一个真理,这个真理或是作为格言而在实际生活上,或是作为见解而在科学上都有其重要性,可是并没有人相信他;这时如果有一幅寓意画,画出时间在揭开帷幕而让[人们] 看到赤裸裸的[代表] 真理[的形象],那么,这幅画就会对他起强烈的作用;但是“时间揭露真理”这个标语也会起同样的作用。原来在这儿起作用的经常只是抽象317的思想,不是直观看到的东西。

    如果根据上面所说,造型艺术中的寓意既是一种错误的,为艺术莫须有的目的服务的努力;那么,如果等而下之,以至生硬的、勉强的附会在表现的手法上竟堕落为荒唐可笑的东西,那就完全不可容忍了。这类例子很多,如:乌龟意味着妇女的深居简出;[报复女神]湿美西斯看她胸前衣襟的内面意味着她能看透一切隐情,贝洛瑞解释汉尼巴尔·卡拉齐所以给[代表]酒色之乐[的形象]穿上黄色衣服,是因为这个画家要以此影射这形象的欢愉即将凋谢而变成和枯草一样的黄色。——如果在所表出的东西和以此来暗示的概念之间,甚至连以这一概念之下的概括或观念联合为基础的联系都没有了,而只是符号和符号所暗示的东西,两者完全按习惯,由于武断的,偶然促成的规定而连在一块,那么我就把这种寓意画的变种叫作象征。于是,玫瑰花便是缄默的象征,月桂是荣誉的象征。棕榈是胜利的象征,贝壳是香客朝圣的象征,十字架是基督教的象征。属于这一类象征的还有直接用单纯色彩来示意的,如黄色表示诈伪,蓝色表示忠贞。这类象征在生活上可能经常有些用处,但在艺术上说,它们的价值是不相干的。它们完全只能看作象形文字,甚至可以看作中国的字体,而事实上也不过和贵族的家徽,和标志客栈的灌木丛,标志寝殿侍臣的钥匙,标志登山者的刀鞘同为一类[的货色]。——最后,如果是某一历史的或神话中的人物,或一个人格化了的概念,可从一个一劳永逸而确定了的象征辨认出来,那么这些象征就应称之为标志。属于这一类的有四福音书编纂人的动物,智慧女神闵涅华的枭,巴黎斯的苹果,希望之锚等等。不过人们所理解的标志大抵是指那些用格言说明的,寓意使道德真理形象化的素描,这些东西j.卡美拉瑞乌斯,阿尔几阿都斯和别的一些人都有大量的收藏。这些东西构成过渡到文艺上的寓言的桥梁,这种寓言到后面再谈。——希腊雕刻倾向直观,所以是美感的,印度雕刻倾向概念,所以只是象征的。

    关于寓意画的这一论断是以我们前此对于艺术的内在本质的考察为基础的,并且是和这考察密切相联的。这和文克尔曼的看法恰好相反。他和我们不一样,我们认为这种寓意是和艺术目的完全不相涉,并且是每每要干扰艺术目的的东西;他则到处为寓意作辩护,甚至于(《全集》第一卷第55页起)确定艺术的最高目的就在于“表达普遍概念和非感性的事物”。究竟是赞同哪一种意见,则听从各人自便。不过,由于文克尔曼在美的形而上学中的这些以及类似的意见,我倒明白了一个真理,即是说人们尽管能够对于艺术美有最大的感受力和最正确的判断,然而不能为美和艺术的本质提出抽象的、真正哲学上的解释;正和人们尽管高尚而有美德,尽管他有敏感的良心,能够在个别情况之下作出天秤上不差毫厘的决断,然而并不就能够以哲理根究行为的伦理意义而加以抽象的说明,如出一辙。

    寓言对于文艺的关系完全不同于它对造型艺术的关系。就后者说,寓言固然是不适合的;但就前者说,却是很可容许的,并且恰到好处。因为在造型艺术中,寓言引导[人们]离开画出的,直观看到的东西,离开一切艺术的真正对象而转向抽象的思想;在文艺中这个关系就倒转来了。在文艺中直接用字眼提出来的是概念,第二步的目的才是从概念过渡到直观的东西,读者[自己] 的想象力必须承担表出这直观事物[的任务]。如果在造型艺术中是从直接表出的转到别的什么,那么这别的什么必然就是一个概念,因为这里只有抽象的东西不能直接提出。但是一个概念决不319可以是艺术品的来源,传达一个概念也决不可以是艺术品的目的。与此相反,在文艺中概念就是材料,就是直接提出的东西。所以人们也很可以离开概念以便唤起与此完全有别的直观事物,而[文艺的]目的就在这直观事物中达到了。在一篇诗文的结构中,可能有些概念或抽象的思想是不可少的,尽管它们自身直接地全无直观看到的可能性。这就要用一个概括在该概念之下的例子使它可以直观地看到。在任何一转义语中就有这种情况,在任何隐喻、直喻、比兴和寓言中也有这种情况,而所有这些东西都只能以叙事的长短详略来区别。因此,在语文艺术中,比喻和寓言都有很中肯的效果。塞万提斯为了表示睡眠能使我们脱离一切精神的和肉体的痛苦,他写睡眠真够美:“它是一件大衣,把整个的人掩盖起来”。克莱斯特又是如何优美地以比喻的方式把哲学家和科学家启发人类这个事实表出于诗句中:

    “这些人啊!

    他们夜间的灯,

    照明了整个地球。”

    荷马写那个带来灾害的阿德是多么明显和形象化,他说:“她有着纤弱的两足,因为她不踏在坚硬的地面上,而只是在人们的头上盘旋”(《土劳埃远征记》,xix篇91行)。门涅尼乌斯·阿格瑞巴所说胃与肢体的寓言对于迁出罗马的平民也发生了很大的影响。柏拉图在《共和国》第七篇的开头用前已提到过的洞喻也很优美他说出了一个极为抽象的哲学主张。还有关于[阴间女神]帕塞风涅的故事说她在阴间尝了一颗石榴就不得不留在阴间了,也应看作有深远哲学意味的寓言。歌德在《多愁善感者的胜利》中把这故事作为插曲编在剧本中,由于他这种超乎一切赞美的处理,这寓言的意味就格外明白了。我所知道的有三部长篇寓言作品:一篇显明的,作者自认作为寓言写的作品是巴尔达萨·格拉思绝妙无比的《克瑞蒂巩》。这是由互相联系的,极有意味的寓言交织成为巨大丰富的篇章而构成的,寓言在这里的用处却成为道德真理的轻松外农了。作者正是以此赋予了这些真理以最大的直观意味,他那种发明[故事]的丰富才能也使我们惊异。另外两篇比较含蓄的则是《唐·吉河德》和《小人国》。前一篇的寓意是说任何人的一生,[如果]他不同于一般人,不只是照顾他本人的福利而是追求一个客观的、理想的、支配着他的思想和欲求的目的,那么,他在这世界上自然就要显得有些离奇古怪了。在《小人国》,人们只要把一切物质的、肉体的东西看作精神的,就能领会这位“善于讽刺的淘气鬼”——汉姆勒特会要这样称呼他——所指的是什么。——就文艺中的寓言说,直接提出来的总是概念。如果要用一个形象使这概念可以直观看到,有时可以是用画好的形象来表示或帮助[理解],那么,这幅画并不因此就可看作造型艺术的作品,而只能看作示意的象形文字,也不能具有绘画的价值,而是只有文艺的价值。属于这种象征画的有出自拉伐特尔手笔的一幅美丽而含有寓言意味的,书本中补空的小画。这副花饰对于一个拥护真理的崇高战士都必然有鼓舞的作用,[画着的]是擎着一盏灯的手被黄蜂螫了,另外灯火上焚烧着一些蚊蚋,下面是几行格言诗:

    “哪管蚊纳把翅膀都烧尽,

    哪管它们的小脑袋炸开血浆迸流,

    光明依旧是光明。

    即令可恼的蜂虿毒螫我,

    我哪能抛弃光明。”

    属于这一类型的东西还有某人墓碑上的铭刻,碑上刻着吹灭了的,余烬蒸发着的烛花及旁注:

    “烛烬既灭,事实大白,

    牛脂蜜蜡,判然有别。”

    最后有一张古德国家族世系图也是这类货色。谱上有这源远流长的世家最后一代单传的子孙为了表示他终身彻底禁欲不近女色,从而断绝后嗣的决心,把他自己画在一棵枝繁叶茂的树根上,用一把剪刀将自己上面的树干剪掉。属于这类画的,凡是上面说过的,一般称为标记的象征画都是,[不过]这些画人们也可称之为含有显明教训意味的图画寓言。——这类寓言总是文艺方面的,不能算作绘画方面的东西,因此这也就是寓言可以存在的理由。并且这里的画面工夫总是次要的,要求也不过是把事物表达到可认识的程度而已。如果在直观表出的形象和用此以影射的抽象事物之间,除了任意规定的关联外并无其他关联,那么,在造型艺术也和在文艺一样,寓言就变为象征了。因为一切象征实际上都是基于约定俗成的东西,所以象征在其他缺点外还有一个缺点,那就是象征的意义将随日久年远而被淡忘,最后完全湮没。如果人们不是事先已经知道,谁能猜得出为什么鱼是基督教的象征呢?[能猜得出的]除非是一个香波亮,因为这类东西已完全是一种语音学上的象形文字。因此,[使徒] 约翰的启示作为文学上的寓言,直到现在仍和那些刻画着《伟大的太阳神米特拉》的浮雕一样,人们[至今]还在寻求正确的解释呢。

    第三篇 世界作为表象再论 §51

    如果我们现在顺着我们前此对于艺术的一般考察而从造型艺术转到文艺方面来,那么,我们就不会怀疑文艺的宗旨也是在于揭示理念——意志客体化的各级别——,并且是以诗人心灵用以把握理念的明确性和生动性把它们传达于读者。理念本质上是直观的。所以,在文艺中直接由文字传达的既然只是些抽象概念,那么,[文艺的]宗旨显然还是让读者在这些概念的代替物中直观322地看到生活的理念,而这是只有借助于读者自己的想象力才可能实现的。但是为了符合文艺的目的而推动想象力,就必须这样来组合那些构成诗词歌赋以及枯燥散文的直接材料的抽象概念,即是说必须使这些概念的含义圈如此交错,以致没有一个概念还能够留在它抽象的一般性中,而是一种直观的代替物代之而出现于想象之前,然后诗人继续一再用文字按他自己的意图来规定这代替物。化学家把[两种]清澈透明的液体混合起来,就可从而获得固体的沉淀:与此相同,诗人也会以他组合概念的方式使具体的东西、个体的东西、直观的表象,好比是在概念的抽象而透明的一般性中沉淀下来。这是因为理念只能直观地被认识,而认识理念又是一切艺术的目的。[诗人]在文艺中的本领和化学[家在试验室]中的本领一样,都能够使人们每次恰好获得他所预期的那种沉淀。诗文里面的许多修饰语就是为这目的服务的,每一概念的一般性都由这些修饰语缩小了范围,一缩再缩,直到直观的明确性。荷马几乎是在每一个名词[的或前或后]都要加上一个定语,这定语的概念和名词概念的含义圈交叉就大大的缩小了这含义圈;这样,名词概念就更接近直观了;例如:

    “诚然是太阳神光芒四射的余晖落入海洋,

    是黑夜逐渐笼罩在滋生万物的大地上。”

    又如:

    “从蔚蓝色的天空吹来一阵微风,

    山桃静立着还有月桂高耸,”

    ——少数几个概念就使南国气候迷人的全部风光沉淀于想象之前了。

    节奏和韵律是文艺所有的特殊辅助工具。节奏和韵律何以有难以相信的强烈效果,我不知道有其他什么解释,除非是说我们的各种表象能力基本上是束缚在时间上的,因而具有一种特点,赖此特点我们在内心里追从每一按规律而重现的声音,并且好象是有了共鸣似的。于是节奏和韵律,一面由于我们更乐于倾听诗词的朗诵,就成为吸引我们注意力的手段了,一面又使我们对于[人们]朗诵的东西,在未作任何判断之前,就产生一种盲目的共吗,由于这种共鸣,人们所朗诵的东西又获得一种加强了的,不依赖于一切理由的说服力。

    由于文艺用以传达理念的材料的普遍性,亦即概念的普遍性,文艺领域的范围就很广阔了。整个自然界,一切级别上的理念都可以由文艺表出,文艺按那待传达的理念有什么样的要求,时而以描写的方法,时而以叙述的方法,时而又直接以戏剧表演来处理。不过,如果是在表出意志客体性的较低级别时,因为不具认识的自然以及单纯动物性的自然都可以在掌握得很好的某一瞬间几乎就完全揭露了它们的本质,那么造型艺术一般就要比文艺强。人则与此相反,人表现他自己不仅是由于单纯的体态和面部表情,而且是由于一连串的行为以及和行为相随的思想和感情。就这一点来说,人是文艺的主要题材,在这方面没有别的艺术能和文艺并驾齐驱,因为文艺有写出演变的可能,而造型艺术却没有这种可能。

    那么,显示意志的客体性到了最高级别的这一理念,在人的挣扎和行为环环相扣的系列中表出人,这就是文艺的重大课题。——固然还有经验,还有历史也教导我们认识人,不过那多半是教我们认识人们而不是教我们认识人。即是说经验和历史偏重于提供人们互相对待上的一些事实的纪录,而很少让我们深刻的看到人的内在本质。同时,我们也不能说经验和历史就不能谈人的内在本质,不过凡是一旦在历史或在我们个人自己的经验中也能使我们看到人自己的本质,那么我们理解经验和历史家理解历史就已经是拿艺术眼光,诗人印眼光[看问题了];即是说我们和历史家已是按理念而不是按现象,已是按内在本质而不是按[外在]关系来理解[各自的对象]了。个人自己的经验是理解文艺和历史不可缺少的条件,因为经验就象是这两者的语言相同可以共同使用的一本字典似的。不过历史之于文艺就好比肖像画之于故事画,前者提供个别特殊中的真,后者提供一般普遍中的真,前者具有现象的真实性,并能从现象中证明真实性的来历,后者则具有理念的真实性,而理念的真实性是在任何个别的现象中找不到,然而又在一切现象中显出来的。诗人要通过[自己的]选择和意图来表出紧要情况中的紧要人物,历史家却只看这两者是如何来便如何秉笔直书。是的,他不得按情节和人物内在的、道地的、表示理念的意义,而只能按外在的、表面的、相对的、只在关节上、后果上重要的意义来看待和选择情节与人物。他不得对任何自在和自为的事物按其本质的特征和表现来观察,而是对一切都必须按关系,必须在连锁中,看对于随后发生的事有什么影响,特别是对于他本人当代的影响来观察。所以他不会忽略一个国王的行为,尽管这行为并无多大意义,甚至行为本身庸碌不堪;那是因为这行为有后果和影响。相反,个别人物本身极有意义的行为,或是极杰出的个人,如果他们没有后果,没有影响,就不会被历史家提到。原来历史家的考察是按根据律进行的,他抓住现象,而现象的形式就是这根据律。诗人却在一切关系之外,在一切时间之上来把握理念,人的本质,自在之物在其最高级别上恰如其分的客体性。虽然说,即令是在历史家所必须采用的考察方式,也决不是现象的内在本质,现象所意味着的东西,所有那些外壳的内核就完全丧失了,至少是谁要找寻它,也还能把它认出来,找出来;然而那不是在关系上而是在其自身上重要的东西,理念的真正开展,在文学里就要比在历史里正确得多,清楚得多。所以尽管听起来是如此矛盾,[我们]应承认在诗里比在历史里有着更多真正的、道地的内在真实性,这是因为历史家必须严格地按生活来追述个别情节,看这情节在时间上、在原因和结果多方交错的锁链中是如何发展的,可是他不可能占有这里必要的一切材料,不可能看到了一切,调查了一切。他所描写的人物或情节的本来面目随时都在躲避他,或是他不知不觉地以假乱真,而这种情况又是如此屡见不鲜,以致我认为可以断定在任何历史中假的[总是]多于真的。诗人则与此相反,他从某一特定的、正待表出的方面把握了人的理念,在这理念中对于他是客观化了的东西就是他本人自己的本质。他的认识,如上面论雕刻时所分析过的,是半先验的;在他心目中的典型是稳定的、明确的、通明透亮的,不可能离开他。因此诗人在他那有如明镜的精神中使我们纯洁地、明晰地看到理念,而他的描写,直至个别的细节,都和生活本身一样的真实。

    所以古代那些伟大的历史家在个别场合,当他们无法找得资料326时,例如在他们那些英雄们如何谈话的场合,也就[变成了]诗人;是的,他们处理材料的整个方式也就近乎史诗了。可是这[样做]正就是赋予他们的叙述以统一性,使这些叙述保有内在的真实性;即令是在这些叙述无法达到外在的真实性时,甚至是出于虚构时,也是如此。我们在前面既已以历史比肖像画,以文学比故事画,两两相对照;那么,我们看到文克尔曼所说肖像应该是个体理想的典型这句格言也是古历史家所遵守的,因为他们描写个体是使人的理念在个体中显出的那一方面突出。现代的新历史家则相反,除少数例外,他们大抵只是提供“垃圾箱和杂物存放间,最多[也不过]是[记载]一个重要的政治活动”。——那么谁想要按人的内在本质——在一切现象中,发展中相同的本质——按人的理型来认识人,则伟大的、不朽的诗人们的作品就会让他看到一幅图画,比从来历史家所能提供的还要真实得多,明晰得多;因为最优秀的历史家作为诗人总还远不是第一流的,何况他们也没有写作上的自由。就这一点说,人们还可用下面这个比喻说明两者的关系。那单纯的、专门的、仅仅是按资料而工作的历史家就好比一个人没有任何数学知识,只是用量长度短的方法来研究他偶然发现的图形之间的关系,因而他从经验上得到的数据也必然会有制图中的一切错误。与此相反,诗人则好比另外一位数学家,他是先验地在制图中,在纯粹的直观中构成这些关系;并且他不是看画出的图形中实际上有什么关系,而是看这些关系在理念中是如何的,他就如何确定这些关系;至于制图只是使理念形象化罢了。所以席勒说:

    “从来在任何地方也未发生过的,

    这是唯一决不衰老的东西。”

    就认识人的本质说,我甚至不得不承认传记,尤其是自传,比正规的历史更有价值,至少是以习惯的方式写成的历史比不上的。原来一方面是传记,自传等和历史相比,资料要正确些,也可搜集得更完整些;一方面是在正规的历史中,与其说是一些人,不如说是民族,是军队在起作用;至于个别的人,他们虽然也登场,可是都在老远的距离之外,在那么多亲信和大群扈从的包围之中,还要加上僵硬的礼眼或使人不能动作自如的重铠;要透过这一切而看出人的活动,就真太不容易了。与此相反,个人在一个小圈子里的身世要是写得很忠实,则[可]使我们看到一些人的形形色色的行为方式,看到个别人的卓越,美德,甚至神圣,看到大多数人颠倒是非的错误,卑微可怜,鬼蜮伎俩;看到有些人的肆无忌惮[,无所不为]。在写这样的个人身世时,单是就这里考察的论点说,亦即就显现之物的内在意义说,根本就不问发起行为的那些对象,相对地来看,是琐细的小事或重要的大事,是庄稼人的庭院或是国王的领土:因为所有这些东西自身并无意义,其所以有意义,只是由于意志是被这些东酋所激动的,也只在这个范围内有意义。动机只有由于它对意志的关系才有意义;其他关系、动机作为一事物对另一如此之类的事物而有的关系则根本不在考虑之列。一个直径一英寸的圆和一个直径四千万英里的圆有着完全同样的几何特性;与此相同,一个村庄的事迹和历史同一个国家的事迹和历史在本质上也是同样的,或从村史或从国史,人们都一样能够研究而且认识人类。还有人们认为各种自传都充满着虚伪和粉饰,这也是不对的。倒是应该说在自传里撒谎(虽然随处有可能)比在任何地方都要困难。在当面交谈中最容易伪装;听起来虽是如此矛盾,可是在书信中伪装究竟又要困难些。这是因为人在这时是独个儿与自己为伍,他是在向内看自己而不是向外看,而别人离开[我]老远的[情况]也很难挪到近处来,因而在眼前就没有衡量这信对别人发生什么印象的尺度了;而这位别人却相反,他悠然自在,在写信人无法知道的心情中浏览这封信,在不同的时间又可重读几遍,这就容易发现[写信人]隐藏了的意图。最容易认识到一个作家的为人怎样也是在他的作品里,因为[上面讲的]所有那些条件在这里所起的作用还要显著,还要持久些。并且在自传里伪装既如此困难,所以也许没有一篇自传,整个的说来,不是比任何其他的史书更要真实些。把自己生平写记下来的人是从全面,从大处来看他一生的,个别事态变小了,近在眼前的推远了,辽远的又靠近了,他的顾虑缩小了。他是自己坐下来向自己忏悔,并且是自觉自愿来这样作的。在这儿,撒谎的心情不那么容易抓住他。原来任何人心里都有一种热爱真理的倾向,这是每次撒谎时必须事先克服的,然而在这里这个倾向恰好已进入了非常坚固的阵地。传记和民族史之间的关系可以从下面这个比喻看得更清楚。历史使我们看到人类,好比高山上的远景使我们看到自然一样:我们一眼就看到了很多东西,广阔的平原,庞然的大物,但是什么也不明晰,也无法按其整个的真正本质来认识。与此相反,个别人生平的记事使我们看到人类,就好比我们邀游于大自然的树木、花草、岩石、流水之间而认识大自然一样。可是如同一个艺术家在风景画里使我们通过他的眼睛来看大自然从而使我们更容易认识自然的理念,更容易获得这种认识不可少的、纯粹的、无意志的认识状况一样;文艺在表出我们在历史和传记中能找到的理念时也有许多胜过历史和传记的地方;因为,在文艺里也是天才把那面使事物明朗化的镜子放在我们面前,在这面镜子里给我们迎面映出的是一切本质的和有意义的东西都齐全了,都摆在最明亮的光线之下;至于那些偶然的、不相干的东西则都已剔除干净了。

    表出人的理念,这是诗人的职责。不过他有两种方式来尽他的职责。一种方式是被描写的人同时也就是进行描写的人。在抒情诗里,在正规的歌咏诗里就是这样。在这儿、赋诗者只是生动地观察、描写他自己的情况。这时,由于题材[的关系],所以这种诗体少不了一定的主观性。——再一种方式是待描写的完全不同于进行描写的人,譬如在其他诗体中就是这样。这时,进行描写的人是或多或少地隐藏在被写出的东西之后的,最后则完全看不见了。在传奇的民歌中,由于整个的色调和态度,作者还写出自己的一些情况,所以虽比歇咏体客观得多,却还有些主观的成份。在田园诗里主观成分就少得多了,在长篇小说里还要少些,在正规的史诗里几乎消失殆尽,而在戏剧里则连最后一点主观的痕迹也没有了。戏剧是最客观的,并且在不止一个观点上,也是最完美、最困难的一种体裁。抒情诗正因为主观成分最重,所以是最容易的一种诗体。并且,在别的场合艺术本来只是少数真正天才的事;然而在这里,一个人尽管总的说来并不很杰出,只要他事实上由于外来的强烈激动而有一种热情提高了他的心力,他也能写出一首优美的歌咏诗;因为写这种诗,只要在激动的那一瞬间能够对自己的情况有一种生动的直观[就行了]。证明这一点的有许多歌咏诗,并且至今还不知是何许人的一些作品,此外还有德国民歌,——《奇妙的角声》中搜集了不少好诗——,还有各种语言无数的情歌以及其他民歌也都证明了这一点。抓住一瞬间的心境而以歌词体现这心境就是这种诗体的全部任务。然而真正诗人的抒情诗还是反映了整个人类的内在[部分],并且亿万过去的,现在的,未来的人们在由于永远重现而相同的境遇中曾遇到的,将感到的一切也在这些抒情诗中获得了相应的表示。因为那些境遇由于经常重现,和人类本身一样也是永存的,并且总是唤起同一情感,所以真正诗人的抒情作品能够经几千年而仍旧正确有效,仍有新鲜的意味。诗人究竟也是一般的人,一切,凡是曾经激动过人心的东西,凡是人性在任何一种情况中发泄出来的东西,凡是呆在人的心胸中某个角落的东西,在那儿孕育着的东西,都是诗人的主题和材料,此外还有其余的整个大自然也是诗人的题材。所以诗人既能歌颂[感性的]享乐,也能歌颂神秘[的境界];可以是安纳克雷翁,也可以是安琪路斯·席勒治乌斯;可以写悲剧,同样也可以写喜剧,可以表出崇高的[情操],也可以表出卑鄙的胸襟,——一概以[当时的]兴致和心境为转移。因此任何人也不能规定诗人,不能说他应该是慷慨的、崇高的,应该是道德的、虔诚的、基督教的,应该是这是那;更不可责备他是这而不是那。

    他是人类的一面镜子,使人类意识到自己的感受和营谋。

    如果我们现在更仔细点来考察真正歌咏体的本质,而在考察时[只]拿一些优秀的,同时也是体裁纯粹的模范作品,而不是以近于别的诗体,近于传奇的民歌、哀歌、赞美诗、警句诗等等的作品作例子;那么我们就会发现最狭义的歌咏体特有的本质就是下面[这几点]:——充满歌唱者的意识的是意志的主体,亦即他本人的欲求,并且每每是作为解放了的、满足了的欲求[悲伤],不过总是作为感动,作为激情,作为波动的心境。然而在此以外而叉与此同时,歌唱者由于看到周围的自然景物又意识到自己是无意志的、纯粹的“认识”的主体。于是,这个主体不可动摇的,无限愉快的安宁和还是被约束的,如饥如渴的迫切欲求就成为[鲜明的]对照了。感觉到这种对照,这种[静躁]的交替,才真正是整篇歌咏诗所表示的东西,也根本就是构成抒情状态的东西。在这种状态中好比是纯粹认识向我们走过来,要把我们从欲求及其迫促中解脱出来;我们跟着[纯粹认识]走。可是又走不上几步,只在刹那间,欲求对于我们个人目的的怀念又重新夺走了我们宁静的观赏。但是紧接着又有下一个优美的环境,[因为]我们在这环境中又自然而然恢复了无意志的纯粹认识,所以又把我们的欲求骗走了。因此,在歌咏诗和抒情状态中,欲求(对个人目的的兴趣)和对[不期而]自来的环境的纯粹观赏互相混合,至为巧妙。人们想寻求、也想象过两者间的关系。主观的心境,意志的感受把自己的色彩反映在直观看到的环境上,后者对于前者亦复如是。[这就是两者间的关系。]真正的歌咏诗就是刻画这一整个如此混合、如此界划的心灵状态。——为了使这一抽象的分析,对于一个离开任何抽象[作用]老远的心灵状态所作的抽象分析,也可以用例子来说明,人们可以从歌德那些不朽的歌咏诗中随便拿一首为例。而特别明显地符合这一目的的我想只推荐几首[就够了],这几首是:《牧羊人的悲愤》,《欢迎和惜别》,《咏月》,《在湖上》,《秋日感怀》。此外在《奇妙的角声》中还有真正歌咏诗的一些好例子,特别是以“啊,布雷门,现在我必需离开你”这一句开始的那一首。——作为一首诙谐的、对于抒情气质极为中肯的讽刺诗,我认为佛斯的一首歌咏诗值得[一谈];他在该诗中描写一个喝醉了的狱卒从钟楼上摔下来,正在下跌之际他说了一句和那种情况极不吻合,不相干的闲活,因而要算是由无意志的认识说出来的一句事不干己的话,他说:“钟楼上的时针正指着十一点半呢。”——谁和我对于抒情的心境有着同样的见解,他也会承认这种心境实际上就是直观地、诗意地认识在我那篇论文《根据律》里所确立的,也是本书已提到过的那一命题:这命题说认识的主体和欲求的主体两者的同一性可以称为最高意义的奇迹;所以歌咏诗的效果最后还是基于这一命题的真实性。在人们一生的过程中,这两种主体——通俗他说也就是脑和心——总是愈离愈远,人们总是愈益把他的主观感受和他的客观认识拆开。在幼童,两者还是完全浑融的,他不大知道把自己和环境区分开来,他和环境是沆瀣一气的。对于少年人有影响的是一切感知,首先是感觉和情调,感知又和这些混合;如拜仑就很优美的写到这一点:

    “我不是在自己[的小我]中生活,

    我已成为周围事物的部分;

    对于我

    一切高山[也]是一个感情。”

    正是因此,所以少年人是那么纠缠在事物直观的外表上;正是因此,所以少年人仅仅只适于作抒情诗,并且要到成年人才适于写戏剧。至于老年人,最多只能想象他们是史诗的作家,如奥西安,荷马;因为讲故事适合老年人的性格。

    在较客观的文学体裁中,尤其是在长篇小说、史诗和戏剧中,[文艺的]目的,亦即显示人的理念,主要是用两种办法来达到的:即正确而深刻地写出有意义的人物性格和想出一些有意义的情况,使这些人物性格得以发展于其中。化学家的职责不仅在于把单纯元素和它们的主要化合物干脆地、真实地展示出来,而是也要把这些元素和化合物置于某些反应剂的影响之下,[因为]在这种影响之下,它们的特性就更明晰可见了。和化学家相同,诗人的职责也不仅在于象自然本身一样那么逼真而忠实地给我们展出有意义的人物性格;而在于他必须为了我们能认识这些性格,把那些人物置于特定的情况之中,使他们的特性能够在这些情境中充分发挥,能够明晰地,在鲜明的轮廓中表现出来。因此,这些情境就叫做关键性的情境。在实际生活和历史中,只是偶然很稀少的出现这种性质的情境,即令有这种情境,也是孤立的,给大量无关重要的情境所掩盖而湮没了。情境是否有着直贯全局的关键性应该是小说、史诗、戏剧和实际生活之间的区别,这和有关人物的选择,配搭有着同样充分的区别作用。但情境和人物两者最严格的真实性是它们发生效果不可少的条件,人物性格缺少统一性,人物性格的自相矛盾,或是性格根本和人的本质矛盾,以及情节上的不可能,或近乎不可能的不近情理,即令只是在一些次要的问题上,都会在文艺中引起不快;完全和绘画中画糟了的形象,弄错了的透视画法,配得不对的光线使人不快一样。这是因为我们要求的,不论是诗是画,都是生活的、人类的、世界的忠实反映,只是由于[艺术的]表现[手法]使之明晰、由于结构配搭使之有意义罢了。一切艺术的目的既然只有一个,那就是理念的表出;不同艺术间的基本区别既然只在于要表出的理念是意志客体化的哪一级别,而表出时所用的材料又按这些级别而被规定;那么,尽管是距离最远的两种艺术也可用比较的办法使彼此得到说明。例如说在宁静的池沼中或平流的江河中观水就不足以完全把握那些把自己显示于水中的理念;而是只有水在各种情况和障碍之下出现的时候,障碍对水发生作用,促使水显露其一切特性的时候,然后那些理念才会完全显出来。因此,在银河下泻,汹涌澎湃,自沫翻腾,而又四溅高飞时,或是水在下泻而散为碎珠时,最后或是为人工所迫而喷出如线条时,我们就觉得美。水在不同情况下有不同的表现,但总是忠实地保有它的特性。或是向上喷出,或是一平如镜地静止着,对于水都同样地合乎自然;只看是哪种情况出现、这样做或那样做,水,它无所可否。于是,园艺工程师在液体材料上所施为的,建筑师则施之于固体材料;而这也就正是史诗和戏剧作家施之于人的理念的。使在每种艺术的对象中把自己透露出来的理念,在每一级别上把自己客体化的意志展开和明显化是一切艺术的共同目的。人的生活最常见的是实际中的生活,正好比最常见的水是池沼河流中的水一样。但是在史诗、长篇小说和悲剧中,却要把选择好了的人物置于这样的一些情况之中,即是说在这些情况中人物所有一切特性都能施展出来,人类心灵的深处都能揭露出来而在非常的、充满意义的情节中变为看得见[的东西]。文艺就是这样使人的理念客体化了,而理念的特点就是偏爱在最个别的人物中表现它自己。

    无论是从效果巨大的方面看,或是从写作的困难这方面看,悲剧都要算作文艺的最高峰,人们因此也公认是这样。就我们这一考察的整个体系说,极为重要而应该注意的是:文艺上这种最高成就以表出人生可怕的一面为目的,是在我们面前演出人类难以形容的痛苦、悲伤,演出邪恶的胜利,嘲笑着人的偶然性的统治,演出正直、无辜的人们不可挽救的失陷;[而这一切之所以重要]是因为此中有重要的暗示在,即暗示着宇宙和人生的本来性质。这是意志和它自己的矛盾斗争。在这里,这种斗争在意志的客体性的最高级别上发展到了顶点的时候,是以可怕的姿态出现的。这种矛盾可以在人类所受的痛苦上看得出来。这痛苦,一部分是由偶然和错误带来的。偶然和错误[在这里]是作为世界的统治者出现的。并且,由于近乎有心[为虐]的恶作剧已作为命运[之神]而人格化了。一部分是由于人类斗争是从自己里面产生的,因为不同个体的意向是互相交叉的,而多数人又是心肠不好和错误百出的。在所有这些人们中活着的和显现着的是一个同一的意志,但是这意志的各个现象却自相斗争,自相屠杀。意志在某一个体中出现可以顽强些,在另一个体中又可以薄弱些。在薄弱时是认识之光在较大程度上使意志屈从于思考而温和些,在顽强时则这程度又较小一些;直至这一认识在个别人,由于痛苦而纯化了,提高了,最后达到这样一点,在这一点上现象或“摩耶之幕”不再蒙蔽这认识了,现象的形式——个体化原理——被这认识看穿了,于是基于这原理的自私心也就随之而消逝了。这样一来,前此那么强有力的动机就失去了它的威力,代之而起的是对于这世界的本质有了完整的认识,这个作为意志的清静剂而起作用的认识就带来了清心寡欲,并且还不仅是带来了生命的放弃,直至带来了整个生命意志的放弃。所以我们在悲剧里看到那些最高尚的[人物]或是在漫长的斗争和痛苦之后,最后永远放弃了他们前此热烈追求的目的,永远放弃了人生一切的享乐;或是自愿的,乐于为之而放弃这一切。这样作的[悲剧人物]有加尔德隆[剧本中]刚直的王子;有《浮士德》中的玛格利特;有汉姆勒特——他的[挚友]霍内觉自愿追随他,他却教霍内觉留在这浊世痛苦地活下去,以便澄清他生平的往事,净化他的形象——;还有奥尔良的贞女,梅新纳的新娘,他们都是经过苦难的净化而死的,即是说他们的生命意志已消逝于先,然后死的。在伏尔泰的《摩罕默德》中,最后的结语竟把这一点形诸文字;临终时的帕尔密蕾对摩罕默德高叫道:“这是暴君的世界。你活下去吧!”——另外一面有人还要求所谓文艺中的正义。这种要求是由于完全认错了悲剧的本质,也是认错了世界的本质而来的。在沙缨尔·约翰逊博士对莎士比亚某些剧本的评论中竟出现了这种颟顶的、冒昧的要求,他颇天真地埋怨[剧本里]根本忽略了这一要求。不错,事实上是没有这种要求,请问那些奥菲利亚,那些德斯德孟娜,那些柯德利亚又有什么罪呢?——可是只有庸碌的、乐观的、新教徒唯理主义的、或本来是犹太教的世界观才会要求什么文艺中的正义而在这要求的满足中求得自己的满足。悲剧的真正意义是一种深刻的认识,认识到[悲剧]主角所赎的不是他个人特有的罪,而是原罪,亦即生存本身之罪。加尔德隆率直的说:

    “人的最大罪恶

    就是:他诞生了。”

    和悲剧的处理手法更密切有关的,我只想容许自己再指出一点。写出一种巨大不幸是悲剧里唯一基本的东西。诗人用以导致不幸的许多不同途径可以包括在三个类型的概念之下。造成巨大不幸的原因可以是某一剧中人异乎寻常的,发挥尽致的恶毒,这时,这角色就是肇祸人。这一类的例子是理查三世,《奥赛罗》中的雅葛,《威尼斯商人》中的歇洛克,佛朗兹·穆尔,欧立彼德斯的菲德雷,《安迪贡》中的克内翁以及其他等等。造成不幸的还可以是盲目的命运,也即是偶然和错误。属于这一类的,索佛克利斯的《伊第普斯王》是一个真正的典型,还有特拉金的妇女们也是这一类。大多数的古典悲剧根本就属于这一类,而近代悲剧中的例子则有《罗密欧与朱莉叶》,伏尔泰的《坦克列德》,《梅新纳的新娘》。最后,不幸也可以仅仅是由于剧中人彼此的地位不同。由于他们的关系造成的;这就无需乎[布置]可怕的错误或闻所未闻的意外事故,也不用恶毒已到可能的极限的人物;而只需要在道德上平平常常的人们,把他们安排在经常发生的情况之下,使他们处于相互对立的地位,他们为这种地位所迫明明知道,明明看到却互为对方制造灾祸,同时还不能说单是那一方面不对。我觉得最后这一类[悲剧]比前面两类更为可取,因为这一类不是把不幸当作一个例外指给我们看,不是当作由于罕有的情况或狠毒异常的人物带来的东西,而是当作一种轻易而自发的,从人的行为和性格中产生的东西,几乎是当作[人的]本质上要产生的东西,这就是不幸也和我们接近到可怕的程度了。并且,我们在那两类悲剧中虽是把可怕的命运和骇人的恶毒看作使人恐怖的因素,然而究竟只是看作离开我们老远老远的威慑力量,我们很可以躲避这些力量而不必以自我克制为逋逃蔽;可是最后这一类悲剧指给我们看的那些破坏幸福和生命的力量却又是一种性质。这些力量光临到我们这儿来的道路随时都是畅通无阻的。我们看到最大的痛苦,都是在本质上我们自己的命运也难免的复杂关系和我们自己也可能干出来的行为带来的,所以我们也无须为不公平而抱怨。这样我们就会不寒而栗,觉得自己已到地狱中来了。不过最后这一类悲剧在编写上的困难也最大;因为人们在这里要以最小量的剧情设计和推动行为的原因,仅仅只用剧中人的地位和配搭而求得最大的效果。所以,即令是在最优秀的悲剧中也有很多都躲避了这一困难。不过也还有一个剧本可认为这一类悲剧最完美的模范,虽然就别的观点说,这剧本远远不及同一大师的其他作品:那就是《克拉维葛》。在一定范围内《汉姆勒特》也同于这一类,不过只能从汉姆勒特对勒厄尔特斯和奥菲莉亚的关系来看。《华伦斯但》也有这一优点;《浮士德》也完全是这一类[的悲剧]。如果仅仅只从玛格利特和她的兄弟两人的遭遇作为主要情节看的话。高乃伊的《齐德》同样也属于这一类,不过齐德本人并没有一个悲剧的下场,而麦克斯max和德克娜thekla之间与玛格利特兄妹类似的关系却有一个悲剧的结局。

    第三篇 世界作为表象再论 §52

    我们在前此各节里既已在符合我们的观点的那种普遍性中考察了所有一切的美术文艺,从建筑的美术起,直到悲剧才结束了我们的考察。建筑的目的作为美术上的目的是使意志在它可见性的最低一级别上的客体化明显清晰。意志在这里[还是]显为块然一物顽钝的、无知的、合乎规律的定向挣扎,然而已经就显露了[意志的]自我分裂和斗争,亦即重力和固体性之间的斗争。——最后考察的是悲剧。悲剧,也正是在意志客体化的最高级别上使我们在可怕的规模和明确性中看到意志和它自己的分裂。[可是]在这些考察之后,我们又发现还有一种艺术被我们排斥于讨论之外了,并且也不能不排斥于讨论之外,因为我们这个论述系统严密,其中全没有适合这一艺术的地位。这[一艺术]就是音乐。音乐完全孤立于其他一切艺术之外。我们不能把音乐看作世间事物上的任何理念的仿制、副本,然而音乐却是这么伟大和绝妙的艺338术,是这么强烈地影响着人的内心;在人的内心里作为一种绝对普遍的,在明晰程度上甚至还超过直观世界的语言,是这么完整地、这么深刻地为人所领会;——以致我们在音乐中,除了一种“下意识的、人不知道自己在计数的算术练习”外,确实还有别的东西可寻。不过音乐所以吸引莱布尼兹的就是这种“算术练习”;如果只从音乐直接的、外表的意义看,只从音乐的外壳看,莱布尼兹也并没有错。然而音乐如果真的只是这么一点而已,那么音乐给我们的满足必然和我们在得出一个算式的正确答案时所能有的满足一般无二,而不能是我们看到自己本质的深处被表现出来时[所感到]的愉快。因此,在我们的观点上,我们注意的既然是美感的效果,我们就必须承认音乐还有更严肃的更深刻的,和这世界,和我们自己的最内在本质有关的一种意义。就这意义说,音乐虽可化为数量关系,然而数量关系并不就是符号所表出的事物,而只是符号本身。至于音乐对于世界的关系,在某一种意义上说,必需和表现对于所表现的,仿制品对于原物的关系相同,那是我们可以从音乐和其他艺术的类似性推论出来的。一切艺术都有这一特征,并且一切艺术对我们的效果,整个说来也和音乐对我们的效果差不多,后者只是更强烈,更是如响斯应,更有必然性,更无误差的可能而已。此外,音乐对于世界那种复制的关系也必须是一种极为内在的,无限真实的,恰到好处的关系,因为音乐是在演奏的瞬间当时就要被每人所领会的。这里还看得出音乐没有误差的可能性,因为音乐的形式可以还原为完全确定的,用数字表示出来的规则;音乐也决不能摆脱这些规则,摆脱就不再是音乐了。——然而把音乐和世界对比的那一点,就音乐对世界处于仿造或复制关系来说的这一方面依然还隐藏在黑暗中。人们在任何时代都从事过音乐,却未能在这一点上讲出一个道理来;人们既以直接领会为已足,就放弃了抽象地去理解这直接领会自身[是怎么可能的]了。

    当我既把自己的精神完全贯注在音调艺术的印象中之后,也不管这种艺术的形式是如何多种多样,然后再回到反省,回到本书所述的思想路线时,我便已获得了一个启发,可从而理解音乐的内在本质以及音乐对世界的那种[关系,]按类比法必须假定的,反映世界的关系是什么性质。这一启发对于我自己固然是足够了,就我探讨[的目]说,我也满意了;那些在思想上跟我走到这里而赞同我的世界观的人们也很可能同样的明白了这一点。可是要证明这一理解,我认为基本上是不可能的,因为这一理解既假定又确定音乐,作为表象[的音乐],和本质上决不可能是表象的东西两者间的关系,又要把音乐看成是一个原本的翻版,而这原本自身又决不能直接作为表象来想象。那么在这一篇,主要是用以考察各种艺术的第三篇的末尾,除了谈谈我自以为满足的,关于美妙的音乐艺术的那种理解之外,我不能再有什么办法。[人们对于]我这见解的赞同或否定,一面必须取决于音乐对每人的影响,一面是必须取决于本书所传达的整个的一个思想对于读者的影响。此外,我认为人们如果要以真正的信心来赞同这里对音乐的意义要作出的说明,那就必须经常以不断的反省思维来倾听音乐的意义;而要做到这一点,又必须人们已经很熟悉我所阐述的全部思想才行。

    意志的恰如其分的客体化便是(柏拉图的)理念;用个别事物的表现(因为这种表现永远是艺术作品本身)引起[人们]对理念的认识(这只在认识的主体也有了相应的变化时才有可能)是所有其他艺术的目的。所以这一切艺术都只是间接地,即凭借理念来把意志客体化了的。我们的世界既然并不是别的什么,而只是理念在杂多性中的显现,以进入个体化原理(对于个体可能的认识的形式)为途径的显现;那么音乐,因为它跳过了理念,也完全是不依赖现象世界的,简直是无视现象世界;在某种意义上说即令这世界全不存在,音乐却还是存在;然而对于其他艺术却不能这样说。音乐乃是全部意志的直接客体化和写照,犹如世界自身,犹如理念之为这种客体化和写照一样;而理念分化为杂多之后的现象便构成个别事物的世界。所以音乐不同于其他艺术,决不是理念的写照,而是意志自身的写照,[尽管]这理念也是意志的客体性。因此音乐的效果比其他艺术的效果要强烈得多,深入得多;因为其他艺术所说的只是阴影,而音乐所说的却是本质。既然是同一个意志把它自己客体化于理念和音乐中,只是客体化的方式各有不同而已;那么,在音乐和理念之间虽然根本没有直接的相似性,却必然有一种平行的关系,有一种类比的可能性;而理念在杂多性和不完美[状态]中的现象就是这可见的世界。指出这一类比的可能性,作为旁证,可使这一因题材晦涩所以艰难的说明易于理解。

    我在谐音的最低音中,在通奏低音中[好象]又看到了意志客体化的最低级别,看到了无机的自然界,行星的体积。大家知道所有那些高音,既易于流动而消失又较速,都要看作是由基低音的偕振产生的,总是和低音奏出时轻微地相与借鸣的。而谐音的规律就是只许那些由于偕振而真正已和低音自然而然同时出声(低音的谐音)的高音和一个低音合奏。那么,与此类似,人们必须把自然的全部物体和组织看作是从这个行星的体积中逐步发展出来的,而这行星的体积既是全部物体和组织的支点,又是其来源,而这一关系也就是较高的音对通奏低音的关系。——[音的]低度有一极限,超过这一极限就再不能听到什么声音了;而与此相当的就是任何物质如果没有形状和属性就不可觉知了。[所谓物质没有形状和属性,]即是说物质中没有一种不能再加解释的“力”的表现,而理念又是表现在这力中的。更概括他说就是没有物质能够完全没有意志。所以声音作为[听得见的]声音是和一定程度的音高分不开的;物质也是如此和一定程度的意志表现分不开的。——所以在我们看来,在谐音中的通奏低音就等于世界上的无机自然,等于是最粗笨的体积;一切皆基于此,一切都从此中产生发展。——现在更进一步,在低音和主导的,奏出乐调的高音之间是构成谐音的一切补助音,在这一切补助音中我好象看到理念的全部级别,而意志也就是把自己客体化在这些理念中的。[这就是说]较近于低音的音等于[意志客体化的]那些较低级别,等于那些还是无机的,但已是种类杂呈的物体;而那些较高的音,在我看来,就代表植物和动物世界。——音阶上一定的间距和意志客体化的一定级别是平行的,和自然中一定的物种是平行的。对于这种间距的算术上的正确性有距离,或是由于间距偏差或是由于选定的乐调所致,都可比拟于个体和物种典型的距离。至于不纯的杂音并无所谓一定的音差,则可以和两个物种的动物之间或人兽之间的怪胎相比。——所有这些构成谐音的低音和补助音却都缺乏前进中的联贯。只有高音阶的,奏出调儿的音才有这种联贯,也只有这些音在抑扬顿挫和转折急奏中有迅速和轻松的变化;而所有[其他]那些[低音和补助]音则变化缓慢,没有各自存在的联贯。沉低音变化最为滞重,这是最粗笨的物质体块的代表。沉低音的升降都只是大音距的,是几个第三,几个第四,或几个第五音阶的升降而决不一个音升降;即令是一个由双重复谐音组转换了的低音,[也不例外]。这种缓慢的变化也是这低音在物理上本质的东西。在沉低音中而有迅速的急奏或颤音,那是无法想象的。较高的补助音要流动得快些,然而还没有曲调的联贯和有意义的前进;这和动物世界是平行的。所有一切补助音不联贯的音段和法则性的规定则可比拟于整个无理性的世界,从结晶体起到最高级的动物止。这里没有一事物有一种真正联续的意识,——而这意识才能使它的生命成为一个有意义的整体——;没有一样是经历过一串精神发展的,没有一样是由教养来使自己进于完善的;所有这一切在任何时候都是一成不变的,是什么族类便是什么族类,为固定的法则所规定。——最后在曲调中,在高音的,婉啭的,领导着全曲的,在一个思想的不断而充满意义的联贯中从头至尾无拘束地任意前进着的,表出一个整体的主调中,我[好象]看到意志客体化的最高级别,看到人的有思虑的生活和努力。只有人,因为他具有理性,才在他实际的和无数可能的[生活]道路上经常瞻前顾后,这样才完成一个有思虑的,从而联贯为一整体的生活过程。与此相应,唯有曲调才从头至尾有一个意义充足的、有目的的联贯。所以曲调是讲述着经思考照明了的意志的故事,而在实际过程中,意志却是映写在它自己一系列的行为中的。但是曲调讲述的还不止此,还讲述着意志最秘密的历史,描绘着每一激动,每一努力,意志的每一活动;描绘着被理性概括于“感触”这一广泛的、消极的概念之下而无法容纳于其抽象[性]中的一切。因此,所以人们也常说音乐是[表达]感触和热情的语言,相当于文字是[表达]理性的语言。怕拉图已把音乐解释为“曲调的变化摹仿着心灵的动态”(《法律论》第七篇);还有亚里士多德也说“节奏和音调虽然只是声音,却和心灵状态相似,这是怎么回事呢?”(《问题》第十九条)。

    人的本质就在于他的意志有所追求,一个追求满足了又重新追求,如此永远不息。是的,人的幸福和顺遂仅仅是从愿望到满足,从满足又到愿望的迅速过渡;因为缺少满足就是痛苦,缺少新的愿望就是空洞的想望、沉闷、无聊。和人的这种本质相应,曲调的本质[也]永远在千百条道路上和主调音分歧,变调,不仅只变到那些谐音的各阶梯,变到第三音阶和任何音调的第五音阶,而是变到任何一个音,变到不调和的第七音阶和那些超量音阶;但是最后总是跟着又回到主调音。在所有这些道路上都是曲调在表出意志的各种复杂努力。不过由于最后重返谐音的一阶梯,尤其是重返主调音的阶梯,曲调也经常表示满足。曲调的发明,在曲调中揭露人类欲求和情感的最深秘密,这是天才的工作;而在这里天才的作用比在任何地方更为明显,远离着一切反省思维和意识着的任何企图,这就可叫作一个灵感。概念在这里,和在艺术中的任何地方一样。是不生发的。作曲家在他的理性所不懂的一种语言中启示着肚界最内在的本质,表现着最深刻的智慧,正如一个受催眠的夜游妇人讲出一些事情,在她醒时对于这些事情一无所知一样。因此,在一个作曲家,比在任何其他一个艺术家,[更可说]人和艺术家是完全分立的,不同的。甚至在说明这一奇妙的艺术时,概念就已表现出它捉襟见时的窘态和局限性。然而我还想继续贯彻我们的类比说明法。——从愿望到满足,从满足到新愿望的迅速过渡既是幸福和顺遂,那么急促的曲调而没有多大的变音便是愉快的;缓慢的,落到逆耳的非谐音而要在许多节怕之后才又回到主调音的曲调则和推迟了的,困难重重的满足相似,是悲伤的。新的意志激动迟迟不来,沉闷,这除了受到阻挠的主调音外不能有其他表现;而这种主调音的效果很快就使人344难于忍受了;与此接近的已是很单调的,无所云谓的那些曲调了。快板跳舞音乐短而紧凑的音句似乎只是在说出易于获得的庸俗幸福;相反的是轻快庄严[调],音句大,音距长,变音的幅度广阔,则标志着一个较巨大的、较高尚的、目标远大的努力;标志着最后达到目标。舒展慢调则是说着一个巨大高尚努力的困难,看不起一切琐屑的幸福。但是小音阶柔调和大音阶刚调的效果又是多么奇妙啊!使人惊异的是一个半音的变换,小第三音阶而不是大第三音阶的出现立刻而不可避免的就把一种焦灼的、苦痛的感触强加于我们,而刚调恰又同样于一瞬间把我们从这痛苦解救出来。舒展慢调在柔调中达成最高痛苦的表示,成为最惊心动魄的如怨如诉。在柔调中的跳舞音乐似乎是标志着人们宁可蔑视的那种琐屑幸福之丧失,似乎是在说着一个卑微的目的经过一些艰难曲折而终于达到。——可能的曲调[变化]无穷无尽,这又和大自然在个人,在[人的]相貌和身世上的变化无穷无尽相当。从一个调过渡到完全另一调,完全中断了和前面的联系,这就好比死亡。不过这一比喻只是就死亡告终的是个体说的;至于在这一个体中显现过的意志又显现于另一个体中,那是不死的;不过后一个体的意识与前一个体的意识则无任何联系[,相当于曲调的中断]。

    可是在指出上面所有这些类比的可能性时,决不可忘记音乐对于这些类似性并无直接的而只有间接的关系,因为音乐决不是表现着现象,而只是表现一切现象的内在本质,一切现象的自在本身,只是表现着意志本身。因此音乐不是表示这个或那个个别的、一定的欢乐,这个或那个抑郁、痛苦、惊怖、快乐、高兴,或心神的宁静,而是表示欢愉、抑郁、痛苦、惊怖、快乐、高兴、心神宁静等自身;在某种程度内可以说是抽象地、一般地表示这些[情感]的本质上的东西,不带任何掺杂物,所以也不表示导致这些[情感]的动机。然而在这一抽出的精华中,我们还是充分地领会到这些情感。由于这个道理,所以我们的想象力是这么容易被音乐所激起。[想象力既被激起,]就企图形成那个完全是直接对我们说话的,看不见而却是那么生动地活跃着的心灵世界,还要赋以骨和肉;也就是用一个类似的例子来体现这心灵世界。这就是用字句歌唱的渊源,最后也是歌剧的渊源。——因此歌剧中的唱词决不可离开这一从属的地位而使自己变成首要事项,使音乐成为只是表示唱同的手段。这是大错,也是严重的本末倒置。原来音乐无论在什么地方都只是表出生活和生活过程的精华,而不是表出生活及其过程自身;所以生活和生活过程上的一些区别并不是每次都影响生活及其过程的精华。正是这种专属于音乐的普遍性,在最精确的规定之下,才赋予音乐以高度的价值,而音乐所以有这种价值乃是因为音乐可以作为医治我们痛苦的万应仙丹。所以,如果音乐过于迁就唱词,过于按实际过程去塑形,那么音乐就是勉强要说一种不属于它自己的语言了。没有人比罗新艺还更能够保持自己的纯洁而不为这种缺点所沾染的了;所以他的音乐是那么清晰地、纯洁他说着音乐自己的语言,以致根本无需唱词,单是由乐器奏出也有其充分的效果。

    根据这一切,我们可以把这显现着的世界或大自然和音乐看作同一事物的两种不同表现,所以这同一事物自身就是这两种表现得加以类比的唯一中介,而为了体会这一类比就必须认识这一中介。准此,音乐如果作为世界的表现看,那是普遍程度最高的语言,甚至可说这种语言之于概念的普遍性大致等于概念之于个别事物。[音乐]这种语言的普遍性却又决不是抽象作用那种空洞的普遍性,而完全是另一种普遍性,而是和彻底的、明晰的规定相联系的。在这一点上,音乐和几何图形,和数目相似,即是说这些图形和数目是经验上一切可能的客体的普遍形式,可以先验地应用于这一切客体,然而又不是抽象的,而是直观地、彻底地被346 规定的。意志一切可能的奋起、激动和表现,人的内心中所有那些过程,被理性一概置之于“感触”这一广泛而消极的概念之下[的这些东西]都要由无穷多的,可能的曲调来表现,但总是只在形式的普遍性中表现出来,没有内容;总是只按自在[的本体]而不按现象来表现,好比是现象的最内在的灵魂而不具肉体。还有一点也可以从音乐对一切事物的真正本质而有的这一内在关系来说明,即是说如果把相应的音乐配合到任何一种景况、行为、过程、环境上去,那么音乐就好象是为我们揭露了这一切景况、行为等等的最深奥的意义;音乐出现为所有这些东西的明晰而正确的注解。同样,谁要是把精神完全贯注在交响乐的印象上,他就好象已看到人生和世界上一切可能的过程都演出在自己的面前;然而,如果他反省一下,却又指不出那些声音的演奏和浮现于他面前的事物之间有任何相似之处。原来音乐,如前已说过,在这一点上和所有其他的艺术都不同。音乐不是现象的,或正确一些说,不是意志恰如其分的客体性的写照,而直接是意志自身的写照。所以对世界上一切形而下的来说,音乐表现着那形而上的;对一切现象来说,音乐表现着自在之物。准此,人们既可以把这世界叫作形体化了的音乐,也可以叫作形体化了的意志。因此,从这里还可以说明为什么音乐能使实际生活和这世界的每一场面,每一景况的出现立即具有提高了的意义,并且,音乐的曲调和当前现象的内在精神愈吻合,就愈是这样。人们所以能够使一首诗配上音乐而成为歌词,或使一个直观的表演配上音乐而成为哑剧,或使两者配上音乐而成为歌剧,都是基于这一点。人生中这种个别的情景虽可被以音乐的这种普遍语言,却决不是以彻底的必然性和音乐联在一起的,也不是一定相符合的;不,这些个别情景对于音乐的关系,只是任意的例子对于一般概念的关系。个别情景在现实的规定性中所表出的即音乐在单纯形式的普遍性中所表出的。这是因为曲调在一定范围内,也和一般的概念一样,是现实的一种抽象。这现实,也就是个别事物的世界,既为概念的普遍性,同样也为曲调的普遍性提供直观的、特殊的和个别的东西,提供个别的情况。但是在一定观点上这两种普遍性是相互对立的,因为概念只含有刚从直观抽象得来的形式,好比含有从事物上剥下来的外壳似的,所以完全是真正的抽象;而音乐则相反,音乐拿出来的是最内在的、先于一切形态的内核或事物的核心。这种关系如果用经院哲学的语言来表示倒很恰当。人们说概念是“后于事物的普遍性”,音乐却提供“前于事物的普遍性”,而现实则提供“事物中的普遍性”。谱出某一诗篇的曲子,它的普遍意味又可以在同等程度上和其他也是这样任意选择的,该诗篇所表出的普遍性的任何一特例相符合;所以同一乐谱可以配合许多诗章,所以又能有利用流行曲子随意撰词的小型舞台剧。不过在一个乐谱和一个直观的表出之间所以根本有互相关联的可能,如前已说过,那是由于两者都只是同一世界的内在本质的两种完全不同的表现。如果在个别场合真有这样一种关系存在,而作曲家又懂得[如何]以音乐的普遍语言说出意志的激动,亦即构成任何一件事的那一内核,那么歌词的曲谱,歌剧的音乐就会富有表现力。不过由作曲家在上述两者之间所发现的类似性必须是由于直接认识到世界的本质而来的,必须是他理性所不意识的,且不得是意识着的有意的,通过概念的间接摹仿;否则音乐所表出的就不是内在的本质,不是意志自身,而只是不充分地摹仿着意志的现象而已。一切真正摹仿性的音乐就是这样做的,例如海顿的《四季》,以及他那些作品里许多直接摹仿直观世界现象的地方;还有一切描写战争的作曲也是这样的。这些东西整个儿都要不得。

    一切音乐这种不可言说的感人之深,使音乐象一个这么亲切习见的,而又永久遥远的乐园一样掠过我们面前,使音乐这么容易充分领会而又这么难以解释,这都由于音乐把我们最内在的本质所有一切的动态都反映出来了,然而却又完全不着实际而远离实际所有的痛苦。同样,把可笑的[东西]完全排除在音乐的直属范围以外的,是音乐本身上的严肃性;这是从音乐的客体不是表象这一事实来说明的。唯有在表象中误认假象,滑稽可笑才可能,但音乐的客体直接是意志,而意志,作为一切一切之所系,在本质上就是最严肃的东西。——音乐的语言是如何内容丰富,意义充沛,即令是重奏符号以及“重头再奏”也可以证实。如果是在用文字写的作品中,这样的重复会令人难以忍受,而在音乐的语言中却反而是很恰当,使人舒适;因为要完全领会[这些内容和意义],人们就有听两遍的必要。

    如果我在阐明音乐这一整个讨论中努力要弄清楚的是音乐[如何]用一种最普遍的语言,用一种特有的材料——单是一些声音——而能以最大的明确性和真实性说出世界的内在本质,世界自在的本身——这就是我们按其最明晰的表出在意志这一概念之下来思维的东西——,如果再进一步按照我的见解和努力的方向说,哲学[的任务]并不是别的、而是在一些很普遍的概念中全面而正确地复述和表出世界的本质,——因为只有在这样的概念中才能对那全部的本质有一个随时足够的、可以应用的概览——;那么,谁要是跟上了我而把握了我的思想方式,他就会觉得我在下面要说的并不很矛盾。我要说的是:假定[我们]对于音乐所作的充分正确的、完备的、深入细节的说明成功了,即是说把音乐所表示的又在概念中予以一个详尽的复述成功了,那么,这同时也就会是在概念中充分地复述和说明了这世界,或是和这种说明完全同一意义,也就会是真正的哲学。并且我们立即就可以在我们对于音乐的看法较高的那种意味中逢场作戏地用下面这句话来仿效前文所引莱布尼兹的那句名言——他在较低观点上这样说也完全是对的——:“音乐是人们在形而上学中不自觉的练习,在练习中本人不知道自己是在搞哲学”。原来拉丁语的scire,亦即“知”,无论什么时候都是“已安顿到抽象概念中去了”[的意味]。但是再进一步说,由于莱布尼兹那句话的真理已得到多方的证实,音乐,丢开它美感的或内在的意义而只是从外表,完全从经验方面来看,就不是别的而是直接地,在具体中掌握较大数量及复杂的数量关系的手段,否则我们就只能间接地,以概念中的理解来认识这些数量和数量关系。既然如此,那么,我们现在就能够由于综合[上述]关于音乐的两种极不相同却又都正确的意见,而想到一种数理哲学的可能性。毕达戈拉斯和中国人在《易经》中的数理哲学就是这一套。于是我们就可按这一意义来解释毕达戈拉斯派的那句名言,也就是塞克司都斯·恩披瑞古斯(《反对数学家论》第七篇)所引的一句话:“一切事物都可和数相配”。如果我们在最后把这一见解应用到我们在上面对谐音和乐调所作的解释上去,那么我们就将发现单纯的道德哲学而没有对大自然的说明——如苏格拉底所倡导的——完全可以比拟于有乐调而没有谐音——如卢梭独自一人所想的那样——。与此相反,单纯的物理学和形而上学如果没有伦理学也就相当于单纯的有谐音却没有乐调。——在这一附带的考察之后,请容许我还加上几点和音乐与现象世界两者间的类比有关的看法。在前一篇里我门已发现意志客体化的最高级别,即人,并不能单独地、割裂地出现,而是以低于它的级别为前提的,而这些较低级别又总是以更低的级别为前提的。同样,音乐也和这世界一样,直接把意志客体化了,也只在完整的谐音中音乐才是圆满的。乐调的领导高音要发生完整的印象,就需要所有其他音的伴奏,直到最低沉的低音,而这种低音[又]要作为一切音的源泉看。乐调本身是作为一个组成部分而搀入谐音的,犹如谐音也搀入乐调一样。既然只有这样,只有在诸音俱备的整体中,音乐才表现它预定要表现的东西;那么,那唯一而超时间的意志也只在一切级别完整的统一中才能有其全部的客体 化,而这些级别就在无数程度上以逐级有加的明晰性揭示着意志的本质。——很可注意的还有下面这种类似性。我们在前一篇中已经看到所有一切意志现象,就促成目的论的那些物种说,都是互相适应的。尽管如此,在那些作为个体的现象之间,仍然有着不可消除的矛盾存在。这种矛盾在现象的一切级别上都可看到。这就把世界变成了同一个意志所有的现象之间无休止的战场,而意志和它自己的内在矛盾也就由此显露出来了。甚至于这一点,在音乐里也有与此相当的地方。即是说完全纯粹谐和的声音系统不但在物理上不可能,并且是在算术上就已经不可能了。各音所由表现的那些数自身就含有不能化除的无理数。任何音阶,即使要计算出来也不可得。在一音阶中每第五音和基音的关系等于2对3,每大音阶第三音和基音的关系等于4对5,每小音阶第三音和基音的关系等于5对6,如此等等。这是因为如果这些音和基音对准了,则这些音相互之间就再也对不准了;例如第五音对于第三音必须是小音阶第三音等等,因为音阶上的音要比作一个演员,时而要扮演这一角,时而要扮演那一角。因此,完全准确的音乐就是要设想也不可能,更不要说制成乐谱了。由于这一缘故,任何可能的音乐都和绝对的纯洁性有距离,而只能把不谐音分配到一切音上,也就是以离开音差的纯洁性的变音来掩藏它本质上存在着的不谐音。关于这些,人们可参阅席拉特尼的《声学》第三十节和他的《音响学概论》第12页。

    我还可以就音乐被体会的方式再谈几点,譬如说音乐仅仅只在时间中,通过时间,完全除开了空间,也没有因果知识的干扰,亦即没有悟性干扰而被体会的;因为这些音作为效果说,无需我们象在直观中一样要追溯其原因就已产生了美感的印象。——然而我不想再把这一讨论延长下去,因为我在这第三篇里对于有些问题也许已经是过于详尽了,或是过于把自己纠缠在个别事物上了。可是我的目的使我不能不这样做。人们也更不会责备我这样做,如果他在具体地想到艺术不常为人充分认识到的重要性和高度的价值时,是在推敲着[下面这一观点]:如果按照我们的见解,这整个可见的世界就只是意志的客体化,只是意志的一面镜子,是在随伴着意志以达到它的自我认识;并且如我们不久就会看到的,也是在随伴着意志以达到解脱的可能性;同时,又如果作为表象的这世界,要是人们把它和欲求分开,孤立地加以考察,仅仅只让它来占领[全部]意识,就是人生中最令人愉快和唯一纯洁无罪的一面;——那么,我们都要把艺术看作这一切东西的上升、加强和更完美的发展;因为艺术所完成的在本质上也就是这可见的世界自身所完成的,不过更集中、更完备、而具有预定的目的和深刻的用心罢了。因此,在不折不扣的意义上说,艺术可以称为人生的花朵。如果作为表象的整个世界只是意志的可见性,那么,艺术就是这种可见性的明朗化,是更纯洁地显出事物,使事物更便于概览的照相机;是《汉姆勒特》[一剧中]的戏中戏,舞台上的舞台。

    从一切美得来的享受,艺术所提供的安慰,使艺术家忘怀人生劳苦的那种热情——使天才不同于别人的这一优点,对于天才随意识明了的程度而相应加强了的痛苦,对于他在一个异己的世代中遭遇到的寂寞孤独是唯一的补偿——,这一切,如下文就会给我们指出的,都是由于生命的自在本身,意志,生存自身就是不息的痛苦,一面可哀,一面又可怕,然而,如果这一切只是作为表象,在纯粹直观之下或是由艺术复制出来,脱离了痛苦,则又给我们演出一出富有意味的戏剧。世界的这一面,可以纯粹地认识的一面,以及这一面在任何一种艺术中的复制,乃是艺术家本分内的园地。观看意志客体化这幕戏剧的演出把艺术家吸引住了,他逗留在这演出之前不知疲倦地观察这个演出,不知疲劳地以艺术反映这个演出。同时他还负担这个剧本演出的工本费,即是说他自己就是那把自己客体化而常住于苦难中的意志。对于世界的本质那种纯粹的、真正的、深刻的认识,在他看来,现在已成为目的自身了:他停留在这认识上不前进了。因此,这认识对于他,不象在下一篇里,在那些已达到清心寡欲[境界]的圣者们那里所看到的一样,不是意志的清静剂,不是把他永远解脱了,而只是在某些瞬间把他从生活中解脱一会儿。所以这认识不是使他能够脱离生命的道路,而只是生命中一时的安慰,直到他那由于欣赏而加强了的精力已疲于这出戏又回到严肃为止。人们可以把拉菲尔画的《神圣的栖利亚》看作这一转变的象征。那么,让我们在下一篇里也转向严肃吧。

    第四篇 世界作为意志再论

    在达成自我认识时,生命意志的肯定和否定在认识一经出现时,情欲就引退。 ——昂克敌·杜伯隆:《邬布涅伽研究》第二卷第216页

    我们这考察的最后部分,一开始就可宣称为最严肃的一部分;因为这部分所涉及的是人的行为,是和每人直接有关的题材,没有人能够对之漠不关心或无所可否。并且把其他一切问题都联系到这个题材上来,也是如此的符合人的本性,以致人们在任何一个有联贯性的哲学探讨中,至少是在他对此感到兴趣时,总要把其中有关行为的这一部分看作整个内容的总结论。因此,人们对于其他的部分或许还不太认真,对于这一部分他却要予以严肃的注意。——如果就上面指出的情况而用通俗的话来说,人们也许要将我们这考察现在就要往下继续的部分称为实践的哲学,而把前此处理过的[其他]部分与此对立而叫做理论的哲学。

    不过在我的意见看来,我认为一切哲学一概都是理论的;因为哲学,不管当前讨论的是一个什么题材,本质上总要采取纯观察的态度,要以这种态度来探讨而不是写格言戒律。与此相反,要求哲学成为实践的性质,要求哲学指导行为,改变气质,那都是陈旧的要求,在有了更成熟的见解时,这种要求终久是该撤销的。因为在这里,在这人生有无价值,是得救或是沉沦的关头,起决定作用的不是哲学的僵硬概念,而是人自己最内在的本质;即柏拉图所说的神明,指导着人但不曾选定人,而是人自己所选定的“神明”;又即康德所说的“悟知性格”。德性和天才一样,都不是可以教得会的。概念对于德性是不生发的,只能作工具用;概念对于艺术也是如此。因此,我们如果期待我们的那些道德制度和伦理学来唤起有美德的人,高尚的人和圣者,或是期待我们的各种美学来唤起诗人、雕刻家和音乐家,那我们就太傻了。

    无论在什么地方,哲学除了解释和说明现成的事物,除了把世界的本质,在具体中的,亦即作为感知而为人人所体会的世界之本质纳入理性的明确而抽象的认识以外,不能再有什么作为。不过哲学这样做是从一切可能的方面,从一切观点出发的。犹如我们在前三篇里曾企图在哲学专有的普遍性中从另外一些观点来完成任务一样,本篇也要以同样的方式来考察人的行为。人世间的这一方面,如我前已指出的,很可以说不仅在主观的判断上,而且也是在客观的判断上,都要被认为是世间一切方面中最重要的一个方面。在进行考察时,我将完全忠于我们前此的考察方式,以前此提出的[论点] 作为我们依据的前提;并且,实际上我只是把构成本书整个内容的那个思想,和前此在所有其他的题材上所做过的一样,现在又以同样的方式在人的行为上引伸出来,而以此尽到我最后的力之所及,尽可能为这一思想作出一个完整的传达。

    前面提出的观点和这里宣布过的讨论方式,已明白指出人们在这一伦理篇里不得期待什么行为规范,什么义务论。这里更不会提出一个普遍的道德原则,把它当作产生一切美德的万应验方。我也不会谈什么无条件的应然,因为这在附录中已说过,是包含着矛盾的;也不谈什么给自由立法,这同样也是包含矛盾的。我们根本就不会谈什么应当,因为人们只是对孩子们和初开化的民族才说这些,而不对已经吸收了文明成熟时代全部教养的人们说这些。这显然是伸手便可碰到的矛盾,既说意志是自由的又要为意志立法,说意志应该按法则而欲求:“应该欲求呀!”这就[等于]木头的铁!可是根据我们整个的看法,意志不但是自由的,而且甚至是万能的。从意志出来的不仅是它的行为,而且还有它的世界;它是怎样的,它的行为就显为怎样的,它的世界就显为怎样的。两者都是它的自我认识而不是别的。它既规定自己,又正是以此而规定这两者;因为在它以外再也没有什么了,而这两者也就是它自己。只有这样,意志才真正是自主自决的。从任何其他看法来说,它都是被决定的。我们在哲学上的努力所能做的只是解释和说明人的行为以及一些那么不同而又相反的最高规范。行为也就是这些规范活生生的表现。[我们]是按人的行为和这些规范最内在的本质和内蕴,是同我们前此的考察联系起来,并且恰是同我们以往致力于解释这世界的其他现象时,把这些现象最内在的本质纳入明确而抽象的认识一样[来说明的]。这时我们的哲学仍同在前此的整个考察中一样,要主张那同一个内在性。和康德的伟大学说相反,我们的哲学将不利用现象的形式,以根据律为其普遍表现的形式,作为跳高的撑竿,用以飞越唯一能以意义赋予这些形式的现象而在空洞臆说的无边领土上着陆。倒是这可以认识的真实世界,在我们之中和我们亦在其中的世界,将继续是我们考察的材料,同时也是我们考察所能及的领域。这世界的内容是如此的丰富,即令是人类精神在可能范围内作了最深入的探讨、也不能穷尽[其所有]。因为这真实的,可认识的世界象在前此的考察中一样,在我们的伦理考察方面也决不会使我们缺少材料和真实性;所以我们无须求助于一些内容空洞只有否定意味的概念,没有必要高耸着眉头说什么绝对、无限、超感性,以及如此之类还多着的纯粹否定(喻利安卢斯在《演讲集》第五篇里说:“除了否定的词汇联系着晦涩的表象之外,什么也不是。”),——不这样而简短些说“云端里的空中楼阁”也是一样——,然后使我们自己相信这就真是说了些什么[有意义的东西]了。其实再没有比这样做更不必要的了,我们无须把这种盖上盖儿的空碗碟送到桌上来。——最后我们将和以往一样,不讲历史上的故事,不把这种故事当哲学;因为照我们的意见看来,一个人如果认为我们能够以某种方式从历史来体会世界的本质,那么,尽管掩饰得再巧妙些,这个人离开以哲学来认识世界还有夭远的路程。不过在一个人对世界本质自身的看法中只要冒出变易,变成,将变这些概念,只要某种先或后[在这儿]有着最小限度的一点儿意义,从而或是明显地或是隐藏地将找到,已找到世界的一个起点和一个终点,外加这两点之间的过程;甚至这位治哲学的个人还在这过程中看到他自己的所在;那么,这就是上述那种历史地把握世界本质的搞法。这样以历史治哲学,在大多数场合都要提出一种宇宙发生说,并且是种类繁多的发生说;否则就要提出一种发散系统说或人类始祖谪降人间说;或者是在这种路线上总是屡试无效而陷入窘境,最后逼上一条路,一反前说而从黑暗,从不明的原因,太始的原因,不成原因的原因和如此之类,还多着的一些废话里提出什么永恒变易说,永恒孳生说,永恒的[由隐]趋显说。可是整个的永恒,也就是直到当前一瞬无穷无尽的时间,既已过去,那么一切要变的、能变的也必然都已变就了。人们很可以用一句最简短的活一举而推翻所有这些说法:因为所有这样的历史哲学尽管神气十足,都好象是康德从未到人间来过似的,仍然把时间看作自在之物的一种规定,因而仍停留在康德所谓的现象上,和自在之物相对立的现象之上,停留在柏拉图所谓永不常住的变易上,和永不变易的存在相对立的变易上;最后也可说是停留在印度教所谓的摩耶之幕上。这些正就是落在根据律掌心里的认识。从这种认识出发,人们永远也到不了事物的内在本质,而只是无穷尽地追逐着现象,只是无终止,无目标地在盲动,好比是踏着轮圈儿表演的小松鼠一样,直至最后[养鼠] 人有些厌倦了,在或上或下的任意一点把轮圈儿停住,然后强求观众们对此表示敬意。[其实] 在纯哲学上考察世界的方式,也就是教我们认识世界的本质从而使我们超然于现象的考察方式,正就是不问世界的何来,何去,为什么而是无论在何时何地只问世界是什么的考察方式。这就是说这个考察方式不是从任何一种关系出发的,不是把事物当作生长衰化看的考察方式。一句话,这不是从根据律四种形态的任何一形态来考察事物的方式;相反,却恰好是以排除整个这一套遵守根据律的考察方式之后还余留下来的,在一切关系中显现而自身却不隶属于这些关系,常自恒同的世界本质,世界的理念为对象的方式。从这种认识出发的有艺术:和艺术一样,还有哲学。是的,在本篇我们即将看到从这种认识出发的还有那么一种内心情愫,唯一导向真正神圣性,导向超脱世界的内心情愫。

    我们希望前三篇已导致了这样一个明晰而确切的认识,即是说在作为表象的世界中已为意志举起了一面反映它的镜子,意志在这面镜子中得以愈益明晰和完整的程度认识到它自己。明晰和完整程度最高的就是人,不过人的本质要由他行为的有联贯性的系列才能获得完全的表现,行为上自身意识的联贯才使那让人常在抽象中概观全局的理性有可能。

    纯粹就其自身来看的意志是没有认识的,只是不能遏止的盲目冲动。我们在无机自然界,在植物繁生的自然界,在这两种自然界的规律中,以及在我们[人] 自己生命成长发育的那些部分中所看到的意志现象都是这种冲动。这意志从后加的、为它服务而开展的表象世界才得以认识它的欲求,认识它所要的是什么;还认识这所要的并不是别的而就是这世界,就是如此存在着的生命。因此,我们曾把这显现着的世界称为反映世界的镜子,称为意志的客体性。并且意志所要的既然总是生命,又正因为生命不是别的而只是这欲求在表象上的体现;那么,如果我们不直截了当说意志而说生命意志,两者就是一回事了,只是名词加上同义的定语的用辞法罢了。

    意志既然是自在之物,是这世界内在的涵蕴和本质的东西;而生命,这可见的世界,现象,又都只是反映意志的镜子;那么现象就会不可分离地随伴意志,如影不离形;并且是哪儿有意志,哪儿就会有生命,有世界。所以就生命意志来说,它确是拿稳了生命的;只要我们充满了生命意志,就无须为我们的生存而担心,即令在看到死亡的时候,也应如此。我们固然看到个体有生灭,但个体只是现象,只是对局限于根据律和个体化原理中的认识而存在着的。对于这种认识说,个体诚然是把它的生命当作礼物一样接收过来的,它从“无”中产生,然后又为这礼物由于死亡而丧失感到痛苦并复归于“无”。但是我们正要从哲学,也就是从生命的理念来考察生命;而这样来考察,我们在任何方面就都会看到凡是生和死所能触及的既不是意志,不是一切现象中的那自在之物,也不是“认识”的主体,不是那一切现象的旁观者。诞生和死亡既属于意志显出的现象,当然也是属于生命的。生命,基本上就得在个体中表出,而这些个体是作为飘忽的,在时间形式中出现之物的现象而生而灭的。这在时间形式中出现之物自身不知有时间,但又恰好是从这一方式呈现以使其固有本质客体化的。诞生和死亡同等地都属于生命,并且是互为条件而保持平衡的。如果人们喜欢换一个说法,也可说诞生和死亡都是作为整个生命现象的两极而保持平衡的。一切神话中最富于智慧的印度神话是这样表示这一思想的:神话恰好在给象征着破坏和死亡之神(好比三个连环神孽中还有罪孽最深,最卑微的婆罗摩象征着生育和发生,而毗湿毗则象征保育一样),我说恰好是给僖华戴上骷髅头项链的同时,又复给以棱迦这一生殖的象征一同作为这个神的特征。所以这里的生殖就是作为死亡的对销而出现的;这就意味着生育和死亡是根本的对应物,双方互相对消,互相抵偿。促使古代希腊人和罗马人恰好也是这样来雕饰那些名贵棺椁的也完全是这同一心情。现在我们还看得到棺椁上雕饰着宴会、舞蹈、新婚、狩猎、斗兽、醇酒妇人的欢会等,都无非是描写着强有力的生命冲动。古代希腊人和罗马人不仅在这种寻欢作乐的场面中为我们演出这种生命的冲动,甚至还可见之于集体宣淫,直到那些长着羊足的森林神和母羊性交的场面中。这里的目的是显而易见的:目的是以最强调的方式在被哀悼的个体死亡中指出自然界不死的生命;并且虽然没有抽象的认识,还是借此暗示了整个自然既是生命意志的显现,又是生命意志的内涵。这一显现的形式就是时间、空间和因果性,由是而有个体化。个体必然有生有灭,这是和“个体化”而俱来的。在生命意志的显现中,个体就好比只是个别的样品或标本。生命意志不是生灭所得触及的,正如整个自然不因个体的死亡而有所损失是一样的。这是因为大自然所关心的不是个体而仅仅只是物种的族类。对于种族的保存,大自然却十分认真,不惜以绝大超额数量的种子和繁殖冲动的巨大力量为之照顾。与此相反,无穷的时间,无边的空间以及时间空间中无数可能的个体既然都是大自然管辖下的王国,那么个体对于大自然就没有什么价值了,也不可能有什么价值。因此大自然也总是准备着让个体凋谢死亡。据此,个体就不仅是在千百种方式上由于极微小的偶然契机而冒着死亡的危险,而是从原始以来压根儿就注定要死亡的;并且是从个体既已为种族的保存尽了力的那一瞬起,大自然就在亲自把死亡迎面送给个体。由于这一点,大自然本身就很率直地透露了这一重大的真理:只有理念而不是个体才真正有真实性;即是说只有理念才是意志的恰如其分的客体性。于是,人既然是大自然本身,又在大自然最高度的自我意识中,而大自然又只是客体化了的生命意志;那么,一个人要是理解了这一观点并且守住这一观点,他诚然可以由于回顾大自然不死的生命,回顾他自己就是这自然而有理由为他[自己]的和他朋友的死获得安慰。因此,挂上棱迦的僖华就应该这样来理解,那些古代的棺椁也应该这样来理解。那些古代棺椁似乎是以它们那些灼热的生命情景在高声对伤感的参观者说:“大自然是哀怨不能入的。”

    至于所以要把生殖和死亡看作是属于生命的东西,看作意志的这一现象的本质上的东西,也是由于这两者在我们看来都只是其他一切生命所由构成的[一件事]的加强表现。这[件事]始终不是别的什么,而是形式恒存之下的物质变换,这就正是种族永生之下的个体生灭。[身体上] 经常的营养和再生只是在程度上有所不同于生殖,经常的排泄也只是在程度上有所不同于死亡。前者从植物身上来看最是简单明了。植物始终只是同一种冲动的不断重复,只是它那最简单的纤维的不断重复,而这些纤维又自行组合为枝与叶。它是一些雷同而互相支持的植物[质] 的一个有系统的聚合体,而这些植物[质]的继续再生也是它们唯一的冲动。植物借助于形态变化的阶梯逐渐上升到这一冲动更充分的满足,最后则达到花和果,它的生存和挣扎的总结果。在这总结果中,植物经由一条捷径达到了它唯一的目标,在一反掌之间千百倍地完成了它前此殊积寸累所寻求的[目的]:这植物自身的再孳生。植物结出果实的勾当对于它自身再掌生的关系就等于铅字对印刷的关系。在动物显然也是同样一回事。吸收营养的过程就是一种不断的孳生,孳生过程也就是一种更高意味的营养;而性的快感就是生命感一种更高意味的快适。另一方面,排泄或不断抛弃物质和随呼吸而外吐物质也就是和生殖相对称的,更高意味的死亡。我们在这种情况之下既然总是以保有身体的形式为已足,并不为抛弃了的物质而悲伤;那么,当这种同样的情况,天天,时时分别在排泄时所发生的情况,又在更高的意味上毫无例外地出现于死亡中的时候,我们就应该采取和上面同样的态度。对于前一情况我们既然漠不关心,那么对于这后一情况我们也不应该战栗退缩。从这一观点出发,一个人要求延长自己的个体也是不对头的。自己的个体由其他个体来替代,就等于构成自身的物质不断由新的物质来代替。把尸体用香料油胶浸透也同样是傻瓜,这正象是把自己的排泄物密封珍藏起来一样。至于束缚在个人肉体上的个人意识[也]是每天被睡眠完全中断了的。酣眠每每可以毫无痕迹地转为死亡,譬如在沉睡中冻毙就是这样的[情况]。沉睡正在继续的当时是和死没有分别的;分别只是就将来说的,即只是就醒后的方面说的。死是一种睡眠,在这种睡眠中个体性是被忘记了的;其他一切都要再醒,或者还不如说根本就是醒着的。

    首先我们必须认识清楚:意志显现为现象的形式,亦即生命或实在的形式,真正说起来只是现在,而不是未来,也不是过去。过去和未来都只在概念中有之;在认识服从根据律的时候,过去和未来也只在认识的联带关系中有之。没有一个人曾是在过去中生活的,也决不会有一个人将是在未来中生活的;唯有现在是一切生命、生活的形式,不过也是生命稳有的占有物,决不能被剥364夺的。[有生命、就有现在。]现在[这形式]和它的内容一起,是常在的,双方都站得稳,并无动摇,犹如彩虹在瀑布上一样。这是因为生命为意志所稳有,所确保,而现在则为生命所稳有,所确保。诚然,如果我们回想已经过去了的几十个世纪,回想在这些世纪中生活过的亿万人们,我们就会问这些人又是什么呢?他们已变成了什么呢?——不过我们对于这些问题只能回忆我们自己过去的生活,只能在想象中生动地重温那些情景,然后再问:这一切是什么呢?我们过去的生命变成了什么呢?——和这一样,那亿万人的生命也是如此。难道我们应该认为这种过去,由于死亡已给贴上了封条就获得了一种新的生存吗?我们自己的过去,即令是最近的过去,即令是昨天,已经就只是想象的虚空幻梦;那些亿万人的过去当然也是同样的东西。过去的是什么?现在的又是什么?——是意志,而生命就是反映意志的镜子;是不带意志的认识,而认识又在这面镜子里清晰地看到意志。谁要是还没有认识到或不想认识这一点,他在问过已往若干世代的命运之后,必然还要加问:为什么恰好他,这个提问的人,有着这样的幸运占有这宝贵的、飘忽的、唯一实在的现在呢?当那好几百代的人们,那些世代所有的英雄们和哲人们都在这过去的黑夜里湮沉,从而化为乌有的时候;可是他,他那渺小的我为什么又实际地还在着呢?——或者更简短些,当然也更奇特些,还可以这样问:为什么这个现在,他的现在,却恰好现在还在着而不是也早就过去了呢?——当这提问的人问得如此奇特时,他是把他的生存和他的时间作为互不依存的来看,是把他的生存看作是投入在他时间中的。实际上他是假定了两个现在,一个属于客体,一个属于主体,而又对两个“现在”合到一起的幸遇感到惊奇。事实上却只有(如在论根据律那篇论文中已指出的那样)以时间为形式的客体和不以根据律的任何一形态为形式的主体[两者]的接触点才构成现在。但是就意志已变为表象说,则一切客体便是意志,而主体又是客体的对应物;可是真实的客体既只在现在中有之,过去和未来只含有概念和幻象,所以现在使是意志现象的基本形式,是和意志现象分不开的。唯有现在是常在而屹立不动的。在经验的体会中比所有一切还要飘忽的现在,一到别开了直观经验的形式的形上眼光之下就现为唯一的恒存之物,现为经院学派的常住现在。它的内容的来源和负荷者便是生命意志或自在之物,——而这些又是我们自己。凡是在既已过去或尚待出现之际不断生灭着的东西都是借现象的,使生灭有可能的形式而属于这种现象。那么人们就想到:“过去的是什么?过去的就是现在的。——将来的是什么?——将来的就是过去的”。人们说这些话的意味是严肃的,不是当作比喻而是就事论事来理解的。这是因为生命是意志所稳有的,现在又是生命所稳有的。所以任何人又可说:“一次以至无数次,我始终是现在[这东西]的主人翁,它将和我的影子一样永远伴随着我;因此我不惊疑它究竟从何而来,何以它恰好又在现在。”——我可以把时间比作一个永远转动着的圆圈:那不断下沉的半边好比是过去,不断上升的半边好比是将来,而[正]上面那不可分割的一点,亦即[水平]切线和圆周接触之处就好比是无广延的现在。切线不随着[圆圈] 转动,现在也不转动。现在是以时间为形式的客体和主体的接触点。主体没有任何形式,因为它不属于可认识的一类,而是一切[事物] 得以被认识的条件。又可说:时间好比是不可阻遏的川流,而现在却好比是水流遇之而分的礁石,但水流不能挟之一同前进。意志作为自在之物,它不服从根据律也不弱于认识的主体;而认识的主体在某种观点下最后还是意志自身或其表出。并且,和生命、意志自己的这一显现,是意志所稳有的一样,现在,生命的这唯一形式,也是意志所稳有的。因此,我们既无须探讨生前的过去,也无须探讨死后的将来。更应该作的倒是我们要把现在当作意志在其中显现的唯一形式来认识。现在不会从意志那里溜掉,不过意志当然也不会从现在那里溜掉。因此,要是如此这般的生命就满足了一个人,要是这个人在任何场合都肯定生命,他也就可以有信心把生命看作是无穷无尽的而把死亡的恐惧当作一种幻觉驱逐掉。这种幻觉把不适当的恐惧加于他,使他觉得他可终于要失去这现在,为他事先映现出一种其中并无“现在”的时间。在时间方面是这种幻觉,在空间方面又有另一种幻觉。人们由于这另一幻觉便在自己的想象中把自己正在地球上占据着的那一处当作上面,而所有其余的他处则看作下面。与此相同,人们都把现在紧扣在自己的个体性上,认为一切现在都是随个体性的消灭而消灭的,好象过去和将来都没有现在似的。可是[事实上] 在地球上到处都是上面,与此相同,现在也是一切生命的形式。为了死亡将剥夺我们的现在而怕死,并没有比人们以为他幸而是向上直立在圆圆的地球上,却怕从地球上滑跌下去更聪明些。现在这形式对于意志的客体化是本质上必需的。作为无广延的点,现在切断着向两端无限[延伸]的时间而屹立不动,好象永远继续是中午没有晚风生凉的黄昏一样:好比太阳本身不停地燃烧,只在人们看起来才象是沉入黑夜的怀抱中去了一样。所以,当人们把死亡看作自己的毁灭而恐惧时,那就不是别的,而是等于人们在想象太阳会在晚边哭诉道:“我糟了,我将沉沦于永久的黑夜了!”再说,反过来谁要是被迫于生活的重负,谁要是虽然也很想要生命并且肯定生命,但又痛恨生活的烦恼困苦,尤其是痛恨恰好落在他头上使他不想再继续忍受的苦命;这样一个人就不要想从死亡中指望解放,也不能以自杀而得救。黑暗阴森的地府所以能引诱他,是以骗人的假象把阴间当作停泊的无风港。地球自转,从白昼到黑夜;个体也有死亡;但太阳自身却是无休止地燃烧着,是永远的中午。尽管那些个体,理型的那些现象,是如何象飘忽的梦境一样在时间中生灭,生命意志总是稳保有生命的,而生命的形式又是没有终点的“现在”。——在这里,自杀行为在我们看来已经是一种徒劳的,因而也是傻瓜的行为;在我们的考察往前推进得更远时,自杀行为还要处于更不利的地位。

    教条更替而我们的知识也[常]失真,但是大自然却不会错。它的步伐是稳定的,它也不隐瞒自己的行径。每一事物都完全在大自然之中,大自然也完全在每一事物之中。在每一动物中大自然有着它的中心:动物既已妥当地找到进入生存之路,正如它还将妥当地找到走出生存之路一样。在生存时,动物是无忧无虑地生活着,没有毁灭的恐惧;意识着它就是自然,和自然一样是不灭的,它是被这种意识所支持的。唯有人在他抽象的概念中常怀着自己必然会死[的忧虑]。好在[想到] 这种必然性,并不是常有的事,只在个别的瞬间由于某种起因而使将来的死活现于想象之前的时候,才使人们有所优惧。在大自然的强大气势之前,反省思维的能为是微小的。在人和在不思维的动物一样,都有一种内在的意识:意识着他即自然,即是世界本身。从这一意识中所产生的安全感,在人和动物都是常态而占着压倒的优势。因为有这一安全感,所以没有一个人在想到必然要来的,为期也决不太远的死亡时,就会怎么显著地使他不安;反而是每一个人都是这么活下去,好象他必须永远活下去似的。人们这样活下去,竟至于没有一个人对于自己必死的真确性真有一种鲜明活现的深信,否则这个人的情绪同判处极刑的罪犯的情绪就不能有这么大的区别;而是每人固然在抽象的一般性中,在理论上承认死的必然性,可是他这种必然性和实际上无法应用的其他理论上的真理一样看待,放在一边,而不怎么把它放到自己现前的意识中去。谁要是好好注意到人类心灵的这种特点,他就会懂得要解释这一点,那些心理学上的说明方式,从习惯,从自安于无可避免之事[的心情]来说明是不够的;倒是应该说这种特点的根由还是上述那种更深刻的说法。用这同一根由还可以说明为什么一切时代,一切民族都有个体死后还有某种东西继续存在的信条,并且尊重这种信条,而不管肯定这一点的证据必然总是极不充分的,不管反面的证据又多又有力。其实,这一点的反面本不需要什么证据而是健全的悟性所公认为事实的,而作为事实,是由于确信自然既不会错又不撒谎,而是坦然呈现其作为和本质的,甚至是率真地把这些透露出来而得到保证的;同时只是我们自己由于幻觉而把这一点的反面弄糊涂了以便作出解释来适合我们有限的见识。

    至于我们现已在意识上弄明确了的,如意志的个别现象虽然在时间上起,在时间上止,但意志自身,作为自在之物,和时间上的起止是不相涉的;如一切客体的对应物,亦即认识着而永不被认识的主体,也是和时间上的起止无关的;又如有生命意志便稳有生命等等;这些都不能算到死后有继续的存在那类学说里去。这是因为意志作为自在之物看,和认识的纯粹主体这永恒的造物之眼一样,既说不上什么恒存,也说不上什么消逝;因为恒存与消逝都只是在时间上有意义的规定,而作为自在之物的意志和纯粹的主体都是超乎时间以外的。因此,个体(为“认识”的主体所照明的这一个别意志现象)的利己主义既不能从我们阐述过的见解中,也不能从他死后还有剩下的外在世界在时间上继续存在这种认识中,为这个体要无尽期的把自己保存下去的愿望找到什么营养和安慰。并且外在世界继续存在的说法正是上述那一见解的表现,不过是从客观方面,因而是从时间上来看的罢了。这是因为每人固然只是作为现象才是要灭亡的,在另一方面作为自在之物固然又是无时间的,亦即无尽的;但是他也只是作为现象才有别于这世界的其他事物;作为自在之物他仍是显现于一切事物中的那意志,而死亡又消除那隔离着人我各自的意识的幻觉:这就是[死后的] 继续存在。只有作为自在之物,每人才是不为死亡听触及的。在现象上,他的不为死亡所触及则和其余的外在世界的继续存在合一了。由于这一点所以那种内在的,只是感到的意识,意识到我们刚才使之上升为明确认识的[道理],固然如前所说,即令是对于有理性的生物也能防止死亡这个念头毒化他的生命,因为这种意识原是生命有勇气的根基,即是说只要这生物是面对着生命,全神贯注着生命,这股勇气就能维系一切有生之物屹立不坠,使之朝气蓬勃的活下去,好象没有死亡这回事似的;然而,这并不是说当死亡个别地在现实中或只是在想象中出现于他眼前而不得不加以正视的时候,有了这种意识就能防止个体不为死的恐惧所侵袭,不去想方设法逃避死亡。这是因为当个体和他的认识一直在向往着生命之为生命时,必然会看到生命中的常住不灭;而在死亡出现于他眼前时,死亡本来是什么,他同样也不能不把死亡就看作什么,也就是看作个别现象在时间上的终点。我们怕死决不是因为死中有痛苦,一方面,痛苦显然是在死前这一边的;一方面,我们正是每每为了躲避痛苦而投奔死亡。反过来也是一样:尽管死是迅速而轻快的,然而只要能多活一会儿,我们有时候宁可承担可怕的痛苦以躲避死亡。因此我们是把痛苦和死亡分作两种完全不同的坏事来看的。我们所以怕死,事实上是怕个体的毁灭,死也毫无隐讳地把自己表现为这种毁灭。但个体既是在个别客体化中的生命意志自身,所以个体的全部存在都要起而抗拒死亡。——感情既这样陷我们于无救助之地,于是理性又可出现而克服一大部分在感情上令人不快的印象;因为理性已把我们抬举到一个较高的立场了,在这立场上我们的眼光所及,从此就不再是什么个别的而是总体的整个[问题]了。因此,对于世界本质的这种哲学上的认识本身,既已达到我们这考察现在所达到的这一点,不过还没再向前进的时候,站在这[较高]立场上就足以克服死的恐怖了。至于克服到什么程度,则随反省的思维在既定个体中对于直接的感受能占有多大的优势而定。要是一个人把前此阐述过的那些真理都已吸收到他的思想意识中去了,同时又并没有由于自己的经验或什么更深的见解而认一切生命基本上都是持续不断的痛苦,却是在生活中有了满足,在生活中过得十分如意,在他平心静气考虑的时候还希望他的一生又如他所经历的那样无限延续下去或重复又重复;他还有那么大的生活勇气,以致为了生活上的享受宁愿且乐于附带地忍受一切烦恼和痛苦;那么,这样一个人就是以“坚强的筋骨”屹立在搓得圆圆的、永恒的地球上了,他也没有什么要怕的东西了。他是由我们给他的认识武装起来的,他毫不介意地迎着在时间的双翼上急驰而来的死亡看去,把死亡当作骗人的假象,无能为力的幽灵,可以骇唬弱者但无力支配那些知道自己即意志的人们,而整个世界就是这意志的客体化或意志的写照。因此,他在任何时候都稳有生命,也稳有现在——意志现象这唯一真正的形式。因此,无限的过去和将来都不能骇倒他,他似乎并不在过去未来中;他已把这些过去未来看作虚幻的戏法和摩耶之幕了。所以他无所惧于死亡,正如太阳无所畏于黑夜一样。——在《婆诃华·佶多》中被克利希纳置于这一立场上的是他未经考验的门徒阿容。阿容看到大军(类似克赛尔克斯的大军)准备接战,忽为哀感所乘,踌蹰欲罢战以免万千军士生灵涂炭。克利希纳当即以上述立场教导了阿容,于是万千军士的战死沙场再不能阻止阿容了,他发出了战斗的命令。——歌德的《普罗米修士》也意味着这一立场,尤其是在普罗米修士这样说的时候:

    “在这儿,我坐着,

    按自己的形象塑造人。

    人这个族类,

    要痛苦,要哭泣,

    要享乐,要欢愉。

    在我,这都一样,不相干。

    不管你这些——

    那就是我!”

    还有普禄诺和斯宾诺莎两人的哲学也可能把一个人带到这一立场上来,要是这个人信服真理而不为这两种哲学的错误和缺点所干扰或削弱的话。普禄诺的哲学中本来没有什么真正的伦理学,而斯宾诺莎哲学里的伦理学虽然值得称道,也写得很好,可是又根本不是从他那哲学的本质出发的,而是借一些无力的,随手拈来的诡辩粘附在他学说上的。——最后,大概还有许多人,只要他们的认识和他们的欲求齐头并进的话,即是说如果他们能够排除一切妄觉把自己弄个清楚明白的话,也可能站到上面指出的这种立场上来:因为从认识方面来说,这就是完全肯定生命意志的立场。

    意志肯定它自己,这就是说:当它自己的本质已完全而明晰地在它的客体性中,亦即在世界和生命中作为表象而为它所知悉的时候,这一认识毫不碍于它的欲求,反而是这样被认识了的生命正是作为这样的生命而为它所欲求;不过前此是没有认识的,只是盲目的冲动,现在却是有了认识,是意识的,经过思考的了。与此相反,如果说欲求,因为有了这种认识,就终止了,那就会出现生命意志的否定。因为这时已不再是那些被认识了的个别现象在作为欲求的动机而起作用,而是那整个的,对世界的本质——这世界又反映着意志——从理念的体会中生长起来的认识成为意志的清静剂,意志就这样自愿取消它自己。我希望这些全未经认识过的,一般说来难以理解的概念,通过下面即将接下去就要说明的一切现象,——这里是指行为方式的说明——,就会明确起来。在这些行为方式中,一方面表现出各种程度上的肯定,另一方面也表现出否定。这是因为肯定否定双方虽然都是从认识出发的,却不是从语言文字表出的抽象认识而是从一种活生生的认识出发的。这种活生生的认识仅仅只在举止行动中表现出来,不依赖什么教条。与此同时,教条作为抽象认识是理性所从事的东西。唯有把肯定和否定双方都表述出来,并使之成为理性上明确的认识才能是我的目的,而不是要把肯定或否定的某一方式当作[行为]守则写下来或加以推荐。后面这种做法是既愚蠢又无意义的,因为意志本身根本就是自由的,完全是自决的;对于它是没有什么法度的。——不过这种自由和这自由对必然性的关系是我们进入上述分析之前必须首先加以讨论的;然后,生命的肯定和否定既是我们的问题所在,所以又还要对生命作一些一般性的,有关意志及其客体的考察。通过这一切之后,我们要按行为最内在的本质而如[我们]所企图的,认识到行为方式的伦理意义,那就容易多了。如前所说,整个这一本书,既只是一个单一思想的展开,那么,由此得出的结论便是:本书不仅是每一部分只对贴前的部分有必然的关系,而是一切部分都相互有着最亲密的关系;[本书]不同于所有那些只是由一系列推论构成的哲学,因这[推论的]必然关系首先就只假定贴前的部分是读者所记忆的。[我们则不然,]却是全书的每一部分都和其他任何一部分相贯通而又以之为前提的。既是这样,所以[我们]才要求读者不单是记住贴前的那部分,而是要记住前此的每一部分,以便他不管中间隔着若干东西仍然能够把前此任何一部分联系到每次当前的这一部分上来。这也是柏拉图对他的读者曾经有过的一个指望,因为他那些对话录常是盘根错节远离本题思想路线的,每每要在冗长的插曲之后才能再口到主题思想,[不过]主题思想却正是由此而更显豁了。在我们这里,这种指望[也]是必要的,因为在这里要把我们的这单一思想分为若干部分来考察虽是传达这一思想的唯一方式,但在思想本身上这并不是本质上重要的东西,而仅仅只是一种方便的手法。——把这单一思想分在四篇里作为四个主要观点,把相近似的,性质相同的东西细心联在一起,这会有助于减轻论述的困难和理解这一论述的困难。不过这一题材根本不容许象[写]历史那样直线前进,而是要迂回错综地来阐述的,这就使本书有重复阅读的必要了。也只有这样,每一部分与其他部分之间的联系才会明显,然后全书所有各部分才会交相辉映,才得以完全明白。

    意志作为它自身是自由的。这一点,从我们把意志看作自在之物,看作一切现象的内蕴,已可推论出来。现象则与此相反,我们认为它一贯是在根据律的四种形态之中服从根据律的。并且我们既知道必然性和后果来自已知的原因彻底是同一回事,是可交替使用的两个概念;那么,凡是属于现象的一切,也就是对于作为个体而认识着的主体的客体,一面都是原因,另一面又都是后果;而且在作为后果的这一属性中又必然是一贯被决定的,因而[这客体] 是什么就得是什么,不能[ 既是什么] 又是别的什么。所以大自然的全部内容,它所有的一切现象都是必然的;每一部分、每一现象、每一事态的必然性都是可以证验的,因为每次都必然有其原因可寻,都是作为后果而依存于这原因的。这是不容有任何例外的,是随根据律的无限妥当性而俱来的。但是另一方面,在我们看来,这同一个世界在它所有的一切现象中都是意志的客体性,而这意志自身既不是现象又不是表象或客体,而是自在之物,所以也不是服从根据律的,不服从一切客体所具的这个形式,所以不是由一个原因所决定的后果,所以不知有什么必然性。这就是说意志是自由的。因此自由这概念其实是一个消极的否定的概念,因为这概念的内容只是必然性的否定,也就是根据律上后果对其原因这一关系的否定。在这里,一个巨大矛盾的统一点——自由和必然的统一——就非常清楚地摆在我们面前了。关于这一矛盾,近来也常讨论过,可是据我所知却是从来也没有明确而适当地谈过[ 这一问题]。[其实,]任何事物作为现象,作为客体,都彻底是必然的;而同一事物自在的本身却是意志,意志永远是完全自由的。现象,客体,是必然的,是在因果链中不容变更地被决定了的,而因果链又是不能中断的。可是这客体的整个现实存在,这存在的方式,也就是理念,在客体中透露出来的理念,却直接就是意志的显现。换句话说,这客体的特性直接就是意志的显现。如果[只]就意志的自由这一面说,这客体根本就可以不进为现实存在,或原来就可以在本质上完全是些别的什么,那末,这整个的因果链,它自身既然也是这意志的显现,而这客体又是它的一个环节,也就会是另一个因果链了。但是这客体既已存在,既已育了它,它就已经进入因果系列了,就在这系列中永远被决定为必然的了;从而它既不能再成为别的什么,即是说不能[临时]又变,也不能再退出这个系列,就是说不能又化为乌有了。人,和大自然的任何其他部分一样,也是意志的客体性,所以这里所说的一切对于人也是有效的。大自然中每一物都有它的一些力和物性,这些又在一定的作用之下起一定的反应而构成每一物的特性。与此相同,人也有他的性格,而动机又以必然性而从这性格中导出行为。人的验知性格就是在这行为方式中显露出来的,但人的悟知性格,意志的自身,又是在验知性格中显露出来的,而人就是这意志自身的被决定了的现象。不过人乃是意志最完善的现象,这现象为了要存在,如在第二篇里所指出的,就必须为这样高度的认识所照明,即是说在这认识中,甚至要在表象的形式下完全恰如其分地映写出世界的本质。这就是说理念的体会,世界的镜子,也成为可能了,有如我们在第三篇里已认识到这种写照一样。所以说在一个人里面,意志能够达到完整的自意识,能够明确而彻底地认识到它自己的本质以及这本质是如何反映在整个世界中的。真正具备了这样高度的认识,如我们在前一篇里所看到的那样,乃是艺术所从出[的源泉]。不过在我们全部考察的末尾,当意志把这一认识应用到它自己身上时,在它最完善的现象中还可出现意志的取消和自我否定的可能性;于是,原来在现象中决看不到的,只是自在之物所专有的自由,现在也出现于现象之中了。当这“自由”取消了现象所本的那本质,而现象却还在时间上继续存在的时候,就造成了现象和它自己的矛盾,由此又恰好表出了神圣性和自我否认的事象。可是所有这一切只能到本窟的末尾才能完全理解清楚。——目前只是在这里概括地提一下人如何由于自由,也就是由于独立于根据律之外而不同于意志的其他一切现象。这种自由或独立性原来只是属于作为自在之物的意志的,并且是和现象相凿枘的;然而在人,自由却能在某种可能的方式之下也在现象中出现,不过这时的“自由”就要必然自呈为现象的自相矛盾。在这一意义上,就不仅只有意志自在的本身,甚至人也诚然可以称为自由的,从而得以有别于其他一切生物。如何来理解这一点,那只有借助于后文的一切才能明白,目前我们还只能完全置之不论。这是因为我们首先还要防止一种谬论,这种谬论以为个别的,一定的人的行为是不在必然性的支配之下的;而所谓不在必然性的支配之下就是说机动的力量不如原因的力量或从前提推得的结论那么可靠。作为自在之物的意志的自由,如已说过,要是不计入上述那种只是例外而有的情况,决不直接转入现象;即令这现象已达到最高度的明显性,即是说即令是在具有个性的有理性的动物,在具有人格的人,意志的自由也不转入现象。这人格的人尽管是自由意志的一个现象,他却决不是自由的,因为他正已是被意志的自由欲求所决定的现象了。并且当人格的人进入客体的形式,进入根据律时,他固然是把意志的单一性发展为行为的多样性了,但是由于欲求自身超时间的单一性,行为的多样性仍然以一种自然力所有的规律性自行表现出来。不过,既然在人格的人和他的全部行事中所显现出来的究竟是那自由的欲求,而这欲求对全部行事的关系又等于概念对定义的关系,那么,人格的人的每一个别行动也就要算在自由意志的账上了,个别行动直接对于意识也是这样表出的。因此,如在第二篇里已说过的,每人都先验地(在这里是按他原来所感的说的)认为自己的个别行为也是自由的,这即是说在任何一个现成情况之下不拘任何行动都是可能的;惟有后验地,从经验中和对经验的反省思维中,他才认识到他的行为必然完全是从性格和动机的合一中产生的。由于这一点,所以每一个最粗犷的人都要按他自己所感到的而激烈地为个别行为的完全自由辩护;但一切时代的大思想家,甚至有些意义较为深远的宗教教义却都否认这种自由。可是谁要是明白了人的全部本质就是意志,人自己就只是这意志所显现的现象;又明白了这现象有着根据律为它必然的,从主体方面即可认识的形式,而这形式在这里又是作为动机律而形成的;那么,他就会觉得在已有的性格和眼前的动机之下来怀疑一个行动一定要发生的必然性,就等于是怀疑三角形的三内角之和等于两直角。——朴内斯特列在他著的《论哲学上的必然性》一书中很充分地阐明了个别行动的必然性;不过这必然性又是和自在的,亦即现象以外的意志自由并存的,则直到康德提出了悟知性格和验知性格之间的区别时才得到证实*。这是康德的重大贡献,我完全接受他所作的这种区分;因为悟知性格在一定程度上出现于一定个体中时,就是作为自在之物的意志的;而验知性格,当它既在行为方式中而从时向上,又在形体化中而从空间上呈现的时候,就是这儿出现的现象它自己。为了使两者的关系易于理解,最好还是采用序论中就已用过的说法,即是说把每人的悟知性格看作超时间的,从而看作不可分的不可变更的意志活动;而这意志活动在时间、空间和根据律的一切形态中展开了的,分散了的现象便是验知性格;譬如在一个人的全部行为方式中和一生的过程中随经验而呈现的就是这验知性格。[例如]整个的一颗树只是同一个冲动在不断重复着的现象;这一冲动在纤维里表现得最为简单,在纤维组合中则重复为叶、茎、枝、干;在这些东西里也容易看到这一种冲动。与此相同,人的一切行事也是他的悟知性格不断重复着的,在形式上有着变化的表现;[我们]从这些表现的总和所产生的归纳中就可得到他的验知性格。——此外,我在这里不打算改头换面地重复康德的杰出论述,而只是假定它为众所周知的就算了。

    我在1840年获奖的那篇论文里曾透彻而详尽地论述过意志自由这重要的一章,并且我特别揭露了一种幻觉的根由,由于这种幻觉人们每以为可以在自我意识中发现一种经验提供的意志绝对自由,即一种不受制于内外动机的绝对自由,把它当作自我意识中的事实。当时有奖征文正是很明智的针对这一点而发的。因此,我既已为读者指出这篇论文和与此一同发表的《伦理学两个基本问题》那篇获奖论文的第十节,现在我就把[本书]第一版在这个地方对意志活动的必然性所作尚欠完善的论述删掉,而要用一个简短的分析来解释上述的幻觉以代替删去的部分;不过这一分析是以本书第二卷第十九章为前提的,所以未能[早]在上述获奖的论文中提出。

    原来意志作为真正的自在之物,实际上是一种原始的独立的东西,所以在自我意识中必然也有一种原始性的,独断独行之感随伴着这里固已被决定的那些意志活动:别开这一点不论,[单是]从第二卷第十九章,特别是第三点所述智力对意志所处的那种分立而又从属的地位中,也产生一种经验的意志自由(不是专属于意志的超验的意志自由)的假象,亦即个别行为也有自由的假象。原来[人的]智力只在事后从经验上才获悉意志所作出的决定,因此正在选择未定的当时,对于意志将如何决定,智力并无[判断的]资料。这是因为悟知性格并不落到智力的认识中来,而在动机既具时,由于这悟知性格[的性能]就已只能有一个决定了,从而也就是一个必然的决定了。只有验知性格,由于它的个别活动,才是智力所得以次第认识的。因此,在这认识着的意识(智力)看来,在一个当前的场合意志似乎有同样的可能来作出相反的两个决定。这种说法正等于一根竖着的杆子在失去平衡而开始幌动时,人们说:“这杆子可以向右,也可以向左倒下。”但是这个可以只有一种主观的意义,实际上只是说“从我们所知的资料看”[杆子可以向左或向右倒下];因为在客观上[这杆子]一开始倾斜的时候,下跌的方向就已必然的被决定了。因此,[人]自己意志的决断也只是在这意志的旁观者,自己的智力看来才不是被决定的,同时只是相对地在主观上,也就是对认识的主体说才不是被决定的。与此相反,在决断自身和在客观上,在摆在眼前的每一选择当前如何抉择,是立即被决定了的,必然的;不过这种决定性只是由于继起的抉择才进入意识罢了。我们甚至还可为这一点获得一个经验上的例证,例如:当我们已面临一个困难而重大的选择时,还需要一个尚未出现而只是可望出现的条件[才能作出决断],以致我们在目前还不能有所作为而不得不暂取消极的[观望]态度。这时我们就考虑如果容许我们自由行动而作出决断的那些情况出现了,我们会怎样下决心[的问题]。在一些[可能的]抉择中,一般是理性上有远见的考虑会要为某一决心多说些帮衬的话,而直接的嗜欲好恶又要为另一决心多说些好话。当我们还在被迫采取消极[观望]态度时,看起来很象理性方面会要占优势似的;不过我们也能预见到当行动的机会到来时,另外那一方面将有多大的吸引力。在这机会未到来以前,我们使劲用赞成和反对的冷静思考把双方的动机放在光线最强的焦点上,以便每一方面的动机都能以它全部的威力影响意志,以便时机一到不致由于智力方面考虑的不周而误导意志于歧途。不致使意志作出倘是在一切[动机]平衡地起作用时不会作出的决断。但是这样明确地把方向相反的动机展示出来已经就是智力在作选择时所能做的一切了。至于[人自己]真正的决断,智力也只能以一种紧张的好奇心消极地静待其出现,正如一个人的智力是这样去看别人的意志的决断一样。因此,在智力看来,从智力的立足点出发,[理欲]双方的决断必然是有同等可能性的,而这就正是经验上的意志自由这一假象。在经验上,一个决断诚然完全是作为一件事的最后分晓而进入智力的领域的,但是决断还是从个体意志的内在本性中,从悟知性格在意志和当前动机的冲突中产生的,从而也是以完整的必然性而产生的。这时,智力除了从各方面鲜明地照亮一些动机的性质之外,再不能有所作为。智力不能决定意志本身,因为意志本身,如我们所看到的,完全不是智力所能达到的,甚至不是智力所能探讨的。

    如果一个人在相同的情况之下能够这一次是这样做,而另一次又是那样做;那么,他的意志本身必然是在这两次之间已经变了,从而意志也就必然是在时间中的了,因为只有在时间中才有“变”的可能。如果真是这样,那么,要么是意志即一种现象,要么时间即自在之物的一个属性。依此说来,则有关个别行为是否自由的争论,有关不受制于内外动机的绝对自由的争论围绕着的[问题]就只是意志是否在时间中的问题了。如果意志是自在之物,超乎时间和根据律的每一形式之外,正如既有康德的学说,又有我的全部论述把它肯定为必然如此的那样;那么,不仅是每一个体必然要在同一情况之下经常以同样的方式行动,不仅是每一恶行都是这一个体必然要做而不能自禁的无数其他恶行的可靠保证,而且是如康德所说的,只要验知性格和动机全部都是已知的,则人在将来的行藏动静也就可以和日蚀月蚀一样的事先计算出来。和大自然忠于自己的原则而有一贯性相同,[人的]性格也是如此。每一个别行为必须按性格而发生,和每一[自然]现象必须按自然律而出现是一样的。如在第二篇里已指出过的,自然现象中的原因和行为中的动机都只是一些偶然原因。意志,它的显现既是人的全部存在和生命,就不能在个别场合[又]否定它自己;并且凡是人整个儿要的是什么,那也永远将是他在个别场合所要的。

    主张经验的意志自由,主张不受制于内外动机的绝对自由,这和人们把人的本质放在灵魂之中有着密切的联系。这种灵魂似乎原本是一个认识着的东西,真正说起来还要是一个抽象地思维着的东西,并且是因此然后才也是一个欲求着的东西。这样,人们就把意志看成第二性的了;而其实呢,认识倒真是第二性的。意志甚至于被看作一个思维活动而等同于判断;在笛卡儿和斯宾诺莎那里就是这样的。根据这种说法,任何人之所以是他,是由于他的认识然后才成为他的。他是作为道德上的零而来到这世间上的,是在世上认识了事物之后,然后才作出决定要成为这,要成为那.要这样作,要那样作的。他还可以由于新的认识又抓住一种新的行为方式,也就是说又变为另一个人。再进一步,照这种说法看来,人将首先把一个东西认为是好的,因为有了这认识才要这东西;而不是他先要这东西然后才说它是好的。从我全部的基本观点看来,这一切说法都是把实际的关系弄颠倒了。意志是第一性的,最原始的;认识只是后来附加的,是作为意志现象的工具而隶属于意志现象的。因此,每一个人都是由于他的意志而是他,而他的性格也是最原始的,因为欲求是他的本质的基地。由于后加的认识,他才在经验的过程中体会到他是什么,即是说他才认识到自己的性格。所以他是随着,按着意志的本性而认识自己的;不是如旧说那样以为他是随着,按着他的认识而有所欲求的。按旧说只要他考虑他最喜欢是如何如何,他便是如何如何了:这就是旧说的意志自由。所以旧说[的旨趣]实际上是在说:在认识之光的照耀下,人是他自己的创造物。我则相反,我说:在有任何认识之前,人已是他自己的创造物;认识只是后来附加以照明这创造物的。因此,人不能作出决定要做这样一个人,要做那样一个人,也不能[再]变为另一个人;而是他既已是他,便永无改易,然后,逐次认识自己是什么。在旧说,人是要他所认识的[东西];依我说,人是认识他所要的[东西]。

    古希腊人把性格叫做“埃多斯”,又把性格的表现,亦即生习,叫做“埃德”。这两个词都是从“艾多斯”,亦即从“习惯”一词来的。他们所以选用这个词儿是要用习惯的有恒来比喻性格的有恒。亚里士多德说:“埃多斯(性格)这个词儿的命名是由艾多斯(习惯)来的,因为伦理学这个名称就是从‘习于是’来的。”(《大伦理学》第一卷第六篇第1186页,《倭依德摩斯伦理学》第1220页,《尼柯德摩斯伦理学》第1103页,柏林版)斯多帕阿斯曾引用过这样一句话:“芝诺的门徒把习惯比喻为生命的源泉,由此源泉产生个别行为。”(第二卷第七章)——在基督教的教义中我们看到由恩选和非恩选(《给罗马人的信》9,11—24)而来的命运注定说。这一信条所从出的见解显然是:人不自变,而他的生活和行藏,亦即他的验知性格,都只是悟知性格的开展,只是固定的,在童年即可认识的,不改变的根性的发展。这就好象是人在诞生的时候,他一生的行事就已牢固地被决定了,基本上至死还是始终如初的。对于这一点我们也表示同意,不过有些后果是从这种完全正确的见解和犹太教原有的信条两者的统一中产生出来的,这就发生了最大的困难,出现了永不可解的戈第安无头死结。教会里绝大部分的争论就是围绕这一死结而进行的。这样一些后果诚然不是我想承担出头来主张的。为了解决这一问题,即使是使徒保罗本人曾设了一个制钵匠的比喻,也未见得他就真是成功了,因为即令他是成功了,那最后的结果仍不外是:

    “敬畏诸神罢,

    [你们]人类!

    神们握着统治权

    在它们永恒的两手。

    它们能够——

    要如何,便如何!”

    可是这样一些考察本来就和我们的题材不相于,更符合我们日的的倒是应对性格和它的一切动机所依存的认识两者之间的关系作几点说明。

    动机既然决定性格的显现,亦即决定行为,那是通过认识这个媒介来影响性格的。但认识是多变的,常摇摆于正误之间,不过一般总会在生活进程中逐渐得到纠正的,只是纠正的程度不同罢了。那么,人的行为方式也就可以有显著的变化,只是人们无权由此推断人的性格也变了。凡是人在根本上所欲求的,也就是他最内在的本质的企向和他按此企向而趋赴的目标,决不是我们以外来影响,以教导加于他就能使之改变的;否则我们就能够重新再制造一个人了。辛乃加说得很中肯:“意欲是教不会的”。斯多噶派倡导“德性是可以教得会的”,但在这问题上辛乃加宁可把真理置于他[所推崇]的斯多噶派之上。从外面来的只有动机能够影响意志,但是这些动机决不能改变意志本身,因为动机只在这人[本来]是怎样的便是怎样的这个条件之下才能对他发生力量。所以动机所能做的一切一切,充其量只是变更一个人趋赴的方向,使他在不同于前此的一条途径上来寻求他始终一贯所寻求的[东西]罢了。因此,教导,纠正了的认识,也就是外来影响,固然能告诉他是在手段上弄锗了,从而使他又在完全不同于前此的途径上,甚至在完全不同于前此的另一对象上来追求他按自己的内在本质曾经追求过的目标,但决不能真正使他要点什么不同于他前此所要过的。前此所要过的保持一贯不变,因为他原就只是[这个“要”,]这欲求本身,否则就必须取消这欲求了。同时,那前者,也就是“认识”的可纠正性,从而也是行动的可纠正性,竟能使他在他企图达到他不变的目的时,可以一会儿是在现实世界,一会儿在幻想世界,并分别为之考虑手段。例如这目的是摩罕默德的天国,那么,要在现实世界达成这一目的就使用机智、暴力和欺骗为手段;要在幻想世界达成这一目的就用克己、公道、布施、朝拜圣城麦加为手段。但是并不因此他的企向本身就有了什么变更,至于他自己本身则更说不上什么变更了。尽管他的行为在不同时期的表现很不相同,但是他所欲求的依然完全如故。“意欲是教不会的。”

    要使动机发生作用,不仅需要动机已经具备,而且要求这动机是被认识了的:因为依前面曾提到过一次的经院学派一个很好的说法,“动机不是按其实际存在,而是按其被认识的存在而起作用的。”譬如说:要使某人的利己心和同情心的相互关系显露出来,单是这个人拥有些财富,看到别人的穷困,那是不够的;他还必须知道用他的财富可以为自己,又可以为别人做些什么;不仅是只要别人的痛苦出现在他眼前而已,他还必须知道什么是痛苦,当然也得知道什么是享受。当这个人第一次碰到这种机缘时,也许还不能如在第二次的时候那么透彻知道这一切;如果现在是机缘相同而他前后的作法不同,那么,尽管看来似乎前后都是那些情况,其实是情况已有所不同了,即是说有赖于他对此机缘的认识那一部分情况是已经不同了。——[一面是]对于真正实有的情况无所认识将取消这些情况的作用,另一面全是幻想的情况却也能和真实情况一样的起作用;并且不只是在个别的一次幻觉上,而是整个儿持久地起作用。例如说一个人已确确实实被说服了,深信做任何一件好事都会在来生得到百倍的善报,他这信心的功效和作用就会完全等于一张信用昭著的远期支票一样,并且他可以从这自私心出发而施舍,正如他在换了别的见解时又可从这自私心出发而取之于人一样。他并没有变。“意欲是教不会的。”在意志不变的时候,借认识对于行为的这种巨大影响,[人的]性格才得逐渐展开而现出它不同的轮廓。因此,年龄不同,性格也每每不同;随暴躁不驯的青年时代而来的可以是一个沉着的、有节制的壮年时代。特别是性格上的恶将要随年龄而更显著有力;不过有时候青年时代所沉溺的情欲后来又自动被驯服了;但这不过是因为后来又在认识上出现了相反的动机罢了。也是因为这一点,所以我们大家在“人之初”的时候都是天真无罪的,而这也不过是等于说我们自己和别人都不能[在那时]看到自己天性上的“恶”罢了。天性上的“恶”是有了动机之后才现出来的,而动机又是随着岁月[的增长]而被认识的。到我们[年高]在最后认识自己时,那已完全是另外一个自己,不同于我们先验地所认为的那个自己了,因而我们往往要为这个自己愕然一惊。

    懊悔的产生决不是由于意志已有所改变(那是不可能的),而是由于认识有了变化。凡是我曾一度欲求过的东西,就其本质和原来的意欲说,到现在也必然还是我所欲求的,因我自己就是这一意志,而意志是超乎时间和变化之外的。因此,我决不能后悔我所欲求过的,但很可以后悔我所作过的;因为我可以是被错误的概念所诱导而作出了什么与我的意志不相符合的事,而在[事后]有了较正确的认识时看透这一点就是懊悔。这不仅是对生活上的明智,对手段的选择,对目的是否符合我本意这种判断而言,而且也是对真正的伦理意义而言。例如我可以作出一些过分自私而不符合自己性格的行为,这就是误于夸大地想象自己所处的困难或别人的狡诈、虚伪、恶毒,或是误干燥之过急。而操之过急也就是未加考虑而行动,[行动]不是被在普遍性中明确认识了的动机所决定,而是被直观的动机,眼前的印象和这印象所激起的情

    感所决定。这些情感又如此激烈,以致我未能真正运用自己的理性;所以思考的回复在这里也只是纠正懊悔所从产生的那认识,懊悔也就每次都是以尽可能弥补往事而表现出来。不过也得指出有些人为了欺骗自己,故意安排一些操之过急的情况,而实际上却是些暗地里经过深思熟虑的行为。这是因为我们使用这样细腻的手法,并不在欺骗或奉承别的什么人,而只是为了欺骗和逢迎自己。——此外还可以发生和上述例子相反的情况:对别人的过分信任,对生活资料的相对价值认识不足,或是我已失去信心的某一抽象教条,都可以引导我做出一些事情较少自私而不符合自己的性格,这就又为我准备了另外一种懊悔。因此懊悔总是纠正对行动和本来意图之间的关系的认识。——单就意志要在空间上,也就是要只从形态方面来显示它的理念说,原已为其他理念所支配的物质就不免对这意志有所抗拒——在这里其他理念即各种自然力——,常不让这儿向明朗化挣扎的形态出落得完全纯洁,鲜明或优美。与此相同,要是意志单是在时间上,也就是只以行为显示自己,就又会在认识上碰到类似的阻碍。认识常不以正确的资料根据供应意志,从而行为的发生也就不能完全准确地与意志相符。这就导致懊悔。因此懊悔总是从纠正了的认识中产生的,而不是从意志的改变产生的;改变意志也是不可能的。至于对做过的事发生良心上的不安,这却一点也不是懊悔,而是对于认识到自己本身,亦即认识到作为意志的自己,所感到的痛苦。良心不安正是基于人们确知自己总还是有着原来的意志。假如意志改变了,那么良心不安也就只是懊悔了,从而良心不安也就自动取消了。这因为往事既然是表现着一个意志的某些面貌,假如作出那事的意志已不是懊悔者[现在]的意志,那么往事也就不能再唤起良心不安了。在更后面的地方我们还将详细阐述良心不安[的问题]。

    认识作为动机的媒介,虽不影响意志本身,却影响意志的出现为行为。这一影响,由于人禽的认识方式不同,就奠定了人类行为和动物行为之间的区别。动物只有直观的表象,人由于有理性还有抽象的表象——概念。人虽和动物一样都是以同等的必然性而为动机所决定的,然而人却以具有完整的抉择力而优胜于动物。这种抉择力也常被认作个别行动中的意志自由,其实这并不是别的什么,而是在几个动机之间经过彻底斗争过来的冲突的可能性,其中较强的一个动机就以必然性决定意志。不过要做到这一点,动机就必须具有抽象思维的形式,因为只有借助于这种形式才可能有真正熟虑的权衡,即是说才能衡量相反的理由而发为行动。动物则只能在直观地出现于眼前的动机之间进行选择,因此这选择也是局限于它当前直观觉知的狭窄范围之内的。所以由动机决定意志的这一必然性——这是和原因决定后果的必然性相同的——只在动物才可以直观地直接表达出来,因为在这里旁观者也直接目睹这些动机及其作用。在人可不是这样,动机几乎总是抽象的表象,是旁观者看不到的,甚至在行为者本人,动机起作用的必然性也是隐藏在动机间的冲突之后的。这是因为只有在抽象中才可能有好几个表象作为判断和推论联锁而并列于意识之中,不受一切的时间制约而相互影响,直至其中最强的一个压倒了其余的而决定意志为止。这就是完整的抉择力或熟虑的权衡能力。这就是人所以优越于动物的地方。人们就因这种权衡能力而把意志自由赋予人,误以为人的欲求是智力开动的结果,并不需要某种冲动作为智力的基地;而实际上却是动机只有在人的一定冲动的基础上,在人的一定冲动的前提下才有发动的作用。在人,这种一定的冲动是个别的,也就是[人各]有一性格。人们可以在《伦理学的两个根本问题》(第一版第35页起,第二版第33页起)中看到我已详细论述过这种熟虑的权衡能力和由此引起的人禽意向的不同,因此我在这里指出这一段作为参考。此外,人的这种熟虑权衡能力又是属于使人的生存比动物的生存更为痛苦的那些东西之内的,因为我们最大的痛苦根本不是作为直观表象或直接感受而存在于当前的东西,却是作为抽象的概念,恼人的思虑而存在于理性之中的东西;至于逍遥于这些之外的则是只在当前“现在”中生活的,从而也是在可羡的无忧无虑中生活的动物。

    上面已论述过人的权衡能力有赖于抽象中的思维能力,也就是有赖于判断和推理。既是使笛卡儿又是使斯宾诺莎走入迷途的好象就是这[“有赖于”的]依赖性,他们把意志的决断和肯定否定的能力(判断力)等同起来。笛卡儿由此引伸而认为不受制于动机的自由意志也要为一切理论上的谬误负责。斯宾诺莎又和他相反,认为意志必然被决定于动机,有如判断的必然被决定于根据。后面这一说法本来有它的正确性,却又是作为前提错误,结论正确[的推理]而出现的。

    前已指出人禽各自为动机所推动的方式不同,这种差别对于人禽双方的本质所发生的影响都很深远;而且双方的生存所以彻底而又显著的不同也大半是这一差别所促成的。当动物总是只从直观表象而具有动机时,人却努力要完全摆脱这种动机的作用而只以抽象表象决定自己。人由此得利用他理性上的特权以取得最大可能的优势;他摆脱了现在,他不是趋避眼前随即消逝的苦乐,而是考虑苦乐双方的后果。除开一些根本无多大意义的行动外,我们在绝大多数场合都是被抽象的,从思想中产生的动机所决定而不是被眼前印象所决定的。因此我们觉得只在眼前一时忍受任何个别的匮乏颇为轻易,而任何有意的刻苦却困难得可怕,因为前者只涉及转瞬即逝的现在,而后者却和此后的将来攸关,因而还包含着无数次的匮乏在内;有意刻苦就等于无数次的忍受匮乏。因此,我们苦乐的原因所在大半不是实际的“现在”而是抽象的思虑。这思虑才是常使我们难于忍受的东西,才是给我们制造烦恼的东西。动物界的一切痛苦和这种痛苦相比是微不足道的。我们也常因这种痛苦而不感到自己生理上的创痛。在我们有激烈的精神痛苦时,我们甚至于还制造一些肉体的痛苦;其所以如此,只是在于以此使我们的注意力从精神痛苦转移到肉体的痛苦上来。因此,人们在精神极度痛苦时要扯下自己的头发,要捶胸抓脸,要在地上打滚,而这一切无非都只是一种手段,用以驱散一个觉得难以忍受的思想。正因为精神痛苦比肉体上的痛苦要大得多而能使后者不被感觉,所以绝望的人或是被病中苦恼所折磨的人,即令他从前在舒适状态中一想到自杀这一念头就要颤栗退缩,现在却很容易濒于自杀。同一个道理,忧虑和伤感,也就是思想上的一些玩意儿,比肉体上的创痛更容易伤身,损害身体也更为严重。据此,厄披克德特说得对:“使人烦恼的不是事物本身,而是人们对于这事物的信念或意见。”辛乃加也说得好:“虚声恫吓我们的事物多于实际胁迫着我们的事物,并且我们在见解上感到痛苦的次数也多于在实际上感到痛苦的次数。”(《信札》第五篇)倭依仑斯壁格尔以自己上山时笑,下山时哭的做法也很中肯地讽刺了人的天性。还有孩子们在把自己弄痛了的时候,每每不是为着痛而哭,却是在人们对他表示怜爱时,为了由于怜爱唤起的痛这个思想而哭。在人的行为、生活和动物的行为、生活之间有着一些那么巨大的差别,那都是由于各自的认识方式不同而来的。此外,明确而坚定的个性之出现也是以在几个动机中唯有借抽象概念才可能作出的选择为先决条件的,这又是人类和几乎只有种性的动物之间的主要区别。原来只有在事先作出选择之后,在不同个体中各别作出的不同决断才是这些个体的个性之标志,这种个性也是人各不同的。可是动物的行为却只取决于眼前印象的有无,假定这印象对于这动物的族类本来就是一个动机的话。因此,就人来说,无论是对自己或对别人,最后唯有决断而不是单纯的愿望才是他的可靠标志。不过无论是就自己或就别人说,决断也只有通过行动才会固定下来。愿望则只是当前印象的必然后果,不管它是外来刺激的印象或内在情愫的飘忽印象,所以愿望是直接必然而未经考虑的,是和动物的动作一样的。因此,愿望也和动物的动作一样,只表现种性而不表现个性,即是说只提示凡是人可能做出什么,而不是说感到这愿望的这个人可能做出什么。实际行动既是人的行为,就总需要一定的考虑;又因为人一般都掌握着自己的理性而有冷静的头脑,即是说人是按思考过的抽象动机才作出决断的;所以唯有[实际行动] 是他行为上可悟知的最高规范的表现,是他最内在的欲求的结果,对于他的验知性格所处的地位等于一个字母对于一个词的关系;而他的验知性格又只是他的悟知性格在时间上的表现。因此,凡在神志健全的场合,使良心感到负担的是[人的]所作所为,而不是愿望和想念,只有我们的所作所为才把一面反映我们意志的镜子高举在我们面前。前面提到过全未经考虑的,真是在盲目激动中干出来的行动,在某种意义上是单纯愿望和决断之间的一种中介物,所以这样的行动可以由于真正的悔悟,不过也得是在行动中表现出来的悔悟,而从我们意志的写照中抹掉,好象抹掉画错了的一根线条似的;而这张写照就是我们一生的全部过程。——附带地作为一个奇特的比喻,在这里指出愿望和实际行动的关系同电的分布和电的传导的关系有着完全偶然的,但精确相当的类似性,可说是适得其所罢。

    对于意志自由和与此相关的问题作了这一整套的考察之后,我们随之而发现:自在的意志本身在现象之外固然是自由的,甚至可以说是万能的,但是这意志在它个别的,为认识所照明的那些现象中,亦即在人和动物之中,却是由动机决定的;而对于这些动机,每一各别的性格总是以同样的方式作有规律而必然的反应。至于人,我们看到他借后加的抽象认识或理性认识而以抉择力超出动物之上,可是这种抉择力只是把人变成了动机相互冲突的战场,却并没有使他摆脱动机的支配。因此,这抉择力固然是个性得以完全表出的条件,却并不是个别欲求的什么自由,即是说不能作为对于因果律的独立性来看,因果律的必然性是普及于人和任何其他一个现象的。于是理性或认识借概念而在人的欲求和动物的欲求之间造成的区别,也就止于上述这一点而已,不再超过一步。可是当人抛弃了在根据律之下对个别事物之为个别事物的全部认识,而借理念的被认识以看透个体化原理时,还可能出现完全另一种在动物界不可能有的人类意志现象。这时作为自在之物的意志专有的自由就有真正出现的可能了,由于意志自由的这一出现,现象就进入自我否定这一词所标志着的某种自相矛盾了,最后现象的本质自身也自行取消了,——意志本身的自由也在现象中有这种特有的、唯一直接的表现,这是在这里还不可能说清楚的,而是要到最后才是我们考察的对象。

    不过我们由于当前的剖析既已明确了验知性格的不变性,它只是超乎时间的悟知性格的开展;又已明确了行为是从悟知性格和动机的融合中产生的这一必然性之后,我们首先就得排除一种为了有利于邪恶嗜欲而很容易从这里引伸出来的推论。因为我们既要把性格看作超乎时间的,随而也是不可分的,不变的意志活动在时间上的开展或悟知性格在时间上的开展,而一切本质的东西,亦即我们生活行事的伦理含义又不可移易地被决定于悟知性格,且随之而必然要表现于悟知性格的现象中,表现于验知性格中;同时又只有这现象的、非本质的东西,亦即我们生活过程的外在结构,才是依赖动机得以表出的那一些形态的;那么,人们就可推论说:致力于性格的改善或为了抗拒那些邪恶嗜欲的力量而努力,就都要是徒劳的了,还不如屈从这种无法改变[的情况]更为适宜,对于任何嗜欲,即令是邪恶的,也要立即欣然相从了。

    ——可是这种说法和不可摆脱的命运之说有着完全相同的破绽,人们把由此作出的推论叫作“懒汉逻辑”,近些时又称为“土耳其人的信仰”。对于这一点的正确驳斥,据说是克利西波斯所提出的,也是西塞罗在《论命运》一书第十二章、十三章中曾加以阐述过的。

    虽然一切都可以看作是命运注定的,不容更改的,这也不过是由于原因的锁链[而如此]。因此没有一个场合可以肯定后果是没有它的原因而出现的。所以并非干脆就是这事态[本身],而是393这事态作为先行原因的后果,才是被决定的。所以命运所决定的不单是这后果而是还有那些中介物,即这后果注定是作为它们的后果而出现的中介物。那么,如果这些中介物不出现,则这后果肯定也不会出现。两者总是按命运的注定而出现,不过我们总要到事后才体会到这种注定罢了。

    如同事态总是随命运[的安排],也即是按无穷的原因链锁而出现一样,我们的作为也将总是按我们的悟知性格而发生的。但是和我们不能预知事态的出现一样,我们对于自己作为的发生也没有先验的理解;我们只是后验地,从经验上既认识别人又认识我们自己。随悟知性格而俱来的[理之当然],既然只有在对邪恶的嗜欲作过漫长的斗争之后我们才能作出一个善良的决断,那么,[在决断之前]这一斗争必须先行而静待其结局。对于性格的不变性,对于我们一切作为所从流出的源泉的单一性所作的反省思考,不可误导我们为了偏袒这一面或那一面就抢先在性格的决断之前[先有成见];在随斗争而继起的决断中我们自会看到我们是哪一种人,把我们的作为当作镜子照一照自己。从这里正可说明我们用以回顾已往生活历程的满意或内疚[情绪]。两者都不是从那些过去的作为还有什么实际的存在而来的;那些作为是过去了,是往事了,现在已不存在了。那些作为对于我们所以还有着巨大的重要性是从它们的意义上来的,是从那些作为是性格的写真,是反映意志的镜子,我们看这面镜子就认识我们最内在的自我,认识意志的内核[这些事实]上来的。因为这不是我们事先,而是事后才能经历到的,所以我们就得乘时挣扎斗争,以便使我们在看到我们用自己的作为织成的这幅写照告成时,会有最大可能的安慰而不是使我们惶恐悚惧。不过这种心安理得和神明内疚的意义,如已说过,还要在本文后面好远的地方才能探讨。在这里还有下列一个独立自成章片的考察。

    在悟知性格和验知性格之外,还有不同于这两种的第三种性格要谈一谈,这就是人们在生活中由于社会风习而具有的获得性格。人们在赞许一个人时说他有品格,或是在责备一个人时说他没有品格,那就是指获得性格而言。——虽然人们可能认为验知性格作为悟知性格的现象是不变的,并且和每一自然现象一样,在其自身都是前后一贯的,人也正因此总是必然要现为和自己等同的,前后一贯的,那么就没有必要由经验和反省思考而人为地来为自己获得一种性格了。可是事实却不如此,尽管人很可以经常是他自己,但他并不是时时刻刻都了解自己的,而是直到他在一定程度上获得了真正的自我认识为止,每每是把自己认错了的。验知性格作为单纯的自然冲动,其自身是非理性的。并且验知性格的外露还要受到理性的干扰,人越是有冷静的考虑和思维能力,干扰越是巨大。这是因为考虑和思维总是责以人作为种性根本应具有的是什么,责以人在欲求和事功中根本可能的是什么。这样一来,就使这人要借自己的个性而理解他从一切事物中唯一欲求的是什么,唯一能做的是什么,增加了困难。他发现自己对人类的一切企向和能力都有些禀赋,但这些禀赋在他个性中的不同程度却是他没有经验就不能明白的。并且即令他现在只抓那些单是符合他性格的一些企向,他,特别是在个别关头和个别情绪中还是会感到一种激动恰是指向相反的,因而是不能调和的企向;如果他要从事原来那些企向而不受干扰,就必然要压制后来感到的这些企向。这是因为我们在地面上所有物理性的道路总是一条线而不是一个面,在生活上也是如此;当我们要抓住而占有一条道路时,就必然要放弃左边右边的其他无数条道路而听之任之。如果我们不能对此下决心而是象孩子们在新年赶集似的,走到哪儿看见有趣的东西就想伸手,那就会等于是把一条线型的路变成一个平面那样的错误企图。那是走“之”字路,就如我们夜间随着磷火的闪光忽而这边,忽而那边,结果是哪儿也到不了。——或者另外用一个比喻:按霍布斯的法学所说,人对任何一物原来都有一份权利,但又是对任何一物都没有独占的权利;可是一个人仍可由于他放弃一切其他事物而获致一些个别的事物。别的人则又相反,他从这个人既已选定了什么这一方面出发也是同一个[取一舍万的]作法。在实际生活中就正是这样。我们在生活中也只有放弃一切不相干的要求,对一切别的东西弃权才能真正严肃地、幸运地追求任何一个一定的企图,不管所追求的是享受,是荣誉,是财富,是科学,是艺术或是美德。因此仅有欲求和才能本身还是不够的,一个人还必须知道他要的是什么,必须知道他能做的是什么。只有这样,他才显出性格,他才能干出一些正经事儿。在他未达到这个境界之前,尽管他的验知性格有着自然的一贯性,他还是没有性格。并且他虽整个地必然是忠于自己,必然要经历他的人生道路一直到底,他却是被自己的恶魔所牵制,他不会走一条笔直的路,他会要走一条左弯右拐的曲线,会要摇摆不定,走失大路,迂回转折,会要替自己准备懊悔和痛苦。这一切都是因为他事无巨细,都只看到自己眼前有这么许多人所能做,所能达成的东西,而不知道其中唯有什么是和他相称的,是他所能完成的,甚至不知道什么是他所能享受的。因此他会为了某种地位和境遇而羡慕一些人,其实这些都只是和那些人相称而不是和他的性格相称的,他果真易地而处,还会要感到不幸,甚至要忍耐下来也不可能。和鱼只有在水中,鸟只有在天空,鼹鼠只有在地下才感到舒适一样,人也只能在和他相适应的气氛里感到舒适;例如官廷里的那种空气就不是每一个人都能呼吸的。由于对这一切缺乏足够的理解,有些人就会去做各种会要失败的尝试;在个别场合对自己的性格施加压力,而整个的又仍必然要服从自己的性格。并且如果他是这样违背着自己的天性,即令他辛勤地达成了什么也不会使他有所享受,即令他学会了什么也依然是死的,[不能活用]。甚至在伦理方面的行为,如果不是由于一个人纯洁,直接的冲动,而是由于一个概念,一个教条而产生的,就他的性格说又是过于高尚的,那么这一行为就会由于后来自私的懊悔而在这个人自己的眼里也要丧失一切的功劳。“意欲是教不会的。”

    我们总要通过经验才体会到别人的性格没有可塑性;[可是]直到具有这体会之前,我们还幼稚地相信可以用合理的表象,用请求和恳祷,用榜样和高贵的品质随意使一个人背弃自己所属的类型,改变他的行为方式,脱离他的思想路线,甚至“增益其所不能”。同样,我们还相信对于自己也可以这样作。我们必须从经验学会认识我们欲求的是什么和我们能做的是什么。在没有认识到之前,这些是我们所不知道的,我们也就说不上有性格而常常要由外界的硬钉子把我们碰回到我们自己[原来]的轨道上来。——如果我们最后终于学会了认识这些,那么我们也就已经具有世人所谓品格的获得性格了。因此,具有获得性格就不是别的而是最大限度完整地认识到自己的个性。这是对于自己验知性格的不变属性,又是对于自己精神肉体各种力量的限度和方向,也就是对于自己个性全部优点和弱点的抽象认识,所以也是对于这些东西的明确认识。这就使我们现在能够通过冷静的思考而有方法地扮演自己一经承担而不再变更的,前此只是漫无规则地[揣摩]使之同化于自己的那一角色;又使我们能够在固定概念的引导之下填补自己在演出任务中由于任性或软弱所造成的空隙。这样我们就把那由于我们个人的天性本来便是必然的行为方式提升为明白意识到的,常在我们心目中的最高规范了。我们是这样冷静熟虑地按之而完成那些行为方式,就如我们是[重新]学会了这样作的似的;同时我们不会由于情绪上一时的影响或当前印象而搞错,不会由于中途遇到细微事故的苦恼而被阻,不会迟疑,不会动摇,不会没有一贯性。我们现在就再不会和新来的生手一样要等待,要尝试,要向周围摸索以便看到我们究竟欲求的是什么,能做的是什么;我们已是一劳永逸地知道了这些,我们在每次要作选择的时候,只要把一般命题应用到个别场合上,立刻就得出了结论。我们现在是在普遍性上认识了我们的意志,我们不再让自己被一时的情绪或外来的挑动所误,而在个别场合作出在全局中和意志相反的决断。我们也同样认识了自己各种力量和猾点的性质、限度,从而我们就可以为自己减少很多的痛苦。这是因为除了使用和感到自己的力量之外,根本没有什么真正的享受,而最大的痛苦就是人们在需要那些力量时却发现自己缺乏那些力量。如果我们已探得了我们的优点和弱点的所在,我们就会培养,使用,从各方面来利用自己有突出特长的自然禀赋,自己只向这些禀赋有用的地方,效力所及的地方钻,但断然要以自我克制[的功夫]来避免我们气质上禀赋很少的那些企向,要防止自己去尝试本不会成功的事。只有到了这个地步,一个人才能经常在冷静的熟虑中完全和自己一致而从来不被他的自我所遗弃,因为他已经知道能对自己指望些什么了。这样,他就会常常享有感到自己长处的愉快而不常经历到要想及自己短处的痛苦。后者是羞辱,也许要造成最大的精神痛苦;因此人们看到自己的不幸比看到自己的不行要好受得多。——如果我们既已备悉自己的优点和弱点,我们就不会想炫示自己所没有的力量,不会买空卖空,[冒充能手]。因为这样的花招最后还是达不到目的的。这是因为整个的人既然只是他意志显出的现象,那就再没有比自己从反省的思维出发而要成为不是自己的别的什么更为颠倒的了,因为这是意志和它自己的直接矛盾。摹仿别人的属性和特点比穿别人的衣服还要可耻得多,因为这就是自己宣告自己毫无价值。就这方面说,认识自己的存心,认识自己每一种才具及其固定不变的限度乃是获得最大可能的自慰一条最可靠的途径。因为无论是就内在情况或外在情况说,除了完全确知哪是无可改变的必然性之外,我们再也没有更有效的安慰了。我们已遭遇了的坏事还不如想到也许有某些情况可以避免这一坏事更使我们痛苦,因此,除了从必然性的观点来看往事,我们就没有更有效的安慰了。从这种观点出发,一切偶然机缘都现为支配[一切]命运的一些工具,而我们就随而把这已发生的坏事看作是由于内外情况的冲突无可避免地引将来的,而这就是宿命论。[譬如]我们叫苦叫屈的一直闹着,其实也只是以为尚存希望可以以此影响别人或是激起自己空前紧张的努力。可是孩子们和成年人在他们一经看清楚事情根本无可挽回时,都很知道适可而止。[这叫做:]

    “胸怀满腔怨愤,

    却要勉强按纳。”

    我们好像捉将来关在笼里的大象一样,[开始]总要猛烈的叫嚣跳蹦腾挪几天,直到它看到这是徒劳无益的,然后又突然处之泰然地拿脖子来就象轭,从此永远驯服了。我们好像国王大卫一样,当他的儿子一天还活着时,他就不停地以恳祷去烦扰耶和华,自己也装出无可奈何的样子;可是他儿子刚一死去,他就再也不想到要这样做了。因此,所以有无数人若无其事地忍受着无数慢性的不幸,如残疾、贫困、出身低微、丑陋、居住条件不堪等;他们对于这些甚至无所感觉,好像伤口已结了疤似的。这只是因为这些人已明知这些情况由于内在和外在的必然性已没有改变的余地了,而较幸运的人们就不理解这些人怎么能够忍受这些不幸。无论是外在的或内在的必然性,除了对于这些必然性的明确认识之外,再没有什么可以如此融洽地消除人们对它们的怨愤了。如果我们一劳永逸地既认识了我们的优良属性和长处,又认识了我们的缺点和短处,而以此为绳准来确定我们的目的。对于力所不能及的则处之以知足不强求的态度;那么,在我们个性可能的范围内,我们便由此而最稳妥地摆脱了一切苦难中最尖锐的痛苦——自己对自己的不满。这种痛苦是不认识自己个性,是错误的臆测,和由此产生的不自量力的当然后果。把奥维德的诗句转用于鼓励自知之明这艰苦的一章倒是非常适合的:

    “这是精神最好的帮手,一劳永逸

    它拉断了缠住人心、折磨人的捆索。”

    关于获得性格就谈到这里为止。这种性格对于正式的伦理学虽不如在世俗生活上那么重要,但是这种性格的阐述仍可和悟知性格、验知性格的论述鼎立而作为第三种与之并列。对于前面两种性格我们曾不得不从事较为详尽的考察,这是为了我们便于弄明白意志在它的一切现象中是如何服从必然性的,而它本身如何同时又是自由的,甚至是可以称为全能的。

    这种自由,这种全能,——整个可见的世界,亦即它的现象,都是作为它的表出和写照而存在,并且是按认识的形式带来的规律而向前发展的,——现在在它最完善的现象中,在它对自己的本质已获得完全恰如其分的认识时,它又可重现出来,即是说它所以现出来[不外两途],或者是它在思虑成熟和自我意识的最高峰,仍然还欲求它曾经盲目地不自觉地欲求过的[东西],那么,认识在这里无论是个别地或整个地依然总还是它的动机;或者是反过来,这一认识成为它的清静剂而平息,而取消一切欲求。沤就是前面概括地提出过的生命意志之肯定和否定,这种肯定或否定,就个体的转变这方面说,只校正一般的而不校正个别的意志表出,只校正而不破坏性格的发展,也不表现于个别行为中,而或是由于前此整个的行为方式愈益加强了作用,或是相反,由于这些行为方式的取消,[肯定或否定分别]就生动地表出了意志于既获认识之后所自由采用的那些最高规范。——要更明确的阐述这一切,亦即[说明]最后这一篇的主要任务,由于中间插入了有关自由、必然性、性格等等的考察,我们现在就容易多了,也更有准备了。在我们再次推迟了这一任务,首先考察了生命本身之后,那就会更容易,更有准备,而要不要生命正是大问题的所在。并且我们将这样来考察生命本身,即是说我们将争取概括地认识这无论何时都是生命最内在的本质的意志本身,由于它的肯定究竟会怎样?这肯定是以什么方式,在什么程度上满足意志的?何以能满足意志?一句话,意志在它自己的,怎么说也属于它的这世界里的处境,一般地本质地应该看作什么?

    首先我希望人们在这里回忆一下我们用以结束第二篇的那段考察。那儿所提有关意志的目标和目的的问题促使我们用那段考察结束第二篇。那时摆在我们面前的不是这问题的答案,而是意志在它现象的一切级别上,从最低到最高一级,如何完全没有一个最后目标和目的;是意志如何总是向前挣扎,因为挣扎是它唯一的本质;是如何没有一个已达到的目标可以终止这种挣扎,因此挣扎也不能有最后的满足,只有遇到阻碍才能被遏止,而它自身却是走向无穷的。这是我们在最简单的自然现象中,在重力上,就已看到过的。重力不停地向一个无广袤的中心挤去,即令宇宙大全已缩成了一个球也不歇止,而真达到这中心就会是重力和物质的毁灭。这也是我们在别的简单自然现象上看到的:固体或由于熔化或由于溶解总是向液态挣扎。唯有在液态中固体原有的化学性能才能自由,因为固体性是这些性能的牢狱,这些性能是被低温关闭在这牢狱中的。液体又总是向气态挣扎,只要解除了各种压力,立刻就会发生[液态转气态]这一转变,没有一个物体没有亲和力,亦即没有挣扎的企向,亦即雅各·丕姆将要说的:没有企求和贪欲。电就在无尽地传导着它内在的自我分化,尽管地球的质量吞噬了这一作用。化学发电也只要电源金属柱还活跃,同样是一种没有目的而不断重复着的自我分化和中和的作用。植物的生存也是这样一种无休止的,永无满足的挣扎,是一个不停留地冲动,经过逐次上升的形式直到作为终点的种子又成为[新的]起点;如此周而复始以至无穷;没有哪儿有一个目标,没有哪儿有最后的满足,没有哪儿有一个休息处。同时我们将从第二篇里回忆到各式各样的自然力和有机物的形式到处都在互相争夺物质。这些自然力和有机物的形式既都要在物质上出现,于是这一个所占领的只能是它从另一个夺过来的,这就经常维持着一种你死我活的斗争。从这种斗争中主要的是产生一种阻力,到处阻碍着构成每一事物最内在本质的挣扎,使之徒劳地冲动而又不能摆脱自己的本质,一径折磨着它自己直到一个现象消灭而另一现象又贪婪地攫取了先前那现象的地位和物质。

    我们早已把构成每一物自在的本身及其内核的挣扎和最明晰地、在最充分的意识的光辉照耀下在我们身上把自己表出的,叫做意志的东西认作是同一回事。然后我们又把意志,由于横亘于意志及其当前目标之间的障碍,所受到的阻抑叫做痛苦。与此相反,意志达到它的目的则称为满足、安乐、幸福。我们也可将这些称谓移用于无认识界那些在程度上较弱,在本质上相同的现象。我们看到这些现象也无不经常在痛苦中,没有持久的幸福。原来一切追求挣扎都是由于缺陷,由于对自己的状况不满而产生的;所以一天不得满足就要痛苦一天。况且没有一次满足是持久的,每一次满足反而只是又一新的追求的起点。我们看到的追求挣扎都是到处受到多重阻碍的,到处在斗争中;因此,这种情况存在一天,追求挣扎也永远就要被看成痛苦。追求挣扎没有最后的目标,所以痛苦也是无法衡量的,没有终止的。

    在无认识的自然界只有加强注意力,很费劲地才能发现的这种[情况],然而一旦到了有认识的自然界,到了动物生活中,那就很明显地摆在我们面前了,也很容易指出它的经常的痛苦了。不过我们不在[动物界] 这一居间阶段逗留而是要立即转向别的地方,转向人的生活。在人的生活中,上述一切都被最明晰的认识照明了,所以也看得最清楚。原来随着意志的现象愈臻于完美,痛苦也就日益显著。在植物身上还没有感性,因此也无痛[感]。最低等动物如滴虫和辐射体动物就能有一种程度很微弱的痛[感]了。甚至昆虫,感觉和感痛能力都还有限。直到脊椎动物有了完备的神经系统,这些能力才以较高的程度出现:而且是智力愈发达,[痛苦的] 程度愈高。因此,随着认识的愈益明确,意识愈益加强,痛苦也就增加了,这是一个正比例。到了人,这种痛苦也达到了最高的程度;并且是一个人的智力愈高,认识愈明确就愈痛苦。具有天才的人则最痛苦。我是在这种意义上,亦即根本是就认识的程度而不是就单纯的抽象知识来理解和引用柯赫勒特那句活的,他说:“谁在知识上增加了,就在痛苦上增加了。”——哲人画家或画家哲人迪希拜因曾经很巧妙地把意识程度和痛苦程度之间的精确比例关系用直观的,一望而知的形象表现在他的一幅画中。画面的上半幅绘出一些妇人,因为她们的孩子们被劫走而各自成群在各种姿态中多方表现出慈母深刻的刨痛、焦虑、绝望。下半幅以完全同样的布局和安排,又画着一些母羊被人带走了它们的羔羊。于是上半幅里人的每一头面,每一姿态,都在下半幅里和有类似情态的动物头面,姿态一一成为对照。这样,人们就看清了,在动物的模糊意识里可能的痛苦感和[所遭]巨创是一种什么样的关系;还可看到真正的痛苦只是由于认识的明确性、意识的清晰性才可能的。

    因此我们要在人的生存中来考察意志的内在的、本质的命运。任何人也将容易在动物生命中看到意志的这种命运。不过要黯淡一些,表现的程度也不同而已;并且还可从痛苦的动物界得到充分的证验,证实一切生命如何在本质上即是痛苦。

    在认识所照明的每一级别上,意志都是作为个体而显现的。人的个体在无际的空间和无穷的时间中觉得自己是很有限的,和无尽的时间空间相比是一个近于消逝的数量,是投入到时间空间中来的。时间空间既无际限,人的个体也就永远只有一个相对的而决不是有一个绝对的某时某地,个体所在的地点和时间原是无穷无尽中的[极]有限部分。——真正个体的生存只在现在。现在毫无阻碍地逃入过去,也就是不断过渡到死亡,也就是慢性的死。个体的以往的生命,除开对现在有某些后果,除开在过去铭刻了有关这个体意志的证据不论,既已完全了却,死去,化为乌有了,那么,在合理情况下个体就必然要把过去置之淡然,不管那过去的内容是苦是乐了。可是在个体手里现在又不停地变为过去;将来则全不可捉摸,并且总是短促的,所以单从形式方面看,人的个体生存已经就是现在不停地转入逝去的过去,就是一种慢性的死。如果我们现在从形体方面来看个体生存,那么很显然,和大家知道我们[身体]的走着走着只是经常被拦阻了的未即跌倒一样,我们肉体的寿命[活着活着]也只是不断被拦阻了的未即死亡,只是延期又延期了的死亡。最后,我们精神的活跃也只是不断被推迟了的未即闲着无聊。每一口气都在击退时时要侵入的死亡。在每一秒钟我们就是用这种方式和死亡进行着斗争;而在较长的间歇之间则以一日三餐、[夜间]入睡、[时时] 取暖等等为斗争方式。到了最后必然还是死亡战胜,因为我们的诞生就已把我们注定在死亡的掌心中了:死亡不过是在吞噬自己的捕获品之前,[如猫戏鼠]逗着它玩耍一会儿罢了。在这未被吞灭之际我们就以巨大的热诚和想方设法努力来延长我们的寿命,愈长愈好,就好比吹肥皂泡,尽管明知一定要破灭,然而还是要尽可能吹下去,吹大些。

    我们既已在无知无识的自然界看到大自然的内在本质就是不断的追求挣扎,无目标无休止的追求挣扎;那么,在我们考察动物和人的时候,这就更明显地出现在我们眼前了。欲求和挣扎是人的全部本质,完全可以和不能解除的口渴相比拟。但是一切欲求的基地却是需要,缺陷,也就是痛苦;所以,人从来就是痛苦的,由于他的本质就是落在痛苦的手心里的。如果相反,人因为他易于获得的满足随即消除了他的可欲之物而缺少了欲求的对象,那么,可怕的空虚和无聊就会袭击他,即是说人的存在和生存本身就会成为他不可忍受的重负。所以人生是在痛苦和无聊之间像钟摆一样的来回摆动着;事实上痛苦和无聊两者也就是人生的两种最后成分。下面这一事实很奇特地,也必然地道破这一点:在人们把一切痛苦和折磨都认为是地狱之后,给天堂留下来的除闲着无聊之外就再也没有什么了。

    那不断的追求挣扎构成意志每一现象的本质,其所以在客体化的较高级别上获得它首要的和最普遍的基地,是由于意志在这些级别上显现为一个生命体,并附有养活这生命体的铁则;而赋予这铁则以效力的又恰在于这生命体就是客体化了的生命意志本身而不是别的。据此,人作为这意志最完善的客体化,相应地也就是一切生物中需要最多的生物了。人,彻底是具体的欲求和需要,是千百种需要的凝聚体。人带着这些需要而活在世上,并无依傍,完全要靠自己;一切都在未定之天,唯独自己的需要和困乏是肯定的。据此,整个的人生在这样沉重的,每天开门相见的需求之下,一般都充满着为了维护那生存的优虑。直接和这忧虑连在一起的又有第二种需求,种族绵延的需求。同时各种各样的危险又从四方八面威胁着人,为了避免这些危险又需要经常的警惕性。他以小心翼翼的步伐,胆战心惊地向四面瞭望而走着自己的路,因为千百种偶然的意外,千百种敌人都在窥伺着他。在荒野里他是这样走着,在文明的社会里他也是这样走着,对于他到处都没有安全。[有诗为证:]

    “在这样黑暗的人生中,

    在如此之多的危险中;

    只要此生还在延续,

    就是这样、这样度过!”

    (路克内兹:《物性论Ⅱ》)

    绝大多数人的一生也只是一个为着这生存本身的不断的斗争,并且明知最后还是要在这斗争中失败。使他们经得起这一艰苦斗争的,虽也是贪生,却更是怕死;可是死总是站在后台,无可避免,并且是随时可走到前台来的。——生命本身就是满布暗礁和漩涡的海洋。人是最小心翼翼地,千方百计避开这些暗礁和漩涡,尽管他知道自己即令历尽艰苦,使出“全身解数”而成功地绕过去了,他也正是由此一步一步接近那最后的、整个的、不可避免不可挽救的船沉[海底],并且是直对着这结果驶去,对着死亡驶去。这就是艰苦航行最后目的地,对他来说,[这目的地]比他回避过的所有暗礁还要凶险。

    然而现在就很值得注意,一方面,人生的痛苦和烦恼是这样容易激增,以致死亡——整个生命即以在它面前逃避为事——竟406变为人所企求的[东西],人们自愿向它奔去;另一方面,困乏和痛苦如果一旦予人以喘息,空虚无聊又立即如此围拢来,以致人必然又需要消遣。使一切有生之物忙忙碌碌运动不停的本是对于生存的挣扎,可是如果他们的生存已经巩固,他们却又不知道要拿这生存怎么办了。因此推动他们的第二种[动力] 就是摆脱生存这负担的挣扎,使生存不被感觉,也就是消灭时间,逃避空虚无聊的挣扎。这样,我们就看到几乎所有无虞困乏和无忧无虑的人们在他们最后丢了一切其他包袱之后,现在却以他们自己为包袱了;现在是把消磨了的每一小时,也就是从前此全力以赴,尽可能延长的生命中扣除了一分,反而要算作收获了。可是空虚无聊却也不是一件可以轻视的灾害,到了最后它会在人的脸上刻画出真正的绝望。它使像人这样并不怎么互爱的生物居然那么急切地互相追求,于是它又成为人们爱社交的源泉了。和对付其他一般灾害一样,为了抵制空虚无聊,单是在政治上考虑,就到处都安排了些公共的设备;因为这一灾害和相反的另一极端,和饥饿一样,都能驱使人们走向最大限的肆无忌惮。“面包和马戏”是群众的需要。

    费城的忏悔院以寂寞和闲着无事使空虚无聊成为惩罚的工具;而这是一种可怕的惩罚工具,已经导致囚犯们的自杀。困乏是平民群众的日常灾难,与此相似,空虚无聊就是上层社会的日常灾难。在市民生活中,星期日代表空虚无聊,六个工作日则代表困乏。

    于是任何人生彻底都是在欲求和达到欲求之间消逝的。愿望在其本性上便是痛苦。愿望的达到又很快的产生饱和。目标只是如同虚设:占有一物便使一物失去刺激:于是愿望、需求又在新107的姿态下卷土重来。要不然,寂寞,空虚无聊又随之而起;而和这些东西作斗争,其痛苦并无减于和困乏作斗争。——[只有]愿望和满足相交替,间隔不太长亦不太短,把两者各自产生的痛苦缩小到最低限,[才] 构成最幸福的生活过程。因为人们平日称为生活中最美妙的部分,最纯粹的愉快的,——这又只是因为这种愉快把我们从现实生存中拨了出来,把我们变为对这生存不动心的旁观者了———也就是纯粹的,和一切欲求无关的认识,美的欣赏,艺术上的真正怡悦等,只有少数人才能享受,——因为这已要求罕有的天赋——,而就是在这些少数人,这也只是作为过眼烟云来享受的。并且这种较高的智力又使这些少数人所能感受的痛苦要比那些较迟钝的人在任何时候所能感受的都要大得多;此外还使他们孤立于显然与他们有别的人物中,于是连那一点[美的欣赏]也由此而抵消了。至于绝大部分的人们,他们可无法获得这种纯粹智力的享受,他们几乎完全无力享受纯粹认识中的怡悦而是完全在欲求的支配之下的。因此,如果有什么要赢得他们的关心,使他们感兴趣,就必须(这已包含在[兴趣]这个字义里)在某种方式上激动他们的意志,即令只是遥远地,只在可能性中关涉到意志都行,但决不可没有意志的参预,因为他们在欲求中生存远过于在认识中生存:作用和反作用就是他们唯一的[生活]要素。这种本性常常天真地流露出来,人们可从细微末节和日常现象中搜集这种材料,例如他们常把自己的名字写在他们游览过的名胜地,因为这地方既不对他们起[什么别的]作用,他们就以此来表示他们对这地方的反应,以此对这地方起些作用。还有,他们也不容易止于只是观看一只来自远方的罕见动物,而必然要去刺激它,狎弄它,和它玩,而这都只是为了感到作用与反作用。在扑克牌的发明和流传上特别看得出意志奋起的那种需要,而这恰恰是表现着人类可怜的一面。

    但是不管大自然作了什么,不管命运作了什么:不管人们是谁,不管人们拥有什么;构成人生本质的痛苦总是摆脱不了的;[正是]:

    “柏立德斯正浩叹,

    举眼望苍天。”

    又:

    “虽是克罗尼德,宙斯的宠儿,

    也不免,真正的忧伤,忍痛没完!”

    消除痛苦的不断努力除了改变痛苦的形态外,再也作不出什么。痛苦的形态原来是缺陷,困乏,保存生命的操心虑危。如果消除这一形态中的痛苦成功了——这已极不容易——,立刻就有千百种其他形态的痛苦接踵而来,按年龄和情况而交替变换,如性欲、狂热的爱情、嫉妒、情敌、仇恨、恐惧、好名、爱财、疾病等等。最后,痛苦如果再不能在另一形态中闯进门来,那么它就穿上无名烦恼和空虚无聊那件令人生愁的灰色褂子而来。于是又得想办法来消除空虚无聊。即令后来又把无聊撵走了,那么,在撵走无聊时就很难不让痛苦又在前述那些形态中跨进来而又从头开始跳那[原来的]舞,因为任何人生都是在痛苦和空虚无聊之间抛来掷去的。尽管这一考察是这么使人沮丧,我却要引起人们注意这考察的另一方面与此并列,人们从这另一方面可以获取一种安慰,是的,甚至可以获得一种斯多噶派的满不在乎以对付自己眼前的不幸。原来我们对于不幸的不耐烦之所以产生,大半是由于我们把这不幸看成是偶然的,看成是一串可以轻易更换的原因锁链所促成的,因为我们经常并不为直接必然的,完全普遍的不幸,如年龄[日增]的必然性,死亡的必然性以及其他日常的不如意等而自寻烦恼。其实更应该说,使人感到刺的,是看到正在给我们带来痛苦的那些情况具有偶然性。但是如果我们现在认识到痛苦之为痛苦是生命上本质的和不可避免的[东西];认识到随偶然而转移的只是痛苦用以出现的形式,只是痛苦的形态而不是别的什么,也就是认识到我们现在目前的痛苦只是填充着一个位置,在这位置上如果没有这一痛苦,立刻便有另一痛苦来占领;不过这另一痛苦现在还是被目前的痛苦排拒在[这位置以]外罢了;认识到依此说来,命运在基本上并不能拿我们怎么样;那么,当这种反省思维成为有血有肉的信念时,就会带来程度相当高的斯多噶派的不动心而大可减少围绕着个人幸福的焦虑操劳。不过在事实上很难看到或决不可能看到理性有如此广泛的权限,足以支配直接感到的痛苦。

    除此之外,人们由于观察到痛苦的不可避免,观察到痛苦是一个挤掉一个,前一痛苦的下台随即又带来新的痛苦,甚至就可以导致一个似乎矛盾的然而并非不可言之成理的假设,即是说每一个体在本质上少不了的痛苦,不管痛苦的形式是如何变换,而痛苦的定额却是由于个体的天性一劳永逸地被决定了的,在定额之内既不能有所欠缺,也不能超额有余。依此说来,人的痛苦和安乐根本就不是从外面而恰好只是由于这定额,这种天禀所决定的,这种天禀虽然也可在不同的时期由于生理状况[的变化]而经历一些增减,但整个却是一成不变的。并且这也不是别的而就是被人们称为他的性情的东西;或更精确些说,就是一种程度,在这程度上他如柏拉图在《共和国》第一卷所说的,或是情绪昂扬或是情绪低沉。支持这一假设的不仅有大家知道的这一经验:即巨大的痛苦使一切较小的痛苦完全感觉不到了,相反,在没有巨大痛苦时,即令是一些最琐细的不舒服也要折磨我们,使我们烦躁;而且经验还告诉我们:如果有一巨大的不幸,[平日]我们只要一想到它就会战栗,现在果然真的发生了,我们这时的情绪,整个说起来,只要忍过了第一阵创痛,以后也就没有什么很大的变化了。相反也是如此,我们想望已久的幸福到来之后,整个说来和持久下去,我们也就不觉得比前此更显著的好受些,舒适些。只有在变化初发生的那一瞬间才异乎寻常地激动我们,或是作为低沉的苦恼,或是作为昂扬的欢乐激动着我们,但是音乐双方都很快就消逝了,因为两者都是基于幻党的。原来苦乐都不是在眼前直接的享受或创痛上产生的,而是在一个新的将来的开端之上产生的,这开端又是人们在眼前享受或创痛中所预期的。只有从“将来”借支苦乐,音乐才能反常地加强,因而也就不能持久。——还“可引用下面这一观察作为上述假设的佐证,——按这假设,无论是在音乐的认识中或在苦乐的感觉中,很大一部分都是主观地和先验地被决定的———即是说人的忧乐显然不是由外在情况,不是由财富或地位决定的,因为我们在贫苦人们中至少可以和在富裕人们中一样碰到那么多的欢乐面容。还有,促成自杀的那些动机也是如此的极不相同,我们不能举出任何一个够大的不幸,可以勉强假定它会在任何性格都要引起自杀,却能举出少数的不幸,小得和自杀[全] 不相称却又促成了自杀。如果我们欢欣和愁闷的程度并非在任何时候都是一个样,那么按这一看法说,这就不能归之于外在变化,而只能归之于内在情况,人身的生理情况。这是因为我们的欢欣若真正是在高涨时,尽管经常只是一时的高涨,甚至高涨到快乐的程度,这种高涨也惯于是没有任何外来成因就发生的。我们固然常看到自己的苦痛只是从某一外在情况中产生的,看到我们显然是为这情况所压抑,所困苦;于是我们就以为只要解除了这一情况,必然就会有最大的满足随之而来。可是这只是幻觉。根据我们的假定,我们苦乐的定额在每一瞬点上,整个的都是主观决定了的,对于这一定额说,引起烦恼的那外来动机只是身体上的一张疮泡膏药,原来分布开来的脓毒现在都向膏药集结了。[这即是说] 在我们生存的时期,基于我们本质因而不能摆脱的创痛,如果没有痛苦的某种外因,原是分布在数以百计的点上的,并且是在对事物,有数以百计的琐细烦恼和挑剔这个形态中出现的。我们现在所以忽视这些烦恼和挑剔,是因为我们容纳痛苦的定量已为那主要的不幸所充满,这不幸把本来分散的痛苦都集中到一点了。和这[现象] 一致的还有另一观察:如果一种沉重的,压抑我们的忧虑,最后由于幸运的结局而从我们胸怀中撵走了,那么随即又有另一优虑取而代之。其实后一忧虑的全部成分早已存在,其所以[尚]未能作为忧虑而进入我们的意识,只是因为我们的意识已没有容纳它的多余容量了;因此这些忧虑成分只得作为未被觉察的阴暗雾团而停留在它地平线最远的尽头处。可是现在既已空出了位置,这个现成的成分立即走向前来并占住当日统治者的(起支配作用的)忧虑的宝座。尽管这成分在质料上比那消逝了的忧虑所有的成分要轻得多,然而它却懂得把自己臌起来,在表面上和前一忧虑大小相等,而以当今主要忧虑[的资格] 将那宝座塞得满满的。

    过分的欢乐和非常激烈的痛苦经常只能在同一个人身上出现,因为两者既互为条件又同以精神的高度活跃为条件。有如我们刚看到的,两者都不是由于单纯现在的[事物],而是由于对将来的预期所产生的。但痛苦既是生命本质上所不能少的,并且在程度上又是被主体的天性所决定的,那么突然的变化,因为它总是外在的变化,实际上就不能改变痛苦的程度;所以过份的欢乐和痛苦总是基于错误和幻党的。因此这两种情绪的过份紧张都可以由于真知的见而得避免。任何一种过分的欢乐(狂欢,乐而忘形)总是基于这种幻觉,以为在生活中找到了其中根本不可能碰到的东西,也就是以为折磨着人而自身又不断新生的愿望或忧虑已经有了持久的满足。人们在事后必然不可避免地要从这类任何个别的幻觉回过头来,并且是幻党的发生带来了多少欢乐,在它消灭之后就要以多少的痛苦来抵偿。就这一点说,幻觉就等于是一个陡坡,人们只有从上面摔下来,否则便下不来;所以这种陡坡是应该避免的。任何突然的、过分的痛苦正就只是从这样的陡坡跌下,是这样一种幻觉的消灭,从而也是以这幻觉为条件的。因此,假如人们做得到经常从全面,从联系而充分清晰地概观事物,并且自己坚决提防着不真的赋予那些事物以人们想要它们有的那些颜色,则[过分的苦和乐]两者都是人们能够避免的。斯多噶派伦理学的主要旨趣就在于把心情从所有这些幻觉及其后果中解放出来,并以坚定的不动心赋予[人的]心情来代替幻觉。霍内修斯在一篇有名的无韵古诗中就是充满这种见解的:

    “当你时运不济,

    不可一日忘怀:

    坚持不要动心。

    你如幸运多福,

    同样不得乱来:

    避免欢乐无度。”

    但我们多半是封锁着自己,不使自己接触到好比苦药般的这一认识,即不让自己认识到痛苦是生命本质上的东西,因而痛苦不是从外面向我们涌进来的,却是我们每人在自己内心里兜着痛苦的不竭源泉。我们反而要经常为那从不离开我们的痛苦找些个别的原因当作借口,好像自由人给自己塑造一座偶像,以便有一个主子似的。原来我们不倦地从一个愿望又奔向一个愿望,尽管每次获得的满足给我们许下那么多好处,但到底是并未满足我们,反而多半是不久就要现为令人难堪的错误;可是我们仍然看不透我们是在用妲奈伊德的穿底桶汲水,而总是急奔新的愿望:

    “因为我们所追求的,一天还未获得,

    在我们看来,它的价值便超过一切,

    可是一旦已拿到了手,立刻又另有所求。

    总是那一渴望紧紧掌握着我们,

    这些渴求生命的我们。”

    (路克内兹:《物性论)Ⅲ)

    所以,愿望相逐要么就是这样至于无穷,要么是比较罕有而且要假定性格的某种力量为前提的东西,[即是说]直到我们碰着一个愿望,既不能满足它又不能放弃它;于是,我们就好像是已有了我们所要寻求的东西了,有了随时可以代替我们自己的本质以作为我们痛苦的源泉来埋怨的东西了,这样我们就和自己的命运决裂了,但是塞翁失马,我们和自己的生存[却反而因此]和解了,原来这时有关痛苦是这生存自己本质上的东西,而真正的满足是不可能的这一认识又被丢开了。最后这样发展的后果是一种有些忧郁的心情,是经常忍受一个单一的巨大创痛和由此而产生的,对一切琐细苦乐的轻视;因此,这和不断追逐一个又一个幻象相比,这已是更为庄严的一个现象了,不过追逐幻象是更为普遍些。

    一切满足或人们一般所谓幸福,在原有意义上和本质上都只是消极的,无论如何决不是积极的。这种幸福并不是本来由于它自身就要降临到我们身上来的福泽,而永远必然是一个愿望的满足,因为愿望,亦即缺陷,原是任何享受的先行条件。但是随着满足的出现,愿望就完了,因而享受也就完了。因此,满足或获致幸福除了是从痛苦,从窘困获得解放之外,不能更是什么。原来要得到这种解放,不仅要先有各种现实的显著的痛苦,而且要先有各种纠缠不休,扰乱我们安宁的愿望,甚至还要先有使我们以生存为重负的、致命的空虚无聊。——可是要达成一点什么,要贯彻一点什么,又是那么艰难;每一种打算都有无穷的困难和辛苦和它作对,每走一步之后,前面又堆积着障碍物。不过,即令是最后一切障碍都克服了,目的达到了,那么,所赢得的除了是人们从某种痛苦或某种愿望获得解放之外,从而也就是除了回到这痛苦、这愿望未起之前的状态外,决不会还有别的东西。——直接让我们知道的永远只有缺陷,缺陷即痛苦。满足和享受则是我们只能间接认识的,由于回忆到事前的,随享受的出现而结束的痛苦和窘困然后才间接认识的。由于这个道理,所以我们常不感到自己真正具有的财富和有利条件,也不认为可贵,好像这是事之当然,此外就再无别的想法了。这是因为这些财富和有利条件给我们带来的幸福永远只是消极的,只是在挡开痛苦而已。直到我们丧失了这些东西,我们才感觉到这些东西的价值;原来缺陷、困乏、痛苦,那[才] 是积极的东西,是自己直接投到我们这里来的东西。因此,回忆我们克服了的窘困、疾病、缺陷等等也使我们愉快,因为这就是享受眼前美好光景的唯一手段。同时也无容否认,在这一点上、在自私自利这一立场上说,——利己即是欲求生命的形式———眼看别人痛苦的景象或耳听叙述别人的痛苦,也正是在这种路线上给我们满足和享受;譬如路克内兹在第二卷篇首就很美而坦率地说出这一点:

    “海中狂风怒涛,岸上人安稳逍遥。

    眼看扁舟危急,且自快乐兴豪。

    何以他人有难,偏自意气飞扬?

    只因早已知道,岸上安全无恙。”

    不过远在本篇后面一点就会指出这种类型的欢愉,由于这样间接的认识得到自己的安乐,已很近于真正的积极的恶毒的源头了。

    至于一切幸福都只是消极性质的,不是积极性质的;至于一切幸福正因此故,所以又不能是持久的满足和福泽,而一贯只是从痛苦或缺陷获得解放,解放之后随之必然而来的又或是一种新的痛苦,或是沉闷,亦即空洞的想望和无聊等等;这一切都是在世界的,和生活本质的忠实反映中,在艺术中,尤其是在诗中可以找到例证的。原来任何史诗或戏剧作品都只能表达一种为幸福而作的挣扎、努力和斗争,但决不能表出常住的圆满的幸福。戏剧写作指挥着它的主人公通过千百种困难和危险而达到目的,一达到目的之后,就赶快让舞台幕布放下[,全剧收场]。这是因为在目的既达之后,除了指出那个灿烂的目标,主人公曾妄想在其中找到幸福的目标,也不过是跟这主人公开了个玩笑,指出他在达到目标之后并不比前此就好到哪儿之外,再没剩下什么[可以演出的]了。因为真正的常住的幸福不可能,所以这种幸福也不能是艺术的题材。田园诗的目的固然正是描写这样的幸福,可是人们也看到田园诗够不上担当这个任务。田园诗在诗人手里总是不知不觉地变成了叙事诗,那也就只是一种极无意味的史诗,只是由琐细的痛苦,琐细的欢乐和琐细的奋斗所组成的:这是最常见的情况。田园诗或者是不知不觉地变成了单纯写景的诗,描写大自然的美。这本来就是纯粹的不带意志的认识,事实上这诚然也是唯一的纯粹的幸福,事前既无痛苦和需求,事后也不必有懊悔、痛苦、空虚、烦燥继之而起。但是这种幸福并不能充满整个生命,而只能充满整个生命的一些瞬间。——我们在诗中看到的情况,又可在音乐中看到。在音乐的旋津里我们又看到自我意识的意志最深邃的内心史有了一般化的表出,看到人类心灵最隐蔽的生活,想慕,苦和乐,潮和汐。曲调总是基音的变化,经过千百种巧妙的曲折直到了令人痛苦的非谐音之后,随即又再回到基音。这基音表示着意志的满足和安详,可是过此以后,就拿它再没有什么用处了;如果再继续下去就会只是可厌的,无意味的单调,和空虚无聊相仿佛了。

    这些考察所要弄明白的一切,如持久满足的无法达到,如一切幸福的消极性,都在第二篇结尾处所指出的那一点中解释过了,即是说那里已指出意志是一种没有目标,没有止境的挣扎,而意志的客体化就是人的生命以及任何一现象。我们还看到在意志的总现象所有的各部分上都打上了这种无上境的烙印;从这些部分现象最普遍的形式起,从时间和空间的无尽起,直到一切现象中最完善的一种,到人的生命和挣扎止[,都是这样]。——在理论上人们可以承认人生有三种极端而把这些极端看作现实人生的基本因素。第一是强有力的意欲,是那些巨大的激情(开展的激情气质)。这出现在伟大的历史人物身上,是史诗和戏剧中所描写的。不过这也是在狭小的生活圈子里看得到的,因为目标的大小在这里不是按外在情况而是按这些目标激动意志到什么程度来衡量的。第二便是纯粹的认识,是理念的体会,这是以“认识”摆脱为意志服务作前提的,即天才的生活(紧张的纯善气质)。最后第三是最大限的意志麻木和系于意志的“认识”的麻木,即空洞冥想,使生命僵化的空虚无聊(惯性的迟钝气质)。个人的生活远不是经常在这三极端之一中逗留着的,只是很少的接触到这些极端,大半却只是软弱无力摇摆不定地时而挨近这一极端,时而挨近那一极端;是对于一些琐事迫不及待的欲求永远重复不已,也就是这样逃避着空虚无聊。真正难以置信的是,绝大多数人的生活,从外表看来是如何无意义而空洞地,在内心感到的又是如何迟钝而无头脑地虚度了。那是一种朦胧的追慕和苦难,是在梦中徜恍,是在一系列琐屑思虑的相伴中经过四个年龄阶段而到死的,这些人好像钟表机器似的,上好发条就走,而不知道为了什么要走。每有一个人诞生了,出世了,就是一个“人生的钟”上好了发条,以便一句又一句,一拍又一拍地再重奏那已演奏过无数次,听得不要再听的街头风琴调子,这些调子即令有些变化也微不足道。——于是每一个体,每一张人脸和这张脸一辈子的经历也只是一个短短的梦了,是无尽的自然精神的短梦,常住的生命意志的短梦;只不过是一幅飘忽的画像,被意志以游戏的笔墨画在它那无尽的画幅上,画在空间和时间上,让画像短促地停留片刻,和时间相比只是近于零的片刻,然后又抹去以便为新的画像空出地位来。可是每一个这样飘忽的画像,每一个这样肤浅的念头,都必须由整个的生命意志,不管它如何激烈,用许多深刻的痛苦,最后还要用害怕已久而终于到来的死,苦味的死,来偿还。人生有不好想的一面就在这里。看到一具人的尸体会那么突然使我们严肃起来也是由于这个道理。

    任何个别人的生活,如果是整个的一般的去看,并且只注重一些最重要的轮廓,那当然总是一个悲剧;但是细察个别情况则又有喜剧的性质。这是因为一日之间的营营苟苟和辛苦劳顿,一刻之间不停的别扭淘气,一周之间的愿望和忧惧,每小时的岔子,借助于经常准备着戏弄人的偶然巧合,就都是一些喜剧镜头。可是那些从未实现的愿望,虚掷了的挣扎,为命运毫不容情地践踏了的希望,整个一辈子那些倒楣的错误,加上愈益增高的痛苦和最后的死亡,就经常演出了悲剧。这样,命运就好像是在我们一生的痛苦之上还要加以嘲笑似的;我们的生命已必然含有悲剧的一切创痛,可是我们同时还不能以悲剧人物的尊严自许,而不得不在生活的广泛细节中不可避免地成为一些委琐的喜剧角色。

    但是,虽有大大小小的烦恼充塞每个人的一生,使人生常在不安和动荡中,然而仍不能弥补生活对于填满精神的无能为力,不能弥补人生的空虚和肤浅,也不能拒绝无聊,无聊总在等着去填补忧虑让出来的每一段空隙。由此又产生一个情况,人的精神还不以真实世界加于它的忧虑、烦恼和穷忙为已足,还要在千百种迷信的形态下另造一个幻想的世界;只要真实世界一旦给他一点安闲,——那是他根本没有能力来享受的——,便要以各种方式忙于对付这幻想的世界,把时间和精力都浪费在这一世界上。

    因此,这本来大半是气候温暖,土地肥沃而生活又容易的民族所有的情况,首先是在印度人那儿,其次是在希腊、罗马人那儿,然后在意大利和西班牙人那儿,如此等等。人按自己的形象制造一些妖魔、神灵和圣者,然后又必须经常对这些东西奉献牺牲、祈祷、修葺寺院、许愿还愿、朝香、迎神、装饰偶像等等。敬神事鬼还到处和现实交织在一起,甚至使现实也蒙上了阴影。生活上发生的每一事态都要被当作是那些鬼神的作用。和鬼神打交道就占去了平生一半的时间而不断维系着希望,并且由于幻党的魅力往往还要比同真实的人物打交道更为有趣。这是人们双重需要的表现和症候,一重是对救授和帮助的需要,一重是对有事可做和消遣时间的需要。即令这样[和神灵]打交道对于第一种需要往往恰好是起着反作用,因为在事故和危险发生的时候,宝贵的时间和精力不是用在避免事故和危险上,而是无益地浪费在祈祷和牺牲上。可是对于第二种需要,由于人和梦想的鬼神世界保持着想入非非的联系,这种交道反因而有着更好的效用。这就是一切迷信大不可忽视的裨益。

    我们既已由于最最概括地考察了,研究了人生初步的、起码的基本轮廓,而在这范围内使我们自己先验地深信人生在整个根性上便已不可能有真正的幸福,人生在本质上就是一个形态繁多的痛苦,是一个一贯不幸的状况;那么,我们现在如果多用事后证明的方法,愿意钻研更具体的情况,愿意想像一些光景而在例子中描写那无名的烦恼,经验和历史指出的烦恼,而不管人们是向哪一方面看,是在哪种考虑之下进行探讨,我们就能够在自己的心目中更鲜明地唤起[人生只是痛苦]这一信念了。不过,[如果真要是这样做,]这一章书就会没有完结的时候了,就会使我们远离哲学上基本不可少的“一般性”的立场。此外,人们还容易把这样的描写看作只是对人生苦恼有意的叫嚣,犹如过去屡屡有过的叫嚣一样;何况这种描写既是从个别事实出发的,人们还可以加以片面性的罪名。我们关于不可避免的、基于生命本质的痛苦所作的论证既完全是冷静的哲学的,从一般出发的和先验推论出来的,这样的责备和嫌疑就加不到我们头上来了。不过如果要后验地证实这个信念却是到处都容易办到的。任何一个从青年的幻梦中清醒过来的人,只要他注意过自己和别人的经验,在生活中,在过去和当代的历史中,最后是在伟大诗人的作品中作过多方面的观察的话,那么,如果没有什么不可磨灭的深刻成见麻痹了他的判断力,他就很可能认识到下面这个结论,即是说:这人世间是偶然和错误[两者]的王国,它俩在这王国里毫无情面地既支配着大事,也支配着小事。它俩之外还有愚昧和恶毒在一边挥动着皮鞭,于是任何较好的东西只有艰苦地突围,高贵和明智的东西很难露面而发生作用或获得人们的注意;可是思想王国里的荒谬和悖理,艺术王国里的庸俗和乏味,行为王国里的恶毒和狡诈,除了被短促的间歇打乱之外,实际上都能维持其统治权。与此相反,任何一种卓越的东西经常都只是一个例外,是百万情况中的一个情况。于是还有这样的事:如果这卓越的东西在一部传世的作品里透露出来,那么,在这作品质尽当代人们的嫉恶之后,还是孑然孤立又被束之高阁的时候,它仍像一颗殒石似的,似乎是从另外一种事物秩序中而不是从支配着这世问的事物秩序中产生的。——至于个人生活,则任何一部生活史也就是一部痛苦史;因为任何人的一生按规律说都是一连串不断的大小不幸事故,尽管人们要尽可能隐瞒[也是徒然]。而人们所以要隐瞒,又是因为他们知道别人在想到这些恰好是他现在得以幸免的灾难时,必然很难得感到关切和同情,而几乎总是感到满足。——不过也许断没有一个人,如果他是清醒的,同时又是坦率的,会在他生命终了之日还愿意重复经历此生一遍;与其这样,他宁可选择压根儿不存在,在《汉姆勒特》一剧中有一段世界著称的独自,把这独自的基本内容概括起来就是:我们的景况是这样苦恼,压根儿不存在肯定会比这种景况强。如果自杀真正给我们提供不存在,以致二中择一的“存在或不存在”得以在这句话的充分意义中显露出来,那么就应该无条件的选择自杀作为最值得企望的[功德]圆满(应虔诚以求的终极圆满)。可是在我们内[心]里面还有点什么东西在对我们说:事情还不是这样的,这样并不就是完了,死亡也并不就是绝对的毁灭。历史的始祖已作过与此相同的论述,大概后来也从没有人反对过,他说:从来不曾有过这么一个人,他不是好几次不想再往下一天活下去了。照这个说法,则人们如此屡屡埋怨的生命之短促也许反而是合式的了。——最后,人们如果还要把那些可怕的,他的生活敞开门[无法拒绝]的痛苦和折磨展出在每一个人的眼前,这人就会被恐惧所笼罩而战栗;如果人们还要带领一个最死硬的乐观派去参观正规医院,战地医院,外科手术室,再去看监狱,刑讯室,奴隶禁闭处,看成场和刑场;然后给他打开一切黑暗的、疾苦的所在地,那儿,[在你去看时,]痛苦在冷酷的好奇眼光之前爬着躲开了,最后再让他看看邬戈林诺的饿牢;那么,他在最后一定也会看出这可能的最好世界究竟是怎么回事了。但丁写他的《炼狱》若不是取材于我们的现实世界,还到哪儿去取材呢?而我们的现实世界也真已变成一个很像样的地狱了。与此相反,在但丁着手来描写天堂及其中的极乐时,要完成这一任务就有不可克服的困难横亘在他面前了,因为我们这世界恰好不能为此提供一点儿材料;因此,除了不写天堂的快乐而只给我们复述他的祖先,他的碧璀斯和一些圣者们在天堂里对他讲的教训之外,就没剩下可做的事了。可是由此却充分表明了这是什么样的世界。诚然,人们的生活也像一些低级商品一样,外表上都敷有一层虚假的光彩。凡是痛苦总是掩饰起来的,相反,一切冠冕堂皇有光彩的东西就都要拿出来炫耀。越是内心里有欠缺,他越是希望在别人眼里被看作幸运儿。[人的] 愚昧可以达到这种地步,以致别人的意见竟成为每人努力的主要目标,尽管虚荣这一词儿的原义在所有的语言文字中几乎都是一致地意味着空洞和虚无,就已经表示了这种做法的毫无意义了。——可是即令是在这一切骗人的戏法之前,生命的痛苦还是很容易如此激增——而这是每天都发生的事——,以致人们在平日怕什么也比不上怕死,现在却渴望求死了。是的,命运如果真使出它全部的阴险时,那么,受苦的人连最后这一条退路也会要被遮断,会要留在无情的敌人手里忍受着残酷的慢性的折磨,不可救药。这时,受折磨的人要向他的神灵呼救也不中用了,他只得留在命运的掌心里得不到恩赦。但是,这个不可救药正只是反映他意志不可驯服的一面镜子,而意志的客体性就是他本人。——正和外来力量不能改变这一意志或取消这一意志一样,任何异已的力量也不能为他解脱痛苦,痛苦是从生命中产生的,而生命又是那意志显出的现象。人总得回头来依靠自己,既在任何一件事上是如此,在主要的大事上也是如此。完全徒劳的是人为自己制造一些神抵,以期向它们求情献媚而得到唯有自己的意志力可以获致的东西。《旧约全书》既已把世界和人类当作一个上帝的创造物,那么,《新约全书》为了教人知道获救和解脱这世界的痛苦都只能从这世界自身出发,就不得不让那上帝变为人。人的意志现在是,以后继续还是他的一切—切赖以为转移的东西。各种信仰、各种名目的忏悔者、殉道者、圣者等所以甘愿而乐意忍受任何酷刑,是因为在这些人们那里生命意志已自行取消了,所以即令是意志的现象的慢性毁灭也是他们所欢迎的了。不过这是后文要详加论述的,这里就不抢先来说了。——此外,我在这里禁不住要说明一点,即是说在我看来,乐观主义如果不是这样一些人们的,亦即低陷的天庭后面除空话外不装着什么的人们,没有思想的谈沦;那就不只是作为荒唐的想法而且还是作为一种真正丧德的想法而出现的,是作为对人类无名痛苦的恶毒讽刺而出现的。——人们切莫以为基督教教义或许有利于乐观主义,因为相反的是,在《福音书》里世界和灾难几乎是当作同义字使用的。

    我们既已完成必须插入的两个分析,亦即分析了意志自身的自由和意志现象的必然性,然后又分析了意志在反映着它本质的世界里所有的命运,而意志在认识了这世界之后就得肯定或否定它自己;那么,我们现在就能够使我们在上面只是一般他说到和解释过的这种肯定,杏定本身获得更高度的明确性,因为我们现在就要论述意志的肯定和否定唯一得以表现的行为方式,并按其内在意义来进行考察。

    意志的肯定就是不为任何认识所干扰的,常住的欲求本身,一般弥漫于人类生活的就是这种欲求。人的身体既已是意志的客体化,如意志在这一级别上,这个体中所显现的那样,那么,意志的,在时间中开展的欲求就等于[是和]这身体[平行]的诠释文章,是解说全身及其部分的意义,是同一自在之物的另一表出方式,而身体原也就是这自在之物的现象,因此我们也可说身体的肯定以代意志的肯定。一切复杂的意志活动,其基本课题总是满足需要,而需要是在健康上和身体的生存分不开的,是已表现在身体的生存中而又都是可以还原为个体保存和种族繁衍的。可是各种不同的动机就由此而间接获得影响意志的力量并产生那些复杂的意志活动。每一个这样的活动根本只是这里显现着的意志的一个样品,一个标本。至于这样品是哪一种,以及动机所有的和赋予这样品的是什么形态,那都不是重要的;而只是根本有所欲求,以哪种强烈的程度而有所欲求,才是这里的问题。意志只能在动机上看得出来,犹如眼睛只在光[线]上表现出视觉能力一样。动机站在意志面前,根本就好像是有变化神通的[海神]普罗托斯一样:永远许以完全的满足,许以解除意志的烦渴;可是如果目的达到了,它立即又出现于另一形态中,又在这一形态中重新推动意志,并且总是按意志的激烈程度和它对于认识的关系[两者]来推动,而这两者又正是由于那些样品和标本而显出为“验知性格”的。

    人从他的意识[开始]出现起就发现自己是在欲求着,并且他的认识和他的意志一般都有着稳定的关系。人企图彻底认识的,首先是他欲求的那些对象,然后是获得这些对象的手段。他如果现在已知道有什么要做,照例他就不追求再要知道别的了。他就行动起来,干起来:总是向他欲求的目标干下去的意识使他挺着腰,他他做下去;[这时]他的思维所涉及的[只]是方法的选择。几乎所有一切人的生活都是这样的,他们有所欲求,也知道他们要什么;他们对此追求,有那么些成就足以保障他们不绝望,又有那么些失败足以保障他们不陷于空虚无聊及其后果。从这里就产生一种一定的高兴,至少是产生一种处之泰然的心境。在这[些情绪]上,无论是贫是富对此都不能真有所改变,因为穷人或富人都不是享受他们现在的所有,因为,如上所说,这只是消极地起作用,而是享受他们希望通过自己的营谋而获致的[东西]。他们很严肃地,是的,面色庄重地往前于:孩子们干他们的玩意儿也就是这样。——这样一种生活过程如果受到干扰,那总是一个例外;那是由于认识不为意志服务而独立,根本只注意世界的本质。从这一认识中要么是产生了美感上观赏的要求,要么是产生了伦理上克制[自己]的要求。大多数人都是被困乏鞭策着过一辈子,不让他们有深思的机会。不但不能深思,意志往往炽热到远远超过肯定人身的程度,这是在剧烈的情欲和强烈的激情上看得出的。个体在意志炽热到这种程度时,就不止是肯定自己的生存而已,而是遇着别人的生存有碍于他的时候,就要否定或取消别人的生存。身体的维护如果是由于它自己的力量,那是意志肯定的程度有如此轻微,即是说如果意志真愿意这样的话,则我们可以假定在人身中显现的意志是随身体的死亡而熄灭的。可是性欲的满足就已超出了本人生存的肯定。本人生存在时间上是这么短促,性欲的满足却肯定生命到个体的死亡以后,到无定期的时间。永远真实而守恒的大自然,这里甚至是坦率的大自然,完全公开地把生殖行为的内在意义摆在我们面前。自己本人的意识,冲动的强烈,也都告诉我们在这一行为中表现出来的是最坚决的生命意志之肯定,纯粹而不带其他副作用(如不带否定别的个体);于是作为这行为的后果而出现于时间和因果系列中的,亦即出现于自然中的,就是一个新的生命。这被生的来到生之者的面前,在现象上和后者有别,但在本体上或理念上是等同的。因此生物的族系借以各自联成一整体的,作为这样的整体而永远绵延下去的,就是这一行为。就生之者来说,生殖只是他坚决肯定生命意志的表现或表征;就被生者说,生殖并不是在他身上显现的那意志的什么根据,因为意志自身既不知有什么根据,也不知有什么结论;而是生殖和一切原因一样,只是这意志在此时此地显现的偶然原因。作为自在之物,生之者的意志和被生者的意志并没有什么不同,因为只有现象而不是自在之物才是服从个体化原理的。随着超出本人身体的那一肯定,直到一个新体的形成,附属于生命现象的痛苦和死亡也一同重新被肯定;而由最完善的认识能力带来的解脱的可能性,在这儿却被宣布无效了。在这里,[人们]对于生殖行为的害羞有着深远的根由。——这一见解在基督教教义中是以神话表述出来的,即是说对于亚当的陷于罪(这显然只是性欲的满足)我们一切人都有份;并且由于这次罹罪,我们就活该有痛苦和死亡。宗教教义在这里已超出了按根据律进行的考察而认识到人的理念;理念的统一性则由于联结一切的这根生殖的拴带,而从散为无数个体的分化中恢复过来了。根据这一点,这种教义一面把每一个体看作和亚当,和这肯定生命的代表是等同的;就这方面说,每一个体都是注定要犯罪(原罪),要痛苦,要死亡的。另一方面,对于理念的认识又为这教义指出每一个体和救主,和这否定生命的代表是等同的,就这方面说,每一个体对于救主的自我牺牲也都有份,都是由于救主的功德而得到解脱的,都是从罪恶和死亡,亦即从这世界的束缚得了救的(《给罗马人的信》5,12—21)。

    我们把性的满足当作超出个体生命的生命意志之肯定的看法,当作由于性的满足才终于落到个体生命的掌心里的看法,亦即等于当作重新写卖身文契给生命的看法,还有着一个神话式的表述,那就是关于普罗塞宾娜的希腊神话。普罗塞宾娜只要没有吃阴间的果子,她就还有可能从阴间回转来;但是由于她既已享受了一颗石榴,她就完全陷落在阴间了。这神话的意义在歌德无与伦比的笔下可以看得很清楚;尤其突出的是刚在[普罗塞宾娜]吃过石榴之后,忽然有司命女神巴尔贞在看不见的地方合唱起来:

    “你是我们的人了!

    你要清醒点回转来;

    尝过一口石榴,

    使你成为我们的人了!”

    值得注意的是克利门斯·亚历山大(《诗文杂抄》第三卷第十五章)用同样的形象和同样的语言指出这一问题:“那些为了天国而割舍自己一切罪恶的人们,他们是幸福的,清醒地不为尘世所污”。

    性冲动作为坚决的最强烈的生命之肯定还有一个证据,即是说在自然人和动物,这冲动都是生活的最后目的和最高目标。自我保存是它们第一种努力。一旦这一步已安排妥贴了,它们就只追求种族的繁衍了;此外的其他一切是作为自然生物的它们所不能企求的。以生命意志本身为内在本质的自然,也以它全部的力量在鞭策着人和动物去繁殖。在繁殖以后,大自然所求于个体的已达到了它的目的,对于个体的死亡就完全不关心了;因为在它和在生命意志一样,所关心的只是种族的保存,个体对于它是算不得什么的。——因为大自然的内在本质,亦即生命意志,在性冲动中把自己表现得最强烈;所以古代诗人和哲人——赫西奥德和巴门尼德斯——很有意味他说爱神是元始第一,是造物主,是一切事物所从出的原则(见亚里士多德:《形而上学》Ⅰ,4.)。菲内居德斯曾说过:“宙斯在要创造世界的时候,把自己变成了[爱神]埃洛斯。”(《蒂迈欧篇》Ⅰ、Ⅳ、朴洛克路斯对柏拉图)新近我们在G.F.薛曼著的《宇宙论上的爱欲》(1852年版)里看到这问题有了详尽的讨论。印度人的摩那也被意译为“爱”,她的纺事和织成品即整个的假象世界。

    性器官比身体上任何其他外露的器官更是只服从意志而全不服从认识的。意志在这里,几乎和它在那些只凭刺激作用而为植物性的生命,为繁殖而服务的身体部分中——意志在这些部分中只是盲目地起作用的——,和它在无知无识的自然界中,是一样的不依赖于认识。原来生殖只是过渡到一个新个体的再生作用,等于二次方的再生作用,和死只是二次方的排泄相同。——以这一切为前提,性器官可说是意志的真正焦点,从而是和脑,认识的代表,也就是和世界的另一面,作为表象的世界相反的另一极。性器官是维系生命,在时间上保证生命无尽的原则,因为它有这样的属性,所以希腊人在“法卢斯”中崇拜它,印度人在棱迦中崇拜它,从而这些东西都是意志的肯定的象征。认识则相反地提供取消欲求的可能性,由于自由获得解脱的可能性,超脱和消灭这世界的可能性。

    我们在这第四篇的开始,就已详细考察过生命意志在它的肯定中应如何看它对死亡的关系,也就是这样看:死亡并不触犯它,因为死亡本身原已包含在生命中,并且是作为附属于生命的东西而有的;而死的反面,生,又完全和死保持着平衡,并且尽管个体死亡,还是永远为生命意志捍卫着,保证着生命。为了表示这个意思,印度人就拿棱迎加在死神僖华身上作为表征。我们在那同一地方还曾指出一个完全清醒而站在坚决肯定生命这个立场的人是如何毫不畏惧地面对面看着死亡。因此在这里就不要谈它了。最大多数人站在这一立场上是没有清醒的思辨的,他们[只是]不绝地肯定着生命。作为反映这一肯定的镜子则有这世界在,它有着无数的个体,在无尽的时间和无穷的空间中,有着无穷的痛苦,在生和死之间,没有止境。——可是对于这一点,在任何方面都没有什么要埋怨的,因为意志是拿自己的本钱来演出这一伟大悲剧和喜剧的,何况意志又是自己的观众。这世界所以恰好是这样一个世界,乃是因为这意志——它的现象即世界——是这样一个意志,乃是因为意志要这样、忍受痛苦所以是公平的,其理由是意志在这现象上还要肯定自己;而这一肯定所以是公道合理的又是由于意志忍受着痛苦,所以是两头扯平了。这里就给我们在整个上看到了永恒公道的一点端倪;我们往后在下面还要在个别情况中更详细更明确地认识它。不过首先还必须谈一谈有时间性的或人世间的公道。

    我们从第二篇里还记得,在整个自然界,在意志客体化的一切级别上,在一切族类的个体之间,必然是一场不断的斗争,而生命意志和它自己的内在矛盾也就正是由于这斗争表现出来的。在客体化的最高级别上,这一[斗争]现象,和其他一切现象一样,也表现得更为明确;因而还可继续加以阐发。为此目的,我们首先要从源头来探讨利己主义,它是一切斗争的出发点。

    因为只有由于时间和空间,也只有在时间和空间中,同类[事物]的杂多性才有可能,所以我们曾将时间和空间称为个体化原理。时间和空间是自然的认识的基本形式,也就是从意志中产生的认识的基本形式。因此意志会到处在个体的杂多性中对自己显现。但这杂多性并不涉及作为自在之物的意志,而只涉及意志的现象。意志在每一现象中都是完整的,未经分割的,而在四周它却看到无数复制着自己本质的肖像。可是这本质自身,也就是真429正的实在,那是它只能直接在自己内部找到的。因此每人都想一切为自己,要占有一切,至少是控制一切,而凡是抗拒他的,他就想加以毁灭。加之在那些认识着的生物,个体便是认识的主体的负荷者,而认识的主体又是这世界的负荷者;即是说这个体以外的整个自然,从而一切其他个体都只在这个体的表象中存在。这个体永远只是把其他个体当作它的表象,也即是间接地,作为依赖于它的本质和生存的东西而意识着的;因为这世界对于它,必然是随同它的意识一起消灭的,亦即它的意识消灭时,这世界的存在或不存在对于它就会是同一个意义而不能加以区别了。所以每一认识着的个体在实际上是,也发现自己是整个的生命意志或这世界自身的本体,而作为表象它又是补足这世界的条件;从而个体是一个小宇宙,是要和大宇宙等量齐观的。到处永远都是率真的大自然本身,不依赖一切反省的思维,自始就已简单地,直接确实地赋予了个体这一认识。从已提出的两种必要规定就可以说明每一个体,尽管它在无边际的世界里十分渺小,小到近于零,何以仍然要把自己当作世界的中心,何以在考虑其他之前首先要考虑自己的生存和幸福;何以在这一自然的立场上不借为它这生存而牺牲一切,不借为它自己这沧海一粟保存得更长久一点而毁灭这世界。这种心理就是利己主义,而这是自然界中每一事物本质上的东西。不过也正是由于这利己主义,意志和它自己的内在矛盾才达到了可怕的公开表现。这是因为利己主义所以有其存在和本质,是在于小宇宙和大宇宙的对立;或是在于意志,由于它的客体化有个体化原理为形式、因而得以以相同的方式显现于无数个体之中,并且在每一个体中在两方面[意志和表象]都是整个地,完全地显现。所以一面是每一个体自己都是作为完整的意志和完整的意象者[或表象的表面出之者]而直接被知的,一面是其余的个体就得次一步只是作为它的表象而被知,因此,对于这一个体,它自己的本质及其保存就要放在所有一切之上了。对于自己的死,人人都视为世界的未日似的;对于他那些熟人的死,如果他本人不一定参预丧事的话,就只当作一件满不相干的事听听罢了。在已上升到最高度的意识里,在人的意识里,利己主义[的自私自利]也必然和认识,和苦乐一样达到了最高的程度;而以利己主义为前提的个体斗争也必然会以最可怕的形式出现。这一点是我们到处看在眼里的,是在大小事情中都看得到的;不过有时是在可怕的方面,在无道的暴君和恶人们的生平中,在为祸全世界的战争中看到,有时又在滑稽的方面看到。在滑稽的方面,这一点是喜剧的题材,并且特别是出现为自高自大和虚荣。这些东西,还没有人是像洛希福果那样来了解的,是像他那样抽象地把它们表示出来的。至于我们看到这一点则是在世界史和自己的经验中。不过这一点表现得最显著的是任何一群人在一旦解除了一切法律和秩序的[约束]时,那时立即就会出现最明显的人自为战。霍布斯在《国家论》第一章里很恰当地描写了这一点。这里看得出每人不仅是要从别人那儿夺取自己所要的,而是为了稍微增加自己一点幸福就要毁灭别人整个的幸福或生命。这是利己主义的最高表现。就[人我利害] 这方面说,还要超过这种自私现象的就只有真正的恶毒那些现象了。恶毒完全是损人不利己地企图给别人找痛苦,制造损失而无须有利于自己;下面就快要谈到这一点了。——人们请拿我在获桨论文《沦道德的基础》§14里关于利己主义所作的论述和这里对于利己主义的来源的揭露对比一下。

    上面我们已发现痛苦在一切生命中都是本质的,不可避免的。痛苦的一个主要来源,只要痛苦一旦是实际地而且是以一定的形态出现的,就是那[纷争之神]埃瑞斯,也就是一切个体的斗争,就是附着在生命意志之中,由于个体化原理而看得见的矛盾的表现。举行人兽搏斗就是直接而露骨地使这矛盾形象化的残酷手段,在这原始的分歧对立中,尽管人们对此采取了措施,仍然存在着痛苦所自来的一个不竭的源泉。我们现在立即就来进一步考察这个源泉。

    我们已经讨论过初步的、简单的生命意志的肯定仅仅只是自己身体的肯定。这就是说意志如何通过动作而在时间上表出它自己,要以身体在它的形式和目的性中如何在空间上表出这个意志为限,不可超过。这种肯定表现为身体的保存,是借这身体本身各种力量的运用[来达到目的的]。直接联系到身体保存上来的是性冲动的满足,而性器官既是属于身体的,在这意义上性冲动的满足也就是属于身体保存的了。因此自愿的,完全不基于动机而放弃性冲动的满足已经就是生命意志的否定了,是生命意志在既已产生而起着清静剂的作用的认识上自愿的取消它自己。准此,这样的否定自己身体就现为意志和它自己的现象之间的一个矛盾了。这是因为在人的身体上,性器官虽然是繁殖这意志的客体化,可是现在不想要繁殖了。正是因为这一点,也就是因为否定自己的身体就是生命意志的否定或取消,所以这样的放弃[色欲]是一种困难的和痛苦的自我克制。不过关于这一点且到后面再谈。——但是意志既然在无数并列的个体中表出那种本人身体的自我肯定,那么,意志在一个个体中凭着万物无不具有的利己主义,就很容易超出这一肯定,[并超出很远,]直到否定在其他个体中显现的同一个意志。[这是]前一个体的意志侵入别人意志的肯定的范围了,因为这时前一个体或者是对别人的肉体本身加以毁灭或伤害,也可以是强制别人身体中的力量为自己的意志服务而不为在别人身体中显现的意志服务。即是说如果这一个个体从显现为别人的身体的意志那里抽走了别人身体的力量,并从而把为别人的意志服务的力量加到他自身的力量之上去,那便是借否定在别人身体中显现的意志以超出他自身以外而肯定他自己的意志。——这样侵入别人的意志之肯定的范围,自来就是人们清楚地认识到了的,而这种侵入的概念便是用”非义”这个词儿来标志的。因为[非义的施受]双方固然不是像我们在这里有着明确的抽象的认识,但在感情上都是立即认识到这问题的。承受非义的方面由于自己的身体被别的个体所否定,就感到侵入他的身体的肯定的范围是一个直接的精神的痛苦;而这种痛苦和此外由于实际的动作而感到的肉体痛苦和由于[物质的]损失而感到的懊丧是不同的,完全分立的。另一方面在施行非义的方面就有这样一种认识,他在本体上,和同时也在对方身体中显现的意志是同一个意志,不过这意志在它的一个现象中是那么强烈的肯定自己,以致它由于超出自身和自身力量的范围之外而成为其他现象中的同一意志之否定;于是这意志作为它本体自身看,就正是由于它的强烈而在和自己斗争,在自食其肉。——不过这种认识,我要说,在施行非义的人也不是一下子就在抽象中获得的,却[只]是作为模糊的感受而获得的。人们把这种感受叫做“良心的责备”,在这里更狭义些说或者就叫做“所行非义之感”,[亦无不可]。

    在这里我们已在最一般的抽象中分析了非义的概念。具体说来,真正吃人[肉]的野蛮行为就是非义最完整,最恰当和最便于指出的表现。这是非义在意志客体化的最高级别上最显著的类型,是意志对自己作最大斗争的可怕情景。而意志客体化的最高级别就是人。在仅次于吃人行为的凶杀中,随着凶杀的实行之后,我们刚才抽象地干巴巴地指出其意义的良心责备立即以可怕的明确性随而出现,并且在精神的安宁上留下一辈子也治不好的创伤;因为我们对于已犯的凶杀发抖,和对于行将要犯的凶杀战栗退缩一样,都是和[人们]对生的无限留恋相符的。而一切有生之物,正因为是生命意志的显现,所以都是为这种留恋所渗透的。(此外我们还要在后面一点更详尽地分析随非义和恶毒行为而起的那种感情或良心的不安,并使之上升到概念的明确性。)要看作本质上和凶杀相同,只在程度上和凶杀有别的,是故意使别人的身体残废或只是受到伤害,以及任何打人的行为。——非义还表现于束缚别的个体,表现于强制他为奴隶;最后还表现于侵占别人的财产。如果财产是别人劳动的果实,那么侵占别人的财产和奴役别人在本质上就是相同的,两者之间的关系也等于单是伤害之于凶杀。

    这是因为根据我们对于非义的解释,财产如果不行非义就不得拿走,则财产只能是别人自力劳动的获得。所以拿掉别人的财产就是从已客体化于该人身体中的意志那里拿掉这人的体力,以使这份体力为在另一身体中客体化了的意志服务。只有这样,施行非义的人虽不是侵犯别人的人身,而是侵犯一种没有生命的,和别人的身体完全不同的东西,然而仍然是侵入了别人的意志之肯定的范围;因为别人的体力和劳动等于是同这东西乳水交融而等同起来了。由此推论,可知一切真实的财产所有权,也就是道德的财产所有权,原来是,唯一无二的是以劳力加工为根据的;正如在康德以前这就是颇为人们所普遍承认的,并且也正如这就是最占老的一种法典说得明确而优美的:“熟习古代的智者们说,谁铲除了田野里的树木,把田野打扫干净,犁过了,这块耕地就为他所有;正同谁是第一个给予一只羚羊致命伤的,这羚羊就属于他。”(《摩奴法典》Ⅸ,第44页。)在我看来,康德的全部法理学是一些互相牵混的错误很特别的交织在一起,我认为这只能以康德老年的衰弱来解释。就是这一点也是可以说明的,他是以优先占有作为财产所有权的根据的。但是单凭我的意志宣告不许他人使用一件东西,怎么就能立即赋予自己对于这东西的合法权利呢?显然,这样的宣告本身就需要一个法理根据,而不是如康德所认为的这宣告本身就是一个法理根据。如果除了自己的宣告外别无其他根据就要独占一件东西,那么,又怎能说别人不尊重这种要求就是这人在实质上,亦即在道德上,行为非义呢?在这件事上怎么会使别人良心不安呢?这是很明白和容易理解的[道理],即是说根本不能有什么合法的占取,唯一能够有的只是对一个东西的合法领有,合法获得,[而这是]由于原来就是对这东西使用了自己的劳力[来的]。因此,一件东西只要是由于别人的辛勤加过工的,改良过的,或是防止了事故而得保存的,即令是这么微小的辛勤,只是摘下或抬起一颗野生的果子,但是夺取这样的东西显然仍是那掠夺者拿走了别人用在这上面的劳力的果实,显然仍是让别人的身体为他的意志服务而不是为别人自己的意志服务;是超出了他那意志的现象而肯定他自己的意志,直到否定别人的意志:这就叫作行为非义。——与此相反,单是享受一样东西,对此并无任何加工或并未采取任何安全措施以防破坏,那么,这也和单凭他的意志宣告他自己的独占,是一样的没有对此提出一种合法权利。所以说即令一个家族在一个世纪以来就是独自在一个猎区行猎,但没有做一点什么来改进这个猎区;那么,如果现在有新来的外人也要在这里围猎,这家族要不是在道德上非义,根本就不能加以反对。因此所谓优先占有权只是人们在白白享受过一样东西之后,还要加以报酬,即还要求继续独享的权利,这是在道德上完全没有根据的。对于单是立足于这种权利上的人,那后来的新客就有更好的理由来反驳他:“正是因为你已享受了这么久,所以现在也该由别人来享受了。”任何一件无法加工的东西,既不能加以改善,也无从采取安全措施以防事故,就都不能在道德上提供有根据的独占权。这种东西的占有,可能是由于其他一切人的方面为了报酬占有人在别方面的贡献而自愿让出来的,不过这已假定了一个由传统习俗所约束的集体,假定了国家。——在道德上有根据的所有权,如我们在上面所引伸的,在其本性上就赋予所有人以支配其所有物的无限权力,和这所有人对于他自己的身体有着无限的支配权一样,因而他可以用交换或赠与的方式把他的财产转让别人,而别人又得和他一样的以同一道德的权利占有这份财产。

    根本说起来,非义的施为不是用暴力就是用阴谋,而从道德上本质的东西看,两者只是一回事。首先就凶杀说,我用的是匕首或是毒药就并没什么区别。用类似的方式伤害人身,结果也是一样。其他情况的非义一概可以还原为我,作为非义的施行人,总是强制别的个体不为他的意志而为我的意志服务,不按他的意志而按我的意志行动。在暴力的方式上达到这一目的是通过形体上物理的因果性,在阴谋的方式上则是通过动机的构成,亦即通过认识检验过的因果性,从而是我给他的意志敷陈一些假动机,使他以为他凭这些动机是在服从他自己的意志,而其实他是在服从我的意志。认识既是动机所在的媒介,那么,我要做到这一切就只有使他的认识错误,而这就是谎骗。谎骗的目的每次都是在于左右别人的意志,而不仅是在于影响他的认识;不是为了他自为的认识本身,而只是以影响他的认识为手段,即只在认识决定他的意志这范围内来影响他的认识。这是因为我的谎骗是从我的意志出发的,这谎骗自身也需要一个动机,而这样一个动机却只能是[左右]别人的意志而不能[止于影响]别人自在的,自为的认识而已;因为[别人]这样的认识决不能对我的意志有什么影响,所以决不推动我的意志,决不能是我这意志所有的那些目的的动机,而只有别人的欲求和行动,[要别人做什么]才能是这样一个动机。由于这一点,从而也只是间接地,别人的认识也才能是这样一个动机。这不仅在一切显明从自私自利出发的谎骗上是这样,就是在纯从恶作剧产生的谎骗上——恶作剧是要在别人由此促成错误而产生的痛苦后果上取乐——,也是这样。甚至只是单纯的吹牛,因为借此可以从别人方面获得较大的敬重或较好的评价,也是意在对别人的欲求和行动发生更大的更易获致的影响。单是拒绝说出一个真理,也就是根本拒绝说出什么,这,本身还不是什么非义,但以任何谎语骗人上当却都是非义。谁拒绝为走错了路的人指出应走的路,这还不是对这人非义,但故意教他走错却是非义。——从这里说出的[道理]推论起来,任何谎骗作为谎骗论,都和暴行一样的是非义;因为谎骗既作谎骗论,其目的已经是在于把自己意志的支配权扩充到别的个体的身上去,也就是以否定别人的意志来肯定我的意志,正和使用暴力相同。——不过最彻底的谎骗却要算毁约,因为在契约里一切条文规定都完备而清楚齐全。原来当作在签订一份契约时,别人承担的义务直接而自明的是我此后承担义务的动机。双方互许的条款是经过考虑而正式交换过的。各人在契约中所作声明的真实性,按[原来]的认定,都在各自的掌握之中。如果对方破坏契约,那么他就是欺骗了我。并且,由于他只是拿假动机来蒙混我的认识,以便按照他的企图来左右我的意志,把他的意志的支配权扩张到别的个体上,所以他就是作出了完全非义[的行为]。一切契约在道德上的合法和有效都以此为根据。

    就非义的施行者说,使用暴力还不如使用阴谋那么可耻,因为暴力的非义是从体魄的力量产生的,而体魄的力量在一切情况之下都是使世人震惊倾服的。阴谋的非义则相反,采取绕圈子的办法就已泄露了其人的懦弱;所以这是同时从体魄方面和道德方面把他的为人贬低了。加之哄和骗所以能够成功,是因为进行哄骗的人为了取信于人,自己还不得不装出对哄骗痛恨和鄙视的样子;哄骗所以得逞是基于人们相信他的诚实,而这却是他没有的。——诡计多端,背信弃义和出卖行为所以到处引起深恶痛绝,乃基于忠信诚实是一根拴带,它从外面使一一分散于个体杂多性中的意志重行统一起来;并且也是由于这一作用才限制了由于意志分散而产生的利己主义的后果。背信弃义和出卖行为却是撕断这根最后的,外在的拴带,是由此而为自私自利的后果提供无限的活动范围。

    在我们考察方式的联带关系中,我们已发现作为非义这概念的内容的,是一个人的某种行为属性;在这种行为属性中他把显现于他身体中的意志之肯定如此扩张了,以至这种肯定势将否定显现于别人身体中的那意志。我们还在一些只是一般的例证上指出了非义的范围从哪儿开始的界限;同时,我们也曾用过少数的几个主要概念从最高到较低一些的程度规定了非义的等第。据此,非义这概念乃是原始本然的、正面的;而与此相反的正义这一概念却是派生的、反面的。因为我们必须不把自己局限在字面上,而是应该在概念上说话。事实上,如果没有非义,就决谈不上正义,即是说正义这概念仅仅只含有非义的打消。任何行为,只要不超出上述界限,亦即不是否定别人的意志以加强本人自己的意志之肯定,便都包括在这一概念中。所以单是就纯粹道德的规定这方面看,上述界限已把[一切]可能的行为的全部领域划分为非义和正义[两个方面]了。一种行为,只要不是按上面分析过的方式,在否定别人意志时侵入别人的意志之肯定的范围,就不是非438义。例如别人有急难而不予以援手,或自奉育余面对别人的饥饿且死袖手旁观,这固然是残酷的,无人性的,但不是非义。[在这种场合,]能够以充分的把握来说的只是:谁要是不仁而冷酷竟达到这种程度,那么也完全可以肯定,只要他的愿望要求这样作而没有什么强制力加以阻拦,任何非义他也都干得出来。

    不过,从正义这概念作为非义的打消说,则这概念主要的是使用在以暴力抵抗非义的图谋这种情况上;并且无疑的,这概念的原始产生也是从这种情况来的。这种抵抗不可能本身又是非义,所以抵抗是正义的;尽管在抵抗时所施展出来的暴力行为就其本身孤立地看好像是非义,而只是在这里由于行为的动机才算是公道的,也就是才成为正义的。如果有一个个体在肯定他自己的意志时,竟至于侵入我本人作为一个人格的人在本质上[具有]的意志之肯定的范围,并以此否定我这意志之肯定,那么,我抵抗这种侵犯就是否定这一否定。就这一范围说,在我这一方面,除了肯定本质上必然地、原始地在我身体中显现着的,仅由我身体的现象即已随同包含在内而表出的意志之外,并没有做什么;所以这就不是非义而是正义。这就是说:我由此有一种权利来使用为了取消别人那否定而必需的力量来否定别人[对我]的否定;而在这样作时,如易于理解的,甚至可以成为杀死别的个体。对他的侵害,作为侵入的外来暴力;加以抵抗是不算非义的,从而是有权用一种有些超过外来暴力的反作用来加以抵抗的;因为在我这方面所发生的一切,始终只在我本人作为这样一个人本质上必有的,由于我这人即已表出在“意志之肯定”的范围内(这就是斗争的舞台)而不侵入到别人的这种范围里去,这就只是否定之否定,也就只是肯定,本身不又是否定。所以说,我的意志既显现于我的身体中,又以自身的力量保全自身而不否定任何遵守同一界限的别人的意志,我就可以不为非义而强制那否定我的意志的别人意志不去实行这一否定,即是说在这一限度内我有一种强制权。

    在我有强制权,有完整的权利以暴力对付别人的一切场合,随情况的需要我也可以一样的不为非义而以诡计来对付别人的暴力,从而是恰在我有强制权的范围内,我也确有谎骗之权。因此,谁要是对一个搜索他身上财物的市井匪徒保证他身上再没有什么东西了,[即令是谎语也]完全是正义的行为。同样,谁要是用谎话把一个黄夜闯进来的强盗骗进地窖而把强盗反锁在里面。也是正义的。谁要是被绑匪掳去,例如被[北非]耙耙内斯克人掳去,他为了恢复自己的自由不仅有权以公开的暴力而且有权以计谋杀掉那些人。——因此,由直接对内体的暴力行为压榨出来的诺言根本就没有拘束力,因为忍受这种强制的人完全有权用杀人的方式把自己从暴客手里解救出来,更不用说用欺骗的方式了。谁要是不能以暴力取回被劫走的财物,而是用计谋弄了回来的,也不是作了非义之行。如果有人把从我手里抢去的钱赌输了,那么我甚至有权对他使用假骰子,因为我从他那里赢回来的[钱]原来就是属于我的。谁要否认这一点,就必然更要否认战争中用计的合法性,因为这甚至是出之于行动的谎骗,是瑞典女王克瑞斯汀所说[名句]的一个例证,她说:“人们说的话根本就不能作数,至于他们的行动几乎也是不可信任的。”——依此说来,正义与非义之间的界限诚然是间不容发。此外我认为再要去证明这一切和[我们]上面关于谎骗与暴力都是非义的讲法完全一致,是多余的;这一切也可用以阐明关于[迫不得已的]急谎那一奇特的理论。

    根据前此所述的一切,那么非义和正义就只是些道德的规定,也就是在人类行为作为这种行为来考察的方面和就这行为本身的内在意义看都有效的规定。这是直接呈现于意识中的,一方面是由于非义行为有一种内在的痛苦与之相连,即施行非义的人单纯地感到的一种意识,[意识到]他肯定自己的意志过于强烈,竟至于否定了别人的意志现象;也是由于[意识到]他作为现象看固然有别于非义行为的承受者,但在本体自身上又是和承受者同为一个东西。进一步阐明良心不安的内在意义却只能在更后面再谈。在另一方面,非义行为的承受者也痛苦地意识到他的意志被人否定;[尽管]这意志是由于他的身体和身体的自然需要就已表现出来了的,而大自然是教他指靠自己身体的力量来满足这些需要的。同时他还意识到他可以不为非义而用尽一切方式来抵御那否定,只要他有力量做得到。这种纯道德的意义是义与非义所有的唯一意义,但这是就人作为人而不是作为公民来说的;所以即令没有一切现行法规而处于自然状态中,这种意义依然存在,并且是构成一切现行法规的基础和内容。这就是人们所以称为自然法的东西,但还不如称之为道德法;因为它的效力管不到受害的方面,管不到外在的现实,而只及于[人的]行为和由此而产生于人的自我认识,对于他个人的意志的自我认识——这就叫做良心——;自然法在肉然状态中不能在每一场合都能对外,对其他个体有效,不能在每一场合防止强权代替正义作统治者。在自然状态中有赖于每一个人的只是他在任何场合都不为非义,而决不是在任何场合不承受非义,[承受非义与否]则有赖于他偶然的外在的强有力。因此,义与非义的概念对于自然状态固然也有效而决不是传统习俗性的;但在那儿却只是作为道德的概念而有效,以便每人自己认识本人自己的意志。生命意志在人类个体中肯定自己,强烈的程度是极不相同的。这些道德的概念在刻画强度的表上就等于温度表上的冰点一样,是固定的一点,也就是自己意志的肯定成为别人意志之否定的那一[临界]点,这就是说由于施行非义而得指出意志的激烈程度和认识在个体化原理(这是整个儿为意志服务的“认识”的形式)中被局限的程度相结合[的一点]。不过如果有人把[他对于]人类行为的纯道德性的考察放在一边或加以否认,而只就外在的作用和效果来考察行为,那么,他当然也可追随霍布斯把义与非义说成是传统习俗的,任意采用的规定,因而也是在现行法以外根本就不存在的规定。并且我们也决不能用外在的经验使他明白[本来] 决不属于外在经验的东西。譬如上述这个霍布斯,他就有一种说法极为突出地标志着他那已经完成的经验主义思维方式的特点。在他那本《几何学原理》中他否认全部真正纯粹的数学,而顽固地断言点有广袤,线有宽度。可是我们也决不能指出一个没有广袤的点,一根没有宽度的线,我们不能使他明白数理的先验性,正如不能使他明白法理的先验性相同,他反正是对任何非经验的认识都关了门。

    那么,纯粹法学就是道德里面的一章了,并且直接只是和行动的施为有关,不与行动的承受有关。原来只有行动是意志的表出,而道德又是只考察意志的。行动的承受则是赤裸裸的“事态”,道德只能间接地也考虑行动的承受,亦即仅仅为了证明凡只是为了不承受非义而发生的事并不是非义。——申论道德的这一章,它的内容应是规定一个准确的界限,规定个体在肯定已在他身体中客体化了的意志时,可以走到哪儿,而不至否定那显现于另一个体中的同一意志,然后又规定超出这界限的行为必然是非义,因而是可以不为非义而加以抵御的。所以说考察的着眼点总是自己本人的行动。

    可是在作为事态看的外在经验中,承受非义也就出现了。在非义的承受中,如已说过的,生命意志和它自己对抗的现象比在任何其他地方还要表现得更明显些。这种对抗现象是从个体的众多和利己主义两者之中产生的,这两者又是以个体化原理为条件的;而对于个体的认识,这原理就是表象世界的形式。在上面我们还曾看到很大一部分人生本质上的痛苦都在这种个体对抗上有着它永不断流的来源。

    不过所有这些个体所共有的理性,并不是让他们像动物一样只看到个别个体,而是也让他们抽象地认识到在联系中的整体;并且很快就已教会他们去理解痛苦的来源,使他为减轻痛苦,或是可能的话就取消痛苦而想出办法;也就是教大家作出同样的牺牲,大家由此获得的共同利益足以抵偿这牺牲而有余。在某些场合出现时,施行非义对于个别人的自私自利虽是那么畅快,可是在另一个体的承受非义之中,却有着它必然的对应物,对于这另一个体这可是大大的痛苦。于是,在这考虑整体的理性跳出它所属个体的片面立场而暂时摆脱自己对这个体的迷恋时,这理性就已看到施行非义在这一个体中的享受每次都要被在另一个体承受非义之中相对更大的痛苦所超过,此外还看到这里既然是一切都凭偶然[机会的]摆布,所以每人都要怕自己觑便施行非义的享乐会要比承受非义的痛苦更难到手。由此,理性认识到或是为了减轻遍布于一切的痛苦,或是为了尽可能平均分摊这痛苦,唯一最好的办法就是由一切人放弃那些以施行非义来追求的享受,而给一切人消除承受非义的痛苦。——所以说这个办法,这个由于理性的运用,不难被按方法从事而摆脱自己片面立场的自私心想了出来,然后逐渐使之完备的办法,就是国家契约或法律。像我在这里指出国家的起源一样,柏拉图在《共和国》里就已这样把它表述过了。事实上也只有这才是本质上唯一的国家起源,是由这事的本性所确定的。在任何国土也没有一个国家能够另有一种起源,因为正就是这一发生方式,这一目的,才使国家成为国家;并且在成为国家的时候,就不问某一民族在事前的状态是一群互不相属而独立的野人(无政府状态),或是强者任意统治着的一群奴隶(专制状态),这都无关宏旨。在这两种情况之下还没有什么国家,直到那共同的协议成立,国家才诞生;并且是各按该协议或多或少地不搀杂无政府状态或专制状态,国家也就随之而是较完善的或较不完善的。共和国倾向于无政府状态,君主自倾向于专制状态,为此而想出来的立宪君主这条中间道路又倾向于议会党团的统治。[真]要建立一个完善的国家,人们必须从创造一些人物着手,这些人的天性根本就能让他们为了公共的福利而彻底牺牲自己的福利。不过在做到这一点以前,已经有一个差强人意的办法,不无小补,即是说如果有那么一个家族,这家族的福利和那一个国家的福利是分不开的,那么,至少在主要的事务上就决不可能只推进其一而不推进其二。世袭君主制的力量和优点就在于此。

    道德既然只涉及正义的或非义的施为,并能为那大致已下定决心不为非义的人精确地指出他行为的界限;那么,政治学,亦即关于立法的学说,则相反,就只在非义的承受上说话了;并且如果不是为了非义的施为每次都有它必然的对应物,必然有非义的承受,也就决不会关心非义的施为。非义的承受,作为立法所反对的敌人,那才是立法的着眼点。进一步说,如果可以想像有一种非义的施为,并没有另一方面的承受非义与之相联,那么,彻底说来,国家也就决不会加以禁止。——再进一步说,因为意志,[人的]居心,是道德上考察的对象,也是[道德上]唯一的实在,所以旨在必行非义,唯有外力才能加以制止或使之不起作用的坚决意志,在道德上和真正已经干出来的非义完全是意味相同的;在道德的审判之前,这样居心的人就被谴责为非义的。国家则与此相反,根本一点也不理会单纯的意志和居心本身,而只关心[实际]行动(不论是还在图谋中的或已见诸事实的),因为这行动在别的方面有其对应物,有痛苦的承受。所以,对于国家说,实际行动,事态,是唯一的实在,而居心,意图之被追究只是为了从这些可以看出实际行动的意义。因此国家不会禁止任何人在他思想中对别人经常藏着谋害毒杀[的祸心],只要国家已确知对于剑和轧轮的恐惧会不断阻止那祸心真正起作用。国家也没这么个愚蠢的计划,要消灭不法行为的心理倾向,消灭恶毒的居心;而且是在每一种可惜以实现不法行为的动机旁边,总要在无可幸兔的刑罚中列上一个分量更重的,用以打消不法行为的动机。这样看来。一部刑法也就是一本尽可能完备的登记簿,[详载着]所有一切可能假定的罪行的反动机。——[罪行和反动机]双方都是在抽象中假定的,以便一旦有事时在实际上加以应用。于是政治学或立法[事宜]为了它这目的就会向道德惜用法学在规定义与非义的内在意义之外,还精确地规定了两者间的界限的那一章,不过也只是为了利用那一章的反面而把人们如果不想施行非义,道德就认为不能逾越的一切界限,看作是人们如果不想承受非义就不能容许别人逾越的界限,亦即人们因而有权把别人从那儿赶回去的界限。因此,这种界限就要尽可能从消极方面用法律把它巩固起来。由此,如果人们相当俏皮地把历史学家称为笨拙的预言家,那么法学家就是笨拙的道德家了;而本来意义上的法学,亦即关于人们可以伸张的权利的学说,在它讲论那些不容损害的权利那一章里,也就是笨拙的道德了。“非义”这概念,和“非义”的否定,“正义”这概念,本来都是道德[性质]的;[但在这里]由于出 发点从积极方面转到了消极方式,也就是由于方向转变而成为法律[性质]的了。这一点,和康德的法学一起——康德非常错误地从他的绝对命令引伸说国家的建立是一种道德的义务——,正在最近期间一再引起这样一种很奇特的谬论,说国家是一种促进道德的设施。国家是从追求道德的努力中产生的,因而国家的建立是针对利己主义的。好像那唯一说得上道德或不道德的内在居心,永远自由的意志,也能从外面来加以修正似的,也可由外来作用加以改变似的!更错误的一个“理论”说:在道德的意义上,国家是自由的条件,从而也是道德性的条件;可是自由却是在现象的彼岸,更无庸说是在人类设施的彼岸了。国家,如已说过,既不是根本反对一切利己主义,也不是反对利己主义的利己;而是相反,国家恰好是从一切人有着自知之明而按方法办事的,从片面立场走到普遍立场,由是而总括起来的共同的自私中产生的,是专为这种利己主义服务而存在的;是在纯粹道德性的不可期,亦即纯出于道德理由的正义行为不可期这一正确前提之下建立起来的,要不然国家本身也就是多余的了。所以国家不是为了反对利己主义,而是为了反对利己主义那些有害的后果,亦即反对从自私的个体的众多性中,在他们一切人彼此互施中产生而损害他们福利的后果,又以此福利为目的而建立的。因此亚里士多德就已说过:“国家的目的是大家生活得好,而生活好就是生活幸福和美好。”(《论共和国》,Ⅳ ,还有霍布斯也完全正确地、卓越地分析了国家的这一起源和目的。同样,一切国家秩序的那一古老基本原则:“公共福利应是法律的第一条”也标志着同一起源。——国家如果完全达到了它的目的,它就会产生这样一个现象,等同于普遍都是彻底平正的居心在起作用似的。可是这两种现象的内在本质和起源[在两者之间]却是相反的。即是说在后面这一场合是没有人想要施行非义,而在前面那一场合却是没有人想要承受非义,并且是为了这个目的,一切适当的办法都已用上了。这就是同一根线得以从相反的方向来描画;而一头带上了口罩的猛兽也会和一头草食兽一样不会伤人了。——可是要超过这一点而进一步,国家就无能为力了;国家不能演出一种好像是从普遍的互惠互爱中产生出来的现象。这是因为如我们刚已看到的,国家由于它的本性就不禁止非义[或不法]行为,假如是根本没有非义的承受在另一方面与之相应的话,只因为这是不可能的事情,国家才禁阻一切非义[或不法]行为。那么反过来,国家按它以全体幸福为目的的倾向,也将要乐于致力使每人都蒙受人类仁爱各种各样的美意和善行,要不是这些美意善行的事业在具体实施中也有一种对应物的话。可是在这种场合,国家的每一公民就都会想充当那被动的角色,没有一个人会要想充当主动的角色了;并且也没有一个什么理由可以责成某人应在某人之先来充当这主动的角色。因此,可以加以强制的只是消极的东西,那也就正是法律;而不是积极的东西,那也就是人们在好心肠的义务或不完全的义务这类名称之下所理解的东西。

    如已说过,立法从道德借来纯粹法学或讨论义与非义的本质和界限的学说,以便为了那和道德不相干的立法目的而从反面来利用这种学说,并按以制订现行法律和建立维护立法的工具,建立国家。所以实际的立法就是从反面来应用的纯道德的法学。这种应用可以尊重每一特定的民族固有的条件和情况而见之于实施。但是,只有现行立法在本质上是彻底按纯粹法学而规定的,并且要立法的每一条款都能在纯粹法学中找到根据,然后所产生的立法才真是积极的正义;而这国家也才是一个道义的集体,才是名副其实的国家,才是道德上容许的设施,不是不道德的设施。否则相反,现行立法就会是为积极的非义奠定根据,立法自身就会公开自承是由强制而成的非义。属于这一类型的是任何一种专制政体,是大部分回教国家的政体;甚至许多宪法的某些部分也属于这一类型,例如入身所有权,强制劳役等等。纯粹法学或自然法,更好是叫做道德的正义,固然总是要由于倒转方向才成为任何道义的现行立法的基础,等于纯粹数学是任何一支应用数学的基础一样。为了这一目的,纯粹法学和哲学一样,也有它要向立法传播的最重要的几点:1)说明义与非义两概念内在的和本来的意义,以及两概念的起源,两概念在道德上的应用和地位。2)财产所有权的引伸。3)契约的道德效力的引伸,因为这是国家契约的道德基础。4)国家的起源和目的的说明,说明这一目的对道德的关系,以及随这一关系[如何]通过方向倒转,按目的而移用道德的法学到立法上来。5)刑法的引伸。——法学的其他内容不过只是这些原则在一切可能的生活关系上的应用,是义与非义间界限的详细规定,所以这些关系都是在某些一定的观点和标题之下加以分合的。在这些[如何分合]特定的论点上,所有的纯粹法学教科书都颇为一致;唯独在那些原则上则说法极不相同,因为这些原则总是和某种哲学相联的。在我们既已按我们的哲学体系简单而概括地,然而也是坚定而明确他说明了[上面]那些重点的前四点之后,还有刑法[这一点]也正要用同样的方式来谈一谈。

    康德提出了一个根本错误的主张,他说在国家之外就没有完整的所有权。根据我们上面的引伸,在自然状态中也有财产,附带也有完整的、自然的,亦即道德的权利。这种权利,不行非义就不能加以损害,但拼着一切而加以保护却不是非义。与此相反,在国家之外没有什么刑法,那倒是确实的。整个刑事处分权都只是由现行法奠定基础的。现行法在[人]犯法之前就对这种犯法[行为]规定了刑罚,而刑罚的恫吓作为反动机,就应该在分量上超过那一犯法行为的一切动机。这种现行法应看作是这国家一切公民所批准,所承认的。所以现行法是建基于一个共同契约之上的,在任何情况之下国家的一切成员都有义务遵守这一契约,也就是在一方面有用刑的义务,在另一方面又有受刑的义务。所以强制受刑是有理由的。从而刑司的直接目的,在个别场合是把法律当作契约来遵守的。可是法律的唯一目的是吓住[人]不要侵犯别人的权利,因为只是为了每人都有保障而无须承受非义,人们才结集为国家,才放弃施行非义而承担维护国家的重责。所以法律和法律的执行——刑罚处分——基本上是着意于未来而不是着意于过去的。这就是刑罚和报复的区别,后者的动机革是在已经发生了的事故上,也就是只在过去作为过去上。一切以痛苦加于人来伸雪非义,而对于将来又别无目的[的行为],就都是寻仇报复,并且是除了看到人们自己在别人身上造成的痛苦而以之安慰自己所受过的痛苦外,不能再有其他目的。这种事情是恶毒的,残忍的,是伦理上不能为之辩护的。人以非义加于我,并非使我有权以非义加于人。以怨报怨而别无其他意图,既不是道德的,也没有任何理性上的根据可以把它说成是合理的;而提出报复权作为刑事处分权一个独立的最后的原则,那是意义空洞的。所以康德的学说把刑罚看作单纯的报复,只是为报复而报复,是完全没有根据而错误的见解。然而这种见解像幽灵似的,总还是在许多法学家的著作中以各种各样的华丽词句出没,而结果都是些空泛的废话,如说:罪将以受罚而得赎或是两抵而取消等等,等等。但[事实上]任何人都无权把自己捧出来充当一个纯粹道德的审判员和报复者;而以自己加于人的痛苦来找别人的过失算帐,也就是责成别人为过失而忏悔。这反而是一种最不自量的妄自尊大,正是为此,所以《圣经》上说:“上帝说报复是我的事,我会要报复的。”人很可以有权为社会的安全谋划,不过如果要行得通,就只能依法禁止所有那些以“犯罪”一语标志出来的行为,以便用反动机,亦即用有威慑性的刑罚,来预防;但这种威慑性如遇[犯罪行为]仍然要出现的场合,就只有付之执行才能有效。刑罚的目的,或更恰当些说刑法的目的,就是吓住不要犯罪,而这是一条如此普遍公认的,甚至自明的真理,以至[这真理]在英国皇家检察官于刑事案件中至今还使用的那古老控诉程式中就已说出来了,原来那控诉程式的结尾说:“如果这被证明了,那么你,即上述某某,应以法定的痛苦加以处分,以便在永久永久的将来制止别人再犯同样的罪”。——目的是为了将来,这才使刑罚不同于报复;并且只在刑罚是为了法律的有效才付之执行的时候,刑罚才有这一目的。刑罚也恰好只是由于这样才能对任何未来的情况宣称为不可幸免的。才为法律保留了吓住不犯罪的作用,而法律的目的就正在于此。——在这儿康德派又少不了要反驳说,根据这种见解,被罚的罪犯就“只是当作工具”使用罢了。但是所有康德派这样不厌倦地跟着说的这句活:“人们只可一贯把人当作目的,决不可当作手段对待”:人固然听起来像是一句有意义的话,因而对于所有那些想要一个公式,用以免除他们一切深思[之劳]的人们,这也是非常适合的一句话;然而在光线[充分的地方看清楚些],这不过是极空泛,极不确定,完全是间接达到他原意的一句话。在任何一个场合应用这句话,都需要先加以特别的说明,特别的规定和限制;[单是]这样笼统地使用却是不够的,[能]说明的也不多,并且还是有问题的。既已依法判处死刑的杀人犯现在就必须只是当作工具来使用,而且[人们]完全有权这样做。这是因为公共治安,国家的主要目的,已被他破坏,如果法律还不生效的话,公共治安就会被取消了。而杀人犯,他的生命,他本人,现在就必须成为使法律生效的工具,以便由此而成为恢复公共治安的工具,并且为了履行国家的契约[人们]也有充分的权利把他作为这样的工具。[因为]这个契约,就这杀人犯过去是一公民说,也是他参与过的;而根据这个契约,他曾为了享有他生命的安全,他的自由和财产,也是为了一切人的安全,早就把他[自己]的生命、自由和财产作为抵押品了;现在[因为他破坏契约]就要没收他这份抵押品了。

    这里提出来的,对于健全理性直接可以明白的刑罚理论,在主要的方面诚然不算什么新的思想,而只是几乎被一些新的谬论所排斥的思想;并且也[只]是在这一情况下才有必要[再]尽量明确地加以论述。在本质上,这一理论已包含在布芬陀夫在《论人民与国家的职权》第二卷第十三章中对这一点所说的那些话里面。还有霍布斯的见解也同这理论一致,可参看《利维坦》第十五、第二十八章。在我们的时代大家知道费尔巴哈曾大力主张这一理论。甚至在古代哲人的说法里就已有这个理论,柏拉图在《普洛塔戈拉斯》(蚩槐布禄根[或双桥]版第114页),其次在《戈琪亚斯》(第168页),最后在《法律沦》第十一卷(第165页)就曾明确地加以阐述了。辛乃加以寥寥数语说出了柏拉图的意见以及有关一切刑罚的理论:“一个高明的人施行惩罚,不是为了错误已经铸成,而是为了不使错误再发生。”(《论愤怒》Ⅰ,第16页。)

    那么,我们在国家里就认识到一种工具,那以理性装备起来的利己主义就是企图通过这一工具来回避它自己的,它自己对自己发生的恶果,于是每人就都来促进全体的福利,因为他已看到其中也包括着他自己的福利。如果国家完全达到了它的目的,那么在一定范围内,国家由于其中统一起来的人力,也会知道逐步征服其余的自然界以为己用;最后由于消灭了各种祸害,也可能有近乎极乐世界的某种情况出现。但是事有不然,一方面国家还停留在离这目标很远的地方,一方面永远还有生活在其本质上始终具有的无数坏事,依然和前此一样把生活笼罩在痛苦中,[因为]在这些坏事中,即令[其余]一切的都已消除,最后还有那空虚无聊会要立即进占其他坏事刚退出去的每一阵地。再一方面就是个体之间的争端也不是国家完全消除得了的,因为这种争端,[一旦] 大规模的被禁止了,小规模的又起而代之来作弄人。最后还有埃瑞斯[这位女神],幸而把她从[国家]内部赶走了,最后她就转移到外面去:作为个体问的争执而被国家制度驱逐了,她又从外面作为国际战争而卷土重来。于是,人们在[国内]个别场合用英明的措施使她不得享有的血祭,现在她就立即大规模地做一次总的来讨取,好像讨取别人该她的积欠似的。再假定这一切一切由于建立在数千年经验上面的聪明智慧,最后也都克眼了,消除了,那么,最后的结果将是这一整个行星上人口的真正过剩,这个结果的可怕的祸害现在还只有大胆的想像力才能加以臆测。

    我们已经认识到在国家里有着它一席的一时的公道是报复和惩罚[的公道];并看到了这样的公道唯有着眼于将来才能成为公道,因为没有这种着眼点,则对于一种罪过所加的刑罚和报复都是不能自圆其说的,而只是单纯的在发生了的祸害之上再添上第二个祸害,毫无意思和意义。可是永恒的公道就完全不同,这种公道也是前已提到过的。它不是支配着国家而是支配着世界,它不依赖人为的设施,不在偶然和幻党的支配之下,不是不稳定的,不是摇摆的和错误百出的;而是不会失误的,坚定而可靠的。——报复这概念本身就包含时间在内,因此永恒的公道不能是一种报复性的公道,所以不能和报复性的公道那样可以容许推延和限期而只借时间以恶果抵消恶行那样需要时间来实现。在这里惩罚和过失必须是这样的联系着,以至两者是一个东西。

    “难道你们相信,

    罪恶振翅轻飞,

    飞抵上天诸神?

    那儿纪录有人,

    罪恶无分大小,

    宙斯簿内载明?

    一经宙斯垂鉴。

    皆作无罪判定?

    果然簿内载明,

    昊天尚恐太小,

    何能容尽罪行?

    检阅已属不能,

    遑论依罪议刑。

    不,不,不,

    你们如愿看取,

    这儿便是处分。”

    (欧瑞彼德斯原作。转载于斯多帕乌斯《希腊古文分类迭录》第一卷第四章。)

    至于在世界的本质中真有这么一种永恒的公道,那可以从我们前此所阐发的整个思想中[看出来] ,对于理解了这[整个] 思想的453人,这也是很快就可以完全明白的。

    现象,这一生命意志的客体性,就是这世界,即在其部分和形态的一切复杂性中[的世界]。生存本身和生存的类别,无论在整个或在每一部分上,都只是从意志来的。意志,它是自由的,全能的。它在它自身和在时间之外是如何规定自己的,它也恰好就是这样显现于每一事物中的。世界只是反映这一[意志的]欲求的镜子。世界所包含的一切有限性,一切痛苦,一切烦恼都属于它所欲求的那东西的表现;其所以是如此这般的痛苦烦恼,也是因为意志,它要这样。依此说来,每一生物根本都是以最严格的公平合理在担负着一般的生存,然后是担负着它那族类的生存和它那特有个体的生存;并且完全要看它的个性是如何的,它所在的环境是如何的,所在的世界是如何的,它就是如何的担负生存,也就是为偶然和错误所支配,是有时间性的,无常的,永远在痛苦中。凡在它身上发生的,凡能够在它身上发生的,对于它都是活该的,公平的。这是因为意志[本]是它的意志,而意志是怎样的,这世界也就是怎样的。能够为这世界的存在和本性负责的只有这世界自身,没有别人。别人如何要负起这个责任来呢?——如果要知道人在道德上,整个的一般的有什么价值,那么,只看他整个的一般的命运便得。这命运就是困乏、贫苦、烦恼、折磨和死亡。永恒的公道在运行:如果人从整个说来不是一文不值,那么他的命运从整个说来也就不会如此悲惨。在这种意义上我们可以说:世界本身就是世界法庭。要是人们能够把全世界的一切苦恼放在一个秤盘里,又把全世界的一切罪恶放在另一秤盘里,那么,天秤上的指针肯定就不再摆动了。

    认识是为了给意志服务而从意志发芽孳生的,当它一成为个体本身的认识[而为个体服务]时,这世界诚然就不会对这种认识表出它自己,像它对学者那样最后揭露自己为唯一的一个生命意志——这即是意志自己——的客体性:而是模糊着未经训练的个体的视线,好像印度人所说的摩耶之幕一样。对于这样的个体,呈现出来的不是自在之物,而只是在时间空间中,在个体化原理中,在根据律其他形态中的现象。在他有限的认识的这个形式中,他看不到事物的本质,那是唯一无二的;而只看到这本质的现象是特殊的、分立的、数不尽的、极不相同的,甚至是相反的。于是,在他看起来,狂欢是一回事,痛苦又完全是另一回事;这一个人是制造痛苦的,是杀人犯:那一人是承受痛苦的,是[被害的]牺牲者;恶行是一回事,恶行所肇的祸又是一回事。他看到这一个人生活在快意、饶富和狂欢之中,而在这人的[朱漆]门前同时有另一个人因饥寒而痛苦地死去。于是他就要问:公道到哪儿去了呢?而他自己则在强烈的意志冲动中,——那就是他的起源和本质——,紧紧抓住生活中那些狂欢和享受不放,却不知道他正是由于他意志的这一活动[同时也]在抓住着,紧紧拥抱着在生活上他见而生畏的一切痛苦和折磨。他看到祸害,也看到世界上的恶行,但是他还远不能认识到这两者只是一个生命意志的现象的不同方面;他以为两者是极不相同的,甚至是相反的。他也常企图通过恶行,也就是在别人身上制造痛苦,来避免祸害,避免他本人个体上的痛苦,被个体化原理所局限,被摩耶之幕所蒙蔽。——正好像一个水手,在一望无涯的怒海上驾着一只小船,山一般的波涛在起伏咆哮,他却信赖这微小的一叶扁舟;一个个安然在充满痛苦的世界正中坐着的人也就是这样信赖着个体化原理,亦即信赖个体借以认识事物,把事物认为现象的方式。无边的世界到处充满痛苦,在过去无尽,在将来无穷,那是他体会不到的,在他看来甚至只是一个童话。而他那渺小的“厥躬”,他那没有幅度的现在,瞬息的快适,在他看来却是唯一具有真实性的,一天没有更高明的认识替他擦亮眼睛,他一天就想尽办法来保有这些东西。在这一天未到来之前,仅仅只是在他意识的最深处有那十分模糊的冥悟在活跃着,亦即悟到所有那些痛苦究竟并不是那么陌生的而是和他有关联的;在这种关联之前,个体化原理也不能庇护的。一切人(也许还有聪明的动物)所共有的,那么无法消除的一种恐怖就是从这种冥悟中产生的。人们如果由于某种偶然发生的事故而在个体化原理上给弄糊涂了,也就是因为根据律在它的某一形态中好像是碰到了例外,譬如有个什么变动好像是无缘无故发生的,或是一个死去的人又来了,或是某种过去或将来的事出现在眼前了,辽远的变近了,这种恐怖就会突然把人们摄住。对于这类事故的大为骇怪都是基于人们突然在[掌握]现象的一些认识方式上给弄糊涂了;而保持着人们自己的个体和其余的世界各自分立的[东西]也就只是这些认识形式。但是这种各自分立恰好只存在于现象之中而不存在于自在之物中:永恒的公道就正是基于这一点。——实际上一切暂时的幸福都建立在下面挖空了的基地上,一切聪明都是在这样的基地上[枉]费心机。幸福和聪明保护着个人不遭遇意外事故,为他找得享受;但个人只是单纯的现象,他不同于其他个体,他所以免除了其他个体担负着的痛苦,都是基于现象的形式,基于个体化原理。就事物真正的本质说,只要一个人是坚强的生命意志,也就是他如果以一切力量肯定生命,那么,世界上的一切痛苦也就是他的痛苦,甚至一切只是可能的痛苦在他却要看作现实的痛苦。对于看穿个体化原理的认识,幸福生活在时间中,或是“偶然”[机会]相送的,或是借聪明从偶然争取来的;而[这种幸福]夹在无数别人的痛苦中,究竟只是乞丐的[黄粱]一梦,在梦里乞丐是国王,但他必然要从梦中醒过来而体会到使他[暂时]和他生活的痛苦隔离的只是一个飘忽的幻象。

    对于局限于服从根据律的认识中的眼光,局限于个体化原理中的眼光,永恒的公道是避不露面的,如果不是用什么捏造来装点门面的话,这种眼光里就根本没有什么永恒的公道。这种眼光看到恶人做过各种坏事和暴行之后,却生活在欢乐中,并且未经留难谴责就[轻轻松松]弃世而去了。这种眼光看到被压迫的人拖着充满痛苦的一生一直到死,而没有出现一个[为他]报仇雪恨的人。但是永恒的公道,也只有一个人使自己超出了那在根据律的线索上前进的,束缚于个别事物上的认识而认识到理念,看透了个体化原理而体会到自在之物不能加以现象的形式之后,才能理解,才能领悟。也只有这样一个人借助于这同一认识,才能懂得美德的真正本质,而这是在和当前这考察相关的范围内不久就会给我们表述出来的,不过美德的实践却并不要求这种抽象的认识。因此,准获得了上述这种认识,他也就会明白:意志既然是一切现象的本体,那么,尽管那些现象——其中表出的时而有这,时而有那——都是作为完全不同的个体而存在着的,甚至是被长距离的时间和空间所隔开的,然而加于别人的痛苦和自已经历的痛苦,恶行和所肇的恶果则经常只触及那同一的本质。他将体会到制造痛苦的人和不得不承受这痛苦的人两者间的区别只是现象而不触及自在之物。这自在之物就是活跃在这两人中的意志,这意志在这儿被那注定要为它服务的认识所蒙蔽而错认了它自己,而在它的一个现象中寻求激增的安乐,在它的另一现象中制造巨大的痛苦;它就是这样在强烈的冲动中以自己的牙咬入自己的肉,而不知它永远只是在伤害着自己,其为伤害则是由于个体化这媒介暴露了原来藏在它内部的矛盾。痛苦的制造人和承受人是一[而非二]。前者错在他以为自己于痛苦无份,后者错在他以为自己于罪过无份。如果他俩的眼睛都擦亮了,那么以痛苦加于人的那一个就会认识到他是生活在所有那些在广大世界上承受痛苦的人和物之中,并且,如果他具有理性,还要徒劳地寻思这些人和物既看不到它们对于痛苦应负的责任,为什么却要被召唤到这世上来受这么大的痛苦。而承受痛苦的那一个就会体会到世界上现在或过去造成的一切恶都是从那同时也是构成他的本质,在他身上显现的意志中流出来的;就会体会到他,由于这显出的现象和这现象的肯定,就已承担了从这意志中产生的一切痛苦;他一天是这意志,就理应忍受这些痛苦。——从这一认识出发,充满冥悟的诗人迦尔德隆在《人生一梦》中说:

    “因为一个人最大的罪过

    就是:他已诞生了。”

    在永恒的规律之下,“生”的结局既然就是死,怎么能教“生”不是一种罪过呢?迦尔德隆不过是用他那诗句说出基督教中那原罪的信条罢了。

    要鲜明地认识永恒的公道,认识那秤杆两端联系着二者不可缺一的罪行之害和惩罚之害,那就得完全超出个性及其所以可能的原理之上;因此,这种认识,就和随即要谈到的,与此相近的,对于一切美德的本质那种纯粹而明确的认识一样,都永远是多数人无法问津的。——因此,印度民族睿智的远祖,虽然在只容转生了的三个种性才可读的《吠陀》中,或在教内的经论中,亦即在概念和语言所能及的范围之内,并且是在他们那种还是形象的,也是片段不联贯的表达方式所能容许的范围之内,直接地说出了这一认识;但在群众的宗教中或教外的说教中却只用神话来传达[这认识]。《吠陀》是人类最高的认识和智慧的成果,经义的核心是在《邬波尼煞昙》中作为本世纪最大的礼物终于传到了我们的。在《吠陀》的经文中我们看到那种直接的说法是用好几种方式表达出来的,尤其特别的是这一方式:世界上所有一切存在物,有生命的和无生命的,都依次放到门弟子的面前而一一对各物说一句已成公式而叫做摩词发古亚(大乘)的大咒语:“达吐姆斯”,更正确些是“塔特·都阿门·阿西”,即是说“这就是你”。——可是对于群众,在他们的局限性中所能理解的范围内,这一伟大的真理却要翻译为服从根据律的认识方式。这种认识方式虽在它本质上根本不能纯粹地,逼真地容纳这一真理,甚至是和这真理正相反:不过在神话的形式中究竟获得了这真理的一种代用品。而这代用品已足够作为行为的调节器了,因为这代用品在和伦理意义本身永不相干的认识方式中接着根据律,毕竟是用形象的表现使行为的伦理意义可以理解了。而这就是一切宗教教义的目的,因为这些教义全都是为那些卤莽的人心无法问津的真理披上一些神话的外衣。在这种意义上也可用康德的语言把这一印度神话称为实践理性上的一个设准。作为这种设准看,这神话倒有这么个优点,即是说除了现实世界眼前的事物外,神话并不要包含什么别的因素,因而神话的一切概念都可用直观[的事物]来印证。这里所指的是轮回这个神话。这种神话倡言人们在这一世中所加于其他人或物的痛苦,都必然要在来世,并且还是在这个世界上恰好以同样的痛苦来抵偿。这种说法竟至于以为谁所杀的虽只是一只动物,他在无尽的未来总有一次也要出生为这样一只动物而遭到同样的死法。神话说:恶行将在事后注定来生在世上变为受苦的被鄙视的人或物;根据这种说法,人就可以转生于较低等的种姓之中,或转生为女身,为禽兽,为巴内亚贱民或长陀罗贱民,为麻疯病者,为鱷鱼等等,等等。神话通过不自知犯了什么罪过而受苦的人和物而以痛苦恐吓[人],这些痛苦都是以从现实世界得来的直观来印证的,因而神话也就无须再借助于别的什么地狱了。与此相反,作为善报则许以转生于更美好更高贵的人身中,为婆罗门,为智者,为圣者。最好的善报却要留给最高尚的行为和彻底的清心寡欲;此外对于这种善报有份的还有那连续七世自愿死在她丈夫焚尸柴火上的妇人,以及从不打谎语而有着一张纯洁的嘴的人。这种善报,神话用世人的语言只能以消极的意义来表示,也就是常见的许[人]以不再入轮回:“再不进入现象的存在”;或者是如既不承认《吠陀》又不承认种性制度的佛教徒所说的:“汝当入涅槃,涅槃之为状,其中无四苦,生、老、病与死”。

    从来没有一个神话,将来也决不会有一个神话,还能比这个最优秀、最古老的民族的这一上古教义更能紧密地配合这一如此少数的人所能问津的哲学真理了。尽管这民族现在分裂成许多片段了,然而这上古的教训,作为普遍的民族信仰,在今天仍有支配作用,对于生活仍然有决定性的影响,并不亚于在四千年以前。因此毕达戈拉斯和柏拉图就已惊奇地发觉而理解了,尊敬而应用了这无以复加的超级神话教义,不过他们可能是从印度或埃及接受过来的,并且,他们自己在我们无从知道的某种程度上也曾信仰过这种教义。——可是我们现在却反而把英国的牧师们和赫尔恩胡特[兄弟会]的麻织工人派遣给婆罗门,说是由于同情他们而教他们一点比这上述神话更好的东西,给他们指出他们是从“无”中创造出来的,并应为此充满谢忱而欢乐。但是我们所遭遇的就等于是以弹丸击石的那人所碰到的结果一样。我们的宗教现在不能,将来也决不能在印度生根。人类最古老的智慧不会因伽利列所发生的事故而被挤掉。相反的是印度的智慧反过来流入欧洲而将在我们的知识和思想中产生一个根本的变化。

    但是我们现在就要从我们对于永恒的公道所作非神话的,而是哲学的表述继续走向与此有关的一些考察,考察行为和良心在伦理上的重要性,而良心就是对于永恒公道单纯“感”到的认识。

    ——不过在这个地方,我还想先指出人类天性的两个特点,这些特点会有助于弄明白每一个人如何在意识上至少是模糊地感到那永恒公道的本质,感到意志在其一切现象中的统一性和同一性;而永恒的公道也就是基于这一点的。

    完全和国家用刑的目的,和已论证过的为刑法所本的目的无关,[人们]如果在[看到]一种恶行既已发生之后,[又]看到这给别人制造痛苦的人恰好也受到同等的痛苦,则不仅使那些多半是报仇心切的受害人,而且也使事不关己的旁观者一样的人心大快。我认为此中透露的[消息]并不是别的,而正是对于永恒公道的意识;不过这种意识随即为未经纯化的心思所误会,真面目被篡改了;因为这心思局限于个体化原理中,犯了潜移语义的毛病,冀图向现象要求那只有自在之物才有的东西,也看不到在什么地步迫害者和受害人在本质上是一[而非二],看不到那同一的本质就是那在它自己的现象中认不出自己,既承担痛苦又承担罪过的东西,反而要求在承担罪过的这一个体上又看到痛苦。——因此,大多数人都会要求一个有着高度邪恶心肠而同时又有远胜于人的非凡精力的人,得以说不尽的灾难横加于亿万人的人,譬如那征服世界的人,——邪恶心肠是很多人都有的,不过不如在这种人身上还配搭有其他特性而已——,我说,大多数人会要求这样的人[总有一天]在某时某地将受到质量相同的痛苦以抵偿[他制造的] 所有那些灾难。这是因为多数人认识不到折磨人的和被折磨的如何是一[而非二];认识不到他们[俩]所由生存和生活的意志也正就是在前者那人身上显现的同一个意志,并且恰好是通过前者这意志的本质才得到最明确的启示;认识不到这意志在被压迫者和在压迫者是同样的受苦,并且随着压迫者的意识更清晰更明确,意志更激烈,压迫者也相应地更痛苦。——至于更深远的,不再局限于个体化原理的认识,一切美德和高尚情操所从出的认识,那就不再怀着那种要求报复的心情了,这是基督教的伦理已经证实了的。这种伦理干脆就不容许任何以怨报怨,而[只]听凭永恒的公道的支配,犹如是在不同于现象的,自在之物的领域中。(“报复是我的事,我会要报复的,上帝说”。《给罗马人的信》第十二封,第十九封。)

    在人类天性里还有一种更触目的,不过也是更罕有的特点。这个特点既透露一种要求——要求将永恒的公道纳入经验的范围,也就是纳入个体化的范围——;又暗示着一种感到的意识,即我们前面说过的感到生命意志是拿自己的本钱在演出那宏伟的悲喜剧,感到活在一切现象中的乃是那同一个意志。我说,下面就是这样一个特点:我们间或看到一个人,他对于自己能遭遇到的或只是作为见证人而目击的那些巨大暴行是那么深为愤慨,以至他为了报复这罪行的祸首,从容地,义无反顾地不惜把自己的生命孤注一掷。我们可能看到这样的人经年累月在窥伺一个有权势的迫害者,最后把他杀掉,然后自己也死于断头台上,一一如他所预见的那样:甚至[这种后果]每每并不是他企图逃避的,因为他的生命已只是作为报仇的手段才对他保有价值。——特别是在西班牙人那里有着这样的例子。如果我们再仔细考察一下那种热狂的报复精神,那么我们就会发现这种热狂大不同于普通的报仇。普通的恨仇是以看到[自己]加于[仇人]的痛苦来减轻自己所受到的痛苦。我们认为报复狂的目的所在,与其称为报仇,毋宁称为惩罚更为合宜,因为在这种热狂中本来就含有以榜样来影响后世的用意在;并且在这种场合[人们]没有任何自私的目的,既不是为了进行报复的个人,因为他是要在报复中毁灭的;也不是为了一个社会,因为社会是以法律来保障自己的安全的。这种惩罚却是由个别人而不是由国家,也不是为了使一条法律生效而执行的。这反而经常是指国家不愿或不能惩罚的一项罪行,加以惩罚乃是国家并不同意的。这种义愤,它驱使一个人这么远远的超出一切自爱的范围,在我看来,它是从这样一种最深远的意识中产生的,就是意识到他乃是整个的生命意志本身。这意志显现于一切人与物之中,经历了一切时代都是如此;因此,最遥远的将来和眼前的现在一样,都是属于这个人的。他不能对之漠不关心。他既肯定这一意志,就进而要求在演出他的本质的这出戏里不再发生那么骇人听闻的罪行,并且要以没有碉堡可以防御,对于死的恐惧也不能阻拦的报复行为作为榜样来吓住任何未来的暴徒。在这里,生命意志虽然还是肯定着自己,却不再系于个别现象,不系于个体,而是拥抱着人的理念,要保持这理型的现象纯洁而没有那种骇人听闻,使人愤慨的罪行。这是性格上罕有的、意义丰富的、甚至崇高的一个特点。由于这种特点,个别的人在努力使自己成为永恒公道的左右手时牺牲了,可是他还是错认了“永恒公道”的真正本质。

    有了[我们]前此对于人类行为所作过的一切考察,我们就已为最后的这一考察作好了准备,并已使我们[下述]的任务容易多了。我们的任务就是要使行为的真正伦理意义获得抽象的和哲学上的明确性,并把它作为我们主题思想的环节来论证。这种伦理意义,人们在[日常]生活上就用善和恶这两字来标志,而这个办法也完全可以使人们互相了解。

    我们今天哲学界的作者非常奇特地把善和恶两概念当作简单的,也就是不能再加分析的概念来处理。但是我首先要把这两概念还原为它们本来的意义,以使人们不为一个模糊的什么幻觉所束缚而以为这两概念比实际上所含有的还包括着更多的什么,以为这两概念本身良足地就已把这里应有的一切都说尽了。这是我能做得到的,因为我自己前此既未在美或真这些字的后面找个藏拙的地方,现在在伦理学里我也同样不打算在善这个字后面去找这种藏拙之所以便用一个加在这字后的什么性,——这办法在今天似乎有一种特别的灵验,在好些场合可用以解围——,以便用一付庄严的面孔使人相信我在说出真、美、善这三个字时,我所做的还不只是用以指三个不着边际的,抽象的,因而内容一点也不丰富的,来源和意义又各不相同的概念而已。谁要是熟知当今的文献,而不得不千百次看到每一个最没有思维能力的人是如何都相信,只要用一张大嘴和一副热情的山羊面孔说出那三个字,就算他是说出了什么伟大的智慧了;那么,在看到这些之后,尽管那三个字原来所指的是那么高贵的东西,可是现在在事实上,谁又不认为已变成了肉麻的东西呢?

    真这一概念在论根据律一书的第五章里,从§29起,已有了解释。美这概念的内容,由于[本书]整个的第三篇才第一次获得了应有的说明。现在我们就要把善[好]这一概念还原为它本来的意义,而这是不要费很多事就可以做得到的。这概念基本上是相对的,是指一客体对意志的某一固定要求的相适性。因此,一切一切,只要是迎合意志的,就不管意志是在它自己的哪一种表出中,只要满足意志的目的,也不管这些东西在其他方面是如何的不同,就都用善[好]这一概念来思维。因此我们说好食品、好路、好天气、好武器、好预兆等等;总而言之是把一切恰如我们所愿的都叫作善[或好];所以,对于这一个人是善的[或好的],对于另一个人又可以恰好是相反。善[或好]这概念又分为两类,也就是好受的和有益的[两类]。——至于和这相反的概念,如果所说的是指没有认识作用的事物,就用坏这个字来标志;比较少用而更抽象的是用弊害一词,不过都是指不迎合意志每次要求的一切。同其他能够和意志发生关系的一切事物一样,人们也把恰好是对[自己]要求的目的有利,有帮助而友好的那些人称为好的,这和称其他事物为好的是同一意义,并且总是保有相对的意味;例如通俗说:“这人对我好,但对你不好”就表示着这种相对性。但是有些人,和他们的性格而俱来的是根本就不妨碍,反而促成别人的意志的努力,一贯都喜欢帮助人,心肠好,和蔼可亲,乐善好施,这些人因为他们的行为方式对于别人的意志根本有着这样的关系,所以都被称为好人。至于与此相反的概念,大约在近百年来,德语用以标志有认识作用的生物(动物和人)和无认识作用的事物的,有所不同,法语也是这样,都是用“恶”这一词[标志前者]。可是在所有其他语言中几乎都没有这种区别,希腊文、拉丁文、意大利文、英文都用“坏”这一词,既以指人,又以指无生命的物;[当然]这些人或物都是和意志的某一特殊目的相反的。所以说这考察完全要从善的消极方面出发,以后才能转到善的积极方面,才能不再要在[行为]对别人的关系上而是在对[行为者]他自己的关系上来探讨所谓好人的行为方式。[这时]尤其要尽力于[从两方面]作说明,一方面是这行为显然在别人[心里]所唤起的纯客观的敬意,另一方面是这行为显然在他[自己心里]唤起的一种特殊的满足,因为这两方面甚至都是他以另一种牺牲为代价换取来的。也还要说明这两者的反面,说明内心的痛苦。尽管坏心肠为那些有此心肠的人带来那么些身外的好处,坏心肠总是和内心痛苦相连的。由此就产生了那些伦理学体系,有哲学上的,也有依傍宗教教义的。这两种伦理学体系总是想用个什么办法把幸福和美德联系起来。前者的作法或是用矛盾律,或是用根据律,也就是或使德行和幸福等同起来,或使幸福成为德行的后果。不过这都是诡辩。后者的作法则主张在经验可能认识的范围以外另有一个世界[,以此来联系幸福和德行]。根据我们的考察则相反,德行的内在本质就会现为一种指向完全相反方向的努力,而不是指向幸福的努力:而幸福就是安乐和生命。

    根据上面的说法,善在其概念上就是此对彼[的善],所以任何“善”在本质上都是相对的。这是因为善只在它对一欲求的意志的关系中才有它的本质。准此,绝对善就是一个矛盾:最高善、至善都意味着矛盾,也就是意味着意志最后的满足,此后再无新的欲求出现;意味着一个最后的动机,实现了这一动机就有了一种不再破灭的意志的满足。根据我们在这第四篇里前此所作的考察,这类事情都是不可想象的。犹如时间不能有起止一样,意志也同样不能由于任何一种满足而停顿,而不再从新有所欲求。一个持久的,完全面永远使意志冲动宁静下来的满足是意志所没有的,意志是妲奈伊德的[穿底]桶。对于意志并没有什么最高善、绝对善,而是永远只有一时的善。同时听凭人们喜欢,也可把一个“荣誉职位”授予一个使用成习而不想完全丢掉的古老说法,好比是把一个荣誉职位授予退休的官员似的,即是说人们可以譬喻地、比兴地把意志的完全自我取消和否定,真正的无所欲求称为绝对善、至善,看作唯一根治沉疴的良药,而一切其他的“善”都只是些[治标的]轻减剂、止痛剂;[因为]唯有这才使意志冲动永远静默安宁下来,唯有这才提供那种不可能再破坏的满足,唯有这才有解脱尘世之效;而这就是我们现在在我们整个考察的末尾随即要讨论到的。在这一意义上,希腊文终极目的这个词,以及拉丁文善的终极倒是更合本题。——关于善恶这两个字就只谈这么多了,现在且言归正传。

    如果一个人在一有机会而没有外力阻拦的时候,总有做出非义之行的倾向,我们就称他是恶。按我们对于非义的解释,这就叫做这个人不仅是按生命意志在他身上显现[的程度]肯定这意志,而是在这肯定中竟至于否定了那显现于别的个体中的意志。而这又表现于他要求别人的各种力量为他服务;如果别人和他的意志的趋向对抗,还表现于他要消灭别人。高度的利己主义是这里的最后根源,而利己主义的本质是前面已分析过了的。这里立即可以看到两件事:第一,在这种人心里透露出一种过份强烈的,远远超过肯定他自己身体的生命意志;第二,这种人的认识完全忠实于根据律而局限于个体化原理,呆板地守着由此原理在他自己本人和所有别人之间所确定的全部区别;所以他单是求自己的安乐,对于别人的安乐则完全漠然;别人的生存对于他毫不相干,和他的生存之间有着鸿沟为界。是的,真正说起来,他只是把别人看作一些没有任何真实性的假面具。——所以这两种特性就是坏性格的基本因素。

    但是,欲求的那种高度激烈性本身就已直接是痛苦的永久根源。第一,这是因为一切欲求作为欲求说,都是从缺陷,也即是从痛苦中产生的。(所以一切欲求在刹那间的沉寂,就已正是审美的怡悦中的一个主要因素。从第三篇里还可回忆欲求的这种暂时沉寂,是我们作为认识的主体,纯粹而不具意志,[即理念的对应物]每次聚精会神于美的观审时就会出现的。)第二,这是因为事物的因果关系使大部分的贪求必然不得满足,而意志被阻挠比意志畅遂的机会要多得多,于。是激烈的和大量的欲求也会由此带来激烈的和大量的痛苦。原来一切痛苦始终不是别的什么,而是未曾满足的和被阻挠了的欲求。即令是身体受伤或遭到残害时,肉体的痛苦所以[也]能够是痛苦,就单是由于身体不是别的,而是已成为客体的意志本身。——就是这一缘故,就因为大量而激烈的痛苦是和大量而激烈的欲求分不开的,所以在大恶人的眉宇之间都打上了内在痛苦的烙印。尽管这些人已经获得一切表面上的幸福,可是只要不是他们正在欢愉的那一刹那,或是没有伪装的时候,他们经常有一付不幸的可怜相。从这种内在的痛苦中,从完全直接是他们本质上的痛苦中,最后甚至还产生一种不是从单纯的自私出发,而是于自己无利单是基于别人的痛苦的快意,这就是真正的恶毒。恶毒又可再进而演变为残忍。就恶毒说,别人的痛苦已不再是自己意志达到目的的手段,而就是目的本身。下面是对于这一现象更详细的说明:因为人是被最清晰的认识所照明的意志现象,所以他总是拿现实的,他的意志所感到的满足去和“认识”给他指出的,仅仅只是可能的满足较量长短。由此就产生妒嫉:[自己的]每一缺陷都会由于别人的享受而显得无限地加强了,[相反]由于知道别人也忍受着同样的缺陷,则自己的又将为之减轻。凡是人所共有的,和人生不可分的苦难都不怎么使我们难受,属于气候或整个乡土方面的缺点也是这样。回忆那些比我们自己的痛苦更大的痛苦会有镇静和止痛的作用,看到别人的痛苦景象会使自己的痛苦减轻。现在假如一个人有着过份激烈的意志冲动,他以火热的贪心要攫取一切,以便解除利己主义[诛求无厌]的[饥]渴,而这时又如势所必至的。他一定要经历到一切满足都只是表面上的假象,所获得的东西从未实现过它在我们追求它时所作的诺言——使强悍固执的意志冲动得到最后的宁静,而是在获得[满足]之后只是那愿望改变了自己的形相,又在另一形相之下来折磨人;最后如果这愿望再没其他形相可变了,意志冲动也没有了已认识到的动机而止于自身,而现为可怕的荒凉空虚之感,而带来了无可救药的痛苦;如果从这一切一切之中,那在一般[激烈]程度上的欲求只是比较轻微地被感到,也就只产生一般程度的忧郁感;而在另外一人,他已是到了显著恶毒程度的意志现象,则必然产生一种过强的内在痛苦,永远的不安,无可救药的创伤;那么,他就要间接来寻求他无力直接获得的慰藉,也就是要以看到别人的痛苦景象,同时还认为这痛苦是他的势力[起了作用]的表现,来缓和自己的痛苦。对于他,别人的痛苦现在已是目的自身了,已是他可以趁心饱看的一付景色了。真正的残忍现象,嗜血现象,就是这样产生的。这是历史上屡见不鲜的,如在涅罗、多密迁这些皇帝,非洲那些觋师,罗伯斯庇尔这类人,都可看到。

    报仇心理已类似恶毒,它是以怨报怨而不是为将来着想。为将来想,那是惩罚的性质。报仇只单纯是为了已经发生了的,已经过去了的事情本身,也就不是为了于己有利,不是以之为手段而是以之为目的,以便“欣赏”人们自己加于仇人身上的痛苦。使寻仇报复不同于纯粹恶毒而又可为报仇行为原谅一些子的,是报仇在表面上有些正义意味;因为这种行动在这里固然是报仇,但如依法执行,也就是在一个集体中按集体所批准的,事先规定而为众所周知的规则执行,就会是惩罚,也就会是正义。

    除开那已描写过的,和恶毒从同一根子,从极强烈的意志中产生的,因而和恶毒分不开的那种痛苦之外,现在还要加上一种与此完全不同的,特殊的痛苦与恶毒相连在一起。这就是干任何恶毒行为时都可感到的痛苦,不管这行为是出于自私的单纯非义或是真正的恶毒;而按这痛苦持续的久暂,就可分别叫做良心不安或良心责备。——谁要是对于这第四篇前此的内容,尤其是对于篇首已阐明了的那真理,说生命本身作为意志的写照或镜子,永远是生命意志确实保有的;并且对于永恒公道的论述——都还记忆犹新的话,那么他就会发觉,按这些考察说,良心责备除了下述意义外不能有别的意义;即是说良心责备的内容,抽象说来,就是下述这个内容:——在这内容里人们[又]区分为两部分,而这两部分又得完全融合一致,必须当作完全统一了的来设想。

    尽管摩耶之幕是这么严密地蒙蔽着恶人的心窍,即是说尽管这恶人是这么呆板地局限于个体化原理,以致他根据这一原理把自己本人看作绝对不同于其他任何一人,中间是由一条鸿沟分开来的;而这种认识,因为唯有它符合他的利己主义,是利己主义的支柱,所以[又]是他以全力抓住[不放]的,犹如“认识”几乎总是被意志所收买的,——尽管这样,可是在他意识的最深处仍然有一种潜伏的冥悟在蠕动着[。所悟到的是]:事物这样的一种秩序究竟只是现象,在本体上可完全是另一回事。也就是说时间和空间虽是这样把他和其他个人以及这些人所忍受的无数痛苦,甚至是由于他而忍受的痛苦分开来,把这些显示为和他全不相干的东西;然而在本体上,除开表象及其一些形式不论,显现于所有他们[那些个体]中的仍然是同一个生命意志,这生命意志在这里误认了它自己,拿起自己的武器对付自己。并且当这意志在它的某一现象中寻求激增了的安乐时,就正是以此把最大的痛苦加于它的另外一些现象时;而他,这恶人,又恰好是这整个的意志[自身],因而他就不仅是加害者,同时也正是受害人了。把他和受害人的痛苦分开,使他得以幸免[于痛苦]的,只是一个以时间和空间为形式的幻梦,如果这幻梦一旦消逝了,那么,按真实情况说,他就必须以痛苦为代价来抵偿欢乐。并且一切痛苦,他认为仅仅只是可能的痛苦,都实际的到了作为生命意志的他身上来了;因为可能性和现实性,时间上和空间上的远和近只是对于个体的认识,只是借个体化原理才是有区别的;在本体上却并不是这样。这个真理就是以神话表达的,也就是使之合于根据律,由此转入现象的形式而以轮回[之说]表达出来的那一真理;不过这真理不带任何副产品的最纯净的表现却在那模糊感到而又无可慰藉的痛苦之中。这痛苦,人们就称为良心不安。——但是,良心不安在此以外又是从第二个直接的,和那第一个密切联系着的“认识”中产生的,即是由于认识到生命意志在凶恶的个体中用以肯定它自己的强度,远远超出了它的个体现象之外,以致完全否定了显现于其他个体中的同一个意志。所以,一个恶棍对于自己的行为那种内心的,要向自己隐瞒的厌恶和痛恨,除了是模糊地感到个体化原理和由此树立的人我界限这两者的虚无性,表面性之外,同时包括有对他良己意志的激烈性、暴力的认识;这种激烈性也就是他用以把握生命,将自己紧紧吸住在生命上的。正是这生命,它那可怕的一面就是恶棍在被他压迫的人们的痛苦中所看到的,然而这恶棍又是那么紧密地和这痛苦交织为一体的,以致恰好是由于这一点,然后作为他更充份地肯定他自己的意志的那手段才是由他自己发起的最惨酷的事。他认识到自己是生命意志集中显现的现象,感到自己陷入生命已到什么程度,由此又感到自己陷入那些无数的,生命本质上的痛苦已到什么程度;因为生命有着无尽的时间和无穷的空间以取消可能性和现实性之间的区别,以使现在只是他认识到的一切痛苦变为感觉到的痛苦。千百万年的生生不已固然只在概念中存在,和整个的过去,未来一样;但具有内容的时间,意志显现的形式,却只是“现在”。时间对于个体是常新的:个体觉得自己永远是新发生的。原来生命是不能从生命意志分开的,而生命的形式又只是“现在”。死好比是太阳的西沉(请原谅我又重复使用这一比喻)。太阳只是看起来好象被黑夜吞噬了,其实它是一切光明的源泉,不停地在燃烧着,给新的世界带来新的日子,无时不在上升,无时不在下沉。起和止都只涉及个体,是借助于时间,借助于[个体]这现象的形式为了表象而有的。在时间以外的就只有意志,亦即康德的自在之物,和意志的恰如其分的客体性,亦即柏拉图的理念。因此自杀并不提供什么解脱:每人在他内心的最深处欲求什么,他就必须也是这个什么,每人是什么,他就正是欲求这个什么。——所以说把良心刺痛了的,除开那仅仅是感到的认识,认识到使个体分立的表象之形式的表面性和虚无性之外,还有对于自己意志及其强烈的程度的自我认识。生活过程编织着验知性格的肖像,这肖像的蓝本则是悟知性格。恶棍看到这副肖像必然要吃一惊,不管这肖像是以那么庞大的轮廓织成的,以致这世界得以和他共有一个深恶痛绝之感,或只是以那么纤细的线条织成的,以致单只有他自己看见,因为同这副肖像有关的就是他自己。要是性格在它一天不否定它自己的时候,果然不觉得自己是超然于一切时间之外的,不觉得自己是历尽一切时间而不变的话,那么,过去的往事,作为单纯的现象就也许是不足轻重的了,也许就不能使良心不安了。

    [然而这是不可能的,]因此,过去好久了的事总还是要压在良心上面。譬如这恳祷:“求主不要使我受试探”,就[等于]是说:“不要让我看到我是什么人”。——恶人在他用以肯定生命的暴力上,在从他加于别人的痛苦中对他显现出来的暴力上,他估计着和他距离有多远的就正是这意志的放弃或否定,[放弃或否定生命意志]也就是对于这世界及其疾苦唯一可能的解脱。他看到自己依附于这暴力的程度,看到自己是如何牢固地被束缚在这暴力上。在别人身上认识到的痛苦将不能使他有动于中,他只是掉在生命和感到的痛昔的手心里。而这一点能否摧毁而克服他意志的激烈性,则尚在未定之天。

    关于恶的意义及其内在本质的这一分析,如果作为单纯的感受,亦即不作为明确的抽象的认识,便是良心不安的内容;并且这一分析,由于以同样方式考察作为人类意志的属性的善,和在最后由于考察这属性达到最高程度之后,从这属性中产生彻底的无欲和神圣性,就会获得更大的明确性和完整性,这是因为相反的对立面总是互相阐发的,斯宾诺莎说得非常好:“白昼既显示它自己,同时也显示黑夜”。

    一个不具理由的道德训条,也就是单纯的道德说教,是不能起作用的,原因是它不成为动机。但一个有动机作用的道德训条,它之所以能起作用,也只是由于它对[人的]自爱起了作用。凡是从自爱产生的可就没有什么道德价值。由此可知道德训条和任何抽象的认识根本不能导致什么美德,美德必然是从直观认识中产生的,直观认识[才]在别人和自己的个体之中看到了同一的本质。

    原来美德虽然是从认识产生的,却不是从抽象的,用言语可以表达的认识产生的。如果是后者,那么美德也就是可以教得会的了;那么,当我们在这儿抽象他说出美德的本质时,说出为美德奠基的“认识”时,我们就会把每一个理解这种说法的人在伦理上改造好了。可是事实并不是这样。事实却是人们不能以伦理学的演讲或传道说教来造就一个有美德的人,正如所有的美学,从亚里士多德起,从来没有造就一个诗人一样。原来概念对于美德的真正内在本质是不生发的,而且对于艺术也是如此。概念完全是次要的,只能作为工具而为实现或保存从别的方面认识到的,已成定论的东西服务。“欲求是教不会的。”事实上,抽象的教条对于美德,也就是对于心意上的善,是没有影响的。错误的教条并无害于美德,正确的也难加以促进。假如人生的首要大事,他伦理上的,永远有意义的价值,果然有赖于教条、宗教教义、哲学理论之类的东西,而获得这些东西又是那么出于偶然,那可真的太糟了。教条对于道德仅仅只有这样的价值,就是说一个由于别方面来的,[我们]就要讨论到的认识原已有了美德的人,可以从教条得出一种格式,一种公式,按这公式他可以为自己那无私的行动向自己的理性交出一个多半只是为了过关而虚构的理由;[其实]这理性,也就是这个人自己,并不理解这行为的本质,[不过]他早已使自己的理性习惯于以这种交代为满足罢了。

    教条和习惯,和模范(后者所以如此是因为普通人不相信自己的判断,他已意识到判断的弱点,只追从自己或别人的经验)相同,对于行为,对于外在的行动虽然有很大的影响,但有了这影响并不就是改变了[人的]居心。一切抽象的认识都只提供动机,而动机则如上述,只变更意志的方向,决不变更意志本身。但一切可以传达的认识都只是作为动机才能对意志起作用。所以不管那些教条是如何指引意志的,一个人真正欲求的,在根本上欲求的是什么,他也永远仍然是欲求那同一个东西。他只在如何获得这东西的途径上得到了一些别的想法。并且幻想的动机也能和真实的动机一样的引导他。所以说,例如一个人或是以莫大恩德施于穷苦无告的人,而坚信在来世可以回收十倍于所施的总数;或是把同一金额用于田产的改良上,则将来获利虽迟一点,却会更可靠,更可观;这[两种行为]从伦理价值上来看就并无高下之分了。——和为了谋财而害命的匪类一样,那信心虔诚而把异教徒让火烧死的人,那在圣地扼死土耳其人的人,如果这前后两人是为了在天国里取得一席之地而分别地是他们那样做,那么他们也是杀人犯。原来这些人只是替自己,替他们的自私自利盘算,和那匪徒一般无二;他们不同于匪徒的只是手段上的荒唐罢了。——如前所说,要从外面来影响意志就只有动机,而动机又只改变意志把自己表出的方式,决不改变意志本身。“意欲是教不会的。”

    有些善良行为[每]引教条以为其实施的根据,人们在这儿就必经常区别那教条果真是动机,还只是我们在前面说的,是表面上的托词交代而不是别的。那人为了来自另一来源的一件好事而企图以这种交代来使他自己的理性不要见怪。这件好事是他做的,因为他是好人:但他不懂得如何作恰当的解释,因为他不是哲学家而偏要为这件事想出点什么[理由][,于是他就引教条为依据了]。可是这一区别很难找到,因为这是深藏在心情内部的。因此,在道德上我们几乎决不能正确地判断别人的行动,也很少能正确地判断自己的行为。——个别人的或一个民族的行动和行为方式,很可以受到教条、模范和风俗习惯的影响而改变,但在本身上一切行动(“表面功夫”)都只是空洞的形象,唯有导出行为的居心才以道德意义赋予行为。在很不相同的外在现象之间,道德意义却可以真正完全是相同的。[两人之间]恶的程度相等,但可以是一个死于轧轮的酷刑之下,一个安宁的死于亲人的怀抱之中。同一程度的恶,在一个民族可以粗线条地表现于凶杀和吃人的野蛮行为,在另一些民族又可以静悄悄地、精细地、小型纤巧地表现于宫闱的阴谋、欺压和各种缜密的诡计,但是本质却是一个。可以想象:一个完善的国家,或者甚至只是一个坚信死后有奖惩的信条,都能制止任何一种罪行;这在政治上将是很大的收获,但在道德上则还是一无所得,反而是[以假乱真],徒使意志的写照受到生活的障碍。

    因此,居心的纯善,无私的美德和纯洁的慷慨仗义都不是从抽象的认识出发的,但仍然是从认识出发的,是从一种直接的直观的认识出发的。正因为这种认识不是抽象的,所以也是不容转达的,必须由各人自己领悟;在言语中不能求得它真正适当的表现,而是完全只能求之于人的作为、行动和生平事迹之中。我们在这里是找美德的理论,因而就得抽象地表达美德所依据的认识的本质,可是我们并不能在这一论述中提出这认识本身,而是只能提出这认识的概念。这时,我们总是从行为出发,也唯有在行为中才可以看到这认识,并且总是把行为指为这认识唯一恰当的表现,我们只是对这表现加以阐明和解释而已,也就只是抽象地谈出这儿究竟是怎么回事。在我们以已描述过的恶为对照而谈到真正的善以前,作为中间阶段现在就要涉及仅止于否定恶[的问题]了。这就是公道。什么是义,什么是非义,上面已有充分的分析;因此我们在这里就可以不费事的说:一个人要是自愿承认义与非义之间纯道德的界线,在没有国家或其他权力加以保障时也承认这界线有效;按我们的解释也就是说:一个人在肯定自己的意志时决不走向否定在另一个体中显现的意志,——那么、这人就是公道的。这也就是说这个人不会为了增加自己的安乐而以痛苦加于别人;亦即他不会犯罪,他会尊重每一个人的权利,每一个人的财产。——这样,我们就看到个体化原理在这样一个守公道的人那里已有所不同于在恶人那里,已不再是绝对的界墙了;看到这守公道的人已不是恶人那样只肯定自己意志的现象,否定一切别人的意志的现象;看到别人对于他已不再只是一些假脸子,——假脸子的本质和他的本质是完全不同的——,而是他已由于自己的行为方式表明了他在别人的,对于他只是表象的现象里认出了他自己的本质,即认出了作为自在之物的生命意志;也就是说他在一定程度上,在不为非义,不损害人的程度上,又在别人的现象里发现了自己。他也正是在这一程度上看穿了个体化原理,看穿了摩耶之幕;在这范围内他把在自己以外的本质和自己的[本质]等同起来:他不伤害这个本质。

    如果看透这种公道的内在的深处,那么在公道里就已包含一种顶定倾向,不要在肯定自己意志的时候太走远了,以免自己意志的肯定在强制别人意志的现象为之服务时又否定了别人的意志的现象。所以人们从别人享受了多少,就要对别人报效多少。存心公道如果到了最高的程度,则往往已可和不再只是消极性质的纯善相匹敌了。这时人们甚至要怀疑自己对于承继得的财产应有的权利,而只以自己精神的或肉体的力量来维持身体;甚至感到别人对自己的任何服务,自己的任何奢侈都是罪过,感到一种责备,最后只有以自愿的贫苦为出路。我们看到巴斯伽尔就是这样的。在他已转到禁欲[主义]的方向时,尽管他有足够的仆从,却不许别人侍候他;尽管他经常多病,却要自己铺床,自己到厨房里取饮食,如此等等。(他妹妹写的《巴斯伽尔传》第十九页)和这完全相仿佛的报导说,有些印度人,甚至王公们,他们拥有巨大财富而只用以维持他们的亲属,他们的宫庭和仆从;他们自己却以严格的拘谨态度奉行着那些最高的行为准则,除了自己亲手种的亲手收的之外,什么也不吃。他们这样做却是基于某种误解而来的:原来个别的人正是由于他们富有而又有权势,他们很可以为人类社会全体作出相当可观的贡献,以使这些贡献和他们所继承的,借社会[之力]而得到保障的财产两两相称。真正讲起来,这种印度人的过份公道已经超过了公道,也就已经是真正的清心寡欲,是生命意志的否定,是禁欲了。这些都是我们[在本篇]最后将要谈到的。与此相反,干脆一事不做而只借别人之力来生活,凭借继承的财产而一无所贡献,这在道德上就已可视为非义,尽管在现行法律上这必然还是合法的。

    我们已看到自觉自愿的公道,它的真正来源是在一定程度上看穿了个体化原理;而不公道的人却是整个儿局限在这个原理中的。看穿个体化原理[这回事],这不仅是在公道所要求的程度上,而且在更高的程度上,在促成积极的善意、慈惠和博爱的程度上,也可以出现;并且,不管那显现于这一个体内的意志自身是如何强而有力,都可能出现。[意志虽强,]认识常能替这个体保持[知与意的]平衡,教他抵抗那欲为非义的试探,甚至教他发挥任何程度的善;是的,甚至发挥任何程度的清心寡欲。因此,决不可把一个好人看作原来就是比恶人更为软弱的意志的现象,[实际上只]是认识在好人心里主宰着盲目的意志冲动。不过也有些这样的人,他们只是由于显现于他们身上的意志是薄弱的面貌似心肠好;但他们[究竟]是怎样的人,只要看他们没有足够的自制力以完成一件公道的或善良的行动就明白了。

    如果我们现在又遇到这样一个人,作为一个罕见的例外,他虽拥有一份相当可观的收入,但是他只以其中一小部分作为自己用,而把所有其余的都赠与贫困的人们,自己却缺这缺那,少了许多享受和舒适,而我们又想要解释这个人的行为;那么,完全别开这人自己也许要用以使他的理性了解他的行为的那些教条不论,我们就会发现他比常见的情况更加不作人我之分是他那行为方式最简单而普遍的表现,是他那行为方式最基本的特征。如果在别的一些人眼里看起来,人我之分是那么巨大,[譬如]恶人直以别人的痛苦为自己的快乐,非义之人也喜欢以别人的痛苦作为增进自己福利的手段;即令单纯只是公道的人也不过止于不去为别人制造痛苦而已;也就是说根本绝大多数人都知道而且熟悉在自己的附近有着别人的无数痛苦,可是没有决心来减轻这些痛苦;因为他们如果要这样做,自己就必然要减少一些享受。如果说对于所有这些人里面的任何一个,都好象是在自己的我和别人的我之间横亘着巨大差别似的,那么,对于我们想象中这位崇高的人则相反,对于他,人我之分就不是那么重要了,个体化原理,现象的形式就不再是那么严密地局限他了,而是他在别人身上看到的痛苦几乎和他自己的痛苦一样使他难受。因此他想在人我之间建立平衡的均势,他割舍自己的享受,担待自己缺这缺那以缓和别人的痛苦。他体会到在他和别人之间的区别——对于恶人是一条鸿沟的区别——只是属于无常的。幻变的现象[的东西]。他无庸作逻辑的推论而直接认识到他自己这现象的本体也就是别人那现象的本体,这本体也就是构成一切事物的本质,是存在于一切事物中的那生命意志。不错,他认识的这一点甚至可以推及动物和整个的自然,因此,他也不折磨一个动物。

    他现在已不至于在自己有着多余的,可以缺少的[东西]时而让别人忍饥挨饿,正如一个人不会今天饿上一天,以便明天有享受不了的多着在那儿。这是因为“摩耶之幕”对于那博爱行善的人已经是透明的了,个体化原理的骗局也收了场了。他在任何生物中,从而也在受苦的生物中所看到的都是他自己,他本身,他的意志。从他那儿撤走了的是这种荒唐的错误:生命意志常以这种错误而错认了自己,它时而在这里在某一个体中享受着飘忽的虚假的欢乐,时而在那里在另一个体中又为此而忍饥挨饿,也就是这样制造着痛苦又忍受着痛苦而不能自己,和杜埃斯特一样贪婪地饕餐着自己的肉;[时而]在这里为无过受罪而叫屈,[时而]在那儿却当着[报复之神]涅米西斯的面肆无忌惮地胡作非为;永远是在别人的现象里认不出自己,因而也觉察不到有永恒的公道,只是被局限于个体化原理之中,根本也就是被局限于根据律所支配的那种认识方法之中。治好这种妄念,摆脱摩那的骗局,这和行善布施是一回事。不过后者是[看穿个体化原理的]那种认识不可少的标志罢了。

    良心痛苦的来源和意义,我们在前面已说明过了。和良心痛苦相反的是心安理得,是我们在每次无私的行动之后所感到的满足。心安理得的来因是由于无私的行为既是从我们也在别的现象中直接认出自己的本质自身而产生的,又给我们证验了这种认识:即认识到我们真正的自己不仅是在自己本人中,不仅在这一个别现象中,而且也在一切有生之物中。这样,[人们]就觉得心胸扩大了,正如[人]自私自利就觉得胸怀窄狭一样。这是因为自私[心]把我们的关怀都集中在自己个体这一个别现象上,这时,认识就经常给我们指出那些不断威胁这一现象的无数危险,因而惶恐的忧虑就成为我们情绪的基调了。那么[相反],一切有生之物,和我们本人一样,都是我们自己的本质这一认识就把我们这份关怀扩充到一切有情之上,这样就把胸怀扩大了。由于对我们自己本身的关怀缩小了,为了自己本人的那种惶恐的操心盘算也就在根子上被削弱,被限制了:所以就有宁静的自得的喜悦心情,那是善良的存心和无内疚的良心所带来的。所以在[多]有一次善行之后,这种心情的出现就愈为明显,因为这善行给我们证验了这种心情所依据的理由。[而]利己主义者[则]觉得自己被陌生的敌对现象所包围,他全部的希求都寄托在自己的安乐上。善人却生活在一个现象互相亲善的世界里,每一现象的安乐都是他自己的安乐。所以说,即令由于他认识到人类整个的命运,没有给他的情绪带来愉快的气氛,然而经久不变的认识到在一切有情中的都是他自己的本质,却为他提供了情绪上一定的稳定性,甚至欢悦的气氛。这是因为广被于无数现象上的关怀不能象集中于一个现象上的那么使人诚惶诚恐。个别人遭遇到的偶然事故有幸有不幸,对于个体的总和来说,偶然事故[的幸灾]又互相抵消而拉平了。

    所以如果说别的人确立了一些道德原则,把这些原则当作实现美德的格言和必须服从的准则,但是我,如已说过的,却不能够这样做;因为我没有什么应该,什么准则要向永远自由的意志提出。和他们相反,在我这考察相关的范围内,从某方面说和他们那种做法相当而又相似的,就是那纯理论上的真理。单是申论这一真理就可看作我这论述的全部[旨趣],这真理是说意志是任何一现象的本体,但作为本体来说却又不在现象的那些形式中,从而也不具杂多性。就这真理对行为的关系说,我不知道还有什么更庄严的表示法,除非是用前述《吠陀》的公式:“这就是你!”谁要是能以清晰的认识和内心的坚定信心,指着他所接触到的每一事物而对自己说出这一公式,那么,他就正是由此而确实具有了一切美德和天福,并且已是在通向解脱的大路之上了。

    可是在我再往下谈,作为我这论述的最后部分而指出仁爱——仁爱的来源和本质我们认为即看穿个体化原理——如何导致解脱,导致生命意志的放弃,亦即导致一切欲求的放弃之前,并且也是在指出一条有欠温和却是更常被采用的途径如何引导人达到上述境界之前,在这里首先还得说一句似乎矛盾的话并加以解释。其所以要这样做,倒并不是因为它是这么一句话,而是因为这句话是真的,并且也是属于我要阐明的这思想的完整性以内的。这句话就是:“一切仁爱(博爱、仁慈)都是同情”。

    我们已看到如何在较低程度上看穿个体化原理就产生公道,如何在较高程度上看穿这个原理又产生心意上真正的善,看到这种善对于别人如何现为纯粹的,亦即无私的爱。这种爱如果到了完善的程度,就把别人的个体和别人的命运和自己的完全等同起来。过此以上便决不能再进一步,因为不存在任何理由要把别人的个体放在自己的个体之上。不过其他个体如果是多数,如果他们全部的幸福或生命受到了危险,则在份量上又很可以超过个别482人对自己的幸福的考虑。在这种场合,那已达到最高善和[有了] 完人心境的当事人就会为了多数别人的幸福而整个的牺牲自己的幸福和生命。这样死去的有柯德罗斯,有奈翁尼达斯,有雷古陆斯,有德西乌斯。缨斯,有阿诺尔德·冯·文克尔瑞德。任何人,只要是志愿地、意识地为了他的亲人、乡邻,为了祖国而不避一死,就都是这一类人物。站在[最高善]这一级的[还大有人在,] 每一个为了坚持那些造福全人类的,为全人类所应有的东西,也就是为了[坚持] 普遍而重大的真理,消灭重大的错误而甘愿承担痛苦和死亡的人[都是]。这样死的有苏格拉底,有乔旦诺·普禄诺,还有为真理奋斗的一些英雄也是这样在活焚的柴堆上死于神父祭师们之手。

    不过现在就上面说的[爱即同情]那句矛盾语来看,我还得回忆我们前已看到痛苦对于生命,整个的说来,是本质的,与生命不可分的[东西];已看到每一愿望如何都是从一种需要,一种缺陷产生的,因而任何满足也只是消除了痛苦,并不是获得了什么积极的幸福;已看到欢乐虽是对愿望撒谎说它是一种积极的好事,实际上它只是消极性质的,只是一件坏事的结束[,等等]。因此,好心善意、仁爱和慷慨[等等]替别人做的事永远也只是减轻那些人的痛苦而已,从而可知能够推动这些好心善意去行善布施的,永远只是对于别人的痛苦的认识。而这种痛苦是从自己的痛苦中直接体会到的,和自己的痛苦等同看待的。可是由此就得出一个结论:纯粹的爱(希腊语的“博爱”,拉丁语的,‘仁慈”),按其性质说就是[同病相怜的]同情,至于由此所减轻的痛苦则可大可小,而任何未曾满足的愿望总不出乎大小痛苦之外。因此,我们也无庸客气和凄德正相反,他认为只有从抽象的反有中,并且是从义务和绝对命令这些概念中产生的一切善和美德才是真正的善,真正的美德,而主张[人们]感到的同情是脆弱,并不是美德,和他正相反,我们说:单是概念对于真正美德,和对于真正的艺术—样,是不生发的,一切真纯的爱都是同情;而任何不是同情的爱就都是自顾之私。自顾之私就是希腊文的“自爱”,而同情就是希腊文的“博爱”。这两者的混合[情绪]也是常有的。甚至真纯的友谊也常是这种混合。自顾之私表现在乐于和个性相投的朋友晤对,这是[混合中的]较大部分:而同情则表现于对朋友的哀乐有真挚的关怀,表现于人们对朋友所作忘我的牺牲。甚至斯宾诺莎也说:“对别人的好意并不是别的什么,而是导源于同情的情意。”(《伦理学》第三卷,前题二十六,副定理三,论说项)作为一个证据,证实我们那句似乎矛盾的话[“爱即同情”],人们还可注意纯爱的言语和抚爱动作中的音调、词汇完全符合于同情的音调。附带的还可注意在意大利语中,同情和纯爱都是用同一个词“慈爱”来表示的。

    这里还得谈一谈人类夭性最显著的一个特点,谈一谈“哭”。哭和笑一样,都属于所以别人禽的表情。哭并不正就是痛苦的外现,因为在最轻微的痛楚时也哭得出来。据我的看法,人们甚至决不是直接为了感觉到痛而哭,而经常只是为了重现于反省中的痛而哭。也就是说人们从感觉到的痛,即令是肉体上的痛,过渡到痛的单纯表象,于是觉得他自己的情况是如此的值得同情,即是说他真挚地坚信,如果别人是受这痛苦的人,他将以满腔同情和热爱予以援助。不过在这里却是这个人自己是他真挚同情的对象,他充满帮助人的好意,而自己却是那需要帮助的人,觉得他所忍受的更甚于他可能看到另一个人所忍受的。在这种奇特地错综着的心情里,直接感到的痛苦先要从一条分为两节的绕道才进入知觉,即首先是作为别人的痛苦来想象,作为别人的痛苦而予以同情,然而又突然觉察到这直接是自己的痛苦;——[这时],人的天性自然就以那种奇特的肌肉抽搐来获得痛苦的减轻。这样说来,哭就是对自己的同情或被回掷到它出发点的同情。因此,哭是以爱的能力、同情的能力和想象力为前提的;所以容易哭的人既不是心肠硬的人,也不是没有想象力的人。哭,甚至于往往被当作性格上一定程度的善看待,可以解人之怒,因为人们觉得谁要是还能哭,就必然还能爱人,还能对别人同情,正因为同情是以上述方式参预那致哭的心情的。——同这里提出的解释完全相符的,有彼特拉克在坦率而真实他说出自己的感情时,对他自己眼泪的发生所作的描写:

    “我充满思虑,在信步而闲游,

    对我自己深厚的同情袭击了我。

    如此深厚——我不得不大声而哭,

    而平时我并不习于这样做。”

    证明这里所说的还有一种事实,那就是弄痛了的孩子们多半要在人们加以抚爱的时候才哭,这就并非为着痛而哭,而是为着“痛”的表象而哭。——如果我们不是由于自己的而是由于别人的痛苦所激动,以致于哭,那么,我们哭是因为我们在生动的想象中为疯苦的人设身处地,或是因为我们在这个人的命运中看到全人类的命运,从而首先是看到自己的命运;所以,通过老远的绕道总还是为了自己而哭,总还是对我们自己感到同情。这似乎也就是在丧事中通常无例外的,自然要哭的主要原因。哀悼者所哭的不是他自己的损失。人们应以为可耻的是这种自私自利的眼泪,而不是因为他有时没有哭。哀悼者首先当然是为死者的遭遇而哭;不过即令死者经历了长期沉重的不治之症而巴不得一死以求懈脱,哀悼者也还是要哭。控制着他[感情]的东西主要的是同情整个人类的遭遇,人类注定的最后结局;任何那么上进的,往往那么有作为的一生,都必然要随这种结局而消逝,而归于死。可是在人类命运中,[哀悼者]首先看到的却是他自己的命运;并且,死者和他的关系愈亲密,就愈是先看到自己的命运;所以死者如果是他父亲,那就更加是先看到自己的命运了。这个父亲,即令是由于年老而多病痛,活着已属苦恼,由于他需要侍候而已成为儿子的重负,可是由于上述理由,儿子还是要为父亲的死而痛哭。

    在离题而漫谈到纯爱和同情的同一性之唇,——同情折回到自己个体则有哭的现象以为表征——,现在我又回到分析行为的伦理意义这条线索上来,以便此后指出我所谓生命意志的否定如何同一切善、仁爱、美德和慷慨[等]一样,都是出于同一来源的。

    在前面我们已看到了憎恨和恶毒都是以自私自利为条件的,也看到这种利己主义是以局限于个体化原理的认识为基础的。和以前看到这些一样,我们也曾把看透这个体化原理作为公道的来由和本质;并且再进一步,也就是爱和慷慨达到极点的来由和本质;只有看穿这个原理,由于这样而取消了人我个体之间的区别,才使居心的全善直至无私的爱,直至为别人作出最豪侠的自我牺牲成为可能,才解释了[这一切]。

    可是,如果这样看穿个体化原理,这种直接认识到意志在它一切现象中的同一性,都已达到了高度的明确性,那么,这两者立即就会对意志显示更进一步的影响。就是说如果那摩耶之幕,个体化原理,在一个人的视线之前揭开了这么宽,以致这人不再在人我之间作出自私自利的区别,而是关心其他个体的痛苦,在程度上和关心自己的痛苦一样;因此他就不仅是在最高程度上乐于助人而已,而且是准备着牺牲自己的个体,只要一旦可以由此而拯救其他一些个体的话。于是这样一个人,他在一切事物中都看到自己最内在的,真实的自我,就会自然而然把一切有生之物的无穷痛苦看作自己的痛苦,也必然要把全世界的创痛作为自己所有的[创痛]。对于他,已再没有一个痛苦是不相于的了。别人的一切痛苦烦恼,[尽管]是他看到而不是常常能使之减轻的;一切痛苦,[尽管]是他间接得到消息的,甚至只是他认为可能的,都和他自己的痛苦一样的影响他的精神。在他眼里的已不再是他本人身上交替起伏的苦和乐,那只有局限于利己主义中的人们才是这样;而是他,因为看穿了个体化原理,对待所有的一切都是同等的关切。他认识到整体大全,体会了这整体的本质而发现这本质永在不断的生灭中,在无意义的冲动中,在内在的矛盾和常注的痛苦中;不管他向哪儿看,他都是看到这受苦的人类,受苦的动物界,和一个在消逝中的世界。但是现在他关心这一切,正如利己主义者只关心他自己本人一样。对于世界既有了这样的认识,那么,怎么教他用不停的意志活动来肯定如此这般的生命,由此而更紧密地把自己束缚在这生命上,总是更紧紧地抱住这生命呢?所以说,如果一个人还局限于个体化原理,局限于利己主义,只认识到个别事物和这些事物对他本人的关系,于是这些事物就成为他欲求的一些总是[花样] 翻新了的动机;那么,相反的是上述对于整体大会的认识,对于自在之物的本质的认识,就会成为一切欲求的,和每一欲求的清静剂。意志从此便背弃生命:生命的享受现在使他战栗,他在这些享受中看到了生命的肯定。[这时]这个人便达到了自动克制欲求与世无争的状态,达到了真正无所为和完全无意志的状态。——如果我们另外一些人,在沉重地感到自己的痛苦时,或在生动地看到别人的痛苦时,有时候也接触到生命空虚,辛酸的认识,而想以彻底,永远坚决的克制来拔去贪欲的毒刺,来堵塞一切痛苦的来路,想纯化和圣化我们自己:[可是] 我们依然还是被摩那之幕所蒙蔽的人们,那么,现象的骗局仍然会要立即缠住我们,现象[中] 的动机又会重新推动意志:我们[还是] 不能挣脱。希望[给人] 的诱惑,眼前[生活] 的迷人,享受[中] 的甜蜜,[以及] 我们在一个痛苦世界的呻吟中,在偶然和错误的支配之下所分享的安乐[等等] 又把我们拖回到现象的骗局而从新拉紧捆着[我们的] 绳索。所以耶稣说:“富人进入天国比锚缆穿过针眼还要难些。”

    如果我们把人生比作灼热的红炭所构成的圆形轨道,轨道上有着几处阴凉的地方,而我们又必须不停留地跑过这轨道;那么,被拘限于幻觉的人就以他正站在上面的或眼前看得到的阴凉之处安慰自己而继续在轨道上往前跑。但是那看穿个体化原理的人,认识到自在之物的本质从而[更] 认识到整体大全的人,就不再感到这种安慰了。他看到自己同时在这轨道的一切点上而[毅然] 跳出这轨道的圈子。——他的意志掉过头来,不再肯定它自己的,反映于现象中的本质;它否定这本质。透露这[一转变]的现象就是从美德到禁欲的过渡。即是说这个人不再满足于爱人如己,为人谋有如为己谋[等等],而是在他[心里]产生一种强烈的厌恶,厌恶他自己这现象所表现的本质,厌恶生命意志,厌恶被认作充满烦恼488的这世界的核心和本质。因此,他正是否认这显现于他身上的,由他的身体便已表现出来的本质,而他的行动现在就来惩罚他这现象哄骗[人],和这现象公开决裂。基本上不是别的而是意志现象的他,已无所求于任何事物,他谨防自己把意志牵挂在任何事物上,对于万[事万]物他都要在自己心里巩固一种最高度的漠不关心[的境界]。——性冲动是他的身体——[这身体]既健康又强壮——通过性器官表示出来的,但是他否定意志而惩罚这身体哄骗[人]:在任何情况之下,他也不要性的满足了。自愿的、彻底的不近女色是禁欲或否定生命意志的第一步。戒淫以不近女色而否定了超出个体生命的意志之肯定,且由此预示着意志将随这身体的生命一同终止,而这身体就是这意志的显现。大自然永远是笃实无欺而天真的,它宣称如果这条戒律普及了的话,人种就会绝灭;而按第二篇所说一切意志现象的关联,我认为还可以假定随同最高的意志现象[,人][的消灭],意志那些较弱的反映,动物界也会消逝,犹如半明半暗的光线将随同充分的光线[的消逝]一起消逝一样,随着“认识”的彻底取消,其余的世界也自然消灭于无有,因为没有主体就没有什么客体。我甚至要把《吠陀》中的一段也扯到这上面来,那里说:“和这世界上饥饿的孩子们围绕着他们的母亲一样,一切生物也是这样指望神圣的祭品。”(《亚洲研究》卷八。柯勒布鲁克:《论吠陀》摘自《侄马吠陀》。又柯勒布鲁克:《杂论》卷一,第88页。)祭品根本是意味着无欲无求,而其余的自然界都得从人类指望它们的解脱,人是祭师同时又是祭品。诚然,这里值得以最大的注意来指出的,是这一思想已由那可敬佩的,深刻无边的安琪陆斯·西勒治乌斯在题为《人把一切献给上帝》的短诗中说过了,诗里说:

    “人啊!一切都爱你,你的周围多么拥挤:

    一切都向你走来,以便[随你同]见上帝。”

    但是还有一个更伟大的神秘主义者:迈斯特尔·埃克哈特,他那些绝妙的著作最近[1857年]由佛郎兹·普菲费尔出版了,才终于成为可读的[作品]。埃克哈特在书中第459页完全以这里阐述的意义说:“我是跟着基督证实这一点的,因为他说:当我离地飞升时,我要把一切事物随我带去(《约翰福音》第十二章第三十二段)。所以好人也应这样把一切事物,在这些事物最初方生之际[就]送呈上帝。大师们为我们证实这一点,说一切造物都是为人而设。验之于一切造物,都是互相为用:如草之于牛,水之于鱼,空气之于鸟,森林之于野兽。而一切造物也是这样有益于这好人:一个好人把一物连一物带给上帝。”[在这里]埃克哈特是要说:人,为了在他本身中,又和他本身一起,也把动物解脱;所以他才在这世间利用这些动物。——我甚至认为《圣经》中艰深的一段,《给罗马人的信》第八通第二十一至二十四句,也得以这种意味来解释。

    在佛教里也不乏有关这问题的说法,例如世尊还在当婆提萨陀华太子时,为了最后一次备马逃出他父亲的寝宫前往荒野,他对马说出这一偈语,“汝在生死中,[历劫]无已时。自从今日后,了不再驮与拽。仅止此一次,坎达坎纳兮,驮我出此地。我若悟道时(成佛时),不忘汝[功德]。”(《佛国记》,亚倍尔·雷缪莎译,第233页。)

    此外禁欲主义还表现于自愿的,故意造成的贫苦;这种贫苦不是偶然产生的,因为[在这里]财产是为了减轻别人的痛苦而散尽了的。在这里贫穷自身即目的,是用以经常压制意志,以便不使愿望的满足,生活的甜蜜又来激动意志,[因为]自我认识对于这意志已怀着深恶痛绝[之心]了。达到了这种地步的人,作为有生命的肉体,作为具体的意志现象,总还是觉得有各种欲求的根子存在;但是他故意地抑制着这种根子,于是,他强制自己不去做他很490想要做的一切,反而去做他不愿做的事,即使这些事除了用以抑制意志外并无其他目的存在。他既然自己否定在他本人身上显现的意志,那么他也不会反对别人[对他自己的意志]这样做,即是说不反对别人对他加以非义[之行]。因此,他会欢迎任何外来的,由于偶然或由于别人的恶意而加于他的痛苦;他将欣然接受任何损失,任何羞辱,任何侮慢,他把这些都当作考验他自己不再肯定意志的机会,来证实他是欣然站到意志现象——即他自己本人——的任何敌对的方面去了。因此,他能以无限的耐心和柔顺来承受这些羞辱和痛苦,他毫无矫情地以德报怨,他既不让愤怒之火,也不让贪欲之火重新再燃烧起来。——和抑制意志本身一样,他也抑制意志的可见性,意志的客体性,也就是抑制他的肉身。他很菲薄地赡养着这躯壳,不使它丰满地成长和发达,以免它重新又使意志活动起来,更强烈的激动起来;[因为]身体乃是这意志的单纯表出,是反映意志的镜子。所以他要采取斋戒绝食的措施,甚至采取自鞭自苦的办法,以便用经常的菲薄生活和痛苦来逐步降服和灭绝意志;他把这意志看作自己和这世界在痛苦中生存的根源,是他所深恶痛绝的。——[在未死以前,]这意志的本质由于自愿的否定它自己,除了那一点微弱的残余现为这躯壳的生机外,是早已死去了的。如果死亡终于到来而解散了意志的这一个现象,那么,死,作为渴望的解脱,就是极受欢迎而被欣然接受的了。在这里和别的人不同,随着死亡而告终的不仅只是现象,而且是那本质自身也取消了。[在未死前]本质在这现象中,由于这现象,还有着一种只是微弱的生存;现在[在死到来时]却是这根最后的,已腐朽的纽带也扯断了。对于这样结局的人,这世界也同时告终了。

    我在这里既不善于辞令,又只是以一般的表现方式所描写的,倒并不是什么独自杜撰出来的哲学童话,也不是今天才有的。不,这是那么多圣者们和高贵心灵的可羡慕的生活。基督教徒中就有这样的人,在印度教和佛教徒中更多,其他教派中也不是没有。尽管注入他们理性中的教条是如此大不相同,然而一切美德和神圣性唯一能够从而产生的那种内在的,直接的直观认识却都是以同一方式通过[他们的]生平事迹表现出来的。原来这里也表出了直观认识和抽象认识之间的巨大区别,这区别在我们整个考察中是如此重要而又是到处贯穿着的,[只是]以前注意得太少了。两种认识之间有着一条鸿沟,就认识这世界的本质说,唯有哲学是渡过这鸿沟[的桥梁]。从直观方面,也就是从具体方面说,任何人都已意识了一切哲学真理;但是把这些真理纳入抽象的知识,纳入反省的思维,却是哲学家的事,在此以外,哲学家不应再搞什么,也不能再搞什么。

    那么,也许这里才是第一次抽象地,不带神话地把神圣性,自我否定,顽强意志的消灭,禁欲等等的本质说成是生命意志的否定,而否定生命意志是完全认识了意志的本质,这认识又成为意志的清静剂之后才出现的。与此相反,一切圣者和禁欲主义者都是直接认识到这一点的,并且是通过行动来表出这一点的。在内在的认识上他们都相同,却各按他们原来在理性中所接受的信条而各自说着一种极不相同的语言。他们各按这些信条,印度教的,基督教的,喇嘛教的圣者们必然地各有一套理由来解释他们的行为,但在事情的本身上,这些都完全不相干。一个圣者可以有满脑子最荒唐的迷信,或者相反,也可以是一个哲学家:两者的效果完全一样。唯有他的行动才显示他是圣者,因为他的行动,在道德方面说,不是从抽象的,而是从直观的理解直接认识到世界及其本质而产生的,只是为了满足他的理性才由他用某种教条加以解释。因此,一个圣者不必一定是哲学家,同时一个哲学家也不必一定是圣者;这和一个透顶俊美的人不必是伟大的雕刻家,伟大的雕刻家不必是一个俊美的人,是同一个道理。要求一个道德宣教者除了他自己所有的美德之外就不再推荐别的美德,这根本是一种稀奇的要求。把世界的整个本质抽象地,一般地,明确地用概念来重述,并给理性把这种本质作为反映出来的写照固定在不变的,经常备用的概念中,这就是哲学;也再没有别的什么是哲学。我们可以回忆一下在第一篇里引过培根的那一段活。

    但在上面对于生命意志的否定,或是对于一个高贵心灵的事迹,一个谦心无欲,自动忏悔的圣者的事迹,我的描写也恰好只是抽象的,概括的,因而也是冷静的。意志之否定所从出的认识既然是直观的而不是抽象的,那么这种认识也不能在抽象概念中而只能在行为和事迹中有其完整的表现。因此,为了更充分地理解我们在哲学上所说的生命意志之否定,人们还得从经验和实际中熟悉一些范例。人们当然不能在日常的经历中碰到这些例子,斯宾诺莎说得好:“因为一切卓越的东西既难能又稀少,”那么,如果没有特殊的幸运作一个亲眼的见证,人们就只得以这类人物的传记满足自己了。如我们在至今还只是由翻译才得知的少数几篇[经文]中所看到的,印度的文献有很多圣者们、忏悔者们的生活记述;他们都叫做什么“印度修行的圣者”,“印度仟悔者”等等。在德·波利尔夫人所著有名的,但在任何观点上也不值得称道的《印度神话》中就包含许多这一类卓越的例子(尤其是在第二卷第十三章中)。在基督教徒中也给这里打算要作的说明提供了些例子。人们可以阅读那些时而叫做“圣者之心”,时而叫做“虔教徒”、“清教徒”、“虔诚的宗教幻想家”等人物的传记。[不过]这些传记大半都写得不好。这种传记也在不同的时代出过集子,如特尔斯特根的《圣心传》。莱兹的《再生者的轶事》。在我们的时代则有坎尼所搜集的一些传记,其中多数都写得很坏,不过也有一些写得好的,特别是《倍阿达·斯督尔明传》是我认为写得好的[一篇]。《圣芳济·冯·阿西西传》完全是属于这儿的,他是禁欲主义真正的人格化,是一切托钵僧的模范。比他较年轻的同时代人,也是经院学派中的有名人物圣朋纳文杜拉曾为他写过传,这本传记最近又重版了,就叫做《圣芳济传:圣朋纳文杜拉编》(苏埃斯特版,1847年)。不久以前在法国还出版过沙文·德·马兰精心整理,利用一切有关资料写成的一本详细传记:《圣芳济·冯;阿西西传》。和这些寺院文献平行的还有远东方面的姊妹作,这是斯宾斯·哈代一本极为可读的书:《东方僧侣主义,翟昙佛创始的托钵僧派述事》(1850年)。这本书在另外一件外衣下给我们指出了同一件事。人们也可看到在[圣者禁欲]这件事的本身上,不论从有神沦宗教或无神论宗教出发,都没有什么分别。但是作为最卓越的一本传记,我可以介绍德·顾蓉夫人的自传。对于我所确定的概念,这本书提供了特别适合和最详尽的例证,乃是一个事实的说明。每一缅怀这高贵而伟大的心灵,我心里总是充满敬意。认识这一心灵而公正地对待她心灵上的优点,同时又原谅地理性上的迷信,必然是任何一个善良的人所乐为的。这恰好和思想卑鄙的人,亦即大多数人,看这本书总要认为有问题,是一个道理,因为[仁者见仁,智者见智,]任何人无论在哪里一贯都只能赏识那些和他自己相投的东西,至少也得他和这些东西稍微有点天性[相近]。[这个道理]在知识的领域内可以这样说,在伦理的领域内也可以这样说。在一定程度上人们甚至还可把那在著名的法文斯宾诺莎传看作是属于这里的[又] 一个例子,如果人们把斯宾诺莎那篇极不够完善的论文《智力的校正》开始那一段卓越的文字作为阅读这本传记的钥匙[,那就更好了]。就我所知,我可以介绍这段文字是平伏汹涌的激情最有效的一服清凉剂。最后还有伟大的歌德,尽管他是那么有希腊气质的人,他却并不认为把人性中最高贵的这一方面,表现在他的使事物明朗的文艺这面镜子里,有什么和他的气质不相称的地方。所以他在《一个优美的心灵之自白》里,以理想化的手法为我们描述了克勒登柏尔格小姐的生平;后来在他的自传里又对这事提出了历史的资料。此外他还给我们讲过两遍有关圣者菲利波·奈瑞的一生。——世界史固然总是要,并且必然要对这些人物保持缄默,而这些人物的事迹对于我们这考察中最重要的这一点却是最好的,唯一充分的说明,这是因为世界史的题材完全是另一套,是相反的一套,亦即不是生命意志的否定和放弃,而是这意志的肯定和这意志在无数个体中的显现。在这显现中,意志和它自己的分裂以充份的明确性出现于意志客体化的最高峰;于是出现于我们眼前的时而是个别人由于他的聪明机智而胜过别人,时而是群众由于他们的数量而具有的暴力,时而是偶然机会人格化为命运之后的权威,而常见的却是这一切挣扎的徒劳和虚空。但是我们,因为我们在这里并不追求现象在时间上的线索,而是作为哲学家在探讨行为的伦理意义,并且是拿这一点作为唯一的绳准来衡量我们认为有意义的和重要的东西,所以我们就不会因畏惧庸俗和平凡总是多数[人的属性]而被阻止不去但白承认世界上所能出现的最伟495大、最重要、最有意义的现象不是征服世界的人而是超脱世界的人,——事实上也就不是别的什么而是[后者]这样一个人静悄悄的。不为人所注目的生平事迹。这样一个人由于[上述]那种认识使他茅塞顿开,他根据这认识放弃了,否定了充塞一切,在一切事物中推动着,挣扎着的生命意志。意志的这一自由直到这里才仅仅在他身上出现了,由此,他这个人的行动才恰好是一般的行动的反面。所以对于哲学家来说,圣者们,否定自己的人们的那些传记尽管写得那么坏,甚至是混杂着迷信和荒唐而写出的,但因为题材的意义重大,故仍然要比普禄达尔克和利维乌斯重要得多,教育意义丰富得多。

    此外,为了更详细和更充份地认识到在我们这论述的抽象性和一般性中叫作生命意志之否定的是什么,再考察一下那些充满这种精神的人们在这种意义上所定出来的伦理训诫[也]是有很大帮助的。这些训诫同时也会指出我们的[这一]见解,尽管在纯哲学上的表出是这么新颖,[实际上]是如何的古老。同我们最接近的是基督教,基督教的伦理就完全在上述精神的范围之内,并且不仅是导向最高度的博爱,而且也导向克制欲求。最后,[否定意志]这个方面在那稣门徒的著作中显然地已有了萌芽,不过直到后来才有充分的发展,才明显的说了出来。我们看到使徒门[已有这样]的训诫:爱你邻近的人要和爱自己一样;要行善,要以德报怨,以爱报怨;要忍耐,要柔顺,要忍受各种可能的侮辱而不反抗,饮食要菲薄以抑制佚荡,要抗拒性冲动,如果可能的话就完全戒色[等等]。这里我们已看到禁欲或真正否定意志的初阶。否定意志这一词所说的正就是福音书里所讲的否认自己,掮起十字架。(《马太福音》第十六章二十四、二十五两段;《马可福音》第八章三十四、三十五两段;《路加福音》第九章二三、二四两段。第十四章二六、二七、三三、三段。)这一倾向不久就愈益发展而成为忏悔者、隐士和僧侣的缘起了。这本来是纯洁而神圣的,然而也正是因此所以完全不能适合于大多数人,[所以,这种倾向既在许多人中间流行起来,]由此而发展出来的就只能是伪装的虔诚和可怕的丑行了。这是因为“滥用最好的即是最坏的”。在后来建成了的基督教里,我们才在基督教圣者和神秘主义者的著作中看到那种禁欲的萌芽发展成为茂盛的花朵。这些人的布道除了讲求纯洁的仁爱而外,还讲求彻底的清心寡欲,自愿的彻底贫困,真正的宁静无争,彻底漠然于人世的一切;讲求本人意志的逐渐寂灭和在上帝中再生,完全忘记本人而浸沉于对上帝的直观中[等等]。关于这一切,人们可在费涅隆著的《圣者们所沦内在生活规范解说》中找到完整的记述。但是基督教精神在它这方面的发展,可以说没有哪里比在德国神秘主义者的著作中,也就是在迈斯特尔·埃克哈特理当有名的《德国的神学》一书中,还有更完善,更有力的说明了。路德在他给这本书写的序言中说,除了《圣经》和奥古斯丁外,他从任何一本书也不能象从这本书一样更懂得什么是上帝,什么是基督,什么是人。——我们一直到1851年才从普菲费尔校订的斯督特迎特版本得到了这本未经改篡的原文。这本书里所记载的规范和训诫对于我所论述过的生命意志之否定是一种最完备的,从内心深处的信心中产生的分析。所以人们在以犹太教加新教的自信而对此作出否定的武断之前,应该好好的拿这本书学习一下。在同一卓越的精神中写下来而不能和这本书完全同样评价的是陶勒的《基督贫困生活在后世的摹仿》和《生命的神髓》。我认为这些真诚基督教神秘主义者的说教比之于《新约全书》,就好比是酒精对酒的关系一样。或者这样说:凡是我们在《新约全书》中象是透过一层轻纱或薄雾看到的东西,在神秘主义者的著作中却是毫无遮拦地,充分清晰明确地摆在我们眼前的,最后人们还可把《新约全书》看作第一次的超凡人圣,把神秘主义看作第二次的超凡入圣——“小神秘和大神秘”。

    可是我们在上古的梵文著述里就看到我们所谓生命意志之否定已有了进一步的发展,已有更多方面的说法和更生动的描写,[这些]都是基督教和西方世界所不能及的。至于人生的这一重要伦理观点所以能在印度获得更进一步的发展和更坚定的表现,主要原因可能是由于这儿完全没有外来因素的局限,不象犹太教之于基督教。基督教崇高的创始人,或意识地或不意识地不得不迁就犹太教以使新的教义与旧的犹太教相衔接;于是基督教便有了两种性质大不相同的组成部分,我想其中纯伦理的部分首先应该是基督教的因素,而且是基督教专有的因素,并想以此区别基督教和原有的犹太教教义。如果人们在已往就曾多次担心过这一卓越的,造福人类的宗教有一天会要完全濒于崩溃,特别是在现在这个时代更要担心,那么,我认为可以为这种担心找得到的理由,只是这个宗教不是由一个单一的因素所组成的,而是由来源不同,卑凭世事变迁牵合到一起去的两种因素组成的。由于这两种组成部分对于逼到头上来的时代精神关系不同,反应不同而产生分化,在这种情况下,基督教的解体可能是势所必然的。不过在解体之后,基督教的纯伦理部分仍可永保不受损害,因为这是不可能毁灭的部分。——尽管我们所知道的文献还很不充分,我们现在就已看到在《吠陀》中、在《普兰纳》中,在诗歌、神话、圣者轶事、语录和生活戒律中已从多方面有力地表出了印度教的伦理。在这种伦理中,我们看到有这样一些训诫:要完全否定一切自爱以爱亲邻,慈悲不仅以人类为限,而要包括一切有情、施舍要不借散尽每日辛勤的所得;对一切侮辱我的人要有无边的容忍,不论对方如何恶劣,要以仁德报冤仇;欣然甘愿忍受一切羞辱;禁各种肉食。追求圣道的人则绝对戒色并禁一切淫逸之乐,要散尽一切财产,抛弃任何住所,亲人,要绝对深密的孤寂,在静默的观照中度此一生;以自愿的仟悔和可怕的,慢性的自苦而求完全压制住意志[等等等等]。这种自苦最后可以至于以绝食,葬身鳄鱼之腹,从喜马拉雅山圣峰上坠崖,活埋,以及投身于优伶歌舞欢呼簇拥着的,载着菩萨神像游行的巨型牛车之下[等等为手段]而甘愿自就死亡。这些训诫的来源已达四千余年之久,直到现在,尽管这[印度]民族已四分五裂了,依然还是他们所遵守的,个别的人还不折不扣的履行到极端。一面要求最沉重的牺牲,一面又能够在一个拥有几千万人口的民族里这样长期地保有实践的效用,这种东西就不可能是任意想出来的怪癖,而必然是在人性的本质中有其根据的。但是还有这么回事,那就是人们在读一个基督教和一个印度忏悔者或圣者的传记时,对于双方那种互相符合的地方还有不胜惊异之感。在各有着基本不同的信条,习尚和环境的同时,双方的追求和内在生活却完全相同。双方的训诫也是相同的,例如陶勒谈到彻底的贫苦时说:人们应该自求贫苦,而办法就是完全散尽一切可从而获得任何安慰或获得人世间任何满足的东西。显然,这是因为这一切东西总是给意志提供新的营养,而这里的目的原是要这意志完全寂灭。在印度方面,我们在佛的戒律里看到与此相对应的说法,这些戒律禁止忏悔者不得有住所和任何财物,最后还禁止频频在同一棵树下栖息,以免对此树又发生任何亲切或爱好之感。基督教的神秘主义者和吠值多哲学的布道人还有一点是相同的,他们都认为一切外在的善行和宗教作业对于一个已经功德圆满的人都是多余的。——时代这样不同,民族这样不同,而有这么多的互相一致之处,这就在事实上证明这里所表明的,并不是象乐观的庸俗精神喜欢坚持的那样,只是神智上的一种什么怪癖或疯癫,而是人类天性本质的,由于其卓越故不常见的一个方面。

    至此我已指出一些资料,从这些资料中人们可以直接地以生活为来源而认识到那些表出意志之否定的现象。在一定的范围说,这是我们整个考察中最重要的一点。然而我仍然完全只是大致地谈到这一点,因为指出那些以亲身经验现身说法的人[,请人们自己去]参考,要比无力地重述他们所说过的而毫无必要地再胀大本书的篇幅好得多呢。

    我只想还加上几句以便一般地指出这些人的[心理]状态。我们在前面已看到恶人由于他欲求的激烈而受着经常的,自伤其身的内在痛苦;最后在一切可欲的对象都已穷尽之后,又以看到别人痛苦来为顽固的意志的馋吻解渴,那么,与此相反的是那已经领悟生命意志之否定的人;从外表看尽管他是那么贫苦,那么寡欢而总是缺这缺那,然而他的[心理]状况却充满内心的愉快和真正天福的宁静。这已不是那个不安的生命冲动,不是那种鼓舞欢乐了。欢乐是以激烈的痛苦为事前,事后的条件的,譬如构成贪生的人们一生的那种欢乐;[这里不是欢乐]而是一种不可动摇的安定,是一种深深的宁静和内心的愉快。这种境界如果出现于我们眼前或出现在我们的想象之中,那是我们不能不以最大的向往心情来瞻仰的;因为我们立即认为这是唯一正确的,超过一切一切无限远的东西,因为我们的良知[常]以“战胜自己,理性用事”这响亮的口号召唤我们到那儿去。于是我们觉得[下面这个比方]很对,即是说我们的愿望从人世间赢得的任何满足都只是和[人们给乞丐的]施设一样,[只能]维持他今天不死以使他明天又重新挨饿。而清心寡欲则相反,就好比是继承了的田产,使这田产的主人永远免除了[生活上的]一切忧虑。

    从第三篇里我们还记得这一点,即是说对于美的美感,那种怕悦,大部分是由于我们进入了纯观赏状态[而来的]。在这瞬间,一切欲求,也就是一切愿望和忧虑都消除了,就好象是我们已摆脱了自己,已不是那为了自己的不断欲求而在认识着的个体了,已不是和个别事物相对应的东西了;而客体成为动机就是对这种对应物而言的。[在这瞬间,]我们已是不带意志的认识的永恒主体,是理念的对应物了。我们也知道这些瞬间,由于我们这时已摆脱了狠心的意志冲动,好比是已从沉重的烟雾中冒出来了似的,是我们所能知道的一切幸福的瞬间中最幸福的[一瞬]。由此我们就可以想象,要是一个人的意志不只是在一些瞬间,如美感的享受,而是永远平静下来了,甚至完全寂灭,只剩下最后一点闪烁的微光维持着这躯壳并且还要和这躯壳同归于尽,这个人的一生必然是如何的幸福。一个这样的人,在和他自己的本性作过许多艰苦的斗争之后终于完全胜利了,他所剩下的就只是一个纯认识着的东西了,就只是反映这世界的一面镜子了。再没有什么能使他恐惧,能激动他了;因为他已把“欲求”的千百条捆索,亦即将我们紧缚在这人世间的捆索,作为贪心、恐惧、嫉妒、盛怒,在不断的痛苦中来回簸弄我们的捆索,通通都割断了。他现在是宁静地微笑着在回顾这世间的幻影。这些幻影过去也能够激动他的心情,能够使他的心情痛苦,但现在却是毫无所谓地出现在他眼前,好比棋局已终之后的棋子似的;又好象是人们在狂欢节穿戴以捉弄我们,骚扰我们,而在翌晨脱下来了的假面具和古怪服装似的。生活和生活中的形形色色只好象是飘忽的景象在他眼前摇晃着,犹如拂晓的轻梦之于一个半醒的人,这时现实已曦微地从梦中透出而梦也不能再骗人了。正是和这梦一样,生活的形形色色也终于幻灭,并无须越过什么巨大的障碍。从这些考察中我们可以学会理解顾蓉夫人在她那部传记的末尾是在什么意味之下要屡屡他说:“我觉得一切都无所谓,不相干,我不能再对什么有所欲求;我每每不知道我自己的有无。”——为了说明如何在意志寂灭之后,肉体的死亡(肉体只是意志的显现,故随意志的取消而失去一切意义)已不能再有什么苦的意味,而是很受欢迎的,请再容许我把这位神圣的仟悔者自己的话引在这里,尽管这些话是没经修饰过的[,她说]:“光荣的高峰如日中天;是一个再没有黑夜继之而起的白昼,是即令在死亡中也不怕任何死的一生;因这一死已战胜了那一死,又因为谁已经历了第一个死,就不再品味到第二个死了。”(《德·顾蓉夫人传》第二卷第13页)

    这时我们可不能以为生命意志的否定,一旦由于那已成为清静剂的认识而出现了就不会再动摇,人们就可在这上面,犹如在经营得来的财产上一样高枕无忧了。应该说,生命意志的否定是必须以不断的斗争时时重新来争取的。这是因为身体既是意志本身,不过是在客体性的形式中,或只是作为表象世界中的现象而已;那么,这身体要是一天还活着,整个的生命意志就其可能性说也必然还存在,并且还在不断挣扎着要再进入现实性而以其全部的炽热又重新燃烧起来。因此,我们认为在那些神圣人物的传记中描写过的宁静和极乐只是从不断克服意志[这种努力] 产生出来的花朵,而同生命意志作不断的斗争则是这些花朵所由孳生的土壤:因为世界上本没有一个人能够有持久的宁静。因此,我们看到圣者们的内心生活史都充满心灵的斗争,充满从天惠方面来的责难和遗弃,而天惠就是使一切动机失去作用的认识方式,作为总的清静剂而镇住一切欲求,给人最深的安宁敞开那条自由之门的认识方式。所以我们看到那些一度达成了意志之否定的人们,还是以一切的努力把自己维持在这条路上,拿从自己身上逼出来的各种克制,拿忏悔的严酷生活方式和故意找些使自己不快的事,拿这一切来抑制不断再要拾头的意志。最后,因为他们已认识到解脱的可贵,所以他们为了已争取到手的福田还有那种戒慎恐惧的心情,在任何无伤大雅的享受时或他们的虚荣心有任何微弱的激动时还有那种良心上的顾虑。[再说] 虚荣心在这里也是最后才死去的,在人的一切嗜欲中,也是最活跃,最难消灭,最愚蠢的一种。——在我已多次用过的禁欲这一词里,从狭义说,我所理解的就是这种故意的摧毁意志,以摒弃好受的和寻找不好受的来摧毁意志;是自己选定的,用以经常压制意志的那种仟悔生活和自苦。

    我们如果看到那些已达成意志之否定的人们实行[上述]这些办法以保持自己在这种状态[不退步],那么,忍受痛苦,有如命运所加于人的痛苦,根本就是达到这种状态的第二条道路(第二条最好的途径)。是的,我们可以认定大多数人都是在这一条道路上达到意志之否定的;还可认定把彻底的清心寡欲带给人的,最常见的是本人感到的痛苦而不是单纯被认识了的痛苦,[并且]往往是临近将死的时候。这是因为只能在少数人那里,单纯的认识,——因看穿个体化原理而后产生心意上的至善和普泛的博爱,最后让这些人认识到人间一切痛苦即是他们自己的痛苦——,就足以导致意志的否定。即令是在那些接近着这一点的人们,他本人的舒适情况,刹那间的诱惑,希望的招引,和经常是一再要自荐的意志之满足,亦即快乐,几乎都是否定意志的经常障碍,都是重新肯定意志的经常诱惑。因此,人们在这方面的意义上[特地] 把所有这些诱惑都当作魔鬼人格化了。所以大多数人都必须先由本人的最大痛苦把意志压服了,然后才能出现意志的自我否定。这样,所以我们看到人们在激烈的挣扎抗拒中经过了苦难继续增长的一切阶段,而陷于绝望的边缘之后,才突然转向自己的内心,认识了自己和这世界;他这整个的人都变了样,他已超乎自己和一切痛苦之上,并且好象是由于这些痛苦而纯洁化,圣化了似的。他在不可剥夺的宁静,极乐和超然物外[的心境]中甘愿抛弃他前此极激烈地追求过的一切而欣然接受死亡。这是在痛苦起着纯化作用的炉火中突然出现了否定生命意志的纹银,亦即出现了解脱。即令是过去很坏的人,间或我们也看到他们通过最深刻的创痛也纯化到这种程度:他们成为另一个人了,完全转变了。因此,以往的恶行现在也不再使他的良心不安了;不过他们还是情愿以死来赎这些恶行;并且[也]乐于看到[自己]那意志现象消灭,现在这意志对于他们已是陌生的和可厌恶的了。关于这种由于大不幸,由于一切解救都已绝望所带来的意志之否定,伟大的歌德在他不朽的杰作《浮士德》里格勒特小姑娘的痛苦史中,给我们作了明确的形象化了的描写,这样的描写是我平日在文艺里还没看到过的。这是从第二条道路达到意志之否定的标准范例;它和第一条道路不一样,不单是由于认识到全世界的痛苦,自愿承担这痛苦,而是由于自己感到本人过度的痛苦。很多悲剧在最后虽然也是把剧中有着强烈欲愿的主人公引到完全清心寡欲的这一点;[但]到了这一点之后,一般就是生命意志及其现象的同归于尽。就我所知道的说,象上述《浮士德》中的描写使我们这样明确而不带任何杂质地看到这种转变中最本质的东西,那是没有的。

    在实际生活中,我们[还]看到一些不幸的人们,因为他们在一切希望都被剥夺之后,还要神智完全清醒地走向断头台上不光荣,不自然,经常充满痛苦的暴死,所以他们是必须尝尽最大限痛苦的人们,他们也常是在这[第二条]道路上转变的。我们虽然不能认为在这些人的性格和大多数人的性格之间有着很大的区别,犹如他们的命运所显示的区别那么大,命运上的区别绝大部分要归之于环境[的不同];但是他们仍然是有罪的,在相当大的程度上也是恶人。不过我们现在看到他们之中的好多人,在完全绝望已成事实之后,还是在上述方式之下转变了。他们现在表现着心意上真正的善良和纯洁,表现真正痛恨做出了任何有些微恶意或不仁的行为;他们宽恕了自己的仇敌,即令是使他们无辜而受罪的仇敌。他们不只是在口头上这样做,不是害怕阴间的判官而假意这样做,而是在实际行动上,出于内心的严肃这样做,并且绝对不想报仇。是的。他们终于欢迎自己的痛苦和死亡,因为生命意志的否定已经出现了。他们每每拒绝人家提供的救援而欣然地、宁静地、无上幸福地死去。在过份的痛苦中,生命的最后秘密自行向他们透露出来了,即是说受害与为恶、忍痛和仇恨、折磨人的人和被折磨的人,在服从根据律的认识里尽管是那么不同,在本体上却是一回事,是同一个生命意志的显现。生命意志[只是]借个体化原理而使它的自相矛盾客体化:他们已充分认识到为恶与受害的双方,而当他们终于体会了双方的同一性时,他们现在就把双方拒绝于自身之外,就否定了生命意志。至于他们用那种神话或信条来对他们的理性说明这种直观的、直接的认识和他们的转变,如已说过,那是完全无关宏旨的。

    当马迪亚斯·克劳第乌斯写下那篇大可注意的文章时,无疑的他是这种心灵变化的见证人。那篇文章刊在《范德斯白克的使者》(第一卷第115页)中,题目是《××的皈依史》。文章有着如下的结束语:“一个人的想法可以从圆周上的这一点转移到正对面的一点,又可再回到原先的那一点,如果情况给这人指出[来]去的那段弧线的话。在人,这些变化并不一定就是些什么大事或有趣的事。但是那大可注意的、罗马正教的、超绝的转变,[由于]这时那整个的圆周已无可挽回的被扯断以至心理学的一切规律都空洞无用了,[由于]这时已发生了脱胎涣骨的变化,至少也是发生了洗心革面的变化,以致人们好象眼睛里去掉了翳障似的,却是这种[人生]的大事,即是说任何人只要他一息尚存,如果他能对于这种事情听到一点什么确实可靠的东西或有所经历,他就离父别母[而去]了。”

    此外,就这种由痛苦而来的纯化说,死的迫近和绝望[心情] 并不是绝对必要的。没有这些,[单]是由于大不幸和创痛,对于生命意志自相矛盾的认识也会不可阻拦地涌上心头,而一切挣扎的虚无性也就会被理解了。因此,我们常看到一些人在激情的冲动中过着非常波动的生活,如帝王、英雄、追求幸福的冒险者[等] 突然地变了样,转向清心寡欲和忏悔,成为隐士和僧侣。属于这类型的是一切道地的皈依史,例如莱孟德·陆卢斯的皈依史就是[其中之一]。他追求已久的一个美妇人终于允许他到闺房去幽会,这时他眼看自己的愿望就要得到满足了;可是正在这时,那妇人解脱了自己的护胸带,露出她那惨遭癌毒糜烂的乳房给他看了。从这一瞬间起,他好象是看过了地狱似的,纠正了自己,悔改了;他离开了麻约迦国王的朝廷而到沙漠里忏悔去了。与此很相似的是朗赛神父的皈依史,这是我在[本书]第二卷第四八章中简述过了的。如果我们详察这两人[悔改]的契机都是从人生的欢乐过渡到人生的惨痛,这就给我们解释了一个很突出的事实,解释了何以欧洲一个最富于生命之欢,最开朗愉快,最肉感最轻浮的民族,——法国民族——,反而产生了一个宗教组织,比一切宣誓守戒的僧侣组织还要严格得多的组织,即特拉波斯会。这个组织一度崩坏之后,又由朗赛恢复旧规,并且尽管有过那些革命,那些教会的改革和风行一时的不信神道,这个组织直到今天还保持着它的纯洁性和可怕的严格[戒律]。

    上述这种关于人生性质的认识仍然又可随同[获得这认识的]契机一同消逝,而生命意志和以前的性格又相偕卷土重来。我们看到激情的彭维吕多·捷林尼一次在监狱里,又一次在重病中,本已由于痛苦而改邪归正了,但在痛苦消逝之后,他仍然故态复萌。从痛苦中产生意志之否定根本没有从因生果那种必然性,意志仍然是自由的。原来这唯一的一点就正是意志的自由直接出现于现象中的地方,这也就是阿斯穆斯所以要对“超绝的转变”强烈地表示惊异[的原因]。随着每一痛苦都可设想还有一种在激烈程度上超过痛苦,因而更不受拘束的意志。这就是柏拉图所以在《费桐》中讲述那种人,直到行刑之前的顷刻还在大吃大喝,还在享受性的快感,至死还在肯定生命。莎士比亚在波福主教[的形象]中给我们看到一个肆无忌惮的坏蛋的可怕结局,看到他因为任何痛苦和死亡都未能压服那凶顽到了极度的意志而死于无可奈何的绝望之中。

    意志愈是激烈,则意志自相矛盾的现象愈是明显触目,而痛苦也愈大。如果有一个世界和现有的这世界相比,是激烈得无法相比的生命意志之显现,那么这一世界就会相应地产出更多的痛苦,就会是一个[人间]地狱。

    因为一切痛苦,[对于意志]既是压服作用,又是导致清心寡欲的促进作用,从可能性上说[还]有着一种圣化的力量;所以由此就可说明何以大不幸,深创巨痛本身就可引起别人的某种敬重之心。但是这个忍受痛苦的人若要真正是我们所敬重的,那就必须是这样:即是说在他把他的生平当作一连串的痛苦来回顾时,或是在为一个巨大的治不好的创痛而哀伤时,他所看到的并不只是这恰好陷他一生于悲苦的一系列情况,并不止于他所遭遇到的个别的大不幸;——因为着还只是这样看时,则他的认识还是服从根据律的,还是胶着在个别现象上的,他还是一贯的要活命,不过是不想在轮到他的这些条件下活命而已——,而是他的眼光已从个别上升到一般,他已把自己的痛苦看作整个痛苦的一个特例,而是当他在伦理方面成为天才时已把自己的痛苦只算作千百种痛苦中的一个情况,因而这人生的全部既被理解为本质上的痛苦,已使他达到无欲无求[的境界];这样,他在我们面前才真正是值得敬重的。因此,歌德所著《妥尔瓜脱·塔索》一剧中的公主,在她诉说自己和亲人们的一生是如何伤感寡欢时,她自己却完全只朝普遍一般看,也就值得敬重。

    我们想,一种极高超的人物性格总带有几份沉默伤感的色彩,而这种伤感决不是什么对于日常不如意的事常有的厌恶之心(这会是一种不高尚的气质,甚至还令人担心是否存心不良),而是从认识中产生的一种意识,意识着一切身外之物的空虚,意识着一切生命的痛苦,不只是意识着自己的痛苦。但是,必须由于自己本人经历的痛苦,尤其是一次巨大的痛苦,才能唤起这种认识,例如彼得拉克就是那么一次没有满足的愿望竟使他对于整个一生抱着那种无欲无求的伤感[态度]。他的著作透露这种哀伤,非常动人,原来他所追求的达芙妮不得不摆脱他的追求以便为他留下诗人不朽的月桂冠来代替她自己。如果意志由于这样重大不可挽回的损失而被命运伤到一定的程度,那么,在别的方面几乎就不会再有什么欲求了;而这人物的性格也就现为柔和、哀怨、高尚、清心寡欲了。最后如果那股怨忿之气再没有固定的对象了,而是泛及于生命的全部,那么,这怨气在一定范围内就可说是一种“反转向内”,是一种回缩,是意志的逐渐消逝;还甚至于是不声不响地,却是在最内在的深处伤害着意志的可见性,亦即伤害着身体。人在这时就觉得绑着自己的捆索松了一些,轻微地预觉到宣告身体和意志同时解体的死亡,于是这股怨忿之气又是有一种隐蔽的喜悦之情随伴着的。这种喜悦,我相信,即一切民族中最忧郁的那民族[英国民族]叫做“哀怨之乐”的东西。然而也正是在这里横亘着感伤性这一暗礁,在生活本身中有之,在文艺的生活描述中亦有之;即是说人们老是哀伤,老是怨诉,却不自振作,不上进于清心寡欲,这就把天上人间一同都丧失了,而剩留下来的就只是淡而无味的多愁善感。痛苦,唯有在进入了纯粹认识的形式,而这认识作为意志的清静剂又带来真正的清心寡欲时,才是[达到]解脱的途径,才因而是值得敬重的。就这一点说,我们在看到任何一个大不幸的人物时,可总要感到几分敬意,和美德高风令人起敬相仿佛;同时,我们对于自己的幸福状态也觉得有点儿惭愧似的。我们不免要把每一痛苦,不管是自己感受的或别人的,至少是当作可能接近美德和神圣性[的阶梯]看;相反,对于享受和人间的满足则要看作与此相去愈远。甚至还可以进一步这样看,即是说每一个在肉体上或精神上担负着巨大沉重痛苦的人,乃至任何一个人,在完成一项最费劲的体力劳动之后,汗流满面,显然已精疲力竭,却耐心地忍受着这一切而无怨言;我说,每一个这样的人,如果我们仔细观察他,我们就觉得他活象一个病人在接受一种痛苦的治疗似的,他甘愿甚至是满心欢喜地忍受着由治疗引起的痛苦,因为他知道所忍受的痛苦愈大,则致病的因素被消灭的也愈多,因此眼前痛苦[的大小]就是衡量他病愈的尺度。

    根据前此[所说]的一切,生命意志之否定,亦即人们称为彻底的清心寡欲或神圣性的东西,经常总是从意志的清静剂中产生的;而这清静剂就是对于意志的内在矛盾及其本质上的虚无性的认识。[至于]这种矛盾和虚无,则是在一切有生之物的痛苦中表现出来的。我们论述过的两条道路的区别就在于唤起这种认识的[原因]究竟只是纯粹被认识到的痛苦,借看穿个体化原理而自愿以之为自己的痛苦,还是自己本人直接感受到的痛苦。没有彻底的意志之否定,真正的得救,解脱生命和痛苦,都是不能想象的。在真正解脱之前,任何人都不是别的,而是这意志自身。这意志的现象却是一种在幻灭中的存在,是一种永远空无所有,永不遂意的挣扎努力,是上述充满痛苦的世界;而所有一切人都无可挽回地以同一方式属于这一世界。这是因为我们在上面已看到,生命总是生命意志所保有的,而生命仅有的,真正的形式则是“现在”。这一形式,[因]现象中既然还有生和死起支配作用,[所以] 是上述一切人永远摆脱不了的。印度神话是用这么一句话来表示这一点的,神话说:“众生皆[入轮回]转生”。性格在伦理上的巨大区别有着这样的意义,即是说:坏人要达到意志之否定所由产的那种认识,还有无限远的距离;所以在生活中有可能出现的一切痛苦,他却在事实上真正的面临这些痛苦了;因为他本人眼前的什么幸福状况也只是一个借助于个体化原理而有的现象,只是摩那的幻术,只是那乞丐的黄粱梦。他在他意志冲动激烈而凶猛时所加于别人的痛苦就是衡量[他自己]那些痛苦的尺度,而这些痛苦的经验并不能压服他的意志,也不能导致最后的否定[意志]。一切真正的、纯洁的仁爱,甚至于一切自发的公道则相反,都是从看穿个体化原理而产生的。个体化原理的看穿如果发挥充分的力量就会导致完整的神圣性和解脱;而神圣和解脱的现象就是上述清心寡欲无企无求的境界,是和清心寡欲相随伴而不可动摇的安宁,是寂灭中的极乐。

    在我们的考察方式的范围内现已充分阐述过的生命意志之否定,是意志自由出现于现象中唯一的活动;因而也就是阿斯穆斯所谓超绝的转变。再没有什么还比真正取消意志的个别现象——自杀——更有别于这生命意志之否定的了。自杀离意志的否定还远着,它是强烈肯定意志的一种现象。原来[意志之]否定的本质不在于人们对痛苦深恶痛绝,而是在于对生活的享乐深恶痛绝。自杀者要生命,他只是对那些轮到他头上的[生活]条件不满而已。所以他并没有放弃生命意志,而只是在他毁灭个别现象时放弃了生命。他要生命,他要这身体畅遂无阻的生存,要肯定这身体;但是错综复杂的环境不容许这样,这就给他产生了巨大的痛苦。生命意志本身觉得自己在这一个别现象中被阻拦到这种程度,以致它不能开展它的追求了。于是意志就按它自己的本质自身来作出决定,即是说这本质自身是在根据律的那些形态之外的,所以它并不在乎任何个别现象;因为本质自身不与一切生灭相涉,而是一切事物的生命中内在的东西。原来前述牢固的,内在的,使我门一切人甭经常在死的恐怖中生活的那种确定不移之理,亦即意志决不会少了它的现象这一确定不移之理,在自杀这事上也支持这一行动。所以说,生命意志既显现于这自表其生[僖华]中,也显现于“自我保存”[毗湿拿]的舒泰状态中和生殖[婆罗摩]的淫欲中。这就是连环三神抵三位一体的内在意义,而任何一个人都完全的是这统一性,尽管这统一性在时间上忽而抬举三位一体中的这一神,忽而又抬举那一神。——和个别事物对理念的关系一样,自杀对意志之否定也是这样一个关系:自杀者所否定的只是那个体而不是物种。我们在上面已看到,由于生命意志是确实不怕没有生命的,而痛苦之于生命又是本质的[东西],那么,自杀,亦即一个个别现象的自甘毁灭,也就是一个完全徒劳的、愚蠢的行为;[因为现象毁灭时,]自在之物却依然无恙,犹如不管彩虹所依存的雨点是如何迅速地在替换更易,彩虹自身仍坚持不收一样。此外,这种行为,作为生命意志自相矛盾最嚣张的表现,也是摩耶的杰作。这种矛盾,我们既在最低的那些意志现象上,在各种自然力以及一切有机个体为了物质、时间和空间而争求外现的不断斗争中看到它,又在意志客体化上升的各级别上看到它愈来愈显著,愈明显可怕;那么,在最高级别上,亦即在人的这理念上,这个矛盾终于达到了这样的程度,即是说不仅是表出这同一理念的个体间在互相残杀,而且是同一个体对自己本身宣战。[而这时]个体用以追求生命和抗击生命的障碍与痛苦的激情竟至于使个体来毁灭自己;也就是那个体的意志在痛苦尚未摧毁意志之前,先自以一次意志活动来取消这身体,而身体就只是意志自己的成为可见罢了。正是因为自杀者不能中止欲求,所以他停止活下去,而意志在这里就正是以取消它的现象来肯定自己,因为它[此外]已再无别法来肯定自己了。但是正因为它所逃避的痛苦,作为压制意志的作用,可能导致它自己的否定,可能导致解脱,所以自杀者在这方面就等于一个病人,在一个痛苦的、可能使他全愈的手术已开始之后,又不让作完这手术,而宁愿保留病痛。痛苦已来到面前,并且作为痛苦也就开辟了到达意志之否定的可能性,但是他,由于毁灭意志的这现象,身体,以保留意志不被扼杀,他把痛苦撵走了。——这就是几乎一切伦理学,不管是哲学上的或宗教上的。何以要谴责自杀行为的理由,虽然它们自己对于这一点除了古怪的、诡辩的理由之外,并不能提出别的理由。可是如果有那么一个人,他是由于纯道德的冲动而制止了自杀行为的,那么这种自我克制的最深意义(不管他的理性用些什么概念把这意义装扮起来)就是这样:“我不逃避痛苦,以便痛苦能有助于取消生命意志,——这意志的现象是如此悲惨——,因为痛苦正在这方面加强我现在对于世界的真正本质所获得的认识,即是说这认识将成为我意志最后的清静剂而使我得到永久的解脱。”

    大家也知道时常一再发生自杀行为株连儿女的情况:作父亲的先弄死他痛爱的孩子们,然后自杀。我们想想,良心、宗教,以及所有那些流传下来的观念都教他知道杀人是最严重的罪行,然而他在自己死的时候还要干出这杀人的事,并且是虽然不可能有任何自私的动机,还是干出来了;那么,这种行为就只能这样解释,即是说个体的意志在这里是直接在孩子们身上认出它自己的,不过还是拘限在把现象当本质的错觉中;同时因认识到一切生命\的痛苦而深受感动,于是就误认本质自身也可以随同现象来取消;所以,他既直接看到自己又在孩子们身上活下去,就想把自己和孩子们从生存和生存的痛苦中拯救出来。——还有一个与此完全类似的错误,那就是人们妄想以在射精时使大自然的目的落空的办法来达到自愿的戒色所成就的事;或是着眼于生命不可避免的痛苦,甚至于不尽一切力量来为每一个闯进生命里来的[小宝贝] 保障它生命的安全,反而要助长新生婴儿的死亡。这是因为如果已经有了生命意志,那么,生命意志作为形而上唯一的东西,作为自在之物,就没有一种暴力能够打破它,暴力只能消灭生命意志在此时此地的现象。至于它自身,除了通过认识以外,什么也不能取消它。因此得救的唯一途径就是意志无阻碍地显现出来,以便它在这显现出来的现象中能够认识它自己的本质。唯有借助于这认识,意志才能取消它自己;同时也能随之而结束和它的现象不可分的痛苦:却不可能借助于物质的暴力,如杀死精子,如毙婴,如自杀。大自然正是把意志引向光明,因为意志只有在光明中才能得到解脱。因此,一旦生命意志——那是大自然的内在本质——已经作出了决定,就该以一切方式来促进大自然的那些目的。——

    另有一种特殊的自杀行为似乎完全不同于普通一般的自杀,可是人们也许还未充分注意到。这就是由最高度的禁欲自愿选择的绝食而死,不过这种现象在过去总是混杂着好多宗教的妄想甚至迷信,因而真相反而不明了。然而彻底否定意志似乎仍能达到这样的程度,即是说借吸收营养以维持肉体的生机所必要的意志也消失了。这一类型的自杀决不是从生命意志中产生的,与生命意志风马牛不相及,这样一个彻底请心寡欲的禁欲主义者只是因为他已完完全全中断了欲求,才中断了生命。这里除了绝食而死之外,别的什么死法大概是想不出来的(如其有可能,则是从一种特殊迷信中产生的);因为[任何]缩短痛苦的企图确已是一定程度的肯定意志了。在绝食时,充满这样一个仟悔者的理性的那些信条则反映着他的幻想,好象有一种什么更高超的东西曾命令他绝食似的,而[其实只]是内心的倾向驱使他这样做。这方面较早的例子可以在下列书刊中找到:《布累斯劳[地区]自然史、医学史汇编》1799年9月份,第363页起;贝耳:《文哲园地消息》1685年2月份,第189页起;齐默曼:《论孤寂》卷一,第182页;在1764年的《科学院史》中呼杜英的一篇报告重印于《开业医师用病例选集》卷一,第69页。较晚近的报导也可在下列书刊中找到:胡非南编的《实用医学杂志》卷一第181页,卷四八第95页;纳塞编的《精神病医生专用杂志》1819年度第三期第460页;《爱丁堡地区医学和外科手术杂志》1809年度第五卷第319页。在1833年各报都登载了英国历史家林廓德博士在元月间自行饿死于[英国]多维尔地方的消息,根据后来的报导又说死者并不是他本人而是他的一个亲属。不过这些消息大部分都是把那些当事人当作精神病患者来描写的,现已无法查明这种说法究竟真实到什么程度。虽然只是为了更妥善的给人性这一触目的,不同寻常的,前已提过的现象保存一个少有的例子,我还是想在这里记下这类报导新近的一条消息。这一现象至少在表面上属于我想把它纳入的这范围之内,此外,这也将是一个难于解释的现象。我所说的新近消息刊登在1813年7月29日的《纽伦堡通讯》中,原文如下:

    “据来自伯尔尼的报导说在社尔恩地方的一座密林中发现了一个小茅屋,内有一具男尸,距生前大约已有一月光景,现已在腐臭中。所着衣履,不能据以判断死者生前的身份。尸旁放着两件很精美的衬衣。最重要的遗物是一本《圣经》,书中夹着白色纸页,其中一部分是死者涂写过的。在这些纸页上他记下了离家的日期(但未注明籍贯),此后他说:上帝之灵驱使他到荒野去祷告和绝食斋戒。他在到此的旅程中已绝食七日,然后他又进了饮食。从此在他新居之地他又开始绝食若干日。每绝食一日都划上一笔作记号,共有五划,五划之后这个朝山的香客可能就死去了,此外还有一封写给某牧师的信,信的内容是关于死者听到这牧师所讲过的一篇宣道辞,可是也没写上收信人的住址。”——在这种由于极端禁欲和一般由于绝望产生的两种故意死亡之间,还可能有些中间阶段和两者相混杂的情形,这些固然是难于解释的,不过人类心灵本有一些深邃、阴暗,和错综复杂的地方,要揭露和展出这些地方是极度困难的。

    我们现已结束了我所谓意志之否定的全部论述,人们也许可能以为这一论述和以前有关必然性的分析不相符。[那儿说]动机之有必然性正和根据律其他每一形态相同,从而动机和一切原因一样,都只是些偶然原因。在这些偶然原因上人的性格展出它[自己]的本质,并且是以自然规律的必然性透露着这本质,所以我们在那儿曾干脆否认过自由作为“不受制于内外动机的绝对自由”。这里根本不是要取消这一点,我反而是要人们回忆这一点。事实上,意志只是作为自在之物才能有真正的自由,而自由亦即独立于根据律之外。[至于]意志的现象,它的基本的形式无论在什么地方都是根据律,都是必然性手心里的东西,那是没有这种自由的。可是还有这么唯一的一个情况,直接在现象中也能看出这种自由,那就是这样一个情况:这自由在给那显现着的东西办最后结束时,因为这时那单纯的现象,就它是原因锁链中的一环说,亦即就它是被赋予生命的身体说,仍然还在只充满现象的时间中继续存在着,所以那以这现象自显的意志,由于它否定这现象透露出来的东西,就和这现象处于矛盾的地位了。譬如性器官,作为性冲动具体可见的表现,尽管还是在那里并且还是健全的,可是已没有,在内心里已没有性的满足的要求了,这就是刚才讲的那种[矛盾]情况。[同样,]整个的身体也只是生命意志的具体表现,然而迎合这一意志的那些动机已不再起作用了;是的,现在却要欢迎并渴望这躯壳的解体,个体的了结,因而对于自然的意志的最大障碍也是受欢迎的了。这一现实的矛盾是由于不知有任何必然性的意志自身,自由地直接侵入意志现象的必然性而产生的。我们一面主张意志有按性格所容许的程度而被动机决定的必然性,一面主张有彻底取消意志的可能性,从而一切动机都失去了作用;那么,这两种主张的矛盾就只是这一现实的矛盾在哲学的反省思维中的重复罢了。但是这里却有统一这些矛盾的钥匙在,即是说性格得以摆脱动机的支配力的那种情况不是直接从意志,而是从一个改变过了的认识方式出发的。也就是说,如果[人的]“认识”还是局限于个体化原理,干脆眼从根据律的认识,而不是其他的认识,那么动机的巨大力量就还是不可抗的,但是,假使个体化原理被看穿了,那些理念,亦即自在之物的本质作为一切事物中的同一意志,又直接被认识了,而从这认识又产生了欲求的普遍[可用]的清静剂,那么个别动机就失去效力了,因为和动机相呼应的认识方式已彼完全不同的又一认识方式所遮没而引退了。因此,性格固然永远不能有局部的变更,而必须以一种自然规律的守恒性个别地执行意志[的所欲],而性格整个地又是这意志的显现。然而正是这个“整个”,这性格自身,又可以由于上述认识的改变而完全被取消。这种性格的取消,如前已引证过的,就是阿斯穆斯对之惊异而称之为罗马正教的,超绝的转变的东西。这也正是在基督教教会里很恰当的被称为再生的东西,而这所由产生的认识也就是那被称为“天惠之功”的东西。——正是由于这里所谈的不是性格的一种改变,而是整个儿的被取消,所以尽管那些性格在被取消之前——[现在,]取消性格已生效——是那么不同,但在既被取消之后就在行为方式上表现出很大的相似性,虽然各按其概念和信条不同,各自说的话还是很不相同的。

    在这种意义上说,关于意志自由即这一古老的,常被反驳又常被坚持的哲理也就并不是没有根据的了,而教会里关于天惠之功和再生的信条也不是没有意思和意义的了。我们现在不过是出乎意料的看到[这种哲理和教义]两者的符合一致,并且此后我们也就能理解那卓越的马勒布朗希是在什么意义上[才]能够说“自由是一个神秘”了,[其实]他也说得对。原来基督教的神秘主义者所谓的天惠之功和再生在我们看来只是意志自由唯一直接的表现。

    只有意志获得它本质自身的认识,又由这认识获得一种清静剂而恰是由此摆脱了动机的效力,才会出现意志的自由。[至于]动机则在另一种认识方式的领域内,这认识方式的客体就只是些现象而已。——所以自行表出自由的可能性是人类最大的优点,动物永远不可能有这种优点;因为理性的思考力不为眼前印象所局限而能通观生活的全盘乃是这一可能性的条件。动物不自由,没有自由的一切可能性,甚至也不可能有一个真正的,经过考虑的选择作用,[因为]真正的选择要在事前结束动机之间的冲突,而动机在这里又必须是抽象的表象。因此,那饥饿的狼就会以石子要落到地面上来的那种必然性一口咬入山鸡野兔的肉,而不可能认识到它既是被扑杀的[对象],又是正在扑杀的[主体]。必然性是大自然的王国;自由是天惠的王国。

    因为意志的自我取消,如我们已看到的,是从认识出发的,而一切认识和理解按其原意都是不随人意为转移的,所以欲求的否定,亦即进入自由,也不能按预定意图强求而得,而是从人[心] 中的认识对欲求的最内在关系产生的,所以是突然地犹如从外飞来的。正是因此,所以教会称之为天惠之功。可是教会认为这仍有赖于天惠的接受,那么清静剂起作用仍然还是意志的一种自由活动。因为随这种天惠之功之后,人的全部本质压根儿变了,反过来了,以致他不再要前此那么激烈追求过的一切了,也就是犹如真有一个新人替换了那个旧人似的;而天惠之功的这一后果,教会就称之为再生。原来教会所谓自然人,是他们认为没有任何为善的能力的,这就正是生命意志。如果要解脱我们这样的人生,就必须否定这生命意志。也就是说在我们的生存后面还隐藏着别的什么,只有摆脱了这世界才能接触到[这个什么]。

    不是依根据律看,不是朝个体看,而是朝人的理念,在理念的统一性中看,基督教的教义在亚当身上找到了大自然的象征,即生命意志之肯定的象征。亚当传给我们的[原]罪使我们一切人都得分受痛苦和永久的死亡。原罪也就是我们和亚当在理念中的统一,这理念又是由生生不已这根链带而在时间上表出的。在另一面,教义又在人化的上帝身上找到了天惠的,意志之否定的,解脱的象征。这人化的上帝不带任何罪尤,也就是没有任何生命意志,也不能象我们一样是从坚决肯定意志而产生的,不能象我们一样有一个身体,——身体彻底只是具体的意志,只是意志的显现——,而是由纯洁的童贞女所生,并且也只有一个幻体。最后这一说本是以掌教[神父],亦即坚持此说的教会长老为根据的。阿伯勒斯是特别主张这一说的,德尔杜良又起而反对阿伯勒析及其追随者。但是奥古斯丁也是这样注解《给罗马人的信》第八通第三段的,他说:“上帝派遣他的儿子在有罪的肉体形相中”,也就是说:“原来这不是一个有罪的肉体,因为它不是从肉欲中诞生的;然而有罪的肉体形相仍然在他身上,因为那究竟是要死的肉体”(第八三篇问题部分第六六题)。在他另一部叫作《未完槁》的著作中(第一篇第四七节)他又教导说原罪既是罪,同时又是罚。在新生的婴儿身上已带着原罪,不过要在他成长时才显出来。然而这种罪的来源还是要溯之于犯罪者的意志。这个犯罪者据说就是亚当,而我们所有的人又都在亚当中生存。亚当不幸,我们所有的人也在亚当中不幸。——实际上原罪(意志的肯定)和解脱(意志的否定)之说就是构成基督教的内核的巨大真理,而其他的一切大半只是[这内核的]包皮和外壳或附件。据此,人们就该永远在普遍性中理解那稣基督,就该作为生命意志之否定的象征或人格化来理解[他];而不是按福音书里有关他的神秘故事或按这些故事所本的,臆想中号称的真史把他作为个体来理解。因为从故事或史实来理解,无论是哪一种都不容易完全使人满足。这都只是为一般群众[过渡到]上述这种理解的宝筏,因为群众他们总要要求一些可捉摸的东西。——至于基督教在近代已忘记了它的真正意义而蜕化为庸俗的乐观主义,在这里不与我们相干[,也就无庸赘述了]……

    此外基督教还有一个原始的,福音的学说,奥古斯丁在教会首脑的同意之下曾为捍卫这个学说而反对伯拉奇乌斯的庸俗[理论],[马丁·]路德曾在他所著《关于遵守最高决议》一书中特别声明他以剔除错误,保护这个学说的纯洁性为努力的主要目标。——这个学说就是:意志不是自由的,最初原来是臣服于为恶的倾向之下的,因此意志所作的事迹总有些罪过,总是有缺陷的,决不能上跻于公道;所以最后使人享天福的不是[人们]所作的事迹,而只是信仰。这信仰本身又不是从预定的企图和自由的意志中产生的,而是由于天惠之功,无须我们的参预,好象是从外面降临到我们身上来的。——不仅是上面提过的那些信条,就是最后这一道地福音的教义也在现代那种粗旷庸俗的看法所认为荒谬而加以拒绝或讳言的范围之内;因为这种看法,虽有奥古斯丁和路德在前,仍然信服伯拉奇乌斯派那种家常的理智——这正是今日的理性主义——,恰好废止了那些意味深长的,狭义的基督教所特有的本质上的教义,反而革是保蕾了渊源于犹太教而遗留下来的,只是在历史的过程中和基督教纠缠在一起的那些信条,并把这些信条当作主要事项。——但是我们却在上述的教义中看到和我们的考察结果完全相符合的真理,也就是说我们看到心意中真正的美德和神圣性,其最初来源不在考虑后的意愿(事功)而在认识(信仰);这恰好和我们从我们的主题思想中所阐明的[道理]相同。如果导致天福的是从动机和考虑过的意图中产生的事功,那么,不管人们怎么辩来辩去,美德永远就只是一种机智的、有方法的、有远见的利己主义了。——但是基督教教会许以夭福的信仰却是这样一个信仰:我们一切人既是由于人的第一祖先已陷于罪,部分有其罪,都逃不掉死亡和灾害;那么,我们一切人也只能由于天惠和神性的居间人承担了我们的无量罪恶才得解救;这并且完全不需要我们的(本人的)功德,因为凡是人有意(由动机决定的)的作为所能得出的东西,人的事功。就决不能,在人的天性上断然不能,使我们有理由获得解救,正因为这是有意的、由动机产生的行为,是表面功夫。所以在这种信仰中,首先是[说]我们人的处境原来是,在本质上是不幸的,于是我们需要解脱这种处境,其次是[说]我们自己在本质上是属于恶[这一面]的,是和恶如此紧密地缠在一起的,以致我们按规律和定则,亦即按动机所作的事情决不能满足公道所要求的。也不能解救我们。解救只能由于信仰,也就是由于改换过的认识方式才能获得,而这个信仰又只能来自天惠,所以好象是从外来的。这就是说:得救对于我们本人是一件陌生的事而暗示着要获得解救恰好就必须否定和取消我们这个人格的人。[人的]事迹,即服从规律之为规律的行事,因为总是随动机而有的行为,所以决不能为人开脱[罪恶]而成为获救的根据。路德要求(在《关于基督教的自由》一书中)在信仰既已获得之后,则嘉言懿行[应该]完全是自然而然从信仰中产生的,是这信仰的表征和果实,但决不是邀功的根据,不是应得之数或要求报酬的根据,而完全是自动甘愿的,不望报的。——所以我们也认为在愈益清楚地看穿个体化原理的时候,首先出现的只是自愿的公道,然后是仁爱,再进为利己主义的完全取消,最后是清心寡欲或意志的否定。

    基督教的教义本身和哲学并无关系,我所以要把这些教义扯到这里来,只是为了指出从我们整个考察中产生的,和这考察所有各部分既完全一致又相联贯的这种伦理学,虽在措词上是崭新的,闻所未闻的;但在本质上却并不是这样,而是和真正基督教的信条完全一致的;在主要的方面甚至已含蕴在这些教义中,是教义中已经有了的东西,正同这种伦理学和印度的神圣经典在完全另一形式下提出的教义和伦理规范也完全相符合一样。同时回忆基督教教会的信条还有助于解释和阐明一种表面上的矛盾,这矛盾一面是性格的各种表出在眼前动机之前的必然性(大自然的王国),另一面是意志本身否定自己的自由,取消性格以及取消一切基于性格的“动机的必然性”的自由(天惠的王国)。

    当我在这里结束[我的]伦理学基本论点,与此同时也结束我的目的所要传达的这一思想的全部论述时,我不想隐瞒还有一个责难是对这最后一部分论述而发的,反而要指出这个责难是在情的本质中根本免不掉的。这个责难说:在我们的考察终于达到了这一步之后,即是说我们完善的神圣性中所看到的就是一切欲求的否定和取消,也就是由此而解脱一个世界,其整个存在对我们现为痛苦的世界;那么,在我们看起来,这似乎就是走向空洞的无了。

    关于这一点我首先要说明的是:无这个概念基本上是相对的,总是对它所否定的,所取消的一个一定的什么而言的。人们(亦即康德)把这种属性只赋予空乏的无。这是用[负号]一来标志的,和以[正号]+来标志的相反,而这[负号]-在观点倒换时又可变为[正号]+。和空乏的无相对称人们又提出否定的无,而这在任何方面都应该是无,人们用逻辑上自相抵消的矛盾作为这种无的例子。过细考察起来,可并没有[什么]绝对的无,没有真正否定的无,就是想象这种无也不可能。任何这一类的无,从更高的立足点看,或是总括在一个较广泛的概念之下来看,永远又只是一个空乏的无,任何无之为“无”都是只在对别的什么的关系中来设想的,都是以这一关系从而也是以那别的什么为前提的。即令是一个逻辑的矛盾,也只是一个相对的“无”。逻辑的矛盾[固然]不是理性[所能有]的一个思想,但它并不因此就是一个绝对的无。原来这矛盾[只]是一些词的组合,是不可思议[之事]的一个例子;这是人们在逻辑上为了论证思维的规律必不可少的东西。因此,当人们为了这一目的而属意于这样的例子时,人们就会坚持[自相矛盾的]无意义为他们正在寻求的正,而[顺理成章的]有意义作为负,则将,跳过[不问]。所以每一否定的无或绝对的无如果置之于一个更高的概念之下,就会显为一个单纯的空乏的无或相对的无,而这相对的无又永远可以和它所打消的互换正负号,以致那被打消的又被认作负而相对的无却又被认作正。柏拉图在《诡辩派》(蚩槐布禄报[双桥]版第277—287页)中对于无曾作过艰深的、辩证的研究。这个研究的结果也和这里说的相符合,他说:“我们既已指出有另一种存在的性质,而且是分散和分布于在其相互关系之间的一切存在物之上的,那么,我们就可以肯定说:和个别存在物对立的存在,在事实上就是那不存在着的。”

    一般作为正而被肯定的东西,也就是我们叫做存在物的东西;无这概念,就其最普遍的意义说,就是表示这存在物的否定。作为正的就正是这表象的世界,我已指出这是意志的客体性,是反映意志的镜子。这意志和这世界也正就是我们自己。整个的表象都是属于这世界的,是这世界的一面。这表象的形式便是空间和时间,因此,在这立场上看的一切存在物都必然要存在于某时和某地。意志的否定、取消、转向,也就是这世界——意志的镜子——的取消和消逝。如果我们在这面镜子中再看不到意志了,那么我们要问意志转移到哪里去了也是徒然;于是我们就埋怨说意志既再没有它所在的时间和地点,那么它一定是消失于无之中了。

    一个倒转过来的立足点,如果在我们也有这种可能的话,就会使正负号互换,使我们认为存在的变为“无”,而这“无”则变为存在的。不过我们如果一天还是生命意志本身,那个无就只能在否定的方面被我们所认识,只能从否定的方面加以称呼;因为恩披陀克勒斯说的那句老话:“同类只能被同类所认识”恰好把我们在无这方面的认识剥夺了。相反,我们一切真实的认识的可能性,亦即世界作为表象,或者是意志的客体性,最后也正是基于这句老话的。因为这世界就是意志的自我认识。

    如果断然还要坚持用个什么方法从正面来认识那哲学只能从反面作为意志的否定来表示的东西,那么我们没有别的办法,只有指出所有那些已达到了彻底否定意志的人们所经历的境界,也就是人们称为吾丧我,超然物外,普照,与上帝合一等等境界。不过这种境界本丁能称为认识,因为这里已没有主体和客体的形式了,并且也只是他们本人自己的,不能传达的经验所能了知的。

    可是我们,完全站在哲学观点上的我们,在这问题上就不能不以反页的消极的认识自足,达到了正面的积极的认识门前一口界碑就算满足了。我们既然认为世界的本质自身是意志,既然在世界的一切现象中只看到意志的客体性,又从各种无知的自然力不带认识的冲动起直到人类最富于意识的行为止,追问了这客体性,那么我们也决不规避这样一些后果,即是说:随着自愿的否定,意志的放弃,则所有那些现象,在客体性一切级别上无目标无休止的,这世界由之而存在并存在于其中的那种不停的熙熙攘攘和蝇营狗苟都取消了,一级又一级的形式多样性都取消了,随意志的取消,意志的整个现象也取消了;末了,这些现象的普遍形式时间和空间,最后的基本形式主体和客体也都取消了。没有意志,没有表象,没有世界。

    于是留在我们之前的,怎么说也只是那个无了。不过反对消逝于无的也只是我们的本性,是的,正就是这生命意志:它既是我们自己又是这个世界。我们所以这样痛恶这个无,这无非又是另一表现,表现着我们是这么贪生,表现着我们就是这贪生的意志而不是别的,只认识这意志而不认识别的。——如果我们把眼光从自己的贫乏和局限性转向那些超脱这世界的人们,[看]他们的意志在达到了充分的自我认识之后又在一切事物中认识到这意志自己,然后[又看到]它自由地否定自己以待它赋予肉体以生命的那最后一点余烬也与此肉体同归寂灭;那么,我们所看到的就不是无休止的冲动和营求,不是不断地从愿望过渡到恐惧,从欢愉过渡到痛苦,不是永未满足永不死心的希望,那构成贪得无厌的人生平大梦的希望;而是那高于一切理性的心境和平,那古井无波的情绪,而是那深深的宁静,不可动摇的自得和怕悦。单是这种怡悦在[人类]面部的反映。如拉菲尔和戈内琪奥所描画的[人相],已经就是一个完整的可靠的福音。[在超脱世界的人们,]意志已是消失了,剩下来的只是那认识。但是我们则以深沉而痛苦的倾慕心情来看这种境界,而我们自己那种充满烦恼而不幸的状况与此并列。由于两相对照,就昭然若揭了。然而这一考察,当我们一面已把不可救药的痛苦和无尽的烦恼认作是意志的现象,这世界,在本质上所有的,另一面在意志取消之后又看到世界消逝而只剩下那空洞的无在我们面前的时候,究竟还是唯一能经常安慰我们的一个考察。于是,在这种方式上,也就是由于考察圣者们的生平及其行事——要在自己的经历中碰到一个圣者诚然是罕有的事,不过他们那些写记下来的史事和具有内在真实性这一图记为之保证的艺术却能使他们历历如在目前——,[我们就应知道]无是悬在一切美德和神圣性后面的最后鹄的,我们[不应该]怕它如同孩子怕黑暗一样;我们应该驱除我们对于无所有的那种阴森森的印象,而不是回避它,如印度人那样用神话和意义空洞的字句,例如归于梵天,或佛教徒那样以进入涅槃来回避它。我们却是坦率地承认:在彻底取消意志之后所剩下来的,对于那些通身还是意志的人们当然就是无。不过反过来看,对于那些意志已倒戈而否定了它自己的人们,则我们这个如此非常真实的世界,包括所有的恒星和银河系在内,也就是——无。

  • 盖乌斯·尤利乌斯·恺撒《内战记》

    凯撒继《高卢战记》之后写的另一部作品《内战记》和作者不详的三部小战记《亚历山大里亚战记》、《阿非利加战记》、《西班牙战记》——这五部战记常常被合在一起,称做《凯撒战记》。

    经过七年苦战,凯撒征服了整个高卢,但他和罗马世界的另一个巨头庞培之间的关系却愈来愈紧张。克拉苏原来作为第三股力量,在他们之间起着平衡作用,这时已经死在安息(前53年)。凯撒的独生女儿尤莉娜嫁给庞培,本来是他们间的联系桥梁、又因难产身亡(前52年)。从此他们间的关系急转直下。这两个人,一个有从高卢战事中获得的财富、声望和一支久经沙场的军队作为资本;另一个有元老院、整个罗马的国家机器以及除高卢以外的所有行省在作后盾,可以用合法政府的名义发号施令。双方都有恃无恐,终于使内战的爆发变成不可避免。

    民主派和贵族共和派分别代表要求改革和反对改革的两种势力,展开了历时百年的激烈斗争,爆发在公元前49年的凯撒和庞培间的内战,就是这两种势力的总决战和总清算。它的直接导火线则是凯撒的职位继承问题。

    凯撒的高卢行省长官职务,根据瓦提尼乌斯法案,原任期五年即从公元前59年3月1日到前54年2 月底。在公元前55年,又由特雷博尼乌斯法规定延长五年,即从公元前54年3月1日延长到前49年2 月底。任期满了之后怎么办,这件事不但凯撒自己担心、而且他在罗马的那些同党也着急。如果他到那时放下兵权,只身返回罗马,以马尔库斯·加图和克劳狄乌斯·马尔克卢斯等人为首的他那些政敌,肯定会利用这机会来陷害他,主要办法是摭拾一些他在行省的违法行为到法庭上去控告他,轻则流放,重则还有不测之祸。因为罗马的法律规定现任官员不受控告,所以凯撒考虑,他只有以现任官员的身分返回罗马,才可避免这种危险。因而最理想的事情就是他在高卢任满之后,马上当选为公元前48年的执政官。按照多年来的老习惯,他在公元前49年2月底任满后,来接替他的一定是公元前49 年的两个执政官之一;但他们不到任期届满时,不能离开罗马前来履任。这样一来,凯撒即使在这年3 月初满任,仍可以留在高卢任上,宜到年底交接,然后年初到罗马去接任公元前48年的执政官。但他要当选执政官还有一重障碍,罗马的法律规定参加执政官竞选的人必须在选举前亲身到主持选举的官员那边去报名登记。凯撒身在高卢,自然不能到罗马去登记,这样就根本没有当选的可能。这一点,凯撒本来早已有所准备。公元前56年他和庞培、克拉苏在卢加会议时,三方就已经约定凯撒在公元前48年回罗马去担任执政宫。这就等于是允许他可以免去亲身赴罗马登记这一手续,只是当时并没正式用公民大会或元老院的一道法令明确下来,宜到公元前52年,才由十位保民官联合提出允许凯撒免除亲身竞选的法律草案。尽管这时庞培已经在和元老院里的贵族共和派接近,但他还没有下决心反对凯撒,所以便让这条法律通过了。但在这一年的晚些时候,庞培得到加图一流人的拥戴,担任了无同僚的执政官,建议通过了一系列法律,其中就有一条规定以后执政官和司法官一年任满之后,不得马上出去担任行省长官,而须间隔五年。还有一条法律重申过去的选举法,规定自选者必须亲身到场登记参加竞选。前一条法律意味着来接替凯撒的,不再是他原来设想的公元前49年的两个执政官之一,而是五年前早已卸任的某一个执政官。这是一个早已闲在罗马的人,一接到任命就可以在公元前49年3 月初进来接替。这就使凯撒失去一段可利用的过渡时期。后一条法律等于取消了十位保民官提出通过的法律。后来经过保民官们抗议,庞培虽然答应可以把凯撒作为例外,而不必亲身竞选一节插进这后一条法律,但显然将来还可借口它是事后插进去的而否认其合法性。这也就是说,凯撒在行省长宫的任期届满后,势必出现一段既非行省长官又非现任执政官的时期,他要不是作为一个流亡者逗留外国,就是作为一个私人返回罗马,听任敌人摆布。凯撒当然不是一个会俯首听命于敌人的人,在平息了高卢大起义之后,他就一心一意地准备应付这场新的挑战。

    他在这段时间里做了许多取悦罗马人民和军队的事情,例如他以追悼他死去的女儿尤莉娅为名,在罗马举行大规模的招待演出;他用在高卢掠来的大宗金钱在罗马和意大利到处建造公共建筑,最富丽堂皇的就是罗马大市场的“尤利马斯公所”。至于名公大老接受他馈赠和借款的更是不计其数。大概也正是在这时,他把士兵的薪饷高了一倍。他又答应给河北高卢人罗马公民权,对新征服的外高卢地区更是软硬兼施,在镇庄了大起义之后,马上回过头来竭力拉拢起义者们的领袖们,居然做到使高卢在后来发生内战的时候,成为他最可靠的后方。

    凯撒一面在意大利内外大事收买人心,一面又想尽办法在元老院里争取事情朝有利于自己的方向发展。他认为,自己的目标十分明确,如果能用和平合法的手段得到,就决不冒险使用武力。他自信只要一旦当上执政官,回到罗马去和庞培面面相对,自然有办法制服他,至于那些傲慢无能的贵族共和派,更不在他眼中。因之,首先他决心不和元老院决裂,宁愿作出一些让步以期通过谈判达到目的。其次他还在元老院中安插一些得力的保民官,作为自己的代理人,使他们用否决权来阻止贵族共和派采取不利于他的措施。公元前50年的保民官库里奥、公元前49年的保民官马尔库斯·安东尼和卡西乌斯·隆吉努斯,就都是他的这种工具。

    果然,在《内战记》一开场就可以看到,凯撒的一再让步,一再提出和解的建议,使元老院中的贵族共和派阵脚大乱。他们的头头们理屈词穷,进退失据,陷入非常狼狈的境地。凯撒的代理人库里奥、安东尼等人在元老院的阻挠活动,也使得这些人寸步难行。这些口口声声以保卫法律、保卫祖宗成法自居的人,被迫只能一步步走上践踏一切法律和祖宗成法的道路,他们最后援用紧急戒严法和逼走保民官,无异授人以柄,使凯撒虽然失去了合法解决的机会,却得到了带兵渡过鲁比孔河的借口。

    《内战记》一开始就紧接《高卢战记》,从凯撒和元老院之间的往来交涉讲起,讲到渡过鲁比孔河后怎样在意大利人民的热烈支持下节节胜利、终于迫使庞培放弃意大利逃往东方;然后再分别叙述在西班牙、马西利亚和阿非利加的战事;最后才叙述东方战场的正式决战,凯撒在法萨卢斯一战击溃庞培,庞培在逃去埃及时死在亚历山大里亚,凯撒接着也追到那边,卷入埃及的王室纠纷。

    《内战记》之出于凯撒手笔,一向没有人怀疑,因为它的写作手法、风格和习用词汇等等,都是和《高卢战记》一致的。从几次提到战后的事情来看,我们大致可以推测《内战记》是在蒙达战役(公元前45年)之后,整个内战已告结束时才写的。但书名既然叫《内战记》,何以又只写内战的最初两年,而不一直写到结束,这可能是和公元前44年3月15日凯撒被刺的悲剧有关的。

    紧接《内战记》的;是一向都收在《凯撒战记》中的三篇小《战记》。首先是《亚历山大里亚战记》,不分卷,作者是谁无法确定。很多人根据《高卢战记》卷八的一段前言,认为也是伊尔提乌斯所作。但早在公元二世纪初苏托尼乌斯就对此表示怀疑了。

    这篇《战记》从凯撒进入亚历山大里亚后、卷入埃及王室的内争写起,叙述凯撒怎样击败年轻的国王托勒密和拥护他的那批宫庭权贵,重新安排了埃及的王位;接下去又叙述同时或稍后在小亚细亚、伊庇鲁斯和西班牙的军事行动,直讲到凯撒征服本都国王法尔那克斯为止。

    有人认为这篇战记本来也许不叫现在这个名字。原作者的意图既然不是想把它写成一篇独立的著作,而是想把它作为《内战记》的第四卷的。因为它不仅仅叙述了发生在埃及的战事,而且全面记述了公元前48年初到明年9 月的全部罗马世界的大事。在全书的78节中,埃及的战事只占33节,一半都不到,说明作者不是专为埃及的战事而写的。从叙事笔法中看得出作者想把它直接作为《内战记》续篇的其它痕迹,如在第4 节提到前国王的子女为争夺王位发生战争时,说:“正象前面提到过的那样……”这里所说的“前面”,指的正是《内战记》的卷三112 节。因此,说作者原来打算把它作为《内战记》的第四卷,也许是正确的。

    原书虽然不及《高卢战记》和《内战记》那样叙述生动、文笔简洁,但前人都认为它的记述清楚扼要,文字也很流利通顺,至少是这三篇小《战记》中最好的一篇,唯一的缺点是行文过于单调,而且作为凯撒派的一分子,对他自己这一派回护之处太多,最显著的是绝口不提凯撒因和克娄巴特拉有暧昧关系而偏袒她。凯撒在结束了亚历山大里亚之战后,尽管东方告急文书雪片似的飞来,还是在埃及这个温柔乡里泡了三四个月。作者对此也只字不提,倒象他是一结束战争就马上赶到小亚细亚去似的。同样,在第65节,他虽然叙述了发生在罗马的动乱,但却又只是抽象地说了几句,不指出为首者是谁来,这也显然是在为凯撒派的头头之一的多拉贝拉进行掩饰。

    与《亚历山大里亚战记》衔接的是《阿非利加战记》,它记述凯撒在结束了东方的战役,在意大利略事逗留后,便带着一支力量极为单薄的军队在阿非利加登陆,打败集结在那边的庞培余党西皮阿、加图、拉比努斯、阿弗拉尼乌斯以及支持他们的努米底亚国王龙巴等人,收复阿非利加行省,并把努米底亚改为行省的经过。

    本篇作者不知何许人,曾经有人竭力想证明它是阿西尼乌斯·波利奥的手笔,又有人想证明它和《西班牙战记》都是盖尤斯·奥皮乌斯的作品。在阿非利加战争时这两个人虽然都在凯撒军中,但还没有证据证明这就是他们写的,而且他们两个都是夙负文名的人,写出来的东西也许要比现在这两篇高明一些。

    从这篇战记的描述中可以看出作者对凯撒的忠诚和敬爱。例如,第2—3节描写他的胆大心细,敢于带着极单薄的兵力渡过海去;第10节写他的英雄气概成为彷惶中的士兵们的唯一安慰;第31节说他坐在帅帐中运筹决策,用不着亲临现场;第44—46节说他的老部下如何愿意为他牺牲。这样尽情流露对凯撒个人的热爱和崇拜,都是其他战记所少见的。还看得出的是作者对作为一个罗马人的骄傲,西皮阿对龙巴的刻意奉承和阿奎努斯对龙巴的畏惧(见57节),都受到作者的无情鞭挞。

    从《战记》中的许多细节描写来看,从它的详细记录行动日程和兵士的心理状态来看,都足以说明作者是一个在场的参加者,但从他对战事经过描写得如此具体、细致,而对凯撒的决策过程和战略意图记述得如此之少来看,又说明他是一个和指挥作战的那些核心人物并无接触的人,至多只是一个百夫长或军团指挥官而已。因此他对整个战局的记述,往往有轻重失当,主次颠倒的地方,如在第59—60节缕缕细述双方的阵势布置,不厌其详,实际上这次却没发生战争,而对最后决定全局的塔普苏斯战役,反没有这样详细的叙述。

    作者在叙述时常常混有一些希腊字和俚语,文字也太嫌单调、重复,象在90多节文章中,竟有30节以上用“与此同时”开场,令人反感。在语法上也有很多可议的地方。但这些仍不妨碍它成为一篇记述翔实、清晰可读的信史。

    叙述内战中最后一次战役、也是凯撒一生的最后一次战役的是《西班牙战记》。它叙述庞培的余党在阿非利加失败之后逃到西班牙,和当地的叛军结合在一起,奉庞培的两个儿子为领袖,再次负隅顽抗。凯撒又一次带着军队进入西班牙,在几次血战后击溃他们。

    《西班牙战记》的作者是谁也无法查考,看样子是凯撒部下的一个没有受过多少教育的老兵或百夫长之类人物写的。人们历来都认为它不但是这几篇《战记》中最糟的一篇,甚至还是所有拉丁古典作品中最糟的一篇。只因为作者是亲身经历过这场战事的人,记载比较可信

    内战记

    卷一

    1.当凯撒的信交给了执政官们时,经过人民保民官们的一番艰苦斗争,才勉强使他们答应在元老院宣读它。但保民官建议把信上提出的事情在元老院讨论时,却没获得许可。执政官提出了国家的整个大局问题。执政官卢基乌斯·伦图卢斯鼓动元老院,说:只要他们肯大胆勇敢地说出自己的意见,他对国家决不会不尽到责任,如果大家仍象前些时候那样,对凯撒还有留恋,还想讨好凯撒,他也就要为自己的前途打算,不再唯元老院之命自听了,他自己也有退路可以再去讨好凯撒,再去和凯撒交上朋友的。西皮阿说了一些同样的活,说庞培对国家不会置之不顾,只要元老院能跟着他走,如果元老院再迟疑不决,拖拖沓沓,今后就是逢到需要,再去求庞培帮助,他也不肯出力了。

    2.因为元老院在城里开会,庞培近在咫尺,所以西庇阿的这番话,看起来就象是从庞培本人口中说出来的。另外有一些人说了些比较温和的话。首先是马尔库斯·马尔克卢斯,他的发言一开始就说明不应当先把这件事情提到元老院来讨论,而是应当等到在全意大利征好兵,组织起一支军队来之后再讨论,只有在军队的保护下,元老院才敢放心大胆地、自由自在地照自己的愿望作出决定。接着,马尔库斯·卡利狄乌斯建议,庞培应该回到他的行省去,免得再有战争的根源存在,否则凯撒就会担心从他那边夺来的两个军团,庞培强占着它们,留在都城附近,是要用来伤害他的。接着发言的有马尔库斯·卢孚斯,他的意见和卡利狄乌斯的一样,只说法稍稍改变一些。他们这些人全被执政官卢基乌斯·伦图卢斯用很厉害的话狠狠训斥一顿。马尔克卢斯被他训斥得畏缩起来,收回了自己的意见。就这样,由于执政官的言论、由于有军队在附近引起的恐怖、还由于庞培的党徒的威胁,大部分人在被迫之下,满心不愿地同意了西皮阿的建议,即:凯撒应当在具体指定的某一天之前,遣散自己的军队,如果不这样做,即将被视为是对抗共和国。人民保民官马尔库斯·安东尼和昆图斯·卡西乌斯提出了否决。问题马上就转到保民官的否决是否合法上来,于是就有人说了一些很愤激的话,说得越凶狠、越残忍的,越是受到凯撒的敌人热情赞扬。

    3.元老院到晚上才散会,这一阶层的所有成员都被庞培召了出去。庞培赞扬了那些一往直前的人,并对他们今后的行动,鼓励了一番,对那些跟得不紧的人作了批评,又给他们打了气。许多曾在庞培过去的军队中服役过的人,由于希望酬赏或升迁。重新被他从各地召了来。他还从凯撒交出来的两个军团中召来很多人。一时,在城里、甚至在大会场里都挤满了军团指挥官、百夫长和留用老兵。所有执政官们的羽党、庞培的亲故、以及和凯撒有宿怨的人,都涌进元老院。他们的起哄和拥挤,吓慌了动摇的人,坚定了犹豫的人,的确使许多人被剥夺了自由作出决定的机会。统查官卢基乌斯·皮索答应说,他自己可以到凯撒那边去一次,司法官卢基乌斯·罗斯基乌斯也同样愿意去把这件事情通知凯撒。他们要求给他们六天期限来完成这项工作。还有些人也表示意见,说:应当派使者到凯撒那边去,把元老院的意见通知他。

    4.所有这些建议都遭到拒绝,全都被执政官、西皮阿和加图的话驳斥口去。推动加图这样做的是他对凯撒的旧怨、以及因为落选而产生的懊恼。伦图卢斯则是因为负有大量债务,这时,取得行省和军队的欲望,以及在授给人家国王称号时可望获得的贿赂在推动着他。他在自伙里吹嘘说,他将成为又一个苏拉,最高的统治大权会落到他手里来。驱使西皮阿的同样是掌握行省和军队的欲望。由于他和庞培有亲谊,他认为自己当然能和庞培同掌政权;此外推动他的还有他对审判的恐惧,以及他自己和那些在国家大事上、法庭上都有很大势力的权威人士彼此间的吹捧和夸耀。庞培本人则是受到凯撒敌人的挑拨,同时还因为他不愿有人和自己处于平起平坐的地位,这时已经完全丢掉了和凯撒的友谊,而跟那些过去是他和凯撒共同敌人的人重新和好起来,这些敌人本来大多是在他们联姻交好的时候,由他给凯撒惹来的。而且,把赶向亚细亚和叙利亚去的两个军团扣留下来增加自己兵力和威望这种见不得人的行为,也使他恼羞成怒,竭力想挑起一场战争来。

    5.正是因为这些原因,所以每一件事情都是在匆忙和混乱之中做出来的。既不让凯撒的亲友有通知他的时间,也不给人民保民官有回避自身危险的机会,甚至连苏拉剩给他们的最最起码的否决权,也不让他们保留,逼得他们在第七天上就不得不考虑自身的安全问题。这在过去,那怕就是最最飞扬跋扈的人民保民官,也都从来没遭到过,就连这样的人,也要到八个月的时候才回顾并且担心自己的政治活动的。这些人甚至援用起元老院的紧急戒严法令来,过去,这是除了都城有被纵火的危险、或是有胆大妄为的人无法无天,国家安全已完全濒于绝境的情况之外,从来也不轻易提出来的,它指示执政官们、司法官们、人民保民官们、以及在首都的代行执政官,注意不让国家受到任何侵害。这道元老院法令颁布于一月七日,也就是在伦图卢斯就任执政官后的第五个可以召集元老院的日子——除了两天是选举的日子——他们就通过了这样一道针对凯撒的职权、针对这些最显赫的人物人民保民官的最严厉、最恶毒的法令。人民保民官们立刻逃出都城,投奔到凯撒那边去,这时他正在拉温那等候对他那件极为温和的要求的答复,想知道是不是能够指靠人们的公正无私,把事情和平结束掉。

    6.随后一连几天,元老院在城外开会,庞培所做的,正是他已经通过西皮阿的口说过的那些事情。他赞扬了元老院的勇敢和坚定,叙说了自己的兵力,说:他已经准备好的军团有十个,加之,他还得到报告,知道在凯撒的军队中,人心涣散,凯撒根本没法说服他们起来保卫自己甚或跟随自己。马上又有其他一些事情在元老院里提出来,即在意大利全境征兵;派福斯图斯·苏拉立刻前往毛里塔尼亚;从国库里拨一笔款子给庞培。提出来的还有:颁给尤巴国王同盟和友人的称号,但马尔克卢斯反对目前就颁给他。福斯图斯的任命,也有人民保民官菲利普斯出来否决。有关其他事情,元老院都通过记录在案。还通过了把行省长官职务授给一些私人的决议,其中两个行省是给执政官级的,其余是给司法官级的。西皮阿得到了叙利亚,卢基乌斯·多弥提乌斯得到了高卢,菲利普斯和科塔都因为私人关系,被一脚踢开,甚至连他们的签也没有抽。其它一些行省派去了司法官,但却没有象过去那些年头那样有时间等到把他们的任命提交给人民,让他们正正式式披着帅服,公开宣誓之后才出城去。至于两个执政官全都离开首都、私人居然带着校尉出现在首都和卫城,这都是过去所未见,一反古往今来的常例的事情。全意大利都进行征兵,征索武器,并向各城镇需索金钱,甚至硬到寺院里去按夺,所有神灵和人们的权利,都被搞得一团糟。

    7.这些事情被报告给了凯撒,他向士兵们发表了讲话。他向他们提起过去这些时间里他敌人对他进行的恶意中伤。他还抱怨庞培受到这些人的引诱和腐蚀,出于妒忌,一心想伤害他的声誉,虽说他自己对庞培的荣誉和尊严一直是爱护有加、竭力促进的。他责怪他们给共和国开创了先例,把几年前刚用武力恢复的保民官的否决权,又用武力加以污辱和破坏。苏拉尽管剥夺了保民官的所有各种权力,但却仍旧留下了自由运用否决权的权力没有触动,庞培虽然号称恢复了他们过去失掉的东西,但实际上反把他们原来有的都夺走了。过去,除非是在有什么破坏性的法律提出来。或者是在有保民官肆行强暴、有人民闹分裂、寺宇和高地要塞被占领了的时候,否则是不会发布命令叫官吏们注意不让共和国受到侵害的,这种号召、这种元老院的决议,就意味着号召全体罗马人民都武装起来。他向他们指出,过去时代的这些先例,就是以萨图尼努斯和格拉古兄弟的毁灭作为代价的。此时此刻,别说没这一类事情在发生,就连想也没有人在想。他鼓励士兵们,既然他们是在他的统率之下,才能在八九年间一帆风顺地为国家干了许多事业,作了多次所向无敌的战斗,平定全部高卢和日耳曼,现在该为了保卫他的声名和尊严,起来对付敌人了。当时在场的第十三军团的士兵齐声叫喊说:他们已经准备好保卫自己的统帅和人民保民官,不让他们受到侵害。这个军团是他在动乱一开始的时候召来此地的,其它军团还没有到达。

    8.了解了士兵们的心情,凯撒带着那个军团前往阿里弥努姆,就在那边,遇上逃向他这里来的人民保民官们。他把其余的军团从冬令营中召出来,命令他们随着他一起前进。年轻的卢基乌斯·凯撒——他的父亲正在凯撒军中担任副将—一来到凯撒这里。他在讲了一些别的话之后,又声明自己的来意,说自己是从庞培那边来的,奉命带来一些有关私人方面的话说。庞培希望向凯撒解释清楚,免得凯撒把他为了国家的利益正在做的事情,误解为目的在于伤害凯撒。他本人是一向把国家的利益放在私人的亲谊前面的。他希望凯撒也应该顾到自己的尊严,应该为了国家而捐弃个人的意气和嫌怨,免得在满腔怒火,一心只想伤害自己的敌人时,连带也伤害了国家。除了再加上一些类似的话之外,他还为庞培辩解了一番。司法官罗斯基乌斯讲的几乎和年轻的凯撒讲的完全相同,说法也差不多,也说是受庞培的嘱托。

    9.这些话看来并没使凯撒受的伤害得到些抚慰,然而却使他找到了适当的人,可以通过他们把自己要讲的话转达给庞培。他向他们两人要求说:既然他们把庞培的嘱咐带来给他,希望他们千万不要嫌麻烦,也把他的要求带去给庞培,也许他们只要略费唇舌就可以把严重的争论消除,把整个意大利都从惴惴不安之中解放出来。他说:他自己从来都把国家的尊严放在首要地位,看得比自己的生命还要重。使他痛心的是,罗马人民给他的恩宠,竟被他的敌人用侮辱的手段剥夺了,而且还夺去了他的半年职务,硬要把他追回都城去。允许他在下次的选举大会上可以缺席竞选,本来是公民大会已经通过了的。尽管丧失了这些荣誉,他为了国家,还是能够心平气和地忍受的,然而,当他写信给元老院,只要求大家一起放下兵权时,却连这一点都没要求到。全意大利都在征兵;假装要派去参加安息战争从他手里夺去的两个军团,也被截留下来;全国都在武装。所有这些,除了是想毁灭他,还能为了别的吗,但虽然如此,他为了国家,还是准备屈从一切,忍受一切,只要能让庞培回到自己的行省去,让他们两个人都解散自己的军队,让意大利所有的人都放下武器,让国家不再担惊受吓,把自由选举和全部国家大事都交给元老院和罗马人民去处理。为要使这些事情能够更容易地完成,有更明确的条件。并取得誓言保证,可以请庞培跑到靠近一些的地方来,或者允许凯撒自己跑到他那边去,经过会谈,一切纷争都可以得到解决。

    10.接受了这些指示,罗斯基乌斯和卢基乌斯·凯撒赶到卡普亚,就在那边会见了两位执政官和庞培,汇报了凯撒的要求。经过考虑后,他们对这些事情作出答复,写成书面指示。仍派这两个人带回来给凯撒。它的内容大致是:凯撒必须离开阿里弥努姆,返回高卢,并解散自己的军队;如果他做到了这些,庞培也就回到西班牙去。同肘,除非凯撒提交保证,表明自己将履行这些诺言,否则执政官们和庞培就不能停止征兵。

    11.这是很不公平的要求。要凯撒撤出阿里弥努姆,返回行省,庞培自己却保留着行省和原本是别人的军团;凯撒的军队要遣散,他自己却仍在征兵;他虽说答应能回自己的行省,却又不讲定在什么时候以前动身,这样,即使一直拖到凯撒的执政官任期届满了还不动身,也用不着因为撒谎而对天地神明有所顾忌。他既不提出一个会谈的时间,也不答应来见面,这就使得和平的希望完全断绝了。凯撒就派马尔库斯·安东尼带领五个营从阿里弥努姆出发,赶到阿雷提乌姆去。他自己带了两个营,留驻在阿里弥努姆,并着手在这里征集新兵,一面又各派一个营去占领皮绍鲁姆、法努姆和安科那。

    12.同时,得到报告说:司法官特尔穆斯带着五个营,守卫在伊古维乌姆,正在给该城修筑防御工事,然而,伊古维乌姆的全体居民却都对凯撒怀有很大好感。凯撒就派库里奥带着在皮绍鲁姆和阿里弥努姆的三个营,赶往那边。一听见他到来,特尔穆斯不敢信赖该城的民心,把军队领出城逃走。士兵们在路上纷纷抛开他。返回家乡。得知这事后,凯撒感到这些城镇的人心可恃,自己不会有后顾之忧,就把第十三军团的所有各营从驻防工作中抽调出来,向奥克西穆姆出发。阿提乌斯带进该城几个营,正在那边驻守,并且派出一些元老,在整个皮克努姆各地奔走,征集兵员。

    13.一知道凯撒到来,奥克西穆姆的地方议会的长老们,纷纷跑到阿提乌斯·瓦鲁斯那边去,向他说:他们都知道这事情不该由他们来作主,但无论他们自己还是其他市民们,都不忍心把盖尤斯·凯撒这样一个有功于国家、一个作出这样伟大事业的统帅关在城门和壁垒之外,希望他能注意到后世的公论和自身的危险。这番话触动了瓦鲁斯,把他带进去的驻军领出城来逃走。凯撒的前军中有少数人赶上去追他,迫使他停下步来抵抗。刚一交锋,瓦普斯便被他的部下抛弃,一部分士兵退回家乡,其余的都跑到凯撒这里来。被他们捉着带来的还有那个首席百夫长卢基乌斯·普皮乌斯,他过去在格涅尤斯·庞培军中,也曾担任过同是这一列的职务。但凯撒却在赞扬了阿提乌斯的那些士兵之后,把这个曾皮乌斯存放了。他又向奥克西穆姆人表示谢意,答应说:他要把他们的行动铭记不忘。

    14.这事在罗马一宣布,突然引起极大的恐慌。执政官伦图卢斯正好赶去开启财库,准备把元老院决议拨给庞培的钱取出来,圣库的门还只刚打开,他就来不及赶紧向城外逃去。有谣言传来说,凯撒正在赶来,他的骑兵已经到了。伦图卢斯的同僚马尔克卢斯和大部分官员都跟着他一起逃走。格涅尤斯·庞培早在前一天就已离开都城出走,赶到从凯撒手里接受过来的两个军团那边去,这时这两个军团因为息冬,正驻在阿普利亚。都城附近的征兵工作也停顿下来。凡是处在卡普亚这面一边的地方,都被认为不够安全。在卡普亚,这些人先是壮起胆子来,聚到了一起,并开始在根据尤利乌斯法案安置到卡普亚去的移民中间进行征兵。凯撒在那边有一个训练角斗士的学校,里面的角斗士被伦图卢斯带到市场,用获得自由的希望激励他们,还分发给他们马匹,命令他们紧跟着自己。后来伦图卢斯自伙里的人警告他说,这件事情,所有的人评论起来都不以为然。他又再把他们分散到侨居卡普亚的罗马公民的奴隶们中间去。交给他们看管。

    15.凯撒从奥克西穆姆出发,跑遍了皮克努姆全境。这一地区的全部地方官都欢欣鼓舞地迎接他,而且用各种各样物资支援他的军队,就连金古卢姆这个由拉比努斯创立、并且由他用自己的钱造起来的市镇,也派使者到他这边来,答应他说,他们将满怀热情地完成他命令他们做的事情。他索取兵士,他们给送了来。就在这时候,第十二军团也追上了凯撒,他就带着这两个军团,向皮克努姆的阿斯库卢姆赶去。这个市镇,这时有伦图卢斯·斯平特尔带着十个营在守卫,他一知道凯撒到来,马上逃出城去,还试图把这些营一起带走,但大部分士兵抛弃了他。他带着少数残余的士兵在赶路时,正好遇上庞培派到皮克努姆地区来安定人心的维布利乌斯·卢罗斯。维布利乌斯从他口中得知在皮克努姆发生的事情,接过他的军队,打发他走了。维布利乌斯自己又在附近地区从庞培新征召的兵员中尽量凑集起一些营来,其中他又并进从卡墨里努姆逃出来的卢基乌斯·希鲁斯带来的六个原来用以守卫该镇的营。跟这些部队合在一起后,维布利乌斯凑起了十三个营。他带着这支部队,以急行军赶到正在科菲尼乌姆的多弥利乌斯·阿赫诺巴布斯那边,报告他说,凯撒已经带着两个军团正在赶来。多弥利乌斯自己也已经在阿尔巴凑集起了大约二十个营军队,都是从邻近地区的马尔西人中和佩利尼人中征召来的。

    16.在克复菲尔穆姆、驱逐伦图卢斯之后,凯撒下令追寻对方手下逃散的士兵们,并命令征兵。他自己为了安排军粮,在那边停留了一天,然后急急赶向科菲尼乌姆。他到达那边时,多弥利乌斯从城里派出五个营来,拆毁河上的一座桥梁,它离开该城约三罗里。凯撒的前哨部队在那边和他们展开战斗,多弥利乌斯的军队很快就被从桥边驱走;逃回城里。凯撒拥军团带过桥来,直至城下,靠近城墙安下营。

    17.知道了这事。多弥利乌斯挑选一些熟悉地形的人,许以重赏,叫他们送信到正在阿普利亚的庞培那边去,恳切要求庞培来援救他,说:由于这里地势很险要,很容易用两支军队堵截住凯撒。还可以切断他的粮运。又说:除非庞培来援助,他这里的三十个营以上的军队,大批元老和罗马骑士,都将陷入危险。同时,在鼓励了一番部下之后,多弥利乌斯在城上布置下作战机械,并把城墙划分成一段一段,分别指派专人负责守卫。在军士们的集会上,他还答应把自己的田产拿出来分给他们,每人四罗亩,百夫长和留用老兵还可以按比例增加。

    18.同时,有报告给凯撒说,离开科菲尼乌姆七罗里的一个叫苏尔摩的市镇,居民都热心想完成凯撒命令他们做的事情,但却被带着七个营守军驻防在那边的元老昆图斯·卢克雷提乌斯和一个叫阿提乌斯的佩利尼安人阻止不让这样做。他派马尔库斯、安东尼率领第八军团的五个营赶向那市镇。苏尔摩的居民一看到我军的旗号,马上打开城门,所有的人,不管是居民还是士兵,都向安东尼迎上来,表示庆祝。卢克雷提乌斯和阿提乌斯从城墙上翻下去逃走。阿提乌斯被捉来交给安东尼,他要求送自己到凯撒那边去。就在动身前去的当天,安东尼带着那几营军队和阿提乌斯回了转来。凯撒把那几个营和他自己的军队合并在一起,又把阿提乌斯一无伤害地放走。凯撒决定把最初几天全都用在给自己的营寨构筑巨大的防御工事、以及到邻近的市镇去搬运粮食上面,以便等候其余的部队来到。三天后,第八军团来到他这里,还来了新从高卢征召的二十二个营新兵,以及由诺里库姆国王遣来的约三百名骑兵。在他们到达后,凯撒在这个市镇的另外一面又再筑起一座营,交由库里奥统领。在其余的日子里,他着手建造壁垒和碉堡来包围这个市镇。大约就在这项工程的绝大部分都已经完工时,所有多弥利乌斯派到庞培那边去的使者都回来了。

    19.读完来信,多弥利乌斯瞒住真相,在军事会议上宣称庞培很快就将来救援,并鼓励他的部下不要灰心丧气,要把守城用的东西作好准备。他自己偷偷地和少数几个亲信商议,定下逃走的计划。由于多弥利乌斯面上露出来的神色和他说的话不相符,一切事情也都做得慌慌张张,和已往几天大不相同,而且还一反常态地多次和自己的同伙商谈,密谋策划,躲开一切会议和公民聚会,这就使这些事情再也无法掩饰和伪装下去。庞培的回信是这样写的:他不想使大局陷入无可挽救的绝境,多弥利乌斯的进入科菲尼鸟姆,既不是根据他的计划,也不是按照他的意愿做的,因而如有机舍,还是带着全部军队到他那边去为妙。但由于围困、由于环城的工事,这事已无法实现。

    20.多弥利乌斯的打算,在士兵中已经传布开了。刚刚傍晚时,在科菲尼乌姆的士兵们哗变起来,由军团指挥官们、百夫长们和一些他们自己中间最最有威望的人举行了会商,说:他们已经被凯撒围困住,工事和壁垒即将完工,而他们的领袖多弥利乌斯——尽管大家是由于对他的希望和忠诚才坚持下去的——却想抛弃大家,只顾自己逃走了。他们也应该为自己的安全作些打算。马尔西人最初不赞同这种想法,他们占据了城里看起防御工事最坚固的那一部分。他们之间的分歧愈演愈烈,以至竟试图动手用武力一决雌雄。但不久以后,由于彼此之间派了些传送消息的人往来传递信息,他们原来不知道多弥利乌斯要逃走的消息。这时也知道了。因而,双方一致同意把多弥利乌斯带到大庭广众中来。包围着看守起来,一面在他们自己人中选派一些使者来见凯撒,说他们已经准备好打开城门,执行他的命令,并把多弥利乌斯活着交到他手里来。

    21.凯撒知道了这件事,虽然他也认识到把这个市镇占领下来,并且把那几个营合并到自己的营里,是件关系极为重大的事,做得越早越好,免得因为贿赂、或者因为有人出来鼓动士气。或者再有什么流言蜚语,弄得人们重又变起卦来,因为在战争中,往往会因为鸡毛蒜皮之类小事情,引起大变故来。加之,他还怕士兵们进入市镇去之后,会利用黑夜掩护,动手抢掠。他就对来到他这里的那些人奖励了一番之后,打发他们仍旧回到市镇里去,命令他们把城门和城墙守好。他在自己已经安排筑好的工事上布置好士兵,只是不像前些日子习惯的那样,彼此之间隔着一定的距离,而是改为一长列不间断的哨岗和驻点,彼此互相连接着,一沿整个工事都布置到了。他又命令军团指挥官和骑兵指挥官们往来巡逻,并叮嘱他们不但要留心防止大股突围,那怕就连一个人偷偷溜出去也得注意。那一夜,真正一个人都没有因为懒散、疲乏,竟至睡着的。他们都对事情的最后结局寄着莫大的希望,每一个人都一心一意盘算着一桩桩不同的事情,他们设想那些科菲尼乌姆人自己会怎样、多弥利乌斯会怎样、伦图卢斯会怎样、其余的那些人会怎样、每一方面将遇到什么样的情况。

    22.大约在第四更,伦图卢斯·斯宾特尔在城上和我军的哨岗和守卫商量,说:如果能得到允许的话,他想会见凯撒。得到同意之后。他被从城里送出来。多弥提乌斯的士兵们一直守住他不离开,直到把他带到凯撒面前才止。他在为自己的安全向凯撒乞恩、苦苦哀求要凯撒饶恕他时,还提起自己和凯撒的旧日交谊,历数凯撒对他的大恩。由于凯撒的援引,他才能进入大祭司团,才能在司法官任期届满之后出任西班牙的行省长官,而且在他竞选执政官时,也得到了凯撒的助力。凯撒打断了他的讲话,告诉他说:他自己不是想要为非作歹,才越过行省来的,他是为了要保卫自己。不让敌人欺凌,为了给因他这件事而被逐出都城的那些人民保民官恢复地位为了解放自己和罗马人民,不再受那个小集团的压迫。受到这些话鼓励,伦图卢斯要求允许让他回到城里去。这样,他为自己本人求到的安全,就可以使其余的人觉得自己也同样有希望而感到宽慰。他还说:有些人非常惶恐不安,竟想用粗暴的手段来结束自已的生命了。他获得允许后回转城去。

    23.天背刚一亮,凯撒命令把全部元老,元老们的儿子,军团指挥官和罗马骑士,都领到他这里来。他们共有五十人,属于元老级的有卢基乌斯·多弥利乌斯、普布利乌斯·伦图卢斯·斯宾特尔、卢基乌斯·凯基利乌斯·卢字斯、财务官塞克斯提乌斯·昆提利乌斯·瓦罗斯、卢基乌斯·鲁勃里乌斯。除多弥利乌斯的儿子之外,还有许多其它年轻人,大批罗马骑士和地方议会的长老,他们都是多弥利乌斯从各自治城镇召来的。当所有这些人被带到凯撒跟前来时,他禁止士兵们侮辱和斥责他们。凯撒只对他们说了很简单的几句话,他抱怨他们中间的一些人,对他给他们的大恩大德)竟没给丝毫回报,然后一无损害地适走了他们。多弥利马斯曾带到科菲尼乌姆一笔六百万塞斯特斯的款子,还放在财库里,这时由科菲尼乌姆当地的四个地方官送来给凯撒。凯撒虽然明知这笔钱是国家公帑,是由庞培发下来作为军饷的,但他仍旧把它交给了多弥利乌斯,免得让人们看起来,他在处置人们生命的事情上,比在处置钱财的事情上更能自我克制一些。他命令多弥利乌斯的士兵向他作了效忠宣誓后,就在这天移营前进,赶完了正常情况下一天该走的路程,在科菲尼乌姆城下停留了七天之后,通过马鲁基尼人、弗伦塔尼人和拉里那特斯人的地界,到达阿普利亚。

    24.庞培一知道在科菲·尼乌姆发生的事情,随即离开卢克里亚,赶向卡努西乌姆,又从那边向布隆狄西乌姆赶去。他命令各地把所有新征召的兵士都集中到他那边去。他还把奴隶和放牧的人都武装起来,并发给他们马匹,在他们中装备起三百名左右骑兵。司法官卢基乌斯·曼利乌斯带着六个营逃出阿尔巴;司法官鲁提利乌斯·卢普斯带着三个营逃出塔拉基那。当他们的士兵老远看到维比乌斯·库里乌斯率领下的凯撒骑兵时,马上抛弃这两位司法官,倒过旗号来,向库里乌斯投降。同样,在继续向前的路途中,有的营正好遇上凯撒的大军,有的营正好遇上他的骑兵,都投降了。庞培的工程总监克雷摩那人努墨利乌斯·马吉乌斯在路上被俘,送来凯撒这里。凯撒把他遣送回庞培那边去,让他带去下列口信;说:只因庞培至今还没给他会谈的机会,他本人现在已经在赶向布隆狄西乌姆的途中,必须要和庞培会谈一次,这对于国家、对于他们之间的共同安全,都很有关系,如果彼此间的距离再远一点,建议必须要由别人传来传去肘,就没有双方亲自当面讨论一切条款那样方便了。

    25.带去这样的信后,他带着六个军团赶到布隆狄西乌姆,其中三个军团是老兵,其余都是由新征来的兵组成,并在一路上补足的。至于多弥提乌斯的那些营,他在科菲尼乌姆时就直接打发他们到西西里去了。他发现执政官们已经带着大部分军队去迪拉基乌姆,庞培带着二十个营,仍留在布隆狄西乌姆。为什么他要留在那边不走,究竟是为了企图守牢布隆狄西乌姆,以便把意大利的尖端地区和希腊沿岸一起掌握在自己手里,可以比较方便地控制整个亚得里亚海,并且可以同时从两对面发动战争。还是因为缺少船只,只能留在这里不走,原因无从得知。凯撒唯恐庞培会认为自己不该放弃意大利,就决定堵塞布隆狄西乌姆的出路,阻止它的港口活动。这件工程是这样着手的:他在港口狭窄的隘口,两岸都堆起一道泥土堤坝,因为在这些地方,海水本来很浅;但当堤坝伸出去一段路,水已经很深,土堤无法再延伸的时候,他就在堤坝的末端接上两个浮筏,每一边都是三十罗尺阔,它们的四角都用一只锚钉牢,以免被波浪卷走。它们造成了而且被固定在位置上之后,他又再在它们靠外面的一边,再联结上大小相同的另外一个浮筏。在它们上面,他还给盖上泥土,筑上堤防。以免人们为了保卫它们上去奔走时,受到妨碍。在它们的正面和其他各边,他都给筑上木栅和护墙,作为防护。每隔三个浮筏便造一座两层高的望塔,使它更便于防御船只的攻击或纵火。

    26.为要对付这种工程,庞培把他在布隆狄西乌姆港中截获的一些大商船装备起来,在它们上面筑起三层高的望楼,而且给它们配备上许多作战机械和各式各样投掷武器,然后把它们驱到凯撒的这边来,企图用它们来冲破浮筏,阻挠工程的进展。这样,就每天都有用飞石、弓箭和其他武器进行的远距离战斗发生。凯撒在部署这些战斗时,仍旧认为争取和平的努力不该中止。虽然他派去带信给庞培的马古乌斯,没有被派回到他这里来,使他感到很为惊异,而且一再试图和解,已经使他发动攻势和执行计划都受到了阻碍,但他还是认为应该用尽一切手段来坚持这样的努力。因而,他派副将卡尼尼乌斯·雷比卢斯——他是斯克里博尼乌斯·利待的朋友和亲戚——去会见利博商谈。凯撒叮嘱他鼓励利博出来促成和平,特别是要促成自己跟庞培的和谈。他声称:如果给了他这样的机会,他有很大的信心认为双方可能在平等的条件下放下武器;如果通过利博的推动和奔走,能使双方的敌对行动停止。那就有很大一部分赞扬和声誉将归之于他。利博和卡尼尼乌斯会谈后离去,赶到庞培那边,不久就带着答复回来,说:由于执政官们不在,没有他们,不可能达成任何和解条件。因而凯撒认为,现在终于应该放弃这种屡试无成的尝试,努力从事战争了。

    27、当工事几乎快被凯撒完成一半,在它上面已经化了九天时间时,执政官们的那些运送第一部分军队到迪拉基乌姆去的船只,被他们从那边打发回到布隆狄西乌姆。庞培可能是对凯撒的封锁工事感到惊慌,还可能是从一开始就决定撤离意大利的,看到船一来,就着手作离去的准备。为了便于拖延凯撒的攻击,免得我军在他们刚刚离去时就立刻冲入城内,他把城门堵塞起来,并在该沟中间插立着关头的木柱和柱子,再用一层很轻的树篱和泥土把它们盖好,弄得和地面一样平。他还用头上削尖的木柱插在地面上,堵塞住城墙外面通向海港去的出口和两条通路。作了这些准备后。他命令士兵们悄悄下船,又命令在城墙上和望塔中三三两两地布置下一些从留用老兵、弓弩手和射石手中选出来的轻装士兵,这些人。他预备在所有的部队都下船以后,再用某一个约定的记号召走,为此特在一个便利的地方,留下一些快桨船等候他们。

    28.庞培士兵的侵扰和庞培本人的侮辱,激怒了布隆狄西乌姆人。使他们都偏袒凯撒这一方。因而。当他们知道庞培要撤走时,他们乘士兵们往来奔走,一心忙于离去的时候,全都爬上屋顶,向我军示意。凯撒从他们身上得知了这一计划,命令准备好云梯,士兵们都武装戒备着,以免失去行动的时机。庞培在夜里启航离去,他布置在城墙上充任守卫的那些士兵,一经事先约定的记号召唤,也通过熟悉的道路奔到船上。凯撒的士兵放下云梯,登上城墙,但因为有布隆狄西乌姆人在警告他们提防那些隐蔽的木桩和掩盖着的壕沟,他们又停下步来,由居民们率领着,转很大一个圈子才到达港口。在那边,他们用快艇和划子捉住两艘撞在凯撒筑的土堤上的船只,上面还都载着士兵,把它们俘获过来。

    29.虽然凯撒也极希望能集合起一支舰队,渡过海去追逐庞培,特别是乘他还没用海外的同盟军部队加强自己的兵力以前,结束这场战争,然而他又担心做这件事情所需要的耽搁和长期拖延。因为庞培已经搜括走所有的船只,使他失去了现在马上就去追他的可能。唯一留给他的办法是等候从高卢、皮克努姆和海峡等比较远的地方来一些船只。但由于季节关系,看来这又是一件遥遥无期、阻碍重重的事情。同时他也不希望就在这个时候,庞培的那支老的军队和那两个西班牙行省——其中的一个尤其因为庞培给它的巨大利益而紧紧和他联合在一起—— 一更加强了对庞培的忠诚,同盟军和骑兵也都作好了准备,乘他不在的时候,使高卢和意大利遭到侵扰。

    30.因而,在目前,他决定放下追赶庞培的计划,赶到西班牙去。他下令给所有各自治市镇的地方官吏,叫他们负责搜寻船只,送到布隆狄西乌姆来。他派副将瓦勒里乌斯带一个军团到撒丁尼亚,又派代行司法官库里奥带两个军团到西西里,并命他在收复西西里以后,从那边带着军队直接渡海到阿非利加去。这时,主管撒丁尼亚的是马尔库斯·科塔,主管西西里的是马尔库斯·加图,阿非利加则根据抽签,是应该归图贝罗主管的。卡拉利斯人一听到要派瓦勒里乌斯到他们那边去,甚至在瓦勒里乌斯还没离开意大利之前,就自动起来把科塔逐出城去。当科塔知道整个行省都意见一致时,害怕起来,从撒丁尼亚逃往阿非利加。加图在西西里一面修理旧的战舰,一面向各城镇索取新舰。他极其热心地进行着这些工作,并且通过自己的副将们,在卢卡尼亚和布鲁提姆的罗马公民中间征召新兵。当这些事情几乎快要完成时,他得知库里奥已经到来,他在集会上抱怨自己被庞培抛弃和出卖了,说:庞培根本什么东西都没准备好,就冒然发动一场不必要的战争,而且当他加图本人和其他一些人在元老院里问到庞培时,他还一口咬定说一切战争用的东西都已经安排和准备好了。在会议上这样抱怨一通之后,逃出行省去了。

    31.乘那边没有了统帅,瓦勒里乌斯和库里奥分别带着军队,到达撒丁尼亚和西西里。当图贝罗到达阿非利加时,发现阿提乌斯·瓦鲁斯正掌握着这个行省的军政大权。我们已经叙说过阿提乌斯在奥克西穆姆丢失了军队,他从那边直接逃向阿非利加。乘没有人在那边主持,擅自占据了它。就在那边征兵组织起两个军团,因为不多几年以前,他在司法官任期届满后,曾经主管过这个行省,现在就利用自己熟悉这里的人事和地理。而且利用在这个行省的经验,作为达到这些目的的手段。当图贝罗乘着船只到达乌提卡时,他不让他进入港口和市镇,非但不准他把正在患病的儿子送上岸去,还迫使他们起锚离开当地。

    32.凯撒在这些事情完成之后,把士兵们带进附近的市镇,好让他们在紧张劳动之后,在余下来的这段时间里略事休息。他本人赶向首都去,在召集起元老院以后,他讲到他的仇敌对他的迫害,说明自己并没有妄想非分的荣誉,他所等待的不过是可以合法地出任执政官的时刻。能使他感到满足的正是每个公民都可以要求的东西。过去,十个人民保民官在敌人的反对之下——尤其是加图拼命反对,用他的老办法,以滔滔不绝的发言把时间拖过去——提出并通过了让他可以不亲临竞选就有当选的资格,当时的执政官就是庞培本人,他如果不同意,为什么听任它通过?如果他同意,为什么现在又阻止他不让他接受人民的恩宠,他还叙述自己是多么耐心、克制,曾经自动提出过解散军队,这完全是一件以自己的地位和荣誉作牺牲的事情。他还指出敌人的狠毒,他们向别人要求的东西,当别人向他们自己要求时,却一口拒绝了,宁肯让一切事情都搞得乱七八糟,就是不肯放下权力和军队。他又控诉他们在夺去他军团的这件事上蛮不讲理,在剥夺保民官权力这伴事上的骄横。他还历数自己提出过的种种条件,他一次次要求的会谈和遭到的拒绝。为了这些原因,他鼓励并且要求元老们把国家大事担当起来,和他一起管理好它。他们如果为了害怕,想要回避,他也不愿使他们增加负担,尽可由他一个人来管理国家大事。他说:应该派使者到庞培那里去谈判,尽管庞培不久以前曾经在元老院讲过:使者派到什么人那边去,就表明权威属于这个人,谁派出使者去,就表示谁在害怕,但他凯撒不在乎这些,从这上面只能看出他们胆怯,意志动摇。至于他自己,正象他已经竭力在行动上压倒了他们那样,希望能在道义上、在公平合理上,也胜过他们。

    33.元老院同意了派遣使者的事情,但却找不到一个可以派去的人,大部分人都因为本人害怕,拒绝担任使者。因为庞培在离开都城前。曾经在元老院里说过,他要把留在城里的人和处在凯撒军营里的人一样看待。就这样,三天时间浪费在争论和辩解上面。加之有一个叫卢塞乌斯·墨特卢斯的人民保民官,受凯撒的敌人挑唆,站出来反对这件事,而且任何事情。只要凯撒提出,他都加以阻拦。凯撒看出他的用意后,认为自己已经浪费了几天,不该再损失更多时间,就在他预定要做的事情一无所成的情况下,离开都城,到外高卢去了。

    34.当他到那边时,他了解维布利乌斯·鲁享斯已被庞培派到西班牙去,这个人是几天以前在科菲尼乌姆被他俘虏后释放的。同样,多弥提乌斯也已出发去占领马西利亚,带去七艘由伊吉利乌姆和科萨努姆人私人凑集起来的快桨船,上面配备着由他的奴隶、释放人和佃户组成的人员。事先已经有一些出身于贵族的马西利亚青年,被派回家去作为使者。在他们离开都城时,庞培曾经鼓励他们,要他们不要因为凯撒新给的好处,就忘掉庞培对他们的旧恩。接到这些指示,马西利亚人关起城门来抵抗凯撒,而且把住在党临马西利亚的丛山中、自古以来就和他们结成联盟的蛮族阿尔比西人,招到他们这里来。同样,他们还把邻近地区和所有各个碉堡里的谷物,都运进城里,一面又在城里设置兵器作坊、并动手修缮城墙、城门和舰队。

    35.凯撒把马西利亚的十五个贵人召到他这里来,他对他们说:为要防止马西利亚人挑起战争来,他们应该听从的是整个意大利的权威,而不应该听从某一个人的私意。他还提到了其他一些他认为能够促使他们保持头脑清醒的话。使者们把这些话带回去,经过当局授权,又带回这样的话给凯撒:他们知道罗马人民已经分裂成两派,他们没有判断哪一方比较有理,而且也没有这种分辨哪一方比较有理的能力。但这两派的领袖是格涅尤斯·庞培和盖尤斯·凯撒,都是他们国家的保护人。这两个人,一个正式给了他们沃尔凯族的阿雷科弥基人的土地和赫尔维人的土地,另一个把自己在战争中征服的萨吕斯划给了他们,还给他们增加了税收。因而,受了他们双方同样的恩惠,他们也要对双方表明同样的心意,决不帮助任何一方反对另一方,也不接纳任何一方进入他们的城市和港口。

    36.他们之间正在进行这些交涉时,多弥提乌斯乘船来到马西利亚,被他们接了进去,并且被奉为该城的首领,把主持战争的最高权力授给了他。在他的主持下,他们把舰队派到四面八方去,不管在哪里遇到商船,就捉住了带进港口去。有一些船只,钉子、木材和船具不很充裕的。他们就用来装备和修缮其他船只,并把所有找到的粮食都送到公家仓库里去,其余的商品和给养都保留下来,准备如果一旦遇到围城时使用。这种欺诈行为激怒了凯撒,他率领三个军团向马西利亚赶去,决定筑起塔楼和盾车来围攻这个城市,并在阿雷拉特建造十二艘战舰。它们在砍伐木材之后三十天内就建造起来并且装备完毕,送来马西利亚。他指定由德基穆斯·布鲁留统率它们。又留下副将盖尤斯·特雷博尼乌斯主持围攻马西利亚的工作。

    37.这些事情正在准备和进行时,凯撒派副将盖尤斯·法比乌斯带着安置在纳波及其邻近地区息冬的三个军团,进入西班牙。命令他迅速占领比利牛斯山的隘口,这时,那边正由庞培的副将卢基乌斯·阿弗拉尼乌斯据守着。其余在较远的地方息冬的军团,他也命令在后面跟上来。法比乌斯按照命令。利用进军的神速,把隘口的驻军驱走,然后以急行军赶到阿弗拉尼乌斯的军队所在。

    38.当前面说过被庞培派到西班牙去的那个卢基乌斯·维布利乌斯·鲁亨斯到达那边时,西班牙正由庞培的副将阿弗拉尼乌斯;佩特雷戈斯和瓦罗驻守着。他们中间,一个人带着三个军团驻在近西班牙;另一个带着两个军团驻在卡斯图洛隘口到阿那斯河之间的远西班牙;第三个带着同样数目的军团,驻在从阿那斯河至维托涅斯人的地区和卢西塔尼亚之间的一带地方。他们之间分了工,佩特雷尤斯带着他的全部军队从卢西塔尼亚出发,穿过维托涅斯人地区,去会合阿弗拉尼乌斯;瓦罗以他手下现有的几个军团防守整个远西班牙。这些事情决定后,佩特雷尤斯向整个卢西塔尼亚、阿弗拉尼乌斯向克尔提贝里亚、坎塔布里、以及一直伸到大洋的所有蛮族,分别索取步、骑援军。当它们集合起来以后,佩特雷尤斯就很快穿过维托涅斯人地区,到达阿弗拉尼乌斯处。他们一致同意,决定在伊莱尔达附近作战,因为在这里的地势很有利。

    39.正象上面所说,阿弗拉尼乌斯有三个军团,佩特雷尤斯有两个,此外还有近西班牙行省的盾牌兵和远西班牙的皮盾兵约八十个营,以及从这两个行省来的约五千骑兵。凯撒派到西班牙去的军团有六个,同盟步兵五千和三千骑兵,这些都是在以前历次战争中就一直在他部下的。此外还有同样数目从他所征服的高卢来的人,所有各邦最最显贵、最最勇敢的人物,也都被他指名召了来;再加上从阿奎塔尼、以及从一直伸到高卢行省的山区的居民中召来的贵族家族的人员。他听到说,庞培已经带着军团取道毛里塔尼亚,赶到西班牙来,很快即将到达。这时,他向军团指挥官们和百夫长们借了钱分给士兵,这是一件一举两得的事情:一方面,作为押金,它使百夫长们的心和他更紧密地连系在一起;另一方面,他的慷慨犒赏又换得了士兵们的爱戴。

    40.法比乌斯通过信件和使者;试探邻近各邦的态度。他在西科里斯河上,筑起两座桥梁,彼此相距四罗里。他派出采收部队经过这些桥梁到河对面去。因为几天来把河这一边地方草林的都已经消耗光了。为了同样原因,庞培军队的将领们几乎也在做同样的事情,骑兵彼此间经常发生战斗。当法比乌斯的两个军团按照每天的惯例,从较近的那座桥过河,去给采牧部队担任掩护时,驮运的牲口和全部骑兵都跟在后面。突然之间,狂风恶浪冲断桥梁,把大部分骑兵和其余部队切断。佩特雷尤斯和阿弗拉尼玛斯从河水带下去的碎块和木排上得知了这桩事情,阿弗拉尼乌斯立刻带着四个军团和全部。骑兵,经过自己的那座联结营寨和市镇的桥梁,奔向法比乌斯的两个军团。得到他到来的报告,指挥这两个军团的卢基乌斯·普兰库斯迫于形势,占据了一处高地,把他的部下背对背分成两列,两面迎战,以免被骑兵包围。这样,虽说进行的是人数悬殊的战斗,他终于挡住了军团和骑兵的猛烈冲击。骑兵一开始交锋后,双方就都看到老远赶来的两个军团的旗帜,这是法比乌斯从另外部座较远的桥上派过去支援我军的,原来他已预料到果然发生了的事情,猜想对方的领袖们要利用命运之神赐给他们的好机会来进逼我军。他们的到来结束了战斗,双方都把军团领回营去。

    41.两天以后,凯撒带着留在身边做卫队的九百名骑兵来到大营。被风暴毁坏的那座桥,已经修复得差不多,他命令在当夜完工。在了解了那一带地形后,他留下六个营作为营寨、桥梁、以及全部辎重的守卫,于次日带着全军出发,排成三列,向伊莱尔达赶去,正好面对阿弗拉尼乌斯的营寨停驻下来,在那边全副武装地逗留了一会,给他的对方一个在平地上战斗的机会。阿弗拉尼乌斯有了这样的机会,就也把他的军队领出来,布列在自己营寨下方的半山腰里。当凯撒看出阿弗拉尼乌斯并没作战的意思,他决定在距那座山的山脚大约四百步的地方扎下营寨。为了免得他的士兵在埋头筑工事时被敌人的突然袭击所惊,工程受到阻挠,他命令他们不要筑壁垒,免得因为它高出地面,老远可以看到,而是在正对敌人的这一面挖一道十五尺阔的壕堑,第一列和第二列部队仍象一开始时布置的那样,继续武装戒备,第三列藏在他们背后偷偷地从事工作。因而在阿弗拉尼乌斯还没知道营寨在筑工事以前就全部完成了。在晚上,凯撒把他的军团撤进这道场堑,第二夜就让他们在武装戒备下,在那边休息。

    42.次日,他把全军都留在壕堑以内,因为防御工事取材要跑到很远的地方,所以目前他决定仍旧采用同样形式的工事,指定每个军团分担营寨一边的防御工事,即挖掘同样大小的壕堑,其余的军团轻装上阵,面对敌人布列着,武装戒备。阿弗拉尼乌斯和佩特雷尤斯为了恐吓我军,并阻挠施工,把他的军队一直带到山脚下面来,向我军挑战。但就是这样,凯撒倚恃一方面有三个军团在警卫,一方面有壕堑在掩护。仍不停止工作。他们在那边没停留很久,也没离开山脚多远,就仍旧把部队领回营寨去了。在第三天,凯撒用一道壁垒把营养围起来,命令把留在原来那个营寨里的其余几个营和辎重,也都调到这里来。

    43.在伊莱尔达城和离它最近、即佩特雷尤斯和阿弗拉尼乌斯在上面扎营的这座山之间,有一片稍稍隆起的高地。凯撒深信,他如能占据这片高地,给它筑上工事,就把敌人和那个市镇。那座桥梁,以及他们搬运到镇上去的所有给养,统统切断了。在这种想法推动下,他把三个军团带出营寨,选择有利的地形布下阵列。命令其中一个军团的旗下精兵迅速奔去占领这片高地。一知道这事,站在阿弗拉尼乌斯营寨前担任守卫的那个营立刻被派出来,抄近路走,也去占领那片高地。双方战斗起来。由于阿弗拉尼乌斯的部下先到高地,我军被驱逐下来。当敌人又有援军派上去时,他们被迫转身回到军团停驻的所在。

    44.对方这些士兵战斗的方式是:首先迅速地猛冲上来,勇敢地占定一处阵地,但却不严格遵守行列次序,而是三三两两地分散着各自为战。如果受到的压力较重,他们就向后退去,放弃这处地方,并不认为这是可耻的事情。早在他们和卢西塔尼亚人和别的一些蛮族作战时,就已经习惯于使用这种野蛮的作战方法了,在通常的情况下,兵士在某一地方耽搁久了时,往往就会受这地方的许多习俗影响。然而使我军士卒惊惶的却正是这种自己不熟悉的作战方法。那怕冲上来的敌人只有一个,他们也认为自己袒露着的侧翼已经受到对方的包围。他们却又认为自己有责任要坚持在行列中间,不离开连队的标帜,没有十分必要的理由,也不该放弃自己所据的位置。从而,当旗下精兵陷入混乱时,布置在这一翼的军团,便也站不住脚,退向近旁的山上。

    45.看到几乎全军都被这种出乎意料、而且从未经历过的情况弄得十分狼狈,凯撒一面鼓励部下,一面率领第九军团上去支援,把放肆地奋力追逐我军的敌人截住,迫使他们也转身向伊莱尔达城退去,一直到城墙下才停住。但第九军团的士兵热情高涨起来,一心想洗雪受到的耻辱,十分冒失地对退走的敌人穷追猛赶,跑得太远了些,竟一直跟到伊莱尔达市镇坐落的那座山脚下一处地形很不利的地方。当他们在那边想到要退回来时,那些敌人又再转过身来,从高处奔下来冲击他们。那地方十分崎叹不平,两侧面又都很陡削,宽度只能容得下三个布列开的营,既无法从两侧面派援军上去,在应付不暇时骑兵也不可能上去帮忙。但在一出市镇的所在,却有一片倾斜度比较平缓、向前伸出约四百步的坡地。我军因为一时热情冲动,赶得太冒失了些,只能就向那边退去。在那边发生了战斗,由于这块地方一则十分狭窄,再则又正处在那座山脚下,向他们投掷过来的武器,几乎很少落空,因而对我军报为不利。但他们都依靠自己的勇敢和坚毅,忍受一切创伤。敌人的兵力在增加,不断有部队从营寨里派出来,穿过市镇赶来支援,用生力军替换疲乏了的人。凯撒被迫也只能这样做,派部队到那同一地方去,把疲劳了的人替换下来。

    46.战斗就这样连续了五个刻肘,我军受到人多势众的敌人压力,直到连轻矛都全部耗光了时,他们拔出剑来,向山上仰冲上去,奔向敌人,砍倒了一些,迫使其余的人转身退去。当敌军败向城下,有一部分还出于恐怖,逃进镇内时,我军就有了从容撤走的可能。驻在两侧的我军骑兵,虽然停驻在倾斜而又低下的地方,这时也极勇敢地奋力登上山顶,在两军阵列之间往来驰突,使我军的撤退更为方便和安全。战斗就这样忽胜忽负地进行着。在第一次交锋中,我军约阵亡七十人(其中包括第十四军团的一个首列百夫长昆图斯·享尔吉尼乌斯,他是因为勇敢超群,被从较低级的百夫长提升到这个位置上来的),约六百人受伤。阿弗拉尼乌斯的那一方被杀死的有首席百夫长提图斯·凯基利乌斯,除他之外,还有其他四个百夫长和两百以上士兵。

    47.但是,对这天战争的结局,双方的看法各不相同,大家都以为自己在战斗中占了上风。因为阿弗拉尼乌斯的士兵虽然在一般人心日中都认为比较软弱,但他们却能和我军短兵相接,交锋了这样长一段时间,顶住了我军的冲击,还一起始就守住了引起争夺来的那片高地,在第一个回合中迫使我军败退下来。但我军则认为,尽管地势不利,人数悬殊,他们却能把战斗坚持到五个刻时以上,而且持剑向山上仰冲,迫使敌人从踞高临下的位置上退走,逃进城里。敌人结引起战斗的那片高地筑起强大的工事,以资防守,并留一支驻军在上面。

    48.在这些活动后还不到两天,又发生了一桩突如其来的灾难。一场暴风雨来得如此之猛,以致大家都认为在那一带地方从没发生过比这次更大的洪水。大水冲下所有山岭上的积雪,还涌上高峻的河岸,在一天之中把法比乌斯建造的两顶桥全都冲断。这些事情带给凯撒的军团很大的困难。正象前文所说,他的营寨是夹在西科里斯河和金伽河这两条河流之间的,两者间的宽度只有三十罗里。这两条河都没法再渡过去,一切活动都被无可奈何地限制在这个小圈子里。和凯撒结上友好关系的国家。再不能支援他粮食,就连出外较远处采牧部队也被河流隔绝,无法返回。从意大利和高卢来的大批运输队,全都没法赶到营里来。从季节上说,这也正好是一个最为困难的时刻,田里的谷物既已不再是青葱一片的时候,离开成熟却又多少还有一些时间。地方上已经梢耗殆尽,因为阿弗拉尼乌斯在凯撒到来以前就已把几乎所有的粮食都运进伊莱尔达镇,如果说还有些余剩的话,也已被凯撒在前些日子里吃光了。本来在饥荒的时候,牲口可以勉强作为代用的东西,但因为战争,它们已经被邻近的国家转移到很远的地方去。出去采牧和收集谷物的那些人,都受到卢西塔尼亚的轻装兵和对当地形势很熟悉的近西班牙皮盾兵的追逐,这些人渡河很方便,因为他们都有一个习惯,即不带着泅水用的皮囊不来参加军队。

    49.阿弗拉尼乌斯的军队却样样东西都很充裕。在过去的日子里。他们积起并搬进了大量谷物,还从各行省运来了很多;饲料供应也十分充足。伊莱尔达的桥梁,毫无危险地为运送所有这些物资提供了方便,而且桥对面一边的地区由于凯撒根本无法到达,所以仍然完好无恙。

    50.洪水持续了好几天,凯撒试图把桥梁修复,但波涛翻滚的河水不容许他这样做,布置在沿岸的敌军部队,也不会听任他修理。因为对方要阻止他修桥很方便。由于河流所在的那地方地形很险要,水势又很奔腾汹涌,加上对方还可以在沿岸所有各地把武器集中着投向一处狭窄的所在,而我军在同一时间里既要在湍急的河流上工作,又要躲避武器,是件很困难的事。

    51.有报告给阿弗拉尼乌斯说:一支正在赶到凯撒这里来的大运输队,已经停在河边。原来是鲁特尼族的弓箭手和高卢的骑兵,按照高卢人的习惯,带着许多车辆和大批辎重,来到那边。此外还有许多各式各样的人,带着奴隶和孩子,约达六千人之多,但他们却既没有编队,也没有一定的组织纪律,各人自己高兴怎样走就怎样走,大家丝毫不怀戒心,和以前几天一样的自由自在赶路。其中有一些贵家少年,是元老们或骑士等级的儿子,还有一些别的国家来的使者和凯撒的副将。这些人都被河流挡住了路。为要对他们发动一次突然袭击,阿弗拉尼乌斯带着全部骑兵和三个军团,在晚上出发,派骑兵走在前面,想趁对方没有防范时加以攻击。尽管如此,高卢骑兵还是很快就作好准备,接战起来。他们虽然人数很少,但在战斗可以声势相当地进行的时候,仍然能够一直把数目大得多的敌人顶住在那边。只是在军团的旗帜开始迫近时,他们才在损失了一些人之后_向附近的山上退去。战斗所拖延的这段时间,对我方人员的安全起了极重要的作用,他们就利用这个时机,退向一处高地上去。这天我方损失了约二百名弓箭手、少数骑兵以及不多一些营奴和辎重。

    52.由于这种种原因,粮价上升了,其所以涨价,往往不光只因为目前的短缺。而且也由于人们在为未来担心。粮价已经上涨到五十德那里乌斯一麦斗,士兵们的体力也因粮食不足而衰退了。困难与月俱增,只在几天之内,形势变化就如此之大,运气变得如此之现我军不得不和一切必需品的严重缺乏作斗争、敌人却各式各样东西都十分充裕,占着极大的优势。凯撒向那些和他有友好关系的国家索取牲畜——因为他们的粮食都不很富足——又把营奴们都遣送到比较远的国家去,他自己也尽力采取对克复目前的饥荒有所帮助的一切办法。

    53.阿弗拉尼乌斯、佩特雷尤斯、以及他们的友人们,写了比较详尽而且夸大的信,把这些情况告知他们在罗马的自己人。这上面还添枝加叶地加上许多语言,看起来战争好象快要结束似的。这些信件和消息带到罗马时,大批人聚集在阿弗拉尼乌斯家中,兴高采烈地祝贺。很多人离开意大利赶到格涅尤斯·庞培那边去。有些人是想去做第一个报导这好消息的人,有的人则是想避免被人看成是坐待成败已成定局,然后才在所有的人中最后一个赶去的人。

    54.形势已发展到如此危险的地步,而且所有的道路都被阿弗拉尼乌斯的部队和骑兵封锁着,桥梁也无法修缮,凯撒命令士兵动手建造船只,就照前几年在不列颠的经验中学到的那种样子建造。船的龙骨和前根肋都用轻木材造,船身的其它部分用树枝编就,然后蒙以皮革。这些船造好后,乘夜用前后联结在一起的车辆;将它们搬运到离开营寨二十罗里的河中,让一些士兵用这些船只渡过河去,趁对方不备,突然占据一座和河岸相连的小山,在对方还没发觉以前就很快给它筑好工事。后来,他又运过去一个军团,而且两岸一起动手,建造一座桥梁,在两天内就竣工了。这样,那个运输队和那些因收集粮袜外出的人,都被安全地接了口来,粮食上的困难开始解除。

    55.就在那一天,他把大部分骑兵送过河去。他们在冷不防中突然攻击了散乱无序、丝毫不存戒心的敌方采牧人员,截获了大量牲口和人员,当对方几个营皮盾兵被派来支援他们时,我军机敏地分成两部分,一部分守护战利品,一部分抵御赶来的敌人,驱走他们。对方有一个营,冒失地越出自己的阵列,跑到别人前面来,我军把他们和其余的人切断,包围起来歼灭,毫无损失地带着大量战利品,仍从桥上返回营寨。

    56.当这些事情正在伊莱尔达进行时,马西利亚人采纳多弥提乌斯的计划,准备了十七艘战舰,其中有十一艘是装有甲板的。在它们之外,又再加上许多小艇,企图单恁它们的数量就能吓退我们的舰队。舰上配备了大批弓箭手和前面已经提到过的阿尔比基人,用酬赏和诺言来鼓励他们。多弥提乌斯另外又自己索取了一些船只,船上配备着自己随身带去的佃农和牧奴。他们这样把船上的一切东西都装备好之后,怀着很大的信心开出来对抗我军由德基穆斯·布鲁图率领的舰队,它这时正停泊在面向马西利亚的一个岛上。

    57.布鲁图的舰只数目要少得多,但凯撒指派给这支舰队的都是从所有各个军团中挑选出来的最勇敢的人,都是些自己要求参加这一工作的旗下精兵和百夫长们,他们早已准备下了铁钩、鱼叉。还带有大量轻矛、梭镇和其它矢石等武器。一得知敌人到来时,他们就把自已的船只开出港口来和马西利亚人交锋。双方都极英勇、极猛烈地战斗着。那些粗护的阿尔比基人,生长在山林中,武艺很拥熟,就勇敢而论,也并不比我们稍逊,而且他们刚刚从马西利亚人那边来,人家不久前许给他们的诺言还记忆犹新。多弥提乌斯的那些牧奴则有获得自由的希望在推动着他们,急切想在他们的主人眼前让自己的干劲得到证实。

    58.马西利亚人一方面倚恃自己的船快,再一方面倚侍舵手的技术高明,绕开我们的船只,躲过他们的冲击,只要路上没遮拦,就把自己的舰只散开,拉成一长列包围我们,或者以几只船攻击我们的一只,如果有可能,就在我们的船侧擦过,竭力设法挤掉我们的桨。但如遇必要,非得靠近不可时,他们也会发挥山地人的勇敢来代替舵手的经验和技术。至于我军方面,一则人员都是匆促中从商船上抽调来的,桨手没有这样熟练,舵手也没这样富有经验,甚至连那些索具的名字都不知道,而且我们舰只的迟缓和笨重,也着实累人不浅,因为它们都是用还没干燥的木材匆忙造起来的,不能同样地灵活操纵。因而,只要一有手接手近战的机会,我军就沉着地用自己的一只船奔向对方的两只船,伸出铁钩去把两只都紧紧搭牢,就在船的两侧战斗起来。他们还登上敌船去,在杀死大量阿尔比基人和牧奴后,击沉了一部分船,又连人带船捕获到几条,把其余的都逐回港去。这一天,马西利亚人共损失了九条船,包括被俘的在内。

    59.这场战斗的消息最初报告给在伊莱尔达的凯撒时,恰值桥梁也同时竣工,时运马上转了过来。敌人慑于我军骑兵的英勇,就再也不敢这样自由、这样大胆地出动了,即使有时出来,也不敢离开营寨太远,只在一块很狭小的地带采牧,以便可以很迅速地退回去。有时,他们又远兜远转,避开我军的警卫和骑兵哨岗,在受到了一些损失或老远看到我军骑兵时,他们就马上停步,抛掉行囊,逃之夭夭。最后,他们决定一连几天停止采牧,或者一反常例,在晚上出来采收。

    60.同时,奥斯卡人和向奥斯卡人纳贡的卡拉古里斯人,都派使者来见凯撒,表明他们愿意听从他的命令。他们之后,接着来了塔拉科人、亚克塔尼人和奥塞塔尼人。再过了几天之后,又来了接近希贝鲁斯河的伊卢伽沃涅塞斯人。凯撒要求所有这些国家都用粮食来支援他。他们答应照办,而且到处去搜集所有的牲口,送到营里来。伊卢伽沃涅塞斯人的一个营,在知道了自己本国的意图时,也从驻地倒戈赶来投诚。局面迅即起了很大的变化。桥梁造成了,五个强大的国家和我们结上友谊,粮食问题得到解决,所流传的庞培带着军团通过毛里塔尼亚赶来救援的谣言也破灭了。好些相距更远的国家纷纷抛弃阿弗拉尼乌斯,来寻求凯撒的友谊。

    61.正当这些事情使敌人心慌意乱时,凯撒为了免得自己的骑兵派出去时总要绕大圈子通过桥梁,决定选择一处合适的地方,挖掘好几条三十尺阔的排水沟,通过它们,把西科里斯河的水引走一部分,在这条河中造成一处可以涉渡的地方。当这些工作大约快要完成时,阿弗拉尼乌斯和佩特雷尤斯大为惊骇,因为凯撒的骑兵远较强大,他们深恐所有的粮食和采收统统被隔断,因此决定撤离这地方,把战争转移到克尔提贝里亚会进行。促成他们采取这个计划的还有另一个因素,即在互相敌对的两群部落中,在上次作战和塞托里乌斯站在一边、被庞培征服了的那些国家,虽说现在庞培不在,但对他的威名和势力,还觉得凛凛可畏;至于那些对庞培保持友好的国家,则因为他给他们的巨大恩惠而爱戴着他,凯撒的名字在蛮族中反而是没没无闻的,因而他们期望能从这些人那边得到大批步骑兵援军,并且就在他们那地方把战争拖延到冬天去。这计划决定后,他们命令把希贝鲁斯河上的船只统统收集拢来,集中到奥克托格萨去,这是一个坐落在希贝鲁斯河上的市镇,距他们的营寨三十罗里。就在那边的河上,他们命令把船只联起,造一顶浮桥,派两个军团渡过西科里斯河去,造一道十二尺高的壁垒来保护自己的营寨。

    62.侦察人员向凯撒报告了这事。他通过士兵们紧张万分的劳动,日以继夜进行着把河水决走的工作,现在工程已经进展到这样的程度,虽说还是有困难和危险,骑兵已经能够、而且敢于涉水过去了,但步兵却只有肩膀和胸部的上半露出水面,河水很深,水流又很急,使他们无法涉渡过去。虽说如此,希贝鲁斯河上的桥梁即将完工的消息到达的时候,差不多正好也就是西科里斯河上找到涉渡地点的时候。

    63.这就使得敌人更有必要加速赶路。因而,留下两个同盟军的营驻守伊莱尔达之后,他们即以全军渡过西科里斯河去,和几天前先渡过去的那两个军团联营驻在一起。凯撒除了用骑兵去扰骚和阻挠敌人的行列以外,再没其他办法奈何他们,因为他从自己的那顶桥过去,要绕很大一个圈子,对方可以从近得多的路先赶到希贝鲁斯河。他派骑兵渡过河去,当阿弗拉尼乌斯和佩特雷尤斯在第三更移营开拔时,他们突然在他的后军出现,大队人马兜围上去,开始阻挠和拖延对方赶路。

    64.天刚一亮,就可以从和凯撒营寨相连的高地上,看到对方的后军正受到我军骑兵的猛烈攻击,最后面的队伍有时停顿下来或被和大队切断,有时我军又因他们的几个营掉过头来合力猛攻而被迫退下,但马上又会转过身去再事追逐。整个营寨中,士兵们三三两两聚在一起,抱怨不该让敌人从自己手中溜走,使战事不必要地长期拖延下去。他们跑到百夫长和军团指挥官们面前去恳求,请他们去向凯撒保证,要他不必顾惜他们的辛劳和危险,他们已经完全准备好了,能够、而且敢于在骑兵涉渡的地方渡过河去。他们的热情和他们的吁请,激动了凯撒,虽然他对把军队投入这样白浪滔滔的大河感到担心,然而他觉得还是应该试一下,看看是否可以做到。由而,他命令从所有各个百人队。把比较衰弱,看来神气力都支持不住的人全挑出来,把他们和一个军团一起留下守卫营寨。他把其余的军团带出营寨,都留下了行李,又把大量马匹布列在河流的上游和下游,然后把军队带过河去。兵士中有少数被水流的力量冲走的,马上就有骑兵接了过去,救上岸来,一个人都没有死亡。军队安全渡过后一,他开始把部队布列开来,排成三列防阵。军士们的热情如此高涨,尽管绕了一个圈子,多走了六罗里路,涉渡又耽搁了许多时间,但在白天的第九刻时以前就赶上了第三更出发的敌人。

    65.正和佩特雷尤斯在一起的阿弗拉尼乌斯老远看到这番景象,对这一意料不及的事情大为吃惊,就把他们的部队拉上一处高地,布下阵列。凯撒在平地上让部下略事休息,免得他们在疲劳中投入战斗。当敌人企图重新上路时,他又再赶上去,扰挠他们。对方无可奈何,比预定计划提早停下来扎营,因为他们已走近山岭,前面五罗里之外,就有一条崎呕狭窄的道路在等待他们。他们急于想要进入这片地区,以便避开凯撒的骑兵,同时又可以在狭隘的地方布置下守军,阻止我军前进,这样,他们自己就可以毫无危险和恐怖,把部队渡过希贝鲁斯河去。这就是他们企图要做、而且要不惜用尽一切手段做到的事惰。但由于全天的战斗和一路来的辛苦,他们把这件事推迟到次日去。凯撒同样也在近旁的山上扎下营。

    66.差不多在半夜,因为取水,跑出营寨较远的一些敌人,被我军骑兵俘获,凯撒从他们口中得悉对方的领袖们正在把部队悄悄地拉出营寨。知道了这事,凯撒命令发出号令,并按照军中的习惯叫喊“整装待发”。敌军听到叫喊,惊慌起来,唯恐深更半夜受到我军阻截,被迫在行李累赘中发生战斗,或者被凯撒的骑兵堵死在狭谷中,随即停止出发,把部队仍留在营中。次曰,佩特雷尤斯带着少数骑兵偷偷走出来侦察地形,凯撒营里也同样出来做这件工作,卢基乌斯·德基狄乌斯· 萨克萨奉命带着少数人出来观察地一势。双方带回去的报告都是说,近在前面有五罗里平坦的道路,接着再过去便是一片崎呕的山岭地区。谁先占领那些狭隘的道路,不用多废力就可以阻止敌人前进。

    67.佩特雷尤斯和阿弗拉尼马斯在一个军事会议上讨论了什么协候出发的问题。大多数人赞成夜里出发,可以乘对方还没知道以前先赶到那些窄路。另外一些人因为昨夜凯撒营里已经发出位一片叫喊声,便以此作为辩论的证据,说明不可能偷偷地出营。他们说:凯撒的骑兵夜里到处在巡逻,所有的地方和道路都被他们封锁着。而且,夜里的战斗应该避免,因为士兵们在内战之中,逢到惊惶失措时,首先想到的就是自己的恐怖,对神灵作过的效忠宣誓往往被放在脑后。但在光天化日之下,众目昭昭,他的羞恶之心就会起作用,更何况还有百夫长和军团指挥官们亲身在场。士兵们习惯上就是在这些情况约束之下,才牢守自己的职责的。总而言之,所有这些都说明他们应该在白天硬冲出去,即使要受到些损失,他们想要夺取的那处地方,却可以在毫不损伤大部队的情况下夺到手了。这种意见在会议上赢得上风,他们决定次日黎明时出发。

    68.在侦察了地形以后,凯撒乘天色刚亮,就把全军领出营寨,他自己率领着部队,不走现成的大路,而是兜很大一个圈子前进。因为通向希贝鲁斯河和奥克托格萨的道路,正被敌人的营寨独面挡住。凯撒的士兵被迫只能翻越巨大艰险的山谷前进,许多地方都有悬崖峭壁挡住去路,士兵们不得不把武器一个人一个人地传递过去咱己大部分路程都空着手走,或一个把另一个托起来攀登上去。但没一个人拒绝这种艰难困苦,因为他们认为只要能把敌人和希贝鲁斯河隔绝,切断他们的粮运,所有这些辛苦就都可以结束了。

    69.最初,阿弗拉尼乌斯的士兵们为要眺望我军,都得意洋洋地奔出营来,还追着用讽刺的话挖苦我们,说我军是因为生活必需品没有了,不得不逃跑,回转伊莱尔达去。由于我们走的路和预期的方向不同、看起来似乎正在向反方向遇走。他们的领袖们也因为没让部下跑出营寨而称许自己的足智多谋。更有助于他们形成这种想法的是,他们看到我军在进行时既没牲口,也没辎重,格外相信这是由于不能再忍受饥荒,才这样做的。一但当他们看到我军的队伍逐渐转向右方,前锋已经包抄过他们扎营的地区时,他们才恍然觉悟过来。这时,再没一个人由于生性迟钝或想回避劳动,认为不必立刻奔出营寨去对付了。于是一片喊声:武装起来,除了留下少数几个营守卫营宗外,全部军队一起出发,从大路直奔希贝鲁斯河。

    70.双方的竞争全在于速度,要看谁先占领这片狭谷和山岭,但道路的崎岖阻碍了凯撒的军队,而阿弗拉尼乌斯的军队则有凯撒的骑兵跟在后面扰骚。就阿弗拉尼乌斯的部队来说,事情已经落到这样一种无可奈何的境地:如果他们抢先到达他们正在奔向的那座山,他们自身就可以避免危险,但全军的辎重、以及留在营寨里的那几个营,便没法再保全,因为他们已被凯撒的军队切断;绝无办法支援他们。凯撒首先完成了进军,在巨大的怪岩后面找到一片平原,他把部队面对敌人,按战斗的队形布列下来。正当后队受到我军的扰骚时,阿弗拉尼乌斯又看到前面也有敌人,他发现反旁有座小山,就把部队带上去停驻下来。他从那边派出四个营文后兵,向一望所及的那些山中最高的一座奔去,他命令他们尽交赶到那边,把它占领下来。他打算把全部军队都带着赶到那边去,然后改变路程,沿着山脊走到奥克托格萨去,当那些皮盾兵从斜方向朝那边前进时,凯撒的骑兵发现了他们,就向这几个营发动进攻,他们用他们的皮盾挡不住骑兵的冲击,就连片刻都没坚持住,所有的人都被包围,在敌我两军的面前,全数被歼灭。

    71.现在有了可以一举成功的好机会。凯撒当然不会不知道,一支军队在亲眼看到这么一场惨祸,惊惶不安的时候,绝对不会再坚持下去,特别因为战斗将在平坦开旷的地方进行,他们又四面都处在我骑兵的包围之中。四周围的人也都这样催促凯撒。副将们、百夫长们、军团指挥官们,都跑到他这里来,要求他投入战斗,不要再疑迟。他们说,所有士兵都完全准备好了;另一方面,阿弗拉尼尤斯已经在许多事情上露出畏缩的迹象,例如:他既不派人去救援自己的部下。也不离开那座小山,虽然能够很勉强地挡住我军骑兵的攻击,却又挤在一起,把军旗都集中在一个地方,行列和部伍全都不顾了。他们又说:如果凯撒担心的是地形不利,那还是有机会让他到其他别的地方去作战的;因为阿弗拉尼乌斯决不会一直耽在山上,上面没有水,他必然会跑下来的。

    71.凯撒所希望的是,最好能不经过战斗,不用部下伤亡,单用切断对方粮运的办法,就能完成这件大功。他认为,就算战斗终于胜利,为什么一定要他损失一些部下呢,为什么一定要让这些跟着他不辞千辛万苦的士兵去冒受锋镐呢,加之,为什么他要去试一下倏忽难料的命运呢?特别对一个统帅来说,用计谋取胜的责任并不比用剑取胜的少一些。再则,看到他那些势必会丧生沙场的公民同胞,也使他产生了怜悯之心,他宁可在他们安全无恙,没有伤亡的情况下达到目的。但凯撒的这种想法,得不到多数人的同意,士兵们甚至在自伙里公然说,要是把这么好的取胜机会放了过去,下次即使凯撒希望作战,他也不愿意出手了。凯撒仍旧坚持自己的意见,从那地方稍稍后退了一些路,好让敌人的恐怖心略许放松一些。佩特雷尤斯和阿弗拉尼乌斯趁此机会回到营里去了。凯撒在山上分别布置下守卫部队,把通向希贝鲁斯河的所有道路都封锁住,然后在离敌营尽可能近的地方,给自己的营寨筑好工事。

    73.次日,对方的首领们因为所有的粮食接济、所有通向希贝鲁斯河的希望,都已经断绝,惊慌万状,就商讨其他出路。这时,还有两条路可走:如果他们想退回去,可以从一条路奔向伊莱尔达;如果想向前走,可以从另一条路到塔拉科。正在讨论这些事时,有人来报告说:他们的运水部队受到我军骑兵的攻击。知道了这事,他们在沿路密密布置下一些骑兵和同盟军的步兵组成的哨岗。中间还插进几营军团士兵。他们又动手从营寨起,筑一道壁垒,一直伸到取水处,这样,取水时就可以在工事里面走,不用再担惊受吓,也不用再放哨。佩特雷尤斯和阿弗拉尼乌斯把这项工作分了工,亲身跑到距离很远的地方去完成这项工程。

    74.他们一离开,士兵们立刻抓住可以自由自在谈话的机会,大家拥出来,互相探询究竟谁有熟人或乡亲在我军营里,并把这些人找了去。首先,他们因为前天当他们自己正在惊慌失措时我军放手饶过了他们,向这些人表达了大家的谢意,说,他们能活下来,正是出于我们的恩惠。次之,又问起我们的统帅为人是否正直可靠,他们要把自己的生命信托给他,是否找对了人,他们抱怨自己没有一开始就这样做,却跟自己的亲戚同胞自相屠杀。在这些交谈中得到鼓励之后,他们又要我们的统帅发誓保证不伤害佩特雷尤斯和阿弗拉尼乌斯的性命,免得人家会认为是他们存心不良,出卖了这些人。如果这些事情得到保证,他们决心立刻倒戈起义,派首列百夫长们作为代表,到凯撒这里来讲和。同时,他们中有些人还邀请自己的熟人到他们的营寨里去,也有些人被他们的熟人带到我军的营寨里来。一时看起来,似乎两座营寨已合而为一了。很多军团指挥官和百夫长都赶到凯撒面前来向他表明自己的心意。一些被他们招来和他们一起处在营里、类乎人质的西班牙首领,也都这样做,他们在自己的熟人和旧交中探询谁有门路可以把自己介绍给凯撒。甚至阿弗拉尼乌斯的年轻儿子,也通过副将苏尔皮基乌斯来为他本人和他父亲的安全求情。这时。到处都充满欢乐和祝贺,一方面认为自己已经避免了这样大的一场灾难,另一方面认为已经不伤一人就完成了这场大功。大家一致认为凯撒前些时候的宽大,取得了巨大的效果、他的做法受到大家的一致赞扬。

    75.这消息被报告给了阿弗拉尼乌斯时,他离开了已经动工的工事,回转营寨。看来似乎他已经准备好不管发生什么意外情况,他都送来顺受,听之任之了。佩特雷尤斯却不甘心就此罢休,他武装起自己的奴隶,带着他们和西班牙皮盾兵组成的警卫队、少数蛮族卫兵、以及他为了保卫自己经常带在身边的少数亲随,出其不意地奔向壁垒,打断士兵们的交谈,把我军士兵从营寨中赶出来,凡被捉住的,统统都杀死。其余的人被这突如其来的危险吓慌了,马上聚集到一起,把左臂包裹在自己的斗篷里,拔出剑来,就这样抵抗着皮盾兵和骑兵,好在离我军营寨很近,他们就一路向营寨退来,受到站在门口值岗的那几个营的掩护。

    76.佩特雷尤斯干完这件事后,含着眼泪走遍每一个连队,叫着每一个士兵的名字,要求他们不要把他自己和他们的统帅庞培出卖给敌人去折磨。有很多人迅速拥到帅帐来。他要他们大家起誓不抛弃、也不出卖自己的军队和领袖,并且不背了别人单独打自己的主意。他本人首先照这番话起了誓,叫阿弗拉尼乌斯也发了同样的誓言,接着便是军团指挥官和百夫长,然后把士兵们按百人队领出来,也同样宜了誓。他们命令,如果有谁留着凯撒的士兵。必须交出来。被交出来的人,都在帅帐里当着众人处死。但大部分人都把自己接待的凯撒士兵隐藏下来,晚上送他们越过壁垒口来。这样,领袖们造成的恐怖、残酷的刑罚和新作的效忠宜誓。一时打消了所有马上投降的想法,改变了士兵们的心意,使复了原来的战争气象。

    77.凯撒命令把在会谈期间来到他营里的对方士兵都很仔细地找寻出来,遣送回去。但在军团指挥官和百夫长之中,却有一些人自愿留在他这里不走。后来,他对这些人极表尊重,百夫长都恢复到原来的级别,罗马骑士也都复职担任军团指挥官。

    78.阿弗拉尼马斯的部队采收受到阻挠。取水也发生困难。军团士兵的粮食还算有些积储,因为他们曾经奉命从伊莱尔达带出来可供二十二天用的粮食,那些西班牙皮盾兵和同盟军既不曾有很多让他们准备的机会,身体又不习惯于负重,因此就断了粮。从而,他们中每天都有大批人逃到凯撒这边来。他们的处境十分困难。他们所设想的两条出路,看来比较方便的还是回伊莱尔达去,因为他们曾在那边留下过一些粮食,他们相信到了那边,还可以为今后怎么办作出安排。塔拉科比较远一些,他们知道在这么长的一段路途中,难保不遇到种种变故。这计划得到赞同后,他们离开营寨。凯撒派骑兵走在前面,去扰骚和阻挠他们的后军,他自己带着军团紧紧跟上。他们的后军简直没有一刻不需要和我军的骑兵交锋。

    79.他们的战斗方式是这样的,轻装的步兵营掩护着他们的后队,还有许多营一直停驻在平地上。如果送到要爬山时,这种地方的天然地形就很容易保障他们不受危险,因为那些先登的人处在较高的位置,可以保护其余那些攀登的人。当他们走到一处峡谷或一段下坡路时,先行的人既没办法再给耽搁在后面的人帮助,我军骑兵却可以从背后较高的地方把武器向对方投去,这时,他们的危险就大了。因而,每当走近这种地形的所在时,他们只有一种办法可以使用,即命令军团停驻下来,迎头猛冲,赶跑我军骑兵,赶跑后,他们马上再一口气竭力狂奔,大伙一起赶下山谷,越过它后,重新再在一处高地上停驻下来。他们完全得不到自己骑兵的任何帮助,这些骑兵的数目虽然很多,却在前次战斗中吓丧了胆,反要军团把他们夹在队伍中间,给以保护。在行军中,他们中任何一个人要想溜走也不可能,凯撒的骑兵会把他们统统捉住。

    80.战斗就这样进行着。他们慢慢地一步步前进,而且时时停下来,给正好在发生战斗的自己人支援。当前进了四罗里时,在我军骑兵的猛烈扰骚下,他们选择了一处高地停驻下来。在那边筑营时,他们只在面向敌人的一边构筑防御工事,也不给牲口卸下负载。当他们看到凯撒正在安下营寨、搭盖帐篷、而且派出骑兵去采收、注意力分散的时候,他们就在当天的大约第六刻时突然冲出来,希望趁我军因为骑兵外出,受到耽搁的时候,开始赶路。凯撒已经给他的军团休息过,看到这情况,马上跟踪追上去,只留下几个营作为辎重的守卫。他命令采牧部队到第十刻时跟上来,把骑兵也召回来。不久骑兵就重新恢复行途中的日常工作,对他们的后军猛烈冲击,几乎迫使他们仓皇溃逃,许多士兵、甚至还包括一些百夫长都被杀死。凯撒的大军紧逼在身后,使他们全军受到威胁。

    81.的确,他们既没机会可以寻找一个适当的地点扎营,也没有可能再继续前进,被迫只能停驻下来,在一个远离水源、地势极为不利的所在扎营。但为了和前面说到过的同样理由,凯撒并不进攻他们,这天,也不让部下架设帐篷,以便对方在不问黑夜还是白天突然溜走时,全军可以随时追上去。对方注意到自己的地势不利,通宵动手扩伸工事,把他们的营寨逐步逐步地向后转移。次日,天明时起,又继续这一工作,把一整天时间都化在这上面。但他们的工程越进行下去,营寨也就越向前移,离开水源也就越远。结果,弥补目前这项灾难的是另一项灾难。第一夜,一个出来取水的人都没有,次日,他们除留下一支守卫部队在营里之外,全军都拉出来取水,却没派人去采收。凯撒宁愿用这些困难挫折他们,使他们不得不屈服求降。而不必经过战斗决定胜负。然而,他仍然用一道壁垒和壕堑把他们包围起来,这样,如果他们突然冲出来,就可以尽可能地阻挡他们,他估计他们势必不得不走这一步。同时,对方由于缺乏草料,而且为了行动时可以方便些,命令把所有驮运行李的牲口都杀死。

    82.凯撒在这些工程和计划上化了两天时间,到第三夭,大部分工程都已接近完成。对方为了阻挠其余的围困工事进展,在第九刻时,一声号令便把军团带了出来,在营寨前布列成战阵。凯撒也从工事上召回军团士兵,命令全部骑兵都集合待命,并布置好阵势。凯撒怕被人家看成不敢迎战,违反了士兵们的愿望和群众的舆论,会带来很大的损害,但为了上面已经说过的同一理由,很不愿意作战。加之他还因为两军之间的这片空隙地带很狭小,即使全击败对方,对于取得最后胜利,仍然不会有很大帮助。双方的营寨相距不过两罗里,两军布列战阵的地方却已经占去了三分之二,留下来的三分之一,才是给士兵们往来冲杀的空地,如果交战起来,由于营寨相距太近,失败奔逃的一方,可以很快就退回进去。因为这原因,凯撒决定如果对方前来进攻.就上去应战,决不首先去进攻对方。

    83.阿弗拉尼乌斯把五个军团排成两列,排在第三列作接应部队的是同盟军的各营。凯撒的军队排成三列,但由五个军团中各抽出四个营构成第一列,再由各该军团中的另三个营列在他们后面作为接应,接着又是各该军团的三个营。弓智手和射石手夹在行列中间,骑兵封闭着两侧翼。双方军队这样布列,说明彼此都仍旧保持着自己原来的打算:凯撒方面除非被迫,决不出去战斗;对方是一心只想阻挠凯撒修筑工事。双方就这样拖延着,一直把阵列保持到夕阳西下,然后再回转各自的营寨。次日,凯撒准备把已经开始的工事完成,敌军则在西科里斯河上的一处渡口试探能不能渡过去。凯撒注意到了这一点,派出一支轻装的日耳曼部队和部分骑兵渡过河去,沿岸密密布置下哨岗。

    84.最后,他们由于一切供应都被封锁住了,牲口已经一连四天没有草袜,也没有饮水、木柴和粮食。他们请求举行谈判,而且要求,如有可能,最好能在远离士兵的地方举行。凯撒拒绝了这个请求,但答应他们,如果他们愿意在大庭广众中谈判,可以同意他们。阿弗拉尼乌斯的儿子被作为人质,交给了凯撒。他们来到凯撒指定的地方。在双方军队倾听下,阿弗拉尼乌斯申诉说:凯撒不应该因为他和他部下的士兵希望对自己的统帅庞培保持忠诚,就感到愤怒。但现在他们对庞培已经尽到了自己的责任,因为样样东西都缺乏,也已经使他们吃了足够的苦头。现在就象野兽那样被围困着,没办法取水,没办法走动,身体上的痛苦和精神上的耻辱,都已经忍受不下去,因而,他承认已经失败。他恳切要求,如果还有哀们余地的话,请本要认为非给他们最广厉的惩罚不可。他这些话是用极谦恭、极低声下气的口吻说的。

    85.对这番话,凯撒回答说:在所有的人中,再没有谁比他阿弗拉尼乌斯更不配来扮演诉苦和乞怜的角色。其余的每一个人,都已经尽到了自己的责任。他凯撒自己,那怕是在很有利的条件下,地形有利、时间有利,但还是不愿意出击,为的是使一切有助于和平的事情,不受到丝毫损害。他的士兵,尽管自己受到侵害,自己的战友也被杀害,但他们仍旧保全和掩护那些处在他们掌握中的人。那怕就是阿弗拉尼乌斯自己军队中的士兵,也自动出来设法谋求和平,因为他们认为这是一件关系到自己所有战友的性命的事情。这样,全军上下一致都倾向于宽容,就只他们的统帅提到和平就变色,他们完全不顾谈判和休战的公认准则,惨无人道地杀害了没有经验、上了谈判当的人。因而,他们也遭到了常常落到最顽固、最傲慢的人头上的命运,被迫重新回过头来苦苦哀求不久前自己还在鄙夷不屑的东西。现在,他既不想利用他们的屈辱,也不想利用自己的一时走运,来要求可以用于增加自己实力的东西,但他要求他们把为要对付他而蓄养了多少年的这些军队解散掉。他们派到西班牙来六个军团,又在当地征召了第七个他们准备了这么多、这么强大的一支舰队。他们派来了极有军事经验的将领。凡此种种,也不外是为了这个目的。它们既不是为了要镇抚西班牙,也不是为了要在行省有什么用处,西班牙已经和平了这么长的时期,并不需要增派援军来。所有这些都是自始就针对着他来的。为了对付他凯撒,还创设了一种新的政治特权,一个人可以一面站在首都城门口坐镇全局,又可以一面自身不到却遥控两个最骁勇善战的行省这么多年;为了对付他凯撒,还篡改了官吏任职升迁次序,一反过去的常例,派到行省去的不再是已经任满的司法官和执政官,而是他们少数人所赞同和推选的人;为了对付他凯撒,一些在已往战争中有成就的人被召出来统带军队,就连年近也不足成为推辞的理由可也只有在他一个人身上,才连一向都给带兵统帅的权利都取消了,否则对于一个建立了功勋的人,总是让他们带着某些荣誉回来、或者至少也不让他们受到耻辱地回来,然后解散军队的。他过去一直耐心地忍受着这一切,今后还将忍受下去。他也不想把他们的军队夺过来,自己保留着,虽说这样做并不困难。他只希望别人不再能保留着它,用来对付他本人。因而,正象他已经说过的那样,只要他们离开行省,解散他们的军队,只要做到这一点,他一个人也不愿伤害,这就是他接受和议的唯一的、而且是最后的条件。

    86.对阿弗拉尼乌斯的士兵来说,本来他们都在期待着罪有应得的灾难,现在却用不着请求就开恩答应他们解散。真是使他们极感满意和高兴的事情,单从他们的表情上就可以看出来。当讨论到解散的地点和时间,有所争论时,站在壁垒上的这些人,全都开始用喊声和手势来表示要求立刻解散,因为如果往后拖到其他别的时候,即令给予随便什么保证,也都是不一定可靠的。双方经过短短一番争论之后,决定凡在西班牙有家室或有产业的人,立刻遣散,其余的则在到瓦鲁斯河边时再说。凯撒答应保证不让任何人受侵害,不强迫任何不愿意的人宣誓入伍。

    87.凯撒允许从当时起供应他们粮食,一直到他们至瓦鲁斯河为止。他还答应他们,任何人在战斗中失落的东西,只要现在在他自己的士兵手中,一律归还原主,由他公平折价以后,给那士兵金钱,作为对这些东西的补偿。后来,遇到阿弗拉尼乌斯的士兵自伙里发生争执时,都自动来提交给凯撒要求我决。佩特雷尤斯和阿弗拉尼乌斯的军团士兵在向他们两人索取切给时,还几乎激起暴动来,这两人说该发银的日子还没有到,要求凯撒调查处理这件事情。凯撒作出的决定,双方都感到满意。他们军中大约有三分之一的人在两天里解散。凯撒命令他自己的两个军团走在他们前面,其余的部队跟在他们后面,扎营时也彼此不要相距太远。这事交给他的一个副将昆图斯·享菲乌斯·卡勒努斯负责执行。按照他的命令,这支军队的其余部分,从西班牙开到瓦鲁斯河时,就在那边解散。

    卷二

    1.当这些事情在西班牙进行时,留下主持攻打马西利亚的副将盖尤斯·特雷波尼乌斯从两处地方着手建造土堤、盾车和塔楼,朝着该城推进。一处很靠近港口和码头;另一处靠近从高卢和西班牙来的道路所进入的、面向着连接罗达努斯河的那片大海的城门。马西利亚城几乎有四分之三濒临大海,只有余下的四分之一,才有通路和陆地相连。就在余下的这一段里,即通向卫城的这一边,也被天然的地势和一条极深的山谷很好的屏障着,非经过长期而又艰难的围攻不可。为要完成这项工程,盖尤斯·特雷波尼乌斯从全行省召来大量牲口和大批人手,并命令运来树枝和木材。这些东西准备好之后,他筑起了一堵八十尺高的围壁。

    2.但在城里,从很早起就积聚下大批各式各样战争需要的物资,而且作战机械的数目如此之多,它们的力量又如此之大,任何树枝编织起来的盾车都挡不住它们。还加有用极大的弩机发射的头上包铁的十二尺长的木杠,它们在穿透四重树篱后还能再插进地里。因而,用盾车接成的过道,必须用一尺粗的木材联结在一起,覆盖在顶上,筑工事用的材料,就在它下面一个人一个人的向前传过去。走在它前面的是一个用来掩护着平整地面的六十尺长的大圆盾,也是用各种坚韧的木材制成的,上面覆盖的是各种可以抵御敌人投来的火种和石块的东西。但这项工程浩大、城墙和塔楼的高峻、以及作战机械的数目之多,拖延着所有工程的进展。此外,阿尔比基人还经常从城里突围出来攻击,把火种投到我军的围壁和塔楼上来。这些都被我军很容易地挡了回去,而且使突围出击的人受到很大的损失,把他们驱回到镇里去。

    3.在同时,卢基乌斯·那西狄乌斯受到庞培的差遣,带着一支十六条船的舰队——其中少数有铜嘴——赶来支援多弥提乌斯和马西利亚人。他趁库里奥预料不及、忽于防御的时候,穿过西西里海峡,把他的船只驶进墨萨那港。当该地的领袖们和元老们被这突如其来的惊吓弄得四散奔逃时,他从他们的码头上掠去一艘船,把它加进其余的船只中去之后,转身直向马西利亚航去。他先遣一艘小船偷偷去通知多弥提乌斯和马西利亚人说他到了,并竭力鼓励他们在得到他增援的情况下,再跟布鲁图的舰队作战。

    4.遭到上次的失利后,马西利亚人从船坞里弄来差不多同样数目的旧船,加以修理,并且费尽心机装备好它们。至于桨手和航工,他们本来就有很多。他们又在这些船之外再加上一些渔船,船上都加装了盖板,以便保护桨手不受投掷武器伤害。这些船都给装上弓努手和作战机械。把舰队这样装备齐全后,在所有老人、主妇和姑娘们一片哀求他们挽救自己垂危的国家的呼号痛哭声激励下,他们怀着不亚于前次战斗时的精力和信心,登上船只。因为根据人类天性所共有的弱点来说,陌生而又新奇的事情,往往会激起人们极大的信心或强烈的恐怖,这次就是这样,卢基乌斯·那西狄乌斯的到来,使全城充满极大的希望和期待。一遇上顺风,他们就驶出港口,航向那西狄乌斯所在的陶罗亚斯,这是属于马西利亚人的一个要塞,就在那边整顿他们的舰只,再次鼓舞士气,准备战斗,并互相交换了行动计划。右翼被交给了马西利亚人,左翼交给了那西狄乌斯。

    5.布鲁图带着一支数目已经增加了的舰队,也赶到那里。因为除了凯撒在阿雷拉特建造的那些船以外,从马西利亚人那边夺得来的六条船,他在前些日子中已经加以修整,并且装备了各种必需品,加进这支舰队。他鼓励了他的部下一番,叫他们蔑视这些敌人,说他们就在完整无恙的时候也被自己击败了,现在是败兵,更不在话下。然后,他们满怀信心,精力充沛地上去对付敌人。从德雷波尼乌斯的营寨里以及从所有比较高的地方,都很容易望见城里,可以看到留在城里的全部青年、以及所有年龄较大的人,都和他们的妻子儿女们一起,在公共场所、在望塔或城墙上,伸出手向着上苍,或者赶到不朽之神之庙宇里去,匍伏在他们的神像前,向他们祈求胜利。他们中间没有一个人不认为自己的全部命运都取决于这一天的战斗结果。因为凡是他们名门出身的青年、指名征召或恳请来的所有老老少少重要人物,统统都在船上,如果有什么厄运降落到这班人头上,他们看到,就连再作一次尝试的本钱都不剩了。反之,如果他们得胜,不管靠自己本城的力量还是外来的力量,他们相信,这座城市就可以保全下去。

    6.战斗一交上手,马西利亚人不但在勇敢方面表现得无懈可击,而且还牢记不久以前刚刚从自己的同胞那边听到过的告诫,战斗起来,心里念念不忘的就是;除了这次以外再没其他机会可以一试自己的命运了。他们还认为,在战斗中冒生命危险的人的命运,比起其他公民的命运来,只不过是先走了不大的一步,一旦城市陷落,其余的人也都会跟着遭到同样的战争劫难的。当我们的舰只渐渐地彼此距离拉开时,舵工的高超技术和船只的灵活操纵,便有了一显身手的机会,每逢我舰抓紧时机,伸出铁钩去搭住他们的船只时,他们就会从四面八方赶来援救那些陷入困境的人。而且有阿尔比基人和他们联合在一起,这些人并不怕和我军短兵接战,论勇敢也不比我们相差很多。同时,从小船上发出的大量矢石,乘我军没法兼顾而且手忙脚乱的时候,伤害了不少人。对方有两艘三列桨舰,忽然一眼看到德基穆斯·布鲁图乘坐的舰只——这从它的旗号上很容易识别出来——就从两对面朝着它直冲过去。但布鲁图一发现它们的意图,立刻以极快的速度问避开去,真正只抢先了一步。这两艘敌人的舰只由于双方都是极尽全力猛冲过来的,彼此互相碰撞得非常厉害,以至都受到了极其严重的损害,其中一艘由于像状船头折断,全身碎裂。看到这事,布鲁图的舰队中离开那边最近的几艘舰只,赶上前去,趁它们动弹不得时,把两艘船都击沉。

    7.但那西狄乌斯的舰只毫不中用,很快就从战斗中撤走。无论是祖国的处境,还是亲友的告诫,都不能促使他们去冒绝大的危险。因而在他的那支舰队中,一只船都没有损失。在马西利亚人的舰队中,沉掉了五条船,被俘了四条,还有一条和那西狄乌斯的舰队一起逃走。它们都赶向近西班牙去了。其余的舰只中有一条船被追回马西利亚去报告这个消息。当它靠近那城市时,所有人都大批涌出来打听消息,一知道情况,他们都如此悲痛,好象城市就在这片刻之间被敌人占领了似的。虽然如此,马西利亚人仍旧毫不松懈地作保卫城市的其他必要准备。

    8.主持右面那部分工事的军团士兵,从敌人的不断出击上看到,如果能在城墙下面用砖头造起一座塔楼来,作为防守的碉堡和掩护所,是大有助益的。他们最初把它造得又低又小,用以防御突然而来的攻击。他们要后退时就向那边退去,如果有优势兵力来进攻,就在里面守御,并且也从它这里出发击退和追逐敌人。它的每一边都是三十罗尺长,墙厚为五罗尺。但在后来,正象经验是人们一切行为的导师那样,在动了一番脑筋之后,他们发现如果把它们加高到一般的塔楼那样高,就会有极大的用处。它就按照下列的方式造起来。

    9.当这种塔楼造到可以铺设楼板的高度时,他们把楼板砌到墙壁上去,把架设楼板的搁棚的顶端。都隐嵌在外墙内部,不让它们伸出在外面,以免敌人纵火烧它。他们又尽盾车和行障所能掩护的高度,在楼板上砌上小砖,再在它上面,跑外墙不远的地方架上两根交叉的木梁,作为屋顶覆盖这座塔楼的木盖顶,就架在它们上面。木梁上直交地放上搁栅,用机子把它们钉牢。他们把这种搁栅做得略许长一些,稍稍伸出外墙,以便可以在它们上面挂上一幅遮帘,供他们在建筑这一层木盖顶下面的墙壁时,抵挡和掩蔽外来的攻击之用。在这层木盖顶上面,他们又铺上砖头和泥灰,以免敌人纵火损坏它们,再在它上面放上一层遮垫,防止敌人投射过来的武器穿透楼板,或者从跨机投掷过来的石头,会打坏砖头。他们还做了三条用船缆绳编起的遮帘,长度齐着塔墙,阔四罗尺。正好挂在塔楼面向敌人的三面,就系在搁栅伸出来的那一部分。这正是他们从在别的地方得到的经验中学来的唯一可以防御矛枪或机械射穿的办法。但当这一部分已经完成的塔楼已有了掩盖和防护的工事,不再担心敌人投掷武器的攻击时,他们又把行障移到别的工程上去。他们开始用在第一层楼面上的杠杆,把塔楼的整个屋顶慢慢抬高起来,一直把它升到遮帘所许可的高度。他们又躲藏在这层掩蔽物下面,再用砖头砌造墙壁,并且再利用杠杆腾出一块地方,进行新的工程。当他们认为已经可以铺一层楼板时,再把搁栅的尾端仍象第一层那样隐蔽在外墙里。从这一层上,他们再又升起更高一层的楼板和遮帘。就用同样方式,安全地。毫无伤害和危险地,把它一直造到六层高,而且在砖墙上他们认为适于利用弩机的地方,留下射箭的洞眼。

    10.当他们自信已经能在塔楼里保卫它周围的所有工事时,他们决定用两罗尺粗的木材建造一座盖棚,长六十罗尺,从塔楼一直伸到敌人的碉楼和城墙。盖棚的形式如下:首先用两根一样长的大梁放在地上,彼此相距四罗尺,在它们上面竖起五罗尺高的一些支柱。这些支柱,他们再用略略倾斜的椽木把它们联结在一起。架设盖棚屋顶的那一层木板就是搁在这些樟木上面的。椽木上铺设的是两罗尺粗细的木材,用铁搭和钉子钉牢。在盖棚的屋顶外层和大梁的外沿,他们给钉上四指见方的木屋顶板,用以固定铺到尾顶上去的砖头。当它这样倾斜着并且行次整齐地搭好,梁本上也加上了椽木以后,盖棚顶上再铺上瓦和泥灰,这样就不怕城墙上可能投下来的火种。砖头上也加盖了兽皮,免得利用水管冲向它们的水流,会潮解这些砖头。兽皮上又再盖上一层编席,免得它们被火或石块毁坏。整个工程在盾车的掩护之下,一直干到塔楼完全完成才止,然后在趁乘敌人还没注意到它的时候,在它下面垫下滚木——一种船上用的设备——把它一直推到敌人的碉楼,和这建筑物相接。

    11.市镇中的人被这突如其来的祸事吓了一跳,他们用杠杆把尽可能弄到的大石块搬上去,再把它们从城墙上笔直地滚落下来,打向我们的盖棚,但由于木梁的材料结实,经受住了这种冲击,盖棚的倾斜屋顶,使落在它上面的所有东西都滚下去。看到这个,他们又改变办法,把装着松木和树脂的木桶点上火,从城墙上把它滚向盖棚。但是,它们一落上去时,马上就滚向一边,从瓦上落下去,被工事中伸出来的长竿和叉子从那边拉走。同时,一些士兵在盖棚掩蔽之下,正在用橇棒把敌人碉楼最下面的铺垫墙基的石块—一挖出来。盖棚有我军士兵从砖塔中用矢石和空机掩护,敌人被从城墙上和碉楼中逐走,不让他们有自由防守城墙的机会。终于,邻近盖棚的那座碉楼,因为墙基下的许多石块被撬去,它们的一部分突然倒塌下来,其余部分也跟着倾斜过去。敌人深恐城市遭到劫掠。纷纷不带武器,空着手涌出城来,头上还束着球带,向副将们和军队伸出双手恳求。

    12.这件新奇的事情一发生,所有的作战行动都停止下来。士兵们纷纷离开战斗,很关心地赶来打听和了解情况。当敌人来到副将和士兵们面前时,一齐都跪到在他们脚下,要求他们等到凯撒来了再说。这些人说:他们看到自己的城市已经被攻下,围困的工事已经完成,他们的碉楼也已经被挖塌,因而放弃了抵抗,如果凯撒一到,他们还不唯命是从,只管马上就劫掠他们好了,再没什么会出来阻拦的。他们指出;如果那碉楼完全倒塌,就没什么东西可以阻挡我军的士兵,只能听任他们涌进城市去抢劫,把城市毁灭了。他们都是些很有学问的人,现在极为沉痛、极为伤心地说着这样一些、以及与此类似的话。

    13.副将们被这些事情感动了,把士兵们撤出工事,停止了围攻,只在工事上留下一些哨岗。一项出于怜悯心的停战协定订立了之后,大家都盼望着凯撒到来。城上也好,我军士兵也好,都不再发射一矢一矛,大家都放松了警惕和专注,好象大功已经告成了。因为凯撒曾经在信件上切切叮嘱过特雷博尼乌斯,要他千万避免让这个城市被武力硬攻下来,免得部队因为痛恨他们的叛变、又因为自己受到过他们的蔑视、再加上长期来的辛劳,真象过去一直威胁着的那样,动手把城里的青年人统统杀光。特雷博尼乌斯费了很大的劲才阻止他们冲进城内,他们对此都怏怏不乐,认为正是由于他的阻挡,他们才没攻占这座城市。

    14.但敌人丝毫不讲信用,单只在窥伺施展欺诈和诡计的时间和机会。在抱过几天之后,我军已经松懈下来,不再心神专注,他们趁我军中午有些人散开,有些人经过长期劳动后在工事上一心休息,所有的武器都搁置在一边,而且盖了起来的时候,突然从城门里冲出来,乘着强大的顺风,纵火把我军的工事烧起来。大风把烈火带到各处,一时之间几乎战壁、行障、后车、塔楼和作战机械都卷了进去,在我们还没看清楚怎样会着火以前就烧了起来。我军被突如其来的祸事吓了一跳,赶紧拿起随手能找到的武器,别的人也都从营里奔出来。他们向敌人展开攻击。但城墙上射下来的箭和努机,阻止他们追击退走的敌人。敌人都退到城墙下面,在那边,他们放心大胆地把盖棚和砖塔纵火烧起来。这样,由于敌人的背信和风势的迅猛,好几个月的劳动都毁于顷刻之间。次日,马西利亚人又再作了一次同样的尝试,他们乘一场同样的大风,以更大的信心再次冲出来奔向另一处塔楼和战墙,纵火的规模也更大。但我军士兵上次虽然一时完全放松了斗志,现在却已经有前一天发生的事故给他们敲了警钟,作好了一切防御的准备,因而在杀掉了他们许多人之后,迫使其余的人一无所成地退回城里去。

    15.在士兵们热情更加高涨的情况下,特雷博尼乌斯着手收拾和修缮损失了的那些东西。因为士兵们看到自己辛辛苦苦做的工作和准备,竟落到这样一个不幸的后果,停战协议被背信弃义地破坏了,他们的英勇变成人家取笑的话柄,感到非常痛心。但这里已经再没剩下一个地方能让他们取得建筑壁垒用的木材,因为远近四方,凡是在马西利亚领土里的所有树木,都已被砍倒运走了。他们着手造一种过去从没听到过的新式的壁垒,它用两堵六罗尺厚的砖墙构成,这些墙上面铺了木制的盖板,宽度大致和以前木材、泥土之类材料堆起来的壁垒相仿。在两堵墙之间的空隙地方。或木材不够坚实、看来有需要的地方,都在中间加上木桩,并支上交叉的撑木,以加强这工事。所有加盖板的地方都铺上一层树篱,树篱上再又抹上一层泥灰。士兵们头顶上有盖板,左右两面有砖墙掩护,正面还有行障挡着,这项建筑需要用的无论什么材料,都可以毫无危险地运进去。这工程很快就完成了,他们长期辛苦劳动遇到的破坏,很快就由这些士兵的机灵和勇毅作好了补偿。在墙上他们认为适当的地方,还为出击留下了门。

    16.当敌人看到他们希望非经过很长一段时间不能重建起来的工事,只经过短短几天的工作和辛劳,就这样彻底修复了时,他们知道再没玩弄狡计和突围出击的机会,也再没办法可以用矢矛来伤害士兵或纵火破坏工事。而且他们从已经完成的工事上可以看出,他们的整个城市,只要陆路能接近的地方,都有可能照式照样被壁垒和塔楼围住,这样一来,他们就无法再站立在自己的工事上从事防御,因为我军把围困工事差不多就筑在他们的城墙顶上,矢石几乎可以用手发射出去,而他们自己寄以很大希望的作战机械则因为距离太近,完全失去作用,就算他们有机会能在城墙上和塔楼里跟我军机会均等地作战,他们也知道,在勇敢上,他们是万不能和我军相抗衡的。他们就和前次那样,提出同样的投降条件。

    17.动乱刚一开始,马尔库斯·瓦罗在远西班牙听到意大利发生的情况,对庞培的能否获胜颇为怀疑,在谈到凯撒时,常常用极为友好的口气。据他说,虽然他和格涅尤斯·庞培有约在先,受命担任了他的副将,使他不得不效忠于庞培,但他和凯撒之间仍然同样存在着亲密的关系,他不是不知道一个身受信托的副将的职责是什么,也不是不了解自己有多大的实力,以及整个行省对凯撒是如何的爱戴。他在一次次谈话中,经常吐露这些意见,不偏向任何一方。但后来,当他知道凯撒已被拖住在马西利亚城下,脱身不得;佩特雷尤斯的部队和阿弗拉尼玛斯的军队已经会师,而且已经来了大批同盟军增援他们,还希望能有更多的要来,正在盼望着;又听到整个近西班牙行省都团结得很好;后来还听到凯撒的军队在伊莱尔达城下发生了粮荒。阿弗拉尼乌斯写信给他,夸张地、添枝加叶地把这些事情告诉了他,他也就随着时运的转移,见机行事。

    18.他在全行省着手征兵,在征满了两个军团后,又在它们上面加上三十个营的同盟军。他收集起大批粮食,一部分送去给马西利亚人,同样送一部分去给阿弗拉尼乌斯和佩特雷尤斯。他命令伽德斯的居民建造十艘战舰,此外还安排在希斯帕利斯另外再建造一些。他又把赫丘利庙中的金银财宝统统搬出来,迁到伽德斯城里去,还从行省中派六个营去守卫它们,并把保卫伽德斯的责任交给了罗马骑士盖尤斯·伽洛尼乌斯,这个人是多弥提乌斯的一个朋友,由多弥提乌斯派到那边去代表自己收受一处遗产的。他把所有的公私武器都贮放在伽洛尼乌斯家里。瓦罗本人猛烈抨击凯撒,常常在讲话中宣称凯撒已经打了几次败仗,已经有许多士兵从他手下投奔到阿弗拉尼乌斯那边去。他说,他这些消息是由可靠的使者从可靠方面得来的。他用这种手段迫使心惊胆战的罗马公民答应付给他现款十九万塞斯特克、银子两万磅和小枣十二万麦斗,充作公用。他又对一些被认为和凯撒有友谊的国家课上很重的赋税,而且在它们那边驻上部队。他还把一些私人判了罪,把那些无论吐露过片言只语还是发表过长篇大论,表示对国家不满的人的财产,都没收充公。他迫使整个行省对他和庞培作了效忠宣誓。当他得知在近西班牙发生的情况时,便着手准备战争。他的作战计划是这样的:他准备带着他的两个军团到伽德斯去,把所有的船只和粮食也都贮藏到那边去,因为他已经了解到整个行省都偏袒着凯撒的这一方,他认为,在一个岛上,如果粮食和船只都有了准备,就很容易把战事拖延下去。虽说有许许多多紧迫的事情在召唤凯撒回意大利去,但他还是决定不在两西班牙留下任何战火的余烬,因为他知道庞培曾经在近西班牙广施恩德,并且有许多门客故旧在那边。

    19.因而,在派两个军团由人民保民官昆图斯·卡西乌斯统率着进入远西班牙之后.他自己也带着六百名骑兵,以急行军赶去,逐事先发布一项通告,要所有各邦的官员和首领都在指定的一天赶到科尔杜巴来会见他。这项通告传遍整个行省,没有一个邦不在指定的那夭把他们的长老派一部分到科尔让巴来,也没有一个稍有声望的罗马公民不在那天赶来的。就在同一天,科尔杜巴的罗马侨民组织自动把他们的城门关上抵制瓦罗,还在城墙上和碉楼里布置了哨岗,并把适逢其时到达那边的叫做“殖民地军”的两个营截留在他们那边,守卫这个市镇。大约就在同时,全行省各邦中最最强大的卡尔穆人,也自动起来驱走瓦罗派去驻扎在他们城里的砦堡里的三个营驻军,关起城门来抵抗他们。

    20.为此,瓦罗更加急促地赶路,以便带着他的两个军团尽早赶到伽德斯,免得万一行军或渡海到岛上去的途程被截断。但他发现行省对凯撒的爱戴极为热忱,以至在出发行军还没多少路时就接到从伽德斯来的信,说:伽德斯的长老们一听到凯撒的公告;就和驻防在那边的那几个营的指挥官们一致同意把伽洛尼马斯驱逐出城,把这座市镇和那个岛屿保留下来给凯撒。这计划一经确定后,他们通知伽洛尼马斯,叫他趁自己还能安然脱身的时候自动离开伽德斯,如果他不走,他们即将采取对策。伽洛尼乌斯因为害怕,已经离开伽德斯镇。得知了此事,瓦罗的两个军团之一,即叫做“本地军团”的那个,从瓦罗营中拔帜倒戈而去,瓦罗只能站在一旁茫然地望着。他们撤退到希斯帕利斯,就驻扎在它的市场和柱廊一带,也不为非作歹。住在那地区的罗马公民对这件事很为赞赏,每个人都竭诚地拉他们到自己家里去招待。正当瓦罗因为这些事情感到吃惊,传下话去说他要改变行程,转到意大利加去时,他得到自己人的报告说,那边的城门也对他关上了。这时,的确所有的路都已经被堵死,他就派人去告诉凯撒,说他愿意交出在他统率下的军团。凯撒派塞克斯图斯·凯撒到他那边去,命令瓦罗把军队移交给他。交出了军队之后,瓦罗跑到科尔杜巴来见凯撒,在非常诚实地把公共帐目当面交代给凯撒以后,又把在自己手头的所有钱财都交给他,还交代了自己有多少粮食和船只,在什么地方。

    21.凯撒在科尔杜巴召集了一次会议,他向各方面—一表示了谢意。感谢罗马公民们,为的是他们尽心竭力使这个城市保留在他手里;感谢西班牙人,为的是他们驱走了驻军;感谢伽德斯人,为的是他们挫败了他敌人的计划,维持了自己的自由;感谢到那边去担任守卫的军团指挥官和百夫长,为的是由于他们的英勇,使林德斯人更坚决地实行自己的计划。他免除了罗马公民答应给瓦罗充作公用的摊派,他把财物还给了那些据他知道因为讲话太自由了些,招来充公之祸的人。在把酬赏发给了一些城镇的公私双方之后,他又使其余的人对未来都充满美好的期望。他在科尔杜巴停了两天之后。出发到伽德斯去。他命令把从赫丘利神庙中拿来、现贮放在私人家中的钱财和纪念品,都仍送回到庙里去。他还任命星图斯 ·卡西乌斯主管这个行省,并交给他四个军团。他自已带着马尔库斯·瓦罗所建造的那些船只,再加上伽德斯人奉瓦罗的命令建造的那些,在几天之后到达塔拉科。差不多近西班牙行省各地方来的所有使者都已集中在那边等候凯撒来临。在以同样的方式公开或私下颁给了一些国家奖赏之后,他离开那边,从陆路赶向纳波,再从该地赶向马西利亚。在那边,他得知已经通过了一条有关设置独裁官的法案,他被司法官马尔库斯·勒比杜斯提名为独裁官。

    22.马西利亚人被各式各样的灾难弄得精疲力尽。粮食已经变得极端缺乏,又加在海上两次被击败,屡次的突围出击也都被挫败,加之还得和一场极其严重的瘟疫作斗争,这是由于长期的围困和改变了一向所习惯的食物引起来的,因为他们现在全靠过去积存下来、储藏在国家仓库中以备象目前这种意外之需的陈小米和烂大麦过日子。他们的碉楼被摧毁了,他们的一大部分城墙也已倒塌,无论从毗邻的行省还是军队,都不可能再有援助来,因为他们已经听到这些都已落人凯撒手中,他们决定真的投降,不再弄虚作假。但在几天以前,当卢基乌斯,多弥提乌斯一发现马西利亚人的意图时,就已经设法准备下三条船,其中两条给自己的僚属朋友,自己登上第三条,在狂风恶浪之中脱出海去。奉了布鲁图之命每天经常在港口担任警戒的一些舰只,看到了他们,立刻起锚追去,其中多弥提乌斯自己乘坐的那一条船一直竭力向前逃走,在风力的帮助下逃出视线之外。其它两条船看到我军的船只集中着赶来,十分害怕,重又驶回港里。马西利亚人按照接到的命令,把他们的武器和机械搬出城,把他们的船只进出港口和码头,还把他们财库里的钱也交了出来。当这些事情处理完毕时,凯撒饶恕了这个城市,主要还是看在它的声名和古老面上,而不是因为它还有其他什么对得起人的地方,可以到他面前来乞恩。他留下两个军团在那边作为驻军,把其余的部队都遣回意大利,自己出发赶到罗马去。

    23.大约在同一时候,当盖尤斯·库里奥从西西里航行到阿非利加去的时候,一开始就轻视普布利乌斯·阿提乌斯·瓦鲁斯的兵力,只从凯撒交给他的四个军团中带去两个军团和五百名骑兵,在航行途中度过两天三夜之后,抵达一个叫做安奎拉里亚的地方。这地方离开克卢佩亚约二十二罗里,有一个在夏天还算不错的停泊处,被两条地岬环抱在中间。小卢基乌斯·凯撒正带着十条船在靠近克卢佩亚的地方等待着他,这些船是海盗战争之后一直搁置在乌提卡附近的,普布利乌斯·阿提乌斯为了这次战争,特地修理了它们。当小卢基乌斯·凯撒一看到我军的船舰数目很多时,十分吃惊,就从大海面上逃口去,把他的一艘装甲板的三列桨舰搁置在附近的海滩上,丢下不管,自己从陆路逃到哈德鲁墨图姆去。这个城市有盖尤斯·孔西狄乌斯·隆古斯带着一个军团驻军在防守着。小卢基乌斯·凯撒的其他船只在他逃走后,也退回到哈德鲁墨图姆。财务官马尔基乌斯·卢字斯统率着从西西里带出来为商船护航的十二条船追赶他,看到剩在岸上的那只船,用一根缆绳把它拖下来,带着他的舰队一起回到库里奥处。

    24.库里奥派马尔基乌斯带着舰队先到乌提卡,自己也带着军队向那边赶去,走了两天,抵达巴格拉达河。他把副将盖尤斯·卡尼尼乌斯·雷比卢斯和那两个军团留在该地后,自己带着骑兵一马当先,去考察科涅利乌斯的旧营,因为它被认为是一处极适合扎营的地方。这是一条笔直伸到海里的山脊,两面都又陡急、又崎岖,但面对乌提卡那一面的斜坡却比较平缓。若一直线走,它离开乌提卡不过三罗里多一点路,但在这条路上有一条溪涧,海水循着它的河道涌进来很长一段路,使这地方成为一片汪洋的泽地,如果一个人要绕开它,就得兜一个六罗里路的大圈子,才能到达市镇。

    25.考察了这些地方后,库里奥还观看了一下瓦鲁斯的营寨,它联结着城墙和市镇,正靠近叫做贝利加门的城门口,由当地的天然地势很好地捍卫着,一面是那乌提卡市镇自身,另一面是坐落在市镇前面的一座剧场,这建筑物的基层很大,把通向那座营寨去的道路压缩得很难走,很狭窄。同时,他还看到路上到处拥挤不堪,充满了用车辆载运和牲口驮东西的人,这些都是因为这场突如其来的变故。从四乡搬到城里来的。他派骑兵赶去掳掠这些东西作为战利品。在这同时,瓦鲁斯为了保护这些财物,也从城里派出来六百名努米底亚骑兵和四百名步兵。这些部队是尤巴国玉在几天以前作为援军派到乌提卡来的。尤巴和庞培之间有上一辈的交谊,他和库里奥却有仇怨;因为在库里奥担任人民保民官时,曾建议过一条要没收他王国的法律。骑兵一交上手时,那些努米底亚人连我们的第一次冲击都没经受得住,在杀死了大约一百二十人之后,其余的都退回到靠近城市的营寨里去。同时,库里奥在他的军舰一到之后,就命令向停泊在乌提卡港口的大约二百条商船发出通告,说:他要把不马上启航到科涅利乌斯旧营去的船只,统统当作敌人处理。这项通告一发出,他们都立即起锚离开乌提卡,航向命令指定他们去的地方。这一下给军队提供了极充裕的各式各样供应。

    26.在这次行动以后,库里奥返回他在巴格拉达河上的营寨,全军热烈欢呼,奉献给他“英佩拉托”的称号。次日,他率领军队赶向乌提卡,靠近该城扎下营。在营寨的工事还没完成以前,正在担任哨岗的骑兵送信来给他说:一大批由尤巴国王派来的步骑援军,正在向乌提卡前进。同时,一大股烟尘已经能辨认出来。一会儿,这支部队的前锋就可以望到。库里奥因为这事情来得很意外,感到吃惊,就派骑兵前去挡住他们的当头冲击,并拖住他们。他自己立刻把军团士兵从工事上召回来,列下战阵。骑兵战斗刚一开始,军团还没来得及完全布列开来站定脚跟时,国王的全部援军已经手忙脚乱,惊惶不已,加上他们一路行军赶来时本来没有部伍,也没存戒惧之心,随即被击溃逃散,虽说全部骑兵很快就沿着海岸逃进城里,几乎没有什么损失,步兵中却有大批人被杀死。

    27.次日晚上,两个马尔西人百夫长,带着属于那个连的二十二个人,逃出库里奥的营寨,投奔到阿提乌斯·瓦鲁斯那边去,他们告诉他的,不知是自己心里的真话还是一心想迎合瓦鲁斯而编造的——因为我们往往自己在盼望什么,就很乐意相信什么,自己觉得怎样,就常常希望别人也感到这样——总之,他们向他保证说,全军都和库里奥不一条心,如果能够把军队带到彼此面对面望得见的地方,让他们有交谈的机会,一定会起极大的作用。受了他们这话的引诱,瓦鲁斯就在第二天一早把他的军团领出营寨,库里奥也这样做,双方都把部队布下阵势,中间只隔一条不大的山谷。

    28.在瓦鲁斯军中,有一个塞克斯提乌斯·昆提利乌斯·瓦鲁斯,前面已经提到他曾经在科菲尼乌姆经过。被凯撒打发离去后,他就来到阿非利加。库里奥带过海去的军团,正是凯撒前个时期从科菲尼乌姆接收过来的,除了只换去少数几个百夫长之外,甚至原来的连队编制都没有更动。昆提利乌斯就借这点可以接近交谈的因头,开始在库里奥的军队四周奔走,请求士兵们不要把他们当初对多弥提乌斯和当时他自己担任财务官时作的效忠宣誓,抛在脑后,不要拿武器来对付在前次围攻中同过命运。共过患难的人,也不要为那些曾经辱骂过自己是叛徒的人卖命。此外也还加了几句激起他们贪图犒赏的话,告诉他们,如果他们能跟随阿提乌斯和他走,可以期望从他的慷慨大度中得到什么样的酬奖。当他讲了这些话时,库里奥的军队还是全都不动声色。这样,双方就都把自己的军队领了回去。

    29.但在库里奥的军营中,大家心里都充满极大的恐怖。这种恐怖,又因为人们七嘴八舌各种各样的讲法而迅速增涨。每个人都凭空臆想了一番情景,再把自己所怀的恐惧不安加到听见别人说的话上面去。当故事从第一个说得凿凿有据的人传布到许多人中间去时,每个人又再传给别的一些人,这件事最后终于似乎有许多人都可以说得凿凿有据了。他们说,这是一场内战,他们又都是属于有权可以想做什么就做什么,想跟谁走就跟谁走的人。这几个军团本来不久以前还是属于敌人的军团,经常颁给酬赏的习惯,甚至连凯撒的慷慨都被看得不足为奇了。那些地方城镇也都各自投靠一方,人们同样既有从马尔西来的,也有从佩利尼来的,前夜那些叛逃的人,就是这样一些人。在营帐中,士兵中有些人建议采取激烈的措施,有些兵士说一些暧昧不明的话,人家也断章取义地理解着,有的报告甚至就是一些想被人家看起来比同伙更为激烈的人捏造的。

    30.为此理由,召开了一次会议。库里奥就整个局势问题开展了讨论。有些意见认为应当用尽一切办法试行进攻瓦鲁斯的营寨,因为从目前军队的士气来说,无所事事是极不相宜的。最后他们说,靠勇气在战斗中试试运气,无论如何总比因自己的部下背弃和欺骗,挨受沉重的惩罚好。还有一些人建议在三更时撤退到科涅利乌斯旧营去,这样,中间隔了一段比较长的时间,士兵们的心情就会恢复正常,同时,如果发生什么意外,要退回到西西里去,也会因有大批船只而更加安全和方便。

    31.库里奥对这两种计划都不赞成,认为一种想法太缺乏胆量,另一种办法又太过分,以至于一方面想的是极为可耻的逃走,另一方面想的是那怕地形不利,也得决战一场。他说:根据什么我们能相信被工事和地形这样完善地捍卫着的敌人营寨,可以一举突击下来呢?而且,如果我们在进攻中遭到惨重损失之后再停下手来,会得到什么样的结果呢,难道使一个统帅得到军队好感的不正是战斗的成功,使他受到军队痛恨的不正是失败吗,移动营寨,除了表示可耻的逃跑、普遍的绝望和军心离散之外,还能有什么呢?我们绝不可以使有廉耻心的人怀疑人家不很信任他们,也不可以使大胆妄为的人知道人家怕他们。因为我们的害怕会使后者更加放肆,也会使前者的热忱减少下去。他又说:至于我们听到的关于军心离散的报告,我本人相信它纯然是谣言,至少也没有大家所设想的那样厉害。即令我们能证明它完全是真的,把它隐瞒下来,只当没有这回事,总比我们用自己的仓粹行动更加证实它们好得多吧,军队的弱点不也正象身上的创伤那样,必须隐忍不露,才能不使敌人更增加希望吗,但是,居然还有人加上说,我们应该在半夜里出发,我相信,这对那些想要为非作歹的人就大开方便之门了。羞耻心和畏惧心是束缚这种大胆妄为的一种力量,而黑夜乃是最能削弱这种束缚力的。我既不是一个胆大心粗、毫无把握就决定进攻进营寨的人,也不是一个满心害怕、灰心丧气的人。因此我认为各式各样办法却不妨先试一下,我相信,我会就当前的局势,作出一个大体上和你们一致的决定的。

    32.解散会议后,他召集军士们开会。他提醒他们,凯撒在科菲尼乌姆怎样仰仗过他们的热情,怎样由于他们的爱戴和他们的力量,使大部分意大利都成为凯撒所有。他说:所有的自治城镇,一个接一个地仿效你们,学习你们的榜样,这才使凯撒把你们当做他最友好的人,而敌人则把你们当做最可恨的人,这不是全无理由的。庞培虽没在战场上失败过,但你们树立下的先例,使他预感到不妙,逃出意大利去。凯撒却因为你们的忠诚,把我这个他最亲密的朋友,以及西西里和阿非利加这两个没有它们就无法保卫首都和意大利的行省,托付给你们。然而,竟有人想使你们离开我们,如果一下子既能把我们弄得走投无路,又能使你们蒙上背信弃义的恶名,还有什么能使他们更加求之不得呢,或者,如果你们背弃了这些认为自己一切全亏你们的人,反去投奔那些认为全是你们毁了他们的人,那些正在满腔怒火的人,对你们的想法还能更糟糕些吗,难道你们真的没听到凯撒在西班牙的成就吗,两支军队被他击溃、两个领袖被他战败、两个行省被他收复了,这些胜利都是凯撒出现在敌人面前四十天之内获得的。难道那些实力完整时都无法抵抗的人,现在残破之余,反而能抵挡得住吗,再说,难道你们这些在成败未定之时就已经决定追随凯撒的人,现在胜负已成局,正当应该收取过去年劳从公的报酬时,反而会转过身去追随失败了的人吗,他们说,他们是被你们抛弃了的,被你们背叛了的。他们还提到你们的效忠宣誓,我要问:究竟是你们抛弃了卢基乌斯·多弥提乌斯,还是多弥提乌斯抛弃了你们的呢,难道他不是正当你们在准备为他赴汤蹈火时抛弃了你们的吗,难道他不是偷偷瞒了你们逃跑求生的吗?当你们被他出卖了的时候,不正是凯撒的宽容仁厚保全了你们吗,说到宜誓,当他抛弃自己的职责,放下自己的统帅大权,作为一个私人和俘虏落到别人手里去的时候,怎么还能硬要你们遵守它呢,他们向你们提出的是一项闻所未闻的新义务:要你们置现在正约束你们的誓言于不顾,反而回到已经因为统帅的投降和丧失公权而失效了的誓言上去。也许,我相信,你们是赞成凯撒的,只是对我有些不满吧?我不想叙述我已经为你们做了多少事情,直到现在,它还比我所想要做的要少,也比你们所期望的要少,但是,土兵们向来都是到战争的结局中去寻求自己辛劳的报酬的,现在它将如何结局,就你们自己也不再怀疑了。至于我的辛勤工作,或者说迄今为止在形势发展上显示出来的好运气,何妨也提一提呢,难道你们对我的把军队安全无恙、一条船不丢地运送过来,感到不满意吗,难道你们对我的刚到这里就一举击溃敌人的舰队,感到不满意吗,难道你们对我的两天之中、两度在骑兵交锋中获胜,感到不满意吗,难道你们对我的一下子从敌人的港口和隐藏的地方截获二百余条满载的船只。迫使敌人陷入无论陆路还是海路都不能再有给养来支援的困境,感到不满吗,你们难道宁肯背弃这样好的幸运、这样好的统帅,而去迷恋科菲尼乌姆的耻辱、意大利的逃窜、西班牙的投降、以及已见征兆的阿非利加战事吗,对我来说,我本来是希望人家把我叫做凯撒部下的士兵的,你们却用 “英佩拉托”这个称号来称呼我,如果你们对这个后悔了,我可以把你们给我的一番好意奉还给你们,恢复我原来的名称,免得看起来似乎你们给了我荣誉,反而成为一种侮辱。

    33.这番话感动了士兵们,当他还在讲的时候,他们就一再打断他,似乎他们对于自己的被怀疑为不忠实,感到极为痛心。在他离开会议时,他们异口同声地鼓励他拿出勇气来,毫不犹豫地投入战斗,试试他们的忠诚和勇敢。当大家的心情和思想由于这一行动彻底转变过来时,库里奥在他们的一致同意下,决定一遇到机会就一决胜负。次日,他把部队带出营来,仍在前几天布阵的地方,按作战的队列布置下来。瓦鲁斯也毫不迟疑地把他的军队领了出来,免得逢到有可以诱引我军的士兵或在有利的地形战斗机会,错了过去。

    34.两军之间,正象前面所说的那样,隔着一条山谷,虽不很大,山坡却很崎岖陡急。双方都在等着看敌军是否试图越过来,以便自己能在比较平坦的地方作战。同时在左翼,可以看到普布利乌斯·阿提乌斯的全部骑兵和许多夹在他们中间的轻装兵,正在奔下山谷。库里奥派他的骑兵和两个营马鲁基尼人前去对付这些人。他们的第一次冲击,敌人的骑兵就抵挡不住,只能驱马逃回自己的同伙那边。跟他们一起前来的轻装兵却被丢了下来,被我军包围起来斩尽杀绝。瓦鲁斯的全军都转过行列来,望着他们的部队在逃奔中被歼灭。凯撒的副将雷比卢斯是因为库里奥知道他有很丰富的作战经验,特地从西西里带来的。这时,他说:“库里奥,你看敌人已经惊慌不安了,为什么还要犹豫,不利用这大好的时机呢?”库里奥只向士兵们呼吁一下,叫他们把前天给他的保证记在心上,跟随着他。一面说,一面自己首先抢在所有人前面冲上前去。山谷十分崎岖难行,前面的人如果没有自己的同伙帮助托一下,简直无法爬上去,但阿提乌斯的部队事先就已经被自己的恐惧、同伙的逃窜和歼灭弄得惊慌万状,丝毫想不到要抵抗,都认为自己已经被骑兵包围住了。因而,在还没一件武器投掷出去,我军也没有能接近到他们的时候,瓦鲁斯的整个战阵就溃散逃走,退回营去。

    35.在这场奔逃中,库里奥军中有一个最低级的百夫长、佩利尼人法比乌斯,第一个追上了飞奔的敌人行列,他一直叫喊着瓦鲁斯的名字寻找他,看起来好象自己是他部下的一个士兵,有什么要劝告他或报告他似的。当瓦鲁斯听到有人不断喊叫他,停下步来望他,问他是谁,要干什么时,他用剑一下向瓦鲁斯袒露着的肩膀上劈去,几乎杀死了他。瓦鲁斯全靠举起盾牌,挡住这一击,才避免危险。法比乌斯被在附近的士兵们包围起来杀死。大批喧嚷着的逃兵拥挤在营寨的大门口,道路被堵塞住,毫未受伤地死在这里的,比在战斗中或逃奔中死去的人还要多,差一点就被从营寨里赶了出去。有不少人一路飞奔不停,直接逃进市镇。但妨碍我军占领那营寨的,不光是地方的地形和它的防御工事,而且还因为库里奥的部下本来是出来作战的,身边没有攻打营寨用的那些工具。因而,库里奥把军队带回营寨,除了那个法比乌斯之外,部下一个人都没损失,而在敌人中间则约有六百人被杀,上千人受伤。在库里奥离去后,所有这些人、连带还有许多假作受伤的人,都因为害怕,离营退入市镇。看到这点,瓦鲁斯也知道士兵们的恐慌,就在营寨里留下一个号手和几个帐篷,装装样子,在三更天后,领了军队悄悄退入市镇。

    36.次日,库里奥决定着手围攻乌提卡,用一道壁垒封锁它。在市镇里,有因为长期处于和平环境,不习惯于战事的广大居民,有因为凯撒给过他们某些好处,因而对他极为友好的乌提卡人,还有一群包括各式各样人的罗马公民,前几次的战斗引起他们极大恐怖。因而,现在大家开始公开谈论起投降的事情来,并劝说普布利乌斯·阿提乌斯,要他不要因为自己的顽固不化,把大家的命运都弄糟了。正在发生这些事情时,尤巴国王派来的使者到了,报告说,他已经带着大批人马来到,并且鼓励他们防守好市镇。这使得他们的慌乱心情坚定起来。

    37.这同一消息也带给了库里奥,但一时之间不能使他相信它,因为他对自己的好命运非常自信。就在这时,凯撒在西班牙的成功消息,也通过使者和信件带到阿非利加来。受到所有这些事情鼓舞,他便认为国王不至于会对他怎么样。但当他从可靠方面来的报导中发现国玉的部队离乌提卡已只有二十五罗里时,就离开自己的防御工事,退进科娱利乌斯旧营。在那边,他开始收集谷物,给营寨构筑防御工事,搜集木材,而且立刻送信到西西里去,命令把那边的两个军团和其余的骑兵统统都遣送到他这里来。无论从当地的地势来说还是从防御工事来说,这营赛都极适合于把一场战争拖延下去,再加它离海近,有很充裕的水源和盐,而且已经从附近的一个盐场积聚起大量盐来。由于树木多,木材不会缺乏,四野里满是谷物,粮食也不会少。因而,在部下一致同意下,库里奥就准备等其余的部队到来,进行一场旷日持久的战争。

    38.当这些工作正在安排,他的措施也得到赞同时,他从镇上逃来的一些人那里得知,尤巴国王已经因为一场边境上的战事和跟勒普提斯人的冲突,被叫回自己本国去,他派遣自己的总管萨普拉带着一支不大的部队前来乌提卡。库里奥冒失地相信了这番话,改变计划,决定以一战来决定胜负。他的年轻、他的豪放不羁、他的前一时期的成功,以及对胜利的信心,都在作出这一决定中起了很大的作用。在这些因素的推动下,他派他的全部骑兵在薄暮时赶到在巴格拉达河上的敌营去,这个营寨正由他事先已经听到过的萨普拉在主持。但国王却统率着他的全部军队就在后面跟着,驻营的地方离开萨普拉只有六罗皇。库里奥派去的骑兵在夜间赶完全程,在敌人不知不觉、摔不及防的时候。发动了进攻。因为努米底亚人仍按照蛮族的老习惯,东一起、西一起地随地扎营,没有一定的部伍,骑兵趁他们在熟睡中散乱的时候攻击他们,杀死他们一大批人,许多人在惊慌中四散逃走。这项工作完成后,骑兵回转库里奥处,把俘虏带给了他。

    39.库里奥在第四更带着全军出发,只留下五个营守卫营寨。他赶了六罗里路时,遇上骑兵,了解经过的情况。他询问俘虏谁在负责巴格拉达河上的营寨,回答说是萨普拉。他正急于要赶完这段路程,因此竟没再探询其他问题,只回过身来向就在他身边的几个连说:“士兵们,你们难道没有看到,这些俘虏的口答正跟逃亡来的人说法一样吗,国王不在这里,他只派来很小一支部队,就连少数骑兵部队都抵挡不住。因而,赶快奔向战利品,奔向光荣去吧,我们现在终于可以考虑给你们的酬劳和你们应得的报偿了。”骑兵们的成就本身的确很了不起,特别因为和努米底亚人的大队人马相比,他们的人数非常之少。虽说如此,正象人们在津津乐道自己的成就时常常信口开河那样,在他们的叙述中,这次胜利也被夸大了。外加还把许多战利品陈列了出来,俘虏来的人和马也都带到人们面前来展览。因此,时间越是耽搁,就越象是在把胜利往后推。这一来,士兵们的急切心情恰好正投合了库里奥的期望。他嘱咐骑兵跟着自己急急向前赶路,好尽快越敌人在奔逃之后狼狈不堪的时候攻击他们。但他的部下经过通宵行军,已经跟不上去,这里那里到处都有人停下来。就连这样,也还不能减少库里奥一往直前的劲头。

    40.尤巴接到萨普拉的关于夜间战斗的报告,就把一向在他身边担任贴身卫队的二千西班牙人和高卢人骑兵、以及步兵中最得他信任的那一部分派到萨普拉这里来。他自己带着其余的部队和六十头象,慢慢在后面跟上来。萨普拉怀疑库里奥派骑兵冲在前面,自己会在后面跟着,就把他的骑兵布列开来,命令他们假作害怕,逐渐退让,向后撤去,并告诫他们说:他会在适当的时机发出战斗的号令,并且根据情况需要告诉他们怎样做的。对库里奥来说,目前所得到的印象更增强了他自己的信念,认为敌人正在逃跑,就领着他的军队从高地跑下到平原上来。

    41.当他从那地方向前推进了许多路时,他的军团因为一路奔来,已经很疲劳,就在赶完十二罗里之后停驻下来。萨普拉向他的部下发出号令,把军队布列开来,自己开始在队伍中间往来奔走,鼓励他们,但他却把他的步兵远远摆开,光只用它助助声势,而是派骑兵前来冲锋。库里奥也不是应付无方的人,他鼓励他的部下,叫他们把一切希望都放在勇敢上面。同时,尽管我军的步兵已经十分劳累,尽管骑兵数目很少,而且已经疲于奔命,他们仍然不乏战斗的热情和勇气。但我军的骑兵一共只有两百人,其余的还都停留在半路上,这时,他们冲向那里就迫使那边的敌人站不住脚,只是他们既不能很远去追逐逃走的人,又不能使劲地驱策自己的马,敌人的骑兵却开始从两翼来包围我军,又从后面上来践踏我军。每当有个别的营离开大队冲出去时,精力正旺的努米底亚人就迅速退走,躲开我军的攻击,然后趁我军在返回自己的队伍时赶上去包围他们,切断他们向大军去的退路。因而,不管他们立在原地保持阵列,还是冲上去冒险孤注一掷,看来同样安全难保。敌人因为有国王在派增援部队来,人数不断增加,我军却因为疲乏,逐渐支撑不住,那些受伤的人既不能离开战阵,也不能送到安全的地方去,因为整个战阵都处在敌人骑兵的包围之中。从而,对自己的安全感到绝望的那些人,正象人们在自己生命的最后关头常有的那样,或则为自己的死亡悲激,或则把自己的双亲托咐给也许命运之神能把他救出灾难幸留下来的人。到处都是一片惊慌和悲痛。

    42.库里奥看到大家在一片惊慌中,无论是自己的鼓励还是呼吁都听不进去,他认为在这种悲惨的处境中,还只留下一线安全的希望。他命令他们全部赶去占领最近的那些山头;把部队移转到那边去。但就是这些山头也已经被萨普拉派去的一部分骑兵抢先占了去。我军这一来确实陷入了极端绝望的境地,一部分在奔逃中被骑兵杀死,一部分人虽未受伤,却也倒了下去。骑兵指挥官格涅尤斯·多弥提乌斯带着少数骑兵环绕着库里奥,要求他逃走求生,赶紧退到营里去,答应自己决不离开他。但库里奥声明说:在他丢失了凯撒出于信任交给他的军队之后,决不再回到凯撒面前去。就这样,他在战斗中死去。少数骑兵从战斗中逃出来,但上面提到过的那些留在后面让马喘息一会的人,老远看到我军的全军溃散,就都安全退人营寨,步兵则全军覆没。

    43.在得知这些情形后,库里奥留在营里的财务官马尔基乌斯·卢享斯鼓励部下不要灰心丧气。他们恳切要求他把他们从海路运回西西里去。他答应了,命令主管船只的官员在傍晚时把他们的小艇都靠拢到岸边来。但大家惊惧万分,有的说尤巴的军队已经迫近了;又有人说:瓦鲁斯已经带着他的军团在赶来,自己已经看到行军引起的烟尘了二虽说事实上根本没发生这些事。还有人怀疑敌人的舰队会马上来攻击他们。因而,在大家一片惊惶中,各人都在为自己打算。那些在军舰上的人,急忙把船开航出去。他们的逃走,又刺激了那些商船的主人们。只少数小船应命前来,听候差遣,但在这样人群密集的岸上,每个人都竭力想从大伙中挤出来,第一个爬上船去,以至有些船由于人装得太多,负载过重而沉没了。其余的怕蹈覆辙,犹豫着不敢靠近。

    44.这样一来,就只有少数士兵和罗马公民,或则凭交情和人家的怜悯心,或则仗着能游泳,才被救上船去,全部安全到达西西里。其余的部队在夜间派百夫长们作为使者,到瓦鲁斯那边去向他投降。次日,尤巴在市镇外面看到这几营兵,声称这些人都是他的战利品,命令把他们的一大部分都杀死,只少数被挑出来的,送到他国里去。瓦鲁斯虽然也抱怨尤巴损害了他的信誉,却又不敢抗拒。尤巴本人骑马进入那市镇,伴随着他的是一些元老,其中有塞尔维乌斯·苏尔皮基乌斯和利基尼乌斯·达马西普斯。他只简单地布置了一下他要在乌提卡完成的事情,几天以后,就带着全部军队返回本国去了。

    卷三

    1.凯撒以独裁官的身分主持了选举,尤利乌斯·凯撒和普布里乌斯·塞维利乌斯当选为执政官,这一年正是凯撒可以合法被选为执政官的一年。在这些工作完成时,由于整个意大利的信贷比较紧张,不再有人清偿债务,他决定设置一些仲裁人,由他们按照战前的价格来估计债务人的固定资产和动产的价值,即以此偿付给债权人。他认为这是最合适的方法,一方面它消除或减轻了人们对干往往随战争或内乱而来的全面取销债务的恐惧.另一方面,又替债务人保持了良好的信誉。经过司法官和人民保民官向公民大会提出,他又给一些在那非常时期、即庞培在都城拥有一支军团士兵作为卫队的时候,被根据 “庞培法”判处贿赂罪的人进行了平反昭雪,恢复了原来的权利,他们那时是只经过一天审判,由一批法官听取了证词,另一批法官表决了一下就结了案的。只因这些人在内战刚一开始时,就曾经向凯撒表明过如果他需要,他们愿意为他效力,因而他认为既然这些人投效过自己,就应当把他们看成是出过力的人。他决定,他们的平反也应当出之于公民大会的决议,而不应该被看做是出于自己的恩典。他想做到一方面自己不会被人们看成在应该酬恩的地方忘恩负义,另一方面又不会被人们看做傲慢不逊,抢夺了公民大会颁给恩赦的权力。

    2.他在完成这些工作上面,以及在主持拉丁节和所有的选举会上面,共化去十一天时间。然后,他交卸了独裁官的职务,离开都城,去布隆狄西乌姆。他已经命令十二个军团和所有的骑兵都赶往那边。但他发现在那边的船只,即使竭力挤紧,也只能装运一万五千名军团士兵和六百骑兵。这是使凯撒不能迅速结束战争的唯一障碍。甚至就连这些可以登船的部队,人数也并不足额,很多人已经损失在高卢的所有那些战争之中,从西班牙来的长途行军,又减少了一大批人,阿普利亚和布隆狄西乌姆附近疾疫横生的秋季,更使刚从高卢和西班牙这些极有益于健康的地区出来的全部军队,体质上受到很大的损害。

    3.庞培利用一整年没有战争和不受敌人干扰的空隙时间,积聚兵力,从亚细亚和基克拉季斯群岛、从科库拉、雅典、本都、比提尼亚、叙利亚、西里西亚、胖尼基和埃及等地,征集起一支庞大的舰队。他还让所有的地方都建造大批舰只。他已经从亚细亚和叙利亚的所有国王、君长和地方首领、以及从阿卡亚的自由城市那里勒索了大批金钱,并且强迫在他控制下的几个行省的包税团体付给他大宗款项。

    4.他凑集起九个罗马公民的军团,计:五个来自意大利,是他从海那边带过来的;一个是从西里西亚调来的老兵的军团——这是由原来的两个军团合并而成的,因此他称之谓“孪生军团”;一个是从克里特和马其顿的退伍老兵中征集的,他们都是被过去的统帅遣散之后,定居在那些行省的;两个来自亚细亚,是由执政官伦图卢斯经手征集的。此外,他还把大批从塞萨利亚、玻奥提亚、阿米亚和伊庇鲁斯来的人,以补充人员的名义分配到各个军团里去。他在这些人中,插进一些曾经在安东尼手下服务过的人。除了这些之外,他还在盼望两个军团跟着西皮阿从叙利亚一起到来。他有从克里特和拉克第梦、从本都和叙利亚以及其他国家来的弓箭手,数达三千人。同时又有两个营即六百人的射石手和七千名骑兵,这中间有德约塔鲁斯带来的六百高卢人;阿里奥巴札涅斯从卡帕多基亚带来的五百人科蒂斯从色雷斯进来了同样多数目,还派他的儿子萨达拉一起来了;又有从马其顿来的二百人,由拉斯基波利斯统带,这是一个极为勇敢的人。小庞培和他的舰队一起从亚历山大里亚带来五百名伽比尼乌斯的军队,他们都是高卢人和日耳曼人,是奥卢斯·伽比尼乌斯留在那边作为国王托勒密的卫队的。他还从自己的奴隶和牧奴中间调集了八百人。塔孔达里乌斯·卡斯托和多姆尼劳斯提供了三百名高卢希腊人,这两个人,一个自己带着部下来,一个派了他的儿子来。又有二百名由孔马格涅的安提库斯从叙利亚派来,庞培给了他巨大的报酬,他们中间有很多人是马上的弓箭手。在这些人中间;庞培给加进了一部分雇佣的、一部分利用自己的权力和交情弄来的达尔达尼人和贝西人,同样还有马其顿人、塞萨利亚人、以及来自别的族和别的国家的人,就这样凑起了上述的数目。

    5.他已经从塞萨利亚、亚细亚、埃及、克里特、普兰尼、以及其他地区收集来极大一批粮食,他还下定决心在迪拉基乌姆、阿波洛尼亚、以及所有的沿海城镇过冬,以便阻止凯撒渡海过来。为此他把他的舰队全部分布在整个沿海地区。小庞培负责埃及方面的舰队,德基穆斯·莱利乌斯和盖尤斯·特里阿里乌斯负责亚细亚方面的舰队,盖尤斯·卡西鸟斯负责叙利亚方面的舰队,盖尤斯·马尔克卢斯和盖尤斯·科波尼乌斯负责罗得岛方面的舰队,斯克里博尼乌斯·利博和马尔库斯·屋大维负责利布尼亚和阿卡亚方面的舰队。然而,整个沿海的防务却都交给了马尔库斯·比布卢斯,由他掌握全局,最高的司令大权全集中在他手里。

    6.凯撒一到布隆狄西乌姆,就向士兵们发表谈话,告诉他们说:既然他们的辛苦和危险差不多已经到了尽头,现在就应当安心地把自己的奴隶和行李留在意大利,轻装上船,以便让更多的士兵登上船去,去争取可以从胜利中、从他的慷慨大度中获得的一切东西。他们齐声高喊,请他想要下什么命令就下什么命令,无论他下什么命令,他们都会全心全意地执行。就在1月4日,拔锚启航。正象上面所说的那样,船上载了七个军团。次日,抵达陆地。他担心别的港口都在敌人的占领之下,就在克劳尼亚礁石和其他危险地区之间的一个叫做帕莱斯特的安静的停泊处,把船上所有的部队卸下来,一条船也没损伤。

    7.卢克雷提乌斯。维斯皮洛和弥努基乌斯·卢享斯正带着十八艘亚细亚的舰只停泊在奥里库姆,他们是奉德基穆斯·莱利乌斯的命令统率这些舰只的。马尔库斯·比布卢斯带着一百十艘舰只留在科库拉。但卢享斯和维斯皮洛对自己的兵力没有信心,不敢驶出港来,虽然凯撒带去在那边守卫海岸的舰只一共只有十二艘,而且其中只有四艘是装了甲板的。比布卢斯的舰只杂乱无章,水手也三三两两分散着,来不及按时赶来。因为直到在大陆上可以望到凯撒的舰队以前,没有任何有关他到来的消息传到那些地区去过。

    8.士兵都卸了下来,船只在当夜就被凯撒追回布隆狄西乌姆,以便能把其余的军团和骑兵再运送过来。凯撒派副将享菲乌斯·卡勒努斯负责这项工作,命令他尽快把军团运送过来。但这些船只离开陆地太晚了,错过了晚风,在返回途中遭到了灾难。比布卢斯在科库拉得到凯撒到来的报告后,希望能够遇上一部分满载的船,但他逢到他们时偏偏是它们空着的时候。在碰到它们大约一批三十条船时,他正在因为自己的疏忽误事感到气恼,就把怒火都发泄在它们身上,把它们全部烧掉,连船员和船长都杀死在这同一把烈火之中。他希望惨酷的惩罚会吓退其他的人。这项工作完成后,他用他的舰队布满从萨来到库里库姆港之间的所有停泊处和所有的海岸,很细心地布置下守军。尽管时值隆冬,他还是在船上戒备着,绝不因为害怕吃苦,放松自己的职责,也不坐待援军,一心只想能和凯撒一朝相遇……

    9.在利布尼亚的舰队离开伊里吕库姆时,马尔库斯·屋大维带着他统率下的舰只,来到萨洛那。在那边,他煽动起达尔马提亚人和其他一些蛮族,又使伊萨抛弃了它和凯撒的友好关系。只是,他无论用诺言还是用威胁,都不能动摇在萨洛奈的罗马公民组织。他就动手围攻这座城市。然而,这城市有它所处的地形和一座小山很好地捍卫着。罗马公民们仍旧很迅速地造起了木塔,利用它保卫自己。但他们人数很少,受伤的人在不断增多,无力再抵抗下去,他们就采取最后的救急措施,把他们的所有成年奴隶都解放了武装起来,把所有妇女头上的头发都割下来作为铸机上的弓弦。屋大维在知道了他们的决心之后,建造起五座营寨来包围这个城市,开始同时用封锁和攻打来困扰他们。城市中的人已经准备好忍受一切,特别在粮食问题上尤其使他们苦恼不堪。为此,他们派使者到凯撒那边去,向他乞求援助,说:其余的困难他们尽可能靠自己的力量硬着头皮支撑下去。隔了很长一段时间,当旷日持久的围攻已经使屋大维的部队放松了警惕时,他们利用中午敌人离开的机会,把孩子们和妇女分配到城墙上去,免得被敌人看出每天的日常工作都忽然停了下来,他们自己和新近解放的那些奴隶合在一起,冲向屋大维的最近的一座营寨。攻下它之后,又以同样的一次冲击攻下另一座,再从那边进攻第三座、第四座,直到攻下最后留下的那一座,把人员都赶出所有的营寨,并且杀掉了一大批人,迫使其余的人连同屋大维本人都逃上船去,这就结束了这次攻城。这时,冬天已经临近,屋大维在遭到这样重大的损失之后,对于攻克这座城市已经感到无望,就退向迪拉基乌姆,到庞培那边去了。

    10.我们已经提到过,庞培的工务总监卢基乌斯·维布利乌斯·卢享斯,已经落到凯撒手里过两次,一次在科菲尼乌姆,再一次在西班牙,都被他释放了。考虑到自己给他的这种恩惠,凯撒认为维布利乌斯是带信到庞培那边去的最合适的一个人,他还了解,维布利乌斯是个能够影响庞培的人。他带去的口信要点如下:他们两个人都不应该再固执下去,应该放下武器,不再行险激幸。双方都已经饱受惨重的损失,足以用来作为教训和鉴戒,提醒他们对未来的灾祸有所戒惧。庞培已经被逐出意大利,失掉了西西里、撒丁尼亚和两个西班牙行省,在意大利和西班牙共丢掉一百三十个营的罗马公民部队。凯撒自己方面,死掉了库里奥,在阿非利加的军队遭到了灾难、还有这么多军队在库里克塔岛上投降了。因而,让他们顾惜自己、顾惜国家吧;他们的损失,已经可以作为一个教训,让他们知道命运在战争中是如何威力无穷了。现在,正好是彼此都充满自信,看来双方似乎是势均力敌的时候,也正好是唯一的讲和时机,只要命运在两个人中的一个身上稍稍偏袒一些,看起来略占上风的人,就不会接受和平条件,自信会赢得全局的人,也不会再满足于和别人平分秋色。既然以前他们没有能达成和平协议,现在应该到罗马去向元老院和人民求取。同时,如果双方都在一次公民大会上立刻宣誓在三天之内解散自己的军队,一定也会使国家和他们自己都感到满足。再则,如果双方都放下了现在传为后盾的军队和同盟军,各人也就都必然会以人民和元老院的裁决为满足了。为使这些建议更容易得到宠培的赞同,他说,他可以解散所有他的陆军。

    11.维布利乌斯在科库拉登陆后,认为把凯撒突然到来的消息报告庞培,让他可以采取适当的对策,并不比讨论凯撒这些建议重要性少些。因而他日夜赶路,在每个市镇都调换座骑,以争取速度,好赶上庞培,去向他报告凯撒的到来。庞培这时在坎达维亚,正在从马其顿赶到阿波洛尼亚和迪拉基乌姆的冬令营去的路上。但新的情况打乱了他的步子,使他开始急忙绕远道赶向阿波洛尼亚去,免得凯撒会占据那些沿海的城镇。但凯撒在让部队登陆之后,就在同一夭出发,赶向奥里库姆。他们到达那边时,卢基乌斯·托夸图斯正奉庞培的命令在主持该城的守卫,并且有一支帕提尼人的部队驻在那里。他闭上城门,试图守住这座市镇。但当他吩咐希腊人登上城墙,拿起武器来时,希腊人拒绝和正式代表罗马人民权威的一方作战,居民们甚至准备自动迎接凯撒进城。在对一切援助都感到绝望时,他打开了城门,把自己本人和这座市镇都奉献给凯撒。凯撒保全了他。

    12.收复奥里库姆后,凯撒毫不耽搁,马上向阿波洛尼亚赶去。听到他来,在那边负责的卢基乌斯·斯塔布里乌斯开始一面把饮水运送到卫城里去,一面在它那边修筑防御工事,并向阿波洛尼亚人勒索人质。他们拒绝给他。他们既不愿把城门关起来对抗执政官,也不愿意违反整个意大利和罗马人民已经作出的决择,擅自作出自己的决择。当斯塔布里乌斯了解了他们的愿望时,他偷偷逃出阿波洛尼亚去。居民们派使者去见凯撒,接他进入该城。彼利斯、阿曼提亚和邻近的其他市镇、以及整个伊庇鲁斯都学习他们的榜样,派使者来见凯撒,答应听从他的命令。

    13.但当庞培听到在奥里库姆和阿波洛尼亚发生的事情时,他为迪拉基乌姆担心起来,日夜赶路到达那边。同时,传说凯撒也正在赶来,庞培的军队感到极大的惊慌。由于他日以继夜地匆忙赶路,毫不停息,从伊庇鲁斯和邻近地区来的所有士兵,全都开了小差,许多人还抛弃了自己的武器,使得这次行军看起来象是在溃逃。但当庞培在靠近迪拉基乌姆的地方停驻下来,命令量地扎营的时候,他的部下仍旧惊魂未定,拉比努斯第一个站出来,宣誓说他决不抛弃庞培,决心和他同生共死,不管命运会给他什么样的下场。其余的副将也同样宣了誓,接着便是军团指挥官和百夫长们,以及全部军队都照样宣了誓。凯撒发现自己到迪拉基乌姆去的路已经被庞培先占领了,就停止急行军,在阿波洛尼亚人境内的阿普苏斯河边扎下了营,以便使那些有功于他的城市,有一支守卫的驻军,安全得到保障。他决定就耽在那边,等候其余的军团从意大利赶来,并且在营寨里息冬。庞培也这样做,在阿普苏斯河的对面安下营,把他所有的军队和同盟军都带到那边。

    14.卡勒努斯在布隆狄西乌姆照凯撒命令他的那样,尽他的船只所能容纳的,把自己的军团和骑兵统统都装上去,起锚开航。当他从那港口则航出去不多一点路时,他接到凯撒的来信,通知他所有的港口和海岸都在敌人的舰队控制之下。知道了这事,他返回港内,并召回他所有的船只。其中有一艘,因为是私人经营的船只,上面没有士兵,因而没听从卡勒努斯的命令,仍自管走它自己的路。它飘流到奥里库姆时,受到了比布卢斯的攻击,他不管是自由人还是奴隶,甚至连没有成年的人也不肯放过,统统在用刑之后杀死。这样,就在这一瞬之间,一个至关重要的偶然机会,决定了全军的安危。

    15.如上面所说,比布卢斯带着舰队在奥里库姆,正象他封闭着海洋和港口,不令凯撒接近那样,他自己也就被封闭在所有该地区的陆地之外,因为凯撒占据着整个海岸,到处都布置着守军。他既没办法取得木柴和饮水,也没办法让他的船只靠岸停泊。一切必需品都极端缺乏,境况十分困难,以至他们不得不连木柴、饮水,也和其他给养那样,要靠运输船从科西拉去运来供应他们。甚至在一次遇到风暴的时候,逼得他们到覆盖船只的皮革上面去收集夜间的露水。然而,他们还是耐心、安静地忍受着这种种困难,认为自己有责任不暴露海岸,不放弃港坞。或在我所讲的这种困难之中,当利博和比布卢斯联合起来之后,他们两人站在船上和副将马尔库斯·阿基利乌斯和斯塔提乌斯·穆尔库斯——一个主持守城、一个统率陆上的守军——一作了一次交谈,说:如果给他们机会,他们有极重要的事情想和凯撒商谈。在这些话上,他们又加上几句更加强调的话,让人家明白他们是想设法促成一次和谈。同时,他们还要求给他们一次休战的机会。这要求得到了同意。因为他们提出来的要求好象很重要,副将们知道凯撒特别盼望着它,看来似乎交代给维布利乌斯的任务已经有了一些眉目。

    16.在这时候,凯撒正带着一个军团出发去收复更远一些的城镇,还因为他的粮食供应不足,要去设法筹措,这时他已在科库拉对面的一个市镇布特罗图姆。在那边,他从阿基利乌斯和穆尔库斯的信件中得知利博和比布卢斯的要求,他留下军团,自己返回奥里库姆。他到那边时,他们被邀请来商谈。利博出来了,还为比布卢斯作了解释,说:因为他的性情十分急躁,而且在担任工务官和司法官时和凯撒结下过私人嫌怨,因此他回避这次会谈,免得他的急性子会妨碍这一件有极大希望和极大利益的事情。他说:他自己无论在现在还是过去,一向都是迫切地希望事情得到解决,迫切地希望能够放下武器的,但他在这件事情上无能为力,因为会议上作出的决定是把指挥战争的大权和其他一切都交给库培的。但在现在,他们已经明确了凯撒的要求,他们将派使者到庞培那边去,庞培会在他们的鼓励之下,自己把会谈的其余部分接着进行下去。同时他要求,停战协定必须延长下去,一直到使者从庞培那边回来为止,任何一方都不得伤害对方。在这些话上,他还加上几句为他们的事业、以及为他们的军队和同盟军辩护的话。

    17.当时凯撒认为根本用不着给这些话作什么答复,现在我们也不认为有足够的理由把它记录下来,留到后世去。凯撒的要求是:应当允许他派使者到庞培那里去,并且保证其安全,要就是他们自己把这件事情承担下来,要就是由他们接下使者,转送到庞培那里去。至于说到停战,现在战争是分别用两种方法来进行的:他们用舰队拦截他的船只和援军,他也就不让他们接近饮水和陆地。如果他们希望他放松些,他们自己也必须在监视海岸上放松些。如果他们坚持不让,他也就同样坚持下去。虽然如此,尽管双方在这些地方寸步不让,和平谈判还是照样可以进行,这些事情决不会妨碍它。利博既不接受凯撒的使者,也不保证他们的安全,而是把全部事情都向庞培身上推。他竭尽力量争取的事情只有一件,就是停战。当凯撒知道他的所有谈话只是想避免目前的危险和困乏,从他身上根本不可能得到什么希望,也不可能得到什么和平条款时,就重新回过头来考虑进一步作战的问题。

    18.比布卢斯一连许多天被阻止不得登陆,又受到因风寒和积劳引起的一场严重疾病侵袭,他既得不到治疗,又不愿放弃所负的职责,终于抵抗不住病魔的威力。在他死后,总指挥的职务没有由谁出来一个人接替,而是各人凭自己的决断分别指挥自己的舰队。在因凯撒的突然到来而引起的一阵激动平息下来之后,维布利乌斯一等到他认为适当的时机,就把利博、卢基乌斯·卢克尤斯和庞培惯常和他商量极端重大的事情的狄奥法涅斯,都拉到自己一边,开始提出凯撒的建议。在他刚一开口时,庞培就打断他,不让他再多讲下去,说:“如果人家认为我之所以能够保有自己的性命和自己的公民权,是出于凯撒的恩赐,我还要它们做什么用呢,我是从意大利出来的,如果战争结束时,人家把我看做是被带回到意大利去的,就再没办法改变人家这种看法了。”这些情形,凯撒是从参与这些谈话的人口里得知的,尽管如此,他还是努力想用别的方法来争取通过谈判达到和平。

    19.在庞培的营寨和凯撒的营寨之间,只隔了一条阿普苏斯河,军士们彼此之间经常进行交谈,谈话的人约定在这时候不发射矢石。凯撒派他的副将普布利乌斯·瓦提尼乌斯到那条河的岸边去,不断地大声喊话,宣传一些看来最能促进和谈的论点。他说:为了和平,连比利牛斯山森林中的亡命者、连海盗都可以得到允许派出代表来,难道公民与公民之间反而不可以吗?特别因为他们现在要做的不是别的,不过是要设法防止公民们之间自相残杀而已。他用祈求的口气说了许多话,这正是一个人在为自己、为大家的安全恳切呼吁时该用的那种口气,双方的战士都静静地听着他。从对方来了答复,这是奥卢斯·瓦罗,他答应说自己愿意在次日来参加会谈,和他们一起讨论使者如何安全到来,他们的要求如何提出来等问题。于是,为此安排了一个具体的时间。当次日他们到来时,双方聚集了一大批人,他们对这件事情都抱着很大的希望,似乎所有的人已经一心一意只想和平了。提图斯·拉比努斯从一大堆人里走出来,开始和瓦提尼乌斯讲话,并且争论起来,但绝口不谈和平。突然从四面八方飞来一阵矢石,打断了谈话。瓦提尼乌斯在士兵们的武器掩护下躲了开去,却有许多人受了伤,其中有科涅利乌斯·巴尔布斯、马尔库斯·普洛提乌斯、卢基乌斯·提布尔提乌斯、一些百夫长和士兵。这时,拉比努斯叫着说:“别再提起和解了,我们不带着凯撒的头回去,是不会有和平的。”

    20.就在这时候,司法官马尔库斯·凯利乌斯出来为负债的人鸣不平。刚一上任,他就把自己的公座放到挨近都城司法官盖尤斯·特雷波尼乌斯的椅子的地方,宣称:如果有人来对凯撒在罗马时设置的仲裁者作出的产业估价和还债办法提出申诉,他将会给予帮助。但是,由于这一道法令的公平合理和特雷波尼乌斯的宽厚——他认为在这种艰难时代,执行法律应该既仁慈又温和——竟找不到一个提出申诉的人来。因为以穷困为借口,对自己本人或整个时代的灾难发一通牢骚、或者推托说自己出卖产业有困难等等,普通一般人都在所难免,但一个人一面既承认自己负债,欲又一面死抱住自己的产业不肯放手,那就非极端没有良心、极端厚颜无耻的人,不会这样做,因而找不到人出来提这样的要求。这就表明凯利乌斯本人比那些和这类事情有切身利害关系的人更加蛮不讲理。而且,为了免得人家看起来他在这件已经开始着手的丑事上一无所成,他提出一条法律,规定所欠的债务应该不计利息,分期在六年里摊还。

    21.由于执政官塞维利乌斯和其它官员反对它,凯利乌斯没有达到自己预期的目的,为要在群众中煽风点火起见,他取消了自己前面的那条法律,提出另外两条,一条给房客免除一年房租,另一条取消一切债务。当群众围攻盖尤斯·特雷波尼乌斯时,有些人受了伤,凯利乌斯把他从公座上逐走。执政官塞维利乌斯在元老院提出这件事,元老院决议停止凯利乌斯的公职。根据这项法令,执政官禁止他出席元老院,在他企图向公众发表演说时,又把他驱下讲坛。在耻辱和悲痛双重刺激下,他表面上假装说自己要到凯撒那边去,暗地里却派人到杀死克劳狄乌斯并因此判罪的弥洛那边去,召他回到意大利来。因为弥洛曾经提供过大规模角斗演出,身边仍保留着余下来的一批角斗士。凯利乌斯和他联合起来,派他先去图里伊地区,去煽动那里的牧奴。当他自己到达卡西利努姆时,发现几乎在同一时期,他的军旗和武器都在卡普亚被截留,准备把城市出卖给他的角斗士已在那不勒斯被破获,而且由于卡普亚人已经识破他的计划,恐怕有危险,也把他关在城门之外。当地的公民组织已经拿起武器来,把他当敌人看待。”他就放弃了自己的计划,改变行程。

    22.同时,弥洛向周围一些自治城镇进出信件,说明他所做的事情都是按照庞培的嘱咐和命令做的,庞培的这些指示都是由维布利乌斯带给他的。他煽动那些他认为已被债务逼得走投无路的人。当他在他们中间不能争取到人时,他又从地牢里释放了一些奴隶,着手围攻图里伊地区的科萨。在那里,他遇上正带着一个军团的司法官昆图斯·佩狄乌斯……被一块从城墙上投下来的石块打死。凯利乌斯虽然自称是到凯撒那边去的,却也到了图里伊。在那边,当他正试图引诱某些城镇居民,并答应出钱收买凯撒派到那边去驻防的高卢和日耳曼骑兵时,被他们杀死。使官员们疲于应付、使意大利动荡不安的一场巨大事故的苗头,就这样既迅速又轻易地结束。

    23.利波从奥里库姆带着他统率下的一支由五十条船组成的舰队出发,到达布隆狄西乌姆,占领了正面对布隆狄西乌姆港口的那个小岛。因为他认为紧紧封锁住一处我军外出的必经之路,比紧紧封锁所有海岸和港口好。他到得很突然,碰上的一些商船,都被他付之一炬,有一条满载粮食的船,也被他掳走,使我军陷入极大的惊恐。晚上,他还派骑兵和弓箭手登陆逐走我军的骑兵哨岗。他所处的地形,使他占有极大的优势,以至他竟写信给庞培说:如果他本人高兴,尽可以命令把他的其余船只拖上岸来,加以修理,还说,用他的舰队可以阻止凯撒得到增援。

    24.那时,安东尼正在布隆狄西乌姆,他对自己部下士卒的英勇很有信心,因而把属于大船的约六十只小划艇,用木排和挡板掩护好,把精选出来的士兵放在艇上,分别停泊在沿海岸的许多地方,一面命令他在布隆狄西乌姆叫人建造的两艘三列桨舰航出去,赶到海轮的隘口,假作训练桨手。当利波看到它们这样大胆前来时,派五艘四列桨舰向它们赶去,希望能捕获它们。在敌人迫近我舰时,我军的老战士们开始退向港口,敌人毫无戒心,鼓起热情追过来。于是,突然一声号令,安东尼的划艇从四面八方逼向敌人,在第一次冲击中,就捕获了这些四列桨规中的一艘,连带它上面的桨手和保卫人员,迫使其余的都可耻地逃走。除了这一损失之外,再加还有安东尼沿海岸布置下的骑兵,不让他们取得饮水。在这种缺水和耻辱交迫的情况下,利波离开布隆狄西乌姆,放弃对我军的封锁。

    25.这时,已经好几个月度过去,冬天也几乎快要过去了,但船只和军团还没从布隆狄西乌姆到凯撒这里来。在凯撒看来,事实上有几次可以这样做的机会都被白白错了过去,因为经常有利顺风的时候,他认为完全应该乘着它启肮。这一段时间拖得愈长,统率庞培的海军的那些人也就愈加小心翼翼地警戒着海岸,对阻截我军的增援部队也就愈加有信心。他们还在不断受到庞培的来信责备,庞培告诫他们,既然在凯撒当初到来时没有能拦阻住他,现在无论如何要把他的其余部队拦阻住了。现在,风力在一天天减弱下去,他们正在盼望航行更困难的季节到来。鉴于这种情况,凯撒用比较严励的口气写信给他在布隆狄西乌姆的部下,叫他们一遇到合适的风向,不要错过机会,马上就起航,无论能一直航到阿波洛尼亚的海岸或者航到拉贝提亚海岸都可以,就在那边靠岸。这些地方都是敌舰的警戒所不能及的,因为他们不敢让离开自己的港口太远。

    26.在马尔库斯·安东尼和事菲乌斯·卡勒努斯的指挥之下,士兵们都表现得很大胆和英勇,他们彼此互相鼓励说:为了凯撒的安全,赴汤蹈火也不该回避。他们乘着一阵南风解缆起程,次日越过阿波洛尼亚。当在陆地上能看到它们时,正统率着罗得岛的舰队停泊在迪拉基乌姆的科波尼乌斯,领着他的舰队航出港口来。正当它们乘风力减弱下来的机会,快就要追上我军的时候,同是那南风又刮起来,再次给我们帮了忙,但他还是不肯就此罢手,而是希望水手的辛勤和毅力会连风暴的威力也能克服。虽说我军被强大的风力所驱,越过了迪拉基乌姆,但他们仍紧紧盯着我们不放。我军尽管受到幸运之神的恩宠,还是怕一旦风停下来时,遭到敌舰攻击,当来到离开利苏斯三罗里的一个叫做宁费乌姆的海港时,就把自己的舰只躲了进去。这个港口可以挡西南风,但对南风来说是不安全的,可是,他们估计,风暴的危险总要比敌人的舰队危险小些。但是,运气好得简直令人无法置信,当他们刚刚进入这个港口时,接连刮了两天的南风忽然之间停了,竟改刮起西南风来。

    27.这里,一个人就可以看出命运的突然转变了,刚刚还在为自己担忧的那些人,现在已受到一个最最安全的港口庇护,而那些本想伤害我们舰只的人,却被迫为自己的安全心惊胆战了。随着情况的转变,风暴保护了我们,毁坏了罗得岛的舰队,装有甲板的舰只共十六艘,全都撞碎沉没,一只不剩。至于大量的划手和士兵,有的碰在岩石上死去,有的被我军拖上岸来。所有这些人都被凯撒保全下来,遣返回家。

    28.我们有两艘船,由于路上航得太慢,被黑沉沉的夜幕罩没,不知道其它船只这时泊在何处,就在利苏斯对面停了下来。在主管利苏斯的奥塔基利乌斯·克拉苏派出几艘划船和许多小艇,准备去捕捉它们。同时,他一面又和他们谈判投降的事情,答应他们如果投降了,可以不受伤害。这两艘船之一,载有二百二十名军团补充新兵,另一艘载有不到二百名军团老兵。从这里可以看出意志坚强能使人得到多大保障,因为那些补充新兵,对敌人的船只之多感到吃惊,又因风浪和晕船,累得精疲力尽,在得到敌人不会伤害他们的保证之后,就向奥塔基利乌斯投降。当他们被带到他那边时,神圣的誓言被置之不顾,统统都在他面前被残酷杀害。那些军团老兵虽说同样吃了风浪和舱底污泥浊水的苦头,但他们却认为绝不应当放弃自己一向保有的勇气,另作它谋,他们把前半夜时间消磨在假作投降和谈判条件上,一面强迫他们的舵手把船搁浅在海滩上,他们自己在寻到一个合适的地点时,就在那边度过这一夜的其余部分。天刚一亮,奥塔基利乌斯已经派守卫那部分海岸的约四百名骑兵来对付他们,还有一些从驻军那边武装着一起跟来的人。我军的这些人进行自卫,在杀死了一些敌人之后,安全无恙地赶到自己的部队那边。

    29.在这一战役之后,住在利苏斯的罗马侨民组织——这个市镇是凯撒以前交给他们的,而且还关心给他们筑好了防御工事——把安东尼接进了他们的市镇,用各种各样东西支援他。奥塔基利乌斯为自己的安全担心,逃出这个市镇,到庞培那边去了。安东尼的全部军队共计有老兵组成的军团三个,补充新兵组成的军团一个,还有八百名骑兵,统统登陆之后,他派他的绝大部分船只返回意大利,再去载运其余的士兵和骑兵。他把一种高卢的船只叫做“驳子”的,留在利苏斯,为的是如果庞培认为意大利没人留守,把他的军队忽然运回到那边去——这种说法在群众中流传甚广——凯撒就可以有办法追赶他。他还派使者急速赶到凯撒那边去,通知他自己的军队已经在什么地方登陆,一共带来多少部队。

    30.凯撒和庞培几乎是同时知道这件事的,因为他们自己看到了这些船只航过阿波洛尼亚和迪拉基乌姆,已经在陆地上朝着这个方向来赶它们。但在最初几天内,他们不知道它们已经一路航向何处。当他们了解情况之后,双方各自采取不同的计划,凯撒考虑的是自己应当尽可能的和安东尼联合起来,庞培考虑的是最好能和行军途中的敌人恰巧遭遇,以便他有可能乘对方意料不及时,用伏兵攻袭他们。两人在同一天领着军队出发,庞培是偷偷地在夜间、凯撒是公开地在白天,离开他们在阿普苏斯河上的永久性营地。但是,凯撒要走的路比较长,须要逆流而上绕一个大圈子才能在一处渡口过河。庞培因为不要过河,路途方便,就以急行军向安东尼处迅速赶去。在知道对方也正在朝自己赶来时,他寻到一处合适的地点,把部队停驻下来,并且命令所有部下都不得离开营帐,也不准举火,以便自己的到来能够更加保密。这些行动马上被一些希腊人报告给安东尼,他一面派使者赶到凯撒那边去,一面自己一整天都守在营寨里不出来。凯撒在第二天就赶到他那边。庞培听到凯撒来到,为了避免被两支军队夹在中间,就离开那地方,带着全军赶到迪拉基乌姆人的一个市镇阿斯帕拉吉乌姆,在那边的合适的地方扎下营。

    31.就在这个时候,西庇阿在阿马努斯山附近受到了一些损失,却还是给自己加上一个“英佩拉托”的称号。这样做了之后,他向一些城镇和君主索取了大宗金钱,向他那个行省的包税人勒索两年的税款,又向这些人借支了次年的税,并且从全行省征集骑兵。当这些收集起来之后,他把近在身边的敌人、即不久以前杀死过统帅马尔库斯·克拉苏、围困过马尔库斯·比布卢斯的安息人,抛在身后不管,带着自己的军团和骑兵离开叙利亚。当他到达行省的时候,正是那边因为担心发生一场安息人的战争,极感焦虑和恐慌的时候,而且可以听到有些士兵在扬言如果带他们去抵抗敌人,他们就去,如果带他们去对抗公民和执政官,他们决不拿起武器来。他仍旧领着自己的军团赶向佩伽蒙,就在那边的一些最富庶的城市息冬,一面颁发给他们大量犒赏,而且为了安定军心,他还把这些城镇交给他们去洗劫。

    32.同时,他们用最凶残的勒索手段,在全行省榨取钱财,此外还想出各式各样的剥削方法来满足他们的贪欲。捐税加到每一个奴隶和儿童头上,屋柱税、门户税、粮食、士兵、武器、划手、弩机和运输船,无一不在需索之列。不论那一种征发,只要能找到一个名目,就可以用来作为敛钱的足够理由。不但城市,几乎就连村庄和堡垒,也都派有一个手持军令的人,这些人中,发现得最凶横、最残酷的,就被认为是最能干的人、最出色的公民。行省中到处都是校尉,到处都是统兵大员,到处挤满总管和督征官,他们除了奉命需索的钱财以外,还为自己私人捞摸一些,他们宣称自己是从家乡本土被驱逐出来的,没有一样东西不缺乏。他们就凭这种堂皇的借口把最丑恶的行为掩盖过去。在这些事情上面,还得加上战时每逢向某地居民集体摊压金钱时通常出现的那种沉重的高利贷,在这种情况之下,给拖延一天据说就算恩典了。因而在这两年中,行省的债务成倍地增加。尽管如此,向在行省的罗马公民勒索的定额巨款,并没因此减少些,而是一个个侨民组织、一个个城镇统统都收到了。他们把这些款子说成是奉元老院之命借的债,还和在叙利亚那样,向包税人索取明年的税款,作为预支。

    33.而且,在以弗所,西庇阿下令把过去贮放在狄安娜神庙的金钱都取出来。他为做这件事情安排了具体日期。当他们来到这神庙,而且带来了被邀请来参加这工作的一批元老等级的人员时,正好从庞培那边送来一封信,通知他凯撒已经带着军团渡过海来,要他火速带着军队赶到庞培那边去,其余的一切事情都应该先搁下再说。接到这信,他遗走了自己邀请来的那些人,开始准备到马其顿去的行军,几天以后就出发了。这一意外给以弗所的金钱带来了安全。

    34.凯撒在跟安东尼会合后,把他为了要防守海岸而驻扎在奥里库姆的军团也调了去。他认为自己应当推进得更远一些,把几个行省都争取过来。当塞萨利亚和埃托利亚的使者来到他这里,答应说如果他派一支守军去,他们这个族的所有城镇都愿听他的命令时,他派卢基乌斯·卡西乌斯·隆吉努斯带着新兵编成的那个军团、即称作第二十七军团的那个;以及二百名骑兵,进入塞萨利亚;盖尤斯·卡尔维西乌斯·萨比努斯带着五个营和少数骑兵,进人埃托利亚。他又特别叮嘱了他们一番,因为这些地区都就在附近,所以要他们提供粮食。他命令格涅尤斯·多弥提乌斯·卡尔维努斯带两个军团,即第十一军团和第十二军团,以及五百名骑兵,进入马其顿。这个行省的叫做“自由马其顿”的那一部分,当地的领袖墨涅德穆斯被派来作为使者,向凯撒表达了他们全体人民的非凡的敬慕之忧。

    35.这些人之中,卡尔维西乌斯一到,就被全体埃托利亚人极端友好地接了进去,在驱逐了卡吕东和珍帕克图斯两地的敌人守军以后,占据了整个埃托利亚。卡西乌斯带着军团到达塞萨利亚。这里原来就有两派,他在这个市镇上遇到的是两种截然不同的心情。一个久已得势的叫赫吉萨勒图斯的人,偏袒庞培一方,一个出身极高贵的青年佩特拉欧斯,则竭力以他自己和他那一党的力量,支持凯撒。

    36.同时,多弥提乌斯进入了马其顿,许多城市的使者开始集中着来迎接他。有消息传来说,西庇阿已经带着军团靠近了,在人民中间引起了广泛的猜测和谣传,因为在非常时期,谣言总是跑在事实前面的。西庇阿没在马其顿的任何地方多作耽搁,就向多弥提乌斯急急赶去。当离开多弥提乌斯还只有二十罗里时,他突然又转过头去,赶向正在塞萨利亚的卡西鸟斯·隆吉努斯。他的这个行动来得如此急促,以致他已经来到的消息竟和他正在赶来的消息同时送到。而且他为了可以更加轻快地行军,把军团的辎事都留在分隔马其顿和塞萨利亚的阿利亚克获河边,派法沃尼乌斯带八个营留下来守卫,并命令在那边给一座碉堡筑起防御工事来。同时,惯于在塞萨利亚边境一带出没的科蒂斯国王的骑兵,也迅速飞驰奔向卡西乌斯的营寨。卡西乌斯已听到西庇阿正在赶来,再看到这支骑兵,误认为就是西庇阿的部队,一时惊惶失措,就向环绕塞萨利亚的丛山中退去,再从那边开始掉头朝安布拉基亚的方向进发。但西庇阿正在急追时,跟着却送来了马尔库斯二法沃尼乌斯的信,说:多弥提乌斯带着军团已经逼近,如果没有西庇阿的帮助,他将守不住现在驻扎的那个据点。接到这信,西庇阿改变了自己的计划和路线,停止追赶卡西乌斯,急急赶回去援助法沃尼乌斯。他日以继夜地行军,赶到法沃尼乌斯处,时机真是最凑巧也没有,当多弥提乌斯行军的烟尘可以辨清的时候,恰恰也正是西庇阿的前锋部队可以望得见的时候。这样,多弥提乌斯的干劲给卡西乌斯带来了安全,西庇阿的速度,又给法沃尼乌斯带来了安全。

    37.西庇阿的永久性营寨和多弥提乌斯的营寨之间,有阿利亚克蒙河经过,他在那座营寨中停留了两天,在第三天破晓,带着军队从渡口过河,筑起了一座营寨之后,次日早晨,在营寨前把他的队伍布列开来。这时多弥提乌斯也毫不迟疑地认为自己应该把军团领出去,正式作一次战斗。但是,虽说在两军之间的一片平原大约有两罗里宽,多弥提乌斯却把他的队伍一直推进到西庇阿的营寨。西庇阿仍旧坚持不肯离开他的堡垒。虽说多弥提乌斯费了很大劲才控制住士兵,不让他们径自投入战斗,但主要还是由于在西庇阿的营寨面前正好有一条两岸陡急的溪流,阻碍了我军的推进。当西庇阿看到我军的热情和对战斗的渴望时,考虑到第二天他不是将违反自己的意愿,被迫战斗,就是将极丢脸地把自己关闭在营寨里,干是,尽管他是怀着很大的希望赶来的,冒冒失失的推进却使他陷入一个进退两难的尴尬境地,甚至连拆营都没宣布就乘夜渡过河去,回到原来从那边赶来的地方,在那边靠河岸的一处天然高地上扎下营。歇了不多几天之后,他乘夜间在我军前些日子几乎经常去采牧的地方布置下骑兵埋伏。当多弥提乌斯手下的骑兵总管昆图斯·瓦鲁斯依照他每天的习惯到来时,他们突然从埋伏的地方跑出来。但我军奋勇地顶住他们的攻击,一到每个人都迅速回到自己的行列中时,全队转过身来,向敌人发动攻击。在杀死他们约八十个人,把其余的赶得四散逃奔时,我军回转营寨,只损失了两个人。

    38.经过了这些事情,多弥提乌斯希望能把西庇阿引出来战斗,假装因为迫于粮食短缺,移营它去。当按照军中的惯例传呼整装待发之后,他前进了三罗里,在一个合适而又隐蔽的地方,把全部军团和骑兵停驻下来。作为跟踪追击的准备,西庇阿把他的骑兵中的一大部分派去探索和了解多弥提乌斯走的是哪条路。当他们一路前进,走在前面的几个小队已经进入我军的埋伏地区时,战马的嘶叫声引起他们怀疑,他们开始向自己的部队那边退去。后面跟着的人,看到他们迅速后退,也停下步来。我军因为自己的埋伏已经被识破,为了免得白白浪费时间等候其余的人,就堵截住他们的这两个骑兵小队。发动攻击,其中包括有他们的骑兵总管马尔库斯·奥皮弥乌斯。所有的人,不是被杀,就是被俘虏了带回来给多弥提乌斯。

    39.象前面所说,凯撒调走了海岸守军后,在奥里库姆留下三个营保卫这个市镇,把他从意大利带来的战舰也交给他们看守。这一任务和这个市镇都交给了副将阿基利乌斯·卡尼努斯。他把我军的舰只统统都撤到市镇后面的内港里,系在岸边,而且把一艘商船沉没在海港的隘口,把海港封闭住,在这艘船上面,又联结上另一条船,他给这条船筑起一座塔楼,让它正好面对着海港的人口处。在这座塔楼上,他布置下士兵,命他们警惕着一切突如其来的意外。

    40.一知道了这些事情,正在统率埃及舰队的小格涅尤斯·庞培来到奥里库姆,用一架绞盘和许多绳索,费了很多手脚把沉在水里的那只船拖走,再攻打第二艘阿基利乌斯停放在那边守护的船,他用许多船只进攻,它们上面都筑有塔楼,和我们船上的一样高,这样,他们就能在较高的地方作战,小庞培还不时派生力军来替换疲乏了的人。同时他又从四面进攻市镇的城墙,一边在陆地上用云梯,一边用舰队,为的是把对方的兵力分散。这样,他便利用我军的疲劳、利用大量的矢石,战胜我军,驱走守卫该船的我军战士——他们都被小艇接过去逃走——攻占了那条船。同时,在另一方面,他又占领了那天然伸向外面的、几乎把市镇变成一个小岛的防波堤,再在四只双列桨船的船底垫上滚木,用橇棒把它们一路硬拖进内港。然后他们从两面进攻那些现在系在岸边的空的战舰,他带走了四艘,纵火烧掉了其余的。这项工作完成后,他把从亚细亚舰队调来的德基穆斯·莱利乌斯留了下来,让他阻止从彼利斯和阿曼提亚送来的给养进入市镇。小庞培本人则赶到利苏斯去,攻打安东尼留在港内的三十艘运输船,把它们全部烧光。。他还试图攻取利苏斯,它有属于这个市镇的侨民组织的罗马公民和凯撒派到那里去充任守军的士兵在防守,在耽搁了三天、并在围攻中损失了一些人之后,他一无所成地离开那里。

    41.凯撒一知道庞培正在阿斯帕拉吉姆后,就也带着军队赶向那边去,顺路攻取了庞培有一支军队守在那里的巴尔提尼之后,第三天上到达庞培处,在离开他很近的地方扎下营。次日,他把全部军队带出来,列下战阵,给庞培一次对阵作战的机会。看到庞培在原地按兵不动,他认识到必须另作别的打算才行,因而重又把军队带回营寨去。次日,他带着全军出发,从艰难而又狭窄的小路绕了一个大圈子,向迪拉基乌姆赶去,希望能够不是把庞培驱逐回迪拉基乌姆,就是把他和迪拉基乌姆隔断,因为庞培把他的全部给养和全部作战装备都积聚在那边。果不出所料,因为庞培最初没有看清到他的计划,看到凯撒走的是一条从这地方通向别处去的路,就认为他是因为粮食缺乏,被迫离去的。后来他得到侦察人员的报告,在第二天移营前进,希望能从一条近路,抄到凯撒前面去。凯撒事先就已怀疑到会发生这样的事情,鼓励他的部下沉着气忍受艰苦,只在夜间的很短一段时间里停息了一下,早晨就赶到迪拉基乌姆。当老远一看到庞培的先头部队时,马上就在那边扎下营。

    42.庞培就此被和迪拉基乌姆隔断,他的计划再也不能实现,就采取不得已而求其次的办法,在一个叫佩特拉的高地扎下营,不大的船只可以航行到那边,而且可以挡住从某几个方向吹来的风。他命令他的一部分战舰赶到那边去集合,并且到亚细亚和在他掌握下的所有地区去运粮食和给养来。凯撒也考虑到战争将要长期拖延下去,而且整个海岸都被庞培的部下十分警惕地封锁着,他自己冬天在西西里、高卢和意大利造的船又迟迟不来,从意大利运给养来已经没有希望,就派昆图斯·提利乌斯和副将卢基乌斯,卡努勒乌斯进入伊庇鲁斯,去设法筹措粮食,还因为这地区离开较远,又在某些地点设置了谷仓,并把运输粮食的任务分配给邻近的各市镇。他还下令把在利苏斯的、在帕尔提尼中的、以及在所有各处寨堡中的全部粮食都搜索出来加以集中。数量仍然很少,一则因为当地的自然条件差——这地区崎岖多山,人民大都吃外来的粮食——再则还因为庞培早已预见到这一点,前几天就把帕尔提尼人当做被征服者看待,搜索和劫夺了他们的全部粮食,还发掘了他们的房屋,让骑兵统统搬到佩特拉去了。

    43.在知道了这些事情后,凯撒根据当地的地势,拟定了一个计划。环绕着庞培的营寨的,是许多高峻而又崎岖的山岭,他首先派驻军占据了它们,在上面筑起有防御工事的堡垒,然后按照每一处地方的地形,筑一道工事,把堡垒一个接一个地联结起来,用以围困庞培。他的想法是,首先,他自己的粮食供应很短缺,庞培的骑兵又远较强大,筑好这样的工事,他就可以冒比较少的危险,从任何方面把谷物和给养运来供应自己的部下。同时,他还可以阻止庞培的骑兵出外采收,使他们不再能在战争中发挥作用。再则,当消息传遍全世界,说庞培已被凯撒包围住,不敢出来作战时,还可以大大降低他的威信,看来他主要就是依靠这点威信来影响外族人的。

    44.庞培不愿意离开海或离开达拉基乌姆,因为他所有的作战装备、枪矛、武器和弩机,都聚集在那边,而且他还得靠船只运输粮食,维持军队,但他除非作一次战斗,又不能阻止凯撒的围困工程进展,而在这时候,作战是他决心要避免的。唯一留下的办法是采取一种孤注一掷的战略、即占领愈多愈好的山头,派出驻军去守牢愈大愈好的一片土地,把凯撒的军队牵制得愈分散愈好。他就是这样做的。通过建立二十四座碉堡,围起一个十五罗里的圈子,他就在这里面放牧。这片地里同时还有一些人工播种的粮食田,可以用来喂养牲口。正当我军以一长列工事来设法阻止庞培从任何地方冲出来,在背后攻击我军时,敌人在里面也筑起一长列防御工事、使我军不能进入它的任何地方,到背后去包围他们。但是,因为他们的士兵人数多,要围起来的是内圈,范围比较小,因而赶到我们前面去了。每当凯撒要占据一处地方时,庞培虽然已经决定不用全部兵力来阻止它,免得发生战斗,但还是在适当的地点把他拥有的数目极多的弓暨手和射石手派出去,使我军的许多人受了伤,并且使我军对中箭极为惴惴不安,几乎所有士兵都用毛毡、厚布层或兽皮为自己制作短内衣和护身,以御矢石。

    45.在占夺阵地中,双方都竭尽了全力。凯撒想把庞培限制在一个愈狭小愈好的圈子里,庞培则想占据一个愈大愈好的圈子,有愈多愈好的山头。为此,经常发生战斗。在其中一次,当凯撒的第九军团占据了一处阵地,开始构筑工事时,庞培也占据了邻近一个正面对着它的山头,开始阻挠我军工作。由于凯撒的阵地有一面上坡的地方几乎是平坦的,庞培首先派弓箭手和射石手包围了它,然后又派来一大批轻装兵,而且带来了作战机械,来阻挠工程的进展。我军一面要自卫,一面同时又要筑工事,很不方便。凯撒看到他的部下四面都有人受伤,命令他们退下来,离开那地方。撤退需要经过一道斜坡,敌人更加竭力紧迫我们,不让我军退走,因为他们认为我军撤出那地方是由于害怕。据说就是在那个时候,庞培曾经得意洋洋地在他那一批人面前夸口说:如果凯撒的军团能从这一冒冒失失地撞进来的地方撤走而不遭到严重的损失,他就甘愿被别人看成是一个不中用的统帅。

    46.凯撒为他的部下撤退感到担心,命令把木栅送到这座山的尾端一头去,面向着敌人堆放起来。他又命士兵就在它的掩蔽之下,在它们的后面挖掘出一条中等宽度的壕堑,并把地面到处弄得越难走越好。他还把射石手布列在适当的地方,在我军撤退时给以掩护。这些布置完毕后,他就命令把军团撤回来。庞培的军队开始更加傲慢、更加大胆地向前推进,追逐我军,他们推倒作为防御工事的木栅,以便越过壕堑。当凯撒看到时,深恐自己的军队看起来不是象在撤退,而是象在败逃,引来更大的损失,就在正当他的部下奔下斜坡的时候,通过统率这个军团的安东尼之口鼓励他们,并命令用喇叭发出号令,叫他们向敌人冲击。第九军团的士兵齐心合力,突然掷出他们的轻矛,从较低的地方向山上猛冲上去,把庞培的军队一路赶下去,迫使他们转身飞逃。在他们退走时,翻倒了的木栅、竖立在他们路上的柱子、以及横截路面的壕沟,大大阻碍了他们。我军杀死了许多敌人,自己一共只损失了五个人,认为这样已经足够让自己毫无危险地撤走,就极为安静地退下来。于是,在那地方这面的一边略作停息之后,又再围进别的几个山头,完成了他们的防御工事。

    47.这种战争方式,无论就堡垒数目之多,活动范围之广、以及防御工事之大来说、还是就这整个的封锁体系和其它一些方面来说,都是新鲜而又陌生的。因为随便什么时候,一支军队试图围困另一支军队时,一定是自己已经攻击过这支挫败并且削弱了的敌人,对方已经在战斗中被打垮过、或已经因某些挫折而惊慌不堪,自己这边,无论步骑兵都在数目上占有优势,包围的目的通常都是阻止敌人取得粮食。但在这次,凯撒却用比较薄弱的兵力包围一支完整无恙的生力军,他们的各种物资供应也极为充裕,因为每天都有大量船只从四面八方赶来,运送供应,无论刮的是东西南北哪一方面的风,总不会没有一个方向处在顺风的地位。但凯撒本人却处在极端的窘迫中间,远近各地的粮食都耗光了。虽说如此,士兵们都以非凡的忍耐工夫忍受着它,因为他们心里记得去年在西班牙遭受过差不多同样的苦恼,而且由于自己的劳动和忍耐,结束了一场非常艰巨的战争;他们还记得自己在阿勒西亚遭受过极苦痛的饥荒,在阿瓦里库姆的经历更为艰难,结果还是征服了非常重要的一些国家。因而,在发给他们大麦或豆子时,他们也毫不拒绝。至于肉类,有从伊庇鲁斯来的大批供应,很得到他们的好感。

    48.一些闲着没事的人,发现了一种叫做“卡拉”的植物的根,它和牛奶混合起来之后,大大缓和了我们的缺粮现象。他们把它做成象面包的样子。这种东西数量极多。当庞培部下的人在谈话中取笑我军挨饿时,我军通常都把这种东西做的面包投到他们那边去、戳破他们的希望。

    49.这时,谷物已经开始成熟,光是这种希望就能鼓舞他们忍受饥饿,因为他们相信自己很快就会充裕起来。经常听到人们在值岗时交谈,说:他们宁肯吃树皮过日子,也不愿让庞培溜出自己的手掌。再加上,他们还高兴地从逃亡来的人那里获悉,虽然敌人的马还勉强养活着,其余的牲口却都死了。他们因为被紧紧围困在一块很狭小的地方,大量尸体散发的恶臭,和每天不断地干从来没习惯过的劳动,健康情况也很糟,再加还严重地缺水。因为流到海里去的河流和所有的溪涧,都已经被凯撒有的决开流向它处,有的用巨大的工程堵塞。这地区本来多山而又崎岖,他在地里埋进木材,地上再堆起泥土,筑起土坝,堵塞住山谷的狭口,截住水流,因而敌人只能耽在低下的沼泽地方,并且挖掘水井,这种工作就成为他们日常劳动之外的额外负担。这些水源往往离开他们的一些碉堡很远,而且在灼热的气候之下很快就干涸。另一方面,凯撒的军队健康情况极好,有充裕的水可供应用,而且除粮食以外的各种各样给养都极丰富,因此他们看到谷物在成熟时,感到一个更加美好的日子正在一天比一天更接近,更大的希望已经展现在他们面前。

    50.在新奇的战争中,双方还都在创造新奇的战斗方法。当敌人从火光上看出我军的部队晚上在壁垒的哪一部分戒备时,他们就一伙人悄悄赶来,向我军密集的士兵发射乱箭,然后又急急地退向自己人那边。这些事情,使我军从经验中学到了下列的补救办法,即在一个地方举火,却在另一个地方警戒……

    51.同时,凯撒在离开时把营赛托付给他的普布利乌斯·苏拉,接到有关此事的报告,带着两个军团赶来支援这个营。他们一来,就很容易地把废培的军队赶了回去。事实上,他们并没有勇气和我军照面,也经不起我军的攻击,前面的一冲垮,其余的就都转身逃走,放弃了阵地。但当我军追去时,苏拉恐怕他们跑得太远,把他们召了回来。有许多人认为如果他决心穷追猛赶,也许可能战争就在那一天结束了。但苏拉的做法似乎不应该受到责难,因为一个副将的职责和一个统帅的有所不同,副将应该一切行动都听从吩咐,统帅则必须不受拘束地考虑整个大局。苏拉是被凯撒留下来主持营务的,救出自己的部队就已经满足了,并不想出去作一次正式的决战;出去决战,说不定会遇到难于逆料的风险,而且还会被人家看做是抢夺了统帅的职权。至于庞培的军队,他们的处境使他们在撤退中遇到很大的困难,因为他们是从很不利的地形推进到山上来的,如果他们沿着山坡退下去,深恐我军从高处冲下去追赶。再加当时离开太阳落山已经没有多少时间,他们因为急于想结束这一役,所以已经把战事一直拖延到傍晚了。因而,庞培出于无可奈何,不得不采取适合当时情况的措施。他占领了某一个山头,离开我军的这一段距离,正好使机械射出去的武器够不到,就在那边驻扎下来,而且筑起防御工事,把他所有的部队都收拢在那边。

    52.此外,在同一时期,还有战事在别的两处地方进行。因为庞培为了把我军平均分散牵制在各地,在同时试攻几处堡垒,使邻近的驻军不能派援军来。在一个地方,沃尔卡提乌斯·图卢斯带了三个营顶住一个军团的攻击,把它从那地方赶走。在另一处,日耳曼人从我军的工事里冲出来,杀死很多敌军后,安然无恙地退回自己人那边。

    53.就这样,一天发生了六起战事,三起在迪拉基乌姆,三起在外围工事。在总结它们的全部成果时,发现庞培的军队死去约二千人,其中有许多留用老兵和百夫长——包括曾以司法官身分主管过亚细亚行省的那个卢基乌斯·弗拉库斯的儿子瓦勒里乌斯——还俘来六面连队标帜。我军在所有这些战斗中只损失不到二十个人。但在堡垒中间,却没有一个战士不负伤,有一个营竟有四个百夫长丧失了眼睛。为要证明他们的辛劳和危险,他们数给凯撒看射向这个堡垒的箭,竟达三万左右。当百夫长斯凯瓦的盾送来给凯撒看时,发现它上面射有一百二十个洞。凯撒为了他给自己和共和国立下的功劳,除赏给他二十万塞斯特斯以外,还赞扬他,宣布把他从第八营的百夫长提升为第一营的百夫长。因为大家一致认为这个堡垒确乎大部分是由于他的努力才保存下来的。后来,他又给了这个营丰厚的酬报,发给他们加倍的饷给、口粮、衣着、食物和作战犒赏。

    54.在晚上,庞培增筑了坚强的防御工事,随后几天,又再筑起塔楼,把这工事加高到十五罗尺,然后把他的这部分营赛用行障掩护好。经过了五天以后,凑巧遇上第二个黑暗的夜晚,他把所有营寨的门都堵上,而且敷设了阻拦敌人的许多障碍物,在第三更初,悄悄带着军队出来,重新返回到自己原来的工事里去。

    55.在以后的接连几天中,凯撒天天都把部队列成战阵,带到平地上来,几乎把他的军团一直推进到庞培的营寨,看看庞培是不是愿意作一次决战。他的前锋离开敌军的壁垒只保持着弩机发射的武器不能达到的这样一段距离。庞培虽然为了顾全自己的名声和人们的舆论,也把自己的军队布列在营寨前面,但却把他的第三列布置在壁垒上,这样,在全军的阵列拉开时,就可以受到从壁垒上掷下来的轻矛掩护。

    56.埃托利亚、阿卡纳尼亚和安菲洛基亚,正象我们前面所说,已经由卡西乌斯·隆吉努斯和卡尔维西乌斯·萨比努斯收复,凯撒认为他应该试行取得阿卡亚,再稍稍向前推进一些。因而,他派孚菲乌斯·卡勒努斯带几个营。由萨比努斯和卡西乌斯陪同着一起前去。知道他们到来时,由庞培派在那边守卫的卢提利乌斯 ·卢普斯,决定封锁住科林斯地峡,不让卡勒努斯进入阿卡亚。卡勒努斯利用得尔斐、底比斯和奥科墨努斯这些城镇自身的一片归诚之心,收复了它们,还用武力攻下了一些城镇。他并且派出一些使者去,周历其它一些城镇,竭力使它们和凯撒结上友好关系。孚菲乌斯的主要力量几乎都化在这些工作上面。

    57.当这事在阿卡亚和迪拉基乌姆进行时,大家都已经知道西庇阿进入了马其顿。凯撒仍没忘记自己先前的意图,把他和西府阿的共同的朋友奥卢斯·克劳狄乌斯派到西庇阿那边去,克劳狄乌斯原来就是由西庇阿的介绍推荐,才被凯撒当成一个知交的。凯撒交代给他一封信和一些话、叫他带给西庇阿,它的内容大致是;在为和平用尽了一切办法之后,他认为其所以一事无成,错误在于他希望他们去经手这件事情的那些人,因为这些人都怕向庞培提出他的建议时间不当。西庇阿却有这样的权力,即不但可以自由提出自己认为是正确的东西,而且在很大的程度上还可以强迫和驾驭一个误入歧途的人。加之,他所统率的一支军队,是属于自己名下的,因而。除了威望之外,他还有力量可加以强制。如果他能这样做,每个人都会把意大利的安宁、行省的和平和整个国家政权的安全,都归功于他一个人。克劳狄乌斯把这些口信带去给了西庇阿,虽然在最初几天里他看来很乐意听他讲,但在后来的日子里,就不再让他参加会议,因为西庇阿受到了法沃尼乌斯的责怪,这是我们在战争结束之后才得知的,因而他一事无成地回到凯撒这里来。

    58.为了把庞培的骑兵更加方便地控制在迪拉基乌姆,阻止他们采牧,凯撒用巨大的工事扼守住那两条我们已经说过的很狭窄的通道,还在那些地方建造起碉堡。当庞培发现骑兵不能有所作为时,就在不多几天之后,重新用船只把它们调回到自己那边的防御工事里去。刍秣极端缺乏,以至他们竟须用树上摘下来的树叶或捣碎的嫩芦根来喂马,因为他们已经用光了工事里面人家播种的谷物,被迫要到相隔很远一段海路的科库拉和阿卡那尼亚去搬运刍秣。由于这些东西供应不上,就代以大麦,用这种种办法来维持马匹。但以后,不仅大麦和别的刍秣,就是到处收割的草料都开始短缺,甚至连树上的枝叶都吃光了时,马因为瘦骨鳞峋,再没有用处、庞培认为必须通过一次突围来试探一下出路了。

    59.在凯撒的骑兵中,有一对阿洛布罗格斯族的兄弟,一个叫劳基卢斯,一个叫厄古斯,是担任过该邦领袖多年的阿德布基卢斯的儿子。他们都是勇敢异常的人,在高卢的历次战事中,他们的卓越才能和英勇,使凯撒得到过很大帮助。为了这缘故,凯撒把他们自己国内的非常尊荣的职位授给他们,还设法让他们破格地当选进入元老院,而且分给他们从敌人那边夺来的高卢土地和大批钱财,使他们由贫变富。这两个人,因为他们的勇敢,不仅在凯撒面前受到尊重,而且在军队中也很受爱戴。但由于他们倚恃凯撒的友谊,竟以一种出于愚昧和野蛮的傲慢态度,自高自大起来。他们看不起自己的国人同胞,诈骗骑兵的饷给,还把所有的战利品往自己家里搬。人们被他们这种行为激怒了,一起跑到凯撒面前来,公开控诉这两兄弟的罪行,在其他许多劣迹之外,他们还指控这两个人虚报骑兵的人数,吞吃他们的饷给。

    60.凯撒认为这时还不是惩处罪行的时候,再加还十分顾惜他们的勇敢,就把这件事整个拖宕下去。但在私底下,他却责备这两个人不该到骑兵身上去揩油,而且叮嘱他们要把一切期望都寄托在和他自己的友谊上,可以从他过去给他们的恩惠上预见将来可望得到的东西。虽说如此,这件事情却引起大家对他们极大的愤慨和轻蔑,他们自己也很知道这一点,因为除了别人的谴责之外,还有他们自己的亲友在评论,自己的良心在不安。除了这些耻辱在刺激他们之外,他们还担心可能自己不是受到了饶恕,而是留待将来再行惩罚,因而他们就决心离开我们,去碰碰新的运气,试交一些新的朋友。在和少数他们敢于向之提出这一冒险计划的门客商量之后,他们最初企图杀死骑兵总管盖尤斯·沃卢塞努斯,正象后来战争结束以后才得知的那样,他们想被人看成是带着一些进门之礼去投奔庞培的。后来,这件事情看来很难办,没有机会可以让他们下手,他们就借了尽可能多的钱,装做他们想满足自己的同胞,把诈骗去的钱还给他们似的。在买了许多马之后,他们带着曾经让其参加自己计划的那些自己人,投奔到庞培那里去。

    61.由于他们出身高门大族,带去的行装很丰裕,又有一大批随从和牲口跟了去,而且被认为是极勇敢、极受凯撒尊重的人,再加这件事情来得很新奇,出于常情之外,庞培就领着他们环绕他听有的工事兜了一个圈子,炫耀一番。因为在这件事以前。不论步兵还是骑兵,从来没有一个人曾经从凯撒这边跑到庞培那边去过,虽说差不多天天有人从庞培那边逃到凯撒这边来,尤其是从伊成鲁斯和埃托利亚征调来的、以及从正在凯撒占领下的地区来的那些人,在成批地逃过来。但是,这兄弟两人确实对一切情况都很了解,象围困工事还有什么地方没有完成,或者在有军事经验的人眼中看来还有哪些欠缺,再如象时间的安排,地方的距离,以及随着主管人员的性情脾气不同和干劲不同而出现的哨岗勤惰松紧不同等等,他们都—一报告给了庞培。

    62.正象我们已经叙说过的那样,庞培原来就计划好要作一次突围,在了解这些情况后,命令部下用柳条为自己的头盔制作防护罩,并且收集用于壁垒的材料。当这些东西准备好之后,、他在晚上命令把大量轻骑兵和弓弩手带着所有这些材料登上划艇和快船。大约在半夜,他领了从较大的营地和防御工事中抽出来的六十个营,赶到我军的壕堑一直伸展到海边、距凯撒的大营最远的那部分去。他把上面已经说过载着材料和轻装兵的船只也派到那边去,同时派去的还有他在迪拉基乌姆的那些战舰。并发布命令说明他要每个人做的事情。凯撒派驻在那些壕堑边的,是他的财务官伦图卢斯·马尔克利努斯和第九军团,由于他的健康情况不怎么好,凯撒又派有享尔维乌斯·波斯图穆斯在那边协助他。

    63.在那边,有一条十五尺宽的沟和一道十尺高的面对敌人的壁垒,壁垒的土方工程宽度也是十尺。距它六百尺之外。还有一道防御工事,面朝着另一个方向,壁垒比较低一些。因为在前几天,凯撒恐怕我军被敌人舰队围困,就在这里造了这条双重的壁垒,一旦遇到两面受敌,就可以守下去。但由于他的围困工事围起来的这个圈子长达十七罗里,工程浩大,再加每天在连续工作,又很疲劳,因此还没来得及使它完成,面向大海,联结这两条工事的横向壁垒,就没有竣工。庞培很知道这些情况,阿洛布罗格斯族逃去的人已经告诉了他,这引起我军的极大不利。正当第九军团的两个营在值岗时,庞培的军队突然在破晓时到来,同时,载在船上的兵士纷纷向外层壁垒投掷轻矛,并用泥土填没壕堑,他的军团士兵架起云梯,用各式各样弩机和矢石恐吓守卫内层工事的我军士兵,还有大量矢矛四面八方投向他们。我军唯一的武器就是石块,但投出去时,对方绝大部分都有这在头盔上的柳条编的防护罩在给他们掩护。当我军各方面都在沉重的压力之下,坚守阵地十分困难时,前面提到过的防御工事上的缺口显露出来,庞培的军队就在两条壁垒之间还没完工的地方登陆,从身背后向我军两面的士兵进攻,把他们逐出这两道工事,迫使他们飞奔逃走。

    64.在接到这场突然攻击的报告时,马尔克利努斯从营里派出几个营去支援狼狈不堪的我军,这些人上去时,看到他们在奔逃,非但不能以自己的到来使他们坚定下来,就连自己也受不住敌人的猛攻。因而每加派一次援军,都被溃兵的奔逃吓慌,增加了恐怖和危险。撤退也因为人数太多,受到阻碍。一个在这场战斗中受到重创的相鹰帜的旗手,精力已经不支,看到我军骑兵时,叫道:“这只鹰帜,我一生中曾经化了多年心血小心谨慎地保护过它,现在我快死了,我要用同样的忠诚把它奉还给凯撒。我恳求,快别让败坏军队荣誉的事情发生,在凯撒的军队中还没发生过这种事情呢!把它完整地带回去给他吧”由于这一偶然的机会,鹰帜被保全下来,虽说第一营所有的百夫长,除了主力军的前百夫长之外,统统被杀死了。

    65.庞培的军队在已经大批屠杀了我军之后,逼近马尔克利努斯的营寨,在其余的各营中引起了不小的惊恐。正在邻近防守工事里的马尔库斯·安东尼,已经得到消息,这时可以看到他正带着十二个营在从高地上奔下来。他的到来,挡住了庞培的军队,鼓舞了我军,使他们从极端的恐惧之中恢复过来。不久之后,凯撒按照过去的习惯,从一个堡垒接一个堡垒传送过去的烽烟上得知此事,也带着从据点中抽出来的几个营赶来这地方。当他了解了遭到的损失,又看到庞培已经冲出了围困工程,并且正在靠海的地方筑一座营寨,以便能自由获得刍秣,同时还可以得到一条通向他船队的通道时,凯撒认为反正原来的计划已经不能再坚持下去,就索性改变战略,命令他的部队在靠近庞培的地方筑一座营寨。

    66.当这座营寨的防御工事竣工时,凯撒的侦察人员看到有若干营敌军,大约足足有一个军团,正在树林后面,被领着向那老营走去。那营寨的形势是这样的:在前些日子。当凯撒的第九军团在抗击了庞培的部队、并且正象前面所说,用工事围困他们以来,就在这地方扎下这座营寨。这营寨正靠着一片森林,离海不超过三百步。后来凯撒为了某些理由,改变了计划,迁走了他的营寨,稍稍离开了这地方一些。过了几天之后,庞培占领了这同一座营寨,由于他想在这地方安置几个军团,他放弃了里面的壁垒,增筑一圈更大的工事。这样一来,那个较小的营寨,就被围在一个更大的营寨中间,变成它的一座内堡或卫城了。同时,在营寨的左角,他筑了一道工事,一直通到河边,约四百步长,以便他的部下可以更加方便地取水,不必担心危险。但是,他也为了某些不值一提的理由,改变了计划,离开了这地方,因而一连许多天,这座营实一直空着没有人,那些工事都还完整无恙。

    67.侦察人员报告凯撒说,这个军团的旗号已经被移转到那边,他们向他保征说,从几个较高的堡垒上也看到了这件事。这地方离开庞培的新营寨大约五百步左右。凯撒急于想弥补这天遭到的损失,希望能击垮这个军团,因而在工程上留下两个营,假作仍在建造工事的样子,他自己则极端秘密地领着其余的部队,计三十三个营,其中包括已经损失了许多百夫长、士兵的行列也大为稀疏了的第九军团,列成双行,从一条支路奔向庞培的军团和那个小的营寨。他原来的想法并没有落空,他在庞培还没觉察到以前,就赶到了那边,虽说那营寨的防御工事很坚强,经过左翼——凯撒自己也在这一面—一发动的攻击,庞培的部队被从壁垒上驱走。营门有镶嵌着铁钉的栅栏堵塞着。在这里战斗了一会儿,我军试图硬冲进去,对方则守卫着自己的营寨,提图斯·普利奥,即我们以前提到过,由于他的活动,盖尤斯 ·安东尼的军队被出卖的那个人,在这地方极勇悍地领导着防御战。虽然如此,我军战士仍以他们的坚毅取得了上风,砍倒了栅栏,先是突入了大营,后来又突入了包围在大营中作为内堡的那个小营,被击溃了的那个军团,就退守在那边,我军在那边杀死了一切仍在继续战斗的人。

    68.但命运在任何.一切事情上,都能发挥极大的作用,特别是在战争上,它只要轻轻摆动一下,就会使事情发生巨大的变化。这时居然就发生了。凯撒的左翼诸营不了解地形,在找寻营寨的入口时,沿着我们已经说过的那条从营寨通向河流的工事一路奔去,还以为这就是营寨的工事。等到他们发现它们只是连接营寨和河流之间的通道时,就开始捣毁工事,跨越过来,这时也没有人在抵抗他们。我军的所有骑兵就跟在这几个营后面。

    69.这时,已经过了相当长的一段时间,消息已经传到庞培那边,他从工事上抽出五个军团,带来援救他的部下。在这同时,他的骑兵也赶到我军骑兵处,他那布开的行列,已能被占领该处营寨的我军看到,立刻,一切都转变过来。庞培的那个军团因为有救兵很快就来的希望在鼓励着他们,试图在后营门附近抵抗,转而采取攻势,向我军进迫。凯撒的骑兵因为自己是从工事上的一条狭窄的小路爬过来的,唯恐难于退出去,因而开始逃走。已经被和左翼切断的右翼,看到骑兵中一片惊惶,为了避免自己在工事中受困,也开始从自己拆平的一段壁垒退出来。这些人中有许多人害怕被夹在这一块极狭小的地方不得脱身,自己从那十尺高的壁垒上向壕堑里跳下去。当前面的人在受到践踏时,其余的人就试图从他们的身体上跨出去求得安全和逃生之路。左翼的士兵,在壁垒上看到庞培到来,又看到自己人在奔逃,深恐里外两面都是敌人,自己会被封闭在这狭小的地方,就也都各自寻求生路,从原来进来的路上退出去。到处都充满着混乱、惊慌和选奔,以至就在凯撒从逃奔着手里夺过旗帜来,命令他们停步时,有些人仍在快马加鞭,一路飞驰奔逃。又有一些人由于害怕,甚至连自己的连队旗帜也丢掉了,没有一个人停下来。

    70.使这番大祸得以减轻、使我方没有全军覆没的原因,乃是宠培的害怕埋伏。据我猜想,正因为不久以前他还看见自己的部下正在飞奔逃出营寨,现在忽然发生的事情完全出乎他的意外,因而在很长一段时间内,一直不敢推进到工事所在的地方来。他的骑兵则因为路狭,特别因为这些路都在凯撒的部队占领之下,受到了阻碍。微不足道的小事情,就这样引起了对双方都很关重要的后果。当庞培的营寨已经被攻破的时候,那条从营寨连接到河流的工事,妨碍了凯撒几乎已经稳拿到手的胜利;也同是这条工事,挡住了追兵,又转而保障了我军的安全。

    71.在这一天的两次战斗中,凯撒损失了九百六十名战士以及一些有名的罗马骑士——一个元老的儿子、高卢人图提卡努斯·普拉肯提亚的盖尤斯·弗勒吉那斯、普特奥利的奥卢斯·格拉尼努斯、卡普亚的马尔库斯·萨克拉提维尔——三十二军团指挥官和百夫长,但这些人中,绝大部分都丝毫没伤,而是在惊慌奔逃中,在壕堑中、在围困工事上和河岸上被同伙践踏死的。此外还失落了三十二面连队标帜。在这次战斗之中,庞培接受了“英佩拉托”的称号,这个称号他今后一直保留着,也容许别人这样称呼,但却从来不经常在信函上用它,也不在自己的校尉的斧棒上用花圈作装饰。拉比努斯要求庞培命令把俘虏都交给他,然后、他把他们统统拉出来,显然目的在于炫耀,为的是好替自己这个叛逃过去的人争取一些信任,他口口声声称这些人“弟兄们”,用极傲慢无礼的语气质问他们:老兵照习惯是不是应该逃走,当着大家的两把他们都杀死。

    72.由于这些成功,庞培方面大大增加了信心和精力,非但不再考虑怎样进行战争,反而认为自己已经取得了胜利。他们没有想到,他们胜利的原因是我军部队的人数太少,所处的地势不利。又由于首先抢入敌人的营寨,地位狭窄,受到内外双重威胁,再加部队被分割为两半,彼此不能互相支援;他们更没有进一步想到,他们并没有在一场剧烈的遭遇战中、或一场正式的阵地战中战胜我们,我军由于人太挤,由于地方太狭小,自己给自己造成的损失。远比从敌人手里受到的损失大;最后,他们也没有想到,战争中大家都一样可能遇到意外,常常一点微不足道的原因,如一些毫无根据的猜疑、一场突然的虚惊、或一种宗教上的禁忌,往往就会惹来极大的灾难,更不论统帅的过错和指挥官的失误常常带给军队的失利了。但是,就象这场胜利真是全凭勇气博来,命运也不会再起什么变化那样,他们通过口头和信件,向各处各地传播这天胜利的消息。

    73.凯撒原先的计划遭到挫败,就考虑到必须改变自己的全部作战计划。因而,他同时撤出全部守军,放弃包围,把所有的部队都集中到一起。并对士兵作一次讲话,鼓励他们不要把发生的事情记在心上,闷闷不乐,也不要被这些事情吓怕,从而把一次失利——而且是小小的一次——和多次的成功,等同起来。他们已经应该感谢命运了,他们没受到什么损失就收复了意大利,他们平定了人民最勇敢善战、将领最富有韬略和经验的两西班牙,他们已经把邻近盛产谷物的行省收归自己掌握,最后,他们还应当记住他们全体已经从不但光只布满港口,而且还布满整个海岸的敌方舰队中穿过来,被安全地运送到这里,这是多大的幸运。如果说,并不是每一件事情都是一帆风顺地渡过来的,他们就必须用自己的辛勤努力来帮助命运。他们受到的损失,责任可以算到任何人头上,但就是算不到他凯撒头上。,他给了他们一个有利的作战地形,他占据了敌人的营寨,他在战斗中驱逐和击垮了敌人,但是,终不知是由于他们自己的张皇失措,还是由于一时的疏忽大意,甚或由于命运的转变,送掉了这么一场已经现成取得、并且掌握在手里的胜利,他们必须大家努力用自己的勇敢来弥补受到的损失。如果能做到这一点,就会象在格尔戈维亚的时候那样,遇到的坏事会变成好事,就连那些以前害怕战斗的人也会自动挺身作战。

    74.讲了这番话之后,他把一些连队旗保手当众斥辱了一顿,降职到行伍中去。这时笼罩着全军的是因惨败而来的巨大悲痛和对报仇雪耻的急切期望,以至没有一个人再坐等军团指挥官或百夫长的命令,每个人都自动担负起比平常更繁重的劳动,作为对自己的惩罚,渴望战斗的激情,在大家心里沸腾着,甚至就连一些级别较高的人员也都经过考虑,认为应该在原地通过战斗来一决雌雄。但另一方面,凯撒对他那支饱受惊恐的部队,已经没有足够的信心,认为应该有一段间息的时间,让他们的精神恢复过来,而且由于放弃了工事,他还非常担心他的粮食会接济不上。

    75.因而,仅仅耽搁了很短一段时间,刚刚够照料一下病人和伤员,他就在黄昏时悄悄把所有的辎重队伍从营里拉出来赶路,奔向阿波洛尼亚,在赶完路程之前,禁止他们停下来休息,并派一个军团去保护他们。安排好这些事情之后,他把两个军团留在营寨里,派其余各军团在第四更从几道门里出来,沿着同一条路走去。经过短短一段时间之后,他才下令传呼拔营开发,这样,既没背弃军队中的习惯,又可以使他的离去尽可能迟一点给人们知道。这时,他立刻动身出发,跟着军队前进,很快就走出那营寨能望得见的地方。另一方面,庞培在得知他的计划以后,深恐耽误追赶,片刻也不曾拖延,他的目的也一样,想趁对方在行军途中行李累资和仓皇失措之际追上他们。他领着他的军队赶出营寨,派骑兵走在最前面,来扰骚对方的后军。但他却无法追上我军,因为凯撒是轻装,已经赶出很多路了。当他们到达河岸陡急的格努苏斯河时,骑兵赶上来,挑动我军的后军战斗,拖住了他们。凯撒用自己的骑兵去抵挡敌军。而且骑兵中还配合有四百名轻装的旗下精兵。他们获得了极大的胜利,在这场骑兵交锋中,把对方全部赶了回去,还杀死了许多人,自己毫无伤损地退回大军的队伍。

    76.凯撒完成了这天该走的全部路程,并把他的军队带过了格努苏斯河,就在正对着阿斯帕拉吉乌姆河的他原来的老营寨里停驻下来,把他的全部人员,都关闭在营寨工事里,还命令他事先派出去佯装采牧的骑兵,立刻从后营门偷偷回来。庞培同样也在赶完了这一天的全程之后,在自己原来在阿斯帕拉吉乌姆河上的旧营里停驻下来。他的士兵因为原来的防御工事仍旧很完整,无事可做,有些跑到老远去收集木材和草料,其余的,因为采取出发的计划很突然,把他们的大部分辎重和行李都丢下在那边,现在认为反正离开原来的那个营寨不远,便都想回去拿行李,把自己的武器放在帐篷里,离开壁垒去了。这些情况将妨碍他们的追赶,凯撒是事先就料到的,就在大约正午时,下令拔营出发,把军队领出营寨,这天加倍赶路,从那地方前进了约八罗里。庞培由于自己的部下已经走散,不能也照样做。

    77.次日,凯撒又同样在黄昏时把他的辎重队打发先走。他自己在第四更天出发,这样,如果送到发生什么情况,非战斗不可的时侯、他就能以一支轻装的部队来应付突然到来的意外。在以后的几天里,他也都是这样做。采取这种办法的结果是:尽管一路河流很深,道路很艰险,他却没受到什么损失。庞培在第一天耽搁了一天,以后几天又以急行军穷追猛赶,急于要赶上前面的敌方部队。但都是白费精力、在第四天上,他认识到必须采用别的办法才行,于是停止了追赶。

    78.凯撒这时为了要安置伤员、发放军输、鼓励一下同盟、并给一些市镇留置驻军。有必要到阿波洛尼亚去一下。但他化在这些事情上的时间,刚好只是象他这样的忙碌奔走的人尽可能挤出来的那么一些他担心多弥提乌斯会因庞培的突然到来,弄得措手不及,就以最快的速度和最迫切的心情向他赶去。这时,凯撒已根据几种可能,安排好他的整个作战计划:如果庞培也匆忙赶到这里来,就迫使他在离开海岸很远、离开他储藏在迪拉基乌姆的给养也很远、双方条件相当的情况下,作一次决战;如果庞培渡海到意大利去,他就和多弥提乌斯的军队联合起来,穿过伊吕里库姆去救援意大利;如果庞培试图围攻阿波洛尼亚和奥里库姆,想把凯撒和整个海岸隔绝,他就动丰围攻西庇阿,迫使庞培出于无可奈何,不得不去救援自己这方面的人。因而凯撒派使者到格涅尤斯·多弥提乌斯那边去,写信告诉他要他做些什么。在阿波洛尼亚留下四个营驻军、在利苏斯留下一个营、在奥里库姆留下三个营、又在几个地方安顿好受伤的人之后,开始通过伊庇鲁斯和阿塔马尼亚行军。庞培对凯撒的计划也作了一番揣测,认为自己必须迅速到西庇阿那里去,如果凯撒是向那里行军的,他就去救援西庇阿,但如果凯撒想等候从意大利来的军团和骑兵,不愿离开海岸和奥里库姆,他就以全部军力去攻击多弥提乌斯。

    79.为了这些原因,双方都竭力想争取迅速行动,一方面去救援自己方面的人,一方面不错过突然可能出现的粉碎对手的机会。但阿波洛尼亚之行已经使凯撒偏离了直达大路,庞培以轻装行军,穿过坎达维亚进入马其顿。这时又发生了另一桩未曾预料到的困难,即许多天来一直靠近西庇阿的营寨驻扎的多弥提乌斯,这时因为粮食供应发生问题,已经移营离开那边,赶到紧靠坎达维亚的赫拉克利亚去,好象命运本身在把他送到庞培手里去似的。虽然如此,凯撒部直到此时还不知道此事。同时,在迪拉基乌姆战役之后,庞培向各行省和各城镇到处发出信件,把事实真相大大加以夸张和扩大,到处有谣言流传,说凯撒已经被打败逃走,几乎全军覆没了。这些谣言使路上充满危险,而且使许多城镇背弃了对凯撒的友谊。这种情况使得分别从许多条不同的路走的由凯撒派到多弥提乌斯那边去的、以及由多弥提乌斯派到凯撒这里来的使者,都没办法赶完自己的路程。但有一些阿洛布罗格斯族人,即我们说过叛逃到庞培那边去的劳基卢斯和厄古斯的朋友们,在路上遇到了多弥提乌斯的一些探报人员,不知他们是由于过去在高卢并肩作战过,故而有旧交,还是因为胜利了而得意忘形,竟把所有的事情统统如实告诉了他们,还把凯撒的离去和庞培的到来讲给他们听。多弥提乌斯得到他们的报告时,离开这里还勉强只有四个刻时路程。全亏这些敌人的帮助,才避免了这场危险.在他赶向处在塞萨利亚边界上的一个小镇埃吉纽姆去的路上,遇上凯撒。

    80.部队这样会师之后,凯撒到达戈姆菲,这是从伊庇鲁斯进入塞萨利亚境内时遇到的第一个市镇。就在几个月以前,这里的人曾自动派使者到凯撒那边去,说愿意把他们所有的一切供他支配,并要求他派一支驻防军去。但我们上面已经说过,关于迪拉基乌姆战事的夸大了许多倍的谣言,早已比他先到达那边,因而塞萨利亚的司法官安德罗斯特涅斯宁愿分享庞培的胜利而不愿做凯撒的倒霉事业的合伙人,就强迫大批奴隶和释放人全部从田里赶到城里来,关上城门,还派使者到西庇阿和庞培那边去,要求他们来相助,说:他对守卫这座市镇很有信心,只要援军能很快来到,因为他经不起一次长期的围攻。西庇阿在知道双方军队离开迪拉基乌姆之后,已经把他的部队带到拉里萨。庞培这时还没到达塞萨利亚。凯撒在给营寨筑好防御工事后,命令准备发动突击攻城用的云梯和护障,并准备好树栅。当这些东西安排好以后,他鼓励他的士卒,告诉他们,对于象他们这种的样样东西都很短缺的人来说,占领一个积储充足而且富裕的城市,能起到很大的补救作用,同时还可以用这个城市做一个榜样来威吓一下其它的城市,这一点必须在援军集中赶来之前很快做好。这样,在士兵们极其高涨的热情中,就在他到达这天的第九刻时之后,开始围攻这座城墙很高的市镇,在日落以前攻下了它,把它交给士兵们去劫掠。然后,他立刻移营离开这座市镇。在攻克该镇的消息和谣言还没传到以前,就已经来到墨特罗波利斯。

    81.墨特罗波利斯人最初也受同一谣言的影响,采取了同样的做法,关上城门,派武装部队把守住城墙。但后来,从凯撒命令带到城下来给他们看的俘虏口中得知戈姆菲的厄运,他们打开了城门。居民们受到小心的保护。墨特罗波利斯人的幸运和戈姆菲人的灾祸一经比较,塞萨利亚再没一个市镇不服从凯撒,不执行他的命令,只除了拉里萨,因为它正处在西庇阿的大军控制之下。凯撒在谷物差不多已经成熟的田野里,找到一个合适的地点,就在那边等候庞培到来,把一切军事行动都转移到那边去。

    82.庞培在不多几天以后就到达塞萨利亚,并向全军作了讲话。他对自己的部队表示感谢,又鼓励了西庇阿的部队,要他们在这场已经必胜无疑的战争中争取分享战利品和犒赏。在把这些军团统统安排在一座营寨中之后,他和西庇阿保持同样的身份和地位,命令军号要在他的营帐里吹,并且要为他架设起另一座帅帐来。由于庞培的部队增加了,两支庞大的军队已合成一支,士兵们原有的信心更为增强,胜利的希望也更有把握。因而时间愈是向后拖,他们返回意大利的日子好象也就愈受到耽搁似的。当庞培在任何一件行动上稍稍显出一些迟疑或顾虑的时候,他们就硬说这不过是一天就干得好的事情,庞培只是为了留恋统帅大权,好把那些执政官和司法官级别的人当奴隶使唤。他们已经在公开争夺酬劳和祭司职务,分配今后几年中的执政官席位,又有一些人在索取正在凯撒营中的人的房产田地。在他们的讨论中,出现了很大的分歧,他们争辩的是,是否可以允许被庞培派到安息去的卢基利乌斯·希鲁斯在缺席的情况下参加下一年的司法官竞选,他的朋友们要求庞培不要失信,要遵守在他临走时自己许下的诺言,这样,人们才不会认为希鲁斯轻信他的威望上了当。其余的人则认为艰苦和危险是大家平均分担的,反对一个人独享大权。

    83.多弥提乌斯、西庇阿和伦图卢斯·斯平特尔已经天天在为了凯撒的祭司职位争吵,竟至公开使用起极为侮辱性的话来。伦图卢斯夸说自己年高德助,多弥提乌斯吹嘘自己在首都得人心、有威望,西庇阿则信赖自己和庞培之间的亲戚关系。阿库提乌斯·卢伊斯还在庞培面前控诉卢基乌斯·阿弗兰尼乌斯出卖军队,说这是他过去在西班牙干的勾当。卢基乌基·多弥提乌斯在一次军事会议上说,照他看来,最好在战争结束以后,凡是属于元老等级、而且在他们一边作战过的人,应该各发给三块牌子,让他们将来对留在罗马没有来的人、或者虽也混在庞培军中、却没在战场上尽心竭力干的人一个个判决时投票用,牌子中的第一块是用于判决一切该免除刑罚的人的,第二块用于该递夺公权的人,第三块用于该罚款的人。总之,大家谈论的全是自己的显耀前程、金钱酬奖或报复私人嫌怨,至于用什么办法方能打赢这一场战争,则绝不再考虑,考虑的只是怎样去享受胜利。

    84.当凯撒安排好他的粮食供应,安定了军心,并且认为迪拉基乌姆之役后,已经有了足够长的一段间歇时间让自己充分观察了军队的士气,他想现在该试探一下庞培对战斗抱着什么目的和想法了。因而,把他的军队拉出营来,布列下战阵,首先是在自己这面的一处地方,离开庞培的营寨稍稍远一些。在后来接着的几天,他索性离开自己的营寨,一直赶到庞培军队驻扎的那几座山下面。这种行动一天比一天更鼓舞着土兵们的信心。但在骑兵方面,因为敌方的骑兵比我方多好几倍,他仍旧保持上面说过的老办法,即命令从旗下精兵中选出一些年纪轻、身手矫捷的人,武器也要轻锐,混合在骑兵中一同战斗。由于每天不断的练习,他们都在这种战斗方式上得到了经验。采取这些训练的结果是,在遇到需用时,我军只要一个骑兵,哪怕在极开旷的地方,也可以抵挡庞培的七千骑兵进攻,不会因为对方人多势众,引起很大的惊恐。甚至在那些日子里,他就已经在一场骑兵的战斗里得过胜利,除了杀死一些别的人以外,还杀死了前面说过的逃到庞培那边去的两个阿洛布罗吉斯族人之一。

    85.庞培的营扎在山上,总是把他的部队布列在山脚下最低的地方,看来一直是在等候着,想看看凯撒是不是再向前推进,到不利的地方来。凯撒看到没有办法可以把庞培引出来决战,认为最好的作战方案是把自己的营寨迁离该处,不断的行军,这样,由于营寨在不断的转移,到的地方多,粮食供应也就方便,同时在路上走,又可以遇上一些迫使敌人作战的机会,还可以用每天不断的行军来使不能吃苦耐劳的庞培军队疲于奔命。作了这些决定之后,当拔营出发的号令传下去,正在取下帐篷时,他们注意到不久以前,庞培的阵列忽然一反每天的习惯,离开壁垒向前推进了一些路,因而看来有可能不必一定在不利的地形战斗了。于是凯撒就对已经集合在营门口的队伍说:“我们现在必须停止行军,正象我们一直在争取的那样考虑战斗了。让我们全心全意准备好投人战斗吧。今后我们就不容易再找到机会了。”他立刻领着部队,轻装出阵。

    86,正象后来发现的那样,庞培在他的部下一致鼓励之下,也已经决定作一次决战。他在前几天的军事会议上居然宣称说:他在两军还没交锋前,就可以击溃凯撒的军队。当有些人对此表示惊讶时,他说:“我知道,我答应你们的是一件难于置信的事情,但是,请听听我所以作这样打算的道理,这样,你们走前去战斗时,心里就会更加踏实。我已经说服我们的骑兵——他们也已向我保证要做到——在两军互相迫近时,上去攻打凯撒暴露着的右侧翼,从后面包围他们的队列,在我军一支武器也没向他们投掷以前,就先使得他们惊恐失措,奔逃不迭。这样,我们的军团就不必再冒危险,几乎可以毫无伤亡地结束战斗。因为我军的骑兵是如此强大,这样做并不困难。”同时,他叮嘱他们应该为明天振作起精神来,他们常常在盼望战斗,现在既然有了这样的机会,他们绝不可以使他本人和其余别的人对他们失望。

    87.拉比努斯紧跟着他说下去。他一面贬低凯撒的军队,一面吹捧庞培的计划。他说:“庞培,你别以为这支军队就是征服高卢和日耳曼的那支军队。那些战役我都是亲身在场的,我不知道的东西,不会冒冒失失乱说。当年的那支部队,还留下来的只有很小一部分了,它的绝大部分已经丧失,这是这么多次战斗的必然结果,又有许多人死在意大利的秋季瘟疫中,还有很多离开军队回家了,再有许多被留在大陆上。难道你们没有听到过,在布隆狄西乌姆是把那些因身体不好留下来的人编成军队的吗,你们看到的这些军队是由近年来在内高卢征集的人组成的,他们中许多人都是从帕杜斯河外的殖民地来的。就算这样,他们的全部精锐也都已经阵亡在迪拉基乌姆的两次战斗中了。”说了这些话,他宣誓说:他如不战胜,决不再回到营寨里。他还怂恿别人照样宣誓。庞培赞扬他的建议,也同样立了誓。在场的其余人,也没有一个迟疑着不肯宣誓的。在作战会议上这样做作了一番之后,他们大家怀着很大的希望,高高兴兴地散去。他们心里都认为已经必胜无疑,照他们看来,在这么重大的事情上,一位如此富有经验的统帅,决不会信口开河,随便乱鼓励他们。

    88.凯撒在接近庞培的营寨时,看到他的阵列是按下述情况布置的:在左翼的是内战一开始时凯撒根据元老院的决议交出去的两个军团,它们一个称作第一军团,另一个称作第三军团,庞培自己就处在这一面。西庇阿带着叙利亚来的军团处在阵线中央,西里西亚来的军团和我们已经说过的阿弗拉尼乌斯从西班牙带来的一些营联合在一起,被安置在右翼。庞培认为这些是他所有的最坚强的部队。其余的他都安插在阵线中央和两翼之间,合起来共有一百十个营。这支兵力总人数达四万五千人。他还有大约二千名留用老兵,这些人都是在以前的历次战事中受过他的恩惠,这次又再赶来集合的,他把他们分散在全军。此外还余下七个营,他把他们布置在营寨或就近的堡垒内,担任守卫。在他的右翼有一条两岸很陡急的河流掩护着,为此,他把他的全部骑兵和全部弓弩手、投石手都布置在左翼。

    89.凯撒保持他过去的习惯,把第十军团放在右翼,第九军团虽说在迪拉基乌姆战役中人员已经大大减少,仍布置在左翼,他把第八军团也放在它一起,这样,差不多就把这两个军团联合成一个,命令他们必须彼此互相支援。他在阵地上有八十个营,总人数为二万二千人。七个营被留下来守卫营寨。他派安东尼统率左翼,普布利乌斯·苏拉统率右翼,格涅尤斯·多弥提乌斯统率中军。他自己面对着庞培,同时注意到对方的上述阵势,深恐自己的右翼会被数量巨大的骑兵包围,就急忙从第三线中的每个军团抽出一个营来,用它们构成一列第四线,让它们面向着敌人的骑兵,并向他们说明自己的打算,提醒他们,这天的胜负就取决于他们这几个营的勇敢了。这时,他又命令第三线和全军,不得到他本人的命令,不许交锋,说:在他希望他们这样做时,会用帅旗发出号令来的。

    90.当他根据战争的习惯,鼓励他的军队去战斗时,他说起他对他们始终如一的关怀爱护,特别提醒他们说,他可以让自己的部下来证明,他是用多大的努力来争取和平的,他怎样竭力想通过瓦提尼乌斯进行会谈,又怎样通过奥卢斯·克劳狄乌斯和西庇阿打交道,在奥里库姆,他又怎样为派遣使者的事和利波争论过。他说,他是从来不肯白白叫士卒浪费鲜血、或者让共和国失掉这一支或那一支军队的。说了这些话之后,在士兵们迫切要求战斗的一片喧嚷请战声中,他用喇叭发出号令。

    91.凯撒军队中有一个留用老兵盖尤斯·克拉斯提努斯,前年曾在他部下担任第十军团的首席百夫长,是一个极为勇敢的人。号令一发出时,他就说:“跟我来,曾经和我同一连队过的弟兄们,把你们早就决心要为统帅出的力,拿出来吧!只剩下这一场战斗了,当它结束时,他就可以恢复他的尊严,我们也可以恢复自己的自由了。”同时,他回过头来对凯撒说:“今天,统帅,不管是死还是活,我一定要让你好好感激我!”说了这番话,他从右翼第一个冲出去,约一百二十名同一营的精选的志愿人员跟随着他。

    92.两军之间,留下的距离刚刚够让双方军队冲击。但庞培事先就关照他的部下要等凯撒先过来攻击,自己不要离开阵地,免得阵脚被弄乱。据说,他是在盖尤斯·特里阿里乌斯的劝告下采取这种做法的,这样,就可以粉碎凯撒军队的第一次冲刺和猛攻,使对方的队伍陷于混乱,然后,坚守在行列中的庞培的军队,就可以趁势进攻那些混乱了的敌人。他还希望,如果军队坚持在一起不动,敌方掷过来的轻矛落下来时,会比落在这面也在一边投掷轻予一边跑的人身上的力量要轻些。同时,由于凯撒的部队这样一来就有双倍的距离要跑,势必跑得气急败坏,疲乏不堪。但在我们看起来,庞培采取这种做法是失策的。因为所有的人心胸中天生都有一股因渴望战斗而炽热起来的精神上的锐气和冲劲,这种激情,做统帅的人只有责任加以发扬鼓励,切不可反加以遏止。因而,从古传下来的做法,即军号要四面齐鸣,全军要一气猛喊,决不是没有道理的,为的是这样做可以使敌人惊惧,使自己的部下得到鼓舞。

    93.但我军在一发出号令时,就已经挺举着轻矛,跑步上前。当他们看到庞培的军队并不迎上前来相敌时,就利用从过去战斗中得来的经验,自动停止前冲,在大约一半距离的地方站定下来,以免奔到敌人面前时已经体力耗尽。等略许停息了片刻之后,才又重新起步向前。他们投出了轻矛,又依凯撒的指示,迅速抽出剑来。庞培的军队对这种攻击也并非应付不了,他们格开投过去的武器,顶住军团的攻击,仍旧保持着自己的行列,在掷出了自己的轻矛后,也挥起剑来。就在这时候,庞培左翼的骑兵按照命令,合力冲过来。大队弓弩手也跟着涌上前来。我军骑兵挡不住他们的攻击,慢慢离开他们的阵地后撤,庞培的骑兵更加凶猛地压过来,而且一伙一伙散开,从我军暴露着的一侧开始包围我军。凯撒看到这个,马上发令给他那以六个营组成的第四线,这些人迅速奔跑,全力挺进,用极大的冲劲迎击庞培的骑兵,使得他们没有一个人能站得住脚,全部转过身去,不仅逃出阵地,而且一直飞逃,躲进极高的丛山中去。当他们被驱走时,所有的弓管手和射石手都被孤零零地丢了下来,一无支援地遭受歼灭。这些营一路穷追猛打,扑向庞培的左翼,乘对方仍继续在队里抵抗,战斗不止时,把他们包围起来,从背后攻击他们。

    94.就在这时,凯撒命令直到此刻还没有行动、安守在阵地上的第三线向前推进。这样,一面既有精力旺盛的生为军来接替体力不支的人,背后又有别的人赶来攻击,庞培的军队支撑不住,全都转身逃走。凯撒果然没料错,正象他在鼓励他们时说的那样,胜利将由放在第四线面对敌人骑兵的那几个营开始取得。正是由于他们首先击退骑兵、由于他们歼灭弓弩手和射石手、又由于他们从左翼包围了庞培的部队,才使对方开始清退。但庞培在一看到自己的骑兵被逐回,自己最为信赖的那一部分军队陷人一片混乱时,对其余的就更失去了信心,立刻离开战场,径自策马奔回营寨。他清清楚楚地用士兵们都可以听到的声音对布置在帅帐门口值岗的百夫长们说:“管好营寨,要仔细守卫,免得出什么乱子,我要再到别的几道门去巡视一下,鼓励一下守卫营寨的人。”说完这些话,他进入帅帐,对大局完全丧失了信心,听其自然去了。

    95.当庞培的部队一路逃进壁垒时,凯撒认为不应该给这些惊惶失措的人喘息的机会,就鼓励部下好好利用命运的恩宠,马上进攻敌军的营寨。虽说战斗已经一直拖到中午,大家因为酷热,疲乏不堪,但仍旧都准备全心全意服从命令,经受一切艰苦。敌人的营帐由留在那边防守的几个营竭力保卫着,尤其是那些色雷斯人和蛮族的同盟军,更是在拼着命守卫。至于那些从战场上逃走的士兵,个个都既惊慌又疲劳,许多人连自己的武器和连队标帜都丢了,他们主要想的是下一步逃到那里去而不是怎样防守营寨。就布置在壁垒上的那些人也不能再经受得住我军的大量轻矛,在负伤累累之后离开了岗位。因而,在他们的百夫长和军团指挥官带领之下,一路飞奔,逃到一直延伸到营寨附近的高山里去。

    96.在庞培的营寨里,可以看到搭着凉棚,陈设着分量很重的银盘盏,士兵们的帐篷上覆盖着新鲜的草皮,卢基乌斯·伦图卢斯和一些其它人的帐篷上则掩盖着常春藤,还有许多东西,都表明他们异乎寻常的奢侈和对胜利的盲目自信,因而不难猜想,他们对这一天的战斗结果毫不担心,所以才寻求那些不必要的享受的。但这些人却还一直在嘲笑凯撒的这支极为艰苦、咬紧牙关忍受的军队,尽管他们一切必需用的东西都很缺乏,敌人还是在说他们奢侈。当我军这时在敌方的营寨中奔走时,庞培找到一匹马,扯掉自己身上的统帅服饰,从后门奔出营寨,驱马一直向拉里萨奔去。他在那边也没停留,一路收集起一些正在逃跑的自己部下,仍旧用同样的速度,日夜不停地奔驰。他带着三十名骑兵随从,赶到海边,乘上一艘粮船。据说他一路上一直在抱怨说他所期望的完全落空了,他原来把胜利的希望寄托在他们身上的这些人,却正是首先奔逃的人,这简直是出卖了他。

    97.凯撒在占领了那座营寨后,敦促他的士兵不要一心只管掳掠战利品,错过了完成其余工作的时机。在他们的赞同下,他开始用工事把那山岭包围起来。由于山上没有水,庞培的部下对那地方失去了信心,开始大伙沿着山脊向拉里萨方面退去。凯撒看到这个,把兵力分开,命令一部分军团留在庞培的营寨中,一部分返回自己的营寨。他自己带着四个军团开始走一条比较近便的路,前去追赶庞培的军队。当他赶上去六罗里时,展开了阵列。庞培的军队看到这个,在一处山上停了下来,有一条河流正流经这座山的山脚下。凯撒对他的部下鼓励了一番。于是,尽管他们因为一整天连续劳动而疲劳不堪,而且天也就要黑了,他们仍然动手筑起一道工事来,把那条河流和那座山隔断,使庞培的军队在夜间无法取得水。当这项工程完工时,他们开始派使者来乞求投降,少数和他们在一起的元老等级人员,乘夜逃走了。

    98.在天色刚破晓时,凯撒命令所有那些耽搁在山上的人,都从高处跑到平地上来,放下他们的武器。当他们毫不抗拒地这样做了之后,人人都爬在地上,伸开着手,哭哭啼啼地求他饶了他们。他安慰他们,叫他们站立起来,对他们说了一些自己怎样宽大为怀的话,以减轻他们的恐怖。他饶恕了他们全体,还引他们去见自己的部下,叮嘱大家不要伤害他们中的任何一个,也不要让他们丢失任何东西。在这样精心安排之后,他命令其他几个军团离开营寨到自己这里来,由他带到这里来的那几个军团则回到营寨里去,轮番休息。就在那一天,他到达拉里萨。

    99.在这次战役中,损失的士兵不到二百人,但却包括有三十名百夫长,都是些很勇敢的人。阵亡的还有那个我们前面提到过的克拉斯提努斯,他正当在极其英勇地战斗时,被一剑砍在面上。他在出发战斗时说的那番话,并没有说错,因为凯撒认为克拉斯提努斯的确在战斗中表现了无与伦比的英勇,而且肯定他是为自己立了一场大功。庞培的军队大约死去一万五千人,投降的则在二万四千人以上,因为连驻扎在要塞里充任守卫的那些营也都向苏拉投降了。此外还有许多人逃向附近的城镇。在战斗中缴获送来给凯撒的连队标帜有一百八十面,军团的鹰帜有九面。卢基乌斯·多弥提乌斯从营寨中向山里逃去,正在精疲力尽之际,被骑兵杀死。

    100.就在同时,德基穆斯·莱利乌斯带着舰队到达布隆狄西乌姆,和我们前面说过的利波用过的办法一样,占领了面对布隆狄西乌姆港的那个小岛。同样,负责守卫布隆狄西乌姆的瓦提尼乌。斯给一些小船装上甲板,派它们去把莱利乌斯的舰只引诱出来,在海港的隘口捕获了一般离开自己的大队过于远的五列桨舰和两条小船。同时,他又到处布置下三三两两的骑兵哨岗,阻止船上的水手取得饮水。但是,莱利乌斯利用这时正好是一年中最适于航行的季节,党派货船到科库拉和迪拉基乌姆去运水来供应他的部下。在塞萨利亚战役的消息传来以前,一直无法使他放弃自己的打算,不管是丢失船只的耻辱还是必需品缺乏,都不能驱逐他离开那港口和岛屿。

    101.大约在同时,盖尤斯·卡西乌斯带着叙利亚、腓尼基和西里西亚的舰队,赶到西西里。由于凯撒的舰队分为两部分,司法官普布里乌斯·塞尔皮基鸟斯统率一半耽在维波,马尔库斯·蓬波尼乌斯统率另一半耽在墨萨那。卡西乌斯在蓬波尼乌斯还没知道他到达以前就带着他的舰队赶到墨萨那,遇上蓬波尼乌斯那边正好是一片混乱,既无监守警卫的人,也没明确的战斗编制,在一阵强大的顺风帮助之下,他派一些商船,满载松木、油脂、麻屑、以及其他易于燃烧的东西,航到蓬波尼乌斯的舰队那边,烧掉了他所有的三十五艘舰只,其中有二十只是装了甲板的。这一行动引起极大的惊慌,虽说墨萨那有一个军团驻防在那边,但他们几乎连这个市镇都守不住,要不是恰好在这个紧急关头沿途布置的驿马送来了凯撒胜利的消息,许多人认为它一定会失陷了。但消息来得非常及时,使这个市镇又得再守卫下去。卡西乌斯离开那边,再赶到正处在维波的塞尔皮基乌斯的舰队那边。我军的舰队正跟过去一样停泊在岸边,卡西乌斯利用风力的帮助,派几条准备去焚烧它们的商船,顺流而下,使我军舰队的两翼焚烧起来,五艘舰只被焚毁。当火势因风力迅猛,更加漫延开去时,一些原来在老兵编成的军团、因属于病员而留下来担任船只守卫的士兵,不甘心忍受这番耻辱,自动登上船只,离岸驶去,向卡西乌斯的舰只进攻,他们捕获了两艘五列桨舰,卡西乌斯自己就在其中的一艘上,但他被一只小船接过去逃走了。除此之外,还有两艘三列桨舰被击沉。不久之后,塞萨利亚战役的消息传来,就连庞培部下的人也都相信了,因为直到这时候,他们都还以为这是凯撒的使者或党徒凭空捏造的。知道了这些事情后,卡西乌斯带着他的舰队离开那地区。

    102.凯撒认为不管庞培在逃亡途中可能奔到那里去,自己应该把一切事情都放下来,首先去追赶他,免得他会再纠集起另外一支军队来,重新开始战争。他每天尽量赶完骑兵力所能及的路程,命令一个军团抄近路在后面跟上来。在安菲波利斯,有用庞培的名义发布的一道公告,说:这个行省的所有青年,不管是希腊人还是罗马公民,都必须集合起来,宣誓入伍。但谁也没法猜测庞培打的是什么主意,究竟是为了要转移人家的疑心,想把他逃走的计划隐瞒得时间越长越好,还是想如果没有人阻碍,就利用新征来的兵,竭力守住马其顿。他本人停泊在那边一夜,把在安菲波利斯的同党都召集起来开了一次会,收集供必要开支的钱。在接到凯撒到来的消息时,他离开了那地方,不多几天之后到达米蒂利尼。他在那边受到暴风雨阻碍,耽搁了两天,在他的船队中另外加进一些快艇后,又来到西里西亚,再从那边赶到塞浦路斯。他在那边得知,在全体安条克人以及在那边经商的罗马公民一致同意之下,他们已经武装起来,阻止他前去,而且还派使者到所有那些据说已经逃到附近城镇去的人那边去,警告他们不要到安条克来,说:如果他们去,就会对他们的生命发生极大的危险。去年担任执政官的普布里乌斯·伦图卢斯和另一个曾任执政官的普布里乌斯·伦图卢斯、以及还有别的一些人,在罗得岛也遇到同样的情况,这些人在跟着庞培逃走时,逃到这个岛上,他们没有获准进入这个市镇的港口,当使者被派去叫他们离开这些地方时,他们就满心不愿地离去。原来凯撒到来的报导,已经被送到那些市镇。

    103.庞培了解了这些情况,放弃访问叙利亚的念头,他攫取了包税团体的金钱,又向某些私人借了款子,并在船上贮放了大量供士兵使用的铜币。他武装起二千人。一部分来自那些包税人家里的奴隶群,一部分是他向经营商业的人索取来的,外加还有一些是他那些羽党中自认为适合这种工作的人。庞培率领着他们到达佩卢西翁。在那边,正好逢上年幼的国王托勒密以巨大的兵力在和自己的姊姊克娄巴特拉作战。国王在几个月以前,依靠自己的亲友帮助,把她逐出王位。克娄巴特拉的营寨就离开他的营寨不远。庞培派人到国王那边去,要求他看在自己和他父亲的交往和友谊面上,允许自己进入亚历山大里亚,并且以他的力量来庇护遭难的人。但他所派去的那些人在完成了使者的任务以后,开始自由自在地和国王的士兵交谈起来,鼓励他们向庞培表示自己的忠诚,不要因为他落魄了就鄙视他。国王的这些士兵中有许多原来就是庞培的部下,是伽比尼乌斯从他在叙利亚的军队中调出来,带到亚历山大里亚去的,那次战争结束后,又把他们留给了现在这位幼年国王的父亲托勒密。

    104.于是,在知道了这些事情后,因国王年幼而在摄行国政的他那些亲友们,可能是出于恐惧,正象他们后来讲出来的那样。怕庞培在把王室的军队勾引过去之后,会进一步占领亚历山大里亚和埃及,还可能是出于轻视他现在失势了,因为通常情况,一个人在落难时,总是连朋友也会反目成仇的。这些人表面上对他派去的使者作了很慷慨大度的答复,邀请他到国王这里来,但他们自己人中间却商量好一个阴谋,派一个大胆异常的人,即国王的总管阿基拉斯和一个军团指挥官卢基乌斯·塞普提弥乌斯去杀死庞培。庞培受到他们十分殷勤有礼的招呼,而且由于在海盗战争时塞普提弥乌斯曾经在他部下担任过百夫长,有些相识,因此在几个自己人陪同下,他被引上一艘小船,就在那边遭阿基拉斯和塞普提弥乌斯杀害。卢基乌斯·伦图卢斯也被国王捉住,杀死在牢里。

    105.当凯撒到达亚细亚时,他发现提图斯·安皮乌斯正试图把伊弗所的狄安娜女神庙中的金钱拿走,为此他还把行省所有的元老都召集起来,想请他们证明一下这笔款子的总数。但凯撒的到来打断了他的计划,使他溜走了。这样,凯撒就第二次挽救了伊弗所的这笔财富。人们还一致说,按日子倒数上去,正好就是凯撒战斗告捷的那一天,在厄利斯,供在那尊密涅瓦神像前的胜利之神像,原本是面朝着密涅瓦的像的,忽然自己转过面来朝着庙宇的大门和进口处了。同一天,在叙利亚的安条克,两次听到大队人马喧嚣和军号齐鸣的声音,使得公民们都武装着向城上奔去。托勒密斯也发生了同样的事情。在佩伽蒙,在神庙的极秘密、极隐蔽、除祭司外谁都不得进去的那一部分,即希腊人称之为“禁区”的地方,听到了战鼓的声音。还有在特拉勒斯的胜利之神庙里——人们曾在那边供奉一尊凯撒的像——一他们能指给你看一棵棕桐树,它是就在那天穿过铺路石的夹缝,从夯实的路基中长出来的。

    106.当凯撒在亚细亚停留了短短几天之后,听说人们曾在塞浦路斯见到过庞培,便猜想庞培仗着自己和埃及这个王国有交谊,在那地方还有其他种种关系,一定在向埃及赶去。他就也向亚历山大里亚赶去,随身带着他命令从塞萨利亚跟他来的一个军团,和另一个从阿卡亚召来的原属副将昆图斯·字菲乌斯统率的军团,还有八百名骑兵,十艘从罗得岛来的和少数从亚细亚来的军舰。在这些军团中,只有约摸三千二百人,其余的或因战斗中受了伤,或因艰苦劳动和长途跋涉,没跟上队伍。但凯撒自信他战胜的威名足以先声夺人,毫不犹豫地带着这支力量单薄的援军赶去,认为对他来说,到处都会同样安全。他在亚历山大里亚得知庞培的死讯。在那边,他刚一登陆时就听到国王留在那边充任该城守卫的士兵们的呼噪声,还看到他们急匆匆的朝着他奔过来,因为在他面前高擎着执政官的斧棒,所有群众都认为国王的权威受到了蔑视。当这骚动被平息下来之后,聚集在一起的群众接连几天。不断的发生骚乱,有许多士兵在城市的各个地方被杀死。

    107.看到这些事情,他命令把由庞培的部队改编而成的其他几个军团从亚细亚调到他这里来。因为他自己正遇到称做“季风”的那种阻止船只从亚历山大里亚开出去的顶头逆风,被迫不得不留在这里。同时他还考虑到,王室后裔间的争端,关系到罗马人民和作为执政官的他自己,特别牵涉到他自己的职责,因为在他前次担任执政官时,曾经通过公民大会的法令和元老院的决议,和那位去世的老托勒密缔结过同盟。于是,他就表示自己乐意看到国王托勒密和他的姊姊克娄巴特拉双方都解散自己的军队,到他面前来,以法律解决争端,不要彼此间刀兵相向。

    108.国王因为年幼,由他的监护人一个叫做波提努斯的宦官在主持国政。他最初因为自己的国王竟要被别人召去申诉自己的理由,在朋友们中间发牢骚,表示愤怒。后来,在国王的臣僚中找到一些人赞同他的计划时,他秘密地把军队从佩卢西姆召到亚历山大里亚来,让我们前面提到过的阿基拉斯统率所有这些军队。波提努斯用自己的和国王的诺言激励他、吹捧他,并且通过信件和使者把自己希望他做的事情通知他。在老国王托勒密的遗嘱中,他的两个儿子中的长子和两个女儿中年龄较大的那个,被指定为继承人。就在这同一遗嘱里,老托勒密还用所有神灵的名义、用他在罗马签订的条约的名义,要求罗马人民使他的遗嘱实现。这遗嘱的一个文本由他的使者带去罗马,以便存放在国库里,但因正值国家多故,没有能放进去,因而就存放在庞培那边。另一份同样的复本留下来,密封着保存在亚历山大里亚。

    109.当凯撒正在处理这些事情时,他特别希望自己能象一个双方共同的朋友和仲裁者那样,调解好这场王室的纠纷。这时,突然有消息传来说,国王的军队和全部骑兵正在向亚历山大里亚进发。凯撒的部队实在太少,如果不得不在城外作一场决战,他绝不敢相信他们能够胜任。剩下来的唯一办法就是坚守住城里自己的阵地,一面摸清楚阿基拉斯的打算。于是,他下令所有他的部下都武装戒备着,并鼓励国王把他那些极有势力的朋友派几个作为使者,到阿基拉斯那边去,说明他的意图。因而,国王派狄奥司科里德斯和塞拉皮翁到阿基拉斯那边去,这两人都曾经到罗马担任过使者,而且在老托勒密身上极有影响力量。这两人来到阿基拉斯面前时,他在还没听他们说话、了解他们为什么被派来之前,就命令把他们捉起来杀死。他们中间,一个在受伤之后,很快就被他的朋友们接过去,假作已经死了带走,另一个被杀死了。在这件事以后,凯撒就设法把国王保留在自己手里;因为他了解国壬这个称号在老百姓心目中很有号召力量,这样,让人们看起来,就显得这场战争不是由国王而是由一小撮坏人或匪徒私自发动起来的。

    110.阿基拉斯那边的这支部队,无论在数目上、出身上、还是战斗经验上,都不是可以随便轻视的。因为他的部下有二万武装人员,这些人中,包括有伽比尼乌斯的士兵,这些人已经习惯于亚历山大里亚的生活和放荡,把罗马人的名号和纪律忘记得干干净净,在那边娶了妻子,许多人而且跟她们生了子女。在这些人之外,还加上一批从叙利亚、西里西亚行省和其他邻近地区搜罗来的强盗和土匪,又有许多被判了刑的罪徒和逃亡者,参加了他们。所有我们自己的逃亡奴隶,不但都能在亚历山大里亚寻到一个可靠的接待所,还可能有一份可靠的生活来源,只要报上名去参加军队就行。他们中间如果有任何一个人被主人捉住,士兵们就会同心协力把他救出去,只因他们都犯有同样的罪行,保卫同伙不受暴力侵犯,就是为自己防止同样的危险。这些人按照亚历山大里亚军队的老传统,习惯于要求处死王家的臣僚,掠夺富人的财产,为要增加销给而包围国王的王宫,就连王位上的人也可以由他们逐走这个再召来那个。此外还有两千骑兵。这些人的岁月都已经消磨在亚历山大里亚的多次战争中,他们曾经为老托勒密恢复王位,曾经杀死过比布卢斯的两个儿子,曾经对埃及人作过战,这就是他们的一番战争经历。

    111.阿基拉斯信赖他这些部队,轻视凯撒的兵力单薄,他占领了除凯撒用兵力守住的那部分地区以外的全部亚历山大里亚。在第一次冲击时,他竭力试图突入凯撒的住处,但凯撒把军队布置在街道上,挡住了他的进攻。同时,港口也在进行交锋,这引来了严重得多的战斗。因为在同一时间之内,一面几处街道上有零星部队在进行战斗,另一面又有大批敌人在试图夺取军舰。这些军舰中有五十艘曾经被遣去支援庞培,在塞萨利亚战役后才回来。它们都是些四列桨和五列桨舰,而且都配置和装备着每一样航行用的必需品。除此以外,还有二十二只一向在亚历山大里亚港担任守卫任务的军舰,也都是装有甲板的。如果他们夺到这些船只,使凯撒丧失了舰队,他们就能控制这个港口和整个海岸,切断凯撒的供应和援军。从而,这场战斗进行的残酷程度,正是双方中一方认为自己的迅速胜利、另一方认为自己的安全,都得由这场胜负来决定肘必然会有的。但凯撒还是达到了目的,他把所有那些舰只连带在船坞中的一些,统统都烧掉了,因为他不能用他这支单薄的兵力守护如此广大辽阔的一片地区。他立刻把他的军队用船只运到法罗斯岛上去。

    112.这个岛上有一座极高大的灯塔叫做法罗斯,是一座很令人惊叹的建筑,它的名字就是从这个岛得来的。这个岛正处在亚历山大里亚城对面,形成一个港湾,但和它之间却有一条象桥那样的狭路相连,这是以前的国工们造起的一条伸向海里的九百尺长的防波堤。岛上有一些埃及人的住宅和一个和市镇差不多大小的村落,任何船只如果因为粗心、或因为暴风雨,航线稍稍偏了一些,他们就习惯于象海盗那样劫掠这些船只。再则由于这里航道狭窄,如果居于法罗斯岛的这些人不同意,任何船只都不能进入港湾去。凯撒很耽心这一点,就趁敌人正在忙于战斗时,派军队在那边登陆,占领了法罗斯,在它上面派了守军。由于这些措施,粮食和援军可以用船只安全地运送到他这里来了。因为他已遣使者到所有邻近各行省去,向他们征索援军。在这个城市的另一部分,双方在经过一场不分胜负的交锋之后分开了,谁也没有被击败。原因是地方太狭小,双方死去的人都不多。凯撒在晚上环绕着最必要的据点建立起一道防御工事。在城市的这部分地区,有王宫的一小部分房屋,凯撒最初就是被领到那边去把它当作个人的住所。和这房子相连的是一座剧场,它也被用作一个护城寨堡,有路通向港口和别的船坞。在以后的日子里,他把这些防御工事逐渐加高。使它们能象城墙那样挡住敌人,免得被迫违反自己的意愿和他们作战。同时,托勒密国王的小女儿希望能填补空出来的王位,跑出王宫,参加到阿基拉斯那边去,开始和他一起主持作战。但他们之间很快就因为争夺领导权发生争执,这使得士兵们的酬赏得到增加,因为双方都竭力想以较大的牺牲来讨好士兵。当这些事情在敌人中发生时,住在被凯撒占领那部分城市的小国王的监护人、王国的摄政者波提努斯,正当在派使者到阿基拉斯那边去,敦促他不要放松干劲,也不要灰心丧气的时候,他的使者被告发和拘捕了,他自己也被凯撒杀死。这就是亚历山大里亚战争的开始。

    亚历山大里亚战记

    1.亚历山大里亚战争爆发起来了。凯撒把所有舰队都从罗得岛和叙利亚、西里西亚召了来,并且到克里特去征集弓箭手,到纳巴泰伊国王马尔库斯那边去索取骑兵,又命令到各地征集作战机械、发运粮食、调集援军。同时,防线上每天都在扩建工事,城市中凡是看来工事不够坚强的那些部分,都用行障和护墙加固。撞锤通过墙洞,从一所房子到隔壁一所房子一路移过去。工事一直扩充到把所有已破坏成废墟的或用武力夺过来的地区都包括进去。亚历山大里亚几乎完全不用怕火,因为它的建筑物没有木头的接种和托梁之类,房子是靠拱行结构架起来的,屋顶上铺盖的是泥灰或瓦。凯撒所特别操心的是想建造起防御工事和盾车来把城市的这一部分愈紧缩愈好地和其他部分隔离开来,它的南面本来就已经有一片沼泽紧紧围着它。他所希望的是:第一,他的军队虽然被分开在城市的两个部分,必须能有统一的作战部署和统一的指挥;次之,如果他们在城里的一个部分陷入困境,另一部分必须能赶来给以援助。尤其最最使他关心的,还是要有非常充足的供水和草秣,这两者中的前者,他的供应极不充裕,后者则已经完全断绝了,有了这片泽地,就能很充裕地供应这两样东西。

    2.对亚历山大里亚人来说,这完全没能使他们的王作受到拖延或阻碍。事实上他们已经派使者和征兵官员出去,到埃及王国的所有领土和号令所及的地方去征兵,弄到城里来大批轻矛、弩机,还带来不计其数的士兵。城里也一样,建立起大规模的武器作坊。奴隶除了未成年的以外,统统被武装起来,由比较富裕的主人供给他们每天的伙食和工资。他们把这支巨大的兵力布置在比较偏僻地区的工事上,而把那些老兵的部队安置在往来最繁忙的地区,并且让他们闲在那边,以便在不管什么地方发生战斗时,能把他们当做生力军派去支援。所有大街小巷都用方石块筑起三重壁垒隔绝,高度不低于四十尺。城里地势比较低平的地方,他们用极高的有十层的塔楼作为防守工事。此外,他们还建造了同样层数的塔楼,下面装有车轮,用绳子把它和牲口联在一起,如果任何地方需要时,它就可以顺着大路一直奔向那边去。

    3.这个城市非常富裕和繁盛,故一切装备都极为充裕,那些居民也十分聪明和机灵,一看到我们做什么,他们就能凭自己的智巧学着做出来,看起来反而象是我们从他们那边抄袭来的似的。他们还自动想出许多办法,做到在一面不断攻击我们的工事时,一面还能守卫自己的工事。他们的领袖,无论在大会上小会上,总是用这样的话来煽动大家,说:罗马人正在慢慢形成一种侵吞他们王国的习惯,不多几年以前,奥卢斯·伽比尼乌斯就曾带着军队来过埃及,庞培在逃亡中也跑到这里来,凯撒现在又带着军队来了,就连庞培的死亡也不能叫他不再在他们这里耽下去。如果他们不能把他赶出去,他们的王国就将变成罗马的一个行省。要驱逐他还必须趁早,他现在因为季节关系,正被风浪阻隔在这里,得不到海外来的援军。

    4.同时,正象前面讲过的那样,统率老兵部队的阿基拉斯和托勒密国王的小女儿阿尔西诺,为要争取把最高的统治权夺到自己手里来,彼此互相施展阴谋计算对方。阿尔西诺通过自己的保育太监伽尼墨德斯先发制人,杀死了阿基拉斯。杀死他之后,她自己独掌了全部大权,既没有和她并立执政的人,也没有对她监护的人,军队则交给了伽尼墨德斯。他接受了这个职务后,加增了教士兵的赏赐,其余的工作也都同样尽心竭力地干。

    5.亚历山大里亚差不多到处地下都挖有水渠,通向尼罗河,河水就经过它,流到私人家里。这种水在经过一段时间逐渐沉积后,变得很清澈,大厦的主人和他们的家属习惯上就用这种水。因为尼罗河流下来的全是污泥浊水,导致许多各式各样的疾病。然而,平常百姓和广大群众出于无可奈何,就只能以这种水为满足,因为全城根本没有别的泉水。那条河流正处在该城的由亚历山大里亚人占领的那部分,这种情况,使得伽尼墨德斯想到可以把我军的水源切断。我军那些为了守卫工事而分布在大街小巷的士兵,用的正是从私家房屋中的渠道和水槽里汲出来的水。

    6.这计划一得到赞同,浩大而又艰巨的工程就动起手来,他首先切断水渠,把在他们掌握中的那部分城市分隔出去,然后用水轮和别的机械把大量海水从海里抽上来,从一处比较高的地方向凯撒占领的那部分不停地灌下去。因而,从离那边最近的房屋里汲出来的水,味道就比往常咸了一些,引起我军士兵很大的惊异,不知是什么原因。当他们听到地势比他们更低的那些地方的人说他们那边的水还是和以前习惯的一样,味道没有什么不同时,简直不敢相信自己的耳朵了。他们大伙聚在一起议论,还试尝了水的味道,辨别它已经有了多大的不同。但不久以后,靠近敌人地方的水已经完全不可以饮用,比较低下的地方,也发现水在逐步变质,渐渐咸起来。

    7.这种情况使他们的疑惑消除了,引起极大的惊恐来,看来大家好象一下子陷人非常危险的境地似的。有些人抱怨凯撒太拖塌,应该马上就命令下船;别的一些人又害怕会发生更严重的情况,因为亚历山大里亚人离开如此之近,假如他们准备撤走,决瞒不过这些人,如果他们踞高临下冲下来追赶,就绝没有机会可以退到船上去。而且在凯撒掌握的这部分地区,还有当地的大批市民,凯撒没让他们搬出房子,因为他们公开做出忠于我们的样子,和自己的同胞不相往来。然而,如果要我来为亚历山大里亚人辩护一番,说明他们既不狡诈,也不轻率,这将是一件说尽千言万诺都白费心血的事,一且弄清楚他们这个民族和他们的性情脾气,就再没有人会不承认他们是最最擅长于出卖人的族类了。

    8.凯撒用安慰和说理的办法,减轻他部下的恐惧。他肯定地说,挖掘水井一定能找到甜水,凡是沿海的地方天生都有甜水的泉脉,就算埃及的海岸和所有别的地方的海岸性质有所不同,那也不要紧,因为海岸正在由他自由地控制着,敌人没有舰队,不能阻止他每天用船只出去取水,左面可以到帕拉托尼鸟姆去取,右面可以到岛上去取,这两处地方航行的方向相反,不会同时受到逆风阻拦。逃跑确乎不是上策,不仅对那些首先考虑的是自己地尊严的人来说,就对于那些除了自己的性命以外不考虑别的的人来说,也是一样。他们费尽心机才能在防御工事后面挡住敌人的攻击,一旦离开防御工事,就无论地形、无论人数,都不足以和敌人相抗了。上船既要拖拖拉拉费很多时间,又要经过许多困难,特别是在要用小艇的地方。而亚历山大里亚人则正好相反,他们的行动很迅速,地势和建筑又极熟悉,特别在当他们一得胜,趾高气扬的时候,他们会抢先赶来占据比较高的地方和建筑物,以阻止我们逃走,并截住我们的船只。因而,他们心里千万不可再存有这种念头,必须想尽一切办法取得胜利。

    9.向他的部下说了这番话,把所有人的精神都鼓舞起来之后,他把任务布置给百夫长们,叫他们把其他一切工作统统停下来,先一心一意地挖井,就连夜里也片刻不要歇手。这工作一开了头,每个人都精神振奋地投入劳动,一夜之间就发现了大量甜水。这样一来,亚历山大里亚人的苦心策划和辛勤劳动,我军没化多少时间工作就把它抵消了。就在第二天,由庞培部下投降过来的士兵改编组成的给三十七军团,由多弥提乌斯·卡尔维努斯安排他们登船,带着粮食、武器、轻矛、作战机械等,航到阿非利加海岸,稍稍在亚历山大里亚上方一些。他们被一场连续刮了几夭的东风阻止在那边,不能进入港口,幸亏那边一带所有地方都可以安全地抛锚,他们在那边耽搁了很多时候,而且苦于饮水不给,于是派一艘快艇航到凯撒这里来报告消息。

    10.究竟该怎么办,凯撒为了可以亲自作出决定,他自己上了船,并命令全部舰队都跟着他一起前去。他因为要离开的时间比较长,不愿意让防御工事上空着没人,所以船上不带任何士兵。当他到达叫做克索宁苏斯的地方时,为了要取水,派一些划手到陆地上去。他们中的一些人为要劫掠,跑得离开船过于远了一些,被敌人的骑兵截了去。敌人从他们口中得知凯撒本人坐着船来了,而且船上一些军队都没有。一发现这些情况,他们都认为这是命运带给他们的可以一举成功的好机会,因而,他们把准备好航行的全部船只都装上战斗人员,正好在凯撒带着舰队回来的路上遇上他。这一天,凯撒有两点理由不愿意战斗,一是他船上没有士兵,二是当时已经是第十刻时,黑夜会带给这些自恃熟悉地形的人更大的信心,也会使自己对部下的鼓动失去助长士气的作用,因为任何勇敢的人和偷懒的人都分辨不出,鼓动完全不能恰如其分。为了这些理由,凯撒在一个他认为敌人不能跟来的地方,尽可能使他的船只向岸靠拢。

    11.在凯撒右翼,有一艘罗得岛人的舰只,停息在离开其它的船只很远的一段路之外。敌人一看到它、就有四艘装有甲板的船和许多敞船,自己禁不住奋力向它扑去。凯撒被迫赶去救护这条船,以免它受到敌人的伤害,当众出丑,虽然他认为如果有什么厄运落到它头上,也是它咎由自取的事情。双方一交上手,罗得岛人就竭尽全力战斗。尽管他们每逢作战总是以他们的技术和勇敢取得上风,但在这次,他们更加不回避担当全部重压。深恐吃了败仗,会被人家认为是自己不好,活该倒霉。这就赢得来一场很大的胜利。俘获了一艘敌人的四列桨舰,击沉了另一艘,还有两艘的舰上人员被悉数歼灭,此外,在其他船上也有大量战斗人员被杀死。如果不是黑夜降临打断了这场战斗,凯撒很有可能把敌人的全部舰队都夺了过来。这一场灾难使敌人惊慌万状,凯撒在轻微的逆风中,带着他胜利的舰队,拖着几条运输舰,返回亚历山大里亚。

    12.这场灾难使亚历山大里亚人十分震动,在他们看来,战胜他们的不是战斗的勇敢而是水手们的技能,他们再也不敢相信在那些建筑物里能够自卫——这本来也和那些高地一样是他们所倚传的。他们把自己所有的木材都用来制造栅栏,好象就怕我们的舰队甚至会攻到陆地上来似的。尽管如此,当伽尼墨德斯在会议上保证他不仅要把失去的舰只数目补起,还要有所增加时,他们又怀着极大的希望和信心,动手修缮起旧船来,大家专心致志干劲十足地投入这项工作。虽说他们在港口和船坞中损失的舰只已超过一百十艘,但他们还是不放弃重新装备舰队的打算。他们看到,如果自己的舰队强大,凯撒就不会有援军,也不会有给养来支持他。尤其因为城市里和沿海地区的人生来就是海员,从小就在每天的实地操作中得到锻练,他们急于要从生与俱来的看家本领中找到出路,同时还记得他们怎样用小船取得过成功的事,因而,他们就把全部热情都投入到准备舰队中去。

    13.在尼罗河的所有出口处,都有巡船驻在那边收取关税,在隐蔽的王家船坞里,还有一些多年没用于航行的旧船,他们把后者修缮起来,把前者统统召来亚历山大里亚。船桨感到缺乏,他们就把柱廊、体育场和公共建筑物的屋顶扔掉,用它们的梁来做桨。一方面有天生的聪明才智,另一方面有城里的丰富物资,都在发挥作用。大致说来,他们在准备的不是长途的航行,在他们看来,战斗将就在港口里进行,因而他们只为当前迫切需要作准备。在不多几天以后,就出于大家意料地完成了二十二艘四列桨舰,五艘五列桨舰,此外还加上许多小的敞船。在港口里试划了一番,检验过它们每一艘的效能之后,给它们配备了合适的士兵,又给自己准备好每一样战斗需要的东西。凯撒有九艘罗得岛来的舰只——本来有十艘,其中一艘在航行途中,在埃及海岸失事——八艘本都来的舰只、五艘里西亚来的舰只、七艘亚细亚来的舰只。这些舰只中,有十艘是五列桨和四列桨的,其他的船都不及它们大,而且大部分都是敞开的。虽说如此,尽管凯撒已经知道敌人的实力,但因为相信自己部下的英勇,还是作战斗的准备。

    14.现在双方都已经到十分自信的地步。凯撒带着舰队,绕着法罗斯岛航行出来,面对敌船布列开来,右翼安置的是罗得岛的舰只,左翼安置的是本都的舰只,中间留下四百步一段空隙,看来已经足够让他的舰只分散布开。在这一列之后,他把他的其余舰只也都布列好作为后援,谁跟在谁后面,谁给谁支援,他都作好规定,交代给他们。亚历山大里亚人也毫不疑迟,把舰队带出来布好阵势,在前面安置了二十二艘舰只,其余的放在第二列作为后援。除此之外,还摆出大批小船和快艇,装载着火矛和火种,希望能靠他们的船只数目之多、靠他们的呐喊和烈焰,把我军吓倒。双方舰队之间,有一些浅滩,只有一条很狭窄的水道可以通过,这些浅滩一直伸到阿非利加地界——事实上,据说亚历山大里亚有一半属于阿非利加——有相当一段时间,双方之间互相观望,不肯上前,想等着看究竟谁先穿过那条水道,因为先进入的一方,无论是要把舰队散开来,还是遇到失利时要退出去,都将遇到障碍。

    15.率领罗得岛舰队的是欧弗拉诺尔,他的豪放、他的英勇,不仅可以和希腊人,而且简直可以和我们罗马人相比。他那极为有名的精湛技术和英雄气概,使他被罗得岛人选出来作为这支舰队的领导人。当他看到凯撒在疑迟不前时,说:“在我看来,凯撒,你在担心一旦你带着船只首先进入这片浅滩时,就会在还没来得及摆开其余的舰队以前,被迫战斗起来。把事情交给我吧,我们将顶住这场战斗,一直到其他的船只跟上来为止,不会辜负你的期望。让这些家伙在我们面前一直耀武扬威下去,真使我们感到极大的耻辱,极大的气愤。”凯撒鼓励了他,并且对他说了许多各式各样赞扬的话,然后发出战斗的号令。四艘罗得岛军舰穿过浅滩,亚历山大里亚人立刻围上来攻击他们。罗得岛人顶住了它们,而且运用技巧和智慧,一线散开去。他们教练得如此之精,尽管敌我众寡悬殊,他们中没有一艘船肯让自己的船舷暴露给敌人,也没一艘船听任敌人挤走自己的桨,总是能调过头来正面对着赶上来的敌人。同时,其余的军舰也已经跟上去,只是由于海面狭窄,出于不得已,大家只好放弃了操纵技术,单凭勇气进行搏斗。的确,在亚历山大里亚,不管是我军士卒还是镇上的市民,不管他们正从事工作还是战斗,全都奔向最最高的屋顶,或者从所有可供燎望的地方中挑一处,遥观这场战斗,并且用祈祷和许愿恳求不朽之神赐给他们这一方胜利。

    16.战斗如何结局,对双方的前途将产生完全不同的影响。就我方来说,一旦被击退或失败,就无论陆上还是海上,都没有地方可以逃走,如果得胜了,却仍然是前途茫茫,无从逆料。反之,如果对方的舰只得胜,他们就可通盘全赢;就算失利了,还可以下次再来试试运气。看来同样严肃而又可悲的是,事关全局成败和大家安全的战斗,却只由少数人在担任,他们中如果有谁,无论在精神上或勇气上稍稍动摇,别的那些没有机会参加为保卫自己而战斗的人,就也只能自己照顾自己了。凯撒近日来一再把这种道理向他的部下反复说明,让他们知道所有人的安全都寄托在他们身上,好更加尽心竭力战斗。他们每一个人在跟自己的同帐伙伴、朋友和熟人在一起时,也都是用这样的话恳求他们,要他们不要让他失望,也不要让那些因有他们的推荐才挑选他去参加战斗的人失望。因而,战斗时的那种一往无前的劲头,使得对方尽管是住在沿海的航海民族,竟不能从他们的机灵和技巧中得到丝毫帮助,也不能因他们的船只居压倒多数而占到便宜,他们的战士,虽说是因为勇敢才被从如此之多的人中挑选出来的,也无法和我军的英勇匹敌。这一役,他们的一艘五列桨舰、一艘两列桨舰、连同它们船上的战士和桨手,都被我军俘获,另外又击沉三艘船,我方一艘船都没被损坏。其余的敌舰都逃向就在附近的这个城市,受到从防波堤上和附近建筑物上来的掩护,阻止我军接近。

    17.为了避免自己可能经常遇到这种情况,凯撒认为应该用尽一切方法,竭力把那个岛屿以及伸到岛上去的那条防波堤拿到自己手里来。城里的防御工事已经大部完成,他相信现在可能在岛上和城里同时发动攻击了。主意打定以后,他让十个营和一些精选的轻装兵,以及从高卢骑兵中挑出来的他认为合适的人,登上几艘小船和划艇。为了要分散岛上的兵力,他又用一些装有甲板的船向该岛的另一方面发动攻击。他还对首先占据它的人许下重重的酬奖。最初,他们对我军的进攻还能势均力敌地对抗,一面在建筑物的屋顶上作战,同时又有武装人员在海岸上抵抗。由于当地的地势非常崎岖,我军前进很不容易。对方还有许多小船和五条军舰守住那片狭窄的海面,行动非常轻捷和熟练,但一到我军有些人了解了地形,试探过滩头深浅,在海岸边站定了脚跟时,其余的人也都在他们后面跟了上去,坚决地对布列在岸边平地上的那些敌人发动攻击。法罗斯人全都转身逃走。这些人被击败后,放弃港口的守卫工作,把船都靠拢到岸边和村上,自己离开船只,匆匆去守卫建筑物了。

    18.只是,他们并不能长时间守住那些据点,虽说那些建筑物和亚历山大里亚的相比除大小上有些差别而外,并没有多大不同,代替城墙的是一系列高高耸起并互相连接的塔楼。我军来时既没准备云梯,也没准备木栅和其他攻击它们的东西。但恐怖会剥夺人们的意志和智力,瘫痪他们的四肢,这次就是这深那些自信在平坦开旷的地方能够和我们一较短长的人,看到有人溃逃,还有少数人被杀,都吓慌了手脚,连三十尺高的建筑物也都不敢据守下去,只能纷纷从防波堤上一头钻进海里,游过八百步长的一段距离,逃向城里去。虽然如此,他们中间还是有许多人被捉住或杀死,俘虏的总数竟达六千人之多。

    19.凯撒把战利品都给了士兵们,命令把房屋都拆掉,并在靠法罗斯较近的那座桥边,建造起一座碉堡供守备之用,布置下防卫部队。这顶桥是法罗斯的居民们逃走时放弃的。另外一顶比较狭窄、比较靠近城市的桥,正由亚历山大里亚人守卫着。次日,凯撒怀着同样的目的去进攻它,因为这两座桥攻占下来之后,就能把敌舰的突围和闯出去劫掠等等行动统统堵住。因而,他用从船上发射的号机和箭,驱逐了留在该地防守的部队,把他们赶进城里,又派大约三个营在那边登上岸去——那地方很惆促,容不下更多的人——其余的部队就留驻在那边船上。这样布防好之后,他命令在桥头面对敌人的这一边,建造一道壁垒以为掩护,支撑那顶桥的拱问,即船只出入的孔道,也用石块堵塞住。后一项工作完成了,再没一只小艇能出去。前一项工程还在进行时,亚历山大里亚的全部军队都冲出城来,在一块比较平坦的地方,面对我军桥头的工事列下阵来。同一时刻,他们还把经常穿过桥洞派出去焚烧我军运输船的小船,都布置到防波堤边来。就这样,我军在桥上和防波堤上、敌人则在面对着桥的那块乎地和在对着防波堤的小船上,开始了战斗。

    20.正当凯撒全神贯注在这些事情上,并且鼓励他的士兵时,忽然一大批桨手和船夫,离开我军的战舰,奔上那条防波堤。他们中的一部分是急于想来探望一下,一部分人则是热心想来参加战斗的。他们一开始就用石块和射石器把敌人的小船从防波堤附近驱走,他们发射的大量矢石似乎发挥了很大的作用。但后来,有少数亚历山大里亚人竟敢冒险在离开那边一段路之外、在他们暴露着的侧翼登陆,正象他们来时并没有一定的部伍和队形、也没有具体的计划那样,他们这时又开始仓皇失措地向船上退去。他们的撤退鼓舞了亚历山大里亚人,又有许多人登陆上来,更加使劲地追逐狼狈退走的我军。同时,留在战舰上的那些人深恐敌人占据我们的船只,急忙抽去跳板,把船撑离陆地。所有这些事情,使驻在这顶桥上和防波堤起端的这三个营的我军士兵大为惊骇,当他们一听到背后的呐喊声,一看到他们的同伙在溃退,同时还得挡住迎面而来的大量矢石时,深恐自己背后受到包围,而且船一离开,所有的退路就将被切断,因此他们放弃了已经动工的桥头工事,急急忙忙向船上奔去。他们中有些人赶上了最近的船只,但因人多超重,船只沉了下去。有些人一面虽在抵抗,一面却在犹豫不知究竟该怎样办才好,终于被亚历山大里亚人所杀。有些人比较幸运,赶上正抛锚在岸边待命的空船,安全离去。还有少数人,高高举起自己的盾,下定决心闯一下,居然被他们一直游泳到附近的船上。

    21.凯撒正在尽可能鼓励他的部下在桥上和工事上坚持下去时,自己也同样卷入了这场危险。后来他看到大家都在败退,他也就退上自己的船。跟随着他硬冲到船上来的人是如此之多,使得船只不但无法操作,连离岸都不可能。他原来就预料到会发生这样的事情,自己一下子跳出船去,泅水赶到停泊在一段路之外的另一只船上去,在那边,他派小艇过来救助那些惊惶失措的人,救出了不少。他原来坐的那条船由于士兵太多,载重过度,连人带船沉没。在这一役中,军团士兵中损失了大约四百人,水手和桨手损失的还要略多于此数。亚历山大里亚人在那边用巨大的工事和大量弩机加强了那座碉堡,清除了海里的石块,此后就自由自在地使用那个桥孔,遣船只出入。

    22.这次失利,远没使我军士卒灰心丧气,反而更加鼓舞和推动他们进行大规模进攻,袭击敌人的工程。在每天的战斗中,只要遇上亚历山大里亚人冲出来突围,有机会交手的时候,主要由于部下激昂的士气和奔放的热情,凯撒总能获得很大的成功。他那些一般性的鼓励话,远远跟不上军团士兵的发愤努力和急切要求战斗的心情,与其说是要鼓动他们去作战,还不如说是该阻止和约束他们,不让他们去作最最危险的硬拼。

    23.亚历山大里亚人看到,胜利会使罗马人坚强起来,失败又会使罗马人得到激励,他们知道战争的结局不外是这两种,根本想象不出还有什么第三种出路,好使自己心里踏实些。因而,不知是出于当时正在凯撒营里的国王的友人们的劝告,还是出于他们原先的计划,经过密使通知国王,又得到了他同意的——我们只可能这样猜测——他们派使者到凯撒这里来,要求他放了国王,并且允许国王到自己的臣民那边去,说:他们全体人民对这个小姑娘、对摄行王政的人、以及对伽尼墨德斯的极端残暴的统治,都已经感到不胜厌倦,他们准备完全听从国王的话,他说该怎样做就怎样做。如果他出面要大家和凯撒订结同盟和友谊,大家就会自动来投降。再不会因害怕危险而疑迟不前。

    24.凯撒虽然很了解他们是一个欺诈成性的民族,一向都是内心想的是一样,外表装的又是一样,但是,他还是认为最好能宽大为怀,答应他们的请求。因为他相信,如果他们的要求真是出于本心,国王释放了,一定会使他们保持忠心不变,反之,如果他们索取国王,为的是好在战争时有一个领袖 ——这似乎更加符合他们的本性些——他认为,跟一个国王作战,无论如何总比和一群乌合之众的逃犯作战更光彩、更名正言顺些。因而,他鼓励那国王,叮嘱他要顾念他父亲的王国,要体恤这个光辉灿烂、但现在已被可耻的战火和兵乱弄得残破不堪的国家,首先要大声疾呼,使他的臣民们清醒过来,再使他们长此保持下去,以此来向罗马人民和凯撒证明自己的忠实,就象凯撒对他也是十分信任,放他回到武装着的敌人那边去一样。然后,他拉着他的手,开始送走这位差不多已经长大成人的孩子。但国王的心灵是在最最狡诈诡橘的教育下熏陶过来的,深恐辱没了他们这个民族的老传统,因而他倒转过来开始泣涕涟涟地恳求凯撒不要打发他走,还说一看到他自己的国家,还不如看到凯撒更使他衷心愉快些。凯撒要这个孩子抑制住涕泪,虽说自己也不免有些感动,但仍旧向他保证说,如果他真的这样想,那他很快就会和自己再到一起来的。说完就打发他回到自己国人那边去了。但国王就象一朝放出牢笼,让他自由奔驰那样,立刻就开始对凯撒发动激烈的战争,好象他和凯撒谈话时洒的眼泪是因为一时高兴而流的似的。凯撒的许多副将、友人、百夫长和士兵也都纷纷笑凯撒,认为他太仁慈了,竟上了这个狡狯的孩子的当。好象凯撒这样做,真是完全出于一片仁慈,而不是出于最最深谋远虑的策略似的。

    25.虽然得到了领袖,亚历山大里亚人看出他们自己并没有增强多少,罗马人也并没有削弱多少,而且还看到士兵们嘲弄国王的年幼无知和优柔寡断,觉得很为痛心。他们感到自己的事业毫无进展,加之还有谣言说,大批援军正在从叙利亚和西里西亚走陆路赶来支援凯撒,虽然这项消息还没传到凯撒这里,但亚历山大里亚人却已经决定对一支从海路送给养来供应我军的运输队发动截击。因而,他们派许多轻捷的船只停泊在卡诺普斯口外方便的地点,在那边专等偷袭我军的舰队和给养。当凯撒得知此事时,命令他的全部舰队都作好准备,待命出动。他把这支舰队交由提比略·尼禄指挥。包括在这支舰队中一起出发的有罗得岛的舰只。其中就有欧弗拉诺尔,少了他,没有任何一场海战打起来过,也从来没取得过哪怕是极小的成功。对于一个多次赐予恩宠的人,命运之神也常常会把悲惨的遭遇留给他,现在在等着欧弗拉诺尔的就和往昔大不相同了。按照他一向的习惯,欧弗拉诺尔首先投入战斗,但当他撞穿一条敌方的四列桨舰并把它击沉之后,又向另外一艘军舰追过去很远一段路,其余的船只赶不上它的速度,他被亚历山大里亚人包围起来。没有一条船赶上去救他,可能是因为他们认为他勇敢非常,而且一贯幸运,完全有办法能够保卫自己,还可能是由于他们本人在害怕。因而,在这场战斗中唯—一个取得成功的人,和自己那条获胜的四列奖舰一起遇难。

    26.约在同时,佩伽蒙国王弥特里达特到达佩卢西翁。这是一个家世极显赫、既有丰富的战争经验又勇敢出众的人,而且是凯撒的一个非常忠诚、非常真心实意的朋友。在亚历山大里亚战争刚爆发时,他被派到叙利亚和西里西亚去征召援军,因有那些国家的由衷相助和他本人的辛勤努力,迅速召集起一支巨大的军队,现在他正带着它从陆路走到埃及和叙利亚交界处的佩卢西翁。这个镇因为地处要害,已经有阿塞拉斯的一支强大的驻军在那边守卫。通常人们都把法罗斯和佩卢西翁看做是保障整个埃及的两把门锁,佩卢西姆扼守陆上的通道,法罗斯扼守海上的通道。弥特里达特这时突然以巨大的兵力包围住它,尽管守军人数众多,抵抗也很顽强,但由于他有大量的生力军在接替受伤和疲劳了的人,再由于他的攻击坚持不懈,片刻不停,就在他对它发动攻击的那一天收复了它,把他自己的一支军队留在那边驻守。取得这次胜利之后,他又从那边赶向亚历山大里亚凯撒处去。一路上他利用通常都属于胜利者的声威,把经过的地区统统都拉了过来,让它们和凯撒结成友好关系。

    27.离开亚历山大里亚不远,就是当地差不多最最有名的那片称为“代尔大”的三角洲地区,由于它象a 这个字母得名。因为尼罗河的这一部分河道,分为两路,中间隔开一段距离,而且它们渐渐愈分开愈远,到达河流所连接的那片大海的海岸附近时,已经相距很远路。当国王听到弥特里达特已经走近那地方,知道他一定要渡过这条河,就派大批军队去对付他。国王相信这支部队即使不能战胜和歼灭弥特里达特,毫无疑问,至少也能把他顶住在那边。虽然国王很希望能把他击败,但如果光只是把他拖住,不让他和凯撒会合,也就同样很满足了。他的第一批部队在代尔太三角洲渡过了河,遇上弥特里达特,急急忙忙就和他交上手,为的是想抢在后面跟上来的同伙之前先取得胜利。弥特里达特极谨慎地仿照我军的习惯,给营寨筑起防御工事,抵抗他们的进攻,但后来当他看到他们来到他工事边时的那副全无戒心、目空一切的样子,就突然从各处突围出击,杀死了他们很多人。要不是其余的人倚仗自己对当地的地形熟悉,隐蔽起来,再加还有一部分人退上他们乘着过河来的船,可能全部被歼灭掉。当他们稍稍从惊恐中恢复了一些的时候,他们和后面跟上来的同伙会了师,再次起来进攻弥特里达特。

    28.弥特里达特派人送信到凯撒那边去,把经过情况报告他。国王也从自己人那边知道了这件事,因而,几乎就在同一时刻,国王赶来攻击弥特里达特,凯撒则赶来援助他。国王可以比较迅速地利用尼罗河来航行,因为他在河里有一支很大的准备好的舰队。凯撒不愿意走同一条路,以免船只在尼罗河里战斗起来,而是到我们前面说过的属于阿非利加的那片大海去绕了一个圈子。虽说如此,他仍然赶在国王的军队前面,在他们还没能攻击弥特里达特之前,把弥特里达特的那支得胜了的军队,安全无恙地接到自己这边来。国王让他的军队在一个地形很险要的所在扎下营,这是一处自身很高峻,挺然突起于四周围的一片平原之上的地方。它的三面各有不同的屏障在掩护着它,一面它一直连接到尼罗河;另一面,它伸出去成为很高的高地,营寨的一部分就雄踞在那里;第三面则有一片沼泽包围着。

    29.在国王的营寨和凯撒的行军路线之间,隔有一条注入尼罗河的小河,两岸非常高峻,离开国王的营寨约七罗里。当国王发现凯撒正在从这条路走来时,就派他的全部骑兵和一些精选的轻装步兵到这条河边去,阻止凯撒渡河,在河流的两岸发生了远距离的、而且是不见是非的战斗,因为这地方既不允许勇敢的人有一显身手的机会,胆怯的人也用不着冒历危险。和亚历山大里亚人的这场交战拖了很多时间,仍然不见胜负,使我军的战士和骑兵感到十分气愤。因而,就在同时,一些日耳曼骑兵成群结队地散出去寻找可以涉渡过河的地方,在河岸极低的地方渡了过去。同时军团士兵也砍伐了一些可以从这面河岸伸到对面河岸去的大树,把它们架起来以后,马上在上面铺上一层泥土,跑过河去。他们的攻击使敌人如此惊慌,只能把安全的希望都寄托在奔逃上,但毫无用处,在溃逃的人中只有很少人逃回国王那边,其余的大批人几乎全被杀死。

    30.在取得这次光辉的胜利后,凯撒估计到如果自己突然进军向前,一定会引起亚历山大里亚人的绝大恐慌,子是他就乘胜一直推进到国王的营寨前。他注意到那营寨既有坚强的工事可供防御,又有很好的自然条件在捍卫着它,而且还有密密阵阵的大批武装部队聚集在壁垒上,他不愿让一路奔波和战斗,已经很疲劳的部下,再上去攻营。因而,他在离敌人不很远的地方扎下营寨。次日,他对离开国王营寨不远的一座小村发动攻击,这小村里有国王筑的一座碉堡,而且国王为了能够守住这村子,还特地筑了一道防御工事的支线,把它和自己营寨的工事连接起来。凯撒以他的全部兵力去进攻它,把它攻了下来。所以要用他的全部兵力,并不是他认为军队少了,达到目的比较困难,而是他想从这一胜利出发,趁亚历山大里亚人慌张失措之际,直接去攻击国王的营寨。因而,在跟着从那碉堡里逃出来的亚历山大里亚人一路追逐时,从碉堡一直追到他们的营寨,接近他们的防御工事,就在一段距离之外,猛烈地展开攻击。我军士兵可以从两面动手攻打那座营寨,一面即我已经说过可以毫无阻碍地接近的那一边,另一面是夹在营寨与尼罗河之间的一片不大的空地。亚历山大里亚人的那支最大、最精心挑选的部队即守卫在最容易走近的一边,但在抵御我军上面最获得成功、伤害我军也最多的,却是尼罗河一边的守卫部队,因为我军要受到从两对面来的矢石攻击,一面是迎面从营寨的壁垒上来的,另一面对从背后的河面上来的,那边有许多船装着射石手和弓箭手,也正在向我军攻击。

    31.凯撒看到,他部下的士兵战斗得已经不可能再勇猛一些,但因为地形困难,始终得不到多大成功,他注意到对方营寨的最最高的那一部分,已经被亚历山大里亚人丢下不管,一则因为它本身的险峻的地势可以保障它,再则还因为那些守卫者都已经兴致勃勃地赶到正在战斗的那些地方去,有的是去参加战斗,有的是去看热闹。因此,他命令几个营绕过营寨赶到那里去,攻击那处高地,并派异常英勇、战斗经验也极丰富的卡车勒努斯率领他们前去。当他们到达那边时,我军对少数还守在工事上的敌军发动最最猛烈的攻击,两面的呐喊和两面的战斗吓坏了亚历山大里亚人,他们开始心慌意乱地向营寨的各处地方乱窜。他们的惊惶更激起了我军的旺盛斗志,所有的营寨差不多同时被攻了进去,首先攻下的就是那最最高的地方的营寨,我军就从那边冲下来,杀死许多正在营里的敌人。许多亚历山大里亚人为要逃出危险,成批成批地从壁垒上向接近尼罗河的这一面跳下去,他们中间前面的那些人重重地跌落进工事的壕堑,死在那边,但却给了后面的人一条比较方便的逃生之路。大家认为国王本人也从营里逃了出去,而且登上了一条船,可是后来他的大批部下都泅水向附近的船只涌上去,因为人太多,他和那条船一起沉没死去。

    32.事情就此幸运而又迅速地结束。凯撒因为这次巨大的胜利而充满信心,他带着骑兵,由最近便的陆路直奔亚历山大里亚,作为一个胜利者,在敌人驻军守卫的那一部分进人该城。他认为,敌人一听到这次战斗的消息,就不会再起作战的念头,他的想法果然没有错。他一到那边,就当之无愧地收获到来自勇敢和慷慨大度的果实,城市里的广大居民全都抛掉武器,放弃防御工事,披上人们在向君主恳切陈情时习惯穿的那种衣服,携带着平常在国王受到触犯赫然震怒时,用来求他息怒的教仪规定的各式圣物,匆忙迎接凯撒的到临,委身听命。凯撒接受了他们的投降,还安慰了他们。然后,他穿过敌人的防御工事,在部下们的热烈祝贺声中,来到城市的原来属于他控制的那部分,他们欢欣鼓舞的不光只是这场战争和这次战斗的欢乐结局,而且还因为他是在这种场面下来到他们身畔的。

    33.掌握了埃及和亚历山大里亚,凯撒仍旧把老托勒密写在遗嘱上并要求罗马人民不要更动的那些人安排到王位上去,两个男孩中的长子,即那个国王,已经故世,凯撒把王国授给了他的幼子和两个女儿中的长女克娄巴特拉,她一直是忠实赞助他的人。次女阿尔西诺,即我们说过伽尼墨德斯用她的名义长期粗暴地统治的那个,他决定让她离开这个国家,免得王权在还没经过一段时间得到巩固以前,在这些好乱成性的人中间,又产生新的分裂。他把老兵组成的第六军团随身带走,所有其余的都留了下来。好让这些握有王权的人统治起来更强有力些,因为他们一直忠实地保持着对凯撒的友谊,所以不可能得到自己臣民的爱戴,而且他们刚只登上王位几天,还没有日积月累而来的威信。同时,他认为,如果国王保持对我们的忠诚,我们的军队可以成为他们的安全保障,如果他们忘恩负义,这同一支监护的军队就可以加以强制,这对于我们国家的尊严、对于公众的利益,都是有帮助的。所有的事情都这样安排完毕之后,他自己动身向叙利亚赶去。

    34.当这些事情正在埃及进行时,德奥塔鲁斯国王来到凯撒留下来主持亚细亚和附近几个行省的多弥提乌斯·卡尔维努斯这里,要求他不要听任他自己的王国小亚美尼亚和阿里奥巴扎涅斯的王国卡帕多基亚被法尔那西斯占领和蹂躏,说:如果不把他从这场灾难下解放出来,他就没法推行自己的政令,也没法偿付答应给凯撒的钱。多弥提乌斯不仅考虑到这笔款子是开支军事费用所必不可少的,而且还认为自己同盟和友邦的领土如果被外国君主占了去,是对罗马人民和得胜了的盖尤斯·凯撒的侮辱,对他本人的轻蔑。因此他立刻派使者到法尔那西斯那边去,叫他撤出亚美尼亚和卡帕多基亚,不要趁罗马人民忙于内战时,触犯罗马人民的权利和尊严。他相信,如果自己带着军队更走近对方的领土一些,这警告就会显得更有力。于是,他自己赶到军中,把那三个军团之一,即第三十六军团带了出来,并把其余的两个派到埃及去给凯撒。凯撒已经来信索取过它们。但这两军团中有一个因为是从陆路经过叙利亚派去的,所以没赶得上参加亚历山大里亚之战。格奈乌斯·多弥提乌斯在自己的第三十六军团之外,又加上了德奥塔鲁斯国王的两个军团,这两个军团已经由国王建立了好多年,完全是仿照我军的纪律和武装训练起来的。在这上面,他又再加上了一百名骑兵,并且还从阿里奥巴托涅斯那里讨了同样数目的骑兵。他派普布利乌斯·塞斯提乌斯到财务官盖尤斯·普莱托里乌斯那边去,叫他把在本都匆忙中征集起来的士兵编成的那个军团带来。又派昆图斯·帕提西乌斯到西利西亚去征集同盟军。这些部队按照多弥提乌斯的命令,很快都在科马那集合。

    35.同时,使者从法尔那西斯那边带来了这样的答复:他已经撤出卡帕多基亚,但他收复了小亚美尼亚,这是他父亲传下来的遗产,根据继承权,应该归他占有。总之,他愿意把这五国的问题原封不动留待凯撒来解决,无论凯撒作出怎样的决定,他都准备服从。克奈乌斯·多弥提乌斯注意到,他虽然已经退出卡帕多基亚,但不是出于自愿,而是由于不得已,因为守卫和他自己的王国毗邻的亚美尼亚,比守卫较远的卡帕多基亚容易得多。多弥提乌斯还知道,法尔那西斯原来认为自己是带了全部三个军团一起来的,现在他听到其中的两个已经派到凯撒那边去,这就使他更加壮大了胆子在亚美尼亚耽搁下去了。多弥提乌斯开始坚持要他连这个王国也退出去,说:若论合法权利,卡帕多基亚和亚美尼亚并没有什么不同,就连他要求把事情原封不动地拖到凯撒来,也是毫无道理的,一件事情只有原来是这样,现在还是这样,才叫做原封不动。给了他这样答复后,多弥提乌斯带着上面说过的那支军队开始出发,沿着高地向亚美尼亚赶去。因为从本都的科马那起,就有一条很高的、树林很多的山岭,一直伸到小亚美尼亚,成为卡帕多基亚和亚美尼亚之间的分界。他看到走这条路有一定的方便之处,一则在高地上走,敌人没有发动突然袭击的可能,再则这条山岭的一侧和卡帕多基亚相连,那边可以提供他大量给养。

    36.同时,法尔那西斯派很多使者到多弥提乌斯这里来商谈和平,还给多弥提乌斯带来配得上国王的礼品,所有这些都被他坚决拒绝。他回答使者说,再没什么比维护罗马人的尊严,给它的盟邦收复国土更加重要。在连续不断地赶完很长一段路程之后,他到达尼科波利斯,这是小亚细亚的一个市镇,就坐落在那片平原上,只是它的两侧在相当远的一段距离之外,都有很高的山岭矗立着。就在这里,距尼科波利斯大约七罗里,他扎下营寨。从他那营寨在前走,路上要穿过一处狭窄而又崎岖的峡谷,法尔那西斯把精选出来的步兵和差不多他的全部骑兵都布置在那边,作为埋伏,而且还下令把大量牲口散乱地放置在那边的隘口处,并叫一些乡下人和城镇居民耽搁在那地方,故意让人家看到。他是这样打算的:如果多弥提乌斯是带着友好的态度进入那峡谷的,当他看到那些人和牲口在田野里来来去去走动,只当来的人是自己的朋友时,就不会怀疑到有埋伏;反之,如果他不是怀着友好的态度前来,而是来进入敌人的领土的,那些士兵为了抢夺战利品,一定会离开行列,到处乱窜,从而在散乱中被歼灭。

    37.当他正在作这些布置时,他一面仍旧不断派代表到多弥提乌斯那边去侈谈和平和友谊,他相信这样容易使对方受骗些。但恰恰相反,正是由于有和平的希望,使多弥提乌斯有了留在营寨里不出来的理由。因而,法尔那西斯失去了马上成功的机会,他怕他的埋伏被发现,就把他的部队召回营里去。次日,多弥提乌斯向前进发,离开尼科波利斯更近了一些,就在靠城的地方扎下营。当我们的军队正在给它构筑防御工事时,法尔那西斯按照他自己一向习惯的方式布下战阵。在正面,布下一横列单行,它的两侧翼各有三列接应部队在后面加强它;在中央,也以同样的方式放置了接应部队,其左右两端、各留出两段空隙,即只布列一层单行。多弥提乌斯把已经开始的营寨工事一直干到结束,把他的一部分军队布置在壁垒前面。

    38.次夜,法尔那西斯又截获一些送信到多弥提乌斯这里来、告知关于亚历山大里亚的情况的人,知道凯撒正陷在极大的危险之中,迫切要求多弥提乌斯尽快派增援部队到凯撒那边去,叫他自己也通过叙利亚,向亚历山大里亚推进。知道了这事,法尔那西斯认为多弥提乌斯很快就将离开,只要硬拖延时间,必然会取得胜利。因而,他在市镇外面他认为我军赶去攻击他最方便、作战也最有利的那一面,挖两道直的壕堑,各深四尺,中间相距不很远,为的是他可以把自己的部队长期留驻在里面,不出来作战。他把他的部队一直布列好停留在这两道壕堑中间,全部骑兵则布置在壕堑以外的两侧面,因为他们除此以外再没别的用处,而且他们的数目远远超过我军的骑兵。

    39.多弥提乌斯不免感到有些不安,主要不是因为自己的、而是因为凯撒的巨大危险。他认为如果他回过头来再争取过去自己拒绝过的条件,或者没有什么借口就忽然离去,对方一定不会让他平平安安地撤走。他就把自己的军队从邻近的碉堡里抽调出来。布下战阵。他把第三十六军团放在右翼,本都的那个军团放在左翼,德奥达鲁斯的军团放在中央。他把阵线的正面收缩得很狭,多余的各营都安置在后面作为后援。双方阵势这样布列好之后,就上前战斗起来。

    40.战斗的号令差不多是双方同时发出的,跟着就展开交锋,而且彼此忽进忽退,战斗得很激烈。第三十六军团在壕堑之外进攻国王的骑兵,战斗得非常顺利,一直推进到该镇的城墙,越过壕堑,从背后攻击敌军。只是在另一翼的本都军团却在敌人面前后退了一些,而且在试图越过或绕过壕堑去攻打敌人暴露着的侧翼时,就在越过壕堑之际被敌人顶住在那边击溃。德奥达鲁斯的军团更是不堪一击。这样,国王的军队就在自己的右翼和阵线中央得到了肚利,转过阵势来对付第三十六军团。他们却英勇地抵住了胜利者的冲击,在大批敌人的围攻下,仍旧全神贯注地战斗着。他们结成圆阵,向山脚下退去。由于地形不利,法尔那西斯不愿向那边追去。这样,本都军团几乎全军覆没,德奥达鲁斯的军团也大部分被歼,第三十六军团撤退到高地上,损失不超过二百五十人。在这次战斗中,还失去了一些优秀卓越的罗马骑士。经受了这次挫败,多弥提乌斯仍能把他溃散了的残部收集起来,从安全的道路经过卡帕多基亚,进入亚细亚。

    41.法尔那西斯因为战斗胜利而趾高气扬,认为凯撒也会象自己所希望的那样一败涂地,就用全部军队占领了本都。他在那边。以一个胜利者、一个极残酷的君主的面目出现,以为自己注定会和他的父亲有同样的命运,只是结局将会更好。他攻下了许多城镇,掠夺罗马公民和本都人的财物,甚至对一些容貌和年龄比较动人的人,处以比死刑还惨痛的刑罚。这样,他就在毫无抗拒的情况下掌握了本都的大权,吹嘘自己收回了父亲的王国。

    42.大约就在同时,伊吕里库姆这个几个月以前还在我们手中、不仅没丧失过体面,甚至还博得过称扬的行省,也遭到了挫折。原来在夏天,凯撒的财务官昆图斯·科尼菲基乌斯作为代行司法官被派到那行省去,带去两个军团。这行省的积储虽然绝不足以供养一支军队,边境上的战事和内乱已经使它消耗殆尽,残破不堪,但由于他既谨慎又勤勉,极端小心地避免冒冒失失的推进,光只以收复和守卫为事。例如,那边有许多坐落在高山上的堡垒。它的有利地形使它的居民专门从事剽劫和攻战。他攻下了一些这种堡垒,把战利品分给了士兵,它们的数量尽管很微小,但在行省这样残破的时候,他们也就感到很高兴,特别由于这是他们靠自己的勇敢换得来的。屋大维从法萨卢斯战役中逃出来后,就带着一支很大的舰队躲藏在那一带海岸。科尼菲基乌斯在一向为共和国效劳异常出力的亚德拉人的几条船协助之下,把屋大维的散乱的舰队夺了过来。这一来,使他在原来同盟的船只上又加进了这些俘虏过来的船只,从此有一支可以作战的舰队。当在地球另一边的极遥远的地方,胜利的凯撒正在追逐格奈乌斯·庞培时,听到他的对头中有些人已经收拾起逃出来的残部,进入伊吕里库姆,因为那边距马其顿很近,他随即写信给伽比尼乌斯,叫他带着由新征召的兵员组成的军团,赶到伊吕里库姆去,和昆图斯·科尼菲基乌斯会合,如果有什么危险落到行省头上来,便相机排除,如果那边不需要多少兵力即可以保持安静,就把军团带到马其顿去,他相信,所有那边的全部地区,只要格奈乌斯·庞培一天活着,战争就会重新爆发。

    43.伽比尼乌斯正当在隆冬的严寒季节来到伊吕里库姆,也许他认为行省的积储很充裕,也许他认为有凯撒所向无敌的好运气可以倚情,可能他还相信自己的勇敢和经验,因为已经有过多次在极危险的战斗中,都由于他的领导和闯劲,取得很大的成功。但他却没从行省得到多少物资支援,一则因为它已经很枯竭,再则还因为它不够真心实意,加之,狂风恶浪使海上的通航受到阻碍,给养不能运来。在巨大困难的压力之下,他不得不发动战争,与共说是出于自愿,不如说是出于无可奈何。一由于窘迫,他只得在极恶劣的气候条件下去攻打一些堡垒和城镇,经常遭到失利,以致连蛮族也轻视起他来。当他在向一个居住着极勇敢、极忠实的罗马公民的沿海城镇萨洛那退去时,在行军途中被迫发生战斗。在这次战斗中,他损失了二千名以上士兵,三十八名百夫长和四名军团指挥官。他带着残部追到萨洛那。在那边。一切东西都很缺乏,在沉重的压力之下,几个月以后他就得病死去。他活着时的不幸遭遇和他的突然死亡,给屋大维带来了极大的希望,他认为自己可以占取行省了。但在战争中往往起很大作用的命运之神,以及科尼菲基乌斯的勤劳和瓦提尼乌斯的勇敢,不允许他这样一直长期的走运下去。

    44.这时瓦提尼乌斯在布隆狄西乌姆,知道了伊吕里库姆发生的事情,同时又有科尼菲基乌斯不断来信催促他去支援行省,他还听到马尔库斯。屋大维已经和蛮族绪成同盟,并在一些地方攻击我军的驻军,有时候亲身带着舰队去,有时由当地的蛮族步兵去。因而,虽然瓦提尼乌斯身患重病,几乎力不从心,但他很勇敢地克服了健康上的障碍和在冬天突然准备行动的困难。由于自己在港坞中只有很少几条战舰,他送信到正在阿卡亚的盖尤斯·卡勒努斯那边去,请他派一支船队到自己处来。但他又考虑到这样太慢,赶不上解救我军的危险,他们已经挡不住屋大维的攻击了,他就把一些小艇装上铁嘴,尽管它们体积太小,不很适合战斗,但他拥有的数目却很多,他把它们加到自己的战舰一起,舰队在数目上得到了增加。他还有从所有各军团中抽出来的大量老兵,这些都因为是伤病员;在大军渡海到希腊去的时候被留在布隆狄西乌姆的,他把他们都安置在船上,就这样出发向伊吕里库姆赶去。那边有不少沿海城镇已叛变并投降了屋大维,他收复了一部分,另一部分一意孤行、坚执不肯回头的,他暂时放开不去管它,他不愿让任何紧急的事情干扰或阻碍他尽可能全速追赶屋大维。后者这时在海陆两路进攻一个叫厄皮达鲁斯的市镇,我军有一支驻军正在守城,瓦提尼乌斯的到临迫使他放弃攻击,解救了我方的驻军。

    45.当星大维知道了瓦提尼乌斯的那支舰队大部分都是小艇改装的时。对自己的舰队充满信心,把它们开航到陶里斯岛外面。瓦提尼乌斯也追着驶到这一带来,倒不是因为他知道星大维已经航到这里,而是因为后者已经先驶出很多路,决心来追上他。当他的船一字散开,靠近陶里斯时,海上风浪很大,波涛汹涌,他丝毫没怀疑到会有敌人来。忽然之间,他注意到有一条船正在向他驶来,机行已经降落到桅杆的一半,上面还布列着战士。他一看到它,立刻命令把帆卷起,降低帆析,部队都武装起来,并呈升起帅旗,这就是他命令战斗的记号。他发号令给跟在他后面的第一条船,叫它也这样做。瓦提尼乌斯的部下就这样面对突然袭来的敌人,作好准备。屋大维部下的船只也早已作好准备,一艘接一艘驶出港坞。双方战斗的阵势列好了。屋大维的舰队在队形上占优势,瓦提尼马斯则在部队的土气上占优势。

    46.当瓦提尼乌斯看到自己的船只不论从大小上讲还是从数目上讲,都不足以在一场遭遇战中和敌人对抗时,他就听任命运来决定一切。于是他一马当先,用他自己的五列桨舰向屋大维本人乘坐的四列桨舰奔去,屋大维的船也极迅速、极勇敢地朝着他划过来,两条船的船头铁嘴夏相猛撞在一起,星大维的船嘴马上碎裂,它的木头部分楔牢在对方的船上,脱不开身。其余各处也都在竭力搏斗,靠近首领们的地方交锋尤其激烈,因为大家都想去支援自己的一方,一场大战就挤在很狭小的一片海域里互相贴紧着进行。船靠紧在一起作战的机会愈多,瓦提尼乌斯的部下就愈占上风,他们表现了令人钦佩的勇敢,毫不迟疑地从自己船上跳到敌人船上去,只要战斗能旗鼓相当地进行,他们都能凭自己远超过对方的勇敢,顺利结束战斗。屋大维自己的四列桨舰沉没了,此外还有许多船被捕或被铁嘴沉穿击沉,他的战士有些在船上被杀死,有的跳进海里。屋大维良己逃上了一条小船。后来因为逃上这条船的人太多,使它无法动弹,他虽说受了伤,还是能够再向自己的另一条小战舰游泳过去,被接了上去。当战事因黑夜降临停下来时,他在狂风恶浪中扬帆远去。他的那些船舰中有不少碰巧从这场危险中逃了出去,也跟随着他一起走了。

    47.另一方面,瓦提尼乌斯大功告成后,吹起退军号,全部军舰都完整无恙地、肚利地进入屋大维的舰队从那边出来作战的这个港口、这一役中,他捕获一艘五列桨舰、两艘三列桨舰、八艘双列桨舰,以及屋大维的大批桨手。他就在那边把第二天化在整修自己的和捕获来的舰只上面,又次日,他向伊萨岛赶去,相信屋大维在逃亡途中,已经躲到那里去。岛上有一个市镇,它是那一带最最有名、也是和屋大维关系最最密切的市镇。在瓦提尼乌斯一到那边时,镇上人都恳求投降给他。他发现屋大维带着不多几条小船,已经乘着顺风航到希腊地区去,将从那边再航向西西里,然后赶到阿非利加去。这样,在很短的一段时间里,他完成了辉煌的事业,把行省收复了交还给科尼菲基乌斯,并把敌人的舰队逐出那一带整个海岸,全部军队和舰队都安然无恙、大获全胜地返回布隆狄西乌姆。

    48.当凯撒正在迪拉基乌姆围困庞培,在老法萨卢斯获得胜利,在亚历山大里亚从事危险很大、但谣言把它夸张得更大的战斗时,昆图斯·卡西乌斯·隆吉多斯作为代行司法官被留在西班牙,主管远西班牙行省。不知是由于他一向的脾气、还是由于他过去在该省担任财务官时曾经由于阴谋计算受过伤,所以痛恨西班牙人,使他给自己招来了更多的怨恨。他自己也很了解这种情况,可能是由于他自己将心比心,相信行省人也一定痛恨他,还可能是从那些不善于掩饰自己愤恨的人流露出来的一些迹象和证据上看出来的。他急于要抵消行省对他的痛恨。就竭力争取军队的爱戴。当他刚一把军队集中到一个地方时,他答应给士兵们每人一百塞斯特斯,不久之后在卢西塔尼亚,在攻下了墨多布雷伽城和墨多布雷林人逃在那边的赫弥尼马斯山,在那里被欢呼推奉为“英佩拉托”时,他又奖给每个士兵一百塞斯特斯。再加,他还给很多个人颁发了巨额奖金。这些奖酬表面上似乎引起了士兵对他的一时爱戴,但它们却在不知不觉中逐渐破坏了士兵们的严格纪律。

    49.在把他的军团安顿到冬令营会之后,卡西乌斯赶到科尔让巴去主持审判工作,还决定向行省征收一笔很重的捐税,来偿违他在那边背上的债务。习于行贿的人,必然会把自己的慷慨大方作为进一步寻求更多贿赂来源的漂亮借口。富有的人被强行勒索金钱,卡西乌斯不仅答应、而且强迫把这些款项作为自己欠的债记入账内。穷人被挑拨起来和富人阶级发生冲突,制造不和。不问什么样的油水,巨大而又公开的也好,微小而又见不得人的也好、没有一种能逃得过这位统帅在私下或在公开场合捞它一把。任何一个人,只要还有什么东西可以挖出来,不是被迫交保,就是被列入被告人的名单。这样,在牺牲和丢失私家财产之外,还加上一种使人时时担心大祸临头的焦急心情。

    50.终于,就为了这些原因,卡西乌斯这个当统帅的人既然做的还是当财务官时做过的事情,行省人士就也再用同样的阴谋来害他的性命。他们的愤恨又从卡西乌斯的一些僚属处得到了支持和鼓励,这些人原本是他敲诈勒索的伙伴,虽说在用他的名义为非作歹,但对他痛恨的程度并不稍稍轻些,劫掠有所得,他们捞入自己的腰包,劫掠无所得或者被阻止了的时候,他们就归过于卡西乌斯。他征集了一个新的第五军团,征兵这件事本身以及因增加这个军团而加添的开支,更增加了对他的憎恨。骑兵被增补到三千人,并且化费了巨款来装备他们,简直不让行省有稍稍喘息的机会。

    51.同时,他接到凯撒的来信,嘱咐他带着军队渡海到阿非利加去,经过毛里塔尼亚赶到努米底亚人的领土,因为尤巴已经派出大批援军去给格奈乌斯·庞培,据说他还会派更多的人去。一接到这封信,他马上感到一种出于傲慢的喜悦,认为已经让自己得到一个绝妙的机会,可以获得新的行省和富裕的王国了。于是,他亲自动身到卢西塔尼亚去召集军团,征调同盟军,还委派一些人担负起准备粮食和一百条船只、摊派和需索金钱等任务,免得他在回来时因这些事情受到耽搁。他回来得非常迅速,超出一般人的预料,卡西乌斯并不缺乏干劲和戒心,特别是在他一心垂涎什么东西的时候。

    52.他把军队都集中到一个地方,营寨扎在科尔杜巴附近。在一次集会上,他向士兵们说明根据凯撒的命令须要做些什么事情,他答应他们一渡海到毛里塔尼亚时,就每人发给一百塞斯特斯,还说,第五军团将留在西班牙。会议后,他返回科尔杜巴。就在那一天的下午,当他进入审判厅的时候,有一个卢基乌斯·拉基利乌斯的门客叫弥努基乌斯·西洛的,打扮作士兵,交给卡西乌斯一个条子,装作向他提出一份什么申情似的。这时,拉基利乌斯就走在卡西乌斯身旁,西洛退到拉基利乌斯背后,好象在请求答复。一有机会,他迅速插到他们两个人中间,左手从后面捉住卡西乌斯,右手拿一把匕首、戳了他两刀。这时,一声发喊,所有参与阴谋的人一起动手攻击。穆那提乌斯 ·弗拉库斯一剑刺死了靠他最近的那个校尉,杀死他之后,又刺伤卡西乌斯的副将星图斯·卡西乌斯。接着,提图斯·瓦西乌斯和卢基乌斯·墨克洛也同样信心十足地上来帮助他们的同乡弗拉库斯——他们都是意大利加人。利基尼乌斯·斯查卢斯又奔向卡西乌斯本人,但因为他倒伏在地上,只轻微地伤了他几处。

    53.四面八方都有人奔来保护卡西乌斯,习惯上他总有许多带武器的贝罗尼斯人和留用老兵在自己身畔作为卫队。他们截获了其余所有跟上来意图行凶的人,其中有卡尔普尼乌斯·萨尔维亚努斯和马尼利乌斯·图斯库卢斯。弥努基乌斯正在穿过堆放在路上的石块逃走时被捉住。卡西乌斯这时已送回家中,他被带到卡西乌斯家里。拉基利乌斯躲进附近的一个朋友家中,想等着听究竟卡西乌斯是否杀死了的确切消息。卢基乌斯·拉特伦西斯深信卡西乌斯已经死去,欢欢喜喜赶到营里,向本地士兵和第二军团的人祝贺,他知道这些人对卡西乌斯都特别痛恨。一大帮人把他捧上将坛,称他为司法官。凡是象本地军团士兵那样出生在本省的,或者象第二军团的士兵那样因为长期居冒、实际上已经成为行省人的,在痛恨卡西乌斯这一点上,没有一个人不和整个行省意见一致。至于凯撒指派给卡西乌斯的第三十和第二十一军团,是刚刚几个月以前才在意大利征集的,第五军团则最近才在行省里建立起来。

    54.同时,有消息传到拉特伦西斯处,说卡西乌斯还活着。这消息与其说使他心烦意乱,还不如说使他伤心失望,但他很快就重新恢复理智,赶来探望卡西乌斯。第三十军团一知道情况。马上就向科尔杜巴进发,来援助自己的统帅。第二十一军团也一样地做,第五军团跟着他们。这时留在营中的军团已只有两个。第二军团的人深恐就光只他们留在后面,单凭这一点就能猜出他们的心意。因而也就照上面的几个军团的样子做了。本地军团却坚持自己原来的意见,什么都吓不倒他们,或者迫使他们让步。

    55.卡西乌斯命令把那些凡是被提到名字、参与了这次阴谋暗杀的人,都逮捕起来。他并且把第三十军团的五个营留了下来,其余的军团都遣回营里去。根据弥努基乌斯的揭发,他知道卢基乌斯·拉基利乌斯、卢基乌斯·拉特伦西斯和安尼乌斯·斯卡普拉——这是一个很显赫、很有势力的行省人,卡西乌斯对他和对拉特伦西斯和拉基利乌斯同样亲信——都参与了这件阴谋案子。卡西乌斯在发泄他的仇恨上并不拖延,立刻下令把他们处决。弥努基乌斯被交给他的释放人施加酷刑,同样还有卡尔普尼乌斯·萨尔维亚努斯,他如实招了口供,还增加了同谋者的人数。有的人相信这是真的,有的人则抱怨说这是硬逼出来的。卢基乌斯·墨克洛同样受了刑。……斯奎卢斯招出了更多人名字。卡西乌斯命令把他们都处死,只除了那些出得起钱赎自己的人。例如他事实上公开和卡尔普尼乌斯达成一笔六万塞斯特斯的交易,昆图斯·塞斯提乌斯是五万。虽说罚款是由于他们的巨大罪行,但出钱可以免除生命的危险和刑罚的痛苦,正说明卡西乌斯的贪婪并不亚于残酷。

    56.几天以后,他收到凯撒送来的信,从信里知道庞培已经在战场上被打败,全军覆没后逃走了。得知了这事,使他忧喜交集。胜利的报导,不由得他不高兴,但战争结束,他那横行一时为所就为的做法。也就要告终了,因而他竟然一时摸不定究竟是不用担心什么好,还是什么都不来妨碍他好。当他的伤势痊愈之后,他立即把账上记着自己欠他们钱的那些人统统都召了来,命令他们把这些款子都记入已收项下。在他看来勒索得还嫌太少的人,就命令他交付一笔更大的款子。加之;他还准备在罗马骑士中进行征召。这些将从所有侨居公民和殖民地里抽出来的人,害怕到海外去服兵役,他叫他们出一笔钱赎免军役。这是一笔很大的收入,但它引来的怨恨却更大。完成这些工作后,他检阅了全部军队。然后把他准备带到阿非利加去的那几个军团和同盟军派往登船的地点。自己则赶到希斯帕利斯去视察准备在那边的舰队。他在那边耽搁了一段时间,因为他已经向全行省发出通告,命令那些凡是被勒令捐输钱财、至今未交付的人,统统都到他这里来。这道召集令使所有这些人都大为惊慌。

    57.与此同时,正在本地军团担任军团指挥官的卢基乌斯·提提乌斯带信来说,当这个军团在伊利巴镇附近驻扎的时候,忽然哗变起来,已经和同样属于副将昆图斯·卡西乌斯统率的第三十军团分手,并且在杀死了几个阻止他们拔营离去的百夫长之后,匆匆赶向第二军团那边去,第二军团这时正被带着从另一条路奔向海峡。知道了这事,卡西乌斯在夜间带着从第二十一军团中抽出来的五个营出发,天明时赶到奈瓦。为了了解究竟发生了什么情况,这一天他就耽搁在那边,然后奔向卡尔摩。在这里,第三十军自、第二十一军团、以及第五军团的四个营,连带他的全部骑兵,都赶来集中。又听说有四个营在本地军团的压迫之下,已和他们一起赶到正在奥布库拉的第二军团那边去,他们全部在那边联合起来,推选一个意大利加的本地人提图斯·托里乌斯做他们的领袖。卡西乌斯很快召集了一次率事会议,派财务官马尔库斯·乌克卢斯到科尔杜巴去设法保牢该城,还派他的副将昆图斯·卡西乌斯到希斯帕利斯去。几天以后,又有消息传来说,科尔杜巴的罗马侨民组织已经起来背叛他,马克卢斯不知是出于本心还是迫于无来一一关于这一点,报告有分歧——已经和科尔杜巴人联合起来,正在科尔杜巴担任守卫的第五军团的两个营也这样做了。这些事情激怒了卡西乌斯,他移营前进,第二天到达李吉利斯河上的塞戈维亚。在那边,他召集了一次大会,试探士兵们的心意。他了解到他们都对他极为忠心,但并不是为了他本人,而是为了不在场的凯撒,他们为了能给凯撒收复这个行省,任何危险都不回避。

    58.同时,托里乌斯带着他的老兵军团向科尔杜巴赶来。为了避免让人家看起来好象闹分裂的起因是由于士兵们和他本人生来好乱成性、反复无常,同时还看到卡西乌斯在借用凯撒的名义调动比自己更多的兵力,认为自己有必要也抬出一个名望和势力相瘠的人来和他相抗,他便一再公开声称自己是在为格奈乌斯·庞培收复行省。他之所以这样做,可能还是出于他自己对凯撒的仇恨和对庞培的敬爱,认为庞培的名字在马尔库斯·瓦罗统率过的这几个军团中,有极大的号召力量。但他这样做究竟出于什么动机,是一件大家纷纷猜测的事情,这至少是托里乌斯自己讲出来的理由。他的士兵也全都承认这点,甚至还把格奈乌斯·庞培的名字刻在自己的盾牌上。大批罗马侨居公民迎着军团赶来,不仅有男人,还有家庭主妇和青少年,纷纷要求他们不要象敌人那样进人科尔杜巴去放手劫掠,说:他们也和大家一样痛恨卡西乌斯,但要求不要强迫他们反对凯撒。

    59.这么多一批群众的哀恳和眼泪,感动了军队,他们还看出要打倒卡西乌斯,根本用不着借助庞培的名义,唤起大家对他的怀念,卡西乌斯在所有凯撒一派人的心目中和在庞培一派人的心目中同样感到可恨,无论是那地方的侨居公民还是马克卢斯,要诱使他们起来反对凯撒,都是办不到的。他们就把庞培的名字从盾牌上除掉,并把自称在保卫凯撒事业的马克卢斯推奉为首领,称他为司法官,和那地方的侨居公民组织联合起来,就在科尔杜巴附近扎下营。两天以后,卡西乌斯也在离科尔杜巴约四罗里的拜提斯河这一面的一处很高的地方扎了营,从城里可以遥望到他。他遣使者到毛里塔尼亚的国王博古德和近西班牙的代行执政官马尔库斯·勒皮杜斯那边去,催促他们为了凯撒的利益,愈快愈好地给他和这个行省派援军来。他自己又完全用对付敌人的方式,把科尔杜巴人的田地房屋都付之一炬。

    60.这种行为的恶劣、可耻,使得推奉马克卢斯为自己领袖的那几个军团纷纷跑到他面前来,要求他领着他们摆开阵势出去,好让他们在敌人侮辱性地当着他们的面把科尔杜巴人的贵重和心爱的财物抢去或利用剑和火毁掉之前,有一个战斗的机会。马克卢斯虽然认为战斗是极堪痛心的事情,无论胜的一方还是败的一方,他们的损失最后必然都落到凯撒一个人身上,但这却又是他所力不能制的,他就把他的军队带过拜提斯河,布下阵来。在看到卡西乌斯也已经在高地上自己的营门前面向着他布下战阵时,马克卢斯就以对方不肯下来到平地上来作战为理由,说服自己的部下退回营寨里去。接着他开始带着部队后撤。卡西乌斯知道马克卢斯的骑兵较弱,自己的强得多,就派他们去攻击正在撤退中的军团,把他后军中的许多人杀死在河岸上。从这次失利上,马克卢斯认识到退过河去的错误和困难,改把他的营寨也移到拜提斯河这一边来。这一来,双方就经常把军团带出来,列下阵势,但终于因为地势很不利,没发生战斗。

    61.马克卢斯在步兵方面要强大得多,因为他所有的军团都是身经百战的老兵。卡西乌斯所依赖的与其说是军团的英勇,还不如说是他们的忠诚。从而,当两座营寨已经面对面地扎下来,马克卢斯已经选定一处有利的地形,可以造起一座营寨来切断卡西乌斯取水时,卡西乌斯深恐在这个控制在别人手中、敌视自己的地区陷入某种被围困的境地,因而在夜里悄悄离开营寨,迅速行军向乌利亚赶去。他相信这是个忠于自己的市镇。在那里,他把自己的营寨安扎在紧贴着城墙的地方,乌利亚本来就坐落在一处极高的山上,这样,那地方的天然地势再加上这市镇的防御工程,使得他的营寨四面都很安全,不怕攻击。马克卢斯跟在后面追他,并在尽可能靠近乌利亚的地方和他的营寨面对面安下营。他视察了当地的地势之后,终于采取了无可避免不得不采取的战术,因为他既要回避战斗——如果一遇到这种机会,他将无法抗拒那些激动的士兵——又要防止卡西乌斯到处流动,愈跑愈远,使得更多的城镇遭到科尔杜巴人那样的厄运。因而,他在许多合适的地方布下碉堡,同时又环绕着那市镇筑了一系列工事,把乌利亚和卡西乌斯都围在工事里。但在这些工事还没完成之前,卡西鸟斯就已经把他的全部骑兵都打发出去,他相信。如果他们能阻止马克卢斯采牧和运粮,对自己将有很大的帮助,反之,如果他们也被封锁在包围圈中,就将变成毫无用处的沉重包袱,只是消耗自己宝贵的粮食。

    62.不多几天之后,国王博古德接到卡西乌斯的信,带着军队赶来这里。他随身带来一个军团,他在这上面还加上几个营西班牙的同盟军。因为正象内战中常常发生的那样,这时候,也有些西班牙国家在积极支持卡西乌斯;只是支持马克卢斯的要更多些。博古德和他的军队来到马克卢斯的外围工事,双方发生了激烈的战斗,而且连续不断的发生了多次,命运之神把胜利一会儿带给这一方,一会儿带给那一方。但是,马克卢斯始终没被从工事中逐出去。

    63.同时,勒皮杜斯也从近西班牙行省带着第三十五军团的那些营、大批骑兵和其他同盟部队,来到乌利亚,他的目的是想用不偏不倚的态度解决卡西乌斯和马克卢斯的争执。他一到,马克卢斯就毫不犹豫,把自己交给他听任他处分。卡西乌斯却相反,仍旧守在自己的营寨里,也许他觉得自己占的理由比马克卢斯充足,或者还怕对方表示的恭顺,已经先投合了勒皮杜斯的心意。勒皮杜斯把自己的营寨扎在靠近乌利亚的地方,和马克卢斯完全合到一起去了。他不允许发生战斗,还邀请卡西乌斯出来,并用自己的荣誉来保证提出来的一切建议。有很长一段时间,卡西乌斯心里疑惑不决,不知自己到底应该怎样做,对勒皮杜斯到底该相信到什么程度,但又觉得如果自己一直坚持寸步不让,决没办法为自己的一打算找到出路。因而,他提出要求,要拆除工事,并且让他可以自由离去。这就不仅达成了停战协议,而且几乎实现了和平。工事拆除了,工事上的哨岗也被撤走。突然出于大家的意料之外——如果真的卡西鸟斯也包括在这里所说的大家中间,因为颇有人怀疑他是知情的——国王的同盟军袭击了马克卢斯的距国王营寨最近的碉堡,把里面的许多士兵困住在那边,要不是勒皮杜斯在愤怒中迅速派援军去分开战斗,可能就要遭到更大的损失。

    64.这时已经给卡西乌斯敞开一条通路,马克卢斯把营寨和勒皮杜斯联合起来。于是就在同时,勒皮杜斯和马克卢斯带着他们的部队出发到科尔杜巴去,卡西乌斯则出发到卡尔摩。也就在这时候,特雷博尼乌斯以代行执政官的身分来主管行省。一知道他来,卡西乌斯把在身边的军团和骑兵分别遣回冬令营去,他本人则匆匆卷起自己的一切财物,赶向马拉卡去,在那边,尽管季节不适于航行,他还是登上了船,就象他自己宣称的那样,不愿让自己落到勒皮杜斯、特雷博尼乌斯和马克卢斯手里去;还象他的朋友们所说的那样,避免自己轻车简从黯然无光地穿过这个大部分已经背叛他的行省;又象其余每一个人相信的那样,免得让自己经过数不清的一次次劫夺积起来的金钱,落到随便那个别人手里去。若按照冬天的气候来说,他最初还算很顺利,当他为了避免夜间航行而躲进希贝鲁斯河时,变得有些风雨交加起来,但他还是相信自己航行出去没有什么危险,径自把船开了出去,在河口遇到了顶头恶浪,水流的巨大冲力使他不能把船掉过头来转身回去,在大风大浪中又没法保持自己的航行一直向前,他的船只在那港口沉没,本人也就此死去。

    65.凯撒从埃及一到叙利亚,就从来自罗马的人口中了解到,还从都城来的信件中得知,罗马的行政机关工作得很糟糕、很无能,国家的公事,没有一个部门处理得顺顺当当的。由于保民官之间的倾轧,发生了危险的动乱,加之,因为军团指挥官和统率军团的那些人的野心和纵容,许多违反军队习惯和风纪的事情都干了出来,使严肃的军纪解体了。看来所有这些情况,都在迫切要求他到场解决。但尽管这样,他还是认为自己的首要工作是要让他所经过的那些行省和地区,在他离开时,能安排得不必要再担心发生内部争执,能接受一套法律和秩序,还能摆脱对外来侵略的恐惧。这些事情,他希望能在叙利亚、西利西亚和亚细亚很快地完成,因为这些行省现在没有战事在干扰,但在比提尼亚和本都,他身上背的担子看来就要重得多。他听到法尔那克斯还没从本都退出去,他本来也并没指望这个人会自动退出去,对多弥提乌斯·卡尔维努斯的战争胜利,正使得他神气活现。不可一世。凯撒在那边所有比较重要的国家都作了停留,把分有应得的奖酬分发给个人和国家,并且对旧有的争执进行了调查,作出裁决。国工们、港主们、君主们,作为行省的邻居,都纷纷赶来他这里,他接受了他们表示的忠诚,对他们提出要他们防护和保卫行省的条件之后,把他们当做自己和罗马人民最最友好的人那样,遣他们回去。

    66.在这个行省度过不多几天以后,他就把那几个军团和叙利亚都交给了他的朋友兼亲戚塞克斯图斯·凯撒。他自己仍乘着来的时候乘的那支舰队,出发到西利西亚去。他把那个行省里的所有国家都召集到全西利西亚最闻名、最坚强的城市塔苏斯来。在那边,他把行省和毗邻各国的所有事情都作好安排,但他心里急于要出发去作战,不愿意多耽搁,就以急行军穿过卡帕多基亚,在马扎卡停留了两天之后,到达科马那,西利西亚最古老、最神圣的柏洛娜神庙就在这里。这座神庙极受尊崇,以至这个国家的国民一致公认这个女神的祭司在地位、权力和影响上,仅次于国王。凯撒把这个祭司的职位判定给一个极为高贵的比提尼亚人吕科墨德斯,他出身子卡帕多基亚的王族,他要求得到这个职位,根据的是毫无疑问的继承权利,只是长期以来,由于他祖上的时运转移,继承权旁落,这祭司职位的传授中断了。至于阿里奥巴扎涅斯和他的兄弟阿里亚拉特斯两人,因为他们对共和国都很好效过力,为了避免阿里亚拉特斯对他祖传的王国提出要求,或者避免他作为王国的继承人,威胁到阿里奥巴扎涅斯,凯撒把小亚美尼亚的一部分让给他,还把他交给阿里奥巴扎涅斯作为一个受其管辖的藩属。凯撒自己则开始以同样的飞快速度,完成自己的行军。

    67.当凯撒走近本都和高卢希腊的边界时,德奥塔鲁斯赶来看他,虽说他当时是几乎整个高卢希腊的四分领君主,但其它的四分领君主都和他争论,认为不论讲法律还是讲传统习惯,都不该由他来担任这个君主,虽然如此,他却毫无争议地被元老院承认为小亚美尼亚的国王。现在,他摒除了国王的章服,不仅打扮得象一个平民百姓,而且穿的是一身罪人的服装,来向凯撒哀恳,要他饶了自己,说,他所处在的那个地区没有任何凯撒的驻防军,为此,他在军队和命令的胁迫之下,不得不参加了庞培的阵营,而且,罗马人民中间的争执,也不应该由他来判断自非曲直,他只知道服从眼前的权威。

    68.在答复他时,凯撒提到了自己在担任执政官时,通过政府法令给他的种种恩惠,又向他指出,他说的一番辩解的话,决不能被接受作为解释他轻举妄动的理由。因为象他这样一个慎重和勤奋的人,一定会知道意大利和罗马掌握在谁手里,元老院和罗马人民站在那一边,共和国站在那一边,卢基乌斯·伦图卢斯和盖尤斯·马克卢斯之后接任执政官的是谁。尽管如此,凯撒说自己还是能看在他过去的功劳、旧日的交情和友谊,看在他的地位和年龄,看在许多从各地纷纷赶来为德奥塔鲁斯求情的他那些宾客和友人面上,原谅他做的那些事情。凯撒还说,至于那些四分领君主正在争论的问题,他会在今后加以研究的。然后;他叫他重新把国王的服装穿上,但命令德奥塔鲁斯把他那由本国人组成、但却按我们的武装和纪律编制的军团、以及全部骑兵,都带到他这里来参与战争。

    69.当他到达本都时,他把全部军队集中在一处地方。他的这支部队无论就人数讲,还是就作战经验讲,都只能算是中等的。只有他随身从亚历山大里亚带来的第六军团,是一个久经风霜和危险的老兵军团,但一则由于陆路和海路的困难行军,再则由于经常不断的战斗,人员已经大大减少,竟连一千人都不满了。除第六军团之外,其余还有三个军团,一个是德奥塔鲁斯的,其余两个就是我已经叙述过参加格奈乌斯·多弥提乌斯对法尔那克斯作战的军团。这时,法尔那克斯派使者来见凯撒,首先恳求凯撒不要满怀敌意地进入他的领土,还答应凯撒说,法尔那克斯愿意履行凯撒的一切指示。使者特别提到法尔那克斯曾经拒绝派援军去支持庞培,对抗凯撒;反之,德奥塔鲁斯却派去了援军。可是德奥塔鲁斯的要求还是得到了满足。

    70.凯撒回答说。如果法尔那克斯能实现他的诺言,他将会极公平合理地对待他。虽说如此,他还是用他惯常的那种温和平静的口气向使者们指出,他们用不着把德奥塔鲁斯提出来作为话柄责备他,也不要把没派援军去给庞培这件于自己有利的事吹嘘得太过份。尽管从来没有什么事情能比宽恕乞饶的人更使他高兴些,但如果在行省遭受践踏的是国家的利益,那就不能因为对他私人有过功而得到宽恕。再说,他们提到的所谓功劳,即法尔那克斯预见到庞培将失败,没派出援军,对他法尔那克斯本人比对不朽之神赐给了胜利的凯撒,好处更要多些。至于法尔那克斯对在本都经营事业的罗马公民所犯下的令人发指的严重罪行,既然已经无法再回复原状,他就也只能原谅他了。事实上既不能使被杀害的人重新恢复性命,更不能使那些受过阔割的人恢复人道,尽管罗马公民所受的这种非刑,真的比死还要残酷。但法尔那克斯必须立刻撤出本都,包税人的奴隶们必须还给他们,所有其他对同盟和罗马公民的赔偿工作,只要他力所能及,都应该做到。如果这些都做到了,这才可以把通常一个统帅在告捷时接受朋友们的献贡和礼品送来给他——因为这时法尔那克斯已经送来给他一顶金冠。给了这些回答后,他遣使者们回去了。

    71.所有这些,法尔那克斯都很乐意地答应下来。他希望,凯撒的匆忙奔走,会迫使他不暇过问事实真相,毫不迟疑地相信自己的诺言,以便可以体面地赶去处理更加紧迫的事情,因为没有一个人不知道正有许多原因在催促他回罗马去。于是他开始在一切事情上都采取欺骗手法,干起事情来拖拖拉拉,要求把撤退的日子往后拖,还在谈判条约时横生枝节。知道了这个人的狡诈,凯撒在无可奈何的情况下,不得不也采用了平常时刻常常采用的、出于本性的战术 ——即来一个使对方措手不及的突击。

    72.泽拉是坐落在本都的一个市镇,虽说在平原上,却很险要可守,它的城堞筑在一处天然的、但简直象是人工刻削而成的高地上,其顶端高出于四周的地面。这座城镇的周围,都是重重叠叠的高山,有山谷纵横相切,这里面有一座最高的山,由于弥特里达特在这里的胜利、特里亚里乌斯的失利和我军的败绩而在这一带大大出了名,有道路沿着山岭和市镇相通,距泽拉大约不超过三罗里。法尔那克斯就在这里修缮了他父亲留下来的、曾经走运过的旧堡垒,以他的全部兵力盘据在这一带地方。

    73.凯撒距敌人五罗里扎下营,他看到国王的营寨赖以掩护的那条山谷,在相同的距离之外,也可以掩护自己的一座营寨,只要敌人不抢先去占领那块地方,因为它离开国王的营寨近得多。他命令把筑壁垒用的材料运到工事里去。这些东西很快就收集起来,他在第二天晚上的第四更带着全部军团,轻装离开营寨,累赘的辎重都仍留在营寨里,在天明时出敌人不意占据了这块地方。当年弥特里达特战胜特里亚里乌斯就是在这个地方。他命令把所有积聚起来的筑壁垒用的材料都由奴隶们从营寨里运到那边去,这样他的士兵中间就用不着有人离开筑防御工程的地方了。因为把敌人营寨隔开的那条山谷离开凯撒开始筑营寨工事的地方,只有不到一罗里宽。

    74.天明时突然看到这种情况,法尔那克斯把他的全部军队在营寨前布列下来。由于双方的中间地带十分崎岖不平,凯撒相信这也许是这位国王习惯的日常队列训练,或者是想引诱我方把更多的人力放在武装戒备上面,以阻碍工程的进展,还可能是想显示一下国王的信心,表明法尔那克斯守卫那地方主要依靠的不是工事,而是部队。因而,凯撒不理睬他的阻挠,除了只用前面一列战士在壁垒前布列开之外,其余部分的军队仍留在工地上继续工作。法尔那克斯忽然动起作战的念头来,使他这样想的,也许是因为这地方曾经交过好运;也许是占卜和宗教在推动着他,我们后来曾听到说他非常相信它们;可能还因为他认为我军正在武装戒备着的人非常少——因为他把根据每天的工作习惯正在搬运壁垒工程材料的大批奴隶,都信以为是从士兵中抽出去的人;还可能是由于他对他那支久经沙场的军队非常信任,正象他的使者吹嘘过的那样,他们曾经出战和得胜过二十二次。加之,他还轻视我们的军队,知道这支部队曾经在多弥提乌斯领导下被自己击败过。总之,既然决定了战斗,他就开始跑下很陡急的峭壁,正当这会儿凯撒在笑他虚张声势,笑他把军队紧紧挤在那块任何头脑清醒的敌人都不想上去的地方时,法尔那克斯却已经带着列成战斗阵列的军队,仍用跑下峭壁时的那种坚定步伐,开始爬登陡急的山谷。

    75.这种令人难于置信的轻率和自信,惊动了凯撒,他既没料到这一着,也没作好准备,这时,他把士兵从工事上召回来,命他们拿起武器;把军团面对敌人布置下来,按战斗的阵列展开。这些事情引起的突然骚动,给我军士兵带来很大的不安。在行列还没排好时;国王的装有镰刀的四马战车,使还在散乱中的士兵更加惊慌,但这些战车很快就被大量矢矛压倒。接在它们之后来的是敌人的行列,喊声一起就交战起来。地势给了我军很大的帮助,但帮助更大的还是不朽之神的眷顾,因为神们虽然在所有战争的成败关键上都要插上一手,但特别是在人类计谋无能为力的地方,他们尤其要显一下神通。

    76.手接手的战斗,顽强而又激烈地展开了。右翼有老兵组成的第六军团布置在那边,首先露出胜利的征兆。当这一边的敌人被从斜坡上赶下去时,在左翼和中央,虽说慢得多,但在同一些神灵帮助下,也把国王的全军击溃。他们被击退后,从高低不平的地面上仓皇逃回去时,步伐之快,完全可以和他们爬上崎岖的山坡时的那种从容不迫作对比。从而,有许多士兵或则被杀死,或则被自己人冲倒,压在下面,那些能凭仗轻捷矫健逃出去的,也丢失了武器,越过山谷后,就算已在高地上有险可守,因为没有武器,有利的地势也不能再对他们有所帮助。胜利使我军精神抖擞,毫不犹豫地登上坎坷不平的山坡,攻取敌人的工事。尽管有法尔那克斯留下来守卫营寨的那几个营在那边抵抗,但敌人的营寨很快就被占领下来。法尔那克斯的全部军队不是被杀就是被俘,他自己带着少数骑兵逃走了。要不是我军忙于攻打营寨,使他有了自由逃走的机会,可能就会被活捉了交到凯撒手里来。

    77.尽管凯撒获得过多次胜利,但这样的一次胜利却给了他难于想象的高兴,因为这么大的一次战争,居然这样快就被他结束了,特别当他回想起这次所面临的突如其来的危险时,觉得对这场在万分困难的局面中轻易取得的胜利,更应当格外感到庆幸。本都就这样收复了,在把所有掳自国王的战利品都分给了士兵们之后,他自己在次日带着骑兵轻装出发,命令第六军团也动身到意大利去,接受它的奖酬和光荣。他又把德奥塔卢斯的军团打发回去,并把两个军团和凯利乌斯·维尼努斯一起留在本都。

    78.这样,他经过高卢希腊和比提尼亚,进入亚细亚,在所有这些行省,他都了解了它们的争执,作出了裁决,为这些四分领君主、国王和国家划分了各自的权利和管辖范围。我们前面说过在埃及战斗得很迅速和顺利的佩伽蒙的弥特里达特,出身于贵族,而且受的训练和教育也都是适合于一个君主的。因为全亚细亚的国王弥特里达特看到他出身高贵,在他年纪很小的时候就把他从佩伽蒙带出去,留在自己的营里许多年。因此,凯撒现在指定他担任过去原在法尔那克斯控制下的博斯普鲁斯的国王,这样,在行省、罗马人民和蛮族、敌对的君主之间,就有一位极友好的国王夹在中间,起到保障的作用。而且根据同族和亲属的权利,他还把高卢希腊的一个四分领,即几年以前由德奥塔鲁斯占有并统治的那个给了他。虽然如此,他并没在任何地方遥遥无期地耽搁下去,以至超过正在骚动的首都的迫切需要所能许可的限度。一到事情极顺利、极迅速地安排好以后,就比任何人所预料的更快地赶到意大利。

    阿非利加战记

    1.凯撒连续多天行军,一天都不息,每天都赶完全程,终于在十二月十七日到达利吕拜乌姆。他表示自己希望立刻就下船,但当时他身边军队不多,只有一个新兵的军团,骑兵勉强只有六百名。他把他的营帐就扎在岸边,海浪几乎一直冲刷到它脚下。他这样做,为的是免得有人希望他能就此停息一下,并且使每个人都每天每时作好准备。只是在这个季节里,没有适于航行的风。但他还是把划手和士兵都留在船上,免得会错过任何可以出发的机会。特别因为这个行省的居民有报告来说,敌人有不计其数的骑兵,有四个属于国王的军团和大批轻骑兵、又有西皮阿手下的十个军团、一百二十头战象,还有几支舰队。只是,他并没有被吓住,仍旧抱着很大的决心和希望。这时,他的战舰每天都在增加,许多运输舰也在纷纷赶来,与此同时来的还有四个新兵的军团、以及由老兵组成的第五军团,数达二千的骑兵。

    2.现在集中起来的已有六个军团和二千骑兵。每个军团,只要一到就被安顿到战舰上去,骑兵也被安置到运输舰上。因而,他命令舰队的大部分首先出发,航行到阿波尼亚那岛去,这岛离开利吕拜乌姆十罗里。他自己在后面耽搁了几天,并以国家的名义把几个人的财产出卖了。然后。他对主管西西里的司法官阿利努斯作了有关各方面工作的指示,要他把其余的军队迅速载上船去。给了这些指示后,他自己在十二月二十五日登船,立刻赶上他的其他舰队。乘着一帆顺风,迅速前进,四天以后就和少数几艘战舰航到可以望见阿非利加的地方。但其余的运输舰,除少数以外,都被风吹散了,随处漂泊,分别航向许多别的地方。他带着舰队航过克卢佩亚,又航过漫波利斯,此外还把许多离海不远的堡垒和城镇抛在身后。

    3.随后,他抵达哈德鲁墨图姆,那边有一支对方的驻军,由盖尤斯·孔西狄乌斯统率着。在那边出现的,还有格奈乌斯·皮索,他带着三千人左右的一支毛里人骑兵正从克卢佩亚沿海岸向哈德鲁墨图姆走去。凯撒在那边港口外略略停留了一会,等到他其余的舰队全都到来时,就打发军队登陆上岸。这时它的数目是:步兵三千人,骑兵一百五十人。他们在城门前扎下营,避免伤害任何人,还禁止所有的劫掠。这时,城市里的人武装着布置在城墙上,城门前也聚起了很多人在进行自卫,他们的数目接近两个军团。凯撒骑马绕该城转了一周,观察过它的地形之后,返回营里。有些人责怪凯撒疏忽,没事先向舵手和船长说明船只该航行到什么地方去,也没象过去一向习惯的那样,先发给他们一道签封好的指示,让他们到一定的时间拆阅,以便大家向一个地方集中。但这绝不是凯撒没想到这一点。因为他估计到在阿非利加土地上,可能没有一个海港没有敌人的守军,能让他的舰队保证安全地在那边靠岸,因而他只能等候运气偶然带给他的登陆机会。

    4.同时,他的一个副将卢基乌斯·普兰库斯要求凯撒给他一个和孔西狄乌斯接触的机会,看看有没有办法使他清醒过来。凯撒答应之后,他写了一封信,把它交给一个俘虏,叫他送到城里去交给孔西狄乌斯。当那俘虏一到那边,刚按照指示把信交给孔西狄乌斯时,孔西狄乌斯还没接就先问:“这是什么地方来的。”俘虏回答:“从统帅凯撒处来的。”孔西狄乌斯又说:“罗马人民现在只有一个统帅,那就是西皮阿。”说完,他当着部下的面,立刻命令把那俘虏杀死。这封信不但没读过,连拆也没拆开,原封不动地交给他信得过的人送去给西皮阿。

    5.在城下度过了一夜又一天之后,孔西狄乌斯没有给任何答复。加之,凯撒其余的部队还没能赶来增援他,他也没有充足的骑兵和足以用来进攻这座市镇的兵力,他所有的都是新兵,而且他极不愿意刚刚一到就让自己的部队受到严重挫折。再则,这座城市的防卫工事非常坚强,它的地势又很高峻,使人很难上去攻打它,同时还有消息传来说,正有大批骑兵援军赶来帮助城里的人。由此看来,为了攻城而在这里多事耽搁,似乎不是上策,很有可能正当在一心攻城时,背后被敌人的骑兵包围起来,弄得非常狼狈。

    6.正当凯撒考虑移营它去,突然从城里冲出来一大批人,并且有一批由尤巴国王派来领取银给的骑兵,也恰恰在这肘赶来,给了他们支援。他们占据了凯撒刚刚离开动身赶路的那座营寨,开始来追赶他的后军。一看到这种情况,军团士兵突然停下步来,骑兵尽管人数很少,但仍旧极英勇地向大队敌人冲过去。接着便出现了令人难于置信的事情,不到三十名高卢骑兵,却把二千名毛里人骑兵杀退,使他们逃进城里。在把他们击退并逐回工事之后,凯撒重又按原来的计划,急急赶路。但当对方屡次这样做,一会儿追上来,一会儿又再被骑兵逐回城里去时,他就把自己身边的老兵军团中的不多几个营和部分骑兵布置在后军,然后带着其余的部队,开始缓步前进。这样,离开该城愈远,努米底亚人的迫逐也就愈松劲。同时在他行军途中,有使者从一些城镇和要塞赶来,答应给他粮食,说已经准备好执行他的命令。因而这一天,就在鲁斯皮那城下扎下营。

    7.在一月一日,他从那边移营出发,到达勒普提斯城,这是一个免除贡赋的自由城市,城里有使者赶到他这里来,答应说,他们很乐意执行他要他们做的一切事情。因而,他在城门口布置了一些百夫长和哨兵担任守卫,免得有士兵闯进城里去,或者侵犯任何居民。营寨就扎在离开不远的沿海地带。碰巧有一些运输舰和战舰也航到那边,据他接到的报告说,其余的舰只因为不熟悉那地方,已经在向乌提卡航去。在这时候,就因为这些迷了路的舰只。所以凯撒不愿意离开海岸,也不愿意进入内地去。他把自己的全部骑兵都留在船上,不放他们上岸,我想,大概是为了避免他们在当地蹂躏的缘故,他命令就连水也运送到船上去给他们、谁知这时为了取水离船的桨手,却遭到了毛里人的突然袭击,他们乘凯撒的部队意料不及时,突然用投枪伤了许多人,还杀死了一些人。这些毛里人骑着马埋伏在山谷里,突然冲出来袭击,避免在平原上手接手近战。

    8.与此同时,凯撒派使者送信到撒丁尼亚和其他邻近的行省去,叫他们一见到信就设法派援军、给养和粮食来给他。他又空出一部分战舰,派技比里乌斯·波斯图穆斯带到西西里去,把第二批人马装运过来。他命令瓦提尼乌斯带十只战舰出去搜寻其余迷途的运输船只,同时维持海上的安宁,不让敌人侵扰。同样,他还命令司法官盖尤斯·萨卢斯提乌斯·克里斯普斯带部分舰只,赶到这时正在敌人占领下的克尔基那岛去,听说那边有很多粮食。把这些指示布置给他们每一个人时,他用的是一种不让他们可以用事情的成败难料作为借口而推诱拖拉的口气。同时,他还从逃亡者和当地居民口中知道了西皮阿和他手下的一伙参加对自己作战的人所订立的协议,西应阿简直是在竭尽阿非利加行省的全部所有供应国王的骑兵。这些人竟会丧心病狂到宁愿做国王的臣仆,也不愿意在自己国里、在自己的公民同胞中间平平安安地享受自己的产业的地步。

    9.在一月二日,凯撒移动营寨。留下六个营由萨塞那带领着守卫勒普提斯后,他自己带着其余的军队,重又返回前天离开那边赶来的鲁斯皮那。军队的行李被留在那边,他自己带着一支轻装的部队出去,周游各农庄搜集粮食。他命令镇上的居民让他们的所有大车和牲口都跟了去。这样,他在找到大批谷物之后,返回鲁斯皮那。他回到这个市镇来的目的,我想,是为了不让这个沿海市镇留在自己身背后空虚着,而是要用一支驻军守牢它并且给它筑好防御工事,以备接纳自己的舰队。

    10.因而,凯撒留下一个军团交普布利乌斯·萨塞那——即他留在附近的市镇勒普提斯的那个人的兄弟——指挥,并嘱咐他把尽可能多的木材运到城里来。他自己离开鲁斯皮那镇,向它的港口赶去。他带去了七个营,都是从老兵的军团中抽出来的,都曾经和苏尔皮基乌斯和瓦提尼乌斯一起在舰队里战斗过。一到离城二罗里的港口,他就在傍晚时刻带着这支军队登上舰只。军中没一个人知道这位统帅的计划,只能相互探询,不由得因为焦急、担忧而激动不安。他们看到他带到阿非利加来登陆的军队人数如此之少,又都是新兵,并且还没有全部都登陆,对抗的却是一个人数众多、奸诈百出的民族,光只骑兵就不计其数,在目前的困境中。他们看不出有什么可以使自己得到安慰的东西,在自伙里盘算起来,也不见有什么得救的希望。要说有,那就是统帅面容上的表情、充沛的精力和不同寻常的欢欣,因为他显露出一副神采奕奕、一往无前的神情。正是在他身上,人们找到了安慰,他们都希望依靠他的知识、技术和智谋,能够使样样事情化险为夷。

    11.在他的船上度过一夜之后,正当天色微明,他试图出航的时候,突然看到他所一心挂念的那部分舰队,一路东飘西泊,正好摸索到这里。一知道这事,凯撒迅速命令大家都离开船,在岸边武装戒备着,等待其余的这批部队到来。这样。当这些船只毫不耽搁地载着士兵和骑兵进入港口时,凯撒又再次回到鲁斯皮那镇,就在那边扎下营寨。他自己带着轻装的三十个营出去收集粮食。这样一来,人们终于了解了凯撒的计划,原来他的打算是要带着自己的舰队去援助那些迷了路的运输舰,但为了避免他的船只凑巧在不知不觉之间碰上敌人的舰队,所以他要瞒着敌人,他也不愿意留在后面担任守卫的自己士兵知道这项计划,免得他们因为人数太少,敌人人多势众,在担心受吓的情况下,不能尽到职守。

    12.同时,当凯撒走到离开营寨已经三罗里的时候,侦察人员和骑兵先头部队向他报告说;他们已经在不远之外看到敌人的军队。真的,这报告还只刚刚到达,就已经可以开始看到大股烟尘。一听到这事,凯撒迅速下令把当时在那边的数目不很多的全部骑兵、以及少数弓箭手,都召出营来,军团也一起部伍井然地跟着他缓缓前进。他自己带着少数武装人员走在前面。很快敌人就可以老远看到。他命令士兵们都戴上头盔,在平地上作好战斗准备,他们的总数包括三十个营,并有四百骑兵和一百五十名弓箭手。

    13.同时,敌人由拉比努斯和帕基德尤斯两兄弟率领着,展开成为一横列长得出奇的模队,紧紧挤在一起,但却不是步兵而是骑兵,中间穿插着努米底亚的轻装兵和步行的弓箭手,阵列紧密得使凯撒的部下最初老远一看到还以为他们是步兵。左右两侧翼都有许多骑兵队在加强它们。同时,凯撒也尽可能把他那支单薄的队伍布成一列单行。并把弓箭手安放在队伍前方,骑兵布列在左右两翼。他特别指示他们要留神不要让人多势众的敌人骑兵包围住,他认为阵势虽布置好了,战斗却将光只由步兵进行。

    14.这时,双方都在引领以待。凯撒静立不动,他认为以自己这样少的人,和敌人庞大的兵力作战,主要应该斗智而不应该斗力。突然敌人的骑兵开始伸展开来,向两侧扩散,把丘陵也都包围进去,使凯撒的骑兵也不得不跟着伸展得更加稀疏,而且开始准备形成圆形。凯撒的骑兵因为对方人多,感到难于应付。在双方阵列的中央部分互相接触时,夹在敌人密集的骑兵中间一起前进的努米底亚轻装步兵突然快步冲出来,向我军团的步兵投掷武器。这时,凯撒的部队向他们发动攻击,对方的骑兵逃走了,步兵则仍守在自己的阵地上,直到骑兵重新驱马赶来,支持自己的步兵。

    15.在这种新奇的作战方式之中,凯撒看到每逢自己的队伍在向前追击,就要引起混乱,因为步兵在追逐对方的骑兵时,跑得离开队伍一远,侧翼就不免要暴露出来,靠近的努米底亚人就可以用投枪杀伤人,而敌人的骑兵却很容易靠飞马奔驰避开我军的轻矛。于是他逐行逐列传下令去,禁止任何士兵跑到离开连队的标帜四步以外为同时,拉比努斯的骑兵自恃人多,试图把凯撒单薄的部队包围起来。凯撒的那支小小的骑兵被大批敌人弄得精疲力尽,马匹也受了伤,稍稍向后退了一些,敌人却愈逼愈紧。这样,一时之间,所有军团士兵都被敌人的骑兵包围起来,使凯撒的部下被压缩得成为一个圆圈,大家好象是被圈在一重围栏里进行战斗似的。

    16.拉比努斯光着头,骑马在战阵的最前列跑来跑去,在鼓励自己的部下同时,偶而也用这种话和凯撒的军团士兵搭腔:“喂,新兵,怎么样,瞧你们那股狠劲!你们也都被他的话迷住心窍了吧,天知道他已经把你们推进到多么危险的绝境里去了,我真替你们难过!”一个士兵回答他说:“拉比努斯,我不是新兵,我是第十军团的老兵。”拉比努斯接上去说:“我认不出第十军团的旗帜。”那士兵又说:“我马上就会让你认出我是谁来。”他一面说,一面把头盔从头上脱下,以便对方认出他,并且把他的轻矛对准拉比努斯用尽全力投过去,重重的一下正好戳进他的马腹。他说:“让你知道一下,拉比努斯,这就是第十军团士兵给你尝的厉害。”虽说如此,所有的士兵却都很惊慌,特别是新兵们,只能眼睁睁的盯着凯撒,除了躲避敌人投来的武器以外,什么都不管了。

    17.一当凯撒识破敌人的计谋,就命令把行列尽可能伸得愈长愈好,而且每隔一个营即有一个营转过身去,使一个营背向着军旗、下一个营面向着军旗,这样一来,连同他的左翼和右翼,就把包围成圆圈的敌军从中分割成为两半。用他的骑兵把这一半和那一半隔开之后,再用他的步兵从内线向它发动攻击,一阵阵投掷矢矛把他们驱走。我军追去只不远一段路,因为怕有埋伏,重又回到自己人这边。凯撒的另一半骑兵和步兵也这样做。任务完成后,敌人被驱逐到很远的地方去,伤亡很重大。凯撒的部下仍保持着战斗的队列,开始退回自己的驻地去。

    18.与此同时,乌尔库斯·佩特雷尤斯和格奈乌斯·皮索带着一千六百名精选的努米底亚骑兵和同一族的一支相当庞大的步兵来到。他们一到就来支援自己人。同时,敌人从慌乱中定下心来之后,再次振作精神,把他们的骑兵掉过头来攻击我军正在撤回的军团的后队,开始阻挠他们,不让他们退进营寨。看到这点,凯撒下令回过身去,在平原中间重新战斗起来。敌人屡次采用同样的战术,就只不再手接手近战,而凯撒的骑兵则因为他们的马匹刚刚经过晕船、口渴、疲劳、以及在众寡悬殊的斗争中受了伤,已经困乏得难于再坚持不舍地追逐敌人,而且白天留下来的时间也已经不多,凯撒鼓励那些被围攻的步兵和骑兵,叫他们奋力一击,不到把敌人逐到最远处的山岭以外、把那处山岭占领下来,不要罢手。这样,当他看到敌人已经没精打采,投掷起武器来也心不在焉时,突然一声令下,纵使他的步兵和骑兵队向前冲击,不用多少时间就毫不费力地把敌人逐出那片平原,赶到山岭后面去。凯撒的部下占领了那处地方,在那边停留了一会后,仍按战斗的队列,慢慢回到自己的防御工事。他们的敌人也同样在挨了这一顿揍之后回到自己的驻地去。

    19.同时,经过这次较量,战斗停下来之后,敌人阵营中有许多人逃到凯撒这里来,各式各样人都有,加之还有不少步兵和骑兵被我俘虏,从这些人口中得知了敌人的计划。他们原来是存心想用新奇、陌生的战术,把凯撒新征集来的、人数又不多的军团士兵吓得心慌意乱,然后象在库里奥那时那样,用骑兵包围加以歼灭。拉比努斯在大会上就曾经说:他要给凯撒的对方提供千千万万同盟军,即使凯撒的部下胜利了,光是砍杀这些人也要累得他们手酸力竭,这就将使他们转胜为败,被他自己的部下击溃。事实上,就没这些同盟军帮助,拉比努斯也很自信,首先他听到在罗马,老兵军团拒不执行命令,不肯到阿非利加来;次之,他在阿非利加统率这支部队已经三年,已使这些人习惯成自然地效忠于他。加之,他还有作为同盟军的大量努米底亚骑兵和轻装兵。此外,他又有在庞培的军队战败溃散后他从布特罗图姆随身带着渡海过来的那些日耳曼族和高卢族骑兵,以及后来在阿非利加从混血族中、从释放人和奴隶中征召来的一些已经被他武装起来、训练成为鞍马拥熟的骑兵的人。他又有尤巴国王派来作为援军的一百二十头战象和无数骑兵。最后,他还有从各式各样人中征集来的一万二千军团士兵。就是这种希望和这一股劲头,在鼓舞着拉比努斯,使他能带着这一支一千六百名高卢和日耳曼骑兵、八千不用鞍的努米底亚骑兵和赶来增援的佩特雷尤斯的一千六百骑兵、以及四倍于此的步兵和轻装兵,再加上大量弓箭手、射石手和马上弓箭手,在一月四日,即凯撒到达阿非利加后的第五天,在一片极为平坦、一望未际的平原上,作了一次从白天第五刻时一直继续到日落的战斗。在这场战斗中,佩特雷尤斯受了很重的伤,退出战场。

    20.同时,凯撒更加仔细地给自己的营寨筑好防御工事,以更大的兵力加强它的守备力量,又从鲁斯皮那城开始。筑一道壁垒,一直通到海边,另外叉再筑一条同样的从自己的营寨通到海边的壁垒,以便给养和援军可以毫无危险地彼此往来。他把矢矛和作战机械从船上搬运到营寨里,并把一部分高卢人和罗得岛人划手和船员从船上召到营里来,加以武装,以便在可能时,也象对方那样,把轻装兵安插到自己的骑兵里去。他还把所有船上的弓箭手,包括伊提雷亚人、叙利亚人、以及其他许多族人,都召到营里来,使他的部队里一时充满了这些人,因为他在这场战斗后的第二天就听到说,西皮阿正在把他那支据说有八个军团和三千骑兵的部队,带过来跟拉比努斯和佩特雷尤斯会师。他同时又设法开了许多铁作坊,生产大量的箭和矛,此外还熔铸铅球、准备木桩,并派使者送信到西西里去,叫那边为他收集木栅和做撞锤用的木材——因为阿非利加很缺乏木材——尤其是要给他送铁和铅来。另外,他考虑到在阿非利加,他没有粮食可供食用,除非从外面运进来,因为这里的农民都是向罗马纳贡的臣属,须要服兵役,已经被他的敌人征召人仅去了,所以去年没有收成。再加他的敌人已经把所有阿非利加的粮食运送到少数几个防御工程筑得很好的城镇里去,全阿非利加各地已经到处没有粮食,除了少数他们能用驻军守住的城镇之外,其余的都毁掉或废弃了,它们的居民也都被强迫迁移到设防的据点里面去,田地都被废置和荒芜了。

    21.凯撒处在这种紧急状态之下,不得不用好言好语向一些私人情商,收集起一些谷物运到自己的驻地来,十分省俭地使用它。同时,他每天要亲身到工事上去巡视一番,而且因为敌人的数目实在太大,所以用加倍的营担任值岗工作。拉比努斯下令,叫把他率下数目很多的伤兵包扎以后,用车子送到哈德鲁墨图姆去。同时,凯撒的一些运输舰迷了航程,到处飘泊,既认不清路,又不知道他们的营寨在那里,它们一只一只地分别受到敌人的大批舰艇袭击,被纵火烧掉或捉了去。这事报告给了凯撒后,他在岛屿和港口周围都布置下舰队,以便运输给养给他时可以安全一些。

    22.就在这时候,正在乌提卡负责守卫的马尔库斯·加图,不断用又长又噜苏的话责备格奈乌斯·庞培的儿子小格来乌斯·庞培,说:你父亲象你这样的年纪时,看到国家被伤天害理、为非作歹的坏人践踏,正派人不是被杀就是被流放,许多人连祖国和公民权也都被剥掉掉,因此,激于自己的抱负和雄才大略,尽管是私人。而且是个青年,他就收拾起他父亲的残余部队,正当意大利和罗马城在受到蹂躏和破坏的时候,解放了它们。同时,他还利用武力,迅速得异乎寻常地收复西西里、阿非利加、努米底亚和毛里塔尼亚。由于这些成就,他为自己挣得了举世无双的值赫、崇高的地位,尽管是私人,而且只是个罗马骑士,就举行了凯旋式。而他,他的父亲并没象你的父亲那样干过出色的事业,没有从他的先人那里承继到任何尊荣的地位,他出来参加政治活动时也没有那么多的门客故旧,那样响亮的声名。而你却不但承袭了你父亲的崇高的地位和声望,而且自己本人也有足够的英雄气概和勤勉精神,难道你就不该闯出去,到你父亲的那些门客故旧那边去,为你自己、为国家、以及为每一个正正派派的人要求些帮助吗?

    23.这些出自一个具有至高无上威信的人口中的话,刺激了这个青年,他带起三十艘各式各样的小船,其中少数装有铁嘴,从乌提卡出发,去入侵毛里塔尼亚和博古德的王国。他带着一支由二千奴隶和释放人组成的轻装部队,有的没有武器,有的有武器,开始向阿斯库鲁姆城赶去。这个城里驻有国王的守军,当小庞培赶来时,城里的居民听凭他走得愈来愈近,一直等他走到城门和城墙下面时,才突然来一次冲击,逼得小庞培的部下惊慌溃退,一败涂地,一直逃到海边船上。经过这次出师不利,小庞培就掉转船头,离开那边,以后不再靠岸,一直向巴勒阿里群岛航去。

    24.与此同时,西皮阿在乌提卡留下很大一支驻军后,带着我们不久前讲过的军队出发,首先在哈德鲁墨图姆扎下营。后来在那边停息了不多几天以后,又以夜行军赶去和拉比努斯和佩特雷尤斯的军队联合起来,而且把营寨并为一座,驻扎在离凯撒的营寨约三罗里的地方。同时,他们的骑兵专门围绕着凯撒的防御工事打转,把那些为了采收或取水跑出壁垒去的人,都捉了去。这样,就把对方统统图禁在工事之内。这种情况使得凯撒的部下因为缺粮而感到十分苦恼。为的是一方面给养还没能从西西里和撒丁尼亚运来给他,另一方面因为季节关系,舰队在来去航行时,还不得不遭受危险。再加他所占有的这块阿非利加的土地,长间四至,最多不过六罗里,牧草不足也使他感到压力。军团和骑兵中的那些老兵,都是在陆上和海上身经百战过的,而且是经常受这种危险和困乏折磨的,在这种紧迫关头,都赶到海边去采集海藻,用淡水冲洗一下就喂给饥饿的牲口吃,以延长它们的寿命。

    25.当这些事情正在发生时,国王尤巴知道了凯撒的困难和他的兵力微弱,认为最好不要让他有恢复元气和增加兵力的间歇机会,因而,在集中了大量骑兵和步兵之后,迅速离开自己的王国,赶来援助自己这方面的人。正在这时候,普布利乌斯·西提乌斯和博库斯国王已经把他们的兵力联合起来,一知道尤巴国王离开,就把自己的军队向他的王国开去,并动手进攻这个王国最富庶的一个城市基尔塔。经过不多几夭攻击就占有了它,此外还攻下了两个孩都里人的市镇。当他向孩都里人提出条件叫他们撤出市镇,把市镇空出来给他的时候,他们拒绝了,从而,他攻下了它,把这些人都杀死。他又从那边再出发,不停地扰骚乡村和城镇。当尤巴听到这个消息时,他已经离开西皮阿和他那些领袖们不多一点路,他终于认识到赶去援助自己和自己的王国,总比赶去帮助别人,让自己被逐出本国、甚至两头都失败为妙。就这样,由于担心他本人和自己的事业,他又转过身去,并且还从西皮阿那边抽回了自己的援军,只留下三十头战象。便赶去救援自己的领土和城镇了。

    26.同时,是不是凯撒自己来了,在行省里引起了怀疑,没有人相信凯撒真的会亲身赶来,带军队到阿非利加来的也许只是他的某一个副将。他写信到全行省所有各地去,把他的亲身来临通知他们。同时就有许多显要的人物逃中他们自己的城镇,来到凯撒的营寨,诉说敌人的残酷和暴虐。他们的痛哭和控诉,使凯撒十分激动。虽然他原先是决定等到夏天开始才把他的全部军队和骑兵从永久性营地里召出来集中,和敌人作战的,但他现在决定冬天就行动。他立刻写信给在西西里的阿利努斯和拉比里乌斯·波斯图穆斯,用一只小交通艇送去,叫他们不要耽搁,也不要以冬天风不利为借口,尽可能快地把军队送到他这里来,说:阿非利加行省要完蛋了,要被他的敌人彻底毁灭掉了,除非很快来给这些同盟救援,阿非利加在这班无恶不作、阴险毒辣的敌人手里,快就要弄得除这块土地以外,连一个让他们容身的屋顶都不留了。凯撒真是心急如焚,望眼欲穿,在刚刚派人送信到西西里去的第二天,就抱怨舰队和军队拖延时间,日夜眼睛盯着海、心里想着海。这也难怪,因为他看到农庄被烧毁,田地被荒废,牲口也被掳去屠杀,城镇和岩堡则被摧毁和废弃,公民中的领袖人物不是被杀死就是在链条上锁着,他们的孩子,都以人质的名义被硬抢去受奴役。但是,他却因为自己的人马太少,对于这些因为自己的苦恼,赶到他这里来请求保护的人,没法给予帮助。就在这同时,他让他的士兵一直继续劳动,作为锻炼,不停的给营寨构筑防御工事,建造塔楼和碉堡,还修建伸出海里的长堤。

    27.在这同时,西皮阿正在着手用下列方法教练象群。他布下两列战阵,一列射石手面对着象,他们扮演敌人,朝着对面列成战阵的象群,发射小石子,次之,他把象群排成一行之后,在它们后面又再把自己的军队也列成一行,这样,当敌人开始向象群发射石子,象群惊吓之余,转身向自己这边退去时,他自己的人就向它们投掷石块,迫使它们再转过身去面向敌人。尽管这样训练,进展却很困难、很缓慢,因为象是笨拙不灵的动物、不管多少年的教导和长期训练,也难于把它们完全教好,一旦引到战场上去时,往往对双方有同样的危险。

    28.当双方领袖正在鲁斯皮那你这些安排时,主管沿海市镇塔普苏斯的前司法官盖尤斯·维吉利乌斯看到运送凯撒部队的船只,都是一只只单独走的,因为不熟悉那地方,又不知道自己的营寨在哪里,所以在海上摸索着前进;因而他抓紧机会,把在他那边的一艘快艇装上士兵和弓箭手,此外,他再加上几只船上用的小划子,就用这些船只出发去追逐凯撒的单只的船。他接连攻击了几只船,但每次都被击败后逃走,于是离开了那一带。不过他仍不死心,还要再试试运气,恰巧遇上一只船,船上有两个西班牙人青年兄弟,名叫提提乌斯,都是第五军团的指挥官,他们的父亲是凯撒让他当选到元老院里去的。另外还有一个提图斯·萨利努斯,是同一军团的百夫长,曾经在墨萨那围攻过凯撒的副将马尔库斯·墨萨拉的房子,而且当着他的面说过一些极端露骨的目无法纪的话,也就是这个人,把留下来准备凯撒举行凯旋式用的金钱和饰物,硬扣留着不交出来,为了这些事情,他本人也很为自己担心。这种自觉有罪的想法,使他说服这两个青年人停止抵抗,自动向维吉利乌斯投降。因而他们被维吉利乌斯派警卫送到西皮阿那边去,两天以后都被杀死。当他们被带去处死时,大的那个提提鸟斯向行刑的那个百夫长要求先杀死他,再杀他的兄弟,这要求很容易就获允了,他们就这样被杀掉。

    29.同时,惯常在壁垒前担任警卫工作的那些骑兵队,天天都在不断的和敌人发生小接触。但也有时候双方在提出保证之后,拉比努斯的日耳曼和高卢骑兵和凯撒的骑兵彼此进行交谈。就在这时候,拉比努斯率领他的部分骑兵攻打由萨塞那带着六个营在防守的勒普提斯,试图硬冲进去,但由于那个市镇的极好的防御工事和大量作战机械,守卫的人很容易就守住了它,而且毫无危险。在拉比努斯的骑兵反复不停地来进攻时,有一队骑兵正好密集在城门前。从弩机上发出去的一支箭,极准确地射中他们的首领,而且一下子把他钉在马上,吓得其余的人赶紧都飞奔逃回自己的营寨里去。从此以后不敢再来尝试进攻这个市镇。

    30.同时,几乎每天西皮阿都把他的部队在离开自己的营寨大约不过三百步的地方,布下阵列,把一天的大部分时间消磨在那边,然后返回营寨。西皮阿由于经常在这样做,从来看不到有人从凯撒营里出来或走近他的军队,他就对凯撒和凯撒的军队所表现的忍耐轻视起来,把自己的全部军队都领了出来,三十头战象也身背射塔,布列在阵线前面,一边推进的同时,一边把他那支骑兵和步兵会成的数目庞大的部队,向两侧伸展得尽可能的宽,在距凯撒的营寨不远的平地上停驻下来。

    31.凯撒知道了这事,下令叫那些跑到工事外面去的人,不问是去采牧的、伐木材的、还是到工事上去工作的、或者是去收集木桩和修筑壁垒要用的那些材料的,统统都退回营里来,并且站到工事上去,但要逐渐地、平静地退,不要喧哗和惊惶。他又指示正在轮值站岗的骑兵继续守在不久前布置给他们的岗位上,直到敌人的箭能射到他们为止,如果敌人逼得更近,他们就应该尽可能不失体面地退回到工事里来。其余的骑兵,他也给了指示,叫他们各人都留在自己的位置上,武装戒备着。这些命令并不是他在壁垒上看过形势之后亲自到场发下去的,由于他掌握有非凡的作战知识和技能,他只是坐在帅帐里,通过侦察人员和传令员们,把要别人做的事情传达下去。他了解敌人虽然倚仗人多势众,但他们却正是那些一再被他击溃和赶跑、心胆惧裂人,也正是一再被他饶赦性命和宽恕罪恶的人,在这种情况下,这些萎靡不振、于心有愧的人,决不会相信自已能取胜,胆敢来攻打营寨。再则,他的声名和威望,也已经使对方军队的很大一部分丧失了勇气。何况这营寨有不同寻常的防御工事,壁垒之高,壕堑之深,以及壁垒外以巧妙的方式隐藏着的尖桩等等,即使没人守护,也可以阻止敌人接近。至于发射努矢和石块的机械、以及其他种种守城常备的作战武器,他都有很多。这些东西都是因为他考虑到自己的军队人数少,而且又是新兵,事先预备下的。因而,他绝不是因为看到敌人的兵力强大,自己感到胆怯,才做出一付使敌人感到他忍气吞声、怕这怕那的样子的。尽管他的部队人数少、没有作战经验,他不把他们带到战场上去的理由却并不是对他们能否得胜没有信心,他认为至关重要的乃是究竟他取得的胜利,将是什么样的胜利。因为他认为,在他完成了这么多功业,打垮了这么庞大的敌军,获得了这么多次数的光辉胜利之后,人们一定会认为这次胜利,只不过是对他敌人从败兵中凑集起来的一些残部的一次血腥胜利,对他说来,未免是一个耻辱。因而,他决定忍受他们的那种不可一世的耀武扬威,等到第二批船队把他的一部分老兵军团运送过来之后再说。

    32.同时,象我前面说过的那样,西皮阿在那地方耽搁了一阵子,让人家看看他对凯撒多么轻视之后,慢慢地又把他的部队拉回到营里去。他召开了一次士兵大会,在会上,他把他们在对方心中引起的恐怖和凯撒士兵的绝望处境夸耀了一番,而且鼓励他的士兵,答应他们说,他将在很短的一段时间之内,让他们赢得一场永久性的胜利。凯撒借口修筑工事,命令他的士兵重新回到工事上去,他总是要使他的新兵们劳动到精疲力尽为止。与此同时,努米底亚人和盖图利人每天都有人从西皮阿营里逃走,一部分人逃回自己王国里去,一部分人因为他们的先辈曾经受过盖尤斯·马略的恩惠,听说凯撒是马略的亲戚,就都逃到凯撒的营里来,一批一批不断。在这些人中间,凯撒选了一些比较有声望的人,给他们信叫他们带给自己的同胞,鼓励他们拉起武装队伍来,保卫自己和自己的同胞,免得俯首听命于自己的冤家对头。然后遣他们离去。

    33.当这些事情正在鲁斯皮那发生时,有使者从一个免纳贡赋的自由城市阿基拉来到凯撒这里,说:他们已经准备好执行凯撒的无论什么样的命令,他们只恳切要求凯撒能给他们派一支驻军去,这样,他们就能够更加安全地执行他的命令,不怕危险了,还说:为了大家的共同安全,他们愿意拿粮食和一切必要的东西来支持他。凯撒欣然答应了这些请求,派给他们一支驻军,命令一度担任过营造官的盖尤斯·默西乌斯赶到阿基拉去。一知道这事,正带着两个军团和七百骑兵在镇守哈德鲁墨图姆的孔西狄乌斯·隆古斯,在当地留下一部分驻军之后,带着八个营迅速朝阿基拉赶来。默西乌斯走得比较快,首先带着几个营到达阿基拉,当孔西狄乌斯带着军队到达该城时,看到凯撒已经有驻军在那边,尽管他的兵力强大,却不敢使他的部下冒险,于是一事无成地返日哈德鲁墨图姆。后来,过了不多几天之后,他从拉比努斯那边弄来了一部分骑兵,又再次来到阿基拉,扎下营来,开始围攻它。

    34.就在这段时间里,我们前面提到过几天以前凯撒派他带着舰队出去的盖尤斯·萨卢斯提乌斯·克里斯普斯,到达克尔基那。前司法官盖尤斯·德基弥乌斯,正由自己的一大帮奴隶保护着,在那边主持给养供应工作,一听到他来,马上找来一条小船,登上去逃走。同时,司法官萨卢斯提乌斯被克尔基那人迎接进去。他发现了大批粮食,而且在那边还有足够多的运输规,他就用船装了粮食,送到营里交给凯撒。同时,在利吕拜乌姆,代行执政官阿利努斯把第十三军团和十四军团、八百名高卢骑兵、一千名射石手和弓箭手载上运输舰,作为第二批船队,送到阿非利加去给凯撒。这些船乘着顺风,在三天之后平安到达鲁斯皮那港口,凯撒的营寨就在这个镇上。这一来,凯撒真是双喜临门,一时之间,既有了粮食,又来了援军,他的部下都很高兴,粮食的紧张情况得到了缓和,他的忧虑也解除了。他下令军团和骑兵都离船登岸,先恢复一下疲劳和晕船,然后把他们分配到各处堡垒和工事中去。

    35.所有这些,都使西皮阿和跟他在一起的同伙又惊奇又诧异,盖尤斯·凯撒一向的习惯都是主动进攻,力求一战的,现在突然改变作风,他们怀疑背后一定隐藏着重大的计谋,因而,凯撒的忍耐使他们陷入很大的惊恐。他们在盖图利人中找到两个人,认为他们是对自己的事业极为关切的人,在给了他们大量酬报和慷慨的诺言之后,叫他们假装叛逃,到凯撒的营里来侦察情况。当他们被领到凯撒面前的时候,他们要求凯撒允许他们可以畅所欲言,不必担心危险。一得到允许时,他们说:“统帅,我们盖图利人中有许多人都是盖尤斯·马略的门客,我们、以及差不多所有在第四、第六两个军团中的罗马公民,都在想要逃到你们营里来,但努米底亚的骑兵守卫在阻止我们这样做,使我们非冒很大的危险不能脱,身。现在,机会给了我们,我们就迫不及待地赶到你这里来了。我们是西皮阿派来做间谍来侦察营寨前面和壁垒门口有没有对付象群的壕沟和陷奔,同时了解一下你们应付这些畜牲的措施、以及你对战斗的部署,然后回去报告给他们的。”凯撒表扬了他们,还发给他们钱,又把他们带到其他逃来的人那边去。他们的说法很快得到了证实,第二天就有一批军团士兵离开西皮阿,从盖图利人提到过的这两个军团里逃到凯撒营里来。

    36.当这些事情正在鲁斯皮那进行时,在乌提卡负责的乌尔库斯·加图,每天都在征兵,释放人、阿非利加人、以至奴隶,不管什么样人,只要年龄适于拿武器,统统都要,不断把他们送到西皮阿营里去,供他调遣。同时,有使者从提斯德拉镇赶到凯撒这里来。在这个镇上,有意大利商人和农民积储在那边的三十万麦斗小麦。使者们告诉凯撒他们那边有多少谷物,同时要求派一支驻军到那边去,以便能更好地守卫粮食和他们的财富。凯撒当场先向他们表达了他的谢意,至于驻军,他说。不久之后,他就会派去的。然后说了一些鼓励的话,命他们回到自己国里去。与此同时,普布利乌斯·西提鸟斯带着他的部队侵入努米底亚境内,奋力攻击,占取了一座防御工事筑得很好的山头要塞,尤巴为了要进行战争,把粮食和所有其他战事需要的东西都集中在那边。

    37.凯撒从第二批船队中使自己的军队得到两个老兵军团和骑兵、轻装兵等增援之后,他命令那些卸空了的船,立刻航向和吕拜乌姆,再去把其余的部队运过来。在一月二十五日,大约在第一更时候,他亲自下个叫所有他的侦察人员和勤务人员都到他面前来听候调遣。因而,在任何人都不知道、也不猜疑的情况下,在第三更天,他命令把全部军团都领出营寨,踉随着他,朝着他有一支驻军在那边的鲁斯皮那赶去,这是第一个投靠到他这方面来的市镇。于是,他领着军团走下一片比较平缓的斜坡,在平原的左侧,沿着海岸前进。这片平原异乎寻常地平坦,大约有十二罗里阔。从海边开始,就有一系列不很高的丘陵环绕着它,使它在外形上看起来象是一座剧场。这一系列丘陵中也有不多几座高山,它们每一座上面都有很古老的碉楼和照望塔,在其中的最末一座,西皮阿布置有守军和哨岗。

    38.在凯撒登上我所描述的这一系列丘陵,而且到过每一座山头和碉楼之后,他开始建筑堡垒,在不到半个刻时里就把它们造好了。当他离开最后、距敌营也最近、即我说过上面有一支努米底亚守军和哨岗的那座山头和碉楼不远时,他在那边停息了片刻,观察了那边的地势,然后,他把骑兵布置下去作为警卫,一面给各军团分配了任务,命令他们沿着那一系列山丘的山腰,建筑一道工事,从他当时到达的地方起,一直伸展到他从那边出发的地方为止。西皮阿和拉比努斯看到了这事,他们把自己的全部骑兵都领出营来,按照作战的阵势排好,从他们的工事所在的地方推进了约一罗里,再又在距离他们的营寨不到四百步的地方,把他们的步兵列好,作为第二道阵线。

    39.士兵在工作时,凯撒一直在鼓励他们不要被敌军惊动,当他看到敌人的行列和我军的工事之间距离已不到一罗里半时,他看清楚敌人是为了想阻碍他的部下、迫使他们放弃工作,所以才逐步进逼过来的。他考虑到他现在不得不把军团从工事上召回来了,就命令一队西班牙骑兵迅速奔向最靠近敌营的这座山头,驱走敌人的守军,把那地方占领下来。同时他又叫一小队轻装兵跟去支援他们。派去的这些人很快攻击了那些努米底亚人。把他们的一部分活捉过来,不少骑兵在奔逃中受了重伤,那阵地被夺了下来。拉比努斯一看到这个,为了可以更快地赴去支援自己的部下,他把张开着的骑兵阵线的整个右翼都转向那边,急急奔去支援自己溃败下来的部队。当凯撒看到拉比努斯这时已经离开他自己的部下有了很长一段路时,就命令骑兵的左翼向前推进,把敌人一截为两。

    40.在战事进行的这片平原上,有一所很大的庄园,矗立着四座碉楼,它们阻碍了拉比努斯的视线,看不到自己已经被凯撒的骑兵切断。因而,一直到自己部下的后队被砍倒时才发现凯撒的骑兵队。这样一来,突然变成一片惊慌,努米底亚的骑兵竭力奔逃,直接向营寨逃去。高卢人和日耳曼人仍旧坚持在原地,被从高地上赶下来的人和从背后来的人四面围住,他们虽然抵抗得很勇敢,但仍旧被全部歼灭。看到这事,西皮阿布列在营赛前的军团一时心慌意乱,不知所措,开始从各个门里飞奔逃进营里。当西皮阿和他的军队被从平原上和从山头上一扫而光,还回到营里去时,凯撒下令吹退军号,让全部骑兵退进自己的防御工事。打扫战场时,他注意到了高卢人和日耳曼人的使人触目惊心的尸体。他们中有些人是慑于拉比努斯的威信,跟着他一起离开高卢的;另外一些是受奖酬和诺言的引诱,赶到他这里来的;还有一些人是在库里奥的那次战役中被俘后被饶了性命的,他们急于要做给大家看,他们能以同样生死不渝的忠贞来表明生死不渝的感激。这些体格壮健魁伟的人,都身带刀伤,扑倒在地,东一个、西一个一布满整个平原。

    41.发生了这些事情之后,凯撒在第二天把所有驻防地点的各营都带出来,在平地上全军布列下来。西皮阿因为自己的部队受了挫折,死伤了许多人,开始把部队关在工事里不让他们出来。凯撒张开战阵,沿着那条山岭的山脚,慢慢地迫近西皮阿的工事。这时,凯撒的军团已经离开在西皮阿控制下的市镇乌兹塔不到一罗里,西皮阿因为自己的军队一向是靠这个镇上的水和其它物资供应的,深恐失掉它,就也把他的全部军队带了出来。这些军队都照他自己的习惯列成四行,第一行用排好的一大队一大队骑兵组成,背着射塔带着武装人员的战象就穿插在他们中间。他这样布列开之后,急忙赶来援救这个城市。凯撒看到时,认为西皮阿已经准备好决战;这次是下定决心来的,于是就在我们前面刚刚提到过的市镇前的那片地方停驻下来。西皮阿把自己战阵的中央部分放置在这个市镇的后面,由它掩蔽着,把他的左翼和右翼五商朝着凯撒这边布列开来,他的象群也放置在那边。

    42.凯撒一直等着,直到太阳差不多已经落山,还看不出西皮阿有离开自己停驶的地方、向他这面推进的意思,估计如果不到万不得已,西皮阿宁愿就利用该处地形作为自己的保障,决不敢走到平原上来,进行手接手近战。然而,他自己如果这一天再向那个市镇推进,也不是上策。因为他知道城里有一支庞大的努米底正守军,敌人阵线的中央部分就借它作为屏障,他要进攻,就得一面在攻击这个市镇的同时,一面再在极不利的地形和敌人的左右两翼战斗,加之士兵们又都是从早晨到现在一直是空着肚子、执着武器站在这里的,一定十分疲倦了。因而就把他的军队带回营寨,决定明天把自己的工事延伸到敌人的阵地那边去。

    43.同时,孔西狄乌斯带着八个营和一些努米底亚人和盖图利人雇佣军。围攻阿基拉,盖尤斯·墨西乌斯正带着三个营在那边坐镇。一他用各种各样方法试攻了很长一段时期,而且一再把大规模的围困工事一直伸展到城下来,但镇上人把这些东西都纵火烧掉了,使他毫无进展。当那场骑兵战斗的消息突然传到他这里的时候,他非常震动,把营里储存的大宗粮食放火烧掉,把油、酒和其他准备过日子用的东西全部毁掉,放弃正在进攻的阿基拉,然后引军经过尤巴的王国,把一部分军队分给西皮阿后,退回哈德鲁墨图姆。

    44.同时,在阿利努斯从西西里派出来的第二批船队中,有一条船,上面载有昆图斯·科弥尼乌斯和一个叫卢基乌斯·提基达的罗马骑士,它迷失航向,离开了其余的舰队,被风吹送到塔普苏斯去。他们被维吉利乌斯手下的轻艇和小划船截获,押送到港口。同是这个船队的另一条三列桨舰,同样也达航了,被一阵狂风吹向埃吉穆鲁斯,波瓦鲁斯和马尔库斯,屋大维的舰队捕获。这艘船上有一些老兵,还有一位百夫长和一些新兵。瓦鲁斯把他们看押起来,但并没侮辱他们,而是把他们送到西皮阿那边。当他们来到西皮阿面前,立在他的公座前时,西皮阿说:“我的的确确相信,你们不是出于自愿,而是在你们那凶恶的统帅胁迫和命令之下,才来伤天害理地迫害公民和正派人的,既然命运让你们落到我手里来了,如果你们愿意从此走上正路,跟正派人一起来保卫共和国,我一定会饶了你们的性命,还将给你们赏金。现在,表表你们的心意吧!”

    45.说了这番话,西皮阿认为这些人一定毫无疑问会对他这番恩典表示感激涕零, 因而给了他们说话的机会。 在这些人中,有一个第十四军团的百夫长,说:“对于你这番大恩大德,西皮阿——我不想把你称做统帅——我表示感激。你允许把生命和安全给象我这样根据战争的权利做了你俘虏的人。要不是它附带有恶毒的条件、也许我本来可以接受你这番好心的。难道我能够武装着站到敌人一方面去,对抗我自己的统帅、我在他手下指挥过队伍的凯撒吗,难道我还能够对抗他的军队、即我为了它的威名和胜利奋战过三十六年的那支军队吗。不,我不会这样做,而且我要竭力劝告你放弃这种妄想。如果你以前没有看出来,现在你有机会可以了解一下你在对抗的是谁的部队了,把你部队里面的你认为最坚强的营抽出一个来,让他们跟我面对面交一下手试试吧,我只要也从现在落在你手里的弟兄们手中挑出不超过十个人来,从我们的勇敢上面,你就会明白你启己的军队会有什么样的下场了。”

    46.当西皮阿听了这位百夫长这样勇敢地、出乎自己意料地说了这番话之后,使他感到极为气愤,内心又十分懊丧,他向自己的百夫长们点了一点头,把自己要他们做的事情示意给他们,这个百夫长就在他面前被杀死。他命令把其余的老兵和新兵分开,“把这些家伙带走,他们都沾上了神人共愤的罪恶,公民们的鲜血喂肥了他们。”这些老兵就被带到壁垒外面残酷处死。他命令把那些新兵都分配到各个军团里去。至于科弥尼乌斯和提基达这两个人,他连面也不愿见。这件事情使凯撒很为激动,他处罚了那些他命令带着战舰停泊在塔苏斯以外的海面守望、以保护自己的运输航和战舰的人。由于他们玩忽职守,他把他们都革逐出军队,而且发布了很严厉的谴责他们的通告。

    47.差不多就在那个时期,一件听来令人难于置信的事情落到凯撒的军队头上。虽说天空的七姊妹星座已经落下去,大约已经是夜里第二更,突然落起倾盆大雨来,还夹杂着大块冰雹。使事情变得更为糟糕的是,凯撒没有按照以前的惯例,把士兵全都安置在冬令营中,而是每隔三四天就向前推进得更靠近敌人一些,再一造一座营寨,重新构筑工事,因而,士兵们很少照顾一下良己的机会。外加他在西西里让士兵们下船肘,除了他们本人和武器之外,任何行李、任何奴隶、任何士兵们习惯用的东西,一概不准带到船上去。加之。到了阿非利加,他不但没有能为自己购置或准备什么东西,由于粮食价格高。使他们连以前的一些积蓄也都化光了。所以在这些恼人的情况中,只很少人才有一个真正的帐篷可供睡觉,其余的人就在用布头做的、或用芦苇、树枝等编成的棚子里安身。因而,当暴雨突然来临,接着又跟来了冰雹时,他们的帐篷经不起重量,压塌下来,或者被水流卷起冲走,在深夜里,暴风雨使火种都熄灭了,所有他们传以生活的东西全部损失殆尽,他们只能用盾掩盖着自己的头部,在营寨中茫然失措地徘徊着。同是这一夜,第五军团战士的矛头自己燃烧起来。

    48.与此同时,尤巴国王得知了西皮阿的骑兵战斗的消息,并听从他的来信召唤启下萨布拉带一部分军队对付商提乌斯,自己离开王国赶来支援西皮阿。为要给西皮阿的军队增加些声势,并且使凯撒的军队产生恐慌,他带来三个军团,八百有鞍子的骑兵,大量没鞍子的努米底亚骑兵和轻装步兵,还有三十头战象,当他一到西皮阿处时,他把自己的御营以及我上面说过的这支军队;分开驻扎在离西皮阿的营寨不远的地方。在这以前,凯撒的营中很为惴惴不安,在尤巴没有到来的时候,他的军队心里都牵挂着国王的那支庞大的部队,很有些提心吊胆,但当国王真的一旦跟他们自己面对面扎下营来时,他们又轻视这支军队起来,一切恐惧之心都已置之脑后,这样一来,他过去不在的时候所具有的一切威望。现在他亲身一到,反而烟消云散了。但大家都很容易看出来,国王的到来,已经使西皮阿大大增加了勇气和信心,因为在次日,他就把他自己的和国王的全部军队,包括六十头象,都带出营寨来布下阵势,尽可能地张大声势,然后,在推进到离开他的工事比平常更远一些的地方之后,就在那边停留了一会,再退回营寨。

    49.凯撒在看到西皮阿正在盼望的援军差不多都已经到齐,再没什么能使他拖延作战时,他开始带着自己的部队沿山脊前进,把他的工事支线一直延伸向前,并修筑有防御工事前碉堡,还竭力争取先下手抢占靠近西皮阿营寨的一处山头,以免敌人自侍人多,占领了这座靠近他们的山头之后,使我军再没向前推进的机会。但拉比努斯也已经打定主意去占领这座山头,由于他离开它较近,因而使他能够很快就先占有了它。

    50.那边有一条很宽广的山谷,山壁很高峻陡削,许多地方都有象是挖出来的那种洞穴,凯撒必须先穿过那边,才能到达他想去占领的山头。在这条山谷的另一头,有一片古老而又极茂密的橄椰树林。拉比努斯利用自己对这一带地方熟悉,知道如果凯撒要去占领那地方,必须先穿过这个山谷和这片激揽树林。就带着他的部分骑兵和轻装兵埋伏在那边。此外,他还在山岭之外,隐藏了另一支骑兵,以便当他自己出其不意地攻击军团士兵时、这支骑兵可以从山背后出来两面夹击凯撒和他的部队,使他们既没后退的可能,也没前进的机会,势必在惊惶失措中被包围歼灭。凯撒不知道有这起埋伏,派了一支骑兵在前面先行,在他们到达这地点时,拉比努斯的部队不知是误会了,还是忘掉了他的指示,也许可能是害怕被骑兵踏死在壕堑里,他们一小批一小批地、甚至一个一个地从悬崖后面奔出来,向山顶上逃去。凯撒的骑兵追逐他们,杀死一部分,另外又活捉了一部分,然后迅速地一直奔上山头,把拉比努斯的守军逐走后,很快占领了它。拉比努斯和他的部分骑兵全靠飞奔逃走,才勉强得到安全。

    51.经过骑兵的这次战斗之后,凯撒即在占领到的那座山头上构筑有防御工事的营寨,他把这任务分配给各个军团。然后又从自己的大营起,筑起两条工事,通过平原的中央,一直向那个市镇乌兹塔伸过去,分别伸到它的一左—右两只角。这个市镇坐落在一片平地上,处在西皮阿的营寨和他自己的营寨之间,但却在西皮阿的控制之下。他筑这两条工事的目的是想让自己的部队在向那市镇推进、并开始攻打它时,两侧面有自己的工事掩护,不至被敌人的大批骑兵包围,阻碍了攻城;加之,它还可以使双方对话更加方便些,如果有人愿意逃过来,也可以很方便地逃,丝毫用不着担风险,这在过去是要冒很大的危险的。他还想知道必当他距离敌人愈来愈近时,他们是不是决心一战了。在其它这些原因之外,还有一点,即那地方是一片低地。可以挖掘几口水井,这时,水非常缺乏,而且要跑到很远的地方去取来。当军团士兵在建筑上述这一防御工事时,一部分军队布列在工事前面距敌人很近的地方,严阵以待。因为他们的蛮族骑兵和轻装兵在和我军不断的进行近距离的小接触。

    52.当天色已经傍晚,凯撒正在把自己的部队从工事上带回营去的时候,尤巴、西皮阿和拉比努斯带着全部骑兵和轻装兵,迅速冲向我军团士兵,猛烈攻击。凯撒的骑兵在大量敌兵的突然全线猛攻下,顶不住这股冲力,略略后撤了一些。但情况发展得和敌人的颜料不同,因为凯撒在半路上又领着他的军队回过头来;帮助他的骑兵。军团的到达使骑兵重新振作起精神,转过身来向因为追逐他们而乱了队伍的努米底亚骑兵发动攻击,击溃他们后,一直追到国王的御营,还杀死他们中的许多人。要不是黑夜降临。打断了战斗,而且还因为大风卷起的尘土挡住了大家的视线。尤巴和拉比努斯也许可能被捉住,落到凯撒手里来,他们的骑兵和轻装兵也许全军覆没了。同时,西皮阿的第四、第六两个军团的士兵大量逃亡,数自之多,令人无法置信,一部分逃到凯撒营里来,一部分逃到任何一处他们各人能逃去的地方。过去曾在库里奥部下的骑兵也对西皮阿和他的部队失去信心,和许多人一起逃之夭夭。

    53.正当双方间的领袖都在乌兹塔附近忙于这些事情时,从西西里乘运输舰出发的第十和第九两个军团,正航到离鲁斯皮那不远的地方,他们看到凯撒布置在塔普苏斯海面上戒备的那些船只,怀疑这是敌人的船只为了玩弄阴谋,故意耽搁在那边的,深恐自己冒冒失失落入它们手中,就扬帆向大海上驶去。许多天以后,经过长期的风浪颠簸,既口喝,又困乏,终于航到凯撒这里。

    54.于是这两个军团离舟登岸。凯撒还记得这些军队过去在意大利的纪律败坏,某些人甚至有劫掠行为。他就抓住第十军团的军团指挥官盖尤斯·阿维努斯的一件很小的事情作为借口,发作起来。这位指挥在这次航程中占用了一条船,专门运载他自己的奴隶和马匹,一个士兵也不从西西里运过来。次日、凯撒把各军团的所有军团指挥官和百夫长都召到自己的将坛下面来,对他们这样说:“我极希望那些恣难放纵、太过自由的人,能够自己克制些,能够认识到我的宽大、温和和忍耐。只是,由于这些人始终不肯对自己有所检点和约束。所以我只好自己来照军队中的惯例,把他们树立起来作为一个榜样,让别人能不蹈他们的覆辙了。因而,你,盖尤斯·阿维努斯,在意大利时曾经煽动罗马公民的土兵赶来反对共和国。而且曾经在几个自治城镇犯下过抢劫的罪行,你还是一个对我和对国家一无用处的人,你不把兵士带上船,反而把你的家奴和牲口载在船上,正是由于你,在国家最需要士兵的时候,却没有士兵。为了这些缘故,我把你革职逐出我的军队,而且命令你今天愈快愈好地离开阿非利加。还有你,阿皮乌斯 ·丰特尤斯、你是一个犯上作乱的军团指挥官。一个不忠的公民,我开除你出我的军队。提图斯·萨利努斯、马尔库斯·提罗和差尤斯·克卢西那斯,你们之所以有今天的地位,不是因为你们自身的长处,而是因为我的恩典,但你们的表现是:在战争时不勇敢,在和平时不忠诚,而且也一无所长,你们热心的是煽动士兵起来反抗你们的统帅,而不是守廉耻、讲谦虚。我认为你们不配在我的军队里带兵,因此我开除你们,而且命令你们愈快愈好离开阿非利加。”就此,他把他们交给了百夫长们,每人都只指定给他们一个奴隶,分别把他们各人送上一条船去。

    55.同时,那些我们说过被凯撒派他们带着信件和指示回去的盖图利人逃亡者,回到自己本国人那边,他们所代表的权威很容易的就把自己国人同胞拉了过来。这些人都被凯撒的声名吸引住,毫不犹豫就抛弃了尤巴国王,很快一致拿起武器来反抗他。一听到这种情况,尤巴出于无可奈何,不得不同时在三条战线上分别作战。他从领去对抗凯撒的这支军队中抽出六个营来,派回到自己的王国里去作为应付盖图利人的驻防部队。

    56.凯撒这时已完成了他那两条工事支线,把它们一直延伸到镇上发出来的矢予不能达到的地方,然后他筑下一座营寨,把射石机和弩机密密层层排列在营寨面前,面向着市镇,不断地骚扰那些守护城墙的人。他还从原来的营寨里派五个军团到这里来。有了这样的机会,对方有些极有地位和名望的人,不断要求会见自己的朋友和亲戚,彼此间还谈起话来。这种事情所能产生的效果,凯撒当然不会忽略。国王的骑兵中有些出身贵族的盖图利人,其中包括有他的骑兵司令官,利用黑夜已经点起灯来的时机,带着马和自己的营奴,大约有一千人左右,逃到坐落在平原上的靠近乌兹塔的凯撒营寨里来。这位司令官的父亲以前曾经在马略的部下服役过,由于他的勋劳,被赏给过农庄和土地,只是后来苏拉胜利后,才把他交给希姆普萨尔国王做了臣属。

    57.大约就在这时候,西皮阿和那些跟他在一起的人发觉了这些情况,正当这种严重的挫折使他们感到震动时,他们看到马尔库斯·阿奎努斯在和盖尤斯·萨塞那谈话。西皮阿派人去传话给阿奎努斯,告诉他犯不着和敌人谈话。但他还是照样讲下去,使者带回了他给西皮阿的答复,说:要等到他把自己要干的事情干好了再说。 此外,尤巴也派一个传令员到他那边去,不管萨塞那也在听着,开口就说:“国王禁止你谈话。”这个通知使阿奎努斯害怕起来,马上听从国王的话走开了。一个罗马公民,而且是从罗马人民手中光荣地接受过官职的人,尽管自己的祖国安全无恙、自己的所有财产也安全无恙,却还是宁愿遵守尤巴这个野蛮人的命令,而不肯服从西皮阿的通知、宁愿和自己的同党一起波斩尽杀绝,却不前回到自己同胞这边来,真是件不可思议的事情。而且,尤巴的傲慢自大,还不止表现在对待象阿奎努斯这样一个出身寒族的起码元老身上,就连对西皮阿这样一个无论就门第、地位和荣誉来说都是高人一等的人,也都一样。在国王未来之前,西应阿一向是穿着紫色的帅袍的,据说,尤巴提出这件事情,说他不应该和自己穿同样的衣眼,这样一来,为了服从尤巴这个极骄傲、极无能的人,西皮阿就从此改穿白色的衣服。

    58.次日,敌人从所有营寨里把他们的军队全都拉了出来,占据了距凯撒不远处的一处小丘,把部队布好阵势后,停驻在那边。凯撒也同样把军队带了出来,很快就在自己筑在平原上的工事前面,把他们布列下来。他认为,敌人有这么大的兵力,又有国王如此强有力的支援,去过就曾毫无顾忌地冲出来过,这次无疑一定会自动向他奔过来交锋。在骑着马兜了一个圈子鼓励他的军团之后”,他发下号令,静候敌人上来,他自己不愿意离开工事向前推进,不是没有理由的,因为在西皮阿手中的那个乌兹塔镇驻有敌人的武装部队,这个镇正处在他的右翼,他深恐如果自己向前推进越过了它,敌人会从镇上突然冲出来,向他的侧翼发动猛攻。除此外。还有一个理由使他停步不前,原来在西皮阿的阵线前面,有一片很崎岖的地方,他认为这不利于自己的部下主动上前进攻。

    59.双方军队在阵地上是怎样布列的,我认为不应该略过。西皮阿的阵线是这样布置的:放在正前方的。是他自己的和尤巴的军团,它们后面是努米底亚人组成的后备军,他们的阵列拉得非常。稀疏,但却伸得很长,以至远处的人看上去似乎它的中央部分单只是由一列军团士兵构成的。他把他的战象隔着相等的距离,一只一只地分开布置在左翼和右翼,战象后面安置着轻装兵和努米底亚同盟军,作为后援。他把自己的全部乘鞍的骑兵都放置在右翼,因为他的左翼有乌兹塔这个市镇在掩护,而且那边也根本没有地方足以布列得下骑兵。此外,他还把一些努米底亚人和不计其数的轻装兵布置在阵线的右侧作为掩护,相距至少有一罗里,他们一直伸展到山脚下面的一个距敌人和自己的部队都很远的地方。他之所以这样做,是因为他认为在两军的战阵互相逼近,战斗即将开始时,他的骑兵只要继续从侧翼伸长出去不多一点路,就可以靠他们人多,使凯撒的军队在不知不觉中陷入包围,在矢石交加之下,乱成一片,这就是西皮阿给这天的战斗定下的计划。

    60.另一方面,凯撒的阵线是这样布列的。我从他的左翼开始,依次数向他的右翼;在左翼的是第十、第九军团;在中央部分是第二十五、二十九、十三、十四、二十八、二十六军团。至于右翼本身,他在那边布列了从老兵军团中抽出来的一些营,此外还有从新兵军团中抽出来的一些营。他把他的第三列集中放置在左翼,一直伸展到布列在中央部分的军团那边。这种队形布置使得他的左翼成为由三层队伍组成的。他之所以要这样做,为的是他的右翼有防御工事在给以支援,而他的左翼却面对着敌人的庞大骑兵,应付极为困难,所以他把自己的全部骑兵也都布置在这二面。就这样,他对它们的信心还是不够,又把第五军团派去支援这些骑兵,外加再选一些轻装兵去穿插在骑兵中间。他把弓箭手三三两两分别布置在战线的各处地方,主要是两侧翼。

    61.双方军队就这样拉开阵势,中间相隔不到三百步,过去在这种形势之下,也许从来没有一次不是以一战结束的,但现在他们却从清晨一直坚持到第十刻时。正当凯撒把他的部队带回到自己的工事里去时,敌人在较远处的全部努米底亚人和孩都里人的无鞍骑兵,突然在右方行动起来,向在高地上的凯撒营地靠拢。拉比努斯的用鞍的骑兵则仍坚持在阵地上,牵制住军团。这时,凯撒的一部分骑兵和轻装兵,既没奉到命令,也没好好思考,冒冒失失地向盖图利人冲去,越过了沼泽,跑到很远的地方,但因为骑兵人数太少,实在敌不过人数众多的敌人,被迫丢掉轻装兵,败退回到自己人这面来,损失了一名骑兵,很多马受了伤。轻装兵阵亡了二十七人。这场顺利的骑兵战斗使西皮阿很高兴,晚上才把军队领回营去。但命运之神决心不把永无止境的欢乐赏给参与战争的人,因为在次日,当凯撒为了取得粮食,派自己的一部分骑兵到勒普提斯去时,路上正好逢到一百名在行劫的努米底亚人和盖图利人骑兵,在他们猝不及防之际攻击了他们,除杀死一部分之外,把其余的都活捉过来。同时,凯撒每天都把军团带到平原上去,并且不停地构筑工事,把他的壁垒和壕堑一直延伸开去,横贯这片乎原的中部,以阻止敌人的突然出击。西皮阿也同样建造与之相对峙的工事;急急忙忙地兴工,免得被凯撒把他和那座山岭隔断。这样,双方的领袖都把全力放在建筑工事上,但彼此之间的骑兵战斗仍然每天不断。

    62.同时,先前为了息冬,把舰队拖在乌提卡海滩上的瓦普斯,一听到第七和第八军团正在从西西里赶来,很快就在那边把差图利人桨手和船员装上舰队,带着五十五只船,从乌提卡出发,航到哈德鲁墨图财,想设下罗网掩捕他们。凯撒并不知道瓦鲁斯来到,派卢基乌斯·基斯皮乌斯带着一支二十七条船只的舰队到塔普苏斯附近克停驶在那边海面上警戒,保护自己的运输队。同时,为了同一目的,他又派昆图斯·阿奎拉带十三艘战舰,航到哈德鲁墨图姆去。基斯皮乌斯很快就赶到派他去的地方,阿奎拉却因为风浪颠簸,无法绕过海岬,在找到一处可以躲避风浪的小港湾后,让他和他的舰队销声匿迹地隐藏在里面。凯撒其余的舰队都停泊在勒普提斯以外的海面上,桨手们在岸上到处闲荡,有的人则到镇上去为自己采购食物,船上一个守卫的人都没留下。瓦鲁斯从逃亡者口中得知此事,抓住这个机会,在第二更带着他的全部舰队从哈德鲁墨图姆的内港里出来,一清早就到达勒普提斯,把停泊在距港口一段路以外的深海上、没人守卫的运输舰全部烧光,还不经战斗就捕获了两艘五列桨舰。

    63.同时,信使很快把这件消息送到营里来报告凯撒,这时他正在自己的防御工事上巡视,距那港口有六罗里。他把一切工作都搁置下来,快马加鞭,迅即向勒普提斯赶去,在那边,他鼓励所有的船只都跟随着他出去。他自己登上一艘小船,航行途中,正好遇上因敌舰众多感到惊慌失措、一筹莫展的阿奎拉,凯撒接过他的舰队就向敌舰追去。这时,瓦鲁斯对凯撒的行动迅速、泼辣大胆,感到震动,带着他的全部舰队掉转头去,急急向哈德鲁墨囹姆逃去。凯撒在追了四罗里之后,收复了一艘五列桨舰,舰上除了它原来的全部船员以外,还有敌方的一百三十名监守人员。此外,他还捕获到一艘在近处的敌人在战斗中掉队的三列桨舰,连带它的全部划手和船员。敌方其余的舰只绕过海呷,全部躲进哈德鲁墨图姆,但凯撒却没能乘着那同一阵风绕过海师,就在那边海上抛锚度过一夜,次日天色刚破晓时,赶到哈德鲁墨图姆,把在那边内港外面的运输舰全部付之一炬。由于其余的船只不是被敌人抱在岸上,就是蛰伏在内港,他在那边只稍稍停留了一会,看看有没有什么机会可以海战,就又重新返回营寨。

    64.在那只军舰上被捉到的俘虏中,有一个罗马骑士普布利乌斯·维斯特里乌斯和一个人叫普布利乌斯·利伽里乌斯,这人本来是阿弗拉尼乌斯的一个党徒,在西班牙曾经和其他一些人一起被凯撒释放,后来他又赶到庞培那边去,法萨卢斯战役后再从那边逃出来,到达阿非利加的瓦鲁斯这里。因为他背弃誓言、反复无常,凯撒下令把他处死。普布利乌斯·维斯特里乌斯得到了凯撒的宽恕,因为他的兄弟在罗马为他付出了规定数目的赎金,而且维斯特里乌斯本人的陈诉,也使凯撒感到满意,他说他是被那西狄乌斯的舰队俘虏的,正要被处死肘,瓦鲁斯好心救了他,此后一直没让他有来投奔的机会。

    65.阿非利加的居民有一个习惯,无论在田野里还是在几乎每一所农舍里,都有秘密的地下暗室,作积储粮食之用,为的是防备战争和突然而来的敌人。凯撒从告发的人那里得知这种情况,就在第三更派两个军团随同骑兵跑出离他的营寨十罗里之外去。他们从那边带着大量粮食返回营寨。拉比努斯知道了这件事,他赶出自己的营寨七罗里,越过凯撒前一天经过的那片山地,让两个军团在那边扎下营。他认为凯撒会经常走这同一条路去收集粮食,每天都带着一大批骑兵和轻装兵埋伏在合适的地点守候他。

    66.同时,凯撒从逃亡来归的人口中得知了技比努斯的诡计,他在那边耽搁了几天,让敌人因为每天都反复做同样的工作,逐渐漫不经心起来。然后,在一天早晨,他突然下令三个老兵军团和一部分骑兵跟他一起从后营闩出去,然后,派骑兵走在前面,出其不意地突然袭击隐藏在山谷里的伏兵,杀死了轻装兵中的大约五百人,使其余的人极可耻地四散奔逃。这时,拉比努斯带着全部骑兵赶上来援救自己的演散下来的土兵。敌人的巨大兵力使人数很少的凯撒骑兵无法抵挡,凯撒就把自己列好战阵的军团带到敌人能看到地方来,这才使拉比努斯感到惊慌,停下步来。凯撒毫无损失地接回自己的骑兵。次日,尤巴国王把那些擅自离开阵地、逃回自己营寨的努米底亚人,统统都钉死在十字架上。

    67.凯撒这时候正因为缺乏粮食,感到不安,他把全军都领出营寨,在给勒普提斯·鲁斯皮那和阿塞拉留下了守军之后,又把他的舰队交给基斯皮乌斯和阿奎拉,叫他们一个在哈德鲁墨图姆,一个在塔普苏斯,从事海上封锁。然后,他纵火烧掉自己的营寨,在晚上第四更时,排列好战阵,把辎重集中在左翼,撤出那地方,来到阿伽尔镇。这个镇在前一个时期经常受到盖图利人的攻击,只有镇上的居民在竭尽全力守卫它。他在那边平乎原上筑起一座单一的营寨,然后带着部分军队出去,到周围的农庄去收集粮株。发现了大量大麦、油、酒、无花果和少许小麦,让士兵们受用了一番之后,返回营寨。同时,西皮阿得知凯撒离开,也开始带着全部军队;跟着他越过山岭,在距凯撒的营赛六罗里之外停驻下来,把他的军队分别安置在三座营寨里。

    68.离开西皮阿只十罗里,有一座市镇。叫泽塔,正坐落在他安营这一面的地区之内,离凯撒的营寨却较远,有十四罗里。西皮阿派两个军团到这个镇上去收集粮秣,当凯撒从一个逃亡来归的人口中得知这一消息时,他把自己的营寨从平原移到山上一处比较安全的地点去,在那边留下一支守卫部队之后,在第四更带着军队出发,越过敌军的营寨,赶去占领了这座市镇。他发现西皮阿的军团正在离开较远的田里采收,他正要向他们那边赶去时,看到已经有敌人的部队在赶去支援那些军团,这就使他放弃了去攻打他们的念头。在捉住了该镇的负责人罗马骑士、西皮阿的密友盖尤斯·弥努基乌斯·雷吉努斯和另一个罗马骑士、乌提卡市元老院成员普布利乌斯·阿特里乌斯,同时还俘获了国王的二十二只骆驼之后,他把副将奥皮乌斯和一支驻军留在那边,自己开始返回营寨。

    69.他回去不得不经过西皮阿的营寨,当他走到离开那边不远的地方时。拉比努斯和阿弗拉尼乌斯带着他们埋伏在附近山里的全部骑兵和轻装兵现身出来,攻击他的后军。凯撒看到后,命令骑兵顶住敌人的冲击,一面叫军团士兵把随身带的行李堆在一起之后,也迅速转过身来面向敌人。行动还只刚刚开始,军团士兵的第一阵攻势,就毫不费劲地把敌人的骑兵和轻装兵驱逐回去,而且把他们赶下山去。但当凯撒刚刚认为敌人已被打败,正在胆战心惊,不会再来攻击,重新又开始赶路时,他们又从附近的山里飞快地冲出来,再用前面已经说过的那种方法,向凯撒的军团进攻。一向穿插在骑兵中作战的努米底亚人和轻装兵也行动迅速得出奇,和骑兵用同一速度前进或后退。他们一再采用这种方法作战,在凯撒的军队进行时出来追逐,在对方站定下来时,又转身逃走,但他们绝不向前靠近,单用这种奇特的方式作战,即认为只要用投枪刺伤对方的马就够了。凯撒看出了他们的计划,知道他们不过是想把他逼到一处一滴水都没有的地方去扎营,好让他那支从夜里第四更到白天第十刻时一直没吃过东西、饿着肚子的军队,连人带马都渴死。

    70.这时差不多已经太阳落山。在四个刻时里,共只走了不到一百步路。看到骑兵的马遭到杀伤,凯撒就把他们从后军调到前面来,改把军团调到后面去代替他们。这样,军团士兵在平静而又缓慢地前进的时候,抵御敌人的冲击要方便得多。同样。努米底亚人的骑兵队伍抢在前面,沿着山岭不断地忽左忽右奔驰,企图倚恃人多,结成圆圈,把凯撒的军队包围起来,还有一部分在背后追逐凯撒的后军。同时,在凯撒的这面,只要有三四个老兵转过身去,挥起矛来奋力向侵扰自己的努米底亚人投过去,他们哪怕有二千以上的人,也都会转过背去逃走,一个都不剩。然而,他们又会掉过马头来,四面八方凑合到一起。结成队形,隔着一段距离追逐。向军团士兵投掷重矛。就这样,一会儿前进,一会儿停下来抵抗。拖拖拉拉地行军,终于走完全程,到夜间第一刻时,所有他的部下都返回营寨,一个人也没损失,只受伤了十个人。拉比努斯也退回自己人那边,除了追得精疲力尽以外,还损失了大约三百人,很多人受了伤。西皮阿本来已经把军队和象群一起带了出来,在营寨前当着凯撒的面列成战斗的行列,想以此引起对方的惊恐、这时也退进营里。

    71.面对着这样的敌人。凯撒开始着手训练自己的部队,但并不象是一个统帅在训练一支久经沙场、屡建奇功的老部队,而是象一个角斗教练在训练自己的新角斗士,教他们从敌人那边退回来该退多少步,回转身来面对敌人时应该用什么方式,对敌人的抵抗应该在几步之内,怎样时而前进、时而后退,佯作攻击,以至连在什么地方、用什么方式掷出轻矛都得教给他们。敌人的轻装兵在我军的骑兵中引起的焦急和不安,真是难于形容,因为他们常常用投枪杀死我军的马,这就使得我军的骑兵在进人战斗时,害怕马被杀死,畏缩不前,他们还用极快的速度使得我军团士兵疲于裁命。每当我军的一个武装沉重的士兵在他们的追逐之下立停下来,向他们发动攻击时,他们由于步履轻捷,很容易就能躲过危险。

    72.这些事情使凯撒感到极大的不安,因为他看到每当一次战斗发生,如果没有军团士兵的支援,他的骑兵总不是敌人骑兵和轻装步兵的对手。还有另外使他担忧的事情,即对方的军团战斗力究竟怎样,他仍旧丝毫不了解、如果对方的骑兵和神出鬼没的轻装兵一旦也有军团在支援,不知是不是还能够再挡得住他们。此外还有一个原因使他焦虑,即那些战象,它们的身驱之大、数目之多,使得士兵们全神贯注在它们身上,惴惴不安。但他给这个问题找到了解决办法。他命令到意大利去越海运几只象来,使士兵认识它们,了解这些牲畜的外形和性能,它身躯的哪一部分容易被矢矛伤害,当一头象披挂了饰物和甲胄时,它身体的哪一部分没有遮掩,裸露在外面。他们的矢矛可以投向那边去。特别是,他要使战马能从此习惯于这些动物的气味、吼声和形状,不再感到惊惶。从这些训练上凯撒得到很大的收获,因为士兵们能用手去摸它们了,也了解了它们的迟笨不灵,骑兵们练习着用钝头的轻矛投掷它们,这种畜牲的驯良使得战马也习以为常。见怪不怪了。

    73.为了我前面提过的那些原因,凯撒很为担心,就一反他过去作战时的那种速战速决的老习惯,转而迟疑。慎重起来。这并不奇怪,他手头的这支军队原来是习惯于在高卢的平原上对高卢人作战的,对方都是胸怀坦白、很少玩弄阴谋诡计的人,他们一般都靠勇敢而不靠狡诈作战,现在他却要竭尽心力使士兵们习惯于敌人的种种花招、诡计和策略,使他们能懂得什么方法不妨采用,什么方法应该避免。从而,为了加速完成他们的训练,他尽力设法使军团不停留在一个地方,而是借采牧为名,让他们不停地从一处地方转到另一处地方,因为他还知道敌人决不会不跟踪而来。两天以后,他把军队部伍严整地带出营来,从敌人的营寨旁边经过,到一处平地上向他们挑战。他看到敌人畏缩不出来应战时,在傍晚时把军团领回去。

    74.同时,有使者从和泽塔——我们已经说过它在凯撒手中——毗邻的一个市镇瓦伽赶来,他们恳切要求派一支援军到他们那边去,说他们愿意把许多战争中要用的东西支援凯撒。就在这时候,由于神灵的意旨和垂爱,一个逃亡来归的人告诉自己本国的人说:尤巴国王已经带着军队迅速向这个市镇赶来,想跑在凯撒的驻军到来之前,先赶到那边,一到就用大军把它包围起来,再在攻占了它之后,把镇上的居民全部杀死,把这个市镇交给自己的军队劫掠和毁灭。

    75.同时,凯撒在三月二十一日为他的军队举行拔除不祥的祝典。次日,他把他的全部军队带了出来,走到离开他营寨五罗里的地方,按战斗的阵列布置下来,距西皮阿的营寨约两罗里。后来看到尽管自己对敌人的挑战已经很频繁,时间也已经很长,他们仍不出来应战,他就把军队重领回营去。次日,他移营向萨苏拉镇赶去,西皮阿在那边有一支努米底亚驻军,而且把他的粮食积储那边。拉比努斯看到这事时,带着骑兵和轻装兵赶来扰挠凯撒的后军,而且把用车子载着货物的随营小贩和商人们的辎重截了去。这使他更加增了勇气忠于更靠近,更大胆地进逼我方的军团了,他认为我军的士兵身负重荷、行李累赘,都已经很疲劳,不会再发生战斗。这事并没出凯撒所料,他早已下令每个军团必须有三百个人轻装前进。这时,他下令派这些人上去对付拉比努斯的骑兵,支援自己的骑兵队。于是,拉比努斯一看到连队的标帜,心慌起来,马上把骑兵调回头去,灰溜溜地逃走。他们中有很多人被杀死,还有不少人受了伤。我军团士兵返回到自己的队伍那边,重新开始上路。拉比努斯不肯放弃追赶,仍旧隔着一段路,在我军的右侧沿着丛山峻岭跟随我军前进。

    76.当凯撒到达萨苏拉镇时,他杀掉了西皮阿的那些守卫,敌人差不多就在旁边看着,但却不敢上来援救自己方面的人。在那边负责的是西皮阿的一个留用老兵普布利乌斯·科涅利乌斯。他英勇地作了一番抵抗,但在大批人围攻之下被杀死,市镇被攻占下来。就在那边,凯撒把粮食分给了士兵,次日赶到提斯德拉镇。这时,孔西狄乌斯正带着一支庞大的驻军和由他自己的角斗士组成的卫队驻在那边。凯撒观察了该镇的地势,由于那边的饮水不足,使他不能对它发动进攻,他马上就从那边出发,在离开水源约四罗里的地方扎下一座营,在第四更时又再从那边出发,回到他在阿伽尔的那座营寨。西皮阿也采取同样的行动,把自己的部队带回原来的那座旧营。

    77.同时,处在尤巴的王国的最边远沿海地区、而且一向习惯遵从他的法令和统治的塔贝那人,杀掉国王的守军,派使者来见凯撒,把他们自己已经做了的事情报告他,恳切要求罗马人民看在他们为罗马人出的力份上。在这生死攸关的时候,出手帮助他们。凯撒表示赞赏他们的做法,派马尔基乌斯·克里斯普斯带三个营、一些弓箭手和许多作战机械到塔贝那去担任驻防工作。就在这时候,所有各军团中过去因为生病没能来,或请假离开队伍的全部士兵,这时都在一次航程中渡海到阿非利加凯撒处来了,计有四千士兵、四百骑兵、上千的射石手和弓箭手。因而,他把这些部队和他的全部军团都拉出来,在一处离开他自己的营寨五罗里、离开西皮阿功营寨真正只有两罗里的平原上,按战斗的阵列布置下来。

    78.在西皮阿的营寨下方,有一座叫特格亚的市镇,他经常在那边驻有一支约二千名骑兵的守卫队。这时,他把这支骑兵在这座市镇的左右两侧一线布列开来,他自己又把军团领出营来,前进了距自己的防御工事至多不过一罗里的样子,在一座山的山坡下部布下阵来。过了一会,西皮阿还是留在原处一动不动。凯撒看到白天将在一无作为中白白浪费过去时,就命令自己的骑兵队去进攻在市镇旁边守卫的敌人骑兵,还派一些轻装兵、弓箭手和射石手去支援他们。当进攻开始,凯撒的骑兵策马飞奔,竭力冲击时,帕基德尤斯一面把他的骑兵向两侧伸长展开,以便有机会把凯撒的骑兵队包围起来,一面仍旧极勇猛、极激烈地战斗。凯撒看到敌人的战斗方法,就命令正列阵站在离开这场战斗最近的那个军团,把军团里一向轻装着的三百名士兵抽出来,上去支援骑兵。同一时刻,拉比努斯也派骑兵上去支援自己的骑兵、让那些没受过伤。精力充沛的骑兵把受伤和疲劳的替换下来。后来凯撒的四百骑兵抵挡不住数达四千人的敌军的压力。还被努米底亚的轻装兵伤了一些人,就稍稍后退了一些。凯撒又派另一翼的骑兵迅速去支援那些应付不过来的人。这就鼓舞了他的部下,他们合力向敌人冲去,使他们四散溃逃,把敌人杀死许多人,伤的也不少,一直追出三罗里,把他们逐到山上,才退回自己的阵地。凯撒直停留到第十刻时,然后列着战阵,一无损失地退回自己营里。在这一役中,帕基德戈斯被一支重矛穿透头盔,头上受了重伤。敌人的一些领袖和所有他们最勇敢的人,不是被杀,就是受了伤。

    79.凯撒看到,随便用什么办法也不能把敌人引到平地上来,使他们冒险把军团投人战斗,同时由于缺乏饮水,也不能把自己的营赛推进到离开敌人更近一些的地方去,再加还看到敌人的敢于轻视他,并不是因为他们自传勇敢,只是欺他缺水。他就在四月四日第三更时,离开阿伽尔。在夜里行军了十六罗里之后,在靠近塔普苏斯的地方扎下营。维吉利乌斯正统率着一支很庞大的军队驻在那边。就在同一天,凯撒开始围攻这座市镇,并在许多合适方便的地方布置下防守的部队,使敌人不能闯进来接近他,或者占领在包围圈里的地方。西皮阿知道了凯撒的计划,为了避免丧失最忠于他的塔普苏斯人和维吉利乌斯这样的奇耻大辱,他迫不得已只能出于一战了,因而立刻沿着高地,跟随着凯撒前进,在距塔普苏斯八罗里之外,筑两座营寨停驻下来。

    80.那边有一片盐池,在它和大海之间,隔有一条不到二罗里半的狭窄陆地,西皮阿企图进入这条狭窄的走廊地带,从这里赶去援助塔普苏斯人。但将要发生什么事情瞒不过凯撒的眼睛,前天他就已经在那地方造起一座碉堡,还留下三个营在那边担任守卫。他自己则带着其余的部队建造起一座新月形的营寨,并且用一系列的围困工事包围了塔普苏职同时,西应阿的打算落空后,他从北面绕过这个盐池,经过第二天一天一夜行军,天色破晓时,在距上面所说的营寨和工事不远的地方扎下营,并筑好工事,离开海岸约一罗里半。当这事报告给了凯撒时,他把军队从正在劳动的工事上抽了回来,留下两个军团交给代行执政官阿斯普雷那斯守卫营寨,他自己带着轻装的部队,迅速向那地方赶去。他把舰队也留一部分在塔普苏斯海上,命令其余的舰队都航行到敌人背后去,尽量靠近海岸,等待凯撒发出的号令,要他们等到号令一发出时就出其不意地在敌人背后突然大声呐喊,使敌人吓一大跳,不得不惊慌失措、狼狈不堪地回顾背后。

    81.凯撒到达那边,一看到西皮阿的战阵就布列在自己的壁垒前面,战象分别布置在左右两翼,但仍旧有一部分士兵在毫不怠慢地修筑工事。凯撒把自己的军队布列成三列,第十、第七两个军团放在右翼,第八和第九两个军团放在左翼,再在这两翼各放置第五军团的五个营,作为第四列,用以对付战象,他的弓箭手和射石手都布置在两翼,轻装兵则穿插在骑兵中间。凯撒自己匆忙地徒步在士兵们的周围巡转,提醒老兵们不要忘记过去战斗中的勇敢,用鼓舞人心的话来激励他们的斗志。对于新兵,因为他们从来没在正式的战斗中交锋过,他鼓励他们模仿老兵的勇敢,要竭力争取一场胜利来使自己在荣誉上、地位上、声名上和他们比美。

    82.凯撒正在军队四周到处巡转时,注意到在壁垒附近的敌人非常激动不安,他们惊惶地一会儿这里、一会儿那里乱跑,忽而退进营门里去,忽而又乱七八糟地一哄而出。当别的一些人也开始注意到这一点时,凯撒的副将们和留用老兵们马上都要求他立刻发出号令去,不要再犹豫,说:这是不朽之神在预示要给他一场决定性的胜利。凯撒还在迟疑;反对他们这股热情和干劲,反复声明他不喜欢用突然出击的办法开始战斗,而且一而再、再而三地压住自己的阵脚不让乱动。但在右翼,一个号手在大家的迫促之下,不经凯撒的命令就突然开始吹起进攻号来。这一下,每个营都开始向敌人冲去,尽管百夫长们在前面迎头拦住,竭力阻止士兵们,叫他们不要在统帅没发命令时冲上去,但毫无用处。

    83.当凯撒知道士兵们的激动心情已经不再可能压制时,就用“祝你胜利”作为信号发出去,一面推动自己的马,急速向敌人的第一列冲去。同时在右翼,射石手和弓箭手集中大量矢石,向象群发射过去。这一来,这些畜牧被投射过去的飞石、石块、铅球发出来的嘘嘘响声吓得回头就跑,从密密集合在它们背后的大批自己的部队和管养人员身上践踏过去,迅速朝着只完成了一半的壁垒大门冲进去。和象群布列在同一翼的毛里人骑兵。一看到自己仗以掩护的象逃走了,就也跟着溃走。象群被迅速地赶走之后,军团士兵占据了敌人的壁垒,少数在那边激烈抵抗的人都被杀死,其余的飞奔逃向前一天他们从那边出发来的那座营寨里去。

    84.我认为不应该把第五军的一个老兵的英勇事迹略去不提。右翼有一头象受了伤,痛得狂怒起来,冲向一个赤手空拳的随营勤杂人员,用脚把他踩倒在地上,再又用膝跪在他身上。竖起它的长鼻子,东摇西晃,大声嘶吼着,想用自己的重量把他压死。这种情况使这个士兵看不下去,他就全身披挂着挺身奔向那畜牲。当那头象看到他手里拿着武器迎面赶来时,它放掉了那尸体,用它的鼻导把这个士兵卷了起来,举到空中。这个士兵看到在这种巨大的危险之中只有自己采取坚定果敢的行动,才有希望得救,就用剑竭尽自己的力量不停地砍那卷住自己的长鼻子。阵阵剧痛使那象丢下这个士兵,大声吼叫着转过身去,逃回到其余的畜牲那里去。

    85.同时,在塔普苏斯坦任守卫的那些人,不知是想去援助自己人,还是想放弃这个市镇,逃出去自寻生路,他们从面向着海的那个城门突围出来,然后,在水深没到肚脐的海中涉水走了一段路之后,再登陆到岸上来。但是他们被在营中的奴隶和侍役投掷的石块和投枪阻挡住不让近岸,因而,他们又回到镇里去。同时,西皮阿的军队已经被打得一败涂地,在战场上到处溃不成军,飞奔逃走,凯撒的军团紧紧跟在后面追逐,不让他们有聚集拢来的时机。当他们逃到自己奔去的营寨,想在那边略事喘息后再一次进行自卫的时候,他们希望能找到一个领袖,准备找到之后在他的领导和指挥下进行战斗。但是。他们发现那边已没有一个人在从事守卫,他们马上又掷掉武器,向国王的营寨里逃去。当他们到达那边时,发现它也已经在凯撒的军队手里。在一切得救的希望都落空之后,他们在一座山上停驻下来,按照军队中敬礼的方式,把武器低垂下来。他们这样做。心里也许是够痛苦的了,但还是救不了他们。因为凯撒的老兵们胸中燃烧着愤怒和痛恨,激动得不顾一切,不但不肯接受劝导,饶恕敌人。甚至还杀掉或弄伤自己队伍里的几个有身分的罗马人,骂他们是“带头出坏主意的人”,其中有担任过财务官的图利乌斯·卢字斯,他被一个士兵故意地用一支轻矛戳死;同样还有一个庞培·卢号斯,他的一只手臂被剑砍伤,要不是他急忙奔到凯撒身边,几乎被当场杀死。这种事情一发生,许多多马骑土和元老都害怕起来,纷纷退出战斗,免得也被这些士兵杀掉。这些人正因为已经得到辉煌的胜利而在肆无忌惮,自以为无论犯什么罪行都会看在巨大的成功面上得到宽恕。因而,虽然所有这些西皮阿的士兵都在要求凯撒接受他们投诚,虽然凯撒自己也在一旁看着,要求士兵们宽恕他们,但他们一个人都没留下来。

    86.凯撒占领了三座营寨,杀死一万敌人,而且击溃了一支庞大的军队,然后返回营寨,自己只损失五十名士兵,受伤了少数人。他立刻一路赶去,在塔普苏斯城前停驻下来,然后把他俘获的六十四头全身披挂、带着射塔和各式装饰品的战象,在市镇前一字排开,他这样做的目的是要看看维吉利乌斯和那些和他一起被围困在城里的人,在看到这些他们同党失败的证据时,是不是能停止顽抗。然后,他本人也向维吉利乌斯作了呼吁,向他提到了自己的宽大和仁慈,要求他投降。后来,当他看到对方不给自己答复时,即离开那个市镇。次日,在向神献祭了之后,他在城里人望得见的地方召开了士兵大会,他表扬了士兵们,奖赏了全部老兵,当场就在将坛上给那些最为勇敢的人和有卓越功绩的人发了奖酬。于是。他立刻离开那边,派代行执政官雷比卢斯带三个军团留下来围攻塔普苏斯,格奈乌斯·多弥提乌斯带两个军团留下来围攻孔西狄乌斯在主持的提斯德拉,然后又派马尔库斯·墨萨拉带着骑兵先行,奔向乌提卡,他自己也急急向那边赶去。

    87.同时,西皮阿的那些从战斗中逃生出来的骑兵,向乌提卡的方向逃去,到达帕拉达镇。这时,凯撒胜利的消息已经先传到镇上,因此居民拒绝他们进城。他们用武力攻下了它,在市场中心积起一堆木柴,把镇上人的所有财产都放在上面,点火烧起来,然后把市镇里的居民也都捆起,不问地位贵贱,不问年纪大小,统统活生生的往火中投去,让他们受这种残酷的惩罚。然后,他们一直向乌提卡奔去。前一段时间,马尔库斯·加图认为这些乌提卡人曾经从凯撒的尤利乌斯法中得到过好处,所以只是半心半意地支持他,因而,他把城里的平民赤手空拳的赶到城外,就在贝利加问外筑了一座营寨,也有小小的壕堑防护着,周围都布置了守卫,强迫他们住在里面。然而该城长老会议人员他却扣押着不放。西皮阿的这些骑兵开始攻打这座营寨,因为他们知道这些居民都偏袒着凯撒这一方。如果能杀死他们,就可以借他们的毁灭来消除自己的心头之恨。但那些乌提卡人已经从凯撒的胜利中得到鼓舞,他们用石块和棍棒击退了这些骑兵。这样,当这些骑兵发现没法占领这座营寨时,他们就冲进乌提卡城,在那边杀死了许多居民,攻打和抢劫他们的房子。加图没有丝毫办法能说这些人和自己合作守卫这座城市,停止屠杀和抢劫,他知道他们的来意,就每人发给他们一百塞斯特斯,以平息他们的贪欲。福斯图斯·苏拉也同样地做,把自己的钱拿出一部分来送给他们,然后跟他们一起离开乌提卡,到尤巴的王国里去。

    88.同时,许多人从逃亡途中来到乌提卡。加图把所有这些人,连带捐钱给西皮阿作战的那三百个人,都召了来,鼓励他们释放奴隶,守卫城市。当他知道其中一部分人同意他,另外一部分人已经心慌意乱,打算逃跑时,他就不再多谈这件事情,只是把船只分配给他们,好让他们想到什么地方去就动身去。在把一切事情都仔细安排好之后,他又把自己的孩子托付给这时正在担任他的财务官的卢基乌斯·凯撒,然后进入自己的寝室,面容和谈吐都和往常一样,使人毫不怀疑。他暗暗带了一把匕首到他床上,就用它自杀。当他倒了下来,但还没断气时,他的医生和奴隶们因为疑心出了事情,闯进寝室,包扎好他的伤口,制止了流血。但是,他又自己动手极狠心地扯开伤口,坚决结束了自己的生命。尽管从党派的角度出发,乌提卡人痛恨他,但因为他那种少有出奇的正直、因为他那种完全不同于其他领袖的表现,而且还因为他给乌提卡建筑了出色的防御工事,增加了碉楼等等,所以他们仍旧依礼安葬了他。加图自杀后,卢基乌斯·凯撒认为这件事情可以给自己捞到点好处,他把人民召集起来开一个大会,鼓励大家把所有的城门都打开,说:他对盖尤斯·凯撒的仁慈很有信心。因而,城门打开了,他自己跑出乌提卡,赶来迎接统帅凯撒。墨萨拉正奉命来到乌提卡,就在所有各个城门都布置下守卫。

    89.同时,凯撒从塔普苏斯出发,到达乌斯塞塔,西皮阿在这里积储了大量粮食、武器、矢矛和其他物资,只有少数人在守卫。他到那边就占有了这批东西,马上又向哈德鲁墨图姆赶去。他丝毫未遇抵抗就进入该城。他察看了那边的武器、粮食和金钱,并饶赦了这时正在那边的昆图斯·利伽里乌斯和盖尤斯·孔西狄乌斯 ——前面提到过的孔西狄乌斯的儿子——的性命。然后就在同一天,他离开哈德鲁墨图姆,留下利维涅尤斯·雷古卢斯带一个军团在那边守卫,自己急匆匆的向乌提卡赶去。在路上,卢基乌斯·凯撒遇上了他,立刻跪在凯撒脚下,求他单只要开恩饶了自己的性命,此外别无它求。凯撒一则出于自己的本性,再则根据一向的原则,很爽快地一口答应了他。同样,他还象平常习惯的那样,饶恕了凯基那、盖尤斯·阿特尤斯、普布利乌斯·阿特里乌斯、卢基乌斯·克尔拉父子、马尔库斯·厄皮乌斯、马尔库斯·阿奎努斯,并且还有加图的儿子和达马西普斯的孩子们,他于是在大约掌灯的时候到达乌提卡,就在城外度过当夜。

    90.次日清晨,他进入该镇,召集了一次大会,他向乌提卡的居民们讲了一番鼓励的话,对他们对自己的一片热忱表示了谢意。对于在那边经营事业的罗马公民,以及那三百人院中捐钱给瓦鲁斯和西皮阿过的人,他说了许多指摘他们的话,而且详尽地叙说了他们的罪状,但最后还是告诉他们尽可以出来露面,不用害怕,无论如何他将饶了他们的性命,只是他要把他们的财产拿出来出售,至于他们中间如果有人想把自己的财产仍旧买回去,他就将把这笔财产作为已出售入帐,而且把收入的钱记人罚款项下,以便他们今后可以安全无恙地保有它们。这些吓得面容惨白的人考虑到自己的所作所为,正担心自己的性命难保,这时突然得到了活命的机会,高兴万分地接受了这些条件,要求凯撒定出一个数目,由这三百人用集体的名义来偿付。因而,他要求他们付给罗马人民两亿塞斯特斯,在三年里分六次付清。他们毫不推倭地接受了,还欣然向凯撒表示感谢,说这是他们重新做人的一天。

    91.同时,国王尤巴和佩特雷尤斯一起逃出战场,白天隐藏在农舍里,晚上赶路,最后终于赶到自己的王国,来到扎马。这里有他的住所,他的妻妾们和孩子们也都住在这里。他还从全王国各地把所有钱财和珍贵的东西都集中在这里,而且从战争一开始就筑起强大的工事来防守它。但镇上的居民事先已经听到盼望已久的关于凯撒肚利的消息,为此他们关起城门,不让他进去,原因是这样的,原来国王在刚开始和罗马人为敌时,就收集了大量木柴,在扎马的市场中心积成一个大堆,如果不巧战争失败,他就准备把自己所有的东西都堆放上去,然后杀掉全部公民,都丢进去,点起火来,最后他本人也爬到顶上去自杀,和他的子女、妻妾、人民和全部皇室财宝,同归于尽。尤巴在城门前逗留了很长一段时间,起初是摆出国王的架势来威胁扎马人民,后来知道这没有用,改为恳求他们让他进自己的家宅,当他看到对方已经下定决心,不管威胁还是恳求都不能更成功地打动他们接受他进去时,他最后只能要求他们把自己的妻妾子女还给他,好让他带走。后来看到镇里的人还是完全不答理他,他只好一无所得地离开扎马,带着马尔库斯·佩特雷尤斯和少数骑兵赶到他的一座乡间别墅里去。

    92.于是,扎马人派使者到乌提卡来见凯撒,要求他在国王还设集合起一支兵力来进攻他们之前,派援军去给他们,还说,他们已经准备好了,只要一息尚存,就会把那座城市和他们自己为凯撒保存下来。凯撒表扬了使者,打发他们先回去报告,说自己跟着就来。他在次日带着骑兵离开乌提卡,迅速进入国王境内。一路上有国王部队里的许多首领赶到凯撒这里来,请求他饶恕自己。他宽恕了这些恳求的人,然后进入扎马。同时,有关他的宽厚、仁慈的消息,已经传到各地,差不多所有这个王国的骑士都赶到扎马来看凯撒,他消除了他们感到的恐惧和威胁。

    93.当这些事情在双方间进行时,正带着自己的奴隶、角斗士和一批盖图利人在负责守卫提斯德拉的孔西狄乌斯,听到自己的同党被歼,还听到多弥提乌斯和军团已经来到,使他心惊胆战,感到安全已经绝望,就放弃了这座市镇,偷偷带着少数蛮族部队和大批金钱,迅速逃到尤巴的国境里去。在路上,伴随着他的那些盖图利人贪图他的财富,把他杀死后分头奔向各自能去的地方去了。同时,盖尤斯·维吉利乌斯知道陆路和海路都已被封闭,无法再利用,同时还知道,自己的同党不是已被杀死就是逃走了;马尔库斯·加图已经在乌提卡自己结束了自己的生命;国王已经被自己的国人抛弃,受到大家蔑视,正在到处流浪;萨布拉和他的军队已经被西提乌斯歼灭;凯撒已经一无阻碍地进入乌提卡;而且过去的那支庞大的军队,现在已经不复存在。他只好接受了正在围困他的代行执政官卡尼尼乌斯对他和他的子女提出的保证,把自己和自己的一切、以及这座城镇都交给了这位代行执政官。

    94.同时,所有城镇都闭门不纳的国王尤巴,对自己的安全感到绝望。最后,为要使人们看起来他们死得很勇敢,在和佩特雷尤斯宴饮了一番之后,两人用剑决斗起来,比较强悍的尤巴很容易地一剑刺死了比较文弱的佩特雷尤斯,然后,尤巴竭力想用剑刺进自己的胸膛,但没有成功,他要他的一个奴隶把他杀死,终于达到目的。

    95.当时,普布利乌斯·西提乌斯已经击溃尤巴的总管萨布拉的军队,并且杀死了萨布拉本人,这时他带着少数军队,通过毛里塔尼亚,在赶到凯撒这里来,路上恰好遇到福斯图斯·苏拉和阿弗拉尼乌斯。这两个人正带领着抢劫乌提卡的那支军队,大约有一千人,在向西班牙赶去。西提乌斯在夜间迅速布置好埋伏,于天色黎明时向他们发动攻击。只少数走在前面的骑兵逃掉,其余的不是被杀,就是投降了。西提乌斯活捉了阿弗拉尼乌斯和福斯图斯,以及福斯图斯的妻子儿女民不多几天以后,军队中发生了争执,福斯图斯和阿弗拉尼乌斯都被杀死。至于庞培娅,以及她和福斯图斯生的孩子,凯撒饶了他们的性命,还允许他们保留自己的财物。

    96.同时,西皮阿、达马西普斯、托夸图斯和普莱托里乌斯·鲁斯提安努斯,正乘着几条战舰想航到西班牙去,经过长时期的风浪颠簸。他们飘泊到王家希波民西提乌斯的舰队这时正停泊在那边,西皮阿的这少数几条船马上被西提鸟斯地多得多的舰只包围击沉。西应阿和上面刚提到名字的那些人,都同归于尽。

    97.同时,凯撒在扎马拍卖了王家的财产。还把那些虽是罗马公民、却以武力对抗罗马人民的人的财产也卖了出去。他把奖酬发给了倡议把国王关在城外的那些扎马居民,并把王家的税收包了出去,还把这个王国改成一个行省。然后,把盖尤斯·萨卢斯提乌斯留在那边,以代行执政官的头衔掌握军政大权之后,他离开扎马返回乌提卡。在那边,他把在尤巴和佩特雷尤斯手下统带军队的人的财产全部出卖。而且,作为罚款,他向塔普苏斯人索取二百万塞斯特斯向他们的侨民组织索取三百万,同样向哈德鲁墨图姆人也索取三百万,向他们的侨民组织索取五百万。但他却保护他们的城市和财产不受侵犯和劫掠。至于勒普提斯人,他们的产业几年前曾经遭到过尤巴的劫夺,但在他们派代表们到元老院去提出控诉后,通过元老院指定的仲裁人,已把这些产业还给了他们。凯撒这次叫他们每年交付三百万罗磅撤揽油,因为在这次动乱开始时,由于他们的领袖们之间的互相倾轧,曾经和尤巴缔结了同盟,用武器、军队和金钱支援过他。至于那些提斯德拉人,则因为他们这个城镇境况不佳,被罚了一笔粮食。

    98.作好这些安排后,他于六月十三日在乌提卡登上自己的舰队,两夭以后到达萨丁尼亚的卡拉利斯。在那边,他因为苏尔基人曾经接纳过那西狄乌斯和他的舰队,还提供给他过军队,他命令他们交出十万塞斯特斯罚款,还罚他们把过去交的什一税改为交纳八分之一,他并且出售了少数人的产业。然后他在六月二十七日登船离开卡拉利斯,沿着海岸航去,风浪使他在几个港口作了耽搁,二十七天以后才到达罗马城。

    西班牙战记

    1.法尔那克斯已经征服,阿非利加已经收复,至于战场上和小格奈乌斯·庞培一起逃出去的那些人……他乘凯撒为了举办演出耽搁在意大利的时候,占据了远西班牙……为了便于集合起一支守卫部队来从事抵抗,庞培开始向所有这些邦的忠诚呼吁,请求援助。这样,部分靠恳求,部分靠强制,使他能够凑集起一支很大的兵力,蹂躏起行省来。在这种情况之下,有一些邦自动派援兵去给他,同时又有一些邦对他关上城门。在这些邦中。如果有一个城镇被他用武力硬攻下来时,城里的一些富翁,尽管他们过去曾经为老格来乌斯·庞培出过力,但由于他们拥有巨额财富,因而还是被寻出这样那样理由来,置之死地,好把他的钱拿出来让这些强徒分赃。这种做法使少数人从敌人身上弄到了好处,他们的资产大大增加,但却使反对庞培的那些邦更加频繁地派使者到意大利来为自己求救兵。

    2.这时,正在第三次担任独裁官、而且已经预定担任第四次的盖尤斯·凯撒,在动身出发之前,先已完成了许多工作。(现在,为了很快结束战争,他马上迅速向西班牙赶去。背弃庞培的那些科尔杜巴人派来的使者,正好逢上凯撒。他们报告凯撒说:科尔杜巴城可以在夜间攻下来,因为庞培本来就是乘对方出其不意的时候占领行省的,加之,庞培已经在所有各地都布置了信使,以便把凯撒到来的消息报告给他,从这上面就可以看出他对凯撒到来怀有的恐惧。他们此外还讲了许多娓娓动听的座由。为此,凯撒把他们到来通知原先就在那边统率军队的两位副将星图斯·佩狄乌斯和昆图斯·法比乌斯·马克西穆斯,并且命他们用在本省征集起来的骑兵来支援他。但他到达他们那边时,迅速得出于他们的预料之外,因而他所希望要的骑兵支援,没有能得到。

    3.在那时候,小庞培的弟弟塞克斯图斯·庞培,正带着一支驻军在驻守被认为是行省首府的科尔杜巴。小格奈乌斯·庞培自己则在攻打乌利亚镇,已经差不多在那边耽搁了好几个月。一听到凯撒到来,使者们瞄过格奈乌斯·庞培的哨岗。偷偷赶到凯撒区里,要求他尽快派援军到他们那边去。因为这个镇一向对罗马人十分忠诚,凯撒很快就下令六个营和一部分骑兵在第二更出发,司时派一个在这个行省很有名、对这个行会也很熟悉的人卢基乌斯·维比乌斯·帕基埃库斯统率着这支部队前去。当他赶到格奈乌斯·庞培的哨岗那边时,正好逢到暴雨夹着狂风迎面通来,风雨使天变成漆黑一团,不但进入镇上去的通路无法辨认,简直就连近在身边的人也都无法看见。但这些困难却给了他们极大的方便。他们在这种情况下到达那边时,维比乌斯命令骑兵们两个两个一同前进,迅速穿过对方的岗哨,直向市镇奔去。正当他们从敌人的防哨中穿过去时,有人问他们是谁,我军中有一个人回答,叫他不要作声,说:他们这时正在赶去试登敌人的城墙,夺下这个市镇。这些岗哨一则是由于风雨交加,无法谨慎地执行自己的警戒任务。再则也由于给这个答复蒙住了。当到达城门时,他们发出暗号,被镇上的人接了进去。一部分步兵就留在城里布置开,骑兵则一声发喊冲出城来,杀奔敌人的营寨。这一突如其来的袭击完全出乎敌人意料,使得在这个营寨中的大部分人都以为自己已经落人对方手里。

    4.给乌利亚派出这支援军后,凯撒为了促使庞培放弃攻打该镇,他自己也迅速向科尔杜巴赶去。在行军途中,他派一些勇敢的重装兵陪同着骑兵在前面先走,在走到城里的人已经能望得到他们的地方,这些人就退藏到马队中去,这种行动,科尔杜巴人是无法看见的。当他们走近城墙时,大批军队从城里赶出来,想击溃我军的骑兵,我们上面说的这些重装兵跳下马来,大战一场。因而,在多得不计其数的敌人中、只有极少数逃回城去。这场挫折使塞克斯图斯·庞培非常惊吓,派人送信去给他的兄长,叫他赶快来援助自己,千万别让凯撒起在他到来之前先把科尔杜巴占了去。因而,格奈乌斯·庞培被他弟弟的信弄得坐立不安,就在几乎快要攻下乌利亚的时候,开始带着军队一路向科尔杜巴赶去。

    5.凯撒来到拜提斯河时,因为河水很深,无法渡过,他用装满石块的箩筐沉入河中,在它们的顶上再架上柱木,就这样筑起一座桥,把他的军队带过河去,进入分成三部分的营寨。他驻营的地方就在桥的近旁,正好面对着那座市镇,正如我们上面所说的分为三个部分。当庞培带着他的军队来到那边时,他照凯撒的样子,也在他对面安下营来。凯撒为了要把庞培和那座市镇、以及他们彼此间的交通往来切断,开始筑一道工事,向桥梁那边伸过去。庞培也采取同一做法。这样,这两个首领之间开展了一场看谁先占有这座桥梁的竞赛。就在这场竞赛中,每天都有小规模的战斗发生,有时以这方占上风、有时以那方占上风告结束。当这种小接触发展成为大规模战斗,双方开始短兵相接时,由于大家都急于要守住自己的阵地,寸步不让,在桥边挤成一团,在他们挤向河边时,一失足便跌到河里去。在这方面,双方势均力敌,不仅死者相继,一批接一批,而且尸体抗藉,一堆又一堆。这样,一连度过了好几天。凯撒急于要把对方引到平地上来,不管用什么办法,尽可能快地作一次决战。

    6.看到他的敌人根本不愿意出来作战,凯撒把他的军队领过河去,并且命令在晚上把火点得通明,就象过去引对方离开乌利亚那样,这次想再把他们引到平原上来。他就这样向庞培最坚固的一个据点阿特瓜赶去。当庞培从逃亡去的人口中得知此事时,赶紧在当天抓紧时机,离开山间的隘径,带着一大批车辆和满载的牲口,退到科尔杜巴。凯撒开始用一道工事和一系列封锁工程围攻阿特瓜。这时,人们给他送来了关于庞培的消息,说他就在那天出发了。为了对他的来临作好防御的准备,凯撒占据了几处碉堡,其中有几处可以布置骑兵,有几处可以布置步兵,作为据点和哨岗,保卫自己的营寨。谁知庞培到来时正值清晨,大雾弥漫,在一片惊陇中间,庞培用几个步兵营和几队骑兵包围了凯撒的骑兵,大肆斩杀,几乎只有很少人逃出这场屠杀。

    7.次日晚上,庞培烧掉他的营寨,渡过萨尔苏姆河,穿过山谷,在阿特瓜和乌库比这两个市镇之间的一处山上扎下营。这时,凯撒已经完成围困工程和其它攻城所需的工事。着手建筑壁垒和后车。那地区有很多山,天然地势不利于军事行动,它被一条平原即萨尔苏姆河盆地一分为两,但这条河还是距阿特瓜比较近些,约为两罗里,就是在这个市镇一面的一座山上。庞培扎下他的营寨,这两个市镇同样可以望到它。但他不敢去救他的同党。他拥有十三个军团的鹰帜和旗号,在这中间,他认为最能坚强地支持他的是从特雷博尼乌斯手下叛变过去的两个本地军团,另一个是从住在本地区的罗马殖民中征集起来的,第四个是他从阿非利加带过来的原属阿弗拉尼乌斯的军团。其余的都是由逃亡者或同盟军组成的。至于轻装兵和骑兵,则无论就勇敢而论还是就数目而论,我军都要比他们强得多。

    8.此外,还有别的原因在促使庞培把战事长期拖下去。那地方是一片高地,极适合给军营布设防御工事,再加因为差不多整个远西班牙地区都是很肥沃的地方,水源很充沛,所以要围困它是一件徒劳无功和极为困难的事情。而且由于那边常常发生蛮族入侵的事,因之在距离市镇较远的所有地方,都有碉楼和防御工事扼守着,就象在阿非利加的那样,它们顶上盖的是泥灰而不是瓦。同时它们上面还有了望塔,因为它们处在很高的地方,所以四面八方都一望可及。再加,这个行省的大多数市镇几乎都建立在地势很高峻的地方,受到山岭的保护,要接近它就得攀登很困难的道路。正是由于这种天设地造的形势,才阻止了别人的进攻,使得西班牙的这些城镇不易被敌人占领,在这次战争中也是这样。这时,庞培的营寨扎在上述的两座市镇阿特瓜和乌库比之间、这两座市镇上都可以望得到的地方。距离凯撒的营寨大约四罗里,有一座天然隆起的小丘,叫做波斯图弥乌斯营地,凯撒在那边筑起一座堡垒,以资防守。

    9.庞培注意到这个受天然地形掩护的堡垒,正和他处在同一条山岭上,而且离开凯撒的营寨还有一段距离。他又看到,凯撒和它之间隔着一条萨尔苏姆河,他认为地形这样崎岖难行,凯撒决不会以为自己应该派军队去支援它。他对自己的这种想法深信不疑,在第三更时,开始赶去攻打这座堡垒。他们一到那边,突然发出一阵喊声,开始投掷大量轻矛,使我军大部分人受了伤。正当我军在营寨里展开反击,消息已被带到大营里去给凯撒,他带着三个军团出发,来援助正在勉强支持的我军。他赶到他们那边时,敌人非常惊慌,纷纷溃散,很多人被杀死,还有一些人被俘,包括两个百夫长。此外又有许多人抛掉自己的武器,飞奔逃走。我军捡回他们的盾牌有八十面。

    10.接着下一天,阿圭提乌斯从意大利带着骑兵来到。他带来五面萨贡提亚人的军旗,这是他从这个镇上的居民那里夺取过来的。我没有在前面该提的地方提到还有一支骑兵,已经由阿斯普雷那斯率领着赶来凯撒这里。就在那一夜,庞培烧掉自己的营寨,开始向科尔杜巴赶去。一个名叫因多的国玉,当时正领着自己的军队和骑兵一起行动,在追逐敌军队伍时,追得过分热心了些,路上被本地军团捉住并杀死。

    11.次日。我军骑兵朝着科尔杜巴的方向追出很远,追的是镇上运送给养去给庞培的运输队。他们中有五十个人被俘虏,连他们的载运牲口一起被带回我军营寨。这一天,庞培方面的一个军团指挥官昆图斯·马尔基乌斯投奔到我们这边来。晚上第三更,镇上发生了激烈的战斗,投掷了许多火种。就在这个时间以前,一个罗马骑士叫盖尤斯·率达尼乌斯的,从敌人营寨里投奔到我们这边来。

    12.在次日,本地军团中的两个士兵被我军的骑兵捉了来,他们自称是奴隶。但他们一到就被一些过去曾经在法比乌斯和佩狄乌斯部下、后来又背弃了特雷博尼乌斯的士兵们辨认出来。这次,再没饶赦的机会轮到他们,他们马上被我军杀死。在后一时期,还截获几个信差,他们都是从科尔杜巴派出来,赶到庞培那边去的,但走错了路,跑到我军的营寨里来了。把他们的手砍掉后放走。在第二更,敌人还是和往常的习惯一样,从市镇里投出大量火种和矢石,经过很长一段时期,伤了我们许多人。黑夜过去时,他们又趁第六军团正在忙于修筑工事时,突然冲出城来攻击他们,开始了剧烈的战斗。但尽管有镇里的人踞高临下在支援他们,他们的冲击还是被我军顶住了。当他们开始突围出来时,我军虽然处在很不利的低处,仍能靠自己的英勇逐退敌人,使他们遭到很大的伤亡后退进城里去。

    13.次日,庞培开始从他的营寨起,筑一道工事支线,通到萨尔苏姆河。当正在值岗的少数我军骑兵被人数较多的敌人发现了时,被他们从岗位上赶走,其中有三个人被杀死。就在那一天一个元老的儿子奥卢斯·瓦尔吉乌斯,因为他的兄弟现在庞培营中,抛掉自己的东西,骑马逃走。庞培那边的第二军团的一个间谍,被我奉捉到后杀死。同时,有铅球射出来,上面有文字说:“如果哪一天你们来攻城,我将把盾放下。”这引起了许多人的希望,他们相信自己可以毫无危险地爬上城去占领这个市镇了。就在次日,他们动手构筑一道通到城墙的工事,把该城的外墙拆掉一大段……这样,他们被镇上人看做是自己方面的人,保全了性命…… 他们要求凯撒把庞培为了守卫城市而布置在那边的重装兵除掉。凯撒回答说:他一向都是只向人家提条件,而不接受人家的条件的。当他们带着这个答复回到镇上去时,居民们发出一片呐喊声,发射了各式各样武器,沿着整个城墙开始搏斗起来。这就使得我们营中的大部分人坚决相信他们要在这天突围了。于是,那座市镇被团团围住,战斗很激烈地进行了一段时间。就在这段时间里,我军的一架重弩机的一次发射,把敌人的一座碉楼掀翻,有五个敌兵和一个通常看管弩机的仆役。在这座碉楼里毙命。

    14.就在这天的早些时候,庞培渡过萨尔苏姆河来建立了一座堡垒,没遇到我军抵抗,这就使他误以为自己很了不起,好象已经在我们的地区里占到了一块地方似的。同样,在次日,他还是用这种老办法,再向前伸进一些,伸到我军骑兵布置有哨岗的地方。我军的几队骑兵和一些轻装兵被逐出阵地,而且由于人数太少,一起被夹在敌人的大队骑兵中间击溃。这一次战役是在双方营寨都看得见的地方进行的,庞培一方更加得意洋洋地自吹自擂起来,认为我军已经越来越后退,自己已越来越跟进。然而,一当退到地势有利的地方时,我军重新象一向习惯的那样,极勇敢地接战时,他们又光只是大声呐喊,避免交锋。

    15.几乎在所有的军队中,逢到骑兵战斗时,总是会发生这种情况:即当骑兵跳下马来和步兵交锋时,从来都敌不过对方。但在这次战斗中发生的情况却与之相反,在敌人精选的轻装步兵出其不意地进逼我军骑兵时,我军骑兵在战斗中一看到这种情况,就有很多人跳下马来,于是在很短一段时间内,骑兵开始作步战,他们甚至能够一直追到壁垒边去大肆斩杀。在这次战斗中,对方一面死去一百二十三人,有不少人武器被夺走,还有许多人受伤退回营寨。我军三人被杀,步兵十二人和骑兵五人受伤。就在这一天晚些时候,按照老习惯,又开始沿着城墙战斗起来。敌人向我军守卫人员投掷了大量轻矛和火种之后,竟当着我军的面,干起最最伤天害理、惨无人道的暴行来,他们动手屠杀城里的一些让他寄居的主人,把他们从城上直接抛下来,就好象在野蛮人中那样,这在人类的记忆中是从未发生过的。

    16.在这天最后的一段时间里,庞培一方的人瞒住了我们,派一个信使来叫他们在晚上第三更时纵火焚烧我军的塔楼和工事,突围出来。于是,在投掷了大量火种和武器,费掉大半夜时间以后,他们打开了面向庞培的营寨、彼此一望可及的那道城门,用全部兵力突围出来。他们还随身带着树枝和木栅,用来填没壕堑,同样还带着挠钩,用来拆毁和焚烧我军为了过冬而造的草顶棚屋;此外他们又带了一些银器和衣服,想趁我军忙于掳掠这些东西的时候,他们可以放手斩杀,然后退到庞培营里去。庞培因为相信他们这次尝试能成功,正赶到萨尔苏姆河的对面一边,通宵严阵以待。这一行动虽然对我军士兵来说完全是件意外之事,他们还是能够依靠自己的勇敢,击退了敌人,并伤了他们许多人,把他们驱逐回城里去,他们的财物和武器也被我军夺了过来,并且活捉到一些人,第二天都处死了。就在同一时期,一个从镇上逃亡来的人说;在对镇上的居民大屠杀以后,在坑道中的尤尼乌斯责怪他们说。对镇上居民的屠杀,是他们这方面犯下的伤天害理、绝灭人性的罪行,这些居民把他们接进自己的家宅,完全没有什么对不起他们的地方,需要他们用这种残酷的刑罚来对待,用这种残暴手段来沾污宾主之谊的乃是他们自己。此外,尤尼乌斯还说了许多别的话,他的话很使这帮人惊愕。因而停止了屠杀。

    17.因此在明天,图利乌斯作为使者,陪着加图和安东尼一同前来。他对凯撒说了这样一些话;“如果不朽的神们让我做你的战士、而不是庞培的战士,使我的这种不折不挠的勇气能在你的胜利中表现、而不是在他的灾难中表现,该有多好:现在,经过重重忧患,他的声望已经如此一落千丈,使得我们这些罗马公民不但需要别人救援,而且由于国家的悲惨的灾祸。已经落到处于敌人的地位了。我们不管是在最初他军事上一帆风顺的时候,还是后来一蹶不振的时候,都没得到什么好处,反而受到军团的一次次攻击,无论在白天还是黑夜的战斗中,我们都要挨刀剑砍、挨矢矛射,庞培既把我们丢在一边,不屑一顾,你们的英勇又使我们一败涂地。现在,我们为了自己的安全向你的仁慈恳求,请你饶了我们的性命。”凯撒回答他们说: “我过去对外族人是怎样的,今后对投降了的公民同胞当然也会这样。”

    18. 使者们这时被打发回去。在他们到达城门口时、提比里乌斯·图利乌斯跑了进去,当加围也在进去,安东尼却没跟着他时,加图回到城门口一把抓住他。提比里乌斯看到这种情况,马上拔出七首,一刀刺在加图手上。因而他们逃回到凯撒这里来。就在这时候,第一军团的鹰帜手投奔到我们这边来,因而得悉在骑兵战斗的那一天,他的那个连队死掉三十五个人,但在庞培的营中却不准报导这种事,也不准谈论有人死掉的事情。有一个奴隶,他的主人在凯撒营中,自己的妻子儿女都在城里,他杀害了这个主人,然后偷偷瞒过凯撒的哨岗,逃到庞培的营里去了。……送来写在一颗铅球上的一项通知,把市镇里正在采取的防卫措施报告凯撒。因而,当这项通知已经收到,而且这个常常发射这种带有文字的铅球的人已经回到市镇里去了之后……在后来,有两个卢西塔尼亚人兄弟投奔过来、报告了庞培在会上的一次讲话,说:既然他无法赶去援救那个市镇,他们必须在晚上朝大海的方向退去,退到敌人看不到的地方。据说有一个人回答他说,他们宁愿决一死战,总比掩旗息鼓地逃给人家看好。说这番话的人马上被杀死。就在那时,有些庞培的信使在他们到镇上去的路上被捉到。凯撒把他们的信件投入城里,并且命令这些乞求饶命的人去焚烧一座镇上的木塔,说:如果做到了这个,他就一切都答应他们。谁要去烧掉这样一座木塔而不冒生命危险是件很困难的工作,当他们中的任何一个人腿上系着绳子跑近它时,都被镇上人杀掉。在同一天晚上,一个逃亡来的人报告说:小庞培和拉比努斯对屠杀镇上人这件事都十分愤怒。

    19.在第二更天,由于大量矢矛攻击,属于我军的一座木塔,从底层至第二层、第三层,都受到破坏。同在这时候,沿城墙发生了激烈战斗,镇上人乘着顺风,象上面说过的那样,把我们的木塔纵火焚烧起来。次日,一位家庭主妇跳下城墙,溜到我们这边来,说:她和她的全家已经准备一起逃到凯撒这里来,但她家里的人都被捉住杀死了。也就是在这时候,一封信从城上投下来,发现它里面写的是:“卢基乌斯·穆那提乌斯致意凯撒:反正我现在已被格来乌斯·庞培抛弃,如果你能饶我性命,我就保证把过去用在他身上的那种勇敢和坚贞,来为你效劳。”与此同时,镇上人的使者,即前次来过这里的那几个人,又来到凯撒这里,说;如果饶了他们的性命,他们将在次日献出市镇。他回答他们说:他是凯撒,说话是算数的。”因而在二月十九日,他占有了这座市镇,被欢呼奉为“因佩拉托”。

    20.当庞培从逃去的人口中得知该镇已被献出时,他移营向乌库比而去,环绕着那地方筑起一座座碉堡,自已开始闭守在防御工事里不出来。凯撒也移营向他的营寨靠近。就在同一时刻,一个本地军团中的重装兵,早晨逃到我们这面来,报告说:庞培召集了乌库比的居民,命令他们要仔细地考查,识别出哪些人是指望他这一边胜利、哪些人是指望对方一边胜利的。就在这个时间以前,在刚攻克的这个市镇的一处坑道里,抓到了前面说过的那个杀害主人的奴隶,他被活活烧死了。同一时间,八个重装兵的百夫长,从本地军团逃到凯撒这里来。我军的骑兵和敌人的骑兵发生了遭遇战,我军的一些轻装兵负伤后死去。那天晚上,几个侦察人质被我军捉住,其中三个是奴隶,一个是本地军团的士兵,奴隶钉了十字架,士兵砍了头。

    21.次日,有一些骑兵和轻装兵从敌人营里投奔到我们这里来。就在这时候,大约有四十名骑兵冲出来袭击我军的取水的人,一些人被杀死,其它的被活捉了去,这些骑兵中有八人被我军俘虏,次日,庞培杀掉了七十四名据说是指望凯撒得胜的人,他命令把其余的人重新带回镇里去。但他们中却有一百二十人逃出来,投奔到凯撒这里。

    22.刚好在这时间以前,在阿特瓜镇上捉到的由乌尔绍城派来的使者,在我方的几个人陪同下,出发回家,去向乌尔绍的人民报告已经发生的事情,并且询问他们对格奈乌斯·庞培还能抱有什么幻想,难道他们不看到这些被人家当做救兵接到城里去的人,反而屠杀了本地的主人,并且还犯下了其它许多罪行吗,当这些人走到乌尔绍时,除了那些本城人以外,我方人员——都是一些罗马骑士和元老——不敢轻易进入该镇,双方就以往来传话来交换意见。当使者们返回到城外我方人员的地方时,镇上人带着一批部队在后面跟上来,杀害了我方的使者。他们中只有两个人活着逃出来,把发生的事情报告凯撒……他们派侦察人员到阿特瓜去。当他们了解使者们的报告的确是真的,事实经过正如他们所报告的那样时,马上就有一批镇上的居民聚集起来,开始向那个杀死使者的人投掷石块,并且开始动手打他,因为他干的事情给自己惹来了杀身之祸。这个人好容易才脱出危险、他向镇上人要求允许他到凯撒那边去担任使者,说他能让凯撒满意。当他们给了他这个机会时,他离开那边,到外面去集合武装力量,等他凑起了相当大的兵力,他就利用阴谋,在晚上被接到城里去,在城里发动大规模时屠杀,杀死了带头反对他的那些人,把市镇夺到自己手里。就在这段时间以前,有逃亡来的奴隶报告说:镇上人的财产在被出卖;除了不束腰带的人之外,禁止人们走出壁垒;因为自从阿特瓜被攻克的那夭以来,已经有许多人在惊慌中逃到拜图里亚去,他们认为已经没有成功的希望了;如果有人从我们这里叛逃到他们那边去,就被硬编到轻装兵里去,一天赚的不到十七阿斯。

    23.在接着来的这段时间里,凯撒把营寨移近去了一些,筑一条工事支线,伸向萨尔苏姆河。正当我军在全神贯注地工作时,有许多敌人从高处奔下来冲向他们,趁我军无法抽身之际,发射大量矢矛,伤了我军不少人。这就正象恩尼乌斯所说的那样:“我军辟易数式”。因而,当我军看到自己已经退得超过往常的习惯时,就有第五军团的两个百夫长跑过河去,重新整顿了阵容。当他们正以非凡的英勇激烈搏斗,迫使大批敌人退走时,两个人中的一个被从高地上发射下来的大量矢矛杀死。他的那个同伴这时正在开始作众寡悬殊的斗争,当他发现自己已经被敌人四周团团围住,想往后退时,失足跌倒。这个英勇的百夫长阵亡时,许多敌人抢上来检取他的饰物,但我军的骑兵都已经赶过河去,把敌人从较低的地方一直赶到他们的壁垒那边去。他们过分热心地冲到对方的工事里去杀敌,但却被敌人的骑兵和轻装兵截断后路。要不是他们勇敢绝伦,可能就此被活捉了去,因为他们紧紧挤在防御工事里.骑兵简直没有一点活动余地可以保卫自己。无论在步兵还是骑兵的战斗中,都杀伤了许多人,其中还包括克洛狄乌斯·阿奎提乌斯。虽然双方的战斗是如此紧挨着进行的,但我军却除了这两位光荣牺牲的百夫长之外,一个人都没损失。

    24.次日,双方部队一起集中到索里卡里亚。我军开始建筑防线。当庞培看到他自己到距乌库比约五罗里的一个叫阿斯帕维亚的堡垒去的通路,将被我军切断,他迫于无可奈何,不得不出来应战。但他还是不肯给自己的敌人在有利的地形和他们作战的机会,他从一个小土墩上跑下来,赶去抢占一处高坡,想逼使凯撒在毫无办法的情况下只能在下面不利的地方和他作战。这样一来,双方部队便都抢着去占据那个高坡,先登上去的我军把他们阻拦住,并驱逐他们回到平地上去。这一着使我军赢得到了一场胜利,对方到处败退,我军往来斩杀,杀死他们很大一部分人。使敌人得救的是山岭而不是他们的勇敢,而且要不是暮色降临,尽管我军人数少,他们会连这些被当做救星的山岭也都守不牢。就这样,他们还是死去了三百二十三名轻装兵,一百三十八名军团士兵,至于那些丢掉武器和装备的还不在其内。这样,昨天两位百夫长的死亡,就由敌人受到的这场惩罚弥补过来。

    25.次日,小庞培的军队照老样子来到原来那地方,仍使用他们的那一套老战术,因为除了骑兵以外,即使在很有利的地方,他们的部队也不敢交锋。当我军正在工事上工作时,他们的骑兵开始冲上来进攻,同时他们那些平常总是跟在骑兵后面的军团士兵也大声喧嚷,要求让他们一显身手,为的是想使我军相信他们已经完全准备好一战了。我军从低洼的谷地向前挺进了很长一段路,在平原上地势比较有利的地方停驻下来,然而,毫无疑问,他们谁也不敢跑到平地上来和我军作战,只有一个叫安提斯提乌斯·图比奥的人,他自信自己勇力过人,开始嘲讽我军没有人可以和他相比。于是就象传说中的阿喀琉斯和门农交锋那样,意大利加的一个罗马骑士昆图斯·庞培·尼格尔从我军的阵地里跑出去,上前和他对斗。安提斯提乌斯是这样的杀气腾腾,使所有人的注意力都从工程上转移到搏斗场面上去,双方的阵列也面对面拉了开来。因为在战斗的两个人之间,彼此势均力敌,胜利谁属无从逆料,所以一时看起来好象这两个人的决斗,就是战事的最后分晓和结局那样。大家心里充满着焦急和期望,每个人都被自己这边的战士和助威者的热情所激动。这两个战士都意气风发,一直赶到平地上来战斗,他们盾上的象征自己的英雄业绩的雕饰闪闪发光……要不是上面提到的这些敌人骑兵的进攻,他们的交锋本来也许真的可以结束这场战斗……凯撒曾在距工事不远的地方布置下一些轻装兵作为掩护,当我军的骑兵在撤退中退到营寨,敌人放肆地跟踪追来时,这些轻装兵便到处发出一片呐喊声,冲向他们。这在敌人中引起了一阵惊慌。在向他们自己的营寨溃退途中,损失了许多人。

    26.为了表扬卡西乌斯的骑兵队勇敢,凯撒奖给他们三千德那里乌斯,奖给他们的指挥官五只金项圈,还奖给轻装兵二千德那里乌斯。就在这天,阿斯塔镇的罗马骑士奥卢斯·拜比乌斯、盖尤斯·弗拉维乌斯和奥卢斯·特雷贝利乌斯,逃来投奔凯撒。他们的马上几乎铺满了白银。他们报告说:庞培营里的全部罗马骑士都已经设下盟誓,要逃奔过来,由于一个奴隶告密,因而统统被关了起来,他们自己本身也在其中,但找到机会逃了出来。同样也是在这天,截获一封格奈乌斯·庞培送到乌尔绍去的信,上面写着·“s.v.g.e. v.虽然我们至今一直运气很好,能够要想把敌人赶走就赶走,但如果他们肯让我有在有利的地方作战的机会。我一定能把战争结束得比你们想象的更快些。但是,他们不敢把他们没有经验的新军开到战场上来,以此至今被我军钉牢在这里,战事也就此拖延下去。他们一个城镇一个城镇地围攻,从这些城镇里为自己取得给养,因而,我不但将保护我们这面的这些市镇,而且要一遇机会就结束战争。我想派给你……几个营。一旦我们出战,断绝他们的给养,他们就不得不出于一战了。”

    27.后来。当我军正忙于修筑工事,无暇它顾时,在橄椰林中收集木材的一些骑兵被敌人杀死。有些奴隶逃到我们这里来,报告说:从三月五日即在索里卡里亚发生战斗的那一天以来,对方惊慌万分,阿提乌斯·瓦鲁斯在负责外围的堡垒。就在这夭,庞培移营到正对斯帕利斯的一处橄椰林中去,在那边停驻下来。凯撒也出发向那地方赶去、事先观察月亮,大约是第六刻时。庞培在这样移营他去时,命令留下来的驻防部队纵火焚烧乌库比镇,他们等烧掉这个市镇之后,才退到大营里去。后来凯撒赶去攻打温提波城,该城投降后,他又赶去卡鲁加,正对着庞培的营寨安下营来。庞培因为这个市镇闭门不纳他的驻军,把它烧掉了。一个在营寨里杀掉自己兄弟的士兵,被我军捉住,用棍子打死。凯撒从这个地区进入蒙达平原,他一到那边,就面对庞培筑起营寨。

    28.在第二天,凯撒正要带着军队上路时,侦察人员带消息来说,成培从第三更时起就列好了战阵。听到这报告,凯撒升起作为战斗记号的帅旗。庞培之所以把部队带出来,是因为他过去曾经派人送信到他的支持者乌尔绍人那边去,说:凯撒不愿意走下山谷来,因为他的大部分军队都是没经验的新兵。这封信大大鼓舞了该镇居民的士气,而且庞培自己也倚恃着这种想法,认为自己能随心所欲,万无一失。因为他安营的地方,不仅受到天然地形的掩护,同时还受到那城镇本身的工事保障。正象我们前面指出的那样,这是一片平原地带,有连亘不断的山岭环绕着,只间或插有几片平原。这就是当时所处的形势。

    29.介于这两座营寨之间的乃是一片长约五罗里的平原,因而,庞培的部队就有着双重的保障,一是那座市镇,二是那高峻的地势。那片平原从最靠近市镇的地方平坦地伸展开去,一直伸到前面有一条河流的地方,使得凯撒的军队要赶到庞培的军队那边去时。一路上十分困难,因为河流的右面有许多沼泽和泥坑。因而,当凯撒看到对方的阵列已经布好时,他还一心以为敌人会跑上前来,到平原的中间来作战,这是双方都可以一眼看到的地方,加之平原是那么平坦,天气又是那么晴朗,对骑兵尤其有诱惑力,真是进行战斗的一个求之不得的天赐良机。我军很为高兴,但不免也有些人惴惴不安,他们想到的是他们每个人的事业和命运,现在已经临到这样的一个紧要关头,谁也不敢确定一个刻时以后,会让他们得到什么结果。当我军就这样赶上去战斗时,心里都以为敌人也会这样做。但相反,他们却不敢跑到离开市镇工事比较远的地方来,光只是停驻在紧靠城墙的地方。于是我军向前推进。尽管有利的地形不时引诱敌人,促使他们想利用这种有利的地形一举取得胜利,然而,他们仍按照自己的老办法,既不离开高地,也不离开市镇。当我军缓步前进了一段路,赶到靠近那河流的地方时,对方仍坚守在那片陡削的地方,不肯离开。

    30.他们的战线由十三个军团组成,两侧由骑兵和六千轻装兵掩护,此外还得加上数目大致相仿的同盟军。我军包括八十个营和八千骑兵。然而,当我军一直挺进到平原边缘地势崎岖的地方时,敌人却在高地上以逸待劳,使我军继续前进登向高处,成为一件非常危险的事情。凯撒看到这一点,他开始给这次行动划定一个范围,免得他们冒冒失失闯出乱子来。但当这一指示传到人们耳朵里去时,他们都认为一决胜负的机会又被耽搁了,感到十分不耐烦和愤怒。这一拖延却使敌人活跃起来,他们认为阻碍凯撒的军队上来决战的不是别的而是胆怯。于是,他们向崎岖的地方挺进了一些,似乎想给我军战斗的机会,然而,我军仍旧要冒很大的危险才能达到他们那边。在我们这一面,第十军团的人还耽在右翼的老地方,第三和第五这两个军团的人,以及其他同盟军和骑兵则在左翼。喊声一起,战斗就展开了。

    31.虽然我军在勇敢方面领先,对方却利用居高临下的地势竭力抵抗。双方的呐喊声如此猛烈,冲击时发射的矢石如此骤密,使我军对胜利简直丧失了信心。实质上在冲击和呐喊这两桩使敌人丧胆的主要手段上彼此可以说是旗鼓相当的。虽然双方都是同样勇敢地利用这两种手段进人战斗的,但却有大量敌人被我军投出去的轻矛击中,成堆地死去。正如我们已经说过的那样,守在我军右翼的是第十军团的士兵,人数虽然很少,由于他们的勇敢,仍能以他们的战绩来使敌人心慌意乱,他们开始猛烈地压向这边的敌人,把他们从他们的阵地上赶走,使敌人担心这一翼会被我军占领下来,开始把另一个军团从右翼调过来支援。当这个军团刚要移动时,凯撒的骑兵也向敌人的左翼进迫,因而,不管他们怎样极其勇悍地搏斗。始终没有赶到这边战线上来支援的机会。这时冲进人们耳朵的,乃是混成一起的一片呼喊声、呻吟声和刀剑铿锵声,正象思尼乌斯所说的“脚尖踩着脚尖,刀枪擦着刀枪。”在敌人的顽强战斗中,我军开始迫使他们后退,那市镇正好给了他们掩护。这样,恰恰是在利贝尔神的节日那天,我军战败和击溃了敌人,要不是他们逃回到原来出发的地方,很可能全军覆没了。在这次战斗中,敌人死去约三万人——只会多,不会少——外加还有拉比努斯和阿提乌斯·瓦鲁斯,这两个人都埋葬在他们死去的地方,此外有三千罗马骑士,一部分是首都来的,一部分是行省的。我方损失了三千人,部分是骑兵,部分是步兵,受伤的为五百人。敌人的十三架鹰帜被俘获,此外还得到许多连队标帜的斧棒。

    32.……那些逃出去的人,把蒙迪作为他们的退守据点,我军不得已开展对它的围攻。从敌人武器中捡来的盾牌和轻矛被插起来当作栅栏。尸体被堆起来当作壁垒,列在它们顶上的是插在剑端上的割下来的人头,面对城墙团团围成一圈,这不仅用来作为围困敌人的工事,而且作为表明我军英勇的标志,以引起敌人的恐慌。在用从敌人尸体那边捡来的重矛和投枪把市镇围起之后,高卢人开始向它进攻。小瓦勒里乌斯从这次战斗中逃出去、带着少数骑兵逃到科尔杜巴。把经过情况报告给正在那边的塞克斯图斯·庞培。得知了这些情况后,庞培把在他那边的所有钱财都分给了身畔的骑兵,告诉镇上的人说,他要赶去和凯撒谈判和平,在第二更离开了该镇。在另一方面,格奈乌斯·庞培由少数骑兵和一些步兵陪着,急急赶向他的海军要塞、距科尔杜巴一百七十罗里的一个市镇卡尔特亚。当他走到距卡尔特亚八罗里处的里程碑时,过去受命主持庞培营寨的普布利乌斯·考基利乌斯派使者送去庞培的指示,说:他感到不适,须要派一乘软轿来抬他进城。轿夫被派了出去,把庞培抬进卡尔特亚。他的支持者们都集中到他被抬到的那所房子里来,大家都认为他是秘密赶来的,想询问他对战事有什么打算。等很多人来到时,庞培下了软轿,求他们收留保护他。

    33.战斗之后,凯撒用一圈围困工事包围住蒙达,自己起向科尔杜巴。这次大屠杀中幸存下来逃到那边的一些人占据了桥梁。当凯撒赶到那边时,他们开始嘲骂我们,说:“我们从战斗中活着出来的人已经很少,难道还不让我们有一个地方可以逃吗?”于是他们就跑下桥来战斗。凯撒渡过河去,扎下营来。斯卡普拉是所有这些乱党、奴隶和释放人的首领,当他逃出战斗,来到科尔杜巴时,他召集起他的奴隶和释奴,要他们为自己堆起一座火葬堆,然后命令为他准备好一席最最精美的酒席,铺设上最最华丽的垫布,他又把金钱和银器当场分送给他的奴隶们。到时他自己去饮酒作乐,而且不时用树脂和甘松油涂抹自己,直到最后,他命令一个奴隶和一个释放人——后者是他的妾——一个割断他的喉管,一个点起火葬堆。

    34.一到凯撒面对着这个市镇扎下营来时,镇上居民们中间的偏袒凯撒的一方和偏袒庞培的一方马上开始争吵起来,叫喊声和吵骂声一直传到我们的营寨里。市镇中有从逃亡者中征集起来的两个军团,其中一部分是镇上人的奴隶,由塞克斯图斯·庞培释放自由的。他们在凯撒一到时就开始纷纷逃走。第十三军团着手防守城市。那些第九军团的人则在战斗一开始时就占据了一部分塔楼和城墙、他们再次派使者来见凯撒,要求他派军团进去支援他们。逃亡者知道了这件事,就动手纵火焚烧市镇。但他们被我们击败,杀死的达二万二千人,死在城外的还不在内。这样、凯撒就占领了这座市镇。当他耽搁在这里时,我们前面说过被围困在蒙边的那些战后残存的人作了一次突围,很多人被杀死后,重又被驱逐回去。

    35.在凯撒向希斯帕利斯赶去时,有使者赶到他这里来乞求宽恕。因而,当他到达那个市镇时,他派副将卡尼尼乌斯带了一支驻军进入镇内,他自己则就在靠近该镇的地方扎下营寨。这时,这个镇上有很大一批庞培的支持者,他们对于事先没让一个叫菲洛的人知道就接纳驻军进城这件事,非常气愤。这个菲洛是庞培派的一个最最狂热的拥护者,而且在整个卢西塔尼亚都很闻名。这时他瞒了我方的驻军偷偷赶到卢西塔尼亚去。他在伦尼乌姆遇到一个拥有大批卢西塔尼亚军队的蛮族凯基利乌斯·尼格尔。他再次返回希斯帕利斯,在夜里被接进城去,屠杀了驻军和岗哨,堵住城门,重新恢复作战。

    36.正当这些事件在进行时,有使者从卡尔特亚赶来报告说:庞培已经落在他们手里。因为他们过去曾经对凯撒闭门不纳,这时想借这一点功绩来弥补自己的罪过。在希斯帕利斯的卢西塔尼亚人一刻不停地战斗。凯撒看到,如果他竭力攻占这个市镇,这些陷于绝望的人就会纵火烧掉市镇,捣毁城池。在讨论之后,他故意给卢西塔尼亚人一次晚上突围的机会,他们没想到这是故意安排好的,因而突围出来,路上还纵火焚烧了一些正泊在拜提斯河边的船只,趁我军忙于救火,不暇它顾时,飞奔逃走,但他们仍旧全部被我军骑兵歼灭。这样一来,市镇就被克复了。凯撒又再开始向阿斯塔赶去,这个市镇里有使者来他这里投降。至于从战斗中逃出来躲进蒙达城的那些人,在长期的围攻以后,有很多人投降了,当把他们编到一个军团里去时,他们又在自己人中间设下盟誓,约好晚上信号一发,在城里的人就突围冲出来,他们自己则在营寨里面放手斩杀。这计划被得知后,次日晚上第三更,一声口令,他们全都被杀死在壁垒外面。

    37.当凯撒正在一路进军攻打其余的城镇时,卡尔特亚的居民已经为了庞培开始争执,一派就是曾经派使者到凯撒那边去过的,另一派则是庞培派的支持者,这就引起了内江,城门被关上,大规模地流血。受了伤的庞培夺取了二十条战舰逃走。消息一传到正在伽德斯统率一支舰队的狄狄鸟斯那边,他立刻开始追赶。卡尔特亚方面同样也有步兵和骑兵赶上去,一路迅速追逐。航行到第四天,由于从卡尔特亚出发时没作好准备,庞培的饮水没有了,只能向陆地靠拢。当他们正在取水时,狄狄乌斯的舰队赶上来,一些舰只被捉住,其余的被烧掉。

    38.庞培带着少数人逃走,占据了一处地形险要可守的地方。被派去追他的骑兵和步兵营通过先遣的侦察人员知道了这事后,日夜兼程赶路。庞培的肩头和左腿受伤很重,再加还扭伤了脚踝,大大妨碍了他的行动,因而到那边时,只能用一乘软轿把他抬进这处碉堡。按照军事活动的惯例,从他的卫队中派出一个卢西塔尼亚人去做侦察工作,被凯撒的部队看到,骑兵和步兵很快就把他们包围起来。这是一处很难接近的地方,庞培之所以要为自己选择一处地势险要的地方,为的也就是这个,这样,不管带来进攻的人有多少,只要几个人踞高临下就足以守卫。我军一到该地,则靠近它时,就被轻矛击退回来。在他们后退时,敌人很放肆地逼过来,使他们只能马上停止前进。当这样反复重演了几次之后,就可以看出这对我军是一件很危险的事。于是,对方筑起一圈防御工事,我们这边也迅速地沿着山脊匆忙拉起一道同样的围壁,以便能和对方势均力敌地相抗。这些人一看到这个时,就想借逃跑来保全自己。

    39.正象我们上面指出的,小庞培受了伤,而且扭伤了脚踝,因而妨碍了他飞奔逃走,加之地形险隘,不论是骑马还是用别的交通工具都不能帮助他逃脱,求得安全。我军到处斩杀。小庞培被隔绝在工事外面,又失掉了他的支持者,他逃进一处山谷,躲到一个地面受侵蚀形成的洞穴里,要不是俘虏们招出来,我军真不容易寻到他。这样,他就在那边被杀死。当凯撒还在伽德斯时,小庞培的首级在四月十二日被带到希斯帕利斯,在那边示众。

    40.杀死小格奈乌斯·庞培,使我们前面说过的狄狄乌斯十分欣喜,他退向附近的一个堡垒,还把一些船拖上岸来修理。那些从战斗中逃出来的卢西塔尼亚人仍旧集合到自己的军旗下面,而且聚起了很大一支兵力,回到狄狄乌斯处来。虽然狄狄乌斯并没放松对船只的守护工作,但他们的一次一次攻击,有时也把他引得离开那堡垒。这样,他们就在几乎每天发生的战斗中,设下一个圈套,把自己的兵力分成三股,一股人准备好去烧船;另一股人在船烧起来时,驱逐赶来援救的人,这些人要布置在不被看到的地方;其余的人则公开出面去作战。因而,当狄狄乌斯带着部队从堡垒里出来赶走敌人时,卢西塔尼亚人升起了信号旗,船只被纵火烧起来,同时,从堡垒里出来作战的人正在追逐那些看到同一旗号转身退走的匪徒时,被埋伏着人从背后出来包围住。狄狄乌斯和很多人在英勇搏斗中被杀。有不少人在战斗过程中夺到了停靠在岸边的一些小艇,另外又有很多人游泳逃到停泊在深水中的船上,拔起锚来鼓桨向大海航去,救出了自己的性命。卢西塔尼亚人夺去了战利品。凯撒离开伽德斯,急急赶回希斯帕利斯。

    41.被留下来攻打蒙达的守军的法比乌斯·马克西穆斯,用一系列围困工事昼夜不息地围攻。被围困在里面的人,自伙里开始动武起来,杀死了许多人之后,又再突围出来。我军没有错过收复该镇的机会,还把其余的人都活捉过来,数达一万三千之多。我军出发向乌尔绍赶去;这个市镇有巨大的防御工事捍卫着,因而,不论是它的人工建造的工事还是自身的天然地形,都足以使它迎击敌人。加之,这个市镇除了在它城里有一处水源之外,在城周围大约八罗纪之内,到处找不到水,这也是一件对镇上居民极有利的事情。再则还有,构筑防御工事所需用的材料,如通常习惯用来筑造塔楼和盾车的木材,在附近六罗里之内就无法找到。庞培为了市镇受到围攻时可以安全些,已经把该镇周围的所有木材都砍伐下来,集中到市镇里去。这样,我军出于不得已,只能到新近攻克的蒙达去运木材到这里来。

    42.当这些工作正在蒙达和乌尔绍进行时,凯撒离开伽德斯,返回希斯帕利斯。在他到达的第二天,他就召集了一次大会,提醒大家说:在他一开始担任财务官时起,这个行省就比之其他任何一个行省更特别得到他的关心,而且给了这个行省当时他力所能及的一切好处。在后来他晋升为司法官时,他曾经要求元老院取消墨特卢斯加征的税收,使行省得以免付该项税款;同时他又自己担起该省保护人的责任,许多该省的代表都是由他引进到元老院去的,为了替他们的公私事务辩护,他还结下了许多仇怨。同样,在他的执政官任内,虽然他不在当地,他也在自己的职权范围之内,颁给这个行省许多优惠待遇。但他知道,无论在这次战争中还是在过去这个时期,他们已经忘掉了新有这些恩惠,已经不再因此而感激他自己和罗马人民。他继续说:“你们是很懂得万民法和罗马公民所树立的陈例的,但你们仍然象野蛮人那样一再粗暴地对待罗马人民的神圣不可侵犯的官吏,而且在青天白日之下就在市场中心丧天害理地策划杀害卡西乌斯。你们对和平是如此之仇视,使得这个行省一天都不能没有罗马人民的军团;正是你们,把恩惠当做仇怨,仇怨当做恩惠。因而,也正是你们,从来也不会在和平时期保持和睦,在战争时期保持勇敢。正是你们,在小格奈乌斯·庞培逃亡时收容了他,听凭他这样一个私人膺用只有国家官员才能使用的斧棒和军政大权,让他杀害了许多公民,并且在你们的唆使之下,招兵买马对抗罗马人民,把行省的土地弄得残破不堪。你们希望战胜的是谁呢?难道你们没有考虑过,即使毁灭了我,罗马人民不但还是有军团能够对付你们,甚至连天都能够拆坍下来吗,由于他们的光辉绩业和英勇……

  • 盖乌斯·尤利乌斯·恺撒《高卢战记》

    第一卷 驱逐入侵者
    第1章 击退赫尔维西亚人 第2章 驱逐阿里阿费斯塔斯
    第二卷 征服贝尔盖
    第1章 贝尔盖联盟垮台 第2章 逐个击破贝尔盖部落
    第三卷 第一次叛乱
    第1章 阿尔卑斯山失利 第2章 大西洋沿岸之战 第3章 阿奎塔尼亚大捷 第4章 与莫里尼入的冲突
    第四卷 入侵日耳曼和不列颠
    第1章 大败乌西皮特人和滕克特里人 第2章 首次渡过莱茵河 第3章 首次入侵不列颠

    第五卷 第二次叛乱
    第1章 再度人侵不列颠 第2章 厄勃隆尼斯人大败萨比努斯 第3章 内尔维人进攻西塞罗的冬营地 第4章 高卢中北部暴乱频发
    第六卷 莱茵河附近的战斗
    第1章 特瑞维累人溃败 第2章 再度跨过莱茵河 第3章 高卢人的风俗和制度 第4章 日耳曼人的风俗和制度 第5章 扫荡厄勃隆尼斯
    第七卷 维钦托利的叛乱
    第1章 战争序幕 第2章 夺取阿瓦利肯城 第3章 日尔戈维亚战役 第4章 维钦托利败北 第5章 攻夺阿莱西亚城
    第八卷 最后的叛乱
    第1章 希尔提乌斯所作前言 第2章 高卢各部叛乱又起 第3章 最后的战斗 第4章 内战将至

    第一卷

    第1章

    一、高卢全境分为三部分,其中一部分住着比尔及人,另一部分住着阿奎丹尼人,而那些用他们自己的话来说叫克勒特人、我们称之为高卢人的,住在第三部分。所有这些人,彼此之间的语言、习俗和法律,各不相同。高卢人跟阿奎丹尼人接界的这一边,由加隆纳河分隔着,跟比尔及人接界的这一边,由马特隆纳河和塞广纳河分隔着。所有这些人中,最勇悍的是比尔及人,因为他们离开行省的文明和教化最远,并且也是商贩们往来最少、那些使人萎靡不振的东西输入也最少的地方;再则还因为他们离开住在莱茵河对岸的日耳曼人最近,在跟他们不断作战的缘故。也就是为了这原因,高卢人中的厄尔维几族,就勇武而论,远超过高卢的其他各族,因为他们差不多天天在和日耳曼人作战,不是抵抗他们侵入自己的国境,就是自己侵人到他们的领域中去作战。那三部分中,已经说过由高卢人住着的那一部分,从罗唐纳斯河起,四周分别为加隆纳河、大洋和比尔及人的疆域所限,另外在塞广尼人和厄尔维几人的这一面,又跟莱茵河相接,方向是朝着北斗星的。比尔及人的领土从高卢的极边开始,一直抵达莱茵河的下游部分,面对着北斗星和日出的一面。阿奎丹尼人住着的那一部分起于加隆纳河,直达比利牛斯山和靠着西班牙的大洋,面向着日落的一方和北斗之间。

    二、厄尔维几人中最显赫、最富有的是奥尔及托列克斯。在马古斯·梅萨拉和马古斯·毕索任执政官的那一年,他出于篡夺王位的野心,在贵族中策划了一个阴谋,劝诱自己的本国人带着他们的全部资财,离开自己的领土。他说:因为他们的勇武超过所有一切人,所以要取得全高卢的霸权,是件极为容易的事。要说服他们这样做原本不难,因为厄尔维几人的国土,四周都被大自然限制着,一面是极竞极深的莱茵河,把厄尔维几人的领土与日耳曼人隔开;另一面又是高峻异常的汝拉山,盘亘在塞广尼人和厄尔维几人之间;第三面是勒茫纳斯湖和罗唐纳斯河,把厄尔维几人和我们的行省隔开着。在这种环境中,他们活动起来自然不能太宽敞,就要攻击邻邦也不很容易,因而使他们这种好战成性的人,感到非常苦恼。所以,尽管他们的领土广表差不多已达二百四十罗里长、一百八十罗里宽,但他们认为对他们这样人口众多、武功值赫而又勇敢过人的人来说,它还是嫌太狭小了。

    三、由于这些因素的刺激,再加上奥尔及托列克斯的势力一煽动,他们就决定预备启程出发所需要的东西,尽可能地收买大量的牲口和车辆,又多多益善地播种了大量谷物,以便旅途中有充裕的粮食供应,还和邻近的各邦建立了和平与友谊。他们认为两年时间就足以完成这些准备,因而用法律规定在第三年出发。奥尔及托列克斯被选出来负责筹备这些事情,他就自己担起了到别国出使的任务。在这次旅途中,他说服了塞广尼人卡泰孟塔罗第斯的儿子卡司几克斯(他的父亲曾经担任塞广尼国王多年,罗马元老院赠给过他”罗马人民之友”的称号),叫他去攫取他父亲以前执掌过的本国王位。同样,他又说服了爱杜依人杜诺列克斯——他是当时执掌他们国家大权、很受百姓爱戴的狄维契阿古斯的弟弟——做同样的事情,还把自己的女儿嫁给他做妻子。他使他们相信,这是极容易做到的事情,因为他本人也将取得自己本国的大权,毫无疑问,厄尔维几人是全高卢最强有力的国家,他保证一定会用他的资财和他的军队,帮他们取得王位。受了这种话引诱,他们互相表白了诚意,设下了盟誓。他们希望在取得政权后,就能以这最有力、最坚强的三个族的力量,占据全高卢。

    四、这事情遭到了告发,被厄尔维几人知道了。依照他们的习惯,该让奥尔及托列克斯戴着镣铐,听受审问,如果他被判有罪,随着便应该受火焚之刑。在预定审讯的那天,奥尔及托列克斯把他所有的家属都从各地召到审判的地方来,数达万人之多,他还把数目同样很大的全部被保护人和债户都召了来。就依靠这些人,他才逃了过去,没受到审问。当国家被他这种手段所激怒,准备用武力来行使自己的权力,首领们从四乡召集起大批人来时,奥尔及托列克斯却在此时忽然死去,据厄尔维几人猜测,绝不是没有自杀的嫌疑的。

    五、他死后,厄尔维几人对离乡它迁的计划,仍旧毫不松懈地作着准备。最后,当他们认为一切准备工作都已就绪时,就烧掉自己所有的十二个市镇,四百个村庄,以及其余的私人建筑物。他们除了随身携带的粮食以外,把其余的也都烧掉,这样,便把所有回家的希望断绝干净,只有拼命冒受一切危险去了。他们又命令各自从家里、带足够三个月用的磨好的粮食上路。他们劝诱他们的邻居劳拉契人、都林忌人和拉多比契人采取同样的措施,也烧掉自己的市镇和村落,和他们一起出发。他们还接受一向住在莱茵河以外、后来过河来侵入诺列克、并攻击诺累耶的波依人。作为参加自己这个联盟的人。

    六、他们要离开自己的家乡,一共只有两条路可走。一条通过塞广尼人的领域,在汝拉山和罗唐纳斯河之间,是条狭窄而又崎岖的道路,单列的车辆通过都很勉强,还有一座极高的山俯临着它,因此只要很少人就可阻挡他们。另一条路要通过我们的行省,比较平坦和便利,那奔流在厄尔维几人和新被罗马人征服的阿罗布洛及斯人领域之间的罗唐纳斯河,也有几处浅滩可以涉渡。阿罗布洛及斯人境内最边远、距厄尔维几人也最近的市镇是日内瓦,这个市镇上有一座伸到厄尔维几人那一边的桥梁。他们认为那些新被罗马人征服的阿罗布洛及斯人,对罗马人还不一定太有好感,也许可以说服他们借一条路给自己通过他们的领土,不然就用武力强迫他们这样做。因此在已经准备好一切出发用的东西之后,他们就约定一日,大家都赶到罗唐纳斯河上会齐。这一天是三月甘八日,正是卢契乌斯·毕索和奥卢斯。盖平纽斯任执政官的那一年。

    七。当这事报告给了凯撒,说他们企图取道通过罗马行省时,他迅速离开罗马,以尽可能快的速度赶向外高卢,到达日内瓦。当时外高卢一共只有一个军团兵力,他命令在全省多多益善地征召军队,并命令把通向日内瓦的那座桥拆掉。当厄尔维几人确知他已到来之后,他们把国内最尊贵的人派到他这里来做使者,其中居于领袖地位的是南梅友斯和维卢克洛久斯。他们说。他们的目的只是想借道穿过行省,绝不作任何伤害,因为除了这条路以外,再没别的路可走,求他答应他们的要求。凯撒想起执政官卢契乌斯·卡休斯曾经被厄尔维几人杀死,他的军队也在被击溃以后,被迫钻了轭门,因此认为决不可答应他们的要求,也不相信象他们这种心怀恶意的人,如果给了他们通过行省的机会,能不肆意踩蹈和破坏。但为了要取得一段间歇的时间,好让自己新征召的部队集中,他就回答使者说:他要化几天时间考虑一下,如果他们希望得到答复,可以在四月十三日再来。

    八、同时,他利用在自己身边的那个军团,以及由行省征集起来的军队,从流入罗唐纳斯河的勒茫纳斯湖开始,至分隔塞广尼和厄尔维几领土的汝拉山为止,造了一条高十六罗尺的城墙和壕堑,长达十九罗里。这工程完成后,他布置了防御部队,给堡垒也设置了守卫,以便在敌人不问他愿意与否强行渡河时,能够方便地阻止他们。当他和使者们约定的那天到来时,使者们回到他这里。他拒绝他们说:按照罗马人的习惯和前例,他不能允许给任何人一条穿过行省的通道。而且表示,如果他们企图蛮干的话,他是要用武力阻止的。厄尔维几人这个打算落空后,有的就用联起来的船只和结扎在一起的大批木筏、有的就在罗唐纳斯河的浅滩水不深的地方,试探着强行涉渡过来,有时就在白天,更多的是在夜间。但由于一系列的防御工事和迅速集中到那边的军队、矢矛,他们被迫放弃了这个企图。

    九、此外,还留下一条穿过塞广尼的道路,但因为这条路极狭窄,如果塞广尼人不同意,就无法通过。当他们自己没法说服塞广尼人时,就派使者到爱杜依人杜诺列克斯那边去,企图通过他的居间调停,使塞广尼人同意他们的要求。因为杜诺列克斯由于本身的人望和慷慨,在塞广尼人中有极高的威信,同时又娶了厄尔维几族中的奥尔及托列克斯的女儿为妻,所以对厄尔维几人也很友好;加之他那篡夺王位的野心又在引诱着他,极盼望有什么事故发生,而且很希望能以自己的恩惠笼络住愈多愈好的国家,所以他接受了这件事,说服塞广尼人让厄尔维几人通过他们的领土,并且商定双方交换人质,保证塞广尼人不阻止厄尔维几人的通行,厄尔维几人在路过时也不为非作歹,或者肆行破坏。

    一0、凯撒得到消息说:厄尔维几人想通过塞广尼人和爱杜依人的领域,进入桑东尼人境内去,这是离开行省中的一个叫托洛萨得斯的邦已经不远的地方。他感到这件事将带给行省很大的危险,因为这样一来,就让这些好战成性、而且敌视罗马人民的人,成为一个既没设防、又富有谷物的地区的邻居了。为了这些理由,他留下副将拉频管斯坐镇他筑下的防御工事,自己急急赶往意大利,在那里征召起两个军团,又把正在阿奎来耶附近冬令营里息冬的三个军团带出来,就率领了这五个军团,拣最近便的道路,越过阿尔卑斯山,迅速赶向外高卢。在这个地区,有秋得隆内斯人、格来约契里人和卡都里及斯人占据了几处高地,企图阻止他的军队前进。在几次战斗中击败他们之后,在第七天上,他就离开了内高卢最边境上的奥契勒姆,进入外高卢的获孔几人领域。就在那边,他向阿罗布洛及斯人的地区前进,然后再从阿罗布洛及斯率领军队进抵塞古西阿维人领域,这是行省境外罗唐纳斯河对岸的第一个部落。

    —一、在那时候,厄尔维几人已经带着他们的军队,穿过那条狭谷和塞广尼人的地界,到达爱杜依人的边境,在蹂躏着他们的田野。爱杜依人不能抵挡这些侵入者,为了保全自己的生命财产,就派使者到凯撒这里来求助。他们声称:爱杜依人一向是很对得起罗马人的,决不应该几乎就当着罗马军队的面,听任他们的土地被人家焚掠,孩子们被驱去做奴隶,市镇被人家攻占去。在这同时,爱杜依人的盟友和近族安巴利人也报告凯撒说:他们的田地已经遭到蹂躏,他们要保住自己的城镇不给敌人强占也很困难。同样,有村庄和田地在罗唐纳斯河对面的阿罗布洛及斯人也逃到凯撒这边来,肯定地对他说:他们已经除了空地之外,什么都不剩了。这些事情促使凯撒下定决心,决不再坐视厄尔维几人在毁尽罗马所有各盟邦的财富之后,窜进桑东尼人境内去。

    一二、有一条河流叫做阿拉河,流经爱杜依和塞广尼的领域,进人罗唐纳斯河,水流滞缓得难于想象,凭眼睛几乎无法辨别它流向那一端去。厄尔维几人用联结在一起的木筏和船只,渡过这条河去。当凯撒接到侦察人员的报告说,厄尔维几人的部队四分之三已完全渡过,大约还有四分之一日在阿拉河这边时,他就在第三更带着三个军团离开营寨。直扑向敌人尚未渡河的那一部分。他在他们都身负重荷、摔不及防之中攻击他们,杀掉他们一大部分,其余的都四散逃走,躲进最近的森林里去。这一部分人叫几古林尼部,因为厄尔维几人全族共分为四个部分或部落,我们的父老犹能记忆,这一部分曾经单独离开过他们的本土,杀死了执政官卢契乌斯·卡休斯,迫使他的军队钻了轭门。这一役,不知是偶然凑巧还是不朽的神灵作的安排,曾经带给罗马人一场奇耻大辱的这个厄尔维几人的部落,首先遭受了惩罚。而且,除了国家的公仇之外,凯撒还一举两得地泄了私恨,因为几古林尼部在攻袭卡休斯的那一役中,还杀死了他的副将卢契乌斯。毕索,他就是凯撒的岳父卢契乌斯·卡尔普林穆斯·毕索的祖父。

    一三、这场战斗完毕后,为了追击厄尔维几人的其余部队,他命令在阿拉河上造起一顶桥来,带着自己的军队渡了过去。他的突然到来,使厄尔维几人大为惊异,因为他们看到自己花了二十天时间才困难地渡过来的河流,凯撒却只花一天就过来了。他们就派使者来见他。这批使者的首领是狄维果,就是厄尔维几人攻袭卡休斯时的领袖。他对凯撒这样说:如果罗马人愿意和厄尔维几人讲和,他们愿意到凯撒所指定、并且要他们住下来的地方去。但是如果他坚持要战争,那末,他必须记住罗马人以前的灾难和厄尔维几人原先的勇敢。至于他趁他们冷不防的时候攻击了那个部落,这是因为当时已经过了河的那些人不能来援救他们同胞的缘故,决不可以因此便把自己的勇敢估计得太高,或者轻视起厄尔维几人来。他们从自己的父老和祖先那里学到的是:战争主要应当依靠勇为,不应该依靠阴谋诡计。所以,他千万不要让他们现在耽搁在这块地方,因为罗马人在这里遭到过灾难,军队受到过歼灭,从此声名远扬,流传到后代去。

    一四、对这番话,凯撒的回答是这样的:正因为他牢牢地记住厄尔维几人所提起过的那些事情,所以才没有丝毫的犹豫。特别是那场灾难落到罗马人头上来,完全是飞来的横祸,所以才感到格外的沉痛。如果他们觉得自己做过什么伤害别人的勾当,本来也不难作好防备的,只是,他们却以为自己没做过什么须要戒惧的事情,就也没有要戒惧的理由,这才上了当、就算他愿意忘掉旧的仇怨吧,难道连那些新近的侵扰——他们没经过他同意就用武力强行通过行省、侵犯爱杜依人、安巴利人和阿罗布洛及斯人——也都能置之一旁吗?至于他们把自己的胜利吹嘘得那么神气,因为自己的作恶多端没受报应就感到诧异,这两者其实只说明一件事情:不朽的神灵因一个人的罪孽要给予惩罚时,常常先给他们一时的兴旺和比较长期的安宁,这样,他们才能在命运突然转变时感到格外惨痛。话虽如此,他们如果愿意给他人质,让他知道他们能保证履行自己的诺言,同时,如果他们自己和他们的同盟使爱杜依人和阿罗布洛及斯人受到的损害,都能得到赔偿,他还是愿意和他们讲和的。狄维果回答说:厄尔维几人从祖先起就定下了规矩,一向只接受别人的人质,从不把人质交给别人,罗马人自己就是这件事的证人。作了这样的回答后,就离去了。

    一五、次日,他们拔营离开那地方。凯撒也跟着离开,把他从全行省以及从爱社依人和他们的同盟那里集中来的全部骑兵,约达四千多人,全都派做前锋,观察敌人究竟向哪个方向进军。他们对敌人的后军钉得过分热心了些,竟在地形不利的地方跟厄尔维几人的骑兵交了一次手,我军损失了少数人。这场战斗鼓励了厄尔维几人,因为他们只用五百骑兵便驱走我军这么多骑兵,他们更放心大胆地在我军面前停留下来,屡次以他们的后军来撩拨我军,以求一战。凯撒约束自己的部下不准应战,他认为目前光只要牵制住敌人,不让他们劫掠、采收和破坏就够了。就这样继续行军了大约十五天,我军的前锋和敌人的后军,相距始终不超过五六罗里左右。

    一六、同时,凯撒每天都在催索爱杜依人以国家名义答应供应的粮食。由于天气寒冷——高卢的位置处在北方,前面已经说过——不仅田里的谷物没成熟,就连草料也没有充分供应;至于用船只溯阿拉河运上来的粮食,由于厄尔维几人所走的路已经离开了阿拉河,他又不愿意放掉他们不追,因此也没法再利用它。爱杜依人却一天一天只管拖延,一会儿说在征收了,一会又说在集中了或就在路上了等等。当凯撒看到自己实在被人家敷衍搪塞得太长久了,而该发粮食给军队的日子又已迫在眉睫时。他就召集起他们的领袖们——这些领袖有很多在他营里——其中有狄维契阿古斯,还有列司古斯,这是他们的最高首领,在人民中间掌握着生杀大权,爱杜依人称之为”执法官”,每年选举一次。凯撒很严厉地斥责他们,因为粮食买既买不到,田里也收不起,在这样紧迫的时机,敌人又这样靠近,他们竟不加以援助,特别因为这次战争,主要是由于他们的吁请才进行的,所以他才更加严厉地责备他们袖手旁观。

    一七、终于,列司古斯被凯撒的话打动了,把他一直隐瞒着的话都讲了出来。他说:有某些人,他们在平民中有极大的势力,他们虽不担任官职,却比官吏更有力量。他们在用煽动性的、傲慢的话阻止群众,不让他们把应交的粮食集中起来。他们这样说:如果爱杜依人自已不能再掌握高卢的霸权,那末,受高卢人的统治总比罗马人的统治好些;再也不该怀疑,如果罗马人一征服厄尔维几人,就会把爱杜依人和高卢其余各邦的自由,也一起剥夺掉的。也正是这些人,把我们营里的打算和一举一动,都去报告敌人,他自己实在无力阻止他们。他也很清楚,他虽然迫于形势,不得不把这些事情告诉凯撒,但他冒的风险是十分巨大的,就因为这缘故,他才能缄默多久就缄默多久的。

    一八、凯撒知道列司古斯的这番话指的是狄维契阿古斯的弟弟杜诺列克斯,但他不愿当着这么多人的面说穿这件事,因此很快就结束了会议,单把列司古斯留了下来。等只有他一个人时,再问他在会上讲的事情,他讲起来就自在得多,也大胆得多了。凯撒又把这件事情秘密地问了另外一些人,发现它完全是真的。这个杜诺列克斯,确是一个勇敢无比、而且因为慷慨施与、在群众中拥有极大势力的人,他很盼望发生一场变故。多年以来,他一直用极低的包价,把爱杜依的关税和其他税收都包了下来,因为只要他一开价,就没别人再敢出较高的标价和他竞争。凭借这种手段,一方面增加了他的家业,另一方面,又为他的广施贿赂开拓了大量财源。他用自己的钱常年豢养了一大批骑兵,护卫着他。不仅在国内,就在邻国,他也有很大的势力。为了更加张大自己的声势起见,他让自己的母亲和别都里及斯邦中最尊贵最有力的人结了婚,自己又娶了一个厄尔维几族的妻子,他的同母姊妹和其他女亲属,也都嫁给了别的邦。不仅这种亲戚关系使他偏袒和寄厚望于厄尔维几人,伺时他还有私下的理由要痛恨凯撒和罗马人,就因为他们的到来,他的势力才削弱下去,而他的兄长狄维契阿古斯却恢复了原来的声望和荣誉。他怀着很大的希望,如果一旦罗马人遭到什么不幸,他就可以借厄尔维几人之助,取得王位。罗马人的统治却不仅使他得不到王位,甚至现在已有的势力都在削弱。凯撒在查询中又发现,几天以前骑兵战斗之所以遭到挫折,也是由于杜诺列克斯和他的骑兵首先败退下来的原故。因为爱杜依人派来支援凯撒的骑兵是由杜诺列克斯领导的,他们一退,就使其他的骑兵也都惊慌起来。

    一九、凯撒弄清楚了这些事实,而且得到许多千真万确的证据,可以证实这些怀疑。引导厄尔维几人穿过塞广尼人领土的是他,他们交换人质也是由他安排的,他做这些事情,不仅没有得到凯撒和他本国的命令,甚至连知道也没让他们知道,因此他受到爱杜依首领们的诟责。凯撒认为这些已足够作为处罚杜诺列克斯的理由,无论由他自己来处理也好,由他命令本国去处理也好。但却有一件事情使他不能放手去做这一切,因为他知道,他的兄长狄维契阿古斯是一位最热忱拥护罗马人民、最爱他自己、出奇地忠诚、正直和谦和的人,深恐处罚杜诺列克斯,会伤了狄维契阿古斯的心。因此,在还没采取任何行动之前,他先命令把狄维契阿古斯召到自己面前来,在遣走了日常用的译员之后,通过高卢行省的一个领袖、他自已的知友该犹斯·瓦雷密斯·普洛契勒斯——凯撒在任何事情上都很信任这个人——和他谈话。同时向他指出了他本人也在场的那次高卢领袖们的会议上关于杜诺列克斯的谈话,还告诉他后来各人和他分别谈话时,谈到杜诺列克斯时说的话。他要求并鼓励他,希望无论由他自己审问后定罪也好,或者由他下令交给他本邦去定罪也好,狄维契阿古斯不要因此心里不快。

    二0、狄维契阿古斯泪汪汪地拥抱着凯撒,恳求他不要给他兄弟什么严厉的处罚。他说:他知道这些控诉都是真的,没有人再比他更为这个难受了。因为,当他本人在自己本国和高卢的其他部分势力很大时,他弟弟却因为年纪还轻,没没无闻,全靠他的帮助才得势起来,但他却不仅利用这种势力来削弱他的声望,甚至还利用它来毁灭他。虽则如此,他还不能不顾到手足之情和群众的意见,如果凯撒真的给了杜诺列克斯什么严厉的处罚,由于他处在和凯撒如此亲密的地位,绝没有人会相信这是没有经过他的同意就做的,这种情况会使得全高卢人都从此唾弃他。当他一面哭,一面说着这许多话向凯撒恳求时,凯撒握着他的右手安慰他,叫他不要再说下去,说:他对凯撒的情谊这样深厚,无论是国家的公仇还是私人的嫌怨,都会按照他的愿望和要求,给予谅解。凯撒把杜诺列克斯召到自己面前来,当着他兄长的面,把自己要责怪他的那些事情都告诉了他,无论是他自己知道的还是他本国所控告的,都向他说了,同时还警告他。以后任何时候都必须避开一切嫌疑。特别向他指出:过去的一切是看在他的兄长狄维契阿古斯面上,才原谅他的。他又派人监视着杜诺列克斯,以便能了解他在做些什么,和哪些人谈话。

    二一、同一天,侦察人员报告说,敌人在离他自己的营寨八罗里的一座山下安了营。他派出人去探查那山的地势和四面上山的道路如何。回报说很容易上去。他命令副将代理司令官季度斯·拉频弩斯在第三更时率领两个军团和那些认识路的向导攀登到那座山的山顶上。同时把自己的打算告诉了他。他本人在第四更时急急从敌人经过的那条路,向他们赶去,派全部骑兵走在自己前面,另外又派布勃密斯·孔西第乌斯率领侦察人员在前面先走。孔西第乌斯是一个号称富有军事经验的人,曾先后在卢契乌斯·苏拉和马古斯·克拉苏斯的军队中服务过。

    二二、黎明时,山顶已被拉频弩斯占领,他自己离敌人的营寨也已不到一罗里半路。据后来从俘虏口中得知,无论他自己或拉频弩斯的到达,都没被敌人发觉。但在那时候,孔西第乌斯忽然骑着马匆匆赶来,告诉他说。他要拉频弩斯去占领的那座山顶,敌人已经占领着,他是从高卢人的武器和旗帜上辨认出来的。于是,凯撒把他的军队撤到最近的一座山上,在那边布下战阵。拉频弩斯事先接到凯撒的指示,叫他不要退自和敌人作战,要等看到凯撒的军队近敌营时,才同时四面向敌军进攻,这时虽占据了山顶,却仍停在那边等候我军,不和敌人交锋。直到后来天色已很晚时,凯撒才从侦察人员那里得知山顶在我军手中,厄尔维几人这时已移营前进,而孔西第乌斯则是因为害怕,才把根本没有看到过的东西当做看到了的向他作了谎报。那一天,他仍保持一向的距离,跟随敌人前进,离他们的营寨三罗里安下营。

    二三、次日,离开例应发放口粮给士兵的日子只剩两天了。当时他离开爱杜依邦最大、积储最充裕的市镇毕布拉克德已经不到十八罗里。他考虑到粮食问题必须解决,就转过头来撇开厄尔维几人,直向毕布拉克德赶去。这件事被高卢籍骑兵的一个什长卢契乌斯·爱米留斯部下的逃兵们报告了敌人。厄尔维几人不是误以为罗马人离开他们是由于害怕——特别因为前一天罗马人已经占有了山头仍不作战,更使他们深信这点——就是认为自己可以把罗马军队的粮食切断,于是改变原来的计划,掉过头来,紧钉着我军的后队,开始攻击。

    二四、凯撒注意到这事,把他的军队撤到最近的一座山上去。派骑兵去抵挡敌人的进攻。这时,他自己把四个老的军团,分成三列布置在半山腰里,新从高卢征召来的两个军团和全部辅助部队,被安置在山顶上;这样就好象整座山上到处都布满了军队,同时他又命令把全军的行囊都集中放在一起,由处在高处的部队负责守卫。厄尔维几人带着他们的全部车辆跟踪追来,也把他们的辎重集中在一起,驱走我军骑兵之后,结成极密集的方阵,向我军的前列冲来。

    二五、凯撒首先把自己的坐骑一直送到老远看不见的地方,后来又命令把所有别人的马也都这样送走,让大家都面对着同样的危险,不存逃脱的希望,然后对士兵们鼓励了一番之后,遣他们投入战斗。兵士们踞高临下,掷下轻矛,很容易地驱散了敌人的方阵。敌人散乱之后,士兵们拔出剑来,朝他们冲杀过去。高卢人的盾,大部分被轻矛一击中就穿透了,而且因为铁的矛头弯了过来,紧箱在盾里,拔既拔不出来,左手累累赘赘地拖着它作战又不方便,一时很受阻碍,于是,许多人在把手臂摇摆了很久仍没法摆脱它之后,就宁愿抛掉盾,露着身体作战。最后,他们因为受伤累累、支持不住,开始撤退,向离当地约一罗里的一座小山逃去。等他们占有那座小山时,我军已紧紧跟在他们背后。作为后军掩护着敌人后方的一万五千波依人和都林忌人,掉过头来攻击罗马军队敞开着的侧翼,包围住他们。已经退上山的厄尔维几人看到这事,重新立定下来,开始作战。罗马人口转身来,两面分开应战,第一列和第二列抵抗已被击败和运走的敌人,、第三列抵抗新来的敌人。

    二六、战斗就这样分为两面。长期地激烈进行着,直到他们再也挡不住我军的攻击时,一部分开始退到山上去,一部分集中到他们的辎重和车辆那边。尽管这场战斗从第七刻时一直延长到傍晚,但在整个战斗过程中,却谁也没有看到任何敌人转过身去逃走的。辎重附近,直到深夜还在进行战斗,他们把车辆排列起来当作壁垒,站在高处向我军进攻的人投射矢石,另有些人则躲在战车和四轮车之间,朝上发出梭标和投枪,杀伤我军。战斗持续很久,辎重和营寨终于为我军占领。奥尔及托列克斯的女儿和一个儿子,都在那边被我军俘获。约有一万三千人从这场战斗中逃出性命,他们通宵赶路,整夜一刻不停,第四天到达林恭内斯人境内。我军因为有的士兵受了伤,还有些阵亡者要掩埋,停留了三天,没追赶他们。凯撒派使者送信到林恭内斯人那边去,命令不准把粮食和其他物资接济他们,如果接济他们,他就要以对付厄尔维几人同样的方式对付他们。他自己在隔了三天之后,带着全军追赶他们。

    二七、厄尔维几人因为一切给养都感到缺乏,不得不派使者来见他求降。他们在路上遇到凯撒,投身在他脚下,含着眼泪低声下气地恳求讲和。他吩咐他们留在现在所在的地方等他到来,他们听从了。后来凯撒到了那地方,向他们索取人质、武器以及逃亡到他们那里去的奴隶。当这些正在搜索和集中时,约有六千人,属于称做维尔华琴纳斯的那个部落,不知是恐怕交出武器后将受到惩罚,还是妄想保全自己,认为反正投降的人多,自己乘机溜走可以混瞒过去,别人不会注意。天一黑时就从厄尔维几人的营中逃出来,向莱茵河上日耳曼人的地界奔去。

    二八、凯撒一知道这事,就向他们经过的地区的居民下令:如果他们想要洗清自己,就得把这些逃亡的人搜索出来,送回他这里。送回来的人都被当作敌人处理了。所有其余的人,在把人质、武器和逃亡者交出之后,都接受了他们的投降。他命令厄尔维几人、都林忌人、拉多比契人,都回到原来出发的地方去。又因为他们家乡的一切庄稼都已经毁掉,没有可以恃之度日的东西,他命令阿罗布洛及斯人把足够的粮食供应他们,并命令他们把已经烧掉的市镇和村庄重建起来。他所以这样做,主要理由是因为他不愿意让厄尔维几人迁走后那块地方空出来,深恐住在莱茵河对岸的日耳曼人看到这里土地肥沃,会迁出自己的领土,住到厄尔维几人的土地上来,成为高卢行省和阿罗布洛及斯的邻居。爱杜依人因为波依人以勇敢闻名,愿意把他们安插在自己的土地上,凯撒也答应了他们的要求。他们给了波依人土地,后来又让他们跟自己享有同样的权科和自由。

    二九、在厄尔维几人的营帐中,发现有用希腊文写的字板,被拿来交给了凯撒,这上面是编好的名册,逐个记载着他们从故乡出来的能持武器作战的人的数目,同样也逐一地记载着儿童、老人和妇女。在这些记载中,厄尔维几人总数是二十六万三千、都林忌人是三万六千、拉多比契人是一万四千、劳拉契人二万三千、波依人三万二千,这些人中,能拿起武器来作战的约有九万二千人,合起来总数为三十六万八千人。其中能够返回故乡的,依照凯撒的命令作的统计是十一万人。

    三0、厄尔维几之役结束后,差不多全高卢的使者——都是各国的首领——统统赶来向凯撒道贺。他们说:他们虽然知道凯撒之所以和厄尔维几人作这次战争,是为了报复以前他们对罗马人的侵害,但这件事情的后果,使高卢地方蒙受的利益却不下于罗马人,因为厄尔维几人在他们正盛极一时的时候离开故乡,目的在于向全高卢发动战争,争取统治权,在全高卢的广大土地上,选取他们认为是最便利、最富饶的地方,作为自己的住家,把其余的各国作为纳贡的臣属。代表们要求凯撒允许他们约定一天,宣布召开一个全高卢的大会,因为他们有一个请求,希望在取得一致同意之后,向凯撒提出来。这要求被答应了,随即为这个会议定下了一个日期,他们之间还起了誓,保证除了会议上大家同意授权的人之外,任何人不得擅自把讨论的内容泄漏出去。

    三一、散会后,仍旧是上次那些国家的首领们,回到凯撒这边来,请求允许他们和他秘密商谈一下有关他们本身和全体安全的问题、这个要求得到了允许,他们全都投身在他脚下,哭泣着向他恳求说:他们热切而又焦急地希望将和他谈的事情不至泄漏出去,其热切和焦急的程度绝不亚于他们就要提出来的那个要求本身。因为他们知道,假如泄漏出去之后,他们就要遭到最最残酷的处罚。替他们发言的是爱杜依人狄维契阿古斯,他说;全高卢各邦,分为两个集团,一个集团的领导权由爱杜依人掌握,另一个由阿浮尔尼人掌握。多年以来,他们之间一直在激烈地争夺霸权,以致阿浮尔尼人和塞广尼人竟花钱雇来日耳曼人。他们第一次渡过莱茵河来的大约有一万五千人,后来这些粗鲁而又野蛮的人爱上了高卢的土地、文化和富庶,又带过来更多的人,至今在高卢的日耳曼人已达十二万左右。爱杜依人和他们的属邦一再和日耳曼人对兵相见,在吃了败仗之后,遭到极大的灾难,全部贵族、全部元老和全部骑士都损失干净。因为战争和灾难的打击,这些本来由于自己的勇敢、由于罗马人的恩情和友谊,过去一直在高卢享有霸权的人,被迫不得不把自己国内最尊贵的人交给塞广尼人做人质,还要用誓言束缚自己的国家:不得索回人质、不得向罗马人求救、不得拒绝永远服从他们的权力和统治。在爱杜依全国,只他狄维契阿古斯一个人没有被弄去宣誓,也没把自己的孩子交出去做人质,就为这缘故,他自己才逃出本国赶到罗马去向元老院求救,因为就只他一个人不受誓言和人质的拘束。可是,获得了胜利的塞广尼人,比起被征服的爱杜依人来,处境却只有更坏些。因为日耳曼人的国王阿里奥维司都斯就住在他们境内,占据了塞广尼人的三分之一领土,这是全高卢最富饶的土地,而现在,他却又要塞广尼人另外再让出三分之一来,因为几个月以前,二万四千阿鲁得斯人又来到他这边,要让出地方来给他们住。再息不多几年,全部日耳曼人都将跑到莱茵河这边来,这里的人都要被赶出高卢的领土,因为高卢的土地和日耳曼的土地,简直无法相比,他们那边的生活也跟这边的生活不可同日而语。阿里奥维司都斯在马其多勃里加地方一战击败高卢军队之后,就极傲慢、极残酷地进行着统治,把最尊贵的贵族们的孩子索去作为人质,这些人质略微做了一些未经他点头同意的事情,就得遭到各种各样的惨刑。他是一个粗野、任性、残暴的人,对他的统治谁也没法忍受下去。要不是凯撒和罗马人民出来设法给一些帮助,全高卢都得象过去的厄尔维几人那样离乡背井,远远避开日耳曼人,另外去寻找别的家乡、别的安身之处,去碰运气。无论什么样的事情在等待他们,也只得去试探一下。这些话要是被阿里奥维司都斯知道,毫无疑问,他要把最惨酷的刑罚加到在他那边的全部人质身上。只有凯撒,可以利用他自己本人或他的军队的威望、利用新近取得的胜利、或者利用罗马人民的名义,阻止他再把更多的日耳曼人带到莱茵河这边来,保障全高卢不再受阿里奥维司都斯的蹂躏。

    三二、狄维契阿古斯说完这番话时,所有在场的人开始大声嚎哭着恳求凯撒帮助。凯撒注意到所有人中,就只塞广尼人没跟别人那样哭泣,只管凄惶地低头注视着地面。他不知道这是为什么缘故,就询问他们。塞广尼人不回答,仍旧默默地保持着原来的凄惶神情。当他一再询问,得不到答复时,还是那位爱杜依人狄维契阿古斯作了回答:塞广尼人的命运,比起别的部落来更为惨痛、更为伤心,因此只有他们,那怕在背后,仍旧不敢诉苦,也不敢乞援,即使阿里奥维司都斯不在这里,对于他的残忍,也和他亲自在这里一样的惴惴畏惧。因为其余的人,无论如何,逃走的机会总还是有的,独有塞广尼人,因为他们把阿里奥维司都斯邀进自己境内,所有的市镇都在他的势力范围之内,不得不受尽各种苦难。

    三三、凯撒知道了这些事,就对高卢人说了一番鼓励的话,答应说。他会亲自关心这件事情。他说:他希望阿里奥维司都斯能够看在他的恩惠和威望面上,不再做伤害人的事情。说过这番话,就遣散了会议。其实,除了这原因以外,还有许多别的原故,促使他不得不考虑这件事,并且采取行动。首先,他知道屡次被元老院称作”兄弟”、”亲人”的爱杜依此应在受日耳曼人的奴役和统治,甚至他们还有人质落在阿里奥维司都斯和塞广尼人手里,这对罗马这样一个堂堂大国说来,不免是他本人和国家的一种耻辱。再说,在他看来,如果日耳曼人逐渐把渡过莱茵河看作一件习以为常的事情,大批大批地涌入高卢来,对罗马人民来说,将是一件危险不过的事,何况象他们这样粗野横蛮的人,绝不肯安分守己,一旦占有全高卢,就会象过去的钦布里人和条顿人那样,冲进我们的行省,再从那里蜂拥奔向意大利,特别因为塞广尼和我们的行省之间,只隔了一条罗唐纳斯河。根据这种种情况,他认为非迅速采取行动不可,而阿里奥维司都斯表现出来航那种自高自大、不可一世的态度,也是件难于忍受的事。

    三四、因之,他决定派使者到阿里奥维司都斯那边去,要求他选择一个和双方距离相仿的会面地点,他有公务和跟彼此都有重要关系的事情要和他商谈。阿里奥维司都斯回答使者说:如果他本人对凯撒有什么要求,他自会到凯撒这里来;如果凯撒有什么事情要求于他,凯撒也应该自己跑到他那边去。特别因为他不带军队,便不敢到凯撒所占有的这部分高卢来。如果要把军队集中起来带到某个地方去,又不可能不多带粮袜,大费周折。并且他还奇怪,在他用武力所征服的那一部分高卢中,有什么事情用得着凯撒和罗马人来费心。

    三五,这番回答带给凯撒后,凯撒又差使者再次带去如下的话;尽管凯撒和罗马人对他那样的恩德备至——就在凯撒任执政官的那一年,元老院给了他”国王”和”友人”地称号——但他给罗马人民的竟是这样的回答,连会面的邀请都不愿接受,对于双方都有关的事情,也不屑商谈和了解。凯撒要求他的事情是这样一些:首先,不要再带更多的人渡过莱茵河进人高卢,其次,归还从爱杜依人那边取来的人质,同时也允许塞广尼人把他们手中握有的人质还给爱杜依人;不再侵犯爱杜依人,也不再对爱杜依人和他们的周盟发动战争。如果他做到这些,凯撒和罗马人民将永远对他保持友谊和好感。反之,如果他不答应这些要求,那么,根据马古斯·梅萨拉和马古斯·毕索两人任执政官那年元老院的决议:、负责高卢行省的人,应当从共和国的利益出发,对爱社依人和罗马人民的其余友邦加以保护。因而,他不能坐视爱杜依人受到伤害。

    三六、对于这番话,阿里奥维司都斯回答说:根据战争的权利,战胜者可以随心所欲地支配他所战败的人。同样,罗马人统治,被征服者,也只是凭自己高兴,从来不听别人的意见。既然他从来不干涉罗马人行使自己的这种权利,他本人在行使这种权利时,就也不该受罗马人的阻碍。至于爱杜依人,他们曾经在战争中试过运气。刀兵相见之后,吃了败仗,才开始向他纳贡的。凯撒已经给他造成了很大的损失)凯撒的到来,已经使他的贡赋收入减少了。他决不会把爱杜依人的人质还给他们,如果他们能够履行先前的话,每年交付贡赋,他也不会无缘无敌对他们和他们的盟邦作战;反之,他们如果胆敢违背这些约定,罗马人的”兄弟”头衔,绝帮不了他们的忙。至于凯撒对他的警告,说他不会坐视爱杜依人受到的伤害,那末,他的口答是:没有谁和他作战不是自取灭亡的。凯撒只要愿意,尽可一试,领教一下战无不胜的日耳曼人——武艺娴熟,十四年没在屋子里住过的日耳曼人,凭他们的勇敢,能于出点什么样的事业来。

    三七、在这个消息带给凯撒的同时,爱杜依人和德来维里人派来了使者,爱杜依人申诉说:新近进入高卢的阿鲁得斯人正在蹂躏他们的领土,他们即使再加给阿里奥维司都斯人质,也不能换取和平。德来维里人申诉的是:苏威皮人住在莱茵河沿岸的一百个部,正在试图渡河过来,领导他们的是奈苏亚和钦百里乌斯兄弟两人。这些事情使凯撒大为不安,他决定自己必须迅速采取行动,否则,一旦新来的这股苏威皮人和阿里奥维司都斯原有的部队一联合起来,就将更难抵御。于是,尽可能迅速地准备起粮袜以后,就急急地向阿里奥维司都斯赶去。

    三八、当他赶了三天之后,接到报告说:阿里奥维可都斯已经带着全军赶去占领塞广尼人最大的市镇维松几阿,离开他的领域已有三夭路程。凯撒认为良己应当极尽全力防止这桩事情的实现。因为这个镇上储藏着大量的战备物资,而且地势险要,有很好的天然屏障,特别利于战守,杜比斯河差不多象圆规画怕那样绕整个市镇一周,只留下一个缺口没有包合,长度不到一千六百罗尺,恰巧有一座极高峻的山封闭着这个缺口,这座山的两面山脚,都一直伸到河边。有一道城墙包围着这座山,使它变成一个堡垒,跟市镇连戌一片。凯撒日以继夜的向那边赶去,占据了这个市镇后,就在那里安下守卫部队。

    三九、当他为了准备粮食和其他给养,在维摆几内作几夭耽搁时,我军的士卒向高卢人和客商探询情说,这些人的答复乌上在全军引起很大的恐慌,大大扰乱了所有人的心绪。这些高卢人和客商今称日耳曼人的身材魁伟、勇敢非凡、武艺也十分精熟,平时他们自己遇到日耳曼人时,简直不敢报视对方的面容;也不敢接触他们锐利的目光。恐怖最初发生在军团指挥官队骑兵指挥官和其他一些本来没有多少军事经验,只是因为友谊,才跟凯撤离开罗马前来的人身上。他们提出各式各样理由来说明自己有不得不离开的必要,请求凯撒同意他们离去。还有一些人只是为了顾全面子,想避免人家说他害怕,才勉强曾下来。但他们既掩饰不住愁容,也抑制不住眼泪。只是躲在营帐中,抱怨自己的命运。或者和他们的熟人在一起,为共同的危险而悲叹。全营的人都在签署遗嘱。不久,就连军事上颇有经验的人,象兵士们、百夫长们,以及带领骑兵的人,也都因这些人的传说和恐惧而感到惶惶然了。其中那些想把自己打扮成并不胆怯的人则倭称他们本怕敌人,他们担心的是路途险狭,横亘在他们和阿里奥维司都斯之间的森林又很辽阔,怕军粮供应不上。甚至还有些人告诉规撒说。如果他下令移营拔帜前进,士兵们不会听从命令,因为他们害怕,不放前进。

    四十、他注意到这些情况就召集了一个会议,把所有各个百人队的百夫长都召来。他激烈斥责他们,特别责像他们竟然把军队要开到哪里去和开去做什么。认为是应该由他们来过问和考虑的事情。在他担任执政官的那一年,阿里奥维司都斯曾经竭力求取过罗马人民的友谊,为什么现在谁都肯定他必然会粗暴得完全不顾情面了呢?至于他自已,他相信:如果对方一旦了解他的要求,知道他的条件是多么公平合理,就绝不会拒绝他和罗马人民的好意。即使说)。由于愤怒和疯狂的冲动,他终于发动了战争,他们又怕什么呢?;为什么他们要对自已的勇气.对他本人的领导毫无信心呢?在我们上辈人的记忆中,就是这些敌人)曾经威胁过我们。但在钦布里人和条顿人被该犹斯·马略击败的那一役中,军士们的值得赞扬,也绝不稍逊于那位统帅本人。就拿最近意大利发生的奴隶暴动来说。也是一样。他们学去的我们的经验和纪律。确实帮了他们不少忙。从这件事情来看,我们就可以判断,坚定能带来多大的好处,因为还没武装起来时我们就莫名其妙地畏惧的人,后来武装起来了,还得到了胜利,正当不可一世时,反被我们击败了。最后,就是这些日耳曼人,连厄尔维几人也常常跟他们交战,不仅在厄尔维几人自己的领土上作战,甚至还跑到对方的领土中去,一再击败他们,而厄尔维几人则早就被证明不是我军的敌手了。如果还有人被高卢人的失败和逃窜吓怕了的话,那末,这些人只要一调查就可以发现,在高卢人被漫长的战争拖得十分厌倦时,阿里奥维司都斯却一连好几个月躲在沼泽中的营寨里不出来,不给他们战斗的机会,等高卢人认为作战已经无望,纷乱四散时。他才突然加以攻击,他所以取得胜利,主要依靠的不是勇敢、而是计谋。这种计谋,捉弄一下没有经验的蛮族或许还行,如果想用它来对付我们的军队,就连他们自己也不敢梦想。还有那些把自己的恐惧倭称是因为担心军粮不继、道路险阻的人,他们却未免太放肆了,他们不是根本不相信统帅的战略部署,就是认为非得由他们自己来指点指点他;(凯撒)不可,其实这些事情应当是由他来考虑的。粮食有塞广尼人,吕契人和林恭内斯人在供应,田里的庄稼也已经成熟。说到道路,一短期之内他们就能自己判断了。至于有人报告说:兵士们会拒绝听从命令,不再拔帜前进,他绝不因为这件事情动摇,他知道。凡是被兵士拒绝听从命令的人,不是因为措置失当,为命运所弃,就是因为被发现了某些罪行,贪污有据。而他凯撒的清白却可以从一生的行事中看出来,他的命运之好,也可以从厄尔维几之役中看出来。因而,他要把本来想过一些日子再做的事情,提到现在来做,次日夜间第四更就要移营前进,以便尽可能早一些知道,在他们中间,究竟是自尊心和责任感占上风呢,还是恐怖占上凤。即令真的再没别人肯跟他走,只剩第十军团跟着,他还是照样继续前进。毫无疑问,第十军团一定能够这样做,他们正可以做他的卫队。凯撒最宠爱这个军团,也最信任这个军团,因为他们很勇敢。

    四一、这番话一说,全军的情绪都极奇妙地发生了变化,产生了要求马上投入战斗的巨大热情和渴望。第十军团因为得到他的好评,首先通过他们的军团指挥官们来向他道谢,并向他保证,他们已经作好一切战斗准备。其他各军团也通过他们的指挥官和首列百夫长,向凯撒作了解释,说:他们既不怀疑、恐惧,也不想妄自干预作战机宜,认识到这是应由统帅绝对掌握的事情。接受了这些解释,同时通过狄维契阿古斯——这是所有高卢人中最得他信任的一个——询明了道路,知道他可以绕道五十多罗里,领着军队从一条开阔平坦的路前进。他就照上面所说,在第四更起程。经过不断的行军,在第七天,侦察人员向他报告说:阿里奥维司都斯的军队,离我军已经只有二十四罗里了。

    四二、阿里奥维司都斯知道凯撒到来,就派使者来到他这里,说:凯撒过去所要求的会谈,现在他可以同意了,因为凯撒现在离他近了些,他认为这样做已经毫无危险、凯撒没有拒绝这个建议,认为他终于恢复了理智,所以才能把过去拒绝过的要求,又主动答应下来。因而凯撒怀着很大的希望,认为阿里奥维司都斯可能看在自已和罗马人民对他的极大恩惠面上、在了解了他的要求之后。会改变自己的倔强态度的,就指定在这一夭之后的第五天,举行会谈。在这段时间中,他们之间常常有信使往返。阿里奥维司都斯要求凯撒不要带步兵到会谈的地方去,他深恐中了暗算,被包围起来,双方可只带骑兵到场,否则他就不参加会谈。凯撒既不愿意有任何枝节横插进来,可以给他们作为破坏会谈的借口,又不敢冒险把自己的安全托付给高卢骑兵,就决定一个最万全的办法,他把所有高卢骑兵的马都抽出来,让给最得他信任的第十军团的兵士们骑上,以便在万一发生什么变故时,他可以有一支最亲信的卫队。当这事在安排时,第十军团的某一个士兵开玩笑的说:凯撒现在做的事情,已经远远超过他的诺言,他原来只答应过第十军团担任卫队,现在却让他们当上骑士了。

    四三、那边有一片大平原,平原上有一个很大的土墩,这地方离开阿里奥维司都斯和凯撒的营寨恰好差不多远。他们就按上文所说,到那地方会谈。凯撒把他放在马上带去的军团士兵安顿在距土墩二百步之外,阿里奥维司都斯的骑兵也停驻在同样距离的地方。阿里奥维司都斯要求会谈在马背上进行,并且除本人之外,每人各带十名骑兵参加。当他们到达那地点后,凯撒在开始谈话时,首先提起他本人和元老院对阿里奥维司都斯的恩德一一例如元老院给他”国王”和”友人”的称号、赠送给他大批礼物等等一一并且指出,这种殊恩是很少有的,一向只在一个人有了极大的功劳时才授予,阿里奥维司都斯却既没有可以作为进身之阶的借口、也没有要求它的正当理由,只是由于他凯撒本人和元老院的仁爱和慷慨,才得到了这种殊荣。同时他又指出。罗马人和爱杜依人之间存在着多么古老、多么正当密切的关系,元老院怎样一而再、再而三、而且关怀备至地为他们作出过决议。爱杜依人差不多去古以来就掌握着高卢的霸权,甚至在他们谋求罗马人的友谊前就是如此。罗马人的习惯是向来不肯让同盟和友邦蒙受损失,而是只希望他们在声誉、尊严和光荣上有所增长的,怎么能听任他们早先带来和罗马人结交的东西被夺走呢?后来,凯撒又提出曾经委托使者提出过的要求,要阿里奥维司都斯既不对爱杜依人、也不对他们的同盟交战、并且交还人质。如果不能把一部分日耳曼人遣返回到原地。去,至少不再让别的日耳曼人渡莱茵河过来。

    四四、阿里奥维司都斯对凯撒的要求回答得很少,却对自己的勇敢大加吹嘘。他说:他之所以渡过莱茵河,不是出于自愿。而是高卢人要求和邀请来的。没有很大的希望和很大的酬报,他们不会轻易离开家乡。在高卢取得的安身之处,是他们自己让出来的,人质也是他们自愿给的,取得贡赋是战争的权利,这是战胜者惯常加给被征服者的。他没有把战争硬加给高卢人,而是高卢人对他作战,全高卢各邦都起来攻击他,在他对面旗鼓森严地扎下了营寨,但他们却被他一战便击败并且征服了。如果他们愿意重新再试一下,他也准备再作一次决战;要是他们愿意和平,按道理说,就得缴纳贡赋,他们不是到今天还自愿缴纳吗?对他来说,罗马人民的友谊应该是一种装饰、一种保障,而不是一种障碍,他原来就是按照这种想法去谋求友谊的。假如因为罗马人出来说活,他就要取销贡赋、放过投降者,那他就宁愿把罗马人的友谊抛掉,抛的时候也会跟谋求它的时候同样轻松愉快。至于他之所以把大批日耳曼人带到高卢来。目的的是保卫自己而不是攻击高卢人。譬如说,他没接到邀请自己不过来、也不主动发动战争而只是自卫,这些都是很好的证明。他进人高卢比罗马人早,在这个时间以前,罗马人的军队从来没越出过高卢行省的边界。他凯撒究竟要怎样?为什么要到他占有的地方来?这里是他领有的高卢,跟那边是罗马人领有的一样。如果是他侵犯罗马人领有的疆界,自然不该原谅,罗马人去干扰他的统治。也同样是不合理的事情。至于说到元老院把爱杜依人称做”兄弟”,他也不是那么野蛮不懂事,竟然不知道新近爱杜依人在阿罗布洛及斯一役中没给罗马人帮助,而爱社依人在自己跟塞广尼人所作的斗争中。也没受到罗马人的帮助。他不得不怀疑凯撒虽然表面上装做友好,但在高卢保留一支军队,却是为了打击他的。除非凯撒离开并且把军队带出这个地区,否则他就不认为他是友人而是个仇敌了。如果他杀死了凯撒,就可以讨好许多罗马的显贵和要人一一他是直接从他们自己的使者们口中得知的——凯撒的死可以替他换来所有这些人的感激和友谊。要是凯撒肯离开,把高卢让给他自由自在地占领下去,他会重重酬报他,而且可以奉陪他作一次他爱怎样打就怎样打的战争,一点不用费心血,担风险。

    四五、凯撒说了很多话来表明他为什么不能把这件事置之度外。无论他本人还是罗马人民。从来都没忍心抛弃过真诚不渝的朋友不管,他也不承认阿里奥维司都斯比罗马人更有权占据高卢。阿浮尔尼人和卢登尼人都曾被奎因都斯·费庇乌斯·马克西姆斯在战争中打败过,罗马人民却宽恕了他们,既未把他们的国家改做行省,也没征收他们的贡赋。因而,如果以时间先后作为标准,罗马人统授高卢就应该是最合理的事情。再说,如果元老院的决议应该遵守。那末,既然元老院在高卢人被征服之后仍旧给了他们自治的权利,就应该让他们自由下去。

    四六、当这些事情正在会谈时,凯撒得到报告说:阿里奥维司都斯的骑兵,正在走近那土墩,朝我们靠拢,并向我军投射矢石。凯撒结束了讲话,回到自己的军队那边,命令他们无论如何不要向敌人还发一件武器。因为他虽然明知经他挑选出来的军团士兵和敌人骑兵交锋,毫无危险,但还是认为不应当动手,免得敌人被击败之后,会说他们是被他借谈判之名骗来加以包围的。后来,阿里奥维司都斯在谈判中怎样傲慢不逊、怎样想把罗马人驱逐出高卢全境之外,他的骑兵又怎样攻击我军、以致怎样中断了谈判等等,全都在我军大伙中传开了,一种摩拳擦掌,亟亟欲战的心情在全军传布开来。

    四七、两天之后,阿里奥维司都斯派使者来见凯撒,说他愿意把他们之间已经开始但未结束的那些事情继续谈下去。或者由他重新定一个谈判的日子、或者如果他本人不愿意,可以在他的副将中派一个人到他那边去。凯撒认为已经没有再会谈的必要。特别是前天那些日耳曼人一直向我们投掷矢石,止都止不住。他还认为把自己的副将派一个到他那边去做使者,听其落人蛮族手中,是一件极危险的事情。看来最合适的还是派该犹斯。瓦雷密斯·卡蒲勒斯的儿子该犹斯·瓦雷留斯·普洛契勒斯到他那边去,这是一个极勇敢、极有教养的青年,他的父亲是由该犹斯·瓦雷留斯·弗拉古斯授与公民权的。派他去,既是为了他的忠诚,也是为了他对高卢语言的熟练——阿里奥维司都斯由于长期使用这种语言,也已经说得很好——而且象他这样一个人,日耳曼人实在没有要伤害他的理由。陪同他一起去的还有马古斯·梅久斯,这是个已经以客人身分受阿里奥维司都斯款待过的人。他委托他们去了解阿里奥维司都斯有什么话要说,回来报告给他。但当阿里奥维司都斯在营中见到他们时,当着他的军队就叫了起来:”你们为什么到我这里来?是不是来当间谍的?”在他们想要发言时,他阻止了他们,把他们锁了起来。

    四八、同一天,他把他的营寨向前移动,在离凯撒的营地六罗里的一座山下安扎下来。就在这第二天,他又领着他的军队越过凯撒的营寨,在距他两罗里处安下营,想借此把从塞广尼人和爱杜依人处运来支持凯撒的粮食和供应截断。这天之后接连五天,凯撒每天都把他的军队领到营寨前面,按战斗的阵势布置好,如果阿里奥维司都斯想作战,好让他随时都有机会。但阿里奥维司都斯在这些日子里,一直把他的军队关在营里不出来,只以骑兵天天作些小接触。日耳曼人练习有素的战术是这样的:他们大约用六千骑兵,配备了同样数目的极敏捷、极勇敢的步兵,这些步兵都是骑兵们为了自身的安全,各人挑一个,从全部军队中选出来的,在战斗中跟他们配合在一起,骑兵撤退时就退向他们那边去,如果发生什么紧急情况,他们也很迅速的冲向前接应,有人受重伤从马上跌下来,他们便立在他四周团团围住保护他,如果需要前进得更远或撤退得更迅速时,他们的速度也练得非常之快,只要攀着马鬃,就可以随同骑兵一起进退。

    四九、凯撒看到他闭守在营中,觉得自己的给养不能一直这样让他阻截下去,就在日耳曼人扎营的那地方之外,离开他们的营寨大约六百步左右,选择一个适于扎营的地方,把自己的军队分成三列,向那地方赶去。他命令第一、第二两列武装戒备,第三列构筑工事。前面已经说过这地方离敌营约六百步左右,阿里奥维司都斯派去六千轻装步兵和全体骑兵,用以威胁我军,并阻止我军构筑工事。尽管这样,凯撒还是按照事先拟订的计划,命令两列军士阻击敌人,第三列完成了工事。营寨的防御工事完成后,他留下两个军团和一部分辅助部队,把其余的四个军团仍带回大营。

    五0、次日,凯撒仍照他原来的做法,把他的军队从这两个营中带出来,在大营前面不远的地方列下战阵,给敌人一个战斗的机会。当他发现敌人还是不肯出来时,就在中午前后,把他的军队仍领回营寨。阿里奥维司都斯终于派出一部分军队去进攻那个小营,双方一直激战到傍晚,太阳落山时,阿里奥维司都斯才把他那支受伤很多、伤人也不少的部队带回去。凯撒询问俘虏们为什么阿里奥维司都斯不出来一决胜负,发现其原因是这样的:原来日耳曼人中有一个习俗,作战有利与否,要由他们族里的老奶奶们经过占卜,请教过神愉之后再宣布。她们说:如果在新月出来以前作战,神意不会让日耳曼人得胜。

    五一、就这一天的次日,凯撒在两个营中各自留下大致足够防守的兵力之后,在小营前把全部辅助部队面对敌人布下阵来。因为他的军团士兵比起敌人来要少得多,就借辅助部队壮壮声势。他自己则把军队分为三列,一直向敌人的营寨推进。日耳曼人终于被形势所迫,也把他们的军队开出营寨来,阿鲁得斯人、马可蒙尼人、得里布契人、驻琼内斯人、内美德斯人、优杜西人和苏威皮人,一族接一族隔相等的距离布置下来。全军四周都用自己的四轮车和辎重车团团围住,使大家没有脱逃和幸免的希望。车上载着妇女们,她们伸出双手,痛哭流涕地哀求那些正在进人战斗的战士们,不要让她们落到罗马人手里去当奴隶。

    五二、凯撒给每个军团都派去一个副将或财务官,以便每个人都可以由他们来证明自己的勇敢。他自己则在右翼加入战斗,因为他观察到这一边的敌人最为脆弱。在战斗的号令一下,我军猛烈向敌人进攻时,敌人的推进也极为突然和迅速,使我军连向敌人投掷轻矛的机会都没有。他们只能抛掉矛,手接手地用剑迎战。日耳曼人很快就按照他们的习惯,结成方阵来迎接我军的剑击,这时,发现我军中有许多人都跳到敌人的方阵上去,用手拉开盾,从上向下刺伤敌人。当敌人的阵列左翼被我军击退并驱散时,他们的右翼仍以大量兵力紧紧地压迫着我军。统率骑兵的小布勃密斯·克拉苏斯看到这情况——他比在行列中战斗的人行动可以自由一些——就把第三列军队派上来帮助手忙脚乱的我军。

    五三、于是,战斗又重新恢复,所有的敌人都转身逃走,一直达到离那地方约五罗里的莱茵河才停止。在那边,有少数人,或则倚恃自己的精力,努力泅水渡过了河,或则寻得小船,逃出性命。阿里奥维司都斯也是其中之一,他看到一只系在岸边的小船,借此逃了出去。其余的人全部被我军追上杀死。阿里奥维司都斯有两个妻子,一个是苏威皮人,是他从家乡带出来的,另一个是他在高卢娶的诺列古姆人,是国王沃克契奥的妹妹,她是由她的哥哥送到高卢来跟阿里奥维司都斯结婚的。这两人都在逃奔中死去。他的两个女儿,一个被杀,一个被俘。该犹斯·瓦雷留斯·普洛契勒斯在身带三重锁链,由监守的人牵着奔逃时,恰巧落在带着骑兵追赶敌人的凯撒本人手里,这件事情带给凯撒本人的喜悦,并不亚于战胜敌人这件事本身,因为他看到高卢行省的这位最最尊贵的人、他的好友和贵宾,居然能从敌人手里抢出来还给他,命运之神总算没有用他的灾难来使这场喜事大煞风景。据普洛契勒斯自己说,敌人曾经当着他的面,占卜过三次,询问究竟马上杀死他好还是留待日后好,占卜的结果有利于他,才得保全至今。同样,马古斯·梅久斯也被找到了,带到凯撒这边来。

    五四、这场战事的消息传过莱茵河,已经到达河边的苏威皮人听到后,开始回家。住在离开莱茵河不远的那些人,趁他们正在万分惊惶时追上他们,杀死他们中的大部分人。凯撒在一个夏季中完成了两个重要战役之后,就把军队带进冬令营,在时令上比这一年实际上需要的还早了一些。留下拉频弩斯主持冬令营之后,他赶向内高卢主持巡回审判大会去了。

    第二卷

    一、如前所说,当凯撒在内高卢的冬令营,军团也安扎在那边时,屡次有消息传来说:整个比尔及——我们前面已经说过,它占高卢的三分之———在结成同盟,反对罗马,彼此之间还交换了人质,拉频弩斯的来信也证明了这一点。他们结盟的原因是这样的:首先,他们害怕一旦全部高卢被征服后,罗马军队就会去征讨他们;其次,他们还受到某些高卢人的煽动,这些高卢人中,一部分是因为既不愿日耳曼人在高卢多耽搁,同样也不喜欢罗马军队在高卢过冬和长期驻留;另外一部分是由于天生好乱成性,轻举妄动,盼望出现新的政权。煽动者中还有这样一些人,因为通常在高卢,有很大势力的,或者有力量能雇佣军队的,就可以占有王位,这些人认为要是在我们的统治之下,他们就难以达到目的了。

    二、这些报告和信件惊动了凯撒,他在内高卢征集了两个新的军团,在夏季开始时,将它们交由副将奎因都斯·彼迪乌斯率领着到外高卢去。当草袜刚一充裕时,他自己也赶到军中。他交给森农内斯人和跟比尔及人相邻的其他高卢人一件任务,即命他们去了解比尔及人在进行些什么活动,并把探到的情况报告他。他们众口一词地向他报告说:比尔及人正在征集兵员,并且正在把军队向一个地方集中。凯撒感到不能再犹豫,非马上向他们进军不可了。粮食准备好以后,就移营前进,大约经过十五天,就到达比尔及人边境。

    三、他出其不意到达那边,其速度之快出乎所有人的意料之外,比尔及人中离高卢最近的雷米人,派他们国内的首要人物依克契乌斯和安德康朴求斯担任使者,来见凯撒。他们说;他们愿意将自己本人和全部财物都交给罗马人保护和支配,他们既没有和别的日耳曼人通谋,也没参加对抗罗马人的联盟,无论要交纳人质也好,执行凯撒的指示也好,他们都已经作好准备,而且还愿意接凯撒进人他们自己的市镇,把粮食和其他物资支援他。他们说:其余的比尔及人都已经武装起来,住在莱茵河这一面的日耳曼人也都跟他们串通一气。这些人竟然狂热到如此地步,就连他们雷米人自己的兄弟之族和血亲、跟他们享受同样权利和法律、受同一个政权和首领管辖的苏威西翁内斯人,也阻拦不住,只好看着他们去附和别人。

    四、在凯撒询问他们哪些国家在武装、它们的力量有多大、它们的作战能力如何时,他发现下面的情况:比尔及人大多数是日耳曼人的后代,在很古的时候就渡过莱茵河来,因为这里的土地肥沃,便把原来住着的高卢人逐走,自己定居下来。就我们的父老记忆所及,当全高卢都受到钦布里人和条顿人扰骚时,只有比尔及人能挡住他们,没让他们侵入自已境内。为此,每当追忆那些往事时,他们便自认为在军事上有极大的权威和声望。雷米人又说:关于他们的人数,已经全部探听得很清楚,因为自己跟他们有邻居和同盟的关系,所以能够了解他们每一族在全比尔及大会上答应派来参加这次战争的军队有多少。在他们中间,使洛瓦契人在勇敢方面、势力方面、以及人数方面都最占优势。可以征集起十万军队,他们答应从这个数目中选出六万人来支持这场战争,但却要求把整个战争的指挥大权交给他们。苏威西翁内斯人是他们的紧邻,占有一片极辽阔丰饶的土地,他们有过一位叫狄维契阿古斯的国王,直到我们这一代还都记得,他曾经是全高卢最有势力的人,统治了这些土地中的绝大部分,甚至连不列颠岛也包括在内。现在的苏威西翁内斯人,由盖尔巴担任国王,由于他的正直和谨慎,在全体同意之下。已经把这次战争的指挥权授给了他。他们有十二个市镇,答应出五万兵士。答应出同样数目的还有纳尔维人,这被认为是比尔及人中间最野蛮、住得也最僻远的一族。阿德来巴得斯人出一万五千人、阿姆比安尼人出一万人、莫里尼人出二万五千人、门奈比人出七千人、卡来几人出一万人、维略卡萨斯人和维洛孟都依人同样也出一万人、阿杜亚都契人出一万九千人,至于通常都被混称为日耳曼人的孔特鲁西人、厄勃隆尼斯人和卡洛西人、拜曼尼人,据说都答应出四万人。

    五、凯撒用亲切的语言对雷米人鼓励一番之后,命令他们的全部长老都到他这里来集合,并把他们首领们的孩子带来给他做人质。所有这些,他们都在指定的那天—一细心地完成。他自己又热情地鼓励了那个爱杜依人狄维契阿古斯一番。向他指出:为了免得在同一时期跟敌人这样庞大的兵力作战,设法把敌人的军队分开,是一件对于双方的共同安全关系极为重大的事情。只要爱社依人能够把他们的军队带进使洛瓦契人的领土,开始蹂躏他们的土地,就能做到这一点。给了他这样的指示后,就遣他离去。当凯撒一知道全部比尔及人都集中在一个地方并向他开来,又从他派出去的那些侦察部队和雷米人那边探知,他们已离他不远时,他就急急领着军队,渡过雷米人边界上的阿克松奈河,在那边安下营寨。这样,他的营寨就有一面受到河流的掩护,使他的后方避免受敌人的威胁,雷米人和其他各邦送来的给养,也可以毫无危险地运到他这里来。这条河上有一座桥,他在桥边布置下守卫,同时还派奎因都斯·季度留斯·萨宾弯斯带着六个营,留在河的对岸,凯撒命令他造一座有十二罗尺高的壁垒和十八罗尺深的壕沟防卫着的营寨。

    六、离他的营寨八罗里,有一个叫做比勃辣克斯的雷米人的市镇。在进军途中的比尔及人开始转过头来,闹哄哄地去攻城。那天的防守工作极为艰苦。高卢人和日耳曼人的攻城方式毫无两样:先用大批人把防御工事团团围住,再开始用石块四面向城墙上掷去,把防守的人统统驱走,然后搭起盾龟,逐渐逼近,躲在下面挖掘城墙。这样做起来很方便,因为投掷了这么多石块和武器之后,再没人能在城上坚持下去。当围攻因为黑夜降临歇下手来时,雷米人中最尊贵、最有人望的依克契乌斯——前次派到凯撒这里来求和的代表之一,这时主持守城工作——派使者到凯撒这里来说:如果不派救兵去援助他们,势将无法再支撑下去。

    七、在半夜里,凯撒即用依克契乌斯派来的使者做向导,派湾米底亚和克里特的弓弩手、以及巴利阿里的射石手去援助那市镇。他们的到达,不但激起了雷米人抵抗的希望和反击的热情,同样也使敌人夺取市镇的梦想落空。因此,他们在市镇附近略事停留、蹂躏了雷米人的田地、并把所能赶到的全部村庄和房舍付之一炬后,用他们的全部兵力向凯撒的营寨赶来,在相距不到两罗里处,安下营寨。这个营寨,就它的炊烟和火光来推测,宽度当在八罗里以上。

    八、凯撒最初因为敌军人多势众,又一向负有骁勇善战的声誉,决定避免跟他们作战,只在每天进行的一些骑兵接触中,试探敌人究竟勇悍到什么程度,我军又果敢到什么程度。他终于党察到我军并不稍逊于他们。同时,他看到营寨前面的那块地方,正好天然条件极适合、极有利于布列战阵,因为扎营的那座山,只从平地上隆起不太高,它正面伸出去的一块地方,宽度恰好容得下布好阵列的部队,它的两侧面很陡,只正前方才缓缓地下降为平地。他就在山的两侧面各挖了一道大约为四百罗步的横截的壕堑,壕堑两端都建有碉堡,把他的作战机械布置在那边,免得把军队布列下来以后,数量上占极大优势的敌人,会乘战斗正吃紧时从侧面来包围他的军队。这些布置完毕之后,他除了把最近征召来的两个军团留在营中,以备必要时调出来作援军之外,其余六个军团,都在营寨前按战斗的阵列布置下来。敌人也同样把他们的军队引出营寨,布下阵势。

    九、我军和敌军之间,有一片不很大的沼泽。敌人等候在那边,想看我军是否涉渡过起我军也只严阵以待,企图在敌人敢于首先涉渡过来时,乘他们在混乱中攻击他们。当时只有骑兵在两番之间战斗着。双方既然都不作涉过沼泽的打算,凯撒就乘我军骑兵在战斗中占上风时,带着军队回营寨。敌人立刻从那地方急急赶到前面已经提过的在我们营寨后方的阿克松奈河去。他们在那边发现了渡口,就试探着把他们的一部分军队渡到对岸来。他们的打算是:如有可能,就突击攻下凯撒的副将奎因都斯·季度留斯坐镇的那座营寨,拆断桥梁;如果做不到这点,也可以破坏对我军作战极有助益的雷米人的领土,阻碍我军给养。

    一0、凯撒从季度留斯那边得到了消息,就派他的全部骑兵、轻装的奇米底亚人、射石手和弓弩手从桥上过河,向他们赶去,在那边发生了非常激烈的战斗。我军攻击那些正在困难地渡河的敌军,杀掉他们大部分人。当其余的人勇敢地跨过同伴的尸体企图渡河时,被大量的矢矛击退,最前面的已经渡过来的一批人,也被我骑兵围困歼灭。敌人这时知道无论袭击市镇也好、渡河也好,都已没有希望,又看到我军不前进到对我方不利的地方去和他们作战,加上他们自己的粮食供给不足,因此,他们召开全体会议,决定各人最好还是回到自己国里去,谁的领土首先遭到罗马军队入侵,大家就从各地赶到那边去救援,这样,便可以不在别人的领土上、而在自己的领土上作战,利用本土的资源供应军需。除了别的一些原因之外,还有一个理由在促使他们作出这样的决定:他们已经知道狄维契阿古斯和爱杜依人已经到达作洛瓦契人的领土,再也没法说服法洛瓦契人多留片刻,迟一点去援助自己的同族。

    —一、这样决定后,他们就在第二更时吵吵闹闹地冲出营寨,乱成一片,既没有一定的队列,也没有什么号令,因为各人都想管自己抢到行军途中最前面的位置,好急速赶回家去。因而他们的撤退乍看竟象是溃散一样。凯撒马上就从他的侦探人员那边得知这消息,但因为没有了解他们撤退的理由,深恐有埋伏,故而把他的军队和骑兵留在营中不出动。天明时,这消息得到侦察部队证实,他才派骑兵去骚扰他们的后队。这些骑兵交由奎因都斯·彼迪乌斯和卢契乌斯·奥龙古来犹斯·考达两位副将率领。另外又命他的另一个副将季度斯·拉频弩斯带三个军团在后面接应。他们攻击了这些人的后队,追逐了许多罗里,把正在逃奔的敌人杀死一大批。因为当他们的后队被我军赶上、停下来奋勇抵御我军攻击时,处在前面的人却因为看到自己离开危险还有一段距离,无论形势多么急迫、无论什么样的命令,都不能阻止他们奔逃,一听到叫喊的声音,马上就队列散乱,各自奔走逃生。这样,我们就不用冒丝毫危险,尽那天余下来的时间,放手尽情杀死他们的大批人,直到日落西山方停止追赶,按照给他们的命令,返回营寨。

    一二、次日,在敌人还没从惊骇和溃散中恢复过来之前,凯撒带领他的军队,进人和雷米人最接近的苏威西翁内斯人境内,经过急行军后,赶到一个叫做诺维奥洞纳姆的市镇。因为听说该镇守卫空虚,他企图乘行军途中顺路过去一举袭取它。但由于境宽城高,虽然防守着很少,却攻不下来。因而,给自己的营寨筑好防御工事后,就开始制造盾车,并准备攻城使用的各种东西。这时,进出来的全部苏威西翁内斯人也于次日晚上大批进入该镇。当盾车很快就朝市镇架设起来,敌人的城呼也给填进泥土,还造起了木塔时,这些高卢人过去见所未见、闻所未闻的巨大工程、以及罗马人的行动敏捷,使他们大为吃惊,就派求降的使者来见凯撒,加之雷米人从中代为求情,他们获得了宽恕。

    一三、凯撒接受了该邦最重要的人作为人质,其中包括盖尔巴国王自己的两个儿子,又收缴了城里的全部武器,然后答应了苏威西翁内斯人的投降,把军队带着向件洛瓦契赶去。他们已经把自己的全部人员和家财都集中到勃拉都斯邦久姆镇上,当凯撒带着军队离开那边还只五罗里时,他们的全部老人都跑出城来,开始向凯撒伸着双手,齐声诉说。他们愿意投身到他的保护和权威下来,再也不跟罗马人作战。当凯撒到达该镇,扎下营寨时,孩子们和妇女们也同样按照他们的习俗,在城上伸出双手,向罗马人恳求讲和。

    一四、狄维契阿古斯在比尔及人撤退时,就已经遣散了爱社依人,回到凯撒这边,这时也替他们请求说:伸洛瓦契人对爱杜依人是一向很忠诚友好的,他们之所以背叛爱社依人,跟罗马人作战,是受了他们的领袖们煽惑的结果。这些人谎称爱杜依人已经在受凯撒的奴役,受尽各种侮辱和污蔑。策划这些阴谋的领袖们在知道了自己给国家造成的灾难是多么深重时,都已逃到不列颠去。不仅伸洛瓦契人恳求凯撒仁慈宽大,就爱杜依人也同样要代他们请求。这样,爱杜依人在全部比尔及人中的威信就可以提高。历来发生什么战争时,爱杜依总是依靠他们的援助和资源的。

    一五、凯撒说:他正是为了尊重狄维契阿古斯和爱杜依人的缘故,才接受他们的投降,保全了他们。但因为他们的国家在比尔及人中力量最强大、人口也最多,所以他要了六百名人质。当这些人质交了出来,镇上所有的武器也都收齐后,他就离开这里,赶到阿姆比安尼人境内去。他们也毫不疑迟地连人带全部财富都献出来投降。跟他们国界相接的是纳尔维人,当凯撒探询纳尔维人的性格和习俗时,他发现他们的情况如下:商人向来没法接近他们,酒和其他近于奢靡的东西,他们绝不允许带进去,认为这些东西能够消磨他们的意志,减弱他们的勇气。他们都是极粗野、极勇悍的人,他们责骂和怪怨其余的比尔及人甘心向罗马人屈膝投降,抛弃世代相传的英勇。他们声明自己绝不派代表到凯撒这里来,也不接受任何讲和条件。

    一六、当凯撒越过他们的境界,行军三天之后,从俘虏口中得知萨比斯河离开他的营寨已不到十罗里,全部纳尔维人都集中在一渡过河的地方,等待罗马人来。跟他们在一起的还有他们的邻邦阿德来巴得斯人和维洛孟都依人,他们都是被纳尔维人说服来跟他们在一起,准备在这场战争中碰运气的,同时他们还在盼望着已经在路上的阿杜亚都契人的军队。妇女们和看来年龄不适于作战的人,都集中在一个有沼泽阻碍、军队难于通行的地方。

    一七、凯撒知道了这些事情,就派侦察部队和百夫长们前去选择宜于扎营的地方,当时跟着凯撒一起行军的有大批投降过来的比尔及人和别的高卢人。后来才从俘虏们口中得知,在那些日子里,他们看到了我军通常的行军方式。就乘夜赶到纳尔维人那边,告诉他们说:在我军的一个军团和另一个军团之间,插有大量辎重队,当前面的一个军团已经进入营寨,其余的军团还隔着一段距离时,乘机攻击那些身负行囊的士兵,是件轻而易举的事情。击溃他们之后,夺走他们的辎重,其余的军团就不敢再相持下去。纳尔维人还有一项从古传下来的习惯,即促使他们采纳送情报的人所提的建议,因为他们自古以来就没有骑兵,直到现在为止,他们对它还是不很热心,他们所有的力量,全在步兵上面。为了便于阻止邻国的骑兵进人境内劫掠,他们把半切齐的嫩枝弯着插向地下,不久它就向四面八方滋生许多繁茂的小枝,茅茨和荆棘也密密地夹杂着丛生在里面,很快就长成一道城墙似的藩篱,为他们构成一条很好的防御工事,人不但没法穿过,连窥探也不可能。我军在进军途中很受到这种藩篱的阻碍,因而他们就认为这是一个不可轻易放弃的计划。

    一八、我们选来扎营的地方,形势是这样的:那边有一座山,山坡匀称地向下降落,直抵我们前述的萨比斯河边。河边又升起另一座同样坡度的山,正好面对着上述的那一座,山脚下约有二百罗尺左右是空旷的地方,再上去就有森林掩盖着,因此不易窥见它的内部。敌人就躲在这些密林中。在空旷的地方,只有在沿着河的地方可以看到一些骑兵哨岗。那条河的深度约为三罗尺。

    一九、凯撒派骑兵走在前面,让其余的军队紧紧跟在他们后面,但进行的方式和次序却和比尔及人报告给纳尔维人的不同。因为凯撒的习惯,在他接近敌人时,以六个轻装的军团当做先锋,放在前面,全军的辎重都跟在他们后面,然后以新近征召的两个军团放在最后面掩护全军和保卫辎重队。我军的骑兵和射石手、弓弩手,一过河就和敌人的骑兵交锋起来。敌人时而退回藏在密林中的自己人那边去、时而又冲出林来攻击我军,我军追赶退走的敌人时却不敢越过那片可以遥望到的空旷地带。这时,我军走在前面的六个军团已经测量好工事,开始为营寨建筑防御工程。当我军的第一批辎重队被躲在林中的那些敌人看到时——这就是他们事先约好同时进攻的时刻——他们就在森林中布好行列和阵势,彼此鼓励了一番之后,突然以全部兵力猛冲出来,攻击我军的骑兵。后者很快就被击溃,陷入混乱。他们又用难于想象的速度奔到河边。一时看起来似乎林中、河边、以至我们身边,到处都是敌人,他们甚至还以同样的速度赶上山去,冲向我军的营寨和那些忙于筑工事的人。

    二O、这一来,凯撒就得在瞬息间做好许多事情,战旗要升起来——这是急须拿起武器来战斗的表示——信号要利用军号发出去,士兵们要从工事上叫回来,跑到远处去为壁垒寻找材料的人要集合拢来,阵伍要布列起来,战士要鼓励一番,还得把战斗号令发布出去。时间的急促和敌人的逼近使得这些事情大部分受到阻碍,但也有两件事情帮了忙,减轻了这些困难:第一,军士们的经验和技术经过前几次战斗锻炼后,什么事情该做,都能自己给自己安排,并不比有人指点差一些;次之,凯撒禁止他的副将们在营寨筑好防御工事以前离开各人的军团。这时,他们一看到敌人如此逼近和迅猛,就不再等待凯撒的命令,马上根据自己的判断行动起来。

    二一、必要的命令发布好之后,凯撒为要鼓励士卒,急急赶向随便遇上的那个军团去,正好途上第十军团。他没用更多的话鼓励士兵们,只吁请他们记牢自己原有的英勇,心里不要慌张,奋勇抵住敌人的攻击。当时敌人离他们已只有一矛可以投及的距离,他发出了接战的号令。同样为了鼓励士卒,他又向别的部分赶去,正好遇上战斗。时间十分急迫,敌人的斗志又十分坚决,我军不仅徽号没佩好,甚至戴上头盔、揭掉盾上的套子的时间都没有,各人从工事上奔过来时,恰好遇上随便哪一部分、第一眼看到随便哪个连队标志时,就在那边站定下来,免得因为寻找自己的队伍而浪费了战斗的时间。

    二二、军队的布置,与其说是根据正常的战术要求,还不如说是因为受到地形、山的坡度和时间的限制,没奈何才这样安排的。当各个军团各自在不同的地方抵御敌人时,由于有我们前面所说的极为警密的藩篱横隔在中间,无法眺望,也没法在适当的地方安置一些接应的兵力,既不能预料到哪些地方需要什么样的措施,也不可能由一个人来统一发布所有的号令,从而,遭遇既完全不同,结果便也各式各样了。

    二三、处在战线左翼的第九和第十军团的士兵,正好和也处在这边的阿德来巴得斯人相遇,掷罢轻矛之后。很快就把这些已跑得很乏力、气都喘不过来、而且负伤累累的敌人,从高地赶向河中去,又在他们竭力渡河;不暇应付时赶上去用剑砍死了一大批人。他们自己也毫不犹豫地渡河追去,赶到一个地形不利的所在,跟重新站定下来抵抗的敌人再次交锋,又一次把他们逐走。同样在另一面,别的两个军团,第十和第八,也击败和他们遭遇的维洛孟都依人,离开高地,一直杀奔到那条河的岸边。但这样一来,虽有第十二军团、以及离它不远之外还有第七军团驻在那边右翼,整个营寨的正面及左侧却差不多完全暴露了。全部纳尔维人,在他们的最高指挥官波陀奥耶多斯领导下,都急忙向那边赶去,一部分开始从暴露着的侧翼着手,包围这两个军团,另一部分向那山顶上的营寨攻去。

    二四、就在那时候,我们的骑兵和跟他们在一起的轻装步兵,即前面说过的在敌人第一次冲击时被击退的那些人,正在退回营寨时,恰好迎面碰上敌人,重新又向别的地方选去。在营寨后门和山脊最高处的军奴们,看到我军乘胜追过了河,正要抢下来收集战利品时,回头一看,却见敌人已经在我军的营寨中走动,急忙四处逃窜。同时,跟辎重队一起来的人也发出一片呼噪叫喊声,吓得到处乱窜。所有这些情形,使德来维里人的骑兵大为惊骇——他们以勇猛驰名全高卢,这次是由他们的国家派来支援凯撒的——当他们看到我们营中到处都是敌人,军团受到沉重的压力,而且几乎处在被围困之中,军奴们、骑兵们、射石手和管米底亚人也纷纷四散逃生时,便认为我军的处境已经绝望,急忙赶回家去,报告他们国里的人说,罗马人已经被打败和溃散了,他们的营寨和辎重也已经落到敌人手里。

    二五、凯撒在鼓励了第十军团之后,向右翼赶去,他看到自己的部下正受到沉重的压力,第十二军团所有连队标志都集中到一个地方,军士们也都拥挤在一起,使自己的战斗受到了妨碍,第四营的全部百夫长都已阵亡,指标志的人也被杀掉,连标志都已失落,其余各营的全部百夫长,几乎不是负伤便是阵亡,其中一个极勇敢的首席百夫长布勃留斯·塞克司久斯·巴古勒斯已经受了好几处重伤,无法再支持。其余的人都松下劲来,有些人由于自己身后失掉了掩护的人,就退出战斗,以避锋刃。另一方面,敌人却只管在正面从低处向上进攻,同时还冲击两面侧翼。看来形势已经十分危急,而且没有任何可以动用的后备力量。凯撒在后军的一个兵士手中抢过了一面盾——因为他自己来的时候没有带——就向阵线的第一列赶去,一面叫着百夫长们的姓名,鼓励着其他兵士,吩咐他们把连队标志移到前面去,连队与连队之间拉开,以便更自由地运用剑。他的到来,给士兵们带来了希望,他们的精神重新振作起来,各人都想在统帅的亲眼目睹之下,表现出自己即使身历险境时还骁勇善战到何等程度。敌人的攻势稍稍被遏止了一些。

    二六、凯撒看到在他近旁的第七军团,同样受到敌人的沉重压力,便指示军团指挥官们逐渐把两个军团连接起来,背靠背地两面朝着敌人作战。这样一来,士兵们互相掩护着对方,不再担心背后受到敌人包围,开始更坚强地站定脚跟,更勇敢地作战。同时,在大军后方保护辎重的两个军团,一听到战斗的新情况,立刻加快脚步赶来。山上的敌人马上就望见他们。这时已经占领敌人营寨的季度斯·拉频弩斯,也从高处看到我军营寨中发生的事情,就派第十军团来救援。他们从奔逃的骑兵和军奴口中知道了形势是那么危急、军团和统帅的处境又是那么凶险时,就尽其所能地加快速度奔过来。

    二七、他们的到达,使形势起了极大的变化,我军中即使因伤躺倒的人,也竭力倚在他们的盾上重新战斗起来。那些军奴,尽管自己没有武器,看到敌人慌乱,也不顾对方有武器,照样扑上前去。骑兵们也希望以自己的勇敢来洗刷掉溃逃的耻辱,就在所有战斗的地方一马当先抢到军团士兵的前面去。但敌人尽管生还的希望已经微乎其微。却仍显示出非常的勇敢。当他们最前列的人阵亡时,旁边的人便马上站到倒下的人上面,在他们的尸体上战斗,当这些人也都倒下,他们的尸体积成一堆时,活着的人就把它们当做壁垒,站在上面向我军发射武器,或者拦截我军发出的轻矛,投掷回来。因之,我们完全有正当的理由称这些敢于渡过大河、攀登高岸、闯人形势不利的地方的人为英勇无比的人。这些行为虽是极端不容易的,但高度的英勇使它们轻易做到了。

    二八、这场战斗结束,差不多就把纳尔维人这个民族连带他们的名字都消灭掉了。我们前面说过,那些跟妇女、儿童一起安顿在河口和沼泽地带的老年人,得知这场战斗的消息时,知道再没什么可以挡住胜利者,也再没什么可以保障被击败了的人,就在残存的人全体同意之下,派使者来见凯撒,向他投降。在谈到他们这个族所遭到的惨运时,据说,他们的六百个长老只剩下三个,能持武器作战的六万男子中,大约只剩下五百人。为要表示对他们的苦苦恳求有所怜悯,凯撒很细心周到地把他们保全下来,吩咐他们仍旧使用自己的疆土和市镇,并命令他们的四邻不许侵害他们和他们的财物。

    二九、至于我前面说到过的阿杜亚都契人,当他们以全部兵力赶来援助纳尔维人时,得到了这场战事的消息,就在半路上掉头回家,放弃了全部市镇和要塞,把所有的财物都集中到一处被自然条件极好地捍卫着的市镇里去。这市镇四面都被高峻的峰岩和陡壁包围着,只在一面有一条平缓的上山道路,不到二百罗尺宽,他们原已在那边筑了两重很高的城墙作为防御,这时又在城墙上放置了极重的石块和削尖的木桩。他们原是钦布里人和条顿人的后代,这两族人向我们的行省和意大利移动时,把他们带不走的那些辎重和财物,设法安顿留置在莱茵河这边,并从他们中间留下六千人来作为守卫和保护者。在他们被歼灭以后,留下来的那些人受到邻族的多年侵扰,一会儿进攻别人,一会又抵御别人的进攻,后来在大家同意之下,挑选这块地方作为住家。

    三0、我军刚到达时,他们不时从市镇里冲出来,跟我军作些小战斗。后来当我军造起了一座高十二罗尺、周一万五千罗尺、密布碉堡的长垒以后,便退守在市镇里不再出来。当我军的盾车推了上去,围墙堆了起来,同时他们还看到很远的地方正在建造木塔时,最初他们只管取笑,讥讽我们说:老远造起这么笨重的器械来干什么?特别是象你们这样矮小得可怜的人,要费什么样的手脚、什么样的精力,才能把这么笨重的木塔搬到城下来呀?因为和他们的魁伟身材一对比,我们的矮小常常受到大部分高卢人的轻视。

    三一、但他们一看到它居然移动起来,向他们的城墙靠近时,新奇而又陌生的景象刺激了他们,他们派求和的使者来见凯撒。使者们是这样说的:他们相信罗马人作战时是有神灵相助的,所以才能把这样高大的机械迅速地移动到就近来作战。他们愿意把自己连人带全部财物都交给凯撒,听凭处理。他们只要求允许一件事情:如果侥幸得蒙他的仁慈和侧隐——他们老早就听人说过这个——决定饶恕阿杜亚都契人,希望也不要把他们的武器没收掉,因为差不多所有他们的邻人都仇视他们,妒忌他们的英勇,如果他们交出武器,就再也无法保卫自己。要是真让他们落到这种倒霉的境地,还不如听凭罗马人随便怎样处理,总比让一向受自己统治的那些人残酷杀害好些。

    三二、凯撒对他们的这些话回答说:假使他们在撞锤还没触到城墙之前就投降,他就会保全他们的国家。这样做,主要是因为他自己一向以宽大为怀,而不是因为他们的过错有什么可以原谅的地方。但投降没有别的条件,唯独要他们把武器交出来。他自然会象过去给纳尔维人安排的那样,命令他们的邻居不许对已经投降罗马人的国家作任何侵害。使者们把这些诗回报了他们国内的人以后,他们答应执行凯撒的命令。大量武器从城墙上掷下来,投入市镇前面的壕堑里,堆积得差不多跟城墙一样高。就算这样,后来还发现几乎有三分之一武器被隐藏下来,藏在市镇里。城门打开了,当天他们就获得了和平。

    三三、傍晚,凯撒下令关上城门,并命令士兵们都撤离市镇,以免镇上居民受到侵害。后来才知道,他们事先就商定了一个阴谋。他们相信,一投降之后,我军就会把哨岗撤走,或者,至少也要在防守上松懈许多。他们一部分人用留藏起来的武器,一部分人用树皮做成或柳条编就的盾——因为时间短促,只匆匆蒙上一层兽皮——在第三更时,突然全力从镇上夺门而出,拣我军的工事最易于攀登的地方冲出去。很快地,信号按照凯撒事先作的指示,用火光马上传开,士兵们从附近的碉堡中立刻奔向那边集中。在这场战斗中,敌人作战的猛烈程度,只有象他们这样勇悍的人,需要在不利的地形抵御从壁垒和木塔中向他们纷纷发射矢石的敌人、生路只剩一线时,才会表现出来。这时唯一可以寄希望的东西就是自身的勇敢了。约有四千人被杀,其余的仍被驱口镇上。次日,把已经不再有人把守的城门打开了,我军进人镇中,凯撒把镇上的全部战利品一下子就拍卖出去。据买的人向他作的报告,他们买下的人达五万三千之多。

    三四、就在那时,布勃留斯·克拉苏斯——他是奉凯撒的命令带一个军团去征讨文内几人、文内里人、奥西兰米人、古里阿沙立太人、厄苏维人、奥来尔契人、雷东内斯人这些连接大洋的沿海各邦——向他报告说;所有这些国家都已被收归罗马人民的权力和管辖之下。

    三五、这些工作完成后,全高卢都已平定,这场战争在蛮族中引起的震动如此之大,连住在莱茵河以外的一些族也都派使者到凯撒这里来,答应交纳人质。并奉行他的命令。凯撒因为急着要赶到意大利和伊里列古姆去,就命令这些使者在明年初夏时再到他这里来。他自己把他的军团带进设在卡尔号德斯、安得斯、都龙耐斯以及邻近新作战地区的各邦的冬令营后,立刻出发到意大利。元老院接到凯撒的信后,决议为这些战役作十五天谢神祭,这是前所未有的事。

    第三卷

    一、当凯撒出发到意大利去时,他派塞维乌斯·盖尔巴率领第十二军团和一部分骑兵去讨伐南都阿得斯人、维拉格里人和塞邓尼人。他们的领域从阿罗布洛及斯的边界、勒茫纳斯湖和罗唐纳斯河开始,直抵阿尔卑斯山顶。凯撒派他去进讨的原因是想打通商人需要经过很大的危险和缴纳很重的捐税才能通过的阿尔卑斯山通路。凯撒答应他,如果他认为军团有必要在那边过冬,就可以留在那边。盖尔巴进行了几次顺利的战斗,攻取了他们不少碉堡之后,各方面都派使者来到他这里,交纳人质,缔结和约。于是,他决定在南都阿得斯人这边留上两个营,然后自己领着那个军团的其余各营,到维拉格里人的一个叫做奥克多杜勒斯的村庄去过冬。这村庄处在一个山谷中,只有一片不大的平地跟它相连,四周都有极高的山包围着。由于那村庄被一条河流一分为二,盖尔巴使把半个村庄让给高卢人住,另外空出来的半个村庄留给他的军队住着过冬,并且筑了壁垒和壕堑,防护这地方。

    二、他在冬令营度过了一些日于,还命令从邻近运粮食来,突然有侦察部队向他报告说:让给高卢人住的那部分村庄,忽然在夜间全搬空了,俯临村子的四周高山已被大量塞邓尼人和维拉格里人占据着。高卢人所以突然采取重新作战、袭击我军的计划,是有一些原因的。首先,他们轻视我军人数少,只一个军团还不足额,除了已经抽走两个营之外,被零零星星派出去寻找给养的人也不少。其次,他们认为我军所处的地形不利,只要他们从山上向峡谷中冲下来,一投掷矢石,这第一阵攻击我军就难以阻挡。此外,还因为他们自己的孩子被当做人质带走,感到痛心,而且相信罗马人试图占领阿尔卑斯山顶,不仅是为了要打通道路,而是想永久占领它,把这地方并到邻近的行省里去。

    三、盖尔巴接到这消息时,冬令营的工程和防御工事还没有竣工,就连粮食和其他的给养也没准备充足,本来他认为他们已经投降了,还接受了人质,可以不用担心战争了。这时,他迅速召集了一个军事会议,开始征求意见。在这会议上,因为发生了这样出乎意外的突然危险,已经可以看到差不多所有高处都已布满大批武装队伍,道路被隔断了,没有援军能赶得来,也没接济能运得来,在这种安全处于绝望状态的时候,自然有不少人提出意见,要求把辎重留下,突围出去,仍从来的那条路退回去,寻求生路。但就大部分人来说,都认为这个方案不妨留作最后手段,目前姑且等一下,看看事情如何发展,并且守卫好营寨再说。

    四、只经过很短一段时间,差不多还来不及安排和实行他们所决定的事情,敌人就一声号令,从四面八方冲下来,一阵阵石块、重矛,向我方的壁垒乱发。最初,在精力充沛时,我军奋勇地抵抗着,从高处发出去的武器,也很少落空,一发现营寨有哪一部分守卫者被驱走,压力沉重时,就都赶到那边去相援。但在这点上他们很吃亏,敌人遇到作战时间一长,感到疲劳时,就可以退出战斗,由别的生力军来填补他的位置,我军却因为人数太少,根本没法这样做,不仅疲劳的人不能退出战斗,就是受伤的人也一样没有离开岗位、稍事休息的机会。

    五、战斗连续不停拖到六个刻时以上的时候,我方人员不仅精力不济,就矢矛也难于为继了,敌人的进攻却分外猛烈,开始趁我军精疲力尽的时候,拆毁我军的战壁,填没我军的壕堑。在这事机万分危急的时候,首席百夫长布勃密斯·塞克司久斯·巴古勒斯——即我们说过跟纳尔维人作战时受伤多处的那个——和智勇兼备的军团指挥官该犹斯·沃卢森纳斯,急忙奔到盖尔巴这里来说:唯一可保安全的办法只有突围,试一试最后这一步棋了。于是盖尔巴召集百夫长们,命令他们很快通知兵士们,暂停战斗片刻,收集起投掷进来的武器,并略事恢复疲劳。后来,一声令下,从营中突围出去,把他们全部的安全希望,都寄托在勇敢上面。

    六、他们按照给他们的指示办事,突然从营寨的所有各个门同时突围出去,使敌人既没有机会了解发生了什么事情,也来不及集合自己的人员。运气却就这样完全转了过来,那些企图赶来占领营寨的人,到处受到我军的包围和歼灭。集中到我军营寨来的据说有三万多人的蛮族中,三分之一以上被杀死,其余的都被吓得惊惶四散,甚至连高地上也没让他们再停下去。就这样把敌人全军击溃、武器也都收起来之后,他们才回进营寨和工事。经过这次战斗,盖尔巴不愿意再碰运气,他还记得他之所以到这里来过冬,本来是抱着一定的目的来的,但现在遇到的完全是另一种情况,特别是缺乏粮食和给养使他很忧虑,便在次日,把那村庄的全部房舍付之一炬后,急急赶回行省。一路没遇到敌人阻挡和干扰,他把军团安全地带进南都阿德斯,又从那边进入阿罗布洛及斯,就在那边过冬。

    七、经过这些事情之后,凯撒认为有一切理由可以假定目前高卢已经完全平定——比如说,已经征服了比尔及人、驱逐了日耳曼人、击败了阿尔卑斯山区的塞邓尼人——因而可以在冬天出发到伊利列古姆去,访问一下那边的部落,了解一下那个地区的情况。就在这个时候,高卢突然爆发了战争。这场战争的原因是这样的:那小布勃留斯·克拉苏斯本来是带着第七军团驻在靠近大洋边的安得斯人境内过冬的。他因为那一带地方缺乏谷物,就派出一些骑兵指挥官和军团指挥官到邻近各邦去征取谷物和给养。这些人中,季度斯·德拉西第乌斯被派到厄苏维人那边、马古斯·德来彪斯’加卢斯被派到古里阿沙立太人那边、奎因都斯·维朗纽斯和季度斯·悉留斯被派到文内几人那边。

    八、文内几这个国家的势力,远远超过沿海的一切地区,因为他们不但拥有大量船只,惯于用来远航不列颠,而且就航海的知识和经验来说,也远远超过其他人。加之,散布在这片海涛汹涌、浩荡无边的大洋沿岸的几个港口,全都掌握在他们手中,习于在这片海洋上航行的所有各族,差不多都得向他们纳贡。首先发起扣押悉留斯和维朗纽斯的正是他们。他们认为如果能扣下这两个人,就可以用来换回自己交给克拉苏斯的人质。高卢人采取什么行动一向是很突然、很匆促的,在他们的势力影响之下,邻近各族也就因同一目的扣留了德来彪斯和德拉西第乌斯。使者们很快地在他们的领袖中往来奔走一番之后,他们之间便设下了盟誓,规定除一致同意之外,不得擅自单独行动,原因是好让大家分担同样的命运。他们还煽动其他各族说:与其忍受罗马人的奴役。不如继续保持祖先们传下来的自由。所有沿海地区都很快接受了他们的意见。他们联合派使者来见布勃留斯·克拉苏斯说:如果他想要自己的部下回去,就得把人质还给他们。

    九、凯撒从克拉苏斯处得知了这个消息,因为他离开那边较远,就命令在流入大洋的里杰尔河上建造战舰,到行省里去征集桨手,并准备好水手和领航。这些事情很快就执行完毕,一到季节许可时,他自己匆匆赶到军中。文内几人及其他各邦的人一听到凯撒到来的消息/同时也知道自己把使者——持有这种称号的人是在各族人民中一致认为神圣不可侵犯的——扣留下来投人牢狱,是一件极为严重的罪行,便估量着将落到自己头上来的危险有多大,而积极备战起来。因为他们对自己所处的地理形势抱有很大的信心,所以特别留意准备那些船只所需用的东西。他们深信,由于河口港汉纷纭,陆路被切断了,加之我们地势不熟,港口稀少,海路也受到了一定的阻碍。他们还认为我们由于缺乏粮食,绝不可能在他们那边耽搁很久。即令发生的事情件件都跟他们设想的相反,他们的舰只仍不失为一支强大可靠的力量,罗马人既不可能有很多舰只,又不了解自己就要在那边作战的这个地区的浅滩、港口和岛屿的情况,而且他们知道,在茫无边际的大洋上航行,究竟跟在狭隘的海面上是完全不同的两回事。既经这样决定之后,他们就给市镇筑起防御工事,把乡间的谷物运进城里,还把大量船只集中到文内几人境内;他们认为,凯撒要用兵,一定首先在文内几人那边开始。他们把奥西丝米人、勒克索维人、南姆内德斯人、安皮利亚几人、莫里尼人、狄布林得斯人和门奈比人都联合起来,作为参加这个战争的同盟,并派人到正好面对这些地区的不列颠岛上去召请援军。

    一0、要进行这场战争,存在着许多困难,已如上述。虽然如此,促使凯撒从事这次战争的原因却有许多:因扣留罗马骑士而给罗马的侮辱、投降之后又轻易背叛、交了人质后再肆意反复、这么多国家的通谋叛乱、特别重要的是他深恐如果姑息了这一地区的行动,其余各族就会认为也允许他们这样做了。他很了解差不多全高卢人都爱闹事,要煽动他们作战是件极容易的事,同时他也知道,一切人的本性都是爱好自由,痛恨受奴役的。因此,他应该在还没更多的部落参加这次叛乱以前,先把自己的军队分开,散布得更广一些。

    —一、因而他派他的副将季度斯·拉频弩斯带着骑兵到靠莱茵河最近的德来维里人那边去,命他去访问雷米人和其他比尔及诸族,嘱咐他们保持忠顺,如果日耳曼人企图用船只强渡过来——据说比尔及人已经邀请他们过来帮助自己——便截阻他们。他又命令布勃密斯·克拉苏斯带十二个营和大批骑兵进入阿奎丹尼,防止这些族派援军进入高卢,免得这么大的两个部落联成一气。又派副将奎因都斯·季度密斯·萨宾多斯带三个军团进入文内里人、古里阿沙立太人、勒克索维人中间去,注意不让他们的兵力和其他各邦联合起来。他还派年轻的特契莫斯·布鲁图斯统率舰队以及从庇克东内斯、桑东尼和其他仍旧保持平静的地区集合起来的高卢船舰,并命令他尽速向文内几地区赶去。他自己也带着步兵,向那边前进。

    一二、他们的市镇,所处的位置总是一个样子,一般都坐落在伸到海中的地角或海呷的尖端,因为洋中来的大潮,一天二十四刻时中间总要涌进来两次,所以步行不能到达;而且因为潮水总得退去,船只会触在礁石上碰伤,因此也无法乘船前往。上述的两种情况,都使攻取他们的市镇受到阻碍。有时逢到他们偶然被我们巨大的围城工程所困,海水被几乎跟市镇的城墙一样高的围墙或堤岸隔断,使他们感到危在顷刻时,他们马上把大批船只调进港口(这是他们的优势所在)。把他们的全部财物连带自己本人都载走,到最近的一个市镇,利用同样有利的地形,重新进行抵抗。在夏季的大部分时间中,他们这样做更加方便,因为我们的船只受到风暴的阻碍,在这浩瀚、空旷的洋面上航行有极大的困难,加之,那边的潮水涨得极高,少数几个港口又分布得稀稀落落,几乎等于没有。

    一三、他们的舰只是这样建造和装备起来的:船身的龙骨比我们的要平直得多,因而遇到浅滩和落潮时,更容易应付。船头翘得很高,船尾也一样,适于抵御巨浪和风暴。船只通身都用橡树造成,经受得起任何暴力和冲击。坐板是一罗尺来粗的木头横档做成的,甩拇指那样粗的铁钉钉住。扣紧锚的也是铁链而不是普通的缆绳。帆是用毛皮或精制的薄革制成的,所以使用这些东西,不是因为他们缺乏或不知道利用亚麻,就更可能是因为他们认为要经得起洋面上如此险恶的波浪、如此猛烈冲击的飓风、要驾驭如此重载的巨舶,帆是不适合的。如果我们的舰队和他们的船只一朝相遇,我们的舰只在速度上和使用桨这一点上胜过它们,至于其他,就这地区的自然条件和风浪险恶而论,他们的船只各方面都比我们更合适、更可取些。他们的船只造得如此之坚牢,我们既不能用船头上的铁嘴去撞伤它们,又因为它们高,也不容易把投掷武器投掷上去,由于同样原因,它分地不可能被铁钧搭住。再加上泰逢风暴发作时,他们可以乘风扬帆,处之泰然,既能够从容应付风暴,又可以安然停泊在浅滩里,即令退潮,也不怕那些岩石和暗礁。这些危险,却都是我们的舰只所要担心的。

    一四、凯撒在攻取他们的许多市镇后,发现只占领市镇,并不能阻止敌人逃走,也伤害不了他们,白白浪费许多劳动力,便决定等他的舰队来临。它们刚一到来,被敌人一眼看到时,马上就有他们的大约二百二十艘舰只,准备充分、配备齐全,从他们的港口驶出来,停在我们的舰队对面。率领整个舰队的布鲁图斯和每人指挥一只军舰的军团指挥官们、百夫长们,都一点不知道该怎么办、采用什么样的战术才好。因为他们都知道船头上的铁嘴伤害不了它们,即使甲板上竖有望塔,但蛮族舰只的后身,高度超过了它,我们处在较低的位置,武器不可能有效地投掷到它上面去,高卢人掷向我们的武器却将更加分外有力。我们准备好的东西只有一件起了很大的作用,即一种嵌在长竿上并且缚得很牢固的锐利的钩刀,其形式大约跟攻城用的挠钩相似,当把帆论扎牢在船桅上的绳索一旦被它们钩住拉紧的时候,我们的船只努力鼓桨前进,绳索就被割断。散索一断,帆行也必然就此落下来。既然高卢军舰的全部希望都寄托在帆和索具上,它们一落掉,军舰的功用也就同时全部完结,这场战斗余下来的工作就是较量勇力了。我军在这方面是毫不费力就可以占得上风的,特别因为这场战斗是当着凯撒和全部大军的面进行的,任何行动,只要稍稍比别人勇敢一些,就不会不引人注目,因为这时差不多所有的山丘、高地、凡是可以就近俯视海面的地方,全都在我军占领之下。

    一五、敌舰的帆行被拉下以后,虽然我们每只军舰都受到他们两三只军舰包围。我军仍旧全力爬登到敌舰上去作战。蛮族一看到发生了这样的事情,一时找不出解救的办法,只得马上匆匆逃去。在他们掉转舰只刚想乘风驶去时,海上突然出现一段极端平静、一丝风浪都没有的时刻,使他们的船只一步不能离开那地方。这确确实实是结束这一战役的极好机会,我军追上去—一袭取了它们。战斗从第四刻时一直拖到日落以后,全部敌舰中,只极少数能乘黑夜降临,逃回岸边。

    一六、这一次战役结束了文内几和整个沿海地区的战事,因为,一方面他们的全部青年、以及全部年龄虽大一些、但却有谋略或地位的人,都已集中在这里;另一方面,他们在这里也同样集中了到处搜罗得来的所有船只,这些船只一失掉,不仅幸存者再无处可逃,也再无别的方法可以保卫自己的市镇。因此他们只能把自己的全部生命财产都献给凯撒乞求投降。凯撒决定给他们比较严厉的惩罚,好让使节的特权将来得到蛮族更大的尊重,因而在处死他们的全部长老之后,又给其余的人全都戴上花圈,当做奴隶拍卖出去。

    一七、当这些事在文内几进行时,奎因都斯·季度密斯·萨宾管斯带着凯撒交给他的军队,进入文内里人的领土。领导着文内里人的是维里度维克斯,他掌握了所有那些叛乱的邦的最高大权,并且从这些邦里征召军队,集中起大量兵力。近几天中,奥来尔契人、厄布洛维契人和勒克索维人也在杀掉他们自己的那些不肯出来担任战争发起人的长老之后,闭上城门,跟维里度维克斯联合起来。此外,还有从高卢各地赶来的大批亡命之徒和匪盗,抢劫的习气和对战争的嗜好,使他们抛掉了农活和日常劳动。萨宾管斯却只坚守在一处应付各种事故都很方便的营寨中,当维里度维克斯在两罗里以外安下营寨,每天都把军队带出来给他战斗的机会时,萨宾努斯却不仅引起敌人的轻视,甚至还受到我军士兵的一些冷言冷语的讽刺。他的故作胆怯给了敌人深刻的印象,他们甚至敢于一直跑到我军营寨的壁垒前面来。他之所以这样做,是因为他认为一个副将,特别当负责总指挥的人不在场的时候,不该擅自跟这么大的一支军队作战,除非恰巧逢到很合适的地形和极有利的时机。

    一八、这种伪装的胆怯一经被敌人深信不疑时,萨宾管斯选定了一个很合适而又机敏的高卢人——这是他作为同盟军带在身边的人之———他用慷慨的奖赏和诺言诱使他去投奔敌人,并教他该怎么做。这个伪装逃亡的人逃到他们那边时,就把罗马人如何害怕—一讲给他们听,还告诉他们。凯撒本人也正在受到文内几人的进攻,处境困难,萨宾管斯至迟在明天晚上就要带着他的军团秘密离开营寨,赶去支援凯撒。他们听到这番话后,异口同声地嚷着说:一举成功的大好机会千万不可以错过,应该赶到罗马营寨去。有许多原因鼓励高卢人采取这一步:前些日子萨宾努斯所表现的畏缩;逃亡者证实的消息;粮食的缺乏(因为他们没好好准备);文内几人的战争所带来的希望;以及人们通常总相信自己的愿望会实现的心理。他们受到这些原因的推动,便硬缠着维里度维克斯和别的领袖们不放,不让他们退出会议,直到这些人答应他们拿起武器、赶到我辛营寨来方息。一得到许可时他们那副欢天喜地的样子,好象胜利已经稳稳地捏在手里似的,在收集了准备填没罗马人壕堑用的柴把和树枝之后,便向罗马营寨赶来。

    一九、营寨所在的地方是一片高地,从山底缓缓升起的斜坡长达一罗里左右。他们从那边用极快的速度跑上来,目的是尽可能不让罗马人有集合和武装自己的时间,因而他们到达时,差不多连气都喘不过来。萨宾管斯鼓励了他的部下,发出他们渴望已久的战斗信号。当敌人正身负重荷、累赘不堪时,他命令部队从营寨的两个门突击出去。由于地形的优势、敌人的无知和疲劳、我军的勇敢和历次战争中得来的经验,他们简直一触即溃,立刻转身逃走。我军士兵趁他们乱成一团时以极旺盛的精力追逐,杀死他们大批人,其余的也由骑兵追逐下去,只留下极少数,飞奔逃出性命。这样,萨宾弩斯得到凯撒海战胜利的消息,恰恰正和凯撒接到萨宾湾斯的捷报同时。所有的国家都马上向季度密斯投降,正因为高卢人的性情浮躁、轻于寻衅惹祸,所以他们的气质也很脆弱,完全经受不起挫折。

    二0、大约同时,在布勃留斯·克拉苏斯一到阿奎丹尼——正如前文所说,这地区由于幅员广大、人口众多,被视为高卢的第三部分——时,他就已经看出,他自己要在这里进行一场战争。这地区正是几年前副将卢契乌斯·瓦雷留斯·普来孔宁纳斯的军队在这里被击败、本人也在这里遇害的地方。也就是代行执政官卢契乌斯·孟尼留斯在丢掉辎重之后才得逃出去的地区,因此自己必须加倍警惕才行。克拉苏斯在准备好粮食、召集了辅助部队和骑兵、并且从邻接这些地区的托洛萨、卡加索和东波等高卢行省中的几个邦指名召集了许多勇士之后,领着军队进入索几亚德斯人的境内。得知他到来的消息,索几亚德斯人集中大量兵力,特别是作为主力的大批骑兵,赶来突袭行军中的我军。最初作了一次骑兵战,然后,当他们的骑兵被击退,我军正在追逐时,他们埋伏在山谷中的步兵突然冲出来,趁我军骑兵分散时进行攻击,重又战斗起来。

    二一、战斗时间长而且激烈。索几亚德斯人一则倚恃前次的胜利,再则还认为整个阿奎丹尼的安全都得靠他们的勇敢;我军的士兵则急切想给人们看看当统帅不在场、其他军团不在场、只在年纪很轻的将领率领之下,自己能取得什么样的成就。终于,敌人负伤累累,转身逃走。他们中间大批人被杀死。克拉苏斯开始转过头来攻打索几亚德斯人的市镇。当他们顽强地抵抗时,他建造了许多盾车和木塔。他们时而试行突围、时而又掘地道通到我军的壁垒和盾车附近来——掘地道是阿奎丹尼人最拿手的工作,因为他们那边许多地方都有铜矿——后来他们知道我军戒备严密,这些事情都徒劳无益时,就派使者来到克拉苏斯处,求他允许他们投降。得到允许之后,他们遵命交出武器。

    二二、正当我军的注意力都集中在这件事情上,担任最高司令的阿狄亚都安纳斯带着六百名死党——这种人他们称之为”共命”,他们和与他们倾心订交的人同享一切生活享受,逢到有什么强暴落到与之订交的这个人身上时;不是跟他一同经受患难,就是自杀。到现在为止,就人们的记忆所及,还没一个人在他与之打交的人被杀时吝惜一死的——在市镇的另一部分竭力想突围出去。我军一听到这部分工事上发出一阵喧闹声时,纷纷持武器赶去,在那边发生激烈的战斗,他们被驱回镇内。不过,他们仍旧得到克拉苏斯的允许,跟别人享受同样的投降待遇。

    二三、克拉苏斯接受他们的武器和人质之后,又进军到获卡德斯人和塔鲁萨得斯人境内。这些蛮族一听到一个有自然条件和人工防卫得很好的城镇,没几天就被我军攻下来时,非常惊骇。他们开始派遣使者四出奔走,互相联盟,交换人质,并准备军队。使者甚至一直被派到毗连阿奎丹尼的近西班牙,到那边去征招援军和指挥官。这些人招来后,他们就以极大的声势和人力进行备战。那些多年来始终追随奎因都斯·塞多留斯的人,被认为具有极丰富的军事知识。当选为领袖。这些领袖学习罗马人的做法,开始选择地形,给营寨建筑防御工事,并切断我军的给养。克拉苏斯注意到了这些,知道自己的部队人数少,不便分遣出去;敌人却既可以流动,又可以拦截道路,还能给自己的营寨留下足够的守卫,因而,粮食与给养很难运到他这边来;而敌人的数目却在一天比一天增加,他深感到万不能再拖延不战。这事被提交给军事会议,在他知道所有的人都有同感时,就决定在次日作战。

    二四、次日拂晓他领出了全部队伍并布列成两行,辅助部队被安置在中间,然后就等着看敌人采取什么行动。尽管敌人认为自己人多势众,又历来以勇敢善战驰名,而我军人数又很少,但他们还是想用封锁道路、切断供应等更加安全的办法,想等到罗马人因为缺乏粮食,开始退却时,趁我军行军途中行李累赘、斗志低落的时候,加以攻击,便可不流一滴血取得胜利。这一计划得到领袖们的同意,当罗马军队已领出营寨时,他们却仍旧守在自己营里不理睬。克拉苏斯注意到敌人的拖延不战和因此给人的胆怯印象,已经使我军士卒更加急于一战,到处可以听到反对再拖延下去、要求一直逼到敌人营垒前去的呼声。于是,他鼓励了部下之后,便率领全军,摩拳擦掌地直奔敌人的营寨。

    二五、一到那边,有人忙着填没壕堑,有人投掷大量矢矛,把防守者从壁垒和碉堡上驱逐走。那些克拉苏斯并没指望他们在战斗中起多大作用的辅助部队,纷纷供应石块、投枪,把草泥运向壁垒,也给人一种忙于作战的印象。敌人这方面战斗得同样坚决,毫不胆怯,他们的武器从高处发射下来很少有落空。骑兵在周游巡视敌人的营寨之后,来报告克拉苏斯说:敌营的后门没有跟前门那样细心设防,易于接近。

    二六、克拉苏斯鼓励骑兵指挥官们,叫他们用极大的酬奖和慷慨的诺言激励自己的部下,并且还把自己希望做的事情告诉他们。指挥官们按照克拉苏斯的命令,把留在营寨中担任守卫、没有因劳动而疲乏的几营生力军带出来,从另一条比较远的路绕道过去,以免被敌人看到。当敌人个个都全神贯注只顾战斗时,他们很快赶到我们前面说过的那些防御工事,把它们捣毁之后,在敌人还没来得及看仔细、或者还来不及知道发生了什么事情之前,便已经在他们的营寨里站住了脚。当这一边发生的呼噪声被正在战斗的我军听到时,正象胜利在望时常出现的情况那样,他们重新鼓起勇气,开始格外勇敢地战斗。敌人四面受到包围,感到完全绝望,赶忙从工事上跳下去飞奔逃生。骑兵在这一片极空旷的平原上尽情追逐他们,把从阿奎丹尼和康丹勃里集中来的据说数达五万人的敌人,杀得几乎只剩四分之一,深夜方始回转营寨。

    二七、听到这场战争的消息后,阿奎丹尼各族大部分向克拉苏斯投降,自动交纳人质。其中有塔倍里人、皮及里翁耐斯人、庇将尼人、获卡德斯人、塔鲁萨得斯人、厄鲁萨得斯人、嘉得斯人、奥斯契人、加隆尼人、西布扎得斯人、柯科萨得斯人。只有少数几个住在极边远的民族,眼看冬天已经临近,认为季节可以帮他们的忙,没有这样做。

    二八、就在这时候,虽然夏天差不多已经过去,高卢已平定,就只莫里尼人和门奈比人还处于战争状态,没派使者来求和,凯撒便带着军队很快赶去声讨,他相信这场战争马上可以结束。这些部族开始采用的作战方法和其余高卢人的完全不同。因为他们看到最大的国家都在战争中被击败和征服了,而他们却有连绵不断的森林和沼泽,便把所有的人和财物都移到里面去。当凯撒赶到那森林的边缘、开始构筑工事时,还看不到一个敌人,但在我军分散开来,正忙着各自的工作时,他们就突然从森林的所有地方冲出来,攻击我军。我军迅速拿起武器,把他们驱回森林,还杀掉他们很多人,只是在这种难于施展手足的地方追得太过深入的时候,自己也不免要损失一些人。

    二九、在后来的那些日子里,凯撒开始砍伐森林,以免在赤手空拳、预料不及的时候,侧面遭到攻击。他集中所有采伐下来的木材,在两侧面对着敌人的方向堆叠起来,作为壁垒。几天之后,敌人的牲口和辎重的后队被我军截获,于是他们钻进了森林更深密的地方。暴风雨来得如此之猛,以致工作不得不停顿下来,连续几天大雨使得军士们无法在营帐中安身,因而在蹂躏了他们全部土地,焚烧了他们的村落和屋宇之后,凯撒把他的军队带领回来。让他们进入在奥米尔契、勒克索维和新近和他作战的其余各邦的冬令营。

    第四卷

    一、下一个冬天,即克耐犹斯·庞培和马古斯·克拉苏斯任执政官的那一年,日耳曼人中的乌西彼得斯族和登克德里族,大批渡过了莱茵河。渡河的地方离开莱茵河所流入的那个海不远。过河的原因是为了苏威皮人多年以来一直在侵扰他们,战争的威胁使他们连耕作都受到了阻碍。苏威皮族是所有日耳曼人中最大、最骁勇善战的一族,据说他们有一百个部,每年都从每一个部征召一千名武装人员到境外去作战,其余留在本土的,即从事生产,以维持自己和那些出征者的生活。同样,下一年就轮到他们出去参加战争,再由上年服役的人回家生产。这样,无论是种地还是作战的方略和技术、都不会荒疏掉。他们中间没有私有的、划开的土地,也不允许停留在一个地方居住一年以上。他们不大吃粮食,生活大部分都依靠乳类和家畜,特别着重打猎。因而,由于食物的特点、日常的锻炼,再加上生活的自由自在——从童年时代起,他们就不曾受过责任心和纪律的束缚,无论什么违反本性的事情都没勉强做过——使他们既增强了筋力,又发育得魁梧异常。而且他们还让自己养成一种习惯,即那怕在最寒冷的地方,除了兽皮之外,什么东西也不穿,同时又因兽皮的稀少,迫使他们不得不把身体的大部分都裸露在外面。他们就在河里洗澡。

    二、商贩们所以能接近他们,主要是因为他们要把战争中虏掠来的东西卖给人家,而不是他们希望人家贩运什么商品进去。日耳曼人甚至连输入的牲口都不用,不象高卢人那样最喜欢收买牲口,肯出很高的价钱。日耳曼人宁愿把他们本地出生的瘦小而又丑陋的牲口,加以经常的训练,使它能担得起最艰苦的劳动。在骑兵战斗中,他们常常从马背上跳下来进行步战,他们的马训练得能够站在原地,一动也不动,以便在必要的时候他们可以很快地退回到它那边去。用他们的习俗看起来,再没有什么事情比使用马鞍更可耻,更软弱无能。因而,不管他们自己人数多么少,遇到使用鞍辔的敌人骑兵时,不管对方人数多么多,都敢于对之冲击。他们无论如何绝对不让酒类输入,相信人们会因它变得不耐劳苦,萎靡不振。

    三、就国家而论,他们认为如果能让自己的领土外围有一圈愈大愈好的土地荒芜着,是一件极可赞扬的事情,这表明有许多国家抵挡不住他们的威力。据说苏威皮人的边境,有一面大约有六百罗里的土地,是断绝人烟的。苏威皮人的另外一面跟乌皮人接境,按照日耳曼人的标准,乌皮人也是一个很大而且很繁荣的国家,比起他们其余的同族人来,要文明一些,因为他们的边境紧接莱茵河,商人们常到他们那边去,再加上因为与高卢毗邻,不免逐渐染上高卢人的习俗。对这些乌皮人,苏威皮人虽然也曾发动过好几次战争,但因为这个国家人口多,力量大,无法把他们逐出自己的领土,虽说如此,还是把乌皮人逼得成为向自己纳贡的属国,大大削弱了乌皮人的声誉和力量。

    四、前面提到过的乌西彼得斯人和登克德里人,情况也是这样。他们多年来,一直在抵御苏威皮人的压力,直到最后,仍被逐出自己的领土,在日耳曼的许多地区流浪了三年之后,到达莱茵河。这块地方原来是门奈比人居住的,河流两岸都有他们的田地、房舍和村落。但他们一看到涌来这么一大批人,恐慌起来,就撤出了莱茵河对面的那些房舍,在河的这边布置下许多防哨,阻止日耳曼人渡河过来。日耳曼人用尽了各种办法,但在他们发现要强渡既缺乏船只,偷渡又碍于门奈比人设立的那些防哨时,他们就假装退回自己原来的老家去,赶了三天路程之后,又重新掉头回来。他们的骑兵在一夜之中就赶完全部路程,一举掩袭了不知不觉的、毫无防备的门奈比人——他们都是听到探报的人员说日耳曼人已经离开了,才放心大胆渡过莱茵河,回到自己村里来的——杀掉这些人之后,日耳曼人占有了他们的船只,趁莱茵河这一边的门奈比人还没发觉他们,渡过河来,占据了他们的全部房舍。冬天的其余日子,就用问奈比人的粮食供应自己。

    五、凯撒听到这些消息时,对高卢人反复无常的脾气很为担心。因为他们浮躁、轻率,大多数人都乐于发生变故,绝不可以轻信他们。高卢还有一种习惯,在遇到过路的旅客时,不问他们愿意与否,总要强迫他们停下来,询问他们各人听到或知道的各种各样事情。在市镇上,群众常常包围着客商,硬要他们说出从什么地方来,在那边听到些什么。他们往往就根据这些道听途说,对极重要的事情作出决定。这些决定当然都是马上就要使他们后悔不及的,因为推动他们的只是些不可靠的谣言,大部分人都只是投其所好地胡乱编些话来回答他们的询问。

    六、凯撒知道他们这种习惯,为了避免这场战争变得更加严重起见,便比平常的习惯提早一些出发到军中去。当他到达那里时,便知道先前担心的事情,真的已经成为事实了。有些高卢国家已经派使者到日耳曼人那边去,请求他们离开莱茵河到自己这里来,所有需要的东西,都可以由他们代为预备。有这些希望在引诱他们,日耳曼人出没的范围更广了,他们已经侵犯到德来维里人的属邦厄勃隆尼斯人和孔特鲁西人的边境。因此,凯撒把高卢各邦的领袖们召来,但他认为最好把他已经掌握的消息隐瞒着,所以在对他们鼓励和安慰了一番之后,便吩咐征集骑兵,决定对日耳曼人作战。

    七、准备好粮食,选起骑兵之后,他开始进入听说日耳曼人在出没的地区。当他离开他们还有没几天路程时,他们那边就来了使者。他们说的话大致如下:日耳曼人绝不先动手攻击罗马人,但在遭到攻击时,也不会拒绝一战。日耳曼人祖祖辈辈传下来的规矩是:不论谁来侵犯,应该还击而不应该求饶。他们还宣称,他们来到这里,不是出于自愿,而是被逐出本土的。如果罗马人愿意得到他们的感激,一定会发现他们的友谊是有用的。罗马人可以指定一些土地给他们,或者就听任他们把已经用武力强占的土地保留下去。他们只怕苏威皮人,因为苏威皮人是连不朽的神灵也不能抗衡的,除了苏威皮人之外,天下再没有什么人是他们不能击败的了。

    八、凯撒对这些话,作了一番他自认为恰如其分的答复,他这番话的结论是这样的:如果他们仍旧留在高卢,他跟他们就不会有友谊。一方面,不能守卫自己疆上的人,反而侵占别人的疆土,理上说不过去;另一方面,高卢现在根本没有一块闲着的土地,可以随便送人而不至受到损害——特别是象他们这样大批的人。但虽则如此,如果他们愿意的话,不妨住到乌皮人的领土中去,乌皮人的使者正在他这里控诉苏威皮人的侵扰,恳求他帮助,他可以命令乌皮人答应这一点。

    九、使者答复说:他们愿意把这些话带口去报告自已人,经过考虑之后,第三天回到凯撒这边来答复。他们要求他在这一段时间内,不要再移营前去靠近他们。凯撒回答说:他就连这个要求也不能答应他们。实际上他知道,他们在几天以前已经派出大批骑兵,渡过莫塞河;到安皮瓦里几人的领域中去掠夺战利品和粮食。他断定他们正在等候那支骑兵回来,所以才设法拖延时日。

    一0、莫塞河发源于林恭内斯境内的获斯盖山,在接纳了莱茵河的一条叫做华卡勒斯河的支流以后,形成巴达维岛,然后在离大洋不到八十罗里的地方,流入莱茵河。莱茵河发源于住在阿尔卑斯山中的来本几人境内,在其漫长的流程中,湍急地穿过南都阿德斯、厄尔维几、塞广尼、梅狄阿麦特里契、得里布契和德来维里诸族的领域,当它流到大洋时,又分为许多支,形成很多大岛——其中大部分居住着凶悍野蛮的部落,据传他们中间有些甚至靠鱼类和鸟卵为生——然后从好几个河口注入大洋。

    —一、当凯撒离开敌人不到十二罗里时,使者们按照前几天的约定,回到他这里。他们在行军途中遇上了他,急迫地恳求他不要再向前推进。当他们的要求被拒绝之后,他们又请求他派人赶到走在军队最前面的骑兵那边去。阻止他们战斗,让他们有时间派人到乌皮人那边去,如果乌皮人的领袖和长老肯跟他们设卞盟誓,他们就接受凯撒提出来的建议。他们又要求再给他们三天期限,以便他们安排这些事情。凯撒断定所有这些借口,都跟前次提出为要求同一个原因,无非是想得到三天间歇,好等候他们出外的骑兵归来,便说:为要取得饮水,他这一天还是要前进的,但不超出四罗里路。他叫他们第二天就在那边碰头,同来的人越多越好,这样,他可以了解他们究竟需要什么。同时,他派人传令给那些率领全部骑兵走在前面的骑兵指挥官们,不要向敌人挑战,即或自己受到攻击,也只牢守阵地,等他自己和大军走近了再说。

    一二敌人因为渡过莫塞河去抢劫粮食的那批骑兵还没回来,目前所有的骑兵不到八百人,但当他们一看到我军为数五千左右的骑兵时,立刻发动进攻。我军因为他们派来求和的使者还刚离开凯撒,那天又正是他们要求休战的一天,因此丝毫没有预计到这种情况,很快就陷人混乱。等到我军重新转过身来进行抵抗时,敌人依照他们的习惯,跳下马来,刺击我军的马,使军团的许多士兵摔下马来,其余的也都被弄得四散奔逃,直达到看见我军团的行列方才止步。在这场战斗中,我军骑兵被杀死七十四人,其中有那个极英勇的阿奎丹尼人毕索,他出身于最显赫的家族,他的祖父执掌过他们国家的王权,曾被罗马元老院赠给过”友人”的称号。他在他的兄弟被敌人包围时,抢过去援救,把他的兄弟救脱了险,但自己却从受了伤的马背上摔下来。他一直极勇敢地抵抗着,直到在重重围困中受到许多伤被杀才止。他那位本已退出战斗的兄弟,在远处看到了,重又驱马冲向敌人,也同归于尽。

    一三、这场战斗以后,凯撒认为他不该再接待这些使者,也不该再接受这些一面玩弄阴谋、假作求和,一面却又发动攻击的人提出来的条件。此外,他还相信,只有狂妄到极点的人才会坐待敌人增兵,坐待他们的骑兵回来。他也深知高卢人的轻浮喜事,恐怕敌人单是这一役,便已在他们中间获得了很大的威望,再也不可以让他们有策划阴谋的时间。他这样决定之后,又把他的打算告知了他的副将们和财务官,叮嘱他们,如遇有战斗的机会,一天都不可以轻易错过。正好发生一件十分运气的事情,第二天早晨,一大批日耳曼人,包括他们的首领们和长老们在内,赶到他的营里来见他,仍旧假惺惺地玩弄着那套诡计和伪装。他们此来,一则是想为自己洗刷一下,说明他们与昨天违反了约定和自己的请求而作的进攻无关,再则,如果他们的欺诈能得逞的话,还想再获得一次休战的机会。凯撒因为他们居然落到自己手里来,大为高兴,下令把他们全都扣下来,然后亲自率领他的全部军队赶出营寨。至于骑兵,他认为他们在新近这场战役中已经受过惊吓,因而令他们跟在自己后面。

    一四、这时形成了三列纵队,八罗里的行军赶得那末迅速,在日耳曼人丝毫没想到会发生什么事情之前,就赶到敌人营寨。许多突如其来的情况,如我军的迅速到达、他们自己领袖的离开等等,使得他们手足无措,而且时间匆促得连考虑一下对策、或者抢起武器来都不可能,吓得他们不知道该怎么办,究竟是领兵抵抗敌人好呢?防守营寨好呢?还是逃走求生好?当他们的惊慌从喧嚣和乱窜乱跑中透露出来时,我军却正因为昨天的诡计而感到十分愤怒,一鼓冲人营寨。在那边,那些来得及抢起武器的人,对我军抵抗了一会儿,就在车辆与辎重之间进行战斗,至于其余的,包括妇女和孩子(因为日耳曼人是带了所有亲属一起离开家乡,渡过莱茵河的),则开始四散奔逃,凯撒派出骑兵去追赶他们。

    一五、日耳曼人听到后面的嘈杂声,又看到自己人被杀,便抛掉武器,丢下旗帜,一拥逃出营寨。当他们奔到莫塞河与莱茵河会合处的时候,许多人已被杀掉,余下的觉得逃生已完全无望,便跳进河流,由于恐怖、疲乏、以及河水的冲激,全都淹死在水中。罗马人没损失一个,甚至连受伤的都极少,安然渡过了这场巨大的战争恐怖——因为敌人有四十三万人之多——返回营寨。那些被扣留在营中的日耳曼人,凯撒允许他们可以自由离去,但他们因为自己曾经蹂躏过高卢人的土地,怕他们的报复和酷刑,声称愿意留在他这里,凯撒也答应了他们的选择。

    一六、日耳曼之战就此结束。凯撒因为很多理由,决定自己应该渡过莱茵河去一次,其中最最主要的一点是他认为日耳曼人太容易被引进高卢来,他希望让他们看看罗马军队不但能够、而且也敢于渡过莱茵河,使他们也为自己的身家性命担几分忧。再则,前面提到过的乌西彼得斯人和登克德里人的那部分骑兵,因为渡过莫塞河去劫掠战利品和粮食,没参加这次战争,现在,他们的同族被击溃之后,他们渡过莱茵河进入苏刚布里人领域,跟他们联合起来了。凯撒曾派使者到他们那边去,要他们交出曾经对他和高卢人作过战的人。他们答说:莱茵河是罗马人权力的界限,如果他认为日耳曼人不得他的同意擅自渡河侵入高卢,是不合理的行为,为什么他又要求把自己的号令和权力伸到莱茵河这一边来?另一方面,莱茵河对岸曾派使者到凯撒这里来的唯一的一个部落乌皮人,却和罗马人建立了友谊,交纳了人质。因为他们正受到苏威皮人的严重侵害,迫切要求他去帮助他们,甚至说:即使有什么国家大事牵缠着,不能马上做到,只要让他的军队渡过一次莱茵河,就足够做他们现在的救星和将来的希望了。他们还说:他的军队的声名和威望非常高,在击败阿里奥维司都斯和取得最近的这次胜利之后,即使在日耳曼最最僻远的一些族中也都传遍了。他们的安全也可以指望罗马人的声名和友谊而得到保障。他们答应提供大批船只运送军队。

    一七、凯撒因为上述的许多理由,决定渡过莱茵河去。但他认为坐着船过河,既不够安全,也跟自己和罗马人民的尊严不相称。因此,虽然要在这样宽阔、而且又急又深的河上造一顶桥,是件极为困难的工作,但他认为还是应该作这样一番努力,否则就索性不把军队带过去。他决定按照下列方式建造桥梁:把许多粗各一罗尺半的木柱每两根联在一起,中间相距西罗尺,下端从根部起稍稍削尖,量好正跟河底的深度相当,利用机械的力量把它们送到河中立住后,再用打桩锤把它们打入河底,却不象木桩那样垂直地立着,而是倾斜着俯向河水顺流的一方。面对着这一对对柱脚,又在下游方向距离它们约四十罗尺的地方,另外树立起同样的成对柱脚,也同样紧紧地联在一起,只是倾斜的方向是逆着水力与激流的。每一对这种柱脚联起时空出来的二罗尺空档中,都插人一根长梁,在它们的外档,还有两根斜撑,一里一外地从顶端把它们撑开。这样,由于它们撑开着,而且又相反地夹紧,因此这些工程异常牢固,水流和冲激的力量愈大,柱脚相夹得就愈紧。这些长梁上面又都直交地铺上木材,联在一起,再加上长木条和编钉好的木栅。除此之外,桥梁面向下游的一方水中,还斜着插入了木桩,象一堵护墙似的紧凑地配合着整个工程,以抵抗水流的冲力。在桥梁上流不远处,也安下了同样的工程,因此,如果蛮族把树干或船只投入上游水中,企图让它冲下来撞毁这些工程时,这些防栅可以减轻冲力,以免损坏桥梁。

    一八、全部工程,在木材开始采集以后的十天之内完成了,军队被带了过去。凯撒在桥的两端留下强有力的守卫之后,进入苏刚布里人的境内。同时,好几个国家的使者来到他这里,他慷慨地答应了他们所要求的和平与友谊,命令他们交纳人质。但苏刚布里人却在桥梁刚开始建造时,就受了他们中间的那些从登克德里人和乌西彼得斯人中逃出来的人的煽动,准备逃走。这时,他们已经撤出他们的领土,带走他们的全部财物,躲藏到荒野和密林中去。

    一九、凯撒在他们的领土中略许停留了几天,在烧掉全部村庄和房舍、割掉了谷物之后,才进入乌皮人境内,答应他们说;如果他们再受到苏威皮人的欺凌,他就来帮助他们。他从他们那边得知如下情况:当那些苏威皮人从侦察人员那边得知正在建造桥梁时,就依照他才的习惯,召集了会议,同时派使者到各方去,命令人们撤出自己的市镇,把自己的孩子、妇女和所有财物,都安顿在森林中,所有能拿起武器的人,都集中到指定的地点,这地点正处在苏威皮人所占有的那些地方的中心,他们决定就在那个地方等候罗马人到来,决一死战。当凯撒知道这些情况的时候,促使他决心带兵渡过莱茵河的全部目的都已经达到——他已经威吓了日耳曼人、向苏刚布里人作了报复、把乌皮人从围困中救了出来——在莱茵河对岸度过了十八天之后,他认为他所完成的事业,无论就荣誉、或者就效果说,都已经足够了。于是他仍旧退回高卢,拆毁了桥梁。

    二O、夏季还只留下很少日子,虽则因为整个高卢都朝着北方,冬天来得特别早,但凯撒还是决意到不列颠去走一遭。因为他发现差不多在所有的高卢战争中间,都有从那边来给我们的敌人的支援。他认为,即使这一年留下来的时间已经不够从事征战,但只要能够登上那个岛,观察一下那边的居民,了解一下他们的地区、口岸和登陆地点,对他也有莫大的用处,而这些却是高卢人几乎全不知道的。因为除了商人之外,平常没有人轻易到那边去,即便是商人们,除了沿海和面对高卢的这一边之外,其余任何地方也都茫无所知。因此,他虽然把各地的商人都召来,但既不能探询到岛屿的大小和住在那边的是什么样的居民,有多少数目,也无法问到他们的作战方式如何,习俗如何,以及有什么港口适于停泊大量巨舶等等。

    二一、他认为最适当的办法是在他自己前去探险之前,先派该犹斯·沃卢森纳斯带一艘战舰,去侦察一下。他嘱咐他仔细地观察一切,然后尽快地赶回来。凯撒自己带了全部兵力前往莫里尼,因为从那边出发到不列颠航程最短。他命令所有邻近各地区的船只、以及去年夏天为要和文内几人作战而建造的舰只,都到该地集中。当时,他的计划已经被人家知道,而且由商人们报告了不列颠人,岛上有很多邦的使者来到他跟前,答应愿意交纳人质,并服从罗马人的号令。他倾听了他们的申述,宽大地接受了他们的请求,鼓励他们信守自己的诺言,然后打发他们回去,还派康缨斯陪他们一起去。这康缨斯是他在征服阿德来巴得斯人之后,安置在那边做国王的,他赏识他的勇敢和智略,信任他对自己的忠心,而且他在那一带很有威信。凯撒命令他遍访所有可能去的国家,劝他们向罗马人民投降,同时宣布他本人也将很快到达。沃卢森纳斯没有敢轻易离开船只,到蛮族中间去,只尽可能地对所有各地进行了观察,第五天就回到凯撒这边,把在那边看到的情况报告了凯撒。

    二二、当凯撒为了准备船只,停留在那地方时,莫里尼人中大部分都派代表到他这里来,解释他们前次所采取的行动,说是由于他们粗野、也不懂得我们的习惯,才冒失地攻击罗马人的,他们答应现在愿意执行他的命令。凯撒认为这个建议来得非常及时,因为他既不希望留一个敌人在自己的后方,这一年余下来的时间却又不够他再进行一场征战,再说也不该先忙着这些小事情,反把不列颠的远征搁下来。因此,便命令他们交出大批人质,在他们交来后,他接受了他们的投降。在征召和集中了大约八十艘运输舰。估计已经足够运送两个军团之后,他把其余所有的战舰都分配给他的财务官、副将们和骑兵指挥官们。除了这些船只之外,还有十八只运输舰,被风阻在八罗里之外,没有能赶到集中的那个港口队他把它们都分配给了骑兵们。其余的军队,他全部交给副将奎因都斯·季度留斯·萨宾努斯和卢契乌斯·奥龙古来尤斯·考达,命他们带着去征讨门奈比人和莫里尼人中没派使者到他这里来的各地区。他又命令他的副将布勃留斯·塞尔匹鸠斯·卢富斯带着一支他认为足够的驻军,留守那港口。

    二三、这些事情安排好之后,趁一个适于航行的晴朗天气,大约在第三更,起锚出发,并命令骑兵赶到较远的那个港口去,在那边上船,跟他一起启航。他们的行动似乎太慢了一些,他自己和第一批舰只,大约在白天第四刻时,就一起到达不列颠。在那边,看到所有的山上,都布满了武装的敌人。那地方的地形大致是这样的:岸上屏列着群山,离开海边十分逼近,矛枪从高处掷下来,几乎可以一直到达海边。考虑到这地方完全不适于登陆,他就停泊。在那边,一直等到第九刻时,其余的船只全部到达。这时,他召集了副将们和军团指挥官们,把沃卢森纳斯所探知的一切和他自己希望做到的事情,告知他们,并警告他们说:由于战略的需要,特别是由于倏忽无常、千变万化的海上战斗的需要,一切事情他们都得在一声号令之下立刻做好。遣走他们之后,正好风和潮水都已转向顺利的方向,信号一下便拔锚起航,赶到离那达七罗里的地方,把他的舰队停泊在一片空旷平坦的岸边。

    二四、蛮族已经看出罗马人的打算,他们首先派出骑兵和战车——这是他们在战争中通常使用的一种武器——其余的军队,也在后面跟上来,企图阻止我军离舰。登陆是一件极为艰难的事情,原因在于那些舰只过于庞大,除深水的地方外,不能停泊。兵士们虽然不熟悉那个地方,双手也不空,身上又压着又大又笨的武装,行动不能自如,但还是同时跳下船来,屹立在海浪中,迎击敌人。敌人方面却四肢可以自由运动,地形也十分熟悉,不是立在干的地上;就是刚人水不多一点儿路,奋勇投掷他们的武器,或者驱着他们训练有素的马,往来冲刺。我们的士兵完全没有经历过这种战争,被这些行动吓呆了,因而不能用平常陆上战争习有的那种敏捷和热情去应战。

    二五、当凯撒注意到这点时,他命令那些战舰——一它的外形,对土人说来比较陌生,必要时,行动也比较自如——稍离开运输舰一些,然后迅速地鼓桨划行,驶到敌人暴露着的侧翼去,就在那边用飞石、箭和机械,阻截和驱走敌人。这一着对我军极为有利,因为那些蛮族看到我们舰只的形状、排桨的动作、以及机械的陌生式样,大为吃惊,便停下步来,而且稍稍后退了一些。当我军士兵主要因为海水太深,还在迟疑不前时,持第十军团鹰帜的旗手,在祷告了神灵,请求他们垂鉴他的行动,降福给他的军团之后,叫道:”跳下来吧,战士们,除非你们想让你们的军鹰落到敌人手中去,至于我,我是总得对我的国家和统帅尽到责任的!”他大声说完这番话后,从舰上跳下来,指着鹰帜向敌人冲去。于是,我军士兵们互相激励着说:千万不能让这种丢脸的事真正发生。他们一下子全都从舰上跳下来。离他们最近的舰上的士兵看到之后,也同样跟着跳下来,接近了敌人。

    二六、双方战斗得都很激烈。但我军士兵因为不能保持阵列,站又站不稳,也无法紧跟着自己所属的连队,随便那只船上跳下来的人,都只能凑巧碰上哪一个连队的标志,便跟了上去,因此十分混乱。但敌人是熟知所有的暗滩的,他们在岸上一看到成群兵士从战舰上一个一个跳下来时,就驱马迎上去,乘我军还没摆脱困难时加以攻击,有的以多国少,有的又用矢矛攻击已集中了的我军暴露着的侧翼。凯撒注意到这点,就命令战舰上的舢板、同样还有那些巡逻艇,都装满士兵,看到哪部分遇到困难,就派去支援他们。我军一到完全站定在干燥的地面上,所有同伙也都在身后跟上来时,就开始攻击敌人,并击溃了他们,但却不能追得很远,因为骑兵没有能掌握航向,未能及时赶到该岛。就缺了这一点,凯撒才没获得惯常得到的全胜。

    二七、敌人在战斗中被击溃,逃了一阵之后,很快就安定下来,立刻遣使者来向凯撒求和,答应交出人质,并执行他所命令的一切事情。陪那些代表一起来的还有前述由凯撒派到不列颠去的阿德来巴得斯人康缨斯。当他一登岸,以使者的身份把凯撒的指示传达给不列颠人时,他们抓住了他,还给他加上了镣铐,经过现在这场战争,才把他送回来。在恳求和平时,他们把过失全部推在群众头上,要求看在他们的鲁莽和无知份上,宽恕他们。凯撒责备他们:虽然他们自动派使者到大陆上去向他求和,现在却又无缘无故地攻击他。但他终究还是答应宽恕他们的无知,命他们交出人质。其中一部分,立刻就交了出来,还有一部分,他们说要略等几天,到较远的地方去召来之后再交给他。同时,他们又命令自己的部下各自回到田里去,首领们则纷纷从各地赶来,把自己和自己的国家,奉献给凯撒。

    二八、和平就这样建立起来。在凯撒到达不列颠之后的第四天,前面提到过的载运骑兵的十八艘船,在微风中起锚,离开了那个稍处于上方的港口。当他们的船靠近不列颠,从我军营中已经可以望到他们时,突然刮起一阵极为猛烈的暴风,竟使他们中间没有一只船再能掌握自己的航向,有些被迫仍返回到他们出发的那个港口,有些经历万分危险,被风直刮到岛屿的更下端,即更西部的地方去。虽然他们抛了错,但在他们的船快被浪潮灌满的时候,又不得不在这种极不方便的深夜里,重行出海,摸回到大陆去。

    二九、恰好那一夜月亮十分圆满,正是那大洋中照例海潮涨得最高的日子,但这却是我们丝毫不知道的事情。因此海水一时灌满了凯撒拖在岸上的用来运载军队的战舰。同时,风浪也碰坏了紧扣在锚上的运输舰,我们竟没有任何办法可以控制或挽救。许多船接得粉碎,其余的一些,由于失掉了缆绳、铁锚和其他索具,也不能再用来航行。这当然免不了引起全军极大的不安。不但因为除此以外更无别的船只可以运送他们回去,而且修理船只所必需的一切东西也丝毫没有。再则,大家全知道军队是准备回到高卢去过冬的,这边一点过冬的粮食都没有。

    三O、发现这些情况之后,那些战后为了执行凯撒的命令而赶到这里来的不列颠首领们私下议论起来,他们知道罗马人没有骑兵,也没有船只和粮食,他们又从营寨的面积狭小上,猜测到军队的数目不多——特别是由于凯撒带过去的军团都没有携带辎重,因而营寨显得格外狭小——他们认为最好的办法是重新作战,截断我军的粮食和给养,把战争拖延到冬天。因为他们深信,如果击败了现在这支军队,或切断了它的归路,以后就不再有人敢渡到不列颠去跟他们作战。为此他们重新订结了密约,三三两两地溜出营寨,偷偷地再次把自己的部下从田里召集起来。

    三一、凯撒虽然还没有发现他们的计划,但从船舶的遭遇上、从首领们的忽然停止交纳人质上,已经开始预见到正在酝酿的事情,他就对任何可能发生的意外作下准备。他一面把谷物每天从田里运进营寨,一面利用损坏得最厉害的船只上的木材和铜去修理其余的,并下令把完成这项工作必需的材料从大陆上运来。兵士们以最大的热忱进行这项工作,困而他虽然损失了十二只船,但却使其余的船都适于航行了。

    三二、这些工作正在进行时,列作第七的那个军团,照常被派出去收集谷物。直到这时候,有一部分人仍留在田里,另外有一部分人甚至还在营寨里进进出出,绝没有疑心会发生战事。正在营寨门口站岗的人,忽然报告凯撒说:在我们军团去的那个地区,发现了一股大于寻常的尘埃。凯撒马上请到发生了什么事情——蛮族又在玩什么新的阴谋了——随即命令正在值班的那几个营,跟他一起赶到出事的地方去,又命令另外两个营去代替他们值班,其余的部队立刻武装好跟上来。他刚刚走到离开营寨不远的地方,就发现他的部下正在受到敌人的猛烈攻击,几乎站不住脚,士兵们挤在一起,矢矛从四面八方射向他们。原来当附近四周所有的谷物都割光之后,唯独这一块还留着未割,敌人料定我军会到那边去,因此乘夜赶去躲在森林中,当我军分散开来,放下武器,动手收割时,他们突然发动进攻。我军有一些被杀死,其余还没来得及摆开阵列,十分慌乱,被骑兵和战车同时包围住。

    三三、他们使用战车作战的方式大致如下:首先第一步,他们驾了它到处驰突,发射武器,通常光只它那马群所引起的恐慌和车轮的嘈声,就足以使敌人的阵伍陷人混乱。当他们突人骑兵的行列之后,便跳下战车来进行步战。同时驾车的人驱车退到离战斗不远的地方,把它们安放在那边,以便车上跳下来的战士们因敌人人数众多,陷入困境时,可以随时退回到自己人这里来。这样,他们在战斗中便表现得跟骑兵一样的灵活,步兵一样的坚定。再由于日常的应用和演习,他们的技术变得十分纯熟,即使从极陡的斜坡上冲下来,也可以把全速奔驰的马突然控制住,使它在一瞬间停止或打转。他们又能在车拉上奔跑,或直立在车轭上,甚至在车子飞奔时,也能从那边一跃上车。

    三四、当我军正被这种新奇的战术弄得骇异不止,乱成一片时,凯撒恰在极端需要的时候带去了救兵,他的到达使敌人停下步来,我军也从惊恐中恢复过来。虽说如此,凯撒还是认为在当时这种情况下不宜再向敌人进攻,挑起战斗,因而在那地方对峙不多一会之后,仍带着军团回转营寨。当这些活动正在进行时,我军全都忙碌不堪,那些留在田野中的人也都追走了。接着一连几天都是狂风暴雨,使我军只能留在营中,敌人也无法作战。这时,蛮族派使者到四面八方去,报告他们说我军的人数很少,宣称这是给他们掠夺战利品、永远解放自己的大好机会。只要把罗马人逐出他们的营寨就行。这样一来,他们很快就聚集起一支很大的步兵和骑兵,向营寨开来。

    三五、尽管凯撒知道如果敌人被击败时,又会飞快奔跑,逃出危险,结果还将和昨天一样,但他仍旧凑起了三十名骑兵,这是前述的那个阿德来巴得斯人康缨斯随身带过去的。他把军团在营寨面前一线布列下来。战斗开始之后,敌人不能长久抵挡我们的攻击,转身飞奔,我军在后面尽速度与体力的许可穷追猛赶,杀掉他们中间很多人,然后将所有远近的建筑物毁坏后。付之一炬,回转营寨。

    三六、就在那一天,敌人派使者到凯撒这边来求和。凯撒向他们索取了比上次数目多一倍的人质,并且命令把他们送到大陆上去,因为秋分就要到来,他不想以这种不够坚牢的船只,冒隆冬航行的风险。他自己趁一天天气良好,在午夜后不久,起锚出发,所有舰队都安全到达大陆,其中只有两只运输舰,未能跟其他船只一起到达那同一港口,飘流到略略偏向下方的海岸去。

    三七、当这两只船上的大约三百名士兵上了岸,急忙赶向大读时.在凯撒出发去不列颠时还跟我们和平相处的莫里尼人,这时贪图战利品,包围了这些士兵。起初他们人数不很多,他们命令我军说:如果不想被杀死,就放下武器。罗马人形成了国阵,进行自卫,呼啸的声音马上引来了六千左右人,那时凯撒接到报告后,派全部骑兵出管去帮助他的军队。同时我军也坚持抵御敌人的攻击,十分勇敢地战斗了四个刻时以上,只有极少数人受伤,却杀死了很多敌人。我们的骑兵很快就出现了,敌人丢下武器,转身飞逃,其中一大部分被杀死。

    三八、第二天,凯撒差副将季度斯·拉频弩斯率领了从不列颠带回的军团,进击重新背叛的莫里尼人。这一次敌人已经无路可退,因为去年赖以藏身的沼泽,这时都已干涸。因此,几乎所有的人都来向拉频弩斯乞求投降。至于率领军队到门奈比人中去的副将奎因都斯·季度密斯和卢契乌斯·考达,则因为敌人已经全部躲到密林中去,就在蹂躏了他们的全部田地、割掉了谷物、烧毁了建筑物之后,才回到凯撒这边来。于是,凯撒把所有军团的冬令营都建在比尔及人境内。不列颠诸邦中,只有两个邦向他这里送来了人质,其他诸邦都不曾这样做。元老院在接到凯撒的信后,为了这些功绩,颁令举行谢神祭二十天,以答神佑。

    第五卷

    一、在卢契乌斯·多米久斯和阿庇乌斯·克劳底乌斯任执政官的一年,凯撒也和往年一样,离开冬令营进入意大利。他嘱咐率领军团的副将们留意在冬天大量建造舰只,越多越好,旧的也都要加以修整,对这些舰只的大小和形状也都作了指示。为了装载迅速和便于拖上岸来,特别由于他知道那边的海流经常改变方向,大的浪潮较少,应该把它们造得比通常在我们这边海中使用的低一些;同时,为要载运更多的重量和大批马匹,也应该比在别的海里使用的略为阔一些。他命令把它们一律都造成既可张帆航行,又可划桨航行的快艇样子,在这上面,船身的低矮给了他们很大的帮助。装备船只所必需的那些东西,他命令到西班牙去运来。他本人则在内高卢的巡回审判大会结束后,赶到伊里列古姆去,因为他听到行省跟庇鲁斯坦人邻接的那一部分,由于庇鲁斯坦人的侵入,遭到了破坏。当他到那边时,下令在一些邦中征召军队,并命令他们在一个指定的地点集中。这消息传过去后。庇鲁斯坦人派使者来到他这边,报告他说:这些事情都不是他们的国家授意做的,他们答应准备用一切办法来补偿这些损失。凯撒接受了他们的申请,命他们交出人质,并限他们在一个指定的日期内交到。他告诫他们说:如不履行这些指示,他就要用战争来对付他们这个国家。人质终于按照指定的日期交来了。他又在这些国家中间指定一些仲裁人,由他们来评估损失和决定惩罚。

    二、这些事情解决后,巡回审判大会也告结束,他仍旧回到内高卢,又从该处出发,赶至军中。他到那边时,周历了全部冬令营,发现由于军士们的干劲冲天,虽然所有各种材料都异常缺乏,但依照前述形式造起的舰只,已达六百只左右。另外还造起了二十八艘战舰,它们都已达到不多几天后就可以下水的程度。他在表扬了兵士们和监督这项工程的人员之后,又把自己的打算告诉了他们,并命令所有的舰只都集中到依久乌斯港去,他探知从那个港口到不列颠去最为近便,与大陆相距大约只三十罗里左右。他留下大的足够完成这项工程的一支军队以后,领了四个轻装的军团和八百骑兵,进入德来维里人领域,因为他们既不来参加大会,也不听从他的命令,据说还在煽动莱茵河对面的日耳曼人。

    三、这个国家,就骑兵而论,在全高卢堪称首屈一指,而且还有大量步兵,同时,正如上面所说,他们的领土一直邻接到莱茵河。在这个国家中,目前正有两个首领在互相竞争着,一个是英度鞠马勒斯,一个是钦杰多列克斯。后者在一知道凯撒和军团到达时,马上赶到他这边来,保证自己和他的那一党人将保持忠顺,决不背弃罗马人民的友谊,同时把在德来维里发生的事情向凯撒作了报告。英度鞠马勒斯却集中了骑兵和步兵,准备作战,并把年龄不适于作战的那些人都藏进埃度恩那森林——这是一片巨大的森林,从莱茵河边起,直穿过德来维里人的领域,伸到雷米人边境。但这个国家中的许多领袖。一方面受钦杰多列克斯的友谊影响一另一方面我军的到达也使他们心惊胆战,都赶到凯撒这边来,由于他们没有左右整个国家大局的力量,都只能为自己的私人利益向凯撒求情。英度鞠马勒斯怕自己被大家抛弃,也派使者到凯撒这边来。说:他之所以没有离开本国人,没有到凯撒这里来,是因为这样做比较容易使国家保持忠顺,免得在所有的贵族都离开之后,小民无知,轻举妄动起来。还说:整个国家现在都在他的控制之下,如果凯撒允许,他自己也将到营里来见凯撒,把自己的命运和国家的命运都献奉给他。

    四、凯撒虽然很了解他说这些话的动机,还知道什么原因在阻碍他实现自己的计划,不过,这时对不列颠作战的一切东西都已准备就绪,为了避免自己把夏天浪费在德来维里人中起见,便命令英度鞠马勒斯带二百名人质到他这里来。当这些人质被带来时(其中还包括凯撒指名索取的他的儿子和全部近亲。他安慰了英度鞠马勒斯,并且鼓励他保持忠诚。虽则如此,他仍旧把德来维里人的领袖们都召到自己面前来,在他们和钦杰多列克斯之间,—一替他们作了拉拢和调解的工作。一方面他认为钦杰多列克斯的为人值得他这样做,同时他也认为象他这样一片忠心、经自己亲良考察过的人,尽可能地在人民中替他扩大威信。是一件极为重要的事情。英度鞠马勒斯对这事颇为快快不乐,感到自己的势力在人民中间遭到了削弱,本来他就对我们怀有敌意。这一重怨恨更象是给他火上加油。

    五、这些事情解决后,凯撒带着军团赶到依久乌斯港。他在那边了解到在麦尔底地区建造的六十艘船只,因为大风暴,没有能保持自己的航向,已经被暴风驱回原来出发的那个港口去了。他发现其余的船只都已经准备好出航,并配备好一切用具。要集中到同一地点的,还有全高卢的数达四千左右骑兵和所有各邦的首领。他决定把其中少数人留在高卢,这些人对他的忠诚都是他仔细鉴别过的,其余的便都一起带走,当做人质。因为他怕在自己离开高卢时,会发生一场叛乱。

    六、这些人中间,就有那个我们前面提到过的爱杜依人杜诺列克斯。凯撒特别下决心要把他带在身边,因为他知道这个人喜欢闹事,渴望权势,并且精力充沛,在高卢人中有很大的影响。再加上杜诺列克斯还曾在爱社依人的会议上说过,凯撒已经把处理国事的大权交给了他。爱杜依人听到这些话,都闷闷不乐,但又不敢派使者到凯撒这里来拒绝或要求收回成命。凯撒是从自己的宾客那里得知这些情况的。杜诺列克斯最初用种种借口恳求把他留在高卢,一会儿说他不习惯航行,害怕海,一会儿又说他有宗教上的禁忌,不宜航海。后来当他看到这些要求遭到坚决拒绝,一切希望都已落空时,便开始挑唆高卢的领袖们,把他们一个一个地分别拉到一边去。鼓励他们留在大陆上。他用一些恐吓的话来打动他们,说。凯撒之所以把全部贵族一起带走,是有缘故的:他这样做,目的是要把不敢当着高卢人的面杀死的人统统带到不列颠去杀死。他向其它一些人作出保证,并且一起设下了盟誓,约定凡是他们认为有利于高卢的事情,都应彼此商量好一起做。不少人把这些事情报告了凯撒。

    七、得知这个情况后,凯撒由于自已一向非常重视爱杜依这个国家。所以认为非得马上用一切手段来约束和制止杜诺列克斯不可,同时考虑到杜诺列克斯的疯狂举动显然会愈演愈烈,因此必须采取预防措施,避免他作出损害他自己和共和国的行动。因此,当他在那里停留大约二十五天的时间中(他停留在那里是由于当地一年四季大部分时间都刮着西北风,阻碍了航行),他竭力敦促杜诺列克斯保持忠诚,但同。时也不放松侦查他的全部计划。好天气终于来了,他下令步兵和骑兵一起上船。正当大家全神贯注的时候,杜诺列克斯离开了营寨,带着爱杜依的骑兵回家去了。凯撒当时不知道这个情况,他一接到报告,马上停止起航。把一切事情都搁置下来,派大部分骑兵去赶他,命令把他带回来。考虑到象杜诺列克斯这样的人,即使他亲自在场也未必听从命令,何况在他背后,更不会象讲理的人那样跟着回来,便下令说,如果他动武,不肯听从,就杀死他。果然。在叫他回来时,他就开始反抗,并且动手自卫,还呼吁那些追随他的人为他效力。他不住地喊着说:他是个自由的人,而且是个自由的国家里的人。追去的那些人按照命令,包围并且杀死了他。爱社依的所有骑兵却都回到了凯撒这边。

    八、这些事情处理后,他留拉频弩斯带三个军团和二千骑兵在大陆上守卫港口、筹措谷物、并且掌握高卢发生的情况,及时地就地采取对策。他自己带了五个军团和一支跟留在大陆上的数目相同的骑兵,于日落时起航。虽然有平稳的西南风送了一程,但风在午夜时分即停息下来、无法再继续保持航向,只能听凭潮水把船向前推进,结果走过了头)夫明时才发现不列颠岛已经落在自己船舷左侧很远的地方。于是,随着潮水的重新转向,再度鼓桨前进,航行到去年发现的那个岛上最好的登陆地点。在这件事上,士兵们的英勇是极堪赞扬的,由于他们不辞辛劳地片刻不停的划桨,使重载船和运输舰的速度简直跟战舰一样。所有舰只都在正午时到达不列颠,但敌人却一个都不见。凯撒后来才从俘虏口中得悉,虽然敌人在那边集中了大批军队,但看到我军来了这么多舰只——连去年原有的、以及私人为了自己方便而造的在内,总数在八百只以上——吓得撤离海岸,躲到较高的地方去了。

    九、凯撒卸下军队,选定一个方便的扎营地点。当他从俘虏口中得知敌军驻在什么地方时,便在海边留下十个营的步兵和三百骑兵守卫舰只,于第三更时急忙向敌人赶去。因为那些舰只都是抛钻在一片松软而又开旷的海岸边,所以他很放心,派奎因都斯。阿德里乌斯统率这些守卫舰只的部队。他有己连夜赶了大约十二罗里路,送到看得见敌军的所在。敌人把自己的战车和骑兵从高地上赶到了条河边来阻截我军,挑起战斗。当他们被我军骑兵击退时,又躲入树林中去、原来他们选好的藏身之处,是一处由天然地势和人工建造得极好的要塞,看来大概是因为自己人中间内战,老早就准备好的,所有入口一律从大批砍倒的树木封闭着。他们自己以少量兵力不时冲出树林来侵扰.阻止我军进人他们的防御工事。第七军团的士兵结成盾龟,在他们放工事之外,积土筑起一道围墙,攻下了这个地方,把他们都逐出树林,自己只伤了很少人。凯撒禁止他的部下追击逃敌时追得太远,一则因为他们地势不熟悉,再则因为那天地大部分时间已经过去,而他希望留下时间来为营寨构筑防御工家。

    一0、次日清晨,他把步兵和骑兵分成三路,出发作一次突击去追赶那些奔逃的人。当这些人走了很长的路,已经可以看到敌人的后部时,奎因都斯·阿德里乌斯派来的一些骑兵赶到凯撒身边,报告说:昨晚发生了大风暴,差不多把所有财舰只统统撞坏,冲上岸来,因为无论锚还是绳索都经不住风暴够力量,水手和舵工也无计可施,因此舰只的碰撞带来了极大的损失。

    —一、知道了这事,凯撒下令召回军团和骑兵,停止向前进,避免作战。他自己回到了舰队的所在。他在那边亲眼看到了从使者和信件中得知的情况。除了四十艘舰只全毁外,其余的看来即使可以修理,也须花费极大的劳动。因此,他把工匠们从各军团中抽调出来,还命令再到大陆上去召来一些。又写信给拉频弩斯,叫他督率留在他那边的军团,多多益善地建造船只。他认为如果所有的船只都能拖上岸来,用一道防御工事把它们跟营寨围在一起,虽然极困难、极辛苦,但却是极有利的事。在这件事上化掉了十天时间,军士们的劳动就是夜间也不停息。舰只被拖到岸上来,营寨极周密地筑起了工事,仍旧布置前次守卫舰队的那一支军队留下之后,他又出发到赶回来的地方去。他回到那里时,发现不列颠人已经有一支比上次更大的军队,从四面八方赶来集中。领导和指挥战争的最高大权,他们公议交给了卡西维隆乌斯。这个人的国土被一条叫泰每昔斯的河流跟沿海国家隔开,距海约八十罗里。在早先的时候,他和其余国家之间进行着连续不息的战争,但我军的到来,颇使不列颠人惊惶,便把指挥整个战事的职责交给了他。

    一二、住在不列颠内地的人,据他们自己历代传说,是岛上土生土长的,住在沿海地区的人,则是为了劫掠和战争,早先从比尔及迁移过去的,通常就用他们原来出生的那个国家的名字称呼他们,打完仗之后,他们就在这里居住下来,并且开始耕种田地。居民很多,简直难于计数;他们的房舍建得很密集,大部分跟高卢的相象。牲畜的数量也极多。他们使用铜和金的货币、或者以称好一定重量的铁牌,作为货币。锡生产在那边的中部地区;铁生产在沿海,但它的数量很少。他们使用的钢是输人的、那边也跟高卢一样,有各种树木,只缺山毛榉和松树,他们认为兔、公鸡和鹅不可食用,只饲养了作观赏或娱乐之用。气候比高卢较为温和,不冷得那样刺骨。

    一三、这岛的形状呈三角形。它的一条边面对高卢。这条边的一只角叫做肯几姆,凡从高卢出发的船只差不多都航行到这里,是面向东方的;另外较为下方的一只角,朝着南方。这条边大约伸长达五百罗里。另一条边面向着西班牙,即西方民这一条边外面有一个伊比尔尼亚岛,其大小据估计约为不列颠岛的一半,但从该岛航行到不列颠的航程却和不列颠到高卢差不多。在航行途中有个岛,叫做蒙那。据说附近还有几个较小的岛屿。关于这些岛屿,有人记载识冬至节时,接连有三十天是黑夜。但当我们查询此事时,却问不出什么,经过精确的滴漏校核,我们发现那边的夜间反较陆地上短了一些。按照土人的说法,这一边的长度是七百罗里。第三边面向北方,没有什么陆地面对着它,但这边有一只角却差不多正对着日耳曼人。这一边的长度据说为八百罗里。因而这个岛的全部周长约达二千罗里。

    一四、全不列颠中,最开化的居民是住在肯几姆地区的,这是一片完全滨海的地区。他们的习俗与高卢人没有多大差别。至于住在内陆地带的人,则大多数都不种田,只靠乳和肉生活,用毛皮当做衣服。所有不列颠人都用薄兰染身,使人看来带有天蓝颜色,因此在战斗中显得更为可怖。他们还蓄着长发,全身除了头部和上唇之外,到处都剃光。妻子们是由每一群十个或十二个男人共有的,特别是在兄弟们之间和父子们之间共有最为普通,如果这些妻子们中间有孩子出生,则被认为是当她在处女时第一个接近她的人的孩子。

    一五、敌人的骑兵和战车跟进行中的我军骑兵展开激烈的战斗,但我军却到处占优势,将他们还进树林和山丘,只是我军追赶得太热心了些,虽杀死了许多敌人,自己也损失了一些人。息了一会,我们正忙于给营寨构筑工事,防备稍为松懈了一些,敌人突然又从树林中冲出来,向布置在营寨前值岗的那些人攻击,激烈搏斗起来。虽然凯撒派出两个营——都是两个军团的第一营——去支援他们,但由于那两支部队中间留有很小一段空隙,敌人便趁我军因这种新的战术而惊讶时,极勇敢地突破中间,安然撤出战场。这天,有一位军团指挥官奎因都斯·拉倍密斯·杜鲁斯被杀。当又有几个营派上去时,敌人被逐了回去。

    一六、战斗是在营寨前当着大家的面进行的,很显然,在所有这些战斗中,我们的步兵由于披着沉重的盔甲,敌人撤退时既不能追赶,也不敢轻易离开连队标志。因此对用这种方法作战的敌人,实在难于应付。同样很显然的是,我军骑兵作战起来也冒着很大的危险,因为敌人常常故意退下去,当把我军骑兵引得离开军团步兵稍为远一些时,就跳下战车步战,向处于不利地位的我军攻击。、他们的骑兵战术使我军无论撤退还是进连,都陷于同样的危险。加以敌人从来不用密集的阵形作战,只分成许多小股部队战斗,彼此间隔着大段距离,另外又派出一些分遣部队安置在一定的场所,以便各部分之间彼此掩护。作战疲乏了的,有精力充沛的生力军替换。

    一七、次日,敌人停驻在离开营寨一段距离之外的一座小山上,分成许多小股出现,向我军骑兵进行攻击,只来势不及前一天那样猛。但在正午,当凯撒派三个军团和所有骑兵由副将该犹斯·德来朋纽斯率领着去搜索粮袜时,敌人突然从四面八方向这支征粮部队猛扑过来,甚至在军团展开战斗时也不停止。我军奋勇攻击,把他们驱了回去,同时不停地追赶他们,骑兵们倚仗有军团在背后支援,也大胆直追过去,逼得他们既不能集合、也无法停步、甚至连从战车上跳下来的机会都没有,直到杀掉他们一大批才止。经过这番挫败之后,他们四处集合起来的援军马上各自散去,此后一直不再以他们的全部兵力跟我军作战。

    一八、凯撒知道了他们的打算。便领着他的军队进入卡西维隆管斯的疆域。直抵泰每西斯河。这条河只有一个地方可以涉水渡过去,而且很困难。当他到那边时。他看到对面河岸上已经布列着敌人的庞大军队,河岸上并且有一极向殊伸出的尖锐木桩防护着,河底也钉着同样的本桩,隐藏在水面之下。凯撒从俘虏和逃亡者口中得知这些细节,便派骑兵一马当先泅渡前进,军团紧跟在后面。但部队游行得如此之迅速,声势如此之猛,虽然他们只有头部露在水面上,敌人就已经受不住军团和骑兵的攻势,只能放弃河岸,转身逃走。

    一九、当卡西维隆管斯象前面所说的放弃全部作战希望时,把他的大部分军队遣散,只留下大约四千辆战车来监视我军前进。他俩己则撤到离开大路不远的地方,躲进一处难于通行的丛林里面,一知道我军要到什么地方去,就把那地方的全部牲畜和人都从田里赶入森林。而且,每逢我军骑兵赶出去抢掠和破坏,在原野里租许奔驰得自由一些的时俟,他就派出战车,从他们所熟悉的每一条大大小小的路上冲出来,使我军的骑兵和他们作战带有很大的危险性,他便用这种方法阻止我们到更远的地方去虏掠。留给凯撒的唯一办法只有不让任何部队离开军团的大队过远,只在能力和距离所能及的范围之内,尽量跃出田地和纵火,给敌人造成损害。

    二0、同时,大约是那边最强大的国家德里诺旁得斯,派代表来见凯撒,答应向他投降,并愿执行他的命令。年轻的门杜布拉久斯就是从这个国家跑到大陆上去,乞求凯撒的保护的,他的父亲英尼昂湾维几久斯曾经担有过这个国家的王权,被卡西维隆多斯杀死,他自己进出了性命。这时,德里诺旁得斯人要求凯撒保护门杜布拉久斯,以免遭卡西维隆学斯的毒手,他们还要求凯撒把门社布拉久斯送国国内去领导他们,执掌大权。凯格向他们索取了四十名人质和给军队用的粮食,并把门杜布拉久斯遣送回国。他们很快就执行了他的命令,按照要求的数目交了人质和粮食。

    二一、当德里诺旁得斯得到凯撒的保护,并且不再遭到所有军队的破坏之后,钦尼马依人、塞恭几亚奖人、安卡利得斯人、别布洛契人以及卡西人。都派代表来向凯撒投降。凯撒从这些人中得知卡西维隆弯斯的要塞就离开那边不远,由树林和沼泽掩护着,并且有数量颇大的人和牲口集中在那边——不列颠人把用壁垒和壕堑防护着的枝叶繁密、难于通行的森林地区称为要塞、通常集中在那边躲避敌人的虏掠。凯撒这时就带着军团向那地方出发。他发现这地方由天然的地势和人工设防绝妙地防卫着。虽然如此,他仍旧奋勇地从两面对它发动了进攻。敌人略为抵抗了一会,但却经不住我军的攻击,只得从这个要塞的另一面逃了出去。在那里发现了大批牲口,并且有许多敌人在奔逃中被俘和被杀死。

    二二、当这些事情在那边发生时,卡西维隆弯斯派使者到肯几姆去,正如我们上面所述,这是一个滨海的地区,由钦杰多列克斯、卡尔维密斯、塔克辛马古勒斯和塞哥瓦克斯等四个国王统治着。卡西维隆努斯派去的使者命他们集中所有兵力作一次突袭,攻取我军的海军大营。但当他们赶到大营时,我军冲出来迎击,杀死他们很多人,甚至还活捉到他们的一个显贵的领袖鲁哥托列克斯,我军一人未伤,全军而返。卡西维隆管斯得到这次战斗的消息,再加他已遭到巨大的损失,领土也被蹂躏殆遍,尤其使他担心的是各属邦将起来背叛他,他不得不派使者通过阿德来巴得斯人的康缨斯来向凯撒求和。凯撒鉴于高卢突然发生的叛乱,决定回大陆去过冬,而且他知道夏天留下的时间已不多,很容易漫无目的地虚度这段时间,因此他向他们索取人质,规定了不列颠每年须向罗马人交纳的贡赋,同时还直接命令卡西维隆弯斯不准伤害门杜布拉久斯和德里诺旁得斯人。

    二三、一接到人质,他便率领军队回到海边,发现船只已经修好。在它们下水后,他因为有了大批俘虏。并且被风暴损坏了一些船,决定把大军分作两次运送回去。说来凑巧,在那么多船只,那么多航次中,无论今年还是去年,只要是装载了军队的,就没有一只中途失事的,但在这些船只中,凡是从大陆派回到他那边去的空船,无论是已经把第一次运送的军队卸掉后再返回的,还是拉频弩斯监督着新造的那六十艘,却只有极少数能到达目的地,余下的差不多全被风吹了回去。凯撒在白白地等了一段时间之后,因为冬至已将到临,深恐航行受到时令阻碍,不得不把军队更加压缩一番之后,趁一个极风平浪静的大晴天。在第二更之初,起锚出航,天明时抵达陆地,全部船只安然驶进港口。

    二四、这些船只拖上海滩后,在萨马洛布里瓦召开了一个全高卢的会议。这一年因为高卢旱灾,谷物收成较差,凯撒在把军队安顿回归冬令营去时,不得不采取和上几年不同的方式,把军团分散到更多的部里去。他把这些军团之一交给副剧将该犹斯·费庇乌斯带到莫里尼人境内去。另一个交给奎因都斯’西塞罗带到纳尔维人境内去;第三个交给卢契乌斯·洛司久斯带到厄苏比人境内去。第四个跟季度斯·拉频弩斯一起,到德来维里人境内的雷米人中间去过冬。又有三个军团他安顿到比尔及人中间,命令财务官马古斯·克拉苏斯和副将卢契乌斯孟奈苏斯·布朗克斯、该犹斯·德来朋纽斯统率。另中个军团,即最近从柏度斯河以北征集的那个,外加五个营。他派翎在安皮奥列克斯和卡都瓦尔克斯统治下的厄勃隆足新人中去,这个邦的大部分地区处在莫塞河与莱茵河之间。他命令到将奎因都斯·季度密斯和卢契乌斯·奥龙古来优斯·考达统率这支部队。他认为军队这样分配后,无论谷物供应如何紧张,都能很容易地补救,而且所有这些冬令营,除交给卢契乌斯·洛司久斯的那支部队是带到最平静无事的地区去的之外,其他都处在一个一百罗里的圈子之内。他还决定自己留在高卢,等接到所有各军团都已到达驻地、营寨也已筑好工事的报告之后才离开。

    二五、卡尔奇德斯邦中有一个家世极为显赫的塔司及久斯。他的祖上曾掌握过这个邦的王权,凯撒考虑到他的品德和他对自己的善意——因为他在历次战争中都很仰仗他的才能——便给他恢复了祖上的王位。他统治到第三年时,他的敌人们竟在国内许多人的公开赞同之下,将他杀死。这件事报告给了凯撒。因为它牵涉到的人很多,他深恐这个邦受这些人煽动会叛乱起来,便命令卢契乌斯·布朗克斯带着一个军团。急忙从比尔及赶到卡尔芬德斯,就在那边过冬。并且把他所了解到的那些主使杀害塔司及久斯的人捉拿送来。这时,他已接到所有交给他们军团的副将们和财务官的报告,说他们已经到达冬令营,而且都已筑起了防御工事。

    二六、在他们进入冬令营后约十五日,突然从安皮奥列克斯和卡都瓦尔克斯那边开始了骚动和叛乱。虽说他们曾经在他们王国的边界上接待了萨宾湾斯和考达,还把谷物送到营地来过,但他们却受了德来维里人英度鞠马勒斯送来的消息的引诱,把自己的人民煽动起来。在突然掩袭了我军的一支伐木部队之后,又以大批人马来进攻我军营寨。我军迅速拿起武器,登上壁垒。并从一面派出去一支西班牙骑兵,在这一场骑兵交锋中占了上风。敌人看到胜利已经无望,就把他们的人员撤出战斗,接着便按照自己的习俗,大声喊话,叫我军随便去一个什么人,进行谈判,据称他有一些有关双方利害的事情要谈,相信这样做可以缓和彼此间的争端;

    二七、奎因都斯·季度密斯的一个朋友、罗马骑士该犹斯·阿品纽斯和一个曾奉凯撒的使命到安皮奥列克斯那边去过的西班牙人奎因都斯·容尼乌斯,被派到他们那边去,从事谈判。安皮奥列克斯在他们面前这样说:他承认,由于凯撒对他的一番厚爱。使他沾到很多光。全亏凯撒,他才得免除惯常付给邻国阿杜亚都契的贡赋。也是由于凯撒,才能够把他送到阿杜亚都契人那边做人质、在那边受奴役和拘禁的一个儿子和一个侄子交还给他。他宣称,他之所以进攻营寨。既不是他自己决定的,也不是他所希望的,而是出于国人的压力。他所握有的权力,是这样的一种权力,即群众在他身上的权力和他在群众身上所有的权力是相等的。他们的国家之所以发动战争,纯然是因为他们无力抗拒全高卢突然采取的联合行动。只要看他的力量是多么微弱。就很容易证明他决不会糊涂到妄以为光凭他一个人,就可以征服罗马人了。这是全高卢的共同决定,这一天被定作对凯撒的所有冬令营同时发起进攻的日子,免得这一个军团可以赶去支援另一个军团。高卢人要拒绝高卢人是很难的,特别当他们认为自己参与的计划跟大家的自由有关的时候。但他既然已经履行过对国家的责任,现在要转过来对凯撒的思惠略图报答了。他告诉季度密斯说;他要以宾主之谊来要求他,多为自己和士兵们的安全着想。已有大批日耳曼人受雇渡过莱茵河,两天之内就要到达。罗马人应当自己考虑,是不是趁邻近各邦还不知道,带着部队离开营寨,赶到西塞罗或拉频多斯那边去——他们一处离此五十罗里,一处略许远一些——比较好一点。他答应可以让他们安全地穿过他的土地,而且可以设誓为信。他这样做了,一方面既对得起自己的国家,替它清除了罗马的冬令营,另一方面也报答了凯撒的恩惠。说完这些话后,安皮奥列克斯离开了。

    二八、阿品纽斯和容尼乌斯把自己所听到的话报告了两位副将。他们听到这突如其来的消息很为吃惊,认为这番话虽然出自敌人口中。却也不能轻视,特别使他们焦急的是,要说象厄勃隆尼斯这样一个默默无闻、微不足道的国家,居然敢单凭自己就来进攻罗马人,确是令人难于置信的事。因此,这问题被提交给军事会议,他们中间又引起一场很激烈的争论。卢契乌斯·奥龙古来犹斯、几个军团指挥官和首列百夫长,认为行动不必太匆忙,如果没有凯撒的命令,决不应该离开冬令营。他们还指出。即使日耳曼人来,不论他们有多少人,有筑了工事的营寨,总可以抵挡得住。他们已经英勇地抵御过敌人的第一次攻势,而且伤了他们许多人,便是一个证明。粮食对他们也没有多大压力,而援军却可能从就近的冬令营或者凯撒那边赶来。再说,还有什么事情比在紧要关头采纳敌人的劝告更冒失、更丢脸呢。

    二九、季度留斯反对这个,宣称说:如果等到敌人纠集了更大的兵力、并加上日耳曼人之后,或者等到自己邻近的冬令营遭到了灾难之后,再采取行动,就未免太迟了。他说,他们已经只有很短的一段时间可以考虑问题一他相信凯撒已经到意大利去,否则卡尔省德斯人不会起杀害塔司及久斯的念头。要说凯撒还在,厄勃隆尼斯人也决不会这样不把我们放在眼里,敢来进攻营寨。他所考虑的不是敌人的建议而是事实。莱茵河就在附近,日耳曼人正因为阿里奥维司都斯的死亡和我军前几次的胜利而感到十分悲愤,高卢人也因为在罗马人统治后受到的种种屈辱、以及丧失了原先英勇善战的声名而怨恨不已。再说,谁能自己安慰自己说,安皮奥列克斯之所以采取这样一着,没有可靠的理由呢?他自己的主张是无论进退都很安全的。一方面,如果不发生十分险恶的事情,他们可以平安无事地赶到邻近的一个军团去;另一方面,如果高卢人已经和日耳曼人勾结起来,,那么,唯一的安全出路就在于迅速行动。至于考达和那些不同意他的人的主张,会落到什么样的下场呢?即令它没有目前的危险,但在一番长期围困之后,饥饿就是一个很大的威胁。

    三O、双方作了这样的一番争论之后,考达和首列百夫长们激烈地反对萨宾管斯。萨宾管斯为了使士兵们都可以听见,用一种比平常更响亮的声音叫着说:”算你有理,悉听尊便吧!我却不是象你们这种在死亡面前吓昏了头的人。士兵们会了解的,如果真的发生什么严重的事情,他们自会向你们算帐。因为如果你们允许,后天他们就可以跟附近的一个冬令营联合起来,跟别人一起应付这次战争,不至于远远地离开别人孤立着,在刀剑之下或饥饿之中丧生了。

    三一、散会后,大家拉住这两个人,要求他们不要因为自己的争吵和坚持己见,使形势变得更危险,只要他们大家想到一起,同心同德,无论是留下还是动身,什么都不难办,否则,在争吵中是找不到安全的出路的。一直争论到半夜,考达最后终于动摇并且屈服,萨宾管斯的意见占了上风,宣布军队天明时出发。这一夜余下的时间,大家全不曾合眼,每个士兵都检点自己的财物,看看哪些东西可以随身带走,冬令营的用具中,哪些不得不被迫丢下。他们想出各种各样理由来说明留在那边的危险,以及这些危险又将如何因为军士们的疲劳和长郑守夜而日甚一日。天明时,他们开始走出营寨,队伍伸得老长,辎重带了一大批,他们的的确确象是已经教说服了相信替他们出谋献策的安皮奥列克斯不是敌人,而是最最亲密的朋友了。

    三二、敌人从他们夜间的喧闹不眠上面,得知他们开拔的打算,就在约两罗里外的树林里有一处隐藏得很好的地方,埋伏下两支军队,等候罗马人到来。当我军的大部分行列走到一个大峡谷时,他们突然从那峡谷的两侧出现,进逼我军的后队。阻挠我军的前队向山上前去,就在我军处在最不利的地位时跟我军战斗。

    三三、季度留所事前丝毫没有预料到这一点,惊慌失措起来,赶紧东奔西走地一营一营布置任务,就在做这些事情的时候,他也是心慌意乱的,好象已经完全智穷力竭了,这也正是一个人在形势逼须、被迫不得不拿出主意来的时候常有的情况。考达却事先就已料到进军途中可能发生这样的事情,正是因为这样,他才反对开拔的,因而也没有疏忽任何有关大家安全的措施。在号召和激励士卒方面,他尽了司令官的职责,在战斗方面,也尽了一个战士的责任。后来因队伍拉得太长,两位副将感到不易亲自掌握一切情况,也不能及时了解到每一个地方该做些什么事情。便下令往下传话,叫大家放弃行李,结成一个圆阵。在这种紧要关头,采取这一措施咱然不能说是错的,但却产生了不幸的后果。因为它使人感到,不是由于极度的恐怖和绝望,决不会这样做,因而削弱了我军的斗志,又使敌人更加发奋作战;另外还产生了一个不可避免的恶果,即一群群兵士纷纷离开自己的队伍。赶到辎重车上去寻找他们认为最宝贵的东西,到处吵吵嚷嚷、哭哭啼啼。

    三四、但蛮族却不乏智谋。他们的领袖向各行各列传下命令说:任何人不得离开队伍,战利品反正总是他们的,罗马人剩下来的任何东西都会替他们保留着,他们只要考虑到一切都有待自己的胜利就行。在勇敢方面和斗志方面,双方不相上下。我军的士卒虽然被自己的领袖和命运所共弃,却仍把自己平安的希望寄托在勇敢上,每当一个营奋勇冲杀时,所到之处,总有大批敌人丧生。安皮奥列克斯注意到这点,传令叫他们的士兵不要逼得太近,只在远处投射矢石,罗马人向哪里冲击,就退让开,因为罗马人的装备轻便,训练有素,绝伤害不到他们,但当他们退回到自己的行列、中去的时侯,仍旧转过身来追他们。

    三五、这命令被细心地执行着。任何—个营离开圆阵作冲击时,敌人就以极快的速度退走,同时,当那支队伍不可避免地暴露在外面对,它那袒露着的侧翼便受到一阵阵矢石的攻击。当他们设法退回到原来出发的地点去时,那些退下去的和那些站在回他们最近的地方的敌人,就赶上来包围他们。即令他们愿意坚持在自己的位置上,他们也没有机会可以表现他们的英勇,人挤得那么紧,密密层层的敌人投来的矢矛,要躲也无法躲。尽管受到这许多不利条件的限制,还有许多人受了伤,他们仍然抵挡住了敌人攻击。虽说这天的大部分时间都在战斗中度过——他们从天亮一直战到第八刻时——他们却没有做任何一件丢脸的事。这时,一年前担任过首席百夫长、极有威信而又勇敢的季度斯·巴尔文久斯,两腿都被矛戮穿。同一列的奎因都斯·卢坎纽斯。也战斗得十分勇猛,不幸在他去救援自己的被围困的儿子时,遭到杀害。副将卢契乌斯·考达正在鼓励所有各个营和百夫长们时,被一块投石端端正正击中面部。

    三六、被这些情况吓慌了的奎因都斯·季度密斯,一看到安皮奥列克斯在远处鼓励他的部下,便派他的译员克耐犹斯·庞培去要求他饶了他自己和他的兵士。安皮奥列克斯对这番请求回答说:如果季度留斯愿意和他谈话,只管前去,他希望能够说服他的军队,保全罗马兵士们的性命,至于季度密斯本人,则绝不至于受到伤害,这件事他可以担保。季度密斯便和受了伤的考达商量,是否可以退出战斗,一同去和安皮奥列克斯谈判。他说:他希望能够说服安皮奥列克斯,使自己和兵士们获得安全。考达不愿跑到正在交战的敌人面前去,坚决反对。

    三七、萨宾弯斯命令在他身边的那些军团指挥官和首列百夫长都跟随着他,当他走到高安皮奥列克斯不远处时,有命令叫他们抛掉武器,他听从了这命令,还叫自己这边的人都照这样做。当他们两人在一起讨论时,安皮奥列克斯故意作了一番并不需要那么长的讲话,季度留斯却逐渐被包围起来,随即遇害。于是,他们按照高卢人的习惯,齐声喊胜了,在一阵阵大声呼啸之下,向我军冲击,使我军的行列陷入混乱。卢契乌斯·考达在战斗中和大部分士兵一起被杀,其余的仍旧退回到出发来的管寨里去。他们中有一个掮鹰志的旗手卢契乌斯·彼特洛希第乌斯,受到大批敌人的沉重压迫,便把自己的鹰帜投入壁垒,在营寨前跟敌人奋勇搏斗,终于遇害。其余的人艰苦抵抗,一直到天黑。在夜间,感到逃生已经无望,他们互相假手对方杀死自已,只极少数人从战斗中脱身逃出来,在丛林中极阴暗难认的小路上摸索了一番后,才逃到拉频弩斯的冬令营,报告了这些情形。

    三八、这场胜利鼓舞了安皮奥列克斯,他立刻带着骑兵,出发到与他自己的王国相邻的阿杜亚都契人中去。他日夜不停地赶路,命令步兵在后面跟上。在向阿杜亚都契人报告了这消息、并煽起了他们之后,他又在第二天进入纳尔维人的领域,鼓励他们莫错过争取永久自由、报复迫害他们的罗马人的机会。他说他已经杀死两个副将,并且消灭了一支军队的绝大部分。如果再突然掩袭由西塞罗所率领着正在息冬的这个军团,一举将其歼灭,绝非难事。他答应在做这件事时,自己可以给予帮助。他很容易地用这番话鼓动了纳尔维人。

    三九、因而,纳尔维人的使者马上被派到受他们管辖的秋得隆内斯人、格鲁地人、勒凡契人、普留穆克西人和该伊杜姆尼人那边去,尽量地征集起大批兵力,突然扑向西塞罗的冬令营。那时西塞罗还没有接到存关季度留斯死难的消息,因而在他这里也不可避免地发生了同样的情况,一些兵士到树林中去采集筑构工事用的木材。突然遭到敌人骑兵阻截。当他们落在敌人的包围中时,厄勃隆尼斯人、纳尔维人、以及阿杜亚都契人和他们的同盟、属领同时开始以大队人马进攻这个军团。我军迅速抢起武器,登上壁垒。这天的抵抗真是困难万分,因为敌人把他们的全部希望都寄托在速战速决上面,认为只要赢得这一战,就将无往而不胜。

    四0、西塞罗马上派人送信到凯撒那边去,并答应重重酬赏送信的人,只要他们能把信送到。但所有的路都已被切断,派出去的人也都被截住。夜间,他们利用收集来准备修筑工事的木材,以难于置信的速度建造了二百二十座木塔,并且把所有工事上显然有缺陷的地方,统统作了补救工作。次日,敌人纠集了更加巨大的兵力来进攻营寨,填没壕堑。我军仍和前一天一样作了抵抗。以后的许多天里,所做的事情大致相仿,就是夜间也没片刻停手的时候,连生病的和受伤的也没机会给他们休息。所有对付次日进攻所需要的器械,都得在夜间作好准备。许多木桩的尖头都得熏过,城墙上战斗用的长枪得预备好,木塔得架设起来,堆堞和胸墙也得用树柴编搭起来。西塞罗本人虽然身体很衰弱,但即使夜里也不让自己有片刻休息的时间,直到最后,被成群赶来恳求他休息的士兵们逼着才住手。

    四一、于是,纳尔维人中跟西塞罗有过一些交往、可以借口友谊接近他的那些领袖和头目说,希望能跟他谈判。当他们得到这样的机会时,他们也把安皮奥列克斯对季度留斯说的那番话,细说了一遍。他们说:全高卢都已经武装起来,日耳曼人也已经渡过莱茵河、凯撒和其他人的冬令营都在受着攻击。他们还报告了季度留斯死亡的消息,为使人相信起见,他们又把安皮奥列克斯指出来给他们看。他说,如果你们指望那些自己都正在一筹莫展的人来救你们,就大错了。虽说如此我们对西莫罗和罗马人的友谊,是一切都可以迈出的,但冬令营是例外,我们不愿意让这种制度长此存在下去,成为定例。有我们纳尔维人在,你们完全可以安然离开冬令营,高兴到那里去就到那里去,丝毫不用害怕。西塞罗对这番话只给一个回答;罗马人向来不接受武装着的敌人的任何条件。如果他们愿意放下武器,他们尽可利用他作为中介,派使者到凯撒那里去。由于凯撒的公正无私,他相信,他们所提的要求是可能实现的。

    四二、这希望落空后,纳尔维人就用一道九罗尺高的城墙和十五罗尺宽的壕堑,围住冬令营。这些军事工程是过去几年中他们踉我军交往时学到的,同时他们得到从我军提去的一些俘虏的指教。但他们没有适于干这些工作的铁器,不得不用剑来刨草皮,用手和外套来搬运派士。正因如此,我们可以从这里对敌人的数目之大作出了个约略的估计。他们竟在不到三个刻时的时间之内,完成了一道周长达三罗里的壕堑。随后几天,在前述的俘虏指导之下,他们又开始准备跟我军壁垒一样高的木塔、挠钩和盾车等。

    四三、在围攻的第七天,括起了极强烈的风。他们开始用射石器向我军按高卢式样造起的用草顶盖屋顶的茅舍投射烧得炽热的黏土球邦和燃烧着的矛。这些茅舍很快着了火,在大风中,火又散布到营寨的每个角落里去。敌人好象胜利不但已经到手。而且已经牢牢掌握住了似的,一声大喊便开始把他们的木塔和盾车推动向前,用云梯攀登壁垒。但士兵们的斗志是如此之昂扬,心神是如此之专法,。虽然火焰到处熏灼他们,大量的矢矛在骚扰他们,而且知道自己的行李和一切财物都着了火,不仅没一个人离开壁垒退出战斗,甚至连回头看一下的人都没有。人人都以最奋发的热情和勇气战斗着。对我军来说。这一天可以算是最最艰难的一天,其结果是,大批敌人受伤或死亡,比其他任何一天为多,特别由于他们都紧紧的挤在壁垒之下,最后面的人使得前面的人完全没有后退的余地。火势稍稍减少了一些的时候,有一个地方,有一架移动的本塔靠近了壁垒,第三营的百夫长们退出自己的位置,并叫他们的所有部下也都让开,用手势和语言招呼敌人,请他们只管进来,但他们中没有一个人敢前进。他们随即被四面投掷来的石块击退,木塔也被纵起火烧掉。

    四四、这军团里有两个极勇敢的人,一个叫季度斯·普尔洛,另一个叫卢契乌斯·瓦伦纳斯,都是即将升到首列的百夫长。他们中间不断争论究竟谁该比另一个领先。为着争取这个位置,每年都极激烈地开展竞赛。当工事前的战斗进行得十分紧张时,这两个人中的普尔洛说:”瓦伦纳斯,你还迟疑什么?难道你还要等什么更好的机会来表现你的勇气吗?今天就应该决定我们的争论了。”说完这话,他跨出壕堑;向敌人最密集的部分冲去。瓦伦纳斯怕人家说他胆怯,也不肯再停留在壁垒上,便也紧紧跟上来。在和敌人距离不远的地方,普尔洛把他的矛掷向敌人,一下就戳穿了向着他奔来的一个敌人。当这人受伤昏过去时,敌人用盾掩盖住做一边把他们的矛四面向普尔洛投来,使他没有退身之地。他的盾被戳穿了,还有一支矛钉在他的腰带上,同时把他的创鞘弄得斜到了另一边,他伸手拔剑时却左拔右拔抽不出来,正当他的手在摸索时,敌人围上了他。他的对手瓦伦纳斯赶向他那边,在他危险时给了他帮助。所有的敌人都认为普尔洛已被矛刺死,马上放开他,转过身来攻击瓦伦纳斯。瓦伦纳斯用剑跟他们短兵接战,杀掉二个人之后,其余的都被驱回去一段路。不料他正追得起劲时,一个筋斗跌进地上的洼坑里。这一下他又被敌人包围起来,普尔洛也赶来帮助了他。虽然两个人杀掉好几个敌人,却都一点也没受伤,在热烈的喝采声中退回壕堑。在这番竞争和比赛中,命运之神好象先后轮流光顾了这两个对手,使一个成为另一个的助手和救星,以至要判别两个人中究竟哪一个比较勇敢些也不可能。

    四五、防御工作一天比一天更繁重、更艰苦,特别由于大部分士兵受了伤,防卫工作便都落在少数人身上。派到凯撒那边去的使者和书信也更加频繁。使者中有一些人被捉住后,就当着我军的面残酷折磨至死。营中有个出身显贵的纳尔维人,名叫维尔几哥政,围攻一开始就逃到西塞罗这边来,表现了自己对西塞罗的非常忠诚。他用给予自由的诺言和极重的酬赏。说服一个奴隶,叫他送信到凯撒那边去。这个人把这封信缚在矛上带走,由于他是高卢人,在高卢人中奔走,没有引起怀疑,终于到达凯撒的所在。西一塞罗和他那军团的危险处境,正是因这个人的报告才被得知的。

    四六、凯撒大约在这天的第十一刻时接到信,立刻派使者到禅洛瓦契邦中去见财务官马古斯。克拉苏斯——他的冬令营离凯撒这里约二十五罗里——吩咐他的这个军团在半夜出发,迅速赶到自己这边来。克拉苏斯一接到信,立刻便起身赶来。另外一个使者派到副将该犹斯·费庇乌斯那边,嘱咐他带着军团进人阿德来巴得斯人的地区,凯撒预料自己在行军途中要经过那边。他又写信通知拉频弩斯,如果他那边形势许可的话,希望他带着军团进抵纳尔维人边境。至于其余的军团,距离太远了些,他认为不必等候他们,只从最近的几个冬令营中集中了大约四百名骑兵。

    四七、大约在第三刻时,前锋报告他说:克拉苏斯已经来到。这一夭,他前进了二十罗里。他命令克拉苏斯留守萨马洛布里瓦城,交给他一个军团,因为他想把军队的辎重、各邦的人质、各项公文、以及他带到那边去准备过冬的全部粮食。都存放在那边。费庇乌斯和他的军团,也按照他的命令,没耽搁多久就在他的前进途中遇上。拉频弩斯已听到萨宾管斯遇害和军队覆没的稍息,但快于德来维里人正以全部兵力赶来攻击他,深恐自己一离开冬令营,就象是在逃走,会挡不住敌人的一阵猛攻,特别他知道他们正因为刚刚获得的胜利而在气焰嚣张的时候。因此,他送一封信回来给凯协说明如果他带着军队离开营寨将是多大危险的事,还大略报道了一下厄勃隆尼斯人境中发生的事情。并告诉凯撤,所有德来维里的骑兵和步兵都已驻扎在离开他自己营赛只有三罗里路的地方。

    四八、虽然凯撤赞同他的主张,但他本来是想凑起三个军团的,这一下减为两个,不免失望,不过他仍然把大家的安全寄托在行动迅速上面,因而以急行军的速度,进入纳尔维人境内。他在那边从俘虏口中得知西塞罗处发生的情况,以及危急到什么样的程度。于是,他以极大的报酬说服了一个高卢骑兵,送一封信去给西塞罗。送去的信是用希腊文写的,免得它被敌人截住后,得知我军的计划。送信的人得到指示说。如果无法走近营寨,可以把信缚在一支矛的皮带上,投入营寨的壁垒。他在信中写着说,他已带着军团出发,很快就可以到达他那里,并且鼓励西塞罗保持向来的勇敢。那高卢人害怕危险,就按照得到的指示,把那矛掷进营去。说也凑巧。它恰恰掷中,并钉在一座木塔上,一连两天没被发现,第三天才被一个士兵看到,取下来交给西塞罗。他从头到尾一口气读完,然后又在一个军队的集会上朗读给大家听,它给大家带来了极大的喜悦。远处的烟头,很快就被看到,它驱走了军团会不会来的一切疑虑。

    四九、高卢人也由他们的侦察部队报告了这事,便放弃围攻。以全军来迎击凯撒。他们大约有六万人。西塞罗一有机会,又向上述的那个维尔几哥再要一个高卢人。送一封信去给凯撒。他警告那人要十分谨慎小心。他在信中写着说:敌人已离开他那边,全部大军都转身来迎击凯撒了。这信大约在半夜到达。凯撒因此告知了他的部队,并且激励他们的斗志。次日天明,他移营前进,赶了大约四罗里路,望到大队敌军正在一个巨大的山谷和一道小河对面。他认为以他这样微弱的兵力在这种不利的地形和敌、人作战,是件极危险的事情,同时他还知道,反正西塞罗那边已经解围。大可以从从容容,放慢速度,因而就在那边停了下来,并在尽可能找到的有利地形,给营寨筑起工事。他勉强只有七千人,而且没有行李,营寨本来就已经很狭小,他再用缩小营里过道的办法,一把它压缩到最小限度,以此来引起敌人的极度轻视。同时他还向四面八方派出侦察人员,去找寻一条通过那条峡谷的近便的路。

    五0、那天,骑兵在河边发生了小接触,双方的大军仍留驻在原地。高卢人为的是要等候还没能赶来参加他们的大股军队,凯撒则试图以假装胆怯。把敌人引到自己这一边来。好在峡谷这一面的营赛前方作战。即使这一点做不到。他想在探出一条路来之后,也许可以在比较安全的情况下穿过那个峡谷和小河。天明时。敌人的骑兵赶到营寨前来跟我军骑兵作战。凯撒命令骑兵故意败退回营。同时。他又下令在营寨的四周都用较高的壁垒防护起来,营门也用障碍物堵住,在进行这些工作时,越混乱、越装得害怕的样子越好。

    五一、受了这些情况的诱惑,敌人真的把军队带过来了,在一个地形不利的地方列下阵来。当我军甚至连壁垒上的人也都撤下来时,他们又走得更近一些,从四面八方向境堑里发射矢石。同时向四周派出传令员,命他们喊话说:”如果任何人、不问高卢人还是罗马人,愿意投诚到他们那边去,在第三刻时以前,尽可以这样做,保无危险,过了这个时候,就不再给这种机会了。”他们对我军已经轻视到这样一种程度:因为我们营寨门口有了一列用草泥装模做样地堆起的短垣拦住,认为从这里冲进来不容易,他们中有些人便开始用手去拆那壁垒,其余有些人又动手填壕堑。于是,凯撒下令从各个门突然一起向外猛冲,并派出了骑兵,很快就使敌人飞奔逃走,没有一个人停下来抵抗。我军杀掉其中的一大批人,把全部武器都收来。

    五二、因为路上有树林和沼泽,凯撒不敢追得过远。他还看到,在那边,连再给敌人造成极小一点损失的机会都役有了,便在当天带着他那完整无缺的军队,赶到西塞罗军中。他看到了敌人竖立的木塔、胸墙和其他防御工事,感到惊异。军团列队出来时,他发现没有负伤的兵士不到十分之一。从所有这些证据上,他可以判断出这场战斗是在怎样的危险之下、以什么样的勇敢进行的。西塞罗和军团都当之无愧地得到了他的热烈赞扬。在西塞罗的证明之下,他还跟一些被认为勇敢出众的百夫长和军团指挥官作了个别谈话。有关萨宾管斯和考达的灾难,他也从俘虏口一中得到了更加确切的报导。次日,他召集了一次集会,解说了发生的事故,安慰并鼓励了士兵。他劝告他们要沉着地接受因为一个副将的错误和鲁莽而招来的这些损失。由于不朽的神灵的恩惠以及他们自己的英勇,灾难已经给弥补过来,敌人既没能够欢乐得多久,他们自己也不会再长此悲痛下去。

    五三、同时,凯撒胜利的消息被雷米人以快得难以想象的速度报告给了拉频弩斯。虽然拉频弩斯离开西塞罗的冬令营有六十罗里,凯撒也直到这一天的第九刻时以后才到西塞罗那边,但在半夜以前,雷米人就已经在拉频弩斯官寨门前发出一阵阵呼噪声,用来表示得胜和向拉频弩斯的祝贺。当同一消息传到德来维里人那边时,本来已经决定在次日进攻拉频弩斯营寨的英度鞠马勒斯连夜逃走,把他所有的军队都撤回德来维里邦中。凯撒派费庇乌斯带着军团回到他的冬令营去,自己则决定带着三个军团分为三处,环绕着萨马洛布里瓦过冬。由于高卢发生了这么大的动乱,他决定自己整个冬天一直留在那边,跟军队一起过冬。因为萨宾湾斯死难的消息在他们中传布出去时,差不多全高卢各邦都在筹划作战,使者们和代表们被派到每一个地方,探询别人在做些什么,战争将从什么地方开始,夜间还在偏僻的地方偷偷开会。差不多整个冬天,凯撒的心情没有一刻不是在焦虑中度过的,也没有一刻不接到有些关于高卢人聚会和骚动的消息。这些消息之中,有由他任命统率第十三军团的财务官卢契乌斯·洛司久斯的报告,说:有一大批从被称为阿莫列克诸邦来的高卢人,已经集合起来进攻你并且在距他的营地不到八罗里的地方驻扎下来,但在接到凯撒胜利的消息后,却象渍逃似的退走了。

    五四、凯撒把各个国家的领袖都召到自己跟前来,有的加以恐吓,说他已经知道了他们所干的勾当;有的他又加以鼓励;终于使高卢的大部分地区都保持忠顺。不过,在高卢人中特别强盛和威望很高的森农内斯人,却在公开策划着要杀害卡伐林纳斯——这是凯撒在他们中所立的国王,在凯撒初至高卢时,他的兄长马利塔自古斯在担任他们祖先所担任过的王位——卡伐林纳斯发现他们的计谋后逃走,他们一直追赶他甚至追到边界上,把他逐出王位和家乡,然后派使者来向凯撒解释。当凯撒吩咐叫他们的全部长老来见他时,他们却又不服从命令。这时居然有人敢出来先发难,发动战争。在蛮族中起了非同小可的影响,对大家的情绪起了极大的变化,除了凯撒始终特别给与面子的爱杜依人和雷米人——前者是因为他们对罗马人的古老而且始终不渝的友谊,后者是因为他们新近在高卢战争中的贡献——之外,差不多没有一个国家,不引起我们的怀疑。我始终认为这种情况是不足为奇的,在其他许多理由之外,特别因为这些国家曾一度在作战勇敢方面压倒过其他国家,但现在这种好声誉却因为屈服于罗马人的统治而消失,未免令他们极度痛心。

    五五、为此德来维里人和英度鞠马勒斯整个冬夭一刻都没安静过,他们不断派使者到莱茵河对面去邀请那些国家,答应给他们钱,宣称我军的大部已被消灭,留下来的只是很小一部分了。但仍旧没有一个日耳曼国家被说服渡过莱茵河来。这些国家说:他们已经在阿里奥维司都斯之役和登克德里人迁徙时试过两次,不想再来碰运气。英度鞠马勒斯的希望落空之后,还是积极招聚军队,加以训练,并到邻国去收买马匹,以极大的酬报把全高卢的亡命之徒和罪犯都吸引到他这里来。依靠这种方法,他确实替自己在高卢树起很大的声势,使得四方八路都有代表赶到这里来,为他们的国家或自己本人乞求恩宠和友谊。

    五六、他看到他们都是出于自愿来到他这里的——一方面,森农内斯人和卡尔奇德斯人是由于自觉有罪,内心不安;另一方面,纳尔维人和阿杜亚都契人自己也正要准备对罗马人作战;因而他认为,如果他一旦从自己的领域里出兵,决不用担心没有别国的军队自愿前来参加。于是,他宣布召集一个武装会议,根据公认的法律,所有成年男子都应该赶去参加,去得最迟的人,就在全体与会者面前,加以种种折磨之后处死。在这会上,英度鞠马勒斯宣布钦杰多列克斯为敌人,没收了他的财产。钦来多列克斯是他的女婿,并且是另一党的领袖,如前所说,他已投身乞求凯撒的保护,至今没叛离他。这些事情做完后,他在会上宣称。他受到森农内斯人、卡尔奇德斯人和另外几个高卢国家的邀请,考虑穿过雷米人的领域,到他们那边去。并且一路走,一路破坏雷米人的田地,但在这样做之前,先要攻下拉频弩斯的营寨。接着,他把自己要他们做的事情嘱咐他们。

    五七、拉频弩斯守在一座天然地势和人工设防都极好的营寨里,完全不用害怕会有什么危险落到自己头上来,他却也不愿意让任何可以取胜的机会错过去。。因此,从钦杰多列克斯和他的亲属处得知了英度鞠马勒斯在会上的讲话后,就派使者到邻近诸邦去,到处征集骑兵,指定一天作为他们集合的日子。同时,英度鞠马勒斯差不多每天都带着骑兵巡游到他的营寨近旁来,有时是为了了解营寨的地势,有时则是企图来谈判或恐吓,通常这些骑兵还向壕堑内发射矢石。拉频弩斯把他的士兵关在防御工事里面,同时还用一切方法给敌人加强印象,使他们以为自己在害怕。

    五八、英度鞠马勒斯带着与日俱增的轻视心,继续到我军营赛前来。直到有一天夜里,拉频弩斯把他从所有邻近各邦设法调来的骑兵都接了进来,同时还设置了守卫,他极细心地把全部士兵都关闭在营寨里面,绝不让这件事情泄漏出去,或者被报告给德来维里人。次日,英度鞠马勒斯却仍旧照每天的习惯到我军的营寨前来,把一天中的大部分时间花费在这里。他的士兵发射矢矛,并且用极傲慢的语言叫我军出去作战。到傍晚时刻,由于听不到我军一句答话,他们认为已经闹够了,便三三两两零散着退走。拉频弩斯派他的全部骑兵突然从两个门冲出去,他给士兵们这样的指示和禁令:当敌人受惊,四散逃走时(他预先就料到将会发生这样的事,而且正如他所料),他们应当一起奔向英度鞠马勒斯,在没看到他被杀以前,任何人不准先忙着杀伤别人。因为拉频弩斯不愿意让他在大家忙着追赶别人时。乘机逃脱,所以给能够杀死他的人设下了重重的赏格,还派出几个营去支援骑兵。事实证实了他的计划,因为所有的兵力都集中去追逐一个人,他们终于在渡河的地方捉住英度鞠马勒斯,并杀死了他,把他的头带回营来。在他们回营途中,骑兵们放手追逐,杀死尽可能追到的全部敌人。得知这个消息后,厄勃隆尽斯人和纳尔维人已集中了的全部军队都退走了。这件事情以后,凯撒感到高卢安静了不少。

    第六卷

    一、根据许多理由,凯撒预料高卢将发生一场更加严重的动乱,决定由他的副将马古斯·悉朗纳斯、该犹斯·安几司久斯·雷琴纳斯和季度斯·塞克司久斯着手征兵。同时,凯撒还向当时以代行执政官的头衔留在首都附近的克耐犹斯·庞培提出要求,既然他为了国家的利益继续掌握着军事大权,希望他能够命令在他任执政官时在山内高卢征召入伍的士兵,报到编队后开到凯撒这边来。凯撒认为有必要今后在高卢人心目中造成这种印象,使他们觉得意大利的力量极为强大,即使在战争中遭到一些损失,不但能在短期内很快补上,而且还有更大的兵力来加以扩充。当庞培为了国家的利益和友谊答应了时,凯撒也很快由他的副将们完成了征兵工作,在冬天过去之前。组成三个军团,带来他这边,跟季度留斯一起损失的那几个营,现已加倍补足,在速度上,力量上显示了罗马人无论从制度来说还是从资源来说,是何等不可轻侮。

    二、如我们所说,英度鞠马勒斯已经被杀。领导权由德来维里人转授给了他的亲属,他们仍旧不停地煽惑邻居的日耳曼人,答应给他们钱。在邻近的人勾引不动时,又到更远的人身上去打主意。当他们寻到一些甘愿效力的国家时,他们彼此之间订下了共同遵守的盟誓,并且交换了人质,作为今后付钱的保证。他们还用结盟和缔约的办法,把安皮奥列克斯也吸引到他们的这一边来。凯撒得知了这些事情,还看到各处都在准备作战:纳尔维人、阿杜亚都契人、问奈比人,正跟莱茵河这边的所有日耳曼人联合着进行武装。森农内斯人也没听从命令到他这边来,却在跟卡尔奥德斯人和邻近的国家阴谋勾结;日耳曼人也在受德来维里人不断派去的使者诱惑。他认为良己应当比往常更早一些开始作战。

    三、因此,在冬季还没结束以前,他集中了最近的四个军团出乎意料地迅速进入纳尔维人境内,在他们还没来得及集中或逃走以前,俘获了大批牲畜和人口,把这些战利品分给了士兵,又既响了他们的田地,逼得他们不得不前来向他投降,交纳人质。这些事情很快办妥后,他带着他的军队仍口进冬令营。春初,按照他的惯例,宣布召集一次全高卢大会。除森农内斯人、卡尔奇德斯人和德来维里人以外,其他各族的使者都到齐了,他肯定他们的缺席就是武装叛乱的开始。为了让大家相信他把除战争以外的其他一切事情都放在次要地位起见,会议移到巴里西人的一个市镇卢德几亚去开。这些巴里西人是森农内斯人的近邻,祖上曾经跟他们合成一个国家,但一般都认为他们没有参加目前的这些阴谋。这个决定在坛上宣布后,当天他便带军团出发去讨伐森农内斯人,以急行军到达他们那边。

    四、得知他到达后,发起这个阴谋的阿克果命令他们的人都集中到自己的城堡里去。但这事刚只着手,还没有完成时,就接到罗马人已经到来的消息。他们出于无奈,放弃了自己的计划,派使者来向凯撒恳求宽恕,由爱杜依人从中代为求情——因为他们的国家从古以来就是爱杜依人的保护国。凯撒看在爱杜依人面上,欣然宽恕了他们,接受了他们申述的理由,因为他认为夏天是解决目前战事的季节,而不是追查情由的季节。他向他们索取一百名人质,并把这些人质交给爱杜依人监守。卡尔奇德斯人也派使者和人质到他营里来,通过雷米人——他们是卡尔奇德斯人的保护者——向他恳请,也得到了同样的答复。凯撒结束了会议,向这些国家征集骑兵。

    五、于是,高卢的这一带地区便被平定下来,凯撒自己也可以专心对德来维里人和安皮奥列克斯作战了。他命令卡伐林纳斯带着森农内斯人的骑兵跟他一起出动,以免他们的国家因为这个人的急躁性情或者他在那边引起的仇恨而发生骚乱。这些事情安排好以后,因为他相信安皮奥列克斯决不会出来决一胜负,便进一步猜测他还有什么别的出路。在全部高卢人中,只有邻接厄勃隆尼斯人的门奈比人,因为有连绵不断的沼泽和森林作掩护,始终没派使者到凯撒这里来求和。凯撒知道安皮奥列克斯和他们之间有交情,同时也发现他还通过德来维里人,和日耳曼人结上了友谊。他认为在跟安皮奥列克斯作战以前,先得把他的这些支援除去,杏则他会在走投无路时,躲到问奈比人中去,或者被迫跟莱茵河那边的部落勾结起来。一经决定采取这个步骤,他就把全军的辎重都送到德来维里境内的拉频管斯那边,又命令两个军团也出发到他那边。去。凯撒自己带着五个军团,轻装奔向门奈比人那边。他们没有召集军队,只倚恃自己的地形,一起逃向森林和沼泽,把自己的财物也都搬了进去。

    六、凯撒把他的军队分给了副将该犹斯·费庇乌斯和财务官马古斯·克拉苏斯,在很快筑好一些桥梁以后,三路前进,焚烧他们的房舍和村庄,并捕获大量的牲畜和人口。这些行动迫使问奈比人派使者到他这边来求和。他接受了他们的人质,而且口气坚定地警告他们:如果他们接纳安皮奥列克斯本人或他的使者进入境内,他就把他们当做敌人看待。这些事情妥善地解决后,凯撒命令阿德来巴得斯人康缨斯带着骑兵留在门奈比人境内作为留守部队,他自己则出发到德来维里人那边去。

    七、当凯撒正在这样做时,德来维里人已经集合起一支巨大的步兵和骑兵,准备攻击拉频弩斯和在他们境内过冬的那个军团。当他们距他不到两天路程时,忽然听到凯撒派来的两个军团已经到达,他们也就在十五罗里以外扎下自己的营寨,决定在那边等候他们的日耳曼族援军。拉频弩斯得知敌人的计划,希望能利用敌人的轻率,获得一次战斗的机会。他给辎重留下五个营作为守卫,自己带着二十五个营和一大批骑兵,迎着敌人赶上去。在距敌人一罗里的地方构筑了营寨。在拉频弩斯和敌人之间隔有一条两岸十分峭拔、难于渡过的河流。他自己不想渡过这条河去,估计敌人也不至于会渡过来,但他们会来援军的希望却一天一天在增加。拉频弩斯在一个军事会议上公开宣称:由于据说日耳曼人即将来临,他不愿意把自己和军队的命运孤注一掷,决定就在明天清晨,拔营离去。这些话很快就被带给了敌人。因为在这么大的一支高卢人组成的骑兵中,自然免不了会有一些人出于天性,偏袒高卢人一方。晚上,拉频弩斯召集了军团指挥官和首列百夫长,说明了他的计划,还说:为了使敌人更容易相信他在害怕起见,他命令在移营动身时,应当显得比罗马人向来的习惯更糟杂、更混乱些。这样一来,他弄得他的撤走真正象是在逃走。因为离开敌营很近,这种情况,天明以前就由敌人的侦察部队报告给了敌人。。

    八、后队还刚刚离开工事,高卢人就互相鼓励:不要让盼望已久的战利品从自己手里滑走。他们说:正当罗马人在惊惶失措的时候,自己却长时期坐在这里等日耳曼人来帮助,空放着这么大的兵力,不敢去攻击这么一小撮敌人,对他们的荣誉来说,真是件难堪的事情,特别当敌人正在撤退,行李累赘,狼狈不堪的时候。他们毫不迟疑就渡过河来,在一个地形不利的地方开始战斗。拉频弩斯本已估计到要发生这样的事,为要把他们全部引到河流的这一边来,他仍跟原来一样假装前进,安静地赶路。他把辎重送到前面不远的地方,安顿在一处高地上,然后说:”士兵们,你们有了你们要找的机会了!你们已经把身负重荷、并且处在不利地形的敌人截住,就在我们的指挥下,把你们一向表现给统帅看的那种勇气,再表现一番给我们看,就只当统帅亲自在看着吧!”同时,他命令士兵们转过身来,面对着敌人,布下阵来。除了派少数几小队骑兵去担任辎重的守卫外,他把其余的骑兵都安置在两翼。我军迅速发出一片喊声,把他们的轻矛掷向敌人。当敌人出乎意料地看到他们认为已在退走的人,张着进攻的阵形向他们杀来时,挡不住这种攻势,一接上手就纷纷溃散,奔向最近的森林。拉频弩斯用骑兵追逐他们,杀死一大批,还捉到大量俘虏,几天以后就接受了这个国家的投降,至于赶来帮助他们的日耳曼人,一知道德来维里人投降时,自动退了回去。英度鞠马勒斯的亲属们,即倡导这次叛乱的那些人,也跟他们一起离开这个国家。领导的职位和统治的权力就转入钦杰多列克斯手中,正如前文所说,他是自始就保持着忠顺的。

    九、凯撒在通过门奈比人的领土,进入德来维里人的领土后,为了两个原因,他决定渡过莱茵河去:第一是因为日耳曼人曾派军队来帮助德来维里人对他作战;第二是因为要防止安皮奥列克斯有退到他们那边去的可能。一经这样决定后,就在比上次带军队渡河的所在略许上流一些的地方,建造一座桥梁。计划一经通知大家,确定下来之后,在军士们的热情工作之下,几天就完成了。凯撒在德来维里这一边的桥头留下强有力的守卫,以防他们中间突然发生什么骚动,然后率领其余的军队和骑兵一起过了河。以前交过人质、投降过的乌皮人,这时为要洗清自己,派使者来见他,告诉他说:他们国内既没派军队支援德来维里人,也没背弃过誓约。他们请求他放过他们,免得在日耳曼人受到普遍痛恨的情况下,清白无辜的人也代犯罪的人受了处罚。如果他需要再加人质,他们也答应可以听命。凯撒听了他们的申述,而且确定援军是从苏威皮人中派出去的,他接受了乌皮人的申请,向他们探问到苏威皮人领域去的途径和路线。

    一0、停了不过几天,乌皮人报告凯撒说:苏威皮人已经把所有的兵力集中到一起,并且下令跟属他们的各族都派步兵和骑兵去支援。接到这报告,他准备好军粮,选定一个适当的地方扎下营寨后又命令乌皮人把他们的牲畜都带走,把田野里的东西也都搬进要塞,希望缺乏粮食会逼得这些素无经验的蛮族在不利的条件下应战。他命他们不断派侦察人员到苏威皮人领域内去,探明他们的行动。乌皮人执行了他的命令,几天后即来回报。他们说:苏威皮人在接到罗马军队到达的确切消息后,带着所有他们自己的、以及从同盟那边集合起来的军队,退到他们领域的最僻远的地区去了,那边有一片无边无际的大森林,叫做巴钦尼斯森林。它连亘不断地一直伸入内地,象一堵天然的城墙,挡住了苏威皮人向乞卢斯契人这一边入侵和劫掠,同样也挡住了乞卢斯契人向苏威皮人这样做。苏威皮人就决定在这片森林的边缘上等罗马人来。

    —一、写至此处,我来叙述一下高卢和日耳曼的习俗,并说明这两族彼此间的不同所在,想也不能算是节外生枝。在高卢,不仅每一个国家、每一个部落、每一个地区,并且几乎每一个家族,都分成党派,担任这些党派领袖的,照他们的看法。是一些具有极高权力、一切事情和措施都得根据他们的意见和判断才能决定的人。这似乎是根据这样的理由,才从古代传下来的,即普通平民都要有一个人作依靠,借以抵抗比他强有力的人。而这些被人当作依靠的人也绝不肯听任自己的人受压迫和欺凌,如果他做不到这一点。在他们中间就不会有威信。同样的道理也通行于全部高卢,因此整个高卢的所有国家也分成两派。

    一二、凯撒到高卢时,一派的领袖是爱社依人,另一派的领袖是塞广尼人。后者的力量赶不上爱杜依人,因为最高的权威从古以来就属于爱社依人,他们的属邦也极多。塞广尼人因此跟阿里奥维司都斯和日耳曼人联结起来,以极大的牺牲和诺言把他们拉到自己一边。在打了几次胜仗、把爱杜依人的贵族杀光以后,他们树立了极大势力,竟把爱杜依人的大部分属邦都吸引到自己这边,并接收它们的领袖们的孩子为人质,还强迫他们用国家的名义宣誓不加入任何反对塞广尼人的阴谋。一面又用武力强占邻国的一部分土地,掌握了全高卢的领导权。正是这种情况,迫使狄维契阿古斯动身到罗马去向元老院乞援,但却空手而返。凯撒的到来使形势发生了变化,人质还给了爱杜依人,不但他们原有的属邦重新恢复,而且因为凯撒的关系,还增加了新的属邦。那些跟他们建立了友谊、接上关系的国家,都发现自己受到的待遇比较好,统治得比较公平,因而爱杜依人的势力和地位,各方面都得到了加强。塞广尼人从此失去霸权,雷米人起来代替了他们的地位。由于大家看到雷米人在凯撒面前和爱杜依人有同样的地位,那些跟爱杜依人有旧怨、不能和他们联合的国家,便都投奔雷米人,雷米人也小心谨慎地保护着它们,由此他们获得一种新的、突然兴起的势力。因而,当时的局面是:爱杜依人被认为是占绝对优势的领导国家,而雷米人的地位则居于第二。

    一三、全高卢中,凡是有一些地位和身分的人,都分属于两个阶层。至于普通平民,处境简直跟奴隶差不多,自己既不敢有所作为,也从来不和他们商议什么事情。他们大多数不是受债务或沉重的租赋压迫,就是被势力较大的人欺凌,只能投靠贵族们,贵族对他们,实际上就有主人对奴隶一样的权力。在前述的两个阶层中间,一个是祭司阶层,另一个是骑士阶层。前者专管有关神灵方面的事情,主持公私祀典,以及解释教仪上的问题。有大批年轻人,为了向他们学习,集中在他们周围,他们在这圈子中很受尊重。几乎一切公私纠纷都交给他们裁判。如果犯了什么罪行,或者出了人命案,以至继承、疆界等等有了争论,也由他们裁决,判定赏罚。假使有任何人,不问是个人还是公家,不遵从他们的判决,他们就排斥他不准参加祭扫,这是他们最严厉的惩罚,受到这种处分的人,被认为是得罪神明、十恶不赦,大家都回避他,拒绝跟他交往和谈话,以免在接近他时沾上罪恶,遇到他向法律请求保护时,也置之不理,什么荣誉都没有他的分。祭司中间有一个是首领,在他们之中掌握最高的权力。他死后,由余下来的地位最高的那个人继任,如果有好几个人地位相仿,就由祭司们选举决定,有时甚至用武力争夺。这些祭司们每年有一个固定的日子,集中在卡尔奇德斯——一般都认为它的领域是全高卢的中心——的一处圣地,举行会议。一切有争执的人,都从各地赶来,听候他们的决定和裁判。据传他们这套制度,原来起源于不列颠,以后才从那边传到高卢来的,直到今天,那些希望更进一步通晓它的人,还常常赶到那边去学习。

    一四、祭司们向来不参加战争,也不跟其他人一样交纳赋税,他们免除了兵役和一切义务。由于有这么大的好处,因此吸叫了很多人去学习,有的是自动去的,有的是由他们的父母或亲属送去的。据说,他们要在那边学习背诵许多诗篇,有人竟因此留在那边学习达二十年之久。虽然他们在别的一切公私事务上都使用希腊文宇,但他们却认为不应该把这些诗篇写下来。我认为他们采取这种措施有两种用意,一则他们不希望这些教材让大家都知道,再则也防止那些学习的人从此依赖写本,不再重视背诵的工夫。事实上,很多人往往因为有了文字的帮助,就把孜孜碗范的钻研和记诵都放松了。他们第一要反复论证的信条是灵魂不灭,人的死亡不过是灵魂从一个身躯转入另上个而已。他们认为这一条信条能摆脱人们的畏死之心,大大增加他们的勇气。此外,他们还有许多别的理论,探索星象和它们的运行、宇宙和大地的形体、事物的本质、不朽之神的能力和权力等等,把它们传授给青年们。

    一五、另一个阶层是骑士,每当送上机会,发生什么战争时——这在凯撒到来以前,几乎是年年发生的,不是他们去攻击别人,就是反击别人对他们的进攻——他们就全部参加战争。他们中间,出身最高贵、最富有听身边跟随的仆从和门客也就最多,也只有这种威望和力量,才是他们知道敬畏的。

    一六、所有高卢各族都异常热心于宗教仪式,因此,凡染上较为严重的疾病、或是要去参加战争、冒历危险的,不是当时把人作为牺牲,向神献祭,就是许下誓愿,答应将来这样做,这种祀典都请祭司们主持。他们认为,要赎取一个人的生命,只有献上另一个人的生命,不朽的神灵才能俯允所请。有关国家的公务,也用同一方法献祭。另有一些人制成硕大无朋的人像,四肢用柳条编就,其中装进一些活人,放到火中去,让那些人被火焰包身,活活烧死。他们认为如能够用在偷窃、抢劫、或犯别的罪行时被捉住的人作为牺牲供献,格外能讨好不朽之神,但如果这种人无法提供,便用无辜的人来充数。

    一七、神灵之中,他们最崇敬的是麦邱利,他的造像极多,他们尊他为一切技艺的创造者、一切道路和旅程的向导人。他们认为他在各种牟利的行业和买卖上,也有极大的法力。除他之外。他们还崇拜阿波罗、战神马斯、宙斯、明纳伐。他们对这些神灵的看法,大约跟别的民族差不多,阿波罗驱除疾疫、明纳伐倡导技术和工艺、宙斯掌握天堂的大权、马斯主持战争。当他们决定进行决战时,通常都对马斯神许下誓愿,答应把将在战争中掠得的东西献给他。胜利之后,他们就将所有获得的有生之物作为牺牲向他献祭,其他东西也都聚在一起。许多邦中,都可以看到这样一堆一堆的东西,积在他们的圣地上,从来很少发现有人敢于蔑视这种宗教禁律,随便把一件掠来的战利品私藏在家中,或者从堆上偷走一件东西,他们规定用最最严酷的刑罚来处理这种罪行。

    一八、所有高卢人,一致承认自己是狄斯神的后裔,据说这种传说是由祭司们传下来的。因此,他们计算起时间长短来,不是数几天几天,而是数几夜几夜的。而且在他们中间,不论是提到生日、提到年月的起点,都是把自天放在黑夜后面的。在其他的日常生活习惯中,他们主要不同于其他民族的还有一点:即自己的儿子,不到长大成人,可以在战争中服役时,不让他们公开接近自己,他们认为未成年的儿子,如果当着群众的面在父亲身边公开出现,是一种丢脸的事。

    一九、丈夫们不管从妻子那边接到多少作为嫁奁的钱财,计算过以后,也在自己的财产中取出相等的一份,放在一起,所有这笔款子的出入,全都记在一本公帐上,连利息也都积存在一起。两个人中谁死得迟,这笔双方共有的钱,连带一向积起来的利息,就都归他。丈夫对妻子们也象对他们的孩子一样,有生杀大权。当一位出身显贵的家长死了之后,他的亲属们都聚集拢来,如果他的死状有可疑的地方,就对妻子进行询问,象审讯奴隶一样,一旦有所发现,即用火刑和别的一切酷刑,把她们处死。他们的葬仪,按高卢的生活方式来说,可以算作铺张靡费的了。他们把他们认为死者生前喜爱的一切东西都投进火里,连活的牲畜在内。距今不久以前,甚至连奴隶和仆从,只要认为是他的主人心爱的,在正式的葬仪完毕时,也跟它们一起烧掉。

    二O、那些国家,据云为了管理公务方便起见,以法令规定:凡从邻人那里听到有关国家大事的任何消息或谣言时,必须把它报告给官吏,不得泄漏给任何其他人,因为通常性急、没经验的人,常常会受谣言惊吓,被迫犯罪,或者轻率地对重要的事情作出决定。官吏们把他们认为不应公开的事情隐瞒起来,可以告诉群众的则加以公布。至于发表有关国事的言论,则除了在会议上以外,一般都是禁止的。

    二一、日耳曼人的习俗,与这有很大的差异。他们没有祭司替他们主持宗教仪式,对祭祀也不热心。他们视作神灵的,只有那些他们能直接看到的,或者能够明明自白从它们的职能取得帮助的,即:日神、火神、月神等等,至于其余的,他们全不知道,甚至连名字都没听到过。他们的全部生活只有狩猎和追逐战争。从孩子时代起,他们就习于勤劳和艰苦。保持童身最久的人,在亲友中能得到极大的赞扬,有人认为这样可以使人体格魁梧,又有人认为这样可以增强体力和筋骨。一个人二十岁以前就有关于女性的知识,被认为是极可耻的事情之一。这一类事情,在他们中间,本来没有什么秘密可言,因为男男女女同样都在河中洗澡,身上掩蔽的同样只是一片兽革或一块鹿皮遮布,身体的大部分都听其裸露在外面。

    二二、他们对农耕不怎样热心,他们的食物中间,绝大部分是乳、酪和肉类,也没有一个人私人拥有数量明确、疆界分明的土地,官员和首领们每年都把他们认为大小适当、地点合宜的田地,分配给集居一起的氏族和亲属,一年之后,又强逼他们迁到别处去。对于这种做法,他们列举了许多理由:怕他们养成习惯,从而作战的热情转移到务农上去;怕他们从此孜孜追求大片田地,势力大的会把弱小的逐出自己的田地;怕他们从此为了避寒避暑,热心地大兴土木;还怕他们从此引起爱财之心,因而结党营私,纷争起来。一他们的目的是要使普通人看到自己所有的,跟最有势力的人所有的完全相等,感到心满意足。

    二三、他们的各邦,认为能蹂躏自己的边境,使本国外围有一圈愈大愈好的荒地包围着,是一件最最光荣的事情。他们以为邻人被逐出自己的土地,再也没人敢靠近他们居住,是勇敢的表示。同时,他们也相信,这样他们便从此高枕无忧,再没有遭到突然袭击的可能。一个国家遇到战争时,不管是别人对他们进犯,还是他们把战争加诸别人,总是选出握有生杀大权的首领来指挥战争,和平时期,他们就没有这种掌握全面的领袖,只有各地区和部落的头头,在他们中间主持公道、解决纠纷。抢劫事件如果是在各国自己的疆界以外做的,就不以为耻。他们辩解说:这样做是为了训练青年们,使他们免于懒惰。当任何一个领袖在公众会议上宣布他愿意做首领,愿意去的人赶快声明时,那些赞成这件壮举或钦佩他这个人的,都站起来表示愿意效力,这样就可博得群众的赞扬,任何一个答应了没跟去的人,都被指滴为逃避和出卖,以后什么事情都不再信任他。他们认为伤害宾客是伤天害理的事情,不问为什么原因,只要是逃到他们那边去求庇的人,他们都给以保护,把这些人当做是神圣不可侵犯的人,不让受任何伤害。对于这些逃亡者,所有的门都是开着的,还供给他们各种生活所需。

    二四、过去有过一个时期,高卢人的英勇超过了日耳曼人,到他们那边进行侵略,而且还因为高卢人多,土地少,派人移殖到莱茵河对岸去。于是,日耳曼的环绕着厄尔辛尼亚森林一带最肥沃的土地(我看,它是由于厄拉多司梯尼斯和别的希腊人的报导,才被人知道的,他们称之为奥钦尼安森林),就被伏尔卡族的戴克多萨其斯人所占领,并在那边定居下来。这一族人在那边的居住地一直保持到现在,并享有公正和英勇的声誉。正因为他们处在和日耳曼人同样的贫乏、穷困和艰苦环境之中,就也采取同样的食物和衣着。但在高卢人方面,因为既邻接着我们的行省,又很熟悉海外的货品,无论奢侈品还是日用品都供应很充裕,就逐渐把失败视为常事,经过多次战争中一再被击败后,连把自己跟日耳曼人在勇敢方面相提并论的想法都没有了。

    二五、前述的厄尔辛尼亚森林,宽度大约为一个空手没负担的人奔走九天的路程,此外他们再没别的办法可以估量,也不懂得别的计算路程的单位。它从厄尔维几人、内美德斯人和劳拉契人的边境开始,顺着多脑河的走向,一直伸到达契人和安乃得斯人境上,就在那边开始跟该河分手拐向左边。由于它的苍茫浩瀚,一望无际,接触到许多国家的境界。据我们所知,在日耳曼人中,没有一个人敢说他曾经到过这森林的起端——虽然他赶过六十天路——或者听说过它在什么地方起始。一般人都相信那边生长着许多种别的地方没见过的野兽,其中,下列的几种尤其不同寻常,值得记述。

    二六、有一种象鹿的牛,它的前额正中,即两只耳朵之间,长着一只独角。比起我们所知道的别的动物的角,要高大一些,挺直一些。从它的顶端,又分出许多伸得很长的权枝,恰象一只伸开的手掌。雌的跟雄的形体相同,角的式样和大小也一样。

    二七、还有一种动物称做糜,它的形状和斑斑点点的外皮,颇象山羊,但躯体较大一些,并且长着很钝的角。它们的腿没有关节或接联,睡觉也不躺下来。如有什么意外使它们跌倒,就不能再直立或爬起来。对它们来说,树就是它的床,它们稍许倾斜一些,倚着它,就算休息。当猎人们根据它们的脚迹,认出了它们常常去休息的地方时,他们不是把那地方的树木统统连根挖掉,就是把它们锯得只剩下一点儿皮相连,仅在外表上看来还挺然立着。当糜按照它们的习惯向它倚靠上去时,它的体重压倒了那一触即倒的树,自己也跟着一同倒下去。

    二八、其中第三种是一种称做乌里的动物,躯体稍稍比象小一些,外形、颜色和大小却和牛相仿。它的气力很大,奔驰速度也极快,无论是人还是野兽,一被它们看到,就不肯放过。日耳曼人很热衷于利用陷阶捕杀它们。青年人也借此练习吃苦耐劳,通过这种狩猎锻炼自己。杀死它们最多的人,把它们的角带到公共场所去作为证明,博取极大的赞扬。但这种野兽即使在很小的时候就被捉住,也无法使它习于跟人相处,或者驯化它。它们的角,其大小、形状和外表,都跟我们公牛的角大不相同,他们很热心于收集它们,用银子沿着它们的这包镶起来,在最盛大的宴会上用作酒杯。

    二九、当凯撒通过乌皮人的侦察人员发现苏威皮人已经退入森林后,他决定不再深入,因为所有日耳曼人都不重视农耕,已在前面说过,他深恐会有缺粮的可能。同时,为了不让蛮族消除他可能重来的顾虑,并且拖住他们的救兵起见,他在撤回自己的军队后,只把桥的一头,即接到鸟皮人领土的一端,拆去约二百罗尺长的一段。他还在桥头造了一座四层高的木塔,派一支由十二个营组成的守卫队保护那座桥梁,并且用非常坚固的工事加强了这个据点。;他派年轻的该犹斯·沃尔卡久斯·都勒斯负责这个据点和这支守卫部队,他自己则趁谷物开始成熟的时候,赶去跟安皮奥列克斯作战。他取道穿过了埃度恩那森林,这是全高卢最大的森林,从莱茵河岸和德来维里人的领域一直伸展到纳尔维人领土,长达五百罗里以上。他派卢契乌斯·明弯久斯·巴希勒斯带着全部骑兵走在前面,让他去试一下进军的神速和有利的时机,是否能带来一些好处。他告诫他不要在营中举火,免得让敌人老远就知道他到来,并告诉他说,自己也接着就跟来。

    三O、巴希勒斯按照他的命令行事,迅速完成进军,快得甚至超出了大家的预料,在田里捉住许多不曾防到他来的人。根据这些人的报告,他直接向安皮奥列克斯本人所在的地方奔去,据说他正和少数骑兵停留在那边。命运的力量毕竟极大,不但在每一件事情上都是如此,在战争上更为特出。事情十分凑巧,他居然能在安皮奥列克斯本人毫无防卫、毫无准备的时候撞上了他,而且他的到来也在任何人能够通风报讯之前。但同样也由于命运播弄,虽然安皮奥列克斯经常带在身边的一切作战器械都被缴获,他的车辆和马匹也都被俘,但他自己却仍旧逃出了性命。在这上面起作用的还有他那四周都有树木围绕的房子,这些房子跟所有高卢人的房子一样,为了躲避暑气,大多隐蔽在森林和河流旁边。他的卫士和家属们在这个狭隘的地方对我军骑兵的攻击抵抗了片刻,正当在战斗时。他们中的一个人把他安顿在一匹马上,让他在密林掩蔽下飞奔逃去。就这样,在他遇险和脱险上,命运都起了很大作用。

    三一、安皮奥列克斯之所以不召集他的军队,究竟是经过考虑后认为不应该跟我军作战,还是因为我军的骑兵来得太突然,并且还怕其余的军队也紧跟在后面,所以没时间召集军队,是件难于揣测的事情。可以确定的是,他派使者们到处奔走传告,叫大家各寻生路,以防万一。他们一部分选入埃度恩那森林、一部分逃人连亘不断的沼泽,距大洋最近的则躲人通常由潮汐形成的岛屿上,还有很多人离乡背井,把自己的性命财产完全托付给根本陌生的人。管辖半个厄勃隆尼斯的国王卡都瓦尔克斯,是一个年龄已经很大的人,原来也参与过安皮奥列克斯的计划,这时无论作战还是逃跑,都非他的精力所能培当,在把这个阴谋的首倡者安皮奥列克斯当着所有的神灵诅咒了一顿之后,服柏树汁自杀。这种树在高卢和日尔曼极多。

    三二、住在厄勃隆尼斯和德来维里人之间的塞叶尼人和孔特鲁西人,跟日耳曼人同出一源,通常也被认作是日耳曼人,他们派使者来见凯撒,要求他不要把他们当做敌人,也不要认为住在莱茵河这边的日耳曼人,彼此全是通同一气的,他们根本不曾起过作战的念头,也没派军队援助过安皮奥列克斯。凯撒经过审讯俘虏,证实了这种情况,便命令他们:如果有任何厄勃隆尼斯人在逃亡中投奔到他们那边去时,应该送回来交给他。他保证说,如果他们这样做了,他就不再侵犯他们的领域。于是,他把他的兵力分成三支后,把辎重全都集中到阿杜亚都卡去,这是一个要塞的名字,大约居于厄勃隆尼斯的全境中心,原来季度留斯和奥龙古来犹斯就是驻扎在那边准备过冬的。但凯撒之所以选中这地方,除了它具有其他一般优点外,还因为这里去年留下的工事,都完整无缺地保存着,故而可以减轻军队的劳动。他留下第十四军团守卫辎重,这是他最近从意大利带来的新征集的三个军团之一。他派奎因都斯·图里乌斯·西塞罗统率这个军团和营寨,并配备给他二百名骑兵。

    三三、他把军队分开后,便命令季度斯·拉频弩带三个军团向濒临大洋和门奈比人毗连的地区开去,该犹斯·德亲朋纽斯带着同样的兵力去蹂躏邻接阿杜亚都契人的地方,他自己则决定带着其余的三个军团,到流入莫塞河的斯卡尔欢河边去,进人埃度恩那森林最僻远的部分,他听说安皮奥列克斯已带了少数骑兵逃到那边。他在出发时,考虑到第七天该是给留守在那边的这个军团发口粮的日子,他肯定地说,他此去将在第七天以前回来。他鼓励拉频弩斯和德亲朋纽斯,如果对公务没有妨碍,就也在同一天回来,以便大家可以再次商讨军略、探索敌人的意图、另行开始一次战事。

    三四、正如我们上文所说,当地已经没有一支成形的军队、没有一个城堡或一个据点可以用武力自卫,人们都散处在四面八方。不问是一个隐蔽的山谷也好、茂密的林教或者险阻的沼泽也好,只要有人认为可以提供一线保障或逃生的希望,就去躲藏在那边。对住在就近的人来说,这些地方都是他们熟悉的,但对我们说来,事情就需要特别留神,倒不是整个部队须要兢兢业业提防,惊骇四散的人从来不会危害到集中在一起的大军,该注意的是个别的士兵,当然就某种程度来说,也会牵涉到大军的安全。因为劫掠的欲望会把许多人吸引到老远去,而密林中隐蔽的难于辨识的道路也不允许集中着的大队人马进去。因此,如果凯撒希望这次战争得以结束,这个万恶的族类得以歼灭干净,就必须把人马分散,一批批派向四面八方去搜捕。如果他按照罗马军队向来的规矩和习惯,仍旧要士兵们保持着严密的队形行动,那地形本身就会成为蛮族的保障。同时他们中个别的人,也不乏勇气打些秘密埋伏,对我军分散的队伍来一个突然围攻。鉴于这些特殊困难,凡是出于谨慎、应该考虑到的一切都周密地考虑到了,虽然大家心中都燃烧着一股复仇的怒火,但凯撒还是放过了许多可以给敌人造成损害的机会,以免敌人反给我军一些伤害。他派使者去通知邻近各族,以劫掠的希望打动他们,要他们一起来参加掳掠厄勃隆尼斯人,这样,他可以让高卢人而不是军团士兵到森林中去冒生命之险,同时又可以利用大队人马的围歼来一举把这个罪恶滔天的族连人带名字消灭掉。大批人马很迅速地从各方来到。

    三五、这工作在厄勃隆尼斯境内到处进行着。第七天靠近了,凯撒原来就决定在这天回到他的辎重和那个军团那边去。命运在战争中的力量有多大、它所制造的事故是多么难于捉摸,在这里便可以看出。敌人惊骇四散,已如前述,当时已没有任何部队足以稍稍引起一些恐慌。但厄勃隆尼斯人在被洗劫的消息已经传过莱茵河去,带给了日耳曼人,还说:不问是谁,都在邀请参加劫掠之列。住在离开莱茵河最近的苏刚布里人——就是我们前面说过接纳逃亡的登克德里和乌西彼得斯人的——便聚起二千骑兵,利用船只和木排,在离开凯撒筑桥并留置守卫部队的地方约三十罗里的下游,渡过莱茵河。他们先进人厄勃隆尼斯人的境内,捉住许多四散奔逃的人,并捕获大批牲口,这正是蛮族十分贪图的东西。劫掠的欲望把他们越引越远,沼泽也好,森林也好,全挡不住这些在战争和掳掠生活中成长的人。他们向俘虏探询凯撒的所在,知道凯撒已经出发到很远的地方去,而且军队也已全都离开。这时,他们的一个俘虏说:你们正逢上红运当头的时候,为什么只管追逐这些可怜而又微不足道的战利品呢?只要三个刻时,你们就可以赶到阿杜亚都卡,罗马军队把他们的所有财富都集中在那边,驻防部队少得光守城都不够,更没一个人敢跑到壕堑外面来了。日耳曼人被这种欲望煽动起来之后,把他们抢到的战利品藏在一个隐蔽的地方,就让那个报告消息给他们的人当向导,赶向阿杜亚都卡来。

    三六、在所有前些日子中,西塞罗都遵照凯撒的命令,小心翼翼地把军队关闭在营中,甚至连军奴也一个不许越出壕堑。在第七日,由于他听到凯撒已经前进得更远,而且接不到他要回来的消息,他便不大相信凯撒真的能够按照与自己约定的日期回来。同时又受到了一些人冷言冷语的影响,这些人把他的耐心闭守说成是受围困。他认为,虽说不准任何一个人出门,但在现在的情况下——当时有九个军团和大批骑兵在对付那些业已溃散、而且几乎已全部就歼的敌人——派五个营到跟营寨只隔一个小丘、相距不过三罗里的田里去收集谷物,总不至于会出什么意外、遇到攻击的。各军团都有一些因病留下来的人,经过这几天,他们中有些人已经痊愈,约有三百人,也被编在一起,一同前去。此外还有许多军奴获得允许,带同大批留在营里的牲口,跟随前去。

    三七、日耳曼骑兵凑巧就在这个时候赶到当地,随即以赶来时同样快的速度,试图从正门突进营寨。恰好这一面有一片树林遮住,直到他们接近营寨时才被发现,迅速得连那些在堡垒下搭着篷帐的商人,也没有机会可以撤进藏我军士卒出于意外,马上被这突如其来的事情弄得手足无措。正在值岗的那个营,几乎挡不住他们的第一次冲击。敌人散向营寨的四周,去找寻可以冲进来的地方。我军苦苦支撑守住大门,其他所有可以进来的入口,都受到那地方的地形本身和壕堑的保障。营中一片混乱,各人互相探询吵吵嚷嚷的原因是什么。再没一个人关心队伍应该布置到哪里,各人应该集中到哪里。有人宣称说:营寨已经被占领,另外又有人坚持认为蛮族是歼灭了大军和统帅之后乘胜而来的。大部分人都由于所在的这个地方引起了奇怪的迷信,他们在自己眼前描绘出一幅考达和季度留斯遭到惨祸的景象,因为这两个人就是在这个要塞遇害的。正是由于这种恐惧而引起的慌乱,使敌人的信心更为坚定,以为真的象他们的俘虏所讲的那样。这里面没有守卫部队。他们努力想冲进来,还彼此鼓励不要自白让这样好的运气溜过去。

    三八、跟这支守卫部队一起留在这里的,有一个伤病员,名叫布勃密斯·塞克司久斯·巴古勒斯,他曾经在凯撒手下担任过首席百夫长,我们已在前述的战斗中提到过他。他已经五天没有进食;这时他担心自己和大家的安全,就赤手空拳从营帐中跑出来;他看到敌人已逼到跟前,形势已是千钧一发,随即从就近的人手中抢过武器,自己首当其冲地把住大门。正在值岗的那个营的百夫长们都跟着他。在很短一段时间中,一同挡住了进攻。塞克司久斯在受了几处重伤之后昏晕过去,费了很多手脚才把他救出来,一个传一个地送到安全地带。就在这争取来的片刻喘息时间里,其他人才鼓起勇气,壮着胆子赶到壁垒上各自的位置,摆出防守者的姿态。

    三九、同时,在收完谷物后,我军士卒听到了呼喊声,骑兵冲向前面,了解到了当时的危急情况,但这里没有工事可以容纳吓慌了的兵士,那些新近征集来的毫无作战经验的人,只能一起转过身来望着军团指挥官和百夫长们,看他们发出什么命令来。没有一个人在这种意料不到的形势下能够勇敢地镇静如常。另一方面,蛮族们在一看到老远的连队标志时,最初停止了攻击,误以为这就是他们的俘虏所说的远去的军团,现在回来了。后来看到这支人马数目很少,又轻视他们起来,四面八方向他们进攻。

    四0、军奴们奔到最近的一个高地,但很快就从那边被逐回来,又没头没脑地插入连队的行列,使本来就已惊骇不定的士兵们更加慌乱。他们中间有些人建议组成一个楔形的队形,迅速突围出去,离大营如此之近,他们相信或许有一部分人被包围歼灭,其余一定能够脱身。又有人建议坚持在一处高地上,大家生死相共,一起拼到底。这办法遭到老兵们的反对,我们前面已经说过,他们是混合编在这个队里一起去的。于是,他们互相鼓励着,在一个派去做指挥的罗马骑士该犹斯·德亲朋纽斯的率领下,从敌人包围中冲出来,一人未伤地回到营寨。军奴们和骑兵们在这次突围中紧紧跟着他们,依靠这些兵士的勇敢,也一起安全脱险。唯独坚持在高地上的那一群人,丝毫没有作战经验,既没能坚持自己原来赞同的主张、在高地上进行自卫,又不能学习刚刚已经看到的、而且别人已经从中得到好处的勇气和速度,却在下了高地试探着向大营退去时,陷入一处地形不利的所在。百夫长中间有一些原来在别的军团里担任较低职泣、因为勇敢才被提升到这个军团来担任较高的职位,这对恐怕失掉过去获得的英勇善战的声誉,相继在奋勇搏斗中牺牲了。一部分军队趁敌人被百夫长们奋勇冲开的时候,也出乎意料地安全到达大营,一部分被敌人包围歼灭。

    四一、日耳曼人看到我军已经把守在工事上,感到袭取营寨已经无望,因而带着隐藏在森林中的战利品,退过莱茵河去。但当时营中惊慌得十分厉害,以至就在敌人离开之后的那天晚上,奉命带着骑兵前去的沃卢森纳斯到达营寨时,还是没有办法使士兵们相信凯撒已经带着安全无恙的军队即将到达。恐慌差不多占据了大家的心,简直达到令人疯狂的地步。他们一口咬定说:一定是全军覆没之后,单只是骑兵逃了出来,如果全军依然存在,日耳曼人决不会来攻营。这种恐慌等凯撒到达之后才消除。

    四二、当他回来后,了解了战事的一切情况,他只怪西塞罗一件事情,就是他派几营人离开值岗和守卫的工作到外面去,他指出:哪怕是最小的意外,也不应该让它有发生的机会。命运已经以敌人的突然来临证明了它的力量,又再把差不多已经要跑进营寨工事和大门的蛮族驱走,进一步显示了它的神迹。但所有这些意外中最最出奇的却是:存心想要破坏安皮奥列克斯的领土,因而渡过莱茵河来的日耳曼人,却被引到罗马的大营,给安皮奥列克斯帮了极大的忙。

    四三、凯撒重新出发去骚扰敌人,他从四邻各国家征集了大批人马,把他们派到各个方向去。每一个村庄、每一座房屋,只要能看到的。就给纵火烧掉。牲口都给杀掉、战利品从各地带走,谷物不仅由于大批牲口和人员在消耗,而且因为时令和阴雨,倒伏下来。因而,即使有人能够躲过这一时,但在军队退走之后,仍然要因为什么东西都没有而死去。尽管有很大一支骑兵分散在四面八方,但还经常发生这样的事情:有些俘虏在被捕获时,眼睛还在凝视刚刚逃走的安皮奥列克斯,甚至他们还坚持说,还可以依稀看到他的背影。捕获这个逃亡者的企图促使他们作了莫大的努力,特别因为他们都希望借此取得凯撒的最大好感,因而更激发起超乎人性的热忱。但他们似乎老是离开最后的成功只差一点儿,他总是依靠隐蔽的地方、森林、幽谷,逃出了性命,连夜再找别的地方去躲避。他携带着的只是四个骑兵组成的卫队,他们是他唯一敢托付性命的人。

    四四、当这个地区经过了这样一番破坏之后,凯撒把损失了两个营的军团仍旧带回,到雷米人的一个城镇杜洛科多勒姆去。在那边召集了一个全高卢的会议之后,他决定对森农内斯人和卡尔乌德斯人的叛乱事件,进行了一次审讯,给那个阴谋的主犯阿克果一个比向来更加严厉的惩罚,以我们的传统方式将其明正典刑。有些人怕审判而逃走的,宣布他们为被剥夺了法律保护的人。于是,他把两个军团驻在邻接德来维里人的冬令营中,两个军团驻在林恭内斯人中,其余六个驻在森农内斯领域内的阿及定古姆,并且替这些军队安排好了粮食供应,然后按照决定,到意大利去主持巡回审判大会。

    第七卷

    一、当高卢平静下来后,凯撒仍按照决定,出发到意大利去主持巡回审判大会。他在那边接到克罗底乌斯遇害和元老院命令所有适龄青年都举行入伍宣誓的消息之后,就决定在全行省实行征兵民这些事情很快被传到山外高卢去,高卢人又自己根据当时形势。在这上面添枝加叶地增加上一些语言。他们认为凯撒已经给罗马的骚动牵制住,在发生这么严重的纷争的时候,不会再回到军队中来。这个机会也鼓舞了那些本来就因为屈服在罗马的统治之下而感到气愤的人。他们开始更自由、更大胆地策划战争。高卢的领袖们彼此在密林中的偏僻地方举行商谈,他们对阿克果的死颇为愤愤不平,指出来说:这种命运迟早也会落到自己头上来。他们对高卢的共同命运感到痛心,不借用各式各样的诺言和酬报征求有人站出来,带头发动战争,为了高卢的自由,就冒生命危险也在所不惜。他们说。最重要的事情是必须在他们的秘密计划传出去以前,设法先把凯撒到军中来的路截断。他们认为这是一件轻而易举的工作,因为统帅不在,军团就不敢随便离开营地;统帅没有强有力的警卫,也不能赶到军团这边来。他们最后宣称说:丧生在战斗中,无论如何要比不能恢复旧日能征善战的声誉和继承历祖相传的自由好。

    二、当这些事情在议论纷纷时,卡尔舒德斯人声称:为了大家的安全,他们不惜冒任何危险,愿意第一个出面发动战争。只是。在当时情况下,不可能互相交换人质,作为保证,因为怕事情会被泄漏出去,他们要求大家按照传统的最最庄严的会盟形式,在集合着的军旗面前,用宣誓和荣誉来保证在他们开始战争之后,大家不袖手旁观,丢开他们不管。这时所有在场的人都异口伺声地赞扬他们,并且宣了誓。在决定了一个起事的日期后才分手。

    三、当那一天到来时,卡尔奇德斯人在两个不顾死活的人古德鲁亚都斯和孔肯耐托杜纳斯领导下,一起涌向钦那布姆,一声暗号便把因为贸易定居在那边的罗马公民,全都杀死,而且抢劫了他们的财物,其中就有受凯撒委托、在那边主办粮食的卓越的罗马骑士该犹斯·富非乌斯·契坦。消息被很快传到高卢各邦。因为每当有一件比较重要或比较突出的事情发生,一他们就利用喊话,把这消息传播到各地方各区域去,别人接到后,也照式取样再传送到邻地,就跟在这次发生的一样。钦那布姆日出时发生的事件,在第一更结束之前,便可以传到相距一百六十罗里之外的阿浮尔尼人境内。

    四、一个势力极大的阿浮尔尼青年维钦及托列克斯——他的父亲契尔季洛斯曾经掌握过全高卢的领导权,因为图谋王位,被他国内的人处死——也以同样方式召集起自己的部属,很容易地把他们煽动起来。他的打算一经传开去,大家都争着武装自己。他的叔父戈彭尼几阿和其他一些认为不该冒这种大风险的首领们,设法拦阻他,把他逐出及尔哥维亚镇。但他并不因此改变初衷,就在乡间征集贫民和亡命者,聚集起一大批这样的人之后。他又把自己的想法传播给国内所有跟他接触的人,劝他们为了全体的自由,拿起武器来。当他集合起一支很大的武装力量时,就把不久以前驱逐自己的仇人赶出国家,并被他的同伙们奉为国王。他派使者们到各处去,吁请他们效忠他,很快就把森农用斯人、巴里西人、庇克东内斯人、卡杜尔契人、都龙耐斯人、奥来尔契人、雷穆维契斯人、安得斯人、以及所有其他邻接大洋的各族,都拉到自己一边。在一致同意下,领导大权授给了他。他得到了这种权力,便向所有这些邦索取人质,还命令他们必须要交给他多少数目军队。他又规定每个邦必须在国内制造多少武器,何时完成。他尤其重视的是骑兵。他处处极端的谨慎小心,再加上极端严格执行命令,还用最厉害的刑罚来压制动摇的人。对犯有严重罪行的人,他用烈火和其他一切酷刑把他处死,如犯的罪较轻,他便把犯者双耳割去或挖掉一只眼睛之后送回家去,给其他人做鉴戒,使别人对他的严刑峻罚有所畏惧。

    五、他仗着这种刑罚,很快就征集起一支军队。他一面派一个极勇悍的卡杜尔契人名叫路克戴密斯的,带着这支军队的一部分,进入卢登记人境内.一面自己出发去和别都里及斯人作战。当他到达那边时,别都里及斯人派使者到他们的保护人爱杜依人处请求救兵,以便更好地抵抗敌人。爱杜依人根据凯撒派去和军队一起留在那边的副将们的劝告,派骑兵和步兵去支援他们。这支军队赶到别都里及斯和爱杜依人分界的里杰尔河时,在那边停留了几天,没敢渡河就回转本国,报告我们的副将说:他们因为害怕别都里及斯人的阴谋,故而退了回来,听说别都里及斯人已经计划好等爱杜依人一过河时,他们就自己在这一边,由阿浮尔尼人在那一边将其包围。他们这样做,究竟真的是因为他们告诉副将们的这个原因,还是出于欺骗,我们没有确切的证据,不宜下结论。可是,别都里及斯人却在他们一转背时。马上跟阿浮尔尼人联合起来。

    六、这些事情被报告给在意大利的凯撒时,他已经得知由于克耐犹斯·庞培的努力,罗马已经进人比较平静的状态,于是就向外高卢出发。一到那边,他发现当前最困难的问题是如何才能赶到军中去。他知道,如果把这些军团召到行省来,它们势必要在行军途中,自己不在场的时候,进行战斗;另一方面,如果自己竭力设法赶到军中去,那末,在他看来,即令有些族目前看来还属平静,但若把自己的安全托付给他们,也仍然是件欠妥的事情。

    七、同时,被派到卢登尼人中自的卡杜尔契人路克戴留斯,已经替阿浮尔尼人把这个邦拉拢过去。然后他又赶到尼几阿布列及斯人和迎巴里人中,接受了这两族的人质,并在征集了大量兵力后,很快朝奈波方面赶来,想冲进行省。凯撒接到这报告,认为应该先搁下其他别的计划,赶到奈波再说。他一到那边,鼓励了惊惶失措的人。并在属于行省的卢登尼人境内、沃尔卡族的阿雷科米契人境内、托洛萨得斯人境内,以及东波四周等邻接敌人的地区,设置下驻防军。他又命令行省的部分军队和他从意大利征集了带来的补充兵员。集中到和阿浮尔尼人疆界相接的厄尔维人境内。

    八、这些措施使路克戴留斯的进展受到阻碍,他认识到插进我军的一系列据点是十分危险的,因而又退了回去。凯撒得以进入厄尔维人境内。这时,把阿浮尔尼和厄尔维分隔开来的启本那山,虽然在这非常凛冽的季节中,有极深的积雪阻碍着行军,但他却在军士们积极努力下,清除了六罗尺深的积雪,打开通道,到达阿浮尔尼边境。他们毫没防备,大为吃惊,因为他们认为启本那山象一堵城墙似的保护着自己,在这样的季节,就连一个单身的旅客也从来没闯出路来过。凯撒命令骑兵把活动圈子拉得愈开愈好,给敌人造成的恐慌愈大愈好。因此谣言和报导,很快便传到维钦及托列克斯那边,所有的阿浮尔尼人都惊骇万分地包围着他,求他照顾他们的财产,别让它们遭到敌人抢掠,特别现在可以看到,整个战争都在对着他们进行了。他被他们的恳求打动了心,就把自己的大营从别都里及斯邦移到阿浮尔尼去。

    九、凯撤本来就已经料到维钦及托列克斯势必这样做,在那边逗留了两天之后,就借口召集新征来的补充兵员和骑兵,离开了军队。他任命年轻的布鲁图斯统率这支军队,吩咐他要让骑兵四出活动,范围越广越好,还说:他要尽力设法在三天以内赶回来。把这些事情安排妥当后,他以急行军赶到维恩那,迅速得连他自己的军队都没事先料到。他在那边带起了自己多天以前派到那里的骑兵生力军,接着又日夜不停地赶路,通过爱杜依人领域,进入有两个军团在那边过冬的林恭内斯人境内,快得即使爱杜依人想在他的安全问题上玩花样也来不及,在他到达那边时,他派人通知其余别的军团,命令他们在他到达的消息尚未传到阿浮尔尼人那边去之前,集中到一起来。当维钦及托列克斯听到报告后,他领着自己的军队,重新又回到别都里及斯人境内,决定从那边出发去进攻波依人的一个叫戈尔哥宾那的要塞、这些波依人是在厄尔维几人的那次战役中被击败后,凯撒把他们安置在那边,作为爱社依人的附庸的。

    一0、维钦及托列克斯的这一着,使凯撒在确定作战方案上遇到很大困难。如果他在冬天余下来的这段时间中,让军队集中着守在一起,恐怕爱杜依人的附庸沦陷,会被人认为凯撒不能作为友邦的保障,接着引来一场全高卢的叛乱;反之,如果把军团过早地领出冬令营,又怕运输上的麻烦会带来粮食困难。但是尽管要遇到各式各样困难,看来总比忍受极大的耻辱、丧失所有附庸的同情为妙。因此,他叮嘱爱杜依人担负起运输粮食的任务,并派人先到波依人那边去,把自己的来临通知他们,叮嘱他们保持忠诚,竭力抵御敌人的进攻。于是,他把两个军团和全军的辎重留在阿及定古姆之后,向波依出发。

    —一、次日,他到达森农内斯人的一个名叫维隆诺邓纳姆的市镇。为了不让自己背后留下任何敌人,妨碍粮食接济,他决定进攻这个市镇。他在两天之中筑起围墙,第三天,镇中派出代表来请求投降。凯撒命令他们收集武器、提供牲口、并交纳六百名人质。他为了尽快完成进军,留下副将该犹斯·德来朋纽斯监督执行这些命令,自己又向卡尔奇德斯人的一个市镇钦那布姆出发。当时,围攻维隆诺邓纳姆的消息,已经传到卡尔多德斯人那里,他们认为这件工作将拖延很长一段时间,因此正在准备一支守卫部队,想派到钦那布姆去从事守御。凯撒在两天内到达那边,在市镇前面扎下营寨,由于这天余下来的时间已经不多,不能再进一步行动,他便把围攻的工作搁到第二天去。他命令士兵们准备好一切围攻需要的东西,同时因为里杰尔河上有桥梁跟钦那布姆相联,他命令两个军团去露宿在那边,通宵戒备着,兔得居民们夜里从镇上逃出去。半夜前不久,钦那布姆人悄悄从镇上溜出来,开始过河。这事被侦察部队报告了凯撒,他把城门放起火来之后,派出早已受命作好准备的军团,占据了那市镇。由于桥梁和道路狭隘,阻碍了敌人大批逃走,因而在他们全体之中,只极少数人逃了出去,没全部被俘。他搜掠并且焚毁了那个市镇,把战利品分给了士兵,然后领着军队渡过里杰尔河,赶到别都里及斯人边界。

    一二、维钦及托列克斯一知道凯撒到来,马上停止围攻,迎头向他赶来。凯撒却已经决定袭取在他进军路上的一个别都里及斯人的要塞诺维奥洞纳姆。当这个镇的使者赶出来恳求他饶恕他们,不要伤他们的性命时,他为了可以把余下来的事情象已经大部完成的事情一样迅速了结起见,命令他们把武器都收集起来,马匹也交出来,并且交出人质。在一部分人质已经交来,其余的各项要求也在执行的时候,有几个百夫长和少数兵士被派去收集武器和牲口,这时,作为维钦及托列克斯前锋的敌人骑兵,已经远远可以望到,市镇里的人一看到他们,以为有了得救的希望,一声发喊便抢起武器,闭上城门,上城把守起来。正在城中的百夫长们一看到高卢人的这副样子,知道发生了新的变化,就拔出他们的剑,抢着守住城门,让全体人员都安全退了出来。

    一三、凯撒下令把骑兵带出营寨,跟敌人的骑兵战斗。当他的部下感到支持不住时,他又派四百名日耳曼骑兵去支援他们,这些日耳曼人是他一起始就决定留在自己身边的。高卢人经不住他们的冲击,被驱散逃走,损失了许多人之后退回大队。在他们被击溃的时候,镇中人又一次惊慌起来,捉住了那些被他们认为是煽动群众的人,把他们交给凯撒,自己也同时投降。这些事情办妥后,凯撒向阿凡历古姆镇赶去。这是别都里及斯境内最大、防御最好的市镇,坐落在一片极为肥沃的土地上。凯撒深信在重新占有这个市镇之后,就可以再次把整个别都里及斯族都拉回到自己这边来。

    一四、维钦及托列克斯在维隆诺邓纳姆、钦那布姆和诺维奥洞纳姆接连遭到几次失利之后,召集他的部下举行一次会议。他指出今后的战事,应该用跟过去完全不同的方式来进行。他们必须用尽一切手段来阻止罗马人得到草料和给养。这是件很容易的任务,因为高卢人有足够的骑兵,而且得到季节的帮助。一旦草料割不到,敌人便不得不分散开来,到一家家房子里去找,这些零零星星的部队,就可以用骑兵来一天天加以消灭。再则,为了共同的安全,私人的利益就不得不牺牲一些,从大路起,四面八方的村庄和房屋,只要敌人有可能闯去寻找草袜的,都应该烧掉。这些必需品,高卢人自己是有充分供应的,战事在哪一个族的境内进行,他们就会支援他们。但罗马人却经不起饥荒,不得不冒更大的危险,跑到离开大营更远的地方去找。对高卢人来说,无论杀死罗马人也好,夺取他们的辎重也好,反正都是一样,因为罗马人失掉辎重,也就没法再战。此外,任何市镇,如果防御工事和自然条件不足以保障它,使它不用担心一切危险的,都应该烧掉。一方面使它们不至于成为逃避兵役的高卢人的避难所,另一方面,也不至因给养和战利品堆得太多,招惹罗马人来劫掠。这些措施看来很残酷,很痛心,但他们应当考虑到,作为被征服者必然的下场,他们的妻子儿女会被拖去奴役、他们自己会被杀死,要比这更惨痛得多。

    一五、这个主张得到一致赞同。别都里及斯有二十个以上市镇被纵火烧起来,别的邦也都这样做,四面八方都可以看到一片火光。这虽然使所有的人都感到很大的痛苦,但他们都安慰自己说,他们的胜利已经万无一失,自己的损失很快就可以得到补偿。他们在一次全体大会上考虑阿凡历古姆这个市镇应该烧掉还是守住时。别都里及斯人爬在全体高卢人脚下恳求这些人,千万不要强迫他们亲手烧掉这个差不多是全高卢最美丽的城市、他们国家的安全保障和掌上明珠。他们声称。他们可以很方便地利用它本身的地形来保卫自己,因为它差不多四面都由河流和沼泽包围着,只有唯一的一条狭窄的小路可以通向它。他们的要求得到了允许。虽然维钦及托列克斯最初反对,但后来也被他们国人的恳求和群众的同情说服了,给这个市镇挑选了适当的守卫者。

    一六、维钦及托列克斯抄近路紧跟着凯撒,选定一个离阿凡历古姆十六罗里、由沼泽和森林障蔽着的地点,作为自己的营地。由于一天之内的每个刻时都有排定的探报人员,他能够随时知道阿凡历古姆发生的事情,并且把所要做的工作布置下去。他做到了使我军的采牧部队和收集谷物部队的一举一动都处在他的监视之下。这时我军因出于无奈,不得不越跑越远,他就趁他们分散开来的时候进攻他们,使他们遭到很大的损失,尽管我们在这方面也采取尽可能事先设想到的一切措施,作好预防,象行动的时间不固定、走不同的路等等。

    一七、凯撒把自己的营寨扎在那市镇没有被河流和沼泽围拢起来的这一面,正如前面所说,有一条狭路可以通到镇上。他着手准备壁垒、建造盾车、架起两座木塔,但限于当地的地形,无法筑起长围来。他不住地催促波依人和爱杜依人解决粮食供应问题。爱杜依人对这件工作缺乏热情,帮助不大,波依人则苦于没有较大的积储,因为他们的国家又小又弱,很快就把他们所有的全耗光了。由于波依人的贫乏、爱杜依人的冷淡、再加上房舍的被焚毁等等,使我军的粮食遭到很大困难。军士们竟多天没有粮食,不得不用远处村庄驱来的家畜,应付极度的饥饿。但从他们的口中,绝对听不到任何一句跟罗马人的尊严不相称、跟他们过去的胜利不相称的话。相反,当凯撒分别对正在工作的各个军团谈话,宣称如果缺乏粮食的情况真使他们无法忍受,他可以停止围攻时,大家异口同声要求他别这样做。他们说,他们在他的统率下已经服役了多少年,从没受过耻辱,也从没干过一件事半途而废;他们认为把已经开始的围攻中途息手,是一件可耻的事。随便吃什么样的苦,总比不给被高卢人玩弄阴谋杀死在钦那布姆的罗马公民报仇好。他们把这种意见告诉了百夫长和军团指挥官们,通过他们转告凯撒。

    一八、那时,木塔已经靠近城墙。凯撒从俘虏口中知道,维钦及托列克斯已经耗光了牧草并且把他的营寨移到稍稍靠近阿凡历古姆的地方来,现在他已亲身带着骑兵和习于夹在骑兵中作战的轻装步兵,到一个地方去埋伏,他相信我军明天一定要到那边去放牧。得知这消息后,凯撒在半夜中悄悄进军,早晨时到达敌军的营寨。他们很快就从侦察人员口中得知凯撒的来临,在将车辆和辎重藏于森林中比较隐蔽的地方后,又把全部军队在一个高高的、空旷的地方列下阵来。接到这消息后,凯撒下令迅速把行囊集中堆在一起,准备好武器。

    一九、那边有一座从山脚平缓地上升的小山,差不多每一面都围有极危险、极难于通行的沼泽,其阔不超过五十罗尺。高卢人很信赖这处地形,拆掉桥梁之后,把人马按国别分开,布列在这山上,还分别用可靠的守卫把守住那沼泽的每一个渡口和小径,决定如果罗马人企图突过沼泽,就趁他们涉渡时行动艰难,从高处冲下来压倒他们。因此,人们一看到双方相距那么近,都会以为高卢人已准备在势均力敌的形势下决战;但任何人只要一注意到双方所处的地势不相同,就都会知道他们只是在装模做样,虚张声势。士兵们看到敌人居然敢在离自己这样近的地方不动声色地面对着我们,都非常愤慨,要求发出战斗的信号。但凯撒向他们指出;这场胜利必然要以极大的损失、极多勇士的性命去换得来。。他说:他已经看到,为了他的声誉,他们已经下定决心,不避任何危险,但在这种情况之下,如果他也不把他们的性命当一会事,不把他们看得比自己的安全更可贵,那就该被认为是毫无心肝的人了。在这样抚慰过士卒之后,他在当天把他们领回营寨,开始把围攻那市镇需要的其余东西都安排妥当。

    二O、当维钦及托列克斯回到他的同伙那边时,被他们指控为叛徒,因为他不但把营寨移近了罗马人,而且带走全部骑兵,走的时候又没指定一个统帅,让这么大的一支军队留在那边没人统率;特别因为在他一离开之后,罗马人就利用这个极好的机会迅速地进逼过他们。他们相信,所有这些事情,都不会是没有事先布置,偶然发生的。他们说他宁愿由凯撒赏给他高卢的王位,却不愿意通过他们的爱戴取得它。他对这些指控,用下列的话作了回答:他的移动营寨,是因为缺乏草料,就连他们自己也曾劝说过他;他所以移近罗马人,是因为那地方的地形给他的启发;这是一处可以利用本身的有利条件来保卫自己的地方。再则,在沼泽地带,骑兵不再十分需要,而在他赶去的那地方却很有用。他离开的时候没把最高指挥权交托给别人,也是有用意的,为的是怕那个代表他的人经不起大家的热情催促,冒然作战——他知道,由于大家意志不坚,再也忍受不住艰苦,所以都在盼望作战。如果罗马人在这地方的出现纯是出于偶然,高卢人就应该感谢幸运之神,即使罗马人是某些人故意召来的,高卢人也该谢谢这些人,因为他们使高卢人能够踞高临下地观察一下罗马人,看看他们的数目是如何少得可怜,他们的勇气也是何等可鄙,临阵不敢一战,却可耻地退回营寨去。他不想用背叛祖国的办法到凯撒手里去取得首领的地位,他可以凭借一场自己和全高卢的胜利来取得它,反正这是已经拿稳了的。他说:但是,如果你们给我这个称号,为的是想给我锦上添花,增加些虚荣,而不是要依靠我获得安全,我宁可把它还给你们。你们试听听这些罗马兵士的话吧,你们就可以相信我的这些话是出于一番真诚了。他领来几个奴隶,他们是几天以前在打草时被截获的,已经饱受饥饿和镣索之苦。他们事先就被教过一番,如果人家问时,该怎么回答。他们说:他们是军团中的官兵,迫于饥饿和困乏,偷偷跑出营,到四野中瞧瞧能不能找到谷物或者牲口的。全军人员都在遭受同样的饥荒,再没有人剩下一点精力,也再没人能负担体力劳动,因此统帅决定,如果攻拔那市镇的工作仍不能取得进展,三天内就把军队撤回去。维钦及托列克斯说:这些就是你们沾我的光,而你们却在控告我背叛。由于我的努力,你们看到这样强大、这样战无不胜的军队,没有要你们流一滴血,就被饥饿摧毁了,在这支军队从这地方可耻地逃出去时,也已由我作了安排,将没有一个国家肯接受它到自己的领土里去。

    二一、全体人员齐声叫喊,同时还象平常他们同意人们发言时那样,敲击他们的武器。他们叫着说:维钦及托列克斯是最最伟大的领袖,他的忠诚绝对没有可以怀疑的地方,战事也不可能有更英明的策略。他们决定应该在全军中挑选出一万人来,送进市镇里去,免得把大家的共同安全单单交给别都里及斯人负责。因为他们认为整个战争的胜利与否,全决定在能否保牢这个城市上面。

    二二、我军无可比拟的勇敢,却遇上高卢人层出不穷的诡计,因为他们原是一个极机灵的民族,最善于模仿和制作别人传去的任何事物。这时,他们用套索拉开我们的捷钩,一旦它们被捞住,就用绞盘把它们硬拖进去。他们还通过坑道来挖断壁垒,特别因为他们国家有极大量铁矿,懂得并且采用过各种坑道,所以在这方面有专长。再则,他们还在城墙上四周都筑起了木塔,上面覆盖着毛皮。在他们日夜经常突围出击的时候,他们不是试图纵火焚烧我军的木塔,就是攻击正在忙于工作的士兵。不管我军的木塔由于壁垒在每天增高而抬高了多少,他们总也是在自己的木塔上支起新的木架,使它跟我们的一样高。他们同时还开掘反坑道来挖通我军的坑道,用熏硬并削尖的木材、

    二三、所有高卢的城墙,大致都用这样的方式建成:沿着城墙所需要的长度,把直的木材各各隔开二罗尺,平行着横置在地上,它们靠里的一端,互相接牢,上面覆盖大量泥土,前述的两罗尺间隔,甩巨石堵塞住它的前端。把这些木材放好并且联率以后,上面再加上第二排,木材与木材之间仍跟上述的一排一样,也留有两罗尺间隙,但上下两排之间的本材互相错开着,避免彼此相遇。彼此间既都有相等的间隔分开,每一间隔中又各有石块牢牢地嵌紧,整个结构就这样接成一气,一层接一层,直到城墙所要达到的高度为止。这工程由于木柱和石块一直排一直排都很整齐,在外形上并不单调难看,而且它在实际保卫市镇上有明显的效用,它的石头可以防止火攻,木柱可以防止撞锤,由于它的内部通常有四十罗尺长的一列列木材联牢,因此它既打不穿,也拉不倒。

    二四、这些情况妨碍了围攻,部队虽然整个时间内都受到严寒和连续不断的阵雨阻碍,但由于不断的努力,他们仍旧能够克服所有这些困难,在二十五天中,造起一座宽三百三十罗尺,高八十罗尺的壁垒,这差不多一直接到了敌人的城墙。凯撒仍照他的习惯,为监视着那工程而露宿,督促士兵们一刻不停地工作。但在快近三更的时候,忽然看到壁垒冒起烟和原来敌人已通过一个坑道把它纵起了火。同时,沿着城墙到处发出一片喊声,敌人突然在罗马木塔两面的城门中突围出来,另外一些人又在城墙上面距离很远的地方将火把。干柴掷到壁垒上来,并且把各式各样树脂和能引火的东西倒下来,因而一时简直无法考虑军队究竟应该先赶到哪一边。或者先去帮助哪一部分才是。幸亏由于凯撒事先指令两个军团不分昼夜地在营寨前执行着警戒,他们中间正有很多人轮班守在工事上,马上就布置一些兵士去抵御那些突围出击的敌人,另外一些人去把木塔拖回来,并把壁垒的一部分挖断。全军都从营中冲来扑灭火焰。

    二五、当这一夜的其余时间都已度过时,战斗还在各处进行着。敌人因为看到木塔前的行障已经烧掉,没有掩护,我军难于赶上去支援,他们这面却不断有生力军来替换疲乏了的人,因而他们可能获胜的希望又重新恢复了,同时他们还深信,全高卢的安危都系在这一瞬之间。于是,就在我们亲眼目睹之下,发生一件我们认为颇值得一叙、不应该略去的事情。有一个立在市镇城门前的高卢人,把别人递给他的树脂和油膏,一团团的投掷到正在焚烧的一座木塔的火焰中去,当他被一架弩机射过去的矛洞穿右胁,倒地死去时,这批人中站在他后面的另一个人,跨过他的尸体,继续这一工作。当这第二个人又被经机以同样的方式射死时,又有第三个人接了上去,接第三个人的是第四个人,那地方防守的人始终没中断过。直到那壁垒上的火被扑灭,四面的敌人都被逐走,战斗告结束时才止。

    二六、高卢人试尽各种方法,仍一事无成,他们就决定按照维钦瓦托列克斯的劝告和命令,于次日逃出市镇。他们准备在半夜静寂的时候行动,希望能避免自己的人大量损失,因为维钦及托列克斯的营寨离开这个镇不远,而且在他们跟罗马人之间到处有连亘不断的沼泽隔开着,可以阻碍罗马人追逐。当黑夜到来发他们已经准备好这样做时,妇女们突然冲出门来,啼哭着爬在她们男人们的脚下,用各种哀求的话求他们不要让她们、以及他们共有的孩子——这些因为性别和体力无法逃走的人——落到敌人手里去吃苦。通常在极端危险时,恐惧总是不容有怜悯之心的。当她们看到男子们坚持自己的主张时,她们便开始齐声喊叫,把他们要逃走的打算泄漏给罗马人。于是高卢人惊慌起来,害怕被罗马骑兵赶在他们前面把路截住,便放弃了这计划。

    二七、次日,当木塔已移向前方,凯撒决定建筑的工事也完成时,忽然来了一场很大的暴风雨,他看到这时安置在城墙上的守卫注意力已经稍许松懈了一些,认为这场暴风雨对于执行良己的计划是有利的,便命令他的部下在工事里故意懒洋洋地逛荡着。同时把他希望做的事情告诉他们。军团士兵们在行障后面秘密作好行动的准备。他鼓励他们说:现在他们辛勤劳动换来的胜利果实终于要收获了。他又对首先登上城墙的人许下酬奖,然后向士兵们发出号令。他们突然从各方冲出来,城墙上很快就到处是人。

    二八、敌人被这突然的行动吓慌了,从城墙上和木塔上清退下去,在市场上和别的比较开旷的地方排成楔形阵势,他们想不管敌人从哪一方面来攻击,他们就用已经摆好的阵势迎击。但当他们看到敌人没有一个人跑下平地来,却在沿着城墙四面散开去时,恐怕逃走的希望被断绝,就抛掉自己的武器,一路横冲直撞,向市镇最偏僻的地方选去。其中一部分在城门狭隘的出口处拥挤成一团时,被我军步兵杀死,一部分已经走出了城门的,也被骑兵歼灭。这时谁都不忙于获取战利品,钦那布姆的屠杀和长期围攻的辛苦,使士兵担怒得不顾一切,无论是年迈的老人、妇女还是儿童,概不饶过。最后,在数达四万的居民中,只勉强剩下了最初一听到喊声就跑出市镇的八百人,安全到达维钦及托列克斯处。这时已经是深夜。他悄悄接待了这些逃到他这边来的人,免得因为他们一大群人涌入营寨,再加上兵士们的怜悯之心被激发起来后会引出一场变乱来,在把他的熟人和这些邦的首领们安排到路比较远的地方去之后又设法把他们分开,带到原先按族分配营地时就分给他们自己人的那一部分去。

    二九、维钦及托列克斯在次日召集了一个会议,安慰和鼓励他的兵士,叫他们不要意志消沉,也不要为了失败而烦恼。罗马人的所以取得胜利,既不是依靠勇气、也不是在堂堂正正的战斗中获得的,只是全凭谋略和攻城的技巧,这些却正是他们高卢人不懂的东西。如果他们希望在战斗中能够到处一帆风顺,自然不可能。他本人就从来没同意过要保卫阿凡历古姆,这件事,他们自己可以做他的证人。只是由于别都里及斯人的轻率和其余人的随声附和,才引来这样一场惨祸。虽则如此,他很快就会用更大的成就来补偿它,他会凭仗自己的努力,把和高卢其他各国不合作的那些国家都拉到自己这边来,产生一个全高卢统一的行动计划。全高卢一联合,全世界都将充法阻挡。这一点,他几乎就要将其实现了。同时,为了共同的利益。他们应当听从他的要求。动手给营寨筑上防御工事,以便更有效地抵御敌人的突然攻击,这才是合理的做法。

    三O、对高卢人来说,这番话是相当动听的。首先因为他本人就没有由于他们遭到惨败而垂头丧气,也没有躲起来,跟大家避而不见。他被大家认为是比别人更有远见和卓识的人,在事情的成败还未定局时,他就是第一个倡议把阿凡历古姆烧掉、后来又主张把它放弃的人。因此,在别的指挥官身上,厄运往往会削弱他们的威信,但他的威信却相反地因为遭到失败而一天比一天更加提高。这时,因有他的保证,高卢人都相信会把其余诸邦也一起拉到自己这边来,于是,他们破天荒第一次动起手来为自己的营寨建筑防御工事。虽然他们不习惯劳动,但这时在惴惴畏惧的心情之中却认为无论什么样的命令都得执行和忍受了。

    三一、维钦及托列克斯果然说到那里就做到那里,竭尽力量争取其它各邦,用礼物和诺言拉拢它们的一些领袖。他并且为这个目的遴选了合适的人员,他们都是一些能用巧妙的辞令和私人友谊轻轻易易把每一个首领拉拢过来的人。在阿凡历古姆沦陷时逃出来的那些人,他也设法发给了武器和衣服。同时,为要补充减少了的军队,他分别向各邦索取一定数目的兵员,规定了他所需要的数目、以及送他们来营的日子。他又命令把所有的弓奇手——在高卢有很多这种弓奇手——都送到他这里来。通过这些方法,阿凡历古姆遭到的损失很快就弥补过来。同对奥洛维果的儿子、尼几阿布罗及斯的国王都托马得斯——他的父亲曾由罗马元老院给予”友人”的称号——也带了大批骑兵,来到他这里,这些骑兵有的是他自己的,有的是他从阿奎丹尼人中间雇来的。

    三二、凯撒在阿凡历古姆停驻了几夭,在那边发现数量极大的谷物和其他给养,使他的军队在疲劳和睑乏之后,得到恢复的机会。这时冬天几乎已经过去,大好季节正在招唤他把战事进行下去。他决定向敌人进军,试一下是不是能把敌人从沼泽和森林中引出来,或者用围困的方法把他们压垮。正当这时,爱杜依族的一些领袖负了一个使命来见他,要求他在他们国家万分危急的时候,援助他们。他们说:事情真是千钧一发,危险到极点,因为按照他们自古以来的习惯,总是选出一年一任的一个首领来掌握国王一般的权力,但现在却有两个人在行使这个职权,各人都自称是合法选出来的。其中一个是孔维克多列塔维斯,是个富裕、卓越的青年,另一个是科德斯,出身于一个极古老的家族,本人有很大的势力,亲属戚党也都很显赫,他的兄长瓦雷几阿克斯在前一年已经担任过这一个职务。全国都处于备战状态,元老院分裂了,人民也分裂了,他们各人都有自己的一批追随着,如果再拖延下去,国家的一部分必然要和另一部分自相残杀起来。只有依靠凯撒的力量和权威,才能阻止这种事情。

    三三、虽然凯撒知道搁下这边的战事和敌人而到别处去,是一件很有害的事,但他也很了解这种争执通常会引起多大的麻烦来。因而。为要防止跟罗马关系这样密切的一个大国——而且也是他自己爱护备至、用尽方法奖饰和推崇的一个国家——动起武来自相残杀、甚或发觉力量不敌的一方向维钦及托列克斯求救起来,不得不事先采取一些预防的措施。因为爱杜依人的法律不准掌握最高领导权的人离开国家,他为了免得被人们当成是轻蔑他们的制度和法律,决定亲身赶到爱杜依人境内,并召集他们的全体长老和争执的双方,到特乞几亚来会见他。差不多全国都集合到那边。他接到报告说,这两个争王位的人,其中一人是在一个只有少数人参加、而时间和地点都不合法的秘密会议上,由他的兄弟宣布他当选的,而他们国家的法律却不但禁止一个家族中同时活着两个曾经担任首领的人,甚至还不许一个家族中有两个人同时作为长老院的成员。因此,他强迫科德斯辞去最高统治权,并命令那个由祭司们按照国家首领缺位时的惯例选出来的孔维克多列塔维斯接掌大权

    三四、在他们中间作出这个裁决之后,他叮嘱爱杜依人忘掉纠纷和嫌怨,停止一切争执,全心全意投入目前的这场战争,只要等他征服了高卢,就会把他们那份应有的酬报给他们。他吩咐他们迅速把所有的骑兵和一万名步兵派到他那边去,以便把他们分派在各个据点上保护粮运。他于是把军队分成两部分,四个军团交给拉频弩斯带去讨伐森农内斯人和巴里西人;六个军团他亲自率领着,沿厄拉味尔河,直抵阿浮尔尼人境内的及尔哥维亚镇。他把骑兵的一部分分给拉频努斯,一部分留给自己。维钦及托列克斯一听到这个,马上把那条河上的全部桥梁都拆掉,开始在河流的对岸沿着河前进。

    三五、两军互相看得到对方,而且差不多面对面安下了营。敌人为要防止罗马人筑起桥来,领着军队过河,到处都布置了哨岗。因此凯撒遭到很大的困难,看来他有大部分夏天都要被阻止在河这边的危险,因为厄拉味尔河通常在秋天以前是不能涉渡的。为要避免这一点,他把营寨筑在一片林中,正对着维钦及托列克斯命令拆去的一座桥。次日,在命令两个军团隐藏好以后,他让其余的军队按照习惯,带着全部辎重前进,他把几个营故意拉得很开。使军团的数目看来仍旧象往常一样。这支军队奉命走得愈远愈好。当他根据天色,估计到他们已经安全进入营地后,便开始在原来的桥基上——它的下部仍旧完好——一重新建筑桥梁。这工程很快就告完成,军团被带过河去,选定一个适当的地点扎营后,他又把其余的军团重新召回来。维钦及托列克斯接到这件事情的报告后,就将他的军队以急行军的速度带到前面去,避免违反自己的意愿被迫接受战斗。

    三六、凯撒从那地方出发,经过五天行军,赶到及尔哥维亚。就在这天,骑兵发生了小规模的接触。该镇的地形也已经探明,它建立在一座非常高峻的山上,所有上山的道路都很陡急。他估量到绝不可能用突击的方式攻下它,在自己的粮食供应没安排妥当之前,也不可能围困它。维钦及托列克斯却傍着市镇,在山上安下营寨,把军队按照国别,各自相距一段适当的路程,环绕着自己布开,将可以俯瞰罗马营寨的山头都占据了,显示出一副声势浩大的样子。他命令那些选出来供自己咨询军务的各国首领们,在每天天明的时候到他这里来,以便讨论或者布置什么事情。差不多没有一天他不用夹杂着一些弓弩手的骑兵来作些小接触,借此考验他的每一个部下的意志和勇气。山脚下面,正对着城市的地方,有一座小丘陵,形势非常险要,四面也都很陡,假使我军能把它占领下来看来就可以把敌人的大部分水源切断,并且阻止他们自由放牧。但这地方却有他们的一支不很强大的驻军守卫着。凯撒在深夜中悄悄出营,在镇上还来不及赶来援助以前,赶走了驻军,占有这个地点。他派两个军团驻扎在那边,又挖了一条双重平行的防护沟,各宽十二罗尺,从大营直达这个小营,因此,即使一个单身的兵士,也可以安全地来来去去,不怕敌人的突然攻击。

    三七、战事正在及尔哥维亚附近进行时,爱杜依族的那个孔维克多列塔维斯——即我们上面所说,凯撒把首领的职位判定给他的那个人受了阿浮尔尼人的金钱贿赂,跟一些年轻人在一起商谈,这些人中最主要的,是出身于一个极显赫的家族的李坦维克古斯和他的兄弟。他把贿赂分给他们,还鼓励他们不要忘记自己生来就是自由的,而且是统治别人的人。爱杜依邦是阻碍高卢获得必然胜利的唯—一个国家,其他各邦都在爱杜依的势力控制之下,一旦把它争取到手,罗马人在高卢就将无立足的余地。他自己虽然在凯撒手中得到过一些好处,但凯撒判给他的,本来就是他有最正当的理由得到的东西,而他对全国的自由,却负有更大的责任。为什么爱杜依人要凯撒来决定有关他们本身权利和法律的事情,罗马人的事情却不由爱杜依人来决定呢?这些年轻人很快就被首领的这番话和贿赂勾引过去了,答应说,他们要做这个计划的带头人。但他们不敢相信他们国里的人马上就能够被冒然牵到战争中去,便开始探索一个实现这计划的方法,决定把李坦维克古斯派做遣送到凯撒那边去助战的一万军队的司令,由他率领着前去,他的兄弟提前一步先到凯撒那边去。这计划的其他部分该怎样做,也拟定了办法。

    三八、李坦维克古斯接过了军队,当他距离及尔哥维亚大约三十罗里时,他突然召集部下,哭着对他们说;”兵士们,我们在赶到哪里去呢?所有我们的骑兵、所有我们的贵族,全都已经遇害了,我们国家的领袖厄朴理陶列克斯和维理度马勒斯,也被罗马人指控为叛逆,没有经过审问就处死了。你们可以从逃出这一场屠杀的人口中了解这件事情的真相。至于我,我的兄弟和所有的亲戚都已经被杀,悲痛已经便得我没法再对大家诉说发生的事情了。”经他教导过应该怎么说的那些人被领了出来,把李坦维克古斯民经讲过的话,对大家又讲了一遍,说爱杜依的许多骑兵,因为被控跟阿浮尔尼人有往来,被处了死刑,他们自己全靠躲在大伙兵士中,才能从屠杀中逃出了性命。爱杜依人异口同声嚷着要求李坦维克古斯为大家的安全着想,出出主意。他叫着说:”难道事情就只要出出主意吗?难道没有极端的必要让我们迅速赶到及尔哥维亚,去参加阿浮尔尼人一伙吗?我们还相信罗马人在犯下这样的滔天罪行之后,不会正在赶来屠杀我们吗?因此,假使我们还有三分志气的话,就应该给那些死得最最冤枉的人报仇,杀死这些强盗!”一面说,他把那些因为信赖他们的保护,跟着他们一起走的罗马公民指给他们看,他抢劫了大量谷物和粮食,用惨酷的刑罚杀死了这些罗马人。他派使者周历爱社依全境,用骑兵和领袖们遭到屠杀的谣言来煽动他们,很使他们也照他已经做的那样来给自己报仇。

    三九、跟骑兵一起来的人中间,有由凯撒指名召唤来的那个叫厄朴理陶列克斯的爱杜依人,这是一个家世极显贵、在他们国内势力也极大的青年人,跟他一起来的还有正个维理度马勒斯,年龄和势力都和他相仿,就只家世比较差些,是经过狄维契阿。古斯推荐,由凯撒把他从微贱中提拔到显要的位置上去的。因为争夺领导地位,他们两个人之间存在着争执,在新近为了选举首领而发生的纠纷中,他们一个竭力支持孔维克多列塔维斯,一个竭力支持科得斯。这两个人中的厄朴理陶列克斯,一听到李坦维克古斯的计划后,就在半夜里把这事情报告给凯撒。他恳求凯撒千万不要让这个国家跟罗马的友谊,被这些年轻人的阴谋葬送掉,但他预料到这种情况可能是会发生的,只要那成万兵士一加入敌军,他们的亲戚便免不了要关心他们的安全,国家便也不会当它无足轻重了。

    四0、由于凯撒往常对爱杜依人总是特别关怀,因此,这报告引起他极大的忧虑。他毫不犹豫地立刻把四个轻装的军团和全部骑兵都从营寨里领出来。这时,成败关键全在于行动迅速,因而他连把营寨相应地缩小一些的时间都没有。他把副将该犹斯·费庇乌斯和两个军团留下来,作为营寨的守卫,一面命令把李坦维克古斯的兄弟拘留起来,但发现他已在不久前逃到敌人那边去了。他鼓励士兵们说,这种行军是迫于时机,万不得已的,千万不要因为疲劳,感到苦恼。于是,在全军极大的热情之下,一口气赶了二十五罗里路,到达看得见爱杜依军队的地方。他派骑兵迎上前去挡住敌军,阻止他们前进,同时又禁止大家杀伤任何一个人。他还命令被对方认为已经遇害的厄朴理陶列克斯和维理度马勒斯在骑兵队伍里往来走动,并招呼他们自己国里的人_当他们被认出来以后,李坦维克古斯的谎话马上被拆穿,爱校依人开始伸手作出投降的姿势,并掷下自己的武器,请求饶恕。李坦维克古斯带着自己的部属逃到及尔哥维亚去了(高卢的习俗把部属抛弃自己的主子视作罪恶,即使在完全绝望的时候也是如此)。

    四一、凯撒派使者到爱杜依邦去报告说。他本来可以根据战时的权利把他们都杀死,由于他开恩,都已经保全了性命。然后,在夜里给军队休息了三个刻时后,拔营向及尔哥维亚赶去。大约走到半路,费庇乌斯派来的一些骑兵,向他报告说;他们的处境非常危险。营寨正受到一支极其强大的敌军围攻,而且有源源而来的生力军替换疲乏了的人,我军士兵却因为不断劳碌,困顿不堪。由于营寨的面积太大,士兵们不得不一刻不离开壁垒。他们说:许多人都被大量的箭和各式各样投掷武器射伤,幸亏弩在抵抗上面起了很大的作用。在敌人退走后,费庇马斯除了留下两个门外,已把其他的门都堵塞住,壁垒上也加上了胸墙,为明天再发生同样的事情作下准备。凯撒接到这报告后,便在军士们极大的努力下,于日出前赶到营寨。

    四二、正当及尔哥维亚发生这些战斗时,爱杜依人接到李坦维克古斯派去的第一批使者的报告。他们简直没让自己有查明真相的时间,有些人是受贪心的诱惑,又有些人是被愤怒和他们这个族所特有的轻率脾气所激动,毫无根据的传说也被当成事实。他们抢劫罗马公民的商品,有些人遭到杀害,其余的被拉去当了奴隶。孔维克多列塔维斯乘势推波助澜,煽动平民的怒气,他认为只要大家犯下罪,便会自己羞于回到清醒的道路上来。他们甚至以保证给予安全的诺言欺骗一个正在赶回自己军团途中的军团指挥官马古斯·阿里司几乌斯,让他离开卡皮隆管姆镇,同样他们也逼着因经商而住在那边的人这样做,然后在路上不断的攻击他们,夺取了他们的全部行李,当他们动手自卫时,又对他们进行了一昼夜围攻。双方都死了许多人之后,他们招来更大一批武装部队。

    四三、正在这时,消息传来说:他们的全部军队,都已成为凯撒手中的俘虏。他们马上都赶到阿里司季乌斯跟前,向他保证说,这些计划和行动都不是他们的国家授意做的。他们命令追查被劫去的财物,没收了李坦维克古斯和他兄弟的财产,并派使者到凯撒那边去为自己洗刷罪名。他们这样做,为的是想把自己的亲人弄回去。但是,罪恶已经沾污他们;从抢劫货物中得到的好处——这事牵涉到很多人——也使他们迷了心,再加他们还怕受到惩罚,心中惴惴不安。于是他们开始偷偷地策划战争,并派使者们到别的国家去煽动。虽然凯撒完全了解这一点,他仍然对他们的使者尽可能表示和蔼,对他们说:老百姓的无知轻率,并没使他对这个国家产生什么看法,也没有减少他本人对爱杜依邦的好感。他自己预料高卢即将发生一场比较严重的变乱,为了不让自己受到所有的国家包围,他正在计划怎样才可以从及尔哥维亚退出去,重新集合全部军队,但又不至于让这次因担心叛乱而作出的撤退,被敌人当做是逃跑。

    四四、当他正在考虑这些事情时,一个一举成功的机会似乎自己送上门来。他到那小营去视察工事时,注意到敌人所占领的一处山丘,前些日子还到处拥满人,几乎把它这得无法观察清楚,这时却没人守卫。他在惊奇之下,向逃亡来的人询问原因——每天都有大批人逃亡前来——他们回答得完全一样,和凯撒从自己的侦察人员那里得到的报导也完全相符。他们说。那座山后面的山坡,差不多完全是平坦的,只是有很多树木,又很狭隘,那边有一条路可通到市镇的另一边。他们说:高卢人十分担心那地方,他们不怕别的,就只怕罗马人已经占有这座山,如果再失掉那一座,他们就将陷人包围,所有出路和采牧都被切断,为此,维钦及托列克斯把所有的人都召到那边去筑工事了。

    四五、听到这报告时,凯撒就在刚过半夜时,派几队骑兵到那边去,他命令他们到各处去驰驱奔走,故意比平时更加大声地喧闹。天明时,他又命令把大批运辎重的骡于从营里赶出来,叫骡夫们去掉骡子身上的驮子,戴上头盔,装扮成骑兵的样子,骑着它们故意很招摇地满山遍野兜圈子。他还派少数骑兵混在他们一起,更广泛地到处驰突,故意张大声势,让别人看到,并叫他们在到处兜转之后,全部到一个地方去集中。因为及尔哥维亚是可以俯瞰我军营寨的,这行动马上就被镇上老远看到,但由于隔着这么大的一段距离,无法看出真相。他派一个军团,也向那山脊走去,当它刚走了不多路时,又叫他们在一处低地停下来,躲进林中。高卢人的疑虑更为增加,他们的所有兵力都转到那地方去构筑防御工事。凯撒注意到敌人的营寨已经空虚,便命他的部下掩好军中的表饰,藏起连队标志,把士兵们分成一小队一小队的从大营移向小营,以避免镇上人注意。他把他的意图告知派到各军团去担任指挥的副将们,特别告诫他们要把自己的兵士控制在自己身边,千万别让他们因为热衷于战斗、或者贪图战利品,跑得太远。他说明地形不利可能造成的困难,说:只有迅速才可以补救它,这不是一个如何战斗的问题,而是如何出其不意的问题。在作了这样的说明后,他发出行动的号令,同时派爱杜依人从右面另一条上坡的路奔上山去。

    四六、那市镇的城墙距平地——也就是山坡开始隆起的地方——如以直线计,不算中间的弯曲,约为一千步,但如果为了减少上坡的困难而作一些迂回,便不免要增加路程。大约从半山开始,高卢人用大石筑起一道六罗尺高的长墙,尽可能随着山势伸展开去,以阻挡我军的进攻。除山的下半部听其空着外,上半部一直到市镇的城墙,全布满了他们的营寨,密密攒集在一起。号令一发出,军士们很快跑近工事,越过了它,占领了三座营房。在占领营房时,他们的行动十分迅速,突然逮住了正在自己的营帐中午睡的尼几阿布罗及斯的国王都托马得斯,他光着上身。从抢夺战利品的兵士们手中逃了出去,马也受了伤。

    四七、达到自己的目的之后,凯撒下令吹起退军的号子。这时伴随着他的第十军团立刻停止行动,但其余军团的土兵们,因为中间隔着一个很大的山谷,听不到军号的声音)虽然军团指挥官和副将们都在按照凯撒的命令,竭力阻止他们,但是,迅速取胜的愿望、敌人的奔逃、以及前一时期的顺利战斗,都在激励着他们,使他们认为再没什么事情会困难到自己的勇气不能克服的程度。他们一直不停步地追,直到靠近城墙和市镇的门口才止。于是,市镇里到处都一片喊叫声。那些离开较远的人,被这种突然的叫喊声吓得惊惶失措,信以为敌人已经进了城门,飞奔逃出市镇。妇女们把衣服和银器从城墙上掷下来,敞开胸,伸出手,探身出来,要求罗马人饶过她们,不要象在阿凡历古姆那样,连妇女和儿童也不放过。有些妇女们手拉手吊下城墙,自动投向我军士兵。第八军团的一个百夫长卢契乌斯·费庇乌斯,据说那天曾在同伙中宣称:他已经被在阿凡历古姆获得的战利品打动了心,决不让任何人比他先爬上城墙。在他那一个连中找到三个人作为伙伴,由他们把他抬起来爬上城墙,然后他又转过来把他们三个人也—一拉了上去。

    四八、这时,前面所说的集中在市镇另一面建筑工事的那些高卢人,最先听到喊声,接着不断传来市镇已经被罗马人占领的消息。于是他们先派骑兵急急奔来,然后自己也大队赶来这边。首先赶到的人便抢着在城下站定下来,加入战斗人员的行列。在他们聚起了大批人之后,不久以前在城上向罗马人伸手哀求的那些妇女,又开始恳求起她们自己的人来,并且按照高卢的风俗,露出乱蓬蓬的头发,把她们的孩子们也带到大家眼前来。罗马人在战斗中,无论就地势还是就人数讲,都不能跟敌人相比,他们还因飞速的奔跑和长时间的战斗而疲劳不堪,很难和新来的、精力充沛的人对抗。

    四九、凯撒看到战斗在不利的地形上进行,而且敌人的兵力在源源增加,不禁为自己的部下担忧,就派人到他留下来防守小营的副将季度斯·塞克司久斯那边去,叫他迅即带出几个营来,布置在山脚下面敌人的右侧。这样,如果他看到我军被驱逐下来。就可以防止敌人恣意追逐。他自己也带着那个军团,从停驻的地方略略推进了一些,等候战斗的结局。

    五0、战斗正在短兵相接,激烈地进行,敌人倚仗着地势和人数,我们则凭仗着勇气。突然,凯撒为了分散敌人的兵力,命令从山坡右面另一条路。去赌杜依人,在我军暴露着的侧翼出现。他们跟高卢人一式一样的武装,引起我军极大的惊慌,虽然也曾注意’到他们按照一般公认的记号把自己的右肩袒露着,但军士们还不免怀疑这是敌人故意装出来欺骗他们的。与此同时,那百夫长卢契乌斯·费庇乌斯和那些跟他一起爬上城墙的人,都被包围杀死,从城上掷下来。同一军团的一个百夫长马古斯·彼得隆纽斯试图砍开一道城门,但却受到多数敌人围攻,陷于绝境。虽然受了许多伤,他还是对他那一连的跟着他的人说:”既然我和你们不能一起脱身出去,我无论如何要保全你们这些因为热心博取光荣、却被我带进绝境来的人。一有机会,你们就各自设法保全自己吧!”说完这些,他冲入敌人丛中,杀死两个人,把其余的逼得从城门口后退了一段路。当他的部下企图救他时,他说:”别浪费时间救我,我已经血枯力竭,不能再动了,趁还有机会,快走,回到军团去吧!”一会儿后,他战死了,但把部下都救了出来。

    五一、我军各方面都受到重重的压力,从那地方被驱逐出来,损失了四十六个百夫长。但驻在略较平坦的地方作为声援的第十军团却阻止了高卢人的恣意穷追。这第十军团又受到副将季度斯·塞克司久斯从小营带出来的、占据地势较高的地方的第十三军团的一些营的接应。军团一踏上平地,他们便把标志掉过头来,指向敌人,停下脚步,维钦及托列克斯带着他的部下,从山脚国进工事里去。那天我军损失了将近七百名士兵。

    五二、次日,凯撒召集了一个会议,责任兵士们的卤葬和轻率任性,他们自己想前进便前进,想做什么便做什么,发了后退的号令也不停步,连军团指挥官和副将们也约束不了他们。他指出地形不利所能引起的后果,提到当他在阿凡历古姆突然赶上敌人既没司令、也没骑兵的时候,本来作过什么打算,但就是因为地形不利,为了避免在战斗中遭到哪怕是极微小的损失,他宁可放弃了十拿九稳的胜利。尽管他很赞赏他们的巨大勇气,营寨的工事也好,高山也好,市镇的城墙也好,全都挡不住他们,但他也同样要责怪他们的目无纪律和傲慢,自以为在胜利上面,在战斗的结局上面,懂得比他们的统帅要多一些。他说:他要求他的士兵们有纪律、能自制,并不亚于要求他们勇往直前、热情奔放。

    五三、凯撒举行了这次集会,并且在结束谈话时鼓励士兵们,千万别因为这次事件就士气沮丧,也不要把这次因为地势不利而造成的损失,归之于敌人的勇敢。虽然他和前次一样,有意离开当地,但他仍旧把军团带出营寨,在合适的地方摆下战斗的阵势。维钦及托列斯照常把军队闻守在工事里,不下山到平地上来,只发生了一场小小的骑兵接触,我军占了上风之后,凯撒重把军队带回营寨。次日又重复了这样的一次战斗之后,他认为已经足够挫折高卢人的傲气,鼓舞士兵们的斗志,便移营进入爱杜依人境内。就这样,敌人也没来追赶,第三天,他重又修理了厄拉味尔河上的桥梁,把军队带了过去。

    五四、他在那边会见了爱杜依的维理度马勒斯和厄朴理陶列克斯,从他们处知道李坦维克古斯已经带着全部骑兵去煽动爱杜依人。他们说,他们必须抢在前面,赶去抚慰这个邦,使它保持忠诚。凯撒已经有很多证据可以证明爱杜依人的狡诈,还了解到这两个人赶去,只能促使那个国家的叛乱爆发得更快些。但他还是决定不留他们,免得被人认为是伤害了这个国家,或者被人家当成是害怕。在他们动身时,他把自己带给爱杜依人的好处简单地提醒他们,说明爱杜依人最初是在什么样的情况下、什么样的屈辱状态之下遇见凯撒的。那时,他们被逼困守在要塞中间、失去了土地、丧失了全部财富、身上被强加着贡赋、还被用极端侮辱的方式抽去了人质,他却带给了他们什么样的好运和什么样的繁盛,不仅使他们回复到原来状态,而且在地位上、势力上还超过了过去一切时代。谈过这番话后,他遣走了他们。

    五五、诺维奥洞纳姆是爱杜依人的一个市镇;处在里杰尔河畔一个地势很好的地点,凯撒把所有高卢的人质、粮食、公款、以及他自己和士兵们的大部分行李都集中在那里。他还把为了这次战争从意大利和西班牙买来的马,大批放在那边。当厄朴理陶列克斯和维理度马勒斯赶到那边时,知道了国家的情况,得悉李坦维克古斯已经被毕布拉克德——这是他们中间势力最大的一个城市——的爱社依人接纳进去,他们的首领孔维克多列塔维斯和大部分长老也都已经赶到他那边去参加,还正式派使者到维钦及托列克斯那边去寻求和平和友谊。这两人认为千万不可失去这样一个良好时机,因而,他们杀死守卫诺维奥洞纳姆的部队和集中在那边贸易或正好路过的人,把钱财和马匹两个人分了,还设法把各国的人质都带到在毕布拉克德的他们的首领那边去。他们估计到没法守住这个市镇,便纵火把它烧掉,免得让它被罗马人去利用。凡是他们能立刻运走的粮食,通通都搬到船上,其余的全部被投入河中或火中毁掉。他们自己开始从邻近地区征集军队,并且在沿里杰尔河岸各地布下驻军和哨岗,为了威胁罗马人,他们又把骑兵派到各地去炫耀力量,希望能把罗马人的粮食供应切断,借饥饿来拖垮他们,把他们逐口行省去。有一件事情大大助长了他们这种希望,原来里杰尔河已经在雪后涨了水,似乎所有的渡口都已经绝对渡不过去。

    五六、知道这事后,凯撒认为自己必须赶快争取时间,即或要冒些危险先造一顶桥梁也在所不计,一定要趁敌人还没在那边聚起大量人马以前作一次决战。他还感到自己决不可以改变计划,掉过头来转入行省。谁也不会认为这是一件出于必要的事,一则这件事本身可耻丢脸,二则还得考虑到启本那山的险阻和道路的困难,更何况他派出去分别行动的拉频管斯和跟他在一起的军团。特别使他刻刻挂念。因此,他就日夜不停、极迅速地赶了很长一段路程,出乎大家意料地到达里杰尔河,利用骑兵找到一处适合当时需要的渡口,恰好士兵们可以让手臂和肩头露出水面,举着自己的武器过河。他把骑兵散开安置在河里,借以挡掉一部分水流的冲力,趁敌人刚一看到我军,惊愕失措时,把我军安然带过河去。他在田野里发现了谷物和大批牲畜,把这些物资补给了军队之后,他决定进入森农内斯人境内。

    五七、当凯撒在这方面做这些事情时,拉频弩斯把新近从意大利来的补充兵员留在阿及定古姆守卫辎重,自己带着四个军团出发到卢德几亚去,这是巴里西人的一个市镇,坐落在塞广纳河中的一个岛上。敌人得到他来临的消息,马上从邻近各邦集合起一支大军。最高指挥权被授给了奥来尔契人康慕洛勤纳斯。虽然他已经年龄很大,但由于他有卓越的军事知识,因此被授与了这个荣誉。他注意到那边有一片连续不断的沼泽流入塞广纳河,增加了这个地区地形上的困难,便决定把军队驻扎在那边,阻止我军渡过去。

    五八、拉频弩斯最初树起盾车,用柴把和泥土填没沼泽,试图拦出一条路来。后来他发现这工程大艰巨,就在第三更悄悄离营,仍由来的那条路赶到梅鞠塞杜姆,这是森农内斯人的一个市镇,跟我们刚提到过的卢德几亚一样,也坐落在塞广纳河的一个岛上。在捕获到五十艘左右船只、把它们很快联结在一起之后,他把他的一些士兵迅速载在船上过河,乘镇上的居民——他们已有很大一部分被召去参加战争——吓呆了的时候,没经战斗就占领了该镇。他修复了敌人前些日子拆毁的桥梁,把军队带了过去,开始沿河下行,赶向卢德几亚。敌人已由从梅鞠塞杜姆逃出去的人报告了这件事情,他们命令纵火烧掉卢德几亚镇,拆掉这个镇上的那些桥,一面离开那沼泽,赶到塞广纳河边,就在卢德几亚对面朝着拉频弩斯的营寨安下营来。

    五九、这时,大家已听到凯撒从及尔哥维亚撤退的消息。关于爱杜依人叛乱和高卢起事成功的传说,也已经开始流布,高卢人在谈话中一口咬定说,凯撒的行军和渡过里杰尔河,已经遇到阻碍,粮食的缺乏,逼得他迅速退向行省。原先就心怀不良的使洛瓦契人,一听到爱杜依人叛乱的事情,就开始集中军队,公开准备战争。形势变化得如此之大,使拉频弩斯认识到他必须采取一套跟原来的打算截然不同的做法,他就不再考虑怎样获得进一步的成就,或者怎样挑动敌人出来应战,开始计划怎样才能把军队安然无恙地带回阿及定古姆去。这时,全高卢以最勇悍驰名的弹洛瓦契人紧迫着他的这一边。康慕洛勤纳斯又带着一支准备齐全、部位井然的大军夹住他的另一边,而军团和它的辎重、以及守卫这些辎重的部队,却被一条巨大的河流横贯在中间,分成两处。突然面临这些严重的困难,他了解到只有依靠自身的坚毅,才能脱身出去。

    六0、傍晚时候,他召集了一次作战会议。他叮嘱部下必须小心谨慎、干劲十足地完成他所交给的任务。他把他从梅鞠塞杜姆带来的船只,分配给骑士们,各人一只,命令他们在第一更末时,悄悄顺流航下去四罗里,在那边等他。他把他认为作战能力最差的五个营留下来,作为营寨的守卫,命令这一军团的其余五个营带着全部辎重,在半夜时大声喧嚷着向河流的上游方向奔去。他又集中一些小船,跟他们同一方向前进,在鼓桨航行时故意弄得一片响声。不久之后,他自己也带着三个军团悄悄离开营寨,朝着他命令船只航到那边去的地方前进。

    六一、在他到达那边时,敌人布满河岸的哨岗,由于忽然发生一场暴风雨,在泞不及防中全都落在我军手里。军团和骑兵很快就在负责此事的罗马骑士指挥下,被送过河去。差不多就在同时,约摸天亮以前,敌人得到报告说:罗马营中发出异常的喧嚷声,而且有一支大军正在沿着河流逆流而上,同一方向还听到有划桨声,河流下游不远的地方又有军队正在由船只渡送过河。当他们听到这个时,他们认为军团正在分三路过河,又认为这是因为爱杜依人叛变,引起了大家的恐慌,所以正在准备逃命。于是,他们也把自己的军队分成三支,一支留在拉频弩斯的营寨对面,作为守卫,一小支被派到梅鞠塞杜姆,直趋船只即将到达的地方,其余的由他们领着去对抗拉频弩斯。

    六二、刚天亮时,我军已全部带过河来,敌人的行列也开始看得清楚了。拉频弩斯鼓励士兵们别忘记自己向来的勇敢和在战斗中取得过的多次光辉胜利,要和经常领着他们击溃敌人的凯撒亲自在场看着他们一样。于是,他发出战斗的号令。在第一个回合里,第七军团所处在的右翼,敌人被逐了回去,并且被击溃,而第十二军团防守的左翼,虽然第一到敌人被轻矛戳死倒下,其余的仍旧非常勇敢地对抗着,没有一个人露出要逃走的样子。敌人的领袖康慕洛勤纳斯亲自在那边鼓励着他的部下,最后胜利直到这时还不见分晓。当第七军团的军团指挥官们得到关于左翼情况的报告时,他们带着他们的军团,在敌人的身后露面出来,向敌人发动攻击。就这样他们还是没有一个人退缩,直到全部被包围歼灭为止。康慕洛勤纳斯也遭到同样的命运。至于留在拉频弩斯营寨对面作为守卫的那支高卢部队,一听到战斗开始时,就赶来帮助他们的同胞,占领了一处小山,但却挡不住已经获胜的我军的进攻,因而也就一起混到逃跑的人中间去了。凡是没受到森林和山岭掩蔽的,全都被骑兵杀死。拉频弩斯完成了这件事,回到存放全军行车的阿及定古姆,又从那边带着全军出发,在第三天到达凯撒那边。

    六三、爱杜依人叛乱的消息一传出去,战争的范围就扩大起来。他们派代表到各方面去,凡是可以利用来拉拢煽动各国的手段,恩惠、权威、金钱等等,统统都用上了。在攫取了凯撒寄放在他们那边的那些人质之后,他们就以处死这些人来恐吓那些动摇的人。爱杜依人邀请维钦及托列克斯到他们这里来,商谈作战的计划。当他们的要求得到同意后,他们坚持要求把指挥作战的最高大权交给他们,在这件事情上发生了争论。于是在毕布拉克德召开了一个全高卢的大会,许多人都从各地赶来,集中到那边。这问题被提交给大家表决,全体一致同意由维钦及托列克斯担任统帅。其中只雷米人、林恭内斯人和德来维里人没参加会议。前两个邦是因为考虑到跟罗马人的友谊;德来维里人则因为离开太远,而且自己正在受到日耳曼人的沉重压力,这就是他们所以没有参加战争,也没派人帮助任何一方的原因。爱杜依人被夺走了领导权,大为懊丧,抱怨自己背运,还失掉了凯撒对他们的关怀爱护。但由于已经参加了战争,不敢再背着其余各邦单独作自己的打算。至于年轻而又野心勃勃的厄朴理陶列克斯和维理度马勒斯,则更是万分无奈地听命于维钦及托列克斯。

    六四、维钦及托列克斯向别的国家索取人质,还指定了具体的交到日期。又命令把数达一万五千名的全部骑兵,很快集中起来。他说:他本来不想试运气,也不想面对面作一次正式决战,原先有的步兵,已经可以满足了,但如果有足够的骑兵,就可以很容易地阻止罗马人取得粮食和草料。他还说:只要他们肯下定决心毁掉自己的谷物,烧掉自己的房子,这些家财的损失,将使他们换来永久的主权和自由。他作了这些安排后,向爱杜依人和毗连行省的塞古西阿维人索取一万兵士、外加八百骑兵,把厄朴理陶列克斯的兄弟派做他们的指挥,命他们去跟阿罗布洛及斯人作战。另一方面,他又派伽巴里人和靠近他们的几个阿浮尔尼人的地区去跟厄尔维人作战。同样,他派卢登尼人、卡杜尔契人去躁够沃尔卡族的阿雷科米契人的领土。同时他还企图通过秘密的信使和代表,把阿罗布洛及斯人拉拢过去,极希望他们在最近那次战争之后。激动的心情仍还没安定下来。他答应送钱给他们的领袖,又答应把整个行省都给他们的国家。

    六五、可以应付这一切事变的驻防部队,一共只有副将卢契乌斯·凯撒从全省集中起来的二十二个营。厄尔维人自告奋勇地跟他们的邻人作战,却被击败了。这个邦的首领卡布勒斯的儿子该犹斯·瓦雷留斯·堂诺道勒斯,跟别的一些人都战死,被迫撤进自己的要塞和城堡。阿罗布洛及斯人沿着罗唐纳斯河络绎不绝地布置下大量哨岗,极小心、极辛劳地保卫着自己的边界。凯撒注意到敌人在骑兵数目上占有优势,而他自己则由于所有的交通线都被切断,没有办法从行省和意大利得到援助,就派人渡过莱茵河到日耳曼去,向前年战争中被他征服的那些国家索取骑兵和习于跟骑兵一起作战的轻装步兵。在他们到达时,他发现他们用的马不合适。他命令把军团指挥官和其余的罗马骑士、以及留用老兵的马都拿出来,把它们分给日耳曼人。

    六六、同时,这些事情正在进行时,敌人从阿浮尔尼来的步兵和从全高卢各地征集来的骑兵正在集中。当凯撒在向塞广尼进军时,为了支援行省比较方便些,特地从林恭内斯人领土的边缘穿过。维钦及托列克斯把部队大量集合起来以后,在距罗马人约十罗里处,筑下三座营寨。他召集骑兵指挥官们举行一次会议,向他们指出:胜利的时刻已经到来,罗马人正在离开高卢逃向行省。照他的看法,如果只想取得一时的自由,这样也够了,但如为将来的太平和安宁着想,那还只是一个非常小的成就,因为罗马人在集合起一支大军之后,必然还会回来跟我们战个不完的。因此高卢人必须趁他们进军途中、辎重累赘的时候,攻打他们。这样一来,如果步兵赶回来救自己人,就不能再赶路;反之,如果他们只顾自己的安全,抛弃行李——他相信他们大概要这样做——他们就不仅光损失了必需的物资,而且连自己的名誉也一下子一起失掉。至于敌人的骑兵,他们自己应该相信,决没有一个人哪怕敢离开行列跑出来的。为了使他们可以更加放心大胆行动,他准备把他们的全部兵力都陈列在营前,威慑敌人。骑兵们齐声大喊说:他们都应当用最最庄严的誓言来约束自己,任何一个人,如果没有两次驰马穿过敌人的行列,便不准被接进自己的屋子,也不准接近孩子、父母和妻子。

    六七、这件事获得赞同,所有的人都宣了誓。翌日,骑兵被分做三支,两支列好阵势,摆在两侧示威,一支开始拦在头里,截阻我军的行列。凯撒接到报告时,把他的骑兵也同样分成三支,命令他们前去抵抗敌人。战斗同时在各处展开,行列停了下来,辎重也被拉回到军团中间。当发现有什么地方我军似乎支持不住、或者压力较重时,凯撒就命令把标志移向那边,阵势也转过去,这样一来,不仅阻止了敌人的追逐,也使我军因为有救援的希望而得到鼓励。最后。右翼的日耳曼人占领了一个山头,把敌人驱逐下来,一直追到维钦及托列克斯和他的步兵驻扎的河边,杀死很多人。其余的人看到这事,害怕他们会受到包围,便纷纷逃散。我军到处都大肆斩杀。三个有显赫地位的爱杜依人被俘虏。送到凯撒这边,一个是在最近这次选举中和孔维克多列塔维斯发生争执的科得斯,是骑兵指挥一个是卡伐里勒斯,是在李坦维克古斯叛乱之后。指挥军队中的步兵的;还有一个是厄朴理陶列克斯,在凯撒没到来以前。爱杜依人跟塞广尼人的战争就是由他领导的。

    六八、当所有骑兵都被驱散时,维钦及托列克斯把他的军队仍旧按照在营门口布列的次序领了回去,立刻开始出发到孟杜皮人的一个市镇阿来西亚去,并命令迅速把辎重从营里带出来,紧跟着他。凯撒把自己的辎重撤到就近的一座山地,留下两个军团守卫之后,紧紧钉住他,尽这天余下来的时间向前追去。敌人的后队约有三千人被歼。次日,他靠近阿来西亚安下营寨,观察了那边的地形。这时敌人由于他们十分信赖的骑兵被击溃了,非常惊恐。凯撒鼓励自己的士兵积极劳动,用一道围墙来包围阿来西亚。

    六九、阿来西亚这个要塞本身建立在一座山顶上,地势非常高峻,因此看来除了围困以外,没别的法子可以攻取。那座山的脚下,有两面分别受到两条河流的冲刷,市镇前方伸出一片长达三罗里的平原,其余几面,在相距不很远的地方,都有山岭环绕着,高度跟市镇相仿,城墙下面和山岭朝着东方的那一面,困地上满布着高卢军队,并在正前方筑有一条壕堑和一道六罗尺高的护墙。罗马人开始着手建筑的包围工事,周围长达十一罗里,他们的营寨安扎在一个地形很有利的所在,而且在那边建了二十三座碉堡,白天在里面安置了哨兵,以防突然的突围,晚上则驻扎了监视哨岗和坚强的警卫。

    七0、当围城的工事开始动手地在我们前面所说的夹在山岭中间的那片伸长达三罗里的平原上,发生了骑兵接触。双方都极奋勇地搏斗着。凯撒看到我军渐渐支持不住,就把日耳曼骑兵派了出去,又把军团布置在营前,以防敌人步兵突然冲击。我军因为有军团在身后支援,精神突然振作起来,敌人被赶了回去,但他们的人数太多,留下来的出入口又极狭小,在那边彼此挤成一团,于是日耳曼人奋勇一直追到防御工事迹,放手屠杀。有些敌人放弃了马,企囱越过壕堑爬上城去。凯撒下令布置在壁垒前的军团稍稍向前推进,高卢人在工事里的,便也和其他人一样地乱成一片,认为敌人正在直向着他们杀来,连声叫”武装起来”,有些还吓得冲进了市镇。维钦及托列克斯下令闭起城门,以免营寨被大家弃置不顾。日耳曼人在杀掉大批敌人、捕获大批马匹以后,才退下来。

    七一、这时,维钦及托列克斯决定在罗马人完成封锁工事之前,先把他的全部骑兵遣走。在临行时,他告诫他们:各人都须回到自己国里去。促使所有年龄已够服兵役的人,起来参战。他把自己替他们立下的功绩,摆了一下,要求他们顾念他的安全,不要把这个为共同的自由作出这么多贡献的人,送给敌人去残害。他又向他们指出:如果他们真的不加重视,八万名精选出来的壮士,就将和他一同牺牲。还说;经过计算,他只有勉强够用三十天的粮食,但是,如果能够节省些使用,还可以希望多拖延几天。给了这些指示以后,他在第二更时,遣这些骑兵从我军的工事还留着缺口的地方,悄悄溜走。他下令把所有的谷物都运到他这里来,规定用死刑来处罚任何违抗命令的人。孟杜皮人曾经把大量家畜驱到那边去集中,也被—一按人作了分配。他规定粮食要极省俭地一点点发放出去,又把布置在城前的所有兵力都调进城内。

    七二、凯撒由逃亡者和俘虏告知这事,决定建筑下列形式的工事:他挖了一条二十罗尺宽的沟,两边垂直,即它的底部两边之间和顶上两边之间宽度是一样的。他把所有其他的围困工事都撤到距离这条沟四百罗步之后,因为他既不得不把这么大的一片地方包围在里面,却又没有这么多的兵力把它团团守住,这样一来。就可以避免夜间大股敌人突然扑向工事,或者白天向我军正在忙于工作的部队发射矢石。就在这段中间地带,他又挖了两条壕沟,顶上和底下都是十五罗尺阔,靠近里面的一条,地形比较平坦低下,他把河里的水引来灌在里面。这两条沟后面,他又筑了一道十二罗尺高的防堤和壁垒,上前再加上胸墙和雉谍,胸墙和防堤衔接的地方,向外斜列着象鹿角似的削尖的木桩,用来防止敌人向上爬。此外,环绕着整个工事,他又每隔八十罗尺筑一座木塔。

    七三、这时,一方面要搬运木材,准备粮食,一方面又要筑这么长大的防御工事,我军士卒必然要走到离开营寨较远的地方去,数目上便不能不有所减少。高卢人不时用很大的兵力从城墙的几道门里同时突围出来,攻击我军的工程。因此,凯撒认为应当在这些工事之外,再适当的增加一些工事,使这道防线可以由更少的兵力防守。因而,采伐了许多树干和坚韧的树枝,把树枝顶端的皮剥去以后再削尖,在挖掘了一道五罗尺深的连亘不断的沟之后,把这些木桩直立着排在沟内,把它们的底部钉牢,使人无法拔掉它,只有树干的尖端伸出在地面上。它们一共有五行,一层一层地连在一起,互相衔接,又互相穿插,任何人冲进它们,必然会使自己被这些极尖锐的木桩戳穿。他们把这叫做”阴阳界”凡在这前面,又挖有象梅花形似的斜对角的坑,深三罗尺,逐渐向坑底收缩倾斜。里面安放着人腿粗细的圆木桩,顶上削尖,且用火熏硬,有一部分伸出地面,高度不超过四指宽。同时为了使它们坚韧和牢固起见,在它们底下垫有一罗尺厚踩得很结实的土。坑的其余部分放着树枝和柴草,用来掩盖这个圈套。一共挖了八行这样的坑穴,相距各三罗尺。根据它们的外形,他们称之谓”百合花”。在所有这些工程前面,又有一罗尺长的木材,顶上钉着坚固的铁钩,彼此相隔不远地整个埋在土中,布满各地,他们叫它做”踢马刺”。

    七四、当所有这些设施都完工后,凯撒又依着当地的地形,尽可能选择便利的自然条件,照式照样又造了一道周围十四罗里的工事,面向着另一边,似防从外面来的敌人。这样,即使由于敌人骑兵突围出去,从而可能有敌人从外面来攻击,不管他们人数有多少,都不能把我军守卫工事的部队围困。同时,为了避免被迫冒险出营,他又命令所有部下都收集足够三十天用的粮食和草料。

    七五、当这些事情在阿来西亚进行时,高卢人召集了一个首领们的会议,决定不依照维钦及托列克斯建议的那样,把所有能参战的人都征集起来,只向每一个国家索取一定数目的人员。因为他们害怕集中起一支十分庞杂的大军以后,纪律无法保持,部属无从识别,再加粮食也供应不上。他们向爱杜依人和他们的属邦塞古西阿维人、安皮瓦来几人、奥来尔契人、勃朗诺维契人和布冷诺维人,索取三万五千人;向阿浮尔尼人和一向归他们管辖的厄吕德几人、卡杜尔契人。伽巴里人和味拉维人,一共也要了这样一个数目;向塞广尼人、森农内斯人、别都里及斯人、桑东尼人、卢登尼人和卡尔管行斯人,各索了一万二千人;向件洛瓦契人讨了一万人,向雷穆维契斯人也讨了这个数目;又向庇克东内斯人、都龙耐斯人、巴里西人和厄尔维几人各讨了八千人;向苏威西翁内斯人、阿姆比安尼人、梅狄阿麦特里契人、彼得洛科里人、纳尔维人、莫里尼人和尼几阿布罗及斯人各讨五千人,奥来尔契族的钦诺孟尼人数目跟他们一样;向阿德来巴得斯人讨了四千人;向维略卡萨斯人、维洛孟都惊人、安得斯人和奥来尔契族的厄布洛维契人各讨三千人;向劳拉契人和波依人各讨二千;又向沿大洋各国、即通常称做阿莫列克诸邦的,讨了一万人,他们中间包括古里阿沙多木人,雷东内斯人、安皮巴利人、卡来几人、奥西丝米人、文内几人、勒克索维人和文内里人。其中使洛瓦契人没有交出他们的名额,因为他们声称:他们宁可自己和罗马人作战,自己作主,不愿受任何别人领导。当康缨斯出面向他们索取时,他们看在他的私人情面上,派出了二千人。

    七六、这个康缨斯,正如我们前面所说,在前年远征不列颠时,曾经忠实地、得力地替凯撒效过劳,因为他的这些功绩,凯撒命令免掉他的国家的贡赋,还给他恢复了自己的权利和法律,并把莫里尼邦给他们做纳贡的属邦。但高卢人在争取自由、恢复旧日的英勇善战的声名这件事上,是那么齐心,竟至无论什么样的恩惠、无论什么样的友谊,都不能影响他们,所有的人都全心全力地投到目前的战争中去。当八千骑兵和二十五万步兵征集起来以后,在爱杜依境内作了检阅,并进行了一番清点,任命了骑兵指挥官。最高的领导大权被授给了阿德来巴得人康缨斯、爱杜依人维理度马勒斯和厄朴理陶列克斯、以及维钦及托列克斯的一个表兄弟阿浮尔尼人维尔卡西味朗纳斯。他们还给配备了一批从各国选出来的代表,根据这些人的出谋献策来进行战争。他们出发到阿来西亚去时,人人都生气勃勃,信心十足,没有一个人不认为只要看到这么一大批人,就足以吓退任何敌人,特别是在一场两面受敌的战斗中,既要和市镇中突围出来的人作战,外围又将出现这么大的一支骑兵和步兵的时候。

    七七、然而,当被包围在阿来西亚的高卢人预期救兵将到的那一天过去时,他们的粮食已全部耗光,又不知道在爱杜依发生的事情,他们召集了一个作战会议,考虑自己的前途。他们在会上提出各种各样的不同意见。一部分人主张投降,另外一部分人主张趁体力还够的时候突围,但最最残忍得出奇、伤天害理到极点的,莫过于克里多耶得斯的一番话,颇值得一述。他出身于高贵的阿浮尔尼家族,被认为有很大的势力。他说:”对于那些把最可耻的奴隶生活叫做投降的人,他们的意见,我不想多说什么。我认为他们不应该被当做同胞,也不应该请他们来参加会议。我是站在那些主张突围的人一边的,他们那个得到你们一致赞同的计划,似乎还保留着对昔年英勇善战的一些回忆。不能忍受短时期的匾乏,正是你们的软弱,而不是你们的勇敢,慷慨就义的人总要比忍耐受苦的人容易找到些。正因为对我来说,荣誉是一种很大的动力,所以,如果我能预见到,除了我们的生命之外不至再损失别的,我就会同意他们的计划。但是,我们在作决定时,还该回过头来看看整个高卢。为了求救,我们已经把它全发动起来。你们想,当有八万人在一块儿被屠杀,而我们的亲戚朋友们,又将被迫几乎就要踏在他们的尸体上进行决战时,他们将鼓起什么样的勇气来吧!千万不要让这些为了你们的安全而不顾自己生死的人,失掉你们的援助;也别因为你们的愚昧、轻率和意志软弱,害得全高卢爬在地上,世世代代当奴隶。难道你们只因为他们至今未到,就怀疑他们的忠诚和他们的决心吗?难道你们以为罗马人天天忙着造外层的壕堑。只是为了寻开心吗?假使因为路都被切断了,你们得不到朋友们那边来的信使你们增强信心,那么只要看那些罗马人就可以证明他们是愈来愈近了,正是由于害怕他们,罗马人才忙着日以继夜地筑工事的。我的建议是什么呢?我要求照我们的祖先跟钦布里人和条顿人战争时的样子做,虽然那次战争绝不足以和这次相比,但当时,他们在同样的饥饿压力之下,闭守在市镇里,就以那些年龄不适于作战的人的尸体维持生命,绝不向敌人投降。即使我们没有这样一个先例,为了争取自由,给后世树立这样一个先例,我也不得不认为这是一件极端光荣的事情。那次战争有什么地方跟这次相象呢?钦布里人破坏了全高卢,给我们带来了极大的灾难,但他们终于离开我们的国家,去找寻别的领土,把我们的主权、法律、土地和自由还给了我们。至于罗马人,他们再也没有别的动机和要求,只是被妒忌推动着,在那些他们素知其声名炼赫、作战勇敢的人的国土上住下来,把万劫不复的奴役加在他们头上,此外再没什么别的作战原因。如果你们不知道老远在别的民族发生的事情,且看看近在身边的高卢吧,它已被降为行省,权利和法律全被改掉,被迫在斧头下过着世世代代的奴隶生活了。”

    七八。当各种意见都发表了之后,他们决定凡是健康和年龄不适于作战的人,都应该离开市镇,克里多耶得斯的建议留待一切办法都试尽之后才行采用,如果形势进一步紧迫,而援军却还不来,便宁可采取他的建议,决不屈辱投降或求和。把这些人接纳进自己市镇的孟杜皮人,被迫带着妇女和孩子离开它。当他们走到罗马人的防线时,他们哭哭啼啼说了许许多多恳求的话,要求收留他们下来做奴隶,给他们吃的。凯撒在壁垒上安置了哨岗,阻止他们进来。

    七九、同时,康缨斯和接受了最高指挥权的其他领袖们,带着全部兵力到达阿来西亚,占领了外围的一个山头后,便在离我军壕堑不过一罗里的地方驻扎下来。次日,把他们的骑兵带出营寨,布满了我们已经提到过的伸长三罗里的那片平原,又把他们的步兵安置在比他们稍后一点的一个较高的地方。从阿来西亚镇上可以俯瞰这片平原,一眼看到这些援军时,他们聚拢来彼此互相庆贺,每个人又快乐、又激动。于是,他们也把军队带出来停驶在镇前,把离他们最近的壕堑。用柴把填没,并投入泥土,为突围和一切偶然事故作下准备。

    八0、凯撒把全部军队分别布置在工事的两面,以便一旦发生事故时,各人都能知道自己的岗位、并且能够坚守岗位。然后,他命令把骑兵带出营寨作战。因为营寨都处在周围的山头上,到处可以俯瞰下方,所有的士兵都焦急地等待着战斗的结局。高卢人在骑兵中间分散地插进一些弓箭手和轻装步兵,以便在他们的骑兵被赶回去时给予援助,防止我军骑兵冲击。我军中一部分人便出于意外地被他们杀伤,退出战斗。当高卢人相信他们自己人在战斗中已经取得上风、而且看到我军受到多数人的压力时,所有各部分,无论被围在工事里的还是外面来援助的,都用他们的呼喊和吼叫来鼓舞自己同胞的斗志。由于战斗是在众目骤陵之下进行的,不论光荣的行为还是可耻的行为,一样地逃不开大家的注意,彼此都为了博取赞扬和避免丢脸而鼓起勇气。战斗从中午一直拖到日落,胜利还不知谁属。于是,我军中的日耳曼人在战场的一边,把骑兵密集在一起,向敌人进攻,击溃了他们。当他们被驱散时,那些弓箭手也被包围歼灭。同样,在战场的另外一部分,我军也追赶撤退下去的敌军,直抵他们的营寨,不令他们有重新集中的机会。从阿来西亚镇上出来的那些人,看到胜利已经无望,重又退回镇中。

    八一、隔一天之后——这一天里,高卢人制造了大量木栅、梯子、挠钩——他们在半夜里悄悄离开营寨,赶到平原上的工事边,突然发出一片喊叫声,向被围困在镇中的人示意他们来了之后,就开始把木栅投人壕堑,用投石、箭和石块把我军逐下壁垒,一面准备其它一切攻击用的东西。同时,一听到他们的叫喊声时,我军仍象前天一样,各人都赶到工事站到指定给自己的位置上,用一磅重的投石、以及在工事上准备好的木桩、铅球,驱走高卢人,奇机也发射了大量矢矛。由于黑夜无法远望,所以双方都伤了许多人。于是,奉命坐镇这一带地方的副将马古斯·安东尼和该犹斯。德来朋纽斯发现哪一个地方我军受到的压力比较沉重时,就把距离较远胁碉堡中的兵士调出来支援他们。

    八二、当高卢人离开壕堑还有一段距离的时候,因为有他们的大量矢石掩护,比较能占据上风,但一到他们靠近的时候,不知不觉便被踢马刺钩牢,或者掉入穴中被尖桩刺穿,再不然就被壁垒和木塔上的好机射中,因而死亡者累累,到处都有许多人受伤,壕堑却一个地方也没被突破。在天快亮时,他们深恐自己暴露着的侧翼,会被从高处营中出来突击的我军包围,因此便向他们的同胞们那边退去。同时,市镇里出来的军队,带着维钦及托列克斯准备好突围用的东西,动手填没最里面的一层壕堑,但他们在这项工作上时间拖得太久了,在还没靠近工事时就知道他们的援军已经退走,于是也一事无成地退入镇内。

    八三、高卢人两次被击退,损失惨重。就商议该怎么办?他们召来了对那一带地形十分熟悉的人,从他们口中探知了高处那个营寨的形势和防御工事。在那边北面,有一座山,由于它的周围太大,我军没能把它因进我们的工事,只勉强把营寨扎在比较平坦、但地势却很不利的坡面上。一这营寨由副将该犹斯·安几司久斯·雷琴纳斯和该犹斯·坎宁纽斯·雷比勒斯率领两个军团守卫着。通过侦察人员探清形势后,敌人的领袖们从全军以最勇敢闻名的各族中选出六万人来。他们在秘密商定应该做些什么和怎样做后,决定在约摸近中午的时候发动进攻。他们指定由四个领袖之一、阿浮尔尼人维尔卡西味朗纳斯——维钦及托列克斯的亲戚——担任这支部队的指挥。他在第一更时离开营寨,在天还刚亮时就几乎赶完全部路程,隐藏在山岭后面,给通宵奔波的士兵们略事休息。在约摸近中午时,他很快向前述的营寨推进,骑兵们同时开始逼近平原上的工事,其余的军队都布列在营前,以张声势。

    八四、当维钦及托列克斯在市镇中的卫城上注意到他们同胞的行动后,也带着木栅、长杆、.盾车、长钩,以及一切准备突围用的东西,赶出镇来。战斗一刹那间在各处同时展开,各种手段都在尝试,而且什么地方看来最脆弱,人们便都集中涌向那边去。罗马士兵分散在这样长的工事上,有好多地方感到难于应付。士兵们听到背后发出的喊声,心里就不免惶恐不安,觉得自己的安全竟须完全依靠别人的勇敢了。因为在通常的情况之下,在别处的危险,常常比眼前的更使人心慌意乱。

    八五、凯撒找到一个合适的地点,在这里可以观察到每个地方的情况,他一发现什么地方我军吃紧,就派援军赶去。双方心里都觉得这是作出最后努力的唯一机会,高卢人认为除非突破工事,否则一切脱身的希望都告断绝了,罗马人也认为只要这一天能守得住,所有的辛劳都从此可告结束。最艰苦的斗争发生在山上的工事边,即我们提到过的那个维尔卡西味朗纳斯被派去的地方。那地方不利的下坡地形却产生了极大的影响。敌人有的发射矢石,有的在盾龟掩护下向前推进。疲劳的人马上有生力军来替换。所有这些人合力向壕堑投过来的泥土,给高卢人造成一条向上爬的通道,罗马人埋在地下的设备全被盖没,我军这时既没有了武器,体力也支持不住了。

    八六、凯撒得知此事,派拉频弩斯带六个营来援助这些苦苦支撑的人。凯撒命令他如果实在坚持不下去时,可以带这几个营突围冲出来,但如果没有必要,就不应该这样做。他自己跑到其余的部队那边去,鼓励他们不要看到艰难畏缩,告诉他们,所有过去的一切战斗,都要在这一天和这一个时辰里决定最后分晓。包围在里层的敌人,因为我们的工事巨大,感到在平地已经没有成功的希望,就去试探那些陡拔的地方,带着他们准备好的用具,奔向那边去。他们用大量的矢石,驱走木塔中的守卫部队,以泥土和木栅填没壕堑,并用挠钩拉倒壁垒和胸墙。

    八七、为了接应他们,凯撒先派年轻的布鲁图斯带去几个营,后来又派副将该犹斯·费庇乌斯带去另外几个营,最后,当战斗进行得非常激烈时,他亲自带了生力军赶到那边。战斗重新恢复起来,敌人被驱了回去。凯撒又急急赶向拉频弯斯被派去的地方。他从离他最近的碉堡中抽出四个营,还命令骑兵的一部分跟随着他,另外一部分绕道走工事的外围,从敌人的后方向他们进攻。拉频弩斯发现无论壁垒还是壕堑,都挡不住敌人的冲击,便把从最近的几个据点里抽出来的、凑巧在那里的十个营集中起来,一面派使者把自己认为应该做的事情去报告凯撒。凯撒也匆匆赶去参加战斗。

    八八、凯撤的到来是从他的罩袍的颜色上辨认出来的,他习惯在战斗中穿着它,作为特殊的标记。奉命跟着他的几队骑兵和那几个营也被注意到了,因为斜坡和低平的地方,在高处是一目了然的,因而敌人马上发动了攻击。双方都发出一片喊声,这阵喊声又被壁垒上和整个壕堑里的战士接着口应下去。我军掷出他们的矛,开始用剑挥砍。突然后方的骑兵被看到了,别的一些营也在逐渐逼上来,敌人转身便逃,骑兵在他们奔跑中追上他们,接着便是一阵屠杀。雷穆维契斯人的首领塞杜留斯被杀,阿浮尔尼人维尔卡西味朗纳斯在逃走中被生俘,掳来交给凯撒的军旗达七十四面之多。大批敌人中只有少数人无恙回到营中。那些在镇上遥望着他们的同胞被屠杀和击溃的人,感到安全已经绝望,便把他们的部队从防御工事上撤了回去。高卢人一听到刚才发生的情况,马上从营寨里四散逃走。要不是由于部队不断的接应和全天的辛劳因而筋疲力尽,敌人的全部军队都可能被歼灭。骑兵在刚半夜时被派出去,掩袭他们的后队,擒获和杀死大批敌人,其余的都飞奔逃回各人自己的国里。

    八九、次日,维钦及托列克斯召集一个会议,在这会上,他指出:他之所以进行这次战争,不是为了自己本人的需要,而是为了大家的自由。既然他们不得不向命运屈服,他愿把自己交给他们,任凭他们怎样处理——以他的死亡来满足罗马人也好、或者把他活着交出去也好。使者被派到凯撒那边去谈判这件事。凯撒命令他们交出武器,并且把首领们送出去。他自己在营寨前面的工事里坐定,那些领袖们都被带到那边去交给他。维钦及托列克斯也被交了出来,武器都被投了下来。他只留下爱杜依人和阿浮尔尼人,因为他企图通过这些人把他们的国家重新争取过来。他把其余的俘虏在全军作了分配,每人一个,作为战利品。

    九0、安排好这些事后,他赶到爱杜依去,重新接受了这个国家的投降,阿浮尔尼也派使者到那边去看他,答应执行他的指示。凯撒向他们索取了大批人质,把大约二万名左右的战俘还给了爱杜依人和阿浮尔尼人,然后把军团遣人营地。他命令季度斯。拉频弩斯带两个军团和骑兵进入塞广尼人的领域,把马古斯·森布龙纽斯·路几留斯也交由他调遣。他派副将该犹斯·费庇乌斯和卢契乌斯·明管久斯·巴希勒斯带两个军团驻扎在雷米人邦内,以免他们受到毗邻的瑰洛瓦契人的侵凌。他派该犹斯·安几司久斯·雷琴纳斯进入安皮瓦来几人邦内;季度斯·塞克可久斯进人别都里及斯;该犹斯·坎宁纽斯·雷比勒斯进入卢登尼人邦内,各带一个军团。他又命令奎因都斯·图里乌斯·西塞罗和布勃奥斯·塞尔匹鸠斯驻扎在爱杜依邦内沿着阿拉河的卡皮隆湾姆和麦几斯哥,以保护粮运。他自己则决定在毕布拉克德过冬。当罗马城里从他的信中得知这次战事的消息时,通过了一次为时二十日的谢神祭。

    第八卷

    巴尔布斯,你不断责备我,似乎认为我天天谢绝执笔,不是由于知难而退,而是由于偷懒,这种责备使我不得不担起这件最艰巨的任务来。我给我们伟大的凯撒所著的关于高卢战争的记载,接上了一个续编,因为若不如此,他前面的著作和后面便衔接不起来;而他的最后著作,从亚历山大里亚战争以后未写完,我也给它续到结束——这所谓结束,当然不是指内争,内争看来是永远不会结束的,我说的只是凯撒生命的结束。我相信,今后读这本书的人,会体谅我承担写《战记》的任务是出于多么无奈;否则我因为插手凯撤的作品而招来无知、狂妄等等指责就不难避兔了。因为人们一致认为,即使别人极精心撰写出来的作品,都无一不在这部《战记》的优美文笔之下。这部《战记》的出版,虽说是要使史学家不致缺乏有关这些伟大事业的知识,但它所博得的众口一词的赞扬,反倒弄得史学家好象失去了一个机会,而不是得到了一个机会。不过,我们在这里给它的赞扬,要比别人给它的赞扬更多些,因为一般人只知道他怎样出色地、完善地写成了这些战记,但是我却知道他写作时是多么得心应手、一挥而就。凯撒不仅有最流畅和最雅致的文笔,而且还有最确切的技巧来表达自己的意图。我自己不曾有机会亲身参加亚历山大里亚和阿非利加战役。那些战役的一部分情况我是直接从凯撒本人的谈话中得知的;但是,我们在听新奇动人、使我们着迷的事情时,与听将要记述下来作为将来印证的事情时,注意方面总是有所不同的。虽然,尽管我事实上作了种种解释,希望不要把我跟凯撒相比,但我的这种想法,即居然敢认为有人会把我和凯撒相提并论,还是免不了要被指滴为狂妄的。

    再会。

    一、高卢当时已全部敉平,凯撒因为去年夏天以来,战争始终没停止过,希望能让军队在极度的辛劳之后,在冬令营中休息一番,恢复体力。但消息传来说:有许多国家,同时在策划新的战争,结成联盟。采取这种行动是有一定的理由的,据说,全高卢都知道,一方面,不管他们有多大数目的人员,要在一起集中着抵抗罗马人,总是办不到的;另一方面,如果有若干国家同时分别在几个地方进攻他们,罗马人就不会有足够的援助、足够的时间和兵力来应付这一切。因此,即使有什么困难要落到某一个国家的头上,但为了其他国家可以趁此机会获得自由起见,也应当把它担当下来。

    二、为了不让高卢人的这种想法得逞,凯撒派他军中的财务官马古斯。安东尼主持冬令营,自己在十二月的最后一天,带了一部分骑兵卫队,从毕布拉克德出发,赶到驻在别都里及斯境内、距爱杜依人边境不远的第十三军团的营地去,一面把驻在就近的第十一军团跟它联合起来。在各留下两个营守卫辎重之后,他带着其余部分进入别都里及斯最富饶的地区。正因为他们是占有大片领土和无数市镇的国家,所以只驻扎一个军团,决不足以防止他们准备战争和缔结同盟。

    三、凯撒的突然到来,给毫无准备、散漫杂乱的人带来了必然的结果。当骑兵突然杀奔他们时,他们正无忧无虑地在田里耕种,连逃进要塞去都来不及。因为就连敌人来袭击的最通常的征兆——一般以焚烧村落来识别——也都因凯撒的命令而受到禁止,他认为一则免得自己在进入敌境较远时就缺乏草料和谷物,再则也免得火光惊走敌人。成千上万人被俘虏,吓坏了别都里及斯人。那些一眼望到罗马人到来就首先飞奔逃脱的人,都躲进了邻近各邦,托庇于私人友谊或政治上的同盟。但毫无用处,由于极迅速的行军,凯撒横扫到所有各个地方,使每个国家除了为本身的安全着急之外,再没时间去关心别人的事情。由于这种行动迅速,他一方面使友邦保持着忠诚,同时也使那些动摇的人出于恐怖而接受了投降条款。别都里及斯人看到凯撒的仁慈,重新回到友好的道路仍旧敞开着,而且邻近各邦都没受到任何处罚,只要交纳了人质,便可以重新受到罗马的保护,因而,这种条件向他们一提出,他们便也照样做了。

    四、凯撒看到兵士们在这样隆冬的时候,经历了行军路上的巨大困难,在难于忍受的严寒之中,仍旧以极大的耐心在艰苦的条件下坚持工作,为了酬劳他们,答应给他们每人二百塞斯退司,每个百夫长二千,作为代替战利品的奖金。他于是把军团仍旧遣回冬令营,自己也在离开四十日之后回到毕布拉克德。正当他在那边主持审判时,别都里及斯人派使者来求他帮助抵抗卡尔奇德斯人,他们抱怨卡尔奇德斯人对他们发动了战争。接到这报告,他在冬令营中大约耽搁了不到十八天,就把第十四和第六两个军团从阿拉河上的营地中——正如《战记》的上一卷所说,这些军团是驻在那边保护粮源的——领出来,带着这两个军团,去讨伐卡尔乌德斯人。

    五、军队到达的消息传到敌人那边时,卡尔乌德斯人鉴于别人遭到的灾祸,放弃了村庄和市镇——这些都是在匆忙中建造起来应急的简陋的建筑,他们就躲在里面过冬,因为最近这次失败,使他们失去许多市镇——向四方逃窜。在这段时期里,暴风雨来得特别厉害,凯撒不愿让自己的军队遭受它的侵袭,便在卡尔省德斯人的市镇钦那布姆扎下营,把他的军队一部分安顿在高卢人房子里,一部分安顿在用茅草作屋顶掩覆着帐篷的建筑里,只骑兵和辅助部队的步兵还被派到据报有敌人出没的各地去。他们也并不徒劳往返,每次总是带着丰富的战利品回来。卡尔奇德斯人受不住冬天的艰苦,还须时刻提防危险,既被迫逃出家乡,又不敢在任何地方逗留时间过长,在正当暴风雨猖极的季节,他们在森林中也找不到躲藏之处,漂泊在外损失了大部分人之后,四散逃到邻近各邦去。

    六、这是一年中最艰苦的季节,凯撒认为目前能把集中了的一股股敌人驱散,免得爆发新的战争,已经足够了,而且根据种种理由推测,可以断定夏天以前,决不会引起重大的战斗,因之就派该犹斯·德来朋纽斯率领他那边的两个军团,驻扎在钦那布姆的冬令营中。他从雷米人频频派来的使者们那里得知作洛瓦契人——他们以骁勇善战的威名震慑全高卢和比尔及——及其邻近的国家,正在仰洛瓦契人科留斯和阿德来巴得斯人康缨斯的领导下,组织军队,并把它集中起来,企图以他们的全部兵力侵入雷米人的属邦苏威西翁内斯邦。凯撒认为决不可以听任这种灾难落到对共和国十分忠实的同盟者头上,这不仅仅牵涉到自己的荣誉,甚至关系到自己的安全问题。他重新把第十一军团从冬令营中召出来,此外,他又送信到该犹斯·费庇乌斯那边,叫他带着在他那边的两个军团进人苏威西翁内斯境内,并把季度斯·拉频弩斯的两个军团调来一个。这样,尽冬令营的条件许可和战略需要,经过他不断的苦心调度,使得出征的任务由各军团分别轮流担负起来。

    七、当这支军队集合起来时,他向停洛瓦契邦出发,在他们境内扎下了营。他派骑兵到四面八方去,把俘虏到的任何人带回来,以便从他们口中探询敌人的计划。骑兵完成了自己的任务,回报说,在房屋里只找到很少人,即便这些人也不是留下来种地——因为敌人的迁徙工作到处做得很彻底——而是被派回来做密探的。当询问他们关于神洛瓦契人的大队人马在什么地方、他们在作什么打算时,他发现,所有能拿起武器来的惨洛瓦契人都集中在一个地方,同他们在一起的还有阿姆比安尼人、奥来尔契人、卡来几人一维略卡萨斯人和阿德来巴得斯人,他们选择一个有沼泽包围的林中高地作为营地,还把所有的辎重都集中在一处更远的森林中。负责战事的领袖有几个,但绝大多数人却都听从科留斯的指挥,因为他们知道他对罗马人怀着最深刻的仇恨。几天以前,阿德来巴得斯人康缨斯离开营寨,到领土离他们最近、人口也最多的日耳曼人那边讨救兵去了。弹洛瓦契人在全体领袖的一致同意和平民们的热情拥护之下,决定如果凯撒此来,真如传说的那样,只带三个军团,就跟他作战,免得以后被迫在更艰难、更不利的条件下跟他的全部军队作战。如果凯撒带来的军队不止这一些,他们决定就坚守现在选定的那个地方,一面试用伏兵骚扰罗马人,不让他们取得目前因时令关系本已很稀少、很分散的牧草、谷物和其他一切给养。

    八、凯撒从许多俘虏彼此一致的报告中得知了此事,他认为他们提出来的计划,堪称十分谨慎,跟蛮族平时的轻率绝不相同,他就决定用一切可能的方法来引诱敌人,使敌人轻视他的兵力单薄,很快出来作战。事实上,他手头现有第七、第八、第九三个由勇猛无比的老兵组成的军团,以及由精选的极有前途的青年组成的第十一军团,它现在正在服第八年兵役,跟其余三个军团比起来,只是服役年限还没它们长,勇敢的声名还不及它们响。因而他召集了一个作战会议,把他获得的一切消息告诉了大家,然后对大家鼓励了一番。为要试一下是否可以伪装作只有三个军团,引敌人出来决战,他把进军的行列安排如下:第七、第八、第九三个军团走在辎重的前面,第十一军团则给全部辎重作后卫一一按照远征的常例来说,这次带的辎重是极少的——免得敌人一眼就着出我军大于他们准备迎战的数目。他这样一安排之后,就把军队排成一个差不多象矩形的阵列,在敌人还没预料到之前,已经带到他们面前。

    九、那些高卢人还不知道他们充满自信的计划已经被凯撒探想,当他们突然看到军团以战斗的阵形部伍森然地前进时,也把自己的部队在营寨前布列下来。然而,他们也许因为觉得战斗有些冒险,也许因为我军到得过于突然,或许还因为想看看我军作何打算,所以不离开那片高地。虽然凯撒急于战斗,但对他们的人数之多,也感到惊奇,就隔着一条虽然不阔、但却很深的峡谷,跟敌人的营寨面对面安下营来。他命令筑一道十二罗尺高的壁垒保卫住营寨,它上面再加上一道胸现高度跟它相称。又挖了两条宽各十五罗尺的壕沟,沟的双边都是垂直的。相隔不远就有一座三层高的木塔,彼此间由覆有盖顶的悬桥联结着,悬桥的正面也有一道树枝编的胸墙保护。他希望这两条壕沟再加上两列守兵,就能阻挡敌人对营寨的攻击。一列守兵安置在悬桥上,因为它的位置高,从而也比较安全,可以更无顾虑、更远地发射矢矛;另一列布置在距敌人比较近的壁垒本身上面,有悬桥可供掩护敌人的矢矛。他在进出口处安上了门,并且造了高耸的降望塔。

    一o、这项工事有双重意义。他希望这项防御工程的巨大和自己显出胆怯的模样,会引得蛮族更加自信,再则,当为了牧草和粮食,他不得不跑到更远的地方去时,这些工程使得守卫营寨的土作,只要少数人就可以担负下来。这时,双方常有少数人越过彼此营寨之间的那片沼泽,发生接触。有时我军的高卢人和日耳曼人同盟军,越过沼泽,猛烈地追击敌人,有时敌人也会冲过沼泽,逼得我军后退。加之,在每天的采牧活动中,也出现了不可避免的现象,即我军士兵不得不一点半点地到分散得老远的私人房舍中去找寻草料,散开的队伍就会在不利的地方受到包围,这种遭遇虽然只使我军的牲口和奴隶受到一些微不足道的损失,却激起了蛮族愚蠢可笑的幻觉,特别因为上面所说的到日耳曼人中去求救兵的康缨斯,这时已带了一些骑兵回来,他们的数目虽然不过五百人。但日耳曼人的到来,却给了蛮族一些可以信赖的东西。

    —一、凯撒注意到几天以来,敌人一直闭守在营寨里,而那营寨又有沼泽和它自身的地形捍卫着,不经过非常危险的激战。便不能攻占它,要用围困工事封锁它,也得有更大的兵力才行。因而他派人送信到德来朋纽斯那边去,叫他尽快把副将季度斯·塞克司久斯统率着在别都里及斯境内息冬的第十三军团先召到他自己那边,然后再由他带着三个军团,以急行军赶到凯撒这里来。他自己曾经在雷米人、林恭内斯人、以及别的邦中召来大批骑兵,这时他们轮流出去作采牧部队的护卫,以抵御敌人的突然袭击。

    一二、这事情天天在做,终由于任务的单调乏味,开始放松了平常的警惕,这正是在拖延时日的事情上常常会发生的。这时,换洛瓦契人已经摸准了我军斥候骑兵的日常哨岗的位置。他们选出一支步兵,埋伏在一个有密林掩蔽的地方。次日,又派一支骑兵到那地方去,先引诱我军进入包围圈,再进行攻击。这条诡计正好落在雷米人头上,恰巧这天轮到他们去执行这任务,当他们突然看到敌人骑兵时,轻视他们人少,倚仗自己人多得多,便过分热心地穷追猛赶,被敌人步兵四面围住。一遇到这意外,他们比之平常骑兵战斗时更快地陷入混乱,败退回来时丧失了他们国家的一个领袖维尔几司克斯,他也正是这批骑兵的指挥。虽然他已年迈,几乎连马都坐不住了,但依照高卢人的习俗,他不能以年龄为借口,推倭指挥的责任,而且他自己也不放心战斗时他不亲自在场。敌人在这次战斗中取得胜利,又杀掉一个雷米人的指挥官,马上精神振奋,得意洋洋起来。我们自己的军队却从这次灾难中吸取了教训,在布置哨岗之前,更加小心搜索各地,追逐敌人时也更加有克制。

    一三、这时,双方营寨都可以看见的战斗每天都不断,而且常常在沼泽的小径上和渡口发生。凯撒为了要配合骑兵作战而从莱茵河那边带过来的日耳曼人,有一次在这种交锋中越过沼泽,杀死了坚持不退的少数敌人,顽强地追逐其余敌军。这事引起了一场惊恐,不仅离开比较近因而被追到了的、以及虽在远处却也受了伤的,甚至停驻在很远一段路以外作为后援的也一样。他们的这场可耻的溃败并不就此终止,直到几次错过有利地形,一直被追到营寨门口才止,有的甚至出乖露丑地逃到更远的地方。他们的危险使全军陷入极度混乱。因此在他们中究竟小胜以后的傲慢算是主流、还是小败之后的恐怖算是主流也分不清了。

    一四、在这个营寨中度过几天后,使洛瓦契人的领袖们得知副将该犹斯·德来朋纽斯率领的军团正在逼近,害怕也发生象阿来西亚那样的围困,就决定在夜间把那些年龄或体力不适于作战、以及没有武装的人送走,其余的辎重也跟他们一起离开。当他们正在把这些惊慌失措、乱作一团的队伍——高卢人总带有大量车辆,即令在轻装前进时也是如此——编排起来时,天色已经大亮,他们害怕罗马人会趁这支辎重行列还没来得及赶出去一段路之前追赶他们,因而把武装部队带出来,列在营寨前面。然而凯撒却认为由于那上坡的路太陡,如果他们坚守不动,就绝对不应去攻击他们,但一定得把军团向前推进,距离他们近一些,不让他们不担丝毫风险地把队伍撤回去。他看到自己的营寨跟敌人的营寨被一片很深的沼泽分隔开,难于通过,使我们无法迅速追逐,而沼泽那边的那条山岭,山坡却几乎一直伸到敌人的营奉,营寨跟山岭之间只隔一个不大的山谷。他于是在沼泽上架起一项便桥,把他的军团带了过去,马上赶向那山岭上最高处的一块平地,它的两面都有陡削的崖壁保护着。他在那边整队后,又向山岭的尾端那一头推进,在一个可以利用机械向敌军大队发射矢予的地方,按战斗的阵形布列下来。

    一五、蛮族信赖那地方的地形,虽然如果罗马人试图登上那山时他们也不会拒绝一战,但他们却不敢把自己的军队一部分一部分地分开来遣走,怕分开之后会被冲乱,所以他们坚定地保持着阵列。凯撒注意到他们的固执,一面仍以二十个营列成战阵。一面就在那边量出地方来扎营,还命令给它筑上防御工事。工程完毕后,他把他的军团在壁垒前布下阵势,将骑兵布置在前哨,马也都给扣上笼头。当使洛瓦契人看到罗马军队准备追逐他们、他们又不能在那地方整夜地守下去,而且再等下去也难保不出危险时,他们决定用下述的计策退走。他们营中有大量草把和柴相,这时他们在坐的地方——凯撒在前面的《战记》中已经提过,高卢人在战斗的阵伍中是坐着的——把它们一个接一个传到前方,堆在队伍的最前一列。当天色渐渐暗下来时,一声号令便把它们一起点起火来,连续不断的火焰突然遮掩了他们的全军,使罗马人无法望见他们,蛮族便以极快的速度,乘这机会逃走。

    一六、凯撒虽然隔着火焰,看不见敌人撤退,但也猜到这是为了逃走而采取的计策,他推动军团前进,并且派骑兵队追上去,但由于害怕中伏,深恐敌人也许竟留在原地未动,只是想法把我军引到不利的地方去,因而他前进得十分缓慢。骑兵不敢进入浓密的烟火地带,即使勇敢得不惜一试的人,也几乎连自己的马头都看不见。由于害怕敌人的阴谋诡计,只得让使洛瓦契人从从容容地撤走。于是,他们在胆怯和狡猾兼而有之的情况下,毫无损失地逃出十罗里左右路程,在一个地势很险要的地方扎下营。在那边,他们屡次把骑兵和步兵布置埋伏,给罗马的采牧部队造成很大的损失。

    一七、这种事情一连发生几次以后,凯撒从一个俘虏口中了解到,使洛瓦契人的首领科留斯在全军中挑出最勇敢的六千步兵和一千骑兵,埋伏在一个富有谷物和牧草、估计罗马军队要派人去采牧的地方。得知这个计划时,凯撒带出比平常更多的军团一面仍照他的习惯,派骑兵前去作为采牧部队的护卫,同时在他们中间混进一些轻装的辅助部队。他自己带了军团尽可能靠近地紧跟着他们。

    一八、那些布置作为伏兵的高卢人,选定一片四面伸展不过一罗里宽的平地,作为行动的地点,平地的每一边都有茂密的森林或很深的河流包围着。他们布置了重重埋伏,象一张网似的包围着这地方。我军识破敌人的计划后,思想上和行动上都作下了战斗的准备,一队队行列井然地进入那块地方。有军团在他们背后,他们绝不怕一战。他们的到达,使科留斯认为动手的机会来了。第一个现身出来,带着少数人向最靠近的骑兵队发动攻击。我军奋勇抵抗伏兵的进攻,还注意到不挤拢到一起去,通常在骑兵战斗中,因为惊恐而发生这种拥挤现象时,光战斗人员太多这一点,就足以造成损失。

    一九、我军的骑兵就这样配置在各个地方,分散而又轮流地投入战斗,不让他们的同伙遭到包围。科留斯正在战斗时,其余的敌人也从树林中冲出来,在战场的各个地方开始了剧烈的搏斗。战斗不分胜负地拖延了一会之后,一支列成战斗队形的步兵从树林中一步步走出来,迫使我军骑兵败退下去。这时我们提到过的在军团之前派去插在骑兵中的轻装步兵,马上赶来支援他们,勇猛地战斗起来。战斗又经过一段时间没有分晓,于是,正象这次战斗的性质所决定的那样,已经挡住代兵第一次冲击的骑兵队,并没因为缺乏预见而招来任何损失,这时开始占得上风。同时军团也已步步逼近,我军方面和敌人方面同样不断地接到报告说;统帅已经带着列成战阵的军队到来。当听到这消息时,我军士卒仗着有军团前来协助,战斗得格外骁勇,唯恐行动得慢了一些,胜利的光荣会被军团分了去。敌人的斗志消沉下去,试图由不同的路溜走。但毫无用处,他们已经被那地方险阻的地形——他们本来是想利用它来围困罗马人的——紧紧封闭住。尽管他们已经被击败而且溃不成军,人员死伤了一大半,在万分惊惶中仍旧四散逃生,有的经由森林,有的奔向河边,但这些在奔逃中的人却都被热情追逐的我军所杀。不过,这时科密斯并没被灾难吓倒,既不肯听从劝说脱离战斗,退进森林,又不肯接安我们的号召投降,只顾奋勇地战斗,颇伤了一些人,激得出胜利而鼓舞着的我军愤怒地把他们的武器都集中着向他投去。

    二O、事情刚以这种方式结束,战斗的痕迹还宛然未动时,凯撒赶到了当地。他估计到这次惨祸已经使敌人一败涂地,在接到这消息后,他们也许会把离开这次大屠杀的场所不过八罗里的营地放弃掉。他明知有河流阻碍着他的路,但仍旧把军队领着过了河,向前推进。只是,已经有少数逃兵和受伤之后托底于森林、没遭到这场灾难的人,突然逃到神洛瓦契人和其他各邦人那边,使他们知道了自己的灾难。看到一切都对他们不利,科留斯已经被杀,他们的步兵和骑兵中最精锐的人也都已失去,特别当他们想象到罗马人已在向他们这里推进时,他们匆忙地用军号召集了一个会议,喧嚷着要派使者和人质到凯撒那边去。

    二一、当这个建议被大家采纳时,那个阿德来巴得斯人康缨斯逃到他曾去讨救兵来助战的日耳曼人那边去了。其余的人马上派使者来见凯撒,要求他满足于敌人已经受到的惩罚,他们相信,根据他一向的仁慈和宽大来说,即令他在他们的实力完整时。不经一战就能惩罚他们,也不至于罚得如此之惨。他们说,俾洛瓦契人的实力已经在骑兵战斗中丧失殆尽,好几千精选的步兵也被歼灭,几乎连一个逃出来报告这次惨祸的消息的人都没有剩下。只是,尽管这次灾难十分深重,俾洛瓦契人却也从这次战争中得到一桩好处,即那发起战争、煽动人民的科留斯被杀死了,因为当他在世时,长老会议在这般粗野的人民中间,从来也没得到过这么大的权力。

    二二、凯撒对作这番呼吁的使者们指出:前一年也是在这个时候,停洛瓦契人跟别的许多高卢人一同发动了战争,在所有各邦中,只有他们最顽固地坚持自己的主张,就在其他各邦都已投降之后,他们的头脑还没清醒过来。他很清楚地知道,把罪责推到死人身上去是最方便的事情,但是,要是首领们不同意,长老会议反对,再加上有身分地位的人一致拒绝,肯定不可能有什么人,一个人的力量大得单靠一批力不足道的乌合之众就能煽起、并进行一场战争的。虽说如此,他还是可以以他们自取的这场惩罚为满足的。

    二三、在翌日晚,使者们带着他的答复,回到自己国人那边去,准备人质。许多别的正在观望,想看看俾洛瓦契人弄出个什么结果来的国家,也都纷纷派来了使者。他们交纳了人质,执行了他的命令。只除了康缨斯,由于害怕,再不敢把自己个人的安全信托给任何人。因为在前一年,当凯撒在内高卢主持审判时,季度斯·拉频弩斯发现这个康缨斯在煽动一些国家,合谋反对凯撒。拉频弩斯原来也认为自己犯不着耍什么手段就可以惩罚他的不忠实。但是,他估计到康缨斯决不肯应召到他营里来,他也不愿轻易作任何尝试,使之更增加戒心,因此派该犯斯·沃卢森纳斯·夸特拉德斯借会谈为名,设法除掉他。拉频弩斯给了他一群被认为是适于这项工作而挑出来的百夫长。当他们到会上时,按照事先的安排,沃卢森纳斯执着康缨斯的手,一位百夫长不知是因为素没经过这种事所以慌乱,还是受到康缨斯的友人的迅速拦阻,没有能结果他。只是出手一剑,使他头上受了很重的伤。双方的剑都拔了出来,但双方都认为与其说是战斗要紧不如说是逃开要紧,因为我方的人相信康缨斯已经受了致命之伤,高卢人则已经认识到这是陷饼,深恐还有更多的阴谋在后头。经过这一番波折,据说康缨斯就下定决心永不再跟罗马人照面。

    二四、最最好战成性的那几个族就此被征服,凯撒看到已经再也没有一个国家会准备以战争来反对他,只是还有少数人离开城镇、逃出自己的国土,以躲避目前的屈服,他决定把军队分别派到几个地方去。他把带着第十二军团的军中财务官马古斯·安东尼日在自己身边;派副将该犹斯·费庇乌斯带二十五个营进入高卢最最边远的部分,因为他听到那边的某些国家正在兴兵起事,认为带着两个军团在那边的副将该犹斯·坎宁纽斯·雷比勒斯力量不够。他又召季度斯·拉频弩斯来到他这里,把跟拉频弩斯一起在冬令营的第十五军团派到长袍高卢去保护罗马公民的殖民地,防止有蛮族入侵,造成灾害,免得也跟去年夏天的塔吉斯几尼人那样,由于匪徒的突然侵入遭到灾难。他自己则动身去摧毁和掳掠安皮奥列克斯的国家,但鉴于他已经绝没有办法再把这个饱受惊吓的逃亡者弄到自己手中,认为为顾全自己的威信起见,最好能把他领土上的人民、建筑物和牲口弄个净绝,使那些幸而逃出性命的人,因为安皮奥列克斯给国家引来这样大的一场灾祸,对他恨之入骨,从而断绝了他回来的机会。

    二五、他把军团或辅助部队派到安皮奥列克斯的国家的每一个部分去,以屠杀、纵火和劫掠未彻底毁灭这个地区,并且杀死和捕获了大批人。然后他又派拉频弩斯带两个军团去讨伐德来维里人。这个国家由于接近日耳曼,并且每天都在训练作战,他们的风俗,差不多跟日耳曼人同样的野蛮,除非在军队的直接压力之下,从来也不肯俯首听命过。

    二六、同时,到将该犹斯·坎宁纽斯从杜拉久斯那边来的信件和使者口中得知,有大批敌人聚集在庇克东内斯人国内。杜拉久斯本国虽然有一部分已经叛变,但他还是始终保持着对罗马人的友谊。坎宁纽斯因此向勒蒙纳姆这个市镇赶去。当他走近它时,又从俘虏口中得到更确切的报道,知道杜拉久斯已经被安得斯人的首领杜姆奈克斯率领大批人马,围困在勒蒙纳姆城内,遭受攻击。坎宁纽斯不敢把力量单薄的军团跟敌人照面,就在一处形势险要的地方扎下营来。杜姆奈克斯知道坎宁纽斯到来,把他的全军调过头来对付军团,准备攻打罗马的营寨。攻营这件事情费了他好几天时间,虽然损失了大批人,工事却没有一处被突破了的,于是他又再转过头去围攻勒蒙纳姆。

    二七、这时,副将该犹斯·费庇乌斯已经使许多国家重新投归罗马保护,且交了人质作为保证,在接到该犹斯·坎宁纽斯·雷比勒斯的信时,才知道发生在庇克东内斯邦内的事情。根据这报告,他出发去援助杜拉久斯。但杜姆奈克斯一听到费庇乌斯到来的消息,感到如果自己一面被迫要抵御外来的敌人罗马人,一面又要时时返顾、警惕着城里的敌人,自己的安全难保,便突然带着自己的全部军队撤离那个地方。他认为自己只有把队伍带过那条非常宽阔、必须通过桥梁才能渡到对面的里杰尔河之后,才能真正得到安全。费庇乌斯虽还没赶到能被敌人看见的地方,也还没跟坎宁纽斯会师,但一经十分熟悉那边地势的人指点之后,就估计到在惊惶中的敌人一定会赶到他们现在确实要去的地方。于是他便也急急向那顶桥赶去,命令骑兵走在军团的行列前面,中间相隔的距离,以能赶回来跟自己一同宿营而不致使马匹过于疲乏为度。我军骑兵就按照命令一路赶去,攻击杜姆奈克斯的行列。这些在惊慌失措中奔逃的人,在辎重累赘的途程中受到攻击,被我军骑兵杀死许多人,还虏获了大批战利品。他们出色地完成任务后返回营寨。

    二八、第二天夜里;费庇乌斯又把骑兵派出去,指示他们去攻击和阻挠敌人的全部行列,直到他自己赶上来为止。为要按照指示完成任务,骑兵指挥官奎因都斯·阿几乌斯·瓦勒斯——一个极为英勇、沉着的战士——在鼓励了他的部下之后,扑向敌人的行列,把他的骑兵队一部分安置在一个适当的地点,另一部分投入战斗。敌人的骑兵因为有他们的步兵支援,战斗得比较勇敢,那些步兵把整个行列都停了下来,帮助骑兵抵御我军。随即发生一场激烈的战斗。我军骑兵本不把昨天被自己打败的敌人放在眼里,再加还记得有军团正在跟上来,羞于后退,急着要由自己来结束这场战斗,因此极勇敢地和步兵搏斗。敌人则依据他们前一天得到的报告,相信后面再没部队在赶上来,认为他们已得到一个歼灭我军骑兵的机会。

    二九、战斗极激烈地进行了一会之后,杜姆奈克斯把部队布列开来,以便他的步兵轮流着支援骑兵。这时。军团突然以密集的阵列进入敌人的视线之内。一看到他们,蛮族的骑兵慌乱起来,敌人的步兵行列也惊惶不止,一声发喊就四面乱窜逃生,把他们自己的辎重队冲得七零八落。于是,不久以前还在和顽抗的敌人英勇搏斗的我军骑兵,被胜利的喜悦所鼓舞;到处发出一片喊声,把想撤退的敌人四面围住。在这一役中,他们一直尽自己坐骑的力量所能追逐和尽自己的臂力所能砍析,放手追杀敌人,因而大约有一万二千以上敌人,包括武装着的或在惊恐中抛掉武器的都被我军所杀,全部辎重也都被截获。

    三0、在这次溃败之后,人们才知道有一个森农内斯人特拉丕斯,在高卢叛乱刚爆发时,就从各地招募亡命之徒。并用自由号召奴隶。一面又啸聚各国的逃亡者,而且窝藏了许多匪盗,就用这股兵力,切断罗马人的辎重和给养。这时,他带着从溃兵中聚集起来的二千左右人,向行省出发,《战记》前一卷告诉过我们的那个在高卢叛乱一开始时就想进攻行省的卡杜尔契人路克戴留斯,跟他勾结起来。因而,副将坎宁纽斯带着两个军团,急急赶去追赶他们,免得行省由于这帮憨不畏死的匪徒的暴行,引起伤害和惊恐,招来极大的耻辱。

    三一、该犹斯·费庇乌斯带着其余军队,出发去征讨卡尔奇德斯人和一些据他知道它们的军队在他跟杜姆奈克斯作战时也受到过打击的国家。他当然毫不怀疑,他们鉴于新近的灾难,会显得更加恭顺,但如果让他们有了喘息的机会和时间,他们也会重被杜姆奈克斯的号召鼓动起来。在这次重新收复这些国家的行动上,费庇乌斯真是异乎寻常地幸运和迅速。就连虽然常遭失利、却从未提出讲和过的卡尔奇德斯人,也交纳人质投降了。其余处在高声最最边远地界、邻近大洋的一些国家,即通常称为阿莫列克诸邦的,也因受到卡尔弯德斯人的影响,在费庇乌斯带着军团一到时,马上就毫不迟疑地接受了他的命令。杜姆奈克斯被自己的国家驱逐出去,被迫一个人偷偷地到处漂泊,到高声最最僻远的地方去找安身之处。

    三二、但特拉丕斯和路克戴留斯一听到坎宁纽斯和军团已在附近时,考虑到如果有一支军队跟在背后,要进入行省边境就难免不遭到一定损失。而且这时已经没有自由自在地出人和剽劫的机会,就在卡尔杜契人境内停驶下来。原先路克戴留斯在他的全盛时代,曾在那边他自已的同胞中间拥有极大的势力,而且作为一个发难起义的首领,在蛮族中间通常都有很大的影响。他带着自己的和特拉丕斯的部队,占领了一个叫做乌克萨洛登纳姆的市镇,这个市镇本来是他的领地,地理形势特别险要,他把镇上的居民加到自己的队伍中去。

    三三、该犹斯·坎宁纽斯也以极快的速度赶向那边。他看到这个市镇的各部分都由最陡峭的岩壁掩护着,即使没有人防守,武装了的部队也很难爬上去。同时他发现,镇上人有大量的辎重,如果他们想带着偷偷溜走,不但决逃不出骑兵之手,甚至也逃不出军团之手。因而,他把他的部队分成三支,在很高的地方扎下三个营,从那边开始,尽部队的力量所能及,逐步建筑一道围绕全市镇的壁垒。

    三四、镇上人看到这个情况,非常着急,他们还记得阿来西亚遭到的惨祸,深恐这次围困也会造成同样的后果,特别是路克戴密斯,他是经历过那次苦难的,警告他们要注意粮食供应。在一致同意下,两个领袖决定把他们的部队一部分留在那边,另外带一支轻装部队出去搬运粮食。这个计划得到赞同后,特拉丕斯和路克戴密斯在第二夜留二千人在镇上,带着其余的人高镇出发。经过不几天的时间,这批人从卡杜尔契人的领土内收集起大宗粮食——有些人热情地把粮食支援他们,有些人则是想阻止他们拿走,却没有办法。他们几次夜间出来行动,攻击我们的堡垒。所以该犹斯·坎宁纽斯只能把围绕全镇的封锁工事暂时先搁置下来,免得当它们完工以后,不能防守,或者被迫只能以过分单薄的部队布置在分散的据点中充任守卫。

    三五、收集起大宗粮食时,特拉丕斯和路克戴密斯在离镇不到十罗里的地方停驻下来,企图就从那边逐渐把粮食运到镇上去。首领们彼此分了工,特拉丕斯带一部分队伍留在那边守卫营寨,路克戴留斯领着牲口队到镇上去。因而他在那边一些地方分几处布置下若干接应部队之后,在晚上第十刻时开始,经由林中狭路,把粮食运到镇上去。我军营寨的哨岗注意到了嘈杂声,派出去的侦察人员回来报告了这种情况。坎宁纽斯带着就近堡垒中的处于戒备状态的几个营赶了去,在破晓以前攻击这支粮食运输队伍。在突然攻击之下,他们惊慌失措,四散奔逃到他们的接应部队那边去。我军一看到这些武装部队,马上格外骁勇地向他们杀去,连捉一个活的都不愿意。路克戴留斯带了少数随从从那边逃走,没有回到营里。

    三六、在胜利之后,坎宁纽斯从俘虏们口中得知,还有一部分军队跟特拉丕斯一起在不到十二罗里以外的营寨中。他从好几个人口中证实了这报告,认为一个领袖的溃败,一定使其余的人也都惊慌万状,不难把他们一举击败。他还感到,最幸运的是在这次大歼灭中,没有一个敌人能把他们遭到的惨运回去报告给特拉丕斯的。不过,他虽然知道这次出击绝没有危险,但仍旧把所有的骑兵和部队中最敏捷的日耳曼步兵,全都派出去走在最前面,向敌人的营寨出动,他自己在把一个军团分配到三个营寨去作为留守之后,带着另外一个军团,轻装前进。当他走到靠近敌人营寨时,他从他派在前面的侦察人员口中得知,按照蛮族一向的习惯,他们把营寨安扎在靠河岸的地方。高地却没占领。同时,日耳曼人和骑兵已经在他们毫无防备的情况下扑向他们,正在战斗着。接到这些报告,他把全副武装着并按战斗的阵形排列着的军团带上前去。随着一声号令,突然把那高地包围占领。这事情一发生,日耳曼人和骑兵就已经可以望到队伍的标志,马上以最热烈的情绪搏斗起来。军团也立刻从四面同时发动攻击,几乎所有的敌人不是被杀就是被俘,我军获得了大量战利品,特拉丕斯本人也在这次战斗中被俘。

    三七、在这场几乎没有一个士兵受伤的光辉胜利之后,坎宁纽斯回过头去围攻那些市镇里的人。原来就是因为害怕外围的敌人,所以他才不敢把队伍分散开,也不敢建筑围困镇上敌人的壕堑。这时外围的敌人已告消灭,他命令把四周的包围工事都建筑起来。次日,该犹斯·费庇乌斯也带着部队,来到他这里,分担一部分围困市镇的工程。

    三八、同时,凯撒让军中财务官马古斯·安东尼带领十五个营留在神洛瓦几人境内,使比尔及人不再有酝酿任何新阴谋的机会。他本人分别访问了其余许多邦,索取了许多人质,并用鼓励的活安抚了所有的人,使大家的恐惧之心安定下来。当他到卡尔奇德斯人邦内时,正如凯撒在他的《战记》前一章中所指出的那样,这是战事的发源地,他注意到由于他们自己感到有罪,特别觉得害怕。为了使这个邦的忧虑可以更快地消释,他提出了惩处这次犯罪的领袖和战争的煽动者古德鲁亚都斯,虽然这个人吓得连把自己的性命托付给本国同胞都不敢,但由于所有的人都积极起来参加搜索,迅速把他找了出来,交到大营。凯撒在蜂拥而来的兵士们——他们把这次战争的一切危险和损失,都看成是古德鲁亚斯的煽动促成的——的催逼下,不得不违反自己的本愿,把他渠首处决。

    三九、在这里,凯撒从坎宁纽斯不断的来信中得知跟特拉丕斯和路克戴密斯作战的经过,以及镇上居民顽抗到底的打算。虽然他并不重视这一小撮人,但他却肯定必须要对他们的顽抗给以严厉的惩罚,深恐否则全高卢人都会认为自己要反抗罗马人,不是缺乏力量,而是缺乏决心,其余各国也可能纷纷起来学他们的榜样,凭借险阻的地形,争取自由。他还了解,全高卢人都知道他的任期之中,已经只剩下一个夏季,如果他们能够支撑过去,便再没什么可怕的危险。因而。在把军团交给副将奎因都斯,卡伦纳斯带着,以普通的行军速度跟上来以后,他自己率领全部骑兵,以全速赶去跟坎宁纽斯相会。

    四0、凯撒出乎大家意外地到达乌克萨洛登纳姆。他注意到这个镇已经被围困工程包围,敌人再没机会能逃出这场围攻。他还从逃亡者口中得知镇上人的粮食供应很充裕,他就想办法切断他们的水源。乌克萨洛登纳姆所处在的这座山,四周都是陡峭的山壁,有一道峡谷把它团团围住,这条峡谷的底端,又有一条河流贯穿着。但当地的地形不允许他把这条河里的水决到别的地方去,因为它的河床已经在山底的最低处,无论多少深的泄水渠也不可能再把它引到别的低地去。但镇上的人到河边去却要经过一段很陡急的下坡路,因此我军可以很容易地阻止他们走到河边或退回到那条陡峭的上坡路上去,不用担心自己会发生伤亡。凯撒注意到他们的这种困难,就在那边布置下弓警手和投石手,进一步又在一些最易于下山的所在的对面,安放一些管机,不让镇上人得到河水。

    四一、从而,大批担水的人都集中到紧靠着城墙脚下的一个有一大股泉水涌出来的地方去。环绕着市镇的那条河流,也就是在这一面中断了,留下一段约三百罗尺长的缺口。所有罗马人都希望把镇上人和这股泉水隔济,只有凯撒一个人才看出应该怎样着手。面对着那地方,他开始把盾车朝着山推过去,在极大的努力之下,在每天不断的战斗之中,筑起一道壁垒。镇上人踞高临下的冲击和毫无风险的远距离掷射,伤害了许多顽强地逐步推进那工事的人。尽管这样,我军还是毫不畏缩,以极艰苦的工作克服地形上的困难,推着盾车前进。就在这时,他们在盾车的掩护下,逐渐挖掘地道向前,抵达那泉水的源头所在。这种工程不会有任何危险,可以在敌人毫不怀疑的情况下进行。壁垒造得有六十罗尺高,上面安放着一个十层高的木塔,当然这还不能达到城墙那么高,任何攻城的器具都不可能高得那样,只是高出于泉头而已。当我军的机械开始从塔上向通向泉水的那条路上发射管欠时,镇上取水的人就不得不冒历危险了。这时,不仅家畜和运输的牲口,就连敌人的人员中间也有大批人濒于渴死。

    四二、面临着这种危险的威胁,镇上人把桶装着油脂、松香和木柴,点着火后,投上我军的工事,一面又激烈地开展搏斗,希望以战斗的危险率制住罗马人,使他们无法分身救火。工事上立刻燃起大火,因为他们从悬崖上掷下来的东西全被盾车和壁垒挡住落在那边,就也把火引向所有碰到东西上去。另一方面,虽然这场战斗的方式很危险,位置又很不利,但我军仍旧以极坚强的精神忍受着种种困难,由于这场战斗是在极高、而且我军都看得到的地方进行的,所以双方都发出大声呼噪。每个人因此也都竭尽全力,同样奋不顾身地面向着敌人的矢志和火焰,以求自己的英勇被大家所知道和证实。

    四三、看到自己有不少人受伤,凯撒命令一些营从市镇的四面攀登上去,假作攻城,到处发出一片喊声。这一行动惊动了镇上人,当他们还猜不透别的地方发生了什么事故时,他们就把在工事上冒险攻击的人都召了回去,把他们布置在城上。我军在战斗停止时,很快把工事上的火扑灭,或者把工事着火的地方切断一部分。虽然镇上人继续奋勇抵抗。一甚至因为缺水使他们损失了大部分人时,还是抱定决心,百折不回。直到最后,由于利用地道,泉水的通道被切断了,水源改变了方向,一下子就使那泪泊不息的泉水突然干涸。镇上人绝望之余,竟把这当做不是人力所为,而是神灵的意志,因此出于无奈,被迫投降。

    四四、凯撒知道自己的仁慈是众所共知的,绝不怕给了他们严厉的处分之后,人家会疑心这是由于他的本性残暴。他还考虑到,如果再有一些别的地方,继续以同样的方式试行叛乱,他的计划就永无完成的一天,因而必须以一次示范性的处罚来禁止其他人效尤。他命令把所有拿起武器作战过的人的手都砍掉,然后饶了他们的性命,作为作恶必受惩罚的铁证。前面提到过的被坎宁纽斯俘获的特拉丕斯,不知是由于对自己的被拘国感到耻辱和悲愤,还是害怕更加惨酷的处罚,绝食了几天使死去。同时,正如我所说,在战斗中逃出去的路克戴留斯,觉得自己一定是凯撒恨如切骨的敌人,感到在一个地方耽搁得太久难免要出危险,便时刻调换住址,把自己信托给许多人的荣誉,但也终于落入一个叫厄巴司奈克都斯的阿浮尔尼人手中。这时,这个罗马人最亲密的友人阿浮尔尼人厄巴司奈克都斯毫不迟疑地把他锁起来,送交凯撒。

    四五、这时,在德来维里邦中,拉频弩斯作了一次成功的骑兵战斗,杀死不少德来维里人和从不拒绝帮助任何国家对抗罗马人的日耳曼人。他还活捉了他们的一些首领,其中有爱杜依人苏勒斯,这是一个无论就勇悍说还是就家世说,同样都出类拔革的人,而且是到这时为止,爱杜依人中唯一还没放下武器的人。

    四六、得到这报告,凯撒看到高卢各地的情况,都进展得很顺利,他深信经过这夏的战争,高卢已经被完全击败和征服了。但阿奎丹尼的部分地区,虽经布勃留斯·克拉苏斯的作战,已经被征眼,但他自己却从未去访问过。于是他带着两个军团,向高卢的这一部分出发,准备把夏天的最后一段时间花在那边。正跟所有别的时候一样,他迅速而又成功地完成了这个工作,因为所有阿奎丹尼各邦都派来了使者,交来了人质。这些事情完成后,他带一支骑兵卫队出发到东波去,军团则交由副将们领着进入冬令营。他把四个军团交给马古斯·安东尼、该犹斯·德来朋纽斯和布勃留斯·瓦金纽斯带着驻在比尔及。鉴于爱杜依人的威望是全高卢独一无二的,就派另外的两个军团进驻他们的领域。他又把两个军团安置在都龙耐斯人中间,靠近卡尔乌德斯人的领域,以控制濒临大洋的整个地区。余下的两个军团安置在距阿浮尔尼不远的雷穆维契人境内,使全高卢没有一个地区没有罗马军队。他自己在行省耽搁了不多几天,就很迅速地周历了各地的巡回审判会,听取了公务上的纠纷,并把奖赏颁给了应得的人,因为这次高卢普遍的大叛乱,给了他一个了解每个人对共和国态度的绝好机会,正是依靠了那个行省的忠诚和支持,他才对付得了这次叛乱的。他口到驻在比尔及的军团,在纳梅托钦那过了冬。

    四七、他在那边知道那阿德来巴得斯人康缨斯曾经跟罗马骑兵发生过遭遇战。当安东尼进入驻地时,阿德来巴得斯邦是忠顺的,但康缨斯经过我前述的那次受伤事件后,就随时毫不疑迟地参加一切牵涉到他本国人的起事,总之只要他们有心作战,就不会少他这样一个发动和领导的人。这时他的国家投降了罗马人,他就依靠自己的骑兵,以匪盗行为养活自己本人和他的追随者,在拦路抢劫中截取送给养到罗马营地去的一些运输队。

    四八、跟安东尼在一起过冬的该犹斯·沃卢森纳斯·夸特拉德斯,是附在他部下的骑兵指挥官。安东尼派他去追逐敌人的骑兵。沃卢森纳斯在自己本人的非凡勇敢之上,还加上有对康缨斯的无比愤恨,因而更加乐意去完成这个任务。在布置下几处埋伏之后,他不时对康缨斯的骑兵展开攻击,获得胜利。最后,在一次比平常更加激烈的战斗中,沃卢森纳斯企图截获康缨斯本人,带着少数部下追逐得过于热心了些,康缨斯在疯狂似的逃窜中,把沃卢森纳斯引得比平常更远。出于对罗马人的痛恨,他突然向所有在一起的人的忠诚呼吁,请求他们帮助,万勿让别人背信弃义给他受的伤,白白地流血,得不到报复。于是,他转过马来,丢下其余的人,拼命向罗马的指挥官冲去,所有骑兵也同样转过身来跟着他,追逐我军这一小支部队。康缨斯催着他的马,驰到沃卢森纳斯的马近旁,举起矛用尽全力一下把他的大腿中部刺穿。我军看到他们的指挥官受伤,马上毫不犹豫地站住,转过马来驱逐敌人。这一来,有些敌人受到我军的猛烈冲击,受伤溃退,有些在奔驰逃走中被踏死,又有些被我军俘获。他们的领袖却倚恃马的速度逃出这种恶运。虽说打了胜仗,我们的指挥官却受了严重的伤,看来似乎生命都有危险,被带回营寨。康缨斯不知是认为已经报了仇,怨恨消释了呢,还是因为大部分部下已经丧失,也派使者来见安东尼,愿意交纳人质,保证安东尼要他到什么地方去,他就到什么地方去,安东尼的所有命令也都执行,只要求照顾到他的恐惧之心,给他这样一点让步,即不要强迫他到任何罗马人面前来。安东尼认为他的要求是出于一种不无理由的恐惧,因此曲询其清,接受了他的人质。

    我知道,凯撒是分别把每一年写作一卷《战记》的,但我认为自已没有这样做的必要,因为在次年,即卢契乌斯·保卢斯和该犹斯·迈开路斯任执政官的一年,高卢并没有什么特别重大的事迹可记。但为了免得有人不了解他和他的军队在这段时间中所处的地位,我决定略级数语在这卷《战记》之末。

    四九、凯撒在比尔及过冬时,他抱有一个具体的目的,即保持跟各国的友好,不让任何国家起战争的念头和有战争的借口。实际上他最最不希望的事情就是在他即将离开行省的前夕,被迫纠缠到战争中去,这样便会在他一旦要带着军队离开时,在自己背后留下一场战争,高卢人会认为反正目前再没付么危险要担心,都高高兴兴地参加进去。因此,他用种种方法——以殷勤有礼的语言接待他们的国家、馈造丰厚的礼物给他们的首领、不增加他们新的负担等等——顺利地使多次失败后精疲力尽的高卢,在更加驯服的情况下保持着和平。

    五0、冬季过去时,他一反往常惯例,以尽可能快的速度赶到意大利,向各自治城镇和殖民地发出呼吁,把他的军中财务官马古斯·安东尼作为乌卜祭司的竞选人推荐给他们,不久以前他已遣安东尼动身去进行竞选,一方面,他很乐意以自己的威信来帮助最最亲密的友人竞选,但另一方面,他之所以热心这样做,还在于抵制那少数人结成的有力帮派,他们企图借击败马古斯·安东尼来损毁即将离任的凯撒的人望。虽然他在路上听到说,在他到意大利以前,安东尼已经当选上乌卜祭司,但他觉得还是同样应该去访问这些自治城市和殖民地,一则谢谢他们热心赞助,以这样多的人去参加选举,支持安东尼,同时也把自己作为来年的执政官竞选者推荐给他们。因为他的对方傲慢地吹嘘说,卢契乌斯·论都路斯和该犹斯·迈开路斯已经被选为执政官,他们将会把凯撒所有的官职和荣誉都剥夺掉;还说,这执政官的位置是从塞维乌斯·盖尔巴手里硬夺下来的,为的是盖尔巴跟凯撒有密切的关系——除私人友谊外,还担任着他的副将,虽然无论就人里还是就选票来说,盖尔巴都远超过对方。

    五一、所有的自治市和殖民地都以难于想象的荣誉和热爱来欢迎凯撒,因为这是他对全高卢联合作战取得胜利之后第一次到来。一切可以用来装饰城门、道路和凯撒经过的每一个地方的手段,都尽量用上了。所有的人都带着孩子跑来欢迎他,到处都献奉牺牲,市场上和神庙中也无处不陈设着祭席,似乎在提前举行一次渴望了很久很久的凯旋庆祝似的。有钱人的豪奢和穷人的热情都表现得淋漓尽致。

    五二、在很快通过长袍高卢的各个地区后,凯撒以全速赶回纳梅托钦那的军中,把各个军团都从冬令营中召到德来维里邦来,自己也赶到那边,检阅了军队。他把整个长袍高卢托付给季度斯·拉频弩斯,希望能争取到这些地区,使自己在竞选执政官时得到更有力的支持。他自己一面也行军到尽可能远的地方,直到他认为新的环境已经足够增进军队的健康为止。他在行军途中虽然常常听到有人说,拉频弩斯正在受到他的敌人的引诱;还有人向他保证说,正有少数人在策划,企图让元老院通过一条议案,夺走他的一部分军队。但他毫不相信关于拉频弩斯的事情,也不可能被刺激得采取任何反对元老院决议的行动。他断定,只要元老院还能够自由表决,他的要求就不难达到,因为已经有一位人民保民官该犹斯·居里阿起来捍卫凯撒的事业和地泣,他几次向元老院提出:如果有人因为害怕凯撒的武力,心中惴惴不安,那末,庞培的权力和武装,在公众中引起的恐惧,正也相仿。他建议双方都放下兵权、解散部队,这样,国家才能自由自主。他不仅光这样提议,还设法让元老院就这个问题分班表决通过它,但被执政官和庞培的党徒插进来阻止,用拖延的方法取消了这个尝试。

    五三、这是一个很重要的证据,可以说明元老院的齐心一致,而且是和他们以前的行动完全相符的。去年,迈开路斯在向凯撒发动攻击时,违反了庞培和克拉苏斯建议通过的一条法律,即在限期没到以前就向元老院提出有关凯撒行省问题的建议。大家表示了意见,迈开路斯竭力煽动对凯撒的仇恨,借此来博取自己的威信。但在进行分班表决时,整个元老院都站到反对方面去。只是,这些挫折并没有使凯撒的敌人气馁,只提醒他们去进一步找寻更有力的论点,迫使元老院不得不同意他们私下已经商定了的事情。

    五四、于是,元老院作出一个决议说,为了安息的战事,克耐犹斯·庞培必须派去一个军团,该犹斯·凯撒也得派一个去。显然,这两个军团是要从一个人手里抽出来的,因为庞培派到凯撒那边去的第一军团,虽然原来是从凯撒的行省里征集人员组成的,庞培却当作自己的交了出来。至于凯撒,尽管对方的意图已经昭然若揭,他却仍把那个军团遣送回去给了庞培,而且作为自己的名分,又把他留在内高卢的第十五军团,按照元老院的决议交了出去。一面,他把第十三军团派到意大利去作为替代,守卫第十五军团抽走后留下来的防地。他自己替军队分配了冬令营:派该犹斯·德来朋纽斯带四个军团驻在比尔及,又派该犹斯·费庇乌斯带着同样数目的军团进人爱杜依邦内,因为他认为保持高卢安全最好的办法,莫过于以军队控制住一个最骁勇善战的比尔及,一个威信最著的爱杜依。他自己出发向意大利去。

    五五、当他到那边时,他得知自己交回去的两个军团,根据元老院的决议,原该是出发去参加安息之战的,但却被执政官该犹斯·迈开路斯交给了克耐犹斯·庞培,留在意大利。这种行为,已经使任何人不会再怀疑他们在准备怎样对付凯撒。虽则如此,他还是准备忍受一切,只要事情有合法解决的希望,哪怕只是一线希望,就不必诉诸武力。他敦促……

  • 尼采《偶像的黄昏》

    偶像的黄昏01

    1889

    1

    在一切时代,最智慧的人对生命都作了相同的判断:它毫无用处……无论何时何地,从他们嘴里听到的总是同一种声调,——一种充满怀疑、充满忧伤、充满对生命的厌倦的声调。连苏格拉底在临死时也说:“活着——就意味着长久生病:我欠拯救者阿斯克列比亚斯(asklepios)一只公鸡。”连苏格拉底似乎也厌倦了生命。——这表明什么?这指点人们走向何处?—从前人们会说(哦,人们确实说了,而且理直气壮,我们的悲观主义者带的头!):“这里无论如何有点东西是真的!consensus sapientium①证明了真理。”——我们今天还要这样说吗?我们可以这样吗?“这里无论如何有点东西患了病的。”——我们这样回答。这些历代最智慧的人,人们应当开始就近观察他们!也许他们全都不再站得稳?都迟暮了?都摇摇欲坠了?都颓废了?也许智慧之出现在世上,就象一只闻到腐尸气息而兴奋的乌鸦?……

    ——–

    ①拉丁文:智者的一致。

    2

    正是在博学的和鄙陋的偏见都强烈反对这些伟大智者的场合,我心中首次浮现这个不敬的想法:他们是衰败的典型。我把苏格拉底和柏拉图看作衰落的征兆,,希腊解体的工具,伪希腊人、反希腊人(见1872年出版的《悲剧的诞生》)。所谓consensus sapientium①(我对之愈来愈琢磨透了)完全不能证明,这些智者因为对某个问题看法一致,他们便是正确的;毋宁说是证明,他们本身,这些最智慧的人,在心理的某个方面是一致的,因而以相同的方式否定——也必定否定——生命。关于生命的判断、价值判断,对生命的肯定或否定,归根到底决不可能是真的;它们仅仅作为征兆而有价值,它们仅仅作为征兆而被考察,——此类判断本身是愚蠢的。一个人必须全力以赴地尝试领悟这个惊人奥妙:生命的价值不可能被估定。不能被一个活人估定,因为这样一位当事人甚至于是争论的对象,而不是裁判;也不能被一个死人估定,当然出自另一种理由。——就一个哲学家而言,倘若总是这样把生命的价值看作一个问题,便应对他的资格提出异议,给他的智慧打上问号,认为他的行为是不智的。——怎么?所有这些伟大的智者——他们莫非只是颓废者,他们未尝是智慧的?——但是,言归正传,我来谈谈苏格拉底的问题。

    ——–

    ①拉丁文,智者的一致。

    3

    苏格拉底就其出身而言属于最底层民众:苏格拉底是贱民。大家知道,甚至还看到,他有多么丑陋。然而,丑陋本身是个异议,在希腊人中近乎是个反证。苏格拉底究竟是希腊人吗?丑陋常意是通过杂交并且因杂交而受阻碍的发展的标记。在另一种情况下,它表现为正在衰落的发展。犯罪人类学家告诉我们,典型的罪犯是丑陋的:monstrum in fronte,monstrum in animo①。但罪犯是一个颓废者。苏格拉底是一个典型的罪犯吗?——至少那位著名的观相家的判断与此并不相悖,苏格拉底的朋友们听起来是很不入耳的。一个善于看相的异邦人路过雅典,当面对苏格拉底说,他兴许是个怪物,——他心中隐藏着一切恶习和情欲。而苏格拉底只是答道:“您了解我,先生!”

    ——–

    ①拉丁文:容貌的凶兆,灵魂的凶兆。

    4

    不仅业已承认的本能的放荡和混乱表明了苏格拉底的颓废,而且,逻辑的重孕以及使他闻名的那种佝偻病人的恶毒也表明了这一点。我们也不要忘掉那种听觉的幻觉,例如“苏格拉底的恶魔”,它被人们从宗教意义上加以解释。他身上的一切都是夸张的、滑稽的、漫画化的,同时一切又都是隐匿的、机密的、躲躲闪闪的。——我想弄明白,苏格拉底的那个等式,世上最稀奇古怪的等式,“理性=美德=幸福”,究竟出自何种特异体质,这一等式是同古希腊人的全部本能背道而驰的。

    5

    由于苏格拉底,希腊人的趣味转而热衷于辩证法,这究竟意味着什么?首先是一种高贵的趣味籍此而被战胜了;贱民凭藉辩证法占了上风。在苏格拉底之前,辩证法是被好社会拒斥的,它被视为歪门邪道,它使人出丑。人们告诫青年人提防它,人们也不信任它炫耀理由的整个姿态。就象老实人一样,真货色并不这样炫耀自己的理由。拼命炫耀理由是不体面的。凡必须先加证明的东西都没有多少价值。无论何处,只要优良风俗仍有威信,只要人们不是“申述理由”而是发号施令,辩证法家在那里就是一种丑角,人们嘲笑他,并不认真看待他。——苏格拉底是一个使人认真看待自己的丑角,这究竟意味着什么?

    6

    一个人只有在别无办法之时,才选择辩证法。他知道,运用辩证法会引起人们对他的不信任,辩证法缺乏说服力。没有什么东西比一个辩证法家的影响更容易消除了,每一次讲演大会的经验都证明了这一点。辩证法只是一个黔驴技穷的人手中的权宜之计。在使用辩证法之前、一个人必须先强行获得他的权利。所以,犹太人是辩证法家,列那狐(reineckefuchs)是辩证法家:怎么?苏格拉底也是辩证法家?

    7

    苏格拉底的讽喻可是一种叛乱的表现?可是一种贱民怨恨的表现?他可象一个受压迫者那样在三段论的刺击中品味他自己的残忍?他可是在向受他魅惑的高贵者复仇?——辩证法家手持一件无情的工具;他可以靠它成为暴君;他用自己的胜利来出别人的丑。辩证法家听任他的对手证明自己不是白痴,他使对手激怒,又使对手绝望。辩证法家扣留他的对手的理智。——怎么?在苏格拉底身上,辩证法只是一种复仇的方式?

    8

    我已经说明,苏格拉底何以令人反感;现在要更多地谈谈他的魅惑手法。——其中之一是他发现了一种新的竞技,他是雅典贵族圈子的第一个击剑大师。他撩拨希腊人的竞技冲动,以此魅惑他们,——他给青年男子与少年之间的角斗带来一个变种。苏格拉底也是一个大色情狂。

    9

    但是,苏格拉底猜到了更多的东西。他看透了他的高贵的雅典人;他明白,他的病例、他的病例的特质已经不是例外。到处都在悄悄酝酿着同样的衰退,古老的雅典气数已尽。——而苏格拉底知道,全世界都需要他,——他的方法,他的治疗,他的自我保存的个人技巧……本能到处陷入混乱之中;人们到处距纵欲近在咫尺:monstrum in animo①已是普遍危险。“冲动要成为暴君;必须找一个更强有力的反暴君”……当那位观相家向苏格拉底揭穿他的真相,说他是一切邪恶欲念的渊薮之时,这位伟大的讽喻家还宣布了一句话,为我们理解他提供了钥匙。他说:“这是真的,但我要成为这一切的主人。”苏格拉底怎样成为自己的主人呢?——他的例子归根到底只是一极端例子,只是当时已经开始的那种普遍困境中的最触目的例子:不再有人是自己的主人,本能与本能互相反对。他作为这样的极端例子有魅惑力——他的令人害怕的丑陋使这极端例子有目共睹;当然,他作为答案、解决方法、这一病例已获治疗的假象,有更强的魅惑力。

    ——–

    ①拉丁文:灵魂的凶兆。

    10

    倘若一个不得不理性变成暴君,如苏格拉底所为,那么必是因为有不小的危险,别的什么东西已成为暴君。这时,理性被设想为救星,无论苏格拉底还是他的“病人们”都不能随心所欲地成为有理性的,——这是de rigueur①,这是他们的狐注一掷。整个希腊思想都狂热地诉诸理性,这表明了一种困境:人们已陷于危险,只有一个选择:或者毁灭,或者——成为荒谬的有理性的人……自柏拉图以来的希腊哲学家的道德主义是有病理学根源的;他们对辩证法的重视也是如此。“理性=美德=幸福”仅仅意味着:人们必须仿效苏格拉底,制造一个永恒的白昼——理性的白昼——以对抗黑暗的欲望。无论如何必须理智、清醒、明白,向本能和无意识让步会导致崩溃……

    ——–

    ①法文:严格规定的。

    11

    我业已说明,苏格拉底靠什么魅惑人们:他似乎是一个医生、一个拯救者。还有没有必要指出他对“绝对理性”的信仰中所包含的错误呢?——哲学家和道德家以为,他们与颓废作战,便是摆脱了颓废,这乃是一种自欺。摆脱颓废是他们力不能及的:他们所选择的救援手段本身也仅是颓废的一种表现——他们改变颓废的表现,却没有消除颓废本身。苏格拉底是一个误会;整个劝善的道德,包括基督教道德,都是一个误会……耀眼的白昼,绝对理性,清醒、冷静、审慎、自觉、排斥本能、反对本能的生活,本身仅是一种疾病,另一种疾病——全然不是通往“德行”、“健康”、幸福的复归之路……必须克服本能——这是颓废的公式。只要生命在上升,幸福便与本能相等。

    12

    ——这个一切自欺者中的最聪明的人,他自己也领悟这个道理了吗?他在他勇敢赴死的智慧中终于向自己说出这个道理了吗?……苏格拉底但求一死:——并非雅典人、而是他自己给自己下毒的,他向雅典人强索毒鸩……他轻轻对自己说:“苏格拉底不是医生,在这里死亡才是医生……苏格拉底本身只是一个久病者……”

    02 哲学中的“理性”

    1

    您问我,哲学家都有些什么特性?……譬如:他们缺乏历史感,他们仇恨生成观念,他们的埃及主义(‘毠a’gyptib cismns)。当他们把一件事物非历史化,sub specieaeterni①,当他们把它制作成一个木乃伊之时,他们自以为是在向它致敬。几千年凡经哲学家处理的一切都变成了概念木乃伊;没有一件真实的东西活着逃脱他们的手掌。这些概念偶像的侍从先生,当他们崇拜之时,他们是宰杀,是在剥制,——当他们崇拜之时,他们使一切事物有了生命危险。死亡、变化、年代如同生育和生长一样,对于他们来说是异议——甚至是反驳。存在者不变化;变化者不存在……他们全都(甚至怀着绝望之心)信仰存在者。可是,他们得不到它,于是探寻它被扣压的缘由。“必定有一种假象,一种欺骗,使我们不能感知存在者,骗子躲在何处呢?”他们欣喜地大叫:“我们找到他了,他就是感性!这些感官,它们一向也是如此不道德,正是它们向我们隐瞒了真正的世界。道德便是:摆脱感官的欺骗,摆脱生成,摆脱历史,摆脱谎言,——历史无非是对感官的信仰,对谎言的信仰。道德便是:否定对感官的一切信仰,否定人性的全部残余,所有这些全是‘民众’。做哲学家吧,做木乃伊吧,用掘墓人的表情体现单调的一神论吧!——尤其要抛开肉体,感官的这个可怜见儿的idéefixe!②它带有逻辑所指出、反驳、甚至无法反驳的一切错误,无法反驳是因为它如此狂妄,俨然作为真实的存在而行动了!”……

    ——–

    ①拉丁文:从永恒观点看。

    ②法文:固定观念。

    2

    我怀着崇高的敬意对赫拉克利特之英名刮目相看。别的哲学家派别拒绝感官的证据是因为它们显示了多与变。他拒绝感官的证据则是因为它们显示了事物,仿佛事物拥有持续与统一似的。但赫拉克利特对感官也不公平。感官既不以爱利亚学派所认为的方式、也不以他所认为的方式说谎,——它们根本不说谎。只是在我们对它们的证据进行加工时,才在其中塞进了谎言,例如统一的谎言,物性、实体、持续的谎言……“理性”是我们窜改感官证据的根源。只要感官显示生成、流逝、变化、它们就没有说谎……但赫拉克利特在这一点上始终是对的:存在(sein)是一个空洞的虚构。“假象”的世界是唯一的世界;“真正的世界”只是笥编造出来的……

    3

    ——而我们的感官是多么精致的观察工具呵!譬如鼻子,还不曾有一个哲学家怀着敬意和感激谈论它,它暂时甚至是我们所支配的最巧妙的仪器,能够辩别连分光镜也辩别不了的最微小的移动。我们今天拥有科学恰好到了这一地步,使我们下决心去接受感官的证据,——去学会锐化感官,武装感官,透彻思考感官。其余的是畸胎和尚未成形的科学,我是指形而上学、神学、心理学、认识论;或者形式科学和符号学说,例如逻辑与应用逻辑——数学。在这些科学中,实在性根本不存在,未尝是个问题;就象逻辑这样的约定符号到底有何价值的问题未尝是个问题一样。

    4

    哲学家们的另一种特性也同样危险,这种特性就是混淆始末。他们把最后到来的东西(可惜!因为它根本不会到来)设置为“最高的概念”,也就是说,最普遍、最空洞的概念,现实所蒸发的最后水汽一开始就作为开端。这又不过是他们那种崇敬的表现:高级的东西不允许从低级的东西中生长出来,根本不允许生长而成……道德:一切第一等级的事物必须是causasui①。来源于他物被视为异议,被视为对价值的疑义。一切最高价值都属于第一等级,一切最高概念,存在者,绝对者,善,真,完美——这一切不可能是生成的,所以必须是causa sui。但是,这一切也不可能彼此不等,不可能自相矛盾……于是他们有了“上帝”这个惊人的概念……最后的、最稀薄的、最空洞的东西被设定为最初的东西,自因,ens realissimum②……人类一定要认真对待病蜘蛛的脑疾!——他为之已经付出过昂贵的代价!……

    ——–

    ①拉丁文:自因。

    ②最真实的存在。

    5

    最后,我们来考察一下,我们(我说“我们”是出于礼貌……)以怎样不同的方式把握视觉错误和假象的问题。从前,一般来说,人们把转化、变化、生成看作假象的证明,看作必定有某种引我们入迷途的东西存在的标记。今天,我们反过来看,恰好至于理性的偏见驱使我们设置统一、同一、持续、实体、始因、物性、存在的地步,在一定程度上把我们卷入错误,强制我们发生错误;我们可以根据严格的核算确定这里有错误。这种情形与巨星的运行并无二致:在后者,是我们的眼睛发生错误,在前者,可用我们的语言替错误作持久的辩护。语言就其起源来说属于心理最退化的形式的时期:当我们意识到语言形而上学的基本假设——用德语说便是理性——之时,我们便进入一种野蛮的拜物生灵之中了。他到处看见行为者和行为,他相信意志是普遍的始因;他相信“自我”,作为存在的“自我”,作为实体的自我,并且把对于“自我——实体”的信仰投射于万物——他藉此才创造了“物”这个概念……存在到处被设想、假托为始因;从“自我”概念之中方才引伸、派生出了“存在”概念……在开端就笼罩着错误的巨大厄运,误以为意志是起作用的东西,意志是一种能力……我们现在知道,它不过是一个词儿罢了……很久以后,在一个开化一千倍的世界里,哲学家们惊喜地意识到理性范畴操作中的可靠性、主观确定性,他们断定,这些范畴不可能源自经验,——全部经验都与它们相矛盾。那么它们源自何处?——无论在印度,还是在希腊,人们作出了相同的错误推论:“我们必定曾经在一个更高的世界里居住过(而不是在一个低得多的世界里,那算什么真理!),我们必定曾经是神圣的,因为我们有理性!”……事实上,迄今为止,没有什么东西比存在(sein①)的错误具有更为朴素的说服力量,一如爱利亚学派所建立的那样,因为我们说的每个词、每句话都在为它辩护!——连爱利亚学派的对手也受到了他们的存在概念的诱惑:德谟克利特便是其中一例,他发明了他的原子……语言中的“理性”:一个多么欺诈的老妪啊!我担心我们尚未摆脱上帝,因为我们还信仰语法……

    ——–

    ①在德文中,sein又是系词“是”,日常语言中少不了它,所以有以下说法。

    6

    人们将感谢我,倘若我把一种如此根本、如此新颖的认识归纳成四个命题,我以此帮助人们理解,并向相反的见解挑战。

    第一命题。将“此岸”世界说成假象世界的那些理由,毋宁说证明了“此岸”世界的实在性,——另一种实在性是绝对不可证明的。

    第二命题。被归诸事物之“真正的存在”的特征,是不存在的特征,虚无的特征,——“真正的世界”是通过同现实世界相对立而构成的:既然它纯属道德光学的幻觉,它事实上就是虚假的世界。

    第三命题。虚构一个“彼岸”世界是毫无意义的,倘若一种诽谤、蔑视、怀疑生命的本能在我们身上还不强烈的话。在后一种场合,我们是用一种“彼岸的”、“更好的”生活向生命复仇。

    第四命题。把世界分为“真正的”世界和“假象的”世界,不论是按照基督教的方式,还是按照康德的方式(毕竟是一个狡猾的基督徒的方式,都只是颓废的一个预兆,——是衰败的生命的表征……艺术家对外观的评价高于实在!并非对这一命题的异议。因为“外观”在这里又一次表示实在,只是在一种选择、强化、修正之中……悲剧艺术家不是悲观主义者——他甚至肯定一切可疑可怕的事物,他是酒神式的……

    03 “真正的世界”如何终于变成了寓言

    ——一个错误的历史

    一、真正的世界是智者、虔信者、有德者可以达到的,——他生活在其中,他就是它。

    (理念的最古老形式,比较明白、易懂、有说服力。换一种说法:“我,柏拉图,就是真理。”)

    二、真正的世界是现在不可达到的,但许诺给智者、虔信者、有德者(“给悔过的罪人”)。

    (理念的进步:它变得更精巧、更难懂、更不可捉摸,——

    它变成女人,它变成基督教式的……)

    三、真正的世界不可达到、不可证明、不可许诺,但被看作一个安慰、一个义务、一个命令。

    (本质上仍是旧的太阳,但被雾和怀疑论笼罩着;理念变得崇高、苍白、北方味儿、哥尼斯堡味儿。)

    四、真正的世界——不可达到吗?反正未达到。未达到也就未知道。所以也就不能安慰、拯救、赋予义务:未知的东西怎么能让我们承担义务呢?……

    (拂晓。理性的第一个呵欠。实证主义的鸡鸣。)

    五、“真正的世界”是一个不再有任何用处的理念,也不再使人承担义务,——是一个已经变得无用、多余的理念,所以是一个被驳到的理念,让我们废除它!

    (天明;早餐;bon sens①和愉快心境的恢复;柏拉图羞愧脸红;一切自由灵魂起哄。)

    ——–

    ①法文:好的(健全的)感觉。

    六、我们业已废除真正的世界:剩下的是什么世界?也许是假象的世界?……但不!随同真正的世界一起,我们也废除了假象的世界!

    (正午:阴影最短的时刻;最久远的错误的终结,人类的顶峰;《查拉斯图拉》的开头词。

    04 作为反自然的道德

    1

    一切激情都有一个阶段,当时它们只是致命的力量,当时它们以愚昧的重负把其牺牲者压倒——后来,过了很久,它们才与精神联姻,使自己“升华”。从前,人们因为激情的愚蠢而向激情宣战,誓将其灭绝,——一切古老的道德巨怪都主张“il faut tuer lespassions①。这方面的最著名的公式见之于《新约》的山顶垂训,顺便说说,在那里,全然不是从高处看事物的。例如,那里在应用于性的问题时说:“如果你的眼睛恶意逗弄你,就挖掉它。”幸亏没有一个基督徒照此办理。灭绝激情和欲望,仅仅为了预防它们的愚蠢以及这种愚蠢的不快后果,这在我们今天看来,本身就只是一种极端的愚蠢。我们不再赞美那样的牙医,他用拔掉牙齿的办法来治牙痛……另一方面,很显然,在基督教赖以生长的基础之上,“激情的升华”这个观念完全不可能形成。众所周知,最早的教会反对“才智之士”以维护“精神的贫困”:怎么可以期望它打一场反对激情的理智之战呢?——教会用不折不扣的切除来克服激情:它的策略、它的“治疗”是阉割。它从来不问:“怎样使欲望升华、美化、圣化?”——它在任何时代都把纪律的重点放在根除(根除感性、骄傲、支配欲、占有欲、复仇欲。)——但是,从根上摧残激情就意味着从根上摧残生命:教会的实践是与生命为敌……

    ——–

    ①法文:必须扼杀激情。

    2

    这同样的手段,切除,根除,也被那样的人选用来与欲望斗争,他们的意志过于软弱,过于衰退,因而无能自立尺度;被那样的天性选用,他们需要la trappe①,用譬喻来说(未必是譬喻),需要某种最后通牒,在自己和激情之间设一条鸿沟。过激手段仅为衰退者所必需;意志的乏弱,确切地说,无能对一种刺激不作反应,本身只是衰退的另一种形式。对感性怀着激烈的、殊死的敌意,始终是一个值得深思的征兆,籍此可以推测这位好走极端的人的总体状态。——此外,当这类天性不再坚强得足以经受激烈的治疗、驱走身上的“魔鬼”之时,这种敌意和仇恨才登峰造极。不妨回顾一下教士、哲学家以及艺术家的全部历史:反对感官的最恶毒的话并非出自阳痿者之口,亦非出自禁欲者之口,而是出自无能禁欲者、必须禁欲者之口……

    ——–

    ①法文:苦修会。

    3

    感性的升华叫做爱,它是对于基督教的伟大胜利。另一种胜利是我们的敌意的升华。这就是深深领悟拥有敌人之价值,简言之,行动和推论一反从前之行动和推论。教会在一切时代都想消灭它的敌人;我们这些非道德主义者和反基督徒却以为,我们的利益就在于有教会存在……现在,政治上的敌意也有所升华,——明智得多,审慎得多,宽容得多了。几乎每个政党都明白,为了保存自己,反对党应当有相当力量;这一点适用于大政治。特别是一个新的创造物,譬如说新的国家,需要敌人甚于需要朋友:在对立中它才感到自己是必要的,在对立中它才成为必要的……我们对待“内心的敌人”并无不同,在这里我们也使敌意升华,在这里我们也领悟其价值。一个人只有充满矛盾才会多产;只有灵魂不疲沓,不贪图安逸,才能永保青春……没有什么比从前那种但求“灵魂宁静”的愿望,那种基督徒式的愿望与我们更加格格不入的了;没有什么比道德的母牛和良心安宁的肥腻福气更不叫我们眼红的了。谁放弃战斗,他就是放弃了伟大的生活……在许多场合,“灵魂的宁静”无疑只是一种误解,——是不会诚实地给自己命名的别的东西。不绕弯子、不带偏见地说,有这样一些情形,譬如说,“灵魂宁静”可以是一种丰盈的动物性向道德(或宗教)领域的温柔发泄。也可以是疲惫的开始,是傍晚、形形色色的傍晚投下的第一道阴影。也可以是空气湿润、南风和煦的标记。也可以是不自觉地为消化良好而心怀感谢(有时美其名日“博爱”)。也可以是病愈者的沉静,他重新品味万物,心怀期待……也可以是跟随在我们占支配地位的激情的一次强烈满足之后出现的状态,一次罕有的饱足的舒适感。也可以是我们的意志、我们的嗜欲、我们的罪恶的衰老。也可以是懒惰在虚荣心引诱下披上道德的装饰。也可以是在一种模糊状态的长期紧张和折磨之后,出现的一种明确状态,哪怕是可怕的明确状态,也可以是行动、创造、劳作、意愿之成熟和熟练的表现,是平静的呼吸,是已经达到的“意志的自由”……偶像的黄昏:谁知道呢?或许它也只是一种“灵魂的宁静”……

    4

    ——我制定一个原则。道德中的每一种自然主义,也就是每一种健康的道德,都是受生命本能支配的,——生命的任何要求都用“应该”和“不应该”的一定规范来贯彻,生命道路上的任何障碍和敌对事物都藉此来清除。相反,反自然的道德,也就是几乎每一种迄今为止被倡导、推崇、鼓吹的道德,都是反对生命本能的,它们是对生命本能的隐蔽的或公开的、肆无忌惮的谴责。而且,它们声称“上帝洞察人心”,它们否定生命的最深最高的欲望,把上帝当作生命的敌人……给上帝逗乐的圣人是地道的阉人……“上帝的疆域”在哪里开始,生命便在哪里结束……

    5

    假如一个人领悟了对于生命的这样一种反对(这种反对在基督教道德中已经变得近乎神圣不可侵犯了)的亵渎之处,那么,他因此也就幸运地领悟了一些别的东西,即领悟了这样一种反对的无用、虚假、荒谬、骗人之处。活着的人对于生命的谴责归根到底只是一定类型的生命的征兆,至于是否有道理,这个问题完全没有籍此而提出来。一个人必须在生命之外有一个立足点,用不同的方式,如同已经活过的一个人、许多人、一切人那样去了解生命,方能真正触及生命的价值问题。有足够的理由表明,这个问题是我们不可企及的问题。当我们谈论价值,我们是在生命的鼓舞之下、在生命的光学之下谈论的;生命本身迫使我们建立价值;当我们建立价值,生命本身通过我们评价……由此可知,把上帝当作生命的对立概念和对生命的谴责的那种道德上的反自然,也还是生命的一个价值判断——什么生命?什么种类的生命?——我早已回答:是衰退,虚弱、疲惫、受谴责的生命。道德,如它迄今被理解的,如它最近仍被叔本华规定为“生命意志的否定”的,是把自己做成一个绝对命令的颓废的本能本身,它说:“毁灭!”——它是受谴责者的判断……

    6

    最后,让我们再思量一下,说“人应当是如此这般的”这种话有多么天真。现实向我们显示了令人愉快的丰富类型,过度挥霍的形式游戏和形式变化,而某位可怜的囿于一孔之见的道德家却说:“不!人应该是别种样子的。”……他甚至知道人应该是怎样的,这个可怜虫和伪君子,他在墙上画了幅自画像,说道:“ec-ce homo①……然而,即使道德家只是向着某一个人说:“你应当是如此这般的!”他也依然把自己弄得很可笑。个人是fatum②的一个片断,承前启后,对于一切既来和将来的事物是一个法则,一个必然性。对他说“改变你自己”就意味着要求一切事物都改变,甚至是朝后改变……然而确实有一些彻底的道德家,他们要人变成另一种样子,即变得有道德,他们要人仿效他们的榜样,即成为伪君子,为此他们否定这个世界!不要渺小的疯狂!不要适度的无礼!……道德倘若不是从生命的利益出发,而是从本身出发进行谴责,它便是一种特别的谬误,对之不必同情,便是一种蜕化的特性,已酿成无穷的祸害!……我们另一种人,我们非道德主义者,相反为一切种类的理解、领悟、准许敞开了我们的心灵。我们不轻易否定,我们引以为荣的是做肯定者。我们愈来愈欣赏那种经济学,它需要并且善于利用被教士的神圣愚昧和病态理性所抛弃的一切,欣赏那种生命法则之中的经济学,它从伪君子、教士、有德者等丑类身上获取其利益,——什么利益?——但我们本身,我们非道德主义者,就是这里的答案……

    ——–

    ①拉丁文:看这个人!

    ②拉丁文:命运

    05 四种大谬误

    1

    混淆因果的谬误——再也没有比倒果为因更更危险的谬误了,我称之为理性的真正堕落。尽管如此,这个谬误却属于人类万古常新的习惯,它甚至在我们之中被神圣化,它冒着“宗教”、“道德”的美名。宗教和道德所建立的每个命题都包含着它;教士和道德立法者是那理性之堕落的始作俑者。——我举个例子:人人知道著名的柯纳罗①的书,他在这本书里把他的节食推荐为活得长寿、幸福(以及有德)的良方。很少书能够如此多地被人阅读,直到现在,在英国每年还要印好几千册。我毫不怀疑,几乎没有一本书(当然《圣经》除外)像这个如此好心肠的怪东西这样,造成这么多的祸害,缩短这么多的生命。其源盖出于:把结果混同为原因了。这个厚道的意大利人把他的节食看作他长寿的原因;其实,长寿的前提,即新陈代谢的极其缓慢,微乎其微的消耗,

    ——–

    ①cornaro:生于1467年,死于1566年,曾著书谈自己的长寿秘诀。

    才是他节食的原因。对于他来说,吃多还是吃少并非任意的,他的节俭并非一种“自己由意志”,他吃多就会生病。但是,倘若不是这种鲤鱼之躯,一个人就不仅最好、而且必须适量进食。我们时代的学者,神经力之消耗如此迅速,使用何纳罗养生法只会致自己死命。crede experto①。

    ——–

    ①检验信条。

    2

    每种宗教和道德引为基础的最一般公式是:“做这个这个,不做这个这个——你就将幸福!否则……”每种道德、每种宗教都是这样的命令,——我称之为理性的巨大原罪,不朽的非理性。在我口中,这个公式转变为它的反面——我的“一切价值的重估”的第一个例子:一个发育良好的人,一个“幸运儿”,他必须采取某种行动,而对别种行动本能地踌躇,他把他生理上配置的叙序带进他同人和物的关系之中。公式:他的德行是他的幸福的结果……长寿、子孙兴旺并非德行的报酬,毋宁说德行即是新陈代谢的放慢,除了其他结果外,长寿、子孙兴旺、简言之柯纳罗主义也是此种放慢的结果。——教会和道德说:“一个种族、一个民族因罪恶和奢侈而灭绝。”我的重建的理性说:当一个民族衰微,在生理上退化,接踵而至的便是罪恶和奢侈(这意味着需要愈来愈强烈和频繁的刺激,犹如每个耗竭的天性所熟悉的)。这个年轻人过早地苍白萎靡了。他的朋友们说:某某疾病应负其咎。我说:他生病,他不能抵抗疾病,这本身已是一个衰败的生命、一种因袭的枯竭的结果。报纸读者说:这个政党用这样一个错误断送了自己。我的更高的政治说:一个犯这种错误的政党原已末日临头——它不复有自己的安全本能。任何意义上的任何一种错误都是本能衰退和意志解体的结果:差不多可以用这来给恶下定义了。一切善都是本能——因而都是容易的,必然的,自由的。艰难是一种抗议,神与英雄属于不同的类型(用我的话来说:轻捷的足是神性的第一属性。

    3

    虚假因果关系的谬误。——人们始终相信自己知道何为原因,然而,我们从何处获得我们的这种知识,确切地说,获得我们拥有这种知识的信念的呢?从著名的“内心事实”领域,而迄今这类“事实”中没有一个已经证明是事实,我们相信自己在意志的行为中是原因;我们认为至少在这一场合当场捕获了因果关系。

    人们也不怀疑一个行为的antecedentia①,它的原因,可以在意识中寻找,并且只要去找,就总能找到——作为“动机”,否则就不能自由地作此行为,也不能对之负责。最后,谁会否认一个想法是有原因的,“自我”就是想法的原因?……在这三个似乎作为因果关系的保障的“内心事实”中,第一个且最有说服力的事实是意志即原因;意识(“精神”)即原因的观念以及更后面的自我(“主体”)即原因的观念纯粹是派生的,是在意志确定因果关系为既定事实、经验之后产生的……在此期间我们已经更善于思考了,我们今天不再相信所有这些说法。“内心世界”充满着幻影虚光,意志便是其中之一。意志不再推动什么,所以也不再说明什么——它仅仅伴随着过程,它也不能缺席。所谓“动机”是另一个谬误。它纯属意识的表面现象,行为的伴随物;与其说它体现,不如说它掩盖了一个行为的前项。至于自我,它已经变成了寓言、虚构、文字游戏,它完完全全停止了思考、感觉、原望!……结论是什么?根本没有什么精神的原因!这方面的全部所谓经验都见鬼去了!这就是结论!——而我们业已有教养地滥用了所谓“经验”,于是我们创造了一个作为原因世界、意志世界、精神世界的世界。最古老悠久的心理在这里起作用,它别无所为,对它来说,每个事件都是一个行为,每个行为都是一个意志的结果,世界化身为许多行为者,有个行为者(一个“主体”)悄悄潜伏在每个事件背后。人从自身投射出他最坚信不疑的三个“内心事实”,即意志、精神、自我,——他由“自我”概念才得出“存在”(sein)概念,他按照他的形象、按照他的自我即原因的概念来设定“物”的存在。然后他在物之中始终只是重新找到他塞入其中的东西,这有何奇怪呢?——再说一遍,物本身,物的概念,仅是自我既原因的信念的一个反映罢了……甚至连你们的原子,我的机械论者和物理学家先生们,有多少谬误、多少退化的心理尚残存在你们的原子里!——更不必说“物自体”,形而上学家们的horrendum pudendu m②了!精神即原因的谬误被冒充为实在!被立为实在的尺度!被称为上帝!

    ——–

    ①拉丁文:前项

    ②拉丁文:可怕可耻的东西。

    4

    幻想原因的谬误。——从梦谈起:例如,由于远处的一声炮击而产生的感觉,却给这感觉追加一个原因(常常是一整部小型长篇小说,正是这梦者在其中担任主角)。其间感觉以一种回响的方式延续着,它仿佛在等待,直到原因冲动准许它进入前景,——从此不再是偶然的东西,而是“意义”。炮击在一种因果关系的方式中,在一种时间的表面逆转中出现。后来的动机说明被首先感受到,还伴随着仿佛在电光中一闪而过的成千细节,随后才是炮击……发生了什么?某一状态所造成的想象被误解成了这个状态的原因。——事实上,我们在醒时也这么做。我们大部分通常的感觉——器官活动或受阻时的种种抑制、压力、紧张、爆发,特别是nervus sympathicus①的状态——都激起我们的原因冲动:我们希望有理由处于某某状态——好的状态或坏的状态。只是简单地确认我们处于某某状态的事实,这从来不能使我们感到满足。只有当我们给这一事实提供一种动机说明之时,我们才容忍它,——即意识到它。记忆在这种场合无需我们知道就自动工作,唤来相似的既往状态以及与它们连合并生的因果说明(不是它们的因果联系)。当然,认为观念、伴随着的意识过程是原因,这种信念也是记忆造成的。某种因果说明的习惯由此形成,它实际上阻碍甚至杜绝了原因的研究。

    ——–

    ①拉丁文:交感神经。

    5

    对此的心理学说明。——把某种未知的东西归结为某种已知的东西,这使人轻松、平静、满足,此外还给人一种权力感。未知之物使人感到危险、不安、忧虑,——第一个冲动便是要消除这种令人痛苦的状态。第一原理:随便哪个解释总比没有解释好。因为事情本质上只涉及要摆脱压迫人的观念,至于采用什么方法摆脱它们倒不太严格。未知之物借以解释为已知的第一个观念干得如此出色,以致人们把它“当作真理”。快感(“力量”)的证据是真理的标准。——所以原因冲动是由恐惧感决定和引起的。“为什么”的问题、只要可能,就不会是为原因而提供原因,相反是提供一定种类的原因——一种令人平静、解脱、轻松的原因。某种已知的、经历过的、铭刻在记忆中的东西被设定为原因,乃是这种需要的第一个结果。新的、未经历过的、陌生的东西则被拒绝承认为原因。——所以,被找来当作原因的不仅是一定种类的解释,而且是一种精选的、受偏爱的解释,籍之可以最迅速最及时地消除陌生、新奇、未曾经历之感,——是最通常的解释。——结果,一定种类的原因设定愈来愈占据优势,汇成体系。终于取得支配地位,也就是说,排除了其他的原因和解释。——银行家立刻想到“生意”,基督徒立刻想到“罪恶”,少女立刻想到她的爱情。

    6

    整个道德和宗教领域都属于幻想原因的范畴。——通常的不快感的“解释”。它们是由与我们敌对的生灵造成的(邪恶的幽灵:最著名的事例——歇斯底里患者被误解为女巫)。它们是由不能允许的行为造成的(把:“罪恶”感、“犯罪”感强加于一种生理上的不适——人们总是找得到不满意自己的理由)。它们是作为对我们似乎不应当做、我们似乎不应当是的某种东西的惩罚和一个报应(叔本华以厚颜无耻的方式归纳为一个命题,在其中,道德显出真相,显现为生命的毒害者和诽谤者:“每种巨大的痛苦,不论是肉体上的还是精神的,都证明我们罪有应得了;因为如果我们并非应得,它就不会降临我们。”见《作为意志和表象的世界》第二卷)。它们是作为轻率不慎行为的后果(激情和官能被设定为原因,被设定为“有过失的”;生理的痛苦加上别的痛苦被解释为“罪有应得的”)。——通常的愉快感的“解释”。它们是由相信上帝造成的。它们是由行为端正的意识造成的(所谓的“良心清白”,一种生理状态,有时候消化良好与之如此相象,几乎难以区分)。它们是由事业的成功造成的(天真的错误推论:事业的成功完全不使一位忧郁症患者或一位帕斯卡尔产生通常的愉快感)。它们是由信仰、爱、希望等基督教美德造成的。——实际上所有这些冒牌的解释都是后继状态,仿佛是把愉快感或不快感翻译成了一种虚假的辩证法。一个人希望,是因为生理上的基本感觉依然强大充实;一个人相信上帝,是因为充实感和强壮感使他宁静。——道德和宗教完全属于错误的心理学:在每一场合都混淆了因果;或者把真理同信以为真的东西的效果相混淆;或者把一种意识状态同该状态的原因相混淆。

    7

    自由意志的谬误。——我们对“自由意志”概念不再同情,我们太知道它是什么了——它是神学家们所拥有的最臭名昭著的手腕,其目的是使人类按照他们的意思来“承担责任”,也就是使人类依赖于他们……我在这里只谈谈一切要人担责任的做法的心理实质。——无论何处,凡有要人承担责任的意图,往往可以发现那里有惩罚欲和审判欲的本能。如果某某状况被追溯到意志、目的、承担责任的行为,人就被剥夺了他的无罪的生成。意志学说实质上是为了惩罚,即为了寻找罪恶的愿望,而被发明的。整个古代心理学,即意志心理学,其前提是它的创始人即古代社会上层的僧侣想要给自己造成一种给人以惩罚的权利——或者说想要给上帝造成这种权利……人被认为是“自由”的,以便可以加以判决和惩罚,——以便可以成为有罪的。结果,每件行为必须被看作自愿的,每件行为的根源必须被看作有意识的(心理学中最基本的伪币制造藉此而被树为心理学原则本身……)今天,我们投入了相反的运动,我们非道德主义者尤其竭尽全力从世上清除罪与罚的概念,力求使心理、历史、自然、社会机构及其制裁纯洁化,当此之时,我们没有见到比神学家们的反抗更激烈的反抗了,他们继续倚仗“世界道德秩序”的概念,用“惩罚”和“罪过”来玷污生成的无罪,基督教是刽子手的形而上学……

    8

    我们的学说只能是什么呢?——没有谁能把人的特性给予人,无论是上帝,社会,他的父母和祖先,还是他自己(这里最后所否定的观念的荒谬性,作为“知性的自由”,已为康德、也许还为柏拉图所教导过)。没有谁可以对以下情形负责:他存在了,他是被造成如此这般的,他处在这样的情形和环境之中。他的天性的宿命不能从一切已然和将然之物的宿命中解脱出来。他不是一个特别意图、一个意志、一个目的的产物,不能用他去试验实现一种“人的理想”,或一种“幸福的理想”,或一种“道德的理想”,——想要按照某一目的铸造他的天性是荒谬的。我们发明了“目的”概念,实际上目的缺如……某人是必然的,某人是命运的一个片断,某人属于全,某人在全之中,——没有什么东西可以判决、衡量、比较、责难我们的存在,因为这意味着判决、衡量、比较、责难全……然而在全之外只有虚无!——没有谁再要对存在的种类不可追溯到一个causa prima①承担责任,对世界是一个既非作为知觉、又非作为“精神”的统一体承担责任,这才是伟大的解放,——生成的无罪藉此才重新确立起来……迄今为止,“上帝”概念是对生存的最大异议……我们否认上帝,我们否认上帝所意味的要人承担的责任:我们藉此才拯救了世界。

    ——–

    ①拉丁文:第一因。

    06 人类的“改善者”

    1

    人们知道我对哲学家的要求,即站在善恶的彼岸,——超越道德判断的幻想。这一要求源自一种见解,我首次把这见解归纳成一个公式:根本不存在道德事实。道德判断与宗教判断有一共同点,即相信不存在的实在。道德仅是对一定现象的阐释,确切地说,是一种误释。和宗教判断一样,道德判断属于无知的一个阶段,此时连实在的概念、实在与幻想的区别尚付之缺如,以致在此阶段上“真理”仅仅是指我们今日称为“想象”的东西。就此而言,道德判断从未被认真看待,作为这样的东西,它始终只包含着悖理。但它作为征候学却总是价值非凡:它(至少对有识之士来说)显示了文化和内心世界的珍贵实在,这一实在不太懂得“理解”自己。道德只是记号,只是征候学,一个人必须业已知道自己为何行动,才能从道德中获得益处。

    2

    我举第一个例子。在一切时代,人们都想“改善”人,道德首先是这个意思。然而,在同一个词眼下却隐藏着迥异的倾向。野蛮人的驯化和一定人种的培育都被称为“改善”。正是这些动物学术语才表达了实在——当然,典型的“改善者”即教士对此实在一无所知,并且宁愿一无所知……把驯化一头野兽称作对它的“改善”,在我们听来近乎一个玩笑。凡是了解驯兽场情况的人,都会怀疑动物在那里得到了“改善”。它们被削弱了,它们被弄得不太有害了,恐惧的沮丧情绪、疼痛、创伤、饥饿使它们变成了病兽。——教士所“改善”的驯化之人的情形与此毫无二致。在中世纪早期,教会事实上首先是一所驯兽场,人们到处捕猎“金发野兽”最美丽的标本,——例如,人们“改善”高贵的日耳曼人。可是,在这之后,这样一个被“改善”了的,被带入修道院的日耳曼人看上去怎么样呢?像一幅人的漫画,像一个怪胎。他成了“罪犯”,他蹲在笼子里,他被关在许多十分可怕的观念之间……他躺在那里,有病,虚弱,对自己怀着恶意;充满对生命冲动的仇恨,充满对一切仍然强壮幸福的事物的猜忌。简言之,一个“基督徒”……用生理学的语言说,在与野兽斗争时,使它生病可以是削弱它的唯一手段。教会懂得这一点,它败坏人,它削弱人,——但他自命“改善”了人……

    3

    我们来看看所谓道德的另一种情形,即一定种族或类型的培育。这方面最重大的例子是印度道德,作为《摩奴法典》而具有宗教效力。其使命是同时培育四种种姓,即僧侣、武士、农商和仆役(首陀罗)。在这里,我们显然不是置身于驯兽者之中了,必须有一种百倍温柔理智的人,才能哪怕只是构想出这样一种培育的计划。一个人从基督教的病房和牢狱的气氛转而步入这个更为健康、高贵、广阔的世界,不禁要深吸一口气。与《摩奴法典》相比,《新约》是何等可怜,它的气味是何等难闻!——但是,这种制度同样必须是可怕的,——这一回不是为了对付野兽,而是为了对付它的反面,不可培育的人,杂种的人,贱民,而除了使他们生病之外,它又没有别的使他们软弱无害的办法,——这是在对付“多数”。也许没有比印度道德的这种防护条规更与我们的情感相抵触的东西了。例如第三谕令,“关于不洁的蔬菜”,规定允许贱民食用的唯一食物是大蒜和洋葱,与此有关的是,神圣的经文禁止给贱民谷物或含有种子的水果,以及水和火。该谕令还规定他们所必需的水不能从河流、泉源、水池中吸取,而只能取之于沼泽入口处或牲口踩出的坑穴。同时,他们被禁止洗衣物和洗澡,恩赐给他们的水只可用于解渴。最后,禁止首陀罗妇女帮助贱民产妇,也禁止贱民妇女生产时互相帮助……——这样一种保健警察机关倒不无成效:可怕的瘟疫,丑恶的性病,因而又有“刀法”,即规定男孩行割礼女孩切除小阴唇。——摩奴自己说:“贱民是通奸、乱伦和犯罪的产物(——这是培育概念的必然结论)。他们必须仅以尸布为衣,以破罐为食具,以锈铁为饰物,仅以恶精灵为膜拜对象;他们必须不得安宁地到处飘泊。他们不准从左往右写字,不准用右手写字;使用右手和从左往右仅是为有德者和有种姓者保留的权利。”

    4

    这些规定是富有教益的,我们在其中看到了完全纯粹、完全本原的雅利安人性,——我们懂得了“纯粹血统”概念是与一个无害的概念相对立的。另一方面,也明白了在哪个民族中,对于这种“人性”的仇恨,贱民的仇恨,得以永恒化,变成了宗教,变成了天才……从这个观点来看,《福音书》是头等文件;《以诺书》更是如此。①——基督教出于犹太根基,当然也仅是这片土壤上的作物,它体现了对于培育、种族、特权的反动:——它是卓越的反雅利安宗教:基督教鼓吹一切雅利安价值的重估,贱民价值的胜利,穷人和卑贱者的福音,是一切被践踏者、不幸者、失败者、被淘汰者对于“种族”的总暴动,——是作为爱的宗教的不朽的贱民复仇……

    ——–

    ①《福音书》:《圣经·新约》的第一部分,包括《马太福音》、《马可福音》、《路加福音》、《约翰福音》四卷。《以诺书》:《旧约外传》的一种,借以诺之口讲述世界末日的异象和比喻。

    5

    培育的道德和驯化的道德在贯彻自身的方法上彼此都堪称完美。我们可以确立一个最高命题:为了创造道德,一个人必须有追求其反面的绝对意志。人类”改善者“的心理学,这是我探究得最长久的重大而令人不安的问题。一个小小的、本质上很朴素的事实,所谓piafraus①,在这个问题上给了我第一个启发:pia fraus是一切“改善”人类的哲学家、牧师的遗产。无论是摩奴、柏拉图、孔子,还是犹太导师和基督教导师,都从不怀疑他们说谎的权利。他们不怀疑所有其他的权利……用公式来表达,不妨说:迄今用来使人类变得道德的一切手段归根到底都是不道德的。

    ——–

    ①拉丁文:尽职的欺骗。

    07 德国人缺少什么

    1

    如今在德国人中,拥有精神已经不够了,还必须把它占为己有,滥用精神……

    也许我是了解德国人的,也许我可以哪怕向他们说一些真理。新德国代表大量遗传的和习得的才干,以致它可以长达一个时代地挥霍积聚的力量财富。这里并没有靠了它而占据统治地位的高级文化,更没有讲究的趣味,一种高贵的本能之“美”;却有较之任何欧洲国家所具备的更男子气的德行。许多美好的勇气和自尊,交往和彼此承担义务时的许多信义,许多勤奋,许多毅力,——以及一种遗传的节制,这种节制与其说需要障碍不如说需要刺激。我补充一句:这里人们仍然服从,而服从并不使人感到屈辱……没有人蔑视他的对手……

    人们看到,我愿意对德国人公正:在这一点上我不想对自己不忠实,——所以我也必须向他们提出我的异议。获取权力要付出昂贵的代价:权力使人愚蠢……德国人——一度被称为思想家民族,如今他们究竟还思索吗?——德国人现在厌倦精神,德国人现在猜疑精神,政治吞噬了对于真正精神事物的任何严肃态度——“德国,德国高于一切”,①我担心,这已是德国哲学的末日……“德国有哲学家吗?德国有诗人吗?德国有好书吗?”在国外有人问我。我感到脸红,但以我即使在失望时也具有的勇气回答:“有的,俾斯麦!”——我岂能也承认今天人们在读什么书呢?……该死的中庸本能!

    ——–

    ①第二帝国时期德国国歌中的一句歌词。

    2

    谁不曾忧伤地沉思过德国精神能是什么的问题啊!可是,将近一千年来,这个民族却任意使自己变得愚蠢了,没有一个地方,欧洲两大麻醉剂——酒精和基督教——像在这里这样罪恶地被滥用。最近竟然又添上了第三样,单凭这一样就足以扼杀精神的一切精致勇敢的敏捷性,这就是音乐,我们的被噎且又噎人的德国音乐。——在德国智力中有多少令人沮丧的笨重、拖沓、潮湿、睡衣,有多少啤酒!献身于最高精神目标的青年男子竟然缺乏精神性的第一本能,精神的自我保存本能——并且大饮其啤酒,这怎么可能呢?……博学青年的酗酒也许并没有给他们的博学打上问号,因为基至一个大学者也可能没有精神,但是在别的一切方面都打上了问号。——在哪里看不到啤酒给精神造成的慢性堕落!在一个如今已经众所周知的事例中,我曾提及这样的堕落,我们德国第一位自由思想家的堕落、聪明的大卫·施特劳斯,变成了酒座福音和“新信仰”的作者……他在诗中并非向“褐色的美人”空发誓愿的——他效忠至死……。

    3

    我说过德国精神变得更粗鄙、更浅薄了。这么说够吗?——透彻地说,它是一种使我惊骇的面目全非的东西,在精神事物中的那种德国的严肃、德国的深刻、德国的热情正在每况愈下。不但知性,而且激情也在发生变化。——我在各地接触德国的大学,学者中盛行怎样的风气,当今的精神何其荒芜,何其满足和冷漠!倘若有人举出德国科学来反对我,那实在是一大误解——并且还证明他不曾读过我的一个字。十七年来,我不知疲倦地揭露我们当代科学追求的非精神化的影响。科学的巨大范围今日强加于每一个人的严酷的奴隶状态,是秉赋更完满、更丰富、更深刻的天性找不到相应的教育和教育者的首要原因。我们的文化之苦于虚无,更甚于苦于自负的一孔之见者和片断人性的过剩;我们的大学与愿相违地是这种精神本能退化的地道工场。而整个欧洲业已具有一个观念——伟大的政治不欺骗任何人……德国愈益被视为欧洲的洼地①——我仍在寻找一个德国人,与他一起我可以按照我的方式严肃一下,——更急切地寻找一个德国人,于他一起我可以快活一下!偶像的黄昏:啊,如今谁能领悟,一位隐士正以一种怎样的严肃态度在这里休养!——

    快活是我们身上最不可理解的东西……

    ——–

    ①。原文为flachland,双关语,又可译为浅薄的国家。

    4

    倘若估算一下,不但德国文化的衰落了如指掌,而且也不乏这方面的充足理由。任何人的花费归根到底不能超过他所拥有的,个人如此,民族也如此。一个人把自己花费在权力、大政治、经济、世界贸易、议会、军事利益上,一个向这些方面付出了理解、认真、意志、自我超越的能量(他就是这种能量),那么,他在其他方面就必有短缺。文化和国家——在这一点上不要欺骗自己——是敌对的:“文化国家”纯属现代观念。两者互相分离,靠牺牲对方而生长。一切伟大的文化时代都是非政治的,基至是反政治的。——歌德的心灵为拿破仑现象打开,却对“解放战争”关闭……正当德国作为巨大力量兴起之时,法国作为文化力量获得了一种不同的重要性。在今天,精神的许多新的严肃、许多新的热情已经迁往巴黎;例如,悲观主义问题,瓦格纳问题,几乎所有的心理学问题和艺术问题,在那里比在德国得到无比精微透彻的思索,——德国人基至无能于这种严肃。——在欧洲文化史上,“帝国”的兴起首先意味着一件事:重心的转移。无论何处,人们都已经知道:在主要的事情(这始终是文化)上,德国人不再值得一提。人们问道:你们可要为欧洲提供哪怕一个够格的思想家、就像你们的歌德、你们的黑格尔、你们的亨利希·海涅、你们的叔本华那样?——不再有一个德国哲学家了,这实在令人惊讶不已。

    5

    整个德国高等教育已经丢失了主要的东西:目的以及达到目的的手段,人们忘记了教育、文化本身(而不是“帝国”)是目的,忘记了达到这个目的所需要的是教育家(而不是文科中学教师和大学学者)……亟需自我教育的教育家,有卓越、高贵的灵魂,每时每刻以身教言教体现日趋成熟、甜美的文化,——而不是文科中学和大学今日作为“高级保姆”提供给青年的那种博学的粗汉。除了极少数例外,缺少教育家,教育的这第一前提:德国文化的衰落由此而来。——我的可尊敬的朋友、巴塞尔的雅可布。布克哈特①是极少数例外之一,巴塞尔在人性方面的优越首先归功于他。——德国“高等学校”事实上所做的是一种残忍的驯练,以求花费尽可能少的时间使无数青年男子适宜于、彻底适宜于为国家效劳。“高等教育”和无数——两者从一开始就是彼此矛盾的。一切高等教育仅仅属于例外者,一个人必须是特许的,才有权享有如此高级的特权。一切伟大事物、一切美丽事物从来不是公共财产:pulch-rum estpaucorum hominum②——什么造成了德国文化的衰落?“高等教育”不再是一种特权——“普及的”、通俗化的教育之民主主义……

    ——–

    ①jokob burckhardt(1818—1897):瑞士文化史学家,尼采的好友。

    ②拉丁文:美属于少数人。

    不要忘记,军事特权死板地强求高等学校过高的入学率,而这就意味着高等学校的衰落。——在今日德国,任何人都不再能够自由地给他的孩子以一种高贵的教育,我们的“高等学校”,包括其教师、课程、教育目标,全都安排好了一种最暧昧的中庸。到处盛行着一种无礼的匆忙,倘若二十三岁的青年人还没有“作好准备”,还不知道“主要问题”——从事什么职业?——的答案,便好像会耽误什么似的。——请允许我说,一种更高类型的人不喜欢“职业,正是因为他懂得召唤自己……他拥有时间,他支配时间,②拉丁文:美属于少数人。

    他完全不去考虑“作好准备”的问题,——在高级文化的意义上,一个人三十岁时还是一个起跑者,一个孩子。——我们的拥挤的文科中学,我们的被造就得及其愚钝的众多文科中学教师,乃是一个丑闻,试图保卫这种状态,如海德堡的教授们最近之所为,也许是有原因的,——但并没有这样做的理由。

    6

    我的本性是趋向于肯定的,它作出反对和批判仅是间接的、不情愿的,为了不失我的本性,我立即提出三项任务,为完成这些任务起见,一个人需要教育者。一个人必须学习看,一个人必须学习想,一个人必须学习说和写:三者的目的都是一种高贵的文化,——学习看,就是学习使眼睛习惯于宁静、忍耐、让事物靠近自己;学习不急于作判断,从各个角度观察把握个别事例。对一个刺激不立刻作出反应,而是具备一种阻碍、隔离的本能,这是走向精神性的第一个预备教育。学习看,按照我的理解,接近于非哲学术语称之为坚强意志的东西,其本质的东西恰好不是“愿意”、而是能够作出决定。一切非精神性、一切鄙俗性都基于无能抵抗一种刺激——他势必作出反应,他顺从每个冲动。在许多场合,这样一种“势必”已经是病态和衰落,是枯竭的征兆,——几乎被非哲学的粗略用语名之为“罪恶”的一切,都纯属这种生理上无能不作出反应。——学会看有一种收益:作为学习者,一个人将会变得迟缓、猜疑、抵触。最后,他将带着一种敌意的平静听任每种陌生、新奇的事物靠近他,——他将对它们袖手旁观。洞开一切大门,猥亵地沉溺于每件琐屑的事情,随时投身入,冲入他人怀抱和他物之中,简言之,著名的现代“客观性”,是一种恶劣的趣味,是典型的卑贱。

    7

    学会想:在我们的学校里不再有这个概念。甚至在大学里,在真正的哲学学者之中,作为理论、实践、手艺的逻辑已经开始绝迹。人们阅读德国书籍,不再依稀记起思考需要一种技术,一种教程,一种获得技巧的意志,——不再依稀记起要学会思考就象要学会跳舞一样,思考是一种舞蹈……在德国人中,谁还体验得到精神的轻捷的足带给全身肌肉的那种微妙的颤栗!——神态的僵硬呆板,动作的笨拙,已经成为德国人的特征,以致在国外人们完全把这看作德国人的天性。德国人没有触摸nuance①的手指……德国人也赡养了他们的哲学家,尤其是那个史无前例的畸形的概念残疾人,伟大的康德,这一点丝毫也不能表明德国人的优雅。——因为不能从高贵的教育中排除各种形式的舞蹈,用足、概念、文字跳舞的才能;是否还要我来说,一个人也必须能够用笔跳舞,一个人必须学习写?——可是在这方面,对于德国读者来说,我恐怕完全是一个谜……

    ——–

    ①法文:细微差别

    08 一个不合时宜的漫游(1)

    1

    我不可能做的事。——塞涅卡:或德行的斗牛士。——

    卢梭:或inimpuris naturalibus①回到自然去。——席勒:或萨金(sackingen)的道德喇叭手。——但丁:或在坟墓上作诗的鬣狗。——康德:或cant②,作为只能凭理性去了解的性格。——维克多·雨果:或荒谬之海上的法鲁斯岛③。——

    李斯特:或熟练的课程——关于女人。——乔治·桑:或lactea ubertas④,用德语说:具有“美丽风格”的乳牛。——米什莱(michelet):或脱掉外衣的慷慨激昂……卡莱尔:或悲观主义,作为放弃了的午餐。——约翰·斯图亚特·密尔:或令人不快的清晰。——龚古尔兄弟:或与荷马作战的两个埃阿斯。⑤奥芬巴赫的音乐。——左拉:或“散发恶臭的乐趣”。

    ——–

    ①法鲁斯岛(pharus):在埃及亚历山大港附近,以其上灯塔闻名。

    ②英文:假正经。

    ③拉丁文:在自然的污秽中。

    ④丰富的牛乳。

    ⑤埃阿斯(ajax):腊神话中两个同名英雄,以勇敢著称。

    2

    勒南(renan)。——神学,或由“原罪”(基督教)造成的理性的毁灭。勒南的证词,他一旦冒险要作出更普遍类别的肯定或否定之时,就立刻谨小慎微,四平八稳。例如,他想把lascience①和lanoblesse②合为一体:但lasscience

    属于民主政体,这却是显而易见的。他毫无虚荣心地想要表现一种精神的贵族主义,但他同时又向相反的学说——卑贱者的福音——跪拜,而且不仅仅是跪拜……假如一个人骨子里仍然是基督徒、天主教徒乃至牧师,所有自由思想、现代观念、讽刺本领和左右逢源的随机应变又于事何补!勒南完全像耶稣会教士和忏悔神父一样,在诱惑方面颇有发明才能;他的精神不乏教士的那种准备好的微笑,——就象一切牧师一样。当他爱的时候,他才变得危险了。没有人能够像他那样用一种致命的方式崇拜……勒南的精神,一种使人神经衰弱的精神,对于贫困、患病、意志患病的法国更是一个厄运。

    ——–

    ①法文,科学

    ②法文,高贵

    3

    圣佩甫①——毫无男子气;满怀对一切阳刚精神的渺小怨恨。四处游荡,纤细,好奇,无聊,好探听,——根本是女性人格,具有女人的复仇欲和女人的官感。作为心理学家,是一个流言的天才;这方面的手段层出不穷;没有人比他更善于搀和毒药和谀词。在至深的本能中极为粗鄙,与卢梭的愤懑一脉相承:所以是个浪漫主义者——因为在一切浪漫主义背后都有卢梭的复仇本能在嘟哝和渴求。一个革命者,但可惜被恐惧控制住了。在一切有力量的事物(公众舆论,科学院,法院,甚至port royal②)面前毫无自由。激烈地反对一切伟大人物和伟大事物,反对一切自信者。一个诗人和半女人,尚足以感觉到伟大的威力;不停地蠕动,就象那条著名的虫子,因为它老觉得自己被践踏。像一个没有准则、立场和脊椎的批评家,以不信教的世界主义者的口吻谈论种种事物,却没有勇气承认他不信教。像一个没有哲学、没有哲学洞察力的历史学家,——所以在一切重要问题上拒绝下判断,拿“客观性”遮掩自己。在一种更纤细、更有利的趣味占据支配地位的地方,他对万物的态度有所不同,在那里他确实有面对自己的勇气和乐趣,——在那里他是大师。——在某些方面,他是波德莱尔的一个雏型。

    ——–

    ①sainte beuve(1804—1869):法国文学评论家。

    ②法文:皇家服饰。

    4

    《效法基督》①属于那种我拿在手里不能不起生理反感的书,它散发出一种永恒女性的芳香,一个人必须是个法国人——或瓦格纳分子——才能闻得惯……这个圣徒有一种谈论爱的方式,甚至使巴黎女人也觉得新奇。——有人告诉我,那位最聪明的耶稣会教士a·孔德,他想带领他的法国人绕道科学开往罗马,他在这本书上获得了灵感。我相信它:“心灵的宗教”……

    ——–

    ①中世纪基督教修养读物,托马斯·厄·肯培著。

    5

    g·艾略特①。——他们失去了基督教的上帝,从而相信现在必须更加坚持基督教的道德:这是一种英国的首尾一贯性,我们不想因之而责怪艾略特身上的道德小女子。在英国,为了每一次小小的摆脱神学的解放,人们必定作为道德狂热分子以可怕的方式重新给自己贴金。这是那里的人们付出的赔偿费。——对于我们另一种人来说,情况就不同了。如果一个人放弃了基督教信仰,那么,他因此也就把他对于基督教道德的权力弃之脚下了。基督教道德决不是自明的,必须不顾那些浅薄的英国头脑而不断地揭露这一点。基督教是一个体系,对于事物的一种通盘考虑过的完整的观点。倘若破除了其中的一个主要观念——对上帝的信仰,也就粉碎了这个整体,不再有任何必要的东西留在手中了。基督教的前提是,人不知道,不可能知道对他而言孰善孰恶,他信赖上帝,唯有上帝知道。基督教道德是一个命令;它的根源是超验的;它超越于一切批评、一切批评权之外;唯有当上帝是真理之时,它才具有真理性,——它与对上帝的信仰同存共亡。——如果英国人事实上相信他们自发地、“本能地”知道孰为善恶,如果他因而误以为不再必须有基督教作为道德的担保,那么,这本身也只是受基督教价值判断支配的结果,是这种支配的强大和深刻的表现,以致英国道德的根源被遗忘了,以致这种道德的存在权的严格条件性不再被感觉到了。对于英国人来说,道德还不是一个问题……

    ——–

    ①g·eilot(1819—1880):英国女作家。

    6

    乔治·桑——我读过《旅行书简》第一卷,就象卢梭写的一切东西,虚假,做作,诈呼,夸张。我受不了这种花哩胡哨的糊墙纸风格;就如同受不了贱氓想显示慷慨情感的虚荣心一样。当然,最糟糕的还是女人用男子气、用顽童举止来卖弄风情。——她在这么做时必定是多么冷静,这让人受不了的女艺人!她像钟表一样上紧发条——并且写作……冷静得像雨果,像巴尔扎克,像一切浪漫主义者,只要他们在创作!而她会如何自我欣赏地躺在那里,这条多产的写作母牛,她身上具有某些坏的德国素质,就象她的师傅卢梭一样,并且无论如何只有在法国趣味衰败时她才可能出现!——可是勒南崇拜她……

    7

    心理学家的道德。——不要制作廉价兜售的心理学!绝不为观察而观察!这会造成一种错觉,一种斜视,一种勉强而夸张的东西。抱着体验的愿望去体验,这是不行的。在体验时不允许凝视自己,否则每一瞥都会变成“邪魔的眼光”。一个天生的心理学家本能地提防为看而看;这一点也适用于天生的画家。他从不“依照自然”而工作,——他让他的本能、他的camera obscura①去筛选、压榨“事件”、“自然”、”经历”……然后他才意识到一般的东西、结论、结果;他不会从个别事例中武断地抽象出什么。——倘若换一种做法,譬如说,像巴黎大大小小的小说家那样制作廉价售兜的心理学,会怎么样呢?这好象是在伏击现实世界,每晚带一把稀奇玩意儿回家去……但是,人们只看到最后的出产是——一堆乱涂乱写的东西,充其量是一件镶嵌细工,反正是某种堆积、纷扰、俗艳的东西。其中,龚古尔兄弟做的事情最糟、他们不把三句话联在一起,尽管这三句话并不刺痛眼睛、心理学家的眼睛。——用艺术的观点看,自然不是样板。它夸张,它歪曲,它留下漏洞。自然是偶然物。“依照自然”研究在我看来是一个坏的征象,它暴露了屈服、软弱、宿命论,——

    膜拜petits faits②是一个完全的艺术家所不屑为的。看看有什么东西,这是另一种灵魂所做的事,是反艺术的、务实的灵魂所做的事。一个人必须知道他是哪种人……

    ——–

    ①法文:摄影机暗箱。

    ①法文:琐事末节。

    8

    论艺术家心理。——为了艺术得以存在,为了任何一种审美行为或审美直观得以存在,一种心理前提不可或缺:醉。首先须有醉提高整个机体的敏感性,在此之前不会有艺术。醉的如此形形色色的具体种类都拥有这方面的力量:首先是性冲动的醉,醉的这最古老最原始的形式。同时还有一切巨大欲望、一切强烈情绪所造成的醉;酷虐的醉;破坏的醉;某种天气影响所造成的醉,例如春天的醉,或者因麻醉剂的作用而造成的醉;最后,意志的醉,一种积聚的、高涨的意志的醉。——醉的本质是力的提高和充溢之感。出自这种感觉,人施惠于万物,强迫万物向已索取,强奸万物,——这个过程被称做理想化。我们在这里要摆脱一种成见:理想化并非如通常所认为的,在于抽掉或排除细枝末节。把主要特征声势浩大地动员起来,这毋宁说是决定性的因素,以致其他特征这时便消失了。

    9

    在这种状态中,人出于他自身的丰盈而使万物充实:他之所见所愿,在他眼中都膨胀,受压,强大,负荷着过重的力。处于这种状态的人改变事物,直到它们反映了他的强力,——直到它们成为他的完满之反映。这种变得完满的需要就是——艺术。甚至一切身外之物,也都成为他的自我享乐;在艺术中,人把自己当作完满来享受。——诚然,还可以设想一种相反的状态,本能的一种特殊的反艺术家类型,——即这样一种类型,它使万物贫乏,黯然,患上痨病。事实上,历史充斥着这样的反艺术家,这样的生命饥馑者。这便是真正的基督徒的情形,例如是帕斯卡尔的情形:一个兼为艺术家的基督徒并不存在……请不要太天真,抬出拉斐尔或随便哪一些十九世纪同种疗法的基督徒来反对我:拉斐尔说着肯定,拉斐尔从事肯定,所以拉斐尔不是基督徒……

    10

    我引入美学的对立概念,日神的和酒神的,二者被理解为醉的类别,究竟是什么意思呢?——日神的醉首先使眼睛激动,于是眼睛获得了幻觉能力。画家、雕塑家、史诗诗人是卓越的幻觉家。在酒神状态中,却是整个情绪系统激动亢奋:于是情绪系统一下子调动了它的全部表现手段和扮演、模仿、变容、变化的能力,所有各种表情和做戏本领一齐动员。本质的东西依然是变形的敏捷,是不能不做出反应(类似情形见之于某些歇斯底里病人,他们也是因每种暗示而进入每种角色)。酒神状态的人是不可能不去理会任何一种暗示的,他不会放过一个情绪标记,他具有最强烈的领悟和猜测的本能,犹如他握有最高度的传达技巧一样。他进入每个躯体,每种情绪:他不断变换自己。——音乐,如同我们今天所理解的,既是情绪的总激发,又是情绪的总释放,然而只是一个完满得多的情绪表现世界的残余,是酒神颂戏剧硕果仅剩的一种遗迹。为了使作为特殊艺术的音乐成为可能,人们悄悄阻止一些官能,首先是肌肉的官能(至少相对如此,因为一切节奏在某种程度上都还是诉诸我们的肌肉):于是,人不再立刻身体力行地模仿和表演他所感觉的一切。然而,这毕竟是真正的标准酒神状态,无论如何是原初状态;音乐则是以最相近的能力渐渐加工成的新产品。

    11

    演员、伶人、舞蹈家、音乐家、抒情诗人在其本能上是一脉相通的,原本是一体,但逐渐地专门化和分化了——直至竟然彼此冲突。抒情诗人和音乐家的联合,演员和舞蹈家的联合,持续最久。——建筑师既不表现酒神状态,也不表现日神状态:这里是伟大的意志行为,是移山的意志,是伟大意志的醉,这醉渴求着艺术。最强有力的人总是给建筑师以灵感;建筑师始终受到力的启发。建筑物应当显示出骄傲、对重力的胜利和强力意志;建筑风格是强力的一种能言善辩的形式,它时而循循劝诱,甚至阿谀逢迎,时而只是威严下令。具有伟大风格的建筑,表达了最高的力感和安全感。强力不再需要证明;它不屑于讨好;它严词作答;它不感到周围有见证;它生存着,对于与它对立之物的存在懵然无知;它立足于自身,宿命,法则中的一个法则:这便是伟大风格的自由。

    12

    我读过托马斯·卡莱尔的生平,这场不知不觉的闹剧,这篇对于消化不良状态的英雄道德诠释。——卡莱尔,一个大言不惭的家伙,一个迫不及待的雄辩家,不断被对于一种强大信念的渴望和无能为之的感觉搅扰着(这便是一个典型的浪漫主义者的特点!)。对于一种强大信念的渴望并不是一种强大信念的证据,毋宁说适得其反。如果一个人具有这样的信念,那么,他可以允许自己享受一下怀疑论的奢华,因为他足够安全,足够坚定,足够自制。卡莱尔对具有强大信念的人物大唱崇拜高调。对不太单纯的人大发雷霆,以此麻痹自己心中的某种东西:他需要喧嚣。对自己不断持有一种热情奔放的不诚实态度——这就是他的proprium①,他因此是并且始终是令人感兴趣的。——当然,他在英国正是因为他的诚实而大受赞赏……好吧,这是英国式的;考虑到英国人是地道cant②的民族,就不但可以理解,甚至是理所当然的了。卡莱尔本质上是一个英国无神论者,但他却以不是无神论者为荣。

    ——–

    ①拉丁文:特色

    ②英文:假正经。

    13

    爱默生。——比卡莱尔开明、逍遥、复杂、精巧得多,尤其是幸运得多……是这样一个人,他纯粹本能地向精美食物靠拢,而把消化不了的东西留在事物中。与卡莱尔相比,他是一个有鉴赏力的人。——卡莱尔很喜欢他,尽管如此,还这么说他:“他不给我们足够的东西来啃。”这话说得公正,但无损于爱默生。——爱默生有一种宽厚聪慧的快活性情,足以消解一切认真态度;他全然不知道他已多么年老以及他们将多么年轻,——他可以用维迦①的一句话来说自己:“yo mesucedo a mi mismo②。”他的灵魂总是能找到满足甚至感激的理由;他有时达到了那个老实汉子的快活的超然境界,这个汉子从一次情人幽会tamguamre bene gesta③返回,他感激地说:ut desint vires,tamen eot lau-danda volu-ptas④。。”

    ——–

    ①lope de vega(1562—1635):西班牙戏剧家。

    ②我是我的继承者。

    ③心满意足地。

    ④拉丁文:虽然寻欢作乐是值得和称赞的,但是能力已经消失。

    14

    反达尔文。——关于著名的“生存竞争”,我目前认为,与其说它已被证明,不如说它是一种武断。它发生过,却是作为例外;生命的总体方面不是匮乏和饥饿,而是丰富。奢华乃至荒唐的浪费,——凡有竞争之处,都是为强力而竞争……不应当把马尔萨斯与自然混为一谈。——不过,假定真有生存竞争——事实上它发生着——那么,可惜其结果和达尔文学派的愿望相反,和人们或许可以同他们一起愿望的相反,也就是说,对强者、优秀者、幸运的例外者不利。物种并不走向完善:弱者总是统治强者、——因为他们是多数,他们也更精明……达尔文忘记了精神(这是英国式的!),弱者有更多的精神……一个人需要精神,才能获得精神。——当他不再需要它之时,他就失去它了。谁强大,谁就放弃精神(在德国人们现在这样想:“精神滚蛋吧,但帝国必定仍是我们的”……)。人们知道,我所说的精神是指预见、忍耐、狡计、伪装、巨大的自我克制以及一切是mimicry①的东西(所谓德行的大部分都属于这最后一项)。

    ——–

    ①英文:模仿。

    15

    心理学家辨析。——这是一位知人行家,他究竟为何要研究人呢?他想在他们头上谋取小利,甚至是大利,——他是一个政客!……那一位也是个知人行家,而他对他们说,他不想借此获取任何利益,这是一位伟大的“无私者”罢。仔细看看吧!也许他是想获取一种更可恶的利益,即感到自己比人优越,可以俯视他们,不再把自己和他们混淆。这位“无私者”是一个蔑视人类者;而前面那位却是人类,这是凭观察可以断定的。至少他把自己摆在平等的地位,他把自己摆进去……

    16

    我由一系列例子而发现,德国人的心理节奏颇成问题,我的谦虚阻止我展示这些例子的清单。有一个例子对我却很有诱惑,使我要去论证我的命题:我怨恨德国人在康德及其“后门哲学”(如我所命名的)的问题上弄错了,——这不是智性正直的典型。——我不堪听的另一样东西是声名狼藉的“和”:德国人说“歌德和席勒”,——我担心他们说“席勒和歌德”……难道人们不了解这个席勒?——还有一个更糟的“和”;我亲耳(不过只是在我们的大学教授中)听到过叔本华和哈特曼①……

    ——–

    ①k·hartmann(1842—1906):德国哲学家。

    17

    最富精神性的人们,他们必首先是最勇敢的,也在广义上经历了最痛苦的悲剧。但他们正因此而尊敬生命,因为它用它最大的敌意同他们相对抗。

    18

    论“良知”。——在我看来,今日没有什么比真正的虚伪更为罕见了。我很怀疑,这种植物受不了我们文化的温馨气氛。虚伪属于有强大信仰的时代,在那时,人们甚至在被迫接受另一种信仰时,也不放弃从前的信仰。今日人们放弃它;或者更常见的是,再添上第二种信仰,——在每种场合他们都依然是诚实的。毫无疑问,与过去相比,今日能够有数目大得多的信仰,所谓能够,就是说被允许,就是说没有危险。由此产生了自我宽容。——这种自我宽容许可有好多信仰,它们和平共处,——它们谨防自己丢丑,就象今日全世界都在做的那样。今日一个人怎样才丢丑?在他矢志如一的情况下。在他一条路走到底的情况下。在他不模棱两可的情况下。在他秉性纯正的情况下……我很担心,对于有些罪恶而言,现代人简直是过于懒散了,以致这些罪恶正在灭绝。一切以坚强意志为前提的恶(也许不存在无坚强意志的恶)在我们的温暖空气中正在蜕化为德行……我所知道的少数几个虚伪者是在模仿虚伪,他们就象当今几乎所有十岁儿童一样是戏子。

    19

    美与丑。——没有什么比我们对美的感觉更有条件,毋宁说更受限制的了。如果试图离开人对人的愉悦去思考美,就会立刻失去根据和立足点。“自在之美”纯粹是一句空话,从来不是一个概念。在美之中,人把自身树为完美的尺度;在精选的场合,他在美之中崇拜自己。一个物种舍此便不能自我肯定。它的至深本能,自我保存和自我繁衍的本能,在这样的升华中依然发生作用。人相信世界本身充斥着美,——他忘了自己是美的原因。唯有他把美赠与世界,唉,一种人性的、太人性的美……归根到底,人把自己映照在事物里,他又把一切反映他的形象的事物认作美的:“美”的判断是他的族类虚荣心……一个小小的疑问或许会在怀疑论者耳旁低语:人认为世界是美的,世界就真的因此被美化了吗?人把世界人化了:仅此而已。然而,无法担保,完全无法担保,人所提供的恰好是美的原型。谁知道人在一位更高的趣味判官眼里是什么模样呢?也许是胆大妄为的?甚至也许是令人发笑的?也许是稍许专断的?……“啊,狄奥尼索斯,天神,你为何拉我的耳朵?”在拿克索斯的一次著名对话中,阿莉阿德尼①这样问她的哲学情人。“我在你的耳朵里发现了一种幽默,阿莉阿德尼,为何它们不更长一些呢?”

    ——–

    ①希腊神话中克里特王弥诺斯的女儿,后嫁给酒神狄奥尼索斯。

    20

    没有什么是美的,只有人是美的:在这一简单的真理上建立了全部美学,它是美学的第一真理。我们立刻补上美学的第二真理:没有什么比衰退的人更丑了,——审美判断的领域就此被限定了。——从生理学上看,一切丑都使人衰弱悲苦。它使人想起颓败、危险和软弱无能;在它旁边,人确实丧失了力量。可以用功率计测出丑的效果。只要人在何处受到压抑,他就可估出某种“丑”的东西近在身旁。他的强力感,他的求强力的意志,他的勇气,他的骄傲——这些都随丑的东西跌落,随美的东西高扬……在这两种场合,我们得出同一个结论:美和丑的前提极其丰富地积聚在本能之中。丑被看作衰退的一个暗示和表征:哪怕极间接地令人想起衰退的东西,都会使我们作出“丑”这个判断。每种枯竭、笨重、衰老、疲惫的征兆,每种身不由己,不论痉挛或瘫痪,特别是解体和腐烂的气味、颜色、形状,哪怕最终弱化为一个记号——这一切都引起同样的反应,都引起“丑”这个价值判断。在这里,一种憎恶之情油然而生:人憎恶什么呢?毫无疑问,憎恶他的类型的衰落。他出于至深的族类本能而憎恶;在这憎恶中有惊恐,审慎,深刻,远见,——这是世上最深刻的憎恶。因为这,艺术是深刻的……

    21

    叔本华。——叔本华,这最后一个值得注意的德国人(如同歌德、黑格尔和亨利希·海涅,他是一个欧洲事件,而不仅仅是一个本地事件,一个“民族”事件),对于心理学家来说是一个头等课题:他是一个恶作剧式的天才尝试,为了虚无主义地根本贬低生命,却把正相反对的判决,“生命意志”的伟大的自我肯定,生命的蓬勃形态,引出了场。他依次把艺术、英雄主义、天才、美、伟大的同情、知识、求真理的意志、悲剧都解释为“否定”或渴望否定“意志”的产物——除了基督教,这便是历史上有过的最大的心理学的伪币制造行为。仔细考察,他在这方面只是基督教解释的继承者,不过他尚知道把基督教所拒绝的东西,即人类伟大的文化事业,仍然在一种基督教的也就是虚无主义的意义上加以赞成(即作为通向“解脱”之路,作为“解脱”的前奏,作为激起“解脱”欲望的刺激剂……)。

    22

    我举一个例子。叔本华以一种忧伤的激情谈论美,——归根到底是为什么?因为他在其中看到了一座人们在上面继续走下去或渴望继续走下去的桥梁……在他看来,它便是从“意志”的暂时解脱——它吸引人们追求永久解脱……尤其是他把它评价为使人摆脱“意志的焦点”即性欲的救星,——他在美之中看到生殖冲动被否定……奇怪的圣人!我怕自然会借随便哪个人之口来反驳你。在大自然里,声音、颜色、气味、有节奏的运动等等的美究竟为何存在?是什么促使美显现?——幸而反驳他的还有一位哲学家。不亚于神圣的柏拉图(叔本华自己这样称呼他)的一个权威认为另一种意见是正确的:一切美都刺激生殖,——这正是美的效果的proprib um①,从最感性的到最精神性的……

    ——–

    ①拉丁文:特性

    23

    柏拉图走得更远。他带着一种无罪感——为了具有这种无罪感,一个人必须是希腊人而不是“基督徒”——说,如果没有如此美貌的雅典青年,就根本不会有柏拉图哲学:他们的流盼使哲学家的灵魂情意缠绵,荡漾不宁,直到它把一切崇高事物的种子栽入这片美丽的土壤里。又一个奇怪的圣人!——人们简直不相信自己的耳朵了,但要假定他们相信柏拉图。他们至少会猜到,在雅典,是以不同的方式,特别是公开的方式从事哲学的。没有什么比一个隐士编织的蛛网,比斯宾诺莎式的amor intel lec-tualis dei①更不是希腊的了。按照柏拉图的方式,哲学毋宁可以定义为一场情欲的竞赛,对古老的性颠狂及其前提的深究和沉思……从柏拉图的这种哲学情欲里,最终生长出了什么呢?希腊竞技的一种新的艺术形式——辩论术。——我还想起一个反对叔本华而支持柏拉图的事实:古典法国的全部高级文化和文学,都是在性兴趣的土壤上生长起来的。在其中人们随处可以寻找献殷勤、性感、性竞争、“女人”,——决不会徒劳地寻找的……

    ——–

    ①拉丁文:神的知性之爱

    24

    为艺术而艺术①——反对艺术中的目的的斗争,始终是反对艺术中的道德化倾向、反对把艺术附属于道德的斗争。为艺术而艺术意味着:“让道德见鬼去吧!”然而,这种敌视仍然暴露了受成见的支配。如果把道德劝诫和人性改善的目的从艺术中排除出去,那么,不用多久就会产生一个后果:艺术完全是无目的、无目标、无意义的,简言之,为艺术而艺术——一条咬住自己尾巴的蛔虫。“宁肯全无目的,胜于有一个道德目的!”——纯粹的激情如此说。一位心理学家反问:全部艺术何为?它不赞美吗?它不颂扬吗?它不选择吗?它不是提拔吗?它以此加强或削弱某种价值评价……这只是雕虫小技?只是细枝末节?艺术家的本能全然不参与其事?或者相反:这岂非艺术家之所能的先决条件?艺术家的至深本能岂非指向艺术,更确切地说,指向艺术的意义——生命?指向生命的热望?——艺术是生命的伟大兴奋剂:怎么能把它理解为无目的、无目标的,理解为为艺术而艺术呢?——还有一个问题:艺术也表现生命的许多丑的、严酷的、可疑的方面,——它岂非因此也好象诟病生命了?——事实上,有的哲学家就宣扬艺术的此种意义:叔本华把“舍弃意志”说成艺术的全部目的,把“生产听天由命的情绪”奉为悲剧的伟大功用。——但是,我早已阐明,这是悲观主义者的光学,是“邪魔的眼光”——:必须诉诸艺术家本身。悲剧艺术家传达自身的什么?难道不正是在他所显示的可怕可疑事物面前的无所畏惧的状态?——这状态本身就是令人热望的;凡了解它的人,都对它怀有最高的敬意。他传达它,他不得不传达它,只要他是艺术家,一个传达的天才。面对一个强大的敌人,面对一种巨大的不幸,面对一个令人恐惧的问题,而有勇气和情感的自由——这样一种得胜的状态,被悲剧艺术家选中而加以颂扬。在悲剧面前,我们灵魂里的战士庆祝他的狂欢节;谁习惯于痛苦,谁寻求痛苦,英雄气概的人就以悲剧来褒扬他的生存,——悲剧诗人只是为他斟这杯最甜蜜的残酷之酒。

    ——–

    ①原文为法文:l’art pour l’art

    08 一个不合时宜的漫游(2)

    25

    偏爱一个人,为他的心灵敞开大门,这是慷慨的,但只是慷慨而已。人们发现有些心灵娴于高贵的好客,其上有许多遮严的窗户和紧闭的百叶窗板,却让其最好的房间空着。为什么呢?——因为它们等待着无人“偏爱”的客人……

    26

    当我们传达自己时,我们便不再充分地评价自己。我们真正的体验全然不是饶舌的。它们尽管愿意,也不能够传达自己。因为它们缺乏语词。当我们把某种体验形诸语词时,我们已经失落这种体验了。在一切言谈中都有一点儿蔑视。语言似乎只是为平均的、中庸的、可传达的东西发明的。说话者业已用语言使自己平庸化。——从聋哑人和别的哲学家的一种道德出发。

    27

    “这幅美丽的画像多么迷人!”……这个女文人,不满,激动,心灵和内脏一片荒凉,每时每刻怀着痛苦的好奇心倾听从她机体深处低声发出的命令:“autliberiautlibri①。”这个女文人,有足够的教养领悟自然的声音,哪怕它说的是拉丁语;另一方面又有足够的虚荣和愚蠢,哪怕在私下也用法语对自己说:“jemeverrai,jimelirai,jem’extasiera ietjedirai:possible,quej’aieeutantd’esprit?”②……

    ——–

    ①拉丁文:孩子或作品。

    ②法文:“我将观看我自己,我将朗读我自己,我将迷恋我自己并且我将说:也许我真有如此的聪慧吧?”

    28

    “无私者”发表高论。——“对于我们来说,没有比智慧、忍耐、冷静更容易的事了。我们浸透了宽容和同情的油膏,我们以一种荒谬的方式而合理,我们宽恕一切。正因此我们应该更严格地坚持一点什么,正因此我们应该不断培育一小点儿情绪的冲动,一小点儿情绪冲动的罪恶。这对我们并非快事;在我们之间,我们也许会嘲笑我们因此所提供的方面。可是有什么办法呢!我们再也没有别的自我克服的方式:这是我们的禁欲主义,我们的赎罪”……变成自私的——

    这是“无私者”的德行……

    29

    出自一次博士考试。——“一切高等教育的任务是什么?”——把人变成机器。——“用什么方法?”——他必须学会厌倦自己。——“怎样做到这一点?”——通过义务观念。——“谁是他在这方面的榜样?”——教人死记硬背的语言学家。——“谁是完人?”——国家官员。——“什么哲学提供了国家官员的最高公式?”——康德哲学:作为自在之物的国家官员审判作为现象的国家官员。

    30

    做蠢事的权利。——疲惫而呼吸迟缓的工作者,目光亲切,对事物听其自然:在现在工作的(以及“帝国”的!)时代,这种角色在社会各阶层中都可以遇到,如今他们也要求享有艺术了,包括书籍尤其报刊,——甚至美丽的自然,意大利……这些迟暮之人,有着“长眠的野蛮本能”(浮士德语),需要避暑、海水浴、滑冰、拜洛伊特……在这样的时代,艺术有权做纯粹的蠢事,——作为精神,诙谐和情感的一种休假。瓦格纳懂得这一点。纯粹的蠢事使人复元……

    31

    又一个养生问题。——尤里乌斯·凯撒用来防止疾病和头痛的办法:长途行军,简朴的生活方式,坚持住在户外,不停的操劳——一般说来是对付那种精致的、在最高压力下工作的机器的极端易损性的保养措施,这种机器名叫天才。

    32

    非道德主义者的话。——没有什么比愿望着的人更违背一个哲学家的趣味了……当他仅仅在人行动时看见人,当他看见这最勇敢、最狡猾、最坚忍的动物迷失在迷宫般的困境中时,他觉得人是多么值得赞叹!他还鼓励他们……可是,哲学家蔑视愿望着的人和“愿望中”的人——以及一般来说一切愿望中的事物、人的一切理想。如果说一个哲学家可能是虚无主义者的话,那么他便是,因为他在人的一切理想背后发现虚无。甚或不是虚无,——而只是毫无价值、荒谬、病态、懦弱、疲惫的东西,从饮干的人生酒杯中倒出的各种渣滓……现实中的人如此值得尊敬,为何他一旦愿望,就不值得尊重了呢?他必须为他在现实中如此能干而受罚吗?他必须在虚构和荒谬的东西中放松四肢,以此补偿他的行动以及一切行动中的大脑和意志的紧张吗?——迄今为止的人的意愿史是人的partie honteuse①,应当谨防太久地读它。为人辩护的是他的现实,——它永远为他辩护。与随便哪个纯粹愿望中的、梦想中的、卑鄙地捏造出来的人相比,与随便哪个理想的人相比,现实的人何其有价值?——而只有理想的人才违背哲学家的趣味。

    ——–

    ①法文:可耻部位(阴部)

    33

    利己主义的自然价值。——自私的价值取决于自私者的生理学价值:它可能极有价值,也可能毫无价值、令人鄙视。每一个人均可根据他体现生命的上升路线还是下降路线而得到评价。确定这一点之后,他的自私有何价值的问题也就有了一个标准。如果他体现上升路线,那么事实上他的价值是异乎寻常的,——而为了那个凭藉他而继续迈进一步的总体生命的利益,可以极端地关心他的最佳条件的保持和创造。个人,“个体,”按照民众和哲学家迄今为止所理解的那样,肯定是一个错误。个人决非自为的,不是一个原子,不是“链中之一环”,决不仅仅是过去的遗传物,——他还是到他为止人的一条完整的路线本身……如果他体现下降、衰落、慢性的蜕化、疾病(疾病大多已经是衰落的结果而非原因),那么他甚无价值,而且最高公正要求他尽可能少向发育良好者挪用。他纯粹是后者的寄生虫……

    34

    基督徒和无政府主义者。——无政府主义者是衰落的社会阶层的喉舌,当他们义愤填膺地要求“权利”、“公平”、“平等”之时,他们仅仅受着他们的愚昧的支配,不知道他们究竟为何受苦,——他们缺乏什么,缺乏生命……他们身上追根究源的冲动十分强烈:必须有人对他们处境不好负责……甚至“义愤填膺”本身就已使他们感到愉快,骂人对于一切穷鬼来说是一种满足,——它提供了一种小小的权力陶醉。即使抱怨和衷叹也能赋予生活一种魅力,使人可以忍受它。在任何抱怨中都有一种精巧的复仇,人们因为自己的坏处境、有的甚至因为自己的坏品质而责备与他们不同的人,就象责备一种不公正、一种不能容许的特权一样。“如果我是混蛋,那么你也应该是混蛋”:人们根据这样的逻辑闹革命。——衷叹在任何场合都无用,它源自软弱。一个人是向别人衷叹还是向自己衷叹(前者如社会主义者,后者如基督徒),并无真正的区别。两者的共同之处,依我们看也是无价值之处,便是应当有人对他受苦负责——简言之,便是受苦者为自己开一付解苦的复仇蜜糖。这种复仇需要是一种对于快乐的需要,其对象是可能的原因:受苦者到处寻找用来发泄其渺小复仇欲的原因,——再说一遍,如果他是基督徒,他就在自己身上寻找它……基督徒和无政府主义者——两者都是颓废者。——可是,当基督徒谴责、诽谤、诬蔑“世界”之时,他这样做是出于一种本能,社会主义工人出于这同一种本能而遣责、诽谤、诬蔑社会:“最后审判日”仍是甜蜜的复仇安慰——革命,就象社会主义工人所期待的革命一样,只是被设想得更遥远一些罢了……“彼岸”——倘若它不是一个手段的话,为何彼岸总要诬蔑此岸呢?

    35

    颓废道德批判。——一种“利他主义”道德,一种使自私萎缩的道德,在任何情况下都始终是一个坏征兆。这一点适用于个人,这一点绝对适用于民族。一旦没有了自私,也就没有了最好的东西。本能地择取对己有害的东西,受“无私的”动机吸引,这差不多为颓废提供了公式。“不谋私利”——这纯粹是一块道德遮羞布,用来掩盖一个完全不同的事实,即“我不再懂得找到我的利益”这一生理事实……

    本能的崩溃!——当一个人变得利他之时,他也就完了。——颓废者口中的道德谎言不是质朴地说:“我不再有任何价值”;而是说:“没有什么东西有价值,——生命毫无价值”……这样一种判断归根到底总是一种巨大危险,它有传染性,——在整个社会的病态土壤上很快就滋生为茂盛的热带观念植物,时而作为宗教(基督教),时而作为哲学(叔本华主义)。有时候,这种长自腐烂中的有毒植物的气体会久远地、数千年地毒害生命……

    36

    医生的道德。——病人是社会的寄生者。在一定情形下,更久地活下去是不体面的。在生命的意义和生命的权力业已丧失之后,卑怯地依赖医生和医术苟活,理应在社会上招致深深的蔑视。而医生应当是这种蔑视的媒介,——给他的病人开的不是药方,而是每天一服新的厌恶……赋予医生一种新的责任,凡是生命、上升生命的最高利益要求无情排斥和扼杀衰败生命的场合,都要他负责任——例如决定生育权、出生权、生存权……当不再能骄傲地活着时,就骄傲地死去。自愿选择的死,适时的死,心境澄明而愉悦,执行于孩童和见证之中,因而能在辞别者还在场的情形下作一个真正的告别,同时也对成就和意愿作一个真正的估价,对生命作一个总结——这一切同基督教在弥留时刻演出的可怜复可怖的喜剧正好相反。千万不要忘记,基督教是在滥用临死者的软弱以强奸良心,滥用死的方式判定人及其一生的价值!——在这里,尤其要反对一切怯懦的成见,确定所谓自然死亡的真正价值即生理价值:它归根到底也只是一种“非自然”死亡,一种自杀。一个人绝非死于他人之手,而是死于自己之手。只不过这是在最可蔑视的条件下的死,一种不自由的死,一种不适时的死,一种懦夫的死。一个人应当出于热爱生命而希求另一种死。自由,清醒,并非偶然,并非猝不及防……最后,向悲观主义者先生们和其他颓废者进一言:我们不能阻止自己的出生,但是我们能够改正这个错误——因为有时这是个错误。当一个人除掉了自己,他便做了世上最值得尊敬的事情,他因此差不多不枉活了这一生……社会(我说什么呀!)、生命本身由此获得的利益要比靠随便哪种听天由命、贫血或其它德行的“生活”所获得的更多,因为他使别人摆脱了他的景象,他使生命摆脱了一种异议……纯粹的、严格的悲观主义只有通过悲观主义者先生们的自我反驳才得到证明:一个人必须把他的逻辑推进一步,不是像叔本华那样仅仅用“意志和表象”否定生命,——他必须否定叔本华……顺便说说,尽管悲观主义如此富于传染性,毕竟没有增加整个时代、整个世代的疾病,它只是这种疾病的表现。一个人屈服于它,正如屈服于霍乱一样,他业已病弱得不能不屈服了。悲观主义本身没有增添一个颓废者;我想起了统计结果:在霍乱流行的年份,死亡总数与别的年份并无不同。

    37

    我们是否变得更道德了。——正如所预料的,道德愚化的全部残忍性(众所周知,这在德国被视为道德本身)拼命起来反对我的《善恶的彼岸》的观点了,我要谈谈这方面的有教养的历史。人们要我深思我们时代在道德判断方面的“无可否认的优越性”,我们在这方面实际作出的进步:和我们相比,一位ce-sare borgia①确乎不能看作一个“更高尚的人”,一种我所说的“超人”……一个瑞士人,《联盟》的

    ——–

    ①十五世纪一红衣主教。

    编辑,走得如此之远,在对从事如此冒险的勇气略表敬意之后,竟“理解”我的著作的意义在于,我要用它来废除一切正派的情感。十分感谢!——作为答复,请允许我提出这个问题,我们是否变得更道德了?全世界都相信这一点,本身即已令人对之发生异议……我们现代人,极其脆弱,假其敏感,互相关怀备至,千思百虑,便在事实上产生了错觉,以为我们所体现的这种脆弱的人性,在爱护、帮助、互相信任方面所达成的这种齐心协力,似乎是一种积极的进步了,藉此我们似乎远远超过了文艺复兴时代的人们。然而,每个时代都这么想,也必定这么想。确实,我们不能置身于、甚至不能深入设想文艺复兴状态:我们的神经受不了那种现实,更不用说我们的肌肉了。但是,这种无能所证明的不是进步,倒是一种不同的、一种晚期的状况,一种更软弱、更脆弱、更敏感的状况,从中必然产生出一种顾虑重重的道德。如果我们想象一下没有我们的脆弱和迟暮,我们生理上的老化,那么,我们的“人性化”的道德也就立刻丧失了它的价值(没有一种道德自在地具有价值),我们自己就会蔑视它。另一方面我们也不要怀疑这一点:我们现代人的裹着厚棉被、经不起一点碰撞的人性,在cesare borgia的同时代人眼中必是一个笑死人的喜剧。事实上,我们的现代“德行。使我们不由自主地显得极其可笑……敌对本能和猜疑本能的减弱(这就是我们的所谓“进步”)只是生命力普遍减弱的结果之一:要苟延一个如此附有条件、如此迟暮的生命,必须付出百倍的努力和审慎。在这里,人们互相帮助,每个人某种程度上都是病人,又都是护士。这就叫做“德行”;在生命尚能有所不同的人们中,在生命更丰满、更挥霍、更洋溢的人们中,它的名称也有所不同,也许叫做“懦弱”、“可怜”、“老太婆道德”……我们习俗的柔化是衰退的一种结果——这是我的命题,如果愿意,也可说是我的革新;相反,习俗的严峻和可怕可能是生命力充沛的一种结果,因为如此才可以有很多冒险、很多挑战、很多浪费。从前是生命的作料的东西,对于我们却是毒药……淡漠也是坚强的一种形式,而我们是过于老迈、过于迟暮了,同样无能为之;我们的同情道德(我是第一个要人们警惕它的人),人们不妨称它为1’impres-sionisme morale①,它是一切颓废者固有的生理过敏的一种表现。那个试图借叔本华的同情道德赋予自身以科学形态(一个极不成功的尝试!)的运动,乃是道德领域的真正颓废运动,作为这样的运动,它与基督教道德深深地一脉相通。坚强的时代、高贵的文化把同情、“邻人爱”、缺乏自我和自爱看作某种可鄙的品质。——时代是按照自身的积极力量而得到估价的——因此,那个如此挥霍和多灾多难的文艺复兴时代乃是作为最后一个伟大时代而出现的,而我们,我们现代人,却因为我们胆怯的自我操心和邻人爱,我们的勤劳、谦虚、公正、科学的美德(热衷于搜集,节俭,刻板),而成为一个衰弱的时代……我们的德行是由道德印象主义。

    ——–

    ①法文:道德印象主义。

    我们的衰弱所决定、所要求的……“平等”,一种事实上的雷同化,所谓“平权”理论仅是其表达方式,本质上属于衰落。人与人、阶层与阶层之间的鸿沟,类型的多样化,自我实现、自我提高的意志,我称这一切为庄严的距离感,它们是每个坚强时代所固有的。如今,极端之间的张力和跨度日益缩小了,——极端本身终于消失而成为雷同……我们的一切政治理论和国家宪法,“德意志帝国”绝非例外,都是衰落的必然结论和后果;颓废的无意识影响竟至于支配了个别科学部门的理想。我对整个英国和法国的社会学府一直存有异议,它们从经验中只了解到社团的衰败形态,并且完全不知羞愧地把自身的衰败本能用作社会价值判断标准。衰落的生命,一切组织力即分离、挖掘鸿沟、使人服从和指挥的力量的丧失,被今日的社会学公式化为理想……我们的社会主义者是颓废者,但赫伯特·斯宾塞先生也是一个颓废者,——他在利他主义的胜利中看到了某种值得盼望的东西!……

    38

    我的自由观。一件事物的价值有时候并不在于靠它所获得的,而在于为它所付出的,——它使我们所花费的。我举一个例子。自由主义机构一旦建立,就立刻不再是自由主义的了,此后没有比自由主义机构更加严重和彻底地损害自由的东西了。人们诚然知道它们做了些什么:它们暗中损害强力意志,它们拉平山岳和沟壑,并将此抬举为道德,它们渺小、怯懦而又沾沾自喜地行事,,——畜群动物总是靠了它们而高奏凯歌。直截了当地说,自由主义就是使人类畜群动物化……这同一种机构只要它们还将以战斗争取什么,就会发生迥异的作用;它们就在事实上以一种强有力的方式促进自由。仔细看来,发生这种作用的是战争,为自由主义机构而进行的战争,它作为战争而使非自由主义的本能得以延续。而战争则导致自由。因为,什么是自由?就是一个人有自己承担责任的意志。就是一个人坚守分离我们的距离。就是一个人变得对艰难、劳苦、匮乏乃至对生命更加不在意。就是一个人准备着为他的事业牺牲人们包括他自己。自由意味着男性本能、好战喜胜本能支配其他本能,例如支配“幸福”本能。自由人有着何等自由的精神,践踏着小商贩、基督徒、母牛、女人、英国人和其他民主分子所梦想的可怜的舒适。自由人是战士。——在个人抑或在民族,自由依据什么来衡量呢?依据必须克服的阻力,依据保持在上所付出的努力。自由人的最高类型必须到最大阻力恒久地被克服的地方去寻找:离暴政咫尺之远,紧接被奴役的危险。这一点在心理学上是真实的,因为一个在“暴君”统治下领悟了无情的、可怕的本能,它要求最大限度的权威和自我训练(尤里乌斯·恺撒是最光辉的典范);这在政治上也是真实的,只要回顾一下历史就可以了。曾经有过一定价值、变得有一定价值的民族决不是在自由主义机构下变得如此的,巨大的危险把它们造就成令人敬畏的东西,危险教导我们开始认识我们的救助手段,我们的德行,我们的盾和矛,我们的精神,——危险迫使我们坚强……第一原理:一个人必须有必要坚强,否则决不会坚强,——那些培育坚强、最坚强类型的人的伟大温室,罗马和威尼斯类型的贵族社会,深知我所理解的含义上的自由:它是一个人所具有而又不具有的东西,一个人所想望的东西,一个人所赢得的东西……

    39

    现代性的批判,——我们的机构已经毫无用处,对此大家都有同感。但是责任不在它们,而在我们。在我们丢失了机构由之生长的一切本能之后,我们也就丢失了这些机构,因为我们不再适合于它们。民主主义在任何时代都是组织力衰退的形式,我在《人性的,太人性的》第一卷第三百十八节中业已把现代民主政治及其半成品,如同“德意志帝国”一样,判为国家的没落形式。凡有机构,就必有一种意志、本能、命令、反自由主义到了恶毒的地步;必有要求传统、权威、世纪以上的责任、无限延续的世代的团结的意志。如果有了这样的意志,那么,类似罗马帝国的东西就有了根基;或者类似俄国,它是今日有肉体活力、能够等待、尚可许诺一点东西的唯一权力,——俄国是欧洲可怜的渺小政治和神经过敏的对立概念,它随着德意志帝国的建立而进入了一种批判状态……整个西方不再具有机构从中长出、未来从中长出的那种本能,也许没有什么东西如此不合它的“现代精神”了。人们得过且过,活得极其仓促,——活得极其不负责任:却美其名曰“自由”。把机构造就成机构的那种东西遭到蔑视、憎恨、排斥,只要听到“权威”这个词,人们就认为自己面临新的奴役的危险。我们的政治家、我们的政党的价值本能中的颓废已达到如此地步:他们本能地偏爱造成瓦解、加速末日的东西……证据是现代婚姻。现代婚姻显然丧失了一切理性,但这并非要反对婚姻,而是要反对现代性。婚姻的理性基于男人的法律责任,婚姻因此而有重心,今天它却是双腿跛行。婚姻的理性基于它原则上的不可解体性质,它因此而获得一种音调,面对情感、激情和机遇的偶然事件,这种音调懂得为自己创造听觉。婚姻的理性也基于家诞所承担的选种责任。由于对爱情结婚的癖好持愈来愈宽容的态度,形成了这样一种对婚姻基本状况:最初把婚姻造就成一种机构的那种东西已经消失。人们决不在一种过敏反应的基础上建立一个机构,如上所述,人们不在‘爱情”的基础上建立婚姻,——而是把它建立在性冲动、财产冲动(女人和孩子是财产)统治冲动的基础上,最后这种冲动不断为自己组织最小的统治单位——家诞,它需要孩子和后嗣、以便也在心理上保持权力、影响、财富的一个已达到的尺度,以便为长期使命、为世纪之间的本能团结预作准备。婚姻作为机构业已包含着对最伟大、最持久的组织形式的肯定,如果社会本身不能作为整体为自己向最遥远的世代作出担保,那么婚姻就毫无意义。——现代婚姻已经丧失其意义,——所以人们废除它。

    40

    工人问题。——愚昧,透底地说,作为今日一切愚昧的原因的本能之退化,就在于存在着一个工人问题。不对确定的事物发问,本能的第一命令。——我完全看不出,自从人们把欧洲工人当作一个问题提出来以后,究竟想拿他们干什么。他们情况相当好,用不着愈来愈多、愈来愈放肆地提出问题。他们终究是多数。在这里,一种淳朴知足的人、一种中国人类型本来会形成为阶层,这本来是合理的,简直是必然的,但这个希望已完全消逝。人们在做什么?——在竭力把这方面的条件毁于萌芽状态,——人们以不负责任的马虎态度根本毁坏了一种本能,凭藉这种本能,工人才能形成为阶层,才能独立。人们使工人能武善战,给他们结社权和政治投票权。倘若工人如今已经觉得他们的生活乃是一种困境(用道德语言说即不公正),这又有什么奇怪呢?然而再问一遍,人们想要什么?如果一个人想要一个目标,那么也就必须想耍手段,如果一个人想要奴隶,却又去把他们教育成主人,那么他就是一个傻瓜。

    41

    “我指的不是自由……”——在今天这样的时代。放任本能更是一种灾难。这些本能彼此矛盾、干扰、破坏;我业已把现代定义为生理上的自相矛盾。教育理性要求,至少应使这些本能系统中的一个在铁的压力下瘫痪,以便允许另一个变得强大有力,起支配作用。在今天,也许只有对个人进行修剪,才能使个人成为可能,所谓可能也就是完整……事实却相反:正是那些条条缰绳都已松驰的人,在最激烈地要求独立、自由发展、laisser aller①——在政治领域是这样,在艺术领域也是这样。但这是颓废的一个征兆,我们现在的“自由”观念更是本能退化的一个证据。

    ——–

    ①法文:自由放任。

    42

    何处必须有信仰。——在道德家和圣人中,没有什么东西比诚实更为罕有了;也许他们说的、甚至信仰的都是相反的东西。因为当一种信仰比自觉的虚伪更加有利、有效、令人信服之时,本能的虚伪立刻变得无辜了:理解大圣人的第一原理。在另一种圣人即哲学家那里也有一整套手艺,他们只容许某些真理,即那种使他们的手艺获得公众批准的真理,——用康德的方式来说,就是实践理性的真理。他们知道,他们必须证明什么,在这方面他们是实际的,——他们彼此心照不宣,他们就“真理”达成协议。——“你不应说谎”——直截了当地说:您,我的哲学家先生,要谨防说真理……

    43

    说给保守党人听。——人们过去不知道什么,人们现在知道、能够知道什么——任何意义和程度上的退化、倒退都是完全不可能的,至少我们生理学家知道这一点。然而,所有牧师和道德家都相信那是可能的,——他们想把人类带回到、拧紧在一种过去的道德规范上。道德始终是一张普洛克路斯忒斯①之床。连政治家们在这方面也模仿道德传教士:今天还有些政党在梦想万物象螃蟹一样倒行,以此为自己的目标。但是,没有一样东西可以随意变成螃蟹。毫无办法,人们必须前进,也就是说,一步步颓废下去(这是我给现代“进步”下的定义……)。人们可以阻碍这个进程,通过阻碍,堵塞和积聚最后的蜕变,使之来得更猛烈、更骤然,他们不能做得更多了。

    ——–

    ①希腊神话中的强盗,所开旅店里有一张铁床,旅客投宿时,他把身材高的截短,矮的拉长,使之与床等长。

    44

    我的天才观。——伟大如同伟大时代一样,是积聚着巨大能量的爆炸物;其历史的和生理的前提始终是,他们身上长久地搜集、积累、节省、保存着能量,——长久地不发生爆炸。如果紧张度过高,那么,最偶然的刺激就足以把“天才”、“事业”、伟大命运唤入世界。与环境、时代、“时代精神”、“公众舆论”有何相干!以拿破仑为例。革命时期的法国,以及革命前的法国,原可以产生与拿破仑是相反的典型,但也产生了拿破仑。而因为拿破仑是另一种人。是一个比法国的发展于蒸汽和戏剧中的文明更强大、更悠久、更古老的文明的后裔,所以在法国他成了主人,在法国只有他是主人。伟大是必然的,而他们出现于其中的时代是偶然的;他们之所以几乎总是成为时代的主人,只是因为他们更强大、更古老,他们身上的积聚过程更悠久。天才与其时代的关系,犹如强与弱,年老与年轻的关系,比较之下,时代总是年轻、单薄、未成年、不可靠、稚嫩得多。——关于个问题,如今在法国(德国也一样,不过无足轻重)人们有完全不同的想法,在那里,一种真正的神经症患者理论,即milieu①理论。变得神圣不可侵犯,近乎是科学的,甚至还颇得生理学家的信奉,这种情形“散发着臭味”,令人产生哀思,——在英国,顺应天才和“伟人”只有两条路:巴克尔(buckle)的民主方式或卡莱尔的宗教方式。——伟人和伟大时代的危险是异乎寻常的;种种耗竭、贫瘠尾随着他们。伟人是一个终结;伟大时代例如文艺复兴时代是一个终结。天才(创作天才和行动天才)必然是一个挥霍者。耗费自己便是他的伟大之处……自我保存的本能似乎束之高阁;汹涌的力的过强压迫禁止他有任何这种照料和审慎。人们把这叫做“牺牲精神”;人们赞美他的“英雄主义”,他对自身利益的漠不关心,他的献身于一个理想、一个事业、一个祖国:全是误解……他奔腾,他泛滥,他消耗自己,他不爱惜自己,——命定地,充满厄运地,不由自主地,就象江河决堤是不由自主的一样。但是,由于人们在这种易爆物身上受惠甚多,所以他们也多多回赠,例如赠予一种高尚的道德……这诚然是人类感恩的方式:他们误解他们的恩人。

    ——–

    ①法文:环境。

    45

    罪犯及其近亲。——罪犯类型是处于不利条件下的强者的类型,是一种病态的强者。他缺少荒原,缺少某种更自由更危险的自然和生存方式,在其中,凡属强者本能中进攻和防卫的素质均可合法存在。他的德行被社会拒之门外;他的最活跃的冲动只要在他身上出现,就立刻与压抑的情绪、猜疑、恐惧、耻辱交织在一起。但这几乎是促成生理退化的药方。谁必须秘密地做他最擅长、最爱做的事情,怀着长久的紧张、谨慎和诡谲心情,他就会贫血;而由于他从他的本能那里总是只得到危险、迫害和灾祸,他的情感也转而反对这些本能了——他宿命地感受它们了。这就是社会,我们的驯良、中庸、阉割过的社会,在其中,一个来自山岳或海洋冒险的自然生长的人必然堕落成罪犯。或者近乎必然。因为在有些场合,一个这样的人证明自己比社会更强有力,科西嘉人拿破仑便是最著名的例子。对于这里所提出的问题,陀思妥耶夫斯基的证词具有重要意义——顺便说说,陀思妥耶夫斯基是我从之学到一点东西的唯一心理学家,他是我生命中最美好的幸遇之一,甚至要超过我之发现司汤达。这个深刻的人有十倍的权利蔑视肤浅的德国人,他长期生活在西伯利亚囚犯中间,发现这些被断了回到社会的归路的正直的重罪犯与他所期待的十分不同——他们差不多是用俄罗斯土地上生长的最好、最坚硬、最有价值的木材雕成的。让我们把罪犯的例子推而广之,设想那一种天性,由于随便哪种原因,他们得不到公众赞同,他们知道他们不被视为有益有用,——怀着一种贱民的感觉:人们不是平等待之,而是把他们看作被放逐、无价值、起污染作用的东西。所有这些天性在思想和举动上都有地下生活者的颜色;他们身上的每样东西都比生活在日光中的人们苍白,可是,几乎一切我们今日所赞扬的生存方式,从前都曾经生活在半坟墓的气氛中:科学家,艺术家,天才,自由思想家,演员,商人,大发明家……只要教士被看作最高的类型,每种有价值的人就会遭到贬值……我预言,这一时代正在到来,那时教士被看作最低的类型,看作我们的贱民,看作人的最不真实、最不体面的类别……我注意到,即使是现在,对于风俗的管理是地球上,至少是欧洲有史以来最温和的,在这种条件下,每种怪僻,每种长久的、太长久的隐私(q1nterhalb),每种不惯常、不透明的生存方式,都使人接近罪犯所完成的那种类型。所有的精神革新者都有一个时期在他们额上烙印着贱民的苍白宿命的标记,并非因为他们被如此看待,而是因为他们自己感到有一条可怕的鸿沟,把他们同一切传统分离开来,置于恒久的光荣中。几乎每个天才都知道,“卡提利纳①式的生存”,对于已经存在、不再生成的一切的仇恨感、复仇感、暴乱感,是他的一个发展阶段……卡提利纳是每个凯撒的前生存方式。

    ——–

    ①catilina:古罗马贵族,其暴乱阴谋被西塞罗发现和挫败。

    46

    这里眺望自由无障。——如果一位哲学家沉默,可能是心灵的高潮;如果他反驳自己,可能是爱;说谎可能是认知者的一种礼貌。人们不无优雅地说:i1est indigne des grandscoeurs dere’pandre le trouble,q u’ils ressentent;①不过必须补上一句:不害怕无价值的事同样可能是心灵的伟大。一个爱着的女人奉献她的敬意;一个“爱”着的认知者也许奉献他的人性;一位爱着的上帝变成犹太人……

    ——–

    ①法文:伟大的心灵去传播他们所感受到的颤粟是不值得的。

    47

    美非偶然。——即使一个种族或家族的美,他们全部风度的优雅和亲切,也是人工造就的,是世代努力积累的结果。人必须为美奉献巨大的牺牲,必须为之做许多事,也放弃许多事(十七世纪的法国在这两方面都令人赞叹),对于社交、住地、衣着、性满足必须有一个选择原则,必须爱美甚于爱利益、习惯、意见、懒散。最高原则:人独处时也不能“马马虎虎””——精美的东西是过于昂贵的,而且下述规律始终有效:拥有它的人和谋求它的人不是同一个人。一切财产都是遗产,凡非继承来的,都是不完善的,都只是开端……在西塞罗时代的雅典,西塞罗对男人和少年远比女人美丽感到惊奇,可是,数百年间,当时的男性为此美丽付出了怎样的艰苦努力!——在这里,不要弄错了方法,仅仅训练感情和思想是无济于事的(德国教育的巨大误解就在于此,它全然是幻想的),人必须首先开导躯体,严格维持有意味的、精选的姿势,一种仅仅同不“马马虎虎”对待自己的人共处的约束力,对于变得有意味和精选是完全足够了:两、三代里,一切业已内化。决定民族和人类的事情是,文化要从正确的位置开始——不是从“灵魂”开始(这是教士和半教士的致命的迷信):正确的位置是躯体、姿势、饮食、生理学,由之产生其余的东西……所以,希腊人始终是历史上第一个文化事件——他们懂得,他们在做必须做的事情;蔑视肉体的基督教则是人类迄今最大的不幸。

    48

    我所理解的进步。——我也谈论“复归自然”,虽然它其实不是一种倒退,而是一种上升——上升到崇高、自由甚至可怕的自然和天性,这样一种天性戏弄、并且有权戏弄伟大的使命……打个比方来说,拿破仑是一段我所理解的那种“复归自然”(例如在rebustacticis①方面,尤其如军事家所知在战略方面)。——然而卢梭——他究竟想回到哪里?卢梭,他集第一个现代人、理想主义者和canaile②于一身;他为了能忍受他自己的观点,必须有道德“尊严”;由于无限的虚荣心和无限的自卑感而生病。连这个躺在新时代门槛上的畸胎也想“复归自然”——再问一遍,卢梭究竟想回到哪里?——我之憎恶卢梭还在于大革命,它是这个理想主义者兼canaille的双料货的世界历史性表现。这场大革命所表演的流血闹剧,它的“不道德”,均与我无关,我所憎恨的是它的卢梭式“道德”——大革命的所谓“真理,”它藉此而始终仍在发生作用,并把一切平庸的东西劝诱过来。平等学说!……但是决不会有更毒的毒药了,因为这个学说貌似出于公正本身而被鼓吹,其实却是公正的终结……“给平等者以平等,给不平等者以不平等”——这才是公正的真正呼声,由此而推出:“决不把不平等者拉平。”——围绕着这个平等学说发生的恐怖和流血事件,给这个卓越的“现代理念”罩上了一种光辉和火光,以致革命如同奇观一样也吸引了最高贵的灵魂。归根到底,继续尊崇它是没有理由的。——我只看到一个人对它感到厌恶,就象必定会感到的一样——歌德……

    ——–

    ①法文:迷阵战术。

    ②法文:贱氓

    49

    歌德——不是一个德国事件,而是一个欧洲事件:一个通过复归自然、通过上升到文艺复兴的质朴来克服十八世纪的巨大尝试,该世纪的一种自我克服。——他本身有着该世纪的最强烈的本能:多愁善感,崇拜自然,反历史,理想主义,非实在和革命(革命仅是非实在的一种形式)。他求助于历史、自然科学、古代以及斯宾诺莎,尤其是求助于实践活动;他用完全封闭的地平线围住自己;他执着人生,入世甚深;他什么也不放弃,尽可能地容纳、吸收、占有。他要的是整体;他反对理性、感性、情感、意志的互相隔绝(与歌德意见正相反的康德用一种最令人望而生畏的烦琐哲学鼓吹这种隔绝);他训练自己完整地发展,他自我创造……歌德是崇尚非实在的时代里的一个坚定不移的实在论者:他肯定在这方面与他性质相近的一切,——他没有比那所谓拿破仑的实在论更伟大的经历了。歌德塑造了一种强健、具有高度文化修养、体态灵巧、有自制力、崇敬自己的人,这种人敢于把大自然的全部领域和财富施予自己,他强健得足以承受这样的自由;一种不是出于软弱、而是出于坚强而忍受的人,因为在平凡天性要毁灭的场合,他们懂得去获取他的利益;一种无所禁忌的人,除了软弱,不管它被叫做罪恶还是德行……这样一个解放了的精神带着快乐而信赖的宿命论置身于万物之中,置身于一种信仰:唯有个体被抛弃,在全之中万物得到拯救和肯定——他不再否定……然而一个这样的信仰是一切可能的信仰中最高的:我用酒神的名字来命名它。

    50

    可以说,在某种意义上,十九世纪也是追求歌德作为个人所追求过的一切东西:理解和肯定一切,接纳每样东西,大胆的实在论,崇敬一切事实。何以总的结果却不是歌德,而是混乱,虚无主义的悲叹,不知何来何往,一种在实践中不断驱迫人回溯十八世纪的疲惫的本能?(例如情感浪漫主义,博爱和多愁善感,趣味上的女性主义,政治上的社会主义。)莫非十九世纪,特别是它的末叶,仅是一个强化的野蛮化的十八世纪,即一个颓废世纪?那么莫非歌德不但对于德国,而且对于欧洲,仅是一个意外事件,一个美好的徒劳之举?——然而,如果从公共利益的角度来看伟人,就曲解了他们。一个人懂得不向伟人要求利益,也许这本身就属于伟人……

    51

    歌德是使我肃起敬的最后一个德国人,他大约感受到了我所感受到的三件事,——我们对于“十字架”的意见也一致……常常有人问我,究竟为何要用德文写作,因为我在任何地方都不象在祖国这样糟糕地被人阅读。可是终究有谁知道,我是否还希望在今日被人阅读?——创造时间无奈其何的事物,为了小小的不朽而致力于形式和质料——我还从未谦虚得向自己要求更少。格言和警句是“永恒”之形式,我在这方面是德国首屈一指的大师;我的虚荣心是:用十句话说出别人用一本书说出的东西,——说出别人用一本书没有说出的东西……

  • 王国维《人间词话》

    第一部分

    词以境界为最上。有境界则自成高格,自有名句。五代北宋之词所以独绝者在此。

    有造境,有写境,此理想与写实二派之所由分。然二者颇难分别。因大诗人所造之境,必合乎自然,所写之境,亦必邻于理想故也。

    有有我之境,有无我之境。”泪眼问花花不语,乱红飞过秋千去。(1)””可堪孤馆闭春寒,杜鹃声里斜阳暮。(2)”有我之境也。”采菊东篱下,悠然见南山。(3)””寒波澹澹起,白鸟悠悠下。(4)”无我之境也。有我之境,以我观物,故物我皆著我之色彩。无我之境,以物观物,故不知何者为我,何者为物。古人为词,写有我之境者为多,然未始不能写无我之境,此在豪杰之士能自树立耳。

    注释:

    (1) 冯延巳【鹊踏枝】:”庭院深深深几许?杨柳堆烟,帘幕无重数。玉勒雕鞍游冶处,楼高不见章台路。 雨横风狂三月暮,门掩黄昏,无计留春住。泪眼问花花不语,乱红飞过秋千去。”

    (2) 秦观【踏沙行】:”雾失楼台,月迷津度,桃源望断无寻处。可堪孤馆闭春寒,杜鹃声里斜阳暮。 驿寄梅花,鱼传尺素,砌成此恨无重数。郴江幸自郴山,为谁流下潇湘去!”

    (3) 陶潜【饮酒诗】第五首:”结庐在人境,而无车马喧。问君何能尔,心远地自偏。采菊东篱下,悠然见南山。山气日夕佳,飞鸟相与还。此中有真意,欲辨已忘言。”

    (4) 元好问【颖亭留别】:”故人重分携,临流驻归驾。乾坤展清眺,万景若相借。北风三日雪,太素秉元化。九山郁峥嵘,了不受陵跨。寒波澹澹起,白鸟悠悠下。怀归人自急,物态本闲暇。壶觞负吟啸,尘土足悲咤。回首亭中人,平林淡如画。”

    无我之境,人惟于静中得之。有我之境,于由动之静时得之。故一优美,一宏壮也。

    自然中之物,互相限制。然其写之于文学及美术中也,必遗其关系,限制之处。故虽写实家,亦理想家也。又虽如何虚构之境,其材料必求之于自然,而其构造,亦必从自然之法则。故虽理想家,亦写实家也。

    境非独谓景物也。喜怒哀乐,亦人心中之一境界。故能写真景物,真感情者,谓之有境界。否则谓之无境界。

    “红杏枝头春意闹(1)”,著一”闹”字,而境界全出。”云破月来花弄影(2)”,著一”弄”字,而境界全出矣。

    注释:

    (1) 宋祁【玉楼春】(春景):”东城渐觉风光好,毂皱波纹迎客楫。绿扬烟外晓寒轻,红杏枝头春意闹。 浮生长恨欢娱少,肯爱千金轻一笑。为君持酒劝斜阳,且向花间留晚照。”

    (2) 张先【天仙子】(时为嘉禾小,以病眠,不赴府会):”水调数声持酒听,午醉醒来愁未醒。送春春去几时回?临晚镜,伤流景,往事后期空记省。 沙上并禽池上暝,云破月来花弄影。重重帘幕密遮灯,风不定,人初静,明日落红应满径。”

    境界有大小,不以是而分优劣。”细雨鱼儿出,微风燕子斜(1)”何遽不若”落日照大旗,马鸣风萧萧(2)”。”宝帘闲挂小银钩(3)”何遽不若”雾失楼台,月迷津渡(4)”也。

    注释:

    (1) 杜甫【水槛遣心二首】之一:”去郭轩楹敞,无村眺望赊。澄江平少岸,幽树晚多花。细雨鱼儿出,微风燕子斜。城中十万户,此地两三家。”

    (2) 杜甫【后出塞五首】之一:”朝进东门营,暮上河阳桥。落日照大旗,马鸣风萧萧。平沙列万幕,部伍各见招。中天悬明月,令严夜寂寥。悲笳数声动,壮士惨不骄。借问大将谁,恐是霍嫖姚。”

    (3) 秦观【浣溪沙】:”漠漠轻寒上小楼,晓阴无赖似穷秋,淡烟流水画屏幽。 自在飞花轻似梦,无边丝雨细如愁,宝帘闲挂小银钩。”

    (4) 秦观【踏沙行】见三注。

    严沧浪《诗话》谓:”盛唐诸人,唯在兴趣。羚羊挂角,无迹可求。故其妙处,透彻玲珑,不可凑泊。如空中之音、相中之色、水中之月、镜中之象,言有尽而意无穷。”余谓:北宋以前之词,亦复如是。然沧浪所谓兴趣,阮亭所谓神韵,犹不过道其面目,不若鄙人拈出”境界”二字,为探其本也。

    太白纯以气象胜。”西风残照,汉家陵阙。(1)”寥寥八字,遂关千古登临之口。后世唯范文正之渔家傲(2),夏英公之喜迁莺(3),差足继武,然气象已不逮矣。

    注释:

    (1) 李白【忆秦娥】:”箫声咽,秦娥梦断秦楼月。秦楼月,年年柳色,灞陵伤别。 乐游原上清秋节,咸阳古道音尘绝。音尘绝,西风残照,汉家陵阙。”

    (2) 范仲淹【渔家傲】(秋思):”塞下秋来风景异,衡阳雁去无留意。四面边声连角起。千嶂里,长烟落日孤城闭。 浊酒一杯家万里,燕然未勒归无计。羌管悠悠霜满地。人不寐,将军白发征夫泪。”

    (3) 夏竦【喜迁莺令】:”霞散绮,月垂钩。帘卷未央楼。夜凉银汉截天流,宫阙锁清秋。 瑶台树,金茎露。凤髓香盘烟雾。三千珠翠拥宸游,水殿按凉州。”

    十一

    张皋文谓:”飞卿之词,深美闳约(1)。”余谓:此四字唯冯正中足以当之。刘融齐谓:”飞卿精妙绝人。(2)”差近之耳。

    注释:

    (1) 张惠言《词选序》:”唐之词人,温庭筠最高,其言深美闳约。”

    (2) 刘熙载《艺概》卷四《词曲概》:”温飞卿词精妙绝人,然类不出乎绮怨。”

    十二

    “画屏金鹧鸪(1)”,飞卿语也,其词品似之。”弦上黄莺语(2)”,端己语也,其词品亦似之。正中词品,若欲于其词句中求之,则”和泪试严妆(3)”,殆近之欤?

    注释:

    (1) 温庭筠【更漏子】:”柳丝长,春雨细。花外漏声迢递。惊塞雁,起城乌。画屏金鹧鸪。 香雾薄,透帘幕。惆怅谢家池阁。红烛背,绣帘垂。梦长君不知。”

    (2) 韦庄【菩萨蛮】:”红楼别夜堪惆怅,香灯半卷流苏帐。残月出门时,美人和泪辞。 琵琶金翠羽,弦上黄莺语。劝我早归家,绿窗人似花。”

    (3) 冯延巳【菩萨蛮】:”娇鬟堆枕钗横凤,溶溶春水杨花梦。红烛泪阑干,翠屏烟浪寒。 锦壶催画箭,玉佩天涯远。和泪试严妆,落梅飞晓霜。”

    十三

    南唐中主词:”菡萏香销翠叶残,西风愁起绿波闲(1)。”大有众芳芜秽,美人迟暮之感。乃古今独赏其”细雨梦回鸡塞远,小楼吹彻玉笙寒。”故知解人正不易得。

    注释:

    (1) 李璟【浣溪沙】:”菡萏香销翠叶残,西风愁起绿波间。还与韶光共憔悴,不堪看。 细雨梦回鸡塞远,小楼吹彻玉笙寒。多少泪珠何限恨,倚阑干。”

    十四

    温飞卿之词,句秀也。韦端己之词,骨秀也。李重光之词,神秀也。

    十五

    词至李后主而眼界始大,感慨遂深,遂变伶工之词而为士大夫之词。周介存置诸温韦之下(1),可为颠倒黑白矣。”自是人生长恨水长东(2)”、”流水落花春去也,天上人间(3)”,《金荃》《浣花》,能有此气象耶?

    注释:

    (1) 周济《介存斋论词杂著》:”毛嫱,西施,天下美妇人也。严妆佳,淡妆亦佳,粗服乱头,不掩国色。飞卿,严妆也。端己,淡妆也。后主则粗服乱头矣。”

    (2) 后主【相见欢】:”林花谢了春红,太匆匆,无奈朝来寒雨晚来风。 胭脂泪,留人醉,几时重?自是人生长恨水长东!”

    (3) 后主【浪淘沙】:”帘外雨潺潺,春意阑珊。罗衾不耐五更寒。梦里不知身是客,一晌贪欢。 独自莫凭栏,无限江山,别时容易见时难。流水落花春去也,天上人间。”

    十六

    词人者,不失其赤子之心者也。故生于深宫之中,长于妇人之手,是后主为人君所短处,亦即为词人所长处。

    十七

    客观之诗人,不可不多阅世。阅世愈深,则材料愈丰富,愈变化,《水浒传》、《红楼梦》之作者是也。主观之诗人,不必多阅世。阅世愈浅,则性情愈真,李后主是也。

    十八

    尼采谓:”一切文学,余爱以血书者。”后主之词,真所谓以血书者也。宋道君皇帝【燕山亭】词(1)亦略似之。然道君不过自道生世之戚,后主则俨有释迦基督担荷人类罪恶之意,其大小固不同矣。

    注释:

    (1) 宋徽宗【燕山亭】(北行见杏花):”裁翦冰绡,轻叠数重,淡著燕脂匀注。新样靓妆,艳溢香融,羞杀蕊珠宫女。易得凋零,更多少无情风雨。愁苦。闲院落凄凉,几番春暮。 凭寄离恨重重,这双燕何曾,会人言语。天遥地远,万水千山,知他故宫何处?怎不思量?除梦里有时曾去。无据。和梦也、新来不做。”

    十九

    冯正中词虽不失五代风格,而堂庑特大,开北宋一代风气。与中后二主词皆在《花间》范围之外,宜《花间集》中不登其只字也(1)。

    注释:

    (1) 龙沐勋《唐宋名家词选》:”案《花间集》多西蜀词人,不采二主及正中词,当由道里隔绝,又年岁不相及有以致然。非因流派不同,遂尔遗置也。王说非是。”

    二十

    正中词除【鹊踏枝】【菩萨蛮】十数阕最暄赫外,如【醉花间】之”高树鹊衔巢,斜月明寒草(1)”,余谓韦苏州之”流萤渡高阁(2)”、孟襄阳之”疏雨滴梧桐(3)”不能过也。

    注释:

    (1) 冯延巳【醉花间】:”晴雪小园春未到。池边梅自早。高树鹊衔巢,斜月明寒草。 山川风景好。自古金陵道。少年看却老。相逢莫厌醉金杯,别离多,欢会少。”

    (2) 韦应物【寺居独夜寄崔主簿】:”幽人寂无寐,木叶纷纷落。寒雨暗深更,流萤渡高阁。坐使青灯晓,还伤夏衣薄。宁知岁方晏,离居更萧索。”

    (3) 《全唐诗》卷六:孟浩然句,”微云淡河汉,疏雨滴梧桐。”唐王士源《孟浩然集》序云:”浩然尝闲游秘省,秋月新霁,诸英华赋诗作会。浩然句云「微云淡河汉,疏雨滴梧桐。」举座嗟其清绝,咸阁笔不复为继。”

    二一

    欧九【浣溪沙】词:”绿杨楼外出秋千。(1)”晁补之谓:只一”出”字,便后人所不能道。余谓:此本于正中【上行杯】词”柳外秋千出画墙(2)”,但欧语尤工耳。

    注释:

    (1) 欧阳修【浣溪沙】:”堤上游人逐画船,拍堤春水四垂天。绿杨楼外出秋千。 白发戴花君莫笑,六么催拍盏频传。人生何处似尊前。”

    (2) 冯延巳【上行杯】:”落梅著雨消残粉,云重烟轻寒食近。罗幕遮香,柳外秋千出画墙。 春山颠倒钗横凤,飞絮入帘春睡重。梦里佳期,只许庭花与月知。”

    二二

    梅圣俞【苏幕遮】词:”落尽梨花春又了。满地残阳,翠色和烟老。(1)”刘融斋谓:少游一生似专学此种(2)。余谓:冯正中【玉楼春】词:”芳菲次第长相续,自是情多无处足。尊前百计得春归,莫为伤春眉黛促。(3)”永叔一生似专学此种。

    注释:

    (1) 梅尧臣【苏幕遮】(草):”露堤平,烟墅杳。乱碧萋萋,雨后江天晓。独有庚郎年最少。地春袍,嫩色宜相照。 接长亭,迷远道。堪怨王孙,不记归期早。落尽梨花春又了。满地残阳,翠色和烟老。”

    (2) 刘熙载《艺概》卷四《词曲概》引此词云:”此一种似为少游开先。”

    (3) 冯延巳【玉楼春】:”雪云乍变春云簇,渐觉年华堪送目。北枝梅蕊犯寒开,南蒲波纹如酒绿。 芳菲次第还相续,不奈情多无处足。尊前百计得春归,莫为伤春眉黛促。”

    二三

    人知和靖【点绛唇】(1)、圣俞【苏幕遮】(2)、永叔【少年游】(3)三阕为咏春草绝调。不知先有正中”细雨湿流光(4)”五字,皆能摄春草之魂者也。

    注释:

    (1) 林逋【点绛唇】(草):”金谷年年,乱生春色谁为主。余花落处,满地和烟雨。 又是离愁,一阕长亭暮。王孙去。萋萋无数,南北东西路。”

    (2) 梅尧臣【苏幕遮】见二二注。

    (3) 欧阳修【少年游】:”阑干十二独凭春,晴碧远连云。千里万里,二月三月,行色苦愁人。 谢家池上,江淹浦畔,吟魄与离魂。那堪疏雨滴黄昏,更特地忆王孙。”

    (4) 冯延巳【南乡子】:”细雨湿流光,芳草年年与恨长。烟锁凤楼无限事,茫茫。鸾镜鸳衾两断肠。 魂梦任悠扬,睡起杨花满绣床。薄幸不来门半掩,斜阳。负你残春泪几行。”

    二四

    《诗·蒹葭》(1)一篇,最得风人深致。晏同叔之”昨夜西风凋碧树。独上高楼,望尽天涯路(2)。”意颇近之。但一洒落,一悲壮耳。

    注释:

    (1) 《诗经·蒹葭》:”蒹葭苍苍,白露为霜。所谓伊人,在水一方。溯洄从之,道阻且长。溯游从之,宛在水中央。蒹葭凄凄,白露未晞。所谓伊人,在水之湄。溯洄从之,道阻且跻。溯游从之,宛在水中坻。蒹葭采采,白露未已。所谓伊人,在水之沚,溯洄从之,道阻且右。溯游从之,宛在水中沚。”

    (2) 晏殊【蝶恋花】:”槛菊愁烟兰泣露。罗幕轻寒,燕子双飞去。明月不谙别离苦,斜光到晓穿朱户。 昨夜西风凋碧树。独上高楼,望尽天涯路。欲寄彩笺兼尺素,山长水阔知何处。”

    二五

    “我瞻四方,蹙蹙靡所骋。(1)”诗人之忧生也。”昨夜西风凋碧树。独上高楼,望尽天涯路(2)”似之。”终日驰车走,不见所问津。(3)”诗人之忧世也。”百草千花寒食路,香车系在谁家树(4)”似之。

    注释:

    (1) 《诗经·小雅·节南山》:”驾彼四牡,四牡项领。我瞻四方,蹙蹙靡所骋。”

    (2) 晏殊【蝶恋花】见二四注。

    (3) 陶潜【饮酒】第二十首:”羲农去我久,举世少复真。汲汲鲁中叟,弥缝使其纯。凤鸟虽不至,礼乐暂得新。洙泗绝微响,漂流逮狂秦。诗书复何罪,一朝成灰尘。区区诸老翁,为事诚殷勤。如何绝世下,六籍无一亲?终日驰车走,不见所问津。若复不快饮,空负头上巾。但恨多谬误,君当恕罪人。”

    (4) 冯延巳【鹊踏枝】:”几日行云何处去,忘却归来,不道春将暮!百草千花寒食路,香车系在谁家树? 泪眼倚楼频独语:双燕来时,陌上相逢否?撩乱春愁如柳絮,悠悠梦里无寻处。”

    二六

    古今之成大事业、大学问者,必经过三种之境界:”昨夜西风凋碧树。独上高楼,望尽天涯路。(1)”此第一境也。”衣带渐宽终不悔,为伊消得人憔悴。(2)”此第二境也。”众里寻他千百度,蓦然回首,那人却在,灯火阑珊处。(3)”此第三境也。此等语皆非大词人不能道。然遽以此意解释诸词,恐为晏欧诸公所不许也。

    注释:

    (1) 晏殊【蝶恋花】见二四注。

    (2) 柳永【凤栖梧】:”伫倚危楼风细细。望极春愁,黯黯生天际。草色烟光残照里。无言谁会凭栏意。 拟把疏狂图一醉,对酒当歌,强乐无味。衣带渐宽终不悔,为伊消得人憔悴。”

    (3) 辛弃疾【青玉案】(元夕):”东风夜放花千树。更吹落、星如雨。宝马雕车香满路,凤箫声动,玉壶光转,一夜鱼龙舞。 蛾儿雪柳黄金缕。笑语盈盈暗香去。众里寻它千百度。蓦然回首,那人却在,灯火阑珊处。”

    二七

    永叔”人生自是有情痴,此恨不关风与月。””直须看尽洛城花,始共春风容易别。(1)”于豪放之中有沈著之致,所以尤高。

    注释:

    (1) 欧阳修【玉楼春】:”尊前拟把归期说,未语春容先惨咽。人生自是有情痴,此恨不关风与月。 离歌且莫翻新阕,一曲能教肠寸结。直须看尽洛城花,始共春风容易别。”

    二八

    冯梦华《宋六十一家词选序例》 谓:”淮海小山,古之伤心人也。其淡语皆有味,浅语皆有致。”余谓此唯淮海足以当之。小山矜贵有余,但方可驾子野方回,未足抗衡淮海也。

    二九

    少游词境最为凄婉。至”可堪孤馆闭春寒,杜鹃声里斜阳暮。”则变而凄厉矣。东坡赏其后二语(1),犹为皮相。

    注释:

    (1) 秦观【踏莎行】见三注。东坡绝爱其尾两句,自书于扇曰:”少游已矣,虽万人何赎。”

    三十

    “风雨如晦,鸡犬不已(1)”、”山峻高以蔽日兮,下幽晦以多雨;霰雪纷其无垠兮,云霏霏而承宇(2)”、”树树皆秋色,山山唯落晖(3)”、”可堪孤馆闭春寒,杜鹃声里斜阳暮(4)”气象皆相似。

    注释:

    (1) 《诗·郑风·风雨》:”风雨凄凄,鸡鸣喈喈。既见君子,云胡不夷。风雨潇潇,鸡鸣胶胶。既见君子,云胡不瘳。风雨如晦,鸡鸣不已。既见君子,云胡不喜。”

    (2) 《楚辞.九章.涉江》(辞长不录)。

    (3) 王绩【野望】:”东皋薄暮望,徒倚欲何依。树树皆秋色,山山唯落晖。牧人驱犊返,猎马带禽归。相顾无相识,长歌怀采薇。”

    (4) 秦观【踏莎行】见三注。

    三一

    昭明太子称:陶渊明诗”跌宕昭彰,独超众类。抑扬爽朗,莫之兴京。(1)”王无功称:薛收赋”韵趣高奇,词义晦远。嵯峨萧瑟,真不可言。(2)”词中惜少此二种气象,前者唯东坡,后者唯白石,略得一二耳。

    注释:

    (1) 见萧统《陶渊明集》序。

    (2) 见《王无功集》卷下【答冯子华处士书】。所称薛收赋,谓系【白牛溪赋】。

    三二

    词之雅郑,在神不在貌。永叔少游虽作艳语,终有品格。方之美成,便有淑女与倡伎之别。

    三三

    美成深远之致不及欧秦。唯言情体物,穷极工巧,故不失为第一流之作者。但恨创调之才多,创意之才少耳。

    三四

    词忌用替代字。美成【解语花】之”桂华流瓦(1)”,境界极妙。惜以”桂华”二字代”月”耳。梦窗以下,则用代字更多。其所以然者,非意不足,则语不妙也。盖意足则不暇代,语妙则不必代。此少游之”小楼连苑”、”绣毂雕鞍”(2),所以为东坡所讥也(3)。

    注释:

    (1) 周邦彦【解语花】(元宵):”风销焰蜡,露浥烘炉,花市光相射。桂华流瓦。纤云散,耿耿素娥欲下。衣裳淡雅。看楚女、纤腰一把。箫鼓喧、人影参差,满路飘香麝。 因念都城放夜。望千门如昼,嬉笑游冶。钿车罗帕。相逢处、自有暗尘随马。年光是也。唯只见、旧情衰谢。清漏移、飞盖归来,从舞休歌罢。”

    (2) 秦观【水龙吟】:”小楼连苑横空,下窥绣毂雕鞍骤。朱帘半卷,单衣初试,清明时候。破暖轻风,弄晴微雨,欲无还有。卖花声过尽,斜阳院落,红成阵、飞鸳甃。 玉佩丁东别后。怅佳期、参差难又。名韁利锁,天还知道,和天也瘦。花下重门,柳边深巷,不堪回首。念多情,但有当时皓月,向人依旧。”

    (3) 《历代诗余》卷五引曾慥《高齐词话》:”少游自会稽入都见东坡。东坡问作何词,少游举「小楼连苑横空,下窥绣毂雕鞍骤。」东坡曰:十三字只说得一个人骑马楼前过。”

    三五

    沈伯时《乐府指迷》云:”说桃不可直说破桃,须用红雨刘郎等字。咏柳不可直说破柳,须用章台、灞岸等字。”若惟恐人不用代字者。果以是为工,则古今类书具在,又安用词为耶?宜其为《提要》所讥也(1)。

    注释:

    (1) 《四库提要》集部词曲类二沈氏《乐府指迷》条:”又谓说桃须用红雨、刘郎等字,说柳须用章台、灞岸等字,说书须用银钩等字,说泪须用玉箸等字,说发须用绛云等字,说簟须用湘竹等字,不可直说破。其意欲避鄙俗,而不知转成涂饰,亦非确论。”

    三六

    美成【苏幕遮】词:”叶上初阳干宿雨。水面清圆,一一风荷举。(1)”此真能得荷之神理者。觉白石【念奴娇】【惜红衣】二词(2),犹有隔雾看花之恨。

    注释:

    (1) 周邦彦【苏幕遮】:”燎沈香,消溽暑,鸟雀呼晴,侵晓窥檐语。叶上初阳干宿雨。水面清圆,一一风荷举。 故乡遥,何日去?家住吴门,久作长安。五月渔郎相忆否?小楫轻舟,梦入芙蓉浦。”

    (2) 姜夔【念奴娇】:”闹红一舸,记来时,尝与鸳鸯为侣。三十六陂人未到,水佩风裳无数。翠叶吹凉,玉容销酒,更洒菰蒲雨。嫣然摇动,冷香飞上诗句。日暮。 青盖亭亭,情人不见,争忍凌波去。只恐舞衣寒易落,愁入西风南浦。高柳垂阴,老鱼吹浪,留我花间住。田田多少?几回沙际归路。”

    姜夔【惜红衣】:”簟枕邀凉,琴书换日,睡余无力。细洒冰泉,并刀破甘碧。墙头唤酒,谁问讯城南诗客?岑寂。高柳晚蝉,说西风消息。 虹梁水陌,鱼浪吹香,红衣半狼籍。维舟试望故国。眇天北。可惜渚边沙外,不共美人游历。问甚时同赋,三十六陂秋色?”

    三七

    东坡【水龙吟】咏杨花(1),和均而似元唱。章质夫词(2),原唱而似和均。才之不可强也如是!

    注释:

    (1) 苏轼【水龙吟】(次韵章质夫杨花词):”似花还似非花,也无人惜从教坠。抛家傍路,思量却是,无情有思。萦损柔肠,困酣娇眼,欲开还闭。梦随风万里,寻郎去处,又还被、莺呼起。 不恨此花飞尽,恨西园、落红难缀。晓来雨过,遗踪何在,一池萍碎。春色三分,二分尘土,一分流水。细看来不是杨花,点点是离人泪。”

    (2) 章质夫【水龙吟】(杨花):”燕忙莺懒芳残,正堤上、杨花飘坠。轻飞乱舞,点画青林,全无才思。闲趁游丝,静临深院,日长门闭。傍珠帘散漫,垂垂欲下,依前被、风扶起。 兰帐玉人睡觉,怪春衣、雪沾琼缀。绣床渐满,香球无数,才圆欲碎。时见蜂儿,仰粘轻粉,鱼吞池水。望章台路杳,金鞍游荡,有盈盈泪。”

    三八

    咏物之词,自以东坡【水龙吟】最工,邦卿【双双燕】(1)次之。白石【暗香】、【疏影】(2),格调虽高,然无一语道著,视古人”江边一树垂垂发(3)”等句何如耶?

    注释:

    (1) 史达祖【双双燕】(咏燕):”过春社了,度帘幕中间,去年尘冷。差池欲往,试入旧巢相并。还相雕梁藻井,又软语商量不定。飘然快拂花梢,翠尾分开红影。 芳径,芹泥雨润。爱贴地争飞,竞夸轻俊。红楼归晚,看足柳暗花暝。应自栖香正稳,便忘了、天涯芳信。愁损翠黛双娥,日日画栏独凭。”

    (2) 姜夔【暗香】:(辛亥之冬,予载雪诣石湖。止既月,授简索句,且征新声,作此两曲。石湖把玩不已,使工妓肆习之,音节谐婉,乃名之曰暗香、疏影。)”旧时月色,算几番照我,梅边吹笛?唤起玉人,不管清寒与攀摘。何逊而今渐老,都忘却春风词笔。但怪得竹外疏花,香冷入瑶席。 江国,正寂寂,叹寄与路遥,夜雪初积。翠尊易泣,红萼无言耿相忆。长记曾携手处,千树压西湖寒碧。又片片吹尽也,几时见得?”

    姜夔【疏影】:”苔枝缀玉,有翠禽小小,枝上同宿。客里相逢,篱角黄昏,无言自倚修竹。昭君不惯胡沙远,但暗忆江南江北。想佩环月夜归来,化作此花幽独。 犹记深宫旧事,那人正睡里,飞近蛾绿。莫似春风,不管盈盈,早与安排金屋。还教一片随波去,又却怨玉龙哀曲。等恁时、重觅幽香,已入小窗横幅。”

    (3) 杜甫【和裴迪登蜀州东亭送客逢早梅相忆见寄】:”东阁官梅动诗兴,还如何逊在杨州。此时对雪遥相忆,送客逢春可自由。幸不折来伤春暮,若为看去乱乡愁。江边一树垂垂发,朝夕催人自白头。”

    三九

    白石写景之作,如”二十四桥仍在,波心荡、冷月无声(1)”、”数峰清苦,商略黄昏雨(2)”、”高树晚蝉,说西风消息(3)”虽格韵高绝,然如雾里看花,终隔一层。梅溪、梦窗诸家写景之病,皆在一”隔”字。北宋风流,渡江遂绝。抑真有运会存乎其间耶?

    注释:

    (1) 姜夔【杨州慢】:”淮左名都,竹西佳处,解鞍少驻初程。过春风十里,尽荠麦青青。自胡马、窥江去后,废池乔木,犹厌言兵。 渐黄昏清角,吹寒都在空城。杜郎俊赏,算而今、重到须惊。纵豆蔻词工,青楼梦好,难赋深情。二十四桥仍在,波心荡、冷月无声。念桥边红药,年年知为谁生?”

    (2) 姜夔【点绛唇】:”燕雁无心,太湖西畔随云去。数峰清苦。商略黄昏雨。 第四桥边,拟共天随往。今何许?凭栏怀古,残柳参差舞。”

    (3) 姜夔【惜红衣】见三六注。

    四十

    问”隔”与”不隔”之别,曰:陶谢之诗不隔,延年则稍隔已。东坡之诗不隔,山谷则稍隔矣。”池塘生春草(1)”、”空梁落燕泥(2)”等二句,妙处唯在不隔,词亦如是。即以一人一词论,如欧阳公【少年游】咏春草上半阕云:”阑干十二独凭春,晴碧远连云。二月三月,千里万里,行色苦愁人。”语语都在目前,便是不隔。至云:”谢家池上,江淹浦畔(3)”则隔矣。白石【翠楼吟】:”此地。宜有词仙,拥素云黄鹤,与君游戏。玉梯凝望久,叹芳草、萋萋千里。”便是不隔。至”酒祓清愁,花消英气(4)”则隔矣。然南宋词虽不隔处,比之前人,自有浅深厚薄之别。

    注释:

    (1) 谢灵运【登池上楼】:”潜虬媚幽姿,飞鸿响远音。薄霄愧云浮,栖川怍渊沈。进德智所拙,退耕力不任。徇禄反穷海,卧对空林。衾枕昧节候,褰开暂窥临。倾耳聆波澜,举目眺岖嵚。初景革绪风,新阳改故阴。池塘生春草,园柳变鸣禽。祁祁伤豳歌,萋萋感楚吟。索居易永久,离群难处心,持操岂独占,无闷征在今。”

    (2) 薛道衡【昔昔盐】:”垂柳覆金堤,蘼芜叶复齐。水溢芙蓉沼,花飞桃李蹊。采桑秦氏女,织锦窦家妻。关山别荡子,风月守空闺。恒敛千金笑,长垂双玉啼。盘龙随镜隐,彩凤逐帷低。飞魂同夜鹊,倦寝忆晨鸡。暗牖悬蛛网,空梁落燕泥。前年过代北,今岁往辽西。一去无消息,那能惜马蹄。”

    (3) 欧阳修【少年游】见二三注。

    (4) 姜夔【翠楼吟】”月冷龙沙,尘清虎落,今年汉酺初赐。新翻胡部曲,听毡幕、元戎歌吹。层楼高峙。看槛曲萦红,檐牙飞翠。人姝丽。粉香吹下,夜寒风细。 此地。宜有词仙,拥素云黄鹤,与君游戏。玉梯凝望久,叹芳草、萋萋千里。天涯情味。仗酒祓清愁,花销英气。西山外。晚来还卷,一帘秋霁。”

    四一

    “生年不满百,常怀千岁忧。昼短苦夜长,何不秉烛游?(1)””服食求神仙,多为药所误。不如饮美酒,被服纨与素。(2)”写情如此,方为不隔。”采菊东篱下,悠然见南山。山气日夕佳,飞鸟相与还。(3)””天似穹庐,笼盖四野。天苍苍,野茫茫,风吹草低见牛羊。(4)”写景如此,方为不隔。

    注释:

    (1) 《古诗十九首》第十五:”生年不满百,常怀千岁忧。昼短苦夜长,何不秉烛游,为乐当及时,何能待来兹。愚者爱惜费,但为后世嗤。仙人王子乔,难可与等期。”

    (2) 《古诗十九首》第十三:”驱车上东门,遥望郭北墓。白杨何萧萧,松柏夹广路。下有陈死人,杳杳即长暮。潜寐黄泉下,千载永不寤。浩浩阴阳移,年命如朝露。人生忽如寄,寿无金石固。万岁更相送,圣贤莫能度。服食求神仙,多为药所误。不如饮美酒,被服纨与素。”

    (3) 陶潜【饮酒诗】见三注。

    (4) 斛律金【敕勒歌】:”敕勒川,阴川下。天似穹庐,笼盖四野。天苍苍,野茫茫,风吹草低见牛羊。”

    四二

    古今词人格调之高,无如白石。惜不于意境上用力,故觉无言外之味,弦外之响。终不能与于第一流之作者也。

    四三

    南宋词人,白石有格而无情,剑南有气而乏韵。其堪与北宋人颉颃者,唯一幼安耳。近人祖南宋而祧北宋,以南宋之词可学,北宋不可学也。学南宋者,不祖白石,则祖梦窗,以白石、梦窗可学,幼安不可学也。学幼安者率祖其粗犷、滑稽,以其粗犷、滑稽处可学,佳处不可学也。幼安之佳处,在有性情,有境界。即以气象论,亦有”横素波、干青云(1)”之概,宁后世龌龊小生所可拟耶?

    注释:

    (1) 萧统《陶渊明集》序:其文章”横素波而傍流,干青云而直上。”

    四四

    东坡之词旷,稼轩之词豪。无二人之胸襟而学其词,犹东施之效捧心也。

    四五

    读东坡、稼轩词,须观其雅量高致,有伯夷、柳下惠之风。白石虽似蝉脱尘埃,然终不免局促辕下。

    四六

    苏辛,词中之狂。白石犹不失为狷。若梦窗、梅溪、玉固、草窗、西麓辈,面目不同,同归于乡愿而已。

    四七

    稼轩”中秋饮酒达旦,用天问体作木兰花慢以送月”,曰:”可怜今夕月,向何处、去悠悠?是别有人间,那边才见,光景东头。(1)”词人想象,直悟月轮绕地之理,与科学家密合,可谓神悟。

    注释:

    (1) 辛弃疾【木兰花慢】(中秋饮酒将旦,客谓:前人诗词,有赋待月,无送月者。因用【天问】体赋。):”可怜今夕月,向何处、去悠悠?是别有人间,那边才见,光景东头。是天外空汗漫,但长风、浩浩送中秋。飞镜无根谁系?姮娥不嫁谁留? 谓经海底问无由。恍惚使人愁。怕万里长鲸,纵横触破,玉殿琼楼。虾蟆故堪浴水,问云何、玉兔解沈浮?若道都齐无恙,云何渐渐如钩?”

    四八

    周介存谓:”梅溪词中,喜用偷字,足以定出其品格。(1)”刘融斋谓:”周旨荡而史意贪(2)”此二语令人解颐。

    注释:

    (1) 见周济《介存斋论词杂著》。

    (2) 刘熙载《艺概》卷四《词曲概》:”周美成律最精审。史邦卿句最警炼。然未得为君子之词者,周旨荡而史意贪也。”

    四九

    介存谓:梦窗词之佳者,如”水光云影,摇荡绿波,抚玩无极,追寻已远。”余览《梦窗甲乙丙丁稿》中,实无足当此者。有之,其”隔江人在雨声中,晚风菰叶生愁怨(1)”二语乎?

    注释:

    (1) 吴文英【踏莎行】:”润玉笼绡,檀樱倚扇。绣圈犹带脂香浅。榴心空垒舞裙红,艾枝应压愁鬟乱。 午梦千山,窗阴一箭。香瘢新褪红丝腕。隔江人在雨声中,晚风菰叶生愁怨。”

    五十

    梦窗之词,吾得取其词中一语以评之,曰:”映梦窗零乱碧。(1)”玉田之词,余得取其词中之一语以评之,曰:”玉老田荒。(2)”

    注释:

    (1) 吴文英【秋思】(荷塘为括苍名姝求赋其听雨小阁。):”堆枕香鬟侧。骤夜声,偏称画屏秋色。风碎串珠,润侵歌板,愁压眉窄。动罗箑清商,寸心低诉叙怨抑。映梦窗零乱碧。待涨绿春深,落花香泛,料有断红流处,暗题相忆。 欢酌。檐花细滴。送故人,粉黛重饰。漏侵琼瑟,丁东敲断,弄晴月白。怕一曲霓裳未终,催去骖凤翼。欢谢客犹未识。漫瘦却东阳,镫前无梦到得。路隔重云雁北。”

    (2) 张炎【祝英台近】(与周草窗话旧):”水痕深,花信足。寂寞汉南树。转首青阴,芳事顿如许。不知多少消魂,夜来风雨。犹梦到、断红流处。 最无据。长年息影空山。愁入庾郎句。玉老田荒,心事已迟暮。几回听得啼鹃,不如归去。终不似、旧时鹦鹉。”

    五一

    “明月照积雪(1)”、”大江流日夜(2)”、”中天悬明月(3)”、”长河落日圆(4)”,此种境界,可谓千古壮观。求之于词,唯纳兰容若塞上之作,如【长相思】之”夜深千帐灯(5)”,【如梦令】之”万帐穹庐人醉,星影摇摇欲坠(6)”差近之。

    注释:

    (1) 谢灵运【岁暮】:”殷忧不能寐,苦此夜难颓。明月照积雪,朔风劲且哀。运往无淹物,年逝觉已催。”

    (2) 谢朓【暂使下都夜发新林至京邑赠同僚】:”大江流日夜,客心悲未央。徒念关山近,终知反路长。秋河曙耿耿,寒渚夜苍苍。引顾见京室,宫雉正相望。金波丽鸱鹊,玉绳低建章。驱车鼎门外,思见昭丘阳。驰晖不可接,何况隔两乡?风云有鸟路,江汉限无梁,常恐鹰隼击,时菊委严霜。寄言罻罗者,寥廓已高翔。”

    (3) 杜甫【后出塞】(之二):”朝进东门营,暮上河阳桥。落日照大旗,马鸣风萧萧。平沙列万幕,部伍各见招。中天悬明月,令严夜寂寥。悲笳数声动,壮士惨不骄。借问大将谁?恐是霍嫖姚。”

    (4) 王维【使至塞上】:”单车欲问边,属国过居延。征蓬出汉塞,归雁入胡天。大漠孤烟直,长河落日圆。萧关逢候骑,都护在燕然。”

    (5) 纳兰性德【长相思】:”山一程,水一程。身向榆关那畔行,夜深千帐灯。风一更,雪一更。聒碎乡心梦不成,故园无此声。”

    (6) 纳兰性德【如梦令】:”万帐穹庐人醉,星影摇摇欲坠。归梦隔狼河,又被河声搅碎。还睡,还睡。解道醒来无味。”

    五二

    纳兰容若以自然之眼观物,以自然之舌言情。此初入中原,未染汉人风气,故能真切如此。北宋以来,一人而已。

    五三

    陆放翁《花间集》,谓”唐季五代,诗愈卑,而倚声者辄简古可爱。能此不能彼,未易以理推也。”《提要》驳之,谓:”犹能举七十斤者,举百斤则蹶,举五十斤则运掉自如。(1)”其言甚辨。然谓词必易于诗,余未敢信。善乎陈卧子之言曰:”宋人不知诗而强作诗,故终宋之世无诗。然其欢愉愁怨之致,动于中而不能抑者,类发于诗余,故其所造独工。(2)”五代词之所以独胜,亦以此也。

    注释:

    (1) 《四库提要》集部词曲类一《花间集》:”后有陆游二跋。……其二称:唐季五代,诗愈卑,而倚声者辄简古可爱。能此不能彼,未易以理推也。不知文之体格有高卑,人之学历有强弱。学力不足副其体格,则举之不足。学力足以副其体格,则举之有余。律诗降于古诗,故中晚唐古诗多不工,而律诗则时有佳作。词又降于律诗,故五季人诗不及唐,词乃独胜。此犹能举七十斤者,举百斤则蹶,举五十则运用自如,有何不可理推乎?”

    (2) 陈子龙《王介人诗余序》:”宋人不知诗而强作诗。其为诗也,言理而不言情,故终宋之世无诗焉。然宋人亦不可免于有情也。故凡其欢愉愁怨之致,动于中而不能抑者,类发于诗余,故其所造独工,非后世可及。盖以沈至之思而出之必浅近,使读之者骤遇如在耳目之表,久诵而得沈永之趣,则用意难也。以儇利之词,而制之实工链,使篇无累句,句无累字,圆润明密,言如贯珠,则铸词难也。其为体也纤弱,所谓明珠翠羽,尚嫌其重,何况龙鸾?必有鲜妍之姿,而不藉粉泽,则设色难也。其为境也婉媚,虽以警露取妍,实贵含蓄,有余不尽,时在低回唱欢之际,则命篇难也。惟宋人专力事之,篇什既多,触景皆会。天机所启,若出自然。虽高谈大雅,而亦觉其不可废。何则?物有独至,小道可观也。”

    五四

    四言敝而有楚辞,楚辞敝而有五言,五言敝而有七言,古诗敝而有律绝,律绝敝而有词。盖文体通行既久,染指遂多,自成习套。豪杰之士,亦难于其中自出新意,故遁而作他体,以自解脱。一切文体所以始盛终衰者,皆由于此。故谓文学后不如前,余未敢信。但就一体论,则此说固无以易也。

    五五

    诗之《三百篇》、《十九首》,词之五代北宋,皆无题也。非无题也,诗词中之意,不能以题尽之也。自《花庵》、《草堂》每调立题,并古人无题之词亦为之作题。如观一幅佳山水,而即曰此某山某河,可乎?诗有题而诗亡,词有题而词亡,然中材之士,鲜能知此而自振拔者也。

    五六

    大家之作,其言情也必沁人心脾,其写景也必豁人耳目。其辞脱口而出,无矫揉妆束之态。以其所见者真,所知者深也。诗词皆然。持此以衡古今之作者,可无大误也。

    五七

    人能于诗词中不为美刺投赠之篇,不使隶事之句,不用粉饰之字,则于此道已过半矣。

    五八

    以【长恨歌】之壮采,而所隶之事,只”小玉双成”四字,才有余也。梅村歌行,则非隶事不办(1)。白吴优劣,即于此见。不独作诗为然,填词家亦不可不知也。

    注释:

    (1) 白居易【长恨歌】有”转教小玉双成”句为隶事。至吴伟业之【圆圆曲】,则入手即用”鼎湖”事,以下隶事句不胜指数。

    五九

    近体诗体制,以五七言绝句为最尊,律诗次之,排律最下。盖此体于寄兴言情,两无所当,殆有均之骈体文耳。词中小令如绝句,长调似律诗,若长调之百字令、沁园春等,则近于排律矣。

    六十

    诗人对宇宙人生,须入乎其内,又须出乎其外。入乎其内,故能写之。出乎其外,故能观之。入乎其内,故有生气。出乎其外,故有高致。美成能入而不出。白石以降,于此二事皆未梦见。

    六一

    诗人必有轻视外物之意,故能以奴仆命风月。又必有重视外物之意,故能与花鸟共忧乐。

    六二

    “昔为倡家女,今为荡子妇。荡子行不归,空床难独守。(1)””何不策高足,先据要路津?无为守穷贱,轲长苦辛。(2)”可为淫鄙之尤。然无视为淫词、鄙词者,以其真也。五代北宋之大词人亦然。非无淫词,读之但觉其亲切动人。非无鄙词,但觉其精力弥满。可知淫词与鄙词之病,非淫与鄙之病,而游词(3)之病也。”岂不尔思,室是远而。”而子曰:”未之思也,夫何远之有?(4)”恶其游也。

    注释:

    (1) 【古诗十九首】第二:”青青河畔草,郁郁园中柳。盈盈楼上女,皎皎当窗牖。娥娥红粉妆,纤纤出素手。昔为倡家女,今为荡子妇。荡子行不归,空床难独守。”

    (2) 【古诗十九首】第四:”今日良宴会,欢乐难具陈。弹筝奋逸响,新声妙入神。令德唱高言,识曲听其真。齐心同所愿,含意俱未申。人生寄一世,奄忽若飙尘。何不策高足,先据要路津?无为守穷贱,轲长苦辛。”

    (3) 金应圭《词选》后序:”规模物类,依托歌舞。哀乐不衷其性,虑欢无与乎情。连章累篇,义不出乎花鸟。感物指事,理不外乎酬应。虽既雅而不艳,斯有句而无章。是谓游词。”

    (4) 《论语·子罕》:”唐棣之华,偏其反而。岂不尔思,室是远而。子曰:未之思也,夫何远之有?”

    六三

    “枯藤老树昏鸦。小桥流水平沙(1)。古道西风瘦马。夕阳西下。断肠人在天涯。”此元人马东篱【天净沙】小令也。寥寥数语,深得唐人绝句妙境。有元一代词家,皆不能办此也。

    注释:

    (1) 按此曲见诸元刊本《乐府新声》卷中、元刊本周德清《中原音韵定格》、明刊本蒋仲舒《尧山堂外纪》卷六十八、明刊本张禄《词林摘艳》及《知不足斋丛书》本盛如梓《庶斋老学丛谈》等书者,”平沙”均作”人家”,即观堂《宋元戏曲史》所引亦同。惟《历代诗余》则作”平沙”,又”西风”作”凄风”,盖欲避去复字耳。观堂此处所引,殆即本《诗余》也。

    六四

    白仁甫《秋夜梧桐雨》剧,沈雄悲壮,为元曲冠冕。然所作《天籁词》,粗浅之甚,不足为稼轩奴隶。岂创者易工,而因者难巧欤?抑人各有能与不能也?读者观欧秦之诗远不如词,足透此中消息。

    宣统庚戍九月脱稿于京师定武城南寓庐

    第二部分

    白实之词,余所最爱者,亦仅二语,曰:”淮南皓月冷千山,冥冥归去无人管。(1)”

    注释:

    (1) 姜夔《踏莎行》(自沔东来,丁未元日至金陵,江上感梦而作。):”燕燕轻盈,莺莺娇软,分明又向华胥见。夜长争得薄情知,春初早被相思染。 别后书辞,别时针线,离魂暗逐郎行远。淮南皓月冷千山,冥冥归去无人管。”

    双声、叠韵之论,盛于六朝,唐人犹多用之。至宋以后,则渐不讲,并不知二者为何物。乾嘉间,吾乡周公霭先生著《杜诗双声叠韵谱括略》,正千余年之误,可谓有功文苑者矣。其言曰:”两字同母谓之双声,两字同韵谓之叠韵。”余按用今日各国文法通用之语表之,则两字同一子音者谓之双声。如《南史·羊元保传》之”官家恨狭,更广八分”,”官家更广”四字,皆从k得声。《洛阳伽蓝记》之”狞奴慢骂”,”狞奴”两字,皆从n得声。”慢骂”两字,皆从m得声也。两字同一母音者,谓之叠韵。如梁武帝”后牖有朽柳”,”后牖有”三字,双声而兼叠韵。”有朽柳”三字,其母音皆为u。刘孝绰之”梁王长康强”,”梁长强”三字,其母音皆为灡也(1)。自李淑《诗苑》伪造沈约之说,以双声叠韵为诗中八病之二,后是诗家多废而不讲,亦不复用之于词。余谓苟于词之荡漾处多用叠韵,促结处用双声,则其铿锵可诵,必有过于前人者。惜世之专讲音律者,尚未悟此也。

    注释:

    (1) 葛立方《韵语阳秋·卷四》引陆龟蒙诗序:”叠韵起自如梁武帝,云「后牖有朽柳」,当时侍从之臣皆倡和。刘孝绰云「梁王长康强」,沈少文云「偏眠船弦边」,庾肩吾云「载碓每碍埭」,自后用此体作为小诗者多矣。”

    世人但知双声之不拘四声,不知叠韵亦不拘平、上、去三声。凡字之同母者,虽平仄有殊,皆叠韵也。

    诗之唐中叶以后,殆为羔雁之具矣。故五代北宋之诗,佳者绝少,而词则为其极盛时代。即诗词兼擅如永叔少游者,词胜于诗远甚。以其写之于诗者,不若写之于词者之真也。至南宋以后,词亦为羔雁之具,而词亦替矣。此亦文学升降之一关键也。

    曾纯甫中秋应制,作《壶中天慢》词(1),自注云:”是夜,西兴亦闻天乐。”谓宫中乐声,闻于隔岸也。毛子晋谓:”天神亦不以人废言。(2)”近冯梦华复辨其诬(3)。不解”天乐”两字文义,殊笑人也。

    注释:

    (1) 曾觌《壶中天慢》(此进御月词也。上皇大喜曰:”从来月词,不曾用金瓯事,可谓新奇。”赐金束带、紫番罗、水晶碗。上亦赐宝盏。至一更五点回宫。是夜,西兴亦闻天乐焉。):”素飙漾碧,看天衢稳送,一轮明月。翠水瀛壶人不到,比似世间秋别。玉手瑶笙,一时同色,小按霓裳叠。天津桥上,有人偷记新阕。 当日谁幻银桥,阿瞒儿戏,一笑成痴绝。肯信群仙高宴处,移下水晶宫阙。云海尘清,山河影满,桂冷吹香雪。何劳玉斧,金瓯千古无缺。”

    (2) 《宋六十名家词》毛晋跋《海野词》:”进月词,一夕西兴,共闻天乐,岂天神亦不以人废言耶?”

    (3) 冯熙《宋六十一家词选》例言:”曾纯甫赋进御月词,其自记云:是夜,西兴亦闻天乐。子晋遂谓天神亦不以人废言。不知宋人每好自神其说。白石道人尚欲以巢湖风驶归功于平调《满江红》,于海野何讥焉?”

    北宋名家以方回为最次。其词如历下、新城之诗,非不华瞻,惜少真味。

    散文易学而难工,韵文难学而易工。近体诗易学而难工,古体诗难学而易工。小令易学而难工,长调难学而易工。

    古诗云:”谁能思不歌?谁能饥不食?(1)”诗词者,物之不得其平而鸣者也。故欢愉之辞难工,愁苦之言易巧。

    注释:

    (1) 晋宋齐辞《子夜歌》:”谁能思不歌?谁能饥不食?日冥当户倚,惆怅底不忆?”

    社会上之习惯,杀许多之善人。文学上之习惯,杀许多之天才。

    昔人论诗词,有景语、情语之别。不知一切景语,皆情语也。

    十一

    词家多以景寓情。其专作情语而绝妙者,如牛峤之”甘作一生拼,尽君今日欢。(1)”,顾□賯之”换我心为你心,始知相忆深。(2)”欧阳修之”衣带渐宽终不悔,为伊消得人憔悴。(3)”美成之”许多烦恼,只为当时,一饷留情。(4)”此等词求之古今人词中,曾不多见。

    注释:

    (1) 牛峤《菩萨蛮》:”玉炉冰簟鸳鸯锦,粉融香汗流山枕。帘外辘轳声,敛眉含笑惊。 柳阴烟漠漠,低鬓蝉钗落。须作一生拼,尽君今日欢。”

    (2) 顾賯《诉衷情》:”永夜抛人何处去?绝来音。香阁掩,眉敛,月将沉。争忍不相寻?怨孤衾。换我心,为你心,始知相忆深。”

    (3) 柳永《凤栖梧》:”伫倚危楼风细细,望极春愁,黯黯生天际。草色烟光残照里,无言谁会凭阑意? 拟把疏狂图一醉,对酒当歌,强乐还无味。衣带渐宽终不悔,为伊消得人憔悴。”此词又误入《欧阳文忠公近体诗乐府》及《醉翁琴趣外编》。

    (4) 周邦彦《庆宫春》:”云接平冈,山围寒野,路回渐展孤城。衰柳啼鸦,惊风驱雁,动人一片秋声。倦途休驾,淡烟里,微茫见星。尘埃憔悴,生怕黄昏,离思牵萦。 华堂旧日逢迎。花艳参差,香雾飘零。弦管当头,偏怜娇凤,夜深簧暖笙清。眼波传意,恨密约,匆匆未成。许多烦恼,只为当时,一饷留情。”

    十二

    词之为体,要眇宜修。能言诗之所不能言,而不能尽言诗之所能言。诗之景阔,词之言长。

    十三

    言气质,言神韵,不如言境界。有境界,本也。气质、神韵,末也。有境界而二者随之矣。

    十四

    “西风吹渭水,落日满长安。(1)”,美成以之入词(2),白仁甫以之入曲(3),此借古人之境界为我之境界者也。然非自有境界,古人亦不为我用。

    注释:

    (1) 贾岛《忆江上吴处士》:”闽国扬帆去,蟾蜍亏复圆。秋风吹渭水,落叶满长安。此夜聚会夕,当时雷雨寒。兰桡殊未返,消息海云端。”

    (2) 周邦彦《齐天乐》(秋思):”绿芜凋尽台城路,殊乡又逢秋晚。暮雨生寒,鸣蛩劝织,深阁时闻裁剪。云窗静掩。叹重拂罗裀,顿疏花簟。尚有囊,露萤清夜照书卷。 荆江留滞最久,故人相望处,离思何限?渭水西风,长安乱叶,空忆诗情宛转。凭高眺远。正玉液新篘,蟹螯初荐。醉倒山翁,但愁斜照敛。”

    (3) 白朴《双调·德胜乐》(秋):”玉露冷,蛩吟砌。听落叶西风渭水。寒雁儿长空嘹唳。陶元亮醉在东篱。”又《梧桐雨》杂剧第二折《普天乐》:”恨无穷,愁无限。争奈仓促之际,避不得蓦岭登山。銮驾迁。成都盼。更哪堪浐水西飞雁,一声声送上雕鞍。伤心故园,西风渭水,落日长安。”

    十五

    长调自以周、柳、苏、辛为最工。美成《浪淘沙慢》二词(1),精壮顿挫,已开北曲之先声。若屯田之《八声甘州》(2),东坡之《水调歌头》(3),则伫兴之作,格高千古,不能以常调论也。

    注释:(1) 周邦彦《浪淘沙慢》:”晓阴重,霜凋岸草,雾隐城堞。南陌脂车待发,东门帐饮乍阕。正拂面、垂扬堪揽结。掩红泪、玉手亲折。念汉浦离鸿去何许,经时信音绝。 情切。望中地远天阔。向露冷风清无人处,耿耿寒漏咽。嗟万事难忘,唯是轻别。翠尊未竭,凭断云、留取西楼残月。 罗带光销纹衾叠。连环解、旧香顿歇。怨歌永、琼壶敲尽缺。恨春去、不与人期,弄夜色、空馀满地梨花雪。”

    又一阕:”万叶战,秋声露结,雁度沙碛。细草和烟尚绿,遥山向晚更碧。见隐隐、云边新月白。映落照、帘幕千家,听数声、何处倚楼笛?装点尽秋色。 脉脉。旅情暗自消释。念珠玉、临水犹悲感,何况天涯客?忆少年歌酒,当时踪迹。岁华易老,衣带宽、懊恼心肠终窄。 飞散后、风流人阻。兰桥约、怅恨路隔。马蹄过、犹嘶旧巷陌。叹往事、一一堪伤,旷望极。凝思又把阑干拍。”

    (2) 柳永《八声甘州》:”对潇潇暮雨洒江天,一番洗清秋。渐霜风凄惨,关河冷落,残照当楼。是处红衰翠减,苒苒物华休。惟有长江水,无语低流。 不忍登高临远,望故乡渺邈,归思难收。叹年来踪迹,何事苦淹留。想佳人、妆楼颙望,误几回、天际识归舟。争知我、倚阑干处、正恁凝愁。”

    (3) 苏轼《水调歌头》(丙辰中秋,欢饮达旦,大醉,作此篇,兼怀子由。):”明月几时有?把酒问青天。不知天上宫阙,今夕是何年?我欲乘风归去,又恐琼楼玉宇,高处不胜寒。起舞弄清影,何似在人间? 转朱阁,低绮户,照无眠。不应有恨,何事长向别时圆?人有悲欢离合,月有阴晴圆缺,此事古难全。但愿人长久,千里共婵娟。”

    十六

    稼轩《贺新郎》词”送茂嘉十二弟(1)”,章法绝妙。且语语有境界,此能品而几於神者。然非有意为之,故后人不能学也。

    注释:

    (1) 辛弃疾《贺新郎》(送茂嘉十二弟):”绿树听鹈鴃。更那堪、鹧鸪声住,杜鹃声切!啼到春归无寻处,苦恨芳菲都歇。算未抵人间离别。马上琵琶关塞黑,更长门翠辇辞金阙。看燕燕,送归妾。 将军百战身名裂。向河梁、回头万里,故人长绝。易水萧萧西风冷,满座衣冠似雪。正壮士悲歌未彻。啼鸟还知如许恨,料不啼清泪长啼血。谁共我,醉明月?”

    十七

    稼轩《贺新郎》词:”柳暗凌波路。送春归猛风暴雨,一番新绿。(1)”又《定风波》词:”从此酒酣明月夜。耳热。(2)””绿””热”二字,皆作上去用。与韩遇《东浦词》《贺新郎》以”玉””曲”叶”注””女”,《卜算子》以”夜””谢”叶”食””月”,已开北曲四声通押之祖。

    注释:

    (1) 辛弃疾《贺新郎》:”柳暗凌波路。送春归猛风暴雨,一番新绿。千里潇湘葡萄涨,人解扁舟欲去。又樯燕留人相语。艇子飞来生尘步,唾花寒唱我新番句。波似箭,催鸣橹。 黄陵祠下山无数。听湘娥、泠泠曲罢,为谁情苦?行到东吴春已暮,正江阔潮平稳渡〔?〕。望金雀觚棱翔舞。前度刘郎今重到,问玄都千树花存否?愁为倩,么弦诉。”

    (2) 辛弃疾《定风波》:”金印累累佩陆离,河梁更赋断肠诗。莫拥旌旗真个去。何处?玉堂元自要论思。 且约风流三学士,同醉。春风看试几枪旗。从此酒酣明月夜。耳热。那边应是说侬时。”

    (3) 韩玉《贺新郎》(咏水仙):”绰约人如玉。试新妆娇黄半绿,汉宫匀注。倚傍小栏闲凝伫,翠带风前似舞。记洛浦当年俦侣。罗袜生尘香冉冉,料征鸿微步凌波女。惊梦断,楚江曲。 春工若见应为主。忍教都、闲亭笛管,冷风凄雨。待把此花都折取,和泪连香寄与。须信到离情如许。烟水茫茫斜照里,是骚人九辨招魂处。千古恨,与谁语?”

    (4) 韩玉《卜算子》:”杨柳绿成阴,初过寒食节。门掩金铺独自眠,哪更逢寒夜。 强起立东风,惨惨梨花谢。何事王孙不早归?寂寞秋千月。”

    十八

    谭复堂《箧中词选》谓:”蒋鹿潭《水云楼词》与成容若、项莲生,二百年间,分鼎三足。”然《水云楼词》小令颇有境界,长调惟存气格。《忆云词》精实有馀,超逸不足,皆不足与容若比。然视皋文、止庵辈,则倜乎远矣。

    十九

    词家时代之说,盛于国初。竹垞谓:词至北宋而大,至南宋而深(1)。后此词人,群奉其说。然其中亦非无具眼者。周保绪曰:”南宋下不犯北宋拙率之病,高不到北宋浑涵之诣。”又曰:”北宋词多就景叙情,故珠圆玉润,四照玲珑。至稼轩、白石,一变而为即事叙景,故深者反浅,曲者反直。(2)”潘四农曰:”词滥觞于唐,畅于五代,而意格之闳深曲挚,则莫盛于北宋。词之有北宋,犹诗之有盛唐。至南宋则稍衰矣。(3)”刘融斋曰:”北宋词用密亦疏、用隐亦亮、用沈亦快、用细亦阔、用精亦浑。南宋只是掉转过来。(4)”可知此事自有公论。虽止庵词颇浅薄,潘刘尤甚。然其推尊北宋,则与明季云间诸公,同一卓识也。

    注释:

    (1) 朱彝尊《词综发凡》:”世人言词,必称北宋。然词至南宋始极其工,至宋季而始极其变。”

    (2) 见周济《介存斋论词杂著》。

    (3) 见潘德兴《养一斋集》卷二十二”与叶生名澧书”。

    (4) 见刘熙载《艺概》卷四《词曲概》。

    二十

    唐五代北宋词,可谓生香真色。若云间诸公,则花耳。湘真且然,况其次也者乎?

    二一

    《衍波词》之佳者,颇似贺方回。虽不及容若,要在浙中诸子之上。

    二二

    近人词如《复堂词》之深婉,《疆村词》之隐秀,皆在半塘老人上。疆村学梦窗而情味较梦窗反胜。盖有临川庐陵之高华,而济以白石之疏越者。学人之词,斯为极则。然古人自然神妙处,尚未见及。

    二三

    宋直方《蝶恋花》:”新样罗衣浑弃却,犹寻旧日春衫著。(1)”谭复堂《蝶恋花》:”连理枝头侬与汝,千花百草从渠许。(2)”可谓寄兴深微。

    注释:

    (1) 宋徵兴《蝶恋花》:”宝枕轻风秋梦薄,红敛双蛾,颠倒垂金雀。新样罗衣浑弃却,犹寻旧日春衫著。 偏是断肠花不落,人苦伤心,镜里颜非昨。曾误当初青女约,至今霜夜思量著。”

    (2) 谭献《蝶恋花》:”帐里迷离香似雾,不烬炉灰,酒醒闻馀语。连理枝头侬与汝,千花百草从渠许。 莲子青青心独苦,一唱将离,日日风兼雨。豆蔻香残杨柳暮,当时人面无寻处。”

    二四

    《半塘丁稿》中和冯正中《鹊踏枝》十阕,乃《鹜翁词》之最精者。”望远愁多休纵目”等阕,郁伊惝恍,令人不能为怀。《定稿》只存六阕,殊为未允也。(1) 王鹏运《鹊踏枝》(冯正中《鹊踏枝》十四阕,郁伊惝恍,义兼比兴,蒙耆诵焉。春日端居,依次属和。就均成词,无关寄托,而章句尤为凌杂。忆云生云:”不为无益之事,何以遣有涯之生?”三复前言,我怀如揭矣。时光绪丙申三月二十八日。录十。):”落蕊残阳红片片,懊恨比邻,尽日流莺转。似雪杨花吹又散,东风无力将春限。 慵把香罗裁便面,换到轻衫,欢意垂垂浅。襟上泪痕犹隐见,笛声催按梁州遍。”其一。”斜日危阑凝伫久,问讯花枝,可是年时旧?浓睡朝朝如中酒,谁怜梦里人消瘦。 香阁帘栊烟阁柳,片霎氤氲,不信寻常有。休遣歌筵回舞袖,好怀珍重春三后。”其二。”谱到阳关声欲裂,亭短亭长,杨柳那堪折。挑菜湔裙春事歇,带罗羞指同心结。 千里孤光同皓月,画角吹残,风外还呜咽。有限坠欢真忍说,伤生第一生离别。”其三。”风荡春云罗衫薄,难得轻阴,芳事休闲却。几日啼鹃花又落,绿笺莫忘深深约。 老去吟情浑寂寞,细雨檐花,空忆灯前酌。隔院玉箫声乍作,眼前何物供哀乐?。”其四。”漫说目成心便许,无据杨花,风里频来去。怅望朱楼难寄语,伤春谁念司勋误? 枉把游丝牵弱缕,几片闲云,迷却相思路。锦帐珠帘歌舞处,旧欢新恨思量否?”其五。”昼日恹恹惊夜短,片霎欢娱,那惜千金换。燕睨莺颦春不管,敢辞弦索为君断? 隐隐轻雷闻隔岸,暮雨朝霞,咫尺迷云汉。独对舞衣思旧伴,龙山极目烟尘满。”其六。”望远愁多休纵目,步绕珍丛,看笋将成竹。晓露暗垂珠簏簌,芳林一带如新浴。 檐外春山森碧玉,梦里骖鸾,记过清湘曲。自定新弦移雁足,弦声未抵归心促。”其七。”谁遣春韶随水去?醉倒芳尊,望却朝和暮。换尽大堤芳草路,倡条都是相思树。 蜡烛有心灯解语,泪尽唇焦,此恨消沈否?坐对东风怜弱絮,萍飘后日知何处?”其八。”对酒肯教欢意尽?醉醒恹恹,无那忺春困。锦字双行笺别恨,泪珠界破残妆粉。 轻燕受风飞远近,消息谁传,盼断乌衣信。曲几无憀闲自隐,镜奁心事孤鸾鬓。”其九。”几见花飞能上树,难系流光,枉费垂杨缕。筝雁斜飞排锦柱,只伊不解将春去。 漫诩心情黏地絮,容易飘扬,那不惊风雨。倚遍阑干谁与语?思量有恨无人处。”其十。今《半塘定稿·鹜翁集》中存《鹊踏枝》六阕,计删第三、第六、第七、第九四阕。

    二五

    固哉皋文之为词也!飞卿《菩萨蛮》、永叔《蝶恋花》、子瞻《卜算子》,皆兴到之作,有何命意?皆被皋文深文罗织(1)。阮亭《花草蒙拾》谓:”坡公命宫磨蝎,生前为王珪舒亶辈所苦,身后又硬受此差排。(2)”由今观之,受差排者,独一坡公已耶?

    注释:

    (1) 温庭筠《菩萨蛮》:”小山重叠金明灭,鬓云欲度香腮雪。懒起画蛾眉,弄妆梳洗迟。 照花前后镜,花面交相映。新帖绣罗襦,双双金鹧鸪。”张惠言《词选》评:”此感士不遇也,篇法仿佛《长门赋》。「照花」四句,《离骚》初服之意。”

    欧阳修《蝶恋花》,即冯延巳《鹊踏枝》:”庭院深深深几许?杨柳堆烟,帘幕无重数。玉勒雕鞍游冶处,楼高不见章台路。 雨横风狂三月暮,门掩黄昏,无计留春住。泪眼问花花不语,乱红飞过秋千去。”张惠言《词选》评:”庭院深深,闺中既以邃远也。楼高不见,哲王又不寤也。章台游冶,小人之径。雨横风狂,政令暴急也。乱红飞去,斥逐者非一人而已,殆为韩范作乎?”

    苏轼《卜算子》(黄州定慧院寓居作):”缺月挂梧桐,漏断人初静。谁见幽人独往来,缥缈孤鸿影。 惊起却回头,有恨无人省。拣尽寒枝不肯栖,寂寞沙洲冷。”张惠言《词选》评:”此东坡在黄州作。鮈阳居士云〔《唐宋诸贤绝妙好词选》卷二〕:缺月,刺明微也。漏断,暗时也。幽人,不得志也。独往来,无助也。惊鸿,贤人不安也。回头,爱君不忘也。无人省,君不察也。拣尽寒枝不肯栖,不偷安于高位也。寂寞沙洲冷,非所安也。此词与《考槃》诗极相似。”

    (2) 王士祯《花草蒙拾》:”仆尝戏谓:坡公命宫磨蝎,湖州诗案,生前为王珪舒亶辈所苦,身后又硬受此差排耶?”

    二六

    贺黄公谓:”姜论史词,不称其「软语商量」,而赏其「柳暗花暝」,固知不免项羽学兵法之恨。(1)”然”柳暗花暝”自是欧秦辈句法,前后有画工化工之殊。吾从白石,不能附和黄公矣。

    注释:

    (1) 史达祖《双双燕》(咏燕):”过春社了,度帘幕中间,去年尘冷。差池欲往,试入旧巢相并。还相雕梁藻井,又软语商量不定。飘然快拂花梢,翠尾分开红影。 芳径,芹泥雨润。爱贴地争飞,竞夸轻俊。红楼归晚,看足柳暗花暝。应自栖香正稳,便忘了、天涯芳信。愁损翠黛双娥,日日画栏独凭。”贺黄公语,见贺裳《皱水轩词筌》。姜论史词,见《中兴以来绝妙词选》卷七所引。

    二七

    “池塘春草谢家春,万古千秋五字新。传语闭门陈正字,可怜无补费精神。”此遗山《论诗绝句》也。梦窗、玉田辈,当不乐闻此语。

    二八

    朱子《清邃阁论诗》谓:”古人诗中有句,今人诗更无句,只是一直说将去。这般诗一日作百首也得。”余谓北宋之词有句,南宋以后便无句。玉田、草窗之词,所谓”一日作百首也得”者也。

    二九

    朱子谓:”梅圣俞诗,不是平淡,乃是枯槁。”余谓草窗、玉田之词亦然。(1) 见朱熹《清邃阁论诗》。

    三十

    “自怜诗酒瘦,难应接,许多春色。(1)””能几番游,看花又是明年。(2)”此等语亦算警句耶?乃值如许笔力!

    注释:

    (1) 史达祖《喜迁莺》:”月波疑滴,望玉壶天近,了无尘隔。翠眼圈花,冰丝织练,黄道宝光相值。自怜诗酒瘦,难应接,许多春色。最无赖,是随香趁烛,曾伴狂客。 踪迹。谩记忆。老了杜郎,忍听东风笛。柳院灯疏,梅厅雪在,谁与细倾春碧。旧情拘未定,犹自学、当年游历。怕万一,误玉人夜寒帘隙。”

    (2) 张炎《高阳台》(西湖春感):”接叶巢莺,平波卷絮,断桥斜日归船。能几番游?看花又是明年。东风且伴蔷薇住,到蔷薇、春已堪怜。更凄然,万绿西泠,一抹荒烟。 当年燕子知何处?但苔深韦曲,草暗斜川。见说新愁,如今也到鸥边。无心再续笙歌梦,掩重门、浅醉闲眠。莫开帘,怕见飞花,怕听啼鹃。”

    三一

    文文山词,风骨甚高,亦有境界,远在圣与、叔夏、公谨诸公之上。亦如明初诚意伯词,非季迪、孟载诸人所敢望也。

    三二

    和凝《长命女》词:”天欲晓。宫漏穿花声缭绕,窗里星光少。 冷霞寒侵帐额,残月光沈树杪。梦断锦闱空悄悄。强起愁眉小。”此词前半,不减夏英公《喜迁莺》也。

    注释:

    (1) 夏竦《喜迁莺令》:”霞散绮,月垂钩。帘卷未央楼。夜凉银汉截天流,宫阙锁清秋。 瑶台树,金茎露。凤髓香盘烟雾。三千珠翠拥宸游,水殿按凉州。”

    三三

    宋李希声《诗话》云:”唐人作诗,正以风调高古为主。虽意远语疏,皆为佳作。后人有切近的当、气格凡下者,终使人可憎。(1)”余谓北宋词亦不妨疏远。若梅溪以下,正所谓切近的当、气格凡下者也。

    注释:

    (1) 见魏庆之《诗人玉屑》卷十引。

    三四

    自竹垞痛贬《草堂诗馀》而推《绝妙好词》(1),后人群附和之。不知《草堂》虽有亵诨之作,然佳词恒得十之六七。《绝妙好词》则除张范辛刘诸家外,十之八九,皆极无聊赖之词。古人云:小好小惭,大好大惭(2),洵非虚语。

    注释:

    (1) 朱彝尊《书绝妙好词后》:”词人之作,自《草堂诗馀》盛行,屏去《激楚》《阳阿》,而《巴人》之唱齐进矣。周公谨《绝妙好词》选本虽未尽醇,然中多俊语,方诸《草堂》所录,雅俗殊分。”

    (2) 韩愈《与冯宿论文书》:”时时应事作俗下文字,下笔令人惭。及示人,则以为好。小惭者亦蒙谓之小好,大惭者则必以为大好矣。”

    三五

    梅溪、梦窗、玉田、草窗、西麓诸家,词虽不同,然同失之肤浅。虽时代使然,亦其才分有限也。近人弃周鼎而宝康瓠,实难索解。

    三六

    余友沈昕伯自巴黎寄余蝶恋花一阕云:”帘外东风随燕到。春色东来,循我来时道。一霎围场生绿草,归迟却怨春来早。 锦绣一城春水绕。庭院笙歌,行乐多年少。著意来开孤客抱,不知名字闲花鸟。”此词当在晏氏父子间,南宋人不能道也。

    三七

    “君王枉把平陈乐,换得雷塘数亩田。(1)”政治家之言也。”长陵亦是闲丘陇,异日谁知与仲多?(2)”诗人之言也。政治家之眼,域于一人一事。诗人之眼,则通古今而观之。词人观物,须用诗人之眼,不可用政治家之眼。故感事、怀古等作,当与寿词同为词家所禁也。

    注释:

    (1) 罗隐《隋帝陵》:”入郭登桥出登船,红楼日日柳年年。君王忍把平陈乐,只换雷塘数亩田。”

    (2) 唐彦谦《仲山》(高祖兄仲山隐居之所):”千载遗踪寄薜萝,沛中乡里汉山河。长陵亦是闲丘陇,异日谁知与仲多?”

    三八

    宋人小说,多不足信。如《雪舟脞语》谓:台州知府唐仲友眷官妓严蕊奴。朱晦庵系治之。及晦庵移去,提刑岳霖行部至台,蕊乞自便。岳问曰:去将安归?蕊赋《卜算子》词云:”住也如何住”云云(1)。案此词系仲友戚高宣教作,使蕊歌以侑觞者,见朱子”纠唐仲友奏牍”(2)。则《齐东野语》所纪朱唐公案(3),恐亦未可信也。

    注释:

    (1) 陶宗仪《说郛》卷五十七引《雪舟脞语》:”唐悦斋仲友字与正,知台州。朱晦庵为浙东提举,数不相得,至于互申。寿皇问宰执二人曲直。对曰:秀才争闲气耳。悦斋眷官妓严蕊奴,晦庵捕送囹圄。提刑岳商卿霖行部疏决,蕊奴乞自便。宪使问去将安归?蕊奴赋《卜算子》,末云:「住也如何住,去又终须去。若得山花插满头,莫问奴归处。」宪笑而释之。”

    (2) 朱熹《朱子大全》卷十九”按唐仲友第四状”:”五月十六日筵会,仲友亲戚高宣教撰曲一首,名《卜算子》,后一段云「去又如何去,住又如何住。待得山花插满头,休问奴归处。」”

    (3) 周密《齐东野语》卷十七”朱唐交奏本末”:”朱晦庵按唐仲友事,或言吕伯恭尝与仲友同书会有隙,朱主吕,故抑唐,是不然也。盖唐平时恃才轻晦庵,而陈同父颇为朱所进,与唐每不相下。同父游台,尝狎籍妓,嘱唐为脱籍,许之。偶郡集,唐语妓曰:汝果欲从陈官人耶?妓谢。唐云:汝须能忍饥受冻仍可。妓闻大恚。自是陈至妓家,无复前之奉承矣。陈知为唐所卖,亟往见朱。朱问:近日小唐云何?答曰:唐谓公尚不识字,如何作监司?朱衔之,遂以部内有冤案,乞再巡按。既至台,适唐出迎少稽,朱益以陈言为信。立索郡印,付以次官。乃摭唐罪具奏,而唐亦以奏驰上。时唐乡相王淮当轴。既进呈,上问王。王奏:此秀才争闲气耳。遂两平其事。详见周平园《王季海日记》。而朱门诸贤所作《年谱道统录》,乃以季海右唐而并斥之,非公论也。其说闻之陈伯玉式卿,盖亲得之婺之诸吕云。”

    三九

    《沧浪》(1)《凤兮》(2)二歌,已开楚辞体格。然楚词之最工者,推屈原、宋玉,而后此之王褒、刘向之词不与焉。五古之最工者,实推阮嗣宗、左太冲、郭景纯、陶渊明,而前此曹刘,后此陈子昂、李太白不与焉。词之最工者,实推后主、正中、永叔、少游、美成,而后此南宋诸公不与焉。

    注释:

    (1) 《孟子·离娄上》有《孺子歌》曰:”沧浪之水清兮,可以濯我缨。沧浪之水浊兮,可以濯我足。”

    (2) 《论语·微子》:”楚狂接与歌而过孔子曰凤兮凤兮,何德之衰?往者不可谏,来者犹可追。已而已而,今之从政者殆矣!”

    四十

    唐五代之词,有句而无篇。南宋名家之词,有篇而无句。有篇有句,唯李后主降宋后诸作,及永叔、子瞻、少游、美成、稼轩数人而已。

    四一

    唐五代北宋之词家,倡优也。南宋后之词家,俗子也。二者其失相等。但词人之词,宁失之倡优,不失之俗子。以俗子之可厌,较倡优为甚故也。

    四二

    《蝶恋花》”独倚危楼(1)”一阕,是《六一词》,亦见《乐章集》。余谓:屯田轻薄子,只能道”奶奶兰心蕙性(2)”耳。

    注释:

    (1) 见本《删稿》十一节。

    (2) 柳永《玉女摇仙佩》:”飞琼伴侣,偶别珠宫,未返神仙行缀。取次梳妆,寻常言语,有得几多姝丽。拟把名花比。恐旁人笑我,谈何容易。细思算,奇葩艳卉,惟是深红浅白而已。争如这多情,占得人间,千娇百媚。 须信画堂绣阁,皓月清风,忍把光阴轻弃。自古及今,佳人才子,少得当年双美。且恁相偎倚。未消得,怜我多才多艺。愿奶奶兰心蕙性,枕前言下,表余深意。为盟誓。今生断不孤鸳被。”

    四三

    读《会真记》者,恶张生之薄幸〔幸加单人〕,而恕其奸非。读《水浒传》者,恕宋江之横暴,而责其深险。此人人之所同也。故艳词可作,唯万不可作儇薄语。龚定庵诗云:”偶赋凌云偶倦飞,偶然闲慕遂初衣。偶逢锦瑟佳人问,便说寻春为汝归。(1)”其人之凉薄无行,跃然纸墨间。余辈读耆卿伯可词,亦有此感。视永叔、希文小词何如耶?

    注释:

    (1) 此为龚自珍《乙亥杂诗》三百十五首之一,见《定庵续集》。

    四四

    词人之忠实,不独对人事宜然。即对一草一木,亦须有忠实之意,否则所谓游词也。

    四五

    读《花间》《尊前》集,令人回想徐陵《玉台新咏》。读《草堂诗馀》,令人回想袁谷《才调集》。读朱竹垞《词综》,张皋文、董子远《词选》,令人回想沈德潜三朝诗别裁集。

    四六

    明季国初诸老之论词,大似袁简斋之论诗,其失也,纤小而轻薄。竹垞以降之论词者,大似沈规愚,其失也,枯槁而庸陋。

    四七

    东坡之旷在神,白石之旷在貌。白石如王衍口不言阿堵物,而暗中为营三窟之计,此其所以可鄙也。

    四八

    “纷吾既有此内美兮,又重之已修能。(1)”文学之事,于此二者,不能缺一。然词乃抒情之作,故尤重内美。无内美而但有修能,则白石耳。

    注释:

    (1) 此二句出自屈原《离骚》。

    四九

    诗人视一切外物,皆游戏之材料也。然其游戏,则以热心为之,故诙谐与严重二性质,亦不可缺一也。

  • 修昔底德《伯罗奔尼撒战争史》5-8

    第五卷
    第十五章 战争的第十年。克里昂和伯拉西达的阵亡。尼基阿 斯和约。
     第十六章 斯巴达在伯罗奔尼撒招致反感。曼丁尼亚人、爱利 斯人、阿尔哥斯人与雅典人结盟。曼丁尼亚战役和同盟的瓦 解。
    第十七章 战争的第十六年。米洛斯的谈判。米洛斯人的灾 难。
    第六卷
     第十八章 战争的第十七年。西西里的战役。赫尔墨斯神像事 件。远征军出发。
    第十九章 战争的第十七年。叙拉古诸党派。哈摩狄乌斯和阿 里斯托吉吞的故事。阿尔基比阿德斯受辱。
    第二十章 战争的第十七年和第十八年。雅典军队的怠惰。阿 尔基比阿德斯在斯巴达。围攻叙拉古。
    第七卷
    第二十一章 战争的第十八年和第十九年。吉利浦斯抵达叙拉 古。狄凯里亚的设防。叙拉古人的胜利。
     第二十二章 战争的第十九年。德摩斯提尼到达叙拉古。雅典 人在爱皮波莱的失败。尼基阿斯的愚蠢和固执。
    第二十三章 战争的第十九年。大港战役。雅典军队的撤离和 覆灭。
    第八卷
    第二十四章 战争的第十九年和第二十年。伊奥尼亚的暴动。 波斯的干涉。伊奥尼亚战争。
    第二十五章 战争的第二十年和第二十一年。阿尔基比阿德斯 的诡计。波斯资助的撤出。雅典的寡头党人政变。萨摩斯军队 的爱国行为。
     第二十六章 战争的第二十一年。阿尔基比阿德斯应召来到萨 摩斯。优波亚的暴动和“四百人”政府的倾覆。基诺塞马战役。

    第五卷

     第十五章 战争的第十年。克里昂和伯拉西达的阵亡。 尼基阿斯和约。

    1 翌年 [1] 夏季里,一年休战和约还继续有效,直到皮西亚竞技会 [2] 时,和约才告终结。 [3] 休战期间,雅典人把提洛人从提洛岛上赶 走,认为提洛人过去犯有罪行,因此,他们在向神祇献祭 [4] 时,是对 神祇的亵渎,并且提洛人没有参加上次在提洛岛上举行的祓除仪式,如 我以前所述,他们认为把死者的坟墓迁移一下,就算是很好的祓除祭典 了。提洛人离开提洛岛以后,法那基斯把亚细亚的阿特拉米提昂给他们 居住。

    2 同时,克里昂说服雅典人允许他在休战期满后向色雷斯地区诸城 镇发动进攻。他手下有从雅典征募的1200名重装步兵和300名骑兵。还 有大批同盟者的军队和30艘舰船。[2]他们首先进入仍处于包围之中 的斯基奥涅,并从当地军队中吸纳一批重装步兵,旋即驶入托伦涅境内 的科佛斯港,该港口距托伦涅城不远。[3]在那里,他从逃亡者口中 获悉,伯拉西达不在托伦涅,城内兵力不足以和他一战。于是,他率军 进攻托伦涅,并派10艘舰船绕道驶入托伦涅的港口。[4]他率先来到 伯拉西达不久前在托伦涅城前修筑的要塞。伯拉西达当时修筑该要塞是 为了把郊区纳入城区范围,他拆除一部分旧城墙,使郊区和城区连成一 片。

    3 拉栖代梦的指挥官帕西特里达斯率守军赶赴那里,想尽快击退雅 典人的进攻。但是,他发现自己很窘迫,因为他们看到绕道前来进攻的 雅典舰船正驶入他们的港口,帕西特里达斯开始担心在他的军队抵达之 前,雅典人可能就已占领托伦涅城了,如果要塞也失守,他本人就会沦 为阶下囚。因此,他放弃外围要塞,率军跑进城里。[2]但这时乘船 而至的雅典人已经攻占了托伦涅城,雅典的陆军又在其后穷追不舍,从 被拆除的旧城墙处攻入城里。雅典人在混战中杀死一些伯罗奔尼撒人和 托伦涅人,其余的人,包括其指挥官帕西特里达斯在内,都被俘虏。 [3]同时,伯拉西达率军前来救援托伦涅,在距托伦涅城仅40斯塔狄 亚 [5] 的地方,他获悉托伦涅已经失陷,便只好撤回。[4]克里昂和雅 典人在港口和要塞附近竖立了两块胜利纪念碑,把托伦涅人的妻子儿女 变为奴隶,把托伦涅的男人连同在那里的伯罗奔尼撒人和卡尔基狄克人 共计700人押送回雅典。但是,他们后来全都返回家园,伯罗奔尼撒人 于和约缔结时,其余的人是在雅典人与奥林修斯交换战俘时返回的 [6] 。[5]大约同时,位于雅典边陲的帕那克敦要塞被波奥提亚人利用叛 徒,里应外合给攻占了。[6]同时,克里昂派兵镇守托伦涅以后,由 海上绕道阿索斯,向安菲波里斯进军。

    4 差不多同一时候,爱拉西斯特拉图斯之子腓亚克斯偕同两位同僚,以雅典大使的身份乘坐两艘舰船前往意大利和西西里。[2]原 来,雅典人在缔结和平条约 [7] 后从西西里撤走时,伦提尼人接纳了一 批新公民。 [8] 平民打算重新分配土地,上层阶级在得知平民的图谋之 后,邀请叙拉古人帮助他们赶走民主党人。[3]结果民主党人被驱散 到各地;而上层阶级与叙拉古人达成协议,上层阶级放弃并拆毁其城 市,迁居叙拉古,他们都得到了叙拉古的公民权。[4]后来,他们中 的一些人感到不满,离开了叙拉古,占领伦提尼城的佛凯亚区和伦提尼 境内的布利金尼要塞。在那里,过去被驱逐的多数民主党人前来与他们 联合在一起,据守要塞,共同作战。[5]雅典人得知此事,派遣腓亚 克斯前去,看看能否通过某种途径说服他们在那里的盟友和其余的西西 里人,使他们相信叙拉古人有雄心勃勃的扩张计划,引导他们组成一个 广泛的联盟以对抗叙拉古人,并援救伦提尼的民主党人。[6]腓亚克 斯到了西西里,争取到卡马林那和阿格里真坦,但在革拉吃了闭门羹, 以致没再到其他地区游说,因为他认为在其他地方很难取得成功,但在 返回时经过西克尔人居住区到达卡塔那,随后顺访布利金尼,并鼓励当地居民,最后乘船返回雅典。

    5 在腓亚克斯沿海岸往返西西里途中,他和意大利的一些城市谈判 协商,试图使其与雅典建立友好关系;他也遇见一些从麦西那被驱逐出来而移居罗克里斯的人,在西西里诸邦签订和约之后,他们被遣送到那 里。那时麦西那正有内乱。一个党派的人士招引罗克里斯人到麦西那来,因而麦西那一度处于罗克里斯人的统治之下。[2]腓亚克斯遇到 这些麦西那人时,他们正在回国途中,他没有伤害他们,因为罗克里斯 人已经与他就和雅典签订一份条约达成协议。[3]当西西里诸邦达成 和解时,诸盟邦中只有罗克里斯人没有与雅典签订和约;现在,若不是 他们遭到居住在其边境上的他们的移民希波尼亚人和麦徳马人的战争压 力,他们这时也不会与雅典签订和约。同时,腓亚克斯继续航行,最后 返回雅典。

    6 我们知道,克里昂从托伦涅向安菲波里斯航行,他以爱昂为基 地,随后进攻安德罗斯人的殖民地斯塔吉鲁斯,没有成功, [9] 转而以 突然袭击的方式夺得塔索斯的殖民地加利普苏斯。 [10] [2]他现在派 使者去见柏第卡斯,要求他按照同盟条约 [11] 的规定率军前来增援;他 又派其他使者到色雷斯去拜谒奥多曼提亚人的国王波列斯,请他带领尽 可能多的色雷斯的雇佣兵前来;他自己则按兵不动,留在爱昂,等候他 们的到来。[3]伯拉西达获悉这些情况后,占领了科德里昂,从那里 监视克里昂。科德里昂是阿吉斯地区的一个高地,与安菲波里斯隔河相 望,视野开阔,克里昂军队的一举一动都在其监视之下。尽管人数少于 对手,伯拉西达非常希望克里昂用其现有的兵力 [12] 进攻安菲波里斯。[4]与此同时,伯拉西达自己也在进行战斗准备,他召集起他的1500 名色雷斯雇佣兵以及所有爱多尼亚骑兵和轻盾兵。除了安菲波里斯的这 些军队外,他还有1000名由米金努斯人和卡尔基狄克人组成的轻盾兵。[5]他手下的重装步兵总数约有2000人。此外,他还有一支300人的希 腊骑兵。伯拉西达亲自率领其中1500人驻守科德里昂,其余部队由克里 阿利达斯指挥防守安菲波里斯。

    7 双方保持相安无事一段时间后,克里昂最终不得不采取行动,而 这正是伯拉西达所期望的。[2]克里昂的士兵们对他按兵不动颇有微 词,认为他们的指挥官懦弱无能而其对手伯拉西达却机智勇敢,这种情 绪明显地表现出来,而他们在出发时就不愿跟随他。这些怨言传到克里 昂那里,为避免军队在同一地点按兵不动而士气消沉,他决定拔营前 进。[3]他的心态与他在派罗斯时一样,那次成功使他对自己的智慧 充满信心。他绝对没有想到有人敢出来与他作战,并说,他宁愿到前线 去视察阵地,他等待援军不是为了在万一被迫迎战时为取得胜利留下安 全余地,而是为了能把城市包围起来,一举攻克它。[4]因此,他向 前推进,把军队驻扎在安菲波里斯前面的一座坚固的山冈上,并前去视 察那个因斯特里梦河而形成的沼泽地和位于色雷斯那边的城市的情况。 [5]他认为可以随时不战而退,因为在城墙上没有发现敌军,也不见 敌军从城门出来,城门都是紧闭着的。因此,他认为没有随身带来攻城 器械是一个错误,否则他将拿下这座无人防守的城市。

    8 伯拉西达一发现雅典军队在前进,就从科德里昂进入安菲波里斯 城。[2]他没有冒险出城以常规布阵与雅典军队交战,是因为对自己 的兵力没有信心,认为自己的兵力还不足以主动发动进攻;其劣势不是 在数量上—人数大体相当—而是在作战能力上不如对手。这次参加远征 的雅典军人都是血统纯正的雅典人,跟随他们的善战的列姆诺斯人和音 不洛斯人也都是精选出来的。因此,伯拉西达准备用计谋智取雅典军。 [3]他认为,与其把自己的军队的数量和临时拼凑起来的装备暴露在 敌人面前,从而使自己取胜机会减少,不如把自己的军队和装备都掩饰 起来,而让敌人相信自己完全有理由藐视对手。[4]于是,他挑选出 150名重装步兵,把其余军队交给克里阿利达斯指挥,决定在雅典军队 撤退前向其发动突然袭击。他认为如果雅典援军一旦开到这里,他再也 没有机会攻击孤立的雅典军队了。所以,他召集全军将士,发表演讲, 激发士气,部署作战计划,他说:

    9 “伯罗奔尼撒人啊,我只需简要地提醒你们:我们都来自于这样一 个地方,那里的人们保有自由,是由于他们的勇敢;你们是多利斯人, 你们将要与伊奥尼亚人作战,他们对于被我们击败已是习以为常。我仅 提此事就够了,至于其他,我就不必多说了。[2]我制定并实施的作 战方案一目了然,我们大胆地用部分军队而不是全部兵力攻击敌人,这 种明显使你们处于不利地位的作战部署不会削弱你们的斗志。[3]我 想,敌人会轻视我们,他们没有料到有人会来攻击他们,于是他们就毫 无戒备地跑到阵地上来,他们队形散乱,对我们不屑一顾。[4]但 是,最成功的战士总是最善于觉察对手的错误,就像今天这种错误,并 仔细推敲自己的作战方案,而不是采取人们所熟知的常规作战方式,我 们要抓住转瞬即逝的机会,[5]出奇制胜的计谋能帮助我们的友军蒙 蔽敌人,使我们在战争史上彪炳千古。[6]因此,当敌人尚无准备, 只相信他们自己的时候,根据我的判断,正当敌人更多地考虑的是撤退 而不是坚守阵地的时候,当敌人斗志涣散而士气低落的时候,我带领你 们,在可能的条件下,冲到敌军阵营的中心地带,杀得敌人措手不及。 [7]“你,克里阿利达斯,当你看到我已经向敌人发起进攻,他们 很可能惊慌失措之时,率领你的军队偕同安菲波里斯人和其他盟军,突 然打开城门,冲向敌军,以迅雷不及掩耳之势攻入敌军阵地。[8]这 是我们使敌军惊慌失措的最好机会,因为敌人正在和第一支军队交锋的 时候,突然有另一支军队投入战斗,那样总是会使敌人受到更大的恐 慌。[9]克里阿利达斯,作为一名斯巴达人,表现你的勇敢吧!你 们,盟军的将士们,跟随他英勇杀敌吧!你们要记住,一个优秀士兵要 具备的三种品质是:充满激情、崇尚荣誉和服从命令,你们今天的战斗 表现,将决定你们是获得自由,是无愧于拉栖代梦的同盟者的称号,还 是沦为雅典人的奴隶。如果你们侥幸逃走,而没有被杀死或卖作奴隶, 你们所受奴役将比过去更为残酷,你们也将阻碍希腊其他的人民获得解 放。[10]在事关全局的紧要关头,你们是不会胆怯的。就我个人而 言,我将身体力行,要求他人做到的,我自己肯定能做到。”

    10 简短演讲之后,伯拉西达自己做了出击的准备,其余军队移交 给了克里阿利达斯指挥,部署在色雷斯城门附近,按照商定的作战方案 准备出城支援他。[2]这时,雅典人看见伯拉西达从科德里昂跑下 来,随即进了城,从城外能看见他在城中的一举一动,他在雅典娜女神 庙举行献祭仪式,并作一些军队调配。一句话,他的举动一点儿也躲不 过雅典人的视线。这时,正在察看地形的克里昂得到情报,说城中所有 敌军的情况一目了然,城门下敌军马蹄人脚的数目都看得一清二楚,好 像敌军在准备出击。[3]获悉这些情报后,克里昂亲自前往察看,情 况果真如此。在援军到来之前,他不愿冒险进行决战,认为自己有时间 从容撤退,便下令退兵。他要军队实行的撤退方案是:左翼向爱昂方向 撤退,实际上这是唯一可行的撤军路线。[4]但是,他的撤退行动过 于迟缓,他带领右翼退却,走了一条迂回的道路,这使其军队中没有武 装的一侧 [13] 显露在敌人面前。[5]伯拉西达看到雅典军队撤退,断 定其作战机会到了,向跟随他的士兵 [14] 和盟军说:“敌人绝对抵挡不 住我们的进攻,从他们的矛和矛头相互碰撞的情况中,就可看出这一 点。他们这样混乱的军队是不堪一击的。快快来人,按我的命令给我打 开城门,让我们冲出去,无所畏惧地杀向敌人!”[6]因此,他从栅栏 大门出来,通过当时尚存的长城的第一道城门,沿笔直的道路以最快的 速度向前奔跑,到达现在胜利纪念碑所在地,这也是该山冈最陡峭的地 方,由此地向雅典军队的中坚部分发起攻击。雅典人既为伯拉西达勇猛 的进攻所震慑,又为自己军队的混乱无序感到恐慌,他们就这样被伯拉 西达给击溃了。(见图12) 图12 安菲波里斯之战 [7]这时,克里阿利达斯按照伯拉西达的命令,冲出色雷斯城门 前来增援他,进攻敌军。[8]雅典军队突然遭到意料之外的两面夹 击,阵形大乱。朝爱昂方向撤退的雅典军队左翼已经行进了一段距离, 这时也立即溃散而逃。正当雅典军队左翼全线溃败之际,伯拉西达转而 进攻雅典军队的右翼,他在战斗中负了伤,好在雅典人没有发现,他身 旁的士兵把他扶起来,抬着他撤离战场。[9]雅典军队右翼进行了顽 强抵抗,尽管一开始就没有准备坚守阵地的克里昂立即逃走,随即还是 被米金努斯人的一名轻盾兵赶上而杀掉,但他手下的步兵聚集在一座山 上,打退克里阿利达斯的两三次进攻,最后被米金努斯人和卡尔基狄克 人的骑兵和轻盾兵包围,并向他们投掷标枪等武器,他们才败下阵来。 [10]这时,雅典军队都在逃命,有些在战场上阵亡,有些被卡尔基狄 克人的骑兵和轻盾兵杀死,其余的溃散在山上,非常艰难地逃往爱昂。 [11]将伯拉西达抬出战场的士兵,在他一息尚存的时候将他抬进城 内,他看到了自己的军队赢得胜利,不久就死去了。[12]克里阿利达 斯率领其余军队追击敌人之后,剥下敌军阵亡者的衣服,竖立了一座胜 利纪念碑。

    11 随后,所有同盟军将士全副武装结集在城中现在市场所在地的 前面,为伯拉西达举行公葬,安菲波里斯人修筑一道围墙将坟墓围起, 将其奉为英雄,他们举行各种竞技比赛,每年还要向他献祭,以示纪 念。他们把伯拉西达视为殖民地的创建者,拆除哈格浓的建筑物, [15] 销毁能引起人们想到哈格浓建立此城的一切物品,因为他们认为伯拉西 达是他们的救星。他们因害怕雅典人而渴望与拉栖代梦人结盟。至于哈 格浓,因为他们现在对雅典所采取的敌视态度,他们不再像以前那样 [16] 为了自身利益或讨好于他本人而向他表示敬意了。[2]他们把阵亡 雅典人的尸体移交给雅典人。雅典人大约阵亡600人,而对方只损失7 人。因为这不是一场正规的战斗,如我所述,而是一次意外的惊恐事 件。[3]雅典人取回阵亡战士尸体后就起航回国了,克里阿利达斯和 他的军队留在安菲波里斯,处理善后事宜。

    12 大约同时,在夏季即将结束的时候,拉栖代梦人兰斐亚斯、阿 乌托卡里达斯和爱皮基狄达斯率领一支由900名重装步兵组成的增援军 队赶往色雷斯地区。他们到达特拉启斯的赫拉克利亚时,进行了调整改 编,以便对自己更为有利。[2]当他们滞留在那里的时候,安菲波里 斯的战事发生了。那个夏季也就结束了。

    13 冬季到来时,兰斐亚斯及其部下到达远在色萨利的皮耶里昂。 但是,因为色萨利人反对他们继续推进,而且他们增援的对象伯拉西达 已经死亡,他们认为作战时间已过,雅典人已经战败离去,他们自己不 能很好地实施伯拉西达的作战计划,便班师回国。[2]可是,他们回 国的主要原因,是他们出发时就知道拉栖代梦人此时比过去更加赞成和 平。

    14 事实上,安菲波里斯战役结束后和兰斐亚斯从色萨利撤退以 后,双方都停止了敌对行动,转而谋求和平。雅典人在德里昂遭遇重 创, [17] 随后又在安菲波里斯遭到惨败,他们对自己的军事实力失去信 心。从前,雅典人信心十足,拒绝和谈建议,相信最终胜利属于他们, 这种信心在关键时刻鼓舞他们;[2]而且,雅典人因担心战争失败导 致其同盟者发动更为广泛的反叛行动;他们后悔没有把握住派罗斯战役 之后所出现的极好的媾和机会。[3]另一方面,拉栖代梦人发现战争 没有达到其目的,他们原想以蹂躏阿提卡土地的办法用几年时间足以摧 毁雅典人的势力。他们在斯法克特里亚岛上所遭受的灾难,是斯巴达人 从未经历过的。他们看到,从派罗斯到基塞拉,他们的国土被蹂躏被洗 劫;他们的黑劳士在不断地逃亡,他们经常担心留在伯罗奔尼撒的黑劳 士会依靠逃到境外的黑劳士 [18] ,利用当前的有利形势,仿效过去的做 法 [19] ,再次举行暴动。[4]除此以外,这是一个机会,拉栖代梦人 与阿尔哥斯的三十年休战和约即将期满 [20] ;阿尔哥斯人拒绝续订和 约,除非拉栖代梦人把基努里亚归还他们。拉栖代梦人同时与阿尔哥斯 和雅典开战,这似乎是不可能的。拉栖代梦人怀疑伯罗奔尼撒的某些城 邦有意倒向阿尔哥斯一边,像事实证实的那样。

    15 双方基于这些考虑,都有意达成和解。拉栖代梦人的议和愿望 大概最强烈,他们迫切希望那些在岛上被俘虏的人能够被释放回来,因 为这些俘虏中的斯巴达人,都是些上层阶级的成员 [21] 和他们的男性亲 属。[2]因此,在他们被俘后,拉栖代梦人就开始商谈议和事宜,但 军事上进展顺利的雅典人不愿接受任何合理的条件;雅典人在德里昂战 役失败后,拉栖代梦人认为他们现在更倾向于听取对方的意见,立即签 订为期一年的休战协定,但休战期间,双方将继续商谈,看是否能够达 成延长休战期限的协议。

    16 可是,现在雅典人在安菲波里斯被打败了,克里昂和伯拉西达 皆已战死,他们分别是双方国内反对议和的主战派的首要人物—后者主 战是因为战争给予他个人成功和荣誉,前者主战是因为如果恢复和平安 宁,他认为他的不良行为将被更加公开地揭露,其谗言更少有人相信。 而两个城邦的最有政治抱负的人物,从城邦的利益出发,都比以前更加 强烈地渴望实现和平。一个是拉栖代梦人的国王,波桑尼阿斯之子普雷 斯托阿那克斯,另一个是尼基拉图斯之子尼基阿斯,他是当时所有将军 中最成功的。那时还享有幸福和荣誉的尼基阿斯希望维持其荣誉,使自 己和本邦公民立即从艰难困苦中解脱出来,给后世留下一个为国效命而 且始终成就卓著的政治家的美名。他认为实现这种愿望的途径是避免冒 险行动,尽量不希冀于自己的侥幸,而只有实现和平才能使避免冒险成 为可能。普雷斯托阿那克斯的复位,再次遭到他的政敌的攻击,当国内 发生不幸之事的时候,其政敌经常提及他损害其国民利益,好像他的非 法复位是一切不幸的根源。[2]他们指控他和他的兄弟阿里斯托克利 斯对德尔斐神庙的女祭司行贿,使她对每次前往祈求神谕的拉栖代梦人 的代表都答复说:“你们要将宙斯半神儿子的苗裔从国外带回国内,要 不然你们肯定要用银犁头耕地的。” [22] 指控者坚持这种说法,即普雷 斯托阿那克斯在被放逐到吕凯昂 [23] 的第十九年 [24] ,他及时地诱导拉 栖代梦人(无论到何处,他都被怀疑接受贿赂而放弃阿提卡,从而遭到 放逐。因为害怕拉栖代梦人,他把其房屋的一半建在用于祭祀的宙斯神 庙区 [25] )用举行跳舞和献祭的仪式迎接他回来,该仪式与建立拉栖代 梦的国王即位典礼一样。

    17 普雷斯托阿那克斯为这种指控所困扰,他认为在和平时期不会 发生这种灾难,并相信等拉栖代梦人被释放回来后,其政敌就没有理由 就此对他纠缠不休了(有鉴于战争时期地位最高者总会因各种不幸的事 情而招致指责),这使他非常希望与雅典和解。[2]因此,在这个冬 季里,双方进行和解商谈。 [26] 春季来临之际,拉栖代梦人向各城邦逐 一发布命令,准备在阿提卡修筑永久性的要塞,使之成为悬挂在雅典人 头上的一把利剑,以促使他们答应向他们提出的条件。在谈判会上,双 方提出各种要求和权利后,最后基于以下原则达成和平协议:除尼塞亚 继续由雅典控制 [27] 外,双方都归还战争中所占领的领土;雅典要求拥 有普拉提亚,却遭到底比斯人的抗议,底比斯人认为,他们获得普拉提 亚不是通过武力征服或叛逆分子的策划, [28] 而是通过与普拉提亚居民 的协商自愿加入的;同样,据雅典人所说,他们获得尼塞亚的情况也是 如此。对这种协商结果,拉栖代梦人召集其同盟者举行会议,会上除了 波奥提亚人、科林斯人、爱利斯人和麦加拉人不赞成这些条款以外,最 后他们达成协议,赞成缔结条约,实现和平。缔结条约的双方宣誓遵守 下列条款:

    18 雅典人和拉栖代梦人及其双方的同盟者制定本条约,各城邦宣 誓遵守下列条款: [2]1.关于共同的神庙 [29] ,凡愿意按照祖先的习惯前往祭祀、游 览、祈求神谕或参加竞技会的人,都将自由安全地通过陆路和海路前 往。 2.在德尔斐的阿波罗神庙和圣地以及德尔斐的人民,都应当是独立 的,应当拥有他们自己的征税制度,由他们自己的法官进行审判,并按 照他们祖先的习惯处理有关自己的领土和人民的问题。 [3]3.雅典人及其同盟者与拉栖代梦人及其同盟者所签订的本条 约有效期为50年,在陆地上或海上,都不得有欺诈或伤害对方的事情。 [4]4.无论是拉栖代梦人及其同盟者,还是雅典人及其同盟者, 企图使用武力损害对方,不论采取何种方式或手段,其行为都是非法 的。无论双方发生什么分歧和争执,都应按照双方同意的原则求助于法 律和誓约解决之。 [5]5.拉栖代梦人及其同盟者将把安菲波里斯归还给雅典人。但 是,拉栖代梦人归还给雅典人的城市中的居民将被允许按其意愿选择居 留地并有权携带他们的财产。只要这些城邦按照阿里斯提德斯所拟定的 数目缴纳贡税,它们就应该是独立的。条约生效后,只要这些城邦缴纳 贡税,雅典人或他们的同盟者动用武力侵略他们将是非法的。上述条款 涉及的城邦有阿吉鲁斯 [30] 、斯塔吉鲁斯 [31] 、阿堪苏斯 [32] 、斯科鲁 斯 [33] 、奥林苏斯 [34] 和斯巴托鲁斯 [35] 。这些城邦保持中立,既不与 拉栖代梦人也不与雅典人结成同盟。但是,如果这些城邦同意,雅典人 又能够说服他们,那么,雅典人与这些城邦结成同盟是合法的。[6] 奥林苏斯人和阿堪苏斯人一样,麦基柏那人、撒涅人 [36] 和辛古斯人应 当居住在他们自己的城市里。[7]但是,拉栖代梦人及其同盟者应该 把帕那克敦 [37] 归还给雅典人。 6.雅典人应该把科里法西昂 [38] 、基塞拉 [39] 、麦萨那 [40] 、普特 里昂和阿塔兰塔 [41] 归还给拉栖代梦人;关押在雅典的监狱及其版图内 的其他监狱中的所有拉栖代梦俘虏也应交还给拉栖代梦人;雅典人应该 全部释放被围困在斯基奥涅的伯罗奔尼撒人和在斯基奥涅 [42] 的拉栖代 梦人的所有同盟者,以及伯拉西达派往斯基奥涅的人员 [43] ;雅典应当 释放关押在雅典的监狱及其版图内的其他监狱中的拉栖代梦人的同盟 者。 7.拉栖代梦人及其同盟者应当以同样的方式将他们拘押的所有雅典 人及其同盟者归还。 [8]8.至于斯基奥涅、托伦涅 [44] 和色米里昂,以及雅典人控制下 的其他城市,雅典人可以按照他们自己认为适当的方法加以处理。 [9]9.雅典人应当向拉栖代梦人及其同盟者,一个城邦一个城邦 依次宣誓,双方都应该按照他们习惯上最有约束力的方式 [45] 进行宣 誓,每个城邦有17名代表参加宣誓。 [46] 誓词如下:“我将公正地、诚 实地遵守这个协定和条约。”拉栖代梦人及其同盟者应该用同样的方式 向雅典人宣誓。[10]双方每年都要重新举行一次宣誓。在奥林匹亚、 皮西亚 [47] 、地峡 [48] ,在雅典的阿克罗波里斯 [49] 和拉栖代梦的阿米 克莱的神庙 [50] ,应当竖立宣誓纪念柱。 [11]10.如果本条约有疏漏之处,无论是什么问题,雅典人和拉 栖代梦人在经过慎重考虑之后,可以在与誓词一致的基础上本着对双方 有利的原则修改有关条款。

    19 条约自普雷斯托拉斯监察官任期内的阿特密西昂月27日起在拉 栖代梦生效,条约自阿尔凯乌斯任执政官期内的爱拉菲波里昂月25日起 在雅典生效。[2]参加宣誓并奠酒的人中,拉栖代梦人有普雷斯托阿 那克斯、阿基斯、普雷斯托拉斯、达马吉图斯、奇奥尼斯、麦塔格涅 斯、阿堪苏斯、代索斯、伊斯卡哥拉斯、腓洛卡里达斯、宙西达斯、安 替浦斯、泰里斯、阿尔基纳达斯、恩皮狄亚斯、麦那斯和拉菲卢斯;雅 典人有兰篷、伊斯米奥尼库斯、尼基阿斯、拉齐斯、攸西狄姆斯、普罗 克利斯、皮索多鲁斯、哈格浓、米尔提鲁斯、特拉西克列斯、塞阿根尼 斯、阿里斯托克拉特斯、伊奥基乌斯、提摩克拉特斯、列昂、拉马库斯 和德摩斯提尼。

    20 这个条约的缔结恰逢冬季之末夏季之始,正是城市狄奥尼苏斯 庆节 [51] 刚刚结束之时,也刚好是第一次入侵阿提卡和战争开始的十年 零几天。 [52] [2]用季节计算年代比过去常用的以各邦的执政长官或 其他重要官员的任职时间来计算年代肯定要准确些。用官员的任职时间 来准确计算年代是不可能的,因为某个事件可能发生在他们任职的初 期、中期或末期。[3]但是,我这部历史著作采用夏季和冬季纪年方 法,人们会发现,每季等于半年,第一次战争经历了十个夏季和十个冬 季。 [53]

    21 同时,根据抽签结果,拉栖代梦人首先交还战争期间所侵占的 地盘,立即释放他们手中的战俘;并且派遣伊斯卡哥拉斯、麦那斯和腓 洛卡里达斯为代表前往色雷斯地区,命令克里阿利达斯把安菲波里斯移 交给雅典人,并命令他们的每个同盟者接受条约并且执行条约中涉及他 们的规定。[2]但是,那些条款不是他们所欢迎的,他们拒绝履行; 为了满足卡尔基狄克人的要求,克里阿利达斯不愿交还安菲波里斯,他 声称,他不能违背卡尔基狄克人的意志而将安菲波里斯移交给雅典人。 [3]同时,他亲自带着当地的代表匆匆赶赴拉栖代梦,为自己不执行 命令进行辩护,以应付伊斯卡哥拉斯及其同僚对他的指控,也想探询修 改条约是否为时已晚。在获悉拉栖代梦人已经受条约约束后,他立即带 着如果可能就移交安菲波里斯的指令启程返回。无论如何,他都要把居 住在当地的伯罗奔尼撒人带走。

    22 当时,同盟国的代表碰巧还留在拉栖代梦, [54] 拉栖代梦人已在 敦促那些尚未接受条约的同盟者接受条约。但是,他们拒绝接受条约, 其理由与以前提及的相同 [55] ,并要求制定一个更为公平合理的条约来 取代现在这个条约。[2]拉栖代梦人遣散了固执地各持己见的同盟者 代表,并决定与雅典商谈有关他们两国结成同盟事宜。阿尔哥斯拒绝了 拉栖代梦使者安佩里达斯和利卡斯提出的续订和约的请求。拉栖代梦人 认为,如果能够如期与雅典结盟而将伯罗奔尼撒各邦拒之盟约之外,阿 尔哥斯就得不到雅典的援助,也就不再对他们构成威胁了,伯罗奔尼撒 的其他诸邦也很可能会保持平静。[3]因此,拉栖代梦人与在场的雅 典大使举行谈判,双方商定结成联盟,并交换了批准盟约的誓言。盟约 条款如下:

    23 1.拉栖代梦人与雅典人结成同盟,有效期50年。 2.如果敌人侵犯拉栖代梦人的领土,损害拉栖代梦人的利益,雅典 人应当根据自身的国力,以最有效的方式援助拉栖代梦人。但是,如果 敌人蹂躏拉栖代梦人的土地后扬长而去,拉栖代梦人和雅典人应该把入 侵拉栖代梦的城邦视为共同的敌人,联合起来讨伐之,任何一方未经另 一方的同意不得单独与其签订和约。这些条款应该公正地、诚恳地履 行,不得有任何欺诈。 [2]3.如果敌人侵犯雅典人的领土,损害雅典人的利益,拉栖代 梦人应该根据自身的国力,以最有效的方式援助雅典人。但是,如果侵 略者蹂躏雅典的土地后扬长而去,拉栖代梦人和雅典人应该把该侵略者 视为共同的敌人,联合起来讨伐之,任何一方未经另一方同意不得单独 与其签订和约。这些条款应该公正地、诚恳地履行,不得有任何欺诈。 [3]4.如果奴隶们起来暴动, [56] 雅典人应该根据其国力,全力以 赴援助拉栖代梦人。 [4]5.本条约应当由曾经对前一个条约宣誓的双方的那些代表宣 誓。宣誓每年应该重新举行一次,拉栖代梦人于狄奥尼苏斯庆节 [57] 时 前往雅典,雅典人应于海阿金西亚庆节 [58] 时前往拉栖代梦。[5]双方应当各建一个纪念柱:拉栖代梦的纪念柱建在阿米克莱的阿波罗神像 附近,雅典的纪念柱建在阿克罗波里斯的雅典娜女神像附近。[6]如 果拉栖代梦人和雅典人因某种特殊原因要对本条约进行补充或删节,其 修改内容应当与双方在不违背誓言的限度内,由双方共同办理。

    24 代表拉栖代梦人宣誓的有普雷斯托阿那克斯、阿基斯、普雷斯 托拉斯、达马吉图斯、奇奥尼斯、麦塔格涅斯、阿堪苏斯、代索斯、伊 斯卡哥拉斯、腓洛卡里达斯、宙西达斯、安替浦斯、泰里斯、阿尔基纳 达斯、恩皮狄亚斯、麦那斯和拉菲卢斯;代表雅典人宣誓的有兰篷、伊 斯米奥尼库斯、尼基阿斯、拉齐斯、攸西狄姆斯、普罗克利斯、皮索多 鲁斯、哈格浓、米尔提鲁斯、特拉西克列斯、塞阿根尼斯、阿里斯托克 拉特斯、伊奥基乌斯、提摩克拉特斯、列昂、拉马库斯和德摩斯提尼。 [2]这个同盟条约是在和平条约签订后不久缔结的。在战争第十 一年春季开始时,雅典人向拉栖代梦人归还了岛屿上所抓获的俘虏。第 一次战争在过去整整十年中不间断地进行,我所记载的关于第一次战争 的历史,也就到此告竣了。

    [1] 公元前422年。 [2] 这是在德尔斐举行的竞技会,是全希腊纪念阿波罗战胜巨蟒皮松(Python)的庆节。皮西亚是德尔 斐神谕所的女祭司。该竞技会每四年举行一届,在每个奥林匹亚德(Olympiad)的第三年举行。 [3] 根据修昔底德(IV. 118)记载,休战和约在雅典历爱拉菲波里昂月(Elaphebolion )14日(约公历3 月底)期满,但是直到皮西亚竞技会之后才重启战事,而皮西亚竞技会是在雅典历麦塔格特尼昂月 (Metageitnion ,公历8月下半月至9月上半月)举行的。关于古希腊历法,参阅本书附录二。 [4] 这是指四年前举行的供奉阿波罗神的祓除典礼(修昔底德,III. 107)。 [5] 约合7400米。 [6] 和被俘的雅典人彼此交换而回国的。 [7] 参阅修昔底德,IV. 65。 [8] 这是为了加强民主党的力量,为了他们的利益,将把城邦的土地重新分配。—史译本注 [9] 参阅修昔底德,IV. 88。 [10] 参阅修昔底德,IV. 107。 [11] 参阅修昔底德,IV. 132。 [12] 即不等援兵到来。 [13] 即右边,因为左边是有盾牌保护的。—史译本注 [14] 即他所选拔的那150名重装步兵(V. 8)。 [15] 参阅修昔底德,IV. 102。 [16] 即以前和雅典关系友好的时候。 [17] 参阅修昔底德,IV. 100—101。 [18] 即已逃出拉栖代梦人势力范围的黑劳士。 [19] 即黑劳士的大暴动,史称“第三次美塞尼亚战争”。参阅修昔底德,I. 101—103。 [20] 下一年期满(参阅修昔底德,V. 28),因而此和约是从公元前457年算起的。 [21] 这些上层阶级是指斯巴达人当中的当权者。他们自成一个氏族,除了有共同的血统和祖先以外,还 以婚姻关系紧密地联系在一起。这似乎证明,在号称“平等者公社”的斯巴达人内部诸氏族部落之间,也并非完 全平等。 [22] 意思是说,将有疫病流行,那时他们将会用很高的价格来购买粮食,就像用银质农具耕作一样。 [23] 阿卡狄亚境内的一座山,上有古时候的宙斯神庙。 [24] 史译本作“第20年”,即公元前427年,因为他是在公元前446年离开自己祖国的。参阅修昔底德,I. 114;II. 21。 [25] 这大概是出于自身安全的考虑。一旦有危险,他就随时可以到宙斯庙求庇。 [26] 公元前422/前421年。 [27] 参阅修昔底德,IV. 69。 [28] 参阅修昔底德,III. 52。 [29] 指全希腊的神庙,尤其是指德尔斐和奥林匹亚的神庙。 [30] 参阅修昔底德,IV. 103。 [31] 参阅修昔底德,IV. 88。 [32] 参阅修昔底德,IV. 88。 [33] 史译本作“斯托鲁斯”(Stolus)。 [34] 参阅修昔底德,I. 58。 [35] 参阅修昔底德,II. 79。 [36] 参阅修昔底德,IV. 109。 [37] 参阅修昔底德,V. 3。 [38] 参阅修昔底德,IV. 3。即派罗斯。 [39] 参阅修昔底德,IV. 54。 [40] 参阅修昔底德,IV. 45。 [41] 参阅修昔底德,II. 32。 [42] 参阅修昔底德,IV. 131。 [43] 参阅修昔底德,IV. 123。 [44] 参阅修昔底德,V. 3。 [45] 在批准条约时,雅典人以宙斯、德墨特尔和阿波罗的名义宣誓;有学者认为斯巴达是以狄奥斯库里 兄弟神的名义宣誓。关于狄奥斯库里兄弟的身世有多种传说,其中一种认为他们是宙斯的一对孪生子。 [46] 参阅谢译本,第368—369页。 [47] 即德尔斐。 [48] 科林斯地峡。 [49] Acropolis,本意为“高处之城”,指雅典卫城。 [50] 史译本作“阿米克莱的阿波罗神庙”。阿米克莱为拉哥尼亚地区的古城,距斯巴达城3500米,这里有 拉哥尼亚最重要的阿波罗神庙。 [51] 对狄奥尼苏斯的崇拜在阿提卡乡村十分流行。自庇西特拉图以后,它在雅典城的地位日益提高。城 市狄奥尼苏斯庆节或大狄奥尼苏斯庆节开始于春分之前,持续数日。 [52] 这个条约可以确定是公元前421年签订的,史称“尼基阿斯和约”。阿提卡的演说家以及后世的学者 通常把伯罗奔尼撒战争的前十年(公元前431—前421年)的战争称为“十年战争”或“阿奇达姆斯战争”。 [53] 参阅修昔底德,I. 30及附注。 [54] 参阅修昔底德,V. 17。 [55] 参阅修昔底德,V. 17。 [56] 这里的“奴隶们”指拉栖代梦的黑劳士,拉栖代梦的当政者无时无刻不担心黑劳士暴动;雅典奴隶也 有过大规模逃亡(修昔底德,VII. 27),给雅典造成重大损失,但没有迹象表明雅典曾经担心奴隶暴动。 [57] 即大狄奥尼苏斯庆节。 [58] 阿米克莱的阿波罗庆节在海阿金西乌斯月(Hyacinthius ,相当于雅典历的正月即赫卡托姆拜昂月)举行。参阅附录二。

    第十六章 斯巴达在伯罗奔尼撒招致反感。曼丁尼亚 人、爱利斯人、阿尔哥斯人与雅典人结盟。曼丁尼亚 战役和同盟的瓦解。

    25 十年战争结束后,阿尔凯乌斯在雅典任执政官、普雷斯托拉斯 在拉栖代梦任监察官时,拉栖代梦人与雅典人签订了和平条约和同盟条 约;接受这两个条约的邦国之间实现了和平。但是,科林斯人和伯罗奔 尼撒的一些城邦试图推翻这些协议。于是,在拉栖代梦与其同盟者之 间,立即掀起一股新的反对拉栖代梦人的思潮。[2]同时,随着时间 的推移,拉栖代梦人逐渐对雅典人心存疑惧,因为雅典人并没有履行和 平条约中的某些条款;[3]尽管双方已在6年零10个月之内没有发生侵 略对方领土的战争了,但在其他地区,战争仍在继续,双方竭力互相伤 害。最后,双方不得不撕毁十年战争后缔结的和平条约,再度进入公开 为敌的战争状态。

    26 这个时期的历史也是由原来写历史的那个雅典人修昔底德所撰 写的, [1] 他将一年分为夏冬两季,采用编年体裁将历史事件按时间先 后顺序记载下来,一直写到拉栖代梦人及其同盟者摧毁雅典帝国,占领 长城和比雷埃夫斯为止。 [2] 那时整个战争已经持续达27年。[2]如果 不把条约所维持的和平时期也包括在战争时期之内,那一定是一个错误 的认识。只要人们去查证有关的事实,就会发现把这段时期称为和平时 期是不恰当的。双方都没有履行他们在条约中的承诺,交还或收回任何 一块地盘;除此之外,在曼丁尼亚人和爱皮道鲁斯人的战争 [3] 中,在 其他方面,双方都有违背和约的事例;在色雷斯地区的同盟者仍像从前 一样处于公开的敌对状态;只有波奥提亚人处于休战状态,但这种休战 和约必须每十天重订一次。[3]因此,把最初十年的战争,和随后的 名不副实的休战期以及后来的战争联系起来,用夏冬两季计算年代的方 法推算一下,就能发现我计算出来的年代与实际情况仅有数日的误差。 信奉神谕的人们只在一件事情上推算准确,与事实吻合。[4]从战争 开始到结束,我一直记得,人们普遍认为战争将持续三个九年 [4] 。 [5]我经历了战争的全过程,我的年龄使我足以理解发生在身边的事 件,为了探求事实真相,我密切关注事态发展。我在指挥安菲波里斯的 战事 [5] 以后,曾被放逐而离开本国20年。我目睹战争双方的一切行 动,特别是伯罗奔尼撒人的军事行动,因为我流亡在外,使我有空闲时 间更加深入地探究战争的进程。[6]因此,我现在将叙述十年战争以 后所发生的纷争、和约的破坏以及随后所发生的战事。

    27 在缔结五十年休战和约和随后的同盟条约以后,被召集来商讨 停战事宜的伯罗奔尼撒诸邦的使者们从拉栖代梦各自回国。[2]除科 林斯代表外,其余各国的代表直接回国。科林斯代表首先绕道访问阿尔 哥斯,与阿尔哥斯政府的一些官员进行协商。他们指出,拉栖代梦人居 心叵测,他们无非是想奴役伯罗奔尼撒诸邦,不然它无论如何也不会和 它曾经憎恨的雅典人缔约结盟。现在,考虑如何使伯罗奔尼撒保持安全 的职责落到了阿尔哥斯身上,阿尔哥斯应当立即通过一个法令,邀请任 何独立自主并能以公平而平等的法律解决争端的希腊城邦与阿尔哥斯人 订立防守同盟;他们应当指定几位全权代表讨论此事,而不是在公民大 会上进行讨论,这是为了使那些申请加入同盟而未获准的城邦易于保守 秘密。他们认为,很多城邦因为痛恨拉栖代梦人,都会加入这个同盟。 [3]科林斯代表提出这些建议后就回国了。

    28 与科林斯代表接触的阿尔哥斯官员向政府和民众通报了科林斯 代表的建议,于是阿尔哥斯人通过一项法令,并推选出12名代表与除雅 典和拉栖代梦以外的所有愿意加入同盟的希腊城邦商议缔结同盟事宜; 至于雅典和拉栖代梦,未经阿尔哥斯民众的同意,都不得加入同盟。 [2]阿尔哥斯人很快就制定出计划,因为他们认为休战协定即将期 满,与拉栖代梦人的战争将不可避免,而且,他们也希望取得伯罗奔尼 撒的领导权。那时候,拉栖代梦遭受挫折,在公众心目中的形象大为低 落,而阿尔哥斯人则处于最繁荣昌盛时期,他们没有参与阿提卡战争 [6] ,反而因其中立地位在各方面获益匪浅。[3]因此,阿尔哥斯人准 备与愿意加入同盟的任何希腊城邦缔结同盟。

    29 首先要求加入同盟的是曼丁尼亚人及其同盟者,因为他们惧怕 拉栖代梦人。曼丁尼亚人在拉栖代梦人与雅典人交战期间,已经征服阿 卡狄亚的大部分地区,他们认为拉栖代梦人将不会坐视其安稳地占有这 些地盘,现在拉栖代梦人终于有时间干涉此事了。因此,曼丁尼亚人乐 意倒向阿尔哥斯人一边,因为阿尔哥斯是一个强国,是拉栖代梦人的世 仇;并且和他们自己一样,是实行民主制的城邦。[2]随着曼丁尼亚 人退出拉栖代梦同盟,在伯罗奔尼撒其他诸邦中,立即就是否应该效仿 曼丁尼亚人退出同盟展开激烈的辩论,他们认为,曼丁尼亚人如果没有 充足理由是不会改变其立场的;除此以外,他们对拉栖代梦在其他方面 也有怨气,尤其是拉栖代梦人在与雅典人的条约中加入这个条款:在双 方不违背誓词内容的基础上,拉栖代梦人和雅典人皆可按照他们的意志 增添或删改条约条款。[3]该条款是在伯罗奔尼撒各地引起广泛恐慌 的真正起因,他们都怀疑拉栖代梦人和雅典人联合起来奴役他们,认为 对条约的任何变更本来应当经过同盟全体成员国授权同意的条件下方可 作出。[4]基于对局势的这些认识和理解,大多数城邦产生一种恐慌 情绪,他们都渴望使自己与阿尔哥斯订立同盟。

    30 与此同时,拉栖代梦人觉察到正在伯罗奔尼撒各地蔓延的骚 动,也知道科林斯人是始作俑者,科林斯人自己想加入阿尔哥斯同盟。 拉栖代梦人派大使前往伯罗奔尼撒地区,试图阻止那些尚在考虑和观望 的城邦加入阿尔哥斯同盟。拉栖代梦的使者谴责科林斯人发起这种骚 动,要求科林斯人不要退出拉栖代梦同盟而与阿尔哥斯结盟,指出科林 斯人不接受与雅典人的条约已经是一种过错,不要再犯下违背誓言的罪 过了;既然盟约有明确规定,除非神祇或英雄用某种方式阻止它,多数 同盟者的决定对于全体同盟者应当具有约束力。[2]科林斯人在那些 赞成他们拒绝接受条约的同盟者面前答复拉栖代梦使者,这些同盟者是 事先被邀请前来的。科林斯人不肯公开陈述他们所遭受的伤害和委屈, 诸如没有从雅典人手中收复索里昂 [7] 或阿纳克托里昂 [8] ,在其他方 面,他们认为没有达到他们正当的要求,只是将其隐匿在托词之下,即 科林斯人不愿抛弃它在色雷斯的盟邦,因为他们在波提狄亚首先暴动的 时候, [9] 曾向盟邦单独作出保证,就像在后来事件中所作的承诺一 样。[3]因此,科林斯否认没有接受与雅典的条约违背了誓言,因为 它曾以神祇的名义向色雷斯盟友发誓,他们决不能违背誓言,叛离盟 友。另外,誓言中还有这样一句,“除非神祇和英雄阻止它”。现在,科 林斯人认为他们的所作所为正是神祇阻止的结果。[4]这就是科林斯 人对过去所作誓言问题的陈述。关于阿尔哥斯同盟,他们将与盟邦协 商,作出正确的决定。[5]拉栖代梦使者得到答复后就启程回国了。 那时,碰巧阿尔哥斯的大使正在科林斯,他们敦促科林斯尽快与他们结 盟,而科林斯人则邀请阿尔哥斯人参加在科林斯举行的下一次协商会 议。

    31 爱利斯的使团随后也来到科林斯,他们首先与科林斯人结盟, 接着从科林斯来到阿尔哥斯,按政府的授权指令,又与阿尔哥斯人订立 盟约。那时,爱利斯人正与拉栖代梦人就列普里昂 [10] 发生争执。 [2]不久以前,列普里昂与一些阿卡狄亚人发生战争,列普里昂人请 求爱利斯人予以援助,许诺把阿卡狄亚一半的土地给予爱利斯人。战争 结束后,爱利斯把战争期间征服的土地交给列普里昂人使用,并强迫他 们交纳1塔连特贡金给奥林匹亚的宙斯神。[3]列普里昂人缴纳这笔贡 金直到阿提卡战争 [11] 爆发,列普里昂人随即以战争为借口不再缴纳贡 金,爱利斯人以武力相威胁,列普里昂人遂向拉栖代梦求助。当这个事 件被提交到拉栖代梦进行仲裁的时候,爱利斯人对拉栖代梦仲裁的公正 性持怀疑态度,他们拒绝接受拉栖代梦的裁判结果,蹂躏列普里昂的土 地。[4]然而,拉栖代梦人认为,列普里昂是一个独立城邦,爱利斯 人是侵略者,而爱利斯没有接受它的裁断,于是拉栖代梦人派遣重装步 兵进驻列普里昂。[5]对此,爱利斯人认为,拉栖代梦接收了一个背 叛爱利斯人的属邦加入其同盟,并出示一个条约,该条约规定,阿提卡 战争结束时,每个同盟国都应当拥有它们在战争开始时所拥有的一切; 他们认为自己受到不公正待遇,因而转向阿尔哥斯。现在,由爱利斯政 府委派并授权的使者和阿尔哥斯人订立同盟。[6]紧接着,科林斯人 和色雷斯的卡尔基狄克人与阿尔哥斯人结盟。同时,波奥提亚人和麦加 拉人行动一致,仍没有采取任何行动。因为拉栖代梦人让他们按其意志 行事,他们认为与拉栖代梦的政体相比,阿尔哥斯的民主制更不适合他 们的贵族政体。

    32 大约在这个夏季的同一时候,雅典成功地摧毁了斯基奥涅,处 死其成年男子, [12] 把妇女、儿童变为奴隶,将土地交给普拉提亚人居 住。雅典人又把提洛人迁回提洛岛, [13] 迁移提洛人是因为雅典人在战 场上失利 [14] 和德尔斐神谕的指示。[2]同时,佛基斯人与罗克里斯 人之间爆发战争。[3]现在已经订立同盟的科林斯人和阿尔哥斯人派 遣代表到泰吉亚 [15] ,想使它叛离拉栖代梦。因为泰吉亚是一个非常重 要的城邦,如果能说服它加入同盟,整个伯罗奔尼撒将站在他们这一 边。[4]但是,泰吉亚人说,他们不愿做任何反对拉栖代梦的事情, 这时满怀热情的科林斯人才放慢了他们的游说活动,开始担心其他城邦 不会转向他们这一边来了。[5]但他们还是和波奥提亚人进行了接 触,试图说服波奥提亚人与他们结盟,与阿尔哥斯和科林斯采取共同行 动,并请求波奥提亚人随同他们一起到雅典,为他们争取获得十天休战 协议 [16] ,类似于雅典人和波奥提亚人在五十年和平条约后不久所签订 的十天休战协议。而且,万一遭到雅典人拒绝,就劝波奥提亚人放弃休 战协议,在没有科林斯参加的情况下,今后不再与雅典人签订任何休战 和约。这些便是科林斯人的要求。 [6]在与阿尔哥斯结盟问题上,波奥提亚人犹豫不决,但同意偕 同科林斯人同往雅典,但是,他们没有为科林斯人争取到十天休战协 议。雅典人的答复是,作为拉栖代梦人的盟邦,科林斯人已经接受了休 战协议。[7]不过,波奥提亚人不愿放弃他们自己的十天休战协议, 尽管科林斯人提出要求并责备雅典人违背诺言;事实上,科林斯与雅典 已经停战,只是没有用盟誓的形式签订休战和约而已。

    33 在同一个夏季里, [17] 波桑尼阿斯之子、拉栖代梦国王普雷斯托 阿那克斯统率拉栖代梦全军进入阿卡狄亚,攻击帕拉西亚人。帕拉西亚 人臣属于曼丁尼亚人,他们当中的一派请求拉栖代梦人援助。如果可 能,拉栖代梦人也想摧毁基浦塞拉要塞,该要塞在帕拉西亚境内,由曼 丁尼亚人修建和驻守,以袭扰拉哥尼亚境内的斯基里提斯地区 [18] 。 [2]拉栖代梦人把帕拉西亚地区夷为废墟,曼丁尼亚人将其城镇交给 阿尔哥斯军队驻守,而自己的军队则致力于防卫其盟邦领土,但是,他 们没能拯救基浦塞拉或帕拉西亚的城镇,只好返回曼丁尼亚。[3]同 时,拉栖代梦人使帕拉西亚人完全独立,将其要塞夷为平地后班师回 国。

    34 在同一个夏季里,跟随伯拉西达 [19] 进军色雷斯的军队回到拉栖 代梦,他们是在和平条约签订后由克里阿利达斯 [20] 将他们从色雷斯带 回国的。拉栖代梦人颁布命令,凡跟随伯拉西达征战的黑劳士 [21] 都应 当获得自由,允许他们根据自己的意愿选择居住地。不久以后,拉栖代 梦人把他们安置在拉哥尼亚与爱利斯边境地区的列普里昂,使之与涅奥 达摩德斯人 [22] 居住在一起。这时,拉栖代梦人与爱利斯人有些不睦。 [2]可是,对那些在岛上被俘虏和已经缴械投降的斯巴达人, [23] 人 们担心他们因不幸遭遇而品行堕落,如果完全保留其公民权利,他们难 免不试图进行革命活动。因此,这些人被立即剥夺部分公民权,尽管其 中一些人当时担任公职。被剥夺公民权后,他们就没有资格担任公职, 或从事买卖活动了。但是,过了一段时间后,他们的公民权利又得到恢 复。 [24]

    35 在同一个夏季里,狄亚人占领了位于阿克特半岛上阿索斯附近 的泰苏斯镇,该城镇与雅典有同盟关系。[2]整个夏季,雅典人与伯 罗奔尼撒人继续保持交往,尽管和平条约订立后双方都明显地怀疑对方 的诚意,因为双方都没有归还条约所规定的应该交还的领土。[3]根 据抽签结果,拉栖代梦应该首先开始交还安菲波里斯和其他城镇,但它 没有这样做。拉栖代梦人同样没有说服其色雷斯盟邦、波奥提亚人或科 林斯人接受条约;尽管拉栖代梦人不断承诺与雅典采取联合行动,迫使 其盟邦接受条约,如果他们继续拖延且拒绝接受条约的话。拉栖代梦人 也不断地给那些拒绝接受条约的盟邦指定日期,届时那些仍不接受条约 的盟邦将被宣布为拉栖代梦人和雅典人共同的敌人,但是故意不把这些 约束用文字写下来。 [4]同时,雅典人觉得拉栖代梦人实际上没有履行他们的诺言, 开始怀疑其履行条约的诚意,因而不但没有按照拉栖代梦的要求归还派 罗斯,而且后悔不该将岛上的俘虏释放。于是,他们加强对尚未交还的 其他领土的控制,直到拉栖代梦履行条约中它应尽的义务。[5]另一 方面,拉栖代梦人说,他们已经尽力而为了,释放了他们关押的雅典战 俘,从色雷斯撤回军队,做了他们力所能及的事。至于安菲波里斯,他 们没有能力将它归还,但他们将尽力说服波奥提亚人和科林斯人接受条 约,使帕那克敦恢复战前地位,把留在波奥提亚的雅典战俘遣送回国。 [6]同时,拉栖代梦人要求雅典人归还派罗斯,或者,无论如何,美 塞尼亚人和黑劳士应该撤退,像拉栖代梦军队已从色雷斯撤退一样。如 果有必要,雅典人自己的军队可以驻守派罗斯。[7]在这个夏季频频 举行谈判,拉栖代梦人终于成功地说服雅典人把美塞尼亚人和其余的黑 劳士以及从拉哥尼亚逃亡的人全部撤离派罗斯,上述这些人由雅典安置 在基法伦尼亚的克拉尼伊。整个夏季,雅典人与拉栖代梦人之间保持和 平状态和正常往来。

    36 可是,到了冬季, [25] 签订和平条约的那些拉栖代梦监察官不再 任职,一些继任监察官甚至反对和平条约。这时,拉栖代梦的同盟者派 遣的使者来到拉栖代梦,雅典人、波奥提亚人和科林斯人派遣的使者也 抵达拉栖代梦,双方代表多次谈判后没有达成任何协议,代表们准备启 程回国。这时,两个最希望废除和平条约的拉栖代梦监察官克里奥布鲁 斯和森纳里斯趁此机会秘密地与波奥提亚的和科林斯的代表接触,他们 劝波奥提亚人和科林斯人尽可能地采取一致行动,要求波奥提亚人首先 与阿尔哥斯人结成同盟,然后波奥提亚人和阿尔哥斯人一起与拉栖代梦 人建立同盟。既然波奥提亚人最不希望被迫接受与雅典人签订的和平条 约,而拉栖代梦人又在争取赢得阿尔哥斯人的友谊和联盟,甚至由此引 起与雅典公开敌对并使同盟条约关系破裂也在所不惜。波奥提亚人知 道,与阿尔哥斯人建立体面的友谊关系是拉栖代梦的夙愿,因为拉栖代 梦人相信,这将极大地有利于他们在伯罗奔尼撒以外地区进行战争。 [2]同时,他们请求波奥提亚人将帕那克敦交给他们,为此,如果可 能,波奥提亚人可以获得派罗斯作为交换,以便使拉栖代梦人在与雅典 恢复战争状态后处于更有利的地位。

    37 波奥提亚人和科林斯人带着森纳里斯和克里奥布鲁斯以及拉栖 代梦其他朋友对其政府的建议启程回国。[2]他们在回国途中,碰到 两位专程前来等候的阿尔哥斯高级官员,这两位官员告诉波奥提亚的使 者,波奥提亚人联合科林斯人、爱利斯人和曼丁尼亚人与阿尔哥斯建立 同盟是可行的,如果这个同盟能够建立起来,他们就能按其意愿团结一 致地进行议和或战争,可以对抗拉栖代梦人或其他任何城邦。[3]波 奥提亚的使者对于这个建议非常赞赏,因为这个建议与拉栖代梦朋友的 提议完全一样。这两位阿尔哥斯官员认为,他们的建议已被对方接受。 他们在动身回国时,许诺将派遣使者到波奥提亚。[4]波奥提亚的使 者回国后,向他们的同盟官 [26] 汇报了拉栖代梦朋友的提议,以及途中 偶遇阿尔哥斯官员及其所提建议,同盟官很赞赏这个建议,乐意把它付 诸实施,因为阿尔哥斯的请求与拉栖代梦朋友的提议很幸运地不谋而 合。[5]不久以后,阿尔哥斯使者带着上述建议抵达波奥提亚,同盟 官表示赞同该建议,并许诺将派遣使者到阿尔哥斯商议结盟事宜,然后 打发阿尔哥斯使者回国。

    38 与此同时,波奥提亚同盟官、科林斯人、麦加拉人和来自色雷 斯的使者们决定,他们首先互相宣誓,声明只要对方请求援助就互相给 予帮助,不得单方面进行战争和议和;随后又建议,行动一致的波奥提 亚人和麦加拉人 [27] 应当与阿尔哥斯建立同盟。[2]但是,宣誓之 前,波奥提亚同盟官向拥有最高权力的四个议事会 [28] 通报了这些建 议,劝说他们同意与所有愿意和波奥提亚订立防守同盟的城邦互相宣 誓。[3]但是,议事会成员不肯接受这个建议,他们担心,接纳背叛 拉栖代梦同盟的科林斯人加入同盟会触怒拉栖代梦人;波奥提亚同盟官 没有告诉议事会成员,他们的使者在拉栖代梦的磋商经过以及克里奥布 鲁斯和森纳里斯的建议,即波奥提亚人应该事先与科林斯人和阿尔哥斯 人建立同盟,然后再与拉栖代梦人建立同盟;波奥提亚同盟官自负地认 为,即使他们没有向议事会通报这些情况,议事会也不应该投票反对他 们已作出的决定和提议。[4]于是这个计划就搁浅了,科林斯人和来 自色雷斯的使者两手空空地离去;波奥提亚同盟官曾经设想实现这个计 划后再与阿尔哥斯人商议结盟事宜。现在他们不再想向议事会提出有关 阿尔哥斯问题,也不再按原来的承诺派遣使者到阿尔哥斯去了;人们的 疏忽和拖延损害了整个计划。

    39 在同一个冬季里,奥林苏斯人突袭并且攻下了有雅典军队驻守 的麦基柏那 [29] 。 [2]这段时间,雅典人和拉栖代梦人继续磋商被对方侵占的领土 的问题,拉栖代梦人希望,如果雅典人从波奥提亚人手中收复帕那克 敦,他们自己便可以收回派罗斯。为此,拉栖代梦人派遣使者到波奥提 亚,请求波奥提亚人把帕那克敦和雅典战俘移交给他们,以便他们用来 交换派罗斯。[3]波奥提亚人拒绝移交帕那克敦和战俘,除非拉栖代 梦人与他们单独订立一个盟约,该盟约应该与拉栖代梦人和雅典人已经 签订的盟约一样。拉栖代梦人认为这样做将违背他们与雅典人达成的誓 约,即没有另一方的参与,任何一方都不得单独议和或发动战争;拉栖 代梦人还希望获得帕那克敦,并指望用它换回派罗斯。而拉栖代梦国内 另一派人士主张解除与雅典之间的条约,他们设法加强与波奥提亚人的 联系,在冬去春来之际,拉栖代梦人与波奥提亚人最终建立同盟;帕那 克敦的防御工事立即被波奥提亚人拆毁。战争的第十一年就这样结束 了。

    40 在夏季开始的时候 [30] ,阿尔哥斯人发现波奥提亚人没有履行承 诺派遣使者前来磋商,帕那克敦的防御工事又被拆除,波奥提亚人已与 拉栖代梦人单独建立同盟。这一切使阿尔哥斯人开始担心自己处于孤立 地位,而他们的同盟者都倒向拉栖代梦一边去了。[2]他们猜想,波 奥提亚人已被拉栖代梦人说服而拆毁了帕那克敦的防御工事,并加入与 雅典人签订的条约,而雅典人暗地里已经获悉有关情况。因此,阿尔哥 斯人甚至不敢指望与雅典人建立同盟—这正是他们过去一直抱有希望 的。因为他们过去认为,雅典人与拉栖代梦人龃龉不和,一旦雅典人与 拉栖代梦人之间的条约被废除,他们还可以倒向雅典一边。[3]阿尔 哥斯人感到窘迫,他们担心,他们原想拒绝与拉栖代梦人续订同盟条 约,并且想成为伯罗奔尼撒的领导者,其结果将会使自己马上陷于与拉 栖代梦人、泰吉亚人、波奥提亚人和雅典人的战争之中。阿尔哥斯现在 赶忙选派最有可能使拉栖代梦乐于接待的攸斯特罗夫斯和埃松作为使者 前往拉栖代梦,他们认为在目前情况下,最有利的策略就是在一切可能 争取的条件下,与拉栖代梦签订一个条约,以使心情焦虑的阿尔哥斯人 安下心来。

    41 阿尔哥斯使者抵达拉栖代梦后,就开始与拉栖代梦方面磋商他 们所提出的盟约条款。[2]阿尔哥斯使者首先提出的要求是,允许把 基努里亚的土地问题交由某个城邦或个人进行仲裁。基努里亚位于两国 边境地带,双方对其归属问题一直争执不断,它包括泰里亚和安塞涅两 个城镇,现在处于拉栖代梦人的占领之下。拉栖代梦人则首先声明,他 们拒绝讨论此事,但愿意根据旧的条约条款达成协议。但是,阿尔哥斯 使者最终成功地使拉栖代梦人作出让步:现在订立五十年休战协定,但 是,如果拉栖代梦或阿尔哥斯境内没有发生战争或瘟疫,任何一方都可 以向对方正式挑战并通过战争方式来解决基努里亚地区问题,因为过去 双方都声称自己是胜利者 [31] ,不允许跨越拉栖代梦或阿尔哥斯边界进 行追击。[3]拉栖代梦人起初认为这不过是一种愚蠢之举,但最后, 为了不惜任何代价维持与阿尔哥斯人的友好关系,他们同意了阿尔哥斯 人的要求,把这一条写入盟约。但是,在条约生效前,阿尔哥斯的使者 得返回国内,向人民汇报条约内容,如果阿尔哥斯人民批准条约,阿尔 哥斯的使者就再回来参加海阿金西亚节,举行宣誓仪式。这样,阿尔哥 斯的使者就回国去了。

    42 在与阿尔哥斯人进行商谈的同时,拉栖代梦人的使者—安德罗 米德斯、腓狄姆斯和安提门尼达斯—企图把雅典俘虏从波奥提亚人手中 接收过来,并把这些俘虏和帕那克敦交还给雅典人。而拉栖代梦人的使 者抵达波奥提亚后,发现波奥提亚人自己拆毁了帕那克敦要塞,他们的 借口是,波奥提亚人和雅典人在古代对帕那克敦发生过争执,结果是双 方交换誓词,约定双方都不得在帕那克敦定居,但双方应当把它作为牧 场共同放牧。波奥提亚人把他们手中的雅典战俘移交给安德罗米德斯及 其同僚,由他们把这些战俘移送到雅典,然后回国。他们同时把帕那克 敦要塞被拆毁一事告诉了雅典人。在他们看来,这似乎与把帕那克敦要 塞交还给雅典人一样,因为此地已不再被雅典的敌人占有。[2]他们 的陈述使雅典人勃然大怒,雅典人认为拉栖代梦人在两件事上不守信 用:第一件是拆毁帕那克敦,他们应该把帕那克敦完整地归还给雅典; 第二件是,雅典人现在获悉,拉栖代梦人已与波奥提亚人单独建立同 盟,而他们过去在与雅典订立盟约时承诺, [32] 要联合起来迫使不愿接 受条约的盟邦接受条约。雅典人还指出拉栖代梦人在其他方面没有遵守 和约的地方,认为他们被拉栖代梦人蒙骗了,因而给拉栖代梦使者们一 个很不客气的答复,然后让他们离境。

    43 拉栖代梦人与雅典人的关系既然恶化,雅典国内主张废除与拉 栖代梦的条约的一派立即活跃起来。[2]这一派的领袖是克里尼亚斯 之子阿尔基比阿德斯,那时他还年轻 [33] ,即使在希腊其他城邦中也可 算是年轻的,但他是因其家族门第显赫而受人尊敬的。阿尔基比阿德斯 确信雅典与阿尔哥斯结盟更可取,此外,他认为拉栖代梦人使他的威信 受到损害,因而也反对和拉栖代梦人订立和约;拉栖代梦人通过尼基阿 斯和拉齐斯到雅典商议条约,因为他年轻而忽视了他,也没有因其家族 与拉栖代梦人在过去的关系而对他表示应有的尊重,其家族曾负责关照 拉栖代梦人在雅典的利益。 [34] 尽管他的祖父放弃了这个任务,但他认 为自己最近已经接过这种任务,他曾关照过从斯法克特里亚俘虏回来的 拉栖代梦人。[3]因此,他认为,无论从哪个方面讲,他都没有得到 拉栖代梦人应有的尊重。他首先反对与拉栖代梦人的和约,谴责拉栖代 梦人,说他们是不可信的,他们订立和约的唯一目的就是腾出手来征服 阿尔哥斯人,随后进攻孤立无援的雅典人;现在,雅典人和拉栖代梦人 不合,他便私下派遣代表到阿尔哥斯,要求阿尔哥斯人和曼丁尼亚人、 爱利斯人一起尽快赶到雅典,与雅典人商议结盟事宜。他说,现在是结 盟的有利时机,他会尽力帮助他们。

    44 阿尔哥斯人得知这个消息,意识到雅典人并没有与波奥提亚人 秘密建立同盟,而是因此与拉栖代梦人发生激烈争执,阿尔哥斯人不再 进一步关注为签订盟约而派往拉栖代梦的使者的磋商结果,而是开始倾 向于雅典人一边,他们认为如果爆发战争,他们将和雅典城邦站在一 起,雅典不仅是阿尔哥斯的古时候的盟邦,而且和阿尔哥斯一样,是实 行民主制的城邦,还拥有强大的海军。[2]因此,阿尔哥斯立即派遣 使者偕同爱利斯和曼丁尼亚的使者赶赴雅典,商议结盟事宜。[3]与 此同时,拉栖代梦的使者也匆匆赶到雅典,其成员包括著名的对雅典人 持友好态度的人士—腓洛卡里达斯、列昂和恩狄乌斯—他们担心雅典人 一气之下,可能与阿尔哥斯人建立同盟;他们也想用帕那克敦交换派罗 斯,并对拉栖代梦与波奥提亚人结盟之事加以辩解,申明该联盟不会对 雅典造成危害。

    45 拉栖代梦人的使者在雅典议事会演讲时,谈及上述内容,声称 他们拥有全权商议和决定两国间所有有争议的其他问题。阿尔基比阿德 斯担心,如果拉栖代梦使者又向雅典公民大会复述其主张,他们就可能 争取到多数雅典人的好感,雅典人就可能不肯与阿尔哥斯人结盟了。 [2]因此,他采取了下述计策。他以如下方式劝说拉栖代梦人:他郑 重地保证,如果拉栖代梦代表团不向雅典公民大会说出其拥有处理问题 的全权,他将把派罗斯交还给他们(现在反对交还派罗斯的人就是他自 己,他会设法使拉栖代梦人从雅典人手中获得派罗斯),并协商解决争 议中的其他问题。[3]他的计划是想离间拉栖代梦人和尼基阿斯,在 公民大会上羞辱拉栖代梦人,指责他们缺乏诚意,说他们出尔反尔,以 期促成阿尔哥斯、爱利斯、曼丁尼亚与雅典建立同盟。[4]结果这个 计策获得成功。当拉栖代梦人的使者出席公民大会回答公民的质询时, 说他们未曾向议事会讲过他们拥有解决问题的全权一事,雅典人对他们 的这种做法再也忍耐不下去了,转而听信阿尔基比阿德斯的话。阿尔基 比阿德斯则以从未有过的强烈语气攻击拉栖代梦人。雅典人准备立即请 阿尔哥斯人及其同来的人 [35] 进入会场,和他们订立盟约。可是,缔结 盟约之事未能办妥,由于发生了地震,这次公民大会就散会了。

    46 第二天,公民大会继续开会,尽管拉栖代梦人受了欺骗,没有 承认他们拥有解决问题的全权,尼基阿斯也上了当,但他仍然坚持认为 雅典人应当与拉栖代梦人而不应当与阿尔哥斯人保持友好关系,因此, 他建议推迟考虑与阿尔哥斯结盟的建议,再次派遣使者前往拉栖代梦了 解其意图。他认为,推延战争的爆发只能提高雅典人自己的声誉,而损 害其对手拉栖代梦人的威信;雅典国泰民安,所以最好是尽可能长久地 维持这种繁荣,而拉栖代梦人的处境则是如此险恶,他们企盼尽快地采 用冒险手段,以求时来运转。[2]结果,他成功地说服雅典人派遣包 括他本人在内的代表团到拉栖代梦去告诉拉栖代梦人,如果他们真诚地 希望得到和平,就应该把完整无缺的帕那克敦和安菲波里斯归还给雅典 人,解除他们与波奥提亚人的盟约(除非波奥提亚人同意接受雅典与拉 栖代梦订立的盟约)。根据该条约规定,禁止任何一方在没有另一方参 与时单独订立和约。[3]代表团还要坦率地告诉拉栖代梦人,如果雅 典人图谋不轨,他们早就与阿尔哥斯人缔结盟约了,因为阿尔哥斯人正 是为了这个目的而专程赶到雅典的。雅典人还把对拉栖代梦人其他方面 的怨言告诉了尼基阿斯和他的同僚,他们便启程前往斯巴达了。[4] 雅典代表团抵达拉栖代梦,向拉栖代梦人说明来意,提出要求,最后告 诉拉栖代梦人,万一波奥提亚人不接受雅典人与拉栖代梦人订立的盟 约,除非他们解除他们与波奥提亚人的盟约,否则雅典将单独与阿尔哥 斯及其盟邦建立同盟。可是,拉栖代梦人拒绝解除他们与波奥提亚人的 盟约—监察官森纳里斯一派和其他持相同观点者坚持这种立场—但在尼 基阿斯请求下,重新举行了宣誓仪式,尼基阿斯担心空手而归受到国人 耻笑。事实果真如此,因为他是雅典与拉栖代梦订立和约的倡议者。 [5]尼基阿斯一回国,雅典人就得知他在拉栖代梦一无所获,他们怨 气冲天,认为他们是受了羞辱。通过阿尔基比阿德斯的介绍,阿尔哥斯 人及其同盟者的代表出席了雅典公民大会,利用这个机会,双方签署条 约,结成同盟。盟约条款如下:

    47 雅典人、阿尔哥斯人、曼丁尼亚人和爱利斯人为了他们自己和 他们各自控制下的同盟者的利益,订立有效期为100年的条约;同盟者 之间,在陆地上和海上不得彼此伤害和相互欺诈。 [2]1.阿尔哥斯人、爱利斯人和曼丁尼亚人及其同盟者,无论以 何种方式或手段,如果用武力攻击雅典人或雅典帝国境内诸同盟者;或 者雅典人和他们的同盟者,无论以何种方式或手段,用武力攻击阿尔哥 斯人、爱利斯人、曼丁尼亚人或他们的同盟者,都属于非法行为。 雅典人、阿尔哥斯人、爱利斯人和曼丁尼亚人将根据下列条件,结 成同盟,为期100年。 [3]2.如果有敌人侵入雅典的领土,阿尔哥斯人、爱利斯人和曼 丁尼亚人将根据雅典人的请求,倾其国力,以最有效的方式援助雅典。 但是,如果侵略者在蹂躏其领土后扬长而去,则阿尔哥斯人、曼丁尼亚 人、爱利斯人和雅典人,将把这个侵略者视为共同的敌人,所有这些城 邦将一同攻击之;同盟国中任何一国不得单独与其议和,除非上述诸邦 都同意与其缔结和约。 [4]3.同样,如果有敌人侵犯爱利斯、曼丁尼亚或阿尔哥斯的领 土,雅典人应该根据上述诸邦的请求,倾其国力,以最有效的方式援助 这些城邦。但是,如果侵略者在蹂躏了这些城邦的领土后扬长而去,则 雅典人、阿尔哥斯人、曼丁尼亚人和爱利斯人把这个侵略者视为共同的 敌人,所有这些城邦将一同攻击之;同盟国中任何一国不得单独与其议 和,除非上述诸邦都同意缔结和约。 [5]4.任何心怀敌意的武装力量均不得通过同盟国的领土,或他 们各自控制下的盟邦的领土,也不得通过他们控制下的海域,除非所有 同盟国—即雅典、阿尔哥斯、曼丁尼亚和爱利斯—都投票赞成他们通 过。 [6]5.凡派出援助盟邦的军队,他们的给养由出兵的城邦提供, 从他们抵达受援城邦之日算起,为期30天;援军在撤回国途中的给养也 由出兵的城邦提供。如果援军的军事行动超过30天,接受援助的城邦应 当提供给养费,标准如下:重装步兵、弓箭手和轻装步兵每人每天3个 埃吉那奥波尔,骑兵每人每天1个埃吉那德拉克玛 [36] 。 [7]6.请求援助的城邦,当战争在其本国境内进行时,应当对前 来援助的军队拥有指挥权。但是,如果各城邦决定联合远征,指挥权应 当在所有城邦中平等分享。 [8]7.雅典人自己及其同盟者应当宣誓遵守本条约,阿尔哥斯 人、曼丁尼亚人、爱利斯人及其同盟者,应当逐一宣誓履行本条约。每 个城邦应该用其国内最具约束力的方式宣誓,并献上完全成熟的牲畜作 为祭品。誓词如下: 我谨以公正、纯洁和真诚的态度遵守同盟条约和条约的各项条款; 我决不以任何方式或手段违背本条约。 [9]在雅典,宣誓应该由议事会和城市长官执行,由议事会主席 团 [37] 主持;在阿尔哥斯,宣誓由议事会、八十人团和阿提奈 [38] 执 行,由八十人团主持;在曼丁尼亚,宣誓由十执政官、议事会和其他行 政长官执行,由宗教长官和将军们主持;在爱利斯,宣誓由十执政官、 行政长官和六百人团执行,由十执政官和司法官主持。[10]雅典人应 当在奥林匹亚竞技会 [39] 开幕前30天前往爱利斯、曼丁尼亚和阿尔哥斯 重新宣誓;阿尔哥斯人、曼丁尼亚人和爱利斯人应在大泛雅典人节 [40] 前10天前往雅典重新宣誓。[11]条约的条款、誓词和盟约须镌刻在石 柱上,雅典人应把石柱立在卫城上 [41] ,阿尔哥斯人应把石柱立在阿波 罗神庙内的市场上,曼丁尼亚人应把石柱立在市场中的宙斯神庙里,同 盟各邦应在即将举行的奥林匹亚竞技会期间联合建立一根铜柱。[12] 如果上述城邦认为有必要增加条约条款,经所有盟邦磋商并一致同意 后,新增条款将同样具有约束力。

    48 尽管上述诸邦签订了条约,缔结了同盟,但拉栖代梦人和雅典 人所签订的条约并没有因此而被宣布废止。[2]同时,尽管科林斯是 阿尔哥斯的同盟国,但它并没有参加这个新条约,也没有参加从前爱利 斯人、阿尔哥斯人和曼丁尼亚人所订立的攻守同盟。科林斯人曾公开声 称,他们对于第一个同盟条约已经感到满意了,该条约只是防御性的, 他们有互相援助的义务,而没有联合起来进攻别人的责任。[3]于 是,科林斯人采取了与其盟邦不同的态度,再次倾向于拉栖代梦人了。

    49 奥林匹亚竞技会在这一年夏季 [42] 举行,阿卡狄亚的安德罗斯提 尼首次赢得摔跤和拳击比赛的胜利,爱利斯人不许拉栖代梦人进入神 庙,拉栖代梦人也就没有参加祭祀仪式和竞技会,因为爱利斯人曾经按 照奥林匹亚法律规定对拉栖代梦人处以罚款,而拉栖代梦人又不肯缴纳 罚金。爱利斯人认为,拉栖代梦人曾在奥林匹亚竞技会休战期间 [43] 派 其重装步兵进入列普里昂并进攻腓尔库斯要塞。按法律规定,每个重装 步兵罚款2明那,罚金共计2000明那。[2]拉栖代梦人派来使者,申明 这种处罚是不公正的,他们说,在拉栖代梦重装步兵出发时,在拉栖代 梦还没有宣布休战。[3]但是,爱利斯人则肯定地说,他们自己的休 战已经开始(他们首先向他们自己宣布休战),他们就像在和平时期一 样过着安宁的生活,没有预料到会遭到袭击,拉栖代梦人的侵略行为使 他们感到震惊。[4]对此,拉栖代梦人认为,如果爱利斯人真的认定 拉栖代梦人犯了侵略别人的过错,他们随后到拉栖代梦宣布休战就没有 必要了;但是,他们还是在拉栖代梦宣布了休战,这表明他们认为拉栖 代梦人并没有犯下侵略过错,而宣布休战后,拉栖代梦人就没有进攻爱 利斯的领土了。[5]尽管如此,爱利斯人还是坚持他们的观点,无论 如何都不能使他们相信拉栖代梦没有犯下侵略他们领土的过错;但是, 如果拉栖代梦人愿意归还列普里昂,他们愿意放弃自己应得的那部分罚 金,并替拉栖代梦人缴纳应该贡献给神祇的罚金。

    50 拉栖代梦人不肯接受爱利斯人的建议,爱利斯人又提出第二个 建议。如果拉栖代梦人不愿归还列普里昂,他们可以不交还。但是,既 然他们渴望进入奥林匹亚的宙斯神庙,他们应该登上宙斯神庙的祭坛, 在希腊人面前宣誓,保证以后将支付罚金。[2]这个建议也被拉栖代 梦人拒绝了,于是,拉栖代梦人被排斥在神庙、祭祀和竞技会之外,他 们只好在国内举行祭祀仪式。除拉栖代梦人外,只有列普里昂没有参加 祭祀和竞技会。[3]爱利斯人仍担心拉栖代梦人采取武力强行参加祭 祀活动,便派遣一批全副武装的青年执行警戒,参加警戒的还有1000名 阿尔哥斯人、1000名曼丁尼亚人和一些在祭祀节日期间驻扎在哈皮那 [44] 的雅典骑兵。[4]在竞技会期间,人们忧心忡忡,害怕拉栖代梦人 率领军队前来滋事,特别是拉栖代梦人阿开西劳斯之子利卡斯在跑马场 被裁判员鞭打后。因为利卡斯的参赛马车获得优胜,但裁判员宣布波奥 提亚人是获胜者,原因是利卡斯无权参加竞赛,而利卡斯擅自进入赛马 场,为了表明他是获胜马车的主人,他把胜利花冠戴在御马者—自己头 上。这个事件发生后,恐惧气氛蔓延,人们非常担心发生动乱。但是, 拉栖代梦人保持平静,使节日像我们看到的那样平安度过。[5]奥林 匹亚竞技会之后,阿尔哥斯人及其同盟者的代表一起造访科林斯,邀请 科林斯人参加他们的同盟。他们在科林斯发现拉栖代梦使者在那里,经 过长时间谈判后一无所获。这时发生了地震,代表们回到各自城邦去 了。这个夏季也就结束了。

    51 接着在冬季里, [45] 特拉启斯的赫拉克里亚人与周边部落埃尼安 尼亚人、多洛皮亚人、马利亚人以及一些色萨利人发生了战争,[2] 周边部落对赫拉克里亚人的城镇心怀敌意,认为它直接威胁着他们的领 土安全。因此,从该镇建立之日起,他们就倾其力量以各种方式反对和 滋扰它。现在,他们在战场上打败了赫拉克里亚人,杀戮其军民,包括 他们的拉栖代梦人指挥官克尼狄斯之子森纳里斯。冬季结束的时候,战 争的第十二年也就此结束了。

    52 下一个夏季 [46] 刚一开始,就在这场战役之后,情况恶化的赫拉 克里亚城被波奥提亚人攻陷,波奥提亚人以拉栖代梦人阿吉西皮达斯没 有能力管理该城镇为借口,将其赶走,并且说,他们担心拉栖代梦人因 伯罗奔尼撒的事务陷于困境时,雅典人会乘机占领该城镇。尽管如此, 波奥提亚人的所作所为仍冒犯了拉栖代梦人。 [2]在同一个夏季里,克里尼亚斯之子阿尔基比阿德斯已是雅典 的一名将军,在阿尔哥斯人及其同盟者的协助下,率领少数雅典重装步 兵和弓箭手以及沿途吸收的一些同盟者的士兵,进入伯罗奔尼撒。他凭 借这支军队,通过伯罗奔尼撒,在各地处理各种与同盟有关的事务;在 其他方面,他说服培特利人将其长城修筑到海边,并打算自己也在阿凯 亚的瑞昂 [47] 附近修筑一个要塞。但是,科林斯人、西基昂人以及那些 担心他修筑要塞而使自己蒙受损害的其他地方都开来军队,阻止了他的 计划。

    53 在同一个夏季里,爱皮道鲁斯人和阿尔哥斯人之间爆发了战 争。阿尔哥斯人发动战争的借口是爱皮道鲁斯人没有向阿波罗·皮赛乌 斯神庙送去牧场应奉献的祭品,他们有献祭的义务,而阿尔哥斯人是该 神庙 [48] 的主要负责人。但是,撇开这个托词,实际上阿尔基比阿德斯 和阿尔哥斯人商定,如果可能就夺取爱皮道鲁斯,以使科林斯人不敢妄 动,缩短雅典人从埃吉那派兵增援阿尔哥斯的路程,这比绕过斯基赖昂 [49] 的海上航线要近一些。因此,阿尔哥斯人准备单独侵入爱皮道鲁 斯,迫使他们缴纳祭品。

    54 大约同时,阿奇达姆斯之子阿基斯率领拉栖代梦的全部军队, 进驻其边境上的留克特拉,该地位于吕凯昂山的对面,没有人知道拉栖 代梦人进军的意图,甚至派遣军队参加行动的同盟者也不清楚。[2] 可是,越过边境时的祭祀 [50] 没有显示吉兆,拉栖代梦人就班师回国 了,通知其盟邦准备下个月以后进军。下个月碰巧是卡尔纽斯月 [51] , 这是多利斯人的神圣时节。[3]拉栖代梦人撤军后,阿尔哥斯人在卡 尔纽斯月到来的前三天即他们称之为最后一天开始进军,侵入和掠夺爱 皮道鲁斯,在整个征战期间,他们把每天都称为卡尔纽斯月的前一个月 的第27日 [52] 。[4]爱皮道鲁斯请求其盟邦派兵援助,有些盟邦以本 月为神圣月份为由拒不出兵,其他盟邦则派兵驻扎在爱皮道鲁斯边境上 按兵不动。

    55 在阿尔哥斯入侵爱皮道鲁斯之际,应雅典人的邀请,各城邦的 代表集合在曼丁尼亚。协商会议开始的时候,科林斯人攸法米达斯发言 说,他们的言行不一致,在他们坐在谈判桌前议和的时候,爱皮道鲁斯 人及其盟邦与阿尔哥斯人在战场上厮杀犹酣;与会代表应当首先进行斡 旋,使双方停战,然后议和谈判才可能继续。[2]各城邦代表接受了 这个建议,经过斡旋,阿尔哥斯人撤离爱皮道鲁斯,随后代表们再次聚 集协商,但没有取得任何进展;阿尔哥斯人再次侵入并劫掠爱皮道鲁 斯。[3]拉栖代梦人也进军卡利埃,但边境上的祭祀再次显示不祥之 兆,他们又撤退了。阿尔哥斯人毁掉爱皮道鲁斯三分之一的国土后撤兵 回国。[4]同时,阿尔基比阿德斯率领1000名雅典重装步兵前来支援 阿尔哥斯人,但发现拉栖代梦人的远征军已经撤回,阿尔哥斯人不再需 要援助了,阿尔基比阿德斯也就返回去了。这个夏季就这样过去了。

    56 在下一个冬季里, [53] 拉栖代梦人设法避开了雅典人的警戒,把 阿吉西皮达斯手下的300名驻军运抵爱皮道鲁斯。[2]对此,阿尔哥斯 人前往雅典,抱怨雅典人不该允许敌人由海路通过其领土 [54] ,因为条 约中有关于同盟者不得允许敌人通过其领土的条款 [55] 。因此,除非雅 典人现在派遣一支由美塞尼亚人和黑劳士组成的军队进入派罗斯,袭扰 拉栖代梦人,阿尔哥斯人才认为雅典人守信用。[3]阿尔基比阿德斯 说服雅典人在拉哥尼亚石柱铭文的下面,加刻“拉栖代梦人不遵守誓 约”的字样,并且派遣在克拉尼伊的黑劳士 [56] 到派罗斯,劫掠那个地 方;除此之外,局势一如既往,保持平静。 [4]在这个冬季里,阿尔哥斯人与爱皮道鲁斯人的冲突持续不 断,不过只有伏击战和袭掠,没有发生大规模的战斗,双方都有伤亡, 损失不大。[5]在冬去春来之际,阿尔哥斯人携带云梯开赴爱皮道鲁 斯,希望找到一处因忙于战争而疏于防守的城墙,一举攻克它,但他们 没有成功,只得返回。冬季结束之时,战争的第十三年也结束了。

    57 在随之而来的仲夏时节 [57] ,拉栖代梦人发现他们的同盟者爱皮 道鲁斯遭受不幸,伯罗奔尼撒的其余盟邦有些公开地叛变,有些有意疏 远自己,他们认为,如果不采取措施迅速加以干预的话,骚动会进一步 扩大。因此,拉栖代梦国王、阿奇达姆斯之子阿基斯率领包括黑劳士在 内的全部武装力量开赴战场,反击阿尔哥斯人。[2]拉栖代梦的同盟 者泰吉亚人和阿卡狄亚人也参加了远征。伯罗奔尼撒和其他地区的同盟 者的军队集结在弗琉斯;波奥提亚人派来5000名重装步兵和5000名轻装 步兵,500名骑兵及同样数量的随从 [58] ;科林斯人派来2000名重装步 兵,其余的盟邦则派出多少不一的分遣队;弗琉斯人则派出全国所有的 军队。

    58 阿尔哥斯人自始就知道拉栖代梦人在准备开战。但是,他们在 等到拉栖代梦军队开往弗琉斯与其同盟军会合时才开赴前线。曼丁尼亚 人及其同盟者前来增援,爱利斯人派来3000名重装步兵援助他们。 [2]他们向前推进,在阿卡狄亚的麦塞德里昂遭遇拉栖代梦人。双方 都在一座小山上构筑阵地,阿尔哥斯人准备在拉栖代梦人单独安营时向 他们发动进攻。但是,阿基斯在夜里趁阿尔哥斯人不注意,拔营撤离, 前往弗琉斯与其他盟军会合了。[3]阿尔哥斯人在次日拂晓才发现这 个情况,他们首先向阿尔哥斯开进,随后又朝涅米亚大道挺进,他们估 计拉栖代梦人及其同盟者的军队从山上撤离后必经此地。[4]但是, 阿基斯没有走阿尔哥斯人猜测他要走的那条路,他命令拉栖代梦人、阿 卡狄亚人和爱皮道鲁斯人整军出发,沿着另一条崎岖道路向阿尔哥斯平 原进军。科林斯人、培林尼人和弗琉斯人则沿着一条陡峭的道路前进, 波奥提亚人、麦加拉人和西基昂人则奉命取道阿尔哥斯人驻守的涅米亚 大道向前挺进。其目的在于,如果阿尔哥斯人进入平原攻击阿基斯率领 的军队,他们则用骑兵从后面袭击阿尔哥斯人。[5]作出这些军事部 署后,阿基斯侵入阿尔哥斯平原,摧毁萨明苏斯和其他地方。

    59 阿尔哥斯人获悉上述情报后,迎着朝阳从涅米亚出发。在途 中,他们遭遇弗琉斯人和科林斯人,杀死少数弗琉斯人,而自己的士兵 被科林斯人所杀死的也许更多一些。[2]同时,奉命向涅米亚进军的 波奥提亚人、麦加拉人和西基昂人发现阿尔哥斯人已不在那里。阿尔哥 斯人进入平原时发现自己的财产被毁掉,于是排成阵列准备战斗,拉栖 代梦人也同样地列队迎战。[3]现在阿尔哥斯人被紧紧包围,拉栖代 梦人及其同盟者的军队切断了城中的阿尔哥斯人与平原上的阿尔哥斯人 之间的联系;在他们的前方有科林斯人、弗琉斯人和培林尼人;在涅米 亚方向有波奥提亚人、西基昂人和麦加拉人。同时,阿尔哥斯人的军队 没有骑兵,在其同盟国中只有雅典人没有赶来参战。 [59] [4]现在, 大多数阿尔哥斯人及其同盟者的军队不知道他们的处境岌岌可危,仍认 为再也没有比这更好的作战形势了,即在自己的国土上,在城市附近, 正在截断拉栖代梦人的退路。[5]可是,阿尔哥斯军队中有两人觉察 到险情:一个是特拉叙鲁斯,阿尔哥斯的五位将军之一;另一个是阿尔 基弗隆斯,他是在阿尔哥斯的拉栖代梦人的代理人。他们在双方军队即 将接战之际,跑过来与阿基斯举行谈判,竭力劝说他不要发动战争,不 论拉栖代梦人对阿尔哥斯人有什么怨仇,阿尔哥斯人都准备将其提交给 一个公正和公平的仲裁者进行仲裁,并签订一个条约以便将来过和平生 活。

    60 这些请求仅仅是这两位阿尔哥斯人的主张,他俩并没有获得军 队中大多数人的同意和授权。阿基斯接受了他俩的提议,没有与多数人 商议此事,仅仅与随其远征的一名高级军官私下谈及过,便决定同意与 阿尔哥斯人休战四个月,使阿尔哥斯人履行其诺言;随后他下令立即撤 军,没有对任何一个盟邦作任何解释。[2]拉栖代梦人及其同盟者的 军队出于对法律的尊重而跟随其将军撤退,但他们中的多数人公开指责 阿基斯放弃如此难得的良机(敌人已被步兵和骑兵四面合围),没有施 展其威力便不战自退了。[3]的确,这次集合的是最好的希腊军队; 他们会合于在涅米亚时,可以看到拉栖代梦人的全部军队,以及阿卡狄 亚人、波奥提亚人、科林斯人、西基昂人、培林尼人、弗琉斯人和麦加 拉人的精锐部队,他们自己认为不仅能战胜阿尔哥斯同盟,就是再添上 另一个这样的同盟,他们也能对付。[4]拉栖代梦同盟的军队就这样 在对阿基斯的抱怨声中撤退,各自回国去了。[5]但是,阿尔哥斯人 仍然愤怒地谴责没有与民众商议就擅自缔结休战协定的人,他们自己认 为这是他们从未有过的极好机会而让拉栖代梦人逃走了;当战斗在他们 城墙下进行的时候,会有很多勇敢的同盟军参加作战。[6]因此,在 返回途中,他们在进城前就在审判军事案件的卡拉德鲁斯河的河滩上向 特拉叙鲁斯投掷石块。特拉叙鲁斯逃避到祭坛旁边才保住性命,但他们 把他的财产没收了。

    61 之后,拉齐斯和尼科斯特拉图斯率领雅典的1000名重装步兵和 300名骑兵赶到了。但阿尔哥斯人不愿破坏与拉栖代梦人所订的休战协 定,他们请求雅典人班师回国,雅典人则想在阿尔哥斯的公民大会上发 表演讲,也遭到拒绝。当时曼丁尼亚人和爱利斯人还在阿尔哥斯,他们 支持雅典人的要求;最后,阿尔哥斯人被迫同意雅典人的要求。[2] 在阿尔哥斯充任雅典大使的阿尔基比阿德斯,代表雅典人向阿尔哥斯人 和同盟者发表演讲。他说,没有他们这些同盟者的同意,阿尔哥斯人无 权签订休战协定,现在雅典援军及时赶到,应该恢复军事行动。[3] 雅典人列举的这些理由成功地说服了同盟军,除阿尔哥斯以外的所有同 盟者立即向奥科麦诺斯进军。阿尔哥斯人尽管像其他盟邦一样表示同 意,但开始时滞留在后,后来才加入远征军的征战行动。[4]现在, 他们都开到奥科麦诺斯城下,包围该城,向它发起进攻;他们急于攻占 奥科麦诺斯的原因之一是拉栖代梦人把阿卡狄亚人质关押在此地。 [5]奥科麦诺斯人看到自己城防薄弱,敌军众多,因而惊恐不安,他 们担心在援兵到来之前自己的城市就有被摧毁的危险,便主动投降了。 投降的条件是加入阿尔哥斯同盟,把自己的人质交给曼丁尼亚人,释放 拉栖代梦人关押在他们那里的人质。

    62 同盟军在夺取奥科麦诺斯后,商议下一个进攻目标。爱利斯人 竭力主张进攻列普里昂,曼丁尼亚人主张进攻泰吉亚,阿尔哥斯人和雅 典人支持曼丁尼亚人的主张。[2]爱利斯人对同盟军没有投票支持其 主张进攻列普里昂极为不满,盛怒之下班师回国;其余的盟军驻扎在曼 丁尼亚,准备进攻泰吉亚,泰吉亚城内有一派准备投降。

    63 与此同时,拉栖代梦人在签订为期四个月的休战协定后,从阿 尔哥斯撤兵回国。他们强烈抨击阿基斯没有征服阿尔哥斯,失去这个千 载难逢的好机会,因为把如此众多而精良的同盟者的军队集中在一起很 不容易。[2]但是,当敌人夺得奥科麦诺斯的消息传来后,他们怒不 可遏,打破惯例,在狂怒情绪影响下,打算拆毁阿基斯的宅邸并罚款1 万德拉克玛。[3]可是,阿基斯恳求他们不要处罚他,许诺将在下一 次作战的时候,英勇杀敌,以赎前愆;若非如此,则听凭国人处置。 [4]因此,他们既没有拆毁其宅邸,也没有科以罚金。他们制定了一 项在拉栖代梦还是史无前例的法律,推举10个斯巴达人担任他的顾问 [60] ,限制他的权力,没有取得顾问们的同意,他带兵出城,属于非法 行为。

    64 在这个时候,拉栖代梦人在泰吉亚的朋友 [61] 传来消息,除非他 们迅速发兵援救,否则泰吉亚将会倒向阿尔哥斯及其同盟者一边,他们 已经准备这样做了。[2]得到这个消息后,一支由所有拉栖代梦人和 黑劳士所组成的军队从拉栖代梦赶去援救,其行动之迅速,规模之浩 大,都是前所未有的。[3]他们向麦那里亚的奥瑞斯提昂进发,命令 其盟邦阿卡狄亚人紧随其后,远征泰吉亚。远征军抵达奥瑞斯提昂后, 派遣六分之一的兵力—由年龄最大和最小的人组成,回国守卫家园,其 余的军队开赴泰吉亚;不久,阿卡狄亚的军队也赶到泰吉亚与他们会 合。[4]同时,他们派遣使者通知科林斯人、波奥提亚人、佛基斯人 和罗克里斯人,命令他们尽快率领军队赶往曼丁尼亚。军令紧急,这些 同盟军要穿过敌人所占领的地区,即自己和曼丁尼亚中间的地区,不是 一件容易的事,除非相互等候,集中在一起。尽管如此,他们仍须尽快 行动。[5]同时,拉栖代梦人和阿卡狄亚的军队一起进入曼丁尼亚地 区,在赫拉克利斯神庙附近安营扎寨,开始劫掠这个地区。

    65 阿尔哥斯人及其同盟者在曼丁尼亚发现拉栖代梦人及其同盟者 的军队后,立即占领一个坚固而难攻的阵地,排列成战斗阵列。[2] 拉栖代梦人马上冲上前去攻击他们,双方相距仅为投掷石头和标枪所能 达到的距离。一个年纪较大的士兵发现敌军阵地固若金汤,朝阿基斯大 声呼喊,说他正在用一个错误去弥补另一个错误,意思是说,他想弥补 上次从阿尔哥斯撤退那个遭到强烈指责的错误,而现在又不合时宜地鲁 莽进攻了。[3]同时,阿基斯或许因老兵呼喊提醒的缘故,或许是突 然萌发了新的念头,他在两军将要正式交战之前迅速地撤回军队, [4]开进泰吉亚境内,开始将河流改道,让河水流入曼丁尼亚,因为 曼丁尼亚人和泰吉亚人就河流问题经常发生冲突,该河无论流经两国中 的哪一个国家,都会造成严重灾害。[5]他这样做的目的是迫使阿尔 哥斯人及其同盟者从山上下来,阻止河流改道。他们知道河流改道所造 成的灾害,一定会那样做的,这样,阿基斯就可以在平原上与他们作战 了。因此,那天他在那里专门从事河流改道工作。阿尔哥斯人及其同盟 者对拉栖代梦人推进到短兵相接之际突然撤退一事,先是感到惊愕,不 知所措。当拉栖代梦人全军撤离并从他们视野中消失时,他们没有采取 行动追击敌人。他们开始责难他们的将军们:上一次在阿尔哥斯,他们 拦截了拉栖代梦人,却让后者溜走了,而且现在又一次让拉栖代梦人就 这样从容不迫地逃走,没有派兵追击,阿尔哥斯人的军队是被轻易地出 卖了。[6]他们的将军起初有些惊慌失措,继而率军撤离山冈,进入 平原,安营扎寨,准备进攻敌人。

    66 第二天,阿尔哥斯人及其同盟军排成阵列,一旦碰巧遇到敌人 就投入战斗。拉栖代梦人从改变河道的地方回到他们在赫拉克利斯神庙 附近的营地,却突然发现敌人就在他们前面,井然有序地列队从山上下 来,[2]这种震惊犹如晴天霹雳,拉栖代梦人从未经历过;他们没有 时间做准备,立即跑步排列成行,阿基斯国王依法行使指挥权。[3] 因为当国王亲临战场时,由他发布全部命令。他向波列玛克下达命令, 波列玛克向各营队长传达命令,营队长向各分队长传达命令,分队长又 向各支队长传达命令,支队长再把命令传达给属下战士。 [62] [4]总 之,所有命令都要以同样的方式快速地传达给部队。拉栖代梦的军队, 除一小部分以外,其军官都是分级隶属的,命令的下达和传递是层层下 达,由许多人完成的。

    67 拉栖代梦军队在这次战役中的兵力部署如下:左翼是斯基里提 斯人 [63] ,他们在拉栖代梦军队中总是单独居于那个位置,紧挨着他们 的是曾受伯拉西达领导的从色雷斯撤回的军队和涅奥达摩德斯人 [64] , 旁边就是一个营队接一个营队的拉栖代梦人,赫赖亚的阿卡狄亚人就在 他们旁边。这些军队的后面是麦那里亚人,右翼是泰吉亚人,他们后面 有少数拉栖代梦人。他们的骑兵部署在两翼。[2]这就是拉栖代梦人 的兵力部署情况。他们的敌人的兵力部署情况如下:右翼是曼丁尼亚 人,他们是在他们自己的国土上作战,紧挨着他们的是阿卡狄亚的同盟 军,接下去是1000名阿尔哥斯的精锐部队,他们用公费进行了长期的军 事训练;再下去,就是其余的阿尔哥斯人,他们后面是同盟军克里奥奈 人和奥尼埃人;最后,雅典人和他们的骑兵位居最左侧。

    68 以上就是敌对两军的构成和兵力部署情况。拉栖代梦军队的规 模似乎要大一些。[2]至于具体的数目,无论是各分遣队的数目还是 双方军队的总数,我都不能准确地说出了。因为拉栖代梦军队的数目属 政府机密,因而无从得知,而人们又总是夸大自己的军事实力,因而估 计数字也是不可信的。可是,根据下面的计算方法,可以估算出这次战 役中拉栖代梦军队的人数。[3]在战场上,除600名斯基里提斯人以 外,有7个营队(lochoi ),每个营队有4个分队(pentecosty ),每个 分队有4个支队(enomoty )。每个支队的第一排有4名士兵,其后的纵 队人数并不相等,其人数由营队长决定,一般纵队为8人;除去斯基里 提斯人外,整个第一排共有448人。 [65]

    69 现在,双方军队即将交战了,指挥官们都向各自的军队发表鼓 动性演讲。曼丁尼亚的将军提醒曼丁尼亚人,他们是在为自己的祖国而 战;这次战役事关他们维持主权或遭受奴役,即关系到他们是否能保持 主权还是再次遭受奴役的问题。阿尔哥斯的将军对阿尔哥斯人说,他们 是为了恢复他们古代 [66] 的盟主地位而战,为了恢复他们被剥夺已久的 在伯罗奔尼撒的平等地位 [67] 而战,也是为了惩罚敌人和邻国对他们所 犯下的许多暴行而战。雅典的将军对雅典人说,与众多勇敢的同盟者并 肩作战,而表现并不弱于任何一邦,那是雅典人的光荣,在伯罗奔尼撒 击败拉栖代梦人,将巩固和扩大他们的帝国,而且再也无人胆敢侵略雅 典的领土了。[2]这些就是他们向阿尔哥斯人及其同盟者所发表的充 满激情的演讲。与此同时,拉栖代梦的士兵们互相鼓励,高唱战歌列队 行进,激励每个勇敢的战士记住他们的过去,他们知道长期不断的作战 训练要比任何简短的口头鼓动更有效地保护他们,不管临战鼓动说得多 么娓娓动听。

    70 演讲之后,双方军队开始交战。阿尔哥斯人及其同盟军快速前 进,猛烈进攻。拉栖代梦人则按照常规,和着由众多长笛手演奏的军乐 声,缓慢推进。他们演奏音乐与宗教无关,只是为了确保军队在行进时 步伐一致,阵容整齐,因为大军在交战时是容易被冲乱的。

    71 正当两军即将接战之际,阿基斯国王决定对全军作如下调整: 双方交战时,把右翼阵列进一步拉长,双方都使自己的右翼超出敌人的 左翼,因为他们害怕受到伤害,每个士兵尽量利用其右侧士兵的盾牌保 护其没有武装保护的那一侧 [68] ,认为相互间的盾牌靠得越近,就能使 盾牌衔接起来,保护也就越好。起初,应该对这种行为负责的是右翼的 第一个士兵,他总是力图将身体没有受到保护的一侧避开敌人,同样害 怕受到伤害的心理使得其他士兵纷纷仿效他。[2]在这个战场上,曼 丁尼亚人那一翼远远超过斯基里提斯人,拉栖代梦人和泰吉亚人更是大 大超过雅典人,因为他们军队的人数多些。[3]阿基斯担心自己左翼 被包围,认为曼丁尼亚人包围自己左翼的可能性极大,命令斯基里提斯 人和从前受伯拉西达指挥的军队离开原阵列,使本方左翼与曼丁尼亚人 旗鼓相当,他要求担任司令官的希波诺伊达斯和阿里斯托克利斯调动右 翼的两个分队,弥补因军队调动而形成的缺口;他认为本方的右翼实力 强大,兵员充足,与曼丁尼亚人对峙的一翼也得到了加强。

    72 但是,在阿基斯简短地发布这些调动命令时,进攻即将开始, 以致阿里斯托克利斯和希波诺伊达斯不肯奉命调动填补阵线缺口,因为 此事,他们二人后来按临阵胆怯罪被判逐出斯巴达。同时,阿基斯发现 那两个分队并没有按命令去填补阵线缺口,就命令斯基里提斯人返回原 地。但是斯基里提斯人尚未及时弥补阵线缺口,敌人就蜂拥而至。 [2]现在,就战术而言, 拉栖代梦人完全失败了,但拉栖代梦人表现出 无与伦比的勇敢。[3]两军刚刚交战,曼丁尼亚人所在的右翼就攻破 了斯基里提斯人和从前受伯拉西达指挥的那支军队的防线,他们的同盟 军和1000名阿尔哥斯精锐部队冲进阵线上尚未填补的缺口,分割并包围 拉栖代梦人,把已变成乌合之众的拉栖代梦人驱赶到辎重车停放处,并 杀死一些在那里执行守卫任务的老兵。[4]在这一部分战场上,拉栖 代梦人惨遭失败,拉栖代梦的其余部队,特别是在阵线中央被称为“骑 士”的300名武士 [69] ,他们随阿基斯国王左右,攻击阿尔哥斯的老兵和 被称为“五连”的军队,袭击克里奥奈人、奥尼埃人及其旁边的雅典人, 一举将他们击溃;多数敌人甚至尚未遭到攻击就沿来路退却,有些人甚 至自相践踏而死,因为他们害怕被追赶上来的敌人杀掉。

    73 这时,阿尔哥斯人及其同盟军均已败退,并被完全分割成两部 分;同时,拉栖代梦人和右翼的泰吉亚人围攻雅典人,最后雅典人发现 自己遭到两面夹击,自己的一翼正被包围,而另一翼已被打败。事实 上,如果没有他们的骑兵增援,他们蒙受的损失会超过其他任何一支盟 军部队。[2]阿基斯也发现本方的左翼(即与曼丁尼亚人和1000多名 阿尔哥斯精锐部队对峙的那一边)处境危险,就命令全军前去支援受到 重创的左翼;阿基斯的军队只顾援救自己左翼,[3]在他们移动之 时,雅典人和被击败的阿尔哥斯人便从容不迫地逃走了。同时,曼丁尼 亚人及其同盟军和阿尔哥斯精锐部队没有进一步攻击敌人,他们觉得他 们的同盟军已被击败,拉栖代梦人又全力向他们进攻,于是就逃跑了。 [4]很多曼丁尼亚人阵亡,而阿尔哥斯精锐部队大都安全地撤离了。 但是,敌人的溃败和撤退没有遭到拉栖代梦人的迅猛追击。拉栖代梦人 能够坚守阵地,顽强持久地作战,直到击溃敌人。不过,一旦达到目 的,他们对于逃散的敌人并不是穷追猛打。

    74 这次战役的实际情况与我所描述的差不多,这是很久以来在希 腊最有名的城邦之间爆发的规模最大的一次战役。[2]拉栖代梦人在 敌人尸体的前面选择了一个地方,立即竖立一座胜利纪念碑,并剥掉敌 方阵亡者的衣服;他们把牺牲的战友尸体运回泰吉亚安葬,休战后,向 敌人移交其阵亡者的尸体。[3]阿尔哥斯人、奥尼埃人和克里奥奈人 共有700人阵亡;曼丁尼亚人有200人阵亡,雅典人和埃吉那人 [70] 也有 200人战死,包括他们的将军在内。在拉栖代梦人方面,同盟军损失极 小,不值一提,至于拉栖代梦人自身损失情况则很难弄清楚。但是,据 说他们大约有300人阵亡。

    75 当战役即将开始的时候,另一个国王普雷斯托阿那克斯率领由 年纪最大和最年轻的公民组成的部队 [71] 出发前来增援,他在抵达泰吉 亚时获悉胜利捷报,随即回国。[2]拉栖代梦人又派遣使者通知科林 斯和地峡以远地区 [72] 的同盟者军队撤回本国。拉栖代梦人自己也回国 了,同时遣散同盟军,因为这时碰巧是卡尼亚节日 [73] ,大家共庆佳 节。[3]过去,因为在斯法克特利亚岛上的灾难,希腊人诋毁拉栖代 梦人,说他们胆怯懦弱、组织混乱、行动迟缓,这些恶名因这次战役的 胜利而统统被洗掉了。人们认为,命运可能捉弄了拉栖代梦人,但拉栖 代梦人还是拉栖代梦人,和过去一样。[4]在这次战役爆发的前一 天,爱皮道鲁斯人得知阿尔哥斯军队出国远征而国内防卫空虚,便倾其 全力侵入阿尔哥斯,杀死很多留守士兵。[5]这场战役后,爱利斯人 派遣3000名重装步兵支援曼丁尼亚人,雅典也派去1000人的增援部队, 这些同盟军立即进军爱皮道鲁斯,并开始分工修筑包围爱皮道鲁斯的城 墙,而此时拉栖代梦人正在欢度卡尼亚节。[6]其他同盟者放弃了该 项工作,只有雅典人迅速完成分派给他们修筑的环绕赫赖昂海角的城 墙;这些同盟军都留下一支守卫部队,然后各自回到自己的城邦。这个 夏季就此结束了。

    76 卡尼亚节日过后,在下一个冬季刚刚开始的时候,拉栖代梦人 率军出发,抵达泰吉亚,派遣使者到阿尔哥斯提出和解建议。[2]在 阿尔哥斯,过去就有一部分人想要推翻民主政体;如今在这次战役后, 他们处于更加有利的地位,他们劝说民众接受拉栖代梦人的建议。他们 想首先与拉栖代梦人缔结和约,随后建立同盟,完成这些工作后就向民 主派进攻。[3]阿尔哥斯人的代理人、阿开西劳斯之子利卡斯到达阿 尔哥斯,他从拉栖代梦带来两个建议:一个是继续进行战争的条件,如 果他们愿意选择战争的话;一个是如何保持和平的办法,如果他们愿意 选择和平的话。商谈持续很久,碰巧阿尔基比阿德斯正在阿尔哥斯,阿 尔哥斯的亲拉栖代梦党人鼓足勇气公开活动,劝说阿尔哥斯人接受拉栖 代梦的和平建议,其条件如下:

    77 拉栖代梦人的公民大会同意与阿尔哥斯人签订协议,条款如 下: 1.阿尔哥斯人应该把奥科麦诺斯人的儿童移交给奥科麦诺斯人 [74] ,把麦那利亚的男子移交给麦那利亚人 [75] ,把他们拘押在曼丁尼亚的 拉栖代梦人移交给拉栖代梦人 [76] 。 [2]2.阿尔哥斯人应该撤离爱皮道鲁斯,并拆毁在那里所建筑的 要塞。如果雅典人拒绝撤离爱皮道鲁斯,雅典人应当被视为阿尔哥斯人 和拉栖代梦人的共同敌人,也是拉栖代梦人的同盟者和阿尔哥斯人的同 盟者的敌人。 [3]3.如果拉栖代梦人拘留有其他城邦的儿童,他们应当把他们 每个人都交还给他们的城邦。 [4]4.关于对神祇 [77] 的献祭,阿尔哥斯人如果愿意,应当敦促爱 皮道鲁斯人向神祇宣誓,但是,如果不愿意,他们自己应当对神祇宣 誓。 [5]5.伯罗奔尼撒的所有城邦,无论大小,都应当按其本国的风 俗习惯保持独立。 [6]6.如果伯罗奔尼撒以外的任何邦国不怀好意地侵略伯罗奔尼 撒地区,缔结本条约的各成员国应本着对伯罗奔尼撒人最公平的原则, 在协商一致的基础上,联合起来,共御外敌。 [7]7.在伯罗奔尼撒以外的所有拉栖代梦人的同盟者应当以与拉 栖代梦人同等的条件参加本条约,阿尔哥斯人的同盟者应当以与阿尔哥 斯人同等的条件参加本条约;各城邦均保留其原有领土。 [8]8.双方应将本条约向他们的同盟者通报,如果他们赞成,则 应缔结条约;如果同盟者代表持有异议,他们可以把本条约交回本邦加 以讨论。

    78 阿尔哥斯人首先接受了这个建议,拉栖代梦军队从泰吉亚撤回 本国。阿尔哥斯人与拉栖代梦人重新有了正常的往来。不久,阿尔哥斯 的亲拉栖代梦派设法说服阿尔哥斯人,劝他们解除与曼丁尼亚人、爱利 斯人和雅典人订立的盟约,转而与拉栖代梦人缔结和约,结成同盟。盟 约的条款如下:

    79 拉栖代梦人和阿尔哥斯人同意缔结为期50年的和约并结成同 盟,其条款如下: 1.所有争端应当根据两国的风俗习惯,通过公平、公正的仲裁予以 解决。 2.伯罗奔尼撒的其他城邦,作为独立的国家,对其领土拥有完全主 权,可以参加本条约和同盟;所有争端应当根据各城邦的风俗习惯由公 平、公正的仲裁予以解决。 [2]3.伯罗奔尼撒以外的所有拉栖代梦人的同盟者应当以与拉栖 代梦人同等的条件参加本条约和同盟,阿尔哥斯人的同盟者应当以与阿 尔哥斯人同等的条件参加本条约和同盟;所有同盟者继续保持其原有领 土。 [3]4.如果有必要对任何一个地方联合远征时,拉栖代梦人和阿 尔哥斯人应当共同商定,并且以最公平的方式与同盟者商讨问题,作出 决定。 [4]5.无论伯罗奔尼撒以内或以外的任何城邦,在发生边界纠纷 或其他争端时,都必须公正地予以解决;如果参加本同盟的成员国之间 发生争执,必须把问题提交给双方所认可的公正的第三个城邦予以解 决。公民个人的争执应该按照他们各国的法律予以解决。

    80 缔结条约和同盟后,双方同意释放和交还无论是通过战争还是 其他方式获得的一切。双方现在决定采取一致行动,不接待雅典的传令 官或大使,除非他们撤离其占领的要塞并从伯罗奔尼撒撤兵回国;除联 合行动外,也不与任何邦国议和或作战。[2]双方对此都非常热心, 派遣使者前往色雷斯各地,并拜见柏第卡斯,游说柏第卡斯加入他们的 同盟。尽管柏第卡斯没有立即与雅典脱离关系,但仍蠢蠢欲动,因为阿 尔哥斯人为他作出了表率,而他本人就是阿尔哥斯人的后裔 [78] 。他们 还与卡尔基狄克人更换了昔日的誓词,并按新誓词宣誓。[3]而且, 阿尔哥斯人派遣使者来到雅典,要求雅典人从爱皮道鲁斯的设防要塞 [79] 撤走。雅典人发现其他城邦的驻防军队人数超过自己,便派德摩斯 提尼去办理撤军事宜。这位将军抵达后,以举办竞技比赛为掩护,等其 他城邦的驻军从城中出来,立即关闭城门。随后,雅典人与爱皮道鲁斯 人重新签订条约,并撤出要塞。

    81 阿尔哥斯退出同盟后,尽管曼丁尼亚人起初坚持独立自主,后 来他们发现没有阿尔哥斯人难以坚持下去,遂与拉栖代梦人签订协议, 放弃对一些城邦的统治权 [80] 。[2]现在,拉栖代梦人和阿尔哥斯人 各派1000名精兵组成联军,开始远征。拉栖代梦人首先单独进兵西基 昂,按照寡头制形式将西基昂政府改组;随后两国军队联合行动,推翻 阿尔哥斯的民主制政府,建立一个亲拉栖代梦人的寡头制政府。这些事 是在冬去春来之际发生的。战争的第十四年结束了。

    82 翌年夏季 [81] ,阿索斯山的狄昂人 [82] 叛离雅典人,转而投向卡 尔基狄克人。拉栖代梦人在阿凯亚采取了一些措施,使之对他们比此前 更为有利。[2]同时,阿尔哥斯的民主派逐渐重新集聚了力量,恢复 了勇气,等拉栖代梦的吉姆诺派狄埃节日 [83] 到来时,他们攻击了寡头 党人。在城里进行的战斗中,民主派取得胜利,他们杀掉一些政敌,驱 逐了另外一些政敌。[3]拉栖代梦人获悉他们的阿尔哥斯朋友求援的 消息,却迟迟没有采取行动。最后,他们推迟庆祝吉姆诺派狄埃节,出 兵援助他们在阿尔哥斯的朋友,在行进到泰吉亚时,得知寡头党人已经 失败;尽管逃亡出来的阿尔哥斯朋友恳求他们前去救援,但拉栖代梦人 拒绝继续前进,他们回国去欢度吉姆诺派狄埃节日了。[4]后来,在 城里取得胜利的阿尔哥斯人和流亡在外的阿尔哥斯人都派来使者,那时 他们的同盟者也在斯巴达。经过与阿尔哥斯两派的艰难会谈后,拉栖代 梦人认为阿尔哥斯城里的那一派 [84] 是不对的,决定派兵讨伐他们。但 出兵的日期却一再推迟和拖延。[5]同时,阿尔哥斯的民主派因害怕 拉栖代梦人,又开始请求与雅典结成同盟,他们深信这将最有力地维护 他们的权益;他们修筑长城并延伸到海边,万一陆路被封锁,在雅典人 的帮助下,他们可以利用海上通道输入所需物品。[6]伯罗奔尼撒的 一些城邦也秘密地参与了他们修筑城墙的工作;阿尔哥斯全国居民,无 论是男人、妇女或奴隶,都参加了修筑长城的工作,从雅典来的木匠和 石匠也帮助他们。夏季就这样结束了。

    83 接着在冬季里,拉栖代梦人得知阿尔哥斯人正在修筑长城,便 联合除科林斯人外的同盟者进兵阿尔哥斯,阿尔哥斯城内也有人向拉栖 代梦人传递情报;拉栖代梦人之王、阿奇达姆斯之子阿基斯指挥这次军 事行动。[2]拉栖代梦人期待从阿尔哥斯城里得到支持,但这一计划 未能实现。但他们攻占并拆毁了新修筑好的长城,攻克阿尔哥斯人的海 希亚镇,杀掉他们所抓获的所有自由人,便各自撤兵回国。[3]随 后,阿尔哥斯人侵入弗琉斯,在那里大肆劫掠,因为弗琉斯隐匿阿尔哥 斯的流亡者,而且大多数流亡者居住在那里。阿尔哥斯人做了这事后撤 兵回国。 [4]在同一个冬季里,雅典人从海上封锁了马其顿人。他们怨恨 柏第卡斯,因为他与阿尔哥斯人和拉栖代梦人建立同盟,还因为过去雅 典组织由尼基拉图斯之子尼基阿斯指挥的远征军,准备进攻色雷斯地区 的卡尔基狄克人和安菲波里斯的时候,柏第卡斯没有履行其作为同盟者 的职责,对远征军被迫解散应负主要责任。因此,柏第卡斯被宣布为雅 典的敌人。这个冬季结束了,战争的第十五年也就此终结了。

    [1] 这段文字似乎是著者的第二篇序言,可能是作者在完成战争最初十年的历史的写作之后,为继续写 作整个战争的历史而作的说明;也有可能是古代作家在整理修昔底德著作时加入的批注。 [2] 根据普鲁塔克:《传记集·吕山德传》(XVI),此事发生于公元前404年4 月。 [3] 关于这些战争,参阅修昔底德,V. 33和53以下。 [4] “九”在古希腊宗教文化中往往具有特别的意义。这里是指在战前有神谕指出,战争将持续三个九 年;在西西里,因发生月食,卜者说要等待三个九天之后,才可以讨论撤军问题(修昔底德,VII. 50)。 [5] 参阅修昔底德,IV. 104。 [6] 修氏在这里也许表达的是伯罗奔尼撒人的观点,将本书主题称为“阿提卡战争”(Attic War)或“与雅 典的战争”(War against Athens);如果站在雅典人的角度,这场战争就被称为“伯罗奔尼撒战争”。 [7] 在阿卡纳尼亚,在这场战争的第一年被雅典人夺去(II. 30)。—史译本注 [8] 参阅修昔底德,IV. 49。 [9] 参阅修昔底德,I. 58。 [10] 在特里菲里亚,离爱利斯和拉哥尼亚边境不远(参阅修昔底德,V. 34)。 [11] 参阅修昔底德,V. 28及附注。 [12] 根据两年前克里昂所提出的动议(修昔底德,IV. 122)。 [13] 参阅修昔底德,V. 1。 [14] 指德里昂之役和安菲波里斯之役。 [15] 它在阿卡狄亚总是处于独立的地位,在较早的时代,它常常是斯巴达的劲敌。 [16] 就是每十天重订一次的休战和约。 [17] 公元前421年。 [18] 即攸罗塔斯河上游和奥努斯河谷之间的山区,这是皮里奥西人最重要的居住地区之一。 [19] 参阅修昔底德,IV. 78,80。 [20] 参阅修昔底德,V. 21。 [21] 出征时他们的人数是700名(修昔底德,IV. 80)。 [22] 涅奥达摩德斯(Neodamodes ,意即“新公民”),因军功而获得解放的由黑劳士组成的新公民集 团。此后半个多世纪,该集团的人数稳步增加,证明拉栖代梦对于黑劳士的政策发生重大改变。但是,关于涅 奥达摩德斯阶层社会地位的确切情况,尚有待于进一步研究。 [23] 参阅修昔底德,IV. 31—38。 [24] 拉栖代梦当权者特别关注被俘斯巴达人的命运,也许与斯巴达公民人数急剧下降有关。公元前480 年(希罗多德,VII. 234)有8000公民,公元前418年下降至2500人(修昔底德,V. 68),到公元前371年,不 足1000人(亚里士多德:《政治学》,1270 a 30以下)。 [25] 公元前421/前420年。 [26] 参阅修昔底德,II. 2附注。 [27] 参阅修昔底德,V. 31。 [28] 无疑,这里的四个议事会是被当作一个机构的。 [29] 奥林苏斯的港口城镇。参阅修昔底德,V. 18。 [30] 公元前420年3月。 [31] 公元前550年。参阅希罗多德,I.82。 [32] 参阅修昔底德,V. 35。 [33] 约生于公元前450年,此时约30岁。—史译本注 [34] 担任拉栖代梦在雅典的“代理人”(proxenos )。参阅修昔底德,VI. 89;普鲁塔克:《传记集·阿尔 基比阿德斯传》,XIV。 [35] 即爱利斯人和曼丁尼亚人。 [36] 古代希腊有多种币制,同样的一个货币单位,在埃吉那、科林斯和雅典的分量不一样。希腊较流行 的两种币制单位(重量单位)对比如下: [37] 雅典五百人议事会任期一年,由10个新行政区分别选举出50人组成。每组议事会成员就是一个“主 席团”,执行公务的时间为一年的1/10(35/36天),每天从中抽签选出一位主席。 [38] 阿提奈(Artynae ),阿尔哥斯和爱皮道鲁斯的一种行政长官名称。 [39] 在南希腊爱利斯境内的奥林匹亚竞技会,每届竞技会开幕时间为夏至(通常为阳历6月22日)后的 第一个望日,会期5天。第一天向宙斯举行隆重的祭祀典礼,第二天开始竞赛。自公元前776年第一届古代奥林 匹亚竞技会开始,每四年举行竞技会的周期,称为一个奥林匹亚德。 [40] 在雅典,泛雅典人节在每年赫卡托姆拜昂月28日,约相当于现在公历的8月下旬举行,以庆祝雅典 娜的生日。每四年一次大泛雅典人节,在每个奥林匹亚德的第三年举行。 [41] 1877年春,考古学者在雅典卫城的南坡发掘出的一块大理石的石板上,发现记载该条约的正式文书 的片断,研究者把相关文字与修昔底德著作相对照,几乎只字不差。 [42] 第90个奥林匹亚德的第一年,即公元前420年7月。 [43] 举行竞技会的那一个月是神圣的;在这个月中,一切战事都必须停止。在这个月率领军队侵入爱利 斯,是要犯下渎神罪的。 [44] 在阿尔弗尤斯河谷中,距奥林匹亚约3700米。 [45] 公元前420/前419年。 [46] 公元前419年。 [47] 科林斯湾入口处的一个低的地角,海峡对岸是摩利克里昂的瑞昂。这个要塞可以使雅典人完全控制 科林斯湾入口。 [48] 这里所说的阿波罗·皮赛乌斯的神庙,可能就是阿尔哥斯人毁灭阿辛时所留下来的唯一建筑物。参 阅波桑尼阿斯,II. 36.5。 [49] Scyllaeum,赫米奥涅和特洛伊曾之间的一个海角。从埃吉那到邻近爱皮道鲁斯海岸,然后从那里 到阿尔哥斯去,这是捷径;如果爱皮道鲁斯是敌国或中立国的话,必须运载援兵,环绕斯基赖昂到诺普里亚 湾,然后从那里由陆地上前往阿尔哥斯。 [50] 斯巴达的统帅每次率军跨越拉哥尼亚边境之前,都要分别向宙斯和雅典娜两位神祇献祭。据色诺芬 记载,国王出征前,首先要在国内向宙斯和其他相关的诸神奉献牺牲。如果牺牲显示吉兆,那持圣火者就从圣 坛取得圣火火种,带领队伍行进到边境线上。国王在这里再次向宙斯和雅典娜奉献牺牲。只有对这两位神祇所 奉献的牺牲都显示吉兆时,他才可以跨出国界出征。参阅色诺芬:《斯巴达政制》,XIII. 2—4。 [51] 斯巴达历的卡尔纽斯月(Carneus )相当于雅典历的麦塔格特尼昂月(Metageitnion ),大致相当 于现行公历的8月。—史译本注 [52] 他们在爱皮道鲁斯期间,称每天都是当月27号,直到他们完成任务为止。阿尔哥斯人可能和多利斯 人一样,卡尔纽斯月一到,马上就要进入休战。 [53] 公元前419/前418年。 [54] 途经埃吉那,现在是雅典的领土。—史译本注 [55] 参阅修昔底德,V. 47。 [56] 参阅修昔底德,V. 35。 [57] 公元前418年。 [58] 每一名骑兵配有一名轻装步兵,他或是跟在马的旁边跑,或是骑马跟在后面。—史译本注 [59] 阿尔哥斯人要依靠雅典的骑兵。关于雅典骑兵的到来,参阅修昔底德,V. 61。 [60] 参阅修昔底德,II. 85;III. 69;VIII. 39所载类似的手续。 [61] 他们是反对修氏在V. 62之末所提及的那个党派的。 [62] 据色诺芬《斯巴达政制》(XI. 4;XIII. 1—4)记载,斯巴达的“公民兵(包括骑兵和重装步兵)被 分成6个团(morai )。每个团设有一个波列玛克(polemarchos ,团长),以下设有4个营队长(lochagoi )、 8个分队长(pentecosteyes )、16个支队长(enomotarchoi )”。 [63] 他们是拉哥尼亚北部、毗邻泰吉亚领土的崎岖山地的居民,勇敢善战,是拉栖代梦的皮里奥西人的 一部分。参阅修昔底德,V. 33及附注。 [64] 即获得自由的黑劳士。(详见第458页注4) [65] 除了交战前回国的六分之一(V. 64),加上600名斯基里提斯人,按照修昔底德的估算方法,我们 可推算出公元前418年拉栖代梦本国兵力总数约5000人。如果军中的斯巴达人和皮里奥西人(perioikoi )数量 大致相等的话,那么就意味着此时斯巴达公民人数不足2500人。然而,有研究者认定此处修氏明显出错。因为 他计算军队人数的时候是按照7个营队(lochoi ),而色诺芬在《希腊史》中则明确指出斯巴达有6个团 (morai ),每个团两个营队(lochoi ),即总共应有12个营队。修氏这里推算明显有误,色诺芬曾有多年在 斯巴达军中作战的经验,并且与其军队最高统帅如阿格西劳斯过从甚密,他的记载自然更为可信。也许,在公 元前418年以后,斯巴达军队编制有过重大改革,而修氏全然不知?以上相关诸多问题,学界的看法也颇不一 致。参阅R. B. Strassler, The Landmark Thucydides , Appendix C, pp. 342, 589–592。 [66] 在阿伽门农统治时代。 [67] 指波斯战争以前。 [68] 即左手持盾牌,右手持其他兵器。 [69] 从斯巴达人选出的优秀青年,组成国王的卫队,他们步行或骑马随侍国王左右。—史译本注 [70] 雅典在埃吉那的移民。参阅修昔底德,II. 27。—史译本注 [71] 参阅修昔底德,V. 64。 [72] 参阅修昔底德,V. 64。 [73] 卡尼亚节约在现行公历的8月底,即在奥林匹亚竞技会之后举行,以奉祀阿波罗神,竞技会共持续9 天。 [74] 参阅修昔底德,V. 61。 [75] 参阅修昔底德,V. 61。虽然在那里没有明确提及麦那里亚人。 [76] 参阅修昔底德,V. 61。 [77] 参阅修昔底德,II. 99。 [78] 参阅修昔底德,II. 99。 [79] 参阅修昔底德,V. 75。 [80] 即控制帕拉西亚人和阿卡狄亚的其他族人的权力。参阅修昔底德,V. 29,33,62。 [81] 公元前417年。 [82] 参阅修昔底德,V. 35。 [83] Γυμνοπαιδίαι (Gymnopaidiai ),直译为“裸体男子节”,即裸体青年竞技会,斯巴达人的节日,每 年仲夏时节(7月)举行,由裸体青年表演歌舞和竞技比赛,历时4天,以纪念阵亡将士。和卡尼亚节一样,节 日期间必须停止一切战事。

    第十七章 战争的第十六年。米洛斯的谈判。米洛斯人 的灾难。

    84 翌年夏季(公元前416年3月),阿尔基比阿德斯率领20艘舰船抵达阿尔哥斯,抓 获300名被怀疑为潜伏下来的亲拉栖代梦党人,雅典人立即将其幽禁在 自己控制的附近岛屿上。雅典人又发动了对米洛斯岛的远征,(参阅修昔底德,III. 91,94)远征 军包括雅典人的30艘舰船、开俄斯人的6艘舰船和列斯堡人的2艘舰船, 来自雅典的1600(有译本为“1200”)名重装步兵、300名弓箭手、20名骑兵射手,还有由 同盟者和岛上居民组成的大约1500名重装步兵。 [2]米洛斯人是拉栖代梦人的移民,像其他岛屿居民一样,不愿 臣服于雅典人,起初他们保持中立,不偏向冲突的任何一方,但后来雅 典人对其施以暴力,蹂躏其国土,于是他们对雅典人采取公开敌视态 度。[3]远征军的将军是吕考麦德斯之子克里奥米德斯和提西玛库斯 之子提西亚斯,他们率领远征军驻扎在米洛斯境内,在未对其国土作任 何破坏之前派遣使者与米洛斯人谈判。米洛斯人不让雅典使者向公民大 会发表演讲,吩咐他们向行政长官和少数人(可能是他们的主要政治机构,即贵族会议,行政长官也是贵族会议成员)陈述使团来访的目的。 于是,雅典的使者作了如下陈述:

    85 雅典人 :因为你们不让我们在公民大会上演讲,全体公民就无 法不受干扰地直接听到我们的陈述,我们有说服力而无可辩驳的辩词, 也许会蒙骗米洛斯的民众—我们知道,这正是你们只许我们向少数人演 讲的用意所在。在座诸位,你们还能找到一个更稳妥的办法吗?你们自 己并不准备演讲,但当我们说到任何你们不乐意接受的问题时就立即反 驳辩论。在作进一步磋商前,得先解决这个问题。请首先告诉我们,你 们是否欢迎我们的提议?

    86 米洛斯议事会委员答复如下: 米洛斯人 :像你们提议的那样,双方在公平原则之下从容不迫地 陈述各自的主张,这一点谁也不会反对的。但是,你们这些有备而来的 军队随时都在威胁着我们,这与你们的建议是颇相矛盾的。在我们看 来,你们到这里来,是想自己做这次交涉的裁判,而交涉的结果完全有 可能是这样的:如果我们证明正义在我们一边,拒不向你们投降,那么 结果就是战争;反之,如果我们听从你们的要求,我们就会沦为奴隶。 [¤]

    87 雅典人 :如果你们只愿就未来可能发生的事情或其他任何事情 加以讨论,而不愿正视当下的事实,就你们当前面临的城邦安全问题进 行讨论的话,我们就结束谈判;反之,如果你们考虑这个问题,我们就 继续往下谈。

    88 米洛斯人 :对于我们这种处境的人而言,转而寻求多种论据和 推测为自己辩护,是很自然的,也是可以理解的。但是,正如你们所说 的,谈判的问题是我们城邦的安全问题;如果你们愿意,谈判就按你们 建议的方式进行。

    89 雅典人 :就我们自己而言,我们不愿用那些似是而非的理由来 影响你们,说因为我们推翻了波斯人的统治(参阅修昔底德,VI. 83),我们有权维护我们帝 国的利益,或者说现在进攻你们,是因为你们使我们受到损害,发表这 样的长篇大论是没有人相信的。同样,我们希望你们不要试图用这些来 影响我们,比如说,你们尽管是拉栖代梦人的移民,但没有参加拉栖代 梦人的同盟,或者说你们并没有对我们造成损害。我们希望你们想实现 的目标是切实可行的,要考虑到我们双方的真实的想法;因为我们双方 都知道,当今世界通行的规则是,公正的基础是双方实力均衡;同时我 们也知道,强者可以做他们能够做的一切,而弱者只能忍受他们必须忍 受的一切。

    90 米洛斯人 :在我们看来,无论如何,这只是一种权宜之计—因 为你们强迫我们置正义的原则于不顾,而只是从利害关系着眼,我们被 迫这样说—你们不应该破坏对我们大家都有益的原则,即处于险境中的 人们行使正当的权利仍然是公正的,如果通行这个原则,尽管不是很有 效,但处于险境中的人们仍可以通过辩护来维护自身利益。这个原则对 你们的影响和对其他人的影响是一样的,因为如果你们到了倾危之时, 你们不但会遭到最可怕的报复,还会成为世人殷鉴的一个例证。

    91 雅典人 :至于我们帝国的末日,如果这一天真的来临的话,我 们也是毫不畏惧的,我们并不惧怕像拉栖代梦这样的敌人。即使拉栖代 梦是我们真正的对手,那么被它征服也并不可怕,可怕的是遭到自己臣 民的进攻并失去统治权。[2]但是,这个危险我们自然会设法对付 的。现在我们要向你们申明,我们来到这里是为我们的帝国谋利益的, 我们想说的是,这同时也是为了保全你们的城邦;因为我们乐意在没有 任何麻烦的情况下使你们加入我们的帝国,你们得到保全,对我们彼此 都有益处。

    92 米洛斯人 :请问,我们做奴隶,而你们做主人,这怎能证明对 我们彼此都有益处呢?

    93 雅典人 :因为你们臣服了,就可以免遭灭顶之灾;我们不毁灭 你们,就可以从你们这里获得利益。

    94 米洛斯人 :这样说来,你们不同意我们保持中立,做朋友而不 做敌人,不与任何一方结盟的政策了?

    95 雅典人 :不,因为你们的敌视对我们的损害并没有你们对我们 友好造成的危害大。在我们的臣民看来,与你们保持友好关系,那是我 们软弱的证据;而你们对我们的仇视,则被认为是我们强大的证明。

    96 米洛斯人 :把那些与你们毫不相关的人,与大多数是你们自己 的移民以及被征服的反叛臣民同等对待,这就是你们臣民心目中的公正 观念吗?

    97 雅典人 :说到公正,这两种人是没有区别的,保持独立的人们 是因为他们强大,我们未去攻击他们,是因为我们有所畏惧。因此,征 服了你们,我们不但扩展了帝国的疆域,还获得了安全保障;事实上, 更为重要的是,你们比其他岛民更为羸弱,你们更加无法抵御海上霸主 的进攻。

    98 米洛斯人 :但是,你们认为我们提出的政策(即严守中立。参阅修昔底德,V. 94)使你们没有安全感吗?假如你们不让我们谈论正义,而只要我们服从你们的利益,在此 我们必须再次阐释我们的观点,并试图说服你们,如果碰巧我们双方的 利害一致的话。现在那些保持中立的城邦看到你们这样对待我们,他们 一定会得出这样的结论,即有朝一日他们也会遭到你们的攻击,那你们 怎么能够避免使这些中立城邦变成你们的敌人呢?你们将使自己已有的 敌人变得更加强大,并迫使从未想过与你们为敌的其他城邦也变成你们 的敌人,除此之外,难道还有别的结局吗?

    99 雅典人 :事实并非如此。因为我们并不害怕大陆上的城邦,他 们享有自由,在今后长时期以内不会对我们有所戒备;我们更担心的是 像你们这些处于我们帝国境外的岛民,以及屈从于帝国统治并感到愤慨 的臣民们。这些臣民最容易轻举妄动,致使他们自己和我们都陷于可以 预见的危险之中。

    100 米洛斯人 :如果你们冒着这么大的危险以保持你们的帝国,那 么,你们的臣民也甘愿冒着同样的危险以摆脱你们的奴役。我们这些仍 享有自由的人们在屈服于你们的奴役之前,不去尽力抗争,那么,我们 就真是成了懦夫,成了孱弱无能之辈了。

    101 雅典人 :如果你们对事实有明智的看法,你们就不是懦夫。这 场战争的双方并不是势均力敌的;获得战利品奖赏者赢得荣誉,受到战 争惩罚者感到羞辱,而问题在于怎样保全自己,不要螳臂挡车,以卵击 石。

    102 米洛斯人 :但是,我们知道,在战争中,命运有时是不偏不倚 的,人数众多的一方有时也不一定获胜。对我们来说,屈从于你们,我 们的一切希望都丧失了,但如果继续采取行动,保护我们自己,我们就 还有希望站立起来。

    103 雅典人 :希望,那不过是危难中人们的自我安慰而已。有雄厚 实力的人们固然可以沉湎于希望之中,即使那样也会遭受损失,但无论 如何不会招致毁灭。不过,那些过分地夸大希望的力量和孤注一掷地寄 托在希望之上的人们,在他们遭到灭顶之灾的时候才会发现希望的本质 是什么;而在认识到这一点之后,它让受害者找不到任何办法去防范未 来。[2]但愿你们不要成为这种范例,你们是弱者,放到天平上,指 针只会朝一个方向转动;你们不要像那些平民百姓,不用人们给他们提 供的符合情理的方式保全自己;而当现实的希望完全丧失的时候,转而 求助于虚无缥缈的、预言的、神谕的和其他的虚幻力量,这些虚幻的力 量用希望来哄骗他们,导致了他们的毁灭。

    104 米洛斯人 :也许你们相信,我们也同样知道,除非在平等条件 下,否则我们要抵抗你们的军队、抗拒命运是困难的。不管怎样,我们 相信神祇会保佑我们,使我们处于有利位置,因为我们是以正义之师抗 击不义之师;我们在军事力量上的不足将通过与拉栖代梦人结成具有约 束力的同盟而得到弥补,即使是仅仅为了荣誉的缘故,他们也会来援助 他们的同族的。因此,我们的信心毕竟不像你们猜想的那样不合情理。

    105 雅典人 :说起神祇的庇佑,公平地说,我们相信我们和你们可 以获得同样的庇佑。我们的主张和行为在任何方面都是与人们对神祇的 信仰或他们的习惯并行不悖的。[2]我们对神祇的信仰、对人的认 识,使我们相信,自然界的必然法则就是将其统治扩展到任何可能的地 方。这个法则并不是我们的首创,也不是我们首先将它付诸行动;我们 发现它由来已久,并将与世长存。我们现在的所作所为只是实施了这个 法则,你们及其他任何人如果拥有我们现在的实力,也会做我们现在所 做的事情。[3]这样,在神祇面前,我们不害怕,也没有理由害怕我 们将处于不利的地位。但是,说起你们对拉栖代梦人的看法,你们相信 拉栖代梦人出于荣辱关系的考虑会来帮助你们,在此,我们恭贺你们的 天真,但不忌妒你们的愚蠢。[4]拉栖代梦人在处理本邦的事务或本 国的法律时,他们是当今世界上最值得称道的人;至于拉栖代梦人对其 他人是怎样做的,简而言之,那是一目了然的。在我们所认识的人中, 拉栖代梦人最显著的特点是把他们所乐意做的事视为光荣的事,把符合 他们自己利益的事视为正义之事。拉栖代梦人的这种处理事务态度,使 他们肯定不会承诺对你们现在不合情理的指望提供安全保障。

    106 米洛斯人 :但是,这正是我们的理由所在。我们现在相信,拉 栖代梦人关心自己的利益,必然不会辜负米洛斯人—他们的移民的信 任,否则其后果将会使拉栖代梦人失去他们在希腊的朋友的信任,会有 利于他们的敌人。

    107 雅典人 :那么,你们难道不相信,自私自利关联着安全,而正 义和光荣包含着危险吗?拉栖代梦人总是要尽其所能,回避会招致危险 的事。

    108 米洛斯人 :但是,我们相信,为了我们的缘故,拉栖代梦人甚 至更愿意冒此危险。我们比其他人更值得信赖,因为我们靠近伯罗奔尼 撒,拉栖代梦人更容易采取行动,而我们的同族关系,可确保我们彼此 的信赖。

    109 雅典人 :你们之间是有同族关系,但是,有先见之明的同盟者 所企盼的不是得到援救者的声援,而是在军事行动中使他们获得决定性 优势的力量;拉栖代梦人甚至比其他人更看重这一点。无论如何,因为 他们不相信自己本国的资源,在向邻国发动攻势时,总是与众多同盟者 联合行动;现在,在我们控制着海洋的情况下,他们怎么可能渡海前来 援救一个孤岛呢?

    110 米洛斯人 :但是,拉栖代梦人可以派遣其他人前来援助。克里 特海是一片辽阔的大海,控制这片海域的人们想截获敌方的舰队,比那 些想安全渡海的人们成功偷渡更为困难。[2]即使拉栖代梦人的偷渡 计划受挫,他们还可以进攻你们的国土,进攻伯拉西达兵锋未及的你们 的那些盟邦;你们将不得不为保卫你们自己的国土、维持你们的同盟而 战,而不会为侵占从来就不属于你们的土地而战了。

    111 雅典人 :你们谈到进攻者受到某种牵制的情况,你们可能有一 天会遇到。但是你们不是不知道,其他人经历过这种情况,雅典人却从 未有过因为畏惧他人而将前线围城之师撤回的情况。[2]可是,使我 们吃惊的是,事实上,尽管你们说过(参阅修昔底德,V. 87,88)谈判是为了保全你们邦国,但 在整个讨论的过程中,你们还没有拿出一个证据使人们相信和认为你们 的邦国能够得以保全。你们最有力的论据就是把信心建立在希望和未来 的变故上。你们实际的资源与准备进攻你们的军队相比,实在太渺小 了,完全没有取胜的机会。[3]除非你们在我们退出会议后,找到某 种更加明智之策,否则你们所表现出来的态度就非常不理智了。你们千 万不要因为虚荣心而误入迷途;当人们处于有失体面的危险之中,同时 又极其明显地会因此而引发过错的时候,虚荣心将会给人类带来毁灭性 的灾难。因为无数的事例表明,正是那些明明知道自己即将陷入险境的 人们,仅仅是因为受到所谓有失体面的观念的影响,从而导致他们成为 有失体面观念的牺牲品,以至于事实上使他们陷入不可挽救的灾难之 中。他们招致有失体面的原因,不是由于他们的不幸,而是由于他们的 愚蠢。[4]如果你们爽快地接受我们的建议,你们将避免犯这种有失体面的错误;你们知道,向希腊最强大的城邦屈服不是一件不光彩的 事,当雅典人要求你们成为其同盟者,并缴纳适量的贡赋,而你们将继 续拥有属于你们的国土的时候,当你们在战争与安全之间作出选择的时 候,你们不致因为没有辨别能力而作出错误选择。而且,可以肯定,不 卑不亢地善待地位平等者,卑躬屈膝地奉承地位优越者,温和审慎地对 待地位低下者,这些都是最成功的处世之道。[5]因此,我们退出会 谈后,你们要好好地思量一下,你们的邦国处于生死存亡的危急关头, 你们只有这一个城邦,它的繁荣或是毁灭,完全取决于你们的决定。

    112 现在,雅典人退出了会场,留下的米洛斯人所作出的决定与他 们在答辩中所持立场一致,其答复是: [2]“雅典人,我们的决定与以前陈述的一样。我们不愿使我们居 住生活已达700年之久的城邦在仓促之间丧失其自由;(700年前就是公元前1116年。这句话使我们联想到多利斯人的入侵。科浓在《希腊英雄故事集》36中提到,在多利斯人定居斯巴达后不久,斯巴达人Philonomus建立了米洛斯)我们寄希望于 迄今一直受到神祇庇护的命运,寄希望于人们的援助,即拉栖代梦人的 援助;我们将尽力保全我们自己。[3]同时,我们请求你们允许我们 成为你们的朋友而不做任何一方的敌人,请求你们与我们签订一个对双 方都适合的条约,然后从我们国土上撤兵。”

    113 米洛斯人作了这样的答复。雅典人在离开谈判会场时说:“好 吧!从你们的决定中我们似乎可以得出这样的结论,唯有你们认为目前 的形势与未来的形势相比,未来的形势更有把握;当你们渴望获得的东 西已经与你们擦肩而过的时候,你们依然熟视无睹。你们既然把你们的 一切都压在拉栖代梦人、你们的命运和你们的希望上面,把信心寄托在 它们中间,那么,你们终将彻底失望的。”

    114 雅典的使者们回到他们的军营,雅典的将军们获悉米洛斯人没 有屈服的意向,决定立即进入战争状态,在米洛斯城周围建筑一道围 墙,把修筑围墙的任务分派给各个城邦。[2]后来,大部分雅典军队 撤回国内,只留下一定数量的雅典公民兵和盟邦军队从海上和陆上封锁 米洛斯。留守军队驻扎在那里,围攻米洛斯。

    115 大约同时,阿尔哥斯人侵入弗琉斯境内,他们遭到弗琉斯人和 阿尔哥斯流亡者的伏击,有80人被杀。[2]同时,在派罗斯的雅典人 从拉栖代梦的领土上劫掠了大量物品,即便是这样,拉栖代梦人仍保持 克制,没有废除与雅典人签订的条约而向雅典宣战,只是宣布本国的任 何人都可以对雅典人施以报复性劫掠。[3]科林斯人因本邦与雅典的 争执也开始对雅典人发动战争,伯罗奔尼撒的其余诸邦保持平静。 [4]同时,米洛斯人在夜间进攻雅典人,占领市场对面的部分雅典人 的防线,杀死一些雅典人,抢走粮食和其他他们能够找到的有用的东西 后,又撤回城去,保持平静。随后,雅典人采取措施,加强防备。现 在,夏季结束了。

    116 紧接着在冬季里,拉栖代梦人试图侵略阿尔哥斯领土,但抵达 边境时发现越境祭祀未显示吉兆,就又返回去了。拉栖代梦人的侵略意 图使阿尔哥斯人猜疑本邦的一些公民,他们逮捕了一些有嫌疑的人,而 有些人则逃跑了。 [2]大约同时,米洛斯人再次进攻防卫薄弱的另一部分雅典人的 防线。[3]因此,雅典派遣德米阿斯之子腓洛克拉特斯率领雅典援军 随后抵达,围攻战进行得非常激烈。城内有人叛变,米洛斯人便无条件 地向雅典人投降了。[4]雅典人把所俘获的成年男子全部处死,把妇 女、儿童卖为奴隶(有人认为欧里庇得斯的悲剧《特洛伊妇女》中所描写的实际就是米洛斯陷落的情况),随后派遣他们自己的500名移民定居在那里。

    第六卷

    第十八章 战争的第十七年。西西里的战役。赫尔墨斯 神像事件。远征军出发。

    1 在同一个冬季里 [1] ,雅典人决定派遣一支比当年由拉齐斯和攸 里梅敦率领的 [2] 更加庞大的军队远征西西里;如果可能的话,他们就 征服这个岛屿,他们多数人不了解西西里的大小和岛上居民即希腊人和 非希腊人的数目,不知道事实上他们将要进行的战争并不比与伯罗奔尼 撒人的战争规模小。[2]一条商船环西西里岛航行一周至少要用8天时 间,该岛的面积尽管如此之大,但它与大陆相距仅有20斯塔狄亚 [3] 的 海面。

    2 最早移居西西里岛和在岛上繁衍生息的有如下诸族。据说,这个 地方最早的居民是凯克罗普斯人和莱斯特利哥涅斯人。我无法指出他们 是哪个种族,从哪里来的,后来又往哪里去了。我留给读者的只能是诗 人 [4] 的描述和人们对岛上居民的一般的说法。[2]在他们之后定居在 这里的是西坎尼亚人,尽管他们自称是本地最早的原始居民,但事实上 他们是伊比利亚人,他们是被利古里亚人从伊比利亚的西坎努斯河畔驱 逐出来的。西西里岛过去被称为特里纳克里亚,因为他们的到来而被称 为西坎尼亚,直到如今他们仍居住在西西里岛的西部。[3]伊利昂 [5] 被攻陷后,一些特洛伊人从阿凯亚人手中逃出,航行来到西西里,继西 坎尼亚人之后定居西西里,他们被统称为爱丽米人;他们的城镇被称为 爱里克斯和爱吉斯泰。与特洛伊人一起在西西里定居的还有一些佛基斯 人,佛基斯人在从特洛伊归国途中遭遇风暴,先到利比亚,后来从利比 亚来到西西里。[4]遭到奥匹亚人驱逐的西克尔人从他们的故乡意大 利渡海来到西西里。根据传说,他们等到顺风的时候,乘坐木筏横渡海 峡,完成其迁移旅程,尽管他们可能用其他方式渡海。这个传说也许是 真的,就是现在在意大利还有西克尔人。据说,该地区之所以取名为意 大利,是源于西克尔人有一位名叫意大拉斯的国王。[5]他们带领大 批军队来到西西里,在战斗中打败西坎尼亚人,迫使其移居西西里岛的 南部和西部,他们称该岛为西西里,而不再称之为西坎尼亚。自从他们 渡海到西西里后,连续享有这个地区最富饶的土地近300年,直到希腊 人来到西西里。实际上,他们至今仍然占有该岛的中部和北部。[6] 另外,还有腓尼基人生活在西西里岛的沿海地带。为了与西克尔人进行 贸易往来,他们占据岸边的海角和沿海小岛。但是,当希腊人开始乘船 大量涌入西西里岛的时候,腓尼基人放弃了他们的大部分居住地,他们 集中迁徙到摩提亚 [6] 、索罗伊斯 [7] 和潘诺姆斯 [8] ,与爱丽米人毗邻 而居,部分地是由于他们依赖于与爱丽米人的联盟,部分地是由于从西 西里到迦太基,由这些据点出发航程最近。上面叙述的就是居住在西西 里的非希腊人的情况。

    3 优波亚的卡尔基斯人在创始人苏克利斯 [9] 带领下到达西西里, 他们是最早抵达西西里的希腊人。他们建立了那克索斯 [10] ,建立了一 个祭祀阿波罗·阿奇吉提斯 [11] 的神坛,这个神坛现在位于城外,参加 竞技会的代表在从西西里启程前往希腊前都要到这个神坛前献祭。 [2]第二年 [12] ,来自科林斯的赫拉克利德斯族的一个成员阿奇亚斯 建立了叙拉古,他先把西克尔人从现在内城所在地的“岛”上赶走,尽管 内城这个地方现在四周已没有水了。随着时间的推移,外城也与内城连 成一片,人口日渐增多。[3]同时,在叙拉古建立后的第五年 [13] , 苏克利斯和卡尔基斯人从那克索斯出发,用武力赶走西克尔人,建立伦 提尼,后来又建立卡塔那。卡塔那的居民选择爱瓦库斯作为他们城邦的 建立者。

    4 大约在同一时候,拉米斯带领麦加拉的移民抵达西西里,在潘塔 基阿斯河畔建立特洛提鲁斯。后来,他离开特洛提鲁斯,与伦提尼的卡 尔基斯人有过短暂的联合。他被卡尔基斯人驱逐后,建立了萨普苏斯 [14] 。他死后,跟随他的那些居民被逐出萨普苏斯,他们建立了一个叫 海布隆的麦加拉,西克尔人的国王海布隆让出这个地方,请他们到那里 居住。[2]他们在那里生息繁衍了245年,后来,叙拉古僭主革洛把他 们从其城镇和乡村驱逐出来。可是,在他们被驱逐前,即他们定居在那 里100年后 [15] ,他们派遣帕米鲁斯出去建立了塞林努斯;帕米鲁斯是 从母邦麦加拉来和他们一起建立塞林努斯的。 [3]罗德斯的安提菲姆斯和克里特的恩提姆斯建立了革拉,在叙 拉古建立后第45年 [16] ,他们联合领导一批移民定居在那里。这个城镇 因革拉斯河而得名。现在城堡所在地,最先修筑堡垒,被称为林第伊 [17] 。他们采用多利斯式的政制。[4]革拉建立后大约108年 [18] ,革 拉人建立了阿克拉加斯(阿格里真坦),这个城市因阿克拉加斯河而得 名,他们还把阿里斯托诺斯和皮斯提鲁斯作为该城市的建立者,并将革 拉人自己的政制移植到殖民地。[5]赞克列最早为来自库玛的海盗所 建,库玛是卡尔基斯人在奥匹亚地区建立的城镇。可是,后来大批来自 卡尔基斯和优波亚其余地区的人和他们一起定居在这里。赞克列的建立 者是佩里尔斯和克拉泰门尼斯,他们二人分别来自库玛和卡尔基斯。西 克尔人最先称之为赞克列,因为这个地方的形状像一把镰刀,而西克尔 人称镰刀为赞克隆(Zanclon)。但是,赞克列的最早的居民后来被一 些萨摩斯人和伊奥尼亚人驱逐了,他们挣脱了波斯人的羁绊,来到西西 里。 [19] [6]不久以后,瑞吉昂的僭主阿纳西拉斯又驱逐了萨摩斯 人,他让一些不同种族的居民混居在这个城镇,并按其家乡的名称改名 为麦西那 [20] 。

    5 来自赞克列的攸克里德斯、西姆斯和萨康建立了希麦拉 [21] ,移 居到这个殖民地的大多数人是卡尔基斯人,尽管有一些叙拉古的逃亡者 和他们一起移居到这里,他们是因内战失败而被迫移居希麦拉的,称为 米利提代人。希麦拉居民的方言是由卡尔基斯语和多利斯语混合而成的 语言,他们采用的政制则基本上是卡尔基斯式的政制。[2]叙拉古人 建立了阿克赖和卡斯梅奈,阿克赖建立于叙拉古建立之后70年 [22] ,卡 斯梅奈建立于阿克赖建立之后约20年 [23] 。[3]卡马林那最早由叙拉 古人所建,大约是在叙拉古建立后的135年 [24] 建立的,它的建立者是 达克松和麦涅科鲁斯。但是,卡马林那的居民因发动起义而被叙拉古人 用武力赶走。不久以后,革拉的僭主希波克拉特斯 [25] 获得这片土地, 作为释放一些叙拉古战俘的赎金。他在卡马林那重新安置移民,自己成 了卡马林那的建立者。最后,革洛再次使卡马林那人口锐减,革洛人第 三次移民到这个地方。

    6 以上就是居住在西西里的希腊人和非希腊人的情况。雅典人现在 [26] 一心想侵入这样一个巨大的岛屿。尽管他们表面上装作援助他们在 西西里岛上的同族人和其他同盟者 [27] ,他们的真实意图是野心勃勃地 想征服全岛。[2]爱吉斯泰的使者来到雅典,请求他们尽快给予援 助,这使雅典人受到极大的鼓舞。爱吉斯泰人与其邻邦塞林努斯人就婚 姻和有争议的土地问题已经爆发了战争,塞林努斯人已经与叙拉古人结 成同盟,在陆地上和海上对爱吉斯泰造成极大压力。爱吉斯泰人现在提 醒雅典人在以前伦提尼战争期间 [28] 他们和拉齐斯所缔结的同盟,请求 雅典人派遣一支舰队援救他们。他们提出许多理由,其主要的论点是, 如果任凭叙拉古人驱逐伦提尼人民而不给予惩罚,允许其蹂躏雅典在西 西里的盟邦,以至控制西西里全岛,那么就会产生一种危险,即作为叙 拉古人,他们总有一天会派遣大军来援助他们的同族多利斯人;作为移 民,他们会帮助派遣他们出去的伯罗奔尼撒人,这些人将联合起来推翻 雅典帝国。因此,雅典人应当联合仍保留下来的同盟者,抵御叙拉古人 的进攻。尤其是像他们这些爱吉斯泰人,应该准备提供充足的金钱,作 为战争经费。[3]在雅典公民大会上,爱吉斯泰人及其支持者不断重 复这些论点,于是雅典人投票决定,首先派遣使者到爱吉斯泰,看看是 否真如其所说在国库和神庙中储存有金钱,同时查明他们与塞林努斯人 的战争的实际情况。

    7 因此,雅典使者们启程前往西西里。在同一个冬季里, [29] 拉栖 代梦人及其同盟者(科林斯人除外)攻入阿尔哥斯境内,蹂躏了一小部 分国土,利用牛车运走一些谷物。他们把阿尔哥斯流亡者安置在奥尼 埃,从其余军队中调拨出少量士兵驻扎在那里;之后他们签订了一段时 间的休战和约,按照和约,奥尼埃人和阿尔哥斯人都不能互相破坏对方 国土,于是拉栖代梦人率领军队回国了。[2]不久以后,雅典人带领 30艘舰船和600名重装步兵,与阿尔哥斯人全军一起进发,围攻奥尼埃 一天。因为围城军队的宿营地远离城区,城内驻军在夜间逃走了。次 日,阿尔哥斯人发现城中驻军已经逃走,便将奥尼埃城夷为平地,回国 去了;随后雅典人也乘船回国了。[3]同时,雅典人率领他们自己的 一些骑兵和在雅典的马其顿流亡者经海路抵达马其顿边境的麦索涅,劫 掠柏第卡斯的国土。对此,拉栖代梦人派人到色雷斯的卡尔基狄克人那 里去游说,卡尔基狄克人与雅典人签订有每十天续订一次的休战和约。 [4]拉栖代梦人竭力劝说卡尔基狄克人参加柏第卡斯一方作战,但遭 到拒绝。冬季结束了,历史学家修昔底德所撰写的这场战争的第十六年 也终结了。

    8 翌年初春 [30] ,雅典使者带着爱吉斯泰人从西西里返回国内,他 们带来了尚未铸成货币的60塔连特银块,作为60艘舰船一个月的薪给 [31] ,因为他们正式请求雅典派遣60艘舰船援助他们。[2]雅典人召开 公民大会,听取爱吉斯泰人和雅典使者的报告,报告假话连篇,却颇为 诱人。关于爱吉斯泰的总体形势,尤其是关于金钱,他们说有大量金钱 储存在神庙和国库里,都是不真实的。雅典公民大会投票决定派遣60艘 舰船到西西里,由克里尼亚斯之子阿尔基比阿德斯、尼基拉图斯之子尼 基阿斯和色诺芬尼斯之子拉马库斯担任全权将军。他们将帮助爱吉斯泰 人反击塞林努斯人,如果能在战争中赢得优势就恢复伦提尼人的地位, 并以他们认为对雅典最有利的方式处理西西里的其他所有事务。[3]5 天之后,雅典人召开第二次公民大会,决定以最快速的方式装备舰船, 并投票支持远征军将军们提出的所有要求。[4]尼基阿斯认为他当选 为远征军指挥官违背了自己意愿,认为雅典的政策没有经过深思熟虑, 仅凭一种微不足道而貌似有理的借口就急切地想征服整个西西里,成就 伟大的事业。为此,他走上前来,试图改变雅典人冒险的想法。他给雅 典人提出如下建议:

    9 “尽管这次公民大会的召开,是讨论远征西西里的准备工作的,但 我依然认为,我们对这个问题还需要慎重考虑,派遣舰船到西西里是不 是十全十美之策,我们不应该对这个问题做如此仓促、肤浅的考虑,或 者因为我们相信异邦人而使自己被卷入一场与我们毫无关系的战争。 [2]还有,就个人而言,我虽然可以从这项事业中获得荣誉,但对于 个人的身体健康 [32] ,我有其他人少有的担心—我认为适当地照顾自己 的身体和财产的人不一定是坏公民,相反,这样的人因为他自己的缘 故,比其他人更渴望城邦繁荣昌盛。不过,我从来没有为了赢得荣誉而 说过违背我的信念的话,我现在也不愿这样做;但我要说出我认为最好 的办法。[3]我的言辞对你们的性格影响甚微,如果我建议你们保持 自己的既得利益,不要把实际已属于你们的利益拿去冒险,去争取那些 尚无把握的、可能得到也可能得不到的好处。因此,我愿意向你们说 明,你们这样的冒险,现在还不是时候;你们的雄心壮志是不容易实现 的。

    10 “我敢肯定,你们去远征那遥远的地方,留下众多敌人在后方; 你们在那里也会有敌人的,而且也要应对那些敌人。[2]也许,你们 设想你们签订的条约 [33] 能够提供安全保证,条约在名义上仍将存在, 只要你们按兵不动—由于这里的一些人和在斯巴达的某些人的阴谋诡 计,条约已经名存实亡了—但是,如果我们在任何地方遭到失败,条约 并不能推迟敌人对我们的进攻。首先是因为和平条约对他们而言是因遭 受灾难而被迫签订的,和约所带来的荣誉,他们的比我们的更少;其 次,和平条约本身还有很多有争议的地方;[3]再次,某些最重要的 城邦没有完全接受协议的条款,他们与我们公开作战;其他城邦(因为 拉栖代梦还未采取行动)受到每十天续订一次的休战协定的限制, [4]如果他们发现我们力量分散,像我们正急于要做的那样,他们会 与西西里的希腊人一道向我们发动强有力的攻势,他们与西西里的希腊 人过去有同盟关系,他们重视这种同盟关系,这种情况在拉栖代梦人与 其他城邦的同盟关系中是少有的。[5]因此,这一切都是应该考虑到 的。我们国家在这样严峻形势下,不应当考虑进行这样的冒险;在我们 确保现有的帝国获得安全以前,不要冒险去攫取其他帝国。因为事实 上,色雷斯的卡尔基狄克人叛离我们多年了,我们还没有征服他们;大 陆 [34] 上的其他城邦虽被我们制服,但他们的忠顺是值得怀疑的。同 时,如果说我们的盟邦爱吉斯泰受到委屈,我们前去援助他们,那么对 于反叛者,我们长期被他们委屈,我们还期待着去惩罚他们呢。

    11 “对于这些叛逆者,如果将其镇压下去,就可以控制住局势;对 于西西里人,即使我们征服了他们,由于相距太遥远,人口太多,统治 他们并非没有困难。现在去进攻西西里人是愚蠢之举,即使我们征服了 他们,我们也不能够控制他们;而一旦遭到失败,给我们的事业留下的 将是与出征前完全不同的局面。[2]而且,如果叙拉古人征服了西西 里的希腊人,像现在那样控制了他们(爱吉斯泰人特别喜欢以此来吓唬 我们),我认为,它对我们所构成的危险甚至会比从前更小。[3]目 前,与拉栖代梦保持友好关系的城邦单独与我们作战是可能的;另一方 面,一个帝国不大可能攻击另一个帝国,因为如果他们联合伯罗奔尼撒 人推翻我们的帝国,他们看到的结局只能是伯罗奔尼撒人以同样的方式 推翻他们的帝国。[4]使西西里的希腊人害怕我们的最好的办法就是 我们根本就不到西西里去;其次是到西西里去炫耀我们的武力,一有机 会就撤离。众所周知,要达到令人叹服的目的,就是让其声誉最大限度 地远离考验,尽可能少地接受考验;哪怕我们遭到最小的失败,他们都 会立即轻视我们,并联合这里的敌人来攻击我们。[5]在你们与拉栖 代梦人及其盟邦的交锋中,你们已经获得了这种经验,与你们开始时的 恐惧相比,你们的成功是出乎意料的,它使你们立即轻视他们,进而使 你们渴望征服西西里了。[6]但是,对手的灾祸不应当使你们趾高气 扬,你们只有从精神上征服他们,才会使自己信心十足;你们应该知 道,因遭受耻辱而醒悟过来的拉栖代梦人,他们只有一个念头,如果可 能,甚至现在他们就想摧毁我们,以洗雪前耻,因为军事荣誉自古以来 就是拉栖代梦人最重要的奋斗目标。因此,如果我们头脑清醒的话,我 们作战的目的和西西里的土著居民 [35] 爱吉斯泰人毫无关系,而是怎样 最有效地保卫我们自己,反击拉栖代梦寡头派的阴谋诡计。

    12 “我们也应该记住,只是最近我们才从大瘟疫和战争中稍稍恢复 过来,因而应当大力充实我们的财力和人力,正确的政策是把这些财力 和人力用到我们本国和我们自己身上,而不该用到那些祈求我们援助的 流亡者身上。流亡者自己也明白,他们的利益在于撒谎,他们除了为他 们自己游说外不做任何事情,他们把危险留给别人;如果他们成功了, 他们不会表示感激;如果他们失败了,他们会连累以至于毁灭他们的朋 友。[2]而且,如果在座诸位中有人因当选为指挥官而沾沾自喜,他 极力鼓动你们进行远征,那不过是为了他私人的目的—特别是因为他还 太年轻,不能胜任指挥官的职务—他会想方设法使人们因其所驯养的良 驹而钦佩他。但是,因为这是很花钱的,他便指望从指挥官职位中捞取 一些好处,不能允许这种人为保持个人奢华的生活而使邦国担当风险。 [36] 你们还要记住,当这种人挥霍浪费自己的财产的时候,受危害的往 往是公共财政。这是一件重大的事情,不是这种年轻人能决定或立即胜 任的。

    13 “当我现在看到这位年轻人所召集的一群支持者正围坐在他身旁 的时候,我感到很震惊。就我这方面而言,我请求得到年纪较大者的支 持;如果他的支持者坐在你们身旁,不要让自己屈服于他们的羞辱,不 要因不投票支持战争而害怕被说成是懦夫,但是,你们要记住,单凭主 观愿望很难取得成功,要有远见卓识才能经常赢得胜利,远离他们的狂 妄的征服之梦,作为一个真正的爱国者,现在我们的邦国正面临有史以 来最大的危险,举起你们的手来反对战争;投票支持维持我们与西西里 的希腊人之间的现有边界(双方都没有对此边界提出异议,即可以在伊 奥尼亚海沿岸自由航行和在西西里海中直接航行),投票赞成他们有权 拥有他们自己的土地和财产,解决他们自己的争端。[2]在爱吉斯泰 人方面,应该告诉他们,由他们自己去结束与塞林努斯人的战争,这场 战争在开始时都未曾与雅典人商议;将来我们也不会像过去那样,再与 那些在他们需要时我们给予帮助而我们需要他们援助时又得不到回报的 人民缔结同盟。

    14 “至于你,会议的主席 [37] ,如果你认为维护邦国的利益是你的 职责,如果你希望显示你是一个优秀的公民,就把这个问题提请雅典公 民投票,再次征求雅典人的意见。如果你担心再次提议表决这个问题会 违背法律,其实法律不能对如此众多赞成表决的人持有偏见;你将作为 这个被误导了的邦国的医生对其加以矫治,公职人员的美德,简而言之 就是尽力为邦国谋福利,或者无论如何要使邦国免遭本来可以避免的祸 害。”

    15 这就是尼基阿斯的演讲。上来发言的大多数雅典人支持派遣远 征军,不赞成废除已经投票作出的决议,尽管有一些发言者持相反意 见。[2]不论怎样,最坚决鼓动派遣远征军的是克里尼亚斯之子阿尔 基比阿德斯,他反对尼基阿斯的观点,既是因为他和尼基阿斯在政治上 有诸多分歧,也是因为尼基阿斯在演讲中对他个人进行了攻击 [38] ,而 且,阿尔基比阿德斯雄心勃勃地渴望成为一名指挥官,希望率军攻占西 西里和迦太基,军事上的成功将使他个人赢得财富和荣誉。[3]为了 保持在公众心目中的崇高地位,他沉溺于驯养赛马和其他消费,他的奢 侈生活已经超过了他的财产所能供给的,这与后来雅典国家的崩溃是有 很大关系的。[4]许多人对他在个人生活和习惯上明显的放纵行为, 对他在所从事的各种事务中表现出来的勃勃野心感到惶恐不安,民众认 为他的目的是想做僭主,因而对他都持敌视态度。(见图13)尽管他在 指挥作战方面功绩显赫,但在个人行为方面,他的习惯遭到众人的反 对;因此,民众力图把作战事务移交给其他人,不久就毁掉了城邦。 [5]这时,他走上前来,给雅典人提出如下建议:

    16 “雅典人啊,我比别人更有权利出任指挥官—因为尼基阿斯攻击 我,我不得不一开始就提出这个问题—同时我相信我自己是无愧于指挥 官这个职位的。至于那些指责我的事情,那是给我的祖先和我本人带来 荣耀,也是使国家从中受益的光荣之举。[2]希腊人曾经认为我们的 城邦已被战争所摧毁,而今在希腊人的心目中,我们的城邦相当强大, 甚至超出其实际情况,原因在于我在奥林匹亚竞技会 [39] 上代表城邦所 展示出的高贵和豪华。当时我有7辆双轮马车入选参赛者名单,过去从 未有过私人用这么多的马车参赛,我赢得第一名、第二名和第四名,其 他所有的仪式安排都与我取得的胜利相称。在习惯上,人们将这种事情 视为一种荣耀,它会给人们留下难以磨灭的印象。[3]再有,我在国 内所显示出的富丽豪华,如提供合唱队的花费 [40] 或其他方面,自然引 起我的公民同胞们的忌妒,但在异邦人看来,这与其他事例一样,是邦 国实力的一种表现。当一个人花费自己的金钱不仅仅为自己而且也为他 的城邦谋利益的时候,这并非是徒劳无益的愚蠢行为。[4]他自视高 人一等而拒绝与 图13 阿尔基比阿德斯像 其他人保持平等地位,这并非不公平。当他遭受挫折的时候,他得 独自承受全部苦难,因为我们没有看见有人去与他共患难。按照同样的 原则,一个人应该接受成功者的傲慢;否则,让他首先以平等的方式善 待所有的人,然后才有权利要求别人以平等的方式对待他。[5]我知 道,这种人以及所有因获得各种荣誉而出名的其他人,虽然在他们的有 生之年不受其同胞特别是同辈同胞的欢迎,但是到了后世,都竭力声称 与他们有亲戚关系,甚至那些与他们没有任何关系的人也是如此;我知 道,他们所在的城邦还要尊奉他们为自己的同胞和英雄,而不把他们视 为异乡客和作恶者。[6]这就是我的抱负。可是,我在私人生活方面 被人指责,问题在于是否有人在管理公共事务的能力方面超过我。我联 合伯罗奔尼撒地区最强大的城邦 [41] ,没有使你们冒很大的危险或花费 你们很多钱财,就迫使拉栖代梦人把所有赌注押在曼丁尼亚仅有的一天 的战事上; [42] 尽管他们在战斗中取得胜利,但他们迄今仍未完全恢复 信心。

    17 “正是我的年轻和所谓的极度愚蠢使我有适当的理由去对付伯罗 奔尼撒人的势力,我的处事热情赢得他们的信任和赞赏。现在,你们不 要为我的年轻而担心受怕,我朝气蓬勃,如日中天,而尼基阿斯深受幸 运宠爱,从而使你们能够利用我们俩的最大的贡献。[2]不要因为你 们将去进攻一个强大的国家而取消远征西西里的决定。西西里诸邦 [43] 居民是由多种族混合而成的乌合之众,使我们容易改变其政治制度,并 采用新的政治制度取而代之;[3]因此,他们没有爱国主义情感,没 有得到用于自卫的武装,也没有自己长期耕耘的土地。他们每个人都想 通过精彩的演说或党派斗争而从公共财政中获得某种好处,一旦大祸临 头,就会移居到其他地方,并且做好了相应的行动准备。[4]这样的 一群乌合之众,你们不必指望他们会作出一致决定或采取协调行动的。 但是,当我们向他们提出一些有诱惑力的建议时,特别是像我们听说的 在他们因内乱而四分五裂之时,他们可能将单独与我们订立协议。 [5]而且,西西里的希腊人并不是像他们吹嘘的那样,有那么多的重 装步兵,正像希腊人无法证明每个城邦的军队人数有他们通常所估计的 那么多一样。希腊人明显地高估了他们的数目,在这次战争的全过程 中,他们几乎一直没有充足的重装步兵。[6]因此,据我获悉的情 报,西西里诸邦的情况与我说的一样。我们的优势还不止这些,因为我 们将获得很多异族人 [44] 的帮助,他们痛恨叙拉古人,愿意和我们联合 起来,攻击叙拉古人;如果你们作出正确的判断,将发现这些城邦的国 内没有阻挡我们的力量。[7]有人说,我们前去远征会把敌人留在后 方,我们的前辈们在与波斯人作战时也是将敌人留在后方,仅凭他们的 海上优势,就能创建帝国。[8]伯罗奔尼撒人在与我们交战中,从来 没有像现在这样,获胜希望如此渺茫。不过,他们从来都没有丧失这样 的信心:即使我们的陆军留在国内,他们仍有足够强大的力量从陆地上 侵入我们的领土,但他们的海军绝对不会伤害我们,因为我们自己留在 后方的海军就足以对付他们。

    18 “在这种情况下,我们自己能有什么理由裹足不前,或者能对西 西里的盟邦提出什么理由不去援助他们呢?他们是我们的同盟者,我们 有义务援助他们,不要因为我们从未得到他们的援助而加以反对。我们 与他们结盟并不是想使他们到希腊来援助我们,而是想要他们袭扰我们 在西西里的敌人,阻止他们赶赴这里攻击我们。[2]我们的帝国就是 这样赢得的,我们的帝国和其他所有帝国都是这样赢得的,即坚定地援 助所有请求援助的人,无论他们是希腊人还是异族人。如果全体国民都 无动于衷,或者对他们应该援助的对象加以选择,那么,我们就很少能 够扩张我们的帝国,并将使我们已拥有的帝国有丧失的危险。人们不能 仅仅满足于抵御占优势的敌人的进攻,还要经常未雨绸缪,使敌人的进 攻企图无法实现。[3]我们无法确定我们帝国将扩展到哪里为止;但 是,既然我们已经处于现在的地位,那我们就一定不能满足于保持我们 现有的帝国,而必须制定计划扩展帝国;因为如果我们不统治别人,我 们自己就有被别人统治的危险。你们也不能站在其他人的角度来看问 题,静观事态的发展而不肯采取行动,除非你们准备改变你们的习惯, 使之与他人的习惯一样。 [45] [4]“因此,要相信,我们这次出征海外,定将增强我们的国力, 让我们出发远征吧!我们航往西西里,伯罗奔尼撒人看见我们是多么地 不在意我们现在所享有的和平生活 [46] ,他们的傲慢气焰将受到遏制; 同时,一旦我们征服西西里的希腊人,或者至少也可以打垮叙拉古人, 我们就会很容易地成为全希腊的主人,从而使我们自己和我们的同盟者 从中获得利益。[5]如果一切顺利,全体将士可以留在那里,否则就 回来;我们的海军可以确保我们的安全,因为我们的海上力量超过所有 西西里的希腊人海军力量的总和。 [6]“不要奉行尼基阿斯所倡导的无所作为的政策,不要让他挑拨 年轻人与年长者之间的和睦关系,不要让他的言论改变你们的目标。我 们要发扬前辈们的优良传统,年长者和年轻者团结一致,经过他们不懈 的努力,才把我们的事业推进到现有的高度,而现在你们要同样努力把 国力提高到新水平。你们要知道,无论是年轻者还是年长者,没有彼此 间的帮助,都将一事无成,但是,当轻率勇敢、老成持重和深思熟虑的 意见综合在一起的时候,就会产生最强大的力量。而且,城邦与其他事 物一样,如果长期保持和平状态,她自己就会耗尽自己的力量的,而各 方面的技术就会变得陈旧过时了,但是每一次新的战斗都会使她获得新 的经验,使她更惯于不以言辞而以行动来保卫自己。[7]简而言之, 我相信,在本性上富于活力的城邦不应突然采取这样一种无所作为的政 策,而使她更快速地走上毁灭自己的道路;最安全的生活的原则,是接 受自己原有的性格和制度,纵或这种性格和制度还不是完善的,也要尽 可能地依照这种性格和制度生活。”

    19 以上就是阿尔基比阿德斯的发言。爱吉斯泰人和一些伦提尼流 亡者在随后发言中,提醒雅典人履行其誓言,请求雅典人予以援助。雅 典人在听了阿尔基比阿德斯的演讲和他们的发言后,比从前更加急于想 发动这次远征了。[2]尼基阿斯知道利用他已经用过的论点将无法阻 止他们所采取的行动,但他认为通过夸大所需的军事力量,也许可以改 变他们的决定。因此,他再次走上前来,作了如下发言:

    20 “雅典人啊,我发现你们一心想发动这次远征,我希望我们都能 如愿以偿,因此,我将向你们说明我对于目前形势的看法。[2]据我 所知,我们所要去进攻的那些城邦是强大的,他们彼此间互不隶属,他 们不需要挣脱强加于他们身上的奴役以便过上一种比较轻松愉快的生 活;他们至少不会放弃他们的自由,而接受我们的统治;仅以一个岛屿 而论,岛上的希腊城邦是很多的。[3]我预料那克索斯和卡塔那会加 入我们这一方,因为他们与伦提尼人是同族关系;除了这两个城邦以 外,还有七个城邦 [47] ,他们的军事装备与我们的十分相像,特别是塞 林努斯和叙拉古,这是我们这次远征的主要目标。[4]这些城邦可提 供很多重装步兵、弓箭手和标枪手,他们有许多战舰,许多可充任桡手 的人;他们也有金钱,一部分在私人手中,一部分存在塞林努斯神庙 中,叙拉古人也向一些土著居民征收贡赋。他们对我们的主要优势在于 他们拥有众多骑兵,还有他们实际所需要的谷物都由本地出产,无须从 外地输入。

    21 “对付这样的一个强国,仅靠这势单力薄的海上力量显然是不够 的,我们还需要一支庞大的陆军一同远征,如果我们要使我们所采取的 行动实现既定目标,而不至于被敌人为数众多的骑兵阻挡于境外的话; 特别是,如果这些城邦感到畏惧而联合起来,我们将没有朋友(除爱吉 斯泰外)向我们提供骑兵,以用于我们的自卫。[2]由于一开始就缺 乏预见,届时我们不得不被迫撤退,或者派人回国请求增援,那将是很 不光彩的事。因此,我们在出发的时候就必须准备足够的武装力量,要 知道我们将航行到一个遥远的地方去征战;而这次远征与你们过去对希 腊本地的臣属之邦所进行的征战完全不同,在征伐你们的臣民的时候, 你们得到许多盟邦的支持,你们可以很容易地从友好的地区取得给养; 但我们这次远征完全断绝了与本国的联系,到达一个完全陌生的地方, 在冬季的四个月中,甚至派遣使者到雅典来,都不是一件容易的事。 [48] 22 “因此,我认为我们应当从雅典,从我们的同盟者那里,不仅从 我们的臣属之邦那里,还要从伯罗奔尼撒地区,以言辞说服或金钱雇佣 的办法招募尽可能多的军队,组成一支数量庞大的重装步兵部队;还要 招募大量的弓箭手和投石手,以便迎头打击西西里人的骑兵部队。同 时,我们必须确保在海上的绝对优势,使我们更加容易地运输所需物 资;我们必须用商船装运我们自己的谷物,即小麦和烘干的大麦,从磨 坊强制征募与谷物成比例的面包师以为军队提供有薪服务,这样,万一 军队被恶劣气候所困,不至于缺少食物;这也是因为我们的军队人数众 多,不是每个城镇都有能力接待的。其他方面的所有需求,我们也一定 要尽我们的能力所及,做好准备,以免依赖他人;尤其是我们必须从国 内尽量多带些金钱,据爱吉斯泰人说,这笔钱已经准备妥当,但你们应 当相信,这笔钱口头上存在,事实上不一定存在。

    23 “当然,即使我们从雅典带去的军队—除了在数量上与敌人的重 装步兵不相上下以外,甚至在所有方面都胜过他们,我们还是很难征服 西西里或保全我们自己。[2]毋庸讳言,我们自己将在异乡人和敌人 中间建立一个城邦,从事这项冒险事业的人,须在登陆的第一天就准备 成为那片土地的主人;至少要知道,如果没有做到这一点,就会陷于四 面楚歌的境地。[3]因为我害怕这一点,同时我知道,我们需要很多 良策和好运—因为我们是凡夫俗子,很难把握命运—我希望我在启程前 尽量少地依靠运气,当我真的要起航的时候,要带领一支强大的能确保 我安全的军队出发。我相信,这最能确保我们国家的整体利益,因而也 就最能确保我们这些远征将士的安全。如果任何人对此持不同观点,我 愿意把军队的指挥权移交给他。”

    24 通过上述言论,尼基阿斯断定雅典人会因远征军的军需规模庞 大而畏葸不前,或者,如果他被迫出海远征,也尽可能地以最安全的方 式进行。[2]但是,雅典人并没有因为浩大艰巨的准备工作而放弃远 征西西里的打算,反而比以前更加渴望远征了,结果恰恰与尼基阿斯原 先的预料相反。他们认为,尼基阿斯提出了很好的建议,这支远征军将 是世界上最安全的。[3]所有的人都热衷于远征事业。年老一点的人 认为他们将所向披靡,征服所到之地,或者,无论如何,有了如此庞大 的军队,他们是不会遭遇灾祸的;那些风华正茂的人们渴望去看看异乡 的风景,开阔眼界,他们从不怀疑可以安全返乡;普通民众和士兵们不 仅希望在这次远征中得到暂时的薪金,而帝国疆域的扩大还将使他们得 到永久性取之不尽的薪金来源。[4]大多数人狂热地赞同远征,使少 数不赞成远征的人害怕举手反对而被指责为不爱国,他们只好保持沉 默。

    25 最后,有一位雅典人走上前来与尼基阿斯交谈,告诉尼基阿 斯,他不应该再找理由推辞或拖延远征时间,他应该立即向民众说出雅 典人必须赞成调拨给他的军队总数。[2]对此,他不无勉强地说,他 将和他的同僚们在一种宽松的气氛中进一步磋商这个问题。但以他目前 所见,他们至少要带100艘三列桨战舰—雅典人还应当决定提供同样数 量的运输舰船,人员由雅典人自己以及其他盟邦招募到的加以配备—雅 典人及其同盟者所提供的重装步兵总数,应不少于5000人,如果可能的 话,多些更好,其余类别的军队也应当与之成比例;从雅典国内和克里 特招募的弓箭手,还有投石手,以及其他所需物资都应一一准备好,由 他们一起带去。 26 听到这些意见后,雅典人立即投票表决,赞同将军们拥有确定 远征军人数及其一切事务的全权,只要对雅典有利,他们尽可以自行处 理。[2]随后,准备工作紧锣密鼓地展开了。他们派遣信使去通知各 盟邦,在国内也开始按名册征兵。因为雅典城邦刚刚从瘟疫和长期战争 中恢复过来,许多年轻人已经成年,资金也因休战而积累起来,这就使 远征的准备工作更加容易地进行。 27 当这些准备工作正在进行期间,雅典城内几乎所有赫尔墨斯 [49] 石像的面部在一夜之间都被毁坏了。按当地习俗,这种石像通常是呈方 形石柱状,普遍地竖立在私人住宅的门口和神庙中的。(见图14) [2]没有人知道这是什么人干的,政府悬出巨额赏金寻找毁坏神像的 人,又投票通过一项法令:无论什么人,公民也好,异邦人也好,奴隶 也好,只要知道有人犯有渎神行为都应该义无反顾地提供线索。[3] 人们非常严肃地对待这个事件,因为它被认为是远征的凶兆,是发动暴 动以推翻民主制阴谋的一个组成部分。 图14 赫尔墨斯石像 28 于是,有一些居住在雅典的异邦人和私人奴仆提供了一些情 报,不是关于赫尔墨斯石像事件本身,而是以前一些年轻人在喝得酩酊 大醉后,有破坏其他神像的行为;还说到在私人住宅里举行的秘密祭祀 仪式时有不庄重的嘲弄行为。[2]这些指控牵涉阿尔基比阿德斯,最 妒忌他的那些人 [50] 抓住这个把柄不放,因为他妨碍了他们从容地操纵 民众,他们认为,一旦赶走阿尔基比阿德斯,他们将掌握最高权力。这 些人趁机夸大事实,公开叫嚣秘密祭祀和赫尔墨斯神像事件是推翻民主 制阴谋的重要组成部分,没有阿尔基比阿德斯的参与,这一切都不会发 生;他们列举的证据还有阿尔基比阿德斯日常生活中的不民主的放纵行 为。

    29 阿尔基比阿德斯当即反驳了告密者对他的指控,并且准备在万 事俱备的远征行动开始之前,接受对他的审判,以便查实他是否犯有强 加在他身上的罪名;如果被判有罪,他心甘情愿地接受惩罚,反之,如 果宣判无罪,他应担任远征军的指挥官。[2]同时,他反对在他不在 的情况下受理对他的诽谤案件,如果他当真被判有罪,请求他们立即将 他处死;并指出,在如此重大的指控案件还没有结果的情况下,派遣他 率领庞大的军队出国远征不是明智之举。[3]但是,他的政敌害怕如 果立即开庭审判,他会得到军队的支持,而民众可能宽恕他,因为阿尔 哥斯人和一些曼丁尼亚人对他有好感而参加远征军,这也甚得民心。因 此,他们尽量把案件推迟,阻止马上审判。他们还鼓动其他人前来发 言,建议阿尔基比阿德斯应该马上率领军队出征,不要再拖延了,待其 回国后,在一定期限内就此加以审判。他们的计划是派他率军出国,让 他回国后面对某些更加严重的指控,在他不在国内时,他们更容易罗织 罪证,到那时候再派人去把他召回受审。因此,他们发布命令,阿尔基 比阿德斯必须起航出征。

    30 这起事件发生后,远征西西里的军队出发,这时已是仲夏季节 了。 [51] 大多数盟邦按照事先接到的命令,带着装载谷物的运输船和小 一些的舰船以及远征军的其余所需物资在科基拉集合,从那里一起横渡 伊奥尼亚海直抵伊阿皮吉亚海角。而雅典人自己和当时在雅典的一些同 盟者在指定日期的黎明时,前往比雷埃夫斯,开始为舰船配备船员,准 备起航。[2]雅典全城居民,包括本国公民和外国人,可谓倾城出动 与他们一起前往比雷埃夫斯;本邦居民都带着期盼与悲伤前来为他们的 将士、他们的朋友、他们的亲戚或儿子送行,当他们希望远征军征服西 西里的时候,考虑到远离本土的远征,他们可能再也见不到他们的朋友 了。

    31 的确,此时此刻,在相互道别的顷刻间,他们对远征的危险性 的感触,比他们投票赞成远征时的认识更为深切;尽管他们看到远征军 威武雄壮,各方面的装备精良,他们也能感到一丝安慰。至于外国人和 其他群众只不过去观看气势恢弘的壮观场面,感受人们对这项事业有令 人难以置信的雄心。 [2]事实上,这支第一次起锚出征西西里的军队,是迄今为止由 单个城邦派出过的花钱最多、外观最华丽的希腊军队。单就舰船和重装 步兵的数量而论,它没有比伯里克利指挥下进攻爱皮道鲁斯的军队和哈 格浓指挥下进攻波提狄亚的军队更多些;那支远征军包括4000名雅典重 装步兵、300名骑兵和100艘三列桨战舰,还有列斯堡和开俄斯的50艘舰 船以及很多同盟者的军队。[3]但是,过去派出的那些军队只有短短 的航程,缺乏优良的装备;而现在这支远征军在组建时就打算在陆上和 海上长期执行任务,配备了舰船和陆军,以便根据需要随时应用。舰长 和城邦都花费巨额金钱精心装备舰队;每个桡手每天由国库支付1德拉 克玛的薪金,公家还提供没有装备的空船 [52] ,计有60艘战舰和40艘运 输船,它们都配备有能招募到的最好的船员;上排桡手 [53] 和其他桡手 除从国库领得薪金外,他们的舰长一般还颁发给他们额外薪金。而且, 他们不惜巨资制作船头像和一般装备,每人都尽最大努力使其舰船在美 观和航速方面胜过其他舰船。同时,陆军士兵都是从最优秀士兵的名册 中选拔出来的,他们很重视配备武器和私人装备,并且不甘落后。 [4]因此,在雅典人中间,哪里有任务分派哪里就有竞争,不仅如 此,在其他希腊人看来,这次出征与其说是去进攻敌人,不如说是在炫 耀雅典的武力和资源。[5]如果有人统计一下邦国的财政支出和私人 的开支—这笔费用包括邦国已经用在远征军方面的和将要送到将军们手 中的金钱,远征军将士用于个人装备上的费用,舰长们在他们舰船上已 经花费的以及他们将来还要花费的金钱;如果加上除由公款支付的薪金 以外,每人因航程遥远而随身携带的途中所需费用,以及士兵们或商人 们为了做生意而随身携带的财物—人们一定会发现许多塔连特的巨额金 钱从雅典流走了。[6]事实上,这支远征军扬名于世的原因,不仅在 于它有令人赞叹的勇气和光彩夺目的外观,而且在于与其所要进攻的对 手相比,具有压倒性优势的力量,同时还因为事实上它是迄今为止雅典 所派出过的远征中航程最远的一次,就他们现有的资源而言,他们所要 实现的目标是最远大的。

    32 现在船员配备完毕,航行所需一切物资都装上了船,号声响 起,命令全体肃静,按习惯举行起锚出海前的祈祷。祈祷不是逐船一一 进行的,而是全体一致听从传令官的号令进行的;全军将士把酒碗中的 祭奠用酒调制好,再把酒倒入金银杯盏中洒酒祭奠。[2]岸边前来送 行的群众,不论是雅典公民还是其他民众,都和远征军将士一起祈祷。 唱完赞歌,行毕洒酒祭奠仪式,他们就起锚远航,舰队首先排成纵队出 港,随即你追我赶互相竞争直达埃吉那,他们迅速抵达科基拉,其他同盟军正前往那里集结。

    [1] 公元前416年。 [2] 此前有两次远征,一次是公元前427年拉齐斯和卡罗阿德斯领导的(III. 86),另一次是公元前424年 皮索多鲁斯、索福克勒斯和攸里梅敦领导的(IV. 2),修昔底德在此把两者合在一起说了。—史译本注 [3] 约合3700米。大概指与意大利半岛之间的最近距离。 [4] 无疑,这里特指荷马,如修昔底德,I. 10,11,21。 [5] 即特洛伊。 [6] 在利利拜昂(Lilybaeum)地角附近的南潘塔里昂 (S. Pantaleon) 小岛上。 [7] 在帕勒摩之东,今之萨兰多(Salanto)。 [8] 现在的帕勒摩。 [9] 他是由城邦派去领导人民建立殖民地的。他在死后一定是被当作神来供奉的。后来一个殖民地建立 另一个殖民地时,习惯上总是从母邦邀请一位领导者。 [10] 公元前735年。其地址位于陶罗门尼昂 (Tauromenium) 附近,是由希腊来西西里的最佳登陆地点。 [11] 阿奇吉提斯(Archegetes),意味着把它当作新居留地的“建立者”或“保护者”。 [12] 公元前734年。 [13] 公元前729年。 [14] 在叙拉古正北的一个半岛。 [15] 公元前628年。 [16] 公元前689年。 [17] 这个名字显然是源自罗德斯岛上的林都斯。参阅希罗多德,VII. 153。 [18] 谢译本(第427页)为“180年”。公元前581年。 [19] 参阅希罗多德,VI. 22,23。 [20] 公元前730年。 [21] 公元前648年。 [22] 约公元前664年。 [23] 公元前644年。 [24] 公元前599年。 [25] 公元前498—前491年在位。—史译本注 [26] 指公元前416年。 [27] 指卡马林那人和阿格里真坦人(V. 4)以及一些西克尔人(III. 103)。 [28] 参阅修昔底德,III. 86。 [29] 公元前416/前415年。 [30] 公元前415年3月。 [31] 每艘舰船按200人、人均日薪1个德拉克玛计,每月1个塔连特。 [32] 翌年夏季,他写信给雅典人,诉说他患有肾病,大概现在已受肾病的困扰。参阅修昔底德,VII. 15。 [33] 这里的“条约”系指雅典和斯巴达之间的“五十年和约”(修昔底德,V. 23)。 [34] 显然是指色雷斯和小亚细亚。 [35] 这里明确说明爱吉斯泰人是非希腊人(barbarians)。 [36] 以上情况暗指阿尔基比阿德斯,参阅修昔底德,VI. 16。 [37] 普利塔涅斯(Prytanes )是五百人议事会中的一个特别的“执行委员会”(主席团),来自于一个古 老的部族,据说是血统最纯正的伊奥尼亚人。五百人议事会和公民大会皆由他们主持。当天那位主席被称为爱 皮斯塔特(Epistates )。雅典的公共议事厅被称为“普利塔涅昂”(参阅希罗多德,I. 146)。至于这里爱皮斯 塔特把此前已经议决的事情再次提请表决是否违法,一直都是有争议的。 [38] 参阅修昔底德,VI.12。 [39] 可能是公元前416年。也有学者推定是在公元前420年或前424年。 [40] 即在公共节日,特别是在戏剧表演时的合唱队。合唱队是由国家指派乐于公益事务的富裕公民负责 的,这些富裕公民的职责是聘请一些合唱者和训练合唱的教师,负担所有人的服装、生活及训练的费用。由于 他们常常相互竞争,尽力使他们的合唱队富丽堂皇,因而这类事务开销很大,有时会把一个人的全部家产耗费 一空。 [41] 阿尔哥斯、曼丁尼亚和爱利斯。参阅修昔底德,V. 46,52。—史译本注 [42] 参阅修昔底德,V. 46以下。 [43] 指叙拉古及其附属诸邦。—史译本注 [44] 大概指当地非希腊语居民。 [45] 希腊其他城邦似乎在宣扬一种不干涉和自决的原则,根据阿尔基比阿德斯的意见,雅典不能采取这 种政策,否则将自食其果,放弃它的帝国。—史译本注 [46] 实际上,这是一种武装休战,须每十天重订一次和约。 [47] 叙拉古、塞林努斯、革拉、阿格里真坦、麦西那、希麦拉和卡马林那。—史译本注 [48] 史译本没有“四个月”。古代地中海地区的航行受到季节、气候、风向等因素的严重制约。 [49] 奥林帕斯山诸神之一,宙斯之子,是诸神的使者,因而他又是使者和传令官的庇护者,使团不受侵 犯的保证者。他还被认为是商人和行路者的保护神,人们在门口、路口为他立有方形神柱。神柱顶部是其头 像,是一个留有虬须的成年男子;公元前5世纪时,他的形象常常是无须少年。 [50] 尤其是一个名叫安德罗克利斯的人(VIII. 65)。参阅普鲁塔克:《传记集·阿尔基比阿德斯传》, XIX。 [51] 公元前415年。 [52] 这些空船的装备是由舰长们提供的。 [53] 在三列桨战舰上,有三排桡手,上排桡手(thranites )用最长的桨划船,薪金最高;中排桡手 (zygites )次之,底排桨手(thalamites )用最短的桨,薪金最低。—史译本注

    第十九章 战争的第十七年。叙拉古诸党派。哈摩狄乌斯和阿里斯托吉吞的故事。阿尔基比阿德斯受辱。 [3]

    同时,关于雅典出征的消息从各地传到叙拉古,但是很长时 间无人相信。实际上,在一次公民大会上,从诸位发言者的看法中就可 以看出,关于雅典远征军的消息,有人信以为真,有人持相反的意见; 这些发言者中有赫尔蒙之子赫摩克拉特斯。他认为他知道事实的真相, 便走上前来,提出如下意见:

    33 “当我把这次远征的真实情况告诉你们的时候,你们也许认为我 和其他人一样,在述说一些令人难以置信的事情;尽管我知道,提出或 者重复一个令人难以置信的说法的那些人,不仅不能说服他的听众,还 被认为是杞人忧天,自讨苦吃。但是,当邦国处于危险之中,当我相信 我比其他人更能说出远征的事实真相的时候,我当然不会有所畏惧,不 会保持沉默的。[2]尽管事实使你们感到很惊讶,然而雅典人已经出 动由陆军和海军组成的庞大军队前来进攻我们了。虽然他们在名义上声 称是前来援助爱吉斯泰人和恢复伦提尼人的地位,但其真实意图是征服 西西里,尤其是我们的城邦,因为他们认为一旦征服叙拉古,他们将会 轻而易举地占领西西里的其他诸邦。[3]因此,既然知道他们很快就 会抵达这里,你们要拿定主意,利用你们现有的资源来筹划怎样最有效 地抵御他们,切不可对此置若罔闻,并因此而丧失警惕,也不要因为不 相信有这回事而忽略公众利益。[4]同时,凡是相信这个消息的人 们,没有必要为敌人的强大或勇猛而担惊受怕。我们对他们的伤害将超 过他们对我们的伤害,他们积聚了如此强大的军事力量,这并非于我们 不利。事实上,对雅典人的入侵感到惊恐不安的其他西西里的希腊人更 愿意加入我们的同盟,这是再好不过的事了;如果我们打败了或驱逐了 雅典人,使其侵略野心不能得逞(因为我不担心他们会如愿以偿地征服 西西里),那将是我们最辉煌的成就了,照我看来,这并不是不可能的 事。[5]无论是希腊人还是异族人,派遣大军进行远离本土的远征, 实际取得成功的是非常罕见的。他们在人数上不会超过被侵略的国家及 其邻邦,被侵略的国家及其邻邦的人民,因害怕受到奴役,会联合起来 抗敌;如果侵略者在国外缺乏给养,他们的作战计划就难以实现,只好 将赢得战争胜利的荣誉留给他们的对手,尽管他们受挫的主要原因在于 他们自己。[6]正是雅典人的崛起印证了这种说法,雅典人打败波斯 人在很大程度上是意外原因促成的,雅典人赢得声誉,仅仅因为雅典是 波斯人进攻的目标;这种事情也很可能发生在我们身上。

    34 “因此,让我们满怀信心地在这里做好我们的准备工作;让我们 派遣使者前往西克尔人那里,以取得一部分西克尔人的有力支持,并与 其他西克尔人友好相处,建立同盟,派遣使者前往西西里其余诸邦,向 他们说明西西里人所面临的共同危险;我们还要派人到意大利去,争取 那里诸邦成为我们的同盟者,或者无论如何也要使意大利人拒绝接待雅 典人。[2]我认为最好还要派使者到迦太基去,迦太基人一点也不会 感到意外;他们经常担心雅典人有朝一日会来进攻他们的城邦,他们也 许能够想到,一旦西西里成为雅典人的囊中之物,他们自己也很可能遭 遇同样的不幸。这样,他们即使不是公开地也会秘密地以某种方式来帮 助我们。如果他们愿意,他们是当今所有城邦中最能为我们提供帮助的 城邦,因为他们拥有大量的金银财富,有了金钱,战争和其他工作就能 顺利进行。[3]让我们也派遣使者前往拉栖代梦和科林斯,请求他们 尽快派兵到西西里来援助我们,并且使希腊经常保持在战争状态。 [4]“依我所见,你们这些一贯热爱安宁生活的人,目前最应该做 的事,你们将会慢慢地明白的,但我必须把实话说出来。如果我们所有 的西西里的希腊人都联合起来,或者至少把除我们以外的尽可能多的西 西里的希腊人团结起来,只需出动现有的全部海上力量,带上两个月的 给养,在塔林敦和伊阿皮吉亚海角迎击雅典人,使雅典人知道,他们在 为赢取西西里而战以前,首先必须为通过伊奥尼亚海而战,我们将挫伤 雅典军队的锐气,使他们认识到我们有一个友好国家作为防卫基地—因 为塔林敦已准备接待我们—而雅典人则要率整个远征军横渡辽阔的大海 [1] ,由于航程遥远,他们很难保持舰队的秩序,他们在以小型编队缓 慢地推进时,又很容易遭到我们的攻击。[5]另一方面,如果他们轻 装快进,把划桨最快的桡手集中起来进攻我们,我们可以在他们精疲力 竭的时候攻击他们;或者,如果我们不愿意攻击他们,我们仍能退守塔 林敦;而雅典人前来只为作战,所带给养极少,他们将在荒芜之地陷入 困境,他们或者留在那里而被封锁,或者丢下其余部队力图沿海岸航 行,他们不知道哪些城邦愿意接待他们,并会因此而灰心丧气的。 [6]我认为,仅仅考虑这些,就足以使他们不敢从科基拉起航;他们 会谨慎谋划,并派人侦察我们的人数和行踪,于是季节已过, [2] 冬季 来临;或者,他们在意外遭受我们的打击后会惊慌失措,放弃远征计 划,特别是因为据我所知,他们最有经验的将军 [3] 是不情愿出任远征 军的指挥官的,他会首先以我们所展示的军事实力为借口,放弃这次远 征的。 [7]“我认为,关于我们军队人数的情报也应该夸大一些,因为人 们易于受传闻的影响而作出决定;同时,那些首先发起突击或者表现出 勇于自卫的决心的人们会使敌人更加畏惧,因为敌人知道他们已经对应 付突袭有所准备了。[8]这正是雅典人现在所遭遇的情况。他们现在 正要攻击我们,并相信我们不会抵抗,他们如此蔑视我们恰恰是因为我 们没有帮助拉栖代梦人毁灭他们。但是,如果他们看到我们在战斗中所 表现出来的勇气出乎他们的意料,他们将因此而感到惊慌,并将比看到 我们实际所有的实力更加沮丧。[9]我希望能说服你们无所畏惧,勇 往直前。但是,即使你们不愿这样做,无论如何也要不失时机地全面地 做好战争准备;你们人人都应该记住,在实战中所表现出的勇敢精神最 足以表示对敌人进攻的蔑视,但是,眼下最明智的步骤是进行战争准 备,在恐惧的影响下所做的准备工作是最可靠的安全保证;现在我们要 像真的处于危急之中那样,行动起来。雅典人正在前来进攻我们,他们 已在航行途中,他们很快就会抵达这里—我对此坚信不疑。”

    35 这就是赫摩克拉特斯的发言。同时,在叙拉古人民中间发生激 烈争论。有些人认为雅典人根本无意前来,赫摩克拉特斯所言之事是空 穴来风;有些人说,纵然雅典人真的胆敢来犯,他们对我们的伤害也将 遭到十倍的报复;还有一些人并不把此事放在心上,只把它作为一个笑 柄。总之,只有极少数人相信赫摩克拉特斯的话,并对未来忧心忡忡。 [2]当时,在民众中颇有威望的民主党领袖阿特纳哥拉斯走上前来, 作了如下发言:

    36 “那种不希望雅典人误入歧途而他们可能已身陷其中的人和那种 不希望雅典人前来这里变成我们的臣民的人,要么是懦夫,要么是叛国 者;至于散布这种消息并使你们如此恐惧不安的那些人,如果他们自以 为我们没有看透他们的意图,那么,使我惊讶的不是他们的鲁莽,而是 他们的愚蠢。[2]事实上,他们感到恐惧有其自己的理由,他们希望 引起举国上下惊恐不安,并以公众的恐惧情绪来掩饰他们自己的恐惧心 理。简而言之,这就是雅典人即将来犯的消息的意义所在;这些消息并 非自然产生的,而是由那些经常在西西里煽动骚乱的人一手炮制出来 的。[3]但是,如果你们明智地接受劝告,你们将不会根据这些消息 去猜测那些人所散布的雅典人来犯的各种可能性,而是要考虑一个精明 的和富有经验的民族(我认为雅典人就是这样一个民族)所可能采取的 行动。[4]现在,雅典不大可能在希腊战事尚未圆满结束而把伯罗奔 尼撒人置于身后,鲁莽地前来挑起一场和希腊战争规模相当的新的战 争。事实上,我认为凭借我们西西里如此众多的人口和强大的城邦,我 们不去攻击他们,他们就应该感到万幸了。

    37 “但是,如果雅典人果真如他们所说的那样竟敢来犯,我认为西 西里比伯罗奔尼撒更加能够将战争进行到底,因为我们在各方面准备得 更好,我们城邦本身就远比想要发动侵略的城邦强大,甚至在兵力规模 上相当于他们所传说的两倍。我知道,他们不会带着骑兵来的,也不会 在西西里得到任何骑兵,除非爱吉斯泰人可能提供少量骑兵;他们也不 能够带来一支数量与我军相当的重装步兵,因为他们必须用舰船运输; 无论他们舰船上运载的物资多么少,经过如此遥远的航行就够他们受的 了,更不用说要对付我们这样一个强大的城邦所要运输的其他物品,其 数量一定是很大的。[2]事实上,我对自己在这个问题上的看法深信 不疑,我认为,即使雅典人带来与叙拉古同样大的另一个城邦驻扎下 来,并从我们的边境上向我们发起进攻,我实在看不到他们如何能逃脱 被歼灭的厄运;如果所有西西里人都来抗击他们(他们将会这样做 的),而他们只有一个用舰船搭建的宿营地,营地中只有帐篷和稀少的 必需品,他们害怕我们的骑兵,不能推进多远以采取行动—在这种情况 下,他们取得成功的希望就更加小得可怜了! [4]

    38 “但是,雅典人对形势的看法正如我告诉你们的,我有理由相信 他们正在关照他们的家园,而这里的某些人却炮制雅典人将来侵略的谣 言,这种谣传不是真的,将来也不会变成真的。[2]我注意到,这些 人捏造谣言已不是第一次,当这些人无法以行动达到其目的的时候,就 试图炮制这种谣言,甚至其他更可恶的谎言来恐吓你们,以达到他们控 制城邦政权的目的—我对此经常保持着警惕。我不禁担心,这些人在这 方面孜孜以求,他们的企图总有一天会得逞的。我们的反应不够敏锐, 我们在阻止他们的行动中显得太软弱,即使发现了违法者,我们也无力 追捕他们。[3]结果是使我们的城邦不得安宁,陷入持久的动乱之 中,城邦内部的纷争如同对外敌斗争一样经常性发生,更不用说有时会 出现僭主政治和声名狼藉的阴谋集团篡夺政权了。[4]但是,如果你 们支持我,我将努力不让这类事情在我们时代发生。由于得到你们众人 的支持,就能惩罚这些阴谋活动的始作俑者,不仅在他们付诸行动之时 将其拿获—其行动很难被发现—而且在他们有阴谋企图但尚没有力量付 诸行动之时予以揭露;因为不仅有必要对敌人的行为加以惩罚,还要预 先对其行动意图加以惩罚,如果不先发制人,就会首先遭殃。我还将谴 责、监视和警告那些寡头党人—我认为,这是把他们从邪恶的道路上扭 转过来的最有效的方法。[5]有一个问题,我经常在问自己,你们年 轻人究竟想要什么?马上想做官吗?这是法律所禁止的,法律并不排斥 有才干的人做官;法律之所以这样规定,因为你们还不能胜任。同时, 那样的话,你们将不再与广大民众在法律上处于平等地位了!但是,同 一个城邦的公民不享有同等的权利,这难道是公平的吗?

    39 “也许有人会说,民主制既不贤明也不公平,财产拥有者最适合 成为统治者。我的看法恰恰相反,首先,民主制中的‘德莫’或‘人民’一 词包括全体公民,而寡头制仅代表其中的一部分。其次,如果说最好的 财富保护者是富人,最好的顾问是贤明人士,那么,他们都不能像大众 那样善于听取意见并作出明智的决定;在民主制下,所有这些有才能的 人,无论是作为个人还是集体,都享有平等的权利。[2]但是,寡头 制会使人民大众分担苦难,而寡头党人则不仅不满足于拥有最大的权 益,甚至想独占全部。这就是你们当中的有权势者和青年人梦寐以求 的,但在一个伟大的城邦,这种企图是不可能实现的。 “但是,你们这些愚蠢的人,如果你们现在还不知道你们的图谋是 邪恶的,你们就是我所知道的希腊人中最愚蠢的人了。如果你们明明知 道还竟敢去实施阴谋计划,你们就是在进行最严重的犯罪。

    40 “甚至现在,如果尚未酿成令人后悔莫及的事件,你们还可以学 得明智一些,促使邦国得到利益,这也是我们大家共同的利益。在分享 邦国利益的时候,你们这些有功之人不但会分得平等的一份,还会获得 比你们的同胞大众更大的一份。但是,如果你们有其他非分之想,你们 所有的一切都有被剥夺的危险;不要散布这些谣言了,因为人们知道你 们的意图,并且不会容许你们这样做的。[2]即使雅典侵略者来了, 我们的城邦也将会以无愧于我们的城邦的方式将他们击退;而且,我们 有诸位将军,他们会关注这个问题。如果这些消息像我所认为的那样是 无稽之谈,我们的城邦也不会因为你们的谣言而陷于恐慌,也不会选择 你们作为它的统治者,而使自己陷于奴役之下;城邦自己对此会加以调 查,并且把你们的言论当作法令作出裁断,它不会允许因为你们的一面 之词而剥夺城邦的自由,它会时刻保持警惕,采取措施使城邦得到尊 重,努力保全城邦的自由。”

    41 这就是阿特纳哥拉斯的发言。这时,一位将军站起来,不许其 他人起来发言了。对于现在所讨论的问题,他发表如下意见: [2]“发言者互相攻击或者呼吁听众接受他们的观点,都是不合时 宜的;我们应该重视我们所获得的情报,考虑每个人自己和作为整体的 城邦怎样进行最有效地备战以抵抗侵略者。[3]即使没有这个需要, 邦国征集马匹、储备武器和所有其他在战争中值得荣耀的物资也是没有 害处的;我们将负责这些工作并使之井然有序地进行,派遣使者到各城 邦去征询他们的意见,并做好其他一切有必要做的事情。我们已经注意 到这种动向了,以后我们无论发现什么情况都将向你们通报。”

    42 这位将军作了上述发言后,叙拉古人就散会离去了。 与此同时,雅典人及其所有的同盟军现在已抵达科基拉。在这里, 将军们再次检阅了军队,安排了军队停泊和宿营的顺序,把全部海军舰 队分为3个分队,指定每个将军指挥一个分队,这样可以不同时启程, 因为同时启程在登陆时会造成饮水、港口或给养物资方面的困难;同 时,每个分队都有自己的指挥官,使其更好地维持全军秩序和更容易处 理日常事务。[2]随后,雅典人派遣3艘船到意大利和西西里去,以便 确定哪些城邦愿意接待他们。他们奉命在返回途中迎接雅典军队,使他 们在登陆前了解前方的形势。

    43 随后,雅典人率领庞大的军队从科基拉起锚,横渡大海前往西 西里。这支军队共有134艘战舰(另外还有罗德斯人的2艘五十桨船), 其中100艘是雅典人的舰船—60艘用于作战,40艘用于运输—其余的舰 船来自于开俄斯和其他盟邦;共有重装步兵5100人,其中1500人是雅典 公民,他们是从雅典正规兵员名册中征调来的,有700名泰提斯 [5] (他 们充任水兵),其余的军队是来自于盟邦的,他们有些来自于雅典的属 邦,还有来自阿尔哥斯的500名和来自曼丁尼亚及其地方的250名雇佣 军;共有弓箭手480名,其中80名是克里特人;有700名投石手,他们是 罗德斯人;麦加拉流亡者组成一支120人的轻装步兵队;一艘马匹运输 船装载有30匹马。

    44 这些就是第一次派去远征作战的兵力。 [6] 这支远征军的军需由 30艘货船运载,船上载有谷物、面包师、石匠和木匠,以及修筑军事要 塞的多种工具,还有100条小船一同前往,它们与运输船一样是征发而 来的,除此之外,还有很多小船和货船自愿跟随远征军前去做生意。这 些舰船现在全部离开科基拉,一起横渡伊奥尼亚海。[2]全体远征军 抵达伊阿皮吉亚海角和塔林敦或其他地点,然后他们沿意大利海岸航 行,沿途城市不与他们进行贸易,也不许他们进城,只给予他们取水和 停泊的自由,甚至在塔林敦和罗克里斯,他们连这一点便利也得不到。 他们一直到了意大利半岛最顶端的瑞吉昂。[3]他们终于在瑞吉昂又 集合起来,但瑞吉昂人不允许他们进城,他们只好在城外阿尔特密斯神 庙的圣地上扎营,瑞吉昂人给他们提供一个市场,他们把舰船靠岸,没 有继续前进。同时,他们与瑞吉昂人开始谈判,劝说他们援助同族伦提 尼人,因为他们都是起源于卡尔基斯人的; [7] 对此,瑞吉昂人回答 说,他们不愿参加任何一方,他们要等待其他意大利的希腊人有一个共 同的决定,再按决定行事。[4]于是雅典人现在开始考虑在西西里的 最佳行动方案,同时等待派往爱吉斯泰的舰船归来,以便了解爱吉斯泰 使者在雅典所说的款项是不是真的存在。

    45 与此同时,四面八方的消息传到叙拉古,这些消息与他们派往 各地搜集情报的官员传回的确切情报一致,即雅典舰队已经集结在瑞吉 昂了;对此,他们不再怀疑雅典人来犯的真实性,并且全力以赴投入备 战工作。出于事态的需要,他们派遣卫兵或使者前往西克尔人居住区, 派遣驻防军进入皮里波里驻防据点 [8] ;检查城内的马匹和武器装备, 做到万无一失。他们又做好其他方面的备战工作,以便随时投入战斗。

    46 同时,原先派出去的3艘船从爱吉斯泰返回雅典人在瑞吉昂的营 地,带回的消息说与爱吉斯泰使者所承诺的款项数额相差甚远,他们总 共只能提供30塔连特。[2]将军们有些灰心丧气了,因为爱吉斯泰人 一开始就令其失望,而且瑞吉昂人又拒绝加入他们的远征军。瑞吉昂人 是他们首先要争取的对象,并且是最有希望争取过来的,因为瑞吉昂人 与伦提尼人是同族关系,并且与雅典长期保持友好关系。尼基阿斯对于 来自爱吉斯泰的消息尚有思想准备,而其他两位同僚将军则完全没有预 料到。 [3]当雅典的第一批使者考察爱吉斯泰人的资源的时候,他们利 用下列计策应付雅典使者。他们把雅典使者带到爱里克斯的阿芙洛狄特 神庙,向雅典使者展示神庙中的贡物—碗、酒勺、香炉,以及大量的其 他餐具,这些都是银的,给人一种殷实富有的印象,但是其实际价值却 很小。他们又在私人家中款待雅典船员,他们把爱吉斯泰全城的金银杯 子都搜集起来,或者从邻近的腓尼基人和希腊人的城镇借来金银杯子, 每家在设宴时,把这些金银杯子作为自家的财物拿出来。[4]因为款 待雅典船员所用的都是基本相同的精致餐具,而且到处都可以看到有大 量的这种餐具,这对雅典的船员最具迷惑性,他们在回国以后,便大肆 宣扬他们所亲眼目睹的爱吉斯泰人的富裕。他们被欺骗了—由于他们的 宣传又使其他人也受骗了—当爱吉斯泰人并没有预料中的大量金银的消 息传开后,他们遭到士兵们强烈谴责。与此同时,将军们磋商下一步行 动方案。

    47 尼基阿斯主张全军起航开赴塞林努斯,这是远征军的主要目 标。如果爱吉斯泰人能够为全军提供费用就再商议这个问题,但是,如 果爱吉斯泰人无力提供费用,就要求爱吉斯泰人向他们所请求的60艘舰 船提供给养,驻扎下来通过武力或协商的办法解决爱吉斯泰人与塞林努 斯人之间的争端,随后沿海岸航行,经过其他城市,展示雅典的实力, 并表示雅典在热心帮助他们的朋友和盟邦之后,就率军回国(除非他们 获得某种突然的和意料之外的机遇帮助伦提尼人,或者使其他城邦投到 他们一边来),而不是浪费邦国的资源,使邦国陷入危险的境地。

    48 阿尔基比阿德斯则说,这样庞大的一支远征军决不应该一无所 获地回国,这样会给他们带来耻辱;他们应该向除塞林努斯和叙拉古以 外的城邦派遣传令官,设法使一部分西克尔人叛离叙拉古,并争取与另 一部分西克尔人建立友好关系,使他们能够从这些人中间得到谷物和军 队。首先是争取麦西那的支持,麦西那是进入西西里的门户,在他们的 正前方,能为远征军提供一个优良港口和基地。把这些城邦争取过来后 就知道谁会成为战争中的盟友,他们才可以最后进攻叙拉古和塞林努 斯;除非塞林努斯与爱吉斯泰达成协议,叙拉古不再反对他们收复伦提 尼。

    49 另一方面,拉马库斯说,他们应该直接驶往叙拉古,立即在叙 拉古城下作战,叙拉古人这时还没有准备,他们会非常恐慌的。[2] 每一支军队在开始的时候是最令人畏惧的;如果随着时间的推移而军队 没有出现,人们的勇气就会得以恢复,当军队终于出现时,他们便几乎 毫不畏惧了。当叙拉古人对他们的到来还战栗不安的时候,给叙拉古人 以突然袭击,他们最有获胜的机会,因为他们这支人数众多的军队将挫 伤叙拉古人的锐气并使之完全陷入恐惧之中—这里从未出现过人数如此 众多的军队—因为他们已预料到即将到来的灾难,最重要的是马上就要 交战的危险。[3]他补充说,也许很多叙拉古人还在城外的乡村,因 为他们不相信雅典远征军会来;这时叙拉古人正在把财产运进城里,如 果军队马上控制了乡村,并在城下驻扎下来,军队是不会缺少掳获物 的。[4]其余的西西里的希腊人随即不愿意与叙拉古人结盟,而愿意 加入雅典同盟,不再等待看哪一方是最强大的了。他们必须把麦加拉 [9] 作为海军退守和进攻的基地:这里荒无人烟,从陆上和海上都距叙 拉古不远。

    50 拉马库斯提出上述意见后,仍表示支持阿尔基比阿德斯的主 张。随后,阿尔基比阿德斯率领他自己的舰船前往麦西那,建议与麦西 那缔结同盟,但没有成功。麦西那人答复雅典人说,他们愿意在城外给 雅典人提供一个市场,但雅典人不能进城。于是,阿尔基比阿德斯只好 率领船队驶回瑞吉昂。[2]紧接着,将军们从远征舰船中挑选出60艘 舰船,配备好船员和粮食,沿海岸驶往那克索斯,把其余军队留在瑞吉 昂,由一名将军指挥。[3]那克索斯人迎接他们入城,于是他们沿海 岸前往卡塔那,但卡塔那人拒绝他们进城,因卡塔那城内有一个亲叙拉 古集团。他们继续航行到泰里亚斯河畔,[4]当晚在那里宿营,第二 天全部舰船排成单列纵队向叙拉古进发,有10艘舰船作为先遣部队驶入 叙拉古的大港中,看看是否有叙拉古的舰队前来迎战,并且由传令官在 船上宣布,雅典人来此是为伦提尼人恢复家园的,因为他们有同盟关系 和同族关系,因此,在叙拉古的伦提尼人不用害怕,他们应该离开叙拉 古,前来与自己的朋友和恩人雅典人联合在一起。[5]他们在发布这 个公告后,对这个城市和港口以及本地区的地形特征作了一番勘察,看 他们必须选择哪一个地方作为军事行动的基地。随后他们又返回卡塔那 去了。

    51 卡塔那人举行公民大会,尽管卡塔那人不许雅典军队进城,但 是他们邀请雅典将军们进城述说来意。当阿尔基比阿德斯发表演讲,公 民们全神贯注于会议时,雅典士兵冲破修筑不牢固的城墙后门,而未被 卡塔那人发现,他们进城后成群结队地聚集在市场上。[2]卡塔那的 亲叙拉古党人在城内一看见雅典军队就恐惧不安而逃走了,他们人数不 多;其他卡塔那人投票赞同与雅典人结盟,邀请他们把其余军队从瑞吉 昂带到卡塔那。[3]随后,雅典人乘船前往瑞吉昂。这次雅典远征军 全部从瑞吉昂开往卡塔那。一到卡塔那,他们就着手建筑他们的营寨。

    52 同时,从卡马林那传来消息,如果他们前往那里,卡马林那将 倒向他们一边;叙拉古人也正在装备一支舰队。因此,雅典人全军出 动,沿海岸首先抵达叙拉古,但没有发现叙拉古人装备舰队,于是继续 沿海岸航行到达卡马林那。他们靠岸后派遣传令官进城去,但卡马林那 人不许他们进城,声称他们受誓言的约束,只接待乘单独一艘船来此的 雅典人,除非他们自己请求派遣更多的舰船。[2]失望之余,雅典人 再次撤走。他们在叙拉古人的领土上登陆,进行劫掠,几名掉队的轻装 步兵落入叙拉古骑兵之手。他们就这样又回到卡塔那。

    53 在卡塔那,他们发现来自雅典的“萨拉明尼亚”号战舰, [10] 奉命 前来要求阿尔基比阿德斯回国就国家对他所提出的控告进行答辩,同时 要求一些被指控在秘密祭祀中犯有亵渎行为和与赫尔墨斯神像事件有牵 连的士兵回国。[2]远征军出发后,雅典人仍旧像从前那样积极地调 查秘密祭祀和赫尔墨斯神像事件的真相。他们并不去调查告密者的品 行,而是把各种无关紧要的传言都当作怀疑的理由,仅凭无赖之徒所提 供的证据就将最优秀的公民逮捕入狱。他们认为最好是这样追查到底, 而被告发的人,不管他的名誉多么好,也不能因为告密者的品行坏而逃 避审问。 [3]在庇西特拉图和他的儿子们的僭主政治被推翻之前,雅典民 众就知道他们是如何压迫人民的;他们也知道,最终推翻僭主政治的不 是他们自己和哈摩狄乌斯,而是拉栖代梦人 [11] 。因此,雅典民众总是 担惊受怕,对所有事情都抱着怀疑的态度。

    54 实际上,阿里斯托吉吞和哈摩狄乌斯的勇敢行为 [12] 是因为一起 恋爱事件 [13] 促成的,对此我将详细地加以说明,以证明雅典人并不比 世界上其他人民更准确地了解他们自己的僭主和本邦的历史事实。(见 图15)[2]庇西特拉图去世前 [14] ,虽年事已高,但仍为僭主。他死 后,其长子希皮亚斯继任僭主,而不是如大多数人所想象的,是希帕库 斯。当时,哈摩狄乌斯风华正茂,一表人才,一个中产阶层的公民阿里 斯托吉吞爱恋着并占有着他。[3]庇西特拉图之子希帕库斯 [15] 曾想 诱奸哈摩狄乌斯,但未成功,哈摩狄乌斯将此事告诉热恋中的情人阿里 斯托吉吞,并担心希帕库斯依仗权势以武力占有他。于是,阿里斯托吉 吞立即制定计划,施出浑身解数,力图推翻僭主政治。[4]与此同 时,希帕库斯企图第二次诱奸哈摩狄乌斯,还是未获成功。其后他不愿 采用暴力方式,企图用某种隐蔽方式侮辱哈摩狄乌斯。[5]事实上, 对于他们的政府,民众们普遍感到尚能忍受,对于他们的统治也无怨 恨;这些僭主们 [16] 表现出高度的智慧和至高的美德, 他们对雅典人所 征的税不过雅典人收入的5% [17] ,而他们不但极大地改善了雅典的面 貌,而且还进行了战争,并为诸神庙奉献牺牲。[6]在其他方面,城 邦完全按原有法律进行治理,他们只是设法确保其家族成员中有一人总 是担任公职。在这些担任执政官的人员中,僭主希皮亚斯之子庇西特拉 图,在雅典担任一年一任的执政官。他因为他祖父的关系,名字也叫庇 西特拉图。他在 图15 “刺杀僭主者”(罗马复制品) 任职期间,在市场所在地修筑了十二神祇的祭坛,在皮西亚圣域内 建造了阿波罗祭坛。[7]后来雅典人民把祭坛延伸到市场所在地,擦 去祭坛上的铭文,但皮西亚圣域内的铭文仍依稀可见。铭文如下: 希皮亚斯之子庇西特拉图, 在皮西亚的阿波罗的圣域内竖立此纪念碑, 作为他担任执政官的记录。

    55 希皮亚斯是长子,继承了统治权,对于这一事实,我可以绝对 肯定,因为我所根据的传说比其他人更确切些。 [18] 这一点也可以由下 述情况得到印证。在所有合法的兄弟中,只有希皮亚斯曾有过子女,祭 坛和雅典卫城上记载僭主们的罪行的石柱没有提及帖萨鲁斯或希帕库斯 的子女,但记载了希皮亚斯的五个子女,他们是由海帕奇德斯之子卡里 阿斯的女儿米尔林涅所生;长兄自然是最早成婚的。[2]而且,在石 柱上,他的名字仅排在其父亲的大名之后,这也是非常自然的,因为除 他的父亲外,他是最年长的,又是现任的僭主。如果希帕库斯在被杀害 时掌握政权,而希皮亚斯不得不在当天夺取政权的话,[3]我根本不 相信希皮亚斯会如此轻易地建立起僭主政治。但是,毫无疑问,他长期 以来就习惯于威慑公民,使雇佣兵服从他的指挥,这样,不仅征服了他 们,而且是轻松地征服了他们;如果是他的弟弟的话,可能因为此前没 有掌握政权的经验而遭遇种种挫折。[4]希帕库斯因其悲惨命运而闻 名于世,也使后世相信他是当时的僭主。

    56 现在回过头来说说哈摩狄乌斯。希帕库斯诱奸哈摩狄乌斯受挫 之后,下决心要羞辱他。希帕库斯先是邀请哈摩狄乌斯的妹妹,一个年 轻女孩,作为持篮者前来参加一个节日游行,届时却又拒绝她参加,借 口是说她根本没有被邀请,因为她不配参加游行。 [19] [2]哈摩狄乌 斯对此大为光火,阿里斯托吉吞因为他的缘故而变得更为恼怒。他们与 同谋者把一切安排妥当,他们只等待大泛雅典人节 [20] 的到来,在这个 庄重的节日,参加游行的公民可以携带武器聚集在一起,而不至于引起 怀疑。阿里斯托吉吞和哈摩狄乌斯首先起事,他们的同谋者立即响应, 进攻卫队。[3]为了安全起见,密谋起事者人数不宜很多,他们还希 望那些没有参加密谋的人在少数起事者的勇敢精神感召下行动起来,利 用他们手中的武器,力争恢复他们自己的自由。 57 节日终于到了。希皮亚斯率领卫队在城外的外陶区 [21] 安排游行 队伍,以使游行有序地进行。哈摩狄乌斯和阿里斯托吉吞手持匕首准备 行动,[2]当他们看见他们的一个同谋者与希皮亚斯亲切交谈(任何 人都很容易接近他),他们感到恐惧了,以为他们的阴谋已被泄露,他 们马上就会被逮捕了。[3]他们希望,如果有可能,就首先报复那个 伤害他们、使他们冒一切危险的人。于是,他们冲进城门,在列奥科里 昂 [22] 遇到希帕库斯,他们在盛怒之下,立即不顾一切地袭击他,阿里 斯托吉吞因为爱情而愤怒,哈摩狄乌斯因为受辱而愤怒。他们把他击倒 杀死了。因为群众围拢上来,阿里斯托吉吞暂时逃脱了卫兵的捉拿;但 后来被捉住,受尽磨难而死,哈摩狄乌斯则被当场杀死。

    58 在制陶区的希皮亚斯获悉这个消息后,他并未立即赶往谋杀现 场,而是赶往手持武器的游行队伍那里去,因为武装的游行者离谋杀现 场相当远,当时他们还不知道谋杀事件。他镇定自若,看上去若无其 事,他指着一个地方,命令游行者放下武器,前去那里集合。[2]于 是,游行者按照他的命令,撤往指定地点,他们以为他有什么事要向他 们说;希皮亚斯命令他的雇佣军收取武器,就地逮捕他认为有罪的人和 所有被查出携带匕首的人, [23] 因为在游行时通常是只许配带盾和矛 的。

    59 就这样,哈摩狄乌斯和阿里斯托吉吞由于爱情受到伤害而首先 谋划阴谋,接着临场的恐慌又使他们鲁莽行事。[2]这个事件发生以 后,僭主政治对于雅典人的压迫愈加沉重了。希皮亚斯现在变得更加忧 惧,非但处死了很多公民,还开始把目光转向海外,以寻找一个一旦发 生革命时可以避难的地方。[3]这样,尽管他是一个雅典人,他把女 儿阿奇狄丝许配给一个兰普萨库斯人——兰普萨库斯僭主之子埃安提德 斯,因为他们在大流士面前很有势力。在兰普萨库斯有阿奇狄丝的坟 墓,墓碑上刻有如下铭文 [24] : 阿奇狄丝长眠于此, 她生于雅典,父亲是希皮亚斯; 但她从不狂妄自大, 尽管她的父亲和丈夫、她的兄弟们和儿子们都是僭主。 [4]希皮亚斯又统治了雅典三年,在第四年被拉栖代梦人和被驱 逐的阿尔克麦昂家族所废黜 [25] 。他被护送到西吉昂,后来又到了兰普 萨库斯的埃安提德斯那里,再由此地抵达大流士的王廷;20年后,年事 已高的希皮亚斯从波斯王廷出发,随波斯人出征来到马拉松。 [26]

    60 雅典人对这些事件记忆犹新,每当听到这方面的传闻,他们就 会回想起这些事件;其时雅典人民变得情绪焦躁,对因神秘祭祀事件而 受指控的人持怀疑的态度,认为发生的一切都是企图建立寡头制和僭主 政治的阴谋的组成部分。[2]这样,在群情激愤的情况下,许多颇有 影响的人士被投入监狱,紧张形势并没有缓和的迹象,人民的激愤情绪 与日俱增,越来越多的人被逮捕;直到最后有一个被监禁的人 [27] 被认 为是首恶分子,他在被监禁的伙伴劝导下主动出来交代罪过。对于他所 交代的情况是真还是假有两种看法,无论在当时还是后来,都没人能够 确切地说出这事是谁做的。[3]但是,情况也许是这样的,一起被监 禁的其他人设法说服他,说即使他本来没有做那事,他也应该予以自 认,以求获得不受惩罚的承诺而使自己得到安全,同时也可结束当前城 邦内部胡乱猜疑的状况;因为如果他在获得免于处罚的承诺后供认其所 作所为,比他矢口否认并被带去审判肯定要安全得多。[4]因此,他 自己供认,假装他和其他人参与了赫尔墨斯神像事件;雅典人民认为终 于查出了事实真相而大为高兴,因为此前他们一直因没能查出那些阴谋 颠覆民主制的人而怒不可遏。他们立即释放了认罪者本人和所有没有被 认罪者告发的其他人,并把被告发人通通予以审判,凡被捉到的被一律 处死;对于那些在逃者判处死刑,并悬赏缉拿其首级。[5]在这个事 件中,很难说清楚受难者是否受到了不公正的惩罚,但无论如何,城邦 内其余的人立即获得极大的宽慰。

    61 再来看看阿尔基比阿德斯所面临的局面:公众情绪非常敌视 他,那些在他率军出征前攻击他的敌人现在又攻击他了;现在雅典人认 为,既然他们已经弄清了赫尔墨斯神像事件的真相,他们就比从前更加 坚信神秘祭祀事件也确有其事,认为阿尔基比阿德斯与神秘祭祀事件有 牵连,并参与了此事,其意图与赫尔墨斯神像事件一样,与推翻民主制 的阴谋有关。[2]正当对阿尔基比阿德斯的敌视情绪被煽动起来的时 候,碰巧拉栖代梦人的一小支军队行至地峡,履行他们与波奥提亚人商 订的某项计划。现在,雅典人以为拉栖代梦人赶往地峡是与阿尔基比阿 德斯有约在先的,是阿尔基比阿德斯指使的结果,与波奥提亚人毫无关 系;如果雅典公民不依据现有情报采取行动,先发制人,逮捕涉嫌者, 雅典城邦将会被出卖。[3]公民们竟在城内的提秀斯神庙中全副武装 地睡了一整夜。正在这时,阿尔基比阿德斯在阿尔哥斯的朋友也被怀疑 有推翻民主制的图谋,于是,雅典人把他们过去拘押在岛屿上的阿尔哥 斯人质 [28] 移交给阿尔哥斯民众,后者以上述理由将他们处死。[4] 总之,各地所发生的事件都促成了对阿尔基比阿德斯的怀疑。因此,雅 典人作出决定,把阿尔基比阿德斯召回国予以审判,欲将他置之死地。 因此,他们派出“萨拉明尼亚”号战舰到西西里召回阿尔基比阿德斯和其 他被告发的人。派去召回阿尔基比阿德斯的人接受的命令是要他回国, 就对他的指控进行自辩,[5]而不是逮捕他。因为他们希望避免在远 征军中或在西西里的敌人中间引起骚动,特别是想留住曼丁尼亚人和阿 尔哥斯人在远征军中服务,据认为他们是在阿尔基比阿德斯影响下才被 说服前来参加远征军的。[6]阿尔基比阿德斯和其他被指控的人乘坐 自己的舰船与“萨拉明尼亚”号战舰一起从西西里起航,似乎是要返回雅 典。他们航行到图里伊的时候,阿尔基比阿德斯及其同伴们弃船而逃, 因为他们害怕回国后受到对他们抱有偏见的审判。[7]“萨拉明尼 亚”号战舰上的船员们花费了一些时间四处搜寻阿尔基比阿德斯及其同 伴们,结果一无所获,只好启程回国。现在,阿尔基比阿德斯已成为一 名不受法律保护的人了。不久,他乘一条小船从图里伊渡海前往伯罗奔 尼撒;雅典人就对他缺席审判,宣布判处阿尔基比阿德斯及其同伴死 刑。

    [1] 雅典人自然希望从科基拉渡海到塔林敦,然后沿海岸前往麦西那。如果西西里的希腊人把塔林敦作 为他们的根据地,那么,雅典人就不得不横渡公海,而那是一件很危险的事。—史译本注 [2] 即错过进兵西西里的季节。 [3] 指尼基阿斯。参阅修昔底德,VI. 24。 [4] 史译本和昭译本的此节还有一句“简言之,我认为他们将无法在陆地上取得立足点,因为我认为我们 的军队比他们强大得多”。 [5] 泰提斯(Thetes)即雅典公民中的财产最少的第四等级(贫民级),由于他们无力自费置办重装步 兵的装备,因而服兵役时通常只在舰船充任桡手,只有在非常时刻,像这次一样,才做舰上战斗人员,身披重 装步兵的盔甲。这些装备很可能是由公费承担的。 [6] 参阅修昔底德,VI. 31。 [7] 参阅斯特拉波,VI. 257。 [8] 这些据点平时由本邦年轻公民驻守,分布于全国各地。 [9] 即海布隆的麦加拉,塞林努斯的母邦。 [10] 参阅修昔底德,III. 33。 [11] 在克里奥蒙尼的指挥下,公元前510年。参阅修昔底德,I. 126。 [12] 公元前514年。 [13] 以下所讲述的是一个同性恋的故事。 [14] 大概是在公元前527年。 [15] 亚里士多德在《雅典政制》(XVIII. 1—4)中提到,爱恋哈摩狄乌斯的是希帕库斯的弟弟帖撒鲁 斯,而不是希帕库斯本人。 [16] 指庇西特拉图家族。 [17] 亚里士多德在《雅典政制》(XVI. 4—5)中说税率为10%,谢译本(第461—462页)说此贡税 是“财产的1/20”。财产的5%与收入的5%显然不是同一概念。 [18] 这似乎是指修昔底德斯和庇西特拉图家族有近亲关系,所以由于口耳相传,他得到了比较正确的消 息。但是这个说法也未必可靠。 [19] 在节日中携带装着宗教仪式必需品的篮子的这种职务是很光荣的,所以拒绝一个少女担任这种职 务,被看作是对于她的家族一个莫大的侮辱。 [20] 参阅修昔底德,V. 47附注。 [21] 雅典的制陶区分为内外两个区域。参阅地图三。 [22] 古代阿提卡之王列奥斯的女儿们的神殿,她们是在一场饥荒中为国家牺牲的。这个神殿在内陶区内 保护神阿波罗神庙附近。—史译本注 [23] 亚里士多德在《雅典政制》(XVIII. 4—5)中指出,这种说法是不正确的。 [24] 据说,这是科斯人西蒙尼德斯所作(亚里士多德:《修辞学》,I. 9)。 [25] 公元前510年。 [26] 参阅希罗多德,VI. 107—108。 [27] 雅典演说家安多基德斯(Andocides)在公元前399年所发表演说词《论密仪》(De Mysteriis )中 说到此事。据安多基德斯说,劝说他的人是他的表哥卡米德斯(Charmides);据普鲁塔克(《传记集·阿尔基 比阿德斯传》,II)的记载,这个人是提玛尤斯(Timaeus)。安氏的演说辞有晏绍祥之中译本。参阅北京大 学希腊研究中心主办,彭小瑜、张绪山主编:《西学研究》,第一辑,商务印书馆2003年版,第402—450页。 公元前415年,当雅典舰队即将出征西西里之时,在雅典发生了两起渎神案。一位名叫皮托尼库斯的人在公民 大会上指控阿尔基比阿德斯,称其最近和一帮朋友在酒醉之后模仿埃琉西斯密仪,并提供了一个目击证人。密 仪一直是雅典最神圣的节日之一,外人不得参与,更不能容忍别人的嘲弄。因此,他的指控令雅典舆论大哗。 同时,在远征军出发前的某天夜里,雅典城内几乎所有的赫尔墨斯神像突然遭到破坏。两件渎神案使雅典人心 惶惶,人们怀疑寡头派企图发动推翻民主制的政变。于是,公民大会立即成立一个专门委员会调查此案,并且 悬赏给那些提供线索者。安多基德斯一家卷入此案,并且被监禁。安氏为求解脱,自己提供了有关线索,并因 此而免于被起诉。当追究渎神者的法令通过后,安氏不得不逃亡海外。公元前403年雅典民主制得以重建,实 施大赦,他重返雅典,公民权也得以恢复。为回应政敌的指控,安氏旧案重提,最终胜诉。 [28] 参阅修昔底德,V. 84。

    第二十章 战争的第十七年和第十八年。雅典军队的怠 惰。阿尔基比阿德斯在斯巴达。围攻叙拉古。

    62 留在西西里的雅典将军们现在把全军分为两部分,两人通过抽 签决定指挥哪一部分。他们统率全军驶往塞林努斯和爱吉斯泰,希望弄 清楚爱吉斯泰人是否可以提供金钱,并查看塞林努斯和爱吉斯泰所争执 的地方。[2]他们沿西西里面对着第勒尼安海湾的海岸航行,海岸在 其左边,他们在希麦拉靠岸,这是西西里岛这一区域内唯一的一个希腊 人城邦,但希麦拉人不许他们进城,他们只好继续航行。[3]在航行 途中,他们占领了滨海城镇海卡拉,它是属于西坎尼亚人的,却与爱吉 斯泰为敌。雅典人把当地居民变为奴隶,把该城镇交给爱吉斯泰人,而 爱吉斯泰人的一些骑兵加入雅典军队。之后,当他们的舰队携带着奴隶 沿海岸航行的时候,他们的陆军则穿过西克尔人的领土直抵卡塔那。 [4]尼基阿斯从海卡拉沿海岸直接驶往爱吉斯泰,他在收到30塔连特 并处理其他事务后,与其余的军队重新会合。这时他们卖掉奴隶,共得 120塔连特。[5]他们在西克尔诸盟邦中间穿梭航行,劝说他们的西克 尔盟邦提供军队;同时,派遣他们自己的一半军队前去进攻革拉境内的 敌对城镇海布拉,但是这一行动未获成功。现在夏季结束了。

    63 接下来在冬季里, [1] 雅典人立即着手准备进攻叙拉古,而叙拉 古人也正准备前来迎击他们。[2]起初,叙拉古人感到畏惧,原以为 雅典人会马上来进攻他们,然而雅典人并没有立即发动进攻。随着时间 的推移,他们做了一些准备工作,勇气日增。叙拉古人看到,雅典人远 离他们在西西里岛的另一侧航行,他们猛攻海布拉居然没能得手,叙拉 古人便更加藐视雅典人了;他们像民众们信心十足时常做的那样,请求 将军们领导他们去进攻卡塔那,因为雅典人不会前来攻击他们。[3] 叙拉古人的多个骑兵队不断前往雅典军队营地进行侦察活动,除了给予 他们以其他侮辱性言辞外,他们还问雅典人是否真的自己想前来与叙拉 古人一起定居在异国他乡,而不是想把伦提尼人重新安置在他们自己的 土地上。

    64 雅典的将军们得知这种情况,决定引诱叙拉古全军出来,尽可 能地远离他们的城市,同时雅典军队在夜间沿海岸航行,从容地占据有 利的阵地。他们知道,如果他们不得不在面对有备而来的敌军抵抗的情 况下登陆,或者不得不公然从陆路上进军,那他们是不可能顺利地实施 这个作战计划的。为数众多的叙拉古骑兵(而这正是他们自己所没有 的)将能够最有效地杀伤他们的轻装部队和随从人员。但是,如果这个 计划得以实施,他们就将占据一个叙拉古骑兵无法有效杀伤他们的阵 地,这个阵地是随军而来的叙拉古流亡者告诉他们的,它位于奥林匹亚 昂 [2] 附近的一个地方,雅典人随后占据这个地方。雅典将军们采取下 述策略实施其作战计划。[2]他们派遣一名忠于他们的人到叙拉古 去,而他又被叙拉古的将军们认为是对他们有用的人;他是一个卡塔那 的本地人,自称是卡塔那的某些人派来的,那些人的名字是叙拉古的将 军们所熟悉的,他们知道那些人是留在卡塔那城内的亲叙拉古党人。 [3]他告诉叙拉古的将军们,雅典人夜晚在城里歇息时,与他们的武 器存放地有一段距离;如果叙拉古人指定一个日期,在黎明时以全军进 攻雅典远征军的话,他们,作为叙拉古人的朋友,将关闭营门,把雅典 军队关在军营内,然后纵火焚烧雅典人的舰船,这时叙拉古人再来进攻 雅典军队营地的栅栏,就会轻而易举地攻克雅典军队的营寨。现在很多 卡塔那人愿意帮助叙拉古人做这项工作,卡塔那人准备马上采取行动, 他本人就是他们当中的一员。

    65 其实叙拉古的将军们对整个形势是有信心的,即使没有这个消 息,他们也准备进军卡塔那;他们过于草率地相信了这个人,并且立即 确定他们进军卡塔那的日期,打发他回去了。这时,塞林努斯人和其他 的同盟者已经抵达叙拉古,将军们下令叙拉古全军整装出发。当一切准 备停当,约定的日期即将到来之时,他们向卡塔那进发,当晚在伦提尼 境内的西迈苏斯河畔宿营。[2]与此同时,雅典人获悉叙拉古人出发 上路后,就率领全体远征军以及所有参加远征行动的西克尔人和其他 人,登上他们的战舰和小船,在夜间向叙拉古驶去。[3]这样,黎明 时分,当雅典人在奥林匹亚昂对面登陆,准备占据一个据点构筑营地 时,叙拉古的骑兵率先抵达卡塔那,他们发现雅典全军都已登船出海, 便立即返回,把这个消息告诉他们的步兵,叙拉古全军随即撤回,以挽 救他们的城市。

    66 同时,由于雅典人与叙拉古人相距甚远,雅典人得以从容不迫 地部署军队,占据有利的阵地。凭借这个阵地,他们可以随时发动攻 势,而叙拉古的骑兵,无论在战前还是在战斗期间都极少有机会来骚扰 他们。他们阵地的一面有墙、房屋、树林和沼泽作掩护,而另一面则是 陡峭的悬崖。[2]他们又砍伐附近的树木,运到海边,沿着他们舰船 构筑了一道栅栏。达斯孔是他们阵地中最容易受到攻击的地方,他们用 捡来的石块和木材在达斯孔匆匆地筑成一个堡垒,并且拆毁了阿纳普斯 河上的桥梁。[3]他们在做这些准备工作的时候,没有受到任何城内 居民的阻挠。首先出现的敌军是叙拉古的骑兵,紧随其后的是叙拉古的 全体步兵。起初他们逐渐逼近雅典军营,后来他们发现并未遭到雅典人 的攻击,于是,他们撤退,跨过希洛林大道,当晚就驻扎在那里。

    67 翌日,雅典人及其同盟者准备投入战斗。他们的兵力部署如 下:右翼为阿尔哥斯人和曼丁尼亚人,雅典人在中央,其余的阵线由其 他同盟者担当。军队的一半排成8排,作为突前部分,另一半也排成8 排,围绕他们的营帐,中央形成一个空心四方形,他们接受的命令是保 持警惕,随时准备前去援助受到压力最大的那部分军队。后勤人员被安 置在四方形之中。[2]同时,叙拉古人把他们的重装步兵排成纵深16 排的队列。它包括所有征募到的叙拉古人和已经参战的盟军,盟军之中 最具战斗力的是塞林努斯人;其次是革拉的骑兵,有200人,还有来自 卡马林那的20名骑兵和50名弓箭手。骑兵位于右翼,足有1200名,他们 的旁边是标枪手。[3]当雅典人将要开始进攻的时候,尼基阿斯沿队 伍巡视,用言辞向雅典军队,向各族士兵表示激励,内容如下:

    68 “士兵们!我不必用冗长的演说来鼓励你们,因为咱们都在同一 条战壕中。在我看来,与向羸弱之师发表娓娓动听的演讲相比,我们军 队的实力本身更能激发我们的信心。[2]我们有阿尔哥斯人、曼丁尼 亚人、雅典人和第一流的岛民联合在一起,再加上人数如此众多、全副 武装的勇士,如果我们对胜利没有信心的话,那实在是咄咄怪事了。特 别是,与我们的精锐之师对阵的是战时临时征募的民兵,更重要的是, 西西里的希腊人,他们也许蔑视我们,却无法抵抗我们,因为他们虽然 勇猛,但是缺乏实战技术。[3]我们还要记住,我们远离家乡,在邻 近地区我们没有友邦,除非你们用手中之剑赢得盟友。我对你们所作的 演说的主旨与敌人的演讲正相反:他们声称,他们是为自己的祖国而 战,而我说,我们将为一个不属于我们自己的国家而战斗,在这里,我 们必须征服他们,否则我们将在劫难逃,因为我们将受到他们大队骑兵 的追杀。[4]因此,你们要牢记你们的荣誉,勇敢向前,进攻敌人; 要知道,我们现在的窘迫和困难比敌人更严重。”

    69 尼基阿斯演讲完毕,立即率领军队向前推进。叙拉古人当时并 未预料到两军会马上交战,有些人甚至进城去了,因为城市就在附近。 这些叙拉古人尽管迟到了,仍尽快赶赴现场,尽快加入主力部队,就近 进入阵地。的确,无论是在这次战役还是在随后的其他战役中,叙拉古 人并不缺乏战斗激情和勇气。但是,叙拉古人不乏勇敢精神,那只是就 他们已有的军事经验而言的,当由于这方面的原因而使他们失败之时, 他们也会被迫放弃那种决战精神的。在这次战役中,虽然他们没有预料 到雅典人首先发起进攻,虽然他们被迫仓促应战,但他们还是立即拿起 武器,前来迎击敌人。[2]首先是两军的投石手、弹石手和弓箭手开 始进行小规模战斗,双方互有胜负,这是轻装步兵作战时常见的现象; 接着,预言者呈上常规祭品,号手们向重装步兵吹响了进军的号角,于 是重装步兵奉命进攻。[3]叙拉古人为他们的祖国而战,每一个人都 为目前的生命安全和将来的自由而战;在敌军方面,雅典人作战旨在征 服别人的国家,是为了避免自己的祖国因他们远征的失败而遭受损害而 战;阿尔哥斯人和独立的同盟者帮助雅典人,以求获得他们前来想要得 到的东西,如若取胜,他们还可以再次见到阔别已久的祖国;而那些臣 属的同盟者最热心于保全自己,赢得胜利是其唯一希望,其次,他们所 考虑的是:在帮助雅典人征服新的领土后,作为臣民,他们有机会使自 己的条件稍有改善。

    70 现在两军交战了。双方互不相让,相持了相当长的时间。这 时,电闪雷鸣,大雨如注,这种情况增加了叙拉古人的恐惧感,因为他 们是第一次作战,对于战争很不熟悉;而对于更富有实战经验的他们的 对手 [3] 而言,这种现象只不过是这个季节的自然现象而已,他们感到 大为惊恐的是敌人持续的顽强抵抗。[2]最后,阿尔哥斯人突入叙拉 古人的左翼,接着,雅典人击溃抵抗他们的军队,这样,叙拉古人的队 伍被拦腰截断,士兵们开始逃跑。[3]雅典人并未追出多远,因为数 量众多且从未战败的叙拉古骑兵阻止了他们。叙拉古骑兵发现雅典重装 步兵在前面追杀他们的其他部队后,就向雅典重装步兵发起进攻,把他 们赶了回去。尽管雅典人遭到反击,但作为胜利者,仍在整队安全的情 况下追逐敌人,随后他们返回自己的阵地,竖立了一块胜利纪念碑。 [4]与此同时,叙拉古人聚集在希洛林大道上,在战败的情况下,尽 量重新排好队形,甚至派遣一支由叙拉古公民组成的驻军赶赴奥林匹亚 昂,他们担心雅典人可能会掠夺贮存在那里的金银财物。其余的叙拉古 人又回到城里去了。

    71 但是,雅典人并没有前往奥林匹亚昂,他们搜集了阵亡将士的 尸体,置于火葬柴堆之上,当晚在那里就地露宿。翌日,按照休战协 定,他们把叙拉古人及其同盟者的大约260具尸体移交给叙拉古人;雅 典人及其同盟者把本方阵亡者的遗体搜集起来,共约50具,之后,他们 带着战利品,乘船返回卡塔那。[2]现在冬季到了,在这个时候似乎 不可能与叙拉古人继续进行战争,因为一方面,他们要等待从雅典派来 的骑兵,以及从西西里的盟邦所征募的骑兵—以弥补他们在骑兵方面的 绝对劣势,另一方面,他们要在当地搜集金钱,并请求雅典本土方面提 供金钱;有些城邦,原本就应归附于他们,在这次战役后,雅典希望把 他们争取过来,由这些城邦提供谷物和所有其他必需品,以为来年春季 进攻叙拉古之用。

    72 雅典人带着这种打算乘船前往那克索斯和卡塔那过冬去了。与 此同时,叙拉古人为阵亡将士举行火葬 [4] ,随后召开公民大会。[2] 赫尔蒙之子赫摩克拉特斯 [5] 起来发言。这个人在各方面都是出类拔萃 的,在战争中,他不仅表现出军事才能,而且异常勇敢。现在他为叙拉 古人鼓气,指出他们不能因为遭遇挫折而一蹶不振,[3]因为他们的 精神并未屈服,而缺乏纪律是他们遭受挫折的祸根。就是在这种情况 下,他们也并非像人们所预料的那样不堪一击,特别是考虑到他们在作 战技术上是新手,而对手却是希腊最富有实战经验的军队。[4]他们 的将军人数多达15人,下命令的人太多了,加上军纪涣散,士兵不服从 命令,这是他们受挫的另一重要原因。但是如果只是那几位真正有经验 的人当选为将军,他们利用这个冬季组织重装步兵队伍,为没有武器的 人配备武器,以期最大限度地扩大军队数量,同时强制士兵们一律参加 军训,那么,他们将有很多机会打败对手,因为他们已经有了勇敢,而 训练的结果会使他们在战场上遵章守纪的。事实上,这两方面的素质都 会有所改进的,因为危险的考验将增强他们的纪律性,实战技术的提高 将激发他们的信心,而有了信心,他们就会勇气倍增的。[5]推选出 来的将军,人数应当少,并且应当拥有全权;人民应当对他们宣誓,以 使他们可以完全依照自己的意见履行指挥军队的职责;如果他们采纳这 个方案,他们的保密工作将会做得更好,整个备战工作将会按部就班地 进行,将军们无须不断地对他们所采取的行动进行解释。

    73 叙拉古人听从了他的意见,投票赞成他所提出的各项建议。他 们推选出3名将军,即赫摩克拉特斯本人,吕西马库斯之子赫拉克利德 斯,爱克塞基斯特之子西坎努斯。[2]叙拉古人派遣使者前去科林斯 和拉栖代梦,争取他们派遣盟军加入叙拉古一方作战;他们还劝说拉栖 代梦人为了他们自己的利益向雅典人公开地正式宣战,这样,雅典人或 者被迫撤离西西里,或者难以向他们在西西里的军队增派援军。

    74 在卡塔那的雅典军队现在立即乘船去进攻麦西那 [6] ,指望麦西 那城内的内应把城市出卖给他们。但是这个计划没有成功。因为阿尔基 比阿德斯知道这个秘密计划,当他应召回国交出兵权的时候,已预见到 将成为流亡者,就把这个秘密计划泄露给麦西那的亲叙拉古党人。他们 立即处死那些阴谋的策划者,并且与他们的同党一起拿起武器,攻击反 对党人,从而成功地阻止了雅典人进城。[2]雅典人在那里滞留了13 天,风吹雨淋,粮食缺乏,战事毫无进展,他们只好返回那克索斯。他 们在那里抛锚停泊,在军营四周围起木栅,在那里过冬;同时,他们派 遣一艘三列桨战舰到雅典,请求提供金钱和骑兵,并且希望在开春时能 得到它们。

    75 在这个冬季里,叙拉古人在城外修筑城墙,以便把在泰美尼特 斯的阿波罗神庙圣地 [7] 包围在内,整个城墙面对爱皮波莱一侧,这就 使修筑围攻城墙的长度更长,难度更大,以防万一他们被击败;他们又 在麦加拉和奥林匹亚昂各修建一个要塞,并在沿海岸所有可能登陆的地 方,都钉立木栅。[2]同时,当他们获悉雅典人在那克索斯过冬时, 他们以全军向卡塔那进攻,蹂躏那里的土地,焚烧雅典人的帐篷和营 寨,然后回师。[3]他们还听说,雅典人派遣使者前往卡马林那,依 据在拉齐斯时期所订立的盟约 [8] ,如果有可能,就争取卡马林那的支 持以增强其实力。于是叙拉古人就派遣使者前去卡马林那,做反对雅典 使者的工作。叙拉古人曾经担心卡马林那人在第一次战役时不会很乐于 接受他们的请求而派遣援军;而现在他们害怕卡马林那人在得知雅典人 在这次会战中获胜之后,将不再支持他们,而是根据过去的友好关系, 参加到雅典一边去了。[4]因此,赫摩克拉特斯及其同伴从叙拉古赶 到卡马林那,攸菲姆斯及其同伴也从雅典出使卡马林那;卡马林那人召 开公民大会。赫摩克拉特斯想首先攻击雅典人,所以发言如下:

    76 “卡马林那人啊,我们派遣大使来,不是因为我们怕你们因雅典 军队的出现而丧失勇气,而是更怕你们在听取我们的意见之前被他们说 服。[2]雅典军队前来西西里的借口你们是知道的,但是他们的真实 意图,我们都怀疑。我认为,他们的用意不是为伦提尼人恢复家园,而 是把我们逐出我们自己的家园;因为他们的所作所为是完全不合情理 的:他们声称要在西西里加以恢复的城邦,在希腊却予以摧毁;他们爱 护伦提尼的卡尔基斯人,因为后者属于他们的伊奥尼亚血统,而同时他 们却在奴役优波亚的卡尔基斯人,伦提尼人恰恰就是卡尔基斯人的移 民。[3]事实正是如此。在希腊,他们所采取的策略使其大获成功, 而他们现在又试图故技重演,在西西里加以推行。雅典人在被推举为伊 奥尼亚人和与雅典人有种族关系的其他诸盟邦的领袖,并对波斯人进行 报复以后,雅典人就指责一些盟邦没有履行军事义务,一些盟邦互相征 战,指责另一些盟邦的理由则视具体情况而定,他们殚精竭虑,以种种 貌似有理的借口对盟邦求全责备,直到征服所有盟邦。 [9] [4]总之, 在与波斯人作战期间,雅典人不是为了希腊人的自由而战,希腊人也不 是为了自己的自由而战;事实是雅典人力图取代波斯国王来奴役这些希 腊人,战争的结果对希腊人而言只不过是换了个主人而已,新主人确实 比旧主人更聪明,却是更聪明地作恶。

    77 “但是,我们现在不是来向熟悉他们的听众历数一个城邦的罪 行,公开指责雅典人的恶行,更重要的是要责备我们自己。我们知道, 希腊人在这方面已有前车之鉴,他们因为互不援助而遭到了奴役;现在 我们看到,雅典人正试图用同样的诡辩方法来对付我们—诸如恢复他们 的伦提尼的同族人的家园,援助爱吉斯泰的同盟者—而我们还没有团结 起来。我们要坚决地向他们申明:居住在这里的不是伊奥尼亚人,也不 是赫勒斯滂人或岛上居民—他们的主人时常更换,却总是为主人效忠: 有时效忠波斯人,有时效忠其他人—居住在西西里的我们来自独立的伯 罗奔尼撒,我们是自由的多利斯人。[2]难道我们愿意坐以待毙,听 任我们的城邦被逐一征服吗?我们知道,他们没有别的办法能够征服我 们,便转而求助于这个诡辩方法,他们巧言令色,在我们的城邦中间制 造分裂,他们以与其结盟为诱饵,引诱和唆使我们的某些城邦相互开 战,而对其他一些城邦则巧言笼络,然后不择手段地毁灭他们。那些远 离我们的西西里同胞们率先遭到灭顶之灾的时候,难道我们还能幻想这 种危险不会降临在我们每个人的头上,或者这种灾难只会降临到在我们 之前遭难的人的头上吗?

    78 “至于卡马林那人认为雅典人的敌人是叙拉古人,而不是他卡马 林那人,从而认为卡马林那人几乎没有必要为我的国家去冒险,那么, 卡马林那人应当记住,如果他是在我国领土上作战,那他是为他自己的 祖国而战,正如他为我的祖国而战一样;由于有我们的参与,他并非孤 军奋战,因而他会更为安全;如果我们首先被消灭了,他的同盟者就被 清除了,而他就不得不单独作战了。同时他也要记住,雅典人的目的并 不是要惩罚叙拉古人对他们的敌视,而是把叙拉古人作为一种诱饵,以 争取卡马林那人对他们的友谊。[2]至于那些忌妒甚至于惧怕我们的 人们(强大的国家总是为人所忌妒和惧怕的),因为这个缘故,而希望 我们叙拉古的势力削弱,以给我们一个教训,但是考虑到卡马林那人自 身的安全利益,依然希望叙拉古能保存下来,他们沉湎其中的这个愿望 是人力不可能实现的。人能够控制他自己的意愿,但他是不能支配其命 运的;如果他的设想后来被证明是错误的,他就会哀叹自己的不幸,希 望他再次忌妒我们的繁荣。[3]如果他现在把我们作为牺牲品,不肯 和我们共患难,这只是一种痴心妄想,因为这种危难不是在名义上,而 是在实际上威胁着他,正和威胁着我们一样的;我们风雨同舟,在名义 上保全了我们的势力,实际上是保全了他自己。[4]可以预料,在世 界各国人民中,卡马林那人,我们一衣带水的邻邦,你们将看到,危险 紧接着就将降临到你们身上,你们不应当像现在这样对我们三心二意, 而应当主动前来援助我们;现在你们向叙拉古人提供援助,而如果雅典 人首先进攻卡马林那,同样可以请求我们的援助,这只会激发我们抵抗 侵略者的勇气。可是,直到现在,无论是你们还是其他人都还没有朝着 这个方向奋发努力。

    79 “也许畏惧将使你们研究对待我们和对付入侵者的正确策略,强 调你们和雅典人有同盟关系。但是,你们建立的那个同盟,不是用于对 付你们的朋友的,而是用来对抗可能攻击你们的敌人的;当雅典人遭到 其他人的伤害时,你们援助他们,而现在的情况不同,他们正在侵害你 们的邻邦。[2]就是瑞吉昂人,虽然他们属于卡尔基斯人,仍拒绝帮 助同为卡尔基斯人的伦提尼人恢复家园。当你们对他们所提出的这个冠 冕堂皇的借口的真正含义表示怀疑,并感觉到他们聪明得不可思议的时 候,你们却仍以种种不合情理的理由为借口,宁愿支持你们的天生的敌 人, [10] 加入你们同族的最可怕的敌人一方去毁灭你们自己的同族人, 这就使人感到奇怪了。[3]事实上,这不是你们的正确抉择;你们应 该帮助我们,不要害怕他们的武力,如果我们团结起来,就没有什么事 情值得畏惧的,除非我们让其分裂我们的企图得逞,而这正是他们想努 力做到的。因为即使在他们单独向我们进攻,并且把我们打败了的时 候,他们仍然未能实现其主要目的,而不得不马上撤退。 [11]

    80 “因此,我们要团结起来,我们没有理由灰心丧气,而是应当鼓 足勇气,组织同盟;特别是由于伯罗奔尼撒人会来援助我们的,这样在 军事上我们无疑将胜过雅典人。你们认为所采取的谨慎政策是不支持任 何一方,因为你们与他们双方都有同盟关系,没有人会认为这样你们是 安全的,对我们是公平的。[2]实际上,这件事并不像你们自辩的那 么公平。如果你们不帮助我们,导致我们被侵略者打败,那么,你们不 参加战斗的后果,除了使前者因孤立无援而被毁灭并使后者不受阻挡地 为所欲为外,还会有什么呢?然而你们的更加光荣的事业是,加入受到 侵害的 [12] 同时也是你们自己的同族人一方,这样既能维护西西里的共 同利益,又可阻止你们的雅典朋友继续作恶。 [3]“总之,我们叙拉古人认为,对于你们和我们都知道的那些事 情,就用不着我们向你们或其他人作详细说明了,但是我们恳求你们, 如果我们的恳求无效,我们抗议我们的世仇伊奥尼亚人 [13] 对我们的威 胁,以及我们的多利斯人同胞对我们的背叛。[4]如果雅典人征服了 我们,他们将把胜利归功于你们的决定,但是他们将独享胜利的荣誉, 并将把帮助他们赢得胜利的那些人作为战利品。另一方面,如果我们赢 得胜利,你们必须为此付出代价,因为是你们造成我们的危难。因此, 你们要慎重考虑;现在作出你们的抉择:你们或者马上安安稳稳地变为 奴隶,或者和我们一道去争取胜利,选择后者可以使你们不受被雅典人 统治的耻辱,也不致引起叙拉古人对你们的永世不忘的仇恨。”

    81 以上就是赫摩克拉特斯的演讲,随后雅典的使者攸菲姆斯发表 演讲,内容如下:

    82 “虽然我们到这里来的目的只是重订以前的盟约, [14] 但叙拉古 人对我们的攻击使我们不得不说说我们的帝国以及我们保有这个帝国的 正当理由。[2]当叙拉古的发言者声称伊奥尼亚人是多利斯人的世仇 之时,他自己就对此提供了最好的证据。事实也正是如此。伯罗奔尼撒 的多利斯人是我们的近邻,人数超过我们,我们伊奥尼亚人要寻求不受 其统治的最佳方法。[3]波斯战争以后,我们拥有了一支舰队,而脱 离了拉栖代梦帝国,摆脱了拉栖代梦人的统治。他们没有权力对我们发 号施令,犹如我们没有权力对他们发号施令一样,除非他们是最强大的 城邦的时候;我们成为过去的波斯国王臣属之邦的领导者,其后我们继 续担当领导者,我们认为,如果我们有力量自卫,我们就极有可能不再 处于伯罗奔尼撒人的统治之下。事实的真相是,我们确实征服了伊奥尼 亚人和诸岛 [15] 居民,但我们的所作所为没有任何不公平之处,这些人 就是叙拉古人所说的已经遭受我们奴役的我们的同族人。[4]事实 上,我们的这些同族人曾经联合波斯人,前来进攻他们的母邦,即进攻 我们;他们没有起义的勇气,害怕因此丧失他们的财产,而我们那时却 放弃了我们的城市;他们甘愿做奴隶,并且力图把我们也变为奴隶。

    83 “因此,我们应当理直气壮地享有统治权,一则因为我们为希腊 人的事业提供了最庞大的舰队,表现了坚定的爱国主义精神,而我们的 这些臣民,却准备帮助波斯人以危害我们;二则因为我们力图壮大我们 自己,以对付伯罗奔尼撒人。[2]我们没有用华丽的词句宣称我们有 权利统治,是因为我们单独打败了波斯人,或者说是因为我们担当了风 险,而这主要是为了我们的臣民的自由,而不是为了全体希腊人包括我 们自己的自由;为自身提供适当的安全保障,这是无可非议的。我们现 在来到西西里,同样是着眼于我们的安全利益,我们觉得这与你们的利 益是一致的。[3]这一点,从叙拉古人攻击我们的言辞中,从你们有 时过于疑惧的行为中,就可以得到证明;我们知道,那些因恐惧而生疑 的人们也许会暂时为富于感染力的雄辩言辞所迷惑,但是到了行动的时 候,他们就会按照他们的利益行事了。[4]现在,正如我们所说,恐 惧使我们要保持在希腊的帝国,恐惧使我们现在来到这里,在我们的朋 友的帮助下,处理西西里的安全事务;我们不想奴役任何人,而想使所 有的人都免遭奴役。

    84 “同时,任何人都不应该认为我们关心你们,和我们自己毫无关 系。你们想一想,如果你们安然无恙,并且能够成功地抵抗叙拉古人, 叙拉古人就不大可能派遣军队去援助伯罗奔尼撒人,以危害我们。 [2]因此,你们的行为会受到我们的密切关注;也正是由于这个缘 故,我们要恢复伦提尼人的独立完全是合乎情理的,我们并不想使他们 作为我们的臣民,就像他们在优波亚的同族人一样,我们要使他们尽可 能地强大起来,这样他们可以从其边境骚扰叙拉古人,从而帮助我们。 [3]在希腊,我们独自对付我们的敌人;至于叙拉古人所说的,我们 在希腊奴役卡尔基斯人,而在西西里我们解放卡尔基斯人,这是完全不 合情理的。事实上,在希腊,卡尔基斯人被解除武装,只缴纳贡金,这 是合乎我们的利益的;而在西西里,我们的利益是让伦提尼人和我们的 其他朋友最大限度地独立。

    85 “此外,对于那些独裁者或一个统治着帝国的城邦而言,只要是 对自己有利的就没有什么不合乎情理的,亲族关系只有在他们靠得住的 时候才存在,是朋友还是敌人则取决于各个时代的具体情况。在西西 里,合乎我们的利益的,不是削弱我们的朋友们,而是利用他们的势力 去削弱我们的敌人。你们为什么要怀疑这一点呢?在希腊,当我们发现 同盟者对我们有利时,我们就对他们行使领导权。[2]开俄斯人和麦 塞姆那人拥有自治权,条件是提供舰船;其余的多数同盟者的条件更为 苛刻,要向我们缴纳贡金;还有一些人,尽管是岛民,很容易被我们征 服,但是他们像我们的同盟者一样享有完全的自由,因为他们占据伯罗 奔尼撒沿岸的战略要地。[3]因此,在我们对西西里的政策中,我们 自然也应当以我们的利益,即如我们所说的,以我们对叙拉古人的恐惧 为指导原则。叙拉古人的目的是统治你们,他们的目标是利用我们前来 所引起的猜疑而使你们联合起来,然后,在我们一无所获地撤离之后, 他们通过武力或者利用你们的孤立无援而成为西西里的统治者。如果你 们与他们联合起来,他们必将成为你们的统治者;因为对我们来说,这 样一支庞大的联军将是不易对付的,而我们一旦撤离,他们的势力将足 以对付你们了。

    86 “如果有人对这个问题另有看法,事实将证明其看法是错误的。 当你们第一次恳求我们前来援助的时候 [16] ,你们说,你们害怕,如果 我们让叙拉古人统治你们,会给雅典人带来危险;[2]现在你们却不 相信这同一个论据,而认为这只是用来说服你们的;或者因为我们带来 较多的军队反击叙拉古的势力,而对我们产生怀疑,这是不公正的。你 们真正应当怀疑的是叙拉古人。[3]没有你们的支持,我们就无法停 留在这里;纵或我们不义之至,以致征服你们,我们也无法维持对你们 的统治,因为航程遥远,驻守这样大的城邦,配备大陆城镇所需的军事 力量 [17] ,是很困难的。而他们叙拉古人是你们的邻邦,他们不是住在 营帐里,而住在一个人口比我们带来的军队还要多的城市里;他们经常 密谋攻击你们,绝不会放过出现的每一个机会,[4]这正像他们在伦 提尼和其他事件中所表现的一样。现在他们好像把你们视为一群傻瓜, 竟厚颜来请求你们援助他们,以反对那些阻止其野心得逞和维持西西里 独立的城邦。[5]我们与叙拉古人正相反,我们邀请你们是为了实现 更现实的安全,我们请求你们不要背弃与我们双方休戚相关的共同安 全,请你们考虑一下,即使没有同盟者,叙拉古人也随时可以单独地攻 击你们,因为他们人数众多,如我们所提供的为数众多的援军来帮助你 们保卫你们自己,这样的机会是不会经常遇到的;如果因为你们尚存疑 虑,一旦你们让这支军队一无所获或被击败后离去,那么,你们将来会 希望看到哪怕是这支军队的一小部分能重新回来就好了。但是此一时彼 一时,纵或这支军队重新出现,也不能给你们以任何帮助了。

    87 “但是,我们希望,你们卡马林那人和其他西西里人是不会让叙 拉古人的诽谤中伤得逞的。我们已经把我们被猜疑的全部事实真相都告 诉了你们,现在我将简明扼要地概括一下,希望能够让你们信服。 [2]我们声明:在希腊,我们成为统治者,我们自己不做别人的臣 民;在西西里,我们是解放者,以使我们免遭西西里人的伤害;我们不 得不干涉很多事务,只是因为我们不得不在很多方面防范我们的敌人; 现在和过去一样,我们是以同盟者的身份前来援助在西西里遭到伤害的 人们,我们是应邀前来,并非不速之客。[3]因此,你们不要把自己 作为我们行动的裁判者或监察官,企图改变我们的行动,现在这种企图 是很难实现的。在我们的干涉政策和我们的名声之下有一些是合乎你们 的利益的,你们应该抓住这一点,利用这一点;你们应该相信,我们这 种政策并非对所有的人都同样有害,它对大多数希腊人甚至是有益的。 [4]由于我们采取这样的政策,对世界各地的所有的人,甚至在我们 尚未涉足之地的人们那里都有影响,无论是那些害怕被侵略的人,还是 策划进行侵略的人,在采取行动前都会想到这一点。害怕被侵略的人, 为了他们的利益,希望我们干涉;策划侵略的人,会因我们的到来而使 其侵略行动变得危险。这样,双方都感觉到自己受到约束,后者被迫违 背自己的意志,采取有节制的行动,前者也用不着费力而得以保全下来 了。[5]这个保证,凡是请求的人都可以得到,你们现在也可以得 到,你们不要拒绝这种保证;你们只需像其他人那样,与我们联合起 来;不要总是防御叙拉古人的进攻,应当改变你们的地位,最终威胁叙 拉古人。”

    88 这就是攸菲姆斯的发言。卡马林那人的感受是这样的。他们赞 同雅典人的观点,只是担心雅典人会征服西西里;他们对于邻邦叙拉古 人,则总是处于敌对状态。但是由于地域接近,正是从这一事实出发, 他们更害怕叙拉古人;他们担心,甚至没有他们的援助,叙拉古人也能 打败雅典人,所以他们原先派遣了一小队骑兵去支援叙拉古人,这在前 面已经提到。 [18] 至于将来,他们决定最好是实际上只支持叙拉古人, 尽管在数量上要尽可能少一些。可是,当前为了不怠慢雅典人,特别是 因为雅典人在战斗中已经取得胜利,他们给雅典人和叙拉古人以同样的 答复。[2]他们对这个决定取得一致意见,并答复说:因为叙拉古人 和雅典人双方已处于战争状态,而双方又都是他们的同盟者,他们认为 目前最坚定地遵守其誓言的办法是不援助任何一方。于是双方使者带着 这个答复离开了卡马林那。 [3]与此同时,当叙拉古人继续进行战争准备的时候,在那克索 斯安营扎寨的雅典人试图通过谈判,把尽可能多的西克尔人争取到自己 一边。[4]居住在低地地区的西克尔人,这些叙拉古臣民多数对雅典 人表示冷淡,而居住在内地的一直保持独立的西克尔人,除极少数外, 立即加入雅典一边;他们给雅典军队提供谷物,有些甚至提供金钱。 [5]雅典人出兵攻击那些拒绝与他们合作的西克尔人,强迫他们中的 一些人加入他们一方;有时候,雅典人的行动被叙拉古人派去的驻军和 援军阻止了。在这期间,雅典人把越冬宿营地从那克索斯移至卡塔那, 重建被叙拉古人焚毁了的营寨,并在那里度过残冬。[6]他们又派出 一艘战舰到迦太基,表示友好,以期得到迦太基人的支持;他又派使者 到第勒尼亚 [19] ,那里的一些城邦主动表示在战争中帮助他们。雅典人 又派人绕道前往西克尔人那里和爱吉斯泰,请求他们尽量多送一些马匹 来。在这期间,他们还准备了砖、铁和修筑围城工事所需的所有其他材 料,准备在来年开春时发动战争。 [7]在这同时,叙拉古人派遣使者前往科林斯和拉栖代梦,他们 沿海岸航行,试图说服意大利的希腊诸邦 [20] ,让他们阻挠雅典人的行 动,他们说,意大利人与叙拉古人受到同样的威胁。他们抵达科林斯, 发表演讲,呼吁科林斯人基于同族人的关系,援助叙拉古人。[8]科 林斯人立即投票表决,同意全力援助他们;随即派遣使者与他们一起前 往拉栖代梦,帮助他们力劝拉栖代梦人在希腊与雅典人更加公开地进行 战争,并且向西西里派遣援军。[9]科林斯使者抵达拉栖代梦时,发 现阿尔基比阿德斯及其追随者流亡在拉栖代梦,他们当时是乘一艘商船 从图里伊渡海, [21] 首先到达爱利斯的基伦尼,随后从那里抵达拉栖代 梦;他们在首先获得拉栖代梦人安全保证后,应拉栖代梦人的邀请而 来,因为他们参与了曼丁尼亚事件而对拉栖代梦人有些害怕。[10]结 果科林斯人、叙拉古人和阿尔基比阿德斯在拉栖代梦公民大会上提出了 同样的请求,成功地说服拉栖代梦人;监察官和其他行政长官虽然准备 派使者前往叙拉古,阻止他们和雅典人妥协,但是他们不愿意给予任何 军事援助。阿尔基比阿德斯现在走上前来,为了鼓励和煽动拉栖代梦 人,发表如下演说:

    89 “首先,我不得不说说你们对我的偏见,因为你们对我的怀疑可 能致使你们不愿倾听我对公众关注的问题的意见。[2]我的祖先是作 为你们拉栖代梦人在雅典利益的代理人而与你们发生联系的,后因某些 方面的不满而断绝了这一关系;我本人试图重新担当起这个职位来,为 你们效劳,特别是在灾难性的派罗斯事件 [22] 中竭力照料你们的利益。 尽管我对你们持友好态度,你们仍选择了和平谈判,并通过我的政敌与 雅典议和,这样就增强了我的政敌的力量,使我名誉扫地。[3]因 此,即使我转向曼丁尼亚人和阿尔哥斯人,利用其他机会阻挠和损害你 们, [23] 你们也不应责备我;你们在遭受苦难的时候,有人从此无理地 迁怒于我,现在,这些人应该认清事实的真相而改变他们的看法。或 者,有人认为我更坏,因为我站在人民一边,现在他也应该知道,这也 不是反对我的正当理由。[4]我的家族是一贯反对僭主的,所有反对 专制政权的人都可称之为民主党,因此,我们继续成为人民大众的领 袖;此外,由于雅典城邦实行民主制,在大多数情况下都必须因循现行 的情况。[5]但是,我们不顾当时政治上流行的放任情况,尽力做到 温和妥当;过去和现在一样,有些人总是试图把民众引上歧途,正是这 些人放逐了我。[6]但我们的党派是由全体人民组成的,我们的信条 是,尽力保全业已建立起来的政治体制,在这种政体下,我们的城邦变 得空前强盛,享有最充分的自由。至于民主制,我们当中凡是有点见识 的人都知道它是怎么一回事,而我也许不至于比任何人缺乏见识,因为 我更有理由抨击民主制,但是对于这样一种荒谬绝伦 [24] 的制度,我提 不出什么新的看法;同时,我们认为,在与你们处于敌对状态的情况 下,变更这种制度是不安全的。

    90 “这些就是当初你们对我抱有成见的原因。现在请你们注意你们 必须讨论的问题,我对这个问题了如指掌,请允许我谈谈我的看法。 [2]我们乘船前往西西里,如果可能就首先征服西西里的希腊人,然 后再征服意大利的希腊人,最后进攻迦太基帝国和迦太基城。[3]如 果这些计划全部或大部分取得成功,我们将带着在那些地区所获得的所 有希腊军队,并雇用大量的土著军队(如居住在这些地区的伊比利亚人 和其他土著,他们以善战而著称于世)来进攻伯罗奔尼撒。除了我们现 有的战舰外,还要利用意大利丰富的木材,建造许多战舰;我们用这支 舰队从海上封锁伯罗奔尼撒,同时我们的陆军从陆地上发起进攻,有些 采取突然袭击的方法,有些采取围攻的方法,攻占这些城市。我们希望 这样会很容易地攻占这些地区,以后我们将统治整个希腊世界。[4] 同时,顺利实施这些计划所需的金钱和谷物,将在那些新征服的地方获 得充足的供给,不需要动用本土的国库储备。

    91 “这样,你们从一个最熟知这次远征的人那里获悉了这次远征的 由来和真正目的;留在那里的将军们在可能的情况下将不折不扣地执行 这些计划。但是,现在我要向你们说明,如果你们不援助西西里人,西 西里诸邦将肯定被征服。[2]虽然西西里的希腊人都缺乏作战经验, 但如果他们的军队能够团结一致,就是现在他们仍可能自存;叙拉古全 军已经在一次战役中被打败了,其海岸也被封锁了,单凭叙拉古一邦是 不能抵抗在西西里的雅典军队的。[3]但是,如果叙拉古陷落了,整 个西西里就会陷落,紧接着意大利也会陷落。我刚才所说的来自西西里 的危险不久将降临到你们身上。[4]因此,你们不要想当然地认为现 在讨论的问题仅仅是西西里的问题,伯罗奔尼撒也将遭遇同样的危险, 除非你们立即照我说的去做,即派遣一支军队乘船前往叙拉古,这支援 军的士兵应当能够自己划船,在登陆后马上能充当重装步兵;我甚至认 为比派遣援军更重要的是派遣一名斯巴达人去担任指挥官,去组织那里 已有的军队,并且强制那些不甘俯首听命的人服兵役。这样,你们原有 的朋友将更有信心,也使那些摇摆不定者受到鼓舞而加入你们一方。 [5]同时,你们必须在希腊更加公开地进行战争,让叙拉古人看到你 们没有忘记他们,叙拉古人会众志成城,顽强抵抗,同时也使雅典人更 难以派兵去增援其远征军了。[6]你们必须在阿提卡的狄凯里亚修筑 要塞 [25] ,这种打击一直是雅典人最害怕的,他们认为在这场战争中, 只有这个灾难还没有经历过;伤害敌人的最有把握的方法,是找到敌人 最担心的地方,选择这个地方予以攻击,因为每个人自然最清楚他自己 的弱点,因而这也是他感到畏惧的原因。[7]至于在狄凯里亚修筑要 塞 [26] 对于你们的益处和给你们的敌人的祸害,我将省略很多次要的, 只是扼要讲讲最主要的。这个地区的所有财产大都将落在你们的手里, 有些是可以掠夺取得的,有些是敌人主动交出的;雅典人从劳里昂银矿 取得的收入,现在从土地和法庭所取得的收入 [27] ,马上就都被剥夺 了。雅典最重要的收入是其同盟者所缴纳的贡金,他们将不会按时缴纳 贡金了;因为他们看到你们全力以赴地投入战争,便不再敬畏雅典人 了。

    92 “完成这些事情的热情和速度就全靠你们拉栖代梦人自己了;我 完全相信这些事情是可以做到的,我认为我的判断是没有错误的。 [2]同时,虽然过去我是一个热爱祖国的人,而现在我又积极地加入 到它的死敌一方来进攻它,我还是希望你们中间不要有人因此而认为我 是一个很坏的家伙,你们也不应该认为这只是流亡者的情感发泄,因而 怀疑我的论点。[3]我被驱逐是因为驱逐我的那些人的不公正,但是 他们不能阻止我为你们效力,只要你们接受我的意见;雅典人的死敌不 是你们,因为你们只伤害你们的敌人,而是那些迫使其朋友变成敌人的 人;[4]我所热爱的雅典不是迫害我的雅典,而是保障我安享公民权 利的雅典。事实上,我不认为我现在攻击的邦国仍然是我的祖国,我要 努力去恢复如今已不再属于我的邦国;真正热爱他的祖国的人,不是那 个被非正义地放逐而不攻击它的人,而是那个渴望要不顾一切、竭尽全 力去恢复它的人。[5]因此,拉栖代梦人啊,我请求你们,不要因顾 虑种种艰难险阻而不利用我的献策。请你们记住人人都会说的口头禅: 如果我作为你的敌人能给你造成巨大的祸害,同样,我作为你的朋友, 也能给你们带来很大的贡献。因为我对雅典人的各种图谋了如指掌,而 对你们的战略意图只能推测。我请求你们相信,你们自己现在考虑的是 你们最重要的利益;我劝你们要毫不犹豫地派遣远征军到西西里和阿提 卡去。只要你们的一小部分军队出现在西西里,你们将挽救西西里岛上 的一些重要城邦,你们将摧毁雅典现在的势力和将来发展的前途;以 后,你们就将安享太平生活,并成为全希腊的霸主,而这并不是基于武 力威慑,而是由于人们心悦诚服、衷心拥戴。”

    93 这就是阿尔基比阿德斯的发言。拉栖代梦人此前就打算向雅典 进军,但一直在等待和观望。现在他们从阿尔基比阿德斯这里获得翔实 的情报,并认为它是来自于最熟悉情况的人,他们便更加认真地考虑进 军之事。[2]因此,他们现在重点关注在狄凯里亚修筑要塞,并立即 派兵援助西西里人;他们任命克里安德里达之子吉利浦斯为支援叙拉古 军队的指挥官,命令他与叙拉古人和科林斯人商量,拿出在目前情况下 援军尽快抵达西西里岛的最佳方案。[3]吉利浦斯要求科林斯人立即 给他派遣两艘舰船到阿辛 [28] 来,并要他们装备好其他准备出征的舰 船,等时机一到,就启程远航。这些安排商定后,使者们就离开了拉栖 代梦。 [4]在这期间,雅典的将军们从西西里派回国请求给予金钱和骑 兵援助的战舰抵达雅典;雅典人听了他们的请求后,投票决定向远征军 提供所需要的金钱和骑兵。冬季结束了,修昔底德记载这次战争的第十 七年也到此为止了。

    94 翌年 [29] 的春季刚刚开始的时候 [30] ,在西西里的雅典人从卡塔 那出发,乘船沿海岸航行抵达西西里的麦加拉。我曾经说过, [31] 叙拉 古人在僭主革洛时期就把麦加拉居民赶走,并强占其领土。[2]雅典 人在这里登陆,蹂躏了那个地区,他们进攻叙拉古人的要塞,但是没有 获得成功,于是雅典舰队和陆军前往泰里亚斯河畔。他们从这里深入内 地,破坏平原地带,焚烧当地的农作物;他们遇到叙拉古人小股军队, 杀死了一些士兵;他们在竖立了一块胜利纪念碑后,又回到他们的舰船 上。[3]现在雅典人乘船回到卡塔那,补充给养后又以全军进攻西克 尔人的城镇肯托里巴 [32] ,他们攻下这个城镇,先是焚烧伊涅萨人 [33] 和海布拉人 [34] 的农作物,然后离去。[4]他们返回卡塔那时,发现 从雅典派来的骑兵已经到了,有250名骑兵(带着装备,但没带马匹, 他们认为马匹可以在当地取得);还有30名骑兵射手和300塔连特白 银。

    95 在同年春季里,拉栖代梦人进攻阿尔哥斯,到达克里奥奈,突 发地震让他们又撤回国内。随后,阿尔哥斯人侵入与其接壤的泰里亚境 内,掳获大量拉栖代梦人的财产,出售后获得至少25塔连特。[2]不 久以后,在同年夏季,泰斯皮亚的民主派企图推翻当政者,但是没有成 功;来自底比斯的援兵抵达后,一些人被捕,另一些人逃往雅典。

    96 在同年夏季里,叙拉古人获悉雅典人已得到骑兵增援,将要进 攻他们了;他们认为,雅典人如果不能占据位于叙拉古城上方险峻的爱 皮波莱,即使雅典人在战斗中获胜,仍不能轻易地建筑一座城墙来包围 他们。叙拉古人决定驻守通往爱皮波莱的道路,以防止敌人偷偷地从这 条道路进入爱皮波莱,这是登上爱皮波莱的唯一可以通行的道路, [2]因为其余地方都很高,只有靠城市一侧形成向下的斜坡,所以在 城中能看到爱皮波莱高地的全貌;因为这个高地高于其余地区,叙拉古 人称之为爱皮波莱 [35] 或俯瞰城市之地。[3]因此,叙拉古人在黎明 时分倾城而出,来到阿纳普斯河畔的草地上,刚刚就任的新的将军们 ——赫摩克拉特斯及其同僚检阅重装步兵。他们首先从重装步兵中挑选 600人的精锐部队,在安德罗斯流亡者狄奥米鲁斯指挥下前去守卫爱皮 波莱,哪里需要援助,他们就随时准备前去哪里参加战斗。

    97 同时,雅典人在同一天早晨检阅军队,全军从卡塔那出发,已 经悄悄地进入列昂的对面,该处距爱皮波莱不过六七斯塔狄亚 [36] ,他 们在这里登陆,把舰队停泊在萨普苏斯半岛,该半岛突入海中,有一个 狭窄的地峡,从陆上或海上离叙拉古城都不远。[2]雅典海军放置一 排木栅横过地峡,静静地停留在萨普苏斯,陆军立即跑步直奔爱皮波 莱,叙拉古人还没弄清发生了什么,他们的守军尚未从河畔草地检阅处 赶到这里,雅典人就通过攸里耶鲁斯成功占领了爱皮波莱。[3]狄奥 米鲁斯率领他的600人精锐部队和其余的士兵以最快的速度赶去争夺高 地,但他们从河畔草地到高地必须跑将近25斯塔狄亚 [37] 的路程。 [4]这样,叙拉古人的进攻显得相当混乱,因而在爱皮波莱战斗中被 击败,退回城里。他们大约有300人战死,包括指挥官狄奥米鲁斯本人 在内。[5]随后,雅典人竖立了一块胜利纪念碑,按照停战协定,把 阵亡者的尸体移交给叙拉古人。第二天,雅典人下来进攻叙拉古城,但 城里无人出来迎战;他们又登上高地,在拉布达隆修筑要塞,该要塞位 于爱皮波莱悬崖边上,面向麦加拉;当他们出去作战或修筑城墙时,这 里将成为他们储存军需物资和金钱的地方。

    98 不久以后,爱吉斯泰给他们派来300名骑兵,西克尔人、那克索 斯人和其他人派来了大约100名骑兵;从雅典派来的250名骑兵所需的马 匹,部分从爱吉斯泰人和卡塔那人那里获得,其他的则是他们买来的。 现在他们共有650名骑兵。[2]雅典人在布达隆留下一支守军,然后前 往西卡 [38] 。他们在那里停下来,迅速地修筑一个环形要塞 [39] ,即围 城长墙的中心。叙拉古人对他们修筑要塞的进展速度感到惊慌,决定出 来进攻他们,试图通过战争阻止雅典人修筑要塞;[3]两军快要交战 时,叙拉古的将军们发现他们的军队秩序混乱,很难排成行列,便率领 军队撤回城内,只有一些骑兵留在后面,阻止雅典人搬运石头,或者迫 使他们跑到很远的地方去取石头。[4]但有一队 [40] 雅典重装步兵和 全体骑兵向叙拉古骑兵进攻,把他们击溃了。叙拉古骑兵遭受一些损 失。随后,雅典人竖立了一座骑兵作战胜利纪念碑。

    99 翌日,雅典人开始修筑环形要塞的以北的城墙,同时他们在搜 集石料和木材,放置在通往特洛吉鲁斯的道路上,这是他们修筑从大港 至另一边海滨的封锁城墙的最近线路。[2]而叙拉古人听从了他们的 将军们,尤其是赫摩克拉特斯的意见,放弃了以全军与之作战的冒险计 划,决定在雅典人将要修筑城墙方向,修建一条与之对抗的城墙。如果 这条城墙能够及时建成,就可以阻断敌人的封锁城墙;同时,如果雅典 人发动进攻,企图以此来阻止他们修筑城墙,他们就派一部分军队反击 敌人,并以事先建好的木栅为掩护,确保他们可以继续修筑城墙,而雅 典人则不得不停止他们的修筑工事,用全军来对付叙拉古人。[3]于 是,叙拉古人出城,从叙拉古城墙开始修筑一座他们的城墙,这条城墙 位于雅典人的环形要塞下面,与雅典人的封锁城墙成直角。他们砍伐神 庙土地上的橄榄树,构筑木塔。[4]当时雅典舰队尚未绕道驶进大 港,所以叙拉古人还控制着海岸地带,而雅典人从萨普苏斯由陆路运输 给养物资。

    100 现在,叙拉古人认为,他们的木栅和对抗城墙已经筑得相当好 了,而雅典人害怕因兵力分散而在战斗中处于不利地位,仍全力修筑城 墙,并没有出来打扰叙拉古人。所以叙拉古人留下一支部队守卫他们的 新建城墙,就回到城里去了。同时,雅典人毁掉向叙拉古城供水的地下 饮水管道;他们等到不值勤的叙拉古人中午回到他们的营帐里,有些人 甚至进城去了的时候,趁那些凭借木栅守卫城墙的士兵不注意的时候, 命令300名精选出来的雅典重装步兵和一些特别选出的轻装步兵(他们 为这次行动也穿戴着重装盔甲)突然杀出,以最快的速度冲向叙拉古人 的对抗城墙;其余的军队兵分两路:一名将军带领一部分军队向叙拉古 城进发,以防叙拉古人出城来增援,另一名将军率领另一部分军队从后 门向木栅进发。[2]那300名士兵攻占了木栅,叙拉古守军放弃木栅, 逃到环绕泰美尼特斯的阿波罗神庙圣地 [41] 的外围工事里面。雅典士兵 追了进去,但被叙拉古人打败,少数阿尔哥斯人和雅典人被杀;[3] 随后雅典全军撤回,毁掉叙拉古人的对抗城墙,拔掉木栅,运走木桩以 为自己建筑城墙之用,并且竖立了一块胜利纪念碑。

    101 第二天,雅典人开始以环形要塞为起点,着手在悬崖上面修筑 要塞,它位于爱皮波莱面向大港一侧的沼泽地 [42] ;这也是他们的城墙 穿过平原和沼泽地抵达大港的最近路线。[2]同时,叙拉古人出来开 始修筑第二道木栅,木栅以叙拉古城为起点,通过沼泽地中央,他们沿 木栅挖一条壕沟,使雅典人不可能把其城墙延伸到海岸边。[3]雅典 人在悬崖上面修筑要塞的工作一完成,就再次向叙拉古人的木栅和壕沟 发起进攻;又命令其舰队从萨普苏斯绕道驶入叙拉古人的大港,拂晓时 分,雅典军队从爱皮波莱下来进入平原,把门板和木板放在沼泽地中泥 土最厚和土地最硬的地方,军队从板上通过沼泽地。到破晓的时候,他 们抢占了壕沟和木栅,只有一小部分是后来攻占的。[4]现在双方交 战,雅典人取得胜利。叙拉古军队的右翼逃进城里,左翼逃往河边。 300名雅典精兵想切断叙拉古军队的退路,急忙跑到桥边。[5]惊恐不 已的叙拉古军队与其大多数骑兵在一起,聚集起来猛攻雅典军队的右 翼,雅典军队的第一支队因这种突然打击而惊慌失措。[6]拉马库斯 看到这种情况,率领一些弓箭手和阿尔哥斯人从雅典军队左翼前来增 援。他们跨过一条壕沟后,拉马库斯身边仅有几名士兵,他和他的五六 名部下都被杀死了。叙拉古人立即匆忙地设法抢走这些人的尸体,带着 这些尸体过河进入安全地带,在雅典人的其余军队压上来的时候,他们 主动撤退了。

    102 在这个时候,那些原先逃到城里的叙拉古人看到战局得到扭 转,就从城中出来,列成阵势,进攻他们前面的雅典人;他们又派出部 分军队去进攻爱皮波莱的环形要塞,想拿下这个当时无人防守的要塞。 [2]这些叙拉古人攻占并毁掉1000脚尺 [43] 雅典人的外围工事,但是 环形要塞本身被尼基阿斯保全住了,因为碰巧他因病留在那里,就命令 他的仆人们纵火焚烧扔在城墙前面的械具和木材;他知道,由于没有军 队,他们是不可能用别的办法来挽救这种局势的。[3]结果证明这个 办法是正确的,大火阻止了叙拉古人继续推进,他们撤退了。同时,高 地下面的雅典人派来的援军正好赶到,他们赶走了负隅顽抗的敌军;雅 典舰队也按照命令从萨普苏斯驶进大港。[4]看到这种情况,在高地 上的叙拉古人仓皇撤退,全部叙拉古军队又撤回城里。他们认为,凭他 们目前的军队已不能阻止雅典人把城墙修筑到海边了。

    103 这次交战之后,雅典人竖立了一块胜利纪念碑,按照停战协 定,把叙拉古人阵亡者的尸体交还给叙拉古人,同时也收回了拉马库斯 及其战友的尸体。现在,雅典人的全部海军和陆军都会合在一起,他们 从爱皮波莱和悬崖开始修筑双重城墙,直至海边,把叙拉古人封锁起 来。[2]军粮从意大利各地运来,那时仍在观望的很多西克尔人看到 战局的变化,纷纷前来加入雅典人一方,从第勒尼亚获得的3艘五十桨 船也已抵达。同时,其他各项工作的进展正如他们所期望的。[3]叙 拉古人没有从伯罗奔尼撒得到任何援助,他们对用武力保卫城市的安全 感到绝望,现在他们自己在内部以及与尼基阿斯之间开始商议投降的条 件了。拉马库斯战死后,尼基阿斯成为唯一的指挥官。[4]尽管磋商 没有达成协议,但是,随之而来的种种困难,加上叙拉古城被围攻得越 来越紧,使叙拉古人与尼基阿斯多次磋商投降事宜,在城内,这种讨论 更多。他们当前的灾难也使他们相互猜疑,他们认为灾难的产生是由于 指挥他们作战的将军们的运气不好,指责他们有叛逆行为;因此,他们 把这些将军免职,推选赫拉克利德斯、攸克利斯和泰里亚斯取代他们的 职务。

    104 与此同时,拉栖代梦人吉利浦斯和来自科林斯当时停泊在琉卡 斯附近的舰船, [44] 准备全速赶去援助西西里人。他们得到的消息令人 震惊,但他们都相信叙拉古城已被完全包围这个不确实的传说。于是吉 利浦斯放弃了救助西西里的所有打算,他希望能保全意大利;他和科林 斯人皮森率领两艘拉哥尼亚的舰船和两艘科林斯的舰船迅速横渡伊奥尼 亚海,到达塔林敦。科林斯人除率领自己的10艘舰船外,还为两艘琉卡 斯船和两艘安布拉基亚的舰船配备了桡手,然后他们跟随吉利浦斯而 来。[2]吉利浦斯首先从塔林敦派遣使者到图里伊,请求恢复他父亲 在那里已有的公民权 [45] 。但他没有争取到图里伊人的支持,于是他又 从那里起航,沿意大利海岸航行。他在泰林那湾 [46] 海域遭遇风暴袭 击,北风在这片海域肆虐,把他的舰船从岸边吹到海上,在经历惊涛骇 浪的考验之后,他又回到塔林敦。他把舰船拖到岸边,修理因风暴袭击 受损最严重的那些舰船。[3]尼基阿斯听说他已抵达,但像图里伊人 一样,藐视其船少,认为船上只有海盗,而没有真正的战士,因而没有 注意提防他们。

    105 大约在这个夏季的同一时候 [47] ,拉栖代梦人及其同盟者的军 队侵入阿尔哥斯,破坏了其大部分的国土。雅典人派出30艘舰船援助阿 尔哥斯,这就是以最明显的方式表明他们撕毁了与拉栖代梦人的条约。 [2]此前他们从派罗斯侵略和袭掠伯罗奔尼撒沿岸其他地区,在军事 上与阿尔哥斯人和曼丁尼亚人有广泛合作,但从未在拉哥尼亚登陆;尽 管阿尔哥斯人多次请求他们派其重装步兵在拉哥尼亚登陆,只要和他们 在一起对拉哥尼亚稍加破坏后即可撤军,但雅典人总是拒绝这样做。可 是,现在雅典军队在腓托多鲁斯、莱斯波狄乌斯和德马拉图斯指挥下, 在爱皮道鲁斯·利米拉、普拉西埃和其他地方登陆,并且劫掠这些地 区;这就给拉栖代梦人提供了抵抗雅典人以自卫的更好的借口。[3] 雅典人的舰队从阿尔哥斯撤回后,拉栖代梦人也撤军回国。这时阿尔哥 斯人侵入夫利亚西亚,蹂躏了一些地方,杀害一些居民,然后返回国 内。

    [1] 公元前415/前414年。 [2] 叙拉古附近的宙斯神庙。 [3] 即雅典人。 [4] 史译本为“埋葬”。 [5] 参阅修昔底德,IV. 43;VI. 33。 [6] 史译本此处有“在返回(叙拉古)之后”。参阅修昔底德,VI. 72。 [7] 阿波罗·泰美尼特斯神庙及其附近逐渐发展起来的地区,即后来的尼阿波里斯(即新城)。 [8] 公元前427年。参阅修昔底德,III. 86。 [9] 参阅修昔底德,I. 97—99。 [10] 演说者强调多利斯人和西西里的希腊人为同族,指出多利斯人和雅典人是世仇。 [11] 意指雅典人的主要目的不是击败叙拉古人,而是分化西西里人。 [12] 指叙拉古人。 [13] 指雅典人。 [14] 参阅修昔底德,VI. 75。 [15] 指爱琴诸岛。 [16] 公元前427年,当时卡马林那和伦提尼人以及其他卡尔基斯人联合起来,反抗叙拉古。参阅修昔底 德,III. 86。 [17] 意思是说,要有步兵和骑兵,而他们的军队是纯粹的海军。 [18] 参阅修昔底德,VI. 67。 [19] Tyrrhenia,即爱特鲁里亚(Etruria)。 [20] 希腊移民居住于南意大利沿海一带,这个地区称为大希腊(Magna Graecia)。—史译本注 [21] 参阅修昔底德,VI. 61。 [22] 参阅修昔底德,V. 43。 [23] 参阅修昔底德,V. 53以下。 [24] 或译为“公认的愚蠢”(acknowledged folly)。 [25] 公元前413年,拉栖代梦一方根据这个建议,出兵占领狄凯里亚。参阅修昔底德,VII. 19。 [26] 即修筑一个要塞,以控制敌人的领土。 [27] 从审判同盟者(大都是属国)所提出的诉讼案件中所取得的诉讼费和罚款,这笔收入是很可观的 (每年至少150 —200塔连特)。参阅伪色诺芬,《雅典政制》,I. 16 —18。 [28] 可能是美塞尼亚的港口(修昔底德,IV. 13)。 [29] 公元前414年。 [30] 按修昔底德的纪年法,“夏季”刚刚开始实际亦是“春季”刚刚开始。克译本为“夏季”,史译本和昭译 本皆译为“春季”。 [31] 参阅修昔底德,VI. 4。 [32] 在卡塔那西北43千米,和爱特那山相近。 [33] 伊涅萨的具体位置待考。参阅修昔底德,III. 103。 [34] 革拉的一个地方。参阅修昔底德,VI. 62。 [35] 意为“高地”。 [36] 约1千米。 [37] 约4600米。 [38] “西卡”(意为栽有无花果树的地方),可能位于爱皮波莱高地的中部。雅典人在这里首先建筑一个 圆形要塞,这个要塞后来成为围城长墙的起点,由此北至特洛吉鲁斯,南至大港。 [39] 参阅地图五。 [40] 直译为“一部落”。克里斯提尼改革以后,雅典有10个新行政区,每个行政区出一队兵。 [41] 参阅修昔底德,VI. 75。 [42] 即吕西麦雷亚。参阅修昔底德,VII. 53。 [43] 约合305米。 [44] 参阅修昔底德,VI. 93。 [45] 或译为“因为他的父亲曾经是那里的一名公民”。 [46] 泰林斯城位于意大利半岛西南沿海,濒临第勒尼安海,而泰林那湾位于意大利半岛南侧。修者底德 或许把泰林那湾的地理位置弄错了。果如修氏所说,泰林那湾位于意大利半岛西侧,那么北风不可能将船吹到 海上,吉利浦斯的舰队也不可能由意大利西部的第勒尼安海返回塔林敦。参阅R. B. 斯持拉斯勒:《地标修昔 底德》,第422—423页附注及地图。 [47] 公元前414年。

    第七卷

    第二十一章 战争的第十八年和第十九年。吉利浦斯抵 达叙拉古。狄凯里亚的设防。叙拉古人的胜利。

    1 吉利浦斯和皮森修理舰船后,由塔林敦沿海岸航行到达爱皮泽菲 里亚的罗克里斯。这时候他们获得较为确实的情报,即叙拉古城还没有 被完全包围,一支军队仍然可以取道爱皮波莱进入城中。于是,他们商 量,究竟是由此南航,从海上冒险进入叙拉古港,还是转而北向,首先 航往希麦拉,带着希麦拉人和同意加入他们一方的其他人,从陆路进入 叙拉古呢?[2]最后,他们决定航往希麦拉,尤其是当得知他们抵达 罗克里斯时,尼基阿斯终于派出4艘雅典舰船, [1] 但此时尚未赶到瑞吉 昂。于是,在雅典舰船抵达他们的港口之前,这些伯罗奔尼撒人横渡海 峡,在瑞吉昂和麦西那靠岸,然后来到希麦拉。[3]在希麦拉,他们 说服希麦拉人参加战斗,不仅与他们并肩作战,还要为他们的那些拖到 希麦拉海岸上的舰船上的桡手提供武器。他们派人到塞林努斯,请塞林 努斯人带领全部军队在指定的地点与他们会师。[4]革拉人和一些西 克尔人承诺提供少量军队,西克尔人现在更愿意加入他们一方,一则因 为在那个地区很有势力并且对雅典友好的西克尔国王阿科尼达斯最近去 世了,二则因为来自拉栖代梦的吉利浦斯所表现出来的锐气。[5]现 在吉利浦斯手下拥有大约700名配备了武装的桡手和船员,希麦拉人派 来1000名重装步兵和轻装步兵,以及100名骑兵;还有一些塞林努斯的 轻装步兵和骑兵,少量的革拉人以及总数为1000的西克尔人。他率领这 些军队,向叙拉古进发。

    2 同时,从琉卡斯起航的科林斯舰队全速赶来。他们的一名指挥官 冈吉鲁斯乘船最后出发,却首先到达叙拉古,比吉利浦斯还要早一点。 冈吉鲁斯得知叙拉古人正要举行公民大会,商讨他们是否应该结束战 事。冈吉鲁斯阻止了这次会议的召开,告诉他们说,还有更多舰船将要 赶来,拉栖代梦人派遣克里安德里达之子吉利浦斯来担任指挥官,这就 坚定了叙拉古人的信心。[2]因此,叙拉古人勇气倍增。这时,他们 得知吉利浦斯即将到达,全军立即出动前去迎接。[3]吉利浦斯在行 军途中攻占了西克尔人的耶泰要塞,使其军队按战斗队形排列,进至爱 皮波莱。他们取道雅典人原先走过的攸里耶鲁斯, [2] 然后在叙拉古人 配合下进攻雅典人的防护城墙。[4]吉利浦斯恰巧在紧要关头到达这 里。雅典人已经建成了延伸至大港的长达七八斯塔狄亚的双重围城, [3] 只有靠近海边的一小段仍在修筑当中;从环形要塞到另一侧海边的 特洛吉鲁斯的未完工城墙,大部分段落的筑墙石料已经备齐,一些地方 完成了一半,另一些地方则已经告峻。叙拉古城的确是非常危险了。

    3 同时,雅典人从起初由于吉利浦斯和叙拉古人的突然逼近而造成 的混乱中恢复过来,排成战斗队列。吉利浦斯在距雅典人很近的地方停 下来,派传令官告诉雅典人,如果他们在5天之内携带其财产和辎重撤 离西西里,他就愿意与他们签订休战协定。[2]雅典人对这个建议不 屑一顾,未作任何答复,就打发传令官回去。于是双方开始准备战斗。 [3]吉利浦斯发现叙拉古人缺乏军纪,不容易排列成队,就把他的军 队带到开阔地带,而尼基阿斯并未率领雅典人向他进攻,只是守在城墙 的旁边,按兵不动。吉利浦斯见雅典人并未出战,就率领军队前往泰门 尼特斯的阿波罗神庙所在的城寨,并在那里过夜。[4]翌日,他率领 主力部队在雅典人的城墙前面排成战斗阵列,以阻止雅典人向其他地区 派兵出援;他又派遣一支强大的军队进攻拉布达隆要塞,攻克要塞后, 杀死要塞内的全部守军。城墙那边的雅典人看不见这个地方。[5]同 日,停泊在港口附近的一艘雅典军舰被叙拉古人俘获。

    4 此事发生之后,叙拉古人及其同盟者开始修筑一条单墙,从叙拉 古城开始,斜着穿过爱皮波莱,这样雅典人便无法对他们形成包围,除 非雅典人能够阻止他们筑成此墙。[2]这时,已修筑完通向海边城墙 的雅典人跑到高地上来。雅典人的城墙有一部分很薄弱,吉利浦斯派兵 在夜间攻击它。[3]可是,碰巧雅典人在外面宿营,他们大为震惊, 前来迎战。于是,吉利浦斯立即将军队撤回。雅典人现在把他们的城墙 修筑得更高,随后他们自己防守这一段城墙,安排其盟军驻守其余城 墙,并分派他们驻守各自的地段;[4]尼基阿斯又决定修筑普利姆米 里昂的工事。普利姆米里昂是叙拉古城对面的一个海角,它凸出于海 面,使大港入口狭窄。他认为在这个地方设防将使其更容易运入军需物 资,因为他们将能够在距叙拉古人占据的港口更近的地方实施封锁;对 敌舰的每次活动,他们也不必从大港深处出发前来阻击敌舰了。除此之 外,他开始更加重视海战,因为吉利浦斯的到来削弱了他在陆地上取胜 的希望。[5]因此,他率领他的舰船和部分陆军来到普利姆米里昂, 修筑3个要塞,把大部分军需物资储存在这里,以便将来在那里停泊较 大的商船和战舰。 [6]正是由于这次转移,雅典桡手的处境便开始恶化了。他们缺 少饮用水,必须到很远的地方去打水,桡手们出去找柴火时常常遭到叙 拉古骑兵的截杀,因为叙拉古人控制着这个地方;敌人骑兵的三分之一 驻扎在名叫奥林匹亚昂的小镇上,以便阻止侵入普利姆米里昂的雅典人 劫掠那个地区。[7]同时,尼基阿斯获悉科林斯人的其余舰船将要到 了,便派遣20艘舰船前去监视他们,命令他们在科林斯人的舰队靠近罗 克里斯和瑞吉昂或驶近西西里时,从中邀击。

    5 这时候,吉利浦斯利用雅典人用于修筑城防工事的那些石料,继 续修筑横穿爱皮波莱的城墙。同时,他总是带着叙拉古人和同盟者的军 队出来,在城墙前排成战斗队列,雅典人也严阵以待。[2]最后,他 认为时机已到,就开始进攻,双方在两道城墙间短兵相接,展开肉搏, 叙拉古人的骑兵没有派上用场。[3]叙拉古人及其盟军被打败了。根 据休战和约,叙拉古人收回他们的阵亡将士尸体,雅典人竖立一座胜利 纪念碑。这次交锋后,吉利浦斯召集全军会议,他说,这次战败不是士 兵们的过错,而是由于他自己的过失;他使战阵过于深入两道城墙之 间,这样就使他们的骑兵和标枪手无法发挥作用。[4]因此,现在他 将再次率领他们出战。他说,他们要记住,在物质力量上,他们完全可 以与敌人抗衡;在精神和士气上,他们占有优势。如果伯罗奔尼撒人和 多利斯人没有信心战胜并驱逐伊奥尼亚人和岛上居民,以及与他们在一 起的那些乌合之众,那是不能容忍的。

    6 之后,当有利的战机出现时,他又率领他们前去攻击敌人了。现 在,尼基阿斯和雅典人认为,即使叙拉古人不愿主动出来作战,他们也 必须阻止叙拉古人修筑横穿爱皮波莱的城墙,因为这条城墙几乎已经抵 达他们自己城墙的终端了,如果让其继续修筑下去,届时,将会使他们 在战场上所有的胜利化为乌有,那就与一仗不打毫无二致了。因此,他 们出来阻击叙拉古人。[2]吉利浦斯率领重装步兵,在距离要塞比前 次战役稍远一些的地方,以便参加战斗;他以其骑兵和标枪手来对付雅 典军队的侧翼,雅典军队的侧翼位于离两道城墙尽头不远的开阔地带。 [3]在战斗中,骑兵向对面的雅典军队进攻,击败他们的左翼。结 果,雅典军队的其余部分也为叙拉古人所败,仓皇逃回他们的要塞中。 [4]第二天晚上,叙拉古人把城墙修筑到雅典人的城墙边,并穿越雅 典人的城墙。这样,雅典人再也无法阻止他们修筑自己的城墙了;以后 即使雅典人在战场上取得胜利,他们也没有包围叙拉古城的机会了。

    7 这之后,留下的科林斯的、安布拉基亚的和琉卡斯的12艘舰船在 科林斯人爱拉辛尼德斯率领下,避开雅典舰船的监视,驶入港口,他们 帮助叙拉古人完成那条横穿城墙的剩余部分的修筑工作。[2]同时, 吉利浦斯到西西里的其他地区招募陆军和海军,也想说服那些不热心于 抵抗雅典人入侵或者当时还完全置身于战争之外的城邦加入他们一方。 [3]叙拉古人和科林斯人的使者也被派往拉栖代梦和科林斯去争取让 他们再派些军队前来,以各种方式提供援助,商船也好,运输船也好, 其他任何确保取胜的援助都可以,因为雅典人也正在派人回国请求派遣 新的援军;[4]而叙拉古人开始为一支舰队配备人员并进行训练,也 想在海战中一显身手。总的说来,他们都信心十足。

    8 尼基阿斯注意到战局的这种变化,看到敌人的势力日益强大,而 他自己的困难却与日俱增,他自己也派人到雅典去求援。此前他多次向 国内报告他们进行战斗的情况,现在,他特别感到派人回国报告战争局 势是他义不容辞的责任,因为他认为他们的处境险恶,除非迅速撤回或 者有来自国内的强有力的增援,否则他们就没有安全的希望了。[2] 可是,他担心信使由于缺乏表述能力,或者由于记性不好,或者由于想 讨得民众的欢心而不报告西西里的实情,因此,他认为最好是写一封 信,以确保雅典人能知道他的意见,而不会在传达过程中受到歪曲,使 雅典人能够依据真实情况作出决定。[3]于是,他派使者携带这封信 和必要的口头指令出发了;而他则关注军中之事,目的在于保持守势, 避免任何不必要的冒险。

    9 在这个夏季即将结束之际,雅典将军攸提昂在柏第卡斯的协助 下,率领大批色雷斯人的军队进攻安菲波里斯,结果未能攻下这座城 市;他率领战舰绕道进入斯特里梦河,以希麦赖昂为基地,从河道上封 锁该城市。现在夏季结束了。

    10 接着在冬季里,尼基阿斯派出的使者抵达雅典,传达了尼基阿 斯给他们的口头指令,回答了一些被质询的问题,并递交了尼基阿斯的 亲笔信。雅典城邦的书记员走上前来,向雅典人宣读这封信,内容如 下:

    11 “雅典人:我们过去所采取的行动,你们已经从过去的许多信中 知道了。现在给你们的这封信,同样是通报我们当前的处境,请你们采 取相应的决策。[2]我们是被派去进攻叙拉古人的,在与叙拉古人的 战斗中,我们在大多数情况下都打败了他们;当吉利浦斯带着从伯罗奔 尼撒和西西里一些城邦招募的军队赶到这里的时候,我们已经筑好了一 些工事,现在仍由我们据守着。我们在与吉利浦斯的第一次战斗中取得 了胜利;在第二天的交锋中,我们被他们的众多骑兵和标枪手打败,被 迫退守我们的要塞。[3]目前,由于敌人人数众多,我们处于被动地 位,不得不中止修筑围墙 [4] ;我们甚至不能利用现有的全部兵力,因 为我方大部分重装步兵必须守卫自己的防线。同时,敌人已经修筑了一 道城墙,穿过我们的围墙,如果我们没有一支强大的军队攻占敌人的这 道城墙,将来就不可能对他们实施包围。[4]因此,我们虽在名义上 是围城者,但至少在陆地上,我们实际上成了被围者;因为我们被他们 的骑兵所阻截,根本无法深入乡间。

    12 “除此以外,敌人已经遣使到伯罗奔尼撒去请求援军,而吉利浦 斯已前往西西里各邦,一则希望说服那些现在犹处于中立的城邦加入他 们一方,二则希望从其盟邦获得更多的陆军,取得更多的海军军需物 资。[2]在我看来,他们打算发动一次联合攻势,用他们的陆军和海 上的舰队进攻我们的要塞。[3]我说他们也将在从海上同我们作战, 你们一定不要大惊小怪。他们已经发现,我们的舰船下海已久,船体已 腐,船员疲竭消损,而我们的海军在出发时状况很好,船员雄壮,船体 坚固。[4]我们现在不可能把舰船拖曳上岸晒干维修,因为敌人的舰 船和我们的一样多,甚至还要多些,我们随时有可能遭到攻击。[5] 事实上,我们可以看到,他们在不停地操练,他们可以主动采取行动; 他们不是在围困别人,因而更有条件晒干其船体。

    13 “即使我们有大量舰船空闲着,而且没有倾全力去封锁他们,我 们也无法修理这些舰船。因为穿越叙拉古境内运送军需物资已经有困难 了,如果我们稍有疏忽,就会丧失我方的军需来源。[2]我们桡手们 的状况已经恶化了,而由于以下原因,其恶化的程度还会与日俱增。我 们的桡手必须到很远的地方去搜罗柴火,搜集粮秣,去取饮水,他们常 常遭到叙拉古骑兵的杀害;我们失去了过去所拥有的优势,使我们的奴 隶胆敢逃亡,在我们军队服务的异邦人,想不到竟有一支海军与我们对 抗,他们因看到敌人的抵抗力量而动摇了。这些人是被迫前来服役的, 他们一有机会,就跑回各自的城邦;这些人起初因受高薪的诱惑而来, 原本以为很少作战就可以大捞一把,现在他们离我们而去,要么逃到敌 人那里,要么采取对自己有利的种种方式偷偷溜掉,广袤的西西里为他 们的逃亡提供了条件。有些人甚至自己在忙于做生意,他们说服船长让 其把海卡拉的奴隶带上舰船,顶替他们自己的岗位,这样就削弱了我们 海军的效力。

    14 “现在,我不用提醒你们都知道,一个桡手保持体力充沛的时间 是很短的,只有很少的桡手能在舰船起航后,在途中持续履行划桨的职 责。[2]但是,我最大的麻烦是,我虽身居将军之位,但你们雅典人 禀性倔强,难以驾驭,使我无法制止他们犯这些过错;同时,我们不能 从当地招募桡手,而敌人能从很多地方招募桡手,我们被迫依靠所带来 的人充当船员,弥补我们的人员损失。因为我们的同盟者那克索斯人和 卡塔那人在这方面不能给我们提供支持。[3]我们的敌人所需要做的 只有一件事,就是使供我军需的意大利人背叛我们。如果意大利人看到 我们处境窘迫,而你们又不派援兵,他们将会投附敌方,饥饿将迫使我 们溃退,叙拉古人将不费吹灰之力赢得这场战争。[4]这是实际情 况,我可以给你们一个不同内容的报告,使你们更容易接受,但肯定于 事无补;如果你们在作出决定以前想了解这里的真实情况,那么就没有 什么比这封信更有益的了。而且,我知道你们的禀性,喜欢人家报告悦 耳的消息,一旦事情的结局差强人意,你们随后就会责难告诉你们消息 的人;因此,我认为向你们通报真实情况才是最安全的。

    15 “现在你们要认识到,不论你们的将军还是士兵,已经不能再与 起初对抗他们的那支敌军相匹敌了。但是,现在整个西西里联合起来对 抗我们;预计敌人还会从伯罗奔尼撒得到一支新的援军,而我们在这里 的军队,甚至连我们目前的敌人都不能应付了。你们必须当机立断,召 回我们,另外派遣一支与上次远征军数量相当的舰队和陆军,并且带上 大量的金钱,同时另派一人来接替我的职务,因为我身患肾病,不宜于 留任现在的职务。[2]我想我要请求你们照顾,因为我年富力强时, 在指挥官职位上恪尽职守,屡有贡献。但是,无论你们作出怎样的决 定,在春季开始时都要行动,不得拖延。因为敌人很快就将从西西里获 得援军,来自伯罗奔尼撒的援军会在稍后抵达;除非你们重视这个问 题,否则西西里的援军将在你们之前到达,而伯罗奔尼撒援军会像过去 一样,不等你们发觉,就已偷偷地前去了。”

    16 这就是尼基阿斯的信的内容。雅典人得知这封信的内容后,不 肯接受他的辞职请求,但给他选派了两位同僚军官,米南德和攸西狄姆 斯 [5] ,暂时分担指挥前线战事,直到新任命的两名同僚军官抵达就任 时为止。这样,尼基阿斯可以不必抱病独自承担军队的全部领导工作。 雅典人还议决另派一支军队,包括陆军和舰队前去。这支军队的士兵, 一部分是按雅典兵员名册征召,一部分从同盟者中征募。[2]他们为 尼基阿斯挑选的同僚将军,是阿尔基斯提尼斯之子德摩斯提尼 [6] 和苏 克利斯之子攸里梅敦 [7] 。冬至前后,攸里梅敦奉命立即前去西西里, 带着10艘舰船、120塔连特白银,受命告诉在西西里的雅典军队,说援 军即将到来,他们的利益是会受到照顾的。

    17 德摩斯提尼留在后面,组织远征军。他计划在开春时出发,一 面派人到盟邦征募军队远征,一面在国内筹集金钱、舰船和重装步兵。 [2]同时,雅典人还派出20艘舰船环绕伯罗奔尼撒游弋,以防止 从科林斯或伯罗奔尼撒起航的任何一艘舰船渡海前往西西里。[3]至 于科林斯人,由于使者从西西里带来了关于战局发生可喜的变化的消 息,科林斯人更有信心了。他们相信以前派出去的舰队发挥了作用,现 在他们准备用商船把一支重装步兵运往西西里;而拉栖代梦人同样准备 把在伯罗奔尼撒其他地区招募来的军队运往西西里。[4]科林斯人还 为一支有25艘舰船的舰队配齐桡手,以备与驻守诺帕克图斯的雅典舰队 交战 [8] 。这样,就迫使雅典人把注意力集中在列阵佯攻他们的舰队 上,使诺帕克图斯的雅典人不易阻止科林斯人的商船出航。

    18 与此同时, [9] 拉栖代梦人按照他们过去所作出的决定,在叙拉 古人和科林斯人的敦促下,准备入侵阿提卡。叙拉古人和科林斯人得知 雅典人将派援军到西西里,希望这次入侵能阻止雅典派兵出援,阿尔基 比阿德斯也急切地敦促拉栖代梦人在狄凯里亚设防,全力投入战争。 [2]但是,最使拉栖代梦人受到鼓舞的,是他们相信雅典人与他们自 己和西西里希腊人两线作战,会更容易被击溃;也因为他们确信,是雅 典人首先违反休战和约的。拉栖代梦人认为,在上次战争 [10] 中,他们 自己方面的过失多些,一则因为底比斯人在和平时期进入普拉提亚, [11] 二则因为他们自己拒不接受雅典人提出的仲裁请求,尽管上次条约 [12] 中有这样的条款:一方如提出仲裁请求,任何一方不得付诸武力。 正因如此,他们认为他们所遭受的灾难是咎由自取,使他们刻骨铭心的 是在派罗斯的惨败 [13] 和其他战役的失败。[3]但是,现在雅典人除 了从派罗斯出兵劫掠外,还有30艘雅典舰船从阿尔哥斯 [14] 出发,不断 地蹂躏爱皮道鲁斯、普拉西埃和其他地区。每当对条约中疑点的解释发 生争议的时候,他们一方建议仲裁,却总是被雅典人拒绝,拉栖代梦人 终于认识到,雅典人现在的过失,同他们以前的过失是一样的,是属于 有罪过的一方;于是他们开始热心地进行战争。[4]在这个冬季里, 他们派人到各盟邦去,请求供给铁,并且为构筑要塞准备其他工具;同 时,他们开始在国内招募军队,还在伯罗奔尼撒其他地区强行征调军 队,用商船把军队运送去援助西西里的盟邦。这样冬季结束了,修昔底 德记载的这场战争的第十八年结束了。

    19 翌年初春 [15] ,比以前任何一次都早些 [16] ,拉栖代梦人及其同 盟者在拉栖代梦国王阿奇达姆斯之子阿基斯率领下侵入阿提卡。他们首 先蹂躏了平原地带,继而着手在狄凯里亚构筑要塞,并把工程分派给各 盟邦来做。[2]狄凯里亚距雅典城约120斯塔狄亚 [17] ,由此到波奥提 亚的距离,与到雅典城的距离相当,或者不会更远一些 [18] ;他们构筑 这个要塞的目的,就在于能袭扰平原地带和乡间最富庶的地区。这个要 塞从雅典城里就能看得见。[3]当在阿提卡的伯罗奔尼撒人及其同盟 者构筑要塞的时候,他们国内的同胞大约在同时用商船把重装步兵运往 西西里。拉栖代梦人从黑劳士和涅奥达摩德斯人 [19] 中精选出600名重 装步兵,由斯巴达人爱克里图斯负责指挥;波奥提亚人的300名重装步 兵由底比斯人塞农和尼康以及泰斯皮亚人希格山大指挥。[4]这些人 属于首批启程者,他们从拉哥尼亚的泰纳鲁斯出发。他们启程后不久, 科林斯人派出由科林斯人和阿卡狄亚的雇佣兵组成的一支500名重装步 兵的军队,由科林斯人亚历萨库斯指挥。像科林斯人一样,西基昂人在 同一时间也派出200名重装步兵,由西基昂人萨尔勾斯指挥。[5]同 时,由科林斯人在冬季配备了船员的25艘舰船,与停泊在诺帕克图斯的 20艘雅典舰船遥相对峙,直到用商船装运的重装步兵从伯罗奔尼撒安全 出航为止。这样就达到了原先为这些舰船配备人员的目的,使雅典人只 盯着战舰,而不注意那些商船。

    20 这期间,雅典人也没闲着。在春季刚刚开始、拉栖代梦人在狄 凯里亚修筑要塞的同时,雅典人派遣30艘舰船,在阿波罗多鲁斯之子卡 里克利斯的统率下,环绕伯罗奔尼撒游弋,并受命前往阿尔哥斯,请求 他们按照联盟条约之规定,为雅典舰队提供重装步兵。同时,他们按预 定计划,派遣德摩斯提尼前往西西里,[2]他率领60艘雅典舰船和5艘 开俄斯舰船,另有从雅典兵员名册中征调来的1200名重装步兵和尽可能 从各地召来服役的岛民。他们还带着从其他属邦所征集到的一切对战争 有用的物资。德摩斯提尼受命首先与卡里克利斯一起绕道航行,与他一 起攻掠拉哥尼亚沿岸。[3]因此他航往埃吉那,在那里等候他的其余 部队和卡里克利斯从阿尔哥斯募集的军队登船。

    21 在西西里,约在这年春季的同一时候,吉利浦斯率领他通过游 说尽力从各邦召来的愿意参战的军队,回到叙拉古。[2]他把叙拉古 人召集在一起,告诉他们必须为尽可能多的舰船配备桡手,试图进行一 场海战;他希望以此取得战局的优势,并认为是完全值得去冒险一搏 的。[3]赫摩克拉特斯积极支持他,鼓励自己的同胞在海上与雅典人 作战。他说,雅典人海上威力并非天生,也不会始终保持;与叙拉古人 相比,雅典人的陆地居民的成分甚至更大,他们只是由于受波斯人所 迫,才成为一个海上强国的。他又说,对于像雅典人一样无畏的人,遇 到一个同样勇敢的对手,似乎是最令其胆寒的;雅典人有时并无取胜的 实力,却常常以勇猛的气势攻击邻邦,从气势上威吓对手;现在叙拉古 人可以用同样的方法,来对付他们。[4]他还深信,叙拉古人勇敢地 面对雅典海军,这种出乎意料的场面定会使敌人感到恐慌,由此所获得 的优势,将充分抵偿有航海技术的雅典人对没有航海经验的叙拉古人所 造成的损失。因此,他力促叙拉古人切勿畏缩,要在海战中与对手一决 高下;[5]在吉利浦斯和赫摩克拉特斯或许还有其他人的游说下,叙 拉古人决定在海上作战,并开始为他们的舰船配备桡手。

    22 在舰队准备就绪的时候,吉利浦斯在夜色的掩护下率领全军出 动;他计划亲自率军由陆路进攻普利姆米里昂要塞,而35艘战舰按照事 先部署,从大港向敌人发起进攻,其余45艘战舰从他们的船坞所在的小 港驶出,绕道进入大港,与港内的舰队会合,同时进攻普利姆米里昂。 这样,就可以使雅典舰队遭到两面夹击,陷于混乱。[2]而雅典人迅 速配备60艘舰船的船员,他们以其中的25艘舰船对付大港中的35艘叙拉 古舰船,其余舰船迎战从船坞绕道驶出的叙拉古人的舰船;海战正好在 大港入口处进行,双方将士都顽强拼搏,处于相持状态,一方力图强行 冲进港口,另一方则寸步不让。

    23 同时,在普利姆米里昂的雅典人都已下海,全神贯注于海战之 时,吉利浦斯在凌晨对要塞发动突然袭击。首先攻陷最大的要塞,随 后,两个小要塞的雅典守军看到大要塞竟如此轻易地被攻占,所以吉利 浦斯兵锋未至,他们就弃塞而逃。[2]先失守的那个要塞中的守军, 在登上小船和商船后才得以脱逃,抵达其营地,不过这也颇为艰难,因 为在大港的海战中占据优势的叙拉古人,派出一艘快速战舰追击他们。 但是,当其他两个小要塞陷落时,正值叙拉古人快要被打败的关头;所 以这两个要塞的逃兵,才得以较为容易地沿海岸航行。叙拉古人的舰船 在大港入口处,击退阻止其通过的雅典舰船,进入港口,但他们的舰船 毫无秩序,彼此互相碰撞,结果把胜利拱手让与雅典人;雅典人不仅打 垮了这支舰队,还击溃了那支在港内已经打败过他们的舰队。[3]雅 典人击沉11艘叙拉古人的舰船,杀死了舰船上大多数船员,有3艘舰船 上的船员被他们俘虏。雅典人自己只损失了3艘舰船。他们把叙拉古人 的残船拖上岸边,在普利姆米里昂前面的小岛上竖立一座胜利纪念碑, 然后回到他们的军营。

    24 叙拉古人虽然在海战中失败了,但他们仍占据着普利姆米里昂 要塞,并为此建立了三座胜利纪念碑。他们把后面占领的两个要塞当中 的一个夷为平地,把其余两个要塞修复,派兵驻守。[2]在这些要塞 被攻陷时,很多人被杀死或者被俘虏了,很多财物完全落入敌人手中。 因为雅典人把这些要塞作为仓库,里面贮存有商人们的大量货物和谷 物,还有大批的属于舰长 [20] 的东西;雅典人损失的不只是那3艘已拖 到海岸的战舰,那可装备40艘战舰的桅杆和其他设备也都落入敌手。 [3]事实上,普利姆米里昂要塞的失陷,是雅典军队溃败的首要和最 主要的原因;现在,运输军需的舰船甚至到了大港的入口,都不再安全 了,因为叙拉古人的舰船在那里等着,阻止它们进入;要输入军需就不 得不交战。而且,这个事件引起雅典全军沮丧失望,士气低落。

    25 此役过后,叙拉古人派遣叙拉古人阿伽萨库斯率领12艘战舰出 航,其中1艘带着使者们前往伯罗奔尼撒,向他们通报西西里的战局, 说明叙拉古人满怀希望,敦促伯罗奔尼撒人在希腊本土要更加积极地推 进战争;而其他11艘舰船航往意大利 [21] ,因为他们听说为雅典人运输 军需的舰船已在途中。[2]他们碰到这个运输船队,摧毁了其中的大 多数。他们还在考伦尼亚境内,把大量准备给雅典人造船用的木材付之 一炬。[3]之后这支叙拉古舰队去了罗克里斯,在他们停留在那里的 时候,一艘来自伯罗奔尼撒商船到了,船上载着一些泰斯皮亚重装步 兵。[4]叙拉古人让这些重装步兵到自己船上,沿着海岸航行回国。 雅典人率领20艘舰船在麦加拉 [22] 监视叙拉古人的舰队,但仅俘获一艘 舰船和舰上桡手,其余舰船全都逃到叙拉古去了。[5]在港口附近钉 有木桩的水域也有一些零星战斗。叙拉古人在旧船坞前面的海底钉下木 桩,这样,他们的舰船停泊在木桩里面,不致遭到尾随而来的雅典舰船 的撞击。[6]雅典人驶来1艘载重1万塔连特 [23] 的大船,船上装备有 木塔和帐幕,他们乘坐小船,用绳子套住木桩,拧动绞盘把木桩拔出和 折断;或者潜入水中把木桩锯断。同时,叙拉古人从船坞向他们投以标 枪,他们也从大船上向叙拉古人予以还击,最后,雅典人拔掉了大多数 木桩。[7]但是,这种围护桩最难对付的是眼睛看不见的那部分木 桩:有一些木桩被钉在海底,未露出水面,对航行的舰船构成威胁,舰 船在其上航行,就如同在暗礁上面航行一样,是很危险的。可是,当潜 水员为了得到赏金,潜入海底锯掉这些木桩,而叙拉古人又钉下另外一 些木桩。[8]事实上,两支敌对军队在这样近的距离内互相对峙,这 是预料之中的。所以,双方挖空心思,想出各种办法来对付对方,小规 模的战斗经常发生,各种战术不断地试用。 [9]同时,叙拉古人派出的由科林斯人、安布拉基亚人和拉栖代 梦人组成的使团到西西里各地,向各城邦通报他们夺取了普利姆米里昂 的消息,并且说明他们海战失利的原因更多的是由于他们自己的混乱, 而不是敌人力量的强大;总之,要让各城邦知道他们对胜利充满信心, 请求各邦给予海军和陆军的支援,因为可以预料到雅典人会有新的援军 加盟,如果在雅典人的援军到达以前,就把这里的雅典军队消灭,这场 战争就将结束了。双方在西西里的战事就这样持续着。

    26 至于德摩斯提尼,他现在把所征募到的军队集中起来,从埃吉 那进发,航行到伯罗奔尼撒,与卡里克利斯及其所率领的30艘雅典舰船 会合。他们载着阿尔哥斯的重装步兵,驶向拉哥尼亚。[2]他的军队 首先劫掠了爱皮道鲁斯·利米拉的部分地区,然后在基塞拉对面的拉哥 尼亚登陆,那个地方是阿波罗神庙所在地。他们毁掉这里的部分地区, 在一个形似地峡的地带筑垒设防,使拉哥尼亚的黑劳士可以逃往那里, 同时也像派罗斯一样,可以从这个设防要塞出动,侵入内地劫掠。 [3]德摩斯提尼帮助卡里克利斯占领这个地方,随即驶向科基拉,带 上从那里取得的盟邦军队,然后尽快驶向西西里;卡里克利斯留在那 里,直到要塞筑成;他留下军队驻守,自己率领30艘舰船回国,阿尔哥 斯人也回国去了。

    27 这年夏季,由色雷斯的狄伊人部落的剑客组成1300名轻盾武士 抵达雅典,他们本当随德摩斯提尼一同航往西西里的。[2]因为他们 来得太迟,雅典人决定把他们遣回色雷斯去;如果让他们留下以用于狄 凯里亚战争,则费用太高,因为他们每人每天的薪饷是1个德拉克玛。 [3]事实上,自从这年夏季以来,伯罗奔尼撒人出动全军首先在狄凯 里亚设防,由来自各盟邦的军队定期换防,以此地作为袭扰乡村的根据 地,使雅典人蒙受了很大的损失。事实上,狄凯里亚被占领,导致财产 毁坏、人力丧失,这是造成雅典覆灭主要原因之一。[4]以前的入 侵,时间都很短,并不妨碍雅典人在其余时间利用他们的土地。但是现 在,敌人常年盘踞在阿提卡,有时派军队四处攻掠,有时派常驻戍军蹂 躏乡村,攫夺物资;拉栖代梦国王阿基斯亲临战场,指挥作战勤勉有 方。因此,雅典人受到重创。[5]他们失去了全部乡村;两万多名奴 隶逃走,他们当中的大部分人是工匠 [24] ;他们的全部羊群和役畜都丧 失了。而且,雅典的骑兵每天要外出,到狄凯里亚,巡视乡村,他们的 坐骑不断地在多石崎岖的路上往返奔走,有些马匹腿跛了,有些则为敌 人所伤害。

    28 狄凯里亚被占领造成的恶果还不只这些。从优波亚输入的必需 品,从前取道奥罗浦斯,由陆路经狄凯里亚,路途便捷;现在,要经海 路绕道苏尼昂海角 [25] ,费用高昂;雅典全城所需都不得不从海外进 口,现在的雅典城不再是一个城市,而是变成一座要塞了。[2]夏去 冬来,不间寒暑,雅典人要一直防守要塞,这使他们精疲力竭,疲于奔 命。白天,轮流守卫;夜间,除骑兵外,全体出动,有些人在哨所中, 有些人在城墙上。[3]但是,最使他们不胜负荷的,是同时进行两场 战争。他们达到如此顽强果决的程度,如果在事情发生之前听到这种说 法,没有人会相信这是可能的。当盘踞在阿提卡的伯罗奔尼撒人对雅典 城构成包围之势的时候,他们并未从西西里撤军,反而留在那里,以同 样的方式围攻叙拉古城,这个城市(姑且称之为城市)在任何方面都不 亚于雅典,这是任何人都难以想象的;同样令人难以置信的是,希腊世 界对于雅典人的势力和胆量的估计完全错误。因为在战争之初,雅典人 给人们的印象是这样的:一些人认为,如果伯罗奔尼撒人侵入其境内, 雅典人可以支撑1年,有些人认为可以支撑2年,从没有人认为会超过3 年。可如今,距伯罗奔尼撒人第一次入侵阿提卡 [26] 境内已历经17年之 久了,雅典人虽然遭受了战争的各种磨难,但他们还能够到西西里去开 展一场新的战争,一场规模毫不亚于他们与伯罗奔尼撒人进行的战争。 [4]由于这些原因,由于狄凯里亚被占领所造成的巨大损失,以及他们 所承担的其他浩大开支,导致雅典人在财政上陷于窘境。在这个时候, 他们对臣属诸邦的所有从海上进口和出口货物抽取二十分之一的关税, 以取代向他们征收的贡赋,认为这将给他们带来更多的收入;他们现在 的支出与过去的情况大有不同,随着战争的持续,支出不断增加,收入 反而日渐萎缩了。

    29 因此,在当前财政困难之时,雅典人不想增加开支,他们马上 把那些因迟到而不能跟随德摩斯提尼一道出征的色雷斯人打发回去了。 [27] 狄伊特里弗斯奉命率领他们回国,他们将路过攸里浦斯 [28] ,如果 有可能,就利用他们沿海岸航行的机会伤害敌人。[2]狄伊特里弗斯 首先在塔那格拉登陆,行动迅速,劫走一些物品;随后,傍晚时分,从 优波亚的卡尔基斯横渡攸里浦斯海峡,在波奥提亚上岸,率领军队进攻 米卡列苏斯。[3]他们在赫尔墨斯神庙附近过夜,未被发觉,该神庙 距米卡列苏斯大约16斯塔狄亚 [29] 。黎明时分,他们进攻并夺取了米卡 列苏斯,这个城镇并不大;米卡列苏斯居民未加防守,没有料到有人会 从海上远道而来袭掠他们。他们的城墙太薄弱,有些地方已经倒塌,而 其他地方高度不够;他们城门也敞开着,以为是安全的。[4]色雷斯 人冲入米卡列苏斯城内,洗劫居民房屋和神庙,屠杀居民,无论是年轻 的还是年长者都未能幸免。他们逢人便杀,一个都不放过,对待儿童和 妇女也一样,甚至连那些役畜和所有活着的动物,也统统杀掉;色雷斯 种族,像那些最嗜杀的野蛮人一样,当他们无所畏惧的时候,嗜杀尤 甚。[5]米卡列苏斯城内一片狼藉,惨状难以描述,特别是他们冲入 当地一所最大的学校,把刚刚去上学的学童全部杀死。总之,降临到全 镇居民头上的灾难是如此突然和可怕,其悲惨程度是无与伦比的,也是 史无前例的。

    30 同时,底比斯人听到这个消息后,赶来援救。色雷斯人跑得不 远,底比斯人就追上了,夺回他们劫走的财物。色雷斯人在惊慌中,被 追至攸里浦斯的海边,这是他们停泊舰船的地方。[2]色雷斯人多半 是在上船的时候被杀死的,因为他们不会游泳,船上的桡手看到岸边所 发生的事情,他们就把舰船停泊在弓箭的射程之外。在撤退时 [30] ,色 雷斯人在其他地方非常令人钦佩地抵挡住底比斯人的骑兵。在首先遭到 底比斯人的骑兵攻击时,他们按照本国战术,聚拢结队冲出。在这次战 斗中,他们只有少数人员伤亡。很多在后面抢劫的人实际上是在镇上被 敌人逮住并杀死的。[3]在1300名色雷斯人当中,共有250人被杀。赶 来援救的底比斯人和其他人损失了大约20名骑兵和重装步兵,其中有一 名波奥提亚的同盟官斯基丰达斯。米卡列苏斯的大部分人被杀死。米卡 列苏斯所遭受的灾难,其悲惨程度不亚于这次战争中的任何一次灾难。

    31 这时德摩斯提尼在拉哥尼亚修筑一座要塞后,正在航往科基拉 的途中。 [31] 他发现在爱利斯的腓亚 [32] 停有一艘商船,商船上的科林 斯重装步兵, [33] 即将渡海前往西西里。他摧毁了这艘商船,但船上人 员逃走了,后来这些科林斯人搭乘另一艘船,继续航行。[2]随后, 德摩斯提尼抵达扎金苏斯和基法伦尼亚,带领一支重装步兵上船,派人 前往诺帕克图斯,要求那里的美塞尼亚人派些重装步兵来。他渡海到对 岸的阿卡纳尼亚 [34] ,又到了雅典人控制下的阿力齐亚和阿纳克托里 昂。[3]他在这个地方与从西西里返回的攸里梅敦相遇。前面已经提 到,在冬季,攸里梅敦奉命前去西西里, [35] 给那里的雅典军队送钱。 他把所见所闻告诉德摩斯提尼,还说他在海上获悉,叙拉古人已经占领 了普利姆米里昂。[4]驻守诺帕克图斯的指挥官科浓 [36] ,也在这里 晤见他们。他带来消息说,停泊在他对面的25艘科林斯人的舰船 [37] 从 未放弃敌对行为,正欲进行一场海战。因此,他请求他们分派一些舰船 给他,因为他自己的18艘舰船不足以抵挡敌人的25艘。[5]于是,德 摩斯提尼和攸里梅敦分拨给科浓10艘舰船,配以最好的桡手,以增援驻 守诺帕克图斯的舰队,同时着手准备把他们的军队集中在一起。攸里梅敦正从西西里返回,要回到雅典接受任命成为德摩斯提尼的同僚指挥 官,现在他驶往科基拉,指示科基拉人配齐15艘舰船的桡手,并就地征 募重装步兵,而德摩斯提尼则从阿卡纳尼亚地区招募投石手和标枪手。

    32 前面已经提到,叙拉古人在攻占普利姆米里昂后向各邦派出的 使者 [38] 已经圆满地完成使命,随即将带回他们所征募的军队。尼基阿 斯得知这一情况,就派遣使者出使肯托里巴人 [39] 、亚力基埃亚人和其 他友好的西克尔人 [40] 部落(他们控制着敌人的通道),要求他们不许 敌人过境,还要联合起来阻止其通过。因为阿格里真坦人是不会允许敌 人过境的,敌人已无他路可寻。[2]西克尔人按照雅典人的请求,在 西西里希腊人的行军途中,布置了3支伏兵,在对方没有防备之时,突 然发起进攻,杀掉约800人和几乎所有使者。仅有科林斯的一名使者得 以幸免。此人率1500人逃往叙拉古。

    33 大约同时,卡马林那人 [41] 也派来500名重装步兵、300名标枪手 和300名弓箭手援助叙拉古人,而革拉人 [42] 派来可装备5艘舰船的桡 手、400名标枪手和200名骑兵。[2]实际上,几乎整个西西里都积极 地加入叙拉古人一方以反对雅典人。只有持中立立场的阿格里真坦人是 一个例外,他们目前只是静观事变。[3]在西克尔人重创叙拉古盟军 之后,叙拉古人推迟了立即攻击雅典人的计划。而德摩斯提尼和攸里梅 敦率领从科基拉和大陆招募的全部军队,渡过伊奥尼亚湾,抵达伊阿皮 吉亚海角 [43] 。[4]他们由那里出发,把舰船停靠在伊阿皮吉亚附近 的科拉德斯群岛 [44] ,在这里把麦萨皮亚部落的150名伊阿皮吉亚标枪 手带上舰船。他们与麦萨皮亚部落酋长阿塔斯重修旧好以后,阿塔斯向 他们提供了这些标枪手,后来他们到了意大利的麦塔蓬提昂。[5]在 这里,他们依据联盟条约,说服麦塔蓬提昂人向他们派遣300名标枪手 和2艘战舰。他们率领这批援军沿海岸航行,到达图里伊 [45] 。他们发 现这里的反雅典党人在最近的一场革命中被驱逐了。[6]因此,他们 在这里集合并检阅全军,看看是否还有什么事情没做好。同时,他们想 说服图里伊人坚定地加入他们的远征军,使图里伊人在当前的有利形势 下,与雅典人订立攻守同盟。

    34 与此同时,停泊在诺帕克图斯的雅典舰队对面的25艘舰船上的 伯罗奔尼撒人,为了保护到西西里的运输通道,随时处于临战状态。他 们还为另外的一些舰船配备桡手,使得他们在舰船数量上和雅典人不相 上下。他们把舰船停靠在里比地区阿凯亚的爱里纽斯 [46] 。[2]他们 停泊的地方形如新月,前来增援的陆军由科林斯人和他们的同盟者组 成,他们在海湾两侧伸出的岬地上列成阵势,而科林斯人波利安提斯指 挥的舰队控制这片海域,封锁了海湾入口。[3]现在,雅典的33艘舰 船在狄菲鲁斯指挥下 [47] ,从诺帕克图斯驶出,向他们进攻。[4]起 初,科林斯人按兵不动,等他们认为战机终于来临时,便发出信号,前 去与雅典人交战。[5]双方相持,互不退让。结果,科林斯人损失了3 艘舰船,雅典舰队虽没有一艘沉没,但有7艘失去战斗力。在双方舰船 的迎面撞击中,雅典人的船喙被科林斯人的船头洞穿。为了撞击敌舰, 科林斯人对船头两侧的吊锚架 [48] 做了加固处理。[6]这次海战胜负 未决。战后,双方都宣称自己获胜(尽管雅典人截获被海风吹到海面上 的残船,科林斯人也无意出来夺回它们)。交战双方都离去了,双方都 没有追逐对方,也没有人员被俘;由于在海岸附近作战,科林斯人和伯 罗奔尼撒人易于脱身,雅典人方面也没有舰船被击沉。[7]现在雅典 人驶回诺帕克图斯,科林斯人以胜利者身份立即竖立一座胜利纪念碑, 因为他们使敌人的很多舰船丧失战斗力。而且,他们认为自己没有被打 垮,正是基于同样的理由,他们的对手认为,他们没有取胜;科林斯人 认为,只要他们没有被彻底击败,他们就是胜利者,而雅典人认为,既 然他们没有取得决定性胜利,就等于是失败的。[8]可是,当伯罗奔 尼撒人乘船离去,他们的陆军撤走后,雅典人也以胜利者的身份,在阿 凯亚距科林斯人驻扎地爱里纽斯约20斯塔狄亚 [49] 竖立一座胜利纪念 碑。在诺帕克图斯的海战就这样结束了。

    35 我们的叙述回到德摩斯提尼和攸里梅敦:现在图里伊人准备派 遣700名重装步兵和300名标枪手加入他们的军队。 [50] 这两位雅典将军 命令他们的舰船沿海岸航行到克洛托那 [51] 境内,同时在西巴里斯河畔 检阅全部陆军,随即率领陆军通过图里伊国境。[2]他们抵达海里阿 斯河时,克洛托那人谴信使来报,说克洛托那人不允许他们通过其国 境。于是,他们沿海岸而下,在海里阿斯河口近海处宿营,并与他们的 舰队会合。翌日,他们起航,沿海岸航行,停靠除罗克里斯外的所有城 市,直至他们到达瑞吉昂境内的佩特拉。

    36 同时,叙拉古人得知雅典援军正在迫近,决定动用他们的舰队 和岸上的其他军队,再向雅典人进攻。他们把军队集中起来,就是想在 雅典人的援军抵达前开始行动。[2]依据过去的海战经验,他们又对 船体进行了多项改进,现在采用一些设备武装海军;缩短船喙部位,安 装上一些材料使船头更坚固,使吊锚架更坚实,并在其下支撑梁木,其 伸向船内和船外的长度都达到6肘尺 [52] ,这与科林斯人在诺帕克图斯 和雅典舰队作战前改进其船头的方法一样。[3]叙拉古人认为,这样 他们就可以在与雅典舰船作战中处于有利地位。雅典人的船头建造得没 有那么坚实,是轻巧型的,因为他们常用的战术,是把舰船迂回到敌舰 的侧面,再撞击船体的侧面或船尾,而不是用其船头迎面撞击敌船。叙 拉古人认为在大港进行海战,舰船众多,水面不阔,实际上对他们也有 利。他们将采用船头迎面撞击的方法,用坚硬的船喙碰撞空虚脆弱的雅 典人的船头,必将撞穿敌人的船头;[4]再者,在狭窄的海面上,雅 典人不能采用他们所擅长的灵活调动舰船来冲破敌军防线或者环绕敌舰 的战术。叙拉古人必尽全力,使雅典人无可乘之机,海面狭小,也妨碍 雅典人发挥其优势。[5]这种船头迎面撞击船头的战术,过去虽被认 为是舵手缺乏航海技术的表现,这次将成为叙拉古人应敌的主要办法, 且他们发现这种办法最实用。如果雅典人被迫退却,除了退向岸边外, 不可能朝其他地方的水域退却,只有一条很狭窄的航道可退却到其营寨 前面的一隅水域。港口内的其余区域将被叙拉古人控制;[6]雅典人 如果在战斗中受挫,他们的战舰会被挤压在狭窄的水面上,互相碰撞, 陷入混乱。事实上,这一点正是雅典人在所有海战中最深受其害的,他 们不像叙拉古人,不能向港内任何地方退却。这是因为叙拉古人控制着 进出港口的通道,尤其是普利姆米里昂被敌人占据,港口的出入口又不 大,因而他们绕道航行到公海,也是不可能的。

    37 这些是叙拉古人制定的适合他们技术和实力的策略;由于上次 海战的结果,他们目前信心更足了,准备同时从海上和陆地上攻击雅典 人。[2]吉利浦斯先率领一些军队出城,布阵于雅典人所筑的围城 前,这部分围城面对着叙拉古城。而来自奥林匹亚昂的军队,即叙拉古 人的重装步兵、骑兵和轻装步兵,则从对面进攻雅典人的城墙;在这些 调度之后,叙拉古人及其盟邦的舰船立即驶出。[3]雅典人起初认为 敌人仅只是从陆地上进攻他们,当他们看见敌人的舰队突然逼近时,他 们有些慌乱了:有些人在城墙上面或前面列阵准备迎击迫近的敌人,另 一些人急忙跑出来,抵御来自奥林匹亚昂和城外的众多骑兵和标枪手; 其他人登上舰船,或奔赴海边迎击敌军。雅典的75艘舰船,在配齐桡手 后就立即起航,以抵抗叙拉古约80艘舰船的进攻。

    38 当天的大部分时间,双方都在互相进攻,然后又撤退,发生过 小接触,除了叙拉古人击沉一两艘零散的雅典舰船外,任何一方都没有 取得值得称述的战果。同时,叙拉古陆军也从前线撤退。[2]翌日, 叙拉古人保持平静,没有任何将要发起进攻的迹象;但是,尼基阿斯鉴 于此役打成平手,预料敌人将再来进攻,责令各位舰长修理好受损的舰 船,把商船停泊在本方木栅栏前面。[3]雅典人在其舰船停泊地的前 面钉有木栅,用以形成一个围护起来的港口。商船彼此相距约2普列特 罗 [53] ,这样,任何一艘舰船如受敌追迫,都可以安全退却,又可以从 容驶出。雅典人用了整整一天时间从事上述部署,直到夜幕降临。

    39 第二天,叙拉古人比上次更早地发动攻势,但采用同样的海陆 进攻策略。[2]与从前一样,双方军队在大部分时间内互相对峙,有 些零星战斗;直到最后,科林斯人皮利库斯之子阿里斯同(他是叙拉古 军队中最能干的舵手),说服他们的海军指挥官,要他派人去通知城里 的官员,尽快把市场移到海边,责成每人带着他拥有的各种食物到海边 来出售,这样,海军指挥官就可以命令桡手们登陆后立即在离舰船不远 处进餐。在短暂间歇以后,在同一天攻击雅典人,这会出乎雅典人意料 之外。

    40 海军指挥官采纳了这个建议,派遣一名信使进城,市场随即准 备就绪。叙拉古人突然划桨向城里撤退,登陆后立即就地用餐;[2] 而雅典人推想叙拉古人已经撤回城里,因为他们认为叙拉古人已被击 败,于是悠闲地弃船上岸,开始用餐,并从事其他工作,他们相信当天 的战事已经结束了。[3]然而,叙拉古人突然登船,并再次向他们进 攻;雅典人秩序混乱,多数人尚未进餐,他们仓促上船,好不容易才把 舰船驶出来迎战。[4]最初一段时间内,双方都处于守势,没有交 战。但是最后雅典人为不使自己因在那里等待而陷于疲惫,决定不再拖 延,发起攻势,他们在呼叫声中投入战斗。[5]叙拉古人按照原定计 划,用迎面撞击船头的战术实施进攻。他们用坚固的船喙撞穿雅典人的 船头,穿入颇深。甲板上的标枪手也给雅典人以很大杀伤,但是给雅典 人造成更大伤害的是乘小船四处游弋的叙拉古人,他们行进到雅典舰船 的桨座之下,紧靠雅典人的船舷航行,从那里用标枪刺杀雅典桡手。 [54]

    41 双方以这种方式进行激烈搏杀,最后,叙拉古人获得胜利。雅 典人调转舰船方向,从商船的空隙间 [55] 逃到他们自己的停泊地。 [2]叙拉古的战舰穷追不舍,直追到雅典商船跟前。在这里,他们被 安置在商船上悬着大铁块的横杆挡住了去路,这种横杆伸出于两船之间 的航道上,可阻挡舰船通过。 [56] [3]有两艘叙拉古的战舰因胜利而 兴奋过度,太迫近横杆,遭到灭顶之灾,其中一艘船上的桡手被俘。 [4]叙拉古人击沉7艘雅典人的舰船,并使很多雅典人的舰船丧失战斗 能力,他们俘获这些舰船上的大多数桡手,杀死其他人,随即撤兵,为 这两次战役竖立胜利纪念碑。现在,他们深信,其海军已经取得决定性 优势;同时,他们对其陆军取得同样的胜利信心十足。

    [1] 尼基阿斯开始听到吉利浦斯即将到达西西里的时候,对这则情报不屑一顾。他以为吉利浦斯是来执 行私掠巡逻任务,而不是来参加作战的。参阅修昔底德,VI. 104。参阅史译本,第3册,第3页。 [2] 参阅修昔底德,VI. 97。 [3] 参阅修昔底德,VI. 103—104。 [4] 指包围叙拉古城的那条城墙。 [5] 他是参与签订公元前421年尼基阿斯和约者之一。参阅修昔底德,V. 19,24。 [6] 修昔底德在IV. 66提到他在军队中服务。 [7] 他在公元前424年远征西西里失利,曾被处罚金,参阅修昔底德,IV. 65。 [8] 在整个战争过中,雅典人经常有一支舰队驻守在这里,通常是20艘三列桨战舰。参阅修昔底德,II. 69,80。 [9] 公元前414/前413年。 [10] 阿奇达姆斯战争,即伯罗奔尼撒战争中最初十年的战争。 [11] 参阅修昔底德,II. 2。 [12] 指公元前446/前445年签订的三十年休战和约。参阅修昔底德,I. 115。 [13] 参阅修昔底德,IV. 24—41。 [14] 参阅修昔底德,IV. 105。 [15] 公元前413年3月。 [16] 拉栖代梦人曾多次在初春季节侵入阿提卡。 [17] 约合22千米。 [18] 实际上,狄凯里亚离波奥提亚比离雅典近得多。 [19] 参阅修昔底德,IV. 21;V. 34。 [20] 雅典三列桨战舰的舰长们是每年由富裕公民的名册中选任的,在服务之年开始的时候,他们从国家 取得没有船帆、索具及其他设备的空船;这些设备都是舰长们自己装配的。 [21] 在修昔底德的著作中,意大利这个名词仅指劳斯(Laüs)河和麦塔蓬提昂以南的地区。参阅地图 二。 [22] 在西西里东岸,叙拉古之北,为科林斯地峡上的麦加拉所建之殖民城邦,与母邦同名。 [23] 约合258吨。 [24] 关于这方面的研究,可参阅汉松:《修昔底德与狄凯里亚战争期间阿提卡逃亡奴隶》(V. D. Hanson, “Thucydides and the Desertion of Attic Slaves during the Decelean War”),载《古典古代》(Classical Antiquity ),1992年第11卷第2期,第210—228页。 [25] 在阿提卡半岛最南端,这里有海神庙,距离劳里昂银矿不远。 [26] 公元前431年。参阅修昔底德,II. 13。 [27] 参阅修昔底德,VII. 27。 [28] 优波亚和波奥提亚间的海峡,这里的海面很窄,是优波亚和大陆之间最接近之处。 [29] 约合3千米。 [30] 修昔底德说明他们的主要损失是在“上船的时候”造成的。 [31] 参阅修昔底德,VII. 26。 [32] 奥林匹亚的港口。 [33] 参阅修昔底德,VII. 17,19。 [34] 公元前426年夏季,他曾在这里作战。参阅修昔底德,III. 94以下。 [35] 参阅修昔底德,VII. 16。 [36] 雅典将军科浓在伯罗奔尼撒战争末期崭露头角,后来就是他借助波斯之力,主持重修雅典长城的。 色诺芬在其《希腊史》(IV. 8.9—12)中有较为翔实的记载。 [37] 参阅修昔底德,VII. 17,19。 [38] 参阅修昔底德,VII. 25。 [39] 肯托里巴位于卡塔那以上的西迈苏斯河畔,在埃特那西南约25英里。 [40] 西克尔人是西西里的土著居民;西克里奥特人是西西里的希腊殖民者。 [41] 参阅修昔底德,VI. 88。卡马林那为多利斯人的移民城邦。 [42] 参阅修昔底德,VI. 67;VII. 1。 [43] 即卡拉布里亚,意大利半岛的“靴跟”,希腊人称之为伊阿皮吉亚。 [44] Choerades Isles,据认为塔林顿港口附近海域的几个小岛。参阅A. W. Gomme, A. Andrews and K. Dover, A Historical Commentary on Thucydides , Vol. 4, p. 413。 [45] 此城为伯里克利在公元前443年所建殖民城市。希罗多德晚年成为该城公民。 [46] 瑞昂以东一个小地方。 [47] 他似乎带来15艘增援的战舰,代替了科浓的职务(VII. 31)。 [48] 船首两侧突出的横木,用以加强船头的力量的。锚即悬于其上。 [49] 约合3700米。 [50] 参阅修昔底德,VII. 33。 [51] 在意大利南端,约建于公元前710年,是阿凯亚人的殖民城邦。 [52] 肘尺(cubit,库比特)是古代的一种长度测量单位,以前等于从中指指尖到肘的前臂长度,或约等 于17至22英寸(43至56厘米)。一译腕尺,1腕尺= 45.7厘米。 [53] 普列特罗为希腊长度单位,1普列特罗约合100脚尺。英译者将2普列特罗径译为200脚尺。 [54] 无疑是把标枪从船桨通过的孔眼中刺进去的。 [55] 参阅修昔底德,VII. 38。 [56] 一根杠杆上突出的横杆,撑着很重的铁块,随时可以坠下,击中敌舰。

    第二十二章 战争的第十九年。德摩斯提尼到达叙拉古。雅典人在爱皮波莱的失败。尼基阿斯的愚蠢和固执。

    42 叙拉古人准备从海陆两个方面向雅典人再次发起进攻,正当此 时,德摩斯提尼和攸里梅敦率领的雅典援军赶到了。援军包括有外邦舰 船在内的战舰共73艘,雅典及其盟邦的重装步兵近5000人;还有许多希 腊的和蛮族的标枪手、投石手和弓箭手,以及相当数量的其他各种装 备。[2]这时,叙拉古人及其盟邦大为恐慌,担心他们的祸患将永无 终结之时。他们看到,尽管伯罗奔尼撒人已经在狄凯里亚设防,雅典人 还能派出一支几乎与上次到来的军队规模相当的援军,这在各方面都显 示出雅典势力的强大。另一方面,作战失利的第一批雅典军队,已经恢 复了一些信心。[3]德摩斯提尼审度形势,觉得不能拖延,以免重蹈 尼基阿斯的覆辙。尼基阿斯当初抵达时,没有立即进攻敌人,在卡塔那 度过一冬。敌人由其初来时感到恐惧,继而变得轻视他了。这使得吉利 浦斯有机可乘,从伯罗奔尼撒引来一支援军。而如果尼基阿斯立即发动 进攻,叙拉古人是绝对不会遣使出去求援的,因为他们相信自己足以对 付尼基阿斯。等到他们发现自己处于劣势的时候,他们已经处于雅典人 的完全封锁之中了;在遭到封锁之后,即使他们派人求援,援军的到来 仍不能达到与此前到来同等的效果。德摩斯提尼想到了这些,知道自己 现在正当初来之际,像尼基阿斯当初那样最令敌人生畏。因此他决定尽 早利用敌人对其军队的恐惧,谋取最大利益。[4]他发现叙拉古人修 筑起来以阻挡雅典人包围他们的那道城墙是单层的,如能控制通往爱皮 波莱的道路,进而控制那里的军营,夺取敌人的这道城墙并非难事,因 为那里甚至没有人驻守以抵御他的进攻。所以他想尽快尝试这个计划。 [5]他认为这是结束战争的最便捷的途径。因为,他如若取胜就可以 占领叙拉古,如若失利,则领兵回国,而不要白白地牺牲参加远征的雅 典人的生命,并且大量消耗国家的资源了。[6]因此,雅典人首先出 来毁掉阿纳普斯河 [1] 附近的叙拉古人的土地,起初他们在陆地上和海 上都处于优势,除了奥林匹亚昂的骑兵和标枪手应战外,叙拉古人在海 陆方面都没有进行抵抗。

    43 随后,德摩斯提尼决定首先用攻城器械尝试进攻叙拉古人的对 抗城墙。但是由于他带上去的进攻城墙的器械被守城敌军焚毁,其他在 多个地点进攻城墙的军队也一一受挫,于是他决定不再拖延,在征得尼 基阿斯及其同僚们的同意后,开始实施他进攻爱皮波莱的计划。[2] 在白天要靠近并且登上爱皮波莱而不被敌军发现,这似乎是不可能的; 所以他命令士兵带上5天的口粮,率领全部石匠和木匠以及弓箭,带着 他们此行得手后修筑要塞所需的一切东西,在头更 [2] 以后,率领攸里 梅敦、米南德和全部军队向爱皮波莱进发,尼基阿斯则留守要塞。 [3]他们沿攸里耶鲁斯山坡(这是第一批军队起初上去的路线)冲上 去,敌人守军并未察觉,他们逼近并夺取叙拉古人驻守的一个要塞,杀 掉部分驻守士兵。[4]但是,该要塞中的多数士兵立即逃散,向营寨 报警,在爱皮波莱共有3座营寨,营寨都有外围防御工事,一个是叙拉 古人的,一个是西西里希腊人的,还有一个是同盟者的;另有600名叙 拉古人的前哨守军驻守爱皮波莱的这个地方。[5]这些前哨守军立即 前来抵抗敌人的进攻,他们遭遇德摩斯提尼和雅典军队,经过一场激烈 的战斗,他们被雅典人击败;雅典人立即向前冲锋,希望一鼓作气,拿 下其进攻目标;同时,其他雅典军队一开始就夺取了叙拉古守军所放弃 的对抗城墙,并且毁掉其城垛。[6]叙拉古人、他们的同盟者以及吉 利浦斯率领的军队从外围工事赶来援救。不过,他们是带着恐慌情绪进 行抵抗的(这次大胆的夜袭行动是他们始料未及的),起初曾被迫退 却。[7]但此时,满怀胜利喜悦的雅典人虽在前进,但队列有些混 乱;他们希望尽快突破其余尚未接战的敌军,形成破竹之势,不给敌人 重新集结反击的时间。这时波奥提亚人首先起来向雅典人发起反击,击 溃了他们,迫使雅典人逃走。

    44 这时,雅典军队陷入极大混乱和困惑,交战一方或另一方很难 了解战事的具体情况。天亮以后,参战人员了解的战况肯定要多一些, 即便在那时候,他们也不清楚所发生的一切,没有人知道自己身边以外 发生的很多事情。但是,在这场夜战中(这是这场战争期间两军进行的 唯一一场夜战),谁能准确了解战斗情况呢?[2]尽管明月当空,他 们仅能相互看见而已,像人们在月光下那样,换言之,他们能分辨人的 轮廓,但不能确切地分清他是战友还是敌军。双方都有很多重装步兵在 一片狭小的区域内东奔西跑。[3]有些雅典军队已经被打败,而另一 些还未受到攻击,正好前来发动首次进攻。雅典其余的大部分军队,有 些刚刚登上高地,有些仍在往上冲,他们不知道该往哪个方向进军。前 线的雅典军队在被打败后,完全陷入混乱,嘈杂声使人们难辨敌我。 [4]取得胜利的叙拉古人及其同盟者,大声喊叫,相互激励,这也是 夜间唯一可能的联络方式,同时他们坚守阵地,顶住雅典人的每次进 攻;而雅典人正在相互寻找,把任何从对面跑来的人都当作敌军,尽管 其中一些人也许是刚刚败退下来的战友。问口令是雅典人彼此辨认的唯 一方法,而且由于人人不断地喝问口令,不但在他们自己中间引起很大 的混乱,还把口令泄露给了敌人。[5]而雅典人就不能如此轻易地得 知敌人的口令了,因为叙拉古人取得了胜利,没有被冲散,也较少误 认。结果是,如果雅典人碰到比他们弱小的敌人,敌人因为知道其口令 就逃走了;而雅典人自己如果不能回答口令,就会死于剑下。[6]然 而实际上给他们造成最大伤害的,是双方唱军歌,由于双方唱的是几乎 相同的军歌,会引起雅典人思想混乱。每当雅典军中的阿尔哥斯人、科 基拉人和其他多利斯族人唱其军歌的时候,在雅典人中间引起的恐惧情 绪,就像敌人唱军歌的时候一样。[7]这样,一旦陷于混乱,在战场 上的多数地方,他们是以朋友与朋友、公民与公民之间相互对抗而结束 战斗;他们不但彼此造成恐慌,甚至互相搏斗,要费很大的气力才能将 他们分开。[8]从爱皮波莱下山的道路狭窄,在敌人的追击下,很多 人是因为自己跌下悬崖而丧命的;至于那些安全地撤退到平原上的人, 他们当中很多人是对地形比较熟悉的,特别是第一批军队的士兵,他们 逃到军营里;而一些新来的士兵则迷失了道路,在旷野上跑来跑去,天 亮的时候被叙拉古人的骑兵包围并杀害了。

    45 翌日,叙拉古人竖立两座胜利纪念碑:一座在通往爱皮波莱的 斜坡上,另一座在波奥提亚人首先抵抗雅典人进攻的地方。雅典人按照 休战协定,收回了阵亡战友的遗体。[2]很多雅典人及其同盟者的士 兵阵亡,叙拉古人所缴获的武器数量超过阵亡者人数,这是因为有些士 兵被迫丢弃盾牌跳下悬崖,没有摔死的人就逃跑了。

    46 这次战役之后,叙拉古人因意外获胜而恢复了信心。他们派遣 西坎努斯率领15艘舰船前往发生革命的阿格里真坦,看是否有可能引导 该城市加入他们这一边;而吉利浦斯则又由陆路前往西西里的其他地 区,招募援军,希望现在一举攻占雅典人的城墙防线,取得与爱皮波莱 战役一样的胜利。

    47 同时,雅典的将军们正就已经遭遇的惨败和军队普遍的弱点商 议对策。他们知道自己的计划没有成功,士兵们再也不愿滞留下去了; [2]疾病在军中流行,一则因为这是一年中容易患病的季节,二则因 为他们的营寨位于对健康有害的沼泽地带。他们认为,战争形势总的看 来是没什么希望了。[3]因此,德摩斯提尼主张,他们不应该再停留 下去,按原计划冒险进攻爱皮波莱的策略,现在既已失败,他主张撤离 此地;趁海上还可以横渡时,不要再耽误时间了,他们后来的援军至少 还能使他们保持海上的优势。[4]他又说,与其进攻不再容易被征服 的叙拉古人,不如攻击那些已在阿提卡修筑要塞的敌人,这对于邦国是 更有益的。除此之外,耗费巨额金钱继续围攻而毫无结果,这也是不确 当的。

    48 这是德摩斯提尼的意见。尼基阿斯并不否认他们处境险恶,但 不愿承认他们的弱点,或者让敌人知道他们在全体会议上公开投票决定 撤退;倘若这样,当他们真的想撤退时,他们就很难秘密地撤退了。 [2]而且,他自己获得的一份特别情报使他有理由认为,如果他们继 续围攻,敌人的处境很快就会变得比他们自己更为恶劣;因为缺乏金钱 会使叙拉古人的物资消耗殆尽,特别是有了目前海军,他们控制着更为 广阔的海域。除此之外,在叙拉古有一个集团想背叛他们的城邦而投靠 雅典人,他们给尼基阿斯传递情报,劝他不要撤走。[3]因此,得知 这些情况的尼基阿斯,真的想等待机会,因为他仍在两种选择之间踌躇 未决,希望有机会作出更明晰的选择。所以在这个时候,他在公开演讲 中拒绝率军撤离。尼基阿斯说,他确信,没有雅典人自己的投票表决, 他们是决对不会赞成撤退回国的。而那些投票赞成此事的人,既不能像 他们自己那样根据耳闻目睹的事实作出判断,也不能从他们所听到的敌 对的批评意见中作出判断,他们很容易为任何狡猾的演说家的造谣中伤 所左右;[4]而在这里的很多士兵,事实上是绝大多数士兵,现在虽 公开叫嚷他们的处境危险,但他们一旦回到雅典,就会公开提出完全相 反的意见,说他们的将军受了贿赂,背叛了他们,撤退回国。因此,就 他自己而言,他深知雅典人的性格,与其在雅典人手下受到不公正的审 判,并在一项令人耻辱的罪名下很快被处死,不如碰碰运气,如果他必 须赴死,他宁愿作为一个军人死在敌人手下。[5]而且,叙拉古人的 处境毕竟比他们自己更险恶。叙拉古人向雇佣军支付酬金,花费金钱修 筑要塞,现在供养一支庞大的海军已整整一年,他们已经感到拮据,财 力将很快枯竭 [3] 。他们已经耗费了2000塔连特,还背负了巨额债款。 如果因为不能支付士兵的薪金,以致不得不裁撤他们现有军队中的哪怕 一小部分,他们的事业必将崩溃;因为叙拉古人更多地依靠雇佣兵,而 不像他们雅典人,依靠那些被强迫服役的士兵。[6]因此,他认为他 们应该留下来继续围攻,不要因战败而撤离,他们在金钱方面是占有很 大优势的。

    49 尼基阿斯的演讲态度坚决,是因为他掌握了关于叙拉古人财政 窘迫的确实情报,也因为叙拉古人的亲雅典派势力强大,并且不断向他 传递情报,劝他不要解除包围;除此之外,他对自己的舰队比从前更有 信心了,确信至少可以在海上赢得胜利。[2]但是,不同意继续围攻 的德摩斯提尼则说,假如他们因为没有得到来自雅典的命令,而不能引 军撤离,假如他们不得不继续留在西西里的话,那么也应当转移到萨普 苏斯或卡塔那去。在那里,他们的陆军可蹂躏大片的乡村,能够靠劫掠 敌人财物维持军队生活,同时给予敌人以伤害;而他们的舰队将有辽阔 的海域进行海战,就是说,不在敌人占有绝对优势的狭窄的海域作战, 在广阔的外海,他们的驾船技艺才有用武之地,无论他们撤退还是进 攻,他们都能不受海域约束或限制,进退自如。[3]无论如何,他坚 决反对原地不动地停留在这里,力主转移军队,尽快行动,不可有任何 一点拖延了。攸里梅敦赞同这个意见。但是,尼基阿斯仍然反对这个主 张,他们便有些胆怯和踌躇了,猜测尼基阿斯如此自信想必是因为掌握 了某些更准确的情报。雅典人就这样拖延下来,没有从原驻地撤离。 [1] 叙拉古西南流入大港的河流。 [2] 参阅修昔底德,II. 2及附注。 [3] 或“在某些方面已经供应不足,在其他方面将完全无法维持”。 第二十三章 战争的第十九年。大港战役。雅典军队的 撤离和覆灭。

    50 吉利浦斯和西坎努斯 [1] 现在返回叙拉古了。西坎努斯没有争取 到阿格里真坦人的支持,当他还在革拉时,阿格里真坦的亲叙拉古党人 就被驱逐了。但是吉利浦斯却带回了从西西里招募的一支大军,春天从 伯罗奔尼撒乘商船出发的重装步兵,也已经从利比亚抵达塞林努斯。 [2]他们在途中被风暴吹送而到了利比亚,并从基仁尼人那里获得2艘 三列桨战舰和舵手。他们沿海岸航行,途中和遭到利比亚人围攻的攸斯 皮里泰人一起,打败了利比亚人;然后他们从那里继续沿海岸航行到迦 太基的商业中心尼阿波里斯,这里是距西西里的最近地点,只需两天一 夜就可以到达。他们从这里渡海来到塞林努斯。[3]他们抵达后,叙 拉古人又立即准备从海陆同时进攻雅典人。雅典将军们看到敌人有新的 援军抵达,而他们自己的情况非但一点没有好转,反而日趋恶化,士兵 们更是为疾病所苦,于是开始后悔当初没有撤离了;尼基阿斯也不再坚 持其反对撤离的立场,只是竭力主张此事不应公开表决。他们严守秘 密,给全军下达命令,做好准备,信号一发出就从营地出动,航行出 去。[4]全军做好了一切准备,正要登船出发时,适值月圆之夜,发 生了月食 [2] 。大多数雅典人被这一现象所震撼,他们力劝将军们等 待。尼基阿斯沉迷于占卜和预言之中,他依预言家所说,要等待三个九 天 [3] 之后,才可以再讨论军队撤离的问题。这些雅典围攻者就这样不 合时宜地滞留在那里。

    51 叙拉古人得知这种情况后,比从前更急切地向雅典人施加压 力,因为现在雅典人自己也承认,他们无论在海上还是陆地上都不再拥 有优势了,否则他们是决对不会计划乘船撤离的。除此之外,叙拉古人 也不希望雅典人在更难于攻克的西西里的其他地方立足,他们希望尽快 在对他们有利的地点,迫使雅典人进行海战。[2]因此,他们配齐舰 船桡手,并且以他们认为足够的时日进行训练。当战机到来时,他们在 开战的头一天就袭击雅典人的城墙。雅典的少数重装步兵和骑兵从城门 中出来抵抗他们,叙拉古人截住一些重装步兵,把他们打败,迫使他们 败退回要塞。由于军营入口狭窄,雅典人损失了70匹马和一些重装步 兵。

    52 当天叙拉古人撤退了。翌日,叙拉古人出动舰船76 艘,他们的 陆军同时向雅典人的城墙发起进攻。雅典人派出86艘舰船前来迎战,两 军靠近,战斗开始了。叙拉古人和他们的同盟者首先击败了雅典的中 军。[2]随后,活捉了雅典海军的右翼指挥官攸里梅敦。他为了包围 敌舰,脱离舰船编队,靠近海岸,结果在港口一个凹陷幽深处被叙拉古 人俘获。叙拉古人杀死攸里梅敦,毁掉他所率领的舰船。此后,叙拉古 人追击雅典的全部舰队,把它们驱赶到岸边。

    53 吉利浦斯看到敌人舰队被击败,并已被驱赶到远离其栅栏和营 寨的海岸,就率领部分军队冲向防波堤 [4] ,以便在雅典人登陆时予以 歼灭,并且控制岸边,使叙拉古人更容易从这里拖走雅典人的舰船。 [2]为雅典人守卫这个据点的是第勒尼安人,他们看到吉利浦斯的军 队凌乱无序地进攻,就前来抵抗,击溃敌人的先头部队,把他们追逐到 吕西麦雷亚沼泽地。[3]随后,数量更多的叙拉古人和他们的同盟者 的军队赶到,雅典人担心他们的舰船受到袭击,也赶来救援,与敌人交 战,打败了敌军,把他们赶走,还杀掉敌人少数重装步兵。他们成功地 保全了大部分舰船,把它们带回营寨,但有18艘舰船被叙拉古人和他们 同盟者的军队劫走,船上人员全部被杀死了。[4]叙拉古人还试图火 攻雅典人的其余舰船,他们将一艘旧商船装上木柴和松木片,点起火 焰,借助风力,使其漂向雅典人一方。雅典人恐怕其舰船被焚,便设法 阻止这条船靠近,并设法灭火;他们扑灭了这条船上的大火,在距离他 们舰船很近的地方阻挡住这条商船,从而避免了被焚的危险。

    54 之后,叙拉古人竖立一座胜利纪念碑,以纪念他们在海战的胜 利以及在雅典人的城墙下截杀重装步兵、俘获战马 [5] 的胜利;雅典人 也竖立了一座胜利纪念碑,以纪念第勒尼安人把敌人的步兵逐入沼泽地 以及他们自己与其他军队一起取得的胜利。

    55 现在叙拉古人在海上取得决定性胜利,在此以前,他们还总是 惧怕德摩斯提尼带来的援军。雅典人感到非常沮丧和失望,他们还更加 懊悔前来远征了。[2]在与他们进行过战争的城邦中,叙拉古是唯一 一个和他们自己性质相似的城邦,像他们一样实行民主制,有舰队和骑 兵,幅员辽阔。雅典人既无法通过分化离间,改变叙拉古人的政体 [6] 的办法,使其归向自己一边,也无法以优势的军事力量征服他们。雅典 人的努力大都失败,他们已经不知所措了;如今他们又在海上吃了败 仗,而这次海战的失败完全出乎其意料,这就使得雅典人陷入更为严重 的窘境之中。

    56 同时,叙拉古人的舰船立即开始在港内自由游弋,他们决定封 锁港口。这样一来,雅典人即使想偷偷溜走,也不可能了。[2]事实 上,叙拉古人所考虑的,不仅仅是自身安全的问题,还在想方设法阻止 雅典人逃跑;他们认识到,而且正确地认识到,他们现在更加强大,在 海上和陆地上征服雅典人及其同盟者,将使他们在全希腊赢得巨大荣 誉。这样,其他希腊人或者立即获得解放,或者免除对雅典人的恐惧, 因为雅典人残存的武力,今后将难以支撑对他们进行的战争。而他们叙 拉古人将被视为这种解放行动的开创者,无论今世还是后世,都将受到 人们的推崇。[3]这次较量所带来的荣耀还不止这些。他们这次打败 的不仅是雅典人,还有他们众多的同盟者,叙拉古人不是孤军奋战,而 是与其友邦科林斯人和拉栖代梦人共同指挥作战的,他们把自己的城邦 置于首当其冲的危险位置上,他们是赢得海战胜利的主要创始者。 [4]的确,如果我们不计那些雅典和拉栖代梦为这次战争所召集 众多的军队,那么从来没有如此众多的部族聚集在一个单独的城市之 下。

    57 双方来到叙拉古参战的,有以下城邦。他们有前来支援叙拉古 的,有反对叙拉古的,有些是来帮助雅典人征服西西里的,有些则是帮 助叙拉古人保卫西西里的。他们相互之间之所以联合在一起,既不是出 于正义,也不是因为种族纽带,而是因为利益关系,或是强迫所致。 [2]雅典人本身是伊奥尼亚族人,他们是按其自由意志,前来攻击叙 拉古的多利斯族人。跟随雅典人远征的,有列姆诺斯人、音不洛斯人和 埃吉那人—当时占领埃吉那的人,都是雅典的殖民者,他们依然操阿提 卡方言,使用雅典人的法律。这些人中还必须加上居住在优波亚的赫斯 提亚的赫斯提亚人。 [7] [3]其余参加雅典远征军的有些是雅典的臣 民,有些是独立的同盟者,还有些是雇佣军。[4]其中向雅典缴纳贡 金的臣民有来自优波亚岛的爱利特里亚人、卡尔基斯人、斯替里亚人和 卡利斯图人;有来自诸岛屿上的基奥斯人、安德罗斯人和泰诺斯人;还 有来自伊奥尼亚的米利都人、萨摩斯人和开俄斯人。但是,开俄斯人是 以独立的同盟者的身份参加远征的,不缴纳贡金,自己装备舰船 [8] 。 这些部族中的绝大多数是伊奥尼亚人和雅典人的后裔,只有卡利斯图人 例外,他们是德律奥普斯人 [9] ;尽管他们是臣民,被迫服役参战,但 他们仍属于伊奥尼亚族人,进攻的是多利斯族人。[5]此外,还有埃 奥利斯族的麦塞姆那人 [10] ,他们是雅典臣民,提供舰船而不缴纳贡 金,而泰涅多斯人和埃努斯人则是支付贡金的臣民。这些埃奥利斯族人 被迫与他们的建国始祖、在叙拉古军中服役的波奥提亚人作战,而普提 拉亚人 [11] 是唯一的虽为波奥提亚人却与其他波奥提亚人作战,因为其 他波奥提亚人是他们的敌人。[6]罗德斯人和基塞拉人都是多利斯 人,基塞拉人虽是拉栖代梦人的移民,但他们站在雅典人一方,进攻吉 利浦斯带领的拉栖代梦同胞;而罗德斯人是阿尔哥斯族,被迫与多利斯 族的叙拉古人以及他们自己的移民革拉人 [12] 作战,因为革拉人在叙拉 古一方服役。[7]至于伯罗奔尼撒周边诸岛上的居民,基法伦尼亚人 和扎金苏斯人 [13] 以独立的同盟者的身份,跟随雅典人作战的,因为雅 典人掌握了制海权,而他们作为岛民,实际上几乎没有选择的余地;而 科基拉人不仅是多利斯人,也还是科林斯人,他们虽为科林斯人的移 民,又与叙拉古人同属一族,仍然公开地为雅典人服役,进攻科林斯人 和叙拉古人,他们的借口是被迫而为,但实际上是自愿的,因为他们憎 恨科林斯人。[8]住在诺帕克图斯 [14] 所谓的美塞尼亚人,和现在处 于雅典人控制之下派罗斯的美塞尼亚人,也站在雅典人一边参战。还有 少数来自麦加拉的流亡者, [15] 他们现在也是与自己的同胞——塞林努 斯的麦加拉人 [16] 作战。[9]远征军中的其他人的参加更带有自愿的 性质。他们参加的原因不是由于同盟关系,而是由于憎恨拉栖代梦人, 以及他们想迅速获得私人利益。多利斯族的阿尔哥斯人 [17] 参加伊奥尼 亚族的雅典人发动的反对多利斯人的战争,就是如此。至于曼丁尼亚人 和其他阿卡狄亚的雇佣军,习惯于进攻临时指给他们的任何敌人,他们 受薪金的驱使,把为科林斯人服役的同族 [18] 也视为敌人,正像对待其 他敌人一样。克里特人和埃托利亚人也是以雇佣兵身份参战的,克里特 人虽曾与罗德斯人一起建立革拉, [19] 但为了薪金,竟也自愿与他们的 移民作战,而不是帮助其移民。[10]还有一些阿卡纳尼亚人,尽管是 为了薪金而参战的,但他们主要是出于对德摩斯提尼的爱戴,和对其同 盟者雅典人的友谊 [20] 而来的。这些人都是居住在伊奥尼亚湾靠希腊一 侧的。[11]在意大利的希腊人中,图里伊人和麦达蓬提昂人,是由于 国内革命形势所迫而参加这场战争的;在西西里的希腊移民中,有那克 索斯人和卡塔那人参加战争;在那些操着和希腊人不同语言的人中,有 爱吉斯泰人(他们是请雅典人来干涉的),以及大多数西克尔人;在西 西里以外,有一些与叙拉古人为敌的第勒尼安人 [21] 和伊阿皮吉亚人 [22] 的雇佣军。以上诸族是参加雅典人一方作战的。

    58 在另一边,站在叙拉古人方面的有邻邦卡马林那人, [23] 和卡马 林那人相邻的革拉人;居住在西西里较远一端的塞林努斯人, [24] 他们 中间夹着中立的阿格里真坦人, [25] 这些人都定居在西西里的与利比亚 隔海相望一侧;[2]希麦拉人 [26] 居住在西西里的面临第勒尼安海一 侧,他们是那个地区唯一的希腊居民,也是那个地区唯一援助叙拉古的 人。[3]上述这些站在叙拉古一方参战的在西西里的希腊人,他们都 是独立的多利斯族人。在非希腊人中,只有那些没有转向雅典人一边的 其余的西克尔人是和叙拉古人一边的。在西西里以外的希腊人中,有拉 栖代梦人,他们提供一名斯巴达人担任指挥官,一支由涅奥达摩德斯人 即获释奴隶 [27] 和黑劳士组成的军队;有唯一派出海军和陆军参战的科 林斯人,还带着与他们有种族关系的琉卡斯人和安布拉基亚人 [28] ;科 林斯人派来一些阿卡狄亚的雇佣军 [29] 和一些被迫前来服役的西基昂 人; [30] 在伯罗奔尼撒以外还有波奥提亚人。 [31] [4]但是,与这些 西西里岛外援军相比,西西里的希腊人诸大城市在各方面都提供了更多 的军备—众多重装步兵、舰船和马匹,还提供了用于其他方面的大量人 力。相比之下,可以这样说,叙拉古人自己提供的人力物力超过所有援 军的总和,这是因为叙拉古是一个很大的城邦,事实上他们的处境也最 危险。

    59 以上就是双方用以作战的所有兵力。这时 [32] ,所有援军都已经 参战,双方都没有新的援军到来。[2]因此,叙拉古人和他们的同盟 者很自然地抱有这样的看法,即如果他们能够延续最近在海战中的胜 利,俘获整个雅典的舰队,而不让雅典军队从海路或陆路逃走,那么他 们将赢得巨大的荣誉。[3]于是他们立即开始用小船、商船和战舰并 排停泊在大港入口处,封锁大港宽达8斯塔狄亚 [33] 的入口,并且做好 其他各种准备,以防雅典人再次孤注一掷,发动海战。事实上,任何的 细节都在他们的筹划或考虑之中。

    60 当雅典人看到叙拉古人封锁港口,并且得知叙拉古人下一步行 动计划时,他们召集了一次军事会议。[2]将军和军官们聚集一堂, 讨论他们面临的困难形势,最急迫的问题是他们缺粮(已经派人到卡塔 那通知他们不要送粮食来了,因为他们估计马上要撤离),除非他们能 控制海面,否则他们将来也无法取得粮食。因此,他们决定,放弃他们 城墙的上段 [34] ,在靠近舰船停泊的地方,用一条横向城墙围住一块小 地方,使之仅仅足以用于贮存物品和安置病号,并派一支军队驻守;把 其余的兵力全都布置在舰船上,不论其是否适合于航海,所有从陆军中 抽调出来的士兵,都上船参加海上决战。如果获胜,就前往卡塔那,如 果战败,就焚毁舰船;排成紧密的阵列,由陆路撤退到他们能够到达的 最近的友好地区,无论它是希腊人的还是异族人的领土。[3]他们作 出决定后,就马上付诸行动。他们依次从城墙的上段撤离下来,把所有 的士兵都配置在舰船上,命令所有适龄而有用的人员都上船。[4]这 样,他们总共为110艘舰船配齐了船员,还配置许多阿卡纳尼亚人和其 他外族的弓箭手和标枪手 [35] ,依据他们计划的性质和战争形势的需 要,他们在条件允许的范围内做了各种其他准备。[5]在一切都快要 准备就绪的时候,尼基阿斯看到,因为缺乏口粮和海战中史无前例的惨 败,士兵们灰心丧气,渴望尽快进行决战,就把他们召集起来,首先给 他们一些激励之词,他对他们说:

    61 “雅典的士兵们和同盟国的士兵们!当前的战斗,对于我们所有 的人都有同样的利害关系;我们每个人,都将为自己的生命,为自己的 祖国而战,对于敌人,也同样是如此。如果我们的舰队赢得当前的海 战,每个人就都能够见到他的祖国,不论她在什么地方。[2]你们一 定不要丧气,或者像那些没有经验的士兵一样,他们在第一次战役中失 败后,就永远胆怯了,对未来有着不吉的预想,以为将来总是灾难性 的。[3]但是,你们中间有身经百战的雅典人,有随同我们参加过多 次远征的同盟者,你们不要忘记,战争中有不可预料的因素。希望我们 也有幸运的时候,你们应当准备再战,无愧于你们亲眼所见的这支伟大 的军队。

    62 “现在,我们所要考虑的就是如何在如此狭窄的港口中对付密集 的舰船,如何对付敌船甲板上的武力,这些因素使我们在过去遭受损 害。我们已经和舵手们讨论过了,在物资允许的范围内,做好一切准 备。[2]很多弓箭手和标枪手,将登船作战。如果在公海作战,我们 是决不会装载如此众多的士兵的,因为舰船负荷的加重,将妨碍我们施 展驾船的技艺。但是,眼下我们被迫在船上进行陆地的战争,我们所装 载的一切都是有用的。[3]我们也发现敌人舰船构造上有所变化,对 此我们一定采取应对措施;敌船船头坚厚,曾使我们遭受重创。为此我 们准备了铁钩,如果甲板上的士兵能够恪尽职责 [36] ,这些铁钩就能阻 止敌舰向我方冲撞后划船退走。[4]因为形势迫使我们不得不在舰船 上进行一场陆战,对我们有利的战术似乎是我们自己不退却,也不让敌 人退走,特别是因为所有的海岸,除我们的军队控制的那小部分外,都 是敌人的领土。

    63 “你们必须记住这一点,必须竭尽全力,奋勇作战,千万不要让 你们自己的舰船被驱逐上岸。舰船一旦发生撞击,你们必须彻底消灭敌 船甲板上的重装步兵,否则决不罢休。[2]我讲的这个要求,主要是 针对重装步兵的,而不是针对桡手的,因为这在更大程度上是甲板上士 兵的任务;至于我们的陆军,就是现在他们大体上仍是最强大的。 [3]桡手们,我奉劝你们同时也恳求你们,不要为过去的不幸而过于 气馁,现在我们的甲板得以更好地装备,舰船的数量也更多了。你们要 时刻牢记,你们当中那些通晓我们的语言、模仿我们的生活方式的人, 总是被认为是雅典人,这是一种多么值得珍视的自豪感啊!尽管你们不 是真正的雅典人,仍然为全希腊的人所尊敬;你们完全分享了我们帝国 的利益;我们的臣民对你们尊敬,我们保护你们,以免受人虐待,在这 些方面,你们所得到的利益就更为巨大了。[4]因此,我们只是慷慨 地与你们共享我们的帝国,现在我们就正当地要求你们,在帝国的危难 时刻,不要背叛帝国;你们应当藐视科林斯人,他们曾经屡屡被你们击 败,你们也应当藐视西西里的希腊人,在我们海军的全盛时期,他们当 中甚至没有一个胆敢和我们作对。我们要求你们把他们击退,以显示你 们即使病魔缠身、灾难重重,你们的航海技术之精,仍然不是那些靠幸 运和勇敢的其他军队所能匹敌的。

    64 “至于你们中间的雅典人,我还要再一次提醒你们:在你们后方 的船坞中,再也没有留下像这些一样的舰船了,再也没有如此精锐的重 装步兵了。如果你们此战不能取胜,这里的敌人将立即起航直达我们的 城邦,已经在雅典当地的那些敌人将得到这些新盟友的增援,而我们留 在雅典的那些人,将无力抵御他们的联合进攻。在这里,你们将立即落 入叙拉古人的控制之下(我不需要提醒你们这次攻击敌人的意图),你 们在国内的同胞将会落入拉栖代梦人的掌控之中。[2]你们和国内同 胞的命运,都完全依靠这次战役,所以你们所有的人都要记住:现在就 是你们坚持战斗到底的时候了,即将登船的你们,是雅典人的陆军和海 军,是城邦所遗留的一切,是雅典的伟大名誉之所在。若是任何人有超 过他人的更好的技术,或者有更大的勇气,现在为了挽救他自己,为了 挽救我们全体,为了保卫祖国,此刻都是他表现自己的时候了。”

    65 尼基阿斯演讲完毕后,立即下令把舰船上的人员配备起来。同 时,吉利浦斯和叙拉古人察觉到,雅典人正在做准备工作,并想在海上 一战。他们也注意到雅典人所用的铁钩。[2]为了对付这些铁钩,他 们专门做了准备,用皮革蒙住船头和船体上部的大部分,使抛出的铁钩 滑落,无法钩住。[3]等到一切准备就绪,将军们和吉利浦斯向士兵 们发表了下面的演说,以激励他们:

    66 “叙拉古人和同盟者,我们认为,你们大多数人都知道我们过去 取得了辉煌战绩,知道在即将进行的战役中,我们将取得同样的辉煌战 绩;不然的话,你们是决不会如此勇敢地投入战斗的;如果有人不完全 了解他理应知道的这些事,我们愿意向他说明。[2]雅典人来到这个 地方的首要目的,是想征服西西里;如果取得成功,随后他们就要征服 伯罗奔尼撒和希腊其他地区。他们已经拥有了希腊人现在或过去时代都 未曾有过的最大帝国。他们依仗其海军,得以控制各地。在这里,他们 才第一次发现,你们是能够抵抗他们海军的人,你们在此前的海战中已 经打败了他们,这次将和此前完全一样,你们将再次打败他们。[3] 当人们自我感觉的特别优胜之处一旦遭到挫折的时候,他们自己整个的 看法将发生改变,这比他们起初并不相信自己具有优势而遭遇挫折时所 受到的冲击更严重。而他们的傲气受到出乎意料的打击,会导致他们在 真正有实力的时候,也屈服了。雅典人现在很有可能就处于这样的状 态。

    67 “而我们的情况就不一样了。我们对自己实力的原有估计在我们 尚无战斗经验时,就给了我们勇气,现在我们对自己更加有信心了。我 们相信,如果我们打败最好的水兵,我们无疑就是当今最优秀的水兵, 我们每个人获胜的希望就翻了一番。一般而言,有了最大的希望,在行 动上也就有了最大的勇气。[2]他们想通过仿效我们的武器装备,以 寻找抗击我们的办法。这些办法,我们都熟悉,并将相应地予以防备。 然而他们却一反其作战习惯,把很多重装步兵和标枪手配置在甲板上, 他们必将丧失战斗能力(就是说,生长在大陆上的阿卡纳尼亚人和其他 人,在舰上保持身体平稳姿势 [37] 的同时,将不知道怎样投射他们的武 器)。他们不按照他们自己的战术作战,势必会损害他们舰船的战斗 力,也必然会在战斗中自乱阵脚。[3]如果你们当中有人害怕与数量 居于优势的敌人作战的话,我要对你们说:他们的舰船的数量虽多,也 是无济于事的—因为在狭小的水域内聚集大量的舰船,会使舰船在需要 移动时更加迟缓,因而更容易遭到我们进攻方式的重创。[4]事实 上,如果你们了解形势的真实情况,正如根据我们得到的可靠情报,他 们遭受的灾难,和目前所遭遇的困境,已经使他们感到绝望;他们对自 己的力量完全失去了信心,他们唯一能做的就是碰碰运气,冒险一搏, 要么强行突围驶向别处,要么在交战过后从陆路退却。对于他们来说, 再糟糕也莫过于他们目前的处境了。

    68 “因此,我们最大的敌人,已经时运不济了。如我所说,他们将 会陷入混乱,让我们同仇敌忾,痛击敌人。我们相信,对于敌人,尽情 发泄心中的愤怒,惩罚侵略者,没有比这更合法的了。正如谚语所说, 天下之快乐事,莫过于对敌人复仇雪耻。我们现在将要做的,就是这样 一件事。[2]你们每个人都知道,他们是你们的敌人,是最凶恶的敌 人,既然他们来这里是想奴役我们的国家,那么,假如他们得逞,给我 们全体公民带来的是最大的痛苦,给我们所有的妻子儿女的是最大的侮 辱,留给我们整个城邦的是最可耻的恶名 [38] 。[3]因此,我们没有 理由怜悯敌人,或者认为如果他们离去不再危害我们,他们就已经遭到 报应了。即使他们取得胜利,他们也同样会离开此地的;如果我们像我 们期望的那样取得成功的话,对他们严惩不贷,把西西里一贯享有的自 由加以巩固和加强,再把它传给整个西西里,我们将赢得伟大的胜利。 在一切冒险中,这是最为罕见的冒险:失败了,损失极小;成功了,受 益匪浅。”

    69 叙拉古的将军们和吉利浦斯在对他们的士兵发表上述演讲后, 见雅典人正在登上舰船,也立即下令命桡手们各就各位了。[2]同 时,尼基阿斯对其所面临的局势有些胆寒,他深知此战危险巨大,又迫 在眉睫,现在他们即将离岸下海,他心里想的与普通人通常在危急时刻 所想的一样:当一切该做的事都做好的时候,他仍认为还有某件事情没 做;当一切要说的话都说完的时候,他还觉得有某些话没有说。于是他 又把所有的舰长一个一个地叫来,用他父亲的名字、他自己的名字和他 部族的名字 [39] 来称呼他们。他请求那些享有盛名的人不能有负自己的 名誉;请求那些祖先有显赫名声的人,不能给祖先的伟业抹黑;他提醒 他们,要回想他们的祖国是世界各国中最自由的国家,这里的全体居民 都有权利按自己的意愿自由地选择生活方式。另外,他还说了一些人们 在危急时刻常说的老话,这种套话一字不变,在各种场合都同样可以用 —为妻子、儿女和国家的神祇呼吁—而不在乎这些言语是不是陈词滥 调,仍然请求他们而高声叫喊,相信这些言辞在他们惊恐万状的时刻会 起些作用。[3]尼基阿斯在对舰长们做了这些训诫之后,感到意犹未 尽,但他只能如此罢了。尼基阿斯回去把步兵带到海边,让他们排成尽 可能长的队列,以便尽其所能,为船上的将士鼓气助威。[4]德摩斯 提尼、米南德和攸西狄姆斯担任舰队的指挥,他们从自己的营寨出发, 向横亘在港口出口处的障碍物 [40] 和障碍物之间的空隙笔直驶去,试图 强行突出去。

    70 叙拉古人及其同盟者已经出动与上次数量相当的舰船,一部分 舰船守着港口的出口,其余舰船分布在港内四周,以便同时从各个方面 进攻雅典人;而陆军在大港沿岸舰船可以停泊的地方,做好了战斗准 备。叙拉古人的舰队由西坎努斯和阿伽萨库斯指挥,各自率领的舰队分 别构成两翼,由皮森率领的科林斯人的舰队位居中央。[2]当其余的 雅典舰船迫近障碍物时,他们首次发动攻击就打败了驻守那里的敌舰; 接着他们试图砸断联结舰船的锁链。随后,叙拉古人及其同盟者从四面 八方向他们进攻,战斗从障碍物附近蔓延到整个港口,双方在战斗中表 现得很顽强,超过从前的任何一次战斗。[3]一方面,桡手们按照桡 手长的命令,斗志旺盛,驱驶舰船勇往直前,另一方面,舵手们表现出 高超的驾船技艺,两军展开激烈的交锋;舰船一旦碰靠在一起,甲板上 的士兵们尽力拼杀,决不让这里的战斗逊于其他方面。简单地说,每个 人都竭力证实他在自己特定岗位上是最棒的。[4]因为很多舰船拥挤 在狭小水面上相互攻击(双方共有近200艘舰船参战,过去从来没有过 这么多的舰船在这么狭小的海面上作战),双方极少采用以船喙撞击敌 船的常规战术 [41] ,因为没有机会倒划,也不可能冲破敌舰阵线;为逃 避或攻击另一艘舰船,与别的舰船偶然碰撞的时候更为常见。[5]当 一艘舰船靠近另一艘敌船时,双方甲板上的士兵不断投掷标枪、射箭、 用石块向对方密集射击;而一旦碰撞在一起,双方的重装步兵力图登上 对方舰船,展开肉搏战。[6]因为水域狭窄,在很多场合下发生这样 的情况,一艘舰船一方面攻击敌船,而同时自身又遭到另一艘敌船的攻 击,有时两艘或更多的舰船纠缠着一艘舰船,混战在一起,迫使舵手们 一面防御,一面攻击敌人;他们不是一时做一件事,而是同时对付各方 面的许多事。由于多艘舰船碰撞在一起发出的巨大声响,不但听起来令 人毛骨悚然,还使桡手长的命令无法被听见。[7]双方的桡手长们, 依照通常的职责,在激烈的鏖战中不断地大声叫喊,下达命令,向桡手 们提出要求。在雅典人方面,桡手长们高声叫喊,鼓励他们冲出港口, 现在要全力以赴,鼓足勇气,抓住这个安全返回故土的机会;而在叙拉 古人及其同盟者方面,桡手长们叫喊道,阻止敌人逃跑是很光荣的,战 胜敌人,为国增光。[8]而且,双方的将军们,如果发现各自在战场 上的任何一部分军队,不是受到强大压力所致,而向海岸退却,就会高 喊舰长的名字。雅典人的将军会问他,他们退却,是不是因为他们认为 敌人的海岸,比他们花费很多血汗赢得的领海还要舒适些呢;叙拉古人 的将军会问他,他们是不是从正在逃跑的雅典人面前逃走呢。他们很清 楚,雅典人正迫不及待地设法逃跑。

    71 同时,在海战尚未决出胜负的时候,在岸上的双方士兵的情绪 极其紧张,忐忑不安;当地的叙拉古人渴望赢得比以前更大的荣誉,而 入侵的雅典人,则唯恐看到他们自己的处境比此前更加恶化。[2]对 于全体雅典人来说,一切以他们的舰队为依靠,他们对这场战役的恐 惧,是他们从未感受过的;他们对这场海战的看法,必然随着战局本身 的变化而变化。[3]战斗就在他们面前进行,所有的人并非同时看到 同一个地方,有些人看到他们的友军获胜而勇气倍增,开始祈求苍天不 要剥夺其得到拯救的机会;而另一些人看到的是他们自己被打败的战斗 场面,忍不住大声恸哭号叫,他们尽管是旁观者,但他们对战败的痛苦 感受,超过了那些实际参加战斗的人;还有一些人正在观看双方相持不 下的战场,当战斗持续进行而没有结果的时候,他们的身体不断地东摇 西摆,内心焦虑不安,极度痛苦,时而觉得达到了安全的境界,时而觉 得濒临毁灭的边缘。[4]总之,只要海战还没有结果,在同一支雅典 军队中会同时听到各种喊叫声—悲号声和欢呼声,和“我们赢了”“我们 输了”的叫喊,以及一支庞大军队在非常危险时必然要发出的其他各种 感叹。[5]舰船上士兵的情绪几乎是相同的。海战持续很长一段时 间,最后叙拉古人及其同盟者迫使雅典人溃逃,他们高喊着、欢呼着, 追击完全溃败的雅典人,直到岸边。[6]没有被俘获的雅典舰船,现 在从各个不同的方向逃到海岸边,舰船上的士兵逃回他们的营寨,而那 些还没有被冲散的雅典陆军,在一种冲动之下失去控制,都对这次海战 痛惜不已,都在大声哭号和呻吟。有些人跑下去帮助他们的舰船,有些 人则去守卫他们的城墙,而绝大部分活下来的人已经开始考虑应该怎样 逃命了。[7]的确,目前的恐慌情绪超过以往任何时候。他们目前所 遭受的灾难非常类似于他们在派罗斯给予敌人的灾难;当时拉栖代梦人 丧失了他们的舰队,也损失了渡海前往岛上的士兵。 [42] 现在,如果没 有某种奇迹发生,雅典人要想从陆地上逃生是没有指望了。

    72 这是一场惨烈的海战,双方都损失了大量舰船和士兵,赢得胜 利的叙拉古人及其同盟者,在收拾他们破损的舰船和阵亡者的尸体后, 竖立一座胜利纪念碑,航行到城里去了。[2]损失惨重的雅典人惊魂 未定,他们甚至没有想到请求叙拉古人让他们收回阵亡者的尸体和破损 的舰船,而是想当晚就撤离。[3]但是,德摩斯提尼找到尼基阿斯, 建议他们应该给残留下来的舰船配备桡手,在次日清晨再次尝试强行冲 出港口。他指出,他们剩下来可以应用的舰船仍比敌人多;雅典人剩余 的舰船大约有60艘,而敌人剩余的不足50艘。[4]尼基阿斯完全同意 他的建议,但他们想要给舰船配备桡手时,桡手们拒绝上船,因为他们 已经在上次失败后斗志全无,不再相信还有任何取胜的可能性。因此, 现在他们一致决定从陆路撤退。

    73 同时,叙拉古人赫摩克拉特斯,怀疑雅典人撤退的意图,在他 看来,允许这样一支庞大的军队从陆路撤退,在西西里的其他某个地方 驻扎下来,从那里卷土重来,再发动新的战争,这对于叙拉古人是危险 的。于是他晋谒当权者,陈述自己的看法,指出,他们应当不让敌人在 夜里逃走,而所有的叙拉古人及其同盟者应当立即出城,封锁道路,控 制和扼守关隘。[2]当权者完全同意他的意见,认为他们应该这样 做,但另一方面又确信叙拉古的人民不会轻易服从他们的命令,因为叙 拉古的人民正在欢庆自己的胜利,在海战大捷后,精神松懈了;而且, 他们正在庆祝一个节日,当天碰巧是赫拉克利斯的祭日 [43] 。为了欢天 喜地庆祝胜利,他们中的绝大多数人已经在宴会上饮酒了,在这个时 刻,大概很难说服他们立即拿起武器,出城执行任务。[3]由于这些 原因,官员们认为这个建议不切实际。赫摩克拉特斯见自己无法说服当 局采取进一步的行动,他现在就实施他自己的计策。他担心的是,当天 晚上,雅典人悄悄地开始通过撤退中最困难的地方;因此,夜幕刚刚降 临,他就派遣他的一些朋友带着一些骑兵前往雅典人的营寨,他们在雅 典人能听到的距离内呼喊一些雅典人的名字,好像他们是为雅典人谋利 益的,请这些人转告尼基阿斯不要在夜间率领军队离去(事实上,他们 有一些就是把叙拉古城内发生的事情通报给尼基阿斯的人),因为叙拉 古人正在道路上守卫着,应该做好准备在白天从容撤离。[4]他们说 了这些话后就离去了;听到这个消息的人,把它转告给雅典将军们。

    74 雅典的将军们并不怀疑这个消息的真实性,从而把他们当晚撤 离的计划推迟了。这些事情发生 [44] 后,他们仍未立即启程,现在他们 决定第二天仍然留下,等士兵们有时间尽量收拾好自己最有用的物品, 把其余东西全部扔掉,然后只带上他们个人的生活必需品出发。[2] 同时,叙拉古人和吉利浦斯率军出城,封锁了雅典人可能通过的所有乡 村道路,驻守大小河流的渡口,他们把军队布置在有利的地方,以阻止 敌人的退却;而他们的舰队驶向海边,拖走了雅典人的舰船。雅典人自 己按自己计划, [45] 焚毁了少数舰船;其余的舰船,叙拉古人尽可随意 处置,因为每一条船都被驱赶到岸边。叙拉古人将这些舰船拖到他们城 里,没有任何人企图阻止他们。

    75 这之后,尼基阿斯和德摩斯提尼认为,现在已经做好了上路的 充分准备,在海战后的第二天 [46] ,雅典的军队启程撤离了。(见图 16)[2]这是一个悲惨的场面,使他们狼狈不堪的不止一个因素:不 仅因为他们是在丧失了所有的舰船后败退的,他们雄心勃勃的计划化为 泡影,他们也把自己和邦国置于危险的境地;而且他们在离开营寨的时 候,人人眼前都是一片不忍看、不忍想的悲伤和痛苦的情景。[3]阵 亡将士的尸体尚未掩埋,任何人发现他的朋友躺在许多尸体中的时候, 都会感到哀恸和恐惧;那些被遗弃的伤者或病者,觉得生不如死,比死 者更可怜。[4]这些被遗弃的人倒地恳求和痛哭,朋友们感到手足无 措,高喊着他们看到的每个亲密战友或亲戚的名字,他们乞求把他们带 走;在军队出发时,他们吊着其同营帐伙伴的脖子,竭力想跟着撤离的 队伍跑远一些,一旦他们体力不支倒下去,被抛弃在后面的时候,他们 反复呼唤苍天、大声哀号。雅典全军已经遭受太多的不幸,他们泪眼涟 涟,担心前途未卜,未来更加糟糕。于是,全军将士见到这种悲惨场 面,无不以泪洗面,悲痛欲绝,甚至在敌人的领土上,他们也很难离 去。[5]全军上下被沮丧和深深的自责情绪所笼罩。事实上,他们极 像是一个因粮尽援绝而逃亡的城邦,而且不是一个小的城邦,因为一起 行军撤离的全部人员不少于4万人。他们每个人都尽力带着一切有用的 物品,而与他们的习惯相反,重装步兵和骑兵在全副武装的情况下,亲 自携带自己的口粮,一些人是因为没有仆人,另一些人则是不信任仆 人;因为此前有很多仆人不断地逃走,现在还有更多的仆人想逃走。 [47] 尽管如此,他们并没有携带足够的食品,因为营寨中再也没有多少 食物了。[6]而且,他们每个人都感到耻辱,全体人员无一例外地感 到痛苦,尽管因为有许多同伴分担而在一定程度上有所缓解,但他们当 时仍感到心情异常沉重,特别是他们在出发时是多么荣耀,多么自豪, 而今的结局是多么耻辱,多么凄惨![7]没有哪一支希腊军队曾遭遇 过如此惨重的失败。他们原本是前去奴役别人的,结果是害怕自己遭到 奴役而仓皇逃离;他们是在祈祷和凯歌声中启程的,而现在则带着截然 不同的祈求和咒语启程回国了;他们从海路而来,而今由陆路而退;他 们原本所依靠的是他们的海军舰队,而今是依靠他们的重装步兵。尽管 如此,想到巨大危险正在逼近,他们对这一切都觉得可以容忍了。

    76 尼基阿斯看到他的军队情绪沮丧,波动很大,就沿队列巡视, 在这种形势下,他尽可能地鼓舞士气,安慰士兵。他走过一个连队又到 另一个连队,声音也随着热情越来越高,尽可能使更多的人听到,渴望 他的讲话给军队带来益处:

    77 “雅典人和同盟者的士兵们!即使处于目前的境地,我们仍必须 满怀希望,因为过去有人处于比我们现在更为窘迫的境地,却得救了; 你们不必为战败或者因为你们目前遭受无辜的苦难而过分自责。[2] 我的身体并不比你们当中的任何人强壮—事实上,你们已经看到我受到 疾病的折磨—而且,我认为,无论在私人生活方面还是其他方面,我的 运气都不次于任何人,但是现在我和你们当中地位最卑贱的人一样,置 身于同样的险境之中。我这一生,都虔诚地崇拜神祇,并且处事公正, 待人无可指摘。[3]因此,我对将来还有很大的希望,我们遭受的不 幸并不像它可能发生的那样吓倒我。的确,我们可以指望我们的灾难将 有所缓解;我们敌人的好运够多了,如果说我们的远征得罪了某位神 祇,那我们已经遭受到足够的惩罚了。[4]在我们之前,其他人曾进 攻他们的邻人,他们做了普通人所会做出来的事情,而他们所遭受的苦 难并未超过普通人所能承受的限度。我们目前正期望诸神对我们更为仁 慈,因为我们更值得诸神的怜悯,而不是忌妒。现在看看你们自己,看 看你们的队列中有多少精良的重装步兵和你们一道行军,你们不要太沮 丧了。你们想一想,你们自己无论到什么地方定居,你们立刻就会形成 一个城邦;在西西里,没有其他城邦能够轻易地抵挡住你们的进攻,一 旦你们定居下来,没有哪个城邦能轻易地驱逐你们。[5]你们自己要 注意行军中的安全和秩序,你们每个人心中都要有这样一个念头:无论 你们在哪里被迫进行战斗,如果获胜的话,就能将那里作为你们的国 家、你们的城寨。[6]同时,我们要快速行军,昼夜兼程,因为我们 的给养缺乏;如果我们能够到达西克尔人领土上某些友好的地区,你们 就可以认为自己是安全了,因为西克尔人害怕叙拉古人,我们还是可以 信赖他们的。我们已经派人捎信给西克尔人,要求他们携带粮食前来与 我们会合。[7]总之,士兵们,你们要坚定信心,你们必须勇敢战 斗,因为在附近,没有一个懦夫能够找到逃避的地方;如果你们现在逃 离敌人的魔爪,你们都可以再次见到你们渴望已久的祖国,你们中的雅 典人将重振城邦的强大势力,虽然它现在倾覆了。组成城邦的是人,而 不是那些没有人的城墙或舰船。”

    78 尼基阿斯发表演讲的时候,他沿着军队的队列行走,他发现队 列散乱之处,就让士兵们回到正确的位置上;而德摩斯提尼对他所率领 的军队也发表了内容相似的演讲。[2]军队以空心方阵的队形前进, 军队的位置分布是,尼基阿斯的军队在前,德摩斯提尼的军队断后,重 装步兵在方阵外侧,运输辎重的人员和大多数军队位于中央。[3]他 们抵达阿纳普斯河渡口时,发现一支叙拉古人和他们的同盟者的军队驻 守在那里,他们打败了这些敌人,顺利通过渡口向前推进;这时他们遭 到叙拉古骑兵的进攻,同时也遭到叙拉古的轻装步兵投射器的袭击。 [4]那天,他们前进了大约40斯塔狄亚 [48] ,在一座小山上停下 来过夜。翌日 [49] ,他们很早就启程,又走了大约20斯塔狄亚 [50] ,下 到一个平原地带安营扎寨,以便取得一些可吃的东西,因为这里有人居 住;还要从这里带上一些水上路,因为他们行军的前方好多斯塔狄亚 [51] 的路程都缺水。[5]同时,叙拉古人也在前进,在前面的一个关隘 设防,这里有一座陡峭的小山,小山的两侧各有一条多石的深谷,这里 叫阿克赖峭壁。次日 [52] ,雅典人在行军途中,遭到叙拉古人和他们的 同盟者的阻击,他们的标枪手投射,骑兵袭击,两支人马为数众多。经 过长时间战斗后,雅典人最终退回到他们原来驻扎的营地。他们不能再 像从前那样取得食物了,因为现在有敌人骑兵,他们不能再离开他们的 营地了。

    79 翌日清晨 [53] ,他们再次早早地出发,想强行通过已经设防的小 山的道路。他们发现,敌人的步兵在他们前面,由于通道狭窄,他们列 成纵深若干盾的队形,防守这个工事。[2]雅典人向这个工事发起进 攻,但遭到山上投射器的猛烈回击,因为山势陡峭,山上军队居高临 下,更容易杀伤对方,雅典人无法强行通过,只得再次退回休息。 [3]这时,雷声轰鸣,天下雨了 [54] ,这是一年入秋之时常见的天气 现象,却使得雅典人更加沮丧,因为他们把这些现象都当作他们即将毁 灭的预兆。[4]当他们休息的时候,吉利浦斯和叙拉古人派部分军队 在他们曾经行军通过的道路上修筑工事,以断其后路;但雅典人立即派 遣一些人回转去,阻止他们的修筑行动;[5]随后,他们退到平原地 带,在那里过了一夜。翌日 [55] ,在他们出发时,叙拉古人从四面八方 包围和进攻他们,杀伤很多人;如果雅典人进攻,叙拉古人就后退;如 果他们后退,叙拉古人就又来进攻,叙拉古人特别攻击雅典军队的后 翼,企图击溃雅典人的部分军队,因而造成雅典人全军的恐慌。[6] 这样的战斗,雅典人坚持了很长一段时间,但在前进了四五弗隆 [56] 后 在平原地带停歇下来,叙拉古人也回到他们自己的营地。

    80 入夜,尼基阿斯和德摩斯提尼看到他们军队处境险恶,现在又 缺乏各种必需品,在敌人的多次进攻中,他们有很多人员伤残,于是决 定尽可能多地点起火把,率领军队离开此地。他们不再按原计划的路线 撤军,而是朝海边行军,这与叙拉古人防守的方向刚好相反。[2]这 条路线不能帮助雅典军队抵达卡塔那,而将抵达西西里的另一侧,到达 卡马林那、革拉和在那里的其他希腊人和非希腊人的城镇。[3]因 此,他们点燃很多火把,在夜里出发。现在,他们正如所有的军队,尤 其是大规模的军队一样,很容易感到害怕和惊慌,特别是他们夜间行 军,经过敌人领土,而敌人又在附近;雅典军队在遭遇一次恐慌后, [4]指挥官之间失去了联系,尼基阿斯所率领的军队保持完整有序, 行进在前面,而德摩斯提尼所率领的占全军一半以上的军队,与尼基阿 斯的军队失去联系,行军途中秩序很混乱。[5]但是,他们在清晨抵 达海边,沿希洛林道路行军,以便推进到卡基帕里斯河 [57] 边,并沿河 岸上行到内地,希望在那里与他们曾派人通知了的西克尔人会合。 [6]他们抵达河边时发现,又有一支叙拉古人的军队正在用城墙和栅 栏封锁渡口通道,他们击溃了这支守军,横渡卡基帕里斯河,根据他们 向导的建议,前往爱里纽斯河 [58] 。

    81 同时,天亮时 [59] ,叙拉古人和他们的同盟者发现雅典人已经离 去,他们中的多数人指责吉利浦斯,说他有意放走雅典人;由于不难辩 认雅典人的逃离路线,他们便立即跟踪追击,大约在中午时分追上了雅 典人。[2]他们首先追上的是德摩斯提尼率领的军队,因为上面已经 提到的夜间恐慌,这支军队落在其余军队的后面,行军缓慢而且混乱。 叙拉古人立即发起进攻,双方发生交战,因为这支军队与其他军队分离 了,所以叙拉古人的骑兵现在更容易包围他们,把他们围困在一个地 方。[3]失去联系的尼基阿斯率领的军队在前方约50斯塔狄亚 [60] , 由于他率领其军队行军更迅速,认为在目前形势下,除非迫不得已,他 们的安全在于不要停下来和敌人进行战斗,要尽可能迅速地撤离,只有 被形势所迫时才进行战斗。[4]另一方面,就整体而言,德摩斯提尼所 率领的军队受到更频繁地袭扰,因为他的军队属于行军队伍的后翼,他 的军队首先暴露在追击敌军的面前;现在,他发现叙拉古军队在追击他 们,就停止前进,以便使军队排列成战斗队列,这就耽误了时间,其军 队被追击敌军所包围。他和他率领的雅典军队处境极其悲惨,混乱地挤 在一个四周有墙包围着的地方,两侧有道路和许多橄榄树,敌军从四面 八方向他们发射投射器,[5]叙拉古人采用这种作战方式,比近距离 搏斗的攻击方式更有利,这是很自然的,因为现在冒险去与拼命挣扎的 对手展开近距离搏斗,只会对雅典人更为有利,而对自己不利;而且, 他们现在稳操胜券,以致他们开始有些珍惜自己的生命,避免在正当取 胜之时而丧失生命。他们也认为,像过去一样,他们用这种方式能够迫 使敌人屈服,束手就擒。

    82 实际上,叙拉古人和他们的同盟者,在从四面八方用投射器向 雅典人及其同盟者发动一整天的持续攻击后,终于看到敌人因伤痕累累 和其他痛苦而精疲力竭了。于是吉利浦斯和叙拉古人和他们的同盟者发 布公告:任何自愿向他们投降的岛民 [61] 均可获得自由。有少数城市的 士兵投降了。[2]后来,他们与德摩斯提尼率领的其余军队达成有关 投降的协议,条件是:他们放下武器,对方不得采用暴力、监禁或断绝 口粮等方式处死任何人。[3]按照这个条件,他们共有6000人投降, 交出他们所有的金钱,这些金钱装满了4个盾。叙拉古人立即将他们带 回城里。同时,尼基阿斯所率领的军队当天抵达爱里纽斯河边,渡过河 之后,把军队驻扎在一块高地上。

    83 翌日 [62] ,叙拉古人追上尼基阿斯,告诉他,德摩斯提尼的军队 已经投降了,要他也投降。尼基阿斯对于德摩斯提尼的投降不予置信, 请求订立休战协定,以便由他派一个骑兵前去查证。[2]使者返回, 带来的消息是德摩斯提尼率领的军队确已投降。于是尼基阿斯派一个传 令官到吉利浦斯和叙拉古人那里去转告他们,说他准备代表雅典人与他 们签订协议,如果他们让他所率领的军队离开的话,雅典人愿意赔偿叙 拉古人在战争中花费的所有金钱;他愿意把雅典公民作为人质,每个人 质1塔连特,直到赔款付清为止。[3]叙拉古人和吉利浦斯拒绝了他的 建议,他们像进攻另一支雅典军队那样攻击他的军队,将他们团团围 住,用投射器进攻他们,直到夜幕降临。[4]尼基阿斯的军队与德摩 斯提尼的军队一样,食物和必需品极其匮乏;但他们仍想等到夜深人静 时再继续行军。但是,当他们拿起武器的时候,叙拉古人觉察到他们在 行动,便高唱凯歌。[5]雅典人发现他们的行动已被发觉,又放下了 武器。只有约300人突围成功,强行上路,在夜间全力行进。

    84 天一亮 [63] ,尼基阿斯就率军继续前进,叙拉古人和他们的同盟 者像从前一样,阻挠他们前行,从四面八方向他们连续发射投射器,不 断有人被敌人的标枪射杀。[2]雅典人向阿西纳鲁斯河 [64] 奔去,一 则因为许多骑兵和其他成群的军队追逼,他们觉得一旦渡过河去,就能 够更自由地歇息一下,二则敌人的追击也使他们疲惫不堪,渴望饮水。 [3]他们一到河边,就冲进河中,秩序大乱,每个人都想首先渡过 河,而敌人的攻击又使渡河变得非常困难,他们被迫拥挤在一起,他们 跌入河中,互相践踏,有些人当场被本方的标枪刺死,其他人互相纠缠 在一起,被行李物品绊倒跌入水中,就没能再站起来了。[4]同时, 阿西纳鲁斯河的对岸陡峭,叙拉古人在那里驻守;他们居高临下,用武 器向雅典人雨点般地投射,大多数雅典人贪婪地饮水,毫无秩序地聚集 在凹形河床上。[5]伯罗奔尼撒人也跑下来屠杀他们,特别是那些在 河里的人。这样,河水立即变得污秽不堪,泥浆和血污混合在一起,但 他们还是照喝不误,多数人甚至相互争斗,抢着喝水。

    85 最后,许多阵亡者的尸体重重叠叠地堆积在河中,在河边的部 分军队被消灭,少数从这里逃走的也被骑兵杀掉。 [65] 这时候,尼基阿 斯本人向吉利浦斯投降,他认为吉利浦斯比叙拉古人更可靠些,他对吉 利浦斯和拉栖代梦人说,他们可以任意处置他,但不要杀戮他的士兵。 [2]随后,吉利浦斯立即下令俘虏敌军,除了被叙拉古的士兵隐藏起 来的大量俘虏外,其他雅典的士兵都被活捉而集中到一起。叙拉古人派 出的一支军队追击夜间突围的那300名雅典人,他们现在与其他雅典人 一起被俘获。[3]作为公共财产被集中到一起的敌军俘虏人数并不多 [66] ,但被私自隐藏的俘虏人数很庞大,整个西西里都充斥着这种俘 虏,因为在交锋期间他们没有像德摩斯提尼的军队那样,签订投降协 定。[4]除这些俘虏以外,大部分雅典士兵在当时就被杀死了,这是 一场大屠杀,在这次西西里战争中,这次战役屠杀的人数是最多的。他 们在撤离途中遭遇多次袭击,也有不少人被杀害。但是仍有很多人逃跑 了,有些人当时逃掉的,有些人是在沦为奴隶后又逃走的。这些人把卡 塔那作为庇护所。

    86 现在叙拉古人和他们的同盟者集合在一起,带着战利品和尽可 能多的俘虏,回到他们自己城里去了。[2]他们把俘获的雅典人和他 们同盟者士兵投入采石坑中,他们认为这似乎是囚禁这些俘虏的最安全 的办法。但他们杀死了尼基阿斯和德摩斯提尼,这违背了吉利浦斯的意 愿。吉利浦斯认为,如果他能把敌人的将军押回拉栖代梦,这将是他辉 煌的顶点。[3]凑巧的是,德摩斯提尼作为投降的两名将军之一,由 于斯法克特里亚岛上的战役和派罗斯战役,他是拉栖代梦人的最大敌 人;而另一个将军尼基阿斯,由于同样的缘故,是拉栖代梦人的最好的 朋友,因为他竭力劝请雅典人签订和平条约,使在岛上被俘获的拉栖代 梦人得以释放。 [67] [4]正因为如此,拉栖代梦人对他抱有好感;尼 基阿斯之所以相信吉利浦斯,并向他投降,主要原因也是如此。但是, 据说某些与尼基阿斯私通的叙拉古人,担心他在被拷问时泄露他们与其 相互勾结的秘密,从而在他们胜利的时候给自己带来麻烦;其他人,尤 其是科林斯人担心尼基阿斯通过贿赂得以逃跑,因为他很富有 [68] ,让 他活着将来会给他们带来更大的灾难。于是,这些人说服他们的同盟 者,把他杀死了。[5]在与我同时代的所有希腊人中,尼基阿斯这样 的人是最不应当遭逢这种厄运的人,因为他一生都专注于道德修养,用 它来规范自己的行为。 [69]

    87 那些被囚禁在采石坑中的俘虏,起初受到叙拉古人的虐待。他 们挤在一个狭窄的石坑里,没有屋顶遮风避雨,白天烈日当空,空气闭 塞,令人窒息,而夜晚则是如度寒秋,气候的急剧变化,使他们滋生疾 病。[2]而且,由于没有空间,他们不得不在同一个地方做所有的 事。因受伤或气温变化或类似原因致死者的尸体堆积在一起,因而恶臭 难当;而且他们一直受饥渴之苦,在8个月中,每人每天只有半品脱的 水和1品脱的谷物 [70] 。总之,囚禁在采石坑中的俘虏尝尽了人们能想 象出来的一切痛苦。[3]他们被这样集中关押了大约70天后,除雅典 人和一些参加远征的西西里的希腊人或意大利的希腊人外,其余的全部 被当作奴隶卖掉了。[4]俘虏的总数很难准确说出来,但一定不会少 于7000人。 [5]这是这场战争中希腊人最大的一次军事行动,照我看来,也 是希腊历史上最大的军事行动—对于胜利者来说,是最大的光荣,对于 失败者来说,是最大的灾难。[6]雅典人被彻底打败,全军覆灭,他 们遭受了巨大的痛苦;他们被毁灭了,正像谚语所说,一切都灰飞烟灭 了,他们的舰队,他们的陆军,全部都被毁灭了,庞大的远征军中只有 极少数人重返故乡。 [71] 这就是在西西里发生的事件。

    [1] 参阅修昔底德,VII. 46。 [2] 这次月食发生在公元前413年8月27日。 [3] 参阅修昔底德,V. 26。 [4] 这是沿着吕西麦雷亚到雅典人军营一带的一个码头。参阅史译本,第4册,第105页。 [5] 参阅修昔底德,VII. 51。 [6] 雅典一贯的政策是以推翻寡头制、建立民主制为手段,扩大其帝国;但这个办法对于实行民主制的 叙拉古是不适用的。 [7] 参阅修昔底德,IV. 28。列姆诺斯在马拉松战役以后数年为米太雅德所占领(见希罗多德,VI. 137 —140);音不洛斯的被占领大约在同一时候。雅典人在公元前431年占领埃吉那(参阅修昔底德,II. 27); 公元前446年占领赫斯提亚(参阅修昔底德,I. 114)。 [8] 参阅修昔底德,VI. 85。 [9] 住奥塔山附近的土著居民。参阅希罗多德,VIII. 43。—史译本注 [10] 参阅修昔底德,III. 1;VI. 85。 [11] 他们是在普拉提亚被围的时候,逃往雅典去的那些人(III. 24),或者是居住在斯基奥涅的那些人 (V. 32)。 [12] 参阅修昔底德,VI. 4。 [13] 参阅修昔底德,II. 7;VII. 31。 [14] 自公元前462年以后,雅典人把他们移居于诺帕克图斯(I. 103),公元前425年,他们有一部分被 用于担任派罗斯的防务(IV. 41)。 [15] 参阅修昔底德,IV. 74;VI. 43。 [16] 参阅修昔底德,VI. 4。 [17] 根据修昔底德,VI. 43所记为500人。 [18] 参阅修昔底德,VII. 19。 [19] 参阅修昔底德,VI. 4。 [20] 参阅修昔底德,III. 7,94,105,107,114。 [21] 参阅修昔底德,VI. 88,103。 [22] 参阅修昔底德,VII. 33。 [23] 参阅修昔底德,VI. 57;VII. 33。 [24] 参阅修昔底德,VI. 6,65,67。 [25] 参阅修昔底德,VII. 33。 [26] 参阅修昔底德,VI. 62;VII. 1。 [27] 即新公民。参阅修昔底德,VII. 19。 [28] 叙拉古(VI. 3)、琉卡斯(I. 30)和安布拉基亚(II. 80)都是姊妹城邦,科林斯是它们的母邦。 [29] 参阅修昔底德,VII. 19。 [30] 因为自公元前418年以后,西基昂人已经被迫接受寡头政体(参阅V. 86)。 [31] 参阅修昔底德,VII. 19。 [32] 公元前413年春季的后期。 [33] 约合1500米。 [34] 即他们封锁城墙的上段,在爱皮波莱的悬崖之下,离海港最远的地方。 [35] 指那些不在雅典帝国之内,但是为着薪金而在雅典军队中服务的、和阿卡纳尼亚人一样的人。参阅 修昔底德,VII. 52。 [36] 即是说,如果他们登上敌舰去作肉搏战的话。 [37] 保持平稳姿势就意味着要坐着,因为这些人是很难在甲板上站立的。 [38] 即臣民或奴隶之名。 [39] 阿提卡有10个新行政区。克里斯提尼改革时,行政区都改用传说中的英雄之名。 [40] 参阅修昔底德,VII. 59。 [41] 关于这种战术,参阅修昔底德,VII. 36。 [42] 参阅修昔底德,IV. 14。 [43] 赫拉克利斯(Heracles,意为“因受赫拉迫害而建立功绩者”),宙斯与阿尔克墨涅之子,希腊民间 英雄,受到广泛崇拜,有时甚至被视为神。多利斯人认为他是多利斯族的英雄。叙拉古为科林斯人所建,其所 以举行他的祭典,大概与此有关。在对赫拉克利斯的崇拜中,人们往往把他视为邪恶的战胜者,叙拉古人此时 正值战胜强敌之际,所以在举行祭典时纵饮狂欢。 [44] 即虽然形势似乎已迫使他们立即离去。 [45] 参阅修昔底德,VII. 60。 [46] 史译本此处译为“第三天”。 [47] 由此可知,习惯上,雅典重装步兵或骑兵出征时,都有仆人随侍左右。 [48] 约合7400米。 [49] 退却的第二天。 [50] 约合3700米。 [51] 克译本和昭译本此处皆为“很多英里”。 [52] 退却的第三天。 [53] 退却的第四天。 [54] 参阅修昔底德,VI. 70。 [55] 退却的第五天。 [56] 史译本为“五六斯塔狄亚”;谢译本(第568页)为“4斯塔狄亚多”。 [57] 现在的喀西比利河(Cassibili)。 [58] 现在的卡瓦拉塔河(Cvallata)。 [59] 退却的第六天。 [60] 约合9200米。克译本此处为“五六英里”。 [61] 参阅修昔底德,VII. 57。 [62] 退却的第七天。 [63] 退却的第八天。 [64] 现在的法尔康那拉河(Falconava),又叫阜姆–狄–诺托河。 [65] 修昔底德斯没有提及雅典阵亡者具体数目,据狄奥多拉斯(XIII. 19)记载,死在河中者1.8万人, 被俘者7000人;但是很明显,他把德摩斯提尼的军队也包括在内了。 [66] 没有超过1000人。因为俘虏总数是7000人(修昔底德,VII. 87),其中6000人是德摩斯提尼的军队 (修昔底德,VII. 82)。但是实际上,在最后投降的前八天,雅典军队的总数是4万人,由此可见雅典人损失 之惨重。参阅史译本,第4册,第174—175页。 [67] 参阅修昔底德,V. 16。 [68] 雅典演说家吕西亚斯(XIX. 47)提到,他拥有财产多达100塔连特,财产主要是银矿,在劳里昂银 矿中,使用着1000名奴隶(色诺芬:《论收入》,IV. 14)。 [69] 后世对尼基阿斯也给予了很高的评价。亚里士多德在其《雅典政制》(XXVIII. 5)中,认为尼氏 是雅典历史上公认的三位最优秀的公民之一。 [70] 这样的口粮数额只有奴隶口粮的一半。把这份口粮和在斯法克特里亚岛被俘虏的斯巴达人的口粮比 较一下,更可以看出它是多么少了。在斯法克特里亚俘虏的斯巴达人的口粮是:“每人大麦饭2夸脱,酒1品 脱”(修昔底德,IV. 16)。 [71] 根据普鲁塔克(《传记集·尼基阿斯传》,XXIX. 1—3)记载,许多人得到了自由,其余那些已经 跑掉的雅典人,依靠朗诵欧里庇得斯的诗句以维持生活,因为欧里庇得斯在西西里人中间,比任何其他外国诗 人都要流行些。这些生还者归途中表示对欧里庇得斯的感激,无疑,这是诗人所从来没有听到过的最甜蜜的颂 扬。

    第八卷

    第八卷的作者是不是修昔底德本人存争议

    第二十四章 战争的第十九年和第二十年。伊奥尼亚的 暴动。波斯的干涉。伊奥尼亚战争。

    1 雅典军队在西西里惨败的消息传回了雅典, [1] 但即使是亲自参 加了战争并从战场上逃回的最有身份的士兵,明确无误地报告了战争的 结果,过了很长一段时间,雅典人对雅典军队全军覆灭一事依然不肯相 信。可是,当他们不得不承认战争的结果时,他们转而迁怒于参与鼓动 远征的演说家,也对预言家和占卜者以及征兆散播者恼恨不已,就好像 是这些人鼓动他们前去,使他们相信可以征服西西里,而他们自己仿佛 未曾投票赞成远征似的。[2]他们在各个方面和各个战场上已经感到 窘迫了,而西西里战败,则使他们感到从未有过的极度恐惧和惊慌。他 们失去如此众多的重装步兵、骑兵和身强力壮的军人,他们看到国内已 经无兵可征,无论是作为一个城邦,还是每一位公民个人,都不能不为 此忧心如焚;而且他们知道,船坞中的舰船、国库中的金钱和配备舰船 的桡手,都显得捉襟见肘了。他们开始对自己的安全生存感到绝望了。 他们认为,西西里的敌人在这次胜利的激励下,会立即率领舰队来进攻 比雷埃夫斯港;而在希腊本土的敌人在反叛盟邦的援助下会倾其全力加 倍地努力备战,将在海上和陆地上向他们发起猛攻。[3]尽管如此, 他们仍决心从现有的条件出发,抵抗到底;他们设法取得木材和金钱, 尽最大努力装备一支舰队;他们采取措施维持与盟邦的关系,首先是与 优波亚的关系;同时,他们改革城邦管理政策,使其建立在更节约的基 础之上;设立一个由年长者组成的委员会,在形势需要时对城邦事务提 出处置建议。[4]总之,一切按照民主制的程序办事,在惊恐不安的 时候,他们尽可能谨慎地做好各种准备。这些决议立即付诸实施。现在 夏季结束了。 [2]

    2 雅典人在西西里遭遇的巨大灾难,使整个希腊在接下来的冬季里 都骚动起来。现在,那些中立的城邦认为,即使没有受到邀请,他们也 不应该再置身于战争之外,而应当自愿加入到反对雅典人的行列。因为 每个城邦都意识到,假如雅典人在西西里战争中赢得胜利,雅典人很可 能来进攻他们;而且,他们认为,现在这场战争将很快结束,他们会因 参加战争而获得荣誉。同时,拉栖代梦人的盟邦都比以前更加急切地盼 望迅速免除他们的沉重劳役。[2]尤其是雅典的臣民,他们甚至自不 量力,准备反叛,他们不能冷静地判断形势,甚至不相信雅典人能坚持 到来年夏季。[3]除此之外,拉栖代梦人还可以期望在春季有一支强 大的西西里盟邦军队加盟,这都使其受到鼓舞,最近发生的事件迫使其 组建海军。[4]这些都是拉栖代梦人在各个方面充满信心的理由。现 在,他们决定毫无保留地倾其全力进行战争,认为一旦战争如愿以偿地 胜利结束,他们将最终免除危险,免除由于雅典人征服西西里而给予他 们的那种威胁;一旦打垮雅典人的势力,他们在全希腊的霸主地位就稳 固了。

    3 因此,在这个冬季里,拉栖代梦国王阿基斯率领一支军队立即从 狄凯里亚出发,向盟邦征收款项,以建造舰队。阿基斯转向马利亚湾, 为报旧仇 [3] ,向奥塔人强征一笔金钱,并运走其大部分牲口;他又不 顾色萨利人的抗议和反抗,向弗提奥提斯的阿凯亚人和色萨利人在那个 地区的其他臣民,强行征收金钱和扣押人质。他把人质幽禁在科林斯, 企图迫使这些人质的同胞加入拉栖代梦同盟。[2]拉栖代梦人现在向 各邦提出建造总数为100艘舰船的要求,确定他们自己和波奥提亚人各 建造25艘,佛基斯人和罗克里斯人共同建造15艘,科林斯人建造15艘; 阿卡狄亚人、培林尼人和西基昂人共同建造10艘,麦加拉人、特洛伊曾 人、爱皮道鲁斯人和赫尔米奥涅人也一起建造10艘。同时,他们为春季 开始进行战争做好其他各项准备。

    4 同时,雅典人并没有坐以待毙。在这个冬季里,他们按照他们作 出的决定,搜集木材、建造舰船、修筑苏尼昂要塞,使他们的谷物运输 船能够安全地绕过苏尼昂海角航行;他们从拉哥尼亚的要塞 [4] 撤离, 该要塞是他们前往西西里途中所建;为了节省开支,他们也裁减其他各 种不必要的支出;他们特别严密地监视同盟者,以防他们暴动。

    5 当双方如此努力工作,像当初一样专心致志地准备战争的时候, 优波亚人在这个冬季首先派遣使者到阿基斯国王那里磋商其叛离雅典事 宜。阿基斯接受了他们的建议,从拉栖代梦派遣斯塞涅莱达斯之子阿尔 卡门尼斯和麦兰苏斯到优波亚担任指挥官。他们二人随即带领约300名 涅奥达摩德斯人 [5] 赶来,阿基斯便开始安排他们渡过海峡。 [6] [2] 但在这个时候,一些列斯堡人赶到了,他们也想叛离雅典人,并已得到 波奥提亚人的支持。阿基斯被说服了,暂时推迟在优波亚的行动,对列 斯堡人的起义作了如下安排。他把原来准备航行到优波亚的阿尔卡门尼 斯派遣到列斯堡负责当地事务,阿基斯允诺给他们10艘舰船,波奥拉亚 人也提供10艘。[3]所有这些安排都不是拉栖代梦政府当局的指示, 因为阿基斯在狄凯里亚率军,他有权决定派遣军队到任何地方,有权募 集兵员,有权征收钱款。可以说,在这期间,同盟者对他言听计从,更 甚于对国内斯巴达人的服从。因为他率军所到之处,即令当地人敬而生 畏。[4]当阿基斯正在与列斯堡人商议的时候,那些也准备起义的开 俄斯人 [7] 和爱里特莱人,不是向他本人而是向拉栖代梦政府提出请 求。同他们一起抵达拉栖代梦的还有一名提萨佛涅斯的使者,提萨佛涅 斯是阿塔薛西斯之子、波斯国王大流士 [8] 在亚细亚沿海地区的总督, [5]他也试图争取伯罗奔尼撒人的支持,允诺向他们的军队提供给 养。大流士国王最近要求他缴纳其管辖地区内的贡赋,他拖欠贡赋的原 因,就在于雅典人使他无法从希腊人的城市征收贡赋。因此他认为,一 旦削弱了雅典人的势力,他便会更容易地征收贡赋。同时,他也有意促 使拉栖代梦人成为波斯国王的同盟者。这样,他就可以按照大流士国王 的命令,活捉或杀死皮苏特涅斯 [9] 的私生子阿摩基斯,阿摩基斯正在 卡里亚的沿海地区掀起叛乱。这样,开俄斯人和提萨佛涅斯为了共同的 目标而协同努力。

    6 大约同时,麦加拉人劳丰之子卡里盖图斯和基济库斯人阿特纳哥 拉斯之子提玛哥拉斯,他们都被本国驱逐,居住在法拉基斯之子法那巴 佐斯 [10] 官邸,现在受法那巴佐斯之命出使拉栖代梦,请求拉栖代梦人 派遣一支舰队前往赫勒斯滂;通过这种方式,如果可能的话,他自己也 可以实现提萨佛涅斯的目标,即促使提萨佛涅斯辖区内的城市背叛雅典 人,这样他可以征收贡赋;并通过他的努力而实现大流士国王与拉栖代 梦人结盟。 [2]法那巴佐斯和提萨佛涅斯的使者各自都想与拉栖代梦人订立 盟约。现在,是首先派遣一支舰队和陆军到伊奥尼亚和开俄斯去,还是 到赫勒斯滂去呢?此事在拉栖代梦引发了激烈争论。[3]但是,拉栖 代梦人对开俄斯人和提萨佛涅斯颇有好感,阿尔基比阿德斯也支持他 们,那年的监察官恩狄乌斯还是阿尔基比阿德斯的一个有亲属关系的朋 友。事实正是如此:阿尔基比阿德斯的家族取用的是拉哥尼亚人的名 字,而阿尔基比阿德斯成了恩狄乌斯的姓。 [11] [4]虽然如此,拉栖 代梦人还是首先派遣一个皮里奥西人弗利尼斯到开俄斯,查看他们所说 的舰船数量是否属实,他们的城邦的实力是否像他们所说的那么强大。 弗利尼斯返回后向拉栖代梦人报告说,他们所说的情况属实。于是,拉 栖代梦人立即与开俄斯人和爱里特莱人结成同盟,并投票赞成派遣40艘 舰船前去援助他们。根据开俄斯人所说的,拉栖代梦人认为在那里已有 至少60艘舰船。[5]拉栖代梦人原打算首先派出他们自己的40艘舰船 中的10艘,由海军将领麦兰克利达斯指挥。但随后发生地震,他们指派 卡尔基丢斯替代麦兰克利达斯,仅在拉哥尼亚装备了5艘舰船而不是10 艘。这个冬季结束了,修昔底德撰写的这场战争的第十九年也结束了。

    7 夏季开始之际 [12] ,开俄斯人急切地敦促拉栖代梦人派遣一支舰 队。因为他们的所有使者都是秘密派出的,他们害怕雅典人会知道正在 策划中的反叛活动,而拉栖代梦人方面则立即派遣3名斯巴达人到科林 斯,设法尽快将舰船从地峡的另一侧海域拖到地峡的靠雅典一侧的海 域,并命令所有舰船驶往开俄斯,就是阿基斯国王正在为列斯堡人装备 的那些舰船也不例外。在这里,从各盟邦驶来的舰船共有39艘。

    8 因此,代表法那巴佐斯的卡里盖图斯和提玛哥拉斯没有参与远征 开俄斯,也没有提供金钱—他们已经带来25塔连特,并准备将其付给拉 栖代梦派出的远征军,但他们仍准备随后也派遣一支军队驶往那里。 [2]另一方面,阿基斯国王发现拉栖代梦人决定首先前往开俄斯,这 样他们就和他自己的想法保持一致了。聚集在科林斯的诸盟邦代表们举 行会议,会议决定,首先由卡尔基丢斯指挥舰船前往开俄斯,他当时正 在拉哥尼亚装备那5艘舰船;随后在阿尔卡门尼斯的率领下前往列斯 堡,他同样是阿基斯国王指定的指挥官;最后,在兰斐亚斯之子克里阿 库斯的指挥下前往赫勒斯滂。[3]他们先是只把半数的舰船拖过地 峡,让这些舰船立即出航,以便使雅典人只注意到首先出发的舰队,而 忽视随后拖过地峡的舰船。[4]他们毫不在意这次航行的保密性,因 为他们藐视雅典人,认为雅典人软弱无力,并且目前在海上还没有任何 重要的舰队。根据这个决议,他们立即把21艘舰船拖过地峡。

    9 现在,他们急于启程,但科林斯人不愿与他们同行,而要等到那 时正要举行的地峡竞技会 [13] 结束以后。对此,阿基斯国王准备由他自 己率军远征,以免除科林斯人对破坏地峡节日休战的顾虑。[2]科林 斯人不赞同这个计划,远征行动就这样被推迟了。在这期间,雅典人觉 察到开俄斯人正在密谋叛变,于是派遣他们的一个将军阿里斯托克拉提 斯前去,列举事实责备开俄斯人。针对开俄斯人的矢口否认,他命令开 俄斯人派遣他们的一支舰队与雅典舰船驻扎在一起,以示其对同盟的诚 意。于是,开俄斯人派出7艘舰船。[3]开俄斯人向雅典人派遣舰船的 原因是,开俄斯民众并不知道开俄斯与拉栖代梦的协议,知道这个秘密 协议的寡头派人士在获得强大的力量作他们的后盾之前,不愿意向民众 公开这个秘密。由于拉栖代梦人的延误,他们不再指望伯罗奔尼撒人前 来援助了。

    10 与此同时,地峡竞技会开幕了。雅典人也接受邀请前来参加竞 技会。 [14] 现在雅典人更明确地觉察到开俄斯人的叛变密谋了,他们一 返回雅典就采取措施,阻止开俄斯舰队在不向他们通报的情况下从肯克 里埃起航。[2]地峡竞技会过后,阿尔卡门尼斯率领伯罗奔尼撒人的 21艘舰船向开俄斯驶去。雅典人首先驶出同样数量的舰船阻扰他们,随 即想引诱他们进入公海。可是,伯罗奔尼撒人的舰队追逐他们不远就返 航了。雅典人也折回去了,因为在他们的舰队中,开俄斯的那7艘舰船 是不可靠的。[3]后来,他们配备了其他的舰船,共计37艘;追逐沿 海岸航行的伯罗奔尼撒人的舰船,使他们进入斯皮赖昂。这是靠近爱皮 道鲁斯边境一个科林斯的荒凉的港口。伯罗奔尼撒人在海上损失一艘舰 船,他们把其他舰船集中起来,停泊在斯皮赖昂港。[4]这时,雅典 人不但以舰队从海上进攻伯罗奔尼撒人的舰队,还登上海岸,由此引起 了很大的恐慌和混乱。结果,雅典人使敌人的多数舰船丧失战斗力,并 杀死他们的指挥官阿尔卡门尼斯。他们自己也有少量人员伤亡。

    11 这次战役后,雅典人撤离,他们已有足够数量的舰船封锁敌人 舰船了。他们把其余舰船停泊在附近的小岛旁边,在岛上修筑营地,并 派人回雅典请求增援。[2]这次交战后的第二天,科林斯人就向伯罗 奔尼撒的舰队提供援助;不久,附近的其他居民也赶来增援。伯罗奔尼 撒人发现驻守在一个荒凉之地很困难,起初他们感到窘困,想烧掉他们 的舰船,但最终决定把舰船拖上岸,在这里驻扎下来,以陆军防守,直 等到出现合适的机会逃离。阿基斯也获悉他们战败,给他们派来一名斯 巴达军官德蒙。[3]拉栖代梦人首先获悉舰队已从地峡起航的消息, 因为监察官命令阿尔卡门尼斯在他率领舰队出发时要向他们派遣一名骑 兵通报情况。拉栖代梦人立即派出他们自己的5艘舰船,由卡尔基丢斯 指挥,阿尔基比阿德斯随他一起出发。但是,当他们全力以赴实施这个 决定时,传来了舰队已逃入斯皮赖昂的消息,他们对其在伊奥尼亚战争 中首次行动就遭到失败而灰心丧气,因此,他们不想再从国内派出舰 船,甚至想召回那些已经派出的舰船。

    12 阿尔基比阿德斯得知这种情况后,再次说服恩狄乌斯和其他监 察官,坚持派遣远征军。他说,在开俄斯人听到舰队战败消息之前,他 们的远征舰队就能抵达开俄斯;他一踏上伊奥尼亚人的领土,就将使他 们确信雅典人的萎靡不振和拉栖代梦人的高昂斗志,轻而易举地说服这 些城邦叛离雅典人,因为他们乐意相信他提供的证据。[2]他私下向 恩狄乌斯说,策划伊奥尼亚人背叛雅典人,并促成大流士国王与拉栖代 梦结盟,对他而言是无上光荣的,不要把这个荣誉留给阿基斯(人们一 定记得,阿基斯是阿尔基比阿德斯的仇敌 [15] )。[3]恩狄乌斯及其 他监察官就这样被他说服了,阿尔基比阿德斯带领5艘舰船和拉栖代梦 人卡尔基丢斯一起出发,全速航行。

    13 大约这个时候,跟随吉利浦斯在整个西西里战争中效力的16艘 伯罗奔尼撒人的舰船,在从西西里返回途中经过琉卡底亚附近时,被麦 尼浦斯之子希波克利斯指挥的27艘雅典舰船追上,遭到猛烈攻击。希波 克利斯当时正在监视来自西西里的舰船。伯罗奔尼撒人损失一艘舰船, 其余舰船逃脱雅典人的追击,向科林斯驶去。

    14 与此同时,卡尔基丢斯和阿尔基比阿德斯为防范远征行动泄 密,他们把沿途遇到的人都抓起来与他们一同前行,在他们抵达亚细亚 大陆第一个停泊地科里库斯 [16] 时才释放这些被抓的人。在科里库斯, 一些开俄斯的同谋者前来造访,强烈要求他们不要事先宣布他们的到 来,而是径直前往开俄斯城。于是,他们突然兵临开俄斯。[2]开俄 斯的民众感到惊慌失措,而寡头派人士已安排停当,这时召开议事会。 卡尔基丢斯和阿尔基比阿德斯发表演讲,声称还有更多舰船正在途中, 但只字未提他们的舰队在斯皮赖昂被封锁之事。他俩演讲过后,开俄斯 人正式叛离雅典人,爱里特莱人立即仿效他们也叛离雅典人 [17] 。 [3]之后,他们派遣3艘舰船航行到克拉左门奈,并策划该城邦也叛离 雅典人。克拉左门奈人立即渡海到大陆,开始在波利契纳设防,以便必 要时从他们居住的岛上撤退到那里。 [18] 那时,所有叛离雅典的城邦都 忙于修筑防御工事,准备战争。

    15 开俄斯人叛变的消息,很快传到雅典。雅典人认为,现在巨大 而明显的危险笼罩着他们,同盟者中最大的城邦脱离同盟后,其他盟邦 是不会保持平静的。在惊恐之余,他们立即废除了一项惩罚律条,即任 何一位提议动用1000塔连特储备款, [19] 或者任何将此建议付诸表决的 官员,都要科以重罚。在整个战争中,他们都注意避免触犯该律条,现 在他们投票赞成动用这笔储备款,以为大量的舰船配备船员。他们立即 派遣狄奥提姆斯之子斯特罗姆比基德斯率领8艘舰船出发,这些舰船本 来是封锁斯皮赖昂的伯罗奔尼撒舰队的雅典舰队的一部分,他们撤离封 锁线,前去追逐卡尔基丢斯所率领的舰队,因为没有追上而返回。不 久,特拉西克列斯也率领撤离封锁线的另外12艘舰船前去增援。[2] 他们还召回了在斯皮赖昂的封锁舰队中的7艘开俄斯舰船,恢复舰船上 奴隶的自由, [20] 囚禁船上的自由民。他们迅速配齐10艘新船的船员, 派遣它们去代替那些已撤离的舰船,继续封锁伯罗奔尼撒人。他们还决 定另外再配备30艘舰船的船员。雅典人振奋精神,不遗余力地派兵增 援,以解除开俄斯人给他们造成的危险。

    16 与此同时,斯特罗姆比基德斯率领8艘舰船抵达萨摩斯,又带上 一艘萨摩斯舰船航行到泰奥斯,要求当地居民保持平静。卡尔基丢斯也 率领23艘舰船从开俄斯航行到泰奥斯,克拉左门奈人和爱里特莱人的陆 军沿海岸挺进,以为声援。[2]斯特罗姆比基德斯及时获悉这个情 报,在卡尔基丢斯赶来之前就撤离了泰奥斯;他在海上看到很多开俄斯 的舰船,便逃向萨摩斯,并遭到敌舰的追击。[3]起初,泰奥斯人不 接待他们的陆军,但雅典人逃走后,便允许他们进城。他们在这里等待 与追逐雅典舰队的卡尔基丢斯会师,一段时间后见他仍未返航,他们便 自作主张,开始拆毁雅典人修建在泰奥斯城靠陆地一侧的城墙,提萨佛 涅斯的副将斯塔吉斯率领一些土著居民前来协助拆除城墙。

    17 卡尔基丢斯和阿尔基比阿德斯把斯特罗姆比基德斯追逐到萨摩 斯以后,便武装伯罗奔尼撒舰船上的桡手,把他们留在开俄斯,又从开 俄斯招募船员代替原来的桡手,还为另外20艘舰船配备了船员。之后, 他们起航前去策动米利都人叛离雅典。[2]阿尔基比阿德斯和米利都 的领导人有友好关系,希望在伯罗奔尼撒的舰队赶到米利都之前,使米 利都先投向他们一边。这样,在开俄斯和卡尔基丢斯的军队帮助下,阿 尔基比阿德斯促成尽可能多的城邦都叛离雅典人,像他所许诺 [21] 的那 样,不仅使开俄斯人、他自己和卡尔基丢斯获得荣誉,也为派遣他们远 征的恩狄乌斯争光。[3]直到他们即将抵达米利都时才被发现,他们 只比斯特罗姆比基德斯和特拉西克列斯早一点抵达米利都(特拉西克列 斯刚从雅典率领12艘舰船前来与斯特罗姆比基德斯一起追逐敌舰),策 动米利都人背叛雅典。雅典人率领19艘舰船紧紧地追逐敌舰;发现米利 都人拒绝他们进城,便驻扎在邻近的拉德岛 [22] 上。米利都人叛离雅典 后,提萨佛涅斯和卡尔基丢斯立即签订了大流士国王与拉栖代梦人之间 的第一个同盟条约。条约内容如下:

    18 拉栖代梦人及其同盟者与大流士国王及提萨佛涅斯订立盟约, 条款如下: 1.波斯国王所拥有的一切领土和属邦,大流士国王祖先所曾拥有的 一切领土和属邦,都应当归属波斯国王所有;雅典人曾从这些属邦获得 金钱或其他物品,国王和拉栖代梦人及其同盟者应当通力合作,阻止雅 典人,使他们不能获得金钱和其他任何物品。 [2]2.与雅典人的战争应当由波斯国王和拉栖代梦人及其同盟者 联合进行,除非得到双方一致同意,否则与雅典人签订和平条约将是非 法的。双方即波斯国王为一方,拉栖代梦人及其同盟者为另一方。 [3]3.任何背叛波斯国王的人,拉栖代梦人及其同盟者应当视其 为敌人;任何背叛拉栖代梦人及其同盟者的人,波斯国王同样视其为敌 人。

    19 这就是双方订立的同盟条约。同盟条约签订后,开俄斯人马上 为另外10艘舰船配备桡手,驶往阿纳伊亚 [23] ,以便获得米利都城里的 消息,同时也想策动那里的一些城市叛离雅典人。[2]但卡尔基丢斯 派出的一名使者到了他们那里,要求他们返回,告诉他们说,阿摩基斯 率领一支军队即将从陆路赶到。于是开俄斯人航行到宙斯神庙,在那里 看到在特拉西克列斯动身后从雅典起航的狄奥麦敦率领的另外10艘舰船 [24] 正向他们驶来,他们的一艘舰船逃往以弗所,其余的逃往泰奥斯。 [3]雅典人俘获了他们的4艘空船,船上桡手及时逃到岸上去了,其余 的人逃匿到泰奥斯城内。随后,雅典人出发前往萨摩斯,[4]而开俄 斯人率领其剩下来的舰船,在陆军配合下,促使列别多斯叛离雅典人, 随后又促成爱莱 [25] 叛变。之后,他们的舰队和陆军都返回国内。

    20 大约同时,前面提及的 [26] 被同等数量的雅典舰船追逐到海岸并 被封锁在斯皮赖昂的20艘伯罗奔尼撒舰船突然实施突围,打败封锁他们 的雅典舰队,俘获4艘雅典舰船,驶回肯克里埃,准备由那里航往开俄 斯和伊奥尼亚。他们在这里与阿斯泰奥库斯会合,此人是拉栖代梦派来 的海军大将,现在被授予海军最高指挥权。[2]陆军现在从泰奥斯撤 退后,提萨佛涅斯亲自率领军队进驻那里,彻底摧毁了泰奥斯剩下的城 墙,随后离去。他走后不久,狄奥麦敦率领10艘雅典舰船到达那里,与 泰奥斯人签订一个协定,泰奥斯人允许他进城,像他们允许敌人进城一 样。后来,他沿海岸航行到爱莱,试图夺取爱莱,没有成功,又航行回 去了。

    21 大约这个时候,萨摩斯平民暴动,他们和一些雅典人联合起来 反抗贵族阶级,雅典人在那里有3艘舰船。萨摩斯平民一共处死约200名 贵族,又流放了另外400人,瓜分了他们的土地和房屋;之后,雅典人 允许他们自治,他们的忠诚已被确信,此后由萨摩斯平民掌管城邦事 务,土地所有者被排斥在城邦事务之外,禁止任何平民与他们通婚。

    22 在同一个夏季中, [27] 萨摩斯平民暴动之后,开俄斯人一如既往 地积极从事策动叛离雅典人的活动,认为即使没有伯罗奔尼撒人的帮 助,他们仍有足够的力量促使一些城邦叛离雅典人;同时,他们也希望 有尽可能多的城邦与其同舟共济,共担危险。他们派遣自己的13艘舰船 航往列斯堡, [28] 拉栖代梦人给他们的指示是驶往列斯堡岛,再从那里 航往到赫勒斯滂。同时,在那里与开俄斯人联合在一起的伯罗奔尼撒人 及其同盟者的陆军,在斯巴达人攸阿拉斯指挥下,沿海岸向克拉左门奈 和库麦进军;而他们的舰队由一名皮里奥西人狄尼阿德斯指挥,[2] 首先航行到麦塞姆那,促成其背叛雅典人。他们在那里留下4艘舰船, 又带领其余舰船促使米提列涅人背叛雅典。

    23 与此同时,拉栖代梦海军大将阿斯泰奥库斯率领4艘舰船从肯克 里埃出发,按计划抵达开俄斯。他到达开俄斯后的第三天,有25艘雅典 舰船在狄奥麦敦和列昂的指挥下航行到列斯堡,列昂是后来率领10艘舰 船从雅典赶来增援的。[2]在当天傍晚,阿斯泰奥库斯出海,率领1艘 开俄斯舰船前往列斯堡,想尽力帮助列斯堡人。他航行到皮拉,第二天 又从那里航行到爱里苏斯;他在爱里苏斯获悉雅典人几乎兵不血刃地夺 取了米提列涅。[3]雅典人不期而至、出人意料地长驱直入,在港内 打败开俄斯人的舰队,登陆后击败抵抗他们的陆军,占领了米提列涅。 [4]阿斯泰奥库斯从爱里苏斯人和败逃的开俄斯舰船那里获悉米提列 涅失守,而开俄斯的舰队由攸布鲁斯率领,停留在麦塞姆那。 [29] 他们 在米提列涅失陷后逃走,其中1艘舰船被雅典人俘虏,其余3艘现在遇到 阿斯泰奥库斯。阿斯泰奥库斯不再去米提列涅了,而是留下来煽动和武 装爱里苏斯人;他从自己的舰船上派遣重装步兵,由爱特奥尼库斯率领 由陆路进军安提萨和麦塞姆那,他本人则率领自己的舰船和那3艘开俄 斯舰船沿海岸航行到那里去,希望麦塞姆那人因见到他们而深受鼓舞, 义无反顾地叛离雅典人。[5]可是,因为在列斯堡事事都对他不利, 他便让他的陆军登上舰船,返回开俄斯;舰船上的陆军原来准备派往赫 勒斯滂,现在也被遣回他们各自的城邦。随后,在肯克里埃的伯罗奔尼 撒同盟者的6艘舰船与在开俄斯的军队联合起来。[6]雅典人恢复了列 斯堡的原状后,从那里驶出,夺取克拉左门奈人在大陆上修筑的要塞波 利契纳, [30] 把居民迁回他们在岛上的城镇,只有那些叛乱发动者除外 ——这些人已撤退到达弗努斯去了。这样,克拉左门奈再次回归雅典同 盟。

    24 在同一个夏季中,雅典人驻扎在拉德的20艘舰船封锁米利都。 他们在米利都境内的潘诺姆斯发动突袭,杀掉率领少量军队前来抵抗的 拉栖代梦的指挥官卡尔基丢斯。两天后 [31] ,雅典人又渡海前去,竖立 一座胜利纪念碑。但是,米利都人把胜利纪念碑推翻了,因为他们认为 雅典人立碑时尚未控制这个地区。[2]同时,列昂和狄奥麦敦率领从 列斯堡出发的雅典舰队,以开俄斯附近的奥努塞群岛、他们在爱里特莱 的西都萨和普特里昂要塞以及列斯堡为基地,从舰船上发动对开俄斯人 的战争。舰船上载着按兵员名册强行征募而来作为水兵服役的重装步 兵。 [32] [3]他们在卡达米利和波里苏斯登陆,大败前来抵抗的开俄 斯人,杀伤甚众,并且大肆蹂躏邻近乡村。在法奈进行的另一场战役 中,他们又获得胜利,在琉康尼昂第三次交锋中,再次击败开俄斯人。 此后,开俄斯人不肯出来接战,而雅典人则劫掠这片自波斯战争以来就 未遭劫难的美丽富饶的乡村。[4]事实上,开俄斯人是我所知道的除 拉栖代梦人以外的唯一一个知道怎样在繁荣昌盛时期明智处理国事、知 道城邦国势愈盛愈要注意安全的民族。[5]这次背叛雅典,他们似乎 失之轻率,但并非冒险,因为他们知道有众多勇敢的同盟者与他们共担 危险,直到他们发觉雅典人在西西里惨败后,连雅典人自己都不再否认 他们完全处于绝望状态时,才背叛雅典人。如果说人事无常,难以捉 摸,因而他们犯了错误的话,那么其他许多人像他们一样,都做出了错 误的判断,都相信雅典人的势力会被迅速打垮。[6]但如今他们在海 上被封锁,在陆上被劫掠,一些开俄斯人力图把城邦再拉回到雅典人一 边。开俄斯当政者获悉此事,但并未采取行动,只是从爱里特莱招请拉 栖代梦海军将领阿斯泰奥库斯率领4艘舰船前来;他们考虑用最温和的 方式,通过扣押人质或其他方式来制止这个密谋。那时,开俄斯人的情 况就是如此。

    25 在这个夏季即将结束之际,一支由1000名雅典重装步兵、1500 名阿尔哥斯人(雅典人给其中500名轻装步兵配以重装军备)和1000名 来自盟邦的重装步兵组成的军队,乘48艘舰船从雅典出发,其中一些是 运输船,由弗利尼库斯、奥诺麦克利斯和斯基罗尼德斯负责指挥。他们 先航往萨摩斯,再渡海到米利都安营扎寨。[2]在米利都方面,米利 都人的800名重装步兵、过去由卡尔基丢斯带来的伯罗奔尼撒人、由提 萨佛涅斯给付薪饷的一些雇佣军以及提萨佛涅斯本人和他的骑兵队,前 来与雅典人及其同盟者交战。[3]当时,作为联军一翼的阿尔哥斯人 率先冲上前去攻击伊奥尼亚人,他们队形散乱,没有把伊奥尼亚人放在 眼里,认为伊奥尼亚人是决对不会抵抗的,结果他们反被米利都人打 败,损失近300人;[4]而另一翼的雅典人首先击败伯罗奔尼撒人,并 击退他们面前的土著和种族混杂的敌军,但没有与米利都人交战。米利 都人打败阿尔哥斯人后,发现本方的其他军队惨遭败绩,便退回城里去 了。雅典人既已获胜,便在米利都城下放下武器,暂时歇息。[5]非 常凑巧的是,在这次战役中,双方的伊奥尼亚人都战胜了多利斯人,雅 典人打败了抵抗他们的伯罗奔尼撒人,米利都人则战胜了阿尔哥斯人。 雅典人在竖立一座胜利纪念碑之后,准备修筑一道封锁城墙,包围地处 地峡的这个地方;他们认为,如果他们能恢复与米利都人的同盟关系, 他们就将很容易地使其余地方也转向他们一边。

    26 同时,大约在黄昏时刻,他们得到一个消息,说来自伯罗奔尼 撒和西西里的55艘舰船即将到达。在这些西西里的希腊人中,主要是叙 拉古人赫摩克拉特斯力劝他们采取联合行动,给雅典现存的势力以毁灭 性打击。西西里的希腊人装备了22艘舰船,其中叙拉古人提供20艘舰 船,塞林努斯人提供2艘。前面我们已经提到,伯罗奔尼撒人的舰船已 经准备停当。这两支舰队都交由拉栖代梦人泰里蒙涅斯指挥,由他率领 舰队前往海军大将阿斯泰奥库斯所在地。他们首先停泊在米利都附近的 列罗斯岛 [33] ,[2]后来他们得知雅典人就在米利都城下,便从那里 驶往爱阿苏斯湾,以便了解米利都的形势。[3]同时,阿尔基比阿德 斯骑马赶到米利都境内的推丘萨,这是位于当晚他们停泊过夜的海湾的 旁边的一个城镇。阿尔基比阿德斯告诉他们,他站在米利都人和提萨佛 涅斯一边亲自参加了那场战役,他对他们的忠告是,如果他们不想失去 伊奥尼亚,不希望他们的事业功亏一篑,就应当迅速前去解救米利都, 阻止雅典人对它的包围。

    27 因此,他们决定次日黎明就去援救米利都。同时,雅典指挥官 弗利尼库斯从列罗斯获悉关于敌人舰队的准确情报,尽管他的同僚们主 张停留原地与敌人一决雌雄,但他自己坚决不肯这样做,而且他还竭力 阻止他们或其他任何人这样做。[2]他说,今后无论在何处进行战 斗,在了解到敌人做好了充分准备,并准确获悉敌舰数量和敌军人数 后,他是决对不会因拒绝与这种敌人交战使名誉受辱,而迫使自己去进 行一场不明智的冒险的。[3]雅典舰队在应当撤退的时候就撤退,这 并不是什么耻辱;如果像他们主张的那样与敌军交战而被击败,不仅会 使雅典城邦受辱,还会使雅典人面临最严重的危险,这才是更大的耻 辱。雅典人遭遇最近的惨败之后,纵或在力量强大时主动采取攻势,也 几乎是没有道理的,除非形势迫使他们必须如此。何况当时的形势并没 有迫使他们主动地去冒险。[4]他要他们尽快把伤员、军队和他们带 来的物资装上舰船,扔掉他们在敌国所劫得的一切东西,以便使舰队轻 装航行到萨摩斯,他们的舰船都集中在那里,等待时机,发起进攻。 [5]他言行一致,身体力行;他的这种智慧在后来比在当时更为人们 所认识。不仅在这一次行动中,而且在他所从事的各项工作中,弗利尼 库斯都显示出他是一个聪明睿智的人。[6]这样,当天晚上,雅典人 在没有取得全胜的情况下,就从米利都撤离了。阿尔哥斯人因失败而愤 怒,从萨摩斯匆匆起航回国了。

    28 天刚蒙蒙亮,伯罗奔尼撒人就从推丘萨起锚,驶入雅典人撤退 后的米利都。他们在那里停留了一天;次日带着此前由卡尔基丢斯率领 并被追逐到港口中的开俄斯舰船, [34] 决定返航去装运他们放在推丘萨 岸边的辎重。[2]他们抵达推丘萨时,提萨佛涅斯率领其陆军赶来, 并劝说他们前往他的仇敌阿摩基斯所控制的伊阿苏斯。于是,他们突然 袭击并夺取伊阿苏斯,当地居民万万没有想到这些舰船是别人的而不是 雅典人的。叙拉古人在这次战斗中表现得最为卖力。[3]背叛波斯国 王的阿摩基斯是皮苏特涅斯的私生子,这次被活捉并移交给提萨佛涅 斯,如果他愿意,可以依据国王的命令, [35] 把他交给大流士国王。入 侵军队洗劫了伊阿苏斯,他们在这里掠取了大量的战利品,因为这里自 古以来就是富庶之地。[4]伯罗奔尼撒人接收了为阿摩基斯服役的雇 佣军,没有加以伤害,而是把他们编入自己军队中,因为这些雇佣军中 的大多数是伯罗奔尼撒人。他们还把伊阿苏斯城和所有的战俘(奴隶和 自由民),都交给提萨佛涅斯。按照约定的价格,每个俘虏是1大流克 [36] 。之后,他们返回米利都。[5]拉栖代梦人派遣列昂之子佩达里图 斯到开俄斯担任指挥官,他们指派他带领阿摩基斯曾经率领过的雇佣军 由陆路赶往爱里特莱,指派腓力浦负责米利都的事务。夏季就这样结束 了。

    29 接着在冬季里, [37] 提萨佛涅斯在伊阿苏斯部署驻军后前往米利 都,按照他在拉栖代梦许下的诺言,按每人每天1阿提卡德拉克玛,向 舰船上的所有船员发放一个月的薪金。但是,他决定今后每人每天的酬 金不超过3个奥波尔 [38] ,直到他向国王提出请示为止;如果国王同 意,他将给足1个德拉克玛。[2]可是,因为叙拉古将军赫摩克拉特斯 的反对(由于泰里蒙涅斯不是海军司令,只是随舰船航行,以便把舰船 转交给阿斯泰奥库斯。所以关于付薪问题,他几乎没有提出异议),后 来他们达成协议,除每人每天3个奥波尔外,再支付总数为5艘舰船船员 的薪金;提萨佛涅斯为55艘舰船每月支付30塔连特, [39] 超过这个数目 的舰船也按这个比例发放酬金。 [40]

    30 在同一个冬季里,在萨摩斯的雅典人与卡尔米努斯、斯特罗姆 比基德斯和攸克特蒙率领的来自国内的另外35艘舰船会师,他们把在开 俄斯和所有其他地方的所有舰船都召集起来,分为两部分,司令官们抽 签分配:一支舰队去封锁米利都,另一支舰队载着陆军,去进攻开俄 斯,这个计划付诸实施了。[2]按抽签结果,斯特罗姆比基德斯、奥 诺马克利和攸克特蒙率领30艘舰船和曾到过米利都的那1000名重装步兵 中的一部分,他们用运输舰船装载,前去进攻开俄斯,其余的将军指挥 74艘舰船留在萨摩斯,控制海上,前去进攻米利都。

    31 同时,我们曾提到的阿斯泰奥库斯由于阴谋事件,留在开俄斯 收集人质。 [41] 他看到泰里蒙涅斯率领的舰队已经到来,伯罗奔尼撒同 盟国的事业更加兴盛,便停止了收集人质的工作,带领10艘伯罗奔尼撒 的舰船 [42] 和10艘开俄斯的舰船起航出海。[2]他攻打普特里昂未获 成功,之后,便沿海岸航行到克拉左门奈,命令那里的亲雅典人士迁居 到内陆的达弗努斯去加入伯罗奔尼撒人的军队。波斯国王在伊奥尼亚的 代理总督塔摩斯也发布了同样的命令。[3]克拉左门奈人拒不服从这 个命令,阿斯泰奥库斯就进攻其没有城墙的城市;他在进攻失败之后, 乘借风势离去,前往佛凯亚和库麦,其余舰船停靠在克拉左门奈附近的 岛屿—马拉苏萨、佩列和德律姆萨的旁边。[4]因为这场大风,他们 在这里滞留了8天,抢劫和消耗克拉左门奈人贮藏在那里的各种财物, 把剩下来的财物装上舰船,驶往佛凯亚和库麦与阿斯泰奥库斯会合。

    32 当阿斯泰奥库斯在佛凯亚和库麦的时候,列斯堡的使者赶到那 里,他们希望再次发动暴动。 [43] 他们成功地说服了阿斯泰奥库斯,但 科林斯人和其他同盟者因他们上次失败而持反对意见。于是,他便起锚 前往开俄斯,舰队遭遇风暴,被吹得七零八落,最终从各个地方抵达开 俄斯。[2]之后,我们曾经提及, [44] 佩达里图斯从米利都由陆路沿 海岸进军抵达爱里特莱,他率领军队从那里渡海前往开俄斯。他在开俄 斯还得到了大约500名士兵连同他们的武器,这些人是从前卡尔基丢斯 带领的5艘舰船留在那里的。 [45] [3]同时,一些列斯堡人主动提出要 背叛雅典人,阿斯泰奥库斯竭力劝说佩达里图斯和开俄斯人,他们应该 派其舰船前去支援,促成列斯堡人背叛雅典人,以增加他们盟邦的数 量,或者,即使失败,无论如何也会给雅典人造成损害。可是,开俄斯 人对此置若罔闻,而佩达里图斯更是拒绝把开俄斯人的舰船交给他。

    33 因此,阿斯泰奥库斯率领5艘科林斯舰船、1艘麦加拉舰船和1艘 赫尔米奥涅舰船,以及他从拉哥尼亚带来的舰船 [46] ,起航前往米利都 就任海军大将;他还以威胁的口吻告诉开俄斯人,即使他们需要帮助, 他也肯定不会再来援助他们了。[2]他率领舰船在爱里特莱的科里库 斯过了一夜;从萨摩斯渡海去进攻开俄斯的雅典陆军与他仅隔一座小 山,停靠在小山上的另一侧,因而彼此都未发现对方。[3]但是,当 天晚上,阿斯泰奥库斯收到佩达里图斯的一封信,信中说,一些获释的 爱里特莱战俘已从萨摩斯回国,准备把爱里特莱出卖给雅典人。阿斯泰 奥库斯立即起航,再度返回爱里特莱,这正好避免了与雅典人意外相 遇。[4]佩达里图斯渡海前来爱里特莱与他会合。他对这个所谓的背 叛事件进行了调查,发现整个情节都是那些想从萨摩斯逃出来的人所炮 制的,他们就撤消了对那些人的指控,并起航离去。佩达里图斯驶向开 俄斯,阿斯泰奥库斯驶向米利都。

    34 同时,绕道科里库斯航行的雅典舰队在阿吉努斯附近遇到3艘开 俄斯人的战舰;他们一看见敌舰,就立即实施追击。这时,海面上骤起 风暴,开俄斯战舰好不容易才逃回港口;而追逐在最前面的3艘雅典舰 船则遭到损坏,被风暴吹到开俄斯城附近,船员或被杀或被俘,雅典舰 队的其余舰船逃到米玛斯山下的一个名叫佛尼库斯的港口,随后他们从 这里航行到列斯堡,准备修筑要塞工事。 [47]

    35 在同一个冬季里,拉栖代梦人希波克拉特斯带着由狄亚哥拉斯 之子多利尤斯及其两个同僚指挥的10艘图里伊人的舰船、1艘拉哥尼亚 舰船和1艘叙拉古舰船,从伯罗奔尼撒出发抵达克尼多斯。克尼多斯人 在提萨佛涅斯的鼓动下,发动了暴动。[2]当米利都人知道他们抵达 时,给他们发出命令,将他们舰队的半数舰船留下守卫克尼多斯,其余 舰船在特里奥皮昂周围巡航,捕捉从埃及航行进入这个海域的所有商 船。特里奥皮昂是克尼多斯的一个海角,供奉着阿波罗神。[3]雅典 人获悉这个消息,从萨摩斯航行出来,捕获了在特里奥皮昂周围巡航的 6艘舰船,而舰船上的船员都逃走了。随后,雅典人驶入克尼多斯,并 进攻这座没有设防的城市,差一点攻下克尼多斯;[4]翌日,他们再 次进攻克尼多斯,但收效甚微,因为克尼多斯居民在当晚加强了他们的 防御力量,并获得从特里奥皮昂的舰船上逃跑出来的船员的增援。现 在,雅典人撤走,他们蹂躏了克尼多斯地区后驶回萨摩斯。

    36 大约同时,阿斯泰奥库斯抵达米利都,执掌舰队的指挥权。伯 罗奔尼撒人的营地仍有充足的给养,士兵们也可以得到充足的薪金,在 他们手中还有从伊阿苏斯抢得的大量财物。米利都人也满怀热情地支持 战争。[2]然而,伯罗奔尼撒人认为卡尔基丢斯与提萨佛涅斯订立的 第一个协议有缺陷,提萨佛涅斯获得了比他们更多的利益。结果,趁泰 里蒙涅斯还在那里的时候,他们又订立了一个协议,内容如下:

    37 拉栖代梦人及其同盟者与大流士国王、国王的儿子们以及提萨 佛涅斯签订友好条约,条约内容如下: [2]1.拉栖代梦人及其同盟者不应当发动战争或以其他方式损害 现在属于大流士国王或过去属于他的父亲或他的先祖的领土或属邦,拉 栖代梦人及其同盟者不得向这些属邦征收贡赋;大流士国王或国王的任 何臣民不得发动战争或以其他方式损害拉栖代梦人或其同盟者。 [3]2.如果拉栖代梦人或其同盟者需要大流士国王的援助,或者 大流士国王需要拉栖代梦人或其同盟者的援助,双方达成的任何共识, 他们都必须切实履行。 [4]3.双方应当联合起来对雅典人及其同盟者作战;如果他们愿 意与雅典人签订和平条约,双方应当联合参加签订。 4.应大流士国王的请求而来到国王疆域内的所有军队的一切费用, 都应当由国王给付。 [5]5.与大流士国王订立此项协定的城邦,如有进攻大流士国王 的领土者,则其余诸邦应当阻止之,并倾其全力帮助国王。如果波斯国 王境内或国王统治下的属邦境内的任何人进攻拉栖代梦人或其同盟者, 大流士国王应当制止之,并倾其全力帮助他们。

    38 这个协议签订后,泰里蒙涅斯把舰队指挥权交给阿斯泰奥库 斯,自己乘一只小船离去,并失踪了。 [48] [2]现在雅典军队已经从 列斯堡渡海到达开俄斯,因为他们控制了海面和陆路,便开始修筑德尔 斐尼昂要塞,这里的地势使其从陆路方面易守难攻,至少还有一个港 口,距开俄斯城也不远。[3]至于开俄斯人,他们由于此前在多次战 役中屡遭败绩,而目前他们内部意见又不一致,因而持消极观望态度。 伊翁之子泰底乌斯的追随者们,被佩达里图斯指控为亲雅典分子而被判 处死刑,城邦的其余民众遭受寡头制的粗暴压制,他们相互猜疑,保持 沉默。因此,他们认为他们自己或佩达里图斯手下的雇佣军都无法抵抗 敌人。[4]但是,他们仍然派人到米利都,请求阿斯泰奥库斯援助他 们,而阿斯泰奥库斯予以拒绝。 [49] 于是佩达里图斯写信至拉栖代梦, 指控阿斯泰奥库斯是叛徒。[5]这就是雅典人在开俄斯的形势。当雅 典人在萨摩斯的舰队航行出来进攻在米利都的敌人舰队时,他们发现敌 人舰队拒不应战。随后他们又返回萨摩斯,按兵不动。

    39 在同一个冬季中,在麦加拉人卡里盖图斯和基济库斯人提玛哥 拉斯的协助下,拉栖代梦人为法那巴佐斯 [50] 装备的27艘舰船在斯巴达 人安提斯提尼指挥下,从伯罗奔尼撒启程,大约在冬至时节驶往伊奥尼 亚。[2]拉栖代梦人还遣派11名斯巴达人作为阿斯泰奥库斯的顾问与 他一同前往,其中有一个斯巴达人是阿开西劳斯之子利卡斯。他们接受 的命令是,抵达米利都后,他们应当共同负责,以最有效的方式处理一 般性事务;如果他们认为恰当,就派出这支舰队或者更多的舰船或者较 少的舰船到赫勒斯滂,到法那巴佐斯那里去,并任命与他们同行的兰斐 亚斯之子克里阿库斯 [51] 为指挥官;而且,如果他们认为适当,可以任 命安提斯提尼为海军大将,解除阿斯泰奥库斯的海军大将职务,因为佩 达里图斯的信件使他们对他产生猜疑。[3]于是,他们从马利亚启 程,横渡公海,舰队在米洛斯靠岸。他们在那里遇到10艘雅典人的舰 船,他们俘获3艘雅典人的空船,并将其焚毁。之后,因为他们担心从 马利亚逃走的雅典舰船会把他们到来的消息告诉在萨摩斯的雅典人,事 实上雅典人也是这样做的,他们就航行到克里特,并谨慎地延长了他们 的航程,在亚细亚的考努斯靠岸。[4]他们自认为在这里有安全保 障,便派遣一个信使到驻扎在米利都的舰队去,请求护送他们沿海岸航 行。

    40 这期间,虽然阿斯泰奥库斯拒不援助开俄斯,但开俄斯人和佩 达里图斯还是不断地继续派遣使者到他那里来。他们竭力劝说他率领整 个舰队来援助他们,反击包围他们的敌人,不要眼睁睁地任凭在伊奥尼 亚的最大盟邦被敌人从海上封锁,在陆地上被蹂躏。[2]除拉栖代梦 外,开俄斯的奴隶比其他任何一个城邦的奴隶都多,也因为奴隶人数众 多,他们犯错误时受到更为严厉的惩罚;现在奴隶们看到雅典军队稳固 地驻扎在岛上的要塞中,他们中的大多数立即逃到雅典人一边去了。他 们对这个地区的情况了如指掌,给开俄斯人造成了最大危害。[3]因 此,开俄斯人竭力劝说阿斯泰奥库斯,在仍有希望和可能阻止敌人推进 的时候,在德尔斐尼昂要塞仍在修筑而尚未完工的时候,在敌人用于保 护其营地和舰船的一条更坚固的城墙建好之前,援助他们是他的职责。 现在,阿斯泰奥库斯看到同盟者也希望他前去援助开俄斯人,就准备前 去增援,尽管这违背了他的心愿,因为上面已经提及他曾发出威胁。 [52]

    41 与此同时,从考努斯传来消息,带着拉栖代梦政府特派员的27 艘舰船已经抵达考努斯。为了履行其护送舰队的重要职责,为了更好地 控制海面,为了那些派来作为密探监视其行为的拉栖代梦人的行动安 全,阿斯泰奥库斯推迟了其他所有行动,立即放弃到开俄斯的想法,起 航前往考努斯。[2]当他沿海岸航行时,他在麦罗比德–科斯登陆,抢 劫该城。这座城市没有设防,它最近毁于我们记忆中的最大的一次地 震。而且,因为居民逃往山中,他的军队蹂躏乡村,洗劫财物,但放走 了自由民。[3]当天晚上,他从科斯出发抵达克尼多斯,由于克尼多 斯人的纠缠,他迫不得已,没有让船员们上岸,而直接航行去进攻卡尔 米努斯率领的20艘雅典舰船。卡尔米努斯是驻扎在萨摩斯的雅典指挥官 之一,他负责监视的正是从伯罗奔尼撒驶来、阿斯泰奥库斯亲自前去会 合的那27艘舰船。[4]驻扎在萨摩斯的雅典人从米洛斯获悉那27艘舰 船正在驶来,卡尔米努斯便在西米、卡尔切、罗德斯和吕基亚附近监视 它们,因为他现在获悉它们已在考努斯。

    42 于是,阿斯泰奥库斯在人们获悉其行踪之前航往西米,指望在 海上某处捕获敌舰。 [53] 但是,阴雨蒙蒙,大雾弥漫,其舰船迷失航 向,在黑暗中秩序大乱。[2]第二天早晨,他的舰队四处飘零失去联 系,多数舰船仍在该岛周围游荡。卡尔米努斯和雅典人只看到他的舰队 的左翼,他们认为这就是他们监视中的从考努斯驶来的舰队,只用他们 拥有的20艘舰船的一半兵力迅速攻击敌人舰队,[3]很快击沉3艘敌 舰,并使其他敌舰丧失战斗力。他们在战斗中处于优势,直到敌舰主力 出乎意料地出现在他们的视野中,发现他们自己被敌人包围了,才大惊 失色。[4]于是他们开始逃走。他们损失6艘舰船,其余舰船逃到泰乌 特鲁萨岛 [54] ,又从那里逃往哈利卡纳苏斯(今土耳其的Bordrum,历史学家希罗多德的出生地)。这次战斗后,伯罗奔 尼撒人驶入克尼多斯,与来自考努斯的27艘舰船会师。他们把舰船全部 驶出,在西米竖立一座胜利纪念碑,随后返航,停泊在克尼多斯。

    43 雅典人一获悉这次海战的消息,他们就率领停泊在萨摩斯的全 部舰船航行到西米。他们既没有进攻在克尼多斯的敌人舰队,也没有遭 到敌人舰队的攻击,他们带上留在西米的舰船装备,到了大陆上的罗利 米,然后驶回萨摩斯。[2]同时,因为现在伯罗奔尼撒人的全部舰船 都集中在克尼多斯,他们对舰船进行了必要的维修。11位拉栖代梦政府 特派员与特地前来会晤他们的提萨佛涅斯就过去协议中不太令人满意的 条款进行了磋商,商定以最有效的和对双方最有利的方式进行未来的战 争。[3]对现有条约条款提出最严厉批评的是利卡斯。他说,无论是 卡尔基丢斯还是泰里蒙涅斯签订的条约都是不能发生效力的;他认为条 约的内容是极其荒谬的,因为如果波斯国王现在就声称拥有他自己或其 先祖过去统治的所有领土—这个要求暗示所有岛屿、色萨利、罗克里斯 和远到波奥提亚的所有领土—都要回复到受奴役的地位,拉栖代梦人给 希腊人带来的将不是解放,而是波斯人的奴役。[4]因此,他提议达 成另一个更合理的条约,因为无论如何,他们拉栖代梦人不会接受现在 这些条约,他们不愿在这种条件下接受波斯国王的任何资助。这番话激 怒了提萨佛涅斯,他愤然离去,没有达成任何协议。

    [1] 公元前413年。 [2] 公元前413年11月。 [3] 其仇恨源自于赫拉克利亚的建立。特拉启斯人为邻人所逼,奥塔人向拉栖代梦人求援,拉栖代梦人 在赫拉克利亚建立殖民地以保护他们。后来因色萨利人的敌视和拉栖代梦派驻各地的管理者的恶行,殖民地垮 掉了。参阅修昔底德,II. 92以下。 [4] 参阅修昔底德,VII. 24。 [5] 参阅修昔底德,V. 34;VII. 19。 [6] 由狄凯里亚渡过海峡即到达优波亚岛。 [7] 开俄斯的寡头派,如修昔底德(VIII. 9)所说的。开俄斯人直到此时还是以忠诚于雅典而著名的。 [8] 大流士二世,公元前423—前404年在位。 [9] 修昔底德在I. 115提到,此人是公元前440年波斯驻萨尔狄斯的总督,在雅典镇压萨摩斯暴动期间, 他支持萨摩斯人;后来修氏又提到他是公元前428年驻萨尔狄斯的总督(III. 31)。之后,他叛离了大流士二世 (具体时间和原因不详),波斯国王派遣提萨佛涅斯前去平叛,获胜以后,提萨佛涅斯继任为总督。皮苏特涅 斯之子阿摩基斯随后也发动叛乱(时间可能在公元前415/前414年),他似乎要求并接受了雅典人的援助,如 果此事属实,那将是被修氏完全忽略的又一重大事件。从修氏的记载(VIII. 19,28,尤其是54)中,人们很 难确认雅典人和阿摩基斯是否签署过盟约。由于阿摩基斯与雅典人的这种关系,直接导致雅典与波斯关系的破 裂,从而促使波斯与斯巴达联合起来,最终击败雅典。修昔底德对此只字不提,令研究者们百思不得其解。参 阅S. 霍恩布鲁尔:《修昔底德著作注释》,第3卷,牛津大学出版社2008年版,第764—771页。 [10] 波斯帝国赫勒斯滂沿岸地区的总督。 [11] 阿尔基比阿德斯是一个拉哥尼亚人的名字,可由下面的事实得到证明:恩狄乌斯的家族中隔代都 用“阿尔基比阿德斯”这个名字(如这位监察官就被称为“阿尔基比阿德斯之子”);阿尔基比阿德斯的祖父决 定,在他的家族中把阿尔基比阿德斯这个名字和他自己的名字交替使用。 [12] 公元前412年3月。 [13] 地峡竞技会是在科林斯境内举行的纪念波塞冬的庆祝活动,每两年举行一次,时间是在初春或夏 季。竞技会期间宣布神圣和平,禁止交战。 [14] 在竞技会休战期间,相互交战的诸国均可派遣选手和使者参加竞技会;在往返途中,他们的生命安 全将得到保障。 [15] 据普鲁塔克《传记集·阿尔基比阿德斯传》(XXIII)记载,他和阿基斯的妻子有私通的嫌疑。 [16] 有好几个地方都叫科里库斯。这个科里库斯位于爱里特莱半岛,离开俄斯约有64千米(参阅李维: 《罗马史》,XXXVII. 12)。 [17] 这次叛离雅典的是伊奥尼亚的爱里特莱(Erythrae)人,而不是优波亚岛上的爱立特里亚 (Eretria)人。参阅谢译本,第575页。 [18] 根据波桑尼阿斯(VII. 3.9)的记载,克拉左门奈人过去是因为惧怕波斯人才迁居岛上的。—史译 本注 [19] 参阅修昔底德,II. 24。在这次战争的第一年,伯里克利就把这笔款项拨出,只有敌人威胁比雷埃 夫斯时才能动用此款。 [20] 显然,开俄斯人把奴隶配备在战舰上。 [21] 参阅修昔底德,VIII. 12。 [22] 约公元前494年,在该岛附近发生拉德会战。叛离波斯的希腊诸邦海上联军在该岛附近被波斯海军 击败。参阅希罗多德,VI. 7。现在这个小岛已经和大陆连结到一起。 [23] 在对岸小亚细亚大陆上。 [24] 史译本和昭译本皆为“16艘”。 [25] 泰奥斯人的一个小镇。 [26] 参阅修昔底德,VIII. 10。 [27] 公元前412年。 [28] 参阅修昔底德,VIII. 8。 [29] 参阅修昔底德,VIII. 22。 [30] 参阅修昔底德,VIII. 24。 [31] 史译本为“两天后”,克译本为“第三天”,谢译本(第580页)为“三天之后”。 [32] 每个地域部落首长(taxiarch )有一个名册,本部落每位年满18岁的公民都登记在册。服役年龄是 18—60岁。—史译本注 [33] 列罗斯位于米利都西南约64千米,从米利都城看不到该岛。参阅谢译本,第582页。 [34] 参阅修昔底德,VIII. 17。 [35] 参阅修昔底德,VIII. 5。 [36] 大流克(Daric stater)是波斯金币的名称,重8.146克,以成色足而闻名,价值相当于阿提卡币制的 20银德拉克玛。因为最早是波斯国王大流士一世在位期间铸造并通用于波斯帝国,故名。 [37] 公元前412/前411年。 [38] 半个德拉克玛。 [39] 这就是说,60艘舰船的薪金归55艘舰船上的人员所得。30塔连特(108万奥波尔)按每人每天3个奥 波尔的标准发给60艘舰船的月薪(3奥波尔× 30天× 200人× 60艘舰船)。每人每天3奥波尔是按照60艘舰船计算 的而不是按55艘计算的。但这笔钱是给55艘舰船的,而不是给60艘舰船的。参阅史译本,第4册,第240—241 页。 [40] 原先来的舰船是55艘(修昔底德,VIII. 26),这些舰船每月的薪金已商定为30塔连特。“超过这个 数目”的舰船是后来的,可能就是开俄斯的舰船(修昔底德,VIII. 28)。 [41] 参阅修昔底德,VIII. 24。 [42] 就是他从爱里特莱带来的4艘舰船(参阅修昔底德,VIII. 24)和从肯克里埃开往开俄斯的6艘舰船 (VIII. 23)。 [43] 参阅修昔底德,VIII. 22。 [44] 参阅修昔底德,VIII. 28。 [45] 参阅修昔底德,VIII. 17。 [46] 数量为4艘。参阅修昔底德,VIII. 23。 [47] 即德尔斐尼昂要塞。参阅修昔底德,VIII. 38。 [48] 无疑,他是在海上丧命了。参阅色诺芬:《希腊史》,I. 4.38。 [49] 参阅修昔底德,VIII. 33。 [50] 参阅修昔底德,VIII. 8。 [51] 参阅修昔底德,VIII. 8。 [52] 参阅修昔底德,VIII. 33。 [53] 此句史译本与昭译本、克译本的译文有出入。 [54] 该岛离罗德斯岛不远。

    第二十五章 战争的第二十年和第二十一年。阿尔基比 阿德斯的诡计。波斯资助的撤出。雅典的寡头党人政 变。萨摩斯军队的爱国行为。

    44 伯罗奔尼撒人 [1] 应罗德斯的一些领导人的邀请,决定航往罗德 斯,因为他们希望由此可获得一个颇有实力的岛国,罗德斯拥有许多船 员和陆军,他们认为自己能够从盟邦中得到维持舰队开支的费用,而不 需要祈求提萨佛涅斯提供资金。[2]于是,他们立即在这个冬季从克 尼多斯启程,率领94艘舰船首先停靠在罗德斯境内的卡米鲁斯,由于当 地民众对这个密谋一无所知,他们大为震惊,而这个城镇又没有设防, 于是民众纷纷逃离家园。可是,拉栖代梦人后来把他们召集起来,与其 他两个城镇林都斯和伊阿里苏斯的居民集中在一起。他们说服罗德斯人 背叛雅典人,这个岛国就加入伯罗奔尼撒人一边了。[3]同时,雅典 人获悉这个令人震惊的消息后,率领其舰队从萨摩斯起航,想抢在罗德 斯人反叛之前制止他们。他们航行到能看见罗德斯岛时,发现他们来迟 了一点,就暂时航往卡尔切,再从卡尔切返回萨摩斯。后来,他们以卡 尔切、科斯和萨摩斯为基地发动了对罗德斯人的战争。[4]伯罗奔尼 撒人从罗德斯人那里征收到32塔连特的贡金,随后他们把舰船拖上岸, 保持了80天的平静。

    45 在这个时期,甚至更早一些,在伯罗奔尼撒人进驻罗德斯岛以 前,就发生了以下阴谋活动。在卡尔基丢斯死去和米利都战役后,伯罗 奔尼撒人开始怀疑阿尔基比阿德斯;拉栖代梦人命令阿斯泰奥库斯处死 阿尔基比阿德斯,因为阿尔基比阿德斯是阿基斯国王的私敌,一般人都 认为他是不值得信任的。惊慌中的阿尔基比阿德斯首先逃到提萨佛涅斯 那里,并立即尽其所能地损害伯罗奔尼撒人的事业。[2]从此以后, 他成了提萨佛涅斯在各项事务中的顾问,他把士兵的薪金从每人每天1 个阿提卡德拉克玛 [2] 削减为3个奥波尔,甚至3个奥波尔也不能足额支 付;他告诉提萨佛涅斯对伯罗奔尼撒人说,雅典人有比他们更长久的航 海经验,也仅付给他们的桡手3个奥波尔。这不是因为他们贫穷,而是 为了防止他们的桡手因太富裕而腐化堕落,因有钱而沉溺声色进而损害 身体。为了确保安全,防止桡手们逃跑,他们也不是按期向船员支付酬 金的,他们把拖欠桡手的薪金作为押金。[3]他还告诉提萨佛涅斯向 各城邦的船长们和将军们行贿,以便获得他们的默许—叙拉古人除外, 这个计谋获得全面成功,赫摩克拉特斯是唯一一个代表全同盟反对他的 人。[4]同时,对那些请求金钱资助的城邦的使者,阿尔基比阿德斯 把他们打发走,并以提萨佛涅斯的名义委婉地告诉他们,说开俄斯人是 厚颜无耻的,他们是希腊最富裕的人,他们不满足于利用外国军队保卫 自己,不但指望别人为他们的自由冒生命危险,还要别人提供金钱; [5]而对其他城邦的使者,他说,在他们背叛雅典前,他们必须把收 入的大部分贡献给雅典人,为了他们自己,他们现在真不该拒绝贡献同 样数量或者更多的金钱。[6]他还指出,提萨佛涅斯现在用自己私人 的金钱进行战争,他有很充足的理由节约开支。但是,他一旦从国王那 里获得款项,就给他们付足全薪,满足各城邦的所有合理要求。

    46 阿尔基比阿德斯还进一步劝说提萨佛涅斯不要太急于结束这场 战争,不要同意把他正在装备中的腓尼基舰队调来参加战争,不要向更 多的希腊人支付薪金,这会使陆地和海上的控制权落入同一民族 [3] 之 手;而应该让敌对的双方各自控制一部分。这样,当波斯国王与一方发 生冲突时,他能够请求另一方来援助。[2]而如果一方同时控制海上 和陆地,波斯国王将不知道到哪里去寻求帮助,以便联合起来推翻它的 海陆霸权;除非他最终自己挺身而出,以巨额战争费用和巨大的危险为 代价,战斗到底。国王只需花费少量的费用,让希腊人之间相互征战、 耗尽国力,而自己又没有危险,这是最有利的方略。[3]另外,他说 他发现雅典人是帝国境内最合适的治权共享者 [4] ,因为他们没有征服 陆地的野心,他们进行战争的策略和实际行动都是最有利于波斯国王 的;雅典人与波斯国王联合起来,是为雅典人自己征服海洋领土,为波 斯国王征服其境内居住的希腊人,而伯罗奔尼撒人恰恰相反,他们是前 来解放居住在波斯国王领土内的希腊人的。如今,拉栖代梦人把希腊人 从同为希腊族的雅典人的奴役下解放出来,而不把希腊人从作为异族人 的波斯人统治下解放出来,这是不可能的,除非国王同时把他们消灭。 [4]因此,阿尔基比阿德斯劝他先消耗双方的力量,然后,在尽可能 地削弱雅典的实力后,立即把伯罗奔尼撒人驱逐出境。[5]提萨佛涅 斯基本上赞成这个策略,至少从他的行动中就能猜测得到。因为他现在 信任阿尔基比阿德斯,对他言听计从,他削减支付给伯罗奔尼撒人的金 钱,不让他们进行海战;他还佯称腓尼基人的舰队将要抵达,这样他们 能够在力量悬殊的战斗中取得优势。他以这种方式破坏伯罗奔尼撒人的 事业,使他们的海军士气低落,战斗力下降。而此前其海军的士气和战 斗力一直是很好的。总之,他很明显地表现出并不热衷于联合作战了。

    47 阿尔基比阿德斯是在托庇于提萨佛涅斯和大流士国王时,向他 们献上这个计策的。这不仅仅因为他认为这是对波斯人最有利的计谋, 还因为他正在寻求一条返回祖国的途径,他清楚地知道,如果他没有毁 灭他的祖国,他总有一天可以说服雅典人召他回国;他认为说服雅典人 的最好机会在于让他们看到他与提萨佛涅斯的亲密关系。[2]事态的 发展证明他是正确的。当驻扎在萨摩斯的雅典军队发现他对提萨佛涅斯 有很大的影响力时,他们采取行动了,主要是他们自己发动的,尽管部 分原因是阿尔基比阿德斯自己传话给军队长官,让他们转告军队中的主 要人物,说只要用一种寡头制取代放逐他的卑鄙的民主制政府,他就乐 于返回祖国,促请提萨佛涅斯成为他们的朋友。于是,在萨摩斯的雅典 的舰长们和军队中的主要人物便致力于颠覆民主制的工作了。

    48 这个阴谋首先在军营中酝酿筹划,然后从军营传到雅典城。有 些人从萨摩斯渡海前去与阿尔基比阿德斯会谈。阿尔基比阿德斯立即表 示,如果雅典人放弃民主制,他将首先使提萨佛涅斯,随后使大流士国 王成为他们的朋友;他们只有放弃民主制,才有可能赢得波斯国王的信 任。在战争中负担最沉重的雅典上层阶级,现在非常希望由他们亲自来 执掌雅典政府,并取得这场战争的胜利。[2]因而他们返回萨摩斯, 找着一些适当的人,组织自己的党派,并且公开告诉军队中的士兵说, 如果召回阿尔基比阿德斯,废除民主制,波斯国王就会成为他们的朋 友,供给他们金钱。[3]广大士兵起初虽对这些人的阴谋有些不满, 但是,因为有从大流士国王获得酬金的美好前景,他们也就平静下来。 寡头制的密谋者把他们的计划向人民做了通报后,他们自己与多数共谋 者再次讨论阿尔基比阿德斯的建议。绝大多数人认为这些建议是可行 的,也是可靠的。 [4]当时仍担任将军的弗利尼库斯力排众议,他完全不赞成这个 计划;他正确地指出,阿尔基比阿德斯实际上并不关心什么寡头制或是 民主制,他孜孜以求的无非是改变城邦的政体,以便确保他的同党能够 把他召请回国;而对雅典人自己而言,他们的一个主要目标是避免城邦 发生内乱。他说,现在,伯罗奔尼撒人在本土的海上势力与雅典人不相 上下,并且控制着波斯帝国境内一些重要城市,当波斯国王可以与从前 未曾给他造成损害的伯罗奔尼撒人保持友好关系的时候,却把立场转向 他从不信任的雅典人一边,这是不符合国王利益的。[5]弗里尼库斯 断言,现在雅典人许诺要建立的寡头制,对于其同盟诸邦来说,因为雅 典的民主制即将被推翻,这既不会导致已叛离雅典的城邦重返同盟,也 不会使盟邦对雅典人更加忠诚。因为他们不愿在寡头制或民主制下遭受 奴役,而宁愿在他们原有的政体下享受自由,不论这种政体属于哪种类 型。[6]他还说,同盟者知道,所谓的上层阶级的统治将被证明不会 比平民的统治好多少,因为平民所实行的那些损害同盟者利益的政策, 正是由上层阶级策划和提出的,而他们从中也获益最大。事实上,如果 依靠上层阶级治理国家,盟邦的平民就会不经审判而被他们残暴地处 死;而平民阶级是同盟者的庇护者,并对上层阶级形成制约。[7]他 确信,这是同盟诸邦从他们的经验中悟出的,同时也正是他们的共识。 因此,他本人是决对不会赞成阿尔基比阿德斯的建议和目前正在进行中 的阴谋活动的。

    49 但是,参加会议的寡头党人继续推行他们起初的决定。他们采 纳了向他们提出的建议,准备派遣皮山大和其他人作为使者,到雅典去 磋商召回阿尔基比阿德斯和废除雅典城邦的民主制的事宜,以便使提萨 佛涅斯成为雅典人的朋友。

    50 现在,弗利尼库斯知道他们将向雅典人建议,召回阿尔基比阿 德斯,而雅典人也会同意这样做的。因为他曾发言反对此事,他害怕如 果阿尔基比阿德斯返回雅典会对他进行报复,于是他采取了下述做法。 [2]他派人向仍在米利都附近的拉栖代梦海军大将阿斯泰奥库斯送去 一封秘信,告诉他,阿尔基比阿德斯正在设法使提萨佛涅斯成为雅典人 的朋友而毁掉拉栖代梦人的事业。他在信中还泄露了这个阴谋的其他方 面的情况;同时对于他为了损害其私敌,甚至牺牲了自己邦国的利益, 他请求予以谅解。 [5] [3]可是,阿斯泰奥库斯并不想惩罚阿尔基比阿 德斯,尤其是阿尔基比阿德斯也不再像从前那样常常到他那里去了。于 是,他到马格涅西亚会晤阿尔基比阿德斯和提萨佛涅斯,向他们通报了 从萨摩斯送来的信件的内容,自己变成了一个告密者。而且,据说,他 已被提萨佛涅斯的金钱所收买,向提萨佛涅斯报告了这封信的内容和所 有其他情况;这也是他在交涉未付足全薪问题上没有据理力争的原因。 [4]对此,阿尔基比阿德斯立即派人向驻扎在萨摩斯的雅典军队指挥 部送去一封信,控告弗利尼库斯,陈述他的所作所为,要求处死弗利尼 库斯。[5]阿尔基比阿德斯的控告使弗利尼库斯的处境极度危险,他 心烦意乱,不知所措,又给阿斯泰奥库斯送去一封信,指责他没有保守 上封信的秘密,并说他现在准备给他们一个全歼驻扎在萨摩斯的所有雅 典军队的机会;他可以给阿斯泰奥库斯提供一个采取行动的详细方案, 因为萨摩斯并未设防。他还辩解道,由于他们的缘故,他的生命处于危 险之中;为了使他不至于被凶恶的敌人所消灭,他所做的这件事或其他 任何事,都不应该受到责备。阿斯泰奥库斯又把这封信的内容泄露给阿 尔基比阿德斯。

    51 同时,弗利尼库斯及时了解到阿斯泰奥库斯泄露了他的秘密, 阿尔基比阿德斯即将为此事写来一封信。他预先得到这个消息,通告全 军,说因为萨摩斯没有设防,舰队全部停泊在港口中,敌人打算进攻我 们的军营;他对这个情报确有把握,他们必须尽快在萨摩斯修筑防御工 事,都要提高警惕。现在他是将军,他有权力采取这些措施。[2]于 是,他们着手修筑防御工事。萨摩斯迟早是要设防的,只是因为此事而 较早地设防。不久之后,阿尔基比阿德斯写来一封信,说弗利尼库斯出 卖了雅典军队,敌人将来进攻。[3]可是,没人相信阿尔基比阿德斯 的说法,认为他参加了敌人的阴谋,并试图把弗利尼库斯牵扯进去。这 表明他为了发泄私愤,成了敌人的帮凶。结果阿尔基比阿德斯的信并没 有伤害弗利尼库斯,反而证实了他所说的那条情报。

    52 之后,阿尔基比阿德斯继续劝说提萨佛涅斯做雅典人的朋友。 尽管提萨佛涅斯害怕伯罗奔尼撒人,因为他们在亚细亚的舰船比雅典人 的要多,但如果有可能的话,他仍倾向于接受劝告而转向雅典人一方, 尤其是他在克尼多斯就泰里蒙涅斯条约与伯罗奔尼撒人发生过争辩。 [6] 伯罗奔尼撒人当时还在罗德斯,双方就已对条约发生了争执;关于 这个问题,阿尔基比阿德斯原先提出过的关于拉栖代梦人要解放所有城 邦的观点,在利卡斯的声明中得到证实,利卡斯说,任何允许波斯国王 统治他自己或其先祖所统治过的所有属国的协议都是不能容忍的。这个 问题事关重大,阿尔基比阿德斯继续就此游说提萨佛涅斯,力争赢得他 的支持。

    53 同时,从萨摩斯出发的雅典使者和皮山大一起抵达雅典,在公 民大会上发表演讲,概述了他们计划的要点,并且特别强调,如果召回 阿尔基比阿德斯,改变民主制宪法,他们就能够使波斯国王成为他们的 同盟者,就能够战胜伯罗奔尼撒人。[2]许多人发言反对变更民主 制,阿尔基比阿德斯的政敌公开叫嚷,对于违背宪法将其召回感到愤 慨;攸摩浦斯族人 [7] 和基利基斯族人 [8] 代表神秘祭祀提出抗议,说阿 尔基比阿德斯正是为此而遭受惩罚的, [9] 他们祈求以神祇的名义,不 许他回国。皮山大在一片反对和唾骂声中,走上前来,分别把每一位反 对者拉到旁边,问他下面的问题:“伯罗奔尼撒人有与雅典人同样规模 的舰队在海上相对抗,有更多的城邦与他们结盟,有波斯国王和提萨佛 涅斯资助金钱,而雅典人的金钱已经用光了。面对这个事实,除非有人 能够说服波斯国王转向雅典一边,否则还有望拯救雅典于危亡 吗?”[3]当他们作出否定回答时,他就坦率地对他们说:“既然你们 不能拯救国家,除非我们有一个更为明智的政体,让少数人执掌政权, 以赢得波斯国王的信任。这就需要立即召回阿尔基比阿德斯,他是当今 世上唯一能实现这个愿望的人。目前最紧迫的问题,不是雅典的政体形 式,而是邦国的生死存亡。因为,如果我们不喜欢这种政体,我们随后 总还是可以变更的。”

    54 起初,雅典民众在听说要建立寡头制时,他们非常恼怒。但是 在皮山大明确指出这是拯救雅典的唯一出路时,他们因为恐惧并且得到 承诺今后还可以再改变政体,就举行会议,作出让步。[2]于是,他 们投票赞成皮山大带领其余10人前去与提萨佛涅斯和阿尔基比阿德斯签 订他们所能争取到的最好的协议。[3]同时,由于皮山大诬告弗利尼 库斯,雅典民众解除了他和他的同僚斯基罗尼德斯的职务,派遣狄奥麦 敦和列昂取代他们指挥雅典舰队。皮山大诽谤弗利尼库斯,声称他出卖 伊阿苏斯和阿摩基斯。 [10] 他这样做的原因是,他认为弗利尼库斯本人 不适合正在进行的与阿尔基比阿德斯的交涉工作。[4]皮山大还走访 了雅典城中现有的所有会社组织 [11] ,请求它们在诉讼案件和选举中予 以帮助,竭力劝说他们联合起来,共同努力推翻民主制。他根据形势需 要,做好其他安排后,就带着10个同伴马不停蹄地踏上前往面见提萨佛 涅斯的航程。

    55 在同一个冬季中,列昂和狄奥麦敦(此时已和雅典舰队在一起 了)向罗德斯发起进攻。他们发现伯罗奔尼撒人的舰船已被拖到岸上, 他们袭击海岸地带并打败前来抵挡他们的罗德斯人后,撤退到卡尔切, 并用卡尔切取代科斯作为他们的军事基地。因为,如果伯罗奔尼撒舰队 出海行动,在卡尔切能够更好地监视他们。[2]同时,一位名叫色诺 芬特斯的拉哥尼亚人抵达罗德斯,他是从在开俄斯的佩达里图斯那里来 的,他带来消息,说雅典人现在已经完成修筑要塞 [12] 的工作,并说, 除非整个伯罗奔尼撒舰队前去援救他们,否则他们在开俄斯的事业必败 无疑。对此,伯罗奔尼撒人决定前去援救开俄斯人。[3]但就在此 时,佩达里图斯指挥他手下的雇佣军 [13] 和所有开俄斯军队向保护雅典 舰船的要塞发起进攻,占领了要塞的一部分,俘获了已拖到岸边的一些 舰船。雅典人实施反击,他们先是击溃开俄斯军队,接着又打败佩达里 图斯率领的其余军队;佩达里图斯本人和很多开俄斯人被杀,大量武器 被雅典人所缴获。

    56 之后,开俄斯人在陆上和海上遭到空前严密的包围,城内饥荒 严重。同时,皮山大率领的雅典使者们抵达提萨佛涅斯那里,与他磋商 拟议中的协定。[2]但是,阿尔基比阿德斯还没有完全弄清提萨佛涅 斯的态度(提萨佛涅斯害怕伯罗奔尼撒人甚过雅典人,而且,他希望依 照阿尔基比阿德斯本人向他提出过的建议,不断削弱交战双方的力 量)。阿尔基比阿德斯采取下述策略:让提萨佛涅斯提出过分的要求, 以确保雅典人与提萨佛涅斯之间的条约无法签订。[3]在我看来,提 萨佛涅斯不希望与雅典人签订条约,对他而言就是因为惧怕的缘故。阿 尔基比阿德斯现在看出提萨佛涅斯无论如何也不愿商议协定,他想使雅 典人认为,不是他没能力说服提萨佛涅斯,而是提萨佛涅斯已经被他说 服,并愿意和雅典人联合起来,只是因为他们没有向他作出足够的让 步,所以协议未成。[4]阿尔基比阿德斯当着提萨佛涅斯的面,为他 出主意,让他提出一些过分的要求,以致尽管雅典使者一直答应他所提 出的一切要求,但他们还是不得不承担谈判失败的责任。他要求雅典人 放弃整个伊奥尼亚及其附近岛屿,还要放弃其他地区,雅典使者同意了 这些要求,没有提出反对意见。最后,在第三次谈判时,阿尔基比阿德 斯害怕彻底暴露其影响力微乎其微,他坚决要求波斯国王可以建造舰 船,可以随意带着无论多少舰船,在雅典人海岸的任何地方航行。 [14] [5]这一点是雅典人不能作任何退让的。他们相信,继续谈判下去, 不会有任何结果;他们被阿尔基比阿德斯耍弄了。他们愤然离去,驶回 萨摩斯。

    57 这次谈判后,在同一个冬季中,提萨佛涅斯随即沿海岸航行到 考努斯,希望把伯罗奔尼撒人的舰队带回米利都,向他们支付酬金,并 按照他能接受的条件与他们签订新的协议,以便使他们之间的关系不至 于完全破裂。他担心,如果伯罗奔尼撒人的很多舰船因为没领到酬金而 被迫去与雅典人作战并遭致失败,或者他们的舰船因缺乏桡手,使雅典 人在没有他帮助的情况下就达到了目的。他还担心,伯罗奔尼撒人为得 到给养,可能劫掠大陆地区。[2]他在分析和考虑所有这些因素以 后,同意实施他的平衡希腊两股势力、使其相互制约的计划。他派人请 伯罗奔尼撒人来,给予他们薪金,同他们订立第三个条约,内容如下:

    58 在大流士国王在位的第十三年、亚历西皮达斯在拉栖代梦任监 察官期间,拉栖代梦人及其同盟者与提萨佛涅斯、希爱拉门尼斯以及法 那基斯的儿子们,在麦安德平原订立一个关于波斯国王和拉栖代梦人及 其同盟者的事务的条约。 [2]1.波斯国王在亚细亚的领土须归国王所有,国王可以随心所 欲处理他自己的国家事务。 [3]2.拉栖代梦人及其同盟者不得入侵或损害国王的国土。波斯 国王也不得入侵或损害拉栖代梦人或其同盟者的国土。[4]如果拉栖 代梦人或其同盟者中有任何一个入侵或损害国王的国土,拉栖代梦人及 其同盟者应当加以制止;如果国王的国土上有任何人入侵或损害拉栖代 梦人或其同盟者的国土,国王也应当加以制止。 [5]3.根据本协议之规定,提萨佛涅斯应当为现在服役的舰船人 员支付饷金,直到国王的舰船抵达时为止。[6]但是,国王舰船抵达 之后,拉栖代梦人及其同盟者如果愿意,可以自行负担他们舰船的薪 金。不过,如果他们愿意接受提萨佛涅斯的薪金,提萨佛涅斯须为他们 提供薪金。在战争结束的时候,拉栖代梦人及其同盟者须如数归还提萨 佛涅斯提供给他们的金钱。 [7]4.国王的舰船抵达之后,拉栖代梦人及其同盟者的舰船和国 王的舰船,应当按照提萨佛涅斯和拉栖代梦人及其同盟者认为最适当的 方式,联合作战。如果他们希望与雅典人签订和平条约,他们双方也应 当以同样的条件与雅典人签约。

    59 这就是这个条约的内容。条约签订后,提萨佛涅斯准备按照双 方所达成的协议,把腓尼基舰队 [15] 带来,并履行其他诺言,或者无论 如何也希望表现出他正在准备这样做。

    60 在这个冬季即将结束之时,尽管当地有雅典驻军守卫,波奥提 亚人还是利用内应攻占了奥罗浦斯。在这次行动中,他们的内应是一些 爱利特里亚人和奥罗浦斯人。这些人也正在策划优波亚人的叛变。奥罗 浦斯位于爱利特里亚的正对面,只要雅典人控制奥罗浦斯,就必然是爱 利特里亚和优波亚全岛遭到巨大威胁的根源。[2]爱利特里亚人既然 占领了奥罗浦斯,他们就来到罗德斯,邀请伯罗奔尼撒人进驻优波亚。 可是,伯罗奔尼撒人宁愿集中力量解救处境危险的开俄斯人,便带领他 们的全部舰船从罗德斯驶往开俄斯了。[3]在特里奥皮昂 [16] 附近, 他们看到从卡尔切 [17] 驶出的雅典舰队,彼此都没有进攻对方,雅典舰 队驶抵萨摩斯,伯罗奔尼撒人航往米利都,因为他们看到如不进行海 战,就不可能解救开俄斯。这个冬季结束了,历史学家修昔底德撰写的 这场战争的第二十年也结束了。

    61 翌年夏季之初 [18] ,斯巴达人德基里达斯率领小股军队由陆路进 军赫勒斯滂,以促使米利都人的殖民地阿卑多斯背叛雅典人。在阿斯泰 奥库斯不知道怎样援助他们的时候,开俄斯人为围攻所迫,不得不进行 海战。[2]当阿斯泰奥库斯还在罗德斯的时候,他们从米利都得到一 个斯巴达人列昂,在佩达里图斯去世后,由他担任他们的指挥官。列昂 与安提斯提尼一起出发,率领防守米利都的12艘舰船——其中5艘是图 里伊人的,4艘是叙拉古人的,1艘是阿纳伊人的,1艘是米利都人的,1 艘是列昂自己的。[3]于是,开俄斯人全军出动,占居有利的地势, 他们驶出36艘舰船,进攻雅典人的32艘舰船;一场激烈战斗之后,天色 已晚,开俄斯人及其同盟者虽然处于优势,但他们仍退回城里。 62 这次战役刚结束,德基里达斯就从米利都经陆路赶来;赫勒斯 滂的阿卑多斯叛归他和法那巴佐斯一边,兰普萨库斯在两天后也叛归他 们一方。[2]斯特罗姆比基德斯得到这个消息,匆忙从开俄斯率领24 艘舰船(包括一些运载重装步兵的运输船),起航前去平息叛乱,他打 败了出来抵抗的兰普萨库斯人,占领没有设防的兰普萨库斯城,把奴隶 和财物作为战利品,让自由民恢复其家园,然后赶往阿卑多斯。[3] 可是,阿卑多斯居民拒不投降。他发动进攻,遭到失败;他没能夺取阿 卑多斯,便渡海到对面海岸,停靠在塞斯托斯。该城位于刻尔松尼斯半 岛上,在历史上曾被波斯人统治过一段时间。他把这个地方作为保卫整 个赫勒斯滂的根据地。

    63 与此同时,开俄斯人控制了更宽阔的海面。在米利都的伯罗奔 尼撒人和阿斯泰奥库斯获悉这次海战的结果和斯特罗姆比基德斯率领舰 队离去的消息,重新鼓起勇气。[2]阿斯泰奥库斯率领2艘船,沿海岸 航行到开俄斯,把那里的舰船聚集起来,随即带领整个舰队向萨摩斯进 军。可是,由于雅典人内部互相猜疑,拒不出海迎战,他又从萨摩斯驶 回米利都。 [3]原来,就在这个时候,或者更早一些,雅典的民主制已被推 翻。 [19] 皮山大率诸位使者从提萨佛涅斯那里返回萨摩斯后,他们便进 一步巩固了他们在军队中的势力,并怂恿萨摩斯上层阶级与他们一起建 立寡头制,而萨摩斯人新近举行暴动,反对他们的同胞,其目的正是避 免受到寡头党人的统治。[4]同时,在萨摩斯的那些雅典人经过磋商 作出决定,孤立阿尔基比阿德斯,因为他不肯与他们联合起来,而且他 也不是那种参加寡头制的人。于是,他们立即着手工作,千方百计地防 止他们的事业功亏一篑,同时继续进行战争。他们慷慨解囊,从自己的 私人财产中捐献出战争所需的金钱和其他一切东西,因为从此以后,他 们所做的工作仅仅是为了他们自己。 [20]

    64 他们作出这些决定并互相鼓励后,便立即派遣半数的使者和皮 山大回雅典开展各种必要的工作(他们受命在沿途经过的所有臣属城邦 中建立寡头制),派遣另一半使者奔赴其他方向各属国。[2]狄伊特 里弗斯 [21] 在开俄斯附近,他当选为色雷斯地区各城镇的指挥官,并被 委派前去就职。他抵达塔索斯,废除了当地的民主制。[3]可是,在 他离开那里不足两个月,塔索斯人就开始在他们的城市设防,因为他们 已经对依附于雅典的贵族政治感到厌倦,日夜盼望着从拉栖代梦人那里 获得自由。[4]事实上,塔索斯人中有一个集团(他们是过去被雅典 人驱逐的人)已与伯罗奔尼撒人联合起来,他们与城里的朋友们一起, 不遗余力地争取伯罗奔尼撒人带来一支舰队,以促成塔索斯叛变。因 此,这个集团所日夜期盼的事情就这样实现了:他们没有冒任何危险而 重组政府,废除了压制他们的民主制。[5]发生在塔索斯的事实证 明,它与雅典的寡头政治密谋者的期望刚好相反。在我看来,在许多其 他属邦中,也发生了类似的事情。因为这些城邦一旦建立了稳健的政 府,享有行动自由,他们就追求绝对自由,决不理会雅典人向他们提出 的“法律”和“秩序”的空洞说教了。

    65 皮山大与使者们按照他们所作出的决定,沿海岸航行,沿途废 除各城邦的民主制,还在一些地方征召重装步兵,加入他们的军队。他 们就这样回到雅典。[2]在雅典,他们发现他们的同谋者已经完成大 部分准备工作。一些年轻人已经组织起来,秘密地杀死了民主党的主要 领袖安德罗克利斯,他要对流放阿尔基比阿德斯负主要责任。 [22] 安德 罗克利斯成为暗杀目标是因为他是民主派的领袖,这些人杀死他还是为 了讨好阿尔基比阿德斯,他们猜测阿尔基比阿德斯将被召回,并使提萨 佛涅斯成为他们的朋友。他们还以同样的方式秘密除掉其他一些他们所 憎恨的人。[3]同时,他们公开叫嚷,除了在军队中服役的人,对其 他人一律不支付薪金;分享政府权力的人数不得超过5000人,这些人应 当是在个人资质和财产上最能为国效力的人。

    66 但是,这仅仅是向民众宣传的口号,因为这次政变的始作俑者 实际上将掌握城邦政权。可是,尽管公民大会和按抽签方法选举出来的 议事会 [23] 仍在举行,但未经寡头党人同意的事情,他们不能议决;寡 头党人既指派发言人,又事先确定其演讲内容。[2]其他人看到寡头 党人人数众多而感到畏惧,都缄默不语;或者,如果有人胆敢提出反对 意见,寡头党人立即以某种适当的方式将他处死。他们既不追捕谋杀 犯,也不对嫌疑犯进行审判。但是,民众保持沉默,是因为他们处于极 度恐惧之中,甚至当他们闭口不言时,仍为他们自己逃脱了灾祸而暗自 庆幸;[3]雅典民众高估了寡头党人的人数,也打击了自己的信心。 由于雅典是个大城市,民众们不能互相帮助,彼此之间信息不通,因而 没有办法了解寡头党人的真实人数。[4]由于同样原因,任何人不可 能向其邻人诉说衷肠,商议保护自己的办法,因为他能诉说的人要么和 他素不相识,要么虽然认识,但又不可靠。[5]事实上,所有民主党 人之间都互相猜疑,每个人都认为他的邻人与正在发生的密谋有关,寡 头党人就在他们身旁,而过去是没有人能够相信这些人会参与寡头政治 的;这些人使民众相互猜疑,这有助于确保少数密谋者的安全,因为他 们确信平民大众内部互不信任。

    67 皮山大和使者们在这个时候抵达雅典,他们不失时机地开展其 他工作。首先,他们召集公民大会,提议选举拥有全权的10个委员,起 草宪法;宪法起草完毕后,他们应当就管理城邦的最好政体问题在一个 指定的日期向民众提出他们的建议。[2]随后,当指定日期到来时, 寡头党人封锁了波塞冬神庙区的科罗努斯举行的公民大会会场。该处地 方狭窄,距雅典城10斯塔狄亚 [24] 。十人委员会只提出一个建议,即任 何一个雅典人都可以按其意愿提出任何建议方案而不会遭到处罚,对指 控那些提议者违法或对提议者进行其他方式骚扰的人则严加处罚。 [25] [3]提议方法已经明确,立即有人坦率地主张,现行宪法体制下的官 员任职和付薪制度都应当取消;应当选举5人为主席,由这5位主席选择 100人,这100人中的每一个人再选择3人;这样组成的“四百人”机构进 驻议事会大厅 [26] ,拥有治理邦国的全权,按照他们认为最好的方式治 理城邦,并可以在他们选定的任何时间召开“五千人”会议。 [27]

    68 提出这项动议的人是皮山大。很明显,他是热衷于推翻民主制 的主要代表人物。但是,对筹划整个政变阴谋、准备政变方式这件事考 虑最多的是安提丰 [28] 。他是当时雅典最能干的人物之一。他足智多 谋,有向人们表述其思想的辩才,但他不愿在公民大会上发言或在任何 公开场合抛头露面。因为他以诡辩狡猾而闻名,民众对他的印象不好。 当参加法庭诉讼的人向他咨询或者在公民大会上发表演讲的人向他请教 时,他是一个最能提供帮助的人。[2]事实上,后来,当“四百人”政 府被推翻,几乎全都由民众处理国事的时候,他被指控参与建立这个寡 头政府,他受到审判并有生命危险,他所作的答辩词似乎是迄今为止最 优秀的一篇答辩词。[3]弗利尼库斯也对寡头制表现出超乎常人的热 心。他害怕阿尔基比阿德斯,确信阿尔基比阿德斯知道他在萨摩斯与阿 斯泰奥库斯的阴谋, [29] 他认为寡头制政府不会召回阿尔基比阿德斯。 他曾参加了这次充满危险的密谋活动,并且是所有密谋者中立场最坚定 的。[4]哈格浓之子塞拉麦涅斯也是颠覆民主制的首要人物之一。此 人多谋善断,辩才出众。既然有如此众多精英人物参与此事,因此,尽 管困难重重,它的成功是理所当然的。在废黜僭主统治以后的大约一百 年中 [30] ,雅典人民在这个时期不仅没有屈从于任何人的统治,而且在 这期间的一半以上的时间里是习惯于统治其臣民的; [31] 要剥夺雅典人 民的自由,那可不是一件容易的事。

    69 公民大会在一致赞成声中批准了所提议的宪法,随后散会。之 后,他们以下述方式把“四百人”引入议事会大厅。考虑到敌人仍在狄凯 里亚,所有的雅典人经常不是在城墙上,就是在各个战斗岗位上, [2]因此,当天他们允许没有参加密谋活动的人像往常一样回家去, 而命令寡头派的同盟者待在离他们的武器不远的地方,不露声色。一旦 有人对这次行动有任何反对的表示,他们将拿起武器制服他。[3]那 里还有一些安德罗斯人和泰诺斯人,以及300名卡利斯图人和一些来自 埃吉那的移民, [32] 他们都是特意为了这个目的带着自己的武器来的; 他们也接到了同样的命令。[4]这些安排布置妥当后,“四百人”走出 来,他们每人身上都暗藏匕首,有120名“希腊青年”跟随在他们左右; 他们一旦需要使用暴力,即可令其效力。“四百人”走到议事会大厅中的 按抽签方式选举出来的议员们面前,命令议员们领取他们的薪金 [33] , 然后离开;他们自己带来了议员们在其余任期内 [34] 的全部薪金,在议 员们任职期满的时候,支付给他们。

    70 就这样,议事会议员们未作任何冒险和反抗就退出去了,其余 的公民也没有采取任何行动。于是,“四百人”进入议事会大厅,现在他 们自己以抽签方式分配他们的普利塔涅斯 [35] 。他们在就职时,举行祈 祷并向神祇献祭。但是,他们后来严重背离民主制的管理方式,除了因 为阿尔基比阿德斯的缘故没有召回流放者外, [36] 他们还以武力统治城 邦;[2]他们处死一些他们认为便于除掉的人,尽管人数不多,其他 一些人则被囚禁起来,或者被放逐。他们还派人去告诉在狄凯里亚的拉 栖代梦国王阿基斯,说他们愿意议和。阿基斯现在更有理由与他们议 和,因为与他交涉的已不再是反复无常的雅典民众。

    71 可是,阿基斯国王不相信雅典城邦政局稳定了,也不相信雅典 民众会立即放弃他们自古以来享有的自由。他认为,即使雅典现在没有 骚乱,当大量的拉栖代梦军队出现在他们面前时,一定会引起混乱的, 他决不相信雅典的局势会从此稳定下来。因此,他给“四百人”当局的使 者的答复是并不指望与雅典和解。他派人从伯罗奔尼撒调来大批援军。 不久,这些援军和他在狄凯里亚的驻军一起,直逼雅典城,希望引起雅 典的城内动乱,有助于迫使“四百人”接受他提出的条件,或者指望雅典 城邦在内忧外患之际,甚至可能不战而降。总之,他认为他将成功地夺 取防守空虚的长城。[2]但是,雅典人看到他率军逼近的时候,城内 没有一点乱象;相反,他们派出骑兵和大量重装步兵、轻装步兵和弓箭 手,射死一些过于靠近雅典人的阿基斯的士兵,抢走了一些武器和阵亡 者尸体。对此,阿基斯终于认清形势,率军退却,[3]让自己的军队 仍驻扎在狄凯里亚原有阵地上。那些援兵在阿提卡滞留几天后,也被遣 送回国。此战之后,“四百人”继续遣使去拜谒阿基斯,现在他比较愿意 接待他们了。根椐他的建议,雅典政府派遣使者到拉栖代梦,商谈缔约 事宜,因为他们很想实现和平。

    72 他们还派遣十人使团到萨摩斯去,以使驻扎在那里的雅典军队 安心。他们解释说,建立寡头制并不是为了损害城邦或公民利益,而是 为了从根本上拯救国家;治国安邦的并不只是那“四百人”,而是“五千 人”;尽管他们远征在外并在国外服役,雅典人还从来没有遇到极其重 大的问题,需要召集“五千人”大会来讨论。[2]这些使者还奉命向军 队通报所有其他方面的事情。新政府成立后,这些使者之所以被如此迅 速地派遣出来,是因为他们担忧;而这种担忧被证明是正确的,在海军 中服务的大批人员不肯接受寡头制宪法,初现不祥征兆,结果可能是他 们的统治将以某种方式被推翻。

    73 实际上,在萨摩斯的雅典驻军反对寡头制已经进入一个新的阶 段,就在那“四百人”人进行政变密谋期间,发生了下列事件。[2]前 面已提及,部分萨摩斯民众起而反抗上层阶级, [37] 他们是民主党人; 在皮山大抵达萨摩斯之后, [38] 他们皮山大和在萨摩斯参加密谋的雅典 人的游说下,转而倒向寡头派一边。他们当中有300人在转变立场后发 誓,将攻击其他被认为是民主派的公民。[3]同时,他们处死一个名 叫海帕波鲁斯的雅典人,他是一个被陶片放逐法驱逐的一个害群之马; [39] 他们处死他并不是因为畏惧他的势力或地位,而是因为他是一个恶 棍,给城邦带来耻辱。他们的这一行动得到一个将军卡尔米努斯 [40] 和 一些支持他们的雅典人配合,他们发誓与这些雅典人保持友谊,并与这 些雅典人做了其他类似事情。现在他们决定攻击民主党人了。[4]萨 摩斯的民主党人觉察到即将发生的事情,把这个情况告诉两个将军列昂 和狄奥麦敦,因为他们两人为民主党人所信任,他们并非心甘情愿地支 持寡头制。他俩也把有关情况告诉舰长特拉叙布鲁斯和在重装步兵服役 的特拉叙鲁斯,以及通常被认为是最坚决反对密谋分子的其他一些人, 恳求他们不要坐视不管,不要眼看着萨摩斯遭到毁灭;萨摩斯是唯一保 留下来的联络雅典帝国的据点,不要让雅典人失去萨摩斯。[5]听到 这个呼吁,他们与士兵们逐一接触,竭力劝说他们起来反抗。特别 是“帕拉鲁斯”号战舰(修昔底德,III. 33附注)上的桡手,他们全是雅典的自由民,甚至在这 事尚未发生的时候,他们就一直是敌视寡头制的;列昂和狄奥麦敦如果 自己航行到别的地方,他们都会留下一些舰船保护萨摩斯人。[6]因 此,当那300人进攻民众的时候,所有这些人,尤其重要的是“帕拉鲁 斯”号战舰上的桡手们都来援救他们;萨摩斯的民众获得胜利,处死那 300人中的大约30名头目,将另外3人予以放逐,赦免其他叛乱者,以便 将来在民主政体下共同生活。

    [1] 史译本为“拉栖代梦人”。 [2] 参阅修昔底德,VIII. 29。 [3] 在古希腊人的心目中,雅典人属爱奥尼亚人,斯巴达属多利斯人,分属不同“民族”。参阅徐晓旭: 《古希腊人的“民族”概念》,《世界民族》,2004年第2期。 [4] 阿尔基比阿德斯是按波斯人的观点来讨论这一问题的。关于波斯人的看法,参阅修昔底德,VIII. 43。 [5] 参阅修昔底德,VI. 92。 [6] 参阅修昔底德,VIII. 43。 [7] 埃琉西斯神秘祭祀的祭司长和渎神罪的解释者都出自这个祭司氏族。这个氏族的始祖是攸摩浦斯。 [8] 基利基斯族是另一个祭司家族,实际上是宰杀牺牲的;其始祖是攸摩浦斯的儿子基利基斯。因而在 希腊古代文献中,雅典的这两个彼此相关的家族常常并列出现。 [9] 参阅修昔底德,VI. 60及附注。 [10] 这段陈述暗示,在雅典和阿摩基斯之间有某种关系可以被出卖。参阅修昔底德,VIII. 5及附注。 [11] 在雅典,没有近代意义的所谓“政党”组织。但是,在民间确实存在着若干利益一致公民小集团(希 腊文synomosiai )。他们时常合法地参与民主制的城邦政治生活,发表某些政见。有些学者认为伪色诺芬的 《雅典政制》就属于这类组织所撰写的宣传材料。该词的原意为“相互宣过誓的社团”(sworn associations)。 有些英译者将其译为“Clubs”,似乎有些问题。近代以来学者已就此做过很多讨论。参阅S. 霍恩布鲁尔:《修 昔底德著作注释》,第3卷,第916—920页。 [12] 参阅修昔底德,VIII. 38,40。 [13] 参阅修昔底德,VIII. 28,38。 [14] 许多学者根据阿尔基比阿德斯这最后一项要求,认为在雅典和波斯之间可能存在一项协定。参阅R. B. Strassler, The Landmark Thucydides , Appendix B and E, pp. 583–588, 597–602。 [15] 自腓尼基诸邦臣服于波斯人之后,他们的舰队一直是波斯帝国海军的主力。因此,条约中所说“国 王的舰船”主要指腓尼基舰队。 [16] 克尼多斯附近一海角。 [17] 参阅修昔底德,VIII. 55。 [18] 公元前411年3月。 [19] 公元前411年雅典发生政变,民主制政府被推翻,成立“四百人”政府。 [20] 参阅修昔底德,VIII. 48。 [21] 克译本为Diitrephes,昭译本为Diotrephes。 [22] 参阅修昔底德,VI. 84。普鲁塔克在其《传记集·阿尔基比阿德斯传》(XIX)指出,安德罗克利斯 是一位“平民领袖”(demagogue),他提供了奴隶和麦特克作证,以证明阿尔基比阿德斯涉嫌毁坏赫尔墨斯神 像并污秽神秘祭祀。参阅修昔底德,VI. 28;安多基德斯:《论密仪》,27。 [23] 原文为“豆粒议事会”。雅典人以不同色的豆粒抽签,以决定候选人是否当选。“五百人议事会”即以 此方法产生。作者强调“豆粒议事会”,以示有别于战神山议事会(Areopagus,贵族会议)。 [24] 约合1850米。 [25] 根椐雅典违法法案申诉的程序,对于议事会或公民大会制定的法案,在一年之内任何公民都可以提 出违法法案的申诉。如果经过法庭审查,证明该法案确实与现行法律相抵触,原提案人应处死刑或罚款。这样 可以有效维护宪法的稳定性。寡头党人这样做,显然是为了扫除他们修改宪法的障碍。 [26] Bouleutrion (Council chamber)坐落在雅典市政广场,该建筑遗迹至今犹存。 [27] 当时已传说有选举权的只以五千人为限;就是在这个会议中提出100人来,确定五千人名单,但是 名单迟迟没有公布。参阅亚里士多德:《雅典政制》,XXIX. 2—XXXII. 3。 [28] 安提丰被认为是雅典十大演说家之一。一说修昔底德斯是他的学生。此说源自伪普鲁塔克:《十大 演说家传》,其可靠性似乎值得怀疑。 [29] 参阅修昔底德,VIII. 50—51。 [30] 从公元前510算起至公元前411年,实际上是99年。 [31] 这意味着在修昔底德看来,雅典人至少从公元前5世纪60年代初就习惯于统治自己的臣民了。 [32] 参阅修昔底德,II. 27。 [33] 即领取当日的薪金(每人1德拉克玛)。 [34] 按雅典宪法规定,在五百人议事会中,十个地域部落轮流作“主席团”,每团50人,负责处理国家事 务时间为一年的十分之一。这就是说,每个“主席团”的任期为35或36天。 [35] “普利塔涅斯”即“主席团”。现在每个“主席团”是40人而不是过去的50人了,因为新的议事会是由每 个部落40人组织而成的(参阅亚里士多德:《雅典政制》,XXXI. 1—3)。 [36] 这就是说,有人希望雅典新政府召回被放逐者,但是因为他们不希望阿尔基比阿德斯回国,因而未 采纳这个建议。此时修昔底德也是流亡在外的。 [37] 参阅修昔底德,VIII. 21。史译本这里译为贵族派(aristocrats)。 [38] 参阅修昔底德,VIII. 43。 [39] 此事可能发生于公元前418年。他是阿里斯托芬喜剧中嘲笑的对象。参阅普鲁塔克:《传记集·尼基 阿斯传》,XI;《传记集·阿里斯提德斯传》,VII;《传记集·阿尔基比阿德斯传》,XIII。 [40] 参阅修昔底德,VIII. 30,41,42。

    74 于是,萨摩斯人和在萨摩斯的雅典军队,立即派遣“帕拉鲁斯”号 战舰带着积极参加萨摩斯革命的雅典人阿基斯特拉图斯之子凯利亚斯, 回雅典禀报萨摩斯所发生的事情。事实上,他们还不知道“四百人”已在 雅典夺取了政权。[2]当他们驶入港口时,“四百人”马上拘捕了“帕拉 鲁斯”号上的两三个桡手,夺取了战舰,把其他桡手转移到一艘军队运 输船上,安排他们到优波亚周围巡逻。[3]但是,凯利亚斯看到雅典 的这种局势,就设法秘密返回萨摩斯,很夸张地向士兵们描述了雅典所 实施的恐怖措施。他说,所有的人都遭到鞭打,没有人敢说一句反对当 权者的话;士兵们的妻室儿女受到凌辱,当局计划逮捕和关押与他们意 见相左的所有在萨摩斯服役的军人的亲属,如果他们不服从政府,就要 处死他们的亲属。另外,他还捏造了很多其他的不实之词。

    75 听到这个消息,将士们的第一个想法就是除掉建立寡头制的首 要分子和所有相关人员。但最终他们放弃了这个主意,因为温和派反对 这样做,警告他们这会毁掉他们的事业,敌人近在咫尺,并做好了进攻 准备。[2]事后,使军队改变主意的主要人物莱卡斯之子特拉叙布鲁 斯和特拉叙鲁斯,希望以最公开的方式把萨摩斯政府改变为民主政府, 用最有力的誓言束约所有士兵,尤其是那些寡头党人的士兵,要求他们 接受民主政体,团结起来,积极参加与伯罗奔尼撒人的战争,并且要反 对“四百人”政府,不同他们发生任何联系。[3]所有成年的萨摩斯人 也用同样的誓言宣誓。雅典军队与萨摩斯人通力合作,风雨同舟,因为 他们确信,如果“四百人”或者那些在米利都的敌人得胜,他们自己或萨 摩斯人都必死无疑。

    76 现在争斗的焦点是,军队试图以武力迫使城邦实行民主制, 而“四百人”想强迫军队接受寡头制。[2]同时,士兵们立即举行会 议,他们罢免了受到他们怀疑的现任的将军们和战舰的舰长们,并选出 新的舰长和将军以取代他们,所选之人包括已是军队领导人的特拉叙布 鲁斯和特拉叙鲁斯。[3]他们还站起来互相鼓励,说了一些其他事 情。他们强调,他们不应该因城市背叛他们而丧失信心,因为背叛民主 制的党派是少数派,拥有的各种资源都比他们自己的要贫乏些。[4] 他们拥有整个舰队,凭借这支舰队能迫使帝国境内的其他城市给他们提 供金钱;正如他们的基地在首都(雅典帝国时代,雅典城是帝国名副其实的首都)一样,他们拥有萨摩斯城,该城并 非没有实力,过去双方交战时(雅典与萨摩斯的交战发生在公元前440年。参阅修昔底德,I. 115),几乎剥夺了雅典人的制海权;就敌 人方面而言,他们的作战基地与从前一样。事实上,他们拥有舰队,他 们自己比国内政府 (“四百人”政府)更有能力提供物资给养。[5]他们占有萨摩斯 这个前哨基地,过去国内政府凭借萨摩斯这个前哨基地,才能够控制海 上运输,使之进入比雷埃夫斯港;如果“四百人”拒绝恢复宪法,他们将 会看到,萨摩斯的军队剥夺他们使用海域的权利是比较容易的,而雅典 人要剥夺萨摩斯军队使用海域的权利是比较困难的。[6]而且,在如 何克敌制胜方面,雅典的作用很小,或者根本没有用;而失去雅典人, 对他们丝毫无损,因为雅典国内既不再给他们提供金钱(士兵们不得不 自己去筹措金钱),又不能提供任何正确的谋略(邦国掌控作战军队的 理由就在于此)。相反,甚至在这一点上(在提供正确谋略方面),国内政府错误地废除了 他们祖先创建的法制,而军队力图维护的正是这种法制,并试图以武力 迫使国内政府同样遵守这些法制。因此,甚至在正确谋略方面,萨摩斯 的军队和雅典城一样,都不乏良谋之士。[7]而且,他们只要确保阿 尔基比阿德斯的人身安全,把他召回,他会乐于尽力促成他们与波斯国 王结盟。最为重要的是,即使他们的这些计划都落空了,他们拥有如此 规模的一支海军,他们也可以有很多退避之处,并可以在那里找到城市 和领土。

    77 他们以这种方式一起讨论,互相安慰;他们不遗余力地做好战 斗准备;“四百人”派往萨摩斯的十名使者,在提洛岛上得知这种情况, 便滞留在那里。

    78 大约在这个时候,在米利都的伯罗奔尼撒舰队的士兵中流传一 种说法,说阿斯泰奥库斯和提萨佛涅斯正在毁坏他们的事业。阿斯泰奥 库斯不愿进行海战—无论是从前他们的舰队处于鼎盛时期而雅典舰队尚 弱的时候,还是现在,据他们获得的消息,雅典国内动乱而其舰队也没 有联合起来的时候。他只是让他们等待提萨佛涅斯的腓尼基舰队,而这 支舰队是只在名义上存在的。而提萨佛涅斯不仅没有把腓尼基的舰队带 来,还以不按期付酬,甚至不付足额,以破坏他们的海军。因此,他们 说事不宜迟,一定要在海上决战。他们当中,叙拉古人对这一点特别坚 持。

    79 知道了这些怨言的阿斯泰奥库斯和同盟者,在一次会议上决定 进行决战。当萨摩斯的雅典军队发生骚动的消息传到他们那里时,他们 率领其全部110艘 (有译本为“112艘”)舰船出航,并命令米利都人由陆路进军米卡列, 再从那里起航。[2]雅典人率领82艘舰船从萨摩斯出发,这时正好停 泊在米卡列的格劳克,这里是萨摩斯靠近大陆且面对米卡列的一个据 点。雅典人发现伯罗奔尼撒人的舰船驶来进攻他们,便退回到萨摩斯。 他们认为自己的舰船数量不足,不愿把所有舰船投入此战。[3]而 且,他们事先从米利都得到消息,敌人求战心切;而他们正在期盼斯特 罗姆比基德斯率领从开俄斯前往阿卑多斯(修昔底德,VIII. 62)的那些舰船,从赫勒斯滂 驶来与他们会合。他们此前已派出一个信使到斯特罗姆比基德斯那里去 了。[4]因此,雅典人退到萨摩斯,伯罗奔尼撒舰队驶入米卡列,他 们与米利都的陆军以及附近的民众驻扎在一起。[5]翌日,他们打算 从海上进攻萨摩斯。这时,他们获悉斯特罗姆比基德斯率领的舰队从赫 勒斯滂赶来了。于是,他们立即退回米利都。雅典人现在得到增援,他 们率领108艘舰船,前去进攻米利都,希望进行决战;但对方无人出来 迎战,他们又驶回了萨摩斯。

    第二十六章 战争的第二十一年。阿尔基比阿德斯应召 来到萨摩斯。优波亚的暴动和“四百人”政府的倾覆。 基诺塞马战役。

    80 在同一个夏季里, [1] 伯罗奔尼撒人不肯与雅典人的联合舰队作 战,因为他们认为自己不是敌人的对手,不知道到哪里去为这支庞大的 舰队筹集军费,尤其是因为原先提供军费的提萨佛涅斯麻烦不断。他们 根据以前从伯罗奔尼撒出发时所接受的命令, [2] 派遣兰斐亚斯之子克 里阿库斯率领40艘舰船到法那巴佐斯那里去。[2]因为法那巴佐斯邀 请他们去,准备给付薪饷。同时,拜占庭派来使者,主动提出转向他们 一边。[3]因此,这些伯罗奔尼撒舰船驶入公海,以免被雅典人发 现。因遭遇风暴袭击,多数舰船在克里阿库斯率领下航行到提洛岛,随 后返回米利都。克里阿库斯从那里经陆路前往赫勒斯滂,就任指挥官。 麦加拉人希里克苏斯仍然率领他们舰队中的10艘舰船一路顺风地抵达赫 勒斯滂,促成了拜占庭人的叛变。[4]叛变发生后,在萨摩斯的雅典 指挥官获悉此事,派遣一支舰队攻击他们,以保卫赫勒斯滂。在拜占庭 附近,发生了一场遭遇战,双方各有8艘舰船参战。

    81 同时,在萨摩斯的领导人 [3] ,特别是特拉叙布鲁斯,从变更萨 摩斯政体之时起,就始终不渝地坚持召回阿尔基比阿德斯的决策,最终 在一次会议上说服了广大士兵,他们投票赞同召回并赦免阿尔基比阿德 斯。于是,他航行到提萨佛涅斯那里,把阿尔基比阿德斯带回萨摩斯。 因为他深信,他们获得拯救的唯一机会,是促使提萨佛涅斯从伯罗奔尼 撒人那边转向他们自己这边来。[2]随后,他们举行了一次会议,阿 尔基比阿德斯在会上抱怨和哀叹他个人被放逐的不幸遭遇,详尽阐述了 他对公共事务的看法,鼓励他们对未来充满希望,且夸夸其谈,说他对 提萨佛涅斯如何有影响力。他这样做的目的是使雅典的寡头制政府害怕 他,促使寡头党诸派解体,提高自己在萨摩斯的军队中的声望,增强将 士们的信心,最终达到尽可能恶化敌人与提萨佛涅斯的关系,使敌人的 希望化为泡影。[3]因此,阿尔基比阿德斯向军队许下如下夸张性的 诺言:说提萨佛涅斯庄重地向他保证,既然他只相信雅典人,那么,只 要他自己还有一点剩余东西的时候,他们就绝对不会缺少给养,即使贫 穷到不得不变卖自己的银床,他也决不让他们缺乏薪饷;而且,他将把 现在驻扎在阿斯蓬都斯的腓尼基舰队带到雅典人这边,而不是伯罗奔尼 撒人那边。但是,只有阿尔基比阿德斯被召回国,成为他们对他的保 证,他才能相信雅典人。

    82 雅典士兵们听罢这番话和其他更多的承诺之后,立即选举阿尔 基比阿德斯作为他们的将军,与以前诸位将军共事,把他们的所有事务 交由他处理。现在,军队中没有人不相信他目前有了人身安全和报 复“四百人”的希望了。他们听了他的演讲后,开始蔑视他们所面对的敌 人,以至于想立即航行到比雷埃夫斯去。[2]阿尔基比阿德斯明确反 对向比雷埃夫斯进军,而把更直接的敌人留在身后的计划,尽管很多人 赞同这个行动计划。他说,他现在既然当选为将军了,他愿意首先航往 提萨佛涅斯那里,与他磋商进行战争的策略。[3]因此,会议结束 后,他立即动身前去,以便使人相信,他与提萨佛涅斯相互间都很信 任;也希望借此抬高他在提萨佛涅斯心目中的地位,表明他现在已当选 为将军,这样的一个人,对于提萨佛涅斯而言,他可以造福,也可以为 祸了。因此,阿尔基比阿德斯既设法利用提萨佛涅斯来威胁雅典人,同 时又利用雅典人来威胁提萨佛涅斯。 83 同时,在米利都的伯罗奔尼撒人得知雅典军队召回了阿尔基比 阿德斯,他们此前已经不信任提萨佛涅斯,现在比此前更加憎恶他了。 [2]事实上,自雅典舰队出现在米利都附近,而他们拒绝出海迎战雅 典人以后,提萨佛涅斯较从前更加不按期给付薪金,甚至此之前,因为 阿尔基比阿德斯的缘故,伯罗奔尼撒人已经不大喜欢他了。[3]于是 士兵们像过去一样集合成群,并和其他一些有势力的人在一起,他们纷 纷议论自己从来没有得过全薪,他们领到的薪金数量很少,甚至这些少 量的薪金也不能按期发放;除非他们进行决战,或者迁移到能够给他们 提供给养的其他地方,否则,船上的桡手们都会逃走的。这些全是阿斯 泰奥库斯的过错,他为了自己的私利,对提萨佛涅斯唯命是从。

    84 伯罗奔尼撒的士兵不断议论这些事情,结果发生了针对阿斯泰 奥库斯的骚动。[2]叙拉古人和图里伊人的大部分船员是自由民,这 些最自由的桡手同样最勇敢地围攻阿斯泰奥库斯,要求付给他们薪金。 阿斯泰奥库斯态度傲慢地回答并威胁他们;当多利尤斯为他的桡手们说 话的时候,阿斯泰奥库斯甚至举起他的将军杖 [4] 打他;[3]士兵们看 到这种情况,他们以桡手的方式,愤而冲出,以石头袭击阿斯泰奥库 斯。可是,阿斯泰奥库斯及时觉察到他们的意图,逃往一个祭坛躲避起 来。他们没有打着他,就散去了。[4]同时,提萨佛涅斯在米利都修 筑的要塞遭到突袭,被米利都人攻占了,里面的驻军被赶走。这次行动 得到其他同盟者尤其是叙拉古人的赞成;[5]只有利卡斯 [5] 不赞成, 他还说,米利都人和在波斯国王疆域内的其他人理应服从提萨佛涅斯, 也应当讨好他,直到战争圆满结束。米利都人因为此事和其他类似事情 而迁怒于他;后来当他病死以后,米利都人不允许把他埋葬在拉栖代梦 军队想把他埋葬的地方。

    85 在军队对阿斯泰奥库斯和提萨佛涅斯的不满达到如此程度的时 候,明达鲁斯从拉栖代梦赶来,接替阿斯泰奥库斯出任海军大将,担任 指挥官。于是,阿斯泰奥库斯起航回国,[2]提萨佛涅斯派遣他的一 名亲信卡里亚人高利特斯与他同行。高利特斯能说两种语言, [6] 他抱 怨米利都人攻占要塞,同时为提萨佛涅斯本人辩护,反击米利都人。因 为提萨佛涅斯知道,米利都人的使者正在前往斯巴达的途中,其主要目 的是告发他的所作所为,并有赫摩克拉特斯与米利都的使者同行。赫摩 克拉特斯是想去指控提萨佛涅斯与阿尔基比阿德斯勾结在一起,破坏伯 罗奔尼撒人的事业,扮演两面派角色。[3]实际上,因为没有全额支 付薪金, [7] 赫摩克拉特斯总是与提萨佛涅斯有龃龉;最后,当赫摩克 拉特斯被叙拉古人放逐,新的指挥官—波塔米斯、米斯康和德马库斯— 抵达米利都接手叙拉古舰队指挥权的时候, [8] 提萨佛涅斯更猛烈地攻 击流亡中的赫摩克拉特斯;对他的其他指控中,有一项是指责他曾请求 提萨佛涅斯提供金钱,因为他没有得到这笔钱,后来他便与提萨佛涅斯 为敌了。[4]这样,阿斯泰奥库斯、米利都人和赫摩克拉特斯启程前 往拉栖代梦。这时,阿尔基比阿德斯从提萨佛涅斯那里渡海回到萨摩 斯。

    86 阿尔基比阿德斯返回后,“四百人”派遣的使者从提洛岛抵达萨摩 斯,正如前面提及的, [9] 他们是来抚慰驻扎在萨摩斯的军队,并向士 兵们说明情况的;他们还召开了一次士兵大会。会上,他们试图发言, [2]士兵们起初不听他们的发言,公开叫喊,要处决民主制的颠覆 者,但最后,经过一番周折,士兵们平静下来,倾听他们的讲话。 [3]于是,雅典来的使者们开始向士兵们解释说,最近对政制的 改变,是为了挽救城邦,而不是毁掉城邦,也不是把它拱手让与敌人。 如果他们要这样做,在他们执政期间,当敌人入侵的时候,他们就已经 有机会这样做了;所有“五千人”都将在政府中适当地分享权力;士兵们 的亲属并非像凯利亚斯诬蔑的那样受到凌辱,也没有受到士兵们所抱怨 的其他虐待,他们全都平安地享有自己的财产,正像士兵们离开时那 样。[4]除此之外,他们还提及了其他方面的事情,但是愤怒的士兵 们根本听不下去。在诸多不同意见中,最受欢迎的主张是航行到比雷埃 夫斯去。这时候,阿尔基比阿德斯力挽狂澜,首次为他的祖国做出有益 的事,而且这件事非常引人注目。因为驻扎在萨摩斯的雅典军队一心想 航行回去进攻他们同胞,如果那样,伊奥尼亚和赫勒斯滂肯定会立即落 入敌手。正是阿尔基比阿德斯阻止了他们的行动。[5]那时,当没有 其他人能够阻止士兵们的时候,阿尔基比阿德斯制止了他们进攻雅典的 企图,他阻止和转移了因个人的原因而对使者们的怨恨;[6]他自己 给使者们一个答复后打发他们回去。他的答复是,他不反对“五千人”政 府,但坚决要求“四百人”政府应当予以取缔,五百人议事会应当恢复权 力;同时,他完全赞成节省各种开支的做法。这样,军队就能够得到更 多的经费。[7]总之,他奉劝他们要宁死不屈,勇敢地面对敌人。因 为,如果城邦得以保全,国内两派有朝一日是有望和解的;反之,如果 任何一方被打败,无论是在萨摩斯的一派,还是在雅典的一派,将不再 有人留下来与之和解了。 [8]同时,阿尔哥斯的使者来到这里,主动表示支持在萨摩斯的 雅典民主派。阿尔基比阿德斯对阿尔哥斯使者表示感谢,遣送他们回 去,当有使者邀请他们时,请他们再来。[9]阿尔哥斯的使者是与“帕 拉鲁斯”号战舰上的桡手们结伴而来的,前面我曾提及, [10] 这些桡手 被“四百人”派遣到一艘运输船上,命令他们在优波亚周围巡逻。当时这 些人正运送“四百人”派往拉栖代梦的一些雅典使者—莱斯波狄亚斯、阿 里斯托丰和麦里西亚斯,当他们途经阿尔哥斯的时候,这些雅典使者被 捕,将被作为颠覆民主制的头目交给阿尔哥斯人。他们自己并未返回雅 典,带着阿尔哥斯使者,乘坐他们信任的阿尔哥斯战舰来到萨摩斯。

    87 在同一夏季中,正是由于阿尔基比阿德斯被召回,加上提萨佛 涅斯的种种表现,使伯罗奔尼撒人对他的不满达到极点,伯罗奔尼撒人 对提萨佛涅斯与雅典人已经联合起来不再有任何怀疑;而提萨佛涅斯希 望或似乎希望消除伯罗奔尼撒人对他的这种猜疑。他准备到阿斯蓬都斯 去把腓尼基人的舰队带来,并邀请利卡斯与他同行。他说,他将任命塔 摩斯作为他的代理人,在他本人离开那里期间,由他向军队支付薪金。 [2]对于提萨佛涅斯为何到阿斯蓬都斯,有不同说法;至于他到阿斯 蓬都斯的意图,也很难确定;毕竟,他没有带来腓尼基人的舰队。 [3]确实有147艘腓尼基人的舰船来到阿斯蓬都斯,但是,为什么腓尼 基人的舰船不继续驶来呢?有种种不同的解释。有人认为,提萨佛涅斯 离开那里是在实施其消耗伯罗奔尼撒人资源的计划,因为无论如何,他 的部将塔摩斯在给付薪金时,比提萨佛涅斯本人更吝啬;有人认为,他 把腓尼基人带到阿斯蓬都斯是为了解散他们,攫取他们的军饷,从来就 没有打算雇用他们;还有人认为,由于拉栖代梦人对他提出强烈抗议, 为了让人们说他没有过错,而那些舰船的确配备了船员,他也确实前去 带领那支舰队了。[4]在我看来,这是再清楚不过的了,他不把腓尼 基人的舰队带来,就是因为他希望希腊的军队精疲力竭,逐步丧失战斗 力。即在他航行到阿斯蓬都斯期间,随着时间的流逝,消耗希腊军队的 力量,他自己则不把力量投放在天平的任何一方,以使双方势均力敌。 如果他希望结束这场战争,他果真毫不犹豫地在战争过程中参战,则完 全能够做到这一点;因为他带来腓尼基人的舰队,很可能使拉栖代梦人 获得胜利。而这时拉栖代梦人的海军实力与雅典海军势均力敌,而不是 处于劣势了。[5]但是,能够最明确地判断他的意图的证据,是他提 出的不把舰队带来的借口。他说,集结在一起的舰船数目少于波斯国王 所要求的数量,但是,如果他花费国王的少许金钱,以较小的代价取得 同样的结果,这肯定只会提高其声望。[6]总之,不论他的意图是什 么,提萨佛涅斯去了阿斯蓬都斯并见到了腓尼基人;应他的请求,伯罗 奔尼撒人派遣一个名叫腓力浦的拉栖代梦人带着2艘战舰前去,迎接腓 尼基人的舰队。

    88 阿尔基比阿德斯发现提萨佛涅斯去了阿斯蓬都斯,他自己率领 13艘舰船驶往那里,他向在萨摩斯的雅典人许诺,他肯定会为他们作出 一个重大贡献,因为他或者把腓尼基人的舰队带回雅典,或者无论如何 要阻止该舰队与伯罗奔尼撒人联合起来。长期以来,他一直清楚,提萨 佛涅斯绝对没有把腓尼基人的舰队带来的意思;他尽力想在伯罗奔尼撒 人的心目中造成一个印象,认为提萨佛涅斯与他本人以及雅典人之间亲 密友好,这样,可以迫使提萨佛涅斯加入他们一边。于是,阿尔基比阿 德斯起锚东航,驶往法塞里斯和考努斯。 [11]

    89 这时,“四百人”政府派往萨摩斯的使者们回到雅典。他们转达了 阿尔基比阿德斯的答复,告诉他们要宁死不屈,向敌人展示出英勇顽强 的姿态,并说他对军队与他们和解以及战胜伯罗奔尼撒人抱有很大希 望。此前寡头政府中的多数人已对寡头制不满,如果他们能以某种方式 获得安全保证的话,他们非常愿意退出寡头政府,阿尔基比阿德斯的答 复立即极大地增强了他们退出寡头政府的决心。[2]现在,这些人组 织起来,强烈抨击行政当局,他们的领导人是一些主要的将军和寡头政 府中任职者,诸如哈格浓之子塞拉麦涅斯、斯基里亚斯之子阿里斯托克 拉提斯和其他一些人;尽管他们属于寡头政府中最重要的成员(像他们 所说,他们害怕在萨摩斯的雅典军队,最害怕阿尔基比阿德斯,他们也 害怕他们派往拉栖代梦的使者在没有得到民众授权的情况下,做些有损 于邦国的事情),他们没有坚持反对把权力过于集中在少数人手中,但 是强烈主张“五千人”应当指定出来,使这个团体不仅仅在名义上存在而 且实际上也存在;主张政府应当建立在更加公平合理的基础上。[3] 但是,这只是他们的政治口号;他们中的多数人受个人野心的驱使,他 们的政治活动的确造成对寡头制政府的致命打击,而民主制得以产生。 因为在寡头制下,所有人都立即声称,不但不与其他人平等,甚而每个 人都有资格成为其同胞的领袖和主人;而在民主制下,没有当选的侯选 人更容易接受其失败,因为被平等的人击败并不能使他感到羞辱。 [12] [4]但是,对寡头制反叛者最明显的鼓励是阿尔基比阿德斯在萨摩斯 的势力,他们自己都相信寡头制是短命的。现在,他们为谁该首先成为 民众的领袖而展开竞争。

    90 同时,在“四百人”政府的领导人和成员中,最敌视民主政体的人 是弗利尼库斯,他在萨摩斯指挥军队期间,就与阿尔基比阿德斯发生争 执; [13] 阿里斯塔库斯憎恨民主制,是民主制的顽固不化的敌人;还有 皮山大 [14] 、安提丰 [15] 和其他最有权势的人物。他们刚刚夺取政权, 就遇到在萨摩斯的军队背叛他们,并宣称拥护民主制。他们就从寡头党 人中选派使者前往拉栖代梦, [16] 要求他们想尽办法商订和约,并在爱 提奥尼亚修筑城墙—他们的使者从萨摩斯返回后,他们现在加快了修筑 进度。他们看到,不仅是一般民众,连他们自己曾经最信任的同党,都 转而反对他们。[2]他们对于雅典的局势,对于萨摩斯的局势,都同 样地感到惶恐不安,于是急忙派遣安提丰、弗利尼库斯和其他十人受命 前去与拉栖代梦人无条件地签订和约,不论对方提出什么条件,一律接 受。 [3]同时,他们更积极地加紧修筑在爱提奥尼亚的城墙。现在, 这道城墙按照塞拉麦涅斯及其支持者的看法,主要不是用于阻止在萨摩 斯的军队的进入,如果他们企图强行闯入比雷埃夫斯港的话;而是在他 们需要的时候,能够让敌人的舰队和军队进入。[4]因为爱提奥尼亚 是靠近比雷埃夫斯港入口的一个防波堤,现在所修筑城墙使之与陆地一 侧已有的城墙连接起来,这样,少量士兵把守就可以控制比雷埃夫斯港 的入口;靠陆地一侧的旧城墙和目前正在修筑中的延伸到海面一侧的新 城墙,交会于狭窄港口入口处的两个灯塔中的一个灯塔所在地。[5] 他们还把比雷埃夫斯最大的仓库以城墙围起来,使之与他们新建的城墙 直接相连,以便他们自己控制这个仓库;还强迫人们把所有运进港口的 谷物全都卸在那里,强迫他们把现有的谷物全都储存在那里;他们出售 时,就从仓库里取出。

    91 塞拉麦涅斯对于这些措施早有怨言,使者们从拉栖代梦返回, 并未签订任何全面和约。这时候,他断言这道城墙可能导致城邦毁灭。 [2]正在这个时候,42艘来自伯罗奔尼撒的舰船,包括一些来自罗克 里斯和塔林敦的西西里人和意大利人的舰船,应优波亚人的邀请,已经 停靠在拉哥尼亚的拉斯附近,准备航往优波亚。这些舰船由斯巴达人阿 吉山德之子阿吉山德里达斯指挥。塞拉麦涅斯断定,这支舰队原本就不 是去援助优波亚人的,而是援助正在爱提奥尼亚设防的寡头党人的,除 非立即采取应对措施,否则不等雅典人明白过来,雅典城就沦陷了。 [3]这种言辞并非造谣中伤,事实上遭到谴责的那些人的确有着此类 计划。他们的第一个愿望是在不放弃帝国的前提下建立寡头制;如果这 个愿望落空了,他们就控制舰船和城墙,保持独立;假如这个愿望也化 成泡影,他们与其成为民主制恢复后的第一批牺牲品,不如下决心招请 敌人来签订和约,放弃城墙和舰船,只要能够保全他们的身家性命,不 惜任何代价保住对政府的控制权。

    92 因为这个缘故,他们加紧修建他们的城墙,并在城墙上留有后 门和入口,作为引入敌人的通道,并且急切盼望其早日建成。[2]同 时,对他们的怨言起初只局限于在少数人中间秘密流传。但是后来情况 变了。出使拉栖代梦返回后的弗利尼库斯,刚从议事会大厅出来,走出 不远,就在一个人流拥挤的市场上遭到一名皮里波里 [17] 的伏击,弗利 尼库斯当场毙命,刺客逃走了;但他的同谋者——一个阿尔哥斯人被抓 获,“四百人”对其严刑拷问,但没能查出主使者的名字,或者任何更秘 密的事情。他说,他只知道有很多人常常聚集在皮里波里的指挥官屋里 或其他的屋子里开会。案情线索至此中断。这件事给塞拉麦涅斯、阿里 斯托克拉提斯以及其他同党以很大鼓舞,他们当中有些是“四百人”政府 的成员,有些则不是,他们现在决定采取行动。[3]这时,伯罗奔尼 撒人的舰队已经从拉斯驶出,绕道航行,停泊在爱皮道鲁斯,劫掠了埃 吉那。塞拉麦涅斯确信,假如他们航往优波亚,他们是绝对不会先到埃 吉那,再返回停泊在爱皮道鲁斯的;唯一的解释是他们是应邀前来,帮 助实施他经常谴责政府的那些阴谋的。因此,现在他不可能再保持沉默 了。 [4]最后,他们发表大量煽动性的长篇演讲和对政府的质疑后, 真的实实在在地开始采取行动了。在比雷埃夫斯的爱提奥尼亚修筑城墙 的重装步兵中,有身为队长 [18] 的阿里斯托克拉提斯,他率领本部落的 士兵逮捕了亚历西克利斯—寡头政府的一名将军,寡头制热诚的追随 者。他们把他带到一个屋子里,囚禁在那里。[5]在这次行动中,他 们获得了在穆尼基亚的皮里波里的指挥官赫尔蒙和其他人的帮助,尤其 是得到大批重装步兵的支持。[6]这个消息传到“四百人”那里时,他 们碰巧正在议事厅开会,除了反对寡头制的以外,其余的人全都立即跑 到储存武器的地方去,威胁塞拉麦涅斯及其同党。塞拉麦涅斯为自己辩 解说,他准备立即就去协助营救亚历西克利斯;他带着他们同党的一位 将军前往比雷埃夫斯,阿里斯塔库斯和一些骑兵队中的青年人随同前 去。[7]当时所有的人都处于惊慌和混乱之中,雅典城里的人认为比 雷埃夫斯已被敌人占领,亚历西克利斯已被处死,而那些在比雷埃夫斯 的人则料定随时都会遭到雅典城里的寡头党人的攻击。[8]但是,年 纪较大的人阻止那些在城中乱跑去寻找武器储存地的人们。法萨鲁斯人 修昔底德是雅典在法萨鲁斯的代理人, [19] 他挺身而出,周旋于各派民 众之间,大声呼吁,说敌人近在咫尺,伺机进攻,不要在这个关头自毁 城邦,他最终成功地使他们平静下来,不再相互攻击了。 [9]同时,塞拉麦涅斯到了比雷埃夫斯,因为他自己是诸将军之 一,他向重装步兵大发雷霆, [20] 而阿里斯塔库斯和那些反对民众的人 却是真正愤怒了。[10]然而,大多数重装步兵毫不动摇,要继续进行 反对寡头党人的行动。他们质问塞拉麦涅斯,他是否认为修筑这道城墙 有任何益处,推倒这道城墙是否更好些?对于这个问题,塞拉麦涅斯回 答说,如果他们认为推倒这道城墙是一件头等的好事,那他个人赞同他 们的做法。听到这个答复,在比雷埃夫斯的重装步兵和很多民众立即爬 上城墙,开始拆毁它。[11]当时,他们向民众高喊,所有希望由“五 千人”,而不是由“四百人”治理国家的人,都应当参加拆毁城墙的工 作。他们没有说“所有希望由民众来治理国家的人”这句话,他们仍在 用“五千人”的名义为幌子。因为他们害怕“五千人”真的存在,便有可能 无意中对“五千人”的某个人说些什么,而招惹麻烦。 [21] 其实,这正 是“四百人”既不希望“五千人”存在,也不希望人们知道“五千人”不存在 的原因;他们认为,在帝国境内有如此众多的同仁与他们共同执掌政 权,这完全就是民主政治,而保留“五千人”的不确定性,会使民众相互 畏惧。

    93 翌日,“四百人”尽管惊恐不安,但他们仍在议事厅举行会议。比 雷埃夫斯的重装步兵,在释放了被他们囚禁的亚历西克利斯并拆毁城墙 以后,携带着武器进军靠近穆尼基亚的狄奥尼苏斯剧院。他们在那里举 行了一次会议,在会上决定向雅典城进军。他们随即出发,在阿纳基昂 [22] 暂停下来。[2]他们在这里会见了“四百人”选派出来的代表,这些 代表逐一劝说他们,想说服那些他们认为最为温和的人少安毋躁,并让 其余的人保持克制;他们说,他们将把“五千人”成员的名单公之于 众,“四百人”是按照“五千人”的决定,从“五千人”成员中轮流选出的。 同时,他们还恳求重装步兵不要毁掉国家,不要使国家落入敌人手中。 [3]经过他们很多人对众多重装步兵的苦口婆心的劝说,全体重装步 兵比此前平静了一些,他们忧心忡忡,关注着整个国家的安危;现在他 们同意,为恢复国内的和睦,在指定的日期在狄奥尼苏斯剧院举行一次 会议。 94 在狄奥尼苏斯剧院举行会议的日期到了。他们聚集到那里正要 举行会议的时候,据报阿吉山德里达斯所率领的42艘舰船正从麦加拉沿 萨拉米斯海岸航行。民众当中每个人现在都相信这正是塞拉麦涅斯及其 同党 [23] 经常提到的,这些舰船正在向新修的要塞驶来。他们断定,拆 毁城墙是正确的选择。[2]当然,阿吉山德里达斯在爱皮道鲁斯及其 邻邦附近徘徊,可能是事先约定好的,因为他希望雅典城内发生动乱, 给他的干涉提供一个机会,所以自然要在那里逗留。[3]总之,雅典 人获得这个消息后立即奔赴比雷埃夫斯,因为他们看到敌人发动的战争 对他们自身的威胁比他们内部纷争更为严重,况且这场战争不是在远 方,就在雅典的港口附近。有些人登上已经下水的舰船,有些人把另一 些舰船拖下水,还有些人跑去守卫城墙和港口的入口。

    95 这时候,伯罗奔尼撒人的舰船渐渐离去,绕过苏尼昂,停泊在 托里库斯和普拉西埃之间,随后抵达奥罗浦斯。 [24] [2]虽然城邦内 部有革命运动,但是雅典人依然匆忙赶去解救他们最重要的属地优波亚 (因为他们与阿提卡的联系被截断, [25] 现在优波亚对于他们是至关重 要的),被迫带着没有受过训练的船员仓促下海,并派遣泰摩卡里斯率 领一些舰船到爱利特里亚去。[3]这些人抵达优波亚后,与已在优波 亚的舰船合在一起共有36艘。他们不得不立即投入战斗。阿吉山德里达 斯在他的士兵进餐后,就从奥罗浦斯起航,奥罗浦斯距爱利特里亚的海 上路程约60斯塔狄亚 [26] 。[4]雅典人发现阿吉山德里达斯起航来 攻,立即着手为他们的舰船配备桡手。可是,桡手们并不像他们预料的 那样在舰船旁待命,而是到城外商铺去购买食物去了;爱利特里亚人早 已作出安排,在其市场上没有任何东西出售,致使雅典人要花很长时间 配备舰船的桡手,使雅典人面对敌人的突然袭击时,不得不在他们刚刚 赶到海边就要投入战斗。他们还从爱利特里亚发出了一个信号,告知驻 在奥罗浦斯的伯罗奔尼撒人注意何时出动。[5]雅典人被迫在准备很 不充分的情况下起航,在爱利特里亚港口附近与敌交战。他们支持了一 会儿,就抵挡不住敌人的进攻,最后逃跑,被追赶到岸边。[6]这些 雅典人逃往爱利特里亚城内,他们原本以为爱利特里亚人对他们友好, 结果厄运当头,遭到爱利特里亚人的屠杀;而那些逃到爱利特里亚境内 的雅典要塞里和卡尔基斯舰船上的人都得救了。[7]伯罗奔尼撒人俘 获了22艘雅典舰船,舰船上的桡手不是被杀,就是被俘。之后,他们竖 立了一座胜利纪念碑。不久,他们促成了整个优波亚的反叛(雅典人自 己占据的奥琉斯除外),并对优波亚岛上的所有事务作了安排。

    96 在优波亚事件的消息传到雅典时,在雅典人中引起了一场从未 有过的最大恐慌。无论是西西里的惨败(虽在当时似乎亦引起巨大恐 慌),还是曾经发生过的任何其他灾难,都没有这个事件使他们如此地 惊恐不安。[2]这时,萨摩斯的军队在叛乱;他们没有更多的舰船, 也没有更多的桡手来配备它们;他们自己内部互相倾轧,随时都可能发 生内战;这次惨败可谓雪上加霜,使他们的灾难达到顶点:他们因此而 丧失了舰队,最糟糕的是失去整个优波亚,对于他们而言优波亚比之阿 提卡更有用。这样,他们只能置之死地而后生了。[3]同时,对于他 们来说最大的和最直接的麻烦,是敌人受到这次胜利的鼓舞,也许会长 驱直入,直接进攻比雷埃夫斯港,而他们已经没有海军来防卫了。他们 预料,敌人随时都有可能到来。[4]敌军只要稍稍胆大一些,要这样 做,简直易如反掌。只要敌人一出现,就会加剧雅典城内诸党派的分 裂;或者,如果他们停留下来围攻雅典城,就会迫使在伊奥尼亚的舰队 回来拯救他们的祖国和自己的亲属,尽管这些人仇视寡头制;同时,敌 人就会控制赫勒斯滂、伊奥尼亚、诸岛屿及至优波亚的所有的一切,或 者坦率地说,整个雅典帝国将落入敌人手中。[5]但是,这次的情况 如同其他很多次的情况所证明的一样,拉栖代梦人是世界上与雅典人交 战的最有益的一个民族。拉栖代梦人和雅典人这两个民族的性格迥然不 同,拉栖代梦人行动迟缓、保守怠惰,与雅典人行动迅捷、进取冒险的 特点,形成对照。拉栖代梦人的性格被证明是最有益的,尤其是对于雅 典这样的海上帝国而言。事实上,这一点也被叙拉古人所证实,叙拉古 人在性格上与雅典人最相似, [27] 因而在与雅典人作战时也最为成功。

    97 尽管如此,雅典人在得知这个消息后,配备了20艘舰船。他们 在通常的开会地点普尼克斯 [28] 直接召集第一次公民大会。他们废除 了“四百人”政权。他们投票决定:把政权移交给“五千人”,所有能自备 重装步兵装备的人都有资格成为“五千人”的成员;还规定,任何担任公 职的人都不得享受薪金,[2]违者将遭到神祇的诅咒。后来他们举行 过多次其他会议,在这些会议中,他们选举出起草法案的人,并采取了 其他各项措施,修订宪法。在这种新宪法实施的初期,雅典人似乎有了 一个比以前都要好的政府,至少在我的时代是这样的。因为它使少数的 上层阶级和多数的下层民众之间的斗争得到适当的和解,这种和解首先 使国家在历经劫难之后,能够再次振作起来。[3]他们也投票赞成召 回阿尔基比阿德斯和其他被放逐者,并派人前往阿尔基比阿德斯和在萨 摩斯的军营,力劝他们在对敌战争中作出贡献。

    98 政府一改变 [29] ,皮山大和亚历西克利斯的同党和寡头党中的领 导者立即撤退到狄凯里亚去了。阿里斯塔库斯是唯一的例外,他是一名 将军,他仓促之中带领一些蛮族的弓箭手 [30] 向奥诺进发。[2]奥诺 是雅典人在波奥提亚边境上的一个要塞,当时正遭到科林斯人的围攻, 因奥诺驻军消灭了从狄凯里亚返回的一些科林斯人,此事激怒了科林 斯。科林斯人自愿前来,并请波奥提亚人前来助战。[3]阿里斯塔库 斯与科林斯人勾结,他欺骗奥诺驻军,告诉他们说,在雅典城内他们的 同胞已经与拉栖代梦人达成和解,和解的条件之一是他们必须把这个要 塞交给波奥提亚人。因为他是一个将军,雅典驻军相信了他;而且,因 为他们被围困,毫不知晓外面所发生的事情。于是雅典驻军按照停战协 定,撤离奥诺要塞。[4]波奥提亚人以这种方式占领了奥诺,雅典的 寡头制和内乱终结了。

    99 在米利都的伯罗奔尼撒人回国去了。 [31] 提萨佛涅斯在启程前往 阿斯蓬都斯时,他为发放薪饷而委托了代理人,而伯罗奔尼撒人从未从 他的任何一个代理人那里获得过薪金;不管是腓尼基人的舰队,还是提 萨佛涅斯本人,都没有显示出回来的迹象;被派去与提萨佛涅斯同行的 腓力浦 [32] 和另一个斯巴达人希波克拉特斯仍在法塞里斯,他们写信给 海军大将明达鲁斯,说腓尼基人的舰船肯定不会前来,他们完全是被提 萨佛涅斯给骗了。同时,法那巴佐斯邀请他们前去,并且竭力争取得到 他们的舰队支持,他和提萨佛涅斯一样,想促成他管辖区域内仍臣属于 雅典的那些城市反叛,并认为他很有希望获得成功。直到最后,大约在 我们现在讲述的这个夏季,明达鲁斯同意法那巴佐斯的请求,为了避开 在萨摩斯的敌人注意,这个重要的行动命令一下达,就率领73艘舰船从 米利都起锚,驶向赫勒斯滂。在这个夏季,在他之前已有16艘舰船抵达 那里,并且蹂躏了刻尔松尼斯半岛的部分地区。因遭遇风暴袭击,明达 鲁斯被迫驶入伊卡鲁斯,恶劣气候使他们在那里滞留了五六天之后,他 们抵达开俄斯。

    100 同时,特拉叙鲁斯获悉明达鲁斯已经从米利都起航,立即率领 55艘舰船从萨摩斯匆匆出发,想赶在明达鲁斯之前抵达赫勒斯滂。 [2]但是,他获悉明达鲁斯正在开俄斯,预计他将停留在那里,于 是,特拉叙鲁斯在列斯堡及其对面的大陆上部署了一些侦察员,以防敌 人舰队出动而他不知晓。他自己则沿海岸航行到麦塞姆那,下令准备口 粮和其他必需品。如果敌人继续停留在开俄斯,他们就准备从列斯堡出 发进攻敌人。[3]同时,他决定从海上进攻列斯堡的爱里苏斯镇,这 个城镇已经背叛雅典,如有可能就夺取它。一些麦塞姆那的有权势的流 亡者已从库玛带来大约50名重装步兵,这些人发誓加入他们的党派;他 们还从大陆雇用了其他人员,共有300人,推举底比斯人阿纳克山德作 为指挥官,这是由于底比斯人和列斯堡人有血缘关系 [33] 的缘故。他们 首先进攻麦塞姆那。驻扎在米提列涅的雅典驻军赶来,挫败了他们的进 攻,他们在城外的战役中再次被打败。后来,他们翻过山去,敦促爱里 苏斯反叛。[4]于是,特拉叙鲁斯决定,率领他的全部舰船赶往爱里 苏斯,并向它发起进攻。特拉叙鲁斯一听到流亡者已渡海前往爱里苏 斯,就从萨摩斯派出5艘舰船,这些舰船比他先赶到那里,他抵达爱里 苏斯为时已晚,没能保全爱里苏斯。他继续航行,停泊在爱里苏斯城 下。[5]在这里,还有2艘从赫勒斯滂回国的舰船和麦塞姆那的所有舰 船 [34] 与他会合,总共有67艘 [35] 舰船;舰船上的军队现在准备利用攻 城器械和其他所有手段攻城,他们要不惜代价强攻爱里苏斯。

    101 与此同时,在开俄斯的明达鲁斯和伯罗奔尼撒人的舰队在两天 之内取得给养,每人还从开俄斯人那里获得3个开俄斯货币 [36] 。第三 天,他们匆忙驶离这个岛屿,以免遭遇来自爱里苏斯的雅典舰队。他们 没有向公海航行,而是沿列斯堡的右侧向大陆航行。[2]他们停泊在 佛凯伊德 [37] 的卡特里亚港用早餐后,继续沿库玛海岸航行,在阿吉努 塞 [38] 用晚餐,阿吉努塞位于与米提列涅隔海相望的大陆上。[3]尽 管夜幕已经降临,他们还是从阿吉努塞继续沿海岸航行,抵达与麦塞姆 那相对的大陆上的哈马图斯,在那里用早餐;随后快速航行,经过列克 唐、拉里萨、哈马克西图斯 [39] 和邻近城镇,在接近午夜时分到达罗艾 特昂,现在他们已经处于赫勒斯滂境内了。一些舰船还驶进西吉昂和附 近的其他港口。

    102 同时,停泊在塞斯托斯18艘舰船上的雅典人看到烽火警报和敌 人那侧海岸突然出现的很多火光,意识到伯罗奔尼撒人的舰队已经到 来。当天晚上,他们匆匆起航,以最快速度紧靠刻尔松尼斯海岸航行到 爱拉尤斯,以便驶入公海而免受敌舰攻击。[2]他们顺利通过,停泊 在阿卑多斯的16艘敌舰 [40] 毫无察觉。这支舰队得到通知,一支友军正 在赶来途中,同时要他们保持警惕,阻止雅典人的舰船驶出海峡。黎明 时分,雅典舰队被明达鲁斯的舰队发现,明达鲁斯立即率舰队追杀过 来。所有舰船都来不及逃走,绝大多数雅典舰船逃到音不洛斯和列姆诺 斯,而落在后面的4艘舰船在爱拉尤斯附近被敌人赶上了。[3]其中一 艘舰船在普罗特西劳斯 [41] 神庙附近搁浅了,船上桡手被俘;另外两艘 被俘舰船已人去船空,第四艘舰船丢弃在音不洛斯海岸边,被敌人焚毁 了。

    103 此后,来自阿卑多斯的舰队与伯罗奔尼撒人联合起来,他们的 舰队共有86艘舰船。当天,他们围攻爱拉尤斯,未能攻下,便驶回阿卑 多斯。[2]同时,由于雅典侦察兵的失误,加上他们自己做梦也想不 到敌人舰队会途经他们那里而不被察觉,所以他们继续沉着地围攻爱里 苏斯。他们一听到敌舰来攻的消息,就立即放弃爱里苏斯,全速驶往赫 勒斯滂。[3]在上次战斗中,有两艘伯罗奔尼撒舰船鲁莽地追逐雅典 人的舰船,而进入公海,现在它们与雅典舰队相遇,并被雅典人俘获。 次日,雅典舰队停泊在爱拉尤斯,带回了逃往音不洛斯的舰船,用了5 天时间备战。

    104 此后,双方以下述方式交战。雅典人的舰队排成纵队,紧靠海 岸航行到塞斯托斯;伯罗奔尼撒人发现雅典舰队来了,便从阿卑多斯起 航迎战。[2]双方都意识到战幕即将拉开,都把各自舰队的侧翼向外 伸展。雅典人的76艘舰船,沿着从伊达库斯到阿利阿尼的刻尔松尼斯沿 岸排开;伯罗奔尼撒人的86艘舰船则沿着从阿卑多斯到达尔达努斯沿海 地带排列。[3]伯罗奔尼撒海军的右翼是叙拉古人的舰队,左翼是明 达鲁斯亲自率领的海军精锐;雅典方面,左翼是特拉叙鲁斯,右翼是特 拉叙布鲁斯,其他指挥官分布在舰队的不同岗位。[4]伯罗奔尼撒人 打算首先发动快速进攻,用他们的左翼从侧面包围雅典舰队的右翼,如 果可能,就切断雅典舰队逃离的通道,并迫使雅典舰队的中军退到岸 边。雅典人觉察到敌人意图,他们伸展本方舰队的右翼,快速航行超过 敌人的左翼。[5]这时,他们自己的左翼已绕过了基诺塞马海角。但 是,这种部署使得雅典舰队战线过长,削弱了中军的力量,尤其此刻他 们的舰船比敌人少一些,沿海岸绕过基诺塞马海角后,舰队阵形构成一 个尖角,使他们无法看到另一侧的战斗情况。 [42]

    105 现在,伯罗奔尼撒人进攻雅典舰队的中军,把雅典人的舰船驱 赶到岸边,登陆后仍穷追不舍。[2]雅典人的中军没有得到任何援 助,因为特拉叙布鲁斯率领的舰队右翼遭到众多敌人舰船的进攻;而特 拉叙鲁斯指挥的舰队左翼因基诺塞马海角的阻隔,不知道正在进行的战 斗的情况,而且他自己的舰队也受到叙拉古人和其他敌舰的牵制,敌舰 在数量上与他自己的舰队不相上下。但是最后,伯罗奔尼撒人相信自己 已经取得胜利,开始分散追逐雅典人的舰船,任凭他们舰队中很大一部 分舰船处于混乱状态。[3]看到这种情况,特拉叙布鲁斯指挥的舰队 停止向侧面伸展,转而进攻并打败追逐他们的敌舰,随后猛攻已取得胜 利并散落四处的伯罗奔尼撒人的小股舰队,这些分散的舰船大都不战而 逃。这时,叙拉古人也在特拉叙鲁斯率领的雅典舰队进攻下退却。现 在,叙拉古人看到同盟军正在溃逃,他们也准备公开逃跑了。

    106 现在,伯罗奔尼撒人已被彻底打垮了。多数伯罗奔尼撒人首先 逃到米狄乌斯河畔,后来逃往阿卑多斯,只有少数舰船被雅典人俘虏。 因为赫勒斯滂海峡水面狭窄,敌人不用逃跑很远,就可抵达安全地带。 尽管如此,对雅典人而言,没有什么比这次海战胜利更好的了。[2] 因为直到这时,由于雅典人在多次小规模战斗中失利 [43] 和在西西里的 惨败,他们已经畏惧伯罗奔尼撒人的舰队了;但是,现在他们消除了自 卑感,不再认为他们的敌人在海上有什么优势了。[3]同时,在这次 海战中,他们俘虏的舰船如下:8艘是开俄斯人的,5艘是科林斯人的, 2艘是安布拉基亚人的,2艘是波奥提亚人的,以及琉卡斯人的、拉栖代 梦人的、叙拉古人的和培林尼人的各1艘,(总共21艘)他们自己损失15艘。 [4]他们在基诺塞马海角竖立一座胜利纪念碑,拖回破损舰船,按照 休战协定移交敌人尸体,然后派遣一艘战舰回雅典报送他们的胜利捷 报。[5]派遣回国的战舰,给经历了最近在优波亚的惨败和国内革命 的雅典人带来出乎意外的喜讯,使雅典人勇气大增,他们相信,只要他 们全力以赴,仍有可能取得最后胜利。

    [1] 公元前411年。 [2] 参阅修昔底德,VIII. 8,39。 [3] 即修昔底德在VIII. 76中提到的那些当选的领导人。 [4] 他按照斯巴达将军们的习俗,携带将军杖。 [5] 参阅修昔底德,VIII. 43,52。 [6] 大概是既懂波斯语,又懂希腊语。 [7] 参阅修昔底德,VIII. 75。 [8] 参阅色诺芬:《希腊史》,I. 1.27以下。 [9] 参阅修昔底德,VIII. 72。 [10] 参阅修昔底德,VIII. 74。 [11] 这里的顺序颠倒了,应该先到考努斯,再到法塞里斯。 [12] 本节文意有些费解。史译本认为其意思是说,在寡头制下,所有的人(当权者)都是属于同一个阶 级的,单独一个人的提升就是对其他人的一个侮辱;但是,在民主制下,失败的候选人可以说,选民是无知 的,或是有成见的,而不是因其才德不如人而未当选,因而可以置之不理。 [13] 参阅修昔底德,VIII. 48。 [14] 参阅修昔底德,VIII. 49,53。 [15] 参阅修昔底德,VIII. 48。 [16] 参阅修昔底德,VIII. 71,86。 [17] 关于皮里波里,参阅修昔底德,IV. 67及附注。 [18] 克译本此处译为“上校”似不甚妥当。按此词taxiarch 希腊词法结构来看,其原意应为taxis 的首 领。Taxis 有时特指某一部落的士兵,此处即是如此。但公元前5世纪末的部落显然不再是血缘部落,而只能是 行政区。 [19] 这位修昔底德是法萨鲁斯公民,这些事件发生时他碰巧在雅典。关于代理人参阅修昔底德,I. 29。 [20] 从上下文可以看到,塞拉麦涅斯其实没有真的动怒,只是做做样子。 [21] 意思是说,如果他们向某个人建议发动民主革命的话,那个人本人可能就是“五千人”中间的一个。 [22] 狄奥斯库里神庙圣地。 [23] 参阅修昔底德,VIII. 91,93。 [24] 关于这支舰队的航行路线,参阅R. B. Strassler, The Landmark Thucydides , p. 539地图。 [25] 因为敌人占据了狄凯里亚。参阅修昔底德,VII. 27,28。 [26] 约合11千米。 [27] 参阅修昔底德,VII. 55。在那里也说到叙拉古人的成功是由于同样的原因。 [28] 普尼克斯位于雅典卫城西边的一个山岗上,是公民大会传统的会址所在地。开会时民众坐在山坡 上,发言者面对大海。这是政变后第一次恢复普尼克斯为公民大会的场所。上次正式召集的公民大会是在科罗 努斯举行的(参阅修昔底德,VIII. 67);另一次预定在卫城南坡的狄奥尼苏斯剧场举行,结果未能举行(修 昔底德,VIII. 93)。 [29] 根椐亚里士多德《雅典政制》(XXXIII.1)的记载,“四百人”当政约4个月的时间。 [30] 大概是雅典的一些奴隶警察或城市卫兵,他们大都是斯基泰人,因而被称为蛮族。 [31] 史译本和昭译本此处的译文为:“在同一个夏季中,大约和上述事件发生的同时,在米利都的伯罗 奔尼撒人的情况如下”。 [32] 参阅修昔底德,VIII. 87。 [33] 参阅修昔底德,VIII. 5。那里说到,列斯堡人向阿基斯求援,波奥提亚人支持他们;修昔底德在 VIII. 3又说到,波奥提亚人和米提列涅人是同族人。 [34] 也可译为“麦塞姆那的5艘舰船”。 [35] 史译本为“65艘”。 [36] 大概是金币。 [37] 即“佛凯亚的境域”。 [38] 在阿吉努塞群岛对岸的大陆上还有一个同名的城镇。 [39] 据斯特拉波(XIII. 1.47),应当先到哈马克西图斯,然后到拉里萨。 [40] 参阅修昔底德,VIII. 99。 [41] 远征特洛伊的希腊联军英雄之一,系色萨利的弗拉凯的首领,在登陆时被杀。 [42] 参阅R. B. Strassler, The Landmark Thucydides , p. 544地图。 [43] 参阅修昔底德,VIII. 42,95,102。

    107 这次海战后的第四天,雅典人在塞斯托斯迅速修复他们的舰 船,起航前去进攻已经背叛他们的基济库斯。在哈帕吉昂和普里阿浦斯 附近,他们看到停泊有8艘来自拜占庭的舰船。(修昔底德,VIII. 80)于是,他们向这舰 船驶去,打败岸上的敌人,俘虏这些舰船。随后,他们抵达没有设防的 基济库斯,恢复了他们在那里的统治,并向当地居民强征一笔金钱。 [2]同时,伯罗奔尼撒人从阿卑多斯航行到爱拉尤斯,取得他们俘虏 的尚未损坏的战舰,其余战舰被爱拉尤斯人焚毁了。他们还派遣希波克 拉特斯和爱皮克利斯去优波亚,把那里的舰队带回来。

    108 大约同时,阿尔基比阿德斯带着他的13艘舰船 (修昔底德,VIII. 88)从考努斯和 法塞里斯返回萨摩斯。他带来的消息称,他阻止了腓尼基人的舰队加入 伯罗奔尼撒人一边,并使提萨佛涅斯对雅典人较从前更为友好了。 [2]现在,阿尔基比阿德斯为另外9艘舰船配备桡手,向哈利卡纳苏斯 人强征大笔款项,并在科斯设防。他任命一个长官管理科斯,在秋季即 将来临时,驶回萨摩斯。[3]同时,提萨佛涅斯获悉伯罗奔尼撒人的 舰队已从米利都驶往赫勒斯滂,他又从阿斯蓬都斯返回,全速驶往伊奥 尼亚。[4]当伯罗奔尼撒人在赫勒斯滂的时候,有一批埃奥利斯血统 的安坦德鲁斯人带领一些重装步兵从阿卑多斯经陆路翻越伊达山,进入 他们的城镇;因为他们受到提萨佛涅斯的副官、波斯人阿萨基斯的虐 待。正是这个阿萨基斯,曾以私人仇恨为借口,邀请提洛岛居民的主要 人物来军中服役(这些人原居住在阿特拉米提昂 (修昔底德,V. 1),因为雅典人要祓 除提洛岛,便把他们从其家乡赶走);阿萨基斯使他们作为他的朋友和 同盟者,把他们从其城镇中带出来后,派遣他的军队埋伏着,等到他们 用餐时,包围并射死了他们。[5]这件事使安坦德鲁斯人担心,说不 定哪一天阿萨基斯会给他们带来同样的灾祸;同时,因为他给他们增加 了过于沉重的负担,他们不堪重负,就把他的驻军逐出卫城。

    109 提萨佛涅斯获悉伯罗奔尼撒人除了在米利都(参阅修昔底德,VIII. 84)和克尼多斯(参阅修昔底德,VIII. 35) 驱逐他的驻军外,又在实施进一步的行动了。提萨佛涅斯认识到, 他与伯罗奔尼撒人之间的关系已经严重恶化,担心他们给他更多的危 害。同时,他感到很烦恼,想到法那巴佐斯接受他们的帮助,与他本人 相比,也许法那巴佐斯用较少的时间和金钱,就能更成功地对付雅典 人。于是,他决定到赫勒斯滂会见伯罗奔尼撒人,以便抗议在安坦德里 亚发生的事件,并就腓尼基人的舰队问题和对他的其他指责尽其所能加 以辩解。因此,他首先前往以弗所,并向阿尔特密斯女神献祭…… (著者原计划写到公元前404年战争结束,写至此突然中断)[在这个夏季后的冬季结束时,这场战争的第二十一年即将终 结。](在古代,关于战争最后数年的主要史料,除了色诺芬《希腊史》(第1—2卷)以外,涉及这段历史 的其他重要著作有:(1)西西里的狄奥多拉斯的《历史丛书》(第13—15卷内容涵盖这段历史)。(2)普鲁 塔克在其《传记集》中,所记载的阿尔基比阿德斯、吕山德、阿格西劳斯、佩罗皮达斯和波斯国王阿塔薛西斯 等人的传记都属于这段历史。(3)几位续写修昔底德著作的作家,如佚名作者所著《奥克西林库斯希腊志》,该著作破损严重,主要记载公元前411—前386年希腊史事,而雅典人克拉提普斯的《希腊史》、开俄斯 人泰奥滂普斯所著《希腊史》也都续写修昔底德著作,都止于公元前394年,现今仅存少量残篇。(4)亚里士多德的《雅典政制》以及吕西亚斯等人的某些演说辞等,也都从不同侧面提供了当时的社会历史资料)

  • 修昔底德《伯罗奔尼撒战争史》1-4

    第一卷
     第一章 从远古时代到伯罗奔尼撒战争爆发前的希腊国家。
     第二章 战争的起因。爱皮丹努斯事件。波提狄亚事件。
     第三章 拉栖代梦的伯罗奔尼撒同盟大会。
     第四章 从波斯战争结束到伯罗奔尼撒战争爆发。从霸国发展到帝国。
     第五章 拉栖代梦的第二次同盟大会。战争的准备和外交摩 擦。基隆。波桑尼阿斯。泰米斯托克利。
    第二卷
     第六章 伯罗奔尼撒战争的爆发。第一次入侵阿提卡。伯里克 利的葬礼演说。
     第七章 战争的第二年。雅典的瘟疫。伯里克利的立场和政策。波提狄亚的陷落。
     第八章 战争的第三年。普拉提亚之围。佛米奥在海战中获胜。西塔尔克斯统率色雷斯人入侵马其顿。
    第三卷
     第九章 战争的第四年和第五年。米提列涅的暴动。
     第十章 战争的第五年。普拉提亚人被审判和处决。科基拉的 革命。
     第十一章 战争的第六年。德摩斯提尼在西部希腊的战事。安 布拉基亚的灭亡。
    第四卷
     第十二章 战争的第七年。占领派罗斯。斯巴达在斯法克特里 亚的军队投降。
     第十三章 战争的第七年和第八年。科基拉革命的终结。革拉 和约。攻克尼塞亚。
     第十四章 战争的第八年和第九年。入侵波奥提亚。安菲波里 斯的陷落。伯拉西达的辉煌胜利。

    修昔底德( Θουκυδίδης ,Thucydides,约公元前460—前400/396 年),古希腊历史学家。

    第一卷

    第一章 从远古时代到伯罗奔尼撒战争爆发前的希腊国 家。 [1]

    1 [2] 修昔底德,一位雅典人,在伯罗奔尼撒人和雅典人之间的战争 爆发之时,就开始撰述 [3] 这部战争史了。其所以如此,是因为他相信 这将是一场重大的战争 [4] ,比此前的任何一场战争都更值得记述。这 种信念并不是没有根据的。交战双方在各个方面都竭尽全力来备战;同 时,他看到,其他的希腊人在这场争斗中,要么支持这一方,要么支持 那一方;而那些尚未参战的希腊人,也正跃跃欲试,准备参与其中。 [2]事实上,这是迄今为止历史上—不仅是希腊人的历史,而且是大 部分异族人世界的历史,甚至可以说是全人类历史上规模最大的一次动 荡。[3]虽然人们对于远古时代的事件,甚至对于战前不久的那些事 件,随着时间的推移而不能完全确知了,但是我在费尽心力探究之后所 得到的可信证据,使我确信如下结论:过去的时代,不论是在战争方 面,还是在其他方面,都没有取得过重大的成就。 [5]

    2 例如,很明显,现在被称为希腊的地区 [6] ,古时候并没有定居 者;相反,移民运动频频发生,各个部落在受到那些比他们更为强大的 部落压迫之时,他们总是准备放弃自己的家园。[2]当时没有商业; 无论在陆地上还是海上,都没有安全的交通;他们利用领土,仅以攫取 生活必需品为限;他们缺乏资金,从不耕种其土地 [7] (因为他们知道 侵略者随时会出现,劫走他们的一切,而当侵略者到来时,他们又没有 城墙用以抵御),认为既然在一个地方可以获得日常必需品,在其他地 方也一样。这样,他们对于变换居住地点并不在意。因此,他们既没有 建筑大的城市,也没有取得其他任何重要资源。[3]凡是土地最肥沃 的地方,如现在的色萨利、波奥提亚和除阿卡狄亚以外的伯罗奔尼撒的 大部分地区,以及希腊其他最富饶的地区,其主人的更换都是最频繁 的。[4]土地的肥沃有助于特殊的个人扩大其权势,由此引发纷争, 纷争导致公社瓦解,还会造成外族入侵。[5]因此,阿提卡因土地贫 瘠,自古以来就没有内部纷争,[6]这里的居民也从未发生改变。在 我看来,居民迁徙是希腊其他地区没有取得同样发展的原因,阿提卡的 事实足以为证。希腊其他地方因战争或内讧而被驱逐的那些最有势力的 人,求助于雅典人,把阿提卡作为一个安全的避难所。在早期时代,他 们归化入籍,使原本众多的城邦人口迅速膨胀,结果阿提卡面积太小, 容纳不下这么多人,以至于最终不得不派遣移民到伊奥尼亚去了。 [8]

    3 依我之见,还有一种情况更可视为古代的一个弱点。在特洛伊战 争以前,没有迹象表明全希腊有过任何共同的行动,[2]这一地区也 确实没有被通称为“希腊”。甚至在丢开利翁的儿子希伦 [9] 的时代以 前,连“希腊”这个名称都不存在。这个地区以不同部族的名号,尤其是 以“皮拉斯基人” [10] 的名号来称呼。随着希伦和他的儿子们在弗提奥提 斯 [11] 的势力增长,并且以同盟者的身份被邀请到其他城邦之后,他们 才因这种关系而一个接一个地取得“希腊人”之名。经过很长时间以后, 这个名称才通用于这一地区。[3]关于这一点,荷马提供了最好的证 据。荷马虽出生在特洛伊战争以后很久,但是他从来没有在任何地方 用“希腊人”来称呼全体军队。他只用这个名称来称呼来自弗提奥提斯的 阿喀琉斯的部下,他们就是原始的希腊人;他们在史诗中被称为“达那 安斯人” “阿尔哥斯人”和“阿凯亚人”。 [12] 荷马甚至没有使用“异族 人”一词,大概是由于希腊人那时还没有一个独特的名称,以和世界上 其他民族区别开来。[4]因此,希腊人诸公社似乎既包括一个接一个 城邦采用这个名称、互相之间使用共同语言的人们,也包括那些后来把 这个名称当作全体人民的共同称呼的人们。希腊人诸公社在特洛伊战争 以前,由于实力不足,缺乏相互联系,因而未能实施任何集体行动。无 疑,他们只有在获得更多的航海经验之后,才能够联合起来发动这次远 征。 [13]

    4 根据传说,米诺斯 [14] 是第一位组建海军的人。他成为今天被称 为“希腊海” [15] 的主人,统治着基克拉底斯群岛,在大多数岛屿上派出 最早的殖民者。他驱逐了岛上的卡里亚人 [16] ,指派他的儿子们掌管岛 上的事务。他必定尽力清剿这一海域的海盗活动。这是为了保障他自己 日益增长的收入。

    5 在早期时代,不论是居住在沿海或是岛屿上的人们,不论他们是 希腊人还是非希腊人 [17] ,由于海上交往更加普遍,他们都在最强有力 的人物的领导下热衷于从事海上劫掠。他们做海盗的动机是为了满足自 己贪婪的欲望,同时也是为了扶助那些弱者。他们袭击没有城墙保护的 城镇,或者说是若干村社的联合,并且加以劫掠;实际上,他们是以此 来谋得大部分的生活资料的。那时候,这种行为完全不被认为是可耻 的,反而是值得夸耀的。[2]这方面的一个例证,就是现在大陆 [18] 上某些居民仍以曾是成功的劫掠者而自豪;我们发现,古代诗人诗中的 航海者常常被询问:“你们是海盗吗?” [19] 被询问者从不打算否认其所 为,即便如此,询问者也不会因此而谴责他们。[3]同样的劫掠也在 陆地上流行。 时至今日,希腊的许多地方甚至还沿袭着古时的风尚。例如,奥佐 里亚的罗克里斯人 [20] 、埃托利亚人、阿卡纳尼亚人,以及大陆上这些 地区附近的人民,这些大陆居民依然保持着随身携带武器的习惯,就是 古代海上劫掠风俗的遗留。

    6 全希腊都曾有随身携带武器的习俗,那时他们的聚居地没有设 防,彼此交往,很不安全;实际上,佩带武器是他们日常生活的重要内 容,正像现在的蛮族人一样。 [2]希腊这些地方的居民至今还保持着古代的生活方式,这一事 实证明,全希腊的居民曾有过共同的生活方式。[3]雅典人是最早放 弃携带武器的习俗,采用比较安逸和奢侈的生活方式的。事实上,他们 当中那些富有的老年人只是最近才摈弃奢侈习俗,不再穿亚麻布内衣, 不再把头发盘一个鬏,用一个金蚱蜢 [21] 别着,这种风俗传播到他们伊 奥尼亚宗族中,在那里的老年人当中长期流行。[4]相反,拉栖代梦 人是最早依照近代的风尚身着简便服装的,富人也尽可能地按平民的方 式生活。[5]他们也是最早开展裸体竞技运动,公开地脱掉衣服,在 裸体运动后用橄榄油遍擦身体。从前,就是在奥林匹亚竞技会上,参赛 选手也要系一条腰带;就在数年以前,这种习惯才被摈弃。现在,在某 些蛮族人尤其是亚细亚的异族人中,当悬赏进行拳击比赛和摔跤比赛 时,选手们也要系这种腰带。[6]还有很多其他特征可以说明,古代 希腊世界的生活方式和现在的蛮族人是相似的。

    7 在以后的时代中,随着航海事业日益便利,资金来源更加充足, 我们发现沿海一带出现有城墙的城市,地峡 [22] 被占据着,以为通商和 防御邻人侵略之用。但是,由于海盗活动广泛流行,不论是岛屿上还是 大陆上的古代城市都是建筑在离海岸有一定距离的地方,这些城市至今 还坐落在其旧址上。因为海盗们常常彼此劫掠,而且还劫掠所有沿海居 民,不管他们是不是从事航海业的。

    8 岛上居民也都是些出色的海盗。这些岛上居民是卡里亚人和腓尼 基人,他们在大多数的岛屿上有过殖民活动。这一点可由下面的事实证 明。在这次战争期间,雅典在提洛岛举行祓除仪式时, [23] 岛上的坟墓 都被掘开。可以发现,超过半数的墓主人是卡里亚人,他们殉葬武器的 风俗和埋葬的方式,与现在卡里亚人的习俗并无二致。[2]但是随着 米诺斯组建其海军,海上交往就更加便利了。[3]由于他殖民于大多 数的岛屿上,驱逐了强盗,使得沿海居民开始能够就近获取财富,过上 较为安定的生活了。有些居民依靠新获得的财富的力量,甚至开始自己 建筑城墙。出于谋利的共同愿望,弱者安于服从强者的支配;强者因拥 有金钱而越发强大,进而把诸小城邦降至臣属地位。[4]这是稍稍晚 后时期的情况,是特洛伊远征时的情况的继续发展。 [24]

    9 在我看来,阿伽门农之所以能够募集军队,主要是由于他实力超 群,而不是因为那些求婚者向丁达琉斯宣了誓就必须跟随他。 [25] [2]根据伯罗奔尼撒人的最可靠的传说,伯罗普斯来自亚细亚,当他 携带大量财富来到这穷乡僻壤之时,起初因此而获得很大的势力,以致 他虽是个外乡人,这个地区还是以他的名字命名。 [26] 到了他的子孙的 时期,其势力大为增长。 [27] 攸里斯修斯在阿提卡被赫拉克利斯的后裔 所杀。阿特柔斯是攸里斯修斯的母亲的兄弟;攸里斯修斯在出征阿提卡 以前,把迈锡尼和迈锡尼政府托付给他的亲戚阿特柔斯,而此时阿特柔 斯因克里西浦斯 [28] 之死被他的父亲放逐在外。随着时间的推移,既然 攸里斯修斯未能归来,阿特柔斯便应迈锡尼人的请求,执掌迈锡尼的权 标,并统治着攸里斯修斯的其他领土。这一则由于迈锡尼人害怕赫拉克 利斯的后裔,二则由于阿特柔斯势力强大,而且他一直注意赢得民众的 支持。 [29] 这样,伯罗普斯的子孙就比柏修斯的后裔的势力更加强大 了。[3]阿伽门农继承了这一切。因此,在我看来,阿伽门农还拥有 远比其他统治者强大的海军,他之所以能够组建联合远征军,固然是由 于参加者的拥戴,同样重要的是由于参加者对他的畏惧。[4]如果我 们能够相信荷马史诗所提供的证据的话,阿伽门农自己的海上力量事实 上是所占份额最大的。此外,阿卡狄亚的舰船也是由他装备的。 [30] 另 外,在描述阿伽门农所继承的权杖时, [31] 荷马称他为:“许多岛屿和 全阿尔哥斯之王” [32] 。当时阿伽门农的国家是一个陆上强国;如果没 有一支舰队的话,他充其量只能统治附近少数岛屿(数量不会很多 的)。从这次远征,我们可以推测出昔时冒险事业的特征。 [33]

    10 迈锡尼曾经是个小地方,当时的许多城镇相对说来也是微不足 道的,但是这一点不足以成为一个可靠的证据来否认诗人的估计,以及 传说中军队的庞大规模。[2]假如拉栖代梦人的城市将来荒无人烟, 只有神庙和公共建筑的地基保留下来,随着时间的推移,后人很难相信 这个地方曾经有过像它的名声那么显赫的势力。但是他们占有伯罗奔尼 撒五分之二的土地,它不但是整个伯罗奔尼撒而且是其他地区的众多同 盟国所公认的盟主 [34] 。况且,由于拉栖代梦的城市建筑设计不紧凑, 也没有宏伟的神庙或公共纪念物,而只是若干希腊老式村落的联合,单 从其外表上看,有些名不副实。反过来,如果雅典有同样遭遇的话,我 想任何人从亲眼所见的外表来推测,会认为这个城邦的实力两倍于它的 实际情况。[3]因此,我们既不应当无端地怀疑,也不应单凭城市的 外表来推测它的真正实力。我们有理由相信,远征特洛伊的武装力量规 模是前所未有的,同时也相信它缺乏近代的成就;如果在这里我们也相 信荷马史诗中所提供的证据的话(他是个诗人,完全有可能夸大其 词),我们能够看到其军队规模也是远不能与现在的军队同日而语的。 [4]荷马记载舰船的数目是1200艘。他说波奥提亚人每艘船载有120 人,腓洛克提提斯人每艘船载有50人。 [35] 我认为这是他说明舰船上人 数的最大量和最小量。无论如何,荷马在船表中没有具体说明其他舰船 上的人数。我们从腓洛克提提斯关于舰船的记载中可以看到,船上所有 的人既是桡手,也是战士。在他们的船上,所有的桡手都是弓箭手。除 诸位国王和高级官员以外,船上不会有很多不是桡手的人,尤其是由于 他们不得不携带全部军需品,横渡大海,而且他们的船上没有甲板,是 按照古代海盗船的样式建造的。[5]因此,如果我们把最大的船和最 小的船折合成平均数来计算总兵力的话,作为全希腊的军队,这个数目 似乎不是很大。 [36]

    11 其所以如此,不是因为人力的缺少,而是因为金钱的匮乏。给 养的缺乏使得这些入侵者不得不减少军队的人数,直至他们能够在作战 地区维持生活。就是他们在登陆获得胜利—必定获得过一次胜利,否则 他们是不可能在海军营地周围建筑要塞的—之后,没有迹象表明他们全 体军队悉数参加作战;相反,他们分兵前往刻尔松尼斯 [37] 耕种土地, 并且由于给养缺乏而从事海上劫掠。这是特洛伊人抗击希腊联军能够坚 持10年之久的真正原因。由于希腊人军力分散,使特洛伊人总是有足够 的力量来对付留下来作战的这部分希腊军队。[2]假如希腊军队携带 有充足的给养,假如他们坚持全军共同作战,而不是分散其军队从事海 上劫掠或耕种土地的话,他们会轻而易举地击败特洛伊人的。由于他们 只是分出一部分军队作战,特洛伊人便能够固守阵地。简言之,如果全 军同时进攻的话,他们会在更短的时间内,在遇到更少麻烦的情况下, 攻克特洛伊的。金钱的匮乏是造成以前所有的远征都微不足道的真正原 因。特洛伊远征尽管比过去其他远征都要著名些,但正是同样的原因, 如果我们考察有关证据,就会发现,它的影响没有传说的那么大,在诗 人们的教诲下形成的流行观点也是值得怀疑的。

    12 即便在特洛伊战争以后,希腊也依然常常处于迁动和移居状态 之中,因而没有获得和平发展的时间。[2]希腊人离开伊利昂 [38] 之 后很久才返回故里,这一事实本身引发了很多革命。几乎每个地方都发 生了内部纷争,而建立城邦的人们就是那些被驱逐的流亡者。[3]在 伊利昂陷落 [39] 之后60年,近代的波奥提亚人被色萨利人驱逐出阿涅, 定居于现在的波奥提亚—此前叫作卡德美斯的地方。波奥提亚人的一个 分支此前已定居于此地,其中有些是参加了对伊利昂的远征的。又过了 20年, [40] 多利斯人和赫拉克利斯的子孙成为伯罗奔尼撒的主人。 [4]这样,经过多年的动荡,希腊才恢复了稳定,居民的迁徙才告终 结,并且得以开始派遣移民。 [41] 雅典人殖民于伊奥尼亚 [42] 和大多数 岛屿 [43] 上,伯罗奔尼撒人建立的殖民地大都在意大利和西西里,在希 腊其他地方也建立过一些。所有这些殖民地都是在特洛伊战争以后建立 的。(见图1) 图1 古典时代希腊各方言分布

    13 但是随着希腊势力的增长,追求财富成为日益重要的目标,各 邦的收入不断增多,几乎所有的城邦都建立了僭主政治—此前旧的政体 是世袭君主制,君主有确定的特权—希腊人开始装备舰队,更加致力于 向海上发展了。[2]据说科林斯人是最早按近代式样建造海军设备 的,希腊第一艘三列桨战舰 [44] 就是在科林斯建成的。[3]我们知道 一位名叫阿美诺克利斯的科林斯船匠,他为萨摩斯人建造了4艘船。从 这次战争结束之时算起,阿美诺克利斯在将近300年前 [45] 去往萨摩 斯。[4]另外,历史上第一次海战是科林斯人和科基拉人之间的战 争,此役发生在约260年前 [46] 。[5]科林斯位于地峡之上,自古以来 就是一个商业中心;因为古时候伯罗奔尼撒的希腊人与伯罗奔尼撒以外 的希腊人之间几乎所有的交往都是通过陆路进行的,科林斯的领土是他 们交往的必经之地。科林斯因此获得巨大的财源。这一点从古代诗人们 在科林斯地名前面冠以“富庶的” [47] 饰语可见一斑。这使得科林斯人在 海上交往更加频繁的时候,能够组建一支舰队,以镇压海盗活动。同 时,由于它能够为海路贸易和陆路贸易提供便利,由此所获得的大量收 入使它强盛起来。[6]后来,在波斯第一位国王居鲁士 [48] 及其儿子 冈比西斯 [49] 的时代,伊奥尼亚人成为一股强大的海上势力。当他们与 居鲁士交战的时候,一度控制了伊奥尼亚海。在冈比西斯统治时期,萨 摩斯的僭主波利克拉特斯也曾拥有一支强大的海军。他利用这支海军征 服了许多岛屿,其中包括瑞尼亚岛,他把这个岛献给了提洛岛的阿波罗 神。 [50] 大约与此同时,佛凯亚人在建立马赛列斯时 [51] ,在一次海战 中击败过迦太基人。 [52]

    14 以上这些是过去的最强大的海军。就是这些海军,虽然是在特 洛伊战争以后很多世代,主要还是由旧时的五十桨船和长船组成,舰队 中的三列桨战舰似乎还很少。[2]的确,就在波斯战争和继冈比西斯 之后为王的大流士去世 [53] 以前不久,西西里的僭主们和科基拉人才开 始拥有较多的三列桨战舰。除此以外,在薛西斯远征 [54] 之前,希腊没 有任何重要的海军。[3]埃吉那、雅典以及其他城邦可能拥有少量舰 船,但主要是五十桨船。在这个时期之末,雅典同埃吉那的交战以及可 以预见的异族人的入侵,使泰米斯托克利得以说服雅典人建造舰队,他 们正是用这支舰队在萨拉米斯作战。就是这些舰船也不都是建造了甲板 的。

    15 我们贯穿起来考察这个时期的希腊海军的情况已如上述。所有 这些海军都不算强大,但正如它在增加收入、扩大版图的过程中所发挥 的作用一样,它还是那些致力于发展海军的最强大邦国的一个力量源 泉。他们利用海军出征诸岛屿,最小的岛屿最容易被降服。[2]这期 间,没有发生陆地上的战争,至少是没有通过陆战而成为军事强国的; 在希腊人之间,通常只有边界冲突,旨在征服对方的远征闻所未闻。没 有团结在某个强国周围的若干臣属之邦的联盟,也没有以共同远征为宗 旨而自发联合起来的平等诸邦的联合。 [55] 战争仅仅是邻国之间的局部 冲突而已。[3]最接近于联合行动的是古代卡尔基斯 [56] 和爱利特里 亚 [57] 之间的战争。在这次战争中,在希腊的名义下的其他诸邦有些帮 助这一边,有些帮助那一边。 [58]

    16 在不同地区的希腊人的持续发展遇到了不同的困难。伊奥尼亚 人的势力正当突飞猛进地增长之时,与居鲁士国王统治下的波斯势力发 生了冲突。他推翻了克洛伊索斯 [59] 的统治,占领哈利斯河与海之间的 所有地盘,降服了沿海的伊奥尼亚诸邦,伊奥尼亚人势力的增长便戛然 而止;当大流士和腓尼基人的海军 [60] 征服剩下的那些岛屿 [61] 时,他 们的势力增长也告一段落。 [62]

    17 希腊诸邦普遍由僭主们统治。僭主们的习惯是考虑他们自己, 单单关注他们个人的安逸和家族势力的扩大。他们政策的主要目标是安 全,因而难以取得任何重大进展。他们仅仅同邻邦发生过冲突。希腊本 土诸邦都是如此,但西西里的僭主们是例外,他们大大地扩充了国力。 因此,我们看到,在一个长时期内,希腊诸邦不能为民族大业联合起 来,各邦自己也缺乏进取心,原因就在于此。

    18 但是,最后是拉栖代梦人推翻了雅典 [63] 和除西西里以外的希腊 其他地方(这些地方处于僭主统治之下的时间都比雅典要长久得多)的 僭主制,至少是镇压了其中的大多数。自从现在的居民多利斯人定居拉 栖代梦以后,它便在很长时期内处于内争的困扰之中,但是该城邦很早 就有一个优良的法律 [64] ,从来没有因僭主而中断连续享有自由;到伯 罗奔尼撒战争结束时,拉栖代梦人沿用同一种政制已达400余年。这不 仅使他们国力强大,还使他们得以干预其他城邦的事务。在僭主制被废 黜以后不久,波斯人 [65] 和雅典人之间发生了马拉松战役。 [66] [2] 10年之后,异族人 [67] 卷土重来,大兵压境,企图征服全希腊。大敌当 前,形势危急,拉栖代梦人执掌希腊联军的指挥权,因为他们的势力最 为强大。雅典人毅然决定放弃他们的城市,任凭家园破碎;他们登上舰 船,把自己变成了一个海上民族。这个共同的联盟把异族人击退。 [68] 但是,不久之后,希腊人—包括那些在战争中叛离波斯国王的希腊人和 在战争中共同作战的希腊人 [69] —的联盟分裂为两个集团:一个以雅典 为领袖,一个以拉栖代梦为盟主。在希腊,一个在海上称霸,一个在陆 地上称雄。[3]联盟继续维持了一个短暂时期,随后拉栖代梦人和雅 典人争端即起,双方及其各自的同盟者之间彼此兵戎相见,而所有希腊 人或早或迟地加入一方或另一方,虽然有些城邦起初是保持中立的。因 此,从波斯战争结束 [70] 到伯罗奔尼撒战争开始,尽管中间有些和平时 期,但就整个时期来说,这两个强国不是彼此发生战争,就是镇压他们 的同盟者的暴动。因此,这使他们得到了持续不断的军事实践,也使他 们在危难的考验中获得了军事经验。

    19 拉栖代梦人的政策,是不要求其同盟国缴纳贡金,而仅仅是通 过在这些邦国建立寡头制 [71] 以确保他们服从拉栖代梦的利益;而雅典 人则逐步剥夺其同盟诸邦的海军,并且向除开俄斯 [72] 和列斯堡 [73] 以 外的所有盟邦征收贡金。因此,在这场战争开始的时候,雅典一国的兵 力超过同盟全盛时期雅典和斯巴达的兵力之和 [74] 。

    20 如今,在探究过去的时代而给出结论时,我认为很难相信每一 个具体的细节。大多数人不用批判的方式去处理所有的传说—就是对那 些和他们本国有关的传说,他们也是这样不加批判地接受的。 [75] [2]例如遭到哈摩狄乌斯和阿里斯托吉吞刺杀的希帕库斯,雅典人都 相信他是当时的僭主,殊不知希皮亚斯是庇西特拉图诸子中的长子,是 真正的统治者,而希帕库斯和帖撒鲁斯是他的弟弟。就在哈摩狄乌斯和 阿里斯托吉吞准备行刺的那天,在准备行刺的最后时刻,他们怀疑自己 的同伙已把实情透露给希皮亚斯了。他们认定希皮亚斯事先得到警告, 决定不对他下手。但是又不愿意冒着生命危险而一事无成。他们想起希 帕库斯在列奥斯女儿们的神庙 [76] 附近,当希帕库斯正在组织泛雅典人 节 [77] 的游行时,他们就把他刺杀了。 [78] [3]在其他希腊人中间还流传着很多其他没有根据的说法,甚至 对于当代历史也是如此,而这些事实并未因年深日久变得模糊。例如, 有一种看法认为拉栖代梦的每一位国王有两票表决权,事实上他们只有 一票表决权。 [79] 有人认为在拉栖代梦有一支名叫“皮塔涅”的军队, [80] 事实上根本就没有这回事。因此,人们不愿意付出辛劳去寻求真 理,而是一听到什么故事就相信它。

    21 但是,我相信,我从上面所援引的证据所得出的结论总体上看 是可以相信的。可以肯定,这些结论比诗人的结论更可信,因为诗人常 常夸大事实;也比散文编年史家的结论更可信,因为他们追求的是吸引 听众而不是说出事实真相; [81] 他们处理主题往往是缺乏证据的,岁月 悠悠抹去了它们的历史价值,使其迷失于传说的雾境中。在探讨古代历 史时,我们可以要求只用最确凿无疑的材料,得到我们所期望得到的正 确结论。[2]至于这场战争,尽管人们很容易把他们实际参与的战争 断定为空前重大的战争,但是只要战争一结束,他们就又转而赞叹那些 更古老的事迹了;不过对事实的考察将证明,这场战争是过去的所有战 争中最重大的一场战争。 [82]

    22 在这部历史著作中,我援引了一些演说词,有些是在战争开始 之前发表的,有些是在战争期间发表的。有些演说词是我亲耳听到的, 有些是通过各种渠道搜集到的。无论如何,单凭一个人的记忆是很难逐 字逐句记载下来的。我的习惯是这样的:一方面使演说者说出我认为各 种场合所要求说的话,另一方面当然要尽可能保持实际所讲的话的大 意。[2]在叙事方面,我决不是一拿到什么材料就写下来,我甚至不 敢相信自己的观察就一定可靠。我所记载的,一部分是根据我亲身的经 历,一部分是根据其他目击者向我提供的材料。这些材料的确凿性,我 总是尽可能用最严格、最仔细的方法检验过的。[3]然而,即使费尽 了心力,真实情况也还是不容易获得的。因为不同的目击者,对于同一 个事件会有许多不同的说法,他们或者偏袒这一边,或者偏袒那一边, 而记忆也未必完美无缺。[4]我这部没有奇闻逸事的史著,读起来恐 怕难以引人入胜。但是,如果研究者想得到关于过去的正确知识,借以 预知未来(因为在人类历史的进程中,未来虽然不一定是过去的重演, 但同过去总是很相似的),从而认为我的著作是有用的,那么,我就心 满意足了。 [83] 一言蔽之,我所撰写的著作不是为了迎合人们一时的兴 趣,而是要成为千秋万世的瑰宝。

    23 历史上最重大的战争是波斯战争,但是那场战争在两次海战 [84] 和两次陆战 [85] 中就迅速地决出了胜负。而伯罗奔尼撒战争不仅持续了 很长的时间,而且在这期间,给希腊带来了空前的灾难。 [86] [2]从 来没有这么多城市被攻陷,被蹂躏,有些是异族人所为,有些则是希腊 人的党争所致(有时原有居民被移走后,即有其他居民移住(例如:波提狄亚人(II. 70)、阿纳克托里昂人(IV. 49)、斯基奥涅(V. 32)、米洛斯人(V. 116)));从 来没有这么多流亡者,从来没有这么多人被虐杀,他们有时因战争造 成,有时是党争的结果。[3]流传下来的某些怪诞的古老的故事却并 未得到经验证实的,突然间不能不使人相信了。地震发生的范围和强度 都是空前的;日食发生的频繁程度超过历史记录;各地普遍发生过严重 的旱灾,继而是饥馑;惨绝人寰的瘟疫发生了,它所伤害的生命最多。 所有这一切灾难都伴随着战争一起降临到希腊来了。[4]当雅典人和 伯罗奔尼撒人废除在征服优波亚之后所签订的三十年休战和约(公元前446/前445年签订(I. 115)。人们普遍认为,底比斯进攻普拉提亚就是公然撕毁这个条约, 从而认为战争自公元前431年3月正式爆发。但科林斯人显然不这样看)时, 战争就开始了。[5]至于和约遭到破坏的原因,我首先要说明双方争执的背景和分歧所在,让每个人都知道令全希腊卷入这样一场大战的直 接原因。[6]但是我认为这场战争发生的真正原因,几乎被表面现象 所掩盖了。雅典势力的日益增长,由此而引起拉栖代梦人的恐惧,使战争成为不可避免的了。以下将详尽展示双方公开辩解的背景、那些导致 和约被破坏和战争爆发的原因。 (关于本章第6节是不是在修氏写完第5节之后很久才写入的,以及是否由此表明修氏对战争起因看法的根本改变,有争议)

    [1] 在希罗多德撰写其著作的时代,希腊语当中似乎没有现代意义的“历史”一词。事实上,人们后来称 希氏著作为historia ( ἱστορίη ),称修氏著作为Thucydides’s Historiae 皆不是出自作者本意。据考证,希腊古 典作家完成其著作之初,既无具名,又无大题(title),更无小题(sub-title)。正是出于编目和收藏的需要, 古典著作的大题始见于希腊化时代的校勘本。希罗多德和修昔底德的著作,其开篇首句除言及作者与籍贯外, 就是所述之主题。希氏的著作定名采取的就是这种方法,修氏著作定名为《伯罗奔尼撒战争史》,即为拜占庭 学者阿里斯托芬(Aristophanes,约公元前257—前180年)在校勘其著作时取其首句所加。参阅张强:《西方 古典著作的稿本、抄本与校本》,《历史研究》,2007年第4期,第183—189页及附注;《〈伯罗奔尼撒战争 史〉巴黎本中的H本》,《社会科学战线》,2003年第2期,第266—268页。关于克劳利之英译本(R. Crawley, The History of Peloponnesian War ),参阅R. M. 胡特琴斯总主编:《西方世界名著》(R. M. Hutchins, Great Books of the Western World ),第6卷,大英百科全书出版公司,伦敦1988年版。以下简作“克 译本”。该译本的优点是在传统的8卷之下,再分为26章,每一章以若干小题注明本章主要内容,便于读者理解 原著。1998年,R. B.斯特拉斯勒在此译本的基础上,进行了全面的校译和注释,增加大量地图和插图,是目 前可看到的较完备的英译本之一。参阅R. B. Strassler, The Landmark Thucydides: A Comprehensive guide to the Peloponnesian War , New York, 1998。本书的注释,除了特别注明者外,皆为译者注。 [2] 本书正文中阿拉伯数字为传统章次(与古希腊原文分章一致),章下节次以带方括号的数字表示 (每一章的第1节未另标明)。学者们在援引该著作时,通常分别用罗马数字和阿拉伯数字表示卷次和传统章 节(如II. 2.3即表示第二卷第2章第3节)。 [3] 修昔底德并未使用希罗多德所使用的 ἱστορίη (“调查研究”),而是使用xynegrapse( ξυνέγραψε ), 即“收集(资料、证据)并加以撰述”,点明全书主题。 [4] 修氏用 μέγας (megas ,great)来形容他所记载的这场战争,旨在说明该战争时间长、波及范围 广、影响重大而深远,而不是特指某一方面的“大”。 [5] 修氏在这里明显是把自己的当代史与过去加以比较,认为过去任何时代都难以与当代(伯罗奔尼撒 战争期间)相提并论。接下来,修氏在I. 2—23,对于希腊的历史进行概略的考证。近代以来,研究其著作的 学者们将这部分内容称为修昔底德的希腊“考古”专论。 [6] 谢译本(第2页)译为“国家”。谢德风译《伯罗奔尼撒战争史》,商务印书馆1960年第1版,此后多 次重印,内容基本未变。译者所引乃是1978年重印本。由于谢译本未标注原著章节,读者在查核原文时颇感不 便。译者对原著的理解与谢译本凡有明显不同者,皆予以注明,以便读者在进一步研究时参考。希腊 (Hellas)意为“希腊人(Hellenes)居住之地”。在修昔底德时代,希腊尚未形成统一国家,因而它只能是一个 地理概念,不可能是一个国家概念,故此处译为“地区”似更符合历史实际。 [7] 修氏认为远古时期希腊人可能是靠游猎或采集谋生的。 [8] 关于伊奥尼亚移民,参阅I. 12及其附注。修氏在这里强调雅典“城邦”人口众多,当时城邦是否形 成,却是个颇有争议的问题。其实,我们更应该从氏族制度的习俗去理解,即它通过吸收外人为“养子”,从而 使族外人归化入籍。 [9] 根据希腊神话,丢开利翁(Deucalion)是普罗米修斯的儿子,洪水淹没了大地,只有他和妻子皮拉 幸存下来。希伦(Hellen)是他们的儿子,后被尊为希腊人的远祖。据赫西俄德所说,希伦的三个儿子分别是 多洛斯(Doros)、克苏托斯(Xuthos)和埃奥罗斯(Aeolos)。伊奥尼亚人的名祖伊翁(Ion),乃是阿波罗 之子,克苏托斯是其继父。后世希腊诗人编造这则神话旨在说明,古典时期操希腊语多利斯方言(Doric dialect)、埃奥利斯方言(Aeolic dialect)和伊奥尼亚方言(Ionic dialect)的族群,有着共同的世系。参阅徐 松岩:《“希腊人”与“皮拉斯基人”—古代希腊早期居民源流考述》,《西南大学学报》(社会科学版),2016 年第1期。 [10] Pelasgian,源自“皮拉尔基”(Pelargi,意为“鹳”),常用以泛指“希腊人到来”之前的非希腊语居 民,主要是史前亚细亚和非洲移民的后裔。参阅斯特拉波:《地理学》(Strabo, The Geography ,以下简 作“斯特拉波”),IX. 1.18;V. 2.4。 [11] 弗提奥提斯(Phthiotis),在色萨利。据希罗多德记载,希腊人曾经居住于此地。 [12] 参阅谢译本,第3页。 [13] 克译本的这句话在I. 4,而史译本在I. 3。 [14] 传说中的克里特岛的一位贤明公正的国王,宙斯(Zeus)和欧罗巴(Europe)的儿子,阿里阿德涅 (Ariadene)的父亲。在雅典的传说里,他是大陆希腊的仇敌。 [15] 即爱琴海。 [16] 希罗多德出身于卡里亚的哈利卡纳苏斯(Halicarnassus,今土耳其Bordrum),相信卡里亚人是来 自于克里特岛的。参阅希罗多德,I. 171。 [17] 即腓尼基人、卡里亚人,也许还有伊庇鲁斯人(Epirots)。—史译本注 [18] 指小亚细亚大陆。 [19] 荷马:《奥德赛》(Homer, Odyssey ),III. 73以下;IX. 252。 [20] 罗克里斯人分东西两部,东部为奥彭提亚的罗克里斯人,西部为奥佐里亚的罗克里斯人。 [21] 按古希腊文原文亦可译为“金蝉”。究竟是蝉还是蚱蜢,至今没有考古学上的确凿证据。这种发型是 一种古老的习俗,证明雅典人和亚细亚的伊奥尼亚人是同族。 [22] 例如:科林斯(I. 13)、爱皮丹努斯(I. 26)、波提狄亚(IV. 120)。 [23] 在战争的第6年,即公元前426年(III. 104)。 [24] 参阅谢译本,第6页。 [25] 阿伽门农是传说中的迈锡尼国王,希腊远征特洛伊联军统帅。根据荷马以后的传说,所有向海伦求 婚的人都向她父亲丁达琉斯宣誓,要保护她选定为丈夫的人。参阅伊索克拉特斯(Isocrates),X. 40;波桑尼 阿斯:《希腊纪行》(Pausanias, The Description of Greece ,以下简作“波桑尼阿斯”),III. 20.9;阿波罗多鲁 斯:《神话集》(Apollodorus, Bibliotheca ,以下简作“阿波罗多鲁斯”),III. 10.9。 [26] 根据传说,伯罗普斯(Pelops)是爱利斯地方比萨的王者,是阿特柔斯的父亲,阿伽门农的祖 父。“伯罗奔尼撒”(Peloponnesus)因他得名,古希腊文意为“伯罗普斯的岛屿”。 [27] 参阅谢译本,第6页。 [28] 克里西浦斯(Chrysippus)是伯罗普斯与阿克西奥克(Axioche)的儿子,是阿特柔斯的同父异母兄 弟。阿特柔斯和他的弟弟泰耶斯特(Thyestes)受其母亲希波达梅斯(Hippodameis)的指使,杀死克里西浦 斯。—史译本注 [29] 传说攸里斯修斯是柏修斯的后裔,是阿伽门农的表兄弟。他死后,阿伽门农之父阿特柔斯取代其 位。参阅谢译本,第6—7页。 [30] 荷马:《伊利亚特》(Homer, Illiad ),II. 576,612。 [31] 荷马:《伊利亚特》,II. 101—109。 [32] 荷马:《伊利亚特》,II. 108。 [33] 克译本这句话在I. 10。 [34] “盟主”(hegemony),直译为“盟主权”“领导权”“霸权”。 [35] 荷马:《伊利亚特》,II. 510,719。 [36] 按平均数85人计,1200条船总兵力10.2万人(史译本注)。然而,修昔底德的估计似乎缺乏确凿的 证据,也与他随后的叙述相矛盾。因为修昔底德明确指出,直到萨拉米斯海战之前,希腊的海军主要还是由五 十桨船(Pentekontors,每艘船有50人;修昔底德,I. 14)组成。很难想象约800年前特洛伊远征,每一艘舰船 平均人数达85人。实际上,当时流行的舰船是小型的海盗船;每艘船30人似乎更常见,平均40人左右也许是个 合理的推论。照此推算,特洛伊战争希腊联军总数大概不超过5万人。具体考证可参阅徐松岩:《关于特洛伊 战争的若干问题》,《世界历史》,2002年第2期。 [37] 刻尔松尼斯半岛,位于在特洛伊对面,赫勒斯滂海峡欧洲一侧。 [38] 特洛伊的别名。“伊利亚特”意为“伊利昂之歌”。 [39] 学界对于特洛伊陷落的年代,至少有几十种说法。其中最流行的传统说法,是希腊化时代埃拉托斯 特尼提出的公元前1184年。然而,近代考古学已经证明一个事实,公元前1200左右希腊大陆遭到毁灭性攻击, 希腊大陆诸邦不可能在自身难保的情况下,大举进攻特洛伊。笔者根据相关证据综合分析,认为公元前1240/ 前1230年也许最近乎历史事实。 [40] 即特洛伊陷落80年以后,大约在公元前1160/前1150年。传统说法认为,斯巴达人在定居拉哥尼亚 之后不久,即殖民于米洛斯岛。修昔底德(V. 112)提到,米洛斯人认为到公元前416年,他们建国已达700 年;就是说斯巴达人在公元前1116年之前不久定居于拉哥尼亚。 [41] 公元前12世纪到前6世纪,希腊人在地中海各地及黑海地区进行过广泛的殖民活动。近代学者将公 元前2000年代末、前1000年代初的移民与公元前8至前6世纪的殖民运动加以区分,认为前者基本上是部落移 徙,后者是阶级社会的城邦殖民。古代作家一般未加区别。 [42] 在小亚细亚。 [43] 爱琴诸岛。 [44] 三列桨战舰(Triremes)是希腊古典时代的标准战舰,通常每艘舰船配备桡手170人,另有30名左 右的战斗人员。由于学者们对于桡手的排列方式有不同看法,也有学者译为“三层桨战舰”。 [45] 约公元前704年。 [46] 约公元前664年。 [47] 参阅荷马:《伊利亚特》,II. 570;品达:《奥林匹亚颂歌》(Pindar, Olympian Odes ),XIII. 4。 [48] 居鲁士大帝(Cyrus the Great,公元前559—前529年在位)是波斯帝国的创立者,公元前546/前545 年征服小亚细亚的希腊人。参阅希罗多德,I. 46 —214;III. 1—160等。 [49] 冈比西斯(公元前529—前522年在位),居鲁士之子。其继任者乃是大流士一世。参阅希罗多德, I. 130 —211;III. 38—160;IV. 1—124;VI. 1—119等。 [50] 波利克拉特斯在萨摩斯当政的时间约为公元前532—前522年。参阅修昔底德,III. 104;希罗多德, III. 39 —142。 [51] 约公元前600年。位于今法国马赛附近。 [52] 迦太基是腓尼基人的殖民地,位于今日北非突尼斯境内。在古代地中海地区历史上,他们曾经建立 过强大的海军,以从事海上探险、贸易和海盗活动著称。 [53] 公元前486/前485年。 [54] 公元前480年。大流士之子薛西斯(公元前486—前464在位),发动了最大规模的海陆远征。参阅 希罗多德,VII. 2—239;VIII. 10—144;IX. 1—120等。 [55] 这一点很重要,有助于我们理解雅典同盟的组织结构。 [56] 在优波亚岛。 [57] 在优波亚岛。 [58] 据希罗多德(V. 99)记载,这场战争因争夺利兰丁平原而起。通常认为战争发生于公元前7世纪, 也有学者认为在公元前8世纪。参阅斯特拉波,X. 1.11。 [59] 西亚古国吕底亚末代国王。他在征服小亚细亚希腊诸邦之后不久,又遭到波斯人的征服,吕底亚连 同伊奥尼亚诸邦一起臣服于波斯人。 [60] 腓尼基人臣服于波斯之后,其舰队一直是波斯海军的主力。 [61] 指爱琴海一些岛屿。 [62] 公元前494年,伊奥尼亚海军在拉德(Lade)海战中被大流士击败。参阅谢译本,第14页。 [63] 公元前510/前509年。斯巴达人推翻了庇西特拉图之子的僭主统治。 [64] 来库古斯的立法。修昔底德将其年代定在伯罗奔尼撒战争结束400多年即公元前804年以前;埃拉托 斯特尼定为公元前884年。希罗多德(I. 65—66)提到,来库古斯立法或遵从德尔斐神谕,或从克里特岛引 进。关于来库古斯是不是真实的历史人物,学界一直有争议。 [65] 古希腊原文为“米底人”。米底人和波斯人同属印欧语系伊朗语族人,古希腊文献中往往把这两个民 族混为一谈。古希腊文献中的“米底战争”(the Median war)亦即波斯战争。 [66] 公元前490年马拉松战役,雅典人获胜。 [67] 来自希腊文的 οἵ βάρβαρροι (英文的Barbarians即由此而来)。这个字通常被译为“野蛮人”或“未开 化之人”。然而,希腊文原意为“异语之人”,即“和自己说不同语言的人”,对于希腊人来说, βάρβαρροι 就是指 非希腊人,对于波斯人来说, βάρβαρροι 就是指非波斯人,对于埃及人来说,系指非埃及人(参阅希罗多德, II. 158)。这种称呼犹如犹太人称非犹太人为gentiles;也类似于中国古代黄河流域诸族称呼吴楚居民为南蛮“ 舌”之人。在希罗多德的著作中,这个词尚无明显贬义。但是,随着希腊在波斯战争中的胜利,以及古 典文明高度发展,在希腊人中间逐渐流行鄙视其他民族的思想,而视波斯、意大利、黑海各地的欧亚诸族 为“野蛮民族”, βάρβαρροι 这个词始有“蛮夷”之意。参见徐松岩:《希罗多德Historia 诸问题刍议》,《史学 史研究》,2014年第3期。 [68] 公元前480年,薛西斯经过数年准备,亲率海陆大军入侵希腊,攻占雅典。随后在萨拉米斯海战和 普拉提亚战役中被希腊联军击败。 [69] 昭译本此句的译文为:“希腊人,以及在战争中叛离波斯王的原已结成同盟的希腊人。”参阅F. R. B.哥多尔芬主编:《希腊历史学家》(Francis R. B. Godolphin, The Greek Historians , Vol.1, New York, 1942),两卷本,第l卷,英译者B. 昭伊特(B. Jowett),纽约1942年版,以下简作“昭译本”。显然,后者是 指伊奥尼亚诸邦结成的潘伊奥尼昂同盟。参阅希罗多德,V. 77—78;Ⅵ. 8;Ⅷ. 132;徐松岩:《关于雅典同 盟的几个问题》,《西南师范大学学报》(社会科学版),1993年第3期。 [70] 公元前479 —前431年。包括希罗多德、修昔底德在内的古代史家,都一致认为波斯战争到公元前 479年已告结束,近代以来西方史家也普遍接受这一观点。国内不少学者认为波斯战争到公元前449年结束。 [71] 寡头制(Oligarchy),源于希腊文Oligoi(少数的),意为“少数人的统治”,即建立和斯巴达政治 制度类似的制度,由少数人掌握邦国实权。 [72] 参阅修昔底德,VI. 85;VII. 57。 [73] 公元前427年暴动遭到镇压之后即丧失独立。参阅修昔底德,III. 1。 [74] 此处“同盟”究竟指哪个同盟颇值得研究。克译本这里译为:“双方各自用于这场战争的兵源都超过 同盟全盛时期的兵力总数”。雷克斯·华尔纳(Rex Warner)的译本(“企鹅古典丛书”,1972年版,第46页)译 为:“在这次战争中,单独雅典一国所能应用的军队比同盟时期的同盟军的总数还要多些”;昭译本则译 为:“在这场战争开始的时候,雅典一国的兵力超过同盟全盛时期雅典和斯巴达兵力之和”。西蒙·霍恩布鲁尔 认为,修昔底德此处意指雅典一国的兵力(公元前431年)超过波斯战争时期雅典和斯巴达地兵力总数。参阅 S. 霍恩布鲁尔:《修昔底德著作注释》,第l卷,牛津大学出版社1991年版,第56页。霍氏的注释本共3卷,此 前有A. W. 高穆等的5卷本,两种注释本集中代表了西方学界对修昔底德著作研究的最高水平,二者相比,后 者吸收了较多新的研究成果,也稍为简明一些。 [75] 修昔底德用一个家喻户晓的故事,强调说明广泛流行的传说并不可信。 [76] 古代阿提卡王列奥斯的女儿们的神殿即“列奥克里昂”,奉祀她们以使邦国免遭瘟疫或饥馑之难。该 神庙位于雅典内陶区保护神阿波罗神庙附近。 [77] 雅典娜(Athena)是雅典的保护神。雅典人每年正月(雅典历赫卡托姆拜昂[Hekatombaion ] 月)都要举办纪念雅典娜女神的活动,称为泛雅典人节(Panathenaea),其主要活动是游行,社会各阶层甚至 麦特克(Metics ,或可译为“侨民”)都可以参加。游行路线是从雅典制陶区(又分内陶区和外陶区)出发,穿 过市场抵达卫城。随后举行盛大的献祭活动,牺牲的肉由公众分享。每4年举行一次更大规模的节庆,称为大 泛雅典人节(The Great Panathenaea)。大约自公元前566年起,大泛雅典人节增加了运动竞技、音乐、诗歌等 竞赛活动,向全希腊开放,持续数日,获胜者可获奖金或橄榄油。公元前5世纪,雅典要求其“同盟者”参加游 行,节庆遂成为雅典帝国的象征。参阅S. 霍恩布鲁尔、A. 斯鲍福特主编:《牛津古典辞书》,第1104页;关 于雅典历法,参阅附录二。 [78] 参阅修昔底德,VI. 54—59。 [79] 修昔底德所批评的“其他希腊人”中,无疑包括希罗多德。然而,修氏对其前辈的批评似乎有些牵 强。希罗多德说,斯巴达国王“有权和28名长老在议事会上共商国事。如果两位国王缺席会议,则和他们血统 最亲近的元老代理行使国王的特权,他们在代国王投两票之后,再投下第三票,即他们自己的那一票”。这里 明明是说一个国王一票。参阅希罗多德,VI. 57。 [80] 参阅希罗多德,IX. 53。 [81] 希腊诗人和早期纪事家(logosgraphers)的著作,通常是通过当众朗读的方式传播的。 [82] 参阅修昔底德,I. 1附注。 [83] 修昔底德在这里提出“人性不变”论,该思想贯穿全书。人性,古希腊文 Φύσις ,拉丁音 读“physis”,英译作“nature”,中文译为自然、本性。在英译本中,华尔纳译本译文中“人性总是人性”(human nature being what it is)一句,克译本作“in the course of human thing”,史译本作“in all human probability”,此三 种译文均为古希腊文“ κατὰ τὸ ἀνθρώπινον ”之意译。三种译文均能成立,参见H. G. 李德尔等主编:《希英大辞 典》(H. G. Liddell and R. Scott, A Greek-English Lexicon , Oxford, 1996),第141页。据此段文意,华尔纳本的 译文可能更为贴切。参见A. W. 高穆等:《修昔底德历史注释》,第2卷,牛津大学出版社1956年版,第373 页;S. 霍恩布鲁尔,第1卷,第61页。修昔底德(IV. 61)使用此词,史译本和克译本亦译作“an instinct of man’s nature, man’s nature”。这段话包含了三点意思:其一,因为人性总是人性,人性是不变的,所以人们能 够清楚地了解过去发生的事,理解将来发生的类似事件;其二,既然根据人性能理解过去的事和将来的事,那 么这些事不仅与人性有关,是人类的活动,而且能通过人性联系起来;其三,从人性入手叙述历史,可使读者 鉴往知来。此为其撰史目的,也是其著作能够垂诸永远的原因。修氏以人性说为其认识历史的基础。参阅易 宁、李永明:《修昔底德人性说及其历史观》,《北京师范大学学报》(社会科学版),2005年6期。 [84] 阿特米西昂海战或米卡列海战和萨拉米斯海战。 [85] 德摩比利(温泉关)战役和普拉提亚战役。值得注意的是,修昔底德并未把马拉松战役视为波斯战 争的一部分,这是很成问题的。参阅S. 霍恩布鲁尔,第1卷,第62页。 [86] 修昔底德一方面强调他记载的这场战争延续的时间长(也可以理解为“大”的表现),另一方面更是 着重强调伯罗奔尼撒战争比波斯战争更为重要,对希腊的影响更为深远重大,绝不是仅指战争“规模”更为“宏 大”。修昔底德在其著作第一卷第1章所用“ μέγας ”(“大”)和第23章所用其最高级“ μέγιστος ”(“最大”),其 用意都是强调,伯罗奔尼撒战争是一场前所未有的重要而惨烈的战争,因而“比此前的任何一场战争更值得记 述”。值得注意的是,修氏为强调自己著作主题的重要性而刻意贬低波斯战争的规模和时间。参见附录五。

    第二章 战争的起因。爱皮丹努斯事件。波提狄亚事件。

    24 爱皮丹努斯城位于伊奥尼亚湾 [1] 入口的右手边。它的附近居住 着伊利里亚族的陶兰提亚人。[2]它是科基拉的一个殖民地,是由赫 拉克利斯的后裔,科林斯人爱拉托克雷德斯的儿子法里乌斯建立的。按 照古代的惯例,殖民地的建立者法里乌斯是从母邦科林斯请来的。殖民 者中有科林斯人,还有其他的多利斯人。[3]随着时间的推移,爱皮 丹努斯的势力日益强大,人口逐渐增多。[4]但是后来因为发生内部 纷争而衰落了。据说,这是因与其毗邻的异族人交战而引起的。爱皮丹 努斯遭受重挫,损失了大量兵力。[5]最后,在伯罗奔尼撒战争之前 不久, [2] 平民驱逐了贵族,被驱逐者投靠了异族人,他们和异族人联 合起来开始从海上和陆地上袭掠爱皮丹努斯。[6]爱皮丹努斯人情急 之下,派遣使者到科基拉去,请求母邦救援,以免遭遇灭顶之灾;请求 帮助他们和那些被逐者达成和解,以结束他们与异族人的战事。[7] 作为求援者的使者们坐在赫拉神庙 [3] 中,向科基拉人请求援助,但是 科基拉人拒绝援助他们,他们看到交涉毫无进展便回国了。

    25 当爱皮丹努斯人知道他们不能从科基拉那里得到援助的时候, 他们进退维谷,不知该如何应付这种局势。于是他们派人前往德尔斐 [4] 问神,询问是否应该把城邦移交给科林斯人,竭力想从城邦建立者 那里得到一些援助。神的回答是:把他们的城邦交给科林斯人,接受科 林斯人的保护。[2]这样,爱皮丹努斯人遵奉神谕的指示,派人前往 科林斯,把殖民地交给科林斯人。他们指出,城邦的建立者是科林斯 人,并说出神谕的内容;请求科林斯人援助他们,使他们不至于遭到毁 灭。[3]科林斯人同意援助他们。他们认为,他们和科基拉人一样, 可以把它当作自己的殖民地,实施保护是他们的职责。另外,他们怨恨 科基拉人,怨恨他们对母邦的轻蔑。[4]科基拉人和其他的殖民地不 同,在举行公共节日聚会 [5] 时,例如在举行祭神牺牲仪式时,都没有 给科林斯人以应有的尊敬。 [6] 科林斯人认为,他们轻视母邦,自恃其 财富可以与希腊任何一个最富有的城邦相比;他们拥有强大的海军,有 时他们在夸耀自己的海军优势时,声称他们海上优势的荣誉是从他们古 老的居民腓亚基亚人开始的。 [7] 这一点成为他们特别注重发展海军, 而且颇有成效的原因。事实上,在这场战争爆发的时候,他们已拥有 120艘三列桨战舰。

    26 科林斯人对科基拉人的这一切怨恨使他们很乐意派兵前去援助 爱皮丹努斯。他们招募到那里定居的志愿者,并派出一支由安布拉基亚 人、琉卡斯人和科林斯人组成的军队。[2]这支军队由陆路行军至科 林斯的殖民地阿波罗尼亚。他们不取海路,是因为害怕途中遭到科基拉 人拦截。[3]当科基拉人得知这些志愿定居者和军队已抵达爱皮丹努 斯,并把该殖民地交给科林斯人的时候,他们大为愤怒。他们立即派遣 25艘舰船起航前往爱皮丹努斯,紧接着又派出一支舰队。他们蛮横无理 地命令爱皮丹努斯人:接受那些被驱逐者回国的请求,遣散科林斯的驻 军和移民。爱皮丹努斯的被逐者已经前往科基拉,他们指着祖先的坟 墓,利用他们和科基拉人的宗族关系,以恢复他们的地位。 [4]然而,爱皮丹努斯人对这些要求置若罔闻。于是科基拉以40 艘舰船的兵力向他们发起进攻。他们带着那些指望恢复其地位的被逐 者,随军还有一支伊利里亚人的军队。他们兵临城下时随即宣布:凡自 愿离开该城市者,不论是本邦人还是异邦人,皆不加伤害;凡不愿意离 开者,则一律被视为敌人。他们看到科基拉人对此拒不理睬,就开始围 攻。这个城市坐落于地峡之上。

    27 科林斯人在获悉爱皮丹努斯遭到围攻的情报之后,便集结了一 支军队,并要求志愿者前往爱皮丹努斯的殖民地定居,宣布凡自愿前往 的人均可保有完全的政治平等;凡不准备马上前去的,只需缴纳50科林 斯德拉克玛 [8] 的款项,不必离开科林斯而仍可在殖民地享有一份权 利。很多人对此作出响应,有些人愿意马上前去,有些人缴纳了应缴的 款项。[2]他们请各城邦派遣舰船护送,以防科基拉人在途中阻挠。 麦加拉准备派8艘舰船一同前往,基法伦尼亚的帕列提供4艘,爱皮道鲁 斯提供5艘,赫尔米奥涅提供1艘,特洛伊曾提供2艘,琉卡斯提供10 艘,安布拉基亚提供8艘。他们请求底比斯人和弗琉斯人提供资金,请 求爱利斯提供金钱和船体 [9] 。科林斯人自己装备了30艘舰船和3000名 重装步兵。

    28 科基拉人得知这些备战的消息后,便派遣本邦使者,并且说服 拉栖代梦和西基昂的使者一起来到科林斯,他们要求科林斯召回其驻军 和移民,因为科林斯和爱皮丹努斯毫无关系。[2]但是,如果科林斯 人提出要求的话,他们愿意接受伯罗奔尼撒诸邦的仲裁,通过相互协 商,由仲裁者裁定这个殖民地的归属。他们还愿意就此事询问德尔斐的 神谕。[3]但是,如果科林斯果真要挑起战争,而战争又是不可避免 的话,那么,为了自卫,他们甚至可以放弃那些可以提供援助的老关 系,不得不转向他们本不想去的地方寻找盟友。 [10] [4]科林斯人的答复如下:如果他们从爱皮丹努斯撤走他们的舰 队和异邦的军队的话,举行谈判是可能的;但是在城市仍被围攻的情况 下,要提交仲裁,那是很荒谬的。[5]科基拉人又反驳说,如果科林 斯人从爱皮丹努斯撤走他们的军队,那么他们也将撤走。或者,他们准 备签订停战和约,让双方保持现状,直到仲裁结果宣布为止。

    29 这些建议都被科林斯人拒绝了。当他们的船员配备齐全,他们 的同盟者都到来时,科林斯人派遣一名传令官 [11] 当着全军宣布开战。 [12] 于是,他们派遣75艘舰船和2000名重装步兵前往爱皮丹努斯同科基 拉人作战。[2]舰队由培里卡斯之子阿里斯特乌斯、卡里阿斯之子卡 里克拉特斯和提曼提斯之子提曼诺尔指挥。陆军由攸里提姆斯之子阿奇 提姆斯和伊萨库斯之子伊萨奇达斯指挥。 [3]当他们航行到阿纳克托里昂境内的阿克兴(位于安布拉基亚 湾入口处,这里有一座阿波罗神庙)时,科基拉人派出的传令官乘轻舟 而来,警告他们不要进攻科基拉人。同时,科基拉人也正在配备船员, 所有的舰船都准备投入战斗;他们在旧式船的底层安置新的横梁,使之 适于航海。[4]传令官回来了,没有从科林斯人那里带回和平的答 复。这时,他们的船员已配备完毕,派出80艘舰船(另有40艘在爱皮丹 努斯)出海迎击敌人。他们排成横队,投入战斗。结果,科基拉获得决 定性胜利,[5]摧毁科林斯人的15艘舰船。同一天,围攻爱皮丹努斯 的军队迫使爱皮丹努斯投降。投降的条件是,除科林斯人以外的所有异 邦人 [13] 将被卖为奴隶;沦为俘虏的科林斯人的命运将另行决定。

    30 海战结束后,科基拉人在科基拉岛的琉金米海角竖立了一块胜 利纪念碑。他们把科林斯人以外的俘虏统统杀死,科林斯人则依旧被幽 囚着。[2]这次海战失败后,科林斯人和他们的同盟者返航回国,科 基拉人完全控制了这一海域。 [14] 科基拉的舰队去往科林斯的殖民地琉 卡斯,蹂躏其国土;他们还焚毁了爱利斯的海港基伦尼,因为他们曾为 科林斯人提供舰船和金钱。[3]在这次战役后的大部分时间内,科基 拉依然掌握着制海权,派遣舰队袭掠科林斯的同盟国。最后,在夏季即 将结束的时候 [15] ,科林斯人为同盟者所遭受的灾祸所激怒,他们派出 海军和陆军,在阿克兴和泰斯普洛提斯境内的奇美里昂构筑要塞,用以 保护琉卡斯和其他友好的城邦。[4]科基拉人方面也在琉金米部署了 一个类似的阵地。双方没有任何行动,但双方一直处于对峙状态,直到 夏冬之交 [16] 的时候,双方的军队才各自返回本国。

    31 与科基拉人的战争激怒了科林斯人。在战后整整两年中, [17] 科 林斯人建造舰船,倾力组建一支高效的舰队。他们以优厚的待遇 [18] 从 伯罗奔尼撒以及希腊其他地方招募桡手。 [2]这些备战的消息引起了科基拉人的恐慌,因为他们在希腊一 个盟邦也没有。他们既没有加入雅典同盟,也没有加入拉栖代梦同盟。 于是他们决定投向雅典,加入雅典同盟,争取从雅典那里获得支持。 [3]当科林斯人得知这些动向后,也派出一个使团来到雅典,旨 在阻止科基拉的海军和雅典海军联合起来,否则他们就不能按照自己的 意向去解决与科基拉的战事。雅典召开公民大会, [19] 双方代表发生辩 论。科基拉人发言如下:

    32 “雅典人啊!如果一个民族在过去从未对他们的邻人作出重大贡 献和援助,他们站在邻人面前,正如现在我们站在你们的面前一样,要 求你们作出回报,请求你们援助,那么,你们自然会要求他们满足某些 先决条件。他们应当说明,首先,请求你们援助对你们是有利的,至少 是无害的;其次,他们将永世感激你们。如果他们在这几点上都不能说 服你们的话,对于他们出使的失败,他们一定不会感到诧异。[2]现 在科基拉人相信,在请求你们援助的时候,在这几点上能够给你们满意 的答复,所以他们才派我们前来。[3]非常巧合的是,我们向你们请 求援助,实际上是与我们的政策自相矛盾的,在目前危急情况下也是不 合乎我们的利益的。[4]我们说自相矛盾,是因为一个邦国在其整个 历史上从不愿与任何一个邻邦结盟,而现在又主动请求与别国结盟。我 们说对我们不利,是因为在目前我们与科林斯人的战争中,我们处于完 全孤立的地位。过去我们认为不与别国结盟似乎是一种聪明的选择,因 为它使我们不致被卷入由别人的选择所导致的危险之中;现在已经很清 楚,这是愚蠢之举,也是我们软弱的原因。 [5]“不错,在最近的海战中,我们单独地把科林斯人从海岸线击 退。但是,现在他们已从伯罗奔尼撒和希腊其他地方纠集了更庞大的军 事力量。我们知道,没有外援,我们完全无力对付他们,屈从于他们意 味着巨大的灾难。因此,如果我们改弦易辙,改变以前政治上完全不结 盟的政策,希望能得到你们的谅解。我们过去的原则没有任何不良企 图,而是由于判断失误所致。

    33 “如果现在你们答应我们的请求,对于你们而言,有许多理由说 明它是一件好事。首先,你们援助的是一个没有危及别国利益的城邦, 它是其他城邦不义之举的受害者;其次,在目前这场较量中,我们的处 境极其险恶,在这生死攸关的时刻,你们欢迎我们加入同盟,我们是会 永远从心里感激你们的;[2]第三,在希腊,除了你们以外,我们是 最大的海上强国。更重要的是,我们自愿投于你们的麾下,不致引起任 何风险,不会花销任何费用;你们的慷慨好义,会使你们名扬世界;你 们的国力,也将大大提高。难道你们不认为这本身就是一种难能可贵而 且是令敌人沮丧的幸运吗?一个民族同时得到这些利益,这在全人类历 史上都是不多见的;同样在历史上不多见的是,要求入盟的邦国处于这 样的地位,它可以向请求入盟的邦国所提供的安全和荣誉绝不会少于它 将接受的。 [3]“但是需要强调的是,一旦发生战争,我们对于你们是有用 的。如果你们当中有人认为战争还是遥不可及的事,那就大错而特错 了。他们没有看到拉栖代梦人因为对你们有所畏惧而要发动战争,科林 斯人对他们是最具影响力的;同时,切记他们都是你们的敌人。现在科 林斯力图首先征服我们,接下来再向你们进攻。科林斯不想让我们两个 国家联合起来,成为它的共同敌人,科林斯为取得初步优势,想采取以 下两个方法中的一个来对付你们:要么消灭我们的势力,要么吞并我们 以增强其自身势力。[4]但是我们的政策是先发制人—对于科基拉来 说是主动请求加入同盟,对于你们来说是接受它入盟。事实上,我们应 当制定攻击他们的计划,而不是坐等他们制定出攻击我们的计划后再去 挫败它。

    34 “如果科林斯人说你们没有权利接受他们的一个殖民地加入你们 的同盟,那么,你们要让他们知道,任何一个受到良好待遇的殖民地都 是会尊重它的母邦的,只有在受到不公正待遇的情况下,它才对母邦疏 远。派到国外去的移民不是留在母邦的人们的奴隶,而是他们的平辈。 [2]科林斯显然对我们有所伤害。我们请求他们以仲裁的方式解决爱 皮丹努斯的争端,他们不是以公平的裁断加以解决,而是想用战争来实 现他们的要求。[3]我们是他们的同族人,他们对我们的行为应该使 你们警惕,你们不要为他们的诡计所迷惑,也不要听从他们那些直截了 当的要求。对敌人的让步只能使你们陷于自责而难以自拔,让步越小, 安全的机会越大。

    35 “如果有人强调说你们接受我们加入同盟,是破坏了你们和拉栖 代梦已有的条约 [20] 。回答是:我们是一个中立的国家,[2]那份条 约中已有明文规定,任何中立的希腊国家可以自由加入同盟的任何一 方。[3]令人不能容忍的是,科林斯不仅从它的同盟者诸邦,而且还 从希腊其他地方招募海军兵员,其中从你们的臣民 [21] 中招募的为数就 不少;而我们则完全被孤立起来,既不能成为任何一个同盟的成员国, 也不能从任何其他地方得到援助,甚至你们同意我们的请求,他们也谴 责你们,说这种做法是政治上的不道德行为。[4]另一方面,如果你 们不同意我们的请求,我们将有更大得多的理由来埋怨你们;我们身陷 险境,我们不是你们的敌人,而你们拒绝我们的请求;科林斯人是侵略 者,是你们的敌人,而你们非但不阻止他们,反而允许他们从你们的属 地获取战争资源。这是不应该的。你们应当禁止他们在你们的领土上招 募军队,或者你们应当也给予我们你们认为适当的帮助。 [5]“但是你们的上策是允许我们公开加入你们的同盟,使我们获 得你们的帮助。我们在演讲开始时就已提到,这样的政策对你们有很多 益处。 [22] 我们仅提一点,也许是主要的一点。事实上你们的敌人也正 是我们的敌人,这是我们得到完全信任的保证。同时,这些敌人完全是 有能力制服那些叛离者的。拒绝一个陆地国家加入同盟和拒绝一个海上 强国加入同盟,是不能相提并论的。你们的头等大事,如果可能的话, 就是确保除你们以外,任何邦国都不得拥有海军;如果这一点做不到的 话,最好是确保与当今最强大的海上强国保持友好关系。

    36 “虽然你们当中有人承认我们以上所说是对你们有利的,但是你 们又害怕如果付诸实施就至少会使你们与拉栖代梦人所订立的休战和约 遭到破坏。 [23] 你们务必牢记,一方面,不论你们怕不怕,你们的势力 都将使你们的对手有所畏惧;另一方面,不论你们的信心是否来自于拒 绝我们加入同盟,你们的削弱都会使强大的敌人无所畏惧了。你们还必 须记住,你们的决定对于科基拉的影响丝毫不亚于对雅典的影响;而 且,如果你们在准备一场行将爆发的甚至是迫在眉睫的战争时仍然患得 患失,如果你们在是否吸收足以左右战局的科基拉入盟的问题上依然犹 豫不决,这对于你们国家的前景都不是最有利的。[2]由于科基拉地 处前往意大利和西西里的海岸航线的有利地位, [24] 因而它能够阻截由 那里前往伯罗奔尼撒的或者从伯罗奔尼撒前往那里的海上援兵。在其他 方面,科基拉也是一个理想的据点。[3]无论是从整体还是局部来考 虑,用一句最简短的话来说,放弃我们是愚蠢的。须知,希腊有三大海 上强国—雅典、科基拉、科林斯。如果你们让其中两者合而为一,让科 林斯控制了我们,那么,你们就不得不与科基拉和伯罗奔尼撒的联合舰 队作战。但是,如果你们允许我们加入你们的同盟,那么,你们在这场 斗争中就将得到我们的舰队的增援。” [4]以上是科基拉人的发言。他们的发言结束后,科林斯人发言 如下:

    37 “在我们刚刚听到的发言中,科基拉人没有限于论证你们是不是 允许他们加入你们的同盟的问题上。他们还说我们有不义之举,说他们 是非正义战争的受害者。因此,在谈及其他诸点之前,有必要说明这两 点。这样,你们可以对于我们所提出请求的理由有一个更准确的概念, 并且有确当的理由拒绝科基拉人的请求。[2]据科基拉人所说,他们 不与任何邦国结盟的传统政策是一种稳健的政策。事实上,采取这样的 政策居心叵测,绝无善意的动机。这使得他们不要任何同盟者,以免他 们成为他们不正当行为的目击者,或者是由于他们耻于请别人共同参 与。[3]科基拉的地理形势使其居民与外地居民不相往来。别国的舰 船常常(因天气原因)而不得不进入科基拉港,而科基拉的舰船则很少 到邻国去。因此,科基拉人侵害别国人民的事件,是由科基拉人自己来 审判,不是由相互协商而指定的法官来裁定的。[4]简言之,他们采 取一种完全独立的特殊政策的目的,不是防止参与别人的恶行,而是在 于他们自己可以独自作恶—当他们有足够力量的时候,他们就强夺他人 的财产;当他们能够逃避别人注意的时候,就欺骗别人;分享他人所 得,毫不以为耻。[5]但是,如果他们果真是正直的人,就像他们所 伪装的那样,那么,越是没有人直接见证他们的所为,通过他们的适度 妥协所展示出来的正直就越是显著。

    38 “但是,他们的行为,无论对其他人或对我们,从来都是不正直 的。他们是我们的移民,但是他们对我们从来就是敬而远之,而今他们 居然向我们开战了。他们说:‘我们被派遣出来的目的不是受虐待 的。’[2]我们说,我们建立殖民地的目的也不是受他们侮辱的,而是 要成为他们的领导者,并且要他们对我们表示适当的尊敬。[3]总 之,我们的其他殖民地都是尊敬我们的,我们也深受移民们的爱戴; [4]显然,如果大多数殖民地对我们是满意的,科基拉就没有适当的 理由说唯独他们不满意;我们对他们作战不是我们的错误,而是受到他 们公然挑衅的结果。[5]另外,即使我们错了,他们的正当做法也要 得到我们的准许;如果我们无视这样合理的态度,那就是我们的耻辱。 但是,他们妄自尊大,依仗财富屡屡对我们无礼,最严重的莫过于爱皮 丹努斯事件。当这个地方遭受灾难时,他们不采取任何措施去调解。但 是当我们来此排忧解难之时,他们却用武力攻占了它,并且至今还占据 着这个地方。

    39 “他们声称,他们希望这件事首先交由仲裁来解决。显然,稳居 优势地位的一方所提出的建议是没有任何意义的,只有在敌对行动开始 之前,他和对手处于平等地位的时候,这种建议才会被接受。[2]他 们的情况是这样的:他们在围攻爱皮丹努斯之前,并未提议交付仲裁; 只是在他们终于明白我们决不会坐视不管的时候,他们才想起‘仲裁’这 个美妙动听的词语。他们在爱皮丹努斯已经犯下过错,现在又到你们这 里来,他们不是请求在同盟中并肩作战,而是请求你们共同参与他们的 罪恶行动,并且是在和我们交战的时候请求加入你们的同盟。[3]他 们应当在自己最安全的时候,而不应当在我们遭到侮辱而他们处境危险 的时候向你们靠拢。你们在这个时候保护那些过去从来没有要你们分享 他们的权力的人,是不合时宜的。这使我们认为你们将和他们承担同样 的责任,虽然你们并未参与他们的恶行。因为如果他们希望和你们共命 运的话,他们在过去就应当和你们共享他们的权力。

    40 “我们已经阐明了我们怨恨他们是理所当然的;同时,我们的对 手的行为是狂暴的和贪婪的。你们还应当知道,你们接受他们的加盟是 不公平的。[2]的确,和约中有一条说,没有参加原有和约的任何城 邦,可以自由地加入任何一方,但是这一条款不是指那些参加同盟的目 的在于伤害其他城邦的城邦,而是指那些并不是因为叛乱而需要保护的 城邦,以及那些主张把武力用于和平而不是用于战争的城邦。 [25] 如果 你们不听从我们的忠言,你们的情况将会是这样的:[3]如果你们不 帮助他们,就依然是我们的朋友;如果你们参加他们一方作战,你们将 分担我们作为自卫者对他们的惩罚。[4]但是,你们还是有最合理的 理由保持中立,否则你们应当参加我们一方来对抗他们;至少,科林斯 与你们有过和约;你们与科基拉之间,却从未有过停战协定。你们不要 开这样的先例,支持那些叛离者。[5]当萨摩斯人叛离你们的时候, [26] 伯罗奔尼撒诸邦对于是否应援助萨摩斯人的问题,意见不一。当时 我们是投票反对你们的吗?不是。我们公开地告诉他们,每个邦国都有 权力惩治它的同盟者。[6]如果你们接收并且支持那些侮辱我们的 人,你们会发现你们的臣民中也将有同样多的人投到我们这边来,你们 所开创的这个先例对你们自己的祸害要比对我们的祸害更为严重。

    41 “这是我们根据希腊人的法律,有权利向你们提出的要求。但 是,我们还想奉劝你们,并且要求得到你们的报答。既然我们没有危害 过你们,我们不是你们的敌人,而我们的友谊也并未达到亲密无间的程 度,因而我们认为理应在现在这个关头清算一下了。[2]在波斯人入 侵之前,当你们和埃吉那作战的时候,你们缺少舰船,科林斯为你们提 供了20艘船。 [27] 这种友好行为的结果使你们能够征服埃吉那;我们在 萨摩斯问题上所采取的措施,成为阻止伯罗奔尼撒人援助萨摩斯人的原 因,结果使你们惩罚了萨摩斯人。我们采取这些行动都是在危急关头, 在人们全力以赴攻击敌人,在人们为了取胜而不顾一切的时候。[3] 在这样的时候,人们会把所有援助他们的人当作朋友,即使他过去曾是 你们的敌人,甚至把过去的朋友当作敌人,如果这个朋友反对他们的 话。的确,他们专心致志于互相的斗争,而忽视了自己的真正利益。

    42 “我们希望你们认真考虑这几点。让你们的青年向他们的长辈们 请教,让他们决定如何对待我们犹如我们过去对待你们一样。你们不要 这样理解:‘科林斯人所说公正无误,但是战事千变万化,这些话是否 明智就另当别论了。’[2]最可靠的政策一般地说就是最明智的选择, 而且,科基拉人常常以将要发生战争为由,讹诈你们去做不正义的事, 但战争不一定会发生。你们不至于因此而误入迷途,现在就把科林斯视 为敌人了。更为明智的做法是努力消除因为你们对麦加拉所采取的措施 所造成的不利影响。 [28] [3]事实上,及时的帮助能够捐弃旧日的嫌 隙,其效果超过事实本身。不要因为指望建立强大的海上同盟而误入歧 途。有节制地公平对待其他一流强国,将比占有一个表面上暂时有利而 实际上却牺牲了长远而稳定的便宜更能成为力量的源泉。

    43 “现在我们转向我们在拉栖代梦时所确立的原则:每个国家都有 权处罚它自己的同盟者。现在我们自己的处境和你们当年的处境相同。 我们要求你们维持这个原则。那时候,你们从我们的投票中受益,现在 我们也不应因你们的投票而受到伤害。[2]你们应当对待我们犹如我 们过去对待你们一样。你们应当知道,我们正处于危难之中,援助我们 的将是最真挚的朋友,反对我们的将是最凶恶的敌人。[3]对于这些 科基拉人,不要吸收他们加入你们的同盟,也不要支持和唆使他们作 恶。[4]这样,你们的所为正是我们期待的正当之举,同时这样做也 是最合乎你们的利益的。”

    44 以上是科林斯人的发言。 雅典人听了双方的发言后,召集了两次公民大会。在第一次会议 中,民众明显倾向于赞成科林斯人的观点;在第二次会议中,民众的意 见发生了变化,他们决定和科基拉人建立同盟,这是一个有条件的同 盟,是一个防御性的而不是进攻性的同盟。它不能违背雅典人与伯罗奔 尼撒人的和约:科基拉人不能要求雅典和他们联合起来进攻科林斯。只 有在本国领土或某个同盟国遭到侵略时,订立盟约的各方都有义务实施 援助。[2]从这时起,人们认为伯罗奔尼撒战争的爆发,只是个时间 的问题。雅典人当中没有人愿意看到像科基拉这样的海上强国落入科林 斯人之手。如果它们两国彼此争斗而相互削弱,那么有朝一日,当雅典 不得不与科林斯及其他海上强国作战时,就不必作恶战的准备了。 [3]同时,这个岛屿 [29] 在通往意大利和西西里的沿海途中似乎居于 很便利的地位。

    45 鉴于以上考虑,雅典吸收科基拉加入同盟。在科林斯人离开之 后不久,雅典就派10艘船前去援助科基拉。[2]这些舰船由客蒙之子 拉栖代梦尼乌斯、斯特罗姆比库斯之子狄奥提姆斯和爱皮克利斯之子普 罗提亚斯负责指挥。[3]他们接受的命令是:除在某些特定的情况 下,他们应当避免和科林斯舰队发生冲突。如果科林斯人向科基拉航 行,其目的是想在科基拉海岸登陆,或进入科基拉的领土的话,他们就 要尽最大力量来防止他们这样做。发布这些命令的目的是避免破坏有关 条约。

    46 与此同时,科林斯人完成了他们的准备工作,派出150艘战舰驶 向科基拉。在这些舰船中,爱利斯提供了10艘,麦加拉提供了12艘,琉 卡斯提供了10艘,安布拉基亚提供了27艘,阿纳克托里昂提供了1艘, 有90艘是科林斯自己的。[2]每个分遣队都有自己的指挥官,统率科 林斯舰队的是攸西克利斯之子塞诺克里德斯及其他4位同僚。[3]这个 舰队从琉卡斯起航,抵达科基拉对岸的大陆。[4]舰队在泰斯普罗提 斯境内的奇美里昂港停泊。岸上,离海面有相当距离的地方是爱利提斯 地区的爱菲列城。 [30] 在爱菲列附近,阿奇鲁西湖的水注入海中。这个 湖因阿奇龙河而得名。阿奇龙河流经泰斯普罗提斯地区,注入阿奇鲁西 湖。这个地区还有一条泰阿米斯河,泰斯普罗提斯和凯斯特里涅就以此 河为界。奇美里昂港位于这两河之间。[5]科林斯人就是在大陆的这 一带停泊并安营扎寨的。

    47 科基拉人看到科林斯大军到来,便配备了110艘舰船的桡手,由 美吉阿德斯、阿伊西米德斯和攸里巴图斯指挥,在西勃塔群岛中的一个 岛屿附近扎营。雅典的10艘船也在这里。[2]他们的陆军驻扎在琉金 米海角上,扎金苏斯人派出 1000名重装步兵前来增援。科林斯人在大 陆上也不无盟友。[3]当地土著成群结队地前来增援他们。科林斯人 与这块大陆的居民是传统的盟友。

    48 科林斯人一切准备就绪后,便携带三天的口粮,在夜间从奇美 里昂港出发,准备开战。[2]航行至黎明时,他们看见科基拉的舰队 已在海上,并且向他们驶来。[3]他们彼此发现对方之后,双方便各 自排好阵形,准备战斗。雅典的舰船在科基拉舰队的右翼,其余的阵地 由科基拉自己的舰队的三个分遣队分别占据,每个分遣队由一位海军将 领指挥。[4]这是科基拉人的布阵情况。科林斯人方面是这样部署 的:麦加拉和安布拉基亚的舰船在右翼,其他同盟者的舰船在中央,左 翼是科林斯海军中的精锐部分,以对抗雅典人和科基拉人的右翼。

    49 双方发出信号后,战斗开始了。双方舰船的甲板上都站有大量 的重装步兵,还有许多弓箭手和投枪手。这是一种陈旧落后的作战方 式。[2]尽管他们海战技术不精,但双方的拼杀都很顽强。事实上, 这更像是一场陆战。[3]双方之间相互冲击时,由于舰船众多,相互 撞击,每一方都很难逃脱。另外,他们都把取胜的希望寄托在甲板上的 重装步兵的身上,这些重装步兵排成正规队形作战,而舰船则原地不 动。他们没有运用突破敌人防线的灵活机动的战术。 [31] 简言之,在这 种战役中,气力和胆量的作用比科学方法更为重要。 [32] [4]战场上 一片嘈杂喧嚣,乱作一团。每当科基拉人处境危急的时候,雅典的舰队 就前来增援,以威胁他们的敌人,虽然他们的指挥官因害怕违背指令而 未投入战斗。[5]科林斯人的右翼损失最严重。科基拉人击溃了敌 人,他们以20艘舰船将溃败的敌人赶回大陆,直追到他们的营地;他们 洗劫了其中的财物,放火焚烧了空空的营帐。[6]在这里,科林斯人 及其同盟者遭到了失败,而科基拉人获得胜利。然而,在左翼,科林斯 人在那里取得了决定性的胜利。科基拉的舰船本来就要少些,又有20艘 船去追击敌人了,使其力量更显薄弱。[7]雅典人看见科基拉人处境 十分窘迫,终于开始更直接地援助他们了。起初,雅典人的确是在克制 自己,不去撞击科林斯的舰船。但是,当科基拉人败局已定,而科林斯 人穷追不舍的时候,雅典人终于把一切都置之度外,人人都投入了战 斗。到了这种关头,科林斯人和雅典人便不可避免地发生交战了。

    50 在科基拉人溃败之后,科林斯人并未去击打、拖拉那些被他们 撞残的舰船,而是关注船上的人员。他们在海上巡逻,杀死残损舰船上 的人员。可是,他们的一些战友也被误杀了,因为他们忘记了自己的右 翼也战败了。[2]双方参战的舰船很多,作战的海面很广,所以一旦 交战,就难以辨别谁胜谁负了。就参战舰只的数目而论,这次战役至少 是希腊人之间的一次规模空前的海战。 [33] [3]科林斯人在把科基拉 人驱逐上岸之后,随即转而关注那些残损的舰船和船上的死者 [34] ,他 们找到了大多数死者的尸体,把它们送回西勃塔,那是土著同盟者提供 的陆军的集结地。众所周知,西勃塔是泰斯普罗提斯的一个荒废的港 口。之后,他们重整旗鼓,又起航来攻击科基拉人了。[4]科基拉人 害怕科林斯人在他们的领土上登陆,于是就出动所有的舰船,包括所有 剩下来可以用的和雅典的舰船,来迎击科林斯人。[5]这时,天色已 晚,双方唱罢战歌, [35] 科林斯人却突然开始倒划。他们看见了远处驶 来20艘雅典的舰船。这些舰船是雅典后来派出来增援原先那10艘船的。 因为雅典人害怕科基拉人战败,那少量的舰船难以保护他们。事实证明 这是正确的。

    51 科林斯人最先看见的就是这些舰船。他们怀疑这些舰船是来自 雅典,并且认为他们所看到的不是全部,后面还有更多的舰船;因此, 他们开始退却。[2]而科基拉人并没有看到这些舰船,因为从他们进 攻的方向看去,看不太清楚。当他们看见科林斯人倒划的时候,感到有 些诧异。这时有人看见了这些舰船,便大喊前面有舰船。这样,科基拉 人也退却了;因为当时天色越来越黑,科林斯人退却,停止了敌对行 动。[3]于是双方各自回营,夜里没有战事。[4]科基拉人回到他们 在琉金米的营地,而雅典的20艘舰船在利阿格鲁斯之子格劳康和列奥格 拉斯之子安多吉德斯的指挥下,穿过散落着阵亡者尸体和破船的海面, 在他们被发现以后不久,也开始驶向他们的营地。[5]进入夜间,科 基拉人担心他们是敌方的舰船,但是他们很快就辨认出来了,所以雅典 的舰船安然抛锚停泊。

    52 翌日,雅典的30艘舰船和科基拉所有的舰船一起驶往科林斯人 所停泊的西勃塔港,看看科林斯人是否准备出战。[2]科林斯人将舰 船驶离岸边,在海上列成队列。他们停在那里不动,无意发动攻势。他 们看见了新从雅典开来的援军,而自己却面临诸多困难:船上的俘虏需 要看守;在这个荒凉的地方,无法整修舰船。[3]更使他们伤脑筋的 是怎样才能由海上返回家乡的问题。他们害怕雅典人认为和约已因最近 的交战而废止,使他们难以脱身。

    53 因此,他们决定派几个人乘坐一条小船,不带传令官的权标, [36] 到雅典人那里试探一下对方的意图。他们派人到雅典人那里,说: [2]“雅典人啊,你们错了,你们破坏了和约,发动战争。我们在惩罚 我们的敌人时,发现你们从中阻挠,拿起武器反对我们。现在你们既然 是有意阻止我们航往科基拉,或航往任何我们想去的地方,既然你们要 破坏和约,那么,你们就可以首先把我们几个拿下,把我们当作你们的 敌人。”[3]科基拉军队中所有听见科林斯人说话的人都高声呼喊,要 把他们捉起来,杀掉他们。但是雅典人回答说:“伯罗奔尼撒人啊,我 们既没有发动战争,也没有破坏和约。这些科基拉人是我们的同盟者, 我们来帮助他们。因此,如果你们往其他地方航行,我们决不会阻拦你 们。但是,如果你们航行去进攻科基拉或它的其他任何领土的话,我们 将尽全力阻止你们。”

    54 科林斯人得到这个答复后,就开始准备航行回国。他们在大陆 西勃塔的地方竖立了一块胜利纪念碑。同时,科基拉人在打捞遇难的舰 船和阵亡者的尸体。 [37] 当晚刮起了大风,这些船体和尸体被大风和海 流冲走,分散开来。他们在西勃塔岛上竖起一块胜利纪念碑,以表示他 们是胜利者。[2]双方都宣称自己是胜利者的理由如下:在海战中, 直到晚上,科林斯人都居于优势,因此,他们取得了大多数残损的舰体 上死难者的尸体;他们捉到的战俘不下1000人,击沉敌舰70艘。科基拉 人击沉敌舰约30艘;雅典人抵达之后,他们打捞起本方的沉船和死难者 的尸体。另外,他们看到科林斯人率先撤退;他们看到雅典的舰船后便 开始倒划;雅典人到达后,他们再也没有从西勃塔出来作战。因此,双 方都认为自己是胜利者。

    55 科林斯人在航行回国途中,攻取了位于安布拉基亚湾入口处的 阿纳克托里昂。这个地方原本是科基拉人和科林斯人的共有之地,科林 斯人用计夺取了它。他们把自己的移民安置在那里,然后回国。他们卖 掉了科基拉俘虏中的800名奴隶 [38] ,把其余250人仍然拘禁起来,但是 对他们予以特别关照。科林斯人希望他们将来回去后,使科基拉再转到 科林斯这边来, [39] 而这些人恰恰又是在科基拉很有地位的人。[2] 这样,科基拉在这次交战中挫败了科林斯,雅典的舰船撤离了科基拉 岛。这是科林斯和雅典交战的第一个原因。因为雅典在休战和约的有效 期内,已和科基拉人一起向他们开战了。

    56 紧接着,雅典人和伯罗奔尼撒人之间又发生新的争端,它也是 引发战争的原因之一。[2]就在科林斯人制定报复计划之时,雅典人 也已觉察到科林斯人对他们的仇恨。居住在帕列涅地峡上的波提狄亚 [40] 是科林斯人的殖民地,但又是雅典的纳贡的同盟者 [41] 。雅典人命 令他们拆毁面向帕列涅的城墙,交纳人质,驱逐科林斯派来的地方官 员,并且以后不许再接纳每年从科林斯派来的这类官员。 [42] 雅典人害 怕波提狄亚人会听从柏第卡斯 [43] 和科林斯人的劝告,起来暴动,并且 可能引起色雷斯 [44] 地区的其他同盟者和他们一同暴动。

    57 科基拉的海战刚刚结束,雅典人就针对波提狄亚人采取了这些 防范措施。[2]不仅科林斯终于公开与雅典为敌,连马其顿国王,亚 历山大之子柏第卡斯,也从过去的朋友和同盟者,变为雅典人的敌人 了。[3]柏第卡斯与雅典人为敌,是因为雅典人与他的兄弟腓力浦和 德达斯缔结同盟,他们联合起来对付柏第卡斯。[4]柏第卡斯恐慌起 来,他派使者去拉栖代梦,试图使雅典人和伯罗奔尼撒人发生战争;并 且努力争取科林斯的支持以促成波提狄亚人暴动。[5]他还向色雷斯 地区的卡尔基斯人和波提亚人提议,力劝他们参加暴动。因为他认为如 果能够与毗邻诸国结为同盟的话,有了他们的合作,进行战争会更容易 些。[6]雅典人注意到他的活动,想在这些城邦暴动之前先发制人。 他们立即派遣一支由30艘战舰和1000名重装步兵组成的军队前往马其 顿,由吕科米德斯之子阿奇斯特拉图斯和其他4名同僚负责指挥。他们 命令海军将领带走波提狄亚人的人质,拆毁波提狄亚的城墙,同时注意 防范邻近诸邦的暴动。

    58 同时,波提狄亚人派遣使者去雅典,希望劝说雅典人不要对他 们采取进一步行动;他们还派人和科林斯人一起到拉栖代梦去,希望万 一必要时能够得到他们的支持。他们在雅典经过漫长的谈判,没有获得 任何满意的结果;他们费尽口舌还是未能阻止派往马其顿的舰队起航, 这支军队正是来对付他们的。拉栖代梦当权者 [45] 答复他们说,如果雅 典人进攻波提狄亚,他们就入侵阿提卡。于是,波提狄亚人认为这是一 个有利时机,终于和卡尔基狄克人、波提亚人结成同盟,发动暴动。 [2]柏第卡斯说服了卡尔基狄克人放弃并拆毁沿海一带的城镇,迁居 奥林苏斯内地,组建成一个强固的城市。同时,对于那些听从他劝告的 人,柏第卡斯把他位于米格多尼亚的波尔布湖周边的土地,在和雅典人 作战期间,提供给他们居留。于是,卡尔基狄克人拆毁其城镇,迁居内 地,准备战争。

    59 当雅典人的30艘舰船抵达色雷斯各地的时候,他们发现波提狄 亚和其他城邦已经暴动了。[2]雅典军队诸位指挥官认为,以现有的 兵力难以与柏第卡斯及其同盟诸邦同时交战,便转向马其顿,即他们原 定的目标。他们驻扎在那里,想和腓力浦以及德达斯的兄弟们联合作 战,当时腓力浦和德达斯的兄弟们已从内地侵入这一地区了。

    60 同时,科林斯人看到波提狄亚已经暴动,而雅典的舰船就在马 其顿沿海地带,他们害怕这个地方会沦陷,认为波提狄亚的危难就是科 林斯人的危难。于是,他们从科林斯派出一支志愿军,还有来自伯罗奔 尼撒其他地方的雇佣军,共有重装步兵1600名,轻装步兵400名,[2] 由阿迪曼图斯之子阿里斯特乌斯出任远征军指挥官。阿里斯特乌斯一直 是波提狄亚人的朋友,大多数来自科林斯的志愿者是出于对他的爱戴。 他们在波提狄亚暴动发生40天后抵达色雷斯。

    61 雅典人也很快得到这些城邦暴动的消息。他们得知阿里斯特乌 斯及其援军已经出发,就派出2000名公民重装步兵和40艘舰船前去镇压 这个地区的暴动。这支军队由卡里阿德斯之子卡里阿斯和4名同僚指 挥。[2]他们首先抵达马其顿,发现先前派出的1000名士兵已攻克泰 米,正在围攻皮德那。 [46] [3]因此,他们参与了围攻,并且围攻了 一段时间。随后他们作出让步,勉强与柏第卡斯结成同盟。由于波提狄 亚形势所逼,也由于阿里斯特乌斯已经到达那里,雅典人不得不这样 做。 他们离开了马其顿,[4]来到卑罗亚,又从卑罗亚来到斯特瑞普 萨 [47] 。他们试图攻下斯特瑞普萨,但是没有成功,就由陆地上向波提 狄亚进军。他们有3000名公民重装步兵,还有同盟者的许多军队,以及 600名马其顿的骑兵,他们是腓力浦和波桑尼阿斯 [48] 的部下。和他们 一起行动的还有70艘舰船沿海岸航行。他们缓步前进,于第三天抵达吉 哥努斯,就在那里安营。

    62 这时,波提狄亚人和阿里斯特乌斯指挥下的伯罗奔尼撒人,在 地峡面对奥林苏斯的一边 [49] 扎营,他们在那里等待雅典人,并且在城 外设立了一个市场。 [50] [2]同盟者推举阿里斯特乌斯为全体步兵的 总司令,骑兵则由柏第卡斯指挥。柏第卡斯马上脱离了与雅典结成的同 盟,又回到了与波提狄亚人结成的同盟,他派伊奥劳斯作为他的代理将 军。[3]阿里斯特乌斯的计划是这样的:他自己的军队驻扎在地峡 上,等待雅典人的到来;卡尔基斯人、地峡以外的同盟军和柏第卡斯的 200名骑兵驻扎在奥林苏斯,当雅典军队进攻阿里斯特乌斯时就从其后 方发动进攻,使敌人腹背受敌。[4]这时,雅典将军卡里阿斯和他的 同僚派遣马其顿骑兵和少量盟军前往奥林苏斯,以防止敌人从那边增 援,雅典人自己拆掉营帐,向波提狄亚进军。[5]他们到达地峡后, 发现敌人正在准备作战,就排成队列向阿里斯特乌斯进攻,战斗随即开 始了。[6]阿里斯特乌斯和科林斯人及其他的精兵在一翼,他们击溃 了与之对阵的敌人,并且追赶了相当长一段距离。但是波提狄亚人和伯 罗奔尼撒人的军队则被雅典人击败,逃入他们的要塞。

    63 当阿里斯特乌斯从追击中回来的时候,他看到其他的军队都战 败了,是去奥林苏斯,还是去波提狄亚呢?他有些茫然不知所措。最 后,他决定把军队集中到一个尽可能小的地方,便跑步冲进波提狄亚城 内。他们冒着枪林箭雨,沿着通向海中的防波堤冲向城里,大多数士兵 安全地通过了,只损失了少数士兵。[2]奥林苏斯距波提狄亚约60斯 塔狄亚 [51] ,在那里看得见波提狄亚。战斗开始以后,波提狄亚升起了 信号 [52] ,驻扎在奥林苏斯的波提狄亚的援军想来增援,但他们受到马 其顿骑兵的阻击,只前进了很短的距离。由于雅典人很快取得胜利,信 号就降下来了,他们又退回奥林苏斯。马其顿的骑兵又和雅典人会师 了。因此,双方都没有骑兵参战。 [53] [3]战斗结束后,雅典人竖立 了一块胜利纪念碑,并且和波提狄亚人订立休战和约,归还了波提狄亚 阵亡者的尸体。 [54] 波提狄亚人和他们的同盟者有将近300人被杀死; 雅典公民阵亡150人,包括他们的将军卡里阿斯在内。 [55]

    64 雅典人在地峡一边的城墙的对面马上修筑了一条城墙,并且派 兵驻守。在帕列涅一边的城墙对面,则没有修筑要塞。 [56] 他们认为自 己还没有强大到可以立即在地峡上派一支驻防军,同时跨过地峡来到帕 列涅再建筑一条城墙;他们担心波提狄亚人和他们的同盟者利用他们兵 力分散的特点来攻击他们。[2]同时,国内的雅典人得知在帕列涅没 有建筑要塞的消息后不久,他们就派遣一支有1600名公民重装步兵的军 队,由阿索皮乌斯之子佛米奥担任指挥官。佛米奥率军抵达帕列涅之 后,把总部设在阿菲提斯,命令军队缓慢前进,大肆破坏,以此打击波 提狄亚。波提狄亚城内没有人出来迎战,他们就在帕列涅一边的城墙对 面修筑要塞。[3]这样,波提狄亚终于从两面被严密地封锁起来, [57] 而雅典的舰船又从海上切断了它所有的对外联系。

    65 阿里斯特乌斯看到波提狄亚四面被围,认为要解除包围是没有 希望了,除非有伯罗奔尼撒人前来援助,或者有其他奇迹出现。他劝说 所有的波提狄亚人,等待顺风,然后乘船逃走,城里只留500人,这样 城里的粮食可以支持得长久一些。他本人愿意留下守城。但他的意见没 有被采纳。于是他实施下一步行动,想在城外做对局势最有利的事。他 从波提狄亚乘船出来,避开雅典的海上封锁,成功突围。[2]他和卡 尔基斯人在一起,继续作战;尤其是在塞米列人的城市附近设下埋伏, 杀死许多塞米列人;他又和伯罗奔尼撒取得联系,设法从那里得到援 助。与此同时,在完全封锁波提狄亚之后,佛米奥用他的1600名军队蹂 躏卡尔基狄克和波提卡地区,攻陷了该地区的一些城镇。

    [1] 今日之亚得里亚海。 [2] 公元前435或前434年。 [3] 后来科基拉的寡头党人求庇,大概在同一神庙。参阅修昔底德,III. 75。 [4] 全希腊的宗教中心,位于中希腊的佛基斯境内,以其神谕所和阿波罗神庙闻名。神庙内殿是神谕所 所在地,有女祭司(皮提亚)宣示谶语,再由男祭司将其作为阿波罗的意旨加以解释。 [5] 公共节日聚会系指希腊四大竞技会(奥林匹亚竞技会、皮西亚竞技会、涅米亚竞技会、地峡竞技 会),这里无疑是指在科林斯举行的地峡竞技会。母邦的“特权”是指荣誉地位,殖民城邦向母邦呈献牺牲,派 遣代表参加科林斯的节日典礼,等等。—史译本注 [6] 按照希腊城邦的习惯,外人不能呈献牺牲,除非通过一个公民作为代表。祭神时,把作为牺牲的动 物前额上的毛剪一撮下来,交给科林斯的代表,投入火中。—史译本注 [7] 在科基拉有一个腓亚基亚国王阿尔金诺斯的神庙圣地。荷马史诗《奥德赛》(V. 34—35)中 说,“斯科里亚乃是神祇的近族,腓亚基亚人的地域”。希腊人认为这里的斯科里亚就是科基拉。 [8] 希腊币值单位。按希腊币制,1塔连特(Talent)= 60明那(Mina),1明那= 100德拉克玛 (Drachma),1德拉克玛= 6奥波尔(Obol)。古典时代希腊币制不一,如按阿提卡·优波亚制,1塔连特约合 25.86千克,而埃吉那制为37.80千克。希腊诸邦长期采用银本位制,到伯罗奔尼撒战争期间,金币逐渐流行, 金银比价大约为1:13/14。参阅R. B. Strassler, The Landmark Thucydides , Appendix J, pp. 620–622。 [9] 即没有人员的空船。从这里可以看到,科林斯似乎领导着若干城邦,是这个城邦同盟的盟主。 [10] 这大概是在威胁科林斯人,说他们有可能与雅典人结盟。 [11] 传令官(Herald),在修昔底德时代是希腊诸邦一个神圣庄严的职位,其行动受赫尔墨斯 (Hermes)之庇护,因其所持权杖而易于辨识。他们在战争期间,可以不受干扰地穿梭于敌对诸邦或军营之 间,传递消息,带回答复,例行公事。 [12] 公元前435年。 [13] 指安布拉基亚人、琉卡斯人(I. 26)。 [14] 昭译本译为“控制了伊奥尼亚海”。 [15] 谢译本第25页译为“夏季开始的时候”。 [16] 修氏按夏季和冬季来纪年,这是当时以及其后很长时期通行的纪年法。按照这种纪年法,“夏季”长 约8个月(3月至10月),“冬季”为4个月(11月至翌年2月)。参阅史译本,第1册,第258—259页。但是修氏 在V. 20则说每个季节为半年。 [17] 公元前435和前434年。 [18] 每天一个德拉克玛。 [19] 公元前433年。 [20] 指三十年休战和约(I. 115)。 [21] 指雅典帝国境内除雅典人以外的其他的人民。 [22] 参阅修昔底德,I. 33。 [23] 参阅修昔底德,I. 23,115。 [24] 由于航海技术的限制,古典时代以前的航海活动,通常都是出于安全考虑,不得不沿海岸航行的, 科基拉因此而居于有利地位。战舰通常靠海岸航行,极少像商船那样冒险进入公海。一些研究者就此作出解 释。参阅R. B. Strassler, The Landmark Thucydides , Appendix G, pp. 610 – 611。谢译本(第30页注)所谓“古代 的水手宁愿紧靠海岸航行,而不愿通过公海航行”的说法,值得怀疑。 [25] 科林斯人反复强调母邦与子邦之间存在某种从属关系,意指科基拉人是反叛者。 [26] 公元前440年萨摩斯人暴动,雅典军队经过9个月的围攻,取得了胜利。参阅修昔底德,I. 115— 117。 [27] 雅典从科林斯人那里租借了20条船。参阅希罗多德,Ⅵ. 89。 [28] 大概是指雅典人禁止麦加拉人进入雅典帝国境内的港口和雅典的市场的所谓“麦加拉法令”。参阅修 昔底德,I. 67,139,140,144。 [29] 即科基拉岛。参阅地图二。 [30] 克译本和谢译本皆把爱菲列所在地区称为爱利斯,昭译本译为爱利提斯,并指出是泰斯普罗提斯的 一部分。显然,昭译本是正确的。 [31] 即冲破敌人的阵线,以便向敌舰的侧面或船尾撞击。 [32] 关于雅典将领佛米奥就海军战术所作评述,参阅修昔底德,II. 89。 [33] 修昔底德没有把萨拉米斯海战计算在内,因为那次战役是希腊人与波斯人的战争。—史译本注 [34] 丧失战斗力的舰船上死者的尸体。 [35] 在古典时代的希腊,无论陆军还是海军,在对阵双方即将开战、提振士气或庆祝胜利之时,按照惯 例,都要咏唱“战歌”(paean )。在这里,唱罢战歌,理应马上投入战斗。 [36] 如果带上传令官的权标,就意味着他们承认双方已处于交战状态,科林斯人不愿意雅典人把他们当 作敌人。—史译本注 [37] 按希腊人的习俗,不征得敌人的同意而打捞死者的尸体,这表示他们保持住了他们的战场,因而可 以说他们是胜利者。—史译本注 [38] 科基拉人把这么多奴隶用于海军服役,这种情况极其罕见。参阅修昔底德,VII. 13;VIII. 15。 [39] 后来科林斯人实施这个计划,引起科基拉的党争和流血冲突。参阅修昔底德,III. 70。 [40] 在卡尔基狄克半岛。参阅地图一。 [41] 所谓纳贡的“同盟国”,实际是附属国,雅典和它们的关系本质上是统属关系而非同盟关系。 [42] 这似可证明母邦对子邦实施常规的行政管理,子邦并非完全独立于母邦。波提狄亚受科林斯和雅典 的双重管辖。 [43] 柏第卡斯是亚历山大的儿子。在波斯战争中,亚历山大是希腊人的朋友。马其顿分上马其顿和下马 其顿两个区域。柏第卡斯原先只居有下马其顿地区,后来他占领了他的兄弟腓力浦的领土上马其顿,现在成为 全马其顿之王。参阅霍恩布鲁尔,第1卷,第100—101页;修昔底德,II. 99。 [44] 雅典人称其帝国的爱琴海北部诸臣属国为“色雷斯各地”。色雷斯地区大都位于今日保加利亚境内。 [45] 古希腊文“ τά τελή των Λακεδαιμόνιων ”直译为“拉栖代梦的当权者”(the Lacedaemonian authorities)。 [46] 位于爱琴海西北角的泰尔迈湾(Thermaic Gulf)左岸。 [47] 该城市大概在米格多尼亚,泰米之北。具体地址尚有争议。 [48] 马其顿人,德达斯的兄弟。 [49] 即波提狄亚城北。 [50] 希腊的陆军和海军士兵通常用自己的钱去当地市场上购买食物,因而薪饷的及时足额发放显得特别 重要。对于一个城市而言,在方便的地点为外国军队设立一个市场,既可能是一种便利设施,也可以阻止这些 不速之客进入城内。 [51] 约合11千米。 [52] 这种信号不是作战的信号,而是要奥林苏斯的援军前来增援的信号。 [53] 雅典方面有600名马其顿骑兵(I. 61),波提狄亚方面有柏第卡斯所部200名骑兵(I. 62)。—史译 本注 [54] 在古希腊,战斗结束后,胜利者收敛本方阵亡者尸体,剥去敌方阵亡者的铠甲和衣服,竖立一座胜 利纪念碑;失败者则须签订一个停战和约,根据和约的条款规定收回其阵亡者尸体。他们以这样的方式表示对 死者的尊重,并且加以安葬。 [55] 修昔底德未提及雅典同盟者死亡的人数。 [56] 面向波提狄亚地峡一边所修的城墙,在该城之北;面向帕列涅的城墙,在该城之南,是后来的援军 修筑的。雅典人围城的策略是,在敌人城外再修城墙,将其包围起来。 [57] 雅典人似乎是这样包围波提狄亚的:先在其城北修筑了一条城墙,后来的援军又在其城南修筑一条 城墙,封锁了城市两侧的陆路通道;城市西部面临大海,用舰队加以封锁。

    第三章 拉栖代梦的伯罗奔尼撒同盟大会。 [1]

    66 雅典人和伯罗奔尼撒人都具备了控诉对方的前提条件。科林斯 人抱怨说,雅典人围攻它的殖民地波提狄亚,那里有科林斯的和伯罗奔 尼撒诸邦的公民。雅典人则向伯罗奔尼撒人提出控诉,说他们鼓动雅典 同盟的一个成员国,同时也是有义务向雅典纳贡的城市暴动;说他们来 到波提狄亚,站在波提狄亚人一边公开与雅典人开战。尽管如此,这场 战争 [2] 还是没有爆发,休战和约此时依然有效。因为到目前为止都是 科林斯一邦单独行动的。 [3]

    67 但是波提狄亚被围攻使科林斯人再也按捺不住了。科林斯有些 公民在波提狄亚城中,他们担心这个地方会被攻陷。他们马上邀约 [4] 诸盟邦前往拉栖代梦。在那里,科林斯人猛烈地抨击雅典人,说他们破 坏了休战和约,侵犯了伯罗奔尼撒人的权利。[2]埃吉那人站在他们 一边。他们害怕雅典人,因而没有正式派代表出席。但是他们暗地里积 极支持战争。他们声称,他们没有获得按条约所规定的独立。[3]拉 栖代梦人向所有他们认为要控诉雅典侵略行径的盟邦及其他城邦发出邀 请,之后召开例行的公民大会, [5] 请他们前来申诉。[4]许多来到会 场的代表提出各自的申诉理由。其中,麦加拉人历数受到不公正待遇的 情况,特别指出他们被排斥于雅典帝国 [6] 的所有港口以及雅典市场之 外,这是违背条约有关规定的。[5]在让前面的发言人对拉栖代梦人 加以煽动之后,科林斯人最后一个上来发言,大意如下:

    68 “拉栖代梦人啊!你们对自己的宪法和社会秩序的自信,使你们 在听取我们谴责其他强国时常常持某种怀疑态度。你们因此而显得沉 稳,也使你们在处理外交事务时显得孤陋寡闻。[2]过去我们一次又 一次地警告你们,说我们将受到雅典的祸害,但是你们从未核实过我们 说到的那些麻烦,反而疑心我们的动机,认为我们所说是为我们自身利 益所驱动。因此,你们不在我们受到损害之前召集这些同盟者前来,而 是拖延到我们已经受到损害的时候才召集。在这些同盟者当中,我们是 最有资格说话的,因为我们的委屈最大。我们要控诉雅典人的横蛮侵 略,控诉拉栖代梦人对我们熟视无睹。[3]假如雅典人对希腊的权益 的危害是在暗地里做的,因而使你们对有关事实不太清楚的话,那么, 我们的责任就是把这些事实展示在你们面前。事实上,用不着冗长的发 言,你们就能看到,雅典人已经奴役了我们当中的某些城邦,对另外一 些城邦特别是我们的同盟者也心怀叵测。 [7] 雅典人很早就全面地作准 备,只等待战争发生的那一刻。[4]不然的话,请问:他们通过欺诈 方式接收科基拉加入其同盟,控制科基拉并以武力攻击我们,意欲何 为?他们围攻波提狄亚意图何在?波提狄亚是对色雷斯诸邦采取军事行 动的最便利之地,而科基拉则可以为伯罗奔尼撒人提供一支很大的海上 力量。

    69 “你们应该对所有这一切负责。在波斯战争以后, [8] 是你们首先 允许雅典人为他们的城市筑墙设防; [9] 后来允许他们修筑长城的, [10] 还是你们。无论那时还是现在,你们总是在剥夺那些已被雅典奴役的城 邦的自由,同时也在剥夺那些至今还是你们的同盟者的自由。奴役一个 民族的罪魁祸首是那些能够解除奴役枷锁者坐视不管,因为允许他们这 样做的强国同样有办法阻止他们这样做,尤其是这样一个强国是渴望享 有‘希腊解放者’的声誉的邦国。 [11] 我们终于被召集在一起。[2]我们 集中起来实属不易,而现在我们的目的也不明确。我们不应当还讨论我 们所犯过的那些错误,而应当考虑采取何种手段抵御侵略的问题。他们 是拥有成熟计划的侵略者,来对付我们这些犹豫不决者,虽然目前尚未 威胁到我们,但他们已经付诸行动了。[3]我们知道雅典人的侵略途 径,知道他们是如何狡猾地蚕食邻邦的。他们认为你们麻痹大意,对他 们的行动毫无察觉。但是,一旦他们知道你们看见他们的所作所为,而 又不加以干涉,他们就会肆无忌惮地进行下去的。 [4]“拉栖代梦人啊,在所有希腊人之中,唯独你们静观事变,不 采取行动;你们的防御不是靠你们采取什么行动,而是靠你们仿佛要采 取什么行动;你们等待,直到敌人的兵力双倍于从前, [12] 而不是在其 早期阶段就予以摧毁。[5]可是,世人常说,你们是可以信赖的,但 是我们担心这种说法名不副实。咱们大家都知道,波斯人有时间从大地 的远端发兵来到伯罗奔尼撒,你们却还没有找到合适的名义出兵迎击他 们。但他们是一个来自远方的敌人。而雅典无论如何都是一个近邻,可 是你们对它还是完全忽略;对于雅典,你们宁愿被动挨打,也不主动出 击,直等到雅典的势力比原来大有增长之时,才冒险与之斗争。你们也 知道,波斯人侵略失败的原因主要是由于他们自己的失误,如果说我们 现在的敌人雅典一次又一次地企图消灭我们而未能得逞,我们觉得这是 由于他们的失策,而不是由于你们的保护。[6]的确,以前有些城邦 因指望你们的保护而遭到毁灭,他们的信念使他们忽视了备战。 [13] 我 们希望你们当中任何人都会把我们的发言当作诤言,而不是当作敌意的 言辞。人们对犯错误的朋友进诤言,而对于已经侵害他们的敌人则是严 厉谴责的。

    70 “此外,我们认为,我们和任何人一样,有权利指出我们邻邦所 犯的错误,尤其是在我们熟知两个民族 [14] 的性格大不相同的时候。照 我们看来,你们几乎没有觉察到这种差异;从来没有思考过,将来与你 们交战的雅典人是怎样的一个对手,他们和你们是多么不同,多么截然 不同啊![2]雅典人热衷于革新,其特点是敏于构想,并立即付诸实 施。而你们的天性就是要维持现状,总是缺乏革新意识,在被迫行动时 也从未取得过足够大的成就。[3]其次,雅典人的冒险之举超过了他 们的实力,他们的胆量超出了他们的判断,危难之中他们仍能保持自 信。而你们的习惯是想做的总是少于你们的实力所能做到的;你们总是 不相信自己的判断,哪怕这个判断已经得到你们的认可;你们还总是认 为危险是不可解除的。[4]而且,他们的果断和你们的迟疑形成对 照;他们总是在海外,你们总是在家乡。因为他们希望远离家乡而扩大 其所得,而你们认为任何迁动会使你们既得的东西发生危险。[5]他 们在胜利时马上乘胜前进,在受到挫折时也决不退缩;[6]他们认为 他们要为城邦的事业慷慨捐躯;他们注意培养自己的智慧以为城邦尽心 效力。[7]对他们而言,未能实现的计划就是无可争议的失败,一次 冒险事业的成功只是他们即将获得成功中的一小部分,但如果他们失败 了,就马上又充满新的希望。因为只要他们能够做到,想得到一样东西 就要得到它,按照他们的方法迅速采取行动。[8]因此,他们一生都 是在艰难险阻中度过的,他们忙于收获,却没有机会享受;履行他们的 义务是他们唯一的休假时间;对他们而言,和平而安宁的生活比之艰苦 的攻城拔寨是更大的不幸。[9]一言以蔽之,雅典人的性格是自己生 来就不享受和平安宁的生活,也不让别人过上和平安宁的生活。

    71 “这就是你们的对手雅典人的性格。但是,拉栖代梦人啊,你们 还是迟疑不决。你们难道看不出,长久的和平只能与这样的城邦维持: 他们毫不迟疑地公正使用武力,他们决不服从于非正义。相反,你们的 正当行为的观念,是建立在这样的原则基础上的:如果你们不去伤害别 人,你们就不必使整个邦国冒险来防止别人对你们的伤害。[2]如果 现在有一个和你们一样的邻邦,以你们这样的政策也是很难取得成功 的;就现有情况而言,正如我们刚刚指出的,你们的习惯与他们的相比 是已经过时了的。[3]在技艺上的法则和政治上的一样,新陈代谢是 不可逆转的。对于一个没有纷争的公民集体来说,固定不变的习惯尽管 是最好的,但连续不断的行动的需要必定是与方法策略的不断改进相伴 随的。因此,雅典所拥有的极为丰富的经验,使他们在革新之路上把你 们远远地抛在了后面。 [4]“在这里,至少让你们的迟疑不决到此为止吧。目前,你们按 你们所允诺的,援助你们的同盟者,特别是波提狄亚;你们应该马上进 军阿提卡,不要让朋友和同族牺牲在他们死敌的手中,不要让我们其他 盟邦不得不在失望中加入其他同盟。[5]果真走到这一步,无论是接 受我们宣誓的诸神,还是为他们作证的人们,都不会谴责我们。破坏盟 约的不是那些被抛弃在危难之中而不得不去寻求新救助的人民,而是那 些未给予其同盟成员援助的邦国。[6]但是,如果你们采取行动,我 们将站在你们一边;如果这样我们还变心的话,那是违背天理的,我们 再也找不到如此意气相投的同盟者了。[7]正是由于这些缘故,请你 们作出正确的抉择;努力使你们领导下的伯罗奔尼撒人的声势,不能弱 于你们祖先所拥有的。”

    72 这是科林斯人的发言。这时碰巧有雅典的使者在拉栖代梦,他 们是因为别的事务到那里的。他们听到发言后,认为他们应当有机会在 拉栖代梦人面前发言。雅典人的目的并不是就各邦对雅典人的控诉作辩 解,而是作一个综合性的阐述,说明这样的问题不要马上议决,而是要 作进一步的考虑。他们还想让与会者注意雅典人的强大实力,提醒年长 者重温过去的回忆,告诉年轻人他们所不知道的事情。他们希望他们的 发言能使拉栖代梦人宁可维持现状而不赞同战争。[2]于是,他们走 到拉栖代梦人面前说,如果没有人反对的话,他们也很想在公民大会上 发言。他们的请求得到准许。雅典人走上前来,发言如下:

    73 “我们这个使团到这里的目的不是来和你们的同盟者争辩的,而 是来办理我们的城邦委派给我们的事务的。但是我们听到有人激烈地攻 击我们,便前来表明立场。我们的目的不是就各邦的控诉作答辩(事实 上,你们不是法官,无权听取我们或他们的申辩),而是希望你们在如 此重大的问题上,不要太容易听信你们的同盟者的劝告,而采取错误的 方针。我们还希望通过回顾对我们的控诉,使你们知道我们所获得的一 切是名正言顺的,我们的城邦是值得尊重的。[2]我们不必涉及很久 以前的事情,因为那要求助于口耳相传,而不是我们听众的亲身体验。 但是,尽管我们对经常提到的波斯战争这个题目已经感到厌倦了,我们 还是要提到波斯战争和当代的历史。在波斯战争期间,为了获得某些利 益,我们冒着巨大的危险;你们已经分享了这坚实的成果中应有的一 份;对于由于光荣而带给我们的利益,你们一点儿也别想剥夺我们的。 [3]我们说这些事情的目的不是想消除你们对我们的敌意,而是想向 你们证明,如果你们一意孤行就将同雅典发生战争,证明你们的对手是 怎样的一个城邦![4]你们知道,我们在马拉松前线单独迎击异族 人; [15] 他们第二次来犯,当我们在陆地上不能抵御他们的时候,我们 就登上舰船,和我们全体人民一起,参加了在萨拉米斯的战役。 [16] 就 是这次战役打退了波斯人,使他们不能逐一征服伯罗奔尼撒诸邦,使他 们不能以其舰队来袭掠这些城邦。波斯人当时的舰队规模之大,使你们 这些城邦的任何联合自卫都是不可能的。[5]关于这一点,最好的证 据是来自于侵略者自己。他们在海战失败后,意识到其军队元气大伤, 于是以最快的速度撤走了其大部分的军队。

    74 “这就是那场战争的结果。它清楚地证明,决定希腊命运的是海 军。对于这个结果,我们有三个非常有益的贡献:我们提供了最多的舰 船,我们派出了最有才智的指挥官,我们表现了最忠诚的爱国精神。在 全部400艘战舰中,有将近三分之二是我们提供的。 [17] 指挥官是泰米 斯托克利,在海峡的战役 [18] 中,他是主要的指挥官。他是我们事业的 公认的救星。事实上,你们自己也因为这一点在接待泰米斯托克利时, 比接待任何外宾都要尊敬些。 [19] [2]我们所表现出来的大无畏的爱 国精神是举世无双的。我们的后方没有援军,我们的前方各邦都被奴役 了;我们放弃了自己的城市,牺牲了自己的财产(而没有抛弃我们其余 的同盟者,也没有遣散他们,使他们无法为我们服役),我们有一种精 神,登上船舰,迎接危险;对于你们不及早前来援助,我们毫无怨言。 [20] [3]因此,我们认为,我们所付出的,丝毫不少于我们所得到的。 你们所离开的城市都是你们的家园,你们有希望重新享有它们,你们作 战的目的正是为了保全它们。你们出兵是因为你们为自己担心,而不是 为我们担心。无论如何,一直到我们所有的一切都丧失了的时候,你们 才出现。我们给自己留下的城市不再是一个城市, [21] 我们冒着生命危 险,为的是一个仅仅在虚无缥缈的希望中存在的城市。因此,我们不但 拯救了我们自己,还全面参与了拯救你们。但是,如果我们仿效其他诸 邦,害怕丧失自己的领土,在你们到达之前就归服波斯, [22] 或者,如 果我们担心城邦的毁灭造成我们精神崩溃,从而使我们没有勇气登上舰 船,那么,你们的那点海上力量也就不必与波斯人进行一次海战了,波 斯人的目标就会兵不血刃地实现了。

    75 “拉栖代梦人啊,无论是我们在危难时刻所表现出的爱国主义, 还是我们在谋划中所展示出的智慧,无疑地,希腊人都不至于对我们极 不欢迎,至少不应对我们的帝国如此。[2]那个帝国不是我们以暴力 手段获得的,而是由于你们不愿意和异族人作战到底,同盟者到我们这 里来,自愿请求我们为他们的领导者。[3]随后的发展首先迫使我们 扩充我们的帝国,达到现今的程度。我们的主要动机是害怕波斯人,尽 管随后荣誉和利益接踵而至。[4]最后,当几乎所有的人都嫉恨我们 之时,当一些同盟者暴动并已被镇压之时,当你们不再成为我们昔日的 朋友之时,当我们成为被怀疑的对象而招致反感之时,尤其是当所有那 些叛离我们的同盟者投入你们的怀抱之时,放弃我们的帝国就不再安全 了。[5]当一个民族被卷入很大危险中去的时候,谁也不能责备他, 说他唯利是图。

    76 “无论如何,你们拉栖代梦人,你们在伯罗奔尼撒行使领导权之 时,安排各邦的事务以符合你们的利益。 [23] 假如在我们现在所谈到的 年代 [24] 中,你们坚持作战到底,并且在行使领导权的过程中招致怨恨 的话,我们相信,你们也同样会被激怒的,你们也被迫在建立一个强有 力的政府和使你们自己陷于危险这二者之间作出抉择。[2]接下去我 们的所作所为不足为怪,与人类的普遍惯例也没有相悖之处;如果我们 确实接受了一个奉献给我们的帝国,而且不肯放弃它的话,那是由于三 个最强有力的动机—恐惧、荣誉和利益—的驱使所致。我们也不是这个 范例的首创者。因为弱者应当臣服于强者,这一直就是一条普遍的法 则。同时,我们相信我们自己居于这种地位是受之无愧的,而且迄今为 止你们也是这样认为的。当你们考虑到利益的时候,才开始高喊‘正 义’的口号—当人们有机会以武力获取更多利益之时,没有人会因为这 种考虑而放弃其雄心的。[3]那些没有超乎人性而拒绝行使统治权的 人,比那些为形势所迫而不得不注意正义的人更值得称赞。 [25] [4]“我们认为,如果任何人处于我们的地位,我们的中庸之道就 会得到最好的证明。然而,我们的公正却使我们遭到责难而不是赢得赞 扬,这是极不合理的。

    77 “当我们中止行使按盟约规定与我们的同盟者之间案件的审判 权,并且把这些案件提交到雅典由公正的法律加以审判的时候, [26] 人 们说我们过于好讼。[2]没有人去仔细查问,为什么其他那些对待其 臣民不及我们温和的帝国没有受到这种责难。其秘密就在于他们使用武 力,而不必使用法律。[3]但是,我们的属邦习惯于把我们作为平等 者,因此,一旦法庭的判决或者是帝国所赋予我们的权力与他们的正当 意见相抵触时,他们的任何一点挫折都会使他们不再感激我们允许他们 保有大部分的利益了。某个局部的利益的损失都会使他们大为恼怒,但 如果我们自始就把法律抛在一边,大张旗鼓地满足我们的贪欲,他们反 而没有那么多的怒气。如果我们是这样做的,他们就不会争辩,只说弱 者必须服从于强者了。[4]看来,法律的失误比之暴力的虐待,似乎 使人们更觉得愤慨。在第一种情况下,他们觉得是受了平辈的打击;在 第二种情况下,他们认为是被一个居于优势者所强迫。[5]无论如 何,在波斯人统治的时候,他们千方百计地忍受更大的虐待。但是他们 认为我们的统治是严酷的,这是意料之中的事,因为目前被征服者经常 承受着沉重的负担。至少这一点是确定无疑的。[6]假如你们推翻了 我们,取代我们的地位的话,你们就会马上失去人们因为害怕我们而对 你们所表示的好感,如果你们现在的政策还是完全照搬你们领导希腊人 反对波斯的短时期内的政策的话。 [27] 在你们的法规和制度规范之下的 国内生活同别国的不相融洽,而且,你们的公民在国外既不遵守你们自 己的法规,也不遵守那些为其他希腊人所公认的法规。

    78 “由于事关重大,你们要多花些时间来构想你们的决议,不要为 别人的意见和别人的怨言所左右而把你们自己拖入险境之中;在你们投 入战争之前,要想一想偶然事件在战争中的巨大影响。[2]随着战事 的延续,它就基本上变成了偶然的事件,这些偶然的事件不论是你们还 是我们都是不能避免的,我们在黑暗中冒险。[3]当人们开始从事战 争的时候,他们的共同错误是开错了头,首先是行动,等灾难临头之 时,再来讨论。[4]但是,我们迄今还完全没有误入歧途。我们知 道,你们也是如此。因此,我们奉劝你们,当我们双方都还可以自由地 作出正确选择之时,你们不要破坏和约,不要背弃你们的誓言;让我们 根据条约上的规定,以仲裁的方式解决我们之间的争端。如果你们不这 样做,那么我们有那些听见你们宣誓的诸神为证。如果你们要发动战争 的话,你们在哪条战线上出现,我们就将在哪里实施反击。”

    79 以上是雅典人的发言。拉栖代梦人在听到他们同盟者对雅典人 的控诉和雅典人的答辩之后,他们请所有的外人退场,他们自己来讨论 当前的问题。[2]他们大多数人都倾向于得出同一个结论:雅典人已 公开实施侵略,必须立即宣战。但是以睿智而温和著称的斯巴达国王阿 奇达姆斯走上前来,发言如下:

    80 “拉栖代梦人啊,在我的一生中,我曾经历过许多战争。我知 道,你们当中的那些我的同龄人,不会因为缺乏经验,而相信战争是一 桩有益的或安全的事业而陷于渴望战争的不幸之中。[2]你们现在所 讨论的战争,如果你们仔细加以考虑的话,它将是规模最大的战争之 一。[3]当我们和伯罗奔尼撒人或邻邦 [28] 作战的时候,双方的军事 力量是同一性质的, [29] 我们能够迅速开赴任何地点。但是,和雅典人 作战就不同了。他们住在离我们相当远的地方,他们还拥有异常丰富的 海上经验,在所有其他方面都有最好的准备:无论个人还是城邦都是富 足的,他们有舰船、骑兵和重装步兵,人口超过希腊其他任何一个地 方,同时还有许多纳贡的同盟者 [30] 。我们凭借什么敢于贸然发动这样 一场战争呢?我们依靠什么毫无准备地投入战争呢?[4]是依靠我们 的海军吗?我们的海军处于劣势。如果我们着力建设海军以达到与之匹 敌的程度,那又需要时日。是依靠我们的金钱吗?在这方面我们更是极 度匮乏的。我们没有公款,也没准备从私人那里得到捐助。 [31]

    81 “使我们感觉占据优势的也许是在重装步兵和人口方面,这将使 我们能够侵入并蹂躏其国土。[2]但是,雅典人在帝国境内其他地方 还拥有大量的土地, [32] 能够从海上输入一切所需。[3]另外,如果 我们想使其同盟者背叛雅典,我们必须建立一支舰队去支持他们,因为 他们绝大多数都是岛上居民。[4]我们将怎样进行这样一场战争呢? 除非我们能在海上击败他们,或者剥夺维持他们海军支出的那些收入, 否则我们所面临的简直就是一场灾难。[5]到那时候,尤其是当人们 认为争端是由我们挑起的时候,我们甚至无法求得一个体面的和约。 [6]我们千万不要因这样一个不祥的希望而得意扬扬,以为只要我们 对他们的领土加以破坏,战争就会很快结束。我所担心的是我们把这场 战争作为遗产留给我们的子孙。雅典人的勇气使他们不可能变成他们的 土地的奴隶,雅典人的经验使他们不可能被战争所吓倒。 [33]

    82 “我并不是要求你们对他们侵害你们的同盟者的行为听之任之, 对他们的阴谋诡计视而不见,我是建议你们不要马上开战,而是派遣使 者向他们提出口头的抗议;我们不必向他们暗示我们是倾向于战争,还 是倾向于妥协。同时,我们要利用空隙抓紧备战。我们的做法是:首 先,争取新的同盟者。不论他们是希腊人还是异族人,只要能使我们的 海上力量和财政力量有所增强—我主张从希腊人或异族人那里寻求支 持,因为根据自我保护的法则,所有像我们这样的为雅典人诡计所害 者,都是不应当受到责难的。其次,开发我们国内的资源。[2]如果 他们听从我们使者的劝说,那自然更好;如若不然,再过两三年,我们 的地位大大加强,我们就可以在我们认为合适的时候来打击他们了。 [3]也许到那时他们看到我们备战的情况与我们所说的话完全一致的 时候,他们将倾向于作出让步,因为他们的土地未遭到破坏,他们在进 行磋商之时,会考虑到他们仍保留着有利条件,没有遭到破坏。[4] 因为可以把他们的土地看作你们手中的抵押物,土地耕种得愈好,抵押 物的价值愈高。你们应当尽可能长期地维持原状,不要使他们陷于绝 望,在那种情况下,他们将更难以对付。[5]如果在我们尚未有所准 备的时候,因我们的同盟者的抱怨就仓促出击,去蹂躏他们的土地的 话,要注意不要给伯罗奔尼撒带来更多的耻辱和更大的困难。[6]至 于这些抱怨者,不管他们是代表城邦还是代表个人,他们的主张也许是 可以调整的。但是,当整个同盟为着局部的利益而宣战,而战争的进展 又是无法预测的时候,想求得一个令人满意的结局可不是一件容易的 事。

    83 “你们不要以为众多结盟的城邦迟疑观望,不去进攻单独一个城 邦就是怯懦的表现。[2]雅典人也有和我们一样多的同盟者,而且是 缴纳贡金的同盟者。在战争中,需要金钱甚于需要军备,因为只有金钱 才能使军备产生效力。在一个陆地强国和海上强国作战的时候,情况尤 其如此。[3]让我们首先清点一下我们的金钱,然后我们就不会被同 盟者的言辞所迷惑了。无论战争后果是好是坏,我们将来对战争都要担 负最大的责任,因而我们也应当平静地探讨那些不可忽视的后果。

    84 “至于迟缓和慎重—这是别人指责我们最多的—你们不必因此而 羞恼。如果我们在没有准备的情况下开战,那么,我们就会匆匆开战而 迟迟难以结束战争,而且,我们的城邦自古以来就是自由之邦,著名之 邦。[2]他们所批评我们的那些品质,其实那不过是一种聪明的慎 重。正是由于我们具备这种品质,因而只有我们在成功的时候不自负, 在遭遇不幸的时候不气馁;当别人以花言巧语来劝说我们走向我们认为 是不当的危险中的时候,我们是不会受其迷惑的;当别人想用恶言来激 怒我们的时候,我们更不会失去自信而听从他们的意见。[3]我们既 尚武又贤明,这是我们的秩序感使然。我们尚武,因为自制是以自尊为 主要内容的,而自尊又是以勇敢为主要内容的。我们贤明,因为我们文 化程度不高,不会鄙视法纪,我们严格自制,不会恣意妄为; [34] 我们 接受军训,不懂得那些无用的技巧 [35] —例如,他们知道对敌人的图谋 在理论上作出一种貌似有理的批评,但是却不能在实际交战中取胜—我 们所受的教育是要考虑到敌人的思想方法和我们自己的想法很相似,变 幻无常的偶然事件是难以预测的。[4]实际上,我们为反击敌人所作 的准备总是以敌人计划周密为前提的。的确,正确的方针应当寄希望于 我们自己的扎扎实实的备战,而不应当指望敌人犯错误。我们不应当相 信人与人之间存在着很大的差别, [36] 而应当相信一个人的优秀品质是 在最严酷的考验中培养起来的。

    85 “这些习惯是我们的祖先遗留给我们的,保持这些习惯总是使我 们受益,因而不必摈弃这些习惯。我们不必在一天之内匆忙通过决议, 它将深深地影响到许多人的生活、许多财富、许多城邦和它们的荣誉, 我们必须冷静地作出决定。强大的实力使我们能够做到这一点。[2] 对于雅典人,可以派遣使者到那里去,就波提狄亚事件,就你们的同盟 者所抱怨他们受到祸害的其他事件进行谈判,特别是因为雅典人有意把 它们提交仲裁。 [37] 把一位主动提交仲裁的人当作罪犯加以起诉,这是 法律所不允许的。与此同时,你们不可放松备战。这个决议对于你们自 己将是一个最有利的决议,对于你们的敌人将是一个最可怕的决议。” [3]以上是阿奇达姆斯的发言。最后走上前来的是时任的监察官 [38] 之一斯森涅莱达斯。他向拉栖代梦人作了如下发言:

    86 “雅典人所发表的这篇冗长的发言,我弄不懂。虽然他们说了许 多赞扬自己的话,但是他们并未否认他们侵害我们的同盟者和伯罗奔尼 撒的事实。虽然说他们过去在抗击波斯人时表现优异,但是现在对我们 就很恶劣。他们过去是好的,现在却变坏了,对于这类人应当加倍惩 罚。[2]同时,我们在过去和现在都是一样的。如果我们是贤明的, 就不应当对于别人侵害我们的同盟者的行为坐视不管,不应当把今天的 援助受侵害的同盟者的责任推延到明天。[3]别人有很多金钱、很多 舰船和很多骑兵, [39] 但是我们有很多忠实的同盟者,他们决不会叛离 我们而投靠雅典人。这不是可以用法律诉讼或口舌之争来解决的问题, 因为我们所受到的伤害绝不是言辞方面的,我们应当给予同盟者迅速而 强有力的援助。[4]我们不应当让别人批评我们在受到侵害时还在讨 论,这种长时间的讨论对于那些图谋发动侵略的人是有利的。[5]因 此,拉栖代梦人啊,就战争进行表决吧!这是斯巴达荣誉的需要!不要 让雅典的势力继续壮大了!不要使我们的同盟者陷于毁灭!诸神保佑, 让我们前去迎击侵略者吧!”

    87 监察官斯森涅莱达斯通过上述发言,亲自把问题提交给拉栖代 梦人的公民大会。[2]他说,他辨别不出哪一方的呼喊声更大(他们 的表决方式是根据呼喊声音大小而不是得票多少)。其实,这是因为他 希望他们自由地表述他们的意见,从而激发他们对战争的热情。因此, 他说:“拉栖代梦人啊,你们当中所有那些认为和约已被破坏、雅典人 是罪魁祸首的人,起来,站在这一边。”他又指着一块地方说,“所有持 相反意见的,站在那边去。”[3]于是,他们站起来分为两部分,认为 和约已被破坏的人占绝大多数。 [4]他们再招呼同盟者的代表回到会场,告诉他们说,拉栖代梦 人的意见是,雅典人已犯下侵略罪行,希望召集所有同盟者来就此投票 表决。 [40] 这样,如果他们支持开战,他们就可以在共同议决的基础上 进行战争。[5]各邦代表完成了他们的使命之后,就马上回国了。稍 后,雅典使者完成其使命后也回国了。拉栖代梦人的公民大会议决和约 已遭到破坏。[6]此事发生在“三十年和约”签订后的第14年 [41] ,那 个和约是在优波亚事件 [42] 之后签订的。

    88 拉栖代梦人之所以认定和约已被破坏,并且必须宣战,不是因 为他们的同盟者说服了他们,而是因为他们害怕雅典的势力日益增长, 他们看到希腊大部分地区已经臣属于雅典人了。

    [1] R. 克劳利将这一章的主题定为“拉栖代梦的伯罗奔尼撒同盟大会”似乎有些欠妥。因为修昔底德说得 很清楚,这是一次例行的公民大会,只不过邀请一些同盟者发言,表决时所有同盟者的代表须退出会场(I. 79,87)。近代学者称历史上的“拉栖代梦人及其同盟者”为“伯罗奔尼撒同盟”,因而同盟大会应当是由各盟邦 代表参加讨论和表决的大会。德·圣克洛阿(De St. Croix)还特别强调,它绝不是一次同盟大会,而是一次斯 巴达的公民大会。参阅S. 霍恩布鲁尔,第1卷,第108页;修昔底德,I. 118—119。 [2] 即伯罗奔尼撒战争。参阅S. 霍恩布鲁尔,第1卷,第107页。 [3] 即独立于伯罗奔尼撒同盟之外的行动。参阅S. 霍恩布鲁尔,第1卷,第107页。 [4] 不少英译者将古希腊文“ παρεκάλουν ”译为“summon”(号召、召集),似有不妥,因为科林斯虽然是 伯罗奔尼撒同盟的重要成员国,但并非盟主,没有资格召集同盟大会。因此,霍氏将其译为“邀约”(they invited)似乎更为恰当。参阅S. 霍恩布鲁尔,第1卷,第108页。 [5] 谢译本(第47页)译为(伯罗奔尼撒)“同盟代表大会常会”。 [6] 这是修昔底德在其著作中首次使用“雅典帝国”( ἡ Ἀθηναίων ἀρχή )的概念。迄今为止,国际学术界 尽管对“雅典帝国”历史内容的认识不尽一致,但一般认为它不同于雅典同盟。有关讨论参阅徐松岩:《关于雅 典同盟的几个问题》《论雅典帝国》,分别见《西南师范大学学报》(社会科学版),1993年第3期、1999年 第1期。参阅S. 霍恩布鲁尔、A. 斯鲍福斯主编:《牛津古典辞书》,第441—442页。 [7] 尤其是指埃吉那人,其他情况指麦加拉人和波提狄亚人。—史译本注 [8] 包括修昔底德在内的希腊作家都认为波斯战争在公元前479年即已结束。 [9] 参阅修昔底德,I. 89—92。 [10] 参阅修昔底德,I. 107。参阅地图三。雅典长城或译长墙(the long walls),有三条,北城墙和中城 墙由雅典到法勒伦,南城墙由雅典到比雷埃夫斯,每条长约7千米。按雅典法律规定,青年公民18至20岁不能 出城作战,他们由城邦发一支枪,在长城上巡逻。 [11] 参阅修昔底德,I. 18;II. 8;VIII. 46。 [12] 指雅典海军因科基拉的入盟而实力大增。 [13] 大概是暗指塔索斯人(I. 101)和优波亚人(I. 114),他们指望得到保护而适得其反。 [14] 雅典人属伊奥尼亚族,斯巴达人属多利斯族,这是古希腊两个“小民族”。关于小民族,参阅恩格 斯:《家庭、私有制和国家的起源》,人民出版社1999年版,第107—111页。 [15] 指公元前490年的马拉松战役。参阅希罗多德,VI. 107—117。修氏在前面未将马拉松战役列入波 斯战争。 [16] 公元前480年萨拉米斯海战。参阅希罗多德,VIII. 41—108。 [17] 据希罗多德(VIII. 43—48)记载,希腊联军共有战船378艘(他实际列举366艘),其中雅典独自 提供180艘,另有20艘借给卡尔基斯人。雅典使者所说的数字有些夸大。 [18] 指萨拉米斯海战,交战具体地点参见徐松岩译注:希罗多德《历史》,地图八。 [19] 参阅希罗多德,VIII. 124;普鲁塔克:《传记集·泰米斯托克利传》,XVII. 3。 [20] 雅典使者、长跑能手斐迪皮德斯(Phidippides)前往斯巴达求援时,斯巴达人以未到月圆军队不能 出国境为由,拒绝立即出兵相助。参阅希罗多德,VI. 105—106。 [21] 据希罗多德(VIII. 61)记载,阿代曼图斯嘲笑泰米斯托克利是一个没有城邦、没有领土的人,后 者回答说:只要他麾下的200艘战舰满载战士,他就拥有城邦,拥有领土。在希腊人的心目中,城邦是自由公 民的集体。因此,当雅典人悉数撤离阿提卡之后,雅典城也就不能成为雅典城邦所在地了。 [22] 大概是指许多城邦在波斯人第二次入侵之前已把“土和水”献给波斯人。参阅希罗多德,VII. 32, 131—133。 [23] 即在各邦扶持贵族势力,建立寡头政治。参阅修昔底德,I. 19。 [24] 指波斯战争时期。 [25] 意即雅典人对同盟者的所作所为符合人性,他们比拉栖代梦人更值得称赞。雅典人在为自己辩解 时,常常使用类似的说法。 [26] 公元前466年,开俄斯人首先承诺凡涉及与雅典关系的案件,一律交由雅典民众法庭审理,其国内 的刑事案件,不经雅典人同意,不得判处任何人死刑。后来其他同盟国也都如此。这实际是雅典干涉同盟国内 政、剥夺其部分主权的行为,是同盟国转变为附属国的重要内容之一。参阅伪色诺芬:《雅典政制》 (Pseudo-Xenophon, The Constitution of the Athenians ),II. 16—18。 [27] 大概是指波桑尼阿斯私通波斯,想做全希腊的统治者。 [28] “邻邦”可能是指伯罗奔尼撒半岛上尚未加入伯罗奔尼撒同盟的城邦,如阿尔哥斯等。 [29] 即都是陆军而不是海军。 [30] 这些纳贡的同盟者实际上都是处于附属地位的城邦(属邦),不是独立的城邦。 [31] 伯里克利也曾提到伯罗奔尼撒人的财政困难(I. 142)。 [32] 这表明,随着雅典帝国的形成,雅典的版图已大大超出阿提卡半岛的地理范围。 [33] 参阅谢译本,第58页。 [34] 参阅谢译本,第60页。 [35] 讥讽雅典重视公民的文化教育(如雄辩术)。 [36] 他们不同意科林斯人对雅典人略显夸张的描述(I. 70)。 [37] 参阅修昔底德,I. 78。 [38] 拉栖代梦国家的监察官(Ephors)大概起源于部落首领。在长期的历史进程中,其人数和职权也有 所变化。古典时代共有5人,一年一任,从贵族中遴选,负责审理国王的不法行为,主持公民大会,监督青年 的军事训练,是斯巴达国家的最重要官职之一。参阅R. B. Strassler, The Landmark Thucydides , Appendix C, p. 590;祝宏俊:《斯巴达的监察官》,《历史研究》,2005年第5期。 [39] 参阅修昔底德,I. 80 —81。 [40] 这再次证明这次会议不是同盟大会,而是有盟国的代表参加的拉栖代梦人的公民大会。 [41] “三十年和约”是在公元前446/前445年签订的,签订后的第14年应为公元前432/前431年。 [42] 参阅修昔底德,I. 114 — 115。

    第四章 从波斯战争结束到伯罗奔尼撒战争爆发。 [1] 从霸国发展到帝国。

    89 以下将追述雅典是怎样获得如此强大的势力的。[2]波斯人在 海上和陆地上被希腊人打败 [2] 之后,从欧罗巴撤兵回国,他们当中那 些乘船逃往米卡列的,又被歼灭了。随后,在米卡列指挥作战的拉栖代 梦人的国王列奥提基德斯也和来自伯罗奔尼撒的同盟者一同回国了。但 是,雅典人和新近叛离了波斯国王的伊奥尼亚和赫勒斯滂地区的同盟者 [3] 没有回国,他们在围攻塞斯托斯,当时塞斯托斯还控制在波斯人手 中。冬季过后,波斯人撤离塞斯托斯,他们就占领了那个地方。随后他 们从赫勒斯滂航行出来,返回各自的城邦了。 [3]与此同时,在波斯人从雅典领土上撤离之后,雅典人民立即 着手从他们所安置的地方 [4] 接回他们的子女和妻子,取回他们存放在 那些地方的财产, [5] 并准备重建他们的城市和城墙。因为四周的城墙 只有一小部分被保存下来,大多数房屋变为废墟,只有少数曾被波斯显 贵作为寓所的房屋还保存着。 [6] (见图2) 图2 阿提卡和雅典

    90 拉栖代梦人得知雅典人要做这些事,就派遣一个使团来到雅 典。拉栖代梦人不愿意看到雅典或任何其他城邦建筑城墙,尽管主要地 还是由于受到他们的同盟者的怂恿。这些同盟者看到近来雅典海上势力 的增强,以及雅典人在与波斯人交战中所展示的英勇气概,因而感到恐 慌了。[2]使者们建议,不但雅典不要修筑城墙,而且雅典人还要和 他们一起去摧毁伯罗奔尼撒诸邦以外所有现存的城墙。他们提出这个建 议时,隐藏了他们的真正用意,包括对雅典的疑惧。他们强调,如果波 斯人第三次来犯,他们就不会拥有像现在底比斯这样的强固据点,以为 其进军的根据地; [7] 而无论进攻还是退守,伯罗奔尼撒都完全可以成 为一个根据地。 [3]听了拉栖代梦人的建议后,雅典人依照泰米斯托克利的主 张,答复说,他们将立即派遣一个使团去斯巴达讨论这个问题。泰米斯 托克利告诉雅典人说,以最快的速度派他到拉栖代梦去,但是不要一选 出使团其他成员就马上派出去,而要等到他们建筑城墙达到相当高度能 够防御的时候,再派他们出去。同时,雅典全民出动,雅典人以及他们 的妻子和儿女都开始修筑城墙,任何建筑物,不管它是私人的还是公家 的,只要对筑城有用,一律拆毁,在所不惜。[4]泰米斯托克利作了 这些指示,并且说其他事情由他全权负责,然后离开雅典。[5]到了 斯巴达,他并未马上去谒见政府当局,而是利用各种借口赢得时间。如 果拉栖代梦政府有人问他为什么不出席公民大会,他就说,他正在等待 他的同僚,他们有重要的事情离不开雅典;他还会说,他也希望他们早 点来,他也感到不解,为什么他们迟迟没有到达。

    91 起初,拉栖代梦人相信了泰米斯托克利的托词,因为他们很尊 重他。但是当其他从雅典来的人都明确地说,雅典人正在修筑城墙,并 且已经达到相当的高度,他们便不知道该不该相信了。[2]泰米斯托 克利知道此事后,对他们说,谣言是靠不住的,不应当相信谣言,而应 当从斯巴达派一些可靠的人去看一看,他们的说法才是可信的。[3] 于是他们派了一些人去雅典。泰米斯托克利了解到这些情况以后,秘密 地派人带信给雅典人,告诉他们要尽可能地留住他们,但不要公开拘禁 他们,直到他们自己返回雅典,再让这些使者回国。现在泰米斯托克利 的同僚到了,他们是吕西克利斯之子阿布罗尼库斯和吕西马库斯之子阿 里斯提德斯。他们说,城墙已经修筑得足够高了。他们担心,拉栖代梦 人一旦知道这些真实情况,就会不让他们回国了。[4]这样,雅典人 按照他的指示,留住拉栖代梦的使者。泰米斯托克利拜见拉栖代梦人, 最后公开地对他们说,现在雅典已经设防,足以保卫它的居民了;如果 拉栖代梦人或他们的同盟者今后派使者去雅典,他们应当料想到,那里 的人民是能够区别雅典自身的利益和希腊共同利益的。[5]他指出, 当雅典人决定放弃他们的城市而登上舰船时,他们没有和拉栖代梦人商 量,说他们要孤注一掷,采取这个冒险的决定;凡是他们与拉栖代梦人 商量的,每次都证明自己的意见是最好的。[6]现在,他们认为他们 的城市应当有一道城墙,这无论对于雅典自己的公民,还是希腊联盟都 是更为有利的;[7]因为没有同等的军事力量,就不可能对共同利益 作出同样的贡献,也不可能公平地商讨共同的利益。他又指出,如果不 能让同盟的每一个成员国都拆毁城墙的话,那么雅典现在所采取的步骤 就是正确的。

    92 拉栖代梦人听到泰米斯托克利这番话以后,没有公开地表示愤 怒。他们派往雅典的使者似乎并没有受命去阻止他们修筑城墙,而是为 本国政府提出指导性意见。另外,那个时候是斯巴达人对雅典颇有好感 的时候,因为雅典人在与波斯人的战斗中展示了爱国主义精神。由于拉 栖代梦人的希望落空了,暗地里他们不能不感到烦恼。两国的使者各自 回国,没有任何怨言。

    93 这样,雅典人就在很短的时间内建筑了他们城市的城墙。[2] 时至今日, [8] 从城墙本身仍可看出仓促修筑的痕迹。 [9] 城墙的基础是 用各种石头建造的,有些地方是粗陋地拼砌而成的,当时无论哪种石料 拿来就砌。有许多从坟墓中取出的石柱和雕刻过的石料同其他石料垒砌 在一起。城市的范围在四周都有所扩大。他们仓促之中,把一切能拿到 手的材料都不加选择地用上了。 [3]泰米斯托克利又说服他们修筑了比雷埃夫的城墙,这道城墙 在他担任执政官那年 [10] 即动工兴建。他很喜欢这个地方的地势,这里 有三个天然的海港 [11] ,如果雅典通过成为海上民族而增强其势力的 话,这就是一个伟大的开始。[4]他是第一位敢于对雅典人说他们必 须统治海洋的人,他还不失时机地开始建立帝国的基础。(见图3) 图3 陶片放逐(泰米斯托克利) [5]城墙的厚度也是按照他的建议修筑的,围绕比雷埃夫斯的城 墙还可以辨认出来。两辆满载石料的四轮马车可在城墙上相向而过。墙 体的中间不是用碎石和泥土填塞,而是用大块石头凿成方石镶砌起来 的,外面用铁和铅的夹板夹住。城墙的建筑高度约相当于泰米斯托克利 原先设计的一半。[6]他的用意是利用这些巨大而宽厚的城墙抵挡敌 人的进攻。他认为这样就能只用少量劣等的驻军就可以胜任防守任务, 其余的人就可以随意地安排在海军中服役。[7]他最关注的是海军。 我认为他知道,波斯国王的军队从海上到达雅典比从陆上要容易些;他 还认为,比雷埃夫斯比上城 [12] 还要重要些。事实上,他总是劝告雅典 人,如果有朝一日他们在陆地上受到严重窘迫的时候,就应当走向比雷 埃夫斯,登上舰船,独步世界。因此,波斯人刚刚撤退,雅典人就完成 了城墙建筑,其他一些建筑物也开始动工了。

    94 同时,拉栖代梦任命克里奥姆布鲁图斯之子波桑尼阿斯为希腊 联军总司令,率领来自伯罗奔尼撒的20艘舰船起航。雅典人有30艘舰船 加入他的军队,还有其他同盟者的许多舰船。[2]他们远征塞浦路 斯,征服了该岛屿的大部分土地,之后又进攻拜占庭 [13] ,当时拜占庭 尚在波斯人手中。他们迫使这个城市投降。这个事件发生时,拉栖代梦 人尚居于盟主之位。

    95 但是,波桑尼阿斯的横蛮粗暴,已经开始引起希腊人,尤其是伊奥尼亚人和其他新近获得解放的那些人的反感。这些人常去他们的同 族 [14] 雅典人那里,请求雅典人做他们的领导者,以制止波桑尼阿斯的 横蛮粗暴的企图。 [15] [2]雅典人接受了他们的建议,决定制止他的 任何企图,把其他一切事务安排得合乎他们自己的利益。 [3]同时,拉栖代梦人由于得到各种情报,召回波桑尼阿斯加以 审问。那些来到斯巴达的希腊人都对他提出各种各样的严重的控告。种种迹象表明,他更像是在模仿专制君主,而不是一位将军的态度。 [4]巧合的是,波桑尼阿斯被召回,正是除伯罗奔尼撒的士兵以外的其他同盟者都疏离他,并且倾向于投靠雅典的时候。 [5]波桑尼阿斯回到拉栖代梦,关于他侵害个人利益的行为受到 指控,而他被起诉的最重要的罪状,却被宣告无罪。众所周知,告发他 的主要罪状是暗中勾结波斯人,关于这些事显然是很有根据的。 [16] [6]但是,拉栖代梦人并未恢复其总司令的职位,而是委派多基斯和 其他将官率少量的军队前去。但是,此时他们发现,同盟者不再愿意接受他们为最高司令官了。[7]他们了解到这一情况后就回国了,拉栖 代梦人未再派人接替他们。他们担心这些将官到了国外,生活堕落,就 像他们从波桑尼阿斯的经历中所看到的一样。另外,他们不想再负担对 波斯的战事了。他们认为雅典人是完全能够胜任领导职位的,而且当时 雅典人对他们是友好的。

    96 这样,由于同盟者憎恶波桑尼阿斯,他们自愿接受雅典的领 导,雅典人遂继任盟主之位。在进攻波斯人的行动中,哪些城邦缴纳金钱,哪些城邦提供舰船,这些都是由雅典人规定的。他们公开宣称,其 目的是劫掠波斯国王的领土,以报复他们所遭受的灾难。[2]从这时 候起, [17] 雅典人首次设置被称为“希腊司库” [18] 的官职。这些官员收取贡金,即各邦所缴纳的金钱。贡金之数最初被定为460塔连特 [19] 。 公共金库设在提洛岛上,同盟大会也在那里的神庙中举行。 [20]

    97 在雅典的领导下,同盟者起初是独立的,他们在同盟大会中议 决。从波斯战争结束到伯罗奔尼撒战争开始,雅典人在战争和管理方面 所做的事情,有些是攻击波斯人的,有些是打击反叛的同盟者的,有些 是对付伯罗奔尼撒诸邦的,双方在各种场合都有接触。[2]我们之所 以偏离主题而叙述这些事件,是因为以前的作家都没有述及这段历史, 他们的主题不是波斯战争以前的希腊史,就是波斯战争本身。的确,赫 兰尼科斯 [21] 在他的《雅典史》中曾涉及过这些事件,但是叙述得有些 简略,书中的年代也是不正确的。另外,这些事件的历史可以说明雅典 帝国是怎样形成的。

    98 雅典人首先在米太雅德之子客蒙的统率下,围攻斯特里梦河畔 的爱昂,从波斯人手中夺取该城,把城中的居民变为奴隶。 [22] [2] 接着,他们攻下爱琴海的斯基洛斯岛,把包括多洛皮亚人在内的居民变 为奴隶,把这个岛屿变成自己的殖民地。[3]接下来就是对卡利斯图 人的战争,在这次战争中,优波亚岛上的其他城邦保持中立;结果,卡 利斯图按照条件投降了。[4]之后,那克索斯脱离同盟,紧接着就是 一场战争。 [23] 经过围攻,那克索斯人不得不归顺于雅典。这是雅典违 背原先订立的盟约而奴役同盟城邦的第一例,之后同盟的其他城邦就这 样逐个地遭到了奴役。 [24] (见图4) 图4 客蒙像

    99 在引发叛乱的各种原因中,主要原因都是缴纳贡金或提供舰船 的数目不足,或是拒绝服役。因为雅典人非常严厉,他们横征暴敛,对 于那些不习惯于而且事实上也不愿意为雅典人不断地效力的人们施以必 要的暴力,因而丧失人心。[2]在其他方面,雅典人作为统治者,已 经不再像起初那样得人心了;一旦雅典人所承担的兵役额度超过其应有 的份额,相应地就容易使他们强迫任何想脱离同盟的盟邦回到同盟中 来。[3]造成这种局面,同盟者自己也有过失。因为他们不愿意服兵 役,他们大都依照规定的数额缴纳金钱,而不提供舰船,以免远离家 乡。结果,雅典利用他们所缴纳的金钱,扩充雅典自己的海军,当他们 发动暴动时,总是发现自己缺乏战争资源和军事经验。

    100 接下来我们说说攸里梅敦河之役 [25] 。雅典人及其同盟者在陆 地上在海上同波斯人交战。在米太雅德之子客蒙的指挥下,雅典人在同 一天中取得陆战和海战的胜利,俘获并摧毁了包括200艘舰船的整个腓 尼基的舰队。 [2]不久,由于对塔索斯岛对面色雷斯海岸的市场和他们的矿产 [26] 的所有权发生争执,塔索斯人发动暴动。 [27] 雅典人率领一支舰队 前往塔索斯。他们在海上击败塔索斯人之后,在该岛登陆。[3]大约 在同一时候,他们派遣自己的公民和同盟者一万人,移居到一个名 叫“恩尼亚·荷多伊”或“九路”的地方,即现在叫作安菲波里斯的地方。他 们成功地从原来的居民爱多尼亚人手中夺取了恩尼亚·荷多伊。当他们 深入到色雷斯内地时,在爱多尼亚人的城镇德拉卑斯库斯被集结起来的 色雷斯人分割围歼。色雷斯人认为雅典人在恩尼亚·荷多伊建立殖民地 是对他们的一种敌对行为。

    101 同时,塔索斯人在陆战中被击败,城市被围攻,他们向拉栖代梦求援,要求拉栖代梦人出兵阿提卡。[2]拉栖代梦人没有把他们的 意见告知雅典,就答应了塔索斯人的请求,并准备出兵阿提卡。但是由 于发生地震, [28] 同时,黑劳士以及皮里奥西人中的图里阿人和埃萨亚 人前往伊索麦, [29] 脱离拉栖代梦,从而使他们无法出兵。大多数的黑 劳士是古代美塞尼亚人的后裔,他们在一次著名的战争 [30] 中被奴役 了。因此,所有的黑劳士渐渐地被统称为美塞尼亚人。[3]这样,拉 栖代梦人陷入了与伊索麦的反叛者之间的战争 [31] 。所以塔索斯人在被 围攻的第三年 [32] ,接受了雅典人所提出的条件,拆毁他们的城墙,交 出他们的战舰,立即按要求给付赔款,以后缴纳贡金,放弃包括矿产在 内的大陆上的领土。

    102 同时,拉栖代梦人看到在伊索麦镇压反叛者的战争似乎要延续 下去,于是就向他们的同盟者,特别是向雅典人请求援助。雅典人派出 一支不小的军队,在客蒙的统率下,来到拉栖代梦。[2]他们之所以 急切请求雅典人援助,是因为雅典人以善于围攻战而著称;久攻不下使 拉栖代梦人意识到自己这方面战术的不足,否则他们早已用突击的方法 攻陷这个地方了。[3]这次远征是拉栖代梦人和雅典人之间发生第一 次公开冲突的起因。在拉栖代梦人突击伊索麦失利之后,他们想到雅典 人具有冒险精神和革新精神的性格,而且他们认为雅典人属异族血统, 于是他们担心,如果雅典人留在拉栖代梦,也许会受伊索麦的被围攻者 的教唆,企图搞一些政治变动。因此,他们留下其他的同盟者,唯独遣 送雅典人回国。他们没有公开地说出他们的疑心,只说他们现在不需要 雅典人帮助了。[4]但是雅典人知道,他们被遣回不是因为这个颇体 面的理由,而是被人猜疑的缘故。他们愤然离去,认为他们没做什么, 拉栖代梦人不应当这样对待他们。于是,他们回国后立即中断原先结成 的反波斯同盟, [33] 而与斯巴达的敌人阿尔哥斯人结为同盟;同时,阿 尔哥斯人和雅典人又以相同的誓言与色萨利人缔结同样的同盟。

    103 同时 [34] ,伊索麦的暴动者经过10年的抗战,再也坚持不下去 了,于是就向拉栖代梦人投降。条件是在保障生命安全的前提下,他们 撤离伯罗奔尼撒,并且永不踏上这块土地。[2]如果以后有人再来, 任何人发现并捉住他,都可以把他作为奴隶。众所周知,拉栖代梦人从 德尔斐得到一个古老的神谕,大意是说应当让伊索麦的宙斯的祈祷者离 去。[3]于是,他们带着他们的子女和妻子离开伯罗奔尼撒。这时, 雅典人由于对拉栖代梦人的仇视,就接收了他们,并且把他们安置在诺 帕克图斯。这个城镇是他们新近从奥佐里亚的罗克里斯人手中取得的。 [4]雅典人还接收麦加拉加入雅典同盟;麦加拉人与科林斯人发 生边境纠纷,后者发动战争,致使麦加拉愤然脱离拉栖代梦同盟。这 样,雅典人占领了麦加拉和佩盖 [35] ,帮助麦加拉人修筑由麦加拉到尼 塞亚 [36] 的长城,并且派遣军队驻守。这是科林斯人对雅典人怀有刻骨 仇恨的主要原因。

    104 同时 [37] ,埃及边境上的利比亚人的国王普桑麦提库斯之子伊 纳罗斯,以法罗斯以南的马里亚城为中心,发动了几乎遍及整个埃及的 暴动,力图脱离波斯国王阿塔薛西斯 [38] 的统治。他自立为王,并请求 雅典人援助。[2]当时碰巧雅典人及其同盟者的200艘舰船准备出征塞 浦路斯, [39] 他们便放弃这次远征,来到埃及, [40] 由海上进入尼罗河 河口,溯河而上。他们控制了尼罗河和孟斐斯城的三分之二,正全力以 赴进攻余下的三分之一,一个叫作白塞的地方。逃难的波斯人和米底人 以及未参加暴动的埃及人都在那里。

    105 在这个时候,雅典人又派遣一支舰队在哈利埃登陆。他们在这 里与一支由科林斯人和爱皮道鲁斯人组成的军队交战,结果科林斯人获 胜。后来,在基克鲁菲里亚附近,雅典的舰队和伯罗奔尼撒的舰队发生 海战,结果雅典获胜。[2]之后,雅典和埃吉那的战争爆发,在埃吉 那附近,雅典人和埃吉那人发生大规模海战,双方都有同盟者支持,雅 典人获胜,俘获敌人70艘舰船。接着,雅典人在斯特罗布斯之子列奥克 拉特斯的指挥下在埃吉那登陆,开始围攻埃吉那城。[3]这时,伯罗 奔尼撒人为了援助埃吉那人,派出300名重装步兵来到埃吉那,这支军 队曾经帮助过科林斯人和爱皮道鲁斯人。同时,科林斯人及其同盟者占 领革拉内亚高地,居高临下,攻入麦加里德,他们相信,由于雅典人分 别在埃吉那和埃及投入重兵,因此,如果他们要援助麦加拉人的话,就 只能撤除对埃吉那的包围。[4]但是雅典人并未撤走他们在埃吉那的 军队,他们召集留在雅典的老年人和年轻人 [41] ,这支军队在米隆尼德 斯的指挥下,进入麦加里德。[5]在这里,雅典人和科林斯人交战, 胜负未决。双方收兵后,都认为自己是获胜者。[6]但是,在这次战 役中未占到便宜的雅典人,在科林斯人撤兵之后,竖立了一块胜利纪念 碑。科林斯人则受到自己城里的年长者的奚落,他们做好准备,大约在 12天后,又来到这里竖立他们的胜利纪念碑。雅典人从麦加拉出击,击 溃了正在那里建立纪念碑的小分队,进而和其余的军队交战,并把他们 打败了。

    106 战败的科林斯人在撤退的时候,他们当中为数不小的一支,由于雅典人的追击,又不识路,冲入一块私人的田园,园地四周都有深沟,没有出路。雅典人得知这个地方的情况后,就用他们的重装步兵封 锁出口,用轻装步兵把园地包围起来,把所有进入沟里的人都用石头砸 死。科林斯人在这里遭到沉重打击。他们大部分的军队撤退到科林斯去 了。

    107 大约在这个时候 [42] ,雅典人开始修筑由雅典到达海边的长城,一条通向法勒伦,一条通往比雷埃夫斯。(见图6)[2]同时,佛 基斯人进攻多利斯,这是拉栖代梦人的原始家乡,包括波里昂、基提尼 昂、爱里尼昂等城镇在内。当他们攻陷了一个城镇之后,拉栖代梦人就 派遣他们自己的重装步兵1500人和同盟军1万人来援助多利斯人。这支 军队由克里奥姆布罗图斯之子尼科米德斯代替国王普雷斯托阿那克斯 (波桑尼阿斯之子)指挥,因为国王尚未成年。他们迫使佛基斯人接受 条件,退出他们所占领的城镇,便开始撤兵回国。[3]如果他们由海 道横过克里赛湾,则有可能遭到雅典舰队的截击;而穿越革拉内亚的陆 路看来也不安全,因为雅典人占据麦加拉和佩盖。穿越革拉内亚的通道 崎岖难行,并且总是有雅典人把守在那里;何况此时拉栖代梦人得到消 息,说雅典人准备阻止他们通过。[4]因此,他们决定留在波奥提 亚,以慎重考虑哪一条行军路线是最安全的。他们决定留在波奥提亚的 另一原因,是雅典的一个党派正在秘密地怂恿他们,希望他们终结雅典 民主制,阻止修筑长城。[5]同时,雅典出动其全部军队,以及阿尔 哥斯的1000名士兵和其他同盟国各自的分队前去进攻他们。雅典一方的 总兵力达1.4万人。[6]他们向拉栖代梦人进攻,一则听说他们在回国 路线上举棋不定,二则怀疑他们企图推翻民主制。[7]在雅典的军队 中还有一些色萨利的同盟者的骑兵,他们在战斗期间叛逃到拉栖代梦人 那边去了。 [43] 图6 雅典长城

    108 这次战役是在波奥提亚的塔那格拉进行的。在双方都遭到重大 损失之后,拉栖代梦人及其同盟者宣布自己获得胜利。[2]于是拉栖 代梦人进入麦加里德,砍伐果树,穿过革拉内亚,经过科林斯地峡回 国。这次战役后的第62天,雅典人在米隆尼德斯的指挥下攻入波奥提 亚,[3]在奥诺斐塔战役中击败波奥提亚人,征服了波奥提亚和佛基 斯。他们摧毁了塔那格拉人的城墙,在奥彭提亚的罗克里斯人中,取得100名最富裕的人以为人质;同时,完成了他们的长城建筑。(见图7) [4]不久,埃吉那向雅典投降, [44] 条件是:拆毁城墙,交出舰船, 承诺以后缴纳贡金。 [45] [5]雅典人还在托马优斯之子托米德斯的指 挥下,环绕伯罗奔尼撒航行,焚烧了拉栖代梦的船坞 [46] ,攻克科林斯 的城市卡尔基斯,在西基昂登陆后,击败西基昂人。 图7 波奥提亚与中希腊

    109 这期间,雅典人和他们的同盟者仍在埃及,他们饱受了战争中 情况瞬息万变的考验。[2]起初,雅典人征服了埃及,波斯国王派遣 一位波斯人佐皮鲁斯 [47] 之子麦加巴佐斯带着金钱出使拉栖代梦,以此 诱使伯罗奔尼撒人入侵阿提卡,迫使雅典人从埃及撤兵。波斯国王发现 麦加巴佐斯白白地花费了金钱,还是没有取得任何进展,于是就命他带 着余下的金钱回亚细亚去了。[3]波斯国王派一位波斯人佐皮鲁斯之 子麦加布佐斯 [48] 率大军前往埃及。 [49] [4]他由陆路抵达埃及,在 一次战役中击败埃及人及其同盟者,并把希腊人逐出孟斐斯,后来把希 腊人封锁在普罗索皮提斯岛上,并且围困了1年零6个月。最后,麦加布 佐斯把通向该岛的水道的水引向另一条水道,使通向该岛的水道干涸。 这样,雅典的舰船被搁浅,岛屿的大部分与大陆连接起来,于是他的军 队向岛上发起进攻,并且攻下了该岛。

    110 这样,希腊人的这次冒险事业,经过6年的战争,最后被彻底 击败了。 [50] 全部大军里面,只有少数人穿越利比亚安全抵达基仁尼 [51] ,绝大多数都被消灭了。[2]因此,埃及重新成为波斯国王的藩 属,只有阿米尔泰乌斯例外。 [52] 这里地处沼泽地带,波斯人无法在广 阔的地区内捉住他,而且,沼泽地区的人民是埃及人中最善战的。 [3]发动埃及暴动的利比亚国王伊纳罗斯被出卖,在交给波斯人之 后,被钉死在十字架上。[4]同时,由雅典和同盟其他城邦组成的一 支50艘舰船的增援舰队已经起航前往埃及。他们在进入尼罗河的门德西 亚河口后靠岸,全然不知道在埃及所发生的事情。他们在陆地上遭到陆 军的攻击,在海上遭到腓尼基海军的攻击,绝大多数舰船被摧毁,只有 极少数安然撤离。这就是雅典人及其同盟者大举远征埃及的结果。

    111 同时,色萨利的国王爱切克拉提达斯之子奥瑞斯特被逐出色萨 利之后,劝雅典人帮助他恢复王位。雅典人率领其同盟者波奥提亚人和 佛基斯人的军队,向色萨利的法萨鲁斯进军。他们控制了这里的乡村, 但是只能待在营地附近,他们害怕色萨利的骑兵而不敢远离营地。但是 他们没有攻下该城,也没有实现其远征的其他目的;他们一无所获,又 带着奥瑞斯特回国了。[2]这之后不久, [53] 1000名雅典人在佩盖 (须知佩盖现在是雅典的领土 [54] )乘船,在桑西浦斯之子伯里克利的 指挥下,沿海岸航行,向西基昂进发。他们在西基昂登陆,打败了那些 和他们交战的西基昂人。随后他们立即带领阿凯亚人渡过海湾,进攻并 且包围了阿卡纳尼亚的奥尼阿代。但是他们没有攻下这个城镇,就返回 雅典了。

    112 三年之后, [55] 伯罗奔尼撒人和雅典人订立了一个五年休战和 约。[2]雅典人在希腊没有战争了,他们在客蒙的指挥下,带着他们 自己的和同盟者的200艘舰船远征塞浦路斯。[3]这支舰队中的60艘舰 船,应埃及沼泽地区之王阿米尔泰乌斯之请求,前往埃及;其余的舰船 都在围攻基提昂,[4]但由于客蒙之死和给养的缺乏,他们被迫撤 兵。 [56] 当他们离开塞浦路斯的萨拉米斯时,他们同腓尼基人、塞浦路 斯人和基里基亚人的陆军和海军交战,他们在海战和陆战中双双获胜, 然后就和从埃及返回的60艘舰船一同回国了。[5]在此之后,拉栖代 梦人出兵参与神圣战争。 [57] 他们控制了德尔斐神庙,把它交给德尔斐 人。他们刚刚撤兵,雅典人马上出兵,夺取神庙,把它交给佛基斯人。

    113 不久以后, [58] 雅典人派遣托马优斯之子托米德斯率领1000名 雅典重装步兵和他们的同盟者派来的分遣队一道,前去进攻由波奥提亚 的流亡者所占据奥科麦努斯、凯罗尼亚和波奥提亚其他一些地方。 [59] 他们攻陷了凯罗尼亚,把它的居民变为奴隶,留下一支驻军,启程回 国。[2]在回国途中,他们在科罗尼亚遭到来自奥科麦努斯的波奥提 亚人流亡者的袭击,后者得到某些来自罗克里斯 [60] 的和优波亚的流亡 者以及其他持相同政见的人们的支持,他们打败了雅典人。雅典人有些 被杀,有些被俘。[3]雅典人退出整个波奥提亚,按条约取回俘虏; [4]波奥提亚的流亡者返回国内,所有波奥提亚人重新获得独立。

    114 此后不久, [61] 优波亚人叛离了雅典。伯里克利在率军渡过海 峡,兵抵优波亚岛之后得到消息,说麦加拉人已经暴动,伯罗奔尼撒人 即将入侵阿提卡,麦加拉的雅典驻军除少数已逃往尼塞亚外,都被麦加 拉人消灭了;麦加拉人在暴动之前,已经让科林斯人、西基昂人和爱皮 道鲁斯的援兵进驻麦加拉。这时,伯里克利全速从优波亚岛撤军。 [2]之后,伯罗奔尼撒人在其国王普雷斯托阿那克斯(波桑尼阿斯之 子)的指挥下,侵入阿提卡,大肆蹂躏,直抵埃琉西斯和特里乌斯 [62] ;他们没有继续进军,便撤兵回国。[3]雅典人在伯里克利的统率之 下,又一次渡过海峡,进攻优波亚,并且征服了全岛。除赫斯提亚人以 外,全岛其他居民按双方协议条款规定继续定居;他们把赫斯提亚人逐 出家园,由雅典人占领其领土。

    115 雅典人从优波亚回来后不久,他们和拉栖代梦人及其同盟者订 立三十年休战和约 [63] ,雅典人同意放弃他们在伯罗奔尼撒境内所占领 的地方—尼塞亚、佩盖、特洛伊曾和阿凯亚。[2]在订立和约后的第 六年 [64] ,萨摩斯人和米利都人因争夺普里艾涅而爆发战争。米利都人 在战争中遭到惨败后来到雅典,对萨摩斯人提出严重控诉。来自萨摩斯 的某些人以私人身份加入到米利都人当中,他们希望彻底变革政体。 [3]因此,雅典人派遣40艘舰船前往萨摩斯,去那里建立民主政体; 他们从萨摩斯人中取得50名男童和50名成年男人作为人质,并且把他们 暂时安置在列姆诺斯岛上。他们在萨摩斯留下一支驻军,就回国了。 [4]但是,有些萨摩斯人并未留在岛上,而是已经逃往大陆 [65] 。他 们和那些留在萨摩斯城中的最有势力的人达成协议,并且和当时萨尔狄 斯的波斯总督、海斯塔斯皮斯之子皮苏特涅斯订立盟约。他们纠集了一 支700人的雇佣军,在夜幕的掩护下回到萨摩斯。[5]他们首先攻击平 民,将其中的大多数控制在他们手中;接下来,从列姆诺斯岛上悄悄地 取回他们的人质;之后,他们举行暴动。他们把雅典人留下的驻军及其 指挥官移交给皮苏特涅斯,马上准备出征米利都。拜占庭人也随他们一 起暴动。 116 雅典人获悉这个情报后,立即派遣60艘舰船前往萨摩斯。其中 16艘前往卡里亚以防范腓尼基海军,或者前往开俄斯和列斯堡 [66] 传达 请求增援的命令,因而从未参加战斗;另外44艘由伯里克利和其他9位 同僚将军指挥 [67] ,他们在特拉吉亚岛附近同正从米利都返航的萨摩斯 的70艘舰船(其中有20艘运输船)交战,雅典人获得胜利。 [2]后来,雅典人在来自雅典的40艘舰船、来自开俄斯和列斯堡 25艘舰船的增援之下,在萨摩斯岛登陆。他们在萨摩斯城的三面修筑城 墙以封锁该城,从而确立了在陆地上的优势;同时,他们还从海上对它 加以封锁。[3]伯里克利得知腓尼基援助萨摩斯人的舰队已经逼近, 就从围攻萨摩斯的舰队中抽调出60艘舰船,迅速开往考努斯和卡里亚; 实际上是斯泰萨哥拉斯和其他人乘5艘舰船前去请求他们来的。

    117 但是就在这期间, [68] 萨摩斯人发动突然袭击,他们攻击雅典 的军营,发现军营并未设防。他们摧毁了雅典的警戒船,击败了前来和 他们交战的舰船,他们控制了自己的领海达14天,可以随心所欲地从海 上运进运出所需之物。[2]但当伯里克利返回来的时候,萨摩斯人又 一次被严密封锁起来。后来,雅典的舰队又得到新的援兵—在来自雅典 的舰船中,有40艘由修昔底德 [69] 、哈格浓和佛米奥指挥,有20艘由特 列波里姆斯和安提克利斯指挥,还有30艘是由开俄斯和列斯堡提供的。 [3]萨摩斯人经过短暂的交战,就支持不住了。经过9个月的围攻,萨 摩斯人被征服了(公元前439年) 。他们按下列条件投降:他们拆毁自己的城墙,交 纳人质,交出舰船,承诺分期赔偿战费。(雅典及其同盟者先后出动215艘战舰参战,耗资巨大。据现代学者估计,大概应在1404-1410塔连特之间,最低估计为1276塔连特。参阅S. 霍恩布鲁尔,第1卷,第193页)拜占庭人也同意恢复以前 的臣属地位。

    [1] 修昔底德第一卷第89—117章通常被称为“Pentecontaetia”,是希腊语“Pentekontaetea”的拉丁化变体, 本意为“五十年”,涵盖自波斯人公元前479年兵败希腊至公元前431年伯罗奔尼撒战争爆发这将近50年的历史时 期。 [2] 指公元前480年的萨拉米斯海战,公元前479年的普拉提亚战役和米卡列战役。 [3] 指小亚细亚沿岸诸邦及爱琴海诸岛国。米卡列战役以后,它们都处于希腊半岛诸邦(斯巴达、雅 典)的控制之下。但是希罗多德(IX. 106—114)仅提到诸岛国,未提及伊奥尼亚和赫勒斯滂地区诸邦。 [4] 萨拉米斯、埃吉那和特洛伊曾。参阅希罗多德,VIII. 41。—史译本注 [5] 波斯人入侵期间,雅典人把他们的部分财产转移到外地。参阅希罗多德,IX. 6。 [6] 波斯战争时期,薛西斯和玛尔多纽斯曾经两次率大军占领雅典(公元前480、前479年)。参阅希罗 多德,VIII. 50—55;IX. 1—5。 [7] 底比斯人投靠波斯后,波斯人将其作为进攻希腊其他城邦的重要基地。 [8] 从这段文字来看,修昔底德看见了雅典城墙被拆毁,但没有看见科浓在公元前393年主持修筑的新城 墙。这就是说,他死于公元前404年以后、公元前393年以前。 [9] 修昔底德的说法在某种程度上已经得到考古发掘资料的印证。参阅S. 霍恩布鲁尔,第1卷,第138 页。不过,现代人所看见的比雷埃夫斯半岛的城墙不是泰米斯托克利的城墙的遗址,而是公元前393年在科浓 的主持下重新修筑的城墙的遗址。在比雷埃夫斯半岛之北,靠近希腊大陆的地方,有部分城墙遗址,其厚度超 过7.5米,用坚固的石头筑成。这与修昔底德所描述的情况相吻合,大概是泰米斯托克利城墙的遗迹。 [10] 公元前493/前492年。 [11] 这里所说的比雷埃夫斯是指比雷埃夫斯半岛,半岛两侧有三个天然港口:比雷埃夫斯、穆尼基亚和 齐亚。参阅地图三。 [12] 上城本指卫城,是雅典城最早的建筑部分,位于小丘之上。后来,随着城市的发展,卫城下的居民 称卫城为上城。这里的上城不仅指卫城,还包括周边的整个雅典城区。 [13] 位于博斯普鲁斯海峡欧罗巴一侧。 [14] 伊奥尼亚人以雅典为其母邦。参阅修昔底德,I. 12。 [15] 公元前478年。 [16] 关于波桑尼阿斯后来的情况。参阅修昔底德,I. 128—134。 [17] 公元前477/前476年。参阅狄奥多拉斯,XI. 47;亚里士多德:《雅典政制》,XXIII. 2—5;普鲁塔 克:《传记集·阿里斯提德斯传》,XXV。 [18] Hellenotamiai ,即“希腊司库”(Treasurers for Hellas)。雅典的官职,掌管雅典同盟的财务。 [19] 当时雅典通行银币,修昔底德在其著作中凡未特别说明的,通常都是指阿提卡币制的银塔连特(1 塔连特=26.86千克)。 [20] 公元前478/前477年。公共金库和同盟大会都设在提洛岛上,因而近代学者称之为“提洛同盟”。这 是一个新的反波斯同盟。参阅徐松岩:《关于雅典同盟的几个问题》,《西南师范大学学报》(社会科学 版),1993年第3期;N. G. L. 哈蒙德:《反波斯的雅典同盟的组织结构》(N. G. L. Hammond,“The Organization of Athenian Alliance against Persians”),载N. G. L. 哈蒙德:《希腊历史研究》(论文集),牛津 大学出版社1973年版,第325—345页。 [21] 公元前5世纪希腊史家,有多种著作,但仅有少量残篇保存至今。 [22] 公元前476年。由此可以看到,雅典同盟的对外战争从一开始就是与奴隶制的发展密切相关的。 [23] 公元前466年。 [24] 由此可推知,雅典曾允诺维护入盟各邦的独立(参阅修昔底德,I. 97),因而后来入盟各邦皆丧失 主权、遭到奴役乃是雅典人违背起初订立的盟约的结果,这则史料对于理解雅典与其同盟者关系至关重要。谢 译本(第69—70页)译为“这是原来的同盟宪法遭到破坏的第一个例子,一个同盟国丧失了它的独立”。(其所 依据的“企鹅古典丛书”英译文为:“This was the first case when the original constitution of the League was broken and an allied city lost its independence, and the process was continued in the cases of other allies as various circumstances arose.” Thucydides, History of the Peloponnesian War , translated by Rex Warner with an Introduction and Notes by M. I. Finley, Penguin Books, 1972, p. 93.)这句话事关修昔底德对雅典与同盟诸邦的关系演变的评 价,众多盟邦究竟是“一个”还是“逐个”被雅典奴役?很显然,误差的原因就是谢译本漏译了这句话的关键的后 半句。 [25] 客蒙在这次战役中大获全胜,时间约在公元前468—前466年间。参阅狄奥多拉斯,XI. 60;普鲁塔 克:《传记集·客蒙传》,XII. 1— 6 。 [26] 塔索斯人在色雷斯海岸地区拥有一金矿,每年从那里获得巨额收入(希罗多德,VI. 46)。 [27] 公元前465年。 [28] 参阅修昔底德,I. 128,称为“大地震”,发生于公元前465年。据记载,此次地震使斯巴达人损失惨 重,完好的房屋仅剩下5间。 [29] 根据拉栖代梦的宪法,国家政权完全掌控在斯巴达人手里。他们统治下的臣民分为两部分:(1) 黑劳士(Helots,或译希洛特、希洛人),一般认为他们是国家所有的奴隶。由斯巴达人教育和培养的黑劳士 人的子女被称为摩萨凯斯(Mothakes );获得自由的黑劳士被称为涅奥达摩德斯(Neodamodes ,即所谓“新公 民”)。公元前8—前7世纪,斯巴达人征服美塞尼亚之后,黑劳士人数激增。(2)皮里奥西人(Perioeci ), 这些人大概是古代阿凯亚人的后裔,生活在广大乡村和城镇,拥有自己的财产,缴纳贡金,在拉栖代梦的军队 中充任步兵。据说在公元前458年,他们大约有3万人。斯巴达人像所有多利亚人一样,分为三个部落,即海雷 斯(Hylleis )、迪曼那太(Dymanatae )和滂菲利(Pamphyli ),每一个部落分成10个奥巴(Oba),奥巴再 分为若干家庭,占有土地财产。公元前458年,这样的家庭据说有9000户。此后,由于土地转让、战争以及其 他种种原因,公民人数剧减。到公元前244年斯巴达国王阿基斯三世时,斯巴达人原来的家庭仅有700余户,而 其中仅有100户拥有土地和份地。关于黑劳士的阶级属性问题,史学界一直有不同看法。参阅亚里士多德: 《政治学》,1270 a 15—40;普鲁塔克:《传记集·阿基斯传》,V. 4;刘家和:《论黑劳士制度》,《古代中 国与世界》,武汉出版社1995年版,第78—139页。 [30] 即“美塞尼亚战争”。第一次美塞尼亚战争约发生在公元前8世纪后期,第二次美塞尼亚战争发生于 公元前7世纪后期。 [31] 不少学者称之为“第三次美塞尼亚战争”(公元前464—前455年)。 [32] 公元前463年。 [33] 这证明波斯战争时期结成的希腊同盟至少在名义上存续到此时。 [34] 约公元前455年。 [35] 佩盖是麦加拉在科林斯湾的一个海港。 [36] 尼塞亚是麦加拉在萨罗尼湾的一个海港。 [37] 约公元前460年。 [38] 薛西斯之子,公元前464—前424年在位。 [39] 参阅修昔底德,I. 94。 [40] 公元前460年。 [41] 这部分人只是在非常时期才服兵役的。老年人通常是指50—60岁的公民,年轻人指未满20岁的青 年。—史译本注 [42] 公元前457年。 [43] 谢译本无最后一句话(第75页)。 [44] 公元前455年。 [45] 埃吉那人所缴纳的贡金数是每年30塔连特。 [46] 即拉哥尼亚海湾的基赛昂(Gytheum)。 [47] 他是居鲁士当年攻克巴比伦城的英雄(参阅希罗多德,III. 160)。—史译本注 [48] 麦加布佐斯(Megabuzos)和麦加巴佐斯(Megabazos)似乎应是同一人,参阅史译本。 [49] 据狄奥多拉斯记载,他和阿塔巴佐斯统率的军队有30万人(XI. 75),舰船300艘(XI. 77)。 [50] 公元前454年。雅典人以此为借口,将提洛同盟的金库连同巨额存款移至雅典。此后,同盟大会很 少召开,同盟公共金库的支出完全被雅典人控制。 [51] 希腊人在北非濒临地中海的一个殖民城邦。 [52] 参阅希罗多德,II. 140;III. 15。 [53] 公元前454年。 [54] 参阅修昔底德,I. 103。 [55] 公元前451年。 [56] 公元前449年。有的学者认为是在公元前451年或前450年。 [57] 公元前449年。在希腊历史上,诸邦为争夺德尔斐控制权而发生的战争,即所谓“神圣战争”,此为 第二次。第一次发生于公元前6世纪早期。第三次“神圣战争”发生于公元前355年。参阅S. 霍恩布鲁尔,第1 卷,第181—183页。 [58] 公元前447年。 [59] 参阅谢译本,第78页。 [60] 奥彭提亚的罗克里斯。 [61] 公元前446年。 [62] 史译本为“特里亚”(Thria)。 [63] 公元前446/前445年。 [64] 公元前440年。 [65] 指亚细亚大陆。 [66] 谢译本未提及列斯堡。参阅谢译本,第80页注1。 [67] 古典时代著名悲剧作家索福克勒斯(Sophcles)作为雅典当年的十将军委员会成员,也是舰队的指 挥者之一。 [68] 其时伯里克利不在这里,他可能是前往考努斯和卡里亚去了。 [69] 有的学者认为他就是本书作者;有学者认为他是阿彻都斯(Acherdus)村社的诗人;大多数学者认 为他是麦里西亚斯(Melesias)之子,是伯里克利的政敌。修昔底德在书中(V. 26)强调,战争开始的时候他 已长大成人,学者们认为这大概是暗示自己30岁左右,因而不大可能在10年前就担任将军。参阅S. 霍恩布鲁 尔,第1卷,第191页。

    第五章 拉栖代梦的第二次同盟大会。战争的准备和外 交摩擦。基隆。波桑尼阿斯。泰米斯托克利。

    118 这之后, [1] 没过几年就发生了上面所述及的科基拉事件 [2] 、 波提狄亚事件 [3] 以及作为这场战争口实的一些事件。[2]希腊人之间 的以及他们与异族人之间的所有这些敌对行动都发生在自薛西斯败退到 这场战争开始之前的50年内。 [4] 在这期间,雅典人成功地使他们的帝 国建立在更为坚实的基础上,极大地拓展了本国的势力。虽然拉栖代梦 人对此了然于心,但是他们很少加以反对;在这期间的大部分时间里, 拉栖代梦人都保持着冷静态度,因为在过去,除非形势所迫,他们总是 迟迟参战的;在某种程度上也是由于国内的战争, [5] 使他们难于对外 出兵作战。最后,随着雅典势力的日益增长,人们对此再也不能视而不 见:雅典开始侵略拉栖代梦人的同盟者了。这时候,他们觉得,对此再 也不能容忍下去了,他们全力以赴投入与敌国战争的时候到了。如果可 能的话,他们想通过发动这场战争来摧毁雅典的势力。 [3]尽管拉栖代梦人根据和约已被破坏和雅典人实施侵略的事 实,决意开战,但是他们还是派人到德尔斐去问神,问如果开战对他们 是否有利。据说,神的回答是,如果他们全力投入战争,胜利是属于他 们的;并且允诺不论他们是否向神祈祷,神祇自会保佑他们。

    119 但是,拉栖代梦人还是希望召集他们的同盟者,就是否应当宣 战进行投票表决。各盟国的大使来到之后,同盟大会召开了。 [6] 他们 都表示了自己的看法,绝大多数是指责雅典人,主张开战的。尤其是科 林斯人,他们害怕再拖延下去就难以营救波提狄亚,因此他们此前已到 各盟邦去游说,劝他们投票支持战争。他们这时也在大会现场。他们的 代表最后一个走上前来,发言如下:

    120 “盟友们,我们再也不能抱怨拉栖代梦人,说他们失职了。他们 自己不仅已经表决赞成战争,而且为了一个共同的目的召集我们来此。 我们说他们负有责任,是指盟主的责任。除了同样要关照自己的利益以 外,盟主应当特别关注共同的利益,以报答诸盟邦以其他方式所给予他 们的特殊荣誉。[2]我们当中那些凡是与雅典人打过交道的,无须提 醒都知道提防他们,但是那些地处内地和离商路较远的城邦应当清楚, 如果他们不支持滨海强国的话,其结果将使他们输出产品的通路受到损 害,也将使他们难以得到从海上输入的货物。他们必须仔细斟酌我们现 在所说的话,不要以为这与他们毫无关系;他们一定会预料到,有朝一 日滨海强国遭到毁灭的话,危险紧接着就会扩展到内地来;他们还必须 承认,我们的讨论与他们的利益是息息相关的。[3]鉴于以上这些原 因,他们在以战争换取和平时就不应当迟疑不决。聪明的人在他们没有 受人侵害之时,当然愿意过着安定的生活,而勇敢的人在受到侵害之 时,便会舍弃和平而宁愿战争,虽然他们会在适当的时候重新达成和 解。事实上,他们既不会因战争的胜利而骄傲,也不会因热爱和平和安 宁而忍受别人的侵害。[4]的确,如果你们继续迟疑不决,那么考虑 到自己的幸福而发生的迟疑,将是你们指望得到那种幸福的丧失的最快 之路;反之,因战争的胜利而抱着过分的野心的人,将会忘记使你们得 意的这种自信是何等的空洞。[5]许多拙劣的计划能够获得成功,是 因为对手愚蠢之极;相反,更多的情况是,明明是筹划得很好,结果却 是招致耻辱。制定计划时的自信心与履行计划时的自信心,从来就不是 完全一致的;我们在筹划的时候觉得是安全的,但是一旦付诸行动,恐 惧将导致他们丧失自信心。

    121 “把这些原则应用到我们自己身上,如果我们现在煽起战火,那 也是在受到侵害的压力之下,在怨声不断的情况下所作出的选择;一旦 我们惩罚了雅典人,我们就应及时地中止战争。[2]我们期望取得胜 利,是基于很多理由的:首先,我们在人数方面和军事经验方面占有优 势;其次,我们一心一意地服从指挥。[3]他们现有的海军实力要强 一些,但是我们可以利用先前的各种资源,利用奥林匹亚和德尔斐的金 钱 [7] ,建设我们的海军。如果我们从这些地方举借钱款, [8] 就能够以 出高薪的办法来吸引雅典海军中的异邦桡手。因为雅典的势力主要是依 靠雇佣兵,而不是自己的公民;而我们就不至于冒此风险,因为我们的 力量主要是靠人,而不是靠钱。[4]他们一旦在海上吃一个败仗,就 可能导致全盘皆输。 [9] 如果他们坚持下去,就将使我们赢得更多的时 间去操练海军战术;一旦我们的技术达到和他们一样的水平,在勇敢方 面,我们无疑是优于他们的。我们所拥有的天生的优良品质不是他们通 过教育可以获得的,而他们在技术上的优势是我们通过训练一定可以获 得的。[5]实现这些目标所需金钱将由我们来捐献。雅典的同盟者从 未停止缴纳贡金来维持自己的受奴役的地位,而我们为了复仇和生存却 不肯花费金钱, [10] 这些金钱被雅典人夺去,我们将看到他们用它来毁 灭我们。果真如此,则世上还有比这更可怕的事吗?

    122 “我们还可以用其他方法来进行战争。例如,煽动他们的同盟者反叛,就是剥夺他们收入的最好办法,因为这些收入是雅典人的力量源泉。我们还可以在他们的领土内建筑据点。还有其他多种方法,目前还不能预见。因为在世间万事之中,战争是最少按固定的原则进行的。战争期间,人们主要是利用这一点制定策略以应付突发事件。在这样的情 况下,在战争中最能保持冷静头脑的人是最安全的;谁头脑发热,谁就 会遭殃。[2]让我们来仔细想想这样一个问题。如果这仅仅是敌对邻 邦之间的一些边境争端,问题也许不会产生。但是在这里我们面对的敌 人是雅典人,雅典人的势力可以与我们全体盟邦的联合力量相匹敌,它 比我们任何一个成员国的势力都要强大;因此,除非我们每个民族、每 个城邦团结起来全力同雅典人作战,否则它将轻而易举地把一盘散沙的 我们逐一征服。这样的征服说起来是很可怕的,但是你们一定知道,征 服的结果只能是我们全都沦为他们的奴隶。 [3]“对于伯罗奔尼撒人而言,听到人们议论这样的可能性,或者看到许多城邦遭到一个城邦的欺压,这都不能不是一种耻辱。同时,有人会说我们理所应当遭受这种痛苦,或者说我们由于懦弱而忍受这种痛 苦,说我们一代不如一代,因为我们的祖先使全希腊获得自由,而我们 连自己的自由都难以保证;我们还容许在希腊建立一个僭主式城邦 [11] ,尽管我们认为在一个单独的城邦推翻僭主政治是我们的职责。[4] 我们不知道,这种行为如何才能避免犯下三个最重大的失误:缺乏理 智、缺乏勇气、缺乏警惕。因为我们不认为你们对敌人的蔑视是有利的,相反,许多事实已经证明这一点是会带来致命后果的。这种对敌人 的蔑视已经毁掉了你们大量的人力,因而它逐渐被称作可鄙的愚蠢,而不是对敌人的蔑视。

    123 “但是对于过去的事情,除了那些对现实有用的以外,再去回顾 它们也是无益的。为了将来,我们必须保持我们现在所有的,而且要加 倍地努力;把赢得美德作为劳动成果,是我们的传统;纵或你们在财富 和资源方面占有一点优势,也不要改变这一习惯。因为在贫穷之时所得 到的东西,在富裕之时却全部丧失是错误的。我们不应当这样,有许多 理由使我们必须勇往直前,参加战争;神祇已经明示我们这样做,并且 答应佑助我们,希腊其他地方的所有城邦,或是出于恐惧,或是出于利 益关系,都将在战争中站在我们一边。[2]首先破坏和约的不是你 们,因为神祇在指示我们参战时,判定和约已经遭到破坏。你们是在维 持一个已经遭到破坏的和约。事实上,和约是被侵略行为破坏的,而不 是被防卫行为破坏的。

    124 “因此,从各方面看来,你们参战都是名正言顺的。我们是从全 体盟邦的利益出发来建议采取这一步骤的,因为我们知道,不论是城邦之间或是个人之间,利益一致是最可靠的保证。因此,你们应当援助波 提狄亚人,不要再耽搁了。一个多利斯人的城市被伊奥尼亚人围攻,这 简直是本末倒置了。你们还应当维护其他地区人民的自由,不要再拖延 了。[2]对于我们当中的一些人而言,当等待只是意味着直接的灾难 时,要我们等下去是不可能的;如果人们知道我们在这里开会,而又不 敢采取自卫措施的话,我们当中的另外一些人在不久的将来也将遭到同 样的灾难。 “盟友们!不要再耽搁下去了!你们必须相信危机时刻已经到来, 我们的忠告是最好的意见,请你们表决赞成战争吧!不要被一时的恐惧 所吓住,要看到成功之后的永久和平。战争使和平更加巩固,但是拒不采取战争手段也未必是逃避危险的可靠方法。[3]我们深信,那个在 希腊已经建立起来的僭主式城邦,正日益对希腊构成威胁,他们力图建 立一个世界帝国,部分已经完成,部分正在策划之中。让我们去攻击 它、摧毁它,为我们自己赢得将来的安宁而战,为现在遭到奴役的那些 希腊人获得自由而战!” 以上就是科林斯人的发言。

    125 现在,拉栖代梦人听过各盟国代表的意见后,要求所有同盟国 无论大国小国都要进行表决,结果大多数盟国表决赞成战争。[2]虽 然他们已经作出决定,但是由于缺乏准备,马上发起进攻还是不可能 的。他们决定,各邦要努力作必要的准备,不得延误。实际上,尽管他 们开始作必要的准备工作,但是他们至少在一年之后才会入侵阿提卡, 公开地进行战争。

    126 在战争爆发前的间隔时期, [12] 拉栖代梦人不断派遣使者前往 雅典,提出各种抗议,目的在于当他们遭到拒绝时,尽可能找到一个开 战的适当借口。[2]拉栖代梦人的第一个使团命令雅典人驱逐那些“被 女神诅咒的人”。事情的原委是这样的: [3]从前有一位名叫基隆的雅典人,他是奥林匹亚竞技会的一位 优胜者,出身于显贵家族,是一位很有势力的人物。他娶麦加拉人塞阿 根尼斯的女儿为妻,塞阿根尼斯是当时麦加拉的僭主。[4]这位基隆 到德尔斐神庙去问神,神告诉他,在“宙斯大庆节”之时夺取雅典卫城。 [5]因此,他从塞阿根尼斯那里取得一支军队,劝说他的朋友们和他 一起,在伯罗奔尼撒的奥林匹亚庆节到来之时,便夺取了雅典卫城, [13] 想自己做僭主,因为他认为这就是“宙斯大庆节”,这也是有利于奥 林匹亚竞技会优胜者的一个机遇。 [14] [6]神谕中所说的“宙斯大庆 节”指的是阿提卡的或其他地方的,他却从未考虑到,神谕中也未予以 说明。因为雅典人也有一个宙斯大庆节,名叫“美里奇奥斯的宙 斯”(“仁慈的宙斯”) [15] 即狄亚西亚节。这个节日是在城外庆祝的, 全体人民 [16] 都在这里以一些本地区所特有的不流血的祭品来祭祀,而 不用真正的牺牲来祭祀。 [17] 可是,基隆自认为自己选择了一个恰当的 时间,便开始行动了。[7]雅典人一得知此事,便都从乡下赶来,屯 驻下来对卫城加以围攻。[8]但是随着时间的推移,雅典人对围城的 事逐渐感到厌倦,他们当中的大多数人离去了;继续围攻的任务就留给 了九执政官,他们有全权按照自己的正确判断来处理一切事务。人们想 必知道,那时雅典的大多数政治职能是由九执政官来履行的。 [18] [9]同时,被围困的基隆及其同伴因缺乏食物和饮水而感到痛苦。 [10]因此,基隆和他的兄弟设法出逃,但是其余人被逼无奈,有些人 甚至已经快饿死了。于是他们坐在卫城的神坛 [19] 前,向神祇祈祷。 [11]负责看守他们的雅典人看到他们将死于神庙中,命令他们起来, 答应不伤害他们;雅典人在引诱他们出来之后,便杀死了他们。那些在 途中求庇于复仇女神神坛 [20] 前的,也被雅典人给当场杀死了。从这个 事件开始,那些杀死他们的人及其后裔 [21] 就被称为“对女神犯过罪的 人”或“被女神诅咒的人”。[12]因此,雅典人驱逐了这些被诅咒者。 后来拉栖代梦的克里奥蒙尼 [22] 和雅典人的一个集团又把他们驱逐一 次:把活着的驱逐,掘开死者的坟墓,抛出死者的遗骨。这样,他们就 被彻底驱逐了。尽管如此,那些被驱逐者后来又回来了,他们的后裔还 住在雅典。

    127 这就是拉栖代梦人命令雅典人驱逐的那些“被女神诅咒的人”。 他们自称其首要目的是表示对神祇的尊敬,但他们也知道,桑西浦斯之 子伯里克利在他的母系方面,是和这个诅咒有牵连的, [23] 他们认为如 果他被驱逐的话,那么他们对付雅典的计划就会取得实质性进展。 [2]他们并不是真的指望雅典人会驱逐他,而是想在雅典国民中造成 一种偏见,认为战争部分地是由于他的不幸 [24] 而引发的。[3]因为 伯里克利是当时最有势力的人,是领导雅典人的政治家,他事事与拉栖 代梦人作对,不会作出任何让步,而且总是鼓动雅典人投入战争。

    128 雅典人针锋相对,要求拉栖代梦人驱逐泰纳鲁斯的“被诅咒 者”。因为拉栖代梦人曾经把一些在泰纳鲁斯地方的波塞冬神庙祈祷的 黑劳士引诱出来并且杀死他们。 [25] 雅典人相信发生于斯巴达的大地震 [26] 就是由此事引起的结果。 [2]雅典人还要求拉栖代梦人驱逐那些被黄铜宫 [27] 的雅典娜女 神所诅咒的人。故事的原委如下:[3]在赫勒斯滂地区担任指挥官职 务的拉栖代梦人波桑尼阿斯被斯巴达召回(这是他第一次被召回 [28] ),经审判宣布无罪以后,他再也没有以官方的职位被派往那里去了。 [29] 但是,他没有得到拉栖代梦人的准许,自作主张乘坐赫尔米奥涅的 一艘船,以私人身份来到赫勒斯滂。他佯称是为希腊而战,实际上却是 私通波斯国王,此事在他被召回之前就已开始了,其野心是统治全希 腊。[4]他第一次使波斯国王感激的是下面一件事情,从此就拉开了 他的整个阴谋的序幕。[5]当他从塞浦路斯返回,第一次来到这个地 区的时候, [30] 他攻克了波斯占领下的拜占庭,俘获了城中波斯国王的 一些亲戚和亲属。波桑尼阿斯瞒着其他同盟者,把这些俘虏送到国王那 里,说他们是逃走的。[6]他是在一位爱利特里亚人冈吉鲁斯的协助 下完成这件事的。冈吉鲁斯正是负责拜占庭防务和看守这些俘虏的。他 还让冈吉鲁斯带给波斯国王一封信,这封信后来被揭发出来,内容如 下:[7]“斯巴达将军波桑尼阿斯,渴望为您效劳,特意把战争中的这 些俘虏送还给您。另外,我建议,请允许我娶您的女儿为妻,并且把斯 巴达和希腊其他地方都归您统治。我认为,如果得到您的合作,我就能 做到这一点。因此,如果您同意我的建议,请派一名可靠的人到海滨 来,我们将来可以通过他互通信息。”

    129 信中被揭发的所有内容就这么多。薛西斯收到此信,很是高 兴。他派法那基斯之子阿塔巴佐斯到海滨,并且命他接替麦加巴特斯担 任达斯基里昂省的总督,命令他尽快地把国王的复信交给在拜占庭的波 桑尼阿斯,并且把国王的玺印给他看;如果接到波桑尼阿斯的关于履行 国王的事务的任何指令,他应当全力以赴地忠实执行。[2]阿塔巴佐 斯到达海滨后,立即执行国王的命令,把信送往拜占庭。 [3]国王的复信有以下内容:“国王薛西斯致书波桑尼阿斯:你从 海外为我救出了那些来自拜占庭的人,我很感激你,我的王室对此永世 不忘。我对你提出的建议也很赞赏。你要勤勤恳恳,日夜不停地履行你 对我的承诺;不论是金银的花费,还是军队的数目,不论你在什么地方 需要,都不要让它们成为障碍。我随信派给你一位可敬的人阿塔巴佐 斯,可以通过他大胆地推进我的和你的目标,最大限度地促进你我双方 的荣誉和利益。”

    130 波桑尼阿斯作为普拉提亚之战的英雄,曾在希腊人中赢得很高 的荣誉。在收到这封信之后,他便自命不凡,不能再安于普通的生活方 式了。他从拜占庭到外地去的时候,穿着波斯的服装;他行军经过色雷 斯的时候,有波斯人和埃及人组成的卫队护送;他按照波斯人的方式举行宴会。他已经完全无法隐瞒他的企图了,在小事上所暴露出的野心总 有一天会以大规模的行动表现出来。[2]别人平时很难见到他,他对 任何人都毫无例外地以粗暴态度相待,因而没有人能够和他接近。事实 上,这就是同盟转而倾向于雅典人的主要原因。

    131 波桑尼阿斯的以上这些行为逐渐为拉栖代梦人所知,因而发生 了第一次将他召回之事。现在,他没有得到拉栖代梦人的准许,就乘坐 赫尔米奥涅的船第二次出航,很明显,他的行为和从前是一样的。当雅 典人围攻拜占庭,迫使他出走的时候,他并未返回斯巴达;有消息说, 他已经定居在特罗阿德的科罗奈,不怀好意地逗留在那里,和异族人进 行阴谋活动。这时候,监察官不能再迟疑了。他们派出一名传令官,带 着急令权标 [31] ,命令他随传令官回国,如果他不回国,就将宣布他为 斯巴达人的公敌。[2]波桑尼阿斯希望首先要做的就是避嫌,自信能 够利用贿赂把自己的罪名洗清,因而他第二次返回斯巴达。起初,他被 监察官投入牢狱之中(他们是有权力幽禁国王的),但他很快私下了结 此事,并再次出狱;他表示,他愿意出庭对任何希望就他的事情立案调 查的人作答辩。

    132 现在,斯巴达人—无论他的敌人也好,整个城邦也好—都没有 于他不利的确凿证据,没有什么无可置疑的事实来惩处一位王族成员, 而且那时是身居高位的人。国王普雷斯塔库斯(列奥尼达斯之子)是他 的大堂弟 [32] ,尚未成年,由他担任摄政。但是由于他对法律的轻蔑, 对异族人生活方式的模仿,[2]人们开始广泛怀疑他对现行习俗的不 满;于是回顾他过去的所作所为,看看他是否有违反常规习惯的地方。 人们记得,在德尔斐有一个三足鼎 [33] ,希腊人把它作为反波斯战争的 第一批胜利果实 [34] 献给神祇的。波桑尼阿斯擅自在鼎内镌刻着下列对 句: 希腊人的领袖,击败波斯大军的波桑尼阿斯, 将此物献给福玻斯 [35] ,以示纪念。 [3]当时拉栖代梦人立即把这个对句弄掉,刻上所有参与摆脱波 斯统治并且奉献这个纪念品的城邦的名字。可是,人们认为波桑尼阿斯 在这里犯下重罪,而从他以后所采取的态度来看,这种事和他现在的谋 划是完全一致的。[4]另外,他们得到消息,说波桑尼阿斯竟然正在 和黑劳士密谋,这也是确有其事的。因为他答应,如果黑劳士参与他的 暴动,并且帮助他实现他的计划的话,他们将获得自由和公民权。 [5]就是现在从黑劳士得到一些证据的时候,监察官们还是不相信, 不赞成对他采取断然措施。这是符合他们处理自己人民的事务的常规习 惯的,即如果不是铁证如山,他们是不会对一位斯巴达公民作出不可挽 回的判决的。据说,最后一位把波桑尼阿斯写给波斯国王的最后一封信 送给阿塔巴佐斯的,是阿吉鲁斯。他曾是波桑尼阿斯最宠爱、最信任的 仆人,如今变成一位告发者了。因为此前派去的信使都是一去不复返, 他便恐惧起来。因此,他伪造了一个图章。这样,如果他的疑心是错误 的,或者如果波桑尼阿斯要取回他的信来修改的话,他不致被发觉。于 是他把信拆开了。他发现信的附言中所提到的正是他所怀疑的内容—命 令把他杀死。

    133 当阿吉鲁斯把这封信交给监察官看的时候,他们认为这是一个 比较令人信服的证据。尽管如此,他们还是想亲自听听波桑尼阿斯自己 的说法。因此,阿吉鲁斯被安排到泰纳鲁斯的神庙中,装作一个求神 者。他被安置在一间小屋中,小屋隔成两间。一些监察官隐藏在内屋 里,他们可以听到全部细节。波桑尼阿斯来看望他,询问他求神的原 因。他首先抱怨波桑尼阿斯在信中关于他的指令,又逐一谈到其他所有 的情况,指出他在代表波桑尼阿斯同波斯国王的谈判中,从来都没有损 害过波桑尼阿斯的利益,而现在他和他的许多奴仆一样,所得到的报偿 就是被处死。所有这一切,波桑尼阿斯自己都承认了,请求他不要因此 而生气。波桑尼阿斯友好地把他从祈祷的位置上扶起来,要他尽快启 程,不要耽误送信和谈判。

    134 监察官们仔细地听了这些对话,然后离开,暂时没有采取任何 行动,但是现在终于确认了这些事实,便准备在城里逮捕波桑尼阿斯。 据说,正当他在街道上快要被捕的时候,他从一个走近他的一名监察官 的面部表情中看出他的来意;另外一位监察官给他一个暗示,表示他有 危险。于是他跑开了,向黄铜宫女神的神庙那里跑去,因为神庙的院墙 近在咫尺。结果,没等他们动手,他就跑进避难所,进入神庙中的一个 小房间,以免受露天之苦,然后一直躲在里面。[2]监察官们在追赶 时暂时落在后面,后来他们揭开房顶,看到他确实在里面,就把门封 死,四周都安排了看守者,想把他饿死在里面。[3]当他们发现他在 屋子里已经奄奄一息,而就在他快要断气的时候,他们把他从神庙中抬 出, [36] 刚刚抬出来,他就死了。 [37] 他们起初准备把他的尸体抛到凯 阿达斯山谷 [38] 中,这是他们抛弃犯人尸体的地方,后来他们决定把他 埋葬在附近的地方。但是之后德尔斐的神祇又命令拉栖代梦人把他的坟 墓迁移到他死亡的地方—他的遗体现葬在圣地入口处,墓碑上的铭文可 以为证。他们因为做了这件事而遭到诅咒,神祇还命令他们向黄铜宫的 雅典娜女神归还两具而不是一具尸体。因此,他们铸造了两尊黄铜像, 奉献给女神,以作为波桑尼阿斯的替身。 [39]

    135 这样,雅典人以其人之道还治其人之身,要求拉栖代梦人根据 神亲自宣布的诅咒,驱逐那些被神诅咒的人。 [40] [2]言归正传。他们在调查波桑尼阿斯私通波斯的过程中,发现 此事与泰米斯托克利有牵连。于是拉栖代梦人派出使者,要求雅典人按 照他们惩处波桑尼阿斯的办法来惩处泰米斯托克利。雅典人也同意这样 做。[3]但是,碰巧泰米斯托克利已被放逐 [41] ,侨居于阿尔哥斯, 但他经常出访伯罗奔尼撒的其他地方。于是,雅典派人和伯罗奔尼撒人 一起(后者已经在追踪他了),命令他们无论在什么地方发现他,都予 以逮捕。

    136 但是泰米斯托克利觉察到他们的意图,便从伯罗奔尼撒逃往科 基拉。科基拉人尊他为恩人。 [42] 但是科基拉人说,如果他们冒昧地庇 护他,就会引起雅典和拉栖代梦的敌视,所以他们送他渡过海峡,来到 对岸的大陆上。[2]在这里,雅典的官员发现了他的行踪,紧紧地追 踪他,走投无路的他不得不在摩洛西亚国王阿德米图斯的家里暂住下 来,尽管他们之间未曾有过友好交往。[3]阿德米图斯碰巧不在家 里,泰米斯托克利向王后求救,王后要他抱着小王子,安坐在炉旁。 [4]不久之后,阿德米图斯回来了,泰米斯托克利说出他是谁,并且 请求他不要报复流亡中的泰米斯托克利,尽管他过去在雅典反对援助阿 德米图斯。的确,现在他来报复泰米斯托克利,力量相差太悬殊,只有 平等者之间的较量才是体面的。同时,泰米斯托克利反对阿德米图斯, 只涉及求援的成功与否,不是人命关天的事;如果国王把他交给刚刚提 到的那些追击者,从他们的目的来看,国王无疑是置他于死地了。

    137 阿德米图斯听了他的话,让他和王子一起站起来,因为他坐在 那里抱着小王子—这是一种最有效的恳求方式。不久之后,拉栖代梦人 [43] 来到这里,无论他们怎么说,阿德米图斯都拒绝交出泰米斯托克 利。由于泰米斯托克利希望到波斯国王那里去,因而阿德米图斯通过陆 路把他送到亚历山大 [44] 统治下的城市皮德那 [45] 。[2]在那里,他 遇到一位商人,正准备前往伊奥尼亚。起航之后,风暴把他们吹向正在 围攻那克索斯的一支雅典舰队。幸好船上的人不认识他。他害怕出事, 就告诉船主,他是什么人以及他欲逃往何处;并且说,如果船主不营救 他的话,他就告发船主,说船主接受了他的贿赂而带他逃跑的。同时, 他们的安全就在于不让任何人离开船,直到可以航行的有利时机出现为 止;如果船主按照他的要求去做,他答应给船主相应的报酬。船主按照 他的要求做了。他们在离雅典舰队不远的地方停泊了一天一夜,最后抵 达以弗所。 [3]泰米斯托克利收到了雅典的朋友们所寄来的钱和他在阿尔哥 斯的存款,就马上付给船主一笔现金。之后,他和一位在海边的波斯人 一道往内地去,并且送了一封信给薛西斯之子阿塔薛西斯,他是新近登 上王位的 [46] 。信的内容如下:[4]“我泰米斯托克利已经到您这里来 了。当我被迫自卫,以免遭您父王的侵略的时候,我对你们家族的危害 比任何一位希腊人都要多些。但是在他撤兵期间,当我安全而他很危险 的时候,我对他所做的好事远远超过那些危害。由于以前我对你们的恩 情,你们应当很好地报答我。”(这里他提到,他派人送信提醒薛西斯 从萨拉米斯及时撤退,以及由于他的努力使得桥梁未被拆毁 [47] —这完 全是谎话。)“现在我到这里来,能够为你们作出重大贡献;我被希腊 人追逐,是因为我对你们的友好关系。但是我希望等待一年的时间,到 时候我将亲自说明我到这里来的目的。”

    138 据说,波斯国王赞同他的想法,并且告诉他可以按他所说的去 做。泰米斯托克利在等待的一年之内,尽力地学习波斯语言和当地的风 俗习惯。[2]一年期满,他来到波斯宫廷,赢得了很高的声望,这在 到过这里的希腊人中是绝无仅有的。这部分地是因为他此前已声名显 赫,部分地是因为他提出了努力为波斯国王征服希腊的希望,但是主要 地是由于他经常能够证明自己的才干,[3]因为泰米斯托克利的表现 证明他是一位最富天才的人物。的确,在这些方面,他是超凡的,比任 何其他人都更值得我们钦佩。对于那些突发的不容许讨论的事件,他用 不着事先研究或事后考虑,以他天赋的智慧就能够作出最佳的判断,他 对未来的甚至是很久以后的事态发展的预测都是最可靠的。对于他所熟 悉的问题,他能够作出很好的说明;对于他不熟悉的问题,也并非不能 提供很好的意见。他还能够天才地预知未来,预知未来事件的好坏利 弊。总之,这位超凡的人物在直接应付突发事件之时,无论是他的天赋 智慧还是迅捷的判断,都是其他人难以企及的。[4]疾病是他真正的 死因。虽然有一种说法是,当他知道他难以实现他对波斯国王所作的许 诺的时候,就服毒自尽了。 [48] [5]但是无论如何,在亚细亚的马格涅西亚的市场 [49] 上有一个 为他竖立的纪念碑。他是这个地区的统治者,波斯国王把马格涅西亚赐 予他(该地区每年收入达50塔连特)以供给他面包,赐予他兰普萨库斯 (该地区被认为是最好的产酒之地)以供给他酒,赐予他迈奥斯以供给 其他必需品。[6]据说,他的遗骨,按照他的意愿,由他的亲属携带 回国,埋葬在阿提卡的土地上。这事是秘密进行的,以免雅典人知晓, 因为一位因犯有叛国罪而逃亡的人埋葬在阿提卡是违法的。拉栖代梦的 波桑尼阿斯和雅典的泰米托克利,是那个时代希腊最著名的人物,他们 人生的结局就是这样的。

    139 再来看看拉栖代梦人。他们第一次派出的使者所提出的要求和 从雅典人那里得到的答复,都是关于驱逐那些被神诅咒的人,这些故事 已如前述。紧接着拉栖代梦人又派出一个使者,要求雅典解除波提狄亚 之围,尊重埃吉那的独立。但是他们最明确地提出的首要的一点是:如 果雅典撤销那个禁止麦加拉人使用雅典人的港口和雅典市场的麦加拉禁 令 [50] ,那么,战争就可以避免了。[2]但是,雅典既不愿意撤销这 个法令,也不愿意接受其他的建议;他们指控麦加拉人,说他们耕种圣 地,耕种没有圈围起来的边境上的土地 [51] ,藏匿雅典的逃亡奴隶。 [3]最后,一个使团带着拉栖代梦人的最后通牒来到雅典。使者 是兰斐亚斯、麦里西浦斯、阿吉山德。他们只字未提过去的问题,只是 简明地说:“拉栖代梦人希望和平继续维持下去。只要你们愿意给予希 腊人自由,维持和平就并非不可能。”于是,雅典人召开公民大会,把 这个问题提交给他们讨论。让他们根据各种要求一劳永逸地加以讨论, 给拉栖代梦人一个答复。[4]许多人登台发言,有的支持战争,有的 支持和平。有些人强调战争是必要的,有些人主张撤销麦加拉禁令,认 为让它阻碍和平进程是愚蠢的。发言者当中有桑西浦斯之子伯里克利, 他是当时雅典的头号人物,无论在辩才上还是行动上,他都是最出色的 人物。他的意见是这样的:

    140 “雅典人啊,有一个原则,我在任何事情上都这样坚持,那就是 反对向伯罗奔尼撒人作出任何让步。我知道,劝说人们参加战争时的激 昂情绪在战争开始以后不总是保持得住的。随着事态的发展,人们的决 心也在发生变化。但是我认为现在必须向你们提出和以前相同的,几乎 是完全相同的建议。我建议你们当中那些被我的言辞所说服的人,要支 持公民大会的决议,即使是处在逆境之中也要如此。不然的话,在诸事 顺利的时候,他们就不能发挥他们的才智。因为事物发展的过程往往和 人们的计划一样,都是变幻莫测的。正因为如此,无论出现什么意料之 外的事,我们通常都把它归于命运。很明显,过去拉栖代梦是阴谋反对 我们的,如今就更加昭然若揭了。[2]和约上规定:我们彼此间的争 执应当交由法律来裁决,在裁决期间,双方应当维持现状。但是拉栖代 梦人从未向我们提出这样的请求,也从未接受我们所提出的请求;相 反,他们宁愿以战争方式来解决不满的事情,而不愿意以和平谈判的方 式来加以解决。终于,我们发现,他们来到这里,不是提出忠告,而是 向我们下命令。[3]他们命令我们解除波提狄亚之围,给予埃吉那独 立,撤销麦加拉禁令,他们最后竟发出通牒,责令我们给予希腊人自 由。[4]我希望你们当中没有人会认为,如果我们拒绝撤销麦加拉禁 令的话,我们就会因为一点琐事而投入战争。关于麦加拉禁令,他们抱 怨甚多,仿佛是撤销该法令,就会使我们免于战争。你们也不要有任何 自责之感,好像我们为一点点小事而兴师作战。[5]为什么这样说 呢?因为这点琐事是全局的保证,可以检验你们的决心。如果你们作出 让步的话,你们将遇到一些更大的要求,因为你们已经有了由于害怕而 让步的一个先例。而如果你们采取坚决不妥协的态度,将使他们清楚地 懂得,他们必须以平等者的地位来对待你们。

    141 “因此,你们要马上作出决断,不要在你们尚未受到伤害的时候 就屈服,如果我们即将兴师作战,我认为我们应当这样做,不管表面上 的原因是大是小,我们坚决反对任何让步,决不允许我们对财产的占有 权发生动摇。在试图以法律形式解决以前,一个平等者以命令的形式向 其邻邦提出的任何要求,不论这些要求是大是小,其意图都只有一个, 那就是要我们接受他们的奴役。 [2]“至于战争以及双方的资源,一种详细的比较将使你们看到雅 典不是居于劣势的一方。[3]伯罗奔尼撒人自己耕种自己的土地,无 论是个人还是公家,都不富有,他们也没有跨海进行长期作战的经验, 因为贫穷,他们彼此间的战争都是短暂的。[4]这样的国家不能经常 配备一个舰队的船员,或者经常派遣一支陆军,他们不能养活离开本土 的军队,军费开支是来自于他们自己的基金。此外,他们没有控制海 洋。[5]须知,维持一场战争的军费靠的是日积月累,而不是强征贡 金。农民是这样的一个阶级,他们总是更愿意把自己的人力而不是财力 投入战争。他们坚信,自己的生命将会化险为夷,转危为安,但是他们 无法确认那时他们的金钱已被花光,尤其是当战争出乎他们意料之外地 延续下去的时候,而战争很可能是会延长的。[6]在单独一个战役 中,伯罗奔尼撒人和他们的同盟者也许能够向全希腊挑战,但是他们无 力同一个性格与他们截然不同的强国交战,因为他们没有一个议事会可 以作出迅速果决的行动,因为他们的议事会 [52] 包括若干民族,每个城 邦都有平等的一票表决权,都只关心本邦的利益,这种情况的结果通常 是一事无成。 [53] [7]有些城邦特别渴望去报复自己的敌人,而另一 些城邦最希望的是能够节省开支。他们漫不经心地前来开会,会议期间 他们只用很少一点时间来考虑共同利益,绝大部分时间用于处理个别城 邦的事务上。同时,每个成员国都认为漠不关心不会带来任何危害,都 把本国的前途视为别国的事;既然各国都持有这样一种观念,共同的事 业就不知不觉地日趋衰微了。

    142 “然而至关重要的是,金钱的匮乏会使他们感到为难。在慢慢地 筹集金钱的过程中,时间就会因此而拖延下来。但是,战争中的机遇是 不等待任何人的。[2]另外,对于他们可能在阿提卡修筑要塞,对于 他们的海军,我们都不必害怕。[3]要建立一个可以与雅典匹敌的城 堡,即使在和平时期也是困难的,而要在敌国境内建立一个城堡则无疑 是更加困难的,何况雅典的防御力量丝毫不亚于他们进攻雅典的力量。 [4]如果他们仅仅是建立一些据点,虽然可以通过袭掠活动,通过为 逃亡者提供便利而使我们的城邦遭到某些损害,但是这绝不能阻止我们 利用我们强大的海上力量,从海上深入其领土,修筑要塞,以资报复。 [5]因为我们从海战中所得到的陆战经验,远远超过他们从陆地战役 中所得到的海战经验。[6]他们将会发现,我们的海上经验是他们很 难获得的。[7]如果你们自波斯人入侵以来就一直操练这项技术,至 今尚未精通此道,难道那些农民,那些没有海上生活经历的人们,会有 机会在这方面取得长足进展吗?况且,他们将一直处于雅典强大舰队的 监视之下,无法进行实际的操练。[8]对付一支弱小的舰队,他们依 仗人数众多,忽视自己的经验不足,而准备冒险作战。但是面对一支强 大舰队的封锁,他们将无法运动,训练的缺少使他们更显笨拙了,而技 术的拙劣必然使他们更加胆怯。[9]须知,航海技术和其他技术一 样,都是专门的技术,绝不是那种在偶尔的闲暇时的一种消遣;相反, 它的技术要求很严格,以致没有闲暇去从事其他事业。

    143 “如果他们攫取奥林匹亚或德尔斐的金钱 [54] ,力图以提供高薪 的办法来吸引我们海军中的异邦桡手,而到那时我们自己的公民和居住 在我国的异邦人都登上舰船服役,还不是他们的对手的话,那就不能不 是一件十分危险的事了。但是,事实上,我们在这方面总是能够对付他 们的。最有利的一点是:在我们自己的公民中间,技术高超的舵手和桡 手比希腊其他地方所有舵手和桡手的总和还要多些。[2]即使出现这 种危急状况,那些受雇于我们的异邦桡手,也没有一个人会愿意为了挣 几天的高薪,冒着被本邦剥夺法律上受保护的危险, [55] 去替对方打一 场无望获胜的战争。 [3]“对于伯罗奔尼撒人所处的地位,我认为已经作了一个大体公 平的陈述。至于雅典的地位,在我所评述的他们的缺点中,我们一个也 没有;而我们所拥有的其他优点,他们全都无法和我们相比。[4]如 果他们从陆上侵入我们的领土,我们将从海上攻入他们的国土,然后你 们将发现,伯罗奔尼撒一部分土地的破坏对他们的影响,比整个阿提卡 的破坏对我们的影响还要严重些;因为他们不通过战争就不能再得到新 的领土,而我们在诸岛屿和大陆上都拥有大量的土地。 [56] [5]“事实上,统治海洋是非常重要的。让我们来想一想,假如我 们是岛上居民的话,你们能相信我们将处于更加坚不可摧的地位吗?其 实,今后我们应当尽可能地把自己看作岛上居民。我们必须摈弃所有关 于我们土地和房屋的念头,时刻准备保卫海洋和城市。我们千万不要因 为丧失土地而被激怒,以致同数量上占有优势的伯罗奔尼撒人交战。如 果我们取得一次胜利,那么紧接着我们就只能同数量上占优势的军队交 战;如果我们失败了,我们就会丧失我们的同盟者,他们是我们力量的 源泉;如果我们的军队不能制服他们的话,他们是不会保持沉默的。我 们所应当悲伤的不是房屋和土地的丧失,而是人民生命的丧失,因为房 屋和土地不会使人有所增加,而人却能使它们有所增加。 [57] 假如按我 原来的想法能够说服你们的话,我愿意奉劝你们迁移出去,并且亲手把 你们的财产加以毁坏,以此向伯罗奔尼撒人明示:你们无论如何也是不 会因此而屈从于他们的。

    144 “如果你们一致同意不再利用战争来实施新的征服扩张计划,如 果你们不主动地把自己牵入新的危险中去,我还可以举出许多理由来说 明你们是有希望取得最后胜利的。事实上,我所担心的不是敌人的诡 计,而是我们自己的失策。[2]但是关于这些问题我将在另一次演 说,即战事即将开始之时再加以阐释; [58] 现在我们应当遣回拉栖代梦 的使者,并让他们带回如下答复:我们将允许麦加拉使用我们的市场和 港口,只要拉栖代梦人停止使用那些禁止我们和我们的同盟者入境的侨 民法,因为在条约中并没有涉及以上两项法令。我们愿意让诸城市 [59] 独立,只要它们在和我们订立条约的时候就已经是独立的, [60] 同时拉 栖代梦人要允许他们的诸城市 [61] 独立,允许他们按照自己的利益而不 是按照拉栖代梦人的利益来选择政府。我们还要说,我们愿意按照条约 中的明文规定提请法律仲裁;我们不会发动战争,但是我们将抗击那些 向我们挑衅的人。这是一个符合雅典权益和尊严的答复。[3]我们必 须清楚地懂得,战争是不可避免的。但是我们愈是准备接受挑战,我们 对手的战斗激情就愈是低落;我们还要知道,无论对于公民集体也好, 对于公民个人也好,最大的光荣是从最大的危险中得来的。我们的祖辈 们在抵御波斯人的时候,他们远没有现在这么多的资源,就是仅有的那 点资源,他们也都放弃了。他们击退了异族人,把他们的事业发展到现 在的高度,主要是由于他们的智慧而不是由于他们的幸运,主要是由于 他们的勇敢而不是由于他们的实力。事实不正是如此吗?我们决不能落 后于我们的祖辈们,但是我们必须全力以赴在各个方面抗击我们的敌 人,努力把一个同样强大的帝国移交给我们的后代。”

    145 这就是伯里克利的发言。雅典人为他那睿智的劝告所说服,于 是按照他的要求投票表决了。他们按照他的建议—无论是总的原则还是 具体各点上—对拉栖代梦人做了答复:他们不愿在强制命令之下做任何 事,但是准备按照和约上所规定的条件,在公平和平等的气氛中以法律 手段解决争端。这样,拉栖代梦的使者们便启程回国,以后再也没派使 者来。 146 这就是战前两个敌对的强国之间的责难和争执。这些争执是直 接由爱皮丹努斯事件和科基拉事件而引发的。尽管如此,两国之间的交 往,相互之间的联系仍继续保持着。双方在交往中没有用传令官 [62] , 但是彼此并非不猜疑,因为构成破坏和约和引发战争的一些事件尚在发 展之中。

    [1] 指雅典镇压了萨摩斯和拜占庭的暴动,即公元前439年以后。 [2] 参阅修昔底德,I. 24—44。 [3] 参阅修昔底德,I. 56—65。 [4] 公元前480—前431年。波斯国王薛西斯在萨拉米斯海战之后返回亚细亚。 [5] 参阅修昔底德,I. 101—103。 [6] 这是拉栖代梦人及其同盟者的一次名副其实的同盟大会,而前一次会议虽有同盟者参加,但并不是 真正的“同盟大会”。因此,克译本将本章标题定为“拉栖代梦的第二次同盟大会”并不准确。参阅修昔底德,I. 67。 [7] 参阅修昔底德,II. 13。伯里克利也建议利用同样的资源。据修昔底德(I. 118)记载,德尔斐神谕也 袒护伯罗奔尼撒人。—史译本注 [8] 希腊神庙经过长期的积累,此时已拥有雄厚资金,常借贷给城邦政府。 [9] 暗示雅典的雇佣桡手会成群结队地投向伯罗奔尼撒人,以图得到较高的薪水。 [10] 科林斯人大概是说,雅典的同盟者甘愿交钱受奴役,而他们为了复仇和生存,不更应当积极地捐资 出钱吗?科林斯人想以此激励其盟邦慷慨出资助战。 [11] 指雅典。大概是说雅典对待其同盟者,就如同僭主对待其国民一样。 [12] 指公元前432年至战争爆发前这段时间。 [13] “基隆事件”大约发生于公元前7世纪30或20年代,很可能是在公元前636年或前632年。古希腊的奥 林匹亚竞技会自公元前776年开始,每四年举行一届。据史料记载,基隆是第35届奥林匹亚竞技会(公元前640 年)的优胜者。 [14] 参阅希罗多德,V. 71;普鲁塔克:《传记集·梭伦传》,XII。 [15] Zeus Meilichios或Gracious。 [16] “全体人民”意指阿提卡所有村社(德莫)的人。 [17] “狄亚西亚”节是雅典人每年初春举行的庆节,节日期间,他们用一些动物形状的面食作为祭品,而 不用真正的牺牲。 [18] 参阅希罗多德,V. 7l。这是梭伦改革以前的情况。在梭伦改革特别是克里斯提尼改革以后,十将军 委员会的地位逐渐上升,执政官的权力日渐减小,主要以司法职权为限。到修昔底德写作这段文字时,执政官 已经没有多少实权了。 [19] 雅典保护神雅典娜女神(Athena Polias)的神坛。 [20] 复仇女神(Erinyes,厄里倪厄斯)。按希腊传说,有说一位的,有说数位的。赫西俄德说她们是 该亚的女儿,是从受重伤的乌拉诺斯滴到地上的血里出生的。复仇女神在雅典有个别名叫欧墨尼得斯 (Eumenides),其神殿位于卫城和战神山(Areopagus)之间。 [21] 主要是阿尔克麦昂家族(Alcmaeonidae),其首领是麦加克利斯,他在基隆暴动时担任执政官。 [22] 克里奥蒙尼是拉栖代梦的国王,这次行动是他们对雅典内政的干涉。 [23] 伯里克利是麦加克利斯的第六代子孙,他的母亲阿伽丽斯特(Agariste)是阿尔克麦昂家族成员克 里斯提尼的侄女。参阅希罗多德,VI. 131。 [24] 因为他与被神诅咒的家族有血缘关系。 [25] 具体指哪一史实已无从稽考,有的学者认为此事发生于公元前470年左右。 [26] 参阅修昔底德,I. 101。 [27] 拉栖代梦卫城中雅典娜女神庙的名称。据波桑尼阿斯记载(III. 17.2),神庙和女神像都是用黄铜 铸造的。—史译本注 [28] 公元前478年。参阅修昔底德,I. 95。 [29] 参阅修昔底德,I. 95— 96。 [30] 参阅修昔底德,I. 94— 95。 [31] 拉栖代梦人有两个大小相同的圆柱形权标(scytale ),平时都放在国内,战时有一个掌握在国外 最高司令官手中。一块条状羊皮纸斜着卷在权标上,急令纵向写在上面。然后取下羊皮纸送到持有另一个权标 者手上,他收到后将羊皮纸重新卷到权标上,便可以看到其中内容。这样可以保证中途不泄密。参阅色诺芬: 《希腊史》,III. 3.8;普鲁塔克:《传记集·吕山德传》,XIX. 6—7。 [32] 谢译本第91页注1,译称是他的侄儿。 [33] 这是安置在一条三头的青铜蛇上的一个黄金鼎(希罗多德,IX. 81)。这个金鼎在第三次“神圣战 争”(公元前355年)中被佛基斯人运走(波桑尼阿斯,X. 13.5)。金鼎的内部镌刻有参加波斯战争的希腊31个 城邦的名字。这个三足鼎显然是希腊反波斯联盟的集体的纪念物。三头蛇的基座后被罗马皇帝君士坦丁移至君 士坦丁堡,现存于今土耳其伊斯坦布尔。参阅W. W. How and J. Wells, A Commentary on Herodotus , Oxford, 1979, pp. 321–324。 [34] 按希腊人的习惯,每年都要将农作物的第一熟果实按一定的比例奉献给神庙,对战利品也是如此。 [35] 菲布斯(Phoebus,希腊语意为“光辉灿烂的”),即太阳神(Apollo),因为这个三足鼎是献给太 阳神的。 [36] 如果让他死在那里,就意味着神庙被玷污了。 [37] 公元前470年。 [38] 凯阿达斯(Kaiadas)山谷距离斯巴达不远(可能在现在的密斯特拉附近)。 [39] 参阅谢译本,第93—95页。 [40] 参阅修昔底德,I. 128。 [41] 一般认为,泰米斯托克利依陶片放逐法(Ostracism)被放逐,时间不早于公元前472/前471年。陶 片放逐法雅典是对显赫公民的一种放逐办法,必须由民众裁决。投票由执政官和议事会在广场上监督进行,以 陶器制品的碎片为票(ostraka)。原则上得票超过6000者,须在10日内体面地离开阿提卡10年,其间保留其财 产权和公民权。一说在至少有6000人参加的民众大会上,得票最多者即遭放逐。该法律实施其间也难免受到党 派斗争的影响。 [42] 大概是指在科基拉人和科林斯人的争执中,他帮助过科基拉人。参阅普鲁塔克:《传记集·泰米斯 托克利传》,XXVI。 [43] 昭译本此处译为“雅典人和拉栖代梦人”。参阅谢译本,第95页。 [44] 马其顿国王。 [45] 位于爱琴海西北角的泰尔迈湾(Thermaic Gulf)左岸。 [46] 约公元前464年。 [47] 横跨赫勒斯滂海峡的浮桥。关于这些史事,参阅希罗多德,VIII. 108—110。 [48] 约卒于公元前462年。关于他的死因,有不同的记载。参阅阿里斯托芬:《骑士》,83;狄奥多拉 斯,XI. 58;普鲁塔克:《传记集·泰米斯托克利传》,XXXI。 [49] 修氏这里强调亚细亚的马格涅西亚,是为了与色萨利的同名城市相区别。Agora 是古典时代希腊城 市的市场所在地,也是城市商业、社会和政治活动中心。 [50] 参阅修昔底德,I. 67;阿里斯托芬:《阿卡奈人》,520—523和533以下。这个法令颁布的年代一 定和战争爆发的时间相近。 [51] 耕种圣地指耕种埃琉西斯女神的土地,边境上的土地指雅典和麦加拉有争议的土地,因为那里尚未 立界碑。埃琉西斯女神是指丰产和农业女神德墨特尔和她的女儿,地狱(冥府)的女统治者珀尔塞福涅。 [52] 这里系指伯罗奔尼撒同盟大会。 [53] 修昔底德在这里明确指出雅典帝国与伯罗奔尼撒同盟的决策方式之不同。 [54] 希腊人除平时对神庙有所贡献以外,每次战役获胜以后,总要将战利品按一定比例献给神庙。到这 场战争前夕,这些地方的神庙已积累了大量的金钱。 [55] 雅典的雇佣桡手来自于雅典同盟诸邦,凡是参加伯罗奔尼撒一边作战的人,皆不许返回其本邦(相 当于被本邦放逐)。—史译本注 [56] 显然,在雅典人看来,他们的领土绝不仅限于阿提卡半岛,而是帝国广大地区。 [57] 这里修昔底德借伯里克利之口,劝说雅典人不要为失去乡村的住房和土地而过度悲伤,财物固然重 要,但人更为重要。这是修氏人文主义思想的重要体现。由于语义稍显抽象,诸种英译本的译法不一,说明诸 位研究者对这句话内涵的理解不尽一致。现列举如下:(1)克译本:“since houses and land do not gain men, but men them”;(2)昭译本:“men may gain these, but these will not gain men”;(3)史译本:“for these things do not procure us men, but men these”;(4)拉蒂摩尔译本(The Peloponnesian War , trans., Steven Lattimore, Indianapolis: Hackett, 1998):“Those do not create men, men create them”;(5)哈蒙德译本(The Peloponnesian War , trans., Martin Hammond, Oxford University Press, 2009):“Property is the product, not the producer of men”;(6)华尔纳译本(Rex Warner, London: Penguin Book, 1972):“Men come first; the rest is the fruit of their labour”。谢译本(第103页)据此将这句话译为:“人是第一重要的;其他一切都是人的劳动成 果。” [58] 参阅修昔底德,II. 13—14。 [59] 指雅典统治下诸属国。 [60] 这种说法似是而非。因为公元前478年雅典同盟建立之初,小亚细亚及其附近岛屿的那些入盟之邦 尚未完全摆脱波斯人的统治,它们之所以请求雅典人做它们的盟主,也正是希望在雅典的领导下获得解放。如 果雅典人不承认它们独立,那就意味着它们自臣服于吕底亚人之后从未获得独立。换言之,波斯战争的结果对 于它们来说,只是更换了主人而已。 [61] 指拉栖代梦人的诸同盟城邦。 [62] 这是双方即将进入临战状态时的一种外交惯例。

    第二卷

    第六章 伯罗奔尼撒战争的爆发。第一次入侵阿提卡。 伯里克利的葬礼演说。

    1 现在,雅典人及其同盟者与伯罗奔尼撒人及其同盟者之间的战争 真正开始了。 [1] 双方已经断绝了所有其他的来往,只是通过传令官传 递信息;自战争开始以后,情况一直是这样。这部历史记载事件是按照 夏季和冬季来纪年的。 [2]

    2 征服优波亚后所缔结的“三十年和约”已经有14年了。 [3] 在第15 年,也就是阿尔哥斯的克里西斯担任女祭司的第48年,在斯巴达的埃尼 希亚斯担任监察官的那一年,即雅典的执政官皮索多鲁斯执政任期最后 两个月, [4] 波提狄亚战役后6个月,正值初春,一支底比斯的军队,约 300余人,在波奥提亚同盟官 [5] 、腓莱德斯之子皮桑吉鲁斯和奥涅托里 德斯之子狄恩波鲁斯的统率下,大约在头更 [6] 的时候,进入普拉提 亚,一个与雅典结盟的波奥提亚的城镇 [7] 。[2]底比斯人是应一位名 叫诺克雷德斯的普拉提亚人及其同党邀请而来的。他们把城门打开,让 底比斯人进城。这个党派的目的是屠杀本邦公民中的政敌,使普拉提亚 倒向底比斯,以便他们自己取得政权。[3]这个计划是底比斯的一个 颇有影响的人物列昂提亚德斯之子攸里马库斯制定的。因为普拉提亚向 来与底比斯不和,底比斯人知道战争 [8] 已经迫近,他们想在战事尚未 真正开始以前,在和平时期向其宿敌发动突袭。这样,他们就神不知鬼 不觉轻易地进入普拉提亚,因为普拉提亚人没有防范。 [4]底比斯军队开进市场,把武器放在地上。邀请他们来的那些 人希望他们立即行动起来,冲向他们政敌们的宅邸。但是,底比斯人没 有采纳这个意见,而是决定发布一个安抚性的公告,如果有可能与其公 民达成友好谅解的话。因此,他们的传令官宣布,任何想加入他们的同 盟、恢复在波奥提亚同盟中先前地位的人,都应前来向他们投诚。他们 认为这种方式可以使这个城邦毫不犹豫地加入他们这一边。

    3 至于普拉提亚人,他们眼见底比斯人长驱直入,俄顷之间就占领 了城市,他们惊恐之间竟断定进城的军队人数超过实际的人数,黑夜里 也使他们看不清入城者的情况。因此,他们接受了这个提议,对底比斯 的军队不加抵抗,尤其是因为底比斯军队没有对他们任何人施以暴力。 [2]但是,就在他们协商谈判的时候,却发现底比斯军队为数不多, 断定他们会很容易地攻击并制服底比斯人。普拉提亚人中的大多数人反 对叛离雅典。[3]他们决定无论如何也要抵抗。他们把毗连在一起的 房屋的墙壁凿成孔道,大家集合起来。为避免被街上的行人发现,他们 还把没有牲口的马车拖到街上,以造成障碍。其他一切对此事有利的工 作,他们都做好了。[4]所有准备工作都尽可能地完成之后,他们注 意抓住机会,冲出住宅,杀向敌人。这种机会便是曙光未启、到处都是 漆黑一片之时。如果选择在白天进攻,他们认为敌人勇气十足,能够在 相同的条件下相对抗,而夜间发起进攻,他们面对的是惊慌失措的敌 人;敌人不熟悉地形,也是一个弱点。因此,他们立即发动进攻,并且 尽快地逼近敌人。

    4 当底比斯人发现自己中计的时候,他们马上整队,反击来自各方 的敌人。[2]他们打退了普拉提亚人的两三次进攻。但是进攻的男人 们喊声震天,妇女和奴隶们在屋顶上尖叫呼喊,并且向他们抛掷石块和 瓦片;同时,整个夜里大雨下个不停。最后,底比斯人丧胆了,掉转方 向朝城外逃去。恰逢月末, [9] 天黑路滑,大多数人根本不知道走哪条 路才出得去。而追击者熟悉他们的逃跑路线,可以很容易地阻止他们逃 走。结果,很多底比斯人被杀死了。[3]他们原先进城的城门是唯一 开启的城门,一位普拉提亚人把这道城门关闭了,他用标枪头把门闩钉 紧,所以,唯一的出城之路也给堵住了。[4]现在底比斯人在城里四 处逃窜。有些逃命的人爬上城墙,向城外跳下去,大多数人就这样摔死 了。有一队人找到了没人防守的城门,他们从一名妇女手中夺得一把斧 头,把门闩劈开。但是他们还是很快就被发现了,只有很少的人逃到城 外。其余的人在城里被分割围歼。[5]人数最多的一支队伍集合起 来,冲进城墙旁边的一栋大房子,那栋房子面向街道的大门恰好是敞开 的。底比斯人以为那就是城门,可以由此通向城外。[6]普拉提亚人 看到敌人自投罗网,大家商量,是放火把他们烧死在这栋房子里面还是 另想办法来对付敌人。[7]最后,这里的以及在他处留得性命的敌人 都无条件地向普拉提亚人缴械投降。[8]这就是进入普拉提亚城里的 底比斯人的命运。

    5 其余的底比斯人原定于在黎明前与他们会师,以防备进城的底比 斯人有所不测。他们在路途中得知前方的消息,就赶忙行军,试图解 围。但是普拉提亚和底比斯相距约70斯塔狄亚 [10] ,那一夜的大雨阻碍 了他们的行军,因为当时阿索浦斯河水上涨,不易横渡。[3]冒雨行 军,再加上渡河的困难,等他们到达目的地时,整个先头部队不是被杀 死,就是被俘虏。[4]当他们得知这些情况以后,他们立即制订一个 计划,以向城外的普拉提亚人发起进攻。由于事变发生在和平时期,完 全出乎人们的意外,所以乡下当然还有居民和牲畜。底比斯人认为,如 果可能的话,俘虏一些普拉提亚人,用以交换那些在普拉提亚城里被活 捉的底比斯人。[5]这是他们的计划。但是普拉提亚人在他们制订计 划的时候也料到这一点,他们担心城外的同胞公民的生命安全,派出了 一位传令官,谴责底比斯人说:在和平时期企图攻占普拉提亚是完全不 应该的,并且警告他们不要伤害郊外的居民。否则,他们威胁说将把城 里所俘获的底比斯人杀掉。他们还补充说,如果底比斯人从他们的境内 撤走,他们就会把俘虏交给他们的朋友。[6]这是底比斯人对这件事 的说法,他们说普拉提亚人还为此发过誓。但是在普拉提亚一方面,他 们不承认曾答应过立即释放俘虏,而是要视双方随后的协商条件而定; 他们矢口否认有过誓言。[7]不管实际情况怎样,底比斯人撤离了普 拉提亚的国境,没有任何破坏行动,而普拉提亚人则匆忙地将乡村的财 产统统搬迁入城,随即把所俘获的底比斯人都杀死了。俘虏的总数是 180人,其中包括曾经与普拉提亚的叛党谈判过的人物攸里马库斯。

    6 事后普拉提亚人派了一位使者到雅典去,根据休战和约,把死者 的尸体交还给底比斯人。同时,在城里为应付目前的突发事件,而进行 了一切他们认为最好的准备工作。[2]关于普拉提亚所发生的事情, 消息很快传到了雅典。雅典人立即把阿提卡境内所有的波奥提亚人都逮 捕起来,并且派一个传令官去普拉提亚,要求普拉提亚人在没有得到来 自雅典的命令之前,不要对底比斯的俘虏作出最后的处理。当然,这时 关于俘虏已被杀死的消息尚未传到雅典。[3]第一位使者是在底比斯 人初入城时离开普拉提亚的,第二位使者离开城市时,底比斯人刚刚战 败被俘,所以后来所发生的一切,他们都不知道。因此,雅典人的指令 是在不明了事实真相的情况下作出的。使者到达时,才知道俘虏都被杀 掉了。之后,雅典人开入普拉提亚,运入给养,留下一支驻防军, [11] 把妇女、小孩以及不适于战斗的男人都带走了。

    7 普拉提亚事件之后,和约 [12] 很明显地由此而被撕毁了。于是雅 典人立即准备作战,拉栖代梦人及其同盟者也在备战。他们决定派遣使 者拜见波斯国王以及其他异族国家, [13] 希望从那些地方能够取得援 助;他们还力图与本土的那些中立的 [14] 邦国建立同盟。[2]除原有 的舰船以外,拉栖代梦命令意大利和西西里的那些声称拥护它的各邦建 造舰船,舰船数目按城邦的规模而定,总数要达到500艘, [15] 各邦还 要筹措一定数目的经费。在这些准备工作未做好以前,这些城邦应当继 续维持中立,允许单个的雅典舰船开入它们的港口。[3]在另一方 面,雅典在重新审视现有的同盟之后,又派遣使者前往科基拉、基法伦 尼亚、阿卡纳尼亚和扎金苏斯这些更靠近伯罗奔尼撒的地方,认为只要 能够和这些地方建立可以信赖的友好关系,雅典人就可以在伯罗奔尼撒 的整个周边地区进行战争。

    8 双方都雄心勃勃,竭尽全力投入这场战争,这是很自然的。在一 项事业刚刚开始的时候,热情总是最高的。那时,在伯罗奔尼撒和雅典 两方面,都有许多青年人,从来没有经历过战争,因而满怀热情地参加 战争。至于希腊其他的城邦,当这两个主要城邦进行战争时,都极力克 制其内心的兴奋。[2]各地流传着种种预言和神谕,而不仅仅局限在 参战诸邦范围内。[3]而且,战争爆发以前提洛岛上发生地震,这是 希腊人记忆当中的第一次地震。 [16] 人们普遍认为这是大事将临的征 兆。事实上,无论发生什么样的事情,都会有稀奇古怪的解释的。 [4]公众的舆论是明显地倾向于拉栖代梦人的,尤其是因为他们 宣称自己是“希腊的解放者”。希腊各城邦和个人都在以言辞和行动来尽 力援助他们。大家普遍认为,谁不希望参与其中,整个事业就会在他那 里陷于停顿。[5]人们普遍对雅典人义愤填膺,不论是那些渴望脱离 雅典帝国的人们,还是那些担心被雅典帝国吞并的人们,其心情都是如 此。

    9 这就是战幕即将拉开时双方备战的情况和心态。交战双方都有各 自的同盟者,情况如下:[2]拉栖代梦的同盟者有地峡以内所有的伯 罗奔尼撒人,中立者阿尔哥斯人和阿凯亚人除外;培林尼是战争中第一 个入盟的阿凯亚城邦,尽管后来其他城邦加以效仿。在伯罗奔尼撒以 外,同盟者还有麦加拉人、罗克里斯人、波奥提亚人、佛基斯人、安布 拉基亚人、琉卡斯人和阿纳克托里亚人。[3]其中,提供舰船的盟邦 有:科林斯人、麦加拉人、西基昂人、培林尼人、爱利斯人、安布拉基 亚人和琉卡斯人;提供骑兵的盟邦有:波奥提亚人、佛基斯人和罗克里 斯人;其他城邦提供步兵。这是拉栖代梦及其同盟者。 [4]雅典一方的同盟者包括:开俄斯人、列斯堡人、普拉提亚 人、诺帕克图斯的美塞尼亚人、大多数的阿卡纳尼亚人、科基拉人、扎 金苏斯人,还有下述地区的诸纳贡城市,即卡里亚区(滨海地区以及毗 邻的多利斯诸邦)、伊奥尼亚区、赫勒斯滂区、色雷斯区、在伯罗奔尼 撒和克里特之间以东诸岛屿,以及除米洛斯和锡拉 [17] 以外所有基克拉 底斯诸岛。 [18] [5]其中,开俄斯、列斯堡和科基拉供给舰船,其余 的供给步兵和金钱。以上所列为双方的同盟者和他们的战争资源。

    10 普拉提亚事件发生之后,拉栖代梦立即派遣使者前往伯罗奔尼 撒诸邦以及其他同盟国,命令他们准备军队和军需品以应付对外出征, 目的是入侵阿提卡。[2]各邦按指定的时间在地峡一带集结,每个城 邦要派出其全部兵力的三分之二。[3]全部军队集中以后,拉栖代梦 人的国王,远征军总司令阿奇达姆斯,将各邦的将军、首要人物和官员 们召集起来,发表了下面的演说:

    11 “伯罗奔尼撒人及诸位同盟者,我们的前辈们在伯罗奔尼撒境内 和境外参加过许多战役,我们当中的年长者对于战争不是没有经验的。 但是我们从来没有集合过比今天更多的兵力去远征。我们的人数和战斗 力是非常突出的;同样,我们所要进攻的国家的军事实力也是异常强大 的。[2]我们不应做我们祖先的不肖子孙,我们要无愧于我们的名 誉。整个希腊都在注视着我们现在的行动,都痛恨雅典人,同情我们, 希望我们取胜。[3]因此,虽然我们进攻雅典的军队人数众多,虽然 敌人肯定不敢冒险来与我们会战,但这并不意味着我们在行军时可以有 丝毫的懈怠:各邦的军官和士兵应当时刻准备应付出现在自己阵营中的 危险。[4]战争的进程是无法预料的,攻击往往是发生于一时的冲 动。在数量上处于劣势的军队,常常因为机智灵活,而击败过于自信而 疏于警惕的优势敌人。[5]当然,我们的军队应当满怀信心,但在侵 入敌国境内时,也要时刻提高警惕。这样的军队,才可能在进攻时勇往 直前,在防卫时持重可靠。[6]现在我们所要进攻的城邦绝对不是没 有防卫力量的。相反地,它在各方面都是装备得最完好的。因此,我们 有充分的理由相信,他们将出来和我们接战;纵或在我们进攻之前,敌 人不出来迎战,但是当他们看到我们在他们的领土内蹂躏他们的土地, 毁坏他们的财产的时候,他们一定会出来和我们作战的。[7]如果人 们经受过去未曾受过的痛苦 [19] ,而现在又眼睁睁地看着这些痛苦的事 情在发生,他们自然是会被激怒的,他们越是静观待变,杀出城来的内 心冲动就越强。[8]雅典人这样做的可能性超过其他人,因为他们妄 图统治世界上的其他人,他们更习惯于入侵并毁坏邻人的疆土,而很少 看到他们自己的领土被别人侵入和毁坏。[9]因此,大家要思量一下 你们所要进攻的城邦的军事力量,这个事件可以为我们的祖先和我们自 己赢得巨大的荣誉,也可能使我们失去这个荣誉;要记住跟着你们的队 伍走,最重要的是遵守纪律,提高警惕,传达给你们的命令要立即执 行。如果整个大军纪律严明,步调一致,那是最值得称道的,也是最安 全的。”

    12 简短的演说结束后,阿奇达姆斯把会议解散。接下来他采取的 第一个步骤,就是派遣斯巴达人狄亚克里图斯之子麦里西浦斯前往雅 典,探询雅典人看到大军压境,是否会更容易地作出让步。[2]但 是,雅典人不许他进城,不许他接近公民大会,伯里克利预先使公民大 会通过一项动议,一旦拉栖代梦人的军队离开本国,雅典就拒绝接见他 们的传令官或使者。因此,雅典人没有接见这位传令官,命令他当天离 开雅典国境;并且对他说,如果以后拉栖代梦人派他来提出什么建议的 话,就必须先把军队撤回国内,再派使者来雅典。雅典派人护送麦里西 浦斯离境,以防止他和任何人接触。[3]当他抵达边境,即将离去的 时候,说了这样一句话:“今天对于希腊人来说,是大祸降临的开 始。”[4]他一返回军营,阿奇达姆斯就得知雅典人还是根本不想作出 让步,他终于拔营启程,开赴雅典境内。同时,波奥提亚人派出他们的 分遣队 [20] 和骑兵加入伯罗奔尼撒人的远征军,其余的军队开赴普拉提 亚,蹂躏那里的乡村。

    13 当伯罗奔尼撒人还集结在地峡上,或者正准备出发向阿提卡进 军的时候,桑西浦斯之子伯里克利,雅典的十将军之一,他知道敌人就 要来犯了。碰巧阿奇达姆斯是他的朋友 [21] ,就想到阿奇达姆斯途经他 的地产时也许会不加破坏。阿奇达姆斯这样做或许是出于个人对他的好 意,或者是执行拉栖代梦人的命令,以期使人们对伯里克利产生偏见, 这正像他们此前试图要驱逐那些被神诅咒的家族一样。 [22] 因此,伯里 克利在公民大会上预先提醒雅典人说,尽管阿奇达姆斯是他的朋友,但 这种友情应当无损于城邦的利益。假如敌人对他的房屋和田产与别人的 房屋和田产区别对待而不加以毁坏的话,他愿意马上把它们捐献给公 家,以免人们因此对他产生怀疑。[2]对于当前的势态,他对公民所 提出的忠告和从前是一样的 [23] :他们要准备作战,把乡村的财产搬迁 入城;他们不得出城接战,而要进入城内,固守城垣;要让舰队做好准 备,这是他们真正的力量所在;他们要紧紧抓住他们的同盟者—他们所 缴纳的金钱是雅典势力的源泉,战争的胜利主要是依靠明智的决断和手 中的金钱。 [3]在这一点上,他们是没有理由泄气的。他说,除了从别的来 源所取得的收入 [24] 以外,同盟者每年所缴纳的贡金平均达600银塔连 特 [25] ;在雅典卫城内,还存有6000塔连特铸成的银币,这个数字曾达 到9700塔连特,因为修筑卫城正门及其他公共建筑 [26] ,因为围攻波提 狄亚,曾经用去了3700塔连特;[4]除此以外,还有私人和公家所捐 献而未铸成货币的金银,还有游行和竞技时所用的神圣器皿,还有掠自 波斯的战利品以及类似的资源,总数亦达500塔连特。[5]他补充说, 其他神庙所储存的金钱,数目也是很可观的,它们都可以名正言顺地取 来使用;甚至到了极其窘迫的时候,就是雅典娜女神像上的黄金片也可 以利用; [27] 因为雕像用了40塔连特的纯金,并且都是可以取下来的。 [28] 如果是为了自存而真的动用这批黄金的话,他们一定得如数归还。 [6]这就是雅典人的财政状况—肯定是令人满意的。(见图8) 图8 远眺雅典卫城 至于军队,他们拥有1.3万名重装步兵,另有驻防海外各地和在国 内负责守卫雅典城的1.6万名 [29] 。[7]这个数字起初是在敌人入侵时 担任防御工作的:它包括兵册上最年轻和最年长的士兵,以及能够自备 重装步兵装备的麦特克。 [30] 从法勒伦到雅典城的法勒伦城墙长达35斯 塔狄亚 [31] ,环绕雅典的城墙有43斯塔狄亚 [32] 是有士兵驻守的,尽管 有一段(即长城和法勒伦城墙间一段)没有士兵守卫。从雅典到比雷埃 夫斯的长城有40斯塔狄亚 [33] ,其墙外有士兵戍守。最后,环绕比雷埃 夫斯及穆尼基亚城墙长60斯塔狄亚 [34] ,大约有一半的距离是有士兵守 卫的。[8]伯里克利还指出,他们的骑兵连同骑兵射手在内,共有 1200名 [35] ,还有1600名徒步射手 [36] ,300艘三列桨战舰随时可以投 入战争。这是伯罗奔尼撒人即将入侵、战事即将开始之时雅典各方面资 源的状况。 [37] 伯里克利还强调他常用的一些论据,以证明雅典人获胜 是有把握的。

    14 雅典人听从了伯里克利的建议,开始着手把他们的妻室儿女以 及所有的日用家具,甚至连房屋的木造部分, [38] 只要能取下来,都搬 进城中。他们的羊和牛 [39] 都运往优波亚岛以及附近诸岛屿上去了。但 是,他们觉得迁移是非常痛苦的,因为他们大多数人一直是习惯于居住 在乡村的。

    15 从很早的时代以来,雅典人的生活就比其他人更加具备这种乡 村生活的特征。从凯克罗普斯 [40] 和早期诸王直到提秀斯当政的时代, 阿提卡一直是由若干独立城镇组成的,各城镇有自己的议事厅和管理 者。只有处在危急的时候,雅典的王才与他们商讨决策;平时各城镇政 府独立运作,各自处理自己的事务,不受雅典王的干涉;有时候,他们 甚至对雅典王开战,例如攸摩浦斯和埃琉西斯人一起反对埃里克修斯 [41] 。[2]但在提秀斯为王的时候,他表现得既明智,又强大;他的乡 村组织体制的主要特征之一便是取消小城镇的议事会和管理者,在现在 的首都雅典,把他们集中到唯一一个议事会和市政厅中;个人还是和从 前一样,享有自己的财产,但是他们从此就只允许有一个政治中心,那 就是雅典,因为所有阿提卡的居民都可以算作是雅典的公民了。因此, 提秀斯遗留给后人的,是一个伟大的城邦。 [42] 事实上,西诺基亚或统 一节 [43] 就是从他开始的。这个节日的开支由公家承担,也是雅典人为 永远纪念雅典娜女神而举行的节日。[3]在此以前, [44] 雅典城所包 括的只是现在的卫城和它下面向南的部分区域。[4]关于这一点,可 以由以下事实证明:其他诸神的神庙和雅典娜神庙一样,都在雅典卫城 范围以内。卫城以外的神庙几乎都在卫城以南的区域内,例如奥林匹亚 的宙斯神庙、皮西亚的阿波罗神庙、大地之神神庙和林奈的狄奥尼苏斯 神庙。直到现在,不论是雅典人还是他们的伊奥尼亚人后裔,都在每年 的安特斯特里昂月 [45] 举行纪念狄奥尼苏斯神的比较古老的节日—狄奥 尼西亚节。[5]其他的古老的神庙也都在这一区域。自从僭主们 [46] 开凿这个泉水以来,这个地方就叫作恩涅亚克鲁诺斯,或“九泉”,但是 过去当泉水从地下涌出时,常被称为卡利尔荷或“芳溪”。在那个时候, 大多数重要的场合都要利用这个泉水,因为它就在附近。事实上,现在 在婚礼上和其他宗教仪式中利用泉水这个古老的习俗,就一直保持下 来。另外,雅典人至今还称卫城为“城”,就是因为卫城是他们古老的居 住地。

    16 因此,雅典人长期以来就是分散地生活在阿提卡的独立的城镇 中的。就是在提秀斯把权力集中起来以后,他们依然保持这种古老的习 惯。大多数的雅典人,从早期时代直到这场战争之前,都和家眷一起生 活在乡村。因此,现在要他们彻底地迁移,尤其是在波斯入侵 [47] 后不 久重新定居下来的时候,他们是很不愿意迁移的。[2]他们很忧伤, 很不愿意抛弃他们的家园,抛弃祖先留下的一直属于他们的神庙,很不 愿意改变他们的生活习惯,把每个人所认为是他本族的城镇加以抛弃。

    17 他们到了雅典,少数人有自己的房屋可以住,也有少数人托庇 在朋友或亲戚的宇下。但是大多数人不得不在城市中没有建筑房屋的地 方,在庙宇中或古代英雄的神殿中栖居下来。但是雅典卫城、埃琉西斯 的德墨特尔神庙和其他类似的地方向来是禁止人们去住的。在卫城下 面,有一块土地,名叫“皮拉斯基人的土地” [48] ,由于神的诅咒,也是 禁止人们居住的。同时,皮西亚的阿波罗神谕的断片也宣布: 让皮拉斯基人的土地荒着, 居住在这里的人灾祸临头。 [2]但是因为当时的迫切需要,在这块土地上面也盖起房子来 了。照我看来,如果说这个神谕应验了,那它和当初预料的正相反。因 为邦国的不幸不是由于在此地非法居住所致,而是由于发生战争,人们 不得不在此居住。虽然神没有提到战争,但神可以预料到,如果有人来 此地居住,那一定是雅典遭遇不幸的时候。[3]许多人在城墙上面的 塔楼中住下来,在其他地方只要能住,他们都住了下来。因为他们都迁 入城中,城市太小,容纳不下他们,后来长城的外围以及比雷埃夫斯的 大部分都分配给他们使用,并且让他们居住在那里。[4]其时,一切 都建立在战时的基础上面。同盟者开始集结,100艘战舰整装待命,准 备远征伯罗奔尼撒。这就是雅典方面的备战情况。

    18 同时,伯罗奔尼撒的军队正在向前推进。他们进入阿提卡,首 先抵达的城镇就是奥诺,他们想从这个地方深入阿提卡腹地。他们在城 前驻扎下来,准备用攻城的器械或别的方法强攻城垣。奥诺位于雅典人 和波奥提亚人的边境地带,是一座有围墙的城镇,雅典人在战时把它作 为边防要塞。因此,伯罗奔尼撒人准备发动进攻,他们在这里浪费了不 少宝贵的时间。阿奇达姆斯因为这一点而遭到严厉批评。就是在战前动 员时期,人们认为他不够强硬,同情雅典,在他的言论中就不赞成全面 开战。 [49] 等军队集结起来以后,因为在地峡上耽误了一些时日,而后 来进军也是缓缓而行,致使他在公众中的声望进一步下降。但这一切与 在奥诺城前贻误时间相比都是微不足道的。因为雅典人就是利用这段时 间,把他们的财产迁移完毕;而伯罗奔尼撒人认为,如果阿奇达姆斯不 采取拖延战术,而是快速进击的话,雅典人的一切财物可能都还留在乡 下。这就是军队在围攻奥诺城时,人们对阿奇达姆斯的看法。但是,据 说他之所以驻足观望是因为他料定雅典人不愿意坐视自己的土地被人毁 坏,在土地还未遭到蹂躏之前,雅典人将会作出让步的。

    19 但是在采取一切努力进攻奥诺都失败以后,雅典的传令官还是 没有出现,他最后才决定拔营进军阿提卡。这次进攻是在底比斯人夜袭 普拉提亚约80天以后开始的,时值仲夏 [50] ,正是谷物成熟的时候,宙 西达姆斯 [51] 之子阿奇达姆斯,拉栖代梦的国王,是这支军队的统帅。 他们在埃琉西斯和特里亚平原 [52] 扎营,然后开始破坏。在雷提或“群 溪”的地方,他们击败了雅典的一支骑兵。他们沿埃加琉斯山右麓继续 前进,通过克罗匹亚 [53] ,抵达阿卡奈,这是阿提卡最大的一个德莫或 乡镇 [54] 。他们在这里停留下来,扎下营寨,不断地蹂躏这一地区。

    20 据说,阿奇达姆斯之所以在这次入侵期间率军停留在阿卡奈准 备战斗,而不是长驱直入平原地带,其原因就在于[2]他希望雅典人 也许会在广大青年公民的影响下出城作战,他们对于战争,有了从来没 有过的准备,不会坐视敌人蹂躏他们的土地。[3]因此,既然他在埃 琉西斯或特里亚平原时没有与雅典人遭遇,他想试试看,如果他在阿卡 奈安营扎寨,他们是不是会出来与他交战。[4]他认为阿卡奈本身就 是一个扎营的好地方,而且阿卡奈人有3000名重装兵,在城邦中占有重 要地位,因此,他们不会坐视自己的财产遭到破坏,也许会迫使其他公 民一起出来作战的。从另一方面来说,如果雅典人在这次入侵时不出来 作战,那么将来他们再入侵的时候,会无所顾忌地破坏平原地带,一直 推进到雅典城下。到那个时候,阿卡奈人自己的财产已经丧失,他将不 会愿意为着别人的财产而冒生命危险,这样雅典人的意见就会有分歧 了。[5]这些就是阿奇达姆斯滞留在阿卡奈的动机。

    21 同时,当敌军还在埃琉西斯和特里亚平原时,雅典人还指望敌 军不再继续向前推进。他们记得在14年前,拉栖代梦的国王,波桑尼阿 斯之子普雷斯托阿那克斯,率一支伯罗奔尼撒军队侵入阿提卡,到达埃 琉西斯和特里亚之后,就未继续推进,而是撤兵回国了。事实上,此事 成为他被逐出斯巴达的原因,因为他们认为他是受了贿赂而退兵的。 [2]但是当雅典人看到敌军驻扎在阿卡奈,离雅典仅仅60斯塔狄亚 [55] ,他们再也忍受不下去了。雅典人亲眼目睹雅典的领土遭到蹂躏,此情 此景青年人从来都没有看见过,老年人只是在波斯战争的时候看见过。 很自然地,他们认为这是受到了奇耻大辱,尤其是青年人,他们一致下 定决心杀出城去,阻止敌军对土地的破坏。[3]在街头巷尾,人们三 五成群,热烈地讨论这一问题。有些人极力主张出城作战,有些人对此 持反对态度。预言家散布各种各样的预言,争论各方都有人在热心地听 着。最坚决要求出战的是阿卡奈人,因为他们是城邦军队的一个不小的 组成部分,他们的土地正在遭到蹂躏。简言之,整个城市群情激愤,他 们一致迁怒于伯里克利,以前他给予他们的忠言被统统地置于脑后了; 他们还辱骂他,说他身为统帅,而不率兵出战,他们还把城邦所遭受的 所有苦难的责任都加在他的身上。

    22 同时,伯里克利看到目前雅典人是因为愤怒而逐渐有些头脑发 昏,他深信他主张不出战的观点是明智的。因此,他不召集公民大会或 人民会议,害怕辩论的结果,害怕他们在激情之下而不是在理智的影响 之下作出不幸的决议。于是,他注意城市的防御工作,尽可能地保持冷 静的态度,[2]尽管他经常派遣骑兵队出去,以防止敌人的巡逻队冲 入城市附近的乡村进行破坏。在弗利吉亚,雅典的和色萨利的骑兵队与 波奥提亚的骑兵队发生小冲突,前者占据优势,在伯罗奔尼撒的重装步 兵来援助波奥提亚人以后,雅典人和色萨利人才撤退,撤退时有少数人 被杀。但是他们没有请求休战,当天就把死者的尸体收回了。翌日,伯 罗奔尼撒人建立了一块胜利纪念碑。[3]根据先前的一个盟约, [56] 色萨利人要援助雅典人;前来助战的色萨利人中有拉里萨人、法萨鲁斯 人、克兰浓人、皮拉苏斯人、吉尔托尼亚人和腓拉人。拉里萨派来的军 队由波利米底斯和阿里斯托努斯指挥,他们在拉里萨是两个派别的领导 者;法萨鲁斯的指挥官是门农,其他各邦亦各有各的指挥官。

    23 同时,由于雅典人没有出来迎战,伯罗奔尼撒人就拔营离开阿 卡奈,破坏了帕涅斯山和布利勒苏斯山间的一些德莫 [57] 。[2]当伯 罗奔尼撒人还在阿提卡的时候,雅典人就派遣他们已经配备好了的100 艘战舰环绕伯罗奔尼撒半岛进行反击。 [58] 舰船上有1000名重装步兵, 400名弓箭手。指挥官是色诺提姆斯之子卡吉努斯、爱皮克利斯之子普 罗提亚斯和安提根涅斯之子苏格拉底。[3]这支远征军起航远征了, 而伯罗奔尼撒人还留在阿提卡,直到军粮不济的时候,他们才沿着与他 们入侵时不同的道路,经波奥提亚返回。他们在途经奥罗浦斯时,他们 破坏了格来亚地区 [59] ,这里有来自雅典的奥罗浦斯人把守。 [60] 伯罗 奔尼撒军队撤离后,便各自返回自己的城邦去了。

    24 伯罗奔尼撒人撤退以后,雅典人在陆地上和海上设立了防守据 点,他们想在战争期间,长期驻守这些据点。他们还决定从雅典卫城存 款中提取出1000塔连特 [61] ,作为特别储备金,不得动用,军费由其他 经费开销;任何人不得建议动用此款或将动用此款的提案付诸表决,除 非是敌人的舰队从海上进攻雅典而必须保卫首都的时候,否则提议者将 被处以死刑。[2]和这笔钱一起,雅典人还组建了一支由100艘战舰组 成的特别舰队,这些舰船连同舰长一起都是每年最好的。这些舰船和这 笔金钱一样,只能用于应付同样的危机,如果这个危机真的发生了的 话。

    25 同时,环绕伯罗奔尼撒的100艘战舰,在来自科基拉的50艘战舰 和那个地区其他同盟者一些舰船的增援之下,环绕海岸航行,并且对该 地区加以破坏。在其他地方,他们在拉哥尼亚登陆,进攻麦索涅 [62] , 这个地方没有驻军,且城墙单薄。[2]但是正碰着斯巴达人泰里斯之 子伯拉西达率一支军队守卫这一地区。他得知这一情况后,就火速率 100名重装步兵来援助被围攻的城市。他看到雅典的军队分散在乡间, 他们的注意力只集中于城墙,就径直突过雅典的军队,到达麦索涅。在 这次杀入包围圈的行动中,伯拉西达的军队只损失了少数士兵,但是拯 救了这个城市。他因为这次功绩而受到斯巴达的通报表彰,他是这场战 争中第一个获此殊荣的军官。[3]雅典人立即起航,继续沿海岸航 行。他们在爱利斯的腓亚 [63] 登陆,用了两天的时间来破坏那里的土 地,打败了从爱利斯谷地及毗邻地区精选出来的一支300人的援军。 [4]但是当时大风突起,他们不喜欢留在一个没有港口的地方,于是 他们大都上了船,环绕“鱼岬” [64] 进入腓亚的港口。同时,那些没有上 船的美塞尼亚人和其他人,从陆地上赶来,攻下腓亚。[5]后来舰队 环绕航行,把他们带上了船,然后驶向公海 [65] ;他们远离腓亚,因为 爱利斯的主力部队已经赶来了。雅典人继续巡航,沿海岸线破坏其他地 方。 26 大约同在这个时候,雅典人又派出30艘舰船环绕罗克里斯航 行,同时保卫优波亚。这支舰队的指挥官是克里尼亚斯之子克里奥滂浦 斯。[2]他们在沿岸的一些地方登陆,加以破坏,攻陷了特罗尼昂, 并从特罗尼昂取得人质。他在阿罗普击败了聚众前来抵抗他的罗克里斯 人。

    27 在这个夏季中,雅典人还强迫埃吉那人携带其妻子儿女离开埃 吉那,把引发战争的主要责任归咎于他们。同时,因为埃吉那位于伯罗 奔尼撒附近,如果派遣自己的移民去占领那个地方,会比较安全些,不 久他们就派移民前往埃吉那。[2]被驱逐的埃吉那人在泰里亚地方避 难,这是拉栖代梦给予他们的地方。拉栖代梦之所以这样做,不仅是考 虑到埃吉那与雅典有仇,而且是因为埃吉那人在地震和黑劳士暴动 [66] 时曾给予他们有力的支持。泰里亚的土地位于阿哥里斯和拉哥尼亚的边 境上,由此扩展,下至海滨。那些未定居此地的埃吉那人则散居于希腊 其他地方。

    28 在同一个夏季中,在阴历月初 [67] (似乎只有在这个时候,这样 的事才可能发生),午后发生日食。太阳呈新月状,在它恢复常态以 前,有些星星还看得见。

    29 在同一个夏季中,雅典任命一位阿布德拉人皮提斯之子尼姆佛 多鲁斯(他的姊妹嫁给了西塔尔克斯)为雅典(在色雷斯)的代理人 [68] ,并且召他来雅典。雅典人此前一直把他视为他们的敌人,但是他 对西塔尔克斯有巨大的影响,他们希望这位王公成为他们的同盟者。西 塔尔克斯是泰瑞斯之子,色雷斯人之王。[2]西塔尔克斯之父泰瑞斯 是奥德里赛人大王国的建立者,色雷斯的其他地方的人对该王国的范围 一无所知,色雷斯人当中有很大一部分是独立的。[3]这位泰瑞斯和 那位从雅典迎娶潘狄昂之女普罗克涅为妻的泰琉斯无关。事实上,这二 人不在色雷斯的同一地方。泰琉斯生活在达乌里斯,即现在所谓佛基斯 的一部分,但那个时候是色雷斯人居住的。就是在这个地方,妇女们对 伊提斯施以暴行,许多诗人一提及夜莺就称之为“达乌里斯鸟”。另外, 潘狄昂以其女儿的婚事缔结同盟,其目的在于考虑到有利于相互援助, 那他自然要优先考虑与雅典相距较近的达乌里斯结盟,而不是与离雅典 有多日路程的奥德里赛结盟 [69] ,况且两个人的名字也不一样; 这位泰 瑞斯是奥德里赛人之王,是第一位有势力的国王。[4]现在雅典人想 争取他的儿子西塔尔克斯为同盟者,想利用他的帮助,控制色雷斯人的 和柏第卡斯的城镇。[5]当尼姆佛多鲁斯来到雅典时,他们缔结了与 西塔尔克斯的同盟,给予他的儿子萨多库斯雅典的公民权,并答应劝说 西塔尔克斯派一支在雅典服役的色雷斯骑兵和轻盾兵 [70] 来结束色雷斯 的战事 [71] 。[6]他还把柏第卡斯拉拢到雅典人这边来,劝雅典人把 泰米 [72] 退还给柏第卡斯。根据这一盟约,柏第卡斯马上就参与了雅典 人和佛米奥对卡尔基斯人的远征。[7]这样,色雷斯人之王,泰里斯 之子西塔尔克斯和马其顿人之王亚历山大之子柏第卡斯,就双双成为雅 典的同盟者了。

    30 同时,雅典的100艘战舰还在伯罗奔尼撒周围游弋。他们攻克科 林斯的城镇索尼昂之后,把这个城镇连同所属土地赠送给帕莱拉的阿卡 纳尼亚人。他们攻陷阿斯塔库斯,驱逐其僭主爱瓦库斯,使这个地方与 他们建立同盟。[2]然后,他们又航往基法伦尼亚岛,兵不血刃地取 得了这个岛屿。基法伦尼亚岛位于阿卡纳尼亚和琉卡斯附近,包括4个 城邦:帕列人、克拉尼伊人、萨麦人、普罗奈人。不久之后,这支舰队 返航雅典。

    31 这年的夏秋之交,雅典全体在编的军队包括麦特克在内,在桑 西浦斯之子伯里克利的统率下,侵入麦加里德。雅典环绕伯罗奔尼撒游 弋的100艘战舰正巧在返航途中到达埃吉那,他们听说国内公民军全都 开赴麦加拉,就航行过来加入雅典军队。[2]这无疑是雅典人召集过 的最大的一支军队。这时正值雅典势力的鼎盛时期,还未受到瘟疫的影 响。 [73] 在雅典所有公民中,除了在波提狄亚的3000名以外,这里至少 有1万名重装步兵,参加这次侵略的麦特克至少有3000名;另外还有大 批的轻装步兵。 [74] 他们蹂躏了麦加拉的绝大部分的领土后,就返回国 内。 [75] [3]此后,在战争期间,雅典每年都要派兵侵入麦加里德, 或用骑兵,或用全军,直到攻克尼塞亚为止。 [76]

    32 在这年的夏末,雅典人又在阿塔兰塔,一个离奥彭提亚海岸不 远的荒岛上建立设防据点,以防止私掠船(海盗)从奥浦斯和罗克里斯 的其他地方驶出来劫掠优波亚。这些就是这年夏季伯罗奔尼撒人从阿提 卡撤退后所发生的事件。

    33 在同年冬季里,阿卡纳尼亚人爱瓦库斯想重返阿斯塔库斯,他 说服科林斯人派40艘战舰和1500名重装步兵到那里去,以恢复他的地 位;他自己也雇用了一些雇佣兵。这支远征军的指挥官是阿里斯托尼姆 斯之子攸法米达斯、提摩克拉特斯之子提摩森努斯和克里西斯之子攸马 库斯,[2]他们驶往阿斯塔库斯,帮助爱瓦库斯恢复其势力以后,他 们想取得阿卡纳尼亚沿海一带的一些地方,但是没有成功,于是便返航 回国。[3]在回国途中,他们停泊在基法伦尼亚,在克拉尼伊人的领 土上登陆。克拉尼伊人假装同意和他们签订和约,后来却突然向他们进 攻,他们在这里损失了一些士兵。最后,他们没有遭遇严重磨难,就重 新上船回国了。

    34 在同一个冬季中,雅典人要对那些在这次战争中首批阵亡的将 士予以国葬。按照他们祖先的习惯,国葬的仪式是这样举行的:[2] 在葬礼的三天前,把死者的遗骨运回来,安置在一个事先扎好的帐篷 中,他们的朋友可以拿他们所愿意拿的任何祭品带给死者的亲属。 [3]在举行葬礼游行时,用四轮马车载着柏木棺材,每个部落一辆 车,各部落死者的遗骨装在各自部落的棺材里。在游行队伍里,还有人 抬着一个装饰好了的空柩一起走,这是为那些在战争中阵亡而尸体下落 不明的人设立的。[4]不论是公民还是异邦人,只要愿意,都可以参 加这个游行,死者的女性亲属在墓前志哀。[5]遗骨安葬在公共墓 地,这是市郊风景最优美的地方 [77] 。雅典人总是把阵亡将士安葬在这 里的。唯一的例外是马拉松战役的阵亡者,因为他们的功勋极不寻常, 他们就被安葬在阵亡的地方。 [6]在遗骨被埋葬以后,雅典城邦推举一名他们认为最有智慧和 最有威望的人发表演说,以讴歌阵亡者。演说之后,大家解散。[7] 这就是葬礼的程序。在整个战争中,每当雅典人安葬其阵亡将士时,人 们都遵循这个沿用已久的习俗。[8]这些将士是首批阵亡的,桑西浦 斯之子伯里克利被推举出来发表演说。到了合适的时辰,他从坟地走上 一个高台,为的是使尽可能多的人听到他所说的话。他的发言如下:

    35 “以前在此地发表葬礼演说的大多数人,都赞颂那位把葬礼演说 作为国葬典礼一个组成部分的立法者。在他们看来,对阵亡将士发表演 说,给予他们这项荣誉,是很有价值的。我自己原来认为他们在行动中 所展示出的价值,也应将通过行动给予荣誉上的充分的奖赏,就像你们 刚刚在准备这次国葬典礼中所看见的一样。我原本希望许多勇敢者的声 誉不至于因个别人的说法而受到损害,不至于因他对他们说三道四而有 所变化。[2]当发言者无法让其听众相信他所说的就是实情的时候, 他是很难说得恰如其分的。一方面,熟悉死者事迹的亲友,以为这个发 言还没有他自己所知道的和他所希望听到的那么多;另一方面,那些不 熟悉有关情况的人,当听到他们自己的能力所不及的功绩时,会对死者 感到忌妒,会认为发言者过分颂扬死者。颂扬他人,只有在一定界限 内,才能使人容忍;这个界限就是他们相信在所列举的事迹中,他们可 以做到;一旦超出这个界限,人们就会忌妒和怀疑了。[3]但是,既 然我们的祖先赞同制订这个制度,那么,我就有义务遵循惯例,尽我所 能来满足你们各自的期望和要求。

    36 “我首先要说到我们的祖先们:因为在现在这种场合,首先提及 他们的功德,这是公平的,也是适当的。他们世世代代生活在这片土地 上,因为他们勇敢无畏,使这片自由的土地代代相传,直到如今。 [2]如果说我们的祖先是值得赞颂的,那么我们的父辈们受到赞扬就 更加受之无愧了。因为他们还为我们留下现在我们所拥有的这个帝国, 而他们能够把这个帝国传给我们这一代,不是没有付出惨痛代价的。 [3]今天我们集合在这里的人,绝大多数正当盛年,我们在各方面壮 大了我们的帝国,为我们的城邦储备了各方面的资源, [78] 无论在和平 时期还是战争时期,她都能够达到完全自足。 [4]“关于我们用以取得现有势力的军事成就,关于我们或我们的 父辈们英勇地击退希腊的或异族敌人的入侵的事迹,大家已经耳熟能 详,在此我就不再多作追述了。我首先要说的是,我们是怎样达到今天 这种地位的,我们的帝国日益壮大是在怎样一种政制下实现的,我们的 生活方式是怎样促成这个结果的。在此之后,我再来赞颂阵亡将士。因 为我认为这种主题的演说,在目前场合下是合适的,对于全体在场人 员,不论是公民还是非公民,都是有益的。

    37 “我们的宪法没有照搬任何毗邻城邦的法律, [79] 相反,我们的 宪法却成为其他城邦模仿的范例 [80] 。我们的制度之所以被称为民主 制,是因为城邦是由大多数人而不是由极少数人加以管理的。 [81] 我们 看到,在解决私人争端的时候,所有的人依法都是平等的;在公共生活 中,优先承担公职所考虑的是一个人的才能,而不是他的社会地位,他 属于哪个阶级;任何人,只要他对城邦有所贡献,绝对不会因为贫穷而 湮没无闻的。[2]我们在政治生活中享有自由,我们的日常生活也是 如此,当我们的街坊邻居为所欲为的时候,我们不至于因此而生气,也 不会相互猜疑,相互监视,甚至不会因此而常常给他们难看的脸色,尽 管这种脸色不会对他们造成实际的伤害。[3]我们在私人关系上是宽 松自在的,但是作为公民,我们是遵守法律的。对当权者和法律的敬畏 使我们如此。我们不但服从那些当权者,我们还遵守法律,尤其是遵守 那些保护受伤害者的法律,不论它们是成文法,还是虽未写成文字但违 反了就算是公认的耻辱的法律。

    38 “另外,我们安排了种种娱乐活动,以使人们从辛苦劳作中得到 精神的恢复。在整个一年之中,我们都举行各种常规的竞赛和祭祀活动 [82] ;在我们的家庭中,有华丽而风雅的设施,每天怡娱心目,祛除心 中的烦闷。[2]我们的城邦如此伟大,全世界的各种产品都流向我们 这里。因此,对雅典人而言,享用其他地方的产品,就如同享受本地出 产的美好果实一样。 [83]

    39 “至于我们的军事政策,也在以下几个方面优于我们的敌人。我 们的城邦对全世界是开放的,我们从未通过排外条例,以防止外人趁机 探访或观察,尽管敌人的耳目不时地从我们的自由开放中捞取好处。我 们并不过多依赖于事先策划的招数,而是依靠发自我们内心的勇气去付 诸行动。在我们的教育制度上,我们的对手 [84] 从孩提时代起就通过严 酷的训练,以培养其勇敢气概;在雅典,我们的生活完全是自由自在 的,但是我们也随时准备应对同他们一样的各种危险。[2]这一点由 下面的事实可以得到证明:当拉栖代梦人侵入我们的领土时,他们不是 单独前来,而是带着他们所有的同盟者一起来的;而我们雅典人在向一 个邻邦领土进攻的时候,却是由我们自己来完成的。虽然我们在异乡作 战,他们是为保卫自己的家乡而战,但我们还是常常击败他们。[3] 任何敌人从未遭遇过我们的全部兵力,因为我们不得不关注我们的海 军, [85] 也不得不派遣我们的公民在陆地上去完成许许多多的任务。因 此,当他们与我们的一支军队交战的时候,如果他们获胜,他们就自 吹,说他们打败了我们的全军;如果他们战败了,他们就声称是被我们 全部军事力量打败的。 [4]“我们宁愿以轻松的心情而不是以艰苦的训练来应对危险;我 们的勇气是从我们的生活方式中自然产生的,而不是法律强制使然。我 们具有双重优点:一则我们不用为那些尚未到来的痛苦而忍受折磨; [86] 二则当我们真的面对这些痛苦的时候,我们的表现和那些经受这种 严酷训练的人同样勇敢无畏。当然,我们的城邦值得赞美的优点还不止 这些。

    40 “我们热爱美的事物但不至于奢侈,热爱智慧但不至于柔弱。我 们把财富当作是可以适当利用的东西,而不是当作可以夸耀的东西。真 正的耻辱不是贫穷这一事实本身,而是不千方百计地去摆脱贫穷。 [2]我们的公职人员,在关注公共事务的同时,还关注自己的私人事 务;我们的普通公民,虽长年累月地忙于劳作,但是仍可以对邦国大事 作出公平的裁断。因为我们雅典人和任何其他人不一样,我们认为一个 不关心公共事务的人不是一个没有野心的人,而是一个无用之人。我们 雅典人即使不是首倡者,也可以对所有问题作出裁判;我们不是把讨论 当作绊脚石,而是把它看作任何明智行动所必不可少的首要前提。 [87] [3]另外,我们在从事冒险事业之前或冒险事业之中,能够做到既敢 于冒险,又深思熟虑。其他人的勇敢,是由于他们的无知,当他们反思 的时候,又会感到疑惧了。但是,真正勇敢的人无疑应属于那些最清醒 地认识人生的灾患和幸福而又勇往直前,在危难面前从不退缩的人。 [4]我们的慷慨大方同样是与众不同的。我们结交朋友旨在给他人好 处,而不是从他人那里接受好处。当然,给予他人好处的人成为双方更 为可靠的朋友,他们继续回馈友善,以使受惠者永远保持感激之情。但 是如果受惠者无动于衷,他们回报善意就像是在偿还一笔债务,不是慷 慨地赠与。[5]只有雅典人,他们在施惠于别人时从不计较利益得 失,而是出于一种慷慨大度的信念,一种勇敢无畏的信念。

    41 “一言以蔽之,我们的城邦是全希腊的学校。我认为世界上没有 人像雅典人这样,在个人生活的许多方面如此独立自主,温文尔雅而又 多才多艺。[2]这些并不是在这样的场合下的一种空自吹嘘,而是实 实在在的事实,我们城邦的势力就是靠这些品质获得的。[3]在现有 的城邦中,只有雅典在遇到考验时,被证明比它的名声更加伟大;只有 雅典,入侵的敌人不以战败为耻辱;它的臣民不因统治者不够资格而抱 怨。[4]我们的强大势力并非没有证据,我们现有的那些巨大的纪念 物 [88] ,不但在当代,而且后世也将对我们表示赞叹。我们决不需要一 个荷马为我们唱赞歌,也不需要任何他人的歌颂,因为他们的歌颂只能 使我们暂时陶醉,而他们对于事实的印象不足以反映事实真相。我们勇 敢无畏地冲入每一片海洋,攻入每一块陆地;我们在各地所造成的不 幸,或所布施的恩德, [89] 都为后世留下了不朽的纪念。[5]这就是 雅典,就是这些人为它勇敢作战、慷慨捐躯的一个城邦,因为他们只要 想到脱离这个城邦,就会不寒而栗;而每一位有幸还活着的人,都应当 甘愿为城邦忍受一切痛苦。

    42 “正是这个原因,我详细讲述了我们城邦的特性,我要向你们说 明,我们的奋斗目标比其他不具备这些优点的人们所追求的目标要更为 远大;同时我刚才用确凿的证据表达了对他们的荣耀的赞颂。[2]现 在,关于赞颂阵亡将士的最重要的部分,我已经说完了。因为我已经赞 颂了雅典,赞颂了使我们城邦强盛的这些人和类似他们的人的英雄气 概,你们会发现,他们不像大多数其他的希腊人,他们的声望是无愧于 他们的功绩的。在我看来,像他们这样死去是衡量一个人的价值的试金 石,不管这是他的品质的初次表现也好,最后的证明也罢。[3]公正 地讲,他们为祖国而战的坚定信念,应当抵消一个人在其他方面的不 足,他们的优点弥补了他们的缺点,他们作为一名公民的贡献超过他们 作为个人所造成的祸害。[90] [4]在这些人中间,富人没有为了将来 享用其财富而变成懦夫,穷人没有为了将来获得自由和富裕而逃避危 难。他们所需要的不是个人的幸福,而是向他们的敌人复仇。在他们看 来,这是最光荣的冒险。他们快乐地决定参加对敌复仇,坚信能够击溃 敌人,而放弃了其他的一切。他们并没有对难以确定的最后胜利寄予厚 望,而是在面临的实际战斗中,勇往直前,相信自己所为。因此,他们 宁愿在抵抗中牺牲,也不愿在屈服中偷生;他们没有做不光彩之事,他 们在危难面前坚守阵地;霎时间,在他们命运的顶点,不是恐惧的顶 点,而是他们光荣的顶点,他们就离开我们而长眠了。

    43 “这些人就这样牺牲了,他们无愧于他们的城邦。你们这些还活 着的人们虽可以祈求得到一个较为幸运的结局,但是在战场上你们必须 要有坚定的决心。你们不能满足于单单从字面上理解与保卫邦国密切相 关的这些优点的意义,尽管演说者在面对像现场这样活跃的观众时,仍 可以就这些优点撰写出非常精彩的演说词。你们自己必须了解雅典的军 事力量,并且时刻都要关注着她,直到对她的热爱充满了你们的心头; 然后,当你们认识到她所有的伟大之处时,你们必然会想到,这些人之 所以能赢得这一切,是由于他们的勇敢精神,他们的责任感,他们在行 动中有一种强烈的荣誉感;你们也一定会意识到,在一项冒险事业中, 任何个人的失败都不会使他们觉得城邦中失去他们的那份勇气, [91] 他 们反而会尽可能地把他们最光荣的东西奉献给城邦。[2]他们无一例 外地把生命奉献出来,这使他们每个人都获得了永世常青的荣誉。至于 坟墓,它不只是安葬他们遗骸的地方,而且是存放着他们荣誉的最崇高 的圣地,它将永远铭刻在人们心中,人们一有机会就将在这里缅怀他们 的行为或业绩。[3]因为英雄们把整个大地作为他们的坟墓,甚至在 远离家乡的异邦土地上,那里的墓志铭不是铭刻于记功柱上,而是以不 成文的文本铭记于人们的心坎上,成为每个人心目中的圣地。[4]这 些人应当成为你们的榜样,他们认为幸福是自由的成果,而自由是勇敢 的成果,他们从不在战争的危险面前退缩。[5]那些毫不吝惜生命的 人并不是可悲的人;这些人并不指望以后会得到什么,他们保全生命说 不定会带来相反的结果,对他们来说,任何意外的失败,都将导致最可 怕的后果。[6]可以肯定,对于一个人的灵魂而言,由于不幸而引起 的懦弱,比之在充满活力和集体主义精神时意外地死于沙场,不知要悲 惨多少倍!

    44 “由于这个原因,我对这些人在现场的父母给予的不是怜悯,而 是安慰。他们知道,人生无常,充满着变数。但是,像他们这样光荣牺 牲,并引起你们的哀痛,这的确是幸运的。对他们而言,生命之旅和幸 福之旅同步。[2]我知道,这一点很难说得通,尤其是当你们看见别 人快乐的时候,你们也会想起过去一些常常使你们快乐的事情来。一个 人不会因为缺少他从来未享受过的好事而感到悲伤,而是因为丧失了他 长期以来所惯于享受的东西才会感到悲伤的。[3]然而,你们中间那 些适龄的人仍要生育后代,其他儿子必将支撑你们的未竞之愿。这些新 生的儿子不仅可以使你们逐步忘却那些死者,他们还将立即充实城邦的 力量,保证城邦的安全;因为如果一个公民不是和其他公民一样,有子 嗣作为一般危险担保的话(雅典公民年满20岁可以结婚,未满30岁不得成为五百人议事会成员。根据雅典演说家戴纳库斯 (Deinarchus)的说法,没有合法的男性子嗣者,不得在公民大会中发言。希腊人是非常看重一个人是否有合法的男性后代的),是不要指望他会作出公平且公正的决定 的。[4]至于你们当中那些已过盛年的人,一定要为你们自己幸运地 享受了生命中最美好的时光而庆幸,你们将在短暂人生的余年里为死者 的美名感到快慰。只有对荣誉的热爱是永恒的,使一颗年老而不幸的心 得到快慰的,是荣誉,而不是像有些人所说的,是利益。

    45 “至于你们中间那些死者的儿子或兄弟们,我看到你们将面临着 一场艰巨的竞争。当一个人去世的时候,人们都在颂扬他,纵或你们的 功绩是卓越超群的,你们仍将发现自己的荣誉不仅很难超过他们,甚至 难以接近他们。活着的人往往忌妒那些竞争对手,而对于那些不再参与 竞争的死者而言,他们总是能够得到善意的尊敬。 [2]“另一方面,现在你们当中有些妇女已经成为寡妇了,如果必 须要说说女性的长处的话,那么一切都包含在我这简短的忠告里:你们 的伟大荣耀就是丝毫不失女性本色;妇女的最伟大的荣耀就是极少成为 男人们的谈资,不论他们谈论你们的优点还是缺点。

    46 “现在,我已经依照法律的要求完成演讲,说出我应该说的言 辞;而在行动上,这些被埋葬在此的人已经得到了他们的那份荣耀。至 于其他人,他们的子女将由城邦公费抚养,直到他们成年为止。这是城 邦拿出的重奖,来奖赏那些死者和他们的后代,就像给予在勇敢竞赛中 获得优胜者花冠一样。哪里对于功德的奖赏最大,哪里就有最优秀的公 民。[2]现在,你们对于每一位亲友已致哀悼,你们可以解散了。”

    [1] 公元前431年夏季之初,伯罗奔尼撒战争正式爆发。 [2] 按照这种纪年法,“夏季”长约8个月(3月至10月),“冬季”为4个月(11月至翌年2月)。参阅修昔 底德,I. 30附注。 [3] 从公元前446/前445年到公元前431年。参阅修昔底德,I. 115。 [4] 即公元前431年3月。修昔底德在这里用希腊三个主要城邦习惯的纪年方法记载战争爆发的年代。 [5] Boeotarchs,音译“波奥塔克斯”,底比斯的主要官员之一,共有11名,大概主要负责管理波奥提亚同 盟的事务,他们通常皆出自波奥提亚同盟主之邦底比斯。参阅S. 霍恩布鲁尔,第1卷,第239页。 [6] 历史上一些民族习惯地把一夜分为若干“更”(watch),如犹太人把一夜分为三更,中国人把一夜分 为五更,而希腊人和罗马人则把一夜分为四更。 [7] 大约在公元前519年与雅典结盟。参阅希罗多德,VI. 108。 [8] 即雅典人和斯巴达人之间的这场战争。—史译本注 [9] 这里是指阴历月末。 [10] 约合13千米。 [11] 参阅修昔底德,II. 78。 [12] 昭译本这里译为“三十年和约”。 [13] 参阅修昔底德,I. 82;II. 29,66 — 68。 [14] 指那些未涉入战争或未加入双方同盟的邦国。 [15] 这些盟邦是多利斯人在意大利和西西里的殖民地(III. 86—87),它们在战争之初大都持消极观望 的态度,直到公元前412年才提供少量舰船(VIII. 26)。 [16] 这可能是有意对希罗多德的记载提出异议,因为希罗多德(VI. 98)说,在马拉松战役之前不久 (公元前490年)发生过一次地震,以后再也没发生过。—史译本注 [17] Thera或译特拉,今之圣托里尼岛。 [18] 值得注意的是,在修昔底德开列战争资源清单中,原提洛同盟诸邦除了开俄斯、列斯堡之外,都被 划入雅典帝国五个纳贡区之中。 [19] 指自己的家园遭到蹂躏。 [20] 即其全部兵力的三分之二。参阅II. 10。 [21] 这种关系被称为“guest-friendship”(希腊语xenia ),在希腊不同城邦的知名人士之间一种常见的私 人关系;个人与某个城邦之间关系则被称为“公客”(希腊语proxenia ),表示一种正式的关系(参阅修昔底 德,II. 29,85;IV. 78),而这种关系往往是世袭的。如修昔底德(V. 43;VI. 89)述及阿尔基比阿德斯与斯 巴达的关系。 [22] 参阅修昔底德,I. 126 —128。 [23] 参阅修昔底德,I. 140 —144。 [24] 这些收入主要包括比利埃夫斯港的过境税、销售税、麦特克(“侨民”)所缴纳的人头税、公共财产 (尤其是银矿)的收入、民众法庭所收的诉讼费和罚款、富人的个人捐款、战败国的赔款(通常是分期偿付) 等。 [25] 雅典同盟成立时,规定的数目是460塔连特(I. 96)。这里的数字是平均数,因为每四年在大泛雅 典人节时由雅典人对贡金的数额修订一次。—史译本注 [26] 卫城正门即普罗皮赖亚(Propylaea)竣工于公元前432年,其他公共建筑指帕特农(Parthenon)神 庙、奏乐馆(Odeum)、埃琉西斯圣殿(Telesterion at Eleusis)等。参阅普鲁塔克:《传记集·伯里克利传》, XIII。 [27] 帕特农神庙中的雅典娜神像,由菲狄亚斯设计建造,饰以黄金象牙。 [28] 据普鲁塔克(《传记集·伯里克利传》,XXXI)记载,这些金片都是可以取下来衡量轻重的。 [29] 这个数字包括雅典派往各地的驻防军(包括那些“军事移民”)和麦特克,服役年龄在18—60岁之 间。其中18—20岁的青年( περίπολοι )只担负阿提卡境内的驻守任务,从城邦领取生活费;年满20岁之后才 有可能担任境外军事任务。参阅亚里士多德:《雅典政制》,XLII. 1—5。 [30] 侨民(metoikos ,metics )本意为“变动居所者”,在雅典通常是指定居的异邦人,属于无公民权的 自由人。按雅典法律,他们无权拥有土地和房产,但是须缴纳人头税(成年男人每月1德拉克玛,独居的妇女 半德拉克玛)、服兵役,以从事工商业者居多。 [31] 约合6500米,克译本为4英里;谢译本(第117页)注1译为40英里。 [32] 约合8千米。 [33] 约合7400米。 [34] 约合11千米。 [35] 谢译本(第117页)误译为“12000人”。 [36] 昭译本为“1800名”。 [37] 修氏在这里提供了公元前431年关于雅典成年男子的极其珍贵而详尽的资料。然而,近代学者据此 推算其时雅典人口状况,依然困难重重。早在1933年,A. W. 高穆就雅典人口问题详加考证;N. G. L. 哈蒙德 在其《希腊史》中认为公元前431年雅典总人口为40万,其中公民连同家属共16.8万,麦特克3.2万,奴隶20 万;新版《剑桥古代史》(第5卷)作者估算,伯罗奔尼撒战争前夕,雅典总人口约30万,其中自由公民及其 家属约15万,麦特克不超过5万,奴隶约10万多。一般认为,此时雅典成年公民人数在4万左右,是一个合理的 估计。参阅A. W. Gomme, The Population of the Athens in the Fifth and Fourth Century B. C. , Oxford, 1933, pp. 5– 47;N. G. L. Hammond, A History of Greece , London, 1977, pp. 324–329;D. M. Lewis, J. Boardman, J. K. Davis and M. Ostwald, The Cambridge Ancient History , Vol. 5, Cambridge University Press, 1992, pp. 83, 296–302。 [38] 如木门、窗、门槛、窗框等。 [39] 谢译本(第117页)译为“牛马”。 [40] 凯克罗普斯(Cecrops),古代阿提卡的地神,形象是上身为男人,下身为蛇尾。后来,他被认为 是希腊地神该亚的儿子,阿提卡12座城镇的奠基者;因而该地区被称为凯克罗皮亚,雅典卫城也被称为凯克罗 皮亚,雅典居民被称为凯克罗皮斯人,亦即凯克罗普斯的子孙。传说他是阿提卡的第一代王,见证过雅典娜和 波塞冬为争夺这个地方的庇护权而发生的争执。 [41] 埃里克修斯(Erechtheus)为传说中阿提卡的第六代王,而提秀斯为第十代王。关于这次交战的具 体年代及其后果,自古就有不同的说法。值得注意的是,攸摩浦斯的后裔(Eumolpidai)是世代为著名的埃琉 西斯秘祭提供祭司的两个家族之一。 [42] 关于提秀斯改革的讨论,参阅S. 霍恩布鲁尔,第1卷,第262—264页;徐松岩:《提秀斯改革新 论》,《安徽史学》,2003年第1期。 [43] 西诺基亚(Synoecia,Feast of the Union,阿提卡统一节)在每年的赫卡托姆拜昂月(Hekatombaion ,雅典历的正月)16日举行。 [44] 即在提秀斯统一阿提卡之前。 [45] 安特斯特里昂月即所谓“百花月”,跨现在公历2—3月。史译本为“安特斯特里昂月12日”。关于希腊 历法,参阅附录二。 [46] 指庇西特拉图和他的儿子希皮亚斯。 [47] 公元前480 —前479年,波斯战争期间,雅典全体居民两次迁出阿提卡。 [48] 有的学者指出,皮拉斯基康(Pelargikon或Pelasgicum)系指雅典卫城的古城墙,但也有学者认为修 昔底德是把它与卫城城墙明确区分开的。考古资料证明,在希腊人到来之前,雅典卫城已有城墙建筑。雅典卫 城曾是皮拉斯基人的居住地,他们在此建立设防要塞。参阅S. 霍恩布鲁尔,第1卷,第269 —270页。 [49] 参阅修昔底德,I. 80 —85。 [50] 这里指雅典历法的夏季,仲夏应为5月底,正是阿提卡地区收割麦子的时候。—史译本注 [51] Zeuxidamus,克译本为Zeuxis。 [52] 特里亚平原是阿提卡少数土地较肥沃的地区之一。 [53] 这是埃加琉斯山(Aegaleus)和帕涅斯山(Parnes)之间的一个德莫。—史译本注 [54] 该德莫此时可提供3000名重装步兵(修昔底德,II. 20)。阿里斯托芬创作的喜剧《阿卡奈人》就 是以该德莫的人们迁居雅典为故事背景的。 [55] 约合11千米。 [56] 参阅修昔底德,I. 102。 [57] 这个地区通常被称为彭泰利库斯山(Pentelicus),因其南坡有彭泰利(Pentele)德莫而得名。 [58] 参阅修昔底德,II. 17。 [59] 这个地方因古镇Glaia而得名。 [60] 奥罗浦斯人乃是雅典的臣民。这段文字显然是在公元前412/前411年波奥提亚人攻陷奥罗浦斯之前 写的。 [61] 这是卫城6000塔连特存款的一部分(II. 13)。—史译本注 [62] 位于斯法克特里亚海湾以南约8千米,在美塞尼亚的西南端的海角上。 [63] 参阅谢译本,第124页。 [64] Point Ichthys,即“鱼岬”。 [65] 严格说来,当时希腊人尚无现代意义上的“公海”概念。英译者所用“公海”(the open sea)一词系指 距离陆地较远的广阔海域。 [66] 参阅修昔底德,I. 101,103。 [67] 现代学者推算此次日食发生在公元前431年8月3日17点22分。 [68] “代理人”( πρόξενος ,proxenos ,复数proxenoi ),原意为“公客”或“朋友”。修昔底德在其著作中 共提及11次,他们是A邦安插在B邦关照A邦利益的人物,通常由B邦公民担任。在款待和协助他们所代表的国 家的使者和公民时,他们享有B邦的某些特权,颇似现在的“领事”。事实上,他们往往成为A邦安插在B邦的耳 目。 [69] 根据希腊传说,雅典王潘狄昂有二女,普罗克涅和菲洛墨拉。普罗克涅嫁给色雷斯王泰琉斯。后来 泰琉斯诈称普罗克涅已死,请求派菲洛墨拉前往。菲洛墨拉至色雷斯,泰琉斯凌辱之,并割其舌,使其有口难 辩。菲洛墨拉把这件事情织于花毯上。后来普罗克涅得知此事,姊妹合谋,杀死泰琉斯之子,烹其肉献给他 吃,以资报复。泰琉斯发现此事后追逐她们姊妹二人。诸神见状,把三人都变为鸟类:泰琉斯变为戴胜鸟,普 罗克涅变为夜莺,菲洛墨拉变为燕子。修昔底德在此旨在申明西塔尔克斯的父亲泰瑞斯不是传说中的泰琉斯。 [70] Peltasts ,手持pelta (轻盾)的轻装步兵。公元前5世纪末开始出现的一个新兵种,与传统的重装 步兵相比,轻盾兵的盾小而轻,配备有投枪和短剑,特点是装备轻便,移动迅捷。 [71] 参阅谢译本,第125—126页。 [72] 参阅修昔底德,I. 6l。 [73] 公元前430年,雅典发生大瘟疫。据近代学者估计,持续数年之久的瘟疫使雅典人口减少约三分之 一至一半。 [74] 参阅修昔底德,II. 13。 [75] 谢译本(第126页)无这句话。 [76] 参阅修昔底德,IV. 66— 69。 [77] 在雅典城西北部的狄普隆门(Dipylon gate)外的外陶区,这里有一条公墓大街直通雅典。参阅地 图三。 [78] 那就是修昔底德在(II. 12)所列举的金钱、陆军、海军等。—史译本注 [79] 暗指拉栖代梦人,因为据说他们的法律是仿效克里特人的。事实上,伯里克利在通篇演说中都把雅 典人和拉栖代梦人加以对照,但很少直呼其名。 [80] 可能暗指公元前454年罗马派人来研究梭伦的法律(李维:《罗马史》,III. 31)。据近代学者考 证,罗马人是前往南意大利的“大希腊”地区而不是雅典来研究希腊的法律。 [81] 近代以来,学者们研究雅典民主制的论著可谓汗牛充栋,伯里克利对雅典民主的讴歌无疑是值得重 视的,但同样不可忽视的是伪色诺芬所作《雅典政制》中所提供的史料。 [82] 如泛雅典人节和狄奥尼苏斯节等。 [83] 此时雅典人牢固地控制东地中海地区海上交通要道和战略要地,雅典是该地区政治、经济、文化中 心和海陆交通枢纽。正如伪色诺芬(《雅典政制》,II. 7)所说:“无论在西西里、意大利、塞浦路斯、埃 及、吕底亚、本都和伯罗奔尼撒,还是其他任何地方,只要发现精美的特产—统统都集中到雅典来了,因为雅 典人掌握了制海权。” [84] 指拉栖代梦人。 [85] 这时雅典战船上的桡手以异邦人为主,而船上的战斗人员(marine,类似后世的“海军陆战队”)通 常由公民充任,修昔底德所说“海军”可能主要指这些人。 [86] 暗指斯巴达对青少年极其严酷的训练。 [87] 这是在为雅典民主制辩护,因为在拉栖代梦,邦国大事是由少数人决定的。 [88] 如雅典卫城上那些著名的建筑物。 [89] 这反映出雅典对帝国境内的臣民采取分而治之的策略加以管理。 [90] 在希腊人的观念中,作为公民,他自然是公民集体的一分子,而作为个人则未必是集体中的一员, 其所作所为也未必要服从集体的需要。无怪乎希腊人把城邦视为公民集体了。 [91] 克译本这句话“no personal failure in an enterprise could make them consent to deprive their country of their valor”,直译为“在一项冒险事业中,任何个人的失败都不会使他们同意从他们的城邦中剥夺他们的英 勇”。

    第七章 战争的第二年。雅典的瘟疫。伯里克利的立场和政策。波提狄亚的陷落。

    47 以上就是在这一年的冬季里举行的国葬典礼,它是在战争的第 一年岁末 [1] 举行的。[2]在第二年 [2] 的夏季之初,拉栖代梦人和他 们的同盟者,像从前一样,用他们全部军队的三分之二侵入阿提卡,宙 西达姆斯之子,拉栖代梦之王,阿奇达姆斯担任全军指挥官。他们安营 扎寨后,便开始蹂躏那个地区。[3]在他们的军队抵达阿提卡之后不 久,瘟疫 [3] 就首先在雅典人中间发生了。据说,这种瘟疫过去曾在毗 邻列姆诺斯的地区和其他地方流行过,但是在人们的记忆中从来没有哪 个地方的瘟疫像雅典的瘟疫这样严重,或者伤害过这么多的人命。 [4]起初,医生们完全不能医治这种疾病,因为他们不知道正确的治 疗方法。医生们自己死亡最多,因为他们和病人接触最频繁。任何人工 技术都没有什么疗效。在神庙中祈祷,询问神谕,诸如此类的办法,都 同样地毫无用处,直到最后他们完全为病痛的威力所征服,他们也不再 求神占卜了。

    48 据说,这种瘟疫起源于埃及上方 [4] 的埃塞俄比亚的一些地方, 由那里传播到埃及和利比亚,以及波斯国王的大部分领土内。[2]瘟 疫是突然在雅典出现的,首先得这种病的是比雷埃夫斯的居民。他们以 为是伯罗奔尼撒人在蓄水池中施放了毒药,那时比雷埃夫斯还没有水 井。随后这种病在上城 [5] 也出现了。这时,死亡人数激增。[3]至于 这种病是如何起源的,其发病原因是什么,造成如此巨大的精神痛苦的 种种原因,我将留给其他的作家去考虑,不管他们是业余的还是职业的 作家。就我本人而言,我将扼要地记载这种现象,描述它的症状,如果 以后再发生这种病,学者们也许会对它有所认识。这一点我会做得较 好,因为我自己患过这种病,也见过别人患过这种病。

    49 一般人都承认,那一年没有其他特别的病症;极少数患过其他 疾病的人,最终也都染上了这种病。[2]但是,通常看不出有什么显 著的发病原因。健康状况良好的人都是突然地头部发高烧;眼睛变红, 发炎;口腔内喉咙或舌头往外渗血;呼吸不自然,不舒服。[3]在这 些症状出现后,便是打喷嚏,嗓子嘶哑;接着就是胸部疼痛,剧烈地咳 嗽;之后,腹部疼痛,呕吐出医生都有定名的各种胆汁,整个发病过程 都是很痛苦的。[4]大多数的患者接下去便是干呕,出现强烈地痉 挛;有些人抽搐很快就停止了,有些人则持续很久。[5]皮肤表面的 热度不是很高,从外表上看,也没有出现苍白色,皮肤呈红色、青黑 色,突然出现小浓包和溃疡。但是身体内部高热难耐,以致患者连身着 最薄的亚麻布衣都难以忍受,所以他们就脱掉所有衣服。他们最喜欢纵 身跳入冷水中。事实上,一些没人照料的患者就是这样做的,他们跳进 雨水池中,以消除他们不可抑制的干渴。但无论他们喝多少水,症状都 没有丝毫不同。[6]另外,长时间的失眠和焦躁不安也一直困扰着他 们。当这种疾病达到最严重的程度时,病人的身体非但没有衰弱,反而 有惊人的力量,能够抵御一切痛苦;因此,大多数病人都是在第七天或 第八天 [6] 由于体内的高热而死亡,这时他们尚有些气力。但是,如果 患者度过这个时期,病痛便进入肠道,出现严重的溃烂,并且伴有严重 的腹泻,由此使病人气力衰竭,通常都是这样死去了。[7]因为这种 疾病从头部发起,进而传遍身体各部位,一个人纵或幸免于死,其四肢 也都会留有它的痕迹。这种疾病蔓延至生殖器、手指和脚趾,许多人丧 失了这些器官的功能,有些人还丧失了视力。 [7] 还有一些人,在他们 开始康复的时候,完全丧失了记忆力,他们不知道自己是谁,也不认识 自己的朋友了。

    50 这种疾病的实况是难以用语言文字来描述的,它对人类侵害之 沉重,几乎不是人所能忍受的。下面的情况可以最清楚地表明这场瘟疫 与所有普通的疾病有所不同。所有攫食人类尸体的鸟兽,或者远离尸体 (尽管有许多尸体横陈在地上,没有被埋葬),或者由于啄食尸肉而死 亡。[2]关于这一点,下面的事实可以证明:这类鸟实际上已经绝迹 了;在尸体附近或其他地方,已经看不到这种鸟了。但是,如果要观察 瘟疫的影响力,最好是研究一下像狗这一类家养动物,这一点我已提 及。

    51 如果我们忽略每个患者的许许多多的特殊病征,那么这些就是 这种疾病的一般情况。同时,雅典城里没有流行任何常见疾病;如果有 常见疾病发生的话,其结果也将成为瘟疫。[2]有些人因无人照料而 死亡,有些人尽管得到悉心照料,但还是死去了。人们还未能找到一种 特效药,因为一种药物对一个患者是有益的,对另一个患者却是有害 的。[3]那些身体强壮的人不见得比身体柔弱的人更能抵抗这种疾 病,所有患者都同样地死亡,就是那些采取了最好的防范措施的人也是 一样的。[4]最可怕的是,当人们知道自己身染这种疾病时,便陷于 绝望之中。他们马上就会丧失一切抵御疾病的力量,使自己成为瘟疫的 牺牲品。另外,由于相互看护而染上瘟疫的人,像羊群一样成群地死 去,这种情景是可怕的。因此而造成的死亡数量最多。 [8] [5]一方 面,如果他们害怕相互往来,病人便因无人照料而死亡;事实上,由于 无人照料,许多人全家 [9] 都死光了。另一方面,如果他们冒险去照看 病人,其结果也是染疫身亡。对于那些自认为照看病人是一种高尚品质 的人们,尤其是这样的。这样的人在荣誉的驱使下不顾自己的安危,到 他们的朋友家里去,朋友的家人最终被垂死者的呻吟搞得精疲力竭,他 们已经屈从于瘟疫的力量,不再举行哀悼活动了。[6]然而,最同情 病人和垂死者的,是那些自己得了瘟疫后来又痊愈的人。这些人从亲身 经历中知道病痛的情况,并且不再为他们自己担心了,因为从来没有人 第二次得这种病的—即使第二次染上这种病,也不会致死的。这样的人 不仅会得到其他人的祝贺,那时候他们自己也得意扬扬,甚至于幻想他 们以后无论得了什么疾病,都会转危为安的。

    52 使雅典人的灾难更加恶化的一个因素是他们把乡村居民迁移到 城市里,新来者对此感受尤为深刻。[2]他们没有房屋住,不得不在 一年之中的盛夏季节,住在空气不流通的茅舍中,大量的人无法遏制地 死去了。垂死者的身体互相堆积在一起,半死的人在街道上四处打滚, 并且群集于泉水的周围,因为他们都想喝水。[3]在他们所居住的神 圣场所中,也充斥着他们当中那些死者的尸体。因为这个灾祸具有压倒 一切的力量,致使人们不知道今后会怎么样,使人们对世间万事都漠不 关心,不管它们是神圣之事还是世俗之事。[4]所有此前所沿用的丧 葬仪式,统统被放弃了。他们尽其能力所及,埋葬死者。许多人缺乏埋 葬时所必需的东西,由于他们的朋友已经死得很多,就采用最伤风败俗 的方式来埋葬。有时候,他们来到别人已经做好的火化堆旁,把他们的 死者的遗体抛到素不相识的人的柴堆上,然后点起火来;有时候,他们 发现另一个火化柴堆正在燃烧着,他们把自己抬来的尸体放在别人的尸 体上,然后就跑开了。 [10]

    53 不仅如此,瘟疫还导致了雅典其他违法乱纪的情况开始增多。 现在,他们明目张胆地冒险做一些事,这些行为在此前是不敢公开的, 而且恰恰是他们不愿意做的。因为人们看到,幸运转变得如此迅速,有 些富人突然死亡,那些此前一无所有的人却继承了他们的财产。[2] 因此,他们决定迅速花掉他们的金钱,以追求享乐。他们觉得自己的生 命和财富都如同过眼烟云。[3]至于所谓荣誉,没有人愿意遵守它的 规则,因为一个人能不能活到享受光荣的名号的时候是很成问题的。但 是一般人都承认,既光荣又有用的东西就是那些现时的享乐,以及所有 使人能够得到这种享乐的东西。[4]对诸神的敬畏和人为的法律都不 能约束他们了。就前一点而言,他们断定敬神和不敬神是一样的,因为 他们看到所有的人毫无区别地死去;就后一点而言,没有人能够预料他 能否活到因违法而被推上被告席的时候,而他们每个人都觉得已经被宣 布了更为严厉的判决, [11] 这项判决正悬在人们的头顶上,他们想在这 个判决执行之前,再享受一点人生的乐趣,这也是合乎情理的。

    54 这就是这场灾难的情景,它重重地压在雅典人的身上,雅典城 里,死神肆虐,城外田地,惨遭蹂躏。[2]在遭遇灾难的时候,很自 然地,他们回忆起过去的神谕。据老年人说,很久以前神谕中有这样一 句诗: 和多利斯人的战争一旦发生,死亡与之俱来。 [12] [3]关于这句古诗曾经有过争辩。有人说,诗中所用字眼是饥馑 (dearth),而不是死亡(death)。 [13] 但在目前的情况下,自然是后 一种主张占上风了。因为人们要设法使他们的回忆与目前所遭遇灾难相 吻合。但是如果我们以后再与多利斯人发生一次战争,而那次战争又恰 好引起饥馑的话,我想人们也许会因此而采取这句诗的另一种解释了。 [4]现在那些知情的人还记得另一个给予拉栖代梦人的神谕。当 他们问神,他们是否应当作战的时候,神是这样回答的:如果他们全力 以赴作战的话,胜利是属于他们的,而且神自己也要保佑他们。 [14] [5]不难想象,现在所发生的事件与这个神谕的词句是完全相符的。 因为伯罗奔尼撒人刚刚入侵阿提卡,瘟疫就爆发了,而且,疫情从未侵 入伯罗奔尼撒(至少是程度有限,不值得关注),受瘟疫侵袭最严重的 是雅典;继雅典之后,就在人口最密集的其他城市中流行。以上就是与 瘟疫有关的事实。

    55 伯罗奔尼撒人在蹂躏了平原地区之后,就向帕拉里亚地区推 进,直达劳里昂,即雅典的银矿所在地。 [15] 他们首先蹂躏了面向伯罗 奔尼撒的一边,接着又蹂躏了面向优波亚和安德罗斯的一边。[2]然 而,现在仍居于将军之位的伯里克利和前一次伯罗奔尼撒人来犯时的观 点一样,认为雅典人不应该出来和他们交战。

    56 但是,当入侵者还在阿提卡平原地带,还没有进入帕拉里亚地 区的时候,伯里克利就组织了一支由100艘战舰组成的舰队,准备出征 伯罗奔尼撒,这时候已经开赴海上。[2]舰船上载有4000名雅典重装 步兵和300名骑士。300名骑士在骑兵运输船上,这是雅典人首次把旧式 船改造为运输船。开俄斯和列斯堡派来的50艘舰船也参加了这次远征。 [3]当这支雅典军队起航之时,伯罗奔尼撒人还在阿提卡的帕拉里亚 地区。[4]他们在伯罗奔尼撒的爱皮道鲁斯登陆后,蹂躏了它的大部 分领土,甚至想突击攻下此城,但未获成功。[5]他们离开爱皮道鲁 斯,蹂躏特洛伊曾、哈利埃和赫尔米奥涅的领土,蹂躏伯罗奔尼撒沿海 地区的所有城镇。然后,他们航行前往拉哥尼亚的滨海城市普拉西埃, 他们蹂躏了它的一部分领土,攻陷了这个城市,并且大肆劫掠。之后, 他们就回国了。但这时伯罗奔尼撒人已经撤走,不在阿提卡了。

    57 就在伯罗奔尼撒人进驻阿提卡和雅典人从事海上远征的整个时 期内,在雅典军队中和雅典城内,都不断地有人罹疫身亡。的确,实际 上可以肯定地说,伯罗奔尼撒人是因为害怕瘟疫的传染而匆匆撤离的; 因为他们从来自雅典城的逃难者口中得知有关情况,并且也看到雅典人 在不断地埋葬死者。[2]但是这次入侵停留在阿提卡的时间比任何一 次都要长些,他们在阿提卡滞留约40天,蹂躏了整个地区。

    58 在同一个夏季中,尼基阿斯之子哈格浓和克里尼亚斯之子克里 奥滂浦斯(他们二人都是伯里克利的同僚将军),率领新近远征归来的 军队出征色雷斯地区的卡尔基斯人和波提狄亚,当时雅典人尚在围攻波 提狄亚。 [16] 他们到达那里后,便马上利用所带去的攻城器械进攻波提 狄亚,千方百计想攻克此城,[2]但均未获成功。他们既没有攻下这 座城市,也没有取得任何他们所预想的其他成就。因为在这里,雅典军 队中也发生了瘟疫,极大地损害了军队的战斗力,甚至以前远征军中的 那些健康的士兵也从哈格浓的士兵那里感染上了瘟疫;而佛米奥和他所 率领的1600名士兵已不在卡尔基狄克的邻近地区, [17] 故未受瘟疫的影 响。[3]结果,哈格浓率领其舰队回雅典去了,他原有重装步兵4000 名,在大约40天之内,罹疫身亡的就达1050人。过去在那里的军队 [18] 还坚守在他们原来的岗位上,继续围攻波提狄亚。

    59 在伯罗奔尼撒人第二次入侵阿提卡之后,雅典人的心态发生了 变化。如今,他们的土地已经两次遭到蹂躏,战争和瘟疫同时给他们造 成沉重的压力。[2]他们开始谴责伯里克利,说他是战争的发动者, 说他是造成他们的所有不幸的根源,他们渴望与拉栖代梦人议和,实际 上也已派使者们到那里去,但是这些使者并未取得成功。现在,他们大 失所望,就都把怒气发泄在伯里克利身上。[3]伯里克利看到他们因 目前形势的转变而迁怒于他,而这些举动正如他事先所预料的一样。于 是,他召集公民大会,那时他还是将军(想必人们都记得),其目的一 则想恢复民众的自信心,二则想把他们这种愤怒的情绪引向较为平和并 且更加充满希望的精神状态。因此,他走上前来,发言如下:

    60 “我对于自己成为发泄愤怒的目标,并不是没有思想准备的,因 为我知道其中的缘由。我召集这次会议的目的,是想在这几点上提醒你 们,你们对我发怒,你们在困难面前低头,都是不合理的。[2]我的 意见是这样的:公民个人遭受损失而整个城邦繁荣强大,与公民个人财 富增加而整个城邦每况愈下相比,前一种情况对公民个人是更为有利 的。[3]一个人的个人生活无论是怎样的富足,但如果他的城邦遭到 毁灭的话,他也必定随之遭到灭顶之灾。然而,一个蒸蒸日上的邦国总 是在为不幸的个人提供摆脱困境的机会。[4]这样说来,公民个人在 不幸中能够得到城邦的支持,保卫城邦无疑是每个人的责任,而不是像 你们这样不分青红皂白地因为家园遭到劫难,而对城邦的公共安全不管 不问;你们还指责我,因为我曾经主张战争;同时也是在谴责你们自 己,因为你们自己也曾表决赞成战争。 [5]“但是,如果你们迁怒于我,我认为你们是对这样一个人发 怒,无论在了解我们所采取的适当的决策,还是能够阐明这些政策方 面,他都不亚于任何人;而且,他不仅是一位爱国者,还是一位诚实的 人。[6]一位富有见识却又拙于向别人表达的人,与一位毫无主见之 人无异;如果他同时具备这些特点,却不热爱自己的祖国,那么他是不 会成为祖国利益的热情的维护者的。纵或他是一位爱国者,如果他不能 抗拒贿赂的诱惑,那么一切都有被按价出卖的危险。[7]所以,在你 们采纳我的意见而投入战争的时候,如果你们曾认为我本人在这些品质 方面比别人,哪怕只是略胜一筹的话,那么现在你们无疑是没有理由要 求我对所犯错误负责的。

    61 “当然,对于那些可以自由选择的人们来说,他们的财产没有受 到任何威胁,选择战争是最愚蠢的。但是,如果他们必须在屈服而丧失 主权与冒着危险但有希望保持独立之间作出唯一抉择的话,那么,在这 种情况下,他宁愿做那个勇敢的冒险者,而不愿意做那个逃避危险的 人。[2]至于我,我现在还是和过去一样,没有改变,改变了的是你 们。事实上,这是因为你们在没有受到损害时采纳了我的意见;当你们 遭遇不幸时,就后悔以前所作的抉择。我的政策的明显失误就在于你们 的态度摇摆不定。因为这个政策是会引起痛苦的,你们每个人都正在感 受这种痛苦,但是它的优点对于你们所有的人来说是相当长远的,一时 还看不清楚;这样,当一个巨大的灾难突然降临于你们头上时,你们精 神压力太大,认为无法将以前的决定坚持下去。[3]因为当事情突然 地、意外地发生,出乎人们的预料之外的时候,人们就胆怯了,撇开其 他所有的不幸,瘟疫肯定是这类突发事件之一。[4]但是,你们作为 一个伟大的城邦的公民,你们所受到的教化和你们的出身是相符的,因 此,你们要正视最严重的灾祸,绝不能有损于你们显赫的名声。人们都 厌恶那些妄自尊大、佯装有那种他们不配有的声誉的弱者,人们同样要 谴责那些和他的声誉不相称的胆怯者。因此,你们每个人应当努力抑制 个人的悲伤,致力于维护我们城邦的安全。

    62 “如果你们在战争所必须付出的努力面前退缩,并且害怕他们最 终不会取得好的结果的话,那么,你们应当知道我经常向你们说明的种 种原因,它们证明你们的担心是毫无根据的。如果那些理由还不够充分 的话,现在我就揭示一下由你们帝国的伟大所产生的一个有利因素。关 于这一点,我认为迄今尚未向你们说明,也从未在我以前的演讲中提及 过。若不是我看到在我的周围笼罩着不正常的沮丧情绪,我是不会冒失 地谈及这一点的。[2]也许你们认为你们的帝国只是囊括你们的同盟 者,我要向你们谈谈真实的情况。目前整个世界可分为两个部分:陆地 和海洋。其中完整的一部分几乎完全处于你们的控制之下—不仅包括你 们现在所利用的海域,还包括更大范围的海域。如果你们有意扩展,那 最终结果,就是你们的战舰在海上纵横驰骋,随心所欲,波斯国王或世 界上任何其他国家的海军都无法阻止你们。[3]因此,尽管你们会认 为丧失土地和房屋使你们遭受了巨大损失,然而你们必须看到,你们的这种海上势力与从土地和房屋所得到的利益是大不相同的。只要你们把 二者稍加比较,就会切实地认识到,那些东西不过是装点大宗财富的花 园和其他装饰物而已。 [19] 你们也应当知道,如果通过你们的努力保全 自由的话,我们所失去的将轻而易举地得到补偿;一旦屈从于别人,那 你们现在所拥有的东西也将化为乌有。你们父辈们不是从别人手中接受 他们所拥有的一切的,而是用他们自己的双手亲自创造的。他们不仅保 全了自己的劳动成果,还把它们安全地移交给你们。在这方面 [20] ,你 们一定不会亚于你们的父辈们,要知道,已获得的东西被人剥夺,比之 在进取中受到挫折更为可耻。而且,你们在面对敌人时,一定要有一种 气概,要藐视敌人。[4]就是懦夫,由于幸运和无知,也可能产生自 信心,而只有像我们这样的人,才能够确信他们比敌人优越,把对敌人 的藐视作为一种有利条件。[5]当双方机会均等的时候,知识使人们 勇气倍增—知识使人们藐视他们的敌人,在此基础上建立起来的信心, 不是支撑绝望形势的一种盲目乐观,而是基于现有资源的一种判断,因 而他们的预见是更为可靠的。

    63 “还有一点,你们的邦国有权要求你们尽职效力,以维护帝国的 尊严。对于你们每个人来说,帝国都是可以引以为豪的共同资源。对你 们而言,拒绝承担帝国的责任,同时又企图分享其荣誉,这是不可能 的。你们还应当知道,你们战争的目的不单单是为了享受自由而不遭受 奴役,同时也牵涉帝国的丧失以及帝国在实际管理中所招致的仇恨而产 生的危险。[2]此外,假如在危难时刻你们当中确实有人曾认为放弃 帝国是一种正直的行为,那么,如今放弃这个帝国已经是不可能的了。 坦率地说,因为你们维持帝国靠的是一种暴政;过去取得这个帝国也许 是错误的,然而放弃这个帝国是一定是危险的。[3]那些主张放弃这 个帝国,并且劝说别人采纳他们意见的人们,将很快地使邦国陷于灭 亡;纵或他们自己独立地生活着,其结果也是一样的。因为这些离群索 居、没有雄心的人们只有在勇敢的保卫者的支持之下,才是安全的。总 之,虽然他们可以在一个臣属之邦中安安稳稳地做奴隶,但是这种品质 对于一个居于霸主地位的城邦 [21] 来说是毫无用处的。

    64 “但是你们决不要被这样一些公民引入迷途,从而迁怒于我。因 为如果说我曾投票支持战争的话,你们和我是一样的。尽管由于你们拒 绝敌人所提出的要求,他们已经侵入你们的领土,做出了你们所预料的 一切;虽然我们在其他方面有所准备,但是瘟疫还是降临了—只有这个 事件是我们始料不及的。我知道,我之所以越来越不得人心,主要是由 于这一点。这是很不公平的,除非你们准备把将来任何一种意想不到的 成功也都归功于我。[2]同时,对于上苍所降临的灾祸要默默地忍 受,而对于敌人则要坚决抵抗。这是雅典的传统习惯,不要因为你们而 妨碍这种习惯的继承和发扬。[3]你们还要记住,你们的城邦之所以 在全世界享有最伟大的声誉,是因为她从不在灾难面前低头,是因为她 在战斗中比其他城邦牺牲了更多的生命,付出了更大的努力,因此使自 己成为前所未有的军事强国,人们将永世难忘这样的强国;纵或现在我 们被迫屈服的时候到了(因为任何事物都无永不衰败之理),人们仍将 铭记的是,我们统治下的希腊人比其他任何一个希腊城邦都要多;我们 独力支撑与他们诸邦联军或个别城邦的最重大的战役;我们居住在一个 最富足、最伟大的城市中。 [4]“那些没有雄心壮志的人会对这些光荣提出非难,但是那些积 极行动的人会努力仿效我们,如果他们没有我们这样幸运的话,他们会 忌妒我们的。[5]所有渴望统治别人的人,都会暂时招致别人的仇 恨,会不得人心的。但是追求最崇高的目标的人必然招致憎恨,因此而 招致憎恨的人是真正聪明的人。招致憎恨也是暂时的,但是由此而产生 的目前的显耀和将来的光荣会使人们永世难忘的。[6]因此,你们要 为维护日后的光荣和现时的荣耀而作出决断,为实现这两个目标而付出 不懈的、积极的努力;不要派使者前往拉栖代梦;不要表露出任何一点 这样的迹象,表明你们在目前的灾祸面前低头了。因为只有那些在心态 上最冷静对待灾难的人们,只有那些在行动上最快速解除灾难的人们, 才是最杰出的人、最伟大的公民集体。”

    65 这就是伯里克利试图平息雅典人对他的怒气,引导他们从思想 上摆脱现在的痛苦所列举的论据。[2]他们作为一个公民集体,被伯 里克利成功地说服了;他们不仅不再考虑派使者去拉栖代梦和谈,同时 还对战争投入更大的力量。但作为个人,他们在灾难面前还是不堪重负 的。普通民众原来仅有的那一点点财产,如今也被剥夺殆尽;上层阶级 丧失了他们在乡村的美丽的田园和设施优良、富丽堂皇的房舍;最糟糕 的是他们生活在战争中,而不是在和平中。[3]事实上,对伯里克利 的恶感还是普遍存在,直到他们判处伯里克利缴纳一笔罚款 [22] 。 [4]可是,不久以后,按照民众办事的一贯方式,他们又选举他为将 军,把他们的一切事务都交给他处理。现在,他们对于个人的和家庭的 灾难的感受没有那么强烈了,以邦国公共需要而论,他们认为伯里克利 是所有的人当中最有才能的人。[5]因为在和平时期,只要他担任城 邦的首脑,他就追求一种温和的、稳健的政策,他执政的时代正是雅典 的全盛时代。战争爆发的时候,他似乎也准确估计了雅典的军事实力。 [6]战争开始后的两年半他才去世。 [23] 他去世以后,他对战争的某 些正确的预见更加为人所知。 [7]伯里克利告诫雅典人说,如果雅典静待时机,关注自己的海军,不再去征服新的领土,并且在战争中不使雅典城发生危险的话,他 预计雅典是会赢得这场战争的。但是,雅典人的行动却恰恰相反,在一 些显然与战争毫不相干的事务上,个人野心和私人利益导致了一些对雅 典人自己和他们的同盟者都不利的政策。这些政策如果获得成功,只会 使个人得到荣誉和利益;而如果失败,就会给战争中的国家带来灾难性 影响 [24] 。[8]其所以如此,是因为伯里克利无论就其地位、他的才 能,以及他的众所周知的正直而言,都确确实实是一位能够独力控制民 众的人物—简言之,是他领导民众,而不是民众领导他。因为他从来没 有使用不当的手段来追求权力,他也从来没有被迫逢迎他们,相反,由 于他享有崇高的威望,以致他敢于提出相反的意见,甚至向他们发怒。 [9]每当他看到他们得意忘形的时候,他都会说服他们想到自己的危 险;另一方面,如果他们由于恐慌而丧失勇气的时候,他会马上恢复他 们的自信心。一言以蔽之,雅典虽名义上是民主制,但事实上权力掌握 在第一公民手中。 [25] (见图9)[10]他的继任者们的情况就不同 了。他们彼此间大都不相上下,而每个人都想力争居于首要地位,最终 他们竟准备靠牺牲整个城邦的利益来迎合民众的心血来潮。[11]这种 情况,正如我们所预料的那样,在一个伟大的、居于统治地位的城邦 中,必然会导致许多错误,西西里远征 [26] 就是这些错误之一。尽管这 个错误不在于对他们所进攻的敌人的军事实力的判断失误,而是那些派 遣他们出去的人随后没有采取最得力的措施给予海外军队以援助。因为 他们忙于施展个人权谋,以图获得对民众的领导权。这样便不仅使远征 军军心涣散,而且首先在国内导致内讧。[12]他们在西西里丧失了大 多数舰船和其他军队后,在城邦内部发生了革命。尽管如此,他们还是 又坚持了八年 [27] ,以对抗他们原先的敌人,这些敌人后来不仅包括西 西里人,而且还包括他们自己的同盟者(它们几乎全都暴动了),最后 还有波斯王子居鲁士 [28] ,他提供金钱资助伯罗奔尼撒海军。雅典人一 直坚持着,直到由于他们内部的纷争而毁灭了自己,被迫投降。[13] 因此,当伯里克利预言雅典人可以轻而易举地战胜孤立无援的伯罗奔尼 撒的军队之时,他相信雅典的资源是极其雄厚、绰绰有余的。 图9 伯里克利像

    66 在同一个夏季里,拉栖代梦人和他们的同盟者派遣100艘战舰远 征爱利斯对岸的扎金苏斯岛。 [29] 扎金苏斯岛的居民是来自伯罗奔尼撒 半岛的阿凯亚人的殖民地,他们是雅典的同盟者。[2]舰船上有1000 名拉栖代梦人的重装步兵,由一位名叫克涅姆斯的斯巴达人担任舰队司 令。他们下船登陆,蹂躏了大部分的土地,但由于扎金苏斯人拒不投 降,他们就返航回国。

    67 在同一个夏季之末 [30] ,科林斯人阿里斯特乌斯、阿涅里斯图 斯、尼克劳斯和斯特拉托德姆斯作为拉栖代梦派出的使者,一位泰吉亚 人提玛哥拉斯,以及一位名叫波里斯的阿尔哥斯人以私人身份 [31] 参 加,共同组成一个使团前往亚细亚,其目的是想说服波斯国王提供金 钱,参与战争。他们首先来到色雷斯,拜访泰瑞斯之子西塔尔克斯。他 们的想法是,如果可能的话,劝他废除与雅典的盟约,并且派兵救援当 时正在受雅典军队围困的波提狄亚。同时,他们想在他的帮助之下越过 赫勒斯滂海峡,去拜见法那巴佐斯 [32] ,他会派人送他们去拜谒波斯国 王的。[2]但是碰巧雅典的使者也在西塔尔克斯那里,他们是卡利马 库斯之子利阿库斯和斐勒蒙之子阿美尼亚德斯。这二人就劝说西塔尔克 斯之子萨多库斯,一位新入籍的雅典公民 [33] ,把伯罗奔尼撒的使者交 给他们,以使他们无法越过赫勒斯滂海峡前去拜见波斯国王,从而对他 所归化的城邦 [34] 造成危害。[3]因此,当他们穿越色雷斯,准备登 上舰船横渡赫勒斯滂海峡之时,萨多库斯事先派出的跟随利阿库斯和阿 美尼亚德斯的军队就把他们逮捕起来,这支军队奉命把他们移交给雅典 使者,并由他们把伯罗奔尼撒的使者带回雅典。当他们抵达雅典时,雅 典人担心阿里斯特乌斯,这位在波提狄亚和色雷斯给雅典造成困难的罪 魁祸首,一旦脱逃就会给雅典人带来更大的祸害,因此,雅典人没有经 过审判,也没有听取他们为自己所作的辩护,在他们到达的当天就把他 们全都杀死,把尸体抛入一个竖坑中。雅典人认为这种行为是对拉栖代 梦人开创先例的一种正当的报复,因为他们把抓获的环绕伯罗奔尼撒的 所有雅典人及其同盟者的商人全都杀死,抛入竖坑中。事实上,在战争 之初,拉栖代梦人把所有在海上俘获的人,不论是雅典的同盟国的人, 还是中立国的人,统统当作敌人杀死。

    68 大约同时,在夏季即将结束之时,安布拉基亚人的军队和他们 所招募的大批蛮族 [35] 军队一起进攻安菲洛奇亚的阿尔哥斯和安菲洛奇 亚的其他地区。[2]他们对阿尔哥斯人的仇恨的起因如下:[3]这个 阿尔哥斯和安菲洛奇亚的其他地区原本是安菲亚劳斯之子安菲洛库斯所 建立的殖民地。在特洛伊战争以后,由于他对国内事务的不满, [36] 他 便在安布拉基亚湾建立了这个城邦,并以其故乡的名字称之为阿尔哥 斯。[4]它是安菲洛奇亚的最大的城镇,其居民在当地的势力最为强 大。[5]许多世代以后,当他们遭遇困难的时候,他们邀请与安菲洛 奇亚相毗邻的安布拉基亚人来参加他们的殖民地。这些安布拉基亚人成 为他们的同胞,他们就是从安布拉基亚人这里学会说希腊语的,而其他 安菲洛奇亚人仍说他们自己的语言 [37] 。[6]过了一些时候,安布拉 基亚人驱逐阿尔哥斯人,并占领了这座城市。[7]于是,安菲洛奇亚 人到阿卡纳尼亚人那里去,他们二者联合起来向雅典求援。雅典派佛米 奥为将军,率30艘舰船去援助他们。他们抵达那里后,即攻占阿尔哥 斯,使这里的安布拉基亚人沦为奴隶。这样,安菲洛奇亚人和阿卡纳尼 亚人共同居住在这座城市里。[8]此后,雅典人和阿卡纳尼亚人开始 建立同盟关系。[9]因为阿尔哥斯人把安布拉基亚人的公民变为奴 隶,安布拉基亚人便开始仇视阿尔哥斯人。后来,在战争期间他们召集 了以上所述及的那支军队,包括他们自己和考尼亚人以及其他毗邻的土 著民族。他们兵临阿尔哥斯城下,控制了这个地区,但并未攻下阿尔哥 斯,于是他们撤兵,各自返回自己的家乡去了。这就是这年夏季里所发 生的事件。

    69 在接下来的冬季里,雅典人派遣20艘战舰环绕伯罗奔尼撒航 行。舰队由佛米奥指挥,他本人驻扎在诺帕克图斯,可以随时防止任何 舰船从科林斯和克里赛湾进出。雅典人还派出6艘舰船在麦里山大的统 率下前往卡里亚和吕基亚,在那些地区征收贡金,同时也防止伯罗奔尼 撒一方的私掠船利用这一带水域作为根据地,袭掠那些从法塞里斯和腓 尼基以及亚细亚大陆的沿海一带航行路经此地的商船。[2]但是,麦 里山大率舰船上的雅典士兵和同盟者的军队进入吕基亚内地,在交锋 中,他们战败,他本人被杀,手下的士兵损失了许多。

    70 在同一个冬季里,波提狄亚人终于发现他们再也无法坚守下去 了,再也不能抵御围攻者了。伯罗奔尼撒人攻入阿提卡,没有使雅典人 撤走围攻波提狄亚的军队。波提狄亚城里的粮食已经吃光了,饥馑导致 了一些骇人听闻的后果,甚至发生了人吃人的事情。因此,他们最后向 指挥作战的雅典将军—欧里庇得斯之子色诺芬、阿里斯托克莱德斯之子 赫斯提奥多鲁斯和卡里马库斯之子法诺马库斯—请求投降。[2]雅典 的将军们愿意接受这个建议,因为他们看到自己的军队在战场上风餐露 宿,遭受着很大的痛苦。同时,雅典在围城期间已经耗资2000塔连特。 [3]关于波提狄亚人投降的条件如下:波提狄亚人和他们的子女、妻 子和雇佣军离开波提狄亚,男子每人可穿外衣一件,妇女可穿两件;他 们可以携带一定数量的钱款,以为途中所用。[4]根据这项协议,他 们离开波提狄亚,前往卡尔基狄克以及其他地方去了。可是,雅典人责 备这几位将军,说他们没有得到国内的指令,擅自订立协议,他们认为 应当是无条件投降的。随后,雅典人派遣他们的移民前往波提狄亚,定居在那个地方。这是冬季里发生的事,修昔底德所记载的这场战争的第 二年 [38] 就到此结束了。

    [1] 可能是公元前431年年底,或是前430年年初。 [2] 公元前430年。 [3] 在雅典发生的瘟疫是现在已知的病症中的哪一种,目前尚难以确定。研究者们曾经提出种种推测, 认为是天花、麻疹、斑疹伤寒(typhus)、腺鼠疫,甚至是突发性中毒综合征等。乔治·格罗特(G. Grote)认 为是突发性伤寒。一般认为斑疹伤寒可能性较大。参阅史译本,第1册,第343页注。 [4] 古代埃及在地理上分为两大区:孟斐斯以南的尼罗河谷地称为上埃及,孟斐斯以北至地中海沿岸的 三角洲地区称为下埃及。这里埃及上方应指古代埃及以南的地区,而不是“上埃及”。参阅谢译本,第137页。 [5] 指雅典城。雅典人习惯把与雅典城连为一体的比雷埃夫斯港区称为下城。 [6] 昭译本为“第七天或第九天”。 [7] 这很明显是由于血液循环的停止而引起坏疽的结果。这种斑疹伤寒的结果,在1915年巴尔干山脉地 区所爆发的瘟疫中是常见的。—史译本注 [8] 指因相互照料而染疫身亡的。 [9] 英译者用“inmate”一词指家里的居民,除自由民家庭成员以外,事实上还包括奴隶。 [10] 出生与丧葬仪式和习俗,是古代诸民族的日常生活中的大事,现在瘟疫迫使他们做出平时不可想象 的事情。 [11] 瘟疫随时都有可能宣布一个人生命的终结。 [12] 昭译本为“瘟疫与之俱来”。 [13] 昭译本为“有人认为原来的词是limos,一场饥馑,而不是loimos,一场瘟疫”。 [14] 参阅修昔底德,I. 118。 [15] 平原地带系指雅典周边地区,帕拉里亚和劳里昂都在阿提卡半岛南部。劳里昂银矿自公元前483年 发现富矿脉之后,一直是雅典人的重要财政来源。这里也曾经是使用奴隶比较集中的地方。 [16] 接着前面叙述。参阅修昔底德,I. 64— 65。 [17] 参阅修昔底德,I. 65。佛米奥离开卡尔基狄克一定是在II. 103所述的事件之前,但是在别处均未提 到。—史译本注 [18] 参阅修昔底德,I. 61;II. 31。第一支远征军中有雅典重装步兵3000人。 [19] 伯里克利把阿提卡本土的利益与帝国的整体利益相比,认为前者的分量似乎很小。参阅修昔底德, II. 37—42。 [20] 即保全帝国的安全。 [21] 即“帝国之邦”,控制着帝国的城邦,指雅典。修氏借伯里克利之口,明确指出雅典帝国的实质,就 是雅典人对旧日盟邦的一种暴政。此时雅典国家结构已经发生巨变。参阅徐松岩:《论雅典帝国》,《西南师 范大学学报》(社会科学版),1999年第1期。 [22] 根据狄奥多拉斯的记载(XII. 45.4),是80塔连特;据普鲁塔克(《传记集·伯里克利传》, XXXV. 4)的估计大约15—50塔连特。雅典人因动怒或失望而处罚其政治家或将军,或罚款,或放逐,并无定 规。如自西西里返回雅典的皮索多鲁斯、索福克勒斯、攸里梅敦以及本书作者修昔底德本人。参阅修昔底德, IV. 65;V. 26。 [23] 伯里克利约于公元前429年9月去世。 [24] 这里特别是指西西里远征。 [25] 关于伯里克利的个人权力,参阅普鲁塔克:《传记集·伯里克利传》,XVI—XX。 [26] 关于西西里远征,参阅第六、七卷。近代学者研究认为,这段文字是公元前413年以后撰写的。 [27] 希腊文抄本上原文是“3年”,昭译本、克译本皆据此译出,但显然是错误的。参阅S. 霍恩布鲁尔, 第1卷,第348页。 [28] 波斯王子小居鲁士(Cyrus the Younger,约公元前423—前401年)乃是波斯国王大流士二世与其妻 帕里萨蒂斯的次子。他于公元前407年担任波斯帝国吕底亚、弗里吉亚和卡帕多西亚诸省总督,统领小亚细亚 地区军事事务。他在伯罗奔尼撒战争最后数年,资助拉栖代梦人,最终联手摧毁了雅典帝国。公元前401年, 他率军与其兄争夺王位中战死于库纳克萨。色诺芬在其《希腊史》和《长征记》中,对小居鲁士有较为详实的 记载。 [29] 参阅地图一。 [30] 公元前430年。 [31] 因为阿尔哥斯此时还是一个中立国。参阅修昔底德,II. 9。—史译本注 [32] 当时是波斯帝国达斯基里昂省的总督。参阅修昔底德,I. 129。—史译本注 [33] 参阅修昔底德,II. 29。 [34] 雅典。 [35] 当地非希腊语土著居民。 [36] 他的兄弟阿尔克麦昂杀死其母亲。参阅修昔底德,II. 102。古代其他作家把安菲洛奇亚的阿尔哥斯 的建立归功于阿尔克麦昂或他的儿子安菲洛库斯。参阅斯特拉波,VII. 326C;阿波罗多鲁斯,III. 7。—史译 本注 [37] 一种非希腊语,因此他们被称为“蛮族”(Barbarians)。 [38] 公元前430/前429年。

    第八章 战争的第三年。普拉提亚之围。佛米奥在海战 中获胜。西塔尔克斯统率色雷斯人入侵马其顿。

    71 翌年 [1] 夏季,伯罗奔尼撒人和他们的同盟者没有入侵阿提卡, 而是向普拉提亚进军。拉栖代梦人的国王、宙西达姆斯之子阿奇达姆斯 担任这支军队的统帅。他在普拉提亚境内安营扎寨,蹂躏了他们的国 土。当时普拉提亚人急忙派使者到他那里。他们这样说: [2]“阿奇达姆斯和拉栖代梦人啊,你们侵犯普拉提亚的国土,你 们的行为是错误的。这种行动无论对于你们自己,还是对于生养你们的 父辈们而言,都是不光彩的。你们的同胞,克列奥姆布罗图斯之子波桑 尼阿斯,在那些甘愿冒险参战的希腊人的帮助下,在我们的城市附近作 战 [2] ,从波斯人的统治下解放了希腊之后,他在普拉提亚的市场上向 解放者宙斯神奉献牺牲,他们把所有的同盟者召集在一起,恢复普拉提 亚的城邦和版图,宣布她为独立城邦,不得对她侵略或征服。如果我们 的城邦受到这种威胁,在场的各位同盟者,要各尽所能来帮助我们。 [3]这是你们的祖先因为我们在危难时期所表现出的勇敢和爱国主义 精神而给予我们的褒奖。但是,你们现在的行动却恰恰相反。你们和我 们的死敌底比斯人联合起来,想来奴役我们。[4]因此,我们向那些 做誓言见证者的诸神,向你们祖先的诸神,向我们本地的诸神呼吁,我 们请求你们不要侵犯我们的领土,不要违背你们的誓言,让我们保持独 立,正如波桑尼阿斯所宣布的。”

    72 普拉提亚人说到这里,阿奇达姆斯打断他们的话,说:“普拉提 亚人,只要你们按照你们所说的去做,那是很公平的。你们可以按照波 桑尼阿斯的允诺去做,即维持你们的独立,参加解放那些曾经和你们共 患难和你们共同宣誓而现在却臣服于雅典人的希腊人的事业。所有这些 准备工作和战争的发动,都是为了解放他们以及和他们一样的其他人。 我希望你们参加我们的事业,遵守你们的誓言;如果这一点你们做不到 的话,就做我们曾经要求你们做的:严守中立,独立生活,不参加任何 一方,但是要把双方视为朋友,不要作为任何一方的盟友参战。这样, 我们就满意了。” [2]这是阿奇达姆斯的讲话。普提提亚人听了这番话以后,回到 普拉提亚城,把情况向人民作了汇报。然后又回到阿奇达姆斯这里,答 复说,因为他们的妻室儿女都在雅典, [3] 在没有经过雅典人同意时, 他们是不可能按照阿奇达姆斯所建议的去做的。同时,他们还在为自己 城邦的局势担心。在阿奇达姆斯撤离之后,任何人都不能阻止雅典人的 到来,阻止他们控制这个城邦;而底比斯人也参加了宣誓,也可以利用 建议严守中立这一点以武力控制这个城邦。[3]阿奇达姆斯听了这些 答复,为了消除他们的疑虑,就说:“你们唯一要做的就是把你们的城 市和房屋移交给我们拉栖代梦人,把你们的疆土、你们的果树数目以及 其他一切可以用数量计算的财产都告诉我们。在战争期间,你们可以随 意到哪里去。一旦战事结束,我们从你们手中所接收过来的东西,我们 一定如数归还给你们;在这期间我们一定替你们保管好这些东西,注意 田地的耕耘,给付你们足额的津贴。”

    73 普拉提亚人听了这些话以后,又回到他们城里去,在征求了人 民的意见以后,他们说,他们希望首先把阿奇达姆斯的建议告诉雅典 人,如果雅典人同意的话,他们就愿意接受他的建议。同时,他们向阿 奇达姆斯请求休战,在休战期间,不要蹂躏他们的田地。于是,他答应 休战一些日子,以便使他们有时间往返于雅典与普拉提亚之间;在这个 时期内,没有对他们的田地加以毁坏。[2]普拉提亚的使者来到雅 典,和雅典人进行了磋商之后,带着下面的消息回到普拉提亚: [3]“普拉提亚人,雅典人说,自从我们成为他们的同盟者以来 [4] , 他们从未在任何时候抛弃你们,使你们受到敌人的侵害;现在他们以你 们的祖先所发誓言的名义向你们呼吁,不要废止现有的同盟条约。”

    74 当使者们传达了这个消息后,普拉提亚人决定不能背叛雅典 人,即使迫不得已,眼见他们的田园遭到破坏,遭遇其他种种痛苦的考 验,他们也要忍受。他们不再派使者去敌营,但是他们在城墙上作出答 复,说他们不可能按照拉栖代梦人的建议去做。[2]阿奇达姆斯国王 一听到这个答复,就马上向当地诸位神祇和英雄们呼吁。他说:“普拉 提亚境内诸神和诸英雄啊,请你们为我作证,从一开始我就不是来侵略 的,因为这里的人首先违背了共同的誓言,我们才进入这个地方。在这 个地方,我们的父辈们在打败波斯人以前,曾向你们祈祷;在这个地 方,你们向希腊的军队显示吉兆。我们已经提出了许多公平的建议,但 是这些建议都被拒绝了。诸神和诸英雄啊,让那些首先作恶的人受到惩 罚吧!让我们正义的复仇获得胜利吧!”

    75 阿奇达姆斯祈祷诸神之后,就开始了军事行动。他首先利用砍 伐的果树建筑环城的栅栏,以防止普拉提亚城内出兵突击。接着,他们 又靠着城墙,垒造一个土山,他们希望有这样多的军队从事工作,他们 会很快攻陷普拉提亚的。[2]因此,他们从基赛龙山上采伐树木,在 土山两旁建筑一个用木材垂直相交而成的方格状的木架子,使土山不致 垮塌下去。然后再以木料、石块和泥土以及其他材料把它填塞起来。 [3]他们夜以继日地连续工作了70天,当一批人在那里睡觉或吃饭的 时候,总有另一批人在那里搬运材料。拉栖代梦人的官员在各同盟国的 分遣队中监督他们,使他们努力工作。[4]但是,当普拉提亚人看到 土山日益增高的时候,他们也建筑了一道木墙,安置在自己城墙上面, 与土山对峙。在木墙之内,他们利用附近房屋的砖把它填塞起来。 [5]他们利用木料把砖固定住,以防止随着木墙的增高而垮落。在木 墙的外层覆以兽皮和遮盖物,可以保全木架,以免受火箭的攻击,保护 正在工作的人员的安全。[6]因此,这个木墙修筑得很高,而对面的 土山也以同样的速度增高。普拉提亚人急中生智,他们把自己的城墙与 土山相连接的部分加以破坏,把泥土运入城中。

    76 伯罗奔尼撒人发现他们这样做的时候,他们用芦苇紧密地包着 泥土填塞到土山塌陷的地方,以增加其坚固性,以免这些材料像松土一 样被运走了。[2]普拉提亚人一计不成又生一计,他们从自己城里挖 一条地道,估计通过一定的距离,到达土山的下面,就像从前一样运走 材料。经过很长的时间,外面的敌人才发现此事。其间,他们虽努力建 筑,但土山仍没有增长到应有的高度,因为土山底下的泥土被偷偷运走 了,山体总是向空穴处下沉。[3]纵然如此,普拉提亚人还是害怕, 认为他们难以抵御人数占优势的敌人;于是,就想出一个办法来。他们 停止修筑土山对面的高墙,而是从它的两端,在原有低矮的城墙内侧, 修筑一条内城墙,呈新月形状,围护着城市。这样,如果高大城墙被攻 破,这条城墙还在,敌人就不得不再造一座土山;当敌人继续向前推进 时,他们又会遭遇到同样的困难,而他们的两肋也处于对方投掷器的射 程之内。 [4]伯罗奔尼撒人在垒筑土山的同时,他们拿出攻城器械来攻 城,这些器械之一就是用来冲击对面的高大城墙,城墙的一部分被击 垮,引起普拉提亚人的很大恐慌。其他器械是用来冲击城墙的不同部位 的,但是普拉提亚人用套索把它们套住后加以破坏;普拉提亚人还把两 根木桩竖着固定在城墙上,在木桩上端用长长的铁索悬吊一根巨大的横 梁,每当敌人的攻城槌威胁到自己的时候,他们就扯起横木,和攻城槌 成一直角 [5] ,然后放松铁索,使横木突然下落,砸断攻城槌的头部。

    77 之后,伯罗奔尼撒人看到他们用攻城槌进攻收效甚微,而且普 拉提亚人所建筑的高墙与他们的土山对峙,因此,他们得出结论,利用 现有的手段是无法攻下这座城市的,他们准备修筑一条环绕该城市的城 墙。[2]可是,他们决定首先尝试一下火攻的效果,即借用风力之 助,看能不能把这个城市烧掉,因为这个城市并不大 [6] 。事实上,他 们尝试了各种可能的权宜之计,总想不用长期围攻便可夺取这个地方。 [3]因此,他们首先把一捆捆的柴火从土山上丢入土山和城墙之间的 空隙中。由于参加这项工作的人很多,这个空隙很快就被填满了,他们 继续堆柴,尽他们能力所及,从山顶上把柴堆积到城里。然后,他们加 上硫磺和松脂,把柴堆点燃。[4]于是,产生了人们从未见过的大 火,比人类所造成的任何的火势都要大些。当然,这场大火还不能与山 林中偶尔出现的树枝被风吹着摩擦而自发产生的森林大火相比。[5] 这场大火不仅火势很大,而且普拉提亚人在顶住敌人一次又一次攻击之 后,大火几乎把他们完全毁灭了。它使城市的大部分不能支持;假如真 的如敌人所企盼的,刮起风来,把火焰吹向城中的话,普拉提亚将会被 烧得一干二净的。[6]但是事实上,据说当时雷雨交加,把火浇灭, 城市转危为安。

    78 伯罗奔尼撒人的最后一次攻势失败之后,他们留下一部分军 队,遣散了其余的军队。留守部队负责建筑一道环绕普拉提亚的城墙。 各盟国分工负责建筑一部分。墙里墙外都有壕沟,他们从壕沟中取砖。 [2]大约在大角星升起的时候 [7] ,工程告竣。他们留下足以防守一半 城墙的军队,另一半城墙由波奥提亚人驻守;其余的军队撤离,返回各 自城邦。[3]普拉提亚人此前已经把他们的妻室儿女以及老人和大批 其他非战斗人员送到雅典去了。留守城市的有400名普拉提亚公民、80 名雅典人,还有110名为守军烤面包的妇女。 [8] [4]这是在围城之初 城内确切的人口总数,此外没有其他人,不管是奴隶也好,自由民也 好。普拉提亚之围开始时的情况就是这样的。

    79 在同一个夏季中,在伯罗奔尼撒人及其同盟者远征普拉提亚的 同时,雅典派出2000名重装步兵和200名骑士进攻色雷斯地区的卡尔基 狄克人和波提亚人。这时正是麦子成熟的时候 [9] 。指挥军队的是欧里 庇得斯之子色诺芬和其他两位同僚。[2]军队开往波提亚的斯巴托普 斯城下,毁坏当地的麦田。他们希望通过私通城里的一个党派,兵不血 刃地取得这座城市。但是,城里持不同政见的人士派人去奥林苏斯,因 此,奥林苏斯派遣重装步兵和其他军队前来镇守。这些军队从斯巴托鲁 斯城中杀出,和正在城外的雅典人交战。[3]卡尔基斯人的重装步兵 和一些辅助军队被雅典人击败,退回城里。但是,卡尔基斯人的骑兵和 轻装步兵打败了雅典的骑兵和轻装步兵。 [10] [4]卡尔基斯军中已有 少量的来自克鲁西斯的标枪手,双方交战后,又有来自奥林苏斯的标枪 手来增援他们;[5]来自斯巴托鲁斯的轻装步兵看到,此前他们已经 获胜,而现在又有援兵到达,便勇气大增。于是他们有了卡尔基斯人的 骑兵和新到援军的帮助,再次向雅典人进攻。雅典人退却到他们留下守 卫辎重的那两个分队那里去了。[6]当雅典人进攻时,敌人就退却, 而雅典人撤退时,敌人又马上发起进攻,把标枪投向雅典人。卡尔基斯 的骑兵来到阵前,随心所欲地攻击他们。最后,雅典人大为恐慌,在敌 军的追击下,他们溃逃得很远。[7]雅典人逃往波提狄亚,后来在休 战的条件下,才取回了阵亡者的尸体。剩下来的军队就回雅典去了。此 战,雅典所有的将军以及430名士兵阵亡。卡尔基斯人和波提亚人建立 了一块胜利纪念碑,收回死者的尸体,然后各自回国了。

    80 此后不久,在同一个夏季里,安布拉基亚人和考尼亚人说服拉 栖代梦人,用同盟的资源装备了一支舰队,派遣一支1000名的重装步兵 前往阿卡纳尼亚,目的在于征服整个阿卡纳尼亚地区,使之脱离雅典。 他们认为,如果在陆地上和海上同时采取军事行动的话,那么,滨海的 阿卡纳尼亚人就无法去援助内地的阿卡纳尼亚人; [11] 攻克阿卡纳尼亚 之后,他们就会轻而易举地征服扎金苏斯和基法伦尼亚。这样,环绕伯 罗奔尼撒游弋的雅典人的舰队就不会像以前那样容易得手了。同时,他 们还有希望攻陷诺帕克图斯。[2]于是,拉栖代梦人派遣那时还担任 舰队司令 [12] 的克涅姆斯率数艘舰船,运载着重装步兵前去。他们命令 同盟国尽快装备好舰队,驶往琉卡斯。[3]科林斯人最积极地支持这 件事,因为安布拉基亚人是科林斯人的移民。当科林斯、西基昂及其邻 邦的舰船准备停当之时,那些来自琉卡斯、阿纳克托里昂和安布拉基亚 的舰船已抵达琉卡斯,在那里等待其他城邦的舰船。[4]克涅姆斯率 领1000名重装步兵偷渡进入海湾,没有被佛米奥发觉。佛米奥率20艘战 舰,守卫在诺帕克图斯附近 [13] ,马上准备向陆地进军。[5]克涅姆 斯所统率的希腊军队,有安布拉基亚人、琉卡斯人和阿纳克托里亚人, 还有他带来的1000名伯罗奔尼撒人;当地土著有1000名考尼亚人,他们 是一个不由国王统治的民族。他们由佛提斯和尼卡诺尔率领,他们是王 族的两个成员,是那年在任的军事首脑。和考尼亚人一同来的,还有一 些泰斯普罗提斯人,这个部族也不是由国王统治的。[6]有一些摩洛 西亚人和阿丁坦尼亚人由萨比林苏斯率领,他是尚未成年的国王萨里普 斯的监护人。帕拉维亚人由他们的国王奥罗都斯统率,和他们一起来 的,还有1000名奥瑞斯特人,他们是国王安提库斯的臣民,国王把他们 交给奥罗都斯指挥。[7]柏第卡斯也瞒着雅典人,派遣1000名马其顿 人前来,但是他们来迟了,未能参加这次远征。克涅姆斯率领这支军 队,没有等到科林斯的舰队到达,就出发了。他们通过安菲奇亚的阿尔 哥斯的领土,劫掠了林奈亚地区没有设防的村落,挺进阿卡纳尼亚的首 都斯特拉图斯;他们认为如果攻陷此地,阿卡纳尼亚的其余的地方就会 很容易地落入他们手中了。

    81 当阿卡纳尼亚人发现他们在陆地上遭到大军的侵略,在海上也 受到敌人舰队的威胁的时候,他们没有打算联合起来共同抵御外敌,而 仅仅是想保卫自己的家乡。他们派人向佛米奥求援,佛米奥答复说,那 时一支舰队正在从科林斯驶出,他要防卫诺克帕图斯,是不可能离开 的。[2]同时,伯罗奔尼撒人及其同盟者兵分三路,向斯特拉图斯进 军。他们的目的是想把军队驻扎在城下,如果不能用谈判方式取得这座 城市的话,他们就强攻此城。[3]他们进兵时是这样排列的:考尼亚 人和其他土著军队在中央;琉卡斯和阿纳克托里亚人以及和他们一起来 的人组成右翼;克涅姆斯率领伯罗奔尼撒人和安布拉基亚人在左翼。各 路军队之间相距很远,有时候甚至彼此都看不见。[4]希腊人很有秩 序地前进,小心翼翼,直到他们在一个很好的地势上安营扎寨为止。但 是考尼亚人对自己很有信心,他们是大陆这一带诸部落中最为骁勇善战 的,还没等到安置营寨,就和其他的土著军队一道向前冲杀。他们认为 可以一战而攻克此城,从而可以独享这次行动的荣誉。 [5]当斯特拉图斯人知道敌军正在逼近的时候,就已经有了御敌 之策。他们认为如果能够击败这支军队的话,就会让后面的希腊人大为 沮丧。他们在城市的四周设下埋伏。敌军刚一走近这个区域,城里的人 和城外的伏兵就同时出来与他们展开白刃战。[6]考尼亚人大为恐 慌,他们当中有很多人被杀死;其他的土著看到考尼亚人被打垮,便纷 纷落荒而逃。[7]同时,两支希腊人的军队由于在考尼亚人这支军队 后面很远,根本不知道前面所发生的战事,居然以为他们忙于前去寻找 安营之地呢。[8]可是,当土著军队逃散,冲向他们军队的时候,他 们把逃散的士兵收入军中,把所有的军队合在一起,当天就停留在原 地。斯特拉图斯人没有主动前来攻击他们,因为其他的阿卡纳尼亚人尚 未到达,但是斯特拉图斯人在一定的距离之内,利用弹石来袭击他们, 给他们造成很大的麻烦,因为他们不穿盔甲就无法行动。阿卡纳尼亚人 似乎是很精于这种战术的。

    82 一到晚上,克涅姆斯急忙率军撤至离斯特拉图斯80斯塔狄亚 [14] 的阿纳普斯河畔。翌日,在休战条件下,他收回了阵亡者的尸体。友好 的奥尼阿代人加入了他的军队。在敌人的增援部队到达之前,他撤离了 他们的城市。此后,克涅姆斯所属各支军队各自回本国去了。斯特拉图 斯人竖立了一块胜利纪念碑,以纪念他们此役对土著所取得的胜利。

    83 同时,来自科林斯以及克里赛湾各盟邦的舰队原想与克涅姆斯 合作,使沿海的阿卡纳尼亚人不能援助他们内地的同胞。但是这支舰队 并没有做到这一点。大约在斯特拉图斯战役发生的同时,这支舰队被迫 与佛米奥和停泊在诺克帕图斯的雅典的20艘战舰作战。[2]当敌方的 舰船沿着海湾的岸边航行的时候,佛米奥只是监视他们,因为他想在公 海上向他们发起攻击。[3]但是科林斯及其盟邦的舰船在驶向阿卡纳 尼亚时,从来就没有想过进行海战,他们的舰船更像是运兵船;另外, 他们做梦也没想过,雅典20艘舰船竟敢冒险与他们的47艘舰船交战。然 而,当他们沿自己一方的海岸航行的时候,他们发现雅典舰船排成纵 队,和他们平行;当他们试图横渡阿凯亚的帕特莱到对面大陆上的时 候,在前往阿卡纳尼亚的途中,他们看到雅典的舰队从卡尔基斯和爱文 努斯河驶出,向他们冲过来。虽然在晚上他们想从停泊地偷渡出去,但 是他们还是被发觉了,所以最后他们还是不得不在中途作战。 [15] [4]各邦所派出的舰队都有自己的指挥官,科林斯的指挥官是马卡 昂、伊索克拉特斯和阿伽萨奇达斯。[5]伯罗奔尼撒人把舰船列成一 个封闭的圆圈阵,圆圈尽可能地大一些,船头朝外,船尾向内,船与船 之间紧密排列,没有大的空隙;圆圈之内还有5艘航速最快、装备最好 的帆船;凡是圆阵受到敌人攻击的地方,这5艘船就可以随时前往救 援。

    84 雅典人把舰船排成纵队,环绕着伯罗奔尼撒的舰队航行,不断 地擦过对方的舰船,佯装马上要向敌舰撞击的样子,迫使他们收缩圆 圈。佛米奥事先有令,要等到他发出作战信号时才能进攻。[2]他希 望伯罗奔尼撒人舰队像一支陆军一样不能保持队形,舰船相互碰撞,圈 子中间的小船更增加他们的纷乱;如果风从海湾方向刮过来(他预料风 会吹来,因为平时都是在黎明时刮起来的,所以他不断地环绕他们的舰 队航行),他相信,敌舰马上就难以保持队形了。同时,他认为,何时 进攻取决于他,因为他的舰船都是较好的帆船,因而风起之时是最佳进 攻时机。[3]当风刮起来的时候,敌人的舰队收缩拥挤在一起了。他 们一方面要应付风,一方面要躲避自己的小帆船的撞击,结果很快就乱 作一团:舰船相互碰撞,桡手们必须用篙竿把船撑开,他们的呼喊声、 叫骂声以及彼此间的争斗,致使船长们的命令和舵手们的喊声都无法听 见;因为他们缺少经验,他们的桡手无法在有风浪的海面上划行,使舵 手们更难以正常驾驭其舰船了。这时,佛米奥发出信号,雅典人开始进 攻了。他们首先击沉舰队司令的那艘船,然后破坏他们所遇到的每一艘 船,敌人在纷乱之中,不思抵抗,纷纷逃往帕特莱和阿凯亚的代米 [16] 。[4]雅典人乘胜追击,俘获12艘船,以及除了那些航往摩利克里昂 以外的大多数的桡手。他们在瑞昂海角竖立一块胜利纪念碑,把一条船 献给波塞冬神之后,返回诺帕克图斯。[5]伯罗奔尼撒人马上驾着余 下的舰船,从代米和帕特莱出发沿海岸航行,前往爱利斯人的造船厂所 在地基伦尼。克涅姆斯在斯特拉图斯战役之后,带着联合舰队的一部分 舰船 [17] 从琉卡斯来到这里。

    85 现在拉栖代梦人派出3名特派员到克涅姆斯和他的舰队这里来, 他们是提摩克拉特斯、伯拉西达 [18] 和吕科弗隆。他们所接受的命令是 要求克涅姆斯再进行一次海战。而且战绩要更好一些,不能让敌人的几 艘船就把他们驱逐出海洋。[2]因为他们完全不了解他们失利的原 因,更没有注意到这是他们的第一次海战;他们认为这不是由于他们的 海军实力如此薄弱,而是由于其他方面的失误所致;没有考虑到雅典人 拥有长期的海上经验,而他们自己却几乎没有实战经验。因此,特派员 是拉栖代梦人在一怒之下派遣出来的。[3]特派员一到,就和克涅姆 斯一道工作,派遣使者往各国去,要求他们再派舰船来,把他们已有的 舰船编入战斗队列。[4]同时,佛米奥也派人到雅典去,报告他们的 备战情况和他的海战胜利,并请求迅速地尽量多派些舰船来,因为每天 都有发生海战的可能。[5]于是雅典人派出20艘船,但是命令这支船 队的指挥官首先率舰队前往克里特。因为一位格尔蒂的克里特人尼基阿 斯是雅典的代理人 [19] ,他曾劝说他们去打击基多尼亚,他说他可以使 这个反对雅典的城市转到雅典这一边来。其实,他的意图是为了基多尼 亚人的邻人波利契纳人。[6]于是,他率舰队前往克里特,和波利契 纳人一起,蹂躏了基多尼亚人的土地。逆风航行和恶劣的天气使他们在 那里浪费了不少的时间。

    86 当雅典人停留在克里特的时候,在基伦尼的伯罗奔尼撒人已经 做好战争的准备工作,他们沿着海岸驶往阿凯亚的帕诺姆斯,他们的陆 军已经抵达那里来支援他们。[2]佛米奥也沿着海岸航行,来到摩利 克里昂的瑞昂,带着他从前用以作战的20艘船停泊在这个地方的外面。 [3]这个瑞昂是和雅典人保持友好关系的。另外一个瑞昂在对岸的伯 罗奔尼撒半岛上,它是反对雅典的,两地之间相距约7斯塔狄亚 [20] 的 海面,为克里赛湾的入口。[4]伯罗奔尼撒人看到雅典停泊在对岸的 时候,在离他们陆军驻扎地帕诺姆斯不远处的阿凯亚的瑞昂,他们也将 其77艘舰船停泊在那里。[5]他们在两岸相持了六七天,双方都操练 着,准备战斗。伯罗奔尼撒人决心不再航出瑞昂海峡,进入开阔海域, 他们害怕重蹈上次战败的覆辙;雅典人则绝不进入海峡作战,他们认为 在狭窄的海面上作战对敌人是有利的。[6]最后,克涅姆斯和伯拉西 达以及伯罗奔尼撒人的其他指挥官,都希望在雅典援兵未到的时候,尽 快作战;然而他们注意到,因为上次战败的影响,他们大多数的士兵士 气低落,完全没有作战的热忱。因此,他首先把士兵们召集起来,用下 面的话来激发他们的勇气:

    87 “伯罗奔尼撒人啊,如果因为上次战役,而使你们中间有些人惧 怕战争的话,那么,我们现在又要作战了,你们的畏惧实在是没有理由 的。[2]你们知道,上次交战,我们没有作好充分准备:我们航行出 去的目的不是想在海上作战,而是想在陆地上作战的。除此以外,战争 中的突发事件对我们极为不利,也许缺乏经验也是我们第一次海战失败 的部分原因。[3]因此,我们的失败,不是由于我们的懦弱;我们的 决心也不应当在武力面前屈服,而应当和我们的对手较量一番;我们的 锐气也不应因意外事故的结果而受到挫伤。虽说人人都可能遭遇到意外 的失败,但是要知道,真正勇敢的人永远都是勇士,真正勇士是绝对不 会以缺乏经验作为自己失误的借口的。[4]你们经验方面不如你们的 敌人,但是你们在勇敢方面却超过他们。你们对手的技能只有与勇敢结 合起来,在危难时刻,他们才知道如何运用他们在教训中所学来的东 西。但是,如果缺乏勇敢精神,所有的技能在面临危难的时候都会变得 毫无用处了。恐惧使人丧失冷静;没有勇气,则技能也变得无用了。 [5]他们拥有经验方面的优势,你们拥有勇敢方面的优势;当你们因 为上次的失利而感到恐惧的时候,而那正是你们丧失警惕、疏于准备的 时候。[6]你们还要记住,你们一直拥有数量上的优势,你们在自己 的海岸附近作战,岸上有重装步兵在支持你们。一般说来,胜利是属于 人数众多、装备精良的一方的。[7]因此,没有任何理由认为我们会 失败的。就是我们上次所犯的错误,也成为一个有利因素,因为我们从 中得到教训。[8]因此,我们希望舵手们和桡手们要满怀信心,恪尽 职守,任何人不得擅自离开所指定的岗位。[9]我们保证认真备战, 不次于你们以前的指挥官们,绝不让任何人有做懦夫的借口。如果有人 要做懦夫的话,他应当受到他所应有的惩罚,但是勇敢者一定会得到他 们所应得的奖赏。”

    88 伯罗奔尼撒人的指挥官们就是这样鼓励他们的士兵的。同时, 佛米奥也因为部下士气低落而忧心忡忡。他注意到,士兵们三五成群地 聚集在一起,显然是因为敌军人数众多而紧张。因此,他把他们召集起 来,使他们树立信心,在目前的形势下,给他们提出一些忠告。[2] 过去他常常对他们说,在他们心目中留下一个印象,任何一支舰队,虽 然它占有数量优势,都是可以对付的。长期以来,他手下的将士已经相 信,作为雅典人,无论在多少伯罗奔尼撒人的战舰面前,都是从不后退 的。[3]但是,这时他看到,他们目前所面临的情景使他们士气消沉 了,他们认为应当恢复他们的自信心。因此,他把雅典人召集起来,对 他们这样说:

    89 “士兵们!我知道你们因为敌人人数众多而害怕了;因此,我把 你们召集起来,因为我不希望你们在没有真正可怕的事情的时候而感到 恐惧。[2]首先,已经吃过败仗的伯罗奔尼撒人,他们配备这么多的 战舰来对付我们,这说明他们都承认他们不是我们的对手,没有勇气在 平等的条件下和我们交战。其次,他们最主要的是依靠他们的匹夫之 勇,而这种聊以自慰的信心只是从他们经常参与的陆战的成功经验中获 得的,他们幻想这种经验在海战中同样有用。[3]但是,如果说他们 在陆战经验上占优势,那么海战经验的优势自然是属于我们的。他们并 不比我们更勇敢,但是我们个个都比他们更有信心,这是根据我们在这 个特殊领域的经验所得出的结论。[4]再次,拉栖代梦人对其同盟者 行使盟主之权是为了他们自己的荣誉,在大多数情况下他们的同盟者被 拖入危险之中是违背同盟者的意志的;否则,他们在遭到如此重大失败 之后,就不会再来海上冒险作战了。[5]因此,你们不必担心他们的 冲动。相反地,他们有更充足的理由害怕你们:这一则因为你们新近取 得了胜利,二则因为他们认为除非你们觉得可以稳操胜券,否则你们是 不会与他们交战的。[6]当对手在数量上占有优势,就像我们现在的 敌人一样,采取行动更主要的是依靠其兵力,而不是果敢;而如果一方 在人数明显处于劣势的情况下,却勇于主动出击,那他们必定是具备高 度的坚强决心的。由于这些原因,伯罗奔尼撒人害怕我们出其不意地贸 然出击,更甚于在作相应的准备的情况下同我们交战。[7]另外,过 去曾经有过人数众多的军队被人数少的军队打败,他们有时是因为缺乏 技术,有时是因为缺乏勇气;而我们呢,则既不缺乏技术,又不缺乏勇 气。 [8]“至于这次战役,如果我能够做到的话,将不会在海湾中作 战,我也绝不会航行到海湾里面去。可以看到,那里海面狭窄,对于一 支数量少但速度快且训练有素的舰队来说,他们与一支数量众多但管理 差劲的舰队较量,缺少回旋余地无疑是不利的。如果一艘舰船对于前方 的敌舰没有一个远距离的观察的话,它就不可能精确地冲向敌人,撞击 敌舰;同样,在它受到窘迫时,也不能及时退却;同时,它也不可能冲 破敌人的阵线,然后再返回本方的队列,这对于一支快速的舰队来说, 是一种适当的战术。否则的话,海战就必然像陆战一样,军队的人数决 定着胜负。[9]所以我一定尽我能力所及,注意这些事情。而你们必 须坚守你们在舰船上的岗位,遵守秩序,注意听从指挥,尤其当敌舰离 我们很近而他们紧盯着我们时,我们更要做到这一切。在军事行动中, 注意保持秩序和肃静是至关重要的。这两点在任何战争中都有用,海战 尤其如此。你们在对敌作战中的表现,要无愧于你们过去的荣誉。 [10]你们这次战斗的结局影响重大—或是毁灭伯罗奔尼撒人在海上的 希望,或是给雅典人带来更近的海上忧患。[11]我要再提醒你们一 次,这支舰队的大部分舰船 [21] 是被我们击败过的;作为我们的手下败 将,他们在面对同样危险的时候,是绝不会有和上次一样的决心的。”

    90 佛米奥是这样激励他的部下的。伯罗奔尼撒人发现,雅典人并 未驶入海湾和狭窄的海域,他们想把雅典人引诱到预定海域,不管雅典 人是否愿意。于是,伯罗奔尼撒人在黎明时分起航,他们把舰船列成4 艘一排的纵队,按着停泊时的次序,由右翼领队,沿着面向伯罗奔尼撒 的内侧的海湾前进。[2]位于右翼的是他们的最优秀的20艘船。这 样,如果佛米奥真的以为他们想夺取诺帕克图斯,就会沿着这个方向跟 踪而至,以保护诺帕克图斯。雅典舰队就说不定被伯罗奔尼撒的舰队拦 腰截断,首尾不能相顾。[3]果然不出他们所料,佛米奥一看到他们 起航,就担心那个地方失守,因为那里没有驻防军,于是他火速起航, 沿海岸前进。美塞尼亚的陆军也沿着海岸进军,作为他的后援。[4] 伯罗奔尼撒人看见雅典人的舰船排成单列沿着海岸航行,已经进入海 湾,靠岸边很近(这正是他们最希望雅典人到达的地方),便突然发出 信号,舰船列队全速向雅典舰队冲过去,希望把雅典整个舰队拦腰截 断。[5]但是,雅典的11艘领头的舰船逃脱伯罗奔尼撒舰队的突然拦 截,进入更宽阔的海域。但是其余的舰船却陷于对方的包围圈中,他们 设法突围,但都被逐回岸边,丧失了战斗力,那些不习水性的桡手都被 杀死了。[6]伯罗奔尼撒人把一些船系在自己的船上,拖着空船离 去;有一条船连同船上的桡手一起被俘获。正当他们拖着其余的舰船离 去的时候,美塞尼亚人把它们夺下了。因为美塞尼亚人身穿盔甲,跳入 水中,登上舰船,在甲板上打退了敌人。

    91 这样,伯罗奔尼撒人在这里取得胜利,而雅典的舰队遭到毁灭 性打击。同时,伯罗奔尼撒人右翼的20艘舰船正在追逐那11艘逃脱了他 们的突然拦截进入公海的雅典舰船。这11艘舰船中除1艘外,其余的都 平安抵达诺帕克图斯,在阿波罗神庙附近靠海岸地带列成阵势,把船头 对着敌人,如果伯罗奔尼撒人的舰船驶入,向他们进攻的话,他们就准 备自卫。[2]不久,伯罗奔尼撒人追踪而至,他们一边前进,一边高 唱凯歌。一艘琉卡斯的舰船,跑在其他舰船前很远的地方,正在追击那 一艘落在后面的雅典舰船。[3]碰巧先有一条商船在那里抛锚,雅典 舰船就围绕着商船转圈,然后撞击那条追赶它的琉卡斯舰船的腹部,并 把它击沉。[4]这个突然的、出人意料的行动造成伯罗奔尼撒人的惊 慌;同时,伯罗奔尼撒人因胜利而骄傲,在追赶时,舰船队形散乱,有 些舰船上的桡手把桨插入水中,停止前进,等待大队舰船赶上他们—这 是很危险的。要知道,他们离敌人的船头这样近,而且是准备向他们进 攻的;另外有些舰船,因为不知道海水的深浅,在浅水处搁浅了。

    92 雅典人看到这种情况,勇气倍增。他们发出命令,大喊一声, 冲向敌人。而伯罗奔尼撒人,因为自己所犯的错误而受到窘迫,现在队 形散乱,因而只作短暂的抵抗就向潘诺姆斯逃去,他们原来也是从那里 起航的。[2]雅典人紧紧地追着,俘获了最靠近他们的6艘船,并且夺 取了本次战役之初在海岸边被敌人撞坏了的自己的舰船。他们杀死了一 些桡手,还俘获了一些。[3]在商船附近那条被击沉的琉卡斯舰船的 甲板上,拉栖代梦人提摩克拉特斯在那里,当船身下沉时,他自杀了, 尸体被海水冲入诺帕克图斯港内。[4]雅典人回到他们起航出发、获 得胜利的地方, [22] 建立一块胜利纪念碑。他们取回在岸边的残船和死 者的尸体,并且依照休战条件,把敌人的尸体交还给敌人。[5]伯罗 奔尼撒人也建立了一块胜利纪念碑,以纪念他们在岸边破坏雅典舰船时 所获得的胜利;在胜利纪念碑的旁边,即阿凯亚的瑞昂地方,他们把所 俘获的一艘船贡献给神。[6]之后,他们担心雅典的援兵 [23] 将至, 除琉卡斯人以外,他们都进入克里赛湾,前往科林斯去了。[7]他撤 退之后,从克里特来的雅典的20艘舰船 [24] 抵达诺帕克图斯,他们本应 在此次战役前加入佛米奥的舰队的。夏季就这样结束了。 [25]

    93 冬季即将来临了。可是在遣散那些退回科林斯和克里赛湾的舰 队之前,克涅姆斯、伯拉西达和伯罗奔尼撒人的其他指挥官采纳了麦加 拉人的建议,决定去袭击比雷埃夫斯,这是雅典的港口。由于雅典的海 军实力拥有绝对的优势,港口自然是敞开的,没有设防。[2]他们的 计划是这样的:每个人带着自己的桨、坐垫和桨架上的皮带,从科林斯 穿越陆地来到雅典这一侧的海边,再尽快地前往麦加拉,把在尼塞亚船 坞中的40艘舰船推下水,立即驶往比雷埃夫斯。[3]在比雷埃夫斯是 没有舰队守卫的,没有人会料到敌人会这样来突然袭击的;他们当然不 敢公开进攻而希望不会遇到抵抗,纵然他们的计划正在谋划之中,消息 也很快会传到雅典的。他们的计划就是这样设计的,下一步就是如何付 诸实施了。[4]夜里,他们来到尼塞亚,把舰船推下水。但是,他们 没有按原计划马上驶往比雷埃夫斯,一则害怕冒险,二则据说风阻止了 他们。他们航往朝向麦加拉的萨拉米斯海角。那里有一个要塞和3艘舰 船的分舰队,它是防止任何舰船进出麦加拉的。他们向这个要塞发动攻 击,拖走了空船,然后对当地居民发动突然袭击,开始蹂躏萨拉米斯岛 的其余地区。

    94 烽火燃烧起来了。雅典得到警报,紧接着发生的恐慌的严重程 度可与这场战争期间任何一次恐慌相比。 [26] 雅典城里的人都以为敌人 已经从海上攻入比雷埃夫斯,而在比雷埃夫斯,人们认为敌人已攻占萨 拉米斯,可以随时进入比雷埃夫斯。 [27] 事实上,如果他们的胆量稍大 一点,就会很容易地攻入比雷埃夫斯,绝不是风就能阻止他们的。 [2]天刚蒙蒙亮,雅典人召集他们所有的军队,把舰船推下水,在大 声叫喊中匆匆忙忙登上舰船,开赴萨拉米斯,陆军留守比雷埃夫斯。 [3]伯罗奔尼撒人已经蹂躏了萨拉米斯的大部分土地,当他们得知雅 典援军不久将至时,便带着他们的掠获物、俘虏和在布多隆要塞的3艘 舰船,匆匆驶往尼塞亚。同时,舰船的情况已使他们忧心忡忡,这些舰 船下水不久,就开始漏水了。他们抵达麦加拉以后,又步行回到科林 斯。[4]雅典人看到敌军已撤出萨拉米斯,便返航了。此事过后,他 们就更加注意安排好比雷埃夫斯的防务工作。他们封锁了港口, [28] 并 采取了其他相应的戒备措施。

    95 大约与此同时,在冬季开始的时候,色雷斯地方的奥德里赛国 王,泰瑞斯之子西塔尔克斯进攻亚历山大之子、马其顿国王柏第卡斯和 与色雷斯毗邻的卡尔基狄克人。西塔尔克斯的目的是要履行他的一个诺 言,实现另一个诺言。[2]一方面,在战争之初,柏第卡斯处境艰 难,就和西塔尔克斯订立和约,条件是西塔尔克斯使他与雅典人和解, 不再试图恢复他的兄弟腓力浦的王位,因为腓力浦是与他为敌的。但是 柏第卡斯并没有遵守这个条约。另一方面,西塔尔克斯本人在与雅典人 缔结同盟时, [29] 也同意结束与色雷斯的卡尔基狄克人的战事。[3] 这就是西塔尔克斯入侵该地区的两个理由。他在出征时带上了腓力浦之 子阿明塔斯, [30] 想立他为马其顿王,随同他出征的还有一些雅典的使 者,他们正在宫廷上商量此事;有哈格浓,他以哈格浓为将军; [31] 因 为他认为雅典人要派遣一支舰队和尽量多的军队前来支援他,以同卡尔 基狄克人作战的。

    96 西塔尔克斯开始时率领奥德里赛人,然后他首先召集海姆斯山 [32] 和罗多佩山 [33] 之间直到攸克星海 [34] 和赫勒斯滂海岸地区那些臣 属于他的色雷斯诸部落;接着又召集海姆斯山以远的盖泰人以及其他定 居在多瑙河 [35] 以南毗邻攸克星海一带的游牧部落,这些游牧部落和盖 泰人一样,与斯基泰人相邻,武器装备相同,都是骑马的弓箭手。 [2]另外,他还召集了许多山地的色雷斯人,他们是独立的,以短剑 为武器。他们被称为狄伊人,大多数居住在罗多佩山上。他们当中有些 是作为雇佣兵,有些是作为志愿兵而来的。[3]他又召集了阿格里安 人、莱艾亚人以及帝国范围内的其他派奥尼亚人诸部落 [36] 。这些部落 居住在帝国的边疆一带,他的帝国的边缘是莱艾亚的派奥尼亚人和斯特 里梦河 [37] ,这条河从斯康布鲁斯山发源,流经阿格里安人和莱艾亚人 的土地;西塔尔克斯的帝国到此为止,它的外侧便是独立的派奥尼亚人 的领土。[4]他的帝国与独立的特里巴利人的分界处,以特瑞里斯和 提拉泰亚人的居住地为界,他们居住在斯康布鲁斯山之北,向西延展到 奥斯基乌河 [38] 。这条河和涅斯图斯河 [39] 、希布鲁斯河 [40] 起源于同 一山脉,这是一个广大而荒凉的山脉,和罗多佩山脉相连。

    97 奥德里赛帝国 [41] 的海岸线是从阿布德拉到攸克星海中的多瑙河 口。一条商船沿着海岸航行,走最短的路线,在全程都是顺风的情况 下,需要4昼夜才能走完全程;一位腿脚灵活的人由陆地上沿着最短的 途径,由阿布德拉到多瑙河,需要11天的时间。[2]这就是该帝国的 海岸线长度。至于它的内地的广度,一位腿脚灵活的人由拜占庭到莱艾 亚人的居住地和斯特里梦河(内地离海最远的地方),需要13天的时 间。[3]在西塔尔克斯的继承人修西斯 [42] 当政期间,他把贡税提高 到前所未有的水平,从所有土著地区和希腊城市征收的贡税总额约为金 银400塔连特。 [43] 另外,还有素的和绣花的织物以及其他物品。这些 礼物不仅要献给国王,还要献给奥德里赛的要人和贵族。[4]这里的 现行习惯与波斯王国正相反,国王收受礼物而不是赠送礼物; [44] 他们 认为,当别人要求赠送礼物而不给予时,比自己向别人要求而被拒绝时 更是有失体面的。尽管这种风俗在色雷斯的其他地方也流行,但实际上 在强大的奥德里赛人中间最为广泛地流行,如果不事先送礼,无论办什 么事都不可能取得成功。[5]因此,它成为一个强大的王国。就财源 和富庶而言,它超过了伊奥尼亚湾和攸克星海之间的所有欧罗巴国家。 虽然在军事资源和人数方面,它显然不如斯基泰人 [45] ,[6]但是他 们确实要比任何一个欧罗巴民族都要大些。如果斯基泰人联合起来,就 是在亚细亚,也没有一个民族能够单独与之匹敌,虽然在一般的智慧和 文明生活的技术方面,他们不及其他民族。

    98 当西塔尔克斯准备进军的时候,他是一个大国的统治者。当一 切准备就绪后,他就出兵进攻马其顿,他首先通过自己的领土,然后越 过荒无人烟的科金山脉,这条山脉是辛提亚人和派奥尼亚人的边界。他 穿越这条山脉所走的道路是他在和派奥尼亚人作战时,砍伐森林所开辟 出来的。[2]他们越过这条山脉之后,他的右边是派奥尼亚人,左边 是辛提亚人和麦狄人,他们最后到达派奥尼亚的多比鲁斯。[3]在行 军过程中,除了病死者以外,他的军队没有损失一兵一卒。事实上他的 军队人数反而增加了,因为许多独立的色雷斯人自愿追随他,希望有打 劫的机会;这样,据说他的军队总数达到15万人。[4]这支军队大部 分是步兵,只有约三分之一的骑兵。奥德里赛人自己,其次是盖泰人, 构成骑兵的主体。步兵中最善战的是来自罗多佩山的自由剑客。其余跟 随西塔尔克斯的大批乌合之众之所以可怕,是因为他们人数众多。

    99 他们聚集于多比鲁斯,准备居高临下,侵入柏第卡斯统治的下 马其顿;[2]在内地的林库斯人、爱里米奥特人和其他部落在血统上 也属于马其顿人,他们是马其顿王族的同盟者和依附者,但是各有他们 自己的政府。[3]滨海的这个地区,现在叫作马其顿,最早是柏第卡 斯的父亲亚历山大取得的;他的祖先原先是来自阿尔哥斯的泰门尼德 族。他们把皮耶里亚人逐出皮耶里亚,后来皮耶里亚人就居住在法格里 斯以及斯特里梦河以外的潘盖优斯山下的其他地区(事实上,从潘盖优 斯山到滨海这一带至今还被称为皮耶里亚谷地);他们把波提亚人(他 们现在毗邻卡尔基斯人)驱逐出波提亚,[4]并且取得了派奥尼亚的 沿阿克西乌斯河 [46] 直到培拉和海滨的狭长地带的土地;他们还驱逐了 爱多尼亚人,取得米格多尼亚的土地,这个地区位于阿克西乌斯河和斯 特里梦河之间,从而取得了马其顿的土地。[5]他们还把爱奥狄亚人 逐出爱奥狄亚,被逐者大多数被杀,少数人还住在腓斯卡周围;他们还 把阿尔摩皮亚人逐出阿尔摩皮亚。[6]这些马其顿人还征服了其他一 些部落的土地—安塞姆斯、克里斯托尼亚、比萨尔提亚和马其顿本土 [47] 的大部分地区。现在整个地区统称为马其顿。在西塔尔克斯入侵的 时候,马其顿国王正是亚历山大之子柏第卡斯。

    100 马其顿人面对如此庞大的侵略军,他们无法在战场上抵御敌 人,便退避到境内的强固据点和要塞。[2]那时候,这样的据点和要 塞为数不多;现在马其顿的据点和要塞大都是后来柏第卡斯之子阿奇劳 斯 [48] 继位后修筑的。阿奇劳斯还开辟了全国的直达公路,使马其顿王 国在骑兵、重装步兵和其他战争资源方面全面地超过了他以前的8位国 王统治的时代。[3]色雷斯人的军队从多比鲁斯进发,首先侵入过去 属于腓力浦统治的地区。他们袭取了伊多门涅;用和谈的方式取得了哥 提尼亚、阿塔兰塔和其他一些地区,这是他们忠于腓力浦之子阿明塔斯 的缘故,而阿明塔斯当时正和西塔尔克斯在一起。他们围攻攸罗浦斯, 但是没有攻下来。[4]于是,西塔尔克斯便进军培拉和基尔鲁斯左侧 的马其顿的其他地区。他们没有越过这个地区侵入波提亚和皮耶里亚, 而是就地蹂躏了米格多尼亚、克里斯托尼亚和安塞姆斯。[5]马其顿 人从来就没有想过用步兵来迎击他。但是来自内地的援助他们的骑兵, 一有机会,就去袭击色雷斯人的军队。他们是优秀的骑手,配有胸甲, 每次他们进攻的时候,没有人能够抵挡他们。但是他们随时都有被优势 的敌人包围的危险,他们认为自己的力量不足以和人数这样占优势的敌 人去冒险作战,因此他们终于放弃了这种进攻。

    101 同时,西塔尔克斯开始和柏第卡斯就此次远征所要达到的目的 进行谈判;因为他发现雅典人虽然派遣使者送了一些礼物,但雅典人不 相信他会出兵,因而没有派出他们的舰队。于是他就派出他的大部分军 队进攻卡尔基狄克人和波提亚人,迫使他们退守城中,然后对他们的土 地进行蹂躏。[2]当西塔尔克斯还在这些地区的时候,南方的居民— 色萨利人、马格涅特人,以及其他一些臣属于色萨利人的部落,直至德 摩比利的希腊人—都惧怕这支军队南下向他们进攻,所以都作了战争准 备。[3]居住在斯特里梦河以北平原地带的色雷斯人,如帕奈亚人、 奥多曼提人、德罗伊人和德赛亚人,都是一些独立的部落,他们也感觉 到同样恐慌。[4]甚至在与雅典为敌的希腊人中间也在谈论这件事, 西塔尔克斯是否会接受他的同盟者的邀请也来攻击他们。[5]这期 间,西塔尔克斯控制了卡尔基斯、波提亚和马其顿,蹂躏了这些地区的 土地。但是他原来出兵的目的,一个也没有达到,他的军队缺乏给养, 同时也受着天气寒冷的痛苦;于是他便采纳了他的侄子修西斯 [49] (斯 巴拉多库斯之子,他手下的最高官员)的建议,果断决定撤兵。柏第卡 斯秘密地把修西斯争取过来,允诺把自己的妹妹嫁给他,并给她巨额金 钱作嫁妆。[6]按照修西斯的这个建议,西塔尔克斯尽快地撤兵回国 了。这次出兵前后共计30天,其中8天在卡尔基斯。后来柏第卡斯遵守 诺言,把他的妹妹斯特拉托妮克嫁给修西斯。这就是西塔尔克斯远征的 全过程。

    102 在同一个冬季里,在伯罗奔尼撒人的舰队遣散之后,诺帕克图 斯的雅典人在佛米奥的指挥下,沿海岸线前往阿斯塔库斯,他率领舰上 的400名雅典重装步兵和400名美塞尼亚人登陆侵入阿卡纳尼亚内地。他 们把那些可疑分子从斯特拉图斯、科隆塔和其他地方驱逐出去,恢复了 泰奥里图斯之子基尼斯在科隆塔的地位,之后就回到他们的舰船上来。 [2]他们认为在冬季里不可能去远征奥尼阿代,这个地方不像阿卡纳 尼亚境内的其他地方,它总是与雅典人为敌。因为阿奇劳斯河自品都斯 山流出,流经多洛皮亚、阿格赖亚、安菲洛奇亚地区和阿卡纳尼亚平 原,在河流的上游途经雅特拉图斯城,在奥尼阿代附近入海,在奥尼阿 代周围形成一些湖泊。因此,冬季无法在这个地区发动攻势。[3]爱 奇纳德斯群岛的大多数岛屿位于奥尼阿代的对面。这些岛屿便排列在阿 奇劳斯河入海口处,因为这条河水流湍急,不断地有淤积物冲到岛屿 上,使得一些岛屿已经与大陆连接起来,很可能在不久之后,其他的岛 屿都会和大陆连接起来的。[4]因为水势猛,水位深,多泥沙,岛屿 密度大,岛屿间多有冲积土壤淤塞,使它们彼此更加接近;这些岛屿不 是排成直线,而是不规则地散布着,因而岛屿之间没有直接通向大海的 水道。[5]这些岛屿都不大,而且是荒无人烟的。有一个故事谈到, 安菲劳斯之子阿尔克麦昂在谋杀了他的母亲之后,到处流浪,阿波罗神 指示他居住在这个地方。神谕是这样说的:除非能够找到一个在他杀他 母亲时太阳从未照耀过的地方,或者说,当时还不是陆地的地方来居 住,否则他心中的恐惧是不能消除的,因为地球上的其他地方都被他玷 污了。[6]据说,他起初不知怎么办才好,但是最后他观察到阿奇劳 斯河的淤积物,认为自从他杀了他的母亲,到这时他已经流浪了相当长 的时间,那里已经隆起了新的土地,在上面足以维持自己的生活了。因 此,他定居在奥尼阿代附近地区,成为这个地区的统治者。整个地区被 称为阿卡纳尼亚,就是从他的儿子阿卡南的名字而来的。这是我们接受 传统上关于阿尔克麦昂的故事。

    103 雅典人和佛米奥从阿卡纳尼亚返航,回到诺帕克图斯;春天 [50] ,他们回到雅典。他们带回所俘获的舰船和在新近军事行动中所俘 获的自由民。这些俘虏都将是一对一地和伯罗奔尼撒人相交换的。这个 冬季就这样结束了。历史学家修昔底德记载的这场战争的第三年就这样 终结了。

    [1] 公元前429年。 [2] 公元前479年的普拉提亚战役,希腊联军大败波斯军。 [3] 参阅修昔底德,II. 6。 [4] 约公元前520年。参阅III. 68。—史译本注 [5] 横木与城墙是平行的。—史译本注 [6] 谢译本(第159页):“这个城市是很大的”。 [7] 现代学者推论约为9月20日。 [8] 这是修氏著作少数提及妇女的地方之一。这些妇女可能是奴隶。因为他们的妻子儿女都在雅典。参 阅R. B. Strassler, The Landmark Thucydides , p. 136。 [9] 5月中旬。 [10] 这说明雅典方面显然有轻装步兵,但本节提到从雅典来的只有骑兵和重装步兵;也许雅典的轻装步 兵是由非公民组成。 [11] 因为沿海地带有伯罗奔尼撒人的舰队。—史译本注 [12] 参阅修昔底德,II. 66。 [13] 参阅修昔底德,II. 69。 [14] 约合15千米。 [15] 即在帕特莱和爱文努斯河口之间的水面上作战。两地分别在卡利顿湾两岸,科林斯的舰船穿过海峡 就进入科林斯湾。—史译本注 [16] 科林斯人的殖民地。 [17] 即琉卡斯、阿纳克托里昂和安布拉基亚等邦的舰船。参阅修昔底德,II. 80。—史译本注 [18] 克译本此处译为伯拉狄达斯(Bradidas),其他译本皆为伯拉西达(Brasidas),后者与希腊文相 符。克译本随后(II. 93)亦提及伯拉西达在军中,疑为克译本印刷错误。 [19] 参阅修昔底德,II. 29,注2。 [20] 约合1300米。 [21] 在第一次海战时伯罗奔尼撒人有47艘船(II. 83),与佛米奥交战中损失12艘(II. 84);在第二次 海战时伯罗奔尼撒人有77艘(II. 86)。显然,这里的“大部分舰船”的说法不够准确。 [22] 这个地方不能确定,不是在摩利克里昂的瑞昂附近(II. 86),就是在阿波罗尼昂(阿波罗神庙圣 地)附近(II. 91)。—史译本注 [23] 参阅修昔底德,II. 86。 [24] 参阅修昔底德,II. 85。 [25] 公元前429年。 [26] 参阅修昔底德,VIII. 96。 [27] 萨拉米斯岛距阿提卡最近处不足2千米。 [28] 就是延长港口入口处的城墙,中间只留一条狭窄的通道,这个通道可以用铁链封锁起来。—史译本 注 [29] 参阅修昔底德,II. 29。 [30] 此时腓力浦已死。 [31] 他原以为雅典的军队会来的,故以哈格浓为雅典的将军,但雅典的军队没有来。参阅修昔底德,II. 101。 [32] 今之巴尔干山脉。 [33] 今之德斯波多达山(Despotodagh)。—史译本注 [34] 攸克星海(Euxine),今之黑海。 [35] 希腊人称之为伊斯特河。 [36] 这里是指当时对阿克西乌斯河和斯特里梦河之间的诸部落的统称。 [37] 今之Struma河。—史译本注 [38] 今之Isker河。—史译本注 [39] 今之Masta河。—史译本注 [40] 今之Maritza河。—史译本注 [41] 其版图大致与现在的保加利亚相当。—史译本注 [42] 西塔尔克斯的侄子和继承人。参阅修昔底德,II. 101;IV. 101。 [43] 修氏在这里没有说明多少金,多少银。黄金和白银有一定的比价,此时大约为1:13。 [44] 在波斯,国王是赐予礼物而不是收受礼物的。参阅色诺芬:《居鲁士的教育》(Xenophon, Cyropaideia ),VIII. 2.7。 [45] 这与希罗多德的说法(V. 3)有所不同。 [46] 现在的发达尔河(Vardar)。—史译本注 [47] 所谓马其顿本土即通常所说的“上马其顿”,靠近沿海的低地平原地带被称为“下马其顿”。 [48] 公元前413—前399年在位。研究者们据此认为修氏至少活到公元前399年。 [49] 西塔尔克斯之子此时已死亡。修西斯于公元前424年继位。

    第三卷

    第九章 战争的第四年和第五年。米提列涅的暴动。

    1 翌年 [1] 夏季里,正当谷物成熟的时候,伯罗奔尼撒人和他们的 同盟者在拉栖代梦国王,宙西达姆斯之子阿奇达姆斯的统率之下,侵入 阿提卡。[2]他们屯兵乡村,蹂躏田地。和以往一样,雅典的骑兵在 一切可能的地方袭击他们,以阻止他们的轻装步兵队伍离开营地对雅典 城附近的地区进行破坏。[3]伯罗奔尼撒军队驻扎在阿提卡,直到他 们的军粮用尽的时候,才撤兵返回各自城邦去了。

    2 几乎是在伯罗奔尼撒人入侵阿提卡的同时,列斯堡全岛 [2] ,除 麦塞姆那外,都叛离雅典了。就是在这场战争以前,列斯堡人已经想暴 动了,但那时拉栖代梦人不愿意接收他们入盟;现在他们不得不在原定 计划之前暴动。[2]他们原想等到他们完成环绕港口的工事,等到他 们正在建筑的城墙和营造的舰船完工的时候,同时也等待来自本都的各 种援助—弓箭手、谷物和其他物资—到位的时候再进行暴动的。[3] 而与他们为敌的泰涅多斯人、麦塞姆那人以及米提列涅城里的某些持不 同政见者(他们都是雅典的代理人 [3] ),告诉雅典人说:米提列涅人 要以武力统一列斯堡全岛,使之处于他们的统治之下,他们如此积极地 准备都是为了和他们的同族波奥提亚人以及拉栖代梦人合谋,以举行暴 动;除非雅典人立即加以制止,否则它将失去列斯堡。

    3 然而,这时候的雅典人正遭受着瘟疫和新近爆发的战争的困扰, 而且是激战正酣的时候。他们认为如果再与列斯堡人作战,那真是一件 严重的事情了。列斯堡有舰队,它的资源完好无损;起初,由于过于偏 信自己的愿望,雅典人不相信这些消息是真实的。但是当他们派去的使 者未能说服米提列涅人放弃统一列斯堡的想法,停止进行战争准备的时 候,他们开始感到恐慌了,决定先发制人。[2]因此,他们急令原准 备环绕伯罗奔尼撒游弋的一支40艘舰船的舰队前往,指挥官是代尼亚斯 之子克里披德斯和另外两名同僚。[3]雅典人得到情报,说米提列涅 人正在城外庆祝马利亚的阿波罗 [4] 节日,全城的人都要参加。因此, 如果迅速采取行动,说不定有希望打他们一个措手不及,一举制服他 们。如果这个计划成功了,那自然很好;如果不成功,他们就命令米提 列涅人交出他们的舰船,拆毁他们的城墙。如果他们不肯依从,就向他 们正式宣战。[4]这样,舰队就出发了。按照盟约条款规定,在雅典 舰队服务的米提列涅的10艘舰船,被雅典人扣留,舰船上的船员被拘禁 起来。[5]但是,米提列涅人已经得知雅典人准备出征的消息。有一 个人从雅典渡海到优波亚,步行来到革来斯图斯,发现有一条商船正准 备起航,便乘船出发,这样他在离开雅典后的第三天抵达米提列涅。所 以米提列涅人没有前往马利亚的神庙,而是在他们尚未竣工的那段城墙 和港口工事上加筑木栅,以资防守。

    4 不久之后,雅典舰队到了。雅典将军们看到这种形势,他们传达 了命令;但米提列涅人拒绝服从,于是双方开始交战。[2]米提列涅 人是被迫作战的,事先没有准备,所以当他们把舰队开出港口不远,摆 出一副要作战的架势时,很快就被雅典人驱赶回来了。于是,他们马上 提出要和雅典的指挥官谈判,希望在任何可以接受的条件下,只要有可 能,使雅典舰队暂时撤回。[3]雅典的将军们接受了米提列涅人的建 议,因为他们担心他们自己难以对付整个列斯堡。[4]双方签订休战 和约之后,米提列涅人派遣一位告密者(已经对自己的行为表示忏悔) 和另外一些使者前往雅典,力图使雅典人相信他们并无不良意图,并召 回雅典的舰队。[5]同时,米提列涅人觉得从雅典得到有利的答复的 可能性不太大,他们又派出一条船载着使者前往拉栖代梦,这艘船停泊 在米提列涅城北的马利亚角,从而避开了雅典人的视线。[6]这些使 者在大海上经过艰难的航行之后,来到拉栖代梦,开始商谈向他们请求 军事援助的事宜。

    5 这时,派往雅典的使团没有得到任何结果就回来了。米提列涅人 和除麦塞姆那以外的列斯堡岛上的其他人马上进入临战状态。麦塞姆那 人得到了雅典人以及音不洛斯人、列姆诺斯人和极少数其他同盟者的支 持。[2]米提列涅人全军出动,突击雅典人的阵线;在交战中,他们 还略占优势,但是他们对自己缺乏足够的信心,不敢夜宿城外,故撤回 城里去了。之后,他们按兵不动,在没有得到伯罗奔尼撒人的增援之 前,他们不打算再出来碰运气了。因为一位拉哥尼亚人麦里亚斯和一位 底比斯人赫尔麦昂达斯到达米提列涅,这二人在暴动之前就被派往这 里,但他们未能在雅典远征军到来之前抵达。现在,他们在这次战役之 后,偷偷地乘一艘船到达那里。他们劝说米提列涅人另派舰船和使者跟 他们一同回去,米提列涅人照他们说的去做了。

    6 同时,由于米提列涅人按兵不动,雅典人大受鼓舞。他们从盟邦 召集援兵,这些盟军看到列斯堡人没有采取强有力的行动,他们来得更 快了。他们把舰船停泊在城南一个新据点,建立了两个营寨,分别位于 城市的两侧,由此便把两个港口都封锁了。[2]这样,米提列涅人便 无法利用海面,虽然米提列涅人和岛上的同盟者控制着整个陆地。雅典 人所占据的只是营寨周围的地区,他们把马利亚作为他们停泊舰船的地 方和市场。

    7 当发生在米提列涅的战争就这样进行的时候,雅典在本夏季大约 同一时候,派出30艘舰船前往伯罗奔尼撒,指挥官是佛米奥之子阿索皮 乌斯;阿卡纳尼亚人坚持请求派往他们那里去的指挥官必须是佛米奥之 子,或是他的亲属。[2]当这个舰队沿海岸航行的时候,他们破坏了 拉哥尼亚沿海地带。[3]之后,阿索皮乌斯命令大多数舰船回国,自 己率12艘舰船前往诺帕克图斯去了。后来,他发动全体阿卡纳尼亚人远 征奥尼阿代,舰队顺阿奇劳斯河进军,陆军蹂躏其乡村。[4]然而, 当地居民并没有屈服的表示;他遣散了陆军,自己航往琉卡斯,在涅里 库斯登陆,等他由此回来的时候,当地居民在某些海上巡逻队 [5] 的支 援下,杀死了他的大多数士兵。[5]雅典人乘船离开那里,后来根据 休战和约,从琉卡斯人那里取回阵亡者的尸体。

    8 同时,拉栖代梦人告诉那些米提列涅人用第一艘船派去的使者们 到奥林匹亚去,以使其他同盟者能够听到并且议决他们的问题。因此, 他们就到奥林匹亚去了。这是罗德斯人多里尤斯第二次获得优胜的那个 奥林匹亚德。 [6] [2]庆典过后,米提列涅的使者们被带进会场。他们 发言如下:

    9 “拉栖代梦人和诸位同盟者!我们不是不知道希腊人中间的成规惯 例。那些在战争期间发动暴动、脱离她以前的同盟的城邦,一定会受到 接收他们入盟的邦国的欢迎的,因为这件事对于后者是有益的。然而, 另外一些人则认为此事不太好,因为他们出卖了以前的朋友。[2]如 果暴动者和盟主之间在政策上和情感上完全一致,在资源和势力上不相 上下,如果暴动者没有合乎情理的缘由的话,这种看法是完全公平的。 但是,我们和雅典人之间的情况不是这样;人们不要以为我们很坏,以 为我们在和平时期得到雅典人的尊重,而在危难时刻叛离了他们。

    10 “我们首先要谈谈正义和诚实的问题,尤其是因为我们现在是来 请求和你们建立同盟的;因为我们知道,如果双方不相信对方的诚意, 双方没有共同的心态的话,人与人之间不可能建立牢固的友谊,邦与邦 之间不可能建立真正的联盟;因为人们的思想不同,其行动也不会一致 的。[2]我们和雅典人的同盟起始于波斯战争将要结束的时候;当 时,你们要退出战争,而雅典人要继续战斗,以完成这项事业。[3] 但是,我们和雅典人建立同盟的目的不是要雅典人来奴役希腊人,而是 把这些希腊人从波斯的统治之下解放出来。[4]在雅典人公正地领导 我们的时候,我们是忠心耿耿地追随他们的。但是当我们看到,他们一 方面对波斯的敌视愈来愈少,另一方面却力图奴役同盟诸邦,我们便开 始恐惧了。[5]可是,由于众多盟邦都拥有表决权 [7] ,同盟者不能联 合起来自卫,这样,除了我们和开俄斯人以外,同盟其他诸邦都被奴役 了。我们被认为是独立的,在名义上是自由的,所以在同盟军中我们提 供自己的分遣队。[6]但是,从过去所发生的事例中所得到的教训, 使我们对于作为盟主的雅典人不能再信任了。他们在征服了我们的诸盟 邦之后,如果他们有力量,不可能不以同样的方法来对付我们。

    11 “如果我们的盟邦都还是独立的话,我们也许会对他们维持这种 状况比较有信心。但是,如今大多数同盟者已经成为他们的臣属之邦, 而我们仍被视为平等者,他们自然会反对这种大多数同盟者均已臣服而 只有我们保持独立的局面,特别是因为他们的势力日益强大,而我们却 每况愈下了。[2]现在,一个同盟的唯一可靠的基础是各方都同样地 互相畏惧,因为想要破坏信用的一方顾虑到它不一定能稳操胜券,也就 不敢轻举妄动。[3]而且,我们之所以得以保持独立,唯一的原因就 在于雅典人在创建他们的帝国的时候,认为利用巧妙的言辞和政策的方 法比之暴力的方法更易于取得势力。[4]我们对他们是有利的,因为 他们可以拿出证据说,我们是和他们一样有表决权的,我们参加他们的 各次远征都是心甘情愿的,我们参加他们的远征所进攻的无一不是有过 失的一方;不仅如此,他们还运用同样的策略,首先领导较强大的城邦 去进攻较弱小的城邦,而把最强大的城邦留至最后;等那些中立的弱小 之邦都被吞并以后,那些强大的城邦也就越来越难以抵御他们了。 [5]反之,如果他们首先对付我们,那时所有各邦都还控制着自己的 资源,而且还有一个中心,它可以使众盟邦团结在它的周围,那样,他 们要征服这些城邦就不太容易了。[6]同时,我们的海军也使他们感 到不安,我们随时有可能和你们或其他强国联合起来,从而对雅典构成 威胁。[7]我们费尽心机去讨好法庭 [8] 上的平民和当时的平民领袖, 这也是使我们保持独立的一个因素。[8]但是,从他们对待其他盟邦 的实际行动中,我们得到了教训,即使这场战争没有爆发,我们也并不 指望能够更持久地维持现状。

    12 “这样,我们怎么能够感觉到有真挚的友谊,或者对于自由有什 么信心呢?我们彼此所接受的条件是违背我们的本意的。在战时,他们 尽力讨好我们,因为他们害怕我们;在平时,我们尽力讨好他们,因为 我们害怕他们。在一般情况下,同情是信任的基础,而我们之间靠的是 相互畏惧,我们的同盟关系主要是依靠相互畏惧而不是友谊来维持的。 只要一方觉得破坏盟约能够使自己安全的时候,它就会破坏与另一方的 盟约的。[2]因此,如果有人责难我们,说雅典人尚未采取行动向我 们进攻,我们就已经破坏了盟约,而不是在我们确实知道他们会采取什 么行动时才破坏盟约的,这种说法是错误的。[3]因为如果我们有和 他们一样的实力,可以对付他们的阴谋,可以推迟行动的话,那么,我 们就应当和他们平起平坐,而不必成为他们的臣民了。但是他们随时都 可以向我们进攻,显然,我们也可以随时采取自卫行动。

    13 “拉栖代梦人和诸位同盟者!这就是我们发动暴动的背景理由。 显而易见,这足以使我们的听众相信我们的行动是正当之举,相信这足 以使我们自己提高警惕,使我们去寻求一些获得安全的办法。这是我们 很久以前就想做的事,当时还是和平时期,我们就派使者来商谈这个问 题,但是由于你们不肯接收我们而不了了之。现在,我们马上答应了波 奥提亚人的邀请, [9] 决定和过去的关系作出双重的叛离—一方面叛离 希腊人 [10] ,一方面叛离雅典人。对于希腊人,我们不再帮助雅典人来 侵害他们了,而是加入他们的争取解放的事业;对于雅典人,我们不仅 不让他们最终毁灭我们,反而要及时地采取行动打击他们。[2]但 是,我们的暴动,是在没有充分准备的情况下,比原定计划提前发动了 —这一事实使得你们接收我们入盟,并且迅速地给我们增援,变得更加 义不容辞了。这样就表明你们在支持你们的朋友,同时也危及你们的敌 人。[3]这是你们所从来未曾有过的机会。由于瘟疫和军费开支,雅 典人已经到了民穷财尽的地步;他们的舰队的一部分正在环绕你们的海 岸航行 [11] ,其余的正在封锁我们。[4]他们不可能还有舰船留在国 内,如果在这个夏季里,你们第二次从海上和陆上同时攻击他们的话, 他们将肯定无法抵御你们的海上攻势,也不得不从你们的沿海一带和我 们的海岸撤走他们的舰队。[5]不要以为你们是为了一个和你们毫无 关系的城邦而把你们自己拖入危险之中。列斯堡看上去距离你们很远, 但给你们带来的利益却近在咫尺。决定战争胜负的不在阿提卡,如有些 人所想象的,而在于阿提卡所以从那里汲取力量的那些地方。[6]雅 典的收入来自于臣属诸邦;如果我们被征服了的话,他们的财力就会更 加雄厚了。由于没有其他城邦起义,而且由于我们的资源将成为他们的 资源的一部分,他们对待我们,会比对待那些在此之前被奴役的人们更 加严酷 [12] 。[7]但是如果你们大张旗鼓地支持我们,你们一方将得 到一个拥有强大海军的城邦,这正是你们最需要的;你们在剥夺雅典人 的同盟者,推翻雅典人的统治的道路上将会一帆风顺,他们的同盟者会 因此备受鼓舞而转到你们这边来了;同时,你们也可以避免别人对你们 的责难,说你们是不支持那些叛离雅典者。 [13] 一言以蔽之,只要你们 自己以‘希腊解放者’的形象出现, [14] 你们就有望在战争中处于有利地 位。

    14 “因此,请你们不仅要尊重希腊人对你们所寄予的厚望,并且要 尊重奥林匹亚的宙斯,我们是以堂堂正正的祈祷者的身份站在他们的神 庙里的。请求你们做米提列涅人的同盟者,请求你们保护米提列涅人, 不要把我们当作牺牲品,我们米提列涅人正在为了全希腊而拿着生命孤 注一掷,如果我们成功了,所有的人都会从中得到好处,如果由于你们 不肯支援我们而使我们失败的话,你们会普遍地遭遇到更大的灾殃。 [2]因此,你们应该做希腊人所期待你们做的和我们所要求你们做的 那种人。”

    15 这是米提列涅人的发言。拉栖代梦人及其诸盟邦听了这个发言 之后,接受了这些建议,同意列斯堡人加入他们的同盟。他们决定出兵 阿提卡,命令在场的诸盟邦以其全部兵力的三分之二,尽快地开赴地峡 [15] 集合;拉栖代梦人首先抵达那里,他们准备好拖曳器械,以把舰船 从科林斯拖过地峡,到达雅典一边的海域, [16] 这样他们能够马上从海 上和陆上同时发动进攻了。[2]可是,其他的盟邦却没有拉栖代梦人 这么高的热情,他们姗姗来迟,因为他们正在忙着收割他们的谷物,同 时他们也厌恶远征。

    16 同时,雅典人知道敌人的备战是由于敌人坚信自己瞅准了雅典 人的弱点,他们希望向敌人表明敌人的想法是错误的,他们用不着从列 斯堡撤回他们的舰队,就可以轻易地打退伯罗奔尼撒人的海上进攻。因 此,他们用自己的公民 [17] (五百麦斗级和骑士级除外)和住在阿提卡 的麦特克,配备了100艘舰船,开赴地峡,他们在那里耀武扬威,随心 所欲地在伯罗奔尼撒沿岸登陆。[2]这种情况使拉栖代梦人有失所 望,他们认为列斯堡人所说的话 [18] 不是真的;各同盟国军队迟迟到 达,加上他们又得到消息,说雅典的30艘舰船 [19] 环绕伯罗奔尼撒沿岸 一带,正在蹂躏斯巴达城附近的田地。因此,他们就回国去了。[3] 但是随后 [20] 他们装备了一支舰队,开赴列斯堡;他们命令同盟的其他 诸邦出动总数为40艘舰船的舰队,任命阿尔基达斯为舰队司令,率舰队 出征。[4]当雅典人看到拉栖代梦人撤退了的时候,他们的100艘舰船 也返航回国了。

    17 当这支舰队在海上航行的时候,这么多的舰船同时服役,而且 装备如此精良,大概是雅典过去所从来没有过的。但是在战争之初,雅 典有同样多的舰船,或者说更多些。[2]那时候,它有100艘舰船保卫 阿提卡、优波亚和萨拉米斯;100艘舰船在伯罗奔尼撒沿海游弋,还有 一些舰船在波提狄亚和其他各据点,在一个夏季里服役的舰船总数为 250艘。[3]雅典财源的枯竭主要是由于支付这支舰队和波提狄亚战役 的费用。[4]围困波提狄亚的重装步兵的薪饷是每人每日2德拉克玛 (一个发给士兵本人,一个发给他的侍仆)。起初,围攻的重装步兵人 数为3000名,这个数字一直维持到围攻结束的时候;此外,还有佛米奥 带去的1600名,他们在围攻结束之前就离开那里了。舰船上人员的薪给 和重装步兵相同。 [21] 雅典起初就是以这种方式耗费其金钱的,而它配 备在舰船上的人数之多是从未有过的。

    18 大约同时,当拉栖代梦人在地峡上的时候,米提列涅人利用雇 佣军 [22] 的支援,由陆地向麦塞姆那进攻,他们认为可以通过其城里的 内应而攻下该城。他们对该城发起攻击,但是并未取得他们预料中的成 功,于是他们撤退到安提萨、皮拉和爱里苏斯;他们采取措施,加强这 些城市的防务,加固这些城市的城墙,之后便匆匆回国。[2]米提列 涅人撤兵之后,麦塞姆那出兵进攻安提萨,但是在安提萨人及其雇佣军 的突击之下,麦塞姆那人遭到失败。在遭受重大人员伤亡之后,麦塞姆 那人匆匆撤离。[3]这个消息传到雅典,雅典人知道米提列涅人控制 了整个地区,他们自己的军队人数太少,不足以控制米提列涅人了。所 以在秋季之初,他们派遣爱皮库鲁斯之子帕基斯率领1000名雅典公民重 装步兵前往。[4]他们自己划桨 [23] 到达米提列涅,建筑一道单墙, 把那个地方包围起来,在某些最重要的地方都设有要塞,驻兵防守。 [5]这样,米提列涅从海上和陆地上被严严实实地封锁起来。这时, 冬季快要到了。 19 尽管雅典人首次从他们自己公民中征收了200塔连特的财产税 [24] ,但是他们还需要更多的钱款,以供围城之用。现在他们派遣吕西 克利斯和其他4人率领12艘舰船去向同盟者征收贡款。[2]吕西克利斯 的舰船在各地游弋,征收贡款之后,从卡里亚的米乌斯,穿过米安德平 原,抵达桑狄乌斯山区。在那里遭到卡里亚人和阿纳伊亚人的袭击,他 本人和手下许多士兵都被杀死了。

    20 在这个冬季里,依然遭到伯罗奔尼撒人和波奥提亚人围攻的普 拉提亚人由于粮食吃光而深受其苦,他们看到已经没有希望得到雅典的 援助,也没有别的办法可以自存了。因此,他们和那些一起被围困的雅 典人共同制订计划,如果可能的话,他们就强行翻越敌人的城墙,离开 此地。提出这个计划的是预言家托米德斯之子塞阿涅图斯,和他们的将 军之一,戴马库斯之子攸滂皮德斯。原来的计划是全体人员都参加突 围,[2]但是后来他们中间半数的人认为这件事太冒险,因而不敢付 诸行动了。大约有220名志愿者坚持要求突围。他们的办法是这样的: [3]他们制造了一些梯子,以达到敌人城墙的高度;因为面向普拉提 亚城一方的敌人的城墙没有涂泥,他们可以从砖的层数计算出敌人城墙 的高度。于是许多人同时数砖的层数,虽然有些人也许会数错,但是大 多数人会得到正确数目的,特别是因为他们三番五次数着砖的层数。他 们离敌人的城墙不远,完全看得清楚。[4]这样,他们再根据单砖的 厚度而推算出梯子所需要的长度。

    21 伯罗奔尼撒人的城墙是这样建筑的:它包括两道环式城墙,一 道对着普拉提亚,另一道对着外面,以防御雅典人的进攻,[2]两墙 之间相距约16脚尺。 [25] 在两墙之间16脚尺的空隙间,他们搭建了一些 小屋,分兵驻守在里面。整个建筑连成一体, [26] 所以从外面看好像是 一堵厚厚的城墙,两边都有雉堞。[3]每10个雉堞就建有一个高大的 城塔,城塔的厚度和城墙一样;从城墙里面翻越城墙到达外面,除了从 两塔之间穿过以外,没有其他途径可以从墙上通过。因此,在风雨之 夜,雉堞中空空荡荡,他们驻守在城塔中,在塔中保持警戒,在塔上居 高临下,况且塔与塔之间相距不远。这就是这种城墙的结构,普拉提亚 人就是被这种城墙围困着的。

    22 一切准备完毕。等到一个暴风骤雨而无月光的晚上,他们在这 个计划的发起者的指引下,偷偷地溜出城外。他们首先越过环城的壕 沟,直抵敌人的城墙下,没有被哨兵发觉;因为天色黑暗,哨兵看不到 他们,在狂风怒号中,哨兵们也听不到突围者所弄出的声音。[2]他 们彼此之间也保持适当的距离,以免他们的兵器相互碰撞而被敌人察 觉。他们配备着轻武装,只有左脚上穿着皮鞋带,以免在泥沼中滑倒。 [3]他们来到两个城塔正中间的一个雉堞下,他们知道这个地方是无 人防守的。那些搬梯子的人率先到达那里,把梯子安置好;然后由科罗 布斯之子安米亚斯率12名轻装战士爬上城墙,这些士兵都只佩带匕首, 穿着胸甲。安米亚斯是第一个登上城头的,他的部下随后鱼贯而上,他 们每6人一组分途走向两边临近的城塔。他们的后面,则是另外一些轻 装士兵,他们拿着长矛,他们的盾牌由后面的人拿着,当他们和敌人接 战时,后面的人就可以把盾牌递给他们。[4]直到他们很多人都爬上 城墙的时候,才被塔楼中的哨兵发现。这是由于一个普拉提亚人在抓着 雉堞时,把一片瓦碰落而发出了响声。[5]于是哨兵马上叫喊,守军 冲向城墙。但是,天色漆黑,暴雨连降,他们弄不清究竟发生了什么危 险;而留在城中的经过挑选的那些普拉提亚人冲出城来,向他们自己人 正在翻越的地方的对面城墙进攻,以尽量分散敌人的注意力。[6]因 此,敌人在各个地方都处于混乱状态,没有人敢于离开自己的岗位去援 助别人,也猜不出发生了什么变故。[7]同时,那些作应急之用的300 名士兵冲出城外,向发出警报的地方跑去。他们还发出烽火信号向底比 斯人求援。[8]但是城里的普拉提亚人也从他们自己的城墙上点燃多 处烽火,这些烽火是他们事先准备好的,专为此事用的,目的在于使敌 人无法辨别烽火信号,在普拉提亚人安全逃走之前,不知道事实发生的 真相,因而不发兵来援助他们。

    23 同时,最早登上城墙的普拉提亚人夺取了两个城塔,杀死其中 的哨兵,自己把守着两塔之间的通道,使敌人的援兵不能通过这条道路 来向他们进攻。他们又把梯子从城墙上搭靠在塔上,派一些人到塔顶上 去,这样从制高点和地面上投射,以阻止敌人向这里靠拢。同时,他们 的大多数人把许多梯子靠墙外放着,把雉堞毁掉,从两塔中间通过。 [2]每个越过城墙的人,就立即在壕沟旁边各就各位,从那里向所有 沿着城墙来阻止他们的同伴越过城墙的人射箭,投掷标枪。[3]当所 有其他的人都越过城墙以后,在塔顶上的那些士兵下来了,最后那些人 还颇费了些周折,才来到壕沟边。就在这时,手举火把的300名士兵赶 到这里。[4]普拉提亚人站在壕沟边,在黑暗处可以清清楚楚地看到 敌人,他们向这些没穿戴盔甲的敌人射箭,投标枪。火把的光亮使敌人 无法看清他们;因此,就是最后一个人也越过了壕沟,虽然是经过艰难 险阻才做到的。[5]壕沟里的水已结冰,但硬度不够,不能从上面行 走,当时刮东风,而不是北风;夜里,随风而来的降雪使壕沟水位上 涨,因此,在他们蹚过壕沟的时候,这种带冰的水差不多有齐胸深。但 是,他们之所以能够设法逃掉,主要是暴风雪的缘故。

    24 所有普拉提亚人都从壕沟出发,沿着通向底比斯的道路前进, 英雄安德罗克拉特斯的神庙在他们的右边。他们认为这条道路是通向敌 国领土的,因而敌人不会猜着他们是走这条道路的;事实上,他们能够 看见伯罗奔罗奔尼撒人举着火把,在通往雅典的路上,向基赛龙、德罗 斯开法莱或奥阿克亥兹追踪而去。[2]普拉提亚人沿着通向底比斯的 道路走了六七斯塔狄亚 [27] 的路程,然后停下来,沿着往山地去的道 路,向爱里特莱和海希亚地方进发。到达山地后,他们又安然抵达雅 典,总共是212人。有些没有越过城墙的,又返回城里;一个弓箭手在 外面的壕沟旁边被俘虏了。[3]这时,伯罗奔尼撒人不再追寻,而是 回到他们的岗位上去了。城内的普拉提亚人对城外所发生的事情全然不 知,那些跑回去的人告诉他们说,出城的人全都被杀害了,所以天一亮 他们就派遣一个传令官,请求休战,以便他们可以收回死者的尸体。但 是当他们得知真实情况,就放弃了这个想法。这些普拉提亚人就是这样 越过城墙,到达安全地带的。

    25 在这个冬季之末 [28] ,拉栖代梦派遣拉栖代梦人萨莱苏斯乘一艘 战舰前往米提列涅。他由海路前往皮拉,再由皮拉沿着一条河流的河床 步行,到达一个可以穿越城墙的地方,所以他神不知鬼不觉地溜进城 内。他告诉米提列涅的当政者,说阿提卡肯定将遭到入侵,派来援救他 们的40艘舰船 [29] 就要到了,他本人就是被派来预先通报这个消息,同 时负责处理一般事务的。[2]米提列涅人因此大受鼓舞,不想和雅典 人讲和了。这样冬季就结束了,修昔底德所记载的这场战争的第四年也 结束了。

    26 翌年 [30] 夏季,伯罗奔尼撒人派遣他们的海军司令阿尔基达斯率 42艘 [31] 舰船前往米提列涅。他们自己和他们的同盟者入侵阿提卡;他 们的目的是使雅典人兵分两路,这样就更难以派遣舰队去迎击伯罗奔尼 撒人派往米提列涅的舰队了。[2]这次入侵行动的总司令是克里奥蒙 尼,他是代替国王波桑尼阿斯(普雷斯托阿纳克斯之子)率军出征的。 国王是他的侄子,当时尚未成年。[3]侵略者把过去所蹂躏的地区内 新生长出来的一切东西都加以毁坏,并且对以前侵略时所没有触动的财 产也加以毁坏。因此,雅典人觉得这次入侵是除第二次入侵 [32] 之外破 坏性最严重的。[4]敌人停留在阿提卡境内,蹂躏了大部分乡村,希 望能够听到他们的舰队在列斯堡取得某些战果的消息,因为他们坚信舰 队早已抵达那里。然而,他们的期望没有实现,而他们的军粮开始短缺 了,因此他们撤兵回到各自城邦去了。 [33] 27 同时,米提列涅人粮食吃光了,而伯罗尼撒人派出的舰队在途 中耽误了时间,迟迟未在米提列涅附近海域出现,他们不得不在这种情 况下与雅典人达成和解;[2]连萨莱苏斯本人都认为他们的舰队没有 来的希望了。现在他们以重型武装 [34] (这些装备此前不属于平民所 有)把平民武装起来,意欲出来和雅典人决战。[3]然而,平民们一 拥有这样的武装,就不再听从官员的指挥了。他们三五成群地聚拢在一 起,要求当局公开地把所有食物都拿出来,分配给全体平民,否则他们 自己会和雅典人议和,并把城市交给雅典人。 28 政府官员知道他们已无法阻止人民的行动了,他们明白,如果 订立和约而他们没有参加,那么,他们自己就危险了。因此,他们和平 民一起与帕基斯及雅典军队议和了。投降的条件如下:雅典可以自由处 理米提列涅;雅典军队可以进城。根据这些条件,米提列涅人被允许派 代表前往雅典去陈述他们的情况;在他们的代表回来之前,帕基斯应当 承诺不监禁、奴役或杀害任何一位公民。[2]投降的条件虽然是这样 的,但是米提列涅人中间那些与拉栖代梦谈判的主要发起者却闻风丧 胆,雅典军队进城时,他们就前往神坛前面去祈求庇护。帕基斯把他们 扶起来,承诺不伤害他们,把他们安置在泰涅多斯,直到他得知雅典人 有关处理他们的决定。[3]帕基斯又派遣一些 [35] 三列桨战舰占领安 提萨,并且采取了其他一些必要的军事措施。 29 同时,那40艘 [36] 舰船上的伯罗奔尼撒人,本应全速前去救援米 提列涅的,但是他们在沿伯罗奔尼撒半岛出征的航程中,就浪费了许多 时间,然后漫不经心地向米提列涅进发,他们在途经雅典时未被雅典人 发现,而抵达提洛岛。他们从这里出发到达伊卡鲁斯和米康努斯,在那 里他们才得知米提列涅已经陷落的消息。[2]他们希望弄清事情的真 相,于是驶往爱利特莱的恩巴唐,到达那里的时候已经是米提列涅陷落 的第七天了。在这里他们得知事情的真相,便开始讨论下一步该怎么 办。一位名叫泰乌提阿普鲁斯的爱利斯人走上前来,发言如下:

    30 “阿尔基达斯和伯罗奔尼撒的同僚将军们!我建议,在他们还不 知道我们到了这里的时候,我们应该按原计划驶往米提列涅。[2]我 们预计他们就像通常那些刚刚取得一个城市的人们一样,会大大地放松 其警惕性的。在海上一定是这样的,因为他们没有想到在海上会遭到敌 人的攻击,而我们的力量主要是在海上的。同时,他们的陆军在胜利之 后,可能也是分散于城内的房屋中的。[3]因此,如果我们在夜间发 动突袭,我想,有城里的那些还在我们这一边的人的援助,我们必将取 得这个地方。[4]我们不要怕冒风险,但是我们不要忘记,这恰恰是 战争中出奇制胜的一个机遇。一个优秀的将军,对本方来说,要能够防 范这种奇兵;对敌方来说,则是能够利用奇兵进攻。”

    31 但是,泰乌提阿普鲁斯的建议并没有打动阿尔基达斯,军中一 些伊奥尼亚的流亡者和列斯堡人向他建议:既然他认为这样做太冒险, 那他们应当夺取一个伊奥尼亚的城市,或埃奥利斯的城市库麦,以它为 根据地,鼓动伊奥尼亚人暴动。这无论如何也不是没有前途的事业,因 为他们到这里来,到处都受到欢迎;他们的目的是通过这种行动剥夺雅 典主要的收入来源,同时,如果雅典要来围攻他们的话,就将负担高昂 的军费开支。他们还说可以说服皮苏特涅斯 [37] ,使他参加到他们这边 来。[2]然而,对于这个建议,阿尔基达斯还是不赞成;他认为既然 来迟了不能援救米提列涅,就应当尽快地返回伯罗奔尼撒。

    32 因此,他们从恩巴唐启程,沿海岸航行,到达泰奥斯人的城镇 迈昂尼苏斯。在那里,他们把途中所掠得的俘虏中的大多数都杀死了。 [2]当他率舰队停泊在以弗所的时候,居住在阿纳伊亚的萨摩斯人 [38] 派遣使者前来拜访他,对他说:那些人从来没有举手反对过他,他们不 是他的敌人,只不过是违心地做了雅典的同盟者,现在他把他们都屠杀 了,这不是解放希腊的正当途径;如果他不停止这种行为的话,他非但 不会使敌人变为朋友,反而会使更多的朋友变为敌人了。 [3]阿尔基达斯对此表示赞同,他释放了他所俘虏的开俄斯人和 其他地方的一些人;因为当他的舰队出现时,沿海一带的居民并没有逃 跑 [39] ,反而跑近他们的舰船,他们误认为这些舰船一定是雅典人的, 他们从未料到,雅典人控制着海洋,伯罗奔尼撒人的舰船居然渡海来到 伊奥尼亚了。

    33 阿尔基达斯匆匆忙忙地从以弗所起航逃跑了。当他的舰队停泊 在克拉鲁斯附近的时候 [40] ,雅典的“萨拉明尼亚”号和“帕拉鲁斯”号 [41] 战舰发现了他们,这两艘战舰碰巧是从雅典开来的;他们怕被追 逐,便横渡大海;如果可能的话,他决定在到达伯罗奔尼撒之前,不在 中途任何地方靠岸。[2]同时,关于他的消息,从爱里特莱德—事实 上是从四面八方—传到帕基斯这里。因为伊奥尼亚没有设防,当伯罗奔 尼撒人沿海岸航行的时候,尽管他们无意在那里停留,但当地居民还是 非常害怕,害怕他们在途中登陆,劫掠城镇。现在“帕拉里亚”号和“萨 拉明尼亚”号带来消息,说他们在克拉鲁斯看见了阿尔基达斯的舰队。 [3]因此,帕基斯急忙发兵追去,直追到帕特摩斯岛。他发现阿尔基 达斯已经逃远,追赶不及了,于是又返回来了。同时,他认为幸而没有 在海上的任何地方发现伯罗奔尼撒的舰队,没有在靠近陆地的地方追上 他们;不然的话,他们将不得不在那个地方建筑营寨,围攻敌人将给他 带来麻烦。 [42]

    34 在沿着海岸返航途中,他来到科罗丰的港口诺提昂,当上城被 伊塔门尼斯和异族人 [43] 攻陷之后,科罗丰人就定居在这里了。这些异 族人是某些个人在内讧中把他们招募来的。该城的失陷大约发生于伯罗 奔尼撒人第二次入侵阿提卡的时候 [44] 。[2]然而,那些定居于诺提 昂的流亡者又分裂为两派,其中一派从皮苏特涅斯那里招募阿卡狄亚人 和异族人的雇佣兵,让他们驻扎在城里的一个地区,该地区以一道城墙 与其余地区隔离开来。因此,他们有那些住在上城的科罗丰人中的亲波 斯派的加入,而组成一个新的城邦。而他们的对手则流亡在外,现在来 召请帕基斯来了。[3]帕基斯邀请城内的阿卡狄亚籍的雇佣兵首领希 皮亚斯和他商谈,条件是如果他们达不成协议,他会让希皮亚斯完好无 损地返回城里。可是,当希皮亚斯出来和他会面的时候,帕基斯把他拘 押起来,但没有加手铐脚镣。帕基斯马上发动突击,出其不意地攻下这 座城堡。他把城内所有的阿卡狄亚人和异族人都杀死了;然后,依照他 所允诺的,把希皮亚斯带回城中。希皮亚斯一进城,就被逮起来,乱箭 射死。[4]帕基斯把科罗丰交给亲波斯派以外的科罗丰人。后来雅典 人把他们所能发现的所有的科罗丰人都集中在这里,向这里派遣移民和 常规的首脑,实行雅典的法律。

    35 帕基斯回到米提列涅 [45] ,征服皮拉和爱里苏斯;他找到躲藏在 城里的拉栖代梦人萨莱苏斯之后,把萨莱苏斯连同那些他安置在泰涅多 斯的米提列涅人以及其他那些他认为与暴动有牵连的人一并送到雅典 去。[2]他又遣回他的大部分军队。他本人和其余的军队留驻在那 里,依照他自己的想法处理米提列涅和列斯堡其他地方的事务。

    36 萨莱苏斯和那些战俘被押送到达雅典以后,虽然萨莱苏斯主动 提出可以为雅典人做许多事,其中包括可以使伯罗奔尼撒人从普拉提亚 撤兵,当时普拉提亚还处于被围困之中,但是雅典人马上就把他处死 了。[2]接下来他们又讨论如何处置其他战俘的问题;当时群情激 愤,他们决定不仅把已经带到雅典的这些战俘处死,并且把米提列涅全 体成年男子统统处死,把妇女和儿童都变为奴隶。雅典人认为,米提列 涅并没有像其他盟邦一样,被当作帝国的附属国,而它竟然暴动了;最 令雅典人愤恨的是伯罗奔尼撒的舰队竟敢渡海来伊奥尼亚支持暴动,这 一事实表明这次暴动是经过长期策划的。[3]因此,他们派出一条三 列桨战舰到帕基斯那里去,把这个决议通知他,并且命令他立即把米提 列涅人悉数处死。 [4]但是到了第二天,雅典人民开始感到懊悔了,他们考虑到这 个决议是多么可怕和残酷,不仅要杀戮有罪的人,还要屠杀一个城邦的 全体人民。[5]在雅典的米提列涅人的使团看到这种形势,于是和那 些支持他们的雅典人一同去谒见政府当局,动员当政者把这个问题提出 来重新表决。当政者更容易答应这样做,因为他们自己清楚地看到,大 多数公民希望有人为他们提供一次机会来重新考虑这个问题。[6]因 此,他们立即召开公民大会。双方都充分表达各自的意见之后,克里埃 涅图斯之子克里昂,就是以前使人民通过处死全体米提列涅人的决议的 那个人,他是雅典人中言辞最激烈的;尤其在这个时候,他对人民的影 响最大。他再一次走上前来,发言如下:

    37 “过去我常常认为民主制是无法管理帝国的,现在我看到你们对 米提列涅问题想法的改变,使我更加坚信这一点。[2]因为在你们彼 此之间的日常关系中,不受恐惧和阴谋的影响 [46] ,你们就觉得你们和 你们的同盟者的关系也正是这样的。你们从来都没有想到,当你们听从 他们的请求而犯下过错的时候,或者是因为你们的同情而犯下过错的时 候,对于你们来说,这是充满危险的;你们的这个弱点是不能归咎于你 们的同盟者的。你们完全忘记了,你们的帝国是一种对臣民的专制统治 [47] ,你们的臣民尽是些心怀不满的谋反者;他们服从你们的基础,不 是你们的自杀性的让步,也不是他们对你们的忠顺,而是你们靠武力所 取得的优越势力。[3]最使人胆战心惊的是随意改变政策法令—我们 就面临着这样的危险。我们应当知道,一个城邦有坏的法律而固定不 变,比一个城邦有好的法律而经常改变要好些;无知的忠顺比之机智的 违抗更为有用;普通人管理国家事务通常优于那些天才人物。[4]因 为天才人物总是想表示自己的智慧超过法律,因而他们要推翻人们所提 出的每一个建议,否则他们觉得他们不能在更重大的问题上展示自己的 才智,因这种行为而导致国家毁灭的例证举不胜举;而那些对于自己的 智慧没有那么自信,承认法律比自己更聪明些,承认自己无法批判一个 精妙的演说,这些人才是毫无偏见的裁判者,而不是有利害关系的竞争 者,他们一般说来是可以成功处理公共事务的。[5]我们应当仿效这 些人,而不要因展示自己能言善辩、智慧超群而误入歧途,从而劝说你 们的人民去反对我们的真实的想法。

    38 “至于我自己,我没有改变我先前的主张;对于那些建议重新考 虑米提列涅问题的人,我觉得诧异,因为这样会导致迟误,而迟误只会 有利于犯罪者。受害者经过一段时间之后才来对付作恶者,那时受害者 的怒火已经消失了;惩罚罪犯最好的和最适当的办法是马上报复。如果 有人反对我的意见,力图证明米提列涅人的罪行对我们是有用的,并且 证明我们的不幸也伤害了我们的同盟者,那么,我也觉得诧异。[2] 显而易见,说这种话的人一定相信自己的辩才,所以他力图说服你们, 把已经最后议决了的事情说成是还没有完全决定的事;或者他一定是收 受了贿赂,把一些煞费苦心想出来的言辞拼凑起来,利用这种言辞把我 们引入歧途。[3]在这种竞赛中,城邦把奖赏给了别人,而它本身却 承受着各种危险。[4]这是你们的过失,因为你们愚笨地把这类竞赛 制度化了。你们常常是演说词的欣赏者,你们是根据道听途说来确认事 实的;你们判断一项计划的可行性是以鼓吹者的花言巧语为依据的。至 于过去的事情的真相,你们宁愿相信你们所听到的对这些事实的聪明的 责难,而不相信你们亲眼所见的事实;[5]你们宁愿成为新奇意见的 受害者,也不愿听从已被广泛接受的结论。凡是司空见惯的东西,你们 都不屑一顾,遇着似是而非的新说法,你们就会变成它的俘虏。[6] 你们每个人的愿望首先是自己能够演说;其次是用下面的方法与那些能 够演说的人竞赛:在别人还没有提出他们的看法之前,你们就喝彩,以 表明你们非常赞同他们的看法;你们很快就会知道一个论点的来龙去 脉,但是很迟慢才能预见它的最终结果。[7]我要说的是,你们总是 时时刻刻在寻找普通经验以外的东西。但是就是你们眼前的生活事实, 你们也不能直接地考虑;你们就是悦耳言辞的俘虏;你们更像是雄辩家 的听众,而不像是一个城邦的议事会。

    39 “为了阻止你们这样做,我要向你们说明,从来没有哪个国家对 你们的祸害比米提列涅人还要大。[2]对于那些因为觉得我们的帝国 忍无可忍而暴动的人,或者因为敌人的军事行动而不得不暴动的人,我 个人认为是能够原谅的。但是现在我们所面对的是这样一些人:他们盘 踞在设防的岛屿上;他们只害怕来自海上的敌人,而在海上,他们自己 也拥有海上力量来保护他们自己;他们是独立自主的,是最受你们尊重 的—现在他们做出这些事情来,这不是起义,因为起义意味着他们是被 压迫者;这是一次蓄谋已久、粗暴无礼的侵略行为,企图帮助我们的死 敌来毁灭我们。这种情况比他们只为扩充自己的势力而向我们开战还要 恶劣得多。[3]他们的邻人曾经发动暴动而被我们征服了。 [48] 他们 却丝毫没有从他们的邻人的命运中汲取教训;他们所享有的繁荣未能阻 止他们铤而走险;他们对于自己的前途盲目乐观,因而对我们宣战;他 们的期望超过了他们的实力,但是没有超过他们的野心。他们下定决 心,先用武力,后讲公理,选择他们认为似乎有利的时机,发起进攻。 [4]事实上,当城邦突然意外地获得很大的繁荣的时候,这会导致其 人民产生傲慢。一般说来,合理地取得成功的人们总是比不合理地取得 成功的人们要安稳些;可以说,维持繁荣比解除困难更为不易。[5] 长期以来我们所犯的错误与米提列涅人有所不同:假如我们在很早以 前,对待米提列涅人和对待其他同盟者一样,他们就不至于忘记他们自 己的身份,因为人性从来就是由尊重而产生傲慢,正像由态度强硬而导 致敬畏一样。 [49] [6]因此,他们应该得到他们罪有应得的惩罚。不 要只对贵族定罪,而赦免平民。有一点是肯定的,他们全体人民,不论 贵族或平民都来进攻你们,虽然在那个时候,平民是可以转到我们这边 来的;果真如此,则现在他们就可以回去管理他们的城邦。但是,他们 并没有这样做,他们认为和贵族分担危难是比较安全的,因而他们就加 入了贵族的暴动![7]因此,请你们想一想:如果你们对那些受敌人 压迫而暴动的同盟者和对于那些主动起来暴动的同盟者给以相同的惩罚 的话,那么,他们都会利用微不足道的借口举行暴动。因为如果成功 了,他们就可以获得自由,如果失败了,也没有什么可怕的后果,难道 你们没看出这一点吗?[8]同时,我们还要花费我们的金钱,冒着牺 牲生命的危险,向一个一个的城邦进攻。如果我们胜利了,我们将赢得 一个满目疮痍的城市,我们从这里再也得不到收入,而这些收人正是我 们势力的基础;如果我们不能击败它,那么,除了我们现有的敌人以 外,我们不得不对付更多的敌人,我们将把用来对付我们现有敌人的时 间用在和我们的同盟者作战上了。

    40 “因此,我们不要使米提列涅人有任何希望,以为我们会受到花 言巧语或金钱贿赂的影响,而以他们的错误是人类的弱点为由来宽恕他 们。他们所犯的罪过不是偶然的,而是有预谋的,经过策划的;我们只 能宽恕那些无意的过错。[2]因此,我现在和从前一样 [50] ,还是坚 持我的看法,不要变更你们第一次所作出的决议。对于一个帝国而言, 最为致命的弱点有三个,它们是:同情怜悯、感情用事、宽大为怀。 [3]同情只能给予那些和我们相互同情的人们,而对于那些对我们从 不报以同情的人们,对于那些自然的和必然的仇敌们,则不能有同情 心。至于那些用他们的激情使我们愉悦的演说家们,他们应当在讨论那 些比较不重要的问题上展开竞赛,而不要在如此重要的问题上展示他们 的辩才,因为在这种场合下,虽然演说者自己可以因为他们美妙的言辞 而获得美好的酬谢,但是城邦因为这种暂时的娱乐而付出了沉重的代 价。宽大为怀、不念旧恶的美德只是用以对待那些将来会成为我们的朋 友的那些人,而不是用以对待那些过去是、现在是、将来还是我们的仇 敌的人。[4]简而言之,我认为,对于米提列涅人,如果你们采纳我 的意见的话,你们不仅做得正当,而且是上策之举;如果你们作出和以 前不同的决议来,你们不仅不能得到他们的感激,而且你们是对自己宣 布了判决;因为如果说他们的叛乱是正当的,那么,一定是你们行使统 治权的错误了。但是,如果你们不论是非正误,坚决要维持你们的统治 的话,那么,你们就必须贯彻你们的原则,从你们的利益出发,来惩罚 这些米提列涅人。如果不这样做,你们就必须放弃你们的帝国,安然地 博取仁慈的美名。[5]因此,下定决心吧,以其人之道还治其人之 身。逃脱了他们的阴谋而没有受到损害的人,在报复的时候应当比策划 阴谋者更加迅捷;你们要记住,如果他们战胜了你们,他们会怎样做, 特别是因为他们是侵略者。[6]那些无故伤害他们邻人的人,就是那 些企图置邻人于死地的人,因为他们早已知道,如果让敌人活着的话, 那是多么的危险啊!一位无故受到伤害的人,如果他还活着的话,是会 比一个公开的敌人更加危险的。[7]因此,不要违背你们的初意。只 要你们尽量地回想你们受苦受难时刻的情景,你们就会不惜一切代价来 镇压他们。现在,报复他们吧,不要因为他们当前的软弱而忘记了当初 你们大难临头的情景。按照他们罪有应得的方式惩罚他们,给你们其他 同盟者树立一个触目惊心的典型—暴动者死路一条。一旦让他们认识到 这一点,你们就不会常常因为和你们的同盟者作战而忽略了你们和你们 的敌人之间的战争了。”

    41 这是克里昂的发言。在他之后,攸克拉底斯之子狄奥多图斯起 来发言;在上次公民大会上,他也是最坚决地反对处死米提列涅人的。 他的发言如下:

    42 “我不责难那些建议重新讨论米提列涅问题的人,我也不赞成我 所听到的那种对常常讨论重大问题所提出的异议。在我看来,匆忙和愤 怒是阻碍深思熟虑的两个最大的障碍,匆忙常常是与愚笨联系在一起 的,而愤怒是思想幼稚和心胸狭窄的标志。[2]凡是主张言辞不应是 行动指南的人,如果他不是一个无知的人,就是一个有利害关系的人: 如果他认为可以通过别的媒介来说明尚不可知的未来的话,那么,他一 定是一个无知的人;如果他的目的是想说服你们去做一些可耻的事,他 知道他不可能为了一个恶劣的目的而作出精彩的演说来,因此他利用一 些恶意的诽谤来恐吓他的反对者和听众,那么,他一定是与此有利害关 系的人。[3]更令人不能容忍的是,有人责难发言者,说他们是因为 受了贿赂而故意炫耀辞令的。 [51] 如果只是责难发言者愚笨无知,那么 当发言者不能说服听众的时候,他可以退出辩论,人们虽把他当作一个 不很聪明的人,但是还把他当作一个诚实的人。但是如果他责难发言者 受贿,即便他成功了,他也会被人怀疑;如果他失败了,人们将认为他 不但愚蠢,而且不诚实。[4]这种情况对于城邦是无益的,因为担惊 受怕使城邦失去了这些出谋划策者。说实话,如果我们的发言者提出这 种主张的话,如果他们不能完全表述出来的话,则是城邦的一大幸事, 因为,那样我们就会犯更少的错误了。[5]优秀的公民要想取胜,不 仅只是通过威胁反对者,还应当在公平的辩论中击败他们。一个贤明的 城邦虽然不一定要给予最出色的谋士过于突出的荣誉,但是一定不要剥 夺他们应有的荣誉;当一个人的意见没有被采纳的时候,他不应因此而 受到侮辱,更不应因此而受到惩罚。[6]这样,成功的发言者不会发 表违心之言,以追求更多的荣誉而博取人心;不成功的发言者也不会用 同样的逢迎方法以博取听众的欢心。

    43 “但是我们现在却不是这样做的。如果有一个人提出了一种意 见,不论它多么好,但是如果有一点私利嫌疑的话,我们就怨恨他谋私 利(实则完全是没有被证实的),因而使城邦失去了某些利益。[2] 于是出现了这样一种情况,一个明显有益的建议和一个有害的建议同样 地被人怀疑;结果,主张采取最凶恶政策的鼓噪者必须欺骗人民以博得 人民的同情,而最优秀的出谋划策者要想取得人民的信任,也必须说 谎。[3]正因为如此,城邦,只有城邦,从来就不能公开地、光明正 大地受益。因此,如果有人公开地为城邦作贡献,对于他的劳绩的报酬 总是被人疑为图谋私利。尽管如此,当我们考虑一个利益巨大、异常重 要的事务时,我们这些发言者必然比你们这些随意作出裁断的人看得稍 稍深远一点;尤其是因为我们这些提议者是要对所提建议负责任的 [52] ,而你们作为我们的听众是不负责任的。[4] [53] 如果提建议的人和 对这些建议表决的人有同样的顾虑的话,那么,你们在作出裁断时会更 加冷静的。事实上,当你们感情冲动,使你们遭到灾殃的时候,你们就 迁怒于那个最早提建议的人,而不处罚你们自己;虽然你们是多数,你 们也和他一样是错误的。 [54]

    44 “但是,我出来谈米提列涅人的问题不是为了要反对任何人,也 不是为了要控诉任何人。事实上,如果我们是有理智的人,现在摆在我 们面前的问题不是米提列涅人的罪过问题,而是我们的利益问题。 [2]尽管我可以证明他们罪恶累累,但是我不会因此而主张把他们处 死,除非那样做对我们是有利的;尽管他们理应得到赦免,但是我并不 主张赦免他们,除非这样做明显对城邦有益。[3]我认为,我们的讨 论对于将来的关系大而对现实的关系小。克里昂的主要论点之一就是 说:把他们处死,对于我们将来是有利的,因为可以防止其他城邦的暴 动;我也和他一样,是关心将来的利益的,但是我的意见和他相反。 [4]我请求你们不要因为他那似是而非的言辞而忽视我的那些实用的 想法。你们觉得他的发言是动人的,因为它似乎更切合你们目前痛恨米 提列涅人的情绪而显得更公正。但是,我们不是在一个公正的法庭上, 而是在一个城邦的公民大会上;我们所讨论的问题不是公正与否的问 题,而是怎样处置米提列涅人对雅典最为有利的问题。

    45 “当然,现在世界各邦对于许多没有这件事这样严重的罪犯都处 以死刑。对未来的希望,使人们敢于冒险,如果他在策划的时候没有信 心取得成功,他就不会冒犯法的危险了。[2]城邦也同样如此。如果 一个城邦不相信它和它的同盟者所拥有的资源是充足的话,它会发起暴 动吗?[3]城邦和个人完全一样,都是易于犯错误的。任何法律都不 能阻止他们, [55] 否则,人们为什么试用各种刑罚,寻求各种法规以防 止人们变为罪犯呢?大概古代对于罪大恶极的处罚没有现在这样严厉, 有些人对此不屑一顾,于是死刑逐渐被普遍地采用。尽管这样,还是有 人犯法。[4]因此,不是我们应当发现一种比死刑还可怕的恐怖,就 是应该承认死刑已不足以防止犯罪了。因为贫穷给人们必要的勇气,富 足养成人们更喜欢傲慢和蛮横;在其他人生事故中他们依然受到某些致 命的激情支配的时候,他们的冲动还是促使他们铤而走险。[5]希望 和贪欲到处都有;贪欲在前,希望随后;贪欲产生计划,希望暗示计划 可以成功—这两个因素虽然看不见,但是比我们眼前所能看见的危险要 严重得多。[6]幸运也很容易使城邦产生非分之想,有时候,人们意 外地遇着幸运会引诱他们在条件尚不成熟的条件下去冒险;对于整个城 邦而言,尤其是这样的。因为他们是以最大的代价孤注一掷的,他们要 么为了挣脱他人的统治,要么为了统治他人;而每一个个人,当他们全 都集中在一起,作为城邦一分子而行动的时候,总是不合理地过分夸大 他自己的能力。简言之,一旦人们专心致志地从事某一事业的时候,无 论利用法律的力量或任何其他强制手段去阻止它的进行,这从人的本性 来说都是徒劳的,只有那些头脑最简单的人才会否认这一点。

    46 “因此,我们不必因为相信死刑的效力而采取错误的政策;我们 亦不应使叛逆者失去悔过的希望,剥夺他们尽早赎罪的机会,而使他们 陷于绝境。[2]请考虑一下这一点吧:现在如果有一个属邦已经叛 变,后来它知道它不能取得成功了,当它还能够支付赔款,以后继续缴 纳贡款的时候,它就会投降的。 [56] 但是如果采纳克里昂的建议,每个 属邦不但在叛变时将作更充分的准备,而在被围攻的时候将抵抗到底, 因为迟早投降没有什么区别,难道你们不认为如此吗?[3]现在我们 要花费金钱去围城,因为它根本不会投降,这对于我们是很不利的;如 果我们攻下那座城市,我们所取得的是一座满目疮痍的城市,我们以后 再也无法从这个城市取得收入,而这种收入正是构成我们反击敌人的实 力的真正基础。[4]因此,我们绝不能根据我们自己的偏见,像一个 严格审查犯人的法官一样,损害我们自己的利益,而应当想出办法来减 轻处罚,使我们在将来不会失去来自这些属邦的收入,这些收入正是我 们军事力量的基础;我们还必须认识到,我们的安全的基础不在于法律 的恐怖,而在于良好的管理。[5]但是我们现在所做的恰好与此相 反:当一个被我们用武力征服的自由城邦叛离而宣布独立(这是很自然 的)的时候,我们认为一旦制服他们就应当给予严厉的惩罚。[6]但 是,对待自由人的正当方法应当是,不是在他们叛离之后科以严重的惩 罚,而是应当在他们叛离之前严密监视他们,使他们连叛离的念头都不 会产生;如果我们不得不使用武力的话,也应当让尽可能少的人承负其 罪责。 [57]

    47 “你们要考虑一下,如果你们采纳克里昂的意见,你们要犯下多 么大的错误啊![2]在目前的情况下,各城邦的人民对你们是友好 的,他们或者拒绝与寡头派一起叛离,或者,即使是被迫而参加了叛离 的话,他们也还是会很快成为叛离者的敌人的。因此,当你们和叛变属 邦作战的时候,人民大众是站在你们这一边的。[3]米提列涅的人民 没有参加叛变,如果他们得到武器,他们就会主动地把城市交给你们; 如果你们杀害他们的话,首先,你们是犯罪,你们杀害那些曾经帮助过 你们的人;其次,你们所做的正中上层阶级 [58] 下怀。以后他们在各自 城邦发动叛变的时候,他们会立即得到人民的支持,因为你们已经清楚 地向他们宣布,犯罪者和无辜者所受到的惩罚是一样的。[4]但事实 上,纵或他们是有罪的,你们也应当佯装不知,以使这个唯一与你们保 持友好的阶级不至于疏离你们。[5]简言之,我认为对于保全我们的 帝国最有利的是宁可让人家对不住我们,而不要把那些活着对我们有利 的人统统处死,不管处死他们多么正当。按克里昂的说法 [59] ,在这种 惩罚中,正义和利益可以同时得到实现,但事实证明,这两者在这里是 不可能完全一致的。

    48 “因此,我已证明我所提出的建议是最明智的选择。不要太为怜 悯和宽容的心情所支配。我和克里昂一样,不希望你们受这些情绪的影 响。摆在你们面前的这些事实的是非曲直是一目了然的,你们要以此为 依据,采纳我的建议,从容地审判那些帕基斯认为有罪而遣送到雅典的 米提列涅人 [60] ,让其余的人继续在自己城邦生活。[2]这种政策对 于邦国的将来是最为有利的,现在对你们的敌人来说是最可怕的时刻, 因为敌人害怕那些英明的决策更甚于那些盲目的武力出击。”

    49 这是狄奥多图斯的发言。这两个彼此尖锐对立的建议就这样被 提出来了。雅典人在情感上虽有一些变化,但现在还是着手进行表决。 举手表决时,双方的票数几乎是相等的,尽管狄奥多图斯的建议得以通 过。 [61] [2]于是,雅典人马上另派一艘三列桨战舰紧急起航,因为 他们担心,如果第一艘战舰在这期间已经抵达列斯堡的话,他们会发现 在他们到达时,米提列涅人已遭到灭顶之灾,而第一艘战舰已经在此前 一天一夜启程了。[3]米提列涅的使者们为船上的人员提供酒和大麦 面饼 [62] ,并且向他们允诺,如果他们及时到达目的地的话,将给他们 重重的酬谢。这样,他们在航行中,就是在吃由大麦粉和油、酒揉制而 成的大麦饼时,也是不停地划桨;一批人安歇,另一批人继续划桨。 [63] [4]幸而没有遇到逆风,因为第一艘战舰担负着这样一个可怕的使 命,并不急于到达,而第二艘战舰这样十万火急地追赶。结果,第一艘 战舰稍稍早到一会儿,等帕基斯刚刚看过命令准备执行的时候,第二艘 战舰驶进港口,从而阻止了这场大屠杀。事实上,其间米提列涅的形势 一直是危如累卵的。

    50 根据克里昂的建议,帕基斯 [64] 认为对于这次暴动应负主要责任 而送往雅典的人,都被处死,其数目在1000人以上 [65] 。雅典人又拆毁 米提列涅人的城墙,取得了他们的舰船。[2]后来他们不再向列斯堡 征收贡款。但是他们把除麦塞姆那人以外的列斯堡的土地分为3000块份 地,其中300份留作诸神的圣地,其余的都以抽签的方法分配给雅典派 往该岛屿去的移民。列斯堡人同意自己耕种些土地,答应每块份地每年 缴纳 2 明那的租金。 [66] [3]雅典人还取得了大陆 [67] 上原属于米提 列涅人的城镇。从此以后,他们就沦为雅典的臣民了。列斯堡事件的关 情况就是这样的。

    [1] 公元前428年。 [2] 米提列涅是列斯堡岛的一个主要城邦,其附属城邦有安提萨、爱里苏斯和皮拉,暴动前实行贵族寡 头制,只有北部沿海的麦塞姆那是亲雅典的,实行民主制。参阅狄奥多拉斯,XII. 45。米提列涅人对雅典人的 不满,源于雅典人阻止他们统一全岛。参阅史译本,第2册,第2—3页。 [3] 参阅修昔底德,II. 29注;亚里士多德:《政治学》,1304 a 4以下。 [4] 这是列斯堡当地一个特殊的神祇。马利亚位于米提列涅城北,那里有一个阿波罗神庙。 [5] 是异邦人,可能是科林斯人。—史译本注 [6] 狄亚哥拉斯之子多里尤斯在奥林匹亚竞技会中连续三次获得优胜,还在其他竞赛中获得冠军(波桑 尼阿斯,VI. 7.1—4)。在狄凯里亚战争中,他在斯巴达军中服役,为雅典人所俘,但是由于他是个著名的运 动员,所以没缴纳赎金就被释放了(色诺芬:《希腊史》,I. 5.19; 波桑尼阿斯,VI. 7.4—5)。从传说中的 第一届古代奥林匹亚竞技会(公元前776年)开始,每四年举行一届竞技会,即一个奥林匹亚德。参阅史译 本,第2册,第12—13页。 [7] 据学者研究,其投票的方式是先由各盟邦在同盟大会上投票表决,通过以后再交由雅典人审议表 决,表决通过决议方能生效,实际上雅典对全同盟的政策拥有最终决定权。 [8] 显然是指雅典民众法庭。参阅伪色诺芬:《雅典政制》,I. 16—18。 [9] 这件事情前文没有明确说明,但修昔底德在III. 2—5暗示了这件事情。 [10] 公元前478—前477年成立的雅典同盟,实际上是一个二元组织,同盟一方是雅典人,另一方是同盟 者(“提洛同盟”),这里的“希腊人”即指后者。 [11] 参阅修昔底德,III. 7。 [12] 尤其是指榨取贡金方面。—史译本注 [13] 参阅修昔底德,I. 69。 [14] 参阅修昔底德,II. 8。 [15] 科林斯地峡。 [16] 拖曳船只的遗迹留存至今。 [17] 梭伦改革以后,雅典公民按财产多寡分为四个等级,即五百麦斗级(pentakosiomedimnoi )、骑士 级(hippeis )、双牛级和贫民级(thetes ,泰提斯)。通常只有贫民级在舰队中服役,但是在紧急的时候,以 上三个等级的公民(他们的正常义务是在陆军中充任重装步兵和骑兵),也不得不在舰队中服役。参阅修昔底 德,VI. 43;VIII. 24以及色诺芬:《希腊史》,I. 6.24。 [18] 参阅修昔底德,III. 13。 [19] 参阅修昔底德,III. 7。 [20] 参阅修昔底德,III. 25—26。 [21] 照此推算,250艘战舰和围攻波提狄亚的士兵每日消耗不下9个塔连特。 [22] 参阅修昔底德,III. 2。 [23] 修昔底德特别强调重装步兵划船的事实,是因为桡手通常由贫民或异邦人担任的。这大概是雅典在 财政上吃紧的缘故。参阅修昔底德,I. 10;VI. 41。 [24] 据研究,这种只在战时征收的特别税(eisphora )的税率约为公民财产价值的l%。 [25] 作者这里使用希腊人的长度单位πούς (原意为“脚”),来源于16指宽,即一脚之长,可译为“脚 尺”,英译为“foot”,但不宜译为“英尺”。有学者译为“步”,显然不妥。希腊的长度单位长度单位1普列特隆( πλέθρον ,plethron)等于100脚尺,1斯塔狄亚(stadium,复数stadia)等于600脚尺,约185米。照此推算,1脚 尺约等于30.8厘米。每个人的脚长不同,差异很大,古希腊的长度单位与现代长度单位的确切比例关系,一直 有争议。参阅S. 霍恩布鲁尔、A. 斯鲍福斯主编:《牛津古典辞书》,第942— 943页。 [26] 两道墙和连接两墙的小屋连在一起。 [27] 约合1200米。 [28] 公元前428年。 [29] 参阅修昔底德,III. 16。 [30] 公元前427年。 [31] 史译本为“40艘”。 [32] 参阅修昔底德,II. 47,57。 [33] 拉栖代梦人按其计划,是想在听到其舰队在列斯堡胜利的消息才撤退的。但是由于他们的舰队的迟 误,他们留在阿提卡的时间比原计划延长了一些。 [34] 有盾、矛和胸甲。轻装步兵携带矛或弓箭,而没有防御性武器。—史译本注 [35] 谢译本(第200页)为“一条”。 [36] 修昔底德在III. 26说 “42艘”。 [37] 海斯塔斯皮斯(Hystaspes)之子,波斯驻萨尔狄斯总督。 [38] 他们可能就是公元前439年萨摩斯暴动被镇压后,逃到萨摩斯岛对岸阿纳伊亚的萨摩斯人(I. 115),他们有时被称为“阿纳伊亚人”(III. 19)。 [39] 阿尔基达斯因此而俘虏了很多希腊人。—史译本注 [40] 在从恩巴唐到以弗所的途中。—史译本注 [41] 这是雅典国家的两艘圣船,装备精良,速度快。它们通常专门执行各种重要的公务。 [42] 这样的封锁不仅需要花费很多金钱,而且势必影响这支舰队在列斯堡的工作。 [43] 异族人指波斯人,伊塔门尼斯(Itamenes)显然是一个波斯人的名字,他是皮苏特涅斯一部将。 [44] 公元前430年春。 [45] 公元前427年。 [46] 参阅修昔底德,II. 37。 [47] 直译为“你们的帝国是一种僭主政治”。参阅修昔底德,II. 63—64;III. 48。 [48] 大概指萨摩斯人暴动并且被镇压一事。 [49] 意即:你对他尊敬,他就对你傲慢;你对他强硬,他就对你敬畏。 [50] 指前一天公民大会的情况。在那次会议上,他主张把米提列涅人斩尽杀绝,这个主张被采纳了;重 新考虑这个问题是这次会议上才提出来讨论的。—史译本注 [51] 其发言有不少地方都是针对克里昂的言论的。参阅修昔底德,III. 38。 [52] 为保障雅典宪法的最高权威,雅典法律规定,对于议事会或公民大会制定的法案,任何公民在一年 之内可以提出违法法案的申诉。如果法庭审查的结果证明该法案确实与现行法律相抵触,原提案人应被处以死 刑或罚款。 [53] R. B. 斯特拉斯勒校订本(第180页)这里是[5],没有[4]。 [54] 他们就是这样对待伯里克利的。参阅修昔底德,II. 65。 [55] 史译本和昭译本的译文是:“任何人,不论是在私人生活还是在公共生活方面,都是天性易于犯错 误的,任何法律都不能阻止他们。” [56] 按雅典习惯,一般不把叛离同盟视为叛逆罪而将其成年男子处死,把妇孺变为奴隶。—史译本注 [57] 针对克里昂的观点(III. 39)而提出的看法。这其实是代表雅典统治集团内部的两种不同主张。 [58] 谢译本(第214页)译为“反动阶级”。 [59] 参阅修昔底德,III. 40。 [60] 参阅修昔底德,III. 35。 [61] 在雅典公民大会上,议案的通过只需要简单多数。 [62] 食物通常是由大麦粉和水、油揉制而成。—史译本注 [63] 平时桡手在用餐时不划桨,晚间也要停泊休息。—史译本注 [64] 后来帕基斯被控告,说他对列斯堡的男女有可耻的罪行,在被审问时,他在审判官面前自杀了。— 史译本注 [65] 有学者认为这个数字与III. 28,35所说似乎有些出入,疑为抄写之讹。 [66] 租金总额高达90塔连特。这是雅典人直接占有属邦土地的一种主要方式。 [67] 这里的“大陆”指亚细亚大陆。参阅修昔底德,IV. 52。 第十章 战争的第五年。普拉提亚人被审判和处决。科 基拉的革命。

    51 在同一个夏季里,雅典人在征服列斯堡之后,他们在尼基拉图 斯之子尼基阿斯 [1] 的统率之下,出征米诺亚岛。 [2] 这个岛屿位于麦加 拉海岸附近,麦加拉人把该岛作为军事据点,在岛上建筑了塔楼。 [2]尼基阿斯的目的是,雅典人从这个较近的地方,而不是从较远的 布多鲁姆和萨拉米斯,实施对麦加拉的封锁;为的是防止伯罗奔尼撒人 的三列桨战舰和私掠船从那里偷偷地航行出来,就像他们习惯上所做的 那样,同时,也为了阻止任何舰船进入麦加拉港口。[3]因此,他们 首先利用船上所带的围城机械,攻取了向尼塞亚一边的海中突出的两个 塔楼, [3] 从而扫除了进入岛屿和海岸间海峡的障碍。接着,他在大陆 上的一块地方建筑城墙,围成要塞,从那个地方搭建一座桥,横过沼泽 地,可以派遣军队从桥上直达岛上,因为这个岛很靠近大陆。[4]数 日之后,这项工作完成了。他又在岛上建筑了一些要塞,留下一支驻 军,就率领军队离开那里回国了。

    52 在同一个夏季里,大约在上述事件发生的同时,普拉提亚人 [4] 粮食吃光了,再也无法抵抗围城的军队,就向伯罗奔尼撒人投降了。当 时的情况是这样的:[2]伯罗奔尼撒人向城墙发起突击,普拉提亚人 已经无法抵抗。拉栖代梦的指挥官知道他们的这个弱点,因而无意用强 攻方式取得这个城市。这是因为他接到来自拉栖代梦的命令;下这个命 令是有鉴于将来任何时候与雅典签订和约时,他们理应同意签署这样的 条款,即双方都要退还在战争中所征服的地方。这样,普拉提亚是自愿 加入他们一方的,因而也就不在退还之列。于是他派遣一名传令官去问 普拉提亚人是不是同意自愿把城市交给拉栖代梦人,接受拉栖代梦人的 审判,双方达成一项谅解,就是有罪者应受处罚,但是不经过法律程 序,不得处罚任何人。[3]当传令官说明来意后,普拉提亚全城马上 向拉栖代梦人投降,因为他们已经到了山穷水尽的地步。伯罗奔尼撒人 为他们提供数日的伙食,直到来自拉栖代梦的5名审判官抵达。[4]这 些审判官到达的时候,他们没有对普拉提亚人提出控诉。他们只是把普 拉提亚人召集起来,问他们这样一个问题:在目前这场战争中,你们是 否做过对拉栖代梦人及其同盟者有益的事?普拉提亚人请求允许他们作 一个较长的发言。他们推举两个人作为他们的代言人,他们分别是阿索 波劳斯之子阿斯泰玛库斯和埃姆涅斯图斯之子拉康,他们是拉栖代梦人 在普拉提亚的利益的代理人 [5] 。他们走上前来,发言如下:

    53 “拉栖代梦人啊!当我们把城市交给你们的时候,一方面,我们 相信你们,我们期盼的不是现在这种情况,而是更加合乎法律程序的审 判。根据法律程序,我们不被看作被征服者;另一方面,我们自己同意 由你们做审判官,我们认为只有从你们而不是从别人那里,我们才最有 可能受到公正的待遇。[2]事实上,在这两方面,我们恐怕都会失望 的。我们有充足的理由推测,现在所审判的问题是生死攸关的大事,而 你们是否不心怀偏见也是很成问题的。我们的推测是基于以下事实:你 们并没有就我们提出的控诉来要求我们答辩,而是使我们不得不自己要 求申辩;你们向我们提出的问题是这样简短,如果照实情回答,我们就 会受到处罚,如果我们说假话,则只能是自相矛盾。[3]我们左右为 难,事实上我们唯一的也是最安全的方针是不顾一切,说出我们心中的 实话来。像我们现在这样的处境,如果缄默不语,我们日后会想,如果 当初说出来,我们说不定会使自己得救的,因而要自我谴责。[4]而 那时候,我们又很难说服你们了。如果我们彼此不熟悉的话,我们可以 向你们提出一些对于我们有利的新证据来。但是事实上,我们只能向你 们说出一些你们已经知道的事实来,我们所害怕的不是你们心中已经做 出决定,以我们没有履行对你们的义务为由,控告我们犯罪,而是害怕 你们为了讨好第三者 [6] ,给予我们这样的审判,而判决的结果是已经 预定好的。

    54 “但是,在这里我们必须向你们申明我们的一些公正的意见,这 些意见不仅包括因底比斯人袭击我们而造成的争端,还包括关于你们和 其他希腊人的事务;我们要提醒你们关于我们过去的卓越功绩 [7] ,并 且设法说服你们。[2]在回答你们的简短问题—在目前这场战争中, 我们是否做过对拉栖代梦人及其同盟者有益的事—的时候,我们认为, 你们在问这一问题的时候,如果是把我们当作敌人的话,那么,我们没 有帮助过你们,就不是对你们的伤害;如果你们把我们当作朋友的话, 那么,你们出兵向我们进攻,就是你们的错了。[3]不论在和平时 代,还是抗击波斯人的时代,我们的表现都是良好的。就目前的情况来 说,我们不是第一个破坏和平者,至于过去,我们是参加过抗击波斯 人、解放全希腊的唯一一支波奥提亚人。[4]我们虽然居住在内地, 却依然在阿特密西昂海战 [8] 中服役;在我们自己的领土上所进行的战 役 [9] 中,我们和你们,和波桑尼阿斯并肩作战;在当年希腊人所从事 的所有其他的事业中,我们所负担的份额都是大大超出了我们自己的实 力的。[5]另外,你们,作为拉栖代梦人,不应当忘记在斯巴达遭受 巨大恐慌的时候—地震之后,黑劳士叛离,居守伊索麦的时候—我们派 出了自己公民的三分之一来援助你们。

    55 “这些就是我们在过去重要的历史关头所作出的抉择,尽管后来 我们成了你们的敌人。关于这一点,你们是要负责任的。当我们反抗欺 压我们的底比斯人的时候,我们请求加入你们的同盟,但是你们拒绝我 们入盟,要我们去向雅典提出请求,因为雅典是我们的近邻,而你们住 的地方离我们太远。[2]在这场战争中,我们从来没有无理地反对过 你们,你们也从来没有受到过我们的伤害。[3]当我们拒绝你们要我 们叛离雅典人的要求的时候,我们是没有错的;当你们拒绝帮助我们的 时候,是雅典人帮助我们抵抗底比斯人。如果我们再叛离他们,那是不 光彩的;特别是因为他们应我们的请求接收我们入盟,获得他们的公民 权,并且从他们那里获得利益。因此,忠实地服从他们的命令是我们义 不容辞的职责。[4]此外,不论是你们还是雅典人,在行使盟主之权 的时候,如果说有什么过错的话,那么,负责任的也应该是领导者,不 应该是随从者。

    56 “至于底比斯人,他们屡屡侵害我们,他们最近一次侵略行为造 成我们目前的境况,这件事你们是一清二楚的。[2]他们是在和平时 期,而且是在那个月份的神圣节日期间,就企图攻占我们的城市;我们 对他们的惩罚,完全是正当的,这是符合抵抗侵略者总是神圣正义之举 这一举世公认的法则的。现在我们因为他们而遭受痛苦,这是不合情理 的。[3]如果你们把你们的眼前利益和他们对我们的仇恨作为你们判 决的标准的话,那么,你们只能证明你们自己是追求自身利益的人,而 不是正确明辨是非的人。[4]虽然现在底比斯人似乎对你们有用,但 是,在过去你们急需帮助的时候,我们和其他希腊人都曾给予你们更大 的帮助。现在你们是侵略者,别人都畏惧你们。但是,过去在异族人入 侵,我们大家都面临着沦为奴隶的危难时刻,底比斯人是投靠到敌人一 边的。[5]因此,我们理所当然地可以把我们当年的爱国主义精神与 现在所犯的过错(如果有的话)来比较一下,你们会发现,我们的功绩 远远超过我们的过失,而我们的功绩是在这样的情况下做出的:当时, 希腊人当中很少有人挺身而出抵抗薛西斯的武装入侵;当时,得到更多 称赞的是那些宁愿采取光荣而冒险的道路,也不只顾自己的安全利益而 不抵抗敌人侵略 [10] 的人。[6]我们就属于这类少数人, [11] 并因此 而深受人们的尊敬。然而现在我们所担心的恰恰是由于根据同样原则所 采取的行动而遭到毁灭,因为我们选择了做对雅典有利的事,而没有明 智地选择做对斯巴达有利的事。[7]但是公正地讲,同样的情况应当 作出同样的决定,所采取的政策就应当是对于一个良好盟邦的帮助长期 保持感激之情,与之密切相关的是适度关注本邦的眼前利益。

    57 “你们也应该考虑到,目前希腊人大都认为你们是有信用和荣誉 的典范。但是如果你们在这次审判中,作出一个不公正的判决,而这个 判决是不能不公开的,因为你们这些审判官都是些德高望重的人,而我 们这些被告也不是没有声誉的,所以你们要当心:舆论不单是为那些可 敬的人得到这个卑鄙的判决鸣不平,而这个判决却是那些比被告更为可 敬的人作出的;同时,舆论还会谴责那种把从曾经有恩于全希腊的普拉 提亚人那里掠夺来的东西贡献给希腊民族的神庙中的行为 [12] 。[2] 一旦你们拉栖代梦人毁灭普拉提亚,这个城邦的名字曾经被你们的父辈 们镌刻在德尔斐的三足香炉上,以表彰它在战争中的贡献,而现在你们 为了讨好底比斯人而要把这个城邦从全希腊的地图上抹掉,这实在是一 件多么令人震惊的事情啊![3]我们的地位由于如此深重的不幸而一 落千丈,在波斯人入侵的时候,我们的城市遭到毁灭; [13] 你们过去是 喜欢我们的,而现在你们喜欢的是底比斯人。我们遭遇到两个最大的危 险:首先,如果我们不举城投降,就将面临因无食物而坐以待毙的危 险;其次,现在我们为着活命而受你们审判的考验。[4]所以我们普 拉提亚人,过去为着希腊人的事业尽心竭力,甚至超过了我们自身的能 力。而现在我们被所有的人抛弃了,我们孤立无援,我们的同盟者没有 一个肯帮助我们;我们唯一的希望,就是你们拉栖代梦人,但是我们怀 疑这种希望是否真的可靠。

    58 “但是,我们还是以那些曾经主持我们建立同盟的诸神的名义, 因为我们在希腊共同事业中所作出的突出贡献的缘故,请求你们发发慈 悲,怜悯我们。如果你们已经听从了底比斯人的劝告 [14] (这正是我们 所担心的),就请求你们改变主意,请你们收回你们已经许诺给他们的 礼物,不要屠杀我们,让他们给你们带来耻辱;你们应当得到的是清白 的感激,而不是罪恶的感激,不要为了获取别人的感激而身染恶名。 [2]你们可以取我们的性命于俄顷之间,但是你们这种行为的恶名将 永世难以消除;因为我们绝不是你们理所应当处罚的敌人,而是被迫与 你们兵戎相见的朋友。[3]因此,饶恕我们才是正当的判决。如果你 们还考虑到我们是自愿归降的,我们伸出手来请求饶命,希腊的法律是 禁止在这种情况下杀人的;同时,你们还要考虑到,我们长期以来一直 是帮助你们的。[4]请你们看看你们父辈们的坟墓,他们是被波斯人 杀害而埋葬在我们的国土上的。年复一年,我们皆以公费向他们致祭, 呈献衣服 [15] 和其他一切适当的祭品,并且把我国四季出产的初熟果实 贡献给他们;我们是以来自友好邦国的朋友和同盟者的身份,来向我们 旧日的战友奉献这些祭品的。 “但是,如果你们没能作出正确的决断,则你们的行动和我们的正 相反。你们只要想一想:[5]当波桑尼阿斯埋葬他们的时候,他认为 他把他们安葬在友邦的领土上,也是在友好的人们之中的。但是,如果 你们杀害我们,把普拉提亚的土地变为底比斯人的领土的话,那么,你 们将把你们的父辈和亲属遗留在敌人的领土上,也是留在杀害他们的人 们中间 [16] ,从而把他们现在所享有的荣誉都剥夺净尽了。同时,你们 也将奴役希腊人在那里赢得的自由的领土,把他们在战胜波斯人之前在 那里向诸神祈祷的神庙变为荒凉之地,你们将使那些创立和规范这些祭 祀制度的人不能祭祀你们的祖先。

    59 “拉栖代梦人啊!你们这样做不会给你们带来光荣,因为你们违 背了希腊人通用的法律,你们冒渎了你们的祖先,你们所要杀害的是我 们,是对你们有过贡献的人,我们没有损害过你们,你们只因别人对我 们的仇恨而要杀害我们。你们应当饶恕我们,大发慈悲,以一种合乎情 理的恻隐之心来对待我们;你们不要单单想到可怕的命运在等待着我 们,还要想到这些受害者是些什么人,更要想到命运是多么变幻莫测, 要预料灾祸何时会降临到现在那些平安无事的人们的身上,那简直是不 可能的事。[2]因此,我们有权利这样做,因为我们的需要迫使我们 这样做,我们恳求你们,我们向所有希腊人所共同崇拜的诸神大声呼 吁,请答应我们的请求吧!请不要忘记你们的先辈们所发的誓言,我们 现在所祈祷的,正是这些誓言—我们以祈祷者的身份,站在你们先辈们 的坟墓前,大声呼吁,他们将使我们不致落入底比斯人的手中,使他们 的最亲爱的朋友不致被弃于他们所恨之入骨的敌人手中。我们还要提醒 你们:当年我们和你们的祖先并肩作战,创造最辉煌业绩的地方,今天 我们在这里也许会遇着最致命的灾难。 [3]“最后,我们必须结束我们的发言了—这是必须的。但是对于 处于我们这种境况下的人来说,是很困难的。因为当我们发言结束的时 候,我们的生命亦危在旦夕。[4]因此,最后我们宣布,我们不是向 底比斯人投降(与其投降底比斯人,我们宁愿忍受耻辱,饥饿而死), 而是相信你们,有条件地向你们投降的。如果我们的言辞未能说服你 们,你们应当让我们恢复我们原来的地位,让我们选择自己的道路来对 付我们所遭遇的危难,这才是公道的。同时,我们是普拉提亚人,过去 曾是希腊的爱国主义者,现在是向你们祈祷的人,因此,拉栖代梦人 啊!我们请求你们不要利用我们对你们的信任,把我们从你们的手中交 给我们最痛恨的敌人底比斯人,而应当作我们的救命恩人,不要在解放 其他希腊人的同时,使我们遭到毁灭。”

    60 以上就是普拉提亚人的发言。底比斯人担心拉栖代梦人为普拉 提亚人的发言所动,因此走上前来,说他们也要求发言,因为普拉提亚 人得到允许,作了长篇发言(与他们的期望相反),而不只是简单地回 答被询问的问题。在得到允许后,底比斯人发言如下: 61 “如果普拉提亚人简明地回答了向他们提出来的问题,而不是拐 弯抹角地来谴责我们,在本案涉及范围以外的甚至是与本案主题无关的 问题上作了冗长的申辩,同时在任何人都未曾指责过他们的方面夸耀自 己,我们是绝不会请求发言的。但是,既然他们已经这样做了,我们必 须答复他们对我们的责难,驳斥他们的自夸,以使我们的恶名和他们的 美名对于他们都毫无益处,使你们在听到我们双方的真实情况之后,再 作出决断。 [2]“我们争端的起因是这样的:我们在定居波奥提亚其余地区之 后不久,也定居在普拉提亚和其他一些地方,我们是在驱逐当地混合居 民 [17] 之后才定居于这些地方的。普拉提亚人不遵守最初的协定,不承 认我们的盟主之权。他们把自己和其余的波奥提亚人分离开来,他们不 恪守他们的民族传统,我们就用强制手段使他们就范,他们因此而投靠 到雅典人一边去了。他们在雅典人的支持下,给我们制造了很多祸害, 对此我们也作了报复。

    62 “后来,当异族人入侵希腊的时候,他们声称他们是波奥提亚人 中唯一一支没有投靠波斯的人,这一点是他们不厌其烦地用以吹嘘自己 而辱骂我们的。我们认为,他们之所以没有投靠波斯, [18] 就是因为雅 典人没有这样做;这正如后来雅典人侵害希腊人而他们普拉提亚人也是 波奥提亚人中唯一一支归化为阿提卡人一样。 [19] [2]“你们还应当考虑到,当我们采取这些行动时,我们两国各自 的政体是怎样的。那时,我们的城邦所实行的既不是所有贵族都享有平 等权利的寡头制,也不是民主制; [20] 其政权掌握在一个封闭的小集团 手中,这种政体和僭主政治最为接近,与法律和优良的政体相去最远。 [3]如果波斯人侵略获得成功,这些人还希望以此扩大自己的势力, 因而他们以武力镇压人民,勾引波斯人入城。这不是整个城邦的行动, 因为城邦不能自主地作出自己的决定,她在旧宪法未废除之前所犯的错 误不应受到责难。[4]你们应当考察一下波斯人撤退和底比斯宪法恢 复以后我们所做的事情。当雅典人侵犯其他希腊人,企图征服我们这个 地区的时候(由于我们内部竞争,他们已经占领这个地区的大部分 [21] ),试问:在科罗尼亚和他们作战并打败他们 [22] ,从而使波奥提亚获 得解放的不正是我们吗?现在,我们积极参加解放其他希腊人的事业, [23] 不但提供骑兵,而且是同盟中提供步兵最多的。关于我们和波斯人 合作的事,这些已足以使你们原谅我们了。

    63 “现在我们要证明,你们普拉提亚人给希腊人所造成的损害比我 们大,你们更应当受到应有的惩罚。[2]按照你们的说法, [24] 你们 成为雅典的同盟者和公民是为了防范我们。如果是这样,你们应当只请 求雅典人来反对我们,而不应当和他们联合起来去侵犯其他人;如果你 们真的感觉到他们领导你们去做你们所不愿做的事,你们是有选择的自 由的。这正像拉栖代梦曾经是你们反波斯的同盟者一样,这一点也是你 们屡屡提及的。这无疑足以使我们不向你们发起攻击,最重要的是允许 你们自由选择自己的道路。然而,你们却在无人强迫的情况下自愿追随 雅典的。[3]你们说,背叛你们的恩人是可耻的。但是你们背叛了你 们的同盟者—全体希腊人,这无疑比单单背叛雅典人要更加可耻,更加 不义。因为全体希腊人正在解放希腊,而雅典人正在奴役希腊。[4] 因此,你们对他们所做的事既不同于他们对你们所做的事,也是不光彩 的。按照你们的说法,你们请求雅典人援助,是因为你们自己遭到压 迫,然后你们又变成他们压迫别人的帮凶。尽管知恩不报是可耻的,但 是以不正义的行动回报正义的恩情,则比不回报更加可耻。

    64 “同时,你们的行动清楚地证明:过去只有你们没有投靠波斯 人,那不是因为希腊人,而只是因为雅典人也没有投靠波斯人,你们希 望和他们一起反对其他人。[2]现在你们宣称做了这件好事为的是使 邻人受益,这种说法是讲不通的:你们选择的是雅典人,就理当和他们 荣辱与共。你们也不能祈求过去结成的同盟,而宣称你们现在应受其保 护。[3]你们已经脱离了那个同盟,违背了盟约的条款; [25] 你们不 阻止,反而帮助雅典人征服埃吉那, [26] 以及那个同盟 [27] 的其他成员 国,你们这样做是出于自愿的;同时,你们的政制,从那时到现在没有 变更,没有人来强迫你们,这一点和我们不同。最后,就在你们遭到围 攻之前,我们向你们建议,严守中立,不加入任何一方 [28] 。这个建 议,你们没有采纳。[4]你们这些口是心非、想毁灭希腊的人,还有 谁会比你们更加招致希腊人的痛恨呢?至于你们自己说,你们过去曾经 有过的美德,现在你们向我们表明,这些不是你们的品格;你们的真正 品格的特征终于不可避免地昭然若揭了:雅典人走上了非正义的道路, 而你们则紧紧地追随他们。[5]关于我们不愿意和波斯人合作以及你 们愿意与雅典人合作的事情,我们的解释正如上述。

    65 “你们对我们的最后一个责难,就是你们说我们非法地在和平时 期,正当宗教节日的时候侵入你们的城市。我们认为在这件事情上,你 们的罪过比我们的还要大。[2]如果是我们自己的主意,以武力进攻 你们的城市,破坏你们的土地,那么,我们自然是有罪的。但是,如果 说你们当中那些财产和门第均属一流的人物 [29] ,他们想废止你们和其 他城邦的同盟关系,而恢复你们在波奥提亚人中的传统地位,他们主动 来邀请我们,又怎么能够说我们是有罪的呢?正如你们所说,犯了错误 应当受责难的是领导者,而不是跟随者。 [30] [3]但是,在我们看 来,这绝不是他们的过错,也不是我们的过错。他们和你们一样,是普 拉提亚的公民,只不过他们遭受的损失更多些,他们打开了他们自己的 城门,把我们当作朋友而不是当作敌人,带进他们自己城内,使你们中 间的坏人不至于变得更坏,使正直的人得到应有的奖赏;他们要求改革 你们城邦的政策,不再伤害他们,使你们不再把他们驱逐出境,而是把 他们带回到你们的宗族之中,因此他们不会成为任何人的敌人,而是会 成为所有人的朋友的。

    66 “我们无意与你们为敌,这一点可以由我们的行动得到证明:我 们没有伤害任何人,而只是发表公告,邀请凡是那些希望生活在一个民 族的、波奥提亚人的政府之下的人都到我们这边来。[2]这一点,起 初你们是很乐意做的,你们和我们订立协议,在你们不知道我们在那里 的人数很少时,你们是很坦然的。现在,我们的行动可能似乎是有些不 太正当,因为我们进入你们的城市,不是你们的平民所邀请的。但是无 论如何,你们对待我们的行动则不是这样的。你们不是和我们一样来避 免暴力行动,不和我们商谈退兵之事,而是违反协约,向我们进攻。我 们当中的一些人,在交战中被你们杀害了,对此我们没有那么伤心,因 为这样做还有一定的正义性,但是对于其他的人—他们已经伸出手来, 向你们乞怜,随后你们也承诺不杀害他们,你们还是非法地把他们屠杀 了。这难道不能算作十恶不赦的罪行吗?[3]你们接连犯下三大罪 恶:你们违反协约;后来杀死了这些人;你们拒不履行你们许下的诺 言,即如果我们不破坏你们乡村的财产,就不加害于我们。尽管如此, 你们仍坚持说,我们是有罪的,你们自己是不应当负责的。如果现在这 些审判官正当地作出裁断的话,绝不是这样的结果,他们会因为你们所 有这些罪行而将你们绳之以法。

    67 “拉栖代梦人啊!事实就是这些。我们详细说明这些事实,是既 考虑到你们的利益,也考虑到我们的利益的。你们知道,你们严厉惩罚 这些俘虏,是正义之举;同时,我们要求复仇,这也是正义的要求。 [2]不要让你们的决心因为你们听到他们说起他们过去的善行而软 化,纵或他们曾有过善行。过去的善行当然对于那些不该牺牲的牺牲者 有所帮助;对于那些做出罪恶勾当的人,只能加重对他们的处罚,因为 他们违反了他们优良的德性。不要因为他们痛苦悲伤,因为他们向你们 父辈们的坟墓呼吁,以及对于自己孤立无援的境遇的哀叹,而让他们占 到便宜。[3]针对这一点,我们可以指出,我们的青年在遭到普拉提 亚人屠杀时,遭受着更加可怕的痛苦;他们的父辈们或者为的是使波奥 提亚人倒向你们,因为在科罗尼亚一役 [31] 中战死沙场,或者年老体 衰、孤零在家、苦度残年,他们更有理由要求你们主持正义,处罚这些 罪人。[4]对于那些不应当受痛苦而受了痛苦的人,我们感到怜悯。 但是相反地,那些罪有应得的就像他们一样应当遭受痛苦的人,不但不 能引起怜悯之心,反而是一件快事。[5]至于他们目前这种孤立无援 的境况,这是他们咎由自取,因为他们主动拒绝加入更好的同盟。他们 的罪行不是因为我们的行动引起的,激发他们作出这种决定的是仇恨, 而不是正义;就是现在,我们认为对他们的处罚还不足抵偿他们的罪 行,他们将受到合法的判决的惩罚,他们不是在战斗中伸出手来请求饶 恕的祈求者,如他们所说的 [32] ,而是在根据协议已经投降并接受审判 的条件下投降的。 [6]“因此,拉栖代梦人啊!你们要维护已被这些人破坏了的希腊 的法律,应当补偿我们这些为他们的暴行所害的人,以作为我们对你们 热心服务的奖赏。你们不要为他们的言辞所动而疏离我们,伤害我们; 你们要向希腊人作出表率,表明你们所要求的是行为,而不是言辞。善 良的行为只需寥寥数语即可说明,但是如果行为是错误的,那么堆砌大 量辞藻的发言也不过是掩蔽罪行的烟幕而已。[7]然而,倘若盟主之 邦都像你们现在这样,把所有的问题总括在一个问题中,然后由此作出 裁定,那么,人们就不会寻找美丽的词句来遮盖他们的罪恶行为了。”

    68 这就是底比斯人的发言。拉栖代梦的法官们作出裁定:他们的 问题—他们在战争中是不是得到普拉提亚人的帮助—是他们所提出的正 当问题,因为他们始终要求普拉提亚人保持中立,这是符合波斯战争以 后和波桑尼阿斯最初所订的条约的。就是在围攻之前,他们再一次明确 地向他们提出同样的条件,但是普拉提亚人没有采纳这个建议;因此, 他们认为从这里可以看出他们是想解除他们的条约了。于是,他们再一 次把普拉提亚人一个一个地带到他们面前,向每个人提出同样的问题, 即他们在这场战争中是否做过一点什么事情帮助过拉栖代梦人及其同盟 者。只要他回答说“没有”,就立即拉出去斩首,无一例外。[2]这样 被处决的普拉提亚人不下200人,同时被杀的还有在围城中的25名雅典 人。他们把妇女变为奴隶。[3]至于城市,他们把它交给麦加拉的一 些政治流亡者和普拉提亚人中还活着的亲斯巴达党人,允许他们居留一 年;之后,把城市夷为平地,在赫拉女神庙附近建筑一个住所,占地 200脚尺见方,上下楼都有房间。在建筑时,利用普拉提亚人的屋顶和 门户。他们还利用城墙中的其他材料—铜、铁,制造了一些长椅,奉献 给赫拉女神;他们还为赫拉女神建筑一座大石庙,每边长100脚尺。他 们没收普拉提亚人的土地归公有,租给底比斯人耕种,租期10年。 [4]拉栖代梦人在整个普拉提亚事件中采取这样严厉的态度,主要是 为了取悦于底比斯人;他们认为在刚刚开始的这场战争中,底比斯人对 他们是有用的。普拉提亚在成为雅典的盟邦93年 [33] 以后,就这样灭亡 了。 [34]

    69 同时,前面已提及 [35] ,前去救援列斯堡的40艘伯罗奔尼撒人的 舰船,在雅典舰队的追击下,正在公海上逃遁,舰队驶到克里特附近, 遇着暴风雨便分散地返回伯罗奔尼撒。他们在基伦尼发现琉卡斯和安布 拉基亚人的13艘战舰以及泰里斯之子伯拉西达,他是来做阿尔基达斯的 参谋的;[2]在列斯堡远征失利后,拉栖代梦人决定加强其海上力 量,并派舰队前往科基拉,因为科基拉已经发生了革命。他们的计划是 在诺克帕图斯的12艘舰船得到来自雅典的援助之前抵达科基拉。因此, 伯拉西达和阿尔基达斯准备实施这个计划。

    70 科基拉的革命是从爱皮丹努斯附近发生的海战中的俘虏们 [36] 的 回国开始的。这些人被科林斯人释放,名义上要由他们的代理人交出 800塔连特 [37] 以为抵押,但事实上根据他们的协议是把科基拉争取到 科林斯一边来。因此,他们向每一位公民游说,密谋使其城邦脱离雅 典。[2]当一艘雅典的舰船和一艘科林斯的舰船分别载着两国代表来 到这里的时候,科基拉人召开会议,进行投票表决,决定赞成依照现有 协定 [38] ,维持和雅典的同盟关系,同时和伯罗奔尼撒人保持以往的友 好关系。[3]同时,回国的俘虏想把培西亚斯推上被告席,他自愿地 做雅典人的代理人 [39] ,是科基拉的民众领袖。他们对他提出控告的理 由是他使科基拉遭受雅典的奴役。[4]审判的结果,培西亚斯被宣布 无罪。为了报复起见,他控告反对派中5名最富有的人,说他们在奉献 给宙斯和阿尔基诺乌斯的神圣土地上砍伐葡萄树,取其树干;依照法律 规定,每根树干应罚款1斯塔特 [40] 。[5]这些人被判有罪,他们需缴 纳很大一笔罚款,于是他们跑到神庙里,坐在祈祷者的位置上,请求允 许他们分期交付罚款。 [41] 但是,培西亚斯作为议事会中的一名成员, 他说服他的同僚们,坚持执行法律上的处罚。[6]被处罚的这些人完 全受到法律的严厉制裁;同时他们知道,只要培西亚斯还担任议事会的 成员,他就有意说服人民与雅典订立攻守同盟。因此,他们结成团伙, [42] 身怀利刃,突然闯入议事会会场,杀死培西亚斯和其他60人,有些 是议事会成员,有些是普通人。培西亚斯的同党有少数人逃走,躲在雅 典的舰船上,当时这艘船还停留在海港中。

    71 暴动之后,谋反者召集科基拉民众大会,他们说,此举所产生 的最好的后果,是使他们不再受雅典人的奴役了。他们说将来不接待任 何一方的来访者,除非是根据和平条件,每次只来一艘舰船,超过这个 数目的舰船即被视为敌人。他们强迫公民大会通过这个动议,[2]并 且立即派遣使者前往雅典,说明事变的经过,设法说服在雅典的科基拉 流亡者,不要采取敌对行动,以致颠覆现政府。

    72 使者们一到雅典,雅典人就立即以叛逆罪把这些使者和所有听 命于他们的人都逮捕起来,囚禁在埃吉那。[2]同时,一艘科林斯的 舰船载着拉栖代梦人的使者来到科基拉,科基拉的执政党人进攻民主党 人,在战斗中把民主党人打败了。[3]夜幕降临的时候,民主党人退 到卫城上,这是城中较高的地方,他们在这里集中起来,同时控制了海 拉伊克港 [43] 。他们的对手占据了市场 [44] (他们大都居住在那里)以 及毗邻市场的面对着大陆一边的港口。

    73 翌日,双方发生过一些小冲突,双方都派人深入乡村,邀请奴 隶加入他们一方,允诺给予他们自由。大批的奴隶答应支持民主党人, 而他们的对手得到了来自大陆的800名雇佣兵的援助。 74 隔日之后,战事又爆发了,民主党人占据比较优越的地势,人 数较多。妇女们也勇敢地支持他们,她们从屋顶上投掷瓦片,在混战中 英勇抗敌,其勇气超乎一般女性之上,所以民主党人取得了胜利。 [2]在夕阳西下的时候,寡头党人全线溃退,他们害怕获胜的民主党 人趁势出击,攻下他们的军械库并把他们杀死,就把市场周边地带的房 屋和公寓 [45] 纵火焚烧,以阻止民主党人继续推进,不论是他们自己的 财产或是邻人的财产都在所不惜,结果,商人们的大批货物也都被付之 一炬。如果刮风,火借风势,烧着其他建筑物,那么,整座城市很可能 会遭到灭顶之灾的。[3]夜里,战斗停息下来,双方加强警戒,相安 无事。由于民主党人获胜,科林斯的舰船偷偷地驶出海港,大多数的雇 佣兵也悄悄地返回大陆了。 75 翌日,雅典将军,狄伊特里弗斯之子尼科斯特拉图斯率12艘舰 船和500名美塞尼亚人 [46] 的重装步兵,由诺帕克图斯来到这里。他当 机立断,力图说服两个党派同意一起协商,把10名 [47] 元凶推上审判 席。这十人以后不再生活在这个城邦,而其余的人和平共处,两个党派 相互妥协,共同与雅典人订立攻守同盟。[2]尼科斯特拉图斯在作了 如此安排之后,准备返航回国,但是民主党的领袖劝请他留下5艘舰 船,以防对手有变,而他们配备自己的5艘舰船随他一路回雅典。[3] 尼科斯特拉图斯对此表示同意,民主党的领袖们立即把他们敌人的名单 开列出来,准备要他们在舰船上服务。但是这些人害怕被送往雅典去, 便坐在狄奥斯库里 [48] 神庙的祈祷者的位置上。[4]尼科斯特拉图斯 向他们提出保证,试图说服他们,但是没有效果。民主党人以此为借 口,自己武装起来,他们认为这些人拒绝与尼科斯特拉图斯一同航行, 表明他们是别有所图的。他们来到寡头党人的房屋中,夺下他们的武 器,如果不是尼科斯特拉图斯阻止的话,他们会把房屋里面的人一起杀 掉。[5]其余的寡头党人 [49] 看见这种情况,就跑到赫拉女神庙里 去,坐在祈祷者的位置上,他们至少有400人。民主党人怕他们采取极 端行动,劝他们起身,带着他们来到神庙前方一个岛屿上去,把食物也 送到那里。

    76 在革命的这个时期,就是这些人被转移到对面海岛上之后第四 五天,伯罗奔尼撒人的舰队从基伦尼开到这里 [50] ,这支舰队自伊奥尼 亚返回后就停泊在基伦尼,共有53艘舰船,仍由阿尔基达斯担任统帅, 但是有伯拉西达同他一路航行,担任他的参谋。这支舰队在大陆的西勃 达港停泊,黎明的时候,驶往科基拉。 77 现在科基拉人 [51] 乱作一团,他们一则为城邦的事态,二则为敌 舰的到来而大为惊慌。他们马上装备了60艘舰船,以最快的速度配备好 人手,准备迎击敌人。虽然雅典人建议,他们的舰队首先驶出,科基拉 的舰队随后全部驶出,但是科基拉人没有采纳这个建议。[2]当科基 拉人的舰队靠近敌舰之时,队形零乱,有两艘舰船马上逃跑了,其他舰 船上的桡手们自己相互混战起来,秩序大乱。伯罗奔尼撒人看到这种局 面,便派出20艘舰船来对付科基拉人,其他所有的舰船都用来攻击雅典 的12艘舰船,“萨拉明尼亚”号和“帕拉鲁斯”号也在这12艘舰船之内。

    78 科基拉人在进攻时毫无目的,并且分成小股行动,这种盲动行 为很快使自己丧失了战斗力。雅典人害怕数量上占优势的敌舰包围自 己,他们不和敌人的主力作战,也不进攻敌人的中央,而是向敌人的一 翼进攻,击沉了敌人的一艘舰船。之后,伯罗奔尼撒人把舰船排成圆圈 阵形,雅典舰船环绕敌阵航行,以引起敌舰的混乱。[2]正在和科基 拉人作战的其他伯罗奔尼撒人看到这种情况,害怕重蹈诺帕克图斯海战 [52] 失利的覆辙,便驶来增援他们的友军,于是伯罗奔尼撒人的整个舰 队向雅典人进攻。[3]雅典人开始倒划 [53] ,尽可能缓慢地撤退,这 样,敌舰忙于追击,从而使科基拉人有时间脱逃。 [54] [4]这次海战 就是这样进行的,战斗一直持续到太阳落山的时候。 79 现在科基拉人害怕敌人乘胜追击,攻击他们的城市,并且营救 那些囚禁在岛上的人,或采取其他同样冒失的行动,所以他们又从岛上 把那些人带到赫拉女神庙里来,在城中加强警戒。[2]但是,伯罗奔 尼撒人虽然在海战中获胜,他们不敢贸然进攻城市,而是带着他们所俘 获的13艘科基拉人的舰船回到大陆上他们原来所停泊的地方去了。 [3]翌日,虽然科基拉人处于极度的混乱和恐慌状态中,但是伯罗奔 尼撒人无意攻城。据说,伯拉西达曾力劝他的上司阿尔基达斯攻城,但 是伯罗奔尼撒人只是在琉金米地岬登陆,蹂躏了那个地区。 80 同时,科基拉的民主党人还是很害怕敌舰前来进攻,他们前去 和那些在神庙里的祈祷者及其朋友们谈判,以图挽救城市;他们说服了 其中一些人,使他们上了舰船。这样,他们配备了30艘舰船的桡手,准 备抵抗敌人的进攻。[2]但是伯罗奔尼撒人蹂躏那里的土地,到中午 时分就撤离了。傍晚,他们通过烽火信号得知,说有60艘 [55] 雅典舰船 从琉卡斯驶来,指挥官是修克利斯之子攸里梅敦;雅典人在听到科基拉 发生革命以及阿尔基达斯的舰队正准备驶往科基拉的消息之后,就派出 了这支舰队。

    81 因此,伯罗奔尼撒人立即匆匆忙忙地连夜起航回国,紧靠着海 岸航行;他们拖曳着他们的舰船横过琉卡斯地峡 [56] ,以免环绕海角的 时候被敌人发现,他们就这样撤离了。[2]当科基拉人得知雅典的舰 队快要到了,而敌人已经撤离的时候,他们召请城外的美塞尼亚人 [57] 进城,命令那些他们已经配备好桡手的舰船开进海拉伊克港; [58] 与此 同时,他们杀死所有他们能够找得到的敌人。那些被他们说服而上船的 人,在上岸时也都被他们杀死了。之后,他们又到赫拉女神庙里去,说 服了大约50个在那里祈祷的人接受审判,他们全都被处以死刑。[3] 大批的祈祷者看到这种情况,他们拒绝出来受审,在神庙中相互杀死对 方;同时,有些人在树上自缢,有些人用其他种种方法自杀。[4]在 攸里梅敦率60艘舰船停泊在那里的7天中,科基拉人不断地屠杀他们公 民中那些他们认为是敌人的人。被他们杀害的人虽都被控以阴谋推翻民 主制的罪名,但是事实上,有些人是因为私人仇怨而被杀死的,其他人 是因为债务关系而被债务人杀害的,因而可以看到有各种各样的死法。 [5]这正如通常在这种形势下所发生的那样,革命使人们采取各种极 端残忍的措施。有父亲杀死儿子的;有的人是被从神庙里拖出来杀死, 或者就在神坛上被屠杀的;有的甚是被围墙封堵在狄奥尼苏斯神庙中, 因而死在里面的。

    82 这次革命是如此血腥残酷,给人们的印象特别深刻,因为它是 最早发生的革命之一。后来整个希腊世界可以说都受到震撼,因为民主 党人和寡头党人到处都在争斗,民主党的领袖们求助于雅典人,而寡头 党人求助于拉栖代梦人。在和平时期,人们没有求助于他们的借口和愿 望;但是在战争时期,任何一个党派为了能够伤害敌对的党派,使自己 处于相应的有利地位,便总是要听命于某一个同盟,这就为那些想要改 变政体的党派提供了求助于异邦人的机遇。[2]在各城邦中,这种革 命常常导致许多可怕的灾殃,正如现在已发生的那样,只要人性不变, 这种灾殃将来永远都会发生的,尽管依照不同的情况,情形各异,或者 采取较为残酷的形式,或者采取较为温和的形式。在和平繁荣的时候, 城邦和个人所采取的行动,其动机都比较纯正,因为他们没有为形势所 迫而不得不去做那些他们所不愿意去做的事。但是,战争使他们不易得 到日常所需,战争是一个粗暴的教师,它使大多数人的性情随着境遇的 变化而变化。[3]这样,一个城邦接着一个城邦发生了革命,在革命 发生最晚的地方,因为他们知道其他地方以前所发生的事情,又出现了 许多前所未有的更为出格的暴行,表现在夺取政权时更加阴险狡诈,报 复政敌时更加残忍无忌。[4]常用词句的含义不得不加以改变,而采 用现在所赋予它们的意义。过去被认为是不顾一切的鲁莽之举,现在被 认为是一个忠诚的同盟者所必备的勇气;谨慎周到的等待时机,被看作 懦弱的代名词;中庸之道被视为缺乏男儿气概的表现;一个人能够从各 方面考虑问题,就表示他是一个在行动上拙劣无能的人。疯狂的暴虐变 成了男儿气概的标志;耍阴谋搞诡计变成了合法自卫的手段;[5]夸 夸其谈的人总是被信任,而反对他们的人总是受到猜疑。耍阴谋成功表 明一个人头脑精明,而识破阴谋则表明他更加精明。但是不想做这两种 事情 [59] 的人就被认为是分裂你自己的党派,害怕反对党。总之,先发 制人,以制止那些将要作恶的人和揭发无意作恶的人,都同样地受到鼓 励。[6]以致血亲关系不如党派关系牢固,因为以党派关系组织起来 的人随时准备赴汤蹈火而在所不辞。这些党派组织的目的不是为了享受 现行宪法的利益,而是决意要推翻现行宪法;这些党派的成员彼此间的 信任,不是有赖于任何信仰的约束力,而是因为他们是作恶的同伙。 [7]反对派的合理的建议,执政党不会宽容地予以接受,反而对它加 以猜疑和防范。复仇比自卫更重要。两个党派相互保证的誓言,只是为 了应付双方当中的一方所遭遇到的暂时的困难,只有在他们没有其他办 法应付的时候,这种誓言才能保持它的效力。但一旦机遇出现,首先大 胆地抓住这个机遇的人,会趁敌不备,落井下石;他认为这种背信弃义 的报复比公开的进攻更为得心应手,而且这样做比较安全;同时,一旦 反叛成功,会使他赢得智谋超群的美名。的确,人们普遍地认为行凶作 恶比单纯诚实更为聪明,他们以具有第一种品质而自豪,以具有第二种 品质为耻辱。 [8]由于贪欲和野心所引起的对权力的追求是所有这些罪恶产生 的原因;一旦党派斗争爆发的时候,激情所引发的暴行也就起着推波助 澜的作用。城邦的领袖们都有极其美妙动听的纲领:一方面高喊民众应 在政治上平等 [60] ,另一方面又主张实行稳健的贵族政治 [61] ,他们打 着为公众谋福利的幌子,事实上是为自己牟取私利。为了在斗争中赢得 优势,他们不择手段,不惜采取最可怕的行动;在他们的报复行动中, 甚至采取更加过激的行为。他们既不顾及正义与否,也不顾及城邦的利 益,他们唯一的行为标准就是他们自己党派一时的任性,因而他们随时 准备利用不合法的裁决来处罚他们的敌人,或者用暴力夺取政权,以发 泄他们一时的仇恨。结果,虽然双方处心积虑所追求的都不是正义的目 标,但是那些利用美妙的言辞来实现其罪恶的目的的人,却赢得了很高 的威望。同时,那些持温和观点的公民们,受到两个极端派的摧残,或 者是因为他们没有参加斗争,或者是因为人们忌妒他们可能逃脱灾难而 幸存下来。

    83 这样,这些革命导致了整个希腊世界出现各种各样的恶行。古 代的淳朴之风,原是品性高尚的标志,那时却遭人耻笑,逐渐消失了; 社会分化为若干阵营,在这些阵营中,没有人相信他的同伴。[2]至 于终止这种情况,没有哪个保证是可以信赖的,没有哪个誓言是得到尊 重的。但是各党派都得到这样一个结论,认为要一劳永逸地解决这个问 题是没有任何希望的;他们宁愿更注重自卫,而不愿信任别人。[3] 在这场竞争中,那些较为愚钝的人表现得最有生存的力量。这些人认识 到他们自身的弱点和他们的敌人的智慧,他们害怕在辩论中失败,害怕 遭到更为机警善变的对手联合起来突袭,他们就立即大胆地付诸行动; 而他们的敌人却妄自尊大,认为自己能够准确地预料事务的进展,认为 没有必要采取行动来获取那些利用政策获得的东西,因而他们常常由于 疏于防范而成为受害者。 84 [62] 上述大多数罪恶的发生,科基拉提供了第一个例证。在那 里,那些从未体验过平等待遇的或者的确是被统治者傲慢地统治的人 们,一旦取胜,便以暴力报复;那些要求摆脱他惯常的贫困的并且贪求 邻人财产的人们,一旦取胜,便实施邪恶的决议;最后,那些在不可抑 制的激情的驱使下,以党派精神而不是以阶级情感而发动斗争的人们, 一旦取胜,就采取野蛮无情的过火行动。[2]现在,城邦的生活陷于 混乱之中,总是与法律相对抗的人性,其主人兴高采烈地显示出它的本 色,成为一种难以驾驭的情欲,它蔑视正义,敌视一切胜过它本身的东 西。因为,如果不是为了那令人羡慕的致命的权力的话,谁也不会把复 仇置于信仰之上,把牟利置于正义之上的。[3]事实上,当人们对他 人复仇的时候,他们全然不顾对将来的影响,因而毫不迟疑地废止人类 的普遍法则(这些法则是使所有受苦受难的人有望得救的),而不是让 这些法则继续存在下去,以防有朝一日他们自己陷于危难之中时也可能 需要这些法则的保护。 85 所以当科基拉人自己在党争中首次流露出革命的情绪时,攸里 梅敦和雅典舰队就离开了科基拉。[2]之后,大约500名被放逐的科基 拉人成功地得以逃出,他们渡过海峡,占领大陆上的一些要塞,占领了 海峡对岸的科基拉的领土,以这个地方作为他们的根据地,掠夺岛上他 们自己的同胞;他们给科基拉造成很大的祸害,引起了科基拉城内严重 的饥荒。[3]他们也派遣使者前往拉栖代梦和科林斯,以设法恢复他 们在科基拉的地位。但谈判没有取得成功。后来,他们把自己的舰船和 雇佣军的舰船集中到一起,总共约有600人,他们渡过海峡,来到科基 拉岛上。他们焚毁舰船,自绝后路,这样他们除非占领该岛,否则别无 选择。于是他们占据伊斯通山,修筑要塞。他们开始骚扰城内的居民, 并且控制了乡村地区。

    86 在这个夏季之末,雅典派遣20艘舰船前往西西里,舰队由麦兰 诺普斯之子拉齐斯和攸斐列图斯之子卡罗阿德斯担任指挥官。[2]在 西西里,叙拉古人和伦提尼人发生了战争。除卡马林那以外,所有多利 斯人的城邦都与叙拉古结盟—这些城邦,在战争爆发之初,就已经加入 拉栖代梦同盟,尽管没有积极参加战争。伦提尼有卡马林那和卡尔基斯 人的诸邦作为同盟者。在意大利,罗克里斯人支持叙拉古人,瑞吉昂人 则支持他们的同族伦提尼人。[3]伦提尼的同盟者现在派使团 [63] 去 雅典,根据他们昔日与雅典的盟约 [64] ,以及他们与雅典人同为伊奥尼 亚人这两点,劝请雅典人派遣一支舰队来援助他们,因为他们在陆地上 和海上都被叙拉古人封锁了。[4]雅典人派出了一支舰队,名义上说 是因为他们和伦提尼人是同族关系,但是实际目的是为了防止西西里的 谷物被运往伯罗奔尼撒去,以及试探征服西西里的可能性。因此,他们 驻扎在意大利的瑞吉昂,从那里和他们的同盟者同心协力,进行战争。 夏季就这样结束了。 [65]

    [1] 修氏在本书首次提及这位著名政治家和将军。关于他的财富,参阅J. K. Davies, Athenian Propertied Families 600 – 300 B. C. , London, 1972, pp. 403f。 [2] 今日米诺亚岛(Minoa)已与希腊大陆连接起来,其具体位置可参阅地图。A. W. Gomme, A Historical Commentary on Thucydides , Vol. 2, Oxford, 1956, pp. 334–336. [3] 这段原文缩写了或讹传了,两个塔楼似乎是分别在米诺亚和大陆间的海峡两侧,一侧一个,在两个 防波堤的尽端;建筑这两个塔,使海峡变窄,更易于防守。—史译本注 [4] 接着修昔底德III. 24叙述。 [5] 参阅修昔底德,II. 29注。 [6] 指底比斯。底比斯人在波斯战争期间死心塌地站在波斯人一边,而此次又是因底比斯人出兵普拉提 亚而酿成事端,最终斯巴达人却处罚无辜的普拉提亚人。作为被制服的弱者,普拉提亚人只能这样发泄心中的 不满。 [7] 指普拉提亚人在波斯战争中的功绩。 [8] 据希罗多德(VIII. 1,44)记载,普拉提亚人并未参加此战,部分人员参加了公元前480年的萨拉米 斯海战。 [9] 公元前479年的普拉提亚战役。参阅希罗多德,IX. 62以下。 [10] 如底比斯人所作所为。 [11] 参阅希罗多德,VI. 48—49。波斯人在出征之前,派使者前往希腊大陆和许多海岛上,要求各邦贡 献“土和水”,实际似乎是要求其主动归降,许多城邦都按波斯人的要求做了。 [12] 希腊各邦在战争中所取得的战利品按惯例都按一定比例贡献给本邦保护神,以感谢诸神的佑助。 [13] 指薛西斯焚毁他们的城市。参阅希罗多德,VIII. 1。 [14] 底比斯人要求把普拉提亚人处死。 [15] 把衣服作为献给死者的祭品,在古典文献中并不少见。参阅索福克勒斯:《爱勒克特拉》 (Sophcles, Electra ),452;欧里庇得斯:《奥莱斯特》,123,1436;塔西佗:《编年史》,III. 2。参阅S. 霍恩布鲁尔,第1卷,第453页。 [16] 因为底比斯人是和波斯人联合起来进攻希腊联军的。 [17] 参阅修昔底德,I. 12。斯特拉波提到有皮拉斯基人、色雷斯人和海安提亚人。—史译本注 [18] 直译为“波斯化”,意即投靠波斯,与波斯人融为一体,与波斯人合作。 [19] 参阅修昔底德,III. 55。普拉提亚人与雅典人结盟并获得雅典公民权。 [20] 在这里,“寡头制”与“民主制”实际上主要是看当权者是公民当中的少数人还是多数人,具体人数的 多与少也是相对而言的。 [21] 指公元前458年奥诺斐塔战役之后。参阅修昔底德,I. 108。 [22] 公元前446年。参阅修昔底德,I. 113。 [23] 提到这一点是想影响斯巴达的审判官。 [24] 参阅修昔底德,III. 54—55。 [25] 这个同盟似乎是波斯战争中全希腊同盟,拉栖代梦是这个同盟的盟主,而普拉提亚人在修昔底德 (III. 58)所说的同盟,是特指修昔底德(II. 71)所说的同盟条约。据说,在普拉提亚战役之后,根据波桑尼 阿斯的建议,同盟国订立盟约,相互保证希腊各邦的独立,特别是普拉提亚的独立。 [26] 参阅修昔底德,I. 105,108;II. 27。 [27] 指伯罗奔尼撒同盟。 [28] 参阅修昔底德,II. 72。 [29] 参阅修昔底德,II. 2。 [30] 这句话是对普拉提亚人所说的话(修昔底德,III. 55)的讽刺。 [31] 提及此事以讨好斯巴达人。 [32] 参阅修昔底德,III. 58。 [33] 从公元前519年到前427年,共93年。参阅S. 霍恩布鲁尔,第1卷,第464 — 466页。 [34] 普拉提亚在公元前386年,根据“大王和约”又恢复独立。 [35] 接着前面(修昔底德,III. 33)的内容叙述。 [36] 参阅修昔底德,I. 49 — 50,55。 [37] 800塔连特是一个庞大的数目,它超过战前雅典帝国臣民每年贡金平均数。参阅A. W. Gomme, A Historical Commentary on Thucydides , Vol. 3, p. 59。 [38] 这个协定是一个防御性的盟约。参阅修昔底德,I. 43,44。 [39] 关照雅典在科基拉的利益。 [40] Stater ,波斯、希腊的金银货币,重量约1明那的1/50。这里可能是科林斯币制的斯塔特,大约相当 于2个阿提卡德拉克玛。这笔罚金对于富人来说简直是九牛一毛,除非他们被控砍伐了成千上万棵葡萄树。参 阅A. W. Gomme, A Historical Commentary on Thucydides , Vol. 3, p. 360。 [41] 谢译本(第231—232页)为“请求重新估计他们所应赔偿的损失”。 [42] 即他们五个人和其他一些人。 [43] 大概就是现在的卡里基奥浦隆湾(Chalikiopulon)。 [44] 在古典时代的希腊,这里既是城邦的市场(marketplace),又往往是城邦政治、社会、文化中心, 逐步具有“市政广场”的意义。 [45] 租给若干贫穷人家集体居住的大型建筑,类似罗马的若干家族群居的长屋。 [46] 这些美塞尼亚人是在伊索麦向斯巴达投降之后,被迫离开伯罗奔尼撒。雅典人将他们安置在诺帕克 图斯。参阅修昔底德,I. 103。 [47] 史译本作“12人”,昭译本作“10人”。 [48] 狄奥斯库里兄弟(Dioscuri),宙斯的孪生子,即卡斯托尔(Castor)和波里丢凯斯 (Polydeuces),罗马人称后者为波鲁克斯(Pollux)。在希腊,对他们的崇拜相当流行。在神话传说中,卡 斯托尔被尊为驯马者,而波里丢凯斯则是力大艺高的拳斗士。在斯巴达,他们被奉为国家的保卫者和军人的保 护神。 [49] 参阅修昔底德,III. 69。 [50] 科基拉附近的西勃达港。 [51] 现在当政的是民主党人。—史译本注 [52] 参阅修昔底德,II. 83—86。 [53] 这样,他们始终面对着敌人。—史译本注 [54] 他们损失了13艘舰船。 [55] 史译本作“40艘”,昭译本作“60艘”。 [56] 宽度为3斯塔狄亚,约550米。 [57] 就是尼科斯特拉图斯带来的那500人(修昔底德,III. 75),其目的无非是威胁寡头党人。—史译本 注 [58] 其目的是切断寡头党人与他们在市场附近以及赫拉女神庙中的朋友之间的联系。—史译本注 [59] 耍阴谋和揭穿阴谋。 [60] 民主党人的口号和纲领。 [61] 贵族党人的口号和纲领。 [62] 本节文字是否为修昔底德所写自古就有争议,尤其受到古代文法学家的责难,哈利卡纳苏斯的狄奥 尼苏斯也没有提到这一段,传世的抄本中,在这一段文字上加了一个问号。 [63] 这个使团以著名的修辞学家高尔吉亚为首。—史译本注 [64] 参阅修昔底德,I. 95。根据斯特拉波(VI. 257)的说法,瑞吉昂人和伦提尼人都是起源于卡尔基斯 人。 [65] 公元前427年。 第十一章 战争的第六年。德摩斯提尼在西部希腊的战 事。安布拉基亚的灭亡。

    87 接下来在冬季里 [1] ,瘟疫再一次在雅典人中间爆发了。事实 上,瘟疫从来就没有完全停止过,虽然它的危害性大大减弱了。[2] 第二次瘟疫延续了整整一年,而第一次瘟疫延续了两年;没有什么其他 的灾祸比瘟疫给雅典人带来了更大的损失,或削减了雅典人更多的战斗 力量。 [2] [3]在册的公民兵中,因瘟疫而死亡的不下4400名重装步兵 和300名骑兵,至于其他民众的死亡人数是从来没有人能够确知的。与 此同时,在雅典、优波亚和波奥提亚,尤其是在波奥提亚的奥科麦努斯 地方,都发生了多次地震。[¤] 88 在同一个冬季里,在西西里的雅典人和瑞吉昂人率30艘战舰远 征埃奥利斯群岛;这个地方在夏季里是不可能进攻的,因为那里缺少淡 水。这些岛屿被克尼多斯的移民—利帕拉人占据着,他们居住在一个不 大的岛上,这个岛屿叫作利帕拉。他们以这个岛屿为根据地,分别去耕 种其他岛屿的土地,它们是狄代米、斯特龙基列和希爱拉。 [3] 在希爱 拉,当地人民相信赫淮斯托斯 [4] 的冶铁场就在那里,因为晚上看那里 有火焰升天,白天看则有烟雾笼罩着。这些岛屿位于西克尔人和麦西那 人所居住的海滨附近,他们是叙拉古人的同盟者。雅典人蹂躏了他们的 土地,但是他们拒不投降,于是雅典人又返回瑞吉昂去了。这样冬季就 结束了,修昔底德所记载的这场战争的第五年也终结了。

    89 翌年 [5] 夏季,伯罗奔尼撒人和他们的同盟者在阿奇达姆斯之子 阿基斯的统率之下,出兵进攻阿提卡,大军抵达科林斯地峡。但是由于 发生多次地震,因此,他们没有侵入阿提卡就撤兵了。[2]大约在同 一时间,当地震频频发生的时候,在优波亚的奥罗比艾地方,海水先是 从那里的海岸线引退,然后又以巨浪反冲上来,淹没了城市的大部分地 方;海水退下后,还有一部分陆地在海水下,所以过去是陆地的地方, 现在变为海面了。那些没有及时逃往高地的居民,都葬身于这次海水泛 滥。[3]同样的水灾发生于奥彭提亚的罗克里斯海岸附近的阿塔兰塔 岛上;在这里,雅典人的要塞 [6] 有一部分被海水冲垮,两艘被拖上岸 的舰船中有一艘被海水击得粉碎。[4]在佩巴里苏斯,海水也引退 了,离开海岸有一点距离,但是没有发生水灾;在这里还有过一次地 震,摧毁了城墙的一部分,以及市政厅和其他一些建筑物。[5]依我 看来,这种现象一定是由于地震引起的。在地震最强烈的地方,海水就 被吸引,离开海岸,然后以加倍的力量反冲回来,因此造成海水泛滥 [7] 。如果没有地震,我不知道这样的事情是怎样能够发生的。

    90 在同一个夏季里,西西里交战诸方的战事正如火如荼地进行 着。西克里奥特人 [8] 内部彼此相互征伐,雅典人帮助其同盟者作战。 我在这里只就一些雅典人参加的战事,并且是选择其中最重要的加以叙 述。[2]雅典将军卡罗阿德斯在与叙拉古人交战中被杀,现在由拉齐 斯单独指挥他们的舰队。他联合同盟者进攻麦西那人的地方米莱。麦西 那人的两个大队驻守在米莱,他们埋伏起来以等待下船登陆的雅典人。 [3]但是雅典人和他们的同盟者大败伏兵,给他们很大杀伤;接着, 雅典人进攻要塞,迫使他们交出卫城,命令他们随雅典人一起去进攻麦 西那。[4]雅典人和他们的同盟者到达的时候,麦西那人也投降了, 他们按雅典人的要求交出了人质和所有其他的担保品。

    91 在同一个夏季里,雅典人派遣阿尔基斯提尼斯之子德摩斯提尼 和泰奥多鲁斯之子普罗克利斯率30艘舰船环绕伯罗奔尼撒半岛游弋;他 们又派遣尼基拉图斯之子尼基阿斯率60艘舰船和2000名重装步兵进攻米 洛斯。[2]他们想征服米洛斯人,因为他们虽说是岛上居民, [9] 但是 不肯屈服于雅典,甚至拒绝参加雅典同盟。[3]他们蹂躏了米洛斯人 的土地,但他们还是不肯投降,所以雅典舰队离开了米洛斯,驶往格来 亚境内的奥罗浦斯。傍晚时分,他们在那里登陆,他们的重装步兵迅即 上岸,由陆地进攻波奥提亚的塔那格拉。[4]他们约定,以点燃烽火 为信号,由卡里阿斯之子希波尼库斯和苏克利斯之子攸里梅敦统率的来 自雅典的全体将士到那里和他们会师。[5]他们驻扎在那里,用一天 的时间来破坏塔那格拉人的土地,又在那里过了一夜。翌日,塔那格拉 人和一些来支援他们的底比斯人攻击雅典人,结果,雅典人获胜。雅典 人缴获了一些武器,竖立了一块胜利纪念碑,然后撤退了,陆军回到雅 典,其余的回到舰船上。[6]尼基阿斯率60艘战舰沿海岸航行,破坏 了罗克里斯沿岸地区,然后返航回国。

    92 大约在这个时候 [10] ,拉栖代梦人在特拉启斯建立他们的殖民地 赫拉克利亚。他们这样做的目的是这样的:[2]马利亚人分属于三个 部落,即帕拉里亚人、希爱里亚人和特拉启斯人。特拉启斯人在和他们 的近邻奥塔人的交战中损失很大;起初他们想归服雅典,但是后来他们 怕雅典人不能够给他们应有的安全,便派代表团前往拉栖代梦,他们推 选提萨门努斯作为他们的大使。[3]拉栖代梦人的母邦多利斯 [11] 也 受到奥塔人的侵害,所以也派人参加了代表团,同往拉栖代梦,提出同 样的请求。[4]拉栖代梦人听了使者的陈述,决定派遣一个移民团 [12] ,以援助特拉启斯人和多利斯人。同时,他们认为计划要建立的城市的 位置应便于他们对雅典人作战。这个地方可以作为海军基地,舰队也可 以随时准备进攻优波亚,其优势是由此到优波亚的路程很短。同时,这 座城市位于通向色雷斯的路途中,是一个有利的中转站。总之,无论从 哪方面讲,拉栖代梦人 [13] 都是有理由建立这个殖民地的。[5]他们 首先去询问德尔斐的神祇,在得到一个有利的答复之后,就开始派遣移 民,包括斯巴达人和皮里奥西人 [14] ;他们还召请那些愿意随他们一同 前往的其他的希腊人(伊奥尼亚人、阿凯亚人和其他一些人除外);三 位拉栖代梦人领导这次移民并作为这个殖民地的建立者,他们是列昂、 阿尔基达斯和达马贡。[6]通过移民,建立了新设防的城市,现在叫 作赫拉克利亚,离德摩比利约40斯塔狄亚 [15] ,离海滨约20斯塔狄亚 [16] 。他们着手建筑船坞,封锁了面向德摩比利的一边(从这里穿过可 直达德摩比利),以使他们易于防守。

    93 这个城市的建立,显然有意图谋优波亚(由此渡海到优波亚岛 上的基奈昂很近),因而它首先在雅典引起了恐慌。但是后来事情的发 展并非如此,这个城市从未给雅典人造成损害。[2]原因是这样的: 色萨利人是那些地方最有势力的部族,他们的领土受到新建殖民地的威 胁,他们害怕出现一个强大的邻邦,所以经常侵扰他们,和他们交战, 直到这些新居民的势力被削平为止。此地新居民的人数原本是很多的, 人们从四面八方涌入拉栖代梦人所建立的殖民地,因而他们认为走向繁 荣是有保障的。另一方面,拉栖代梦人自己,他们派驻当地的管理者应 当对于这个城市的衰落和人口的减少负全部责任,他们严酷的和有时是 不公平的行政管理把大多数居民吓跑了,因而使邻邦更容易战胜他们。 94 在同一个夏季里,大约在雅典人滞留于米洛斯的同时,环绕伯 罗奔尼撒游弋的30艘舰船上的雅典公民,在琉卡斯境内的爱罗门努斯设 伏歼灭了一些驻军,然后以大部队进攻琉卡斯城。这时候,雅典军队得

    到除奥尼阿代人以外的所有阿卡纳尼亚人的增援,还得到扎金苏斯人和 基法伦尼亚人以及来自科基拉的15艘舰船的援助。[2]琉卡斯人虽然 看见地峡 [17] 内外琉卡斯的城镇和阿波罗神庙所在地都遭到破坏,但是 他们考虑到敌军人数占压倒优势,未敢轻举妄动。阿卡纳尼亚人劝雅典 将军德摩斯提尼建筑一道城墙,切断琉卡斯和大陆的联系,相信这样会 有把握攻下此城,同时彻底消灭一个最令人头痛的敌人。 [3]但这时美塞尼亚人劝德摩斯提尼说,有了这样一支大军,是 进攻埃托利亚的好机会。埃托利亚人不但与诺帕克图斯为敌,而且一旦 征服了他们,也就会很容易地把大陆上那个地区的所有其他部族都争取 到雅典一边来。[4]埃托利亚人尽管是一个人数众多而好战的民族, 但是他们还居住在分散得很广而没有城墙卫护的村落中;他们只有轻装 武器,根据美塞尼亚人的说法,不等他们的援军到达,不费太大的气力 就可以把他们征服。[5]美塞尼亚人献计说,首先进攻阿波多提亚 人,然后进攻奥斐尼亚人,最后进攻攸利坦尼亚人。攸利坦尼亚人是埃 托利亚的人数最多的部族,据说,他们操一种很难听懂的语言,而且吃 生肉。这些部族一旦被征服,其他部族就会唾手可得了。

    95 德摩斯提尼赞成这个计划,不只是因为他想满足美塞尼亚人的 要求,还因为他相信,如果埃托利亚人也加入到大陆同盟者中的话,他 将不需要雅典国内的援助,就可以从大陆上去进攻波奥提亚了;其路线 是通过奥佐里亚的罗克里斯到多利斯的基提尼昂,一直沿帕那苏斯山左 侧前进,直至顺势而下,进入佛基斯。他认为佛基斯人会愿意和他联合 起来,侵入波奥提亚的,因为他们一向是对雅典人友好的;如果他们不 愿意的话,他可以强迫他们和他联合在一起;到达佛基斯,就已经兵临 波奥提亚边境了。于是,他违反了阿卡纳尼亚人的意志,带着他的全体 将士,从琉卡斯启程,沿海岸航行,到了索里昂。[2]他在这里把这 个意图告诉了他们,但是他们拒不接受这个计划,原因是他不赞成封锁 琉卡斯。德摩斯提尼本人率领其余的军队,包括基法伦尼亚人、美塞尼 亚人和扎金苏斯人以及他自己舰船上的300名雅典水兵(科基拉的15艘 舰船已经回国),开始向埃托利亚人发起进攻。[3]他把罗克里斯的 奥涅昂作为他的根据地,因为奥佐里亚的罗克里斯人是雅典的同盟者; 他们将带着他们所有的军队深入内地,在那里和他会师。因为他们毗邻 埃托利亚人,有和埃托利亚人一样的武装,雅典人认为他们对此次行动 有着极大的帮助,因为他们对于这个地区和当地人的作战方法都是很熟 悉的。

    96 当晚德摩斯提尼在涅米亚的宙斯神庙附近露营。据说,诗人赫 西俄德 [18] 就是在这里被当地居民杀死的,因为有一个神谕预言说,他 将在涅米亚命归黄泉。翌日拂晓,他们动身向埃托利亚进发。[2]在 进兵的第一天,他取得波提达尼亚;第二天,攻取了克洛基列;第三 天,攻下了提基昂。他在这里停下来,把战利品送回罗克里斯的攸帕利 昂。他的计划是想继续乘胜进攻,到达奥斐尼亚人居住的地方,如果他 们还不肯屈服的话,就返回诺帕克图斯,然后从那里向他们发动第二轮 进攻。[3]但是埃托利亚人早就知道这次入侵,这些计划刚刚确定, 他们就知道了。入侵者一踏上他们的领土,他们就聚集一支由所有部族 组成的大军;就是最偏远的奥斐尼亚人、波米恩西亚人和卡里恩西亚 人,其居住地伸延至马利亚湾,也都来参加了。

    97 美塞尼亚人还是坚持他们原先提出的意见。他们向德摩斯提尼 保证,征服埃托利亚是一件轻而易举的事,因而力劝他尽快地进军,沿 途一个一个地攻取他所经过的村落,以最快速度与他们接战,使他们没 有时间全民武装起来抵御他。[2]德摩斯提尼受到这个意见的影响, 同时他相信自己有好运,因为他从未遇到过抵抗,因此,他没等罗克里 斯人的援兵到达就进兵了。罗克里斯人可以弥补他的军队的主要缺点, 因为他最缺少的是轻装的标枪投手。他进攻埃吉提昂,袭取了那个地 方。当地居民此前已经逃走,驻扎在城镇上面的山丘上,该城镇位于距 海岸80斯塔狄亚 [19] 的高地上。[3]正在这个时候,埃托利亚的主力 军抵达埃吉提昂,向雅典人和他们的同盟者发起进攻。他们从四面八方 的山上一边往下冲,一边投射标枪。当雅典人进攻时,他们就退却;当 雅典人退却时,他们又压上来。这样的战斗持续了相当长一段时间,形 成拉锯战,但是无论进攻或退守,都对雅典人极为不利。 98 只要雅典的弓箭手还有箭,而且能用箭射击的时候,他们还能 支持,因为轻装的埃托利亚人遭到弓箭的射击时,总是要退却的。但 是,后来弓箭手的队长阵亡,弓箭手分散开来,而重装步兵因为不断重 复着同一种烦累的动作而精疲力竭了,埃托利亚人以标枪投击紧紧地压 迫雅典人,终于迫使雅典人退却,开始溃逃,他们冲入一个没有出口的 干涸的河道中,以及一些陌生的地方,因而都被杀死了。他们的向导, 美塞尼亚人克洛蒙也不幸被杀死了。[2]埃托利亚人行动迅速,武装 轻便,他们使用他们的标枪,继续追击,击溃了大批的雅典军队;许多 人迷路了,冲入森林中,在森林中又找不到出路,敌人马上在森林周围 放火,四面火起。[3]事实上,雅典军队在逃亡中遭遇过各种各样的 困难,雅典的士兵以各种各样的死法丧失了生命。幸存者历尽苦难,才 逃到海边的罗克里斯的奥涅昂,他们原先是从这里出发的。[4]许多 同盟者的将士和120名雅典重装步兵被杀。这些雅典人个个都是正当壮 年,他们是雅典城邦在这场战争中到目前为止所丧失的最优秀的公民。 在阵亡者中,还包括德摩斯提尼的同僚普罗克利斯。[5]同时,他们 根据休战和约,从埃托利亚人手中取回阵亡者的尸体后,返回诺帕克图 斯,从那里乘船返回雅典去了。而德摩斯提尼留在诺帕克图斯及邻近地 区,因为这次战败后,他无颜回去面见雅典人。

    99 大约在同时,在西西里沿海地区的雅典人航往罗克里斯 [20] ,在 那里登陆,打败了前来迎战的罗克里斯人,攻陷哈来克斯河畔的一个要 塞。 [21]

    100 在同一个夏季中,在雅典人出征埃托利亚之前,埃托利亚人早 已派遣代表团前往科林斯和拉栖代梦,请求派遣军队来进攻诺帕克图 斯,因为诺帕克图斯召请雅典人来侵略他们。这个代表团中有一位名叫 托罗福斯的奥斐尼亚人,一位名叫波里阿德斯的攸里坦尼亚人,一位名 叫提山得的阿波多提亚人。他们的请求得到圆满的答复。[2]在秋季 之初,拉栖代梦人派遣了他们的同盟者的3000重装步兵前往,其中有 500名是来自在特拉启斯新建的殖民地赫拉克利亚。斯巴达人攸利罗库 斯担任指挥官,和他同去的还有两位斯巴达人,他们是马卡里乌斯和麦 涅代乌斯。

    101 他们的军队集结于德尔斐,攸利罗库斯派遣一名传令官到奥佐 里亚的罗克里斯人那里去,因为通往诺帕克图斯的道路正好穿越他们的 领土,同时还想引诱他们脱离雅典。[2]他在罗克里斯得到了安斐西 亚人的全力支持,因为他们害怕与佛基斯人处于敌对状态。他们是最早 移交人质的,他们说服其他部族也交出人质,因为他们同样是害怕侵略 军的;首先是他们的邻人迈昂尼亚人(他们占据进入罗克里斯最险要的 通道),然后是伊斐亚人、麦萨皮亚人、特里泰亚人、卡莱亚人、托罗 丰尼人、赫西亚人和奥安西亚人—所有这些人都参加了远征;奥尔派亚 人同意交纳人质,但是没有参加远征;海艾亚人只是在他们的一个名叫 波里斯的村落被攻陷后,才同意交纳人质,派兵随军远征的。

    102 当一切准备完毕后,攸利罗库斯把人质安置在多利斯的基提 昂,然后率军出发,通过罗克里斯,进攻诺帕克图斯。在进军途中,他 攻陷了罗克里斯的两个城镇—奥涅昂和攸帕里昂,因为它们不肯与他合 作。[2]当他踏上诺帕克图斯的领土的时候,埃托利亚人就加入他的 队伍,他们一起破坏这个地区的土地,攻占了这个城市的未设防的郊 区;之后,他们攻占了摩利克里昂,这是臣服于雅典的一个科林斯人的 殖民地。 [3]雅典人德摩斯提尼自从在埃托利亚遭到败绩之后,一直留在 诺帕克图斯附近;这时他已经得知敌军的情况,很为诺帕克图斯的安全 担心。他前去说服阿卡纳尼亚人(虽然由于他过去从琉卡斯撤兵而遇到 很大困难),请他们派兵前来救援诺帕克图斯。[4]于是,他们派出 1000名重装步兵乘他的舰船 [22] 回到诺帕克图斯,使它转危为安。此前 该城的情况十分危急,因为应当防守的城墙范围很大,而参与防守的士 兵则很少。 [5]当攸里罗库斯和他的同僚们发现这支军队已经进入诺帕克图 斯时,他们知道,袭取这个城市已经是不可能的了,于是全军撤退,但 他们没有返回伯罗奔尼撒,而是进入过去被称为埃奥利斯而现在称为卡 利顿和普流隆的地区,并进入其邻近地区和埃托利亚的普罗斯基昂。 [6]安布拉基亚人来了,他们劝请攸里罗库斯和他们联合起来向安菲 洛奇亚的阿尔哥斯以及安菲洛奇亚的其他地区和阿卡纳尼亚进攻;他们 说,如果征服了这些地区,大陆上所有其他地区都会与拉栖代梦结盟 的。[7]攸里罗库斯同意上述建议,他遣散了埃托利亚人的军队,带 着其余的军队留在这些地区,按兵不动,一直等到安布拉基亚人动员起 来在阿尔哥斯城前和他会师的时候。现在夏季结束了。

    103 接着在冬季的时候 [23] ,在西西里的雅典人带着他们的希腊同 盟者和西克尔人(他们以前是叙拉古的臣民或同盟者,现已叛离)一起 进攻西克尔的城镇伊涅萨,它的卫城是由叙拉古人驻守的。他们进攻卫 城,但是未能攻下,就撤退了。[2]在撤退时,雅典的同盟者殿后。 叙拉古人从城里冲出来,向他们进攻,把他们大部分军队打败了,杀死 了很多。[3]之后,拉齐斯和雅典人乘船在罗克里斯的一些地方登 陆,在凯基努斯河畔他们打败了卡帕顿之子普罗克森努斯领导的来抵抗 他们的罗克里斯人。他们夺取了一些武器之后,就撤退了。

    104 在同一个冬季里,雅典人似乎是依照某种神谕的指示,在提洛 岛举行祓除祭典。 [24] 过去,僭主庇西特拉图 [25] 曾在这个岛上举行过 祓除祭典,但是范围不是整个岛屿,只是在神庙所能看到的地方。可 是,这次是依照下面的方式,在全岛范围内进行的:[2]把过去所有 在提洛岛上死亡的人的坟墓一律发掘出来,宣布以后在提洛岛上不得再 有死亡和出生的事;凡是那些即将生产和即将死亡的人都要送到瑞尼亚 去,它是离提洛岛很近的一个岛屿。萨摩斯僭主波利克拉特斯(征服了 包括瑞尼亚在内的一些岛屿 [26] )在海上称霸的时候,把瑞尼亚奉献给 提洛岛上的阿波罗神,用铁索把瑞尼亚和提洛岛连接起来 [27] 。 举行祓除祭典之后,雅典人首次在这里举行五年一度 [28] 的提洛岛 竞技会。[3]事实上,古时候伊奥尼亚人和邻近岛屿上的居民是在提 洛岛上举行大规模集会的。他们常常来这里庆祝节日,就像现在的伊奥 尼亚人到以弗所去庆祝节日一样。他们在那里举行运动竞技、诗歌比 赛,各邦都要派出各自的舞蹈合唱队。[4]这样的竞技会,没有什么 比荷马 [29] 在他的一首阿波罗颂歌 [30] 中的下列诗句表达得更清楚的: 福玻斯神啊,无论您走到哪里, 提洛岛永远是您心中最喜爱的地方。 那里身穿长袍的伊奥尼亚人在圣道上行走, 携带妻子儿女庆祝您的圣日, 每一种勇武刚毅的竞技,都使您欢娱, 他们在跳舞唱歌的时候,高呼着您的圣名。 [5]摘自同一首诗的下列诗句中,可以看出伊奥尼亚人曾前往那 里参加诗歌比赛 [31] 。他在赞美了提洛岛上的妇女们的舞蹈之后,用下 列的诗句结束对她们的歌颂,在这些诗句中,他还提到了他自己: 啊,愿阿波罗 [32] 保佑你们所有的人!因此, 可爱的姑娘们,再见了 ——告诉我,其实我并未走出 你们的心房;倘若有朝一日, 我们人世间其他的漫游者 踏上这座岛屿,询问你们这些姑娘: 所有流浪歌手中,谁的歌声最甜蜜? 那时你们就会想起我,并且微笑作答: “一位来自岩石嶙峋的开俄斯岛的盲目老人。” [6]因此,荷马的诗歌可以证明,古时候,在提洛岛上有大规模 的集会和庆节。在以后的时代,尽管岛上居民和雅典人不断派遣舞蹈合 唱队,送牺牲品前往那里,但是竞赛和其他大多数的仪式则没有继续举 行了,也许是由于种种苦难所致;直到现在雅典人才恢复了竞赛,并且 增添了赛马 [33] 这一新项目。

    105 在同一个冬季中,安布拉基亚人依照他们劝攸里罗库斯和他的 军队滞留在那里时所承诺的,出动3000重装步兵,进攻安菲洛奇亚的阿 尔哥斯,他们侵入阿尔哥斯境内,攻占了奥尔派,这是靠近海边山上的 一个堡垒,过去阿卡纳尼亚人建筑这个要塞,作为巡回法庭。这个地方 离海岸边的阿尔哥斯城大约25斯塔狄亚 [34] 。[2]同时,阿卡纳尼亚 的一部分军队去救援阿尔哥斯,其余的军队驻扎在安菲洛奇亚的一个名 叫克列奈或“水井”的地方,以监视攸里罗库斯和他的伯罗奔尼撒的军 队,防止他们由此通过,而与安布拉基亚人联合在一起。[3]他们还 派人到德摩斯提尼这位远征埃托利亚的指挥官那里去,请他来指挥他 们;他们还派人去请雅典的20艘舰船 [35] 来援助他们;这支舰队在提摩 克拉特斯之子亚里士多德和安廷涅斯图斯之子希爱罗丰的指挥下,正在 伯罗奔尼撒半岛沿海游弋。在奥尔派的安布拉基亚人派遣一位使者回安 布拉基亚城去,请求他们的同胞全军出动来增援他们,因为他们担心攸 里罗库斯的军队不能通过阿卡纳尼亚,如果那样的话,他们自己就不得 不孤军奋战,或者想撤离也不能安全撤离。

    106 同时,攸里罗库斯指挥下的伯罗奔尼撒人,得知奥尔派的安布 拉基亚人已经到达的时候,便马上离开普罗斯基昂,以尽快地和他们会 师。他们通过阿奇劳斯河三角洲,行至阿卡纳尼亚境内时,发现当地的 居民都走光了,这些居民都去援助阿尔哥斯 [36] 了。他们的右边是斯特 拉图斯城和城内的驻军,左边是阿卡纳尼亚其余的地方。[2]他们通 过斯特拉图斯人的领土前进,穿过腓提亚,绕过麦德昂的边界,然后又 通过林奈亚;之后,他们出了阿卡纳尼亚的境界,进入了一个友好国 家,阿格赖亚人的领土。[3]他们从那里出发,到达并翻越泰马乌斯 山(属阿格赖亚人的领土),黄昏后进入阿尔哥斯人的领土。他们从阿 尔哥斯城和阿尔纳尼亚人的克列奈驻防地之间穿过,在奥尔派和安布拉 基亚人会师了。

    107 现在两军联合起来,他们于拂晓时分在一个叫作麦特罗波里斯 的地方安营扎寨。不久以后,那20艘雅典舰船就驶入安布拉基亚海湾, 来支援阿尔哥斯人了;和他们一起来的,还有德摩斯提尼领导下的200 名美塞尼亚重装步兵和60名雅典弓箭手。[2]舰船停泊在奥尔派山丘 对岸附近。同时,阿卡纳尼亚人和少数安菲洛奇亚人(他们大多数已为 安布拉基亚人牵制了)已经抵达阿尔哥斯,准备和敌人作战。他们推举 德摩斯提尼为全体同盟军的总司令,和他们自己的将军合作。[3]德 摩斯提尼率领他们来到奥尔派附近安营;这里有一个大峡谷,把双方的 军队隔开了。 两军相持了五天,双方都未出战,但是到了第六天的时候,双方列 成战阵。伯罗奔尼撒人的军队人数较多,占据优势;德摩斯提尼害怕他 的右翼被敌人包围,因此,他把大约400名重装步兵和轻装步兵埋伏在 一条灌木丛生的暗道上,他的计划是当两军激战正酣时,这支军队就从 埋伏的地点冲杀出来,从背后包抄,突袭敌人左翼。[4]双方准备就 绪,交战开始了。德摩斯提尼率美塞尼亚人和少数雅典人在右翼,中央 和左翼是由阿卡纳尼亚人和安菲洛奇亚的标枪手各分队组成。在另一方 面,阵线由伯罗奔尼撒人和安布拉基亚人混合编组而成,只有曼丁尼亚 人全都在左翼,但不是最左侧,因为位于最左侧的是攸里罗库斯和他自 己的军队,正好与美塞尼亚人和德摩斯提尼相对。

    108 现在,两军激烈厮杀起来,正当人数占优势的伯罗奔尼撒人的 左翼准备包围敌方的右翼之时,阿卡纳尼亚人从埋伏中突然冲出来,从 他们的背后发起突袭,一举击溃了他们,他们当中没有人能坚守阵地 了。这种惊慌很快传布到其余的大部分军队里,他们看到攸里罗库斯的 这些全军中最精锐的军队尚且被打得七零八落,就更加感到惊慌失措 了。此战取胜的主要功绩应归于德摩斯提尼和他手下的美塞尼亚人,因 为他们首当其冲。[2]同时,安布拉基亚人(他们是那些地区最优秀 的战士)和右翼的军队战胜了敌军,追逐敌军到阿尔哥斯。[3]当他 们回来的时候,看见主力部队已经溃败,阿卡纳尼亚人给他们很大的压 力,他们克服了很大的困难才逃回奥尔派。他们中间有很多人被杀死 了,因为在突围的时候,他们没有纪律,也没有秩序;只有曼丁尼亚人 例外,他们在撤退时是全军中保持队列最好的。战斗一直持续到夜幕降 临的时候。

    109 翌日,由于攸里罗库斯和马卡里乌斯皆已阵亡,麦涅代乌斯便 独立承担起指挥全军之责;在这次大败之后,他有些不知所措了。如果 滞留在那里,他不知道怎样才能抵御敌人的围攻,因为他在陆地上和海 上都被雅典军队和舰队封锁了;他也不知道如何才能安全地撤离。因 此,他和德摩斯提尼以及阿卡纳尼亚的将军们谈判,要求订立一个停战 和约,允许他们撤退,同时要求收回阵亡者的尸体。[2]他们把阵亡 者的尸体移交给麦涅代乌斯,竖立了一块胜利纪念碑,也收回他们自己 阵亡者的尸体,其数约300人;至于让他们撤走的要求,他们对全军公 开宣称表示拒绝。但是德摩斯提尼和他的阿卡纳尼亚同僚们秘密商定, 允许曼丁尼亚人、麦涅代乌斯和伯罗奔尼撒的其他指挥官和重要人物马 上回去。德摩斯提尼此举的目的,是想借此削弱安布拉基亚人及其支持 他们的外籍雇佣军 [37] 的战斗力,但是首要目的是使这些地区的希腊人 不相信拉栖代梦人和伯罗奔尼撒人,认为他们是只顾自己的安全而不顾 同盟者的利益的。[3]因此,伯罗奔尼撒人取回他们的阵亡者的尸 体,以最快的速度把死者掩埋。那些获准离去的人们秘密地筹划如何撤 走。

    110 德摩斯提尼和阿卡纳尼亚人得到消息,说安布拉基亚城的居 民,按照来自奥尔派的第一位使者的要求,全军出动,想通过安菲洛奇 亚,与他们的同胞在奥尔派会合,但是对于这里已经发生的事情,他们 全然不知。[2]德摩斯提尼准备率军前去迎战,同时立即派遣一支精 兵在敌人进兵的路上设置障碍,占据敌人进军路线上的要地。

    111 同时,曼丁尼亚人以及秘密协定中所包括的其他人,以搜集草 料和木柴为借口,偷偷地离开军营,他们总是装作在搜集那些他们特意 要出来寻找的东西的样子,三三两两地跑掉了。当他们离开奥尔派相当 远的时候,他们就加速逃跑。[2]安布拉基亚人和其他那些与他们一 道出来的人们看见他们逃跑了,也急忙从后面追赶,想赶上他们。 [3]起初,阿卡纳尼亚人以为他们都是没有得到允许而逃跑的,便开 始追逐这些伯罗奔尼撒人;有些伯罗奔尼撒的将军们劝他们不要追赶, 说伯罗奔尼撒人的离开是得到允许的。他们认为自己是被出卖了,甚至 向伯罗奔尼撒将军们投射了一两支标枪。但是最后,他们放过曼丁尼亚 人和伯罗奔尼撒人,只杀戮安布拉基亚人了。[4]当时场面一片混 乱,因为很难辨认谁是安布拉基亚人谁是伯罗奔尼撒人。这样,被杀死 的约200人;其余的人越过边界,逃入阿格赖亚境内,他们受到阿格赖 亚友好的国王萨林提修斯的庇护。

    112 同时,由安布拉基亚城来的军队到达伊多门涅。伊多门涅是由 两座高山组成的。其中较高的一座已经在夜里被德摩斯提尼派出的军队 成功地占领了,安布拉基亚人对此却全然不知,他们占领了那座较矮的 山,在山上安营扎寨。[2]晚餐后,德摩斯提尼率领其余的军队天一 黑就出发了。他本人带着一半的军队向山间峡谷进发,其余的军队绕道 安菲洛奇亚山区。[3]拂晓前,他向尚在睡梦中的安布拉基亚人发起 进攻。他们还不知道究竟发生了什么事,甚至完全把德摩斯提尼的军队 当作自己的同胞;[4]因为德摩斯提尼有意把美塞尼亚人放在最前 面,命令他们用多利斯方言和敌人对话,使敌人的哨兵不至于怀疑他 们,同时由于是夜晚,这些哨兵也看不清他们的面目。[5]他用这种 方法一举击溃安布拉基亚人,大多数人当场被杀。其余的人逃往山中。 [6]可是,那里的道路已被占领,安菲洛奇亚人对自己的国土很熟 悉,而安布拉基亚人对当地情况所知甚少,不知往哪里逃跑才好。结 果,他们冲入山谷中,或者冲入那些已经有了埋伏的地方,因而就被杀 死在那里了。[7]在他们拼命逃跑的时候,有一些人甚至朝海上逃 去,因为那里离海不远。他们看到,陆地上的战斗正在进行,雅典的舰 船沿海岸行驶时,他们就向雅典的舰船游去,因为他们在恐慌中居然认 为,如果一定得死的话,他们宁愿死在雅典人手里,而不愿意死在那些 他们所痛恨的野蛮的安菲洛奇亚人手里。[8]安布拉基亚的军队大都 被杀,只有极少数人安全地返回自己的城市;而阿卡纳尼亚人在取走阵 亡者身上的衣物之后,竖立了一块胜利纪念碑,然后回阿尔哥斯去了。

    113 翌日,那些从奥尔派逃往阿格赖亚去的安布拉基亚人派来了一 个传令官。他请求允许他们收回第一次战役中阵亡者的尸体,当时他们 和曼丁尼亚人一路从奥尔派逃出,曼丁尼亚人得到允许这样做,而他们 却没有。[2]当传令官看到那些从来自安布拉基亚城来的援兵身上所 取下来的武器装备有如此之多的时候,他大为惊讶,因为他不知道后来 所发生的事,而以为这些武器是他们自己原来所属的军队的。[3]有 人问他为什么对此这么惊讶,问他们的阵亡者有多少人。询问者以为传 令官是伊多门涅的军队派来的。这位传令官回答说:“阵亡者大约有200 人。”询问者打断他的话,说:[4]“噢,根据你所看到的这里的武器 来看,应当在1000人以上!”传令官说:“那么,这些难道不是我们的战 友的武器吗?”另一个人说:“是的,当然是,如果至少你昨天在伊多门 涅作战的话。”传令官说:“昨日我们根本没有与任何人交战,那是前天 撤退时候的事了。”那个人又说:“无论如何,我们昨天是和这些人作战 的,他们是来自安布拉基亚城的你们的援兵。”[5]听了这番话,传令 官才知道安布拉基亚城来的援兵已被歼灭。于是他号啕大哭,这个惨剧 使他悲伤过度,他没有完成他的任务,不再请求收回阵亡者的尸体,马 上就回去了。[6]事实上,在这场战争中,这是一个单独的希腊城邦 在同样的天数之内所遭遇的最大的一次灾难;我没有记载阵亡者的人 数,因为传说的阵亡人数超出这个城邦的规模,因而是令人难以置信 的。总之,我知道,如果阿卡纳尼亚人和安菲洛奇亚人服从雅典人和德 摩斯提尼的主张,去进攻安布拉基亚的话,他们就能够毫不费力地攻取 这个地方。事实上,他们害怕,如果雅典人占据了这个地方,雅典人就 将成为比安布拉基亚人更危险的近邻。

    114 之后,阿卡纳尼亚人瓜分了战利品,把其中的三分之一给了雅 典人,其余的分给他们自己的诸城镇。雅典人所分得的那部分战利品在 返航归国途中被劫走。现在我们看到存放在阿提卡的神庙 [38] 中的300 副甲胄是阿卡纳尼亚人特别分给德摩斯提尼,后来由他亲自带回雅典 的。这次由于是胜利而归,比上次由于埃托利亚的惨败要安全些了。 [39] [2]那20艘舰船上的雅典人也回诺帕克图斯去了。德摩斯提尼和 雅典人离开之后,阿卡纳尼亚人和安菲洛奇亚人允许那些逃往萨林修斯 和阿格赖亚人那里去的安布拉基亚人和伯罗奔尼撒人从奥尼阿代撤退, 他们将不加干涉,即允许他们从萨林修斯的国土上撤走。[3]至于以 后的事情,他们与安布拉基亚人按下述条件缔结一个一百年同盟条约。 这个同盟是一个防御性同盟,而不是进攻性同盟;阿卡纳尼亚人不得要 求安布拉基亚人参加与伯罗奔尼撒人的战争;同样,安布拉基亚人也不 得要求阿卡纳尼亚人参加与雅典人的战争;在其他方面,安布拉基亚人 退还安菲洛奇亚人的人质和他们占领的安菲洛奇亚人的地方,将来不得 支持阿纳克托里昂,因为阿纳克托里昂是敌视阿卡纳尼亚人的。[4] 根据上述协议,他们结束了敌对状态。之后,科林斯派出了一支由其公 民组成的驻防军—300名重装步兵,他们在攸西克利斯之子塞诺克里德 斯的统率下,进驻安布拉基亚。这支军队历经千辛万苦,才横穿过大 陆,到达目的地。安布拉基亚事件的经过有如上述。 115 在同一个冬季里,西西里的雅典人在西克尔人的支援下,乘船 在希麦拉的领土上登陆;西克尔人则从内地侵入希麦拉境内;雅典人还 航往埃奥利斯群岛。[2]当他们回到瑞吉昂的时候,发现雅典将军, 伊索罗库斯之子皮索多鲁斯已经取代拉齐斯来指挥这支舰队了。[3] 西西里的雅典的同盟者派人到雅典去,劝雅典人派更多的舰船来增援他 们。他们指出,叙拉古人已经占领了他们的土地,正在筹建一支舰队, 以使他们自己不会再被一支小小的舰队从海上封锁。[4]雅典人配备 了40艘舰船的人员,前去增援,他们认为这样可以使西西里的战事更早 地结束;同时希望通过这次行动训练其海军。[5]所以他们派遣这支 舰队的将军之一皮索多鲁斯率少数舰船先期到达,索斯特拉提德斯之子 索福克勒斯和苏克利斯之子攸里梅敦率主力舰队随后抵达。[6]同 时,皮索多鲁斯已经取得了拉齐斯的舰队的指挥权。在冬季之末,他从 海上去进攻罗克里斯人的要塞,这个要塞曾被拉齐斯所攻占。 [40] 在被 罗克里斯人击败后,他又回来了。 116 在春季刚刚开始的时候 [41] ,爱特那火山喷出的火山熔岩,像 以前一样,毁坏了卡塔那人的一些土地,因为他们住在爱特那山的斜坡 上,这座山是西西里最大的山。[2]据说,这是50年来第一次爆发。 [42] 自从希腊人移民西西里 [43] 以来,这座火山共爆发过三次。[3]这 些都是这个冬季里发生的事件,修昔底德所记载的这场战争的第六年就 这样终结了。 [1] 公元前427/前426年。 [2] 参阅修昔底德,II. 47—58。有学者认为,修昔底德在写这句话的时候,似乎不知道以后的战争情 况,特别是西西里远征的灾难性后果,但事实上这是不可能的。也许修氏这里主要强调瘟疫对雅典公民集体所 造成的损失。参阅史译本,序言,第13页。 [3] 斯特拉波还提出了三个岛屿的名称,近代地理学家提出了十一二个。斯特龙基列就是现在的斯特隆 波里,是一座活火山所在地。参阅史译本,第2册,第156—157页。 [4] 赫淮斯托斯(Hephaestus),希腊的火神和锻冶之神,宙斯和赫拉的儿子。他作为锻冶业的保护 神,在各个手工业中心备受敬奉。为了纪念他,特地举行少年接力赛跑,参加者传递火炬。 [5] 公元前426年。 [6] 参阅修昔底德,II. 32。 [7] 大概是由于海底地震而引起的海啸。修氏运用当时所掌握的科学知识对地震引发的海啸加以解释, 难能可贵。 [8] 即西西里的希腊人,他们是希腊的移民及其后裔。 [9] 在基克拉底斯群岛中,只有米洛斯和锡拉两个岛屿上的居民没有加入雅典同盟,他们是拉哥尼亚的 移民(参阅V. 84)。 [10] 公元前426年。 [11] 参阅希罗多德,I. 56;VI. 52—53。 [12] 据狄奥多拉斯(VII. 59.3—5)记载,这次移民人数达1万人。 [13] 按希腊文音译为“拉栖代梦人”,不少学者把拉栖代梦人等同于斯巴达人,这两个概念常常是重合 的,但有时拉栖代梦人的内涵要大一些,由本节即可看出这一点。参阅修昔底德,IV. 38及附注。 [14] 他们是多利斯人南下之前的原有居民,主要是属于阿凯亚族。参阅修昔底德,I. 101注。 [15] 约合7400米。 [16] 约合3700米。 [17] 这个地峡此时联系着岛和大陆。据斯特拉波记载,过去科林斯人在此地开凿运河,但是在伯罗奔尼 撒战争爆发前已为泥沙淤塞了。修昔底德多次提到拖着舰船从此地通过,可以为证。从上下文中可以清楚地看 到,琉卡斯人的领土还包括大陆上阿卡纳尼亚一部分土地在内。 [18] 公元前8世纪波奥提亚的田园诗人,著有《农作与时日》(或译《田功农时》)和《神谱》。中译 本可参阅张竹明等译《工作与时日·神谱》(商务印书馆1991年版)和王绍辉译《神谱》(上海人民出版社 2010年版)。 [19] 约合15千米。 [20] 爱皮泽菲里亚的罗克里斯,在意大利,位于瑞吉昂之北。 [21] 修氏本章接续前面关于西西里的内容(I. 90)。 [22] 这里说这些舰船是德摩斯提尼带来的。但根据史译本,它们是阿卡纳尼亚人自己的舰船。因为德摩 斯提尼所率领的30艘舰船已返回雅典(III. 98),而修昔底德在III. 105提到的舰船还未到。参阅史译本,第2 册,第178—179页。 [23] 公元前426年。 [24] 参阅修昔底德,I. 8;V. 1。此次祓除仪式在发掘坟墓时,发现不少卡里亚人的武器。 [25] 参阅希罗多德,I. 64。他第一次建立僭主政治是在公元前560年,死于公元前527年。 [26] 基克拉底斯诸岛。 [27] 参阅修昔底德,I. 13。这样做象征着两岛不可分割的联合。 [28] 史译本为“五年一度”,昭译本和S. 霍恩布鲁尔注释本皆为“四年一度”,这些说法都对。其实,更准 确的说法可能是每逢第五年举办一届。 [29] 修昔底德在这里很明显地把荷马作为颂歌的作者。看来,他认为荷马是确有其人的。 [30] 以下两段所引诗句分别参见荷马:《提洛岛阿波罗颂歌》(Homer, Hymn to the Delian Apollo ), 第146 —150行,第165—172行。 [31] 史译本为“音乐比赛”。 [32] 史译本、昭译本皆提到太阳神阿波罗和月神阿尔特密斯,希腊文原文亦如此。 [33] 在希腊文中,赛车和赛马统称为“马赛”,是各种竞技会中最引人注目的项目。有一种家喻户晓的传 说,英雄伯罗普斯在战车比赛中战胜皮萨国王奥诺玛俄斯,赢得国王的女儿希波达美亚公主,并创建了奥林匹 亚竞技会。但赛车并不是古代奥运会最早的比赛项目。直到公元前680年第25届奥运会上,“驷马战车赛”才首 次成为正式比赛项目;公元前648年第33届奥运会上增设“赛马”项目;公元前408年第93届奥运会增设“双马战 车赛”项目。由于造车、养马、驯马和雇用职业驭手费用高昂,得奖者不是驭手,而是马车的拥有者,况且参 赛者可以同时投入多辆马车参赛,因而这项比赛往往成为贵族富人炫耀其财富的良机。 [34] 约合4600米。 [35] 雅典的30艘舰船回国(III. 98)之后,这20艘舰船又被派出来,游弋于伯罗奔尼撒沿岸。他们的真 正目的地是诺帕克图斯(III. 114),但是因为阿卡纳尼亚人的请求,暂时转往安布拉基亚湾去(III. 107)。— 史译本注 [36] 安菲洛奇亚的阿尔哥斯。 [37] 这些雇佣军是些什么人,学者们提出过种种不同的看法。他们可能是来自邻近的伊庇鲁斯诸部族, 从安布拉基亚人那里领取薪饷。—史译本注 [38] 史译本为“雅典的神庙”。 [39] 参阅修昔底德,III. 98。 [40] 参阅修昔底德,III. 99。 [41] 公元前425年。 [42] 《帕罗斯石刻》(Parian Marble,LII. 67以下)提到爱特那火山爆发和普拉提亚之役同时(公元前 479年)。因而这里说“50年来第一次”是不很确切的。从他后面的文字来看,修昔底德在写这段文字的时候, 他显然不知道晚于公元前425年的一次爆发。因此,他一定死于公元前396年以前,或者,如果在此之后他还活 着的话,他没有修改这段文字。[43] 即自公元前8世纪以后。有关记载参阅第六卷开头部分。

    第四卷

    第十二章 战争的第七年。占领派罗斯。斯巴达在斯法 克特里亚的军队投降。

    1 翌年夏季, [1] 大约在麦子抽穗的时候,应麦西那人的请求,叙 拉古的10艘舰船和罗克里斯的10艘舰船开赴西西里的麦西那,并占领了 那个地方。这样,麦西那就叛离了雅典。[2]叙拉古人策划了这次行 动,主要是由于他们觉得麦西那可以作为进攻西西里的据点,害怕将来 雅典人以此为基地,派遣大军向他们进攻;而罗克里斯人是想利用这次 行动,从陆地和海上进攻,以制服他们的仇敌瑞吉昂人。[3]同时, 罗克里斯人想以全军侵略瑞吉昂人的领土,使他们不能援助麦西那。此 外,他们也得到和他们同行的某些瑞吉昂的流亡者的支持。瑞吉昂由于 长期的内讧,那时他们完全无力抵御罗克里斯人,这也是罗克里斯人更 加急于进攻的一个原因。[4]在蹂躏了他们的土地之后,罗克里斯人 的陆军撤退了,舰船则留在那里,防守麦西那;他们还在那里配备停泊 在麦西那的其他舰船的人员,以准备从那里出击作战。

    2 大约在这个春季的同一个时候,新麦尚未成熟,伯罗奔尼撒人和 他们的同盟者,在阿奇达姆斯之子,拉栖代梦国王阿基斯的统率下,侵 入阿提卡;他们在那里扎下营寨,蹂躏土地。[2]同时,雅典人把他 们配备好的40艘舰船 [2] 交给他们那两位尚在雅典的将军攸里梅敦和索 福克勒斯,准备开赴西西里,[3]他们的同僚皮索多鲁斯已经先期到 达西西里。 [3] 这两位将军还得到指令,要他们在沿海岸航行途中,在 路过科基拉时,要关照一下那些被逃往山里的流亡者所袭击的城里的 人。 [4] 当时,伯罗奔尼撒人已经率60艘舰船前去援助那些流亡者了; 由于城里发生严重的饥馑,他们认为控制那里的局面并不困难。[4] 德摩斯提尼由阿卡纳尼亚返回后, [5] 没有担任官职,但是由于他自己 的请求,雅典人允许他在这支舰队环绕伯罗奔尼撒游弋的过程中,可以 随意利用这支舰队。

    3 当雅典人航行到拉哥尼亚海岸附近的时候,他们听说伯罗奔尼撒 的舰船已经到达科基拉。攸里梅敦和索福克勒斯主张迅速驶往科基拉, 但是德摩斯提尼力劝他们先去派罗斯停一下,把他自己的任务完成以 后,再由那里继续航行。他们二人对此表示反对;那时碰巧有风暴来 临,舰船不得不开进派罗斯。[2]德摩斯提尼立即建议在那个地方设 防,实际上这是他要求他们航往这里的目的。他告诉他们说,那里的石 料和木料都十分丰富,那个地方的地理位置很优越,并且周围广阔的地 区无人居住;派罗斯,拉栖代梦人称之为科里法西昂,离斯巴达约有 400斯塔狄亚 [6] ,过去曾是美塞尼亚人的地方。[3]其他两位将军对 他说,如果他想花费雅典的金钱来占领这些地方的话,伯罗奔尼撒的四 周还有许多可以占领的荒凉海角。然而,德摩斯提尼认为这个地方与其 他地方不同,它的附近有一个海港;而美塞尼亚人,作为这个地方的土 著居民,他们操一种与拉栖代梦人相同的方言;他认为,如果美塞尼亚 人把这个地方作为军事行动的基地的话,他们可以给拉栖代梦人带来极 大的危害,同时也可以成为驻防此地的可靠的驻军。

    4 但是,德摩斯提尼既不能说服将军们,也不能说服士兵们,他后 来把他的计划提交给队长们讨论时,还是不能得到他们的赞同。当时, 天气不好,他留在那里无所事事,直到士兵们自己没事做厌倦起来,灵 机一动,他们自己编成小队,从事建筑要塞的工作。[2]因此,他们 着手从事这项工作,而且认认真真地干起来;他们没有铁器工具来修整 石料的形状,他们就把石料搬砌到一起,使之砌合成形。他们把捶石头 的擂钵背在身上(因为他们没有拌石头、捶石头的大槽)。他们弯下腰 去,把两只手放在后面,托住擂钵行走,以免它滑落下来。他们拼命地 工作,争取在拉栖代梦人前来进攻之前,把最薄弱的环节都加固起来; 因为那个地方大都是天然的强固堡垒,是不需人力加筑工事的。

    5 那时候,拉栖代梦人正在庆祝节日,最初得知雅典人占领派罗斯 的消息时,没有给予应有的关注。他们觉得,一旦他们准备去进攻,雅 典人就会望风而逃,那个地方便唾手可得;而他们的陆军还在阿提卡, 这也是他们不急于进攻的一个原因。雅典人花了6天的时间完成了面向 大陆的那一部分地方以及其他最需要的地方的防御工事,留下5艘舰船 给德摩斯提尼,驻守这个地方;然后,他们带着主力舰队匆匆赶往科基 拉和西西里去了。

    6 在阿提卡的伯罗奔尼撒人听说派罗斯被占领了,便匆匆撤兵回 国。拉栖代梦人和他们的国王阿基斯都以为雅典人在派罗斯的行动,正 是他们所深为担心的问题;同时,他们觉得这次入侵来得太早,田地里 依然是绿色一片,大多数士兵缺少粮食 [7] ;并且气候恶劣,风和雨都 比往年的同一季节来得更为强劲,给军队造成很大困难。[2]所以由 于种种原因,他们便匆匆撤兵了。这次入侵时间很短暂,事实上,他们 在阿提卡只停留了15天。

    7 大约与此同时,雅典将军西蒙尼德斯集合了一支队伍,包括驻防 军中的少数雅典人和当地的一些同盟者的士兵,通过内应,攻占了色雷 斯的爱昂,它是门德人的一个殖民地,与雅典为敌。但是随后卡尔基斯 人和波提亚人抵达,西蒙尼德斯在损失了许多士兵之后,被迫退出那个 地方。

    8 伯罗奔尼撒人从阿提卡返回之后,斯巴达人自己和附近地区的皮 里奥西人立即出发赶赴派罗斯,力图收复那个地方。其他的拉栖代梦人 晚一些到达,因为他们刚刚从另一次军事行动归来。[2]伯罗奔尼撒 各地的人们都接到命令,要他们尽快赶赴派罗斯;在科基拉的那60艘舰 船 [8] 也接到了命令。船员们把这些舰船拖过琉卡斯地峡,以免被留在 扎金苏斯的雅典舰队察觉。他们抵达派罗斯的时候,陆军已经先到了。 [3]在伯罗奔尼撒舰队到达派罗斯之前,德摩斯提尼就秘密地派出两 艘舰船,将派罗斯的危急情况告诉了攸里梅敦和留在扎金苏斯的雅典舰 队,要他们马上前来救援。[4]舰队按照德摩斯提尼的命令,尽快地 向派罗斯进发了。拉栖代梦人准备从海陆两方面进攻要塞,希望轻而易 举地攻下这座要塞,因为它是匆匆构筑起来的,并且只有很少的人留守 在那里。[5]同时,他们也料到,扎金苏斯的雅典舰队会来救援,因 此,他们的意图是:如果不能在援军赶到之前把要塞攻下,就封锁港口 的入口,使雅典的舰队无法开进去。[6]因为斯法克特里亚岛非常靠 近大陆,横亘在港口的前面,使港口成为一个入口狭窄的安全地带,在 距派罗斯和雅典要塞最近的地方只能容许两条船齐头并进,而在靠近大 陆的一边,也只能容许八九条船同时并行。 [9] 斯法克特里亚林木茂 密,没有居民,没有通行的道路。这个海岛的长度大约有15斯塔狄亚 [10] 。[7]拉栖代梦人的计划是把港口前面用一系列舰船封堵起来,船 头都朝向大海;他们又担心敌人会占领斯法克特里亚岛,利用它来攻击 自己,他们就带了一些重装步兵来到岛上;另外在大陆上还布置了一些 重装步兵。[8]他们认为,通过这些措施,雅典人将在海岛和大陆上 都遇到抵抗,他们将无法在大陆上或海岛上登陆,并且因为派罗斯面向 大海一边的沿岸 [11] 没有港口,因此,雅典人就会失去援救他们同胞的 作战基地。而他们拉栖代梦人,不必冒着在海上作战的危险,他们很可 能会用围攻的方式拿下派罗斯,因为派罗斯是临时修建的,没有粮食储 备。[9]拉栖代梦人定下计划后,就派遣重装步兵渡海到岛上,他们 都是从全体战士中抽签选出的。各种人员都分批渡海到达岛上,轮流履 行他们的职责,直到下一批人员到达时前一批人才回去;最后一批人— 他们被俘虏了—总数是420名,他们都有他们的黑劳士做侍从。这批人 是由摩洛布鲁斯之子爱皮塔达斯率领的。

    9 同时,德摩斯提尼知道拉栖代梦人意欲从水陆两方面同时发动进 攻,便着手准备迎敌。他把留在他手下的三列桨战舰 [12] 拖到要塞下 面,用一排木栅把它们掩护起来。在战舰上服务的桡手们都配备了简陋 的盾牌,这些盾牌大都是用柳条编成的,因为在这荒无人烟的地方,无 法取得兵器。就是这样一些兵器,也还是他们偶然地从朝他们开来的美 塞尼亚人的一艘三十桨私掠船和一条轻便船上取得的。在这些船员中, 有40名美塞尼亚的重装步兵。德摩斯提尼把他们和其他军队编在一起。 [2]他把大多数的士兵,有武装的和没有武装的,都部署在面向内地 一边有很坚固要塞的地方。给他们的命令是:如有敌人陆军来攻,尽力 抵抗;他又从全体士兵中精选出60名重装步兵和少数弓箭手,带着他们 走出要塞,来到海边,来到那些他认为敌人最有可能登陆的地方。尽管 那是一个岩石嶙峋、难于攀登的地方,面临大海,但事实上他认为这里 恰恰是雅典防线最薄弱的地方。[3]雅典人原以为他们绝对不会遇到 一支比他们还强大的海军的进攻,所以他们很少注意这里的防务,如果 敌人在这里登陆,很可能攻克派罗斯。[4]因此,他一直走到海水 边,集合他的重装步兵,准备万一敌人登陆,予以阻击。他发表讲话, 激励他的士兵们:

    10 “士兵们!与我一起在这里冒险的同伴们!现在我不希望你们当 中有人充分估计我们处境的危险,以展示他的聪明才智;我希望你们要 勇往直前,不要瞻前顾后,要知道这才是你们转危为安的最佳选择。我 们已经被迫处于这种境况,瞻前顾后是无济于事的;我们要当机立断, 把一切的一切孤注一掷。[2]我认为,大多数机遇将对我们有利,只 要我们坚守阵地,不为敌人的人数优势所吓倒,从而放弃我们的优越条 件。[3]我们的一个有利条件就是敌人很难在这个地方登陆。但是, 只有我们坚守阵地的时候,这一点才对我们有利。假如我们退却的话, 无论是多么难以进攻的地方,他们都会长驱直入,因为我们没有人去抵 抗他们。以后纵或我们要设法赶走他们,也更加难以做到了,因为要他 们退却也并非易事。当敌人还在舰船上的时候,他们是比较容易被驱逐 的;因为一旦他们登陆成功,他们就和我们在同等条件下作战了。 [4]至于人数,不要为此而过于恐慌。他们的人数虽多,但只能分成 小股作战,而不可能把所有的舰船都靠拢岸边。另外,我们所面临的人 数占优势的敌人不是在相同条件下的陆军,而是在舰船上的军队,海上 作战必须有许多有利条件配合起来,才能产生效力。[5]因此,我认 为,我们的人数虽然少,敌人的困难足以和这个缺点相抵消。雅典人从 亲身的经验中,都知道在敌国境内登陆是怎么一回事;如果驻军坚守阵 地,不因为害怕惊涛拍岸,或害怕扬帆直进、来势汹汹的舰船而放弃阵 地的话,要想击退守军是根本不可能的。因此,你们要记住这一点,要 坚守你们的阵地,拒敌于海岸之外,既保全你们的生命,也保全你们的 要塞!”

    11 在德摩斯提尼演说的鼓励下,雅典人增强了信心,开拔前线, 在海边迎击敌人。[2]这时候拉栖代梦人开始进攻了,他们的陆军和 海军同时向要塞发起进攻。海军有43艘舰船,指挥官是一位斯巴达人, 克拉特西克利斯之子特拉西米里达斯。他进攻的地点正是德摩斯提尼所 预料的地点。[3]这样,雅典人在水陆两方面防卫,而敌人则把舰队 分成小股,因为大批战舰同时靠岸作战是不可能的,所以有些进攻,有 些歇息,轮番向雅典人进击;他们士气高涨,作战时互相鼓励,希望迫 使雅典人后退,以占领这个要塞。[4]表现最突出的是伯拉西达 [13] ,他是一艘三列桨战舰的舰长。他看见舰长们和舵手们因为地势险峻, 虽然有登陆的可能,但为了避免舰船受伤,都畏缩不前,他就大声疾 呼,质问他们,为什么为了保全船身而容忍敌人在我们的领土上保存要 塞;船身即使被打得粉碎,也要强行登陆。他还呼吁各同盟者,为了报 答拉栖代梦人过去对他们的恩情,现在他们应当毫不犹豫地牺牲舰船, 勇敢地使舰船搁浅,想方设法实施登陆,控制敌人的要塞,制服敌人的 驻军。

    12 伯拉西达不仅这样鼓励别人,同时,他站在船头的跳板上,强 迫自己的舵手向岸边驶去。他企图登陆,但遭到雅典人的还击,他身上 多处负伤,昏倒在船舷上。他的盾牌从他的臂膀上滑下来,落人海中; 这个盾牌被抛上海岸,雅典人捡起,把它悬挂起来,作为纪念胜利的战 利品。[2]伯罗奔尼撒的其他舰船上的人员都各尽所能,但登陆均未 获成功。这是因为地势险峻,而雅典人又坚守不退。[3]这真是一件 一反常态的怪事:雅典人在陆地上作战,而且是在拉哥尼亚的土地上作 战,对手是从海上发起进攻的拉栖代梦人;而拉栖代梦人的海军则力图 在他们自己的海岸(这片海岸现在在他们的敌人手中)登陆,以打击雅 典人。尽管那时拉栖代梦人自诩是著名的内陆民族,拥有陆军优势;而 雅典人自诩是海上民族,拥有世界上最强大的海军。

    13 战斗在当天和第二天上午持续进行。最后,伯罗奔尼撒人放弃 了进攻。第三天他们派出一些舰船前往阿辛,搜寻木料来制作攻城器 械,他们想借助这些器械进攻海港对面的城垣,这里的城垣虽然筑得高 些,但登陆最容易。[2]这时,来自扎金苏斯的雅典舰队开到了。这 支舰队包括50艘舰船,那些驻守在诺帕克图斯的舰船和从开俄斯开来的 4艘舰船加入到这支舰队中。[3]他们看见大陆沿岸和岛上都布满了重 装步兵,敌人的舰船停泊在港中,没有要出海的迹象。他们看到没有地 方停泊舰船,便把舰队开往普罗特,这是离派罗斯不远的一个荒无人烟 的海岛。他们在那里过夜,准备第二天开出去作战。他们希望在公海上 攻击敌人,如果敌人出来迎击他们的舰队的话;否则他们自己驶入港 中,以攻击敌人。[4]拉栖代梦人既不将舰船开出港口,也没有按照 他们原来的打算,封堵海港的入口。他们安静地停泊在岸边,把士兵配 置在舰船上,准备在雅典舰船开入的时候,在面积相当大的港湾内予以 攻击。

    14 雅典人看到这种形势,他们从两个入口向敌人发起进攻。敌舰 在海面上大都摆成作战队列,雅典人冲向敌舰,很快把它们打散了。雅 典人在短距离内尽力追击敌舰,使许多敌舰丧失了战斗力,并俘获5 艘,其中一艘舰船的桡手都是完全无缺的。他们撞烂其他那些逃往岸边 的敌舰,撞破那些尚有桡手的舰船,使他们无法脱逃。雅典人用自己的 舰船,把那些桡手已经跑光的空船拖走。[2]拉栖代梦人看到这种情 况,大为恐慌,因为他们觉得自己在岛上和外界完全隔绝了。他们穿带 重武装,冲人海中,抓住舰船,力图把它们再拖回去,每个人都认为, 成功的希望就在于他们个人的努力了。[3]当时喊声阵阵,一片混 战,在这场交锋中双方所采用的作战方式又是一反常态的。拉栖代梦人 情绪紧张,丧失勇气,他们实际上是在陆地上进行海战;而获胜的雅典 人,渴望充分地保持他们的胜利成果,在舰船上进行陆战。[4]鏖战 过后,双方都有大批人员负伤。除了原先被俘虏的舰船外,拉栖代梦人 把其余的空船都救护回去了;[5]双方各自收兵回营。雅典人竖立了 一块胜利纪念碑,把阵亡敌人的尸体归还,把破烂的船体收捞起来,马 上开始绕岛屿作警戒航行。岛上的敌人和外界的联系被完全切断了。大 陆上的伯罗奔尼撒人和大陆各地来的援兵都集合在派罗斯城前。

    15 当有关派罗斯事件的消息传到斯巴达的时候,人们认为事态相 当严重,拉栖代梦人决定,政府官员应亲赴前线,当机立断采取上佳之 策应付事变。[2]他们来到前线,看到要把被困在岛上的人救出来是 不可能的,也不愿意让他们冒着被饿死的危险,或者被迫向人数占优势 的一方投降。因此,他们在征得雅典将军的同意之后,决定在派罗斯订 立休战和约;他们派出使者到雅典去谈判以结束战事,力争尽快救出他 们的那些被围困的人们。

    16 雅典的将军们接受了这个建议,双方根据下列条件缔结休战和 约: 1. [14] 拉栖代梦人应将参加过战斗的舰船带到派罗斯,悉数移交给 雅典人,其他在拉哥尼亚的战舰也全部交出;拉栖代梦人不得从海上或 从陆上攻击这个要塞。 2.雅典人应当允许大陆上的拉栖代梦人将搓成条状的面食按照规定 的数量送给被困在岛上的人们。口粮的数量是,士兵每人大麦粉两夸 脱、酒一品脱 [15] 和一些肉类,侍仆减半。 3.这些口粮应在雅典人的监督之下运送,任何舰船不得偷运。 4.雅典人应当和以前一样,继续对海岛加以监视,但不得登陆,也 不得从海上或从陆上进攻伯罗奔尼撒的军队。 [2]5.任何一方如有丝毫违背本协定之处,休战即告终止。 6.休战协定有效期到拉栖代梦的使者自雅典回来时为止。 雅典人须用一艘三列桨战舰把他们运送到雅典去,事毕,再将他们 运载回来。拉栖代梦的使者们回到这里,休战期限即告终结。雅典人应 当按接收时的原状把舰船交还。 [3]这就是休战和约的条款。交给雅典的舰船有60艘。拉栖代梦 人的使者启程了。他们来到雅典作了如下发言:

    17 “雅典人啊!拉栖代梦人派我们来,是来交涉关于那些仍留在岛 上的人们的问题的,同时,很可能地,就我们现在不幸的情况而言,也 会给我们带来荣誉。[2]假如我们的发言长了一些,那并不意味着违 反了我们的习惯,相反地,尽管我们城邦的习惯是语言简短,不说费 话,但是在遇上重大问题需要说明的时候,我们的尺度就会宽松一些。 [3]同时,请你们不要用敌视的态度来听取我们的陈述,也不要以为 我们是把你们当作知识不足的人来开导。我们今天所要说的,只是提醒 你们注意,你们是知道如何作出明智选择的。[4]现在你们可以作出 抉择,可以利用你们的成功获取利益,保持你们已获得的东西,同时也 赢得荣誉和威望。另外,你们不会像有些人那样犯错误,他们在得到某 种异常的幸运之后,尽管其成功出乎意外,但还是得陇望蜀,想得到更 多的意外的幸运。[5]而那些饱尝甘苦的人们,知道运气可以好转, 也可以恶化,他们最有理由相信好运不是永恒存在的;你们的城邦和我 们的城邦都不乏这方面的经验,使我们汲取教训。

    18 “为了使你们相信这一点,只需看看我们现在的不幸。我们在希 腊各邦中曾享有过最高的荣誉,尽管我们现在来此是要求我们以前更有 能力给予别人的东西。[2]然而,其所以如此,并不是因为我们国力 衰微,也不是因为我们骄妄乱为而一意扩张所造成的;我们的资源和从 前一样,我们的失误在于判断失误,而这种失误是人人都可能有的。 [3]因此,你们因为你们的城邦现在所拥有的势力,以及新近所获得 的收益,就以为幸运会永远伴随着你们,那是一个不合理的推论。 [4]事实上,只有谨慎地处理他们现在的既得利益的人们,才是真正 聪明的人,因为他们知道命运无常,这正如他们在身处逆境的时候,头 脑也保持清醒一样;在战争中,任何人都不可能只接受成功,拒不接受 挫折,命运指向哪里,他就只能跟向哪里。 [16] 因此,这样的人不会因 为军事上的成功而得意自负,他们不大容易遭到劫难;他们在自己走运 的时候,只要有可能,他们就随时准备签署和约。[5]雅典人啊!现 在就是你们和我们共同处理事务的好机会;只有这样才能避免将来可能 招致的灾难,如果你们拒绝合作的话。假如你们将来失败了,别人会认 为你们现在的胜利是侥幸得来的,而你们现在有可能对于自己的势力和 智慧都留下一个堂堂正正的名誉。

    19 “因此,拉栖代梦人请求你们缔结和约,结束战争;请求在你们 和我们之间达成和平,结成同盟,建立全面的、永久的最友好而亲密的 关系。作为酬谢,我们请求你们归还我们的那些在岛上的人们。这样对 双方都比较体面,不至于把事情推向极端—不是那些被围困的人特别幸 运地夺路而逃,就是在严密封锁之下坐以待毙。[2]事实上,在我们 看来,如果双方要真正了结曾经结下的深仇大恨,那不是通过寻衅复仇 和军事征服,或者强迫对方宣誓履行不平等条约所能实现的;更为幸运 的一方应当放弃某些特权,以较为温和的心情,以宽大仁厚征服他们的 对手,以对手料想不到的温和条件与对手缔结和约,才能达成永久的和 平。[3]在这种情况下,没有暴力所必然遗留下来的冤冤相报,双方 会本着以德报德的精神,在保持荣誉的情况下,愿意维护和约的条件。 [4]这样,人们对于最大的敌人比对于无关紧要的争执更容易达成和 解;对于首先向他们作出让步的人,他们自然也乐于作出让步,因为他 们易于被骄慢狂妄所激怒,进而明知对他们不利,也会采取残酷手段来 对付其对手。

    20 “如果把这些运用到我们双方的关系上,在双方都还没有遭遇着 不可挽救的灾难的时候,在双方的私人或城邦都还没有到非永世仇视不 可的地步,以至于无法接受我们现在所提出的有利条件 [17] 的时候,双 方要求达成和解,现在正是时候。[2]最后的结果还没有确定,你们 就已经赢得了荣誉,获得了我们的友谊;在我们的不幸尚未发展到不可 收拾的地步之前,让我们达成共识,实现和解。就我们自己而言,我们 是选择和平而抛弃战争的,我们愿意让所有其他的希腊人摆脱战乱,恢 复和平。果真如此,则他们所感激的主要是你们雅典人。至于他们参与 的战争,他们不知道是谁发动的,然而和平的实现是有赖于你们的,他 们将会感激你们。[3]作出这个决定,你们就能与拉栖代梦人结成牢 不可破的友谊,因为这个友谊不是用暴力夺得,而是我们自己提出,你 们好意接受的。[4]请你们想想实现和平所带来的成果:如果你们和 我们达成一致,希腊世界的其他诸邦,由于势力弱于我们,将对我们双 方都会表示最高的尊敬。”

    21 以上是拉栖代梦人的发言。他们原以为雅典人渴望缔结和约的 想法早在前一时期 [18] 就已产生,只是由于斯巴达的反对而未能如愿; 现在他们提出和平建议,雅典人一定会乐于接受,释放那些在岛上的人 们。[2]但是雅典人认为,岛上的人们既然已在他们的掌控之中,他 们随时都可以缔结和约,同时可以取得更多的利益。[3]鼓动雅典人 采取这种对策的主要是克里埃涅图斯之子克里昂,他当时是一位在群众 中颇有影响力的平民领袖。他力劝雅典人作如下答复:首先,岛上的人 们必须投降,把武器交给雅典人;其次,拉栖代梦人必须把尼塞亚、佩 盖、特洛伊曾和阿凯亚退还给雅典,这些地方都不是以武力获取的,而 是雅典人因为遭到灾患,比现在更迫切需要和平的时候,依照以前的和 约交出来的。 [19] 如果这些地方退还了,岛上的人可以回去,休战的期 限可以由双方商定。

    22 对于这个答复,拉栖代梦的使者们没有答复。但是他们要求成 立一个委员会,他们可以和委员们商讨每个细节,在平静的气氛中达成 双方都同意的条件。[2]这一点遭到克里昂的猛烈抨击,他说,他早 就知道拉栖代梦人是缺乏诚意的;现在已经很清楚,他们不愿意向全体 人民说明,而只愿意和一个由极少数人组成的委员会秘密商谈。如果他 们还有一点诚意的话,他们尽可以当众说出来。[3]可是,拉栖代梦 人知道,在目前的窘境下,他们无论如何都要作出某些让步的,但他们 不可能在雅典民众面前把他们所要讲的话都说出来,那样的话,由于他 们未经协商的失策而失信于他们的同盟者。另一方面,雅典人从来都不 会接受拉栖代梦人所提出的温和条件的。因此,他们没有取得任何结果 就离开了雅典。

    23 他们一回去,就意味着在派罗斯的休战终止了。拉栖代梦人要 求雅典人按照以前的协议退还他们的舰船。但是雅典人声称,拉栖代梦 人曾经违背协约来攻击要塞,雅典人还提出其他的怨言,那些怨言似乎 是不值一提的。因此,雅典人拒绝交出舰船。他们严格恪守休战和约的 规定,就是说,如果有一点点违背和约的地方,休战就立即终止。拉栖 代梦人否认了这种说法,并且对雅典人在交还舰船问题上的不讲信用提 出抗议,之后便回去准备重新开战。[2]现在,在派罗斯,双方的激 战又开始了。白天,雅典人有两艘船,向着不同的方向,环岛屿巡逻; 夜里,整个舰队停泊在岛屿的周围,只是在风暴来临时,面向大海的那 一面不停泊舰船。为了增援他们的封锁行动,雅典又派来20艘舰船,现 在共有70艘舰船参战;在伯罗奔尼撒人方面,他们仍在大陆上建立营 寨,对要塞发起攻击,并寻找机会以营救那些被围困在岛上的人们。

    24 同时,在西西里,叙拉古人和他们的同盟者把他们另外一些舰 船 [20] 装备好,前去增援驻守麦西那的舰队。他们从麦西那出发继续发 动战争,[2]罗克里斯人是这次战争的主要鼓动者,他们痛恨瑞吉昂 人,他们已经倾全力侵入瑞吉昂人的领土。[3]叙拉古人也想在海战 中试试他们的运气,因为他们看到那时雅典人在瑞吉昂只有少数舰船; 他们又听说雅典派来的主要舰队当时正在封锁斯法克特里亚岛。[4] 他们认为,一场海战的胜利将使他们能够从海上和陆上封锁瑞吉昂,进 而毫不费力地征服它。意大利的瑞吉昂和西西里的麦西那是那么接近, 一旦取得成功,将为他们的事业奠定坚实的基础。这样,雅典人就不可 能在那里派驻舰队,控制海峡。[5]这里所说的海峡就是指瑞吉昂和 麦西那之间的海域,那里是西西里靠大陆最近的地方,这也就是传说奥 德修斯曾经航行通过的被称为卡里布狄斯 [21] 的地方。这个地方因其水 道狭窄,巨大的第勒尼安海流和西西里海流冲入这里,波涛汹涌,其势 险要,得此名称是很自然的。

    25 现在,叙拉古人和他们的同盟者不得不在这条海峡中作战了。 天色渐晚,他们的一艘船想驶过海峡。他们出动30多艘舰船来对付雅典 的16艘舰船和瑞吉昂的8艘舰船。[2]在交战中,他们被雅典人打败, 损失1艘舰船,他们仓皇逃回,各自回到他们在麦西那和瑞吉昂的基地 去了。夜幕降临时,战斗结束。[3]这次交锋之后,罗克里斯人从瑞 吉昂的领土上撤走。叙拉古人和他们的同盟者会合在一起,停泊在麦西 那境内的佩罗鲁斯海角附近;在那里,有他们的陆军支援。[4]雅典 人和瑞吉昂人驶向这里,发现敌人的舰船上未配备人员,就向他们发起 进攻;结果,他们自己反倒损失1艘舰船,这艘舰船被一只小铁锚钳住 了,但舰上的船员都从海上泅水逃脱了。[5]叙拉古人后来登上舰 船,把它拖到麦西那海岸边。这时,雅典人又一次向他们发起进攻。叙 拉古人突然驶离海岸,首先发动突击,使雅典人又损失l艘舰船。[6] 这样,叙拉古人沿海岸航行,在海上交锋中总算占了上风,然后驶入麦 西那港。 [7]但是雅典人得到消息,说卡马林那将被阿奇亚斯及其党羽出 卖给叙拉古人,他们就向卡马林那进发,而麦西那人趁机倾全力从海上 和陆上进攻他们的邻邦那克索斯,那是卡尔基斯人的殖民地。[8]首 日,他们将那克索斯人封锁在城内,蹂躏了城外的土地;翌日,在他们 的舰队沿阿基辛涅斯河推进,蹂躏两岸的土地的同时,他们的陆军袭击 那克索斯城。[9]同时,大批西克尔人从高地下来援助那克索斯人, 抗击麦西那人。那克索斯人看到他们来了,士气大振,他们相信伦提尼 人和其他的希腊同盟者正在前来援救他们的途中,在这种信念的鼓舞 下,他们突然从城里向外发起突击,击溃了麦西那人,杀死1000多人; 败军余部在归国途中遇到很大困难,他们遭到当地土著的袭击,大多数 人被杀死。[10]同盟者的舰队开进麦西那,后来各自回国去了。 伦提尼人和他们的同盟者,偕同雅典人,立即趁机进攻麦西那,因 为他们相信麦西那已经遭到削弱。雅典人乘船攻入港口,陆军则进攻城 市。[11]但是麦西那人联合一些在那克索斯战败后留守麦西那的罗克 里斯人,在德摩特里斯的统率下,猝然发动突围,击溃伦提尼人的大部 分军队,杀死很多士兵;雅典人看见这种情况,便登陆助战。队形散乱 的麦西那人,经此一击,又被赶进城内。雅典人在竖立一块胜利纪念碑 之后,返回瑞吉昂。[12]自此以后,西西里的希腊人在没有雅典人参 与的情况下,在陆地上继续彼此攻掠。

    26 这时,在派罗斯,雅典人依然围困着留在岛上的拉栖代梦人, 大陆上的伯罗奔尼撒人的军队仍驻扎在原先的地方。[2]由于缺乏粮 食和饮水,雅典人的封锁工作是很艰苦的;只有派罗斯卫城上面有一个 小小的泉源,大多数士兵要到海岸边的沙滩中去寻找可以饮用的水。 [3]由于地盘狭小,他们营帐紧挨着营帐;由于缺乏停船的港口, [22] 船员们只能轮流登陆用餐,而其他人则仍待在海面的舰船上。 [4]给他们的士气最沉重打击的是,围困岛屿的时间出乎意外地 被延长了。原来雅典人以为,围困这些在荒岛上粮尽援绝的人们,这些 只能饮用咸水的人们,不日就会屈服的。[5]但事实上,拉栖代梦人 招募志愿者,将面粉、酒、乳酪以及其他在围守中有用的食物都运到岛 上。他们悬以重赏,并且对黑劳士许诺,任何人只要能够把食物运到岛 上,就可以获得自由。[6]很多人愿意冒险从事此项工作,尤其是黑 劳士,他们在夜里渡海,把船从伯罗奔尼撒各个地点,开到岛屿的朝向 大海一边的岸上。[7]如果可能的话,他们就等待海风把他们送到海 岸边。海风吹向岸边的时候,他们更容易避开雅典舰船的监视,因为那 时要在岛屿四周都停泊舰船是不可能的,而黑劳士则预先将偷运食物的 船估定价值,不管结果如何,冒险偷运,他们相信雅典重装步兵只在岛 屿的平常登陆的地点等候他们。但是在风平浪静的时候,偷运的舰船则 都被抓获了。[8]泅水者从海港的水下潜泳到岛上,他们拖着装有蜂 蜜和亚麻仁粉的混合食品 [23] 的皮袋,来到岛上。起初,这些活动都避 开了雅典人的视线,但是后来监视工作有所加强。[9]总之,双方都 开动脑筋,想尽办法,一方想运入食物,另一方则想防止偷运。

    27 同时,关于雅典军中的困难和食物如何被偷运给岛上被围困的 拉栖代梦人的消息传到了雅典,雅典人有些不知所措,他们开始担心, 冬季来临,将使封锁工作难以维持下去。他们知道,舰船绕行伯罗奔尼 撒,把食物运送到前线是不可能的;在派罗斯本地,就是在夏季,也没 有足够的食物供应地方需要。在没有港口的地方要维持封锁的局面也是 不可能的;被困在岛上的人们或者会因为围攻者撤走而得救,或者等到 天气不好的时候,乘着偷运食物进来的船而溜掉。[2]最使他们感到 震惊的是拉栖代梦人的态度,因为在雅典人看来,既然他们不再提出商 谈和平的要求,就必定表明一如既往地坚持他们的主张。雅典人开始后 悔,后悔他们拒不接受议和的建议。 [3]至于克里昂,他知道以前由于他的阻挠,而未达成和解,现 在的局面于他不利,于是他声称从派罗斯传回的消息是不真实的。报信 的人请求派遣巡视员前往视察,如果大家不相信他们的话。于是克里昂 和塞阿根尼斯被雅典人推选为巡视员,受命前去视察实际情况。[4] 现在克里昂意识到,他或者提供一个和报信人所说的大同小异的报告, 或者只好捏报情况,自己就成了不打自招的说谎者。他也知道,雅典人 有意再派一支远征军前去作战;于是他对雅典人说,派遣巡视员浪费时 日,会坐失良机的,如果大家相信报信人所说,就应该扬帆出征,向那 些敌人进攻。[5]他指出当时担任将军而为他所仇恨的尼基拉图斯之 子尼基阿斯,奚落他说,如果雅典的将军们是真正的男子汉,就应当马 上带兵前去。他宣称,活捉岛上的拉栖代梦人犹如探囊取物,假如他本 人是军队的指挥官的话,他一定可以做到这一点。

    28 这时候,雅典人开始埋怨克里昂,他们认为如果问题果真那么 容易解决的话,那他为什么不躬赴前线呢?尼基阿斯看到这一点,又知 道自己是克里昂攻击的对象,他对克里昂说:从将军们这方面来说,克 里昂尽可以随意带领任何军队前赴海岛,作各种军事上的尝试。[2] 起初,克里昂以为尼基阿斯的推荐不过是演说当中的一个托词而已,所 以满口答应下来。谁知道尼基阿斯真的要求把军队的指挥权移交给他, 这时克里昂又变了卦,推托说指挥军队的将军是尼基阿斯而不是他。现 在他感到恐慌了,他从来没料到尼基阿斯真的会把自己的职务推让给他 的。[3]尼基阿斯一再鼓动克里昂前往,并请雅典人替他作证,说他 已经把远征派罗斯的指挥权移交出来了。雅典人的态度就像群众惯常的 态度那样,克里昂越是推让躬赴派罗斯的任务,越想收回他自己所说的 话,群众就越是鼓励尼基阿斯移交军事指挥权。他们大声喊叫,要克里 昂起航。 [4]最后,克里昂知道,要取消自己的诺言是不可能的,只好硬 着头皮,扬帆出征。他走上前来,声称他并不惧怕拉栖代梦人,他不从 本邦带去一兵一卒,只带雅典城里的列姆诺斯人和音不洛斯人以及从埃 努斯来助战的轻盾兵和别处可调用的400名弓箭手前往。利用这支军队 和派罗斯现有的兵力,不出20日,他将把岛上的拉栖代梦人生擒活捉, 或者把他们当场杀死。[5]雅典人对克里昂的这种蠢话忍俊不禁,但 他们当中那些明智的人们暗暗庆幸,因为克里昂的声明对他们反正都是 有利的:要么就是他们借此除掉克里昂,这正是他们所期望的;要么就 是他们大失所望,克里昂将降服岛上的拉栖代梦人。

    29 克里昂在公民大会上把一切安排完毕,雅典人选举他为远征军 指挥官时,他推荐正在派罗斯的将军之一德摩斯提尼和他共同指挥军 队。他准备尽快起航。[2]他推荐德摩斯提尼,是因为他听说,德摩 斯提尼已经计划在岛上登陆。前方的战士受尽了苦头,他们与其说是围 攻者,不如说是被围者,因而渴望冒死拼杀。而德摩斯提尼本人对进攻 也有了信心,因为当时岛上发生了一场大火灾。[3]以前他心存戒 惧,因为岛上没有人烟,全岛几乎都为茂密的森林所覆盖,无路可行, 德摩斯提尼认为这都是有利于敌人的:因为他如果带领大批军队登陆, 敌人会从暗处给他们以沉重打击;而敌军的数目,他无法估计;敌人就 是犯下错误,他也觉察不到,因为密林掩蔽了一切,而他自己的军队如 果犯了错误,敌人是能够察觉的;敌人能够随心所欲地从任何地点出其 不意地攻击他的军队,因为主动权操在他们手里。[4]另一方面,在 他看来,即使他能够迫使敌人在林深菁密的区域进行肉搏战,那么熟悉 地形的小部队比不熟悉地形的大兵团也拥有优势。他自己的军队,数目 虽多,但也可能在不知不觉中被消灭掉,因为视线被遮挡,各队士兵之 间无法相互援助。

    30 德摩斯提尼的这种估计都是根据他在埃托利亚惨败的经验作出 的,因为以前在埃托利亚作战失败, [24] 部分原因是由于树林的影响。 [2]事有凑巧,岛上的士兵因为地面狭小,只好麇集于该岛的一隅。 他们在那里用餐,并且安排了哨兵,以防敌人的袭击。其中一个士兵一 不留神,把一小片树林给烧起来了;随后起风,无意之中差不多把全部 树林都烧光了。[3]现在,德摩斯提尼才弄清岛上拉栖代梦人的真实 数目,此前他一直以为偷运进来的粮食所供应的人数没这么多; [25] 他 还发现登陆上岛比以前所想象的要容易些,所以他开始准备进行尝试, 他觉得雅典人为达到他们的目的而付出艰苦努力的时候到了。他从邻近 的盟邦征调军队,做好一切备战工作。[4]这里,克里昂派人告诉德 摩斯提尼,说他马上就到那里,他统率着按他的要求配备的军队来到派 罗斯。经过会商以后,两位将军首先派一名传令官到大陆的营寨去,问 拉栖代梦人,如果他们想避免冲突的话,就应该命令在岛上的人缴械投 降,雅典人将在缔结总的和约之前,只是把他们温和地拘留起来。

    31 这个提议遭到对方的拒绝。雅典人等了一天。第二天,他们的 全体重装步兵分乘几艘舰船,夜里出发,黎明前从大海和港口两方面向 岛上登陆,登陆时总兵力约800人,是清一色重装步兵。他们突然向岛 上的第一个据点发起进攻。[2]岛上敌人的兵力是这样部署的:在第 一个据点大约配备有30名重装步兵;中部即有水源的平缓地带,由指挥 官爱皮塔达斯率主力驻防;一个小支队驻守在岛屿的面向派罗斯的一 端,那里陡壁悬崖,深入海中,从陆地上来进攻是很困难的。那里还有 一个古时候的堡垒,是用石头粗陋地搭建起来的。 [26] 一旦他们被迫退 却的话,他们认为这个堡垒也许对他们有用。这就是敌人的兵力部署情 况。 [27] 32 雅典人登陆后全速冲向敌人,敌人或在睡觉,或正准备抵抗。 驻守在第一个据点的敌人很快被消灭了。登陆行动出乎敌人的意料之 外,他们以为雅典舰船的移动不过是像平常那样,开向晚间歇宿的地方 而已。 [28] [2]天一亮,其余的军队也登陆了。这些军队包括79艘舰 船的桡手(最底层的桡手除外 [29] ),他们以各自的方式武装自己;还 有800名弓箭手、800名轻盾兵、美塞尼亚的增援部队以及派罗斯周围所 有值勤的部队,只有驻守在要塞的军队除外。[3]在德摩斯提尼的指 挥下,他们大约每200人分为一队,有的多些,有的少些,他们都尽可 能地占领制高点,目的是想四面包围敌人,使其无力作战,没有一个被 攻击的地方可实施反击。敌人在各方面都处于重兵射程之内:如果他们 进攻前面,后面就会遭到射击;如果他们进攻一翼,另一翼就会向他们 射击。[4]总之,无论他们走到哪里,后面都会有雅典军队跟踪追 击;雅典人是轻装步兵,却是最难对付的。因为他们的箭、标枪、石 头、弹弓都能有效地远距离施射,所以无法和他们近身进行肉搏战;甚 至逃跑也是对雅典人有利的,追击者一停下,他们马上回过头来予以重 击。这是德摩斯提尼原订登陆计划所设计的作战策略,这些在这次作战 中都实施了。

    33 爱皮塔达斯所指挥的军队是岛上拉栖代梦人的主力部队,他们 看到前哨部队被打垮以后,一支军队向他们扑过来,于是排成队列,准 备迎击雅典的重装步兵,目的是想和对手展开肉搏战,因为雅典的重装 步兵在他们正前方,而轻装部队排列在两翼和后面。[2]然而他们无 法和雅典的重装步兵交战,或者说,他们无法施展他们特殊的作战技术 优势;因为他们被雅典两翼的轻装兵所投射的武器拦截,而正面的雅典 重装步兵又不肯前来接战,只是固守阵地。虽然他们击退了逼近他们的 雅典轻装步兵,但是雅典人且战且退,因为雅典人的装备轻便,行动起 来很容易在速度上超过敌人。加上这个荒岛上地形复杂,崎岖难行,拉 栖代梦人身披厚重的武装,使他们难以进行运动战。 34 这种交战持续了相当一段时间。后来他们分头突击各个据点, 拉栖代梦人不能和从前一样迅速地迎战了。看到敌人对他们的进攻不能 像从前那样迅速地抵抗,雅典的轻装部队信心大增。他们现在亲眼看到 自己的人数比敌人多出许多倍;他们现在对敌人的情况更清楚了,发现 敌人没有那么可怕,因为他们第一次同拉栖代梦人接战的经验,使他们 知道敌人并没有他们刚刚登陆时所想象的那么可怕。因此,他们由惧怕 敌人变为藐视敌人。他们集合起来,高声呼叫,冲向敌人;他们用石 头、标枪、弩箭以及一切能拿到手的武器,向敌人投射过去。[2]拉 栖代梦人对这种作战方式不习惯,随着攻击而来的高呼声使他们惊慌失 措。新近被烧毁的树木炭灰飞扬起来,遮天蔽日,许多战士投射的石 块、弩箭在尘雾中飞舞,敌人看不清眼前的东西了。[3]拉栖代梦人 在恶战中苦苦地支撑着:他们觉得头盔无法抵挡住箭矢;当他们被标枪 击中时,枪头折断,留在甲胄里面;他们看不见眼前的一切,无法进行 回击;命令的声音被更洪亮的高呼声压倒,听不清楚;到处都有危险, 他们找不出能够使他们获救或自救的方法。 35 最后,拉栖代梦人看到很多人在交战中负伤,因为他们不得不 在这同一个狭窄的地方来回扯动,于是他们组成密集的队形,向岛屿后 端的堡垒退却,那里离他们不远,由他们的同伴驻守。[2]雅典的轻 装部队看到敌人退却了,更加大胆地向前推进,呼喊声也更大了。他们 把所有能够截住的退兵统统杀死,但是大多数拉栖代梦人有条不紊地退 到那个堡垒,和原有的驻军联合起来,部署好整个要塞的防御工作,对 可能受到攻击的地方都加以防卫。[3]雅典人追踪而至,因为地势的 关系,他们无法将要塞完全包围起来。他们从正面进攻,想把要塞轰打 下来。[4]经过很长的时间,差不多在一天的时间内,尽管由于作 战、口渴和日光暴晒,双方军队都已精疲力竭,但都还是坚持下来了, 一方力图把敌人从高地赶走,另一方则力争保住他们的据点。现在拉栖 代梦人的防御工作比以前要容易些了,因为两翼没有围攻他们的军队。

    36 战斗似乎会无限地延续下去。美塞尼亚的将军 [30] 前来对克里昂 和德摩斯提尼说,这样耗费力量是无济于事的。但如果他们同意调拨给 他一部分弓箭手和轻装步兵,他会找到一条通道,绕到敌人的身后,他 认为这样可使敌人措手不及。[2]他们答应了他的请求,他从敌人看 不见的一个地方出发,沿海边的悬崖峭壁向前推进,他所经过的地方又 是拉栖代梦人认为地势险要、不必加以防范的地方。他克服了重重困 难,终于率军来到拉栖代梦人的身后而未被察觉,并且突然出现在后面 的高地上。这个意外的行动使敌人惊恐万状,也使期盼好消息的雅典人 惊喜万分。[3]现在,拉栖代梦人陷于进退维谷的境地。如果把小事 比拟大事,他们现在所处的境遇和德摩比利战役的情况一样。 [31] 在那 次战役中,拉栖代梦人被绕到他们身后的波斯军队消灭了。现在这里的 情况极其相似,拉栖代梦人腹背受敌,难以支撑下去了。对方的人数超 过了他们,粮食不济使他们精疲力竭,拉栖代梦人放弃阵地了,所有通 道都处于雅典人的控制之下。 37 克里昂和德摩斯提尼知道,如果敌人再往后退却,就会被雅典 军队全部歼灭。于是他们下令停止战斗,士兵停止向前推进。他们想在 把拉栖代梦人的士气摧毁之后,把他们活捉起来,送往雅典,因为目前 的危险处境会迫使他们接受劝告,缴械投降的。[2]因此,他们通过 传令官,发布公告,问他们是否愿意向雅典人缴械投降,并且听凭他们 处理。 38 听了传令官的话,大多数拉栖代梦人把盾牌放下来,摇着手, 表示接受了条件。现在,战事结束,克里昂和德摩斯提尼代表雅典人, 与法拉克斯之子斯替丰所代表的拉栖代梦人进行了谈判。因为从前的指 挥官,第一位是爱皮塔达斯,已经阵亡;接下来接管指挥权的是希帕格 里塔斯,虽然还活着,却和死尸躺在一起,大家以为他死了。根据拉栖 代梦人的法律,比斯替丰职位高的两个军官如有不测,位居第三的他应 该出来执掌军事,所以斯替丰就被推举来指挥军队了。[2]斯替丰和 他的同伴们都说他们愿意派遣一个传令官向驻扎在大陆上的拉栖代梦人 请示该怎么办。[3]雅典人不许他们前往大陆,但他们自己要求大陆 方面派传令官来。经过两三次往返询问和答复,最后一位从大陆的拉栖 代梦人那里来的人带来了以下指示:“拉栖代梦人命令如下:你们可以 自行作出决定,但不能做出任何有损于名誉之事。”拉栖代梦人根据这 个指示,聚在一起商量了一下,就缴械投降了。[4]当天白天和晚 上,雅典人都在监视他们;第二天雅典人在岛上竖立了一块胜利纪念 碑,并且准备返航,他们把俘虏们分配给各舰舰长负责监视。大陆上的 拉栖代梦人派来一名传令官,收回阵亡者的尸体。[5]阵亡和俘虏的 人数如下:原来渡海来该岛的重装步兵共420名 [32] ,其中被活捉后送 往雅典的有292名,其余的都在战斗中被杀死了。在俘虏中有120名斯巴 达人。 [33] 可是,雅典人损失很小,因为在这次战役中未发生肉搏战。

    39 围攻的时间,从海战到岛上的陆战,总计72天。[2]在派出使 者进行谈判的20天内,被围者所需要的粮食是准许其运入的,在其他时 间内,粮食是偷运进去的。岛上发现有谷物和其他食物,指挥官爱皮塔 达斯发给每个人的口粮,其数量比应有的配额要少些。[3]现在,雅 典人和伯罗奔尼撒人都把其军队撤离派罗斯,各自回国去了。克里昂的 承诺虽然是乱发狂言,但总算是兑现了:在20天之内,正如他发誓要做 到的,把岛上的人活捉回雅典了。

    40 这件事在希腊世界所引起的震惊超过战争中所有其他事件。因 为人们普遍认为,不管是饥饿还是其他强制力量,都不可能使拉栖代梦 人缴械投降。他们总是会坚持战斗,直到生命的最后一刻。[2]的 确,人们很难相信,投降的人和战死的人是同样勇敢的人。后来,雅典 的一个同盟者讥笑一个在岛上被活捉的俘虏,问他是不是只有那些死在 战场上的才是真正勇敢的拉栖代梦人。 [34] 俘虏回答说:箭头如果能够 识别勇敢的人和胆怯的人,那它的价值就大了。这个答复告诉人们,阵 亡者只是那些被石头和箭头偶然击中的罢了。

    41 俘虏被运送到雅典,雅典人决定把他们关押起来,直到缔结和 约时再行发落;如果在战事还没有结束的时候,伯罗奔尼撒人入侵阿提 卡的话,他们就准备把这些俘虏推出去斩首。[2]他们在派罗斯派驻 一支军队,而诺帕克图斯的美塞尼亚人把他们一部分最精锐的部队也派 往派罗斯,因为派罗斯原本是属于他们的祖国美塞尼亚的领土。这些军 队时常侵袭拉哥尼亚的领土,在当地造成很大的危害,因为美塞尼亚人 是和当地居民操同一种方言的。[3]拉栖代梦人此前对这种游击战是 没有经验的。他们发现,黑劳士开始逃亡了。他们害怕国内的革命运动 会继续蔓延,因而深感不安。他们虽然不愿意把这种恐慌情绪透露给雅 典人,但他们还是派使者来到雅典,要求雅典人交还派罗斯和那些俘 虏。但是雅典人的目的是想取得更多的利益,所以使者频频出使雅典, 而雅典人却总是让他们一无所获,空手而回。派罗斯事件的经过就是这 样。

    [1] 公元前425年。 [2] 参阅修昔底德,III. 115。 [3] 参阅修昔底德,III. 115。 [4] 参阅修昔底德,III. 85。 [5] 参阅修昔底德,III. 114。 [6] 约合74千米。 [7] 往年都是在谷物成熟的时候入侵阿提卡的,大概可以取得一部分军粮。 [8] 参阅修昔底德,IV. 2。 [9] 参阅地图四和图10。译者也去该地考察过。近代以来,学者们几乎都认为修昔底德所说的派罗斯港 就是现在的那瓦里诺湾(Bay of Navarino)。斯法克特里亚(或斯法吉亚,Sphagia)岛横亘在那瓦里诺海湾西 侧,形成南入口和北入口两个海峡。但是斯法吉亚岛之南的海峡,现在的宽度超过1200米,在当时也一定是这 样宽的,这就与修昔底德的记载不符,因为描写的宽度“只能容许八九条船同时并行”,实际上希腊100条并行 出入也绰绰有余。显然,修昔底德对这个地方是不熟悉的。关于斯法吉亚之北的海峡,1895年8月曾在此作过 实地调研两周之久的英国学者G. B. 格兰狄认为,北部的入口在修昔底德斯时代是封闭的,而修昔底德似乎完 全不知道这个事实。参阅格兰狄:《斯法克特里亚和派罗斯区域地形考察》(G. B. Grundy, “Investigation of the Topography of the Region of Sphactria and Pylos”),《希腊研究杂志》(Journal of Hellenic Studies ),第16 卷,第l—54页。参阅史译本,第2册,第220—221页。 [10] 约合2800米。据现代学者测量,长约4400米。修氏记载有误差。 [11] 即入口之北的西部海岸。 [12] 总共只有3艘战舰。本来留给他5艘(IV. 5),其中2艘派出到扎金苏斯求援去了。—史译本注 [13] 关于伯拉西达,参阅修昔底德,II. 25,85;III. 69。 [14] 和约条款序号为英译者所加。 [15] 1夸脱=2品脱=1.1365升(干量)。 [16] 意即战场上的情况变化无常,胜负难料;无论胜负,人们都必须接受它。 [17] 即和平、结盟、友谊。参阅修昔底德,IV. 19。 [18] 即在雅典瘟疫爆发和伯罗奔尼撒人第二次出兵阿提卡之后(公元前430年)。参阅修昔底德,II. 59。 [19] 参阅修昔底德,I. 115。 [20] 参阅修昔底德,IV. 1。 [21] “卡里布狄斯”,希腊文原意通常为“旋涡”“湾流”,有时特指西西里岛和意大利之间的狭窄海面。 [22] 该岛朝向大海一边没有可以停泊的地方(IV. 8)。所以吃饭的时候,一部分桡手登陆吃饭,其余 的仍在船上保持警戒。 [23] 昭译本提及混合食品中有“罂粟”。 [24] 参阅修昔底德,III. 97 — 98。 [25] 参阅修昔底德,IV. 16。 [26] 就是用天然石块搭建起来的。 [27] 参阅地图四。 [28] 参阅修昔底德,IV. 23。 [29] 三列桨战舰桡手分上中下三层,底层桡手54人,中层54人,上层62人。按照修昔底德的说法,在岛 上登陆的雅典军队人数当在1万以上。 [30] 根据波桑尼阿斯的说法(IV. 26),这个将军名叫科梦(Comon)。—史译本注 [31] 参阅希罗多德,VII. 213。 [32] 谢译本(第290页)为“440名”。 [33] 岛上的拉栖代梦人包括斯巴达人和皮里奥西人,这里的120名就是斯巴达人,即斯巴达公民。如果 把拉栖代梦人译为斯巴达人,此处译文就较难处理。参阅修昔底德,III. 92及附注;谢译本,第290页。 [34] 意思是说,活下来的都不是勇敢的人。

    第十三章 战争的第七年和第八年。科基拉革命的终 结。革拉和约。攻克尼塞亚。

    42 同年 [1] 夏季,在上述各事件发生之后不久,雅典派遣远征军, 攻入科林斯的领土。远征军计有舰船80艘,雅典重装步兵2000名,骑兵 200名(马匹是用舰船运送过去的)。一同参加远征的,还有来自米利 都、安德罗斯和卡利斯图的同盟军。尼基拉图斯之子尼基阿斯和其他两 名同僚是远征军的指挥官。[2]这支军队扬帆出海,黎明时分,他们 在刻尔松尼苏斯和雷图斯之间的海滨登陆,那个地方地处索利吉亚山脚 下。古时候, [2] 多利斯人占领了这个山冈,向城里的科林斯人发起进 攻。那时科林斯的居民是埃奥利斯人,现在山上有一村庄名叫索利吉 亚。远征军登陆的这个地方距该村庄约有12斯塔狄亚 [3] ,距科林斯约 60斯塔狄亚 [4] ,距地峡约20斯塔狄亚 [5] 。[3]科林斯人早就从阿尔 哥斯得到情报,知道雅典军队即将来攻,于是,除去在地峡以北的居民 和驻守安布拉基亚和琉卡斯的500名士兵 [6] 以外,其他所有的军队都早 早地集中到地峡一带,以防备雅典人登陆。[4]但是雅典人是在夜里 登陆的,没有被驻防军发现。科林斯人看到燃起的烽火,得知雅典人登 陆了。他们把军队的一半兵力留在肯克里埃 [7] ,万一雅典人袭击克隆 米昂 [8] ,也好策应。其余的军队全速开出,抵御侵略者。

    43 在科林斯方面指挥作战的两位将军中,有一位名叫巴图斯,他 率领一队士兵防守索利吉亚村庄,因为那个村庄没有城墙防护。另一位 将军吕科弗隆率余下的军队投入战斗。[2]起初,科林斯人攻击在刻 尔松尼苏斯半岛正面登陆的雅典军的右翼,后来与雅典全军交战。这场 战斗自始至终都是短兵相接的肉搏战。[3]雅典军的右翼和阵线最右 端的卡利斯图人费了很大气力才把科林斯人打退。科林斯人退到他们后 面高地上的一堵石墙边,居高临下,向雅典人猛掷石块,高唱凯歌,然 后又开始反攻。雅典人抵挡住这轮进攻,双方又转入肉搏战。[4]这 时,另一支科林斯的军队来增援他们的左翼,他们打败了雅典军的右 翼,把他们驱逐到海上,雅典人和卡利斯图人又一次从船上把敌军击 退。[5]与此同时,双方其他的军队也都奋勇作战,尤其是科林斯人 的右翼,在吕科弗隆的指挥下迎击雅典军左翼;他们料到雅典人在那里 会设法突破防线,进攻索利吉亚村庄的。

    44 双方对峙了很久,彼此坚守阵地,没有退缩。雅典人的优势是 有骑兵助阵,而科林斯根本没有骑兵,最后科林斯人溃败了,退到山冈 上,停顿下来,没有慌乱,也没有试图反攻。[2]他们的伤亡,包括 他们的将军吕科弗隆在内,大都是在他们右翼溃退时发生的。其余的军 队,也是这样溃退的,没有受到猛烈的追击,没有严重的慌乱,他们撤 退到高地上,稳住了阵脚。[3]雅典人看见敌人不再出来交战,就剥 下敌军死者的衣服,收回本方阵亡者尸体,马上竖立了一块胜利纪念 碑。[4]这时,留守在肯克里埃以防雅典人从海上进攻克隆米昂的科 林斯的那一半的军队,尽管因为奥内昂山的遮挡而未能看到战事的情 况,但是他们看到尘雾冲天,知道发生了什么事,便立即前来援助;科 林斯城中年纪较大的人看到这种情况,也赶来了。[5]雅典人看到许 多人前来攻击他们,以为他们是从邻近的伯罗奔尼撒诸邦开来的援兵, 就赶忙退却到舰船上,将战利品运走了。除开两名阵亡者的尸体没找 着,其余雅典阵亡者的尸体都带走了。[6]他们回到船上,驶往附近 的一些岛屿,从那里派出一名传令官,借休战的掩护,把留下来的尸体 寻着了。在这次战役中,科林斯人有212人阵亡,雅典人的阵亡人数不 足50名。

    45 雅典人从海岛出发,当天开到科林斯境内的克隆米昂,那个地 方距科林斯城约120斯塔狄亚 [9] 。他们在那里停泊,把那个地方破坏 了,在那里过了一夜。[2]翌日,先是沿爱皮道鲁斯的海岸航行,在 那里登陆,又来到爱皮道鲁斯和特洛伊曾之间的麦萨那,他们在那里修 筑了一条横贯地峡的城墙,把这个半岛和大陆隔开了。他们留下一支军 队驻守在这里,后来这支军队在特洛伊曾、哈利埃和爱皮道鲁斯的领土 进行袭掠。麦萨那的设防工作完成以后,雅典舰队就启程回国。

    46 在上述事件发生的同时,攸里梅敦和索福克勒斯 [10] 率领雅典舰 队离开派罗斯向西西里进发。他们到达科基拉,偕同城里的当政者 [11] 进攻驻在伊斯通山的反对党人。这些人就是我前面说过的那些科基拉 人,他们在革命发生以后,渡海来到大陆上,占据了那个地区,给当地 居民造成很大危害。[2]反对党人的堡垒被一举攻破,他们全都逃到 高地上。在高地上,他们接受了下列条件:他们必须交出雇佣兵,缴出 自己的武器,服从雅典人民的裁决。[3]在休战条件下,将军们带着 他们出海,把他们送往普提奇亚岛 [12] 上,拘押在那里,等到将来押送 回雅典;并且声明,如果被拘押的人中间有任何人企图逃走而被拿获 了,就等于是他们全都破坏了休战和约。[4]而科基拉的民主党领袖 担心将这些人送到雅典后,雅典人不杀他们,于是就策划了下面的阴 谋:[5]他们秘密地派遣少数俘虏的朋友前往岛上,告诉他们,说为 了他们自己的利益,最好是赶快逃跑,他们可以提供一条船;并且说, 他们这样做是因为雅典将军准备把他们移交给科基拉人民。

    47 俘虏们终于被说服了。当他们登上别人为他们提供的船时,全 都被捉获了。休战和约立即失去效力,全体俘虏都被移交给科基拉人处 置。[2]造成这种结果主要是应当由雅典的将军们负责的。因为很明 显,他们要前往西西里,押送俘虏回雅典的荣誉要由别人获得,这是他 们所不愿意的;他们这种态度鼓励了密谋者策划阴谋,并且使俘虏们更 容易听信阴谋制造者的话。[3]俘虏到了科基拉人手中以后,全都被 关在一个大屋子里,随后就把他们每20人一组带出去,捆在一起,要他 们从两排重装步兵中间穿过;如果两排重装步兵中间有人发现俘虏中有 他的私人的仇敌,就加以殴打和戳击,手执鞭子的人在俘虏队伍的旁 边,驱赶他们,对那些走得慢的人加以鞭笞。

    48 大约有60名俘虏这样被带出去戳死以后,大屋子里的人才如梦 方醒,他们原以为这些人只是从一个监狱提到另一个监狱而已。但是后 来有人把实情告诉了他们,他们才恍然大悟,他们要求雅典人亲手把他 们杀死,如果雅典人愿意的话。他们不肯离开那个屋子,并且说,他们 将尽力阻止别人进去。[2]科基拉人无意从门口攻入。他们登上屋 顶,把屋顶拆毁,将瓦片和箭从上面向屋内投射,俘虏们尽力保护自 己。[3]同时,大多数俘虏都以敌人射下来的箭头刺入自己的喉咙, 或用从床上寻得的绳索,或将自己的衣服撕成布条,自缢而死。一句 话,他们采用各种各样的办法自绝,同时也常常被屋顶上的人射杀。夜 里,惨剧在继续上演,直到后半夜他们全都被杀死为止。[4]天亮以 后,科基拉人把这些尸体横七竖八地甩到货车上,运往城外。在堡垒里 捉获的妇女被卖为奴隶。[5]山里的科基拉人被民主党人用这种方法 消灭了。就这次战争期间而论,这场持续这么久的革命终于结束了。同 时,雅典人航行去了西西里,那是他们原来的目的地;在那里,他们和 自己的同盟者并肩作战。

    49 这个夏季之末,诺帕克图斯的雅典人和阿卡纳尼亚人出征阿纳 克托里昂,它是位于安布拉基亚海湾口上的一个科林斯人的城市。他们 利用内应攻下这座城市。来自安布拉基亚各部族的殖民者从安布拉基亚 各地移居到那里,占领了那个地方。夏季就这样结束了。

    50 接着在冬季里, [13] 阿基浦斯之子阿里斯提德斯 [14] ,他是雅典 舰队赴各盟邦去征收贡金的指挥官之一,他在斯特里梦河畔的爱昂地 方,捉获了一个名叫阿塔佛涅斯 [15] 的波斯人,当时这个波斯人正在从 波斯国王那里前往拉栖代梦的途中。[2]这个波斯人被带到雅典,他 随身携带的文书都由雅典人从亚述文字 [16] 翻译出来读过了,文书里谈 到许多问题,而核心问题是告诉拉栖代梦人,波斯国王弄不清他们所要 求的究竟是什么,因为他们多次派到国王那里去的使者各有各的说法。 如果拉栖代梦人要想明确说明他们的想法,最好是派遣使者随这个波斯 人一同前往波斯。[3]后来,雅典人让阿塔佛涅斯乘一艘三列桨战舰 返回以弗所,并派出几名使者一同前往。在以弗所,他们听说薛西斯之 子阿塔薛西斯恰恰在那时驾崩,便返回雅典。 [17]

    51 在同一个冬季里,开俄斯人按雅典的命令拆毁了他们新修筑的 城墙,因为雅典人怀疑他们正在策划叛乱。但是他们首先得到雅典人的 保证,维持现状,像从前一样对待他们。冬季就此终结,修昔底德所写 的第七年的战事也就此结束了。

    52 翌年 [18] ,夏季刚刚开始,就在新月出现期间,发生日偏食; [19] 就在同一个月初,又发生一次地震。[2]同时,从米提列涅和列斯 堡其他地方被放逐的人们,得到伯罗奔尼撒的雇佣兵和在当地招募的军 队的帮助,他们中的大多数从大陆出发,攻取了罗艾特昂;他们对罗艾 特昂未加以破坏就撤离了,只是索取了2000佛凯亚斯塔特 [20] 的赎金。 [3]之后,他们进攻安坦德鲁斯,利用内应攻下这个地方。他们的计 划是想把以前为米提列涅人所有而现在归雅典人掌握的安坦德鲁斯以及 其他阿克泰亚诸城镇 [21] 都予以解放,而首先是要解放安坦德鲁斯。因 为一旦占领这个地方,就取得了制造舰船的所有的便利条件:伊达山近 在咫尺,那里有丰富的林木,也有大量的其他资源;如果以此为基地, 他们可以轻易地袭掠相距不远的列斯堡,也容易征服大陆上的埃奥利斯 诸城镇。这就是这些流亡者的计划。

    53 在同一个夏季里,雅典人的60艘舰船、2000名重装步兵、少量 骑兵以及从米利都和其他地方调集来的同盟军,在尼基拉图斯之子尼基 阿斯、狄伊特列弗斯之子尼科斯特拉图斯和托尔马尤斯之子阿乌托克利 斯的统率下,远征基塞拉。[2]基塞拉位于马利亚海角的对面,是拉 哥尼亚海岸附近的一个岛屿。岛上的居民都是皮里奥西阶层的拉栖代梦 人。 [22] 每年,斯巴达派来一位被称作“行政官”的官员,也经常派遣重 装步兵屯驻在那里。拉栖代梦人对于这个地方是重视的,[3]因为从 埃及和利比亚来的商船都要在那里停泊;同时,它是拉哥尼亚的一道屏 障,可使之免遭海盗的袭扰。这是一个易于遭受攻击的地方,因为整个 拉哥尼亚海岸是突入西西里海和克里特海之间的。

    54 这样,雅典军队攻入基塞拉。这些军队包括10艘舰船、2000名 米利都重装步兵 [23] ,他们从海上攻占了被称为斯坎代亚的城镇 [24] ; 其余的军队在面向马利亚一方的海岸上登陆,进攻基塞拉的下城 [25] , 他们在那里发现所有的居民都在那里安营扎寨。[2]双方接战,基塞 拉人在阵地上坚守了一阵儿,就溃败了。他们转身逃往上城。后来,他 们与尼基阿斯及其同僚们谈好条件,同意在保证他们生命安全的条件 下,接受雅典人的裁决。[3]尼基阿斯和基塞拉部分居民之间的商谈 早就开始了,这使得基塞拉人以更快的速度投降,而投降的条件对于基 塞拉人而言,无论是现在还是将来,都是更为有利的。不然的话,雅典 人考虑到他们是拉栖代梦人,而这个岛和拉哥尼亚又是这么接近,就会 把他们驱逐出岛的。[4]基塞拉人投降以后,雅典人占领了港口附近 的斯坎代亚城镇,指派了驻防军留守基塞拉,然后就起航到阿辛、希洛 斯 [26] 和海岸上大多数地方,在方便的地方登陆并且停泊过夜。他们大 约花了7天的时间,连续不断地破坏这些地方。

    55 拉栖代梦人看到雅典人征服了基塞拉,料想他们也会在自己的 海岸登陆的。但是他们没有大规模地集结军队以抗击雅典人,而只是将 防守的重装步兵布置在国内各地,其数量依照各地的实际需要而定,他 们一般都是采取守势的。在斯法克特里亚岛的严重的意外灾难降临到他 们身上之后,派罗斯和基塞拉相继落入雅典人手中;他们在各方面都处 于战争阴影的笼罩之下,敌人行动迅速,防不胜防,而他们一直都害怕 国内发生革命。[2]于是,他们采取非常措施,召集400名骑兵和一队 弓箭手。但他们在军事行动中比过去任何时候都更加缩手缩脚,因为他 们所面临的局势超出了他们现有的军事组织系统,他们是在海上作战, 对手是雅典人。雅典人觉得,他们一刻不进攻别人,就会牺牲那一刻建 功立业的机遇。 [27] [3]同时,近期命运多变,多灾多难,而且都出 乎他们的意外,这使拉栖代梦人胆战心惊。他们总怕还有别的灾难会同 斯法克特里亚的灾难一样,降临到他们身上。[4]因此,他们在两军 阵前,精神不振,他们以前没有遭受过磨难,因而完全丧失了自信,认 为只要一有军事行动,就又要遭到失败。

    56 因此,拉栖代梦人坐视雅典人在他们的沿海地区进行破坏,未 采取任何抵抗行动。无论在哪一支防军守御的地区发生登陆事件,防军 的态度都一样,以为自己兵力不够,不能出来迎战。只有一支防军在科 提尔塔和阿芙洛狄西亚附近进行了抵抗,他们的冲锋使敌军一群分散的 轻装步兵感到惊恐。但是在和敌军的重装步兵交锋时,他们又被打败 了,损失了少数士兵,遗弃了一些武器。雅典人在那里竖立了一块胜利 纪念碑,然后离开那里,驶往基塞拉。[2]又从基塞拉起航,环绕爱 皮道鲁斯·利米拉的海岸航行,破坏了该地区的部分地方以后,来到泰 里亚,它属于基努里亚地区,地处阿尔哥斯和拉哥尼亚的边界上。这本 是拉栖代梦人的领土,但他们把它让与被驱逐的埃吉那人居住。因为埃 吉那人在地震和黑劳士暴动时,曾经帮助过他们;还因为他们虽然是雅 典的臣民,但总是站在拉栖代梦一边的。

    57 当雅典人还在海上航行的时候,埃吉那人放弃了正在海岸边建 筑的要塞,退至他们所居住的上城,上城距海边大约10斯塔狄亚 [28] 。 [2]这里原来有一支拉栖代梦人的驻军,协助他们建筑要塞。现在他 们请求驻军和他们一起进入上城,但驻军以固守城垣处境危险为由,拒 绝了他们的请求。这支驻军退到一块高地上,觉得他们的力量难以御 敌,就据守在那里,按兵不动。[3]这时,雅典人登陆了,他们全军 向泰里亚城进发,占领了泰里亚。他们把城内的财物洗劫一空,然后把 城市付之一炬。在交锋中未被杀死的埃吉那人,以及在交战中负伤被俘 的他们的拉栖代梦的指挥官,帕特罗克利斯之子坦塔鲁斯,都被雅典人 带回雅典。[4]他们也把少数基塞拉人带回雅典,认为把这些人移走 是最安全的。雅典人决定把他们安置在诸岛屿上,其余的基塞拉人可以 继续居住在自己的土地上,但是要缴纳4塔连特 [29] 的贡金;被俘获的 埃吉那人都被杀死了,因为雅典人和他们有深仇大恨;坦塔鲁斯则和从 斯法克特里亚俘虏回来的拉栖代梦人关押在一起。

    58 在同一个夏季里,在西西里,卡马林那人和革拉人首先缔结了 一个休战和约。之后,西西里其他各邦的代表到革拉集会,讨论是不是 可以达成和解的问题。代表们各抒己见,有的支持,有的反对;他们对 于他们认为没有得到公平处理的各种问题,都提出了他们的控诉和要 求。他们当中最有影响的人物,叙拉古人赫尔蒙之子赫摩克拉特斯在会 议上发表了演说。他说: 59 “西西里人啊,我现在对你们发表讲话,并不是因为我所代表的 城邦是西西里最弱小之邦,也不是因为叙拉古是遭受战祸最深重的城 邦,我是为了我们共同的利益来发言的。我认为,我所提出的意见对于 整个西西里来说,都是最有利的。[2]战争的祸害是尽人皆知的,我 用不着把这些祸害来分条细说。没有人是浑浑噩噩地被卷入战争的;或 者,如果他认为战争是有利可图的事业,他就不会因为畏惧而置身于战 争之外的。事实上,对于前者而言,认为他所得到的利益似乎超过所遭 受的损害,而对于后者而言,则宁愿冒着危险而不愿忍受一时的损失。 [3]假如两种人恰好在这些问题上作出错误的选择,那么,奉劝人们 达成和解还是有些益处的。我想,当我们开始准备投入战争的时候,毫 无疑义,我们都是想扩大自己的利益的。现在,我们也为了同样的利 益,来探讨如何才能达成和解。如果我们每个人都认为自己未获得理应 得到的一切,那么,我们将再一次被卷入战争的旋涡之中。

    60 “然而,作为明智的人,我们应当清楚这个会议不单单是为了各 自的私利而召开的;我们是否还有时间保全整个西西里,也是很成问题 的。依我看,雅典人的野心对整个西西里已经构成威胁。我们必须考虑 到,使我们聚集一堂就这些问题进行讨论的一个更为令人信服的因素, 是雅典人。他们是希腊头号军事强国,他们有少数舰船在我们的海域, 窥视我们的错误。虽然他们和我们本来就是势不两立的敌人,但是他们 总是借法律上的同盟关系之名,力图把事务安排得对他们有利。[2] 如果我们内部开始争斗,招引雅典人进来—即使不邀请他们,他们也是 随时准备出兵干涉的—如果我们花费自己的金钱来伤害我们自己,同时 为他们在这里称霸铺设道路的话,那么可以预料的是,当雅典人看见我 们精疲力竭了,他们就会带着更多的军队来,设法把我们全都置于他们 的统治之下。

    61 “但是,如果我们还算明智的话,我们应当结为同盟,这样做虽 有危险,但其目的无非是通过获取本不属于我们自己的东西,使我们各 邦富裕起来,而不是要毁灭已经属于我们所有的东西。我们应该懂得, 内部纷争是各城邦衰亡的主要原因,西西里的情况也同样如此—如果我 们西西里的居民彼此争斗,并且忽视我们的共同敌人的话。[2]有鉴 于此,我们个人与个人之间,城邦与城邦之间,要精诚团结合作,以拯 救整个西西里。任何人都不应抱有这样的观念,以为我们中间唯有多利 斯人才是雅典的敌人,而卡尔基斯人很安全,因为他们有伊奥尼亚人的 血统; [30] [3]雅典人攻击我们,不是因为他们对两个民族当中的一 个怀有仇恨,而是因为他们对西西里的好东西—我们所共同拥有的物产 —垂涎三尺。[4]这一点可以从他们接受卡尔基斯的邀请一事中得到 证明:卡尔基斯人 [31] 从来没有依照他们和雅典人所订的条约,为雅典 人提供援助。但是雅典自愿地热心提供援助,甚至超出了条约所规定的 义务。[5]雅典人既有这样的野心,也一定会据此推行其扩张政策, 这是完全可以理解的。我绝不是谴责那些希望统治别人的人,而只是谴 责那些早早地准备屈服于别人的人。人就是要统治那些屈服于他们的 人,正如他们要抗击那些无故侵扰他们的人一样。这恰恰都是符合人的 本性的。[6]如果有人知道这些危险,而不肯采取适当的措施加以防 范,或者到这里来的人们如果没有把我们必须团结起来对付威胁我们的 共同的危险当作头等大事的话,那么,他们就错了。[7]解除这个威 胁的最快捷的途径,就是我们彼此之间达成和解;因为雅典人不是从自 己的本土出发向我们进攻,而是从邀请他们到这里来的那些城邦的领土 上向我们进攻的。我们不能再这样以发动一场战争来结束另一场战争, 而应当冷静地以和解来结束我们之间的争端;而那些被邀请来这里调解 争端的人们,他们有一个合乎情理的借口,希图达到他们不良的目的, 现在他们未能达到目的,便有充分的理由离开这里了。

    62 “从雅典人方面来说,这些是我们采取明智决策的最大的益处。 [2]至于和平问题,那是人人都渴望的首要的幸事,为什么在我们中 间不能建立和平呢?假如你们当中的一个人享受到某种幸福,而另一个 人在艰难地劳作,要保全前者的利益,解除后者的苦难,难道和平不是 比战争更为有利吗?和平要多些荣誉,少些危险,和平还有数不胜数的 好处,正如战争有数不胜数的坏处一样,事实难道不是如此吗?这些事 情都是你们要考虑的,你们不应该忽视我的劝告,为了保全你们每个人 的生命,你们应该珍视我的忠言。[3]如果这里有人相信他可以通过 坚持公理或求诸暴力以达到某些目的的话,那就让他不要因为失望而过 于伤心了。他应当知道,过去有许多人想惩罚作恶者,但是他们既未能 惩罚他们的敌人,甚至也未能保全他们自己;过去许多人相信武力能够 使他们获得某些利益,但是,他们非但未能获取更多的利益,反而注定 要失去他们已拥有的东西。[4]对作恶者的报复不一定会取得成功, 因为坏事已经做过;单纯相信武力,而武力也不一定是靠得住的。至于 将来,我们的计划大都要受制于将来的不可预测的因素。正是这些不可 预测的因素常常蒙蔽了我们,所以事实上它对于我们是最有用处的,因 为我们大家都同样地惧怕它,因而我们在彼此攻击之前,就要慎重考虑 了。

    63 “现在我们所惧怕的有两件事情:一是对于不可预测的将来的无 限恐惧,一是对雅典人到来的现时的恐惧。这样,我们每个人如果没有 完全获得他想获得的一切的话,那是很自然的。让我们把正在威胁我们 的敌人逐出我们的领土吧!如果我们之间不能订立一个永久性的和平条 约,至少也要让我们在一个尽可能长的时期内,言归于好,把我们彼此 之间的争端推迟到另一个时期去解决。[2]总之,我们要认识到,如 果听从我的忠言,我们将各自保持我们城邦的自由,让我们成为自己命 运的掌握者,能够以德报德,以恶报恶;反过来说,如果不采纳我的忠 言,我们将处于别人的奴役之下。那时,不仅我们无法对任何人实施报 复,而且即便是最有利的情况也无非是我们被迫把我们的最凶恶的敌人 当作朋友,而把应该当作朋友的人当作敌人。

    64 “至于我自己,我在一开始就说到了,我代表的是一个最强大的 城邦,尽管有可能关心侵略别人的多,关心自卫的少,但是在考虑到将 来的这些危险的时候,我准备作出某些让步,我不赞同为了伤害我的敌 人而使自己遭到更大的伤害;也不至于因为有了仇恨而产生愚蠢的想 法,认为自己既能支配自己的计划,就能控制自己的命运,而命运是我 所不能控制的。我已经准备作出一切合理的让步。[2]我奉劝你们其 余的人也仿效我的做法,彼此让步,而不要等到敌人来强迫我们让步。 [3]对自己的同族人让步—多利斯人让多利斯人,或者卡尔基斯人让 卡尔基斯人,都不是什么不体面的事情;一句话,既然我们彼此相邻, 都居住在同一片土地上,被同一片海洋所环绕,我们就都是西西里人。 我想,将来我们之间会再次发生战争的,到了那个时候,我们会再来协 商,订立和约。[4]但是在我们遇着外部入侵者的时候,如果我们聪 明的话,我们总是会联合起来,抵御外敌的。因为对我们任何一个城邦 的伤害都将危及我们的全体。今后我们绝对不邀请西西里岛以外的同盟 者或仲裁者到我们这里来。[5]这样做,我们现在就对西西里作出两 项贡献:立即解除雅典人的威胁,并且避免了内战。将来我们自由地生 活在本乡本土上,而较少地遭受来自境外的威胁了。”

    65 这就是赫摩克拉特斯的发言。西西里人采纳了他的意见,他们 同意停止内战,每个城邦保持自己原有的领土—卡马林那人占领摩根提 那,付给叙拉古人一定的钱款作为代价。[2]雅典的同盟者召请雅典 的将军们来,告诉他们说:西西里人将订立和约,这个和约对他们这些 雅典人也是适用的。雅典将军们表示同意,和约得以订立。之后,雅典 舰队就离开西西里了。[3]但当他们回到雅典时,雅典人放逐了两名 将军皮索多鲁斯和索福克勒斯,对另一位将军攸里梅敦则科以罚款, [32] 理由是说他们本来是有实力占领西西里的,但是因为受贿而撤离 了。[4]雅典当时的繁盛使雅典人以为他们什么事都能做到,可能的 事和不切实际的事,他们都能够做到,不管他们的势力强大也好,不足 也好。他们各方面的意外成功,使他们产生这种心态,认为凡是他们能 够想到的,就一定能够做到。

    66 在同一个夏季里, [33] 麦加拉城里的人们,在同雅典人的战争中 深受其苦,因为雅典每年全军出动,侵略麦加拉两次。同时,他们也遭 到本邦逃亡到佩盖的人们的袭掠,这些逃亡者是在革命过程中被民主党 人驱逐的。于是,麦加拉人开始议论,是不是最好把逃亡者召回来,以 使麦加拉不致同时遭到两种灾患的磨难。[2]这些被逐者的朋友们注 意到人民当中有这种议论,便更加公开地站出来,鼓动人们接受这个建 议。[3]但是民主党的领袖们知道,民众因当时所遭受的灾患而精疲 力竭,将难以给予他们坚决的支持,所以他们在惊恐之中进而和雅典的 将军们,阿里弗隆之子希波克拉特斯和阿尔基斯提尼斯之子德摩斯提尼 谈判,使麦加拉城投向雅典一边。他们认为,这样做比召回他们所放逐 的党派对他们来说更为安全些。他们一致同意,首先由雅典人派军进驻 长城(从麦加拉城到尼塞亚港的距离大约为 8 斯塔狄亚 [34] ),以防伯 罗奔尼撒人从尼塞亚出兵加以干涉。尼塞亚完全由伯罗奔尼撒军队驻 守,以防止麦加拉叛变。其次,他们再设法把上城交到雅典人手中,他 们认为把麦加拉人争取过来困难不大。

    67 双方拟定了他们所要说的和所要做的计划之后,雅典人在夜幕 的掩护下航往麦加拉附近的米诺亚岛。(见图11)希波克拉特斯率领 600名重装步兵,驻扎在不远处的一个采石场里,建筑城墙的石料通常 取自这里;[2]而另一位指挥官德摩斯提尼,率领普拉提亚轻装部队 和雅典的城防军 [35] 埋伏在恩亚琉斯附近,这里离麦加拉城更近。除了 那些制订这个计划的人之外,那天晚上没有其他人知道这些事情。 [3]天刚蒙蒙亮,麦加拉城内那些出卖麦加拉的人开始行动了。长期 以来,他们每天晚上征得指挥官 [36] 的同意后,都要将载在马车上的一 条轻船沿着壕沟走到海边,佯装要出海袭掠。在黎明前,他们常将马车 上的轻船由城门 [37] 运入城内—据他们说,他们的用意是以此迷惑驻扎 在米诺亚的雅典封锁舰队,因为在海港中根本看不见一条船。[4]就 在马车开到城门前,城门照例打开,让运船的马车进去的时候,雅典人 (事先已和他们约定好了的)看见了,就从埋伏中冲出来,全速奔袭, 以便在城门再关闭之前跑到城门口,使城门无法关闭。与此同时,亲雅 典的麦加拉人开始击杀城门卫士。[5]首先冲进城的是德摩斯提尼及 其所率领的普拉提亚人和雅典城防军,正在胜利纪念碑现在所立之地。 他们刚刚冲进城门,普拉提亚人就和离现场最近的伯罗奔尼撒人交战, 把他们击败了。这些人得知所发生的事情,正在前来营救。普拉提亚人 把守着城门,让雅典的重装步兵开进城内。 图11 萨罗尼克湾

    68 之后,每一位雅典人都迅速地向城墙冲杀过去。[2]起初,少 数的伯罗奔尼撒驻防军坚守阵地,力图对雅典军队实施反击,他们有些 人被杀死了,但是大多数人都逃跑了。由于是夜袭,加上他们发现麦加 拉的叛党也向他们进攻,他们以为整个麦加拉都倒向雅典一边去了。 [3]事又凑巧,雅典的传令官自行高声宣布:凡是愿意倒向雅典一边 的麦加拉人,都来加入雅典人的行列。伯罗奔尼撒人听了这番话,马上 放弃抵抗;他们认为自己遭到雅典人和麦加拉人有预谋的联合攻击,便 都逃往尼塞亚去了。[4]黎明时分,长城被攻陷,城里的麦加拉人处 于十分混乱的状况之中。那些和雅典人私通的人说,他们应当打开城 门,出城作战,其他民主党人也支持这个建议,因为他们是知道这个建 议的用意的。[5]他们已经商量好了,城门一打开,雅典人就冲进城 去,而亲雅典党人头上涂有橄榄油,以与其他人有所区别,使雅典人不 至于伤害他们。现在他们打开城门,就更为安全了,因为按照他们之间 的协议,雅典有4000名重装步兵和600名骑兵从埃琉西斯连夜行军,现 在已经赶到了。[6]当亲雅典党人都在自己头上涂抹橄榄油,来到城 门口的时候,他们的一个同伙把这个计划泄露给反对党人 [38] ,于是反 对党人集合在一起,宣布他们绝不出城作战—就是过去他们的势力比现 在强大的时候,也从未出城作战—也不想使城邦陷于明显的危险之中。 他们还说,如果不听从他们的话,战斗就必然会在城里发生。他们没有 对其他人表示他们知道了这个密谋,但坚定地认为他们的意见是最好 的。同时,他们站在城门口,守着城门,使密谋者无法达到他们的目 的。

    69 雅典的将军们意识到,他们原来的计划出了问题,用武力攻取 麦加拉城是不切实际的。因此,他们立即筑一道城墙封锁尼塞亚;他们 认为,如果他们能够在援兵到来之前攻陷尼塞亚的话,麦加拉就会马上 投降的。[2]他们很快从雅典运来了铁、石匠,其他所需要的一切东 西也都从雅典运来了。雅典人从他们所占领的城墙开始,向着麦加拉一 边修筑一条城墙,直达尼塞亚两端的海边,以切断尼塞亚和麦加拉的联 系。城墙和壕沟分成若干段,由军队各部分别完成;他们在近郊采取石 料和砖,砍伐果树和其他树木,在需要的地方建筑栅栏;近郊也有一些 房屋,他们把这些房屋加筑雉堞之后,有时就成为要塞的一部分。这项 工作整个这一天都在进行。 [3]到了第二天下午,城墙快要竣工的时候,尼塞亚的驻军惊慌 起来了。因为他们没有食物,过去他们是每天从上城取得口粮的;他们 不指望伯罗奔尼撒人会很快地来援救他们;他们认为麦加拉人都是仇恨 他们的。因此,他们就向雅典人投降了。投降的条件如下:他们缴出自 己的武装,每个人都可以用一定的款额赎回;要塞中的拉栖代梦指挥官 以及其他的拉栖代梦人都听凭雅典人处理。[4]根据他们所达成的这 些协议,驻军出城向雅典人投降。雅典人毁掉长城和麦加拉城相连接的 地方,占领尼塞亚,准备下一步军事行动了。

    70 这时候,泰里斯之子伯拉西达,一位拉栖代梦人,正巧在西基 昂和科林斯附近,集结一支军队准备远征色雷斯地区。当他听到雅典人 攻陷长城的消息后,他担心尼塞亚的伯罗奔尼撒驻军的安全,也担心麦 加拉城会失陷,于是,他派人到波奥提亚人那里去,要求他们尽快派军 队来,在麦加里德的革拉内亚山下的特里波狄斯库斯村和他会师。同 时,他亲自率领2700名科林斯重装步兵、400名弗琉斯人、600名西基昂 人 [39] 和他已经征调来的军队一起出发,希望在尼塞亚被攻陷之前到达 那里。[2]当他听说尼塞亚已经失陷了的时候(他连夜行军赶往特里 波狄斯库斯),就从他的军队中选出300精兵,不等敌人知道他的到 来,就避开雅典人的视线(因为雅典人是在海边的),向麦加拉城进 军。他这样做,表面上说是要收复尼塞亚,如果真有可能,他会作尝试 的。但是最重要的,是想进入麦加拉城,以保全这个城市。因此,他请 求麦加拉人让他的军队进入城内,并且告诉他们,说他有希望收复尼塞 亚。

    71 然而,麦加拉城内的两个彼此敌对的党派都害怕了:一个党派 害怕伯拉西达恢复逃亡者的地位而驱逐他们,另一个党派担心民主党人 因为害怕被伯拉西达所驱逐而恢复流亡者的地位,将向他们发动进攻。 这样,埋伏在城外的雅典人将目睹麦加拉城毁于城内的两党之间的斗 争。因此,他们不准伯拉西达进城,两个党派都宁愿维持和平,静观事 态的发展;[2]两个党派都希望坐观雅典人和援军之间发生战斗,认 为等到他们的援军获得胜利后,再和援军会合在一起,那样会更安全 些。伯拉西达在这里没有达到他的目的,就又和其余的军队会合在一 起。

    72 黎明时分,波奥提亚人和他会合在一起了。就在伯拉西达派人 到他们那里去之前,他们已经决定来援助麦加拉人了。因为他们认为麦 加拉的危险就是他们自己的危险,他们全军集合于普拉提亚;而伯拉西 达的使者的到来,更加激励他们作出这样的决定。他们马上派出2200名 重装步兵和600名骑兵来增援,而其他大部分军队返回本土。[2]这 样,全部军队会合在一起,共有6000名重装步兵。雅典的重装步兵在尼 塞亚附近和海边列成阵势,但其轻装步兵却分散在平原地带。这些轻装 步兵遭到波奥提亚人的打击,被驱逐到滨海地带;波奥提亚人的进攻完 全出乎雅典人的意料之外,因为过去从来没有任何地方派遣援兵来帮助 过麦加拉。[3]在这里,波奥提亚的骑兵同样遭到雅典骑兵的打击, 双方交战持续了相当长的时间,后来双方都宣布自己一方获胜。[4] 波奥提亚的骑兵长官和少数随从向前推进,直抵尼塞亚,他们都被雅典 人所杀,他们的盔甲也被剥掉,尸体落入雅典人手中。在休战条件下, 雅典人才把尸体归还给波奥提亚人。雅典人竖立一块胜利纪念碑。就整 个战役而言,双方均未取得绝对优势。波奥提亚人回到自己军中,而雅 典人则返回尼塞亚。

    73 这次交锋之后,伯拉西达和他的军队向更靠近海边和麦加拉城 的地方移动。他们占据一个有利的地势,列成战斗队列,期望着雅典人 向他们进攻。他们知道,麦加拉人在等待着,看哪一方取胜。[2]他 们认为,这种态度似乎有两方面的好处:其一,他们用不着主动进攻, 或者出来冒险作战,因为他们明确表示他们只准备自卫,这样他们几乎 没费什么气力就被公认为获胜了;其二,这样做也是颇合乎麦加拉的利 益的。[3]因为如果他们不做出这样一种姿态的话,他们就没有机 会,他们一定会被认为是战败了,马上就会失去麦加拉。事实上,雅典 人也许不想接受挑战,因为他们根本用不着战斗,就已经达到了他们的 目的。[4]事情的发展果真如此。雅典人列阵在长城之外,伯罗奔尼 撒人没有向他们发起进攻,他们也就留守在自己的阵地上;他们的将军 们还认为在不平等的条件下发起进攻,未免太冒险了。事实上,他们的 大多数目标已经实现。现在他们向人数占优势的敌人发起进攻,即使取 胜,也不过是取得麦加拉城,而一旦战败,他们的重装步兵的最精锐部 分将遭到毁灭。另一方面,敌人的情况就不同了。这支军队是由各邦的 分遣队组成的,每个分遣队只担负全军的一部分危险,因而他们表现得 更加勇敢,也是不足为奇的。两军对峙了相当长的时间,任何一方都不 主动进攻。雅典人回到尼塞亚,伯罗奔尼撒人随后也回到他们原来驻扎 的地方。现在麦加拉的同情流亡者的人们消除了疑虑,他们打开城门, 迎接伯拉西达和各邦的指挥官进城,开始商讨有关的问题;他们认为伯 拉西达是胜利者,雅典人不愿意再战了,而亲雅典党人这时却惊恐起 来,不敢妄动了。

    74 后来,伯拉西达遣散了同盟者的分遣队,让他们各自回国,而 他自己则回到科林斯,在那里继续准备原定对色雷斯的远征。[2]雅 典人也回到国内,麦加拉城内的大多数与私通雅典人有牵连的人知道他 们已被发觉,马上溜掉了,其余的人和流亡者的友人谈判,召回在佩盖 的流亡者。流亡者宣誓:他们只能为城邦谋求最大的利益,绝对不报复 既往的私仇。[3]但是流亡者当政之后,他们检阅重装步兵,把军队 分别派往各地。他们从他们的私敌中选出100名和雅典人私通有重大嫌 疑者,强迫公民大会对他们进行公开表决宣判。在这些人被判处死刑之 后,他们在麦加拉建立了极端的寡头政体。人数如此之少的同党通过党 派斗争的胜利而实现政体变更,[4]并且维持了这么长的时间,还从 未有过这样的先例。

    [1] 公元前425年。 [2] 指多利斯人在赫拉克利斯的子孙的率领下,攻占伯罗奔尼撒的时候。参阅修昔底德,I. 12。 [3] 约合2200米。 [4] 约合11千米。 [5] 约合3700千米。 [6] 其中300名已于上年冬季被派往科林斯的殖民地安布拉基亚去了。参阅修昔底德,III. 64。 [7] 科林斯东边一海港,距科林斯城约13千米。 [8] 科林斯地峡和麦加拉中间海岸线上的一个重要地方,离科林斯城约22千米。传说提秀斯所斩杀的野 猪即住在这里(波桑尼阿斯,I. 27;II. 1)。 [9] 约合22千米。 [10] 参阅修昔底德,IV. 8,24。 [11] 他们是自公元前427年就开始掌握城邦政权的民主党人(参阅修昔底德,III. 85)。 [12] 现在叫微多岛(Vido)。参阅修昔底德,III. 75。 [13] 公元前425/前424年。 [14] 修昔底德在IV. 75又提到,他是这些海域负责征收贡金的一名将军。 [15] 他是波斯国王派往拉栖代梦的使者。 [16] 该文书可能是用古波斯楔形文字写成,但更有可能是以阿拉米文字(Aramaic)写成。 [17] 本章内容是涉及雅典和波斯关系的一则重要史料。关于波斯国王在位的确切时间,巴比伦的楔形文 字泥板文献均有记载。所有相关证据都表明,大流士二世在阿塔薛西斯死后继位,时间不早于公元前424/前 423年,这就是说,修氏所提及捉获阿塔佛涅斯的时间,至少比大流士继位时间提前了一年零两个月。究竟是 不是修氏记载错误,尚无定论。 [18] 公元前424年。 [19] 据近代学者推算,此次日偏食时间在公元前424年3月21日。 [20] 这里的斯塔特(stater)是佛凯亚的金币名称,以其成色不足而闻名。参阅德摩斯提尼,XI. 36。一 枚金币价值约合24阿提卡银德拉克玛,2000斯塔特约合8个塔连特。参阅R. B. Strassler, The Landmark Thucydides , Appendix J, pp. 620–621。 [21] 在列斯堡以北,大陆的地角上。这些城镇曾被帕基斯从米提列涅人手中夺取过来。参阅修昔底德, III. 1,50。 [22] 参阅修昔底德,III. 92及附注;IV. 38及附注。 [23] 这是一个难以置信的巨大数目。修昔底德在VIII. 25提到他们在自己的国土上作战,米利都人只能 提供800名重装步兵来抵御敌人,并且10艘船也载不下这么多士兵。 [24] 这是基塞拉的港口,离基塞拉近2千米。 [25] 在这里似乎有必要援引斯塔尔(Stahl)的解释:“一支雅典军队在斯坎代亚登陆,另一支军队在东 北岸登陆,向卫城进军。第二支军队发现基塞拉人已经准备应战;在接下来发生的战斗中,基塞拉人溃败,逃 往上城,即卫城。”—史译本注 [26] 据说斯巴达人征服这个地方的时候,就开始把那里的被征服者集体变为奴隶。这种奴隶也因此地名 而被称为黑劳士(或译希洛特)。 [27] 参阅修昔底德,I. 77。 [28] 将近2千米。 [29] 谢译本(第300页)作“缴纳40塔连特”。 [30] 参阅修昔底德,III. 86。 [31] 指西西里的卡尔基斯人。 [32] 关于雅典人对其官员和将军的处罚。参阅修昔底德,II. 65;V. 26。 [33] 公元前424年。 [34] 约合1500米。 [35] 关于城防军(peripoli ),我们所知甚少。他们可能是雅典新入伍士兵,因为亚里士多德《雅典政 制》(XLII. 1—5)提到,公民年满18岁,就应该担负城防巡逻任务两年,也可能是一支流动性的年轻新兵 队,如同边防卫队。参阅A. W. Gomme, A Historical Commentary on Thucydides , Vol. 3, p. 529。 [36] 伯罗奔尼撒驻军的指挥官。 [37] 长城的城门。 [38] 寡头党人。 [39] 哈译本亦为“600”,史译本作“700”。

    第十四章 战争的第八年和第九年。入侵波奥提亚。安 菲波里斯的陷落。伯拉西达的辉煌胜利。

    75 在同一个夏季中, [1] 正当米提列涅人按计划准备在安坦德鲁斯 [2] 修筑要塞的时候,雅典派出征收贡税的舰队指挥官德摩多库斯和阿 里斯提德斯(他们的同僚拉马库斯已率10艘舰船进入本都地区),在通 过赫勒斯滂时,听说这个地方正准备修筑要塞,他们担心这里会成为第 二个阿纳伊亚—这是萨摩斯的流亡者的居留地,他们从这里援助伯罗奔 尼撒人,派人给伯罗奔尼撒人担任舵手,同时扰乱萨摩斯城,欢迎所有 从萨摩斯被放逐出来的人—就像阿纳伊亚为害萨摩斯一样。因此,他们 从同盟者那里召集军队航往那里,打败了来自安坦德鲁斯的军队,重新 夺回了那个地方。[2]不久之后,已经航入本都海域的拉马库斯,他 的舰队停泊在赫拉克利亚境内的卡里克斯河中,由于内地连降大雨,洪 水猛涨,倾泻而下,使他们丧失了舰船。他本人率军队,通过陆路,穿 过亚细亚一方比泰尼亚的色雷斯人所居住的地方,来到位于本都海口处 麦加拉人的殖民地卡尔开顿 [3] 。

    76 在同一个夏季中,雅典人从麦加里德返回之后,雅典将军德摩 斯提尼就率40艘舰船抵达诺帕克图斯。[2]波奥提亚诸邦中有一些人 跟希波克拉特斯和德摩斯提尼勾结,希望变更政体, [4] 实行和雅典一 样的民主制。一位来自底比斯的流亡者普托奥德鲁斯,是这个阴谋的主 要策动者。[3]他们预定的计划是这样的:一个党派设法使海港城镇 西弗艾(位于泰斯皮亚境内克里赛湾)叛变,投靠雅典人;另一个党派 准备把凯罗尼亚交到雅典人手中,凯罗尼亚就是以前被称为米尼亚人的 城市,现在被称为波奥提亚人的城市—奥科麦努斯的纳贡城市。来自奥 科麦努斯的流亡者对这件事特别积极,他们在伯罗奔尼撒雇用了一些 人,某些佛基斯人也参与了这个阴谋。凯罗尼亚在波奥提亚的边境上, 紧挨着佛基斯的法诺提斯。[4]同时,雅典人准备夺取德里昂,这是 塔那格拉境内面向优波亚方向的阿波罗神庙所在地。所有这些事件都在 预定日期同时进行,以使波奥提亚人不能全力以赴去进攻在德里昂的雅 典人,而必须先对付境内各地的骚乱。[5]如果一切顺利,在德里昂 能够建筑要塞的话,他们满怀信心地预料:即使波奥提亚诸邦不会马上 发生革命,但只要这些地方控制在他们手中,整个地区都会遭到劫掠, 所有的人都很容易逃亡,整个局势虽可以维持,但由于雅典人支持反叛 者,寡头派的力量被分散,过不了多久,他们就能够如愿以偿,操纵当 地的事务了。

    77 这就是他们所预先策划的阴谋。等预定日期一到,希波克拉特 斯率领一支军队从雅典本土出发,攻入波奥提亚;同时,他派遣德摩斯 提尼率上面提及的40艘舰船前往诺帕克图斯,在那里从阿卡纳尼亚人和 雅典的其他同盟者中召集一支军队,然后起航前往西弗艾,希望接受它 的投诚;他们确定了一个日期,两方面军事行动同时进行。[2]当德 摩斯提尼到达那里的时候,他发现阿卡纳尼亚人的联合军队已经强迫奥 尼阿代加入了雅典同盟。他就召集那个地区所有的同盟军,进攻萨林修 斯和阿格赖亚人。 [5] 在征服了他们之后,就着手做必要的准备工作, 以便能够在预定日期到达西弗艾。

    78 大约在这个夏季的同一时候,伯拉西达率领1700名重装步兵已 在进军色雷斯的征途中。当他到达特拉启斯的赫拉克利亚的时候,就派 遣一名使者前往他在法萨鲁斯的朋友那里去,请求他们沿途护送他和他 的军队。因此,帕奈鲁斯、多鲁斯、希波洛奇达斯、托利劳斯和卡尔基 斯人的代理人斯特罗法库斯,在阿凯亚的麦里提亚与他会合。在他们的 护送下,伯拉西达继续前进;[2]在护送者中还有一些色萨利人,其 中包括柏第卡斯的一位朋友,拉里萨的尼科尼达斯。事实上,没有人护 送而想通过色萨利地区,从来都不是一件容易的事;任何一支军队没有 得到允许而通过邻邦的领土,在所有希腊诸邦中,都同样是需要谨慎从 事的。除此以外,色萨利人民和雅典人总是友好相处的。[3]因此, 如果色萨利人不是像当地的通常的情况那样,权力掌握在少数有势力的 人的手中,而是实行民主制的话,那么,伯拉西达是绝对无法从那里通 过的。当地的情况虽如此,但是伯拉西达在行至爱尼皮乌斯河畔的时 候,还是遭遇某些反对党人,他们不许他继续前进,声称他没有得到全 体人民的许可,这样做就是一种不友好之举。[4]护送他的人回答 说,他们也不愿意违背人民的意旨而带领他们通过本地区;不过他既然 意外地来到这里,他们是他的朋友,所以陪他一路走。伯拉西达自己也 补充说,他是以色萨利及其居民的朋友的身份来的,他进军的目的是直 指雅典人,因为他正和雅典人交战,而不是反对色萨利人;尽管他知道 色萨利人和拉栖代梦人之间没有任何纠葛,彼此通过对方的领土是不会 受到阻碍的。如果他们不愿意让他继续前进的话,他愿意停止前进,但 事实上他又不能这样做,他只是请求他们不要阻止他的前进。[5]色 萨利人听了这番话之后,就让开了;伯拉西达听了那些护送他的人的劝 告,全速行军,未作停歇,以使色萨利人来不及召集更大的军队来阻止 他。这样,当天他就从麦里提亚来到法萨鲁斯,在阿皮丹努斯河畔安营 扎寨;他从那里前往法基昂,又从法基昂前往柏莱比亚。[6]到了这 里之后,护送他的色萨利人回去了。柏莱比亚人是色萨利人的属民,他 们把他带到狄昂,这是奥林匹斯山脚下的一个马其顿人的城镇,狄昂属 于柏第卡斯王国的领土,面向色萨利。

    79 伯拉西达就这样匆匆通过色萨利,阻止他前进的军队还没来得 及召集起来,他就到了柏第卡斯那里和卡尔基斯。[2]伯罗奔尼撒的 军队是叛离雅典的色雷斯诸城镇和柏第卡斯请来的,因为他们看到雅典 的节节胜利而恐慌起来了。卡尔基斯人认为雅典远征的第一个目标就是 他们,那些尚未叛离的邻近诸城镇也秘密地派人去请伯罗奔尼撒人来; 柏第卡斯虽然没有公开和雅典人交战,但是考虑到过去和雅典人的争端 而惴惴不安,特别是他想征服林库斯之王阿利巴尤斯。[3]那时候拉 栖代梦人作战不利,因而他们就比较容易地从伯罗奔尼撒请来这支军 队。

    80 因为雅典人不断地攻击伯罗奔尼撒,尤其是攻击拉栖代梦人的 本土,拉栖代梦人认为,使雅典人撤离的最好的办法是派遣一支军队去 进攻他们的同盟者,以资报复。特别是因为这些同盟者愿意给这支军队 提供给养,并且正在请求拉栖代梦人的帮助以叛离雅典人。[2]拉栖 代梦人也乐于有个适当的借口,派遣一些黑劳士出国,以防止他们发动 暴动,因为目前派罗斯尚在敌人的控制之下。[3]事实上,黑劳士人 数众多,顽强不屈,使拉栖代梦人害怕到这样的程度,以致于他们所采 取的大多数政策总是以防范黑劳士为基础的。他们甚至曾采取过这样的 行动:他们发表公告,要求黑劳士从他们自己中间推选出那些自己认为 在战争中表现最突出的人,暗示他们可以获得自由,其目的是作一个试 探,他们认为首先要求自由的人,就是那些最勇敢的人,也是最有可能 起来反抗其主人的人。[4]结果,他们大约推选出2000人,这些人头 戴花冠,绕着神庙行走,自以为已获得自由。[5]可是不久以后,斯 巴达人把他们全都除掉了;甚至在这些人中,每个人是怎样被弄死的, 也没有一个人知道。因此,现在斯巴达人乐于派遣700名黑劳士,作为 重装步兵随伯拉西达出征,其余的军队是以金钱在伯罗奔尼撒其他地方 招募来的雇佣兵。

    81 拉栖代梦人派遣伯拉西达出征,主要是由于他本人的要求,虽 然卡尔基斯人也渴望他去;因为他在各方面的才干使他在斯巴达颇有声 望,他在国外的功绩对于拉栖代梦国家也有很大的贡献。[2]这一次 他对于这些城邦的正直而温和的行动,成功地使许多城邦叛离雅典,还 利用内应取得其他一些地方。这样,当拉栖代梦人希望讲和(后来终于 达成和解 [6] )的时候,他们有地方提出来和雅典人所占领的地方相交 换,同时使伯罗奔尼撒从战争的负荷中解脱出来。在这场战争的后期, 在西西里远征之后,使雅典的同盟者中产生亲拉栖代梦情绪的主要原因 是伯拉西达的勇敢和智谋—伯拉西达的这些品质,有些人是从亲身经历 中得知的,有些人是因为听别人说而得知的。[3]他是第一位被派遣 出来的、在各方面表现卓越而赢得赞誉的拉栖代梦人,因而使得人们相 信,以后其他人也是和他一样的。

    82 同时,雅典人听说伯拉西达抵达色雷斯,便立即向柏第卡斯宣 战,他们认为伯拉西达的到来应由他负责,同时也更加严密地监视他们 在这个地区的同盟者。

    83 伯拉西达率军抵达后,柏第卡斯立即把自己的军队和伯拉西达 的军队联合在一起,向邻近的林库斯的马其顿人之王、布罗麦鲁斯之子 阿拉巴尤斯发起进攻,阿拉巴尤斯和他不和,他想制服阿拉巴尤斯。 [2]但是,当他的军队和伯拉西达行军至进入林库斯的峡道的时候, 伯拉西达对他说,他想在作战之前,先去和阿拉巴尤斯商谈,力图说服 他成为拉栖代梦人的同盟者。[3]但是阿拉巴尤斯自己提出,愿意承 认伯拉西达为他们之间的仲裁者。和伯拉西达在一起的卡尔基斯人的使 者也提醒他,为了保证柏第卡斯对他们的事务保持更大的热情,最好在 开始的时候不要让柏第卡斯太占便宜了。[4]而且,柏第卡斯派往拉 栖代梦的使者在拉栖代梦也谈到,柏第卡斯将使其周边的许多地方都加 入拉栖代梦同盟,因此,伯拉西达认为他应当从更广泛的角度来处理阿 拉巴尤斯的问题。[5]但是柏第卡斯回答说,他带伯拉西达到那里去 的目的不是来做仲裁者,来解决他们之间的纠纷的,而是来消灭他所指 出的所有敌人的;同时他维持伯拉西达军队的一半的给养,而伯拉西达 竟和阿拉巴尤斯谈判,这也是错误的。[6]但是,不管柏第卡斯的看 法如何,伯拉西达还是违背柏第卡斯的意愿,与阿拉巴尤斯举行了会 晤。他觉得阿拉巴尤斯的看法是可信的,遂率领他的军队从那里撤离, 而没有侵入林库斯的领土。此后,柏第卡斯认为自己受了委屈,因此他 只肯负担伯拉西达军队的三分之一的给养,而不肯负担一半了。

    84 在同一个夏季里,快到葡萄收获季节的时候,伯拉西达又马不 停蹄地率领自己的军队,和卡尔基斯人一起,去进攻阿堪苏斯,这是安 德罗斯人的一个殖民地。[2]在如何对待伯拉西达的问题上,当地居 民分为两派:一派是那些和卡尔基斯人一起邀请他来的人;另一派是普 通民众。可是,他们担心他们在郊外的果实,所以听了伯拉西达的劝 告,让他一个人进城来,在他们作出决定之前听听他所要说的话。因 此,他们允许伯拉西达进城,出现在民众的面前。的确,作为一名拉栖 代梦人,他绝对不是一个拙于言辞的人。他对阿堪苏斯的民众发表如下 演说: 85 “阿堪苏斯人啊,拉栖代梦人派我和我的军队出来的目的,就是 履行我们在战争之初所发表的宣言,即我们将和雅典人作战,以解放希 腊。[2]如果说我们已经来迟了,这只是因为在我们自己国内的战争 的进程出乎我们的意料之外。我们曾经希望用我们自己的力量,无须外 援,就可以迅速制服雅典人,而不使你们有丝毫的冒险。如今你们不要 因为我们姗姗来迟而责难我们,只要有机会,就像现在这样,我们就来 了。在你们的帮助下,我们将尽全力使雅典人屈服。[3]同时,我很 诧异,因为你们紧闭城门不接纳我,我的到来也没有受到你们的欢迎。 [4]我们拉栖代梦人认为我们是到那些需要我们的同盟者那里来的, 这些同盟者,就是我们没有到来的时候,我们的心也是和他们联在一起 的;所以我们克服千难万险,历经多日行军,穿越异邦人的领土,表现 出极大的热情。[5]如果你们有不同的想法,或者阻挠使你们自己或 其他希腊人获得解放的话,那将是一件可怕的事了。[6]因为它不仅 仅是你们反对我的问题,我到其他地方去,那里的人民也不会与我联 合,因为他们这样想:我首先到你们这里来—像阿堪苏斯这样重要的城 邦,像阿堪苏斯人这样精明的人民,都不肯接受我。那样,我将无法向 世人证明我来这里的真实目的;他们或者认为我所提出来的解放希腊是 欺人之谈,或者认为我到这里来表现得懦弱无能,即使雅典人来进攻的 话,我也不能保护你们。[7]但是当我率领这支军队去援助尼塞亚的 时候,雅典人尽管人数占优势但仍不敢与之交战的正是现在这支军队; 同样,他们不会派遣和他们在尼塞亚一样多的军队,渡海前来进攻你们 的。

    86 “至于我本人,我到这里来的目的,不是来危害希腊人,而是来 解放希腊人的,我可以指出我国政府所宣布的最神圣的誓言,保证我所 拉到我们一边的所有同盟国的独立;而且,我到这里来的目的,不是想 利用武力或阴谋手段以求与你们建立同盟,而是想与你们联合起来,反 对你们的主人—雅典人。[2]因此,在我申明这个最神圣的保证之 后,你们不应当再对我心存疑虑了,也不应当怀疑我保护你们的能力 了。我认为你们应当毫不犹豫地和我站在一起。[3]如果你们中间也 许有人暗暗地害怕某些人,担心我把这个城邦交给这个党派或那个党 派,这些担心是完全没有理由的。[4]我到这里来,不是想袒护你们 的这个党或那个派,我也认为如果我忽视你们的祖制,使少数人奴役多 数人,或者使多数人奴役少数人的话,那不是给你们真正的自由。 [5]这种统治将比受外族人的统治还要严酷,而我们拉栖代梦人的辛 勤劳绩也不会使人感激。我们所得到的将不是声誉和光荣,而是被人谴 责。那样的话,我们自己所犯下的正是我们所谴责雅典人的,即我们所 以与他们战斗到底以反对的那些恶行;这些恶行在我们身上比在那些从 来没有宣布自己的美德的人身上,将会更加可恨。[6]因为利用伪善 的欺骗手段取得优势,至少对于有声誉的人们来说,比之公开地利用武 力更为可耻。因幸运而获得势力的人实行侵略倒还算有点正当理由,而 另一种进攻的方式则完全是非正义的阴谋诡计。

    87 “因此,我们拉栖代梦人极其慎重地恪守这一原则;除了我们所 立下的誓言以外,你们可以得到更加有力的保证,是把我们所说的言辞 和具体的行动来比照一下,你们一定会确信,我们的言行是一致的。 [2]“对于我的这些建议,如果你们说你们没有能力做到,但是对 我们有友好的感情,因此你们不应该因拒绝我的建议而受到伤害;如果 说在你们看来,自由并不是一个没有风险的东西,它只能给予那些能够 接受它的人们才是对的,而不能违背他们的意愿,强加于他们身上,那 么,我将呼吁你们本地的诸位神祇和英雄作证,我到这里善意地帮助你 们,却未能说服你们,我将蹂躏你们的土地,尽我所能强迫你们倒向我 们这一边来。[3]到了那种地步,我就不会认为我做错了。我认为我 有两个正当的理由,使我不得不这样做:其一,如果你们不肯和我们联 合在一起的话,我们将不许你们缴纳贡金给雅典人,以使拉栖代梦人免 遭你们—他们的朋友—的伤害;其二,我应当不许你们阻挠希腊人摆脱 雅典人的羁绊。[4]不然的话,我们就完全没有权利做我们现在想做 的一切事情了。除了着眼于某些共同的利益以外,还有什么能迫使我们 拉栖代梦人去解放那些自己不愿意获得解放的人们呢?[5]我们并不 企求建立帝国,我们要努力去推翻帝国;如果我们允许你们阻碍我们实 现使全希腊人获得独立保证,那么我们就损害了大多数人的利益了。 [6]因此,请你们考虑我所说的话,作出明智的决定,努力开创希腊 独立运动,保持你们自己永久的光荣。这样,你们将使你们自己的财产 免受损失,使你们整个城邦赢得荣誉。”

    88 这就是伯拉西达的演说。阿堪苏斯人经过双方充分的发言讨论 之后,举行秘密投票;他们受到伯拉西达的热情洋溢的发言的影响,他 们还担心他们田地里的收成,于是大多数人决定叛离雅典人;他们首先 要求伯拉西达保证他自己所说的,就是拉栖代梦当政者派遣他出来的时 候所立下的誓言,保证所有他争取过来的同盟者的独立,然后才允许他 们的军队进城。[2]不久之后,安德罗斯的殖民地斯塔吉鲁斯 [7] ,也 效仿阿堪苏斯人而叛离了雅典。以上就是这个夏季所发生的事件。

    89 接下来在冬季刚刚开始的时候, [8] 波奥提亚的一些地方原来是 准备移交到雅典将军希波克拉特斯和德摩斯提尼手上的;德摩斯提尼率 领他的舰队前往西弗艾,而希波克拉特斯前往德里昂。可是,他们把自 己动身的日期弄错了。德摩斯提尼首先率阿卡纳尼亚人和那个地区的许 多同盟者的军队前往西弗艾,结果无功而返。这个阴谋早已被来自法诺 提斯的一位名叫尼科马库斯的佛基斯人泄露给拉栖代梦人,拉栖代梦人 又转告波奥提亚人。[2]因此,波奥提亚各地的援军都汇集到一起— 而希波克拉特斯尚未到那个地区以分散他们的兵力—他们预先占据着西 弗艾和凯罗尼亚;参与这个阴谋的人知道出了这个错误,不敢在城中采 取任何行动。

    90 同时,希波克拉特斯带着从雅典公民、雅典的麦特克以及城里 的异邦人中所招募起来的军队到达德里昂。但是他来得太迟了,波奥提 亚人此前已从西弗艾撤回。他和他的军队驻扎在那里,开始在德里昂的 阿波罗神殿以如下方式设防:[2]他们在神庙和圣地的周围挖掘壕 沟,用挖掘出来的土方建筑城墙,沿着城墙竖立木桩;他们把神殿周围 的葡萄藤砍下来,和石头、砖头一起填塞进去,这些砖是从他们附近的 房屋上拆取来的。简单地说,他们尽一切努力把要塞筑得高些。在必要 的地方以及神庙建筑物防卫不够的地方(那里有一块地方的柱廊已经坍 塌),他们建筑木塔。[3]他们在离开雅典后的第三天就开始工作, 第四天继续工作,直到第五天中午时,大部分工作已经完成。这时,他 们的军队启程回国,离开德里昂大约有10斯塔狄亚 [9] 。大部分轻装步 兵继续从那里一直往前走,而重装步兵则停下来休息了。希波克拉特斯 还在德里昂,正忙于排兵布哨,指挥完成尚未完工的部分外围防御工 事。 91 在这些日子里,波奥提亚人正调集其军队来到塔那格拉。当各 城邦的分遣队到了这里的时候,他们发现雅典人已经动身回国了。波奥 提亚同盟官(他们共有11名)中有10名反对交战,因为雅典人已经不在 波奥提亚境内了。当雅典人停下来歇息的时候,他们大概刚刚越过奥罗 皮亚的边界。但是,来自底比斯的一位同盟官,埃奥拉达斯之子帕冈达 斯(底比斯的另一位同盟官是吕西马奇达斯之子阿里安西德斯),他是 当时指挥全军的总司令,他主张交战,认为这个冒险是值得的。他把一 个一个中队召集到他的面前来,使他们不至于马上离开他们的武器,鼓 励他们向雅典人进攻。他从主战的角度出发,发表如下演说:

    92 “波奥提亚人啊!作为你们的将军,我们中间任何人的心目中都 绝对不应该有这样的念头,即除非我们与雅典人在波奥提亚境内遭遇, 否则就不应与他们交战。他们越过边界,来到这里,他们在这里已经建 筑了一个设防的据点,他们的用意是来蹂躏波奥提亚的土地的。因此, 我认为,他们无论在什么地方,只要我们能追上他们,哪怕是在他们来 危害我们的出发之地追上他们,无疑地,他们仍然是我们的敌人。 [2]如果在目前你们中间有任何人认为不去招惹雅典人是更安全的 话,那么,他应该摈弃这个念头。当受到攻击的人们自己的国土处于危 险之中的时候,他不能只考虑慎重行事。只有那些安享自己既得利益, 并且处心积虑地攻击邻人,以贪求更多利益的人们才要慎重行事。 [3]你们的传统是将异邦入侵者拒之境外,不管它是在你们境内或在 任何邻近地区。现在入侵者是雅典人,我们就更要这样做了,因为他们 和你们相毗邻。[4]在邻邦之间的一切关系中,势力的平等始终是自 由的保证;对于那些企图奴役邻邦,甚至企图奴役更远的城邦的国家, 我们只有作战到底。让我们看看一水之隔的优波亚人,看看希腊的其他 大多数地区的例证,我们相信,别的城邦是为了边界问题而不得不与邻 邦作战。但是对于我们来说,如果我们被征服了的话,那么,根本就不 会有什么边界纠纷了,因为全国只有一个边界了,而他们将直接来到这 里,把我们所有的一切用武力夺去。 [5]“因此,和雅典人做邻居比之其他人要危险得多。同时,那些 对于自己的力量充满信心而进攻其邻人的人们,正如现在的雅典人一 样,他们通常是更加大胆地进攻那些按兵不动的只在自己境内防卫的对 手。但是如果他们发现有人出来和他们在境外作战,乘机首先发动进攻 的时候,他们就缺乏这样来进行搏杀的准备了。[6]雅典人自己向我 们展示了这一点:在我们由于内部纷争致使他们占领波奥提亚期间,我 们在科罗尼亚打败了他们, [10] 我们的这次胜利,保证了波奥提亚地区 的安全,直至今日。[7]我们应当记住这件事情,我们当中年纪老一 点的人们应当按照他们过去的行动去做,而年纪轻一点的人们(他们是 当年那些英雄的儿子们)应该努力,不要给他们遗留给你们的勇敢声誉 带来耻辱。我们相信,遭到他们亵渎而占据的神庙的神祇会佑助我们, 我们也相信我们在奉献牺牲时会出现吉兆。那么,让我们勇往直前,杀 向敌人,向他们表示:他们只有进攻那些不打算自卫的人们,才能够取 得他们想得到的东西;至于进攻那些始终要为城邦的自由而战,而且从 不非正义地奴役别人的人们,不打一仗是不会让他们溜掉的。”

    93 帕冈达斯慷慨激昂的陈词,说服了波奥提亚人去攻击雅典人。 天色已晚,他迅速率军出动,全军开拔。当他接近雅典人的时候,就在 与雅典军队一山之隔的地方停了下来,这座山使他们和雅典人彼此不能 看见。他就在这个地方把他的军队列成阵势,准备战斗。[2]同时, 希波克拉特斯在德里昂得知波奥提亚人正在向他进攻的时候,就命令他 的军队列成阵势;不久,他自己来了。他留下大约300名骑兵驻守德里 昂,以防敌人的进攻,同时等待机会来参加对波奥提亚人的战斗。 [3]波奥提亚人分出一支军队专门来对付这支雅典军队。一切安排停 当,他们在山顶上出现,列成准备作战的阵势。他们有7000名重装步 兵,1万多名轻装步兵,1000名骑兵和500名轻盾兵。[4]底比斯人及 其同盟者在右翼,哈利阿图斯人、科罗尼亚人、科派亚人和滨湖 [11] 地 区其他人位居中央,泰斯皮亚人、塔那格拉人和奥科麦努斯人在左翼, 骑兵和轻装步兵位于两翼的终端。底比斯人列成纵深25盾 [12] 的队形, 其他军队列成各种不同的队形。[5]这就是波奥提亚军队的兵力和布 阵情况。

    94 在雅典方面,重装步兵列成纵深8排的阵列,部署在整个前线, 人数和敌军的重装步兵相当,骑兵列在两翼。战场上没有常规武装的轻 装步兵,雅典也没有这类军队。参加这次入侵的雅典轻装步兵,虽然其 人数是敌人轻装步兵的许多倍,但是他们大部分只是跟着武装不完备的 军队,作为雅典公民和异邦人军队的一部分,已经启程回国,所以留在 军队里面的轻装步兵也就寥寥无几了。[2]现在两军都摆开阵势,正 准备交战了。将军希波克拉特斯检阅雅典的军队,发表演说,激励他 们:

    95 “雅典人啊,我对你们只想说短短的几句话,因为对勇敢的人讲 话,是无须多说的。我只是想提示你们,不是训示你们。[2]我们当 中任何一个人,都不要觉得我们身在他乡,就以为我们这次冒险是和我 们没有重大关系的。我们虽然是在他们的境内作战,但是我们将为保卫 我们的国土而战。如果我们胜利了,伯罗奔尼撒人得不到波奥提亚骑兵 的帮助,就绝不会再侵略你们的国土了。在同一次战役中,你们不仅将 赢得波奥提亚的土地,同时还赢得了阿提卡的自由。[3]你们都自豪 地作为希腊第一城邦的公民,人人都以她为自己的祖国而感到骄傲。曾 几何时,你们的父辈们在米隆尼德斯的统率下,在奥诺斐塔 [13] 击败过 他们,并因此而成为波奥提亚的统治者。 [14] 因此,你们应该以这样一 个城邦的精神,像你们的父辈们那样,勇往直前,和他们会战吧!”

    96 希波克拉特斯发表这篇激发士气的演说时,沿着队列行走,刚 走到队列中部,就不能再往前走了。因为这时波奥提亚人在帕冈达斯匆 匆向他们发表演说之后,高唱战歌,开始从山上向下面进攻了;雅典人 上前接战,两军跑步相迎。[2]双方的两翼终端没有接触,因为双方 皆为暴涨的河水所阻隔。但是在其他各处,双方短兵相接,战斗异常激 烈。[3]波奥提亚人的左翼直到中央,被雅典人打败了。在这里,泰 斯皮亚人的损失尤为惨重,因为在他们两侧的军队都败下阵来,他们被 围在一个狭窄的地域内,在肉搏战中被杀死了;有些雅典人在这里也被 自己的军队所杀,因为在包围过程中,双方混战在一起,把自己人当作 敌人给误杀了。[4]在这部分阵地上,波奥提亚人被击败了,他们退 到那些仍在坚持战斗的自己的队伍中去了。但是,在右翼,底比斯人占 据优势,起初他们迫使雅典人后撤,接着更是步步紧逼,继续施加压 力。[5]碰巧帕冈达斯看到他的左翼处境不妙,便派遣两个骑兵队绕 到山后,雅典人对此却一无所知。当他们突然出现的时候,引起已经获 胜的雅典右翼军队的惊慌,雅典人以为是另一支军队来向他们进攻了。 [6]这样,雅典军队的两部分阵线因为惊慌而发生混乱,他们的阵线 被不断向前推进的底比斯人突破,于是雅典全军开始溃逃。[7]他们 有的向德里昂和海边逃跑,有的向奥罗浦斯逃去,有的向帕涅斯山逃 去,或者逃向任何他们认为有安全希望的地方。[8]波奥提亚人追杀 他们,尤其是波奥提亚的骑兵在追杀他们,这支骑兵由波奥提亚人和罗 克里斯人组成,他们在雅典军队刚刚开始溃退的时候就追上了他们。但 是,夜幕降临,他们未能继续追击,败方将士比较容易地逃掉了。 [9]次日,奥罗浦斯和德里昂的军队由海路回国,留下一支军队驻守 德里昂。雅典人虽然战败,但德里昂仍在他们手里。 [15]

    97 波奥提亚人竖立了一块胜利纪念碑,收回了他们阵亡者的尸 体,剥掉敌人的阵亡者衣服,留下一个卫队守着。他们返回塔那格拉, 计划进攻德里昂。[2]同时,雅典人派出的传令官来这里请求收回雅 典阵亡者的尸体,他在途中遇着波奥提亚的传令官。波奥提亚的传令官 对雅典的传令官说,在他(波奥提亚的传令官)完成自己的任务返回 [16] 之前,雅典的传令官是不会达到目的的,所以他要雅典的传令官回 去。于是波奥提亚的传令官到雅典人那里去,告诉他们说,波奥提亚人 认为,雅典人做错了,违犯了希腊人的法律。[3]因为全体希腊人都 遵守这样的惯例,侵入别国者不得侵犯该国的神庙。但是雅典人在德里 昂设防,并且至今还驻扎在德里昂。他们在那里做了人们只能在非神圣 的地方做的一切事情;那里的水,除了用于与献祭有关的祓除仪式以 外,波奥提亚人是绝对不许接触的,而雅典人汲取那里的水来作日常用 途。[4]因此,为了神祇,同时也是为了他们自己的利益,波奥提亚 人以在这个地方受到崇拜的神祇和阿波罗的名义,警告雅典人,自己主 动离开神庙,如果他们还指望取回他们自己阵亡者的尸体的话。

    98 波奥提亚的传令官说了这番话之后,雅典人派遣他们自己的一 名传令官来到波奥提亚人那里,他说:雅典人没有做过任何有损于神庙 的事,他们今后也不愿意损坏这座神庙;他们占领这座神庙,原来并没 有这种用意,只是利用这个神庙来自卫,以抗击那些真正要侵犯它们的 人。[2]按照希腊人的法律,任何人征服一个地区,无论这个地区是 大还是小,该地区内的神庙也总是同时为他所占有,他也有义务尽可能 地维持通常的宗教典礼;[3]波奥提亚人自己以及其他大多数人,也 曾经驱逐一个地方的原有居民,而以武力占领那个地方,他们原先所袭 击的异邦人的神庙,现在被他们作为自己的神庙而占据着。[4]如果 雅典人能够征服波奥提亚更多的土地的话,这个原则对于雅典人还是适 用的。事实上,他们把所占领的地区视为他们自己的,他们是不会心甘 情愿地离开的;[5]至于搅扰圣水的问题,这是出于不得已,而不是 由于缺乏宗教情感;他们为了自卫,不得不利用它,以反击首先入侵阿 提卡的波奥提亚人。[6]另外,在战争和危险的压力下所做的事情, 神祇也会宽恕的,否则为什么神祇的祭坛会成为非故意犯罪者请求庇护 的场所呢?真正犯法的人不是那些为情势所迫而采取某些过激行为的 人,而是那些没有必要作恶而作恶的人。[7]简单地说,波奥提亚人 想以死者的尸体交换神庙,而雅典人不肯为了收回那些他们有权力收回 的东西而放弃神庙,显然是波奥提亚人在更大程度上不敬神。[8]因 此,他们必须从波奥提亚撤退的条件已经不存在了。因为他们的所在地 已经不是在波奥提亚,而是在雅典人以武力攻取的地方了。波奥提亚人 所要做的,是根据祖先的惯例,允许雅典人根据休战和约,收回死者的 尸体。

    99 波奥提亚人回答说,如果雅典人在波奥提亚境内的话,他们应 当在退出波奥提亚后才能收回死者的尸体;如果雅典人在自己的领土 上,他们尽可能随心所欲地去做。因为他们知道,尸体恰好在奥罗皮亚 地区(战事发生在边境上),尽管该地区是属于雅典人的,但是雅典人 不得到波奥提亚人的允许,是不能够收回死者的尸体的。另外,波奥提 亚人觉得没有理由给予一个在雅典领土内实施的休战和约,但他们认为 这样回答是公平的:“你们只有退出波奥提亚,才能够取得你们想要的 东西。”雅典的传令官听到这个答复以后,没有达到此行的目的就回去 了。

    100 同时,波奥提亚人马上派人前往马利亚湾,要那里派遣标枪手 和弹石手来,此役之后,他们还得到2000名科林斯的重装步兵的增援, 从尼塞亚撤退的伯罗奔尼撒驻军和一些麦加拉人也来援助他们。他们率 领这支军队向德里昂进攻,袭击德里昂要塞。他们使用各种方法进攻, 最后用一种机械攻占了这个要塞。这种机械的构造是这样的:[2]他 们把一根很大的树梁从中间锯作两部分,分别把它们从中间凿通,然后 再把它们紧密地合拢来,像一根管子一样。树梁的前端,用铁索系着一 口大锅,从树梁中间的空洞处伸出一根铁管,弯曲着插入锅中。树梁的 表面上大都以铁皮包裹。[3]他们把这个机械从相当的距离外,用马 车运往主要由葡萄藤及其他木材所建成的那段城墙下。当机械靠近城墙 的时候,他们把巨大的风箱插入树梁的后端,鼓风入内。[4]铁管里 的风直吹入锅内,锅内是装满了已经引燃的木炭、硫磺和松脂的。于是 产生巨大的火焰,使城墙燃烧起来,守城者无人能坚守岗位了。他们弃 城而逃,因此要塞就这样被攻占了。[5]要塞的驻防军有些被杀死, 200人被俘虏,其余的大部分登上他们的舰船,逃回国内。

    101 在上次战役后17天,就在德里昂刚刚被攻陷以后,雅典的传令 官又来请求收回阵亡者的尸体,他还不知道德里昂所发生的事。现在波 奥提亚人把尸体交还给他,没有和上次那样回复他了。[2]在那次战 役中,波奥提亚人的阵亡者将近500人,雅典人将近1000人,包括他们 的将军希波克拉特斯在内,另外还有许多轻装部队和运输辎重的人也阵 亡了。[3]此役后不久,德摩斯提尼由于在航往西弗艾 [17] 与当地内 应谈判中未取得任何结果。就率领他舰船上的军队(阿卡纳尼亚人和阿 格赖亚人的军队以及400名雅典重装步兵),力图在西基昂境内的海岸 登陆。[4]但是当他们的舰船尚未全部到达岸边的时候,西基昂人蜂 拥而至,把已经登陆的军队打败,把他们驱逐回船上,雅典军有些被 杀,有些被俘。之后,西基昂人竖立一块胜利纪念碑,根据休战和约, 把死者的尸体归还给雅典人。[5]大约与德里昂战役同时,奥德里赛 人的国王西塔尔克斯 [18] 去世,他曾经率军进攻特里巴利人, [19] 但是 被打败。他的侄子,斯巴拉多库斯之子修西斯 [20] 继承了奥德里赛人的 王国和西塔尔克斯所占有的色雷斯的其他土地。

    102 在同一个冬季里, [21] 伯拉西达和他的色雷斯同盟军进攻安菲 波里斯,安菲波里斯是斯特里梦河畔雅典人的殖民地。[2]过去曾经 有人试图在现在这个城市的所在地建立殖民地—米利都人阿里斯塔哥拉 斯, [22] 在从波斯国王大流士那里逃出来以后 [23] ,想在那里建立殖民 地,但是被爱多尼亚人驱逐了。32年后 [24] ,雅典人派遣他们自己的公 民和其他地方的志愿者1万人 [25] ,也试图到那里去移民。但这些人在 德拉卑斯库斯被色雷斯人歼灭。[3]29年后 [26] ,雅典人又派遣远征 军到那里去,以尼基阿斯之子哈格浓为殖民地的首脑。他们驱逐了爱多 尼亚人,定居在那里。这个地方以前叫作恩尼亚·荷多伊或“九路”。他 们以爱昂为基地,这是他们进行贸易的海港,位于河口,离现在的城市 25斯塔狄亚 [27] 。哈格浓称这个城市为安菲波里斯 [28] ,因为它的两面 都被斯特里梦河包围着,他建筑的这个城市使它从海上和陆上都可以被 明显地看到。在大陆上,他建筑了一条城墙,横过河曲,使整个城市完 全被围护起来。

    103 现在,伯拉西达从卡尔基斯的阿涅出发前来攻打这个城市。傍 晚,伯拉西达到达阿乌龙和布罗米斯库斯 [29] ,即波尔布湖水注入海中 的地方。他在那里用过晚餐后,夜里继续行军。[2]当时,寒气凛 冽,空中飘着小雪。因此,这更促使他加速行军,如果可能的话,他可 以使安菲波里斯城的每一位居民都大吃一惊,那些准备做内应的人除 外。[3]策划这个阴谋的是安德罗斯的殖民地阿吉鲁斯的一些人,他 们住在安菲波里斯城里,还有其他一些人和他们一起行动,这些人不是 被柏第卡斯就是被卡尔基斯人拉拢过来的。[4]但是这个阴谋的主要 策划者是阿吉鲁斯本城的居民,他们住在附近,总是被雅典人猜疑,是 雅典的不公开的敌人。现在,这些人看到机会出现了,伯拉西达已经到 来,他们已经和住在安菲波里斯城里的本国同胞密谋了很长的时间,想 出卖安菲波里斯。现在他们欢迎伯拉西达进入阿吉鲁斯,随即就叛离了 雅典。当天晚上,他们带着伯拉西达来到通向安菲波里斯的桥上。安菲 波里斯离该桥还有一段距离,当时的城墙还没有像现在一样直抵桥边。 [5]桥上仅有少量守军。伯拉西达轻而易举地击溃了这支守军,一则 因为守军中有叛变者,二则因为他们没有料到在风雪之夜会有人发动突 然袭击。这样,伯拉西达通过这座桥,一下子占领了安菲波里斯城外的 所有财产,因为安菲波里斯人是散居于城外的。

    104 伯拉西达通过那座桥完全出乎安菲波里斯城里人民的意料;城 外的人,有许多人被俘,有些人逃入城里。这一切在城里公民中间引起 极大的混乱,特别是使他们彼此都不信任。[2]甚至有人说,如果伯 拉西达继续前进,直接攻城,而不让军队转到别处去劫掠的话,很可能 当时就可以攻下这个城市了。[3]但事实上,他在蹂躏了城外的乡村 之后,发现城里的内应依然没有动静,就把他的军队驻扎在那里,按兵 不动。[4]同时,反对出卖城市的党派人数众多,他们完全能够阻止 打开城门。他们与雅典派来防守这个地方的将军攸克利斯商定,派人到 色雷斯的另一位将军,本书的著者、奥洛鲁斯之子修昔底德那里,请求 援助。当时,修昔底德在塔索斯,这是帕洛斯人的一个殖民地,离安菲 波里斯城约半日航程。[5]他得到这个消息后,马上率领属下的7艘舰 船起航。他的首要目的,是及时赶到安菲波里斯,使这个城市不至于陷 落;如果不能达到这个目的,无论如何也要营救爱昂。

    105 同时,伯拉西达担心海上援兵将从塔索斯驶来,他又听说修昔 底德在色雷斯的那个地区拥有开采金矿之权,因而对大陆上的居民有很 大的影响,所以他想尽快地占领这个城市,如果可能的话,在修昔底德 赶到之前占领这个城市;因为他害怕修昔底德一到,安菲波里斯的民主 党人便指望他会同来自海上和色雷斯的诸同盟者的军队一起来拯救他 们。如果是那样,他们就会拒不投降的。[2]因此,伯拉西达提出温 和的条件,他宣布:凡是愿意投降的人,不论是安菲波里斯公民也好, 侨居的雅典人也好,都可以居留在那里,仍可拥有他们的财产,享有完 全的自由;凡是不愿意留在城内的,可以在五天之内带着他们的财产离 开安菲波里斯城。

    106 城里居民听了这个宣告之后,大都开始改变主意了。特别是因 为城里雅典人为数甚少,而大多数是来自四面八方的移民,城外的俘虏 中有许多是与城里居民有亲戚关系的。他们发现,这个宣言的内容与他 们所预先害怕的事情比较起来还算公平;雅典人也很乐于离开此地,因 为他们认为自己所冒风险比其他人都要大些,再说他们预料自己没有那 么快就会得救的。一般民众普遍感到满意的是,他们依然保有公民权 利,而他们又出乎意料地化险为夷了。[2]现在,那些和伯拉西达私 通的人看到民众的情绪已经发生改变,便公开地出来支持伯拉西达的建 议,他们不再听从在那里的雅典将军的话了。这样,双方达成协议,他 们根据上述宣言上的条件允许伯拉西达进城。[3]他们就这样放弃了 安菲波里斯城。当天傍晚修昔底德率其舰船进入爱昂港时,[4]伯拉 西达刚刚攻占安菲波里斯。当天夜里,他就准备攻打爱昂了。如果修昔 底德的舰队不全速赶到那里的话,在黎明的时候,爱昂可能就已经落入 他的手里了。

    107 之后,修昔底德着手安排爱昂的防御工作,以保障其安全,如 果伯拉西达现在或以后发动攻击的话。[2]同时,他还同意让所有那 些根据和约条款 [30] 规定已决定从安菲波里斯撤出来的人进入爱昂城 内。同时,伯拉西达突然带着许多舰船顺流而下,驶往爱昂,看他是否 可以夺取从城墙边突出来的海角,以便控制入口。同时,他还从陆地发 动攻势,但是他在海上和陆上的进攻均被击退,于是便不得不回去处理 安菲波里斯及邻近地区的事务去了。[3]爱多尼亚的一个城镇米金努 斯,也倒向他那一边了,这事发生在爱多尼亚国王皮塔库斯被哥亚克西 斯的儿子们和他自己的妻子布劳洛杀害之后。不久,塔索斯人的殖民地 加利普苏斯和奥西米也倒向他那一边去了。伯拉西达刚刚攻取安菲波里 斯,柏第卡斯就来到这里, [31] 参与安排有关事务。

    108 安菲波里斯落入敌人之手的消息,在雅典引起很大的恐慌。这 个地方不仅可以提供建造舰船所用的木材,还可以从这里得到金钱收 入,这些对于雅典都是很有用的;而且,虽然拉栖代梦人有色萨利人做 向导,到达了斯特里梦河一带雅典的同盟者那里,但是只要他们未能控 制桥梁,他们就不可能再进一步扩张,因为在面向爱昂的一面,他们要 受到雅典舰船的监视,在陆地一面,又有河水积聚而成的宽阔湖面相阻 隔。现在则相反,通道似乎畅通无阻了。雅典人还害怕同盟者的叛离, 因为伯拉西达的一言一行都表现得十分温和,无论到什么地方,他都宣 称他的使命是解放希腊。[3]一些臣属于雅典的城邦听到了安菲波里 斯失陷的消息,听到了他对安菲波里斯所提出的条件,又听说伯拉西达 举止文雅,他们非常渴望改变现状,便秘密地派使者到伯拉西达那里, 恳求他到他们的境内来,每个城邦都争先恐后地想叛离雅典。[4]的 确,他们认为这样做似乎是毫无危险的,但是后来的事实证明,雅典的 实力有多强大,他们对雅典实力估计的错误就有多大。他们的判断更多 的是出自他们无知的愿望,而不是根据任何确当的意见作出的;因为凡 人都会有这样一个习惯,对于他们渴求得到的东西,他们总会把它寄托 于一种轻率的希望,而对于他们所不想要的东西,则会用充足的理由加 以拒绝。[5]此外,雅典人新近在波奥提亚遭到重创,伯拉西达说, 雅典人在尼塞亚甚至不敢和他本人在那里所率领的军队交战, [32] 这句 话虽然是欺人之谈,但是很有煽动性。这一切使他们有了信心,使他们 相信雅典不会派军队来对付他们。[6]但是最使他们甘愿冒任何危险 的是当时的乐观情绪,以及他们第一次发现拉栖代梦人真正鼓起勇气行 动起来了。雅典人当然注意到了这些情况,虽然是在这样短的时间内得 到情报,而且又是在冬季,但是他们尽可能向各城市派遣驻防军。而伯 拉西达也派人前往拉栖代梦,请求再派一支军队去增援他,同时开始在 斯特里梦河上建造三列桨战舰。[7]可是,拉栖代梦人并未派去一兵 —卒,这部分是因为拉栖代梦的主要人物忌妒他,部分是因为他们真正 的愿望是想收回在岛上 [33] 被俘的人员,并且结束战争。

    109 在同一个冬季里, [34] 麦加拉人收复了雅典人所占领的他们的 长城, [35] 他们把长城夷为平地。伯拉西达在攻占安菲波里斯后,又率 领他的同盟者进攻阿克特,[2]这是一个由向内弯曲的波斯国王的运 河 [36] 伸展出来的一个海角,海角的尽端是阿索斯高山,濒临爱琴海。 [3]这个海角上的城镇有安德罗斯人的殖民地萨涅,该城靠近运河, 位于面向优波亚的海岸上,其他城镇有泰苏斯、克里奥尼、阿克罗索 伊、奥罗菲克苏斯[4]和狄昂,后面这些城镇居住的都是混杂的非希 腊语部族,他们所说的是两种语言。他们当中有一小部分卡尔基斯人, 但绝大多数是皮拉斯基人—属于第勒尼安族 [37] ,他们过去是住在列姆 诺斯和雅典的 [38] —比萨尔提亚人、克里斯托尼亚人和爱多尼亚人;这 些城镇都是很小的。[5]它们当中的大多数都倒向伯拉西达一边去 了,但是萨涅和狄昂坚决反对他,他带着他的军队在这两个地方破坏它 们的土地。 110 既然他们不肯屈服,伯拉西达就立即率军去进攻卡尔基狄克的 托伦涅 [39] ,这个城市由雅典驻军把守。城内有极少数人召请他来,准 备把这个城市出卖给他。他在黎明前的黑暗时刻赶到那里,带着他的军 队停留在狄奥斯库里兄弟神庙 [40] 附近,离城约3斯塔狄亚 [41] 。[2] 雅典驻军和托伦涅的其他居民完全不知道他来了,只有那些和他私通的 人知道他会来的(有极少数人秘密地出城与他相会),他们派人守望 着,等待他来。当他们得知他已经到了的时候,就马上引导7个轻装的 人,带着匕首进入城内。原先派定20人做这项工作,但是只有奥林苏斯 人吕西斯特拉图斯所率领的那7个人才敢进城来。他们经过面临海滨的 城墙而没有被发觉,杀死守卫在城市(该城市坐落在一个小丘上)最高 处的驻军,打开了面向卡那斯特莱昂海角一边的后门。

    111 同时,伯拉西达率主力部队稍稍向城市推进了一点,又停下来 了。他派遣100名轻盾兵在前面,准备在任何一道门打开和约定信号发 出的时候,他们就首先冲进去。[2]这些轻盾兵等了一些时候,不知 道内应迟缓的原因,他们就陆续来到城下。城内私通敌人的人和那些已 经进了城的人正在安排有关事务。他们拆掉后门,截断通到市场去的大 门的门闩,把大门打开,首先引导附近一些军队从后门进城,这样,他 们从后面以及两侧突然进攻,可以引起城内那些不知事情真相的公民很 大的恐慌。于是他们按照事先的约定,燃起烽火信号,并把其余的轻盾 兵从通向市场的几道大门带进城内。 112 伯拉西达看到信号,马上命令他的军队起来,跑步前进。他们 齐声高喊,引起城内居民很大的恐慌。[2]有些人从城门径直冲入城 内,有些人沿着倚靠在城墙边的方块木料爬上城墙(这些方木块是用来 托运石头,以重建那部分坍塌了的城墙的)。[3]伯拉西达和他的大 多数将士一直跑上山丘,到达该城较高的地方,以使他完全有把握从底 到顶占领整个城市,而其余的军队 [42] 则分散在城中各处。

    113 托伦涅就这样被攻下来了,托伦涅的大多数居民处于混乱之 中,根本不知道这个阴谋的情况。[2]但是那些充当内应的人以及同 情他们的人马上就和入城者联合在一起了。当时大约50名雅典重装步 兵,碰巧睡在市场上,他们得知发生事变后,有少数人在交战中被杀, 其余的大多数都逃走了,有些是从陆地上逃走的,有些则乘着正在那里 巡逻的两艘舰船,逃往列吉苏斯去了;列吉苏斯是他们自己驻守的一个 要塞,在城市的一角,突入海中,有一个狭窄的地峡与城市相隔绝 [43] 。[3]托伦涅人中那些亲雅典分子也逃到这个要塞里去了。

    114 天亮以后,伯拉西达已经把城市牢牢地控制在自己手中。于是 他向那些和雅典人一起逃亡的托伦涅人发布公告,邀请所有愿意回来的 人回来,保证他们仍享有公民权和自己的财产。他又派遣一名传令官到 雅典人那里去,要求他们退出列吉苏斯,因为这是卡尔基斯人的领土, 并且说,他们可以根据休战和约,带着他们的财产离开。[2]雅典人 拒绝接受这个建议,但是请求一天的休战,以便收殓他们的阵亡者。伯 拉西达给他们两天的休战时间;在这两天中,伯拉西达把附近的房屋设 防,而雅典人也在原地加强自己的工事。[3]同时,伯拉西达召集托 伦涅人开会,会上他发表了和他在阿堪苏斯的内容一样的言论。 [44] 他 说,千万不要把那些帮助他们攻取托伦涅的人当作坏人,或把他们视为 卖国贼,因为他们既不是为了奴役这座城市,也不是因为受贿而这样做 的,他们是为了托伦涅人的利益,为了它的自由才这样做的。那些没有 参加这项工作的人也不要以为自己不会同样地享受其成果,因为他到这 里来的目的不是想危害这个城市,也不是想危害某些个人。[4]事实 上,这正是他为什么对那些和雅典人一起出逃的人发布公告的原因。他 不认为他们的那些和雅典人友好的人就是坏人;他相信,只要他们接触 拉栖代梦人,他们就会同样地和拉栖代梦人友好的,甚至要更加友好, 因为拉栖代梦人的所作所为比雅典人要更加公道;只是由于他们缺乏亲 身体验,所以现在还惧怕拉栖代梦人。[5]同时,他劝他们都要准备 做他的忠实的同盟者,并且要对今后他们所做错的事情负责任。至于过 去,他并不认为他们对拉栖代梦人造成过损害,而是其他比他们更强大 的城邦 [45] 对他们造成过危害;在那种情况下,托伦涅人反对他是可以 原谅的。

    115 他发表演说,鼓舞他们的士气之后,一到休战期满,他马上进 攻列吉苏斯。雅典人的防御工事是一道建筑得很粗陋的城墙和一些房屋 的矮墙。[2]第一天,雅典人打退了敌人的进攻;第二天,敌人用一 个机械来进攻,他们想用机械把火投到木筑的那部分城墙上;他们已经 把军队调集到他们所认为这个机械最能发挥效力的地方和要塞最容易轰 击的地方。为了对付这个威胁,雅典人在对面屋顶上修筑了一个木塔, 他们把许多大瓮大桶的水和大块石头运人塔中,许多人爬上塔去。 [3]但是由于负荷过重,房屋不能承受,哗啦一声,房屋突然垮塌下 来。那些在现场附近看见房屋垮塌的雅典人既恐慌,更焦急;但是那些 离现场较远的人,尤其是那些离现场更远的人,以为他们的防御工事已 经在这里被突破了,他们马上逃往海滨,逃到他们的舰船上。

    116 伯拉西达看到他们放弃了矮墙,知道战事的进展情况。他领导 他的军队向前冲杀,马上攻占了这个要塞,把他在里面所发现的人全部 杀死了。[2]雅典人就这样撤出了这个地方,乘着他们的战舰和运输 船,渡海前往帕列涅去了。当时在列吉苏斯有一个雅典娜神庙,伯拉西 达在开始发动进攻的时候,曾经宣布:第一个登上城头的人,将可以得 到30明那的奖金。现在伯拉西达认为,攻取列吉苏斯乃是由于神助,而 不是由于人力,因此他把30明那献给女神,以为神庙之用;他下令拆毁 列吉苏斯要塞,清理了这个地方,把全部土地都献给女神。[3]在这 个冬季的其余的时间里,他对那些已经取得的地方的事务加以整顿,同 时筹划下一步对其他城邦的行动。这样冬季结束了,战争的第八年也随 之终结。

    117 翌年 [46] 初春,拉栖代梦人和雅典人订立了一个一年休战和 约。雅典人认为,这样,伯拉西达就不能够再唆使他们的属邦叛离,转 投到他那一边去;同时,他们有充足的时间实行维护自己安全的政策; 并且,如果对他们有利的话,还可以签署全面的和约。拉栖代梦人也觉 察到雅典人的这种用心,他们认为雅典人在艰难痛苦的战争中得到暂时 的喘息之机以后,会更加愿意和解,把战俘退还,订一个比较长期的和 约。[2]他们特别急于想在伯拉西达战争进行得还顺利的时候,取回 他们的那些被俘虏的人。如果伯拉西达再获得一些胜利,以抵偿雅典人 所占领的一切土地的话,纵或他们失去了在斯法克特里亚被俘虏的人, 他们还是可以在平等的条件下,作战到底,取得最后的胜利。[3]因 此,拉栖代梦人和他们的同盟者,根据下列条款,订立休战和约。

    118 1.关于皮西亚的阿波罗的神庙和神谕,我们同意,凡愿意去祈 求神谕的人,都可以根据祖先的惯例去求取,不要有欺诈,不要有顾 虑。[2]拉栖代梦人及其同盟者都赞同这一点,他们答应将派遣传令 官去告诉波奥提亚人和佛基斯人,尽力说服他们批准这个协定。 [3]2.关于神的财物问题,我们同意设法查出那些犯有盗取神物 罪的人来,公正地、如实地按照我们祖先的惯例进行检查,我们、你们 和所有其他人如果愿意这样做,都可以各自依照我们祖先的惯例进行。 [4]上述诸点,拉栖代梦人和其他同盟者都达成一致。 3.拉栖代梦人和其他同盟者还达成如下协议:如果雅典人要订立条 约,我们各邦都留在自己的领土内,保持各自所占领的地方。在科里法 西昂的驻军继续留在布弗拉斯和托麦乌斯的区域内 [47] ;在基塞拉的驻 军 [48] 不得与拉栖代梦的同盟国有来往,我们不得和他们来往,他们也 不得和我们来往;在尼塞亚 [49] 和米诺亚 [50] 的驻军不得越过从尼苏斯 神庙门口到波塞冬神庙的大路,以及从波塞冬神庙直达米诺亚桥 [51] 上 的大路;麦加拉人和他们的同盟者不得越过这条大路;雅典人还是可以 保有他们所占领的岛屿 [52] ,但是这个岛屿不得和同盟国来往,同盟国 也不得和这个岛屿来往:至于特洛伊曾的领土 [53] ,依照特洛伊曾人和 雅典人所达成的协议,双方各保持现在所占领的土地。 [5]4.关于海面的使用问题,拉栖代梦人及其同盟者,在他们自 己和同盟者的海岸边,可以乘坐用桨划的舰船航行,但其重量不得超过 500塔连特 [54] ,也不得乘坐战舰航行。 [6]5.所有交涉停止战争和调处双方争端的传令官和使者,以及 他们的适当的随员,在陆地上或海上来往于伯罗奔尼撒和雅典之间的时 候,应有安全的保障。 [7]6.在休战期间,你们或我们都不得收容对方的逃亡者,不论 是自由人或奴隶。 [8]7.我们向你们提出的要求和你们向我们提出的要求都应当依 照我们各邦公认的法律解决,[9]争论之点应提交仲裁,而不得诉诸 战争。 拉栖代梦人及其同盟者对以上诸条款都同意。但是如果你们有更公 平、更公正的建议的话,请到拉栖代梦来告知我们。不论是拉栖代梦 人,或是他们的同盟者,都不会拒绝你们正当的建议的。[10]如果你 们派遣代表前来的话,就授予他们有全权处理事务,正如你们要求我们 所做的。这个休战和约的有效期为一年。 雅典人民发布公告 [11]阿卡曼提斯部落 [55] 举行主席团会议。佛尼浦斯担任秘书, 尼基阿德斯主持会议。拉齐斯为雅典人民祝福,他建议他们应根据拉栖 代梦人及其同盟者所同意的条件,签订休战和约。[12]公民大会同意 签订休战和约,这个和约以一年为限,从当天,即爱拉菲波里昂月14日 开始生效;[13]在休战期内,两国应互派使者和传令官商讨关于建立 和平的基础。[14]将军们和议事会的主席团应召集公民大会,首先讨 论和平问题,讨论可以答应拉栖代梦的使团所提出的何种休战条件;现 在在场的使者应当立即向人民宣誓,保证遵守这个一年休战和约。

    119 根据这些条件,拉栖代梦人及其同盟者和雅典人及其同盟者, 在斯巴达历格拉斯提乌斯月12日 [56] 签订休战和约;[2]同盟者也参 加了宣誓。参加签约和奠酒的人如下:拉栖代梦人有爱切提米达斯之子 陶鲁斯、佩里克雷达斯之子阿特奈乌斯和爱利克西代达斯之子斐洛卡里 达斯;科林斯人有奥基图斯的埃尼亚斯和阿里斯托尼姆斯之子攸德米达 斯;西基昂人有诺克拉特斯之子达摩提姆斯和麦加克利斯之子奥那西姆 斯;麦加拉人有基卡鲁斯之子尼卡苏斯和安菲多鲁斯之子麦涅科拉特 斯;爱皮道鲁斯人有攸派达斯之子安菲亚斯;雅典将军狄伊特里弗斯之 子尼科斯特拉图斯、尼基拉图斯之子尼基阿斯和托尔马尤斯之子阿乌托 克利斯。[3]这就是他们所缔结和约的条件;在这个和约的整个有效 期内,他们不断地举行会议,讨论能否订立一个期限更长的和约。

    120 大约正当他们举行批准仪式的时候,帕列涅半岛上的城市斯基 奥涅叛离雅典,转到伯拉西达一边去了。斯基奥涅人说,他们来自伯罗 奔尼撒的帕列涅 [57] ,他们的祖先在从特洛伊航行回国途中,被阿凯亚 人所遭遇的那次风暴 [58] 吹到这里,就定居下来了。[2]得知他们叛 离的消息,伯拉西达立即星夜渡海 [59] 赶赴斯基奥涅。他让自己的一艘 三列桨战舰在前面走,他本人则乘一条小船在后面跟着;他的用意是这 样的:如果碰到一艘比自己的小船大的舰船,这艘三列桨战舰可以保护 他;如果遇着一艘同样大的三列桨战舰的话,也许这条三列桨战舰会不 管这条小船而只进攻那条大船,这样就可以使他能够安全地通过。 [3]他渡海来到斯基奥涅之后,召集斯基奥涅人开会,发表演说,内 容和他在阿堪苏斯和托伦涅所说的一样。他还补充说,他们的做法是很 值得赞赏的,因为地峡内的帕列涅虽然因为雅典人占领波提狄亚而被隔 绝,从而使他们实际上处于岛民的地位,但是他们还是主动行动起来争 取自由,而不是畏首畏尾地等待,直到外部形势迫使他们走向对于他们 最为有利的道路上去。他说,这表明他们在任何其他险恶的情况下,都 会勇往直前的;如果他们能够依照他的意旨处理事务的话,他一定把斯 基奥涅人看作拉栖代梦人的最忠实可靠的朋友,他一定在其他各方面对 他们表示尊敬。

    121 斯基奥涅人受到这些言辞的鼓舞,普遍地增强了信心,就是那 些过去反对这样做的人也有信心了;他们决心勇敢地投入战争,他们用 各种荣誉来欢迎伯拉西达。他们公开地把一顶黄金王冠加在他头上,称 他为“希腊的解放者”;某些私人也跑来,簇拥在他的周围,把花环挂在 他的身上,好像他是竞技场上的优胜者一样。[2]同时,伯拉西达临 时留给他们一小队驻防军,他本人又渡海回去了;不久之后,他又派遣 了一支比较大的军队渡海进驻斯基奥涅,想依托斯基奥涅人的帮助,袭 取门德和波提狄亚;他认为斯基奥涅犹如一个孤岛,雅典人一定会派遣 军队来进攻的,他想先发制人。另外,他正在和其他城邦进行协商,想 通过内应把它们夺取过来。

    122 正在他计划袭取这些地方的时候,一艘三列桨战舰载着一些宣 布休战和约消息的特派员到了,雅典人的代表是阿里斯托尼姆斯,拉栖 代梦人的代表是阿特奈乌斯。[2]于是他的军队又返回托伦涅去了, 委员们把休战和约的条件告诉了伯拉西达。拉栖代梦人在色雷斯的所有 同盟者都接受了这些条件,[3]阿里斯托尼姆斯对其他方面表示同 意,只是不肯把斯基奥涅包括在休战和约之内,因为他计算日期,发现 斯基奥涅的叛离是在签订和约之后。伯拉西达对此坚决反对,说斯基奥 涅的叛离实际上是在签订和约之前,因而不肯放弃斯基奥涅。[4]阿 里斯托尼姆斯把这个情况报告雅典,雅典人准备马上派遣一支远征军前 往斯基奥涅。来自拉栖代梦的使者们说,这样就等于是破坏了休战和 约,他们相信伯拉西达的话,说这个城市是属于他们的,同时建议把这 个问题提交仲裁。[5]可是,雅典人不愿意冒险选择仲裁;他们决定 马上派遣一支远征军去那里,因为使他们感到震怒的是,那些岛民现在 居然敢于叛离雅典,而他们所依靠的是拉栖代梦人的陆军势力,虽然陆 军势力对他们毫无用处 [60] 。[6]并且,雅典人坚持认为,斯基奥涅 叛变的事实是在签订和约的两天之后发生的。因此,雅典人根据克里昂 的动议,立即通过一项法令,攻克斯基奥涅,把斯基奥涅人处死。现 在,雅典人在别处没有战事,他们便准备这次远征。

    123 同时,帕列涅的一个城市,爱利特里亚人的殖民地门德也叛离 雅典了。伯拉西达毫无顾忌地把他们接收过来,尽管这很明显是在休战 和约有效期内,但是他认为门德人投向他这一边是无可指责的,因为他 认为雅典人也有些违背条约的地方。[2]门德人看到伯拉西达坚决地 支持他们,又看见他拒绝放弃斯基奥涅,这样他们就越发大胆了。在门 德,那些和伯拉西达私通的极少数人,如上所述,他们自从预谋叛变之 后,便不担心阴谋的败露,而担心他们自己的性命,甚至准备违反大多 数人的心愿而强迫他们这样做。[3]这个消息使雅典人更加愤怒,他 们准备立即进攻这两个城市。[4]伯拉西达预料到雅典人会来进攻 的,便把斯基奥涅和门德的妇女和儿童送往卡尔基狄克的奥林苏斯,又 派遣500名伯罗奔尼撒的重装步兵和300名卡尔基斯的轻盾兵,这些军队 都由波利达米达斯指挥,留在斯基奥涅和门德,准备联合起来抵御雅典 人的进攻,他们相信雅典人很快就会来进攻的。

    124 同时,伯拉西达和柏第卡斯第二次联合起来 [61] 侵入林库斯, 进攻阿拉巴尤斯。柏第卡斯的军队由他的马其顿臣民和一支驻在马其顿 的希腊人重装步兵组成,伯拉西达的军队包括那些还跟随着他的伯罗奔 尼撒的军队,还有卡尔基斯人、阿堪苏斯人和其他可供利用的军队。两 军联合起来,共有希腊重装步兵3000人,马其顿人和卡尔基斯人的全部 骑兵将近1000人,还有大批的土著的军队。[2]他们进入阿拉巴尤斯 的国境之后,发现林库斯人已经严阵以待,占据对面的阵地,准备抵抗 他们。[3]双方的步兵各占据在一座小山上,两军之间有一个平原。 双方的骑兵首先进入平原,揭开了战役的序幕。之后,林库斯人的重装 步兵从山上下来,和他们的骑兵联合起来,准备交战,伯拉西达和柏第 卡斯率军上前迎战。交锋中,林库斯人被击溃,损失很大,幸存者逃回 高地,在那里按兵不动。[4]现在,获胜者竖立一块胜利纪念碑,并 在那里待了两三天,以等待那些准备加入柏第卡斯军队的伊利里亚的雇 佣兵。当时,柏第卡斯想要进兵阿拉巴尤斯的村落,而不愿再在那里耽 搁下去了。但是伯拉西达担心雅典人乘他不在的时候从海上前往门德, 因而担心门德发生危险;同时,他看到伊利里亚人一直没有到来,因而 也不想继续前进而主张撤兵。

    125 当两人因此而发生争执的时候,有消息传来,说伊利里亚人已 经叛离柏第卡斯,投靠到阿拉巴尤斯一边去了。伊利里亚人是一个善战 的民族,双方都害怕他们,于是他们一致认为最好是撤兵。但是由于双 方的争执,所以何时撤兵并未定下来。临近傍晚,马其顿人和大批的土 著军队突然落荒而逃,在这样一支大军中很容易发生这种莫名其妙的慌 乱;他们认为一支比实际到达的人数要多出许多倍的军队正在前来向他 们进攻,因此,他们突然朝本国方向逃散。起初,柏第卡斯不知发生了 什么事,但是当他得知实际情况时,便不得不动身出发,由于两军之间 相距很远,因而他也无法和伯拉西达会面了。[2]黎明时分,伯拉西 达发现马其顿人已经跑掉,知道伊利里亚人和阿拉巴尤斯已向他进攻 了,便把他的重装步兵列成方阵,轻装步兵居于中央,他本人也准备撤 退了。[3]凡是敌人进攻他们的地方,他就派最年轻的士兵冲出,他 自己带着300名精兵殿后,在撤退的时候,利用这些军队来打击那些追 迫他们最紧的敌军。[4]现在在敌军尚未迫近的时候,他抓紧时间, 匆匆发表演说,以激励他的士兵:

    126 “伯罗奔尼撒人啊!如果不是我认为你们因为处于孤立地位,面 临人数众多的蛮族军队的进攻而丧失勇气的话,我就会像往常那样只向 你们说上几句鼓舞士气的话,而不会作进一步说明的。事实上,由于我 们的朋友抛弃了我们,面对人数众多的敌军,我要简明扼要地提醒你 们,向你们提出一些忠告,以使你们铭记最重要的问题。[2]你们应 当在交战中表现出你们一贯的勇敢,这不是因为你们在每个场合中都有 同盟者和你们在一起,而是因为你们的勇敢是与生俱来的;你们不会因 为对方人数众多而被吓倒,因为你们来自于一个少数人统治多数人而不 是多数人统治少数人的国度。在这样的邦国中,要掌握政权,除在军事 上保持优势以外,别无选择。[3]现在,你们由于缺乏经验而害怕蛮 族人,但是从你们和蛮族中的马其顿人 [62] 已有的战争中,从我自己对 他们的估计中,以及我从其他人那里所得知的情况中,可以证明他们并 不可怕。[4]当敌人表面上看很强大而实际上却很软弱的时候,了解 它的实际情况会使对手更加勇敢地对付他们;而当敌人拥有某些可靠的 优势的时候,对此一无所知的对手,只会更加勇猛地向他们发起攻击。 [5]我们现在所面对的敌人,在没有经验的人们看来,也许使他们感 到畏惧;他们的人数众多确实难以对付;他们的高声叫喊让人难以忍 受;他们把兵器在空中挥舞也是令人望而生畏的。但是当他们遇到那些 坚守阵地抵抗他们进攻的军队的时候,情况就大不相同了。他们作战时 毫无秩序;在敌人的压迫之下放弃阵地,毫不知耻。对他们而言,进攻 或临阵脱逃,都是同样光荣的,他们的勇敢是经不起考验的;他们在作 战时各自为战,任何人临阵脱逃都可以找到非常合理的借口。简单地 说,他们不愿和你们作肉搏战,他们认为在一个安全的距离内使你们受 到恐吓,是相对不冒风险的。不然的话,他们就会交战,而不仅仅是大 声叫喊、挥舞兵器了。[6]因此,你们能够清楚地看到,一开始他们 所表现出的可怕的样子,虽然我们耳闻目睹的情况确实如此,但事实上 是没有什么可怕的。当他们前来进攻的时候,你们要坚守阵地;机遇出 现时,你们又要秩序井然地撤退,这样,你们将更快地到达安全地带。 将来你们会知道,这种乌合之众,一旦他们第一次进攻遭遇到坚强抵抗 的时候,就只会做恐怖的事情来威胁,以夸耀他们的勇敢,同时他们会 远远地避开的。但是如果在他们面前退却的话,他们就会追上来,尽快 地表现他们在没有危险的时候是多么勇敢。”

    127 伯拉西达发表了这篇简短的演说之后,开始率领他的军队离开 那个地方。那些土著军队看到这种情况,跑上前来,大喊大叫,他们以 为敌人正在逃跑,他们可以抓住并杀掉敌人的。[2]但是,他们发 现,无论他们从什么地方进攻。队列中总有年轻的军人出来抵抗他们, 伯拉西达则带着他的精兵抵抗他们的进攻。这些土著军队第一次发动攻 势时,伯罗奔尼撒人并不退却,这使得他们大为诧异;接下来他们每次 进攻,都遇到同样的抵抗。当他们停止进攻时,对方就继续退却。这 样,大多数土著军队不再在开阔地上向伯拉西达所统率的希腊人发起进 攻。他们留下一部分军队在后面追赶,拖延他们的行军;其余的军队跑 到前面去,追逐那些逃散的马其顿人,把他们赶上的人都杀掉。他们比 伯拉西达先到达阿拉巴尤斯的国境线上两山之间的狭窄通道。他们占据 这个隘口,因为他们知道这是伯拉西达退却的必经之路。他们想在他走 到最难行进的路段时,把他包围起来,活捉伯拉西达。

    128 伯拉西达看出了他们的意图,命令他的300精兵向前冲,不需 保持队形,尽快冲上两座山中比较容易攻取的那一座,在山上的敌人与 周围的土著军队的主力还没有会合之前,争取击退已经占领了那座山的 土著军队。[2]这300精兵发动进攻,战胜了山上的土著军队,现在希 腊的主力军队比较容易地向那座山推进。当土著军队发现他们的士兵被 赶下高地时,他们马上惊慌起来,不再紧紧地追赶了,因为他们认为希 腊人已经越过边界逃走了。[3]高地一旦得手,伯拉西达就感到更加 安全了。同一天,他抵达阿尼萨,这是他进入柏第卡斯王国的第一个城 镇。[4]他手下的士兵痛恨马其顿人临阵脱逃,使他们陷入危险之 中,他们尽情地掠取财物,把他们在路上所遇到的所有牛的牛轭打开, 把牛群屠杀,把马其顿人丢弃在路上的行李(这是黑夜里仓皇退兵时常 有的事)都攫为己有。[5]从这时起,柏第卡斯开始把伯拉西达当作 敌人,对伯罗奔尼撒人表示仇恨了,这种仇恨和他的反雅典政策不相符 合。由于这种必然的利害关系,他开始努力与雅典人和解,和伯罗奔尼 撒人脱离关系。

    129 当伯拉西达从马其顿回到托伦涅的时候,他发现雅典人已经占 领了门德。他认为他现在不能渡海到帕列涅去,无法支援门德人,所以 他留在现在的地方,严密监视托伦涅。[2]大约在林库斯战役的同 时,雅典人完成了我在前面所提到 [63] 的准备工作之后,航海去进攻门 德和斯基奥涅,他们带着50艘舰船(其中有10艘是开俄斯人的)、1000 名雅典重装步兵、600名弓箭手、1000名色雷斯雇佣兵,以及邻近的同 盟者的一些轻盾兵。这支军队由尼基拉图斯之子尼基阿斯和狄伊特里弗 斯之子尼科斯特拉图斯指挥。[3]他们率领舰队从波提狄亚出发,在 波塞冬神庙对面靠岸登陆,进攻门德。门德人和来支援他们的300名斯 基奥涅人以及在那里帮助他们的伯罗奔尼撒军队,共有重装步兵700 名,由波利达米达斯指挥,他们在城外一座坚固的山上扎下营地。 [4]尼基阿斯率120名麦索那轻装步兵、60名精选的雅典重装步兵和全 部弓箭手,企图从一条小路冲上山顶;同时,尼科斯特拉图斯和所有其 余的军队一起,从更远地方的一个不同方向逼近这座山。道路崎岖难 行,军队秩序大乱,雅典全军几乎战败了。[5]当天,门德人和他们 的同盟者没有屈服的表示,所以雅典人撤退,建立营寨;傍晚时分,门 德人也退入城中。

    130 翌日,雅典从海上绕到斯基奥涅那一边去了,占领了它的郊 区,他们整天劫掠那里的乡村。没有人出来抗击他们,部分是因为城内 的人意见不一。当天晚上,那300名斯基奥涅士兵回来了。[2]第二 天,尼基阿斯带着半数的军队进兵到门德和斯基奥涅的边界上,破坏了 那个地方的土地。尼科斯特拉图斯带着另一半军队,在通向波提狄亚的 道路旁边,靠近门德城上门 [64] 的地方布阵。[3]但是碰巧靠近这个 地方的城内正是门德人和伯罗奔尼撒的同盟者贮藏兵器的地方;因此, 波利达米达斯开始把他的军队列成阵势,准备交战,他鼓励门德人出城 突击。[4]这时民主党人中有人对波利达米达斯表示不满,说他们不 愿出城也不要战争,但话音未落,波利达米达斯就抓住那个人的手臂, 把他拖出来一阵乱打。这件事立即使人民大为愤怒,他们马上拿起武 器,向伯罗奔尼撒人以及与伯罗奔尼撒人合作的反对党人进攻。[5] 他们一战就把伯罗奔尼撒人和反对党打垮了,一则因为这次战斗是突然 爆发的,二则因为对方害怕城门已经向雅典人敞开了,对方认为这次进 攻是他们事先与雅典人商定的。[6]那些没有就地被杀的伯罗奔尼撒 人逃到卫城中,因为卫城一开始就由他们占据着。这时候,雅典全军 (因为此时尼基阿斯已回到城墙附近)冲进门德城内。城门的打开是没 有事先订立条约的,雅典人在城内大肆劫掠,好像这个城市是他们袭击 而攻下来的一样,而将军们甚至很难阻止他们的军队屠杀城内居民。 [7]之后,雅典人告诉门德人,说他们可以和过去一样自治,但是要 审判那些他们认为对于此次叛变应负责的人。他们从卫城的两旁各筑一 条城墙,直达海边,沿着城墙都有卫兵守着,他们用这个办法来隔绝卫 城中的人与外界的联系。他们就这样取得了门德之后,便着手攻击斯基 奥涅了。

    131 斯基奥涅人和伯罗奔尼撒人冲出城外,占据城市前面一座坚固 的小山。进攻者不占领这座山,就无法建筑封锁城市的城墙。[2]雅 典人从正面向这座山发起猛攻,打败了山上的守军,把他们驱逐下来, 在安营扎寨并竖立一块胜利纪念碑之后,就准备建筑他们的环城封锁 墙。[3]在他们开始建筑环城封锁墙之后不久,那些被围困在门德卫 城中的军队,在夜间成功突围,沿海岸逃到斯基奥涅去了。他们大多数 人躲过围城军队的注意,溜进城里。

    132 就在斯基奥涅被围困期间,柏第卡斯派遣一名传令官来到雅典 的将军们那里,和雅典人达成和解。因为从林库斯退兵之事,他痛恨伯 拉西达,事实上从那时起他就与雅典人开始谈判了。 [65] [2]当时恰 好有拉栖代梦人伊斯卡哥拉斯,正准备率一支军队来增援伯拉西达。柏 第卡斯,一则因为尼基阿斯劝他,现在既已与雅典人订立和约,他应当 向雅典人证实他是可靠的;一则因为他自己也不愿意让伯罗奔尼撒人进 入他的境内,于是就开始做他的色萨利朋友(他与色萨利的首要人物一 直保持友好关系)的工作,这样便有效地阻止了伯罗奔尼撒远征军的派 遣,甚至使他们断绝了试图获准进入色萨利人的领土的想法。[3]但 是,伊斯卡哥拉斯以及阿美尼亚斯和阿里斯特乌斯三人来到伯拉西达那 里,他们是拉栖代梦人派来视察当地形势的。他们一反过去的习惯做 法,从斯巴达带来一些年轻人来出任这些城市的统治者,而不是把这些 城市交给当地人管理。因此,伯拉西达任命克里奥尼姆斯之子克里阿利 达斯统治安菲波里斯,任命希格山大之子帕西特里达斯为托伦涅的统治 者。

    133 在同一个夏季里, [66] 底比斯人摧毁了泰斯皮亚人的城墙,指 责他们采取了亲雅典的政策。事实上,底比斯人一直想摧毁他们的城 墙,现在因为他们的壮年人都在和雅典人作战中阵亡 [67] ,所以底比斯 人更容易做到了。[2]在同一个夏季里,由于女祭司克里西斯 [68] 的 疏忽,阿尔哥斯的赫拉神庙失火被烧掉了。她把一个燃烧着的火把靠近 花环,然后睡觉去了;结果,花环着火,整个神庙都燃烧起来,她才知 道。[3]克里西斯由于害怕阿尔哥斯人,当天夜里就逃到弗琉斯去 了。阿尔哥斯人按照习惯的规定,指定腓伊尼斯为女祭司。在克里西斯 出逃的时候,她在这次战争中已经做了8年半的女祭司了。[4]在这个 夏季之末,封锁斯基奥涅的城墙已经筑成,雅典人留下一支驻防军,其 余的军队就撤回国内去了。

    134 接着在冬季里, [69] 雅典人和拉栖代梦人之间,由于休战和约 的关系,没有军事行动。但是曼丁尼亚人和泰吉亚人各自带着自己的同 盟者在奥列斯提德地区的劳狄基昂交战。在这次交锋中,双方胜负未 决,因为双方都把对方的一翼打垮了 [70] ,双方各自竖立一块胜利纪念 碑,都送了战利品到德尔斐去。[2]双方的损失都是惨重的;当战斗 结果还没有决出的时候,因夜幕降临,战斗就停止了。但是泰吉亚人当 晚就在战场上竖立胜利纪念碑,而曼丁尼亚人撤退到布科里昂,后来才 竖立胜利纪念碑。

    135 在这个冬季之末,实际上差不多是春季开始的时候(公元前422年),伯拉西达向波提狄亚发动攻势。他在晚间抵达波提狄亚,在他没有被发现的 时候,他把梯子靠着城墙;他安放梯子的时候,正是守卫的士兵在传递 警铃(警铃似乎是从一个哨兵传递到另一个哨兵的;另一种方式可能更普遍些,就是一个巡查官带着警铃 巡查,每个哨兵必须回答信号,以考验哨兵的警惕性)还没有回到他自己的岗位上的时候。但是后来当伯拉西达的士 兵还没有爬上梯子的时候,警报就马上发出来了。伯拉西达没有等到天 亮,就赶忙率领他的军队回去了。

    冬季就这样结束了,修昔底德所记载的这场战争的第九年也就这样终结了。

    [1] 公元前424年。 [2] 参阅修昔底德,IV. 52。 [3] 在亚细亚一侧,拜占庭的对面。 [4] 关于波奥提亚人的政体,参阅修昔底德,V. 38。 [5] 参阅修昔底德,III. 111,114。 [6] 公元前421年的“尼基阿斯和约”。参阅修昔底德,V. 17。 [7] 在阿堪苏斯之北约19千米,亦称斯塔吉拉,是希腊“百科全书式”的学者亚里士多德(公元前384—前 322年)的出生地。 [8] 修氏这里接着IV. 79的内容叙述。 [9] 约合1800米。 [10] 公元前447年。参阅修昔底德,I. 108;III. 62。 [11] 即科帕伊斯湖。 [12] 即手持盾牌的士兵列成25排。大概是著名的“底比斯方阵”的前身。 [13] 公元前457/前456年。 [14] 参阅谢译本,第324页。 [15] 柏拉图提到,苏格拉底参加了德里昂战役,在步兵队中服役。参见柏拉图:《会饮篇》(Plato, Symposium ),22le。色诺芬在自己所著的《会饮篇》中提到,在德里昂战役中,苏氏见其跌落马下,躺在地 上,便奋不顾身,救他一命。参阅斯特拉波,IX. 2.7;第欧根尼·拉尔修:《名哲言行录》(Diogenes Laertios, Lives of Eminent Philosophers ),II. 22。 [16] 即从雅典人那里返回到波奥提亚的营地。 [17] 参阅修昔底德,IV. 89。 [18] 参阅修昔底德,II. 67,95,101。 [19] 参阅修昔底德,II. 96。 [20] 参阅修昔底德,II. 101。 [21] 公元前424/前423年。 [22] 参阅希罗多德,V. 124—126。 [23] 公元前497年。 [24] 公元前465年。 [25] 谢译本第329页为“1000人”。 [26] 公元前437/前436年。 [27] 约合4600米。 [28] 安菲波里斯的意思是“向两面看的城市”。 [29] 据说雅典三大悲剧家之一欧里庇得斯就死在这里。 [30] 参阅修昔底德,IV. 105。 [31] 柏第卡斯曾与伯拉西达发生争执(参阅IV. 86),现在双方很明显是和解了。参阅修昔底德,IV. 103。 [32] 参阅修昔底德,IV. 73,85。 [33] 斯法克特里亚岛。 [34] 公元前424/前423年。 [35] 参阅修昔底德,IV. 69。 [36] 即薛西斯运河。公元前480年薛西斯御驾亲征时开掘的运河。参阅希罗多德,VII. 22以下。 [37] 据希罗多德(VI. 137以下)记载,他们是从阿提卡被驱逐出来的,后来他们又被米太雅德从列姆 诺斯驱逐出来了。 [38] 由此可知,雅典的居民曾经是非希腊语族人。 [39] 西敦尼半岛上的主要城市。参阅地图一。 [40] 参阅修昔底德,III. 75及附注。 [41] 约560米。 [42] 马其顿和色雷斯的非正规军队。 [43] 可能有一条城墙横跨地峡。 [44] 参阅修昔底德,IV. 85—87。 [45] 指雅典人。 [46] 公元前423年。 [47] 拉栖代梦人称派罗斯为科里法里昂(IV. 3)。布弗拉斯(Buphras)和托麦乌斯(Tomeus)是海岸 边的两个高地。 [48] 参阅修昔底德,IV. 53,54。 [49] 参阅修昔底德,IV. 69。 [50] 参阅修昔底德,III. 5l;IV. 67。 [51] 指连接米诺亚和大陆间的桥。参阅修昔底德,III. 51。 [52] 大概是指阿塔兰塔。参阅修昔底德,III. 89;V. 158。 [53] 雅典人在麦萨那地峡上所建筑的要塞;参阅修昔底德,IV. 45。 [54] 约合12.5吨。 [55] 这是雅典10个地域部落之一。公元前508/前507年克里斯提尼在雅典实施民主改革,其中一项措施 即为以“地域部落”取代血缘部落。部落是阿提卡的血缘组织,根深蒂固。克氏改革目的之一旨在清除血缘组织 的基础。改革之后创建的“地域部落”,实际上是雅典的新行政区。雅典的五百人议事会是由每个新行政区选出 50名代表组成的,每部落的代表轮流担任“主席团”,轮值时间为一年的1/10,处理国家事务。 [56] 据乔治·格罗特推断,格拉斯提乌斯月12日即相当于爱拉菲波里昂月14日,这也许是正确的。爱拉 菲波里昂月(Elaphebolion )即阿提卡历的9月,相当于现在公历3月下半月到4月上半月。参阅本书附录二。 [57] 伯罗奔尼撒的帕列涅在阿凯亚地区,和西基昂相近,这个地方的人是拉栖代梦人的同盟者。 [58] 此次风暴,修昔底德在VI. 2又提到。 [59] 即从托伦涅渡海。 [60] 因为雅典人控制了海上。 [61] 参阅修昔底德,IV. 83。 [62] 显然,此时希腊人不认为马其顿人是他们当中的一支。 [63] 参阅修昔底德,IV. 122,123。 [64] 上门(upper gates)是位于该城北侧的城门。 [65] 参阅修昔底德,IV. 128。 [66] 公元前423年。 [67] 德里昂战役。参阅修昔底德,IV. 93,96。 [68] 在公元前431年已经做了48年女祭司的就是她。参阅修昔底德,II. 2。 [69] 公元前423/前422年。 [70] 双方似乎都把对方同盟者的军队打败了。

  • 弗洛伊德《梦的解析》

    目录

    弗氏原序(第一版)

    第一章一九○○年以前

    第二章梦的解析方法

    第三章梦是愿望的达成

    第四章梦的改装

    第五章梦的材料与来源

    前言

    甲、梦中的最近印象以及无甚关系的印象

    乙、孩提时期经验形成梦的来源

    丙、梦的肉体方面的来源

    丁、典型的梦

    第六章梦的运作

    前言

    甲、凝缩作用

    乙、转移作用

    丙、梦的表现方法 

    丁、梦材料的表现力 

         戊、梦的像征——更多的典型梦例

          己、一些例子——算术以及演说的梦

          庚、荒谬的梦——梦中的理智活动

     辛、梦中的感情

    壬、再度校正〔137〕

      第七章梦程序的心理

    前言

          甲、梦的遗忘

          乙、退化(后退)现像 

         丙、愿望达成 

         丁、 由梦中惊醒——梦的功能——焦虑的梦

          戊、原本的与续发的步骤——潜抑

          己、潜意识和意识——现实 

     弗氏原序(第一版) 

        我尝试在本书中描述“梦的解析”;相信在这么做的时候,我并没有超越神经病理学的范围。因为心理学上的探讨显示梦是许多病态心理现象的第一种;它如歇斯底里性恐惧、强迫性思想、妄想亦是属于此现象,并且因为实际的理由,很为医生们所看重。由后遗症看来,梦并没有实际上的重要性; 不过由它成为一种范例的理论价值来看,其重要性却相对地增加不少。不管是谁,如果他不能解释梦中影像的来源,那么他也极不可能会了解恐惧症、强迫症或是妄想,并且不能借此给病人带来任何治疗上的影响。 

        不过形成本论题的重要性的原因亦应为本著作无法完..全负责的原因——这本书里常常有许多失落的线索,以致我的论述常常不得不中断;其数目不亚于梦的形成和那比较容易被了解的病态心理问题两者间所存在的许多相关点。关于这些问题,我不拟在此书中加以讨论,不过如果时间和精力允许,并且能够得到更多的资料,那么我以后将陆续地加以探讨。 

        造成发表本书困难的另一个原因是那些运用来说明“梦的解析”的材料的特殊性。在阅读本书时,大家自然会明白为什么那些刊载于文献上,或者来源不明的梦都能够加以利用。只有本人以及那些接受我心理治疗的病患的梦才能够有资格被选用。我放弃病人的梦不用,因为其梦形成的程序由于现存的神经质特征而有不必要的混杂。不过在发表自己的梦时,我又不可避免地要将许多私人的精神生活呈露在众人面前——超过我所愿意做的,或者可以说,超过任何科学家发表其论述时所要牵涉到的私人事情(当然在诗人就不一样)。这是我的痛苦,但却是必要的;与其完全地舍弃了提供对这心理学上发现的证据,我宁可选择后 者。但自然的,我无法避免以省略或以替代品来取代我的一些草率行为。然而这么一来,它的价值就减低了不少。我只希望读者能设身处地站在我的困难立场上想一想,多多包涵;另外,如果有谁发现我的梦涉及他时,请允许我在梦中生活有这自由思想的权利。

         弗洛伊德(1900年) 

     第一章 一九○○年以前有关梦的科学研究

        以下我将讨论有关应用心理技巧 来解析梦的可能性,并由此显示所有梦均充满特别意义,而与梦者白天的精神活动有所联系,然后,我拟再就各梦所隐藏的奇异暧昧作一番演绎,以期由此看出梦的形成过程中所含之冲突或吻合之处。为了使梦的问题变成更容易了解,我对这方面的努力使我不得不对有关梦的各方说法作一通盘整理。 

        本书中我拟对早期以及当代有关梦的理论先作一概括的介绍,因为在以后的推论中,我将无法再有机会谈到这些。尽管梦的存在早已在几千年前即令人困惑研思,但科学方面的了解其实仍是非常有限。因此所有有关这方面的论述,从来就没有人能引用一家说法涵盖一切现象。读者也许都自己有过不少奇异的经验或有关此类的丰富材料,但真正有关梦的本质或其根本的解释方法,相信也仍付之阙如。当然,受一般教育而非梦析专家者对这方面的知识,那是更加贫乏了。 

        史前时期原始人类有关梦的观念,均深深影响他们对宇宙和灵魂的看法,而这些有兴趣的问题由于篇幅所限,我只好推荐有心之人详读拉巴克、史宾塞、泰勒及其他作者之名作。

         在我们未能完成释梦工作以前,我们永远无法真正了解他们对这问题所作的玄思及推测将有多重要的贡献。

         这种原始时代所遗留下来对梦的看法迄今仍深深影响一般守旧者对梦的评价,他们深信梦与超自然的存在有密切的关系,一切梦均来自他们所信仰的鬼神所发的启示。也因此,它必对梦者有特别的作用,也就是说梦是在预卜未来的。因此,梦内容的多彩多姿以及对梦者本身所遗留的特殊印象,使他们很难想象出一套有系统的划一的观念,而需要以其个别的价值与可靠性作各种不同的分化与聚合。因此,古代哲学家们对梦的评价也就完全取决于其个人对一般人文看法的差异。 

        在亚理士多德的两部作品内容曾提及梦,当时他们已认为梦是心理的问题,它并非得自神谕,而是一种由于精力过剩而来的产物。他所谓的“精力过剩”,意指梦并非超自然的显灵,而仍是受制于人类精神力的法则,当然,这多少对某些人而言,也与神灵是有点关系的。梦是按梦者本身睡眠深度所产生的不同精神活动,亚理士多德曾提过一些梦中的特点;举例而言,他观察到梦能将轻微的睡中知觉道出强烈的感官刺激(“一个睡觉中的人在他感到肉体上某部分较暖和时,他可能梦见自己走入火堆中”),由此他推论梦很容易告诉医师病人最先不易察觉的病兆(在希波克拉底的名作内就曾提过梦与疾病的联系)。 

        由此,读者可以看出在亚理士多德以前的作者们并不以为梦是一种精神活动,而坚称神谕的存在。因此,自古以来这两种不同的说法就一直无法妥协,古人曾试图将梦分成两类,一种是真正有价值的梦,它能带给梦者警告,或预卜,而另一种无价值、空洞的梦只是带来困惑或引入歧途。 

        ——-●注:

    由于本书第一章只是对本书所作概括介绍、且所占篇幅太多,又非弗氏本人之论著,故此章采布利尔(译者注:有系统地将弗洛伊德精神分析理论介绍入美国者,当数布利尔为第一人。)之节译英文本,只将有关以后读者对本书了解所需之大纲译出。毕竟正如本人所说:“大概通常读者 没有人愿意花那么多精力与时间去了解所有古今对梦的所有人不同理论吧!” 

        以下即布利尔对这六万言的第一章所作的节译: 

        科学问世以前对梦的观念,当然是由古人本身对宇宙整体的观念所酝酿而成的,他们惯于将其精神生活投射于一假想之外在现实。而且,他们所看的梦端视白天醒来后所残留的梦相,而这方面的记忆较之其他精神内容,当然变得陌生,且不寻常,仿佛是来自另外一个世界。但我们也千万不要以为这种视梦为超自然力的理论今日已不再存在。事实上,今日不只是那些深信怪力乱神的神话、小说者,仍执著于被这科学飓风横扫过所残存的鬼神之说,就是一些社会中佼佼者,尽管他们在某些方面嫌弃过分的感情用事,但他们的宗教信仰却仍使他们深信神灵之力确实是这种无法解释的梦现象的原因,某些哲学派如Schelling也深信古来相传的神力对梦的影响,而对某些思想家而言,梦的预卜力量也仍无法完全抹煞。尽管科学家们已清楚地意识到这类迷信的不可信,但所有这些纷纭不一的歧见之所以仍会存在,主要还是因为迄今心理学方面的解释仍不足以解决积存盈库的梦之材料。要想将有关梦的科学研究历史作一整理实在是一大难事,因为有些研究在某段时期确实十分有价值,但到目前为止却仍不能在一特定的方..向有真正的进展,俾能使此后的学者按已证实的成就而继续发展下去,每位学者总得对同一问题从头开始重新整理而仍无法突破这解不开的结。如果要我将这班学者按年列出他们各家的说法,我将很难对目前我们对此问题的看法作一清晰而中肯的交代,因此我宁可按其学说的内容分别讨论,而不以作者来分类,并且由手头上所整理到的资料举出各种不同的梦问题来介绍各种不同的解析。然而由于资料是如此地分散而难见于各种不同的文献,我只好要求读者对我目前所作的整理不要作太多的挑剔,毕竟我已尽量努力避免漏掉任何基本上的事实或观点。 

        在日后德文的增版中,弗洛伊德又 有以下的增补: 

        在这第二版的问世,我未对这方面文献的整理有所增补,是有其理由的。也许读者对此会有所不满,但我却决心如此。在第一版时,我耗尽心血地在开宗明义第一章里对以往的文献作整理,而我发觉这次如果在此再有所增补,将不见得能有多大助益,因为事实上,这两版相隔的九年之间,无论是文学上或实际论著上,对梦的研究并无任何新颖的卓见。自从我第一版的  《梦的解析》问世以来,从来无人问津,那些所谓“梦的研究学者”更完全忽略了我的见解,而只是一味地表现出他们那种难以接受新观念的“食古不化”与“故步自封”,正如法国讽世小说家AnatoleFrance(1844—1924)的“Lessavapascurieux”如果在科学研讨上也有报复的权利的话,那么这回也该轮到我,可以名正言顺地忽略掉他们在我这书出版以后所发表的心得。在杂志上出现的有关这方面的少数研究也总是充满对我的错误看法与缺乏了解,因此我对那些针对这书所发的批评 所作的辩驳是——他们最好再重读我的书,或者应该说他们才是应该好好读我的书的人。 

        在一九一四年德文第四版问世时,也就是我(Brill自称)的英文译本第一版问世一年后,弗氏又加了如下数语: 

        最近,这种情形显然已有改观,我这部  《梦的解析》所作的贡献已不再受人忽视。但这种新情况使我更难作整理,  《梦的解析》一书已引起一系列的新事端与问题,而作者也曾以各种不同的方式解释说明过,但在我未能架构出整套理论来反驳他们以前,我无法在本章加添任何新的补注。不过,将来若有任何卓越的文献出现的话,我一定会在以后的版本内附加上去的。 

    第二章 方法-1

    一个梦的分析 

        本书的开场白即已标出我在梦的观念所受传统看法之影响。我主要想让人们理解“梦是可以解释的”,而已经讨论过的那些对梦的解释所作的贡献,其实不过是我这份工作的附加物。在“梦是可以解释的”这前提之下,我立即发现我完全不同于时下一般对梦的看法——(事实上几乎所有梦的理论,仅除了休奈尔的以外),因为要“解释梦”即是要给予梦有个“意义”,用某些具有确实性的,有价值的内容来作“梦”的解释。但,就我们看得出的、梦的科学理论一点也帮不了梦的解释。因为,第一:根据这些理论,梦根本就不是一种心理活动,只是一种肉体的运作,透过符号以呈现于感官的成品。外行的意见一直是与此相反的。它们强调梦的动作是完全不合逻辑的。可是它们虽认为梦是不可理解的,是荒谬的,但却仍无法鼓足勇气地否认梦是有任何意义的。由本能的推断,我们可以说,梦一定有某种意义的,即使那是一种晦涩的“隐意”用以取代某种思想的过程。因此我们只要能正确地找出此“取代物”,即可正确地找出梦的“隐意”。 

        非科学界一直在努力地以两种完全不同的方法,试图对梦作一番解释。第一种方法是将整个梦作一整体来看,而尝试以另一内容来取代,此法其实就某些方面看来,是利用“相似”的原则,而且有时相当高明。这即是“符号性的释梦”。但这种方法在处理上看来极不合理、极端荒谬的梦时,一定是非常吃蹩的。圣经上约瑟夫对法老的梦所提出的解释,便是一个例子。“先出现七只健硕的牛,继之有七只瘦弱的牛出现,他们把前七个健硕的牛吞噬掉”,就被解释为暗示着“埃及将有七个饥荒的年头,并且预言这七年会将以前丰收的七年所盈余的一律耗光”。大多数有想象力的文学作家们,所编造出来的梦多是应用此种“符号性的释梦”。因为他们就用我们一般人在梦里所发现的那份“相似”来把他们的想法表现出来〔1〕。 

        主张“梦是预言未来的观念”者,即利用“符号释梦法”来对梦作一番解释,由其内容、形式加以臆测未来。要想介绍如何使用“符号释梦法”,那当然是不太可能的。解释之正确与否仍只是一种主观的推测及直觉的反应,也因此,释梦才被认为只是属于一些天生异禀之佼佼者所具的专利〔2〕。

        而另一种释梦方法,却完全放弃以上那种观念。这种方法可称之为“密码法”,因为这种方法是——视梦为一种密码,其中每一个符号,均可按密码册一般,用另一已具有意义的内容,一个个予以解释。举例而言,我梦到一封“信”和一个“丧体”等等,于是我查了一下那“释梦天书”,于是我发现“信”是“懊悔”的代号,而“丧体”是“订婚”,然后,我再 于这些风马牛不相及的各意义间寻求其中联系之经纬,编织出对将来所作之预示。在Daldis的Artemidoros所作的释梦作品里,我们也可找出类似这种“密码法”的方法〔3〕,但在释梦时,他不只注重梦的内容,连作梦者的人格、社会地位均列入考虑范围,因此同一个梦的内容,对一个富人、已婚的男人或演说家与穷人、独身者、贩夫走卒是完全不同意义的。此法的主要特点就在于视梦为一大堆片段的组合,而须就每片段个别处理。所谓纷乱的、矛盾的、怪诞离奇的梦,就只有用这方法来对付了〔4〕。 

        以上所介绍这两种常用的释梦方法的不可靠性当然是明显的。就科学的处理来看,“符号法”在应用上有限制,不能广泛适用于所有的梦。而“密码法”之可靠性又取决于每一件事物之“密码代号”是否可靠,而事实上密码的确实性又根本没有科学性的保证。因此,人们很容易同意一般哲学家与精神科医师的看法,而斥责这一套梦的解释为一种幻想〔5〕。 

        然而,我本身却持另一种看法。我曾经不只一次地被迫承认:“的确,古代冥顽执拗的通俗看法竟比目前科学见解更能接近真理”,因此,我必须坚持梦的确具有某种意义,而一个科学的释梦方法是有可能的。我之探求此种方法即循以下途径: 

        几年来,我一直尝试着找寻,对几种精神病态——如歇斯底里性恐惧症、强迫意念等的根本疗法。事实上,当我听到约瑟夫、布劳耳那段意义深长的报道——“视此种病态观念为一种症状,而尽其可能地在病人的以往精神生活中,找出其根源,则症状即可消失,而病人可得复原”,再加上以往我们其他各种疗法的失败,以及这些精神病态所显示的神秘性,才使得我不顾重重的困难,开始走上布劳耳所创的这条道路,而一直到我能在这条绝径上,拓展出一番新天地。将来我将在其他地方再另行详细补述我这套方法的技巧、形式及其所达成之成果。而就在这精神分析的探讨中,我接触到了“梦的解释”这问题。在我对病人要求将他有关某种主题所曾发生过的意念、想法通通告诉我时,就牵涉到他们的梦,也因此使我联想到,梦应该可以将它利用来作为由某种病态意念追溯至昔日忆间的桥梁。而第二步就演变成,将梦本身当作一种症状,而利用梦的解释来追溯梦的病源,而加以治疗。 

        为了这样做,病人方面需有某些心理准备。要再三地叮咛病人,注意自己心理上的感受,而尽量减少心理上习惯地对这些感受所曾引起的批判,为了能达到这目的,最好能使病人轻松地休息于榻上,闭上双眼〔6〕,而严格地遵守决不容许任何心内所浮现出来的批判,来抹煞一丝一毫的感受,并且使他了解,精神分析之成功与否,将取决于他本身之能否将所有涌上心头的感受,完全托盘说出,而不因为自己觉得那是不重要、毫不相干、甚或愚蠢的,而不说出。他必须对自己的各种意念,保持绝对公平,毫无偏倚。因为一旦他的梦、强迫意念或其他病状,无法理想地被解决时,那就是因为他仍容许本身的批判阻滞了它的道白。 

        我曾注意到,在我的精神分析工作中,一个人在“反省”时的心里状态与他自己观察自己的心理运作过程,是完全不同的。“反省”通常较专心作“自我观察”,所需的精神活动较大,当一个人在反省时,往往愁眉深锁、神色凝重,而当他作自我观察时,却往往仍保持那份悠闲飘逸。这两种情形,均须个人集中注意〔7〕,然而一个正在反省的人,却须利用他的批判能力,用来拒斥某些一旦浮现到意识境界曾使他感到不虞意念,以阻止它继续在其心理中进行,而其他有些观念,甚至在未达到意识境界,仍未为他本身所察觉前即已杜绝。

         但是,“自我观察”却只有一个工作——抑制本身的批判力。而如果他能成功地做到这点,那将有无数的意念想法,能丝毫不漏地,浮现到意识里。而借着这些,本不为自我观察者所觉察的资料,我们就可能对这些精神病态意念作一解释,同样地,梦的形成也可由此作一合理的解释。可以看出来的,这样产生的精神状态,就精神能量(流动注意力)的分布而言,颇似人们入睡前的状态。以及催眠状态在入睡前,由于某种批判能力的松懈,使得不希望的意念,涌上心头,而影响了我们意念的变化。由于这种松懈,我们均习惯地称之为“疲乏”,而这涌现的不希望的意念,往往变化为视觉或听觉上的幻象〔8〕。但在梦或病态意念的分析时,这些变化为幻象活动的,均被故意地或熟练地废弃,而将这些精神能量(或只是部分地)予以保留,用来专注于追溯这浮现到意识的不希望的意念,究竟来自何种意念。 

        (在入睡前,这种意念已转为幻象,而在自我观察中,则仍以“意念”存在。因此不希望的意念可由此而蜕变成某种希望的意念。)

         然而大多数人均发现对“自由浮现的意念”,要采取这种态度,仍有相当困难,这种“批判”的扬弃,实在很难做到。不合希望的意念,往往很自然地会引起强大的阻力,而使这意念无法浮现到意识层。然而,如果参照我们伟大的诗人席勒所说的话,我们就会发现文学的基本创作也正需此种类似的功夫。在他与哥尔纳的通信中(感谢OttoRank的整理,才有这份信件的发现),席勒对一位抱怨着自己缺乏创作力的朋友,作如下的回答:“就我看来,你之所以会有这种抱怨,完全归咎于你的理智加在你的想象力之上的限制,这儿我将提出一份观察,并举一譬喻来说明。如果理智对那已经涌入大门的意念,仍要作太严格的检查,那便扼杀了心灵创作的一面。也许就单一个意念而言,它可能毫无意义,甚至极端荒唐的,但跟随着而来的几个意念,却可能是很有价值的,也许,虽然几个意念都是一样的荒谬,但合在一起,却成了一个甚具意义的联系。理智其实并无法批判所有意念,除非它能先把所有涌现心头的意念一一保留,然后再统筹作一比较批判。就我看来,一个充满创作力的心灵,是能把理智由大门的警卫哨撤回来,好让所有意念自由地,毫无限制地涌入,而后再就整体作一检查。你的那份可贵的批判力(或者你自己要称他作什么),就因为无法容忍所有创造者的心灵的那股短暂的纷乱,而扼杀了灵感的泉涌。这份容忍功夫的深浅,也就是一位有思想的艺术家与一般梦者的分野。因此,你之所以发现毫无灵感,实在都是因为你对自己的意念批判得太早、太严格。”(一七八八年十二月一日的信)

         其实,席勒所谓的将大门口的警卫哨撤回来所做到的非批判的自我观察,绝不是困难的。 

        大多数我的病人,多能在我第一次的指导后,即能做到,而我自己如果把闪过我心头的所有念头一一记下,我可以很轻易地完全做到。这种批判活动,所耗的精神能量日减,自我观察的能量便能日增,当然,这情形尚待取决于人与物之间所耗的注意力多少而定。 

        由这方法应用的第一步骤告诉我们,一个人无法对整个梦作为集中注意的对象;只能够就每小部分逐一检释。如果我对一个毫无经验的病人发问:“这个梦究竟与你有甚关联?” 

        十之八九,他根本无法看出什么眉目的。首先,我必须替他把梦作一套剖析,然后再使他就各片断,逐一地告诉我在这一段里面究竟隐藏着哪些有关的意念。在这最重要的步骤里,我所采用的释梦方法与通俗的、以前的、野史记载的那种“符号释梦法”不太一样,而与前述的第二种方法“密码法”较为相近。与这相同的,我也是用片断、片断地,而非就整体地来研讨,同样的,我也视梦为一大堆心理元素的堆砌物〔9〕。

         在我对“心理症”的精神分析所作的作品中,曾提出不下一千个梦的解释,但我在此介绍释梦的理论和技巧时,并不拟利用这些材料。因为一般人,可能认为由这病态的梦所作的解释并不足以推广适用到普通正常人的梦。而且我还另有一个理由,因为所有这些梦的主题,往往脱离不了这些引起其心理病态的病根。因此这种梦每个都须有很长的附加说明,以及有关其心理症的性质及病源的研究报告,这些都将是极端不寻常,而与梦的本质,将有甚大的出入。相反地,我的目的是——希望能找出一条路,借着梦的解释来解决“心理症”的病人心理上更棘手的问题。然而,我手头上所收集的梦,大半均是此类“心理症”病人的梦,如果要我舍弃这些材料不用,那我就只剩下一些健康的朋友偶尔于闲谈中提及的梦或一些我在“梦生活”的演讲所已经举过的例子而已。然而,很不幸地,这些梦我又都无法作真正的分析,以寻求其真实的意义,因为我的方法比起通常的“密码法”较难些,密码法只要将内容对照那已确立的《密码代号簿》。而我,相反地,认为同样的一个梦对不同的人、不同的关联将有不同的意义。所以,最后我只有用我自己的梦——一种为几近正常的人所做的梦,而其内容的解析较丰富,而且方便,并可与每日生活,本能寻出一较清楚之关系。当然,在此我曾遭遇到究竟自我分析的真实性可靠到什么程度的问题,而且这种分析之有不确定性,也几乎是无可否认的。但就我自己的判断,自我观察总是较观察别人来得真切些,同时这样做可顺便看出究竟用自我分析的方法,可完成多少“释梦”的功夫。当然,在我自身内在方面,仍有很多需要克服的困难,每个人总是对暴露出自己精神生活中的细节,有相当的不情愿,同时也担心旁人对它的误解所生的影响。然而一个人必须能超越这些顾虑。德尔贝夫曾说过:“每一个心理学家必须有勇气承认自己的弱点,如果那样做他认为会对困难的问题有所助益的话。”而且我相信,读者们能由于这心理问题的解析所带来的兴趣,而原谅我所犯的轻率。 

        因此我拟在这里举出一个我自己的梦,来说明我的释梦方法。每一个这种梦均须有一套“前言”,所以我想请读者先生们,先要能把我的兴趣,暂时当作自己的兴趣,集中精神于我身上,甚至包括我生活上的一些繁琐细节。因为这种转移,将是探究梦的隐意所必须具有的兴趣。 

     第二章 方法-2 

         前言 

        在一八九五年夏天,我曾以“精神分析”治疗一位与我家素有交情的女病人,由于不时担心着万一失败将会影响我与她家人的友谊,而使我倍感棘手。但很遗憾的,她在我手中的治疗经过并不太顺利,我只能使她不再有“歇斯底里焦虑”,但她生理上的种种症状并未能好转。那时我尚未确知“歇斯底里症”治疗的标准,因此我以为有更好的办法,所以就提出了一个更彻底但不见得能使患者接受的“办法”,结果在患者的不同意下我们中断了治 疗。 

        有一天我的同 事奥图医生拜访了这患者——伊玛的乡居,回来后与我谈起。于是我问起她的近况,所得的回答是:“看来似乎好一些,但仍不见有多大起色。”那种语气听来就有如指责我的不对,并且我猜想,一定是那些最初就不赞成伊玛找我的治疗的亲戚们,又向奥图说了我一些坏话。但这种不如意的事,当时我并不十分介意,同时也未再向他人提起。只是当晚一气之下,就振笔疾书,把伊玛的整个医疗经过详抄一遍,寄给我的一位同事——M医师(当时他算得上我们这一门的权威),想让他看看,究竟我的医疗是否真有使人非议之处,而就在当晚(或者是隔天清晨)我做了如下一个梦,这是我当天一醒来马上写下的〔10〕

         一八九五年七月二十三日—二十四日之梦   

        有一个大厅里宾客云集,伊玛就在人丛中,我走近她,劈头第一句话就是责问她为什么迄今仍未接受我的“办法”。我说:“如果你仍感痛苦的话,那可不能再怪我,那是你自己的错!”她回答道:“你可知道我最近喉咙、肚子、胃都痛得要命!”这时我才发现她变得那般苍白、浮肿,我不禁开始为自己以前可能疏忽了某些问题而担心。于是把她带到窗口,借着灯光检查她的喉咙。正如一般常有假牙的淑女们一样,她也免不了有点不情愿地张开嘴巴,其实我以为她是不需要这种检查的……。结果在右边喉头有一块大白斑,而其他地方也多有广泛的灰小白斑排成卷花般的小带,看来很像鼻子内的“鼻甲骨”一般。于是我很快地叫M医师来再做一次检查,证明与我所见一样。……M医师今天看来不同于往常,苍白、微跛,而且脸上胡子刮得一干二净……。现在我的朋友奥图也站在伊玛旁边,另一个医生里奥波德在听诊她的胸部(衣服并未解开),并说道:“在左下方胸部有浊音。”又发现在她左肩皮肤有渗透性病灶(虽隔着衣服),我仍可摸出这伤口。M医师说:“这毫无疑问地是由细菌感染所致,那没什么问题,只要拉拉肚子,就可以把毒排出来。”……而我们都十分清楚这是怎么搞出来,大概不久以前,奥图由于伊玛当时身体不舒服而给她打了一针Propyl……Propyls……Propionic acid……Trimethylamin(那构造式我可清楚地看到呈现在我眼前)……其实,人们是很少这般轻率地使用这种药的,而且很可能当时针筒也是不够干净的……。

        这个梦似乎有许多地方占尽人家的便宜,很明显地与当天白天所发生的事息息相关。由我的“前言”,读者大概也可看出一点苗头,由奥图听到伊玛的消息,写治疗经过寄给m医师——这些事一直到睡觉时仍盘踞我心中,而产生了这么一个怪梦。其实连我本人,也不能完全明了里头的内容。我实在想不通,伊玛为什么会有那样奇怪的症状,Propionicacid的注射,M医师的安慰之词……都叫我丈二和尚摸不着头脑。尤其,后来一切的进展是那么的快,一下子就掠过去,更叫我无从捉摸,以下我打算分作几段,逐段分析。 

     第二章 方法-3

         分析 

        一、“在大厅里——有很多宾客,正受着我们的招待”:那年的夏天,我们正住在Bellevue—是Kahlenbery〔11〕附近山中的独屋,这座房子本是建来作避暑的别墅,所以都是些高大宽敞的房间。这梦是在我妻生日前一天所做,记得做梦的前一天,我妻曾与我谈及生日当天宴会的安排,并开出一列邀请的名单——而伊玛是当中之一。因此,在梦中,我就有宛如当天生日宴会的一幕出现。 

        二、我责怪伊玛为何未接受我的办法,我说:“如果你仍感痛苦,那可不能再怪我,那完全是你自己的错!”:在醒时我都有可能说出这种话,而且可能事实上我也已经说过也不一定。当时我以为(日后我已证明那是错误的)我的工作只是对患者揭示他们症状下面所隐藏的真正毛病所在而已,至于他们接受成功所系的解决的办法与否,则我无能为力。所以在梦中,我告诉伊玛那些话,无非是要表示她今日之久病不愈,实非本人“治疗”之不力…… 

        而很可能地这个梦主要目的,就在这一小段。

         三、伊玛抱怨说:“喉痛、胃痛、腹痛可把我闷死了。”胃痛是她最初找我时就已有的症状,但当时并不太严重,最多不过胃里不舒服想吐而已;至于腹痛、喉痛可就从没听说过,为何在梦中,我会替她造出这些症状,迄今我仍不明白。四、“她看来苍白、浮肿”:

         实际上伊玛一直是脸色红润,所以我怀疑大概在梦中她被另一人所“取代”了。

         五、“我开始为自己可能以前疏忽了某些问题而担心”:读者们都知道,一个精神医生常常有一种警惕,就是他往往会把其他医生们诊断为器官性毛病的症状,统统当作“歇斯底里症”来医治。可能就是这种警惕心使我产生了这一段。而且,另一种可能,就是果真伊玛的症状是由器官性毛病引起的话,那就当然不是我用心理治疗所能治好的,而我就大可不必以此当作失败而耿耿于怀。因此也许可能潜意识里,我反倒希望以前“歇斯底里症”的诊断是个错误。

         六、“我带她到窗口以便看清她的喉咙,最初她稍稍‘抗拒’,有如带着假牙的女人怕开口,我以为其实她是不需要这种检查的”:实际上我从未检查过伊玛的口腔。这梦中的情景,使我想到以前有个富婆来找我看病,她外表显得那般漂亮年轻,但一要她张开嘴巴,她就尽量要掩饰她的假牙……“其实她需要这种检查”,这句话似乎是对伊玛的恭维,但对这句话我另一种解释……。由于伊玛站在窗口的一幕,使我回想到另一经验:伊玛有一位很好的朋友,有一天我去拜访她时,她正好就像梦中伊玛一般站在窗口让她的医生——M医师(就是梦中的那位)为她检查。结果在喉头发现有白喉的伪膜……。M医师、白喉般的膜、窗口都一一在梦中呈现。现在我才发现到,这几个月来,我就一直怀疑着她也有“歇斯底里症”,而其实我之有此种的想法,只不过是因为她常有“歇斯底里症”(就像梦中的伊玛一样)。因此梦中我就把她俩作了置换。如今我才记起我一直期待着伊玛的这位朋友,迟早会找上我来医她的病。但事实上,我又自知决不可能;因为她一直是那种保守的女人,可能梦中特别提出的“拒绝”就意味着这一点。另一个对“她不需要……”的解释,可能就是指着这位朋友,因为她迄今一直能不需要外来的帮忙而好好地活着。最后剩下苍白、浮肿、假牙无法在伊玛和她这位朋友身上发现到。假牙可能来自那富婆;而另外我又想到另一人物——X夫人,她不是我的病人,而且我也真不敢领教这家伙,因为她一向就与我过不去,一点也不柔顺。她脸色苍白,而且有一次身体不好,全身浮肿……。就这样子,我同时用了几个女人来取代了伊玛,而她们与伊玛的共同点只是她们都同样地拒绝了我的医疗。我之所以在梦中用她们取代伊玛,可能是我比较关心她这位朋友,或是我嫌伊玛太笨,以致未能接受我的办法,而其他的女人可能较聪明、较能接受〔12〕。 

        七、“我在她喉头发现一大块白斑,并有小白斑排成像皱缩的‘鼻甲骨’一般”:白斑使我联想到伊玛的那位朋友的白喉;但同时又使我回想起两年前我的大女儿所遭遇的不幸,以及那一段时期的诸般不如意。那皱缩的“鼻甲骨”使我想起自己的健康问题,当时我常服用“古柯碱”来治疗鼻部的肿痛,而几天前,我听说一个病人因用了“古柯碱”,而使鼻粘膜引起了大块的“坏死”。记得一八八五年我正极力推荐“古柯碱”的医疗价值时〔13〕,曾遭来一连串的反对,而且有个至友因大量滥用“古柯碱”,而加速了他的死亡。 

        八、“我很快地叫M医师来再作一次检查”:这只是反映出M医师同我们这几人的关系,但很快地却意味着是一个特别的检查,这使我想起一个很糟的行医经验:当Sulphonal仍广泛地被使用,而看不出什么特别的副作用时,有一次病人就因我开了这种药给她,而产生严重的副作用,使我不得不马上求助于前辈们。啊!我现在才发现到,这位女病人的名字与我死去的大女儿完全一样,看来这真是命运的报应,同是一个玛迪拉,我害了她,结果就害了自己的骨肉,以眼还眼,以牙还牙。由此看来,潜意识里,我似乎常以自己的缺乏行医道德而自责。 

        九、“M医师脸色苍白、微跛、并且胡子刮得一干二净”:M医师实际上就是个脸色常常苍白而令人担心的家伙;但刮胡子、跛行却又使我想到这又是另外一个人——我那位在国外的兄长,他经常是胡子刮得最干净的人,而日前来信说,最近因大腿骨的关节炎而行动不便。但为什么这两人会在梦中合成一人呢?想来想去,唯有一个共同点——都对我所提出的意见提出异议,而使我与他们的关系极端恶化。 

        十、“奥图站在伊玛旁边,而里奥波德为她作叩诊,且注意到她的左下胸部都有阴浊音”:里奥波德也是一内科医生,是奥图的亲戚,由于两人干的是同一行当,所以一直都互不相让,当我仍在儿童精神科主持神经科门诊时,他俩都在我手下帮过忙,而两人迥然不同性格曾给我颇深的印象。奥图是敏捷、快速,而里奥波德却是沉稳、仔细而彻底。在这梦里,我无疑地在赞赏里奥波德的细心。这种比较就有如上述的伊玛她那位朋友一般,只是反映出我个人情感上的好恶。现在我才看出在梦中我思路的运行:由我对她有所歉疚的玛迪拉→我的大女儿→儿科医学→里奥波德与奥图的对照。关于梦中的“浊音”使我联想到有一回在门诊,当我与奥图看过一个病人后,正讨论不出名堂时,里奥波德再作了一次检查,发现到这个可作重要线索的“浊音”。我还另有一种想法:要是伊玛就是那病人多好,因为那病人后来已确证为“结核病”,不会像伊玛的这般难断的疑病。 

        十一、“在左肩皮肤上有渗透性的病灶”:我一下子就想到这正是我的风湿痛的部位,每当我夜半醒来,这毛病就要发作。再下一段“虽说隔着衣服,我仍可摸出这伤口”可能就指着我自己摸到自己的身体,又“渗透性病灶”这句话很少用来指皮肤上的毛病,多半都是用来指肺部,如左上后部有一“渗透性病灶”……等的说法,所以又一次我们可以看出,我内心是多么希望伊玛患的是那种极易诊断的“结核病”。 

        十二、“虽说穿着衣服”:这只是一个插句,在儿童诊所里我们一向是要他们脱光衣服作检查的,但一般女性多半是办不到的。记得有一个名医就是专门不叫病人脱衣,而能“看穿”她们的病,所以最受女病人的欢迎……这个插句,我实在看不出什么名堂。 

        十三、“M医师说:‘这是病菌感染,但没关系,只要拉拉肚子,把毒素排出就可以了!’”:这乍看是多么荒谬可笑,但要仔细追究,倒也大有文章。梦中我看出这病人有白喉,而白喉多半是有局部感染,再引起全身毛病,里奥波德曾查出伊玛胸部有一“浊音”,是否为——“转移性病灶”。但就我所知,白喉是不全在肺发生“浊音”的,难道会是“脓血症”吗?“这没什么问题……”完全是一种安慰之词,梦中m 医师说这是病菌感染——一种器官上的毛病,所以我想可能又是我要减轻我的责任——毕竟是因为她患的是器官性毛病,怪不得我这百试不爽的心理治疗会失败。要是她真的是“歇斯底里症”,那才不会……。而很可能当我的梦发展这儿时,我的意识已开始自责:“只为了自己能辩解到不必为她负责任,就不择手段,让伊玛变成感染上‘结核病’重症,是多么残酷不仁!”于是以后的梦又转向另一方向,尽往乐观的方向发展,才有这般“这没什么问题”的说法,但为什么这种安慰之词,却用这般荒谬不智的说法呢?

         老一代老一代的庸医,还有人相信白喉的毒素,可要由肠管自己排出,所以可能在这梦中,我就有意识笑M医师为这种糊涂大夫。但我又想起一件回忆:几个月前,有一个病人因消化不良找上门来,当时我一眼就看出这是“歇斯底里症”。但别的医生都诊断为“贫血、营养不良”。由于我不愿意在他身上试用“心理疗法”,所以我就劝他到海外游历以松弛一下他那长久郁积的不安。不料几天前,他由埃及寄了一封信给我,说他在那儿又发作一次,结果当地的医生诊断为“痢疾”。我实在是很怀疑,这明明是“歇斯底里症”,怎么会是“痢疾”,大概是当地医生的误诊吧!但我又忍不住开始自责:“为什么使一个有病的人,放任他到那种可能感染上“痢疾”的地方去玩?还有白喉与痢疾两个字念起来是不是也十分相近呢〔14〕?而这种情形的取代,在梦中是不乏例子的。 

        在梦中我使这些话由M医师口中说出,可能有意在开他玩笑,因为他曾告诉我一件相类似的事:有一个同事请他去会诊一个快断气的女病人。M医师由于发现到,她尿中出现大量的蛋白质,而表示不太乐观,但那同事却不当一回事地说:“这没什么问题……”因此我可能在梦中,就有意识笑这位看不出“歇斯底里症”的医生。我经常在想:“M医师可曾想过伊玛的那位朋友,不是‘结核病’而是‘歇斯底里症’?

         会不会是他看不出而误诊成‘结核病’呢?”

         但我在梦中这般刻薄地讥讽他,究竟又有什么动机呢?想来只有一个目的——报复。因为M医师与伊玛都反对我,因此在梦中,我以伊玛说她是活该,而把一种最荒谬、最可笑的话由M医师口中道出。 

        十四、我很清楚地确知那感染是怎么来的”:这句话似乎很不合理,因为在里奥波德发现“浊音”“渗透”以前,我根本没想到这会是细菌感染。 

        十五、“不久以前,当她不舒服时,奥图曾给她打了一针”:奥图到乡间拜访伊玛时,是因为乡间旅舍有急症,请他去打针而顺道找伊玛的:所以“打针”可能是由此而联想的。 

        又“打针”使我想到,我有一位至友因为注射大量“古柯碱”而中毒死亡,而当时我是主张,在戒掉吗啡中毒时,可以使用“古柯碱”。想不到,他竟一下子就打了那么大量而送命,这件事曾使我久久不得释怀。

         十六、“打的药是Propyl……Propyls……Propionicacid ……”:这劳什子药,到底是什么,我自己也从没见过。在做梦的前一天,奥图送我一瓶标着Ananas(伊玛的姓很近这个音)的酒,由于强烈的机油味道使我作呕,所以我想把它丢掉。我妻说不如送给佣人们喝,结果我就大骂她:“佣人也是人,我可不准你用这毒死他们!”也许“Amyl”与“Propyl”音很近吧!

         十七、“Trimethylamin”:在梦中,我还可以清晰地看到构造式用粗体字标出来,但Trimethylamin对我又有什么特别意义呢?记得以前我曾与一位无所不谈老友聚会时〔15〕,他告诉我,他最近对于“性”的化学研究的结果,并提到他发现Trimethy-lamin为一种性激素代谢的中间产物,因此,Trimethylamin在我梦中可能代替了“性”,而在我眼中,“性”正是一个精神病学上的大问题。我的病人伊玛是一个寡妇,如果我硬要自圆其说的话,她的毛病可能就是由“性”的不能满足而产生。当然这种说法必不会被那些追求她的人们所接受,但这样的分析,似乎也颇能与梦里情节相吻合。 

        我还是想不出Trimethylamin为什么那么清楚地出现在我梦中;它一定是个比喻,而且很可能不是“性”的代称而已,但我想不出有任何更好的解释。又提到性问题,使我记起了影响我很大的一位医学前辈,他一生专攻鼻炎或鼻窦炎,并曾发表一篇“鼻甲骨与女性生殖器官的关系”的论文,而在梦中我曾提到鼻甲骨,所以这更使我确定了:在潜意识里我认为伊玛的病与性是有一点关系的〔16〕。

         十八、“通常这种针,我们是不轻率就打的”:这完全是在指责奥图的不对。记得当天奥图告诉我伊玛的事时,我心里头就这么骂他:“你怎么这般不明是非轻率地听信伊玛家人一面之词”,但这“轻率”的打针又使我联想到,我那用过量“古柯碱”而死的朋友,以及可怜的玛迪拉……。很明显地,一方面我是借着这梦在推卸我的责任,而对不利于我的人一一报复,而另一方面我却始终摆脱不开良心的自谴。十九、“很可能连针筒也不干净”:这又是指责奥图的,但这来源可又不同,我有一位老病人已经八十二岁,两年来一直靠我每天给她两针吗啡来维持〔17〕。但最近迁到乡间以后,找了别的大夫替她打针,结果发生静脉炎。这消息使我感到非常得意,因为这表示我行医的良心与谨慎,使我两年来从没出过问题。“这一定是针筒不干净”,同时又使我想起,我妻在怀孕快生玛迪拉时,曾因打针而发生“血栓症”。由以上看来,我曾在梦中,把伊玛和我已死的爱女玛迪拉又合成了一人。 

        以上我完成了这个梦的分析〔18〕。在分析的过程中,我曾尽了最大努力去避免接受那种由“梦内容”及其背后所隐藏的“梦的想法”的比较所暗示出的各种意念,而把真正梦的意义呈现出来。由整个梦,我发掘出一贯彻前后的意向,那也就是我所以做了这个梦的动机。这梦达成了我几个愿望,而这些都是由前一个晚上奥图告诉我的话,以及我想记录下整个临床病历所引起。整个梦的结果,就在于表示伊玛之所以今日仍活受罪,并不是我的错,而应该归咎于奥图的。由于奥图告诉我,伊玛并未疹愈,而恼了我,我就用这梦来嫁祸于他。这梦得以利用其它一些原因(事实上,这些原因也搪塞了不少解释)来使我自己解除了对伊玛的歉疚。这梦呈现了一些我心里所希望存在的状况。所以我可以这么说“梦的内容是在于愿望的达成,其动机在于某种愿望”。 

        这个梦乍看似乎大体情景并无甚特别,但就愿望达成的观点来仔细推敲,则每一细节均有意义的。我之所以在梦中这般报复奥图,并不只是由于他那么轻率地就为伊玛的未痊愈而怪我,可能还因为他曾送那机油臭味的酒,所以我在梦中,把这两回事浓缩在一起,成了“Propyl的注射”。然而我仍心有不甘,于是我再拿他与较优秀的同事做比较,以继续我的报复工作。甚至我很想当他面说:“我喜欢他,远甚于你。”但是,奥图并不是我的愤怒所指向的唯一对象。同时我也对我那不听话的病人,深感不满,把她用另一个更聪明、更柔顺的人物来取代。还有,我也不放过M医师,因此,我用一种很荒唐的胡扯,来表达出我对他的看法——他的态度几乎是一个大蠢才(说了些“会发生痢疾……等等的鬼话”)事实上,看来似乎我很想用他转换为一个更好相处的朋友(那告诉我Trimethylamin的朋友),就像我将伊玛转换成她朋友,奥图转换成里奥波德。整个梦看来,我有如想说出:“使我脱离这三个可厌家伙吧!让我自己选三个人来取代吧!如此我才可逃避那我应得的这些谴责!”在梦中,这些不合情理的谴责,均经过复杂的变化后才呈现出来。伊玛的病痛,只是由于她的拒绝接受我的医疗,过不在我。而且如果那些病痛,系由器官性毛病引起,那么当然不能用我的心理治疗见效。伊玛的受苦,完全是由于她的守寡而引起的,而这我也爱莫能助,伊玛的病,是由奥图轻率的打针引起的——一种我所未曾用过的不适当的针药。伊玛的抱怨完全是由不洁的针筒所引起,就像我从未引起那老妇人的静脉炎一般。我当然很清楚这些为了我自己无罪的所有解释是前后不一致的,甚至有些互相矛盾,但这整个意图(这梦除此而外,毫无他图)使我很快地想起一个寓言——借用邻家的茶壶,而弄坏了,以致被人控诉的故事,第一步,他说他还的时候,是毫无损坏,行不通时;他的第二招,便说最初他借的时候,茶壶已有了破洞,最后,再行不通,他干脆说他根本没借过。一种很复杂的防卫机转就这样进行着。只要这三条路,有一个行得通,他便无罪了。 

        还有其他一些在梦中的小节,似乎与我要证明伊玛的事概不负责的主题,扯不上什么关系。我女儿的病,那与我女儿同名的女病人的病、“古柯碱”的害处、那到埃及旅行的病人之病情、对我太太、我哥哥、M医师的健康之关怀、我自己的健康问题、我那患有化脓性鼻炎的已故朋友……,但如果我再就这些纷乱的片段中,摘出其中共同的意义,那无非是“对我自己与别人的健康情形的关怀——即我的职业上的良心”。我现在依稀记得,那晚奥图告诉我伊玛的情形时,我曾有一种说不出的不愉快,而终于我在这梦的其他部分里把这感觉宣泄出来。那时的感受就有如奥图对我说:“你并未相当重视你的医疗道义,你没有良心,你并未实践你的承诺。”因此,我就在梦中,竭尽所能地证明,我是太过度地有良心,我是如此地关心我的亲戚、朋友和病人。很奇怪的,在梦里存在着一些痛苦的回忆,反而更证实了奥图的谴责,而不赞助我的自我告白。这些内容看来是不偏袒的,但在梦中的这些较广阔的奠基,与其较狭隘的主题“证明我对伊玛的病是无辜”之间的联系,却是无可置疑的。 

        我不敢奢望我已经把这梦的意义完全解析出来,我也不敢说我的解释是毫不瑕疵的。

         我仍可再花更多时间来讨论它,来找出更多的解释,来探讨各种可能性,我甚至能找出再深入的心路历程该是如何如何,然而这些牵涉到一个人,自己的每一个梦所遭遇到的一些不愿意再分析下去的部分,那些怪我未能分析得淋漓尽致的人,应可以自己作作实验,作得更直爽、更坦白些。就现在而言,我相当满意于这一个刚刚分析所得的发现——如果遵循上述这种梦的分析方法,我们将发现梦是具有意义的,而且绝不是一般作者对梦所说的:“梦只是脑细胞不完整的活动产品。”相反地,一旦释梦的工作能完全做到,可以发现梦是代表着一种愿望的达成。〔19〕

         ————–●注释:

         〔1〕一九○九年附注:偶然的机会里,我看到了威兼·强生所作的《格拉维拉》里,夹有许多作者编出的梦。但那看来简直像真的人所梦到的一般,我曾去信问过这位作者,而他坚称他事前完全对我的理论讳莫如深,由这看来,我的研究与作者的不谋而合,更使我深信我的“释梦”是确有意义的。

         〔2〕一九一四年附注:亚理士多德曾在DedivinationeperSommumTrans (1953)内提到善于释梦者,必须能于各种梦相中把握住共同点,因为梦相就如水中幻影一般,只要稍一碰动,影像立即歪曲变形,而唯有能于歪曲变形中看出内含之意义者,方为成功之释梦家。

         〔3〕一九一四年附注:ArtemidorosofDaldis约出生于公元第二世纪初期,他留下甚多有关释梦的整套精细的论著,而为希腊罗马时代所沿用。Theomb pez(1866)亦曾指出,释梦应当着重于观察与经验,而斥责当时忽略此一原则而作的释梦为荒谬无稽。而Gompez本身所持的释梦首要的法则,便是“联想的原则”主张一个梦象必会使释梦者心内引起甚多联想,而由此推敲出梦中含义,然而对不同的释梦者,其联想的差异将有天壤之别,根本不可能得出一致的看法,我在本书所述之释梦,则完全不同于他们前人的作法,我的释梦工作,主要靠梦者本身的联想,看某个特别梦象能使梦者联想到什么事,而逐渐抽丝剥茧地探究出来。然而,最近一位传教士Tfinkdji神父一九一三年报告说,东方的释梦者也是利用梦者的联想,他曾提到美索不达米亚的阿拉伯人“这里的释梦者,必须先对梦者问了一大堆有关梦者当时情境的问题,才肯作出正确的释梦,也就是说,释梦者决不肯让梦者的一丝一毫的隐迹逃过他们的注意范围,这些问句内,往往包括许多梦者与亲人的关系,甚至“你昨晚是否在入晚做梦前,曾与你太太性交呢?”

         〔4〕一九○九年附注:DrAlfredRobitsek曾向我指出,东方的释梦大部分偏重于读音的联想以及字与字之间的相似。这一旦透过不同文字的翻译,势必失去其中关键。出名的考古学家HugoWinckler曾对古代东方民族所用的双关语、遁词作一番研究,而留传下最有名的例子,便是靠一种字与字之间的相似所作的释梦,当马其顿的亚历山大大帝包围特洛城而久攻不下时,他曾做了一个怪梦,梦见一只半人半兽的森林之神Satyr在他的盾牌上跳舞,而当时Aristander正好随侍在他身旁,于是Aristander将这梦作了如下的分析:Satyr可分成两个希腊字,而得到一个意思Thiyros(特洛城是属于你的!)Ferenczi(一九一○)也深感到梦与语音有密切的关系,而作了如下的评语:“每一种口音都有一种自己的梦语。”因此,要想翻译外国语的释梦书,可以说是难乎其难,然而Dr.A.A.Brill 以及后继几人,居然能将此书译成英文,实属意外。 

        〔5〕当我完成此原稿以后,才偶然地翻阅到Stumpf(1899)所作的报道,他也与我同样地认为梦必有其特别意义,而且一定可以想办法加以解释。然而,他却只能以比喻式的符号法则来探究梦意,以致所得结果无法博得一般同意。

         〔6〕译者:“闭眼”的重要性,不久就已不再被强调,弗氏在一九○四年的精神分析技巧里,也特别提到,分析者不必主动要求病人闭眼了。

         〔7〕注意力的功能将于第七章再行探讨。 

        〔8〕一九一九年附注:Siberer(1909,1910,1912)曾对释梦作一极重要的贡献;他直接观察到意志如何直接变为视觉影像的过程。 

        〔9〕有关释梦的技巧,以后会再提到,其他关于精神分析治疗术所利用的梦析问题,另有专著详论。 

        〔10〕一九一四年附注:这是我所提出详释的第一个梦。 

        〔11〕Kahlenberg是维也纳近郊的胜地。 

        〔12〕我以为梦的这部分,再探下去并无法将其中的隐含都揭发出来。如果我执著于这三个女人的比较,也许会使我更难开正题——这也就是说每个梦都难免还会留下一些谜,作为与人类所能了解的部分的临界点。

         〔〔13〕这是所有德文版本的错印,其实弗氏首次发表“古柯碱”的论文为一八八四年。在钟士的弗洛伊德第一卷第六章有关于“古柯碱”的详尽的报道,而所说好友概指马索。

         〔14〕德文这两个字“Diphtherie”与“Dysenterie”更相近。

         〔15〕这位老友即指弗利斯医师,柏林的耳鼻喉科医生兼生物学家,他就在弗氏出版此书前后对其学说甚有影响。

         〔16〕这个梦的那部分分析,以后在第六章第一节,会再探讨。这段分析弗氏曾在他早期所著科学心理的计划第一卷第二十一节,以说明移置的机转。

         〔17〕在弗氏这段期间的作品,曾多次提到这位老妇人。(日常生活的心理分析第七、八章,并且在他写给弗利斯一九○一年七月八日的信中,也提起此老妇人的死讯。)

         〔18〕虽然你们也看得出,我并未能将所有在分析过程中使我想起的事实,丝毫不漏地写出来。

         〔19〕在弗氏一九○○年七月十二日写给弗利斯的信中,他曾提到他后来重游做这个梦的故地Bellvue,他写道:“你可曾想到,将来也许有一天,在这房子里会摆上一大理石,上面刻着:在这房子里,在一八九五年七月二十四日,梦的秘密被弗洛伊德博士所揭穿!” 

     第三章 梦是愿望的达成 

        当一个人爬山涉水,披荆斩棘;终于爬上一个视界辽阔的空旷地,而再发现下去便是一路坦途时,他最好是停下来,好好地想一想,下一步如何走才好〔1〕?同样地,我们现在在学习“释梦”的途中,此时也该作这份功夫。如今,我们正发现那乍现的曙光。梦,它不是空穴来风、不是毫无意义的、不是荒谬的、也不是一部分意识昏睡,而只有少部分乍睡少醒的产物。它完全是有意义的精神现象。实际上,是一种愿望的达成。它可以算是一种清醒状态精神活动的延续。它是由高度错综复杂的智慧活动所产生的。然而,当我们正为这些发现而得意时,一大堆的问题又呈现在眼前。果真梦是理论上所谓的愿望的达成,那么这种达成以如此特殊而不寻常的方式出现又作如何解释呢?在形成我们醒后所记得的梦象前,究竟我们的梦意识经过多少变形呢?这些变形又是如何发生呢?梦的材料又是从何而来呢?还有梦中的许许多多特点,臂如其中内容怎么会互相矛盾呢?梦能对我们的内在精神活动有所指导吗?能指正我们白天所持的观念吗?我以为,目前这一大堆问题最好暂且搁置一旁,而只专注一条途径。我们已发现梦是愿望的达成,下一步骤就在决定,这是否为所有梦的共同特征呢?或者那只是刚刚一个我们分析过的梦的特殊内容(有关伊玛打针的梦)。因为甚至我们已经得出“所有梦均有其意义与精神价值”的结论,我们仍需考虑“每一个梦的意义并非都相同”的可能性。我们所考虑过的第一个梦是愿望的达成,但很可能第二个梦是一种隐忧的发觉,而第三个梦却是一种自我检讨,而第四个梦竟只是回忆的唤醒。是不是除了愿望达成以外,还有别种梦呢?或难道只有这一种梦呢? 

        梦所代表的“愿望达成”往往是毫无掩饰、极为明显的,以致反而使人觉得奇怪,为什么梦会到最近才开始为人了解。有些梦,我经常可以以实验手法,随心所欲地引出来。譬如,如果我当天晚上吃了咸菜或其他很咸的食物,那么晚上我会渴得醒过来。但在这“醒过来”之前,往往先有一个同样内容的梦——我在喝水,我正喝着大碗的水,那滋味就有如干裂了的喉头,饮入了清凉彻骨的冰水一般地可口。然后我惊醒了,而发觉我确实想喝水。这个梦的原因就是我醒来后所感到的渴。由这种感觉引起喝水的愿望,而梦告诉了我它已使这愿望达成,因此它确有其功能,而其本质我不久即会提到。我平时睡眠极好,不易被身体的需求所扰醒;如果我能用这喝水的梦,来缓和我的渴,我就可以不用渴得醒过来。它就是如此一种“方便的梦”,梦就如此取代了动作。然而,很不幸地,饮水止渴的需求,却无法像我对M医师、奥图等报复的渴望一般,用梦就能满足,但其动机是一样的。不久前,我有一个与这稍微有点不同的梦,这次我在上床前,就已觉得口渴,而把我床头旁小几上的开水,整杯喝光,再去睡觉。但到了深夜,我又因口渴而不舒服,如果要再喝水,势必要起床,走到我太太床边的小几上拿茶杯不胜麻烦。因此,我就梦见我太太由一瓮子内取水给我喝。这瓮子是我以前从意大利西部古邦Etrusia所买回来收藏的骨灰坛。然而,那水喝起来是那么样的咸,(可能是内含骨灰吧!)以致我不得不惊醒过来。梦就是这般地善解人意。由于愿望的达成是梦唯一的目标,其内容很可能是完全自私的。事实上,贪图安适是很难与体贴别人不冲突的。梦见骨灰坛很可能又是一次愿望的达成,很遗憾我未能再拥有那坛,就像那放在我太太床侧的茶杯一样,我现拿不到了。而且,这坛子很适合我梦中的咸味,也因此才能促使我惊醒〔2〕。 

        在我年轻时,这种“方便的梦”经常发生。当时,我经常工作到深夜,因此早上起床对我而言,成了一件要命的差事。因此清晨时,我经常梦到我已起床在梳洗,而不再以未能起床而焦念,也因此我能继续酣睡。一个与我同样贪睡的医院同事也有过同样的梦,而且他的梦显得更荒谬、更有趣。他租了一间离医院不远的房间,每天清晨在一定的时刻女房东就会叫他起床。有天早上,这家伙睡得正甜时,那房东又来敲门,“裴皮先生,起床吧!该上医院去了。”于是,他做了一个如下的梦:他正躺在医院某个病房的床上,有张病历表挂在他头上,上面写着“裴皮·M,医科学生,二十二岁”,于是一翻身,又睡着。事后,他坦白承认这梦的动机,无非是贪睡罢了〔3〕! 

        尚有一个例子:我的一个女性病人曾作过一次不成功的下颚手术,而受医师指示,一定每天要在病痛的颊侧作冷敷,然而,她一旦睡着了,就经常会把那冷敷的布料全部撕掉。有一天,她又在睡中把敷布拿掉,于是我说了她几句,想不到,她竟有以下的辩词:这次我实在是毫无办法,那完全是由夜间所做的梦引起的。梦中我置身于歌剧院的包厢内,全神贯注于演唱中。突然想到梅耶先生正躺在疗养院里受着下颚痛的折磨。我自语道:“既然我自己并无痛感,我就不需要这些冷敷,也因此我丢弃了它。”这可怜的病人所做的梦,使我想起当我们置身于不愉快的处境时,往往口头上会说:“好吧!那我就想些更愉快的事吧!”而这梦也正是这种“愉快的事”。至于被这病人所指为颚痛的梅耶先生,只是她自己所偶然想起的一位朋友而已。 

        在一些健康人的身上,我也很容易地收集了一些“愿望达成”的梦。一位深悉我的梦的理论的朋友,曾解释这些理论给他太太听。有一天他告诉我:“我太太昨晚做梦说是她的月经又快来了,而这意思你大概很清楚吧!”当然,我很清楚当一个年轻太太梦见她月经快来时,其实是月经停了。我可以想象,她实在还很想再能自由一段日子,而不受生下子女后的负荷。另一位朋友写信告诉我,他太太最近曾梦见上衣沾满了乳汁,这其实也是怀孕的前兆。但这并非他们的头一胎,而是这年轻的妈妈,心里多么盼望,这即将诞生的第二胎比第一胎有更多的乳汁吃。

         一位年轻女人由于终年在隔离病房内,照顾她那患传染病的小孩,而很久未能参加社交活动。她曾做了个梦,梦见她儿子康复,她与一大堆包括道岱特、鲍格特、普雷弗特以及其他作家在一起,这些人均对她十分友善亲切。在梦里,这些人的面貌完全与她所收藏的画像一样。普雷弗特,这人的容貌,她并不熟悉,但看来就像那好久以来第一个从外界进到这病房来作消毒工作的人。很明显地,这梦可以解释为:“此后将不再是枯燥的看护工作而已,快乐的日子即将来临了!”

         看来这些收集已足以显示出,梦无论是如何地复杂,大部分均可以解释为愿望的达成,而且甚至内容往往是毫不隐饰即可看出的。大部分,它们多是简短的梦,而与那些使释梦者需要特别花脑筋研究的复杂梦象,形成鲜明对比。然而,只要你肯对这些最简短的梦再作一番探讨,你会发现那实在是非常值得的。我以为,小孩子由于心灵活动较成人单纯,所以所做的梦多为单纯一点的。而且根据我的经验,就像我们研究低等动物的构造发育,以了解高等动物的构造一样,我们应该可以多多探讨儿童心理学,以了解成人的心理。然而,很遗憾地,迄今很少有识之士能利用小儿心理的研究达到这目的。 

        小孩子的梦,往往是很简单的愿望达成〔4〕,也因此比起成人的梦来得枯燥,然而它们虽产生不了什么大问题,但却提供了我们无价的证明——梦的本质是愿望的达成。我曾经由我自己的儿女收集了不少如此的梦。 

        在一八九六年夏季,我们举家到荷尔斯塔特远足时,我那八岁半的女儿以及五岁三个月的男孩各做了一个梦。我必须先说明的,那年夏天我们是住在靠近奥斯湖的小山上,在天气晴朗时,我们可以看到达赫山,如果再加上望远镜,更可清晰地看到在山上的西蒙尼小屋。 

        而小孩们也不知怎地,天天就喜欢看这望远镜。在远足出发前,我向孩子们解释说,我们的目的地荷尔斯塔特就在达赫山的山脚下。而他们为此显得分外兴奋。由荷尔斯塔特再入耶斯千山谷时,小孩们更为那变幻的景色而欢悦。但五岁的男儿渐渐地开始不耐烦了,只要看到了一座山,他便问道:“那就是达赫山吗?”而我的回答总是:“不,那还是达赫山下的小丘。”就这样地问了几次,他缄默了,也不愿跟我们爬石阶上去参观瀑布了。当时,我想他也够累了。想不到,第二天早上,他神采飞扬地跑过来告诉我:“昨晚我梦见我们走到了西蒙尼小屋。”我现在才明白,当初我说要去达赫山时, 他就满心地以为他一定可以由荷尔斯塔特翻山越岭地走到他天天用望远镜所憧憬的西蒙尼小屋去。而一旦获知他只能以山脚下的瀑布为终点时,他是太失望了、太不满了。但梦却使他得到了补偿。当时,我曾试图再问此梦中的细节,他却只有一句:“你只要再爬石阶上去六小时就可以到的。”而其他内容却是一片空白,无可奉告的贫乏。

         在这次远足里,我那八岁半的女儿,也有一些可爱的愿望,靠着梦来满足。我们这次去荷尔斯塔特时,曾带着邻居一个十二岁的小男孩爱弥儿同行,这小孩子文质彬彬,颇有一个小绅士的派头,相当赢得小女的欢心。次晨,她告诉我:“爹!我梦见爱弥儿是我们家庭的一员,他称呼你们‘爸爸’‘妈妈’,而且与我们家男孩子一起睡在大卧铺内。不久,妈妈进来,把满手的用蓝色、绿色纸包的巧克力棒棒糖,丢到我们床底下。”我那小男儿,这家伙我显然未传给他丝毫释梦的道理,就像我曾提过的一般时下的作家一样,大骂他姐姐的梦是荒谬绝伦。而小女却为了她的梦中的某一部分,仍奋力抗辩。此时如果以心理症理论的观点,来看这一段她所力争的部分究竟是什么呢?她说:“说爱弥儿是我家的一员,确实是荒谬,但关于巧克力棒棒糖却是有道理的。”而这后段实令我不解,还是后来妻才为我作了一番合理的解释。原来在由车站回家的途中,孩子们停在自动售货机前,吵着要买就像女儿梦见的那种用金属光泽纸包的巧克力棒棒糖。但妻认为,这一天已够让他们玩得开心遂愿了,不妨把这愿望留待梦中去满足吧!而这一段我未注意到的插曲,经由妻一说,小女梦中的一切,我就不难了解了。那天,我自己曾听到走在前头的那小绅士,在招呼着小女:“走慢点,等‘爸爸’‘妈妈’上来再赶路。”而小女在梦中就把这暂时的关系变成永久的入籍。

         而事实上小女的感情,也只是梦中的亲近而已,决非她弟弟所谴责她的永远与那小男孩作朋友的意思。但为什么把巧克力棒棒糖丢在床下,当然不问小孩子是无法了解其意义的。

         我的朋友也曾告诉过我一个像我的儿子一样的梦,那是一个八岁的女孩所做的梦。她爸爸带了几个小孩一起徒步旅行到隆巴赫〔5〕,想由此再到洛雷尔小屋,然而因为时间太晚,半途折回,而答应孩子们下次再来。但在归途中,他们看到了往哈密欧的路标,小孩们又吵着要去哈密欧,但同样地,她爸爸也只答应他们改天再带他们去。次晨,这小女孩却兴冲冲地告诉她爸爸:“爹,我昨晚梦见你带着我在洛雷尔小屋,而且又到哈密欧。”因此,在梦中,她的不耐烦促成了她父亲的承诺的提早实现。

         还有,我那女儿三岁三个月时,对奥斯湖的迷人风光所做的梦,也是同样的妙。这小家伙,我们第一次带她游湖时,也许是因为逛得太快就登岸,而不过瘾,她竟吵着不上岸,而大哭大闹。次晨,她告诉我:“昨晚我梦见,在湖上倘佯。”但愿这梦中的游湖会使她更满足吧! 

        我的长男,八岁时,就已经做过实现幻想的梦。他在兴致勃勃地看完他姐姐送给他的希腊神话的当晚,就梦见与阿基利斯一起坐在达欧密地斯所驾的战车上驰骋疆场。 

        如果我们能把小儿的梦呓也算在梦的领域内的话,我就把底下这段当作我最早的收集材料。当我最小的女儿,只有十九个月大时,有一个早上,吐得很厉害,以致整天都不给她进食。而当晚,我就听到她口齿不清的梦呓:“安娜·弗(洛)伊德,草梅……,野(草)  梅,(火)腿煎(蛋)卷、面包粥……”,她这样子用她自己的名字一一引出她所要的东西,而这些菜均为她最喜欢吃的东西,而这些均为目前健康上所不容许的,而且护士也曾再三叮咛不准吃这些含有过多养分的食物。因此,她就在梦中发泄了她的不满〔6〕。 

        当我们说小孩因为没有性欲所以快乐时,我们可别忽略,小孩也有极多的失望,弃绝以及梦的刺激是由其他的生命冲动所引起的〔7〕。这儿有另一个例证。我的侄儿,当他二十二个月大时,在我生日那天,人家叫他向我祝福生日快乐并且送给我一小篮子的樱桃(当时樱桃产量极少,极为稀贵),他似乎不太情愿,口中一直重复地说:“这里头放着樱桃”,而一直不愿将那小篮子脱手。然而,他仍懂得如何不使自己吃亏,其中妙法是这样的:他本来每天早上,均习惯地告诉她妈妈,他梦见他一度在街上羡慕的一个穿白色军袍的军官,又来找他,但在不情愿地给了我那篮樱桃以后的隔天,他醒来后高兴地宣称:“那个军官把所有的樱桃都吃光了〔8〕。” 

        至于动物究竟做些什么梦,我可无从知道。但我却记得一个学生曾告诉我一个谚语:“鹅梦见什么?”回答是,“玉蜀黍。”(著者注:费连奇曾记载过匈牙利谚语“猪梦见什么?”“粟。”)梦是愿望的达成的整套理论,也几乎概括于两句话中〔9〕。

         现在我们仅仅利用很浅显的话,我们就已可以简单地看出梦里所隐藏的真意。诚然,格言智笺中对梦不乏讽刺轻蔑之语,正如科学家们“梦有如气泡一般”说法,但就口语来说,梦实在是非常美妙的“愿望的达成”。当我们一旦发现事实出乎意料而兴奋时,我们不是会情不自禁地叹道:“就是在我最荒唐的梦中,我也不敢作如是想”〔10〕吗?

         ————–●注释: 

        〔1〕在一八九九年八月六日写给弗利斯信中,弗洛伊德曾对本书的开场白有如下的说法:“本书是以一种漫步的手法写成。最初第一章使人看到各派权威的说法,此时令读者有如进入一片黑森林中,漆黑一片无从捉摸,然后“柳暗花明又一村”地,我用一个特别的梦,描述其细节,而渐渐导引读者到一高地,使他们能拓开视野,而问一声:下去你要再继续走哪一条路呢? 

        〔2〕魏特甘亦深懂此类口渴之梦,他曾写过:“渴感较其他感觉更来得真切,它往往带来解渴的意念,在梦中口渴可有各种方法解决,而多半取材于新近之记忆。还有另外一个共同点:一旦解渴之后,马上跟着来便会发觉这想象中的解决办法并未能满意”,而魏甘特并未注意到这一种对梦刺激的反应是可适用于一切梦的。那些因为渴感而醒来,但却没有做这种梦的人,并不见得就能推翻我的实验。这只能说他们是比我更差的睡者。 

        〔3〕此梦出自弗洛伊德在一八九五年三月四日写给弗利斯信,可算是他以梦来说明愿望达成的最早记录。

         〔4〕此系于一九一一年所补注,而GesammelteSchriften(一九二五)提到:“实验已显示出,改装过而需要再解析的梦,往往在四五岁的小孩已可看到,这也与我们有关梦改装所需条件的理论相符合。” 

        〔5〕在维也纳近郊。 

        〔6〕不久以后,这小女孩的祖母,也做了一个这类饕餮之梦,(这祖母与她的年龄之和,刚好为七十岁)她当时因肾脏不好,而被禁食一天。当晚,她再回到愉快的童年,她被请出外面吃饭,吃的都是一些最合口味的山珍海味。(这小女孩的梦在发生不久后,即已函告弗利斯。) 

        〔7〕一九一一年附注:由更进一层地对小孩心理的研究,婴孩期的性本能,的确在小孩之心理活动,有甚大的影响。而这方面却往往为人所忽略。其实,孩提时代的喜悦往往并非如成人所推想一般简单。参考弗氏“性学三论”。 

        〔8〕一九一一年附注:小孩日后会渐渐发展出较复杂、较难解的梦,相反地,成人有时却会有极简单、似婴孩期的梦。四五岁的小孩的梦,往往会有极丰富的材料,如我所发表的“一个五岁男孩恐惧症的分析”,以及杨格一九一○年所发表的梦。一九一四年附注:有关小孩的梦分析,可参考下列诸人的作品:Hug—Hellb muth(一九一一——一九一三),Putamen(一九一二)VanRaalte(一九一二)Spielein(一九一三)Tausk(一九一三)。 

        其他的报告尚有Bianchieri(一九一二)Busemann(一九○九,一九一○)Dolgia&Bianchieri(一九一二),以及特别强调“愿望的达成”的Wiggam(一九○九)。一九一一年附注:另一方面,成人在某些不寻常的外界环境下,也会做出一些婴孩型态的梦OttoNordenskjold于一九○四年,在南极洲度过冬季时,曾有下列记载:“所有我们探险队之队员都发觉,这段期间所做的梦,内容特别的新颖与丰富。每当清晨醒来,互相交换意见时,总会发觉我们这些远隔尘寰的家伙,都对过去的生活,寄予无限的憧憬与想象。我们中间一位队员,甚至梦见他又回到教室内,重操旧业地干起为学校刻印章的工作。但大多数的梦,多半是离不开吃与喝。有个家伙梦见他当晚连吃三宴,酒醉饭饱。另一个老烟鬼,却梦见满山烟叶,取之不尽。更有人梦到一只破冰船扬帆而入。还有人做得更妙的梦,梦见邮差先生,送来一大堆邮件,并且解释说,因为投递到错误的地址,才延误到现在。当然,还有一大堆更荒唐的梦,总是发现到一些不可能得到的事。但最主要的是,这些梦,看来都比较简单而缺少变化,由这些梦,我们可以清楚看出,我们是多么地盼望着睡眠,因为只有在梦乡,才有那么多的愿望能够实现。” 

        一九一四年附注:Duprel曾在一八八五年写过:“当MungoPark在一次非洲航行途中,饥渴交加下,竟梦见了他家乡的甘泉丰田。同样的,BaronTrenck被关在Magdeberg的监牢,饥肠辘辘时,也曾梦见山珍海味。还有参加弗兰克林第一次特遣队的GeeBack也在饿死边缘时,梦见每天均有丰衣足食的享受。 

        〔9〕一九一四年附注:我决不以为我是第一个发现梦是由愿望产生的人(参照下一章的开场白),其实这问题可远溯至埃及托勒密王一世时代赫洛菲洛斯医生。在一八六八年,毕宣序兹曾将梦分成三类:神明的托梦,由自己心灵自然引起的一种心象,以及一种由自己的心愿所蜕变而成的影像。一九一三年史特尔克也曾注意到在歇奈尔的收集中有愿望达成的例子。一八六一年歇奈尔写过:“梦者,因为那愿望的感情分量,在心中非常明显,以致能使梦者利用想象力,一下子便达成了它的实现。”歇奈尔当时将这类梦列为“心情的梦”,而另外在他的分类里,还有两种梦,男女之间的“色情的梦”以及“坏脾气的梦”。毫无疑问地,歇奈尔在此已看出“愿望”在梦中的重要性了。 

        〔10〕有关小孩的梦,在弗氏一九一六~一九一七年的“导论”中第八次讲义内,更有详论。其他,在他一九○一年的短论“论梦”的第三部分也有提到。 

     第四章 梦的改装-1 

        如果我现在就宣称所有的梦均为“愿望之达成”,我深信必招致最强烈的辩驳。批评我的人将会说:梦可以被解释为愿望的达成的说法,其实并非创举,在这以前如拉德斯托克、弗尔克特、普金吉、格利新格尔等均已有此说,但要说除了以愿望达成为内容以外,没有别种梦,那就未免以偏概全,而且是轻而易举即可推翻的谬论。相反地,充满不愉快内容的梦,却是屡见不鲜。悲观哲学家哈特曼是最反对这种“梦是愿望达成”的论调。在他的潜意识的哲学的第二部里(德文版第三三四页),他说:“……至于梦,可说是昼间活动中,除了理性上、艺术上较惬意的享受以外的所有烦恼,一并带入睡境所造成的产物。”其实,甚至其他一些不太悲观的观察者,也都认为梦里痛苦不祥的内容,均远较愿望达成的情形多见。有两位女士,乌依德与哈拉姆曾用她们自己的梦,以统计数字,表示出梦较多失望沮丧的内容。她们发现百分之五十八的梦是不如意的,而只有百分之二十八点六才是愉快的内容。除了那些带入我们梦境中的痛苦感情以外,尚有一些令人不能忍受,以致惊醒的“焦虑的梦”。也就是这种梦,使我们常发现,小孩睡觉时吓得大哭大叫地惊醒(参照德巴克)的梦魇(Pavornous),然而要找出最明显的愿望达成的梦,也是在小孩才找得到。所以梦未必全是千篇一律的愿望达成吧。 

        由此看来,似乎“焦急不安的梦”的实例,即足以推翻以前所提种种的梦,而且甚至也可因此指斥愿望达成的说法为无稽之谈。

         然而,要想对以上这种似乎振振有词的反调,予以辩驳,也并非难事。因为我们只要注意到,我们对梦的解释并非就其梦的表面内容作解释,我们是以探查梦里头所隐藏的思想内容而作的阐释。现在让我们来好好比较梦的显意与隐意吧!梦的显意,确实往往是痛苦不堪的,但有谁会花功夫,去找那隐藏在里头的更深一层的意义呢?如果没有下过这份功夫,那所持的两种反对论调,也就站不住脚了!因为我们那些痛苦恐怖的梦,如果经过精心分析的话,又有谁敢说,它不可能是蕴涵着愿望达成的意义在内呢?

        在科学的研究中,往往一个难题解不开时,不妨再加上另一道难题,一并考虑,反而有时能找到意外的解决办法。就如同你把两个胡桃凑在一起敲碎,比一个个分别敲容易。因此,我们现在不只要解决这一个问题——“痛苦恐怖的梦,如何解释为愿望的达成?”,还要再合并考虑另一个我们以前所提出的问题:“为什么那些乍看之下,风马牛不相及的梦,需要经过层层抽丝剥茧地,才能看出也是愿望达成的意义呢?”,就拿伊玛打针的梦这件事来说,这决不是一个痛苦的梦,而且一经过解析,可以充分看出,确实是愿望的达成,但为什么一定得经过这段解释过程呢?难道就不能直接看出它的意义吗?事实上,伊玛打针的梦,乍看之下,相信读者们甚至做梦者的我,未经分析以前,也看不出竟是梦者愿望的达成。如果我们把“梦是需要解释的”认为是一种梦的特征,而称之为“梦的改装现象”,那么次一个问题便是“梦的改装之来源是什么?”.. 

        对于梦这个问题,许多可能的发问均将被提出,譬如有人说睡觉时一个人是不能对自己的梦中想法有个真切的表达的。或说,梦的分析可能找出另一种解释。因此,我将在此再提出,我自己的第二个梦,当然也因此会把自己的一些私事卤莽地提出,以便能做清楚的解释工作,然而我确信这是值得的。

      第四章 梦的改装-2 

         前言

        在一八九七年春天,我获知有两位我们大学的教授,推荐我升为Professorextraordinarius〔1〕,这消息的确使我非常惊喜,而且也对两位杰出人物对我的垂青,感到难以置信。但不久我马上竭力要自己冷静下来,不要太期待奇迹的出现。因为过去几年学校方面,已经好几次拒绝过这种推荐,而且很多比我资深的或同年的同事,也都已等了几年,毫无着落,而我自认并不见得比他们高明多少。于是,我决定还是宁可听任自己失望,决不乱存奢望。我自知自己并非有野心之辈,而且虽没有那种教授头衔,我仍可过得十分惬意。也许那葡萄是吊得太高了,使我难免有酸葡萄之讥吧!

         有一个晚上,一位朋友R先生来找我。他的境遇一直是使我引为他山之石而自戒的,他很早就已被推荐为教授头衔(对病人而言,有了这头衔的人如神仙一般的神气),而他也比我较不死心,以致经常向上司追问何日晋升的可能性。这次他告诉我,他忍无可忍之下,坦白地逼问上司是否他之所以迟迟未能晋升与他本身的宗教派别有关。结果上司的回答是,目前碍于众议,他确实无法晋升,他说:“至少目前我已知道我自己的处境。”我这朋友所告诉我的这些,并非什么新消息,但至少他加深了我的自知之明,因为我与他是同样的教派。 

        在隔天早晨醒来时,我把当晚所做的梦记下来了。它包括两种想法与两个人物,而一个想法紧跟着便是一个人物,在梦中分两部分出现。但在此处,我只拟提出这梦的头一半,因为下一半与我这儿所要阐述的无多大关系。 

        一、“我的朋友R先生”是“我对他有很深感情的叔叔”。二、“我很近地看着他的脸,有些变了形,似乎脸拉长了,黄色胡子长满腮边,看来甚具特色”。 

        接着有两个其他部分的梦,一个人物与一个想法,但我就此从略。

         这怪梦的解释过程如下:

         当天早上我回想这梦时,我不觉一笑置之,“嘿!多无聊的梦!”然而,我却始终无法释怀,而且整天萦绕脑中。终于到了晚上,我开始自责道:“当我自己在对病人做梦的解析时,如果他们告诉我他的梦太荒唐、太无聊、不值一提,我自己一定会怀疑其中必有隐情,而非探个水落石出不可。同样地,以其人之道治其人之身。我所以认为不值得一提,正代表着心内有股怕被分析出来的阻力。“嘿!可千万别让自己跑掉!” 

        于是我就开始动工了。 

        “R先生是我叔叔”:这是什么意思?我仅有一个叔叔,名叫约瑟夫〔2〕。关于这位叔叔,说来也可怜,约三十多年前,一时为了多赚点钱,竟因此而触犯刑法,受到判刑。我父亲为了这件不幸,在几日之间,头发都变白了。他常常说约瑟夫叔叔并非一个坏人,只是一个被人利用的“大呆子”。那么,如果我梦见R先生是个大呆子,这种论调实在毫无道理,但,我确实在梦中看到那副相貌——长脸黄胡,而我叔叔就是一个长脸加上两腮长有迷人的黄胡子。至于R先生却是黑发黑胡的家伙,但当青春不再时,那黑发也会变灰,而黑胡子也一根根地由黑色而红棕而黄棕的,最后变成了灰色。R先生目前的胡色,也正是连我看了也伤心的这副苍老颜色。在梦中,我仿佛见到R先生的脸,又见到叔叔的脸一般,就有如嘉尔顿的复合照相术——嘉尔顿擅长把几张酷似的面孔重复地感光于同一底片上。由此看来,毫无疑问地我心中以为R先生是个大呆子,就像我那叔叔一般。 

        至此,我仍为自己这份解释,看不出苗头。我想其中一定还有某种动机,使我毫不保留地想揭发R先生。然而,事实上很明显地,我叔叔是个犯人,但R先生可不是什么犯人。 

        喔!对了!他曾一次因为骑自行车撞伤了一个学徒而被罚款。难道我也把这事算在心头吗?

         这种对比未免太荒谬了吧!这时,我又另外想起在几天前,我与另一位同事N先生的对话。

         其实,谈话内容亦不外乎升迁的事。我与N先生在街上邂逅,他也是被提名晋升教职,而且他也听到我最近被推荐为副教授的消息。他当场恭喜我,但我却拒绝了他。我说:“你可不能再这样揶揄我了,其实,你自己知道我只是受人提名而已,又有甚了不起。”于是,他稍带勉强地回答:“你可不要这么说,我是自己有问题,才升不上去的。你难道不知道那女人控告我的事吗?我可以告诉你,那宗案子其实完全是一种卑鄙的勒索,而我只是因努力使那被告免于被判刑而招来麻烦,很可能这件事深深地印在部长的记忆中。而你呢?可完全清白的呀!”就这样子,我又由梦的解释与趋向中引出了一个罪犯人物,我的叔叔约瑟夫象征了我的两位均被提名晋升教职的同事——一个是“大呆子”,一个是“罪犯”。现在,我也才明白了这梦之所以需要解释的地方。果真教派的歧见确实是我朋友未能晋升的症结所在,那么,我的晋升也是无望了。但如果我能找出这两位同事之间,其他我所没有的相同缺点,那么我的晋升希望就不受影响。这就是我做梦的程序。梦使R先生成了大呆子,N先生成了罪犯,而我却既非呆子,又非罪犯,于是我就大有希望问鼎晋升良机,而不必再担心R先生告诉我的那坏消息。

         走笔至此,总觉意犹未尽,对这份解释的内容,也仍不太满意,尤其是自己为了晋升高职,竟在梦中如此委曲这两位我素来敬仰的同事,更是内疚不已。还好,由于我自己深知由梦中所分析出的内容,并不是真正事实的道理,多少也可缓和一下对自己的不满。事实上,我绝对不相信有人敢说R先生是个大呆子,我也决不相信N先生曾被牵涉在勒索事件内。当然,我也不相信伊玛真的因为奥图给她打的那Propyl针而病情转劣。总之,如前所示地,梦所表现的总是一厢情愿的实现,就愿望达成的内容看来,我这第二个梦,似乎比第一个梦来得较不离谱,而且事实上,也可找出些蛛丝马迹,勉强可以解释这些可能是事实的毁谤,而发现这梦也确不是空穴来风呢。因为,当时我的朋友R先生正受着他同系里的某教授的反对,而我另一位朋友N先生,也曾私下坦白告诉过我,一些他的不可告人之事。然而,我仍欲重申我的看法,这个梦仍须再更深入地解析下去。

         现在我想起来这梦还有一些刚才解梦时,未注意到的部分。当我在梦中发现R先生就是我叔叔时,我心中对他有种深厚的感情。但到底这份感情,事实上是对谁呢?当然,对我那约瑟夫叔叔,我可从无如此深厚的感情,而R先生虽是我长年之交的好友,但要是我当面对他道出我梦中对他所具有的那份深厚感情,无疑地,他一定会深感肉麻的。果真我这份感情是对他的话,就我理智的分析,纯粹是糅合了他的才能、人格再掺杂入我对叔叔所产生的一种矛盾的感情的夸大,而这份夸大却是朝着相反方向走的。现在,我终于有所发现,这份难以解释的感情,并不属于梦的隐意,或内含的念头,而刚刚相反地,它却是与梦的内容相反的,而在梦的分析过程中,巧妙地逃过了我的注意力,很可能地,这也许就是它的主要功能。我仍记得,当初我要作这梦的分析前,曾是如何地不情愿,我一直地拖延时间,而一味地嗤之以鼻。如今,由我自己多年精神分析的经验,我深知这种“拖延”、“嗤之以鼻”更表示出其中必有文章。事实上,这份感情对梦内容而言,并无任何关联,但它至少代表了,我内心对这梦内容所产生的实在感受。如果小女不喜欢吃那苹果,她常连尝一口都不肯地,就说那苹果苦得要死。如果我的病人采取如此行动,我也马上可以惴忖到他必有所潜抑。同理,我的梦也是如此。我之所以迟迟不愿意去解释这梦,也不外是我对其中某些内容具有反感。而今,经过如此抽丝剥茧地探讨,我才知道我所反对的是把至友R先生当作大呆子,而我在梦中对R先生那段不寻常的感情,其实并不是梦内容中真正的感情,而只是代表我内心对这释梦工作不情愿的强烈程度。如果当初,我的梦就在最先关头,便被这份感情所困惑,而获悉刚刚与现在相反的解释时,那么我梦中的那份感情便实现了它的目的。换句话说,在梦中,这感情是有目的的,希望能使我们对梦作了改装。我梦中对R先生是恶意中伤的,而使我不会使相反的一面——一种的确是存在的温厚友谊浮现到梦的意识来。 

        以上所发现的道理,是可以推广到各方面均成立的。就像第三章我们所提出的梦,有些是非常显而易见的愿望达成。而一旦愿望之达成,有所“伪装”或“难以认出”必表示梦者本身对此愿望有所顾忌,而因此使这愿望只得以另一种改装的形式表达之。我将在实际的社交生活中,找出一些与此内心活动相类似的实例。在社交生活里,我们不是有很多虚伪客套吗?就两个人在一起工作而言,如果其中一个具有某种特权,那么另一位必定对他这份特权处处有所顾忌,于是他只好对他自己的内心想作的行为有所改装。换句话说,他就须戴上一副假面具。其实,每天我们待人所应用的礼节,说穿了也不过是这种虚伪。如果为了读者们,我要对我的梦作忠实的解释的话,那我势必要陷入这种自己撕破假面具的尴尬场面。甚至连诗人们也抱怨过这种虚伪的必要性,“对你所能知道最好的事,你都不可坦白告诉小孩们。”〔3〕政论作家也同样地对那些执政者有所顾忌,而把许多令人不愉快的事实予以掩盖。如果他敢坦率地道出,那么政府无疑地必会予以制裁——口头上已发表的,事后必被整肃警告,而出版于书面的,也必被禁印封锁。因此作者们为了检查者的顾虑,他就不得不对其论调,作些伪装,不是完全只字不提地明哲保身,便是旁敲侧击地将那些曾被反对的论调予以狡猾的改装。譬如,他会以两个中国满清贪官污吏的劣迹,来暗讽其国内有问题的官员。往往检查标准,越是严格,作家们就越有更聪明的方法,来暗示读者真正的内涵。

        这检查制度,使作家所作的改装,就完全与我们梦里所作的改装相类似。那么,现在,我们须假设每个人在其心灵内,均有两种心理步骤“或谓倾向、系统”〔4〕,第一个是在梦中表现出愿望的内容,而第二个却扮演着检查者的角色,而形成了梦的“改装”。但是究竟这第二个心理步骤的权威性,是靠着哪些特点,来作它的检查工作呢?如果我们想到那些梦的隐意均是经过分析才能为我们所意识到,而醒来后,就已意识到的仅是梦的显意时,我们当可推出一个合理的假设:“凡能为我们所意识到的,必得经过第二个心理步骤所认可;可那些第一个心理步骤的材料,一旦无法通过第二关,则无从为意识所接受,而必须任由第二关加以各种变形到它满意的地步,才得以进入意识的境界。由此,我们可以获知所谓意识的基本性质——意识是一种特殊的心理行为,它是由感官将其他来源的材料,经过一番加工而成的产品。而对心理病态而言,我们决不能对“意识”这一重要问题予以忽略,因此我拟在以后再另行作更详细的探讨。

        由于我用以上所述那两种心理步骤与“意识”的关系来说明我对R先生虽具有深厚感情,而在梦中却加以如许轻蔑的现象,我发觉在政界官场里,我也可以找出一些类似的现象。就一个国家的统治者而言,他那扩张私人权力的欲望往往与人民意见是相左的,而此时他往往就会有一种很令人难以理解的做法,他会故意对那人民极不喜欢的官员加以器重,给予一些不应该得到的特权,以多少发泄出他对人民意见的藐视。同样地,我这控制意识境界的第二心理步骤,也因为第一个心理步骤的愿望,曾对R先生有很深厚的感情,而把那隐藏着的冲动“把他贬斥为一个大呆子”就此发泄掉〔5〕。

        也许我们现在会怀疑说,借着梦的分析,我们可以打开哲学所一直无法解决的人类心理机转。但是,目前我并不拟循此途径去发展,我们还是先回过头来把“梦的改装”先阐释清楚。主要问题是梦中不愉快的内容,究竟如何解释成愿望的达成。我们现在已看出,所呈现的不愉快内容不外就是愿望达成的一种变相的改装。套一句我们以上提过的假设,我们也可以说,梦之所以需要改装为不愉快内容,其实就是因为其中某些内容,为第二心理步骤所不许,而同时这部分正是第一心理步骤所希冀的愿望。每一个出自第一心理步骤的梦,均为愿望之达成,而第二心理步骤却加以破坏减裁,而毫无增润〔6〕。如果我们只考虑到第二心理步骤对梦的关系而已,那么我们将永远对梦无法作一确实的认识,而本书作者发现的一些梦的问题,也将无法解决。

        每一个梦,要想证明出其中之秘密意义确乎在于愿望之达成,的确是需要一番努力的分析工作。因此,我将故意选些痛苦内容的梦,而尝试对它作一番分析。其中有些是“歇斯底里症”的患者所做的梦,因此也就须附带一些长篇的“前言”,而且有些部分,也须牵涉到患者心理过程的分析。这些,无可避免地,将是令读者更加困惑的。

        当我治疗心理症的病人时,往往他的梦就成了我们讨论的主要内容。我必须随时借着他本身的帮忙,对他所做的梦中各种细节,加以一番解释,而由此了解他的病情。此时我就常遭遇到比我同事们对我的批评更苛刻的反驳。几乎所有病人均不赞成我这“梦的愿望达成”的说法。以下就有些梦的内容被引出来驳斥我的论调。

        “你总是说,梦是愿望的达成,”一位相当聪慧的女病人告诉我,“但我现在却可以提出一个完全相反的梦,梦中我的愿望完全无法达成,这倒看你如何自圆其说?那梦是这样的,‘我梦见我想准备晚餐,但手头上只有熏鲑而已。我想出去采购,又偏巧是礼拜天下午,一切商店均关门休业。再想打电话给餐馆,偏偏电话又断了线。因此我最后只好死了这条做晚餐的心’。”

         我回答她,当然啦,虽然你这梦乍看似乎非常合理地完全与我的理论相反——根本是愿望的不能达成。但是,梦的真正意义总是需要经过分析的,决不是表面意义所能代表的。于是我问她:“到底为什么事,引起你做这梦呢?你也知道日有所思,才会夜有所梦啊?”

      第四章 梦的改装-3 

         分析 

        这病人的丈夫,是一个忠厚而能干的肉贩,在前一天曾告诉她,他自己实在胖得太快了,有必要去接受减肥治疗。今后他将早起、运动、节食,而且最重要的是,他再也不参加任何晚宴的邀请。她就取笑他。曾有一次她丈夫,在他们常去的饭馆里,认识了一位画家。

         那画家曾执意要求为他画张人像,因为那画家说,他一生从没有看过像他这般生动的面孔。

        但被她丈夫当场坦率地拒绝,他认为与其画他的脸,不如去找个漂亮的女孩子的背影,更合这画家的口味〔7〕。她深爱她丈夫,也因此痛快地取笑了他一番。她曾要求他以后再也不要给她“鱼子酱”。这句话什么意思呢? 

        他的高贵又焉能存在呢? 

        事实上,她一直憧憬着每天早餐均能有三明治加鱼子酱,但就因为俭朴的习性,使她不愿这样作。同时她也深知,只要她开口要求,她丈夫是一定会马上买给她吃的,然而,相反地,她却要求他,不要给她鱼子酱,以便她还可以再以这事来揶揄他。

        (就我看来,这段解释仍十分牵强。不够满意的解释往往背后仍隐藏着一段未坦承的告白。我想起来伯恩亥姆所作过催眠的那病人,在他对病人作“催眠后的指示”时,他问及他们的动机时,他们的回答并非如我们所想象的“我并不知道我为什么这般做”。出乎意外地,他们均会编造出一个看得出有毛病的理由来。这与我所提这女病人的鱼子酱故事是有点类似的。我们可以明了她也是在清醒状态下,不自主地编造了一个不能达成的愿望。她的梦也同样地显示了愿望的不能达成。但,她为什么需要不能达成的愿望呢?)

         至此所得资料,仍不足以对梦作一番真正的解释。于是我再逼问她。经过一段沉默,终于克服了阻力。她才想起,前一天她曾去拜访一位她先生经常称赞得使她多少有些妒意的女友。还好,她发觉那女友长得瘦长多了,而她丈夫却是最喜欢丰满身段的女人。再追问下去,她又说了,那女友曾告诉她,她恨不得能长胖些,并且问她:“你几时能再邀我吃饭呢?你永远做得那么好的菜!” 

        到此,我们总算对这梦可作一番合理的解释了!我终于能够告诉病人:其实在你那女友要你请客时,你就已心里有数:“哼!我才不请你去我家吃好菜,果真使你长胖了,再使我先生动非份之想,我宁可晚餐都不煮呢!”而你所做的梦,就说你做不了晚餐,因而满足了使你那女友长不丰满的目的。你丈夫所提出的减肥妙方不是说最重要的就是不参加人家的晚宴吗?于是在你的心中,你就有了这么一个念头“到人家家里吃饭才会长胖”。现在,似乎一切都解释通了吧!且慢!还有个“熏鲑”这劳什子东西,可有什么意义吧?“你在梦中,为什么会想到熏鲑这道菜呢?”“熏鲑是我那女友最喜欢的一道菜。”刚巧,我也认识她这位女友,而我深知这妇人节俭到舍不得吃熏鲑的程度就有如我这病人爱吃又不忍花钱吃鱼子酱的情形,完全一样。

         这个梦,再加上一些附带的种种细节,使我觉得有必要再作另一种更适当的解释。这两种解释方法,决不互相冲突,反而更能由此得窥梦意之全貌,并且也可由此看出一般心理病态形成的过程所具有的暧昧性。我们已经听过这女病人曾梦到自己愿望的否定,(想吃鱼子酱的愿望)而她的那位曾表示过希望胖的女朋友,要是在我们这病人的梦中是永远长不胖的话,那我想我们一定一点也不惊奇的。然而,事实上她只有梦到她自己吃鱼子酱的梦无法达成。因此,我们不妨把这梦作一新的解释——梦中她之不能遂愿,其实并非指她自己,而是在梦中以自己代替了那朋友的角色。用句心理学的话,就是说她把自己“仿同”成她那朋友一般。

        我想,她的确是如此地仿同了那朋友,而成了自己的不能遂愿。然而,这种歇斯底里症的“仿同作用”究竟有甚意义呢?要说明这问题可要再进一步地探讨了。“仿同作用”是产生歇斯底里症状极重要的一个动机,病人借此作用,不仅能把自己本身的经验用某种症状表现出来,甚至也可以从别人的一大堆其他经验而表现出各种奇奇怪怪乍看无法解释的症状。

        他们有时就像真能扮演人生百态的各角色。也许有人以为这不过是所谓的“歇斯底里的模仿”——“歇斯底里的病人有能力可以模仿一些发生在别人身上但却使他们印象十分深刻的症状,而且经由这种模仿可以得到所需的同情。”然而,这只不过说明了歇斯底里模仿的心理过程,所循的途径而已。而途径本身与循此途径所需的“精神行动”却是两回事。“行动”本身比我们一般所想象的歇斯底里模仿实在复杂多了,它其实就相当于潜意识的最后产物。举个实例来说吧!如果医生与一群精神病人同住一段时间。那么有一天,他也许就会发觉某个病人会突然发生类似另一女病人所发作过的肌肉抽搐。这时,这位医生也许见怪不怪地说:“因为这些人看过这女病人的发作状态,而模仿了她。”这就是所谓的“心理感染”。然而,心理感染有时却是用以下那种方式发生的;通常,病人们彼此间的了解较医生对他们个别的了解反而更多,一旦医生访视了某位病人以后,他们便会对他问东问西,予以更大的关切。如果今天有一位病人发作了,马上他们都知道那是由于刚接到的一封信,触发了他的相思病或其他心病,于是马上激起了他们的同情心。而且虽然未进入他们自己的意识界,但他们心中却形成了一个结论:“如果这种原因会导致这种症状,那么同样有这种问题的我,可能也会有这种症状发生吧!”如果这个结论进入了意识界,那么他只是会天天担心害怕那相同症状的降临,但一旦它只是深藏于潜意识里,那就会不知不觉中产生了真正他们所害怕的症状。所以“仿同作用”并非单纯的模仿,而是一种基于同病相怜的同化作用再加上某些滞留于潜意识的相同状况发作时所产生结果。

        在歇斯底里症,“仿同作用”是特别常用于有关性的方面。这种病的女患者往往将自己仿同成与她自己有过性关系的男人,不然就是仿同那些曾与她的丈夫或情夫有过暧昧关系的女人。我们在爱情中所用的话“永结同心”、“形影不离”也正说明了这种仿同的倾向。在歇斯底里的幻想里或梦境里,往往一个人只要想到性关系,而并不一定事实上发生,就可以很自然地产生仿同作用。我们所举的这女病人,她只是循着其歇斯底里的思路,由她对她朋友的嫉妒(对这解释,她是一直拒绝承认的)便把自己在梦中取代了她朋友的身份,而仿同她来编造出一个症状(愿望的否定)。我们可以进一步阐释如下:在梦中,她取代了那位朋友,是由于她那朋友抢走了她丈夫的欢心,而她自己内心非常企盼能争回她丈夫对她的珍重〔8〕。 

        还有另一位我的女病人,一位非常聪明伶俐的妇人,也做了一个与我的理论完全冲突的梦。但这也按着我那“一个愿望的未能达成,其实象征着另一愿望的达成”的原则,很简单地解决了她的不服。事情是这样的,有一天,我告诉这病人,梦是愿望的达成。而隔天,她就告诉我,她梦见她与她婆婆一道去避暑。而我早就知道,她非常不喜欢与她婆婆住在一起打发这夏天。而且,我也听说,她很高兴地已经在离她婆婆要去避暑的地方相当远处租到了房子。因此这个梦,看来又与我的理论正适得其反。难道这可以证明我的理论是错误的吗?

        由这梦的推论所得的解释看来,我是完全错了。但,其实她最大的愿望,就是希冀我的一切都是错的,而这梦也就正满足了她这种希望。她之所以希冀我有错误,事实上是一件严重的问题。因为,在她接受我心理分析治疗期间,由她所供给的资料中,我曾分析出她生命的某段时间内,曾有某些事情的发生,与她目前的病情大有关系。而这一点,她却因完全记不起来而否认。但不久以后,经过一番追问,我们终于找出了我的断言确实是对的,也因此她心理就不自觉地希望有一天能证明我的话是错的。于是她就将此愿望,转变成梦中与她婆婆一道下乡避暑的根本不可能发生的荒诞怪事。

        现在,我再随便举个小例子,不用分析,单凭一点假设,也可看出一点释梦的端倪。我有一位与我同窗八年的律师朋友,曾有一次在小聚会里,听我对他们介绍关于梦是愿望达成的理论。回家后,他竟做了一个怪梦:“他的所有讼案,全部败诉,”于是他就跟我抱怨了一番。当时,我只好推说:“风水轮流转,一个人毕竟不可能永远胜诉吧!”但我私底下却在想:“八年同学期间,我一直名列前茅,而这家伙成绩,始终平平,因此会不会他内心总有个想法,希望有一天我也会表现得只不过尔尔呢?”

        还有一个女病人告诉过我一个更悲惨的梦,来反驳我的理论。这病人是个年轻少女,以下便是她的独白:“你总记得我姐姐现在只有一个男儿查理吧,她那长男奥图在我尚与他们同住在一起时,即告夭折。我当时最疼爱奥图,而且他也几乎都是由我带大的。当然,我也很喜欢查理,但他总不及奥图那么惹人爱。昨晚,我竟做了一个怪梦:我梦见查理僵硬地躺在小棺木内,两手交叉平放着,周围插满了蜡烛。总之,那样子就像当年奥图死时的情景。

        现在,请你告诉我,究竟这梦是什么意思呢?你了解我的,难道我真的那般狠心地希冀我姐姐连那最后的一个宝贝儿子都死去吗?或者说这梦只是表示出我宁可查理代替我那宝贝的奥图去死呢?”

        我保证她,她所做的第二个解释是一定不成立的。经过一番思考以后,我终于能够给她一个满意的解释。当然,主要还是因为我对她过去的一切都有很深的了解。 

        这女病人是幼失怙恃的孤儿,从小即由较年长甚多的大姐养大。在那常来她家拜访的亲友中,她邂逅了一位使她一见倾心的人物。有一段时间他们几乎已到了谈论婚嫁的阶段。然而,这段美满良缘却因她大姐无理的反对,而告吹。经过这段破裂,那男的就尽量避免到她家来,而她自己在奥图(这她曾把那破碎的爱情转移到他身上的小孩子)不幸夭折后,她也伤心地离家远行,另谋独立。然而,她却始终无法忘怀这使她一度倾心的男友。但她的自尊心,使她不愿主动去找他,而她又无法将这份爱情转移给其他对她求婚的人。她这爱人是一个文学教授,不管他在哪儿有个学术演讲,她必是永远在场的听众,而且她从不放过任何一个可以偷偷望他一眼的机会。我记得在做这梦的前一天,她曾告诉我,这教授明天将有一个发表会,而她也一定要赶去给他捧场。也就在这发表会的前一个晚上,她做了以上那个梦,而她告诉我梦见的日子也就是发表会的这一天。因此我能很清楚地看出了这梦的真谛。于是,我追问她究竟在奥图死后,有什么特别事件发生呢?她马上回答道:“当然,我记得最清楚了,教授在阔别这么久后,也突然赶回吊丧,而使我在奥图的小棺木旁,再度与他重逢。”而这就正是我早就心里有数的。于是我有了如下的解释:“如果现在另一个男孩子又死了,那种同样的情形,将必会再重演。你将回去与你姐姐厮守终日,而教授也一定会来吊丧,如此你就能够再一样地与他重逢。这梦只不过是表示了强烈的想再见他一面的愿望——一个你一直在内心挣扎,不得安宁的愿望,我知道你已买了今天发表会的门票,你的梦是一种焦躁的梦,对那差几小时就可达到的愿望都等不及的表现。” 

        为了把她的愿望,予以更周全的伪装,她在梦中还故意选用了最悲哀的气氛——丧事,以掩饰那与此完全相反的爱情之狂热。然而,事实上,在她最疼爱的奥图死亡的时刻,她仍无法抑制自己对这久别的情郎所具有的寸断柔情。

         此外,我又分析过一个内容大略相似的梦,但解析出来的结果,竟是与上一个病人完全相反的意义。这是一个富于急智、天性乐观的中年妇人,在她作“自由联想”时,其联想之丰富迅捷也着实使我相当佩服。她梦中仿佛看到她那十五岁的女儿,僵死地躺在“箱中”。

         虽然她自己也考虑到关于“箱子”这东西,可能隐含有某种意思在内〔9〕,她仍坚决地以此梦来驳斥我所主张的“梦是愿望的达成”。经过一段的分析以后,她想起这前一个晚上,她曾与一大堆朋友,提到英文字Box这个字,可以翻译成一大堆德文的不同意义的字,臂如箱子、包厢、橱柜、掌掴等等。由梦中的其他内容看来,很可能事实上在她心里曾把英文字“Box”与德文的盒子(Büchse)拉上了关系。而且她也深知在德国的猥亵谑语中,往往Büchse这个字是指着女性生殖器的。这样看来,我们也许就可大胆地加上解剖学眼光来看,她的“小孩死在箱子里”实在意味着“小孩死在子宫里”。至此,她不再否认这样一说倒是合了愿望的达成。就像一般年轻女子,大多不愿太早就有了身孕,而为子女劳累。她也承认当初她怀孕时,曾希冀胎儿会死于腹中。甚至在一次与她丈夫激烈的口角后,她曾自己用力痛击其肚皮,希望能促成流产。因此,“孩子的死”确实算得上是一种愿望,只是经过了这么多年,生下的孩子也已十五岁了,今昔迥异,也难怪她一时想不出这道理来。 

        以上所举的两个梦(内容均为亲友的死亡)均可列于“典型的梦”之内。而且以下我要再举一新例子,以重申我的主张“不管梦的内容乍看是如何地不幸,其结果均仍为愿望的达成”。这个梦,本来也是用来反驳我那理论的。但这并不是一个病人所提供的梦,而是来自一位我的法学界的朋友。他告诉我:“我梦见我挽着一个妇人的手,在我家门口附近散步。 

        这时有一辆门关着的马车,停在街旁,突地闪出一个人,走到我面前,出示他刑警的身份,而要我同他一道去警局。当时,我只是求他给我一些时间处理一些事务,再跟他走……”。

         这法学家问我:“难道你会说我心里盼望着被警员拘捕吗?”我只好承认,“这当然不可能,但你可搞清楚他们是以什么罪名,来拘拿你呢?”——“我相信是杀婴罪,”——“杀婴罪?但你也知道,这只是母亲才能对刚生下来的小孩下手的啊?”——他尴尬地回答道: 

        “但事实上就是如此。”〔10〕于是,我再问他:“在哪种状况下,你做这个梦呢?在那前一晚上,发生了些什么?”——“我可不太愿意再说下去了,这实在不足为外人道也。”——“如果你不说,那我想这梦是永远解不开的!”——“好吧!我就告诉你吧!那天晚上我并不在家睡觉。我是与一个深爱的女人一起睡觉的。而且,隔天一早醒来时,我们又发生了一次关系,而后我又睡着了。也就在那时,才做了前述的那个梦。”——“这女人结婚了吗?”——“是的!”——“你并不希望她怀孕吧?”——“不!这样会使我们双方都身败名裂的!”——“那么你们从不曾作正常的性交吧?”——“我每次均注意在射精前就出来。”——“那么我是不是可以这样推想,那天晚上你俩都十分小心翼翼地做那些事。但清晨再作的那次你可没有十分确实作到避孕的把握吧?”——“嗯!似乎是这样的!”——“那么,我仍然说这梦也是愿望的达成。由这个梦,你可以告诉自己,你并未生下孩子或是你已把它杀死了。我可以很容易地指出某些有关联的地方。你大概还记得,几天前我们曾一起讨论过结婚的烦恼,而发现一个最大的矛盾就是性交时作任何避孕的办法都可以,而一旦卵子受精成了胎儿以后,再作任何补救办法,却都构成刑法上的罪行。那时我们也曾讨论道,这都是由中古世纪那种‘胎儿已具有灵魂的观念,才导致今日这种谋杀罪名’的成立。

         当然,你也知道雷恼曾有一首诗,就把杀婴与避孕讽咏成同一罪行,”——“咦!很奇怪地,当天早上我曾想到过雷恼这首诗呢!”——“好!现在,我要再告诉你梦中另一个附带的愿望达成,你不是说你梦见挽着一位女人的手走在你家门口吗?因此你心理实在是希望能正大光明地带她回到你家去,而不必像事实上那般偷鸡摸狗地在她家偷情。事实上,这梦的本质——愿望的达成,虽用如许不愉快的形式来伪装,我们仍可能再找出不只一种的解释,在我对焦虑心理症的病因所作的报道中,我曾提到‘中断性交’是一种构成神经质恐惧的因素之一。由此看来,你经过多次的这种性交,心中已充满不愉快的阴影,而由此构成了你所做的梦,甚至还利用不愉快的心境来掩饰你愿望的达成。同时,你所提到的‘杀婴罪’也尚待探讨。为什么这种只有女人才作的罪行,会发生在你身上呢?”——“我将坦白告诉你,几年前我曾有过类似的问题,我与一个少女发生关系,而使她受孕。为了名誉攸关,她悄悄地自己去坠胎,其实,坠胎前我真的是完全不知情的。但事后我却一直有段很长的时间不时在担心着,万一东窗事发之时,何以自处?”——“我能了解你的心境的,你这回忆也说明了另一理由,使你会因为一次‘中断性交’的作不好,而引起如此大的恐惧不安。” 

        一位年轻的医生,由于听了我关于以上那梦的分析他颇为同意,而对自己昨晚的梦,以这种分析手法作了一番解释给我听。他说他在做梦的前一天填报了他的收入数目。由于此时他收入甚微,所以他就据实地填报。但他却梦见他朋友告诉他税务委员们对于他的收入申报数字表示怀疑,以为他以多报少,以便逃税,因此将罚以重金。其实这梦只是伪装了他的一大愿望——希望成为收入丰盈的名医。这同时又使我想起在某个故事中的一位陷入爱河而不能自拔的小姐,当人家劝她决不要嫁坏脾气的家伙,不然婚后她是会挨揍的。她却毅然回答:“我但愿他肯揍我!”她对婚姻的愿望强烈到使她在婚前即已考虑到这些不幸,而且甚至还把它当为愿望呢! 

        如果我将这一类似“愿望的否认”或“隐忧的浮现”为内容的这种乍看之下与我理论完全相反的梦,统称为“反愿望之梦”的话,我在这些梦中可以归纳出两个原则。其中之一为我们日常清醒或梦境中均常发生的,但我们暂且留待以后再提。我们现在先说第一个原则,那就是他们的梦均具有希冀“我是错了”的动机。每一个病人在治疗期间发生“阻抗”时,均有此种梦的内容。事实上,我有充分的经验,每次只要我向病人说“梦不外是愿望的达成”,即可引发他们这类“反愿望之梦”〔11〕。事实上,我甚至相信,现在在读我这本书的读者们,也可能就有这种与我理论不符的梦。最后我想再举一个我治疗病人中所得的一个梦,以重申这原则的真谛。一个年轻女子,虽然她的亲戚以及他们所请教的专家们,均反对她继续接受我的治疗,她却仍执意要来我诊所就医。她做了如下一个梦:“她家人不准她再来我这儿看病,于是她提醒我说,你曾答应我,如果情形需要的话,你要免费医我。而我回答:我决不在乎钱的问题。”以这个梦来作“愿望的达成”的证明,并不是一件容易的事,但这一类的梦,往往可借由其中另含的次要问题的解决,来发掘主要问题的症结,她为什么在梦中使我说出那种话?当然,事实上我从不曾说过那种话,而是一个对她深具影响力的哥哥,曾对我作如此的批评。因此,这梦的目的是要说她哥哥的话是对的,而她并不只想在梦中证实她哥哥的话,她甚至把它当作生命之目的,也成了她生病的动机。

        一个乍看似乎用我的理论特别难以解释的梦,是一位叫史特尔克医生的梦以及他自己所作的解<tt></tt>释。他梦见“我发现我左手食指头有初期梅毒感染”。

        有人也许会以为这梦内容,除了不合愿望达成的原则以外,看来十分合理并不需再作任何解释。但,如果你肯花费一点心血去探讨的话,你会发觉初期感染这个名词非常近似拉丁文的“初恋的爱人”,而以史特尔克自己的话来说:“这勾起了我自己过去情场的失意,而这梦根本是带着强烈感情的愿望达成。”

        现在让我们再来讨论另一个“反愿望之梦”所具的原则。其实这个动机也是很明显的。

        许多人的性体质中,多多少少均有由“侵犯性”、“虐待性”转变而成相反的“被虐待的成分”。如果他们能不以加之于肉体的痛苦,来满足其快感,而却能以谦逊、慈爱的牺牲态度来表现的话,我们即可称之为“理想的被虐待症”。很明显地,这一类人可能做的梦均是“反愿望之梦”。然而,这对他们而言,却正是一种由衷的期盼。因为唯有这样才能满足他们被虐待的倾向。这儿还有个梦:一个年轻男人,早年时曾十分折磨他哥哥(其实他对这哥哥一直有种几近同性恋的喜好)。但长大后,他顿悟前非,而完全改变他的态度后,他做了这样的梦。其中包括三部分:(1)他被他哥哥所欺负;(2)两个男人正同性爱地互相爱抚;(3)他的哥哥将他名下所拥有的事业,未经他的同意,即变卖掉。而由这最后一个梦他很痛苦地醒过来。然而这其实是一个被虐待者愿望满足的梦。这可以如下解释的:如果我哥哥果真那样对我不好,罔顾我的利益地变卖我的财物,那就可以减轻我自己过去所做对不起他的种种罪恶感。

        我希望上述这些例证,可以足够证明——在未有任何更新的反对理由提出以前——一个内容痛苦不堪的梦,其实是可以解析它仍然是愿望的达成(我并不认为我们已完全解决了这问题,以后的篇幅里,我将会再讨论到)。我们也不要以为在解析时发现到的,总“刚好”

        是一些令人平时不愿想或做的事。其实这些不愉快的感觉,就像我们平时对不愿干或不愿意提起的事,所发生的反感一样,是我们在想解开梦之谜底时,所必须克服的阻力。但我们提到梦中的反感,并不意味着梦里就没有愿望的存在。每一个人,其实也都有一些不愿讲出来的愿望,甚至有些连对自己也都想否认,然而,我觉得我们大可以合理地将所有梦的不愉快性质与梦的改装放在一起考虑,而获得如此的结论:这些梦均被改装过的,因为梦中之愿望,平时招致严重之压抑,所以愿望之达成均被改装到乍看之下无法看出的地步。因此,我们也可以说,梦之改装其实就是一种审查制度(sorship)的作业。由所有梦中不愉快的内容分析结果,我拟出以下这个公式:“梦是一种(受抑制的)愿望(经过改装而)达成。”〔12〕最后我想需要再提到与这以痛苦为内容的梦稍近的“焦虑之梦”。如果把这类梦,也算在愿望达成之列,相信对一般未受过梦析训练的人,更不容易接受。

        但在此我可以简单谈谈焦虑之梦。事实上,这种梦并非梦的解析的另一对象,它只不过是以梦本身来表示出一般焦虑的内容而已。我们梦中所感受的焦虑就是梦内容所明白地表示的那些念头而已。如果我们想对这种梦再作解析,那就会发觉梦所表示的焦虑就如恐惧症所生的焦虑一样,它只是由某种念头的存在而引起焦虑。举例而言,从窗口掉下去是有可能,因此一个人走近窗口时应当小心些。但我们就不懂为什么对这类恐惧症病人而言,靠近窗口竟会带给他们那么大的焦虑远超过事实上所需的小心,同样地对这种恐惧症的解释,也可适用于焦虑之梦。这两者一样地,焦虑均附着于来自另一来源的某种意念上。 

        由于梦中之焦虑与心理症焦虑有密切关系,既提到了前者,使我不得不在此对后者作一番讨论。在一八九五年,我曾写了一篇有关焦虑心理症之短文,主张“心理症焦虑”均起源于性生活,而且多为其原欲由正常的对象转移而无所发泄。这论点的正确性,经过几年来的例证,均屡试不爽。而由此,我们可以得出这种结论:“焦虑之梦”的内容多与性有关,也就是这种内容中所附的“性欲”转化而产生“焦虑”。以后我将再利用机会找几个心理症病人的梦作分析,来印证这个结论。而且最后当我要完成梦之理论时,我将会重新再对这焦虑之梦,作一番探讨而指出它们也完全符合愿望达成的理论。 

        ————–●注释: 

        〔1〕约等于副教授。以下暂译为副教授。在奥国境内,这种任派均由教育部指定。有关这件推荐的事实,可于弗氏一八九七年二月八日给弗利斯的信中找到,而这梦也在三月十五日的信内提到。以下所提提名荐升的内幕,当然是指着当时在维也纳猖獗的反犹太人风气。(译者按:弗洛伊德为犹太人)

        〔2〕连我自己事后也百思不解,为什么在我克服了对分析所具的阻力以后,我的记忆力竟怪到对自己说,我只有一个叔叔,而梦中的叔叔就是他。事实上,当我完全清醒时,我很清楚我一共有五个叔叔,只是我比较喜欢其中一位而已。

        〔3〕此段系哥德《浮士德》中第四幕墨菲斯佗弗雷斯的道白,弗氏在本书第六章第七节曾再度引用,他对此段非常欣赏,亦曾于一八九八年二月九日给弗利斯的信中提到,并且在一九三○年弗氏领取“哥德奖”时所作的演讲中,又提到这句话。

         〔4〕译注:Strachey版本译为心理力量Psychicalforces。

        〔5〕这种伪善的梦,在我与别人,均非少见。记得我正为某件科学问题而操心的那几夜,我都一直梦见与一位绝交多年的朋友,重修旧好。经过多次的努力,我终于探究出这梦的真正意义。那其实是用来鼓励我自己忘掉那尚残留心内的疙瘩,而使自己能对那件事情不再介意,但在梦中,我却虚伪地扮演了相反的角色。我曾记载过“虚伪的伊底帕斯梦”,而在那里面,我们也可看出梦思中的“敌视”、“死亡愿望”,均被表现出来的“温柔”、“善心”所取代。

        〔6〕以后我们再提到刚好相反的情形——梦表示第二心理步骤,所企求的愿望。

        〔7〕试比较“坐着给画家绘像”与哥德Totalitüt中之诗句:当他失去了背面,他的高贵又焉能存在呢?

        〔8〕我自己深感把这段歇斯底里症的病情列在篇幅内讨论,殊为不当。因为这儿只是片段的陈述,无法作一整个的个案报告,但我仍衷心希望这能帮助各位了解梦与心理症病人的密切关系。

        〔9〕就像梦到熏鲑、晚餐的情形一样。

        〔10〕梦往往被陈述时均不能完全,而只有借着分析,才能点点滴滴地找出一些线索来,而这些线索往往成了“破案”的关键。参照第七章梦的遗忘。

        〔11〕这几年来,许多听过我的讲学的人,也都纷纷写信告诉我,他们在治疗病人时,也有这种类似的经验。

        〔12〕就我所知,不少当代的诗人,并未听过我的“精神分析”、“释梦”,但却由他们本身的经验里,归纳出同样的真谛:“以伪装的面目、身份表示出受压抑的希望”(如Spitteler所作“我最早的生活经验”一文)。在此,我并拟再抄一段兰克有关这方面的结论“就婴期‘性资料’的说法来看,梦往往是代表达成的心愿,而且多半是性欲的愿望以改装过的、象征的形式出现”。我从不曾提过我完全同意兰克这句话。其实这句话,就我看来是完全对的。但我却发现因为这种话,而使精神分析备受攻击,以为我们的主张竟是“所有梦,均含有‘性’的成份”。果真一个人对兰克这种话会曲解成这种独断意思,那么那人也着实太欠修养了,他们也未免太急于攻击别人了。就在几页前,我曾提过不少小孩的梦(到乡间远足、有一餐饭没吃等),其他我也提过口渴、想小便,单纯的方便或舒服的梦。甚至兰克本人也并未用独断的口气说出那句话,他是说“而且多半是性欲的愿望”,何况这结论也可以由大部分成人的梦,加 以证实呢!然而,最主要问题是我们精神分析学者所用的“性的”一词,并非与一般人所意会的意义完全雷同,而反对我们的人永远不会推究,我所说的梦,是否真的全部由我们所说的“原欲的机动”所促成。 

     第五章-前言 

         前言 

        由于分析了伊玛打针的梦以来,我们了解到梦是一种愿望的达成;而紧接着我们便一直把兴趣集中于这论调的讨论与证明上,以期能找出梦的一般通性;而也因此我们在解析过程中,多少忽略了其他一些特殊问题。现在,既然我们已在这条路上找到了终点,且让我们回过头来,另寻一新径,试图对梦作更深一层的探究。可能此后我们将少提到“愿望的达成”,但将来我仍会再综合起来作一结论的。 

        现在..我们已知道,循着解析的手法,我们可以由梦之“显意”看出更具意义的梦之“隐意”。然而在“显意”中所显示的哑谜、矛盾常常不能满足我们释梦的工作,因此对于每个梦作更详尽的个别探究,确实是非常需要的。

         以前的学者对梦与醒觉状态的关系,以及梦的材料与来源所发表过的意见,此地不拟详述。但我们在此要特别提出三个常被提到,但从不曾清楚阐释过的主张: 

        一、梦总是以最近几天印象较深的事为内容(Robert,Strümpel,Hildebrandt,WeedHallam均主张此说)。

         二、梦选择材料的原则完全迥异于醒觉状态的原则,而专门找一些不重要的次要的被轻视的小事。

         三、梦完全受儿时最初印象所左右,而往往把那段日子的细节,那些在醒觉时绝对记不起来的小事重翻旧帐地搬出来〔1〕。

         当然,他们对这些有关梦材料的选择,所作的种种看法,均是以梦之“显意”为准的。 

     第五章-甲、梦中的最近印象以及无甚关系的印象-1

         以我个人的经验而言,梦内容的来源到底是什么?我一定马上回答“几乎在每一个我自己的梦中均发现到其来源就在做梦的前一天的经验”。事实上,不只我一人如此,大部分的人也均有此感。基于这个事实,我往往在解析梦时,先问清做梦的前一天内发生什么事,而尝试在这里找出一些端倪。就大部分个案而言,这的确是一条捷径,就上章我曾分析过的两个梦(伊玛的打针与长着黄胡子的叔父)来看,的确一问起前一天的事,整个疑梦就水落石出了。但为了更进一步证明它是多真实的方法,我将把自己的“梦记本”抄几段以飨读者。 

        以下我拟提出一些与梦内容之来源问题有关的几个梦:

        一、我去拜访一家很不愿接见我的朋友……,但同时却使一个女人枯等着我。

        来源:当晚有位女亲戚曾与我谈到她宁可等到她所需要的汇款到手,直到……。

        二、我写了一本有关某种植物的学术专论。 

        来源:当天早上我在书商那儿看到一本有关樱草属植物的学术专论。

         三、我看到一对母女在街上走,那女儿是一个病人。 

        来源:在当天晚上,一位在接受我治疗的女病人,曾对我诉苦,说她妈妈反对她继续来此接受治疗。

         四、在S&R书局,我订购一份每月索价二十佛罗林(一种英国银币,值二先令)的期刊。 

        来源:当天我太太提醒我,每周该给她的二十佛罗林还没给她。 

        五、我收到社会民主委员会的信,并且称呼我为会员。

        来源:我同时收到筹划选举的自由委员会,以及博爱社的主席的来涵,而事实上,我的确是后者的一个会员。

        六、一个男人,就像伯克林一般,由海里沿峭壁如履平地地走上来。

        来源:妖岛上的德利佛斯以及其他一些在美国的亲戚所传述的消息等等。

        现在,紧接着我们就有一个问题,到底梦果真只是当天的刺激所引起的吗?或者是在最近的一段期间所得的印象均可影响梦的产生呢?这当然不是一个最重要的问题,但我却愿意在此先对这当天所发生的事,对梦所影响的重要程度 作一探讨。每次只要我发觉我的梦的来源是两三天前的印象,我就再细心去研判它,而我就发现到这虽是两三天前发生的事,但我在做梦前一天曾想到这件事。那也就是说,那“印象的重现”曾出现在“发生事情的时刻”

        与“做梦的时刻”之间,而且,我能够指出许多最近所发生的事,因为勾起了我旧日的回忆,以致重现于梦中。但,另一方面,我仍无 法接受史瓦伯拉所谓的“生物意义上的规则时差”。他以为在引起产生梦印象的白天经验与梦中的复现,其时间差不会超过十八小时。

        目前,我只能说,我深信每个梦的刺激来源,均来自“他入睡以前的经验”。

        艾里斯,他对这问题也很有兴趣,而且曾费尽心血地想找出经验刺激至梦中复现之间的时差,但也仍无法得到结论。他曾叙述一个自己的梦:他梦见他在西班牙,他想去一个叫Da-raus或Varaus,或Zaraus的地方。但醒来后,他发觉他根本记不起有过这种地名,同时也无法联想出什么来。但几个月后,他发现到在由Saian到Bilbao的铁路途中,的确有一个站叫做Zaraus,而这个旅行是他做这梦前 八个月去的。

        因此最近发生的印象(做梦当天则为特例),事实上与很久很久以前所发生过的印象,对梦内容所具的影响是一样的。

        只要是那些早期的印象与做梦当天的某种刺激(最近的印象)能有所连带关系的话,那么梦的内容是可以涵盖一生各种时间所发生过的印象。

        但究竟为什么梦会那般器重最近的印象呢?如果我们再拿以上曾举过的一个梦,来作更详尽的分析,也许可以获得某种假设。

         关于植物学专论的梦

        “我写了一本关于某种植物的专论,这本书就放在我面前。我翻阅到书中一页折皱的彩色图片,有一片已脱水的植物标本,就像植物标本收藏簿里的一样,附夹在这一册里头。” 

    第五章-甲、梦中的最近印象以及无甚关系的印象-2 

    分析 

        当天早上,我曾在某书商的玻璃橱窗内,看到一本标题为“樱草属”的书,这显然是一本有关这类植物的专论。

         樱草花是我太太最喜爱的花,她最喜欢我回家时顺手买几朵给她。而我最感遗憾的便是,我很少记得带这花回来给她。由这送花的事,我联想另一件最近我才对一些朋友们提起的故事。我曾用此故事,来说明我的理论——“我们经常由于潜意识的要求,而遗忘掉某些事情;其实,我们可由这遗忘的事实,追溯出此人内心不自觉的用意。”我所说的那故事是这样的:有位年轻太太,每年她生日时,她先生总会送给她一束鲜花,而有一年,她先生竟把她的生日忘了。结果那天他太太一看他空着手回到家,竟伤心地啜泣起来。这位先生当时有如丈二金刚摸不着头脑,等到他太太说出,“今天是我的生日”时,他才恍然大悟,自打脑袋地大叫“天啊!对不起!对不起!我竟完全忘掉了!”而马上回过头想出去买花。但她已伤心不已,并且坚称她丈夫对她生日的遗忘,分明是已不再像往日那般爱她的铁证。而这位L女士两天前曾来过我家找我太太,并且要她转告我,她现在身体已完全康复(她几年以前,曾接受过我的治疗)。

        其他还有一些补充的事实:我确实曾经写过一篇关于植物学的专论,我所谈的是古柯植物的研究报告,而这篇报告引起了喀勒的兴趣,以导致发现到其中所含古柯碱的麻醉作用。

        当时,我曾预示古柯所含的类碱将来可能用在麻醉一途上,只可惜自己却未能继续研究下去。而做梦醒来的那天早上(那天早上太忙,我未能抽出时间对这梦作解析,而直到那天晚上,才开始分析),我在一种所谓白日梦的状态下,曾想到古柯碱的问题,并且梦见我因为患了青光眼,而到柏林一位记不起什么名字的朋友家中,请一位外科医师来给我开刀。这外科医生,他不知道我的身份,于是尽在吹嘘自从有了古柯碱问世以来,开刀变得如何如何方便,而我自己也不愿说出,关于这药物的发现自己曾是一名功臣。因为在梦幻里,我还考虑到一个医生要向他的同业索取诊疗费是多么尴尬的事。因此,如果他不认识我,那我就可以不必欠什么人情地付帐给这柏林的眼科专家。但等到我清醒过来回味这白日梦时,我发觉这里头的确隐含着某种回忆。在喀勒发现“古柯碱”不久以后,我父亲因为青光眼而接受我的一位朋友眼科专家柯尼斯坦的手术。当时喀勒亲身来负责古柯碱麻醉,而在开刀房里,他曾说了一句话:“嘿!今天可把咱们这三位与发现古柯碱工作有关的家伙都聚在一堂啦!” 

        现在我的思潮又跳到最近一次使我想起古柯碱的场合。就在这几天前,我收到一份叫Festschrift的刊物,这是由一些学生们,为了表示感谢他们的老师们,以及实验室的指导先生们的教导而凑资印发的。刊物中在每位教授的名位下,均列出他们的重大著作及发现,而我一眼就注意到他们将古柯碱之发现归功于喀勒之名下,现在我才恍然大悟,这个梦是与前一个晚上的经验有关。那天晚上,我送柯尼斯坦医师回家,归途中两人谈到某一话题(每当提起这话题,我就会感到无比兴奋)甚为投机。结果到了门廊,我俩仍站在那儿讨论不休。刚巧格尔特聂教授夫妇正要盛装外出,我曾礼貌地对他太太的花容玉貌予以称赞几句,而我现在才想起,这位教授就是我刚提到的那份刊物的编者之一,而很可能就是因这次邂逅而引起我那些联想。其他,还有我所提过的L夫人生日那天的失望,而我与柯尼斯坦的谈话内容可能也多少有关。 

        我现在想再对梦中另一成分作一解释。“一片已脱水的植物标本”夹在那本学术专论的书里,并且看来就像是一本“标本收藏簿”一般,而标本收藏簿(Herbarium)这字,使我联想Gym-nasium(德国高等学校)这个字。于是我想起有一次我们高等学校的校长召集了高年级学生,要大家一起编一本高校的植物标本采集簿,以免只是死读书而不知实物与书本的配合。校长所指派给我的分量很少,只有几页有关十字花科的而已,使我觉得他似乎认为我是一个帮不了什么忙家伙。其实我对植物学一向就不太喜欢,记得入学考试时,在口试那一关,他曾考我有关标本的名字,而我就是栽在这种十字花科的题目。要不是靠着笔试拉回一些分数,我可真要考不上呢!十字花科其实就指着菊科,而我事实上最喜欢的花——向日葵便是属于菊科。我太太,她可比我更体贴,到市场买菜时,经常都替我买些这种我最喜欢的花回来。 

        “那本专论就摆在我面前”,这段又引起我另一联想。昨天我的一位在柏林的朋友曾来信说:“我一直憧憬着你想写的有关‘梦的分析’的书能早日问世,仿佛间好像你已大功告成,而那本大作就摆在我面前让我逐页翻阅着。”喔!其实我自己更是多么希望这本书真的写?完了,而能呈现在我面前呢!

        “那折皱的彩色图片”。当我仍是一位医科学生时,我一股傻劲地只想多读一些学术专论。虽说当时经济并不宽裕,但我仍订阅了一大堆医学期刊,而里头所含的彩色图片,给予我深深的喜好。同时我也一直以我这种治学之精神而自傲。而当我开始自己写书,而必须为自己的内容作插图时,我记得就曾有一张画画得太糟,以致曾受到一位善意的同事的揶揄。

        由这我不知怎地又联想到我童年的一段经验。我父亲,曾有一次不经心地递给我与妹妹一本内含彩色图片的书(一本叙述波斯旅游的书),而看着我们把它一页页地撕毁。这由教育的观点来看,实在大有问题,当时我只有五岁,而妹妹还小我两岁,但我们两个小孩子无知地把书一页页地撕毁(就像向日葵片片地凋落)的影像,却历久弥新地常存于我的脑海里。后来我上了学以后,我开始对收藏书本发生疯狂的兴趣(这点有些类似我因为喜欢阅读学术专论的嗜好导致梦里那种有关十字花科与向日葵之类的内容一般)。其疯狂程度真可用“书呆子”一词以喻之。从那以后,我经常注意到我之所以如此疯狂可能与我童年这段印象有关。

        换句话说,我认为是这段儿时的印象,导致我日后收藏书籍的嗜好。当然,我也因此充分意识到我们早年的热情往往是自找麻烦的。因为当我十七岁时,我就因此欠了书商一笔几乎付不起的书资,而当时我父亲又不太赞成,只因为多看书是一种好嗜好就纵容我这般挥霍。但提到这段年轻时的经验,又使我联想到这正是我做梦的当天晚上与柯尼斯坦相谈甚欢时,他所提到的我的大缺点——我这个人常常过分地沉醉于自己的嗜好里头。

        由于再再讨论下去,有些与这梦之解析无甚关系,我们的分析工作就到此告一段落,不再细谈。我只拟在此指出我们演绎的过程是如此地由“山穷水尽”而至“柳暗花明”。其实,我与柯尼斯坦所谈的在此我只提出某一部分而已,而经过这些对话的再细细品味,才使我对这梦的意义完全豁然开朗。所有我思路的进行就如以下所列的:由我私人的喜好、而至我妻的喜好、古柯碱、接受医界同僚的治疗引起的尴尬,我对学术专论的喜好,以及我对某些问题的忽视,就如植物学而言——所有这些再接上我当晚与柯尼斯坦的一些对话。就这样地,我们又再度证明出,梦是如此地为自我本身的理想与利益想尽办法(就如以前所分析过的伊玛的打针一样)。如果我们再就梦的论题继续推演下去,并且就这两个梦之间作一参照,我们可以发现尚有一个问题需待讨论。一个与梦者本身乍看似乎风马牛不相及的故事,往往一变就产生了确切的意义。现在这梦显示了这样的意义:“我的确曾经发表过甚多(有关古柯碱)的有价值的研究报告”,就像以前我曾表示的“自许”:“我毕竟是一个工作勤奋、做事彻底的好学生”,而这两句话不外乎一个意思——“我确实值得如此自许”。由于我所以提出这梦,主要是要讨论梦如何由前一天的活动,所引起的关系,所以以下不再对这梦作进一步解析。本来我以为梦的显意只与一种白天的印象有明显关系,但当我完成了以上的解析以后,我才发现到在同一天的另一个经验,也很明显地可以看出是这梦的第二个来源。而梦中所出现的第一个印象,其实往往反而无甚关系而为较次要的遭遇。“我在书店看到一本书”这开头确实曾使我愣了一阵,而那内容丝毫引不起我任何兴趣。而第二个经验却具有重大之心理价值,“我与至友,一位眼科医师热心地讨论了个把钟头,而这话题均使我俩很有感触,尤其使我勾起了一些久藏心中的回忆。而且,这对话又因某位朋友的介入而中断”。现在,且让我们仔细比较这两天白天所发生的事有甚关联,还有,它们与当晚所做这梦的关系是如何呢?

        在梦的“显意”里,我发觉到,它只不过提及较无关系的昼间印象。因此我可以如此地重申:梦的内容多半是常用那较无关大局的经验,而相反地,一经过梦的解析以后,我们才能发现到焦点所集中的事实上是最重要、最合理的核心经验。如果我的释梦确实是以梦的隐意按着正确的方法作出研判,那么,我可以说,我无意间又获得一大发现。我现在知道那些以为“梦只是白天生活的琐碎经验的重现”的谬论是站不住脚的,而我也不得不驳斥那些以为“昼间清醒时期的精神生活并不延续于梦中”的学说。还有,以为“梦是我们精神能量对芝麻小事的浪费”也是不堪一击的邪说。刚好相反地,其实在昼间最引起我们注意的完全掌握住我们当晚的梦思。而我们在梦中对这些事的用心,完全是在供应我们白日思考的资料。

        至于为什么我梦见的是一些较无关紧要的印象,而对那些真正使我非常激动到足以“日有所思,夜有所梦”的印象,却反倒隐藏不见。我想最好的解释方法,就是再利用“梦之改装”的现象中,所提过的心理力量中的“审查制度”来作一番阐释。那本有关樱草属的学术专论的记忆,使我想到与我朋友的谈话,就有如我那病人的朋友在梦中无法吃到晚餐,代表着熏鲑的暗示一样。如今,唯一的问题是:在“这本学术专论”与“眼科医生朋友的对话”,这两种乍看毫无关系的两个经验印象间,究竟是用什么关系牵连在一起?就“吃不成的晚餐”的梦而言,那两印象间之关系倒还看得出来。我那病人的朋友最喜欢的熏鲑,多少可由她那朋友的人格在她心中所产生的反应,而有蛛丝马迹可寻。然而,在我们这新例子里头,却是两个完全漠不相关的印象。第一眼看过去,除了说“那都是同一天发生的经验”以外,实在找不出丝毫共同点。那本专论我是在早上看到的,而与朋友的对话是在当天晚上。

        而由分析所得的答案是这样的:“这两个印象的关系是在于两者所含之‘意念内容’,而不是在印象上的表面叙述中”。在我分析的过程中,我曾经特别强调地挑出那些连接的关键——某些其他外加的影响,借着L夫人的花被遗忘,才使有关十字花科的学术专论与我太太最喜爱菊花一事拉上关系。但我不相信,仅仅这些鸡毛小事即够引发一个梦。就像我们在莎士比亚的《哈姆雷特》中所说的:“主啊!要告诉我们这些,并不一定要那些鬼魂由坟墓内跳出来!”且让我们再自己看下去吧!在更仔细的分析下,我发现那个打断我与柯尼斯坦的话题的,是一位名叫格尔特聂的教授,而格尔特聂的德文,意即“园丁”,又我当时曾称赞他太太的“花容玉貌”。的确,我现在又想起那天在我们的对话中,曾以一位叫弗罗拉(罗马神话之花神)的女病人为主要话题,这很明显地由这些关键将讳莫如深的植物学与同一天另外发生的、真正较有意义的兴奋印象连接起来,其他尚须提到有些关系的成立,如古柯碱的一段就很适切地把柯尼斯坦医师,与我的植物学方面的学术论作纠合在一起,也因此而使这两个“意念的内容”熔于一炉。所以,我们可以说,第一个经验其实是用来引导出第二个经验的。

        如果有人批评我这种解释为凭一己之意的武断臆测,或根本是人为编织出来的话,我是早就有心理准备的。如果“格尔特聂”教授与“花容玉貌”的太太不出现的话,或如果我们所讨论的那女病人叫安娜,而并非弗罗拉的话……但,答案仍是不难找到的。如果这些念头的关系并不存在的话,其他方面也许还是可以有所发现的。其实这类关系,并不难找的,就像我们平时常用来自娱的诙谐问话或双关语之类。人类智慧的幅度毕竟是不可限量的。再进一步说:如果在同一天内的两个印象中,无法找出一个足够用得上的关系时,那么这梦很可能是循着另一途径形成的。也许在白天时另一些一样无关紧要的印象涌上心头,而当时被遗忘掉,但其中之一却在梦中代替了“学术专论”这印象,而经由这取代物才找出与朋友对话的关联。由于在这梦中,我们选不出比“学术专论”这印象更适合来作分析的关键,所以很可能它是最适合此目的了。当然,我们不必像雷辛(德国大文学家)笔下的“狡猾的小汉斯”一般地大惊小怪地发现:“原来只有世界上的富人才是有很多钱的!”

        然而,按照我以上的说法,那些无足轻重的经验,如何在梦中取代了对心理上更具重要性的经验,毕竟仍难被一般人所接受。因此我会在以后各章再多找机会探讨,以期能使这理论更为合理。但就我个人而言,由于无数的梦的解析所得的经验,使我不得不深信,这种分析方法所得的结果,确实是有其价值的。在这一步挨着一步的解析过程,我们可以发现梦的形成是曾产生了“置换”现象——用心理学的话来说,就是一个具有较弱潜能的意念必须由那最初具有较强潜能的意念里,慢慢吸取能量,而到某一强度才能脱颖而出,浮现到意识界来。这种转移现象其实在我们日常的动作行为中是屡见不鲜的。譬如一个孤独的老处女会几近疯狂地喜爱某种动物,一个单身汉会变成一个热心的收集狂,一个老兵会为一小块有色的布条——他的旗帜而洒热血,陷于爱情中的男女会因为握手稍久一点,而感到无比的兴奋。

        莎士比亚笔下的Othello只因掉了手帕而大发雷霆……这些都是足以使我们置信的心理转移的实例。但,果真我们同样地用这种基本原则,来决定自己的意念能在意识界浮现或抑压——这也就是说,所有我们想到的事,无非都得经过这种不自觉的过程而产生的话,我想我们多少总会有种“果真如此,未免我们人的思考过程是太不可思议,太不正常了”,而且如果我们在醒觉状态下意识到这种心理过程,相信我们一定会认为这是想法的错误。但,以后慢慢地我们再经过一些讨论,我们就会发觉梦中所作的转移现象之心理运作过程,其实一点也不会是不正常的程序,只是比一般较原始的正常性质稍有不同而已。

        因此,我们可以看出梦之所以用这类芝麻小事作为内容,其实无非就是一种“梦之改装”的表现经过“转移作用”。而且,我们也应当可以想到梦之所以被改装是由两种前述的心理步骤之间的检查制度所造成的。所以,可以预期到,经过梦之解析,我们不难由此看出,这梦的真正具有意义的来源,究竟来自白天的哪些经验,而由此种记忆再将重点如何转移到某些看来无甚关系的记忆上。然而,这观念与罗勃特的理论刚好完全相反,而我深信,他的理论其实对我们可以说毫无价值可言。罗勃特所要解释的事实根本就不存在。它的假设完全是因为无法由梦的“显意”中看出内容之真正的意义所引起的误解。对罗勃特的辩驳,我尚有以下几句话:果真如他所言,“梦的主要目的在于利用特别的精神活动,将白天记忆中的残渣,在梦中一一予以‘驱除掉’”,那么我们的睡眠将不可避免地成了一件严重的工作,而且甚至将比我们清醒时的思考更加令人心烦。因为我们白天十几个小时,所留给我们琐碎的感受之多,毫无疑问地就是你整个晚上都花在“驱除”它们也不够用的。而且更不可能的是,他竟以为要忘掉那么多残渣式的印象,竟能丝毫不消耗我们的精神能量。

        还有,在我们要贬斥罗勃特的理论时,我们仍有些不得不再探讨的地方。我们迄今仍未解释过为什么当天的,或甚至前一天的无甚关系的感受,竟会常常构成梦的内容。这种感受往往与在潜意识里的梦之真正来源,未能从一开头就找得出关系来。就以上我们所作的探讨,我们可以看得出梦是一步一步地朝着有意的转移方向在蜕变。所以要打开这种“最近但无甚关系的感受”与其“真正来源”,必须有待某种关键的发现。这也就是说,这所谓无甚关系的感受仍必须具有某种适合的特点。否则,那就要像真的梦中运思那般地漂浮不定,难以捉摸了。

        也许用以下的经验可以给我们一点解释:如果一天里发生了两件或两件以上值得引发我们的梦的经验时,梦就会把两件经验合成一个完整经验:它永远遵循着这种“强制规则”,而把它们综合为一个整体。举一个实例:有一个夏天的下午,我在火车车厢内邂逅了两位朋友,但他们彼此间并不认识。一位是很得人望的同事,另一位则是我常常去给他们看病的名门子女。我给他们双方作了介绍,但在旅途中,他们却始终只是个别与我攀谈而无法打成一片。因此我只好与这一位说这个,与另一个谈那个,十分吃力。记得当时,我曾与我那位同事提及请他替某位新进人物多加推荐,而那位同事回答说,他是深信这年轻人的能力的,只是,这位新人的那副长相实在很难得人器重。而我曾附和他说:“也就是因为这点,我才会认为他需要你的推荐。”过了不久,我又与另一位聊起来了,我问及他叔母(一位我的病人的母亲)的健康近况,据说当时她正极端虚弱而病危。就在这旅程的晚上,我做了如下的一个梦:我梦见那位我所希望能获得青睐的年轻人,正跻身于一间时髦的客厅内,在与一大堆有头有脸的大人物们处在一块。而后,我才知道那时正举行着我的另一个旅途伙伴的叔母的追悼仪式(在我梦中,这老妇人已死去,而我承认,我一直就与这老妇人关系搞不好)。如此地,我就将白天的两个经验感受在梦中综合而构成一个单纯的状况。 

        有鉴于无数次相同的经验,我将合理地提出一件原则——梦的形式是受着一种强制规则,将所有足以引起梦的刺激来源综合成一个单一的整体(在我以前,如德拉格、德尔伯夫等,也均提及过,梦有种倾向,常把每种有兴趣的印象,浓缩成一个事件)。在下一章里(关于梦之功能),我们将讨论到这种综合为一的强制规则,实在就是一种“原本精神步骤的凝缩作用”之一部分。

         现在我们要再考虑另一问题。究竟由解析所发现的这些引起梦的刺激来源,是否一定都是最近(而且非常有意义的)事件;或者只要是一种对做梦者心理上说来,是件非常有意义的一连串思潮,而可以不拘时限,只要曾想到这事,便足以构成梦的形成。由无数次的解析经验,我所得的结论是:梦的刺激来源,完全是种主观心灵的运作,借着当天的精神活动将往昔的刺激变成像是最近发生一般的新鲜。

         而现在也许该是我们将梦的来源,所运作的各种不同状况,作一系统化整理的时候了!

         梦的来源包括: 

        甲一种最近发生而且在精神上具有重大意义的事件,而直接表现于梦中。如有关伊玛打针的梦,以及把我的朋友当作我叔叔的梦。

         乙几个最近发生而且具有意义的事实,于梦中凝合成一个整体。如把那年轻医生与老妇人的丧事追悼会合在一起的梦。

         丙一个或数个最近而具有意义的事情,在梦中以一个同时发生的无足轻重的印象来表现。如有关植物专论的梦。

         丁一个对做梦者本身甚具意义的经验(经过回忆及一连串的思潮),而经常在梦中以另一最近发生但无甚关系的印象作为梦的内容。(在所有我分析过的病人里,以这一类的梦最多。)

        由梦的解析,我们可以看出梦中某一成分,往往就是最近某种印象的重复出现。而这成分很可能是与真正引起梦的刺激(一种重要的,或甚至并不太重要的)属于同一个意念范畴内。也可能是来自与一无甚关系的印象较近的意念,而借着或多或少的联想可以由此再找出与真正引起梦之刺激的关系。因此梦的内容所以变幻万端,其实就在于这种情形的选择——“到底要不要经过‘置换过程’,而由此我们注意到,既然有这种‘选择性’的存在,梦本身当然会有各种不同程度的内容,就如医学上解释各种意识状态的变化幅度时,以为这是脑细胞的部分清醒至全部清醒的演变过程。”

        因此,当我们再对梦之来源作一探讨时,我们会发现有时一种在心理上具有重大意义,但却不是最近的印象(只是一连串的回忆),在梦的形成中会被另一种最近所发生,但在心理上无关痛痒的芝麻小事所取代,只要它能符合以下两种条件:①梦的内容仍保持其与最近的经验之关系。②引起梦的刺激本身必仍在心理上具有重大意义。而在上述的四种梦来源中,唯有(甲)类能以同样一个印象来满足这两个条件。现在,我们再来看看,如果我们认为这些相似的,无甚重要的印象,只要是最近发生的,大可利用来作梦的材料,而一旦这印象拖过一天,(或甚至几天)的话,它们就再不能用来作为梦的内容,那我们就等于是认为印象的“新鲜性”在梦的形成中占有与该记忆所附的感情分量几乎相等的地位。其实,这“最近与否”的重要性,还是有待更多的探讨的。(详见第七章,转移关系。)

        附带地,我们尚须考虑到一种可能性——在晚上,我们是否曾不自觉地将我们的意念与记忆的资料,予以重大的改变。果真如此,那么俗话所说“在你做重大决定前,还是先睡个大觉再说吧!”就真是太有道理了。但讨论至此,我们实在已由“梦之心理研讨,转移到常会因而提到的睡眠之心理研讨”了。

        现在我们的结论仍面临一个难题的考验——如果一些无甚重要性的印象之所以能进入梦中,均需至少要与“最近”发生一点关系的话,那么,梦中有时出现的某些我们早期的生活印象,在该印象发生才不久时(也就是说,仍未失去其“新鲜性”时),如果是对心理上毫无特别印象时,为什么不会就在当时可以遗忘掉,就像史特林姆贝尔所说,既不新鲜又不是心理上非常有意义的事?

        关于这种诘难,我想我们可以由对“心理症”病人的精神分析所得结果,来做一满意的答复。解释是这样的:在早期发生的心理重大意义的印象,在当时不久即以转移、重新排列的手法,用一些无甚关系(对梦境或思考而言)的印象来取代,并且以此固定于记忆中。因此,这些出现于梦中,看来无关紧要的早期印象,其实在心理上均具有甚大意义的。否则果真它是毫无关系的早期经验,它决不可能于梦中重现的。

        由以上的这些说明,我想读者们都会与我一致地同意“所有梦均不会是空穴来风的”,因此,也没有所谓的“单纯坦率的梦”的存在。关于这点,除了对小孩的梦与某些对夜间感官受刺激引起的简单的梦以外,我可以绝对地,毫无保留地相信这结论的真确性。除了刚刚我所举的这些例子外,不管是明显到一眼即看得出具有重大心理意义的梦,或者是需要经过整套的解析,除去那些改装的成分,才解析得出其中真义的梦,最后都是合乎这结论的。梦是决不会毫无意义的,我们也绝不会容许琐碎小事来打扰我们的睡眠的〔2〕。一个看来单纯而坦率的梦,只要你肯花时间精力去分析它,结果一定是一点也不单纯的。如果用句较露骨的话来说:梦均表示出“兽性的一面”。由于这种说法必招诘难,而我自己也想找机会对梦的形成中,所具的改装作更详细的说明,我打算以下再拿几个我所收集的所谓单纯无辜的梦来作分析:

        一位聪慧高雅的少妇,在其生活中表现得十分保守,就如一般所说那种“秀外慧中型”

        的标准主妇,曾做了如下一个梦:“我梦见我到达市场.时太晚了,肉卖光了,菜也买不到”,当然,这是一个很单纯无邪的梦吧!但,我相信这并不就是梦的真正意义,于是我要她详述梦中的细节:她与她的厨师一道上市场,而由厨师拿着菜篮子,当她向肉贩说出要买的某种东西时,他回答说:“现在那种东西再也买不到了。”而拿另一种东西向她推销说,“这也很不错的!”但她拒绝了,于是再走到一女菜贩那儿,那女人劝她买一种特别的蔬菜,黑色的成束地绑着的,但这少妇回答说,“我不知道那是什么东西,我还是不要买好!”

        这梦与当天的昼间经验之关系是够清楚的。她当天的确是太迟才到市场,以致买不到任何东西。“肉铺子早已关门”,这经验深入其印象中,而构成梦中的这番叙述。但且慢!在这叙述中,丝毫不曾提到这肉贩的衣着是否有点不近常理呢!做梦者一直就未形容过他的服装色样,也许这是她故意避免的吧!且让我们好好地推敲这梦到底涵蕴着什么意义!

        在梦中,往往有些内容是以言谈的方式来表现的——就像是梦见某人说什么,或是听到什么,而并不一定只是想到什么,而且这种说、听的内容之清晰有时甚至也可以找出到底与日常清醒状态下所发生的哪一种情形有关。但当然,这些一经解析起来,只可用作一种尚待整理,或经过变化,而与原来真正内容略有出入的资料而已〔3〕。在我们这次的解析中,就用这种言谈的内容作出发点吧!那肉贩子的话“现在那种东西‘再也买不到了’”到底从哪个地方来呢?那是我曾说过的话呀!在几天前,我曾劝她说:“那些儿时太早的记忆,你可能‘再也想不起来的’。但,事实上它会在解析中找出已‘转移’至梦里头的。”因此,梦中的肉贩子其实是象征着我,而她之拒绝购买另一种代用品,也不过是她内心无法接受“以前的想法感觉会转移至目前的情形”的说法。“我不知道那是什么东西,我还是不买得好!”这句话又是从何而来呢?为了解析的方便,我们将这句话拆成两半:“我不知道那是什么东西”,这句话是她当天与她那厨师为某件事发生争执时所说的气话,并且她当时还接着说了一句“你做事可要做得像样点!”在这儿,我们可以看出又一个“置换作用”的发生,在那两句对厨师所说的话中,她将真正有意义的一句话压抑下来,而用另一句较无意义的话来代替。而这句抑压下去的句子“你做事可要做得像样点”却才真正合得上梦中所剩的一些内容。对某些人不合理的要求,我们往往会有一句俗话:他忘了关他的肉铺子。至此我们差不多已经看出这解析后的端倪来,然后我们再用那卖菜女人的对话来印证一下。一种绑成一束一束而卖的蔬菜(后来她又补充说明是长形的),又是黑色的,这种又像芦笋又像黑萝卜的梦中怪菜到底是什么东西呢?我想我也不必再去详释这些代表着什么(想想,漫画中的“小黑,救救你自己吧!”〔4〕)。但就我而言,这“肉铺子”早已关门的梦所解析出来的故事,似乎与我们最初所猜测的与性有关的主题息息相关。由于在此我们并不拟探讨这梦的整个意义,所以还是就此结束。但至少到这儿,我们可以说,这梦尚有很多意义,而且决不是那般坦率无邪的〔5〕。

        1这个梦是上例的病人所做的另一个梦,就某方面看来,甚至可说是与上一个梦配成一对的梦。她丈夫问她:“我们那钢琴是否也该请人来调音了?”她回答说:“那大可不必如此,那琴锤本身迟早也快不灵了。”同样地,这又是一个当天白天所发生的事的重现。那天,她丈夫的确问过她这样的话,而她也的确如此回答过。但这梦的意义是什么呢?她自己说她认为那钢琴是一个“令人作呕的”老木“盒子”,专门产生一些最难听的音调来,那是她在结婚前,他先生就已“拥有”的东西〔6〕……。但真正的关键句子,则在于:“那大可不必如此”,这句话是来自昨天她的一位女朋友来访时的对话,她这朋友进门时,曾被要求脱下大衣,但她拒绝了,她说“谢谢,但我马上就要走了,那大可不必如此。”到这儿又使我联想到昨天她在接受我的精神分析时,她曾突然间抓紧她的大衣,因为她注意到她有一个纽扣未曾扣好。那意思好像是说:“请你不要由此窥看吧!那大可不必的。”“盒子”象征着胸部,而这梦的解析使我发现到她打从开始发育的年龄以来,就一直对自己的身材十分不满。而如果我们再把“令人作呕的”与“难听的音调”这件事也考虑在一起,我们便会发现到在梦里女性身体所常注意到的两件小事——身材、声调,其实无非是某种更主要的问题的代替品和对照。

         2在这里我将暂时中断前述那少妇的梦,而穿插另一个年轻男人的梦作一解析。“他梦见他又把他的冬季大衣穿上,那实在是一件恐怖的事”。这种梦表面上看来,是一种很明显地天气骤然变冷的反应,但再仔细观察一下,你就会发觉梦中前后两段,并不能找出合理的因果关系,为什么在冷天气穿大衣会是一件恐怖的事呢?在接受精神分析时,他本人第一个就联想到,昨天有一个妇人,毫不含蓄地告诉他,她那最后一个小孩完全是由于当时她先生所戴的保险套于性交时裂开而产生的成果。现在,他自己再以这件对他而言相当深刻的印象,演绎出以下的推论:薄的保险套可能有危险(会裂开而使对方受孕),但厚的又不好。而保险套是一种“套上去的东西”〔7〕,而按字面上的直译,英文的Pullover即德文中的UEberzieher,而德文这个字通常的意思为“轻便的大衣”。而对一个未婚的男人而言,由女人亲口露骨地讲出这些男女性交的事,也未常不是“一件恐怖的事”,很不幸地,看来这个梦又不是那般无邪的吧? 

        现在且让我们再回到我们那少妇的另一个无邪的梦吧!

         3“她将一根蜡烛置于烛台上,但蜡烛断了,而无法撑直。在学校的一个女孩子骂她动作笨拙,但她回答说,这并不是她的错。”

         这个也一样是真的发生过的事,前一天她曾真的把一根蜡烛置于烛台上,但却没有像梦中所说那样断掉。这梦曾使用了一个明显的象征。蜡烛是一个能使女性性器兴奋的物品,它断了,不能撑直,这在男人方面而言,就指着“性无能”了。(“这并不是她的错”)但这位受过良好的教养,对那些猥亵的事完全陌生的高尚少妇,会有可能知道蜡烛这方面的用法吗?但她终于说出来她曾如何偶然地听到过这种事的。当她以前有一猥亵的歌:“瑞典的皇后,躲在那‘紧闭的窗帘’内,拿着阿波罗的蜡烛……”

         她当时并没听清楚最后那句话的意义,因此她曾要她丈夫解释那是什么意思。于是这些内容便遁入梦中,而且用另一种无邪的回忆所掩饰,当她以前在宿舍时,曾因“关窗帘”关不好而被人笑她动作笨拙。而手淫的意义与性无能的关联又是经常为人所提及的。于是梦的无邪内容一经解析,又再也不成其为无邪了吧! 

        4就这样子对梦的真实境遇作一结论,未免太早,所以此处我拟再提同一个病人的另一个表面上看来更无邪的梦:“我梦见我正在作某件我白天的确做过的事,那就是我把一个衣箱装满了书本,以致无法关上它。我这梦完全与事实一致。”在这儿,梦者再三强调这梦与真实之间的吻合。所有这一类梦者本身对梦的评判,虽说是属于醒觉后的想法,但经过以后的推证,我们可以知道连这一类的,都其实是属于梦的隐意之内。我们已经知道,梦的确是叙述了白天所发生的事,但这梦如用英文〔8〕来作解析的话,可要绕一大弯,而仍不易得到结论。我们只能够说这梦的重点在于小箱子(参照第四章,梦见箱内装一死去的小孩)装得太满,而再也装不下别样东西。

         还好,这梦并未蕴涵任何邪恶成分在内。

         在以上这一大堆“无邪的”梦中,性因素被作为检查制度的焦点是十分明显的。但这是一个非常重要的题目,以后我们会再详细讨论。

      第五章-乙、孩提时期经验形成梦的来源-1 

        由事实的引证,以及其他一般关于这方面的报告(除了罗勃特以外),我们可以发掘出梦的第三特点——那些在醒觉状态下所不复记忆的儿时经验可以重现于梦境中。由于从梦中醒来后,并无法把梦的每一个成分完全记清,所以,要想决定这些儿时经验的梦究竟发生的频率如何,实在不可能。而我们所要证明的儿时经验,必须能以客观的方法着手,因此事实上要找出这般实例也不容易。茅里所举的实例,大概是最鲜明的一个了,他记载道,有一个人决定要回他那已离开二十年的家乡,就在出发的当晚,他梦见他处身于一个完全陌生的地点,正与一个陌生人交谈着。等到他一回到家乡,才发现梦中那奇奇怪怪的景色,就正是他那老家附近的景色,而那梦中的陌生人也是真有其人的——是一位他父亲生前的好友,目前仍卜居于当地。这个梦,当然,明显地证实了这是他自己儿时曾见过的这些家乡人物的重现。同时,这梦更可以解释出他是如何地迫不及待地心悬故园,正如那已买了发表会门票的少女,以及那父亲已承诺带他去哈密欧旅行的小孩所做的梦一样。当然,这些促成儿时印象重现于梦境的动机,不经过分析是无从发掘的。 

        我有一位同事,曾听过我的这些演讲后,向我夸称,他的梦很少有经过“改装”的。他告诉我,他曾梦见过,那位曾在他家做事做到他十一岁的女佣与他以前的家庭老师同床睡觉。甚至连地点也清晰地呈现于梦境中。由于他很感兴趣,于是他把这梦告诉了他哥哥,想不到他哥哥笑着对他说,确有其事,当时他哥哥是六岁,很清楚地记得这对男女确有苟且关系。那时每当家里大人不在时,他俩便把他哥哥用啤酒灌醉,使他迷迷糊糊,而他这小家伙,虽说就睡在这女佣的房里,但他们认为年仅三岁,决不懂事,于是就在这房里干起来。

        还有些梦,虽不经梦的解析,但可充分确定它的来源,即一种所谓“经年复现的梦”——小孩时就做过的梦,在成年期仍一再地出现于梦境中。虽然我本身并没有做过这一类的梦,但我却可以举一些实例。一个三十多岁的医生,他告诉我,他从小到现在就常做梦看到一只黄色的狮子,而那形象他甚至可以清楚地描绘出来。但后来有一天他终于发现到了“实物”——一个已被他遗忘的瓷器作的狮子,他母亲告诉他,这是他儿时最喜欢的玩具,但自己却一点也记不起来这东西的存在。

        现在让我们将注意力由梦的“显意”转移到由解析以后才发现得出的梦的“隐意”,我们会很惊奇地发现,有些就其内容看不出什么苗头的梦,一经解析,居然会发现其来源也是由儿时记忆所引起的。我再引用一个那位曾梦见“黄狮子”的同事所做的另一个梦。有一次在他读完南森有关他北极探险的报告后,他梦见他在浮冰上用电疗法在为这位患有“坐骨神经痛”的探险家治病!经过解析后,他才记起有件儿时的经验,而如果没有这件经验的加入,这梦的荒谬性将永远无法解释。那大约是他三四岁的时候,他坐着倾听家人畅谈探险的逸事,由于当时他仍然无法分清reisen(德文。意为“旅行”游历),与reissen(德文。意为腹痛、撕裂般的痛),以致他曾问他父亲,探险是否为一种疾病呢?而招来兄姐的嘲弄,也可能因此而促成他“遗忘掉”这件令他觉得羞辱的经验。

        我们仍有一个类似的情形,那就是当我在解析那有关十字花科植物的梦时,我也曾联想到一件我儿时的回忆——当我五岁时,父亲给我一本有图片的书,让我一片片地撕碎。讨论到这儿,可能仍有人会怀疑这种回忆会真的出现于梦中吗?会不会是由解析时勉强产生的联系呢?但我深信这解释的准确性,可以由这些丰富的、紧凑的联想来作一印证:“十字花科植物”——“最喜爱的花”——“最喜爱的菜”——“朝鲜蓟”〔9〕。而朝鲜蓟须要一片一片地剥下皮来。另一个字“植物标本收集簿”(herbarium)——“书虫”(bookworm,即“书呆子”之谓),他们是整天啃食书本为生的。我以后会告诉读者,梦的最终极意义泰半是与儿童时期的有关破坏性景象有密切关系的。

        其他,还有一系列的梦,由解析过程我们会发掘其引起梦的“愿望”(wish),以及其“愿望之达成”均来自于儿童时期,因此我们一定会惊奇地发现,在梦中“小孩时期所有的劲儿全部都活现了”。

        我现在要再继续讨论以前提过的那证明出相当有意义的梦——“我的朋友R先生被看成为我的叔叔”。我们曾用它来充分证明出其目的在于达成某种“愿望”——能使我自己被选聘为教授。而且我们也曾看出,在梦中我对R先生的感觉与事实相反,还有我对这两位同事于梦中也予以不应当的轻视。由于这是我自己的梦,所以,我可以说,因为以前所作的解析结果,仍未能使自己相当满意,而拟继续作更进一步的解析。我深知,我梦中虽然对这两位有如此苛刻的批评,但事实上,相反地我却对他们估计甚高。而我自己觉得,我对那教授头衔的企求的热心程度,并不足以达到使我会在梦与醒觉状态下产生如此差距的感觉歧异。果真那份钻研求进之心是那般强烈的话,那我倒认为是一种不正常的野心,而说实在的,我本身可丝毫不以能实现此种企求为乐。当然,我无法确知别人对我是如何一种看法,也许我是个野心勃勃的人吧!但果真我是够有野心的话,那我想我也不会以区区一个所谓“大教授”之职位即能满足的,可能老早我就已改途旁骛了。

        那么,我梦中所具的那份野心又从何而来呢?在这儿,我想起了一件我儿时常听到的逸事——在我出生那天,一位老农妇曾向我妈妈(我是她的头一胎孩子)预言:“你给这世界带来一个伟大人物”。其实,这预言也无甚了不起,天下哪个母亲不是高高兴兴、殷殷切切地望子成龙呢?而三姑六婆们又有哪个不会应时地说几句使人锦上添花的话呢!还有一些老太婆,由于自己饱经沧桑、心灰意冷,于是所有希望憧憬均贯注于未来的新血,我想那送给母亲这预言的那位老太婆,大概也不外乎一种恭维之辞而已吧?难道这俗不可耐的几句话会变成了我企求功名利禄的来源吗?且慢!我现在又想起另一个以后孩提时代的印象,也许那更可能说明我这份“野心”的来源吧!在布拉特的一个晚上,双亲带着我像往常一样地去某间饭馆吃饭,(当时我大约十一二岁),我们在那儿看到一个潦倒的诗人,一桌一桌地向人索钱,只要你给他一些小钱;他就能照你给他的题目即席献出一首诗。于是,爸爸叫我去请他来表演一下。但在爸还未出题目给他以前,这个人就先自动地为我念出几句韵文,而且断言,如果他的预感不错的话,我将来必是一个至少部长级以上的大人物。迄今,我仍清晰地记得当晚我这“杰出的部长”是多么地得意,最近我父亲带回了一些他的大学同学中杰出人物的肖像,挂在客厅以增加门第光彩。而这些杰出人物中也有犹太人在内。因此每个犹太学校的学生在他们书包内,总要放个部长式的公文夹子以自期许。很可能,是因为这个印象,使我初入大学时,拟专攻“法律哲学”(这决定是到最后一刻才临时改变的)。毕竟一个念医学的人,永无登上部长宝座的一天吧!现在,我们再回头看看这个梦,我才了解我对目前这种不如意的日子与往日“杰出部长”的美景之天渊之别,就是缺乏了这份“年轻人的野心”。至于对我这两位值得尊敬的,学问渊博的同事,只不过因为他俩都是犹太人,我就那样刻薄地一个冠以“大呆子”,另一个冠以“罪犯”之名,这态度就有如我是个大权在握,赏罚由我的“部长”了。对了,在这儿我又发现到:很可能因为部长大人拒绝给予我大教授之头衔,于是在梦中,我就以此荒谬的作法扮演他的角色。

        在另一个梦里,我也注意到,虽然引发出这梦的导火线,是最近的某种愿望,但那其实只是儿时某种记忆的加强而已。我将在以下举出一些“我很想去罗马”的这愿望所产生的梦以作参考。由于每年到我有空可以旅行的季节时,都因为健康关系而不能去罗马〔10〕,因此多年来我一直唯有以“梦游罗马”来聊解心中的热盼。于是有一次我梦见我在火车车厢内,由车窗外望,看到罗马的泰伯河以及圣安基罗桥。不久火车就开动了,而我也清醒过来,我根本未曾进过这城市内,而梦中那幅罗马景色不过是前一天我在某病人的客厅内所注意到一座出名的雕刻画作品。在另一个梦里,某人把我带上一座小丘上,而对我遥指那在云雾中半隐半现的罗马城。记得我当时曾因为距离这么远而景物会看得那么清晰而觉得惊奇。

        这梦的内容由于太多,所以此处不一一提它。但就此,我们已可看出要“看到那心仪久矣的远方之城”的动机是如何地明显。事实上,那我在云雾中看到的其实是吕贝克城,而那座小丘也不过是格莱先山。在第三个梦里,我终于置身于罗马城内了。但很失望地,我发现那不过是通常一般都市的景色而已:“城里有一条流着污水的小河,在河岸的一边是一大堆黑石头,而另一边是一片草原,还有一些大白花点缀地长在上面。我碰到了促克尔先生〔11〕,而我决定要向他问路,以便在这城市内走一圈”。这很明显地,我根本无法在梦中看到这我事实上根本未曾到过的城市。如果我将所看到的景色,个别地予以分析,那我可以说,那梦中的白花,是我在我所熟悉的拉维那那儿所看到的,而这城市曾有一度差点取代了罗马,成为意大利的首部。在拉维那四周的沼泽地带,这种美丽的水白合,就长在那一摊摊的污水中。就像我自己家乡的奥斯湖所长的水仙花一般,我们往往因为它长于水中,而等于看得到却摘不到,因此,梦中,我就看到这些白花是长在大草原上。至于“靠在水边的黑石头”一下子便使我想出那是在卡尔斯矿泉疗养地的铁布尔谷,而这又使我联想起,我想向促克尔先生问路的那些情形,在这混乱交织的梦内容里,我可以看得出里头含蕴了两个我们犹太人常在写信、谈话中喜欢提到的轶事(虽然,偶然其中颇含一种令人心酸的成分)。第一个轶事是有关体力的,它描述一个穷苦多病的犹太人,一心想去卡尔斯矿泉治病,于是没买票就混进了开往那地方的快车,结果被验票员所发现,而沿途受尽索票时的奚落与虐待。后来,他终于在这悲惨的旅途中的某个车站,碰到一位朋友。他问这个人“你要到哪里去呢?”这可怜的家伙有气无力地回答:“到卡尔斯矿泉——如果我的‘体力’尚撑得下去的话。”而另外一个我联想到的犹太人的轶事是这样的:“有一个不懂法语的犹太人,初到巴黎,向人问前往Rue Richelieu的路……。”事实上,巴黎也是我几年来一直想去的地方,而当我第一步踏入巴黎时,心中之满足、喜悦迄今犹历久弥新,也由于这种畅游大都市的喜悦,使我对旅行更具有浓厚的兴趣。还有,关于“问路”一回事,这完全是在指着罗马而言,因为俗语常说“条条大路通罗马。”所以“路”与“罗马”显然有明显的联系可寻。接着,我们看那名字叫“促克尔”(糖)的与我们常送体力衰弱的病人去疗养的“卡尔斯矿泉”,使我联想到一种与“糖”有关的“体质衰弱病”——“糖尿病”(译即“糖病”)。而做这梦当时,正是我与住在柏林的朋友于复活节在布拉格会面以后不久,而当时会面所交谈的内容也多少可以找出一些与“糖”及“糖尿病”有关的话题。

        第四个梦,就紧接着上述我与某朋友的约会不久所作的,又把我带回罗马城内。……很奇怪的是,在这街上竟有那么多用德文写的公告。就在这前一天,我写信给这位朋友时,曾推测说,布拉格这地方可能对一个德国的旅游者而言,不会太舒适吧!于是,在梦中,我便把约好在布拉格相见的场合转换成相遇于罗马,而同时也实现另一个我从学生时代就具有的愿望——希望在布拉格德文会更为人所重用。事实上,由于我出生是在住有很多斯拉夫民族的莫拉维亚的一个村子里,所以在我童年的最初几年,我应该已学会了几句捷克语的。还记得,十七岁那年,我在偶然的机会听到人家哼着捷克的童歌,于是,很自然地,我以后均能顺畅地哼出来(只是对它所唱的内容却一窍不通)。因此,在这梦里头,实在有不少是出自我童年期的种种印象。

        在我最近的一次意大利旅途中,我经过特拉西梅奴斯湖时,我终于看到了泰伯河,但按照日程,只得过其门而不入,只差罗马五十英里即折往他处,而这份憾意更加深了我儿时以来对这“永恒之都”之憧憬。当我计划次年作一旅行,由此地经过罗马去那不勒斯时,我突然想起一句以前曾读过的德国古典文选〔12〕:“在我决定去罗马时,我感到无比的焦躁,而徘徊于这两着棋间——去当个温凯尔曼(一七一七——一七六八德国考古学家及艺术史家)的助理呢,还是作个像伟大的汉尼拔将军那种独当一面的角色。”我自己似乎是步着汉尼拔的后尘,我也注定到不了罗马(他在人们预料他会到罗马时,他却折往甘巴尼亚)。在这一点与我相似的汉尼拔,一直是我中学时代的偶像,就像同年纪的那些男同学们,我们对“朋涅克”(拉丁文即“腓尼基”)战役都同情迦太基人,而敌视罗马。再加上,当我意识到自己身为犹太人,常受班上德国同学的歧视,一种遭受到“反闪族人”的感受,更使我在心中对这位闪族的英雄人物加深倾慕。在我年轻人的脑海里,汉尼拔与罗马的战斗正象征着犹太教与天主教组织之间冥顽不休的冲突,而此后不断遭受的一些反闪族人运动所发生的感情创伤,使我这童年的印象根深蒂固。因此,对罗马的憧憬其实是象征着胸中一大堆热切殷深的盼望——就像那些腓尼基将领们,曾为了促成汉尼拔终其一生的愿望——进军罗马城,宁可知其不可而为地跟随他出生入死。

        而现在,我第一次发现到有一件我年轻的经验,迄今竟仍深深地在我的感情或梦境中表现出其影响力。当时我大约十至十二岁,父亲开始每天带着我散步,并且与我谈些他对世事的看法。他当时曾告诉我一件事,以强调我现在日子可比他那时代好受多了。他说:“当我年轻时,有一个周末我穿着整齐,戴上毛皮帽,在我家乡的街道上散步时,迎面来了一个基督教徒,毫无理由地就把我那新帽子打入街心的泥浆中,并骂我‘犹太鬼子,让开路来。’——我忍不住问我父亲:“那你怎么对付他?”想不到他只是冷静地回答道:“我走到街心,去把那帽子捡起来。”这个当时牵着我的小手的昂然六尺之躯的大男人,我心目中的英雄人物的父亲,竟是如此地令我失望。而与汉尼拔的英雄父亲布拉卡斯〔13〕把年纪尚小的汉尼拔带到祖坛上,要他宣誓终生以罗马人为敌的那份气概一比,这种强烈的对照更使我加深了对汉尼拔的景仰,而甚至处处幻想着自己就是汉尼拔一般。

        我想我还能对自己这份向往迦太基将领的狂热再远溯到更小的时候发生的事,而以上所提的不过是加深这般印象,将之转以新的形式表现出来而已。在我童年时,当我学会了看书以后,第一本看的书就是提尔斯所著的《执政与帝国》。我清楚地记得看完那本书之后,我曾把那帝国的大将军的名字,写在一个小标签上贴在我那木做的玩偶兵士身上。打从那时起,玛色那(Massema一位犹太将领),就已经是我最景仰的人物了〔14〕。而很巧的,我的生日又正好与这位犹太英雄同一天,刚刚差了一百年,也因此而更使我以此自期(拿破仑本身就曾因同样地越过阿尔卑斯山,而以汉尼拔自许)。也许这种军人崇拜的心理更可远溯到我三岁时,由于自己本身体质较弱,而对一位比我长一岁的小男孩,所产生忽敌忽友的心理而激发的一种心理反应。

        梦的分析工作越深入,我们就越会相信在梦的隐意里头,儿时的经验的确构成甚多梦的来源。

        我们已经说过,梦很少能把记忆以一种毫不改变,毫不简缩的方式复现在梦的内容里。

        然而,倒有过几个这种近乎完全真实的记忆之翻版的记载,而我在此,也可以又附加一个儿时记忆所产生的梦。我的一个病人有一次告诉了我一个只经过一点点“改装”的梦,而连他自己也都一下子就看出那梦实在是一种正确的回忆。这份记忆在醒觉状态下并未完全消逝,只是已经有点模糊而已。但在分析过程中,他就已完全清楚地追忆出其中每一细节,他记得那是他十二岁那年,他去探望一位住院的同学,那时候那同学躺在床上,翻身时不慎把他的性器露出裤子外。而我这病人当时不知怎地,一看到那同学的性器,竟不由自主地也把自己的性器由裤裆掏出来,结果招致其他同学惊奇鄙视的眼光,而他自己也变得非常尴尬,而拚命想把它忘掉。想不到在二十三年后,竟在梦中把这情景又复现了,不过内容还是稍稍改变了一下,在梦中,他不再是主动的角色,而成了被动的角色,同时那位生病的同学也以另一位目前的朋友所取代。

        当然一般而言,在梦的“显意”时,童年的景象多半只有雪泥鸿爪可寻,而必须经过耐心的解析才能辨认得出。这一类梦的举证,事实上也很难使人十分信服,因为这种童年经验之确实存在性是根本无法找到鉴证物的。而且如果这是发生在更早年的话,那我们的记忆,根本无法辨认出来。因此要获得“童年时期的经验在梦中复现”的结论是需要利用一大堆因素的收集,再加上精神分析工作成果,才可予以证实的。但一旦用在梦的解析时,我们往往把某一个童年期的经验,个别地从全部经验中摘出,以致使人觉得不太同意,尤其是,我有时未能真正作精神分析时所得的资料全部附载上去。但,我还是认为再多举下列几个例子是有其必要的:

        1我有一位女病人,在她所有梦中均呈现着一种特征——“匆匆忙忙”,总是赶着时间要搭火车啦,要送行啦……有一次“她梦见想去拜访一位女朋友,她妈妈劝她骑车子去,不需要走路的,但她却不断地大叫而疾跑。”这些资料的分析,可以导出一童年嬉戏的记忆,特别是一种“绕口令”的游戏,所有这些小孩间的天恶意的玩笑,也由分析中看出它们有时是取代了另一些儿时的经验。

        2另一位病人做了如下一个梦:“她置身于一间有各种各样机器的大房子里,使她有一种恍如置身一间骨科复健中心的感觉。她听到我告诉她说,我时间有限,无法个别接见她,而要她与另外五个病人一同接受治疗。但她拒绝了,而且不愿意躺在床上,或任何其他东西上面。她坚持地独自站在一个角落,而等待着我会对她说:‘刚刚说的话并不是真的’。但,这同时,其他那五位却嘲弄她太笨了,也在这同一时刻,她又仿佛感到有人叫她画许多的方格子。”这梦的最先一部分,其实是意指“治疗”以及对我的“转移关系”,而第二部分则涉及小孩时的一段情景,然后两部分以“床”衔接起来。“骨科复健中心”是来自于我对她说过的一句话。记得,当时我曾比喻说对她的精神治疗所需的时间以及性质,就有如骨科毛病一般,须要有耐心,经得起漫长的治疗。在治疗开始时,我曾对她说:“目前我只能给你一点时间,但慢慢地,我会每天有一整个小时为你治疗。”而这些话就撩起了她那种易受感伤的特质——这种特质正是小孩子注定要变成歇斯底里症的条件。他们对爱的需求是永远无法满足的。我这病人在六个兄弟姊妹中位居老幺(因此,“与另外五个病人……”),虽说父亲最疼爱这老幺,但她心里不时仍觉得爸爸花在她身上的时间与爱护仍嫌不够。而她等待着我说“刚刚说的话不是真的”可由以下解释,“有一位裁缝的小学徒送来她所订做的衣服,而她当场付钱托他带给老板。以后她问她丈夫,不知道这小孩子会不会把钱在半路上搞丢了,而到时她是否还得再付一次。”她丈夫“嘲弄”地回答:“嗯!那是要再赔一次的。”(就像梦中“嘲弄”),于是她焦急地一问再问地,期待她丈夫说一声“刚刚说的话不是真的”。因此梦中的隐意可由以下建构起来:“如果我肯花两倍时间治疗她,那她是否必须付两倍治疗费呢?”——一种吝啬的或丑恶的想法(小孩时期的不洁,在梦中往往以贪钱所取代,而“丑恶的”这个字正可构成这两种之间的联想),果真梦中所提“期待我说出那不是真的”,其实是迂回地暗指出“肮脏”这个字的话,那么“站在一个角落”以及“不愿躺在床上”,均可用另一件童年期的经验来解释——“她曾因尿床,而被罚站在一个角落里,并受爸爸的厉声斥责,同时兄弟姊妹们也都在旁边嘲笑着她……”等等,至于那小方格,是来自她那小侄子,他曾画出九个方格,而在这上面作出一个算术的难题——每个方格要填上一个数字,而使每个方格加起来均等于十五。

        3这是一个男人的梦:“他看见在两个男孩子扭打在一起,由周围所散放的工具看来,他们大概是箍桶匠的儿子。一个孩子终于被摔倒了,这较弱的家伙戴着蓝石子作的耳环,他抓起了一根竿子,爬起来就想追上去打那对手,但这对手拔腿便跑,躲在那站在篱笆旁边看来像是他母亲的女人背后,那女人其实是一位散工(即所谓按日计酬的工人)的太太,最初她背向着做梦的这个人,后来转过头来,用一种可怕的表情瞪着他,而使这做梦者吓得赶快跑开,但他还记得那女人的下眼皮呈赤红色地由两眼突出来。)

        这梦采用了相当多他当天所遇到的一些琐碎小事作材料。当天他的确曾看见两个小孩在街上打架,而有一个被摔倒。但当他跑过去想劝架时,两个小家伙都马上跑掉。(箍桶匠的孩子)——这句用语一直到他在后来另一个梦的分析过程中,引用了一句谚语时才看出端倪的。那句谚语是说:“打破桶底问到底”〔15〕。“戴着蓝石子作的耳环”,据梦者自己说,这多半是娼妓的打扮。这使人联想到有一句,常可听到的关于两个小男孩的打油诗:

        “……另一个男孩子名叫玛丽”。这也就说,其实,那被摔到的是个女孩子。“那女人站在篱笆旁边”:当天在那两个小鬼跑掉以后,他曾到多瑙河河畔散步,由于当时左右无人,于是他就在篱笆旁边小便,但刚解完才不久,迎面就碰到一个雍容华贵的老妇人,对着他愉快地打招呼,并且给了他一张她自己的名片。

        于是,在梦中,那女人就像他在那篱笆边小便一般地变成她站在篱笆旁边,而由于这样变成涉及到“女人小便”的问题,才解释得通以下几点:“可怕的表情”,.“赤红色的肉突出来”(女人蹲下去小便时,性器所呈的样子),而这梦就这般奇怪地把儿时两件记忆混在一起:小时候,他曾有一次摔倒一个女孩子,以及他曾看过一个女孩子蹲着小便。而这两次都使他有机会偷窥女孩子的性器。还有梦者自己坦承,当年也曾因为对这方面太好奇而遭受父亲的严责。

        4在以下这位老妇人的梦里,我们可以找出曾掺合了多少儿时记忆,以及一些荒谬的幻想。“她匆匆忙忙地赶出去购物,结果在格拉本她突然地像整个身体都瘫痪了一般,双膝落地站不起来,旁边围着一大堆人,特别是一些开车子的家伙们,但他们个个只是袖手旁观,就没有一个人肯扶她一把。她试了好几回想站起来,但都归于徒然。后来她大概是站起来了,因为她又梦见被载入一辆出租汽车驶回家去,一个很大很重的篮子(样子看来像是市场卖物用的篓子)在她进入车内以后由窗口‘被丢进去’。”

        首先得说明这老妇人做小孩子时,很容易受惊,以致她的梦一直都是令她胆战心惊的故事居多。关于以上那梦的头一部分很明显地来自骑马摔下来的情景。在她年轻时,她曾常常骑马,而在更早童年时,她很可能常扮玩“骑马”的游戏。由这“摔下来”的意念又使她想起在她童年时她家那老门房的十七岁大的男孩,曾有一次在外面发癫痫,而被路人用街车送回家来。当然,她并没有目睹发作的情景,但这种由癫痫而昏迷地摔下来的念头,却充斥于她的想象中,甚至日后形成了她自己的歇斯底里症的发作。当一女性做梦梦到摔下来,多半是有“性”的意味在里头的——“她变成了一个堕落的女人”,而再由梦的内容作一番审查,更可看出内容确有其意。因为是她梦见在格拉本那地方摔下去的,而格拉本街正是维也纳最出名的风化区。至于“市场卖物用的篓子”更有另一番解释:德文Korb除“篓子”或菜篮之意以外,另一个意义为冷落、拒绝之意。而这使她回想起早年她曾对向她求婚的男孩子,予以多次的冷落。这与梦中另一段“他们只是袖手旁观”十分吻合,而她本人也解释为“受人鄙视”的意思。还有,那“市场卖物用的篓子”可能尚有一种意义,在她的幻想中,她曾显示出她受人鄙视,而嫁错了一个穷光蛋,以致沦落到在市场卖物。最后,“市场的菜篮子”

        也可解释为仆人的象征。这又使她联想到一件儿时的经验——她家的女厨子由于偷东西被发现,而被解职,当时她曾“双膝落地”地哀求人们的原谅(这时梦者为十二岁)。接着,她又联想到另一个回忆,有个打扫房间的女佣因与家里的车夫有暧昧关系而被辞职,但后来这车夫娶了她做太太。由这回忆,使我们在梦中有关“开车的家伙们”有点线索可寻(车夫在梦中与事实正好相反,并不曾对堕落的女人施予援手),还有关于那“丢篓子”的一段也尚待解释。特别是,为什么它是被“由窗口丢进去的”?这可以使我们想到铁路运货工人的运货方式,还有也令人联想到这地方的特有民俗“越窗偷情”〔16〕。其他尚有与“窗”有关的记忆:有一年在避暑胜地,有个男人曾把蓝色的李花丢入这女人的房内。还有她妹妹曾因有个白痴在窗口徘徊窥看而惊慌。那么,现在由这么多的回想里,又引出另一个回忆,在她十岁时,有位男仆因被发现与她的保姆做爱(他们这种关系,连她小孩子都看得出来),而双双被迫收拾行装,扫地出门(而在梦中,我们所用字眼为“被丢进去”)。还有,我们在维也纳,常对佣人们的行李用句轻蔑的话“七李子”来代替,“收拾好你那些七李子,滚你的蛋!” 

        我所收集的这些梦,无疑地均来自一大堆心理疾患者,而解析结果均可溯自其童年时代之印象,并且甚至是记忆朦胧的或完全记不起来的最初三年的经验。但由于这些均取材自心理症病人,特别是歇斯底里症的病人,而使得梦中出现的儿时情景,可以受到心理症的气质所影响而走样,所以若要由此即推广到所有梦解析的结论,恐怕仍难使一般人信服。而就我自己的梦所作的解析而言,当然我想我并没有严重的症状,我却发现在梦的隐意里,竟也意外地找出我童年的某段情景,并且整个梦即可用这单一的童年经验所推演出来。以前我曾举过这种例子,但我仍拟提出一些不同关联的梦。也许如果我不再多举几个自己的梦,来证明其来源有些出自最近的经验,有些出自早就忘掉的童年经验的话,要把本章作一结束未免言之过早吧! 

     第五章-乙、孩提时期经验形成梦的来源-2

      第一个梦 

        旅途归来,又饿又累,躺在床上马上呼呼入睡,但这辘辘饥肠的难受就引出了如下的一个梦:“我跑到厨房里去,想找些香肠吃。那儿站着三个女人,其中之一为女主人,她手上正在卷着某种东西,看来很像是汤团之类的。她要我再等一会,等她做好了菜再叫我。(这句话在梦中听得并不太清楚。)于是我觉得不耐烦,很不高兴地走开了。我想穿上大衣,但第一件穿上去时,发现那太长了,于是我又脱下来,这时我很惊奇地发现这套大衣上,居然铺有一层贵重的毛皮。接着我又拿起另一套绣有土耳其式图案的外套,这时来了一个脸长长的、蓄有短胡子的陌生人,叫我不能拿走那外套,他说那是他的,我告诉他说这外套上均绣有土耳其式的图案,但他回答说:‘土耳其的(图案、布条……)又干你屁事?’但不久我们又变得彼此非常友善起来。”

        在这梦的解析时,我很意外地,竟想起一本大概我一生第一次读过的小说,或应该说是第一本我由第一册的最后部分读起的小说,当时我是十三岁。那本小说的书名、作者我都记不起来了,但,那结局竟仍清晰地记在脑海里。那书中英雄最后发疯了,而一直狂呼着三个给他同时带来一生最大的幸福与灾祸的女人的名字。我记得其中一位女人叫贝拉姬,我仍搞不清楚为什么在分析这梦时我会想到这小说。由于提到三个女人,使我联想到罗马神话的三位巴尔希女神,她们执掌着人类的命运。而我知道,梦中三个女人中之一,即那女主人,是已经生了小孩子的妈妈,就我自己而言,母亲是第一个带给我.生命以及营养的人。而爱与饥饿唯有在母亲的乳房里,才能找到最好的解放。我且顺便提一段趣闻:“有个年轻的男人,曾告诉我,他本身非常欣赏女人的美,而他最遗憾的是,他的乳妈那般漂亮,但他当时却因太小,而未能利用哺乳的大好机会,沾点便宜。”(在心理症的病人,为了探求追溯其形成的因素,我有个习惯,总是先利用他的某个趣闻逸事而加以追问下去。)由以上一推演,变成了巴尔希女神中有一位双掌相摩地像是在做汤团。一位命运女神做这种事,太怪了,似乎还须再加探讨一番。这可以用我儿时另一经验来作某种解释。当我六岁时,被妈妈上了第一课,她告诉我,我们人是来自大自然中的尘埃,所以最后也必消逝为尘埃。这听来使我非常不舒服,而表示不相信这一套说法。于是妈妈双掌用力地相摩(就像梦中那女人一般,只差妈妈两手间并没有生面团在里头),而把磨落下来的黑色的皮屑(直译当为“表皮层之鳞屑”)指给我看,这就证明了我们是由尘埃所变成的!记得当时目睹这种现场表演的事实时,心中感到无比的惊奇,而后来我似乎也就勉强地接受她的这种说法——“我们人类均难逃一死的”〔17〕。在我童年时,的确常常在肚子饿的时候,就跑到厨房去先偷吃,而每次总被坐在灶旁的妈妈斥骂,而叫我一定要等到饭菜做好了,才开始用餐。因此梦中我到厨房所碰到的女人们,确是暗指着那三位命运女神巴尔希了。现在再来看看“汤团”这个字有什么意思,至少它使我联想到大学时代教我们“组织学”的一位老师,他曾控告一位名叫克诺洛(德文有“汤团”之意)剽窃他的作品,而“剽窃”意即将不属于自己的东西拥为己有。

        这又使我能解释出梦的另一部分,我被人当作是经常在人多手杂的剧院讲堂下手的“偷大衣的贼”,我所以会写出“剽窃”这个字出来,完全是一种无意的动作。而现在我却开始看出,也许这就是梦的隐意之一,而可作为梦的其他显意部分的桥梁,联想的过程是这样的:

        贝拉姬——剽窃——扳鳃亚纲(鲨即此中之一〔18〕)——鱼鳔——就这样子由一本旧小说引出克诺洛事件和大衣(德文UEberzieher有几个意思:大衣、套头毛线衣、性交所用保险套),因此很明显地这又牵涉到性方面的问题。诚然,这是一套相当牵强、无理的联想,但要不是经过“梦的运作”的工夫,我在清醒状态下是决不会作如是想法的。虽然,我并无法找出任何迫使我作这种联想的冲动,但我还想一提的是,有一个我很喜欢的名字——布律克,那使我想起我曾在一所名叫布律克的学校里上课的那段快乐时光——无所为而为的纯趣味的追求,“每天孕育于智慧的宝藏内而不复有他求,而这正与当我做梦时“折磨”我的欲望成一强烈的对比。最后,又使我回忆起另一位令人怀念的老师,他的名字叫弗莱雪,这名字发 音听来就像是可以食用的“肉”,紧接我的思路更涌出一大堆景色:包括有表皮层皮屑的一副感伤的场面,(母亲——女主人)、发疯(那本小说),由拉丁药典(即“厨房”)

        可找到的一种使饥饿的感觉麻痹的药——古柯碱……

        就这样子下去,我可以将此复杂之思路继续推演下去,而可以将梦中各部分一一予以阐释。但由于私人关系,使我不得不在此稍有所保留。因此我将在这纷杂思绪中只执其一端,而由此直探这梦思的谜底。那在梦中长脸短胡的,阻止我穿第二件大衣的人,长相很像是我太太常向他购买土耳其布料的斯巴拉多的商人。他的名字叫宝宝比〔19〕,一个很怪的名字,幽默大师史特丹汉姆曾开他的玩笑说:“他道出了自己的名字以后,握手时脸都羞红了!”其他,我发现了与以上贝拉姬、克诺洛、布律克、弗莱雪等一般地由名字发音近似而生的种种联想,差不多没有人不承认我们孩提时代都喜欢利用别人的名字来作恶作剧。也许我因为过分惯于利用这种联想,以致招来了报应,因为我的名字就经常被人拿来作开玩笑的对象〔20〕。哥德也曾经注意到每个人对自己的名字是多么敏感,他认为那种敏感可能甚至比得上皮肤的触觉。而赫尔德就曾以哥德名字的发音作题材,写了一段打油诗: 

        “你是来自神仙们(Güttern)?来自野蛮人(Gothen,或译哥德人)?或是来自泥巴中(Kote)?

         ——你徒具神明的影像,最后也必归于尘埃〔21〕。”

         ……我自知所以把话题扯开到这里来,只不过是想说明一下名字的误用确有其意义而已。且让我们在此转回刚刚的话题吧!在斯巴拉多购物的事,使我想起另一次在卡塔罗购物的情形,那次我因为太过小心,而失去了作一批大好交易的机会(“失去了一次抚摸奶妈的乳房的机会”见以上所提那青年人)。由饥饿而引起的这个梦里头,确能导出一种想法——我们不要轻易让东西失掉,能捞到手的就尽量拿,甚至就是犯了点错也要这样作。我们均不可轻易放过任何机会,生命是短暂的,死亡是不可避免的,因为这可能有“性”的意味在内,而且“欲望”又不愿意考虑是否有作错的可能。这种“及时行乐”的看法,确有理由需要逃避自己内心的检查制度,而遁托于梦境中。因此当梦者所忆及的时光为梦者本身之“精神滋养”够充实的时候,他便能将一切反对念头表现于梦中,而不使丝毫恼人的“性”方面的惩罚呈现于梦中。 

     第五章-乙、孩提时期经验形成梦的来源-3

      第二个梦

         这个梦需要更长的“前言”:为了打发几天的假日,我选择了奥斯湖作度假目的地,于是当天我到西站去搭车,由于到得早一点,刚好碰到开往伊希尔的火车。这时,我看到了都恩伯爵,他又要前往伊希尔朝见皇上吧!虽是倾盆大雨,他却视若无睹,慢条斯理地由区间车的入口昂然直入,而对向他索票的检票员(他大概不认得这位伯爵大人)完全不屑一顾。

        不久,往伊希尔的车子开走了,站务员要我离开月台到候车室等车,经我费了一番口舌,才总算被允许继续停留在月台上。此时极端无聊,于是我就利用这机会,冷眼旁观人们如何贿赂站务员以获得座位,此时,我心中真想抱怨出来——我希望我也能享有那份特权。另一方面,我又嘴里哼着一首歌儿,后来,我才注意到这是《费加洛婚礼》〔22〕中之一段由费加洛所唱之咏叹调:

        如果我的主人想跳舞,想跳舞,那么就让他遂其所好吧!我愿在旁为他伴奏。

        这整个晚上我一直心浮气躁,甚至急躁到想找个人吵一吵的程度。我乱开那些待者、车夫的玩笑(但愿这些并没伤到他们的感情),而现在一些带有革命意味的、反叛的思想突然涌上心头,就像那些我在法兰西剧院所看到的包玛歇借费加洛之口所说的那些话,一些出生为大人物所发的狂言,如阿玛维巴伯爵想到用其君主之权,以获得苏珊娜……以及我们那些恶作剧的记者们对都恩伯爵的名字所开的玩笑。他们称他“不做事的伯爵”。其实我并不羡慕他,因为目前他很可能正战战兢兢地站在国王面前听训,而在这儿正满脑子筹划如何度假的我,才真是个“不做事的伯爵”呢!这时,走进了一位绅士,我认得出这家伙是政府医务检查的代表,并且由于他的能力、表现赢得一个“政府的枕畔人”的绰号。这家伙蛮不讲理地坚持以他的政界地位,一定得给他弄个一等房间,于是只好让给他这房间的一半。最气人的是,有个管车人竟向另一个伙伴说:“喂!那住另半边的那人,我们把他摆在哪里好呢?”这种喧宾夺主的无理作风,简直太受不了。我是付了整个一等房间的钱呀!后来,我总算有了一个整间的,但却不是套房,一旦晚上尿急,可没有厕所在房间内的。我对那管车人争了一顿,也毫无所获,于是怏怏地讽刺他,以后还是在这房间地板上弄个洞,好让旅客尿急时方便些,入睡以后,就在这清晨二点三刻时,我竟因尿急,而由梦中惊醒过来。以下便是这梦的内容:

        “一大堆人,一个学生集会……某个伯爵(名叫都恩或塔飞)正在演讲,有人问及他对德国人的看法,他以轻蔑的姿态,不着边际地回答道:‘他们喜欢的花,就是那种款冬。’接着他又将一片撕下的叶子,其实是一片已干皱的枯叶,装在纽扣洞内。我跳起来,我跳起来〔23〕,但我马上为自己的这种突发动作而吃惊。接着,以下较模糊地,仿佛那场地是在一通道里,出口处挤满了人潮,而我必须马上逃跑。我跑入了一间装设高雅的套房内,很明显地是一个部长级之流的高级住宅,里头的家具尽是一种介于棕色与紫色之间的颜色。最后我跑到一条走廊,那儿坐着一个胖胖年老的看门女人,我想避免与她说话,以防被人摒于门外,但她却似乎认为我的身份已足够通行无阻似的,因为她竟问我,需不需要有人掌灯带路。我以手势,或用说话,对她表示,那大可不必,而且要她就坐原位不动,我似乎就这样很狡猾地摆脱了追踪,现在我开始走下阶梯,而后又是一道狭窄陡峭的小路。”

        接着,又是更模糊的一段:“我的第二个工作似乎是要马上逃离这城市,就像我刚刚所述的需要急速离开那房子一样。我坐在一辆单马马车内,我告诉车夫,火速送我到火车站去,而当他埋怨说我可要把他累坏时,我回答道:‘到了火车内,我就不会再要你赶车了。’这听起来,似乎他已为我赶车赶了一大段普通只有火车才跑得了的长路了。火车站上人山人海,而我拿不定主意究竟去列喀姆或嗤奈姆,但我后来一想,很可能官方会派人在那儿窥伺,于是我决定了去格拉次或这一类的地方……现在我置身于一火车厢内,仿佛是电车内吧!而在我的纽扣洞内插着一个硬硬的棕紫色的很惹人注目的辫带似的东西。”到这儿,这景象又中断了。

        “接着我又再度置身于火车内,但这次,我是与一位老绅士在一道的。其他一些仍旧想不起来的部分,我正推想着,并且我知道推想出来的确实已发生了,‘因为推想到与经验到,这往往是同一回事’。他装成瞎子似的,至少有一眼是瞎了,而我拿着一男用的玻璃便壶(这是我们在这城市里所刚买的)招呼他小便。看来,我成了一个照顾这瞎子的看护了。 

        此时,如果站务员看到我们这景象,一定会注意到的。同时,这老头子的姿态,及其排尿器官,均栩栩如生地使我触摸到。然后我因尿急而由梦中惊醒过来。”

         这整个梦似乎是一种幻想,使梦者重回一八四八年的革命时期。这可能是由一八九八年的革命周年庆祝会带给我这份记忆的重现。还有以前我到华休远足时,曾顺道去伊玛尔村玩了一趟,而那儿据说就是当年革命时期学生领袖费休夫避难的地方〔24〕。而费休夫式的这类人物似乎也在这梦的“显意”中出现过不少次数,因此这乡村小游也可能是促成此梦的伏笔。终由这村落的联想,使我想起我那住在英国的哥哥的房子,而由此再联想到我弟弟,常以但尼生〔25〕的那首标题为“五十年前”的诗,来揶揄他太太,而他的孩子们每次总会矫正他的老毛病——因为那首诗名应该是“十五年前”,但,这份幻想与由看到都恩伯爵所引起的想法之间的联系,却宛如意大利式教堂的正面一般,与其后面的建筑物找不到丝毫衔接处。但在这正面里,它却还充满着一大堆的缺口,以及一些可穿透入内的迂回暗道。这梦的第一部分,包括有好几种景象,在此我拟逐步解开来一一阐释。梦中伯爵的那份狂态,几乎等于是我十五岁那年我在学校所遭遇到的那一份景象——我们的老师非常傲慢自大,不受人欢迎,致使我们在忍无可忍之下,酝酿着“叛变”,而担任领导的主谋人物是一位常以英王亨利八世自许的同学。当时那种情形,对我就有如要发动一次政变似的,而当时有关多瑙河对奥国的重要性的讨论也似乎是一种公开的叛变。我们这些叛变的伙伴中,有一位贵族出身的同学,被叫做“长颈鹿”的(由于他的高度所得的绰号),有一次被暴君似的德文教授申斥时,他站得就像梦中那伯爵一般姿态,关于“喜欢的花”以及那“纽扣洞内所插的某种东西”等等无疑是暗指着某种花,使我想起那天我曾送兰花给一位朋友,同时我又送了一朵捷立哥(巴勒斯坦的一座古城的玫瑰……),而使我由此追忆出一部莎士比亚的历史剧本所揭发的红白蔷薇的内战。这段追忆正好由刚刚提到的“亨利八世”〔26〕衔接下去。再下来,我们可以由红白蔷薇而联想到红白康乃馨这种花〔27〕,而在维也纳,白色康乃馨已成了反闪族人的标记,而红色康乃馨则象征“社会民主党”人士。在这段联想中隐含着以前我在风光旖旎的萨克森旅途中所遭遇的一次反闪族人运动的不愉快追忆。这梦的第一段使我追溯到另一个情景——那是我早年的学生时代,我参加了一个德国学生聚会,讨论哲学对一般科学的关系。初生之犊不畏虎,我以完全的物质主义的观点,拥护一种十分偏激的看法。因此使得一位博学睿智的老学长忍无可忍,站了起来,把我彻头彻尾地痛斥一顿。我记得他是一位很能领导人们、组织团体的青年,同时,他有一个绰号,好像是一种动物的名字。后来,他又说到他本身,过去就曾有一段时间非常偏激过,但后来才迷途知返地彻悟过来。“我跳起来”(就像梦中一样),变得十分冲动,无礼地反驳他,既然他自己也曾有过一段如此经历,那我可对他今日作如是言并不感到“惊奇”(在这梦里,我自己对自己的德国国家主义竟抱有如许感情感到“惊奇”)。会场马上引起了一阵骚动,几乎所有同学均要我收回刚才听说的话,但我仍坚持立场。还好,这位受辱的学长相当明理,并不接受他们的意见来向我挑战,而把这争端就此结束了。

        这梦所剩的一些情景的来源则更难找些。那伯爵轻蔑地提及“款冬”这植物究竟有甚意义?因此我必须再对自己的联想串列加以一番审核。由款冬而lettuce(一种类似莴苣之一种青菜),而Salathund(看到别人有得吃而嫉妒的狗),于是,我发掘出不少晦涩含糊的描述词,其中颇有文章:譬如长颈鹿这个字Gir—affe,而Affe德文为猿猴之意,故由此推出猴,更而猪、牝猪、狗,由此顺推可能推出笨驴,而正好可用来加在我们那位教授头上,以发泄我心中对他的轻蔑。更进一层地,我将款冬——我怀疑这是否正确——译为蒲公英,这意念是我由左拉的小说《阳春》(Germinal)中,所提起的“有些小孩子,带着掺有蒲公英的沙拉一起去”。狗,法文叫,听起来有点像另一种较大功能的动词chier(大便),而法文pisser(小便)代表着较小功能的动词。接着我们就要找出第三种分属不同物理状态(固、液、气三态)的,平时社交场合不便说出口的东西。因为在上述那本《阳春》里,还提到将来的革命等,其中有一段很特殊的内容,与排泄气体的产生有关系,这就是我们俗语说的“屁”〔28〕。而我现在不能不详细检讨一下,“屁”这字为何经过这么大的绕弯子而产生出来,最初提到“花”,而接着是西班牙的歌谣,小伊莎贝拉,由此再联想到斐迪南、伊沙贝拉,再由亨利八世,引到西班牙征英之“无敌舰队”全军覆没后,英国为庆贺此历史上之大胜利,曾在一奖牌上刻上一段句子“Flavitetdissipati sunt”,因为西班牙舰队是被一场海上暴风雨所打垮的〔29〕。我对这段铭刻的名言深感兴趣,甚至我曾想过,一旦我对歇斯底里症的观念与治疗的研究确有成果发表时,我一定用这句话作为“治疗”一篇的篇头呢!

        关于这梦的第二幕,由于无法完全通过我自己意识中的“审查”,故未能作较详细的解析。在梦中,我似乎取代了某位革命时代的杰出人物,这人曾与一只鹰有段传奇的事迹,并且听说他患有肛门“失禁”的毛病……虽然这些史迹大部分都是一位“宫廷枢密官”说给我听的,但我仍觉这些事,不能通过我的“检查”。梦中那套房,使我想起,那就像是我看过的这位大人物的私用驿车内的装潢布置一般。但同时“房间”在梦,往往是象征“女性”的〔30〕。那梦中的看门女人,其实是一位我以前曾在她家受她好意招待,谈吐风趣的老女人。而在梦中却丝毫不带感激地给予她这种角色。关于灯的事,使我回想起格利巴泽(1791——1892,奥国戏剧家及诗人)曾因此种类似的经验,而促成了他日后写出名剧《希洛与黎安德》〔31〕。(海浪,情海波涛——“无敌舰队”与暴风雨)。

        由于我最初选释此梦的目的在于谈及儿时回忆,故在此我不拟再详细探讨这梦的另两部分,而只举其中部分,说明它们如何使我回忆起两桩童年经验。读者们可能会认为那是因为有关性的资料,所以需要被抑制下来,但你们也不可能不以此解释而满足。事实上,有很多事我们对自己并不必隐饰,但却仍深感“不足为外人道也”,而在此,我们并不拟追究,促成我避开这些探讨的理由,我们是要找出,那些使梦的真正内容不能呈现出来的“内在检查”的“动机”。对这点,我愿坦然承认,这些梦中有三部分显示出我清醒时一直抑制住的“过分夸张”、“荒谬自大”,这些情绪居然在梦中分别地,甚至在梦的显意中呈现出来(看来我可真成了一个狡猾人物),而且在梦未成形的当晚,也使我一直心浮气躁。各种各类的浮夸,譬如我提及格拉次这地方,我们会想起有钱人惯用的这种口气“格拉次,要多少钱”。读者们如果还记得大匠拉伯雷的名著GragntuaandPantagruel中的人物〔32〕,那么我这梦的头部分可能就涉及这种吹嘘狂态,而底下所列的,则属于我所述及之两个童年追忆:我以前曾为了旅行而买了一个新的“棕紫色”的行李箱,而这颜色于梦中出现好几次。

        〔棕紫色的硬布,披挂在一种所谓“少女捕器”(girl—catcher)的东西上——在部长办公室内的一种家具)。我们都知道,小孩们认为东西只要是新的,就能引人注意。现在我要告诉各位一件我童年的轶事,这是后来家人说给我听的,“我在二岁时,仍常常尿床,而当我因此受责时,我便会对父亲说:‘等我长大后,我要在N市(最近的一座大城)买给你一座新的大红色的床。’”因此在梦中,我们在城里所刚买到的,便是一种承诺的实践。(我们也许可以更深入地发现出男人便壶与女人的行李箱、盒子之间的联想。)而所有小孩时期的自大狂在这一句承诺中均表现无遗。梦中所述的小便有困难在小孩而言,究竟有何意义,我们已在前述的梦(本章开头部分)有所解释。由心理症病人的精神分析告诉我们,尿床与日后性格中野心的倾向很有关系。

        这以后,在我七八岁时,另有一件我记得很清楚的小事情。“有一个晚上要睡觉时,我不顾爸妈的禁令,拗着父母让我睡在他们的卧室内,爸为了这样不听话骂了我一句‘这种男孩子将来一定没出息’!”而这句话当时必定严重地打击了我的自尊心,因为日后这情景在我梦中又出现过无数次,而每次必连带地呈现出我各种各类的成就与受人尊重的景象。就像是我想说:“爹!你看,我毕竟是有出息吧!”而这童年的景象也说明了梦中的最后出现的一个人物——为了报复,我将人物关系颠倒过来。那老人,明显地是指着我父亲,因为他的单眼瞎了,正象征着我那一只眼睛患有青光眼的老父〔33〕在梦中由我照顾他小便,就如我小时他照顾我一样。由“青光眼”之联想,我对古柯碱的研究使他的青光眼开刀得以顺利完成,而这又是我实践了另一次的承诺。此外,在梦中,我又把他弄成了那副惨相:瞎了眼,必须我以“玻璃尿壶”服侍他小便,而心中却愉快地想着我那引以自傲的有关歇斯底里症的理论〔34〕。

        如果我的这两个孩提时代与排尿有关的情景,根据我的说法,可以找出与我的冀望求名之心有联系可寻的话,那么与奥斯湖的车厢上刚好没有厕所的这件事更加深了我这种说法。

        因为没有厕所,我必须在旅途中忍着尿,而使我真的在清晨因尿急而惊醒。我想,一定有很多人以为我尿急的感觉就是这梦的真正刺激来源。但,我却有相反的看法。“梦里的念头为因,而尿急反而是果”,因为,我平时很少晚上起来小便,尤其是这种三更半夜的时刻,更不可能发生。并且我就是在各种比这更舒适的旅途中也从不曾有过尿急而惊醒的经验。其实,这个论点纵然未能寻出解释,也仍丝毫不会减弱我以上论断的可靠性。

        还有,由于梦的解析所得的经验,使我注意到一件事实——梦的解析,虽然能够从梦的来源与愿望的刺激,经由思路的运行,追溯至“孩提时代”,以找出清楚的关联,使人觉得解释十分完全,但我仍得自问,这因素是否构成梦的基本条件。果真这想法是可以成立的话,那我就可以概括地说:“每一个梦,其梦的显意均与最近的经验有关,而其隐意均与很早以前的经验有关”;在歇斯底里症的病人,我的确发现到那些早年的经验在他们的想法中居然栩栩如生地持续至今。但,我仍然很难确实地证明此一假说。在另外一章里(第七章)

        我将再就“梦的形成”中,对“早年经验”所扮演的角色分量作一探讨。

        以上,我们提出了梦的记忆所具的三个特点,第一:“梦内容多半以不重要的事为显意”,这已由“梦的改装”的探讨作了满意的解释。以及另外两个特点:“梦内容多选用最近的以及孩提时代的资料”——但我们仍很难由梦的动机推演出这两个特点。现在让我们权且先记住,这两个特点仍尚待更进一步的解释与检验。而等到讨论有关睡觉时的心理状态,或研究心灵的结构时,再从长细谈。以后我们就会发现经由梦的解析,就像由一个“检验孔”可以窥看出整个心灵结构的内部。

        但在这儿,我拟再强调由最后这几个梦所分析得出的另一结果——“梦‘往往’(often)看出来有好几个意思”,并不只是上述那些例子所显示的好几个愿望的达成,而且“很可能是一个愿望的达成隐蔽了另一愿望的达成,需要经过最后层次分析,才能找出那最早时期的某种愿望的达成。”最后,我想也许有人会问我,在这句子开头所用的“往往” (often)是否可以更正确改为“恒常的”(stantly〔37〕)。

     第五章-丙、梦的肉体方面的来源

         丙、梦的肉体方面的来源

        如果我们想引发受一般教育的门外汉对梦的问题发生兴趣,那么我们不妨问问他们,究竟他们自己以为梦的来源是什么。关于这问题,一般而言,他们多以为自己的意见是对的,他们多半马上联想到“消化障碍”(“梦由胃脏内引起”)、“睡姿”、“睡中发生琐碎的小事”等等均足以影响梦的形成。他们甚至认为,除了这些肉体上的因素以外,梦就再也找不出其他方面的来源。

        本书开宗明义第一章〔38〕里,我们已经详尽地讨论过一些对有关肉体上的刺激对梦的形成所发生的影响,所以此地我们只须再回忆一下那些探讨的结果。我们已知道肉体上的刺激又可分三种:由外物引起之客观上存在的感官刺激、仅能主观觉察到的感官内在的兴奋状态,以及由内脏发出的肉体上的刺激。而且,我们也注意到,这些有关梦的研究,也因为梦的“精神来源”,究竟是与“肉体来源”共同运作或是根本不存在,而意见纷歧不一,就这有关肉体来源的可靠性而言,我们对这由外物引起的,客观上存在的感官刺激——不管是睡中偶然发生的刺激,或是与睡眠状态时之身体内部状态所共同发生的刺激,它们的意义以及其证明,均有人用实验的方法予以证实。而仅能主观觉察到的感官刺激,则可由梦中复现之乍睡乍醒之感官影像观其一斑。至于由内脏发生之肉体上的刺激,虽不能确定地证明出其影响,但大致上可由众所皆知的消化、泌尿以及性器官的兴奋状态,对梦的内容所生的影响,而多少看出端倪。

        “神经刺激”和“肉体上的刺激”就这样地被认为是梦的“解剖学上的来源”,而有很多学者,乃以为此即梦之唯一来源。

        然而,我们却发现了好几个疑问,而足以使这种肉体刺激的理论站不住脚。

        尽管提倡这种理论的学者们是如何地有自信,尤其是对偶然的,外界的神经刺激方面,他们可能不难在梦的内容里找出这种来源,但是,他们也不得不承认一件事实——梦中所发现的这些丰富的意念,内容并无法单单以外界刺激完全解释得通。就这方面,卡尔金小姐曾在六个礼拜中,对她自己的梦,以及另一实验者的梦与外界感官所受之刺激所作的实验看出,她们两人的梦与外界刺激之关系分别只达百分之十三点二,和百分之六点七而已。在她们所收集的所有梦中,只有两个梦可以与器官之感觉扯上关系。这个统计数字更使我们早先由自己的经验,所导致对这说法的怀疑更为加深。

        常常有人干脆就将梦分为两类,一种是上述的神经刺激引发的梦,以及另外的因素引起的梦。如斯匹达,就曾分类为“神经刺激梦”以及“联想梦”。但,这也仍解决不了问题。

        唯有能找出梦的肉体来源与梦内容之意念之间的关联,才算是真正解决这悬案。

        除了上述“外来刺激之来源并不多见”的证明以外,尚有第二个质疑:“许多梦如果用这种梦来源,解释并未能完全行得通。”兹举两例:第一,为何梦中那外来刺激的真实性质往往不易看出,而多以别物取代。第二,为何心灵对这错误感受到的刺激所生的反应竟是如此地不定而多变化呢。我们已知道,史特林姆贝尔对这质疑所作的答复,他以为心灵在睡眠时往往与外界隔离,而无法对外界感官刺激予以正确的解释,以致被迫对这来自各方的朦胧的刺激建构一番幻象。在他那本《梦的性质及其来源》第一百零八页,他有如下说法:

        “在睡眠时,由外界或内在的神经刺激,在心灵上引发出一种感觉,或一种情意综合,或任何一种精神过程,而这种感觉在心灵里唤起了属于醒觉状态时所经验到的某些记忆、影响,这也就指着是那些以前的各种感受——可能是毫不经过润色的,或有精神价值附着于上的。就这样子,经由神经刺激,引致心灵收集出一些或多或少的影像记忆。而使我们人有如在醒觉状态下一般,心灵能“解释”这些睡中由神经刺激所生的印象。而这种解释的结果即所谓的“神经刺激梦”——“一种梦,其成分是由神经刺激在心灵上产生精神效果,而按着‘复现的原则’使某种心灵上的影像重现出来。

        在主要观点上与这理论相同的,就是冯特的主张,他以为梦的观念,绝大部分来自于感官的刺激,尤其是全身性的刺激,因而引发多半是不真实的幻象——只利用小部分的真实记忆,而扩展成幻觉的程度。以这种理论来说明梦内容与梦刺激之关系,史特林姆贝尔曾作一种譬喻:“就像一个不懂音乐的人,用他的十根指头在琴键上乱弹一般。”这意思就是说,梦并不是一种由精神动机引发出来的精神现象,它是一种生理刺激导出的后果,只是由于受到这刺激后,心灵无法以他种方式表现其反应,而不得不以精神上的症状来表现而已。基于同样的假设,梅涅特曾对obsessiveidea的解释作了那有名的譬喻:“在数码转盘上,每个数字均高高地以凸字表现出来。” 

        (Strachey注:此段文章并无法在梅涅特的著作内找到出处)。 

        虽然这理论似乎广为人们所接受,而且说起来也颇动听,但我们仍不难看出它的毛病。

         每一个在睡中引起心灵产生幻象的肉体刺激,常常可引发无数种不同的梦的内容〔39〕。但史特林姆贝尔与冯特均无法指出“外界刺激”与心灵用来“解释”它的“梦内容”之间的关系。也因此无法解释得通这种“刺激经常使心灵产生出的如斯奇特的梦”〔40〕,其他的反对意见多半是针对这理论的基本假设——“在睡眠中,心灵是无法正确地感受外界刺激的真正性质。”老一辈的生理学家布尔达赫曾告诉我们,在梦中心灵仍能相当正确地解释那些由感官所得到的印象,并且正确地予以反应。他并且指出,某些对个人较重要的感觉往往在睡中并不会与其他一些刺激一同受到忽视。相反地,它们常常自然地脱颖而出,引起睡者的特别重视,一个人在睡觉时,听到人家叫自己的姓名往往马上惊醒,但对其他的音响却往往仍照睡不误。当然,这是基于一个大前提——在睡中,心灵仍能分别各种不同的感觉的。因此布尔达赫以为,并不是心灵不能解释睡眠状态中的感官刺激。而是它对这些刺激并不发生足够兴趣所致。在一八三○年利普士又把布尔达赫这一套搬出来,以攻击主张肉体刺激这一派的看法。在这些论争里头,心灵这东西就有如一段趣闻中的睡者一般。人家问他:“你在睡觉吗?”他回答:“不是。”而再问他:“那么你借我十个佛罗林〔41〕吧?”他却有了借口:“喔!我已睡着了!”

        有关肉体刺激形成梦的理论仍有许多不适切之处。由观察的结果,纵然就是在我们一开始做梦时,那肉体刺激马上介入的话,我们也仍无法确定外界刺激必定会导致梦的形成。譬如说,当我在睡觉时,我感受到触摸或压力的刺激,那么我仍有一大堆的反应供我选择。我可能根本不理它,而直到醒来时,才发觉我的腿没盖上被子,或是我因为侧卧而压着一条手臂。事实上,在精神病态的研究中,我发现有一大堆的例子,均是各种相当兴奋的感觉或运动方面的刺激,但却在梦中引不起丝毫反应。或者,我可能在睡中一直感受到这份刺激的存在,就像通常睡中所感受到的痛感一样,但在梦中却未把这痛感加在内容里头。第三,我可能因为这刺激而惊醒,以便驱散或避开这份刺激。最后第四种反应:我可能由这神经刺激而引起梦的产生;其他尚有各种各类与梦的产生同样可能发生的反应。因此,如果说除了肉体上的来源以外找不出其他引起梦的动机,那实在是欺人之谈。

        有鉴于上述的肉体来源的说法有诸多漏洞,其他的学者——如歇尔奈尔以及跟随他的哲学家伏克尔特——乃致力于更精细地探究那些由肉体刺激引起的具有各种彩色影像的梦,以决定其精神活动之性质,由此他们将梦当作一个心理学上的问题加以研讨,并且以为梦纯粹是一种精神活动的表现。歇尔奈尔不仅将梦的形成以其诗般的文笔加以精彩的阐论,并且深信他自己已找出了心灵应付所受到的刺激的原则。按歇尔奈尔的说法,梦是一种无拘无束的幻象,它刚由白天所受到的桎梏中解放出来的,而尝试用象征的手法将感到这刺激的器官的特性表现出来。因此,我们可以作出一种释梦的书,一种解析梦的导引,而利用这些,我们可以将肉体的感觉、器官的状况,以及刺激的状态由梦的影像中找出意义来。“因此猫的影像就像征着极坏的脾气,而雪白、光滑的白面包就像征着赤裸的人体。在梦中的幻象,整个人体就用一间房子来代替,而内脏各器官即分别以房子中各部分所代替。在牙痛引起的梦中,一个圆形拱顶的大厅象征着嘴巴,而一座往下走的阶梯象征由咽喉下至食道。在头痛引起的梦中,一座天花板覆满蟾蜍颜色的蜘蛛,即象征着上半头部的问题。”

        “对同一个器官,我们在梦中往往使用各种不同的象征:呼吸胀缩的肺脏以烈火烘烘的火炉代替,心脏以空盒子或篮子、膀胱以像圆形皮包的东西或只是空心的东西代替。而最特别有意思的是,在梦的结束时,受刺激的器官本身或其功能往往会毫无掩饰地真的由梦者的肉体上表现出来。因此,牙痛的梦往往是最后梦者由口中拔出大牙而告结束。”但,这种说法未免太过分神化了。因此使得歇尔奈尔的读者们对他的说法很难接受,甚至连一些我本身也认为颇有道理的,都因为所言太玄而鲜为一般人所相信。我们可以看出,他这方法其实等于古代应用象征理论的释梦的方法的复活,只是他用在释梦的,仅局限于人体的象征符号而已。由于缺乏科学上所能理解的方法,使得歇尔奈尔这理论的应用仍受到极大的限制,由此对梦所作的解释仍充满不定性,特别是一种刺激可以在梦内容内用好几种象征符号所取代的说法,更使人难以信服,甚至连他的门徒伏克尔特也无法确信房屋是象征人体的说法。还有另外一个反对的理由:根据他的看法,梦的活动根本是一种无用的,无目标的心灵活动,心灵本身只满足.于绕着刺激构想一堆幻想,而根本就不曾想把这刺激消除掉。

        歇尔奈尔这个肉体刺激的象征理论尚有一大致命伤的缺点,有某些肉体上的刺激是一直持续存在的,而这种刺激一般认为往往在睡眠中较清醒时更容易为心灵感受到其存在。因此我们就无法解释,为什么心灵并不竟夜长宵地一直在做梦,为什么并不每夜梦见所有的这些有关系的器官呢?如果对这种质疑,我们作出如下的遁词:“要引起梦的活动,必须先由眼、耳、牙齿、肠等等器官先有特殊的兴奋状态。”那么我们又面临另一难题:如何证明增加的刺激是客观的呢?这只有在少数几个梦可以找出证明来,如果说梦见飞翔是象征着肺叶的胀缩,那么这种梦,正如史特林姆贝尔所说的,应该是常常被梦见的,不然就得证明出在做这梦时梦者的呼吸特别加快。当然,还有第三个更好的解释,那就是说,当时一定是由某种特殊的动机引导梦者的注意力倾注于那些平时经常存在的内脏感觉,但这将使我们的论证远超过歇尔奈尔的理论范畴。

        歇尔奈尔与伏尔克特的理论,其价值在于唤起我们对某些有待解释的梦特征的注意,而促成了更新的发现,其实梦的确有他们所谓的肉体器官的象征现象——譬方说,梦中的水往往代表着想小便的冲动,而男性性器往往以直耸的硬物或木柱作象征……等等。还有由一些充满新鲜视觉,五光十色的梦中影像与其他晦暗不明的梦影比较,使我们也很难驳斥那种“由视觉刺激引起的梦”的说法。同样地,对那些含有声音人语的梦,也无法否认的确是有幻觉形成的存在。一个像歇尔奈尔所说的梦,两排长得活泼可爱的孩子站在一座桥上对峙着,彼此打来打去的,直到最后梦者本身坐到桥上去,由他的下颏找出一根大牙才结束这怪梦。另外,伏尔克特的另一相似的梦,两排抽屉拉出拉入,最后也是以拔牙作结束。由于这两位作者记述出相当多的这类梦的形成,所以我们也不能把歇尔奈尔的理论看成一种昧于真理的臆测。因此,我们所必须作的工作便是如何对这种所谓的牙齿梦的假想象征作一不同的解释。

        在我们对梦的肉体来源探讨中,迄今我一直未引述我们由梦的分析所得的论断。现在,由于利用一种以前研究梦的学者们所未曾用过的方法,我们能够证明梦具有精神活动的内在价值,由愿望来充当梦形成的动机,而以前一天的生活经验做梦内容中最明显的资料。而任何其他研究梦的理论,如果忽略了这种重要的研究方法——以致形成那种把梦看作由肉体刺激引起的无用的、费解的精神反应——都可以不必再多作批评即予否定。不然的话,那就等于说(事实上,这根本不可能的)有两种完全不同的梦,一种我们已详尽观察得到的结果的,而另一种却是那些只有早年的学者所研究的。为了消除这份矛盾,我们得尝试在我们梦的理论的范畴内,找出方法来解释那些所谓肉体来源引起的梦。

        在这方面的工作,我们已经有了初步的成果,我们发觉梦的工作是基于一种前提,拟使同时感到的所有梦刺激综合成一整体性的产物(见本章开头部分)。我们已知道,如果当天遗留下来两个或两个以上的印象深刻的心灵感受,那么由这些感受所产生的愿望便会凝聚形成一个梦;同样地,这些具有精神价值的感受又与当天另外一些无甚关系的生活经验(只要这些能使那几个重要的印象间建构出联系来)综合而成梦的资料。因此,梦其实是对睡眠时心灵所感受的一切所作的综合反应。就我们目前已分析的有关梦的资料看来,我们发现它是包含了心灵的剩余产物以及一些记忆的痕迹——这些记忆,虽然其真实性的本质并无法当场验明,但至少我们均充分地感受到其精神上的真实性(由于多半均与最近或孩提时代的资料确有关联)。有了这种观念,我们也较容易能预测得到究竟在睡中加入的新刺激与本来就存在的真实记忆将会合成如何的一种梦。当然,我们须强调的是,这些刺激对梦的形成确实重要,因为它毕竟是一种真实的肉体感受。而借着再与精神所具的其他事实综合,才完成了梦的资料。换一句话说,睡眠中的刺激必须与那些我们所熟悉的日间经验遗留下来的心灵剩余产物结合而成一种“愿望的达成”。然而,这种结合并非一成不变的,我们已经知道,对梦中所受的物理刺激,可以有好几种不同的行为反应。但一旦这种合成的产物形成以后,我们一定可以在这梦内容内看出各种肉体与精神的来源。

        梦的本质决不因为肉体刺激加之于精神资料上而有所改变,无论它是以何种真实的资料为内容,均仍旧是代表着“愿望的达成”。

        在此,我拟提出几种可能改变外界刺激对梦的意义的特点。我以为梦的形成须视梦者当时的生理状况而异,譬如当时外界刺激的强度、睡眠的深度(平时习惯性的,或当时偶发的),以及个人对睡中刺激的反应均有差异。可能,有人根本不受其扰而继续呼呼大睡,有人因此惊醒,更有人即将之纳入梦中的资料。由于有这种差异,因此,外界刺激对梦形成的影响也因人而异。就我自己而言,由于我向来睡得很好,很少为外界任何刺激所惊扰,所以由外界肉体刺激引起的兴奋很少能介入我的梦中,而大部分的梦均来自于精神上的动机。事实上,我记得自己只有一个梦是与一件客观的、痛苦的肉体刺激来源有关,而且我认为在这梦里,我们可以看出外界刺激如何地影响这梦的特点:

        “我骑着一头灰色的马,最初看来,胆战心惊,小心翼翼地,似乎我是硬着头皮练习似的。然后我碰到一位同事甲先生,他也骑着一头装有粗劣饰带的马。他挺直地端坐于马鞍上,他提醒我某件事情(可能是告诉我,我的坐鞍很差)。现在我开始觉得骑在这头十分聪明的马身上,非常轻松自如;我越骑越舒服,也越觉熟练。我所谓的马鞍是一种涂料,整个敷满马颈到马臀间的空隙。我正骑在两驾篷车之间,而正想摆脱掉他们。当我骑入市街有一段距离后,我转过头来,想下马休息。最初我打算停在一座面朝街心的小教堂,但我却在距离这一所甚近的另一所小教堂前下了马。旅馆也就在同一条街上,我大可以让马自个跑去那儿,但我宁可牵着它到那儿。不知怎地,我好像以为如果骑着马到旅馆面前再下马会太丢人。在旅馆面前,有个雇童在招呼,他拿着我的一份札记本,向我调侃其中内容,那上面写着一句“不想吃东西”(并且底下用双线加注),再下去又另有一句(较模糊的)“不想工作”,同时,我突地意识到我正身处一个陌生的城镇,在这儿我没有工作。”

        这梦相当明显地可以看出是来自于痛刺激的影响的。就在前一天,我因长了疔,而痛苦万分。后来竟在阴囊上方长成一个苹果大的疖疮,而使我每一举步均感穿心之痛。全身发热、倦怠、了无食欲,再加上当天繁重的工作,使我整个人崩溃下来。虽然这种情况并未使我完全不能行医,但由于这病痛的性质与发病部分,至少有一件事,是我一定无法做的,那就是“骑马”。而就因为“骑马”这活动使我构成了这个梦——一种对此刻病痛的最强力的否定方式。事实上,我根本不会骑术,我不曾做过骑马的梦。而一生我也只骑过一次马。还有,无鞍骑马,更是我所不喜的。但在梦中,我却骑着马,有如我根本在会阴处并未长什么毒疮似的。或者说,“我所以骑马,是因为我希望我并没长什么疮。”由梦的叙述我们可以猜测,我的马鞍其实是指着能使我无痛入睡的膏药敷料。也许,由于这般地舒适,使我最初的几小时睡得十分香甜。以后痛感又开始加剧地意识到,而使我几乎痛醒过来;于是梦就出现了,并且抚慰地哄我:“继续睡吧,你不会痛醒的!你既然可以骑马,可见并没有长什么毒疮的,因为哪里有人长了毒疮,还能骑马呢?”而梦就如此成功地把痛感压制下去,而使我继续沉睡。

        但梦并不只是用一个根本与事实不符的幼稚意念,来敷衍掉疖疮的痛楚而已(就像痛失爱儿的母亲或突告破产的商人所作的疯言疯语)。其实在梦中,它所否定的感觉与影像之细节尚与一些心灵中确实存在的记忆有所联系,而在梦中将这些资料一一予以利用,“我骑着一头‘灰色的’马”——这马的颜色正与胡椒盐的颜色一样,而这正好使我想到,最近一次在村庄碰到我的同事甲先生时,他曾警告我,调味品加太多的食物吃了会生疖疮,而且一般人都以为疖疮的病因与“糖”大有关系。我的朋友甲先生自从他接替了我去治疗那位我曾花过一大番心血的女病人以来,他就在我面前“趾高气扬的”(直译当为:骑着高马),但这位女病人,事实上就像“周日骑士”的故事里头的马一样,她随其所欲地载着我跑,因此,梦中的“马”其实就是这女病人的象征(梦中说,它是“十分聪明的”)。我觉得“非常轻松自如”,其实就指着在我那同事甲先生取代了我以前我在她家照顾她时的感受。记得城里名医中有一位支持我的同事,最近曾就我对这女病人的处理,作如此褒勉:“我想你是相当称职的”(直译当为:我想你在那“马鞍”上是安全了)。而且身体正受着如许病痛的折磨,还要每日为病人作八到十小时的心理治疗,可真称得上是一件大功德,但我自己也深知,如果没有理想的健康状态,我是无法再将这繁重吃力的工作继续干下去的。而且梦中又充满着一大堆如果我的病继续发展下去的恶果(那札记,就像神经衰弱的病人拿给他们的医生看的:“不想工作,不想吃东西”)。再更进一步地探讨,我发觉这梦可以由骑马代表愿望的达成,更追溯到童年的一件回忆——我与那年纪长我一岁的侄子(现住于英国)在童年时的多次吵架。还有,这梦也采用了一些我去意大利旅行的片段材料:梦中那街道正是威洛纳与西恩那两城市的景象。再更深一层的解析引向性方面的梦意,我发现我梦中所用的这些风光明媚的城镇竟可能是这位未曾去过意大利的女病人所梦见的(去意大利,德文为gehenItalien〔音近genItaliealieals 〔性器〕)同时我曾提到在甲先生以前是我到她“家”给她看病的,还有我那疖疮所长的位置,均隐约有“性”的意味在内。

        在另外一个梦,我也同样成功地将打扰我睡眠的刺激躯除掉。这次的骚扰是来自感官的刺激。其实,这偶发的刺激与梦内容的关系也是很偶然的机会下发现的,也因此才使我对此梦得以了解。“在一个仲夏的清晨,当时我住在提洛尔(在阿尔卑斯山中)的别墅里,醒来时我只记得梦见‘教皇死了’。”面对这短短的毫无影像的一个梦,我竟完全无从解析,唯一扯得上关系的是,在几天前我曾由报纸上看到有关他老人家身体微有小恙的报道。但这天早上我太太问了我一句话:“今天清晨你可听到教堂的钟声大作吗?”事实上,我完全没听到这钟声,但,却因这一句话而使我对梦中情景恍然大悟。由于这群虔诚信教的提洛尔人所敲出的钟声,促使我由睡眠的需要产生了如此的反应——为了报复他们的扰人清睡,我竟构成了这种梦内容,并且得以继续沉睡而不再为钟声所扰。

        在以前几章里所提过的一些梦也都可以拿来作阐释“梦刺激”的例证。那“高觞畅饮”

        的梦便是一个好例子,其起源完全来自“肉体的刺激”,而由这感觉——“渴”引起的“愿望”即为此梦之唯一动机。其他种种仅肉体刺激即可产生梦的例子永不乏其数。一个病妇,梦见她摔掉两颊的冷敷器具,是一个对痛刺激所生的较不寻常的“愿望达成”的反应。这似乎使梦者暂时忘却了痛苦,而将其病痛归诸于他人身上。

        我那三位巴尔希(命运女神)的梦很明显地是个饥饿的梦,而这对食物的需求更可远溯自儿时对母亲乳房的期待,但它却以这种无害的欲望来取代了某种不能公诸于世的欲望。在那有关都恩伯爵的梦里,我们可以看出一种偶发的肉体需要经由何种程序而与一种精神生活中最猛烈、最强力潜抑的冲动发生关系,还有,伽尼尔所写的,拿破仑一世在定时炸弹的炸声惊醒他以前,那声音先使他产生了一个战争的梦。由此我们不难清晰地看出睡中精神活动对肉体感觉所生反应的真正目的。一位年轻的律师,由于全神贯注于某件破产讼案,在午睡时,竟梦见与一位由这件讼案才认识的莱西先生相会于胡希亚汀。而这地名Hussiatyn(德文为“咳嗽”之意)更使他引入更深的冥想,不久他惊醒过来,才发觉他的枕畔人因气管炎而大声不断地在“咳嗽”。

        现在,且让我们由拿破仑(这位出名的精于睡眠之道的传奇人物)的梦,再来比照以前所提过的那好睡的医科学生,他曾被女房东由懒睡中唤起,提醒他该是上医院的时候了。等到他蒙头再睡时,他就梦见他正躺在医院的床上,而最可能的解释是这样的:如果我已在医院了,那我就不必现在起床赶去医院了。这很明显地,是一种“方便的梦”,而睡者也自己坦承那确是他做这梦的动机。而由此,他也看出一般的梦所具的一种秘密——所有的梦,就某方面来说,均属于“方便的梦”。它们可以使梦者继续酣睡而不必惊醒。“梦是睡眠的维护者,而非扰乱者”。以后在另一章,我们拟再就醒觉状态的精神因素讨论这种观念。但就目前而言,我们已可用这观念解释一般外来的客观存在的刺激所引起的梦。不管是心灵果真能完全不理会外来刺激的强度和意义,而能继续呼呼大睡也罢,或者梦是用来否定掉那些外在刺激。或者第三种说法,睡眠中的心灵能感受刺激,它总是将一种合于睡眠理想状态的真实感觉,编织于梦中,以抵消其他骚扰睡眠的事实。上例的拿破仑就以“那只不过是在阿尔哥的枪声炮响的梦中回忆而已”而继续其酣睡〔42〕。

        “睡眠的愿望”使意识的自我调整其本身的感受,再加上梦的检查作用以及以后将提到的“加工润色”,而使自我形成了梦,这种观念必须在梦形成的动机探讨中经常谨记在心——每一个成功的梦均是愿望的达成。至于,梦所必然附带的、不变的“睡眠愿望”与梦所附带达成的其他某些愿望,究竟有些什么关系,则待以后我们再详论。由“睡眠愿望”的说法,我们发现到这可以补缀史特林姆贝尔与冯特的理论之不足,并且它可以避免前述那些以外界刺激所作解释的荒谬与令人怀疑的程度。其实,睡中的心灵能够对外界刺激予以正确的感受,并投予主动的好恶,有时甚至会因此而惊醒。因此,这些正确的感受,只有能通过那至高无上的睡眠愿望的检查制度,才能于梦中现形出来。梦中情境所用的逻辑可用以下一例代表:“那是夜莺,而非云雀”,因为果真那是云雀,那么这美妙的夜就要告终了。然而能通过这种检查制度的,心灵可能有不下一种的对外界刺激所作的阐释,然后再选出其中与心灵中愿望冲动最相合的作为梦内容。因此,我们可以说梦中每一件内容均有肯定的存在,而无一令人怀疑之处。对梦所作错误的解析其实并非一种幻觉,而是——如果你愿意这样称呼它的话——一种遁词,就像梦的检查制度所取用的转移置换,我们日常的精神过程也免不了这种歪曲事实的毛病。

        只要是外界的神经刺激和肉体内部的刺激其强度足够引起心灵的注意(如果它们只够引起梦,而不使人惊醒的程度),它们即可构成产生梦的出发点和梦资料的核心,而再由这两种心灵上的梦刺激所生的意念间,找出一种适当的愿望达成。事实上,我们可以发现许多的梦均可由其内容中找出肉体上的因素,甚至有些情形是,本来那愿望并不存在,但却因梦形成的需要而唤醒了它的存在。其实,梦说穿了无非是代表愿望的完成而已,它的工作即在于由某种感觉而找出能借此达成的某种愿望。甚至假如这些感觉资料是带有痛苦不愉的成分在内,它仍用以构成某种梦的形成。心灵能够巧妙自如地将某些会引起不愉快,或根本不矛盾冲突的资料,经由两种心理步骤(见第四章)以及存在于其间的检查制度,而变为完全合理的愿望达成。

        在我们的精神生活领域里,我们都知道有许多是属于心灵“原本步骤”(或谓“原本系统”)的受潜抑的愿望,而其所以不能达成则完全来自于“续发步骤”(或谓“续发系统”)的压力。这两者之间我们并非以“时间性的存在”来划分——即这些愿望最初存在,而后来即被摧毁消失掉。“潜抑作用”的原则,为我们对心理症的研究所需具备的观念,它以为受潜抑的愿望并非就此消失,它只是由于某种重压而予以暂时性的抑制。在另外一个字“压抑作用”,由其字的ub—presb sion,意即“压下去”,即可看出这类的意思〔43〕。而一旦这些受压制的愿望得以脱颖而出,于是,“续发系统”的压制力便告消失(这种压制是可以意识到的),此时乃在心理源表现出“不愉快”来。总之,我们的结论是:如果一种在睡眠时来自肉体上的不愉快的感觉发生时,梦活动可以将之利用来达成某种本来受压制的愿望。此时检查制度仍具有或多或少地存在。

        这种说法对某些“焦虑的梦”可以解释得通,但另外某些梦却不太适用这种愿望理论,而需要其他不同的阐释。由于梦中的焦虑均免不了带有心理症的特点,所以来自性心理兴奋的梦,其焦虑均代表受潜抑的原欲,因此这种焦虑,就像整个的焦虑梦一样,具有心理症状的意义,而我们所面临的难题就在于究竟梦中愿望达成的趋势究竟到哪种程度才受到限制。

        然而,另外有些“焦虑梦”却是来自肉体因素的焦虑(譬如某些肺脏或心脏有病的患者,往往偶发呼吸困难的焦虑),那同样地,它也可用来使某些强力压制的愿望在梦中予以实现,而得以疏导出那份焦虑,要想在这两种看来相矛盾的情形找出合理的说明,事实上也并不难。当这两种心理构成物,一种“情绪上的偏好”与一种“观念内容”具有密切关系时,只要其中之一确实存在,即可引发另一种之产生,甚至梦中亦复如此。那么,我们可以看出,来自肉体的焦虑引发了受压制的“观念内容”,而由此再加上性兴奋,使得焦虑得以宣泄出去。就某些情形而言,可说是“由肉体产生的情绪变化由精神予以阐释”。而相反地另外一种情形,却是“来源均由精神因素引起,但所受压抑的内容却明显地由肉体上将焦虑宣泄出来”。然而在这方面的探讨所面临的困难与梦的了解无甚关系,而这些困难之所以产生,乃由于我们的讨论范围已跨入了焦虑的演变与“潜抑”的问题。

        无疑地,来自身体内部的主要梦刺激是包括了全身性的肉体知觉,它不仅能供给梦的内容,并且能使“梦思”在所有资料中挑选最适合其特性的部分作为梦内容的代表,而将其余部分予以删除。同时,这些由当天所遗留下来的全身性知觉以及所附的心理意象也都对梦有很大的意义。而且,一旦这些知觉所带来的是痛苦的反应,那它也可能遁入另一相反的形式表现出来。

        如果睡眠时来自肉体的刺激并非具有十分强烈的程度,那么依我看来,它们对梦的形成所生的影响,充其量也只不过像那些白天所遗留下来不太重要的印象。我的意思也就是说,它们只能用来与某些“观念内容”相结合以形成梦。它们就像是一些便宜的现成货色,视需要而定随时可以取用,而并非十分重要的梦来源。我可作一种譬喻:当一个鉴赏家拿一块稀世宝石,请艺匠镶成艺术品时,那艺匠就必须视宝石的大小、色泽以及纹理来决定镶刻成什么样的作品。但一旦他所用的材料是俯拾皆是的大理石、砂石,那么艺匠就可以完全依照他本身的意念来决定其成品。就我看来,只有以这种譬喻才能说明何以那些几乎每夜都发生的较平凡的肉体刺激并未常常构成千篇一律的梦〔44〕。

        也许,如想好好说明我上述的意思,最好还是再举一个释梦的例子。有一天,我曾对梦中常有的一种“被禁制的感觉”〔45〕,发生兴趣,而思索竟日,结果当天晚上我做了如下一梦:“我衣冠十分不整地,由楼下用一种近乎跳的方式,每次跨三阶地上楼梯,我因为自己的健步如飞而得意。突然我发现女佣人正从楼梯上向着我走下来,刹那间我感到十分尴尬羞愧,而想马上跑开,但我却发现到一种‘受禁制的感觉’,我竟在梯间上身不由主地动弹不得。”

        分析:这梦中情境是来自每日生活的真实情况。在维也纳我所住的房子,有二楼,楼下是我的诊所与书房,而楼上是我的起居室,两者唯有一个楼梯上下相通,每天工作到深夜,我才上楼休息。在做梦的当晚,我的确是衣冠不整地——已把领带、纽扣全部解开——蹒跚上楼,但在梦中却更过分地变得近乎衣不蔽体的程度。通常,我上楼总是两、三阶一大步地跑上去。还有,由梦里也可看出愿望的达成——由于我能如此步履轻快,表示我心脏功能还十分不错,同时,这种跑上楼的自在正与后半段的动弹不得的困境又正是一大对比,我在梦中动作的完全自由轻快,使我不禁想起,我有如在梦中飞驰一般。

        但梦中我上楼去的那房子并非我家,最初我并无法认出那地方,而后来有个女人告诉了我这是什么地方。这女人是我每天出诊两次去给她打针的一位老友人的女佣。而这梦中的地点的确就是我每天都要走两回的那老女人家的阶梯。

        这些“阶梯”与这“女佣”怎会跑入我的梦中呢?为了自己衣冠不整而羞惭,无疑地是带有“性”的成份在内,但那女佣人比我年纪大,而且一点也不吸引人。这些疑问使我想起以下的插曲:当我每次早上去她家看病时,总是习惯地在上楼时要清清喉咙,而把痰吐在阶梯上。由于这两楼连一个痰盂也没有,所以我私自以为楼梯如想保持干净,问题并不在我,而是她应该买个痰盂供人使用。但那管家婆是一个吝啬而具有洁癖的老女人,却有另一种不同的看法。她每天到那时候总是站在楼梯口,注意我是否又随便吐痰,而一旦正好被她发现,势必又有一阵窝囊气好受。甚至后来她看到我,也不再作礼貌上的招呼。就在做梦的当天早上,我又由那女佣的恶言更加强了我对她的反感。当我看完病走出前门时,那女佣竟盯着我说:“大夫!你最好擦擦皮鞋再进来吧!我们的红地毯又被你搞脏了。”而这些事件大概可以解释为什么“阶梯”与“女佣”会出现于我的梦中了。

        至于“跳阶上楼”与“吐痰于阶梯上”是有密切关系的。咽喉炎与心脏的毛病可能是吸烟的恶习所致的惩罚,再加上连我自己的女管家也嫌我不够清洁,因此我在两家均不得人缘,而这在梦中更混合而成一件事。

        其他有关此梦的解析须待我能指出“衣冠不整”的“典型的梦”的来源以后再作详谈。

        同时由刚才所叙述的梦可以看出,梦中的“受禁制的感觉”往往是在梦境需要再接上另一事件时发生的。至于在我睡觉当时的运动系统状况并无法解释这梦的内容,因为就在刚刚不久前,我才发现我又习惯地跳着上楼,就像梦中情景完全一样。

     第五章-丁、典型的梦-1

         丁、典型的梦

        一般而言,如果别人不供给我们一些他的梦中所隐含的意念想法的话,我们就无从对他的梦作一合理的解释,也因此而使得我们的释梦方法大受限制〔46〕。但与这一种特具个人色彩,鲜为外人所能了解的梦相对照的,另有一些例子,却几乎是每个人都有过的同样内容、同样意义的梦。由于这种“典型的梦”,不论梦者是谁,它几乎都来自同样的来源,所以这类梦的研究特别适合我们对梦的来源所作的探讨,也因此我拟在这章专文讨论它。

        为何有这种困难,以及我们如何补救技巧上的困难,则留待下一章再讨论。读者们将来自会了解我为何在本章只能处理几类“典型的梦”,而将其他的讨论延至下一章。

         一、尴尬——赤身裸体的梦

        梦见在陌生人面前赤身裸体或穿得很少,有时也可能并不引起梦者的尴尬羞惭。但我们目前所认为较有探讨价值的是那些使梦者因此而尴尬,而想逃避,但却发觉无法改变这窘态的梦。唯具有这些因素的赤身裸体的梦,才属于本章所谓“典型的梦”,否则其内容的核心可能又包含其他各种关系,或因人而异的特征。这种梦的要点就是“梦者因梦而感痛苦羞惭,并且急于以运动的方式遮掩其窘态,但却无能为力。”

        我相信大部分的读者都曾经有过这一类的梦吧!

        暴露的程度与样子大多相当模糊,可能梦者会说:“当时穿着内衣。”但其实这并非十分清楚。大多数情形下,梦者对袒裼裸裎的叙述均以一种较模糊的方式表示,“我穿着内衣或衬裙”,而通常,所叙述的这种衣服单薄的程度并不足以引起梦中那么深的羞惭。一个军人,通常梦见自己不按军规着装,便代替了这种“裸体”的程度,“我走在街上,忘了佩带,军官向着我走来……”。或是“我没戴领章”,或是“我穿着一条老百姓的裤子”等等。

        在梦中被人看见而不好意思的对象大多是一种陌生面孔,而无一定的特点,并且在“典型的梦”里,梦者多半不会因自己所羞惭尴尬的这件事而受外人的呵责。相反地,那些外人都呈现漠不关心的样子,或者,就像我所注意过的一个梦中,那人是一副僵硬不苟的表情,而这更值得我们好好回味其中蕴味。

        “梦者的尴尬”与“外人的漠不关心”正构成了梦中的矛盾。以梦者本身的感觉,其实外人多少应该会惊讶地投以一眼,或讥笑他几句,甚或驳斥他,关于这种矛盾的解释,我认为可能外人憎恶的表情,由于梦中“愿望达成”的作祟而予以取代,但梦者本身的尴尬却可能因某些理由而保留下来。对于这类只部分内容被“愿望达成”所改装的梦,我们仍未能完全了解。基于这种类似的题材,安徒生写出了那有名的童话《皇帝的新衣》,而最近又由福尔达以诗人的手笔写出类似的护符。在安徒生童话里,有两个骗子为皇帝编织一种号称只能被天神和诚实的人所看到的新衣。于是皇帝就信以为真地穿上这件自己都看不见的衣服,而由于这纯属虚构的衣服变成了人心的试金石,于是人们也都害怕得只好装作并没发现到皇上的赤身露体。

        然而,这就是我们梦中的真实写照。我们可以如此地假设:这看来无法理解的梦内容却可由这不着衣服的情境而导致记忆中的某种境遇,只不过是这境遇已失去了其原有的意义而用作另一某他的用途。我们可以看出,这种由“续发精神系统”在意识状态下如何将梦内容予以“曲解”,并且由这因素决定了所产生的梦的最后形式。还有,就是在“强迫观念”、恐惧症的形成过程,这种“曲解”(当然,这是指在同样心理的人格而言)也扮了一大角色。甚至,我们还可能指出这释梦的材料取自何处。“梦”就有如那骗子,“梦者”本身就是那国王,而有问题的“事实”就因道德的驱使(“希望被别人认为他是诚实的”)而被出卖,这也就是梦中的“隐意”——被禁制的愿望,受潜抑的牺牲品。由我对“心理疗”病人所作的梦分析,使我发现梦者童年时的记忆在梦中的确占有一席之地,只有在童年时,我们才会有那种穿戴很少地置身于亲戚、陌生的保姆、佣人和客人之前,而丝毫不感羞惭的经验。在有些年长些的孩子们,我们发现,他们被脱下衣服时,非但没有不好意思,反而感到兴奋地大笑、跳来跳去、拍打自己的身体,而母亲、或在场的其他人总要呵责几句:“嘿!

        你还不害臊——不要再这样了!”小孩总是有种展示他们自己于人前的愿望,我们随便走过哪个村庄,总可以碰个二三岁的小孩子在你面前卷起他(她)的裙子或敞开的衣服,很可能他们还是以此向你致敬呢!我有一位病人,这个仍清楚地记得他八岁时,脱衣上床后,吵着要只套上衬衣就跑入他妹妹房间内跳舞,但却被佣人所禁止了。心理症病人童年时,曾在异性小孩面前暴露自己肉体的记忆确实具有相当重要的意义。患妄想病的病人,常在他脱衣时,有种被人窥视的妄想,这也可以直接归自于童年的这种经验,其他性变态的病人中,也有一部分由这种童年冲动的加强引起所谓的“暴露症”。

        童年期的这段天真无邪的日子,在日后回忆起来,总令人兴起“当时有如身在天堂”之感,而天堂其实就是每个人童年一大堆幻想的实现。这也就是为什么人们在这天堂里总是赤身露体而不羞惭,而一旦达到了羞恶之心开始产生的时候,我们便被逐出这天堂的幻境,于是才有性生活与文化的发展。此后唯有每天晚上借着梦境我们才能重温这天堂的日子,我们曾推测最早的童年期(由不复记忆的日子开始至三岁为止)的印象,皆为各遂其欲的产物,因此这印象的复现即为愿望的达成。因此,赤身露体的梦即为“暴露梦”〔47〕。

        “暴露梦”的核心人物,往往是“梦者目前的自己”,而非童年的影像。而且由于日后种种穿衣的情境以及梦中“检查制度”的作用,以致梦中往往并非全裸,而呈现“一种衣冠不整的样子”,然后再加上“一个使他引起羞惭的旁观者”。在我所收集的这类梦中,从不曾发现这梦中的旁观者,正好是童年暴露时的真实旁观者的复现。毕竟,梦境并不是单纯的一种追忆而已。很奇怪地,这些童年时“性”兴趣的对象也并不复现于梦,“歇斯底里症” 以及“强迫性心理症”。而唯独“妄想症”仍保留这旁观者的影像,并且虽看不见“他”,但病人本身却荒唐地深信“他”冥冥中仍暗伺于左右。

        在梦中这类旁观者多半为一些并不太注意梦者尴尬场面的“陌生人”所取代,这其实就是对梦者所欲暴露于其关系深切者的一种“反愿望(ter—wish)。“一些陌生人”有时在梦中还另有其他涵义。就“反愿望”而言,它总是代表一种秘密〔48〕。我们甚至可以看出,在妄想症所产生的“旧事复现”也合于这种“反面倾向”。而且梦中绝不会只是梦者单纯一人,他一定被人所窥伺,而这些人却是“一些陌生的、奇怪的、影像模糊的人”。

        并且,“潜抑作用”也在这种“暴露梦”里插了一脚,由于那些为“审查制度”所不容许的暴露镜头均无法清楚地呈现于梦中,所以,我们可以看出梦所引起的不愉快感觉完全是由于“续发心理步骤”所产生的反应,而唯一避免这种不愉快的办法,就是尽量不要使那情景重演。

        在以后的章节里,我们将再讨论“被禁制的感觉”。目前我们可以看出在梦中,它是代表“一种意愿的冲突”“一种否定”。根据我们潜意识的目标,暴露是一种“前进”,而根据“审查制度”的要求而言,它却是一种“结束”。

        我们这种“典型的梦”与童话、其他小说以及诗歌的关系并非巧合或偶然的。有时诗人以其深入的自省、分析也可以发现到,他的作品可以追溯到本身梦境,而诗歌只是由梦所蜕变出来的产品。有位朋友曾介绍我看凯勒尔的作品《年轻的亨利》,其中有一段特别值得注意:“亲爱的李,我想你永远无法体会奥德赛斯〔49〕回到家园,赤着身子、满身泥泞地现身于瑙希伽及其玩伴之前时所感受的辛酸激动!你想知道那意思吗?且让我们仔细地玩味这件事吧!如果你曾离乡背井,远离亲友而迷途于异乡;如果你曾历尽沧桑;如果你曾饱经忧患,陷于困境、被人遗弃,那么可能有天晚上,你会梦见你回到家园了,你看到了那熟悉的最可爱、最美丽的景色;一大堆你所思念的、感激的人们跑出来迎接你,而突然间你发觉自己衣衫褴褛地、近乎赤裸地、并且全身泥泞,马上你会被一种无可名状的羞惭、恐惧所攫袭;你想找个东西盖住自己,找个地方躲起来,而终于冷汗浃背地惊醒过来。一个饱经忧患、颠沛于暴风雨中的人,只要是尚有人性的话,必会有这种梦的,而荷马就由这人性最深入的一面挖掘出这感人的题材。”

        这所谓的人性中最深入的一面,这些引起读者们共鸣的诗篇,岂不就是由那些发生于童年时的精神生活的激动所演变成不复记忆的影像吗?童年的愿望,今日再也不被容许,于是受到潜抑后,乃趁隙借着这沦落天涯的断肠人的希望,而表现于梦中,也因此使得这实现于瑙希伽故事的梦,顺理成章地变为一种“焦虑的梦”。

        至于我自己梦见慌张上梯,而后变成动弹不得于阶梯上,由于具有这些主要特征,所以也是一种“暴露梦”。这也可以再追溯至我童年期的某些经验,而也唯有了解了这些,才能使我们获知女佣人对我的态度(譬如说,她责怪我弄脏了地毯)如何使她在我梦中扮演了那种角色,如今我差不多已可对这梦作合理的解释了。在精神分析里,一个人必须学习如何利用各种资料所具时间上的先后联系而得以解析,两个乍看毫无关联的意念一旦紧接着发生,那么它们就必须视为一件事来加以阐释。就像说我们念英文字时,一旦a与b合写在一起,我们就得将ab合念成一个音节,而释梦的手法也不外乎如此。阶梯的梦可由我有关阶梯所曾做过的一系列的梦中所熟悉的人物中找出某种解释(当然,这一系列的梦必须是属于类似内容的),而另有一系列的梦则是有关一位保姆的记忆,这是一位我从吃奶时到两岁半托养于她家的妇人,对这人我的记忆已是十分模糊,最近由母亲口中获知,这妇人长得又老又丑,但却十分聪明伶俐,而由我所做过有关她的一些梦看来,她似乎待我并不太和善,并且对我的不能养成清洁的习惯常常加以斥责。由于我那病人家里的女佣人也在这方面对我加以数说,于是,在我的梦中,便把她蜕变成这几乎已不复记忆的老女人。当然,这有一个假设,那就是虽然这位保姆待小孩子十分苛刻,但他对她仍是有兴趣的。

      第五章-丁、典型的梦-2 

         二、亲友之死的梦 

        另一系列称为“典型的梦”,其内容均为至亲的人之死,如父母,兄弟、姐妹或儿女的死亡。在这儿,我们必须将这种梦分成两类:一种是梦者并不为所恸;而另一种却使梦者为此至亲之死,而深深地感伤,甚至于睡中淌泪啜泣。

        上述的第一种梦,其实不算是“典型的梦”。因为这种梦一旦分析下去,必可发现其实内容是暗示着另一件表面上看不出来的某种愿望。这就像我们所提过的那梦见姐姐的孩子僵死于小棺木的例子(见第四章)。这梦并不表示梦者希冀其小甥之死,就像我们由分析获知的,那是隐藏着想要再见到久别的恋人的愿望——她自从很久以前另一外甥丧礼时见过这人一次以后,就不曾再见过面。而这愿望,才是梦的真正内容,因此这并不会使梦者因此而伤感。我们可以看出这梦所含蕴的感情并不属于这显梦的内容,而应该归于梦的隐意,只不过是这“情绪的内容”并未受到“改装”而直接呈现于“观念的内容”。

        但另外一种的梦,却使梦者确实想象到亲友的死亡,而引起悲痛的情绪。这显示出,就像内容所指的,梦者确有希冀那位亲友死亡的愿望,然而,由于这种说法势必引起曾有过这类梦的读者们的杯葛,我将尽可能以最令人心服的理由来说明之。

        我们曾经举过一个梦例以证明梦中所达成的愿望并不一定是目前的愿望,它们可能是过去的,已放弃的,或已受潜抑而深藏的愿望,而我们也决不能因它曾复现于梦中,即认为这愿望仍旧继续存在。然而,它们并非完全消逝,并非像我们一般人死了就完全归于虚无一般。它们倒有点像奥德赛中的那些魅影,一旦喝了人血又可还魂的。那梦见孩子死于盒子内的例子(见第四章)就包含了一个十五年前存在的愿望,而当时梦者也坦承其存在,而且——这也许是重要的梦理论的观念——有关梦者最早的童年回忆即来自这愿望的存在。当这梦者仍是一个小孩时(但确实是在几岁所发生的,她已不复记忆矣),她听人家说,她母亲在怀她这一胎时,曾发生过严重的情绪上的忧郁症,而曾拚命地盼望这孩子会胎死腹中。等到她长大了,自己有了身孕,她只不过是又依样卖葫芦地形成了如此的梦。任何人如果曾经梦见他父母、兄弟或姐妹死亡而悲恸,我并不认为这就证明他们“现在”仍旧希冀家人的死亡。而释梦的理论,事实上也不需要有这种证明,它只是申言,这种梦者必定在其一生的某一段时间甚或童年时,曾有过如此的希冀。但我想,这些说法,恐怕还难以平息各种反对的批评,很可能,他们根本反对这种想法的存在,他们以为不管是现在已消失的或仍存在的,这种荒谬的希望决不可能发生过,因此,我只好利用手头上所收集的例证来勾画出已潜藏下来的童年期心理状态〔50〕。

        最先且让我们考虑小孩子与其兄姐之间的关系,我实在搞不清楚,为什么我们总以为兄弟姐妹永远是相亲相爱的,因为,每个人事实上都曾有过对其兄姐的敌意,而且我们常能证明出这种疏远实来自童年期的心理,并且有些还持续迄今,甚至,那些对其弟妹照顾得无微不至的好人,事实上,童年期的敌意却依然在心中存在的。兄姐欺负弟妹,讥骂、抢他的玩具,而年纪小的只有满肚子怒气,却不敢作声,对年纪大的既羡又惧,而后来他最早争取自由的冲动或第一次对不公平的抗议,即针对这压迫他的兄姐而发。此时父母们却往往抱怨说,他(她)们的孩子一直不太和睦,而却找不出什么原因。其实,甚至是一个乖孩子我们也无法要求他的性格会达到我们所要求成人所应有的性格,小孩子都是绝对的自我为中心的,他急切地感到自己的需要,而拚命地想去满足它,特别是一旦有了竞争者出现时(可能是别的小孩,但殆半多是兄弟姐妹),他们更是全力以赴,还好我们并不因此而骂他们坏孩子,我们只是说他顽皮,毕竟,这种年纪他们是无法就自己的判断或法律的观点来对自己的错误行为负责的。但随着年龄的增加,在所谓“童年期”阶段,利他助人的冲动与道德的观念开始在小小心灵内逐步发展,套句梅涅特的话,一个“续发自我”渐渐出现,而压抑了“原本自我”。当然,道德观念的发展并非所有方面都同时进行,而且,童年时的“非道德时期”之长短也因人而异。我们一般对这种道德观念发展的失败惯于称之为“退化”,但事实上这只是一种发展的“迟滞”。虽然“原本自我”已因“续发自我”的出现而遁形,但在歇斯底里症发作时,我们仍可或多或少地看出这“原本自我”的痕迹,在“歇斯底里性格”   与“顽童”之间,我们的确可以找到明显的相似处。相反地,强迫观念心理症,却是由于原本自我的呼之欲出,而引起“道德观念的过分发展”。

        许多人,他们目前与其兄弟们十分和好,并且为其死亡而悲恸逾常,但却在梦中才发现他们早年所具潜意识的敌意,仍未完全殒灭。这特别是由三四岁以前的小孩子对其弟妹的态度,可以看出一些有趣的事实。父母亲往往告诉他,亲生的弟弟或妹妹是由鹳鸟由天上送来的,而小孩子在详细地端详这新来报到的小东西以后,往往表示了如下的意见与决定:

        “我看,鹳鸟最好还是再把他带回去吧!”〔51〕

         在此,我拟慎重其事地申言,我以为小孩子在新弟妹的降生后,均能衡量其带来的坏处。我有一个小病人,他现在已与比他小四岁的妹妹相处得很好,但当初他知道妈妈生了一个新妹妹时,他的反应是:“但,无论如何,我可不把我的红帽子给她!”而如果说小孩必须等到长得更大才会感到弟妹将使他少受不少宠爱的话,那他的敌意应该是那时才会产生的。我曾经看过一个还不到三岁的女孩,竟想把小婴孩在摇篮里勒死,而她所持的理由是,她认为这小家伙继续活着对她不利,小孩在这段期间多半均能强烈地,毫不掩饰地表现其嫉妒心理。还有,万一果真那新生的弟妹不久即告夭折,而使他再度挽回了以前全家对他的钟爱,那么,下次,如果鹳鸟再送来一个弟妹时,这小孩是否会极自然地又希冀它的夭折,以便能使他过得与以前第一个弟妹未出生前或他死后的那段集众宠于一身的幸福日子呢?当然,就正常状态下而言,小孩对其弟妹的这种态度,只是一种年龄不同导出的结果,而经过一段时间,小女孩们就会对新生无助的小弟妹产生母性的本能的。

        一般而言,小孩子对其兄弟姐妹之仇视事实上比我们所看到的观察报道更普遍〔52〕。

        就我自己的儿女而言,由于他(她)们每一个岁数接得太近,使我无从作这种观察,为了补偿这点,我仔细地观察了我那小甥子,他那众宠加身的“专利”在十五个月后由于另一女性对手的降生而告终。虽然,最初他一直对这新妹妹表现得十分够风度,抚爱她、吻她,但还不到两岁,开始牙牙学语时,他就马上利用这新学的语言,表示了他的敌意,一旦别人谈及了他的妹妹,他便气愤地哭叫:“她太小了、太小了!”而再过几个月,当这妹妹由于发育良好已经长得够大而骂不了“太小了”时,他又找出另一个“她并不值得如此受重视”

        的理由:“她一颗牙齿也没有”〔53〕。还有,我们家人也都注意到我另一个姐姐的长女,在她六岁时,花了半个钟头的时间,对每个姑姑、姨妈不停地说:“露西现在还不会了解这个吧?”露西是她的竞争者——比她小二岁半。

        几乎所有人,我都可以问出他们均曾梦见过兄弟或姐妹的死,而找出所隐含的强烈的敌意,在女病人身上,除了一个例外以外,我全部得到过这种梦的经验,而这例外,只经过简单的解析,又可用来证实这种说法的正确。有一次,当我正坐着为某个女病人解释某件事情时,由于我突然想到可能她的症状与这有点关系,所以我问她是否有过这种梦的经验,想不到她居然给予否定的答复,但她说她只记得在四岁时她头一次做过如下的梦(当时她是全家最小的孩子),而以后这梦即反复地出现过好几次 :“一大堆的小孩子,包括所有她的堂兄、堂姐们,正在草原上游戏,突然间他(她)们全都长了翅膀,飞上天去,而永远不再回来。”她本身并不了解这梦有甚意义,但我们却不难看出这梦是代表着所有兄姐的死亡,只是所用的是以一种较不受“检查制度”所影响的原始形式。同时我想大胆地再进一步分析:

        由于她小时是与发伯的孩子们住在一起,那么多孩子中曾有个孩子夭折,而以梦者当时还不到四岁的年纪,总有可能会提出一种疑问:“小孩子死了以后变成什么?”而其所得的回答大概不外是“他们会长出翅膀,变成小天使。”经过这种解释以后,那些梦中的兄姐们长了翅膀,像个小天使而——这是最重要的一点——飞走了。然而我们这小天使的编造者却独自留下来了;所有都飞走了,只有她一人留下来。孩子们在草原上游戏,飞走了,这几乎是指着“蝴蝶”——由这看来似乎小孩子的意念联想也与古时候人们想象赛姬(Psyche〔54〕),与有翼的蝴蝶之间的联想一样。

        也许有些读者现在已同意了小孩的确对其兄弟姐妹有敌意的存在,但他们却仍怀疑,难道小孩赤子之心竟会坏到想致其对手于死地吗?然而,持有这种看法的人,却忘了一件事实——小孩子对“死亡”的观念与我们成人的观念并不完全相同。他们脑海里根本没想过衰老病死的恐怖,坟场冷清的可怕,以及无极世界的阴森。所有成人对死的不能忍受,神话中所提出可怕的“后日”,在小孩心中丝毫不存在。死的恐怖对他们是陌生的,因此他们常会以这种听来可怕的话,向他的玩伴恐吓:“如果你再这样做,你就会像弗兰西斯一样死掉。”而这种话每每使做母亲的听了大感震惊,而不能原谅。甚至当一个八岁的孩子,在与母亲参观了自然历史博物馆以后,也还会对他母亲说:“妈,我实在太爱你了,如果你死了,我一定把你作成标本,摆在房间内,这样我就仍可以天天见到你!”小孩子对死的观念就是如此地与我们不一样〔55〕。

        对小孩子而言,他们并未意念到死前痛苦的景象,因此“死”与“离开了”对他们只是同样的“不再打扰其他还活着的人们”。他们分不清这个人不在,是由于“距离”,或“关系疏远”,或是“死亡”〔56〕。如果,在小孩最早的年岁时,一个保姆被开除了,而过不了多久母亲死了,那么我们由分析往往可以发现,这两个经验在其记忆中即形成一个串联,其他尚有一个需要了解的事实是小孩往往并不会强烈地思念某位离开的人,而这常常使一些不了解的母亲大感伤心(譬如,当这些母亲经过几个礼拜远行回来后,听佣人们说:“小孩在你不在时,从不吵着找你”)。但其实,如果她果真一去不回地进入幽冥之境,那么她才会了解小孩只是最初看来似乎忘了她,但渐渐地他们便会开始记起死去的亡母而哀悼的。

        因此,小孩子们只是由希冀消除另一小孩的存在,而将这愿望冠以死亡的形式表现出来,并且由死亡愿望的梦所引发的心理反应证明出,不管其内容有多大相同,梦中所代表的小孩的愿望与成人的愿望是相同的。

        然而,如果我们对小孩梦见其兄弟之死解释为童稚的自我中心使他视兄弟为对手所致,那么,对于父母之死的梦又如何用这种说法来解释呢?父母爱我、育我,而竟以这种极自我中心的理由来作如此的愿望吗?

        对这难题的解决,我们可以由某些线索着眼——大部分的“父母之死的梦”都是梦见与梦者同性的双亲之一的死亡,因此男人梦见父亲之死,女人梦见母亲之死,当然,我并非认为这永远是如此地发生,但大部分情形均为如此,以致我们需要以具有一般意义的因素加以解释〔58〕。一般而言,童年时“性”的选择爱好引起了男儿视父亲、女儿视母亲有如情敌,而惟有除去他(她)、他(她)们才能遂其所欲。

        在各位斥责这种说法为荒谬绝伦以前,我希望读者们再客观地想想父母与子女间事实上的关系如何,我们首先必须将我们传统行为标准或孝道所要求于我们的父子关系与日常真正所观察到的事实分别清楚,那就可以发现父母与子女间确实隐含着不少的敌意,只是很多情况下,这些产生的愿望并无法通过“检查制度”而已。且让我们先考虑父亲与男儿之间的关系,我以为由于奉行了“十诫”的禁令而多少使得我们对这方面事实的感受钝化了,或者我们不敢承认大部分的人性均忽略了“第五诫”的事实,在人类社会的最低以及最高阶层里,对父母的孝道往往较其他方面兴趣来得逊色,由古代流传下来的神话、民间小说等均使我们不难发现许多发人深省的有关父亲霸道专权、擅用其权的轶闻。克洛诺司吞噬其子,就像野猪吞噬小猪一样;宙斯(希腊神话之主神)将其父亲“阉割”而取代其位〔59〕;在古代家庭里,父亲越是残暴,他的儿子必越与其发生敌对现象,并且更巴不得其父早日归天,以便接掌其特权。甚至在我们中产阶级的家庭里,父亲也由于不让儿子作自由选择或反对他的志愿而酝酿了父子之间的敌意。医生往往可以看到一件可怕的事实:父亲死亡的哀恸有时并不足以掩饰儿子因此而获得自由之身的满足之感。一般而言,现代社会的父亲仍都对其由来已久的“父性权威”至死也不放手,以致诗人易卜生,曾在他的戏剧里,将这父子之间源远流长的冲突搬上舞台。至于母亲与女儿之间的冲突多半开始于女儿长大到想争取性自由而受到母亲干涉的时候,而母亲这一方面也多少由于眼见含苞待放的女儿已长得亭亭玉立,而难免有青春不再的伤痛。

        所有这些均在一般人身上发生过,但对一些视孝道为天经地义、理所当然的人,其父母之死的梦,却仍无法解释得通。然而,我们仍可就以上所讨论的再继续探究这些童年早期的死亡愿望之来源。

        就心理症的分析看来,更证实了我们以上的说法。因为分析的结果显示出小孩最原始的“性愿望”是发生在很早的年岁,女儿的最早感情对象是父亲,而男儿的对象是母亲,因此对男儿而言,父亲变成可恶的对手,同样地,女儿对母亲也是如此。这种情形就有如上述对兄弟之间“对手”之敌视一般,因此在孩童心理,这种感情很快地形成“死亡愿望”,一般而言,在双亲方面,也很早就产生同样的“性”选择,很自然地,父亲溺爱女儿,而母亲袒护男儿(但就“性”的因素并无法歪曲其判断的范围内,他们仍是主张严厉训练子女的),小孩子们也注意到这种偏袒,而也能对欺负他的一方加以反对。小孩子认为成人“爱”他的话,并不只是能满足他某种特殊需要而已,他必须包括纵容他在各方面的意愿。一言以蔽之,小孩作如此的选择,一方面是由于其自身的“性本能”,同时也由来自双亲的刺激加强此种倾向。

        虽然大部分这种孩提时期的倾向均被忽略掉,但在最早的童年仍有一些看得到的事实足资探讨。一个我所认识的八岁女童,当她妈妈离开餐桌时,她就利用这机会,俨然以母亲的当然代理人自居:“现在我是妈妈,卡尔,你要再多吃些蔬菜吗?听我的话,再多吃一些。”……等等。一个还不到四岁的乖巧伶俐的小女孩,更由以下她所讲的话清晰地道出这种儿童心理,她坦白地说:“现在妈妈可以走了,然后爸一定与我结婚,而我将成了他太太。”但,这决不意味着这小孩子并不爱她的妈妈。还有,如果在父亲远行时,男儿获准睡在母亲身侧,而一旦父亲回来后,他又被叫回去与他不喜欢的保姆睡觉时,他一定会有一种愿望“父亲永远不在家多好!”这样他就可永远占有亲爱的、美丽的妈妈,而父亲的死很明显地就是这愿望的达成。因为小孩子由“经验”(譬如已故的祖父永远不再回来的例子)获知人死了就再也不回来的。

        虽然由小孩子身上我们可以很快地找出与我们的解释相合之处,但在成人心理症的精神分析,却无法达成如此完全的效果。因此心理症病人的梦必须加上适当的前提“梦是愿望的达成”,才更能完满了解。有一天我发现一位妇人十分忧郁、啜泣着,她告诉我:“我再也不愿见我的亲戚们,他们会使我害怕。”接着,几乎主动地,她告诉我一个她四岁时所做的梦,这梦迄今她仍印象犹新,但,当然,她是无从领会其意义的。”一种狐狸,或山猫在屋顶上走来走去;接着,有些东西掉下来,又像是我自己掉下来,以后便是母亲被抬出房子外——死了”。而使得梦者因此大哭。我告诉她这梦是指着一种希望见到母亲死亡的童年愿望,而由于这个梦,使她认为她没有脸见其亲戚,于是她又给了我一些释梦的资料:当她还是小孩子时,街上的小男孩有一次叫她一个很难听的绰号“山猫眼仔”,还有当她三岁时,有一次从屋顶上掉了一块砖瓦敲破了母亲的头,使她因此大量出血。

        我曾经有一个机会对一个年轻女病人的各种不同精神状态作过透彻的研究,在她最初发作时的狂暴惶惑状态下,她对其母亲的态度表现出一种从所未有的转变,只要母亲走近她,她便对母亲拳脚交加,辱骂厉斥,而同时却在对另一位长她很多岁的姐姐极其柔顺,后来她变得较沉静清醒,其实可以说是较无表情的状态,并且常常睡不好觉,也就是这时她开始接受我的治疗以及梦的分析。这时的梦泰半经过或多或少的掩饰,影射着她母亲的死亡,有时是梦见她参加一个老妇人的丧礼,有时是梦见她与姐姐坐在桌旁,身着丧服……均毫无疑问地可看出梦的意义。在渐渐康复后,她开始有了歇斯底里恐惧症,而最大的畏惧便是担心她妈妈会发生意外,不管她当时身在何处,只要一有了这种念头,她就得赶回家看看母亲是否仍活着。现在透过这个例子,再加上我其他方面的经验,可以发现相当有价值的收获。由此可以看出,心灵对同一个使它兴奋的意念可以产生好几种不同的反应,就像对同一作品可以有好几种文字的译文一样。在狂暴惶惑的状态时,我认为是当时“续发心理步骤”已完全为平时受抑压的“原本心理步骤”所扬弃,以致对母亲的潜意识的恨意占了上风,得以露骨地表现出来。后来,当病人变得较沉静清醒时,表示心灵的骚动已平息下来,而“检查制度”得以抬头,所以这时对母亲的敌意只有在梦境才能出现,而在梦中表现了母亲死亡的愿望。

        最后,当她更向正常之路迈进时,她产生了对母亲的过分的关切——一种“歇斯底里的逆反应”和“自卫现象”。而由这些观察所得,我们对一般歇斯底里症的少女何以常对其母亲有过分的依赖,也可以有清楚的解释。

        在另一个例子里,我有机会对一个患有严重“强迫心理症”的青年人的潜意识精神生活作一深邃的研究,当时他严重到不敢走到街上去,因为他深恐自己会在街上看到人就想杀。

        他整天只是处心积虑地在想办法,为市镇上发生的任何可能牵涉到他的谋杀案,找出自己确实不在场的证据。当然,毋庸赘述地,此人的道德观念是与他所受的教育一般具有相当高的水准。由分析(并借此以治疗其病的)显示出,在这要命的“强迫观念”底下,却隐藏着他对其过分严厉的父亲有种谋杀的冲动,而这冲动确曾在他七岁那年,连自己都惊骇地表现出来。当然,这冲动是早在七岁以前就已酝酿着。当这年轻人三十一岁那年,他父亲因一种痛苦的疾病而去世,于是这种强迫观念便开始在心中作祟,而将对象转变为陌生人,形成了这一种恐惧症。任何一个曾希冀谋杀亲父的人子,怎有可能对其他毫无血亲的陌生人,反而不存杀害之心呢?于是他只好把自己深锁在房间里。

        以我迄今相当广泛的经验看来,在所有后来变为心理症的病人,父母多半在其孩提时代的心理占有很主要的角色。对双亲中之一产生深爱而对另一方深恨形成了开始于童年的永久性的心理冲动,同时也很重要地形成了日后心理症的来源。但,我不相信心理症的病人与一般正常人在这方面能找出极明确的分野——这也就是说,我不相信这些病人本身能制造出一些绝对新奇不同于人的特点。较有可能的说法(这可由正常儿童的平日观察得到佐证)应该是:日后变成心理症的孩童在对父母的喜爱或敌视方面,将某些正常儿童心理较不显著、较不强烈的因素明显地表现出来。由古代传下来的一些轶闻野史也可多少看出这种道理,而唯有借着上述的孩提心理的假设,才能真正了解这些故事的深邃而普遍的意义。

        我将提出的是有关俄狄浦斯王的逸闻,也就是索福克勒斯的悲剧俄狄浦斯王。俄狄浦斯是底比斯国王拉伊俄斯与王后伊俄卡斯达所生的儿子,由于神谕在他未出生即已预言他长大后会杀父,所以一生下来,即被抛弃于野外,但他却被邻国国王所收养,而成了该国王子,直到他后来因自己出身不明而去求神谕时,因为神谕告诉他,他命中注定杀父娶母而警告他远离家乡,他才决定离开这国度,但就在这离家的路上,他碰到了拉伊俄斯王,而由于一个突然的争吵,他将这身份未晓的父王打死了。他到了底比斯,在这儿他答出了挡路的斯芬克斯(希腊神话之人面狮身怪物)之谜,而被感激的国民拥戴为王,而同时娶了伊俄卡斯达为妻。在位期间中国泰民安,他并与他所不认识的生母生下了一男二女,直到最后底比斯发生了一场大瘟疫,而使得国民再度去求神谕,这时所得的回答是只要能将谋杀先王拉伊俄斯的凶手逐出国度即可停止这场浩劫,但凶手在何处呢?这好久以前的罪犯又从何找起呢?而这部悲剧主要就这样一步一步地,乍尔山穷水尽,乍尔柳暗花明地(就像精神分析的工作一样)慢慢引出最后的残酷真相——俄狄浦斯王就是杀死拉伊俄斯的凶手,并且更糟的是他本身竟是死者与其妻所生的儿子。为这本身糊里糊涂所干出来的滔天大祸而震骇的俄狄浦斯终于步入最悲惨的结局——自己弄瞎了眼,而离开其家乡之国,完全符合了神谕的预言。

        俄狄浦斯王是一部命运的悲剧,以天神意志的无远弗届与人力对厄运当前只不过有如蜉蝣撼柱的强烈对照构成其悲剧性。而观众由此所深受感动的庶几是这人力的渺小,神力的可怕吧!近代作家也就因而纷纷地以他们自己构思的故事来表达这类似的冲突,以达到同样的悲剧效果。然而观众们却似乎对这些作品中无法扭转命运而牺牲的可怜角色,并不投以类似程度的感动。就这方面而言,近代的悲剧是失败了。

        因此如果说俄狄浦斯王这部戏剧能使现代的观众或读者产生与当时希腊人同样的感动,那么唯一可能的解释是,这希腊悲剧的效果并不在于命运与人类意志的冲突,而特别在于这冲突的情节中所显示出的某种特质。在俄狄浦斯王里头,命运的震撼力必定是由于我们内在也有某种呼声的存在,而引起的共鸣,也因此而使我们批评女祖先等近代的命运悲剧作品为缺乏真实感。的确,在俄狄浦斯王的故事里,是可以找到我们的心声的,他的命运之所以会感动我们,是因为我们自己的命运也是同样的可怜,因为在我们尚未出生以前,神谕也就已将最毒的咒语加于我们一生了。很可能地,我们早就注定第一个性冲动的对象是自己的母亲,而第一个仇恨暴力的对象却是自己的父亲,同时我们的梦也使我们相信这种说话的。俄狄浦斯王杀父娶母就是一种愿望的达成——我们童年时期的愿望的达成。但我们较他更幸运的是,我们并未变成心理症,而能成功地将对母亲的性冲动逐次收回,并且渐渐忘掉对父亲的嫉妒心。我们就这样子,由儿童时期愿望达成的对象身上收回了这些原始愿望,而尽其所能地予以潜抑。一旦文学家由于人性的探究而发掘出俄狄浦斯的罪恶时,他使我们看到了内在的自我,而发觉尽管受到压抑,这些愿望仍旧存在于心底。且看这对照鲜明的道白: 

        “……看吧!这就是俄狄浦斯,他解开了宇宙的大谜,而带来权势,他的财产为所有国民所称羡,但,看吧!他却沉沦于如此可怕的厄运里!”而这段戒训却深深地感动了我们,因为自从孩提时代,我们的傲气便一直自许为如何聪明、如何有办法,就像俄狄浦斯一般,我们却看不到人类所与生俱来的欲望,以及自然所加赐于我们的负担,而一旦这些现实应验时,我们又多半不愿正视这童年的景象〔60〕。

        在索福克勒斯这部悲剧思,的确可以找到这有关俄狄浦斯的故事是来自一些很早以前的梦资料,而其内容多半是由于孩童第一个性冲动引起孩童与双亲的关系受到痛苦的考验所致。伊俄卡斯达曾对当时尚未知晓其身份,时而为神谕而担心的俄狄浦斯安慰说,她以为有些人所常梦见的事,并不见得一定有甚意义,譬如说:“有很多人常梦见他在梦中娶了自己的母亲为妻,但对这种梦能一笑置之的,却都能过得很好的。”梦见与自己的母亲性交的古今均不乏其例,但人们却因此而大感愤怒、惊讶而不能释然,由此,我们不难找出要了解这种悲剧以及父亲之死的梦,究竟关键在哪里。俄狄浦斯的故事,其实就是由这两种“典型的梦”所产生的幻想的反应,而也就像那种梦对成人一样,这种内容必须加上改装的感情,所以故事的内容又掺入恐怖与自我惩罚的结局,于是最后形成的情景是经过一种已无法辨认的另外加工润色,而用来符合神学的意旨〔61〕。当然,在这作品中,也与其他作品一般,对神力的万能与人类的责任心无法达成一种协调。

        另外一个伟大的文学悲剧,莎士比亚的哈姆雷特也与俄狄浦斯王一样来自于同一根源。

        但由于这两个时代的差距——这段期间文明的进步,人类感情生活的潜抑,以致对此相同的材料作如此不同的处理。在俄狄浦斯王里头,儿童的愿望幻想均被显现出来并且可由梦境窥出底细;而在哈姆雷特里,这些均被潜抑着,而我们唯有像发现心理症病人的有关事实一样,透过这种过程中所受到的抑制效应才能看出它的存在。在更近代的戏剧里,英雄人物的性格多半掺入犹豫不决的色彩,已成了悲剧的决定性效果的不可或缺的因素。这剧本主要也就在于刻画哈姆雷特要完成这件加之于他身上的报复使命时,所呈现的犹豫痛苦,原剧并未提到这犹豫的原因或动机,而各种不同的解释也均无法令人满意。按照目前仍流行的看法,这是哥德首先提出的,哈姆雷特是代表人类中一种特别的类型——他们的生命热力多半为过分的智力活动所瘫痪。“用脑过度,体力日衰”。而另外一种观点以为莎翁在此陈示给我们的是,一种近乎所谓“神经衰弱”的病态,优柔寡断的性格。然而,就整个剧本的情节看来,哈姆雷特绝非用来表现一种如此无能的性格。由两个不同的场合,我们可以看到哈姆雷特的表现:一次是在盛怒下,他刺死了躲在挂毯后的窃听者;另一次是他故意地,甚至富有技巧地,毫不犹豫地杀死了两位谋害他的朝臣。那么,为什么他却对父王的鬼魂所吩咐的工作却犹豫不前呢?唯一的解释便是这件工作具有某种特殊的性质。哈姆雷特能够作所有事,但却对一位杀掉他父亲,并且篡其王位、夺其母后的人无能为力——那是因为这人所做出的正是他自己已经潜抑良久的童年欲望之实现。于是对仇人的恨意被良心的自谴不安所取代,因为良心告诉他,自己其实比这杀父娶母的凶手并好不了多少。在这儿,我是把故事中的英雄潜意识所含的意念提升到意识界来说明:如果任何人认为哈姆雷特是一个歇斯底里症的病人,那么我又得承认这是由我的解释所导出的不可避免的结果。在他与奥菲莉亚的对话所表现的性变态也与这种推论的结果相符合——在此后几年内,这种性变态一直不断地盘踞于莎翁心中,直到最后他才写出了雅典的提蒙。当然,我们也可以说,哈姆雷特的遭遇其实是影射莎翁自己的心理,而且由布兰德(GeeBrandes)对莎翁的研究报告指出,这剧本是在莎翁的父亲死后不久所写出的(一六○一)。这可以说,当他仍然在哀挽父亲的感情得以复苏。还有,我们也知道,莎翁那早夭的儿子,就是取名叫作哈姆涅特(发音近似哈姆雷特)。就像哈姆雷特处理人子与父亲的关系,他另一同时期的作品马克贝兹是以“无子”为题材。就像所有心理症的症状以及梦的内容,均能经得起“过分的解释”,有时甚至是需要经过一段“过分的解释”才能看出真相,同样地,我们对任何真正的文学作品,也必须由文学家心灵中不只一种的动机、冲动去了解它,并且需要承认,它可能有两种以上的不同解释。在此我只拟就这位富有创意的文学家心灵冲动中最深的一层来加以讨论〔62〕。

        关于这种亲友之死的“典型的梦”,我在此拟以一般梦的理论再多说几句话,这些梦显示给我们一些极不寻常的状态,它将一些潜抑的愿望所构成的梦意,逃过“检查制度”,而丝毫不变地以原来面目显示出来,而这惟有某种特别状况下才有可能发生。以了两种因素有助于这种梦意的产生:第一,我们心中必定潜藏有某种愿望,而我们自己深信,这些愿望甚至在做梦也不会被发现,于是“梦的检查制度”便对这怪念头毫无戒备,就像所罗门法典,当年就没预料到有必要设有一条有关杀父之罪的刑罚一样。第二,在这特殊情形下,这种潜抑的、意想不到的愿望往往以某种对亲人生命关怀的形式,对当天昼间所遗留下来的感受发生让步的现象。但焦虑必定利用这相对应的愿望而如影随形地进入梦境。所以,在梦中这份愿望往往都能被白天所引起的对某人的关怀所掩饰。然而如果有人以为梦无非是夜以继日的心灵活动,而将这种亲友之死的梦另辟于一般梦的解说之外的话,那么这些解释也就更加简化,而一些尚留下来的难题就更不需要再加探究了。

        试图再探索这种梦与“焦虑梦”之间的关系,是相当有意义的。在亲人之死的梦里,潜抑的愿望多能避过“检查制度”而不受其改装,但也因此不可避免地带来梦中所感受的痛苦情感。同样地,“焦虑梦”也唯有“检查制度”全部或部分受到压制时才会发生,而另一方面,一旦由肉体来源引起了真实的焦虑感觉,则强大的“检查制度”便将抬头。因此,很清楚地,我们可以看出心灵之如此运用其检查制度以“改装”梦内容的用意——唯有这样做,“才可以避免焦虑或任何形式的痛苦后果”。

        在前面,我已提过儿童心理的自我主义,现在我要再强调这点,并且由于梦也保留了这份特征,所以我们不难由此看出其间的联系。所有梦均为绝对的自我中心,每个梦均可找到所爱的自我,甚至可能是以经过改装后的面目出现的。而梦中所达成的愿望都不外乎这个自我的愿望。表面看来“利他”的梦内容,其实都不过是“利己”的。以下我将举出几个看来悖逆这种说法的例子加以分析之: 

     第五章-丁、典型的梦-3 

         第一个梦

        “一个还不到四 岁的男童告诉我以下的梦:‘他梦见一个很大的绘着花卉的盘子里,放着一大块烤肉,而突然间那些肉并不经过切碎,而一下子就被吃光了,但他却看不出是谁吃掉的〔63〕。’”

        这小家伙梦中的饕餮之客究竟是谁呢?当天的经验必可供给我们一点线索吧!这小孩子几天以来,一直按医生的指示只吃牛奶,做梦当天,由于他太顽皮了,而被众人罚他不能吃晚餐。因为他早就已被限制少吃食物,所以他也不在意地接受这份惩罚,他知道自己今晚再吃不了东西,因此他就尽量避免去想肚子饿的事情,然而,在梦中虽经过了改装,但毫无疑问地,他自己就是梦中那个对丰盛菜肴有所期待的人(甚至是一大块未切开的肉),但由于他知道自己是不准吃这些东西的,于是他也不敢像通常饿了的孩子所做的梦一般〔64〕,坐在餐桌旁大吃一餐,因此梦中这吃掉烤肉的人就一直不敢露面。

     第五章-丁、典型的梦-4

     第二个梦

        “有天晚上我梦见在一个书摊上看到了一本我对这方面有兴趣的收集本(艺术作品、历史、成名艺术家等的专文收集)。这本新集的书名是‘著名的演说家’(或‘著名的演说’),而第一人物的名字是雷歇尔博士。”

        分析时,我发觉,这个德国反对党的雷歇尔,一个出名的长篇大论的演说家,居然会在我梦中萦绕我心而甚感不解。原来事实是这样的:几天前我开始对几位新病人作心理治疗,而者了。

     第五章-丁、典型的梦-5

     第三个梦

        在另一个场合,我梦见“一位我所认识的大学教授对我说:‘我的儿子患了近视’,而 接着是一些彼此简单的对话,而第三部分接着便出现了我与我的长子。”就这梦的隐意看来,父、子和某讲师只不过是用来影射我与我的长子。以后我会就 其中另一特点,再详细讨论这个梦。

      第五章-丁、典型的梦-6

          第四个梦

        由以下这个梦,可以看出真正的自我中心的感情,如何隐藏于体贴关怀别人之后:

        “我的朋友奥图看来像生病似的,脸色褐红,眼球突出。”

        奥图是我的家庭医生,我对他深深感激,因为几年来都是他在照顾我家小孩的健康,他不仅在他们生病时给予及时的治疗,并且每次登门总是找尽借口地带些礼物给他们。而在做梦当天他曾来我家拜访,当时我太太注意到他看来十分疲累倦困。当晚我就梦见他如此状态,简直就是一个巴瑟洛氏病〔65〕的病人。如果你忽略了我所提过的释梦法则,那么你们一定解释这梦是代表着我十分关切友人的健康,以致将这份关切之情带入梦中。然而这种不仅与我那“梦是愿望的达成”的说法相违背,并且更不容于我这“梦只能以自我和冲动来作解释”的说法。然而,那你们如果那样解释我的梦的话,那么我又为什么要担心奥图会患上巴瑟洛氏病呢?另一方面,我自己的分析是利用了一件我六年前发生的事情加以解释。当时我们一些人,包括R教授在内,正坐在一辆车内,在黑夜中赶路,以便到还有几小时路程的某村庄歇夜。由于司机精神不好,竟把我们整个车翻下河岸,还好,大家均无受伤,但这下子却只得在邻近的小客栈过夜。当时我们的不幸事情曾引起了村人的同情,曾有一位男士,一看便知身患巴瑟洛氏病的(皮肤褐红,眼球突出,但喉部并无肿胀),前来招呼我们,并且问我们需要些什么。R教授以其一向坦率态度回答:“不要什么,借我一套‘睡衣’就好!”但这位慷慨的仁兄回答道:“抱歉之至,这我可没有。”而就此离开。

        继续分析下去,我才想起巴瑟洛并不只是发现那病的医生的名字,并且也是一位出名的教师的名字(现在我已十分清醒,倒觉得这种事实是否可靠还成问题。)。我的朋友奥图,我 曾托他,万一我有个三长两短时,孩子的健康问题,尤其是青春期这段年纪(因此我提到“睡衣”),一律交付他全权负责,由于梦中我看到奥图身罹上述的那位慷慨赐助的村民的症状,我才恍然大悟梦中意义无非是:“如果我有不幸,奥图会对我孩子们就像那村民对我们一般地关怀、贴切。”这梦所含的自我意味,如今大概已经清楚地看得出吧〔66〕!

        但这梦的愿望达成又在哪里呢?并不是我在对至友奥图报复(他似乎经常在我梦中吃瘪),而是以下的情形:就像我将梦中的奥图比作那村民,我自己也就成了另一个人——r教授,因为我有所求于奥图,就像R当时有求于那位村民一样,而这就是关键所在。因为R教授在学术圈内独持己见,有如我一样,以致他到晚年才获得了他早就应当有资格的教授头衔。于是再度地,我又发现了“我希望作一个教授”!那句“他到晚年才……”是一个愿望的达成,因为这意味着我还能活得很久,足够使我在儿女青春期仍能亲自照顾他们。

        至于其他使梦者感到轻松惬意或陷入惊骇慌乱的“典型的梦”,我本身是没有这类经验的,但就我所作的精神分析我倒可以说一些心得。由所得的一些资料看来,这些梦也是一种童年影像的复现——那是说,梦可能包括一些童年时代最喜欢的某些包含急速运动在内的游戏。几乎所有作舅舅、叔叔的不是对着小孩伸开双臂地逗得他满堂飞跑,便是放他在自己膝下摇,然后再突然一伸腿,搞得小孩哇哇大叫,不然便是把小孩高高举起,再突然收手,出奇不意地吓他几下。而在这种时刻,小孩总是高兴得大叫,并且不满足地还要再来一次(特别是如果这种游戏含有一点恐怖或晕眩的情形在内时)。日后他们在梦中又重复这种感觉,但却把扶持他们的手省略掉,所有小孩子都喜欢被荡来荡去或玩跷跷板一类的游戏,而一旦他们看了马戏团的运动表演以后,他们这些游戏的追忆便更加清楚了〔67〕。在某些男孩,歇斯底里症发作时,只不过是某种动作的不断熟练的重复,这些动作本身虽然并不带任何刺激,但往往却给当事者带来性感觉的兴奋〔68〕。简单地说:小孩时期兴奋的游戏都在飞上、掉下、摇晃的梦中得以复现,惟有肉欲的感觉现在变成了焦虑。然而,就像一般母亲所熟知的小孩兴奋的游戏往往最后以争吵、哭闹而结束。

        因此,我有足够的理由反对那种以睡眠状态下,皮肉的感觉、肺脏的胀缩动作等来解释这种飞上、掉下的梦,我发觉这些感觉都可以由梦所带来的记忆予以复现,因此,它们毋宁说就是梦内容本身,而非仅仅为梦的来源。

        然而,我并无法对这些“典型的梦”全部予以合理的解释。更精确地说,是因为我所具有的资料使我走入这进退维谷的困境,我所持的一般意见是这样的:当任何心理动机需要它们时,这些“典型的梦”所具有的皮肉或运动的感觉便复苏了,而用不上它们时,它们就被忽略掉。至于这与孩提经验的关系,则可由我对心理症的分析得到佐证。但我却无法说,这些感觉的记忆(虽然看来都是“典型的梦”,但却各有因人而异的记忆)究竟对梦者一生的遭遇另有哪些其他意义。但我衷心地希望能够有机会仔细地再分析几个好例子以补充这些不足之处。也许有些人怀疑,为什么这种飞上、掉下、拔牙的梦不计其数,而我却仍抱怨资料之缺乏,其实自从我开始注意“释梦”的工作以来,我自己竟从未有过这一类的梦,而且虽然我处理过许多心理症的梦,但并不是所有梦均能解释,还有许多梦都无法发掘其中最深层所隐藏的意向。某些形成心理症的因素,在心理症症状将消失时,会变得更加厉害,而使得最后的问题仍旧无法解释得通。 

     第五章-丁、典型的梦-7 

         三、考试的梦 

        每一个在学校通过期末大考而顺利升级的人,总是抱怨他们常做一种恶梦,梦见自己考场失败,或者甚至他必须重修某一科目,而对已得到大学学位的人,这种“典型的梦”又为另一形式的梦所取代,他往往梦见自己未能获得博士学位,而另一方面,他在梦中却仍清楚地记得自己早开业多年,早已步入大学教席之列,或早已是律师界的资深人物,焉有未能得到学位之理,因此使梦者倍感不解,这就有如我们小孩子时,为自己的劣行而遭受处罚一样,这是由我们学生时代的这种苦难日子要命的考试所带来的记忆的复现,同样地,心理症的“考试焦虑”也因这种幼稚的恐惧而加深。然而,一旦学生时代过去以后,再不是父母或教师来惩罚我们,以后的日子,乃为毫无通融的因果律所支配,但每当我们自觉某件事做错了,或疏忽了,或未尽本分时(一言以蔽之,即“当我们自觉有责任在身之感时”),我们便再梦见这些令自己曾经紧张的入学考试或博士学位的考试…… 

        对“考试的梦”所作更一层研究,我拟举出一位同事在一次科学性的讨论会所发表的有关这方面的心得。照他的经验看来,他认为这种梦只发生在顺利通过考试的人,而对那些考场的失败者,这种梦是不会发生的。由种种事实的证明,使我深信“考试的焦虑梦”只发生于梦者隔天即将从事某种可能有风险,而必须负责任的“大事”。而梦中所追忆的必是一些过去梦者会花费甚大心血,而后由其结果看出,这只是杞人之忧的经验。这样的梦能使梦者充分意识到梦内容在醒觉状态下受了多大的误解,而梦中的抗议:“但,我早就已是一个博士了。”……等等均为事实对梦的一种安慰。因此,其用意不难用以下的话一语道破:“不要为明天担心吧!想想当年你要参加大考前的紧张吧!你还不是空自紧张一番,而事实上却毫无问题地拿到你的博士学位吗?”……等等。然而,梦中的焦虑却是来自于做梦当天所遗留下来的某些经验的。

         就我自己以及他人有关这方面的梦,解析起来虽非百分之百,但大多有利于这种说法。

         譬如说,我曾未能通过法医学的考试,但我却从不曾梦及此事,相反地,对于植物学、动物学、化学,我虽曾大伤脑筋,但却由于老师的宽厚而从未发生问题,而在梦中,我却常重温这些科目考试的风险。我也常梦见又参加历史考试,而这是我当年一直考得很不错的科目,但是我必须承认一件事实——这大多是由于当时的历史老师(在另外的一个梦里,他成了一个独眼的善人),从不曾漏看了一件事,那就是我在交回的考卷上,往往在较没有把握的题目上用指甲划叉,以暗示他对这问题不要太苛求。我有一位病人,他曾在大考时缺席,而后补考通过,但却在公务员国家考试失败了,以致迄今未能为政府录用,他告诉我,他常梦见前一种考试,但后一种考试却从不曾出现于梦中。 

        史特喀尔,是第一位解析“考试梦”的人,他指出这种梦,一概是影射着性经验与性成熟,而以我的经验而言,这种说法是屡试不爽的。 

          ————–●注释:

         〔1〕罗勃特以为梦是用来使人摆脱白天留下来的无用的记忆,但由于我们童年的芝麻小事屡见于梦中,所以这种说法再也站不住脚。因此,我们不得不承认梦往往未能适切地执行其工作。

         〔2〕艾里斯曾对“梦的解析”这书作了一个善意的批评,在他那本《梦的世界》中,提到“由这点再往下的推论,那我们之中就很少人愿意苟同了”。但其实艾里斯先生并不曾作过任何梦的分析,因此他无法意会出只用梦的显意来作梦的解释是多么不合理的事。

         〔3〕参照下一章“梦的工作”:在我以前,大概就只有德尔伯夫曾提起过梦中言谈方式的内容,而以“陈辞”比喻之。

         〔4〕这似乎是在FliegendeBlaEtte或类似的滑稽书页内所常看到的一些漫画的回想。

         〔5〕为了某些好奇的人们,我要坦白说出,由这梦曾引起隐含的某种偶发的绮想,而使我这方面产生一种性挑逗的行为,而那妇人方面发生了拒斥的现象。如果这种解释被读者认为荒谬绝伦的话,我想提醒读者们,曾有无数的歇斯底里症的妇女,均曾对医生们发出类似的非非之想,而且这种想法,往往甚至是毫无隐饰地表现出来或变成妄想,而不只是经过改装的梦而已。以上的所举的那梦是她第一次接受精神分析治疗时所供出来的梦,后来,我才知道就是由这梦,可以探查出她所经常地重复提及的早期某种心灵伤害,实为她所患心理症之病源,而以后,我也经常地注意到,许多患心理症的妇人,也都在其梦中不断复现早期性方面伤害的印象。

        〔6〕解析以后,我们就可看作,其实刚好是相反的意义。

        〔7〕译注:pullover,本意为套头的毛衣,但此处中文不宜以此译之。

        〔8〕译注:译者系译自Brill及Strachey之英译本,惜乎无德文原版可稽考。而这两种英译本均以为该梦,只能以德文才能作合理达意的解释。

        〔9〕artichohe朝鲜蓟,块茎可食之一种向日葵。

        〔10〕我早就发觉,只要我下得了决心,我就去得了罗马,但却因为迟疑延宕,而终不能成行,以致内心更心仪罗马不已。(由弗氏与弗利斯之通信,亦可发觉弗氏对罗马之行所寄予之热盼,而他一直到一九○一年夏天才得遂所愿。)

        〔11〕译注:德文意:糖先生。

        〔12〕椐我所知,语出利希特尔(1763—1825)。

        〔13〕本书第一版时,我曾将此名字误写成“Hasdrubal”,一个惊人的错误,这点我曾在我那本“日常生活的心理分析”解释到这错误的发生。

        〔14〕这位将军的犹太后裔,惜乎不可考。

        〔15〕译注:英文译句意为“找出错误”来。

        〔16〕一种近日已不习用的风俗,以前在德国森林一带,情人们求婚示爱时,男人须架上梯子爬过爱人的窗口,进入她闺房内做爱简直就是试婚的程度,而女孩子只要不是有过太多的这种求婚者,那她也决不会因为曾接受“越窗偷情”而为人所不耻。

        〔17〕由这些儿时情景而对这不可避免的命运所生的惊奇与失望,在这梦的更早些时候,就已出现过这种情绪的反应,而当时就使我回忆起这件儿时的经验。〔18〕我并非完全随意地取出这个字,而是因为我曾在那位老师面前因不懂这个字,而感到一种羞辱。

        〔19〕就如中文之“宝宝”,为德国人哄弄婴儿时所称之名。

        〔20〕德文Freud意为“快乐”。

        〔21〕此段前句来自赫尔德向哥德借书时,在便条上所题的一首打油诗,而后句则由弗洛伊德以自由联想的方式,由哥德作品《道利斯的伊菲珍妮》摘录出来,原文本来是伊菲珍妮在获悉特洛城包围战中,有那么多英雄丧失时,哀恸大呼“你们徒具神明的影像,最后也必归于尘埃”。

        〔22〕译注:莫扎特所作之歌剧,剧本为法人包玛歇所作,该剧描述阿玛维巴伯爵在其家仆费加洛的婚礼前,想尽办法想染指他那位新娘——伯爵夫人的侍女苏珊娜的笑闹讽刺剧。

        〔23〕在写这份梦的内容时,我竟重复地写了这一句话,显然这是一种无心的误失,但我仍保留下来,因为经过解析,也许会找出另有一种意义吧!

        〔24〕这纯粹是一种错误,而非笔误,因为后来我才知道华休的伊玛尔村,并非当年费休夫所住的伊玛尔村,只不过是地名雷同而已。

        〔25〕一八○九——一八九二,英国诗人。

        〔26〕译注:莎士比亚有一剧本以此为名。

        〔27〕有两句童谣可暗示此种联想,一为德文:“蔷薇、郁金香、康乃馨,所有花儿终归凋谢”(Rosen,Tulpen,Nelken,alleBlumenwelken),另一为西班牙文的:“小伊莎贝拉!不要因为你的花儿凋谢而哭呀!”(Isabelita,nue semarchitanlasflores)又这段西班牙文曾现在费加洛那剧本内。

        〔28〕其实不是在《阳春》里,而是来自左拉的另一部小说《土地》里——这错误是我在解析过程中才发现到的。在这儿我想请诸位注意一下Huflattich(款冬)与flatus这字发音之相近。

        〔29〕一位迂阔的传记作家,维特尔斯,曾指责我在上述的那句话中漏掉了耶和华之名。事实上在英国的奖牌上是含有这圣者之名,但却是用希伯莱文写的,而且是写在那奖牌上所绘的云影背景中,所以要把它看成图的一部分或文句的一部分,其实均无关宏旨。

        〔30〕德文Frauenzimmer一词为对“女性”带轻蔑之称谓,而Frauen本字即女性,Zimmer为“房间”。

        〔31〕译注:此原为希腊传说,Abydos的青年黎安德每夜游渡Hellepont海峡到Sestos往晤其爱人希洛,在一风雨之夜,希洛之导引灯火被吹熄以致黎安德溺毙,其后希洛寻获其尸,乃投海殉情而死。

        〔32〕译注:为乐天派之酒徒,粗率而好讥讽。

        〔33〕另一种解释:他是单眼,就像那万神之父的欧丁——欧丁的“安慰”。而在童年景象中我曾“安慰”父亲:我会给你买个新的床。

        〔34〕这儿仍有一些值得解析的:手拿着玻璃做的尿壶,使我联想到一个笑话:一个眼科医生为一个不识字的农夫配眼镜,让他试这个、试那个镜片,总无法使他能够读出字来。——(“农夫的捕器”——前一个梦所述及的“少女的捕器”)——左拉的《大地》一书中那农夫如何对待他那白痴父亲——在先父去世的前几天,他一直大小便失禁,而像小孩子一般地撒在床上,因此,悲剧式地补偿,使我在梦中成了他的看护,“在这儿,‘心里想到’与‘真正经验到’,就像是同一回事,”,这句使我想起巴尼查所作的一部富有革命意味的戏剧,他在这书里,把天父比喻成一个瘫痪的老头子,而受制于一位大天使,一种类似甘尼密〔35〕的人物,这位天使对天父有一种使命:要使天父的意愿,永远与事实如一,结果害得他反而因此永远不敢咒诅、立誓,因为他一咒诅,天使就会马上使它变成事实。——计划、思考其实是在反对我的父亲,就像梦中的“大叛逆”,“蔑视权威”均可溯自于对家父的不满,君王往往称为一国之父,可见父亲是最早最老的权威,而对一个小孩子而言,他是唯一的权威,而由此在人类的文明进展中演变而成社会的各种独裁(至目前,母权仍未能找出有类似父权之地位)。——在梦中我所想到的那句话“心里在想”与“真正经验到”,是同一回事,正可解释歇斯底里症的症状,而这也与男用尿壶又有联带关系——对一个维也纳人,我实在用不着解释Gsas的原则——这就是利用一些无用的、琐碎的废物作出罕见名贵的东西——譬如说,我们那些艺术家们在欢宴上常作的把戏,以一些餐具,几束稻草,和长竿子拼凑成一组甲胄。而我发现歇斯底里症病人也有这种类似的行为,他们除了感受到真正发生在他们身上的刺激以外,他们常会由一些无关痛痒的真实经验里,不自觉地受到对他们最恐怖、最荒唐的事件。而他们的症状并不附着于那真实事件的记忆,却症结于这些本身的幻想上。这种解释使我克服了很多难题,并予我以甚大之愉悦。并且我可以用这来解释梦中的“男用尿壶”,因为最近一次的Gsas晚上所展出的柳克里西亚〔36〕,服毒所用的高脚杯,其制造的原料据说竟是用通常医院所用的“男用玻璃尿器”。

        〔35〕译注:天神宙斯带去为众神司酒的美少年。

        〔36〕译注:罗马之烈妇,于公元前五一○年为TarquiniusSertus所污而服毒自杀。

        〔37〕梦的分层意义是梦析中最微妙,而且最成果辉煌的一大发现。如果忘了这个分层探讨的可能性,那么就对梦的本质无从把握住。然而迄今这方面所作的研究,除了峦克曾由排尿刺激作出一相当有条理的分层符号以外,并未有更完备的研究报告。

        〔38〕译注:由于第一章一般译本均认为太过冗长,故本书只译Brill之节录。

        〔39〕我希望每个人均能详读那本伏尔特所作的各种梦实验(他收集成二册出版),他由此而证明以实验中的状况能解释每个梦内容的实在很少,而且断言以这方法来探究梦的问题并没有多少发展的余地。

        〔40〕见利普士所著《精神生活的基本事实》。

        〔41〕一种欧洲国家的币值。

        〔42〕就我所知的这梦的两种来源并不完全与其内容相符。

        〔43〕译注:RepressionSuppression分别译为“潜抑作用”、“压抑作用”系按徐静医师所著心理自卫机转一书之译名,前者意指“不知不觉地抑制至潜意识中”,而后者指“有意识地抑制自己认为不该有的冲动与欲望。”

        〔44〕峦克,曾研究过很多由器官的刺激(如排尿、遗精的梦)引起到令人由睡中惊醒的梦,他发现这是由睡眠与器官两方面需求的冲突而引起,并论及后者来对梦内容的影响。

        〔45〕这种常见的梦境,可使梦者感到动弹不得,或无法作什么动作,这与“焦虑”有密切关系〔46〕这种认为没有梦者的联想资料到手,就无法释梦的说法,其实也需有所保留。有一种情形,我们是可以不同这些联想而能释梦的:那就是,当梦者在梦中利用了“象征成分”。但这时,我们所用的方法,严格地说,应该叫做“释梦的辅助方法”。

        由这些“典型的梦”,我们希望可以看出究竟我们释梦的方法能有多大用处,并且万一这方法有所不适,也可就此加以补救。通常这类梦的解析,我们不是无从获得那些用以了解普通梦的联想资料,便是所到手的资料混乱而不合用。

        〔47〕费兰齐曾报道许多女人赤裸的梦,而很清楚地推溯出这来自童年期的暴露快感,但这些报道却与我们所谈的“典型的梦”略有出入。

        〔48〕很明显地,梦见所有家人在场也具有同样意义。

        〔49〕译注:伊达迦国王,曾参加特洛城包围战,回程中发生许多冒险事迹为荷马史诗奥德塞之主角。

        〔50〕参看拙著一个五岁男童恐惧症的分析以及儿童性理论。

        〔51〕在前一个注解,所提到的那畏惧症病童,汉斯,在三岁半时,他对那新生的小妹狂热地表示“然而我并不希望有个妹妹”,而十八个月后,他因心理症就医时,坦承当时他希望妈有天会在浴缸失手,而使小妹溺毙。然而,汉斯却是一个天性善良,很有感情的小孩,而且不久他就非常喜欢妹妹,并且刻意照顾她。

        〔52〕自从这段文字写出来以后,在精神分析的文献中,我收集了一大堆有关小孩对其兄弟姐妹或双亲的敌视态度的报道。有一位作者,史毕特勒以其最真实、最生动的叙述写下他自己童年时最早感受到的一种典型的稚气态度:“……还有,现在又来了新来的第二个阿道夫,一个自称是我弟弟的小怪物,但我就看不出他有甚用处,或者他们为什么故意骗我说他很像我,我本身已经自足了,多一位弟弟又于我有甚好处?他不仅无用,他甚至是个麻烦呢!当我缠着祖母抱我,他竟也要插一腿,当我坐在婴儿车内乱转时,他竟在我对面,而占了我一半地方,以致我们不得不常常互相踢到彼此的脚。”

        〔53〕——我以前所提过的那三岁半的小汉斯,也曾对他妹妹用同样这种批评。而且他以为是因为没有牙齿才不会讲话。

        〔54〕译注:此为希腊神话中丘比特所深爱的美女,被视为灵魂之化身,在艺术界常被画为蝴蝶或有翼的人。

        〔55〕我很惊奇地获知,有一个聪明的十岁男童,在他父亲暴毙不久后,他说:“我知道父亲已经死了,但我就搞不懂,他为什么总不回来吃晚饭。”其他有关这方面资料,可参照FrauDrvonHngHellmuth所编的孩童心理。

        〔56〕一个受过精神分析训练的父亲曾作如下的一个报道:他那四岁聪慧的小女儿,在这种状况下了解了“离开”与“死亡”的分别:小孩在餐桌上出乱子,而注意到那寄宿在她家的女侍者不耐烦地瞪着她。于是她告诉爸爸“约瑟芬应该让她死掉!”她爸爸和气地问:

        “为什么一定要她死呢?使她离开我们不就够了吗?”小孩回答道:“不!这样她还会再回来的!”就小孩时期明显的“自我恋”看来,任何拂逆其意的小事均为大逆不道,而就像德拉寇法典〔57〕一样,小孩们也认为所有的各种犯罪均惟有一种惩罚——“死”。

        〔57〕译注:雅典立法者德拉寇所拟之严峻法典。

        〔58〕这种情况往往以惩罚的形式加以“改装”——即利用道德反应,恐吓其可能丧失父母。

        〔59〕至少有些神话是如此记载的,但按一般说法,“阉割”只有克洛诺司用来对付其父乌拉诺司而已。

        〔60〕精神分析的研究从没引起过如此痛苦的矛盾——由“童年时所含乱伦的冲动深藏于潜意识里”的说法,而招来如此愤怒的反对以及如此有趣的变化。最近甚至有人,不顾所有过去的经验,而拟只用象征符号来代表乱伦的意义。费兰齐根据叔本华的信中一段文字,曾试图对俄狄浦斯的神话作一别出心裁的解释。但在这本书中,首次提到的俄狄浦斯情意综是对这方面作更深入的研究所得,并借此对人类社会的了解及宗教道德的进化获得意想不到的意义。详见《图腾与禁忌》一书。

        〔61〕请比较前述的暴露症的梦资料。

        〔62〕有关哈姆雷特分析研究的继续发展以钟士博士最为出色,他曾对这观念的各种批评加以精辟的辩驳(哈姆雷特及俄狄浦斯情意综的问题)。哈姆雷特的资料与神话的英雄之诞生的关系也由兰克加以阐释。至于有关马克白的分析,可参考我的其他著作精神分析工作中的几种特殊型态以“俄狄浦斯情意综”来解释哈姆雷特之秘密:动机的探讨。

        〔63〕甚至梦中一些“巨大的”、“大量的”、“非凡的”、“夸张的”东西都是儿童的一大特色。小孩子一心只盼望长大,而想吃东西也与成人一样多。小孩是很难使他满足的,他无法了解“足够”这个字的意思,对他所喜爱的他永远贪求不厌,惟有经过训练,他才能渐渐学会谦虚、中庸。而我们都知道,心理症病人也多半同样地倾向于过分,而失之中庸。

        〔64〕参照第三章所述小女安娜的梦。

        〔65〕译注:即甲状腺功能亢进症。

        〔66〕钟士博士在美国科学学会作有关梦的自我中心的演讲时,座中有位妇女曾反对他这种“非科学的推论”,她认为演讲者只能说这是这国人的梦有这种特色,但决无权推广为美国人也不外如此。就她自己而言,她敢肯定地说,她所有梦均以“利他”为目标,然而,为了不伤这位妇女的国家优越感,我必须再多作一些说明,以免人们误解了我这“梦均为自我中心”的论调。由于所有发生于“前意识”的念头,均可在梦中(显意或隐意)出现,所以利他助人的感情当然也有可能..于梦中流露出来。同样的,对某人的怀念喜爱,如果的确存在于潜意识里,那么在梦中发生是大有可能的。因此我所提的那种说法的真正意思是说:在梦中潜意识刺激里头,我们往往可以发现一些醒觉状态下已经压制下去的自私的倾向。

        〔67〕精神分析的研究使我们得到如此的结论:由小孩小运动表演的偏好以及歇斯底里发作时这些动作的重复出现,我们知道,除了感官上的愉快以外,必定仍有另一个因素存在(往往是潜意识地):那就是在人类及动物所看到的性交的记忆影像。

        〔68〕一位天性并不神经兮兮的年青同事,在这方面提供了我一件他的经验:“当我荡秋千荡到最高高度时,我的生殖器往往有种很奇怪的感觉,这对我而言虽然并不是一种快感,但我仍认为是一种肉欲的感觉。”我常听到病人告诉我他们第一次感到性器勃起并常有肉欲的感觉是在他们儿时爬行的时候。由精神分析可以确定地证明孩童期间的混战、扭打往往使他们第一次意识到性的感觉。

     第六章-前言

        所有以前所作过的有关梦的解释都是以记忆中所保留的“梦内容”直接予以阐释。他们由梦内容寻求解释,有些甚至不经过解析,而直接由梦内容获取结论。然而,这方面我们却有一些不同的资料,在我们研究出来的结果与“梦内容”之间,我们发现了另一新的心理资料:梦的隐意沿袭自古所用“梦内容”〔或称为“梦的显意”(dream—tent)〕。因此我们所面临的将是一个崭新的工作,一种近似小说的工作——仔细检验“梦的隐意”与“梦的显意”之间的关系,并探讨后者如何由前者蜕变出来。

    “梦的隐意”与“梦的显意”就有如以两种不同的预言表达同一种内容,或说得更清楚些,“梦的显意”就是以另一种表达的形式将“梦的隐意”传译给我们,而所采用的符号以及法则,我们唯有透过译作与原著的比较,才能了解,一旦我们做到了这点,那“梦的隐意”就再不是一个如此难以了解的秘密。“梦的显意”,就有如象形文字一般,其符号必须逐一地翻译成“梦的隐意”所采用的文字。因此,这些符号决非以其图形的型态即可解释,它必须按符号所代表的意义来作这项翻译的工作。譬如说,现在我面前呈现一个画谜,有一所房子,在屋顶上有只木舟,然后是一个大字母出现;再来便是一个无头的人在飞跑等……。一眼看上去,我一定会斥责这简直是荒唐而毫无意义,一只木舟怎有可能摆在屋顶上,无头人怎么会跑,而且人哪有可能比房子还大,还有,如果整个画面是代表一幅景物,那么一个字母又代表什么呢?自然界的风景哪有这种景象?因此要想对这画谜作正确的解释,唯有抛弃这些对这部分或整个的反对批评,相反地,将这每一个影像均视为有意义,而绞尽脑汁地去找出每一个所代表或牵涉到的文字,而后再把这些文字凑合成一个句子,这时它们再也不是毫无意义了,而很可能地,成了一句漂亮动听寓意深长的格言。梦其实就是这么一种画谜,只是我们祖先却没把握住真正的释梦方法,而误把画谜当作一张艺术作品加以鉴赏,也因此,才会认为梦是毫无意义,一文不值的。

     第六章-甲、凝缩作用

          甲、凝缩作用

        在梦的“隐意”,与“显意”之间的比较,第一个引人注意的便是梦的工作包含一大堆的“凝缩作用”。就“梦的隐意”之冗长丰富而言,相形之下,“梦的内容”就显得贫乏简陋而粗略,如果梦的叙述<var>..</var>需要半张纸的话,那么解析所得的“隐意”就需要六或八至十张的纸张才写得完。这差距的比例按各种不同的梦而异。但就我的经验看来,几乎多半是这样的比例。一般而言,我们多半低估了梦所受凝缩的程度,以为由一次解析所得的“隐意”即包含了这梦所有的意义,然而事实上继续对这梦分析下去,往往又发掘出更多深藏在梦里的意义。因此我们必须先要有个声明,“一个人永远无法确定地说他已将整个梦完完全全地解释出来”。尽管所作的解释已到毫无瑕疵、令人满意的地步,但他仍可能再由这同一个梦里又找出另一个意义出来。因此严格地说,凝缩的程度是无法定量的。由这梦的“隐意”与“显意”间的不成比例,而得出“在梦的形成时,必有相当多量的心理资料经过凝缩的手续”的结论恐怕会受到一些反对。因为我们经常有种感觉,“我昨天整个晚上做了一大堆的梦,但却忘了一大半”,因此有人会以为醒后所记得的部分只不过是整个梦里头的片段,而如果能把所做的梦全部内容追记出来,那就差不多可与“梦的隐意”等量齐观了。就某一程度而言,这种说法不无道理。梦只有在睡醒后马上记下来才有可能精确地把握住所有内容,否则随着时间必渐渐淡忘而不复记忆。然而,我们需要认清一件事实,自以为所梦的比所追记得出的资料还要丰富得多,其实是一种错觉,而这种错觉的来源以后会再详细解释。还有,梦工作所采用的“凝缩作用”并不因为“有可能遗忘掉一些内容”的说法而有所影响,因为我们可以由记忆所尚保留的梦的各部分分别找出所代表的一大堆的意义。果真梦的大部分内容均不复记忆,那么我们将很可能无法探究一些新的“隐意”,因为我们毕竟没有理由判断这些遗忘掉的梦所隐含的“梦思”一定与我们所仍保留下来的部分内容所解析出来的“隐意” 完全一样。

        就每一部分的“梦的显意”逐部分析时所产生的一大堆意念看来,许多读者一定禁不住心中有个怀疑,难道现在分析这梦时心灵所产生的每一种意念均可能构成“梦的隐意”吗?

        换句话说,我们岂不是先假定所有这些念头均在睡眠状态下活动着,并且均参与了梦的形成。有些梦形成时并没参与的新念头是不是很可能在解析梦意时才产生呢?对这反对意见,我只能给予一种条件性的回答。当然,这些分散的意念的组合是直到分析时,才第一次出现的。但我们可以看到的,这种组合只有在各种意念之间确实已经在“梦的隐意”里有某种联系时才会发生的。因此,可以说,惟有在能以另一种更基本的联系形式存在下,才有这种新组合的结果。由分析时,所产生的大部分意念看来,我们不得不承认它们早在梦的形成时已有所活动。因为如果我们由一连串的意念下手时,许多乍看之下,对梦的形成并无关联的意念,却会突然发觉它带给我们一个确实与梦的内容有关联的结果,而这正是梦的解析所不可或缺的关键,但它却只有由那一连串的意念追寻下来才能达到。读者此时不妨再翻阅前述的有关“植物学专论”的那个梦,即可发掘其中所含惊人程度的“凝缩作用”(虽然我并未能完完全全地解析出来)。

        然而,人们在做梦以前的睡眠状态下的心理又是怎么一种样子呢?是不是所有“梦思”

        已并列地横陈于脑海里呢?或是一个个地互相竞逐于心灵呢?或是各种不同的意念,各由不同的制造中心,同时涌现到心头,而在此引起大聚会呢?我认为目前讨论梦形成的心理状态并用不上提出这种仍无法确证的观念。但,我们可别忘记我们所考虑的是“潜意识的思想”,这与我们自己沉思默想中的“意识思想”是有很大不同的。

        然而,既然梦的形成确实是经过一番“凝缩作用”,那么,这过程又是如何进行呢?

        现在,如果我们假定这一大堆的“梦思”只有极少数的意念能以一种“观念元素”表现于梦中,我们就可以推论说,“凝缩作用”是以“删略”的手法来对付“梦思”,“梦”并非“梦思”的忠实译者;它并未逐字逐句地翻译。反之,它只是东删西略的产品。我们不久就会发现,这种观念其实是不太正确的。但,目前,我们且以这为起点,而先自问:“如果‘梦思’中只有少数元素可以进入‘梦的内容’,那么究竟什么条件决定这些选择呢?”

        为了解决这问题,我们且研究一下那些符合我们所追寻的条件的这种梦内容中的元素,而这方面最适合的资料是那些在形成时经过强烈的凝缩才产生的梦。以下我选用第78页的“植物学专论”的梦: 

        一梦内容:“我写了一本有关某科植物的专论,这部书正摆在我面前。我正翻阅着一张折皱的彩色图片。这书里夹有一片已脱水的植物标本,看来就像是一本植物标本收集簿。”

        这梦的最显著成分即在于《植物学专论》。这是由当天的实际经验所得,当天我的确曾在一书店的橱窗看到一本有关“樱草属”的专论。但,在梦中并未提到这“属”,只有“专论”与“植物学”的关系遗留下来。这“植物学专论”马上使我想到我曾发表过的有关“古柯碱”的研究,而由“古柯碱”又引导我的思路走向一种叫做Festschrift的刊物,以及另一个人物“柯尼斯坦医师”——我的至友,一位眼科专家,他对古柯碱之临床应用于局部麻醉颇有功劳,还有,由柯尼斯坦医师又使我联想起,我曾与他在当天晚上谈过一阵子,而为别人所中断。当时所谈涉及外科、内科几位同事间的报酬问题。于是,我发觉这谈话的内容才是真正的“梦刺激”,而有关樱草属的“专论”虽是真实的事件,但却是无关宏旨的小插曲而已。现在我才看出来,“植物学专论”只是被用来作当天两件经验的共同工具,利用这无关宏旨的真实印象,而把这些甚具心理意义的经验以这种最迂回的联系将之合成一物。

        然而,并非只有“植物学专论”的整个合成的意念才有意义。就是“植物学”、“专论”等各个字眼分开来逐个层层联想也可引入扑朔迷离的各种“梦思”。由“植物学”使我联想到一大堆人物:格尔特聂(德文“园丁”之意)教授及其“花容玉貌”的太太,一位名叫“弗罗拉”的女病人,以及另一位我告诉她有关“遗忘的花”的妇人。由格尔特聂这人,再度又使我联想到“实验室”以及与柯尼斯坦的谈话,以及这谈话中所涉及的两位女性。由那与花有关的女人,我又联想到两件事:我太太最喜爱的花,以及我匆匆一瞥所看到的那本专论的标题,更进一层地,我联想到在中学时代的小插曲,大学的考试,以及另一崭新的意念——有关我的嗜好(这曾由上述的对话中浮现出现),再利用由“遗忘的花”所联想到的“我最喜爱的花——向日葵”而予以联系起来。而且由“向日葵”,一则使我回想意大利之旅游,另一方面又使我忆及童年第一次触发我日后读书热的景象。因此,“植物学”就是这梦的关键核心,而成为各种思路的交会点。并且,我能证明出这些思路均可于当天的对话内容一一找出联系。现在,我们就恍如在思潮的工厂里,正从事着“纺织工的大作”:

        “小织梭来回穿线,一次过去,便编织了千条线。”

        在梦中的“专论”再度地涉及两件题材:一端是我研究工作的性质,而另一端却是我的嗜好的昂贵。

        由这初步的研究看来,“植物学”与“专论”之所以被用作“梦的内容”,是因为它们能使人联想到最多数的“梦思”,它们代表着许多“梦思”的交会点,而就梦的意义而言,它们也就具备了最丰富的意义。这种解释可用另一种形式表达如下:“梦的内容”中每一个成分具有甚多的意义,它们代表着不只一种的“梦思”。

        如果我们仔细检验梦中每一成分如何由“梦思”蜕变过来,那我们将可了解得更多。由那“彩色图片”引入另外新的题目——同事们对我的研究所作的批评,以及梦中所已涉及的我的嗜好问题,还有更远溯到我童年时曾经将彩色图片撕成碎片的记忆。“已脱水的植物标本”牵涉到我中学时收集植物标本的经验,而特别予以强调之。因此,我得以看出“梦内容”与“梦思”之间的关系,并不只是梦内容的各个成分代表好几种的“梦思”,同时每一个“梦思”又能以好几种不同的梦内容的成分代表,由梦中某一成分着手,经过联想的思路可以引出好几种“梦思”,反之,如果由某一种“梦思”着手,也可引出好几个梦中的成分。而在梦的形成过程中,并不是一个梦思,或一组的梦思,先以简缩的手法在“梦内容”

        中出现。然后另一个梦思,再以同样手法接续于后(就像按人口比例,每多少人选出一位代表的过程一般),事实上,整个“梦思”是同时受到某种加工润色,而在这整个过程中唯有那些具有最强烈最完整实力的分子才脱颖而出,因此这种过程反而较像“按名册选举”。无论是哪一种梦,一经过我解析,我总发觉我这“基本原则”屡试不爽,“由整个‘梦思’蜕变而形成各种‘梦内容’的成分,而这各种成分又各有多种的梦思附于其上”。

        为了说明“梦思”与“梦内容”的关系,确有其必要再多举一个例子,以下所举的例子可以更清楚地看出两者相互交织的错综关系,这是一个患有“幽闭畏惧症”所做的梦,读者们不久就可以看出为何我如此欣赏这梦的结构,而称之为“非常聪明的梦活动的成品”。

        二、“一个美丽的梦”

        “梦者与很多朋友正在×街上驾着车子兜风,这街上有一间普通的客栈(但事实上并没有)。在这客栈里的一个房间内正上演着一出戏剧,最初他是个观众,但后来竟成了演员。

        最后大家都开始换衣服,准备回城里去。一部分人在楼下,一部分人在楼上换装,楼上的已经换好了装,但楼下的仍旧慢吞吞地,以致引起楼上的同伴不满。他的哥在楼上,他在楼下,他认为哥哥他们换装那般匆忙简直太没道理(这部分较模糊)。并且,他们在到达此地以前,早就已经决定好谁在楼上,谁在楼下。接着,他独自由山路登向城市,脚步十分沉重,举步艰辛竟至在原地动弹不得。一位老年绅士加入了他的行列,并且愤怒地谈论意大利国王。最后,快到山顶时,他的脚步开始变得轻松自如。”

        举步困难的印象尤其清晰逼真,甚至醒后,他犹自分不清刚刚那经验是真实或梦境。

        由梦的显意看来,倒是内容平平,但这次我要一反以往的常规,而以梦者所认为最清晰的部分开始着手解析。

        梦中所感受到的最大困难——举步迟重并带气喘——是梦者在几年前生病时曾有过的症状,当时再加上一些其他的症状,被诊断为“肺结核”(可能系“歇斯底里的伪装”)。由我们对“暴露梦”所作的研究,已经了解了这种梦中运动受禁制的感觉,而现在,我们又可以看出这也可用来作为其他种类的代表。“梦内容”中有关爬山的部分,初则十分吃力,到了山顶化为轻松,使我联想到法国小说家都德的名作沙孚〔1〕这故事里,一位年青人抱着他心爱的女郎上楼,最初佳人轻如鸿毛,但爬得越高,越觉得体重不堪负荷,这景象其实就是一种他们之间的关系进展的象征。而都德借此以戒斥年青人切勿四处留情,空留满身风流债,到头来吃不完兜着走〔2〕。虽然我确知这病人最近曾与一女伶热恋,而终告破裂,但我仍不敢说,我这种解释确实正确。在沙孚的情形正与此梦“相反”,梦中的爬山是最初困难,而后来轻松,但小说中的“象征”却反而是最初轻松,后来却成了重负。我很惊讶地,病人竟告诉我这种解释正与他当天晚上所看的一部戏剧的结构十分吻合,那剧本叫做维也纳之巡礼,叙述一位最初颇受人尊崇的少女,如何沦落到卖笑生涯,而后来与一位高阶层男士发生关系,开始“向上爬”,但最后她的地位却更加低落,这剧本又使他联想另一个剧本《步步高升》,而这戏的广告画就以“一列阶梯”为代表。

        再接下去的解析显示出,那位与他最近热恋过一阵子的女伶就住在×街上,而这街里并没有客栈。然而,当他在维也纳与这位女伶打发这夏天的大半时间时,他就下榻于这附近的一间小旅馆〔3〕。当他离开那旅馆时,他告诉车夫:“发现这儿没有一只臭虫,我很高兴!”(事实上,害怕臭虫又是他的另一畏惧症),而车夫回答道:“这地方怎么有人住得下呢?这根本算不上是一间旅馆,充其量不过一间‘小店’而已!”而“小店”这字眼又使他马上想起一句诗:“后来我就成了这么好的主人的宾客!”但这首乌兰德的诗中所歌颂的主人却是一株“苹果树”,第二段诗句又由思潮中涌现出来:(浮士德四一二八——三五)。

        浮士德(面对着年青的女巫):

        我曾有过一段美梦,我看见了一株苹果树,

        那儿高挂着两颗最漂亮的苹果,

        她们诱使我不由自主地“爬上去”。

        漂亮的苹果,

        自从天堂里惊鸿一瞥,

        你就朝夕心仪这苹果,

        而我非常高兴地获知,

        在我的花园里正长着这种苹果。

        “苹果树”与“苹果”的意义,我想是殆无疑问的。那女伶丰满诱人的胸部,正是使我们这位梦者神魂颠倒的“苹果”。

        由梦的内容看来,我们可以确信这梦是含有梦者小孩时期的某一种印象(梦者此时为三十岁)。果真这种说法正确的话,那么这必是指着梦者的奶妈而言。奶妈柔软的胸部事实上就等于小孩子最好安眠的“旅馆”。“奶妈”以及都德笔下的沙孚,其实就影射着他最近放弃的那位情妇。

        这病人的哥哥也出现在“梦内容”,“他哥哥在‘楼上’,而他在‘楼下’。”而这与事实又相反的,因为就我所知,他哥哥目前穷困潦倒,而他反倒仍维持得很不错。在叙述这“梦内容”时,梦者曾对“他哥哥在楼上,而他在楼下”一节言词闪避不定。而这句话正是一种我们在奥地利所常用的口语,当一个人名利丧失殆尽时,我们会说“他被放到‘楼下’去了”,就像说他“垮下来了”一样。而现在我们该可以看出,在梦中某件事故意以“颠倒事实”的情形出现时,必有其特殊意义的,而这种“颠倒”正可解释“梦思”与“梦内容”

        之间的关系。要了解这种“颠倒”确有其途径可循,在这梦的末尾,很明显地“爬山”以及沙孚中的叙述又是“颠倒”的一例,而这种“颠倒”的意义可分析如下:在沙孚这本书里,那男人抱着那与他有性关系的女人上楼,那么,如果在“梦思”里,一切都颠倒的话,那该是一个女人抱着男人上楼,而这只有可能发生于童年时期——奶妈抱着胖娃娃上楼,因此,这梦的末尾部分成功地将奶妈与沙孚拉上了关系。

        就像诗人提出沙孚这名字,总免不了引申到女性同性恋一般,梦中“人们在‘楼上’、‘楼下’,在上面、下面忙着”也意指着梦者心中的“性”方面的幻想,而这些幻想,就与其他受潜抑的欲望一样,与梦者之心理症颇有关系,“梦的解析”并无法告诉我们,这些只是幻想,而非事实的记忆,它只能供给我们一套想法,而让我们自己再去玩味其中的真实价值。在这种情形下,真实与想象的乍看均具有同等价值(除了梦以外,其他重要的心理结构也有这种类似情形。)。就如我们早已获知的,“许多朋友”是象征着“一种秘密”。而梦中的“哥 哥”,利用对童年时代景象的“追忆”加上“幻觉”,用来代表所有的“情敌”。

        然后再接着一件无甚关系的经验,“一个老年绅士愤怒地谈着意大利国王”意指着低阶层的人闯入了高级社会所发生的不合。这看来倒有点像都德笔下那年青男人所受的警告,而同样地这也可用在吮乳的小孩身上〔4〕。

        在上述的两个梦里,我在“梦思”内所一再复现的成分均用方体字或括弧以别于他字,俾使各位更易看出“梦内容”与“梦思”的多种关系。然而,因为这些梦的分析仍未能作得彻底,所以也许有必要再选一个梦来作整套的分析,以便看出梦内容中的多种意义。为了这目的,另选用前提过“伊玛打针”的梦,而由这例子,我们就可以看出“梦的形成”所用的“浓缩作用”往往利用了多种的方法。

        “梦内容”中的主角是我的病人伊玛,在梦中她看来就如她平常的样子,所以,那无疑地是代表她本人的。然而,当我在窗口给她检查时,她的态度却是我由另一位妇女身上所观察到的,而这女人,在“梦思”里,我宁可用来取代我这病人。由于伊玛在梦中有“白喉伪膜”,使我联想起长女得病时的焦急,因此她又代表着我的女儿,而由于我女儿名字的雷同,又使我联想起一位因毒致死的病人。在梦中,以后伊玛人格的续变(但梦中的伊玛的影像并不再变)代表着:她变成了一位我们在民众服务门诊所看的一位病童,在那儿我的朋友们为她们统计智能的差别。而这种变迁很明显地是受了我的小女儿的影响,由于她常不愿意张开嘴巴,同样地梦中的伊玛就变成了另一位我检查过的女人,而利用同样的联系,又引申到我太太身上。还有,由我在她喉头所发现的病变,也可以再引申出好几位其他的人。由伊玛而引起连串的联想所产生的这些人物,在梦中并不曾亲身出现。她们全都隐身于伊玛一人之后,因此伊玛成了一个“集合影像”,而不可避免地是有许多互相冲突矛盾的特点。在梦中伊玛代表了其他这些为梦中“凝缩作用”所抛弃的人物,但却仍把这些人物的特点多少保留下来,点点滴滴注入于梦中伊玛的形象内。

        为了解释“梦的凝缩作用”,我以另一种方式创造了一种所谓“集锦人物”——将两个以上的真实人物的特点集中于一人身上。利用这种方法,我在梦中制造出M医生,他以“M医生”为名,并且言行均同于平时的M医生。但他所生的病以及身体上的特征却与属于另一个人物——我的长兄。而苍白脸色,由于是他们两人的共同特点,所以较无特别意义。梦中的R医生同样地,是R与我伯父的“集锦人物”,但这个“集锦人物”却是用另一不同方式所编造出来的。这次我并未将两个人物的记忆中的特征予以合并,相反地,我采用了嘉尔登制造家人肖像的方法——我将两个人物复叠在一起,而使两人的共同特征得以更趋明显,而彼此不同的特点反倒互相中和而变得模糊。这书中我伯父的“漂亮胡子”得以出现,就因为这是R与我伯父两人面相上的共同特点。至于,说到那胡子渐渐变灰色,则可以引申到我父亲与我自己。

        “集体”或“集锦”人物的产生是“梦凝缩”的一大方法。

        我们马上又可应用在另一种联系上。

        “伊玛打针”的梦所提到的“痢疾”这个名词也有好几种解释,它可能是由“白喉”这个字音的相近所引起的,但另一方面,它可能是影射到我送她去东方旅行的那病人(她的“歇斯底里症”是个误诊)。

        梦中所提到的propyls这个字也是一个非常有趣的“凝缩”产物。在“梦思”里其实是amyls这个字较有分量,很可能这是在梦形成时,两字之间发生了简单的“置换”。而事实上由以下的补充分析,可以看出这种置换完全是凝缩的结果:如果我对propylen这个德文字沉思一段时间,那么它的同音字propy-laeum一定会自然浮现出来的,而propylaeum〔5〕并不只有在雅典才找得到,在慕尼黑也可以看到。而约在做这梦的一年前,我曾去慕尼黑探望一个病重的朋友,而这位朋友就是我曾与他提过trimethylamin这种药物的人,因此由梦中紧接着propyl跑出trimethylamin,更可支持这种说法。

        就像在其他的梦分析一样,我在这儿发现了一大堆对等意义的联想,而使我不得不承认在“梦思”中的amyls确实是在“梦内容”中被propyls这个字所取代。

        一方面,这梦牵涉到有关我的朋友奥图的一些意念,他不了解我,他认为我有错,他送了我一瓶含有amyls怪味的酒……,而另一方面,与前者成对比的,又有一些有关我那住在柏林的朋友威廉的意念,他真正了解我,他永远认为我是对的,而且他曾供给我一些很有价值的有关“性”过程的化学研究资料。

        在有关奥图的意念中特别引起我注意的都是一些引起梦的近因,而amyls是属于较清楚的成分,以致在内容中占有一席之地。至于有关威廉的意念则泰半是由威廉与奥图两人之间的对比所激发,并且其中各成分均与奥图的意念有所呼应,在这整个梦里,我一直有种明显的趋向——摒弃那些令我不愉快的人物,而亲近其他能与我共同随心所欲地对付前者的人。

        因此属于奥图意念的amyls使我连想到属于威廉意念的trimethy-lamin(两者同样是属于化学的领域),而这意念由于受到心理各方面的欢迎而得以于“梦内容”中脱颖而出。

        amyls本来也可以未经改装地遁入梦内容中,但却由于这字眼所能涵概的意念,可以由另一威廉意念的字眼所包括而失败。propyls既与amyls这字看来相似,而且它又可以在威廉意念间以慕尼黑的propylae-un找到联系。因此两意念集团间乃以propylspropylaeum发生关联,而双方有如经过了妥协,而以这中间产物出现于梦内容中。于是就这样造成了一个具有多种意义的共同代号。也唯有透过这种多种意义的字眼才得以深窥“梦内容”的究竟。因此,为了形成这种共同代号,梦内容中注意力的转移必定发生于某些在联想范畴内接近该重点的小节上。

        由这个“伊玛打针”的故事多少已使我们看出梦的形成过程中凝缩作用所扮演的角色。

        我们发现“凝缩作用”的特点即在梦内容中找出那些一再复现的原素,而构成新的联合(集锦人物,混合影像)以及产生一些共同代号。至于凝缩作用的目的以及所采用的方法,需待我们讨论到梦形成的所有心理过程以后再作更深入的研究。目前且让我们先就所得的结果作一整理,我们所找出来的事实是这样的:由“梦思”与值得注意的“梦内容”之间的联系正好由“梦凝缩”补缀。

        梦中的“凝缩作用”一旦以“字”或“意义”表达的,更容易为吾人所了解。一般而言,梦中所出现的“字”往往被视为“某种东西”,而与东西所附带的意念一般、也需经过同样的结合变化,因此这种梦就产生了各种各类滑稽怪诞的新字。

        1、一位同事寄来一份他写的论文,其内容就我看来似乎对最近生理学的发现有些过高估计,并且也对他自己运用了不少言过其实的话。于是当天晚上,我梦见了一句很明显地针对这篇论文所发的批评:“这的确是一种norekdal型的”,这个新字的形成乍看的确令我摸不着头脑,这字无疑地是一些最高层的形容词colossal(巨大的)pyramidal(顶尖的)

        之类的谐谑模仿,但我却无法找出字源到底来自何处。最后,我才发现这怪字可以分成两个字Nora与Ekdal,而这分别来自易卜生的两部名剧,不久前我曾读过报上一篇有关易卜生的评论,而这篇论文的作者的最近一篇作品,正是我梦中所批评的对象。

        2、我有一位女病人梦见一个男人,长着漂亮的胡子以及一种奇异的闪烁眼神,手指着挂在树上的一块指示板,上面写着:“uclamparia—wet”〔6〕。

        分析:那男人长相颇具威严,其闪烁之眼神马上令她想起罗马近郊之圣保罗教堂里,她所看到的镶嵌细工制成的教皇绘像。早年的教皇中有一位具有金黄色的眼睛(其实这是一种视觉的幻象,但却常常引起导游者的注意)。更深一层的联想显示出这人的整个长相确实与她的牧师相似,而那漂亮胡子的造型使她联想到她的医生(我弗洛伊德本人),而那人的身材却与她父亲相仿佛。这些人对她而言,均有一种共同关系——他们均引导指示她生命之道。再进一步地探询,金黄色的眼睛——金子——钱——所受精神分析治疗花费她不少金钱,而使她非常痛心。金子,更使她联想到酒精中毒的“金治疗法”——D先生,要是他不患上酒精中毒,她就会嫁给他——她并不反对别人偶尔喝点酒;她本身有时就喝点啤酒或普通的酒。这又再度使她回想到圣保罗教堂及其周遭环境。她想起当时她曾在这附近的一所叫TreFontane(三泉)的寺庙里饮了一种Troppist(天主教之一支)僧徒由“尤加利树”所制成的酒。接着她告诉我,这些僧侣如何在这沼泽地带种植尤加利树,而把整片沼泽荒地化为良田美亩,因此ub clamparia这个字可以看出是由eucalyptus(尤加利树)与malaria(疟疾)两字所合成,至于wet(潮湿)这个字则由该地区以前为沼泽地区所引起的联想。

        还有,wet(潮湿)有时也暗示着反面的dry(干燥)。而巧的是,那位要是不沉迷于酒杯中,便可与她成婚的男人名字便叫Dry。这怪名字Dry是来自德文字源(德文drei意为“三”),因此,这又影射到“三泉”寺庙。在谈及Dry先生的酒癖时,她曾用了如下的夸张说法:“他可以喝掉整座泉水。”而Dry先生自己也曾自我解嘲地说:“由于我永远‘干涸’(dry,意指其名字而言),所以我必须经常喝酒。”而eucalyptus(尤加利树)也意指着她的心理症,这毛病最初曾被误诊为Malaria(疟疾),由于她的焦虑性心理症发作时,总会发冷发热以致在意大利时曾被人以为是疟疾。而她本身也深信由那些僧侣手中买到的尤加利树汁的确多少治好了她这毛病。

        因此,“uclamparia—wet”这凝缩的产物正是梦者的心理症与其梦的交会点。

        3、这是一个我自己的较冗长混乱的梦,主要情节在于航海旅程中,我突然想起下一站为Hearsing港,而再一站为Fliess。后者正好是我一位住在B市的朋友的名字,而B市是我经常往访的城市。而Hearsing这个字则是采用了一般维也纳近郊的地名所惯有的ing字尾,如Hietzing,Liesing,Moedling(古代米底亚字,meaedeliciae,意即“我的快乐”,而德文“快乐”就正是我的名字Freude这个字)。然后再拼凑上另一个英文字Hearsay,意即诽谤、谣言,而借此与另一白天所发生的无关紧要的印象发生关联——一首在Fliegende BlaEtter的刊物上讽刺中伤侏儒SagterHatergesagt(Saidhe Hashesaid)

        的诗。还有,由Fliess与ing字尾凑成的字Vlissingen确实有这地名,这正是我哥哥由英国来访问我们时所经过的港口。而Vlissingen在英文称之Flushing,意即Blushing(脸红),而使我想起一些罹患Erythrophobia(惧红症)的病人,这种病例我曾处理过几个,还有,最近贝特洛所出版的有关这方面的心理症的叙述,颇引起我的愤慨〔7〕。

        第一个看了这本书的人对我作了如下的批评,而后来的读者可能也会赞成,“果真如此,梦者未免都表现得太诙谐而富有机智吧?”然而,事实上就梦者而言,确实是如此的,唯有将这种批评引申到梦的解析者身上时,才会遭到反对,如果我们的梦呈现得诙谐,并非我个人的错误,而是梦形成时所处的特别精神状态,而这与急智、滑稽的理论大有关系。梦之所以会变得诙谐,多半都是由于表达意念的最直截了当的方法往往行不通所致,我的读者们可能会相信我的病人的梦所表现的诙谐并不下于我自己所提出的梦。因此,这种批评迫使我再作“梦工作”与急智的比较研究。

        4、在另一个场合里我作了一个分成两部分的梦。第一部分是一个我清晰记得的单字Autodidasker,而第二部分则为我几天前所做的梦内容的翻版,而这梦引致我在下次见到n 教授时,一定得告诉他:“上次我曾请教您的那病人确实正如你所料的,是个心理症的病人”。因此,这新创的字Autodib dasker不仅含有某种隐意,并且这意义必与我对N教授的诊断予以推崇的决定有点关系。

        现在Authordidasker这个字可简单地分成Author(德文“作家”即Autor)

        Autodidact,以及Lasker,而后者可联想到叫Lasalle的名字。这第一个字“Author”就做梦的这段时间而言正有一番特别意义。当时,我给太太买了好几本我哥哥好友(他是一位名“作家”)所作的书回家,而就我所知,此人(名叫J.J.David)与我谊属同乡。有个晚上,我太太告诉我,David的一本小说(描述天才的糟蹋)曾使她深深地感动,于是我们的话题乃转入如何发掘自己子女的天才才不会糟蹋了他们,而我安慰她说,她所惧怕的这种差错绝对可以用“训练”来弥补。当晚,我的思路走得更远,满脑子交织着我太太对子女的关怀以及一些其他杂事,而有些那小说作者告诉我哥哥有关婚姻的看法也引导我的意念遁入旁支而产生梦中种种象征。这条思路引至Breslau这地名,一位我们熟悉的妇人结婚后就搬到那地方去住,而在Breslau,我找到两个人名Lasker和Lasalle。这两个例证均可用来证实我的担心——“我的子女将会被女人毁弃一生”,这两个例证同时代表了两种引致男人毁灭的路〔8〕。

        这些“追逐女人”所引起的意念,使我联想到我的哥哥,他迄今仍旧独身,名叫Alexander,而我看出来,我们惯于简称他Alex的这发音,酷似Lasker的变音,而经由这事实使我的思路又由Breslau折往另一条道路。

        然而,我所作姓名、音节的拼弄工作同时还另有一种意义。这代表了我内心的某种愿望——希望我哥哥能享受家庭天伦之乐,而用以下方法展示出来:在描述艺术家生活的小说中,由于其内容与我的梦思有所关联,所以更待追查。这出名的作者借着书中主角Sandoz把他个人以及其家庭乐趣全盘托出。而这名字很可能经由以下步骤加以变形:Zola(左拉)

        如果颠倒过来念(小孩最喜欢将名字倒念的)便成了Aloz,但这种改装仍嫌不够,于是Al的这音节,借着与Alexander这字第一音节的雷同,蜕变成该字第二音节Sand,而凑成了Sandoz这书中人物的名字,而我的Autodidasker 也就利用这种同样方法产生出来。

        至于我的幻想“我要告诉N教授,我们两人一起看过的那病人确实患上了心理症”可以由以下方式产生:就在我要开始休业度假时,我碰上了一个棘手的病例。当时以为是一种严重的器官毛病,可能是脊髓交替退化病变,但却无法确实证明出来。这其实大可诊断为“心理症”而省了一大堆麻烦,但因为病人对“性”方面的问题均力加否认,而使我不愿意率作这种诊断。由于这种困难,使我不得不求助于一位我最佩服的权威医师。他聆听了我的质疑以后,告诉我:“你继续观察他一段时间吧!我想他可能是心理症病人。”因为这位医师并不赞同我关于心理症病源的理论,所以虽然我并不反驳他的诊断,但我却仍保留了内心的怀疑。几天以后,我告诉这病人,我实在无能为力,而劝他另访高明。然而,出乎意外地,他到这时才坦白向我承认过去他曾对我撒谎,他自觉羞惭歉疚,接着他终于告诉我一些我早就猜测出来的性问题的症结,而有了这些才使我能够确实诊断“心理症”。这可真使我松了一口气,但同时,我又自觉不无憾意;毕竟我不得不承认我所请教的那位前辈,他能够不为性问题的付诸阙如而受挫,仍能作出正确的诊断,的确技高一筹。因此,我决定下次与他碰面时,一定马上告诉他,事实证明他是对了,而我是错了。

        以上便是我这梦中所要做的事。但果真我承认了我的错误,又可达成什么愿望呢?我真正的愿望便在于证明我对子女的担心是多余的,也就是说,在梦思中所采用的我太太的恐惧可因此证明为错误。梦中所叙述的事实之对错与梦思中之核心并未曾脱节。于此我们有同样的两种抉择,由女人引起的机能性或器官性的病症,或者是由真正的性生活引起的——也就是说“梅毒性瘫痪”或“心理症”,同时Lasalle的毁灭又与后者有间接的关系。

        在这结构完整的(并且经过解析后意义清晰的)梦里,n 教授不只代表这种类推所产生的结果以及我想证明自己错误的愿望,也不只是由Breslau这地名联想到那位婚后住在那儿的朋友,梦中N教授的出现尚与当时我们一起看病人以后的闲谈有些关联:记得当他看完了那病人,除了提出前面提过的建议以外,他问我:“你有了几个孩子?”“六个。”他以一种关切的、长者的神态再问我:“男孩还是女孩?”“男女各三个,他们是我最大的骄傲与财富。”“嗯!你可得小心些,女孩子较没有问题,倒是男孩子日后的教导并不简单!”我回答他,至少到目前为止,他们都还十分听话。很明显地,这种有关我儿子将来的说法使我不太愉快,就有如他当时对我那病人的诊断以为只不过是心理症而已。于是,这两件前后连续发生的印象便因此而并在一起,而当我在梦中加入了心理症的故事时,我便利用它来代替了有关孩子教育的对话,其实,这些我太太所担心焦急的孩子问题才真正更与梦思的核心发生关系。因此,虽然我对N教授或所提出的儿童教育问题引起的隐忧也遁入内容中,但它却隐藏于我的希望:“证明自己这种担心纯属一种杞人忧天”,而这幻象便同时代表了这两种互相冲突的选择。

        “考试的梦”在解析时也遭到了这种同样的困难,我已于“典型的梦的特征”里提到过。梦者所补充追加的一些联想资料往往并无法足够解析的需要。对这类梦更深一层的了解则有待更多的这种梦的搜集。不久前我所提过的安慰词句如:“你早就已是一个医生了”

        等,其实并不只是一种安慰,而且也是一种谴责。这可以有另一种弦外之音:“你已活了这般岁数,却仍做出这种傻事,仍犯了这种小孩子的毛病。”而这种自我安慰与自我谴责的混合体正是“考试的梦”也具有的特征。因此,由最后解析的那个梦看来,我们大可顺理成章地推论其“傻事”、“小孩子的毛病”均为被斥责的性行为的重复。

        梦中的文字转变为一般发生妄想病的情形仿佛,并且在“歇斯底里症”以及“强迫观念”的病人亦可看到。小孩子口语上的恶作剧,在某种年纪时,他们也真正把“字”、“话”当作对象,甚至创造些新奇的语言、自制的句法,而这些都成了梦和神经官能症的共同来源。

        对梦中的奇形怪状的新字加以解析,特别适合用来探讨梦工作之“凝缩作用”的程度。

        由以上所学的少数例子千万可别产生一种错觉,以为这些材料均属少见甚或例外的梦。相反地,这种梦例比比皆是,可惜在精神分析治疗中,梦的解析工作很少能记录下来作成报告,而且所能报告出来的解析大部分也仅为神经病理学者所能领会。

        当梦中有一些话语,确实清楚地导自某种念头时,几乎所有这种“梦中的话”均来自于“梦资料”中印象犹新的话,这些话的措辞可能完全原封不动,也可能只是稍加更动。往往“梦中的话”是由所说过的一些话东补西缀地凑合而成,句法可能不变,但整句的意义却可能变得暧昧隐涩,或甚至连句法均有改变,往往这些“梦中的话”只不过是追述重复那些印象犹新的话而已〔9〕。

     第六章-乙、转移作用

         乙、转移作用

        当我们收集以上的“梦凝缩”例子时,我们就已注意到另外一种重要性不下于“凝缩作用”的因素。某些在“梦内容”中占有重要篇幅的部分在“梦思”中却完全不是那么一回事,而相反的情形,也屡见不鲜,一些在“梦思”中位居核心的问题却在“梦内容”中找不出蛛丝马迹。而梦就是这般地无从捉摸,由它的内容往往并不足以找出“梦思”的核心。举例而言,在以前提过的“植物学专论”的梦里,“梦内容”中最重要的部分显然是“植物学”,但在“梦思”里,我们主要关切的问题却是同事间做事时所发生的冲突与矛盾,以及对我自己耗费太多时间于个人嗜好上的不满。至于那“植物学”除了用来做个“对照”以与“梦思”发生一点点关联外(因为植物学一直并不是我喜欢的科目),并无法在“梦思”中找出一点地位。在我的病人所作有关沙孚的梦里,上山下山,上楼下楼是主要内容,然而“梦思”却主要为担心与“低”阶层的人发生性关系的危险。由此可见仅有梦思中之一小部分遁入梦内容内,而予以过分的夸张。还有,在我舅舅的梦中,那漂亮的胡子在“梦内容”中算得上是个核心,但却与我们分析后找出的“梦思”——追求“功成名就”的欲望,竟是风马牛不相及。由这些梦,使我们不得不相信“转移作用”的存在。但与此完全相反地,在“伊玛打针”的梦里,我们发觉了这梦的“梦内容”中每一单元的地位竟与解析后的“梦思”完全一一对应,因此分析过这种梦后,再碰到以上所举的梦例,我们不免为这“梦思”

        与“梦内容”间之崭新而不调和的关系感到惊讶。如果我们在正常生活中的心理过程发现,一个意念的产生是由一大堆意念间挑选出来后,才在意识界受到特别重视,那我们就会证实的确一种特别的心理价值(某种程度兴趣)会附着于脱颖而出的意念。但,我们却发觉在梦思中这每一个单元所受到的价值在“梦形成”时并不复存在,或并不予以考虑。由于梦思中的各种意念事实上也无法分出价值的高下,我们往往要靠自己的判断遂作决定。在梦形成时,那些附有强烈兴趣的重要部分往往成了次要部分,反而被某些“梦思”中次要的部分所取。这种情形,乍看似乎每一个意念所附的心理价值并不为梦形成所接受,反而是它所含的意义多寡才是关键。我们很容易就以为能现形于梦内容中的并不是梦思中重要的部分,而只不过是它曾多次地出现,然而,就这个假设而已并不足以使我们对梦形成的了解增进多少。

        首先,我们就无法相信,两个具有多种意义及内含价值的意念除非彼此同朝一方向,那有可能影响梦的选择。那些在“梦思”中最重要的意念往往也可能一时再出现的,因为每一个梦思的单元都是由这些核心发散出来。但,梦仍可能拒斥这些经过特别地强调并且强烈地增援的单元,而在梦内容中采纳其他只受到强烈地增援的意念。

        这种困难,也许我们借着研究梦内容的“过度决定”可加以解决。很多这方面的读者,也许都私自以为发现梦内容的各单元的多种意义并不是重要的工作。由于在分析时,我们是由各梦中的单元着手,将每个由这单元发生的联想一一记载下来,因此有关这些单元在记载的意念资料中会较容易复现的可能性难道还有所怀疑吗?由于我并无法承认这种反对意见的正确性,我现在只能说出以下的看法:在梦析中所找出的意念里,有些已与梦的核心相去甚远,而变成了似乎是为了某种特定目的而设的人为添加物。它们的目的可以很快地看出,即在“梦思”与“梦内容”之间建立一种联系,而这往往是一种牵强的联系,并且很多情形下,一旦这些重要单元在解析时未能找出,则“梦内容”中的各部分不只是不能“过度决定”,连“足够的决定”均无法做到。因此我们获得以下的结论:在梦的选择中占有决定性地位的“多种意义”,可能并非永远是梦形成的最主要因素,往往只是一些未为吾人所知的精神力量的次要产物。然而,就每一单元要进入梦内容而言,这仍是非常重要的因素,因为就我们观察所得,有些时候“多种意义”并不易由“梦资料”内找出来,而唯有经过一番心血才有所获。

        现在,我们大概可以这样假设:在“梦的工作”下,一种精神力量一方面将其本身所含较高精神价值的单元所含的精神强度予以卸除,而另一方面,利用“过度决定”的方法,于较低精神价值的单元中塑造出新的重要价值,而借着这种新形成的价值得以遁入梦内容中。

        果真这种方法的确为梦形成的步骤,那么我们就可以说,梦形成的过程中,在各单元之间发生了“心理强度的转移作用”,而由此形成了“梦内容”与“梦思”的差异。这种我们所假设的心理运作其实正是梦的工作中最重要的一环。这我们就称之为“梦的转移”,而“梦的凝缩”与“梦的转移”是我们剖析梦的结构的所发现的两大艺匠。

        我以为利用“梦的转移”来解析梦中所含的精神力量并非难事,而转移的结果便无非使梦内容不再与梦思的核心看得出有所关联,而梦只以这改装的面目复现潜意识里的梦愿望。

        而我们目前已熟悉了梦的改装,因此我们可以由此追溯出在精神生活中某种“心理步骤”对另一种所作的“审查制度”,而“梦的转移”便是达成这种改装的主要方法之一,我们必须假设“梦的转移”是由这种审查制度的影响所产生的一种精神内在的自卫〔10〕。

        在“梦形成”时,究竟“转移”、“凝缩”以及“过分解释”何者居首,何者为副且留待以后再讨论。但同时,我们顺便需要一提的,要使意念能出现于梦的第二个条件便是“他们必须能免于审查制度的拒抗”,有了这种假设,我们就可放胆地说“梦的转移”是一种不容置疑的事实。

     第六章-丙、梦的表现方法

         丙、梦的表现方法

        我们发现把潜在思潮转变为梦之显意的过程中,有两个元素在运作,梦之凝缩作用和梦之转移作用。在接下来的研讨里,我们将遇到另外一两个决定性因素,它们无疑地决定了哪些材料能够进入梦中。

        虽然有使我们讨论的进展停顿的危险,但我认为有必要先把解释梦的程序来个粗略的介绍。我得承认要把这些程序解释得清清楚楚,并且能让评论家相信不疑的最简单方法乃是用某些特殊的梦做为例子,详细的予以解释(如我在第二章对“伊玛打针”所作的分析),然后把所发现的梦思集中起来,而找出构成此梦的程序——换句话说,用梦的合成来完成梦的分析,事实上我已经在好几个梦例中根据自己的指示使用上述的方法;但我不能在此将它们发表,因为这牵涉到有关精神资料的性质问题——有许多的理由,而每一个理性的人都不会反对的,这些顾虑在分析梦时并没有太大的影响,因为分析可以是不完全,但仍旧能保有其价值——虽然它并没有深入梦的内容。但对梦的合成来说却不是这么一回事了,我认为如果不完全,那么它就不会具有说服力的,因而我只能够把一些名字为世人所不知的人之“梦的合成”公诸于世。但既然这愿望只能以我的心理症病患来达成,所以我必须把这问题的讨论暂时搁下,直到我能够把心理症患者的心理和这个题目拉在一起——在另一本书里〔11〕。

        把梦思合成以建造出梦的尝试使我领悟到由分析得来的材料并非都是具有同样的价值。

        只有一部分是主要的梦思——即是说,那些完全在梦中被置换的;而如果没有审查制度的话,它们本身就足以改变整个梦。另外的材料则常被认为不是那么重要的,我们也没有办法来支持“后者对梦的形成亦有贡献”的论调。相反的是,在梦发生之后到分析这段期间里,也许倒发生了一些使它们产生关联的事件,因而这部分材料即包括了所有由梦的显意指向隐意的连接途径,以及一些中间的连接关键——在分析的过程中,借着它们才能发现那些连接的途径〔12〕。

        目前,我们只对本质(重要)的梦思感兴趣,这些通常是一组说有多繁杂就有多繁杂的思想与记忆的综合——由一些我们清醒时所熟悉的思想串列所提供。它们常常是由许多不同的中心发出来,虽然彼此间有相连的地方。每一思想串列几乎恒常为其相反的想法所紧随,并且与它有相互的关联。

        当然,这繁杂构造的各个不同部分相互间就有很多很多的逻辑关系。它们可以表示前景或背景,离题或说明,各种情况,各种证据或是反驳。不过当整个梦思处在梦的运作的压力下时,这些元素就被扭转,被碎裂,以及被挤压在一起了——就像碎冰被挤成一堆那样——因而就产生这样的问题:构成其基础的逻辑建架变得怎样啦?梦中到底是以什么来代表“如果”、“因为”、“就像”、“虽然”、“不是这个……就是那个”等连接词呢?——如果没有这些,我们是无法了解任何句子或语言的。

        我们最先想到的回答便是,梦并没有任何方法来表现出梦思之间的逻辑关系。大体来说梦忽视这些连接词,它只将梦思的内涵夺取过来而加以操纵处理〔13〕。而分析过程的工作即是要把这被梦的运作破坏了的联系重新建立。

        梦之所以无法表达出这种连接关系乃是基于造成梦的精神材料的性质所致。就像是绘画和雕刻所受到的限制,它们不像诗歌那样能够利用语言;而基于同样的理由,它们的缺陷都源于那些它们想利用来表达一些想法的材料上。在绘画寻得其表达原则以前,它曾经尝试过要克服这缺陷——在古代的绘画中,人物的口中都吊着一些小小说明,用来叙说画家无法用图画来表白的念头。

        现在,也许有人会对梦无法表现逻辑关系表示异议。因为在有些梦中往往有最繁杂的理智运作——反对或证实某些叙述,甚至加以讥讽或比较,就像是清醒时的思想一样。但是这又一次说明了外表常常是骗人的。如果深入分析这些梦时,我们会发现这整个思潮不过是梦思材料中的一部分,而不是在梦中所产生的理智运作。这外表看来像是思想的东西,不过是重现了梦思的主要材料而不是它们之间的相互关系——这是思想所要表现的。我将要提出一些有关这方面的事实。最简单的是,梦中所说的句子(所特别描述的),不过是一些未经改变,或稍有变动的梦思材料而已。这种常常不过暗示了包括在梦思中的一些事件,而梦的意义也许和它差距十万八千里。

        但我却得承认重要的思想活动——并非是梦思材料的重现——确实在梦的形成扮演重大的角色。在完成本题目的讨论后,我将阐述这思想活动所扮演的部分。那时我们就会明了这思想活动并非由梦思产生,而是在梦完成后(由某一观点来看),由梦本身而来的(请看本章后一节)。

        我们暂时可以这样说,梦思之间的逻辑关系在梦中并没有任何独立的表示。譬如说,如果梦中产生矛盾,那么这矛盾不是由于梦本身便是由于某一个梦思的内涵所致,梦的矛盾只能在非常间接的情况下才和梦思之间的冲突有所关联,但是就像绘画(至少)终于能够找到一种方式——而不再是那种小小说明的——来表白那些文字的意图(如感情、威胁、警告等),梦亦有可能用某些方式来阐述梦思之间的逻辑关系——对梦的表现方式加以适当的改变。实验显示出各种不同的梦,(由这观点看)都有表现方式不同的“改变”。有些梦完全不理其材料之间的逻辑关系,另外一些则尝试尽量加以考虑。因此,梦有时与其处理的材料相差不远,有时却又有巨大的相差。同样,如果梦思在潜意识中有着前后的时间顺序时,梦对它们的处理亦有着相似的变异幅度(如在伊玛打针的梦一样)。

        到底梦的运作如何决定梦思之间的这些(逻辑)关系(而这是梦的运作所难以表现的)

        呢?我将一个一个地加以说明。

        梦首先,粗略的考虑,存在于梦思之间的相关——这无疑是存在的——把它们连成一个事件。因而产生连续性(时间)的逻辑连接。由这点看来,梦就像是希腊或巴拿树〔14〕画派的画家一样,把所有的哲学家或诗人都画在一起。这些人确实未曾在一个大厅或山顶集会过;但是由思想来看,他们确是属于一个群体的。

        梦很小心地遵循此法则,甚至细节亦不放过。不管什么时候,只要梦把两个元素紧拉在一起,那么这就表示在相关的梦思之间必定存在着某些特殊的亲密关系。这就和我们的文字相似,“ab”表示这两个字母是一个音节。如果在“a”及“b”中间有个空隙,那么“a”

        就是前一个字的最后字母,而“b”是另一个字的起头〔15〕,所以,梦中二元素的并列并非是不相连的梦思借着机率而并接在一起,其实在梦思中这部分亦是具有相似的关系。

        为了表现这因果关系,梦有两种在本质上相同的程序。假设梦思是如此的:“既然这是如此的,那么,那个等等必会发生。”最常见的表现方法便是以附属子句做为起始的梦,而那主句就是“主要的梦”了。而时间的前后关系可以倒过来。但通常梦的重要部分是和主句对应的。

        我的一位女病人有一次叙述了一个梦,它是表现梦的因果关系的极好例子,我将在后面把它完完全全地写出来。梦是这样的——它具有一个短的序曲,然后是牵涉非常广泛的梦,不过却紧紧围绕一个主题。也许可以称之为“花的语言”。

        起始的梦是这样的:她走入厨房,那时两位佣人正在那儿。她挑她们的毛病,责备她们还没有把她那口食物准备好。在同一时间里,她望见一大堆厨房里常用的瓦罐口朝下的在厨房里累叠着以让内壁滴干。两个女佣人要去提水回来,不过要步行到那种流到屋里或院子的河流去汲取。然后梦的主要部分就这样地接下去:她由一些排列奇特的木桩的高处向下走,觉得很高兴,因为她的衣裙并没有被它们勾着……

        起始的梦和她双亲的房子是相关联的。毫无疑问,梦中的话是她妈妈常挂在口边的。而那堆瓦罐是源导于同一建筑物内的小店(卖铁器的)。梦的其他部分由说到她父亲——他常常追求女佣人,而最后在一次河流泛滥中,罹患重病死去(他们的房子靠近一河流)。因此,藏在这“起始的梦”的意义乃是:“因为我在这房子出生,在这卑鄙以及令人忧郁的环境……”主要的梦亦肯定有同样的观念,不过却以一种愿望的满足将它加以改变:“我是由高贵世家来的”,所以隐藏的真正观念是这样的:“因为出生是如此卑微,所以我生命的过程就是这样的了。”

        就我所知,把梦分成这不相等的两份,并不永远表示这后面的梦思与前面具有因果的关系。反而,我们会觉得同一材料常常以不同的观点各自出现于这两个梦中(当然,晚上那系列最终导至射精或高潮的梦就是这样的——这是一系列将肉体需求愈来愈清楚表白出来的梦。)有时,这两个梦源于梦思不同的中心,不过其内涵有点重复。因而这梦的中心在另一梦中只是线索式的存在着,而在这梦中不重要的部分却是另一梦的中心。但是在某些梦中,把它分为一个短的前言和一较长的主要部分正表示这两半有着显著的因果关系。

        另外一个表现因果关系的方法则牵涉较少的材料,它把梦中的一个影像(不管是人或物)变形成另外一个。当变形在目击下发生时,我们才要真正地考虑其因果关系——而不是在那种仅仅是某物代替了某物的时候。

        我已经说过这两种方法在本质上是相同的,因为在这两种情况下,因果关系同样是用前后的顺序来表现的:前者是用梦的前后发生,后者却以一影像直接变形为另一个。我得承认,多数的梦例并没有表现出这因果关系,它们已在梦的过程中,因为不可避免的各元素之混淆而消失了。

        那种随便一个都可以的“不是这个——就是那个”的情况在梦里是无法表现的。它们常常各自插入梦里,似乎二者都是一样的有效(译者按:其实只有其中之一能够成立)。伊玛打针就是一个现成的例子。很清楚的,它的隐意如下:“我不用替伊玛仍旧存在的病痛负责;因为这不是由于她拒绝接受我的治疗,就是源于她生活在那不合适的性生活,再不然就是因为她的病痛是器官性,而非歇斯底里的。”这梦完完全全地满足了这些可能(其实它们却是排他性的——不同时存在)。如果合乎梦的愿望,它也会毫不考虑地加上第四个可能。

        在分析完这梦后,我把“不是这个——就是那个”加入梦思的内涵中。

        但是如果在重新制造一个梦的时候,如果想要运用“不是这个——就是那个”——譬如说“这不是花园就是客厅”——那么呈现于梦思的就是“和”一个简单的加法而已。

        “不是这个——就是那个”通常是用来指一个含糊的梦元素——但是却能够被分开的,在这种情况下,解释的原则是:把两个情况看成同样有效,以一个“和”字把它们串连起来。

        譬如说,有一次我的朋友逗留在意大利,我恰好有一段时间没有他的地址。那时我梦见收到了附有他地址的电报。它是以蓝字印成电报体,第一个字是模糊的:“Via(经由)”

        或者是“Villa(别墅)”

        或者是“Casa(房子)”

        第二个字很清楚是:“Seo”

        第二个字念起来有点像意大利的人名,这提醒了我和这位朋友讨论过的词源学题目。并且也表露了我对他的愤怒,因为他把住址匿藏那么久而不告诉我。但是第一个字的三种可能情况却在分析后变得各自独立并且都能成为一个思想串列的起点〔16〕。

        在家父出殡的前一天晚上,我梦见一个布告(招贴或者海报)——倒有点像在火车站候车室内贴着的那种禁止吸烟的布告——上面印着:

        “你被要求把两只眼睛闭上”

        或是“你被要求把一只眼睛闭上”

        我通常把它写成:

        “Youarerequestedtoclosetheaneye(s)”

        这两个不同的说法有各自的意思,在分析的时候就导致不同的方向。我那时选择了最简单的送殡仪式,因为我很清楚家父对这种仪礼的看法,但是家里其他的成员对这种清教徒式的简单葬礼并不那么欣赏,认为会被那些参加葬礼的人们所轻视。所以,其中一句话:“你被要求把一只眼睛闭上”——这就是说,闭着一只眼,或是忽视的意思。在这里我们很容易发现“either—or”所表现的模糊的意义。梦的运作不能用单一字眼来表现出梦中呈现的模棱两可,因而这两道思潮即使在梦的显意中亦开始分道扬镳了〔17〕。

        在有些梦例中,这种要表现出“either—or”的困难是利用将梦分成相等的前后两半来克服的。

        梦处理相反意见以及矛盾的方法是值得注意的——它干脆不予以理会,对梦来说,“不”似乎是不存在的〔18〕。它很喜欢把相反的意见合在一起,或者把它们当作同样的事件来表现。它甚至会随心所欲地把相反意思取代了原先的元素而在梦中表现;因此我们不能一眼望过去就决定一个相反的元素在梦思中是否亦是如此的存在或者恰好相反〔19〕。

        在前面刚提到的一个梦里,我们已经解析过它的第一个句子(“因为我的出生是如此这般”)。在这梦里,病人梦见自己正由一些高低排列的木桩上步行下来,而手里握着开花的枝条。因为这影像,她想起了那手持百合花宣告耶稣诞生的天使画像〔20〕——而她的名字恰好又是玛丽亚——同时也令她回忆当街道用青色树枝装饰,举行“耶稣圣体游行”时,那些穿着白袍步行的女孩子。因此,梦中这开花的枝条无疑的暗示着贞洁——枝条上长着红花,看起来就像是山茶花。梦是这样进行的,当她走下来的时候,花已经大部分枯萎了。然后,接着一些无疑是月经的暗示——看来,这似乎是纯洁少女,握着同样的像是百合花(译者按:纯洁的意思)般的枝条是影射着茶花女:她平时戴着白色的山茶花,但在月经来临的时候,则戴着红色的。这带花的枝条〔歌德诗“Der Mülleri”中的(少女的花)〕

        同时代表着贞洁以及其反面。而这梦表现她对这一生纯洁无瑕的欣悦,但是在某几个部分却泄露了相反的概念(如花的凋谢)——提示出她因为各种有关贞洁过失而引起的罪恶感(即是说,在她孩童时期发生的)。在分析梦的过程中,我们能够很清楚的把这两道思想分开,自我慰解的那部分比较表面化,而自责的那部分较为深藏——这两道想法是全然对立的,不过相反但性质相似的元素却在梦的显意中以同样的事件表现〔21〕。

        梦的形成机转最喜爱的逻辑关系只有一种,那就是相似,和谐,或者是相近的关系——即“恰似”。这关系和别的不同,它在梦中能以各种不同的方式表现〔22〕。梦思间早已存在的平行或“恰似”的关系是架构成梦的第一个基础,而梦的运作大部分不过是在制造一些新的平行关系来替代那些已经存在但是无法通过审查制度的阻抗者。梦的运作是倾向于凝缩,因而它赞助这种相似的关系。

        相似、和谐、所谓具有相同归属的——在梦中却以单元化来表现;这些关系或者早就存在于梦思间,或者是新近才被创造出来。第一种可能可以称为“仿同”,第二种则称为“集锦”。仿同是用在人身上,而集锦则指对事物的统一。不过“集锦”亦可施用于人身上。而地方则常常被当作人一样看待。

        在仿同作用里,只有和共同元素相连的人才能够表现于梦的显意中,其他人则被压抑了。但是这个梦中单一的封面人物出现于所有的关系及环境中——不仅是他自己,并且也概括了其他的人物的。在集锦作用里,这种情形就扩展到人的关系——这梦的影像概括了各人所持有的特征,但不是每个人所共有的;因而这些特征的组合导致了一个新的单元化,一个新的合成,集锦的实际过程可以有好几条,有时,梦中人具有一个和它相关的人的名字——在这情况下,我们一眼就能看出来,因为这和醒着的知识相同:这正是我们要的人——而外观却是别人的样子。或者,梦的影像可以一部分像某人,一部分又像另一个人。或者这第二人的涉及并非是外观的,而是存在于梦中人的姿态,说话和所处的情况中,在最后的这种情形下,仿同和创造一个集锦人物间的分野就不那么清楚了〔23〕。但是,要制造一个像这样的集锦人物的尝试可以遭遇失败。在这情况下,梦中的景物就只像是属于其中一个有关的人物,别的角色(而通常是最重要的),则变为一些附随的,而不具有什么功能。做梦的人有时会用这些词句来形容该种情况:“我妈妈也在那里。”梦内容中的这元素也许类似于像形文字中的决定性因子——不是发音,而是用来说明别的符号的。

        造成两个人物结合的共同元素也许会表现于梦中,也许会被删除。一般来说,仿同或者是建造一集锦人物的理由是为了避免表现出这共同元素。为了避免说,“A仇视我,B亦是如此。”所以我在梦中制造一个由A和B合成的人物,或者幻想A在做一些为B所特有的行动。这样造成的梦中人因而有了新的连接。而它代表了A和B的情况使我能够很合理的在梦的适当时间内穿插一个它们共有的元素,即是说,对我的仇视态度。利用这种方法常常能使得梦内容得到显著的凝缩;如果我能够利用别人而把相同的情况表现得清楚,那么就可以省去了直接表现某人的情况所需的繁琐。我们亦可以很容易地看出,这种利用仿同作用来表现的方法亦可以用来逃过审查制度的阻抗,而阻抗正是梦之运用的严厉一面。审查制度所反对的,也许恰好落在梦思中某一特殊人物的特定意念上;所以我就寻找另外一人,他也和这被反对的材料有关,不过涉及较少。由于这两人不被审查通过的共同点使得以建造一集锦人物——它具有了两人其他无关重要的特征。不管是源于仿同或集锦作用,这人物于是被允许进入梦内容而不被阻抗。所以利用梦的凝缩作用,我满足了审查制度的要求。

        当梦表现出两个人共有的元素时,这往往暗示着另一个被蒙蔽的共同元素,不过却因为审查制度而无法表现。共同元素常常利用置换作用来达到顺利表现的目的,因此,梦中集锦人物所具有的无关紧要的共同元素使我们能下这样的断语:梦思中必定还有一个不是如此不紧要的共同元素。

        根据以上的讨论,仿同作用或者是集锦人物具有下列意义:首先,它代表两个人之间的共同元素。第二,它代表一件被置换了的共同元素。第三,它仅仅代表了一种一厢情愿的共同元素。因为希望两个人具有共同元素的想法,常常和这两人的置换不谋而合,所以后者在梦中亦是以仿同作用来表现,在伊玛打针的梦中,我希望将她和另一病人置换:那就是说,我希望另一病人和伊玛一样亦在接受我的治疗,梦达成这愿望的方法是,呈现一个叫伊的妇人,不过她被检查 的方式却是我以前看到另一妇人所接受的情况。在关于我叔叔的梦里,这种交换成为梦的中心:我利用处置和裁判同事把自己比喻成部长。

        根据经验,我发现每个梦都是关系着做梦者本人,丝毫没有例外,梦完全是自我的〔24〕。当自我不在梦内容中出现,反而代之以外人时,我可以很有把握地说,自我一定利用仿同关系隐藏在这人的背后;因而能够把本人的自我加入梦内容里。在别种的情况下,如果本人的自我确实出现于梦中,那么亦可知道别人的自我亦借着仿同作用而隐匿于本人的自我后面。因此在分析这种梦的时候,常常得注意我和此人所共同具备的隐匿元素(而这元素是连接在此人身上的)。在别的梦里,自我起初是附着在别人身上,不过当仿同作用消失后又再度回复到本人的自我来。这些仿同因而使我得以细察在自我的意念中,哪些部分是审查制度所不通过的。由于这种原因,自我在梦中可以经过数度交迭,有时直接呈现,有时却又经由仿同别人而表现,借着好几个仿同作用,它乃能把好多好多的梦思凝缩起来〔25〕。这种梦者本人的自我在梦中会数次呈现或者以不同的方式表现,基本上是和在清醒的思考中、自我亦会出现于不同的时间,不同的地点或关联没有两样——譬如这句子,“当我想我以前是多么健康的一个孩子。”

        至于地点名称的仿同要比人来的更容易了解,因为在梦中具有重大影响力的自我没有牵涉在内。在我的那个关于罗马的梦里,我发现自己处身于一个被称为罗马的地方,不过却因为看到街头大量的德文招贴而感到非常惊奇。后者是种愿望达成,立刻使我想到布拉格;而这愿望也许源于我童年时代度过的德国国家主义时期(而这已经是过去的〔26〕。在做这梦时,我有希望在布拉格遇见朋友(弗利斯);所以罗马和布拉格的仿同可以解释成一种愿望的共同元素:我愿意在罗马遇见朋友,而不想在布拉格。而且这会见的目的使我乐于将布拉格和罗马交换。

        这种制造集锦结构的可能是使梦常常披上一层奇幻外衣的最主要因素。因为它在梦内容中导入了一种不能由感官真正感受到的元素〔27〕。这种建构集锦影像的精神程序很明显地和清醒时幻想或涂绘恐龙以及半人半马怪物的情况相同。唯一的不同点是,清醒时,意欲创造的新构造本身决定了这想像物的外表;而梦中集锦的影像却取决于一些和它外表无关的因素——即梦思所含的共同元素。梦中的集锦物可以有好多种方法去完成。最单纯的方法便是只以某物直接表现,不过这种表现却暗示着它仍有别的归属。更复杂的方法则是把两个物体合成新的影像,而在结合过程中,巧妙地利用了两者在现实中所含有的相似点。新的产物也许是怪诞离奇,也许要被认为是高明的想像,这要看原来的材料是什么,以及其拼凑的技巧高下而定。如果凝缩成一个单元的对像是太过不和谐,那么梦的运作常常制造一个具有相当明显的核心,但附随着一些不明显的特征后就心满意足了。在这种情况下,我们可以说,把材料组成一个单元化影像的努力是失败了。这两种表现方法互相重复出现,产生一些性质相当于两种视觉影像竞争的东西。在绘画上,如果我们想表现许多个人体认的意像所形成的一般概念时,亦会产生出同样的情形。

        梦当然是这许多集锦的组合。在前述的梦的分析中,我已经提出了许多例子;以下我将多补充几个,下面这个梦是以“花的语言”来描述病人的生命过程:梦中的自我在手中握着开花的枝条——而我们说过,这代表着圣洁以及性的罪恶。由于花朵的排列情形,这枝条也向梦者暗示着樱花,而这些花儿,如果个别来看则是山茶花而且给人的印像是,花是加上去的。这集锦物各元素间的共通点可以由梦思中显示出来。开花的枝条暗示着那些要赢取,或者想获得她好感的人努力所贡献的礼物。因此,小时候她得到樱花;后来得山茶花树;而那个花看来像是加上去的外表则像征着一位常常外出旅行的自然学者为了获取她青睐所贡献关于花的图画。另一位女病人在她梦中则浮现了一个这样的东西——像是海边沐浴用的茅屋,像是乡村房子外面的厕所,又像是小镇子的顶楼。前面两个元素的共同点是关于人们的赤裸与脱衣;而与第三者的连接则可以得到这样的结论(在她小时候),顶楼亦是和脱衣有关。

        另外一个男人则在梦中产生了两个地点的集锦——而在这集锦物里进行“治疗”。其中一个是我的诊疗室,另外一个则是他第一次邂逅太太的娱乐场所。一个女孩则在她哥哥答应请她吃一顿鱼子酱后,梦见这哥哥的脚沾满了鱼子酱的黑色颗粒。这“感染”的元素(道德上的意思)和她回忆起小时候布满双脚的红疹(而不是黑的),以及鱼子酱的颗粒组合成一个新的概念——意即她由哥哥那里得到的。在这梦里(别的梦也一样),人体的一部分被当作物来看待。在费连奇报告的一个梦中,那个集锦的影像由医生和马所组成,并且穿着睡衣。在分析过程中,这女病人体会到睡衣像征着小时候她父亲在某一情境的影像,因此这三个元素的共同点也就明了了。这三部分都是她性好奇心的对像,当她年轻的时候,保姆时常带她到一个军队的养马场去,因而她有许多机会来满足她那未被压抑住的好奇心。

        我在前面已经说过梦没有办法表达矛盾或者是相反的关系——即“不”。我现在将首先提出反对的意见。有一类能够归属在“相反”前提下的例子是利用仿同作用的——在这些梦例中,交换或者取代的意念是和相反情况关联着。关于这点,我已经举过了许多例子。另外一类则归属于一种我们可称为“刚好相反”的旗下,它是以一种奇特的方式呈现在梦中——似乎可以把它形容为玩笑。这个“刚好相反”并不直接呈现在梦中,但却经由梦内容(那些为了别的理由而创造的)刚好和它相邻接的部分的扭曲而泄露其存在的事实——就像是一种事后回想。这种方式用实际例子解释可要比描述容易多了,在一个美丽的梦,即“楼上和楼下”的梦里,表现的爬楼梯恰好和梦思的原型相反——即是这恰好和都德名作沙孚中情境相反;在梦中向上爬的动作开始困难,后来却轻而易举,而在都德的故事中开始容易,后来却困难了。另外梦者和她哥哥的“楼上”、“楼下”的关系在梦中刚好倒过来。这指出在梦思中,两件材料的关系是相反的;而我们可以看出梦者幼童式的想让乳母拥抱的幻想,不过在小说的情节中刚好颠倒,主人翁却抱着太太上楼。我那梦见歌德抨击M先生的梦也一样。在此种梦的分析中,必须弄清楚这关系,否则是无法成功的。梦里歌德抨击一位年轻的M先生;而实际存在梦思中的却是另一个重要的人物(我的朋友弗利斯),他被一个不知名的小作家抨击。在梦里,我计算歌德逝世的日子——实际的计算却是基于一位瘫痪病人的生日。

        梦思中具有决定性影响力的思想恰好和歌德应该得到疯子般待遇的意念相冲突,“刚好相反”,梦(潜匿意义)如此说,“如果你不明白书里讲什么,那么你(评论家)便是白痴,而非作者。”另外,我想这种把意义歪曲的梦都隐含着一种轻蔑的,有着这种“背叛某件事”的意念(譬如说,在沙孚的梦中,梦者把他和其兄弟的关系颠倒过来)。另外,我们亦可以看到这种梦中的相反手法时常是源起于潜抑的同性恋冲动。

        附带来说,把一件事扭转到反方向是梦运作最喜欢的表现方式,同时也是运用最广的。

        它的第一个好处乃是能满足对梦思中某些特殊元素的愿望,“如果这件事是相反的话,那该是多好!”这常常要表现自我对记忆中那些不如意部分的最好方法。还有,“相反”是逃避审查制度的有效方法,因为它产生一堆歪曲的材料——这且具有一种瘫痪的效果,譬如说,对尝试要去了解这梦的涵意泼冷水。因此,如果梦很顽固地不愿泄露其意义,那么追究梦显意里那些刚好相反的特殊元素是非常有意义的,因为经过这手续后整个情势就明朗化起来。

        除了把主题颠倒以外,我们还要注意时间的倒置,梦的改装最常见的方法是把事情的结果,或者思想串列的结论置于梦的开始部分,而把结论的前提及事情的原因留在梦后段里,因此,如果不把这原则放在脑海里,分析梦就要无所适从了〔28〕。

        在某些梦例里,我们需要把许多梦内容颠倒过来才能找到其意义。譬如说,有一个年轻的强迫症患者在某个梦中隐匿着一个自孩童时代即已存在的希望父亲死亡的记忆。这父亲又是他所害怕的。梦内容是这样的:因为他回家晚了,父亲骂他一顿。这梦发生在精神分析的治疗过程中。由他的联想看来,本来的意思一定是他生父亲的气,因为父亲回来的太早了。

        他宁愿父亲永不回来,这就等于希望父亲死去(请看第五章),因为这个男孩子在父亲外出的时候做了一件错事,被警告说:“等你爸爸回来,你就知道厉害了!”

        如果我们要更深一层地研究梦思和梦内容的关系,最好的方法便是把梦做为起点,然后研究梦表现方法中的正统特征究竟和底下的思想有什么关系。最显著的是,梦里面各种梦的影像会激发起不同的感觉强度,而梦的各段或者是不同的梦都具有不同的清楚度。

        各种梦影像的强度相差(位于我们所了解的两个极端之间)并不能够看为比真实情况来得大(这我们认为是梦的特征的,其实是掩人耳目而已),因为这和我们在真实情况中所能体会的不清楚度无所比较。我们常常会说,梦中不清晰的对像是“消逝的”,而认为更清楚的影像必定是酝酿了相当长的时间。现在的问题是,到底是梦思的什么东西决定了梦内容中各不同部分的鲜明度呢?

        我想以分析一些可能的情况来做为开始。因为梦的材料可能包括一些睡眠时所觉察到的真正感觉,所以也许有人会这样假设,导源于这些感觉的梦内容一定会有特殊的强度,或者反过来说,在梦中特别鲜明的,一定导源于睡觉时的真正感觉。不过由我的经验来看,此种假设从来没有成立过。由睡觉时所接受的神经刺激产生梦的影像比由记忆而来的清楚——这种关系是不存在的。真实与否对梦影像的强度来说是毫无影响的。

        另外,我们也许这么想,梦影像的感觉强度(鲜明度)和对应的梦思所蕴含的精神强度有关。而精神强度即相当于精神价值;即最鲜明的便是最重要的——是梦思的中心所在。而据我们所知,真正重要的元素通常是无法通过审查而进入梦内容的;但不管如何,也许它在梦中的直接衍化物亦带有一些较大的强度,并且毋需因而形成梦内容的中心。但是这种想法由梦的比较研究来看亦是不正确的。梦思中查元素的强度,和梦内容中相应元素的强度是毫无关联的:事实是“所有精神价值的完全转换”(尼采语),在梦思中举足轻重的元素,也许它的衍化物在梦中变为短暂的存在,并且在一些更强烈的影像相比之下,显得黯然无色。

        梦中各元素的强度反而是由两个独立的因素来决定,第一、完成愿望达成的元素是以特别的强度表现的(请看第七章)。第二、由分析过程看来梦中最鲜明部分乃是产生最多思想串列的起始点——那些最鲜明的元素亦是那些具有最多决定因子的。也可以这样子说:最大强度的梦元素,乃是那些借以得到最大凝缩作用者(请见第七章)。我们也许可以期望,最后终将会有一公式来表达出这两个决定因素和强度的关系。

        前述那个问题——关于梦中某一元素的强度或清晰度的原因——是不能和下面这个关于梦各个段落以及整个梦的清楚或混乱的问题混为一谈。在前一问题里,清晰度是和模糊度相对,而后者之清楚则和混乱相对。但是毫无疑问的,这两种尺度的进退关系是相互平行的。

        具有鲜明印像的那段梦,常常是含有一个强烈因素的,而暧昧不清的梦则具有一些强度较小的元素,但是梦的清楚或混乱可要比梦中元素的鲜明度来的更难于判断。的确,因为一些以后即将讨论到的理由,我们目前仍无法对前者加以讨论。

        但是在某些例子中,我们很惊奇地发现到梦的清晰与否和梦的改装没有关系,它反而是由梦思的材料直接而来(并且是梦思的一部分)。我就有一个梦,在我醒起来时,觉得结构完美、清楚与毫无瑕疵——当我在梦中仍然半睡半醒时的时候,我想要分出一类不受凝缩与置换作用影响,而属于“睡眠中的幻想”的梦,但是细察这稀有梦例时,我发现它仍然和其他梦具有同样的缺陷与隔膜;因此就把这“梦的幻想”〔29〕的分类删除了,梦的内容代表了我们长期追寻以及困扰我们(我和我的朋友弗利斯)的两性理论;而这梦愿望达成的力量使我认为这理论(刚好没有出现于梦中)是清楚与毫无瑕疵的。因此我认为是完整的梦的判断其实不过是梦内容的一个重要部分而已。在这梦例中,梦的运作侵犯了我清醒时的思想,将之篡改使我认为这是对此梦的判断,其实这是在梦中没有成功表现出来的梦思的材料〔30〕。有一回,在分析一位妇人的梦时,我遇到了和这梦相同的情况。开始的时候,她拒绝说,因为“这是非常不清楚与混乱”。终于当我重复说她不能如此确定她一定对以后,她说,有好几个人进入梦境——她本人,丈夫和她父亲——但是她却不能确定她丈夫是否就是她父亲,或者她父亲是谁,以及这类的问题。把梦和她分析过程中的联想合起来很清楚地显示出这是一个常见的故事,关于一个女佣人怀孕了,但不能知道“小孩子的父亲到底是谁”

        〔31〕,因此再度显示梦的不清晰其实乃是促成此梦的材料的一部分:即是说,这材料是以梦的形式来表现。梦的形式,或者梦见的形式是非常普遍的用来表示其隐蔽的主题。

        对梦的谅解,或者表面看来是善意的评论,常常是用来虚饰那以微妙方式出现于梦中的部分,虽然实际上是出卖了它。譬如说,一个梦者说:“梦已被抹掉”;而分析结果则显示出他回忆(童年的),他在倾听那位替他大便后抹屁股的人谈话。另外有一个例子值得详细记录,一位年轻小伙子做了一个很清晰的梦,内容提醒他有关一些仍记得清楚的童年幻想。

        他梦见傍晚时分,他在夏季游览胜地的旅馆里。他记错了房门号码,结果走入一间客房,里头的一位老太太正和两个女儿解衣就寝。然后他说:“梦在这里有个空当;少了某些东西,最后出现了个男人,他想把我抛出去,于是,我就和他挣扎。”他尽了力量,但始终没有办法记起这重要关键——而无疑的这暗示着他儿时的幻想;最后,真相大白,他所想找寻的其实在他叙述梦的隐蔽的部分时已经说出来了。这空当其实是这些要上床的妇人的生殖器开口;而“少了某些东西”,则是对女性生殖器的形容词。当他年轻的时候,他具有对女性生殖器官的好奇心,同时固执于这有关幼童的性理论——根据这理论,女人是具有男性生殖器官的。

        我想起了另外一个相类似的梦。他这么梦:“我和K小姐一起步入公园餐厅……然后就是个含糊的部分,一个中断……然后发现自己置身于妓女户,那里两个或三个妇人,其中一个穿着内衣裙。”

        分析:K小姐是他前任上司的女儿,她承认,她就像是他妹妹。不过他很少有机会与她交谈,有一次的谈话中,他们“似乎开始察觉到彼此性别的不同”,而他似乎这么说:“我是男人,而你是女人”。他只到过此餐厅一次,那是和他姐(妹)夫的妹妹一同去的——而对他来说,她是没有什么影响力的。有一回他和三位小姐走过此餐厅大门。那三位小姐是他妹妹、阿姨以及刚提到的姐(妹)夫的妹妹。三位对他来说都没有举足轻重的力量,但都是他的妹妹。他很少逛妓女户——一生中大概只有两三次。

        对这梦的分析主要建立于梦中“含糊的部分”及“中断”的基础上,因而导出他孩童时,因为好奇的缘故,曾经(虽然很不常)检视过小他几岁的妹妹的生殖器,于是后来,他就做了这个梦,像征着他对这过失的(意识的)记忆。

        同一晚上所发生的梦内容都是整体的一部分;而它们之所以会分成这许多段,同时有不同组合和数目的事实都是有意义的,这可以看成隐匿着的梦思所提供的消息〔32〕。在分析

        含有许多主要部分的梦时(一般来说,或者是同一晚上发生的梦),我们不应该忘记这可能,即这些分开,而同时又是连续着的梦也许含有同样的意义,并且是以不同的材料表达着同一冲动。如果是这样的话,那么第一个梦通常是最胆怯以及歪曲的,而接着的可能是更确定与明显。

        圣经中那个由约瑟夫解释的法老王所做的关于母牛和玉黍蜀穗的梦就是属于此类。约瑟夫的记载要比圣经上详尽得多。当国王提起第一个梦后,他说:“当我看到这景像时,就由梦中惊醒了,而在混淆以及思索这到底有何意义的当中再度入睡。然后又做了一个梦,这要比前一个来得露骨与奇异,并且使我感到惊恐与迷惑……”听完国王对梦的叙述后,约瑟夫回答说:“国王呀,这梦虽然以两种方式表现,但却具有同一意义……”。

        杨格在那篇“谣言的心理”中提到某女孩经过改装的“色情的梦”如何不经分析即被她同学识破,以及这梦如何更进一步的改装与润饰。他在叙述这许多梦的故事后,下如此的评论:“在一系列的梦中,最后一个梦影像所欲表达的思想,完全和这系列中第一个影像所欲表达的雷同,审查制度利用一连串的不同像征、置换、无邪的改装等来达到尽量延长隔离此情意综的目的。”歇尔奈尔对于这种梦的表现方法非常熟悉。他曾经描述过,并且把它和他的器官性刺激的理论〔33〕连在一起,当着是一种特别的定律:“最后由某一特殊神经刺激引起像征性的梦的构造皆遵循此一般原则:在梦开始的时候,它是以一种最遥远,最不正确的暗示描绘着产生刺激的对像,但是最后,当所有可能的图像来源枯竭后,它就赤裸的表现出刺激本身,或者是(依梦例而不同)如有关的器官或者是该器官的功能,因此,梦在指示出其器官性原因后,达到了目的……”

        峦克干净利落地肯定了这歇尔奈尔的定律。他报告的女孩的梦分为二部分,中间有一段间隔,不过是同一晚上发生,而第二个梦是以达到情欲高潮而结束。即使是没有从梦者取得详细的资料,我们亦能很详尽地分析第二个梦;但是由两梦之间的许多联系看来,我们发现第一个梦所表现的和第二个梦一样,不过是以一种比较羞怯的方式呈露而已。因此这第二个达到情欲高潮的梦使我们能给予第一个梦完整的解释,峦克即根据此梦例,很正确地用梦的理论来分析,“产生情欲高潮或遗精的梦”的意义(请看第六章)。

        不过根据经验,我认为很少有机会碰上要用梦的明确或有疑问的材料来判决梦得清晰抑或混乱。后面,我将展示一个“梦的形成”的因素(我以前没有提过)而这将决定梦中各因子的分量。

        有时当梦中的某一情况或段落持续一段时间后,突然会冒出如此的句子:“但似乎在同一时间里出现了另一个地方,在那里发生了某件事情。”过一阵子,梦的主流又回复了,而这中途的打叉不过是“梦的材料”的一个附属子句而已——一个窜入的思想,在梦里,梦思的条件子句是这样子表现的:

        以“当”来替代“如果”。

        那个在梦中常常出现而且是那么靠近焦虑的被禁制感究竟具有何种意义呢?在这种情况下,想要前进,但是却发觉自己被胶粘在那里。想要取得什么但却被一些障碍挡着。火车快要开了,但是却无法赶上。举起一只手想为受到的侮辱报复,但却发现它是无力的。例子真是不胜枚举。前面,我们已经在暴露的梦中提到这感觉,不过却没有真正的尝试对它分析。

        一个容易但理由并不充分的答案是在睡觉时常常有运动麻痹的感觉,因而就产生这种感觉。

        但是为什么我们不一直梦见这种被抑制着(麻痹)的行动呢?不过我们可以很合理地这么想,这种睡觉时任何片刻都可以唤起的麻痹感使某些表现方式容易呈现出来,并且只是当梦思的材料需要如此表现时才会感觉到。

        这种“无法做任何事情”并不常常以此种感觉呈现在梦中,有时它甚至是梦内容的一部分,下面是这样的一个例子,而且我认为它对此种梦的意义提供了最好的说明。以下是此梦的节录,在梦里我因为诚实而被指控。这个地方是私人疗养院和某种其他机关的混合,一位男仆人出场并且叫我去受审。我知道在这梦里,某些东西不见了,而这审问是因为怀疑我和失去的东西有关(由分析看来,这审问(检查)有两种意义,并且包括了医学检查)因为知道自己是无辜的,而且又是这里的顾问,所以我静静地跟着仆人走,在门口,我们遇见另一位仆人,他指着我说:“为什么你带他来呢?他是个值得敬佩的人。”然后我就独自走进大厅,旁边立着许多机械,使我想起了地狱以及它恐怖的刑具。在其中一个机器上直躺着我的一位同事,他不会看不见我,不过他却对我毫不注意。然后他们说我可以走了。不过我找不到自己的帽子,而且也没法走动。

        这梦的“愿望达成”无疑的是表现于我的“被认为是诚实的,并且可以走了”。因此,在梦思的各个材料中必定和这个相反。“我可以走了”是赦免的一个讯号。因此,在梦的末尾某些事情发生而阻止我的离开不就可以认为是那含着阻碍的潜抑材料正在这时刻表现出来吗?于是我不能找到帽子的意义就是:“毕竟你并不是个诚实人。”因此,梦里这“无法做任何事情”是用来表达一个相反——“no”,所以我又要修改前面所说的梦是无法表达“不”的话了〔34〕。

        在别的梦中,“无法行动”并不是单纯的一种情况而是一个感觉,而这种被禁制的感觉是一种更强有力的表达——它表现一种意志,而这受到反意志地压抑,因此受禁制的感觉代表一种意志的矛盾。而我们以后将提到,睡觉中所连带的运动性麻痹恰好是做梦时精神程序的基本决定因子之一。我们知道运动神经传导的讯息不过是意志力的表现,而我们在梦中确定此传导受抑制的事实不过使整个过程显得更适于代表意志以及反意志的行为。而且我们很容易观察到被禁制的感觉何以那么靠近焦虑,并且在梦中常常和它相连。焦虑是一种原欲的冲动,源起于潜意识并且受到前意识的禁制〔35〕。因此,当梦中,被禁制感和焦虑相连时,这一定是属于某个时候能够产生原欲的意志力量——换句话说,这一定是性冲动的问题。

        我将在别的地方讨论在梦里出现的评语“毕竟这只是梦而已”的精神意义,我这里仅仅要说,这是为了要分散对于所梦见的重大事件的注意。有趣的问题是,梦内容的一部分在梦里被描述为梦到底有什么意义——这有关“梦中梦”的哑谜已经被史德喀尔在分析一些令人信服的梦例后被解开了。再说一遍,其意图是为了减少对梦里所梦见事物的重要性,即夺除其真实性。梦里所梦见的是梦的愿望,欲在醒后将之蒙蔽的事实。因此我们可以很合理地假设,梦里所梦的是真实(真实的回忆)的呈现,而相反的,那些梦里所表现的其他事物则是梦的愿望而已,等于说希望这被称为是梦的东西不曾发生。换句话说,如果某一事件是以梦中梦的方式插入梦中,那么似乎可以很肯定地说,这暗示这事件是真实的——最肯定的了,梦的运作利用梦见在做为否认的方式。并且因而肯定了梦都是愿望达成的。

     第六章-丁、梦材料的表现力

          丁、梦材料的表现力

        直到目前为止,我们已经研讨了许多以梦表现梦思的方法。我们知道在形成梦以前,梦思必须经过某些程度的改造,而且我已触及有关这方面的更深层题目(除了其一般性原则外)。我们也知道,这些材料被剥离了许多相连关系后,还要经过挤压制的程序,同时由于元素不同强度之间的置换,也达致了材料间发生了精神价值的改变。到现在为止,我们所考虑的置换作用只是限于将一个特殊的意念与一个和它非常相近的相互交换,而结果促成了凝缩作用,使一个介于二者之间的单元化元素的进入梦境(而不是两个)。我们并没有提到其他的置换作用,由分析知道,还有另一种置换作用,它置换有关思想的语言表达。在这两种情况下,置换都是基于一串列的联想;此种程序能发生于任何一种精神领域,而置换的结果可能是一元素代替了另一元素,或者是某一元素的语言形式被另外一种所取代。

        第二种“梦的形成”的置换作用不但在理论上是有很大的吸引力,并且亦可以解释梦所伪装的极其荒谬外表。置换的结果常常造成梦思中一个无色与抽像的概念改变为图画的或者是具体的形式。这种改变的好处及目的当然可以一目了然了。由梦的观点来看,能够意像化的,即能被表现:就像在报纸上画家因为重要政治题目而面临了插图(表现)的困难,抽像的观念亦使梦得到了同样的危机。此种置换不但是表现能力受惠,亦可以因而得到凝缩以及审查的好处,只要是抽像形式的梦思都是无法利用的;一旦它变成图像的语言后,梦的运作所需的对比与仿同(如果没有,它也会自己创造的)在这种新的表达方式下就能够更容易的建立了。这是因为在每种语言的历史进展中,具体的名词比概念名词具有更多的关联。我们可以这么想,在形成梦的中间过程中(使得杂乱分歧的梦思变得简洁与统一),大部分精力是花在使梦思转变为适当的语言形式。任何一个想法,如果其表达方式因为别的原因而固定的话,那么它就能根据一个变数来选择其表达方式(这些是别的想法所具有的可能表达方式),而它或许从开始就这样了——像写诗一样,如果诗要押韵的话,那么对句的后者必定受到两个限制:它必须表达某种适当的意义,而其表达亦要合乎第一句的韵律。无疑的,最好的韵诗是那种无法找到刻意求韵的斧凿痕迹,而且它欲表达的意义,因为相互影响的关系,从开始就选定了一些字眼,只要稍加变动就可以满足诗韵了。

        在某些例子中,此种改变表达的方法甚至直接协助了梦的凝缩,因为它的含糊的字眼表达出许多梦思(而不是一个),而整个文字的智慧就这样的被梦的运作所废弃了。我们无需因为文字在梦的形成所扮演的角色而感到惊奇。既然是许多意念的交接点,文字亦可以认为注定是含糊的;而心理症患者(譬如说,在架构强迫性思想与恐惧时),亦毫不羞耻的利用这些文字的好处(不比梦来的少)以达成凝缩和伪装的目的〔36〕。我们亦可以很容易发现梦的改造亦因表达的置换而获利。如果以一个含糊的字眼替代了两个意义明确的,那么结果是误人的;如果以图像来替代我们日常所用的严肃表达法,那么我们的了解力将会大受阻碍,特别是梦从来没有告诉我们它的内容应该是按字面解释或者是比喻的,而且内容是否直接和梦思相联抑或要经过一些中间插入的语句。在分析任何一个梦的元素时,我们常常不知道究竟: 

        a是否要看它的正面或是反面意思;

         b是否要当历史来说明(即回忆);

         c是否以像征的方式来说明,或者d是否以其文字意义来说明。

         但虽然是含糊,我们亦可以说这些梦的运作之产品(我们应当记得,它们并非基于要被了解而制造的),对其翻译者所带来的困难要比那些古代的像形文字来得简单多了。

         我已经举过了几个梦例,它们利用含糊文字的联系来表现。譬如,“伊玛打针”梦中的“她好好地张开嘴巴”(第二章)和“我没法走动”(第六章)。下面我将记录一个梦,内容大部分是把抽像意念转变为图像,这种梦的分析法和利用像征方法来分析梦的分别仍然是清楚而毫不含糊的。在像征的梦分析中,分析家可以任意选择了解像征的解答钥匙;而在此种用文字伪装的梦里,解答已经展示但却被一些日常的文字用法所遮盖住。如果在适当的时机中有恰当的处理,那么我们就能够部分或完全地解释此种梦,有时甚至不必借重梦者提供的资料。

         我一位熟人的太太做了下面这个梦:

         她在剧院里,那里上演华格纳的歌剧,在到凌晨七时四十五分才结束。剧院正厅里摆着餐桌,人们在那里大吃大喝。她那刚由蜜月旅行归来的表哥(弟)和年轻太太坐在一起,旁边是一位贵族。看来这新婚太太相当公开地把丈夫由蜜月中带回来,就像是把帽子带回来的情形一样。正厅的当中有个高塔,上面有个平台,四周围绕着铁栏杆。指挥就在上面(他具有利希特的特征)。他在那里不停地沿着栏杆走,汗流浃背,而他借着那种位置来指挥簇聚在高塔底下的乐队。 她和一位女朋友坐在包厢内,她年轻的妹妹在正厅中想递给她一大堆煤。因为她不知道会这么长,所以觉得快冻僵了(就像包厢在这长时间的演奏里,需要热气来保持温暖一样)。 

        虽然梦是集中在一个情境下,但是由别的角度看,它却是无意义的:譬如说位于正厅的高塔,以及在上面的指挥!最不可思议的是她妹妹竟然由正厅下面递给她那些煤块。我故意地不要求她将此梦做个分析,是因为我对梦者的人际关系有相当的了解,所以能够不必靠她就能够解释梦里的某些部分。我知道她同情一位音乐家——他的事业生涯因为疯狂而过早地缩短了。因此,我决定把正厅的塔当作是一种隐喻——她希望此人取代利希特的地位,凌驾于整个乐图之上。此塔因而乃是利用适当的材料做成的集锦图像。塔的下面部分表示此人的伟大;上面的栏杆以及他在里面像一位囚犯或牢笼里野兽一样地团团转——这暗示了这不幸者的名字〔37〕表示了他的最后命运。这两个意念也许是以“urn〔38〕”来表示出来。解决了此梦的表现方式后,我们可以利用同一方法来了解第二部分的荒谬——她妹妹递给梦者的煤块。“煤块”一定是指“秘密的爱”: 

        没有火,没有煤, 

        烧得那么猛烈, 

        就像是秘密的爱, 

        没有人晓得。 

        ——德国民谣 

        她和这位女朋友都没有结婚。她的年轻的妹妹(仍然有结婚希望的)递给她煤块,因为“她不知道它会这么长的”,梦并没特别指出什么会这样长。如果这是故事,那么我们会说这是指演奏的时间,不过因为这是梦,所以我们把这片语当作是不同的实体——认为它的用法是含糊不清,而应该在后面加上“在她结婚以前”(译者按:整句话便是,她不知道自己要结婚还要很长的时间呢!)而由梦者的表哥和她太太在正厅中坐在一起,以及后者公开的爱情更进一步地证实了我们对“秘密爱情”的说明,整个梦的重点是在于梦者的热情和年轻太太冰冷之间的秘密与公开爱情的对比。而在这两种情况里都有人被看重——这是指那贵族以及被寄以无限期望的音乐家〔39〕。

        前面的讨论使我们发现第三种〔40〕将梦思转变为梦内容的因素:即是梦考虑它所将利用的精神材料的表现力——而这大部分指的是视觉影像的表现力。在各种主要梦思的附属思想中,那些具有视觉表征的将大受欢迎;而梦的运作并不迟疑地努力将一些无法应用的思想重铸成另一种新的文字的形式——即使变为不寻常亦在所不惜——只要这程序能够协助梦的表现以及解除了这拘束性思想所造成的心理压力。把梦思内容改变成另一种模式的同时,亦可以产生凝缩作用,并且可能创造一些和其他梦思的联系——而这本来是不存在的;而这第二个梦思也许也为了和这第一个梦思相连,早就把自己原来的表达方式改变了。

        塞伯拉曾经就梦的形成发表了许多将梦思改变为图像的程序的直接观察办法,因而可以单独研究这梦的运作的因素。他发现,在很困及疲倦的情况下,如果做一些理智性的工作时,往往思想会脱离而代之以一个图像——他发现这是那个思想的替代物。塞氏以一个不太恰当的“自我像征”来形容此种替代物。下面我将引述塞氏论著中的一些例子,而我以后将在提到有关这现像的特征时再度涉及这些例子。

        “例一”——我想修改一篇论文中的不满意部分。

        “像征”——我发现自己正在刨平一块木板。

        “例五”——我努力地尽量使自己熟悉(了解)别人建议我做的形而上学研究。我认为他们的目的是要人在追寻存在的本质时,发奋克服困难以达到意识与存在的更高阶层。

        “像征”——我将一把长刀插入蛋糕中,似乎是想将一片蛋糕提起来。

        “分析”——我把刀插入的动作比喻“这有问题的”克服困难……。以下是对这像征的解释。我常常在聚餐时切蛋糕,帮忙把它分给每个人。切蛋糕所用的是一把长而会弯曲的刀子——因此需要小心,尤其是要把切好的蛋糕,干净利落地放到碟子里;这刀子必须要小心地塞到蛋糕下面(这和那缓慢的“克服困难”以达到那本质互相对应)。这图像里还有另外一个像征。因为在这图像里,这是一种千层糕——所以刀子要切过许多层(这和意识与思想的许多层面互相对应)。

        “例九”——我失去了一思想串列的线索。我想再把它找回来,不过却得承认这思想的起点已经不可再得了。

        “像征”——排字工人的一个排版。不过末尾几行的铅字掉了。

        回想受教育者的精神生活(那属于玩笑、座右铭、歌曲、成语的部分,我们应该可以期望它们一定常常被用来替代梦思以达伪装的目的。譬如说,梦见许多的两轮马车,每一辆上面装满着不同种类的蔬菜到底具有何种意义呢?它是对“KrautuntRüben”(字面意思“卷心菜和大头菜”)的相反意愿,即混乱的意思。不过奇怪的,这梦我只听见一次。普遍性相同的梦的像征只有少数几个。而这都是基于一些大家都熟悉的暗示和文字的替代物。另外,这些像征大部分为心理症患者,传说和习俗所共有〔41〕。

        如果我们更进一步地探究此问题,那么就能发现在完成此种替代的过程中,梦的运作并没有利用什么新的创意。为了达到目的——在此情况下,也许是不受审查制度的阻抗——它运用一些早已存在于潜意识的途径;而它所喜爱的变形手法,和心理症病人在其幻想中,或者是意识的玩笑与暗示中的情形大致相同。因此我们即可了解歇尔奈尔的梦的分析,而我在别处已经为其基本的正确性辩证过了(第五章)。

        不过这种对自己身体想像的先入为主的概念并非是梦所特有,亦非其特征。我对心理症病患的潜意识思想分析的结果发现它是经常存在的,并且是导源于性的好奇——对生长中的年轻男女来说是指异性及自己的性器官。歇尔奈尔及伏克尔特坚持家里的东西并非是用来像征身体的唯一来源。他们是对的——不管是梦,或者是心理症病患的幻想,不过我也知道许多病人用建筑物来像征身体以及性器官(对性的兴趣远超过外生殖器官)。对这些人来说柱子或圆柱代表着脚(就像所罗门之歌内的像征),每一个门代表身体的开口(即洞),每一种小管都是提醒着泌尿器官,在这里不胜一一枚举。有关植物生涯与厨房的事亦同样的可以用来隐匿着性的影像。对于前者,已有许多语意学上的用语,如一些可追溯到古代的类比想像:如上帝的葡萄园、种子、和所罗门王之歌中的少女的花园。在思想或者梦中,最丑恶以及对性生活最详尽的描述也可以利用那种看来是纯洁无邪的厨房活动暗示着;而我们亦将无法了解歇斯底里症的症状,如果我们忘了性的像征可以由一些普通以及不明显的部分找到最好的匿藏。神经质的孩子无法忍受血及生肉,或者看到蛋与通心粉就恶心,还有那些带有神经质的对蛇的夸大性害怕——这些背后都有性的意义。不管什么时候,心理症病患利用为这些伪装时,他们都是遵循着一条古代文明人类即已走过的途径——一直沿用至今(继续存在)而且蒙着最薄的薄纱;在言语、迷信和习俗上都可以找到证据。

        现在我将记录一位女病人所做的“花”的梦(我在第六章答应将此梦记录下来)。我将在具有性意义的部分用方体字标出来。梦者在经过说明后,就失去了她对此美丽的梦的爱好。

        C起始的梦:

        她走入厨房,那时两位女佣人正在那儿。她挑她们的毛病,责备她们没有把她那口食物准备好。在同一时间里,她望见一大堆厨房里常用的瓦罐口朝下的在厨房里累叠着以让内壁滴干。这两个女佣人要去提水回来,不过要步行到那种流到屋里或院子里的河流去汲取〔42〕。

        D主要的梦〔43〕:

        她由一些排列奇特的木桩或篱笆的高处〔44〕向下走——它们是由小方形的木板架构成大格子状〔45〕,它们并非做来让人攀爬的;要找个置脚的地方也有困难,但是她却高兴衣裙没有被什么勾到,所以她一面走一面仍能保持值得尊敬的样子〔46〕。她手里握着一根大枝条〔47〕,事实上它就像是一棵树,布满着红花,枝芽交错并且向外扩展〔48〕,看来有点像樱花树的花朵;但也像是重瓣的山茶花,虽然它们并没有长在树上。当她向下走的时候,起先她只有一株,然后突然变为两株,后来又变回一株〔49〕。当她走下来的时候,比较下面的花朵很多已枯萎。走下来后,看到一位男佣人——她想和他说话——而他正在梳着同样的一棵树,即是说他用一片木头把像是苔鲜由树上垂下来的一团发状物拖曳出来,别的工人亦由树上砍下相同的枝条,把它们丢到路上而分散在那里,因此,许多人各自拾取一些。但她问他们是否可以——是否也可以拾取一株〔50〕。一位年轻男人(她认识的某人,一个不太熟悉的)站在花园里;她走上前问他如何使这种枝条移植到她自己的园子里去〔51〕。他拥抱着她;她挣扎着并问他想要怎样,难道他认为谁都可以这么抱着她。他说这没有什么坏处,这是被允许的〔52〕。然后他说他愿意和她到另一花园,示范如何把这树种好,并且加上一些她并不太了解的话:“无论如何我需要三码(后来他又这么说:3方码)

        或者三英寻(18英尺)的土地。”就像是为了这情愿而要她支付给他什么似的,或者想要在她花园中取得补偿,或者想要欺瞒一些法律,并且由此得到一些利益,但并不伤害她。至于他是否真地展示什么给她看呢——她一点也不知道。

        这梦可以说是一种自传式的,而我是因为其像征元素才把它提出来的,这种常常发生在精神分析期间,其他时间则很少发生〔53〕。

        我当然藏有许多此种资料〔54〕,但是如果都提出来,则将使我们太过深入于心理症病患的情况,这一切都导致同样的结论——即梦的运作无需利用一些特殊的像征活动,它利用那些早就存在于潜意识中的像征,因为它们更能符合“梦的构成”的需要(由其表现力来看),以及能够逃开审查制度。

     第六章-戊、梦的像征——更多的典型梦例-1

         戊、梦的像征——更多的典型梦例

        由最后这个自传式的梦看来,很清楚的我一开始就注意到梦里的像征。但是却在经验慢慢增加后,我才逐渐了解其重要性与牵涉之广。而这也是受了史特喀尔论著的影响。我想在这里提到他是合适的。

        这位作家对精神分析的破坏也许和他贡献的一样多。他带给这些像征许多出乎意料之外的解释;而起先大家对这些解释皆表怀疑。不过后来,大半都被证实而且被接受了。我这么说并没有小看史氏成就的意思——即他的理论被怀疑不是没有理由的。因为他用来支持(说明)其分析的例子常常不能令人折服,而他所利用的方法在科学上亦是不可信赖的。史氏是利用直觉来解析梦的像征。关于这点,我们需要感谢天赋予他直接了解的才能。但此种秉赋不能完全被接受,而它又无法予以置评,所以其正确性就不可得知了。这就像是坐在病床旁,以嗅觉来对病患之感染加以诊断一样——虽然许多临床无疑地能对嗅觉加以更多的利用(这通常是退化的),并且可借以诊断胃肠病而引起的发热。

        由精神分析的进展,我们可以发现许多病人都具有这种惊人的对梦的像征的直觉,他们多数是早发性痴呆即今日所谓的精神分裂症的病患,因此有一段时间里竟令我们怀疑有这种倾向的梦者都患有此病〔55〕。但事实不是这样——这其实只是个人特殊的秉赋,而且没有病理上的意义。

        当对梦中代表“性”的像征之广泛利用感到非常熟悉时,我们会有这样的问题:这些像征是否大多数都具有固定的意义——就像速记中的记号一样——呢?而我们甚至会想利用密码来编一本新的“释梦天书”。对此点,我们有这样的意见:这种像征并非是梦所特有,而是潜意识意念的特征——尤其是关于人的。通常可在民谣、通俗神话、传奇故事、文学典故、成语,和流行的神话上发现,这可要比在梦中更为彻底。

        如果我们一定要找出各种像征的意义,以及讨论这无数的,并且大部分仍然没有解决的和像征关联的问题,那么我们就会远离了梦的解释〔56〕。因此,我们在这里要说,像征乃是一种间接的表现方法。但是我们不能够无视于其特征而和其他的间接表现法混为一谈。在许多例子中,像征和它所代表的物像具有很明显的共同元素;在别的例子,则是隐匿而不明显,因此使人对这种像征的选择感到疑虑。但一定只有后者才能说明像征关系的最终意义。

        他们是具有遗传的性质。现代那些以像征关系相连的事物也许在史前是以概念的及语言的身份相连接的〔57〕。这像征的关系似乎就是一种遗迹,一种以前身份的记号。就像舒伯特指出的,在许多梦例中,共同像征的利用可要比在日常用语中来得更普遍〔58〕。许多像征是和语言一样老,而其他〔如飞艇,齐伯林(译者按,齐伯林,德国工程师,制造齐伯林大飞船者)〕则在近代才铸造出来的。

        梦利用像征来表现伪装的隐匿思想。因此很偶然的,有许多像征,习惯性的(或者几乎是习惯性的)用来表达同样的事情。不过我们不能忘记梦里精神资料的可塑性。很多时候,“像征”应该以它适当的意思来解释,而不是像征式的;但有时,梦者却由其私人的记忆中导衍出力量而将各种平时不表示“性”的事情来做为性的像征。如果梦者有机会由各种像征中选择的话,那么和梦思中其他材料的主题有关联的像征必定为他所喜爱——换句话即是,虽然是典型的,但还是有个人的不同。

        虽然自歇尔奈尔以后的研究,使人无法对“梦的像征”的存在有任何的异议——甚至艾里斯也认为梦无疑的充满着像征——我们必须承认由于像征的存在不但使梦的解释变得简单并且也使它变得困难。通常遇到梦内容中的像征元素时,利用梦者自由联想的分析技巧是毫无用处的。而为了能适用于科学的批判,我们又不能回复到利用释梦者的随意的判断——这在古代即被应用,而在史德喀尔轻率的分析梦后似乎又复活了。因此遇到梦内容中的像征性时,我们必须应用综合技巧——一方面依赖梦者的联想,一方面靠释梦者对像征的认识。为了要避免对梦的随意判断,我们在解释像征时必须非常的小心,仔细追究它们在此梦中的用途如何,而我们对梦分析的不确定,一部分是因为知识的不完全——这在继续进步后会慢慢改善的——另一部分则是归咎于梦像征本身的特色了。它们通常有比一种还多,或者是好多种的解释;就像中国字一样,正确的答案必须经由前后文的判断才能得到。 

        这像征的含糊不清与梦的特征(过多的表现——凝缩作用——相关联。即是以区区一个梦内容却要表现出性质极不相同的各种思想与愿望来。 

        在这些限制与保留之下,我将继续进行讨论。

         皇帝和皇后(或者是国王和王后〔59〕)通常是代表梦者的双亲;而王子或公主则代表梦者本人。但伟人和皇帝都被赋予同样的高度权威性;因此,譬如歌德在许多梦中都以父亲的像征出现。

        所有长的物体——如木棍、树干,及雨伞(打开时则形容竖阳)也许代表男性性器官,那些长而锋利的武器如刀,匕首及矛亦是一样。另外一个常见但却并非完全可以理解的是指甲锉——也许和其擦上擦下之动作有关。

        箱子、皮箱、橱子、炉子则代表子宫。一些中空的东西如船,各种容器亦具有同样的意义。梦中的房子通常指女人,尤其描述各个进出口时,这个解释更不容置疑了〔60〕。而梦里对于门扉闭锁与否的关心则容易了解(请看一个歇斯底里病患的部分分析里杜拉之梦),因此无需明显的指出用来开门的钥匙;在爱柏斯坦女爵的歌谣中,乌兰利用锁和匙的像征来架构出一篇动人的通奸〔61〕。

        一个走过套房的梦则是逛窑子(妓户)或到后宫的意思,但由沙克斯例举的干净利落的例子看来,它亦可以代表婚姻。

        当梦者发现一个熟悉的屋子在梦中变为两个,或者梦见两间房子(而这本来是一个的)

        时,我们发现这和童年时对性的好奇(探讨)有关。相反亦是一样,在童年时候,女性的生殖器和肛门是被认为一个单一的区域——即下部(这和幼儿期的泄殖腔理论相符)。后来才发现原来这个区域具有两个不同的开口和洞穴。

        阶梯、梯子、楼梯或者是在上面上下走动都代表着性交行为〔62〕——而梦者攀爬着光滑墙壁,或者由房屋的正面垂直下来(常常在很焦虑的状况下),则对应着直立的人体,也许是重复着婴孩攀爬着父母或保姆的梦的回忆。“光滑”的墙壁是指男人;因为害怕的关系,梦者常常用手紧捉着屋子正面的突出物。

        桌子,为了餐点准备的桌子、台子亦是妇人的意思。也许是利用对比的关系,因为在这像征中,其外观是没有突起的。一般说来,木头由其文字学上的关系来看,是代表着女性的材料,“‘Madeira’群岛”这名词的意义即是葡萄牙的森林。因为“床与桌子”形成了婚姻,所以后者在梦中常常取代前者,因而代表性的情意综被置换成吃的情意综了。

        至于衣着方面,人的帽子常常可以确定是表示性器官——男性的。外衣(德语: mantel)亦然,虽然不知道这像征有多少程度是因为发音相似的缘故。在男人的梦中,领带常常是阴茎的像征,无疑的,这不但因为领带是长形的,男人所特有的,不可缺少的物件,而且因为它们是可以依借各人的爱好而加以选择的——但这自由,由所代表的物件来看,是受自然所禁止的〔63〕。在梦里利用此种像征的男人,通常在真实生活中很喜好领带的(近似奢侈的),常常收集了好多。

        梦中所有的复杂机械与器具很可能代表着性器官(通常是男性的),像征着它和人类智慧一样不会疲乏,而各种武器和工具无疑地都是代表着男性生殖器官,如犁、锤子、来福枪、左轮手枪、匕首、军刀等。——同样的,梦中许多的风景,特别是那些具有桥梁,或者长着树林的小山,都很清楚地表示着性器。马奇诺维斯基曾经出版了一组梦(由梦者画出来),无疑地表示梦中出现的风景与其他地点。这些画很清楚地刻划出梦的显意和隐意的分野,如果不注意的话,它们看起来就像是设计图、地图等,但如果用心去观察则知道它们代表人体、性器官等,而此时这些梦才能被了解(并请参阅Pflister′s的密码和画谜)。至于遇到那些不可理解的新语时,则必须考虑它们是否能由一些具有性意义的成分凑成。

        梦中的小孩常常代表性器官;而的确,不管男人或女人都是习惯于把他们的性器官叫着“小男人”、“小女人”、“小东西”。史德喀尔认为“小弟弟”是阴茎的意思。他是对的,和一个小孩子玩,或打他等常常指自慰。

        表示阉割的像征则是光秃秃的,剪发、牙齿脱落、砍头。如果梦关于阴茎的常用像征两次或多次重复出现,那么这是梦者用来防止阉割的保证。梦中如果出现蜥蜴——那种尾巴被拉掉又会再长出来的动物——亦具有同样的意义〔64〕。

        许多在神话和民间传奇中代表性器的动物在梦中亦有同样的意思:如鱼、蜗牛、猫、鼠(表示阴毛),而男性性器最重要的像征则是蛇。小动物、小虫则表示小孩子,譬如说,不想要的弟弟或妹妹,被小虫所纠缠则是怀孕的表征。

        值得一提的是最近呈现于梦中的男性性器的像征:飞艇,也许是利用其飞行和其形状的关联。

        史德喀尔还提到许多像征和例子,但是还没有足够的证明。他的论著,尤其是那本(梦的语言)载有关于解释像征的最完全资料。里面很多是凭借着想像的,不过经过研究后可以知道它们是正确的——如那部分关于死的像征。但是因为此作者的论著无法加以科学的批判,并且又由于他喜爱以偏概全,所以使人怀疑其解释的可靠性。这过失甚至使理论变为毫无用处。因此在接受他的结论前,必须要小心考虑。所以我很谨慎地只引述他的几个例子。

        根据史德喀尔,梦中的“右”和“左”是具有道德意义的,“右手旁的小道常指正直之道,而左手旁的则是罪犯之途。因此,‘左’可以代表同性恋、乱伦或性异常。而‘右’则代表婚姻、和娼妓性交等。而其意义常常是决定于梦者本人的道德观。”——梦中的亲属是性器官的意思。在这里,我只能证实孩子和妹妹〔65〕是具有这意义的(即是当他们属于“小东西”这范畴)。另一方面,我却遇到了一个毫无疑问的例子,在这梦例中,“妹妹”

        代表着乳房而弟弟则代表着较大的乳房——史氏认为梦见追不上车子的意思是悔恨年龄的差距太大,无法赶上。——他说旅途中提携的行李则是一堆把人拖住的罪恶。但这行李却常常正确地像征梦者本身的性器官。史氏亦给在梦中常出现的数目字予以特定的意义。但这些解释不但没有足够的证据,而且也不是永远正确的,虽然在他的个别例子中,此种解释似乎是正确的。在许多梦例中,“3”这数字可用许多方面来证明是男性性器的像征。

        史德喀尔提出一个推论是,性像征具有两重意义。他问:“是否有一个像征(如果此想像暗示着)不能同时用在男性及女性上呢?”事实上,括弧内的句子即已消除了此理论的大部分确定性。因为事实上,想像并不常常如此暗示(承认)着。根据经验我应该这么说,史氏的一般化推论不能够满足事实的繁杂性。虽然有些像征可以代表男性性器和女性性器,但另外一些像征则大部分或全部代表男性,或女性的意义。事实是这样的,想像不会以长而硬实的物品如武器来暗示女性性器,而中空的木箱、箱子、木盒等亦不会用来代表男性性器。

        不过梦的倾向,以及潜意识幻想应用双性的像征却显示出一种原始的特性。因为孩童时期无法分辨两性性器的不同,而给两性予同样的性器。但我们有时会误解某一像征具有两性的意义,如果我们忘记在某些梦中,性别是倒反的,因此男的变为女的,而女变为男的,这种梦表达一种意愿——臂如,女人想要变为男人的愿望。

        性器官在梦中亦可以用身体其他的部分来表现:用手或脚来表示男性器官,口耳甚至眼睛来代表女性的生殖开口,人体的分泌物——粘液、眼液、尿、精液等——在梦中可以相互置换。史德喀尔后面这句话大体来说是对的,不过却受到赖德勒正确的批评,认为要做这样的修正:“事实上发生的是,有意义的分泌物如精液被一些无所谓的来代替。”

        我希望上面这些不完整的提示会刺激人们去探讨这个题目和收集其资料〔66〕。本人在精神分析引论中尝试给梦的像征予以更详细的报告。

        下面我将附录几个例子来说明这些像征在梦中的应用,并中,我们是如何情不自禁地接受了这些像征的意义呀!同时,我要提出这警告,不可太过高估梦的像征的重要性,以致使得梦的解析沦于翻译梦的像征的意义,而忽略了梦者的联想。这两个梦的解析工具是相辅相成的;但不管就理论或实际来说,后者的地位是首要的。并且能由梦者的评论中,归结出决定性的意义。而对像征的了解(翻译)就像我提过的一样,只是一种辅助的部分。 

         C帽子,男性的像征(或者男性性器)

        (节自一位年轻妇人的梦,她正因为害怕受到诱惑而患空旷畏惧症)。

        夏天,我在街上行步,戴着一顶形状奇怪的草帽;它的中间部分向上弯卷,而两边则向下垂,(在这里,病人的叙述稍为犹疑一下),其中一边比另一边垂得更低。我兴高采烈,同时深具自信;而当我走过一堆年轻军官的时候,我想:“你们都不能对我有所伤害。”

        因为她不能对这帽产生任何联想,所以我向她说:“这个中间部分竖起而两边向下弯曲的帽子,无疑的是指男性性器。”也许你会觉得奇怪,何必以她的帽子来代表男人,但请勿忘记这句话“UnterdieHaubeKommen”〔字面的意思是躲在帽子下不过却是“找一位丈夫(结婚)”的意思〕,我故意不问她帽子两端下垂的程度何以不同,虽然这种细节一定是解释的关键所在。我继续向她说,因为她的丈夫具有如此漂亮的性器,所以她不需要害怕那些军官——即是,她没有想要从他们那里得到任何东西的必要;而通常因为受诱惑的幻想,她不敢一人单独地无伴的出去散步。基于其他的材料,我已经好几次向她解释其焦虑的原因。

        梦者对此分析的反应是奇特的,她收回对帽子的描述,并且声称她从来没有提到帽子两边下垂的事。但我确定自己没有听错,所以不为所动,并坚持她这样子说过。她寂静了好一会儿,等鼓足了勇气才问道,她丈夫的睾丸一边比另一边低具有什么意义,是否每个男人都是如此。就这样,此帽子特殊的细节就被解释了,而她接受了这个解释。

        在病人告诉我这个梦的时候,我已经对这帽子的像征感到熟悉了。别的较不清晰的梦倒使我相信帽子亦可以代表女性性器〔67〕。

         D像征着性器官的“小东西”——而以“被车辗过”来像征性交(这是空旷畏惧症患者的另一个梦) 

        妈妈把她的小女儿送走了,因此她得自己一人走。她和妈妈走入火车车厢内,但看到她的小东西正在轨道上直直地走着,因此她一定会被火车辗过的。她听到自己骨头被压碎的声音(这使她产生不舒服的感觉,但却没有真正的恐怖感)。然后她由窗子向车厢后面望,看那些碎片是否不会被见到。然后,她责备母亲为何让这小东西自己走。

        分析——要将此梦做一个完全的解释并非易事。这是一连串循环相连的梦的一部分,因此必须和其他的梦连在一起才能被充分地了解。我们很难分离出足够的材料来解释这些像征。——首先,病人声称这火车之旅是和她过去有关,暗示着她被携带着离开一疗养院(她因精神病住院)的旅途。不用说,她爱上了这疗养院的主任。她妈妈来把她带走,而这医生到车站来送行,送给她一束花当作别离的礼物,她觉得很尴尬,因为她妈妈目击了这情况。

        在这里,她妈妈即像征着阻碍她爱情的尝试;而确实在病人小时候,这严厉的女人曾经扮演过这种角色。——她下一个联想和这句子有关:“她由窗子向车厢后面望,看那些碎片是否不会被见到。”由梦的正面看来,这使我们想到她小女儿被辗过而成碎片。但她的联想却指向另一个方向,她回忆从前曾经看见父亲在浴室赤裸的背面;接着她继续谈论有关性别的分野,同时强调即使在背后亦能看见男人的性器,而女人则见不到。在这里,她的解释:“小东西”指的是性器官,而“她的小东西”——她有一个四岁的小孩——则是她本身的性器官。她指责母亲想要她像没有性器官似的活着,而在梦的开始就显露了此指责:“妈妈把她的小东西送走了,因此她得自己一人走。”在她的想像中,“自己一个人在街上走”即是指没有男人,没有任何性关系〔在拉丁文里Coire的意思即是“一起走”,而Coitus (性交)即由Coire变来的。〕——她不喜欢这样,而这一切正说明当她是小女孩的时候,她确实因为受到父亲的喜爱而遭受妈妈的妒忌。

        对此梦的更深一层解析可由同一晚上发生的另一个梦显示出来。在那个梦里,梦者把自己和她的兄弟仿同。她其实是个男性化的女孩,别人常常说她应当是个男孩子,和她兄弟仿同的结果因而清楚地指出“小东西”意即性器官。她的母亲把他(或她)阉割了。这只可能是因为玩弄她阴茎才有的处罚,所以这仿同作用亦证明她小时候曾经自慰过——到这时为止,她这记忆仍然只是限于其兄弟身上。由第二个梦的资料看来,她在早年的时候一定知道男性性器官,不过后来却忘掉了。更进一层来说,第二个梦暗示着“幼儿期的性理论”;根据此理论,女孩子都是阉割的男孩。当我暗示她曾有过这种孩童式的信念时,她立即以一段轶事来证明这点。她说她曾听到男孩向一女孩子说:“切掉的吗?”而女孩子回答道“不,从来都是这样的。”

        因此,第一个梦里的把小东西(性器官)送走和那威胁着的阉割有关,而最后,她对母亲的埋怨是不把她生成男孩。

        而“被车辗过”所像征的性交在此梦里并不能明显的看出来,虽然可以由其他许多来源予以证实。

         F像征着性器官的建筑物、阶梯和柱子

        (一位年轻男人的梦——它受到“父亲情意综”的抑禁)他和父亲散步。地点一定是布拉特〔68〕,因为他看见了一个圆形建筑物,前面有一个附属物,看起来有点歪,并且连接着一个栓禁用的圆球。他父亲问他这些是做什么用的;对父亲的问题他感到惊奇,不过还是向他解释了。然后,他们走到了一个广场,上面延展着一大张锡片。他父亲想要拉断一大片来,不过却先向四周望望,看是否有人在监视着。他和父亲说,只要告诉技工就可以毫无麻烦的取得一些。一组阶梯,由这广场向下延伸到一根圆柱那里,它的壁是一些柔软的物质,就像是盖以皮面的扶手椅子,在这圆柱的尽头是一个平台,然后又是一根圆柱……

        分析——病人是属于治疗效果不佳那类——即在分析的前一段时间里毫无阻抗,但自某一点以后,就变得无法接近。他几乎不需要帮助就自己把这梦解析了。他说:“那圆形建筑物就是我的性器官,而它前面的栓禁用的圆球即是我的阴茎,而我一直担忧它的软弱(strachey版本则是limpness)。由更加详细的观察,我们可以把圆形建筑物翻译成臀部(孩子们习惯的以为是属于生殖器的一部分),而在它前面的则是阴囊。他父亲在梦中问他这些是做什么用的,即等于问他性器官的功能及目的是什么。这里我们似乎应该把情况倒过来,即梦者变为发问者。因为事实上他从来没有这样问过他父亲,所以我们把这当作是梦思的一个意愿,或者是一个条件子句,“如果我为了性知识启发而问爸爸……”在梦的另一部分里,我们将看到这想法的连续。

        伸展着一大张锡片的广场乍看起来是不具任何像征意义的,这是由梦者爸爸的商业财产所导衍的。为了慎重起见,我用锡来代替病人爸爸真正经营的物质..,但不改变其他的文字。

        梦者加入了父亲的营业,不过对某种令人起疑但却使公司盈利的行为大加反对。因为,我刚才所解释的梦思是这样连下来的:“(如果我问他)他也会像对他顾客一样的欺骗着我。”

        至于那个代表他父亲在商业上不诚实的“拉断”,他有另一种解释——即是代表着自慰。我不但对这解释很清楚,而且此梦里亦能证实之。事实上,自慰的秘密性质这里正以相反的形式来表达:即可以公开的做。和我们想像的一样,此自慰的行为再度地置换到梦者父亲的身上(和梦中前面一段的问题相同)。他很快地把圆柱解释为阴道,这是因为墙壁上柔软的覆盖的缘故。由别处得来的经验来看,我想说,就和爬上一样,向下爬也是代表着在阴道内性交(请看注〔62〕)。

        梦者自己替两个圆柱之间隔着一个长方形的平台加以自传式的解答。他性交了一段时期,后来因为抑制的关系而停止了。现在希望借助于治疗而再度能够性交,但是此梦在末了的时候,愈来愈不明显。任何对此熟悉的人都会认为可能是第二个主题涉入梦内容来了,而这由父亲的商业,他的欺骗行为,以及解释第一个圆柱是阴道题示着:这些都是指向和梦者母亲的关联。

         G以人来像征男性性器官,以风景来像征女性性器官(达纳报告的一个梦,梦者未受教育,丈夫是位警察)

        ……然后有人闯入屋里来,她很害怕,大声叫喊着要警察来。但她却和两位流浪汉攀登着许多的梯级〔69〕,静静地溜到教堂〔70〕去。在教堂后面有一座山〔71〕,上面长满茂密的丛林〔72〕。

        警察穿着钢盔,佩带铜领,外披一件斗篷〔73〕,并留着褐色的胡子,那两个流浪汉静静地跟着警察走,在腰部围着袋状的围巾〔74〕。教堂的前面有一条小路伸沿到小山上;它的两旁长着青草与灌木丛,愈来愈茂盛,在山顶上则变为寻常的森林了。

         H孩童阉割的梦

        一、一位三岁五个月的男孩,很不喜欢他爸爸由前线归来。有一天早上醒来,带着激动与困扰的神情。他一直这么重复说着:“为什么爸爸用一个盘子托着他的头?昨晚爸爸以盘子托着他的头。”

        二、一位正患着强迫性心理症的学生记得在他六年级的时候,一直不断地做着以下的梦:“他到理发厅去剪发。一位身材高大,面貌凶狠的女人跑来把他的头砍下。他认出这女人是他的母亲。”

         I小便的像征

        一系列图画是费连奇在匈牙利一份叫着Fidibusz的漫画刊物上找来的。他一下子就看出这可以说明梦的理论。峦克曾因此写了一篇论文。

        图画的标题是,“一位法国女保姆的梦”,只有最后一张图片才显示出她被小孩的叫声吵醒。换句话说,前面七张图都是梦的各个阶段,第一张图描绘着应该已使梦者醒过来的刺激,小孩已经感到需要,并要求帮助。但在梦者的梦里,他们不在房间里,而她正带着他散步。在第二个图中,她已经把他带到街道的一角让他小便——而她能够继续地睡着。但那想唤醒她的刺激持续着,而且确实在加强着。这小男孩因为没有人理睬的关系,叫得更大声了。他愈是加强声音坚持要保姆起来帮助他时,梦就愈保证说什么都很好,而她不必醒过来,同时,梦也把愈来愈强的刺激置换成愈来愈多的层面。小孩解出的小便愈来愈有力量。

        在第四张图片上,它竟然能浮起小舢舨,接着是一艘平底船,然后一艘轮船以及邮轮。这位天才的画家很清楚的描绘了想要睡眠和继续不断使梦者醒来的刺激之间的挣扎。

         J楼梯的梦

        (峦克的报告与解释的梦)

        我想我必须感谢那位同事,他曾提供给我有关牙齿刺激的梦,现在又给我另一个明显的关于遗精的梦:

        “我奔下楼梯(或者一层公寓),追着一位女孩,因为她对我做了某些事,所以要处罚她。在楼梯的下端有人替我拦住这女孩(一个大女人?),我捉住了她,但不晓得有没有打她。因为我突然发现自己在楼梯的中段和这小孩性交(似乎就像是浮在空中一样)。这不是真正的性交,我只是以性器官摩擦她的外生殖器而已,而当时我很清楚地看到它们,还有她的头正转向上外方翻转,在这性行为中,我看到在我的左上方挂着两张小画(也像是在空中一样)——画着房子,四周围绕着树木的风景,在比较小张的画面下端,没有署着画家的名字,反而是我的姓名,好像是要送给我的生日礼物。然后我看见两幅画前面的标签,说还有更便宜的画。(然后我自己就很不明显了,好像是躺在床上)而我就因为遗精带来的潮湿感醒过来了。”

     第六章-戊、梦的像征——更多的典型梦例-2

        分析——

        在发生此梦同一天的黄昏时候,梦者曾经在一间书店里,等待店员招呼的时候,望见一些展列在那里的图画,这和他在梦中看到的相似,他且去靠近一小张他很喜欢的图画,想看看作者是谁——不过他根本不认得这作者。

        后来(同一个黄昏),当他和几位朋友在一起的时候,他听到一个关于某放荡女佣人夸称她的私生子是在“楼梯上造出来”的故事。梦者询问了有关这不寻常事件的细节,知道这女佣人带着她的倾慕者回到家里。在那里根本没有机会性交,而那男人在兴奋当中就和她在楼梯上面行起周公之礼。梦者当时还用一个描述假酒的刻薄话做一个开玩笑的类比,并说这小孩事实上由“地窖阶梯的葡萄园”生产的。

        梦和那天傍晚发生的事有密切的联系,而梦者能够很容易地把它们说出来。但他却不容易把梦中属于幼儿期回忆的那部分挖出来。这楼梯是在他消磨大部分童年时光的屋子内,特别是他在这里第一次意识地接触到性的问题。他常在这楼梯游戏,除了别的事情以外,他还两脚跨骑在楼梯的扶手由上面滑下来——这给他性的感觉,在梦中他也是很快的冲下楼梯——是那么的快,由他的话看来,他并没有把脚放在梯级上,而是像一般人所说的“飞”过它们。如果考虑幼时的经验,那么梦的开始部分则表现出性兴奋的因素。——梦者曾和邻居的小孩在此楼梯以及其他的建筑物内嬉玩着有关性的游戏,并曾像梦中一样的满足他的愿望。

        如果我们记得弗洛伊德对性像征的研究——楼梯以及攀爬楼梯,几乎没有例外的表示着性交行为——那么这梦就很清楚了。其动机,由其结果的遗精来看,只纯粹的属于性欲的。

        梦者在睡觉当中激发起性欲——这在梦中是以冲下楼梯来代表。此性兴奋的虐待元素(基于孩童时期的嬉戏)在追赶以及控制女孩上显示出来。性欲冲动愈来愈增加并指向性行为——在梦中以捉获小孩,把她放在梯级的中段来代表。直到这里,梦仍然是像征式的具有性意味,而对没有经验的梦的解释者来说是不可了解的。但对性欲兴奋的力量来看,此种像征式的满足并不能让病人安睡,而这兴奋终于导致性欲高潮。因此整个楼梯的像征事实上代表着性交——此梦很清楚地证实了弗洛伊德的观点,即以上楼梯来像征性的一个理由是,二者都具有韵动性的特征:因为梦者在梦中很清楚很确定地表达的事是那韵律的性行为和它的上下动作。

        至于那两幅图画,除了它们的真实意义外,我还要补充一句,它们仍然具有“Weibsbilder”〔75〕的像征意义。很明显的有一幅较大一幅较小的图画,就像梦中有一个大女人和一个小女孩出现。而那“还有更便宜的画”则代表了有关娼妓的情意综;而梦者的名字呈现在较小的那幅画,以及那是生日礼物的观念则暗示着对双亲的情意综(在楼梯上出生=由性交而生下)。

        而最后那个不明显的情况,梦者看见自己睡在床上,同时有一种潮湿的感觉,似乎指向幼儿自慰期更前的时期,其原型是尿床的相似的快感。

         K一个变异的楼梯的梦

        我的一个男病人,具有严重的心理症而自我绝禁性的欲念,而他的幻想(潜意识的)则固着于她妈妈身上,常常反复地做着和她一起上楼的梦。我有一次向他提道,某些程度的自慰也许会比这强迫性的自制对他较少害处,然后他就做了以下这个梦:

        他的钢琴老师责骂他不专心练琴,骂他没有好好地练习Mocheles的“Etudes”及Clementi的“GradusadParnassum”。

        在评论的时候,他指出“Gradus”也是阶级的意思,而琴键本身就是梯阶,因为它分有音阶(scales)〔即阶梯〕。

        我们也许可以合理的说没有任何意念不可以用来代表“性”的事实和愿望。

        L真实的感觉以及对重复的表现一位三十五岁的男人报告了一个他记得很清楚的梦,并说是他在四岁时做的。那位负责管理他爸爸遗嘱的律师——他三岁时父亲就逝世了——买了两只大梨,给他一个,另一个则放在客厅的窗台上,他醒来的时候认为他梦到的是真事,并一直固执地要妈妈到窗台上把第二个梨子拿给他,他妈妈因而笑他。

        分析——这位律师是一位快活的老绅士,梦者似乎记得他真的曾经买来一些梨子。窗台就像他在梦里见到的一样。这两件事一点关联都没有——只是他妈妈在稍前的时候告诉他一个梦,说有两中鸟停在她头上、她曾自问它们什么时候会飞走;但他们并没有飞走,其中一只还飞到她嘴上吮吸着。

        因为病人不能联想,所以给我们以尝试用像征式来解释。那两个梨子——“pommesoupoires”——是那给他滋养的母亲的乳房;而窗台则是她乳房的投影,就像是梦中房子的阳台一般。他醒过来的真实感是有道理的,因为他妈妈真的在喂他奶,并且事实上比通常的时间还长,那时他能吃到她妈妈的奶〔76〕。这梦必须如此翻译:“妈妈再给我(或让我看)那从前我吮吸着的乳房吧。”“过去”是以他吃了一只梨子来代表;“再”则代表他渴望另一只。在梦中,对一行为的暂时性重复恒常以一物像的数目上的重复来表现。

        值得注意的是,在四岁小孩的梦中,像征已经扮演着部分角色,这是常规而非例外。可以很安全地这么说,梦者最开始的时候就利用像征。

        下面这由一位二十七岁的女士提供的不受外来因素影响的梦例显示她在早年的时候,在梦生活以外或以内亦应用到像征。她年龄在三岁与四岁间。保姆带她,和小她十一个月大的弟弟,以及年龄在二人之间的表妹上厕所,然后才一起外出散步,因为是老大,所以她坐在抽水马桶,而另外两个在便桶上。她问表妹:“你是否也有一个钱袋呢?华特(她弟弟)则有个小香肠,我有个钱袋。”她表妹回答:“是的,我也有个钱袋。”保姆很开心地听她们讲话,并回去向孩子们的妈妈报告,而她的反应是激烈的申斥。

        这里,我将加入一个梦(罗比锡在一九一二年在一篇论文中记录着),其中那些天衣无缝的美妙像征使我们不必得到梦者太多的协助就能解释得了梦。

         CM正常人梦中的像征问题

        常常用来驳斥精神分析的理由之一是,认为梦的像征也许是神经质思想的产物但却不会发生在正常人身上——最近这意思还被艾里斯所强调,而精神分析发现正常与神经质生活之间并没有基本而只有量的差距。的确,在梦的分析中——潜抑的情意综在健康或者病人身上都是同样的运作——显示出二者的机转与像征都是完全相同的。正常人纯真的梦事实上比神经质的人含有一些更简单、更聪明的及更特殊的像征,因为在后者中,由于审查制度更严谨的态度因而产生更厉害的梦的改装,使像征变得更含糊以及不易解释。下面的这个梦即说明了此事实,这是一个并非神经质,不过却是相当正规与保守的女孩子所做的梦,在和她的交谈中,我发现她已订婚,不过有些阻碍使她的结婚必须予以延迟。她自己告诉我下面这个梦。

        “由于庆祝生日,我在桌子的中间安排着花朵。”在回答问题的时候她告诉我,在梦里她似乎是在家里(她目前并不住在那儿),因而有一种“幸福的感觉”。

        由于常用的像征使我不需帮助即可翻译此梦。这是她渴望当新娘的愿望:桌子以及当中的花朵代表着她以及她的性器官;她以完成来表现出对将来的愿望,因为她已经想到要生孩子了;所以结婚已经过去了好久。

        我向她指出“桌子的中间”并不是个常见的表达方式(她承认了),但我当然不能直接的对这点多加询问,我小心地不去暗示她有关这像征的意义,只是问她对于梦中的分开部分,她脑海中有什么联想没有。在分析的过程中,她的保守态度因为对分析的兴趣而消失了,并因为会谈的严肃性而得以有一种开放性的态度。

        当我问那是什么花,她第一个回答是,“高贵的花,要为它付出代价的,”然后说它们是“山谷中的百合,紫色及粉红色,或者是康乃馨”。我假设在梦中呈现的百合花通常的是像征贞洁的意义,她证实了这个假设,因为她对百合花的联想是纯洁。山谷通常是女性的像征,因此梦的像征利用此两个花的英文名词的偶然配合强调出她贞操的可贵——“高贵的花,要为它付出代价的”——并且表达出她期待丈夫能够重视其价值,我们将看到“高贵的花”等片语在三个不同的花的像征中都有不同的意义。

        “紫色”表面看来是没有什么性的意义的;但据我看来,它似乎是很大胆的,因此也许可以追溯到它和法国字“viol (强奸)”的潜意识连接。使我惊奇的是,梦者联想到英文字中的“暴力”。此梦利用了(“violet”和“violate”)之间偶然的相似——它们只是在最后字母的发音上有不同——来以“花的语言”表达出梦者对于奸污的想法(另外一个利用花的像征),以及显露出她性格上可能存在的被虐待的特征,这是个很漂亮的利用“文字桥梁”(请看注〔36〕)来连接着到达潜意识之途径,“要为它付出代价的”则指要成为妻子或妈妈必须以付出其生命做为代价的。

        连接在“粉红色”后面是康乃馨,所以我想这字可能和“肉体的(al)”有关。但梦者的联想是“颜色”。她并说,康乃馨是她未婚夫最常给她以及给她最多的花。说完以后,她突然自己承认所说非实:她所联想的不是颜色而是肉体化——我所期望的字。恰好“颜色”也不是太离题的联想,但却受决于康乃馨的意义(肉色)——因此也是由同样的情意综来决定。这种缺乏坦率的情况表示在这点的阻抗是最大。相对的事实是,此点的像征性最清楚,而原欲和潜抑对于此阳具论题之间的斗争最是强烈。梦者叙述其未婚夫常常给她那种花朵不但暗示着“康乃馨”的双重意义,并且指出它们在梦中的阳具有意义。花的礼物——这如在生活中使她激奋的因素——表达一种性礼物的交换:她把贞操当着是一种礼物,并且期待着被回报以感情的与性的生活。在这里,“高贵的花,要为它付出代价的”无疑的一定也有着经济的意义。——因此梦的花的像征包括了处女贞操,男性以及暗示着奸污的暴力。值得指出的是以花像征着性是很平常的事(以花——植物的性器官像征着人的性器官),也许情人之间赠送花朵是具有此种潜意识意义的。

        她在梦中准备的生日,无疑的是指婴孩的诞生,她仿同其未婚夫,因此代表着他来为她准备生产——即是,和她性交。潜匿着的思潮也许是这样的:“如果我是他,我不会再等下去——我会不管安全期而和她性交——我会用暴力的。”这由暴力这字显示出,因此原欲的虐待因素得以表露。

        在梦的更深层,这句话:“我安排……”毫无疑问地具有自我享乐的味道,即是有着幼儿期的意义。

        梦者并且泄露了她对自己肉体缺陷的注意。而这只能在梦中才变为可能:她把自己看成像是一张桌子。没有突出,并且强调着“中央”的可贵——在另一个场合里她用了这些字“中间的一朵花”——即是指她的处女贞操,桌子的水平状态一定也和像征有关。

        我们应当注意此梦的浓缩:没有多余的,每个字都是一个像征。

        后来,梦者替这个梦加了补白:“我用绿色皱纸来装饰花朵。”她又说这是用来盖在普通花盆外面的“花纸”。她接着说:“来隐藏着不整齐的东西——那些会为人所见,并且是不好看的东西;有一个间隙,那是群花之间的空间。这些纸看来像是地毯或是苔藓。”对“装饰”,她的联想是“端庄”,和我期待的一样,她说绿色占大部分,而她的联想是“希望”——另外一个和怀孕的联系——在这个部分的梦,主要的因素并没有和男人仿同;羞耻之意念和自我启示先来,她为了他把自己装扮得漂亮,并且承认自己肉体上的缺陷——感到羞耻,并且想要尝试改正。她的地毯以及苔藓的联想很清楚地指示着阴毛。

        这梦表达了一些她在清醒时所没有觉察的思想——虽然是有关肉欲的爱以及性器官,她被“安排了一个生日”(译者按,生日指生产的日子)——即是说,她被性交。它亦表露了被奸污的恐惧,也许还有愉快的受苦思想。她承认自己肉体上的缺陷,而对自己是处女予以过分的价值来过分补偿。她以羞耻心做为肉欲的讯号,以及其目的在于生产一个婴孩的借口。物质的考虑(不在情人考虑之内的)也找到了表达的途径。连接在这简单的梦的感情——一种幸福的感觉——表示那强有力的感情情意综感到满意。

        费连奇说的很对,像征的意义和梦的意义在那些不会来找精神分析的人之梦中最容易找出来。

        在这里我要插入一个同一时代的历史性人物所做的梦。这样做是由于在任何梦例中都像征着男性性器官的对像在这里有着更深的意义,很清楚地表现了阳具的像征。马鞭无止境地伸长除了表示勃起外,就不能再代表什么了。此外,这是一个很好的例子,可以说明一些严肃的思想(除了性以外)也能由幼儿期的性资料来表现。

         CC俾斯麦的梦(录自沙克斯的一篇论文)

        在他那篇男人与政治家内,俾斯麦引用了他在一八八一年十二月十八日写给皇帝威廉一世的信,里面有这一段:“阁下的来信使我有勇气向阁下报告一个一八六三年春天做的梦,那是发生在战争最激烈的时候,任凭是谁也不知道结果是什么。我梦见(我醒来后的第一件事就是向太太以及其他的证人叙述此事)自己在狭窄的阿尔卑斯山小径上骑着马,右边是悬崖,左边是岩石。小径愈来愈窄,因此马儿拒绝再前进。因为太狭窄的关系,所以要回转过来走或下马都不可能。然后我以左手拿着马鞭,拍击着光滑的岩石,要求上帝的援助。马鞭无止限地延长,岩石壁像舞台上背景一样地跌下去(不见了),开展了一条宽敞大道,能够看到小山与森林的景色,像是波希米亚的;那里有普鲁士军队的旗帜。虽然是在梦中,我脑海中仍然立刻浮现着向你报告的念头。此梦很完满,而我醒过来的时候,全身充满着喜悦与力量……”

        这梦分为前后两半,在前半部里,病人发现自己动弹不得,不过却奇迹式地在第二部分中被救出来了。马儿和骑士的困境,很容易知道是此政治家危机境况的梦的图像。对此危机他也许具有一种特殊的苦楚,因为他在发生前对此问题思虑了好久。在上面引用的文字中,俾斯麦用同样的比喻(那里不可能有“出路”)来形容他当时的形势。因此,他必定很清楚此梦的图像的意义。这同时是塞拍拉“官能的现像”的一个好例子,梦者脑海里运行的各种程序——每一个他所能想到的解决方案都依次地受到不可克服的障碍,但是他却不能把自己由这执著撕开——很恰当地由骑士进退不得的情况描述出来。他的骄傲——使他不能考虑到投降或辞职的问题——在梦中是这样显示的,“回转过来或下马都不可能。”在他那种冲创性的人生(不停为别人利益而辛劳工作)中,俾斯麦一定很容易把自己想像成一匹马;事实上他好几次这样表示过,譬如在他著名的言论:“好马是死在工作中的”。由此看来“马儿拒绝前进”不过表示这过分劳累的政治家想要避开对于现况的处理,换句话说,他用睡觉与做梦来解除“现实原则”对他的束缚,及第二部明显显露的愿望的达成,其实在此文字中(阿尔卑斯山的小径)就暗示出来。无疑的,俾斯麦已经知道他将在阿尔卑斯山的Gastein度过下一个假期;因此这梦把他带到那里,让他一下子脱离所有政务的纠缠。

        在梦的第二部分,梦者的愿望之达成以两种方法来表现;一方面是明显的不经过伪装,一方面是像征性。其像征性的达成是以阻碍前进岩石的消逝,然后展示出宽敞大道来表现的——他梦寐以求的“出路”,且是最方便的。而不经过伪装的则是那前进的普鲁士军队的图像。为了解释这预言式的梦想,并不需要创造一些神秘的假设:弗洛伊德愿望达成的理论就够了。在此梦里,俾斯麦已经决定为了要避开普鲁士的内在冲突最好是赢取对奥地利的战争。因此,这梦表现出愿望的达成(就像弗氏所假设的)——当梦者看见普鲁士军队以及他们的旗帜出现在波希米亚(即敌人的境内)的时候。此梦例的特殊点是,梦者不只是以梦中的愿望达成就满足了,他知道如何在现实中达成。任何熟悉精神分析的人所不会忽略的一个特点是那无止限伸长的马鞭。我们很熟悉,马鞭、棍子、枪矛以及相似的东西都是阳具的像征;而当马鞭伸长的时候,则无疑地暗示着阳具最大的特征——延展性。而此现像的夸张,即它无止限地伸长,似乎暗示着源自幼儿期的过度投注(hypercathexis〔77〕)。而病人手握马鞭的事实则是清楚地暗示着自慰,虽然这并非指梦者现时的情况,而是许久以前的孩童欲念。史德喀尔医师发现在梦中左手是代表着错,抑禁的,以及罪恶的事,在这里是很适合的,因为这可以适用于孩童时受到抑禁的自慰。在这最深的幼儿期层面,以及和此政治家目前的计划有关的表面,我们很容易找到一个和二者有关的中间层。由马鞭击着岩石,同时向上帝求救,然后得到奇迹式的解放,和圣经中摩西由岩石击出水来救助以色列口渴的小孩非常相似。我们可以毫不犹豫地假定俾斯麦对圣经这一段记载非常熟悉,因为他是来自一个热爱圣经的新教家庭的。很可能在这段冲突的期间内,俾斯麦把自己比喻成摩西——不过这解放人民的领袖,得到的回报却是反叛、仇恨与忘恩。在这里我们应当和梦者当时的意愿相连着。不过,此段圣经记载亦含有自慰性幻想的内容,摩西在神下命令的时候,手握着杖子,而上帝因为他这违法而处罚他,说他在未进入良善邦国(译者按:指有希望之良善邦国或境况)之前必会死去。那被抑禁的握杖子的举动(在梦中无疑的具有阳具的意思),因为它的鞭击而导致水源,和死的威胁——这一切中我们都能找到幼儿期自慰各种主要因素的连合,我们很有兴趣地观察到:此校定的过程如何把这两个不同来源的图像焊接在一起(一个源自天才政治家的心灵,另一个则来自孩童心灵的原始冲动),并因此成功地消除了所有引起困扰的因素,握着杖子(或鞭)是个禁忌以及反叛举动的事实,只是像征地以“左手”表示而已。另一方面,在梦显意中,呼唤上帝是要公开否定任何的抑禁以及秘密的。至于上帝对摩西的两个预言——他会看到良善的邦国,但是不能进入之——第一个是很清楚的满足的表现(“看到小山与森林的景色”)而第二个令人苦恼的则根本提都不提。水也许是因再度校正而删除了,这成功地使此景色和前一个连成一单元,即以岩石的消逝替代了水的流出。

        我们可以期望在幼儿期自慰性幻想的末了时(这包括抑禁的因素),孩子一定希望他环境中的权威人士不知道任何发生过的事情。在此梦中刚好相反——想要立刻将所发生的事情报告国王,但这反而很奇妙地和表层梦思的胜利幻想以及梦显意一部分天衣无缝地配合着。

        这种胜利与征服的梦,常常掩盖着情欲战胜的意愿;梦中的某些特征,譬如说,梦者的前进受到阻碍,但当他运用他那可伸展的鞭子时就展开了一条宽敞大道,可能即指向这点,但是却没有足够的基础可以推论说此种确定的思想与意愿呈现在整个梦中。这是个成功的梦的改装的例子。任何令人不快的事都被表面的保护层所掩盖着,因而可以避免任何焦虑的产生,此梦是个成功的意愿达成,丝毫不违背审查制度;所以我们可以相信这是在来的时候是“充满着喜悦与力量”。 

         最后的一个例子是: 

         CD一个化学家的梦 

        这是一个年轻男人的梦,他致力于放弃自慰的习惯,因为较喜受与女人的性关系。 

        序—— 

        在梦的前一天,他指导学生做Grignard氏反应,即经由碘的触媒作用将镁溶解在绝对纯粹的乙醚中。两天前,当同样的反应在进行时发生了爆炸,把其中一位工作者的手烧伤了。 

        梦——① 

        他似乎是要合成苯——镁——溴的化合物。他很清晰地看到了实验器具,但却把自己替代了镁。现在,他发现自己处在一个很不安定的状态。他不断地对自己说:“这样对了,事情进行得很顺利,我的双脚已经开始溶解,膝盖也变软了。”然后他用手抚触着脚。这时(他不能说出是如何做的)他把双脚抬出容器之外,对自己说:“这不会是对的。 

        虽然,应当是这样的。”在这当儿,他已经部分醒来了,不过为了要向我报告,他就重温一下此梦。他对梦中的解决感到非常害怕,在这半睡状态中,他很激动并重复着“苯,苯。”

        ②他和家人正在——ing,十二点半的时候他要到SchottenBter〔78〕去会见一位特别的女士。但他却在十一点半才醒来,和自己说道:“已经太晚了。你不能在十二时半到达那里。”然后,他就看见全家人围坐在桌子旁;他的母亲是特别的清晰,而女佣人正提着汤盆。所以他这么想:“既然已经开始晚餐了,那么要出去也是太晚了。”

        分析——他自己也认为无疑的,即使是第一部分的梦也和要会面的女士有关(这梦发生在他约会的前一天晚上)。他认为他指导的那个学生是特别令人讨厌的,他会和他说:“这是不对的。”因为没有任何迹像显示出镁曾受到影响。而那学生以一种漠不关心的语调回答:“不,也不是这样的。”那学生一定是替代了他自己(病人),因为他对这分析也和那学生对合成一样漠不关心。而那梦中的“他”则是替代了我。对他不关心分析结果,我一定是很不高兴的呀!

        另外,他(病人)是那被用来分析(或合成)的材料。问题是成功的效果如何。梦中关于他脚的事提醒了在前一天傍晚发生的事。他在练习完舞蹈后遇到一位他想追求的女士,他把她抱得那么紧以致于她有一次叫了起来。当他松懈对她脚的压力时,他能感觉到她强力对应的压力正顶迫他大腿的下部直到膝盖的部位——这和他梦中提到的部位相同。由这看来,这女人正是瓶里的镁——事情终于进行着。对我的关系来看,他是女性的,就像是对应于那女人来说,他是男性的。如果和那女人的关系进行很好,那么他的治疗也能顺利达成。他本身的感觉以及膝盖的感受都指向自慰,而和他前一天的疲倦有关——他和那女人约会事实上是在十一时半,而他想以睡过头来回避,而和他的性对像留在家里(即是自慰)则对应着他的阻抗。

        在他重复着“Phenyl”的关联上,他告诉我他很喜欢这些末尾是“—yl”的字,因为它们很好用:如benzyl,acetyl等,这解释不了什么。但当我向他暗示着“Schlemihl”也是这系列的另一个时〔79〕,他很开心地笑起来,并说,在这个夏天的时候,他读了一本由皮和斯写的书,里面有一章是“LesExc LusdeLamour”,里头事实上包括对LesSchlémiliés的批评。当他念此书的时候,他向自己说:“这就和我一样——如果他错过了这个约会,那么他就是另一个‘Schlemihlness’的例子。”

        梦中的性像征似乎已经在实验上予以证实了,在一九一二年史罗德医师〔利用史渥柏达所提出的条例〕,使受到深度催眠的人产生梦,结果发现其内容大半受决于暗示。如果暗示他应梦见正常或不正常的性交,那么这受决于暗示的梦,就会利用那些为精神分析所熟悉的像征来取代性的材料。譬如说,如果暗示一位女士,说她应该梦见和一位朋友做同性恋的性交,那么这朋友在梦中背着一个毛茸茸的手提袋,上面有个标签注明“只限女士”。这位做梦的女士以前一点不知道梦的像征与解释,不过在我们要对这些有趣的试验下个判断时却遇到了困难,因为史罗德在做完这实验不久后就自杀了。唯一留下的记录只是刊载在ZentralbattfürPsyalyse 的原始的通讯。

        同样的结果亦由罗芬斯坦在一九二三年报告,而彼韩和哈曼所做的一些实验是特别有趣的。因为他们没有利用催眠术,他们讲了一些大略和性有关的故事给患Korsakoff氏精神病病患听〔80〕,把他们搅糊涂,然后要他们把这些故事再说出来以观察其歪曲的情形。他们发现在解释梦所熟悉的像征在这里却出现了(譬如,上楼、插入与枪声像征着性交,而刀、烟像征着阴茎)。他们且对楼梯像征的出现认为特别重要,因为他们正确的观察到“没有任何意义的改造欲望能够做成此种像征”。

        只有当我们对梦中像征的重要性做个合适的评价后才能够继续研究前面第五章提到的典型的梦。我想应该把这些梦大略地分为两类:①那些永远具有同样意义的,以及②那些虽具有同样的梦内容却有着各种不同的解释的。关于第一类的典型的梦,我在考试的梦中已经相当详细地说明过了(请见第五章)。

        关于漏搭火车的梦应当和考试的梦放在一起,因为它们具有同样的感情,而由其解释使我们觉得这样做是对的。另外有一种安慰的梦,和那种梦中觉察到的焦虑相反——即对死的害怕。“分离”是最常用也是最容易建立起来的死之像征。因此这种安慰的梦是这样的:

        “不要怕,你不会死(分离)。”就像考试的梦会这样安慰地说:“不要怕,这次也不会有什么发生。”这种梦的困难处是在它除了安慰的表达外,还会有焦虑的感觉。

        那些由于“牙齿刺激”引起的梦,常在分析的病人出现,不过却逃离我的了解之外好久,因为它们对分析总是具有太强烈的阻抗作用,但最后,有许多充实的理由,使我相信在男人中,这些梦的动机都是由青春期自慰的欲望而来。我将要分析两个这样的梦,其中一个也是“飞行的梦”。它们都是由同一个人梦见的——他是个年轻男人,具有强烈的同性恋倾向,但在真实生活中却尽量抑禁。

        他由剧院厅堂观赏着费得里奥的演出;他坐在L君的旁边,此人与他意气相投,而他很想和他做朋友,突然间他由空中飞过剧院大厅,并把手放在嘴巴里拔出两根牙来。

        他说这像是被投掷在空中的感觉。因为上演的剧是费得里奥,所以下面这句子:

        WereinholdesWeiderrungen……

        这似乎是合适的,但即使是获得最可爱的女人也不是梦者的愿望。另外两行是更适当的:

        WemdergrosseWurfgelungenEinesFreundesFreundzusein〔81〕……

        此梦因此包含此“历害的抛掷”但却不是意愿的达成。它并隐现出梦者痛苦的经验,他的友谊常常是不幸的,会被“摔出去”。它亦隐现着这个恐惧——他怕此厄运也在他和此朋友的关系上重现(而现在他在其旁边欣赏费得里奥)。接着这个喜爱挑三拣四的梦者认为是很羞耻地作了下述的坦白:“有一次当被一位朋友拒绝后,他在肉欲的兴奋下连作了两次的自慰。” 

        WemdergrosseWurfgelungen, 

        EinesFreundesFreundzusein, 

        Wereinholdesweibergen…… 

        下面是第二个梦:他被两位熟悉的大学教授治疗,而不是我,其中一位对他的阴茎做某些处理:他害怕开刀。另外一个用铁条压住他的嘴,因而使他掉了一或二根牙齿。他被四条丝巾缚起来。

        此梦具有性意义是没有疑问的。那丝巾暗示着与对一位相熟的同性恋者的仿同。梦者从来没有性交过,在真实生活中也从来没有想要和男性性交;因而他想像的性交是源于他青春期常有的自慰而来。

        由我看来,各种有牙齿刺激的典型梦的身体(如牙齿被某人拔掉等)都可以作同样的解释〔82〕。但我们感到困扰的是为何“牙齿刺激”会具有此种意义呢?对于此点,我想强调,对性的潜抑常常是利用身体上部来转换身体下部〔83〕。因此歇斯底里症病患各种应该表现在性器官的情感与意愿都在其他不被反对的身体部位表现出来(如果不表现在适当的性构造上)。我们有一个例子,在潜意识的像征中,性器官是以面孔来像征。在语言学上,屁股和面颊是相似的(Hinterba字面的意思是后面的面颊),而阴唇和围绕着口的嘴唇相似,把鼻子和阴唇相比是常见的,而类似由于二者留有长毛而更趋下完全。只有牙齿不能有任何可能的类比;但正因为是这种相似与不相似的组合使牙齿在受到性潜抑的压力很适宜用来做表现的媒介。

        但我不能假装说具有牙齿刺激的梦都是自慰的梦这件事已经全部解决了〔84〕——虽然我对这种解释没有丝毫疑心。我已经尽我所知地加以解释,剩下不能解决的也只好不提。但我仍要引述另一个语意学上相平行的用途。在我们这世界中,自慰的行为含糊地被形容为“sienausreissen”或者是“sieerreissen”〔字面的意思是“拉自己出来”,“把自己弄贱〔85〕”〕。我不知道这名词的来源或其想像的基础;但“牙齿”和第一句话很配。

        根据一般人的相信,梦见牙齿掉下来或被拔掉是解释着亲戚的死亡,便由精神分析的观点来看,这最多是在开玩笑下才能成立(前面已说过)。不过这里;我却想引用密克所提供的一个牙齿刺激的梦:

        “我一位同事,好久以来就对梦的解释具有深厚的兴趣,他寄给我这个源于牙齿刺激的梦。

        不久前,我梦见自己在牙科诊所内,医师正在磨钻我下巴的一根坏牙。他工作了好久,结果使牙齿变得无用。然后他捉起一把铗子,毫不费力就把它拔出来——这使我吓了一跳。

        他叫我不必担心,因为他真正治疗的对像并不是牙齿本身。他把牙齿放在桌上,它立刻分离成几层(对我来说,这似乎是上排的门牙)。我由牙科手术椅子上爬起来,好奇地靠近它,并问一个吸引我的医学问题。牙医师这时一面在把我出奇的牙齿各层分开,并用某种器具把它捣碎,一面回答说,这和青春期有关,因为只有在青春期以前,牙齿才这么容易掉出来,如果是女性的话,则要在生下孩子后才是如此。

        然后我就感觉到(我相信那时我是处在半睡状态下)自己在遗精,但是却不能很清楚地知道这和梦的那个部分有关,不过好像在牙齿拔出来以前就发生了。

        我然后又梦见一些我不再记得的东西,不过其结尾是这样:我把帽子和大衣遗留在某些地方(也许是在牙医师的衣帽室内)希望有人会赶着拿来给我。而我那时只穿着外套,正要追上一辆已经开动的火车。我在最后一刻跳上了最末尾的车厢,当时已经有人站在那里。虽然我无法挤入车厢里,一直得忍受在此种不舒服的状况下旅行,但最后终于成功逃脱了。我们的车子要进入隧道的时候,迎面开来两架火车,看来它们就像是个隧道。由其中一个车厢的窗子望出去,我似乎觉得自己是在车子外面。”

        而前一天的经验与思潮提供了解释此梦里的资料。

        (1)事实上我最近到牙科部门治疗,而在做梦的那天,我下巴的牙齿继续不停地痛着——恰好是梦中牙科医生所磨钻着的——而正好他对此牙齿处理又比我想像的要久。在做梦的那天早晨,我再度因为牙疼到牙科医师那里;他和我说也许还要拔掉下巴的另一个牙齿,因为痛也许是源于此处,那是智慧齿。那时我问了一个问题,关联到他对此事的医德问题。

        (2)同一天下午,我因为牙疼引起的坏脾气而向一位女士道歉;而她告诉我她害怕把她的一个牙根拔出(其牙冠已经完全报销了)。她想拔掉眼牙是特别疼与危险的事,虽然一位熟人告诉她要把上排的牙拔除是很简单的(她的坏牙正好是在上排)。这位熟人又告诉她说有一次在局部麻醉之下他被拔错了一根牙。这又增加了她对此必须的手术的害怕。然后她又问我眼牙是臼齿抑是犬齿,以及我对它们的认识。我向她指出这些意见是迷信的,虽然同时也强调了某些大家所接受的事实。然后她向我提起一个很古老而又流传广远的传说——如果孕妇具有牙疼的话,那么她将会有一个男孩。

        (3)这说法引起我的兴趣来,因为这关联到弗洛伊德在  《梦的解析》中所提到的“牙齿刺激的梦是自慰的替代”——此女士说在民间传说中牙齿和男性性器官(或男孩)是相关的,当天晚上我就翻阅  《梦的解析》的有关部分。我发现下面这些论点和前述两件事一样对我的梦具有影响。弗洛伊德对“牙齿”刺激的梦的意见是:“在男人中,这些梦的动机都是由青春期自慰的欲望而来。”以及“各种有牙齿刺激的典型的梦的变体(如牙齿被某人拔掉等)都可以作同样的解释。但我们感到困扰的是为何‘牙齿刺激’会具有此种意义呢?对于此点,我想强调对性的潜抑常常是利用身体上部来转换身体下部(在这个梦中,却由下巴转到上颔)。因此歇斯底里症病患各种应该表现在性器官的情感与意愿却在其他不被反对的身体部位表现出来。”以及:“但我仍要引述另一个语意学上相平行的用途。在我们这个世界当中,自慰的行为含糊地被形容为‘Sienausreissen’或者是‘sienherunb terreissen’”。在年轻的时候,我就知道这种表达即代表着自慰,而有经验的梦的解释者将会很容易地找到此梦中潜隐的幼儿期资料。另外梦中的牙齿如此容易被拔出(后来变为上排的门牙),使我记起孩童时的一件事——我自己把松动的上排门牙拔掉,很简单而且不疼痛。这件事(我仍然能很清楚记得它的细节)恰好发生在第一次有意识地对自慰的尝试〔这是一个银幕式的记忆〕。

        弗洛伊德所引用杨格的话:“发生在妇女的牙齿刺激的梦具有‘生产的梦’的意义”

        (见注〔82〕),和一般人所相信的孕妇牙疼的意义造成了此梦中有关(青春期)男女病例不同的决定因素。这又使我记起了前一次由牙科诊所回来后所做的梦,那次我梦见刚嵌上的金牙冠掉出来;这使梦中的我大为愤怒,因为我已花了大笔的钱,而这笔钱还没有弥补过来。现在我已经能了解这个梦的意义了(获得了许多经验以后)——这是对自慰在物质上胜过对像爱的体认:因为后者,由经济的观点来看,都是比不上前者的(即金牙冠gold〔86〕);而我相信此女士关于怀孕妇女牙疼的意义又再唤起我的这些思想。

        我想此同事的解释是极富启发性,也没有可以反对的。我没有什么追加,除了对第二部分的梦所可能隐含的意义外。

        这部分似乎表现出梦者自慰到正常性交的转变——而很明显的是经过极大困难(如火车进出的隧道)及后者的危险性(如怀孕以及外衣)。梦者在这里利用了这文字桥梁:

        “Zahn—ui-hen(zug)”及“Zahn—reissen(reisen〔87〕)”。

        另外,理论上此梦例使我感到兴趣的有两点:第一,它提供了赞同弗洛伊德理论的证据——梦中发生的遗精是伴随着拔除牙齿的举动的。不管此种遗精以何种形式呈现,我们都应该把它看成一种不需假手机械刺激的自慰式满足。另外,此梦中伴随着遗精的满足并没有任何对像——而通常这是有对像的,即使是幻想的——所以它完全是自我享乐的或者最多也是些微的同性恋(因为牙科医师)。

        第二点需要强调的是,也许有人会这样子反驳说此梦例并不能证明洛伊德的理论,因为前一天发生的事就足够使这梦让人了解。梦者见牙科医师,和某女士的谈话及阅读的梦的解释都能清楚地解释他为何会产生此梦,特别是他的睡眠遭受牙疼的困扰。如果需要,我们也可以这样解释,此梦是如何处置了那打扰他睡眠的牙齿——利用那减除牙疼的想法,以及将梦者所害怕的疼痛感沉溺于原欲内。但即使是很不严格,我们也不能很诚恳地相信,单单念了弗洛伊德的解释,梦者就可以把拔牙齿和自慰连在一起,或者是能够把那个关联实行——除非这想法长久以来就存在的,而梦者自己也承认这点(在这句话“Sienausareissen”中)。这关联不但借着与该女士的谈话而复苏,并且也和他下面所报告的事件有关,因为在读梦的解析时,他很不愿意相信(其理由是可以了解的)此种牙齿刺激的梦的意义,并且想要知道此意义是否能应用到所有的这种梦上,此梦证实了这点(至少对他来说),并说明了他为何会去怀疑此理论。由这观点来看,此梦亦是种愿望达成——即是,想要让自己相信弗氏观点的正确度和可适用的范围。

        第二类典型的梦包括那些梦者飞或浮空中,跌落,游泳等。这种梦又有什么意义呢?要给予一般性的回答是不可能的,我们下面将看到,它们在每个梦例里都是不相同的;只有它们那些未经处理的感觉材料才是由同一来源导衍的。

        精神分析的材料使我断定此种梦亦是重复这孩童时期的印像;它们和“动作”的游戏有关——即是那些非常吸引孩童的游戏(具有动作的)。没有一位叔叔不会把孩子架在伸展的双手上,而奔驰于室中(显示如何飞),或者是让孩子骑在他膝盖上而突然伸直其脚,或者把他高举着然后假装让他落下。孩子们非常喜爱此种经验,不断要求再来一遍,尤其是当这些动作会带一些害怕与头眩。好多年后,他们就会在梦中重复这些经验;但是在梦中他们省略了支持的手,因此他们就像浮着或跌落,而没有丝毫的支持。孩童喜爱此种游戏是为人所尽知的(如荡秋千及翘翘板);而当他们看到马戏班子里的杂技表演时,此种记忆又复活了。男孩子歇斯底里的发作有时是此种玩耍的重演——具有繁杂的技巧。这种动作的游戏虽然本身是清白的,但却常常引起性的感觉。孩童的顽皮游戏——如果让我用一个字来形容这些行动——常常在飞行,跌落,眩晕等的梦中重现;而那些愉快的感觉则变形为焦虑感。这就像每个妈妈知道的一样,此种顽皮的行动常常以拌嘴和哭泣结束。

        因此,我有足够的理由反对那种认为飞行或跌落的梦的由于睡觉中的触觉感或者是肺脏伸缩感等而引起的理论,我认为这些感觉是由梦所牵连到的记忆之重复;即是说,它们是梦内容的一部分而并非其来源〔88〕。

        因此,这些由同样的来源,相似的动作而导衍的材料可以用来表现各种可能有的梦思。

        所以自由浮沉的梦(通常是具有欢愉的调子)具有各种解释;对某些人来说,这些解释是因人而异的,但对其他人来说,它们又可能是典型的。我的一位女病人常常梦见自己在街道某个高度上浮游着。她很矮,并且很害怕别人接触所受到的污染。她这个飘浮的梦满足了她两个愿望,即是把她的脚由地上升高,并且把她的头抬举到更高层的空中。在另一个女病人中,则发现她的飞行的梦表达了“像一只鸟”的欲望;而别的梦者借以变为天使,因为白天的时候他们并没有被称呼为天使,由飞行和鸟的密切关联看来,男人的飞行的梦是具有肉欲的意义的(请看第七章注〔27〕),因此,当我们听到有些梦对于此种飞行力量感到骄傲时是不必感到惊奇的。维也纳的费登维也纳的费登——后来到纽约了——曾经在维也纳精神分析的集会上报告了这种非常吸引人的理论——即这种飞行的梦都是勃起的梦;因为这常常占据人类幻想的奇特的勃起,给人的印像是反重力作用的(请和古代的配有飞翼的阳具相比)。

        值得一提是像窝特那位真正反对任何一种梦解释的道貌岸然的研究者亦支持飞行或飘浮的梦是具情欲的。他说这种情欲的因素是“飞行的梦最强有力的动机”,并且强调伴随着的强烈震荡感,以及勃起和遗精的次数。

        “跌落”的梦则常常具有焦虑的特征。在妇人来说此种解释是毫无困难的,因为她们几乎一定以“跌落”来做为向情欲诱惑低头的像征。我们并没有忽视跌落的幼儿期的来源,几乎每个孩子都有跌倒然后被抱起来爱抚的经验;如果晚上由床上摔下来,保姆会把他们抱到床上去的。

        那些常常梦见游泳,并且在水中划游前进时感到极其愉快等等的人通常都是尿床的,他们在梦中重温他们早就经由学习而放弃的乐趣。下面我们将由不止一个的例子中知道游泳的梦最容易代表的是什么。

        有关火的梦之解析证实了禁止孩子玩火的规定——因此他们不致于在晚上尿床,因为这些梦例中有许多关于孩童时期尿床的回忆。在我那本《一个歇斯底里病患的部分分析》(杜拉第一个梦)中,我利用梦者的病症叙述一个此种梦的完全分析与合成,并且也表现出此种幼儿期的材料如何被用来表现成人的行动。

        如果我们把这名词看成是呈现于不同梦者但却具有相同内容之梦的显意时,那么我们就可以提出许许多多的“典型”的梦来。譬如说,我们可以叙述经过狭窄道路或者是在许多套房中踱来踱去的梦,或者是一些有关窃盗的梦——对这些,神经质的人在睡前会事先采取防范措施。还有人则梦见被野兽追赶(野牛或者马匹),被人用刀子,匕首,或矛枪威胁着——后面这两类梦是那些焦虑者的梦的显意所特有的——等等。对这些资料的特别研究是值得的,不过在这里我却想提出两个由观察得到的现像〔89〕,虽然这并非完全只能用于典型的梦上。

        我们愈是寻求梦的解答就愈发现成人大多数的梦都是和性的资料以及表达情欲愿望有关。这只是适用于那些真正解析梦的人——即是说那些由梦的显意中发掘出其隐意者——而不是那些单单记下梦的显意就感到满足的(譬如说,纳克记录的性的梦)。我现在要说这个事实一点都不令人惊奇,而且和我解释梦的原则完全符合。因为从孩童时期开始,没有一个本能有像性本能和其各种成分遭受那样大的潜抑(请看拙著《性学三论》——由林克明先生译);因此,也没有其他的本能会留下那么多以及那么强烈的潜意识愿望,能够在睡眠状态中产生出梦。在解释梦的时候,我们不应该忘掉性情意综的重要性,当然也不可以太过夸大,以致于把它认为是唯一重要的。

        如果仔细解释的话,我们可以断定许多梦却是双性的,以一种过分解释来表现梦者同性恋的冲动——即那些梦者的正常行为的相反冲动。所以我不准备支持史德喀尔以及阿德勒所认为的“所有的梦都是两性的”论调,因为我认为这是不能举例说明,以及不像是真的。但是值得注意的是许多梦都能满足不是情欲(广义的)的需求;如饥渴的梦,方便的梦等,所以我亦认为那些“每个梦的后面都有死亡的阴影”(史德喀尔)或者是“每个梦都显示出梦由女性倾向男性化的趋势”(阿德勒)都是不适用于梦的解释的。

        至于“每一个梦都需要性的解释”的话(批评家对此点不停地以及愤怒地加以抨击)不能由我这本  《梦的解析》中找到。在前面八个版中没有,在将来的版本中也不会有。

        我已经在别的地方(请看本书第五章)指出一些看来是无邪的梦可能涵藏着情欲的愿望。我能用许多的例子来证实这点。而许多表面是淡薄无奇,不为人注意的梦,在分析后却是有关“性”,并且是出人意料之外的。譬如说,在未分析前,谁曾想到下面这个梦是具有性的意愿呢?梦者这么说:稍在两个富丽堂皇宫后面一点有一个门户闭锁的小屋。太太带我走过通往小路的途径后把门打开;于是我很容易以及很快地溜入内部的庭院,那里有个斜斜的上倾。任何一位具有少许翻译梦的经验者立刻就会想到穿入狭窄的空间,以及打开闭锁的门户都是最常见的性的像征,因而知道此梦代表着肛门性交的意愿(在女性的两个堂皇的两臀之间)。那个狭窄而导向斜斜上倾的,当然指的是阴道。梦者在梦中受太太协助的事实使我们这么断定,在现实里,由于太太的顾虑使他不能实现此种意图。而在做梦的当天,有位女士到梦者家里来往,并且给予他此种感觉——即如果他要如此做时,她是不会有太大的反对的,两个皇宫之间的小屋是巴拉格炮台的回忆,而这又更进一步关联到此女士,因为她是由那里来的。

        当我向一位病人频频强调说伊底帕斯的梦常常会发生时(即梦者和其母亲性交),他常常如此回答:“我没有做过这种梦的回忆。”不过,在这发生后,病人会记起其他一些不显著与平淡无奇但却重复出现的梦。但分析后却显示这又是一个伊底帕斯的梦,我能够很确定的说,和母亲性交的梦大多数是经过伪装而很少是直接呈现的〔90〕。

        在许多关于风景及地方的梦中,梦者都这么强调:“我以前到过这地方。”〔此种似曾见过在梦中具有特殊的意义〔91〕。〕这些地方恒常指梦者母亲的生殖器官;因为再也没有别的地方可以让人有此种确定——认为他以前到过。

        有一次我被一位强迫性心理症患者的梦弄糊涂了。他梦见去拜访一间他见过两次的房屋。但这位病人在相当久以前,曾经告诉过我,他在六岁时的一件事——有一次他和母亲同床而睡,不过却在她睡觉时把手指插入她生殖器内。

        许多常常带有焦虑的梦具有此种内容,即梦者穿过狭窄的路途,或者在“水”中,都是基于一种对子宫内生活,存在于子宫,和生产过程的幻想。下面即是一个男人的梦,表现出他在幻想中如何在子宫内观察其父母的性交。

        他处在一个深坑中,不过却具有一个像Semmering隧道〔92〕中的窗门。起先,他由窗口望见空旷的风景,不过却发现一个图像填补了这空隙(它立即呈现,并堵住这间隙)。这图画表现一片经过深耕的土地;而新鲜的空气,蓝黑色的泥巴,以及此景像带给人一种“勤苦奋发”感觉,激发出美丽动人的印像。然后他又看见一本关于教育的书在他面前展开……

        而他感到惊奇的是,里面大部分提到(孩童的)对性的感觉;而这使他想到我。

        下面又一个女病人漂亮的水的梦——这在她的治疗中极富意义。

        在那她假期常去的……湖中,她在一处冷月反映的部位投入郁黑的水中。

        这种就是出生的梦。它们的解释刚好和梦的显意相反:即不是“投入水中”而是“由水中出来”——即是出生,我们可以由法国俚语“lune”(即下部)连想到人出生的部位。冷月正好是孩童们想像他们出生的地方。而病人希望在她夏天度假场所出生,到底具有什么意义呢?我这么问她,而她毫不犹豫地说:“这治疗不就使我觉得是再度出生吗?”因此这梦即是邀请我在夏天度假的地方继续对她治疗——换句话说,在这里治疗她。也许这梦中亦有一个轻微的欲做母亲的暗示〔93〕。

        下面,我将由钟士的著作中摘录另一个出生的梦。“她站在海滩上,望着一位很像是她本人的男孩在那儿涉水。他一直走进水里,直到她望见他的头在水中或浮或沉为止。然后这景像就转到一个充满人潮的旅馆大厅。她丈夫离开了她,而她和一陌生人“进入谈话”。分析后发现第二部分的梦表现她欲背叛丈夫而和第三者发生关系……。第一部分则是个相当明显的出生幻想,不管是在梦或神话中,孩子由羊水中生产经常是用孩子投入水中的改装来表现;这些例子中较为人熟悉的是阿多尼,贺悉里,摩西及巴克斯的出生。在水中浮沉的头使病人想起她自己怀孕时所经验到的胎动。男孩进入水中,导致一个相反的想法。即是把他由水中拉出来,抱入育婴室,把他洗好,穿好,然后带到家里去。

        因此,第二部分的梦即表现出属于梦的隐意(私奔)的前半部;而第一部分的梦又和梦的隐意的后半部(出生的幻想)相对应。除了这秩序的颠倒外,在这两部分的梦中还有更多的倒反。在梦的前半部中,男孩子涉入水中,然后是他头在水中浮沉;不过在蕴含的梦思中却是胎动,然后孩子破水(双重倒反)。在梦的后半部中,丈夫离开她,而在梦思中则是她离开丈夫。

        亚伯拉罕报告了另一个出生的梦——一位接近产期的年轻孕妇的梦。“一个地下通道直接由她房间地板通到水源(生殖道——羊水)。她拉开地板的机关门,很快地冒出一只全身长着褐色毛发,很像海豹的动物,这动物突然变成梦者的弟弟——对他来说,她老是具有母亲的像征。”

        峦克由许多梦例中指出出生的梦利用和具有小便刺激的梦一样的像征。在后者中,情欲刺激以小便刺激来表现;而这些梦的各种层次的意义和自孩童以来逐渐改变的各种像征意义相对应。

        说到这里,我们应当再回述到前章中断了的题目:那种打扰睡眠的肉体刺激对梦的形成的影响。受到此种影响的梦不但公开表示愿望达成和为了方便的目的,并且常常是一个明晰的像征;因为此刺激常常在像征式的伪装下,在梦中与它斗争失败后把梦者弄醒了。这不但施用于遗精与激情的梦,并且适合于那些遗尿或遗粪的情况。“遗精的梦的特殊性质不但使我们直接观到一些被认为是典型,但无论如何却受到激烈议论的性的像征;并且使我们相信一些看来是纯洁无邪的梦中情况不过是性景像的前奏曲罢了。通常,后者只有在较少见的遗精的梦中才不经过伪装而直接呈现,其他时候,则变成焦虑的梦而使梦者惊醒”。

        具有尿道刺激的梦的像征意义在很早以前就被人知晓。希伯克拉底曾经认为梦见喷泉及泉水则表示膀胱有毛病(艾里斯录)。歇尔奈尔研究尿道刺激的多重像征后,断定“任何具有相当程度的小便的刺激通常会转成性区域的刺激,并且像征性地表示出……具有小便刺激的梦常常岩现“性”的梦。

        峦克在他那篇关于惊醒的梦的多重性像征的讨论中这么断定,许多具有小便刺激的梦,实际上是由一些性的刺激所引起,不过却退化地想由幼童的尿道乐欲中取得满足。特别是那些从小便刺激导致的清醒和排尿。不过梦却不顾一切地继续着,因而以不经过伪装的方式表露出情欲幻想例子是更富于启发性的〔94〕。

        同样的,肠子刺激的梦的像征,亦具有相类似的对比;并且证实了社会人类学常提到的金子和粪便之间的关联,“比如说,一位因为肠胃疾患受治疗的妇人梦见一个人在一间看来像是乡村户外厕所的小木屋附近埋藏着宝藏。梦的第二部分则显示她正在抹净她那刚拉完大便的小女孩的臀部”。——峦克拯救的梦亦和出生的梦相关。在妇人的梦里,被拯救,尤其是由水救出,和生产是具有同样意义的,对男人来说,此种梦的意义则不同了〔95〕。

        强盗,窃贼,和鬼怪——这是人们上床前所害怕的,并甚至会妨碍我们的睡眠——源于同样的孩童回忆。他们是那些半夜三更吵醒孩子,以免他们尿床,或者是翻开他们的被单,以检查孩子的手放在什么地方的夜间访问者(双亲)。在分析一些焦虑的梦时,我曾经使梦所回想起这些夜间访问者:

        强盗常常是梦者的父亲,而鬼怪则是穿着白袍的女性。

     第六章-己、一些例子——算术以及演说的梦

         己、一些例子——算术以及演说的梦

        在提到影响梦之形成的第四个因素以前,我要引叙我收集的许多梦例。部分的原因是要说明前述三种因素的相互合作,部分是为了要提供一些证据来支持那些至今仍未提出充分理由加以证实的断定,或者是为了要寻出一些必要的结论。当说明梦的运作时,我发现很难用例子来支持我的见解,因为支持某种命题的情况只有在梦的解释的整个内容下才有意义,如果离开了整体,它就失去了意义。但是,由另一方面来看,即使是粗浅的分析亦会导发出无数的内容来,因而使我们困扰而记不起原来想说明的思想串列。这技术上的困难,将是我的借口,那么,如果读者在下面描述中发现各色各样的东西,没有任何的共通点(除了和前面数节的内容有关外)。

        我想先举几个很特殊或者是很不寻常的梦的像征方式。

        一位女士梦见:一位女佣人站在梯子上,好像是要洗擦窗子的样子,身边带着一头黑猩猩及一只猩猩猫——后来她改正为长毛而有丝光的猫。这位佣人把这些动物向她身上抛来;黑猩猩拥抱着她,这是非常令人厌恶的。——此梦以一种非常简单的策略来达成目的;利用暗喻明确得表现出来,“猴子”及“野兽”,一般来说是用谩骂别人的。而由梦中的情况看来,它们亦恰好表示着投掷着谩骂。在下面的许多梦例中,我们还会遇见许多利用此种方法的梦的运作。

        另外一个相似的梦:一位妇女生下一个头部形状歪曲很厉害的孩子,梦者听见有人说这孩子根据它在子宫的位置而生长,所以变得那样子。医生说可以用压力使脑袋变的好看些,不过那样做会损伤孩子的脑子。她却认为这是个男孩子,所以这么做是不会有什么害处的。——这梦正好隐含了经过更改的“对孩子的印像”,这抽像观念正好是梦者在治疗过程中,医生所给予解释的。

        下面这梦例中,梦的运作稍微有些不同。这梦是关于到靠近格拉兹的兴泰(Hilmteich——在城市郊外的一段水域)的旅行的。外面的天气是令人害怕的,有一座破烂的旅馆,水正由墙上滴落下来,而床单都湿透了。(梦的后面部分,并不像我所写的那样直接被报告出来。)此梦的意思是“过剩体”或淹过;不过后来又以许多相似的图像来表现:外面的狂风暴雨,墙壁内面的滴水,湿透床单的水——都是水,都一样淹盖着一切。

        在梦的表现中,文字的正确拼法并不比其声调来得更重要。对此点我们并不感惊奇,因为在韵诗中,此条规定亦是正确的,峦克曾经很详细地描述,并且详尽分析了一位女孩的梦。这梦是关于她如何走过田亩,以及割下大麦和小麦丰润的麦穗。她童年时期的一位朋友向她走来,但她却企图避开他。分析显示此梦是关于“接吻”的——一个荣誉的吻(Kussinehren——后者的读音同于aEhren)〔96〕在梦里,那被切割而不是被拔除的“aEhren”隐喻着谷类的穗子,而当这和“ehren”连在一起时,它就代表着其他无数潜隐的梦思。

        另一方面来说,文字的演进使梦的运作变得容易。因为文字中有许多是源自于图像以及具有实体的意义,不过今日却变为无色以及抽像的。因此,梦所需做的事只是回复此等文字的过去意义,或者是追溯其演进过程的早期情况。譬如说,某男人梦见其弟被困于一箱子中,在分析过程中,Kasten 被Sk(衣橱——或者抽像的指“障碍”、“限制”)所置换,因此,梦思即是他弟弟应该自我约束而不是梦者本身。

        另一男人梦见自己爬上高山顶,那儿有非常广阔的视野。而事实上他用此与其兄弟仿同——那位兄弟正在编辑一篇有关远东的回顾。

        在DerGrüneHeinrich(GottfriedKeller的小说)中,提到一个关于活泼的马儿在燕麦田中翻滚的梦,而每一麦穗都是“一个香甜的杏仁,一颗葡萄干以及一枚新的铜板……包在红色丝巾内,用猪毛捆起来。”作者(或梦者)让我们能够直接解释这梦的图像:在麦穗的呵痒之下,马儿觉得很舒适,并且大叫道:“燕麦刺着我。”(意即财富纵坏了我)。

        根据亨生的理论,古代斯堪的那维亚人的梦尤其常常出现双关语与文学的玩弄;在他们的梦里,我们很少会发现有哪一个梦是不具有双重意义或者是字眼的玩弄。

        要收集这些表现的方式,以及根据其原则来分类是一件大事。有些表现方式可以看成是“玩笑”,而使人觉得,如果不经当事人的解释,其意义是不容易被猜到的。

        (一)一位男人梦见,有人问他某人的名字是什么,他却记不起来。他自己的解释是“我不应该梦见它。”

        (二)一位女病人说她梦见所有有关的人都是特别大块头的。她说,这一定和她的童年有关,因为那时候所有成人看来都是特别大的,她本身并没有出现在梦中。

        关于童年的梦亦可以用另一种方式来表达——即是把时间转变为空间。人物与景像好像是在远处一样,在路的尽头;或者像是从观剧用的望远镜相反那端看出去那样。

        (三)一位在现实生活中常常喜欢用抽像以及不确定词句的男人(虽然大致说来头脑仍是很清楚的)梦见有一次他在火车抵站的当儿到达火车站。不过奇怪的是,火车是静止的而月台向它移动着——一个和事实恰好相反的荒谬事件。这事实不过暗示着另一个梦内容必定也是相反的。分析的结果使病人记起某些图书,里面绘着一些倒过来用头支持身体,用手来走路的男人。

        (四)同一梦者有一次告诉我一个短梦——就像是个画迷一样,他梦见他叔叔在汽车上给他一个吻,然后他立刻给我以下这个解释——我永远不会猜到的——即是,这是指自我享乐。这梦在现实生活中,很可能被看作是笑话。

        (五)一位男人梦见他把一位女士由床的后头拉出来。这梦的意思是,他对她有好感〔97〕。

        (六)一位男人梦见他是一位官员,正坐在皇帝的对面。 

        这指他和父亲对立着。 

        (七)一位男人梦见他治疗一位断腿的某人。分析的结果显示折断的骨头代表着破裂的婚姻(ehebruch——正确来说,应当是通奸)。

        (八)梦中的时刻常常代表梦者童年某个特殊时期的年龄。因此梦中的“早上五时十五分”则指梦者五岁三个月时。

        这是有意义的,因为那时他的弟弟出生了。

        (九)这又是梦中表达年龄的方法,一位妇人梦见她和两位小女孩一起散步,而她们的年龄差是十五个月。她不能想起任何熟人和这有关。她自己这么解释,这两个孩子都代表着她,而此梦提醒她童年时的两个创伤性事件相隔十五个月。 

        一件发生在她三岁半,而另一件则是四岁九个月。 

        (十)在进行精神分析的期间,病人常会梦见它,以及会在梦中表达出他对此治疗的思想与期望——这是不足于令人感到惊奇的。最常用来表现此种想像的是旅行,通常是汽车,因为它是现代化以及复杂的工具。这时,病人即会利用车子的速度来做为对讽刺性评论的通气口——而如果潜意识(梦者清醒时思潮的一个元素)要在梦中表现的话,它很容易为一些地下的区域所置换——在别的情况之下(即和精神分析治疗无关),这些区域则代表着女性的身体或者是子宫。——在梦中“下面”常常指性器官,而相反的,“上面”则指脸部、口部或者是乳房。——梦的运作通常用野兽来表现一种梦者害怕的感情冲动,不管这是他本身或是他人所有的。然而,我们只要更进一层就可以将野兽来置换那些拥有此种冲动的人。此点和那些以供食用的畜生,或是狗、野马来表现令梦者害怕的父亲的梦例相去不远——一种令我们想起图腾的表现方式〔98〕。我们可以这么说,野兽是用来代表原欲——一种为自我所恐惧以及被用潜抑作用来对抗的力量。常常梦者亦会把他的心理症(即他的病态人格)由自身分出来,并视之为另一独立无关的人。

        (十一)以下是沙克斯记录的一个例子:由弗氏的梦的解释,我们知道“梦的运作”利用各种不同的方法用形像来表达出字眼或句子的意义。如果它所要表达的意义是含糊不清的话,那么梦运作就可能利用这含糊:其中一个意义存在于梦思,而另一个意义则表现在显意中。下面这个短梦就是一个这样的好例子(它并且为了表现的理由,很自然地利用了前一天的经验)。在做梦的那个白天里,我患了感冒,并且决定晚上如有可能的话,我就会尽量躺在床上休息。在梦中,我似乎是在继续白天所做的事一样。那天我把剪报贴在簿子中,尽我可能的把它们依性质不同而归类,而在梦中我尝试把剪下来的资料贴在册子中。但是它却不会粘在纸页上而这使我感到很痛苦。我醒过来,发现梦中的痛苦在我身体里面持续着,因此必须放弃我上床以前的决定,此梦(在它指引我睡眠的能力以内),用这句含糊的句子“亦指他不上厕所”来满足我这不想下床的愿望。

        我们可以这么说,为了用视觉形像表现出梦思来,梦的运作不惜利用各种它所能把握的方法——不管在清醒的时候,他本人认为是合法或不合法。这使那些只是听过梦的解释但没有实际经验的人视梦的运作为笑柄以及对它表示怀疑。史德喀尔的书《梦的语言》具有许多这种好例子。但是我一直避免不去引用它们,因为其作者缺乏批判的眼光,以及滥用其技巧,以至于对任何不具偏见的脑袋来说,它们都是有疑的。

        (十二)下面的例子取自道斯克所著关于梦对颜色和衣物的利用之论文。

        (a)A君梦见他过去的女主人穿着一件具有黑色光泽的衣服,臀部显得很窄——意思是其女主人非常淫乱。

        (b)C君梦到看见一位女孩在——路上,沐浴于白色光芒之下,并且穿着一些白色的宽罩衫。——梦者在此路上第一次和白小姐发生肉体关系。

        (c)D太太梦见八十岁的老演员Blasel穿着全副甲盔躺在沙发上。然后他由桌椅上面跳来跳去,拔出一把匕首,望着镜子内自己的影像,向空中比划,好像是和一位假想的敌人作战。——解释:梦者患有长期的膀胱疾患。她躺在沙发椅上接受分析;当她望着镜子内的身影时,她私底下认为虽然年岁已大,但自己仍然是强壮以及精神饱满的。

        (十三)梦中的一个伟大成就——一位男人梦见他是一位怀孕躺在床上的女人。他发现这种情况非常令他不满。他大叫:“我宁愿是……”(在分析过程中,当他记起一位护士后,他以“敲碎石头”来完成这句子)。在床的后面挂着一张地图,其下沿靠一条木头来撑直,他捉着该木条的两端把它撕开,木条不在中间断,反而延着长轴裂成两条。这动作使他感到舒适,并且协助他生产。

        不经任何协助,他把撕下木条解释成伟大的成就。他利用脱离女性态度使自己离开这不舒适的情况(在治疗中)……而那木条不在中间断裂,反而不可置信地沿着长轴纵分为二则是这么解释;梦者想起这混合着分裂为二以及破坏的情势是阉割的一种暗喻,梦常常用两个阳具的像征来表现出阉割,做为对某种相对意愿的大胆表示。恰好鼠蹊是靠近生殖器的部分。梦者综合梦的解释后说,他接受女性的态度,而这要比阉割好得多〔99〕。

        (十四)在用法文分析一个病例时,我得要解释一个自己以大像出现的梦,我自然会问梦者为何我会以那种形式表现,他的回答是,“你在欺骗我”(而trompe=trunk躯干)。

        梦的运作常常会用一些很淡薄的关系很成功地表现出不容易出现的材料,如某些特殊的名字。在我的一个梦中,老布鲁格〔100〕叫我做一个解剖……我钩出一些看来像是一张捏皱了的银纸(在稍后我将再提到此梦),对这点的联想(我稍费些劲才得到的)是“Stanniol〔101〕”然后我才发现自己想的名字是“Stan-nius”——那位我小时很钦佩的著述有关鱼类神经系统解剖作者,而我老师叫我做的第一件科学工作事实上和某种鱼类的神经系统有关,很清楚的,不能在画面中利用此鱼类的名字。

        这里我禁不住要记写下一个很奇怪的应该被注意的梦。因为这是个孩童的梦,而且容易用分析来解释,一位女士说,“我记得童年时常常梦见上帝头上戴着一顶纸做的有边的帽子。我常常在吃饭时被戴上那种帽子——为了不使我看见别的孩子的餐盘内有这么多的食物。既然我知道上帝是万能的,那么此梦的意思即:我是无所不知的——即使我头上戴着那顶帽子。

        当考虑梦中所呈现的数字和计算时,我们就能了解梦运作的性质以及它操纵梦思的方法了。尤其是梦中的数字常常被人迷信地认为和将来的事件有关〔102〕。因此我下面选录了我一部分的材料。

        1这梦例由一位女士,在她快要结束其治疗的时候所做的梦:她正要去偿付什么。她女儿由她(梦者)的钱包取出了三佛罗林和六十五个克鲁斯。梦者和她说:“你做什么?它只不过值二十一个克鲁斯而已〔103〕。”据我对梦者的了解,我不需要她的解释就能了解这梦的全部内容。这女士由外国搬来,她女儿正在维也纳念书,只要她女儿留在维也纳,她就会继续接受我的治疗。这女孩的课程将在三个星期后结束,而这也意味着她的治疗即将终了。

        做梦的前一天,女校长问她是否考虑把女儿再留在这学校一年。由这暗示,她当然也想到自己可以再继续其治疗。这就是此梦的意思,一年等于是三百六十五天。而剩下的课程和治疗时间有三个星期,恰好是二十一天(虽然治疗的时数,要比这个少)。这些梦思的数目字在梦中则指的是钱——并不因为这像征具有更深层的意义而是因为“时间即金钱”的关系,三百六十五克鲁斯只不过等于三佛罗林六十五克鲁斯;梦中数目那么小的钱无疑的是愿望达成的结果。梦者想要继续接受治疗的愿望,把治疗以及学费的数目降低了。

        2另一个梦中所牵涉的数目字则较为繁难。一位女士,虽然年轻,但已经结婚了好多年。

        这时恰好知道一位和她几乎同龄的熟人爱丽丝刚刚订婚的消息。于是她就做了下述的梦:她和丈夫一起在剧院中。一边几乎完全没有人。丈夫和她说,爱丽丝和其未婚夫也想要来;不过只能买到坏的座位——三张票是值一佛罗林五十克鲁斯——当然他们不会要的。她想如果他们买下那些票也没有什么坏处的。

        这一佛罗林五十克鲁斯的来源是如何呢?实际上,它是源起于前一天的一件无关紧要的事。她丈夫赠送一百五十佛罗林给她小姨,而她很快地用它们来买珠宝。值得注意的是一百五十佛罗林是一佛罗林五十克鲁斯的一百倍。那么那三张戏票的“三”字又是哪里来的呢?

        唯一的关联是,她那位刚刚订婚的朋友恰好比她小三个月。当我发现了“空剧院”的意义后,整个梦的意思就知道了。这暗示(不经过改装的)了一件他丈夫得以逗弄她的小事。她计划去看一部预定在下星期上演的戏,并且在几天前不惜麻烦地去定票。当上演的时候,他们发现戏院几乎是空的。因此,她无需这么急。

        所以梦思是这样的。“这么早结婚是可笑的。我无需这么急的,由爱丽丝的例子看来,我最后也会得到了一位丈夫。而那样我会比现在好上一百倍(宝藏)。如果我能够忍耐(和她小姨的急躁相对)我的钱(或嫁妆)能够买三个和他(丈夫)一样好的男人”。

        我们发现此梦内容中的数目字比前面那个梦更改的更多——经过更大的改造和变动。对于此点的解释是,此梦思在能够表现以前首先需要克服更大的精神阻抗。另外我们不应忽视梦里那件荒谬的事,即两个人要买三张票。关于荒谬的事件是要特别强调出此梦思——“这么早结婚是可笑的。”而这个数目字“三”恰好天衣无缝地满足了此需求——它正好是她们两的年龄差,不重要的三个月分别。把一百五十佛罗林减少为一佛罗林五十克鲁斯则表示病人在其受潜抑的思想中低估其丈夫(或财产)的价值。

        3下面这例子则显示出梦中的计算方法——这方法带给梦不好的名声。一位男人梦见他坐在B家的椅子上——B是他以前的熟人——和他们说:“你们不让我娶玛莉是个大错。”然后他问那个女孩,“你今年几岁?”她答道:“我生于一八八二年。”“那么,你是二十八岁啦。”

        因为此梦发生于一八九八年,所以这计算很明显是错的。如果没有旁的解释,那么这种错误和白痴没有两样,这位男病人是那种看到女人就想追的人,而恰好这几个月来,排在他的后面接受治疗的是位年轻女士;他常常问起她,并且很焦虑地想给她好印像。他估计她大约有二十八岁。这解释了此计算的结果,而一八八二年是他结婚的那年。还有,他也忍不住要和我诊所的两位女佣人谈话(她们一点也不年轻)——她们常常替他开门——但是由于她们一点反应也没有,所以他自我解嘲地说,也许她们认为他是年老的严肃绅士。

        4这又是另一个和数字有关的梦。它是很明显地早被决定或者是过度决定的。这是达能医师所提供的梦与解析:“我那栋公寓的主人是警察人员,他梦见自己在街上执行任务。(这是个愿望达成)。一位领上挂着二十二和六十二(或二十六)号码的臂章的督察走近他。不管怎样,上面有好多个二就是。

        梦者把二十二六十二分开来报告即显示出它们具有不同的意义。他记得做梦的前一天,他们曾在警察局提过某人服务的年资——那是关于一位督察在六十二岁的时候退休,并且领取养老金。而梦者只服务二十二年,他必须再服务两年两个月后才能领取百分之九十的养老金。梦的第一个部分满足梦者一直想达到的督察的阶级,这个第二十二六十二臂章的高级官员其实就是梦者本人。他在执行任务——这又是他另一个一厢情愿的愿望——即他已经再服务两年两个月,因此可以和那位六十二岁的老督察一样领取全部养老金。

        如果我们把这些例子,以及我后面将提到的梦例加以观察,那么我们可以很保险地说梦的运作其实不带有任何的计算程序(不管其答案是否正确);这只不过用一种计算的方式来表现出梦思,因此可以暗示出某些不能用别的方法表达的材料来。由这点来看,梦的运作把数字当作是一种表达目的介质,这就和那些以文字表达的名字和演说完全一样。

        因为事实上梦本身不能创造演说词(请看第五章),不管有多少演说或言谈出现于梦中,也不管它们是否合理,经过分析后都可以知道它们都是以一种任意的方式由梦思中那些听来或是自己说过的言语中节录的。它不但把它们四分五裂(加入一些新内容排斥一些不需要的),而且把它们重新排列。因此一个看来前后连贯的言谈,经过分析后可以知道是由三个或四个不同部分凑成的。为了完成这新说法,梦往往要放弃梦思中这些话的原先意义,并且赋予一些新的〔104〕。如果我们仔细研究梦中的言谈时,我们将发现它一方面具有一些相当清晰以及实体的部分,另一方面则是一些连接的材料(或许它们是后来加上的,就像是在看书的时候,我们会自动加入一些意外遗漏的字母或音节一样),因此梦中言谈的构造就像是角砾岩一样——各种不同种类的岩石被胶质紧粘在一起。

        严格说来,这些叙述只能适用在那些具有“感觉”性质的言谈,并且为梦者描述为“言谈”的。另外的言谈——那些不为梦者认为是听到或说出的言论(即在梦中不牵涉到听觉或运动行动的)——不过是像那些发生在清醒时刻的思想,往往会不经过改变地进入梦中。我们念过的东西,也常常大量出现在梦中无关紧要的言谈中,不过不容易被追溯来源,但不管怎样那些梦中被认为是言谈的东西,确实是梦者听过的或说过的。

        我已经在分析梦的过程(为了别的理由)中提出许多有关梦中言谈的例子。因此,在第五章中那个无邪的“上市场”的梦中的“那种东西再也买不到了”。是像征着我,而另一句话“我不知道那是什么东西,我还是不要买的好。”实际上使这梦变得“无邪”。梦者在前一天曾和厨师发生争执而说出这气话:“我不知道那是什么,你做事可要做得像样点!”这看来是无邪的前半部言谈很巧妙地加入了梦中(暗示着后半部)并且天衣无缝地满足了梦中的潜隐的幻想,不过同时却又出卖了这秘密。

        下面是许多具有同样的结论的例子之一。

        梦者处身于一个大庭院内,那里正在烧着许多死尸。他说:“我要离开这里,我受不了此种景像。”(这确实不是一种言谈。)然后他遇见屠夫的两个孩子。他问他们:“嘿,它们的味道好吗?”其中一个说道:“不,一点都不好。”——好像指的是人肉。

        这梦的无邪部分是这样的:梦者和太太在晚餐后一起去拜访邻居——一个好人但是却不令人有胃口的(译者按,意即不很受人欢迎的)。这位好客的老太太刚好吃完晚饭,并且强迫〔105〕他去试试她菜肴的味道。他拒绝,并且说自己一点胃口都没有,她回答道:“来吧,你能吃得下的”(或者是这类的话)。因此他不得不试试看,并且赞美地说:“味道确是很好。”不过当他和太太单独在一起的时候却又抱怨这邻居很固执以及菜肴不好。而这句话“我不能忍受此种景像”(在梦中也不呈现为一种言谈)——则暗示着那位请他吃东西的老太太的外貌。这意思一定是指他不想看她。

        下面我要再举一个例子——它具有一个很明确的言谈做为整个梦的核心,不过我要在后面提到梦中的感情时才给予完全的解释。我很清晰地梦见:我晚上到布鲁格实验室去,听到一阵轻微的敲门声后,我把门打开。门外是(已逝世的)弗莱雪教授〔106〕。他和一些陌生人一起进来,和我说了几句话后就坐在他位置上。然后我又做另一个梦,我的朋友弗利斯很顺利地在七月到了维也纳。我在街上遇见他,那时他正和我一位(死去的)朋友P君谈话。我们一块到某个地方去,他们两人面对面地坐在一张小桌子前面,而我则坐在桌子狭小的另一边,弗利斯提到他姊(妹),并说她在四十五分钟之内就死掉了,并且说了一句“这就是最高限度”,因为P不了解〔107〕,所以弗氏转过头来问我曾告诉过P君多少关于他的事。在这时候,我被一些奇怪的感情所克制着,因此企图向弗利斯解释,P君(不能了解,因为他)已经去世了。但我那时却说了“Nonvixit”(我知道自己的错误)。于是我深深地望着P君。在我的凝视之下,他脸色变白,他的外观变得模糊不清,而他眼睛变得病态的蓝——最后,他溶掉了。对这点我感到高兴,并且也知道弗莱雪也是个鬼影,一个“revenant”〔字意是回来的人〕;而我觉得,只要希望,这种人都可能存在,而如果我们不希望他存在的时候,又会消失。

        这个漂亮的梦,包括许多梦的特征——我在梦中所做的评论,我错误的把Nonvivit说成Nonvixit,即把他死了说成他没生活,和梦中认为已死者的交往,我最后荒谬的结论,以及给予我的满足——如果详细予以说明,则将花费我一生的时间。在现实里我无法做到梦里所能完成的事——即为了我的愿望不惜牺牲自己的好友。由于任何隐匿都只会破坏这个我很清楚了解的梦的意义;所以这里以及在稍后我只将讨论其中的几个问题。

        此梦的中心是我那歼灭P君的视线,他眼睛变成一种奇怪与神秘的蓝色后,他就溶掉了。这个景像无疑的由我确实经验过的一个事件中抄袭过来。在我是生理研究所的指导员时,我曾要在很早的时间上班。布鲁克听说我好几次迟到,所以他有一天在开门前到达,并且等待我的来临。他向我说一些简短但有力的话,不过对我没有太多的影响,倒是他那蔚蓝眼睛的恐怖瞪视使我很不自在。我在这眼神前变的一无是处——就像梦中的P君一样。在梦中,这角色刚好倒过来。任何记得这位伟人漂亮眼睛生气的神色,就不难了解这年轻犯过者的心情了。

        经过好久后,我才能找出梦中“Nonvixit”的起源,最后,我才发现这两个字并不是听到或说出来,而是很清晰地被看到,于是我立刻知道其来源,在维也纳皇宫前的Kaiser Josef纪念碑的碑脚下刻着这些字:SalutiPatriaevixitnondiusedtotus〔108〕我由这铸刻文字中抽取足够的字眼来表达梦思中的仇视思想串列,刚刚足以暗示:“此人对此事没有插嘴的余地,因为他没有真地活着。”这提醒了我,因为此梦发生于弗莱雪的纪念碑在大学走廊揭幕后几天内。那时恰好我又一次看到布鲁克的纪念碑,因此一定潜意识的替我那位聪慧的朋友P君感到难过。他尽其一生贡献于科学,不过却因为早死而使他不能在这些地方树立其纪念碑,所以我在梦中替他树立碑石;而恰好他的名字又是约瑟〔109〕。

        根据梦的解析的规则,我现在仍不能用nonvixit来取代nonvivit(前者是KaiserJosef纪念碑的文字,而后者是我梦思的想法)。梦思中一定有某些东西促成这个置换。于是我注意到在梦里我对P君同时具有仇恨与慈爱的感情——前者明显,而后者则潜隐着。不过它们同时都以此子句“Non vixit”表现出因为P君在科学上值得赞扬,所以我替他竖立一个纪念碑,但是因为他怀有一个恶毒的念头〔110〕(在梦的末尾表达出来)所以我将他歼灭。我注意到后面这句子具有一种特别的韵律,因此我脑海中必定先有某种模型。

        什么地方可以找到这种相对一句子呢?——对同一人怀有的两种相反反应,但却又正确而没有矛盾。只有文学上的一段文字(不过却在读者脑海上烙下深刻印像的)这样子说:莎氏名剧《凯撒大帝》中布鲁特斯的演说,“因为凯撒爱我,所以我为他哭泣;因为他幸运,所以我为他高兴;因为他勇敢,所以我荣耀他;但因为他野心勃勃,所以我杀他。”这些句子的结构以及它们相对的意义就和我梦思中所发现的相同吗?因此在梦中我扮演着布鲁特斯的角色。只要我能在梦思中找到一个附带的关联来证实这点那该多好!我想可能的关联是,“我的朋友弗利斯在七月到维也纳来。”对于此点细节,真实生活中没有任何基础可以加以说明。据我所知弗利斯从来没有在七月到过维也纳。但既然七月是因为凯撒而命名的,因此这可能暗示着我扮演布鲁特斯的角色〔111〕。

        说来奇怪,我确会扮演过布鲁特角色——那次我在孩子面前介绍席勒的布罗特斯与凯撒的诗句。那时我十四岁,比我只大一岁的侄儿协助我,他由英国来探望我们;所以他也是个revenant,因为他是我最早期玩伴的回归。直到我三岁的末了,我们一直不能分开。我们互相爱着,也互相打架;这童年的关系对我同代朋友的关系上具有深大的影响,这点我已在第五章暗示过。因以我侄子约翰那时开始其性格各方面陆续发生的肉体化,并且无疑地深烙在我潜意识中。他一定有些时候对我很不好,而我一定很勇敢地加以反抗。因为家父(同时也是约翰的祖父)曾这样责问我:“你为什么打约翰?”

        “因为他打我,所以我打他。”——那时我,还没有两岁大。一定是我这幼年的景像使我把“nonvivit”改变为“nonvixit”,因为在童年后期的语汇中wi(和英文的vixen发音相同)即是打的意思。梦的运作,毫不羞惭地利用此种关联。在真实情况下,我没有仇视P君的理由,不过他比我强得多,所以像是我童年玩伴的重现,这仇视一定和我早年约翰的复杂关系有关。以后我将再提到这个梦。

     第六章-庚、荒谬的梦——梦中的理智活动

          庚、荒谬的梦——梦中的理智活动

        在解析梦的过程当中,我们已经不止一次碰到荒谬的元素,因此我不想再拖延对其意义与源由的探讨(如果它具有意义与来源的话)。因为那些否认梦具有价值者的主要论调是,把梦看成一种碎裂了之心灵活动的无意义产物。

        我将以几个例子来开始,读者将发现它们的荒谬性起先是很显然的,不过在经过更深的研讨其含义后,这种特性就消失了。以下就是一些关于梦者死去父亲的梦——乍看起来好像是种巧合而已。

        1这个梦是一位父亲已死去六年的病人所做的。他父亲碰上一次严重的车祸:他坐在那列飞驶着的夜快车突然失轨了,座位挤压在一起,把他的头夹在中间。然后梦者看见他睡在床上,左边眉角上有一道垂直的伤痕,梦者很惊奇,因为他父亲怎么会发生意外呢?(因为他已经死了,梦者在描叙的时候加上这一句)。父亲的眼睛是如何得清楚呀!

        根据一般人对梦的了解,我们应该这么解释:也许在梦者想像此意外发生时,他忘记父亲已经死去好几年了;但当梦在继续进行的时候,这回忆又再出现,因此使他在睡梦当中对这梦感到惊诧。由解析的经验知道,这种解释是毫无意义的。梦者请一位雕塑家替父亲做一个半身像,两天前他恰好第一次去审查工作进行得如何。这就是他认为的灾祸(在德语来说,bust又指发生意外,或不对劲)。雕塑家从来没见过他父亲,所以只好根据照片来凿刻。梦发生的前一天,他要一位仆人到工作室去观察此大理石像,看他是否亦同样认为石像的前额显得太窄。然后他就陆续记起那些构架成此梦的材料。每当有家庭或商业上的困扰时,他父亲都会习惯地以两手压着两边的太阳穴,仿佛他觉得头太大了,必须把它压小些。——又当梦者四岁的时候,一枝手枪不晓得怎样意外的失火了,把父亲的眼睛弄黑了(那时他刚好在场),所以,“父亲的眼睛如何得清楚呀!”——梦中发生在他父亲左额上那道伤痕,和生前所显现的皱纹(每当悲伤的时候)是一致的。而伤痕取代了皱纹的事实又导出造成此梦的另一个原因,梦者曾为他女儿拍了一张照,但此照片(译者按:早年照像所用的涂抹以显出映像的化学物质的介质也许是易碎的,不是用纸制的)不小心由他手中掉下来,刚好跌出一条裂痕,垂直地延伸到她女儿的眉面上。他不得不认为这是恶兆,因为他母亲去世前数天,他也把她照片的负片跌坏了。

        因此,这梦的荒谬性只不过是一种相当于口头上把照片、石像和真实人混淆在一起的粗心大意而已。如在观看照片的时候,每个人都会这么说:“你不觉得和父亲完全一样吗?”

        或“你不觉得父亲有些不对劲吗?”当然,此梦的荒谬性可以很容易避免;并且就这个例子来看,我们可以说,此种荒谬是被允许的,甚至是被如此策划的。

        2这是我的一个梦,和前者几乎相同(家父于一八九六年逝世)。

        父亲死后在墨牙族(按即匈牙利一族)人的政治领域中扮演着某种的角色,他使他们联合成完整的政治团体;此时我看到一个小张而不清晰的画像:许多人聚集在一起,似乎是在德国国会上;有一男人站在一张或两张凳子上;别的人则围在他四周。记得死去的时候,他躺在床上的那个样子,简直就像是加利巴底(按即意大利义士)。我很高兴这诺言终于实现了。

        有什么会比这些更荒诞无稽?做梦的时期恰好是匈牙利政局混乱的时候——因为国会的痪瘫导致无政府的状态。结果由于协尔的才智而得以解救〔112〕。这么小一张画像中所包含的细节和此梦的解析不是没有关系的。我们的梦思通常是和真实具有同样大小的形式呈现。但我这梦中见到的画像却源于一本有关奥地利历史书中的插图——显示着在那有名的“Moriamurprencstrò”事件中,玛丽亚出现于普累斯堡的议会上的情况〔113〕。和图片中的玛丽亚一样,家父在梦中四周围绕着群众,但他却站在一张或两张椅子上面,他使他们团结在一起,因此就像是一位总裁判一样(二者间的关联是一句常用德语,“我们不需要裁判”)——而确实当家父逝世的时候,围绕在床边的人却说他像加利巴底。他死后体温上升,两颊泛红而且愈来愈深……回忆到这里,我脑海中自然而然地呈现出:

        UndhinterihminwesenlosemSe LegwasunsallebaEndigt,dasGemeinc〔114〕这高层次的思想使我们对现实的此“共同的命运”有个准备。死后体温的升高和梦中这句话“他死后”相对,他最深切的苦痛是死前数周肠子的完全瘫痪。我各种不尊敬的念头都和这点关联着。我一位同僚在中学时就失去了父亲——那时我深为所动,于是成为其好友——有一次向我提起他一个女亲戚痛心的经验。她父亲在街道上暴毙,被抬回家里;当他们把他衣服解开时,发现在“临死之际”或是“死后”解出屎来。她对此深为不快,并且这丑恶事件无法从她对父亲的记忆中解离。现在我们已经触及此梦的愿望了,“即死后仍然是伟大而不受污辱地呈现在孩子面前”——谁不是这样想呢?什么造成这梦的荒谬性呢?表面的荒谬是由于忠实呈现在梦中的一个暗喻,而我们却惯于忽略其成分间所蕴含的荒谬性,这里我们又再度不能否认荒谬性是故意的以及刻意策划着的〔115〕。

        因为死去的人常常会在梦里出现,和我们一起活动,发生关系(就似是活着一样)。所以常常造成许多不必要的惊奇,并且造成一些奇怪的解释——而这不过显出我们对梦的不了解罢了。其实这些梦的意义是很显然的。它常发生在我们如此想的时候:“如果父亲仍然活着,他对这件事会怎么说呢?”

        除了将有关人物呈现在某种情况下之外,梦是无法表达出“如果”的。譬如说,一位由祖父那里得到大笔遗产的年轻人,正当悔恨花去许多钱的时候,梦见祖父又再活着,并且向他追问,指责他不该如此奢侈。而当我们所谓更精确的记忆发现此人死去已久时,那么这个梦中的批评不过是一种慰藉的想法(幸好这位故人没有亲眼看到)或者是一种惬意的感觉(他不再能够干扰)。

        还有另外一种荒谬性,这亦发生在死去亲属的梦中,不过却不是表现荒诞与嘲笑。它暗示着一种极端的否认,因此表示一种梦者想都不敢想的潜抑思想。除非我们记住这原则——梦无法区分什么是愿望,什么是真实——否则要阐明这种梦是不可能的。例如,某位在他父亲最后那场大病中细心照顾他老人家的男人,在父亲死后确实哀伤了好久,但过后却做了下面这场无意义的梦。他父亲又活了,和往常一样同他谈话,但(下面这句话很重要)他真的已经死了,只是自己不晓得而已。如果我们在“他真的已经死了”的后面加入“这是梦者的愿望”,以及他“不晓得”梦者具有此种想法,那么这梦就可以了解了。正当他照顾父亲的时候,他不断希望父亲早些死去,即是说这是个慈悲的想法,因为这将使他的苦痛得以结束。在悲悼的时候,这个同情的想法变为潜意识的自责,似乎是因为他这个想法缩短了父亲生命。借着梦者幼儿期反抗父亲冲动的复活,使这自责得以在梦中显示;而由于梦的怂恿和清醒时思潮的极端对比正好造成此梦的荒谬性。

        梦见梦者所喜爱的死人是解析梦的一件很头痛的问题,因此常常不能很满意地加以解说。原因是梦者和此人之间存在着特别强烈的矛盾情感。常见的形式是,此人起初活着的,但突然却死了,然后在接着的梦境里又活起来,这使人混淆,不过我终于知道这种又生又死的改变正表示出梦者的冷漠,(“对我来说,他不管是活着或死去,都是一样的。”)这个冷漠当然不是真实的,它不过是种想法而已;其功能不过在使梦者否认他那强烈以及矛盾的感情,即是说,这是矛盾情感在梦的表现。

        在另外一些和死人有关的梦里,下面的原则会有些帮助:如果在梦中,梦者不被提醒说那人已经死去,那么梦者把自己看成死者,即是梦见自己的死亡。但如果在做梦的过程中,梦者突然惊奇地和自己说,“奇怪,他已经死去好久了。”那么他是在否认这件事,否认梦者自己的死亡。但我很愿意承认,对此种梦的秘密,我们还未曾全部了解。

        3在下面的例子中,我将指出梦的运作故意制造出来的荒谬性,而这原先在梦的材料中是不存在的。这是在我度假前几天遇见都恩伯爵后所做的梦(见第五章第二个梦):我在一辆计程车内,要司机送我到火车站去。在他提出一些异议后(好像我把他弄得过分疲倦似的)

        我说:“当然,我不能和你驾着车子沿火车路线走。”看来我似乎已经坐在他车里驶过一段通常以火车来完成的旅程,对这令人混乱与无意义的故事,经由分析后得到这样的结果:前一天,我租一辆计程车到唐巴(维也纳的郊外)一条偏僻的街道去。但司机不晓得这街道在哪里,因此他就一直漫无目的地开(像这类高贵的人所常常做的一样),直到最后我发觉了,向他指示正确的路线,同时讽刺他几句。在后面我将提到这计程司机联想到贵族,因而引出一连串的思想串列。目前我想指出的是,贵族给予我们这些中产阶级平民最深刻的印像是他们很喜欢坐在司机座位上,都恩伯爵实在是奥地利国家马车的司机。梦中的下一句话则指我的兄弟。我将和他计程车司机仿同了,那年我取消和他到意大利的旅行(我不能和你驾着车子沿火车路线走)。这是对他不满的一种处罚,因为他惯于埋怨我在旅途中把地累坏了(在梦中这点没有变更),这是由于我坚持要很快地在许多地点中赶来赶去,以便能在一天中看到许多美丽的事物。做梦的那个傍晚,他陪同我到车站;但快到车站的时候,他在郊区车站和总车站相连的地方下车,以便乘郊区车子到布格斯朵夫(距维也纳约八英里)去,那时我和他说,他可以乘主线到布格斯朵夫去,这样就能和我多处一段时间。这导致了梦中的这句话:坐在他车里驶过一段通常以火车来完成的旅程,这刚好和在真实所发生的事相反——一种tu quoque(拉丁文“你也是”)式的争辩,那时我是这么说的:“你可以和我一起乘着主线来完成你要用支线(郊区车)经过的距离。”在梦里,我以“计程车”来替代“郊区车”,而把整件事混淆了(但恰好能把我兄弟和计程司机的意像连在一起)。这样我就成功地创造出一些看来无法加以解说的无意义,而且和我梦中前段所说的发生冲突(我不能和你驾着车子沿火车线走)。因为没有任何的理由要使我分不清什么是郊区车什么是计程车,所以我必定故意在梦中设计出这迷幻的事件。

         但这又为了什么目的呢?下面我们将探究荒谬的梦的意义,以及发生的动机。上述梦的谜底如下:我需要梦中用一些荒谬及不可解的关联加在“fahren〔116〕”这个字上,因为梦思中具有一个要被表现的意念。一个晚上我在一位聪慧好客的女士家里(她在同一梦的其他部分以管家的身份出现),我听到两则我无法解答的谜,其他人对谜底都很清楚,而我虽然努力尝试却无法找到答案,徒然增加笑料而已。它们其实是架建在“naen”和“vorfahren”两个相关语上,整个谜语大概是这样的: 

        DerHerrbefiehlt’s, 

        DerKutschertut’s. 

        Ei’s, 

        ImGraberuht’s.

         (在主人的要求下司机完成了;每个人都有的,它就在坟墓中休憩。)

         答案:vorfahren(意即“驾驶”、“祖先”;字面的意思是“走到前面”、及“以前的”。)

         令人困扰的是,另一则谜语的前半和上面那首完全相同DerHerrbefiehlt’s,DerKutschertut’s.

         Nichtjederhat’s,

         InderWiegeruht’s.

         (在主人的要求下,司机完成了;不是每个人都拥有的,它休憩于摇篮中。)

         答案:“naen”(“跟在后面”、“后裔”;字意是“跟着来”和“继承者”。)

         当我看到都恩伯爵驾驶着国家,我不禁坠入费加罗的境界,他称赞伟大的绅士们,说他们是与烦恼同生的(即是naen),因此这两则谜语就成为梦运作的中间思想。又因为贵族和司机很容易困扰在一起,同时有一时期我们又把司机称为“schwagen”〔马车夫及姐或妹夫(brotherin law)〕,于是借着凝缩作用就把我兄弟引入同一画面内,而这梦背后的梦思是这样的:“为自己的祖先而感到骄傲是荒谬的;最好是自己成为祖先。”这个决断(即某些事情是荒谬的)就造成了梦里的荒谬。这使梦的其他模糊部分也得以明朗化了。即是说我为什么会想到以前已经和司机驶过一段路途了〔vefahen(以前驾过)——vefahren(驾过)——vorfahren(祖先)〕。

        如果梦思中包括这样一个判断(即某些东西是荒谬的),那么梦就会变为荒谬——换句话说,当梦者潜意识的思想串列具有批评与荒诞的动机。因此,荒谬即是梦运作表现相互矛盾的一种方法——别的方法是把梦思的内容加以颠倒。或是产生一种动作被抑制的感觉。但是梦中的荒谬性却不可单单翻译为“不”;它也是用来表达梦思的情绪,因为它具有梦思所包括的矛盾与嘲笑之组合,只有在这种目的下,梦之运作才会造成一些荒谬性来。因此它又将一部分的隐意直接转变成显意〔117〕。

        其实我们已经提一个具有下列意义的荒谬的梦:这个梦——我只是加以解释而没有分析——是关于华格纳的歌剧,它一直演到早晨七时四十五分才结束。在这歌剧中,指挥是站在高塔上的……。很明显的,它是指:“这是个凌乱无序的世界,疯狂的社会;那些应该得到某些东西的人无法得到,而那些吊儿郎当,毫不关心的却得到了。”——然后梦者又把她的命运和其表妹(姐)比较——在我们第一个荒谬的梦的例子中,它和死去的父亲相关联,这并不是巧合的。在这种例子中,造成荒谬的梦的情形是具有同样特征,因为父亲的威权很早的时候就受到孩子的批评,而他向孩子的严格要求使他们(为了自卫的缘故)密切注意父亲的每一个弱点;但是我们脑海里对父亲印像所激起的孝心(特别在父亲死后)却严厉地审查着,不使任何这种批评到达意识表达的层面来。

        4这是另外一个关于死去父亲的荒谬的梦:

        我接到故乡市议会寄来的一封信,关于某人一八五一年住院的费用,这是由于他那时在我家发生痉挛而不得不住院的。对这事我感到很怪,因为在一八五一年我还没有出生,同时和这可能有关的家父已经逝世了。我于是到隔壁房见他,父亲正躺在床上。然后我告诉他这件事,使我惊奇的是,他记得在一八五一年里,他有一次喝醉了被关起来,那时他正替T公司做事。于是我这么问:“那么,你也是常常喝酒的啰?那么后来你是否接着就结婚了呢?”算来我是在一八五六年出生的,好像刚好是在接下来的一年。

        由前面的讨论知道此梦之所以一直呈现荒谬性不过暗示着其梦思具有特殊而令人痛苦与感情冲动的争辩。因此发现在这梦里争辩公开的表达出来,而家父又是受嘲弄的对像时,我们将更为惊异。表面看来,此种公开袒露的态度和我们所谓梦的运作的审查制度相矛盾,但是当发现在这例子中,家父不过是一种展列的人物而各种讽嘲都是指向一位隐藏着的人物时,我们就能了解这种情况了。虽然通常梦表现出对某人的反抗(通常背后隐藏着梦者的父亲),但是在这里却刚好相反。表面是父亲实际上却代表另一个人;因此这梦能在此种不经伪装的状态下进行(而此人物通常被视为神圣的),这是由于自己确定所指的人一定不是父亲本人。因为此梦发生在我听见一位年长的同事(其判断力被认为是不会错误的)对我一位精神分析治疗的病人已经进入第五年的治疗而大感惊奇并且表示不赞许。第一个句子即在一种不被察觉的伪装下暗示着此位同事好久以来即取代了家父所不能完成(满足)的责任(关于费用,医院的住费问题),而当我们之间的关系变得较不友好时,我的感情冲突就和父亲与儿子发生误解时所产生的一样——由于父亲的地位以及他以前给予儿子的协助而无法避免地产生。梦思对此指责(我为何不快一点)加以强烈的抗议——这个指责起先指我对病人的治疗,后来却扩充到其他事物上。我想,难道他知道有谁会治的比我快吗?难道他不知道,除了我这种方法外,这种病情是完全无法治愈同时得忍受一辈子吗?那么四或五年的时间和一辈子来比较又算得了什么,何况在治疗过程中病人的存在又变成如此的舒适呢?

        这梦之所以会给人荒谬感是因为由许多不同梦思而来的句子不经中间的连接直接地并列在一起的关系,因为这句话“我到隔壁房见他”和前句话所涉及的主题失去关联,这正好正确地重现出我向父亲报告那未经他同意的婚约的情况。因此句话表现出老头子这方面的宽大,和某人——还有另外一人——的行为成一对比。我们需注意在梦境中我爸爸被允许受嘲弄,这是因为在梦思中他毫无异议地被列为模范的对像。审查制度的特性是:我们不可以谈论被抑梦的事物(事实),但是却可以撒撒关于此事物的谎言。下一句话,提到他记起“有一次喝醉了,被关起来。”则已经不再真正和家父有关。他所代表的人物不折不扣就是伟大的梅尔涅〔118〕,我是以多么虔敬的心情步随他足履之后,而他对我的态度,在开始一段的赞赏之后却转变为公然的仇视。这梦提醒一些事件,他曾告诉我,他年轻的时候曾经一度因为习惯于用氯仿使自己中毒而被送到疗养院去。它又使我记起另外一件他死前不久所发生的事。在论及男性歇斯底里症时,我写了一些他否认其存在的事物而和他痛苦地笔战。当我在这致他死命的疾病中拜访他,并问候其病况的时候,他讲了一大堆关于其病症的话,并且这样决断:“你要知道,我就是男性歇斯底里症最典型的例子。”因此他即同意了他那固执着反对好久的事,这不但使我感到惊奇而且觉得满足。但在这梦中我何以会用父亲来比喻成梅尔涅呢?两者之间我又看不出有那些类似的地方。此梦境很精省,但完全足以表示出梦思中这个条件句子:“如果我是教授或枢密顾问官的儿子,那么我当然能做(进行)的更快。”所以在梦里我把父亲变成顾问官和教授。

        梦中最令人迷惑与最喧嚣的荒谬性要数它对一八五一年的看法了,对我来说这和一八五六年没有分别,就像五年的相差是没有任何意义的。最后这句话正是梦思所想要加以表达的。四五年又恰好是我得到前述那位同事支持的时间;同时又是我让未婚妻等待的时间(然后才结婚);同时这是梦思迫切寻求的一种巧合,因为这又是我使病人完全治愈所耗费的最长时间。“五年算得了什么?”梦思这么说,“对我来说,这根本不是一回事;不值得去加以考虑,我还有足够的时间。就像你不相信,但我最后还是成功完成的事一样,对这件事,我亦将会成功。”除了这些以外五十一本身却是由另一种方式决定而且具有相反的意义(如果不去考虑前面那世纪的数字的话),这也是为什么它在梦中出现数次的原因,五十一岁对男人来说似乎是个特别危险的年代;我认识好些同事突然在这个时候死去,而在这些人之中间,有一位是在经过好久的拖延后在死前数天才被升为教授〔119〕。

        5下面又是一个玩弄数字的荒谬的梦。我的一位熟人,m 先生曾在文章中被人剧烈地加以抨击,我们认为是太过分一点,这个评论家我们想大概是歌德。M先生自然被这攻击弄惨了,他在餐桌前向大家诉苦;不过这个人经验并不影响他对歌德的尊敬。我企图找出其时间顺序,虽然是不太可能的,歌德死于一八三二年,既然他对M先生的攻击要比那个时间早,所以当时M先生一定还很年轻,我看那时他大概只有十八岁,但我不清楚现在是什么年代,所以整个计算变得很暧昧了。很巧的,这攻击是歌德刊载在自然杂志上的著名论文里面。

        下面我们将找出这些胡说八道的意义,M先生是我在餐桌前认识的熟人。不久前他要我去检视他那位显示全身瘫痪症状的弟弟。这个怀疑是正确的;在此次的诊疗中发生一件尴尬的插曲,和病人谈话的时候,在没有什么理由下,病人却说出他哥哥年轻时候的荒唐事。我询问病人关于他出生的年月日,同时又要他做几道小计算题以便试验其记忆力损坏的程度——而他还能答得很好。由此可见我在梦中的情况就像是瘫痪病患(我不清楚现在是什么年代)。梦其他部分则源于另一件近事。一本医学杂志的编者(我的朋友),最近发表了一篇剧烈评论我德国朋友弗利斯新近出版的一本书,这篇文章由一位年轻的评论家执笔,而他其实是没有足够能力来做批评的。我想我有权利去交涉,同时要求改正。编者对这事感到抱歉,认为不应该刊出此文章,不过却不愿刊载任何修正。因此我就和该杂志脱离关系,不过在辞职书中我这么写道:希望我们私人的感情不受此事件的影响。此梦的第三个来源是一位女病人提供的——那时这记忆还很新鲜——她那位患精神病的弟弟如何坠入一种狂暴喊叫着“自然,自然”的声音中。诊治的医生相信呼喊的内容是源于他阅读了歌德对此题目(自然)的卓越论文的结果,而且显示他在研究自然哲学时太过劳累。但是我却认为这和性有关——即使较低级的人对自然亦是这样用的。后来这不幸的人将自己生殖器切除,这至少显示我没有错到哪里去,当时他只有十八岁。

        我要提一提有关我朋友那本遭受剧烈议论的书(另一位书评家说“不晓得是自己抑或作者本身是疯狂的”)——它描述个人一生前后发生的事迹,并且显示出歌德的一生不过是数目(日数)的倍数,且具有生物学上的意义。因此很容易知道,我在梦中置身于此朋友的处境(我企图找出其时间顺序),但我的表现却像是个瘫痪病患,因此梦就变成一团荒谬的聚合。因此梦思是这么讥讽地说:“自然,他(我的朋友弗氏)疯狂的傻瓜,而你们(书评家)是天才而且懂得较多,难道这不会刚好倒过来吗?”在此梦例中,这种相反的例子到处可见,譬如说,歌德抨击此年轻人是件荒谬的事,不过一位年轻人却很有可能去贬责伟大的歌德;另外我在计算歌德死亡的年代,不过却用了瘫痪病人出生的年代,对此点已经有详细的讨论。

        但我曾指出,梦都是基源于一种自我的动机。因此对此梦中我取代朋友的位置并且把他的困难担架在自己身上的事实必须加以说明。我清醒时刻的批判力不足以使我这样做,但是此十八岁病人的故事,以及对他喊叫的“自然”所做的不同解释却暗示了大部分医生与我的意见相左(我相信心理症是基源于性的),所以我也许对自己这么说:“那些评论你朋友的言论也可以施用在你身上——事实上,已经受到某种程度的议论了。”所以梦中的“他”可以用“我们”来取代:“是的,你们很对,我们是蠢材。”梦里又以歌德美妙的短篇来显示着mearesagi-tur;因为由中学毕业的时候我对职业的选择感到犹豫不决。后来却因为在一场公共讲演中听到此文章的朗诵使我决定从事自然科学的研究(此梦将在稍后更进一步的讨论)。

        6在本书的前面,我亦曾提到另一个我的自我并没有呈现的梦,不过也一样是自我的,那是在第五章第三个梦中,M教授说:“我的儿子患了近视……”,当时我说那不过是梦的开头而已,是另一个与我有关的梦的介绍,以下就是当时省略的主要的梦——具有荒谬不可解的文字形式,非要经过解释是不能了解的。 

        罗马城发生一些特殊事件,为了安全理由,必须把孩子们移到安全地带,这点我们办妥了。接着看到大门的前景,是一种古老两扇式的设计(在梦见的时候),我记起来这是意大利西埃那的罗马之门。我坐在喷泉的旁边。感到极其忧郁并且几乎要流出泪来。一位女士——服务生或是修女——牵出两个小男孩,交给他们的父亲(并不是我)。但是其中较年长的那位无疑是我的长子;另外一位的面孔我却没有见到。带孩子出来的女人要他们和她吻别。 

        她长有一只大红的鼻子,所以男孩子拒绝向她吻别,不过却伸出手向她挥别,并说“Auf Geseres”而且向我们两人说“AufUngeseres”(或者是我们两人之一)。我想这是表示好感之意。 

        这个梦是我看过新犹太街的戏剧之后产生的想法所建架起来的。这是犹太人的问题,因为不能给孩子一个他们自己的国家而替他们的前途担心,因此很焦虑地想好好地教育他们,使他们能够享受公民的权利——这种种都能在梦思中体认出来。 

        “在巴比伦的水边我们坐下来饮泣。”西埃那和罗马一样,因为美丽的泉水而享盛名。 

        如果罗马要在我梦中出现的话,那么它必须以另一个已知的地点取代(第102到103页)。 

        靠近西埃那的罗马之门有一座巨大而灯火辉煌的建筑物,这就是疯人院。在此梦发生不久前,我听到一位和我具有同样宗教的人被迫辞去他在疯人院的辛苦挣扎得到的职位。 

        我们的兴趣在“AufGeseres”(此梦中的情境使我们期待着这字眼“AufWiedresehen”)以及和它相反而无意义的“AufUngeseres”(Un)的意思是“不”)。由希伯来学者得来的知识显示“Geseres”是真正的希伯来文,源起于动词“goiser”,其意义最好是翻译成“遭受苦难”“命定的灾害”。但由谚语中的用法使我们认为它的意思是“哭泣与哀悼”。而“Ungeseres”则是我发明的新语,同时也是第一个引我注意的字眼,但开始我却不能由它得到什么。但是在梦的结尾所说的那句话:“Unge-seres”表示要比“geseres”更具好感的意思,却打开了联想之门,同时说明了这字的意思。鱼子酱具有同样的类比:无盐的鱼子酱要比咸的鱼子酱更高贵。“将军的鱼子酱”——贵族式的权利;在这后面隐藏着对家庭一位成员之玩笑式的暗喻,因为她比我年轻,所以我期待她将来能照顾我的孩子;这恰好和梦中出现的另一人物(修女),我们家里那位能干的保姆相应合。但是在“无盐——咸,和“Geseres—Ungeseres”之间仍然没有中间的过度思想。但这可以由gesauert—ungesauert(发酵——不发酵)中找到。在逃离埃及的时候,以色列的子民没有时间让他们的面团发酵。为了记念这件事,他们从复活节开始直到这一天都是吃着不发酵的面团。在这里我要加入一点突然呈现的联想。我记得上个复活假期,我和伯林那位朋友在陌生的布累斯劳的街道上散步。一位年轻姑娘向我问路,我不得不承认我不知道;然后我和朋友说:“我希望这姑娘长大的时候会更懂得如何去选择那些导引她的人。”不久,我见到一个门牌,上面写着“海罗医生。诊疗时间……”“我希望这位同行不是个小儿科医师吧。”同时我这位朋友向我提起他对两侧对称的生物学意义所有的看法,同时说了这么一句:“如果我们和独眼巨人一样只有一个眼睛长在额头中间……”这便导出梦中那句教授说的:“我的儿子是个近视……”现在我知道“Geseres”的主要来由了。很多年以前,当这位M教授的儿子(今天已是独立的思考家了)仍然坐在学校的板凳上念书时,不幸得了眼疾,并且在医生解释后造成他焦虑的原因。他这么说,只要它仍然局限在一边就无所谓,但如果感染到另一只眼睛,那么后果就很严重了。他这边眼睛的感染完全好了;但不久迹像显示另一边也受到感染。孩子的妈妈怕得不得了,赶快把医生请到他们的家里来(他们住在很遥远的乡下)。不过当医生诊察另一边后,向他妈妈大声叫道:“你为什么把它看成那么严重呢?如果这一边好了,另一边也会一样。”结果他是对的。

        现在我们必须考虑所有这些和我以及我的家庭究竟有什么关系呢?M教授孩子所用的书桌,后来由他母亲转赠给我的长子。在梦中我经由他的话来说出“告别的话”,我们很容易猜出这置换所代表的其中一个希望。这张桌子的设计是要使孩子避免发生近视以及只用一边视力,因此梦中出现近视眼(其实背后是独眼巨人),以及对于两侧性的文字,我对此一侧性的关心具有许多意义:这不但指身体的一侧性,同时也包括了智力发展的一侧性,难道梦里这一切荒谬不就表示对这焦虑的矛盾吗?这孩子转到一边说再见后,转到另一边来说相反的话,就好像是要回复平衡似的,他的行动似乎是要为了要维持两侧的对称性。

        于是,梦愈荒谬其意义就愈深远。不管在什么年代,那些想要说什么,但是知道说出来就会对自己有害处的人无不将那些话冠以一顶愚蠢的帽子。对于这些禁忌的话的对像来说,如果他们能够一面嘲笑一面又自认自己所反对的事物是荒谬无聊的,那么他们就会比较能够接受(忍受)它,戏中那位皇子不得不把自己装扮成疯子,他的行为就像是梦在真实中所扮演的角色一样;所以我们可以用哈姆雷特皇子形容自己的话来替梦加以注解——即用智慧与不可解来掩藏着真实的情况。他说:“我不过是疯狂的西北风:当风向南吹的时候,我由手锯认识那头苍鹰(哈姆雷特,第二幕第二景〔120〕)。

        因此我已经解决了荒谬的梦的问题,即梦思永远不会是荒诞无稽的——从来不会在健康人的梦中出现——而梦的运作之所以会产生荒谬的梦,以及梦内容会含有个别的荒谬元素,是因为它必须要表现梦思所含的一些批评、荒谬与嘲笑。

        ×××我下面所要做的事是要显示梦的运作只是包含我前面所说的三个因素——(凝缩、置换、以及表现力)——另外还有一个将在后面论及的第四因素;而梦的功能不过是根据这四个因素把梦思翻译出来;我认为心智活动会完全或部分的参与梦的形成是一种错误的观念。

        但不管怎样,梦里常常会出现一些判断,一些评论,一些赞赏,并且有时对梦中的其他因素表示惊奇,有时加以解释,或者申辩。所以我下面将用一些经过挑选的梦例来澄清这些现像所引起的误解。

        简单来说,我的解说是这样的:任何一件在梦中看来明显是理智活动的事件都不能被看为梦运作的心智成果,它只是属于梦思的材料,它们不过是以一种现成的构造呈现在梦的显意中。我甚至能够更进一步的阐述!即睡醒后对一个还记得的梦所下的断语,以及里述此梦所产生的感觉或多或少表露了梦的隐意,而这是要包括在解析范围内的。

        1我已经引用了一个非常明显的例子,一位妇人拒绝和我谈及她做的一个梦,因为“它是非常不清楚与混乱”。她梦见某人,但不知道那人是她爸爸或丈夫。然后她接下来梦见一个垃圾箱,而这产生下面的回忆,当她刚刚成为主妇的时候,有一次她和一位到她家访问的年轻亲戚戏称她下一步工作将是取得一个新的垃圾箱,第二天她就收到一个,不过里面却插满山谷里的百合花。这个梦表现一句德国常用的话“不是长在我自己的肥料上〔121〕”。当分析完成后,我们发现潜在的梦思是梦者小时候听到一则故事所产生的后果。那是关于一位女孩如何怀了孕而却不清楚孩子的爸爸是谁,在这梦例中,梦所要表现的又再泛滥到清醒的思想里:即用清醒时刻对梦所下的断语来表现出梦思的一个元素。

        2一个相似的梦例,一位病人做了一个自认是很有趣的梦,因为醒来后他立刻对自己说:

        “我一定要把这梦说给医师听。”把此梦加以分析后,很清楚的显示出病人从开始就在欺骗,决定不要告诉我什么〔122〕。

        3第三个梦例是我本身的经验。我和P一起到医院,中途经过一段坐落许多房屋与花园的区域。同时,我觉得以前在梦中常常看过这地方。我不太知道要怎么走。他指引一条转角到达餐室的路给我(在室内,并非在花园里)。我在那里探问朵妮女士的消息,知道她就和三位小孩住在后面的一间小屋。我向那里走去,但还没有到达那里就遇见一位模糊的人影,带着我那两位小女孩;和她们站一会儿后,我就把她们带在身边,对我妻子把她们留在那里颇有怨言。

        醒过来的时候,我有种非常满足的感觉,原因是我将由这梦的分析中了解“我常常梦见这个地方”到底是什么意思。事实上,精神分析并没有告诉有关这类梦的意义;因此表示“满足”是属于隐意而并非由于对梦的任何决断。我的满足是婚姻给我带来了小孩。P这个人大半生和我的生命伴联在一起,不过后来却在社会地位与物质上远超于我,但其婚姻却是无子的。关于这梦的意义可以由梦中的两件事来加以了解,不必再完全地分析。前一天,我在报上读到朵纳女士逝世的讯息(而我在梦中改为朵妮),她是因为生产而死。我太太说,负责的接产妇就是替我们接下两位最小孩子的那位。朵纳这人名字使我注意是因为不久前我在一本英文小说中看到它,另一件事则是此梦发生的日期。这是我最大儿子生日前一天晚上所做的——他似乎具有诗人的本质。

        4在梦见家父死后在墨牙族人的政治领域中扮演某种角色后醒来,亦有同样满足的感觉;而我的解释是,这满足是上一段梦的连续,记得死去的时候,他躺在床上的那个样子,简直就像是加利巴底,我很高兴这承诺终于实现了……(还连下去的,不过我已经忘了)。分析

        使我能够填满这空隙,这是关于我第二个儿子的事,我替他取了一个和历史上伟大人物相同的名字——在孩童的时候,他强烈地吸引住我,尤其我到英国访问后。在儿子出生的前一年中,我已经决定如果生下是位男孩子的话就要取这个名字,而我将以高度满足的心情去祝贺这新生儿。(很容易看出来,为人父亲那种被潜抑的自大是如何的传给孩子,而在真实生活中,这似乎是一种将此种潜抑感情实施的办法。)而小孩子之所以会在梦中呈现是因为他和那快死的人具有同样的瑕疵——容易把屎拉在床单上,请用此眼光来将Stuhlrichter(总裁判,依字意解乃是“椅子”或“屎”的裁判)和梦中所表露的要在自己孩子跟前呈现出伟大与不受辱的姿态加以比较。

        5下面我们将注意梦中所表达的决断,而不再管那些继续呈现于睡醒时刻或是转换入清醒时刻的断判。如果引用为了其他目的而录用的梦例,那么找寻梦例的工作就简单了,在歌德抨击M先生的例子,里面就包含许多的决断,“我企图找出其时间顺序,虽然是不太可能的。”不管由哪一个角度看,它似乎都像是批评这件荒谬的事——即歌德会去抨击这位和我熟悉的年轻人。“我看那时他大概只有十八岁。”这句话看来又像是经过计算的结果,虽然是出自愚弱的脑袋。而最后那句:“但我不清楚现在是什么年代”似乎是梦中不确定或是疑惑的范例。

        因此,上面这些句子看来就像是原发于梦中的决断。但分析结果显示这些文字可以有别种解释,而且是解析此梦所不可缺少的。同时这又可澄清各种荒谬。这句话“我企图找出其时间顺序”使我处身于我朋友弗利斯的处境——他正在想找出生命的时间顺序,这样它就失去了评定在它前面而具有荒谬性意义句子的力量,插入的那句“虽然是不太可能的”则属于下面的“看来他似乎是……”在与那位女士谈论其弟弟个案的例子中,我几乎完全利用了这些精确的字眼。如“依我看来,这似乎是不太可能的观点——即他呼喊“自然!自然!”会和歌德扯上什么关系;而我认为这是更加可能的(这些字具有一些你熟悉的性意义)。确实,在这个例子中,曾经表达某种决断,不过是发生在真实生活里(而非在梦中)而被梦思记起来且加以利用。梦的内容以对待其他梦思的方式将这决断加以利用了。

        在梦中,虽然数字“十八”和决断的相连是无意义的,不过却是此决断由原来地方撕开来所余下的痕迹。最后,那句话“我不清楚现在是什么年代”则只是为了加强我和此瘫痪病人的仿同。在我检查他的时候,这点确曾被提及。

        研究这些看来似乎是梦的评论的结果,不过使我们记起本书前面所提到解析梦的原则;即我们必须把梦各成分间的联系看成是无关紧要,同时必须由每一个元素本身去探索其源由。梦是一个凝合的整体,但在研讨的时候必须把它再度回复成碎片。由另一方面来说,在梦中一定有个心灵力量在运作,造成这些表面的关联,即是说将梦的运作连成的材料加以再度校正。这使我们面对另一种力量,其重要性我们将在后面加以讨论,并把它当作是构成梦的第四种因素。

        6下面又是一个我曾经引用的梦例,可以做为“决断”在梦中运作的例子。在那个市议会寄来通知书的那个荒谬的梦中,我这么问:“那么后来你是否接着就结婚了呢?算来我是在一八五六年出生的,好像刚好是接下来的一年。这一切都蒙上一件逻辑结论的外衣。家父紧接他的追求之后,在一八五一年结婚;我当然是家中的老大,在一八五六年出生;所为这都是对的。我们都知道这虚假的结论是为了愿望达成而设的;而主要的梦思是这样子进行的:

        “四或五年根本不是一回事,不值得去加以考虑。”这种逻辑式结论的各个步骤,不管其内涵或程序如何像是真的,都可认为在梦思中就决定好的。而这位我同事认为治疗太长的病人自己决定要在治疗完后要去结婚。梦中我和父亲谈论的方式就像是一种审问或考试一样。这又使我想起大学里的一位教授,他常常询问选修他课程的学生许多令人厌烦的问题:“出生年月日?”——一八五六——“父亲名字?”于是学生就以拉丁文说出父亲的教名;我们学生都这么想,这位先生是否由学生父亲的教名推衍出什么结论,而却不能常常由学生的名字推出来。因此梦中推衍出结论不过是一件推衍结论(梦思中的一件材料)的重复而已。由这里我们学到一些新的事情。如果梦内容出现一个决论,那么毫无疑问,这必定是源于梦思;不过它呈现的形式可以是一段回忆的材料,或者是以逻辑方式连结一大串梦思。不过不管怎样,梦中的一个决论一定代表着梦思中的决论〔123〕。

        现在让我们再继续梦的解析。这位教授的询问使我想起大学生的注册名单(那时候是用拉丁文写的)。并且又使我回想起自己的学术研究,攻读医学的那五年,对我来说是太短了,我于是静静地再工作多几年;因此熟人都把我当作是闲棍一个,怀疑我是否能及格。于是我突然很快地决定要参加考试,并且通过了,虽然迟缓了些。下面是对我梦思的新的加强,借着这梦思我能大胆地面对批评我的人:“虽然因为我慢慢做而使你认为不可置信,但是我仍会成功的;我将使我的医学训练得到一个结束。以前,事情曾经这样子发生过。”

        梦的起头数句里面包含着一些具有争辩性质的句子,这争辩甚至不是荒谬的;甚至可能发生在清醒的时刻:对市议会寄来的这封信我感到很怪,因为在一八五一年我还没有出生,同时和这可能有关的家父已经逝世了。这两个辩解不但本身正确,并且如果我真正接到这么一封信时,它们亦会和我的辩解相吻合的。由前面的分析知道此梦是源于苦痛及嘲讽的梦思。如果假定审查制度的动机是非常强有力的,那么梦运作都是为了制造一些对存在于梦思的荒谬思想的完整与确实的反驳。但是分析的结果却显示梦运作并不是那么自由的。它必须要义务地运用由梦思得来的材料,这就像是一则代数方程式(除了数字外)其中包含着加号、减号、根号、幂号,而我们叫一位不了解数学的某人把它抄录下来,于是各种符号和数字都抄下来,但是却把它们都混淆在一起了。梦内容中的这两个辩解可以追溯到下述材料上。当想到我对心理症病人作心理学解释所引用的前提一次被听到曾引起怀疑与嘲笑时,我觉得很困恼。譬如说,我主张人生第二年的印像(有时甚至是第一年)会一直存在于那些以后发病者的感情生活上,而这些印像——虽然受到记忆的扭曲与夸张——却都造成歇斯底里症状第一个与最深刻的根基。而当我在这当的时机向病人解释这点的时候,他们以一种嘲弄的口气模仿着这新得到的知识说,他们会准备去找寻一些他们还未活着时的记忆。而我另一个发现——即父亲对他女儿最早期性冲动所扮演的角色(出人意料的)——亦会被同样地看待,但是不管怎样,我觉得有足够的理由认为这些假设是对的。为了证实这点,我记起几个例子——他们的父亲都在孩子很小的时候死去,而后来的事件证明孩子潜意识中仍然保有这位很早就去世的死者影子(不这么想就很令人费解了)。这两个决论是建基于真确性将会受到考验的推论上,因此这就是愿望达成——即在梦运作中利用那我害怕会遇到考验的论点来导衍出不会被引起争论的结论。

        7在一个梦的开始中,梦者对突然而来的事物表示一种惊诧,对这梦我至今还未好好地加以探索,老布鲁格叫我做一些事;非常奇怪的。这和解剖我自己身体的下部(骨盆部和脚)

        有关。我以前好像在解剖室见过它们,不过却没有注意到我的身体缺少这些部分,并且丝毫也没有可怕的感觉。N.路易士站在旁边帮我做。骨盆内的内脏器官已经取出,我们能够看到它的上部,现在又看到下部,二者是合起来的,还能看到一些肥厚肉色的突起(在梦里面,使我想起痔疮)。一些盖在上面像是捏皱了的银纸〔124〕,我亦小心的钩出来。然后我又再度拥有一双脚,在市镇里走动。但是(因为疲倦的缘故),我坐上计程车,使我惊奇的是,这车驶入一间屋子的门内,里面有一条通道,然后在快到尽头的时候转一个弯,终于又回到屋外来了〔125〕。最后,我和一位拿着我行李的高山向导走过变化无穷的风景。在路途中间,他也曾背过我,因为顾虑到我疲倦双脚的缘故。地上泥泞,所以我们沿着边缘走;人们像印第安人或吉普赛人般地坐在地上——其中有位女孩。在这以前,由滑溜溜的地上一步步前进的时候,我一直有这种惊奇的感觉,即经过解剖之后我怎么会走得这么好呢。

        终于,我们到达一间小木屋,末端开了一个窗。向导于是把我放下来。同时拿走两块预备好的宽木板架在窗台上,这样子就可以跨越必须由窗子渡过的陷坑。这时,我真为我的脚担心。但是我们并没有像预料中那样渡过去,反而看到两位成人躺在沿着木屋墙壁而架的板凳上,好像有两个小孩睡在其旁边。似乎小孩将使这渡越成为可能(而不是木板)。我起来的时候,感到非常害怕。

        任何一位对梦的凝缩作用有稍许概念的人都知道要详细分析这个梦是需要多少页数才够的呀。可幸的是,在这里,我只要讨论其中一点,即做为“梦中的惊异”的例子。这呈现在插入的句子“很奇怪”中。让我们研究这梦吧。那位在梦中帮助我工作的N小姐曾经找过我,要我借她一些书阅读。我给她哈盖特著的《她》,我向她解释说:“这是本奇怪的书,但是潜藏许多意义”;“永恒的女性,我们感情的不朽……”她打断我的话,“我已经知道了。难道你没有自己的一些东西吗?”“没有,我不朽的巨著还未写成。”“那么你什么时候出版你所谓最新启示,并且我们都能看得懂的那本书?”她以一种讽刺的语调问道。那时我发现她是别人假借的发言人,因此就默而不语,我想到即使只把自己对梦的工作发表出来亦要付出极大的代价,因为我必须公开许多自己私人的性格。 

        DasBestewasduwissenKannst,DarfstdudenBubendoichtsagen. 

        (你所能知道最好的事,你都不可坦白告诉小孩子们〔126〕。) 

        梦里要我解剖自己身体的工作,因此指我自己的梦例中所牵涉到的自我分析,布鲁格在这里出现的很恰当,因为在我第一年科学研究的生涯中,我就曾把自己的一个发现搁置起来,到他一直坚持要我将它发表出来为止。但和N小姐一谈话所引起的思想串列进入太深而不能显现于意识来,它们分散到因为提起哈盖特的《她》所激起的材料里面去。这评语“很奇怪”是用在此书上,还有同作者的另一本书《世界的心》(HeartoftheWorld)。梦中的许多元素即源于这两本想像力充沛的小说。著者被背过泥泞地带,以及要用携带来的宽木板渡过的陷坑,是取自《她》这本书;而印第安人和木屋中的女孩则来自《世界的心》。这两本小说的向导都是女人,并且都和危险的旅行有关;《她》描述一条神奇冒险的道路,很少人走过,并有导向一个未被发现的地带。由我对此梦所做的笔记看来,双腿的疲倦确是那个白天所感觉到的。也许这疲倦带来一个倦怠的情绪和这疑惑的问题:“我的脚还能负载我多久呢?”《她》这部冒险故事结尾是:女主角(向导)不但没有替他人和自己找到永生,反而葬身于神秘的地下烈火中。一种这样的恐惧无疑地在梦思中活动着。那“木屋”无疑地亦暗示着棺材,即是“坟墓”。但梦的运作却很成功地以愿望达成来表现这最不希望得到的。

        因为我到这坟墓一次,那是靠近Orvieto被挖空的伊特卢利阿人的坟墓(按即意大利北部Etruria之土人)——一个狭窄的小室,靠着墙壁有两个石凳,上面躺着两个男人的骨骼。

        梦中那木屋的内面看来就和它没有两样,除了石室变成木制以外。梦似乎是这样说:“如果你一定要在坟墓中旅居的话,那么就让它是这Estru人的坟墓吧!”但借着这置换却把最悲惨的期待转变成非常欢迎的事。但不幸的是梦往往能够把伴随着感情的概念颠倒过来,但却不能常常改变这感情,因此梦醒的时候我就感到“害怕”——虽然这观念很成功地呈现出来(即孩子也许会完成他们父亲所失散的事)。这暗喻着一本怪诞小说中所谓人的认同可以一代代流传下去,持续二千年之久。

        8另一个梦内容亦对梦中的经验发出相似的惊异。但是这惊异却和一个深刻,牵强附会但又几乎是理智的解释相连,即使它不包含其他两个有趣的特征,我也要将它加以分析。在七月十八或十九日晚上我乘Südbahn线火车,在睡着的时候我听见:“Hollthurn〔127〕到了停十分钟”我立刻想到棘皮动物——想到自然历史博物馆——这是勇敢人类无望的对抗着统治他们国家的超越力量的地方——是的,奥地利的反抗改造运动——就像是斯地里亚或泰罗一个地方。然后我隐隐约约地看到一个小博物馆,里面摆设着这些人的化石或遗物。我很想走出火车去,但却犹豫不决。在看台上有携带着水果的妇人;她们蹲在那里,在那个姿势下,邀请似的举起她们的篮子。——我之所以犹豫不决是因为我不知道时间够不够,但火车仍然没有动——然后我突然处身在另外一间房子内,里面的家具和座位显得很狭以至于背部会直接抵触到马车厢的靠背〔128〕,对这我感到很惊异,但我想自己也许在睡着的状态下换过了车厢,里面有好些个人,包括一对英国兄妹;墙上书架明明白白地排着一行书,我看到马克士威著的《国富论》和《物质与动性》,是一本厚厚的巨著,包着褐色书页。那男人提起关于席勒的一本书,问她妹妹有没有忘掉,这些书似乎有时像是我的,有时又像属于他们,我想加入他们的谈话,为了要证实或者支持前面所说的………。我醒来的时候全身是汗,因为所有的窗子都闭上了,车子正好停在马伯格。

        在记下这个梦的时候,我又想起另一段梦来,这是记忆所想遗忘的,我向这对兄妹(英语)交谈,提及一件特殊的工作:“这是从…………。”但接着自己改正为:“这是由……

        …。”“是的,”那人和她妹妹说,“他说的对。”

        此梦由车站的名称开始,无疑的一定把我部分地弄醒了,我用Hollthurn置换了马伯格(Marburg)。而在车掌叫“马伯格到了”的时候,我就听到的事实可由梦中提到席勒而得以证实,虽然他出生地马伯格并不是斯地里亚的这个马伯格〔129〕。我这一次旅行虽然乘头等车厢,不过却很不舒服,火车塞得满满,我的那间小室内还有一对男女,看来是贵族,但却没有什么教养。或者我觉得他们不值得伪装那由于我闯入而引起的恼怒,我礼貌地打个招呼,不过却得不到反应,虽然两人是并肩地坐着(背向着火车头),但那妇人在我眼光下很快地以阳伞霸占住面对着她的那个靠窗的座位;门立即关上了,他们两个交头接耳地交换是否要张开窗户的意见。也许他们一下子就看出我想透一口新鲜空气的欲望。这是个很热的晚上,完全封闭的小室很快就会使人有窒息的感觉。由旅行的经验看来,这种傲慢以及无情的行为只有那些享受半价或免费优待的人才做得出的。当查票员走来,我将那花了许多钱买来的票交给他看时,由那女士的口中发出傲慢以及似乎是威胁的声调:“我丈夫有免费优待。”她具有一种奸诈以及不满足的外观,年纪距离女性美丽的凋萎已经不远;男人没有说一句话,只是坐在那里动都不动一下。我企图睡一觉,在梦里我对令人不快的旅伴做了很可怕的报复;没有谁会怀疑在梦的前半部的支离破裂的表面下会隐藏着侮辱、轻蔑。当这个需求被满足后,下一个希望就出现了——改换房间。在梦中各种景像很快的改变,同时亦不引起丝毫的反对,因此如果我由记忆中找出一些更可亲的人物来取代目前这两位也是丝毫不会让人感到惊奇的。但是在这例中,某个东西反对将景色改变,并且认为要加以解释。我为什么会突然转到另一个车厢的小室呢?我不记得 什么时候改换的。只有一种可能:我一定在睡觉的状态下换过了车厢——很少见的一件事,不过这类例子却在精神病患中找到。我们知道某些人会以一种蒙胧(半清醒半迷糊)的状态踏入火车旅途,没有任何迹像泄露其不正常,不过直到旅途某个时候才突然清醒过来,并且对其中间那遗缺的记忆感到惊诧,因此,在梦里我宣布自己是“Automatisnmeambulatoire”(无主漂游症——按即一种歇斯底里症)的病人。

        分析的结果使我发现另外一个答案,那个想要解释的企图不是我的意念——如果把它归为梦的运作所做的话,那么这就太使我惊奇了——而是抄自一位心理症病患。在本书前面我提到一位受过很高教育,但在生活上却是个软心肠的男人,在他父亲死后不久即一直不停地指责自己具有谋杀的意念,同时为了他自己所采取的安全措施而感到苦恼。这是一个强迫性思想症的严重病例,不过病人具有完全的病识感。开始的时候,他一上街就注意(强迫性冲动),他碰见的每一个人在何处不见,如果有哪一位突然逃离他的视线,那么他就觉得很苦恼,并且认为也许自己已经把他干掉了;这令他痛苦不堪。因此这里面藏着(除了别的以外)“凯恩幻想( phantasy)”(按,圣经上的人物Abel的兄弟,后来杀死了Abel,亦即谋杀者的意思),因为“所有的人都是兄弟”。由于他无法完成这种工作(下手),所以只好把自己关在房间内,但是报纸却常常带来外面发生的谋杀事件,而他的良心就会以一种怀疑的形式向他暗示,也许他就是那个被通辑的凶手。在头几个星期里,因为确定自己没有离开房子使他得以免除这些指控。但有一天他想自己也许会在一种无意识状态下离开了房屋,因此谋杀了别人而不自知,由那时候开始,他就把房子的前门锁着,将钥匙交给管家,再三地叮嘱,千万不能让这钥匙落入他手(即使他向管家要)。

        这就是我那企图解释自己也许会在无意识状态下转换了车厢的起源;这已经在梦思里面做好了,预备现成地套入梦内容中,并且在此梦中明显地要满足自己和此病人仿同的目的。

        我对他的回忆很容易的就由一个联想连起来,我上一个夜间的旅途就是和此人一起过的。他已经痊愈了,和我一起到各省去拜访他那些请我去的亲戚。我们两人占了一间包厢;整个晚上都把窗子打开,我们两个谈得非常愉快,我知道他的病的根源在于对父亲的仇恨冲动——源自童年并且和性有关。借着和他的仿同,我向自己坦述同样的冲动,而事实上,梦的第二部分以一种放纵的幻想完结。——由于这两人对我的不礼貌,而这又是因为我的闯入使他们原先要在夜晚里拥抱,亲吻的计划落空。这个幻想还能追溯到孩童时期,那时也许为了性的好奇心,小孩子跑到双亲房间去,而被父亲叫出去。

        我想不需要再描述更多的例子,它们只不过能证实我前面所说的罢了——即梦中的决论不过是梦思中的原型的重现而已。通常,这重复出现的很不恰当,甚至插入一个很不相称的内容来,不过偶尔,就像我们最后这个例子所显示的一样,它运用的那么巧妙,以致乍看之下,我们会认为这是在梦中独立的心智活动,在这里我们要注意虽然精神活动没有加入梦的建造,不过却能够将由不同源起而来的元素联合在一起使具有意义而且不产生矛盾。在讨论该问题以前,我们首先要知道发生在梦的感情,以及将它们和梦思的感情(由分析得知)加以比较。

     第六章-辛、梦中的感情

         辛、梦中的感情

        史笛克的精细观察使我们注意到梦中的感情和梦的内容不同,它们在醒后不会那么容易就被忘掉。“在梦中如果我害怕强盗,当然这强盗只是想像的,不过那害怕却是真实的。”

        在梦中如果我感到高兴,这也是一样。由感觉知道,梦中所经验到的感情和清醒时刻具有相同强度的经验相比,是毫不逊色的;而梦确实以更大的精力要求把其感情包括入真实的精神经验中(而对其要求却没有那么大)。但在清醒时刻中我们却不能把它这样包括在内,因为除非和某个观念联结在一起,我们是无法对感情加以精神上的评价。而如果感情和观念的性质与强度不能相配合,那么这清醒时刻的判断力就处在混乱的状态下了。

        我们常常梦得奇怪,梦中的概念内容并不伴随着感情(而在清醒时刻,这念头一定会激起感情的)。史特林姆贝尔曾宣称梦中的意念是不具有精神价值的。但梦中还有一种完全相反的情况,即一些看来是平淡的事件,不过却会引起强烈的感情激动。因此,梦中我也许处在一个可怕,危险及厌恶的情况但并不以为忤或感到恐惧;反而对一些无害的事却感到害怕,或者把一些幼稚的事觉得得意非凡。

        不过这梦生活之谜在了解其隐意之后却很快地消逝了——比其他的更彻底。所以我们不必再为这谜伤脑筋,因为这么一来,它就不再存在了。分析的结果显示出意念的材料会被置换以及取代,而感情却维持原状不变。所以对这现像我们不应再感到惊奇,因为意念的材料经过改装之后当然和那未曾改变的结果不再相符合;并且透过分析能把适当的材料放回原来的地位,也是不足为奇的〔130〕。

        在一个遭受审查制度影响和阻抗的精神情意综内,感情是最不受到影响的;单单这点,我们就可以获得如何填补那遗漏思潮的指向。对心理症病患来说,这要比梦来得更明确。因为它们的感情是适当的,至少就其质而言,虽然其强度会因为神经质注意力的置换而加以夸大。如果一位歇斯底里病人惊诧于自己对一些琐细无聊的事情害怕,或一位患强迫性思想症的病患为了自己对一些不存在的事实感到困扰以及自责而大感惊奇,那么他们都是迷失了方向的,因为他们把这些意念——即那些琐事,或者不存在的事实——当着是重要的;所以他们的挣扎也是不成功的,因为他们认为这些意念是他们思想活动的起点(即病根所在)。精神分析能使他们回归正途,让他们体认这些感情是应当的,并且将那些属于它的意念找出来(已经受到潜抑,并为一些替代品所置换)。这一切的前提是,感情和那些意念内容之间并不具有那些我们视为当然的器质性连接,而这两个分离的整体不过是勉强凑合在一起,故在分析后就能相互分离。由梦解析的经验看来,事实确是这样的。

        下面我将用一个梦做为开始,虽然梦的意念显示梦者应当有感情的激动,但事实却相反,而分析正能解析这一切。

        1她在沙漠中看到三头狮子,其中一头向着她大笑:但她并不感到害怕。虽然后来她一定是要逃开它们,因为她正尝试着攀爬上树;但却发现她表姐(妹)(一位法国太太)已经在树上了……。

        分析导出下列事实,梦中的“不为所动”源于英语中的一句俗语:“鬃毛是狮子的饰物而已。”她的父亲留着一道胡须,盘桓在脸上就像狮鬃一般。她英文老师名字又是莱茵小姐。一位熟人寄给她一份Loewe的名谣集(Loewe,德语,狮子之意)。这就是梦里那三头狮子的来源,那么为何她要怕它们呢?——她阅读过一篇故事,叙述一位黑人,因为同伴的怂恿而起来反叛,结果被猎狗追赶,不得不爬上树逃命。然后,她在一种高昂的情绪下说出她一些断残的记忆,如怎样捉狮子:“将沙漠放在筛子上筛,那么狮子就会留下来了。”还有一则关于某官员的轶事,非常有趣,但没有太多人知道:有人问他为何不去钻营讨好上司,他回答道,“他已经在上面了”。于是整个梦就可解了。我们知道她在做梦的那一天到丈夫上司那里去拜访。他对她很有礼貌,并且吻她的手而她一点也不怕他——虽然他是个大块头,并且在她那国家的首都里扮演着社交的主要人物。因此,这狮子就和仲夏夜之梦中那个暗藏着snugthejoiner的狮子一样了。所有那些梦见狮子而不害怕的梦都是这样的。

        2我的第二个例子是,一位年轻女孩子见她姐姐的孩子死了,躺在小棺木内,但是她却丝毫不感到伤心悲伤(请见第四章及第五章)。由分析我们可以知道梦者不过利用此梦来伪装她那想再见见她所爱男人的欲望而已;她的感情必须和愿望相符,而不是配合此伪装。所以她不必要悲伤。

        在某些梦例中,感情和那取代了感情所附着原先材料的意念仍然有相关之处。但在别的梦中,二者的分野却变的更大。感情和它那归属的意念完全脱离关系,而在梦的另一部分出现,和新组合的梦的元素相配合。这情况就和我们前面提到梦中判断那么梦中必也具有一个;但是梦中的结论可能置换到一个不相同的材料上。这种置换常常是依据对偶的原则。

        我将用下面这例子来说明最后这种可能。这是一个我分析得最详尽的一个梦例。

        3一座靠近海洋的城堡。后来,它不再直接坐落在海上,而是在一个狭窄,连通到海的运河上。城堡的主人是P先生。我和他一起站在宽敞的招待室——开三页窗,前面是一道墙的突起物,就像是城堡上的齿状突起。我属于驻守军团,也许是一位志愿的海军军官。因为处在战争状态下,所以我们害怕敌人海军的来临。P先生想要避开风头,所以提示我如果害怕的事情终于来临时应该怎么处理。她那残废的妻子和孩子们都在这危城内。如果轰炸开始时,大厅应当加以肃清。他呼吸转重,转过身来想走;但是我把他抓住,问他如果需要时,要如何和他通讯。他说了一些话,不过却立刻跌在地上死去。无疑的,我的问题一定加给他一些不必要的刺激。在他死后(对我一点影响都没有),我想他的寡妇是否要留在城堡内;或者我是不要将他死亡的消息告诉给更高的统辖当局知道;或者我是否要代他统治此城堡(因为我的地位仅次于他)。我站在窗前,望着那些航行着的船只通过。都是一些商船,急速地划过深色的水面,有一些具有几道烟囱,有些则具有鼓胀着甲板(就像在起始的梦中那个车站建筑一样——不过并没有在这里报告),然后我兄弟和我一起站在窗前,望着运河,当看到某一艘船时,我们害怕而大叫道:“战船来啦!”不过结果却是一艘我知道要回航的船。然后就是一条小船,以一种滑稽的方式穿插到中间来。它的甲板上可以看到一些奇怪的杯形和箱形的物件,我们一齐喊道:“那是早餐船!”

        船的快速航行,深蓝色的水面,烟囱上的褐色烟——这一切组合成一种紧张,不吉祥的印像。

        梦中的地点是由我几次到Adriatic(以及Miramar a,Duino,Venice,和Aquileia)

        的印像所结合成的。复活节假期,我和兄弟到Adriatic游玩的印像仍旧很深刻(做梦的前几个星期)〔131〕。此梦亦暗示着美国和西班牙之间的海战,以及战役带给我的焦虑感(关于我美国亲戚的安危)。

        梦中有两个地方应显露着感情。一处是应有感情激动但没有发生,反而将注意力集中在城堡主人之死“对我一点影响都没有”。在另一处,当我认为自己见到战舰非常害怕同时感情受着整个睡眠中所笼罩的畏惧感。这个结构完善的梦中,感情配置得那么好,以致没有产生明显的矛盾。我没有理由要因为城堡主人之死而感到畏惧,不过在变成城堡的统帅后,却要因为见到敌人的舰队而感到害怕。分析显示P先生不过是我自己的一个替代物而已(在梦中我反而替代了他)。其实我是那猝死的城堡主人,梦思是关于我早死后家庭的将来情况。

        而这是梦思中唯一烦扰我的;所以害怕必定是和它分离而和认为见到战舰的情节相连在一起。另一方面,那部分和战舰有关的梦思却是由最令我高兴的回忆中得来。一年前在威尼斯的一个神奇而美丽的白天,我们一起站在我们那位于RivadegliSchiavoni房子的窗前望着蔚蓝色的水面,那天湖上船只的行动较频繁,我们期待英国船只的来临,并且准备给予隆重的接待。突然我太太像孩子那样快活地大喊:“英国的战舰来啦!”梦中我因为这些相似的字眼而感到害怕。(这我们又再度发现,梦中的言语是由真实生活中导衍而来的;我将在后面说明我太太所喊的“英国”亦逃不过梦的运作。)因此,在把梦思转变为梦显意的过程中,我把欢悦转变为惧怕,我只需要稍微暗示一下,各位就会明白变形本身就表达出梦内容的隐意。这例子亦证实梦的运作能够随意地把感情与梦思原来的联系切断,并在显意中某个经过挑选的地点中将它介绍出来。

        我要借这个机会来稍微详细地分析“早餐船”的意思,它在梦中的出现使原先颇为合理的情况转变为无意义的结论。当我对梦中这物像加以更仔细地观察时发现这船是黑色的,同时因为中间最宽阔的部分被切短了,所以它的形状和在埃突斯堪城的博物馆那组吸引我们的物件极为相似。那是一些方形的黑色陶器,具有两个把柄,上面立着看来像是装咖啡或茶的杯子,有点像今天我们所用的早餐器具。经过询问后,我们发现这是埃突斯堪女人所用的化妆用具,上面有些容器可以存放粉末和化妆用具,我们且开玩笑地说,把它带回家去给自己太太是件很好的主意。因此,梦中这个物像的意义即是黑色的丧服(blacktoilet因为toilette=衣服),意指着死亡。这物像另一方面又使我想起那些装载着死尸的船〔德语Na,由希腊文Vxus导衍而来(意即死尸)〕——早些时候人们把尸体装在船上,让它漂浮海上而葬身于其中。这和梦中船只的回航相关联:

        “Still,aufgerettetemBoot,treibtindenHafender Greis”

        (安全的在船上,老人静静地驶回港口)

        ——生和死寓言的一部分——席勒作。

        这是该船失事后的回航(德语“Schiffbruck”的字面意思即“船破”)——而早餐船刚好在中间被切短了,但“早餐船”这名字的来源又是哪里来的呢?这就是源自“战舰”前漏掉的“英国”。英语早餐意即是打破绝食。这打破和船的失事又再连接在一起,而绝食和那黑色丧服或toilette又相关联着。

        但是早餐船这名字还是梦中新近造成的,这使我记起最近一次旅程中最快乐的一件事。

        因为不放心Aquileia供给的餐食,所以我们预先由Gorizia带来一些食物,并且由Aquileia买到一瓶上好Istrian酒,当这小邮轮慢慢地由“delleMee”运河驶过空阔咸水湖而航向Grado的时候,我们这两位仅有的旅客,在甲板上兴高采烈地吃着早餐。我们从来没有吃过比这个更痛快的。因此,这就是“早餐船”。在这生活喜悦最佳回忆的背后正潜藏着对不可预测以及神秘的将来所具有的忧郁想法。

        感情与其直接联系的解离是梦形成的一件最明显的事实,不过这并非是梦思转为梦显意过程中的唯一或最重要的改变。如果将梦思的感情和梦中那些相比较,那么我们立刻就会察觉到一件很明显的事实。无论什么时候,梦中的感情都可以在梦思中找到。不过反过来却不成立,通常因为经过种种处理后,梦中的感情已经远逊于原先的精神材料。在重新把梦思架建的时候,我往往发现最强烈的精神冲动,一直挣扎着想出头,和一些与它截然不同的力量相抗衡。但是再回看它在梦中的表现,却会发现它往往是无色的,不具任何强烈的情感。梦的运作不但把内容并且也把我思想的感情成分减低到淡漠(indifference)的程度。可以这么说,梦的运作造成感情的压抑。譬如说,那个关于植物学专论的梦(见第五章)。实际上的梦思是那想要依照自己选择去自由行动以及按照自己(只是我自己而已)认为是对的想法来导引我生命的冲动的感情要求。但是由这梦导衍而来却不是这么说:“我写了一本关于某种植物的专论;这本书就在我面前,它早有彩色的图片,每一图片都附着一片脱水的植物标本。”这就像是由一个满目疮痍的战场所换来的和平,看不出有任何迹像显示那曾经发生过的斗争。

        但有时却不是这样的,活鲜鲜的感情有时会进入梦中;但首先我们要先考虑下面的事实,即许多看来是淡漠的梦,不过在追究其梦思时却具有深厚的感情。

        我不能对梦运作将感情压抑的事给予完全的解释。因为这样做以前必定先要对感情的理论以及压抑的机转加以详详细细的探讨(见第七章戊),所以我只想提到两点。我被迫(因为旁的理由)这么想,感情的发泄是一种指向身体内部的离心程序,和运动及分泌作用的神经分布类似。就像睡眠当中,运动神经冲动之传导受到限制一样,潜意识唤起离心的感情发泄在睡梦中也许也变得困难。在这情况下,梦思的感情冲动就变得软弱,所以在梦中显露的也不会是更强烈的。根据这观点来看,“感情的压抑”并非是梦运作的功能,而是由于睡眠的结果。这也许是真的,不过却不是完全的真实。我们亦须注意,任何相当繁杂的梦都是各种精神力量相冲突后相互协调的结果。架构成意愿的思潮必须要对付那阻抗的审查机构;而另一方面,我们都知道潜意识的每一个思想串列都带着某种感情,所以这么想大概不会错到哪里去;即感情的压抑是各种相反力量相互制止,以及审查制度压抑的结果。因此,感情的压抑是审查制度的第二结果,而梦的改造乃其第一结果。

        下面我将提及一个梦,其淡漠的感情可以用梦思中的反面对抗来加以解释。这梦很短,不过一定会使每位读者感到厌恶。

        4一个小丘,上面有一个看来是露天的抽水马桶;一个很长的座位,尽头上有个洞。它的后缘满满地盖着许多小堆的粪便,具有不同大小和新鲜度。在座位的后面是草堆。我向着座位小便;长条的尿流把所有的东西洗净;粪堆很容易被冲掉,跌入空洞中。不过好像后来还有什么东西留下来。

        为什么我在此梦中毫不觉得厌恶呢?

        因为分析的结果显示出此梦乃由一些最令人满意,最恰意的思潮所造成。我立刻联想到赫丘利斯弄清洁奥金王的牛厩〔132〕,而这大力士就是我。小丘和草堆来自奥斯湖,我孩子正在那里停留。我已经发现心理症源起于孩童时期,所以能预防他们使不患此种病。那个座位(除了那个洞以外)和一位女病人因感激而送给我的一件家具完全一个模样,因此使我想起多少病人曾夸耀过我。的确,即使是那个有关人类排泄物的古老设施亦可解说成一种快慰。不管在真实中我是如何的讨厌,在梦中它则暗示着一些大家都知道的事实,即意大利小城镇的马桶都完全是这个样子的。那道把什么都冲净的小便,无疑是个伟大的像征。这是在小人国游记内,伽利维熄灭Liliput的大火——虽然这使小人的皇后对他产生厌恶感。这也是拉贝赖的超人卡甘杜阿跨越诺脱达姆教堂,用尿来喷射城镇以报复拜火教徒的方法。在做梦的前一个晚上,我才翻阅了尼尔对拉贝赖著作所做的插图,奇怪的,另一件事可做为我乃此超人的证据。巴黎著名的诺脱达姆教堂乃我喜爱的场所;每个闲暇的下午我都在该教堂那布满着怪物与魔鬼的塔宇爬上爬下。而尿流使粪便那么快的消逝又使我记起这个座右铭来:

        “Afflavitetdissipatisunt”,日后我将把这句话作为一章关于歇斯底里症治疗方法的篇名。

        现在让我们提到有关此梦令人激动的原因。这是个闷热的夏天下午;黄昏时刻我讲演有关歇斯底里症以及行为偏差的关系,我所说的一切都令我不满,并且似乎是毫无意义的。我很疲倦并且对这艰苦的工作感到毫无乐趣;心里一直希望赶快结束这关于人类污垢的唠唠叨叨,早些和孩子们一起去游览美丽的意大利。就在这种情绪下,我由课室走到咖啡馆,在露天下吃一些小食,因为我毫无胃口。但是一位听众跟来要求我喝咖啡吃卷面包的时候坐在我旁边,然后他就开始说一些谄媚的话;说他由我学到了许多东西,说他如何以新的眼光来观看事物,以及我关于心理症的理论如何洗净了他那有奥金牛厩似的错误与偏见。总而言之,他说我是个伟人。我当时的情绪对这种赞扬恰好不能配合,于是我一直和自己的厌恶感挣扎,提早回家以便摆脱他;并在入睡以前翻阅拉贝赖的画页和梅耶的短篇小说《一位男孩的哀愁》。

        这乃是造成此梦的材料。而梅耶的短篇小说更勾起我童年的一幕(请见第五章有关都恩伯爵的梦)。白天情绪的急变以及厌恨之情持续进入梦中,并且提供显意的整个材料。但在夜晚中,一个相反而且强有力,几乎是夸张式的自我肯定的情绪置换了前者。于是梦内容必须找到一种形式来同时表达出自惭形秽以及夜郎自大的妄想。二者的妥协因此造成这模糊不清的梦内容;但同时亦做成一种淡漠的情绪,这是由于两个相反的冲动相互中和的结果。

        根据愿望达成的理论,如果没有这相对的自大在厌恶的情绪中发生的话,那么此梦是注定无法产生的(它虽然受压抑,但却具欢愉的调子)。因为那些困扰的事情不一定会在梦中表现;没有任何令我们困扰的梦思可以进入梦境,除非它同时具有一种满足某个愿望的伪装(请阅第七章丙)。

        梦运作还有另一种处置梦思中感情的方法——除了把它们转变或减少到零以外,梦运作能把它们变得刚好相反。关于解析梦的规则我们已经相当熟悉了——在解析时,梦中每一个元素都很可能代表相反的意义,其机会是和显意相同的(请见第六章注〔19〕)我们事先并不能知道它是这个意思或者刚相反,只有由梦的内涵才能决定。当然一般人会怀疑它的真实性,因为释梦的书常常采用“梦的意义与其显意相反”的规则。这种能够把事情转变为反面的事实是因为在脑海里面,某件事以及其对偶是很密切的相关联着。就像其他种类的置换一样,这种转变能够满足审查制度的目的,不过通常却是愿望达成的产物,因为愿望达成本来就是把一件不愉快的事情以其反面来置换,就像概念能以反面呈现于梦中,梦思的感情亦然;而这种感情的倒换似乎常常由梦的审查制度所完成。我们可用社交生活做为梦审查制度最为大家熟悉的类比,因为在此种场合中我们也利用压抑以及相反的感情达到假装的目的。

        如果和一位我需要必恭必敬的人物谈话(而我又想说些对他有敌意的话),那么我一定要能掩饰这些感情,并且缓和我的语调。如果我说一些很有礼貌的话,但表情或姿态却泄露出恨意与轻蔑,那么后果是和公开在他面前表露敌意一样。因此审查制度使我压抑着感情,即如果我是假装的专家(所谓玉面狐),那么就能装出相 反的感情——在愤怒的时候微笑,在充满毁灭欲望的时候装成深具感情的样子。

        我们前面已经看过一则关于感情以相反形式显现的例子。在那个梦见我叔叔长着黄色胡子的梦(请见第四章)。梦中我对朋友R先生具有很深厚的感情,不过在梦思中却认为他是大呆瓜。一个我们开始就是由这个梦中把感情倒反的例子导引出审查制度存在的可能。但我们不需要假设说梦运作是凭空造出这种感情的;因为它们早就存在于梦思中,而且通常是随手即可招来,而梦的运作不过基于一种由防卫动机而来的精神力量将它们加强,直至能在梦形成中独当一面。在刚刚提到的有关叔叔的梦中,那个相对的,丰厚的感情也许来自孩童的时期(在梦后面部分暗示着),因为据我孩童最早期以及特殊的经验来看,叔叔与侄儿的关系成为所有我的友谊与仇恨的来由。

        一个关于此种相反感情的好梦例由费连奇记载过,“一位老绅士半夜被太太吵醒,因为他在睡眠中毫不拘束地大笑。然后这人就报告了以下这梦:我躺在床上,一位我认识的绅士走入房间。我想把灯开亮,但办不到。我一次又一次地尝试,但都不成功。然后我太太由床上下来帮助我,但她也一样办不到,由于穿着晨褛在外人面前觉得不好意思,所以她也放弃了尝试而回到床上。这一切是那样的可笑以至于我无法忍住大笑。我太太问:“你笑些什么?你笑些什么?”但我还是一直大笑,直到醒来——第二天,这位绅士觉得很忧郁,同时又有头痛;他自己认为是因为笑得太多而使他不安的缘故。

        分析起来,这梦似乎不是那样好笑了。进入房间那位他认为的绅士由梦的隐意看来是死亡那“伟大的未知”的意像——一个他前一天在脑海中浮现的意念。这位老绅士患着动脉硬化症,因此有理由在那天想到死亡。而不可抑制的大笑则置换了那因为他必须死亡所带来的哭号与饮泣,他所不能再扭亮的是生命之光。这忧郁的思想和他入睡前尝试的性交有关,他尝试,不过却失败了。虽然太太宽怀而谅解的协助他,他知道自己已经走下坡了。而梦运作成功地把性无能和死亡的忧郁思想以一滑稽的景像表达出来,并且把哭泣变为大笑。

        有一类特别的梦,可称之为“伪君子”,并且是愿望达成定理的重大考验。这是在喜飞丁女医师在维也纳精神分析协会提供罗赛格的梦后,才吸引我的注意力。

        罗赛格在“你被解雇了”记下这故事:

        “通常我睡得很熟,但好多晚上我却不能好好地休息——因为虽然我的生涯是学生以及文学家,但好多年我就拖迤着一个不能解脱的裁缝生活的影子——像一个不能够解脱的鬼影。

        “在白天,我并不会常常或者强烈地想到过去。就像剥去野蛮人外皮而想轰轰烈烈干一番事业者会有许多事要干一样,我这位充满干劲的年轻人亦不会去想到关于自己晚上的梦。

        只有在我养成思索的习惯后,或者是我身体内野蛮人的本性开始稍微肯定它的存在时,我才发现只要做梦,我都是一个裁缝织工,长时期在师傅的店里工作而没有薪俸。坐在他身边缝缀熨烫服装时,我很清楚自己不再是属于这工作。在成为中产阶级后,我还有很多其他的事情要做,但梦中我老是在假期中,老是到外旅行,而且坐在师傅旁边帮他忙,我老是觉得不舒服,后悔花去太多宝贵的时间,而这些时间也许可以做一些更好的用途。如果布料量度或切得不太准,就要挨师傅的骂。不过从来没有提到薪酬的问题。在弯腰站在黑暗的店里时,我常常想写个报告来告假。有一次我办到了,不过师傅毫不在意,然后我又再坐在他的旁边缝着衣服。

        “在这些辛劳的工作之后,我醒来的时刻是如何的快乐呀!不是我自己决定这持续不停的梦,如果再发生的话,我要狠狠地把它甩开并说:‘这不过是错觉而已,我正在躺在床上,我要睡觉。’……但第二个晚上我又再度坐在裁缝店里。

        “于是这梦继续好几年,而且很有规则地发生。有一次我和师傅在阿伯埃侯夫的家(这是我第一次当学徒时所寄住的农夫家)工作,而我师傅对我的工作特别不满意。‘我要知道你的脑筋开溜到那里去?’他叫道,严肃地望着我。我想最合理的反应是站起来和他说,我工作只是为了让他高兴,然后离开他,但我没有那样做。当师傅叫另一个学徒过来,命令我挪开让他有位置坐下来时,我并没有反对而移到角落去缝缀。同一天,另一个职工,一位狡猾的伪君子被聘请——他是个游荡民族——十九年前曾在我们这里工作,不过有一次由酒馆回来却掉入湖里。当他要坐下来的时候已经没有空位了。我带着询疑的眼光紧盯着师傅,而他向我这么说:‘你对裁缝没有天分;你可以走了,从今而后,我们一刀两断互不相识了。’我是那么害怕以致醒了过来。

        “灰色的晨曦经由没挂上窗帘的窗子照入我熟悉的房间来,各种艺术的著作围绕着我;我那漂亮的书架立着永恒的荷马,伟大的但丁,无可超越的莎士比亚,辉煌的歌德——都是光耀灿烂的不朽人物。隔壁房传来孩子醒来和母亲开玩笑的声音。我觉得自己似乎又重新体会到一种田园诗般甜蜜、和平、诗意的精神生活。这是我一直深深感受到的沉思的快乐。不过令我感到不痛快的是,不是自己提出辞呈,反而被师傅炒鱿鱼。

        “我是多么的奇怪呀呀!自从梦见被辞后,我就再度享受平和了,因为不再梦见过去那么久的裁缝生涯了——这不虚假朴素的生活确是令人愉快的,不过却在我后来的生命中投下好长的阴影……”

        在这长系统的梦中(梦者是个作家,小时候是个裁缝职工),我们很难发现愿望达成。

        梦者的快乐全部建架在他白天的生活;晚上做梦时,他又再回复到他终于挣脱的不愉快生活。我自己一些相类似的梦使我对此问题能稍微了解。当还是个年轻医生的时候,我有一段长时间替化学研究所工作,不过却没有办法学好这门科学所要求的技巧,所以在清醒的时刻,我一直不想忆起这乏味以及丢脸的学习生活。不过我却一直梦见自己在实验室工作、分析以及做其他种种事情。这些梦和考试的梦一样不好受而且也不明确。当分析其中的一个梦时,我终于注意到“分析”这个字——使我了解这些梦的钥匙。自从那些日子开始我就是个分析家,而我现在做的是一些被赞许的分析工作,当然事实上是精神分析。于是我发现:如果我对早上的分析工作感到骄傲,并且吹嘘自己是如何的成功,那么晚上做的梦就会提醒着另一件——即那我没有理由感到骄傲的失败的分析工作,这是个奋斗成功者的惩罚的梦,就像那位裁缝职工变为名作家后所做的梦一样。但是梦为何会自我批评,如何会磨灭自己奋斗成功的骄傲,如何呈现合理的警告而不是强蛮的愿望达成呢?就像我前面说过的一样,这问题的解答是困难的,我们也许可以这样地说,这种梦的基础可能是一种夸张而野心勃勃的幻想所造成,不过后来这泼冷水的侮辱思潮却取而代之,我们不可忘掉心灵中的被虐冲动,这也许造成了此种相反。我不反对将这些梦命名为“处罚的梦”以和愿望达成的梦分开,我想这并没有对我前面所提的各种理论有所冲突,不过只是语言上的一些缺憾以致使我们觉得两个相反的极端会合在一起是很奇怪的。不过对此种梦的彻底研究,使我们又再发现另一个元素。在我关于实验室的许多梦当中,有一个背景含糊,并且我又恰好落在医学生涯最忧郁以及最不成功的年龄。我还没有职位,并且不知道要如何赚钱生活,不过同时却发现我有几个可以选择的结婚对像。于是我就再度年轻,还有,她也年轻了——这位和我共度许多年困苦生活的妇人。因此,一个一直向老年人内心唠叨的愿望变成了潜意识的梦的煽动者。这种心灵上虚荣与自我批评之间的矛盾决定了梦的内容,不过只有那深埋的欲成为年轻人的愿望才能使这冲突成为梦。即使在清醒时刻我们有时也会这样子对自己说:“今天一切事情都很顺利,而以前那些日子则是困苦的。但这都一样,因为那些时光是美好的——那时我还年轻〔133〕。”另一类我常常遇到并且认为是虚伪的梦,其内容往往是和一些长久以来即断绝友谊者的和谐交往,这些梦例的分析都显示一些使我和他们断绝来往或成为敌人的事件。不过梦中却描绘成完全相反的关系。

        就作者或诗人记忆下的梦来说,我们可以知道他们一定会省略那些他们认为是无关紧要或者是分散注意力的梦内容。因此这些梦对我们来说乃是一大难题,但是只要他们把那些内容填补后问题就解决了。

        峦克曾向我指出林姆的神话故事“小裁缝”或是“一拳七个”具有同样的奋斗成功者的梦,那位裁缝成为英雄后,被招为驸马,有一个晚上梦见他过去的手艺,那时他正躺在他太太(公主)的身旁。于是公主起疑心,第二晚叫武装的守卫躲在能够听见梦者呓语的地方,预备将他逮捕,不过小裁缝事先受到警告,因而得以改正他的梦。

        那种使梦思感情得以转变成梦中所呈现的感情是需要经过复杂的程序,如删除、减轻及倒反的;而这种程序在经过完全分析后合成的梦例中能够被辨认出来,下面我将要再引用一些感情的梦的例子,他们将证实这些说法。

        如果我们再回溯到那个奇怪的梦,即关于老布鲁格叫我解剖自己骨盆部的梦(见第六章庚梦7)。我们不难发现在此梦中,我缺少这种情况下所应有的害怕的感觉。由好多方面来说这都是种愿望达成,解剖即指我在这本关于梦的书中所进行的自我分析——这程序在真实生活中对我有极大的困扰,以致我迟延了一年以上不将它出版。然后想到我也许可以克服这个不是味道的感觉,因此造成我梦中不害怕的感觉。我亦很高兴不再变为灰色。我头发已经长得够灰了,这警告说我不能再迟延下去。在梦的结尾,那种要我小孩完成艰苦旅途的目标乃得以表现出来。

        下面我们再来讨论两个梦醒后感到满足的梦例。第一个梦例的满足的理由是期望,“乃是我所谓的‘曾经梦见这个’的意义,而其满足实在是我的第一个孩子的诞生(见第六章庚梦3)。第二个梦例的感到满足的原因是我确认某些预期的事件终于变成事实了,而实际上所指的和前个梦例相似!这是我生下第二个孩子的满足(见第六章庚梦4)。在这些梦例中,梦思中的感情持续到梦中;但是我们可以保险地说,梦中事情是不会如此简单的。如果对此二例加以更深地分析,我们不难发现这个逃过审查制度的满足受到另一来源的加强。这另一个来源有理由害怕审查制度,而其伴随的感情,如果表面不用一些相似而合理的满足(来自一些被核准的源流)来掩盖,而将自己置身于其护盖之下,无疑的是会遭受阻抗。

        不幸的是我不能在这些梦例中说明这点,不过由生活另一部分所取得的例子可以使这意义变得清楚。有一位我很讨厌的熟人,每当他发生什么不对劲的事,我都会有一种觉得很快乐的倾向。但我性格中的道德部分却不允许这种冲动得逞。我不敢表达希望他倒运的念头,而每当他遇到一些不应当得到的厄运时,我都压抑着自己的满意,并且强迫自己去表露以及觉得歉意。每个人一定都会在某个时候遇到我这种情况。不过后来却发生了一件事,这个我讨厌的人做了一件坏事而处在一个罪有应得的情况;这时我因为他得到应有的惩罚而满足,同时和其他公正无私的人具同样的意见。不过却发现自己的满足要比别人来得更强烈,因为它得到别的来源之支持(由我的憎恨),虽然直到那个时刻前一直受到审查制度的阻止,但在这改变的情况下,它乃以随意奔驰。在社交生活中,被嫌恶或者是不受欢迎的少数人如果犯了过错,常常会受到此种待遇的,他们所受到的处罚通常在应得之外再加上那恶意,而这种感觉在以前并没有产生什么后果。那些处罚他们的人无疑是不公正的,不过却不自知。因为那长久的压抑消除后所获的满足将它蒙闭了。在这种情况下,感情在质上说是应该的,但量却不对了;当自我批评对某一点不予置许后,它很容易忘掉对第二点的审查。就如一道门被推开后,人们就很容易都挤进来,这要比原先你所期望放进来的人数多很多。

        神经质性格的一个主要特征——即某一原因产生的结果虽然在质上说是适当的,不过量则太过了——就心理学所能了解的来说,亦可适用上述的句子。过多的部分仍是那些以前受压抑而留在潜意识的感情所引起。这些感情借着和一个真正的原因相联系,而使它的产生和其他的源由——一个合法以及没有瑕疵的感情——连在一起。因此,我们注意到被压抑,以及压抑机转之间的关系,并不完全只是相互的抵消而已。有时二者亦会合作无间,互相加强以达致一病态的效果(这也是同样值得注意的)。

        现在,让我们利用这些精神机转的提示来了解梦中感情的表达吧!一个在梦中展露的满足,即使能够在梦思中找到其源由,也不一定可以完全用此关系来加以解释。通常我们还要在梦思中找寻另一来源——一个受到审查制度压抑的,因为这压力的关系,所以这源由平时所产生的效果不是满足而是其相反。但是因为第一种感情源由的存在,使得第二个源由的满足不受压抑的影响,并且使得第一来源的满足得以加强。因此梦中的感情是由几个来源组合成并且受到这些梦思的过度决定。即在梦的运作当中,那些能够产生同样感情的同类,挤在一堆共同制造。

        经由对那种以“没有生活”做为主题的梦的分析来看,我们已能对这繁杂的问题有一点了解。在这梦中,各种性质的感情在显梦中却归组成两部分。当我用两个字把我的敌手和朋友歼灭后,仇恨以及困扰的感觉就产生了——梦中的文字是“被一些奇怪的感情所克制着”。另一部分则发生在梦快结束的时候,我非常高兴,并且认为有一种“回来的人”可以草草用意愿就能将之加以歼除(而我知道在清醒时候,这是荒谬的)。

        我还没有提到这个梦的来由呢——这是很重要的,并且能使我们更深入地了解此梦。我由朋友处知道柏林的一位朋友,弗利斯(梦中我称之为FL)将要被动手术。我想由他住在维也纳的亲戚处探听关于他更多的消息。开完刀后所得到的前几个报告并不是很确定的,因此我感到很焦虑,而想亲自到他那里。不过那时本身却生病,全身疼痛而寸步难移。所以,梦思是我担心这要好朋友的生命。据我知道他唯一的姐(妹),在很年轻的时候就因一个短暂的毛病而逝世了(我并不认识她)。〔在梦中弗氏(FL)提到他姐(妹),并说她在四十五分钟内就死掉了。〕我一定是这么想,他的身体也强壮不了多少,所以不久我就要在听到关于他的更坏消息后抱病踏上旅途,但是一定会到得太迟,而这又将使我永远地责备自己〔134〕。因此“来的太迟所受到的责骂”成为此梦的中心,而这恰好可用年轻时代的良师布鲁克在我迟到的时候以蔚蓝色眼珠的恐怖瞪视来责骂我的情景表现出来。不过梦不能如此完完全全的把它搬过来用,理由我会在后面提到。所以它把蓝眼珠交给另外一个人,并且给我予歼灭的力量。这很明显看出来,这是愿望达成的结果。我对这朋友的生命的关心,我对自己不去探问他的自责,我对于此事的羞愧(他曾很客气的来维也纳看我),我觉得自己是假借此病不去看他——这种种即造成我那梦中展现的感情风暴,同时也是在梦思这部分中狂吹。

        不过产生此梦的原因当中却有一个是具有相反效果的。动完手术后的头几天,他的情况不太好。我曾被警告不要和任何人讨论此事。这使我很伤心,因为这不必要的对我的谨慎表示怀疑。当然我知道这话不是我朋友说的,而是传达讯息者的笨拙及过度胆小造成的;不过这掩饰着的指责却使我感到很不愉快,因为这亦非毫无理由。大家知道,只有那种含有实质的指责才会有伤害的力量。许多年前,当我还很年轻的时候,我认识两个人(他们是很要好的朋友),他们以其友谊来表示对我的敬意;而我很不必要的在一次谈话中把其中一位所说的批评他朋友的话告诉了另一位。这件事当然和我的朋友弗氏毫无关系,不过我却永远忘不了这件事。这两个人之一是弗莱雪教授,另一位的教名是约瑟——这刚好是梦中我那朋友与对手P的教名〔135〕。

        在梦中此元素指责我不能保守秘密。弗利斯问我曾告诉过P君多少关于他的事亦是同样的指责。不过借着这个记忆(我早期不能守秘密以及造成的后果)却使我现在这个对自己将太迟到达的自责转换到在布鲁克实验室工作的时期。同时借着把梦中被歼灭的人唤为约瑟,不但指责自己将到达太迟,并且指责(我强烈压抑着的)自己不能保守秘密。由这梦即可看出凝缩作用和置换作用,以及其产生的动机。

        而我现在这个微不足道的愤怒(关于警告我不得泄露关于弗氏的疾病)却由心灵的深部得到加强,形成一股仇恨的洪流,指向我在真实生活所喜爱的人身上。这个加强源于我的童年。我已经提过(第六章庚),我的友谊与敌意源于童年时和大我一岁侄儿的关系;他如何凌驾于我之上,我如何学习防卫自己;我们一起生活,不可分离,互相亲爱,不过有一段时间(据我们长辈的回忆),我们两人常打架,同时埋怨对方的不是。由某一观点来说,我后来的朋友都是这形体的重新肉体化,因此都是“revenants”。这位侄儿在我孩童时期又再出现,那时我们一起扮演着凯撒与布鲁特斯的角色。我感情的生活一直强调着自己应有一个亲密朋友以及一个仇敌;而我一直能够使自己满足这愿望。同时我这孩童的概念常常会使我的朋友与敌人发生在同一人身上;当然这不会是同时发生,也不是经常转换的(和我童年的情况不同)。

        至于说一件新近发生的事件如何会引出孩童时所发生的事件,并且以之取代目前的因果关系,我却不愿在这里加以讨论。这问题属于潜意识思想心理学的范围,或者是心理症的一个心理学上的解释。不过为了梦解析的缘故,我们可以这么假设,我对孩童的回忆(或者由幻想所产生)多少具有下列的内容:“我们这两个孩子因为某些事而打架——到底真正是什么可以不管,虽然记忆或是其错觉显示出它是很确定的一件事——每一位都说他比另一位先到达,因此有权利得到它。于是我们整夜都在打斗着;力量就是权力;由梦中的证据看来,我自己已经觉察出自己的过错(“我知道自己的错误”);不过这次我是强者,掌握着战场的胜利;于是失败者跑到我父亲(他祖父)跟前,诬告我,而我以由父亲口中听来的话替自己辩护:“因为他打我,所以我才打回他。”这个记忆(更可能是幻想)在我分析的时候浮现在脑海中——在没有更多的证据前,我不能说为何会如此——并且成为梦思的中间元素,并屯积着它们的感情(就像井子收集流入来的水流一样)。由这点看来,梦思是这样的:

        “活该,你要对我让步;为什么你要企图把我推倒呢?我不需要你,不久我就可以找到别的玩伴。”等等然后这些就进入到梦中表现的途径。有一个时候,我指责过约瑟,因为他也有个相似的态度:“ote—toiyquijemiymette!(让开!)”他在我之后继任布鲁克研究所的助手,该研究所的升迁不但慢而且罗嗦。而布鲁克的两个得力帮手又没有离去的迹像,因此年轻人就沉不住气了。我这位朋友知道自己的日子已经不多了,同时又因为与上级间没有深厚的感情,所以有时大声公开地表示不满。又因为他的上司弗莱雪病得很严重,而P想要把他赶走的意愿也许地不只是为了自己的升迁,其意图可能更为恶毒。自然,在这几年以前,我亦有同样的想法:因此,只要有提级及升迁的可能,那么就会有对妄想意愿压抑的机会,莎士比亚的哈王子即使在他病危父王的床边,亦压抑不住把皇冠戴上头上试试的行动。不过和我们的推理相同的是:梦中对我为朋友无情的想法加以处罚而放开了我自己〔136〕。

        “因为他野心勃勃,所以我杀他。”因为他不能等待别人的离去,所以他本身就被摒除了。这是在我参加大学纪念堂的揭幕典礼后立刻产生的感想——不是对他,而是对另外一个人,因此,我梦中所感觉到的满足,应当如此解释:“一个公正的处罚!你是罪有应得。”

        在P君的葬礼后,一位年轻人说了下面这些似乎不近情理的话:“教士说的话使我们觉得这个世界失去此人后,是无法存在的。”他不过表达其忠诚的反抗,其感伤因这夸张而得到困扰,但他这些话则是下述梦想的源起:“真的,没有人是无法予以取代的。我已经看到多少人死去了呀!不过我还活着,因此我拥有这个领域啦。”在我害怕无法赶上见弗利斯(Fl)一面的时候,类似这样的想法就涌现出来。我只能够想到这样解释;因为自己又比别人多活久些,因为他死去了(并非是我),因为我硕果仅存地拥有这个领域——而这童年以来即梦寐以求的。此源于童年的满足(拥有这个领域)造成梦中感情的主要部分。我很高兴自己活着,因此就像下面这轶事所表达的天真的自我情绪一样。丈夫对妻子说:“如果我们其中一人死去,那么我会搬到巴黎去。”因此,很明显的,我认为自己不是将死去的那个。

        不容否认,解析与报告自己的梦是需要高度的自律。因为这将使报告者成为与他共同生活的高贵生命中的坏蛋。因此,我觉得自然的,这些revenants在我要他活多久就活多久,并且可以一个意愿就将它加以抹杀。这就是为何我的朋友约瑟就会在梦中受到处罚。不过revenants是我童年时期朋友的肉体重现,因此亦是我感到满足的来源——我能一直为此角色找到替代者;而我对这快要失去的朋友又将找到一个替代者——因为没有人是不可置换的。

        但,审查制度到底是搅什么的?为何它对这狠毒的自私不予以强烈地对抗呢?为何它不把连结在这思想串列的满足改变为极度的不愉快呢?我想答案是这样的,和此人相连的别种无法反对的思想串列同时得到满足,并且其感情恰好遮盖了由这受抑制的童年妄想所带来的感情。在揭幕典礼的时候,我思想的另一层次是这样的:“我失去多少朋友了呀!有些死去,有些是因为友谊的年代,我将要保持这友谊而不再失去它。”“我对能够以一个新的朋友来取代失去的友谊”是能准许进入梦而不会受干扰的,不过同时却偷溜进了源自童年感情的具有敌意的满足。无疑的,童年的感情加强了现时这合理的感情,不过童年的仇恨亦成功地得以表现出来。

        除了这些以外,梦中亦明显地暗示着,另一能导致满足的思想串列。不久前,在好久的期待之下,我朋友弗氏生下一位女儿。我知道他是如何的哀悼他早年夭折的妹妹,因此写信告诉我说终于可以将他对妹妹的爱转移到这个女儿身上,而她将失掉那不可补偿的损失。

        因此这个思想又再和前面提到的隐意的中间思想发生关联(请见第六章)(而由这思想却发射出许多相反的途径)——“没有人是无法予以取代的”“只有revenants:我们那些失去的都再度回来啦!”而梦思各种相冲突成份间的关系再度因为下面这偶合事件而连接的更密切;我朋友小女婴的名字恰好和我小时的女伴具有相同的名字,她和我同年,并且是我那最早的朋友与敌人的妹妹(按即ohn与pauline兄妹)。当我听到此婴孩子命名为为赛琳时心中大感满足,对此巧合的暗示是,我在梦中以一约瑟代替另一个约瑟,并且发现无法压抑着“Fl”与“Fleischl”之间起头的相似处。现在我的思想又再回到自己孩子的名字上,我一直坚持他们的名字不应追求时尚,而是应该纪念那些我喜爱的人。这些名字使他们成为revenants。我想,孩子难道不是我们到达永恒之路吗?

        对梦中的爱情,我只有另外一些话要补充——由另一个观点看,睡眠者脑海中的某一统辖的元素造成我们所谓的“情绪”——或者是某种感情的倾向——而这对他的梦会有决定性的影响。这种情绪可能根源于他前一天的经验或思想,或者是依据记忆,不管怎样,它都是伴随的适当的思想串列。不管梦思的理念是决定了感情,或者是感情决定梦思的理念,对梦的建架来说都是没有分的。二者都预示梦的建架是受到愿望达成的影响,并且都是由愿望取得其心灵的动力。这实际存在的情绪和梦中产生的情感是得到同样看等的(请看第五章丙)。即有时会被忽视,有时会用来做为愿望达成的新解析。睡眠中的不安情绪可以是个梦的原动力,因为它引起那活力勃勃的愿望,这正是梦所欲满足。情绪所附着的材料于是被加以运作直至能够表达其愿望达成为止。而这不安情绪在梦思中如果愈是强烈和占优势,那么愈被强烈压抑的愿望冲动就会乘机潜入梦中:因为既然不愉快已经存在(否则它们需要制造出来),所以困难的部分已经完成了——即使自己潜入梦中的工作。这是我们又再碰见焦虑的梦的问题;以后我就会知道这将是梦活动的边缘例子。 

     第六章-壬、再度校正〔137〕 

         壬、再度校正〔137〕 

        终于我们现在能够论及梦形成的第四因素了,如果我们以和开始一样的方法来探讨着梦内容的意义——即以梦中显著的内容和它梦思的来由相比较——那么就会遇到一些必须以崭新的假设来加以解释的元素,我脑海中还记得一些例子,梦者在梦中感到惊奇,愤怒,被拒绝,而这仅仅是由于梦内容的一部分所引起。在前节的许多例子中,我们不难发现,这些梦中的紧急的感觉和内容并不一致,反而是梦思的一部分,这我会在适当的例子中显示出来,但是有许多这类的材料却不能如此解释:它和梦思的关系无法找到。譬如说,这句常常在梦中发现的话:“毕竟这只是个梦而已”具有何种意义呢?(请见第六章)这是梦中一个真实的评论,就像我在清醒时所做的一样,而且这常是睡醒前的序曲;更常见的是它紧随着一些不安的感觉,但在发觉是梦境后又平静下去了。当梦中产生“毕竟这只是个梦而已”时,它和奥芬巴赫的笑剧中La beliehelene口中里所说出的具有同样意义〔138〕:它不过是要减少刚刚经验到事件的重要性,以及使接下来即将产生的经验更易于被接受。它的目的在向“睡眠”催眠,因为这精神因素正要使它奋起,同时有将使梦不再继续的可能——或者是该剧的继续发展——这么一来,就可以更舒适地继续睡下去,并且忍受梦中的一切,因“这毕竟只是一个梦而已”。我认为这个轻蔑的评论(毕竟只是一个梦而已)是在下述的情况产生的:当那从未真正休眠的审查制度发现在不经意之下让某个梦产生,要潜抑已经太晚,所以审查制度只好用这些话来对付因之而产生的焦虑感。这不过是精神审查制度的esb pritdescalier的一个例子。

        这使我们得以证实梦中每一事物,并非都是源于梦思,有时其内容能由一种和清醒脑袋不相上下的精神功能所制造出来。不过问题是,这种情况是例外,抑或除了审查以外,此种精神活动亦恒常占据梦的内容一部分呢?

        我们毫不犹豫地认为后者正确,虽然知道审查机构只是删除以及限制梦内容,不过它也能够增加或插入一些情节。这些插入的情节是很容易被辨认出来的。通常梦者述及此点时免不了会犹豫,同时前面冠以“就像”;它们本身并不太令人注目,不过却是用来连接梦内容的两部分,或者将梦的两部分连接起来。和真正源于梦思的材料比较后知道它是较不容易留存在脑海;如果我们把梦给忘了的话,这部分的记忆是最先失去的。我怀疑那些常听到的怨语:“我有好多梦,不过却忘了大部分,只记得一些琐碎”(请看本章第一节凝缩作用),就是因为此种急速忘却的思潮引起的,在完全的分析过程中有时我们发现,它和梦思的材料毫无关联。不过在仔细地研究后,我发现这并非常见;插入的部分通常能溯源到梦里,不过却无法以本身的力量或先决的方法来呈现于梦中,似乎只有在很特殊的情况下,这种精神活动才会创造新的事物,大部分的情况,它却是利用梦思中的材料。

        这个梦运作的因素的特征乃是其目的,这也是泄露其身份的部分〔139〕。这功能和诗人恶意形容哲学家的字眼一样:“它以碎布缝补着梦架构的间隙。”〔140〕由于它的努力使梦失去了荒谬与不连贯的表征,并且接合于理智的经验。但是它也不常是成功的。

        表面看来,梦常常是合乎逻辑与合理的;由一个可能的情况开始,然后经由一连串的发展而得到一个近理的结论(虽然并不太常见)。这一类的梦必定受过此种精神功能(和清醒时的脑袋没有两样)大量的修正;它们看来似乎是有意义的,不过却和真正的意思大大不同。如果将它们一一加以分析我们不难发现再度校正非常自由地玩弄着梦材料,并且把它们之间的关系减到最少。这些梦可以说还未呈现到清醒的脑袋以前就已经被解析一遍了〔141〕。在别的梦例中,此种具有偏向的校正只能说是部分的成功而已。梦的一部分似乎是很合理,不过接着又变为模糊,无意义;也许接下来又再变为合理了。还有一些梦例,校正可说完全失败了,因为那些梦只是一堆无意义的碎片组合而已。

        我不愿意否认这个属于第四种梦产生因素的存在——不久我们即将对它感到熟悉。事实上,它是四个因素中我们最熟悉的一个——我也不愿意否认这个第四因素具有提供给梦的新贡献,不过据我们知道它和其它因素一样,也是利用梦思中现存的材料,依据其爱好来选择。有一个例子,它不需要辛劳地替梦架建起一座冠冕堂皇的正面——因为这已经存在于梦思中。我习惯于把这些梦思称为幻想;而这和清醒时刻的“白日梦”是相似的——也许这么说就可以避免读者的误会。精神科医师对它在精神生活上所扮演的角色还不太明了,虽然,朋纳第在这方面有很好的开始〔142〕。不过白日梦所具的意义并不能逃过诗人毫无错失的眼光,譬如说都德曾在很有名的总督大人中描述一位小角色的白日梦(请看第七章乙)。对心理症病患的研究使我们很惊奇地发现幻想(或者白日梦)乃是歇斯底里症状的直接前身,如果不是全部至少也是大部分。歇斯底里症状并非和真实的记忆相关联,而是建立在一些基于记忆的幻想上。因为这些意识到的白天幻想常常发生,使我们对此构造得以了解。不过,除了这些意识到的幻想外,还有更多的潜意识幻想——而其内容与受潜抑的来由造成它们变为潜意识的理由,仔细研讨这些白天幻想的特征使我们觉得把它和晚间的思想产物——梦——相比是很恰当的。他们和晚间的梦具有许多共同的性质,因此对它们的研究也许是了解梦的最短与最好的方法。

        和梦一样,它们都是愿望达成;和梦一样,它们大都是根源于幼童时经验到的印像;和梦一样,它们因为审查制度的松弛而得到某种程度的好处,如果仔细观察其结构的话,我们不难发现“愿望的目的”正把各种建架的材料重新组合以形成新的整体。它们和幼童时期记忆的关系,就像是罗马宫廷和古代废墟的关系一样——其阶级和柱子供给这些现代建筑的材料。

        由“再度校正”中——这个所谓梦产生的第四个因素——我们再度发现那个在创造白日梦时不受别的影响而得以呈现的同样精神活动。可以简单的这么说,我们所谈论的第四个因素把供给的材料模塑成一些像白日梦的东西。不过梦思中如果已经有现成的白日梦存在着,那么梦运作的第四个因素就会利用这现有的材料,而将它纳入梦的内容。因此有些梦只是在重复着白天的幻想——也许是潜意识的。譬如说,我的孩子梦见和Trojan战后的英雄同驰战场(请参阅第三章)。还有我那“Auto-didasker”的梦(请见第六章第一节),其第二部分完全是我白天幻想和N教授谈天的重现(此幻想本身是无邪的)。不过这些有趣的幻想只形成梦的一部分,或者只有一部分进入梦中的事实,只能如此解释,即梦的产生需要满足许许多多繁杂的条件。一般来说,幻想和其他的梦思部分都受到同样看待的,不过在梦中,它通常被视为一个全体。在我的梦中常常有许多部分是独特的,和其他部分虽然不同,它们似乎是更加通顺,关系更为密切,并且比梦的其他部分来得更短暂。我知道这些都是进入梦中的潜意识的幻想,但是却从未成功地记下这种幻想。除了此点以外,这些幻想和梦思的其他成分同样会受到压抑、凝缩,并且互相重叠等等。当然还有一些居中的例子,在两个极端——一头那些一成不变造成梦内容(至少亦是其正面)者,另一头是极端相反,它们只是以其中一元素,或者很遥远的比喻来呈现在梦内容中,梦思中幻想的最后下场当然也是和它能够符合审查制度和凝缩作用的程度有关。

        在前面所选择的梦例当中,我一直避免引用那些潜意识幻想占据相当重要地位的梦,因为介绍这个特别的精神因素,需先花很长的篇幅来讨论潜意识思考的心理学,不过我还是不能完全不考虑幻想,因为它们常常完完全全地移入梦中;更常见的是,经由梦而让我们意识到,因此,我下面要再引用一个梦例,里面含有两个互相抗拮的幻想——一个是明朗化的,而第二个则是前者的解析〔143〕。

        这个我唯一没有好好记下注释的梦,内容大概是如此的:梦者,一位年轻未婚的男人,正坐在他常去的餐馆内(在梦中很真实地呈现)。然后几个人出现,要把他带走,其中一位还要逮捕他。他对同桌的伙伴说:“我以后再付帐,我还要回来的。”但他们以一种蔑视的嘲笑叫道:“我们全都知道了。大家都这么说的。”其中一位客人且在他背后这么说:“又是一个!”他于是被带到一个狭窄的房间,里面有一位女人抱着一个小孩。护卫着他的某一个人说:“这是米勒先生。”一个警探,或者是某种政府官员很快地翻阅着一堆入门卷或者纸张,并且重复着“米勒,米勒,米勒”。最后,他问梦者一个问题而他答道:“我会这样做的。”于是他再望着那妇人,发现她长着一脸大胡子。

        在这梦例,我们不把两部分分开,表面的一个乃是被逮捕的幻想,而看来它似乎是新近由梦运作所制造。不过我们仍能够看到它背后的材料,而这种受到梦运作用稍加改换外观而已————即是结婚的幻想。这两个幻想相通特点在梦中显得很清晰——就像Galton的集锦照片一样。那位单身汉应允要回到此厅馆来,其同伴的怀疑(因为累积的经验而变得聪明些),以及他们在他背叫的“又是一个(去结婚的)”——这些问答却能很满意地适合两种幻想。那向政府官员宣誓的“我会这样做的”也是一样。翻阅一大堆纸同时重复着同样的名字较为次要,不过却是婚姻典礼的一个特殊特点——即是阅读一堆祝贺的电报,它们的致电都是具有同样的名字。结婚的幻想实际上比表面的被逮捕的幻想来得更成功,因为新娘在梦中确实呈现。由得到的消息中我知道新娘最后为何会长着胡子——不过并非经由分析而来。

        在梦发生的前一天,梦者和一位朋友(和他一样对婚姻感到畏羞)在街上散步,他要朋友注意一位走向他们的黑发美女,他朋友这么说:“确是不错。只要这些女人在数年后,不像她们父亲那样长着胡子就好。”当然即使在这梦中,梦的改造仍然在运作。因此,“我以后再付帐”指的是怕岳父对聘礼的意见。的确,各种疑虑都使梦者不能由这结婚的幻想中得到愉快。其中之一乃是害怕结婚会使他付出自由的代价,因此在梦中变形为逮捕的景色。

        如果我们暂时回到这个观点上——即梦的运作喜欢利用梦思中现成的幻想而非利用梦思来另外制造一个——那么我们就能解决和梦有关的一个最有趣的谜。我曾经提到过,毛利在长梦之后醒来,发现自己的后颈被小块木板敲击着——而梦中他却梦见法国大革命,自己被断头台上的刀片切断脑袋,既然此梦仍是连贯的,而且据他的解释,乃是为了解释那使他醒过来的刺激,而这刺激又是他所不能够预测到的,因此只有一种情况是可能的,即梦恰好在木板敲击他的头,以及他醒来之间形成的,在清醒的时刻,我们从来就不敢认为思想活动是如此的快速的,所以认为梦的运作具有加速我们思想程序的功用。

        对这急速成为大家所熟知的决论,许多作者都加以激烈的反对。他们一方面就怀疑毛利的梦的正确性,一方面又想辩论清醒时刻的思潮并不比这梦来得慢——如果夸张的部分加以消除的话。这些辩论引出许多基本的问题,不过我却不认为它们近于答案。但我必须承认,譬如说我不认为伊格对毛利断头台的梦的反对是能令心信服的。我自己认为这梦或许应该这样解释。毛利的梦很可能表示那多年以来一直储存于他脑海的幻想,不过却在他被那刺激弄醒的那刻里被唤起——或者是被暗示出来。果真如此,就不难了解为何这样长而详细的梦会在如此短的时刻内制造出来——因为这故事早就做好了,如果这块木头在清醒时刻击中毛利的头,那么也许他会这么想:“这就像被砍头一样。”但既然他在梦中被木板击着,梦运作于是很快地利用这敲击的刺激而获得愿望达成;就像它是这么想(这完全是比喻的):“这是个好机会来实现我那意愿的幻想,而它是在我某个读书时间中所形成的。”这是不容易受人置疑的,因为每一个年轻人在强有力的印像下都会造成完全像这样的梦故事。谁不会被那恐怖时代的描述所吸引住呢——尤其是一位法国人,而且又是研究人类文明历史的学者——那时贵族男女,国家的精华,都显示出他们能兴趣高昂地面对死亡,并且在死亡刹那前仍能维持其高贵风度与灵活的智慧。对一个年轻人来说这个想像是多么的诱人呀!——想像自己正向一位高贵女士道别——吻着她的手,无畏地步向断头台。或者野心乃是这幻想的主要动机时,把自己取代那些可怕的人物又是如何的诱人呀!(这些人单单利用其智力与流利的口才就统治了城市中那些痉挛似抽动的人心,并且以其判决把千千万万的人命送上断头台而铺下整个欧州大陆改组的道路,而同时他们的头又是很不安全,终有一天会落在断头台的刀子下。)试想把自己看成Girb rondist(按即一八七一年法国国会之和平共和党员,其领袖皆来自rrokde州),或者伟大的英雄人物达坦,又是多么令人兴奋的呀!这是此梦的一个特征,他被“带到执行死刑的地方,四周围绕着一大群暴民”,看来他的幻想就是此种“野心”型的。 

        而且这长久以来即已准备的幻想并不必要在梦中一一展现,只要加以触摸一下就行了。

         我的意思是这样的,如果弹几道音符,而有人说是莫扎特的Figaro(就像在DonGiovanni中所发生的一样)许多印像就被勾引出来,但原先我一点都没有想到,关键的词句就像是个进口同时把所有的关系都激动起来。潜意识的思想程序也是一样的,这弄醒他的刺激把精神的进口给兴奋起来,而让整个断头台的幻想得以呈现。但这幻想并非在梦中全部一一浮现,那是在睡醒后回想时才出来。醒过来后,他记得这在梦中以整体的方式激起的幻想所具有的所有细节,在这种梦例中,我们没法证实自己确是记得一些梦见的事情,这种解释——即这只是事先准备好的幻想,而被一个弄醒的刺激所激动起来——可以应用在别的被外在刺激弄醒的梦,如拿破仑一世在战场中被炮弹吵醒的梦(请见第五章丙)。

        土波窝士卡为了她那关于梦的长短所做的论文而收集的梦中,我认为最有价值的乃是马卡里奥所报告的由剧作家波佐做的梦。某个傍晚,波佐想要去观看他剧本的第一次演出,但是他是那样的疲倦以致当戏幕拉起的时候,他就打瞌睡。在睡梦中他看完他全戏的五幕,以及各幕上演时观众们的情绪表现,在戏演完后他很高兴听到激烈的鼓掌并且高叫他的名字。

        突然他醒来了,但他不能相信自己的耳朵或眼睛,因为戏不过才上演第一幕的头几句话。他睡着的时间不会超过两分钟。我们这么想是不会太过草率的;梦者看完五幕戏,并且观察观众对各段落反应态度的事,并不需要在睡梦中由任何新鲜的材料制造出来,而可为由已经存在的幻想重现出来。土波窝士卡和别的作者一样,强调那些观念急速倾盆而出的梦都具有共同的特征;它们是特别连贯的(这和别的梦不同),而对它们的回忆只是摘要而非细节,当然这是那些由梦运作触发的现成幻想所具有的特征,但是原作者却没有指出这结论,我当然没有断言所有被弄醒的梦都适用的这种解释,或者梦中快速呈现的观念都是经由此种方式处理的。

        在这里我们无法不去讨论梦内容的“再度校正”和其他梦运作的因素之间的关系。难道制成梦的程序是像下面描述那样吗?即梦的形成元素——如凝缩作用的努力,逃避审查制度的需要,以及精神意念的表现力——首先由梦的材料中抽取出临时的梦的内容,然后此临时内容再经过重新铸造直到完全满足这续发的“再度校正”。不过,这是很不可能的,我们倒不如假定这因素从开始就和凝缩作用、审查制度和表现力一样,梦思必须满尼它的需求才能被诱导与选择出来而形成梦内容的一部分,这些因素是同时进行的,不管在哪个梦例中,这个最后提到的梦因素其需求对梦是具有最小束缚力的。

        下述的讨论将使我们认为这个我们称为再度校正的精神功能和清醒时刻的脑筋活动很可能是完全相同的:我们清醒(前意识)的思想对一切认知材料的态度,和此因素对待梦内容的材料完全相同,对清醒的思潮来说,我们很自然地对此等材料创造出秩序,制造相互间的关系,同时使它满足理智的期望。事实上我们这样做是太过分的,魔术师很容易利用这些理智习惯来愚弄我们。我们努力使各种感觉印像综合成合理的形式往往让我们隐入最奇特的错误,甚至把眼前材料的真实性否决掉。 

        关于这点的证据是人所共知的,我不想在这里花费太多的笔墨。在阅读的时候,我们常把错印(而把原意破坏)的部分误认为正确。法国一本畅销杂志的编者有次和人打赌他能叫排字工人在一段长文章的每个句子后面加上一“前面”,“后面”的字眼,而没有一个读者会觉察出来,结果他赢了,很多年前我在报纸看一则有关这种虚假联想的滑稽例子。无政府主义者有一次掷入一个炸弹在法国国会会议上爆炸开来,杜培以这勇敢的话“LaSeainue(会议将继续进行下去)”来缓和恐怖的气氛。看台上的来宾被问及他们对此暴行的印像。其中两位是由乡下来的,一个说他确曾在某人发表言论后,听到爆炸声,不过他以为国会在每个发言人说完后都要鸣炮一声。第二个人也许听过几次会议,也有同样的结论,除了他认为鸣炮是对一些特别成功的演说致敬。

        因此精神机构以同样的态度对待梦内容,要求它们合理能解而加以第一眼的解释,不过却常因此产生完全的误解(请见第六章)。为了解析的目的,我们的原则是,不管任何梦例,我们都不考虑梦表面的连贯性,而怀疑各部分具有不同的来源。所以不管梦本身是清晰抑或含糊,我们都要遵循着各元素原先的路途回溯到梦思的材料去。

        现在我们就能知道前面所论有关梦的清晰抑或含糊都不是独立的,再度校正能够产生效用的那部分是清晰的而不能发生效用的则是含糊,又因为梦中含糊的部分常常又是不够鲜明的,所以我们能这样断言,这个续发的梦运作亦能够贡献各个梦元素的强度。

        如果我要找寻一个物像来和这个梦的最后形式(经过正常思考的协助后)相较量,那么没有任何比飘页中那些很久以来就吸引住其读者谜样的铭言来得更恰当了。书中的句子给读者的印象是像拉丁铭言——而其实是一些极其粗鄙的土话(为了对比的缘故)。为了这目的,所以把土话句子中的文字字母排列弄乱,而加以重新排列。因此不时出现一些真正的拉丁文字,有些地方又像拉丁字的缩写,而别的部分我们又看到一些好像掉了一些字母,或涂删的文字,因此忽视了每个独立文字的无意义。为了不被愚弄,我们必须放弃找寻铭言的企求,注视每个文字,不管其外表排列如何而把它重新组成自己的母语,这样才能了解。

        再度校正是梦运作四个元素中最能被大多数作者观察到而且了解其意义,艾里斯曾有趣地描述过其功能:“事实上我们可以想像睡眠中的意识如此对自己说:‘我们的主人(清醒时刻的意识)来了,它是具有强而有力的理智和逻辑等等。赶快!把材料收集好,将它们排好——任何秩序都行——在它又再掌握实权之前。’”

        其运作的方法和清醒时刻思想的雷同,曾被笛拉谷露斯描述:“这个解析的功能并非梦所特有,我们清醒时刻对感觉作用所作的逻辑协调亦是一样。”

        苏利和土波窝士卡亦有同样的意见:“精神对这些不连贯的幻觉所做的努力,就和白天它对感觉所做的协调一样,它把所有分离影像以想像的环节连起来,并且使它们之间的巨大间隙填补着。

        根据其他作者的说法,这种重组以及解释的程序在梦中开始发生,并且连续到清醒为止,因此包汉说:“不过,我常常这么想,梦也许会有某种程度的变形或重新造形,在记忆中……而那要产生系统化的想像在睡梦中开始作用,不过却要在睡醒时才会完成。因此思考的速度在清醒时刻的想像力作用后会很明显地增加。”

        李罗和土波窝士卡说:“反过来说,我们对梦的解析与协调不但需借助于梦中的资料,而且也需要用到清醒时刻的……”

        因此,这个大家所认知的因素无可避免地被过分高估,——他们认为梦之所以创造出来完全是因为它的成就。哥洛认为此种创造性工作是在睡醒那刹那间所产生的,而浮卡更进一步地认为清醒时刻的思想将睡眠时浮现的思潮制造成梦。对这观点,李罗和土波窝士卡有下述评论,“有人认为可以在清醒的时刻发现梦的进行,所以(这些作者)主张梦是由清醒时刻的思想将睡眠时所产生的影像制造成的。”

        依据这对再度校正的讨论,我将更进一步地讨论梦运作的另一个因素,而这是最近由塞伯拉的细心观察研究所发现的。我前面曾经提过(请看第六章丁),塞氏在极度疲倦与昏困的状态下强迫自己从事理智活动却发现自己把思想转变为图像。在那时刻中,他所处理的思想不见了,却以一些图像来替代此类抽像思想。不过这时刻产生的影像(可以和梦的元素相比较)有时并非是所从事的理智活动——即是说和疲倦,以及工作的困难和不愉快有关。也就是说和从事这工作者的主观情况与功能有关,而与他所从事的活动物像没有关联。塞氏把这种常发生的事件叫做官能性现像,而非他所期待的“物质现像”。

        譬如说:“一天下午,我很困地躺卧在沙发上,但是却强迫自己思考一个哲学上的问题。我想比较康德和叔本华对时间的看法。不过因为太过疲乏,我无法立刻把他们两人的争论同时浮现在脑海中,而这是把他们相互比较的必要条件。经过几次徒劳的尝试后,我又再度用全部意志把康德的推论浮现在脑海中以便能和叔本华的相比较。但当我注意力转移到后者,然后又返回康德的时候却发现他的论证逃开了,我无法再把它挖掘出来。对于要把匿藏在脑袋中的康德理论找出来的徒劳尝试突然使它在我眼前以一种实在的,造形的影像呈现,就像是梦的影像一样:我向一位脾气暴躁的秘书询问某件事情,那时他正在弯着腰伏在办公桌上办事,恼怒我那紧急问题的干扰,因此半伸直着身体,给我一个愤怒而拒绝的脸色。 

        (取自塞伯拉) 

        下面则是别的关于往返清醒和睡眠之间的例子(皆取自塞氏)。

         发生时的情况:早晨,在清醒的时候,当我在某种程度的睡眠状态(半睡半醒)下,并且回想刚才所做的梦,想要重复以及继续下去,却发现自己愈来愈接近清醒,不过心理却要留在这蒙胧时刻。

        梦见的情境:我把一脚跨到溪流的另一边,不过却立刻把脚收回来,因为我想要停留在这一边。

        例六:发生的情况和例四相同(他想要多躺在床上一会而不睡过时间),“我想要多睡一会。

        梦见的情境:“我和某人道别,不过却安排不久和他(她)再见的时间。”

        塞氏观察到的官能性现像(代表一种精神状态而非物体)主要是发生在入睡与清醒两种情况下。明显的是,梦之解析上和后者有关,塞氏的例子强有力地批出,在许多梦中,显梦的最后部分(接下来就是醒过来),往往只是表现清醒过程,或者是清醒的欲望,这种表现可能是跨过门槛(门槛像征),从一房间走到另一房间,离开,回家,和朋友再见,潜入水中等等,但是由自己的梦或分析别人的梦中,我却无法找到很多和门槛像征有关的梦元素,而塞氏的著述却使我们期待能够找到更多的像征。

        不过这种门槛像征也许可能解释梦的中间部分——譬如说,往返于深睡以及睡醒的时候。然而,有关这方面的确实证据还未找到(请看下面第七章丙弗氏关于这点的评论)。而较为常见的是过度决定的例子,在这些例子当中和梦思相联系的梦内容只是更用来表现某种精神活动的状态。

        这个塞氏表现的有趣的官能性现像(虽然错不在该作者),却导致许多滥用:因为它被认为是支持那些古老的以像征和抽像来解析梦的证据。许多喜爱此“官能性类型”的人甚至在梦思具有一些理智活动或情绪程序,就说它是官能性现像,虽然这些前天遗留下来的残物,并不比其他的材料有更多或更少的权利入梦。

        我们认为塞氏现像乃是清醒时刻的思想对梦形成的第二个贡献。(第一个贡献我们已经以再度较正的名义下予以讨论过了。)我们已经显示白天运作的注意力继续在睡眠状态下指导着梦,局限着它,批评它,并且保留着中断它们的权利。看这个留存的精神机构唤醒了审查官,而这对梦的形式具有强劲的限制性,塞氏的观察所能追加的是,在某种状况下自我观察亦扮演着某种的角色,并且形成一部分的梦内容。这自我观察机构(也许在哲学家的心灵中特别发达)和别的如精神内省,观察的错觉,良心,梦的审查官等的关系,也许在别处讨论较为适当。

        下面我将把这长篇有关梦运作的讨论加以摘录,我们曾被指问,精神是否以它全部力量或者仅以剩余的受限制部分来创造梦,研究的结果发现这问题是不合适的,但如果我们被迫一定要回答的话,那么我们要说二者都是对的,虽然看来这两个答案是互相排斥的,在制造梦的时候,我们能够分辨出两种精神活动:梦思的产生,以及把它们转变成梦内容,梦思是理性的,它是我们所能具有的所有精神精力所制造出来的,它们属于那些不在意识层面的思想程序——经过某些变异,这程序亦产生我们意识的思想。无疑的,梦思有许多值得探讨,有许多神秘处,不过却和梦没有特别关系,所以不忘在梦的前提下予以讨论〔144〕。但是形成梦的第二种精神活动(把潜意识思想转变为梦的内容)却是梦所独有,而且是其特征。

        这特殊的梦运作和清醒时刻思想型式的分野远比我们想像得还大,即使是梦形成的精神功能之最低级者亦然,梦运作不单只是更不小心,更无理性,更健忘,或者更不安全;它和清醒时刻的思想完全不同(就质来说),所以是无法加以比较的,它并不思想,计算或者判断;它把自己局限在给予事物新的变形,我们前面已经不厌其烦地描述种种它在产生结果前所必须满足的情况。那个结果,最主要的是要能够通过审查制度,为了满足此目的,梦的运作就置换各种精神的强度,甚至把所有的精神价值都改变了。思想必须完全或主要的以由视觉或听觉的记忆痕迹来表现,而这又使梦运作在进行的置换时做表现力的考虑。也许要由晚上梦思所能给予的制造出更大的强度,因此就有凝缩作用。我们不用去注意思想之间的逻辑关系;它们只是特殊的梦外形的一个伪装,不过梦思的感情不会受到太大的改变,这些感情通常是受压抑的常存在梦中时,它们和原来附随着的思想是分离的,而且同样性质的感情连在一块。只有梦运作的一部分——所谓的校正(因梦例而有量多少的不同)则受到部分清醒的意识所影响——才和其他作者苦心赞誉的思想(他们想用来包括形成的全部分)相同。

        ————–●注释:

        〔1〕译注:沙孚为纪元前六○○年左右之希腊女诗人。

        〔2〕有关这段文字的意义,我们将在“像征代表”的那一章再详论爬楼梯的梦。

        〔3〕德文“下榻”、“停留”所用的字,如按字源分析,其意为“步下”。

        〔4〕有关梦者的奶妈所影射的荒唐意义是依其情况而定,譬如,在这情形下,那奶妈其实便是影射着他的母亲。还有,我曾在前面提过这位年轻人曾后悔他当年未曾好好利用机会吃他奶妈的豆腐,也可能就成了这梦的来源。

        〔5〕译注:此字意为希腊,罗马建筑物之入口、通廊,尤指雅典街城Acropolis 之入口。

        〔6〕由于原稿德文无法译出,故此为英译者自创之。

        〔7〕音节上的分析拼凑,的确可称之为真实的“音节化学”,事实上日常生活中倒不乏趣例,找“银子”最合算的办法是什么,你只要跑到“银莓”生长的地方,采些银莓,再把“莓籽”去掉,不就有了“银子”吗?(此为英译例子)。

        〔8〕Lasker死于”进行性瘫痪”,这是由接触女人引起的疾病(梅毒)。而Lasalle,也是一个梅毒病人,为了一个他所爱的女人而与人决斗被杀死。

        〔9〕最近我发现一个例外的病例,他是一个被“强迫观念”所困扰的年轻男性,但其智能均仍有高度的发展。他在梦中所发生的话语并非来自他自己所曾说过听过的话,却是他自己内心深处那强迫观念不经化装的表达,然而这些在醒觉意识状态下却只能以另一种改装后的面目出现。

        〔10〕由于我视“梦改装”与“审查制度”为梦理论的核心问题,所以我拟在此举出林克斯的故事“梦幻犹醒”的结尾数节以飨读者,在这儿也许可以看到我的说法的梗要:

        “这是叙述一个人天赋有一种能力,永远不会梦见无稽的内容……”

        “你所以能梦中犹如醒觉,全都是由于你的美德,你的善心,你的公正,你对真理的爱,由于你天性中道德的清晰概念使发生在你身上所有的事均能为我所理解。”

        但回答却是:“然而,如果我再好好想一想的话,我几乎相信所有人均与我一样,不可能梦见过无稽的内容,一个梦者事后仍能清楚地追述出来的,决不是一种谵妄的梦,它必定有某种意义的。而不可能是另有其他说法的,因为与其本身相矛盾的内容决不可能被合成一体的。梦中的时间、地点往往混淆,而与梦的真正内容有所出入,但这却不影响梦的基本内容,其实在醒觉状态下,我们也常作出这一类的事,如冥想神仙故事,一大堆幻想中的英雄人物……而这些却只有白痴才会不解风情地批评:“这不可能的,这根本是无稽之谈……”

        一位朋友说:“但愿每个梦均能像你对我的梦所作的解释那般精确!”

        “这当然不是一件容易的事,但只要用心一点,对梦者而言,是有可能做到的。你问说为什么这总是不可能?就你来说,似乎梦里隐藏着某些以特别的,得意的形式所表现的龌龊事情,某种很难窥透的你本性上的秘密,而这就是为什么你的梦常显得了无意义或荒谬绝伦。其实,更深一层的研究,当可发现决不是这么一回事,因为毕竟一个人不管醒觉或做梦状态下总还是他本人的。”

        〔11〕在写完以上这些文字后,我已经发表了两个完整的梦的分析和合成——在“一个歇斯底里病例的部分分析”(弗洛伊德,一九○五版,seⅡ和Ⅲ)。和弗洛伊德,seⅣ中对“狼人梦的合成——。峦克的分析(一个自我解释的梦,一九一○年)值得一提,因为这是所发表过较长的梦中分析最详细的。

        〔12〕最后这四句(由另外的材料……)是一九一九年才加上的。在早些的版本中,此段是如此写的:“另外的材料则被称为支径。整个来说,它们构成了梦思的真实愿望变为梦的希望所必须经过的途径。这些“支径”第一类便是由梦思本身衍化而来,由本质的置换成非本质的。第二类便是一些把所有非本质的元素连接起来(而这些元素是由于置换,所以变得重要),并伸展到梦的内容。第三类则是一些联想和思想串列,借着它们,我们仍能在分析过程中将梦的内容和第二类附带元素连起来。我们不需要假设这第三类必须和梦的形成有所关联。弗洛伊德在一九二五年说他把这collaterals的名词删除,但这名词在第七章却又出现了。

        〔13〕这些话的详细阐述请参第六章注〔123〕。

        〔14〕译注:Parnassus,山名,在希腊,为Apollo及Muses诸神之圣地。

        〔15〕这是弗洛伊德爱好的比喻。可能源于歌德的抒情诗。

        〔16〕这梦在弗氏写给弗利斯——梦里的那位朋友——的信中有(一八九七年四月二十八日)详尽的描述。“请看弗洛伊德,第60封信。”

        〔17〕弗洛伊德在一八九六年十一月二日寄给弗利斯的信中报告这个梦(请看弗洛伊德,第50封信。)那时,他说这梦是在出殡后一天发生的。

        〔18〕关于这话的描述请见第六章丙节、丁节。

        〔19〕看过了K.Abel的“原始语言对偶词句的意义”——他的观点亦为其他的语言学说所证实——,我感到很惊奇,因为最原始的语言和梦的行为竟然是完全相像。起先,它们只有一个名词来形容完全相反的两年事(譬如:“强——弱”、“衰老——年轻”、“远——近”、“紧——松”);然后,用一种续发步骤把这共同的名词稍加改变就造成相反的两个意念。Abel特别指出古埃及的文字,不过他显示出闪族和印度与德国语系亦有同样的发展过程。

        〔20〕Annunciation:相传天使Gabriel向圣母玛丽亚宣告耶稣降生之消息。三月廿五日即是纪念此事之节日。

        〔21〕这梦在第六章丁节有很详尽的描述。

        〔22〕请见亚里斯多德对于释梦者的看法,见第二章注〔2〕。

        〔23〕关于集锦人物的题目请参阅第六章甲节二。

        〔24〕第五章注〔66〕。

        〔25〕当我不知道要在那个人物中寻找本人的自我时,我根据下述原则去判断:那个梦中人具有我睡着时所经验到的情感,那么他身上就隐藏着本人的自我。

        〔26〕请看第五章乙节革命的梦。

        〔27〕见弗洛伊德有关梦的短篇的短篇论文,标准本第五册六五一页(ondream)的最后部分有一些有趣的例子。

        〔28〕歇斯底里发作常常利用时间秩序的颠倒来混淆视听以达到掩饰其意义的目的。譬如说:一个歇斯底里的女孩在一次发作中想表现一种带罗曼蒂克的味道——这是她在地下火车遇到某人后,潜意识所幻想的罗曼蒂克。她想像那个男人被她美丽的双脚所吸引,上前和她搭讪,而那时她正在看书;然后他们就一起去玩,享受了一段美丽的爱情。她的发作便是以身体的痉挛来表现这段爱,同时用嘴唇的动作代表接吻,两臂的紧握表示拥抱。然后她急促地跑到隔壁房间,坐在椅子上,拉起裙角以露出双足,假装看书,同时和我说话(即是,回答我)。另外请看Artemidorus说的:“在分析梦境的时候,有时要由头开始,有时却要倒过来从后面开始……”

        〔29〕〔一九三○年加注〕这到底是否正确,我现在不敢确定。(弗洛伊德在他那篇讨论梦与第六感的末段曾为这个分类的存在争辩)。

        〔30〕这题目在第六章庚节中讨论得更详细。

        〔31〕她伴随的歇斯底里症状是月经不调,及忧郁(这是病人的倾诉)。

        〔32〕这在第六章丙节已经提到。

        〔33〕歇尔奈尔认为肉体的刺激只不过提供给心灵一些可以激发想像的材料。

        〔34〕在完成分析后发现这和我童年的一件事有关,这是用下面的联想而得的结论,dermohrhatseineschul-digkeitgetan,dermohrkanngehen〔摩尔人(moor摩洛哥或附近非洲北部之土人)完成了他的义务,所以他可以走了〕。schuldigkeit(duty)其实是arbeit(work)的字误,然后就是这样一个滑稽的哑谜:“摩尔人是几岁完成他的义务呢?”——“一岁,因为他那时就能走了。”〔gehen:离开(go)或走路(walk)〕(似乎因为我生下来就具有卷曲的黑发,所以年轻的母亲把我叫做小摩尔人)——不能找到帽子是生活中发生的一件事(清醒时)。我们那位具有藏东西天才的女佣人把它给藏起来了。——梦的末尾,亦陷藏了对死之是忧郁地反抗:“因为没有完成任务,所以我还不能走。”——这梦牵涉到生与死,就像我不久前梦到的歌德以及瘫痪病人的梦。

        〔35〕由后来的知识看来,这句话不再能够成立,请见InhibitionSymptoms andAy1926,可以知道作者后来对焦虑与原欲关系的看法。

        〔36〕请看我关于玩笑的著作——尤其是第六章的末尾——以及应用文字桥梁于解决心理症症状(譬如说,杜拉第一个梦的形成),——在《弗洛伊德集》,第二部,以及《捕鼠人对鼠的强迫性思想》——弗洛伊德著《关于一个强迫症病患的分析》。

        〔37〕此人之名为HuugoWolf。

        〔38〕字面的意思“愚笨者之塔”——这是疯人院的老名字。

        〔39〕此梦的荒谬将在第六章辛节予以评论。

        〔40〕前面两种是凝缩作用和置换作用。

        〔41〕“梦的像征”这题目将在下节有详细的讨论。

        〔42〕对于这起始的梦的解析——当作一种具因果关系的附属子句来说明。

        〔43〕描述她生命过程。

        〔44〕她高贵的出身:与“起始的梦”相对的意愿。

        〔45〕一个集锦的图像,联合了两个地点:她家里所谓的阁楼,她曾在那里和她兄弟嬉戏——而他成为后来她幻想的对像。另外一个则是农场——为一个坏叔叔所拥有,他常逗弄她。

        〔46〕一个对她叔叔农场回忆的相对意愿,在那里睡觉的时候,她常常把衣服除掉。

        〔47〕就像是在Annunciation的图画中的一位女天使,手持着一株百合花。

        〔48〕为了解释这集锦图像,请看第六章丙节:天真无邪,月经,Ladaneaux camelias。

        〔49〕这指出她的幻想涉及许多人。

        〔50〕这是指她是否可以拉下一个,即指自慰(或译手淫)

        〔sieerb reissen——字面意思,“topullonedown”or“out”——这是含糊的德语,相当于英文的把自己扔掉(totossoneselfoff),弗洛伊德在他的论文末段也曾经唤起对此种像征的注意〕。

        〔51〕枝条很久以来就用来代表男性的生殖器;在这里恰好亦暗示了她的姓。

        〔52〕这句话,以及下面紧接的,皆指婚姻所要注意的事。

        〔53〕一个相似的自传式的梦将在第六章戊3梦例三中报告——它是我梦的像征的第三个例子,另外一个则由峦克详尽的报告。还有一个需要倒过来说明的梦例则由史特喀尔记录。——〔对于自传式梦的文献在弗洛伊德的《精神分析运动的历史》的末尾可以找到〕。

        〔54〕(在一九○○、一九○九与一九一一的版本中,前面还有一段,不过于一九一四年删除。其内容是:我需要再提出另一些在梦或心理症病患用以伪装性材料的意念:即关于搬家的意念。“搬家”很容易以“Auszi”来置换(此字指“搬家”或“脱衣”)因此与“穿衣服”这题目相关联。如果梦里出现上楼,那么就提醒了此英文字“tolift”,即把衣服提高起来。

        〔55〕弗洛伊德在别处提到,就像早发性痴呆的存在使像征的分析变容易,强迫性心理症却使它变得困难。 

        〔56〕请看布罗拉和他苏黎支的弟子,梅德、亚伯拉罕等关于像征的著作,以及他们所引述的非医学的作者(如小保罗等)。和这题目最有关的则要看峦克及沙克斯钟士的论述。 

        〔57〕此观点为史伯柏提出的理论所强力支持。他认为所有原始的字都是涉及有关性的事情,但后来经由用在一些相似于性的事件与活动上而失去了性的意义。

         〔58〕譬如说,费连奇指出,一艘在水上航行的船发生于匈牙利梦者的“小便的梦”,虽然这个字“Schiffen”〔意即装载;相似英文中字意含糊的“topump ship——把船上的水抽出来”,并不存在于匈牙利语中。(并请看下述第六章戊节小便的像征)。在说法语以及其他罗马语系的国家,房子是用来像征妇人,虽然在这些文字里并没有一个字和德语的“Franuenzimmer”少女、少妇(译者注:德文Frau为女人,复数即Frauen而zimmer为房间,但两字合成一字Frauenzimmer 时,亦指少女、或少妇之意而已。)相似,请看第五章注〔20〕。

         〔59〕在美国,梦中的爸爸是以总统来表示,不过最常见的还是州长——这常在日常生活中用来称呼父亲。

         〔60〕我一位住在宿舍的病人梦见他遇见一位女佣人,问她的号码是多少。他很惊诧,因为她回答道:十四。事实上,他和这位女佣私通,并且已经到过她的房间数次,她自然害怕女房东会起疑心,因在他做梦的前一天提议他们应该在一间无人住的房间内会面。这房间的号码是十四号,而在梦中这女人却是十四号,我们很难再想一个关于女人和房子仿同的更好证据(钟士,Interschr.f.Psyb al-yse,ii1914)。另外亦请看Artemidorus的TheSymboolismsofDreams …“因此,如果某人是在屋里的时候,睡房即表示他妻子”。

         〔61〕请看弗洛伊德的《性学三论》中的第二部,关于“诞生的理论”。 

        〔62〕这里我将重复在别处说过的话:“前一些时候,我听见一位和我们意见不同的心理学家与我们其中一人说,不管怎样,我们无疑地夸张了梦中所潜隐着的性意义。他最常有的梦是上楼,而非常确定的是,这里面一点性的意义都没有。因为这反对,所以我们非常警惕,而且注意梦中的阶梯、梯子、楼梯的意义,不久我们知道楼梯(以及类似的东西)毫无疑问的代表着性交。只要比较一下,我们即不难发现:在一连串的韵律动作,以及愈来愈厉害的喘不过气来后,我们爬到了顶端,然后在几个快步之后,我们又回到了底下,因此,性交的韵律性动作在上楼的动作中重演了。另外,我们亦不应该忘记语言上的证据:攀登就相当于性行为。我们常说某男人是个“steiger”(mounter)及NnachsteigenN(即追求,字面意思是climbafter)。在法文里楼梯的每一梯级被称为marches而unvieux marcheur和我们所谓的eieiger(老不羞——anoldrake)具有相同的意思。

        〔63〕请和Zbl.Psyal2,675上所刊登的关于一位十九岁的躁郁病病患的图画相比较。一位男人挂着一只蛇的领带,而这蛇正弯向一位小姐。另外在Anb thro-pophyteia6,334页中的“害羞的男人”:一位女士进入浴室,撞见一位来不及穿上衣的男人。他很尴尬赶快用褂衫的前面部分盖住自己的咽喉,并说:“对不起,我还没有结上领带。”

        〔64〕这点在弗洛伊德的著作《奇妙的》的第二部分有详细的说明。并请看他的关于女妖之头的著作。

        〔65〕而明显的,小弟弟也包括在内。

        〔66〕虽然歇尔奈的梦像征和这数页的观点不同,我必须强调歇尔奈尔是第一个真正发现梦的像征者,而精神分析的研究使他那本很早出版,而且是一度被认为幻想的书被世人重视。

        〔67〕请看Kirchgrapher的一个相似的例子。史德喀尔亦记录了一个梦,里面有一顶帽子,中央插着一根弯曲的羽毛——这像征着“阳萎”的男人。

        〔68〕Prater维也纳郊区有名的游览胜地。

        〔69〕性交的像征。

        〔70〕或Chapel,指阴道。

        〔71〕阴阜。

        〔72〕阴毛。

        〔73〕根据专家的意见,蒙在头布与斗篷内的魔鬼是具有男性器官的特征。

        〔74〕阴囊的两半。

        〔75〕字面的意义是“PicturesofWomen”,德文用来代表女人或裙子的俗语。

        〔76〕这点——即醒来时对梦的真实性以及潜匿的梦思所有的强烈感觉——弗洛伊德对严森“怀孕”的研究中,曾在第二章的末了强调过。并且在“狼人的梦”中也提过。

        〔77〕沙克斯对此名词的用意是指更多的投注而非弗氏的用法。

        〔78〕——ing,也许是维也纳近郊,Schottentor则近市中心。

        〔79〕“Schlemihl和那些字尾是“-Yl”的同音,是一个源于希伯来文的德语,常用来表示运气不好,无能力的人。

        〔80〕KorsakoffrPsychosis:一种长期酒精中毒引起的精神病,常常具有定向力的阻碍,易受外界刺激或暗示的影响,错误记忆,及幻觉,而且常有多发性神经炎症。

        〔81〕“他赢取了伟大的投掷,成为朋友的朋友,他赢取了一位可爱的女人……”这是席勒的快乐颂第二段的起句,由贝多芬配乐,用于他的交响乐“合唱”中,但是第三行(即弗洛伊德前面第一个所引用的)事实上也是贝多芬的歌剧费得里奥终场的合唱中最后一段的起句——他的歌剧事实上是抄写自席勒的。

        〔82〕梦中牙齿被某人拔掉,通常是解释成阉割(史德喀尔说这就像是理发师剪发),但我们必须分辨具有牙齿刺激的梦和牙科医师的梦不同点。

        〔83〕在杜拉的个案报告中会有这种例子,下面所提到的相比,可在弗洛伊德一八九九年一月十六日写给弗利斯的信中找到。

        〔84〕和杨格的通讯中得知有一个发生在妇女的牙齿刺激的梦具有“生产的梦”的意义。钟士很清楚地确定此点。这个分析和上面分析的共同点是阉割与生产中,都是把身体的一部分由整体中分开。

        〔85〕请看第六章注〔50〕。

        〔86〕金币〔(Krone)〕那时是奥地利的钱币。

        〔87〕〔Zahnziehen拔掉一根牙齿;zug(和ziehen同一字源)=“火车”或“拔”。zahn—reissen=掉掉一根牙齿;reisen(和reissen的发音相似)=旅行〕。

        〔88〕因为内容的需要,所以重复了此段文字。

        〔89〕这“两”个观察的“两”,其实是一九○九及一九一一年版本所遗留下来的,那时对典型的梦的讨论完全放在第五章中,他所谓的第一个观察到的结果就由下段开始直到本节结束为止,而第二个观察结果则自(第六章戊节)的“当对梦中代表‘性’。……”开始到(第六章戊节12)的“另一个Schlemichles的例子”结束。

        〔90〕峦克曾在ZentralbattfurPsyalyseNo:4中发表过一个典型的伪装的俄狄浦斯的梦。另外一些利用眼睛像征的伪装的梦则散见于峦克、爱德、裴廉克齐及赖德勒的著作,就像在别处一样,俄狄浦斯传说中被弄瞎眼睛的说法代表阉割的意思。而古罗马时代经以伪装的俄狄浦斯梦的像征并非不为人所知——峦克这么写着:“因此我们知道凯撒大帝梦见和其母亲性交,而当时梦的解释者说这是他拥有大地的预兆。而对达氏(译者按:Tarquins:罗马史乘中,属于第五王及第七王一族之人)的神论亦是同样有名的——此预言是这样的,即那位第一位吻其母亲的人将会攻克罗马而布鲁特斯把这解释成大地(“他吻着大地,并说这是所有生物的母亲”)。请和希维托斯报告的希比亚的梦相比较:“波斯人被Pisisb tratus的儿子、布比亚带领到马拉松去,即在前一天晚上,布氏梦见和母亲睡觉;他的解释是,他必须回到雅典去重建其势力。因此,此老人即死在其故乡中。这些神话与其解释指向一个正确的心理认识。我发现那些认为妈妈疼爱他们的人,在真实世界中往往显得自信,而那个看来似乎是英雄式的乐观常常带给他们确实的成功。 

        以下是我记录的一个典型但经过伪装的伊底帕斯梦:一位男人梦见:他和与另一位男人将要结合的女人发生暧昧的关系,他很担心那人会发现这私通,因而不和此女人结婚。所以他对此男人表现得非常具有感情;拥抱而且吻着他。——此梦和梦者的生活只有一点相连的,他和一位有夫之妇私通;而她丈夫(他的朋友)一句语意含糊的话使他怀疑他朋友是否注意到一些蛛丝马迹。事实上还有别的问题——在梦中丝毫没有提到,不过也隐含着了解它们的关键。此丈夫想有严重的病,而其太太对他可能猝然去世已有了心理上的准备,梦者意识的想在他朋友死后和此年轻寡妇结婚。这些外在的影响,使梦者置身于伊底帕斯梦的领域里去;其愿望是把此人杀掉,然后和其妻子结婚,不过他的梦却伪善地加以改装——他不但不表示她已结婚,反而说另一位男人想和她结合(这实际上和他秘密的意愿相对应),而他对此男人的仇恨感则隐藏在感情的外衣下——而这正是他儿时对待父亲的回忆。 

        〔91〕关于dejavn的一般讨论,请看弗氏的日常生活的心理分析第十二章。按即林克明医师译本(新潮文库〔39〕)之第二—三页最末一行起。

        〔92〕离开维也纳约七十英里的隧道,连结到西南部的支线。

        〔93〕我经过好久才知道关于胎儿期生活的幻想与潜意识思想的重要性,它们解释了大多数人对被活埋的极度恐惧;并且提供了死后复生的极度深层的深意识基础。这无非是表现了此种未出生前对茫茫人生的一种投射。尤其生产行为是第一次经验到的焦虑,因此即有焦虑情感的原型。

        〔94〕那些在孩童式的膀胱的梦中所利用的像征在大人的意义则纯粹是性的:水=尿=精液=羊水;船=抽出船上的水即(小便)=子宫〔箱子(木箱)〕;弄湿=尿床=性交=怀孕;游泳=膨胀的膀胱=胎儿的居所;下雨=小便=受精的像征;旅行(出发或到达)=离开房铺=性交完毕(蜜月旅行);小便=射精;(峦克)。 

        〔95〕Pfister曾报告过一个这样的梦。至于“拯救”的意义,请看弗氏、峦克和赖克的其他著作。

        〔96〕这和德国一个成语有关“EinenKussinEhrenKannniemand verwehren”(没有人能拒绝一个荣耀的吻)。事实上,梦者在走过田亩时就得到第一个吻——谷穗间所给予的吻。

        〔97〕这纯粹是文字的,因为在德语中“拉出来”(hervorziehen)和“具有好感”(vorziehen)是相似的。

        〔98〕请看弗氏之“图腾与禁忌”,第四章第三节。

        〔99〕此例首先在一篇论文中报告,插入本节时,弗氏删去了“他利用脱离女性姿态……”后面的一段文字。此段文字提到有关塞伯拉的“官能性现像”——这将在第七章甲节起予以讨论。删除那段是这样的:“我们不能反对对病人的这种解释;但是我不愿意单单因与这构思和病人治疗的态度有关就说它是官能的。这种思潮和别的事件一样,都是梦的材料,我们很难想像为何接受分析的病人思想不和他接受治疗时期的行为有关。而塞氏所谓:

        “物质的”与“官能的”的分野只有在这种情况下才有意义(请看塞氏著名的坠入睡乡的自我观察——即只有当梦者的意志指向他脑海中的梦思,或者是他确实的精神状态而不是那些形成他梦思的部分。弗氏并且在括弧中说,不管在哪种情况下,“木条不在中间断裂,反而不可置信地沿着长轴纵分为二”都不可能是官能的。

        〔100〕请看第七章注〔135〕。

        〔101〕银纸(silverPaper)=锡箔;stanniol是锡的衍化物。

        〔102〕弗氏“日常生活的心理分析”第十二章中会加以讨论。

        〔103〕佛罗林及克鲁斯是奥地利古代的钱币,在本书第一版印出来时还未改换。在那时候一佛罗林(一百克鲁斯)约等于一先令十便士,或者是美金四角。因此,本梦以及下一个梦中所提到的三佛罗林六十五克鲁斯约等于六先令(或美金一元二角五分);二十一克鲁斯约值四便士(七角半);一佛罗林五十克鲁斯约值二先令六便士(六角半);一五○佛罗林则值十二镑十先令(六十二元半)。

        〔104〕心理症患者也是一样,我知道一位病人,她不能自主地,不能如愿地一直听到(幻觉)一段段的歌曲,并且不知道这对她精神生活有何意义(她不是妄想病患)。分析结果显示她给予自己某些自由,而把歌曲的意义予以改变。譬如说:“温柔的,温柔的,虔敬的旋律(Leise,leise,frommeweise!)。她潜意识地把最后一个字看成“Waise”(因而使整个句子变成温柔的,温柔的,孝敬的孤儿)。这孤儿即是她本人。另外,在一圣诞歌曲的起首,“呀,被祝福以及快乐的……”;她省去了圣诞节日(christmastide),因而把它变成一首婚礼的歌曲,这种改造的机转单单在联想的时候就能发生(不需要经过幻觉)。

        〔105〕有一句男人常常用来开玩笑并且具有性意味的话和这有关,即以“notzuchtigen。(强奸)”用来代替“notigen”(强迫)。

        〔106〕请看(第七章)的注〔135〕。

        〔107〕在第七章甲节有更详尽的分析。

        〔108〕“对他国家的富强来说,他活得不长,但却是全心全力的”。正确的字应当是Salutipublicaevixitnondiusedtotus。对于我把“Publicae”误为“patriae”,Wittels有很好的解释。

    〔109〕这也许是一个过度决定的说法:我迟到上班的理由,晚上做的太晚,而且早上又要走过KaiserJosef大道和WaEhringer大道那么长的路途。

        〔110〕这在第六章壬节有更详细的讨论。

        〔111〕Caesar和Kaiser之间还有更进一层的关联。

        〔112〕此即一八九八——一八九九年匈牙利的一次政治危机,后来由协尔组联合政府而解决。

        〔113〕即“我们誓死效忠国王!”乃是一七四○年奥地利王位继承之战后,玛丽亚登上王位,贵族们对她呼吁所做的反应。另外我记不起来在那里看到有关一则梦的记载。该梦中的人物都是异常细小的,其源由是梦者白天看到的铜版画,这些卡乐的画像都是具有好多好多微细的人物。有一套是描绘三十年代战争的恐怖。

        〔114〕这来自歌德在其朋友席拉死后数月为其遗作LiedVlocke(钟之歌)所作之跋上,他说席拉的灵魂正向真实、完善与美丽之永恒前进,但“在他背后却笼罩着一个枷锁着全人类的阴影——共同的命运”。

        〔115〕此梦在“第六章庚节”有更进一步的讨论。

        〔116〕德文的fahren,在梦以及分析中不断地被提到。不过翻译成英文时却要根据含义翻成驾驶(汽车),或(坐在火车中)旅行。〔117〕在这里,梦的运作模仿着那被认为是荒谬的思潮——借着制造一些和思想相关联的荒谬来呈现。在批评巴威略(Bavaria)国王的烂诗时,海涅引用了他所欲评判的句子,造出一些更烂的句子来。如: 

        HerrLrdwigisteingrosserPoet,Undsingter,sostürztApollo 

        Vorihmaufdieknieeundbitteru, 

        “Haltein!ichwerdesonsttoll.O!”

         (路威伯爵是个伟大的诗人,当他开始朗诵的时候,阿波罗向他跪下,哀求道:“停止吧!否则我就要发疯了呀!”)

         〔118〕梅尔涅(1833——1892)曾任维也纳大学精神科教授。

        〔119〕无疑的,这是弗利斯周期性定律的一个例子,51=28+23,恰好各是男性和女性的时期。51重复出现的事实将在第七章甲节提到。

        〔120〕上面的梦是这个规则的一个好例证:即是同一个晚上所做的梦虽然回想起来是分离的,但是却是一定源于同样的梦的材料。同样的,我这个要把孩子安全的移出罗马城的梦亦受到小时的一件事情所扭曲:那时我很羡慕那些亲戚,他们就能把自己的孩子移送到另外的土地上。

        〔121〕“NichtaufmeinemeigenenMistgewa”——意即“这不是我的责任”或“这不是我的孩子”。德语的“Mist”本来是指肥料,通俗的用途中则指废物,而在奥地利话中刚是指垃圾箱“Mistruger”。

        〔122〕如果在精神分析的过程中,病人在做梦的当儿和自己说:“我一定要告诉医师关于这事。”那么这恒常暗示着病人受到很大的阻力而不易坦白此梦——而且常常接着就忘了。

        〔123〕某些方面来说,这是对我前面所说关于梦中逻辑关系的修正。前面只不过描述梦运作的一般行为,但却没有论及更精确,更细微的细节。

        〔124〕Stanniol,锡的衍化物,这里暗示着Stannirus所著关于鱼的神经系统的书。

        〔125〕这是我住那栋公寓的底层,那些租户在这里存放着他们的摇篮车;但在其他方面,却是种过分决定。

        〔126〕请见第四章前言。

        〔127〕这不是任何一个真实地方的名字。

        〔128〕我自己也不知道这是什么意思;但我依循着报告梦例的基本规则、把脑海呈现的东西都写下来,所用的字眼本身就是梦里所表现的一部分。请看第七章甲节。

        〔129〕席勒并非出生于马伯格,而是在马巴哈,一个德国学生都晓得的事实,我也不例外,这又再是那种为了取代意欲的伪造而犯的错误。详见“日常生活的心理分析”第十章。

        〔130〕如果没有错得太离谱,那么由我孙儿(二十个月大)的第一个梦可以获得这事实,即梦运作成功的把其材料转变成愿望达成,不过对伴随着的感情却无法改变。在他父亲离家重登沙场的前一个晚上,孩子在梦中大声狂叫:“爸爸!爸爸!——孩子!”这只能这样解释。“爸爸和孩子在一起吧!”不过其眼泪却表示他对这即将来临的分离感到伤心。在这时候,这孩子已经很能够表达出分离的概念了。“Fort”即“离别(gone)”——在梦中一个拉长而且特别强调的O——O——O——来置换——是他学到的第一个字,而在做这梦的几个月前他早就能用他的玩具,扮演着离别的游戏。这游戏又再显示着他早年生活一种成功的自律,因为他能允许妈妈离开他“即相当于离别”。

        ——(Freud,BeyondthePleasurePrinciple第二章)

        〔131〕这梦在弗氏和弗利斯的通信(一八九八年四月十四日)上有很详尽的说明。

        Aquileia,离水数里,以一条小运河和咸水湖相通,湖中的一个岛屿上即坐落了Grado,这些地方都是位在Adriatic的北部,一九一八年前是奥国的一部分。

        〔132〕译注:Augean乃Elis之王,其牛厩养牛三千经三十年而不洗Hercules,希腊神话之英雄,乃Jupiter与Alemene之子,以其力大并成就十二件难事而著名。

        〔133〕我们很容易看出这些处罚的梦满足了超我的愿望。

        〔134〕就是这个潜意识梦思中的幻想一直坚持着以“NonVivit”取代“Non Vxit”:

        意即“你来得太晚,他已经不再活着了。”

        〔135〕下面这些Bernfeld所发表的事实将使接着的梦变得更易解。弗氏一八七六年至一八八二年在..维也纳生理学研究所(布鲁克实验实)工作,布鲁克(1819—1892)是弗氏的上司,那时候的两个助手是爱斯能(1846—1925),以及弗莱雪(1846—1891),他们都比弗氏大十岁左右,弗莱雪在晚年的时候患上很严重的身体疾病。弗氏就是在这里遇见布劳尔(1842—1925)——这位和他一起合作研究歇斯底里症的伟大前辈并且又是此梦中的另一个约瑟。第一个约瑟——弗氏早夭的朋友与敌手P君则是Josefpah(1857—1890),他继承着弗氏在此研究所的职位(另外请见钟士所著《弗氏传》第一卷)。

        〔136〕很容易看出,约瑟在我梦中占一个很重要的角色(请看前述有关我叔叔的梦——第四章)。我的自我很容易把自己藏在具有此名字者的背后,因为约瑟夫是圣经上的名人,一位梦的解析者。

        〔137〕“sekundirebearbeitung”以前翻译为再度修润,我认为不太对应是sedaryrevision(strachcy)。

        〔138〕第二幕中,巴利斯和海仑谈爱的情景,后来被menelaus闯入。

        〔139〕弗洛伊德在别处这么说严格说来,再度校正不是梦运作的一部分,请参阅他那关于“marcuséshaerbuch的精神分析”的文章。

        〔140〕暗示着海涅的“返乡”弗氏会在其新导论最后一篇的讲演中,会在前面引用全文。

        〔141〕譬如说在第六章壬节刊载的梦。

        〔142〕弗氏后来有两篇文章论及白日梦。一九二一年J.Varendonck发表《白日梦心理观》,弗氏会为之作序。

        〔143〕在我那本关于《一个歇斯底里之症患的部分分析》的书中,我曾经分析过一个此种梦的好例子——里面具有许多幻想的重叠。本来在分析自己的梦时,我低估了幻想对梦形成的重要性,因为我的梦常常根源于心理的冲突以及讨论。对其他人来说我们更容易证明梦和白日梦之间是完全类似的,对歇斯底里症患者来说,梦可以替代歇斯底里症状的发作,因此很容易就此了解白日梦的幻想乃是此两种精神状态的前身。

        〔144〕从前,我很难使读者区别梦显意识和隐藏着的梦思间的不同,他们一次又一次的由一些未经过解析的梦中提出质问与反对,而忘了要需要对它先加以解析,不过现在当分析使他们了解其含义时,许多人又同样顽固地隐入另一个过失中,他们想要由梦隐意中探究其梦精要,不过在追究的过程中却忘了隐匿的梦思和梦运作之间的不同,基本来说,梦只不过是一种特殊的思想,只有在睡眠状态下才能存在。梦运作造成此种形式的思想,而它本身即是梦的主要部分,这说明了它那种特殊的性质。我这么说是为了要澄清读者所熟知的“梦具有预测力”的错误,梦只不过想要解决我们精神生活所面临的问题,这和我们意识那清醒时刻的精神活动一样的;除了这点以外,它不过告诉我们这种活动亦能在前意识中进行——关于这点,我们早就知道了。

     第七章-前言

         前言

        在我听到的许多梦当中,有一例子特别值得我们在此地加以注意。这是一位女病人所报告的,她曾在一次“梦的讲演”中听到下面我将提到的(我至今仍然不知其真确来源)。不过该梦内容所产生的深刻印像却使该女士再度梦见(即再度梦见此梦的某些元素),换句话说,即是她经由此种方法来表达她对梦某部分的赞同。

        这个范例的前奏(她所听到的梦)是这样的:一位爸爸在孩子快逝世的时候日夜守在病榻旁。孩子死后,他到隔壁房间躺下,不过却让两室相连的大门敞开,因此,他能望见置放他孩子的房间以及他尸体四周点燃着的蜡烛。他并且请一位老头看顾着死尸,且在那里低声祷告。睡了数小时后,这位父亲梦见他孩子站在他床边,捉着他的手臂,低声地责怪他:

        “爸爸,难道你不知道我被烧着吗?他惊醒过来,发现隔壁房正燃着耀目的火焰,赶过去一看发现那位守候的老先生睡着了,而一枝点燃着的蜡烛掉下来了,把四周围着的布料和他深爱的孩子的一条手臂给烧着了。

        这位病人和我说,此感人的梦很容易解释,而那讲演者也曾很正确地加以说明。一定是那经过大门传来的火焰照射在他的眼睛使他得到下述的结论(如果清醒时,他也会有同样的印像):蜡烛跌下来在尸体附近燃烧着某些东西。也许他在堕入梦乡时还在怀疑那老人是否能够尽职。

        对这解释,我没有异 议,不过要追加的是,梦的内容必定是过度决定的,梦中那孩子的话一定在生前说过,并且和他爸爸心灵中的一些重要事件有所关联。譬如说“我发着高烧”

        也许病人曾在最后这场病中,发着高烧的时候说过。而那“爸爸,难道你不知道?”也许和某些被遗忘的敏感情况有关。

        但是,虽然知道此梦是一种具有意义的程序,而且关系着梦者的精神体验,不过我们却很奇怪此梦为何在这种急需醒过来的情况下发生。而这梦也是种愿望达成。在梦中,此男孩的行为像是活着般:他走到父亲的床前,握着他的手臂,警告他——也许和他生前说出“我发着高烧”的情况一模一样。为了满足此愿望,所以父亲多睡了一会儿。他较喜欢梦中的情况,因为这么一样,他的孩子又再活起来。如果父亲先醒过来,然后才达致以上结论而赶到隔壁,那么孩子的生命就短少了这段时间。

        对于这吸引人的短梦的特征,我们无可置疑。直到目前为止,我们主要的论点都放在梦的意义,发现此等意义的方法,以及梦的运作如何隐匿其意义上面。换句<dfn>..</dfn>话说,梦的解析一直是我们的主题所在,但现在我们却遇到一个梦,其意义很明显,而且解析毫无困难,不过仍保有某些特征而和清醒的时刻有所分野,而此分野必须要加以解释。只有把所有关于梦解析的工作放置一边,才会体验出我们对梦的心理了解是如何的贫乏呀!

        不过在踏上“梦的心理”这条路以前,我们必须停下来向四周望望,看看在后面那段路途中是否遗漏了一些重要的事物。因为我们必须了解,以前经过的路乃是此旅程中最顺利的(如果我没有太大错误的话),那么直到现在,我们所走过的路都是通向光明的——即指向更深入的了解。不过一旦我们要更深入了解有关梦的精神程序,那么我们面临的是一片黑暗。我们不能以精神程序来解释,因为所谓解释即是将某事件追溯到一些已知的知识上,而眼前并无一些确定的心理知识使我们能够用来做为梦心理探讨的基础。反而,我们必须设立许多假定和心灵结构有关的假说,以及其运作的力量。不过我们必须小心,不能以超过一级的逻辑连结来建立假说,否则这些假说的价值便不确定了。但即使我们的推论没有错误,并且考虑过各种逻辑的可能性,单单这些假设上的残缺就足以使我们整个的推演变得徒劳无功。就算费尽心思,单独的个别对梦,或者是其他心灵活动加以充分地研究,我们仍然无法证实或者裁决心灵架构以及其运作的方法——为了达到目的。我们必须对一系列的心理功能加以比较研究,然后将所得到的各种确定知识综合起来。因此我们暂时.要把梦的精神分析推衍而得的假设放在一旁,直到它和我们由另一角度去探讨同一问题的结论发生关系为止。

     第七章-甲、梦的遗忘

          甲、梦的遗忘

        因此目前我想把论题转移到我们一直忽略,并且可能动摇解释根基的一个题目上,好多人都认为我们事实上并不知道那些我们加以解释的梦——或者应该更清楚地说:我们没有把握它是否真正如所描述那般的发生。

        第一、我们所记忆的以及加以解释的梦本身受到那不可信赖的记忆所截割——它对梦印像的保留是特别的无能,而且常常把最重要那部分忘却。当我们把注意力集中在某个梦的时候,常会发现虽然曾经梦得更多,不过却只能记得一小部分,而这部分又是很不确定的。

        第二、有许多理由怀疑我们对梦的记忆不但残缺不全,而且是不正确与谬误的。一方面,我们也要怀疑梦是否真的如记忆那般的不相连;另一方面,我们也要怀疑梦是否像叙述那样的连贯——是否在回忆的时候,任意将一些新的以及经过挑选的材料填补被遗漏或者根本就不存在的空档;或者我们以一些装饰品将它修饰得圆圆滑滑,以致无法判断哪部分是原来的内容。确曾有一位作者史笔达如此说,梦的前后秩序和相关都是在回忆的时候加进去的。因此,这个我们想判断其价值的印像是否有可能完全由手指间滑过而不留丝毫痕迹呢?

        到现在为止,我们一直都忽略了上述的警告。相反的,我们把一些琐细,不明显以及不确定的部分和那些明显确定的部分予以相同的评价,伊玛打针的梦中,就有这个句子“我立刻把M医师叫来。”我们假定它是源于一些特殊的原由,因此,我即能追溯到一个不幸病人的故事。我就在他的床榻旁“立刻”把上级同事叫来。那个“将五一和五六看成不可分别”

        而显然是荒谬的梦中,五一那个数字数度出现,我们没有把它当作一件自然或者是无意义的事件。相反的,我们由此推论,五一背后必定埋藏着另一个隐意;遵循着路线,发现原来我害怕五一会是我的大限,这和梦的主要内容所夸耀的长寿产生强烈的对比。在那个“nonvixit”的梦中(请见第六章己节),我起先忽略了一个中途插入的不明显事实:“因为P不了解,所以弗氏转过头来问我”等。当解释过困难的时候,我回到这句话上,结果溯源到孩童时期的幻想——而这恰好是梦思中间的重要分歧点。这是由下面这几句话推来的:

        SeitenhabtihrmichverstandeenauchverstandtichEuch,

        Nurwennwirimkotunsfanden,

        Soverstandenwirunsgleich。

        (字面意思:“你们很少了解我,我也不了解你们。直到我们在泥巴中相见,才会很快彼此了解。”——Heine)

        每个分析中都有许多例子可以显示出,梦中最琐细的元素往往是解释过程中不可或缺的,而且往往解释会因为对它的忽略而延误了。我们对梦中所展示的各种形式的文字都赋予相同的重要性。即使梦中的内容是无意义或者不完全——似乎要给予正确的评价是不会成功的——我们亦把这缺陷加以考虑。换句话说,别的作者认为是随意糅合,并且草率带过以避免混淆的部分,我们都把它拜为圣典般。对这个不同意见,我认为有加以解释的必要。

        这些“解释”较看好我们,虽然别的作者并非绝对错。在我们新近获得对梦来源的知识探照下,以上的矛盾突然释解了。在重新叙述梦的时候,我们会把它歪扭。这是对的;不过这歪扭正是我们前面提到的再度校正——这个普通施展作用于正常思考上的机构——又一次运作(请见第六章壬节)。但这歪扭不过是梦思经常受到梦审查制度修 正的一部分。别的作家在此点都会注意或怀疑这运作明显的“梦的歪扭”作用;不过我们对此却没有太多的兴趣,因为另一个更为深远的扭曲作用(虽然较不明显)早已经从隐藏的梦思中选出梦来。以前作家所犯的唯一过错乃是认为将梦用语言表达出来所造成的变异乃是任意的,不能企求有更进一步的分解,因而给予我们一个错误的梦的图像。他们太过低估精神事件被决断的程度——它们从来不会是任意的。我们很容易显示出下面这现像:如果某元素不被甲系的思想串列所决断,那么乙思想串列很快地就取代了它的位置。譬如说,我要任意地想一个数字。

        不过这是不可能的:所提示的数字毫不含糊的,而且必然经过了我的思考,虽然对现时的注意力来说,它可能是遥远的〔1〕。在清醒时刻,梦所受到的校正更改,也同样并非是任意而为的。它们和被取代的事件间有着关联,并且替我们指出通往该内容之途径,而那内容也许又是另一个的替代品。

        在解析梦的时候,我常常运用下述手段,而从来没有失败过。如果病人向我提出的梦很难了解的时候,我要他再重复一遍。再重复一遍的时候,他很少会运用同样的文字。而他那运用不同文字来形容的梦的部分正好是梦伪装的脆弱点:对我来说,它们的意义就像齐格飞斗篷上的绣记对哈根所代表的意义一样〔2〕。这就是梦解释的起始点。要病人重复一遍不止在警告他说我要更花费心机来分析这梦;于是在这阻抗的压力下,他急促地企图遮掩梦伪装的弱点——以一些较不明显的字眼来取代那些会泄露意义的表达。不过他这样恰好挑起我的注意力。因此梦者企图阻止梦被解释的努力反而让我推断出它斗篷上绣记的所在。

        前述作者过分怀疑我们所记得的梦到底有多少是不对的。因为这没有什么理智上的根据。一般来说,我们无法保证记忆的正确性;但却往往将它赋于超过客观性的信任。对于梦或者它某一部分是否正确的被报告出来的疑问,实际上只不过是指出梦审查制度的一个变体而已(意即梦思要进入意识后面所遭受的阻抗)。这种阻抗并不因为已经产生的置换以及取代而消失;它仍然以一种存疑的姿态附着于那被允许出现的材料上。我们尤其容易误解这点,因为它是作用不明显的元素,而不是那些强烈的。我们已经知道,梦所呈现的,是经过精神价值的完全置换,已和梦思不同,歪扭必须要在消除精神价值后才能产生;它能常以此种方法表达,而且偶尔也安于这种现状。但如果某一含糊的梦内容被怀疑的话,那么我们就有十分的把握说,这乃是一个违禁梦思地直接推衍。这就是古代国家的伟大革命,或者是文艺复兴后的情况:高贵以及掌握实权的家庭,曾经一度控制整个局势,现在被放逐,所有的高级官员被新面孔所取代。只有那些最穷困,最无力量的败落人家,或者是些优胜者的喽罗才会被允许住在城内;但即使如此,他们还是不能享有完全的公民权利,并且不被信任。这个不信任和上面所提的怀疑是相对应的类比。这是为何我要强调分析梦的时候,所有用来判决确定度的方法都要废弃;而梦中虽然只有些蛛丝马迹,也要当作是绝对的真实。在追梦中的某一元素时,我们必须遵守这态度,否则分析必将搁浅。如果对某个元素的精神价值抱有疑问,那么对梦者的影响是,该元素背后所藏有的观点亦不会自动进入梦者的脑袋。因此结果是不会太明朗的——梦者可以相当合理地这么说:“我不太清楚这是否发生在梦中,不过我却具有下面这想法。”但是从来没有人如此说过。事实上,这疑问是造成分析中止的原因,并且也是精神阻抗的一种工具及衍化物,精神分析的假设是正确的——它的一个条件是:凡是阻碍分析工作进行的都是一种阻抗。

        除非考虑精神审查制度,否则梦的遗忘亦是不可解的。在许多例子中,梦者觉得梦见许多事情,但却记得很少,这可能具有其他的意义。譬如,梦的运作一整晚都在工作,但是却只留下了一个短梦。无疑的,时间愈久,我们忘掉的梦内容也就更多;有时虽然费尽心思也无法将它们记起来。我认为不但此种遗忘常常被高估:而且梦之间的沟隙限制了我们对它了解的观点也是太过强调的。我们常常能够借着分析的方法填补忘掉的梦内容;至少在很多的例子中,我们能由一个剩余的部分架构出所有的梦思(当然,不是梦的本身,而这事实上并不重要)。为了达到这目的,梦者在进行分析过程当中必须付出更多的注意力,与自律——就此而已,但是这显示出梦的遗忘不无仇视(即阻抗)的因素在内〔3〕。

        借着观察此种初步遗忘的现像,我们可以得到“梦的遗忘乃是偏见的,并且是种阻抗的表现”的确实证据〔4〕。常常在分析的过程间,被遗忘的梦的某部分又再出现。病人常常这么形容道:“我刚刚才想起。”借此种方法而得以呈现的梦部分必定是最重要的;它通常是位于通往梦解答的最近路途上,因此也就受到更多的阻抗。在本书的许多梦例中,其中一个梦即有一部分借着此种“后来想起”的方式呈现出来。那是一个旅行的梦,关于我向两个令人不快的旅行者之报复,那时我因为此梦表面的不清楚而没有深入解析(请看第六章庚节梦8)。那段被省略的部分是这样的:我提及席勒的一件著作(用英文),“这是从……”

        但察觉出错误后,自己改正为:“这是由……”“是的,”那人和他妹妹说,“他说的对。”

        这种梦中出现的自我更正,虽然引起某些作者的兴趣,但在此地却不必花费我们太多的心血。但我却要借着一梦例说明关于梦中发生文字错误的典型例子。这发生在我十九岁的时候,首次访问英国。第一次在爱尔兰的海里度过一整天。自然我很高兴地在沙滩上捡起浪潮所遗留下来的水生物。当我正好观察着一双海星的时候——〔梦的开始即是hollthurn hollothurian(海参类)〕——一个漂亮的小女孩走上前来问道:“它是海星吗?是活的?”我答道:“是的,他是活的。”我立刻发现自己的错误,很尴尬地赶紧加以改正。而在梦中我却以另一个德国人常犯的文法错误来取代之。

        “DasBuchist vonSchiller”应该翻成这本书是由“by”,而不是“from”。在听过这么多关于梦运作的目的,以及其不择手段,任意运用各种方法以达目的的讨论后,如果听到这个英文字“from”是借着和德文“from(虔诚)”的同音而达到极度凝缩的作用,我们将不会感到惊奇。但是我那个关于海滩的确实记忆何以会呈现于梦中呢?它表示——用一个最纯真无邪的例子——我把性别的关系搞错了。这当然是解释此梦的钥匙之一。而且,任何一个听过马克思的《物质与动性》书名来源者都不难填补这个空隙:(莫里哀“LeMaladelmaginaire”中的La Matierest—elleLaudable〔5〕——肠子的动作)。况且我还能以亲眼目睹的事实来证明梦的遗忘大部分是由于阻抗的结果。一位病人对我说,他刚做一个梦,不过却全部忘了;我们于是再继续进行分析。然后遇到一个阻抗;于是我向病人解释一番,借着鼓励与压力帮助他和这不能令他满足的思潮取得妥协。我几乎要失败,突然间大声叫道:“我现在记得自己梦见什么了。”因此妨碍我们分析工作的阻抗也同时使他遗忘了此梦,而借着克服此阻抗后,这梦又回到他脑海中。

        同样的,一位病人在达到某种分析过程后,也许会想起他好多天前所做过的梦,而这梦在以前是完全被遗忘的。

        精神分析的经验已经提供另一个证据,说明梦的遗忘主要是因为对该事实的阻抗,而并非由于睡觉和清醒是两个互无关联的境界——虽然别的作家强调此点。我常常有这样的经验(也许别的分析家与正在接受治疗的病人也有同样的经验),在睡眠被梦吵醒后,我立刻以拥有的所有理智力量去进行解释工作。在那种情况下我往往坚持如果不能完全了解便不去睡觉。然而我就会有过这样的经验:在第二天清晨醒过来时,完全把解释以及梦的内容忘得一干二净,虽然依旧记得我曾做过梦而且解释过它。不但理智无法将梦保留在记忆内,反而梦常常和解析的发现一起烟消云散。但这并不像是有些权威人士所认为那样:梦的遗忘乃是因为分析活动和清醒时刻的思潮间有一道精神的阻隔。

        普林斯先生对我的“梦的遗忘”大加反对,他认为遗忘只是解离精神状态所产生记忆丧失的一种特殊情况,而我对此种特殊记忆丧失的解释无法伸展到别种形式上,因此我的解释是毫无价值的。我要提醒读者,在对这些解离状态的描述上他根本没有尝试找寻一种动力性的解释。如果如此做的话,他必然会发现潜抑(或者更精确地说,由它而来的阻抗)是造成精神内涵的遗忘与解离的主要原因。

        在准备这篇文章的时候,我观察到梦的遗忘和其他的精神活动之遗忘没有两样,而且它们的记忆也和其他的精神功能相似。我曾经记录下许多自己的梦,有些是当时无法完全解释,有些则根本未加解释。而现在(经过一年到二年之间),我为了想得更多的实证而对某些梦加以解析。这些分析都很成功;的确,我可以说,这些梦在经过长时间隔离后反而变得比近期的梦来得更容易解释,可能是因为我在这段时间内已把一些内在的阻抗克服了。在进行这些分析时,我常常把以前的梦思和现在的加以比较,发现现在的总是较多,而且旧的总是被包括在新的里面。我起先很惊异,不过很快就不以为怪,因为发现自己很早就有要病人诉说他们往日的旧梦,而把它当作昨日梦而加以解析的习惯——用同样的步骤,并且可得到同样的成功。当我讨论到焦虑的梦时,我将要提出两个像这样迟延解析的例子(请见本章丁节的梦),我在得到这第一次经验的时候,曾经准确地如此预测:梦和心理症的症状各方面都很相像,当我用精神分析来治疗心理症——譬如说,歇斯底里症——我不但要解释那使他来找我治疗的现存症状,而且也必须解释那早就消逝的早期症状;而我发现,他们早期的比现在的问题更好解决。甚至在一八九五年,我在歇斯底里症的研究上曾经替一位年龄大过四十岁的女病人,解释她十五岁时第一次歇斯底里症的发作〔6〕。

        接下来,我将提及许多关于解析梦更进一步但却不互相关联的论点。这也许能做为读者的引导,如果他想分析自己的梦来证实我说法的准确性。

        他必须要知道,解析自己的梦并不是简单而且容易的事。虽然并没有阻抗此种感觉的精神动机,要察觉这种内在现像以及其他平时不太注意的感觉都需要经过不断的尝试。要把握那些“非自主的观念更是难上加难,任何一位想这样做的人必须对本书所提的各项事实感到熟悉,并且在遵循这些规定进行分析的时候,必须不带有任何先人为主的观念、批评,或者是情感或理智上的成见。他必须要牢牢记得法国生理学家本纳得对实验工作者的规劝:

        “Travaillereue”——即是说他必须具有野兽般忍耐地工作,并且不计较后果。如果你确实遵循这劝告,那么此事就不再是困难的。

        梦的解析常常不会在第一回合就完全解决的。在依循着一系列的相关后,我们常常会发现自己已经精力消耗殆尽;而且当天不能再由那梦中得到什么。最聪明的办法是暂时放弃,以后再继续工作;那样也许另一个梦内容会吸引住我们的注意,并且导出另一层的梦思。这个办法也许可以称为部分的梦解析。

        要使初学者明白即使他把握了梦的全部解析——一个合理合题的解析,而且顾及梦内容的每一部分——他的工作仍未结束,乃是最困难的一件事。因为同一个还有别种的逃离他注意的不同解析,如“过度的解析”。的确,我们不容易有这样的概念:即无数活动的潜意识思潮挣扎着寻求被表达的机会:而且也不容易体会到梦的运作常常把握着一些能涵盖数种意义的表达——就像神仙故事中的小裁缝的“一拳打死七个”。读者埋怨我在解析过程中往往加入一些不必要的技巧;不过实际的经验将使他们知道得更多。

        但另一方面我也不能证实塞伯拉首先提出的:每个梦(或者是许多梦,或某种的梦)都有两种解析,而且两者之间具有固定的关系,其中一个意义是“精神分析的”通常赋梦予某种意义;这通常具有孩童式的“性”的意义。另外一种他认为较重要的是“神秘的”,这里头埋藏着梦运作视为更重要与更深刻的思潮。塞伯拉虽然引叙许多梦例来说明此两点,但他并没有足够的证据。而我必须说塞伯拉的论断并不成立。尽管他这么说,多数的梦并不需要过度的解析,尤其是所谓的神秘的解析,塞氏的理论和近年来所流行的理论一样,他们都是企图遮盖梦形成的基本情况,而把我们的注意力由其本能性的根源转移开来。不过在某些情况下,我能够证实塞氏的说法。借着分析的方法,我们发现在某些情况下,梦运作必须面对将一些高度抽像的观念转变成梦的难题,而这些观念是无法直接加以表现的,为了解决这问题,它不得不把握着另一组的理智材料;而这材料和那抽像观念稍为有些关联(可以说是譬喻式的),并且要表现也没有那么多的困难。对于此种方法形成的梦,梦者会毫无困难地说出其抽像意义;但是对那些中间插入材料的正确解释则需要借助那些我们已经熟悉了的技巧。

        我们是否能够解析每一个梦呢?答案是否定的。我们要记得,在分析梦的时候我们必须对抗那些造成梦歪曲的精神力量。因此问题是,我们的理智兴趣,自律的能力,心理知识,以及解析梦的经验是否足于应付内在的阻抗。通常,我们都能够深入一些:足以使我们自己相信此梦具有意义,足以让我们惊鸿一瞥地窥见其意义。那些紧接着的梦亦常能证实我们对梦的假设。仔细观察两个连续的梦,我们常会发现甲梦的中心在乙梦中并没有举足轻重的地位,反之亦然;所以它们的解析常常是互补的。以前我已经学过许多例子说明同一晚上所做的许多梦通常应该视为整体来解析。

        即使分析最彻底的梦也常常有一部分必须放置不顾;因为在解析的过程中,我们发现这部分是一些不能解开的互相缠绕着的梦思,而且也不能增加我们对梦内容的了解。这部分即是梦的关键,由此伸展至无知。由解析而得来的梦思并没有一些确定的根源;它们在我们那错综复杂的思想世界中向各方向延伸。而梦的愿望则由某些特别接近的缠绕部分长出来,这就和蘑菇由菌丝体长出来的情形相似。

        现在我们必须回到有关梦被遗忘的一些事实上。到目前为止,我们仍然无法从那里推衍出任何重要的结论。我们已经知道清醒时刻的生命无疑地倾向于要把晚间所形成的梦给遗忘掉——不管是整个儿在睡醒后就忘掉,或者在白天当中一点点地忘却;我们也知道遗忘的主要原因是精神的阻抗,而它在晚间也早就尽其力量反对过了。但问题是,如果所说属实,为何梦会在这阻抗的压力下产生呢?让我以最极端的例子来解释(意即清醒时刻把梦中一切都忘掉,就好像从来没有梦见一样)。在这种情况下,我们这样推论,即晚间的阻抗如果和白天一样强,那么梦就不可能会产生。因此结论是,晚间的阻抗力量较小,虽然并没有全部失去(因为它仍然是梦形成的歪曲因素)。但我必定要假设其力量在晚间减弱,因此使梦形成得以进行。现在我们很容易了解阻抗在恢复全力的时候为何能把它虚弱时所允许的事推翻掉。描述心理学告诉我们,梦形成的唯一规则是:心里必须处在睡眠状态下;现在我们已经能够解释此事实:睡眠使梦得以进行是因为精神内涵的审查制度减弱的结果。

        无疑的,我们想把这点当作是梦遗忘的许多事实所能推衍出的唯一结论,并且以此为起点更进一步地研究睡眠和清醒时刻中,这阻抗的能力相差多少。不过我想在此先暂停一下。

        当我们更深入研究梦的心理,我们将发现梦之形成可以从别的角度来看。譬如说:也许那时对抗梦思表达的阻抗会回避不见,但力量丝毫不减少。似乎二者都可以促进梦的形成,并且都能发生在睡眠状态下。现在我们要暂时在这里停顿一下,待会才再继续讨论(请见本章丁节)。

        我们现在必须考虑另外一些反对我们解析梦的程序的意见。我们的方法是,把所有那些平时指引我们的有意义观念弃之不顾,然后把注意力集中在梦的某一元素上,记下不由自主浮现和它关联着的任何观念。过后再更换一部分,又依样画葫芦地重复一次。不管思潮往哪边走,我们都让它发挥,并且由一个题目转移到另一个上面(虽然自己并没有直接地参与),但我们有信心在最后得到梦所源起的梦思。

        反对者的理由如下:梦中某一元素能将我们带到某处(即带来某些结论)丝毫不值得惊奇;因为每个观念都可以和某些东西相关联,值得惊奇的是,这些漫无目的,而且任意的思想串列怎能导出梦思来呢?很可能是自我欺骗而已。我们一直跟随着某一元素的联想,然后为了某些理由而中断。接着再遵循第二个元素的联想。在此种情形下,原来并不受拘束的联想会愈来愈窄。因为我们脑海里仍然浮现着原先的思想,所以在分析第二个梦思时,我们很容易捉着和第一道思潮相关的联想。然后竟然欺哄自己——认为已经找到一个连接梦中两种元素的思想。因为我们任意地把思想连接在一块(除了正常那种由一思想移形到另一个的情况以外),最后必须会找到许多我们形容为梦思的“中间思想”——这是没有保证(即不知是否真实)的,因为我们不能知道梦思究竟是什么——而且认为是相当于梦的精神替代。但这整套都是任意捏造的;不过是一种富有技巧的机会组合而已。在这种情况下,任何人,只要他肯付出这些徒劳天功的代价,都能由梦编造出任何的解析。

        如果只是面对这些反对意见,我们也只要如此辩驳就好了——即描述解析所造成的深刻印像;追随某一元素过程间突然浮现出和梦其他元素的相关;以及除非事先有精神上的联系,否则单单机会是不可能由梦中推衍出这么多东西的。另外我们也能指出,这种梦解析和解除歇斯底里症状的方法是同出一辙的;而这方法的可靠性可以由症状的一起浮现与消除得以证实。或者可以这么说,本书的论断是由“插入的说明”而证实的。但这些都不能说明为何追随某个无目的以及任意的思想串列就会达到一个事先存在的目标;不过我们并不需要回答这问题,因为这问题根本无法成立。

        因为在解析梦的时候,虽然我们弃除一切意见,并让任意的思想浮现,我们其实并非追随着一些无目的的思想潮流。我们知道,能够摒除的思想正是那些我们知道的有意义的思潮;然后一旦成功的完成摒除工作后,那些不知道有的目的想法——或者更明确地说,潜意识——就出面把持大局,从而决定了那些非自主的意志浮现。没有任何的影响力可以使我们的精神力量去做一些无意义的思考——甚至任何精神混乱的状态也不可能。而精神科医师们太过轻易放弃他们对精神程序完整的信心。我知道,在歇斯底里症和妄想病中,无目的的思潮和梦的形成一样,是不可能产生的。也许这种无目的的想法根本不可能呈现在任何内源的精神异常上。如果劳列的看法没错,那么谵妄或者意志迷乱的状态也是有意义的。因为我们之所以不了解是因为中间有个沟隙无法超越。在观察这些病症的时候我也有同样的意见;谵妄之所以产生乃是审查制度不再掩瞒它的操作;即它们不再同心协力制造一些不被反对的新想法,反而粗率地把不合格的都删除掉,因此剩下来的就支离破碎,不知所云了。这审查制度的行为就像苏联边界的报刊审查委员会一样,他们要把国外杂志涂黑了好多段落后才允许留传到他们所保护的民众手中。

        也许在器质性的脑部障碍中,思想能够借着一些偶然的关联而自由推演;然而在心理症中所谓的自由推演却可以用那受到审查制度影响而被推到前台的思想串列(其意义被隐藏着)来说明。下面这些所谓表面关联被认为是自由联想(即不受意识的力量所主宰)的永真讯号——即借着谐音,含糊不清的字义,暂时且和字义无关的巧合,或者是开玩笑玩弄字眼间所运用的联系。这些特殊的联系正存在于那些由梦元素通往中间思想串列之中;同样的,它们亦存在于由中间思想通往梦思本身。我们很惊奇能在许多梦的分析上看到这种例子。架构于二思潮之间的联系,没有哪一种是太过松弛以致于不配合,也没有哪种玩笑是太过粗鲁而不能用。但是这种表面看来吊儿郎当的真正理由却因而很快地被发现了。无论何时,当两个元素之间有着很表浅或者是牵强的联系,它们之间一定还有一个更深刻以及正统的联系,不过却受到审查制度的阻抗。

        表浅联系之所以盛行的真正理由不是因为舍弃了有意义的思想,而是由于审查制度所施的压力。当审查制度封锁了正常的通道后,当然表浅的联系就取而代之了。我们也许可以想像出这样的类比:一个山区为主要交通遭到阻碍(譬如说,洪水泛滥),但是与山区的通讯仍然可以利用那些陡峻不便的小径(平时的猎人所利用)。

        这里我们要分辨两种情况,虽然基本上来说它们是一样的。第一个情况是,审查制度破坏了两个思想之间的联系。它们从而不再受到它的阻抗。然后这两个思潮相继进入意识层面,二者间的真正连接被隐没了,不过却有层表线的联系(这种联系我们本来不会想到的)。这联系通常是附录在那些并不受到压抑,而且也并非是主要的联系所在。第二种情况是,两个思想的内涵都各自受到审查制度的阻抗。因此必须以一种替代的形式呈现,不过在选择两个替代的时候,它们之间的表浅联系亦重复着该两个思想之间的主要关联。在这两种情况下,审查制度都将正常以及严肃的联系转移成一个表浅的,而且似乎是荒谬的关系。

        因为有这种转移的关系存在,所以我们在解析梦的时候,毫不犹疑地依赖着此种关系〔7〕。

        这是精神分析最常用的两个定理——即当意识层面的观念被舍弃后,潜意识中有意义的概念则控制了整个现时的思想;而表浅的联系不过是一些更深层以及被压抑的关联的替代物而已。的确,这理论已成为精神分析的基柱。当我命令病人舍弃任何成见,把所有他脑海中浮现的事物告诉我时,我深信他不能摒除掉那些有意义的概念,而且虽然他提起的那些看来像是无邪或者是任意的事物,实际上却和他的疾病有着关联。另外一个病人所不怀疑的有意义的概念则是我的人格。至于这两个定理的证明以及其重要性的体验,则已经属于描叙精神分析治疗方法的领域了。在这里,我们必须又暂时将梦的解析置于一旁。

        由以上许多反对的意见当中,可得一真正的结论,即我们不需要把所有解析工作的联想都视为夜间之梦的运作(请参阅第六章甲节、丙节)。其实在清醒时刻进行分析工作时,我们以相反方向跟随着一条由梦思通向梦元素的途径,而梦运作所遵循的那条路线也和我们反向。这些途径亦并非全部是双线大道,却可以两面相通。似乎我们白天的分析就像是沿着新鲜的水道驾驭着木筏,有时遇见中间的思想,有时在这里遇见梦思,有时在另一处。在这情况下,我们知道白天的材料亦会加入解析的行列中。也许夜间以后所增加的阻抗使得我们必须做更多的改道。我们遵循支径的数目多少并不重要,只要它能带我们到所要找寻的梦思就行了。

     第七章-乙、退化(后退)现像

          乙、退化(后退)现像

        在辩驳了各种反对意见后,或者至少在显露了我们防御的武器之后,我们不应该再迟延那准备了很久的心理探讨。现在让我们把近来的主要发现摘录一下:梦是一种精神活动,和其他的一样重要;其动机常常是一个寻求满足的愿望;它们之所以不被认为是愿望,以及具有许多特征与荒谬性,完全是由于精神审查制度在梦形成过程中加以影响的结果;除了回避审查制度外,下述的因素亦在梦的形成过程中扮演着某种角色:①需要把精神材料凝缩起来,②要能以影像来表现,③需要一个合理可解的梦构造的外表(虽然不一定真)。以上每一主张都导致一些心理假说和预测。因此我们必须探讨梦的意愿动机与梦形成的四种条件之间相互的关系,以及这些条件之间的相互关系,而且也必须找出梦在精神生活中的位置。

        在本章的开头,我引用了一个梦,因为它提醒许多我们仍未解决的问题。这个梦(关于被燃烧的童尸)并不难解析,不过由分析的观点来看,它并没有被完全解释清楚。当时我问过这问题,为何这父亲只梦见而不是醒过来,同时我们发觉那要孩子仍然活着的愿望是他做梦的一个动机。在更进一步地讨论后,我们将发现此梦还有另一个愿望在运作。但目前我们可以这么说,睡眠时思想程序的造成愿望促使此梦的形成。

        如果把此梦的愿望达成删除掉,那么梦思与梦这两个精神事件之间的差别就只有一个特征做为分野了。梦想也许是这样的:“我望见孩子尸体躺卧的房间传来一些光芒,也许一枝蜡烛掉在孩子的身上,也许烧着我的孩子了。”梦毫不改变地反映出这些意念,不过却以一种实际的情况来表现(好像在清醒时刻般的以感觉器官来感觉),这就是梦程序最显明的特征:某种思想,或者某些意欲的思想,在梦中都物像化了,且以某种情境来表现,好像亲身体验过似的。

        那么我们要如何解释这梦运作的特征呢?或者把范围缩小点,我们要把它放在精神程序的哪一个位置呢?

        如果更仔细观察此梦,我们将发现梦的显意具有两个互相独立的特征:①思想在这里以一种眼前的情景表现出来,而省略了“也许”这个字眼。②思想被移形为景像以及言语。

        在这个梦中,那个把期待思想改变成现在式的思想改变并不特别明显,这也许因为梦中的愿望达成只扮演着次要的角色。让我们看另外一个梦例,譬如伊玛打针——这里,梦的意愿并没有脱离那被带入梦境的清醒时刻之思想。它的梦思是这样的一个条件子句:“如果奥图医生应该为伊玛的疾病负责,那该多好!”不过梦却压抑着此条件式,而以一个单纯的现在式表现:“当然,奥图医生应该为伊玛的疾病负责。”这个就是梦(即使是最不改装的)

        带给梦思的第一个改变。我们不需要在这点浪费时间。在意识的幻想(白日梦)中,理想观念也受到同样的对待。当都德的Joyeuse先生在巴黎街头流浪的时候(虽然她女儿相信他已找到一份差事,并且正在办公室里坐着),他梦见某些发展带给他一些具有影响力的帮助,使他能顺利找到工作——而他正是以现在式梦见的〔8〕。因此梦和白日梦同样利用现在式。现在式是用来表达愿望达成的时式。

        第二个梦所具有的特色乃是将思想内容转变成视觉形像(可以由这点和白日梦区分),对此形像我们不但赋予信心,并且像体验过似的。我现在必须追加的是,并非每个梦都把概念转变成能感觉的形像;有些梦只是许多思想的组合,不过因为具有梦的特质所以不能把它们排除在“梦”这类属之外。我那个“Autodidasker”的梦(请见第五章乙节第四个梦)就是一个例子。它所包含的感觉元素并不比我白天所想的要多多少。只要稍为长一点的梦里面,必定有些元素没有转变成感觉的形式,它们就像清醒时刻那样地被想起。另外我们要记得此种将观念转变成为感觉形像的事并非单纯发生于梦中,在幻觉与幻影上亦可能发生(不管是发生在心理症病患或是健康人身上)。简而言之,我们现在所观察到的关系并不全是排外的。不过这个梦的特征(如果它呈现的话)仍然是最显明,所以我们想像梦境的等候不会少掉它。但为了解它,我们必须再进行非常详细的讨论。

        做为探究的开始,我想由许多梦的理论中捡出一个特别值得一提的。在一篇简单的梦的讨论中,伟大的G.T.H.Feer指出梦的性质:“梦中动作的景像和清醒时刻的概念世界是不一样的。”这是唯一使我们了解梦特殊性的假说。

        这些文字带给我们“精神位置”的概念。我将不承认我们所知道的精神装置具有已知的解剖学形式,而且我将尽量小心避免将精神位置和解剖学结构配合的诱惑。我们将局限在心理学的基础上,而我建议将这个把我们精神功能推动的装置想像成复式显微镜、照相器材,或者这一类性质的东西。在这基础上,精神位置就相当于此器材中初步景像得以呈现的那部分。我们知道在显微镜或者望远镜中亦存在此种理想点,虽然并没有任何可触摸的零件存在于此点上。我想我们不必因为这比喻不够完美而感到歉疚,因为此种类比只不过是帮助我们了解那错综繁杂的精神功能——借着把功能分解,并将不同的成分归诸于此器材的不同部分。据我们所知,到目前为止,没有人利用这种解剖的方法去探讨精神的工具,而我认为这样做没有什么不合理的地方。我深信可以让假设自由奔驰,只要我们能保持冷静的头脑,并且不把建筑的骨架搅错就好。因为第一次接触任何无知的题目以前,我们都需要一些辅助观念的协助,所以我将先提出一个最粗略以及踏实的假设。

        根据上述的理由,我们把精神装置想像成一个复式的构造,它的各个的成分我们将称之为“机构”,或者为了更清楚的理由,把它称为“系统”。然后我们可以预测这些系统间相互存在着一些空间的关系,就像望远镜内,各个系统镜片所处的位置一样。严格说来,并不必要假定精神系统具有空间的秩序。实际上只要有个确定的先后秩序也就够了——即在某一个特定的精神事件上,系统的激发会遵循着一个特定的暂时秩序。在别的程序中,先后秩序可能就不一样。这是可能的。为了简便的理由,我们姑且把这个装置的成分称为“系统”。

        首先这个由系统组成的装置是具有方向的。我们所有的精神活动都是始于刺激(不管是内在或在外在的),终于神经传导。据此,我们将给予此装置一个感觉以及运动的开头与结尾。精神程度或步骤通常由感觉端进行到运动端,所以精神装置可以用上列图表表示。(图一)

        不过这也只是满足我们好久以来就熟悉的需求——精神装置必须具有像反射弧一般的构造,反射动作仍然是每种精然后我们在感觉端加以第一次的分化。感觉刺激后,精神装置会留下一些痕迹——我们可以把它称为记忆痕迹,和这有关的功能则称之为记忆。如果我们坚守让精神程序附在系统上的假说,那么记忆痕迹必将使系统发生永久性的变化。但是就像在别处指出的一样,同一个系统如果要留住不动,然而又要继续保持新鲜度以接受新的刺激将是很困难的。因此,依据假设的原则,我们把这两个功能归诸于两个不同的系统。我们假定第一个系统位于此装置的最前端,接受感觉刺激,但不留下丝毫痕迹,因此没有记忆。在它背后的第二个系统,能将第一个系统的短暂激动转变成为永久的痕迹。于是我们这个精神装置的图解就如前图。

        (图二)

        我们知道记忆所保留的东西多于刺激感觉系统的感觉内涵。在我们的记忆中,感觉是互相联系的,尤其当两个同时发生。我们把这事实称为关联。很明显的,如果感觉系统没有记忆的话,关联的痕迹是不可能存在的。如果先前的一个连接会影响新的感觉,那么感觉元素在执行功能的时候就不免受到阻碍了,因此我们也必须假定记忆系统内必定存在有关联的基础。所谓关联即是在阻抗减少以及使交往便利的途径形成后,激动较易由此记忆元素传给相关的另一记忆元素。

        仔细考虑后,我们发现此种记忆元素的存在不单单只有一个,应该有好多个。这样一来,由感觉元素传导的同一激动就会留下许多不同的永久性痕迹。第一种记忆系统自然会记下同一时间发生的关联,而同一个感觉材料在后来的记忆系统中则根据其他的巧合而安排,譬如说“相似”的关系等等。当然,要把这种系统的精神意义用文字来表达不过是浪费时间而已。其特征视它与不同的记忆原料的关系而定——即是(如果我们想要提示一个更偏激的定理)在传导此等元素带来的激动时它所给予的不同程度的阻抗。

        这里我想插入一个一般性的评语,也许会有重要的启示:那些,没有记忆力的感觉系统给我们意识层各种繁杂的感觉性质。另一方面,我们的记忆力——包括那些深印在脑海中的——都是属于潜意识的,它们能被提升到意识层面,但无疑它们能在潜意识状态下施展其活动。被形容为我们的“性格”的乃是基于我们印像的记忆痕迹。另外,那些对我们影响极大的印像——发生于我们早期的童年者——则几乎不会变为意识的。如果记忆再度被提升到意识来时,它们的感觉性质和感觉相比,不是等于零,就是很少。如果下面这理论能被证实,那么我们就很有希望能够了解造成心理症激动的原因,此理论即:在系统中,记忆与意识的特质是互相排外的。

        对于精神装置感觉端的构造,我们迄今仍未利用梦或其他精神活动所能获得的知识。梦能够让我们了解这装置的另一部分。在前面我们已经提到(第四章前言后部分)为了了解梦的形成,我们必须假设两个心理机构,其中一个将另一个的精神活动加以审核(这包括将它由意识层面删除掉)。我们所得的结论是,这个批判的机构要比那受批判的更接近意识层面,它就像一道筛子般,站在意识与后者之间。后来,我们认为有理由将此批判的机构和那指导我们清醒时刻的生活、决定我们自主及意识行为的机构同体化(请见第六章壬节)。如果我们把这些机构用系统来取代的话,那么这些批判(审查)的系统必定位于此精神装置的运动端。现在我们要把这两个系统加入我们所设立的图解中,并表示它们和意识层面的关系。(图三,见下页)

        运动端的最后一个系统属于前意识,这表示此系统的激动程序能够不再受到阻碍而直接到达了意识层(如果其他的条件能够满足的话,譬如说达到某种程度的强度,或者那个被称为“注意力”的功能有特殊的分布等等)(请见本章己节)。这个前意识同时也掌握了自主运动之钥。我们把那位于它背后的系统为“潜意识”,因为除非经过前意识的协助,它无法到达意识层,而且通过这关卡时,其激动的程序必须受到改变〔9〕。

        那么梦形成的动力究竟要放在这些系统的什么地方呢?

        为了简便起见,我们说是在“潜意识”中。但在以下的讨论中,我们会发现这并不全对,因为梦形成的程序必须和属于前意识的梦思相关系(请见本章丙节),但如果单只考虑梦的愿望,那么我们将发现产生梦的动力是由潜意识所供给的。因为这个缘故,所以我们把潜意识系统做为梦形成的起点,就像其他的思想结构一样,这个梦形成的促成者努力地想到达前意识,然后借以进入意识层。

        由实验知道,经由前意识通往意识的途径,在白天时都因为审查制度的阻抗而封锁,要到晚上它们才有办法度入意识层。不过问题是如何进入,以及要经过何种变动。如果梦思因为晚间潜意识与前意识之间的阻抗力降低而得以潜入的话,我们的梦应该是概念式而不具有幻觉式的性质。因此潜意识与前意识间审查标准降低只能够解释像“Autodidasker”之类的梦,而不会产生那我们做为起点的“尸体被燃烧”的梦。

        那么幻觉式的梦究竟如何产生呢?我们只能说它激动的传播方向是倒向的——它并非指向运动端,反而是向着感觉端,而最终传到知觉的系统。如果我们把清醒时刻潜意识的精神程序形容为进行的。那么我们就要把梦中的称为后退的(regres-sive〔10〕)。

        这个后退(退化)无疑是梦程序的一个心理学上的特征,但我们要记得,这不单只发生在梦中而已。回忆和正常思考的程序亦同样需要精神装置的此种后退作用——由一些繁杂的概念回到架构成它们的记忆痕迹的原料上。但是在清醒的时刻,这种后退作用不会超过记忆影像,它不会使知觉影像产生幻觉式的重现。为什么梦中就可能呢?在提到梦的凝缩作用时,我们不得不假定某个概念所附着的强度可以借着梦之运作而转移到另一个概念上(请见本章丙节)。也许就是这个正常精神程序的改变使得感觉系统的传导得以反向,由思想概念开始,一直到完全鲜明的感觉上。

        希望在讨论目前这名词的重要性时,我们没有欺骗自己。因为我们所做的事不过是在命名一个错综复杂的现像而已。在梦中,当概念借着后退而变成原来的感觉影像时,我们把它称为“后退”。如果这名字不带来一些新知,那么它的命名又有什么好处呢?我相信“后退”这名词对我们是有用的,因为至少它连接了一个我们借着图解早就知道的事实(在这个图解中,精神装置是具有方向的。)现在,这图解可要首次给我们带来好处啦,因为只要再对它细察一下(不必再进一步推论),我们就可以发现梦的另一个特征。如果把梦看为这假精神装置的“后退”现像,那么我们就能解释为什么所有梦思的逻辑关系在梦的活动中会消失殆尽,或者难以表达出来。因为根据我们的图像,这些关系并不存在于第一个记忆系统,而是存在于后来的系统上;因此在后退为感觉形像的时候,它们必然失去表达力。在后退现像中,梦思的架构溶解为原先的材料。

        什么改变使得这白天不可能的后退现像得以产生呢?对此点,我们不得不满足于一些假定。这时每个系统必定在能量上有所改变,以致会更容易或更不容易激动,而在这种装置上很多方法都可以产生同样激动通道的改变。首先自然是睡觉状态对感觉端所产生的能力变化。在白天,有一道连续不断的激动由此系统的感觉端流向运动端;晚上,这道激流停止了,因此再也不能阻挡激动的反向传导。根据某些作家的意见,与外间世界隔绝可以解释梦的心理特征。在解释梦的后退现像时,我们必须考虑其他病态状况下的后退(退化)现像。

        对这些状况,刚才的解释根本用不上。因为虽然感觉流一直不间断,后退现像仍然产生。对于歇斯底里症和妄想症,及正常情况的幻影,我的解释仍然是“后退现像”——即思想移形为影像——但能够产生此种移形的思想,是与那些被潜抑或者是处在潜意识中的记忆密切相连的。

        譬如说,我有一位最年轻的歇斯底里病患(一位十二岁的男孩),他因为受到一个红眼青面的恐吓而不能入睡。这现像的源由是他四年以来得自另一男孩的潜抑记忆(虽然这有时会到意识层)。那位男孩送他一份关于孩童坏习惯所产生恶果的警世画,包括手淫在内。我的病人现在正因为这习惯而自责。他妈妈当时曾形容他这位行为不检的孩子为红眼青面(红眼圈)。这就是他幻影的来由,而这又恰好提醒了他妈妈的另一个预言——这类的孩子长大后变成呆子,在学校里学不到东西,而且很早就会夭折。我这小病人实现了这预言的前一部分,因为他的学校成绩毫无进展,而由他的自由联想看来,他正害怕另一半的实现(我要多说一点)。在经过治疗后他能够入睡了,神经质消失了,而在学年结束时,他得到优异的成绩。

        这里,我要解释另一位歇斯底里病人(四十岁的妇人)告诉我在她生病以前的一个幻影。一天早上,她睁开眼睛,发现她兄弟在房间内(虽然知道他正在一个疯人院内)。她的小儿子在她旁边睡着,为了使这孩子免于因为看见舅舅而发生痉挛,她用床单盖住他的脸。

        这时那个幻影消失了。这个幻影其实是她孩童时期记忆的一个翻版。此记忆虽然是意识的,不过和她脑海中的潜意识材料有着密切的关系。她的保姆曾经提起她的母亲(她很年轻就死去了,当时我的病人才不过十八个月大)说她(母亲)患有癫痫或是歇斯底里性痉挛,而这要归咎到她弟弟(即病人的叔叔)以一床单罩头扮鬼恐吓的结果。因此这幻影和她记忆具有相同的元素:弟弟的出现、床单、恐吓以及其后果。唯一不同的是,这些元素重组成另一种内容,而且转移到别人身上。而明显的动机(或者是它所取代的思想)是她害怕这位极像舅舅的儿子会步他后尘。

        我所引用的这两个例子并不完全和睡眠脱离关系,因此对我想要它们证明的事来说,以它们为例子并非很适当。因此我要向读者提起一位患有幻觉性妄想的女病人的分析以及我仍未发表的对心理症病患的心理研究(按:弗氏从未发表过这类题目的论文)。在这种思想后退移形的情况下,我们发现记忆的力量不可小看,尤其那些源自童年时期,被潜抑或者留在潜意识的记忆;这记忆把那和它关联而且被审查制度禁锢的思想拖入后退现像中,即是使它像记忆那样呈现出来。另外,在歇斯底里症的研究中,我们发现几个事实,即当我们把幼童时期的景像(不管是记忆或幻想)提升到意识层面时,它们是像幻觉般地被看到,而这特质只有在用文字报告的过程中才消失。我们还发现到,在那些记忆很少是“视觉”的人,他们对孩童时候的早期回忆一直保留着鲜明的视觉状态。

        如果我们不忘掉孩童经验以及源于它们的幻想占据了梦思的大部分,同时又注意到这些经验的碎片常常在梦中出现,以及许多梦的愿望皆源于它们,那么我们就不能否认在梦中,思想之所以转变为视觉形像,也许就是由于这些视觉记忆渴求复活,加压于那些被摒除于意识之外的思想,并挣扎着寻求一种幼童时期景物的替代品,因移形到最近的材料而被加以变更。幼童时期的景物不能靠自己复活,因此只好满足于成为一个梦。

        可以这么说,幼童时期的景物(或者是它们幻想的产物)能够成为梦的模型,那么歇尔奈尔以及他信徒所谓内源刺激的假说就变成多余了。歇尔奈尔(一八六一年)假定梦中呈现特别明显或者特别多的视觉元素时,梦者一定处在一种“视觉刺激”的状态下,即是视觉器官受到内源的刺激。我们不必摒弃这假说,但是只要假定这激动指的是视觉器官的精神感觉系统,那也就行了。不过我们也许可以更进一步指出,这种激动状态是由某个记忆所引起的,同时也是某个曾经是视觉刺激的复活。我不能由自己经验中举出产生此种结果的幼童记忆。我认为自己梦中的感觉成分比别人的少。但是在我这几年当中最鲜明与最美丽的梦里,我不难由梦里的幻觉式清晰当中溯源到最近或者是近期印像中的感觉部分。在第六章壬节梦3,我记录下一个梦,里面有蔚蓝色的海水,船上烟囱冒出来的褐色煤烟,以及深褐色和红色的建筑物——这带给我极深刻的印像。如果论来源的话,那么此梦必定可以追溯到某个视觉刺激。但是,什么东西使我的视觉器官产生此种刺激状态呢?这是一个和以前许多系列的印像相联合的近期印像所造成的。我所梦见的颜色就是前天孩子们用玩具砖头堆成而向我炫耀的精致建筑物的颜色。那些大砖头同样是深红色,而小一点的也是同样的蓝色和褐色。这也和我上次游历意大利时的色彩印像有关:浅湖以及lsonzo的美丽蓝色和Carso的褐色(按即Trieste背后的灰石台地)。梦里的漂亮颜色不过是记忆的重复罢了。

        让我们摘录由这梦的特征(即将概念内容投射为影像的力量)所学到的东西。我们也许没有利用已知的心理学定律来解释这梦运作的特征,但我们已把它挑出来并形容为“后退现像”。当发生后退现像时,我们认为这不但是抗拒思想以正常途径进入意识层的阻抗作用,并且也是具有鲜明视觉的记忆产生吸引的结果。感觉器官在白天源源不断产生的进行性激流,当它们在晚间停止产生的情况下,也许会促进着“后退现像”的发生;在别种后退状况下,由于没有这辅助力量,所以引起后退的动机强度就要来得更大了。不过我们不能忘记,在梦中或者是病态情况下的后退,其能力的转移必定和正常的精神生活有所不同。因为在前者,它可以使感觉系统产生完全的幻觉,而我前面对梦运作的“表现力”的讨论,也许可以认为是梦思所引起视觉景色的选择性吸引。

        另外,后退现像在形成心理症症状的理论中所占的重要性地位,并不亚于那存在于梦中的。因此我们可以分辨三种后退(退化)现像:①区域性的后退现像,这是指我们在系统中所讨论的。②时间性的后退现像,指后退至古老的精神架构而言。③形式的后退现像,指原始的表达与表现方法替代了常用的。这三种后退现像基本上说来是一个,而且在大多数情况下一起产生。因为那些较古老的(时间上说来),也是较原始的,而且就精神区域学来说,也更接近感觉端。

        在结束对梦中后退(退化)现像的讨论时,我们必须提起一个不断向我们冲击的观念(在我们更深入地研究心理症时,这观念会再度以不同的强度出现):整个说来,梦是退化到梦者最早期情况的例子,是梦者童年以及当时盛行的冲动,和表达方式的复活。在这童年的背后,我们可以望见种族进化的童年——一个人类进化的图像,而个体的发展不过是生命的偶然情况的一个简短的重复而已。我不禁觉得尼采的话是对的,他说梦中“存在着一种原始人性,而我们不再能直达那里。”我们也许能期望由梦的解析中去了解人类的古老传统,关于他那天赋的精神的了解。也许梦和心理症保留着比我们期待的更多的精神古物,因此对那些关心并且想重建人类起源的最早以及最黑暗时期的种种科学来说,精神分析是最有价值的。

        也许我们对第一部分的梦的心理研究感到不满意,不过我们应该这样安慰自己:毕竟我们是向黑暗进军呀!只要我们的起步不错,由别的方法必定也能到达同一结论,那么也许有一天我们会对自己的发现感到比较满意。

     第七章-丙、愿望达成

         丙、愿望达成

        本章开头所引述的燃烧童尸的梦,使我们有个好机会来考虑梦是愿望达成这理论所面对的困难。当然,如果有人说梦单单只是愿望达成,那我们每个人都会感到惊奇的——这不单单因为和焦虑的梦相反。当前面的分析显露梦的背后还隐匿着意义与精神价值时,我们根本没有想到这些意义是如此统一的(单元化的)。根据亚里斯多德那个正确但简短的定义:

        “梦是一种持续到睡眠状态中的理想。”既然我们白天的思想程序能产生那么多的精神活动,诸如判断、推论、否定、期待、意念等等,为什么在晚间就把自己单单限制在愿望的产生呢?相反的,不是有许多梦显示出其他不同的精神活动吗?譬如说“忧虑”。而本章开头那个燃烧童尸的梦不就是这样一个梦吗?当火焰的光芒照射在这位睡着父亲的眼睑上,他立即推演出这样的结论:也许一枝蜡烛掉在他儿子身上,并且将尸体烧了起来。他把这结论转变成梦,并且将它装扮成现在式的一种情境。此梦的哪个部分是属于愿望达成呢?在这个例子,难道我们看不出,由清醒时刻持续而来的思想或者是新的感觉刺激具有垄断式的影响力吗?

        这些考虑都很对。我们不得不更进一步地去研究愿望达成在梦中所扮演的角色,以及持续入梦的清醒时刻的思想究竟带有何种意义。

        我们早就根据愿望达成而把梦分成两类。第一类很明显地表露出愿望达成,而另一类梦的愿望达成不但不易觉察出来,而且往往以各种可能的方法去掩饰。在后者的情况下,我们知道是审查制度影响的结果。那些具有不被改装的愿望的梦大部分发生于孩童,不过,简短而且明明白白是愿望达成的梦也似乎(我要强调这个字眼)一样会发生在成人身上。

        接下来要问的是,梦中的愿望究竟源于何处?在提出此问题时,我们脑海中究竟还浮现出其他什么可能的种类,或者完全相反的影像呢?我想这个显著的对比是白天的意识生活和那潜意识的精神活动(只有晚间才会引起我们注意)。对于此种意愿,我想到三种可能的起源:①它也许在白天即受到激动的,不过却因为外在的理由无法满足,因此把一个被承认但却未满足的意愿留给晚上。②它也许源于白天,但却遭受排斥,因此留给夜间的是一个不满足而且被潜抑的愿望。

        ③也许和白天全然无关,它是一些受到潜抑,并且只有在夜间才活动的愿望。如果再转到前面那个精神装置的图解上,我们就能够把这些愿望的源起勾画出来:第一种愿望起于前意识;第二种愿望从意识中被赶到潜意识去;第三种愿望冲动无法突破潜意识的系统。现在的问题是,这些不同起源的愿望对梦来说是否具有相同的重要性,而且是否有同样的力量促使梦的产生?

        如果把所有已知的梦在脑海内思索,那么我们立刻要加上第四个愿望的起源,就是晚间随时产生的愿望冲动(譬如说,口渴或者是性需求)。我们认为梦愿望的源起并不影响它促成梦的能力。我又想到那小女孩因为在白天延迟了游湖的计划而做的梦,和其他我记录下的孩童的梦(请看第三章),我把它们解释为前一天未满足但也没有被潜抑的愿望。至于那些白天受潜抑的愿望,在晚上化而为梦的例子,多到不胜枚举。对此类我只想提一个很简单的例子。梦者是个很 喜欢作弄别人的女士。有一次一位比她年轻的朋友刚刚订婚,许多熟人问她:“你认识他吗?你对他的印像如何?”她的答案都是一些应酬的赞语,而实际上她隐藏了自己真正的批评,虽然她很想照实说出来——即他只是一个普普通通的人(以打计算的人,很多的意思)。当天晚上她梦见别人问同样的问题,而她以此公式回答:“如果再要订购的话,只要写上编号就行了。”经过分析无数的例子后,我们发现如果梦曾经被改装,那么其愿望是源于潜意识,而且在白天是无法被觉察到的。因此我们第一个印像是,所有的愿望都具有相同的价值与力量。

        但事实是相反的。虽然我无法在此提出任何证明,不过我却要强调这假定,即梦愿望的选择是更加严格的。当然,我们毫无疑问的可以由孩童的梦证实白天不能满足的意愿能够促使梦的产生。但我们不应该忘记,这只是孩童的愿望,是孩童所特有的愿望冲动的力量。我很怀疑成人白天没有满足的愿望是否足以产生梦。我宁可这么想。当我们学会以理智来控制本能生活后,我们愈来愈不能形成或保有这种对孩童来说是很自然的强烈愿望。对于此点当然会有个人间的差异,有些人能把这种幼童式的精神程序保留得更久些——这就像那本来很鲜明的视觉想像力地逐渐衰微一样。不过一般说来,我认为一个白天被满足的愿望是无法使成人产生梦的。我随时准备这么说,源于意识层的愿望会助成梦的产生,不过却仅止于此而已。如果前意识的愿望无法得到别处来的援助,梦是无法产生的。

        它的来源实际上是潜意识。我相信意识的愿望只有在得到潜意识中相似意愿的加强后才能成功地产生梦。由心理症病患的精神分析看来,我相信这些潜意识的愿望永远是活动的,只要有机会,它们就会和意识的愿望结成联盟,并且将自己那较强的力量转移到较弱的后者上〔11〕。因此表面看来意识的愿望独自产生了梦,不过由梦形成的某些不显眼的特征可以看出潜意识的痕迹。这些永远活动,永不灭亡的潜意识愿望使我想起那有关帝坦族人的神话故事:已经记不清楚到底经过多少年代,这些被胜利神祇以巨大山岳埋在地底的族人,仍然不时因为他们那强劲四肢的痉挛而造成大地的震颤。不过根据心理症的心理研究,我们知道这些遭受潜抑的梦都是源于幼童时期。因此我想把刚才下的结论(即梦愿望的起源是没有关系的)取消,代之以另一个:梦中呈现的愿望一定是幼童时期的。在成人,它源起于潜意识,而孩童由于前意识和潜意识之间仍未有分界(仍未有审查制度的产生),或者只是在慢慢地分化,仍未清楚,所以它的愿望是清醒时刻的未满足且未加以潜抑的意愿,我知道这结论不能绝对正确,不过却能常常属实(即使在一些我们不怀疑的例子中),因此当作是一般性的推论,倒也未尝不可。

        所以,我认为清醒时刻的愿望冲动在梦形成的时候是被放置在次要的地位。除了是梦内容的赞助者之外(供给一些真实感觉的材料),我不知道它们还有什么作用。现在我将以同样的思路去考虑那些白天留下来的精神刺激(但并非愿望)。当我们睡觉的时候,我们也许能将清醒时刻思潮的潜能暂时停止。能够如比做的人都能睡得很好,拿破仑一世就是一个很好的例子。但我们并非常常能够成功,或者完全成功。一些仍未解决的问题,令人头痛的烦忧,太过强烈的印像——这一类的事情甚至使思想的活动持续至睡眠,并且把持了那我们称为前意识系统的精神活动。我们可以把这持续入梦的思想冲动分成下面几类:

        1、由于一些偶然的原因,无法在白天达到结论者。

        2、那些因为我们智慧的不足,而无法完全处理者。

        3、那些在白天被排挤与潜抑者。

        4、由于前意识在白天的作用使这处在潜意识中的愿望受到往往是强有力的激动者。

        5、那些无关紧要的白天印像。因为无关紧要所以未被处理者。

        我们毋需低估那些由白天残留下来而入梦的精神强度的重要性,特别是那类白天未解决的问题。我们确知此种激动在晚间仍然继续为表现而挣扎,而我们也可以同样的自信来假定,在睡眠状态下,前意识的激动不按正常途径进行到意识界。晚间,如果我们的思想能以正常途径通往意识层,那么我们一定没有睡着。我不知道睡眠状态能到底会给前意识带来什么变化〔12〕,但无疑的,此特殊系统在睡眠时的能量变化一定是造成睡眠的心理特征(而这系统亦控制了行动的能力),不过在睡眠时却瘫痪了。另一方面,除了潜意识续发性的变化外,我实在不能在梦的心理中找到任何睡眠所造成的变化。因此在睡眠中除了由潜意识而来的愿望激动外,没有任何的源由可以造成前意识的激动;而前意识的激动必须得到潜意识的加强,同时必须和潜意识一起携手通过迂回的通路。但前一天在前意识的遗留物究竟对梦有何影响呢?无疑的,它们必定大量地寻求入梦的途径,即使在夜间也想利用梦内容来进入意识层。的确,它们有时控制住梦的整个内容,并且迫使它进行白天未完成的活动。这些白天的遗留物除了愿望外,自然还有别的性质。在这里我们要观察它们到底要满足何种条件才能进入梦中。这是很重要的,也许和“梦是愿望达成”的这个理论有着决定性的关系。

        让我们以一个前面提过的梦为例吧。我梦见我的朋友奥图像生病似的,好像患了甲状腺机能亢进症状(请见第五章丁节第四个梦)。在做梦的前一天,我对奥图的脸色感到忧虑,这忧虑就像和他有关的其他事情一样,令我感到非常关切。我想这关切一定和我一起入睡,我也许很焦虑地知道他到底什么地方不对劲。这个忧虑终于在做梦的那个晚上得以表露——其内容不但无意义而且也非愿望达成。于是我开始调查这忧虑不恰当的表现(梦)的来源。

        经过分析后,我发现自己将这朋友和L男爵仿同,而我则和R教授仿同。对于选择这特殊的替代,我只有一个理由解释。我一定整天都在潜意识内向R教授仿同,因为借着仿同作用,我孩童时期不朽的愿望——自大狂的愿望——才得以满足。而对我朋友的仇视(在白天当中,一定受到排挤)则混水摸鱼,取得机会而窜入梦中,但我日间的忧虑亦借着一些替代品从梦内容中表露出来。这白天的思想(并非愿望,反而是忧虑)和在潜意识受到潜抑的幼童时期思想相关联的结果,使它得以(经过适当的化妆后)进入意识层。这忧虑愈是擅权,那么连接的力量就愈大;而这忧虑和愿望之间,并不需要有任何的关联。事实上,在我们这个例子中,的确是如此。

        也许,再继续对这问题加以考虑是有必要的——即如果梦思的材料和愿望达成刚好相反时——如一些适当的忧虑,痛苦的反省,困扰的现实,梦会变为怎样?可能的结果可略分为二:①梦的运作成功地相反观念取代了所有的痛苦概念,因此压制了归属它们的痛苦感情,结果造就了一个简单而令人满意的梦——一个看来是愿望达成的梦,对于此点,我不必多说了。②这痛苦的经验也许能进入显梦,虽然经过修饰,不过却能或多或少地被认出来。就是这类的梦使我们怀疑梦是愿望达成这理论的真实度,因此需要再继续探讨。对这种带有令人困扰内容的梦,我们的反应也许是漠不关心,也许具有整个困扰情况所涵盖的痛苦感情,甚至发展成焦虑或惊醒。

        不过,由分析结果看来,这些令人不快的梦,也和别的梦一样,同是愿望达成。一个属于潜意识的而R受压抑的意愿(它的满足对自我来说是痛苦的)在白天痛苦经验的不断激发下,把握时机,支援它们,因此使它们得以入梦。在第一种情形下,潜意识和意识的愿望相符合。在第二种情形下,意识与潜意识(潜抑与自我)之间的不调和则被泄露了。而这就像神仙故事中,神仙给那对夫妇的三个愿望的情况一样(请看第七章注〔24〕)。这种潜抑愿望得以呈现后所带来的极大满足也许能够中和那白天遗留物所附带的不快(请参阅第六章辛节)。在此种情况下,梦者的感觉是漠不关心,虽然它同时满足了愿望和恐惧。或者睡觉时的自我在梦的形成中占据了一个更大的地位,因此对那潜抑愿望的满足产生强烈的悔恨,甚至会以焦虑感来中止梦的进行。因此我们不难发现不愉快的梦和焦虑的梦同样是愿望达成,这和我们的理论是一致的,而且这和那些明明白白是愿望达成的梦没有两样。

        不愉快的梦也许是种处罚的梦。我们必须承认,因为对这种梦的认识使我们梦的理论增加许多新知。在这些梦中得以满足的也同样是潜意识的意愿,换句话说,这个愿望要处罚梦者,因为他拥有一个被禁忌的冲动。到目前为止,这些梦还能满足下面这条件:即梦形成的动力,必须由属于潜意识的某个愿望所提供。但是经过仔细心理解析后,我们发现它们和其他的愿望的梦有所不同。在第二类的情况下,梦形成的愿望是属于潜意识并且受到压抑的,但在处罚的梦中,虽然同样属于潜意识,不过并非潜抑,而是属于“自我”的。因此,处罚的梦显示自我在梦的形成上也许占有更大的分量。如果我们以“自我”和“潜抑”来取代“意识”和“潜意识”的对比,那么梦形成的机能也许就会更清楚些。不过在这样说以前,我们必须知道心理处罚的梦不一定源自白天发生痛苦事件的情况下。相反的,当梦者感到自在时最容易发生——白天的遗留物是一些令人满意的思想。不过它们所表达的满足却是被禁忌的。这些思想不能在显梦中发现,除了其反面以外,而这就和前述第一类的梦相同。因此处罚的梦的特征是:其梦形成的愿望并不源于潜抑的材料(虽然是在潜意识),而是因它引起的处罚意愿——属于自我但同时也是潜意识的(即是前意识〔13〕)。

        这里我想报告一个自己的梦,来说明前面所说的话,尤其是关于梦的运作如何处理前一天的余痛。

        “开始是很不明显。我告诉太太,我有些消息要说给她听,那是一些非常特别的。她害怕起来,并且说她不想听。我向她保证这些消息一定会使她高兴,于是开始向她叙述我们那孩子所属的军团寄来一笔钱(5000Kronen)〔14〕……一些关于优异的表现……分布……。

        这时我和她走进一间小房间(看来有点像仓库),去找些东西。突然我看见孩子出现。他没有穿制服,而穿着绷得紧紧的运动服(像只海豹?)还戴着顶小帽。他爬上碗柜旁边的蓝子,似乎想把什么东西放在柜子上。我叫他,他没有回答。看来他的脸或前额都被绷带缚着,他用手在嘴巴里搅动半天,把一些东西推进去。他的头发亦闪着灰色光芒。我想:“难道他已经损耗得那么厉害吗?他也有了假牙?”我还没有来得及再叫他一次,就醒过来,不感到焦虑但却心跳得厉害。这时手表指着:早晨二点三十分。

        要完全加以分析是不可能的,所以我只能强调几个重点。前一天的痛苦期待产生了这个梦——我们又一个星期没接到在前线打仗的孩子的讯息了!我们很容易由梦的内容中看出,他不是受伤便是被杀害。在梦开始的时候,我们很容易看出来,梦运作很辛勤以地一些相反的事物来取代那些令人因扰的思潮,如我要说一些令非常愉快的消息——关于寄来的钱……

        优异……分布(这笔钱源于我行医时的一件令人满意的事迹,因此想要把此梦脱离原来的主题),但是这努力失败了。我的太太怀疑一些可怕的事,拒绝听我说。这个梦的伪装太过浅薄,因此它想压抑的事到处都把它戳破。如果我的孩子战死了,那么他的战友会将他的东西寄回来,而我将把这些东西分给他的弟妹或者别人,通常优异奖是颁发给那些光荣战死的军人。因此梦虽然挣扎,但却也表露了他起先想否认的事实,而同时愿望达成的倾向也借着歪曲的形式来呈现。(梦中这种场地的改变,无疑的,可以视为塞伯拉所谓的门槛像征)(请看第六章壬节)。确实,我无法说出什么东西造成此梦的动机力量(因此表露了我这困扰的思潮)。在梦中,我的孩子不是掉下来(falling。按:在战场掉下来,即死去之意),而是爬上去——事实上,他以前是很优异的爬山家。他没有穿制服,反而穿运动装;这表示我现在害怕他发生意外的地方却是他以前发生过的,因为他曾在一次滑雪运动中跌下来,把大腿给摔断了。另外,他穿着的样子使我立刻想起某个年轻人——我们那个可爱的外孙儿,而他那灰头发使我想起后者的父亲——他在战争中度过好难挨的日子。这又是什么意思呢?……我已经说的够多了。——场地是一个仓库,还有一个他想从那儿拿某些东西的碗柜(在梦中变成“他想放入某些东西”)——这无疑暗示着我自己找来的一件意外。那时我才两三岁。我爬上仓库小房的凳子上,想拿碗柜或桌子上某些好吃的东西。小凳子被弄翻,它的边缘打中我下巴的后部;想来我那时很可能就把所有的牙齿都敲掉。此回忆伴随着这样的一个告诫:敲的好而这好像是指向此勇敢士兵的敌意冲动。借着更深层的分析,我发现那隐匿着的冲动竟在我孩子的可怕意外事件中得到满足——这是老头子对年轻人的嫉妒(而在真实生活中,他却认为自己完全地把它压制着)。毫无疑问的,悲痛的感情——像这种灾难确实发生后所带来的——为了取得一些慰藉必定会找寻此种潜抑的愿望达成。

        我现在能很清楚地解说潜意识对梦所扮演的角色。我不得不承认有一大类的梦,其产生的原因大部分或完全源于白天生活的残遗物。让我们再回到奥图的梦。如果我对朋友健康的忧虑没有持续入眠,那么那个期待自己将升为教授的愿望也许就会使我安安静静地睡过整个晚上。但单单忧虑本身也不能造成梦。梦形成所需的动力必须由愿望来提供,而要怎样才能捉住一个愿望来做为梦的动力来源,这就是忧虑的事了。

        也许可以用一个类比来说明这种情况。白天的思潮在梦中扮演着一种企业家的角色;但就如一般人所说的,企业家虽有头脑,如果没有资本他也是无能为力的。他需要一位资本家来支持各项费用,这个负责精神消费的资本家毫无疑问而且一定是源于潜意识的愿望——不管清醒时刻的思潮是何种性质。

        有时候资本家本身就是企业家。在梦中,这是常见的。一个潜意识的愿望被白天活动煽动起来而形成梦。另外,我这个类比中各种可能的经济情况,在梦中都找到对应的地位。企业家本身也许亦下些小投资,几个企业家也许共同寻求一个资本家的援助,或者几个资本家联合支持某企业家的资金。同样的,我们见过具有许多愿望的梦。还有其他相类似的情况,可以一一道来,不过对此我们却没有更进一步的兴趣。我们以后将再详细论及梦的愿望。

        上述类比的第三种比较元素,即企业家所能动用的那笔适当的资金(在类比中是资金,在梦中则是精神能量),在形成梦构造的细部仍然具有更大的影响力。在第六章的转移作用及表现方法中我曾指出,在梦中都能找到一个感觉强度特别鲜明的中心点。一般说来,这个中心点就是愿望达成的直接呈现,因为如果把梦运作的转移作用除去后,我们将发现梦思各元素的精神强度都被梦内容各元素的感觉强度所置换。而邻近愿望达成的元素和它的意义毫无关系,它们不过是和愿望相反,且令人困扰的思想的衍生物而已。它们是借着与中心元素的人造的联系而得到足够的强度,因此得以在梦中呈现。所以愿望达成得以表现的力量并非集中一点,而是像球形般的扩散在其四周。它所包围的一切元素——包括那些本身不具有意义的——因此都有足够的力量得以表现。在那些具有数个愿望的梦里,我们可以很轻易地将个别愿望达成的范围界定出来,而梦中的沟隙则是这些范围之间的边界地带。

        虽然前述的讨论减少了白天遗留物在梦中所占据的重要性,但还是值得给它们更多的注意。它们一定是梦形成的重要成分,因为我们由经验中发现这令人惊异的事实,即每个梦内容都和最近的白天印像——通常是最不明显的——有所联系。直到目前为止,我们还不能解释为何这是需要的。当我们把潜意识愿望所扮演的部分记在脑子里,同时到心理症病患那里去找寻资料,那么这需要性就很明显了。由心理症病患那里我们知道潜意识的概念本身是不能进入前意识,因此只能借着和已经是属于前意识的无邪概念发生关系,同时把自己的强度转移过去,掩盖着自己,从而对前意识加以影响,这就是转移作用〔15〕。它可以解释心理症病患精神生活的许多现像。这无端获取极大强度的前意识概念,虽然被转移,也许并没有受到改变,也许会因为受到那转移内容的压力而被修饰。我希望各位能原谅我由日常生活中取得类比。我认为这种受潜抑的观念和在奥地利的美国牙医师相似,他无法在这里开业,除非他请一位合法的医师代他签字,并且在法律上“庇护”他。就像成功的开业医师很少和这种牙医师结成联盟,那些在前意识中就已经吸引广大注意的前意识或意识的概念也不会被选上与潜抑的概念联合。因此潜意识比较喜欢和前意识那些不被注意、漠视或刚被打入冷宫(排挤)的概念攀上关系。在关联的条规中,有一条大家很熟悉的(由经验加以证实):如果概念在某方向得到密切的联系时,它曾排挤其他的各种新联系。我以前曾据此建立歇斯底里麻痹的理论。

        如果假定由心理分析过程中所发现的对潜抑概念的转移亦在梦中运作时,我们可以一下子就解决两个梦之谜:即每个梦的分析上我们都可以发现一些新近发生的印像组入梦的结构中,而且这新近的元素通常是琐碎的。这些新近发生而且没有举足轻重地位的元素,其所以会以替代古老梦思的姿态入梦的理由是它们最不怕阻抗的审查(我在第五章甲节分析部分曾经提过此事)。虽然这些琐碎元素之所以较易入梦的事实可用不受审查制度阻抗来解释,不过近来发生的事物之所以经常呈现的事实亦指出转移作用存在的必要。这两件事都满足了潜抑的要求(一些仍然不发生关联的材料)——选用那些没有举足轻重地位的元素是因为它们没广泛的关联,而选用那些近来的元素则是因为它们还未有时间去形成关系。

        因此我们知道这些被分类为无举足轻重地位的白天遗留物,不但在梦形成中(如果它有份的话)由潜意识中借来某些东西——即那些潜抑愿望所具有的本能性力量——而且以一些不可分的东西提供给潜意识——即转移现像所需要的附着点。如果想由此点更深入去探讨心灵的过程,那么我们就应该更深入了解前意识与潜意识之间的相互作用——这可由心理症的研究上达到,不过梦对此点却毫无帮助。对白天的遗留物,我还有一件事要说,它们毫无疑问是真正的睡眠的打扰者,而梦不但不是,反而保卫着睡眠。我以后将再度回到这论题中。

        直到目前为止,我一直都在讨论梦的愿望:我们追溯到潜意识的来源,并且分析过它们和白天遗留物的关系——而这遗留物也许是种愿望,一种精神冲动或者干脆是最近产生的印像。在这种情形下,我们都可以解释各种各样的清醒时刻的思潮在梦的形成中所扮演角色的重要性,甚至以这思想串列为基础,我们亦可以解释这种极端的例子——即梦追求着白天的活动,并且为真实生活中未解决的问题达至称心如意的结论。我们所欠的只是一个这样的例子——分析其幼童时期或者是潜抑的愿望,借着这愿望的力量使前意识的活动达至如此的成功。但是这一切却不能使我们对此问题——即为何潜意识在睡眠当中除了是愿望达成的动力外没有提别的什么东西——有更进一步的了解。这问题的解答将使我们更了解愿望的精神性质。我想以前述精神装置的图解来解答。

        我们毫不怀疑此精神装置在到达今日的完整性前必定经过长时期的演化过程,让我们先回述其早期的演化过程中的功能。由一些必须以别的角度予以证实的假说看来,这精神装置的力量起先是使自己尽量地避免遭受刺激〔16〕。因此其最早期的构造是根据反射装置的蓝图而制造的,接受的感觉刺激可以很快地经过运动途径而产生反应。不过它所面对的生命危机却干扰着这简单的机能。另一方面这精神装置所以会更一步地发展也是基于此种原因。它首先面对的生命危机是主要的肉体需求。内在需求所产生的激动要由行动中找寻发泄,这可以形容为“内部变化”或者“感情的表露”。如一位饥饿的婴孩会无助地大喊大闹。但情势毫不改变,因为源于内部需求而产生的激动,并非只能产生暂时性冲击的力量而已,它是连续不断。只有经过某种处理后才能发生改变(如婴孩这例子,则是经由外来的协助)——即达到“满足的经验”后才能使内源之刺激终止。这“满足的经验”的主要成分是一种特别的感觉(在我们这例子当中,则是营养),而它在脑海中所留下的记忆影像自此以后和需求所产生激动的记忆痕迹相关联。这联系建立后,一旦此种需求再产生,就会立即引起一种精神冲动,重新加强此感觉的记忆影像,并再度唤起此感觉,换句话说,即重新建立第一次满足的情况。此种冲动我们称之为愿望。而感觉的重现即是愿望的满足。由需求产生的刺激直接造成感觉的充盈乃是满足愿望的最短途径,我们也许可以假定一个在原始精神装置所确实遵循的途径,即愿望终于幻觉。因此第一种精神活动的目标在于对感觉的仿同〔17〕,即是重复着和满足需求有关的感觉。

        生命的痛苦经验一定使此种原始的思想活动变成一种续发而且更合宜的行动。这种经由装置内后退作用的捷径所建立的知觉仿同,对心灵其他部分的影响和外来的知觉刺激并不一样。因为满足并不能接在它后面。而且需求仍然存在。这种内源的精神充盈只有在不停的产生下才能和外在的刺激具有相同的价值——事实上这种情况可发生在产生幻觉的精神病患以及饥饿幻想的情况上——借着对其愿望对像的附着而消耗整个精神活动。为了要更有效地应用此种精神力量,它必须在后退现像仍未完成前将它断绝,使它不超过记忆影像之外,并且能够寻求其他的途径以达成我们所希望的经由外在世界而得到知觉仿同〔18〕。这种抑制后退现像,以及跟着把激动分开来的现像乃成为控制随意运动的第二类系统的工作——第一次将行动导向预期的目的上。但是,所有这些复杂的精神活动——由记忆影像到外在世界所建立的知觉仿同——不过只是形成愿望达成(这是经验认为需要的)团团转的途径而已〔19〕。毕竟思想也没有什么,它不过是幻觉式愿望的一种替代品而已,而很明显的,梦必须是愿望达成,因为只有愿望才能使我们的精神装置运作。由这观点看来,梦——经由后退现像的短路以满足愿望——不过是我们所保存的精神装置的原始运作方式,这种方式早就因为缺乏效果而被舍弃了。这个曾经一度操纵着清醒生活的方法——那时候心灵仍然年轻,而且能力不强——现在似乎被放逐到晚间去。这就像我们在托儿所中所见的那种被大人舍弃的原始工具——弓和箭。梦是那已经被废除的幼童精神生活的一部分。此种精神装置的运作方式在正常的情况下是被压抑的,但是在精神病患中却又重新建立,而且在与外在世界的关系上,泄露出它们的不满足我们需求的事实〔20〕。

        很清楚的,潜意识的愿望冲动亦企图在白天发生作用,而那转移作用的事实(精神病症亦然)很明显地指出,它们很努力地想借着前意识通往意识层的路途上挤压出它们的路,并且获得控制行动的力量,因此潜意识与前意识之间的审查制度——这个是梦迫使我们去假定的——应当受到我们的承认与尊敬,因为它是我们心理卫生的守护者。那么我们是否应该这么想,此守护者在晚间的松弛是一种粗心大意的行为,因为这种潜意识中的潜抑冲动得以表露,并且使得幻觉式的后退现像再度发生。我想不是,因为这重要的守护者去休息的时候——而我们可以证实这睡眠并不很深——它也同时关闭了行动力量的大门。不管那正常状况下被抑制的潜意识冲动在台上如何高视阔步,我们仍无需担心,因为它们是无害的,因为它们不能使那可以改变外在世界的运动装置产生运动。睡眠保证了那必须加以防守的要塞的安全。但如果这种力量的病态减弱,或者潜意识激动力量的病态加强,同时前意识仍然充满着潜能,通往行动力量的病态加强,同时前意识仍然充满着潜能,通往行动力量之门仍然敞开时,情况就不那么单纯无碍了。在此种情况,守护者招架不住,潜意识的激动压倒前意识,因此控制了言语和行动,或者强有力地造成幻觉式的退化,从而借着知觉吸引所造成的精神能量分布而指导着那并不为它们设计的精神装置。我们把这种情况称为精神病。

        我们现在最适于再继续搭建心理的骨架。虽然我们停顿在介绍潜意识与前意识那点上,但是我们有理由再继续谈论我们所谓的“愿望乃是造成梦的唯一精神动力”。我们已经接受了这观念,即梦永远是愿望达成。其理由是它们都是潜意识系统的产物,而它的活动除了愿望达成外,没有别的目标,而且除了愿望的冲动外,不拥有别的力量。现在如果我们再坚持一会儿——关于此种基于梦解析的事实而设立具深远意义的心理推测——那么就有责任证明此种推测将梦置入也能包括别种精神活动的联系上。如果潜意识这个系统存在的话(或者是与它类似而适合于我们讨论的东西),那么梦不可能只是它的唯一表现。每一个梦都可能是愿望达成,但除了梦以外必定还有别种形式的愿望达成。事实上关于所有心理症症状的理论亦说明了一点:它们亦可以当着是潜意识愿望的满足〔21〕。我们的解释不过是使梦成为那类对精神科医师具有重大意义的第一个成员而已,而且对梦的了解不过显示了精神病学所遭遇问题的纯粹心理学方面的解释〔22〕。

        这一类愿望达成的其他分子,如歇斯底里症,具有一个基本的特征,而此特征不能在梦中发现。在本书常常提到的研究中我们发现,为了要形成歇斯底里的症状,脑海中的两道主流必须要会合。这些症状不单单是一个可实现潜意识愿望的表露,前意识中必定还有一个满足的这个症状的愿望。因此这些症状至少有两个决定性的因子,各自源起于两个和此冲突有关的系统。就和在梦中一样,它们对更进一步的过度决定并没有限制。据我的了解,这些不来自潜意识的决定性因子,都毫无例外地是对抗潜意识愿望的思想串列,譬如说一种自罚。

        于是我可以这么说:歇斯底里症只有在那由不同精神系统源起的两个相反愿望得以在单一的表露中相会合而得到满足的时候才能产生(请和我最近述及的有关歇斯底里症的起源的论文——歇斯底里幻想以及它和变性的关系——相比较)。在这里,例子对我们的帮助不会很大,因为除了非常详细地说明此种复杂情况外,没有任何东西可以达至此种结论,因此我将不去证实此论点,只引述一个例子——这是为了使此点更为明了,而非用来证实。我的一位女病人的歇斯底里性呕吐一方面是满足她那青春期开始即有一个潜意识幻想——即是她会继续不断的怀孕,生产无数孩子的愿望。后来还加上一个她和好多男人结合以达到上述结果的愿望。于是产生了一个强有力的卫护性冲动以对抗这不道德的愿望。而既然呕吐的结果会使她失去美好的身材,因此失去对任何人的吸引力,所以这症状亦能满足那处罚自己的思想串列。因为它能满足这两方面,所以就可能成为真实。这和古安息国皇后对待罗马三执政之一的克拉苏的方法一样。因为相信他的出征是由于爱好黄金的缘故,所以她下令将溶化的黄金倒入他尸体的口中,然后说:“现在你已得到你想要得到的。”但到目前为止,我们所知道关于梦的事乃是它们表露了潜意识愿望的满足,而表面看来,操纵大局的前意识似乎在强迫愿望产生某种歪曲之后才允许这种满足。而我们常常不能在梦中找到一个和梦愿望相反的思想串列。只有偶尔在梦的解析中才可能看到一些反应物的迹像,譬如在我梦见叔叔(蓄着黄胡子)的梦中,我对朋友R的感情(请见第四章前言部分)。但是这些遗漏的部分可以在前意识的其他部分找到。梦借着各种扭曲而表达出由潜意识而来的愿望,而那操纵大局的系统退入睡眠的愿望内,觉察那愿望而改变辖属于它极力范围内精神装置的能量,并且在整个睡眠过程中持续地把握着这愿望。

        这个属于前意识对睡眠的决定性愿望通常能促进梦的产生。让我们回想本章开头那个父亲的梦,他借着隔壁房间传来的火光,推想到他孩子的身体可能被火烧着。这父亲在梦中达至此推论(而不是被火光弄醒的时候)。我们曾提出产生此种结果的其中一个精神力量是,那瞬间延长他在梦中见到孩子的生命的愿望。而其他源于潜抑部分的愿望也许就脱离了我们的注意力,因为我们无法分析这个梦。但我们可以假定另一个产生此梦的动力是这父亲需要睡眠;他的睡眠(和这孩子的生命一样)因为梦的缘故而增延一刻。他的动机是“让梦再进行吧,要不然我就得醒过来。”在别的梦中(就和此梦一样),想要睡眠的意愿实际上支持了潜意识的愿望。在第三章中我曾经描述了一些表面看来是“方便的梦”,但这些梦都可以应用上述的形容词(按即睡眠的意愿)。这种继续睡眠的愿望的操纵最容易在那种“惊醒的梦”所有之中发现——它们把外来刺激加以某种方式地修饰使这些刺激和睡眠的继续进行不发生冲突;它把刺激编入梦中,因此使它们失去了代表外在世界刺激的能力。同样的愿望一定亦发生于其他的梦中。虽然这种愿望本身就可能使当事人由睡眠中醒来。在某些例子中,当梦见不祥的事时,前意识会这么和意识说:“不要紧!再继续睡吧!毕竟这只是梦而已!”(请看第六章壬节)以上这些不过是泛论主要的精神活动对梦所持的态度,虽然事实不一定确定是这样的。我必须做如此的结论:在整个睡眠状态中,我们知道自己在做梦,就和知道自己在睡觉一样的确定。我们必须不要太过注意下面这相反的论调,即我们的意识从未想到后者,并且后者也只是在特殊的情况下才进入意识中(即当审查制度解除警卫的时候)。

        另一方面,有些人在夜晚时能很清楚地知道自己的睡觉与做梦,因此似乎具备用意志指导梦的能力。譬如说这种梦者对梦感觉不满意时,他能够不醒过来而将梦中断,然后再以另一个新方向开始。这就像一位通俗的戏剧家在众人压力之下,会把他的戏剧套上一个较为愉快的结尾。或者在别种情况下,即当梦使他进入一种性兴奋的状态时,他可以自己这么想:

        “我不要再梦下去,以免遗精而消耗我的精力;我要忍住,而把它留给真实的情况。”

        瓦西所记录的MarquisdHerveydeSaint—Denys宣称自己具有随心所欲的,加速其做梦的过程,并且能如愿地把它们转到任意的方向。似乎在他那种情况下,那睡眠的愿望为另一个前意识的愿望所取代——即是观察自己的梦而且去享受它。这种愿望和那种在某些情况被满足后,不想起来的愿望(如第六章戊节提到的保姆或者是“被尿湿的保姆”的梦)同样的和睡眠不产生冲突。另外,大家都很清楚,如果某人开始对梦有兴趣的话,那么他醒后所能记得的梦也就更多了。

        费连奇在讨论有关导引梦产生的其他观察中,曾经这么说:“梦从各种角度苦心地修饰着这刹那间占据着心灵的思想:如果某一梦的影像威胁着愿望达成,那么它就会删除此影像,同时又再继续寻找新的解答,直到后来,它终于产生一个能满足此两个心灵机构的愿望达成。” 

     第七章-丁、由梦中惊醒——梦的功能——焦虑的梦

           丁、由梦中惊醒——梦的功能——焦虑的梦 

        现在我们知道整个晚上,前意识都集中精力于睡眠的愿望,因此我们要再进一步了解梦的程序。但首先我要摘录一下我们所了解的部分。 

        做梦的情况是这样的。它或者是前一天清醒时刻的遗留物,而且没有失去其所含的能量;或者是整个清醒时刻的流动把潜意识中的一个愿望给激励起来;或者是此两种情况的偶合(我们已经讨论过各种可能的情况)。潜意识的愿望和白天的遗留物关联起来,并且产生转移作用——这也许在白天的过程中已经产生了,或者要在睡眠状态中才成立。产生一个转移到近期的材料的愿望,或者是一个近斯的愿望在受到压抑后借着潜意识的协助而得以新生。然后这愿望由思想程序必经的正常途径,通过前意识(而它有一部分是属于前意识的)

        努力地冲向意识。但它还是碰上那仍然会发生作用的审查制度,并且受到它的影响。此时它已经被歪曲,这是借着转移到近期材料所造成的。直到这里,它正在向成为一些如强迫性思想、妄想或者类似东西(即受到转移作用加强的思想)的路上进行,并且因为审查制度的缘故在表达上产生歪曲。但是它再一步地进行却受到前意识的睡眠状态的影响(可能这个系统借着减少激动来保卫自己,以免受到侵害)。于是梦的程序进入后退的途径。这途径正由于睡眠状态的特殊性质而得以畅通无阻,而各类的记忆吸引着并指导它上路。某些记忆只是以一些视觉的能量存在,并没有变成续发系统中的字眼。在它后退的途径上,梦程序取得了表现力(以后,我将提到压缩pression的问题。见第七章戊节)。这时候梦已经完成了它迂回旅途的第二部分。旅途的第一部分是进行的,由潜意识的景像或者幻想指向前意识。第二部分则由审查制度的前线再度回到知觉上来。但是当梦程序的内容变为知觉的以后,它就冲破了那个由审查制度与睡眠状态在前意识中所建立的障碍(请见第七章甲节)。它很成功地将注意力转向自己,并且使意识对它注意。

        因为意识——这个我们认为是用来了解精神性质的感觉器官——在清醒的时刻中可以由两方面接受刺激。首先它由整个装置的周边(知觉器官)取得激动的讯息。另外,它还能接受愉快与不愉快的激动——这种激动是精神装置内部和能量转移有关的唯一精神性质。Ψ系统中的别种程序(这包括前意识),都不具任何精神性质,因此不能是意识的对像,除非它们能将愉快或不愉快带到知觉上去。我们可以如此确定:这种愉快和不愉快的产生,自动调整整个能量的添加过程。但是为了使更精细的调节工作得以进行,于是各程序必须使自己比较不受不愉快的影响。因此,前意识系统必须具有一些能够吸引住意识的性质,而这些性质可能就是前意识程序与语言符号记忆系统(一个并非不具性质的系统)的联系而得来的(请见第七章己节)。因此,本来只是感觉器官的意识就变成思想程序感觉器官的一部分了。于是,产生了两种感觉面,一种是对知觉而言,另一种则是前意识的思想程序。

        我必须假定睡眠状态使指向前意识的意识感觉面较知觉系统更不易受到激动,这种夜间对思想程序的失去兴趣具有另外一种意义:思想需要停止,因为前意识需要睡眠。但是一旦梦成为知觉后,它就能借着新获得的性质而刺激着意识。这种感觉刺激促使前意识内一部分可资利用的能量去注意发生激动的原因,这是它的主要功能(请见第七章戊)。因此,我们得承认每个梦都有唤醒的作用——即是它使前意识中静止的一部分能量产生活动。在这能量的影响下,梦于是受到我们所谓的“再度修正”地修饰——关于其连贯与可解度。这等于说,此能量把梦和其他的知觉内容给予相同的待遇;只要梦材料允许,它亦得到同样的预期性概念。如果这梦程序的第三部分具有方向性,它亦是前进的。

        为了避免误解起见,我想提一提关于梦程序时间上的关系——这也不会是太离题的。无疑的,由毛利具有暗示性的关于断头台的梦里,高博提出一个很吸引人的推论。他想要说明梦不过是占据着睡眠与清醒之间的过度时期。醒来的过程需要花费一些时间,在这时间内,梦产生了。我们想,也许是这样的,最后梦的影像是如此地强有力以至于把我们弄醒了。事实上,在这刹那间我们已经准备起来了,因此它才具有此种力量。梦是刚刚开始清醒的。

        杜卡斯曾经指出,高博因为要广泛推论其定理,所以忽视了许多事实。梦发生在我们仍未清醒的时候——如在一些我们梦见自己做梦的例子。根据我们所有的知识看来,我们不能同意,它只是包括要醒过来的那段时间。相反的第一部分的梦运作可能在白天就开始了,这是在前意识的控制下进行的。其第二部分——审查制度所做的改变,潜意识情景的吸引,以及挣扎着而欲成为知觉的努力——无疑的整个晚上都在进行。由这观点看来,当我们感觉整晚都在做梦,但不晓得做些什么的时候,我们也许并没有错(请看第七章甲节)。

        但我觉得不必要认为梦在变为意识以前一直都维持着我所叙述的时间顺序:即首先出现的是转移的梦的愿望,然后接着审查制度的歪曲,再来就是改变为后退的方向等等。我必须以这种方法来描述;不过实际上却无疑是许多情况(途径)同时发生;激动的摇荡,时而这样,时而那样;直到最后它在某个最有希望的方向集合,而那特殊的某一组就继续留存下来。由我个人的某些经验看来,我认为梦的运作需要超过一天一晚的时间才能获得结果。如果这观点确实无讹,那么对于“梦形成”所显示的优异才能是不必感到惊讶的。我的意见是,甚至那将梦当作知觉事件来了解的要求亦在梦吸引意识的注意以..前早就发生作用了,然而由这点开始,梦形成的步伐就开始加速。因为从这刻开始梦就和任何被感觉到的事件一样,接受同样的对待。这就像放烟火一样,准备的时间要好久,却在一刹那间就放完了。

        到这个时候,梦的程序或者已经经由梦运作获得足够的强度以吸引着意识和唤醒了前意识(不管醒了多久,也不管睡得深或是浅),或者其强度仍不足以达到此点,因此必须继续留存在一种戒备的状态,直到刚刚要醒过的前一刻,注意力变得较活跃而与之会合为止,多数的梦者是具有较低值的精神强度,因为它们都在等待那醒过来的过程。这能解释以下的事实:当我们突然由深睡中醒过来时,我们通常能够发觉到一些我们梦见的东西。在这种情况下,(和我们自动醒过来的情形相同),我们第一眼注意到的是梦运作所创造的知觉内容,然后接着才察觉到外在世界所提供的知觉内容。

        然而具有高度理论兴趣的梦都是那些能在睡眠的中途将我们弄醒的。将他种情况下梦所具有的意义放在脑海中,我们也许会这么问,梦(潜意识的愿望)为何具有力量来打扰睡眠(亦即干扰了前意识的愿望)?其解答无疑地存在于那些我们仍不知晓的能量关系上。如果具有此种知识的话,那么也许会发现,让梦自由地发挥及施于梦以或多或少的注意力是一种能量的节省——如果和有如白天般地紧握着潜意识的情况比较(请见第七章丁节)。由经验看来,即使在晚上使睡眠中断数次,梦和睡眠也不是互相排斥的。我们不过起来一回,然后立刻又再睡着了。这就像在睡眠中把一只苍蝇赶走一样:本身就是一种醒过来的现像。如果我们再度入睡,这中断就被除去了。就像那熟悉的保姆或被尿湿的保姆之梦(请见第六章戊节7)中所显示的一样,那想睡觉的愿望的满足和维持某种程度的注意力是不会相违背的。

        在这里我们必须注意一个基于对潜意识更多地了解而产生的反对意见。我们曾经断定潜意识是永远活动的。但是又说它们在白天没有足够的力量使自己被察觉。然而如果睡眠的状态仍然持续着,同时潜意识的愿望亦显示它够强的能力以创造出梦,同时以之唤醒了前意识,那么为何梦在被觉察到的时候这力量又消失了呢?而且梦会不会继续重现,就像讨厌的苍蝇被赶走后又再不断地飞回来呢?我们又有何权利断定梦驱除了“睡眠的打扰者”呢?

        潜意识愿望永远活动是毫无疑问的事实,它们代表那些常被利用的路途,只要稍为有些激动就行(请参阅第七章注〔11〕)。的确,这种不可毁灭的性质乃是潜意识程序的一个明显特征。在潜意识内没有任何东西具有终点,亦没有过时的,或是被遗忘了的东西。在研究心理症病患(尤其是歇斯底里症)的时候,这点更明显。那导致歇斯底里症产生的潜意识思想途径只要有足够的激动堆积起来,就可能再度重蹈一个三十年前所受到的侮辱,只要它能够进入潜意识的事情内,那么这三十年来的感受就和新近发生的没有两样。不管什么时候只要这记忆一被触及,它就复活起来,受到激动地充电,然后以发作而得到运动地释放。这正是心理治疗所要干涉的地方——它的工作是使潜意识程序能被处理,最后要把它忘掉。的确,那些逐渐被遗忘的记忆以及那些不再是新鲜的印像所具有的微弱感情,我们向来都把它视为当然,认为是时间对记忆所产生的原本反应,而实际上这是辛苦的努力所带来的续发变动。这工作是前意识做的。而精神治疗所能做的仍是将潜意识带到前意识的辖权下。

        因此对任何一个特殊的潜意识激动程序都可能产生两种后果。它或者不被理会,在这种情况下它终于会在某个地方产生突破,并因此得到将其激动释放以产生行动的机会,或者它受到前意识的影响,所以其激动不但不会解除,反而受到前意识的束缚。这第二种情况正是那梦程序中所发生的(请看第七章戊节)。由前意识而来的潜能在半路上和变为知觉的梦相会合(借着意识中被挑起的刺激而产生),将梦的潜意识激动约束住,梦就无法再进行干扰活动。如果梦者真的清醒一会儿的话,他就能够赶走那干扰他睡眠的苍蝇。而我们发现这是比较方便以及比较经济的方法——让潜意识的愿望自由发挥,借着打开后退现像之路以产生梦,然后利用前意识运作的一点力量而将此梦束缚,而不必在整个睡眠当中继续不断地把潜意识愿望紧紧地缚住(请参阅第七章丁节)。梦虽然本来不是一个具有意义的程序,但是在精神力量的相互作用上亦取得一些特定的功能。我们现在将看看这功能是什么。梦使得潜意识那自由不拘的激动受到前意识的控制。在这过程中,它把潜意识的激动给释放了,因此是一种安全的活门,利用一点点清醒时刻的活动来保持着意识的睡眠。因此就像许多的精神构造(它是这些系统的一员)一样,它造成一种妥协,同时服侍两个系统,因而使它们互相谐和合适。如果我们翻过来看第一章中罗勃特所提的有关梦的“排泄的理论”,我们甚至在一瞥之下就决定要接受他所谓的梦的功能,虽然他的前提及有关梦程序的观点和我们不同〔23〕(请参阅第五章甲节)。

        上面所谓“至少使两个系统的愿望互相谐和”暗示着梦的功能有时也会失手的。梦开始的时候是对潜意识愿望的满足,但如果这个愿望达成的企图太过激烈地扰乱前意识以至于不能继续睡下去,那么梦就破坏了这妥协的关系,并且不能再进行第二部分的工作。在这情况下,梦完全被中断了,并且变为完全清醒的状态。即使在这状况下,梦虽然看来像是睡眠的打扰者而不是正常情况下睡眠的守护者,但这并非真的是梦的过错。这事实大可不必让我们产生此种偏见,而对梦的意义发生怀疑。这并非是唯一的例子,对个体来说,那些正常情况下有用的计策在情况发生些许的改变后,就变为无用而且碍手碍脚的事实是常见的,而这困扰至少具有一种使个体的调节机构注意并且重新调整以应付变化的新功能。当然我现在脑海里所想的是“焦虑的梦”。为了不让别人误解我一直在逃避这和愿望达成定律的主张有所不同的梦,我将在下面提示一些关于“焦虑的梦”的解释。

        对我们来说,产生焦虑的精神程序亦能满足某个愿望,这并不是相互矛盾的。我们知道可以用这事实来解释,即愿望属于一个系统(潜意识),而它却受到前意识的拒绝与压抑〔24〕。即使是在完整无瑕的健康心理中,前意识对潜意识的镇压并不完全,而这压抑可用来度量我们精神的正常度。心理症的症状显示出病者这两个系统发生了冲突,这些症状是产生妥协并使二者之间的冲突得以终止的产物。它们一方面让潜意识的激动有发泄的场所,即给它一种发泄口,另一方面它亦能让前意识对潜意识有某种程度地控制。在这里考虑歇斯底里症或恐惧症的意义是有益的。让我们假设一位神经质的病人无法单独过马路——这个我们很正确地称为“症状”者,如果我们强迫他去做那他认为以为自己无法做的事情(借以消除他的症状),那么将导致焦虑的发作。而的确恐惧症的导火线往往是马路上发生的焦虑。因此,我们发现症状之所以产生乃是借以避免焦虑的发生;恐惧症就像是竖立着对抗焦虑的碉堡。

        如果不去探究感情所扮演的部分,我们的讨论将无法继续进行下去,不过在目前的情况下,我们不能完全做到这点。让我们先这样假定,感情对潜意识的压抑是最重要的,因为如果让潜意识自生自灭,它会产生一个本具有快乐性质的感情,不过却在受到潜抑学潜意识后,变为痛苦的。而压抑的结果与目的便是阻止此种痛苦的产生。这压抑扩展到潜意识的概念内容,因为痛苦的产生可能由这内容开始。这里我们将以一个有关感情来源而且相当确定的假说来做为我们讨论的基础(请参阅第六章辛节)。它被认为相当于运动或分泌功能,不过它的神经分布之钥却要在潜意识中去找寻。在前意识的控制下,它被束缚被抑制,以致不能产生感情的冲动。因此,如果来自前意识的能量停止发出,那么潜意识的冲动就有释放出一种不愉快与焦虑感情的危险。如果此梦的程序能继续不去,那么这危险性就会物质化,那些使它得以实现的情况是:潜抑必须早就发生,而压抑的愿望冲动亦要相当壮大。因此这些决定性因子就不在梦形成的心理架构之内。要不是因为我们的论题有一个地方(即夜间潜意识的释放)和焦虑的产生有关,那么我将要删除有关“焦虑的梦”的讨论,并且因而省略了许多暧昧不清的部分。

        我已经一再说过,形成“焦虑的梦”的理论亦是心理症病患心理的一部分(我可以这么说,梦中的焦虑是个焦虑的问题,而不是梦的问题。——译者按:本句在一九一一年增加,却在一九二五年删除)。在指出它和梦程序相连的部分后,我们就不再有什么可做的了。我现在还剩下一件事。既然我曾经断定心理症的焦虑源起于“性”,那么我就要解析一些“焦虑的梦”以显示梦思中所存在的性材料〔25〕。

        在这里我有理由将心理症病患的许多例子置于一边而引用一些年轻人的梦。

        几十年来我都没有做过真正焦虑的梦。但我仍然记得一个七岁或八岁时所做的梦,而我在三十多年后再予以解析。这梦还很鲜明,我在此梦中看见我深爱着的母亲。她的外表看来具有一种特别安静、睡眠的表情,由两个或三个生着鸟嘴巴的人抬入室内,把她放在床上。

        我醒了过来,又哭又叫,把双亲的睡眠中断了。那些穿得很奇怪并且奇异得高而且具有鸟嘴巴的人,我是由菲利逊圣经〔26〕的插图中找来的。我幻想他们一定是那些由古代埃及坟墓上的凸雕而来的鹰头神祇。另外经过分析后,引出一位坏脾气的男孩,他是一个看门者的孩子。当我们小的时候,大家常一起在屋前的草地上玩耍。这个男孩子的名字是菲利浦。我好像是由这男孩那里听到有关“性交”的粗鲁名词,而那些受教育的人则是用拉丁文“交媾”来形容此事,在这梦中我则选用鹰头〔27〕。我一定是由那年轻指导员(他对生命的事已经很熟悉了)的脸色来猜测此字所具性的意义。我妈妈梦中的那个样子,则是抄寻自祖父死前数天昏迷、喘着气的样子。对于此梦的“再度校正”

        的解析是我妈妈快要死了,坟墓的凸雕刚好和这配合。我醒来的时候充满焦虑,直到把双亲吵醒以后还不停止吵闹。我记得看到妈妈的脸孔后,心里就突然平静起来,似乎我需要她并没有死去的保证。而此梦的“续发的”解析在焦虑的影响下已完成了。我并没有因为梦见妈妈正在死去而感到焦虑,我之所以会产生焦虑是因为在前意识的校定中我已受到焦虑的影响。当我们把潜抑加以考虑的时候,这焦虑之情可以推溯到那含糊但却明显的由梦中视觉内容所表露的性的意味。

        一位二十七岁的男人很严重地大病一年后,告诉我他在十一到十三岁之间常常反复地做下面这个梦,并且感到非常焦虑:一位男人拿着斧头在追赶他,他想要逃开,但他的脚似乎麻痹了,不能移动半步。这个是一个常见的焦虑之梦的好例子,而且从来不会被认为是和性有关。在分析的时候,梦者首先想到一叔父告诉他的故事(在那梦第一次发生之后),那是有关他叔父一天晚上在街头被一位鬼头鬼脑的男人攻击的事。梦者自己由这联想得到以下的结论:他在做梦之前听到一些和这相似的事。至于斧头,他记得在一次劈柴时手指砍伤了。

        然后他立刻提到和他弟弟的关系。他常常对弟弟不好,将他打倒。他特别记得一次他以长靴剔破弟弟的头,流了许多血,然后他母亲对他说:“我害怕有一天你会把他杀掉。”当他仍然在思索有关暴力的时候,他突然想到他九岁时候的一件事。某天晚上他父母亲很晚才回来,双双上了床,而他恰好在装睡。不久他即听到喘气声以及其他奇怪的声音,他还能够猜度他双亲在床上的姿势。进一步的分析,显示他将自己和弟弟的关系和父母的此种关系相类比。他把父母亲之间发生的事包含在暴力和挣扎的概念下。他并且找到对此观点有利的证据:常在母亲的床上找到血迹。

        我可以这么说,成人之间算是家常便饭的性交却会使看见的小孩认为奇怪并且导致焦虑的情绪。这焦虑之所以产生乃是因为这种性激动不能为小孩所了解,并且因为父母之牵涉在内而遭受排挤,所以转移为焦虑。另外我们知道在一个更早的生命过程中,孩子对异性父母的性冲动还未受到潜抑,因而会自由地予以表达(请见第五章丁节)。

        对于小孩那些晚上发作的恐怕和幻想,我毫无怀疑地给予同样的解释。这种例子亦是一种性冲动的问题,因为不被了解以有受到排挤而引起的。而如果把它记录下来也许会显示出发作的周期性,因为性原欲可以因为意外的刺激或者自动的周期性发展而得以加强。 

        我没有足够的观察材料来证实我这解释〔28〕。 

        另一方面,小儿科医师不管对孩童的身体或精神方面都缺少这种了解整个现像的见解。

         下面我要记录一个有趣的例子,如果不小心被医学神话所蒙蔽,那么就会很容易地将它看错。我要借用底巴克的有关论文“PavorNous”。

         一位十三岁的男孩,身体不好,感到焦虑与多梦,他的睡眠开始受到困扰,几乎每个星期都有一次从睡眠中惊醒,非常焦虑而且伴随着幻觉。他一直都能清楚地记得这些梦。他说那恶魔向他喊:“啊,我们捉到你了!啊,我们捉到你了!”于是有一种沥青和硫磺的味道,他的皮屑即受到火焰的烧伤。他由梦中醒来时感到非常恐怕,但起先都叫不出来。当声音回复时,他记得自己很清楚地这么说:“不,不,不是我。我什么都没有做过!”或者:

        “请不要这样!我不会再做了!”或者有时说:“阿伯特从来没有这样做过!”后来他拒绝脱衣,“因为火焰只有在他不穿衣服的时候才来烧他。”当他仍然做这种恶魔的梦时(对他的健康是种威胁),他被送来我们的国家。经过十八个月的治疗后,他复原了。有一次在他十五岁的时候,他这么承认:“我不敢承认,但我一直有针刺的感觉,而且那部分过度的激动使我感到焦虑,好几次我真想由宿舍的窗口出去!”

        我们可以毫无困难的推论:①这男孩年轻的时候曾经手淫过,他或许要否认它,或者为这坏习惯而要给自己严厉的处罚(他的招供是:“我不再这么做”、“阿伯特从来没有这样做过”)。②在青春期来临后,这种手淫的诱惑又再度经由生殖器官的刺痒感觉而复活了。

        ③现在他产生了对压抑的挣扎,但他虽将他的原欲压抑下来不过却将之移形为焦虑,而这焦虑则将他以前扬言要处罚自己的方法集合起来。

        现在让我们看看原作者的推论:

        1、由这观察可以很清楚地看出青春期可以使一位健康不佳的男孩变得非常软弱,并且可以产生某种程度的大脑贫血。2、这种大脑贫血会产生人格的变化,产生恶魔式的幻觉,以及非常剧烈的夜晚焦虑状态(也许还有白天的)。

        3、这个男孩的魔鬼妄想和自我谴责要追溯到宗教教育在他小时候所产生的影响。

        4、所有这些症状在相当长的一段乡村之旅后消失了,这是由于身体的运动以及青春期结束后身体精力的重获所致。

        5、也许这男孩大脑发展的先决影响是由于先天的遗传因素,或者是他父亲的梅毒感染。

        以下是他的结论:“我们把这病例归属于因为营养不足而引起的无热性谵妄,因为这个症状是由于大脑缺氧的缘故。” 

     第七章-戊、原本的与续发的步骤——潜抑 

         戊、原本的与续发的步骤——潜抑 

        为了要更深入地了解梦的心理,我给自己找来一个极其麻烦的事情——对这件事来说,我的解说力量是很不够的。我一方面只能把这些复杂而又同时产生的元素,一个个地加以描述(不能同时进行),一方面在描述每一点的时候,又要避免预侧它们所依据的理由。像这一类的困难,都是超出我的力量所能解决之外。在叙述梦的心理时,我已经忘了提出这些观点的历史性发展,对这些我必须予以补偿。虽然我对梦这问题的探讨方向,是根据以前对心理症病患的研究而定的,但我并不想把后者当作我目前这工作的引证基础,虽然我一直想这么做。不过我却想以反方向进行,即以梦来做为对心理症病患心理研究的探讨方向,我知道读者所将遭遇的许多困难,不过我却找不到什么方法可以避免这些困难。 

        由于我对这些问题的不满意,我很愿意在此稍为暂停一下,以便能考虑别的观点,它们似乎对我的努力给予较大的价值。就像在第一章中所描述过的一样,我发现自己正在面对着一个各派作家各具有完全不同意见的论题。在对梦的这问题的处理上,我们都能将主要的矛盾给予合理的解答。我们只反对其中的两个观点——所谓梦是一种“无意义的过程”,以及它是属于肉体,除了这两点以外,我都能在自己的复杂论题中各自证实了这些相互矛盾的意见,并且指出它们都照亮了部分的真实。

        关于梦是清醒时刻的兴趣与以证实。而这又和那些对我们具有重大意义与兴趣的事情发生关联。梦永远不会为小事忧心。不过我们又接受相反的意见,即梦收集白天各种无关痛痒的遗留物,而它们不能把握白天任何重大的兴趣,除非它们和清醒时刻的活动分开。我们发现对梦的内容来说,这也是正确的——它借着改装而将梦思的表达给予改变。由于联想的原因,我们知道梦的程序比较容易控制住近期或者毫无关系的概念性材料(而这还未被清醒时刻的思潮所封禁);而它亦因为审查制度的原因,将精神强度由于一些重要但又遭受反对的对像转移到一些无举足轻重的事情上。

        至于梦具有“过强的记忆”以及和幼童时期的材料有关的事实,早就成为我们梦的定理的基石——在我们梦的理论中,源于幼童时期的愿望是梦的形成所不可缺少的动力。

        自然我们毋须怀疑睡眠时外来刺激所具有的意义,这曾经实验加以证实;不过我们曾经指出这些材料和梦愿望的关系,相当于白天活动中持续入眠的思想遗留物一样。我们亦没有理由反对这个观点——梦对客观感觉刺激的解释和错觉一样——不过我们已找到产生此种解说的动机。这些理由都被其他的作者忽略了。对于这些感觉刺激的解说是这样的——不去打扰睡眠,并且用来满足愿望达成。至于感觉器官在睡眠时感受到的主观性刺激状态,曾由拉德先生予以确实。我们并没有把它们当作梦的一个特殊来源,但我们却可以利用那在梦背后活动的记忆的后退(退化)性复苏来解释这种激动。

        至于那些内脏器官的感觉——曾经一度是解释梦的主要论点——也在我们的概念中占据一席之地,虽然不很重要。这种感觉——如落下来、浮游或者被抑禁的感觉——是一种随时“待命出发”的材料,不管什么时候,只要合乎需要,梦的运作都会利用它来做为梦思的表达。

        我们相信梦的程序是快速而且同时发生的。这个观点,如果以“意识对已造好的梦内容的察觉”来看是正确无讹的,不过在这以前的梦程序,可能是缓慢而且具有波动性。至于梦之谜——在一个很短的时间压了大量的材料的疑问——我们的解释是,它们把心灵内那些已经作好的构造拿来应用。

        我们知道梦都是改装的,并且受记忆的截割的,不过这并不造成阻碍,因为它不过是开始梦形成的那刻就已存在的改装活动之公开,而且是最后的一部分。

        关于那令人失望以及表面看来是无法达到妥协的争论——心灵在晚间是否亦睡觉,或者它仍然像白天一样地统帅着各种精神机构——我们发现二者都对,但并非全部都对。在梦思中,我们能证明那非常复杂的理智机能是存在的,它几乎和精神装置的所有其他来源一起运作。然而我们无法否认这些梦思皆源于白天,而且也要假定心灵会有睡眠的状态。所以即使是“部分睡眠”的理论亦有其价值,虽然我们发现睡眠状态的特征并非是心灵连结的解体,而是白天统辖的精神系统将其精力集中于睡眠的愿望上。由我们的观点看来,这从外在世界退缩的因素亦自有其意义在,它虽然不是唯一的决定性因子,不过亦是促使梦表现的后退现像得以进行的原因。所谓“放弃对思想流向的主动引导”的概念亦不可予以非难,但精神生活并不因此而变得漫无目标,因为我们知道,当自主(主动)的具有意义的思想被舍弃后,非自主的思想则取得统辖权。另外,我们不但发现梦中含有各种松弛的关联,而且还能指出其他我们想像不到的连结。而这松弛的关联不过是另外那些确定,而且具有意义的连结的替代物。确实,我们会把梦视为荒谬的,不过梦例却又给我们这样的教训——即不管梦表面是如何的荒谬,它还是非常合理的。

        对那些梦的功能——各个作家认为梦所应该赋有的——来说,我们毫无异议。如梦是心灵的安全活门,以至罗勃特说的“所有有害的事物,经过梦的表现后,都变得无害了”——这观点不但和我们所谓的梦的双重愿望吻合,而且对这句话来说,我们要比罗勃特了解得更深。至于“心灵在梦中能够自由扮演”的观点,在我们的理论看来,则相当于前意识的活动让梦自由发展而不予以干扰。如“在梦中,心灵回复到胚胎时期的观点”这一类的文字,或者是艾里斯形容梦的话——“一个古老的世界,具有庞大的感情和不完全的思想”——使我们很高兴,因为这和我们的论点不谋而合(我们认为这些白天被压抑的原始活动和梦的建造是有关系的)。我们也能衷心地接受沙里所写的:“我们的梦带回我们早先的以及依次发展的人格。在睡眠当中,我们回复了从前对事物的看法和感觉,还有那些曾经统辖我们的冲动和反应。”还有,我们亦和德拉格一样,认为那些受到“压抑的”成为梦的主要动力。

        我们重视歇尔奈尔叙述那部分,关于“梦的想像”的重要性,以及他本人的解释,但我们不得不把问题转到另一个位置来看。事实上,重点不在梦创造了想像,而是在梦思的建造上,潜意识的想像活动占了重要的大部分。不过我们仍然亏欠歇氏许多,因为他指出了梦思的来源,但所有他描述为梦运作的几乎都是白天的潜意识活动,而它促使梦发生的能力是不下于促使心理症状的产生。这和我们所谓的梦运作是不相同的,而且梦运作包含的范围也较窄。

        最后,我们没有理由舍弃梦和精神疾病之间的关系,反而应在一个新的立场上建立一个更巩固的连结。

        我们所以能够在自己建架的结构内,容纳早期作者们所提出的各种不同的相互矛盾的发现,这要归功于我们梦理论的特色,它将这些理论结合成一个更高级的单元。对许多发现,我们给予新的意义,但只有少数几处遭受我们的否决。然而,我们的建架仍未完全。除了那些因为我们进入和梦心理的暗处所遭遇的复杂问题以外,我们似乎遇到了一个新的矛盾。一方面我们认为梦思源于完全正常的心灵活动,但另一方面我们又在梦思中发现许多不正常的梦程序,这些程序后来进入梦内容,而且在解析时又重复一遍,所有那些形容为“梦运用”

        的却和我们所知道的理智的思想程序不同。以前作者的严格判断,认为梦的精神功能是低能量,似乎是正确的。

        也许需要更进一步地研究才能得到解答,并且使我们步入正途。现在让我们再把另一个梦形成的连接加以更仔细地观察。

        我们已经发现,梦取代了许多源于日常生活的思潮,并且形成一个完整的逻辑秩序。因此,我们不必怀疑这些思想是否源于正常的精神生活。我们认为价值很高的思想以及极其复杂的行为,都能在梦思中找到。但是我们无须假设这些思想行为在睡眠的时候完成,这种假设会大大地弄坏了我们迄今所引用的关于睡眠精神状态的概念。相反的,这些思想也许源于前些日子,它们也许从开始就逃过意识的注意,在睡眠开始进行时,也许就已经完成了。由此等前提,我们最多只能下这样的结论:最繁杂的思想成就也许不需要意识的协助亦能完成。由每一位接受精神分析治疗的歇斯底里症病患或强迫思想症病患中,我们都会找到这种事实。这些梦思本身当然不是无法进入意识层;如果我们白天不能意识到它们的存在,那一定有许多旁的理由。要被“意识”到和那特殊的精神功能——注意力——有关,这个功能似乎只有一定的能量,因此可以由某一有问题的思想串列转移到别的目标上。另外,还有一种方法可以使这些思想串列不能进入意识面:“意识的反映”显示在施展注意力的时候,我们是沿着一条特别的途径,如果沿着此途径进行的时候,我们遇到一个不能接受批评的概念,那么我们就瓦解了——即我们遗弃了注意力的潜能。似乎这样起头以及被遗弃的思想串列会继续地进行下去,而绝对不会再受到注意,除非它在某一点达到特别高的强度,才会迫使注意力再去注意它。因此如果某思想串列开始的时候就遭受排斥(也许是意识的)——在直接的理智用途下,判断它是错的,或毫无用处——那么可能造成这样的结果:此思想串列继续进行下去,毫不为意识所察觉,直到睡眠的开始。

        总括一句,我们把这一类的思想串列称为“前意识”,我们认为它是完全理智的,并相信它或者被忽视,或者被排挤而受压抑。让我们再用简单的字眼来叙述我们对思想产生的看法。我们相信当发生一个有目的概念时,某些数量的激动——称为“潜能”的东西——就会依着此概念选择的连接途径,转移过去,那些被忽视的思想,则是没有得到此种“潜能”

        者。而受到压抑或排挤的思想串列,其潜能即被收回。在这两种情况下,它们都得靠自己的激动。有时这些思想串列——具有有目的潜能——可以吸引意识的注意力,然后经由意识的机构而得到过度的潜能。接下来,我们要阐明意识的功能与性质。

        前意识中如此进行的思潮最终有两种结果,它或者自动地消失,或者持续下去。对于前者,我们这样认为:它将能量由各个相连的小径发散出去,这能量使整个思想网处在一个激动的状态。这种激动状态持续了一阵子,然后就消退了。这是因为寻求解放的激动转变为静寂的潜能。如果是这第一种结果的话,对梦形成来说,它已不具任何意识。但前意识中仍然潜伏着其他有目的的概念,它们源于潜意识,而且一直保持活动。它们也许会控制这些前意识中不被理会的思想激动,或者建立它与潜意识的关联,并将潜意识愿望的能量转移过去。

        因此,虽然加强力量仍然不能使它到达意识层,但是这种受到压抑以及忽视的思想串列仍能够自我维持,于是我们可以这么说,此前意识的思想已被带入潜意识中。

        其他可能引起梦形成的局势如下:前意识的思想串列可能一开始就和潜意识的愿望相连,因此受到那主要的具有目的的潜能拒绝;或者一个潜意识的愿望,因为某些原因(如由肉体而来的)而变为活动性,并且找寻机会把能量转移到那个前意识所不支持(不供给能量)的精神遗留物。这三种情况都有同样的结果:前潜识中有一组思想串列,受到前意识潜能的遗弃,不过却由潜意识愿望中取得潜能。

        由这点开始,此思想串列即进行一系列的变形,我们再也不能把它们认为是正常的精神程序,最后导致一个令我们惊讶的结果(一个精神病理学上的构造)。下面我将列举这些程序:

        ①每一个单独的思想强度都可以全部释放,由一个思想传给另一个,因此某些概念形成时,即被赋予极大的强度(请见第六章丙节)。又因为这过程可以数度重复,所以整个思想串列的强度终于会集中在一个思想元素上。这是我们熟悉的梦运作的“压缩”。凝缩作用是我们对梦产生如此迷乱印像的主要原因,因为在我们已知的正常与能够到达意识层的精神生活中找不到相类似的东西。在正常的精神生活中,我们也能找到一些概念——属于整个思想串列的结果或症结——它们亦具有高度的精神意义,但是其价值却并不以任何对内在知觉来说是明显的感觉状态表达出来。另外,在凝缩作用的过程中,每个精神的相互联系都变为概念内容的强化。这情况就和我写书的时候,用方体或正体来表达出那些我认为是了解内文的重要部分。在演说的时候,我要更大声更慎重,以强调的语气把这个字念出。第一个类比使我立刻想起梦运作所提供的实例:“伊玛打针的梦”中那个字。艺术史家们使我们注意到这事实,即最早而且富有是历史性意义的雕刻都服膺于相同的原则:它们以形像的大小来代表雕像的地位。国王要比他的侍从或被击败的敌人大二或三倍,罗马时代的雕刻则利用更微妙的方法来表现这种效果。如皇帝被放置在中央,直立着,被特别小心地加以雕塑,而他的敌人则屈服于他足下。不过他不再是矮人群中的巨人。而今天在我们之间,下级对上级所行鞠躬礼即是这种古老表现原则的一种回响。

        梦中凝缩的进行方向一方面受到梦思和理性的前意识关系的影响,一方面又受潜意识中视觉记忆的决断。凝缩作用的结果是产生那借以穿透而进入知觉系统所需的强度。

        ②借着强度的转移,中间思想——和妥协相似——经由凝缩作用的影响而形成(请参阅我提过的许多例子),这也是我们正常思想中所从未有过的。在正常思想中最主要的是选择以及保留那“适当的”概念元素。另一方面,在我们尝试以语言表达出前意识的思想时,集锦构造与妥协常会出现,它们被认为是“说溜了嘴”。

        ③那些互相转移强度的概念间具有最松弛的相互关系。它们之间的关联是我们正常思考所不屑一顾的——最多用于笑话上——特别是那些同音异义以及一语双关的情况,它们被认为是和其他的连接相等。

        ④互相矛盾的思想,但并不互相排斥,反而继续相依为生,常常会组合而成凝缩的产物,就好像矛盾并不存在一样,或者它们达致一种妥协——对此种妥协,我们的意识是同样无法忍受的,不过却常在行动中出现。

        以上是一些梦思(其前身是架建于理智的基础)在梦运作过程中最显著的异常步骤。我们以后将看到这些程序的整个重点是放在使潜能变为可动的,同时能加以释放。至于这些潜能所附着的精神元素,其内容真正的意义却不被重视。我们亦可以这么假定:凝缩作用以及妥协之产生是为了促成退化作用,即使思想转变为影像的作用。至于某些梦的分析,还有梦的合成,如“Autodidastes”的梦,虽然不具有后退现像所产生的影像,却也仍然和别的梦一样,具有同样的转移与凝缩作用。

        因此,我们可以达至这样的结论,梦形成和两种基本上就不同的精神程序有关。其中一个产生完全合理的梦思,和正常的思想具有同样的真理性,而另外一种则以最迷乱、最不合理的方式,来处理这些思潮。我们已经在第六章的讨论中,把第二种精神程序称为梦运作本身。对这精神程序的来源,我们有何可说的呢?

        如果我们早先没有深入了解心理症的心理——尤其是那些歇斯底里症的——那么我们就不可能回答此问题。由这些研究,我们发现一个同样不合理的精神程序在歇斯底里症状的产生上占据着主要的地位。在歇斯底里症中,我们开始的时候也只是看到一些完全合理的思想,和意识的思想一样正确,而这第二种形式的存在,我们无法找到,只能在后来的追踪研究中发现出来。借着对病人症状的分析,我们将发现这些正常的思想受到不正常的处理:它们借着凝缩作用及产生妥协,借着表面的联系,在不顾矛盾的情况下,经由后退现像的小径转变成为外面所表现的症状。由于梦运作的特征和那些产生心理症症状的精神活动是完全一致的,所以我们把歇斯底里症的结论借用在梦上。

        我们由歇斯底里的理论中,借用下述的主张:一个正常的思想串列只有在下述情况才会受到前述异常的精神处理,即当一个源于幼童时期而且遭受潜抑的潜意识愿望转移到思想上,这思想才会得到此种精神处理。我们曾经假设产生动力的梦的愿望皆源于潜意识(这和上面的观点是一致的),不过我们曾经说过这假设虽然无法驳斥,但也不是完全正确的。

        但为了要解释潜抑——一个我们已经用过那么多次的字眼——我们必须要更进一步去探讨我们的心理建架。

        我们已经提过关于原始精神装置的假设(见第七章丙节),其活动是避免激动的堆积,以及使自己尽可能地维持在平静的状态。因为这个理由,所以它的建造蓝图是据反射装置。

        而行动的力量——本身就是一种引起身体内部变化的方法——则受到它的操纵。然后我们继续讨论“满足经验”所引起的精神后果。而在这点上,我们又加入第二个假说:激动累积(如何达到累积效果,我们暂时可以不管)的感受是痛苦的,同时它使装置发生作用,想着以重温满足的经验——即减少激动,并且产生愉快的感觉。精神装置内的这道主流——由不愉快流向愉快,我们称之为愿望。我们断定只有愿望才能使这装置产生行动,而愉快与痛苦的感觉则自动地调节激动的路程。第一个愿望的发生也许是“满足记忆”幻觉式的强化印像。不过这种幻觉,除非能够得到完全的消耗,否则无法使需求停止,因此也就无法借完成而得到愉快的感觉。

        因此我们需要第二种活动,或称为第二个系统活动。它使记忆的潜能不至于超过知觉范围,束缚着精神力量,并且把由需求而来的激动加以改道,使它循看一条团团转的路,直到最后借着一种自主的行动操纵外在世界,使个体能够真正地感觉那引起满足的真正“对像”。我们在精神装置的图解中,就只提到这里。这两个系统就是我们在完全发展的装置内所谓潜意识和前意识的根源。

        为了能够用行动将外在世界适当地予以改变,我们必须在记忆系统中堆积一大堆的经验,以及许许多多由不同的“有目的的概念”和这堆记忆材料所产生的永久性关联。于是我们就能将假设向前推进一步。这第二个系统的活动是在永远借着摸索的前进中,交互地送出或收回潜能。它一方面需要不受拘束地管理各种记忆材料,但由另一方面来看,如果它沿着各个思想小径送出大量的潜能,那么将使它们随意漂流而毫无效果的浪费掉,并且减少了那用以改变外在世界的力量。所以我如此假定(为了效率的缘故),这第二个系统将其大部分能量置于一种静止的状态,而只利用一小部分于转移现像上。我还不太了解这些程序的机转;不过任何一位想真正了解这概念的人必须在脑中有个实体的类比,即想像神经细胞激动时所伴随的行动。我要强调的概念是,第一个系统的活动是使激动的能量能够自由地流出,而第二个系统则借着由此而产生的潜能,将那激动流出口堵住,并把它转变为静止的潜能,同时提高其能量。因此我假定第二个系统控制激动所遵循的途径和第一个系统必大不相同。

        当第二个系统在其试验性思想活动中达至结论后,它即解除抑禁,并且把堆积起来的激动加以释放以产生行动。

        如果我们把抑制第二系统内“潜能的解除”和“痛苦原则”〔29〕调节功能的关系加以比较,那么就可以得到一些有趣的结果。现在让我们先指出满足的死对头——即客观的恐怖经验。让我们假设,某知觉刺激于此原始装置,并且是痛苦的来源。因此即产生不协调的运动行为,直到最后某一个动作使此装置和知觉分开,同时也远离了痛苦为止。如果知觉再度出现,这动作立刻又会再度出现(也许是种逃难的动作),直到知觉又再消失为止。在这情况下,没有任何倾向会以幻觉或其他的方式去增添痛苦来源之知觉的潜能。相反的,如果有什么发生而使得此令人困扰的记忆图像重新显现,这原始装置会立刻把它再度删除,因为这激动的流入知觉会产生(或更精确地说开始产生)痛苦。这种记忆上的回避——不过是重复了此知觉逃避——亦被下列事实所协助,即回忆不像知觉,这没有足够的力量来唤起意识,因此不能吸取新鲜的潜能。这种借着精神程序不花力气,以及经常回避那曾经产生困扰的记忆提供我们一种原型,以及第一个精神潜抑的例子。这是一个常见的事实,即回避那些令人困扰的刺激——鸵鸟政策——仍能在具有政党精神生活的成人中见到。

        因为痛苦原则的结果,第一个系统不能将任何不愉快的事带入其思想内容中。它除了愿望以外,什么都不能做。如果一直停留在这点上,那么第二个系统的思想活动必定遭受阻碍,因为它需要很自由地和各种经验的记忆交通。因此产生两种可能。第二系统也许完全不受痛苦原则的约束,因此能够继续进行而不会受到不愉快回忆的影响,或许它有办法使不愉快的记忆无法将不愉快的情绪释放。我们要删掉第一种可能,因为痛苦则很清楚地控制着第二系统的激动过程(和第一系统中的一样)。所以只剩下一个可能,即第二系统转移潜能的当时亦抑禁了记忆激动的产生,这当然包括不愉快感的产生(可以和运动神经传导相比)。

        因此从两个不同的起点,根据痛苦的原则以及前面所提的消耗最少潜能的原则,我们都能够得到同样的结论,即第二系统的潜能同时产生激动传导的抑禁。让我们牢牢记住(因为这是了解潜抑定律的钥匙):第二系统要在能够抑制住某一概念所发生的不愉快感觉时才能将潜能传移给它。任何一个能够逃离抑制的都无法为第二系统以及第一系统所接近。因为痛苦原则的关系,它很快地就被删除掉。这种不愉快的抑制并不一定会彻底,不过它必须产生一个开始,因为这样才能让第二系统知道此记忆的性质,关于它是否适合思想程序所找寻的目的。

        我要把第一系统内进行的精神程序(步骤)称为“原本步骤”,而那由第二系统的抑制所产生的程序称为“续发步骤”。我还能指出另外一个理由,为何续发步骤要改正原本步骤。原本步骤努力地想产生激动的传导,因为借着如此堆积起来的激动,它能建立“知觉仿同”(请看本章丙节)。然而,续发步骤舍弃了这个意图,而以另一个来取代其位置——即建立“思想仿同”。所有的思想都是由某个满足的记忆(被当作是有目的概念)绕道而达至同一记忆的相同潜能——希望借着运动经验的媒介而再度获得。思考所关心的是概念之间的相互联系,以及妥协的产物,都是达到仿同目标的障碍。因为它们以某一概念取代另一概念之后,就把原来通向第一个概念的通道弄歪。所以像这类的步骤都是续发性思维所极力避免的。我们也容易看出来,“痛苦原则”虽然在另一方面提供思想步骤许多最重要的指标,但是在建立“思想仿同”时却是一大阻碍。因此,思想步骤的倾向一定是要由“痛苦原则”的规定中解脱出来,同时将感情的发展降低到最小,使它刚刚足以产生信号即可。借着意识的帮助得到过度的潜能后,思考才能达到这精练功能的目标(请参阅第七章己节)。不过我们很了解,即使在正常精神生活中,这个目的亦很难达到,而我们的思考仍然因为痛苦原则的影响而时常发生错误。 

        然而这思想(续发思考活动的产物)成为原本精神步骤的对像并不是我们精神装置的功能性缺陷(这个方式可以用来解释梦以及歇斯底里症的产生)。这个缺陷源于我们发展历史中的两个会合的因素。其中一个完全属于精神装置,因此对这两个系统的关系有着决定性的影响,另外一个因素的作用则是波动性的(时大时小),将机质性的本能力量带入精神生活来。这两个因素都是起源于童年,而且是自幼年开始,我们的精神和身体器官所产生变异的沉淀物。

        当我把精神装置内的一个精神程序称为“原本步骤”的时候,我不单单是对其重要性和效率考虑,我还想以其命名来显示发生时间的前后。据我们所知,没有一个精神装置只具有原本步骤,所以这样的一个装置只是理论上的虚构物。但下面这点倒是事实的:在精神装置中,原本程序是最先出现的,而续发步骤则在生命的过程当中慢慢成形、抑制并且掩盖过原本步骤,不过要完全地控制它可能要到壮年的时候。因为这续发步骤出现得慢,所以我们的核心(由潜意识的愿望冲动所组成)仍然是前意识所无法到达、了解,或者是抑制的,而后者则受到一经决定就无法予以变更的限制并成为传导潜意识愿望冲动的最适当途径。这些潜意识的愿望对前意识的精神趋向能够加以强迫的压力,这是后者所必须服从的,不过后者也许可以努力地将这些潜意识力量叉开,并将之引导到更高层的目标。续发步骤较晚出现的另一个结果是前意识的潜能无法进入广大的记忆材料内。

        在这些源起于幼年时期不能被毁灭或抑禁的愿望冲动间,某些愿望的满足是和续发性思考的“有目的的概念”相冲突的,这些愿望的满足因此不再产生愉快的感情,反而是痛苦。

        这种转变的感情正是我们所谓的“潜抑”的基本。潜抑的问题是它为何发生此种转变,以及基于何种动机的力量。但对这问题,我们在这里只要轻轻碰一下就好了〔30〕。我们只要知道这种转变在发展的过程中产生——我们只要回忆孩童时期如何发生厌恶感,而这本来是不存在的——而且和续发系统的活动有关。那些被潜意识愿望借以释放情感的记忆,既然不会为前意识所接近,因此附于此等记忆的情感的释放亦不会受到它的抑制。所以即使把附在它们上面的愿望能量转移给前意识思想,前意识思想亦因为这种情感的起源而无法和它接近。 

        反过来,“痛苦原则”却支配大局,使前意识远离这发生转移的思想。因此它们就被遗弃了,所以许多幼童时期的记忆一开始就被前意识疏远了,这是潜抑的必须情况。

        最理想的情况是不愉快的感情在前意识内。因为思想转移失去潜能后就停止产生了,这结果表示痛苦原则的参与是有用的。但是当潜抑的潜意识愿望接受机质性的加强,然后再转移给被转移的思想后,情形就不一样了。在这种情况下,即使失去了前意识的所有潜能,这转移能量所造成的激动亦使这些思想企图冲出重围,于是产生防卫性的挣扎。因为前意识加强它对潜抑思想的抗拒(即产生“反潜能”),而后这被转移的思想(潜意识思想工具)经由症状产生的妥协状态达到其突破的目的。但是当这潜抑思想受到潜意识思想的强力资援,同时又被前意识潜能遗弃后,它们就受原本精神步骤的控制,而目标则是运动行为的产生。

        或者,如果可能则会使知觉仿同造成幻觉式的后现。我们大概知道,前述这些不合理的步骤只能发生于潜抑的思想。现在我们又能看得更深一层,那些发生于精神装置中的不合理步骤是根本的。只要概念被前意识所舍弃,让它自生自灭,并且由潜意识不受压抑的能量所转移(而这潜意识努力地找出口),他们就会发生。其他一些观察亦能支持我们的观点——这些被称为不合理的,并非是指正常步骤的错误(所谓理智错误),而是那由抑制解放出来的精神装置的活动方式。因此我们发现统驭由前意识激动转变为行动之间的还是同样的步骤,而前意识思想和文字之间的连结也很容易出现同样的转移和混淆。这我们常归咎于不注意。最后,要抑制这些原始形式的功能,需要更多工作(能量)的证据存在于下列的事实中:如果我们让这些力量突破到意识层,则会产生一种滑稽(一些要借着笑声而释放的过多能量)的效果。

        有关心理症的理论指出下面这个不变以及无疑的事实,即只有幼童时期而来的性愿望冲动,在孩童的发展过程中受到潜抑后,曾在后来的发展中重新复活过来(或许是源于起始是双性的性体质的关系,或者是性生活过程中不良影响),所以可供给产生各种心理症症状的动力。只有推论到这些性力量,我们才能把潜抑理论中仍然存在的隐缝塞住。对于这些性的以及幼童时期的因素是否同样的适用于梦理论的问题,我将不予回答。我没有完成后者的理论,因为在假定梦愿望永远是由潜意识中而来的时候,我已经超过我能解说的地步〔31〕。 

        在此我也不想再深究形成梦和歇斯底里症之间的精神力量有什么不同。我们对任何一个仍然没有足够的了解。 

        另外还有一个地方我认为是重要的,而我要承认,我是因为这点才能导出有关两个精神系统的讨论——它们的运作方式以及潜抑的事实。现在的问题不是我是否能将这和大家有关的心理因素造成一个适当而且正确的概念,或者(相当不可能)我的看法是否歪扭以及不完全的。虽然在判断精神审查制度和梦内容的合理与异常的修正中,我们会造成许多变异,但以下这些一定还是事实。在梦的形成过程中,这类的步骤必定在运作,而它们的基本是和歇斯底里症的形成是同类的。然而梦并非是病态的,它并没有显示任何精神平衡的困扰,而且它也不会发生效率被破坏的结果。也许有人认为不能由我的梦或者是我病人的梦中得到全体有关正常人的梦之结论,但我相信这个反对是不值得一提的。因为我们可以由所见的现像推论它的动机力量,结果会发现心理症病人所应用的精神机转并非新创,而是早已存在于正常装置之中。这两个精神系统,控制二者之间通道的审查制度,其中一个活动对另一个的抑制与掩盖,以及二者和意识层的关系——或者其他对此观察到的事实的更正确解释。这些都形成我们精神工具的正常结构,而梦则指出一条让我们能了解这精神构造的路。即使很保守地局限于已知的确定知识的范围,对梦我们仍然可以这么说:它们证实了那些被压抑的东西仍然会继续存在于正常或异常人的心灵中,并且还具有精神功能。梦本身即是此受压抑材料的一种表现。理论上来说,每一梦例都应是如此的。由实际的经验看来至少可以在大部分的情况中找到,尤其是那些表现出最明显的梦生活之特征者。在清醒时刻中,由于矛盾态度的相互中和,所以心灵中被压抑材料无法被表达,并且无法被内部的知觉所感受,但是在晚间,却由于冲力对妥协结构震撼的结果,这被压抑的材料找到进入意识的方法与路途。

        Flecteresinequeosuperos,Aovebo〔32〕(如果我不能影响神祇,那么我亦要搅动冥界。)

        梦的解析是了解潜意识活动的大道。借着梦的分析,我们能够了解这最神秘最奇异的构造。无疑地,这只是一个小步,但却是个开始,而且这个开始使我们能够更进一步分析(也许基于其他我们称为病态的构造)。而疾病——至少那些正确的被称为官能性的——并非表示这装置的解体,或者在内部产生新的分裂。它们需要有动力的解释,即在各个力量的相互作用下,有些成分被加强,有些变弱,因而许多活动在正常机能下不会被察觉。我希望在别处能够显示这两种机构合成的装置,这样要比只有其中一个来得更为优越〔33〕。 

     第七章-己、潜意识和意识——现实

          己、潜意识和意识——现实 

        如果更仔细地想一下,那么将会发现前章的心理讨论使我们假定有两种激动的程序或者解除的方式,而不是两个靠近装置运动端的系统。但这对我们并没有太大的影响,因为我们如果发现一些更恰当以及更靠近那我们所不知的真理的事实时,我们必须随时把以前的概念架构加以改变。所以让我们来改正一些错误的观念(如果我们把这两个系统很简明地当作是精神装置的两个位置)——如“潜抑”与“突破”中所蕴含的这些错误观念的痕迹。所以当我们说某个潜意识思想寻找机会进入前意识,然后突破而入意识界的时候,我们脑海中所想的并不是在新的地方形成新的思想(像副本由原本复印出来,两本共同存在的情形),而那个突破入意识的概念也并不指位置的改变。同样的,我们也可以说前意识的思想被潜抑或由潜意识所驱逐而加以取代。这些意像(借用争夺一片工地的观念)很容易使我们认为某个地点的精神集合真的消逝,而以另一个新据点的集合来代替。现在让我们用一些和现实更接近的东西来替代此种类比:某些特殊的集合具有潜能,可以再增加,也可以减少,因此这结构就能够受到某特殊机构的控制或者脱离之。在这里我们用一种动力学的观念来取代前述的区域性理论,即我们认为可更动的不是精神构造本身,而是它的“神经分布”〔34〕。

        然而我认为我们可以一起利用此二系统的两种类比影像——这是合宜而且正当的。如果把以下的观念放在脑海中,那就可以避免任何滥用此种表现方法的可能:概念、思想以及精神构造一般来说不应该认为是坐落于神经系统的任何机质元素上,而是(可以这么说)“在它们之间”,而各种阻抗以及便利的道路形成了相对应的关联。能够成为内在知觉的任何对像都是“虚像”——假的,和望远镜借着光线的折射所造成的影像一样。但我们把这系统——本身并非精神的,而且永远无法为我们的精神知觉所察觉——看成像望远镜投影的镜头那类东西,是合理的。而如果我们继续比较时,我们可以两种系统之间的审查制度比喻成光线由一介质进入另一新介质中所发生的折射作用。

        到现在为止,我们只是靠自己的摸索来发展我们的心理学。接下来我们应该考虑那些盛行于现代心理学的定律,并且检查它们和我们假说间的关系。利普士在他那有影响力的文章中曾表示,就心理学来说,潜意识问题比较不是心理学上的问题。只要心理学家漠视此问题,认为“精神”指的是“意识”,而潜意识的精神程序则是明显的“无意义”,那么医生对不正常精神状态的观察则不可能用心理学去评价。医师和哲学家只有互相承认所谓“潜意识的精神程序是一个确定的事实”后才有可能合在一块。如果有人对医生说,“意识是所谓精神不可缺少的特征”,那么他只好耸耸肩膀,不过如果他对这些哲学家的话仍然具有足够的信心时,他也许可以这么假定,我们和科学上所追究的并非是同样的问题。因为是对心理症病人精神生活有一点了解或者是对梦做一个分析一定能使任何人产生很深刻的印像,即那些最繁杂以及最合理的理想程序——并且无疑是对精神程序——能够在不引起意识的注意时而产生〔35〕。当然,这是真的:医生只有在那能够交通和被观察的意识界中形成某种影响之后,才能够学到潜意识的程序。但在这意识呈现的结果也许是个和潜意识不一样的精神特征,以至于内在知觉无法辨别乙乃甲的取代物。医生们必须自在地借着潜意识程序对意识的影响中,以“推论”的方式继续深处了解。借着此种方法,他发现意识效果只是潜意识的一个遥远(按即次要的)的精神产物,而后者不单单是以此种方式呈现在意识界,而且它的出现与运作常常为意识所不知。

        我们必须放弃这种高估的想法,即意识乃是真正了解精神事件不可或缺的基本。就像利普士所曾说过的,潜意识是精神生活的一般性基础,潜意识是较大圆圈,它包括了“意识”

        这小圆圈;每一个意识都具有一个潜意识的原始阶段;而潜意识也许停留在那阶段上,不过却具有完全的精神功能。潜意识是真正的“精神实质”。对于它的内在性质,我们和对外在世界是真实一样的不了解。而它经由意识和我们交往,就和我们的感觉器官对外在世界的观察一样的不完备。

        当我们舍弃了意识生活与梦生活之间的对立,以及将潜意识放在它应占据的地位时,许多早期作者有关梦的重要问题都失去了意义。因此许多使我们惊奇的在梦中成功呈现的活动不再被认为是梦的产物,而是属于潜意识的思想——它在白天的活动并不少于晚间的。如果像歇尔奈尔所说的那样,梦只是玩弄着一些身体的像征性表现,那么我们知道,这些表现是某些特定潜意识幻想的产物(这也许源于性的冲动)。它们不但表现于梦中,并且呈现在其他歇斯底里性恐怖和别的症状上。如果梦中继续进行着白天的活动,完成它,并且带来具有价值的新观念,那么我们所要做的便是将梦的伪装撕除。此伪装是梦运作和心灵深处不知名力量协助下的产物(如Tartini奏鸣曲之梦中的魔鬼〔36〕,其理智上的成就和白天产生同样结果的精神力量是完全相同的。即使在理智以及艺术的产物上,我们也许亦倾向于过分的强调意识的部分。由某些生产特别旺盛的作家报告看来,如歌德和荷尔姆赫兹,他们创造中的那新的以及重要的部分是整体的呈现在脑海中,而不是经过一番思考的。当然在别种情况下(需要每个理智成分的专注时),意识活动亦有部分的贡献。这没有什么值得奇怪的。但不管何处,只要意识参加一份,它就将其他的活动遮盖起来,这是它滥用了的特权呀!

        把梦的历史性意义以一个独立的题目来讨论似乎是不值得的。譬如说,也许一个梦促使某个领袖去做一些大胆的尝试,它或许改造了历史。那么只有在认为梦是一种神秘力量,并且和常见的精神力量不同时,才会产生此问题。如果把梦视为在白天遭受阻抗的冲动的“一种表达方式”(在晚间被心灵深处的激动来源所加强),那么这问题也就消逝无踪了〔37〕。古人对梦的尊崇都是基于一种正确的心理认识,这是对人类心灵中不可控制以及无法摧毁的力量的崇拜——那个产生梦愿望的“魔鬼”以及在我们的潜意识中运作的力量。

        在提到“我们的”潜意识时,我并非没有任何目的。因为我所描述的和其他哲学家所谓的潜意识不同,甚至和利普士的亦不一样。对他们来说,这个名词仅仅是意识的相反词;这个他们以同样的热诚、精力去赞成与反对的论题乃是——除了意识以外,必定还有潜意识的精神力量。利普士更进一步断言,所有属于精神的都是存在于潜意识中,而其中的一部分亦同时存在于意识中。但是我们集中这些有关梦和歇斯底里症的现像并非为了证实这理论,因为对正常清醒时刻生活的体验就足够证明它的正确性。由精神病理学构造以及此类的第一成员(梦)的分析所得的新发现乃是潜意识——属于精神的——是两个不同系统的功能组合。

        正常人如此,病态的人也一样。因此就有两种潜意识,今仍未为心理学家们所分辨。由心理学上的用法来说,它们都是潜意识的,但从我们的观点看来,其中一个被称为潜意识,是无法进入意识层的,而另一个我们称为前意识,因为其激动——在满足某些规定,或者经过审查制度的考核之后——能够到达意识界。关于此激动到达前必须经过连串固定机构(我们可以由审查制度的所产生的改变看出它们的存在)的事实,使我能够以一种空间的类比来描述它们。在前面,我们已经描述过这两个系统的相互关系,即前意识立于潜意识与意识之间,像一道筛子。前意识不但阻隔了潜意识和意识的交通,并且控制随意运动的力量,负责那能变动的潜能的分布——其中一部分所谓的“注意力”是我们所熟悉的。

        另外,我们必须要分辨超意识和下意识之间的不同——这于强调精神和意识之间的相同。

        那么意识所剩下来的角色又是什么呢?(它一度曾是那么全能,隐瞒着一切)。只有那些用来察觉精神性质的感觉器官了。根据我们那图解的基本概念看来,我们只能把意识感觉看成一种特殊系统的功能,因此这缩写“意识(cs)”是合宜的。由其物理性质看来,我们认为这系统和知觉系统很相像,因为它能接受各种性质的刺激,但是却无法保留变更的痕迹——即没有记忆。以其知觉系统的感觉器官指向外在世界的精神装置,对意识的感觉器官来说,本身就是一种外在世界,而意识存在的目的即靠着这个关系。这里我们又再接触到各种机构——似乎是统治着精神装置结构的——组成统治集团的原则,激动的材料由两个方向流向意识的感觉器官:①由感觉系统——其激动取决于刺激的性质——而来。也许在变为意识感觉之前,先经过新的润饰。②由精神装置的内部而来。当经过某些更改之后,它们进入意识,而其步骤的数量是以快乐和痛苦的质量被感觉出来的。

        那些发现理智以及极其繁杂的思想结构不必经过意识亦可能产生的,哲学家们于是感到彷徨,不知道意识到底具有何种功能。在他们看来,它不过是整个精神步骤多余的镜影。但是我们却借意识系统和知觉系统的类比避开了这尴尬。我们知道感觉器官的知觉将注意力的潜能集中在那传导感觉刺激的输入途径中,知觉系统不同性质的刺激是精神装置运动量的调节物。我们亦可以认为意识系统的感觉器官亦具有同样的功能。借着对愉快与痛苦的察觉,它影响精神装置内潜能的路线,否则此路线将是一种借着潜意识的转移而运作。痛苦原则很可能是第一个自动调节潜能转移的因素。但是对这些性质的“意识”,很可能导致第二种而且更微妙的调节,甚至可以反对第一种。为了使装置的功能臻于完善,不惜冒看和原先计划相反,引导并且克服那些会产生痛苦的关联。由心理症的心理看来,我们发现这些由感觉器官因为不同性质刺激所引起的调节程序占了此种精神装置功能的重大部分。原始的“痛苦原则”的自动统辖以及效率上的限制,受到感觉调节的中断(它的本身亦是自动的)。我们发现潜抑(虽然开始有效,不过后来终于失去抑制力以及心灵的控制)比知觉更容易影响记忆,因为它不能由精神的感觉器官得到更多的潜能。我们知道,一个要被删除的思想不能变为意识,因为它受到潜抑;另一方面,此种思想有时候之所以受到潜抑是因为别的理由而将它退出意识层。下面是一些解开潜意识症结所能利用的治疗程序。

        意识的感觉器官对于那数量可以变更的潜能调节造成过强潜能的价值,可以由下面的事实表露出来,即产生一些新的性质,因此带来一些新的调节。这些造成人类优于动物的原因。思想程序本身是不具有任何性质的,除了伴随着愉快或痛苦激动。我们知道必须加以某些限制,因为它们可以打扰思想。为了要使思想程序具有性质,在人类来说,它们必须和文字记忆相关联——其剩余的性质足以吸引意识的注意因而从意识赋予思想程序一种新的,可更迁的潜能(请参阅第七章)。

        只有借着对歇斯底里症的思想程序加以分析,我们才能了解意识问题的多面性。由这里我们可以得到这样一个印像,即由前意识潜能移形到意识时亦有个类似于潜意识与前意识之间的审查制度〔38〕。同样的,这个审查制度亦透过某个数量的限制后才发生作用,因此具有低能量的思想构造就逃离它的控制,我们可以在心理症状中找到许多不同的例子。这些例子显示出某个思想为何不能进入意识,或者为何能在某种限制下挣扎进入意识。这些例子都指出审查制度和意识之间的密切以及彼此相反的关系。下面我将用两个例子来结束我对这问题的讨论。

        几年前,我有个机会和一位病人交谈,她是个聪慧的女孩子,不过脸上却显露着一种单纯而冷漠的表情,她的衣着很奇怪。因为一般说来女人对衣着都很仔细,但她的一边袜子下垂着,罩衫上的两枚纽扣也没有扣上。她说脚痛,我没有要求说要看,可是她却露出她的小腿。她说她主要的困扰是(根据她的说法):她身体内有一种感觉,她像有些东西在里面“刺”,“前前后后的动作”一直不停地“摇摆”着她,有时使她全身“硬绷绷的”。当时我一位医学同事也在场,他望着我,很显然的他了解她主诉的意义。但令我感觉惊异的是,病人的妈妈对这一切全然不在乎,虽然她一定常常处于她孩子所主诉的情况下。这女孩全然不知她自己的话里面所含的意义,要不然她不会说出来。在这个例子中,审查制度很成功地被钩住,因而让一个本来会被困在前意识内的幻想借着伪装的无邪的主诉出现了。

        以下是另外一个例子。一个十四岁男孩患着挛缩性抽搐、歇斯底里性呕吐、头痛等,而来找我做精神分析。我这样开始对他的治疗:要他把眼睛闭上,然后如果见到什么影像或者有什么思想则立刻告诉我。他以对影像的描述来回答——他来见我以前最后的那个印像在记忆中浮现。那时他正和叔叔玩像棋,看着面前的棋盘,他想到几种情况,有利或者不利的,和一些不安全的下法。然后他看见棋盘上有一把匕首——一个属于他爸爸的东西,不过却在他的幻想下,置于棋盘上。接着是一把镰刀,然后是大镰刀,然后是一位老农夫在他家的远处用大镰刀修剪草地。过了好几天,我才发现这一系列图像的意义。这位小孩因为家庭的不愉快而感到困扰,他爸爸是个粗鲁容易发脾气的人,和病人妈妈的婚姻并不和洽,而且他所受的教育中具有太多的“威胁”。他爸爸和母亲离了婚——她是一位温柔、富有感情的女人,后来又再度结了婚。有一天他爸爸带回一位年轻女人,那是这病人的新母亲。几天后,这孩子的病就开始发生。他对父亲的恨被压抑后产生上述一系列图像,其暗喻是很明显的。

        它们的材料源于神话的回忆。镰刀是宇宙之神宙斯阉割他父亲的东西;大镰刀和老农夫的景像代表那残暴的老人克洛诺司,他把自己的孩子吃下肚,对他的行为宙斯给予如此不孝的报复(请见第五章)。他父亲的再婚给孩子一个机会去报复他父亲很久以前所给予他的责备和威胁——因为他玩弄自己的性器(请注意:下棋、不安全的下法(被禁止的行为)、可伤害人的匕首。)。在这例子内,长期被潜抑的记忆及由此记忆所导衍出来的东西一直存在于潜意识中,现在却用一种绕圈子的办法,以一种表面无意义的图像来溜入意识内。

        如果有人问梦的研究到底有何生理上的价值呢?我的回答是:它对心理学知识有所贡献而且是投射到心理症问题的曙光。有谁能预言对精神装置的构造和功能彻底了解是具有何其重大的意义呢?因为即使在今天这种不全了解下,我们仍可用于能治疗的心理症,并且获得很好的治疗效果。但是把这个研究当作是了解心灵以及每个人隐匿着的性格之工具——我听过这样的问题——究竟有何种实际上的意义呢?由梦所泄露出的潜意识冲动是否显示出生活中真正力量的重要性呢?压抑愿望中的道德意义是否不要予以重视,它们现在创造了梦,以后会不会创造别的东西?我不认为自己能够回答这些问题,因为我并没有深入地研究有关这方面的梦的问题。不过,我认为罗马皇帝将他的一名百姓处死——因为梦见谋杀皇帝——是错的。他应该先找出此梦的意义,而这意义极可能和它表面不同。也许具有另一种内容的梦,实际上含着此种弑君的意义。我们难道不应该认为以下的说法是对的吗?——柏拉图曾断言善良的人满足于“梦见”坏人实际干的事。所以我认为梦应该被赦免。至于这些潜意识的愿望是否应该变为真实呢?我就不敢说了。不过那些中间的以及移形的思想则必然不应是真实。如果潜意识以其最真实的形貌出现在眼前,我们仍然毫不犹豫地如此决断,精神的真实也是种特殊的存在,不应该和物质上的真实混为一谈。因此,人们拒绝接受其梦境的不道德似乎是不必要的。在了解我们精神装置的功能以及认识意识和潜意识之间的关系后,我们梦中生活的不道德部分和幻想的生活就会大部分消逝无踪。沙克斯曾说:“如果回到意识中去寻找那些梦告诉我们关于一个现实情况的东西时,我们应当不会感到惊奇。如果分析的放大镜使我们发现所谓的庞然怪物不过是微细的小虫而已。”

        在判断人类性格的实际用途上,一个人的行为和实际表达出来的意见就足够做为参考了,尤其行为更应该是第一个被考虑而且是最重要的。因为许多进入意识层的冲动在未付诸行动前就被精神生活的真正力量中和掉了。事实上,这些冲动在进行时候常常不会遇到什么阻碍,因为潜意识确定它们在某个阶段中必定会被删除。不管怎样,由这些我们美德骄傲生长着的(经过极其仔细地耕耘的)土地上学习,是有益的。因 为复杂的人类性格——被动力向各方向推动——很少像古老道德哲学上所提的简单二分法。

        那么梦是否能预示将来呢?这问题当然并不成立,倒不如说梦提供我们过去的经验。因为由每个角度来看梦都是源于过去,而古老的信念认为可以预示未来,亦并非全然毫无真理。以愿望达成来表现的梦当然预示我们期望的将来,但是这个将来(梦者梦见是现在)却被他那不可摧毁的愿望模塑成和过去的完全一样。 

        ————–●注释: 

        〔1〕请看拙著《日常生活的心理分析》,第十二章,关于写信给弗氏,我预言此书有二千四百六十七个错误。

        〔2〕齐格飞的身体只有一个地方能受到伤害。而哈根借着一个诡计,促使克宁希在齐格飞外套上相当于此重要地点绣上一个小十字(只有克宁希知道秘密),后来哈根就根据这记号而把齐格飞刺死了。

        〔3〕下面这个在我的“精神分析导论”的讲演中引用的梦说明了梦中的疑问与不确定的意义,以及其内容改变成为一个单元的现像。虽然如此,在经过一段时间地阻隔后还是能很成功地被分析。 

        一位怀疑心颇重的女士做了很长的梦。“梦境中,有些人和她提起我那本关于玩笑的书,并且评价很高。然后有一个好像关于通道的想法,也许这是基源另一本提及(el)的书,或者是一些关于通道的事……她不知道……一切都不明显。” 

        无疑的,你会认为“通道”这个元素是不能接近,而且也是不可解释的,因为它是如此不明确,在察觉“遇到难题”这点上,你是对的;不过这困难并非由于不明显而来。困难,不明显反而源于另一原因。梦者无法把“通道”和别的事物相连,当然我也无法加以解释,过了不久——事实上是第二天——她告诉我她想到某些也许和她有关的东西,那是一个笑话,一个她听过的笑话。在英法的Dover与Calais之间的渡轮上,一位知名的作家与某英国人攀谈起来。后者引用了一句话“Dusub-limeauridiculeiln’yaqu’unpas”(升华与荒谬之间只是一步之差而已)。“是的,lepasdeCalais”作者回答道,意即他认为法国升华而英国则荒谬可笑。但是PasdeCalais是个通道(水道)——在英国的部分。你也许会问,我是否认为这和梦有关。当然;它并且提供了此梦费解部分的解答。难道你不觉得这个笑话在梦发生前早已存在,并且是藏在“通道”后面的潜意识想法吗?难道你认为这乃是后来加上去的发明?二者之间的关系泄露了病人表面仰慕所遮瞒的怀疑;而她的阻抗无疑造成迟延将此故事说出以及使这梦元素变为不明显的原因。仔细考虑这梦元素与其潜意识背景的关系,我们发现它是该背景的一部分,是它的暗示,不过却因为隔离而使它变得不被理解。 

        〔4〕请参阅《日常生活的心理分析》(林克明译)第一章“关于遗忘的心理机转”。 

        〔5〕“这事情顺利吗?”这是旧的医学用语,意即“排泄物是否正常。” 

        〔6〕孩童早年所做的梦,常常记忆鲜明地留在脑海里。这些梦对了解当事人的精神发展与其心理症的产生上具有极大的重要性。对于此种梦的解析因此能使医生免于错误与不确定,从而避免产生理论上的混淆。 

        〔7〕这原则当然也可以应用在那些梦内容公开展露着表浅联系的情况上,如毛利记载的两个梦:“他梦见自己是耶路撒冷或是麦加的朝香客。经过好多冒险后,他拜访化学家pelletier,和他谈一阵后,这位化学家送给他一把锌制的铲子,然后这东西又变成一把宽剑。在另外一个梦里,他在高速公路上漫步,一面数着里碑上的公里数,然后他置身在杂货店,那里有一组很大的秤锤。一位男人正把公斤的秤锤子加在秤上,因为他要称毛利的体重。后来他向毛利叫道:‘你不在巴黎,而是在Gio-lo。’然后接着几个情景后,他望见lobelia,花,接着是Lopez 将军——他刚在报上看到他死去的讯息。最后当他梦见lotto这游戏的时候,他就醒过来了。”在和心理症的病人工作如此长久之后,我发现此种表现法是他们都乐于利用的。

        〔8〕《日常生活的心理分析》第七章、一一二页的末段,弗氏曾经讨论过他对都德笔下这角色所犯的错误。

        〔9〕如果对这直线形的图表想加以更进一步的分化,那么就必须假定前意识的前面还有意识,换句话说,就是感觉等于意识。

        〔10〕最早提到后退的是十三世纪一位学者AbertusMagnus。他说:“想像借着储藏的感觉印像造成了梦,而梦产生的步骤和清醒时刻恰好相反。”Hobbes亦曾说过:“总而言之,我们的梦乃和清醒时想像的相反。当我们清醒的时候,其动作由一端开始,而做梦时却在另一端。”

        〔11〕它们和所有那些真正属于潜意识的精神活动(即只属于潜意识者)一样,都具有此种不可毁灭的性质。这些通道只要一打开,就永远通畅无阻,不会因为荒废不用而封闭。

        只要受到潜意识刺激的重新戳击,它们就会继续将这激动的程序引发。如果允许我用个比喻的话,这就和奥德赛的残灭的地底世界的鬼怪一样——这些鬼怪只要再饮到人血就会重生。

        那些前意识系统中的程序,以此观点看则是可以破坏的。对于心理症病患的心理治疗原则是建基在这不同点上。

        〔12〕我曾企图更进一步地了解睡眠时所盛行的事物,以及幻觉的情况。这些努力都记载在我的论文“对于梦理论的一些后设心理学上的补充”上(一九一七年)。

        〔13〕这是后来“精神分析”所谓的超我。

        〔14〕一种德国金币。——Krone相当于十马克。

        〔15〕在后来的论述中,弗洛伊德把“转移作用”用来描述另外一种不同(虽然也并非没有关系)的心理程序。他首先在精神分析治疗中发现此种现像——即将原来施于某幼童时期的对像(现在仍然存在潜意识中)转移到现时的一个物像上。

        〔16〕这是所谓的永恒的原则,弗氏在《在快乐原则之外》的前几页曾予以讨论。但在弗氏的早期心理著述中就已经是其基本的假定了。

        〔17〕即一些在感觉上和“满足的经验”完全相同者。

        〔18〕换句话说,必定有一“现实试验”的方法来试验某一事物是否真实。

        〔19〕LeLorrain很正确地表达了梦的愿望达成。他说:“不会产生严重的疲劳,也不会再度经验到那漫长与顽固的挣扎。这挣扎把我们所找寻的愉快都消耗光了。”

        〔20〕我已经在关于这两种主要精神活动——快乐原则与真实原则——的论文中深入地讨论过此种思想串列,这讨论以后将再讨论到。

        〔21〕或者更正确的说,有一部分的症状和潜意识的愿望达成相对应,而另一部分则是那些与愿望相抗拒的精神结构。

        〔22〕杰克逊说:“如果了解所有关于梦的事实,那么就能全部了解精神失常。”

        〔23〕是否这就是梦的唯一功能呢?我不知道别的。梅德曾经审试要显示梦具有其他的续发性功能,他的出发点是基于正确的观察,即某些梦是为了解决冲突,在梦见后真的在真实情况下企图用以解决问题——即梦似乎是清醒时刻行动的试验所。于是他在梦和野兽以及孩子的游戏间画下一道平行线——它们可以被看成是天生本能的练习场所,同时又是后来严肃行动的准备。他并且提出这假说,即梦具有一种“游戏的功能”。在梅德以前,阿德勒亦坚持过梦具有一种“事先想好”的性质(在我一九○五年发表的关于《一个歇斯底里病例的部分分析》中那个梦。我们只能把它当作是表达意愿的梦,因为它每晚一直重复地出现,直到这意图被识破为止)。 

        借着些许的思考,我们就知道这所谓梦的“续发性”功能不应该属于任何梦的解析所要讨论的范围。事先想好形成意愿、造就一些问题的可能解答(而这在后来的清醒时刻里被察觉到),以及其他相似的东西,都是心灵中潜意识与前意识的产物;他们也许以“白天的遗留物”的身分持续进入睡眠中,并且和一个潜意识的愿望连结而形成梦。因此与所谓梦的“事先想好”的功能不过是前意识清醒时刻思想的部分,其产物可借着梦的分析以及其他现像而得以察觉。在梦和其显意很久以来就被混淆在一起的情况下,我们必须小心,免得把梦和隐藏的梦思混为一谈。 

        〔24〕第二个因素是更重要更深入的,但却同样为一般人所忽视。无疑的,愿望达成必定带来愉快,但是却产生这样的问题:“对谁呢?”当然是指对那位具有此愿望者。不过,据我们所知,梦者和其愿望之间的关系是很特殊的。他排挤并且审查它们。简单说来他毫不喜欢它们。因此其满足不会带来愉快,反而是相反的。由经验看来,这相反的情况以一种焦虑的状态呈现(这是需要更进一步去解释的)。因此梦者和他愿望之间的关系可以看成是将两个完全分开的人以一些重要的相同因素结合在一起。我要告诉你一个神仙故事(请参阅第七章丙节),其情境是和前述的一样。一位善良的神仙答应完成一对贫穷夫妇的头三个愿望,他们很高兴,决定要好好地选择这三个愿望。但是隔邻农舍传来的烤腊肠的香味使这妇人动心而想要得到一些,于是在一道闪光下,她的第一个愿望达成而她先生却光火了。在愤怒下,他希望腊肠挂在太太的鼻尖上,这愿望也完成了。而腊肠怎样也无法由这新位置中取下来。这是第二个愿望的满足。但它只是男人的愿望,而其实现却使太太很不舒服。接下来的故事你已知道了。既然他们事实上是一体——先生与太太——那么第三个愿望应该是腊肠离开这位女士的鼻子,这神仙故事可以和许多东西发生关联,不过在这里我只想用来说明:如果两人意见不一致,则其中一人的愿望达成也许带给另一人许多的不快。 

        〔25〕下列的某些言论在弗氏后来发表对焦虑的观点下,是应该加以修正的。

         〔26〕一本以希伯来文和德文写的旧约版本。在第四章关于申命记中有许多木刻的埃及神祇的插图,其中有几个长着鸟喙。

         〔27〕关于性,德文的俚语是“vogeln”,而这是由“vogel”(平常指鸟)变来的。

         〔28〕在我写这本书后,许多这类的材料就陆续出现于精神分析的文献上。

         〔29〕在后来的著述上,弗氏称之为快乐原则。

         〔30〕译注:这题目弗氏后来在他一九二一年的论文《潜抑》中有很长的讨论。对此问题的后期看法则见于他一九三三年“roductorylecture”的第三十二课。 

        〔31〕在这里(别处也一样),我故意地不把我论题的缺陷补好,理由是:一方面要花费很大的努力,另一方面又使我引用那些和梦无关的材料。譬如我删掉了“压抑”和“潜抑”之间是否有不同的意义。但是大家应该很明白,后者较强调对潜意识的联系。我也没有说明为何梦思在放弃进行到意识界的道路,选择后退过程的时候,还要受到审查制度的歪曲。此外还有许多相似的省略。我所急于要做的乃是创造一个问题的概念——这在对梦运作更进一步地分析中会遇到的,同时暗示在进一步分析时所会遇到的题目。决定在什么地方将解释之线索切断并不是易事。有许多特别的原因(也许不是我的读者所能猜到的)可以说明为何我不把性内容在梦中所扮演的地位予以详尽的处理,以至为何我避免分析那些明显具有性内容的梦。由我的观点以及神经病理的定律看来,我都不会把性生活视为可耻,或者是认为医生或科学研究者不应该和它扯上关系。那位翻译Oneirocriticaof ArtenidorusofDaldis的作家,因为道德的理由,而不把有关性梦那部分印给读者看的举动,在我看来是荒谬可笑的。那使我踌躇不前的理由是它将使我涉及我仍然不清楚的性变态和双性的问题,所以我把这问题留待将来。(Strachtey注。那位翻译Oneirocritica的译者克劳斯后来把这部分删去的章节登在他的期刊Anb thropoplyteia上。这本杂志,弗氏曾经引用,并且在别处曾大力赞扬之。)

         〔32〕弗氏认为Virgil这话是想用来表示被压抑的本能冲动的力量。 

        〔33〕梦并非唯一可以形成精神病理基础的心理现像的研究。在一些没有完成的短文中,我曾经企图以许多日常生活的现像得到相同的结论。这些以及其他关于遗忘、说溜了嘴、粗劣的动作等的记载都编在《日常生活的心理分析》一书中。

         〔34〕了解前意识的重要特征乃是和文字表现的遗留物发生关联后,这个观点需要进一步的阐明。神经分布,这是个非常含混的字眼,常常表示构造学上的意义,用来指神经在某个器官或区域的分布情况。弗氏则常用它来表示某一系统或神经的能量传导,或者指一个导出系统——即是一个释放的程序。 

        〔35〕我很高兴在此指出一位作者(DuPrel)对梦加以研究后,他所观察到的意识和潜意识的关系竟和我的结论一样。他这么写道:“关于心灵的问题,我们不得不先回答这基本的疑问(即意识和心灵是否完全相同)。对这基本问题,梦的答案是否定的,亦即心灵这概念要比意识广大得多。就像天上的星星,在它的照明力以外,仍然产生重力的影响一样。” 

        他又说:“这是个事实,意识和心灵所包括的并不一样广大。” 

        〔36〕Tartini是位作曲家和小提琴家(一六九二——一七七○)。据说他梦见“他将灵魂卖给魔鬼后,就抓起一个小提琴,以炉火纯青的技巧演奏了一首极其美妙的奏鸣曲。”醒来后,他立即写下所能记忆的部分,结果写成那有名的“Trillo DeDi-avolo。”

         〔37〕请见第二章注〔4〕中亚历山大大帝包围特洛城而久攻不下时所做的梦。

         〔38〕有关前意识与潜意识之间的审查制度,在弗氏后期的著作中很少再见到。然而,在他那篇《The Unscious》中他却详细地给予讨论。

  • 伯特兰·罗素《西方的智慧》

    目 录

     第一章 开篇 第二章 苏格拉底之前 第三章 雅典 第四章 希腊化时代 第五章 早期基督教 第六章 经院哲学 第七章 近代哲学的兴起 第八章 不列颠经验主义 第九章 启蒙运动与浪漫主义 第十章 功利主义及其以后 第十一章 当代 结束语

     亚历山大的诗人卡尔马丘说: “一部大书就是一大灾难。”对此 我抱有同感,我之所以敢把这本书写出来,是因为就灾难而言,这本 书是不大的。前段时间,我写过一部名叫《西方哲学史》的著作,与 现在的这部主题相同。但我要在此说明的是:《西方的智慧》是一本 全新的书。

    本书试图写成一部从泰勒斯到维特根斯坦的故事概述,并对这些 事迹所涉及的历史背景做出提示。为了说明问题,我在书中收集了许 多与此相关的图片。它至少显示了这样一个优点:它不受任何语种的 约束。

    至于说到再出现一部哲学史著作,我想,基于两个缘由。首先,同时顾及简明和全面的哲学著作极少;其次,目前知识的专门化已成 风尚,对于祖先的智慧已迹近遗忘。本书的目的就是要挑战这种数典忘祖的现象。严格说来,西方的哲学就是希腊哲学,任何试图割断我 们与往昔的这些伟大的思想家之间血脉的思考都是不明智的。对于那 些认为哲学开始于1921年的人,与他们进行希腊哲学的探讨尤其必 要。

    哲学史的写作,要么是纯叙述式的,要么是夹叙夹议式的。本书 采取的是后一种方式,但我要强调的是,不应该让读者因为某位哲学 家的漏洞对其而不予理睬。康德说过,他不担心被证明有错误,却担心被误解。至少,我们应该在明白某些哲学家的思想之后,再将他们 搁到一边。

    本书的资料收集归功于我的编辑保罗·福尔克斯博士,他帮助我 选择图片、设计图表,并帮助我撰写正文。

    本书旨在考察哲学家们业已讨论过的首要问题。如果读者在读完 之后,印象深刻,就达到了我写作本书的目的。

    伯特兰·罗素

    第一章 开篇

    哲学家们究竟做了些什么?这确实是个奇怪的问题,要回答这个 问题,也许我们有必要先揭示他们没有做什么。

    在这个世界上,我们对身边的许多事物都已经十分了解了。比如 蒸汽机的运转方式,这属于力学和热力学知识。我们对人体结构及其 功能也相当熟悉,这些是解剖学和生理学的研究对象。再比如说星球 的运行,我们也了解了不少,这就属于天文学范畴。所有诸如此类有 着明确定义的知识都属于某种具体的学科。

    但是,所有这些知识又全都被未知的领域包围着。如果你越过边界,走入这个未知的领域,你就从科学转向了沉思,这种沉思活动是 一种探索,其中就包含了哲学是什么这个问题。正如我们在后面将读 到的那样,从这个意义上说,科学的各个领域无不发端于哲学探索。 一旦某种科学有了牢固的基础,除了一些边缘问题和方法问题,它会 在发展中不同程度地变得独立。但是换个角度看,探索的过程不会这 样进行下去,它只是在不断地前进,从而找到新的研究内容。

    我们必须把哲学和其他的沉思活动区别开来,哲学本身既不打算 为我们解除烦恼,也不是为了拯救我们的灵魂。正如希腊人所说的那 样,所谓哲学,也就是一种出于自身原因而进行的探险旅行。因此, 原则上并不存在什么教条、礼仪或神圣的问题,尽管个别哲学家可能 会拘泥于教条,变得越来越固执。对于未知的事物,实际上有两种态 度:一是接受人们基于书本、神话或神灵启示所做的声明;二是自己 亲自走出去看一看,而这种方法正是哲学和科学的方法。

    最后,我们可能还注意到了哲学的一个特性。如果有人问我们什 么是数学,我们可以告诉他一个辞典上的定义,出于辩论的需要,我 们可以说数学就是关于数的科学,这样说不仅可以避免非议,而且提 问者也很容易理解,尽管他可能对数学一窍不通。用这种方式,我们 可以就任何一个具体的学科给出定义;但是,我们却不能这样定义哲 学。对哲学所下的任何一个定义都会引起争议,因为它仅仅是某一种 哲学态度的体现。要弄清哲学究竟是什么,惟一的途径就是去研究哲 学。而本书的主要目的也就是揭示以前的人们是怎样研究哲学的。

    人们常常会在心中产生很多问题,而这些问题又无法从科学领域 找到答案,另外,那些有主见、善于独立思考的人也不甘心轻易相信 预言家提供的现成答案。哲学要做的事情正是探索这些问题,有时甚 至是解决这些问题。

    因此,我们可以试着问自己几个这样的问题,比如,生活的意义 是什么,如果真有的话;世界的存在是否有一个目的?历史究竟要向 哪里发展?或者,以上问题是否毫无意义?

    另外,还有这样几个问题,如自然界是否真的被规律支配着?还 是我们因为愿意看到万物有一定的秩序,而认为本应如此?此外,还 有一个普遍存在的疑问,那就是世界是否被分割成精神和物质这两个 不同的部分?如果是,它们又是怎样发生联系的?

    关于人类,我们又该做何评价呢?是否就像天文学家所说,人只 是在一个渺小的星球上无助地爬行的一些尘埃?或者像化学家所说的 那样,人只是以某种奇妙的方式组合而成的一堆化合物?或者像哈姆 雷特所认为的那样,人都有着高贵的理性和无限的潜能?也许,人同 时具备了上述所有的特点?

    同时,还存在着关于善与恶的伦理问题。是否可以说某种生活方 式是善的,而另一种是恶的,或者无论采取哪种生活方式都无所谓? 如果真的存在着一种善的生活方式,那么它是什么?我们是否可以从 中有所收益?是否存在着一种我们可以称之为“智慧”的东西?或者 是否所谓智慧只是虚妄和疯狂而已?

    所有这些问题都让人感到迷惘。我们当然不能通过实验室的实验 来解决这些问题,而有独立见解的人又不愿意苟同那些兜售灵丹妙药 者的观点。对于这些问题,哲学史提供了尽可能详尽的答案。

    要想研究这个艰深的课题,我们就有必要了解过去时代的人们是 怎么思考这些问题的。这样,我们才能更深地理解他们,因为处理哲 学的方式成了他们生活方式的一个重要组成部分。这将最终引导我们 学会怎样生活,尽管我们从中学到的东西可能并不多。

    第二章 苏格拉底之前

    当一个普遍性问题被人提出来时,哲学就产生了,科学也是这 样。最早表现出这种好奇心的是希腊人。我们现在所了解的哲学和科 学都源自希腊人。希腊文明的出现,导致了思想活动的大繁荣,可以 说,这是人类历史上最宏大的事件之一。这样的巅峰时期是空前绝后 的,在短短的200年里,希腊人在艺术、文学、科学和哲学领域都取得 了令人惊叹的伟大成就,这些杰作汇聚成奔流不息的激流,最终形成 了西方文明的普遍标准。

    哲学和科学开始于公元前6世纪初米利都的泰勒斯。在他之前,究 竟是什么事件导致了希腊人天才的大爆发呢?我们必须尽力找到其中 的答案,从20世纪以来,考古学取得了很大的进展,借助它的帮助, 我们也许可以从各种零星材料中发现希腊世界的发展轨迹。

    在世界所有的文明中,希腊文明是后起之秀。埃及和美索不达米 亚文明要比希腊文明早好几千年。这些农业社会在大河两岸发展起 来,其统治者或是神圣的君主,或是靠武力发迹的贵族,或是掌握多 神教教义阐释权的祭司特权阶级,而占人口绝大多数的是那些种地的 农奴。

    埃及人和巴比伦人都曾经为后来的希腊人提供了某些知识,但谁 也没有发展出哲学和科学。其中的原因是否由于缺乏天赋或者社会条 件,在这里并没有多大意义,尽管这两点都在某种程度上起了作用。 最主要的是,宗教在智力的探险旅程中没有起到积极的作用。

    埃及的宗教更多地关注人死后的生活。金字塔就是丧葬的纪念性 建筑,它的修建过程中用到了某些天文知识,以预测尼罗河洪水的爆 发。作为管理者,祭司创造了象形文字,但却并没有为其他方面的发 展提供多少有价值的遗产。

    在美索不达米亚,强大的闪米特帝国赶走了先前的苏美尔人,并 取而代之。他们采纳了苏美尔人的楔形文字,在宗教方面,他们对今 生的幸福更感兴趣。无论是日月星辰的运行记录,还是巫术和占卜之 类的活动,都为这一兴趣所左右。

    我们可以发现,贸易社会不久就出现了,其中最主要的成员是克 里特居民,克里特人的文明直到最近才重现于世。他们可能来自小亚 细亚沿海一带,很快就在整个爱琴海诸岛占据了主导地位。大约在公 元前1500年,新的移民潮导致了克里特文明的繁盛。克里特人在克诺 索和费斯图斯兴建了宏伟的宫殿,他们的船队在地中海各地穿梭往 来。

    从公元前1700年起,频繁的地震和火山爆发迫使克里特人开始向 临近的希腊和小亚细亚移民。克里特的手工艺人使大陆居民的文化发 生了改变,在希腊,能证明这一点的最著名的遗址是阿哥里德的迈西 尼城,也就是传说中的阿加门农的故乡。《荷马史诗》记载的正是迈 西尼时代的历史。公元前1400年左右,一场剧烈地震使克里特人遭到 了毁灭性的打击,其霸权和优势也随之突然结束了。

    此前,希腊大陆已经连续遭到了两次入侵,第一次是北部的伊奥 尼亚人,时间大约是公元前2000年,这些人似乎逐渐和当地居民融为 一体了。300年后,亚该亚人也入侵希腊,这一次不同,他们成了统治 者。总的说来,在迈西尼时代和荷马时代,统治希腊人的就是这些 人。

    克里特一亚该亚人在整个地中海有着广泛的商贸往来。即便在公 元前1400年的大地震中,克里特人的这种联系也没有中断。在公元前 1200年左右威胁到埃及的“海洋民族”中,就有克里特人,也就是埃 及所称的“腓力斯人”,他们是最早的腓力斯坦人,其定居地“巴勒 斯坦”也因此而得名。

    大约公元前1100年,更进一步的入侵造成了自然灾害也无法产生 的结果。在多立亚人入侵的影响下,这个尚未开化、却又生气勃勃的 游牧民族征服了整个希腊和爱琴海,亚该亚人早在公元前12世纪初的 特洛伊战争中就伤了元气,根本抵御不了这种猛烈的进攻。海上霸权 也落到了腓尼基人的手中。从此,希腊进入了默默无闻的时期。大约 就在这个时期,希腊人从腓尼基商人那里学会了闪语字母,随后又增 加了一些元音,使它变得越来越完善。

    希腊本土的地形很复杂,气候变化无常。贫瘠的山脉把国土分割 开来,山谷之间的陆上交通十分困难,不同的社会区域只有在肥沃的 平原上才发展起来,当土地再也养活不了更多的人时,一些人就开始 飘洋过海,寻找新的殖民地。

    公元前8世纪中叶到公元前6世纪中叶,希腊人的城市零星地散落 在西西里海岸、意大利南部和黑海。随着殖民地贸易出现和发展,希 腊人和东方的联系又重新恢复了。

    在政治上,多立亚以后的希腊发生了一系列有规则的变迁,首当 其冲的是王权。权力逐渐落到了贵族手里,接下来是非世袭的君主时 代,最后,政权落到了公民手中,“公民”字面上的意思就是“民 主”。就这样,君主政治和民主政治交替实施。只要能把全体公民召 集到集市上,那么纯粹的民主就可以发挥作用。而在我们生活的这个 时代,只有瑞士的一些小州才幸存着纯粹的民主。

    希腊最早、最伟大的文学丰碑应该是荷马的作品。关于荷马,我 们所了解到的没有一样是确切的,甚至有人认为在荷马之后有很多诗 人都在用这个名字。不管怎样,荷马的两部伟大史诗,《伊利亚特》 和《奥德赛》似乎在公元前800年前后就已经写成了。史诗中描述的特 洛伊战争发生在公元前1200年,因此,我们可以从后来的多立亚人那 里找到他们对祖辈事迹的描述;也正是由于这个原因,这种描述中必 然有很多不连贯或不一致的地方。从目前的版本来看,史诗追溯到了 公元前6世纪雅典的统治者庇西特拉西的退位,在荷马史诗中,早期的 暴行已经有所淡化,尽管还留有一些痕迹。史诗的确反映了当时思想 开放的统治者的一些理性态度。我们知道,在迈西尼时代,尸体是要 埋葬的,而这一时期的尸体却是火化的。在奥林匹亚的诸神庙里,众 神济济一堂,认真修行。由于宗教对人们的行为不具有约束力,规矩 繁多的社会习俗,如和陌生人友好相处,就变得强有力起来。一些更 原始的做法,比如处死囚犯并将其作为仪式上的献祭,虽然偶尔也能 看到,但已经非常少见了。总的来说,那一时斯的社会充斥着理性的 气氛。

    从某个角度看,这是希腊人灵魂张力的象征。一方面,存在着秩 序和理性,而另一方面又存在着无序和本能的冲动。前者产生了哲 学、艺术和科学;后者出现在有着丰富仪式的原始宗教活动中,这类 因素在荷马史诗里似乎受到了极大的抑制,到了后期,尤其是恢复了 与东方的联系后,它再次大量涌现,这与人们崇拜狄奥尼索斯或酒神 巴克斯(最初为色雷斯的神)有关。

    对这种原始冲动的革新是由于受到了神话人物俄耳浦斯的影响, 传说他是被喝醉酒的疯狂女祭司们肢解的。俄耳浦斯教义主张抑制欲 望,重视精神的喜悦,它希望进入一种“神秘感应”或“天人合一” 的状态,以此来获得用其他方式得不到的神秘知识。俄耳浦斯宗教通 过这种形式,对希腊哲学产生了深远的影响,最早是毕达哥拉斯在自 己的神秘主义学说里吸纳了这种观念,随后在非纯粹科学的范围里, 它的各种观点先后在柏拉图和绝大多数希腊哲学家的书中找到了自己 的位置。

    但是,甚至在俄耳浦斯的传统中也存在着更原始的因素,这实际 上是古希腊悲剧的发端。在古希腊悲剧中,那些被强烈的情感和热情 所折磨的人们总是能得到同情。亚里士多德很贴切地把悲剧称为“感 情(受到艺术的感染而引起的)净化”。正是希腊人的这种双重性格 最终使世界发生了翻天覆地的变化,尼采称这两种因素为“阿波罗因 素”和“狄奥尼索斯因素”。任何一个因素都不可能单独使希腊文化 发扬光大,在东方,主宰一切的是神秘主义因素。将希腊人从迷惘中 拯救出来的是伊奥尼亚科学学派。但是,宁静本身和神秘主义一样, 是无法使思想发生演变的,还要有对真与美的热烈探索才行,而俄耳 浦斯的影响似乎正是提供了这种观念。

    对于苏格拉底来说,哲学就是生活的方式。值得关注的是,“理 论”一词最初在希腊语中有“观光”的意思,希罗多德正是从这个意 义上使用这个词的。长盛不衰的好奇心以及热烈而不带偏见的探索, 使古希腊人在历史上获得了独一无二的地位。

    古希腊是西方文明的源头,其基础就是始于2500年前米利都的哲 学和科学传统,西方文明正是在这一点上有别于世界上其他主要文 明。古希腊哲学的主导概念是“逻各斯”(古希腊哲学术语),含有 “言辞”和“量度”的意思,当然,还有一些别的意思。因此,哲学 讨论与科学探索是密不可分的。在这种联系下产生的伦理学说发现了 知识中的善,而这正是需要公正探讨的论题。

    前面说过,当普遍性的问题被人提出来时,哲学和科学就开始 了,那么,这类问题是以什么形式被提出的呢?从广义上讲,对于漫 不经心的观察者来说,提出这类问题相当于在一连串杂乱的偶发事件 中找到一种秩序。想想秩序这种观念最初是怎样产生的、为什么产 生,是一件有趣的事情。亚里士多德认为人是政治动物,不可能孤立 生活,而要生活在一定的社会当中。即便是在最原始的水平上,秩序 观念也含有某种程度的组织形式。秩序首先是社会秩序,当然,自然 界的一些有规律的变化,如昼夜更替、四季轮换等,无疑在很早以前 就被人发现了,这些变化只有被赋予一些有人情味的解释,才能为当 时的人们所理解。所谓天就是神灵,是自然的精神力量,这些都是人 根据自己的想像创造出来的说法。

    要想生存,首先意味着人必须按自己的意愿去征服自然。在运用 我们现在称为科学的方法去做到这一点之前,人们靠的是巫术。从基 本观念来看,两者是相同的。巫术是一种尝试,它试图通过严格地执 行仪式来获取某种特定的结果,它基于对因果关系原则的认同,认为 只要给出同样的前提条件,就会出现同样的结果。因此,可以说巫术 是原始的科学。而另一方面,宗教恰恰相反,它企图得到不符合规则 的结果,它只有在出现奇迹时才起作用,其中含有对因果关系的摈 弃。两种思维方式存在着很多差异,尽管我们经常发现它们在原始思 维中混杂在一起。

    在集体参与的各种公共活动中,我们称之为语言的交流方式产生 了,语言的根本目的在于实现人的共同目标。因此它的基本概念就是 同意,而且,可以把这一概念视为逻辑的出发点。它源于这样的事 实:人们通过交流,最终达成了一致,尽管有时候不过是同意保留各 自的意见。当出现无法达成一致的僵局时,毫无疑问,我们的祖先会 用武力来解决问题,当你杀死对手后,他自然也就无法再坚持不同意 见了。有时候也采取另一种办法,那就是通过讨论来解决问题,如果 有可能讨论的话。这种方法就是一种哲学和科学的方法。读者可以自 己得出结论,从史前时代至今,人类在这方面取得了多大的进展。

    在各个时期,希腊哲学都受到了许多二元论的影响,它们一直以 不同的形式成为哲学家们写作和争论的主题。最根本的问题就在于对 真与假的区别。在希腊人的哲学思想中,和真与假密切相关的是善与 恶、和谐与冲突二元论,其次还有至今仍属热门话题的现象与本质二 元论,同时,还有精神与物质的问题、自由与宿命的问题,甚至还有 宇宙论的问题,如事物是“一”还是“多”,是单纯还是复杂。最 后,还有混乱与秩序、无限与有限二元论。

    早期哲学家们对这类问题的处理方式是有指导意义的。一个学派 可能会抨击某个二元论的一个方面,紧接着,另一个学派则可能对此 提出批评,并采纳相反的观点;最后,第三个学派也许会更进一步, 找到某种妥协的观点,以取代前面两种观点。黑格尔正是通过观察前 苏格拉底哲学家中对立学说的这种拉锯战,才建立了他自己的辩证法 体系。

    许多这类二元论都以某种形式相互联系,但我们可以用一种简单 的方式将其分割开来,以揭示哲学所研究的不同类型的问题是什么样 子。真与假是逻辑学讨论的对象;善与恶、和谐与冲突,表面上看是 属于伦理学的问题;现象与本质、精神与物质则是知识论或认识论的 传统问题;其他的二元论都在不同程度属于本体论或存在论。当然, 这样的划分并不是一成不变的,事实上,打破这些界限正是希腊哲学 的一个典型特征。

    米利都产生了第一个科学的哲学学派,在当时,这座位于伊奥尼 亚海岸的城市是生机勃勃的贸易中心。米利都的东南是塞浦路斯、腓尼基和埃及,北边是爱琴海和黑海,越过爱琴海一直往西就是希腊大 陆和克里特岛。米利都的东面紧挨着吕底亚,并通过吕底亚与美索不 达米亚帝国有着密切联系。米利都人从吕底亚人那里学会了铸造金币。米利都的港口挤满了各国商船,城里的货仓也堆满了来自世界各 地的货物,人们以这种可以保值的货币用于流通,交换各种商品。因 此,米利都的哲学家提出万物由什么构成的问题也就不奇怪了。

    据说,米利都的泰勒斯认为“万物皆由水构成”,哲学和科学由此产生了。希腊人将泰勒斯列为“七贤”之一。我们可以从希罗多德 那里了解到,泰勒斯曾预言过一次日食,据天文学家推断,那次日食 发生的时间大约在公元前585年,这也正符合他在世的时间(泰勒斯生卒年不详)。泰勒斯虽然不大可能了解日食的原理,但他一定熟悉巴比伦人对日食现象所做的记录,因而能知道什么时候会再发生,幸运 的是,这种日食现象能够在米利都看到,它不仅为编撰年表提供了便 利,而且也使泰勒斯本人出了名。另外,他是否在几何学领域创立了 三角形相似定理也同样值得怀疑。但他在测量海上船只或其他无法接 近的目标的距离时,显然运用了埃及人测量金字塔高度的“经验测算 法”。他还据此提出了“几何原理具有普遍应用范围”的观点,因此 我们说,是希腊人首创了这个普遍性观点。

    据说泰勒斯认为磁石具有灵魂,因为它能够使铁移动。至于他认 为万物都具有灵魂这种进一步的论述,就更加值得怀疑了。这很可能 是人们根据他的前一种说法,通过推理强加给他的。但这样做其实没 有必要,因为只有当所有其他事物都没有灵魂时,磁石具有灵魂的说 法才有价值。

    和泰勒斯有关的故事还有很多,其中一些也许是真实的。据说有 一次有人怀疑他的能力,他就通过垄断橄榄油市场表现出了他的实践 才能。他所具备的气象学知识使他能够预见到橄榄将会大丰收,于是他提前租下了所有能搞到手的榨油机,到了橄榄成熟的时候,再以高价租出去,从而大获其利。同时也向那些轻慢他的人证明:哲学家也 能够赚到钱,假如他们愿意的话。

    泰勒斯最重要的观点是“万物皆由水构成”,这既不是匆忙一瞥 得出的印象,也不是没有观察的纯粹臆想。今天,我们把生成水的氢 称为一种化学元素,其他任何元素都能与它合成。这种“万物归一” 的观点是一种非常可贵的科学假说。单就观察而言,海边的观察使得 这一假说看起来似乎更加合理。人们看到海水在太阳下蒸发,雾气从海面升腾起来,形成云,然后又形成雨降落到海里。按这种观点,大 地就是以浓缩水的形式存在的。其中的细节可能来自非常奇特的想 像,但它仍然是一个了不起的贡献,因为它揭示了一种物质能够在各 种不同的聚合状态中保持不变。

    米利都的第二位哲学家是阿那克西曼德,他大约出生于公元前610 年。他和泰勒斯一样,既是一位发明家,又是一位注重实践的人。另 外,他还是第一个地图绘制者和黑海沿岸某个米利都殖民地的首领。

    阿那克西曼德批评了他的前辈泰勒斯的宇宙论。是啊,为什么一定就是水呢?构成事物的基本要素不可能以事物本身的某种形式出 现,它应该是一种与所有这些形式都不同的东西,也就是说,它是一种更基本的东西。因为物质的各种形式始终在相互冲突着,如冷与 热,湿与干,它们总是不断地此消彼长,也许在希腊人看来,它们处 于“不公正”的状态,也就是缺乏平衡。如果其中一种形式就是基本 物质的话,那它可能早就战胜别的形式了。亚里士多德把起始物质称 为“物质因子”,阿那克西曼德则称之为“无际”,也就是可以全方 位扩展的无限物质,世界生于此,也将终于此。

    阿那克西曼德认为地球是一个自由漂浮着的圆柱体,而人类就生 活在其中的一个切面上。而且,他还设想我们的世界被无数别的世界 包围着。这里所说的别的世界之一,就是我们现在所称的银河,每个 世界的内部功能都被漩涡运动左右着,该运动将地球向地心吸引。天 体就是被气遮蔽的火轮。只有一点不同,我们可以把它比喻成自行车 轮胎,未被遮蔽的那一点就是气嘴,我们当然还记得,那时的希腊人 认为气就是能够使事物隐形的东西。

    关于人类的起源,阿那克西曼德提出了一个非常“现代化”的观 点。他注意到年幼的人需要长期的照料和看护,从而得出这样一个结 论:如果最初的人也像今天这个样子,就不可能延续到今天。因此, 他认为以前的人一定和现在的人不同,也就是说,人一定是从一种能 够很快做到自我供给的动物进化而来的。这种论证法就是归谬法,即 通过一个给定的假设推断出某些明显的错误。在他看来,既然人不可 能延续到今天,这种假设(最初的人和现在的人一样)就只能被推 翻。如果这种说法是对的(我也这样认为),即:假如最初的人和现 在的人一样需要长期照料才能长大,人类就不可能延续至今。那么, 我们可以很轻松地建立这样的论点:其间一定发生了某种形式的进 化。但阿那克西曼德并未对此感到满足,他还进一步认为,人是由海 洋中的鱼类演变而来,他还以自己对化石遗迹和鲨鱼喂养幼鲨的观察 来证明这一点。正是由于这个原因,他告诫我们不要吃鱼。而我们的 海洋同胞们是否也对我们怀有同样深厚的感情,就不得而知了。

    米利都第三位著名的哲学家是阿那克西美尼。我们除了知道他是 三位哲学家中最年轻的一位之外,并不了解他所处的具体年代。从某 种意义上说,他的理论和他的前辈相比是一种倒退。虽然他的思想不 够大胆,但从总体上来说却更加经得起检验。他和阿那克西曼德一 样,也坚持认为存在着一种基本物质,不过他是从具体的物质“气” 中发现这一点的。我们发现物质的各种形式都是通过聚散过程从 “气”里产生出来。既然这种观点认为一切差异只是量的差异,那么 把某种具体的物质看做基本因子就应该是对的。“气”构成了灵魂, 赋予我们生命,也使世界得以延续。后来,这种观点为毕达哥拉斯学 派所采纳。阿那克西美尼在宇宙论问题上走入了歧途,所幸的是,毕 达哥拉斯学派在这方面继承了阿那克西曼德的宇宙观;而在其他方 面,他们更喜欢借用阿那克西美尼的学说。从某种意义上说,他们是 对的。阿那克西美尼是米利都学派最后一位代表人物,他继承了该学 派的所有传统。此外,正是他的“聚散论”使米利都人的世界观得到 了真正的完善。

    米利都哲学家的气质与今天某些戴着哲学家头衔的专家不同,他 们从事的是城邦的实际事务,而且能够亲身感受各种突发事件。据说 阿那克西曼德的理论还在一篇地理学论文中得到过广义上的阐释。这 些早期论文的内容已经遗失,留存下来的题目大意是“论事物的物理 本质”,可见,课题涉及的范围很广,论述也许不是很深入。后来的 赫拉克利特无疑是反对这种“关于多种事物的知识”的。

    对哲学而言,重要的不是给出的答案,而是提出的问题。从这个 意义上说,米利都学派是名符其实的。由此,孕育了荷马史诗的伊奥 尼亚被称为科学和哲学的摇篮也就不奇怪了。我们知道,荷马时代的 宗教带着奥林匹亚特征,而且始终如此。在那里,神秘主义未能对社 会产生很大的影响,科学思辨倒更有可能得以顺利发展。虽然后来的 许多希腊哲学学派纷纷接受了神秘主义,但我们应该记住,他们全都 从米利都学派吸取了营养。

    米利都学派和任何宗教活动都没有关系,这确实是前苏格拉底哲 学家的一个显著特征,他们全都独立于盛行的宗教传统之外,甚至像 毕达哥拉斯这种并不反对宗教的学派都是如此。总的说来,希腊人的 宗教活动和各个城邦的风俗有关,当哲学家们坚持自己的观点,走自 己的路时,可能会与所在城邦的国教发生冲突,这是很正常的,这种 不幸的命运能够在任何时候、任何地点轻易地压服那些具有独立思想 的人。

    离伊奥尼亚不远就是萨摩斯岛,尽管在地理位置上很近,但岛上 的传统在某些方面却比大陆的城邦更为保守。在萨摩斯岛,昔日的爱 琴文明似乎更为完整地保存了下来。我们应该记住,这种地域的差异 带来了什么样的结局。总的看来,荷马笔下的伊奥尼亚和早期的米利 都学派并没有认真考虑过宗教,但萨摩斯岛人却从一开始就深受俄耳 浦斯观念的影响,这种影响最终移植到了从克里特——爱琴海时代留 存下来的信念中。

    奥林匹亚膜拜是一项没有严格宗教教义的国家事务,而另一方 面,俄耳浦斯教义却具有神圣的经文,它通过灌输信念的方式把信徒 们聚集在一起。在这种背景下,哲学变成了一种生活方式,这种观点 为后来的苏格拉底所继承。

    萨摩斯人毕达哥拉斯正是这种新哲学精神的先驱。我们对他生活 的年代和生活细节知之甚少。据说他在公元前532年曾经名噪一时,当 时正好是波吕克拉底的君主统治时期,萨摩斯城可与米利都和其他大 陆城邦相匹敌。公元前544年,波斯人占领萨狄斯后攻陷了萨摩斯,但 萨摩斯的船队仍在整个地中海往来穿梭。波吕克拉底曾一度和埃及国 王阿玛西斯结为盟友,这就使得下面的故事有了发生的可能:毕达哥 拉斯曾经游历埃及,并在那里获得了数学知识。他之所以要坚持离开 萨摩斯,是因为不能忍受波吕克拉底的压迫。他在意大利南部的一座 希腊城市——克罗顿定居下来,并建立了自己的社团。他在克罗顿生 活了20年,直到公元前510年发生了反对学派的内乱,他才到梅达朋提 翁隐居,在那里一直住到去世。

    我们知道,对米利都人来说,哲学是一种紧张的实践过程,哲学 家的确都是务实而善于行动的人。而在毕达哥拉斯那里,一种对立的 观念出现了,也就是说哲学成了对世界的孤立的思索。这种观念带有 俄耳浦斯教义的痕迹,毕达哥拉斯对生活的态度就体现了这种思想。 如果我们把人按其生活方式分为三类,就像参加奥林匹克运动会的三 种人一样,那么层次最低的是那些小贩;其次是参加比赛的人;第三 种是观众,也就是书上所说的理论家,哲学家在一定程度上就是这种 人。哲学的生活方式是惟一有可能超越存在的偶然性、并摆脱轮回的 途径,按毕达哥拉斯的观点,灵魂是受一系列轮回的支配的。这类传 统与繁复的原始禁忌有关。我们会在柏拉图的《理想国》、毕达哥拉 斯学派以及其他前苏格拉底学派中再次发现生活方式的三分法。可以 说,它是早期哲学家各种学说的综合体现。

    但另一方面,毕达哥拉斯学派又产生了一种科学传统,具体地说 就是数学传统。毕达哥拉斯学派的真正继承者是数学家。尽管在俄耳 浦斯复兴时出现了神秘主义因素,但宗教观念并没有改变该学派科学 的一面。科学本身是不会变成宗教的,即便对科学生活方式的追求带 有一些宗教色彩。

    毕达哥拉斯可能发现了被我们称为“音程”的简单的数的关系。 一根调和琴弦按其长度平分,可以获得八度音;同理,如果长度减为 四分之三,则会发出四度音;如果减为三分之二,则发出五度音;四 度音和五度音合在一起又可得到八度音,即4/3×3/2=2/1。因此,这 些音程与调和级数的比值2∶4/3∶1相一致。据说调和弦的三个音程可 以与人的三种生活方式相类比。虽然这种比较是一种思辨,但调和弦 肯定在希腊哲学思想中起了核心作用。平衡意义上的和谐概念、就像 适当调高或调低音程一样进行对立的编配和组合、伦理学的中庸或中 道观念、四种气质的学说,所有这些观点都可以在毕达哥拉斯的发现 中找到源头。其中不少内容我们将在柏拉图的学说中看到。

    毕达哥拉斯“万物皆数”观点的产生,很可能与他在音乐中的发 现有关。根据这一观点,如果我们想认识身边的世界,就必须找出事 物中的数;一旦了解了数的结构,我们就能控制整个世界。这的确是 一个非常重要的观点。虽然它的意义在古希腊人文主义时代之后遭到 了暂时的埋没,但是在文艺复兴时期,人们开始重新对古代资料产生 兴趣时,它就得到了更多的认同。这是近代科学观念的主要特征之 一。我们可以从毕达哥拉斯那里首次发现,他对数学的兴趣最初并不 是出于实践需要。埃及人掌握了数学知识,但只是用它来建造金字塔 或丈量土地;希腊人则是“为了探索”而开始了对数学的研究。用希 罗多德的话说,毕达哥拉斯是他们当中最重要的研究者。

    毕达哥拉斯发明了排列卵石或符点的计算方法。这种方法确实以 各种形式存在了很长一段时间,拉丁文中的“计算”就有“摆弄石 子”的意思。与此相关的是他对算术级数的研究。如果我们把卵石排 成行,第一行放一个,下面的每行都比上一行多放一个,于是我们就 得到了一个“三角形”数。它的特殊意义还在于1+2+3+4=10这种四行 三角形数里面。与此相似,连续奇数之和可以得出一个“正方形” 数;而连续偶数之和则可以出现一个“长方形”数。

    在几何学研究中,毕达哥拉斯发现了一个著名的定理,就是直角 三角形弦的平方等于另外两边的平方之和,虽然我们不知道他是怎么 证明这一点的,但在这里,我们再次找到了与“经验测算法”相反的 普遍性方法的实例。但是,这个定理的发现却给学派出了一道极大的 难题,因为它有一个推论是正方形对角线的平方等于边长平方的两 倍,但却没有任何一个“正方形”数能够被分解为两个相等的正方形 数;因此,这个问题无法用我们现在称为“有理数”的方法来解决。 对角线是不可能用边来实际测量的,要解决这个问题,我们就要用到 后期毕达哥拉斯学派所提出的“无理数”。显然,这个“无理”可以 追溯到这桩早期数学丑闻中,传说当时有一个学派成员因为泄露了秘 密而被沉入大海淹死。

    至于世界观,毕达哥拉斯则在米利都学派的基础上,加进了自己 的数的理论。前面所说的用于排列计数的数字被称为“界石”,自然 是因为它起源于对田地边界的测量或字面意义上的“几何”。拉丁文 “界石”(Tern)在字面上有同样的意思。按照毕达哥拉斯的说法, 无限的气将各种基本单元分隔开,而单元又为无限提供了量度,进一 步说,无限相当于黑暗,而有限相当于火,显然,这种观念来自对天 空和星辰的观察。毕达哥拉斯和米利都人一样,认为存在着许多世 界,尽管从他的数学观来看,他不大可能认为有无限多的世界。他在 阿那克西曼德的观点之上进一步提出,地球是一个球体,而摈弃了米 利都人的漩涡理论。但是这还不够完善,后来的萨摩斯人又在这个基 础上提出了太阳中心说。

    醉心于数学的毕达哥拉斯提出了我们以后将碰到的理念论或共相 论。一个数学家在证明一个三角形命题时,它所涉及的并不是任何正 在谈论的画在某个地方的图形,而是只有他心目中才有的东西。于 是,可知事物与可感事物的区别就产生了。而且这个已确定的命题永 远都是完全正确的。从这个观点到下述观点只有一步之遥:只有可知 事物才是真实、完美和永恒的;而可感事物只是表象,是有缺陷和暂 时的。这些都是毕达哥拉斯学说的直接推论,从此,这些观点一直支 配着哲学和神学思想。

    我们还应该知道,毕达哥拉斯的信徒们的主神是阿波罗。尽管在 他们的信仰中有俄耳浦斯因素,但是欧洲的理性主义正是靠了这种阿 波罗倾向,才与东方的神秘主义区分开来。

    由于受到早期毕达哥拉斯学派的影响,原有的奥林匹亚宗教被一 种新的宗教观念所取代。色诺芬尼对传统的诸神进行了猛烈的抨击, 色诺芬尼可能生于公元前565年的伊奥尼亚。公元前540年,当波斯人 侵入伊奥尼亚时,他逃到了西西里岛。他的主要目标是想彻底推翻奥 林匹亚神庙中根据人的形象塑造的诸神。同样,他也反对俄耳浦斯复 兴时的神秘主义,并且嘲笑毕达哥拉斯。

    这种哲学传统的下一个代表人物也是伊奥尼亚人,他就是爱菲斯 的赫拉克利特。大约公元前6世纪末,赫拉克利特的事业达到了顶峰。 我们对他的生平几乎一无所知,只知道他出生于一个贵族家庭。不过 他一些遗作的残篇却留传了下来,我们从中不难看出,他为什么会被 人看做是难以捉摸的人,他的一些观点常常以预言的形式表达出来, 其残稿简洁、高雅,到处是生动的隐喻。说到永恒的生死轮回,赫拉 克利特说“时间是一个下跳棋的孩子,而支配权就在他的手中(即时 间支配着一切)”。当他以轻蔑的态度奚落迟钝的人时,会毫无顾忌 说出刻薄的话: “傻子即使听到了别人的谈话也会像聋子一样无动于 衷:即使他们在场,也跟不在场一样。”“如果人们的头脑不能理解 别人的语言,那么眼睛和耳朵对于他们来说只是一种无用的摆设。”

    为了提醒我们,要想取得有价值的成就,就需要付出很大的努 力,赫拉克利特说: “寻觅金子的人即使挖了很多土也不会有很多收 获。”由于这项工作过于艰难,有的人会半途而废,他挖苦他们就像 “驴子(笨蛋)宁要草料,不要黄金”。此外,他还预示了后来苏格 拉底在一句名言中表述过的思想,告诫我们不要对自己拥有的东西沾 沾自喜,苏格拉底的名言是: “孩子在成人的眼里是幼稚的,而成人 在上帝的眼里也是幼稚的。”

    对赫拉克利特的理论作更深的研究,有助于我们更明确地理解这 些格言,尽管赫拉克利特缺少他的伊奥尼亚前辈们对科学的兴趣,但 他的理论还是以伊奥尼亚学派和毕达哥拉斯的思想为基础的。阿那克 西曼德曾经说过,相互斗争的对立双方最终将归于无限,以调和彼此 的侵犯。赫拉克利特从毕达哥拉斯的和谐概念出发,发展出一个新的 理论,这也是他对哲学的卓越贡献,他的观点是,真实世界在平衡调 节中包含了对立的倾向。根据不同的量度,在对立双方的冲突的背 后,世界存在着一种潜在的和谐。

    通常,这种普遍性概念不是轻易显露出来的,因为“自然喜欢隐 藏自己”。的确,他在某种意义上似乎坚持认为,和谐的东西肯定不 是立刻能够引人注目的。“潜在的和谐优于公开的和谐”。实际上, 人们往往会忽视和谐的存在,“人们不知道事物是怎样实现对立统一 的。这是一种对立的、紧张的和谐,就像弓与七弦竖琴一样”。

    因此,冲突就是使得世界保持生机的原动力。“荷马说过,‘如 果神灵和人之间再也没有冲突该多好啊!’但他错了。他没有看到他 是在祈求宇宙的毁灭,要是他的祷告能够被听见的话,万物都将消 亡。”我们应该从逻辑学的角度,而不是按照军事准则来理解他的 “战争乃万物之父”的论断。这种观点是想要强调“火”这种重要而 基本的物质。他在原则上,而不是在细节上继承了米利都学派的思 想。

    他说: “万物皆可比作火,火亦能比作万物,犹如货物可以换黄 金,黄金可以换货物一样。”这种商业性的比喻阐释了该理论的观 点。一盏油灯的火苗看上去是固定不变的,但在整个过程中,油不断 地被吸取,然后转换为火焰,油烟随着燃烧而落下,因此,世界上一 切事物的发展都是这种转换的过程,没有什么东西能够保持原样。 “人不能两次踏入同一条河流,因为在你面前流动的总是新的河 水。”正是由于这种解释,后世的作家们才把“万物流变”的名言归 于赫拉克利特。苏格拉底还给赫拉克利特及其信徒起了一个绰号,叫 “流动者”。

    我们有必要把赫拉克利特的这一名言与其另一名言进行对比,后 者是: “我们既踏入又没有踏入同一条河流,我们既存在又不存 在。”表面上看,这句话似乎与他的前一句名言不大一致,但这只是 同一理论的不同表达而已。线索就在于它的后半部分。“我们存在又 不存在”这听上去有些令人费解,其实它的意思是,我们的存在既是 稳定的,又时刻在变化着。用柏拉图后来创造的话来说就是,我们的 存在是一种不断的形成。还是以河流为例,如果我今天踏入泰晤士 河,明天再踏入一次,虽然我踏入的都是泰晤士河,但第二次的河水 已经与第一次不同了,我想这种观点再清楚不过了。另一种说法也论 述了这种观点,即“上坡路与下坡路是同一条路,没有什么区别”。 我们都观察过火苗的情况:油被吸上灯芯,烟尘落在地上,两者都是 燃烧过程的一部分。首先,我们必须从字面上来理解这种观点。一条 坡路既向上,又向下,是上坡路还是下坡路,取决于你怎么走,赫拉 克利特的对立理论提醒我们,那些表面上看来有冲突的因素,实际上 却代表了事物的本质部分。关于这一点,最鲜明的一个表述就是“善 恶一体”。这当然不是说善恶是一回事;相反,就像一个人不可能设 想一条没有下坡的上坡路一样,我们也不可能在不理解恶的情况下去 理解善的概念。如果你将坡铲平,在消除了上坡路的同时,你也就消 除了下坡路;对人来说,善恶也是如此。 看来,“万物流变”的理论其实不是什么新思想。阿那克西曼德 就曾经提出过十分类似的观点。但是,赫拉克利特对事物为什么会保 持同一的解释却领先了米利都学派一步。量度的主要概念源自毕达哥 拉斯。尽管事物在不断地变化,但由于保持了适当的量度,因此仍能 维持原样,这一点无论是对于人还是对于世界都是正确的。

    自然界的事物根据量度而发生转化。同样,在人的灵魂中也有着 干与湿的变化。湿的灵魂如果没有火的抑制,就会堕落,而且有毁灭 的危险;这一点大概可以通过观察醉酒的人得到验证。另一方面, “干的灵魂是最智慧、最优秀的灵魂”,尽管我们不应该错误地对它 过分赞誉。过量的“火”和过多的“湿”一样,也会扼杀灵魂。但毁 灭于火似乎让人觉得更为光彩,因为“死得越壮烈,美名就越盛”。 我们可以想到,这是由于火是永恒的物质,“这个世界对于万物都是 一样的,既不为人而创造,也不为神而创造;它在过去、现在和将来 都只是一团永恒的火,按照某种量度燃烧和熄灭”。

    自然的种种演变过程无不遵循各自的量度。正如阿那克西曼德所 说的那样,“不公正”不是因为对立双方的冲突,而是因为对量度的 漠视,“太阳不会超出它的量度,否则爱林尼神(正义神的侍女)就 会有所觉察”。但是量度并不是绝对严格的,只要它没有超出界限, 它实际上可以在一定范围内波动。这可以用来说明某些周期现象,如 日夜更替、人的清醒与睡眠以及其他类似的变化。将这种量度波动概 念和毕达哥拉斯的连分数构成无理数理论联系起来是一件很有趣的事 情。后者的连续近似值有时大于或小于精确值。但我们不知道早期的 毕达哥拉斯学派是否发展了这种方法,尽管它在柏拉图时代已经闻名 遐迩。我们不是很有把握将这种知识归功于赫拉克利特。

    赫拉克利特和色诺芬尼一样,也藐视当时的奥林匹亚教和俄耳浦 斯教。仪式和献祭并不能使人变得善良。他清楚地看到了宗教仪式活 动肤浅而原始的特性。“为了净化灵魂,他们徒劳地往自己身上涂抹 鲜血;就像一个跳进泥坑的人企图用污泥洗净双脚一样。任何人看到 这种行为,都肯定会说他是疯子。”善是不可能以这种方式得到的。

    但是,智慧却可以通过掌握事物的基本规律来获取。这个规律就 是对立双方的和谐,虽然它无所不在,人们却未能认识它。“我所说 的规律,人们也许听说过,也许没有,但他们都未能掌握它。因为, 虽然万物都由此产生,但人们从未体验过。即便他们去感受我所阐释 的这些话语和行为,即便我分门别类地将事物一一区分开来,并剖析 其中的缘由,他们也无法理解其真谛。”

    如果我们认识不到这个规律,那么任何学习都是毫无用处的。 “学习了很多事物并不等于学会了理解那些事物”。这种观点我们将 在黑格尔的著作中再次看到,赫拉克利特则是最早提出它的人。

    要想拥有智慧,就必须掌握基本规律,这个规律适用于一切事 物。我们必须遵循基本规律,就像城市必须依法行事一样。是的,我 们甚至必须更为严格地遵循它,因为共同的规律具有普遍性,而不同 的城市可以有不同的法律。因此,赫拉克利特坚持共同性的绝对特 征,反对当时基于对不同民族的不同习俗进行对比而建立起来的相对 主义概念。他的学说与诡辩家的实用主义观点相对立,后来,毕达哥 拉斯在其论述中将它说成“人是万物的量度”。

    尽管这种普遍规律或“逻各斯”无所不在,但许多人却对此视而 不见,他们自以为是,好像人人都有个人的智慧似的。人们愚蠢地认 为共同规律绝不是公众的意见,赫拉克利特因此有些瞧不起公众。他 是一位贵族,他主张最优秀的人物拥有权力。“爱菲斯人应该把所有 的成年人都吊死,让孩子们来管理城市,因为他们放逐了他们当中最 优秀的人赫尔莫多罗,并且声称‘我们不需要最优秀的人,如果有, 就把他赶走,赶到别人那里去’。”

    赫拉克利特本人也非常自命不凡,也许我们可以原谅他这一点。 除了有些偏执,他确实是一位很有影响的思想家。他总结了前人的主 要观点,并对柏拉图产生了至关重要的影响。

    赫拉克利特的流变学说提到了万物皆包含某种运动的事实。希腊 哲学的下一个转折点又把我们带到了另一个极端,那就是对运动的彻 底否定。

    迄今为止,我们所谈到的一切理论都具有这样的特征:每一种学 说都试图用某种单一的规律解释世界。虽然不同的学说提出了各不相 同的解决办法,但它们都涉及万物产生的基本规律。但是,那时还没 有任何人对这种普遍性观点作过批判性的验证。

    第一个批判者是巴门尼德。

    就像对其他许多哲学家一样,我们对他的生平也缺乏了解。巴门 尼德是意大利南部的爱利亚人,他创建了“爱利亚”学派。他事业的 巅峰是在公元前5世纪上半叶。如果我们认可柏拉图的说法,那么就会 知道,巴门尼德曾和他的弟子芝诺访问过雅典,两个人在大约公元前 450年的某个时候,见到了苏格拉底。在希腊所有的哲学家中,只有巴 门尼德和恩培多克斯用诗歌的形式阐述出理论。巴门尼德的诗篇和许 多早期哲学家的作品一样,也取名为《自然论》。全诗分为两部分, 前一部分叫做“真理之道”,里面包含了我们感兴趣的逻辑理论;后 一部分叫做“舆论之道”,他在里面提出了实质上属于毕达哥拉斯学 派的宇宙论,不过他非常明确地指出,我们必须把一切看做虚幻的东 西。虽然他曾经是毕达哥拉斯学派的一个追随者,但当他最终阐释自 己的批判观点时,却抛开了毕达哥拉斯学派的理论,因此,他在这部 分诗篇中有意收录了毕达哥拉斯学派的各种错误,而他就是从这些错 误中走出来的。

    巴门尼德从所有前辈理论的一个共同弱点开始了他的批判。他在 “万物皆由某种基本物质构成”和同时存在的虚空观点之间找到了这 个弱点。对于物质,我们可以说它“存在”;对于虚空,我们则说它 “不存在”。早于他的所有哲学家都犯了一个错误,那就是说“它” 不存在,好像真有“它”似的。赫拉克利特甚至还说过“在同一时间 既存在又不存在”的话。巴门尼德的不同在于,他仅仅断定了“它的 存在”。也就是说,不存在的东西是不会被想到的,因为人不可能思 考“无”。不能被想到的东西是不存在的,而存在的东西是可以被想 到的。这就是巴门尼德观点的主导思想。

    我们可以由此立刻得出一些推论来。“它存在”意味着世界充满 了物质。虚空是完全不存在的,无论是世界的外部还是内部。而且, 一个地方必然和另一个地方拥有同样多的物质,否则我们就不得不 说,密度较小的地方“它”就不存在,但这是不可能的。“它”一定 在任何方面都相等,也不可能到达无限,因为这会意味着“它”是不 完整的。“它”是永恒的,是不可创造的;“它”既不会被某种物质 消解,也不会产生于某种物质,因为没有任何别的东西和“它”在一 起。这样,我们所看到的世界就是一个坚固的、有限的、均匀的球体 物质,没有时间,没有运动和变化。这对于我们的常识来说确实是一 个可怕的打击,但它是纯粹的物质一元论的逻辑论断。假如我们的感 知受到冒犯,人们必然会将感性经验当做幻觉抛弃,这正是巴门尼德 所希望的。通过将一元论推向极致,他迫使后来的思想家不得不寻找 新的出发点,巴门尼德的球体理论对赫拉克利特的观点进行了阐释, 也就是说,如果冲突消失,世界也会随之消失。

    值得一提的是,巴门尼德的批判并没有妨碍人们正确理解赫拉克 利特的理论,因为万物皆由火构成的观点并不是赫拉克利特理论的真 正实质。他的理论是通过隐喻产生作用的,火焰以多变的方式表现了 以下的重要观点:没有任何事物是静止的,一切都处在发展中。在前 面,我们已经谈到赫拉克利特如何解释“它存在又不存在”这样的论 断,事实上,赫拉克利特学说已经隐含了对巴门尼德语言上的形而上 学批判。

    巴门尼德的理论在语言形式上,简单地说就是这样的:当你在想 或说的时候,你想到或说到了某种东西,那么,一定有某种独立的、 永恒的东西供你思考或谈论。你可以在许多不同的场合做到这一点, 因此,想到或说到的东西一定是永远存在的。如果它不存在,也就不 可能发生变化。在这个观点中,巴门尼德忽略了一点,那就是他永远 也不能否定任何事物,因为这样一来就会迫使他自己承认“它不存 在”。另外,假如真是这样的话,他就再也无法断定任何东西都永远 存在了,这样,一切言说和思想都成了不可能的事。除了“它存 在”,没有任何事物存在,这是一个空洞的恒等式。

    不过,他的理论中也有一个重要的观点,就是如果我们能够运用 某个可理解的词语,它就一定具有某种含义,而这种含义必定在某种 意义上是存在的。如果我们还记得赫拉克利特的话,就不会出现自相 矛盾的问题。当问题变得很明确时,我们发现没有人会真的认为“它 不存在”,而只是“某种类型的不存在”。因此,当我说“草不是红 色的”时,并不是在说草不存在,而是说它与那些红色的东西不是同 一类型。如果我找不出别的红色物品做例子,如汽车,那我就的确不 能说“草不是红色的”。赫拉克利特的观点就是,今天是红色的东西 也许到了明天就变成了绿色,你是可以把一辆红色的汽车漆成绿色 的。

    于是,词语在什么条件下才有意义的普遍性问题就产生了。这个 问题过于复杂,在此就不作讨论了。然而巴门尼德对变化的否定却为 后世的所有唯物主义理论提供了源泉。巴门尼德以“它”来表示存 在,而“它”后来被称为“物质”,唯物主义者认为万物就是由这种 不变、不灭的物质构成的。

    在所有的前苏格拉底思想家中,巴门尼德和赫拉克利特建立了两 个极端对立的理论。值得一提的是,除了柏拉图,原子论者们也综合 了这两种对立观点。他们从巴门尼德那里借用了不变的基本粒子,从 赫拉克利特那里获得了绝对运动的概念。这是首次对黑格尔辩证法有 所启发的经典例子之一。这的确是一种思想进步,这种进步源自对各 种观点的综合,也是对于极端论点进行执着探索的必然结果。

    要批判巴门尼德,就必须对“世界由什么构成”的问题给出新的 解决办法。阿克拉加斯的恩培多克勒找出了新答案。我们对他的生平 也同样知之甚少。他的巅峰期在公元前5世纪上半叶。在政治上,他站 在多数人一边,传统的说法认为他是一位民主领袖。同时,他身上带 着一种与毕达哥拉斯的俄耳浦斯影响有关的神秘色彩。和巴门尼德一 样,恩培多克勒最初非常迷恋毕达哥拉斯的说教,后来又与之分道扬 镳。至今还流传着一些关于他的离奇故事,据说他会呼风唤雨、控制 天气,毫无疑问,他用所掌握的医学知识,曾经成功地控制了塞利努 斯的一次疟疾流行。出于感激,人们把这件事铸在城市的金币上作为 纪念。据说他把自己当做天神,他死的时候,有人说他升了天,有人 说他跳进了爱特纳火山口,尽管这种说法很不可信——任何称职的政 治家都不会跳进火山口。

    为了在爱利亚学说和平时的感知经验之间达成妥协,恩培多克勒 采纳了所有过去尝试过的基本物质,并增加到四种,将其称为事物的 “根”,亚里斯多德则称它为“元素”,这就是著名的“水、气、 火、土”四元素理论。这个理论几乎左右了化学2000年之久,甚至在 今天的日常用语中还残存着其中一些痕迹,如我们所说的“暴风骤雨 (其英文字面含义为‘诸元素的愤怒’)”。这一理论实际上揭示了 两组对立的“干与湿、热与冷”之间的本质。我们也许能注意到,要 想对付巴门尼德的批判,仅仅增加基础物质的种类是不够的,还必须 有某种能够以不同方式混合基础物质的东西才行。于是,恩培多克勒 提出了爱与冲突的两个动力原则,它们惟一的作用就是统一和分裂物 质。由于当时还没有产生非物质动因的概念,爱与冲突也只能被视为 物质。所以它们自身被认为是物质的或实际存在的,并且和另外四个 加在一起,构成了六元素。这样,当四元素分裂时,冲突就出现在它 们中间;而当四元素统一时,爱就把它们合在一起。我们也许在无意 中已经发现,有些东西可以证明“动因必须是物质”这种观点。尽管 这种观点还值得商榷,但它仍是近代科学的观点,即动因必须在某处 有一个物质源泉,即使是在它不起作用的地方。

    阿那克西曼德已经提出动因是“气”,尽管我们不知道他的依据 是什么。恩培多克勒找到了不同的依据,因为他发现了“气”是物质 这一事实,他是通过水漏壶实验发现的。需要说明的是,他的前辈们 所说的“气”与他所说的“以太”都是希腊单词。后者在19世纪后半 叶赢得了新的科学地位,当时的电磁理论要求为波的传播提供介质。

    在改进这些理论的过程中,恩培多克勒保留了爱利亚理论中的很 多东西,如基本物质是永恒不变的,而且它本身不能被进一步解释。 这也是科学解释的一个重要原则,拿一个大家熟悉的例子来说,人们 用原子来解释化学现象,这些原子本身必然是不能被再解释的,要想 解释它们,人们必须认为它们是由更小的粒子构成的,而这些更小的 粒子则不能被再解释。

    就像前面说过的“存在与否”的问题,没有任何事物能从“不存 在”中产生,也没有任何事物能够变成“不存在”。所有这些都属于 纯粹的爱利亚唯物主义。我们也许能看到,恩培多克勒对唯物主义学 说进行修正后提出的一般观点未能化解对巴门尼德的批判。他的观点 是,如果你认为有变化,你就必须承认有虚空。因为,如果变化是可 能的,那么从原则上说,仅仅增加物质的数量是不够的,一定空间里 的一定数量的物质同样可能逐渐减少,直到消失。因此,巴门尼德在 否定虚空的同时也否定了变化,这倒是十分正确的。

    恩培多克勒并没 有真正解决这个难题。我们将在后面看到原子论者们是如何解决这个 问题的。 恩培多克勒知道光的传播需要时间,也知道月光是反射的。尽管 我们不清楚他是怎样获得这些知识的。他的宇宙观建立在以外部的 “冲突”和内部的“爱”结合其他元素推动世界的循环理论上。“冲 突”不断地排挤“爱”,直到其他元素分离,“爱”也不见了踪影; 然后再反过来,世界又回到起点。

    与这种循环论相关联的是他的生命观。在循环的最低阶段,当 “爱”侵入球体时,各种不同的动物纷纷产生;当“冲突”消失后, 就遵循“适者生存”的原则,任由各类事物自由发展组合;当“冲 突”出现时,分化就开始了,我们人类的世界处在这个过程的高级阶 段,更多地为“适者生存”的进化原则所支配。

    最后,我们必须注意到恩培多克勒对医学和生理学的兴趣。他从 毕达哥拉斯学派的弟子——克罗顿的阿尔克梅翁医生那里,吸取了下 述理论:健康就是对立因素之间的适当平衡;如果其中一个因素占了 上风,就会出现疾病。同样,他还接受了气孔理论,即整个人体通过 气孔进行呼吸,正是这些气孔使我们有了感性知觉。特别是他的视觉 理论,在很长的时期里都处于主导地位。该理论提出了这样的观点: 视觉是所视物体中流出来的东西与眼里发出的光交汇的结果。

    恩培多克勒的宗教观念继承了俄耳浦斯传统,与其哲学相去甚 远,因此我们不必在这里多作停留。然而,让人感兴趣的是,在他的 宗教著作中,似乎提出了某些与其世界观不一致的观点。这种差异是 常见的,特别是在那些没有对自身信仰进行批判性验证的人当中更是 频频出现。要同时接受两种相互矛盾的观念,确实不大可能;但有的 人就喜欢今天相信这个,明天又相信完全相反的另一个,而从不怀疑 其中可能存在着不一致的地方。

    现在要说到的故事将把我们带回到公元前5世纪,许多只能在前苏 格拉底哲学中讨论的问题,实际上在苏格拉底时代也出现了,因此我 们常常不可避免地在某些方面有些重复。为了说明彼此的相互联系, 我们不得不常常超越纯粹的编年史界限。这是一个困扰着一切历史研 究的难题,因为历史不会考虑为编年史的作者们提供便利。

    过一会儿,我们还将更加具体地提到雅典。现在,我们必须对公 元前5世纪希腊的社会政治背景作简单的介绍。尽管波斯战争使希腊人 对自己的语言、文化及国家之间的联系有了更深刻的理解,但是城邦 仍然是利益的中心。除了所有操希腊语的人共同的传统外,每个城市 都持续地保持着各自的地方习俗。荷马史诗算是他们的共同遗产,但 是斯巴达与雅典的区别,就像监狱和操场的区别一样大,它同样有别 于科林斯或提佛。

    斯巴达的发展将自己带到了一个独特的转折点。由于人口膨胀, 斯巴达人被迫向外扩张,征服了附近的迈西尼部落,并将他们变成奴 隶民族,结果,斯巴达国家逐渐成为一个军事帝国。

    它的政府设有一个公民大会,大会选举出元老院,并任命两名执 政官或监察官。另外,还有两位国王,他们来自不同的贵族家庭,不 过实权掌握在执政官手中。斯巴达教育的全部目的就在于培养出严守 纪律的士兵。斯巴达以穷兵黩武闻名于整个希腊,的确,它有一支令 人生畏的军队:勒奥尼达斯和他的三百士兵在温泉关顽强抵抗薛西斯 统率的波斯军队,这肯定算得上最值得纪念的历史功绩之一。斯巴达 人不是感情脆弱、病态的民族,他们纪律严明,善于抑制个人情感。 为了不削弱种族的活力,他们遗弃畸形婴儿。孩子们很小的时候就得 离开父母,到类似于兵营的机构里接受训练。女孩的待遇基本上和男 孩一样,当时的妇女在多数情况下享有平等的社会地位。柏拉图的许 多理想国的观念都是受到了斯巴达范例的影响。

    科林斯城位于地峡之上,主导着贸易和商业。它由一个寡头统 治,曾参加过斯巴达领导下的伯罗奔尼撒联盟。科林斯人虽然偶尔也 参加波斯战争,但他们没有行使过领导权,他们对做生意更有兴趣。 科林斯并不以出政治家和思想家而闻名,倒是以娱乐场所著称于世。 它是希腊所有的殖民地中最有名的大都市之一,在它与西西里岛的锡 腊库札之间,沿科林斯海湾有一条受到保护的航道,它与广义上的大 希腊有着活跃的贸易往来。

    在西西里岛,希腊人的近邻是强盛的迦太基的腓尼基城。在薛西 斯入侵希腊的同时,迦太基人也在公元前480年试图侵犯该岛。但是资 源丰富的锡腊库札在领袖杰拉的领导下,挫败了这种企图,正如希腊 大陆在伟大君主的领导下,一次又一次消除了被征服的危险一样。

    在公元前5世纪的发展过程中,雅典逐渐取代了科林斯,这无疑是 伯罗奔尼撒战争的导火索,然而正是灾难性的锡腊库札战役使雅典最 终败北。

    在雅典西北部的玻俄提亚平原上,座落着古城提佛,俄狄浦斯的 传说就和这座城市有关。公元前5世纪,提佛也是由一位贵族寡头统治 着。它在波斯战争中所发挥的作用不值一提。在战前,提佛人与勒奥 尼达斯并没有分裂,但当薛西斯率领波斯军队入侵国土时,他们却在 普拉太亚站到了波斯人一边。为了惩罚他们的背叛行为,雅典人剥夺 了他们在玻俄提亚的领导权,并且从此以后有些蔑视提佛人。但是, 随着雅典的势力不断增长,斯巴达和提佛结成了联盟,与之抗衡。在 伯罗奔尼撒战争中,尽管提佛周围的乡村遭到了波斯军队的蹂躏,但 他们还是坚持与雅典为敌。然而当斯巴达人取得胜利时,他们却改变 立场,转而支持雅典。

    在希腊,绝大多数城邦都控制着它们的周边地带。那些生活在乡 村的人耕种田地,而政府的权力却集中在城里。公民们都有机会参与 公共事务,而且这种参与意识十分普遍,一个不关心政治的人会受人 鄙视,会被人称为“白痴”。在希腊语中,这是“自私自利”的意 思。

    希腊的土地不适合大面积耕种,当人口激增时,他们就必须从外 地进口粮食。这种供给的主要来源就是黑海沿岸附近的那些地方,几 个世纪以来,希腊人在那里建立起了大量的殖民地。作为交换,希腊 人向外出口橄榄油和陶器。

    希腊人强烈的个性体现在他们对法律的态度上。在这方面,他们 非常独立,完全不同于同时代的亚洲人。在亚洲,统治者的权威来自 法律,他们的法律是神授的;而希腊人认为法律是人制定的,而且是 为人服务的,如果某项法律不再符合时代的需要,就可以通过一致同 意的方式加以修正;但是,只要这项法律得到了公民的共同支持,那 就必须遵守。在守法方面,最经典的范例就是苏格拉底拒绝逃避雅典 法院对他的死刑判决。

    希腊人在法律上的独立性,也意味着不同的城市有不同的法律, 人们无法以和平的方式解决城市间的争端,因为没有统一的权威标 准。

    内部的相互忌妒和破坏性的个人主义,使得希腊人之间存在着严 重的分歧,国家也一直无法实现稳定。希腊曾先后为亚历山大和罗马 所征服,但是,它拥有一种允许其作为文化整体留存下来的制度和理 想。我们在前面说到过它的民族史诗,除此之外,还有别的一些文化 联系。所有希腊人都敬畏科林斯海湾北部山顶上的德尔菲神庙,并且 以某种方式遵守德尔菲的神谕。

    德尔菲是阿波罗神的膜拜中心,而阿波罗神象征着光明与理性。 在古代传说中,阿波罗杀死了代表黑暗的神虫皮彤,人们因此修建了 德尔菲神庙来纪念他的功绩。阿波罗神为希腊精神的各种成就提供保 护,同时,阿波罗崇拜还含有一种与净化仪式相关的伦理倾向。阿波 罗神自己也不得不为战胜皮彤时染上的瘴气赎罪,现在他又向那些以 血迹玷污自身的人们提供帮助。只有一种罪不能得到宽恕,那就是弑 母罪。不过有一件事成了雅典人自信心增强的一个明显的征兆,那就 是他们在埃斯库罗斯的悲剧中发现,奥列斯特有这种罪名,却被雅典 娜和阿埃罗帕哥斯宣判无罪。另一座主要的阿波罗神庙位于德罗河岛 上,该岛曾是伊奥尼亚部落的一个宗教聚会点,还一度是德罗斯联盟 的金库所在地。

    还有一种伟大的泛希腊风俗,就是在西伯罗奔尼撒举行的奥林匹 克运动会,运动会每四年举办一次,而且在举办期间,任何其他活 动,包括战争都得停下来。再没有比获得奥林匹克比赛的胜利更伟大 的荣誉了。优胜者将戴上桂冠,其所在城市还要在自己的奥林匹亚神 殿里立一尊雕像以资纪念。第一次竞赛是在公元前776年,从那以后, 希腊人就用奥林匹克运动会的四年周期来计算年代。

    奥林匹克运动会是希腊人重视身体价值的一个生动证明,也是强 调和谐的一个典型特征。人既要有肉体又要有思想,两者都必须受到 训练。值得我们牢记的是,希腊思想家与我们现代社会那种继承了中 世纪学究传统的象牙塔里的知识分子有着本质的区别。

    最后,我们还必须多费点笔墨来讲讲奴隶制度。人们常说希腊人 不善于实践,因为怕实践会弄脏他们的手,于是把这种消遣留给了奴 隶们。再没有什么比这样的总结更容易误导人的了。有证据清楚地表 明事实并非如此,这些证据就是关于他们科学成就的记录和雕塑,还 有建筑遗迹。无论如何,对奴隶的重要性是不应估计过高的,即使那 种认为绅士不必动手的势利观念真的存在。是的,在劳林山银矿干活 的奴隶们经受着非人的待遇,但总的说来,城市里的奴隶并没有遭到 有意的残酷对待,其中一个原因就是,奴隶太有价值了,特别是当他 还精通某项手工艺的时候。许多奴隶最终都成了自由人。大规模的奴 隶制出现在公元前5世纪后的希腊。

    知识实验和发明的突然大量涌现,也许是公元前5世纪最令人惊叹 的事件了,无论在艺术领域还是哲学领域都是如此。上个世纪的雕塑 在形式上还在生搬硬套埃及原型,而现在却突然贴近了生活。在文学 方面,旧的形式主义传统变成了生动活泼的希腊戏剧。一切都在扩 展,似乎没有什么是希腊人做不到的。这种巨大的自信心在索福克勒 斯的《安提戈涅》的著名开场白中表现得尤为充分: “虽然存在着很 多强大的生物,但它们谁也比不上人强大。”到了后来的时代,这种 豪情消失了,但是在近代文艺复兴时又得到了恢复。在意大利人文主 义者阿尔伯蒂的作品中,我们可以看到有关人的地位的极为相似的观 点。

    这个充满勃勃生机的时代并没有冷静客观地评价自身,过分的自 信很容易使人产生毁灭性的傲慢。正是那个世纪的后期,苏格拉底开 始提醒人们注重善的形式。

    这就是希腊文明达到无与伦比的高度的历史背景,它以和谐的宗 旨为基础,虽然受到内部冲突的破坏,但这却最终使它显得更加伟 大。尽管它从未发展成一个强有力的泛希腊化国家,但它征服了所有 曾经占领过希腊国土的人,直到今天,它还保持着西方文明的主体框 架。

    第一位到雅典来生活的哲学家是阿那克萨哥拉,从波斯战争结束 到那个世纪的中叶,他在那里住了将近30年,但他却是一位克拉左美 尼的伊奥尼亚人。阿拉克萨哥拉继承了米利都的伊奥尼亚学派的兴 趣,他的家乡在伊奥尼亚人起义时被波斯人占领,他大概就是随着波 斯军队一起来到雅典的。据史料记载,他在雅典当了一名教师,还和 伯里克利成了朋友。甚至有人说,欧里庇得斯曾经是他的学生。

    阿那克萨哥拉关注的主要是科学和宇宙论方面的问题。我们至少 知道一个证据可以证明他是一位敏锐的观察家。公元前468年至公元前 467年间,有一块体积很大的陨石坠入了埃果斯波达莫斯河。他无疑正 是以这个现象作为部分依据,提出了星辰由发光的灼热石块构成的观 点。

    虽然他在雅典结交了一些有权势的朋友,但还是引起了狭隘的雅 典保守者的厌恶。独立的、非大众化的思想在多数时代都是危险的。 当它与那些自以为是的人的偏见相抵触时,就可能给“异教徒”们带 来一种实实在在的危险。阿那克萨哥拉年轻时曾经倾向于波斯人这一 事实,使得情况变得更为复杂。直到2500年后的今天,这种情况也似 乎并没有多大的改变。无论如何,阿那克萨哥拉因被指控不敬神和归 顺波斯而受到了审判。至于他受到了什么样的惩罚以及他怎样逃脱 的,我们不得而知。也许是他的朋友伯里克利从狱中劫走了他,并迅 速将他转移到了别的地方。

    从此以后,他在兰萨库斯定居下来,并且继续讲学,直到去世。 特别值得称道的是,该城的居民对他的活动持一种更开明的态度。阿 那克萨哥拉肯定是历史上惟一死后受到学校每年放假纪念的哲学家。 他的教诲被载入课本,他的部分遗作在一些别的资料中保留了下来。 后来,苏格拉底同样被指控犯了不敬神的罪,他对法官说,他所坚持 的这种不合传统的观点实际上是阿那克萨哥拉的观点,任何人只要花 一个古希腊银币都可以买到阿那克萨哥拉的书。

    阿那克萨哥拉的学说,正如他之前的恩培多克勒一样,是一种消 化巴门尼德批判的新尝试。恩培多克勒认为基本物质是对立双方的各 个部分:热与冷、干与湿。与此相反,阿那克萨哥拉认为这样的各个 部分是按一定比例存在于一切微小物质之中的,不管它有多么小。为 了证明这一点,他求助于物质的无限可分性。正如他指出的那佯,仅 仅将事物分成更小的事物,并不能使我们最终获得不同的事物。因为 巴门尼德已经证明:不能存在的东西是无论如何也不能被划分的,也 不可能通过划分把事物变得不存在。物质无限可分的假设是非常有趣 的,他首次提出了这一观点。它的错误在这里并不重要,重要的是无 限可分的概念适用于空间。

    原子论者似乎从这里找到了一个起点,后来提出了虚空的概念。 就其最大限度的正确性而言,假如我们认可这种假设,那么阿那克萨 哥拉对恩培多克勒的批判到此为止是最为合理的。

    各种事物之所以不同,是因为对立双方的某一方占了较大的优 势。阿那克萨哥拉可能会由此认为,从某个角度看,雪是黑色的,除 非白色占了优势。这在某些方面带有赫拉克利特的特征。对立双方结 合在一起,一切事物都可以转变为别的事物。阿那克萨哥拉说,“世 上的事物都不是分离的,也不是用斧子从彼此间砍下来的”,他还 说,“除了理性,每一个事物里都包含着一部分别的事物,但也有一 些事物包含着理性”。

    这里所说的理性或智力就是取代恩培多克勒“爱与冲突”的活动 原则。理性仍然被认为是一种物质,尽管它十分罕见,十分微妙。理 性不同于其他物质,因为它是纯粹的,不含任何杂质的。正是理性在 驱动着事物运动,对理性的拥有还能使生命体与非生命体区分开来。

    关于世界的起源,阿那克萨哥拉提出了与近代思辨有某些类似的 观点,即理性在某处产生漩涡运动,由此聚积能量;各种不同的事物 按照它们量的多少进行分离,沉重的大石头被地球旋转着抛了出去, 而且抛得比别的物体更远,由于运动速度过快,它们开始发光,这就 解释了天体的性质。和伊奥尼亚一样,他认为存在着许多个世界。

    关于知觉,他创造性地提出了知觉取决于对比反差的生物原则。 因此,视觉就是光闯入了与之对立的黑暗;过于强烈的感觉会引起痛 苦和不适。这些观点至今仍在生理学中盛行。

    阿那克萨哥拉在某些方面提出了比前辈们更为精确的理论,至少 有一些线索可以说明他试图努力获得虚空的概念。尽管他常常想使理 性成为一种非物质因素,但他似乎做得不大成功。和恩培多克勒一 样,他最终也未能实现对巴门尼德的根本性批判,然而,他的无限可 分设想却在解释世界由什么构成方面标志着新的进步。尽管这离“无 限可分性属于空间”的认识还有一段距离,而这段路程是留给原子论 者来完成的。

    我们要是想像阿那克萨哥拉是一位无神论者,那就错了,但他的 神灵观念是哲学性的,与雅典的国教并不一致。正是这种非正统观点 使他受到了不敬神的指控,因为他把神与理性(一切运动的原动力) 等同起来。这样的观点必然会引起政府的关注和不满,因为它很自然 地对现有仪式活动的价值提出了质疑,因而在这方面触犯了政府的权 威。

    我们也许永远也不会知道为什么毕达哥拉斯和他的学派在公元前 510年被驱逐出克罗顿。不过我们能够看出学派在什么地方可能与正直 的公民们发生冲突,要知道,毕达哥拉斯确实在干预政治,正如希腊 哲学家们习惯的那样。尽管总的来说,很多人对哲学家持一种宽容和 漠不关心的态度,但当他们提出批评意见时,显然搅乱了职业政治的 局面。最让统治者恼火的是哲学家暗示他们其实并不像自己以为的那 样聪明。克罗顿人无疑正是出于这样的原因,烧毁了毕达哥拉斯的学 校,但是,为此而焚烧学校或人的行为恰恰证明了他们对非正统观念 的无奈。灾难的结局虽然是原来的学校被毁,但是这些非正统观念却 使那些返回希腊的幸存者们的活动更加广为人知。 我们已经知道,爱利亚学派的创始人最初是毕达哥拉斯学派的一 名追随者。后来,爱利亚哲学家芝诺对毕达哥拉斯数字论进行了破坏 性攻击。因此,了解这种理论的内容是十分重要的。

    数被认为是由单元构成,单元又由点来表示,点则具有空间度, 这种观点是说,一个单元会占据一个位置,即它具有某些度,无论是 什么样的度。这种数的理论在处理有理数时是很有效的,因为总是可 以以这种方式选择一个有理数作为单元,任何一个有理数都是单元的 整倍数。但是,当我们遇到无理数时,这种理论就失灵了。无理数是 无法用这种方法测量的。值得注意的是,“无理”是从希腊语译过来 的词,它的本义是“不可测量”,而不是“没有理性”。为了克服这 种困难,毕达哥拉斯冥思苦想,发明了一种用连续的近似值找出这些 难以捉摸的数字的方法。我们在前面说到过这种连分数的解释。在这 种数列中,我们可以通过递减数的量,使近似值大于或小于精确值, 但是在本质上,这个过程是无限的。无理数的目标是这个过程的极 限。这种观点使我们能够像接近极限一样,获得有理数的近似值。这 一特性实际上与现代极限的解释是一致的。因此,数的理论可以按照 这些方法设计出来,但是离散数与连续量之间的根本混淆被单元的概 念掩盖了。这一点直到毕达哥拉斯将此理论应用于几何学时才暴露出 来。其中有哪些难题,我们将在讨论芝诺的批判时读到。

    毕达哥拉斯在数学方面的另一主要遗产是他的理念论。后来,苏 格拉底吸收和进一步发展了这一理论。如果柏拉图的话可信,那么这 种理论也受到了爱利亚学派的有效批判。我们已经初步知道了这种理 论的数学起源。拿毕达哥拉斯的定理来说,要想绝对精确地画出一个 直角三角形,并在它的每个边画出正方形,然后测量它们的面积,这 完全是徒劳。就算画得再精确,也不可能完全精确,实际上永远也做 不到这一点。这样的图形是不能证明其定理的,因为要想证明它,我 们需要有一个不能被画出来、而只能被想像的完全精确的图形。任何 实际的图形必然在一定程度上忠实地反映了我们脑子里的图像,这就 成了理念论的一个包袱,也成了晚期毕达哥拉斯学说中著名的一部 分。

    我们已经知道毕达哥拉斯是怎样从调和弦的发现中提出和谐原则 的。在这个基础上,他还提出了健康就是对立面之间的某种平衡的医 学理论。后期毕达哥拉斯学派进一步发展了这一理论,并将和谐概念 应用于灵魂,按照这种观点,灵魂是肉体的一种和谐。这样,灵魂就 成了肉体有序状态下才具有的一种功能。如果肉体组织坏掉,肉体分 解,灵魂也就随之消失。我们可以把灵魂看做某件乐器上张开的弦, 将肉体看做安装弦的骨架。如果骨架遭到破坏,那么弦就会松弛,失 去和谐。这种观点和早期毕达哥拉斯学派在这个问题上的概念有所不 同:毕达哥拉斯似乎相信灵魂的轮回,而其后来的信徒们却认为灵魂 必会像肉体一样消亡。

    在天文学方面,后期毕达哥拉斯学派提出了一个十分大胆的假 说。根据这个假说,世界的中心不是地球,而是一团作为中心的火, 地球是围绕这团火转的一颗行星。不过我们看不见这团火,因为我们 所处的地球这一面始终背向该中心。他们认为太阳也是一颗行星,它 的光芒是对中心火的反射。这个假说向着后来亚里斯塔克提出的“日 心说”迈进了一大步。但是,毕达哥拉斯学派提出的理论在形式上却 存在着如此多的难点,以至于亚里士多德又重新坚持地球是平面的观 点。由于亚里士多德在其他问题上的权威,这个观点竟然取代了正确 的观点,在后来的时代里盛行,而该理论的来源却被人们遗忘了。

    在事物构成理论的发展上,毕达哥拉斯看到了许多早期思想家所 忽视或误解的一个特征,那就是虚空的概念。如果没有虚空,则不可 能对运动做出满意的解释。在这方面,后来的亚里士多德再一次退 步,他认为“自然憎恨虚空”。而原子论者则认为,我们必须寻找物 理学理论发展的真实脉络。

    同时,毕达哥拉斯学派试图吸收恩培多克勒所取得的成就。当 然,他们的数学观不允许他们把这些元素当做终极元素。于是他们达 成了一种妥协,这就奠定了物质构成的数学理论基础。现在,他们认 为元素是由规则的、立体状的粒子构成的。在柏拉图的《泰缪斯篇》 中,这一理论得到了进一步的发展。“元素”一词本身很可能就是由 后期毕达哥拉斯学派的思想家们创造出来的。

    在这方面,任何一位唯物主义者也不曾对巴门尼德的批判做出过 完全令人满意的应战努力。不管爱利亚学说本身有什么样的缺陷,事 实依然存在着,仅仅增加基本物质的种类是无法找到解决办法的。巴 门尼德的信徒们提出的一系列论据,强有力地说明了这一点。他们中 最重要的一位哲学家就是爱利亚的芝诺,他大约生于公元前490年,是 巴门尼德的同乡和追随者。我们除了知道他对政治感兴趣,还知道一 个重要的事实,就是他和巴门尼德曾经在雅典会晤过苏格拉底。这是 柏拉图说的,我们没有理由怀疑他。

    前面已经说过,爱利亚学说产生了一个令人吃惊的结论,因而很 多人都在试图弥补这种唯物论。芝诺试图论证,如果爱利亚学说都违 背了常理的话,那么其他声称能够打破这一僵局的理论只能产生更加 奇怪的难题。芝诺没有直接为巴门尼德辩护,而是使对手陷入自相矛 盾的境地。他从对手的假设入手,运用演绎论证法来证明对手的假设 里包含了不可能的结论,从而表明这样的假设无法成立,在事实上予 以推翻。

    这种论证法和我们讨论阿那克西曼德的进化论时提到的归谬法很 相似,但有一个重要的不同。一般归谬法会这样论证:既然结论在事 实上错了,那么必然有一个前提在事实上也错了。

    在另一方面,芝诺试图证明,从一个给定的假设中,人们可以推 出两个相互矛盾的结论,也就是说这些结论不仅在事实上不真实,而 且也不可能。因而他论证说,产生这种结论的假设本身也是不可能 的。这种论证法不用在结论和事实之间作任何比较就可以进行下去。 从这个意义说,它在问与答的范围内是纯粹辩证的。芝诺是第一次系 统地运用了辩证法的人,而辩证法在哲学中具有非常重要的作用。苏 格拉底和柏拉图从爱利亚学说中继承了它,并按各自的方式加以发 展。正是从那时起,辩证法在哲学中占据了显著的地位。

    芝诺的论证主要是为了颠覆毕达哥拉斯的单元概念。与此相关的 是,他还提出了否定虚空和否定运动可能性的论证。

    我们先看一看他是如何论证单元概念的谬误性的。芝诺说:任何 存在的事物必然具有某种量值。如果完全没有量值,它就不可能存 在。同样,事物的每一部分也具有一定量值。他还继续提出,这种说 法一时或一直都是正确的。这是一种介绍无限可分性的简单办法;不 能说任何部分是最小的,否则,事物那么多,这些部分将不得不在同 时既是大的又是小的。实际上,它们必须小得没有尺寸,因为无限可 分性表明了事物的部分是无限多的,这就要求单元没有量值,因而所 有单元的总和也没有量值。但同时,单元又必须有某种量值,因此事 物的大也是无限的。

    这个论证很重要,它表明毕达哥拉斯数的理论在几何学中失败 了。如果我们在考虑一条线,那么按照毕达哥拉斯的理论,我们应该 能说出线里面存在着多少个单元。显然,如果我们用无限可分性来假 设,单元理论立即就会瓦解。同时,我们还应该知道很重要的一点, 就是它并不是证明了毕达哥拉斯的错误,而是证明了不能同时既接受 单元理论又接受无限可分性;换言之,它们是不相容的,必须抛弃其 中一个——由于数学需要有无限可分性,所以毕达哥拉斯的单元理论 必须抛弃。另一个值得注意的问题就是归谬法本身。一个有意义的单 一命题是不会产生不相容的直接结论的,只有当它和别的命题结合在 一起时,才可能产生矛盾。这就是说,在两个不同的论证中,当其中 一个的附加命题与另一个的附加命题不相容时,矛盾才会产生。现 在,我们就有两个论证:第一,事物是很多的,单元没有大小,因而 事物没有大小;第二,事物是很多的,单元有大小,因而事物在尺寸 上是无限的。两个不相容的附加前提就是:单元没有大小和单元有一 定大小。显然,在任何一种解释中,结论都将是荒谬的。因为每个论 证的前提都有错误,错的正是毕达哥拉斯的单元理论。

    为了替巴门尼德反对虚空的理论进行辩护,芝诺提出了一个新的 论证:如果真的存在空间的话,那它必然包含在什么东西里面;这只 能意味着还有更多的空间,由此类推,多到无穷。但是芝诺并不甘愿 接受这种“退步”,于是他得出一个结论:不存在空间。这实际上是 否定了“空间是一个空容器”的观点。按照芝诺的观点,我们绝不可 能把物体和它所处的空间区分开来。显然,容器理论与巴门尼德的球 体理论是相抵触的。因为,假设世界是一个有限的球体,那么就意味 着它存在于虚空之中。芝诺在此试图维护老师的理论,但令人怀疑的 是,当他谈到一个有限的球体时,如果球体之外什么也没有,那他的 话是否还有意义呢?

    这种可以一再重复的论证叫“无限回归”,它并不总是引出矛盾 的结论,事实上,现在已经没有人反对这样的观点了:任何空间都是 更大空间的一部分。对芝诺来说,之所以会出现矛盾,是因为他想当 然地认为“存在是有限的”,因此他才会陷入这种“谬误性的无限回 归”。

    实际上,这种谬误性的回归论证就是某种形式的归谬法,它揭示 了论证的基础与别的某个真命题是不相容的。

    芝诺最著名的论证就是关于运动的四个悖论,其中最重要的是阿 喀琉斯与乌龟的故事。在这里,他再一次间接地为巴门尼德的理论做 了辩护。但由于他们自己的理论也无法解释运动,于是他把失败推给 了毕达哥拉斯学派,让他们去寻找更好的解决办法。他的论证是这样 的:如果阿喀琉斯与乌龟赛跑,那么他永远也不可能超过对手。假设 乌龟在跑道上先跑一段距离,那么当阿喀琉斯跑到乌龟的起点时,乌 龟将跑到更前面的某个位置;而当阿喀琉斯追到那个新位置时,乌龟 又跑到了稍前一点的某个位置。这样,每当阿喀琉斯接近乌龟的前一 位置时,这个讨厌的小家伙又已经跑到前面去了。 当然,阿喀琉斯会离乌龟越来越近,但他永远也不可能超过它。 我们应该知道,芝诺的论证是直接针对毕达哥拉斯学派的。因此他利 用了该学派的假设,即一条线是由很多单元或点组成的。这就等于 说,无论乌龟跑得多慢,它在赛跑前就已经跑了一段无限长的距离。 这是另一种论证方式,前提就是事物在尺寸上是无限的。 尽管我们不难发现这个结论的错误之处,但很显然,作为毕达哥 拉斯单元理论的反对意见,他的论证是无懈可击的。我们只有抛弃了 单元观点,才能提出一个显示该结论错在哪里的无限级数理论。比 如,一个级数里包含了许多个以某个常数递减的项,就像比赛中各连 续路程的长度一样,我们可以由此算出阿喀琉斯将在什么地方追上乌 龟。我们把这样一个级数之和定义为某个数,无论有多少个项,无论 项有多大,它们的总和都绝不会超过级数之和。但是,如果有足够 多、足够大的项相加,那么它们的和就会越来越接近级数之和。对一 个给定的级数来说,我们无需证明就可以指出,必定有一个,而且只 有一个这样的数。赛跑中涉及的这种级数就是几何级数。今天,任何 熟悉初级数学的人都能够处理好这个问题。但我们不要忘了,正是由 于芝诺的批判性工作,才使充分的连续量理论有了发展的可能;该理 论是和数的基础,如今对我们来说却像孩子的游戏一样简单了。

    芝诺的另一个悖论(有时被称为“跑道论”)揭示了辩证攻击的 另一面。论证是这样的:我们绝不可能从跑道的一边跨到另一边去, 因为这意味着我们必须在有限的时间内越过无限多的点。说得更明了 一些,就是我们在到达任何一点之前,必须先到达半个点的位置,由 此类推,没有穷尽。因此,我们永远也不可能起跑。这一论证,加上 阿喀琉斯与乌龟的论证,表明了已经起跑的人永远也不可能停下来, 从而推翻了一条线上包含着无限多单元的假说。

    通过假设一条线包含着有限的单元来进行弥补。我们先以三条长 度相等的平行线为例,它们都由同样多的有限的单元构成。让其中一 条在原地不动,另外两条则以相同的速度向相反方向移动。通过这种 方式,当两条移动的线经过静止的那条线时,三条线并排在一起。两 条移动线之间的相对速度是任意一条移动线与静止线之间相对速度的 两倍。现在,根据进一步的假设来论证,即时间和空间都是由许多单 元构成的,那么通过计量在给定时间内经过某一给定点的距离点数, 就可以计算出速度来。当一条移动线经过静止线长度的一半时,它就 经过了另一条移动线的全长。因此,后一时间就是前一时间的两倍。 但是,为了到达相互并列的位置,两条移动线得花同样的时间。于是 两条移动线的速度似乎是它们实际移动速度的两倍。这个论证有点复 杂,因为我们通常不是从距离上,而是从时间上考虑速度的。但它确 实是对单元理论的极为合理的批判。

    最后是有关飞矢的悖论。飞行中的箭在任何时候所占的空间都和 它自身体积相等,因此它是静止的,而且是永远静止的。这就是说运 动甚至不可能开始,但前一个悖论说的却是运动总要比实际速度快。 芝诺正是用这一论证否定了毕达哥拉斯的离散数量理论,并为连续量 理论打下了基础,这也正是维护巴门尼德连续球体理论所必须做的。

    爱利亚学派另一位重要哲学家是萨摩斯的梅里苏斯,他和芝诺是 同时代的人。关于他的生平,我们只知道他是萨摩斯起义时期的一位 将军,在公元前441年打败了一支雅典舰队。梅里苏斯对巴门尼德理论 的一个重要方面进行了修正。我们知道,芝诺为了维护老师的尊严, 不得不一再坚持否认虚空。但是,把存在说成是一个有限的球体,也 是不可能的。因为这暗示着球体之外还有别的什么东西,或者说还存 在着虚空。一旦否认了虚空,我们将被迫把物质世界看成在所有方向 上都是无限的。这就是梅里苏斯得出的结论。

    梅里苏斯在为爱利亚学派的“太一”理论作辩护时,几乎预见到 了原子论。他辩论说,假如事物是很多的,那么每一事物本身必定像 巴门尼德的“太一”一样。因为任何事物都不可能形成或消亡,所以 惟一可以成立的理论就是把巴门尼德的球体分解成许多小球体,这 样,很多事物才能产生,而这正是原子论者至今仍在继续进行的课 题。

    芝诺的辩证法主要是破坏性地攻击了毕达哥拉斯的观点,同时也 为苏格拉底的辩证法,特别是为我们后面将遇到的假说方法奠定了基 础。而且,他首次针对某个具体问题,系统地运用了严密的论证。爱 利亚学派可能对毕达哥拉斯的数学深有研究,因而他们希望在该领域 看到这种方法得到应用。遗憾的是,很少有人知道希腊数学家们分析 时所用的实际方法。但是显然,公元前5世纪后半叶数学的迅猛发展, 与论证的既定原则的出现有关。

    我们怎样才能从根本上解释这个变化无常的世界呢?显然,解释 的真正本质是它自身的基础不能变化无常。最早提出这个问题的是早 期的米利都学派,我们已经了解到,后来的学派逐渐对这个问题进行 了修正。后来,另一位米利都派哲学家对此作了最后的回答,他就是 留基伯。我们除了知道他被誉为“原子论之父”外,不知道他还有哪 些重要成就。原子论是爱利亚学说的直接产物,梅里苏斯几乎是偶然 间发现它的。

    留基伯的理论在“一”和“多”之间达成了妥协。他采用无数粒 子作为组成部分的概念,每个粒子都具有巴门尼德球体的特征:坚 固、立体、不可再分。这就是“原子”,就是那些不可分割的东西。 它们总是在虚空里运动着。所有原子的成分都被假设为相同,但在形 态上可以有所不同。所说的这些粒子不可分割的特性,是指无法用物 理手段将它们分解,它们所占的空间在数学上当然可以无限地分割下 去。我们之所以无法用普通方法看见原子,是因为它们极其微小。现 在,我们可以对事物的形成和变化进行解释了,正是由于原子的种种 重新组合,世界才有永远变化的一面。

    如果原子论者们使用巴门尼德的语言,那他们就不得不说“不存 在”和“存在”同样真实。换言之,空间之类的东西是存在的。至于 那究竟是什么,就不好说了。我认为在这方面,今天的人们并不比古 希腊人进步了多少。我们真正有信心说出的一切就是,在某种意义 上,几何学是适用于虚空的。唯物主义早期的困难正是在于他们坚持 认为万物应该是有形的。巴门尼德也许是惟一对虚空概念有清晰认识 的人,当然,他否认了虚空的存在。同时,必须了解的是,“不存在 的是存在的”在希腊语里并不等于措辞上自相矛盾。以下事实就是线 索:在希腊语中,有两个表示“不”的词,一个是范畴性的,如陈述 句“我不喜欢……”;另一个是假设性的,用以表示命令、愿望等 等。这个假设性的“不”出现在爱利亚人的短语“不存在”里面。要 是范畴性的“不”用在“不存在的是存在的”这句话里,当然就会使 人莫名其妙。由于英语里没有这种区别,因此难免要在这里说一些题 外话。

    人们经常会问,古希腊人的原子论是通过观察得出的呢,还是黑 暗中的意外收获?他们除了哲学上的沉思以外,有没有做别的基础工 作?这个问题的答案不像我们想像的那么简单。一方面,正如上面所 说,原子论显然是常识与爱利亚学说之间惟一可行的妥协,爱利亚理 论是对早期唯物主义的逻辑批判。另一方面,留基伯是一位米利都 人,熟知其伟大同胞及前辈们的各种理论。他自己的宇宙论就说明了 这一点,因为他并没有追随毕达哥拉斯学派,而是接受了阿那克西曼 德早期的观点。

    在某种程度上,阿那克西美尼的“聚散论”显然是以观察下述现 象作为基础的,如雾气在光滑的地面上凝聚等等。因此,这是把爱利 亚学派的批判吸收到粒子理论里的结果。原子应当服从于永恒运动的 说法很可能也出自同样的观察,或者是对尘埃在一束阳光里飞舞的观 察。无论如何,阿那克西美尼的理论并没有起到真正的作用,除非我 们考虑的是一大批密集的粒子。因此,那种认为希腊的原子论只是猜 想的看法显然是不对的。当近代的道尔顿重振原子论时,他清楚地理 解了古希腊人在这个问题上的观点,并且发现该观点还为他观察化学 物质按固定比例结合提供了某种解释。

    另外,还有更深层的理由可以证明原子论不是偶然产生的,这涉 及对本身逻辑结构的解释。我们为什么要对事物做出某种解释?那是 为了证明所出现的现象怎样才是事物构型变化的结果。因此,如果我 们想对某个物体的变化做出解释,就必须指出所假设的各种成分(这 些成分本身不被解释)排列组合的变化。只要不调查原子本身,那么 原子的解释功能就不会受到影响。如果我们要探究原子本身,那么原 子就成了经验探索的目标,而起解释作用的实体则成了次原子微粒, 这次又轮到次原子微粒不能被进一步被解释了。法国哲学家E.梅耶松 曾对原子论的这个方面作过非常详尽的论述。因此,这样的原子论是 符合因果解释的结构的。

    德谟克利特进一步发展了原子论。他是阿伯德拉人,事业的巅峰 期大约在公元前420年。他的特殊之处在于,他将事物的本质和表象进 一步区分开来。因此,按照他的原子观,我们所处的世界实际上是由 运动的原子组成,而我们正在以各种方式体验它。这就产生了很久以 后才被称为本初性和从属性的区别。一方面存在着形状、大小、物 质,另一方面存在着色彩、声音、味道等等。那么从属性就必须根据 原子自身具有的本初性来加以解释。

    在我们探讨的过程中,还将多次遇到原子论,我们将在适当时候 讨论它的局限性。在这里,我们只是指出原子论并不是异想天开的结 果,而是经过150年才发展起来的、对米利都人的问题所做出的一个严 肃的回答。

    原子论除对自然科学产生了重要作用,还产生了一个新的灵魂理 论:和其他一切事物一样,灵魂也是由原子构成的。灵魂的成分比别 的原子更加精细,并且遍布全身。后来,伊壁鸠鲁及其门徒根据这个 观点,得出了这样的结论:死亡就意味着瓦解,个人的不朽是不存在 的。幸福作为生命的终极目标,就存在于灵魂的平衡状态之中。

    随着公元前5世纪各哲学学派的发展,出现了一些在某种意义上处 于哲学边缘的人,他们通常被称为诡辩家。苏格拉底轻蔑地说他们是 把无理说成貌似有理的人。我们很有必要了解这种运动的形成以及它 在古希腊社会发挥了什么样的作用。

    哲学辩论的背景不断变化着,人们很难看出真理到底在哪一方。 务实的人没有时间去听那些没有结果的争论,他们仅仅希望问题得到 积极的解决,一个没有定论的问题只会遭到他们的诅咒。总的来说, 这种状况为诡辩家提供了用武之地,因为哲学家们相互冲突的理论使 人很难相信他们的知识是可信的。此外,与其他民族广泛交往的经历 表明,不同民族的习俗之间存在着不可逾越的障碍。希罗多德曾经说 过一个轶闻:在波斯大帝的宫廷里,各地部落的代表们会聚一堂,当 他们听说了其他部落的丧葬习俗后,都感到万分恐惧。因为有的部落常常将尸体火化,而有的则把尸体吃掉。希罗多德在结论中引用了平 达的话:“习俗乃万物之王。”

    诡辩家们感到拥有知识是不可能的,所以宣称知识并不重要,重 要的是有价值的意见。当然,这里面也包含着一定的真理,因为在处 理实际事务时,成功确实是压倒一切的想法。苏格拉底对此提出了相 反的观点。诡辩家们感兴趣的是彻底的实践,而苏格拉底却认为这不 够,他认为没有经过审验的生活是不值得去过的。

    在一个时期里,希腊几乎没有什么系统教育,正是诡辩家们承担 了系统教育的任务。他们都是专职教师,工作是巡回讲课或指导。他 们为苏格拉底所厌恶的行为之一就是收学费。人们也许觉得苏格拉底 在这个问题上有点不公平,因为即便是空谈家也要吃饭啊。值得注意 的是,直到今天,学术传统仍然认为工资是一种能让教授们忘掉物质 问题的聘用费。

    诡辩家们在讲课时各有重视的科目。他们最值得称道的活动只是 提供了某种文字教育,但也有一些人在讲授具有实践价值的科目。随 着公元前5世纪民主制度的扩大,演讲的能力变得日益重要起来,修辞 学教师也就应运而生了。同样,政治学教师会教学生们如何在集会上 处理事务。还有辩论学教师,他们能把坏的说成好的,这种技巧在被 告必须为自己辩护的法庭上十分有用,教师们会告诉学生如何歪曲论 证,进行反驳。

    把辩论与辩证区分开来是十分重要的。辩论者的目的是取胜,而 辩证者则是要努力发现真理。实际上,这就是辩论和讨论的区别。 虽然诡辩家们在教育上承担了重要的使命,但他们的哲学观点不 利于对真理的探索。因为他们对知识持否定态度,他们的观点是令人 绝望的怀疑主义。这种思想可以用普罗泰戈拉的一句名言来概括: “人是万物的尺度,是存在的事物存在的尺度,也是不存在的事物不 存在的尺度。”因此每个人的观点对自己来说都是真实的,人与人之 间的分歧不可能用真理来判定是非。难怪诡辩家特拉西马库斯会把 “正义”定义为“强者的优势”。

    普罗泰戈拉虽然放弃了对真理的探索,但出于实用的考虑,他似 乎还同意一种意见比另一种更好,尽管这种立场容易在被人们问到两 种意见哪一种更好时,立刻就会回到绝对真理的概念上去。无论如 何,普罗泰戈拉都是实用主义的创始人。

    下面这个有趣的故事可以说明人们是怎样看待诡辩家的。普罗泰 戈拉自信地认为自己的授课简单明了,连傻瓜都能听懂。他告诉一个 穷学生,可以等他接到第一个诉讼案,挣到收入后再支付学费。但那 个年轻人学完后却不去开业。于是普罗泰戈拉就把学生告上法庭,要 求他支付学费。普罗泰戈拉在法庭上说,这个学生必须付他学费,如 果学生胜诉,就按原来的协议付款,如果败诉,则按判决付款。没想 到他的学生却说: “如果我胜诉,按照判决就不用付款;如果败诉 (即没有获得诉讼收入),按协议也不用付款。”

    “诡辩家”一词本身就有点“智者”的含义。由于苏格拉底也是 一位教师,这就难怪当时的人们会不加区分地把他也称为诡辩家。我 们已经说过,这种划分是错误的。但直到柏拉图时代,人们才正确地 意识到这种差异。从某种意义上说,哲学家和诡辩家会引起人们相似 的反应也是很自然的。

    自远古以来,那些没有哲学头脑的人对哲学持着十分奇怪而多变 的态度。他们一方面会把那些温和而善良的哲学家当做无害的傻瓜或 怪人——他们走路望着天,问一些傻里傻气的问题,对人们真正关心 的事不管不问,对明智的公民应该参与的事务很淡漠;另一方面,哲 学的思索又确实对既定惯例和习俗有一种深刻而不定的影响。这时 候,哲学家被怀疑是企图颠覆传统与习俗的“异教徒”,他们没有无 条件地同意那些在别人看来已经足够好的习惯和观点。一旦哲学家对 人们珍视的信仰提出疑问,那些不习惯这种态度的人就会感到不安, 并做出憎恶和敌视的反应。苏格拉底因此被等同于通常的诡辩家,尤 其是传授巧辩术的教师,从而被指控进行了反传统的教学。

    第三章 雅 典

    希腊哲学史上最伟大的三个人物都与雅典有关。苏格拉底和柏拉 图出生于雅典,而亚里士多德早年在雅典学习,后来又在雅典讲学。 因此,在我们讨论他们的作品之前,先对他们生活过的城市作一番了 解是有好处的。公元前490年,雅典人在马拉松平原上孤军击败了大流 士的野蛮游牧部落。十年后,希腊人又联合起来摧毁了薛西斯的陆军 和海军。斯巴达的一支后卫部队在温泉关让波斯人遭受了重大伤亡。 随后,在雅典领导下的希腊舰队在萨拉米斯又给了敌人的海军致命打 击。次年,波斯人在普拉太亚遭遇了最后的失败。

    但是雅典也因此荒芜了。波斯人烧毁了城市和庙宇,那里的人民 已经四散而逃。于是,一次伟大的重建拉开了序幕。雅典在战斗中一 马当先,曾是战争的领导者,现在危险过去了,她又成了和平时期的 领袖。希腊大陆的人民得救之后,接下来就是解放爱琴海诸岛。在这 方面,斯巴达军队几乎派不上什么用场,因此在海湾围困波斯大王的 使命就交给了雅典海军。这样一来,雅典人就控制了爱琴海。以德洛 斯岛为中心而缔结的德洛斯联盟,最终成了雅典帝国,金库也从德洛 斯迁到了雅典。

    雅典因共同的事业而蒙受了损失,因此她认为她的庙宇应该用公 共资金来修复,这也是十分合理的事情。于是雅典人修建了拥有巴特 农神庙及其他建筑物的新的“山顶之城”卫城,其遗址一直保存到今 天。雅典成了希腊最重要的城市,她是艺术家和思想家汇聚之地,也 是航运和商贸中心,雕塑家菲迪亚斯为新神庙创作了大量雕像,尤其 是雅典娜女神的巨像高耸于卫城,俯视着神殿的前厅和台阶。历史学 家希罗多德从伊奥尼亚的哈利卡纳苏斯来到雅典定居,并且写出了他 的波斯战争史。希腊悲剧就是从参加过萨拉米斯战役的埃斯库罗斯开 始,才进入繁荣阶段的。埃斯库罗斯在《波斯人》一剧中讲述了薛西 斯的战败,主题不是出自荷马史诗,这在他还是第一次。悲剧作家索 福克勒斯和欧里庇得斯在有生之年还目睹了雅典的衰落,喜剧诗人阿 里斯托芬也是如此,他那辛辣尖刻的讽刺不放过任何人。修昔底德是 第一位科学的历史学家,他记录了斯巴达和雅典的伟大战争,在波斯 战争和伯罗奔尼撒战争之间的数十年里,雅典在政治和文化上达到了 巅峰。后人曾用一个人的名字来为这个时代命名,这就是伯里克利。

    伯里克利出身贵族。他的母亲是改革家克利斯提尼的侄女,克利 斯提尼开创了使雅典的政治体制更为民主的事业。阿那克萨哥拉曾经 是伯里克利的老师。伯里克利逐渐摆脱了当时盛行的迷信,养成了含 蓄而稳健的性格,而且有点蔑视平民。但正是在他的领导下,雅典的 民主政治才得以完全成熟。当时,类似上议院的雅典最高法院已经丧 失了大部分权力,除了审判杀人罪,其全部作用已被500人议会、市民 大会和法庭所取代。这些机构所有的成员都是享受俸禄的国家官员, 全都通过简单抽签选举产生。新的社会服务制度在一定程度上改变了 旧的传统美德。

    伯里克利具有做领袖的天赋。公元前443年修昔底德被放逐后,伯 里克利每年都被选为将军之一。由于深受人民爱戴,这位极具魄力的 演说家和能干的政治家使同僚们黯然失色,伯里克利几乎像独裁者一 样统治着雅典。修昔底德后来在提起伯里克利时期的雅典时写道,民 主只是虚有其名,雅典实际上是被第一公民统治着。只是在伯罗奔尼 撒战争爆发前的几年里,民主党派才开始要求更多的权力。直到那 时,人们才认识到把公民权限制在公元前441年之前的雅典父母所生的 雅典人所带来的恶果,以及无节制的大兴土木所造成的财政紧张。由 于斯巴达不满雅典的帝国作风,战争爆发了,从公元前431年持续到了 公元前404年,最后以雅典的彻底失败而结束,伯里克利本人死于公元 前429年战争爆发之初,也就是瘟疫袭击雅典的公元前430年。雅典虽 然在政治上衰落了,但它作为文化中心却长盛不衰。直到今天,它仍 然是人类努力追求的一切伟大、美好目标的象征。

    现在,我们来谈谈雅典人苏格拉底。也许他是一位尽人皆知的哲 学家。我们对他的生平了解不多,他大约出生于公元前470年,是雅典 公民,几乎一贫如洗,也不想努力赚钱。他最大的消遣就是和别人讨 论问题,并为年轻的雅典人讲授哲学,不过他不像诡辩家那样收取学 费。喜剧家阿里斯托芬曾在《云》一剧中取笑他,因此可以断定他是 雅典全城皆知的人物。公元前399年,他被指控从事了违背雅典人传统 的活动,被判处服毒自尽的死刑。

    至于别的细节,我们必须依赖他的两位学生——色诺芬将军和哲学家柏拉图的著作了。其中柏拉图的著作更重要。他在几篇谈话录中 向我们展示了苏格拉底的生活和言论。我们从《会饮篇》中了解到苏 格拉底很容易进入失神状态。他会在某个地方突然停住,有时陷入沉 思达数小时之久。同时他又有着强壮的体格,据说他在服兵役期间, 比别人更能忍受严寒和酷热,也更能忍饥耐渴。我们还知道他在战场 上很英勇,有一次冒着极大的危险救了他的朋友阿尔西庇亚德的命, 当时阿尔西庇亚德已经负伤倒地。无论在战争时期还是和平时期,苏 格拉底都是一个无所畏惧的人,这一点直到他临终时也没有改变。他 长相一般,不修边幅,穿着又皱又破的短袖长袍,而且还总是打着赤 脚。他做任何事都很从容,对自己的身体有着惊人的控制力。虽然他 很少喝酒,但一旦痛饮起来,却能让同伴们瘫倒在桌子下,而自己却 毫无醉态。

    从苏格拉底身上,我们发现了晚期希腊哲学中斯多葛学派和犬儒 学派的先兆。和他一样,犬儒学派不关心世俗利益;而斯多葛学派则 喜欢把德行作为众善之首。除了年轻时代,苏格拉底并不过多地作科 学思考,而主要思考善的问题。在柏拉图早期的一些对话录中,苏格 拉底在这一点上的表现尤为突出,我们发现他在致力于伦理学术语的 定义。《卡密德篇》提出了什么是适度,《露西思篇》提出了什么是 友谊,《拉黑斯篇》则提出了什么是勇气。虽然他没有向我们提供那 些问题的最终答案,但却向我们表明了提出那些问题的重要性。

    他本人的主要思想在这里得以显示。尽管他总是说自己无知,但 他并不认为知识是不能获得的东西。我们恰恰应该努力去寻求知识, 因为苏格拉底认为一个人犯错误或犯罪的原因正是无知。一个人只有 懂得了知识,才不会犯过失。因此,无知是罪恶的一个首要根源。为 了达到善的境界,我们必须具备知识,所以善也就是知识。善与知识 的联系成了整个希腊思想的一个标志。基督教的伦理观是与此完全相 反的,它认为重要的是有一颗纯净的心,而无知的人心灵可能更纯 净。

    苏格拉底试图通过讨论来澄清这些伦理学问题。这种以问答的方 式来发现事物的方法被称为辩证法,苏格拉底很擅长辩证法,尽管他 不是最早使用这一方法的人。根据柏拉图的对话录《巴门尼德篇》的 记录,苏格拉底年轻时曾见过芝诺和巴门尼德,并且了解了这种辩证 法,后来他又传授给了别人。柏拉图的对话录表明,苏格拉底是一位 具有幽默感、尖刻和机智的人。使他出名、并且令人畏惧的就是他的 反讽。“反讽”是一个希腊词,字面意思有点像英语里的“有意识的 非充分陈述”。因此,当苏格拉底说自己无知的时候,就是在运用反 讽,尽管在玩笑的背后总是隐藏着某个严肃的观点。苏格拉底无疑熟 知希腊所有的思想家、作家和艺术家的成就。但是当我们面对浩瀚无 边的未知领域时,我们知道的就太少了,简直就像一无所知。一旦清 楚了这一点,我们就确实可以说自己无知。

    《申辩篇》是苏格拉底行为的最佳记录,它向我们展示了审判苏 格拉底的情形。这是他为自己所作的辩护,或者确切地说,是柏拉图 后来根据回忆记下的话,它不是一字不差的报道,而是苏格拉底有可 能说的一些话。这种报道方式并没有什么不同寻常之处,历史学家修 昔底德就曾很直率地使用过这种方式。因此,《申辩篇》可算是一篇 历史作品。

    苏格拉底被指控为不信国教的异端,而且还以授课方式毒害青 年。这完全是一个虚假的诬告。政府反对他是因为他和贵族派别的联 系,他的绝大多数朋友和学生都属于这个派别。由于有大赦法,法院 难以在这项指控上有所作为,所以就让民主派政客安尼托斯、悲剧诗 人迈雷托斯和修辞学教师吕康充当正式起诉人。

    诉讼一开始,苏格拉底就充分运用了他的反讽才能。他说指控他 的人犯了强辩罪,所发表的言论华而不实。他自己已经年过七十,以 前从未上过法庭,因此请求法官们容忍他不合法律程序的讲话。苏格 拉底在这时还提到了一些更狡猾、更阴险的控告者,因为他们躲在幕 后,更加难以捉摸。这些人一直到处宣称苏格拉底是“一位智者,通 晓天文地理,能把坏的说成好的”。苏格拉底回答说,他不是科学 家,不像诡辩家那样为了钱而讲课,也不知道诡辩家们到底懂得些什 么。

    那么,人们为什么要称他为智者呢?因为德尔菲的神谕曾经说 过,没有人比苏格拉底更智慧。他也曾设法证明神谕是错误的,于是 他找到那些公认的聪明人,向他们提出问题。他问过政治家、诗人、 手艺人,发现他们没有一个人能够说清自己在做些什么,没有一个堪 称聪明。在指出别人无知的同时,他也给自己大量树敌。终于,他明 白了神谕的深意:只有神才是最智慧的,人的智慧是微不足道的。在 人当中,像苏格拉底这样有智慧的人却看到了自己智慧的渺小。因 此,他一生都在揭穿那些假装有智慧的人,尽管这样做使得他成了穷 人,但他必须去执行神谕。

    苏格拉底在质问原告迈雷托斯的时候,迫使他承认整个国家除了 苏格拉底,所有的人都在使青年进步。但是和好人在一起应该比和坏 人在一起更好,因此他不可能故意毒害雅典人,假如他无意中做了, 迈雷托斯应该纠正他,而不是控告他。苏格拉底还被指控树立了自己 的新神,但迈雷托斯同时又严厉地指责他不信神灵,这种说法显然是 自相矛盾的。

    这时,苏格拉底告诉法庭,说他的使命就是执行神的旨意,研究 自己和别人,即便是冒着与国家冲突的危险。苏格拉底的这种态度告 诫我们,“对忠诚的分裂”正是希腊悲剧的主题之一。他说自己是一 只令国家厌恶的牛虻,并且说有一个来自内心的声音始终在指引着 他,它禁止,而从不命令他去做什么。正是这种声音阻止他参与政 治,因为没有人能够在政治中保持长久的诚实。原告们没有提出让他 的任何一位学生出庭作证,他也不会带着自己哭哭啼啼的孩子们来乞 求怜悯,他应该说服法官,而不是乞求恩惠。

    当法庭做出有罪判决时,苏格拉底发表了一番措辞尖刻的演说, 提出愿意为此支付30米尼的罚金。这当然遭到了拒绝,死刑被再次确 认。在最后陈词中,苏格拉底警告那些控告他的人,说他们将为自己 的罪行遭受严重的惩罚。随后,他转向他的朋友们,告诉他们所发生 的一切不是罪恶。不必害怕死亡,死亡就像无梦的睡眠,或者像另一 个世界的生活,在那里,他可以不受干扰地同欧尔费、缪索斯、赫西 俄德以及荷马交谈,而他们肯定不至于杀死一个提问者。

    由于去德洛斯作年度宗教访问的船只因风暴而推迟返航,而在它 返回之前是不宜处决死囚的,因此苏格拉底在喝下毒芹酒之前,在狱 中被关了一个月,在这期间,他拒绝了越狱逃走,《斐多篇》中说, 在临终前的最后几个小时,他还在和朋友及门徒们讨论永生的问题。

    当你读完这本书后,将会发现没有哪位哲学家占有柏拉图和亚里 士多德那样大的篇幅,这是由于他们在哲学史上占有独特的地位。首先,他们是前苏格拉底各学派的继承者和系统的整理者,他们发展了 那些思想,并且使许多未能被早期思想家充分揭示的问题变得明晰起 来。另外,他们在各个时期都对人类的想像力产生巨大的影响。西方的思辨论证无论在哪方面发达起来,背后都有柏拉图和亚里士多德的 影子。最后,同他们之前或之后的任何思想家相比,也许他们对哲学 做出了更多实质性的贡献。他们几乎在所有的哲学问题上都发表过一 些有价值的言论。今天,任何试图在学术上有所独创而忽视雅典哲学 的人,都要冒巨大的风险。

    柏拉图的一生经历了雅典的衰落和马其顿的兴起。他生于公元前 428年,也就是伯里克利去世的第二年,因而他是在伯罗奔尼撒战争中 长大的。他活了八十多岁,死于公元前348年。他有着贵族的家庭背景 和成长环境。其父阿里斯顿的祖先可追溯到古代雅典的王室,他母亲 伯里克蒂阿尼则来自长期活跃于政坛的家族。柏拉图还是个孩子的时 候,他的父亲就去世了,母亲随即改嫁给他的叔叔毕利兰伯,毕利兰 伯和伯里克利既是朋友又是同党,柏拉图的性格似乎就是在继父家中 形成的。有了这种背景,就难怪他会对公民的政治责任抱有坚定的信 念。他不仅在《理想国》一书中鲜明地表达了这些看法,而且还亲身 实践。在他的早年,他似乎有可能做一个诗人,而且多少被认为应该 从事政治活动。不过这种雄心在苏格拉底被处死之后突然消失了。这 个恐怖的政治阴谋在这个年轻人心头留下了难以磨灭的印象。没有人 能在党派政治的圈子里保持长久的独立和正直。从此,柏拉图最终决 定一生致力于哲学研究。

    苏格拉底是柏拉图家族的老朋友,柏拉图很小的时候就已经认识 他了。苏格拉底被处死后,柏拉图和苏格拉底的一些其他追随者逃到 了梅加腊避难,一直住到舆论平息。这之后,柏拉图似乎外出旅行了 多年,到过西西里、意大利南部,甚至还可能去过埃及,但我们对他 这一时期的情况所知甚少。无论如何,我们发现他在公元前387年又在 雅典出现了。这时他创办了一所学校,学校在雅典西北部离城很近的 一个小树林里。这块土地与传奇英雄阿卡得摩斯有关,因此学校取名 为“阿卡德米(学院)”。学校的组织结构仿效了意大利南部毕达哥 拉斯学校的模式,柏拉图在旅行中曾与该学校有过往来。阿卡德米是 中世纪以后出现的大学的前身。作为一所学校,它存在了900多年,比 任何同类机构都要长久。到了公元529年,它才被查士丁尼大帝关闭, 因为这种古典传统的存在有违他的基督教原则。

    阿卡德米的各种科目与毕达哥拉斯学派的传统科目大致相同。算 术、平面几何、立体几何、天文学、声学、和声学是教学的基本内 容。也许是由于与毕达哥拉斯学派的密切联系,阿卡德米很重视数 学。据说学院的入口处有一块铭文,提醒那些不喜欢这些学科的人不 要入学。学生们接受这些学科的教育长达十年的时间。教育过程如此 漫长,是为了把人们的注意力从纷杂的经验世界引到世界背后永恒不 变的架构上来,用柏拉图的话说,就是从形成转向存在。

    不过这些学科并不是独立的,它们最终都要服从于辩证法原则, 对这些原则的研究正是教育的真正特点。从现实的意义上看,即便到 了今天,这仍然是教育的真正目的。大学的作用不是把尽可能多的事 实塞进学生的大脑,而应该是引导学生养成批判和观察的习惯,以及 理解与所有问题相关的原则和标准。

    我们不可能了解到阿卡德米的组织细节,但是通过一些文字线 索,我们可以推测它一定在很多方面都类似于近代的高等教育机构。 学院配有科学仪器和一座图书馆,除了授课,他们还举办研讨会。

    由于有了这样一所学校来提供教育,诡辩家们的生意很快就衰落 了。当然,为了使学院维持下去,来这里学习的人必然得捐献点什 么。但在那时候,钱并不是真正重要的问题。除了因为柏拉图十分富 有,足以忽视这些问题,更重要的是由于学院的办学目的是为了训练 人们理性地进行独立思考。学生们不必将所学直接用于实践,这与诡 辩家的目的完全相反,后者除了通晓世事外,再无其他要求。

    亚里士多德属于阿卡德米的第一批学生,也是该学院最著名的学 生。他少年时就前往雅典,到该学院求学,并在那里住了将近二十 年,直到柏拉图去世。我们从亚里士多德那里得知,他的老师授课前 从来不备课。我们还从其他的资料中了解到,在专题研讨会或小组讨 论会上,老师会提一些问题让学生们去解决。他们的对话记录就是书 面的哲学论文,这些论文所针对的不是学生,而是更广泛的受过教育 的公众。柏拉图从未写过一本教科书,也一直不肯将他的哲学思想整 理成某种体系。他似乎觉得世界实在过于复杂,以至于无法将它压缩 到一个预先设计好的书面模子里去。

    在阿卡德米成立二十年的时候,柏拉图再次出国。公元前367年, 锡腊库札的统治者狄奥尼修斯一世去世,他的儿子狄奥尼修斯二世继 位。这位三十岁的年轻人似乎不够老练,没有足够的经验来掌握像锡 腊库札这样重要国家的命运。实际掌权的是他的姐夫狄奥,狄奥是柏 拉图热心的朋友和崇拜者。他邀请柏拉图去锡腊库札的目的,是想让 他检验一下狄奥尼修斯的本事,并把他培养成一个见多识广的人。要 使这样一个计划取得成功,可能性并不大。但柏拉图同意试一试,一 方面当然是由于他和狄奥的交情,另一方面由于这是对阿卡德米声望 的一种考验。同时这也确实给了柏拉图一个机会,看看他的教育理论 对统治者是否有效。这种科学教育能否把一个政治家变成更聪明的思 想家,确实值得怀疑,不过柏拉图显然认为这是可能的。如果西部的 希腊人要想在日益强大的迦太基势力面前站稳脚跟,那么在西西里有 一位有能力的统治者是十分重要的。假如一些数学训练能使狄奥尼修 斯变成这样的强者,那么可算成就不小,而且即使失败了,也不会有 什么损失。

    刚开始,柏拉图取得了一些进展,但是好景不长,狄奥尼修斯没 有长期坚持学习的毅力,而且,他是一个令人厌恶的阴谋家。由于嫉 妒狄奥在锡腊库札的影响和他与柏拉图的友谊,他放逐了狄奥,让他 流亡他乡。这时候,柏拉图再留下来也不可能有什么作为了,于是他 就返回了雅典的阿卡德米。尽管远在雅典,他仍然尽力设法挽回,但 已经没有用了。公元前361年,他再次来到锡腊库札,为挽回局面作最 后一次努力。他花了近一年时间来制定一些切实可行的措施,试图把 受到迦太基威胁的西西里的希腊人团结起来,但结果告诉我们,保守 派的敌意是无法逾越的障碍,起初甚至危及到了柏拉图的生命,但最 终他还是于公元前360年想办法离开锡腊库札,回到了雅典。后来,狄 奥靠武力恢复了他在锡腊库札的地位。不过,尽管柏拉图向他提出过 忠告,他仍然是一个失策的统治者,他在某个时候被人暗杀了。虽然 柏拉图竭力劝说狄奥的追随者采取原有的策略,但他的忠告没有引起 重视。最后,西西里的命运正如柏拉图所预见的那样,为外国所征 服。

    柏拉图于公元前360年回到雅典后,继续在阿卡德米授课和写作, 作为一位勤勉的作家度过了他的一生。在所有的古代哲学家中,柏拉 图是惟一把自己的作品近乎完整地传给我们的人,前面所说的对话录 并没有被他当成哲学的正式论文和技术性论文。柏拉图清楚地看到, 如果像过去许多哲学家所做的那样,追求建立一套体系来取代所有其 他体系,这种尝试必然会面临重重困难。另外,在所有哲学家中,他 的独一无二还在于,他既是一位伟大的思想家,又是一位伟大的作 家。柏拉图的作品说明他是世界文学史上的杰出人物之一。遗憾的 是,这种独特性至今在哲学界仍然十分少见。有很多哲学著作冗长浮 华、枯燥乏味或哗众取宠。在一些地方几乎形成了这样一种传统,那 就是哲学作品一定不肯流畅、明快地表述,而要在文体上搞得晦涩难 懂才算高深。这的确令人遗憾,因为它吓跑了那些喜欢哲学的外行。 当然,我们也不能想当然地认为柏拉图时代受过教育的雅典人就一定 能读懂他的对话录,并且马上就能理解其哲学的重要性。这就像不能 期望一个不懂数学的人打开一本微分几何书,就能够比以前懂得更 多。但不管怎样,柏拉图你是能够读懂的,而大多数其他哲学家就不 好说了。

    除了对话录,柏拉图的一些书信也留存了下来,这些书信主要是 写给锡腊库札的朋友们的。作为历史文献,这些书信也很有价值,不 过缺少了他特有的哲学趣味。

    我们必须讲讲苏格拉底在对话录中所充当的角色。苏格拉底自己 从未写过任何东西,因此,他的哲学思想主要是通过柏拉图留传的。 同时,柏拉图在后期的著作中又提出了自己的理论,所以我们必须弄 清楚对话录中,哪些是柏拉图的观点,哪些是苏格拉底的观点。这项 工作虽然有些棘手,但并非不可能。比如,在我们通过独立证据判断 出的后期对话录里,柏拉图批判了苏格拉底的某些早期观点。过去常 常有人认为对话录里的苏格拉底只不过是柏拉图的代言人,柏拉图通 过这种文学手法,把当时碰巧符合他思想的种种观点提了出来。但这 种说法是不尊重事实的,而且已经不再盛行了。

    柏拉图在哲学方面的影响可能比任何其他人都大,作为苏格拉底 和前苏格拉底各学派的继承者,作为阿卡德米的创办者和亚里士多德 的老师,柏拉图处于哲学思想的核心地位。无疑正是由于这个原因, 法国逻辑学家E.戈博才会这样写下这样的评语:“柏拉图的哲学不是 某种形而上学,而是惟一的形而上学。”如果我们搞清苏格拉底和柏 拉图的区别,就可以更确切地说,正是柏拉图式的苏格拉底学说对哲 学产生了深远的影响。柏拉图哲学凭其自身的魅力再次复兴是前不久 的事。在科学领域,这种复兴可以追溯到17世纪初期,而在哲学领 域,则就在我们这个时代。

    要研究柏拉图,很重要的一点,就是要牢记数学所起的中心作 用。这是柏拉图区别于苏格拉底的特征之一,苏格拉底早就对科学和 数学失去了兴趣。在以后的时代里,由于人们不能很敏锐地掌握柏拉 图的理论,就把他严肃的哲学研究当成了神秘的数字贩卖。遗憾的 是,这种不正常的现象并不像人们希望的那样少见。当然,对逻辑学 家来说,数学仍然是他们特别感兴趣的一个领域。我们现在必须要考 察一下对话录中所涉及的一些问题。要说出这些作品的文学价值不是 一件容易的事,好在这毕竟不是我们主要关心的问题。不过即便是翻 译,我们还是保留了必要的文采,以此表明哲学不必非搞得不可卒读 才有价值。

    说到柏拉图,人们马上就会想到理念论。苏格拉底在几篇对话录 中提出了这个理论。但到底是苏格拉底提出的,还是柏拉图提出的, 则是一个长期有争议的话题。《巴门尼德篇》虽然是一篇晚期的对话 录,但它却记载了苏格拉底年轻时的一件事,而那时候柏拉图还没有 出世。我们从中发现苏格拉底试图坚持理念论,以反对芝诺和巴门尼 德。我们还在另一些地方发现苏格拉底与一些显然熟悉其理论的人交 谈(理念论发端于毕达哥拉斯学派)。我们来看看《理想国》对它的 解释。

    我们先从这个问题开始:什么是哲学家?从字面上看,哲学家就 是爱好智慧的人。但并非每个有求知欲的人都算哲学家,因此这个定 义的范围必须缩小为:哲学家就是爱好真理本身的人。艺术品收藏家 爱种种美的事物,但他并不因此就成为哲学家。哲学家爱的是美本 身。如果说爱美的事物的人是在梦想,那么爱美本身的人就是清醒 的。爱艺术的人只有意见,而爱美本身的人却有知识。正如巴门尼德 所说,知识必须有一个对象,而对象必须是某种存在的事物,否则就 不会有知识。知识是固定、明确的,它是摆脱了谬误的真理;而意见 则可能是错误的。但由于意见既不是存在的知识,也不是子虚乌有, 所以正如赫拉克利特所说的那样,它一定是既存在又不存在的。

    苏格拉底由此认为,我们通过感知所了解的一切个体事物,都具 有相反的特性。一尊单独的美丽雕像也包含着某些丑的方面。从某种 角度看,个体事物是大的;从另一个角度看,它又是小的。这一切都 是意见的对象。而我们并不能通过感知把握这样的美和这样的大,它 们作为知识的对象,是永恒不变的。苏格拉底结合巴门尼德和赫拉克 利特的观点,提出了他的理念论或形式论,这一新的理论是两位早期 思想家都没有的。在希腊语中,“理念”就是“图画”或“样式”的 意思。

    理念论既有逻辑学的一面,又有形而上学的一面。在逻辑学方 面,我们可以将某一类个体对象和这一类的共同名称区分开来。因 此,“马”作为共同名称,指的就不是这匹马或那匹马,而是任何一 匹马。它的含义与作为个体的马以及发生在这些马身上的各种情况都 没有关系。它不存在于空间,也不存在于时间,而是永恒的。在形而 上学方面,理念论意味着某个地方存在着一匹“理想的”马,这匹马 是独一无二的,也是永恒不变的,这就是共同名称“马”的含义。个 体的马之所以是马,是由于它们归属于或部分归属于“理想的”马。 理念是真实和完全的,而个体则是一种表象,是有缺陷的。

    为了便于我们理解理念论,苏格拉底概括性地提出了著名的洞穴 比喻:没有哲学思想的人就像洞穴里的囚徒,他们戴着镣铐,不能转 身。在他们的后面有一堆火,前面有一堵白墙,隔断了空空的洞穴。 墙就像幕布一样,他们从上面看见了自己的影子以及他们与火之间的 物体的影子。但由于无法看到别的东西,他们就以为影子是真实的。 最后,有个人挣脱了枷锁,摸索着爬到洞口。他在那里第一次见到了 阳光,阳光正普照着真实世界的蓬勃事物。然后他又回到洞穴里,把 他的发现告诉同伴们,并试图证明他们在洞里见到的东西只不过是现 实的模糊影子。但是,由于见到了灿烂的阳光,他有些头昏眼花,发现自己此时更难辨别影子了。他试图指引同伴们走向光明,可是在同 伴们看来,他似乎比以前更加愚蠢了,因此要说服他们的确不是一件容易的事。如果我们在哲学上是门外汉,那么我们就像这些囚徒一 样,只能看到影子或事物的外表。但是,当我们懂得了哲学的时候, 我们就能在理性与真理的阳光下看清周围的事物,这就是实在。这样 的阳光赋予我们真理和求知的力量,代表着善的理念。

    如前面所说,这里的理论主要是受了毕达哥拉斯学派的启发。不 管怎样,它也不能算柏拉图成熟期的观点,以下的事实似乎可以充分 证明这一点:在他后期的对话录中,理念论先是被推翻,后来则完全 消失了。《巴门尼德篇》的核心主题之一就是批判这个理论。巴门尼 德与芝诺见过苏格拉底的说法并非完全没有依据,不妨把它看做历史 事件,尽管他们当时的谈话内容不大可能由对话录来记载。另外,他 们的谈话是符合各自的性格的,他们所表达的观点也与我们从其他独 立资料所了解到的相一致。我们还记得,巴门尼德年轻时曾受过毕达 哥拉斯学派的影响,后来又彻底摆脱了该派的说教。因此理念论对他 来说并不是新观点,要想批驳年轻的苏格拉底对这一理论的阐释,他 是可以找到现成论据的。

    首先,巴门尼德指出,苏格拉底可以把“形式”(即形式论)用 于数学对象和善、美之类的概念,却不肯把它用于元素和一些微小事 物,这是没有道理的,因为这将导致一个更为严重的问题。苏格拉底 形式论的主要难点就是怎样才能把形式与个体事物联系起来,毕竟形 式只有一个,而个体事物却很多。为了解释这种联系,苏格拉底使用 了参与的概念,但令人费解的是,个体事物是如何参与到形式中去 的。显然,整体形式是无法出现在每一个个体事物里的,因为那样的 话它就不可能成为一种形式。或者说,每个个体事物都含有形式的一 部分,但这样一来,形式也就不能说明任何问题了。

    更糟糕的还在后面。为了解释形式与所属个体事物之间的联系, 苏格拉底被迫提出了参与概念,而这个被许多事例证明了的概念本身 就是一个形式。但我们肯定会马上提问,这个形式(参与概念)是怎 样在与原来形式相联系的同时,又和个体事物相联系的?这样一来, 我们需要的似乎就不止这两种形式了,于是我们就陷入了恶性的无限 回归。即每当我们提出一个形式,试图弥补缺口时,就会出现两个新 的缺口。因此弥补缺口就像服海格立斯式的劳役一样,始终没有海格 立斯逃脱的机会。这就是著名的第三者论证,它是由于在一个特殊的 事例中,所讨论的形式是人的形式而得名。苏格拉底试图回避难题, 于是又说形式就是样式,而个体事物与之相类似。但这还是解释不了 第三者论证。因此,苏格拉底始终无法解释各种形式是怎样与它们的 个体事物相联系的。实际上,这一点是可以直接证明的,因为我们已 经假设形式是不可感知的,而是可以理喻的。在它们的领域里,联系 只能在它们彼此间发生,个体事物也是如此。这就是说,形式似乎是 不可知的。如果形式的确不可知,那么它们自然就是多余的,也不可 能再解释任何事物。由此,我们也许可以换一种说法提出这个问题: 如果形式只是其本身,而与我们的世界无关,那么它们就是空洞、没 有意义的;另一方面,假如它们与我们的世界有关,那它们就不属于 它们自己的世界。因此,形而上学的形式论是不能成立的。

    在后面,我们将看到柏拉图本人是怎样解决共相问题的。在这里 我们只需注意苏格拉底的学说经不起严密的验证。在《巴门尼德篇》 中,这个问题没有继续被追究下去。巴门尼德转到了另一个问题上, 他指出,即使在苏格拉底的形式领域之内,也不是所有的解释都令人 满意。芝诺对此作了详细的辩证批判,证明了苏格拉底关于各种形式 彼此分离的观点是错误的,这也为柏拉图找到解决办法打下了基础。

    但是,还有一个困难,这个困难将使我们回到毕达哥拉斯学派提 出的最初的理念论。我们知道,理念论的另一面来自数学中关于论证 对象的解释。当数学家提出某个三角形定理时,显然不是在考虑任何 能够被画在纸上的实在图形,因为任何这样的图形都有缺陷,不属于 数学研究的范畴。无论人们如何尝试画出一条精确的直线,它也永远 不会完全精确。由此得出的结论是,完美的直线属于另一个世界,于 是我们就有了以下观点,即形式属于与感知对象不同的存在层次。

    看上去,这个观点并非完全没有道理。比如,认为两个感知对象 近乎相同,但又不完全相同;也许它们趋向于相同,却又永远达不到 相同,这种观点似乎不是完全没有道理。不管怎样,要想断定它们完 全相同,即使不是不可能,也是极为困难的。另一方面,我们以两个 不同的事物为例。这时候我们总是一眼就能看出它们的不同。因此似 乎是不相同的形式才在感知世界里十分明了地展示了自己。如果不用 形式论术语来系统地阐述这一点,而是采用通常的方式,那我们就会 很自然地说,两个事物几乎相同,但又不完全相同。不过这种说法没 有什么意义。因此,这种批判很直接地推翻了形式论。

    也许有人会问,既然理念论已经被爱利亚学派破坏性地批判过 了,为什么苏格拉底还要继续坚持呢?他一定非常了解这种批判的威 力。不过,也许我们把这个问题倒过来看要更加中肯一些。正因为苏 格拉底在智慧方面遇到了诸多难题,他才会退避到伦理学和美学问题 中去。不管怎样,人的善是不能用我们感知头发颜色的方式来发现 的。但即便在这一领域,苏格拉底也逐渐对参与理论有些不满起来, 尽管他从未提出过其他新理论。但这也给了我们一个暗示,那就是答 案绝不能从事物里找到,而要在对事物的论证中获得。柏拉图正是朝 着这个方向继续对共相问题做出努力的。

    苏格拉底在《斐多篇》中曾经顺便提到过这个问题,尽管他没有 把问题的这一方面继续展开。而柏拉图在《泰阿泰德篇》和《诡辩家 篇》中也再次提出了这个问题。

    《理想国》也许是柏拉图最著名的对话录了,它包含了后世思想 家们(直到我们这个时代)从事的许多探索的预见。对话录就是因为 书中讨论了一个理想国的建立而得名。我们现在要描述的就是这种国 家的政体。我们知道,在希腊人看来,国家就是一座城市。希腊语 “政体”一词就说明了这一点,它的大意就是“城镇”,其含义还包 括一座井然有序的城市所具备的一切社会机构。这篇对话录的希腊语 标题就是“政体”。英语里的“政治”一词就是从这里来的。

    柏拉图把理想国里的公民分为三个阶级:管理者、士兵、平民。 管理者是少数精英分子,他们单独行使政治权力。国家建立之初,由 立法者来任命管理者,而且其职位可以亲属世袭。低阶层中的优秀孩 子可以被提拔进入统治阶级,而统治阶级中能力低下的后代也可以被 贬为士兵或平民。管理者的任务就是去执行立法者的意志。为了确保 他们这样做,柏拉图制定了一整套的计划,规定他们必须如何接受教 育和如何生活。他们将受到精神与肉体两方面的培养。精神方面有 “音乐”,即缪斯女神主管的任何一种艺术;肉体方面有“体操”, 即不必列队练习的运动。“音乐”或文化方面的训练是为了培养出有 教养的人,英国人所理解的“绅士”概念,就是从柏拉图那里产生 的。受教育的年轻人必须做到举止高雅而英勇。为了实现这个目标, 书籍必须经过严格的审查。诗人的书必须查禁:荷马和赫西俄德把诸 神描写成喜欢争吵、放纵欲望的样子,这不利于人保持对神的敬意。 神所创造的不应该说只是世界上的非邪恶事物,而是整个世界。另 外,他们的诗篇中有的章节容易激起人们对死亡的恐惧和对叛逆行为 的赞美,或者怀疑恶人会得势而好人却会遭殃。所有诸如此类的东西 都应该查禁。包括那种狭义的音乐,也应该审查,只有那种能激发勇 气和倡导节制的调式、韵律才允许存在。

    管理者必须过清心寡欲的生活,这样他们就不用求医,在他们年 轻的时候,必须与庸俗的东西隔离开,而到了一定年纪又要学会抵制 恐惧和诱惑。只有那些能够同时应付恐惧和诱惑的人才适合做管理 者。监管者的社会、经济生活必须是严格的共产主义。他们的住所很 小,只拥有一些维持个人生存的东西。他们分组进餐,吃最简单的食 物。男女完全平等,所有女人都是全体男人共同的妻子。为了保证他 们的数量,统治者会在一些节日,用抽签的方式选定一组合适的男 女,让他们聚在一起繁衍后代。孩子出生后马上就被抱走,在子女和 亲生父母之间互不知晓的方式下集体养育成人。未经许可而生育孩子 属于非法,畸形或劣质婴儿将被抛弃。这样一来,个人情感就变得越 来越微弱,而集体精神会逐渐强大起来。最优秀的孩子被选出来接受 哲学教育,这些懂得哲学的人最终将适合做统治者。

    如果是出于公共利益考虑,政府就有权撒谎。尤其是它将反复灌 输“忠实的谎言”,即告诉公众,这个美丽的新世界是神授予的。两 代人之后,人们将毫不置疑地接受这个谎言,至少普通百姓是如此。

    最后,我们来看看对正义的定义。自从柏拉图提出他的理想国概 念以来,这个定义就是所有的讨论得以展开的理由,因为他认为首先 在一个大的范围讨论正义可能会容易些。当每个人都只专心做自己的 事情时,正义就会占据支配地位。只有每个人都从事属于自己职责的 工作,而不去干涉别人的事,国家机器才能从容而高效地发挥作用。 “正义”一词在希腊语中,是与和谐概念相联系的,是与每一部分各 司其职、整体平稳运行相联系的。

    从这本书里,我们的确看到了一幅可怕的国家机器蓝图,在这样 的国家里,作为个体的人几乎消失殆尽。《理想国》中描述的乌托邦正是阿尔道斯·赫胥黎的《美丽新世界》这一类幻想的源头;而且它无疑鼓舞过很多当权者,这些人处在主导社会变革的地位,却全然不 顾可能给人带来的苦难。在这种观点盛行的任何地方,都必然会产生 这样的结果,即人被迫去适应预先设计好的制度。即使是今天,在某 些地方,“国家应该是公民的仆人,而不是相反”的观点仍然被视为 异端。国家与公民之间如何达成平衡,这是一个复杂的问题,我们不 必急于在此得到答案。总之,《理想国》中所描述的理想世界,使许 多持反对意见的人给柏拉图贴上了种种耸人听闻的标签,因此我们必 须考察它所阐述的政治理论的准确含义。

    首先,我们必须知道,柏拉图在政治事务中的后期发展出现过逆 转。这一点我们过一会儿再作考察。《理想国》里的理想社会与其说 是柏拉图式的,不如说是苏格拉底式的,它似乎是在毕达哥拉斯学派 理想的直接启发下形成的。这就是问题的关键所在。理想国实际上是 一种用合理的方式治理国家的科学家式的观点。作为一种科学家的模 式,它极有可能会诱使一位社会改革家去进行巨大变革,因为他可能 会天真地相信自己正在做一件科学的事。如果听任科学家们去做,这 种事他们是干得出来的。同时,理想国的概念也鼓励了这种认识。因 为理想国毕竟只是一个为了讨论某些问题而设想的模式。很显然,苏 格拉底正是出于这种动机才提出建立理想国的,关于这一点,我们看 看这个人间天堂的某些极端措施就知道了。另外,我们还应该考虑到 某种程度上的反讽因素。比如,没有人真的想去查禁诗人,也没有人 真的希望在性爱方面实行彻底的共产主义。当然,理想国的某些设想 是来自对斯巴达实情的考察,但它毕竟只是模式,并不意味着它将作 为一个切实可行的计划,去建立一座实际的城市。当柏拉图后来参与 锡腊库札的政治时,他也并没有试图按这种模式去建立一个理想国。 我们知道,他的目标是十分稳妥和实际的,他只想改变一位被宠坏了 的王子,使他有能力处理一个重要城邦的事务。柏拉图没有取得成功 则又当别论,但这个例子足以说明教育并不是人们所想像的那种灵丹 妙药。

    在后期的对话录中,柏拉图曾两次谈论了政治问题。在《政治家 篇》中,我们读到了他对城市里可能存在的各种政治体制的解释。出 现什么样的体制取决于统治者的数量和统治方式。既有可能是君主制 或寡头政治,也有可能是民主制;每种制度既可以按照法律原则发挥 作用,也可以抛开这些原则,总共可出现六种不同的组合。假如没有 法律原则,由于不存在统一的目的,被多数人掌握的权力就会产生最 少的罪恶。另一方面,如果有法律原则,那么民主制就是最糟糕的制 度,因为这种情况下要办成任何事情,都需要有一个共同的愿望。既 然这样,那么君主制就成了首选。

    还存在着实行混合政体的可能性,就是从六种简单政体中提取某 些因素加以组合。柏拉图在他最后一部作品《法律篇》中说,我们这 个世界似乎找不到哲学家式的君王,我们所能采取的最佳方式就是在 法律原则下,把个人统治与众人统治相结合。《法律篇》对如何组织 这种政体以及如何选举官员都作了十分详尽的指导。同时他在教育问 题上,也对我们现在所说的中等教育的时间安排与内容,给予了大量 的详细说明。在希腊化时代,文法学校是年轻人接受教育的一个必经 阶段。《法律篇》就为这类教育机构奠定了基础。

    前面已经分析过,《理想国》的政治理想并不意味着要付诸行 动。在这方面,柏拉图后期的思想是截然不同的。他对政治和教育持 一种非常现实的态度。其中许多观点都被后世不经意地接受,但它们 的源头却很快被人遗忘了。《理想国》中的体系正好相反,作为一种 体系,它曾经被普遍地误解,但它那些惊人的条款却不止一次找到了 热心支持者,结果使那些人类的“豚鼠”(实验动物)深受其害。正 是出于这个原因,柏拉图有时被说成是这些人的先驱,他们起初是不 理解他,后来又为他的力量所征服,争先恐后地走上歧途。

    尽管如此,我们还是要承认,即便是柏拉图本人,也在他的政治 思想中表现出了一定的局限性。在这方面,他也有普通希腊人对野蛮 民族的疏远情绪。这是一种自我意识中的优越感,或者只是一种从至 高无上的希腊文化中产生的思维方式,我们很难在这一点上做出判 断。

    不管怎样,柏拉图在《法律篇》中仍然认为,在建立一座新城市 (这是这篇对话假设的主题)时,为了避免被对外贸易及交往所腐 蚀,人们应当在远离大海的地方选址。当然,这样做会带来一些困 难,因为一定程度的贸易活动是必需的,总得让那些没有独立收入的 人以某种方式谋生吧。尤其是在谈到他所设想的文法学校的教师时, 柏拉图认为必须付给他们薪水,因此他们必须是外国人。

    这种政治上的封闭态度,最终使得希腊世界没有能力在更大的范 围上建立一个有生命力的组织。他们所设想的这种政治生活是静态 的,而他们周围的世界却在飞速变化着。这就是希腊人政治观念的主 要弱点所在,以帝国形式出现的罗马最终将建立一个世界性的大国。 如果说罗马人缺乏希腊人的创造力,那么,他们也没有受到城邦式的 极端个人主义的影响。

    在政治理论方面,我们可以把苏格拉底式的理论与柏拉图后来发 展的理论区分开。不过一般说来,仍有一些社会理论的特征为两人所 共有,比如他们对教育本质的看法。当然,他们的态度仅仅是在证明 希腊的探索传统而已。我们回顾一下就知道,科学和哲学研究都是在 师生之间能够密切合作的学校或社团里进行的。有一个重要的真理似 乎一开始就被认识到了,至少是被模糊地理解了,那就是学习并不是 一个传播知识的过程。当然,其中有些东西确实是必须传播的,但教 师既不是惟一起作用的人,也不是最重要的人,和那个时代相比,这 一点在今天尤为明显。因为那时的书面资料远比现在少,找起来更困 难,而我们今天则有理由说,任何一个有阅读能力的人都可以从图书 馆收集信息。和过去相比,教师更不应该仅仅是知识的传播者了。这 种观念要归功于古希腊的哲学家,他们早就明白了真正的教育应该如 何进行。教师该做的就是引导,引导学生自己领悟知识。

    但是,独立思考并不是一下子就能学会的。它必须靠自己的努 力,同时还要有好老师的帮助,后者可以指导这种努力,这也就是我 们今天大学里的有指导的研究方法。可以说,学校所起的恰当作用就 是要达到这样的效果:培养独立思考的习惯和不带成见与偏见的探索 精神。如果一所大学不能完成这项任务,那么就说明它降到了只会灌 输的水平。同时,这种失败还会导致更加严重的后果,因为在独立思 考消失的地方(无论是因为缺乏勇气,还是缺乏训练),独裁的恶习 就会肆无忌惮地扩散开来。压制批评意见是一个严重的问题,它比很 多人想像的要严重得多。这种情况一旦出现,既不能在社会上确定一 个有生气的统一目标,又会强加给国家政体某种枯燥、脆弱的共性。 遗憾的是,那些执政者和负责人并没有强烈地意识到这一点。

    因此,教育就是让学生在教师的指导下学会独立思考。事实上, 伊奥尼亚学派在办学之初就是这样实践的,毕达哥拉斯学派也对此有 清楚的认识。法国哲学家G.索雷尔曾经指出,哲学最初的含义并不是 爱智慧,而是“朋友们的智慧”。这里所说的朋友当然是指毕达哥拉 斯学派的弟兄们。无论这个定义是否正确,它至少强调了科学和哲学 是作为传统,而不是作为孤立的个人探索发展起来的。同时我们还清 楚了苏格拉底和柏拉图强烈反对诡辩家的原因,因为诡辩家们只是提 供一些实用的知识,他们的教导——如果还能称之为教导的话——是 浅陋的。也许他们能够在某些方面指导别人对不同情况做出适当反 应,但这种知识的堆砌是缺少基础的,也是没有经过检验的。当然, 这也并不是说一个真正的教师就能使每一个学生都获得成功。事实 上,教育过程的一个显著特征就是它需要师生双方的共同努力。

    苏格拉底认为,这种教育理论与另一个概念有关,这个概念可以 追溯到早期的毕达哥拉斯学派。在《美诺篇》中,学习的过程被称为 “回忆”,也就是对过去知道的、后来又被忘却了的存在事物的回 忆。这就需要前面说的那种共同努力。回忆概念的基础,就是灵魂要 经历一系列进入或脱离肉体的交替状态的观点,显然,这个观点与毕 达哥拉斯学派所坚持的轮回学说有关。灵魂脱离肉体后就像在睡眠中 一样,这就解释了为什么当我们醒着时(或者说灵魂进入肉体时), 以前学过的东西也必然会醒来。苏格拉底曾试图通过对美诺的一名小 奴隶提问来证实这一点。这个小奴隶除了日常希腊语知识外,几乎没 有受过任何教育。但是苏格拉底仅仅提了一些简单的问题,就成功地 诱导这个男孩按照给定的一个正方形,画出了一个两倍大的正方形 来。我们应该承认,把这个故事作为回忆论的证据并不能完全令人信 服。因为苏格拉底已经把图形画在了沙地上,而且每当男孩出现偏差 时,他就指出来。另外,这却是对一次教育情景的准确描述。正是按 照这个例子所提出的方式,即教师和学生相互作用,共同努力,才产 生了真正的学习过程。从这个意义上说,学习可以被描述成某种辩证 的过程,这也正是“学习”一词的希腊语本义。有意思的是,这里所 描述的教育理论,不仅在学习和哲学中,还在日常口语中留下了痕 迹,比如我们常常会说到某个人对某个问题的兴趣被唤醒或激发出 来。这个例子说明了语言发展过程中的一个普遍现象。日常语言是以 往一点一滴的哲学思维的归宿,假如那些倾向于提倡日常用语的人能 够偶尔回忆起这一点,虽然有点超出探索原则,倒也不失为一件好 事。

    苏格拉底运用回忆理论,目的是为了证明灵魂的不朽。《斐多 篇》描述了这种观点,尽管有人会认为那个例子算不上成功。但不管 怎样,后期毕达哥拉斯学派舍弃了轮回理论,这还是值得关注的。如 前所述,他们接受了一种新的观点,这种观点以和谐概念为基础,并 在事实上导致了相反的结论,即灵魂最终会消亡。关于回忆过程的教 育作用,我们也许还注意到了精神分析疗法正是完全基于对过去的记 忆重新觉醒的概念。尽管它包含着某些更神秘的因素,但比起以休谟 的观点为基础的联想心理学来,精神分析疗法更加正确地掌握了教育 与疗法之间的联系。从广义上说,教育在苏格拉底眼里就是灵魂疗 法。

    教育的过程就是引导人通往知识的过程,因此也是引人向善的过 程。这样,无知就可以被看做自由之路上的某个阶段,生活的自由正 是通过知识与洞察力来实现的。我们在黑格尔的哲学中也能看到类似 的观点,根据他的描述,自由就意味着人们对必然性的理解。

    《美诺篇》还讨论了另一个也许更为重要的问题,尽管《尤塞弗 洛篇》对这个问题的讨论更有趣味性。这就是定义的逻辑问题,《尤 塞弗洛篇》提出了这样一个问题:什么是神圣?对话录表明尤塞弗洛 试图给神圣下一个定义。在这里,他的所有努力最终白费并不重要, 重要的是在讨论过程中,苏格拉底使他懂得了形成一个定义需要具备 些什么,并由此澄清了以“种”和“属差”来下定义的形式逻辑特 征。

    对今天的读者来说,这种逻辑问题的论述方法似乎有些古怪,如 今的人们习惯了按照亚里士多德的方式,去面对枯燥、教条的教科书 的解释。柏拉图发明的这种哲学对话录体裁曾经有很多人效仿,但现 在已经过时了。这也许是一个遗憾,因为我们不能说只有今天的哲学 作品样式才是对的,与其他写作形式相比,对话录要求作者具备更高 的文学修养。在这方面,柏拉图早期的对话录是无与伦比的。我们还 要知道,这里所讨论的篇章是柏拉图在苏格拉底去世后不久写的,而 当时,他自己的哲学思想还在形成中,但作为一位才华出众的艺术 家,他的影响力已经达到了巅峰。因此,这些对话录比后期的作品更 容易阅读,因为它们更有文采,只是我们更难理解其中的哲学精粹 了。

    在早期的几篇对话录里,有这样一些谈话者,当要他们给某个术 语下定义时,他们都犯了一个根本而普遍的错误:他们不是在下定 义,只是在举例子。像尤塞弗洛那样回答什么是神圣的问题是没有用 的。他说,神圣就是揭发亵渎宗教的人。但这实际上根本不是什么定 义,它只是说明了揭发亵渎者是一种神圣的行为,但神圣的行为也可 以是别的。至于神圣到底是什么,我们仍然不知道。这就像问什么是 哲学家,有人回答说苏格拉底就是一位哲学家。如果我们回顾一下当 时谈话的情景,就会发现那种场面带着一些可笑的讽刺意味。苏格拉 底为了揭露对他的指控的本质而前往法庭,路上遇到了尤塞弗洛,后 者也正好要打一个官司,他准备去控告自己的父亲杀死了一个玩忽职 守的奴隶。尤塞弗洛是按照公众的正统惯例和宗教习俗去做的,并表 现出许多人所具有的那种自信。这种人对自己社会的习俗从不加以批 评,而总是给予有力的支持。于是苏格拉底就夸他是一位专家,还假 装向他请教道德问题,说他一定是这方面的权威。

    姑且先把道德问题放到一边,我们发现苏格拉底圆满地解释了逻 辑上所需要的东西。我们在探寻神圣的“形式”,换句话说,是什么 使神圣的事物成为神圣的。用大家更习惯的话来说,我们现在要运用 必要条件和充分条件来论述这个问题。因此,只有当某种动物具有理 性时,“它”才是人,也许蹒跚学步的孩子应该排除在外,他们是从 匍匐爬行开始的,就像其他四足动物一样。我们可以用两个相交圆的 图解方法来说明这一点。人(被定义的术语)就是两个相交圆的共同 部分,而这两个圆涵盖的分别是理性的和动物的范围。我们定义的方 法就是提出其中一个术语如“动物”,然后用第二个术语“理性的” 对它加以限定。第一个术语叫做“种”,第二个就是“属差”,也就 是从动物中挑选出人来。如果你同意,人就是具有理性属差的动物。 至少教科书上似乎是这样说的。如果慎重些考虑的话,人们就会怀 疑,这个定义(尽管在形式上是对的)会不会在实质上是一个虔诚的 错误呢?

    在伦理学方面,对话录清晰地展现了雅典的国教,也阐明了苏格 拉底的伦理观和它有什么不同。这种差异是权威主义与原教旨主义伦 理观的差异。尤塞弗洛对神圣的定义是诸神的一致赞同,当苏格拉底 想对这个定义做出进一步阐释时,问题就变得清晰起来。苏格拉底想 知道,事物是因为得到了诸神的赞同才神圣呢,还是因为它神圣,诸 神才赞同它?显然,这个问题实际上是含蓄地批判了尤塞弗洛的观 点。对他来说,问题的关键在于诸神会发出该做什么事的指令。在雅 典历史上存在过国教,这实际上就意味着必须完全服从市民大会颁布 的法令。奇怪的是,苏格拉底本人竟然承认这个问题是一个政治惯 例,但他同时又觉得自己不得不对国家本身的活动提出伦理上的质 疑,这种做法是当今的“尤塞弗洛们”不会也不可能想到的,同时, 这马上就引发了古老的“分裂忠诚”两难推理,如前所述,“分裂忠 诚”正是古希腊戏剧的核心主题之一。

    从法律与正义的问题始终伴随着我们这一事实中,我们可以清楚 地看到,“分裂忠诚”绝不是一个已经消失和被埋葬了的问题,法律 与公正之间有着怎样的联系?当我们发现某项法律不公正,但又被要 求服从时,我们怎么办?当我们盲目服从政治主子,使世界面临无法 挽回的毁灭威胁时,这个问题就会变得比过去任何时候都更敏感。

    总之,尤塞弗洛与苏格拉底的不同就在于,前者认为法律是某种 静态的东西,而后者的观点则暗示法律并非不可更改。尽管苏格拉底 没有用更多的话来详细阐述这一点,但他在这里表现得更像一位社会 理论中的经验主义者。这就使他觉得自己有责任去探讨某些惯例的善 恶问题,而不管是谁在掌握它们。他肯定也清楚,这样做会招致国家 的厌恶和迫害,这对于那些触犯了正统观念根基的“异端”思想家来 说,似乎是一种常见的命运。即使他们可能是出于完全公正的动机, 去纠正别人所受的不公对待,也同样会遭到敌视。

    在《克里笃篇》里,苏格拉底表现出了他对雅典法律的态度,该 篇说他拒绝采用越狱的方式来逃生。尽管法律是不公正的,但也必须 遵守,以免败坏法律的声望。然而他却没有认识到,正是因为不公 正,法律才会臭名昭著。

    苏格拉底在权威问题上前后不一的态度,使他放弃了简单易行的 逃生方式。由于他不肯妥协,检察官不得不动手行刑。他成了自由思 想的殉道者。《斐多篇》描述了他的临终时刻,这篇作品当属西方文 学的杰作之列。谈话的中心议题是试图证明灵魂是不朽的。我们不必 在这里考虑这些论证的细节。尽管他们提到了关于灵与肉的一些有趣 的话题,但作为论证,他们做得还是不够成功的。在谈话快结束时, 讨论达到了无人再提反对意见的地步。虽然他们不可能完全忽视毕达 哥拉斯学派的观点,即新的难点将随之产生,但似乎是由于该事件的 不祥气氛和对苏格拉底的忠诚感情,使得他们克制住了自己,不再对 他的结论提出最后的质疑。从哲学角度看,对话录中最有价值的部分 也许是对假说和演绎法的描述。这正是一切科学论证的骨架。

    当朋友们在论证中因遇到无法解决的困难而有些沮丧时,苏格拉 底就对问题进行解释。他告诫朋友们不要厌恶讨论,不要总是怀疑和 拒绝论证,随后他还就自己的方法作了一番正式的总结。

    我们应该先从某种假设或假说开始。“假设”和“假说”的含义 是一样的,都有在某种前提下提出的意思,关键是我们必须为即将建 立的论证打好基础。从假说中演绎出必然的结论,然后看它是否与事 实相一致,这就是“顾全现象”最初的含义:如果一个假设的结论与 事实相似,那就是顾全了现象(出现在我们周围的事物)。毫无疑 问,这一概念最初与后期毕达哥拉斯学派的天文学有关,尤其是与流 星或行星的概念有关。它们的表象运动是不规则的,而不规则的特性 不符合形而上学对简单化的要求,因此他们需要用一个简单的假说来 顾全现象。

    如果事实和假设的结论不一致,那么假设就是失败的,我们就不 得不另外提出假说。我们必须注意到一个重要的问题,那就是假说本 身还是没有得到证明。这并不是说我们可以随便选择出发点,但它的 确意味着,论证必须从所有参与者承认的某个事物开始,即使不是为 了得出定论,至少也要考虑论证的需要。而假说的证明则完全是另一 码事,这时我们的论证就必须从一个更高的起点开始,该假设应该能 推出一定的结论。这正是苏格拉底所设想的辩证法的任务。我们必须 从消除其特殊性的角度,推翻各类科学的特殊假说。说到底,辩证法 的目标就是要达到最高的起点,也就是善的形式,这当然会让我们觉 得有些前景黯淡,但实际上,理论科学总是在朝着更普遍化的方向前 进的,也就是说,在朝着各个领域的统一方向前进,而这些领域看起 来似乎是各不相关的。对于数理哲学家来说,理论科学更是朝着算术 与几何的统一方向前进的。大约两千年后,笛卡尔以其过人的才华解 决了这个问题。

    我们知道,苏格拉底并不是最早通过假设进行论证的人。爱利亚 学派早就把这一程序运用到了批判多元论的辩论中,但总的来说,他 们论证的目的是否定和摧毁。而这里却出现了一个顾全现象的新概 念,换言之,问题在于当我们观察事实的时候,我们要对它做出某种 肯定的解释或“逻各斯”。我们正是通过假说来解释事实的。值得注 意的是,这种方法中隐藏着一个伦理学概念,即被解释过的事实总是 要比没有解释过的好。我们可以回顾一下,苏格拉底就曾经认为,没 有经过审验的生活是不值得去过的。总之,这一切都与毕达哥拉斯 “探索本身就是善”的伦理观念有关。而且,那种日益增强的统一化 趋势(直到万物最终归于善的形式),在某种程度上还表明了爱利亚 学说积极的一面。善的形式与爱利亚学派的“太一”在下面这一点上 是一致的,即理论学将以这些概念所暗示的方式发挥作用。

    对假说与演绎法论述得最好的,当首推《斐多篇》。奇怪的是, 苏格拉底好像从来没有发觉这种方法与他的知识论之间存在着某种令 人费解的矛盾。由于运用了假说的演绎理论,显然就要求所需顾全的 现象本身必须是准确无误的,否则就无法在现象与假说结论之间进行 比较。另一方面,现象可以通过感知来理解,而苏格拉底却认为感知 可能会产生错误的意见。因此,如果我们要认真考虑假说和演绎法, 就必须抛弃苏格拉底的知识论和意见论。同时,它们也间接地破坏了 理念论,因为理念论的基础正是建立在知识与意见的区别之上的。这 个问题早就被经验主义者解决了。

    一种假说最初是怎样建立起来的,这个问题尚未被触及,对此我 们无法给出一个统一的答案,何况也没有什么可以确保探索成功的正 式规定。也许正因为苏格拉底有远见,他才根本不提这个问题。诸如 发明的逻辑性之类的问题是不存在的。

    从同一个角度看,《斐多篇》与《申辩篇》显然都属于历史文 献。《斐多篇》展示了苏格拉底所坚持的生活方式,这种态度直到去 世也没有改变。他总是体谅别人,有一种不自觉的自信感;他勇敢而 从容,在他看来,情感过分外露有失尊严;他还责备他的朋友们,在 他喝毒芹酒前的最后时刻,不该紧张得几近崩溃。相反,他自己却若 无其事地喝下了毒酒,然后躺下来静候死神的光临。他临终前最后的 请求,是希望他的朋友克力同在阿斯克勒庇俄斯跟前献祭一只公鸡。 在他眼里,死亡就是灵魂从肉体中解脱出来,就像接受一种治疗一 样。

    我们在对话录《巴门尼德篇》中已经讨论了巴门尼德对苏格拉底 理念论的批判。在《泰阿泰德篇》中,我们的确远离了苏格拉底的理 论,柏拉图自己的学说正开始成形。如前所述,苏格拉底认为知识具 有形式,而感知只能产生意见,这一观点正确地强调了数理知识与感 知经验之间的某些差异,但它作为一般的知识论却从未成功过。实际 上,《巴门尼德篇》就指出了它不可能成功的原因,而《泰阿泰德 篇》为解决这个问题又做了新的努力。

    在《泰阿泰德篇》中,苏格拉底仍然是中心人物之一。该篇批判 了《理想国》中隐藏的知识论,所以这个问题由苏格拉底本人来探 讨,似乎并无不妥。但这时苏格拉底的观点已经不再处于主导地位 了。在随后的对话录中,柏拉图终于提出了自己成熟的观点,并且借 一个陌生人之口讲述了自己的理论,于是苏格拉底也就消失了。

    对话录得名于著名的数学家泰阿泰德,他以精于算术和几何学而 著称于世。他发明了计算二次不尽根的一般方法,还完成了正立面体 理论。我们从对话录中可以看到,在苏格拉底受审前不久,他已经是 一个前途无量的青年了。公元前369年的科林斯战役之后,泰阿泰德因 伤身亡。本篇的问世就是对他的纪念。

    对话录序言中的玩笑引出了什么是知识的问题。起初,泰阿泰德 也是犯了常见的错误,即不是下定义,而是举例子。但他很快就意识 到了这一点,并给出了第一个定义。他说,知识就是基本感觉。这是 一个通用的希腊术语,意指任何类型的感觉。英语中的“麻醉”只是 失去知觉的意思。更具体地说,我们在这里考虑的就是感知。“知识 就是感知”的观点实际上与普罗泰戈拉的原则是一致的,他认为人是 万物的尺度。在感官知觉中,事物以其原样出现,因此我们是不会搞 错的。在下面的讨论中,问题变得明晰起来,即他给知识下的定义是 不充分的。首先,我们不可能真的认为,某种事物就是以它出现的原 样存在的,因为事实上没有任何事物是这样。正如赫拉克利特所说, 事物总是处在一种不断形成的状态中。感知实际上是知觉者与知觉对 象之间的相互作用。而且,普罗泰戈拉自己也承认,在必须有定论的 问题上,一个人的观点不一定比另一个人的好,专家的判断也不一定 就比外行的判断准确。另外,一个毫无哲学思想的人基本上不会赞同 这种准则,所以这本身就意味着普罗泰戈拉必须承认,他的理论对于 这样一个人来说,是不真的。讨论的结果是:如果我们想按照赫拉克 利特的流变学说来描述知识,那么我们就找不到什么可说的东西,因 为每当我们用某个词去约束任何一个事物的时候,它都已经消失在别 的事物之中了。所以我们必须试试用别的方法来解答什么是知识的问 题。

    下面,让我们考虑一下这个事实:当各种感官都有其特定的对象 时,通过不同的感官就可以获取不同的知觉,如果有任何东西需要这 些不同的知觉发生联系,那么它就会要求用到某种总体的感官功能。 这个总体感官就是灵魂或心灵,柏拉图对这两个词没有作明显的区 分。灵魂可以理解这样一些普遍属性,如一致、差异、存在和数量, 同时它还可以理解伦理和艺术的一般属性。因为我们不能把知识简单 地定义为感官知觉,我们应该尽力从灵魂的角度找到知识的定义。灵 魂的作用就是进行自我对话。当某个问题得到一定程度的解决时,我 们就说这是由于灵魂做出了判断。现在,我们必须来证实一下能否把 知识定义为正确的判断。我们通过调查发现,这一理论不可能对错误 或错误的判断做出满意的解释。很显然,所有的人都会承认犯错误是 不可避免的。真理与谬误的区别在这个层面上还没有被揭示出来。柏 拉图所做的只是开拓性工作,因为他自己对这个问题的解释在当时还 没有完全展开。

    假如判断是灵魂本身的一种活动,那么就不可能有错误的判断。 我们不妨设想一下,如果心灵就像一块刻有记忆标识的平板,那么谬 误可能就存在于当前的感觉与错误标记的联系中。但如果遇到算术错 误,这就不起作用了,因为我们对它没有感觉。如果我们把心灵比做 鸟笼,笼子里的这些鸟就是知识的各个片断,那么我们偶尔也会抓错 某只鸟,而这只被抓错的鸟就是谬误。但是,犯错并不等于说出一个 离题的真理,因此我们必须事先设想其中一些鸟就代表着某种谬误。 但这样一来另一个问题又出现了,即如果我们抓到了其中的某只鸟, 而且一抓到就知道它正是某个谬误,那我们就永远不会去犯这个错 误,另外,我们还注意到了这个论证所忽略的一点,即如果我们导入 了各种谬误(事先就存在),那么在解释谬误时,整个叙述就会变成 一种循环论证。

    况且,一个人做出某个正确的判断很可能是由于偶然原因或其他 原因,比如说,他要坚持某个观点,而这个观点碰巧在事实上又是正 确的,知识的最终定义企图符合如下论述:所谓知识就是有论证支持 的正确判断,没有论证就没有知识。我们不妨想一想那些字母,它们 可以有名称,但没有含义。当它们组成音节而这些音节又可以被分析 时,它们就成了知识的对象。但是,假如音节只是字母的堆砌,那么 它们就像其本身一样,是不可知的。如果音节不仅仅是字母的堆砌 (还有其他特征),那么正是这个附加特征才使它们变成了可知的。 如此看来,上述知识定义就毫无意义了。另外,这里所说的论证又是 什么意思呢?很显然,论证就是去解释某一事物如何与其他一切事物 不同。我们可以说论证就是进一步的判断,也可以说它就是关于事物 间区别的知识。前一种说法意味着某种回归,后一种则是定义上的某 种循环。尽管我们的问题没能找到解决的办法,但也澄清了某些误 解。无论是感知还是推理,都无法做到单独解释知识。

    知识问题和谬误问题显然是同一个问题的两个方面。由于在目前 的讨论中,哪一个方面都不能得到解决,所以我们必须换一个新起 点。现在就让我们把注意力转移到这个新起点上来吧。

    来看另一篇对话录,它是《泰阿泰德篇》中的对话在次日的继 续,这就是《诡辩家篇》。从文风上看,该篇的写作年代可能比《泰 阿泰德篇》要晚很多。虽然进行讨论的还是原来那些人,但现场多了 一位爱利亚的陌生人。正是这位陌生人成了对话的中心,而苏格拉底 只充当了一个微不足道的配角。从表面上看,《诡辩家篇》所涉及的 是一个定义问题,即何为诡辩家,怎样才能把他与哲学家区分开来。 这里面似乎隐藏着某种交锋,它主要是针对梅加腊的苏格拉底学派 的,该派提出了一种片面而具有破坏性的爱利亚强辩模式。从这位爱 利亚陌生人的嘴里,我们似乎听到了柏拉图自己的声音,该篇表现出 对论点更为正确的把握,并提出了一个解决谬误问题的高明方法。柏 拉图借这位陌生人的口,使我们了解到他自己坚持了哲学发展的真正 传统,而梅加腊诡辩家的悖论贩子已经误入了歧途。

    事实上,《诡辩家篇》所讨论的问题是巴门尼德关于“不存在” 的难题。巴门尼德认为,这个问题主要与物质世界有关,而其追随者 却把它扩展到了逻辑学领域,我们在这里要验证的正是这个问题。在 谈论对话录这个核心问题之前,我们也许应该对划分方法稍加评论, 因为它是阿卡德米的分类程序。亚里士多德就是在阿卡德米学习期间 进行他的动物分类工作的。这种方法为我们提供了详尽的术语定义, 其过程是,先从“种”开始,然后通过给出一组可以替换的“属 差”,一步步将其逐级一分为二。《诡辩家篇》给出了一个解释这一 过程的初步例子,需要被定义的术语是钓鱼。首先,钓鱼是一门技 术,因而技术就构成了第一个“种”;我们可以把技术分为生产技术 和获取技术,钓鱼显然属于第二种;现在,获取又可以分为两种情 况,一是获取对象是心甘情愿的,二是获取对象完全是被捕获到的, 钓鱼就属于后面这种情况;捕获又可分为公开的和隐蔽的,钓鱼属于 后者;被捕获的东西可以是没有生命的,也可以是有生命的,钓鱼的 对象就属于后一种;动物可能生活在陆地上,也可能生活在水里,这 里所需定义的术语就属于后者;生活在水里的动物可以是禽类,也可 以是鱼类,而鱼可用网或鱼钩来捕获;捕鱼在夜里或白天进行都可 以,而钓鱼是在白天进行的;我们可以把钩放到水上,也可以放到水 下,钓鱼则属于后者。现在,回顾一下我们的步骤,并且把所有“属 差”聚在一起,我们就可以给钓鱼下这么一个定义:这是一种在白天 进行的、用隐蔽方式将钩放到水下并捕获水生动物的技术。当然,我 们也不必对这个例子太较真,选择它作例子是因为我们也可以把诡辩 家看做钓鱼者,只不过他们的猎物是人的灵魂。关于诡辩家的种种定 义也是如此,我们不必对此深究下去。

    现在我们转到爱利亚问题的讨论上来。正如那位陌生人敏锐地指 出的那样,之所以会产生关于“不存在”的难题,正是因为哲学家们 未能正确地理解“存在”的含义。我们不妨回顾一下,《泰阿泰德 篇》中认为知识至少要有相互作用,因此也就需要“运动”(不管它 还需要别的什么)。但知识同样需要“静止”,否则任何东西都不可 以谈论了。如果事物要作为探究的对象,那么它们就必须在某种意义 上保持原样。这也给了我们一个解决这个难题的暗示,因为运动和静 止肯定都是存在的,但由于它们相互对立,因此无法结合在一起。它 们本身似乎可以有三种组合的可能,要么是万物保持完全分离的状 态,这时候运动和静止都不能与“存在”发生关系;要么是万物可以 合并在一起,那么运动和静止也应当能够合并在一起,但它们显然又 不能。因此问题仍然是,某些事物可以合并,另一些则不能。解决难 题的办法就是承认“存在”和“不存在”的说法本身就是毫无意义 的。它们只有出现在某个判断中才有意义。所谓“形式”和种类,如 运动、静止、存在,都是《泰阿泰德篇》中已经提到过的普遍属性, 它们显然有别于苏格拉底的“形式”。后来的“范畴论”就是从这种 柏拉图式的形式论发展起来的。

    辩证法的作用就是研究哪些形式或“最高种类”能够结合,哪些 不能。正如我们所了解的那样,运动和静止是不可以结合在一起的, 但是它们能够分别和“存在”结合,而且自身都存在。另外,运动与 它本身是一致的,但不同于静止。相同或等同、不同或相异,就像 “存在”一样无所不在。因为它们每一方都与自身等同,而与所有其 他方面相异。

    现在,我们可以了解“不存在”是什么意思了。我们可以说运动 既存在又不存在,因为它是运动,而非静止。那么在这个意义上, “不存在”与“存在”就属于同一层次。但是很明显,这里所说的 “不存在”绝不能完全抽象地去理解。它是这样的“不存在”,或者 更确切地说,它不同于这样的“存在”。柏拉图由此找到了困难的根 源。用现代的行业术语来说,我们必须把“is(是)”在存在判断方 面的用法和它作为命题系动词的用法加以区分。其中后一种用法具有 重要的逻辑意义。

    在这个基础上,我们就可以对谬误做出一个简单的解释。正确的 判断就是按事物的原样做出判断。如果我们不这样做,就会做出不正 确的判断,因而出现失误。可能让读者感到意外的是,这个结果并不 像他们认为的那样艰难和神秘。但是我们一旦知道了解决办法,就可 以处理任何问题。

    最后,我们还可以看到,《泰阿泰德篇》中的问题也顺便被解决 了。从某种意义上说,这不是一个恰当的问题。我们必须坚持判断, 而我们现在已经知道,这些判断可能是正确的,也可能是错误的。但 我们怎样才能知道一个判断的正确与否呢?答案就是,如果它与事物 相符,那么它就是正确的,否则就是错误的,没有什么正式标准能确 保我们不犯错误。

    我们刚才对“不存在”所作的概括性解释,使我们从此能够处理 “变化论”。它也使赫拉克利特的理论变得更为清晰,并去掉了它表 面的悖论色彩。柏拉图还提出了“变化论”,这和我们今天所了解的 原子论及数学物理直接相关。这一理论是在《泰缪斯篇》中提出来 的,该篇是柏拉图思想成熟期和最后阶段的一篇对话录,其中对宇宙 进化论的解释将使我们离题太远,我们需要注意的是,其中有大量毕 达哥拉斯学说的成分,还有正确解释行星运动的种种提示。没错,太 阳中心说可能就是阿卡德米的发现。这篇对话录还谈到了许多别的科 学问题,但我们不得不把它们放在一边。

    我们现在就转到柏拉图的“几何或数学原子论”上去。按照这个 观点,我们必须将形式、基本物质和感性世界的有形实在区分开来。 这里的基本物质仅仅是指虚空,可感知的实在是种种形式与空间混合 的结果,这些形式在空间里留下了痕迹。柏拉图在这个基础上,为我 们提供了用四种元素来解释物质世界的方法,这个世界既是物理的, 又是生物的,但这些元素现在被依次认为是由两种基本三角形构成的 几何体,其中包括半个等边三角形和一个直角等腰三角形,也就是半 个正方形。我们可以用这些三角形构成五种正立体之中的四种。四面 体、立方体、八面体和二十面体分别代表火、土、气、水的基本粒 子。通过把这些立体拆分成构成它们的三角形,再将其重新编排,就 可以实现元素间的变换。另外,火的粒子具有锐利的尖头,可以刺穿 别的立体;而水是由平滑的粒子构成的,所以水会流动。事实上,这 里所说的变换理论就是近代物理理论的一个了不起的前辈。和德谟克 利特的唯物主义原子论相比,柏拉图确实领先了一大步。这些基本三 角形显然就相当于近代物理学中的核或基本粒子,它们是基本粒子的 组成部分。我们还会看到,这些粒子并没有被称为原子,对古希腊人 来说,这是一个明显的错误。原子的字面意思是指一种不可分割的东 西,因此,严格地说,由其他成分构成的东西是不应该叫做原子的。

    柏拉图在这方面正是近代主要科学传统的先行者。一切事物都可 以归于几何,这是笛卡尔明确提出的观点,爱因斯坦也以另一种方式 说明了这一点。当然,柏拉图拘泥于四种元素,从某种意义上说,这 的确是他的一种局限性。他之所以选择四种元素,是因为这个观点在 当时非常盛行。柏拉图所作的努力就是要“顾全现象”,而对这个观 点给出“逻各斯”或解释,他提出的假说是数学式的。我们知道,从 数的观点看,世界最终是可以解释清楚的,这也是柏拉图接受的部分 毕达哥拉斯学说。因此,我们得到了一个可以进行物理解释的数学模 式。就方法来说,这也正是今天的数理物理学的目标。

    这个理论应该和正立体理论有一种特殊的联系,也许这就是毕达 哥拉斯学派神秘主义的一个特征。的确,在这个方案中,我们没有找 到十二面体。在五种立体中,只有这一种的各个面不是由两种基本三 角形,而是由等边五角形构成的。我们回顾一下就知道,五角形正是 毕达哥拉斯学派的神秘符号之一,它的构造要涉及无理数,我们在讨 论后期毕达哥拉斯学派时曾提到过无理数,而且,十二面体看上去要 比其他四个立体都要圆一些,因此柏拉图就用它来代表世界。这种思 维并不影响这个数学模式的合理性。

    由于时间关系,我们无法在这里完全展开柏拉图的数学理论。但 不管怎样,我们必须靠对话录中的部分提示和亚里士多德的某些讲 述,才能把这一理论完整地拼接出来。但是,注意以下两件事是很重 要的:

    首先是柏拉图(就算不是他,也是阿卡德米学院)修正了毕达哥 拉斯学派有关数的理论,使它免遭爱利亚学派的批判。在这里,他还 预示了一个十分现代的观点。数的序列被认为是从“零”而不是从 “单元”开始,这就为发展一般的无理数理论提供了可能性。如果有 谁“卖弄”学问,现在就不应该再像当初那样说他无理了,同样,在 几何学中,线被认为是由一个点的运动产生的,这个观点在牛顿的流 数理论中充当了主角,流数理论就是后来被称为微分的原形之一。我 们可以清楚地看到,根据辩证法精神,这些发展促进了算术与几何学 的统一。

    第二件重要的事就是据亚里士多德说,柏拉图曾经说过数不能相 加,这个声明实际上包含着一种极具现代色彩的数字观的萌芽,和毕 达哥拉斯学派一样,柏拉图也把数视为形式,而形式显然是不可以相 加的,当我们作加法时,只是把某一类东西放在一起。比如卵石。但 是数学家们所说的这类东西却既不同于卵石,也不同于形式,而似乎 是介于两者之间,数学家们相加的东西并没有被确定属于哪一类,它 可以属于任何一类,只要在相关的方面,所有相加的东西都属于同一 类。根据弗雷格、怀特和我给数下的定义来看,这一点就变得十分明 晰了。例如,数“3”代表一切种类的三重物;一个三重物则代表了给 定类别的这一类事物。同样,其他任何基数无不如此。数“2”代表所 有二重物,一个二重物则是某一类事物。你可以把属于同一类的一个 三重物和一个二重物相加,但不可以把数“3”和数“2”加在一起。

    至此,我们仅仅是对柏拉图的某些重要理论作了一番简要的概 括。就思想的广度和深度而言,很少别的哲学家能与柏拉图相比(即便有,也十分罕见),而超过他的人,则一个也没有。任何打算从事 哲学研究的人如果忽视了他,都是不明智的。

    亚里士多德是居住在雅典,并在那里讲学的三位伟大思想家中的 最后一位,他也许是最早的职业哲学家,在他生活的年代,古典时期 的巅峰已经过去,雅典在政治上正变得日渐衰落,马其顿的亚历山大 (年轻时曾是亚里士多德的学生)为希腊化世界的繁荣打下了帝国基 础,不过这是以后的事。

    亚里士多德与苏格拉底、柏拉图不同,他是寄居在雅典的外地人。他大约在公元前384年降生于色雷斯的斯塔基拉,他的父亲是马其 顿国王的御医。18岁那年,亚里士多德就被送到了雅典的阿卡德米学 院,师从柏拉图。在将近二十年的时间里,他始终是阿卡德米的一员,直到公元前348年至公元前347年柏拉图辞世,他才离开那里。由 于阿卡德米的新任院长斯波西普斯具有强烈的柏拉图式数学倾向,而 这种倾向正是亚里士多德懂得最少和最不喜欢的,因此他离开了雅 典。

    我们发现,在接下来的12年里,他在很多地方工作过,小亚细亚 海岸的密西亚统治者赫米阿斯曾是亚里士多德的老同学,亚里士多德 后来应他的邀请加入了当地的一个阿卡德米同学会,并娶了东道主的侄女为妻。三年后,他去了累斯博斯岛的米提利尼。

    前面说过,亚里士多德的动物分类工作是他在阿卡德米期间进行 的。他在爱琴海居住的日子里,肯定也做过海洋生物学的研究,他在 该领域所做的贡献,直到19世纪才有人超越。公元前343年,他被召到 马其顿国王菲力浦二世的宫庭里,担任王子亚历山大的导师。亚里士 多德任该职达三年之久,但我们却找不到这个时期可信的原始资料, 这也许是一件憾事。人们不禁会感到疑惑,这位智慧的哲学家用什么 方法管住了桀骜不驯的王子。但我们似乎仍然可以肯定地说,两个人 看法完全一致的情况并不多。亚里士多德政治观念的基础是几乎快要 消亡的希腊城邦,而亚历山大大帝统治下的中央集权帝国,在他看来 (实际上是在所有的希腊人看来)就是一种野蛮人的发明。就像在一 般的文化问题上一样,希腊人对自己的城邦制度的优越性表现出相当 的敬意,但时代在改变,城邦在一天天衰落,一个希腊化的大帝国呼 之欲出。关于亚历山大崇尚雅典文化的说法是完全真实的,但那时候 所有人都是这样,并不是因为亚里士多德的缘故。

    从公元前340年到菲力浦去世(公元前335年),亚里士多德一直 在故乡生活。然后,从公元前335年到公元前323年亚历山大去世,他 始终在雅典工作。在这个时期,他创办了自己的学校——吕克昂学 园,这个名称源自阿波罗神庙附近的吕克俄斯(杀狼者)。亚里士多 德在这里为各个班级授课,授课的方式就是在讲堂和庭园中漫步,边 走边讲。由于这一习惯,吕克昂的教学就逐渐获得了逍遥哲学或漫步 哲学的名声。有意思的是,英语单词“论述”(discourse)的原意就 是“来回走”。它的拉丁文前身直到中世纪才开始具有现在的“推理 论证”这一含义,因此,它的最初含义可能与逍遥哲学有关,尽管这 一点还没有完全的定论。亚历山大去世后,雅典人开始起义,反抗马 其顿的统治。亚里士多德自然也被人另眼相看,人们怀疑他是马其顿 的支持者,并以亵神的罪名指控他。苏格拉底的案子已经说明,这种 法律实践有时候会导致不愉快的结局。亚里士多德可不是苏格拉底, 他决定躲避“爱国者们”的魔爪,以免被雅典人再添上一个反哲学的 罪名。他让狄奥弗拉斯图来管理吕克昂学园,自己则退居到了加尔西 斯,直到公元前322年离开这个世界。

    亚里士多德留存至今的绝大部分著作都属于第二雅典时期。这些 作品并非全都是真正的书。似乎争议最少的是,亚里士多德全集中有 的部分是根据授课笔记写成的,因此亚里士多德看来就是这些教材的 第一作者。而有些作品则简直像学生们的记录。正是由于这个原因, 亚里士多德的著作在文风上显得枯燥平淡,尽管据说他也曾仿效柏拉 图写过一些对话录。亚里士多德的对话录没有一篇得以留传下来,但 从他别的作品来看,他在文学上的地位显然无法与柏拉图相比。柏拉 图写出了令人激动的杰作,而亚里士多德却制造出干巴乏味的教科 书;柏拉图文采飞扬,写下了散文一样优美的对话录,而亚里士多德 写的却是系统的论文。

    要了解亚里士多德,必须知道他是第一个批判柏拉图的人。但我 们并不能说亚里士多德的批判都是有理有据的。当他陈述柏拉图学说 时,我们有理由信任他;但当他继续解释其意义时,就不那么可信 了,当然,我们可以设想亚里士多德熟知当时的数学,他是阿卡德米 成员之一的事实似乎就可以证明这一点。但同样明显的是,他并不赞 同柏拉图的数学哲学,实际上,他也从来没有真正弄懂过它。当他评 论前苏格拉底学派时,我们也必须同样持保留态度,可以信赖他所作 的间接陈述,但绝不能完全相信他所有的解释。

    亚里士多德还是一位著名的生物学家,尽管我们能体谅他的一些 十分古怪的过失,他在物理学和天文学方面的观点也只能说是混杂不 清,令人失望;而综合了米利都学派与毕达哥拉斯学派传统的柏拉 图,在这一领域却非常接近正确目标,后来的希腊科学家,如阿里斯 塔克和埃拉托色尼,也都是这样。亚里士多德对系统思维最著名的贡 献就是他的逻辑学著作,尽管其中有相当部分源自柏拉图的观点,但 柏拉图的逻辑学说散见于大量其他材料中,而亚里士多德则把它们搜 集起来,并以一种至今仍然保持原样的讲授方式提了出来。亚里士多 德的影响曾经一度阻碍了历史的进步,这主要是由于他的许多追随者 持一种盲从的教条主义态度。当然,我们不能责怪亚里士多德本人。 文艺复兴时期的科学复兴仍然是与亚里士多德决裂而重新走向柏拉 图。就亚里士多德的观点本身而言,仍然是古典时代的产物,尽管雅 典在他出生之前就渐渐衰落了。对于自己有生之年发生的政治变革的 重要意义,他从来没有理解过,而古典时代早已逝去多年了。

    我们讨论亚里士多德的形而上学时之所以颇觉困难,一是由于它 大量散见于其所有的作品之中,二是由于他没有作某种明确的交代。 首先值得注意的是,我们现在所说的形而上学和亚里士多德时代的形 而上学含义是不一样的。形而上学的字面意思只是“在物理学之 后”,之所以如此称呼,是因为一位早期的编辑在安排作品顺序时把 它放在了物理学之后。也许把它放在物理学之前更恰当一些,因为那 个位置本来就属于它。亚里士多德可能会称它为“第一哲学”,也就 是对于研究工作的一般前提的讨论,然而“形而上学”这个名称已经 传播开了。

    可以这样说,亚里士多德在这一领域的工作就是试图以自己的新 理论来取代苏格拉底的理念论。他的主要批判就是应用于参与学说的 “第三者论证”,但这不过是附和了柏拉图在《巴门尼德篇》中的意 见而已,因为亚里士多德转换了物质论和形式论。例如,用来建造圆 柱的材料是物质,而类似于建筑师画的圆柱图样的东西就是形式。在 某种意义上,两者都是抽象概念,而两者的结合才是真实的该物体。 亚里士多德也许会说,正是这种形式被施加到物质上时,才使后者能 以原样存在。形式赋予物质特征,实际上就是使物质变成了某种实 体。如果我们想正确地理解亚里士多德的话,有一点特别重要,那就 是不能把物质和实体混为一谈。“实体”一词是从亚里士多德时代的 希腊文直译过来的,其含义是“基础的东西”,它是某种不变的事 物,是品质的载体。正因为我们会自然地倾向于按照某种原子论来思 考,所以才会将实体与物质混为一谈。因为在某种意义上,原子就是 物质的统一体,其作用是承载品质和解释变化。我们在谈到原子论者 时就已经暗示过这一点了。

    按亚里士多德的理论,形式无论如何也比物质更重要,因为形式 是可以创造的。当然,物质也需要,但仅仅是被当做原材料而已。从 字面意思上说,形式最终是实体的,按照刚才的解释,显然就意味着 形式是构成现实世界的基本的、不变的、永恒的实体,因此归根结底 这与苏格拉底的理念或形式并没有太大的差别。假如说形式是实体 的,那就意味着它们独立于个体事物而存在着,至于这种实体是怎样 存在的,则从来没有过明晰的解释,不管怎么说,似乎还没有人打算 给它们确定一个属于它们自己的独特世界。值得注意的是,亚里士多 德认为,他的形式与共相是全然不同的。实际上,对理念论的批判和 一个简单的语言观点有关。在日常会话中,有些词代表事物,有些词 则描述该事物的样子,前者是名词,后者是形容词。用专门的术语来 说,名词有时又叫“表示独立存在的词”。这一术语可以追溯到希腊 化时代,并且揭示了亚里士多德的理论对语法学家产生了多么巨大的 影响。因此,名词也就是实体词,而形容词则是表示品质的词。但如 果我们由此推断出肯定独立存在着以形容词命名的共相,那就错了, 亚里士多德的共相观点是更有机的,类似于生物学家的观点。

    共相总会在一定程度上干预事物的生成,但共相并不存在于自己 的影子世界里。尽管亚里士多德不打算用他的物质——形式理论来取 代共相,但他的理论却和这个问题有关。而且正如我们所知,它也并 没有真的脱离理念论。我们还应该记住很重要的一点,按照亚里士多 德的理论,人们完全可以恰当地谈到非物质的实体,灵魂就是一个例 子,它赋予肉体以形式。灵魂本身是一个实体,却又是非物质的。

    有一个问题是伴随着共相问题出现的,就是如何解释变化的问 题。有些人,如巴门尼德,发觉这个问题过于复杂,于是干脆否定了 变化的存在。而另一些人则采纳了某种精细的爱利亚学说,并用原子 论来进行解释。还有一些人则继续利用部分共相论,凡此种种,前面 都已经提到过了。我们发现与原子论相比,亚里士多德的现实性和潜 在性理论更类似于共相论。

    在讨论潜在性问题时,我们应该注意把它没有价值的一种形式抛 开。有一种说法认为,潜在仅仅是起了“马后炮”的作用。假如一瓶 油已经燃烧起来了,那么我们就可以说,这是因为它事先具有了燃烧 的潜在性,但是显然,这根本不能算什么解释。的确,某些哲学学派 正是根据这种理由,否认在这个问题上能够说出任何有价值的观点。 正如我们后面将看到的那样,梅加腊的安提斯泰尼就是其中之一。根 据这种观点,事物或者具有,或者不具有某种性质,除此之外全是废 话。但是,我们显然确实可以做出这样的陈述,如“油是可燃的”, 而且它们完全具有意义。亚里士多德的分析为我们提供了正确答案。 当我们说一个事物具有A的潜在性时,我们指的是在某种条件下,潜在 性确实会变成事实。说“油是可燃的”就是承认如果给出一组指定的 条件,它就会燃烧。因此,如果温度正合适,那么你在油面上划一根 火柴就能把它点燃。当然,这里所说的条件必须是事实上能够出现的 条件,或者是现实的条件。从这样的逻辑意义上说,现实的要优于潜 在的,这时,就可以用一种实体来解释变化了,这种实体就是能在其 中变成现实的一系列品质的潜在载体,无论这种解释在实践中可能有 什么样的缺陷,但它至少在原则上是重要的,如果我们还记得亚里士 多德对潜在性的解释,这种方法显然能让我们更多地联想到苏格拉底 和柏拉图,而不是原子论者。亚里士多德在生物学方面的兴趣影响了 其部分观点,因为潜在性在生物学中尤其有用。但是,这个观点还不 是很完整,因为有一个重要的方面它还没有涉及,即它没有提到各种 变化是怎样发生的、为什么会发生。在这方面,亚里士多德有一个十 分详尽的答案,我们将在谈到他的因果论时再考虑。至于宇宙起源 说,还有上帝是第一动因或强大推动力的观点,也将在以后讨论。不 过在这里我们要记住的是,亚里士多德把他的神学看做是我们现在所 称的形而上学的一部分。

    现在,我们转到亚里士多德的逻辑学上来。前面已经说过,希腊 科学和哲学的一个显著特征就是证明概念。东方天文学家只满足于记 录现象,而希腊的思想家却在竭力解释它们。证明一个命题的过程包 括建立各种论证。当然,这种工作在亚里士多德之前就已经有人做了 很长时间了,但据我们所知,他们当中还没有一个人对论证所采取的 形式作过详尽的普遍性解释。在这里,亚里士多德的著作提供了一种 考察,不管怎样,他和康德都认为这种考察是完整的。他在这方面的 不幸疏忽其实并不重要,重要的是,他已经发觉了对形式逻辑做出普 遍性解释的可能性。也许我们最好马上强调一下非形式逻辑的不存 在,也就是说,论证的普遍性形式是逻辑学的一项研究,亚里士多德 的逻辑学是靠大量与其形而上学相关的假设存在的。首先,他想当然 地认为所有的命题都是“主谓”型的。日常谈话中有很多命题就属于 这种形式,这也正是“实体与品质”形而上学产生的根源之一。当 然,柏拉图早就在《泰阿泰德篇》中提出了这种“主谓”形式,可以 想像,亚里士多德是第一个将该形式派生出来的人。共相问题正是在 这种情况下出现了。划分命题的依据就是它们所涉及的究竟是共相还 是个别。如果是前者,它们就可以涵盖共相的整个范围,如“人都是 要死的”,这被称为全称命题;换一种情况,命题可能就只包括共相 的一部分,如“有的人是明智的”,这是一个特称命题;而“苏格拉 底是一个人”这样的命题则是单称命题,当我们在某项论证中将这些 命题结合起来时,单称命题就必须被当做全称命题来处理。命题是肯 定的还是否定的,要看它的主语在承认还是在否定什么。

    根据这种分类法,我们现在来看看论证中会发生什么情况。从以 一个或多个命题为前提开始,我们推论出别的命题或这些前提产生的 结果。亚里士多德认为,一切论证的基本类型就是他所说的三段论 法。三段论法就是具有两个“主谓”型前提的论证,而且它的两个前 提必须有一个共同的项。这个中间的项将在结论中消失。以下就是一 个三段论法的例子:所有人都是理性的,婴儿是人,所以婴儿也是理 性的。在这个例子中,结论的确是由两个前提推出的,因此论证是成 立的。至于各前提本身是真是假,则是另一个问题。的确,我们也可 能从错误的前提中推出正确的结论来。但重要的是,如果各前提是真 的,那么任何一个被有效推导出来的结论也必然是真的。所以,揭示 哪些三段式论证有效,哪些无效,是非常重要的。

    亚里士多德对无效的三段论法作了一番系统的解释,首先,各种 论证按其“格”分类,“格”则取决于项的排列。亚里士多德提出了 三种不同的构型,斯多葛学派后来又发现了第四种,在每个“格” 中,有些论证有效,有些则无效。18世纪的瑞士数学家欧拉发明了一 种巧妙的检验三段论法的方法。即用一个圆圈来表示某个项的范围, 这就很容易发现某个论证是否正确,因此就不难看出上文给出的例子 是正确的。经院哲学家给这种“第一格”三段论取了一个专门的名称 ——“巴巴拉”。同样,哺乳动物都不会飞,猪是哺乳动物,所以猪 也不会飞,这也是一个有效的“第一格”论证。这种形式被称为“西 拉伦特”,请注意,在这个特殊例子中,结论是真的,尽管有一个前 提不真,因为蝙蝠就是会飞的哺乳动物。

    亚里士多德在后世的威望,使他的三段论法在其后两千多年中被 逻辑学家们认定为惟一的论证类型。而对三段论法的批判,最后竟然 还是由亚里士多德本人最先提出的。例如:所有人都是会死的,苏格 拉底是人,因此苏格拉底也会死。在这个论证中我们已经假定,如果 想知道第一个前提(人都会死),则必须事先知道结论。因此,这一 论证采用的是未经证明的假定。造成这种误解的原因就在于误解了我 们是如何知道“所有A都是B的”这一结论的。实际上,通常没有必 要,也不会对A逐一检验,看它是不是Bo相反,最常见的做法是检验某 一单个例子,了解其关系就可以了。这一方法在几何学里更是如此, 比如说所有三角形的三角之和等于两个直角之和,在大胆地做出一般 性断定之前,任何明智的几何学家都不会去逐一细看各种三角形,以 消除心中的顾虑。

    简明扼要地说,这就是三段论法的主旨。亚里士多德还论述过由 模态命题构成的三段论,也就是包含“也许”或“一定”,而不是 “是”的陈述句。模态逻辑在现代符号逻辑领域里再次引起了人们的 关注。从较新的发展看来,三段论学说在当今似乎并没有原来想像的 那么重要,就科学领域而言,三段论法的运用并没有证明其前提。于 是出发点的问题就被提了出来。按照亚里士多德的观点,科学必须开 始于某些不需要论证的陈述。他把这种陈述称为公理,它不一定在人 们的经验中很普遍,但只要一解释就能使人清楚地理解。有一点也许 有必要指出来,那就是和科学探索的进程相比,它更多地涉及一批科 学事实的陈列。叙述的顺序总是遮盖了发现的顺序。在实际探索中, 一旦问题得到解决,许多模糊或不确切的认识就会被清除。

    在谈到公理的时候,亚里士多德脑子里似乎想到过几何学。直到 他那个时代,几何学才开始系统地出现。亚里士多德与欧几里德只隔 了几十年时间,在这段时间里,还没有别的什么科学达到过几何学那 样的地位。似乎从那以后,各类科学就依照某种等级来排序了。在这 里,数学是至高无上的,比如说,天文学的地位就在它之下,因为天 文学必须要用数学来解释其观察到的各种运动,在这一领域,亚里士 多德预见到了后人的工作,尤其是法国实证论者孔德的科学分类法。

    亚里士多德认为语言研究是一项重要的哲学任务,该研究的开创 性工作是由柏拉图在《泰阿泰德篇》和《诡辩家篇》中完成的。事实 上,逻各斯正是希腊哲学的主导概念之一,我们首次遇到这个术语是 在谈论毕达哥拉斯与赫拉克利特的时候。它的含义包括言辞、量度、 准则、论证、原因等,如果我们想了解希腊哲学的精神,就必须记住 这一系列含义的重要性。显然,“逻辑”这个术语就是由它派生出来 的,逻辑学也就是关于逻各斯的科学。但逻辑学有着独特的地位,它 与所谓的正式科学是有区别的。亚里士多德把科学分为三类,其依据 就是每一门科学要达到的主要目的。

    理论科学提供的是知识(在这个意义上,知识是与意见相对立 的)。数学是最明显的例子,尽管亚里士多德把物理学和形而上学也 包括在内。他所说的物理学的含义和我们今天所理解的并不完全一 样,它是对空间、时间和因果关系的普遍性研究,我们可能会把其中 某些部分当成形而上学,甚至是逻辑学(如果其含义足够宽泛的 话)。而实用科学(如伦理学)的作用在于控制人们在社会中的行 为。最后是生产科学,它的功能就是指导我们创造使用或艺术欣赏的 对象。

    逻辑学似乎不属于其中任何一类,所以它不是通常意义上的一门 科学,而是处理问题的一种普遍方法,对科学来说是不可缺少的。它 为识别和证明提供标准,应该被视为影响科学研究的工具或手段。亚 里士多德在谈到逻辑时所使用的希腊语“工具论”正说明了这一点。 而逻辑这一术语本身则是后来斯多葛学派的发明。至于论证形式的研 究,亚里士多德称它为“逻辑分析学”,字面含义是“释放”。论证 的结构就是这样被“释放”(分析)出来以供验证的。尽管逻辑学与 词汇有关,但亚里士多德认为它涉及的不仅仅是词汇,因为大多数词 语在一定程度上只是代表非词语事物的偶然标记。因此逻辑有别于语 法,尽管它可以对后者产生影响。逻辑学也不是形而上学,因为和存 在事物相比,它更多地涉及我们对这些事物的认识方式。在这里,亚 里士多德拒绝了理念论,这是非常重要的。因为坚持这一理论的人都 会认为,我们现在所说的逻辑学,从狭义上说可能跟形而上学没什么 区别,但亚里士多德正相反,他认为两者截然不同。他试图借助我们 所说的“概念”来解决共相问题,而概念无论如何也不会存在于我们 的世界之外的某个世界里。最后,逻辑学也不同于心理学,这一点在 数学中尤为明显。欧几里德《几何原本》的演绎顺序是一回事,而数 学探索过程中的精神折磨则完全是另一回事,也就是说,科学的逻辑 结构与科学探索的心理过程是完全不同的两回事,因而在美学中,一 件艺术品的价值与生产的心理学是完全不相干的。

    我们对逻辑学的考察,必须先以介绍的方式在某个方面对语言结 构和其中可能说出的东西进行确定。《范畴篇》根据亚里士多德的 “工具论”讨论了这个问题,就像我们在讨论《诡辩家篇》时所看到 的那样,这项工作也是开始于柏拉图。但亚里士多德的讨论更贴近现 实,与语言事实的关系也更为紧密,它区分了十种能够通过论述加以 识别的一般性范畴,也就是实体、品质、数量、关系、地点、时间、 姿态、状态、动作、属性,第一个范畴就是任何陈述都会涉及的“实 体”,其他的范畴涵盖了各种由某个实体构成的陈述。因此,如果说 到苏格拉底,我们就可以说他具有某种品质(一位哲学家);他还具 有一定的身高,不管尺寸会是多少,这就解答了数量的范畴;他与别 的事物保持着某种关系,并处在一定的空间和时间里;他还通过行动 与周围的环境相互发生作用。正如我们后面将看到的那样,《范畴 论》有许多杰出的继承者,虽然在绝大多数情况下,这些人更像是在 从事形而上学研究,而不是亚里士多德的语言研究,最突出的例子就 是康德和黑格尔。

    范畴的确是抽象的概念,它回答那些可能针对任何事物提出的最 普遍的问题。亚里士多德认为范畴就是词的本义,词的本义作为知识 对象和作为判断对象,其含义是不同的。对于第一种情况,亚里士多 德会认为人们有一种直接的理解,在现代语言学中,有时候用它表达 “具有概念”的意思,而不管它可能的概念是什么。人们在某个真判 断中获得的那种知识则完全不同,在这里,概念被结合起来以表示某 一事物的状态。

    亚里士多德的逻辑学最早试图以系统的方式提出语言和论证的普 遍形式,虽然其中有相当部分是在柏拉图理论的启示下产生的,但这 并没有影响它的价值。柏拉图的逻辑观点零碎地散布在所有的对话录 中,某个特殊问题可能受当时心情的影响被提出来又被放弃掉。亚里 士多德对待逻辑的方式也就是不久后欧几里德对待几何学的方式。亚 里士多德的逻辑学直到19世纪之前都占据着至高无上的地位,他的逻 辑论就像他的许多其他观点一样,逐渐被那些慑于其威望而不敢质疑 的,以一种僵化的方式传授下来。文艺复兴时期大多数近代哲学家都 具有这样的特点,他们对学派中的亚里士多德派别非常不满。这种不 满产生了一种反作用,使他们排斥一切与亚里士多德这个名字相关的 事物。这的确令人遗憾,因为亚里士多德那里仍然有许多有价值的东 西值得我们学习。

    但是,亚里士多德的逻辑学在下面这个重要的方面存在着严重的 缺陷:它没有把自身和数学中十分重要的关系论证联系起来,例如:A 大于B,B大于C,所以A大于C。问题的关键就在“大于”这一关系的过 渡特征。虽然通过某种机巧的方式,可以勉强在这个论证上套用三段 论法的模式,但在一些更为复杂的例子中,这样做的可能性似乎就很 小了。尽管如此,论证的关系特征还是被他忽略了。

    现在,我们应该转而讨论大量普遍性的问题,它们可以归于自然 哲学的范畴。主要探讨这类问题的书就叫做《自然哲学》。我们应该 回顾一下,在希腊语中,“物理学”的含义就是“自然”。

    当亚里士多德开始动笔时,他可能注意到了很多前辈都曾以“论 自然”为题发表过论文。从泰勒斯的时代起,凡是自认为最终发现了 世界的真正运行方式的人在写作过程中都有过这种意向。今天的物理 学意味着更加专门化的知识,尽管其中也包含了比较普遍的问题。物 理学在不久前还经常被称作自然哲学,苏格兰的大学仍然保留着这一 术语。但不能把它等同于德国唯心论者的自然哲学,后者是物理学的 一种形而上学的形态,关于这一点,我们将在后面作更多地了解。

    这里要探讨的最重要的问题之一,就是亚里士多德的因果论。因 果论与物质及形式论有关。一种因果状况既包括物质的一面,又包括 形式的一面。后者又被分为三个部分:第一部分是狭义的形式,可以 称它为构型;第二部分是动因,它实际上导致了变化,就像扣动扳机 导致了射击一样;第三部分是变化力求达到的目的。这四个方面分别 被称为物质因、形式因、动力因和目的因。可以用一个简单的例子来 说明这一点:一块石头在台阶的边沿晃动,如果把它推过边沿,它就 会掉下去。在这一情况中,物质因就是石头自身这种物质;形式因是 总的地势状况,也就是台阶和石头的相互位置;动力因是任何推动石 头的东西;目的因就是石头尽可能寻求最低落点的“愿望”,也就是 地心吸引力。

    关于物质因和形式因,这里没什么可补充的。我们不再把它们当 做原因,它们只是因果情况中的必要条件,因为任何事情要发生,都 必须在某个地方存在着某种条件。至于动力因和目的因,这两项都值 得我们花点时间来探讨。现代术语简单地把动力因称为原因,因此, 一块石头从台阶上掉下来,是因为某人或某物推了它一下。在物理学 中,这是被人们认识到的惟一因果关系,科学的总体趋势就是试图用 动力因来进行各种解释。今天的物理学没有吸纳目的因概念,尽管它 的词汇里还保留着目的论的痕迹。吸引、排斥、向心之类的词都是目 的论概念的残余,它提醒我们,直到大约350年前,才有人对亚里士多 德的因果论提出质疑。目的因果论带来的不利影响与潜在性概念(前 文讨论过)带来的麻烦极为相似,说石头掉下来是因为它有掉落的趋 势,这实际上等于没作任何解释。但在某些时候,目的术语又的确能 起到某种合理的作用,比如,在伦理学领域里,把某个目标作为一定 行为或行动的原因并非没有意义。总的说来,人类的活动也是如此, 对未来事件的当前期望就是我们采取行动的动机。动物也是这样,有 时候人们甚至还有可能认为这种说法同样也适用于植物,因此很显 然,当我们考虑生物和社会问题时,目的性并不总是微不足道的。亚 里士多德正是出于他的生物学兴趣,才提出了目的因概念。由此看 来,潜在性与目的性显然结合到了一起,生物学家面临的是一粒种子 怎样长成大树,一个卵子怎样发育成动物的问题。亚里士多德会认 为,橡果潜在地包含着橡树,至于长成大树,则是因为有实现自我的 倾向,当然,这种说法是运用这些概念的一个浅显的例子。更通俗地 说,随着科学的发展,目的因解释将被动力因解释所取代,甚至心理 学也在顺应这一趋向,精神分析学(不管它有什么样的优点和缺点) 就是在试图根据以前发生的情况,而不是即将发生的情况来解释人的 行为。

    目的论观点最终从下述事实中获得了自身的力量:我们周围的自 然环境似乎展示出了某种秩序,与动力因有关的因果必然性似乎是一 种盲目的力量,因为其运作无法解释这种秩序。另一方面,目的论却 仿佛很有预见性,生物学的秩序在此很可能又让人们认同目的论观 点。但不管怎样,亚里士多德认识到了必然性和目的性的效力。在这 样的基础上,自然科学显然是不会繁荣起来的,尤其是物理学遭到了 严重阻碍,直到伽利略时代,人们在方法上回归到柏拉图那里之前, 这种状况都未见好转。由于数学家不大容易像生物学家那样想到目的 性概念,因此柏拉图没有像亚里士多德那样考虑到这一点也就不奇怪 了。目的论最终因其拟人特征或神学特征而出了差错,因为只有人才 会具有意图,才会追求目的,所以目的性只在这一领域才具有价值。 棍子和石头并不怀有目的,即便假设它们似乎有目的,也没有什么好 处。但是,我们完全可以适当谨慎地使用趋向概念,就像我们有可能 用到潜在性概念一样。

    说一块石头具有坠落的趋向,也就是说如果给定某种条件,它就 会掉下去。然而亚里士多德却不这样想。他认为目的性与意图有关, 他是从秩序的存在中推断出这一点的,秩序在他看来就象征着规划。 遵循这样的原则,物理学研究显然不可能繁荣起来。因为,如果探索 者的求知欲为虚假的解释所满足,那么自然现象的真实解释就无从获 取。亚里士多德对科学,尤其是天文学的发展,造成了严重的阻碍。 目的性理论给万事万物都分配了适当的位置,这使得他把尘世和尘世 以外的领域区分开来,并认为这两部分受到不同原则的支配,如果和 阿卡德米先进的天文学相比,这种纯粹的妄想简直就等于精神错乱。 然而真正的危害还来自于那些不敢对亚里士多德持批判态度的人,他 们全盘接受,连糟粕也不肯放弃,从而使得亚里士多德在各个领域都 留下了坏名声。

    空间、时间和运动是自然哲学讨论的另一个普遍性话题,关于运 动,我们在谈到变化时曾提到过。亚里士多德在这方面的做法是值得 关注的。爱利亚学派在试图解释运动时遇到了无法克服的困难,而亚 里士多德却从另一个角度接近了这个问题。“运动确实会发生”的观 点必须成为我们的起点。如果认为这个观点是理所当然的,那么问题 就在于如何对它做出解释。与爱利亚学派的唯理论者相反,亚里士多 德表现得更像一位经验论者,他采用了具有现代色彩的划分法。这一 点并非没有意义,尤其是在常常有人错误地认为,经验的方法总不大 可靠的情况下。拿运动来说,亚里士多德坚持存在着连续性的观点, 人们完全可以感觉到这一点,并且有可能随后发现其中一定包含着什 么,但是不可能从非连续中虚构出连续性来。数学家们总是忽视了这 一点,从毕达哥拉斯时代起,他们就指望无中生有地建立起数学的世 界来。而连续性的分析理论却能以纯逻辑的方式建立起来,它在几何 学中的应用取决于连续性假定。

    上文提到过的运动是指品质的变化。此外还有两种运动:数量变 化和地点变化。运动只能归属于这三个范畴。根据亚里士多德的理 论,我们无法像原子论者那样,把所有的变化都归结为粒子的运动, 因为把一个范畴与另一个范畴合并起来是不可能的。亚里士多德的观 点在这里又一次偏向了经验主义一边,正如我们所知,原子论者们继 承的是爱利亚传统,他们按照理性主义的简约原则进行思考。

    关于空间和时间,亚里士多德的理论与现代观点有许多共同之 处。亚里士多德从不同物体能够在不同时间占有相同空间这一事实中 推导出了“位置”的概念。因此我们必须把空间和存在于空间里的东 西区分开来。为了确定某个物体的位置,我们可以先确定它所属的范 围,然后将范围逐步缩小,直到我们到达该物体的准确位置。亚里士 多德按照这种方式,把物体的地点定义为它的界限。从表面上看,这 是对一个艰难的问题给出的一个十分苍白的结论。然而,当我们分析 此类问题时,结果却往往出人意料地简单和现实。而且这种解决方式 就像止痛药一样,总能带来一些有趣的结果,在眼前这个例子中,我 们可以得出如下结论:我们问任何一个物体在什么地方,是有意义 的;但如果问世界在什么地方,就是废话,这就是说,万物皆存在于 空间,只有宇宙除外,因为它不包含在任何东西里,事实上,宇宙并 不是桌椅之类的东西。因此我们可以很有把握地告诉任何一位希望周 游世界的人,他的尝试是徒劳的。或许应该提到,在地点或位置分析 方面,亚里士多德并没有提出数学家或物理学家可能提出的空间理 论,他所做的更像是在进行语言分析,但语言分析与空间理论之间并 非没有联系。如果我们能够分析“位置”这个词的含义,显然将有助 于我们加深对空间的种种陈述的理解。

    亚里士多德和原子论者正相反,他认为不存在虚空。他为这一观 点提供了许多实际上不正确的论证,其中最有趣的就是归谬法。首 先,他从如下事实着手:物体在某种介质中的速度会随介质密度和物 体自身重量的变化而变化,由此得出的第一个结论是,物体在虚空里 的运动速度应该是无限的,但这同时又很荒谬,因为任何运动都需要 一定的时间。其次,重的物体的运动速度应该比轻的快,但在虚空中 却不可能这样。根据这两点,亚里士多德宣称虚空是不存在的。但他 的这些结论并不是从前提得出的,“物体在较稀薄的介质里会移动得 快一些”这一事实并不能推导出“物体在虚空中会无限地快”这个结 论。而另外一点,实验表明,在真空中,较轻的物体和较重的物体的 确以同样的速度落了下来。亚里士多德有关虚空的错误概念大约直到 两千年后才得到澄清。尽管如此,但我们仍然只有这样说才公正:即 使到了今天,科学家们还是对虚空问题感到棘手。他们曾经用“以 太”之类的特殊物质来填充虚空,最近又用到了“能量分布”。

    亚里士多德对时间的讨论与他的地点分析十分相似。事件都按一 定的时间序列发生,就像物体都有一定的地点序列一样,一个事件有 一个恰当的时间,犹如一个物体有一个确切的位置。亚里士多德根据 连续性,把事物分成三种排列方式。首先,事物可以是连贯的,一个 接一个,序列中的任何插入项都不予考虑。其次,事物可以是接触 的,就像连续的各项相邻一样。最后,事物的顺序可以是连续不断 的,即相连各项实际上有共同的界限。如果两个事物是连续的,那么 它们也就可以发生联系,否则就不能。同样,两个接触的事物也是连 贯的,但不能反过来说。

    确定了这些初步概念之后,我们就会发现不可分割的元素是不能 构成一个连续量的。显然,不可分割的元素是不可能有界限的,否则 它就可以进一步细分,另一方面,如果不可分割的元素没有大小,那 么它们就是连贯的,相邻或连续的说法就等于是一句废话。例如,在 一条线的任何两点之间,还有别的一些点;同样,在一段时间的任何 两刻之间,也有其他一些时刻。因此,空间和时间是连续的和无限可 分的。在这种情况下,亚里士多德开始解释芝诺的悖论。虽然他的答 案在事实上是正确的,但他没有把握住芝诺论证的本意。前面说过, 芝诺并没有提出肯定性理论,他只是试图证明,毕达哥拉斯的单元论 根本不能成立。如果他抛开自己的爱利亚偏见,肯定会赞同亚里士多 德的观点。

    我们不必在此谈论亚里士多德科学理论的细节。尽管他做了一些 有益的工作(尤其是在生物学方面),但他的成就却因过分夸张而受 到了损害,没有哪位前苏格拉底哲学家会鼓励这种做法。

    前面说过,我们似乎可以从伦理学中发现目的因的某些合理性, 目的论正是在这一领域被推导出来的。对亚里士多德来说,“善”就 是万物为之奋斗的目的。由于他不肯使用理念论(形式论),我们自 然也就找不到一种善的形式。他还注意到了“善”一词具有不同的用 法,这些用法不能全都归到同一个标题下。然而,“善”不管以任何 形式表现出来,它最终都源于上帝的善,因此从表面上看,这并非与 理念论完全不同,也不是脱离得太远。这种动摇不定的观点在亚里士 多德的哲学里比比皆是。一方面,他与阿卡德米决裂;另一方面他似 乎又回到了阿卡德米。某些时候就像现在一样,我们能把这两方面分 开,只从其价值来考虑他与阿卡德米的决裂。他对“善”的用法的分 析,告诉了我们一些有价值的区别,而这些区别有时可能会被人们所 忽视。这很有趣,但并不会使我们走向极端,尽管某些现代语言分析 家会说,除此之外,他就无事可做了。他们在这方面的态度也许有些 轻率,因为他们不能客观地对待某些“废话”的流行。毕竟,真理不 是少数服从多数的问题。至于上帝在形而上学中的地位,亚里士多德 认为这完全不是个人的问题。上帝就是为世界提供第一推动力的强大 的首要因素,在任务完成后,他对尘世不再怀有积极的兴致,自然也 就不会密切关注人类的所作所为了。他是一位虚弱苍白的哲学家的 神,仅仅是因果理论的一个附属品罢了。

    要想了解亚里士多德伦理学的要旨,我们必须先稍稍讲一下他的 灵魂理论。他从柏拉图那里借用了三分理论,认为灵魂可分为有滋养 的、感性的、理性的三类。有滋养的灵魂属于一切生命体,它们都有 所谓的新陈代谢功能;感性的灵魂属于动物和人类,但不属于植物; 而理性的灵魂是人类独有的。只有达到理性的层次,伦理学才会介入 生活。而植物只有植物式的生长,动物只有动物式的生活,灵魂与肉 体溶为一体,犹如形式与物质的结合。对个人来说,人死后灵魂也就 不复存在,尽管人的理性是不朽的。

    当我们提出人生的目的是什么的问题时,伦理学问题就产生了。 亚里士多德的答案在理性灵魂的幸福中,对他来说,就意味着这种生 活是一种积极理性的活动,充满了德行,并为人们努力追求。因此, 根据亚里士多德的理论,德行就是一种达到目的的手段。当然,并不 是人人都能达到相同程度的目的,、但它是一个人能够企及的最高目 标。苏格拉底认为,理论的生活是最美好的生活。

    对亚里士多德时代的一位希腊人来说,这并不意味着不食人间烟 火和脱离具体事务。知道这一点是十分重要的。首先,尽管应该采取 一种超然的姿态,但理论的生活还是要涉及活动。因此,理论的生活 并不是致使实验方法失灵的原因,尽管亚里士多德特别强调了对已知 真理(而不是新发现)的思索性评价。这样一来,一个他所忽视的难 题就产生了。因为,为了对某个东西做出评价,人们必须进行某种初 步的智力尝试,但谁又能说清这种尝试到什么时候才算够呢?问题的 真相是,不能用这种方式来限制探索工作。其次,无论是在和平年代 还是在战争期间,好公民都应该履行自己的义务,并且做出各种各样 的贡献。“象牙塔”式的哲学概念是斯多葛派的发明,正是由于他们 脱离了感知世界,科学运动才逐渐衰落了下去。

    关于道德或品德,亚里士多德提出了德行理论,并将它作为一种 中庸之道。在任何情况下,人的行为都有可能不足或过分,这两者都 无法构成适当的行为,而德行则介乎这两个极端之间。因此,坚定的 勇气既不是率性的放肆,也不是怯懦的退缩。中庸理论受到了毕达哥 拉斯和赫拉克利特的和谐学说的启发。亚里士多德描绘了这样的画 像:具备全部德行的人就是具有伟大灵魂的人。这确实公正地反映出 当时公民们的举止中有某种受到普遍推崇的品质。总之,这个结论有 点夸张,尽管没有虚伪的谦虚也非常招人喜欢。一个人不应该过高地 估计自身的价值,但同样,他也不应该妄自菲薄。然而高尚的人毕竟 还是极少数,因为绝大多数人从来没有机会去实践所有的德行。和苏 格拉底、柏拉图一样,亚里士多德特别倾向于伦理方面的精英。中庸 论并不是完全成功的。比如,我们怎样去定义“诚实”?诚实被认为 是一种德行,而我们却很难说它就是“严重撒谎”与“轻微撒谎”之 间的折中。尽管有人怀疑,但这种观点在某些地方还是颇为流行。无 论如何,这样的定义是不适合理智方面的德行的。

    关于人的善恶问题,亚里士多德认为,除了受到强迫和出于无 知,人的行动都是自发的。和苏格拉底不同的是,他承认一个人可能 会故意作恶。同时,他还对“选择”的含义作了进一步分析,在那种 认为“人从来不会存心犯罪”的理论中,这个问题当然是不会出现 的。

    亚里士多德的正义理论采纳了分配原则,在《理想国》对苏格拉 底的定义里早已应用过这一原则。如果人人都能得到公平的份额,那 么正义也就实现了。但是这种观点本身就包含了一个难题,那就是它 没有提供一个断定什么是公平的基本依据。公平的标准是什么?苏格 拉底至少还坚持了一个似乎客观合理的标准,也就是以教育为尺度。 这个观点与现代观点相比,有很大一部分是相同的,尽管中世纪不是 这样。如果要人们应用正义理论,显然必须先解决什么是公平的问 题。

    最后,我们必须讲讲亚里士多德的友谊观。他认为,我们要想过 一种美满的生活,就必须有朋友,在为环境所迫时,可以相互商量和 依靠。对亚里士多德来说,友谊就是把自尊延伸到他人。正是为了自 身的利益,你才会爱你的兄弟如同爱你自己一样。和通常情况一样, 洋洋自得和以自我为中心的态度,多少损害了亚里士多德的伦理学形 象。

    在谈及亚里士多德的政治理论时,有两点立即引起了我们的注 意。首先,我们发现关于政治的论证必然会带有目的性,亚里士多德 对这一点是十分清楚的。其次,他的政治理论几乎完全是围绕着城邦 进行的。亚里士多德完全不了解在其有生之年,希腊的城邦制时代正 在迅速消逝。马其顿掌握了希腊的统治权,并在亚历山大的领导下继 续扩张,准备建立帝国。但亚里士多德对帝国之类组织的政治问题毫 无兴趣。当然,他也曾漫不经心地提到过亚历山大大帝、埃及和巴比 伦,但关于这些野蛮民族的少许离题的话却使对比更加鲜明。在亚里 士多德眼里,希腊城邦展示了政治生活的最高形式,而外国的政体只 不过是形形色色的野蛮主义。

    我们在别处见过的这种目的论方法,一开始就得到了采用。出于 达到某种目的的需要,种种联盟就应运而生了。国家是其中最大、最 广泛的一种,因此它必须要达到最伟大的目的。当然,这是伦理学的 一种善的生活,并且能在一定规模的公共社团中实现,这里说的公共 社团是指由较小的团体联合而成的城邦,这些较小的团体又以户为基 础。人作为一种政治动物活着是很自然的事,因为他必须为善的生活 而奋斗。任何凡人都不能做到独立存活的自足。亚里士多德进一步谈 论了奴隶制的问题,他说,高贵与卑贱的二元论遍布整个自然界,因 此,肉体与灵魂、人与动物这些事例就在我们的大脑里涌现出来。在 这种情况下,统治者与被统治者的存在应该对双方都是最有利的,希 腊人天生就比野蛮人高贵,因此,由外国人(而非希腊人)来做奴隶 是合理的。从某种意义上说,这等于承认了奴隶制最终是不合理的。 因为每一个野蛮部落也都无疑会认为自己是优越的,并且都会按照自 己的观点来处理问题。事实上,那些半野蛮的马其顿人当时就是这样 做的。

    关于财富与获取财富的手段,亚里士多德提出了一种区别,后来 这种区别逐渐在中世纪产生了巨大的影响。他认为事物具有两种价 值,一是它本身的价值或使用价值,例如一个人穿一双鞋。二是它的 交换价值,这就产生了一种人为的价值,比如一双鞋不是用来交换具 有直接用途的另一种商品,而是拿去换货币。货币是一种更便携、更 紧凑的价值形式,这是它的一个优点,而它的缺点在于具有了自身的 独立价值。这方面最糟糕的例子就是有利息的借贷。亚里士多德的许 多异议可能出于他在经济或社会方面的偏见。一个有教养的人不去修 持善的生活,而是沉溺于赚钱,是不应该的。不过他忽视了一点:如 果缺乏一定的财富,这些目标同样是不可能实现的。至于放债问题, 他的异议是基于一种十分狭隘的资本功能观点。毫无疑问,一个穷困 的自由民在手头拮据的时候,如果向放债人求助,就有可能沦为奴 隶,人们对此表示反对是完全合理的;但是在为商业企业筹资方面, 资本也是有建设性用途的。亚里士多德不可能接受这种放债的观念, 因为他把大规模的贸易,尤其是与外国人进行的贸易,看做是不幸又 不得已的做法。

    现在,当我们转而讨论亚里士多德的理想国时,可以发现其条款 要比柏拉图的《理想国》蓝图更为成熟。亚里士多德特别强调了家庭 单元的重要性。为了培养真正的感情,就必须对感情所涉及的范围加 以某种限制。为了得到真正的关心,孩子必须由父母亲自照顾,纯粹 的集体责任感在这方面可能会导致玩忽职守。总的来看,《理想国》 里的理想国家太强调整体性了,它忽视了下述事实:在某种限度上, 国家是一个有许多不同利益共存的社会。同时,我们还可以注意到, 假如我们承认有很多利益,就没有必要为了统一目的去撒“忠诚的 谎”。关于土地,亚里士多德主张其所有权私有化,而产品则应该为 社会所共享。这就相当于一种开明的私有制形式,所有者用他的财富 为社会谋福利。那么要培养出这种责任感,就必须依靠教育。

    亚里士多德在他的公民概念中,采纳了一种十分狭隘的观点,即 只有那些既有选举权,又肯积极地直接参与国家管理的人才能被称为 公民。这就把广大的农民和工人排除在外了,亚里士多德认为他们不 适合发挥政治作用。当时还没有任何人想到用代表制度来管理国家的 可能性。至于种种不同类型的政体,亚里士多德在《政治篇》中大量 采用了柏拉图的方案。但和柏拉图不同的是,他确实揭示了财富的重 要性(而不是统治者的数量)。统治者的数量是多是少都无关紧要, 重要的是他们是否掌握了经济大权。谈到对权力的正当要求,亚里士 多德承认任何人都可以在任何时候执行同样的正义原则,为自己要求 权力。即同等的人应该获得同等的权力份额,不同等的人则没有这样 的权力。然而困难就在于如何确定同等与不同等。那些在某个领域出 色的人往往觉得自己在所有方面都高人一等。能够最终走出这一困境 的惟一出路就是承认伦理原则。同等与否必须根据善的标准来判断, 只有善的人才可以拥有权力。在对各种政体进行了长期考察之后,亚 里士多德得出了这样的结论:总而言之,最好的政体就是财富既不太 多也不太少的政体。因此,以中产阶级为主的国家才是最合理、最稳 定的国家。

    接下来,他还讨论了发生革命的原因及其防止措施。革命的根本 原因就在于正义原则被滥用:人在某些方面平等或不平等,并不等于 人在一切方面都是如此。最后,他对理想国进行了解释:理想国的人 口不仅在数量上必须适度,而且要掌握适当的技能;理想国应该站在 山顶上就可以一览无余;它的公民应该是希腊人,他们是惟一集北方 人的活力和东方人的智慧于一身的民族。

    最后,我们必须提及一部作品。尽管它篇幅不长,却对艺术批评 史,尤其是戏剧文学产生了巨大的影响,这就是亚里士多德的《诗学》,一本主要讨论悲剧与史诗的著作。我们必须注意到,“诗学” 一词本身的字面意思是“造物过程”,因此,它通常可以用于任何生 产性活动,但在当前含义中,它仅用于艺术创作。从如今的意义上 说,诗人就是写诗的人。

    按照亚里士多德的观点,一切艺术都是模拟。他的分类法首先把 绘画与雕塑从别的艺术中分离出来,并把现代意义上的音乐、舞蹈和 诗歌归为一组。根据“模拟”介入方式的不同,诗歌被分为不同的类 型。不过,他却从未对“模拟”的含义作过真正的解释。当然,从理 念论的角度看,我们对这个概念是熟悉的,因为在理念论中,个体可 以说成是对共相的模拟。在亚里士多德眼里,模拟似乎意味着用人为 的方式唤起真实的情感。他的全部讨论好像都是围绕着戏剧艺术来进 行的,因为正是在这一领域,模拟原则得到了最自然的运用。

    当亚里士多德进一步谈到人类行动的模拟时,这一点尤为明显。 人的行为可以用三种方式来描述。一是我们可以适当精确地展示他 们;二是我们可以模拟高于其行为正常标准的某种事物;三是可以模 拟低于该标准的事物。用这种方式,就能够将悲剧和喜剧区分开来。 悲剧中人物的表现要高于生活中的尺度,尽管离我们不是太远,还不 至于阻止我们对其遭遇表示同情。而喜剧却把人表现得比实际的差一 些,因为喜剧强调了生活滑稽的一面,人物性格中的逗乐因素被认为 是一种缺点,尽管不是特别有害的缺点。在这里,我们可以注意到艺 术价值与伦理价值的某种结合。这是一种源于《理想国》的偏见,该 篇将艺术评论和社会、伦理标准紧紧地联系在一起。彻头彻尾的邪恶 与堕落绝不可能具有美学价值,这是现代文学标准不予承认的一种局 限性。

    接着,亚里士多德把讲故事的诗和表现情节的诗区分开来,这就 把史诗从戏剧中提取出来了。从那些与宗教仪式相关的吟诵中,我们 可以找到戏剧艺术的起源。很明显,希腊悲剧起源于俄耳浦斯宗教仪 式中的某些咒语。对“悲剧”的一种可能的解释就是它是指一首山羊 的歌曲,山羊正是俄耳浦斯教的象征之一。在希腊语中,“Traros” 是“山羊”,“Ode”是“歌曲”。在最初的悲剧仪式中,由一位领唱 人吟诗,一群人应和,很像今天的宗教仪式。正如亚里士多德所说 的,最初的演员和最初的合唱团就是由此发展起来的。另一方面,喜 剧则起源于狄奥尼索斯的欢宴,喜剧的本义就是“狂欢曲”。

    史诗从头至尾采用同一格律,而悲剧却随着剧情的不同起伏变 化,更重要的是,悲剧更多地受场景的限制。亚里士多德并没有明确 地提出地点、时间和情节统一的理论,更确切地说,这是两类作品的 内在局限性问题。一场戏必须在一个有限的空间内一次性演完;而一 部史诗却可以想写多长就写多长,因为它的舞台是想像。亚里士多德 的悲剧定义是:对人类行为的模拟。悲剧应该是善的、完整的,应该 具有合理的时空范围,还应该在观众中产生共同的恐惧和怜悯心理, 并以此将其从灵魂中清除掉。

    关于作品的完整性,亚里士多德坚持认为一部悲剧应该有序幕、 中场和结尾。表面上看,这似乎算不得一个很有知识的见解,然而它 的含义却是十分合理的:一场悲剧首先应该有一个说得过去的起点, 并以合乎情理的方式展开剧情,最后得出一个有结论的问题。悲剧必 须是独立、完整的,因此剧情长短十分重要,如果太长,观众的精神 就会动摇;太短则不能给观众留下什么印象。

    悲剧的最终目的就是通过情感的净化来清理灵魂,希腊语 “catharsis(感情受艺术的作用而发生的净化)”就是这个意思。正 是体验到引起共鸣的恐惧和怜悯情绪后,灵魂才得以从这种负担中解 脱,因此,悲剧具有一种治疗性的目的。这一术语是从医学上借用 的,亚里士多德观点新颖的地方,就是他提出用疾病本身的一种适当 的形式来治疗疾病,就像精神病学的预防接种一样。假如我们想这样 来解释悲剧的目的,当然必须先自信地认为这一点是真实的,即所有 的人都会受到恐惧、怜悯的纠缠和烦扰。

    亚里士多德继续审查了悲剧作品的各个方面。其中首要的是情 节,没有情节就不会有戏剧。直到今天,角色也还是通过情节来实现 自我的,角色的地位次于情节,潜在的角色要在情节中才会变得现 实。有两类事件尤为重要,一是命运的突然逆转,二是某种意外的、 影响情节的新情况。这些事件将压倒一个在任何品德上都不是太出色 的人,而他的失败并不是由于其罪恶,而是由于缺乏判断力。他被拉 下高位,并因此最终成了众人遗弃的对象。在希腊戏剧中,这样的例 子比比皆是。

    谈到角色的处理,亚里士多德首先要求它具有真实的典型性。和 情节一样,角色也必须给人以鲜活的印象。在这个意义上,我们必须 从另外的角度来理解亚里士多德的论述,即诗歌涉及的是普遍情况, 而历史则描写特殊事件。在悲剧中,我们看到了人类生活的普遍特 征,这也正是作品的主题。注意到下面这点十分重要:尽管亚里士多 德提到过被我们称为“舞台表演”的方面,但他却认为那无关紧要。 他几乎把着重点全放在了作品的文学质量上,也许他认为悲剧要像适 合于舞台表演一样适合于阅读。

    虽然《诗学》没有提出一套成熟的艺术和美学理论,但它明确地 提出了至今还极大地影响着文学评论的诸多标准。首先,他没有谈论 剧作家们的情感和动机,而是集中谈论作品本身,这种做法倒是十分 可喜的。

    我们已经知道,希腊哲学和理性科学产生于同一个时代。问题的 实质是,哲学问题来自科学探索的边缘,这一点对数学来说尤其真 实。从毕达哥拉斯时代起,算术和几何就一直在希腊哲学中发挥着重 要的作用。有好几个原因可以说明数学为什么在哲学领域特别重要。 首先,数学问题明白、简单,这并不是说它总是很容易解决,而是指 我们不必从这个意义上来理解它的简单。不过,当我们把数学中的普 通问题同别的问题(如生理学)相比较时,前者还是要简单一些。第 二,数学已经有了一套既定的论证模式。当然,我们必须记住,肯定 有人首先把这种模式找了出来。证明与论证的普遍性正好就是希腊人 发现的。证明在数学中所起的作用,比在绝大多数其他科学中更明 显,尽管一项数学论证到底做了些什么总是引起争议,并常常被人误 解。第三,一项数学论证的结论一旦被正确理解,就不容置疑。对于 诸前提已经被接受的任何有效论证的结论来说,这当然是正确的。接 受前提是论证程序的一部分,这是数学的一个特征。而在其他领域, 由于担心某个前提是错的,人们总是将结论与事实进行比较。在数学 中,除了其自身,是没有什么事实需要比较的。由于有了这种确定 性,任何时代的哲学家一般都会承认,数学能提供一种优越的知识, 这种知识比从其他任何领域获得的知识更为可信。很多人都说过,数 学就是知识,他们否认任何其他信息可以被称作知识。如果使用《理 想国》中的语言,那么我们就可以说,数学属于形式的范畴,所以它 产生知识;而其他领域只是针对特殊问题,所以最多只能产生意见。 理念论源自毕达哥拉斯学派的数学,苏格拉底把它扩展到了共相的普 遍性理论中,柏拉图则再次将它限定在数学的范围之内。

    公元前4世纪末,数学活动的中心转移到了亚历山大。该城是亚历 山大大帝于公元前332年建成的,并且迅速成了地中海最重要的贸易中 心之一。它位于通往东方大陆的门户上,为西方文化和巴比伦、波斯 文化提供了一个交流的地点。一个庞大的犹太人社团在短时期内出 现,并很快被希腊化了。来自希腊的学者在这里建立了一所学校和一 座图书馆。这座图书馆在整个古代都非常有名,没有任何其他藏书可 与亚历山大的丰富藏书相比。遗憾的是,公元前47年,尤利乌斯·凯 撒的军团占领该城时,竟将这个古代科学与哲学的独特宝藏付之一 炬,同时,一些古典时期的伟大作家的许多资料也不可挽回地消失 了,很多价值稍次的东西无疑也被烧毁了。今天,当某些图书馆被损 坏时,历史上这一相似的事件也算给人们提供了一些安慰。

    欧几里德是亚历山大城最著名的数学家,公元前300年,他到处讲学,他的《几何原本》至今仍是希腊科学最伟大的丰碑之一。在书 中,他通过演绎的方式整理了当时的几何学知识。虽然其中的很多内 容并不是他的发明,但他的功绩在于对问题作了系统的论述。《几何 原本》是许多世纪以来,很多人努力追求达到的一个榜样。当斯宾诺 莎提出“更加几何化的”伦理学时,正是以欧几里德为榜样的,牛顿 的《自然哲学的数学原理》也是如此。

    我们知道,后期毕达哥拉斯学派所涉及的问题之一,就是建立作 为连分数序列极限值的无理数。然而,这个问题的一套完整的算术理 论从未得到过详尽的阐释,这样一来,用算术术语来解释比例就无法 进行下去,因为无法给一个无理数或不可度量的数取一个数的名称。 而对长度来说,问题就不一样了。的确,这一困难最初是我们试图用 一个数来表示一个等腰直角三角形(其边长为一个单位)的斜边时才 发现的。因此正是在几何学中,才形成了一套完整、成熟的比例理 论。它的发明者似乎是和柏拉图同时代的尤多克苏斯。但该理论传到 今天的书面形式是在欧几里德的《几何原本》中发现的,该书对问题 进行了令人赞叹的、清晰又严谨的论述。对算术的最后回归出现在约 2000年之后解析几何被发明的时候。当笛卡尔设想可以用代数来处理 几何学的时候,他实际上是继续了苏格拉底辩证法的科学理想。为了 否定几何学中的特殊假说,他发现了可以作为基础的更普遍的原理。 这也正是阿卡德米数学家们所追求的目标,但我们将永远无法知道他 们究竟会取得多大程度的成功。

    以现代的眼光来看,欧几里德的《几何原本》是纯粹的数学。在 这方面,亚历山大的数学家们遵循了阿卡德米传统,从事数学研究仅 仅是出于兴趣。这一点在欧几里德的书中表现得最为突出。在这本书 中找不到任何一个提及几何学可能有用的暗示,何况要掌握这样一门 科学需要长期的努力。当埃及国王要求欧几里德只用几节课就教会他 几何学时,欧几里德作了以下著名的回答:通向数学殿堂的御道是不 存在的。不过“数学无用”的想法是错误的。认为数学问题并非总是 从实践中来,同样也是错误的。但是,研究某项特殊理论的起源是一 回事,根据其自身价值来对待这一理论又是完全不同的另一回事,这 两件事常常没有被充分地区别开来。假如因为欧几里德不重视数学导 致的社会学,就对他加以指责,这是没有什么意义的,他不过是对此 没兴趣罢了。只要他获得了一大堆数学知识(不管怎么获得的),他 都会着手整理,并将它们置于严谨的演绎程序之中。这是一种科学实 践,其正确性并不取决于国家的状况,事实上也不取决于别的任何东 西。这些观点确实同样适用于哲学本身。毫无疑问,由于当时的条 件,人们总是关注眼前的问题,而忽视了过去和未来的问题。

    尤多克苏斯的另一个贡献,是发明了所谓的“穷尽法”。计算由 曲线圈定的面积时用得着这一程序,它的目标是用一些更简单的图形 (其面积更容易求出)来尽可能地填满原空间面积。从原理上说,这 正是积分学中出现的情况,因此,“穷尽法”其实就是积分学的先 驱。

    阿基米德是运用这种计算方法的最著名的数学家,他不仅在数学 领域有非凡的成就,而且还是一位杰出的物理学家和工程师。他住在 锡腊库札,普卢塔克说他曾不止一次凭借其技巧,帮助该城阻止了敌 军的进攻。但罗马人最终征服了整个西西里和锡腊库札。锡腊库札于 公元前212年陷落,阿基米德在洗劫中惨遭杀害。传说他正忙着在自家 花园的一块沙地上计算某个几何题时,一个罗马士兵刺死了他。

    阿基米德求抛物线和圆的面积时运用了“穷尽法”。对于抛物 线,他用一系列(无限多)逐渐缩小的三角形来和它内接,最终推导 出一个精确的数值公式。对于圆,答案就取决于数值,也就是圆周与 直径之比。由于它不是一个有理数,所以用“穷尽法”就可以算出其 近似值。通过内接和外切正多边形(其边数不断增多),我们可以越 来越接近圆周。内接多边形的周长总会小于圆的周长,而外切多边形 的周长则总是大于圆的周长。不过随着多边形边数的增加,两者的差 值就会越来越小。

    亚历山大的阿波罗尼是公元前3世纪另一位伟大的数学家,他创造 了圆锥曲线理论。在这里,我们又看到了一个推翻特殊假说的明显例 子。因为现在看上去,一对直线、一条抛物线、椭圆形、双曲线和圆 都是作为同一个东西(即圆锥截面)的特殊形态出现的。

    在其他科学领域,希腊最惊人的成就可能在天文学方面。其中某 些成就,我们在谈论几位哲学家时已经提到过。这个时期最令人吃惊 的成就是日心说理论的发现。萨摩斯的阿里斯塔克(和欧几里得、阿 波罗尼同时代)似乎是第一个对此观点进行了完整、详尽解释的人, 尽管在公元前4世纪末,阿卡德米也有可能提出过这一观点。但无论如 何,阿基米德向我们提供了可靠的证明,阿里斯塔克确实持有这样的 理论。我们还发现普卢塔克也提到过它。日心说的主要意思是:地 球、行星和其他星星一起围绕太阳运转,而太阳本身则保持固定不 动;地球在其轨道上运行的同时还绕着自己的轴心自转。阿卡德米的 赫拉克利特早在公元前4世纪就已经知道,地球每天绕着自己的轴心旋 转一圈;而黄赤交角则是公元前5世纪发现的,所以,阿里斯塔克的理 论绝不是什么全新的发明。但在当时,这种敢于背离常识的做法会招 来某些反对,甚至是敌视。应该承认,甚至有一些哲学家也表示反 对,不过他们可能主要是从伦理方面考虑的。因为,如果说地球不再 是万物的中心,那么原有的道德标准必然会遭到瓦解。斯多葛派的哲 学家克雷安德甚至要求希腊人指控阿里斯塔克犯有渎神罪。有时候, 关于日月星辰的偏激观点会像政治中的非正统观念一样带来危险。在 遭到激烈反对之后,阿里斯塔克再提到自己的见解时,似乎就有些犹 豫和胆怯了。在另一个著名的场合,当伽利略赞同哥白尼的理论时, 地球运动的观点再次扰乱了宗教感情。我们应该注意到,哥白尼实际 上只是复兴或再现了萨摩斯天文学家的理论而已。阿里斯塔克的名字 被哥白尼写在了某篇手稿的旁注里,这就证明此事是确凿无疑的,至 于太阳系中天体的相对大小和距离,其研究结果并不是同样的成功。 对太阳和地球之间距离的估计大约是实际距离的一半;而月亮和地球 之间的距离却计算得相当准确;估算出的地球直径则比实际数字小了 五十英里,这一功绩应归功于埃拉托色尼,他是亚历山大的一位图书 馆专家,也是一位敏锐的科学观察家。为了确定地球的周长,他选择 了几乎位于同一子午线上的两个观测点,其中一个是北回归线上的希 恩,这里的中午,太阳就位于天空的正上方,太阳的位置是通过它在 一口深井中的映象观测到的;另一个点在亚历山大北边四百英里处, 它只需确定太阳的角度,通过测量一个方尖塔的最短的影子就能轻易 做到。人们从这个结论中要推算出地球的周长和直径并不难。

    这种知识的大部分很快就被人遗忘了,其主要原因是它不符合当 时的宗教偏见。这就不难理解为什么连一些哲学家也在这方面犯错误 了,因为这种新天文学使斯多葛运动的伦理学说面临着被颠覆的危 险。保持中立的观察家倾向于认为,由于新天文学理论证明了斯多葛 主义并不是好的学说,所以应当推翻它。但这种理想是无法实现的, 那些观点受到批驳的人是不会轻易放弃其立场的。既坚信某种观点, 同时又保持超然的态度,这种能力是最为罕见的一种天赋。哲学家和 科学家比其他人更为努力地培养自己的这种能力,尽管最终他们并不 一定做得比别人更好。这种态度非常适合数学研究,许多大哲学家同 时也是数学家,这绝非偶然。关于数学,最后也许还有一点值得强 调,除了问题的简单性与结构的明确性,数学还为美的创造提供了一 定的范围。

    希腊人的确具有非常敏锐的美学意识。今天所使用的“美学”这 一术语是由18世纪的德国哲学家鲍姆加通最先提出来的。不管怎样, 当济慈说“真即是美”的时候,他所表达的是一种纯粹的希腊概念。 当一位柏拉图派学者考虑某个希腊茶壶的几何比例时,他也许正好会 有这样的感受。数学证明本身的结构也是这样。在这一领域中,“典 雅”与“节约”等概念都是符合美学原则的。

    第四章 希腊化时代

     公元前5世纪初希腊人还在抵御波斯人的入侵,然而到了公元前4 世纪,波斯帝国就只是一个泥脚巨人了。因为色诺芬已经证实,一小 支训练有素、指挥得法的希腊部队,即便是在波斯本土也能守住阵 地,反抗波斯帝国的强权。

    在亚历山大大帝的率领下,希腊世界开始转守为攻了。短短十年 间(公元前334年至公元前324年),波斯帝国就为这位年轻的马其顿 国王所征服。从希腊到大夏,从尼罗河到印度河,世界突然处于亚历 山大的个人统治之下。尽管在希腊人看来,他是一位马其顿的最高统 治者,但他却把自己视为希腊文明的传播者,事实证明他也的确如 此。他不仅是一位征服者,也是一位殖民者。他的大军每到一个地 方,都要按照希腊模式建立起一些城市。在这些主要实行希腊生活方 式的城市里,土著希腊人或马其顿定居者都将与当地人融为一体。亚 历山大鼓励马其顿臣民与亚洲妇女通婚,而且他自己也是这样做的, 他娶了两位波斯公主为王妃。

    亚历山大的帝国作为一个国家,寿命并不长。他死后,他的将军 们最终把领土分为三部分。欧洲部分或安提哥尼帝国在100多年后落到 了罗马人手中。亚洲部分或塞留西王国被分为两份,西部为罗马人所 接管,东部则为帕提亚及其他民族所占据;托勒密统治下的埃及为奥 古斯都所掌握,成为罗马帝国的一部分。尽管如此,但马其顿作为希 腊文化的传播者,其征讨还是十分成功的。希腊文明几乎是源源不断 地涌入了东方。希腊语成了世界各地文明人士的语言,并且很快发展 为贸易和商业上的通用语,就像近几十年来英语的扩张一样。公元前 200年左右,操希腊语的人们可以从海格立斯(大力神)石柱一直走到 恒河。

    从此,希腊的科学、哲学,最早则是它的艺术,渐渐影响了古老 的东方文明。铸币、花瓶、建筑和雕刻的遗迹以及影响不那么明显的 文学,都是这场文化入侵的证据。相应地,东方也对西方产生了新的 影响。不过这种影响多少有些落后,因为在那个时期,最让希腊人着 迷的似乎只是巴比伦的占星术。因此,尽管科学技术有了进一步发 展,但希腊化时代比古典时代更为迷信。即便是在我们这个时代,同 样的事情也会再度发生。在我年轻的时候,占星术只是极少数不正常 的狂热分子热衷的东西,而今天,这种迷信的影响力却大得惊人,以 至于蛊惑了那些掌握着大众报纸的人去开辟专栏讨论星相问题。也许 这不值得大惊小怪,因为在罗马人到来之前,整个希腊化时代都是失 控、动荡和危险的。冲突各方的雇佣军都会不时地骚扰乡村。亚历山 大所建立的新城市缺乏旧殖民地的政治稳定性,后者与它们的宗主城 邦有着传统的联系。从总体上来说,希腊化时代是缺乏安全感的。强 大的帝国已崩溃,后继者们又在不停地争夺最高的霸权,这样一来, 人们就必然会深感世事变化无常了。

    在文化领域,我们看到了一种日益明显的专业化趋势。古典时代 的伟大人物作为城邦的一位公民,如果需要,他们都能处理很多领域 的事务。而希腊化世界的探索者却把自己限定在某个专门领域。科研 中心从雅典转移到了亚历山大,该城是亚历山大大帝建立的最为成功 的新城市,也是世界各地的学者、作家汇聚之地。地理学家埃拉托色 尼曾一度出任大图书馆的馆长,欧几里德和阿波罗尼讲授数学,阿基 米德则曾经在此求学。在社会方面,奴隶人口的不断膨胀逐渐损害了 稳定的生存基础,在用奴隶做劳动力的地方,一个自由民是很难与之 竞争的,他们惟一的出路就是从军,指望在一些有利可图的掠夺中发 一笔横财。虽然希腊影响力的进一步扩大使人们具有了比城邦时代更 为宏伟的理想,但是没有任何人,也没有任何一项事业大到足以重振 破碎的亚历山大世界。

    长期的不安全感使人们对公共事务丧失了兴趣,理智与道德的力 量也普遍衰落了。昔日的希腊人无法应对当时的政治问题,希腊化时 代的人们同样如此。最终还是由具有组织天才的罗马人从混乱中建立 起了新的秩序,并将希腊文明流传于后世。

    随着城邦黄金时代的消失,一种普遍的、越来越没有生机和活力 的气氛笼罩着希腊世界。如果说所有伟大的雅典哲学家都有一个明显 的共同特征的话,那就是一种勇敢而洒脱地面对人生的态度。他们认 为世界不是一个糟糕的居所,国家可以被看个清楚明白。正如我们所 知,亚里士多德曾经认为这是理想国家的一个特征。马其顿扩张的后 果是这种自得其乐的态度被彻底摧毁了。那个时期的哲学倾向反映出 一种全面的悲观和不安,我们再也见不到柏拉图似的贵族公民的自信 了。

    从某种意义上说,正是苏格拉底的死标志着希腊文化的分野。尽 管柏拉图的工作仍在继续,但希腊文化实际上已从巅峰降到了平原, 在哲学方面,许多新的运动正纷纷涌现出来,其中第一个运动就和安 提斯泰尼直接相关。他是苏格拉底的信徒之一,其名字和爱利亚传统 的一个悖论联系在了一起。按照这个悖论,人们不可能做出任何有意 义的陈述,例如,“A是A”虽然是真的,但毫无意义;或者“A是 B”,但B并不是A,所以这一陈述肯定是错误的。这就难怪安提斯泰尼 会逐渐对哲学失去信心。他在晚年脱离了上层阶级的生活,率先过起 了普通人的简朴生活。他十分反感当时的习俗,渴望回到一种原始的 生活中去,以求摆脱组织化国家陈规陋习的束缚。

    安提斯泰尼有一个叫第奥根尼的弟子,新的运动就是因他而得 名。第奥根尼是西诺普人,西诺普是希腊在黑海的一个殖民地。第奥 根尼过着狗一样的原始生活,这为他赢得了“犬儒”的绰号,意思就 是“像狗一样”。传说他住在一个木桶里,有一次,亚历山大大帝来 拜访这位名人,年轻的亚历山大请第奥根尼说出一个愿望,并表示将 满足他的愿望。第奥根尼却回答说: “不要挡住我的阳光。”亚历山 大感慨地说:“如果我不是亚历山大,我就会做第奥根尼。”

    犬儒主义提倡的是把脱离世俗财富而竭力追求德行作为惟一有价 值的善。这显然具有苏格拉底学说的倾向,但它对世俗事务的反应多 少有些消极。的确,一个人牵挂的东西越少,他受到伤害或失望的可 能性也就越小。但是从这样一种源头出发,我们是不可能获得更多激 励的。犬儒学说在适当的时候发展成了一种广泛的、有影响的传统, 公元前3世纪,它在整个希腊化世界赢得了公众巨大的支持。当然,这 只能说明一种低劣的犬儒主义形式恰巧如实地反映了当时的道德状 况。它是一种机会主义的生活态度,如果可以获得什么,就用双手去 接,而贫困时也不怨天尤人;如果有机会享受生活,就去享受;如果 遭遇苦难,就耸耸肩坦然承受。正是从这样的发展中,“犬儒”一词 才开始具有了贬义。不过犬儒主义作为一种运动,并非完全蓄意要这 样进行下去。它的伦理原则逐渐为斯多葛学派所吸收,稍后我们将论 述到这一点。

    哲学衰败时期的另一个产物是截然不同的怀疑主义运动。怀疑论 者的字面意思就是一个持怀疑态度的人,但怀疑主义作为一种哲学, 却把怀疑提升到了教条的地位,它不承认有人能够确定地知道任何事 物。当然,问题是人们想知道哲学的怀疑论者是从哪里获得这一信息 的。如果他们的立场明确地否定了知识存在的可能性,那他们又是怎 样得知这一结论的呢?对意见的怀疑一旦变成了某种原则,那么这种 批评就是恰当的。因为它作为一项有益的提醒,告诫人们还是谨慎为 好,这当然没有什么不妥。

    第一位持怀疑论的哲学家是皮浪,他是爱里斯的一位公民,曾随 亚历山大的军队闯荡过世界。怀疑学说并不是什么新事物,因为我们 已经从前文了解到,毕达哥拉斯和爱利亚学派就怀疑过感知的可靠 性;而诡辩家们也提出了相似的概念,作为他们的社会和伦理相对主 义的一个基础。但其中没有一位思想家把怀疑本身当做一个中心问 题。当17和18世纪的作家们提起皮浪派哲学家时,指的就是这一类怀 疑论者。我们对皮浪本人的情况所知甚少,但他的信徒狄蒙似乎否认 过获得演绎法根本原理的可能性。由于亚里士多德对科学论证的解释 依赖于基本原理,因此这对亚里士多德追随者们来说是一个沉重的打 击,这也是为什么中世纪经院派学者对皮浪哲学如此敌视的原因。而 苏格拉底对假说及演绎法的论述却没有受到怀疑论者大肆攻击的影 响。17世纪新学术的复兴在哲学方面脱离了亚里士多德,回归到了柏 拉图那里。

    狄蒙于公元前235年去世后,怀疑主义作为一个独立的学派也随之 消失了。而在阿卡德米则相反,它被吸收成为一种怀疑论偏见,并持 续了将近200年之久。这当然是对柏拉图传统的一种扭曲。的确,柏拉 图的作品中有部分段落,如果断章取义的话,它们似乎主张放弃建设 性思维的所有努力。现在,《巴门尼德篇》中的辩证法之谜也出现在 我们的脑海里,但辩证法在柏拉图看来,其本身从来不是目的,辩证 法只有遭到这种方式误解后,才会具有怀疑主义色彩。另外,在一个 越来越迷信的时代,怀疑论者的确起到了积极的揭露作用。不过出于 同样的原因,他们也可能决定去参与某些迷信仪式,但内心却无动于 衷。正因为有了这种完全消极的观点,怀疑主义作为一种体系,才容 易在其信徒中产生一代不成熟的嘲弄者,与其说他们正确,倒不如说 他们脑瓜子转得快。

    到了公元前1世纪,怀疑主义再次成了一种独立的传统。2世纪的 讽刺作家鲁西安和塞克斯托·恩皮里库斯属于后期怀疑主义学派,他 们的作品至今仍然保存着,但时代的趋势最终要求一种更加明确和激 励人心的信仰体系,教条主义观点的发展,逐渐使怀疑论哲学黯然失 色。如果把希腊化时代的哲学思辨与伟大的雅典传统及其先驱们相比 较,我们就能更强烈地感受到颓废时代的萎靡不振。古代思想家们把 哲学研究视为一种冒险,它需要开拓者的敏锐和勇气。尽管后来的哲 学也可以说凭借的是勇气,但它是放弃与忍耐的勇气,完全不是探险 家一往无前的英勇。在旧的社会框架已遭到瓦解的时代,人们追求的 是和平,如果他们连这点根本需要都得不到保障的话,那他们就只能 养成这样的德行,就是对无法避开的种种苦难逆来顺受。这一点在伊 壁鸠鲁哲学学派中表现得最为突出。

    伊壁鸠鲁生于公元前342年,父母是雅典人。他18岁时,从萨摩斯 来到了雅典,不久又去了小亚细亚,并在那里迷上了德谟克利特的学 说。他刚三十出头,就创办了一所学校。从公元前307年直到他去世 (公元前270年),这所学校都在雅典正常运转着。学校就像他的居所 与庭院里的一个小社会,他想方设法使学校与外面世界的纷争隔离开 来。伊壁鸠鲁一生小病不断,他虽然饱受折磨,但却毫不退缩地忍耐 下来。他的学说的主要目标就是获得某种不受干扰的安宁状态。

    伊壁鸠鲁认为快乐是最大的善。没有快乐,就不会有善的生活, 这里所说的快乐既包括肉体的快乐,也包括精神的快乐。后者存在于 对肉体快乐的思索中,它并不会在任何重要意义上显得更为优越。另 外,因为我们能够较好地控制自己精神活动的方向,所以在某种程度 上,我们就可以选择思索对象,而肉体快乐大部分是强加给我们的。 这也就是精神快乐惟一的优势。根据这一观点,有德之人在寻求自己 的快乐时是很谨慎的。

    这个普遍性理论产生了新的“善的生活”概念,这种概念与苏格 拉底和柏拉图的观念是截然不同的,它总的趋向是摆脱活动与责任。 当然,苏格拉底确实说过理论的生活是最好的生活,但这并不意味着 完全的脱离。相反,积极地参与公共事务恰恰是精英人物的职责之 一。同样,柏拉图也富于这种责任感,从洞穴中走出来的哲学家必须 返回去帮助那些在洞察力上不如他的人们获得自由,正是这种信念使 他参与了西西里的冒险事业。而伊壁鸠鲁却认为不存在任何生命活 力,尽管他的确对积极快乐与消极快乐作了区分,但却把后者放在了 最重要的位置。为了得到想要的东西,人们在欲望的驱使下,竭力追 求某种快乐的结局,从而体验到一种积极的快乐。但目标实现之后, 如果缺乏任何进一步的欲望,那么消极的快乐就会出现,它是酒足饭 饱之后的一种神气活现的麻木状态。

    可想而知,一个厌倦了动荡的时代是乐于接受这种谨慎的伦理观 的;但作为对“善”的一种解释,它又是十分片面的。它忽视了这样 一个事实:积极探索的一个特征就是无欲和无情。苏格拉底坚持“知 识就是善”,从根本上说是正确的。正是在不偏不倚的理解中,我们 才达到了伊壁鸠鲁所追求的不自觉的敏锐。但是,和他的多少有些严 肃的观点相比,其个人气质就不怎么一致了。因为他重视友谊超过了 其他的一切,尽管这还不是很明显的消极的快乐。“伊壁鸠鲁式的” 一词逐渐成为奢华生活的代称,就是由于伊壁鸠鲁受到了与他同时代 的斯多葛学派及其后继者们的大肆诽谤。在他们看来,伊壁鸠鲁的学 说似乎带有某种明显的唯物主义观点,因而为他们所鄙视。其实这更 是对实际情况的一种误解,因为伊壁鸠鲁交往圈子里的人实际上过的 是俭朴的生活。

    伊壁鸠鲁接受了德谟克利特的原子论,从这个角度看,他的确是 一位唯物论者。但是他并没有采纳原子运动严格受法则支配的观点。 前面说过,法则概念最初是从社会领域派生出来的,只是到了后来才 应用于物理领域的各类事件。同样,宗教是一种社会现象,这两种思 路似乎在必然性概念中有所联系。神才是最终的法则制定者。既然伊 壁鸠鲁抛弃了宗教,他自然也就不会再去考虑严格的必然性法则。因此,伊壁鸠鲁允许原子有在一定程度上变化的独立性,尽管德谟克利 特说过,一旦某一过程处在进行之中,它的下一过程就会遵循法则。

    而灵魂只是一种特殊的物质,其粒子与构成肉体的原子融为一 体。他把感知解释为物体发出的放射物与灵魂原子相撞的结果,当死 亡意外发生时,灵魂原子就会与肉体分离,并且消散;虽然这些原子 依然存在,但已无法产生感知,伊壁鸠鲁用这种方式论证了对死亡的 恐惧是荒谬的,因为死亡本身并不是我们能够体验的东西。尽管伊壁 鸠鲁坚决反对宗教,但他承认诸神的存在,但是,我们不会由于诸神 的存在而变得更好,或者变得更坏。神本身只是伊壁鸠鲁主义的超级 执行者,他们对人类事务并无兴趣。

    神既不会奖赏谁,也不会惩罚谁。总之,我们应该沿着一条谨 慎、中庸的道路前进,我们的目标就是要达到一种没有混乱的安宁状 态,这就是最大的快乐,因而也是最高形式的善。伊壁鸠鲁主义和其 他学派的不同在于,它并没有发展出一种科学的传统。他的自由思考 以及反对迷信传统的态度,继续受到了早期罗马帝国上层社会中少数 杰出人物的推崇,尽管在伦理方面,它已逐渐为斯多葛主义所取代。

    伊壁鸠鲁传统中的另一位著名人物是罗马诗人卢克莱修(公元前 99年至公元前55年)。他在一首叫做《关于宇宙》的著名诗篇里,讲 述了伊壁鸠鲁的学说。

    盛极一时的斯多葛主义是希腊化时代最有影响的哲学运动。同一 些伟大的雅典学派相比,它的成员并不严格地局限于宗主国希腊的国 土,其中一些著名的代表人物来自东方,后来还有一些来自罗马的西 部。该运动的创始人是一个腓尼基的塞浦路斯人,名叫芝诺。我们不 知道他的具体出生年代,但应该是在公元前4世纪的后半叶。由于家族 的商业活动,这位年轻人首次来到了雅典,并在那里对哲学产生了兴 趣。他放弃了经商,最终建立起了一所自己的学校。他常常在意为 “彩绘有顶柱廊”的斯多亚·波依基尔里讲学,因此该学说就随该建 筑被人称为斯多葛主义。

    斯多葛哲学延续了将近五个世纪之久。在这期间,它的学说经历 了很大的变化,但这一运动却因它始终如一的伦理学说而得以维系下 来。斯多葛主义的伦理学说起源于苏格拉底的生活方式。淡泊名利, 勇于面对危险和困难,这些都是斯多葛学派十分重视的德行。正因为 该派如此重视忍耐与超脱,“斯多葛”一词才具有了现代含义。

    斯多葛主义作为一种伦理理论,与古典时代的理论相比,多少显 得有些平淡和严肃。但是作为一种学说,它却比亚里士多德和柏拉图 的学说更为成功地赢得了人们广泛的信奉。这也许是因为柏拉图所强 调的“知识是最高的善”,不容易为从事实际活动的人们所接受。但 是不管怎样,似乎正是斯多葛主义俘获了希腊化时代的君主和统治者 的头脑。苏格拉底曾经有过一个理想,就是哲学家应该成为君主,君 主也必须成为哲学家。值得怀疑的是,斯多葛主义能否实现这个理 想。

    早期斯多葛学派的作品除了一些残缺不全的篇章,几乎没有任何 材料留存下来,尽管根据现存的材料仍有可能拼凑出该学说的概貌 来。芝诺本人似乎把主要精力放在了伦理学上。斯多葛哲学始终最有 兴趣的主题之一就是宿命论和自由意志,这个哲学问题至今仍吸引着 哲学家们的注意。

    芝诺认为自然界严格受到法则的支配。他的宇宙论似乎主要是受 了前苏格拉底观点的影响。他和赫拉克利特一样,也把火视为初始物 质,经过一定的时间之后,再从火中分离出别的元素,这似乎在一定 程度上效仿了阿那克萨哥拉的理论。最后燃起了熊熊烈火,万物又回 归到原始的火,一切重新开始,就像恩培多克勒的循环论所说的那 样。世界运行所遵循的法则来自某个至高无上的权威,他控制着所有 的历史细节。万物都在按预先规定的方式发生,以便达到某种目的。 芝诺认为最高的或者说神的动力并非存在于世界之外,而是像潮气渗 透沙子一样,充斥着整个世界。因此,神是一种存在于宇宙万物之内 的力量,其中一部分就在每个人的体内。这种观点在现代变得如此著 名,是由于斯宾诺莎的哲学著作,而斯宾诺莎正是受了斯多葛传统的 影响。

    德行是最大的善,它体现在生活与世界的一致性中。但我们不能 以“一切存在的事物都是这样与世界相一致的”作为理由,把它理解 为仅仅是一种同义的重复。因为它通过与自然的交融而不是对立的方 式,来指引一个人的意志。应该轻视世俗的财富。暴君可以剥夺一个 人的外部财富,甚至是生命,但却无法剥夺他的德行。德行是一种内 在的\不可分割的占有。因此我们得出以下结论:如果放弃了对外部 财富的错误需求,一个人就会拥有纯粹的自由,由于外部力量无法触 及他的德行,因而德行是惟一重要的东西。

    其中某些见解作为高贵生活的格言,也许值得人们赞赏,但作为 一种伦理理论,芝诺的学说则存在着严重缺陷。因为,假如世界受法 则的控制,那么宣扬德行的至高无上就没有什么意义。那些有德行的 人之所以有德,是因为受法则支配,不得已而为之,邪恶的人同样如 此。另外,我们该怎样来理解预先规定了善恶的神呢?柏拉图在《理 想国》中给了我们一点暗示,即神只是世间善的创造者,在这里几乎 是没有什么用。

    斯宾诺莎和莱布尼茨都要面对类似的反对意见,因为他们试图通 过主张“人的心灵无法从总体上把握事物的必然性”来回避困难。但 同时他们又提出,在现实中,万物都会处在可能世界的最佳状态中, 得到十分恰当的安排。然而除了一些逻辑问题之外,这一理论似乎还 明显存在着实际错误。更糟糕的是,从总体上看,磨难无助于增加德 行或使灵魂变得更崇高。另外,我们这个进步时代的一个令人伤心的 发现就是,只要有足够的技能,就可能击败任何一个人,无论他的力 量有多么强大。

    斯多葛主义真正切中要点的是,它承认在某种意义上,德行内在 的善比别的东西更重要,物质的丧失总能在一定程度上得到补偿,但 一个人如果失去了自尊,他就不再是一个真正的人。

    据说斯多葛主义的第一次系统阐述要追溯到克吕西普(公元前280 年至公元前207年),虽然他没有作品留存下来。斯多葛学派正是在这 一时期,对逻辑和语言产生了更强烈的兴趣。他们详尽地阐述了假言 三段论和选言三段论的原理,并发现了一种重要的逻辑关系,即现代 术语所称的“实质性内涵”。这是一真一假两个命题之间的关系。以 这个陈述为例: “如果气压降低,就会下雨。”“气压降低”与“下 雨”之间的关系就是一种实质性内涵关系。同样,斯多葛学派还发明 了语法术语,语法在他们那里变成了一个系统的探索领域。语法中格 的名称也是斯多葛学派的一项发明。其拉丁文译名至今还在使用,其 中 包 含 由 罗 马 语 法 学 家 传 下 来 的 一 个 希 腊 术 语 的 误 译 “accusative(宾格/对格)”。

    西塞罗的文学活动使斯多葛学说在罗马找到了立足之地,西塞罗 曾师从斯多葛哲学家伯希东尼。这位来自叙利亚的希腊人游历丰富, 在许多领域都有所建树。在前面,我们曾提到过他的天文学研究。作 为一位历史学家,他延续了波里比乌斯的工作。他的哲学立场中含有 不少古老的阿卡德米传统,如前所述,当时的阿卡德米本身已经受到 了怀疑论的影响。

    虽然从哲学角度看,斯多葛主义后期的代表人物不如早期的那么 重要,但其中三位的作品却非常完整地保存了下来,后人对他们的生 平也十分清楚。他们的社会地位相差悬殊,但他们的哲学观点却几乎 一样。其中,塞涅卡是罗马元老院议员,祖籍西班牙;爱比克泰德原 本是希腊奴隶,后来在尼禄王手下获得了自由;马尔库斯·奥勒留是 二世纪时的皇帝。三个人都十分相似地写出了斯多葛风格的伦理学文 章。

    塞涅卡大约出生于公元前3年,来自一个迁居罗马的富有的西班牙 家庭。他进入了政界,并在某个时期担任了行政职位。他的命运后来 出现了暂时的坎坷,后来皇帝克劳地乌斯同意了皇后梅萨林娜的请 求,于公元41年放逐了他。这位元老院议员在批评皇后生活方式不检 点时,似乎有点过于放肆。几年之后,皇后意外地暴死。克劳地乌斯 的继任皇后阿格丽皮娜生了尼禄。公元48年,塞涅卡从落难地科西嘉 被召回了宫廷,担任了太子尼禄的老师。不过这位罗马王子却不是斯 多葛派哲学家理想的学生,而塞涅卡本人的生活方式也和那些斯多葛 伦理学宣讲者所期望的截然不同。尼禄积敛了大量财富,其中大部分 是通过向不列颠居民放高利贷获得的。这可能就是导致不列颠省叛乱 的原因之一。所幸的是,现在仅靠高利率已经无法激起不列颠人民革 命的思想火焰了。由于尼禄变得日益独断和疯狂,塞涅卡又一次失 宠,最终被恩赐自尽,否则就要被处死。于是他以时兴的方式割断了 静脉。尽管总的说来,他的生活与斯多葛主义并不相符,但他对死亡 的态度却真实地体现了他的哲学。

    爱比克泰德是一位希腊人,大约出生于公元60年。正是他的名字 提醒了我们,他曾经是一个奴隶,因为“爱比克泰德”含有“被俘获 者”的意思。由于他在早年奴役生活中所遭受的虐待,他的一条腿瘸 了,而且健康状况很差。获得自由之后,他就在罗马讲学,直到公元 90年,多米提安把他和其他斯多葛派学者驱逐出境,因为他们批判了 皇帝的残暴统治,并且形成了一股反对王权的道德力量。他的晚年是 在希腊西北部的尼古波里度过的,大约去世于公元100年。他的一些论 述被他的学生阿里安保存了下来。我们在其中发现了前文解释过的斯 多葛伦理观点。

    爱比克泰德生来就是奴隶,而斯多葛派最后一位伟大作家马尔库 斯·奥勒留(公元121年~180年)却生来就是皇帝。他由叔父安东尼 奴斯·庇乌斯抚养长大。正如其称号所暗示的那佯,庇乌斯是罗马皇 帝中比较开明的一位。马尔库斯·奥勒留于公元161年继承了皇位,并 且穷其一生为帝国效劳。由于那时天灾和战乱层出不穷,作为皇帝的 他一直忙于对付那些野蛮部落,他们侵扰帝国的边境,并且开始威胁 到罗马的霸权。虽然肩负政务的重担,但他认为这是他的职责。国家 面临着内忧外患,他采取了一些似乎有助于维护秩序的措施。他迫害 基督徒并不是出于恶意,而是由于他们对国教的反对成了异议和麻烦 的根源。在这一点上,他也许是对的,尽管迫害同时也说明了迫害者 的内心的虚弱,因为一个根基牢固而又充满自信的社会是不用去迫害 异端的。像爱比克泰德的论述一样,马尔库斯·奥勒留用希腊文写的 《沉思录》也完整地传到了我们手上,这些都是在军务、政务的繁忙 中抽空记录下来的哲学反省日记,值得注意的是,尽管马尔库斯·奥 勒留赞同一般斯多葛主义“善”的理论,但他却坚持恪尽公职的态 度,这一点与柏拉图更为一致。人是一种社会动物,我们必须在政治 事务中发挥自己的作用,这就使得有关自由意志和宿命论(前文已提 及)的伦理方面的难题更加突出。因为我们已经知道,按照一般斯多 葛派的观点,一个人的德行或邪恶只是个人的问题,是不会影响到他 人的。但是按照人的社会观,每个人的伦理品质都会对任何其他的人 产生极其明显的影响。如果皇帝马尔库斯·奥勒留对自己的职责采取 宽松的态度,发生争端的可能性无疑就会比已有的多得多。斯多葛主 义从来没有对这一难题做出过令人满意的解答。

    从柏拉图和亚里士多德时代遗留下来的一个问题是基本原理的问 题。斯多葛学派提出了天生理念论:演绎过程从清晰的、无需证明的 起点开始,这一观点左右了中世纪的哲学界,也为一些现代理性论者 所采纳。它是笛卡尔方法的形而上学基础。在人的概念方面,斯多葛 学说要比古典时代的理论宽大得多。我们回顾一下就会发现,亚里士 多德在这一点上曾经走得有多远,他竟然认为希腊人不应该做同胞的 奴隶。而斯多葛主义却跟从了亚历山大的实践,他们主张在某种意义 上,所有的人都是平等的,即使在奴隶制规模更大的帝国时代也应该 如此。顺着这一思路,斯多葛派提出了自然法则与国家法律的区别。 这里面提到的天赋权利意味着一个人因为其人性而有权获得的某种东 西。天赋权利的学说对罗马立法产生了一些好的影响。对于那些被剥 夺了一切社会权利的人来说,它能起到安抚的作用。在文艺复兴后期 反对君权神授的斗争中,它又以相似的原因得以复兴。

    尽管希腊本身曾是世界的“智慧作坊”,但它却无法作为一个独 立自由的国家生存下来。而另一方面,希腊的文化传统又得到了广泛 的传播,无论如何也给西方文明留下了一个永久性的标志。中东地区 由于亚历山大的努力而被希腊化;在西方,罗马成了希腊遗产的传播 者。

    起初,希腊和罗马之间的联系是通过意大利南部的希腊殖民地开 始的。在政治上,亚历山大的扩张运动并没有波及希腊西部的国家。 在希腊化时代初期,该地区存在着两支重要的力量,即锡腊库札和迦 太基,但它们都在公元前3世纪的前两次布匿战争之后被罗马征服,西 班牙也在战争中被吞并。公元前2世纪,希腊和马其顿也被征服。第三 次布匿战争以公元146年迦太基城被彻底摧毁而告终。同年,科林斯在 罗马军团的践踏下也得到了相似的结局。这种肆意、残忍的破坏行动 是十分罕见的,不仅在当时受到了谴责,后世也对此大加批判。在这 一点上,我们现在这个时代倒是迅速回到了野蛮状态。

    公元前1世纪,罗马又先后吞并了小亚细亚、叙利亚、埃及和高 卢,而不列颠则陷落于公元1世纪。这些连续不断的征讨并不是单纯的 渴望冒险所至,而是为了寻求一条自然的边界,以便不费力地坚守并 抵御外来敌对部族的侵犯。在帝国早期,这一目标就已经实现了:罗 马的疆域北以莱茵河和多瑙河这两条大河为界;东以幼发拉底河和阿 拉伯大沙漠为界;南以撒哈拉,西以大西洋为界。在这样的地理环境 中,公元1世纪和2世纪的罗马帝国处于相对和平和稳定的状态。

    从政治角度看,罗马最初作为一个城邦在很多方面与希腊相似。 伊特刺斯康王朝传说的统治时期之后,是由控制着元老院的一个贵族 统治阶级主宰的共和国。随着国家规模和重要性的增大,趋向于更民 主的政体变革便不可避免地出现了。尽管元老院仍然保留着大量的权 力,但代表着平民大会的保民官逐渐对国事有了发言权。非贵族出身 的人也有了担任执政官的可能性。但是扩张的结果,却使统治阶层家 族获得了巨额的财富,地主们占有大片的土地,他们使用奴隶来耕 种,并赶走了小农经济阶层。元老院因此掌握了最高权力。公元前2世 纪末,由格拉古领导的一场平民民主运动失败后,接连不断的内战却 逐渐导致了帝王统治的建立。尤里乌斯·凯撒的养子屋大维最终恢复 了秩序,并获得了“奥古斯都”的头衔,作为皇帝来统治国家,尽管 民主制度还在名义上保留着。

    公元41年,奥古斯都去世。在接下来大约200年间,罗马帝国总的 说来还算太平。当然,内部纷争和困扰还存在着,但都未成大气,不 足以毁掉帝国统治的基石。虽然边境仍有战事,但罗马人还是过着宁 静有序的生活。

    后来,军队自身也开始经常利用其权力收取金钱,作为回报,它 向皇帝提供支持。皇帝们就是依靠这样的军事后盾登上宝座的,同 样,一旦这种支持被撤回,他们就得下台。戴克里先(公元286~公元 305年)和君士坦丁(公元312~公元337年)通过努力曾一度避开了灾 难的发生,但他们采取的某些应急措施却不能从根本上解决问题,反 而加速了帝国的衰落。大量的日耳曼雇佣军在为帝国作战,结果证明 这正是帝国覆灭的原因之一。野蛮部落的首领们通过在罗马军团效 力,接受了战术训练。后来,他们逐渐意识到自己所学的新技能如果 不是为罗马主子效劳,而是为自身利益服务,也许能够获得更多的好 处。仅仅一百年之后,罗马城就落入哥特人之手。不过昔日的一些文 化遗产却通过基督教的影响保存了下来,基督教在君士坦丁统治时期 被升为国教。一旦入侵者改信了基督教,那么教会就能在某种程度上 保留希腊文明的知识。而东罗马帝国却遭到了完全不同的厄运。在那 里,穆斯林入侵者把自己的宗教强加给了帝国,并以他们自己的文化 把希腊传统传到了西方。

    在文化上,罗马几乎完全是派生出来的。无论是艺术、建筑,还 是文学、哲学,罗马世界都多少模仿了来自希腊的杰出范例。不过有 一个方面罗马人是成功的,而希腊人,乃至亚历山大则都是失败的, 这就是大规模的政府、法律和行政制度,因此,罗马还是在某些地方 影响了希腊的思想。我们在谈到政治问题时已经看到,古典时代的希 腊无法超越城邦理想,而罗马的视野却要开阔得多,历史学家波利比 乌斯对此印象很深。他大约出生于公元前200年的希腊,后来成了罗马 入侵者的俘虏。他和斯多葛学派的潘尼提乌一样,属于一个以小西庇 阿为核心的文人圈子。除了一点政治影响外,罗马未能产生任何可以 启发希腊思想家的新观念。希腊作为一个国家虽然被摧毁了,但却在 文化领域击败了罗马征服者。因为有教养的罗马人都讲希腊语,就像 直到最近,有教养的欧洲人还讲法语一样。雅典的阿卡德米对罗马的 贵族子弟很有吸引力,西塞罗就曾经是该校的学生。每一个领域都采 用了希腊标准。罗马在许多方面都只是在苍白地复制希腊原作,尤其 是罗马哲学更是缺乏有独创性的思想。

    希腊传统不虔诚和喜欢探询的特点,随着希腊化时代的衰落,多 少削弱了古罗马的长处,尤其是海外扩张使得大量财富流入这个国家 的时候。而真正的希腊影响却在力量上减弱了,它逐渐集中在极少数 人,尤其是罗马城的贵族身上。另一方面,希腊化文化中的非希腊因 素却随着时间的流逝变得强大起来。前面说过,东方提供了一种神秘 主义因素,但总的来说,它并没有在希腊文明中占据主导地位。来自 美索不达米亚和更远地方的宗教影响,通过这种方式渗入了西方,并 产生了广泛的信仰调合因素,基督教正是由于这个原因,最终得以提 升到国教的地位。同时,神秘主义倾向鼓励了各种迷信和惯例的扩 散。当人们对现世的命运不满意,对自身的能力缺乏自信的时候,荒 唐、非理性的势力便乘虚而入了。的确,罗马帝国享受了两个世纪的 太平,但“罗马帝国统治下的和平”时代并不适合作建设性的智力尝 试。如果说它还有哲学的话,只是斯多葛派风格的延续。只有在政治 上,罗马才比古典思想家们狭隘的地方观念领先了一步,因为斯多葛 主义提倡的是人与人之间的兄弟关系。在罗马统治已知世界的数百年 里,这个斯多葛派的概念确实具有了实质上的意义。

    罗马帝国和希腊城邦一样,通过自己的方式保持着对境外世界的 优越感和恩赐姿态。尽管它与远东有一些联系,但却不足以使罗马公 民注意到以下事实:世界上还存在着其他伟大文明,而这些文明是不 能被简单地看做野蛮而不予考虑的。尽管罗马具有更宽广的视野,但 它还是被傲慢支配着,犹如它的文化祖先希腊。这种傲慢甚至也为教 会所继承,它们自称“天主教的”或“广泛的”(英文catholic同时 具有这两种含义),尽管在东方还有一些其他伟大宗教,其伦理观至 少与基督教一样先进,人们仍然做着世界政府和文明之梦。

    罗马最重要的作用,就是继承了一种比自身文化更悠久、更优越 的文化。能够做到这一点,是因为罗马管理者的组织天才和帝国的社 会凝聚力。遍布罗马全境的巨大道路网络遗迹使我们想起它伟大的组 织工作,尽管存在着民族差异并在后期出现了封建统治,但罗马的扩 张还是保证了欧洲的大部分能够作为一个文化单位继续发挥较大的作 用。即便是野蛮部落的入侵,也无法把这一文化基础摧毁到不可修复 的地步。而在东方,罗马的影响就不那么持久了。其原因就在于阿拉 伯穆斯林征服者强大的生命力。在西方,入侵者会慢慢被一种归功于 罗马的传统所同化;而中东则几乎全部改信了征服者的宗教。西方把 自身获得的大量希腊知识归功于阿拉伯人,这些知识被穆斯林思想家 通过西班牙传到了欧洲。

    在被罗马统治达三个世纪的不列颠,盎格鲁-萨克逊的入侵似乎导 致了与罗马传统的彻底决裂。伟大的罗马法律传统虽然在其统治下的 西欧各地都得以保存下来,但在不列颠却站不住脚。英国的习惯法至 今仍是盎格鲁-萨克逊的。在哲学方面,有一个值得注意的有趣结果: 中世纪的经院哲学与法律密切相关,而哲学上的诡辩术却与古罗马严 格而形式化的运用相似。在英国,盎格鲁-萨克逊的法律传统是有效 的,即便是在经院哲学的全盛时期,哲学的绝大多数方面也还是更具 经验主义的特征。

    罗马帝国统治下的宗教领域出现了妥协趋势,哲学中也出现了相 似的发展。从广义上说,斯多葛主义是帝国初期的哲学主流,而更令 人振奋的柏拉图与亚里士多德学说却有些受排挤。但是到了公元3世 纪,出现了一种根据斯多葛学说对旧伦理学所作的新解释,这与当时 的普遍状况是完全协调的。这种不同理论的混合物渐渐被称为新柏拉 图主义,它将会对基督教神学产生巨大影响。从某种意义上说,新柏 拉图主义是联结古代与中世纪的桥梁。古代哲学就是在这里画上了句 号,而中世纪思想则从这里开始了。

    新柏拉图主义最早兴起于亚历山大,该城是东西方的交汇点。在 这里可以看到来自波斯和巴比伦的宗教影响、埃及仪式的残余、一个 信仰自己宗教的强大的犹太社会,还有基督教各派别,这一切构成了 一个希腊化文化的总体背景。

    据说新柏拉图学派是阿摩尼阿斯·萨卡斯创立的,我们对他的生 平了解不多。他的学生普罗提诺(公元204~公元270年)是最杰出的 新柏拉图主义哲学家。普罗提诺出生于埃及,后来在亚历山大求学和 居住,一直到公元243年才离开。

    由于对东方宗教和神秘主义感兴趣,普罗提诺跟随高尔狄安三世 出征波斯。但他的这一事业并未成功。由于年轻的皇帝缺乏经验,不 知为什么引起了将领们的不满。在当时,这种冲突是以速决方式了结 的,年轻的皇帝最终死在了自己本来应该能控制的部下手里。普罗提 诺于公元244年从谋杀之地美索不达米亚逃到罗马住了下来,并在那里 任教直至去世,他的著作是由学生蒲尔斐利根据他晚年的授课笔记编 纂而成的。蒲尔斐利多少受了些毕达哥拉斯学派的影响,因此,流传 至今的普罗提诺作品带有一定的神秘主义色彩,这也许得算编纂者蒲 尔斐利的过失。普罗提诺留存至今的著作一共有九册,因此被称为 《九章集》,其总体趋向和观点是柏拉图式的,尽管缺乏柏拉图作品 的广度和文采,内容几乎全部是理念论和毕达哥拉斯的某些神话。普 罗提诺的作品与现实世界有一定的疏离,但如果我们想一想帝国的状 况,就知道这并不奇怪了。面对当时的混乱局面,即使是一个盲人, 也需要有极度的坚毅才能保持坦率、愉悦的心境。理念论把感知世界 及其苦难看做不真实的东西,这正好可以使人安于现状,听由命运的 摆布。

    在形而上学方面,普罗提诺的中心学说是“三位一体”理论, “三位”按其优先程度和依存关系,分别是“太一”、“奴斯”和 “灵魂”,在我们深入探讨这一理论之前,首先要注意的是,尽管它 对神学产生了影响,但它本身却不属于基督教,而属于新柏拉图主 义。普罗提诺的同学奥里根是一个基督教徒,他也提出了一种“三位 一体”理论,即把三个部分放在不同的层次上。这一理论后来被视为 异端,遭到了责难。普罗提诺不是基督徒,所有没有遭到谴责。也许 正是由于这个原因,他的影响一直到君士坦丁统治时期都比奥里根大 一些。

    普罗提诺“三位一体”理论中的“太一”与巴门尼德的球体很相 似,对此,我们最多只能说“它存在”。用别的任何方式来描述它, 都将意味着可能还有其他更大的东西。普罗提诺有时把它称为 “神”,有时又称它为“善”,就像《理想国》中的处理方式一样。 但它比“存在”要大,它无所不在而又不被任何事物所包含,不可言 喻而又渗透一切。关于“太一”,我们与其说什么,不如保持沉默; 在这里,我们清楚地看到了神秘主义的影响。因为神秘主义者也是躲 在沉默与不可言传的壁垒后面逃避困难的。说到底,希腊哲学的伟大 之处就在于发现了逻各斯的中心作用。尽管希腊思想也有一些神秘因 素,但本质上还是与神秘主义相对立的。

    普罗提诺称“三位”中的第二个因素为“奴斯”。要对这个词做 出适当的翻译似乎不大可能。它的意思有点像“精神”一类的东西, 但又不是神秘的,而是具有理智方面的意义。“奴斯”与“太一”的 关系可以通过类比得到最好的解释。“太一”就像是自身发光的太 阳,“奴斯”则是“太一”由此见到自身的这种光。在某种意义上, “奴斯”可以比作自我意识。在远离感官的方向上,我通过运用自己 的心灵,就能够认识到“奴斯”,并且通过它认识到“太一”,因为 “奴斯”就是“太一”的映像。由此,我们发现它近似于《理想国》 中的辩证法概念,后者也宣称有一个通往显示“善的形式”的过程。

    “三位”中的第三个,也是最后一个因素,被称为灵魂。灵魂在 本质上具有双重性的。在其内部,它可以上通“奴斯”;而在其外 部,则下达感官世界,它是感官世界的造物主。斯多葛学派把神与世 界等同起来,而普罗提诺的不同在于,其理论否定了泛神论,并且回 到了苏格拉底的观点上去。尽管它把自然看做是灵魂的向下发散,但 并不像灵知学那样将它视为邪恶。相反,普罗提诺的神秘主义很轻松 地承认:自然是善和美的。但这种宽容的观点并没有为后来的神秘主 义者、传教士甚至哲学家们所接受。在他们“修来世”的观念中,美 与快乐被当做下流与邪恶遭到了诅咒。当然,如此可怕的学说,除了 精神错乱的狂热分子,恐怕再也不会有人去真正地实践它了。然而这 种颠倒的、对丑陋的崇拜确实曾主宰了很多个世纪。基督教至今还正 式保持着“快乐是有罪的”这一古怪的思想。

    关于灵魂不朽的问题,普罗提诺吸纳了《菲多篇》中提出的观 点,即认为人的灵魂是一种实体,由于实体是永恒的,所以灵魂也是 永恒的。这与苏格拉底的解释有些类似,苏格拉底认为灵魂与形式结 合在一起。但是,普罗提诺的理论里也有一定的亚里士多德因素。虽 然灵魂是永恒的,但它却有与奴斯合为一体的倾向,因此它丧失了自 己的个性,尽管它还保留着自身。

    现在,我们对古代哲学的考察即将结束。在考察过程中,我们从 泰勒斯时代到普罗提诺时代,跨越了大约9个世纪。虽然我们以此为 界,但这并不表明后来的思想家就不应被考虑纳入古代传统。在某种 意义上,对所有的哲学都是如此。不过,要在文化传统的发展中找出 某些主要的停顿阶段还是可能的,普罗提诺就做到了这一点。自他以 后,不管怎么说,哲学在西方都是处在教会的庇护之下,即便有鲍依 修斯这样的例外,情况也还是如此。同时,我们还应该记住,罗马帝 国覆灭的时候,在它的东部,无论是早先在拜占廷,还是后来在穆斯 林的统治之下,哲学传统都得到了延续,而并没有受到宗教的束缚。

    当我们回顾古代世界的哲学奋斗历史时,可以强烈地感受到希腊 心灵在洞察普遍性问题时的非凡力量。柏拉图曾说过,哲学源于迷 惑,而早期的希腊人就拥有了这种令人赞叹的能力,并使之达到了非 凡的高度。探索的一般性概念是希腊的伟大发明之一,它塑造了西方 世界。诚然,比较不同的文化总是让人反感的,但是如果我们要用一 句话来描述西方文明的特征的话,那么我们完全可以说,它建立在以 希腊精神为主要事业的伦理之上。希腊哲学的另一个主要特征,是它 基本上以透明性为目的。它的种种真理,犹如真理本身一样,并不宣 称某种不可言传的预感,而是从一开始就极为重视语言和交流。当 然,它也有某些很早以前传下来的神秘因素,毕达哥拉斯学派的神秘 倾向就贯穿了古代哲学始终。但从某个角度看,这种神秘主义实际上 并没有干扰探索本身,而是更趋向于影响探索者的伦理观。只有衰败 开始出现时,神秘主义才充当了更重要的角色。正如我们在讨论普罗 提诺时说过的那样,神秘主义与希腊哲学的精神是对立的。

    与现代人相比,古代的思想家面临着更为严峻的问题,其中最主 要的一个问题就出现在下述事实中:我们今天可以从过去的传统中寻 求帮助,但对于早期的希腊哲学家来说,这种支持是不存在的。我们 从古典的原始资料中吸收了大量的哲学、科学和技术的词汇,而且经 常是囫囵咽下。而对于希腊探索者来说,一切都得从头开始。他们只 能从日常语言提供的材料中创造新的说法、发明专用词汇,因此,有 时候他们的表达方式在我们看来似乎有些笨拙,但我们必须知道,他 们往往是在黑暗中摸索新的表达方式,因为当时必要的工具仍在形成 之中。这就需要我们设身处地去想一想那种情况,就像我们离开了希 腊语和拉丁文,要用盎格鲁-萨克逊语来从事哲学和科学工作一样。

    以回归早期文化根源为基础的文艺复兴和现代科学出现之前,有 将近12个世纪的抑制期。这种抑制期为什么会出现呢?也许这是一个 没有答案的问题,任何解答的尝试都将过于简单。但有一点却毋庸置 疑,那就是希腊和罗马的思想家都未能成功地拿出一套完善的政治理 论。

    如果希腊人的失败是因为高智力带来的某种傲慢的话,那么罗马 的失败则完全是因为想像力的缺乏。这种心灵的迟钝并不仅仅表现在 帝国时代的巨大建筑上,而是在各个方面。希腊与罗马之间精神上的 差异,完全可以用希腊神庙和晚期罗马的长方形大会堂来象征。希腊 的智慧遗产到了罗马人的手中,多少变得不那么精致典雅了。

    希腊哲学传统实际上是一种启蒙运动和解放运动,因为它的目的 在于使心灵摆脱愚昧的束缚。它认为世界是可以理喻的,从而消除了 人们对未知事物的恐惧。它以逻各斯为工具,为的是在“善”的形式 下追求知识。不偏不倚和超然的探索本身被视为伦理上的善,人们通 过它,而不是宗教的神秘,来达到善的生活。伴随着这种探索传统, 我们还看到了某种不带虚伪情感的令人振奋的观点。苏格拉底认为,未经审验的生活是不值得过的,而亚里士多德则认为,重要的不是活得久,而是活得好。诚然,这种观点的一部分在希腊化时代和罗马时 代消失了,那时候,似乎更重视自省的斯多葛主义已经打下了根基。 不过,西方文明的思想框架中的一切精粹部分,还是要从希腊思想家 的传统中寻找。

    第五章 早期基督教

    和今天一样,从希腊时代到罗马时代的哲学,其主体还是独立于宗教的。当然,哲学家也可以提出让关注宗教事务的人同样感兴趣的 问题,但那时候的宗教团体无法影响也无权控制思想家。从罗马覆灭 到中世纪结束的这段时间里,下述方面既不同于罗马之前,也不同于 中世纪之后:西方的哲学成了一种在教会的庇护和指导下繁荣的活动,形成这种局面的原因是很多的。

    在西罗马帝国覆亡时,罗马的“神皇合一”机制已经分裂为两股 势力。由于基督教被君士坦丁定为国教,因此教会接管了所有涉及神 与宗教的事务,而皇帝则负责处理世俗事务。直到宗教改革坚持信教 属于个人行为从而否定了教会的主张之前,教会的权威在原则上都是 不容置疑的,尽管它变得日益衰落。从此以后,教会就成了新兴民族 国家的统治工具。

    世俗的、非宗教的学术传统,在古老帝国的中部还苟延残喘了一 段时间,而北方的原始部族则没有任何学术传统可依赖。因此,读书识字几乎渐渐成了教会人士或教士们的专利。过去的传统的幸存部分都被教会保留了下来,而哲学变成了一种为基督教及其卫道士们提供 辩护的学问,只要它的教义大体上能被人接受,教会就能获得并保持 其权势。但也有一些别的传统在争取最高统治权,其中包括古老的罗马传统,教会正是由于它的衰落才首次得势。另外还有新日耳曼传 统,取代古老帝国政治组织的封建贵族就是从这一传统中产生的。不 过这些传统都没有一种适当的社会哲学作其代表,其中一个原因就是 它们无法有效地挑战教会势力,但这不是惟一的原因。

    罗马传统从起 于14世纪的意大利文艺复兴中逐渐再次得到坚持,而日耳曼传统则以 16世纪的宗教改革为契机取得了突破。但是在中世纪,哲学还是与教 会紧密结合在一起的。 随着“神皇合一”机制被两大势力取代(一个是代表上帝的教 皇,一个是皇帝),其他几种潜在的二元现象也出现了。首先是拉丁 与条顿二元性的客观存在。教会势力仍旧是拉丁族的,而帝国却落到 了野蛮的条顿族入侵者的后裔手中。一直到被拿破仑征服之前,它都 被称为日耳曼的神圣罗马帝国。其次,人也被划分成教士和俗人两 类。教士是正统教义的卫护者,由于教会成功地经受住了各种异端影 响的考验,教士的地位在西方大大提高了。早期的一些信基督教的皇 帝曾经同情阿利乌斯教派,但最终还是正统派占了上风。此外,还出 现了天国与世俗诸国的比较。这种比较的根源可以在《福音书》里看 到,但它在罗马帝国覆灭之后才获得了更为直接的重要意义。虽然野 蛮部族能够摧毁城市,但神的城市却是无法摧毁的。最后是精神与肉 体的二元对立。这种对立更为古老,其根源可追溯到苏格拉底的“肉 体与灵魂”理论。这些概念以新柏拉图主义的形式变成了保罗派新教 的核心,而且启发了其中的早期基督教苦行(禁欲)主义。 天主教哲学在世界范围的发展情形是这样的:它的第一次成熟是 靠圣·奥古斯丁的努力,此人主要受了柏拉图的影响;而圣·托马斯 ·阿奎那则使它达到了巅峰,托马斯将教会建立在亚里士多德理论的 基础上,教会的主要辩护者们至今还在为这一基础辩护。由于这种哲 学与教会的联系是如此紧密,所以要想说明它的发展及对后世的影 响,就需要进行大量的历史考察。但是,如果我们想了解那个时代的 精神及其哲学,那么还是有必要对这些事件作一些说明。 逐渐主宰了西方的基督教,本来是犹太教的一个分支,而那时的 犹太教又是希腊与东方思想的混合物。基督教和犹太教都认为上帝有 自己的宠儿,尽管两者的选择对象不同。它们坚持同样的历史观,认 为历史开始于神的创造,并将走向神的某种结局。但两者的确存在着 一些分歧,如弥赛亚(救世主)是谁?他想实现什么?在犹太教看 来,救世主仍将到来,并赐予他们尘世的胜利;而基督教徒却认为救 世主就是拿撒勒的耶稣,他的天国不在我们这个世界。基督教接受了 犹太教的正义概念,并将其作为帮助同胞和笃信某种教条的指导思 想。从本质上说,后来的犹太教与基督教都赞同新柏拉图主义的“彼 岸(另一个世界)”概念。不过,希腊理论是哲学理论,不容易为每 个人所理解;而犹太教与基督教的观点更注重对来世的解释,正义者 将升入天堂,而邪恶者将下地狱受煎熬。其“来世报应”的说法,使 这一理论广为人知。 ◎ 闪米特的神祇,巴比伦崇拜的神。

    要想了解这些信仰是如何发展的,我们就必须记住:耶和华(犹 太教的上帝)最初是闪米特族的主神,他保护自己的人民。除了耶和 华,还有别的神主宰着其他部族。在那个时候,还没有出现过任何关 于“彼岸”的暗示。以色列的主神掌握着其部族的世俗命运。他是一 位爱妒嫉的神,不能容忍他的子民同时信奉别的神灵。古代的先知都 是一些政治领袖,他们要花费大量的时间来制止人们崇拜其他诸神, 因为他们怕招致耶和华的不快,担心威胁到犹太人的社会凝聚力。犹 太教的这种部族特征,通过一系列的民族灾难得到了加强。 公元前722年,亚述人攻陷了北方的以色列王国,并将绝大多数居 民驱逐出境。公元前606年,巴比伦人攻占了尼尼微,并摧毁了亚述帝 国。巴比伦国王尼布甲尼撒征服了南方的犹太王国,并于公元前586年 占领了耶路撒冷,烧毁了神殿,将大量的犹太人流放到巴比伦。一直 到公元前538年,波斯国王居鲁士攻陷巴比伦之后,犹太人才获准回到 巴勒斯坦。正是在被流放巴比伦期间,犹太教的教义和民族特性得到 了加强。由于神殿被毁,犹太人只好免掉了祭奠仪式。大量留传至今 的犹太教口头传说,都要追溯到这个时期。 犹太人散居各地也就是从这一时期开始的,因为并不是所有的人 都回到了故土。那些回去的人确实活了下来,但只是建立了一个不怎 么重要的神权国家。在亚历山大死后,亚细亚的塞琉西王朝与埃及的 托勒密王朝之间发生了旷日持久的争执,犹太人必须想方设法守住自 己的地盘。一支重要的犹太人群体在亚历山大城增长起来,除了宗教 之外,一切都很快被希腊化了。希伯来文的《圣经》也不得不译成希 腊文,从而产生了《圣经》的“七十人译本”,之所以有这个名称, 是因为传说有七十位翻译者独立翻译,却译出了完全一致的译本。但是当塞琉西国王安提阿古四世在公元前2世纪上半叶,试图强迫犹太人 按希腊方式生活时,犹太人在马喀比兄弟的领导下纷纷揭竿而起。犹 太人以巨大的勇气和毅力,为争取以自己的方式敬神的权利而战斗。 结果他们赢了,于是马喀比家族以大祭司的身份统治国家。其家族的 世袭统治被称为哈斯摩尼亚王朝,该王朝一直延续到希律王时期。 ◎ 托莱多犹太教堂的阿拉伯花饰 当散居各地的犹太人越来越希腊化的时候,主要靠了马喀比家族 的成功抵抗,犹太教才得以幸存下来,也为基督教及后来的伊斯兰教 得以兴起提供了必要条件。正是在这一时期,犹太教产生了“彼岸” 的概念,因为起义已经证明人世间的灾难总是首先光顾那些最有德行 的人。公元前1世纪,除了正统派势力,还发展出一种更成熟的、受希 腊文化影响的运动,它的教义预示着应该对《福音书》中的耶稣进行 伦理上的重新评价。早期的基督教实际上就是一种经过改革的犹太 教,正如新教起源于教会内部的某种改革运动一样。 马克·安东尼结束了大祭司们的统治,并任命希律为国王,希律 是一位彻底希腊化了的犹太人。公元前4年,希律死后,犹太国由罗马 的一名地方财政长官直接统辖。但犹太人并不喜欢罗马的“神皇合 一”机制,当然,基督教徒也是如此。不过,犹太教徒与基督教徒有 一个不同之处,后者至少在原则上赞同谦卑的传统;而前者却在总体 上显得很自大,这一点颇像古典时代的希腊人。除了自己的神以外, 他们顽固地拒绝承认任何其他的神。事实上,他们也拒绝承认罗马的 “神皇合一”。公元66年,犹太人举行了反抗罗马的起义,经过一场 残酷的战争之后,耶路撒冷于公元70年被攻陷,神殿再次被摧毁。希 腊化犹太历史学家约瑟法斯在他的希腊文著作中记载了这一战役。 ◎ 特苏斯的保罗,宗教罪人与圣徒,基督教的创立者。 这一事件致使犹太人第二次、也是最后一次散落到各地。正如被 放逐到巴比伦时一样,正统派变得更加苛严。公元1世纪之后,基督教 和犹太教都把对方看做完全不同的、势不两立的宗教。在西方,基督 教煽起了一种可怕的反闪米特族情绪,使得犹太人从此生活在社会的 边缘,并饱受迫害和剥削,这种情况直到他们于19世纪获得政治权利 才结束。只有在穆罕默德的穆斯林国家,尤其是在西班牙,犹太人才 得以兴旺起来。当摩尔人最终被驱逐时,古典传统和阿拉伯知识才大 量地通过通晓多种语言的犹太思想家传授给了教士们。1948年,犹太 人再次拥有了迦南。他们是否会发展出自己新的文化势力,要回答这 个问题恐怕为时尚早。 犹太教中持不同意见的派别形成了早期的基督教,他们最初并没 有想用这种新教义去控制不信犹太教的人。这些早期基督徒仍然保持 着旧的排外传统,犹太教从来没有打算争取外族的皈依,即使在今天 得到改良的情况下,只要割礼和斋戒还在进行,它就不可能吸收外族 入教。如果没有一个信徒去设法放宽入教的基本条件的话,那么基督 教可能至今仍然是非正统犹太人的一个教派。特苏斯的保罗(一个希 腊化的犹太人和基督徒)扫除了这些外部障碍,从而使基督教受到了 普遍的欢迎。 罗马帝国的希腊化公民还是不承认基督应该是犹太人之神的儿 子。灵知主义弥补了这个缺陷,它是与基督教同时出现的一种宗教调 和运动。按照灵知主义的观点,可感知的物质世界是耶和华创造的, 但耶和华实际上只是一位小神,它与最高的神闹翻之后,便出来作 恶。终于,为了推翻《旧约》中的错误教义,最高的神的儿子化作凡 人降临人间。这些观点再加上一些柏拉图的思想,就构成了灵知主 义。它把希腊传说的成分、俄耳浦斯神秘主义的因素、基督教义以及 别的东方思想结合了起来,然后采取一种妥协的哲学混合方式使它变 得圆满。 而摩尼教(后期灵知主义所派生)则干脆把精神与物质的差异混 同于善与恶的差异。在藐视物质事物方面,他们比敢于冒险的斯多葛 学派走得更远。他们禁止食肉,并宣称任何形式的性行为都是罪恶 的。从它们只流传了数世纪的情况来看,我们似乎可以准确地推断, 这些苛刻的教条并没有得到完全有效的执行。在君士坦丁之后,灵知 教派不再那么重要了,但仍然有一定的影响。幻影教派宣称,钉在十 字架上的不是耶稣本人,而是他的某种幻影或替身,这不禁让人想起 希腊传说中伊芙琴尼亚的献祭。穆罕默德承认耶稣是一位先知,尽管 无法和他自己相提并论,后来他也采纳了幻影教派的观点。 随着基督教根基的日益牢固,它与《旧约》宗教的纷争也愈演愈 烈。它认为犹太人没有承认古代先知所预言的弥赛亚,所以是罪恶 的。从君士坦丁往后,反闪族主义变成了基督教狂热的一种体面的形 式,尽管宗教并不是狂热分子们惟一的动机。奇怪的是,曾遭受过可 怕迫害的基督教一旦翻了身,竟然会同样残暴地对付一个坚持自己信 仰的少数派。 在某些方面,基督教有了新的、明显的变化。总体上看,犹太教 是一种十分简单的非神学事物,这一率真特性甚至还在“对观福音 书”中有所体现。但是在《约翰福音书》里,我们却发现了神学思辨 的开端,当基督教思想家们试图在自己的新教义中吸收希腊人的形而 上学时,这种神学思辨的重要性就得到了加强。随着《圣经》的逐渐 形成,我们不再只关注“神加人”的基督形象,而是关注他的神学方 面。《圣经》的形成可以追溯到斯多葛学派、柏拉图,乃至赫拉克利 特。这种神学传统在欧利根(公元185~公元254年)的著作中首次得 到了系统的阐释。 ◎ 圣徒们 欧利根生活在亚历山大城,他曾在普罗提诺的老师阿摩尼阿斯· 萨卡斯门下求学,因而与普罗提诺有不少共同点。根据欧利根的观 点,上帝本身在其所有三个方面(圣父、圣子、圣灵)都是无形的。 他坚持古老的苏格拉底理论,即灵魂以某种独立状态先于肉体存在, 当人出生时,它才进入肉体。这一观点正如“一切灵魂终将获救”的 观点一样,后来使他被视为异端。但他一生都在冲撞教会。他年轻时 曾经不明智地走向极端,用自我阉割的方式来预防肉体的虚弱,而这 种方式并未得到过教会的认可,他因此而走了背运,并失去了担任教 士的资格,尽管在这一问题上似乎还有过一些不同意见。 欧利根在《反西尔撒斯论》一书中,详尽地批驳了西尔撒斯,而 西尔撒斯的反基督著作却没有留存下来。在这里,我们首次看到了为 《圣经》具有神授性观点辩护的倾向。除了其他方面,信仰能够使信 仰者产生一种有价值的社会影响这一事实也被用以证明信仰的合法性 和正确性。说到底这是一种实用主义观点,最近的一位思想家威廉· 詹姆士再次把它提了出来。但不难看出,这种论证是一把双刃剑,因 为它完全取决于你认为有价值的东西是什么。马克思主义者不赞同已 经制度化了的基督教,他们称宗教为“人民的鸦片”;如果按照实用 主义观点,他们完全有权竭力反对基督教。 教会的集权化是一个渐进的过程。起初,主教是由各地的教会成 员选举产主的。罗马主教权力越来越大,那只是君士坦丁统治之后的 事情。通过救济穷人,教会有了一群依附者,这一点很像昔日罗马元 老院家族的作风。君士坦丁统治时期充斥着教义斗争,因此也给帝国 带来了不少骚乱。为了解决其中的一些问题,皇帝于公元325年召开了 尼西亚会议。会议确定了和阿利乌斯教派对立的正统派的若干准则, 从此教会就采用这些准则去解决教义发展中的分歧。阿利乌斯是亚历 山大的祭司,他的教义认为圣父的地位高于圣子,两者是截然不同 的。撒伯留斯则为相反的观点进行辩护,他说圣父与圣子只是同一个 人的两个方面。正统观点最终获得了胜利,它将两者放在同一个层次 上,认为两者是同体异位。但是,阿利乌斯教派还是继续兴盛起来, 各种其他异端同样如此。正统教义的主要提倡者是阿撒那修斯,他于 公元328年至公元373年任亚历山大城的主教。而阿利乌斯教却得到了 君士坦丁的继承者们的支持,只有朱利安是个例外,因为他是个异教 徒。但是,狄奥多修斯于公元379年登基后,正统派又得到了帝国的支 持。 在西罗马帝国晚期和基督教时期,有三位重要的教士各自以不同 的方式加强了教会势力,他们死后都被颂为圣徒。安布洛斯、杰罗姆 和奥古斯丁都出生于4世纪中期,彼此相差不过几岁。再加上6世纪的 教皇大格里高利,后来一并被称为“教会博士”。 ◎ 写作中的奥古斯丁 在这三个人中,奥古斯丁是惟一的哲学家。安布洛斯是一位无所 畏惧的教会势力的辩护者,他为国家与教会的关系打下了基础,这种 关系盛行于整个中世纪。杰罗姆是《圣经》最早的拉丁文译者。奥古 斯丁进行的是神学和形而上学的思辨。宗教改革前的天主教神学架构 和改良宗教的主导原则主要归功于他。宗教改革领袖马丁·路德本人 就是奥古斯丁教义的僧侣。 公元340年,安布洛斯出生于托莱福。他在罗马受的教育,后来又 从事与法律相关的职业。他30岁时被任命为意大利北部列古里亚和埃 米里亚的地方长官,任职达四年。在此期间,不知出于什么原因,他 放弃了世俗生活(虽然没有停止政治活动),并当选为米兰主教,当 时米兰是西罗马帝国的首都。担任主教一职之后,安布洛斯勇敢地、 而且经常毫不妥协地坚持教会有至高无上的宗教地位,并由此而产生 了深远的政治影响。 ◎ 安布洛斯,米兰主教。 起初,宗教的地位很明确,似乎也没有对正统派构成什么威胁, 皇帝格雷善自己就是一个天主教徒。因为疏于政事,他后来被谋杀 了,于是有关继位问题的麻烦接连不断,马克西姆斯篡取了除意大利 以外的整个西罗马的权力,而意大利的统治权则为格雷善的弟弟瓦林 提尼安二世合法继承。由于小皇帝年纪尚小,实权则为太后查士丁娜 所掌握。查士丁娜是一个阿利乌斯教徒,因此一场冲突便不可避免地 发生了。异教与基督教最引人注目的冲突地点当然是罗马城。君士坦 丁的儿子君士坦丁乌斯统治时,胜利雕像本来已经搬出了元老院,背 教者朱利安又把它搬了回来,格雷善则再一次把它搬了出去,于是元 老院的一些议员就提出要再次搬回来,但另一些基督教议员却在安布 洛斯及教皇达马苏斯的帮助下占了上风。格雷善死后,异教派别于公 元384年重新兴起,他们向瓦林提尼安二世请愿,为了不让异教徒的这 一新举动获得皇帝的支持,安布洛斯就在奏本中提醒说,皇帝有责任 为上帝服务,正如公民作为士兵有责任为皇帝服务一样,其中的暗示 比“耶稣要求赋予上帝和凯撒各自有权接受的东西”还要过分。这样 一来,我们就只好宣称教会作为上帝支配人间的工具要高于国家了。 从某种意义上说,这也真实地反映了当时的国家权力正日渐衰减。教 会作为普遍性的国际组织,即使帝国崩溃了,它也照样能存在下去。 一个主教作了这样露骨的暗示之后,却没有受到任何惩罚,这也正标 志着罗马帝国的衰落。但是,胜利雕像的事依然没有了结。后来,篡 位者尤金尼乌斯又把它竖了起来,直到公元394年败给狄奥多修斯之 后,基督教派才取得了彻底的胜利。 由于查士丁娜信奉阿利乌斯教,安布洛斯与她发生了争执。查士 丁娜曾经要求在米兰为阿利乌斯教的哥特军团保留一座教堂,主教安 布洛斯不同意,民众也站在主教一边。被派去攻打教堂的哥特军人却 与人民达成了一致,不肯诉诸武力。这是安布洛斯的一个显著的英勇 行为,他在全副武装的蛮族雇佣军面前毫不屈服。最后皇帝只好做出 让步,在为基督教会争取独立的斗争中,安布洛斯在道义上取得了一 次伟大的胜利。 ◎ 主教的象牙宝座 不过,主教的行为并非总是同样值得赞颂的。在狄奥多修斯统治 时期,皇帝曾命令一位地方主教赔偿一座被烧毁的犹太教堂的修缮费 用,因为火灾正是在他的蓄意挑唆下发生的,但主教安布洛斯却对此 极力反对。虽然皇帝的本意是不支持这种恐吓行径,但安布洛斯辩解 说,基督教徒无论如何也不应该赔偿这类损失。这种危险的说法致使 中世纪出现了许多迫害行为。 安布洛斯的主要功绩是管理与治国,而杰罗姆却是当时的优秀学 者之一。公元345年,杰罗姆生于达尔马希亚边境附近的斯垂登。他18 岁时赴罗马求学,在高卢游历了数年之后,他在距故乡不远的阿奎雷 亚定居下来。由于一场争执,杰罗姆离家去了东方,他在叙利亚的沙 漠里隐居了5年。后来,他到了君士坦丁堡,不久又回到了罗马。公元 382年至公元385年,他一直留在罗马。教皇达马苏斯于前一年去世, 而继任的教皇似乎不大喜欢这位爱争辩的教士,于是杰罗姆再次去了 东方,和他一同前往的还有一些有德行的罗马妇女,她们赞同他的独 身禁欲戒律。公元386年,一行人最终在伯利恒定居下来,并过起了修 道院的生活。 杰罗姆于公元420年去世。他的名著是拉丁文《圣经》译本,该译 作成了天主教承认的惟一正统译本。在最后一次在罗马停留期间,杰 罗姆从希腊原文翻译了《福音书》。至于《旧约》,他还追溯到了希 伯来的根源。 通过自己的身体力行,杰罗姆极大地影响了当时日益盛行的修道 院运动,使它得到了进一步发展。他的一些罗马弟子随同他去了伯利 恒,并在那里建了四座修道院。和安布洛斯一样,杰罗姆也是一位伟 大的书信作家,其中许多信是写给年轻女子的,信中规劝她们保持德 行与贞洁。当公元410年哥特入侵者劫掠罗马时,他似乎有些听天由 命。他并没有去考虑拯救帝国的措施,而是更加热衷于对贞操价值的 赞颂。 ◎ 奥古斯丁,希波主教,神学与哲学作家。 公元354年,奥古斯丁出生在努米底亚省。他所受的教育完全是罗 马式的,20岁时,他带着妻儿来到了罗马。不久,他又去了米兰,在 那里以教书为业。在此期间,他本来是一个摩尼教徒,但最后却在不 断的悔恨的驱使下,被一位有心计的老妇人领进了正统派。公元387 年,安布洛斯为他施了洗。公元396年,他回到非洲,担任希波地方的 主教,直到430年去世。 在奥古斯丁的《忏悔录》中,我们看到了他与罪孽作斗争的引人 注目的描写。他终身都为小时候的一个事件所困扰。这实际上只是一 件小事,他还是一个孩子的时候,有一次把邻居花园里一棵梨树上的 梨摘光了。虽然这只是一时兴起的顽皮行为,但他对罪过的病态反省 却夸大了这一过错,认为永远都不能宽恕自己。在他看来,这无论如 何也是一种危险行为。 在《旧约》的早期,个人罪孽被看做是整个民族的缺点,后来才 逐渐被看做个人的污点。对基督教神学来说,这一转变是至关重要 的,因为教会作为一种机构是不可能犯过失的,只有个别基督徒才可 能犯下罪过。通过对个人因素的强调,奥古斯丁成了新教神学的一位 先驱。天主教越来越认同教会的重要性,而奥古斯丁认为两方面都重 要。人在本质上是有罪的,应该打入地狱,要通过教会的调解才能得 救。但按照宗教惯例,即使过一种有德的生活也并不能保证一定得 救。上帝是善的,而人是恶的,上帝允许拯救算是一种恩赐,拒绝拯 救也不应受到指责。这种宿命论后来为改良神学中更为顽固的流派所 采纳。另一方面,摩尼教曾认为恶是一种物质的原则,而奥古斯丁却 认为恶是不良意志的一个结果,这个有价值的观点也为改良神学所继 承,并构成了新教责任概念的基础。 奥古斯丁的神学著作主要是以批驳裴拉鸠斯的温和观点为目的。 和当时的绝大多数教会人士相比,裴拉鸠斯这位威尔士教士的心怀更 为仁慈。他否定了原罪论,并且教导说,人可以依靠自身的努力来获 得拯救。由于其宽容性和开明性,这一理论必然会赢得众多的支持 者,尤其是那些保持着希腊哲学家的某些精神的人。奥古斯丁为了替 自己辩护,就强烈地反对裴拉鸠斯的学说。对于裴拉鸠斯被最终宣布 为异端邪说,奥古斯丁是负有一定责任的。他以保罗的《使徒书》为 起点解释宿命论,而假如保罗看到从自己的教诲中推出了如此可怕的 命题,一定会大吃一惊的。后来,这一理论为加尔文所吸收,但是, 教会却明智地抛弃了它。 奥古斯丁把主要精力放在了神学上,即便涉及哲学问题,他的主 要目的也是为了调和圣经的教谕和柏拉图学派的哲学遗产。在这个意 义上,他是基督教辩护传统的先驱。尽管如此,他的哲学思辨本身仍 然很有意思,并且证明了他是一位敏锐的思想家。这类资料可从《忏 悔录》第十一卷中找到,由于它不是闲谈的好题材,所以流行版本总 是将它省略。 奥古斯丁向自己提出的问题,就是去揭示上帝的万能怎样才能与 《创世纪》中的创造事实(假定真有其事)协调起来。首先,有必要 把犹太教、基督教,还有希腊哲学中的创世概念区分开来。对希腊人 来说,假如说能像变戏法那样把世界从子虚乌有中产生出来,也许他 们在任何时候都会觉得十分荒谬。如果上帝创造了世界,那么他应该 被看做使用了现成原材料的建筑大师。无中生有的东西是与希腊精神 中的科学特征相抵触的。《圣经》里的上帝则不是这样,他被认为既 创造了原材料,又创造了建筑物。希腊的观点自然能推导出泛神论, 因为它认为上帝就是世界,这一思路始终吸引着那些有强烈神秘主义 倾向的人。持有这一观点的最著名的哲学例子就是斯宾诺莎。奥古斯 丁接受了《旧约》中的造物主,一个世界之外的上帝。上帝是一个永 恒的神灵,不受因果关系或历史发展的支配,他在创造世界的同时, 也创造了时间。我们无法追问创世之前的状态,因为那时还不存在可 以用来提问的时间。 ◎ 鲍依修斯,柏拉图派哲学家和罗马贵族。 对奥古斯丁来说,时间是一种三重性的现在。之所以被恰如其分 地称为现在,是因为它是惟一真实存在的东西;过去是现在的回忆, 而未来是现在的展望。这一理论并非没有缺陷,但它主要是为了强调 时间作为人(被创造的存在物)的一部分心灵体验的主观性。按照这 一观点,追问创世之前有什么就会变得毫无意义。康德也对时间作过 主观的解释,他说时间是一种知性形式。这种主观态度使奥古斯丁预 示了笛卡尔的如下学说:人惟一不能怀疑的就是自己在思考。尽管主 观主义最终未能在逻辑上站得住脚,但奥古斯丁仍然算是它的一位能 干的阐释者。 奥古斯丁时期的标志性事件就是西罗马帝国的覆灭。公元410年, 阿拉里克的哥特人攻占了罗马。也许基督教徒们从这一事件中看到了 他们罪孽的应有惩罚。而对异教徒来说,他们的想法却相反:以前的 诸神已经被抛弃,朱庇特自然就撤回了他的庇护。为了应对这一论 证,奥古斯丁从一个基督徒的角度出发,写下了《上帝之城》,并在 写作过程中形成了一套完整的基督教历史论,其中很大一部分在今天 只剩一点怀古的情趣,但“教会独立于国家”这一中心论点却在中世 纪具有重大意义,甚至在今天的某些地方,它还保留了下来。为了参 与对灵魂的拯救,国家必须服从教会,实际上,这种观点是建立在 《旧约》中犹太国家样板的基础上的。 在狄奥都利克统治时期,罗马住着一位杰出的思想家,他的生活 和作品与当时文明的普遍衰落形成了鲜明的反差,这就是鲍依修斯。 大约公元480年,鲍依修斯出生于罗马,他是一位贵族子弟,与元老院 议员阶层关系密切。鲍依修斯还是狄奥都利克的朋友,公元500年,这 位哥特国王成了罗马的统治者,10年后,鲍依修斯终于被任命为执政 官。但是后来,他的命运却出现了逆转。公元524年,他被关进了监 狱,并以叛国罪被处死。在狱中等候行刑期间,他写下了《哲学的慰 藉》,这本书使他声名远扬。 ◎ 鲍依修斯在狱中候刑时写作《哲学的慰籍》一书。 在生前,鲍依修斯就以睿智和博学著称。他是第一个把亚里士多 德的逻辑学著作翻译成了拉丁文的人。此外,他还写了自己的著作和 关于亚里士多德逻辑学的评注。他在音乐、算术和几何学方面的论 文,长期被中世纪的文科学院奉为范文。他想完整地翻译柏拉图与亚 里士多德著作,但这一计划从未得以完成,的确令人遗憾。奇怪的 是,中世纪不仅把他当作一位伟大的古典哲学学者,而且把他当做一 名基督教徒来加以推崇。 正如《哲学的慰藉》里提到过的那样,他坚持柏拉图式的立场。 但相比之下,他更有可能是一名基督徒,就像当时的大多数人一样。 但如果真是这样,那么他只能算名义上的基督徒,因为和教士们的神 学思辨相比,柏拉图哲学对他的影响要大得多。不过,如果他真的被 当做可靠的正统派的话,也许更好一些,因为只有在这种情况下,他 的大部分柏拉图观点才能顺利地被后来几个世纪的教士们所吸收。而 在当时,异端的罪名是很容易使他的作品遭到埋没的。 无论如何,《哲学的慰藉》一书脱离了基督教神学。该书包括交 替出现的散文与诗歌部分,鲍依修斯自己发言时用散文,而哲学则借 一位妇女的形象用诗歌应答。该书的教义与观点并没有引起当时教会 人士的兴趣。他直截了当地再次肯定了三位伟大的雅典哲学家的崇高 地位,在追求善的生活方式上,鲍依修斯遵循了毕达哥拉斯学派传 统,而他的伦理学说大部分源于斯多葛学派,他的形而上学则可以直 接追溯到柏拉图。书中一些章节带有泛神论的色彩,他据此提出了恶 并不真实的理论。上帝是善的,不可能作恶;既然上帝是万能的,那 么恶必定是虚幻的。这一观点有许多地方都是与基督教神学和伦理学 格格不入的,但不知为什么,它似乎并没有激怒正统派阵营中的任何 人。全书主要是在回顾柏拉图,它避开了普罗提诺之类的新柏拉图主 义作家的神秘主义,与当时盛行的种种迷信也毫无瓜葛,书中也找不 到当时基督教思想家的那种狂热的罪孽感。该书最突出的特点,或许 就是它的作者是一名死囚。 如果我们把鲍依修斯看做一位象牙塔里的思想家(脱离当时的实 践事务),那就错了。恰恰相反,他像古代的哲学家一样,经历了各 种实践事务,是一位有才能、头脑冷静的执政官,并忠于自己的哥特 主子。后来,他被当做受到阿利乌斯教派迫害的殉道者,这一谬误也 许有助于提高他作为一位作家的知名度。但作为一位不偏颇、不盲从 的思想家,他却从未被颂为圣徒,而赛瑞利(下文将对此人作更多介 绍)却成了圣徒。 在当时的历史背景下,鲍依修斯的作品提出了一个持久的问题, 即一个人究竟在多大程度上必然是其时代的产物?鲍依修斯所生活的 世界,是对超然而理性的探索抱有敌意的世界,他生活的时代是一个 迷信和狂热泛滥的时代,然而在他的著作里,这些外部压力似乎一点 也没有显示出来,他的问题也绝不是那个时代所特有的问题。诚然, 罗马的贵族阶级不大容易屈从于流行时尚与狂热情绪。某些旧道德, 在帝国覆亡之后,仍然在这些贵族当中留存了很长时间。在一定程度 上,这也可以用来解释鲍依修斯伦理思想中的斯多葛倾向。但是下述 事实本身却必须得到解释:尽管外有野蛮部族侵扰,内有狂热情绪盛 行,这样一群人(坚持旧道德的人)还是继续存在了下来。我想,可 以从两个方面来回答这个问题。一方面,人肯定是传统的产物。首 先,他们在成长过程中会受到周围环境的影响;后来,他们的生活方 式又从他们所坚守的传统中得到了支持,不管这种忠诚是完全出于自 觉,还是多少出于盲从。另一方面,传统不容易受时间的约束,它们 呈现出自身的一种生活,并且可以长期存在下去。传统就像郁积在地 表下的暗火,当重新得到支持时,就会再次被煽成明火。在蛮族入侵 时那种动荡不安的环境里,古典时代的传统依然在某种程度上幸存了 下来,在这种背景下,才有可能出现鲍依修斯之类的人物。但他一定 早就意识到了横在他与同代人之间的鸿沟。如果相信某种传统的力 量,就需要有一定的毅力来支持它,鲍依修斯肯定也需要鼓起他的全 部勇气。 现在,我们可以回答另一个相关的问题了。为了理解某些哲学问 题,是否有必要去研究哲学史?为了理解某个时期的哲学,是否有必 要去了解这个时期的历史?按照上文所述的观点,社会传统与哲学传 统之间显然存在着某些相互作用。迷信的传统不会产生不迷信的思想 家,把禁欲看得比事业还高的传统不可能产生能够接受时代挑战的建 设性措施。另外,即使没有完整的历史知识作注解,我们也有可能充 分理解某个哲学问题。读读哲学史,其意义正在于认识到绝大多数问 题过去曾经提出过,一些明智的答案过去也曾经有过。 对罗马的洗劫开创了一个战事不断的时代,并导致了西罗马帝国 的灭亡和日耳曼部族在帝国全境的定居。北方的不列颠遭到了盎格鲁 人、撒克逊人和朱特人的侵犯;法兰克部族扩张到了高卢;汪达尔人 向南侵入了西班牙和北非。下述留存至今的国家和地区名称,还能让 我们想起相关的事件:英格兰因盎格鲁而得名,法兰西得名于法兰 克,安达卢西亚则得名于汪达尔。 西哥特人占领了法兰西南部,东哥特人则征服了意大利,在此之 前,他们曾试图瓦解东罗马帝国,但未能成功。从3世纪末以来,哥特 雇用军为罗马作战效劳,因此逐渐掌握了罗马的战术。罗马失陷以 后,帝国还苟延残喘了几年,直到公元476年,终于被国王奥都瓦克率 领的东哥特人摧毁。公元493年,狄奥都利克命人谋杀了奥都瓦克,结 束了其统治,于是,狄奥都利克成了东哥特的新国王,统治意大利直 到公元526年去世。在哥特人的背后,东方的匈奴蒙古人部落在国王阿 替拉的率领下,正向西挺进。虽然他们有时也与哥特人结为联盟,但 是公元451年阿替拉入侵高卢时,双方的关系就恶化了。一支哥特、罗 马联军在沙龙阻止了阿替拉的进犯。随后,由于教皇列奥施加了道德 压力,阿替拉攻占罗马的计划也就取消了。这位蒙古国王不久后去 世,部族失去了习惯的统帅,这支掳掠成性的亚洲军队渐渐失去了往 日的威风。 有人可能认为这些动荡会引起教会的明显反应,但教会的注意力 却为“基督的多重位格”的极端教义的细枝末节所吸引。有的人认为 基督是一个具有两种面貌的人格,这一观点最终取得了胜利,它的主 要辩护者就是赛瑞利。赛瑞利于公元412年至公元444年任亚历山大城 主教,他是正统派顽固的支持者,并且以实际行动表现出他的狂热 ——煽动迫害亚历山大城的犹太人,并策划了对希帕莎的凶残谋杀 (希帕莎是为数学史做出贡献的少数妇女之一)。赛瑞利因此被颂为 圣徒。 而另一方面,君士坦丁堡主教奈斯脱流斯的追随者们却赞同“基 督有两个位格”的观点,也就是作为人的基督和作为上帝之子的基 督;前面提到过,这一观点的创始者是灵知教派。奈斯脱流斯的学说 主要是在小亚细亚和叙利亚赢得了支持者。 为了解决这个神学难题,双方作了一次努力,于公元431年在以弗 所召开了一次会议。没想到赛瑞利教派设法抢先到了会场,趁对方没 来得及入场,就迅速做出了有利于自己一方的表决,于是奈斯脱流斯 教派被宣布为异端。“基督只有一个位格”的观点终于占了上风。赛 瑞利死后,公元449年以弗所的一次宗教会议进一步宣称,基督不仅只 一个位格,而且只有一个本性。该教义后来被称为“一性论异端”, 公元451年的卡罗西顿会议谴责了该教义。如果赛瑞利此时还活着的 话,就很可能被定为一性论异端分子,而不再是圣徒。然而,虽然全 体基督教会议可以制定标准,但异端也会咬牙坚持下去,尤其是在东 方。正是由于正统教派与异端教派的互不妥协,伊斯兰教势力后来才 得以大展宏图。 在意大利,哥特人并没有盲目地摧毁原来的社会结构。狄奥都利 克(公元526年去世)保留了原有的行政制度。他在宗教问题上的态度 也很温和,他本人是一个阿利乌斯派教徒,似乎也允许一些非基督教 因素继续存在,尤其是在罗马的贵族家庭中存在。鲍依修斯这位新柏 拉图主义者就是狄奥都利克的大臣。然而皇帝查士丁却是一个坚持狭 隘观念的人,公元523年,他宣布阿利乌斯为非法教派,这一举动把狄 奥都利克弄得很尴尬,因为他的意大利领地内到处是天主教,而他自 己的力量无法与皇帝抗衡。由于担心自己的支持者搞阴谋,他将鲍依 修斯关进监狱,并于公元524年将他处死。公元526年,狄奥都利克去 世,次年查士丁去世,查士丁尼继位。正是由于查士丁尼下旨,伟大 的罗马法大纲、法典和法学汇纂才得以完成。查士丁尼是正统派的坚 定拥护者,继位初期,他下令关闭了雅典的阿卡德米学院。在这之 前,阿卡德米一直作为古老传统的最后一个堡垒,尽管这时它的学说 已经被新柏拉图主义的神秘因素淡化了。公元523年,君士坦丁堡开始 兴建圣·索菲亚教堂,在1453年君士坦丁堡被士耳其人占领之前,该 教堂一直是拜占廷教会的中心。 查士丁尼的宗教兴趣也影响了皇后(著名的狄奥都拉),她的经 历很平常,此外,她还是一位一性论者。查士丁尼正是为了她,才开 始了“三个牧师会”的论战。在卡勒西顿,三个具有奈斯脱流斯倾向 的神父被宣布为正统派,这就触犯了一性论的观点。于是查士丁尼发 布敕令,宣称三人为异端,这一决定使教会内部出现了长期争论。结 果,查士丁尼本人也成了异教徒,他接受了阿法萨托都塞提克的观 点:基督的肉身是不朽的,这正是一性论的必然结果。 ◎ 查士丁尼试图再次征服西方。正统的他关闭了了阿卡德米学院。 查士丁尼统治时,国家作了最后一次努力,试图从蛮族首领手中 夺回西部各省。公元535年,他入侵意大利,此后将近18年时间里,这 个国家都饱受战乱之苦,非洲被勉强地重新征服,但总的说来,拜占 廷的统治是不是一件幸事却也值得怀疑。拜占廷的力量并未大到足以 收复整个帝国,尽管皇帝得到了教会的支持。公元565年,查士丁尼去 世。3年后,意大利又遭到了一次蛮族的入侵。伦巴底入侵者长期占据 着北部地区,该地区后来就被称为伦巴底。他们与拜占廷人争斗了200 年之久,后者由于受到萨拉森人从南面发起的攻击,最终败退了。拜 占廷在意大利的最后一个堡垒——拉温那,也于公元751年被伦巴底人 占领。 在我们所谈论的时代,像鲍依修斯这样的人物是十分罕见的。这 个时代的特征并不是哲学上的。不过,我们必须提到后来对中世纪哲 学产生了重要影响的两个发展:一是修道生活在西方的发展,二是教 皇势力与权威的发展,它们分别与本笃和格里高利的名字有关。 ◎ 查士丁尼的皇后狄奥都拉,一性论者。 修道生活始于4世纪的东罗马帝国,起初,它与教会并没有什么关 系,由于阿撒那修斯首先采取了措施,修道运动才最终被教会所控 制。前面说过,杰罗姆是修道生活方式的伟大推行者。6世纪期间,高 卢和爱尔兰开始建立修道院。但西方修道生活的决定性人物却是本 笃,后来的本笃修士会就是因他而得名。本笃于公元480年出生于贵族 家庭,并且在罗马贵族安逸奢华的环境中长大。20岁时,他开始对早 年的教养传统产生了强烈的反感,于是跑到一个洞穴里隐居了三年。 公元520年,他在蒙特卡西诺建了一座修道院,该院成了本笃修士会的 活动中心。它的创立者本笃所制定的教规告诫会员,要发誓保持清 贫、顺从和贞洁。但本笃并不喜欢东方僧侣们的那种过于刻苦的修 行。由于他们(东方僧侣)机械地理解了基督教关于肉体有罪的观 点,才会互相比试,看谁能达到最高的舍身境界。对于这些有害的怪 观念,本笃教规予以坚决制止。该组织的权力掌握在终身任职的修道 院院长手中。后来,本笃修士会又提出了自己的传统,该传统与其创 立者本笃的意图多少有些不符。本笃派学者们在蒙特卡西诺搜集了大 量藏书,为维护经久不衰的古典学问传统做了很多工作。 本笃定居于蒙特卡西诺,直到公元543年去世。大约40年后,修道 院遭到伦巴底人的洗劫,修士会逃亡到了罗马。蒙特卡西诺在其悠久 的历史中,还遭受过两次破坏,一次是9世纪被萨拉森人毁坏,另一次 是在第二次世界大战期间。所幸的是,它丰富的藏书留存了下来,现 在,修道院也得到了彻底重建。 ◎ 边奈狄克特,蒙特卡西诺图书馆的创始人。 格里高利在他的《对话录》第二册里,记载了本笃生平一些细 节。其中有相当篇幅讲的是超凡的行为及事件,这些传说揭示了当时 有教养人士的普遍思想状态。必须记住的是,阅读在当时已经成了极 少数人拥有的技能,因此这些作品完全不像今天的超人和科幻小说之 类的垃圾,它们不是为容易受骗的文盲大众写的。此外,这些《对话 录》还成了我们了解本笃的主要资料来源。 《对话录》的作者大格里高利,被誉为西方教会的第四位博士。 他生于540年,有罗马贵族血统,并在富足奢华的环境中长大。他受到 了教育,尽管没有学过希腊文。这一缺憾永远也未能弥补,即使后来 他在宫廷里住了六年之久。公元573年,他担任了城市的行政长官。但 是不久,他似乎感觉到了神的召唤,于是辞去官职,舍弃财产,当了 一名本笃派僧侣。他做出了这一不同寻常的决定之后,苛严、节俭的 生活便开始了,并长期损害了他的健康。但是,他所过的生活并不是 他以前向往的那种潜心思索的生活。他的政治才干也没有被人忘记, 教皇裴拉鸠斯二世派他出任君士但丁堡宫廷的大使(西方仍对君士坦 丁堡表示象征性的忠诚)。公元579年至公元585年,格里高利虽然住 在宫廷里,却未能完成他的主要使命,即怂恿皇帝和伦巴底人交战。 由于当时已不是军事干预的时代,查士丁尼最后几次军事干预虽然取 得了暂时的成功,但到头来仍是一场空。 ◎ 大格里高利,教皇权威的促进者。 回到罗马后,格里高利在修道院里住了五年。公元590年,教皇去 世后,更愿意当僧侣的格里高利被选为继承人。这就需要格里高利施 展其全部的政治才能,去应付西罗马政权崩溃后留给国家的不稳定局 面。意大利正遭受伦巴底人的践踏,非洲成了斗争的战场,孱弱的拜 占廷政权为摩尔部族所困扰,西哥特人和法兰克人正在高卢交战,盎 格鲁-撒克逊入侵者已经把不列颠变成了异教徒之地,异端继续困扰着 教会,道德的普遍沦丧开始损害那些本应支配教士生活的基督教原 则。圣职交易泛滥,并在事实上失控了近500年之久。格里高利接过了 所有这些麻烦,并且竭尽全力加以遏制。但正是席卷西方的极度混乱 状态,才使他能够在前所未有的、更为牢固的基础上,建立起教皇的 权威。在此之前,罗马主教从来没有像格里高利那样,如此广泛而成 功地行使过权力。格里高利主要是通过给教士们和世俗统治者们大量 写信来做到这一点的,在他看来,这些人似乎是未能尽职或者犯了越 权办事的罪过。通过发布《主教法规》一书,他为罗马在管理一般教 会事务中的至上权力打下了基础。这部纲领性读物在整个中世纪受到 了高度的推崇,甚至还以希腊文译本传入了东正教。受格里高利神学 教诲的影响,《圣经》的研究转变成了象征性的解释,而忽视了纯粹 的历史内容,直到文艺复兴时期,人们才开始注意《圣经》的历史内 容。

    尽管格里高利为巩固罗马天主教的权威做出了坚决的努力,但他 仍然是一个墨守成规的人。在政治上,如果皇帝的过分行为也符合他 自己的利益,或者当他感到站出来反对会带来危险时,他就会采取宽 容的态度。和安布洛斯这样的人相比,他是一个狡猾的机会主义者。 他为扩大本笃修士会的影响做了大量工作,该修士会后来成了修道机 构的典范。然而当时的教会对世俗学问不够尊重,格里高利也是如 此。

    第六章 经院哲学

    随着罗马中央集权的衰落,西罗马帝国陷入了一个野蛮时期。在 这一时期,欧洲出现了普遍的文化沉沦。所谓的“黑暗时代”,大概 是指公元600年到1000年。当然,任何把历史划分成若干个整齐区段的 做法都是很勉强的,我们不要指望从这种划分中有多少收获,它最多 只能提示一下该时期的某些综合特征。所以,我们绝不要以为,公元7 世纪刚一来临,欧洲就突然一片漆黑,直到四个世纪后,它才重新浮 现出来。

    ◎ 西罗马帝国开始陷入一个野蛮的时期

    首先,古典传统依然在某种程度上存在着,尽管它们的持续性影 响不够稳定,而且受到了限制。在修道院,尤其是在爱尔兰这样的偏 僻角落,一些学问得到了鼓励和扶植。但是,称这些世纪为“黑暗时 代”也没有什么不妥,尤其是与它们之前和之后的时代相比较的时 候。同时,我们必须牢记,用同等的标准来看,东罗马帝国并没有遭 遇如此普遍的衰败。拜占廷仍然保持着帝国的控制力,并由此使得学 问更加世俗化。而西方要达到这一步则需要花费许多个世纪的时间。 同样,当西方文化日渐衰弱时,年轻而充满活力的伊斯兰文明(包括 印度、中东、北非和西班牙大部分地区)却达到了最伟大的巅峰。在 更远的中国,唐朝开创了其文明史上最重要的文学纪元。 要理解为什么哲学会与教会如此紧密地结合在一起,我们必须描 绘出这一时期教皇统治与世俗势力发展的主要脉络。教皇们之所以能 在西方巩固其主导地位,主要是因为罗马皇权消失后留下了政治上的 真空。而东方(东罗马帝国)的大主教们除了更多地为皇权所限制以 外,他们对罗马主教们的傲慢也从未有过好感,最终,他们的东正教 教会与罗马分道扬镳了。而且,在入侵部族的野蛮影响下,西方的识 字水平大为降低,而在罗马时代,识字却在整个帝国都得到了普及。 那些保留了残存学问的教士们,逐渐形成了一个会读写的特权集团。 当几个世纪的冲突结束后,欧洲进入了较为稳定的时期,正是这些教 士创办了各种学校。在文艺复兴之前,经院哲学一直都是至高无上 的。 在七八世纪的西欧,教皇统治夹在拜占廷皇帝与蛮族君主两个敌 对势力中间,在一条危险的航道上行进。从某个角度看,与希腊交往 总比依附蛮族更可取,至少皇帝的权威建立在正当法律基础之上,而 征服部族的统治者靠的是武力夺权。另外,东罗马帝国保持着罗马鼎 盛时代的文明尺度,因而也就保持这某种活跃的世界观,这种世界观 与蛮族的狭隘民族主义是截然不同的。况且,哥特人和伦巴底人在不 久前都信奉阿利乌斯教,而拜占廷至少还有点正统因素,尽管它不肯 屈服于罗马的教会势力。 但是,东罗马帝国的实力已经不足以在西方维持其权威了。公元 739年,伦巴底人企图攻占罗马,但未能得逞。为了与伦巴底人的威胁 抗衡,教皇格里高利三世试图谋求法兰克人的帮助。当时,克洛维斯 的继承人,墨洛温王朝的君主们在法兰克王国已经丧失了全部实权, 真正的统治者是大总监。8世纪初担任这一官职的是查理·马特尔,他 在公元732年的图尔战役中阻止了伊斯兰教的扩张。查理和格里高利都 死于公元741年,他们的继承人丕平和教皇斯蒂芬三世达成了一项协 议:大总监要教皇正式承认其国王身份,以便取代墨洛温王朝;作为 回报,丕平将公元751年伦巴底人曾占领过的拉温那镇以及东罗马帝国 总督管辖的其他领地送给了教皇。这就导致了他与拜占廷的决裂。 没有了中央政权的约束,教皇在自己的领域里就比东正教更有势 力。当然,拉温那的赠与绝不是一桩合法交易。为了使这一交易貌似 合法,教士们伪造了一份文件,这就是有名的“君士坦丁馈赠”。该 文件自称是君士坦丁的一份政令,根据这一政令,原属西罗马帝国的 全部领土都将移交给罗马教皇。通过这种伎俩,教皇建立了自己的世 俗权力,并且在整个中世纪都得以维持。直到15世纪前,这桩文件伪 造案都没有被揭露。 伦巴底人试图抵抗法兰克的武力干涉,公元774年,丕平的儿子查 理曼翻越阿尔卑斯山,给了伦巴底军队致命一击。查理曼夺取了伦巴 底国王的头衔向罗马挺进。在罗马,他兑现了其父公元754年的许诺。 教廷对他表示支持,他则为基督教在萨克逊疆域内的传播不遗余力, 尽管他改变异教徒的信仰不是靠说服,而是武力。在东部边界,他征 服了大部分日耳曼领土,但在南部的西班牙,他试图逼退阿拉伯人, 却不大成功。公元778年,他的后卫部队战败了,著名的罗兰传奇就因 此而产生。 ◎ 查理·马特尔,图尔战役的胜利者,抑止了伊斯兰教的上升趋势。 查理曼的目标并不仅仅是巩固边疆,他自视为西罗马帝国的合法 继承人。公元800年圣诞节,教皇在罗马为他举行了皇帝加冕仪式,这 标志着日耳曼民族的神圣罗马帝国开始了。与拜占廷的决裂起初是由 丕平的馈赠引起的,但最终完成却是因为西罗马产生了一位新皇帝。 查理曼为自己的做法所找的理由是站不住脚的,因为当时伊琳女皇还 占据着拜占廷的宝座。查理曼辩解说,这是不符合皇室惯例的,因而 王位仍然空着。而他认为自己获得教皇的加冕后,可以作为凯撒的合 法继承人行使权力。同时,教廷也通过这事件与帝国势力联合了起 来。尽管后来一些独断的皇帝为了达到自己的目的而废黜或拥立教 皇,但他们仍然需要得到教皇的加冕来确认其皇帝身份。这样一来, 世俗势力与宗教势力便谁也离不开谁了。当然,分歧是不可避免的, 教皇和皇帝为了各自的目的,一直在进行激烈的“拔河”赛。产生冲 突的一个主要原因就是主教的任命问题(下文将详细介绍)。 到了13世纪,冲突双方已经没有妥协的余地了。在随后的斗争 中,教廷占了上风。但是在文艺复兴初期,教皇们日益沦丧的道德水 准却使得他们失去了来之不易的优势。与此同时,民族君主制在英格 兰、法兰西和西班牙的兴起,导致了新的势力产生,从而破坏了在教 会精神领导下的团结局面。帝国摇摇欲坠地维持着,直到拿破仑征服 欧洲。教廷则幸存至今,尽管它至高无上的地位已经在宗教改革中不 复存在。 ◎ 查理曼,公元800年在罗马加冕称帝,恺撒的继承人。 查理曼在世的时候,为教皇们提供了深受欢迎的保护;作为回 报,教皇们也谨慎地不去干涉他的意愿。查理曼本人不怎么有学问, 对宗教也不虔诚,但他并不敌视别人的学问和虔诚。他鼓励文学的复 兴,并且向学者们提供庇护和资助,尽管他自己的娱乐缺乏文化色 彩。对于纯粹的基督徒行为,他认为这对人民是有益的,但绝不应该 过度约束宫廷生活。 在查理曼的继任者统治期间,皇权衰落了,尤其是国土被虔诚的 路易的三个儿子瓜分的时候。这些事件所产生的矛盾,最终导致了日 耳曼人与法兰西人的对立。当帝国在世俗冲突中丧失力量时,教廷的 实力却大大增强了,但另一方面,罗马教廷又必须对主教们实施权 威。如前所述,主教们已经在各自的地盘上获得了不同程度的独立, 尤其是当他们远离权力中央所在地时。在教皇的任命问题上,教皇尼 古拉一世(公元858~公元867年)基本上成功地保住了罗马的权威。 但是所有的问题不仅在世俗力量中,而且在教会的内部仍然是有争议 的。一位聪明、刚毅的主教很可能对教皇毫不退让,如果后者不怎么 刚毅的话。尼古拉死后,教廷的权力终于衰落了。 公元10世纪,教廷为罗马当地的贵族所掌握。由于拜占廷、伦巴 底和法兰克军队之间的战争所造成的多次破坏,罗马陷入了野蛮、混 乱的状态。在整个西方,由于封建主们无力控制各自为政的诸侯们, 这片土地变得动荡不安。无论是罗马皇帝还是法兰西国王,都无法有 效地约束那些不守法纪的贵族。匈牙利人突袭了意大利北部,而北欧 海盗们的恐怖行为却在整个欧洲的海岸和河岸蔓延。诺曼底人最终在 法兰西得到了一块狭长的土地,作为回报,他们改信了基督教。来自 南部的萨拉森人的威胁从9世纪起就日益加强,直到公元915年东罗马 在那不勒斯附近的嘎里戈里阿诺河击败了入侵者,这一威胁才得以解 除。然而帝国的力量大弱,已经不可能再像查士丁尼时期那样试图去 控制西方了。在这种普遍的混乱中,教廷被迫服从于为所欲为的罗马 贵族,不仅丧失了原本在东正教事务中可能存在的残余影响,而且当 西罗马帝国的地方主教们再次宣布独立时,教廷对这些教士的控制能 力也在逐渐消失。不过,地方主教们在争取独立方面却并不成功,因 为,他们虽然与罗马教廷的联系有所减弱,但是与当地世俗势力之间 的联系却加强了。在此期间,圣·彼得宝座下众多教士的品质,也无 法阻止道德和社会解体的洪流。 11世纪时,民族大变动已经接近尾声。外来的伊斯兰教威胁也已 得到遏制。从此,西方开始转守为攻。当希腊文化在西方的大部分地 区已经被人们遗忘的时候,却在爱尔兰这样偏僻的角落幸存了下来。 总的说来,当西方经历衰落的时候,爱尔兰文化却出现了一派繁荣景 象。后来,由于丹麦人的到来,这一小块文明之地才遭到了破坏。因 此当时最有学问的人是一位爱尔兰人也就不奇怪了。他就是约翰·司 各脱·厄里根。 这位9世纪的哲学家是一位新柏拉图主义者,也是一位希腊语学 者,他在观点上属于裴拉鸠斯派,而在神学上却是泛神论的。尽管持 有非正统的观点,但不知为什么,他竟然没有受到迫害。当时爱尔兰 文化的活力是由于环境的有趣组合造成的。当高卢开始连续遭到野蛮 侵略的时候,大批知识分子纷纷跑到最西部,希望得到保护。然而英 格兰却没有那些人的立足之地,因为到处都是盎格鲁-萨克逊和朱特人 这些异教徒。而爱尔兰却提供了安全保障,于是许多避难的学者就到 了那里。我们也必须对英格兰的“黑暗时代”进行某种不同的评价。 在盎格鲁-萨克逊入侵时期,曾经出现过一个文化停顿期,但是阿尔弗 莱德大王统治时期又出现了复苏。因此,“黑暗时代”的开始与结束 都提前了两百年。九、十世纪丹麦人的入侵,致使英国的发展出现了 一次中断,也使爱尔兰的发展出现持续性倒退。这时候,学者们又开 始沿着来路往回撤。这一时期,罗马由于相距太远,也无法控制爱尔 兰的教会事务。主教的权威并不是至高无上的,修道院的学者们时刻 都在为教义争论不休。约翰·司各脱的自由观点如果在别处还有可能 产生,在这里却将迅速被纠正。 ◎ 法兰西国王秃头查理,约翰·司各脱·厄里根的庇护人。 至于约翰的生平,除了他在法兰西秃头查理的宫廷里生活的这段 时间,别的我们就不清楚了。他的生卒年似乎是公元800~公元877 年,但并不能确定。公元843年,他应邀到法国宫廷主管宫廷学校。在 这里,他陷入了宿命论与自由意志问题的争论。约翰支持自由意志 说,认为一个人自身对德行的努力是有价值的。招人不快的并不是他 的裴拉鸠斯主义本身(尽管这也很糟糕),而是他用一种纯哲学的方 式来处理这一问题。他说,理性和启示是真理的两个独立的源泉,互 不重叠和冲突;但是,假如在某个给定的情况下,看起来好像有冲突 的话,那么首先应该相信理性,而不是启示。事实上,真正的宗教正 好也是真正的哲学,反之亦然。呆板的宫廷教士们并不接受这一观 点,约翰关于这些问题的论文也受到了批判。只是靠了他和国王的私 交,才免受惩罚。国王查理和这位爱尔兰学者都死于公元877年。 从经院哲学术语的角度看,约翰在哲学上是一位实在论者。搞清 “实在论”这一术语的用法是十分重要的。它最早源于柏拉图及苏格 拉底对理念论的阐释。实在论认为共相即万物,它们先于个体而存 在。它的对立面则建立在亚里士多德的概念论基础之上。这一理论被 称做唯名论,它坚持认为共相仅仅是名称,个体要先于共相而存在。 在整个中世纪,实在论者和唯名论者在共相问题上吵得不可开交。直 到今天,科学和数学之中还存在着这个问题。由于经院派的实在论与 理念论有关,所以现代人也称它为唯心主义。我们应该把这一切与它 们后来的非经院用法区分开来。在适当时候,我们将对此做出解释。 (1)上帝是创造者,但不被创造。 (2)理念是创造者,但被上帝创造。 (3)时空被创造,但不是创造者。 (4)作为总体目标的上帝,既不创造,也不被创造。 约翰在他的主要哲学著作《论自然的划分》中,约翰清晰地展示 了他的实在论。他提出了自然的四重划分法,划分依据是事物创造或 不创造;被创造或未被创造。首先,能够创造而又不被创造的显然是 上帝。第二,能够创造而又被创造的是柏拉图和苏格拉底意义上的理 念,它们创造个体也依附于个体,其本身又为上帝所创造。第三,不 能创造,但可以被创造的一类,就是时空中的诸事物。最后是既不创 造也不被创造的东西,在这里,我们转了一圈又回到了万物为之奋斗 的终点——上帝。从这个意义上看,上帝与其目标同一,因此不创 造。 到此为止,虽然涉及的都是存在事物,但也包括了自然中不存在 的事物。首先,在这些非存在事物中,按照新柏拉图学派的观点,普 通的物理对象就被排斥在可理喻世界之外。同样,罪恶被视为一种缺 陷或沦丧,一种缺乏神性模式的堕落,因此它属于不存在的范畴。所 有这些最终都回到柏拉图的理论上去了,前面说过,该理论认为善就 是知识。 “上帝与其目标同一”的观点直接导致了非正统的泛神论神学的 出现。上帝的本质,无论对于人,还是对于他自己,都是不可知的, 因为他不是一个可知的对象。其逻辑上的理由(尽管约翰没有明说) 就是:上帝就是一切。所以,不可能出现既有知者又有所知对象的情 形。约翰的“三位一体”理论与普罗提诺的没有什么不同。上帝的存 在正是通过万物的存在来显示的,其智慧体现于万物的秩序,其生命 体现于万物的运动。这与圣父、圣子和圣灵相一致。至于在理念的范 畴,它们则构成了逻各斯,通过圣灵的作用导致或产生不存在独立物 质性的个体,上帝从虚无中创造了万物,其含义就是这种虚无就是上 帝本身,因为他超越一切知识,所以就是虚无。于是约翰藉此来反对 亚里士多德允许“个体具有物质性存在”的观点。另一方面,根据创 造和被创造标准做出的前三种划分,则源自亚里士多德类似的原动和 被动划分标准。第四种划分则派生于狄奥尼修斯的新柏拉图学说。狄 奥尼修斯这位圣·保罗的雅典弟子,是一篇论文的假定作者,该论文 融合了新柏拉图主义与基督教义。约翰曾从希腊文中翻译了该著作, 他很可能因此而受到了保护,因为凭着与圣·保罗的关系,这位罗马 的假狄奥尼修斯被误以为是正统人士。 11世纪,欧洲终于进入了新生时代。诺曼底人遏制了来自北方和 南方的外来威胁。他们征服英格兰后,结束了斯堪的纳维亚人的侵 犯,而他们在西西里的战争则使该岛彻底摆脱了萨拉森人的统治。修 道院改革进展顺利,教廷选举和教会组织的原则也在重新审议。随着 教育状况的改善,文化水平不仅在教士中间开始提高,而且贵族在一 定程度上也是如此。 圣职买卖和禁欲问题是当时困扰教会的两大难题。从某种意义上 说,两者都和多年发展起来的教士地位有关。由于教士是宗教奇迹与 权力的执行人,他们就逐渐对世俗事务产生了很大的影响。这种影响 要发挥其作用,必须要人们在总体上不怀疑这些权力的真实性。在整 个中世纪,人们的这种信念始终是真诚和广泛的。然而权力总是刺激 人的欲望。如果没有强有力的道德传统加以指导,那些地位优越的人 很可能就会营私舞弊,中饱私囊。这样一来,靠授予教职来换取金 钱,就成了那些掌握了这种权力的人敛财和加强势力的一种手段。这 些做法最终腐蚀了教会本身,于是人们又不时地向这种邪恶行为宣 战。而在教士禁欲的问题上,效果却不那么明显。这个问题在道德方 面从来没有得到最终解决。无论是东正教还是西方后来改良后的宗 教,都从未认为禁欲在道德上有多少价值。另外,伊斯兰教甚至对禁 欲问题大加抨击。但同时,从政治角度出发,当时的种种变革并不是 所有的根据都那么合理。如果教士结了婚,特别是当其中还有保留财 产的经济动机时,他们就有可能发展为一个世袭的阶层。另外,教士 应该与其他人有所区别,禁欲就宣扬了这种区别。 修道院改革的中心是创建于公元910年的克律尼修道院,一项新的 组织原则就是在这里首次得到了实施。修道院只直接对教皇负责,院 长又对克律尼所属的机构行使权力。新体制致力于防止走向奢靡和禁 欲两个极端。紧随其后的其他改革者建起了新的修士会:卡玛勒多兹 修士会创建于1012年,卡尔图斯修士会创建于1084年,而奉行本笃教 规的西多修士会则建于1098年。 ◎ 被逐出教门的亨利四世,正请求女修道院院长玛蒂尔达进行调解。 对于教廷本身,改革主要是皇帝与教皇争夺最高权力的结果。为 了改革教廷,格里高利六世从前任本笃九世手中买下了教皇职位。然 而皇帝亨利三世(1039~1056)虽然也是一位年轻而充满干劲的改革 者,却不赞成这一交易,不管格里高利的动机有多么值得称道。1046 年,22岁的亨利突然来到罗马,废黜了格里高利。从此,亨利在任命 历届教皇时始终非常小心谨慎,如果他们有负期望,就会被免职。在 亨利四世(1056~1106年在位)年幼的时候,教廷再次恢复了某种程 度的独立。教皇尼古拉二世通过了一项教令,让红衣主教掌握教廷的 实际选举权,而将皇帝排斥出局。同时,尼古拉也加强了对大主教的 控制。1059年,他派彼得·达米安(一位卡玛勒多兹学者)前往米 兰,以示教廷的权威,并支持当地的改革运动。达米安提出了一种有 趣的学说,即上帝不受矛盾律的约束,并且能够做到“从头再来”。 这个观点后来遭到了阿奎那的抵制。达米安认为哲学是神学的婢女, 他还反对辩证法,认为上帝应该能够推翻矛盾律,其中的暗示就带来 了万能概念上的麻烦。例如,如果说上帝是万能的,他就不能造出一 块连自己也搬不动的石头;但他又应该能,如果他真是万能的话。因 此,他似乎既能,又不能。“万能”最后成了一个不可能的概念,除 非人们放弃矛盾律。但放弃矛盾律又会使论证无法进行下去。正是由 于这个原因,达米安的理论才必然遭到了反对。 尼古拉二世继承人的选举问题,加剧了教皇与皇帝之间的冲突, 形势变得对红衣主教有利起来。1073年,希尔得布兰得被选为新教 皇,称格里高利七世。他在任职期间,与皇帝在授职问题上发生了严 重的冲突,这个问题后来持续了几百年之久。把戒指和权杖(职位的 象征)授与一位新主教,历来都是由世俗统治者来做的,为了巩固教 廷权威,格里高利掌握了这项权力。1075年,当皇帝任命一位新的米 兰大主教时,矛盾到了白热化的地步。教皇威胁说要将皇帝废黜并开 除其教籍,皇帝则宣称自己拥有最高权力,并决定废黜教皇。作为报 复,格里高利宣布皇帝和主教已被废黜,并开除了他们的教籍。起初 是教皇占了上风,1077年,亨利四世来到卡诺萨以苦行赎罪,但是, 这只是他走的一步政治棋。虽然他的教皇已经选出了一个取代他的对 手,但亨利及时地战胜了他的反对派,当1080年格里高利最终宣布支 持鲁道夫称帝时,为时已晚了。1084年,亨利带着自己挑选的一个伪 教皇进入罗马,并举行了加冕大典。格里高利虽然在西西里诺曼底人 的帮助下,迫使亨利及其伪教皇仓皇逃离,但他自己也成了其保护者 的阶下囚,并于次年死去。 尽管格里高利自己未能成功,但他的策略在后来还是有效的。不 久,坎特伯雷大主教安瑟伦(1093~1109)等人和格里高利一样,也 和世俗权威发生了争执。安瑟伦因发明了有关上帝存在的本体论,而 在哲学史上占有重要地位。作为思维最大的可能对象,上帝不可能不 存在,否则他就不会是最大的思维对象。实际上,这里的错误在于 “存在是一种品质(属性)”的观点。但许多哲学家却从此抓住这一 争论不放。 当西方世界被皈依了基督教的蛮族蹂躏的时候,东罗马帝国逐渐 遭到了伊斯兰教徒的践踏。尽管伊斯兰教徒并没有决意改变被征服民 族的宗教信仰,但他们却允许对那些加入了伊斯兰教的人免征贡税。 这个优惠政策也让绝大多数人从中获益。穆罕默德的纪元要从海格拉 算起,公元622年,他从麦加逃到麦地那。 公元632年他去世后,阿拉伯人的扩张在短短一个世纪里就改变了 世界。叙利亚、埃及、印度、迦太基、西班牙,分别于公元634~公元 636年、公元642年、公元664年、公元697年、公元711~公元712年陷 落。公元732年的图尔战役使局势发生了逆转,阿拉伯人退到了西班 牙。君士坦丁堡于公元669年和公元716~公元717年两次被围。拜占廷 帝国在日益缩水的领土上维持着,直到1453年奥斯曼帝国的土耳其人 攻占了该城。帝国在这一时期的普遍衰竭,助长了穆斯林活力的爆 发。 另外在许多地方,入侵者还从当地的冲突中找到了可乘之机。尤 其是叙利亚和埃及,由于不属于正统而备受磨难。 ◎ 安瑟伦 从某个角度看,先知穆罕默德所宣称的新宗教是对《旧约》中严 格的一神论的回归。他摒弃了《新约》中添加的神秘内容,和犹太人 一样禁止供奉偶像,所不同的是,他还禁止饮酒。后面这条禁令究竟 保持了多大的有效性是值得怀疑的,而前一条则与奈斯脱流斯教徒反 对崇拜圣像的态度一致。侵略扩张几乎成了一种宗教职责,尽管《圣 经》里的人民不应该受到伤害。禁令也影响了基督教徒、犹太教徒和 拜火教徒,他们各自遵守着自己神圣经文里的教义。 一开始,阿拉伯人并没有制定系统的征服计划。他们生活在干旱 贫瘠的土地上,习惯了越境掳掠。但由于没有遇到强有力的抵抗,袭 击者就成了征服者。在很多情况下,这些新主人并没有触及和改变原 有的管理模式。阿拉伯帝国的统治者是哈里发,他们是先知的继任 者,也是其权力的继承人。虽然最初的哈里发们由选举产生,但没多 久就变成了乌玛亚德统治下的王朝。这一统治家族遵循先知的教谕, 反对狂热,这么做并非出于宗教原因,而是出于政治上的考虑。总 之,阿拉伯人扩张的宗教因素并不是很多,他们的动机(正如最初一 样)只是为了夺取物质。正是由于不狂热,所以他们尽管人数不占优 势,却能够统治广大的地区,那里居住着信仰各异、更文明的人们。 但是在波斯,先知的教谕却根植于昔日的宗教和思辨传统已有充分发 展的土地上。公元661年,穆罕默德的女婿阿利死后,伊斯兰教分裂为 逊尼派和什叶派。后者是少数派,忠于阿利,不允许来自乌玛亚德家 族的人加入该派。波斯人就属于这个少数派,也许正是通过他们的影 响,乌玛亚德王朝才被阿拔西人推翻并取代,首都也从大马士革迁到 了巴格达。新王朝的政策给了伊斯兰狂热教派更多的自由。不过他们 失去了西班牙,从家族覆没中幸存下来的一个乌玛亚德人在科尔多瓦 建立了一个独立的哈里发政权。在阿拔西王朝统治期间,哈伦·阿尔 ·拉细德使帝国出现了辉煌的局面。拉细德是查理曼的同时代人,因 其在《天方夜谭》中出现而闻名于世。由于大量使用土耳其雇佣军, 他于公元809年去世后,帝国开始深受其害,就像当初罗马人招募蛮族 兵士一样。阿拔西王朝的哈里发政权衰落了,并于1256年随着蒙古人 对巴格达的洗劫而覆灭。 穆斯林文化的源头在叙利亚,但不久其中心就转移到了波斯和西 班牙。在叙利亚,阿拉伯人继承了奈斯脱流斯教派所推崇的亚里士多 德传统,而当时的新柏拉图主义者则坚持正统的天主教,但是亚里士 多德的理论与新柏拉图学说的糅和造成了许多混乱。在波斯,穆斯林 逐渐掌握了印度的数学,并且引进了阿拉伯数字(实际上应该称之为 印度数字)。尽管有13世纪的蒙古人入侵,波斯文明还是孕育了菲尔 杜锡这样的诗人,并且保持了其艺术高水准。阿拉伯人是通过奈斯脱 流斯传统,才开始接触希腊知识的。这些传统在更早的时期,公元即 481年拜占廷皇帝芝诺关闭埃德撒学院之后,就已经传到脱流斯。穆斯 林思想家们从这两个来源中学习了亚里士多德的逻辑学和哲学以及古 代的科学遗产。 ◎ 穆斯林世界的扩张 波斯最伟大的伊斯兰哲学家是阿维森纳(公元980~公元1037 年)。他出生在波卡拉省,后来在伊斯巴罕讲授哲学和医学,最后定 居于德黑兰。由于持非正统观点,他遭到了神学家们的敌视。他的著 作被翻译成拉丁文,在西方世界产生了不小的影响。他主要关心的一 个哲学问题就是长期争论不休的共相问题,这一问题后来还成了经院 哲学的中心问题。阿维森纳的解决办法就是试图把柏拉图与亚里士多 德调和起来。他最早提出“形式”的普遍性产生于思维,阿威罗伊及 后来的阿勒贝尔图斯·马革努斯(阿奎那的老师)也提出过这一亚里 士多德式的观点。但阿维森纳对其观点作了进一步限定。共相同时存 在于万物之前、万物之中和万物之后。当上帝按某种模式创造万物 时,它已存在于上帝心中,即万物之前;当万物属于外部世界时,它 存在于万物之中;当人们通过经验来辨别模式时,它存在于人的思维 之中,即万物之后。 西班牙也孕育出一位杰出的伊斯兰哲学家,他就是阿威罗伊 (1126~1198)。他出身于科尔多瓦一个民事法官家庭。除了其他知 识,他还学过法律,曾任塞维利亚的民事法官,后来又在科尔多瓦任 职。1184年,他当了一名宫廷医生,但最终由于坚持哲学观点、不满 足于自己的信仰而被流放到摩洛哥。他的主要贡献就是把亚里士多德 研究从新柏拉图主义的扭曲中解放了出来。就像后来的阿奎那一样, 他认为只能在理性的基础上去证明上帝的存在。关于灵魂,他坚持亚 里士多德的观点,认为灵魂并非不朽,尽管“奴斯(即理性、智 慧)”是不朽的。由于这种抽象的理性和智力是一元的,其存在并不 意味着个人的不朽,基督教哲学家们自然不肯接受这些观点。通过拉 丁文译本,阿威罗伊不仅影响了经院哲学,而且也受到了后来被称为 “阿威罗伊派”的自由思想家们的普遍推崇,这些人也反对灵魂不朽 的说法。 在格里高利七世去世的时候(1085年),他的政策似乎已经从教 廷手中夺回了他在帝国事务中的权力和影响。但结果说明,世俗势力 与宗教势力之间的斗争远没有结束。事实上,教廷还没有达到其政治 生涯的巅峰。同时,由于有了伦巴底各个新兴城市的支持,教皇在宗 教事务方面的权威得到了提高,十字军则最先增强了他的威信。 教皇乌尔班二世(1088~1099)重新挑起了授职问题的争端,因 为他再次夺取了这项权力。1093年,康拉德起来反对其父皇亨利四 世,他寻求并得到了乌尔班的支持。北方各城倾向于支持教皇,于是 整个伦巴底被轻易地征服了。法兰西国王腓力普也于1094年被招了 安。这样一来,乌尔班就可以作一次穿越伦巴底和法兰西的胜利巡游 了。在第二年的克雷尔蒙会议上,他煽动了第一次十字军东征。乌尔 班的继任者巴沙尔二世成功地延续了由教廷授职的政策,一直到亨利 四世去世(1106年)。而新皇帝亨利五世至少在日耳曼土地上占有优 势。教皇建议皇帝不要干预授职,并以教士们放弃世俗财产权作为交 换条件。但是教士们对世俗世界的感情要比这个虚伪提议所设想的坚 定得多。因此,建议的条款一公布,日耳曼的教士们便惊呼大祸难临 头了。当时亨利五世正在罗马,他威逼教皇屈服,并为自己举行了皇 帝加冕大典。但他的胜利是暂时的,11年后,也就是1122年,教皇喀 列克斯图斯二世根据沃尔姆斯宗教协定,重新取得了授职权。 ◎ 阿威罗伊 在皇帝弗里德里希·巴巴罗撒统治期间,斗争进入了新的阶段。 1154年,英格兰人哈德里安四世当选为教皇。最初,教皇和皇帝联合 起来对付公然藐视他们的罗马城。罗马人在布累斯齐亚的阿诺德的领 导下,开展了独立运动。阿诺德是一位勇敢的异端分子,他激烈地抨 击了教士们世俗的荣华富贵。他坚持认为,教会人士如果拥有世俗财 富,就不能进天堂。教会的“王侯们”自然不会接受这一观点,阿诺 德也因其“异端邪说”而受到了激烈的攻击。其实早在前任教皇时 期,这些麻烦就已经开始了,只不过在哈德里安当选教皇后才达到了 白热化地步。哈德里安以内乱为由惩罚了罗马人,他下令剥夺了他们 的教权。结果,罗马人的独立精神瓦解了,同意流放他们的异端领 袖。阿诺德躲了起来,但后来落到了巴巴罗撒军队手中,并被立即烧 死。1155年,皇帝加冕登基,自然又对在现场示威的群众进行了一番 血腥镇压。但是,两年之后,教皇与皇帝决裂了,接下来就是两股势 力长达20年的战争。与其说伦巴底联盟是为教皇而战,不如说是为了 反对皇帝。战争局面变化莫测。1162年,米兰被彻底摧毁。同一年晚 些时候,巴巴罗撒和他的伪教皇遇到了一场灾难,在他们向罗马进军 的途中,军队由于瘟疫而严重减员。1176年,巴巴罗撒在雷格纳诺战 役中被打败,他瓦解教皇权力的最后一次企图终于落空了。双方达成 了一个并不可靠的和约。皇帝参加了第三次十字军东征,1190年死于 安那托利亚。 ◎ 哈德里安四世,惟一的英格兰人教皇。 教会与帝国之间的频繁斗争,最终导致两败俱伤。北部意大利的 一些城邦开始发展成新的势力。只要他们的独立受到皇帝的威胁,他 们就转而支持教皇;当这种威胁消失了的时候,他们就根据自身的利 益发展出一种有别于教会的世俗文化。虽然在名义上还是信仰基督 教,但他们却提出了一种十分自由的观点,这一点很像17世纪以后新 教组织的倾向。在十字军东征期间,北部意大利的沿海城市作为舰船 和给养的供给地,重要性日益明显。宗教狂热也许曾是十字军运动的 原动力之一,但在当时起作用的还有强烈的经济动机。东方提供了掠 夺财富的希望,而且这种希望还能以道德与神圣的名义去实现。而近 在眼前的欧洲犹太人则成了他们发泄宗教义愤的最方便的对象。起 初,基督教骑士们并没有明显意识到,自己是在穆斯林世界里,与一 种比自身文化更优越的文化发生对抗。 作为一种运动,经院哲学以“结论先于事件”而区别于古典哲 学。它必须在正统轨道内发挥作用。经院哲学最高的古代典范是亚里 士多德,他的影响逐渐取代了柏拉图。在方法上,经院哲学遵循亚里 士多德的分类法,运用了辩证的论证,却忽视了事实。其中最重要的 问题之一就是共相问题,这个问题将哲学世界分成了两个对立的阵 营。实在论者从柏拉图的观点及其理念论出发,主张共相就是万物; 唯名论者正相反,他们借助亚里士多德的权威,坚持认为共相只不过 是一些名称。 通常,经院哲学从罗瑟林算起,他是一位法兰西教士,还是阿伯 拉尔的老师,其生平不详。他的哲学思想主要记载于安瑟伦和阿伯拉 尔的著作中。罗瑟林是一位唯名论者,按照安瑟伦的说法,罗瑟林认 为共相仅仅是声音的轻微流动。他不仅否定了共相的实在性,而且还 进一步否定了“共相高于个别”的观点,这一观点必然导致一种呆板 的逻辑性原子论。该理论与三位一体观点一联系,很自然地产生了异 端的观点,1092年,他被迫在莱姆斯宣布放弃这些观点。 阿伯拉尔生于1079年,是一位更重要的思想家。他在巴黎求学和 讲学,曾一度研究过神学,但在1113年又重返教坛。在这一时期,他 和厄罗伊斯谈起了恋爱,没想到却激怒了女友的叔父坎农·福勒伯 特。坎农阉割了这位莽撞的情人,并把两个人分别送进了教士收容 所。阿伯拉尔活到了1142年,并继续以教书而获得了巨大的声誉。他 是一位唯名论者,但比罗瑟林更为明确地指出,我们判断某个词的属 性时,所根据的并不是它的存在,而是它是否具有意义。共相的确产 生了事物间的类似性,而类似性本身并不像唯实论者错误设想的那 样,也是某一事物。 13世纪,经院哲学运动达到了顶峰,教皇与皇帝之间的斗争也同 样达到了顶峰。在很多方面,这一时期都可以算欧洲中世纪的高潮。 在后来的世纪里,即从15世纪意大利的文艺复兴到17世纪科学与哲学 的再次兴起,各种新势力纷纷登台。 从政治上说,最伟大的教皇是英诺森三世(1198~1216),在他 的治理下,教廷的权威达到了后无来者的高度。巴巴罗撒的儿子亨利 六世已经征服了西西里,并娶了该岛罗曼王室的后裔康斯坦斯女王为 妻。亨利死于1197年,其子弗里德里希继位时才两岁。教皇英诺森三 世就职后,小皇帝被母后置于教皇的监护之下。教皇表示尊重弗里德 里希的权力。作为回报,皇帝也承认教皇的地位至高无上。教皇获得 了大多数欧洲统治者类似的承认。但是在第四次十字军东征中,教皇 的计划却毁在了威尼斯人手里,威尼斯人为了实现自己的目的而强迫 教皇攻取君士坦丁堡。不过,他对阿勒比占西斯派采取的冒险行动却 大获全胜。在这次行动中,法兰西南部的异教被彻底摧毁和清除。在 德意志,皇帝奥托被废黜,弗里德里希二世此时已经完全长大成人, 于是被选中继位。这样一来,英诺森三世就真正地控制了皇帝和各地 王侯。在教会内部,罗马教廷获得了更大的权力。然而从另一个角度 看,教廷在世俗方面的成功恰恰预示了它的没落。因为教廷对现世的 控制越牢固,它在来世问题上的权威就越小,正是这种情形后来导致 了宗教改革。 ◎ 教皇英诺森三世,教皇至上的倡导者。 弗里德里希二世虽然在教廷的支持下被选中继位,但也付出了承 认教皇地位至高无上的代价。除非迫不得已,年轻的皇帝是不愿意信 守这些承诺的。这位年轻的西西里人有着日耳曼及诺曼血统,在他成 长的社会里,正在形成一种新的文化。穆斯林、拜占廷、日耳曼和意 大利的影响在此汇聚,并产生了一种现代文明,这一文明为意大利文 艺复兴注入了原动力。由于深受这些传统的影响,弗里德里希才能够 赢得东西方同样的推崇。他的观点远远超越了他所处的时代,他的政 治改革也颇具现代色彩。同时,他还喜欢独立思考,做事雷厉风行。 其强有力的建设性政策使他获得了“人间奇才”的盛名。 英诺森三世和日耳曼前皇帝奥托(败给了弗里德里希)在两年内 先后去世。霍诺留斯三世继承了教皇一职,年轻的皇帝很快就和他闹 僵了。熟悉阿拉伯文化的弗里德里希不同意进行十字军东征。另外, 伦巴底也出现了麻烦,因为日耳曼文化在那里普遍不受欢迎,而教皇 却得到了伦巴底各个城市的支持,这就进一步加剧了皇帝与教皇的冲 突。1227年,霍诺留斯三世去世,格里高利九世继任后立刻开除了弗 里德里希的教籍,理由是后者没有进行十字军东征。然而皇帝并没有 对此感到惶恐不安,因为他已经娶了耶路撒冷诺曼王的女儿为妻。 1228年,他前往巴勒斯坦。他虽然被逐出了教会,但却在那里通过协 商,解决了与穆斯林之间的问题。耶路撒冷的战略价值虽然不大,但 基督教徒却对它有着很深的宗教依恋感。于是圣城便按条约的规定交 了出来,弗里德里希被加冕为耶路撒冷之王。 按照教皇的想法,这种解决纠纷的方式实在太理性了,但是在成 功面前,他又不得不于1230年同皇帝讲和。随后就进入了一改革时 期,其间西西里王国有了一套现代管理模式和一部新法典。国内所有 关税壁垒的取消刺激了商贸的发展,那不勒斯大学的建立推动了教育 的进步。1237年,伦巴底再次出现了敌对情绪,于是弗里德里希又忙 于和历任教皇进行持久战,直到1250年去世。斗争的残酷性掩盖了他 早期开明时代的光辉。 ◎ 皇帝弗里德里希二世,西西里一个现代国家的缔造者。 对异教的清除进行得很投入,尽管并不是完全成功。阿勒比占西 斯派(法兰西南部的一个摩尼教派)的确在1209年被十字军全部清除 了,但其他的异教运动仍然存在着。1233年创立的宗教裁判所从未彻 底消灭过西班牙和葡萄牙的犹太教徒。12世纪后期,瓦勒都教派掀起 了一场运动,这预示了宗教的改革。该派在彼得·瓦勒都的率领下, 从里昂流亡到了阿尔卑斯山的丕德蒙特河谷,该河谷位于都灵的西 面。他们在那里作为新教徒和讲法语的社团一直存在到了今天。从这 类事件中,人们也许会认为后世的人已经懂得,采取政治迫害的手段 是不可能轻易扼杀思想的,但是历史却似乎表明,这类教训并没有被 人吸取。 ◎ 阿勒贝尔图斯·马革努斯,当时最重要的亚里士多德派哲学家,正给阿奎那授课。 13世纪的宗教尽管处于极有影响的地位,但也不是高不可及的。 即使在纯教会领域,如果现有的教会未能与其创立者的宗旨保持基本 一致,那么它的内部就会产生两个修士会。刚开始,它们还起到了一 些平衡作用,早期的多米尼克修士会和弗兰西斯修士会都遵循创立者 圣·多米尼克(1170~1221)和圣·弗兰西斯(阿西西人,1181~ 1226)的戒律。这些修士会最初都坚持托钵化缘,但安于清贫的誓约 却并没有束缚他们多久。多米尼克和弗兰西斯这两个修士会都以处理 宗教裁判所的事务而著称,所幸的是,宗教裁判所从来没有传到英格 兰和斯堪的纳维亚。也许曾经有人一度认为,尘世间的暂时苦痛能够 拯救灵魂,使其免受永恒的诅咒,因此宗教裁判所施加的酷刑正是为 受刑者的未来着想。然而毫无疑问,实用方面的考虑往往也增强了法 官们的虚伪。于是英格兰人眼睁睁地看着圣女贞德被酷刑处死,却不 敢提出任何反对意见。而多米尼克和弗兰西斯修士会却背离了其创立 者的初衷,逐渐致力于追求学问。阿勒贝尔图斯·马革努斯及其学生 阿奎那属于多米尼克修士会,而罗吉尔·培根、邓斯·司各脱和奥卡 姆·威廉则是弗兰西斯修士会的成员。他们对当时的文化所作的真正 有价值的贡献是在哲学方面。 如果说教士们主要是从新柏拉图主义的源泉中找到了自己的哲学 灵感,那么13世纪他们则目睹了亚里士多德思想的胜利。托马斯·阿 奎那(1225~1274)试图在亚里士多德哲学的基础上建立天主教教 义。运用纯粹的哲学方法,究竟能使这一事业取得多大程度的成功, 这确实是令人怀疑的。首先,亚里士多德的神学与基督教认可的上帝 概念是完全不同的。但毫无疑问,作为教会内部的一种哲学影响,托 马斯的亚里士多德主义得到了完整而持久的坚持。托马斯主义成了罗 马教会的官方教义,并按原样在教会所有的学校里讲授。除了辩证唯 物主义(马克思主义的官方学说),今天已经没有任何其他哲学能够 享有如此显赫的地位和强大的后盾了。诚然,托马斯的哲学也并不是 在他的时代一下子就达到了这种特权地位的。但随着他的权威日益牢 固,哲学的主流再一次走进了世俗道路,并恢复了独立精神,这种精 神渗透了整个古代哲学。 托马斯来自离蒙特卡西诺不远的阿奎那村的一个伯爵家庭,并在 那里开始了他的探索。他在那不勒斯大学呆了六年之后,于1244年加 入了多米尼克修士会,并在科隆的阿勒贝尔图斯·马革努斯门下继续 研究,马革努斯是当时一流的多米尼克教士会教师和亚里士多德派学 者。在科隆和巴黎住了一段时间之后,托马斯于1259年回到了意大 利,并在其后的五年里埋头撰写《异教徒驳议辑要》,这是他最重要 的著作。 1266年,他开始写作他的另一部主要著作《神学纲要》。在这期 间,他还为亚里士多德的许多作品撰写了评注,他的朋友威廉为他提 供了直接来自希腊原著的译本。1269年,他再次动身去了巴黎,并在 那里住了三年。当时的巴黎大学对多米尼克教士会的亚里士多德学说 怀有敌意,因为后者含有与当地阿威罗伊派的某种联系。关于灵魂的 不朽,前面说过,阿威罗伊派的观点更接近于亚里士多德派,而不是 基督教义。这对亚里士多德派来说是十分危险的,于是托马斯绞尽脑 汁把阿威罗伊的观点逐出了自己的领域。他在这一方向上的努力是十 分成功的,这一胜利也为基督教神学拯救了亚里士多德,尽管这意味 着托马斯要舍弃自己的部分原文。1272年,托马斯回到了意大利,两 年后在前往里昂出席会议的途中去世。 ◎ 托马斯·阿奎那,教会官方哲学的创始人。 托马斯的哲学体系很快就获得了承认。1309年,它被宣布为多米 尼克修士会的官方教义,1323年又被确定为经典。也许托马斯体系的 哲学意义并不像其历史影响那么重要,基督教义事先就毫不客气地把 结论强加给了这一体系,这一事实损害了它的哲学意义。苏格拉底和 柏拉图允许论证不受约束地进行,但是在这里,我们却看不到这种公 正和超然了。但在另一方面,伟大的《神学纲要》体系却是脑力劳动 的丰碑,对立的观点被阐述得清晰而完整。在对亚里士多德著作的评 注中,托马斯表现得仿佛是这位斯塔基拉人聪明的学生。这一点是他 所有的前辈,包括他的老师,都不可能做到的。他那个时代的人们称 他为“天使博士”。对罗马教会而言,他是一位真正的使者和导师。 早期新柏拉图主义神学家把理性与启示的二元论排斥在了体系之 外。而托马斯主义则提出了与之对立的学说。在存在领域,新柏拉图 主义有一种二元论,如共相与个别。更确切地说,他们可能有一种表 示存在级别的等级,这种等级开始于“太一”,并通过理念下达到个 别,即最低的存在级别。而逻各斯就是共相与个别之间鸿沟的桥梁。 用更现实的话来说,逻各斯完全是一种可以感知的观点,因为语词虽 然具有普遍含义,但也可以用来特指个别事物。除了这种存在二元 论,我们还有一种认识一元论,即智力或理性具有一种本质上属于辩 证的认识方式。托马斯的立场正好相反。在此,按照亚里士多德的方 式,存在只有在个体中才能看到,并由此推导出上帝的存在。在个体 被看成原材料的限度上,这一观点是经验主义的,它与试图演绎出个 体的理性主义形成了对比。另一方面,托马斯主义者虽然坚持存在一 元论,却又发明了一种认识领域的二元论。它假设了两种知识来源。 首先,正如前面所说,我们有理性,理性从感知经验中,为我们的思 维提供食粮。经院哲学有一个著名的原则,就是如果理性在感知经验 里不是第一位的,那么这种理性里就一无所有。此外,启示也是知识 的一个独立来源。在理性产生理性知识的地方,启示则赋予人信仰。 有些东西看上去完全超出了理性的范围,如果它们还能够被掌握的 话,那么就必须借助于启示。宗教教义的一些具体观点,如超出理解 范围的信仰条款,就属于这一类。比如上帝“三位一体”的本质,复 活以及基督教研究死亡、末日审判、天堂、地狱等的“末世学”。上 帝的存在虽然可以通过启示为人所接受,但也可以建立在辩证的理性 基础之上。为了达到这一目的,人们做出了种种努力,以求证明这一 命题。因此,在宗教准则经得起理性论证的范围内,我们就能与非信 仰者进行辩论。至于其他方面,启示则是通向大彻大悟的惟一途径。 总之,实际上托马斯主义并没有完全站在同一立足点上来论述这两种 认识来源。似乎在能够探询理性知识之前,人们就必须先有信仰,也 就是说,人们必须先相信,再推理。因为虽然理性真理都是自主的, 但要探求它们,则全靠启示(启示赋予人们信仰)。这种说法还是具 有某种危险性的,因为通过启示获得的真理具有很大的随意性。尽管 托马斯认为理性与启示之间、哲学与神学之间都没有任何对立,但在 事实上,其中一方总是在暗中损害和削弱另一方。在理性能够应付的 地方,启示就是多余的,反之亦然。 ◎ 设计论证:秩序隐含着设计者,因此上帝便存在着。 我们必须记住,神学实际上可分为两类。一是所谓的自然神学, 它通过分析造物主、第一推动力之类的话题来论述上帝。这也就是亚 里士多德所说的神学,它可以归于形而上学。但作为基督徒,托马斯 还提出了教条神学,它所涉及的问题只能通过启示来把握。在这个问 题上,托马斯求助于早期的基督教作家们,主要是奥古斯丁。总的看 来,他似乎认同奥古斯丁的“感恩祷告”及“灵魂获救”观点,这些 问题的确是不能以理性的方式来理解的。教条神学与古代哲学精神自 然是完全不相容的,在亚里士多德那里,我们看不到一点这样的因 素。 托马斯的形而上学正是因为其神学因素,才在某个重要方面超越 了亚里士多德。我们可以回顾一下,亚里士多德的上帝是一位超然的 建筑师,他并不认为必须把存在赋予个别事物,有些个别事物本来就 存在着,其构成原料也是如此,而另一方面,对托马斯来说,上帝是 一切存在的根源,他认为一个有限事物只有存在的可能性,并没有逻 辑上的必然性,其存在与否直接或间接取决于某个必然存在物,也就 是上帝。在经院哲学的语言里,这是用本质和存在的术语来表达的。 某物的本质大体上是指它的一种性质,或者说该物是什么;而存在术 语则用来表示某物存在的事实,该物正是借助于它而存在的,从两者 都不是独立的这个意义上看,本质和存在这两个术语确实都是抽象 的。一个具体事物总是同时兼有本质和存在的。但一些语言事实却使 人觉得这里面还有某种差异。当弗雷格对含义和所指对象进行区分 时,准确地暗示了这一点。一个词的含义是一回事,是否真的有与之 适应的对象则是另一回事。因此有限物就具有可以区分的存在和本 质,尽管不是什么可以分割的特征。只有在上帝的本质和存在之间才 没有客观上的区别,在这里,关于有限存在的存在依赖性的形而上学 理论,产生了《神学纲要》中论证上帝存在的五项证明中的第三项。 从日常经验的事实中入手,万物的自生自灭说明它们的存在并不是必 要的(单就这一意义而言),于是我们就可以进而论证说,这类事物 实际上在某个时刻并不存在。但这样一来,又会出现一个不存在任何 事物的时间,那么现在就可能什么也没有,因为有限物是不可能把自 己的存在授予自己的。所以必须有一些必然存在的东西,即上帝。 也许有必要对这一论证稍加评注。首先,它理所当然地认为,任 何事物的存在都必须得到证明或解释。这是托马斯主义者形而上学的 一个基点。如果不坚持这一观点(亚里士多德实际上就没有这样 做),那么论证就无法进行下去。但如果为了讨论而事先承认前提, 那么论证就会由于这一内在缺陷而失去说服力。从有限物有时并不存 在的事实中,我们并不能推导出有一个不存在任何事物的时间。 托马斯借助亚里士多德的潜在性及现实性理论,巩固了本质和存 在术语。本质完全是潜在的,而存在则是现实的,因此有限物中总是 包含了本质和存在的一种混合物。要存在,就必须参与某种活动,对 任何有限物来说,这种活动必须来自别的什么东西。 实际上,关于上帝存在的前两项证明是与亚里士多德派相符的。 托马斯的论点是,有一种本身不被推动的推动力和一个没有起因的原 因。在任何情况下他都认为,推动力和原因的无限循环是不可接受 的。但这简直就等于推翻了论证的前提。以第二项论证为例,假如每 个原因本身还有一个更深的原因,那我们就不能同时说,有一个没有 起因的原因。这完全是矛盾的。然而应该提到的是,托马斯论述的并 不是时间上的因果链,而是一个有关原因序列的问题。这里所说的原 因序列是指一个原因取决于另一个原因,这很像悬挂在天花板钩子上 的一根由链条组成的链环。天花板就是最初的原因,或者说是没有起 因的原因,因为它并不是挂在任何别的东西上的一个链环扣。只要循 环不导致矛盾,我们就没有充分的理由来否定循环。大于0而小于且等 于1的有理数序列是无限的,它没有初始数字。拿运动来说,循环问题 甚至都不必产生。相互围绕旋转的两团有重力的粒子,如太阳和行 星,将继续这样无限地运动下去。 关于上帝存在的第四项证明,是从承认有限物的种种完善程度开 始的,也就是说,事先设定存在着某种十全十美的事物。第五项论证 指出,自然界的非生命体似乎要顾及某个目的,即让世界充满某种秩 序。这种观点是说一个外在智力的目的要如此来获得满足,因为非生 命体不可能具有自己的目的,该论证被称为目的论证或设计论证。它 假设必须对秩序加以解释,这样的假设当然是没有逻辑根据的,因为 我们同样也可以说,无序也需要解释,那么论证也就走上了歧途。托 马斯否定了圣·安瑟伦的本体论,但奇怪的是,他并不是从逻辑上否 定,而是从实用角度否定它。既然被创造的(因此也是有限的)心灵 不能理解上帝的本质,那么上帝的存在(隐含于本质)实际上就永远 也不可能这样推导出来。 新柏拉图主义的上帝似乎与世界一样广阔而悠久,而托马斯的上 帝则是一种处于被创造世界之上的无形的天父,并且具有无限多的、 一切肯定性质。这一点是从上帝存在的空洞事实中推出来的,尽管我 们否定这一问题的答案。托马斯认为,有限的心灵不能做出肯定的定 义。 ◎ 罗吉尔·培根 正是由于托马斯的描述和改编,亚里士多德学说才能主导文艺复 兴前的哲学界。但是在文艺复兴时期遭到拒绝的也并不全是亚里士多 德和托马斯的教导,更多的只是某些愚昧的形而上学思辨习惯。罗吉 尔·培根反对的就是这种形而上学思辨,他强调了经验研究的重要 性。培根是一位弗兰西斯派学者,由于他们的影响,中世纪的思维方 式开始瓦解。培根与托马斯是同时代人,但他从未反对过神学。在为 后来的研究路线奠定基础时,他也无意去破坏教会在宗教事务中的权 威。事实上,13世纪后期和14世纪初期的弗兰西斯派思想家也大多如 此,不过,他们对信仰与理性问题的态度和观点,却加快了中世纪的 崩溃。 前面说过,托马斯主义认为理性与启示可以重叠。弗兰西斯派学 者们重新研究了这一问题,并寻求两者之间更准确的定义。通过对智 慧领域和信仰领域的明确划分,他们试图让纯粹的神学摆脱对古典哲 学的依赖。但同时,哲学也由此割断了它对神学目的的从属关系。随 着对哲学思辨的自主追求,科学研究开始了。尤其是弗兰西斯派再次 强调了鼓励数学研究的新柏拉图主义的作用。理性探索被严格排除在 信仰领域之外,这就要求科学与哲学不要再对信仰条款吹毛求疵。同 时,信仰也不得随便宣布教义,它必须让理性的科学和哲学能够坚持 己见。和以前相比,这种情形导致了更尖锐的冲突。因为,如果信仰 的执行者对某件事发号施令,却又发现事实上这是错的,那么接着他 们就得收回成命,否则就要在自己没有资格的领域进行论争。启示要 想保持自己的独立性,惟一的办法就是不加入辩证法的论争。用这种 方式,人们才能在献身于科学研究的同时,还能坚持对上帝的信仰。 托马斯主义者试图证明上帝的存在,但这种论证不仅本身没有取得成 功,而且还削弱了他们的神学地位。从宗教信仰的角度看,这意味着 理性标准根本不适用,在某种意义上,灵魂可以自由、忠诚地对待它 所喜爱的一切。 罗吉尔·培根大约生于1214年,死于1294年,不过这两个年份都 不很确切。他在牛津和巴黎求学期间,全面地掌握了所有学问分支的 渊博知识,这有点像过去的阿拉伯哲学家。他在反对托马斯主义时是 直言不讳的。托马斯在不能直接阅读原著的情况下,竟然只根据译本 写出了关于亚里士多德的权威评注,这一点似乎令他很吃惊。译文是 不可靠也不可信的,更何况,亚里士多德虽然很重要,但还有同样重 要的东西,尤其是托马斯主义者不大懂数学。要获得新知识,我们必 须依靠实验,而不是权威。培根并没有批判经院辩证法的演绎法本 身,但他坚持认为,仅仅推导结论是不够的,要使人信服,则必须经 得起实验的验证。 ◎ 阿西西的圣·弗兰西斯,弗兰西斯修士会的创始人。 这种新颖的观点自然会引起正统派的反感。1257年,培根被逐出 牛津,并流亡到巴黎。1265年,居·德·福勒克(前教廷驻英格兰使 节)当上了教皇,即克莱门特四世。教皇对这位英国学者很感兴趣, 就请他写一篇自己的哲学纲要。1268年,培根不顾弗兰西斯派的禁 令,提交了这份纲要。他的学说得到了教皇的支持,于是获准返回了 牛津。但教皇当年就去世了,这时的培根仍然没有学会圆滑的处世之 道。1277年,大规模的定罪讨伐运动发生了,培根和别的许多人都被 召去解释自己的观点。不知道是根据哪一条来认定他有罪的,总之他 坐了十五年的牢,1292年才获释,两年后他就去世了。 邓斯·司各脱(约1270~1308)对哲学的兴趣更大,我们从他的 姓氏可以看出,他是苏格兰人,也是弗兰西斯修士会成员。他是在牛 津上的学,23岁时成了牛津的一名教师。后来他到巴黎和科隆执教, 最后在科隆去世。邓斯·司各脱更为明确地指出了信仰与理性之间的 分离。一方面,理性的范围在逐渐缩小,另一方面,上帝恢复了完全 的自由和独立。涉及上帝的神学,不再是一种理性学科,而是一种为 启示所激发的有用信仰。正是凭着这种精神,邓斯拒绝接受托马斯主 义者关于上帝存在的种种论证,因为他们所依赖的是感知经验。同 样,他也拒绝接受奥古斯丁的论证,因为它们在某种程度上要借助于 神的启发。既然论证与证明属于哲学,而神学又与哲学互相排斥,因 而他就不能接受奥古斯丁的证明。另一方面,他并不反对将一种概念 性证明建立在第一个无起因存在的观点之上,这多少有点倾向于阿维 森纳。这实际上是安瑟伦本体论的一个变种。然而关于上帝的知识是 不可能通过被创造的事物来获得的,因为它们的存在只是偶然的,而 且取决于上帝的意志,实际上,万物的存在与本质是一致的。不妨回 顾一下,托马斯认为这种同一性有助于对上帝进行定义。知识源于本 质,所以它们与上帝心中的理念不同,因为我们不能认识上帝。既然 本质与存在相一致,那么使个体得以存在的东西就不可能是物质,而 必须是形式,这和托马斯的观点是相对立的。尽管邓斯认为形式是实 质性的,但也并不赞同彻底的柏拉图实在论。在个体中就可能存在这 各种各样的形式,由于它们只是在形式上有所不同,所以它们是不可 能独立存在。 ◎ 邓斯·司各脱认为意志支配着理性;柏拉图则持相反的观点。 正如上帝的意志产生了至高无上的力量一样,邓斯认为在人的灵 魂中,正是人的意志左右着人的智力,是意志的力量给了人们自由, 而智力则受其所指对象的限制。我们从这一点就可以得出结论,意志 只能把握有限的事物,因为无限物的存在是必然的,因此就取消了自 由。自由学说是符合奥古斯丁传统的,它通过弗兰西斯派的学者之 手,极大地影响了怀疑主义。假如上帝不受世界永恒法则的约束,那 么我们可以相信上帝什么,也就令人怀疑了。 一种更为激进的经验主义出现在奥卡姆·威廉的著作中。奥卡姆 是弗兰西斯派学者中最伟大的一位,他大约在1290~1300年之间的某 个时候,生于苏黎的奥坎姆。他在牛津求过学,也授过课,后来又去 了巴黎。由于他的学说不大合乎正统,1324年,他奉命去阿维农晋见 教皇。四年后,他再一次与教皇约翰二十二世发生了争执。唯灵派 (弗兰西斯修士会的一个极端教派)坚持清贫的苦行生活,曾引起教 皇的不快。教皇在形式上拥有修士会产权的协定已经实行了一段时 间,现在却被取消了,于是许多修士会成员公然蔑视教廷的权威。由 于奥卡姆、巴都阿的马西哥利欧、西塞纳的米凯尔(修士会会长)站 在反叛者一边,因此在1328年被教皇开除了教籍,所幸的是,他们逃 离了阿维农,并在慕尼黑路易皇帝的宫廷中受到了保护。 在两股力量的斗争中,教皇扶持了另一位伪皇帝,并开除了路易 的教籍。路易针锋相对,也在一次全教会议上以异端的罪名指控了教 皇。为了报答皇帝的保护,奥卡姆自愿充当了皇帝咄咄逼人的小册子 的撰稿人,对教皇口诛笔伐,猛烈抨击其插手世俗事务的行为。1338 年,路易去世,而奥卡姆仍然留在慕尼黑,直到1349年去世。 巴都阿的马西哥利欧(1270~1342)是奥卡姆的朋友和难友。他 也同样反对教皇,并且对世俗与宗教势力的组织、职能提出了十分现 代的观点。在这两方面,最终的统治权都应当属于大多数人民,全教 会议也应通过全民选举形成,只有这样的会议才有权开除人的教籍。 全教会议可以独立制定正统标准,但教会不得干预国事。虽然奥卡姆 的政治思想并不都是如此极端,但也深受马西哥利欧的影响。 ◎ 奥卡姆的剃刀,节省的原则;运用最简单的假设。 在哲学方面,奥卡姆比其他任何一位弗兰西斯派学者都更接近于 经验主义。邓斯·司各脱尽管把上帝请出了理性思维的领域,但仍保 留着一定程度的传统形而上学,而奥卡姆则全面地反对形而上学。按 照奥卡姆的观点,柏拉图、亚里士多德及其追随者所坚持的一般本体 论,是根本不能成立的。实在性隶属于个别、单一的东西,只有它们 才可能成为经验的对象,并产生直接而明确的知识。这就是说,亚里 士多德苦心经营的形而上学体系是完全多余的,它无法解释存在。我 们应该在这个意义上来解释奥卡姆的如下论断: “能简则简,繁复无 益。”这句话为另一句更有名的格言提供了基础,即“如非必要,勿 增实体”。虽然这句格言不在奥卡姆的著作里,却作为“奥卡姆剃 刀”闻名遐迩。当然,这里所说的实体是指传统形而上学中的形式和 实质之类的东西。然而那些主要对科学方法感兴趣的后世思想家们, 却对这一准则作了完全不同的曲解。当他们解释现象时,“奥卡姆剃 刀”成了一种通用的节省原则。如果简单的解释说得过去,就不必寻 求复杂的解释。当奥卡姆这样坚持存在属于个体时,他也允许在词语 的逻辑领域出现字义的普遍知识。这并非一个直接理解的问题(针对 个体),而是一个抽象的问题;另外,它也不保证这样得出的东西就 会作为某物存在。因此,奥卡姆是一位地地道道的唯名论者。在严格 的亚里士多德派意义上,逻辑必须被视为一种语言工具,它涉及的是 术语的含义。在这一点上,奥卡姆发展了11世纪早期唯名论者的观 点。事实上,鲍依修斯很早就坚决主张亚里士多德的范畴论是关于词 语的。 论述和交谈中使用的概念或术语完全是思想的产物。在没有用词 语表达它们之前,它们被称为自然的共相或符号,与此形成对照的是 约定俗成的符号。为了避免出现可笑的错误,必须仔细地将事物的陈 述和词语的陈述区分开来。当我们谈及事物时,所使用的术语就叫第 一概念;如果我们谈到的是词语,所用的术语则被称为第二概念,在 论证过程中,保证所有使用的术语具有同一的概念是至关重要的。运 用这些定义,就可以这样来表达唯名论者的观点: “共相”这个术语 属于第二概念。实在论者认为共相具有第一概念是错误的。托马斯主 义不仅赞同奥卡姆拒绝把共相概念看做事物的观点,他们还进一步同 意允许共相先于事物而存在,犹如上帝心中的理念。前面说过,这一 准则的源头要追溯到阿维森纳。然而,托马斯认为这是一个得到了理 性支持的形而上学真理,而奥卡姆则把它看做一个神学命题,因此脱 离了理性的领域。在奥卡姆眼里,神学是一个纯粹的信仰问题,上帝 的存在是不能用逻辑证明来确立的。他在这一点上比邓斯·司各脱走 得更远,他不仅拒绝了托马斯,而且拒绝了安瑟伦。他认为,不能通 过感知经验来认识上帝,也不能通过理性手段来确立有关他的任何东 西,是否相信上帝及上帝的种种属性,完全取决于我们有没有这种信 仰。有关三位一体、灵魂不朽、创世纪之类的全部教义体系同样如 此。 于是,奥卡姆在这个意义上被说成了一个怀疑论者,但如果我们 认为他是个异教徒,那就错了。通过对理性范围的限定,并使逻辑学 摆脱形而上学与神学的约束,奥卡姆为促进科学研究的复兴做了大量 工作;同时,信仰领域也向所有喜欢自由的人敞开了大门。因此,奥 卡姆学说导致了一场在许多方面回归了新柏拉图传统的怀疑主义运 动,也就不奇怪了。这一运动最有名的代表人物是爱克哈特大师 (1260~1327),他是多米尼克教派成员,其理论完全不考虑正统的 要求。在现有的教会看来,一个神秘主义者的危险性,即使不超过一 个自由思想家,也会和后者一样。1329年,艾克哈特的学说被教廷宣 布为异端。 ◎ 但丁,他的伟大诗篇总结了中世纪的观点。 中世纪最杰出的思想家也许就是但丁(1265~1321),他是中世 纪思想的集大成者。的确,他创作《神曲》的时候,中世纪已经开始 解体。那么我们就有了一个经历过全盛期的世界概观。我们可以回顾 一下托马斯时代伟大的亚里士多德派复兴以及充斥意大利城邦的派系 之争(规勒夫派与基伯林派)。但丁显然曾经读过“天使博士”托马 斯·阿奎那的著作,同样,他还熟悉当时普遍的文化活动,通晓当时 所知的希腊、罗马的古典文化。《神曲》记述了一次经过地狱、炼狱 而升入天堂的旅行,但在旅途中,作者实际上通过隐喻向我们提供了 一个中世纪思想的概要。1302年,但丁在故乡佛罗伦萨遭到了放逐。 当时的对立派系之间出现了长期的内部纷争,最后黑党规勒夫派终于 上了台。而但丁家族却是白党规勒夫派的支持者,他本人也坚持帝国 职能观点。大量的这类政治斗争和引发这些事件的近期历史,都在 《神曲》中有所表现。在本质上,但丁属于基伯林派,他尊崇皇帝弗 里德里希二世。皇帝具有广博的见识和阅历,这正是诗人心目中理想 皇帝的范例。 但丁这个名字是西方文学史上少数几个最伟大的名字之一,但这 并不是使他声名卓著的惟一头衔。首先,他把通俗的大众语言锤炼成 了一种普遍的文字工具,从而第一次确立了一种超越各地方言的标 准。在此之前,只有拉丁文曾发挥过这种作用,而现在意大利文则成 了文字表达工具。作为一种语言,意大利文至今也没有什么变化。皮 却·德拉·维格纳也许是最早用意大利文写诗的人,他是弗里德里希 二世的大臣。但丁从许多方言中吸纳了自认为最好的部分,并在自己 母语(托斯卡语)的基础上创立了现代意大利的文学语言。大约在同 一时期,通俗语言也在法兰西、日耳曼和英格兰发展起来。乔叟生活 的年代就在但丁之后不久。然而用拉丁文来进行学术研究的习惯仍然 保持了很长的时间。首次用母语写作的哲学家是笛卡尔,不过那时也 只是偶尔为之。拉丁文逐渐走向了衰落,直到19世纪初,它作为表达 思想的工具,才彻底为那些学问家所抛弃。从17世纪到20世纪,法语 充当了这种普遍交流的工具,而今天,则是英语正在取代法语。 在政治观念方面,当帝国原有的影响快要丧失殆尽之际,但丁仍 是帝国强权的斗士。法兰西和英格兰的民族国家在一天天发展壮大, 而世界帝国的观念却不怎么受人欢迎。与但丁的中世纪观念相一致的 是,这种政治重心的变化并没有引起他的特别关注。假如他能够看到 这种变化的话,那么意大利就完全有可能提早发展为一个现代化的国 家,但这并不是说,一个复杂的帝国的古老传统并没有多少可以支持 这种发展的内容,只是时机还没有成熟罢了。这一结果使得但丁的政 治理论在实际政治领域中始终没有发挥多大的作用。 对我们来说,《神曲》中那些关于古人地位的古怪问题似乎是无 关紧要的。我们当然不能仅仅因为他们不信基督教,就认为昔日伟大 的古典哲学家们应该受到永远的诅咒,特别是“智慧大师”亚里士多 德肯定是值得我们颂扬的;更何况,由于没有受洗,这些思想家当然 就不能算基督教徒。于是但丁想出了一个折中的办法。作为非基督 徒,古代哲学家们应该下地狱,我们也的确在地狱的章节中发现了他 们,不过但丁在地狱中给他们留了一个特殊的角落——凶险环境中的 一块天堂飞地。当时教条的约束力是如此的强大,以至于让人觉得如 何安置过去那些非基督教的伟大思想家都成了问题。 尽管中世纪的生活存在着恐怖与迷信,但大体上还是有序的。一 个人的身份地位取决于其出身,并且要效忠于他的封建领主。政治体 制有着恰当的划分,等级十分森严。马西哥利欧和奥卡姆批判了政治 理论领域的这一传统。宗教势力曾经是压制人们的恐怖行径的主犯, 但是,当人们一旦觉得宗教教义可有可无时,它的影响就开始减弱 了。这不会是奥卡姆的意愿,但肯定是奥卡姆学说逐渐对改革派产生 作用的结果。马丁·路德认为奥卡姆是经院派最重要的学者。不过但 丁的著作没有预示些动荡和变革,他反对教皇并不是出于任何背叛正 统的目的,而是认为教会干预了本应属于皇帝权限的事务。然而,在 但丁的时代,一位日耳曼皇帝已经不可能在意大利维持其权威了,尽 管那时的教廷势力已大为减弱。1309年,教廷移到了阿维农,从此, 教皇实际上成了法兰西国王的一件工具,教皇与皇帝之间的斗争也由 此成了法兰西与日耳曼的斗争,英格兰站在帝国一边。1308年,当卢 森堡的亨利七世成为皇帝时,帝国看起来似乎有可能再次恢复元气, 但丁也欣喜地把他当成了救世主。然而亨利的成功并不彻底,而且十 分短暂。尽管他突然袭击了意大利,并于1312年在罗马加冕称王,但 在征讨那不勒斯和佛罗伦萨时,却未能坚持到底。亨利于次年去世, 1321年,但丁在流亡拉文纳时去世。 ◎ 其他地方同样如此:天堂就是一个拾级而上的金字塔。 随着各种通俗语言的兴起,教会在科学与哲学的智力活动中丧失 了部分控制权。与此同时,世俗文学得到了很大的发展(起于意大 利,并逐渐向北蔓延)。探索范围的扩大,加上某种程度的怀疑主义 (源于信仰与理性之间的鸿沟),使得人们不再关注非现世的事物, 而是学会了尽力改善(或者多少改变一下)自己的命运。所有这些趋 向都始于14世纪上半叶。但丁未能预见到这些情况,他基本上还在缅 怀弗里德里希二世的时代。从总体上看,中世纪世界是中央集权的, 文艺复兴的种种新生力量试图摧毁中世纪社会牢固的结构。然而在我 们这个时代,由于各种不同的原因,似乎还有可能再次出现统治世界 的思想。 到14世纪,教廷势力在迅速衰落。尽管在与皇帝的斗争中,教廷 证明了自己的强大,然而要想动辄以威胁开除教籍来控制基督徒,已 经不再那么容易了。人们开始敢于独立思考关于上帝的问题,教廷已 经在道德和宗教方面失去了对思想家及学者的约束力,而国王和民众 也同样对教皇的使者征敛巨额钱财十分不满。所有这些因素正在开始 形成,尽管在世纪之交尚未发展成公开的冲突。是的,教皇鲍尼法斯 八世在“一致神圣”的训令中强调了教廷的至高无上,他的强硬甚至 超过了英诺森三世。他宣布1300年为大赦年,所有前往罗马朝圣的教 徒都将予以大赦。这不仅可以突出教皇的宗教权威,而且也是聚敛钱 财的好机会,同时也能使罗马人富起来,因为他们的生计与为朝圣者 提供临时服务紧密相关。大赦年办得如此成功,以至于后来改为50年 一次,继而又改为25年一次,以取代原定的100年一次。 无论表面上看来是多么的至高无上,鲍尼法斯八世的权力基础还 是脆弱的。作为人,他对金钱的热爱超过了做教会之王;即便是在信 仰问题上,他也不能算正统派的榜样。他在任职期间,不是和法兰西 主教们,就是和法兰西国王腓力普四世发生冲突。在这场争执中,法 兰西国王成了胜利者。1305年当选的下一任教皇是克莱门特五世,他 是法兰西人,于1309年在阿维农上任。在他的任期内,在他的纵容和 默许下,腓力普四世镇压了圣殿骑士团。这种掠夺性的做法靠的是莫 须有的异端罪名。 一般说来,从此以后教廷的争端往往是损害了自身的权威。约翰 二十二世与弗兰西斯派的分歧招致了奥卡姆的批驳。由于教皇在阿维 农而不是罗马,因此在克拉·第·李恩济的领导下,罗马出现了短暂 的分裂。起初,李恩济这位罗马公民只是反对腐败贵族,最后公然蔑 视起教皇和皇帝来,并声称罗马应该像过去一样成为宗主国。1352 年,李恩济被教皇克莱门特六世抓获,直到两年后教皇去世,他才被 释放。虽然他又重新在罗马掌了权,但几个月之后却被暴民杀害了。 由于流亡法兰西,教廷的威望大打折扣。为了弥补这一损失,格 里高利十一世于1377年回到了罗马,但他第二年就去世了。继任者乌 尔班六世(意大利人)又和法兰西大主教们发生了争执。大主教们选 举日内瓦的罗伯特(法兰西人)为他们的教皇,称之为克莱门特七 世,并重新住在阿维农。由此产生的宗教分裂一直持续到了康斯坦斯 全教会议。法兰西人拥护他们的阿维农教皇,而帝国只承认在罗马的 教皇。由于两个教皇都任命了各自的大主教,而这些主教们又都选举 了教皇的接班人,因此裂痕便到了无法弥合的地步。为了打破这一僵 局,1409年在比萨召开的全教会议决定废黜两位现有的教皇,并在会 上选出了一位新教皇。但是被废黜的教皇都不肯退位,于是就有了三 位教皇,而不是过去的两位。1414年召开的康斯坦斯全教会议终于恢 复了某些秩序。新当选的教皇被废黜,罗马的教皇被劝退,阿维农的 教皇则由于缺乏在法兰西得势的英格兰人的支持,最终解体。1417 年,全教会议任命马丁五世为教皇,这才算结束了宗教大分裂。然而 教会自身的内部改革并不成功,教皇通过反对会议运动,进一步削弱 了教廷原本可以赢得的威信。 ◎ 当康斯坦斯会议选举马丁五世为教皇时,宗教大分裂便结束了。 在英格兰,约翰·威克利夫(约1320~1384)进一步开展了对罗 马的抵制。威克利夫是约克郡人,也是牛津的学者和教师。值得一提 的是,英格兰和欧洲大陆相比,长期以来就不大顺从于罗马。征服者 威廉早就有规定,在他的疆域内,未经国王同意不得任命主教。威克 利夫是一位世俗的教士,他的纯哲学著作不如弗兰西斯派的重要。他 放弃了奥卡姆的唯名论,倾向于更接近柏拉图的某种形式的实在论。 奥卡姆赋予了上帝绝对的自由和权力,而威克利夫则认为上帝的律法 是必需的,而且这种约束对上帝本身也有效。世界不可能超越它存在 的样子,这个观点明显受到了新柏拉图学说的启示,并于17世纪在斯 宾诺莎的哲学中再次出现。威克利夫晚年渐渐开始反对教会,首先是 因为教皇和主教们沉醉于奢靡的世俗生活之中,而广大信众却十分贫 困。1376年,他在牛津的一次演说中提出了一种世俗统治的新观点, 即只有正直、正义的人才有权获得财产和权威。教士们迄今为止都未 能经受住这种考验,这就意味着他们放弃了财产,财产问题应当由国 家来决定。无论如何,财产都是弊端的根源:如果基督及其门徒原本 一无所有,那么今天的教士们也不应该拥有任何财产。有财产的教士 们自然不喜欢这样的观点,但正准备停止向教皇进贡的英国政府却很 支持。教皇格里高利十一世发现威克利夫与巴都阿的马西哥利欧有着 同样的异端见解,于是就下令审判他,但审判却为伦敦市民们所否 定。另外,牛津大学也坚持自己有服从国王的学术自由,而否定了教 皇将其教师送上法庭的权力。 ◎ 约翰·威克利夫,教会的异端分子和批判者,1381年的农民起义部分受其激发。 宗教大分裂之后,威克利夫甚至声称教皇是反基督分子。他和一 些朋友一起出版了《圣经》的英译本,并建立了一个清贫教士的世俗 修士会,会员都是为穷人服务的巡回传教士。最后,他还谴责了“化 体论”观点,后来的宗教改革领袖们也痛斥了这一观点。威克利夫在 1381年的农民起义中采取了中立,尽管他以前曾是起义的同情者。 1384年,他在路特渥尔兹去世。他生前逃脱了迫害,死后却被康斯坦 斯全教会议鞭尸泄愤,他的英格兰追随者(罗拉德派)也遭到了无情 地消灭。而在波希米亚,威克利夫的学说却启发了胡斯运动,该运动 一直持续到宗教改革。 如果我们问自己,希腊思想和中世纪思想的主要区别是什么?那 我们就完全可以说,希腊思想中缺乏原罪意识。希腊人似乎并不为遗 传下来的个人罪孽负担感到苦恼。也许他们的确注意到了现世生活是 朝不保夕的,随时可能因为神灵的心血来潮而毁灭。但他们绝不会认 为这是对过去罪孽的一种正义的报应。由此可见,希腊人心灵里没有 赎罪或灵魂获救这种观念。因此,总体上看,希腊人的伦理思想完全 不是形而上学的。在希腊化时代,尤其是随着斯多葛主义的兴起,某 种忍受苦难的特性悄然潜入了伦理学,后来又传给了早期的基督教各 派。然而说到底,希腊哲学并没有遭遇过神学问题,因而始终是彻底 世俗的。 当西方世界为基督教所控制的时候,伦理问题的形势便发生了剧 烈的变化。对基督教徒而言,今生是在为更好的来世作准备,一个人 的各种苦难是其必须经历的考验,是为了消除其原罪负担。但是,从 字面上理解,这似乎是超人才能完成的任务。为了成功地经受住考 验,人需要神的帮助,而神则可能愿意,也可能不愿意提供帮助。在 希腊人眼里,德行是对自己的奖赏,而基督徒则认为行善是因为上帝 有此要求。虽然仅靠遵循严格的德行原则并不能确保灵魂获救,但无 论如何这也是一个先决条件,其中的一些信条当然要深信不疑,这正 是神的帮助首先介入的地方。由于人必须通过对神的皈依来获得信 仰,因而就得尊重信仰的各种条款。那些连第一步都做不到的人就只 能无可救药地被诅咒了。 正是上述背景使得哲学逐渐具有了某种宗教功能。虽说信仰超越 理性,但信仰者还是可以尽量利用理性来展示其信仰,从而增强自己 抵制疑惑的意志,于是,哲学在中世纪就成了神学的婢女。只要这种 观点还盛行,基督教哲学家也就必然是教会成员。迄今为止,所有的 世俗学问都是教士们和某些大修士会成员所开办的学校(或后来的大 学)保留下来的。这些思想家所使用的有效哲学手段可以追溯到柏拉 图和亚里士多德,尤其是亚里士多德派还在13世纪占据了主导地位。 不难理解为什么亚里士多德比柏拉图更容易被基督教神学采纳。用经 院派语言来说,我们可以这样来解释这一点:在对事物的处理上,实 在论者的理论没有给神权留下丝毫发挥关键作用的余地,而唯名论却 在这方面提供了更广阔的空间。尽管犹太教与基督教的上帝并不等于 亚里士多德的神灵,但无论如何,亚里士多德学说也确实比柏拉图学 说更适合基督教方案。柏拉图的学说很容易激发出泛神论观点,正如 我们下文将介绍的那样,斯宾诺莎就是一个例子,尽管他的泛神论特 征完全是逻辑性的。只要承认理性在一定程度上支持信仰,那么哲学 与神学之间的这种融洽就会持续下去。自从14世纪的弗兰西斯派学者 否定了这种可能性,并坚持认为理性与信仰互不相干后,中世纪观念 就逐渐从舞台上消失了,神学领域不再继续使用哲学。奥卡姆使信仰 彻底摆脱了与理性探索的联系,从而使哲学回到了现世主义的老路上 去。16世纪以后,教会就不再在哲学领域占主导地位了。 ◎ 中世纪人眼中的亚里士多德 这次宗教大分裂,还使人们能够把自己的理性活动与宗教活动严 格区分开来。如果认为这是一种虚伪,那就完全错了。无论过去、现 在还是将来,总有很多人不愿让自己的实际信仰干预宗教信仰。相 反,可以十分肯定地说,只有通过这种方式,宗教才能保持独立性, 使自己免遭怀疑的袭击,因为只要神学进入了辩证法领域,就必须遵 循理性讨论的规则。 而当人们必须相信某个不符合经验探索结果的命题时,又会走进 另一个无法摆脱的困境。拿地球的年龄来说,《旧约》的估计是5750 年左右,这是正统派必须相信的数字;而另一方面,地质学家们却拿 出了种种证据,认为地球的年龄在40亿年以上。这样一来,其中的一 个信念就必须加以纠正,除非具有宗教思想的探索者打算在星期日坚 持一个观点,而在其余几天则坚持另一个观点。这里的重要意义在 于,在宗教原则与探索结果出现冲突的地方,宗教总是处于防守地 位,并且不得不改变其立场,因为从本质上看,信仰绝不应该和理性 发生冲突,既然这样的冲突在理性辩证法的领域之内,那么宗教就总 是不得不败下阵来。但是在这种情况下退却之后的宗教,却能够维持 自己独特而独立的地位。 ◎ 神圣三位一体的本质:一个持久的经院哲学问题。 经院派哲学家们在试图尽量合理地解释宗教教义时,常常显示出 他们过人的独创性和巧妙思维,这些实践的长远影响锤炼了后来中世 纪思想家们所继承的语言工具。这或许就是经院派所完成的最有价值 的工作。它的缺陷在于对经验探索不够重视,这个缺陷一直到了弗兰 西斯派学者那里,才引起了重视。在一个关注上帝和来世甚于今生的 时代,如此轻视经验探索的结果,也是很自然的。文艺复兴思想家们 再次强调了以人为中心,在这个思潮中,人的活动应该以其自身价值 而受到重视,由此,科学探索的步伐也开始以惊人的速度向前迈进。 在近三、四百年里,一种重视活动的伦理观不仅改变了西方世 界,而且也改变了世界其他地方。由于世界已经为西方的技术所征 服,所以其伦理观也随之在一定程度上产生了新的影响。

     第七章 近代哲学的兴起

     ◎ 升腾于波涛之间的维纳斯,文艺复兴的象征,也出现在大众艺术中。 中世纪观念在14世纪开始衰落,与此同时,一些新的力量逐渐产 生,并塑造了今天的现代世界。从社会角度看,随着一个强大的商人 阶级的崛起,中世纪社会的封建结构变得岌岌可危了,商人阶级与君 主联合起来反对那些为所欲为的贵族。从政治角度看,当贵族们的习 惯据点在更先进的攻击性武器面前越来越脆弱的时候,他们不可侵犯 的优势便丧失了。如果说农民们原始的棍棒长矛无法攻破城墙的话, 那么火药就另当别论了。有四项伟大的运动可以作为这一过渡时期的 标志(过渡时期是指从中世纪衰落到17世纪的跃进)。 首先是十五六世纪始于意大利的文艺复兴。虽然但丁还停留在中 世纪的思维方式里,但他却提供了通俗的语言工具,使那些不懂拉丁 文的普通人(非教士)也能读写书面文字。薄伽丘和彼特拉克这些作 家则回归了世俗的理想。我们在各类艺术和科学中,到处可以发现人 们对古代世俗文化的兴趣又重新焕发了,它标志着与中世纪教士传统 的一种决裂。 尽管有关上帝的种种偏见主宰着中世纪的舞台,但文艺复兴思想 家们更感兴趣的却是人。一种新的文化运动从这种状况中产生了,这 就是人文主义运动,这是第二种伟大的新生力量。虽然文艺复兴从总 体上影响了人们的普遍人生观,但人文主义运动仍然停留在思想家和 学者们的范围中。意大利的文艺复兴并没有使国家再次持久地统一, 整个国家被分为若干地区,实行城邦统治,无政府状态十分盛行。意 大利落到了奥地利与西班牙的哈布斯堡王朝手中,直到19世纪中叶才 重新恢复为一个主权国家。但是,它的文艺复兴运动却产生了巨大的 影响,并且逐渐向北传到了德国、法国和低地国家。这些地区伟大的 人文主义者大约要比他们的意大利前辈们晚了一个世纪。 改变了中世纪世界的第三大力量,就是与人文主义运动同时代出 现的马丁·路德的宗教改革。的确,在教会内部,曾经有人一度认识 到应该进行某种改革。人文主义思想家们曾批判教会管理中充斥着种 种不法行径,但野心勃勃、贪图钱财的教皇仍然有着太强的控制力。 宗教改革一爆发,立刻遭到了罗马的猛烈反击和诅咒。作为一种新兴 运动,它原本可以被纳入万国教会的大家庭之内的,却因此而被迫陷 入了孤立,进而发展成许多国家的新教教会。当天主教终于开始进行 自身变革时,这一宗教分裂已经不可挽回了。从此,西方的基督教一 直处于分裂状态。改良后的各种宗教之所以认为“人人都是传教 士”,正是由于人文主义的影响。每个人都可以直接与上帝接触,基 督不需要代理人。 ◎ 马丁·路德 第四个重要的发展直接来自经验研究(发端于奥卡姆的批判)的 复兴。在随后的两个世纪里,科学领域取得了巨大的成就。其中最重 要的就是哥白尼重新发现了太阳中心说,并于1543年对此作了解释。 自17世纪以后,物理学与数学取得了很大的进步,并且通过对技术进 步的促进,确立了其在西方的支配地位。科学传统除了带来物质利益 以外,它本身也是独立思想的一个伟大的推动者。无论西方文明传播 到哪里,它的政治理想都会紧随着物质扩张的步伐到来。 科学进步所产生的观点,在本质上还是希腊人的观点,从事科学 工作也就是去顾全解释现象。这些传统所获得的权威和中世纪教会强 加于人的教条主义是完全不同的。当然,在很大程度上,当探索者持 不同意见时,靠信仰的教条体系生活的僧侣统治阶层会用同一种论调 来对付所有问题。有些人以为牢不可破的整体一致就是优越性的标 志,至于为什么却从未得到过答案。毫无疑问,它可以使那些支持者 感受到一种力量,这才是实际情况。但这样做并不能使他们的立场有 更多的合理性,就像一个命题并不会因为用了更高的嗓门来宣布,就 会变得更正确一些。探索工作惟一需要尊重的,就是理性论证的普遍 规则,或者用苏格拉底的话说,就是辩证法。 然而不知为什么,科学在技术应用领域的巨大成就却招来了另一 种危险。因为渐渐地,很多人开始以为只要恰当地引导和利用人的努 力,就没有什么人不能企及的目标。近代技术的巨大进步取决于很多 人的共同努力,对于那些以制定新计划为己任的人来说,他们一定真 的以为自己的力量是无穷的。而所有这些计划都包含着人的努力,并 且应当为人的目标服务,这一点却被忘到了脑后。从这方面看,我们 自己的世界也正面临着过分的危险。 在哲学领域,对人的强调产生了一种内向的思辨倾斜,由此导致 的观点是与那种激发权力哲学的观点截然不同的。现在,人成了自己 能力的批判者,除了某些直接经验外,人不承认还有什么不可批判 的。这一主观态度导致了某种极端的怀疑论,它的随心所欲就像“完 全忽视个人”的倾向一样过分。显然,必须另外寻求一种妥协的解决 办法。 另外,还有两项特别重要的进步可以作为这一过渡时期的标志。 首先是活字印刷术的出现。就西方世界而言,它可以追溯到15世纪, 而中国人使用这种方法的时间还要早500年,不过当时的欧洲人并不知 道。印刷术的出现极大地拓展了新思想的传播范围,最终,这也有助 于破坏传统的权威。比如说,译成了通俗语言的《圣经》通过印刷, 便可以很轻易地弄到,教会再也不能凭三寸不烂之舌来维持它在信仰 问题上的监护人地位了。至于一般的学问,也由于同样的原因,加快 了向现世主义的回归。印刷术不仅为批判旧秩序的新政治学说提供了 传播的途径,而且还使得人文主义学者们能够出版古人的著作。这样 一来便促进了对经典史料的更广泛的研究,并且有利于普遍提高教育 的水平。 有必要指出一点,即如果探讨的自由得不到保障,那么印刷术的 发明是否算一件好事就值得怀疑了,因为谬论和真理同样易于印刷和 传播。如果个人对摆在面前的材料毫不置疑地接受,那么这个人的阅 读能力也就没什么价值了。只有在能够自由发表言论和意见的地方, 印刷品的广泛传播才会促进探索。如果没有这种自由,也许当文盲会 更好一些。在我们这个时代,这个问题已经变得更为严重了,因为印 刷品不再是大众交流的惟一媒介。自从无线电和电视发明以来,就更 有必要永远保持这种警惕了。一般说来,这种警惕性一旦丧失,自由 就会开始丧失活力。 ◎ 哥伦布使用过的那种船型。美洲的发现开辟了新的视野。 随着信息的更广泛传播,人们开始对地球形成了一种更为合理的 认识。这一认识是通过一系列的航海发现来获得的,这些发现为西方 的魄力和胆略提供了新的契机和出路。造船及航海技术的进步以及对 古代天文学的回归,都使得这些冒险和开拓有了实现的可能。在15世 纪以前,船只还不敢远离大西洋海岸线,一方面是因为这样做没有什 么意义,更重要的是,如果冒险进入没有陆地标志导航的水域,水手 们就会觉得不安全。罗盘的使用开辟了公海,从此,探险家们就可以 飘洋过海,探索新的大陆和航线了。 在中世纪的人看来,世界是一个静态、有限和有序的地方,世上 的一切都有其特定功用,星辰围着各自的轨道运行,人们生活在命定 的地位之中。这幅自以为是的画面被文艺复兴撕得粉碎。两种对立的 倾向导致了一种新观点。一方面,人现在占据着舞台的中心,并对自 己的力量和创造力信心十足;但同时,人在宇宙中的地位却变得不那 么高了,因为空间的浩渺无际开始依赖于哲学家的想像力。德意志的 红衣主教尼古拉·卡萨努斯(1401~1464)在著作中暗示了这些思 想,在接下来的世纪里,它们又被纳入了哥白尼的思想体系。同样, 另一种观点则向毕达哥拉斯和柏拉图回归,它认为世界建立在数学模 式之上。这一切思辨不仅否定了事物的现有秩序,而且在教会和世俗 两方面都动摇了根基牢固的古老权威。教会试图遏制异端思想的传 播,但收效不大。尽管如此,我们还是必须记住,即使到了1600年, 宗教裁判所还在诅咒乔达诺·布鲁诺,并将他烧死在火刑柱上。现有 秩序的维护者们出于对颠覆的恐惧,对那些敢于特立独行的人给予凶 残的判决。这种情形在以前也并不少见,然而正是这种判决表明了他 们原以为可以维护的地位是多么的岌岌可危。在政治领域,逐渐发展 起了新的权威概念,而世袭统治者的权力则受到了越来越多的限制。 宗教改革也并不是在各个方面都富有成效。也许改革派原以为人 们在众多宗教面前最终会明白,可以用不同的方式来崇拜同一个上 帝。早在宗教改革之前,卡萨努斯就在提倡这一观点了。不过这个十 分明显的结论却未能为广大信众所接受。 当然,文艺复兴也不是古代知识从休眠中突然觉醒。事实上,我 们已经看到整个中世纪都残留着某些古老传统的遗迹。这种整齐的分 界线并不能简单地将历史分割开来,但如果处理得好,这种划分还是 有它的优点的。所以,如果单独谈及意大利的文艺复兴是合理的,这 意味着在中世纪和近代之间肯定有一些明显的差异。例如在经院派的 教会文学和世俗文学之间就存在着鲜明的反差,后者始于14世纪,采 用通俗语言来创作。在人文主义者以古典文化为基础进行学术复兴之 前,这种文学的复苏就已开始了,新文学运用了大众的语言作为创作 工具,而学者们的作品却仍然在使用拉丁文,因而前者的吸引力和号 召力比后者更广泛。 至此,所有的领域都抛弃了中世纪的狭隘观念。灵感的源泉首先 存在于当时蓬勃的世俗兴趣,后来又体现在对古代的理想化想像中。 当然,那个时代所发展起来的古代概念多少受到了一代人热情的歪 曲,因为他们重新看到了历史的某种延续性。直到19世纪之前,有关 古人的浪漫观点都一直存在着。和文艺复兴时期的艺术家和作家相 比,我们对这类问题懂得当然要多一些。 意大利的古代文明遗迹提供了昔日的视觉象征,和后来在阿尔卑 斯山以北所采取的形式相比,意大利文艺复兴获得了更广泛的立足 点。从政治角度看,国家的瓦解就像古希腊一样。北方是为数甚多的 城邦,中间是教皇的辖区,南部则是那不勒斯及西西里王国。在北方 城邦中,米兰、威尼斯和佛罗伦萨实力最强。城邦之间存在着长期的 冲突,各城邦内部也存在着派系纷争。虽然人与人之间阴谋仇杀的熟 练和残忍程度达到了极点,但作为整体的国家并行没有遭到严重的损 害。贵族和城邦都使用雇佣兵来互相厮杀,这些人的职业目的就是生 存,为了生存他们什么都肯干。当意大利成为法兰西国王和罗马皇帝 的战场时,这种混乱的局面才得以迅速扭转。但是意大利的分裂实在 太严重了,以至于不能同心协力来抵御外来侵略。因此,国家依旧四 分五裂,大部分地区为外国所统治。在法兰西与帝国的反拉锯战中, 哈布斯堡王朝取得了最终的胜利。西班牙继续控制着那不勒斯和西西 里,而教皇辖区则享有默认的独立。1535年,米兰(教皇党的一个据 点)沦为西班牙哈布斯堡王朝的属地。威尼斯人则处于一种特殊的地 位,一方面是由于他们从未被蛮族打败过,另一方面是因为他们与拜 占廷的联系。威尼斯人在历次十字军东征中积攒了实力和财富,并在 战胜对手热那亚人之后,主宰了整个地中海的贸易。当1453年君士坦 丁堡落入奥托曼土耳其人手中时,威尼斯开始走向了衰落,好望角航 线的发现和新世界的开辟,更加速了这一进程。 文艺复兴最重要的策源地是佛罗伦萨。除了雅典,还没有任何城 市能像佛罗伦萨这样造就过这么多的艺术家和思想家。但丁、米开朗 基罗、列奥那多·达·芬奇及后来的伽利略,全都是佛罗伦萨人。佛 罗伦萨的内乱使但丁被流放,该城最终为梅狄奇家族所统治。从1400 年往后,除一些暂时的中断外,这个商人贵族家族统治了这个城市长 达三个多世纪之久。 至于教廷,文艺复兴则对它有着双重影响。一方面,教皇们对人 文主义者的学术探索表现出开明的兴趣,并成了艺术的伟大庇护人。 教廷声称其世俗权力来自“君士坦丁的馈赠”;而教皇尼古拉五世 (1447~1455)却对揭穿这一骗局并持有其他可疑观点的洛伦古·瓦 拉极为推崇,尽管他有非正统的思想,这位文学“侦探”还是被任命 为教皇秘书。另一方面,信仰标准变宽松后导致的世俗成见,使教廷 的宗教影响力大减。有的人,如亚历山大六世(1492~1503)的私生 活就有些缺乏虔诚,而这种虔诚本来是他们作为上帝的人间代表所应 该具有的;更何况,16世纪的教皇们为了追求世俗的享乐,还把来自 国外的大量钱财挥霍一空。这些行为所引起的不满和抱怨,在宗教改 革中激起了怒潮。 总的说来,意大利的文艺复兴在哲学领域并没有产生伟大的作 品。这并不是一个进行伟大哲学思辨的时代,而是一个重新寻根的时 代。尤其是通过对柏拉图的研究来再次挑战经院派的亚里士多德主 义。15世纪初,科济莫·德·梅狄奇统治下的佛罗伦萨建起了佛罗伦 萨学院。该学院支持柏拉图派,并借此反对现有的大学。从通常意义 上说,人文主义学者们所做的工作为17世纪伟大的哲学发展铺平了道 路。 虽然文艺复兴把人们从教会的教条主义中解放了出来,但并没有 使人们脱离形形色色的古代迷信。占星术一直为教会所反对,这时却 大受欢迎,不仅目不识丁的人被它吸引,而且饱学之士也受了影响。 巫术也同样得到了广泛的接受,许多行为古怪却又无害的人被当做巫 师烧死在火刑柱上。当然,即使到了我们这个时代,政治迫害也并不 罕见,尽管已不再时兴使用火刑了。随着对中世纪教条主义的抵制, 人们也不再尊重长期形成的品德和行为模式。在所有的因素中,特别 是这一点阻碍了面对北方威胁的意大利实现国家统一。在这个时期, 背信弃义的阴谋和两面派行为泛滥成灾,消灭对手的“文雅”做法已 经发展成了某种无与伦比的权术。在这个欺骗和猜疑盛行的时代,任 何可行的政治合作形式都不可能出台。 ◎ 马基雅维利,佛罗伦萨外交家、政治哲学家。 在政治哲学方面,意大利文艺复兴产生了一位杰出人物尼科罗· 马基雅维利(1469~1527),他是一位佛罗伦萨律师的儿子,他的政 治生涯始于1494年梅狄奇家族被逐出佛罗伦萨之际。就是在这一时 期,佛罗伦萨受到了萨万纳罗拉的影响,这位多米尼克派改革家坚决 反对当时的罪恶行径和腐败现象。他在积极的努力过程中,终于得罪 了鲍吉亚的教皇亚历山大六世,并于1498年被烧死在火刑柱上。也许 是这些事件诱发了人们对权力及政治成就性质的反思,后来,马基雅 维利就以萨万纳罗拉为例写道:赤手空拳的预言家总是会失败的。在 梅狄奇家族流亡期间,佛罗伦萨是一个共和国,马基雅维利一直担任 公职,直到梅狄奇家族于1512年卷土重来,再次掌权。由于马基雅维 利在此期间抨击了梅狄奇家族,因此遭到了罢黜。被迫退出政坛之 后,他开始潜心进行政治哲学及相关问题的写作。为了重新获得梅狄 奇家族的欢心,1513年他向洛伦佐二世献上了自己的著作《君王 论》,但仍未能如愿以偿。他死于1527年,就在这一年,罗马遭到了 皇帝查理五世雇佣军的洗劫。 马基雅维利的两部论述政治的杰作是《君王论》和《史论集》。 第一部研究了专制政权得以取胜和维持的方法及手段,第二部则普遍 研究了权力在不同统治形式下的运用。《君王论》中的理论根本没打 算为如何做一名有德之君提供道德忠告;相反,它承认某些罪恶勾当 有助于获取政权。“马基雅维利式的”一词正是因此而具有了一定程 度的邪恶含义。公平地说,马基雅维利并不提倡邪恶原则,善与恶也 不在他的探索范围,正如核物理学家的研究一样。因此他的论证才这 样说道,如果你想获取权力,那么你就必须冷酷无情。至于这是善是 恶则完全是另一个问题,而马基雅维利的研究兴趣并不在这里。人们 也许会因为他没有注意到这个问题而对他过于挑剔,但如果由于他研 究了客观存在的政治权术而对他横加指责,是没有意义的。因为《君 王论》所记载的东西在一定程度上只是总结了文艺复兴时期意大利的 普遍做法而已。 ◎ 恺撒·鲍吉亚,亚历山大六世之子。 马基雅维利在为佛罗伦萨效劳的政治生涯中,曾经接受过各种外 交使命,从而有足够的机会来亲身体会政治阴谋的错综复杂。在外交 工作中,他对凯撒·鲍吉亚有了很深的了解。凯拉·鲍吉亚是亚历山 大六世的儿子,他同父亲一样,也是一个地道的恶棍。长于计谋和胆 略的凯撒计划在其父去世之后确保自己的地位。在实现野心的过程 中,他的兄弟由于挡了他的道而被他除掉了。在军事方面,凯撒协助 其父扩大教皇的统治区,完全是为自己日后拥有这些土地打算的。在 教皇的继位问题上,为了使自己的一位朋友得到该职位,他不惜采取 一切手段。在实现这些目标的过程中,凯撒·鲍吉亚表现出了令人惊 叹的独创性和外交手腕,他时而假装和善,时而又置人于死地。当 然,我们无法知晓这些政治斗争的牺牲者们的感受,他们很可能从一 种超然的观点出发,对凯撒·鲍吉亚的权术佩服得五体投地,这也正 是那个时代的特征。凯撒的计划最终还是失败了,因为他的父亲于 1503年去世时,他自己也病倒了,而继任教皇尤里乌斯二世正是他的 一个死对头。单就凯撒·鲍吉亚的目标而言,我们完全可以承认他非 常能干,正因为如此,马基雅维利慷慨地赞许了他,在《君王论》 中,他把鲍吉亚誉为热爱权力者的楷模。马基雅维利认为,这种做法 之所以经得起辩驳,是因为它符合时代的普遍标准。不过总的说来, 从17世纪到19世纪,这种冷酷无情的做法并没有得到宽恕,至少没有 得到公开的赞扬。20世纪再次产生了许多具有马基雅维利传统的政治 领袖。 从1513年到1521年,教皇宝座被列奥十世占据着,他来自梅狄奇 家族。由于马基雅维利试图巴结梅狄奇家族,因此我们发现《君王 论》用了一些虚伪的陈词滥调来回避教皇的权威问题。而《史论集》 对教廷的批判则尖锐得多,里面的探讨更多地充满了伦理观。马基雅 维利认为,各种类型的掌权者,从宗教创始人到最初的暴君,都应当 以功绩大小为序加以考虑。关于宗教在国家中的作用,他的观点与实 用主义一脉相承,只要国家能够获得一定的社会凝聚力,那么宗教信 仰的正确与否根本就无关紧要。根据这种观点,为了维护社会稳定而 迫害异端自然就是完全正确的。而教会,则因两条罪行而受到了指 责:首先,很多教会执行者的罪恶生活方式已经削弱了大众对宗教的 信任;另外,教廷对世俗政治的兴趣已经成了意大利实现国家统一的 一大障碍。我们还可以顺便留心一下,后面这条是与如下认识完全一 致的:为了达到个人目的,有些政治性教皇曾经处心积虑,不择手 段。《君王论》并未提及这些目的,《史论集》则时有提及。 《君王论》十分清楚地表明,统治者不受传统道德的约束,除非 是出于权宜之计,统治还可以打破所有的道德准则。的确,如果想掌 权的话,就必须经常这样做。但同时,他又得在别人面前作出高尚正 直的样子,只有靠这种表里不一的两面派方式,一个统治者才能保住 自己的地位。 在《史论集》的一般讨论中,马基雅维利阐述了“制约与平衡” 理论。社会各阶层都应该拥有一定的法定权力,以便实行一定程度的 相互制衡。该理论可以追溯到柏拉图的《政治篇》,17世纪的洛克和 18世纪的孟德斯鸠使它变得更为引人注目。因此,马基雅维利不仅影 响了近代政治哲学家的理论,而且影响了当时独裁者的行为。这一两 面派理论得到了很多人淋漓尽致地发挥和应用,尽管它也有马基雅维 利未曾料到的局限性。 在15世纪,文艺复兴运动曾席卷意大利。但它在阿尔卑斯山北面 出现则费了些时间。复兴的力量在向北蔓延的过程中,出现了一些重 要的变化。首先,在北方只有学者才关心新观点。在严格的意义上, 甚至将它称为复兴都是不恰当的,因为北方并没有什么曾经有过如今 又能再生的东西。一般说来,在南方,过去的传统对人们还有一些模 糊的意义;而在北方,罗马的影响只是暂时的,或者说不曾有过,因 此,新运动主要靠学者来倡导,其影响力也就多少受到了一些限制。 由于在艺术领域找不到相同的出路,北方的人文主义就在某些方面演 化成了更为严肃的事情,结果,和意大利相比,它与中世纪权威的决 裂显得更为突然和壮观。尽管有很多人文主义学者不赞成宗教改革带 来的宗教分裂,但从某个角度看,人们还是希望这种分裂能够随着北 方的文艺复兴而产生。 文艺复兴以来,宗教在阿尔卑斯山两侧的人民生活中所起的作用 是完全不同的。在意大利,教廷在某种意义上代表了与昔日帝国的直 接联系,宗教事务本身反而成了例行公事,成了日常生活的一部分, 人们对它的态度就像对待饮食一样平静,甚至在今天,和其他地方的 信仰相比,意大利的宗教信仰仍然保持着那种平静。因此我们就有了 两方面的原因,来解释为什么不可能与现有宗教传统完全决裂。首 先,教会在某种意义上仍然是现存体制的一部分,即使如马基雅维利 所说,教廷是意大利实现国家统一的障碍。其次,宗教信仰并没有达 到号召一声就出现激进变革的地步,北方的人文主义思想家们严肃地 关注着宗教及宗教的弊病。他们在辩论作品中,猛烈地抨击了罗马教 廷的倒行逆施。除此以外,他们还有一种意大利主教们始终不曾原谅 过的民族自豪感,这不仅仅是为修缮罗马城而进贡纳税的普通问题, 而是出于对意大利人的不满,因为头脑灵活的意大利人在严肃认真的 北方条顿人面前总是摆出一付恩赐的姿态。 ◎ 鹿特丹的埃拉斯摩,学者兼编辑。 北方最伟大的人文主义者是鹿特丹的爱拉斯摩(1466~1536)。 他不到20岁的时候,父母就都去世了,这似乎使他未能上大学。监护 人把他送进了一所僧侣学校,他在适当的时候加入了斯泰因的奥古斯 丁修道院。早年的经历使他对苛严而呆板的经院主义产生了永久的憎 恨,因为他深受其害。 1494年,爱拉斯摩被冈布雷主教任命为秘书,从而摆脱了斯泰因 的隐居生活。随后,他多次访问了巴黎。然而巴黎大学神学院的哲学 气氛已经不能再促进新学术了,因为托马斯派和奥卡姆派在文艺复兴 中已经握手言和,并联合起来反对人文主义者。 1499年末,爱拉斯摩对英国进行了短暂的访问,并在那里见到了 克利特,但首先是结识了摩尔。回到欧洲大陆后,他开始了希腊文的 学习,并且学得很快。1506年,他在意大利的都灵获得博士学位,这 时候他的希腊文水平已经无人能及。1516年,《新约》的希腊文第一 版印刷出版了。他的作品中最值得回味的是《愚行颂》,这部讽刺作 品写于1509年的摩尔家中,以摩尔名字的双关语作其希腊文标题。该 书不仅讽刺了人性的种种缺陷,而且还尖锐地抨击了宗教组织及其执 行者的堕落。尽管他敢于直言不讳地进行批判,但是当宗教改革的契 机到来时,他却没有公开表示支持。他基本上坚持一种新观点,认为 人可以与上帝直接联系,神学纯属多余。但同时,他又没有卷入改革 所带来的宗教论战。他对自己的学术研究与出版更有兴趣,并且觉得 宗教分裂无论如何都是一种不幸。虽然在某种程度上,这种论战确实 令人厌烦,但这些问题是不能忽视的。 最终,爱拉斯摩宣布倒向天主教,不过这时候他已经不重要了, 历史舞台已经为更勇敢的人所占据,只有在教育方面,爱拉斯摩的影 响才给人们留下了长久的印象。在任何西欧观点盛行的地方,人文主 义学问至今仍是中学教育的主要内容,这主要归功于爱拉斯摩的文学 和宗教活动。作为出版家,他并不总是对原文进行彻底的批评性审 查,他的出版对象是更为广泛的普通读者,而不是学术专家,但同 时,他又并没有采用通俗语言来写作,而是有意加强拉丁文的地位。 在英国,最杰出的人文主义者是托马斯·摩尔爵士(1478~ 1535)。摩尔14岁时被送入牛津,并开始在那里学习希腊文。在当 时,这很容易被视为不务正业的古怪举动,自然也就引起了这位年轻 学者的父亲的怀疑。于是摩尔注定只能继承父业,从事法律工作。 1497年,他结识了初访英伦的爱拉斯摩。与新学问的重新接触增强了 他对希腊文研究的兴趣。不久,他过了一段时间的禁欲苦行生活,并 体验了卡尔图斯修士会的苛严作风。但是,他最终还是放弃了做僧侣 的念头,这可能与他的朋友爱拉斯摩提出了反对意见有一定关系。 1504年他成了下院议员,并因直言不讳地阻止亨利七世的财政请求而 名声大噪。亨利七世死于1509年。摩尔又重新干上了律师职业。但亨 利八世很快又把他召回去担任公职。1529年武尔济垮台之后,摩尔被 提升到了最高职位,成了下一任大法官。但他任职时间并不长,1532 年,由于反对国王与阿拉贡的凯萨琳离婚,摩尔辞去了大法官职务, 并因拒绝出席安妮·布琳的加冕典礼而引起了国王的强烈不满。当 1534年“至权法案”确定国王为新教会的领袖时,摩尔又拒不宣誓, 于是他被关进了伦敦塔。1535年,他被认定曾经说过下院无权决定国 王为教会领袖的话,从而以叛逆罪被处死。那个时代并没有在政治问 题上宽容的习惯。 ◎ 托马斯·莫尔,英国人文主义者。 摩尔是一位多产作家,但他的绝大多数作品今天几乎已经没有人 去读了。他的名声完全得益于一本名为《乌托邦》的政治空想书籍。 这种幻想的社会、政治理论显然受了柏拉图《理想国》的启示。这些 观点以报道一位水手遭遇的形式提了出来,船只遇难后,这位水手在 岛屿(乌托邦)上生活了五年之久。像柏拉图的作品一样,该书也极 为强调公共财产,而且理由相近。它坚持认为,在财产私有的地方, 就不可能出现对集体福利的彻底尊重。另外,假如人们将财物据为己 有,那么财富数量的差异就会使他们彼此产生隔阂。在乌托邦社会 里,人人都应该平等,这是一个天经地义的基本状况。他由此推断, 私有财产是一股腐蚀力量,因而不应容许它存在。当来访者对乌托邦 人说起基督教时,主要吸引他们的只是基督教财产教义中的共产主义 色彩。 这本书极为详尽地描述了这个理想国的组织。这个国家由一个首 都和五十三个其他城镇组成,不仅建造模式相同,而且住宅样式也整 齐划一,所有的人都可以自由来往。由于这里没有私有财产,所以偷 窃也就变得毫无意义。散布于乡村的农庄全都按一样的方式经营。至 于服装,除了已婚妇女和未婚女子之间有一处细微而必要的差异外, 所有的人都穿同一样式的衣服,服饰十分朴素,而且总是一成不变, 人们根本不知道有五花八门的时尚。公民们的工作生活也按照同一模 式进行,所有的人都每天工作六小时,晚上八点就寝,早晨四点起 床,从不更改。那些有学者素质的人则从事脑力劳动,而不干任何别 的工作,管理者就是从这群人中选举产生的。政治体制是一种间接选 举的代表制民主形式。当选的国家元首只要恪尽职守,就可以终身任 职;如果品行不端,就会被废黜。公众的社会生活也要服从严格的规 章制度。而同外国的关系,则要限定在必不可少的最低程度。比如乌 托邦没有铁,就必须依赖进口。尽管除了自卫或支持盟国及受压迫国 家外,决不发动战争,但男女公民还是要接受军事训练。国家尽可能 招募雇佣兵来打仗,并通过贸易来建立贵重金属基金,以便在战时给 雇佣兵发军饷,而他们自己是不需要用钱的。乌托邦人的生活方式既 不偏激,也不苦行,但还是有一个小小的限制:无神论者虽然被允许 坚持自己的观点,但不享有公民身份,也不能进入政府机构。比较卑 下的工作则由奴隶们来承担,这些奴隶是从那些为逃避本国惩罚而逃 亡的外国人和重刑犯中征来的。 毫无疑问,在这样一个精心设计的国家里,人们的生活是了无生 趣的。这是各种理想国的一个共同特征。然而在摩尔的讨论中,更中 肯的是他对宗教宽容问题的新自由观。宗教改革已经动摇了欧洲基督 教自以为是的权威态度,前面说过,改革先驱者们提倡在宗教事务上 持宽容态度,当宗教改革运动导致了欧洲宗教持久的分裂时,宽容概 念便逐渐盛行起来了。为了避免出现大规模的绝灭和镇压,别的方法 也曾用过,但最终都无济于事。在16世纪,所有人的宗教信仰都应该 得到尊重的观念仍被视为奇怪的想法,这足以引起正统派的注意。 宗教改革的结果之一,就是使宗教成了一种更开放的、经常以国 家为基础的政治性事务。比如在英国,只要某种世界性的宗教占据了 优势,这种情况显然就不可能发生。正是由于宗教信仰的这种政治特 征,摩尔之类的人才会拒绝支持宗教改革。实际上,他们是赞成进行 某种改革的,我们在谈到爱拉斯摩时已经看到了这一点,但使他们感 到惋惜的是,为了某种教义的完全分离,竟然出现了暴力冲突。从这 一点上看,他们当然是十分正确的。在英国,宗教分裂的国家特征极 为明显,新建立的教会与国家机器的政治结构紧密相关。同时,英国 的决裂在某些方面并不像其他地方那样剧烈,因为英国曾经长期存在 着一种相对独立于罗马的传统。征服者威廉早就坚持他在主教任命问 题上的发言权,从威廉和玛丽时代起,英国就始终保持着由新教徒继 位的传统,我们由此可以看出新教会的反罗马倾向,这一倾向还残留 在一条规定罗马天主教徒不得任美国总统的不成文法当中。 我们知道,在宗教改革爆发前的几个世纪里,知识氛围的逐渐变 化已经动摇了教会至高无上的旧观念。产生这一革命性变化的原因很 多,也很复杂。从表面上看,我们看到的仅仅是人们对上帝的代理人 职权的一种反抗,但是,如果教会本身的弊端没有使人们注意到它的 言行不一的话,那么这个值得称道的原则也许就不会独自取得突破。 事实上,教士们经常占有地产,如果不是因为牧师们的世俗举止违背 了耶稣的教谕,他们拥有地产本身倒也不会引起人们的反对。至于教 义的问题,奥卡姆早就坚决主张,即使没有至高无上的罗马主教,基 督教也同样可以发挥作用。因此,对基督教徒的宗教生活进行彻底改 革的条件,就存在于教会内部。最后是由于政治势力的介入,改革才 导致了宗教分裂。 ◎ 马丁·路德,奥古斯丁派修士,宗教改革家,《圣经》译者。 在智力方面,改革者虽然不如那些为改革打下基础的人文主义学 者,但他们却提供了批判性思想家难以唤起的革命激情。马丁·路德 (1483~1546)是一位奥古斯丁派的修道士和神学教师,教会出售免 罪券的恶劣行径使他和别的许多人一样,在道德上感到十分的苦恼。 1517年,他挺身而出,公开发表了著名的“九十五条论纲”,并将这 份文件钉在了维登堡教堂的大门上。当他在这一点上向教廷挑战时, 并没有准备建立某个新宗教,但是,这个争论不休的问题牵涉到向德 意志大规模进贡的政治问题。当路德于1520年当众烧毁教皇开除教籍 的训令时,问题就不再是单纯的宗教改革问题了。德意志的王公贵族 和统治者们开始联合起来,于是宗教改革演化成了一场德意志人反对 教皇敏感权力的政治起义。 1521年的乌姆斯会议之后,路德隐居了十个月,潜心翻译了《新 约》的德语版。作为一部文献,在某种程度上,它对于日耳曼人就像 《神曲》对于意大利人一样重要。无论如何,它为福音书在民间的传 播提供了很大的便利。现在,任何一个识字的人都能够发现耶稣的教 义和现有社会秩序之间有着很大的差异。正是这种认识和以《圣经》 作为惟一权威的新教观念,为1524年的农民起义提供了道德上的支 持。但路德并不是一个民主改革家,他公然反对那些蔑视自己政治主 子的人,他在政治上仍旧保持着中世纪的观念。农民起义在各个方面 都导致了暴力与残杀,最终被残酷镇压了下去。这次社会革命的失 败 , 也 在 一 定 程 度 上 削 弱 了 宗 教 改 革 的 原 动 力 。 “ 新 教 (Protestant)”一词源自改良宗教支持者们所发出的一个呼吁。 1529年,他们对会议条款表示抗议,该会议宣布路德及其追随者为非 法,不过这一议案从1526年以后就暂时被搁置了起来。现在,路德由 于再次遭到帝国的禁止,因而无法出席1530年的奥格斯堡会议。但这 时的新教运动已颇具实力,要压制下去已经不可能了。1532年,皇帝 不得不接受纽伦堡宗教和约,并很不情愿地保证:新教徒可以自主信 教。 宗教改革运动迅速蔓延到了低地国家、法国和瑞士。在路德之后 影响最大的改革家是约翰·加尔文(1509~1564),一位定居日内瓦 的法国人。加尔文二十岁出头就转向了改革运动,此后成了法国和荷 兰新教的精神领袖。作为一种学说,加尔文主义的奥古斯丁教义要比 路德的福音主义更为激烈和不妥协。它洋溢着清教徒理想,认为灵魂 得救是一个宿命论问题。这是基督教神学缺乏吸引力的特征之一,罗 马教会就明智地舍弃了这种教义。当然,在实践中它并不像看上去那 么有害,因为人人都可以自由地认定自己就是上帝选中的获救者之 一。 ◎ 约翰·加尔文,定居日内瓦的法国人,改革家。 16世纪下半叶,天主教与改良后的胡格诺教派之间的宗教战争把 法国弄得支离破碎。正如德国的情况一样,这类动荡的原因并不仅仅 是宗教上的,倒是有部分的经济原因。更确切地说,宗教和经济两方 面因素正是从中世纪到近代过渡期普遍变革的标志。因为改良宗教及 其清教徒特征是与近代商贸的兴起密切相关的。1598年在南特颁布的 宽容敕令曾一度弥合了法国的宗教分歧,当这一敕令于1685年被废止 时,许多胡格诺派教徒离开家园,移居到了英国和德国。 由于新教不是世界性宗教,因此它需要得到国家政治首脑的庇 护,而后者也就容易成为国教领袖。从表面上看,这是一件可喜的事 情,因为新教牧师们缺乏罗马教士那种权力,也就不会胡作非为了, 尽管他们常常也像别人一样顽固而偏执。最终,人们发现宗教纷争是 徒劳的,是不会有定论的,因为任何一方都没有强大到消灭另一方的 地步。宗教宽容正是从这种消极意识中逐渐发展了起来。 16世纪中叶,一场新的宗教改革运动在罗马教会内部爆发了。这 场运动以耶稣会为中心,耶稣会由伊纳爵·洛约拉(1491~1556)创 立,并于1540年得到了官方的承认。受早年军旅生涯的启发,洛约拉 按照军事原则建立了耶稣会。耶稣会反对新教所采纳的奥古斯丁教 义,并且强调自由意志高于一切。他们的实际活动包括传教、教育及 铲除异端邪说,他们也是西班牙宗教裁判所的主要组织者。 北方人文主义引出了一个新的基督教概念,而意大利的人文主义 思想家们却不大重视宗教。像现在一样,那时的天主教在意大利只是 日常生活的一部分,并没有深入到人们意识深处。在某种意义上,宗 教在他们的生活中只充当了一个小角色,自然也就不大可能激发起他 们的情感。另外,罗马是统治集团的中心,因此罗马天主教不可能削 弱意大利人的民族自豪感,这正是古罗马帝国时代就存在过的国家崇 拜原则的残余。在罗马教会的统治机构中,意大利影响一直到今天还 保持着它的优势。 在意大利人文主义者的观念里,更重要的是他们再次强调了毕达 哥拉斯与柏拉图的数学传统。世界的数字结构再一次受到重视,并取 代了亚里士多德传统,尽管后者曾经使前者黯然失色。这是导致十 六、七世纪科学探索复兴的主要发展之一。在意大利文艺复兴的建筑 理论和实践中,这一点尤为明显,这时的建筑与以前的经典传统,尤 其是与维脱鲁维作品中所确立的传统有着直接的关系,维脱鲁维是1世 纪的罗马建筑师。建筑物各部分之间的比例以及与美有关的数学理论 受到了极大的重视。正如维脱鲁维基于希腊传统所说的那样,美存在 于适当比例的和谐之中。这种看法可以追溯到毕达哥拉斯时代。同时 它还表明,包含着理念论的另一种方式也是成立的。因为人的肉眼显 然不能精确地判断某个结构各部分之间的数字关系,但如果有了精确 的比例,似乎就可以产生某种美的满足感。因此,这些比例作为一种 理想存在,就保证了完美。 阿尔伯蒂(1404~1472)是意大利最重要的人文主义思想家之 一,就那个时代而言,这位威尼斯人是一位多才多艺的工匠。他在建 筑领域的影响最为持久,但同时他也是一位哲学家、诗人、画家和音 乐家。诚然,正如要理解毕达哥拉斯派对希腊哲学的影响,就必须了 解一些基本的和谐知识一样,在文艺复兴时期的建筑学中,为了领会 设计中的各种比例关系,也需要用到同样的知识。简单地说,这一理 论的基础就是把毕达哥拉斯音程中的听觉和音作为建筑设计中的视觉 和谐标准。当歌德后来说“建筑就是凝固的音乐”时,他确切地表达 了文艺复兴时期建筑师们所要实践的一些东西。这样一来,以调和弦 为基础的和谐理论就为艺术提供了总的“优秀”标准,乔治奥与列奥 那多·达·芬奇等人也作过这样的解释。比例原则还体现在人体结构 和道德调节功能上,这一切都属于直接而严密的毕达哥拉斯主义。但 数学在这里还进一步发挥了“极大地影响了后世科学复兴”的作用, 只要带有数的特征,艺术立刻就能上升到一个新的高度。最明显的例 子就是音乐,但它也适合其他门类的艺术。在某种程度上,这也反映 了这一时期的人文主义思想家是多才多艺的,尤其是许多人既是艺术 家又是建筑师,因为关于比例的数学为宇宙万物的设计提供了一把万 能钥匙。当然,这种理论能否作为美学可靠的普遍基础,也还是有争 议的,但无论如何,它都具有极高的价值。这种理论建立了不受情感 或目的约束、无可争议的、客观的“优秀”标准。 ◎ 阿尔伯蒂,建筑师,人文主义思想家。 ◎ 毕达哥拉斯系数:乔治奥在设计中运用了这些比例。 由于了解了事物中的数字结构,人们就有了征服周围环境的新力 量。在某种意义上,它使人更像上帝。毕达哥拉斯派曾认为上帝是至 高无上的数学家,如果人能够在一定程度上运用并提高自己的数学技 能,那他就更接近于神的地位了。尽管这并不意味着人文主义就不虔 诚,或者甚至反对公认的宗教,但它确实表明,流行的宗教习俗很可 能被作为例行公事来接受,真正激发思想家想像的则是古代前苏格拉 底学说。因此,一种新柏拉图主义的倾向就在哲学领域再次引起了重 视。对人的力量的关注,使我们想起雅典鼎盛时期的乐观主义。 以上就是近代科学得以成长的知识氛围。人们有时候会以为,在 17世纪初,科学突然全副武装地闯入了生活,犹如雅典娜从宙斯的头 颅里冒了出来。然而事实并不是这样的,科学的复兴直接地、有意识 地源自意大利文艺复兴的毕达哥拉斯传统。同样应该强调的是,在这 种传统中,艺术家与科学探索者的工作并不是对立的,他们都以各自 不同的方式探索真理,并通过数字来掌握真理的实质。对于任何一位 不辞辛劳的真理探求者来说,这些数字的模式都是清晰可辨的。这种 对世界及其各类问题的新观点与经院哲学的亚里士多德主义截然不 同,它是反教条的,因为它并不依赖书本,它惟一依赖的权威就是数 字科学。在这方面,它有时候也许走得太远了,像一切别的领域一 样,这种过度的危险性必须永远牢记。就拿现在的例子来说,做得过 度则可能导致把数字当做魔术符号来依赖的数学神秘主义,这一点和 一些别的因素,在以后的世纪里曾使比例理论声名狼藉。另外,人们 还感到毕达哥拉斯的音程理论对设计师的发明天赋强加了许多不自然 的、沉闷的限制。很显然,这种违背规则的不切实际的副作用,在我 们这个时代也完全可能继续发展下去,然后在不久的将来再向着曾经 激励过意大利文艺复兴的某些原则回归。 总体上看,十五、六世纪的哲学本身并不是波澜壮阔的。另一方 面,新知识的传播、书籍的发行,首先是毕达哥拉斯和柏拉图传统的 重新焕发活力,为17世纪的伟大哲学体系铺平了道路。 随着古代思维方式的复苏,伟大的科学革命紧接着开始了。它在 一定程度上以正统的毕达哥拉斯主义为起点,并逐渐推翻了亚里士多 德物理学和天文学的既成概念,最后深入到现象的背后,发现了极其 普遍而强有力的各种假说。在所有的领域,精益求精的探索者们都清 楚自己直接继承了柏拉图的传统。 第一位重新提出亚里斯塔克“太阳中心说”的人是哥白尼(1473 ~1543)。这位波兰教士早年到过意大利,并于1500年在罗马讲授数 学。正是在罗马,他接触到了意大利人文主义者的毕达哥拉斯主义。 他在意大利的几所大学攻读了几年之后,于1505年回到了波兰,并于 1512年重操旧业,在弗劳恩堡大教堂当了一名牧师。他主要做些管理 工作,偶尔也给人看看病(他曾在意大利学过医),一有空闲,他就 研究天文学。在意大利期间,太阳中心说的假说引起了他的注意,现 在,他试图用当时所能搜集到的仪器来证实他的观点。 他的《天体运行论》完整地记录了这一切,这本书直到他去世以 后才得以出版。他所阐述的理论并没有摆脱各种难题,在某些方面还 受到了来自毕达哥拉斯的预定概念的支配。行星必须在圆周上匀速运 动,这对于哥白尼来说似乎是意料之中的结论,因为圆周是完美的象 征,而且只有匀速运动才适合于某个天体。然而,在力所能及的观测 范围内,主张圆形轨道的太阳中心说要比托勒密的本轮学说更合理, 因为它终究是一个能够单独解释所有现象的简单假说。 哥白尼的理论遭到了天主教徒和路德派教徒的强烈敌视。因为他 们感觉到了这是一场新的反教条运动的开始,虽然不会撼动宗教本 身,但它至少会损害到宗教组织所依赖的独裁原则。科学运动的伟大 发展之所以主要在一些新教国家出现,是因为这些国家的教会在控制 教友的意见方面比较软弱。 ◎ 哥白尼,教士及天文学家。 ◎ 哥白尼的宇宙体系 继哥白尼之后,第谷·布拉埃(1546~1601)继续进行天文学研 究。他的主要贡献是提供了广泛而准确的行星运行记录。他还证明了 月球以外的空间同样也有变化,并由此对亚里士多德的天文学说提出 了质疑。因为1572年发现的一颗新星就没有周日视差,所以它的距离 肯定比月球远得多。另外,还可以证明彗星在月球轨道以外的地方运 行。 开普勒(1571~1630)则又向前迈出了一大步,他是在第谷·布 拉埃手下工作的一位青年。他通过对观测记录的仔细研究,发现哥白 尼的圆形轨道并没有合理地解释现象。他认识到轨道是椭圆形的,而 且太阳就位于其中一个焦点上;另外,他还发现在一定的时间内,太 阳光的辐射半径每次扫过某颗行星的面积是不变的;最后,所有的行 星都具有一个相等的比值,即行星旋转周期的平方与行星和太阳之间 平均距离的立方之比。这就是开普勒的三定律,它们确实与毕达哥拉 斯主义彻底决裂了,后者曾指导过哥白尼的研究。这样一来,圆周运 动之类的肤浅说法显然就要被抛弃掉。在这之前,由于简单的圆周运 动显得不够充分,于是自托勒密以后,人们习惯于用本轮运动来合成 更为复杂的轨道。这种方法对月球相对太阳的运动作出了近似的解 释,但更为细致的观测却表明,复杂的本轮根本不能充分地描述所观 测到的轨道,而开普勒的第一定律则一下就解决了这个棘手的难题。 同时,他的第二定律表明,行星在自己轨道上的运动不是匀速的,当 它们离太阳更近的时候,比在轨道的较远位置运动得要快一些。这一 切使人不得不承认,如果不参照事实,光凭美学或神秘原则的想当然 来进行论证,是很危险的。另一方面,开普勒的三定律还出色地证明 了毕达哥拉斯主义的数学原理。这样一来,似乎的确是现象中的数字 结构才提供了理解现象的钥匙。同样,为了合理地解释种种现象,人 们就必须寻找那些往往不很明显的关系。正如赫拉克利特所说,宇宙 运行所遵从的准则是隐蔽的,探索者要做的就是去发现它们。最重要 的是,千万不可为了维护某个表面的原则而歪曲现象。 ◎ 伽利略,科学家与发明家。 如果说忽视现象是危险的,那么盲目地记录现象,则像异想天开 一样,也是于科学无益的。亚里士多德就是一个典型的例子,因为他 正确地说了下面这句话:如果你不继续推动某个物体,那么它就会最 终停下来。对于我们能看到的、并且能推动的物体来说,这句话无疑 是对的,但如果由此认定我们自己无法推动的星体也一定如此,那就 错了,我们会因此认为,它们一定是按照别的方式来运行的。动力学 中的一切谬论都是建立在自以为是的表面现象之上的,在这里,正确 的分析同样是隐蔽的。在没有受到连续推动的情况下,致使物体速度 变慢的原因是阻力,假如没有阻力,物体就会自动地永远运动下去。 当然,我们不可能完全消除阻力,但我们可以通过减小阻力来看到, 路障清除得越彻底,运动持续时间就越长。最后,当物体不受任何东 西的阻碍时,它就会继续运动下去。 伽利略(1564~1642)系统地阐述了动力学中的这一新假说,他 是近代科学的伟大奠基者之一。这个新的动力观点在两方面完全脱离 了亚里士多德主义。首先,它假定了物体的第一状态不是静止,而是 完全自然的运动。其次,它表明了圆周运动并不像原来一位的那么 “自然”,更“自然”的应该是直线运动。“自然”一词在这里具有 特殊含义,如果某物体不受任何形式的干扰,那它就会沿着一条直线 匀速运动下去。对观测结果缺乏批判性的态度曾经影响了人们正确地 理解支配落体的规律,事实上在大气中,如果质量相等,那么密度大 的物体要比密度小的物体下落得快一些。在这里,我们必须考虑到物 体下落时所受到的介质阻力,介质越稀薄,所有的物体下落的速度就 越接近一致,而在真空中则完全一样。对落体的观测表明,物体下落 的速度每秒会增加32英尺,因此,由于下落速度不是均匀的,而是加 速的,所以一定有什么东西在干预物体的自然运动,这种东西就是地 球所施加的重力。 ◎ 伽利略望眼镜 这些结论不仅对伽利略的抛射体研究具有重大意义,而且对于其 庇护人塔斯卡尼公爵来说,同样具有一些军事上的实用价值。这里有 一个明显的例子就首先利用了一项重要的动力学原理。如果我们考虑 抛射体的轨迹,就可以把整个运动看做由两部分彼此分离、独立的运 动构成,其中一种运动是水平、匀速的,另一种则是垂直的,这种结 合的运动路线最终形成了一条抛物线轨迹,这是一个遵循平行四边形 加法定律的矢量合成的简单例子。速度、加速度和力都是可以按这种 方式来处理的量。 在天文学方面,伽利略接受了太阳中心说,并且继续有了许多重 大发现。他对不久前在荷兰发明的望远镜作了改进,并观测到了大量 的事实,这些事实彻底摧毁了亚里士多德错误的天文观念。终于,他 发现了银河是由无数星星组成的。哥白尼在其论述中曾经说过,金星 肯定会显示出相位(盈亏),现在,这一观点通过伽利略的望远镜得 到了证实。望远镜还发现了木星的卫星,并证明了这些卫星正按照开 普勒的定律绕着木星运转。这一系列发现推翻了根深蒂固的谬误,并 使得正统经院派大肆谴责望远镜,因为它损害了他们原本安稳的教 条。有一点是值得我们关注的,那就是三百年后出现了一件非常类似 的事情——孔德谴责显微镜破坏了气体定律的简单形式。从这个角度 看,实证论者倒是与亚里士多德在物理观测方面的执拗和肤浅有着许 多相同之处。 伽利略必定会冒犯到正统派,这只是一个时间问题。在1616年宗 教裁判所的秘密法庭上,他受到了指责。但他似乎毫无妥协之意,于 是1633年他再次被强行拉上了法庭,受到了公开审判。为了脱离凶 险,他只好当众认错,并承诺从此放弃一切有关地球运行的观点。据 说他迫于教廷的命令不得不这样做时,嘴里还在自言自语: “可地球 还是在转嘛!”当然,他的公开认错只是表面上的,但宗教裁判所却 因此成功地阻挠了意大利的科学探索长达数百年之久。 ◎ 伊萨克·牛顿 动力学普遍理论的最后一步工作是由伊萨克·牛顿(1642~ 1727)来做的。它所涉及的绝大部分概念曾经被前人暗示过或运用 过,但牛顿第一个理解了前辈们探索进程的全部意义。在1687年出版 的《自然哲学的数学原理》一书中,他提出了运动的三大定律,并按 照古希腊人的演绎方式论述了动力学。牛顿第一定律是对伽利略原理 的广义上的表述,一切物体,假如不受外力的阻碍,都会以恒定的速 度作直线运动,用专门术语来说,就是作匀速运动。牛顿第二定律把 力定义为变速运动的原因,并且指出,力与质量、加速度之积成正 比。牛顿第三定律则认为每个作用都有一个大小相等、方向相反的反 作用。在天文学方面,他作出了最后的完整论述,而哥白尼和开普勒 做的是一些基础工作。按照万有引力定律,物质的任何两个粒子之间 都有引力,而且该吸引力与两个粒子质量的乘积成正比,与距离的平 方成反比。用这种方式,行星及其卫星,还有彗星的运动,都能够被 解释到已知的最细微的地步。由于事实上每个粒子都在影响着任何一 个别的粒子,于是这个理论就使我们有可能准确地计算由其他物体所 引起的轨道摄动,在这之前,是没有任何其他理论能够做到这一点 的。至于开普勒的定律,现在只能算是牛顿理论的推断。在此,牛顿 似乎终于找到了通向宇宙的数学钥匙。我们现在用以陈述这些事实的 终极形式,就是运动的微分方程(它所适用的现实运动的一切表面偶 然性细节都已经被完全排除)。爱因斯坦更为广义化的论述也是如 此。不过迄今为止,相对论仍然是有争议的,而且为其内在难题所困 扰。牛顿阐述动力学的数学工具是流数理论,这是微分学的一种形 式,莱布尼茨也独立地发现了它。从此,数学和物理学开始有了长足 的进步。 17世纪还有一些其他的重大发现。1600年,吉尔伯特出版了有关 磁力的著作;惠更斯在这一世纪中叶提出了光的波动理论;哈维于 1628年公布了他在血液循环方面的发现;罗伯特·波义耳于1661年出 版的《怀疑的化学家》一书结束了炼金术士的故弄玄虚,由此回归了 德谟克利特的原子理论。仪器制造业的巨大成就提供了更精确的观测 手段,从而促进了理论的进一步发展。随着科学活动的空前繁荣,与 之相应的技术发展也紧跟其后,并使西欧保持了大约三百年的霸主地 位。科学革命使希腊精神再次引起了人们的关注,所有这一切也都在 哲学中有所体现。 迄今为止,哲学家在解释现象的过程中,所讨论的主要还是解释 和说明方面,而现象本身则几乎无人提及,当然,这种状况也是有很 多理由的。亚里士多德的三段论法作为一种“工具”或“工具论”, 已经无法再促进科学的进步,看来还需要有一种新的工具论。 最早明确地提出这些问题的人是弗兰西斯·培根(1561~ 1626)。他是掌玺大臣的儿子,受过法律专业知识的训练。培根的家 庭背景使他顺理成章地进入了政界。他23岁就进了下议院,后来又成 了艾塞克斯伯爵的顾问。当伯爵因叛逆罪而遭罢黜时,培根站到了王 室一边,尽管他从未得到过伊丽莎白女王的完全信任。但是当1603年 詹姆士一世继承王位时,培根的前途变得更有希望了。到1617年,他 已经升到了其父的职位(掌玺大臣),第二年又当上了大法官(兼上 院议长),并获得了维尤拉姆男爵的封号。1620年,他的政敌指控他 在法庭诉讼案中收受贿赂,企图以此来毁掉他的政治前途。培根没有 为自己进行辩护,就承认了受贿事实,但他解释说,他所作出的判决 从未受过礼品的影响。上议院判他缴纳四万英镑罚金,并根据国王的 旨意,将他拘禁在伦敦塔,以后不得再担任公职或下院议员。这个灾 难性的判决后来有了松动,他被赦免了第一项处罚(罚款),而第二 项,也只是关押了他四天。但是要他退出政界的决定却得到了强制执 行,从此他过起了退隐生活,以写作和作学问为业。 ◎ 弗兰西斯·培根 ◎ 培根的科学方法:把具有特定属性的各项列表。 培根对文艺复兴传统有着广泛的兴趣。他创作了法律以及历史方 面的作品,并以随笔闻名于世,这种文体是不久前由法国的蒙田 (1533~1592)发明的。在哲学方面,培根最著名的著作是《学术的 进展》(1605年出版),在这本书里,培根为自己后来的探索工作搭 起了舞台。正如书名所示,他关心的是扩大知识的范围和增强人对所 处环境的控制力。在宗教问题上,他采纳了类似于奥卡姆主义者的观 点,即让信仰和理性各司其职,互不干扰。理性在宗教领域中的惟一 作用,就是从人们基于信仰而接受的原则中演绎出结论。关于科学探 索,培根强调必须有一种新的方法或工具来发现真理,以取代显然已 经力不从心的三段论法。他是从自己的新归纳法中看到这一点的。归 纳概念本身并不是什么新鲜事物,亚里士多德早就运用过它了,但直 到今天,用于实践的归纳形式都只是简单的举举例。培根认为自己找 到了某种更有力的方法。这种方法就是在调查时,把那些具有同一既 定属性,或不具有该属性,或在不同程度上具有该属性的事物,逐一 列举出来。通过这种方法,人们就有可能发现该属性所独具的特征。 如果这一列表过程能够完整地走到尽头,那我们就一定会到达自己的 探索目标。不过在实践中,我们必须满足于部分列表,然后据此大胆 地作出某种推测。 简单地说,这就是培根解释科学方法的主要方法,他把这种方法 看做新的发现工具。下面这篇论文的标题就表明了这种观点,1620 年,他出版了《新工具论》,旨在取代亚里士多德的“工具论”。它 作为一种实用方法,并没有被科学家们接受,而作为一种方法论,它 也是错误的,尽管对传统理性主义的泛滥来说,它坚持观察的态度不 失为一种有价值的解药。但是从根本上看,这种新的工具的确从未超 出过亚里士多德的范畴,它只是简单地依赖于分类法及如下概念:通 过足够细致的列表,就能找出适用一切事物的正确“分类架”,一旦 我们为某个属性找到了恰当的位置和名称,我们就可以认为自己在一 定程度上控制了该属性。 对于统计学的探索而言,这种解释是十分充分的,但是对于假设 的系统阐述,培根错误地认为它以归纳法为基础,而归纳法更多涉及 的是假设的验证。事实上,为了进行一系列的观察,人们必须事先有 一个初步假设,但不能对假设的发现也制定一套条条框框。培根完全 错误地认为能够找到一种发现工具,通过对它的机械运用,人们就可 以揭示出新的惊人的自然秘密。但是假设的建立根本不能以这种方式 来进行。另外,培根对三段论法的拒绝使他低估了演绎论证在科学探 索中的作用,尤其是他很不欣赏当时正蓬勃发展的数学方法。归纳法 在假设的验证中的作用只是所需方法的一个很小的方面,如果没有数 学的演绎法从假设中导出可验证的具体情况,我们就无从知道需要验 证的是什么。 培根对人类容易犯的各种错误作了论述,这些论述成了他哲学中 最精彩的部分之一。按他的说法,我们很容易屈从于四类精神缺陷, 他称它们为“幻象”。第一类是“部族的幻象”,由于我们是人,所 以会受此约束,妄想就是一例,尤其是不切实际地期望在自然现象中 存在着一种更好的秩序。第二类是“洞穴的幻象”,就是每个人自己 的怪念头,这方面的例子比比皆是。第三类是“市场的幻象”,这些 错误是由受言辞迷惑的心灵倾向引起的,也是哲学中特别普遍的一种 错误。第四类是“剧院的幻象”,它们源自各种思想体系和学派的错 误。培根常常举的一个例子,就是亚里士多德主义。 虽然培根对科学探索很有兴趣,但他却忽视了当时所有重大的科 学进步。他没有关注开普勒的工作,也不了解哈维医生在血液循环方 面的发现,尽管他还是哈维的病人。 一般说来,在哲学上对不列颠经验主义更有影响的人是托马斯· 霍布斯(1588~1679)。虽然他的某些方面属于经验主义,但他也赞 赏数学方法,数学把他和伽利略、笛卡尔联系在了一起。由于熟知演 绎法在科学探索中的作用,他对科学方法更为彻底和正确的把握是培 根所不及的。 ◎ 托马斯·霍布斯 霍布斯早年的家庭生活十分惨痛。他父亲是个性情粗野、头脑糊 涂的牧师,当霍布斯还是一个孩子的时候,他就在伦敦失踪了。所幸 的是,他的兄弟很有责任感,自己又没有子女,于是就担当起了抚养 侄儿的重任。霍布斯14岁进了牛津学习古典知识,经院派的逻辑和亚 里士多德的形而上学都在当时的课程范围,霍布斯对这类知识产生了 终身的厌倦感。1608年,他做了威廉·加威狄希的家庭教师,后者是 德劳郡伯爵的儿子。两年后,他陪同学生作了一次例行豪华旅行。这 位年轻的贵族继承了爵位之后,便成了霍布斯的庇护人。霍布斯通过 他结识了当时的许多头面人物。在主人去世后,霍布斯曾去巴黎住了 一段时间,然后又回来做了先前这位学生的儿子的家庭教师。1634 年,他随年轻的伯爵访问了法国和意大利,在巴黎期间,他遇到了默 塞尼等人。1636年,他在佛罗伦萨拜访了伽利略。1637年,他回到家 中,开始撰写早期的政治理论文章。在即将爆发的保皇党与共和党的 斗争中,他的君权观点未能博得任何一方的好感。于是生性谨慎的霍 布斯于1640年去了法国,在那里一直住到1651年。 ◎ 《利维坦》扉页,作者霍布斯。 在巴黎逗留期间,霍布斯再次与默塞尼这群人来往,并且邂逅了 笛卡尔。起初,他和这些逃离英国的保皇党流亡者们(包括未来的查 理二世)互相很友好,但是当他于1651年出版《利维坦》时,却同所 有人都闹僵了。保皇党朋友们不喜欢他对待忠诚问题的那种科学而超 然的态度,而法国教士们则厌恶其反天主教的观点。于是霍布斯决定 再度出走,这一次他回到了英国,屈从于克伦威尔,并退出了政界。 也就是在这段时间里,霍布斯和来自牛津的瓦里斯之间,发生了一场 “化圆为方”的论战。霍布斯对数学的尊重超过了他的数学能力,因 而瓦里斯教授得以轻松获胜。而霍布斯直到生命的最后时刻还在与数 学家们争论不休。 1660年,查理二世的王政复辟后,霍布斯再次得到了国王的宠 幸,甚至还获得了一百英镑的年金,不过这项慷慨的赠与一直没有可 靠地兑现。当“瘟疫”和“大火灾”发生以后,迷信的流行促使下议 院对无神论进行调查,霍布斯的《利维坦》成了反对派批判的一个重 点目标,从此他就不能在国内发表任何有关社会或政治问题的有争议 的文章了。霍布斯很长寿,他晚年时在国外赢得的声誉竟然超过了国 内。 霍布斯在哲学上奠定的基础,后来成了不列颠经验主义学派的一 个特征。他最重要的著作是《利维坦》,在这本书中,他把自己的哲 学观点用到了君权理论的设计上。在转向社会理论之前,《利维坦》 以导论的方式完整地总结了他的一般哲学思想。该书的第一部分用严 格的机械术语论述了人和人类心理学,还有语言和认识论方面的一些 哲学反思。他和伽利略、笛卡尔一样,也主张我们所体验的一切都是 由外物的机械运动造成的,而视觉、声音、气味之类并不属于客体, 而是为我们个人所拥有。在这个问题上,他顺便指出,大学里还在讲 授基于亚里士多德的拙劣的发散理论。不过随后又闪烁其词地补充 说,自己在总体上并不反对大学,只是因为自己日后要提到大学在共 和政体中的作用,所以必须指出大学应该改正的主要缺点,“毫无意 义的频繁演说就是其中之一”。对于心理学,他持一种联想主义者的 观点;至于语言,则采取了纯粹的唯名论。他还认为几何学是迄今为 止惟一的科学,理性的作用和几何学中的论证具有相同的特性。我们 必须从定义开始,而且在下定义时要谨慎,不要使用自相矛盾的概 念。正如笛卡尔坚持的那样,在这个意义上,理性就是某种通过实践 得来的非天生的品质。接着,霍布斯还用运动来解释感情,他认为所 有的人在自然状态下都是平等的,都在谋求牺牲别人、保全自己,因 此每个人都处于某种战争状态。 为了逃避这种使心灵不安的梦魇,人们就联合起来把自己的权力 交给某个权威。这就是《利维坦》第二部分的主题。人类是理性的, 也是彼此竞争的,他们不得不达成一种人为的协议,同意服从于共同 选择的某个权威。一旦这种体制得到实施,他们就无权起来反叛,因 为协议制约的是被统治者而不是统治者。统治者应该能够提供保护 (这也是他被选中的首要原因),只有在他做不到这一点时,人们才 有理由宣布废止协议。在这种契约的基础上建立起来的社会就是共和 政体,它就像一个由许多普通人组成的巨人,一个“利维坦”,它比 个人更大,更强,因此就像一个神灵,尽管它也和普通人一样会消 亡。核心权威被称为君权,在生活的所有方面都有绝对的权力。 《利维坦》第三部分概述了不应存在世界性教会的原因。霍布斯 是彻底的伊拉斯图派教徒,因此主张教会应该是服从民事当局的一个 国家机构。该书的第四部分谴责了罗马教会,因为它未能明白这一 点。 当时政局的动荡影响了霍布斯的理论。他最厌恶内部的纷争,因 此他的观点不管怎么看都是倾向于和平的,这与洛克后来提出的“制 衡”概念相对立。他的政治观点虽然脱离了神秘主义和迷信,却倾向 于把问题过分简单化。对于自己所处的政治环境来说,霍布斯的国家 概念是欠充分的。 前面说过,文艺复兴时期逐渐唤起了人们对数学的关注,后期文 艺复兴思想家们关注的第二个主要问题就是方法的重要性。在谈到培 根与霍布斯时,我们已经看到了这一点。勒奈·笛卡尔(1596~ 1650)则以古代哲学家过人的气魄,将这两种影响融合成了一种全新 的哲学体系,因此他被称为“近代哲学之父”是十分恰当的。 ◎ 勒奈·笛卡尔 笛卡尔出身于一个级别较低的贵族家庭,他的父亲是布列塔尼地 方议会的一名议员。1604~1612年,笛卡尔在拉夫赖士的耶稣会学院 接受了扎实的古典教育,此外,他还受到了当时最好的数学基础训 练。离开学院后,他去了巴黎,并于次年在普瓦捷学习法律,1616年 毕业。然而他的兴趣却在别的领域。1618年,他应征从军到了荷兰, 因而有大量的时间来从事数学研究。1619年,“三十年战争”终于爆 发了,想到外面闯荡一番的笛卡尔加入了巴伐利亚军队。就在那年冬 天,他发现了激发自己哲学思想的主导概念。《方法论》一书讲述了 他的这一经历。那一天特别寒冷,笛卡尔躲进一间小屋,坐在一个瓦 炉旁。在身体稍稍暖和一些后,他开始了沉思。到那天快结束的时 候,他的整个哲学的轮廓已经清晰地呈现出来了。1622年以前,笛卡 尔一直呆在军队里,随后又回到了巴黎。第二年他访问了意大利,并 在那里住了两年。重返法国后,他却对自己的家庭生活感到非常心 烦。由于他性格有点孤僻,加上想在没有干扰的氛围中工作,于是他 在1628年去了荷兰。笛卡尔在临行前变卖了小部分地产,因而可以过 着舒适的独居生活。除了三次对法国的短暂访问之外,他剩下的21年 时光都是在荷兰度过的。沿着自己在发现方法过程中所形成的思路, 笛卡尔逐渐完成了他的哲学。1633年,当他听说伽利略受到了审判, 就放弃了一部重要的物理学著作的出版,因为这本书采纳了哥白尼的 理论。他主要是不想卷入到论战中去,对他来说,那只会浪费宝贵的 时间。而且从各种表面现象来看,他都是一个虔诚的天主教徒,尽管 他究竟在多大程度上保持了教义的纯洁性永远也没人知道。笛卡尔决 定只出版三卷本合集,即《屈光学》、《大气学》和《几何学》。 1637年出版的《方法论》则是他特地为这三篇论文写的前言,其中最 著名的《几何学》提出并运用了解析几何的原理。在1641年和1644 年,他又先后出版了《沉思录》和《哲学原理》,这两本书是献给巴 拉丁的女儿伊丽莎白公主的。1649年,他还为公主写了一篇关于灵魂 激情的论文。这一年,瑞典的克里斯蒂娜女王对笛卡尔的作品发生兴 趣,并最终劝他到了斯德哥尔摩。这位斯堪的纳维亚君王是一位真正 的文艺复兴人物,她意志坚强、精力充沛,坚持要笛卡尔在清晨五点 为她讲授哲学。在瑞典的冬夜里,清晨五点并不是一个适合哲学家起 床的时刻,笛卡尔终于经受不住而病倒了,并于次年的2月去世。 说到底,笛卡尔的方法是他喜爱数学的结果。在几何学领域,他 已经表明了这种方法将会怎样产生深远的结果。因为借助于分析方 法,人们就可能通过简单的方程式来描述一切曲线的特征。笛卡尔相 信,在数学领域如此成功的方法,也能延伸到别的领域,并使探索者 可以像在数学中一样获得同样的确定性。《方法论》旨在告诉我们, 为了充分利用我们的理性品质,我们应该遵循什么样的规则。至于理 性本身,他认为在这方面人人都是平等的,其中的区别仅仅是有的人 比另外一些人运用得好一些而已。但方法是某种实践的产物,笛卡尔 清楚地看到了这一点,因而他并不想把某种方法强加给我们,而是想 表明他如何成功地运用了自己的理性。书中的说明是自传式的,它讲 述了作者早年对存在于一切领域的不确切、无定论说法的不满足。关 于哲学,他说再也没有什么令人如此难以容忍、却又为某些人所持有 的观点了。数学以其演绎法的确定性给他留下了深刻印象,但他还是 无法搞清它的恰当用途。他放弃了书本上的学习,开始外出旅行,却 又发现各种习俗就像哲学家的观点一样差别明显。最后,他通过审视 自我来发现真理。该书接着还记述了前文已提到过的“炉边反思”。 ◎ 《方法论》扉页,作者笛卡尔。 笛卡尔发现,只有完全由作者自己完成的作品才是满意的作品, 于是他决定舍弃一切他所学过的和被迫信以为真的东西。只有逻辑 学、几何学和代数学在他的这场大扫荡中得以幸存下来,他还从这些 学科中得出了四条规则:一、除了明晰独特的理念,决不接受任何东 西。二、必须根据解决时的需要把每个问题分成若干部分。三、思维 必须按照由简到繁的顺序,如果没有顺序,我们必须假设一个。四、 为了确保没有任何疏忽,我们应该经常进行彻底的检查。笛卡尔在将 代数应用于几何问题时,就采取了这一方法,并由此创立了“解析几 何”。至于它在哲学上的应用,笛卡尔认为必须推迟到自己年纪更大 一些之后。我们在伦理学上陷入了困境。伦理学虽然被排在科学序列 的末尾,但在实际生活中,我们却必须迅速作出决定。于是笛卡尔采 取了一种临时性的行为模式,按照实用主义标准,这种模式将为他提 供最好的生活条件,因此他决定遵守本国的法律和习俗,并且始终保 持对宗教的虔诚。一旦决定了采取某个行动,他就会果敢地走下去。 最后,他还试图严格地约束自己,不去冒险,要使自己的愿望适应万 物的秩序,而不是反过来。从此以后,笛卡尔决定专攻哲学。 ◎ 几何学中的一个图解 在继续谈论形而上学时,笛卡尔的方法使自己产生了系统的怀 疑。感官提供的证据是不确定的,因而必定使人产生怀疑。甚至数学 也必须受到怀疑,尽管关于它的疑问要少得多,但上帝可能会故意把 我们引入歧途。有一个事实怀疑者最终必须承认,那就是他自己的怀 疑。这是笛卡尔的基本命题“我思故我在”的基础。他还认为这是形 而上学的一个清晰的出发点。笛卡尔由此得出结论说,他自己是一个 完全独立于自然、也独立于肉体的一个正在思维的东西。他还进一步 论及上帝的存在,不过基本上是重复了本体论证明。从我们自己明确 的理念意义上说,既然上帝必然是诚实的,那他就不可能欺骗我们; 既然我们拥有各种物体或广延性的理念,那它们就一定是存在的。接 下来,《方法论》概述了物理学问题,其罗列顺序和尚未发表的论文 中的顺序一样。一切都可以用广延性和运动的术语来解释,这个方法 甚至应用到了生物学。笛卡尔把血液循环解释为心脏运动的结果,而 心脏则像一个加热装置,使流入其中的血液扩散开来。这当然是不符 合哈维的观察结果的,从而引发了两个人之间的激烈争论。但在《方 法论》中,这种机械的理论却推导出了“动物是没有灵魂的自动化物 体”的观点,之所以这样说,其依据就是它们不会说话,因而一定是 缺乏理性的。这就使“人的灵魂独立于肉体”的观点得到了强化,并 且推导出了“灵魂不朽”的结论,因为不存在任何别的破坏力量。最 后,《方法论》隐晦地谈到了对伽利略的审判,还提到了是否出版的 问题。笛卡尔到底找到了一个折中的办法,就是把《方法论》作为前 言,和前面提到三篇论文一起发表。以上就是《方法论》的要义,它 为我们呈现了笛卡尔哲学原理的一个简洁的轮廓。 这一学说最为重要的部分就是批判性怀疑的方法。作为一种方 法,它导致了普遍的怀疑,就像后来的休谟一样。不过笛卡尔却摆脱 了这种怀疑性的结论,因为他在思考中抓住了明确理念。他认为广延 性、运动之类的一般性概念是独立于感官的,它们是与生俱来的理 念,也是关于这些第一属性的真正的知识。而感官知觉是第二属性, 如色彩、味道、触觉等,它们并不真的存在于事物当中。笛卡尔在 《沉思录》中举了一个著名的例子,即通过观察一根蜡烛及其变化来 说明这一点。广延性是始终不变的,这种与生俱来的理念可以为心灵 所感知。 笛卡尔哲学强调思维是无可置疑的出发点。从此,欧洲的哲学, 无论是理性主义还是经验主义,都受到了这一观点的影响。这种观点 的确是正确的,尽管它的基础“我思故我在”的命题本身并不是十分 合理。因为只有在我们承认其中隐藏着一个先决条件,即思维是一种 自我意识的过程时,“我思故我在”的说法似乎才能成立;否则,我 们同样可以说“我行故我在”,因为如果我确实在走,那么我就必定 存在。这一异议是由霍布斯和伽桑狄提出的。我在实际上并未行走的 时候,当然也可以想像自己在行走;而事实上并没有想时,我就不能 认为自己在思维。正是这种在思维过程中出现的自我参照,赋予了这 个命题不容置疑的、明确的特征。就像后来的休谟那样,一旦去掉自 我意识,这一原理就崩溃了。然而仍旧真实的是,一个人自身的精神 体验所具有的独特确定性,是别的活动所没有的。 笛卡尔哲学激化了古老的精神与物质的二元论,从而把该理论必 须面对的心灵与肉体的关系问题摆在了显要位置。因为现在物质世界 与精神世界似乎互不相干,而只受自身规律的支配。按这种观点,愿 望的心理效力更不可能影响到物质世界。但笛卡尔自己却在这里容许 了一个例外,那就是人的灵魂能够改变生命体的运动方向(尽管不是 数量)。然而这个人为的退路与他的整个体系是不一致的,而且也不 符合运动规律,因而笛卡尔的追随者们舍弃了它,转而主张心灵不能 移动肉体。为了解释两者的关系,我们必须认为世界就是这样预先规 定的,即某种身体运动无论在何时发生,实际上都同时伴有精神领域 的适当意识的发生,但这种意识与身体运动并没有直接联系。这个观 点是笛卡尔的追随者们,尤其是格令克斯(1624~1669)和马勒伯勒 士(1638~1715)发展起来的。它被称为“偶因论”,因为它认为正 是由于上帝的旨意,物质活动与精神活动才会沿着平行的轨道进行, 在这种方式下,其中一个活动总是在另一活动发生的适当时刻发生。 为了阐释这一理论,格令克斯还发明了两个时钟的比喻。假如我们有 两个钟,都走得很准,那么我们只看一个钟就行了。当指针指向某个 正点时,我们会听到另一个钟在报时,这样,我们就可能倾向于说, 是第一个钟引发了第二个钟的响声。心灵和肉体就如同这两个钟,上 帝为它们上好了发条,各自在独立而平行的轨道上运转。当然,偶因 论也产生了一些棘手的问题,比如由于为了节省时间,我们只看其中 一个钟就行了,因此我们似乎就有可能完全通过参照物质活动来判断 精神活动。 ◎ 笛卡尔二元论:精神与物质彼此分离。 偶因论本身的原理为如此冒险的计划提供了成功的保障,于是我 们就可以仅仅根据物质活动,设计出一整套精神理论来。事实上,这 种尝试是由18世纪的唯物论者来进行的,并且得到了20世纪行为主义 心理学的推广。这样一来,偶因论不仅没有把灵魂从肉体中独立出 来,反而最终使其中之一(灵魂或肉体)成了多余的。无论采用哪种 观点,都是与基督教原则格格不入的,难怪笛卡尔的著作会在天主教 的禁书目录中找到自己无法逃脱的位置。首先,笛卡尔主义未能始终 如一地容纳自由意志。最后,无论从物理学还是生物学方面来看,他 在解释物质世界时所提出的严格决定论观点,都极大地促进了十八九 世纪的唯物主义发展,尤其是当它与牛顿的物理学结合起来的时候。 经院派哲学家曾经使用过“实体”一词,从这一专门术语的含义 上说,笛卡尔的二元论纯粹是用某种习惯方式处理实体问题的结果。 实体是各种属性的载体,但实体本身又是独立和永恒的。笛卡尔认识 到,物质与精神是两种不同的自给的实体,并且无法以任何方式相互 影响,于是他采用了偶因论者的方法,以此来弥合两者之间的差别。 但是很显然,如果我们承认了这样的原理,那我们就没有理由不尽可 能地依赖于它。比如,人们可以把每个心灵都当做它自己的一个实 体。朝着这一方向发展下去,莱布尼茨在“单子论”中提出了无限多 实体的理论,并指出这些实体是独立的,但又是协调的。另一方面, 人们也可以追溯到巴门尼德的观点中去,即认为只有一种实体。斯宾 诺莎接受了后一种观点,他的理论可能是迄今为止最连贯、最不妥协 的一元论。 ◎ 斯宾诺莎 斯宾诺莎(1632~1677)出生于阿姆斯特丹一个犹太人家庭。据 说他的祖先为了寻找一个能够按照自己的方式来敬神的地方,不得不 舍弃原本在葡萄牙的家园,因为自从穆斯林被赶出西班牙和葡萄牙之 后,宗教裁判所就不再容许异教的存在,这至少使得非基督徒的生活 不大好过了。而正在与西班牙暴政对抗的荷兰则经历了宗教改革,为 这些受迫害的人提供了避难之地,阿姆斯特丹因此成了犹太社团的新 家园。正是在这里,斯宾诺莎接受了早年的教育。然而对于他活跃的 头脑来说,这些传统的学习太简单了。借助于拉丁文,他熟读了一些 思想家的著作,这些思想家曾经推动了学术的复兴,而且正在发展新 的科学和哲学。让犹太社团极为尴尬的是,斯宾诺莎竟然很快就发觉 自己不可能再留在正统范围之内了。改良宗教的神学家们坚持走自己 的路,毫不妥协;正统派则认为对宗教的任何激烈批判,都将破坏当 时盛行于荷兰的宽容气氛。最后,他们用尽了《圣经》里所有的诅 咒,将斯宾诺莎赶出了犹太教堂。 从此,生性内向的斯宾诺莎就完全隐遁起来,在由朋友组成的小 圈子里过着平静的生活。他以打磨镜子为生,并沉浸在哲学沉思之 中。尽管过着一种隐居生活,但他的名声却迅速地传开了。后来他与 一些有影响的崇拜者保持了书信联系,其中最重要的一位就是莱布尼 茨,据说他们相识于海牙。但斯宾诺莎从没有答应过复出。1673年, 巴拉丁选帝侯提出让他担任海德堡大学的哲学教授,被他婉言谢绝。 之所以谢绝这一荣誉,他自有充分的理由。他说: “如果我专门去教 授年轻人哲学的话,那么我就得中止对哲学的进一步研究。何况,我 也不知道应该把哲学探讨的自由控制在什么范围之内,而不至于给人 留下试图推翻现有宗教的印象……所以您能够理解,我并不指望交上 什么好运。不过我放弃讲学的原因,仅仅是由于珍惜宁静的生活。要 过这种生活,我想最好还是维持现状吧。” 斯宾诺莎不是一位多产作家,但他的作品却展示了罕见的专注性 和逻辑严密性。他对上帝和宗教的观点是如此超前,以至于他在生前 和死后一百年里都被咒骂为邪恶的怪物,尽管他的伦理观念很受推 崇。斯宾诺莎最杰出的作品是《伦理学》,这本爆炸性的书在他死后 才得以出版。在政治理论上,他与霍布斯有许多共同之处,不过前者 的立足点是截然不同的,尽管在很大程度上,他们都认为一个健全合 理的社会应该具备某些特征。霍布斯采用了经验主义的方式来确立自 己的解释,而斯宾诺莎则从自己的一般形而上学理论中推演出了结 论。实际上,如果我们想了解斯宾诺莎论证的力量,就必须把他的全 部哲学著作当成一整篇长论文,以便从总体上把握,部分原因是由于 和经验主义哲学家的政论文相比,斯宾诺莎的作品不容易给人留下直 观的印象。但我们应该记住,他所讨论的都是当时十分活跃和现实的 问题。与19世纪相比,自由在当时的政体中的重要作用还没有得到普 遍的认同。 斯宾诺莎是思想自由的热心辩护人,这正是他和霍布斯不同的地 方。的确,从他的形而上学和伦理学中,可以推导出这样的结论,即 只有在思想自由的情况下,国家才能正常运转。他在《神学政治论》 中着重论述了这一点。这本书不同寻常的地方是,它通过批判《圣 经》的间接方式讨论了这些话题。在这里,斯宾诺莎主要针对《旧 约》提出了批判,两百年后,这个批判又变成了所谓的“高级批 判”。他首先考察了《旧约》中的历史事例,并且以此证明说,思想 自由是社会存在的根本。在这个问题上,我们发现他的结论中有一种 独特的反思。“但是我必须承认,思想自由有时也可能导致某些麻 烦。但谁又能建立起完全没有副作用的东西呢?那些希望以规则支配 万物的人,将会引发更多的缺陷而不是减少它们。无法禁止的东西必 然要得到容许,即使有时它们会导致危害。” 斯宾诺莎并不认为民主制就是最合理的社会秩序,这也是与霍布 斯不同的一点。最合理的政府应该在合理的地方发布合理的政令,还 应该在信仰和教诲问题上持回避态度。当一个负责政治的特权阶级建 立在所有权基础之上时,民主就会出现。斯宾诺莎认为,在这样的政 府治理下,人们就会有最多的机会去发挥自己的知识潜力。从他的形 而上学观点来看,这也是人类本性所追求的目标。至于什么样的政府 才算最好的问题,如果一个贸易社会(其活动取决于一定程度的自由 和安全保障)能够有最好的机会来确定自由规则的话,那么这种社会 的政府就是最好的政府。斯宾诺莎以他的祖国荷兰为例,阐述了自己 的观点。 ◎ 斯宾诺沙《伦理学》的扉页。 按照斯宾诺莎体系发表的时间顺序,现在才轮到了《伦理学》, 尽管按逻辑顺序应该最先了解它。《伦理学》的书名容易使人产生误 会,以为它的所有的内容都是伦理学的,事实上,我们首先看到的是 斯宾诺莎的形而上学,它隐含着对自然进行科学考察的理性主义蓝 图。在17世纪,它曾经是最重要的智慧问题之一。该书接下来还阐述 了心灵、意志心理学、激情心理学以及基于上述各项的伦理学理论。 全书的结构按照欧几里德的方式,从定义、公理及其全部证据、推论 和解释入手,从中推导出全部命题。这种哲学探讨的方式在今天已经 不流行了。对于那些只热衷于时尚新书而不管其中有没有长处的人来 说,斯宾诺莎体系确实有些陌生而古怪。不过其体系的设置似乎并不 特别让人无法忍受,而且就其正确性而言,《伦理学》也仍然堪称一 部简洁清楚的论证杰作。 《伦理学》的第一部分涉及了上帝。它提出了六个定义,其中包 括与经院哲学传统用法相同的实体定义和上帝定义。书中的公理陈述 了七个基本假设,但没有作进一步的证明。再往下,我们只是看到了 一些推论,就像欧几里德的作品一样。从斯宾诺莎给实体下定义的方 式来看,似乎实体必然是某种完全可以进行自我解释的东西。实体必 定是无限的,否则它的局限性就会给自身带来某些影响,而且最终变 成世界的总实体只能是一个,它还能与上帝重合一致。因此,上帝和 宇宙(万物的总和)是同一的。这就是著名的斯宾诺莎泛神论。应该 强调的是,斯宾诺莎的解释并没有神秘主义色彩,整个过程完全是按 照演绎逻辑的方式来进行的,而且建立在一组定义和公理的基础上, 这些定义和公理体现了他惊人的独创性。斯宾诺莎体系也许是哲学史 上最杰出的体系结构典范。 把上帝等同于自然的观点,引起了所有阵营中正统派的极端反 感,而它却是一项简单演绎论证的结果。就其本身而言,它是十分合 理的,如果说它伤害了某些人所珍视的信仰的话,这只能说明逻辑对 任何情感都是一视同仁的。如果按照传统方式来定义上帝和实体却一 无所获的话,那么人们就不得不接受斯宾诺莎的结论,这样一来,人 们就完全可能逐渐认识到,这些术语具有某种独特的性质。按照这一 理论,斯宾诺莎把人类自身的智慧看做上帝智慧的一部分。和笛卡尔 一样,他也坚持明确性,他说: “谬误的原因在于缺乏足够的领悟力 和洞察力,而让残缺混淆的理念掺杂其中。”一旦我们有了充分的理 念,我们就必然会像把握理念的秩序和联系一样,逐渐把握住事物的 秩序和联系。心灵的本质在于探询事物的必然性,而不是偶然性。我 们在这方面做得越好,就越接近于和上帝(或世界)同一。正是在这 种意义上,斯宾诺莎说出了如下名言:心灵的本质在于以某种无始无 终的观点来领悟事物。这确实是心灵把事物看做必然这一事实的推 论。 《伦理学》的第三部分揭示了激情是如何妨碍心灵的,从而使心 灵不能全面理智地认识宇宙。支配我们一切行动的动力就是自我保 存。人们可能会认为,这种纯粹的利己原则会把我们全都骂成追逐私 利的犬儒主义者,但这种看法是完全错误的。因为一个人在寻求自身 利益的过程中,迟早会渴望与上帝统一起来,如果达到了这个境界, 他就更能以“永恒的形式”来看待事物,这种“永恒的形式,”就是 上面所说的“无始无终的观点”。 ◎ 斯宾诺莎认为心灵与物质是一个物体的两个方面。 《伦理学》的最后两个部分才真正讲到了斯宾诺莎的伦理学。一 个人只要受到了外部影响和原因的制约,那么他就处于某种奴隶状 态。的确,对一切有限的事物来说,也同样如此。但只要能与上帝保 持一致,我们就不再受这些影响的制约,因为宇宙作为整体是不受制 约的。所以,人们可以通过越来越协调于整体宇宙,来获得相应程度 的自由。由于自由意味着独立自主,而只有上帝才享有完全的自由。 通过这种方式,我们就能够摆脱恐惧。像苏格拉底、柏拉图一样,斯 宾诺莎也认为无知是万恶之源,而知识则有助于人们采取明智、恰当 的行动。 和苏格拉底不同的是,斯宾诺莎并不考虑死亡问题。“一个自由 的人从不考虑死亡问题,他的智慧是对生命,而不是对死亡的思 考”。既然罪恶是否定的,那么上帝或自然作为一个包罗一切的总 体,就不可能是罪恶的。在这个惟一可能的世界上,一切事物都在追 求极至。在实际事务中,为了获得与宇宙的最大程度的沟通,人就应 该按照自我保存的方式来行动。 以上就是斯宾诺莎体系的一个大致轮廓,它对于17世纪科学运动 的重要意义在于它采用同一标准的决定论解释了宇宙万物。事实上, 这一体系也是日后用来详尽阐述一元化科学大全的纲要。如果不是从 严格意义上看,这种尝试现在就不能被认为是合理的尝试。同样,在 伦理上,我们也不能承认邪恶纯粹是消极的东西,比如,任何无法无 天的残酷行为都是整体世界的一个积极而永恒的缺点,基督教在原罪 论中所暗示的可能就是这一点。斯宾诺莎的答案必将是:在永恒的方 式下,没有永远无法无天的残酷。但是这种观点不大容易确立起来。 不管怎么说,斯宾诺莎体系仍然是西方哲学的一座丰碑,尽管它的严 肃风格有点《旧约》的色彩,但它仍然是一种伟大的尝试,因为它以 古希腊人的宏伟气魄向我们指出,世界是一个可理喻的整体。 前面说过,实体问题的确能推导出完全不同的解决方法。假如说 斯宾诺莎坚持的是极端一元论,那么莱布尼茨的答案则走向了另一个 极端,即假设实体的数量无穷多。从某种角度看,这两种理论之间的 关系就像巴门尼德学说与原子论的关系一样,尽管这种类比不是完全 贴切。归根到底,莱布尼茨的理论是以如下反思为基础的:单个实体 不可能具有广延性,因为这将导致多样化,而且只能描绘出某一组实 体的特征。于是他推断说,实体是无穷多的,每个实体都是非广延 的,因此也是非物质的。他称这些实体为“单子”,从这个词的普遍 含义来看,“单子”具有灵魂的基本特征。 莱布尼茨(1646~1716)生于莱比锡,其父是大学教授。他很小 的时候就显示出活跃的批判性才华。他15岁进入大学学习哲学,两年 后毕业,又到耶拿攻读法律。20岁时,他申请了莱比锡大学的法律博 士学位,由于年龄太小而遭到了拒绝。阿尔杜夫大学则比较宽容,不 仅授予他学位,而且还给了他教授的职位。不过另有打算的莱布尼茨 并没有接受这一职位。1667年,他在美因兹大主教手下从事外交工 作,后者不仅是选帝侯之一,而且是一位活跃的政治家,他决心在 “三十年战争”的大破坏中重振破碎的帝国,而第一步就是必须阻止 法国路易十四的入侵。 ◎ 莱布尼茨 1672年,莱布尼茨带着这一目的来到了巴黎,并在那里呆了将近 四年。他的计划是去劝说太阳王出兵镇压异教徒并入侵埃及。尽管未 能完成任务,但在此期间,莱布尼茨遇到了许多那个时代重要的哲学 家和科学家。马勒伯勒士当时正是巴黎的活跃人物,还有一些人,如 巴斯加之后的冉森主义主要代表人物阿尔诺,当时也誉满巴黎。同 时,莱布尼茨还结识了荷兰物理学家惠更斯。1673年,他去了伦敦, 遇到了化学家波义耳和奥尔登伯格(新创立的皇家学会的秘书,莱布 尼茨后来也加入了该学会)。在这一年里,他的雇主美因兹大主教去 世了,布伦斯威克公爵正好在汉诺威需要一位图书馆管理员,提表示 让莱布尼茨负责这一工作。莱布尼茨并没有立即接受,而是依旧呆在 国外。1675年,他开始在巴黎研究微积分,这项工作牛顿虽然做得稍 早一些,但莱布尼茨是独立发现这一方法的。1684年,莱布尼茨在 《学问记述》上发表了他的观点,该观点比牛顿的流数理论更接近现 代形式,而牛顿的《自然哲学的数学原理》三年之后才问世。紧随其 后的是一场长期的无聊争论,人们没有正视其中的科学问题,而是根 据国家立场来决定支持谁。结果,英国在数学方面落后了一个世纪, 因为法国人所采用的莱布尼茨数学标记法是一种更加灵活的分析手 段。1676年,莱布尼茨在海牙拜访了斯宾诺莎,然后到汉诺威负责图 书馆工作,直到去世。他用了大量的时间来编辑布伦斯威克的历史, 其余的时间则用来进行科学及哲学研究。此外,他还进一步设计了欧 洲政局的改革方案。他曾试图弥合巨大的宗教分歧,但没有人注意他 的方案。1714年,汉诺威的乔治当上英格兰国王时,没有邀请莱布尼 茨随皇室前往伦敦,这无疑是他的微积分争论所造成的不幸后果。他 心情沮丧地留在了汉诺威,并遭到了人们的冷落,两年后就去世了。 ◎ 莱布尼茨在汉诺威的寓所。 要讨论莱布尼茨的哲学不大容易。首先,他的大部分作品都是不 完整的片断,经常忘了及时修改那些导致轻微矛盾的地方。这主要归 咎于莱布尼茨的生活环境,因为他的哲学写作很少能在悠闲的时间里 完成,因而很容易被延迟和中断。而另一个有趣的原因使得莱布尼茨 的作品有时令人费解,这就是其哲学的两重性。一方面,他根据单子 论提出了实体的形而上学观;而另一方面,他又提出了一种逻辑理 论,这一理论在很多方面与他的形而上学思辨很相似。对我们来说, 他的逻辑观点也许比形而上学更重要,但莱布尼茨本人却显然对这两 个方面都同样重视。的确,对他来说,从一个领域转到另一个领域并 不难。现在,多数英国哲学家都开始怀疑这一观点;尽管“语言与逻 辑总能自给”这一概念本身就是一种有缺陷的形而上学观。我们必须 注意到以下这一点,那就是莱布尼茨的形而上学吸纳了当时科学发展 的一些主导特征。他的形而上学著作在生前就出版了,其中就有单子 论,这一理论为他赢得了大约两个世纪之久的哲学声誉。而他的逻辑 著作直到20世纪初才得以出版,并获得恰当的评价。前面说过,莱布 尼茨在形而上学理论中,通过“单子”论对实体问题做出了回答。和 斯宾诺莎一样,他也坚持实体不能相互影响的观点。这就立即导出了 一个结论,即任何两个单子之间都不能够产生因果关系。的确,单子 之间不可能有任何形式的真实联系。打个比方说,就是所有的单子都 没有窗户。那么这又怎样与公认的事实——宇宙的任何部分都有因果 关系相符合呢?现成的答案就是格令克斯的“两个时钟”理论。我们 只要把单子(实体)扩展到无穷多,就可以符合既定的和谐理论,因 为上帝规定了所有的事务,所有单子都处在一个设计精巧而庞大的平 行轨道系统中,并在自己的轨道上独立运行。那么从这个意义说,每 个单子都能反映整个宇宙。 每个单子都是一个实体,单子之间不仅具有质的区别,而且代表 了不同的主张。从严格意义上,我们不能说它们有各自不同的位置, 因为它们不是时空的实体。空间和时间都是不真实的感觉现象。在时 空背后,单子的排列组合才是真实的,每个单子都代表着一个不同的 主张,并且以略为不同的方式反映宇宙。不存在两个完全相同的单 子,否则,所有的单子实际上就是同一个单子。这就是莱布尼茨“非 辨别物的同一性”原理的意义所在。因此宽泛地说,两个单子可能只 是在位置上有所区别的说法是没有意义的。 既然所有的单子都不相同,那么我们就能够根据它们反映世界的 清晰度,将它们排列成序。每个物体都由一群单子构成,人体也是如 此,但其中必须有一个主导单子,它因自身的清晰度而与众不同。更 具体地说,这个特殊单子就是人的灵魂,尽管从广义上看,所有的单 子都是灵魂,而且都是非物质的、不可摧毁的,因而也是不朽的。主 导单子或灵魂之所以突出,不仅因为它的领悟清晰度更高,而且也因 为它具有让其“部属”按各自既定的和谐方式运行的种种目的。宇宙 万物的产生都有其充分的理由,但自由意志却被允许例外,人的行动 理由不受逻辑必然性的严格约束。上帝也享有这种自由,尽管他不能 随意违背逻辑规则。在斯宾诺莎可能引起敌视的地方,莱布尼茨的这 种自由意志论却为人们所接受;对于采用单子进行的系统解释来说, 这一理论似乎真的永远行得通,但事实却有差异,这一点将在后面谈 到。 对于“上帝存在”的问题,莱布尼茨完整地展示了我们已经遇到 过的各种主要的形而上学论证。在四项论证中,首先是安瑟伦的本体 论论证;其次是源于亚里士多德某种形式的第一推动力论证;第三项 是源于必然性真理的论证,不知为什么,它竟然需要神的心灵存在; 第四项源于既定的和谐理论,实际上是一种从设计出发的论证。这些 论证我们都在别处探讨过,并且揭示了它们的缺点。康德迅速而全面 地否定了这些形而上学证明的可能性。至于神学,我们应该记住的 是,形而上学的上帝是对万物本性理论所作的最后润色,它并不能激 发感情,和《圣经》里的上帝也毫无关系。除了新托马斯主义者,从 总体上看,神学家们已经不再依赖传统哲学的神性实体了。 借助于显微镜得出的新研究结果,在一定程度上启发了莱布尼茨 的形而上学。当时,列文虎克(1632~1723)已经发现了精子,也有 人证明了一滴水里充满了微小的生命体。这的确是一个完整的世界, 只不过比我们的日常世界规模小些罢了。正是由于这一类思考,莱布 尼茨提出了单子概念,并把它作为终极的、非广延的形而上学“灵魂 点”。微积分似乎也是在同一方向上发展起来的。在这里,莱布尼茨 觉得重要的是这些终极成分的有机性质,他在这方面摆脱了伽利略和 笛卡尔所发展的机械论观点。尽管这样做也遇到了一些难题,但却使 莱布尼茨发现了一种早期形式的能量守恒定律以及最小作用原理。从 总体上说,物理学的发展所遵循的还是伽利略和笛卡尔的原则。 不管莱布尼茨的逻辑学和形而上学之间有着什么样的联系,有一 点是可以肯定的,即前者提供了大量的暗示,至少使得后者更容易理 解。我们先看一看莱布尼茨是如何接受亚里士多德的主谓逻辑的。有 两条一般逻辑原理被吸纳为基本公理,第一条是矛盾原理,即两个相 互矛盾的命题中必有一个是真,一个是假;第二条是前面提到过的充 分理由原理,即一种给定的事态在成立之前要有充分的先决理由。我 们从莱布尼茨的角度,用这两条原理来分析命题,如“所有的金属硬 币都是金属的”,那么我们就能够从矛盾原理中看出,所有这类命题 都是真的,而充分理由原理则导出了这样的观点:一切有充分依据的 真命题都是分析命题,尽管只有上帝才能这样理解它们。对人的心灵 来说,这类真理全都是偶然的。正如在斯宾诺莎那里所看到的一样, 我们在这里也看到了在理想科学方案上的某种努力。由于科学家们为 了建立理论,就要去把握住偶然的事物,再把它作为其他事物的后果 呈现出来,从而使这种偶然具有必然的意义。只有上帝才掌握着完美 的科学,因而他能根据必然性洞悉一切。 实体互不作用是以下事实的一个结果:每一个逻辑主语的生命史 都已经包含在它自己的概念之中。这也源于另一个事实,即它的生命 史既符合自身,也符合所有真命题的分析性。因此,我们必须承认预 定的和谐。但这种解释本身如同斯宾诺莎的理论一样,是严格的决定 论,前文所阐释的自由意志在其中也找不到自己的位置。至于上帝及 其创世,斯宾诺莎认为上帝出于仁慈而创造了尽可能好的世界。但是 他关于这一主题的另一个理论却丝毫没有提及上帝与创世。这种观点 似乎是受了亚里士多德“圆极论”或“尽力将潜在性变为现实性”理 论的启发。那个在任何时刻都呈现出最大现实性的世界最终是存在 的,但必须记住,并非所有的潜在性都能够同时变成现实。 如果不是因为严格坚持主谓逻辑,也许莱布尼茨已经发表了数理 逻辑的一些尝试性见解,从而使这一研究主题得以提前一个世纪出 现。他还觉得应该有可能发明一种完美的、能以计算代替思考的通用 符号语言。虽然有了计算机,但这种想法还是有点性急。不过他预见 了逻辑领域越来越常见的东西。而完美的语言只不过是另一种表述方 式而已,亦即希望人们能够逐渐掌握关于上帝的完美科学。 对明晰理念的执著以及对完美通用语言的探索,都是笛卡尔传统 哲学的主要理性主义工作。在一定程度上,这也和前文所提到的科学 目标相一致。同时,我们在这里找到了一条可以走下去的道路。当莱 布尼茨暗示只有上帝才掌握着完美的科学时,他至少已经隐约了解到 了这一点。 伟大的意大利哲学家扬巴蒂斯塔·维科(1668~1744)在其作品 中更激烈地批判了理性主义思维方式。莱布尼茨的观点被包括维科在 内的每一个敬畏上帝的基督徒所接受,并使这位意大利哲学家建立了 一种新的认识论原理。上帝之所以掌握了关于世界的完善知识,是因 为他创造了世界,而作为被创造的人则不能完善地认识世界。对于维 科来说,认识某一事物的前提条件就是创造了该事物。该原理的基本 表述就是,我们只能认识自己能够创造的东西。如果按照“事实”一 词的原义来理解,那么我们也可以说真理就是事实。 ◎ 扬巴蒂斯塔·维科 事实上,维科在生前和身后的五十年里并不出名。他出生在那不 勒斯,是一位小书商的儿子。他31岁时当上了那不勒斯大学的修辞学 教授,并始终担任这个不怎么显要的职务,直到1741年退休。维科一 生清贫,为了养家糊口,他不得不去做家庭教师和为贵族干些临时性 的文字工作,以贴补微薄薪水的不足。他之所以不为同时代人所知 晓,也从未交上好运,遇到或以书信方式结识到一位和自己分量相当 的思想家,其中部分原因就是他的文风晦涩难懂。 ◎ 真理即行动:知识的限度与我们行动的范围一致。 “真理即行为”的理论产生了许多极为重要的结果。首先,它为 数学真理的明确性提供了一个理由。因为人正是按照抽象、随意的方 式,创立了数学科学的各种法则,而我们之所以能够理解数学,就是 因为我们创造了它。维科还认为数学并不像理性主义者以为的那样, 能使我们增加自然知识,因为数学是抽象的(这里说的抽象并不是指 从经验中提取,而是指脱离自然、人为的某种随意性构造)。上帝创 造了自然,因此只有他才能完全了解自然。如果人想掌握一些有关自 然的知识,那么就应该采取实验与观察的经验性方法,而不是这么多 的数学方法。维科更赞同培根,而不是笛卡尔。应该承认,维科在告 诫人们不要使用数学方法时,他并没有看到数学在科学研究中的作 用。同时还应该指出的是,这里面也含有反对随心所欲地进行数学思 辨的告诫,这种思辨有时会冒充经验主义研究。而处于这两个极端之 间的正确方法,我们已经提到过。 数学之所以具有明确性,是因为人们从事或创立了数学,这一理 论影响了后来的许多人,尽管他们可能并不同意维科如下观点:数学 是任意的。我们也许有必要在此提到马克思主义作家索莱尔的观点以 及戈布鲁特和迈耶松所作的解释,他们都主张数学的有着功利主义和 实用主义的本质。而另一方面,形式论者却接受了任意性概念,他们 把数学看做某种精心设计的游戏。当然,要全面地陈述维科的直接影 响,将是一件困难的事。我们知道,马克思和索莱尔曾经研究过维科 的著作。然而理念常常以某种微妙的方式为人所感知,它们的这种影 响是潜移默化的。尽管维科的著作并没有广为流传,但却包含了19世 纪许多哲学发展的萌芽。 维科原理的另一个主要产物就是他的历史学理论。他认为,由于 数学是人为的,所以是完全可知的,但它并没有反映现实;自然是上 帝创造的,因此不为人所全知,但它却反映了现实。直到今天,在那 些把纯数学看做是一种构造的地方,这一悖论仍然有生命力。维科试 图找到一种既可全知,又能反映现实的“新科学”。结果他在历史学 中找到了,他认为人可以和上帝合作,这一惊人的观点颠覆了传统观 念,因为笛卡尔派早就把历史学当做非科学的东西而取缔了。在19世 纪,德国哲学家狄尔泰、社会学家马克斯·韦伯和松已特,再次提出 了社会本来就比惰性物质更可知的观点。 在多次再版的《新科学》一书中,维科十分完整地阐述了这个新 的假设。对于现在的读者来说,这本书里有一些阅读障碍,因为它混 杂了各种各样的内容,始终没有恰当地加以区分。除哲学问题外,作 者还讨论了经验主义问题以及明确的历史问题,然而他所探索的各个 组成部分并不容易解决。诚然,维科自己有时候似乎也没有意识到他 正从一个问题陷入另一个问题。尽管文风晦涩,又有这样的缺陷, 《新科学》一书还是提出了一个十分重要的理论。 假如把真理等同于所做的事,或事实,这将意味着什么呢?在作 进一步的考察之后,我们发现这个不太正统的原理在认识论问题上, 产生了一些十分合理的推论。因为行为的确有助于我们提高认识,明 智地采取某些行动无疑会加强人们对这一问题的理解。显然,这种现 象在人类的行动或尝试中,发生得最为自然和常见。对音乐的理解就 是一个很好的例子,要彻底弄明白一首乐曲,光听是不够的,我们还 必须通过读谱或演奏,把这首乐曲按原样再现出来,尽管做得相对不 那么专业。问题的关键在于,专业技巧正是通过这种方式逐步获得 的。而科学探索也是如此,通过研究材料而获得的主动知识,要比纯 粹的外部抽象知识更能使人牢固地把握现实。正如后文所提及的那 样,这一观点为皮尔士的实用主义哲学奠定了基础。不管怎么说,这 里并没有任何晦涩的东西,人们根据一般常识已经在“实践创造完 美”这句格言中看到了这一点。因此,单纯学习数学定理是不够的, 人们还应该把自己的理论资源运用到各种具体的问题中去。这并不是 鼓励功利主义,而抛弃超然、公正的研究,相反,对于概念的正确理 解正是要通过行动来实现。从表面上看,这种观点有点像普罗泰戈拉 的实用主义学说,但维科并没有完全从诡辩家的意义上使人成为万物 的尺度,他所强调的是认识过程中能动的、不夸大的再造性因素,这 完全不同于把每个人的见闻都看做终极标准的做法。强调能动性,是 与理性主义者提出的明晰理念根本对立的。 理性主义把想像当做混乱的根源而尽力回避,维科却正相反,他 强调了想像在发现过程中的作用。他可能认为,在概念形成之前,我 们会根据某种十分模糊而定义不明的情形来思考。这个观点并不是完 全令人满意的,因为无论思维过程有多模糊,我们都很难看出它怎样 才算缺乏概念性内容。也许不如说,原始思维是以图像和隐喻来进行 的,而概念性思维则是最终的复杂阶段。这一切中包含着一个有价值 的线索,就是理性主义者的解释把科学当作一件制成品,并按照讲解 的次序来陈列。而维科作品中隐含的解释则表明,科学正在形成之 中,而且以发明的先后为序。不过维科并没有对这里面的大部分内容 作清晰的陈述。 至于人所创造的历史,维科认为可以达到最大限度的明确性,他 感到历史学家有可能揭示历史进程的普遍规律,并且根据这些规律来 解释事情为什么会发生,为什么将会按照预见的方式继续下去。维科 并没有说每个细节都可以按机械的方式进行预测,而是说大致轮廓一 般说来是可知的。在他看来,人的事务有高峰和低谷,就像潮涨潮落 一样,人类的命运也是如此循环往复。前面提到过,循环理论最早见 于前苏格拉底时期的原始资料。但维科如同剧作家和演员,通过在人 的心灵中探询历史重演的形式,从一个新的角度认识了这些古老的概 念。 因此,维科的理论不是对过去的回顾,而是对黑格尔历史论的展 望。同时,这种对待对历史问题的态度,也比理性主义者更适合于历 史的经验主义研究。所以,由霍布斯及后来的卢梭阐述的社会契约论 是一种典型的理性主义的曲解,几乎可以说,那是一种按照机械的数 学方式得出的社会理论。而维科的理论则允许把社会组织视为人类自 然而循序渐进地成长的结果,人类通过自身所积累的传统,逐渐建立 起了集体生活的各种形式。另一方面,社会契约论却假定人们突然发 觉自己是理性的,并且懂得为自己打算,于是他们通过合理的决定, 采取了一次行动,使一个新社会一下子冒了出来。 普遍符合于社会的事物,也同样符合于具体语言。人们在共同的 活动中不得不互相传达信息时,语言就产生了。语言的原始形式包括 各种手势和象征性动作。当语言开始变成声音时,它的符号就不再与 其对象发生直接的自然联系,而是逐渐变成了约定俗成的模式。实际 上,语言是从诗歌开始的,只是经过发展最终变成了一门科学。那些 撰写了语言结构原理的语法学家们也在这里采取了理性主义观点,错 误地以为语言是一种有意识的构造。我们在讨论古代哲学时已经了解 到,科学和哲学语言是文明的新产物。我们在其中可以看到,人们为 了表达新事物,是如何与当时的通用语言作斗争的。虽然常常被人遗 忘,但这仍然是一条重要原则。科学和哲学的职责正是从平常语言入 手,锤炼出更锋利的语言工具,以便进行新的探索,这个可贵的信息 就隐含在笛卡尔对明晰理念的要求之中。维科本人似乎并没有从中看 到这一点,因而也就忽视了理性主义哲学对于科学的重要性。 我们可以用两种对立的方式来讨论语言问题,一是像莱布尼茨那 样,采取极端的理性主义观点,把语言看做某种充满明晰的概念,并 具有明确计算规则的算法。二是按照维科的观点,认为自然语言是作 为交流的充分媒介发展而成的,同时放弃任何形式化的曲解企图。按 照这一观点,逻辑的作用实际上是多余的,因为具有意义的惟一标准 就是语言本身的积极运用。这两种极端的看法都是错误的,理性主义 者误以为发展的方向就是可以达到的终极目标;而对形式化的全盘否 定,则使我们丧失了突破狭隘视野的可能性,结果总是只看到我们自 己。另外,后一种观点还常常与如下的观点联系在一起:日常会话已 经完全清晰明白了。实际上这是一个十分草率的乐观看法,它没有考 虑到过去哲学的种种偏见还残存在日常用语当中。 虽然维科在社会学方面有着正统的理论,但他依然是一位虔诚的 天主教徒。不管怎么说,他都试图把天主教纳入自己的体系,至于这 样做会不会出现自相矛盾,则是另一个问题。但始终如一并不是维科 的优点,维科不可思议地预见了19世纪及其哲学的发展,这才是他的 重要性所在。在他的社会学中,他放弃了理性主义者“理想共和政 体”的概念,而埋头于经验主义事务,也就是研究社会是如何形成与 发展的。在这方面,他具有非凡的独创性,第一个提出了人类文明的 一项真正理论。这一切都与他全部思想的主导概念密切相关,这一概 念就是:真理即行为。用拉丁文表述就是“verum factum”。

    第八章 不列颠经验主义

     紧随着宗教改革的步伐,欧洲北部出现了一种新的政治和哲学立 场。作为对宗教战争时期和隶属于罗马时期的一种反作用,它主要出 现在英国和荷兰。欧洲大陆的宗教分裂所造成的恐怖对英国的影响不 大,的确,英国新教徒和天主教徒曾一度态度暧昧地互相迫害,克伦 威尔统治下的清教主义也和教会有矛盾,但并不存在大规模的暴力冲 突,更没有来自外国的武力干涉。而荷兰却受到了宗教战争的一切影 响,在与天主教西班牙长期艰苦的斗争中,他们的独立终于在1609年 得到了暂时的承认,并得到了1648年威斯特伐利亚条约的首肯。这里 所说的关于各种社会与智力问题的新立场被称为自由主义。这一标题 有点笼统和含糊,但人们仍然可以从中分辨出许多鲜明的特征来。 ◎ 内战中的克伦威尔 首先,从根本上说自由主义是新教的,但并没有采取狭隘的加尔 文方式,它是新教“人人都必须以自己的方式和上帝沟通”概念的一 种发展。另外,自由主义还认为偏执的态度于事业不利,因为自由主 义是新兴中产阶级的东西,而商业和工业正在这个阶级的手中蓬勃发 展着。自由主义还与贵族和君主的顽固特权传统格格不入,因此它的 主要思想就是宽容。在17世纪,当欧洲的大部分地区被宗教冲突弄得 支离破碎,被毫不妥协的宗教狂热所折磨时,荷兰共和国却成了异教 徒和各种自由思想家的避难所。新教教会从来没有获得过天主教会在 中世纪时所拥有的政治权力,国家权力因此变得更为重要。 中产阶级越来越厌烦君主的独裁,他们凭着自身的进取精神获得 了财富。因此,自由主义运动就朝着民主的方向发展,其基本愿望就 是争取财产权和削弱君权。除了否定神授的君权以外,还产生了一种 认识,即人们可以通过自身的努力来改善当前的境遇。结果教育的重 要性便开始得到普遍的承认。 通常,人们对政府持怀疑态度,因为政府正在限制商业的自由发 展。但人们同时又意识到,对法律和秩序的需求是最基本的需求,这 样就多少缓和了他们反政府的态度。从这个时期开始,英国人便继承 了典型的妥协传统。在社会问题上,这就暗示着他们更喜欢改良而不 是革命,因此,就像它的名称所提示的那样,17世纪的自由主义其实 是一股解放的力量。它解放那些实践它的人们,使他们摆脱中世纪传 统在弥留之际仍不肯放弃的一切暴政,包括政治、宗教、经济和智力 上的暴政。同样,它也反对极端主义新教各派的盲目狂热,并且不承 认教会在哲学、科学问题上享有合法权威。在维也纳会议把欧洲带入 神圣同盟的新封建泥潭之前,一种乐观的看法激发了早期自由主义的 活力,并且在无穷能量的驱动下大步向前迈进,而没有遭到重大挫 折。 在英国和荷兰,自由主义的蔓延与当时的普遍条件是如此密切相 关,以至于几乎没有引起什么动乱。而在别的地方,如法国、北美, 自由主义就产生了革命性的影响,并左右和决定了后来事件的发展。 自由主义态度的主要特征就是对个人主义的尊重,新教神学早就强调 了教会在良心问题上享有立法权是不恰当的。同样,个人主义也渗入 了经济和哲学领域。在经济领域它表现为“自由放任”,而它在理论 上则表现为19世纪的功利主义。在哲学方面,它对知识论表现出强烈 的兴趣,从此以后,哲学家们一直致力于这一理论的研究。笛卡尔的 著名命题“我思故我在”就是这种个人主义的典型例子,因为它使每 个人都把个人的存在当做知识的基础。 这种个人主义学说主要是一种理性主义理论,它极力推崇理性, 感情用事一般会被认为是蒙昧的表现。然而在19世纪,个人主义学说 还是逐渐延伸到了感情领域,并在浪漫主义运动的巅峰时期导致了大 量的权力哲学(鼓吹强者的一意孤行)。这样的结果当然是与自由主 义相对立的,实际上,这些理论也是不攻自破的,由于害怕同样野心 勃勃的人竞争,成功者自然就会“过河拆桥”。 自由主义运动影响了学术气氛,因此那些在哲学上持有相反观点 的思想家在政治上却是自由主义的,也就不奇怪了。像不列颠的经验 主义哲学家一样,斯宾诺莎也是自由主义的。 19世纪的工业社会崛起之后,自由主义就成了遭受残酷剥削的工 人阶级要求改良社会的强大源泉,这一功能又被后来更富战斗力的新 兴社会主义运动所继承。总体上看,自由主义仍然是一种没有教条的 运动,但不幸的是,作为一种政治力量,它现在已经失去了效力。绝 大多数人离开了苛严的政治纲领,就没有勇气活下去,这就是对我们 这个时代的一种可悲的评价,也许这正是20世纪国际性大灾难所导致 的恶果。 笛卡尔哲学产生了两个发展主流,一是复苏的理性主义传统,在 17世纪,这个传统的主要传播者是斯宾诺莎和莱布尼茨;二是通常所 说的不列颠经验主义。重要的是,我们不能过于生硬地使用这些分类 标签。实际上,像在任何别的领域一样,理解哲学的最大障碍就是盲 目、生硬地给思想家们贴上分类标签。但习惯的分类法并不是随心所 欲的,而是指出了两种传统的主要特征。 ◎ 约翰·洛克 即使在政治理论上,不列颠经验主义者也确实展示了一种理性主 义思维的显著特色。这一运动的三位伟大的代表人物是洛克、贝克莱 和休谟,时间大约从英格兰内战到法兰西大革命。约翰·洛克(1632 ~1704)自小接受了严格的清教徒式教育,他的父亲在内战期间曾与 议会军队并肩作战。洛克学说的基本宗旨之一就是宽容,这最终导致 了他与冲突双方都断绝了关系。1646年,他前往威斯敏斯特学校,并 在那里学到了古典学问的基础知识。六年后,他又进了牛津,在那里 度过了十五年,先是当学生,后来成了那里的希腊文和哲学教师。经 院哲学当时在牛津仍然盛行,但并不为洛克所喜爱,他对科学实验及 笛卡尔哲学产生了浓厚的兴趣。对于他这种持有宽容观点的人,顽固 的教会是不会给他什么发展机会的,于是他最终决定从事医学研究。 在这一时期,他结识了波义耳,后者与1668年创立的皇家学会有联 系。1665年,他随同一个外交使团拜访了勃兰登堡选帝侯,第二年又 遇到了阿什利勋爵,阿什利后来成了第一代沙夫茨伯里伯爵。在1682 年之前,他始终是伯爵的朋友和助手。 ◎ 洛克论文扉页 ◎ 洛克《论教育》(1695)中的一页 洛克最著名的哲学著作是《人类理智论》,该书作为与朋友们探 讨的成果,于1671年开始撰写。书中明确指出,对人类知识的范围和 局限性做出初步评价是有好处的。沙夫茨伯里于1673年倒台后,洛克 去法国生活了三年,并在那里见到了许多当时顶尖的思想家。1675 年,沙夫茨伯里复出,并且担任了枢密院大臣。这一年,洛克再次成 了伯爵的秘书。沙夫茨伯里试图阻挠詹姆士二世登基,并且卷入了不 成功的蒙默思叛乱,结果,他遭到了放逐,于1683年死在阿姆斯特 丹。也就在这一年,洛克被怀疑与伯爵有牵连,因此逃到了荷兰。为 了不被引渡回国,他曾一度改名。正是在这一时期,他完成了《类理 智论》。在同一时期,他还完成了《宽容书简》和《政府两论》。 1688年,奥兰治的威廉当上了英格兰国王,不久,洛克便回到了故 乡。《人类理智论》出版于1690年,洛克晚年把大部分时间花费在准 备该书的后期版本上,并且忙于应付此书引发的论战。 在《人类理智论》中,心灵的局限性和我们所能进行的探索的局 限性,第一次得到了直截了当的阐述。理性主义者显然有这么一种设 想,即完善的知识最终是可以获取的。不过新的探讨却对此并不那么 乐观。总体上说,理性主义是一种乐观的学说,并且到了丧失批判性 的地步,而洛克的认识论探索却是某种批判性哲学的基础,这种哲学 在两种意义上是属于经验主义的。首先,它并不像理性主义者那样预 先断定了人类的知识范围;另外,它强调了感知和经验的因素。因 此,这种观点不仅标志着经验主义传统的开始(由贝克莱、休谟和 J.S.穆勒所推动),而且标志着康德批判性哲学的开始。可见洛克的 《人类理智论》旨在扫除过去的偏见和先入为主的见解,而不是为了 提供某种新的哲学体系。在这方面,洛克为自己确定了一项工作,他 谦虚地认为这项工作比不上那些大师(如“无与伦比的牛顿先生”) 的工作。对于自己所作的贡献,洛克认为“如果能像一名扫地的低级 雇工,清除一下知识道路上的垃圾,就算是抱负不小了”。 在这一新计划中,首先要做的就是严格地把知识置于经验基础之 上,这就意味着必须舍弃笛卡尔和莱布尼茨的天生理念。有一种观点 是公认的,即我们与生俱来就有一种既能够发展,又能够使我们学到 不少知识的资质。但如果由此设想未受过教育的心灵也会有蛰伏着的 内容,那就不对了。如果真的如此,我们可能永远也无法把这种知识 与真正来自经验的知识区分开来,而且也可以说一切知识都是与生俱 来的。当然,这正是《美诺篇》中的回忆理论所提倡的观点。其次, 最初的心灵要像一张白纸,由经验来为它提供思想内容。洛克把这些 内容叫做理念(这个术语在这里具有极为宽泛的含义)。按照所指对 象的不同,理念一般可分为两类,一是感觉理念,我们通过感官了解 外部世界就可获得这种理念;二是反思理念,它们源于心灵的自我审 视。至此,这一学说并没有提出任何惊人的新观点。如果不通过感官 拥有内容,心灵只是一片苍茫,这是经院学派的一个古老命题。莱布 尼茨又加上了一个限定条件,即把心灵本身排除在这个命题之外。经 验主义的独特之处,就在于它指出了感觉理念与反思理念是知识的惟 一来源。因此,在思考和思辨时,我们只能通过感觉与反思来获得知 识,而绝不可能超越这一限度。 接下来,洛克把理念分为简单理念和复杂理念两类,但他并没有 提出令人满意的简单标准。他称不能再分解的理念为简单理念,作为 一种解释,这并没有什么好处。另外,洛克在使用这一词组时也并不 是前后一致的,但他想达到什么目的却是很清楚的。如果只有感觉理 念与反思理念的话,那么就必然可以表明思想内容是怎样由这些理念 构成的,或者说,复杂理念是怎样从简单理念的组合中产生的。复杂 理念又可分为实体、程式和关系三类。实体就是独立存在的事物的复 杂理念,而程式则依赖于实体存在。正如洛克开始注意到的那样,就 其自身的意义而言,“关系”根本不能算真正的复杂理念,它们自成 一类,源自心灵的比较作用。我们以因果事实为例,这种关系理念是 随着对变化的观察而出现的。洛克认为必然联系概念的基础是一个先 验的假设,而不是经验的。后来休谟强调了后一种观点,而康德则强 调了前一种。 ◎ 约翰·洛克 洛克认为,如果说某人知道什么,那就意味着他确信他所知道 的。在这方面,洛克不过是遵循了理性主义传统。“知道”一词的用 法可以追溯到柏拉图和苏格拉底那里。按照洛克的观点,我们现在所 知道的就是理念,而理念又代表了世界。知识表现论使洛克很自然地 超越了自己大力提倡的经验主义。假如我们所知道的一切都是理念, 那么我们也许永远也不知道这些理念是否与万物的世界相一致。不管 怎样,这种知识观使洛克产生了以下的见解:语词代表理念,正如理 念代表万物一样。不过其中也有这样的区别,即语词是约定俗成的符 号,而理念则不是。既然经验只向我们提供了个别理念,那么心灵的 作用就是去产生抽象理念和普遍理念。《人类理智论》还顺便表述了 洛克关于语言起源的见解,他和维科一样,也发现了隐喻的作用。 洛克知识论的一个主要难点就是解释谬误。如果我们将洛克的白 纸换成柏拉图的鸟笼,将理念换成鸟的话,该问题的形式就和《泰阿 泰德篇》中的形式完全一样。根据这种理论,我们似乎就不可能犯错 误,但洛克并不总是为这类问题感到不安。他的表述不仅缺乏系统 性,而且经常是遇到难题就退却。由于抱着某种实用的目的,洛克处 理起哲学问题来总是很零碎,他并没有去正视前后要一致的责任。就 像他曾经说过的那样,他是一个低级雇工。 至于神学问题,洛克认同了把真理分为理性真理和启示真理的传 统划分法,他虽然独来独往,但始终是一位虔诚的基督徒。他特别厌 恶希腊原义上的“神秘灵感”,即被神灵启示所眩惑的某种状态,它 是十六七世纪宗教领袖的一个特点。洛克认为这些人的狂热不仅损害 理性,而且损害启示。宗教战争的暴行令人恐怖地证实了这一点。总 之,洛克在这方面遵从了当时哲学的一般趋向,确实把理性放在了第 一位。 洛克的政治理论中,也包含了理性与经验主义的混合物。他在 1689~1690年完成的《政府两论》中阐述了这些理论。其中第一篇论 文批驳了一本名为《族长制》的小册子(罗伯特·费尔默爵士著), 这本书含有神授君权的极端观点。这一理论的基础是世袭原则,洛克 发现要推翻它易如反掌,尽管人们也许会认为这一原则与人类的理性 并不是那么水火不相容。事实上,这一原则在经济领域得到了广泛的 认同。 洛克在第二篇论文中提出了自己的理论。他和霍布斯一样,也认 为在文官政府存在之前,人们生活在一种受自然法则支配的自然状态 之中。这些观点全都属于传统的经院哲学。洛克还认为,政府是在社 会契约的理性主义学说基础上建立起来的。在当时的背景下,他和那 些坚持君权神授的人相比,算是前进了一步,尽管它比不上维科的理 论。洛克认为,社会契约背后的原动力就是对财产的保护,由于有这 类协定的约束,人们就放弃了独自维护其利益的权力,而这种权力现 在交给了政府。由于在君主制度下,国王本人也可能卷入纷争,那么 按照任何人都不应对自己的案件进行裁判的原则,司法就必须独立于 行政。孟德斯鸠后来非常详尽地论述了权力的划分。洛克第一个对这 类问题进行了充分的解释,尤其是考虑到了国王的行政权力和相对应 的议会立法权。立法机构作为整个社会的代表,是至高无上的,它只 对社会负责,但是假如行政和立法发生冲突,我们又该怎么办呢?显 然,在这种情况下,行政必须被迫屈从于立法。查理一世也确实曾遭 遇过这样的事情,他的独裁引发了内战。 另一个问题是人们如何来决定,在什么情况下可以对暴君采取正 义的武力行动?在实践中,往往是根据起义能否成功来决定的。尽管 洛克似乎隐约感觉到了这一事实,但他的观点仍是与当时政治思维的 一般理性主义倾向相一致的。他设想任何一个有理性的人都能明辨是 非。由于只有根据某个内在的原则,才能评价一个行动的对与错,那 么第三种权力(司法权)正好在这里起到了独特的作用。洛克并没有 把司法权当做一种单独的权力来讨论。但是在权力划分逐渐为人所接 受的任何地方,司法权都及时地获得了完全的独立,并且可以在其他 任何权力之间进行裁决。这三种权力通过这种方式组成了一个相互制 约的均衡体系,从而防止了任意的权威出现。对于政治上的自由主义 来说,这是非常重要的。 今天的英国,政党一成不变的结构和内阁所产生的权力,在一定 程度上削弱了行政权与立法权之间的分工。权力划分(像洛克设想的 那样)最明显的例子是美国的政体,它的总统和国会都独立发挥作 用。至于大多数国家,自洛克时代以来,已经发展成国家权力以牺牲 个人为代价的局面。 在所有的思想家中,洛克既不是最深刻的,也不是最具独创性 的,但他的工作却逐渐在哲学和政治两个领域产生了巨大而持久的影 响。在哲学领域,他站在了新经验主义的前列,这种思想首先是由贝 克莱·休谟和后来的边沁、约翰·斯图尔特·穆勒发展起来的。18世 纪法国的百科全书派运动,除了卢梭及其追随者,大部分都属于洛克 派。马克思主义的科学特色也是在洛克的影响下形成的。 在政治方面,洛克的理论是对英国实际应用的一套方法的总结, 因此不可能导致什么大的动荡。而在美国和法国,情况则完全不同, 洛克的自由主义导致了一种更为壮观的革命。自由主义在美国成了国 家理想,并被写进了宪法。作为一种理想,它并没有始终得到忠实的 遵守;但作为一项原则,早期的自由主义几乎原样不变地在美国继续 发挥着作用。 奇怪的是,洛克的巨大成功是与牛顿理论彻底的成功分不开的。 牛顿的物理学永远地颠覆了亚里士多德的权威;同样,洛克的政治理 论尽管没有什么新鲜内容,却也否定了神授君权,并试图从经院哲学 的自然法则出发,建立一套新的国家学说。这些尝试的科学性反映在 它们对后来事件的影响上。《独立宣言》的措词正好就打上了它的烙 印。富兰克林写下了“我们认为这些真理是不言而喻的”,他用“不 言而喻”代替了杰斐逊的“神圣不可置疑的”,富兰克林在这里模仿 了洛克的哲学语言。在法国,洛克的影响更为巨大。“旧秩序”的暴 政已经过时,并与英国的自由主义原则形成了痛苦而鲜明的反差。另 一方面,牛顿的见解在科学领域取代了比较陈旧的笛卡尔世界观。在 经济方面,英国的自由贸易政策在法国受到了极大的推崇,尽管存在 着部分的曲解。在整个18世纪,英国文化都得以在法国盛行,而这种 状况首先是由于洛克的影响。 ◎ 富兰克林 正是由于洛克的哲学,近代欧洲哲学才出现了第一次分裂。总体 上说,大陆哲学构建了大规模的体系,它的论证具有先验性,而且在 论证范围之内常常忽视细节问题。而英国哲学却更为遵循科学的经验 主义研究方法,它以零散的方式讨论了许多小问题,当它真的要提出 普遍性原则时,就会把这些原则置于直接证据的验证之下。 上述差异必然会导致如下的结果:假如先验体系的基本原则被去 除,那么它就会完全被推翻,即使它本身是前后一致的;而以观察事 实为基础的经验主义哲学却不会崩溃,即使我们可以在某些地方对它 吹毛求疵。两者的反差就像两座塔基与塔尖颠倒的金字塔一样。经验 主义的金字塔建立在牢固的地基之上,即使从某个地方拿走一块石 板,它也不会倒塌;而先验性的金字塔却是靠塔尖支撑的,似乎瞟它 一眼,它都会摇摇欲坠。 这种方法的实际效果在伦理学中更为明显。善的理论被当做一个 严格的体系提了出来,如果某个不宽容的暴君自以为注定要由他来贯 彻这一理论,那么就会出现恐怖性的灾难。毫无疑问,有些人可能会 鄙视功利主义伦理学,因为它源于追逐快乐的低级欲望。然而可以绝 对肯定的是,和那些不顾一切追求理想目标的高尚改革家相比,这种 理论的辩护者在改善同胞命运方面要做得更多。除了这些不同的伦理 学观点,相应的,政治学的发展中也出现了不同态度。坚持洛克传统 的自由主义者并不喜欢在抽象原则的基础上进行彻底变革,每项争执 都必须在自由讨论中按照自身的价值来进行讨论。正是英国政府和社 会实践中的这种零散的、暂时的、不仅不成体系而且反体系的特征, 才使得欧洲大陆怒火中烧。 洛克自由思想的功利主义继承人赞同一种开明的利己伦理学。虽 然这一概念不可能在公众中唤起最高尚的情怀,但由于同样的原因, 它实际上也避免了在崇高体系的幌子下犯下堂皇的暴行——这些体系 展望了更崇高的目标,却忽略了人并不是抽象的这一事实。 ◎ 《独立宣言》中“不言而喻”的运用显示出洛克的影响。 洛克理论留下了一个严重的缺陷,就是他对抽象理念的解释。当 然,这种解释只是一种尝试,试图解决洛克认识论中余下的共相问 题。其中的困难就在于,假如我们从具体实例中提炼抽象理念的话, 最终将会一无所获。洛克拿三角形的抽象理念为例,它必定“既不是 斜角的,又不是直角的;既不是等边等角的,又不是不等边的。这些 特征既同时具有,又同时没有”。贝克莱哲学正是从对抽象理念论的 批判出发的。 乔治·贝克莱(1685~1753)于1685年出生于爱尔兰,是盎格鲁爱尔兰人的后裔。他15岁就进了都柏林的三一学院,在那里,除了传 统学科以外,牛顿的新学问和洛克的哲学正日益兴盛。1707年,贝克 莱当选为三一学院研究员。在其后的六年里,他发表了一些著作,从 而奠定了他的哲学家声誉。贝克莱不到30岁就已经出了名,从此以 后,他把主要精力投入到了别的事业中。从1713年到1721年,贝克莱 一直在英国和大陆居住和旅行。回到三一学院后,他出任了高级研究 员,并于1724年当上了德利教区的负责人。在此期间,他开始准备在 百慕大创办一所教会学院,在政府做出提供支持的承诺后,贝克莱于 1728年前往美洲寻求新英格兰人的资助。然而威斯敏斯特许诺的资助 迟迟不能兑现,因此贝克莱不得不放弃了这个计划,于1732年回到了 伦敦。两年后,他晋升为克罗因地区的主教,并终身担任这个职位。 1752年,他访问了牛津,第二年初逝世于牛津。 ◎ 乔治·贝克莱 贝克莱哲学的基本观点是,被感知的东西等同于存在物。在他看 来,这个命题是不言而喻的,以至于他从来没有对不大信服的同时代 人解释他想做什么,因为从表面上看,这个命题与常识相去甚远。通 常,没有人会认为(正如这种观点似乎要求的那样)自己感知的对象 就在自己的心灵当中。然而它的意义却在于,贝克莱隐晦地提出了所 指对象的理念存在着某些问题,他所根据的正是洛克曾经宣扬过、却 又未能坚持到底的经验主义观点。因此,试图用约翰生博士那种方式 来驳倒贝克莱的做法就完全偏离了目标。至于贝克莱自己的理论最终 能否解决洛克的难题,则是另一回事了。同时,我们还应该记住,贝 克莱并不打算用一些神秘的难题来使我们迷惑,而是试图修正洛克某 些自相矛盾的地方。至少可以说他在这方面是十分成功的,如果根据 洛克的认识论,那就无法合理地保持内心世界与外在世界的反差。我 们不可能在坚持洛克理念论的同时,又认同知识表现论。后来,康德 在解释同一个问题时,也遇到了极为相似的困难。 贝克莱在他的第一部著作《视觉新论》中批判了抽象理念论,他 一开始就讨论了当时盛行的关于感知的种种混淆观念,尤其是对以下 表相难题做出了合理的解答,即我们看见的事物是正的,尽管其图像 在眼睛视网膜上是倒立的。这在当时是一个十分盛行的难题,贝克莱 证明了这完全是由于一种简单的谬误所致,关键在于我们是用眼睛看 东西,而不是像看屏幕一样从眼睛后面看眼睛,因此,造成这一误解 的原因就是我们无形中从几何光学掉进了视觉感知语言的陷阱。贝克 莱进一步提出了一种感知论,这一理论明确地区分了不同感官所针对 的不同对象。 贝克莱认为,视觉感知并不是外部事物,而只是心中的理念。但 他又认为触觉感知(虽然在心灵里属于感觉理念)的对象是有形物 质,尽管在后来的著作中,他不再同意这种区别,并且认为一切感知 都只在心灵中产生感觉理念。各种感官之所以会如此分离,其原因就 是所有的感觉都是独特的。这也就解释了贝克莱为什么要否定他所谓 的“唯物主义”。因为物质完全是各类属性的形而上学载体,而只有 属性才能产生经验,也就是思想内容。单纯物质是不可能被经验的, 因此也是多余的、无用的抽象。这样的见解也适用于洛克的抽象理 念。例如,假如你把一个三角形所具有的所有特性都去掉,那么严格 地说,最终将什么也留不下来,而子虚乌有的东西是无法经验的。 1710年,也就是《视觉新论》发表的第二年,贝克莱又出版了 《人类知识原理》一书,他在书中毫不保留和妥协地陈述了自己的命 题:存在即被感知。严格地说,这是洛克经验主义的最终结果。那 么,当我们事实上确实有经验时,我们惟一能说的就是自己具有了某 些感觉或反思的经验。因此,我们不仅被限定在这种存储于心灵中的 经验范围内,而且不得不只能在自己有这些经验时,才承认它们的存 在。在某种意义上,这是很自然的:在你有经验的时候,而不是在别 的时候,你就只有经验。只有在经验中,或者通过经验来提及物的存 在,这才有意义,因此,存在就等于被感知。根据这种观点,如果去 谈论某个未曾经验过的经验,或某个未曾感知过的理念,就是毫无意 义的。那些持有现象主义认识论的现代哲学家们继续坚持着这一立 场,按照这样的理论,未经感知的感官数据是不存在的。至于抽象理 念,如果有可能的话,它们必然代表着某些无法体验的实在,这一点 是与洛克的经验主义相矛盾的。因为在经验主义者看来,实在性与能 够被经验的东西同样广阔和久远。那么又怎样来解决共相问题呢?贝 克莱指出,洛克所想像的抽象理念纯粹是普遍性的名称,它们并不是 指任何单个的事物,而是指一组事物中的任何一个。因此,“三角 形”一词就是指任何三角形,而不是指一个抽象的三角形。实际上, 抽象理念论面临的困难和我们谈到苏格拉底形式论时所面临的困难是 有关系的,那些形式指的也是完全非特定的东西,它们独立存在于另 一个世界里,但有可能被认知。 贝克莱不仅抛弃了抽象理念,而且完全抛弃了洛克所作的对象与 理念的区分以及由此产生的知识表现论。因为,对一个前后一致的经 验主义者来说,我们怎么能够一面坚持“所有经验都针对感觉理念与 反思理念”,而同时又断言“理念与那些本身不可知或不能被人所知 的对象相一致”呢?康德后来对事物的本体和现象作了区分,但是洛 克的理论中早就有了这种迹象。贝克莱没有采纳洛克的这些观点,并 且非常正确地抵制了它们,因为它们与洛克的经验主义不相容。贝克 莱唯心主义的意义正在于此。我们能够认知和提到的一切事物都是心 灵(思想)的内容。在提出知识表现论的同时,洛克还认为语词是理 念的符号,每一个词都有一个与之对应的理念,反之亦然。正是这种 错误观点导致了抽象理念论的出现,因此,洛克必定会认为,在言谈 中说出一个词,就会唤起一个理念,信息就是通过这种方式,从一个 人传给了另一个人。 贝克莱很轻易地证明了对语言的这种解释是错误的。因为,我们 在聆听时所理解的是对方说话的大意,而不是一系列彼此分离,然后 又像珠子一样串起来的单词的含义。人们也许还会说,知识表现论的 难题肯定会反复出现,如何来确定理念的名称呢?这就要求我们能够 以非言辞的方式,把出现在心灵中的某个明确理念传出来,然后再给 它安一个名称。但即便如此,我们还是不知道怎样才能表述出其中的 对应性。因为用理论术语来说,理念本身是非言辞的。因此,洛克对 语言的解释存在着严重缺陷。 我们已经看出,人们可以对贝克莱的唯心主义进行一番阐释,使 其不像看上去那么吓人。唯心主义使贝克莱作了一些推论,不过这些 推论并不那么令人信服。他认为,如果进行了感知活动,那么就一定 会牵涉到心灵或精神,这一点看来是不可避免的。那么,一个包含了 理念的心灵并不是它自身的经验对象,所以它的存在并不体现于被感 知,而是体现于去感知。但是这种心灵观与贝克莱自己的立场并不一 致,因为我们通过考察可以发现,用这种方式感悟到的心灵恰恰就是 贝克莱批判过的洛克的抽象理念。心灵是一种去感知的东西,而不是 别的东西,但它又是抽象的。至于心灵不活动时会遇到什么,就需要 有一个特别的答案了。显然,如果“存在”要么意味着去感知,要么 意味着被感知,那么心灵在不活动时就一定是上帝心中的某种理念, 因为只有上帝的心灵才是永远活跃的。引用这个哲学中的上帝,正是 为了应付理论上的某个难题,他的作用就是确保心灵能够连续地存 在,顺便也保证了所谓物质对象的继续存在。这种比较自由的方式使 整个解释回到了一种接近常识的层面上去。贝克莱的这部分观点是最 没有价值的,也是最缺乏哲学趣味的。 这里值得强调的是,贝克莱的命题(存在即被感知)并不表明他 认为这是一个应该通过实验来确定是否引进上帝的问题。实际上,我 们只要仔细考虑怎样来正确使用自己的词汇,就能明白他的命题肯定 是真的。因此,他在这个问题上所做的并没有形而上学含义,只是在 探讨如何运用某些词语的问题。只要我们决定把“存在”与“被感 知”当同义词来使用,自然就没有怀疑的余地。然而,贝克莱不仅指 出了我们应该如何运用这些词语,而且认为我们在谨慎的谈话中已经 这样做了。我们一直在尽力揭示这一观点,它并不是完全没有道理 的。但人们很可能会感觉到,这种说法并不像贝克莱所想像的那么妥 当。 首先,他被引向了关于心灵和上帝的形而上学理论,这一理论与 他的其他哲学观点不协调。如果贝克莱不坚持这一点,我们就会觉得 他的术语没有必要与通常的说法有区别,尽管这可能还有争议,而且 无论如何也不能成为人们抛弃它的理由。除此之外,贝克莱的解释还 有一个哲学上的缺陷,从而使得他的大部分解释很容易受到批判。在 以下事实中,这一点尤为突出:贝克莱本人曾经指出过有关视觉的这 类错误观点。前面说过,他正确地坚持了人是用眼睛看东西,而并没 有看眼睛;同样,我们也可以说,在通常情况下,一个人用心灵去感 知,但在感知的时候并没有审视自己的心灵。正如我们没有看自己的 眼睛一样,我们也没有看自己的心灵;同样,正如我们不能说自己看 见了视网膜上的东西一样,我们也不能说自己感知到了心灵里的东 西。这至少说明我们应该慎重地考虑“在心灵中”这个短语,而贝克 莱却没有考虑到这一点。 以上批判表明,我们也许有充分的理由来反驳贝克莱赞成另一术 语的说法,其根据就是事例中的类比。很显然,贝克莱的命题在这一 点上很容易给人以误导。也许有人认为这对贝克莱不大公正,但这也 许正是他自己希望批评家去做的事,因为他认为哲学家的本职就是去 澄清给人以误导的说法。在《人类知识原理》导论中,他是这样看问 题的: “我在总体上倾向于认为,哲学家们至今仍然感兴趣的绝大部 分难题(即使不是全部)之所以成了求知的障碍,完全要归咎于我们 自己。我们刚刚扬起一点尘土,就抱怨什么也看不见了。” ◎ 贝克莱《人类知识原理》节选 贝克莱的另一部主要著作《海拉与菲伦诺对话录》并没有提出可 供讨论的新话题,而是以更有可读性的对话录形式,重申了早期作品 的观点。 洛克提出的理念学说很容易招致许多严厉的批评。如果心灵只知 道感官印象的话,那么贝克莱的批判就指出,品质的第一属性和第二 属性是不可能区分的。但是批判性解释要想进行得彻底,还必须比贝 克莱更进一步,因为他仍然认可了心灵的存在。休谟把洛克的经验主 义发展出了逻辑性的结论,结果,正是由此导致的夸大的怀疑论立 场,暴露了当初假设中的种种缺陷。 大卫·休谟(1711~1776)出生于爱丁堡,他12岁就进了爱丁堡 大学,在完成常规文科课程的学习之后,他离开了大学,当时还不到 16岁。他曾一度考虑过从事法律工作,但他真正的兴趣还是在哲学方 面,并且最终决心致力于哲学研究。休谟作了短暂的经商尝试之后, 很快就放弃了。1734年,他去了法国,并在那里住了三年。由于没有 多少财产,他不得不学会有计划地花钱。他很乐于受到这样的限制, 因而能够完全专著于学术研究。休谟在法国期间,写下了他最著名的 作品《人性论》。完成这部奠定日后哲学声誉的著作时,他才26岁。 回国后不久,休谟就在伦敦出版了《人性论》。然而刚开始,他却遭 遇了惨败。作者的不成熟在书中有所体现,这种不成熟主要不是哲学 内容,而是他轻率直白的文风。对公认的宗教原则进行直言不讳的批 判,这是不利于自己被普遍接受的。正是由于这样的原因,休谟未能 在1744年获得爱丁堡大学的哲学教授一职。1746年,他加入了圣·克 莱尔将军的部队,并于次年跟随将军出使了奥地利和意大利。这个差 事使他攒下充足的钱,1748年退役后,他就致力于自己的工作。15年 间,他出版了不少关于认识论、伦理学和政治学的著作,更令人欣慰 的是,《英国史》一书使他名利双收。1763年,休谟再次前往法国, 这一次是担任英国驻法大使的私人秘书。两年后,他成了大使馆秘 书,并且在大使被召回期间出任了代办一职,直到新的任命下发。 1766年,他回英国担任了两年的副国务大臣,1769年退休后,在爱丁 堡度过了自己的晚年。 ◎ 大卫·休谟 休谟认为,在一定程度上,“人的科学”支配了一切探索。和洛 克、贝克莱不同的是,他所考虑的不光是清理地面(打基础),而且 要牢记可能随之建立的体系,这就是人的科学。这种试图建立新体系 的尝试暗示了欧洲大陆理性主义的影响,因为休谟和那些继续受笛卡 尔原理支配的法国思想家们保持着联系。无论如何,这种有希望的 “人的科学”使得休谟探索了普遍的人性。首先,他探索了人的精神 (思想)的范围和局限性。 休谟吸纳了洛克“感觉论”的基本原理。根据这种观点来批评贝 克莱的心灵或自我理论并不难,因为我们能意识到,感官经验中全都 是印象,而且没有任何印象能够产生人格同一性。的确,贝克莱已经 发觉自己把灵魂当做一个实体,是在用人为的方式将其嫁接于自身体 系。他不承认我们能够认知灵魂,于是就建议我们持有某种灵魂的 “概念”,但他从未解释过这些概念是什么。不过,无论他会说什 么,这都确实破坏了他自己的理念论。 休谟的论证是建立在大量的一般性假设之上的,这些假设贯穿于 他的整个认识论。在原则上,他同意洛克的理念论,尽管自己使用了 不同的术语。休谟把印象和理念解释为感知的内容,而洛克则把理念 划分为感觉理念和反思理念。休谟的这种区分和洛克不同,而且它突 破了洛克的分类法。 休谟认为,一个印象既能够从感官经验中获得,也能够从记忆之 类的活动中获得。他认为印象产生了理念,而理念又不同于感官经验 (两者的生动性和逼真度不同)。理念是印象的苍白复制品,在感官 经验中,印象有时候要先于理念。不管怎样,当心灵思考时,其中就 会伴随有理念。在这里,“理念”一词要按照其希腊原义来理解。对 休谟而言,思维指的就是形象思维或想像(拉丁文“想像”具有同样 的原义)。总而言之,一切经验,不管是感觉还是想像中的经验,都 称为感知。 需要注意的是,休谟遵循了洛克的以下看法,即印象在某种意义 上是彼此分离的、独特的。因此,休谟认为我们可以把一个复杂的经 验分解为简单的印象(该经验的组成部分)。从中还可以推出这样的 结论,既然简单的印象是构建一切经验的材料,那么它们就可以分别 被想像。不仅如此,既然理念是印象的苍白复制品,所以无论我们能 够在思维中描绘些什么,它们都可能是某种可行经验的对象。基于同 样的理由,还可推出这样的结论:不能想像的东西同样也是不能被经 验的。如此一来,可行想像就与可行经验有了同样广的范围。如果我 们想理解休谟的论证,那么记住这一点是最关键的,因为他常常要我 们去尽力想像某个东西,并且相信我们和他自己都不可能做到这一 点。他断定,所想像的情况并不是一个可能的经验对象。因此,经验 是由一系列接续性感知构成的。 除了这种接续性以外,感知之间从来不会产生别的联系。笛卡尔 的理性主义与洛克及其追随者的经验主义在这里存在着根本的区别。 理性主义者认为事物之间有着密切的内在联系,并且坚持这些联系是 可知的。而休谟却否定了这种联系,他甚至还提出,即使有这种联 系,也必定永远不可能为我们所认知。我们所能认知的一切只有接续 性印象或理念,因此,甚至考虑是否存在其他更深的联系,都是徒劳 的。 根据休谟认识论的这些普遍性特征,我们现在就可以更接近地考 察他在其哲学中对一些主要问题所作的特殊论证。我们先从人格同一 性的问题开始,《人性论》第一卷“论知性”的末尾讨论了这一问 题。休谟一开始就说: “有些哲学家设想我们随时都会在内心深处意 识到所谓的‘自我’,感觉到‘自我’的存在及其存在的接续 性。‘自我’的完整同一性和单纯性都是无须验证、确定无疑的。” 但只要我们将其置于经验之中,就可以看到,假设“自我”就是经验 的基础是经不起验证的。“不幸的是,所有这些断言都恰恰违背了用 来为自己作辩护的经验——按这种解释,我们也就不可能有任何‘自 我’的理念。因为,从什么样的印象中才能得出这种理念来呢”。接 着,休谟还证明了不可能得出这样的印象,因而也就不可能有“自 我”的理念。 还有一个更大的难点,就是我们无从知晓自己的特殊感知是怎样 与“自我”相联系的。关于特殊感知,休谟以他独特的方式论证说: “所有这一切都是不同的,它们既可以被分别考虑,也可以分别存 在,而且它们的存在不需要任何东西来支持。那它们以什么方式属于 自我,又以什么方式与自我联系呢?对我来说,当我进入内心最深处 的‘我自己’时,我总是会遇到各种特殊感知:热或冷、明或暗、爱 或恨、苦或乐。假如没有某种感知,我任何时候也不可能把握住‘我 自己’,永远也不可能观察到任何感知以外的东西。”随后他又补充 说: “如果任何人(在认真而不偏颇地反思之后)认为他有某种不同 的‘我自己’概念,那我就得承认我无法再和他讨论下去。我能体谅 的就是,他可能和我一样正确,但我们在这个特殊问题上有着根本的 区别。”不过很明显,他把这样的人当成了怪人,他说: “我可以冒 昧地断定,他人只是不同感知的集合体,这些感知以不可思议的速度 彼此相连,而且处在某种运动之中。” “心灵是一个剧场,各种不同的感知相继登台亮相。”不过这是 有限定条件的: “以剧场作类比绝不应该使我们受到误导。它们仅仅 是具有接续性的感知而已(这些感知构成了心灵)。我们根本没有任 何在剧场里演戏的概念,也没有任何构建该剧场的材料概念。”人们 之所以会错误地相信人格同一性,是因为我们倾向于把接续性理念和 同一性理念混淆起来,这种情况在一个时期内没有改变过。于是,我 们就被导向了“灵魂”、“自我”、“实体”的概念,从而掩盖了实 际上存在于我们的接续性经验中的变化。“因此,有关同一性的争论 并不只是措词上的分歧。因为当我们把同一性赋予可变的或非接续性 的对象时,我们的错误就不只是在表述上了,而是常常伴有某种虚 构,虚构出了不变的、连续的事物,或者神秘的、令人费解的事物, 或者我们至少有虚构的倾向”。随即,休谟还进一步揭示了这种倾向 发挥作用的过程,并且以其联想心理学解释了人格同一性的理念是如 何随之发生的。 随后我们将讨论联想的原则。至于为什么要详尽地引用休谟的原 文,他本人优美的文风就是充足的理由。另外,在休谟处理问题的方 式面前,确实也没有其他更好更清晰的表述方式了。总之,这种状况 为英国的哲学创作开了一个可贵的先例,尽管也许永远也不会再有人 达到休谟的完美。 ◎ 休谟认为因果关系来自对习惯的联想;理性主义则坚持原因与结果相关联。 休谟的因果论是我们必须考察的另一个主要问题。理性主义者认 为,因果联系是事物与生俱来的某种内在特征。例如斯宾诺莎就认 为,如果以一种充分的方式来考虑事物,那么就有可能通过演绎表明 一切现象都必有其因果关系,尽管通常人们认为只有上帝才能具有这 样的想像力。按照休谟的理论,这样的因果关系是不可知的,他所持 的正是在批判人格同一性时所提出的理由。这种错误观点的根源就在 于,我们倾向于把某种序列中理念间的必然联系归于这种因果关系的 本质。现在,理念间的联系产生于联想,而联想则是由三种关系(相 似性、时空衔接性和因果关系)导致的。休谟把这些关系称为哲学关 系,因为它们在理念的比较中发挥了作用。在某些方面,它们与洛克 的反思理念是一致的。前面说过,当心灵对自身内容进行比较的时 候,这种理念就产生了。在一定程度上,相似性绝不会介入所有的哲 学关系,因为没有相似性,就不可能有比较。休谟把这些关系细分为 七种类型,即相似性、同一性、时空关系、数的关系、品质等级、对 立性和因果关系。他特别挑出了同一性、时空关系和因果三种关系, 并指出另外四种关系仅仅依赖于被比较的理念。比如,数的关系在一 个给定的几何图形中,只能依赖于该图形的理念。他还认为只有这四 种关系才能产生知识的确定性。但对于同一性、时空关系和因果关 系,我们就无法进行抽象推理,而必须依靠感官经验。其中惟一真正 具有推理作用的是因果关系,另外两种关系都要依存于它。某个客体 的同一性必须根据因果原则来推知,时空关系也是这样。这里需要注 意的是,休谟常常不经意地陷入有关客体的一般说法中去,这时他的 理论就要十分严格地迫使他只提及理念。 接着,休谟对如何从经验中得出因果关系进行了心理学阐释。假 如两个给定种类的客体在感官知觉中出现恒定的联系,那么就会产生 一种心灵习惯,从而使我们联想到由印象产生的两个理念。当这一习 惯足够强烈时,一个客体的现象(在感觉中仅仅是现象)就会在心灵 中引发两个理念的联想,对于这种联想来说,不存在任何确定或必然 的东西,因此,可以说因果关系就是一种心灵的习惯。但是休谟的论 述并不是完全一致的,因为我们在前面看到,他说联想本身产生于因 果关系,而在这里却又用联想来解释因果关系。但联想主义者的原则 作为心灵习惯如何形成的一种解释,却是一种有用的心理学解释,并 且一直具有非常大的影响。 ◎ 理性主义 对休谟来说,确实不可以提及心灵习惯或心灵倾向,至少不可以 提到它们的形成。因为正如我们所知,在他的严格意义上,心灵仅仅 是具有接续性的感知。所以,不可能有任何东西发展成为习惯,也不 能说一系列感知实际上发展了某些形式,因为勉强的陈述意味着令人 费解,除非我们能够多少使这种陈述看起来不完全像某种巧合。现 在,有一点显然是正确的,正如理性主义者所要求的那样,因果的必 然联系不能从休谟的认识论中杜撰出来。因为无论我们所面临的(客 体)联系是多么恒定和有规律,我们都始终不能说:在一系列的印象 之上产生了必然的印象,因而我们不可能认为必须有一个必然性理 念。但由于有些理性主义者倾向于别的想法,因此一定有某种心理作 用误导了他们,心灵习惯恰巧就趁虚而入了。我们是如此地习惯于从 经验中看到原因产生相应的结果,以至于我们最终一味地相信必然如 此。如果我们接受了休谟的经验主义,那么最后这一步是不可能得到 证明的。 ◎ 怀疑主义 通过制定一些“判断因果的规则”,休谟结束了对因果关系的讨 论。他在这里提前一百年展望了J.S.穆勒的归纳法准则。休谟在制定 规则之前,回顾了因果关系的主要特征。“一切都能导致一切”,他 这样说,以此来提醒我们不存在必然联系这类东西。规则一共八条, 一是“因果必须具有时空邻近性”;二是“原因必先于结果”;三是 因果之间必定有恒定的联系。后面这几条则预示了穆勒的准则。他在 第四条中告诉我们,同样的原因总是产生同样的结果,而且这一原则 是从经验中来的;第五条指出,如果不同的原因能够产生同样的结 果,那么这些原因一定具有某个共同点;我们也可以推出第六条,不 同的结果表明了不同的原因。剩下的两条我们就不必在这里讨论了。 最后,休谟的认识论导致了某种怀疑论立场。我们在前面已经看 到,古代的怀疑论者是那些反对创立形而上学体系的人。我们绝不能 根据他们之后的通俗意义来理解“怀疑论者”这个术语,“怀疑论 者”的通俗含义是指某种经常性的犹豫不决,而其希腊文原意是指一 个谨慎的探索者,凡是在体系创立者们觉得自己找到了答案的地方, 怀疑论者却不敢肯定,而是继续观望。随着时间的流逝,使他们出名 的并不是他们的继续研究,而是他们的缺乏信心。从这个意义上看, 休谟的哲学就是怀疑论的,因为他像怀疑论者一样得出了如下结论: 我们在日常生活中觉得毋庸置疑的明确事物,都得不到任何方式的证 明。当然,我们绝不能以为怀疑论者在面临生活中的现实问题时,也 是瞻前顾后,下不了决心。在阐述了怀疑论立场之后,休谟明确指 出,这并不影响一个人的日常追求。“假如有人在这里问我,我是否 真诚地同意这个我曾费尽心机向人灌输的论点,我是否真的也是一名 怀疑论者,认为一切都无法确定,我们对于任何事务的判断都不存在 真理或谬误。那么我将告诉他,这个问题纯粹是多余的,无论是我还 是任何别的人,都不会永远忠实如一地持有那种见解。自然凭着某种 无法阻挡的绝对必然性,已经决定了我们既要去呼吸、感觉,又要去 判断……无论是谁热衷于批判这种彻底怀疑论的不足,实际上都是在 进行没有对手的论战……” 关于洛克提出的理念学说,休谟坚定地表明了这种理论最终会把 我们引向何处。一旦离开了这一点,就无法再遵循这些路线。如果有 人认为我们通常提到因果关系时,并不是指(我们的确是指)休谟所 说的那种关系,那么就必须找到一个新的起点。可以肯定的是,无论 科学家还是普通人,都不会仅凭恒定的联系来思考因果关系。对此, 休谟的回答可能是:如果他们另有所指,那么他们就全错了。然而在 这里,他可能过分彻底地排斥了理性主义学说。正如我们在讨论斯宾 诺莎时所看到的那样,对科学家的实际工作进行了更好的描述的,恰 恰就是理性主义本身。科学的目的在于通过演绎体系来揭示因果关 系,而在演绎体系中,结果是由原因引起的,正如一个有效论证的结 论源于它的必然性前提一样。但是对于前提本身来说,休谟的批判仍 然是正确的。对此,我们应该保持某种探索或怀疑的态度。 我们可以回顾一下,休谟主要对人的科学感兴趣,在此,怀疑论 立场导致了伦理学和宗教领域的剧烈变革。因为我们一旦证实了自己 无法认知必然的联系,即使用理性论证来证明伦理学原理,道德的力 量也必定受到削弱。现在,伦理学的基础虽然已经变得不如休谟的因 果关系本身那么牢靠,但根据休谟自己的说法,在实践中,我们当然 可以自由地采纳自己所愿意采纳的任何观点,尽管我们不能证明它。

    第九章 启蒙运动与浪漫主义

     不列颠经验主义运动的一个显著的特征,就是对那些遵从不同传 统的人持普遍的宽容态度。因此,洛克坚持要一视同仁地予以宽容, 哪怕是对信奉“教皇至上”的信徒们也应该如此。尽管休谟嘲笑一般 的宗教,尤其是罗马天主教,但他却反对容易导致镇压的“宗教狂 热”。这种普遍的开明态度逐渐成了当时学术氛围的特征。在18世 纪,它首先在法国,而后又在德国站住了脚。启蒙运动或后来德国人 所谓的“Aufk-Larung”(启蒙思想),并非一直与哲学思想的某个特 殊学派有关,实际上它是十六七世纪没完没了的宗教血腥冲突的产 物。正如我们所知道的那样,洛克和斯宾诺莎都采纳了宗教宽容的原 则。同时,这种关于信仰问题的新态度还产生了深远的政治影响,因 为它必然会抵制一切领域的任意权威,神授君权是不可能赞同这种自 由观点的。在英国,政治斗争在17世纪末已经达到了白热化的程度。 由此导致的宪法实际上并不民主,但它却摆脱了其他地方贵族统治所 具有的某些无法无天的特征,因而也就不大可能发生激烈的动乱。而 在法国,情况则完全不同,启蒙力量已经为1789年的大革命作了大量 的准备工作。在德国,启蒙运动几乎仍是一个智力复苏的问题。“三 十年战争”以后,德国只是在逐步振兴,它在文化方面受到法国的支 配。直到普鲁士在腓特烈大帝的统治下得以兴起以及18世纪后半叶的 文学得以复兴,德国才开始摆脱对法国文化的依附。 ◎ 1794年,卢梭被尊为神圣:人们将他的遗体送往先贤祠。 启蒙运动还与科学知识的传播紧密相关。在过去按照亚里士多德 和教会的权威把许多东西视为理所当然的地方,现在遵从科学家的观 点已经成了时尚。就像在宗教领域,新教已经产生了每个人都应该独 立判断的思想一样,现在在科学领域,人们也必须亲自考察自然,而 不应该再盲从那些陈腐学说的权威。西欧的生活正被科学探究的结果 改变着。在法国,大革命最终粉碎了旧有的制度,而18世纪的德国大 体上还被“仁慈的”暴政约束着。在一定程度上,确实有言论自由的 存在,尽管它绝不是想说就说,普鲁士(如果去掉其军事性质)或许 就是最好的国家范例。无论如何,某种形式的自由主义已开始在知识 界发展起来,腓特烈大帝自称是国家的第一公仆,他允许在自己的国 家里,人人都可以按自己的方式获得拯救。 ◎ 在法国,旧的制度最终被大革命粉碎。 启蒙运动主要是重新评估了独立的思考,从字面上看,它主要是 为了传播光明,消除过去普遍的黑暗。人们可以凭着强烈的献身精神 致力于这种运动,但它并没有因此成为崇尚激情的生活方式。同时, 人们还感受到了另一种对立的影响,即更为猛烈的浪漫主义力量。 在某些方面,浪漫主义运动与启蒙运动的关系使人联想到狄奥尼 索斯倾向与阿波罗倾向的对比。其来源可以追溯到古希腊人的某些理 想化观念,这一观念曾经在文艺复兴中再次出现过。在18世纪,法国 浪漫主义运动反对理性主义思想家冷静、超然、客观的态度,逐渐转 化成了对情感的崇尚。自霍布斯起,理性主义者曾经试图建立和维持 社会的政治稳定,而浪漫主义者却提倡一种有风险的生活。他们不求 安稳,向往历险;他们唾弃舒适与安全的生活,认为那是一种堕落; 他们坚持认为,朝不保夕的生活方式在理论上无论如何也是一种更高 贵的东西,并由此对贫苦农民产生了理想化的概念,认为农民虽然靠 小块田地得以勉强维持贫穷的生活,但却得到了补偿,也就是摆脱了 都市文明的束缚和腐蚀。他们把接近自然看做一种独特的美德,在这 里受到赞美的这种贫穷生活,实际上就是田园生活。早期浪漫主义者 诅咒工业主义,的确,工业革命产生了社会和物质两方面的丑恶后 果。在其后的几十年里,在马克思主义的影响下,人们逐渐对工业无 产阶级有了某种浪漫主义的看法。从那以后,产业工人正义的抱怨得 到了伸张,关于“工人”的浪漫主义观点至今仍留在政治学中。 与浪漫主义运动有关的还有国家主义的复苏。科学与哲学的伟大 尝试基本上不带什么国家感情。启蒙运动并不了解这类政治界线,即 使在意大利和西班牙这样的国家,启蒙运动也不可能和天主教一同兴 旺。另一方面,浪漫主义却加剧了国与国之间的差异,并且鼓励神秘 的国家概念,这是霍布斯《利维坦》一书不曾预料到的一个必然结 果。国家逐渐被当做一个放大了的人,而且具有某种自己的意志,后 来,导致了1789年大革命的各种势力都受到了这种新国家主义的支 配。英国由于幸运地拥有天然边界,能够在极为宽松的环境里获得某 种国家感,它自己的地位在事态的变化中似乎是牢不可破的;而年轻 的法兰西共和国则是四面受敌,也就不可能地发展出如此自然的国家 信念;德国的领土已被拿破仑的帝国军队吞并,当然就更不具备这样 的国家意识了。国家感情的迸发激起了1813年的解放战争,普鲁士成 了德国的国家主义振兴之地。有意思的是,一些伟大的德国诗人预见 到了这种国家主义将会导致灾难性后果。 浪漫主义者抛弃了功利原则,而遵循美学标准。凡是他们的思想 所及,无论是行为、道德还是经济问题,美学标准都得到了运用。自 然中的事物,为他们所认可的正是那种壮烈的美。在他们眼里,新兴 中产阶级的生活太沉闷,而且受到了残缺惯例的禁锢。他们的这类说 法并不是完全没有根据。如果说我们今天的观念更为宽容的话,那么 这正是那些公然蔑视既定习俗的浪漫主义叛逆者的功劳。 在哲学领域,浪漫主义产生了两种相反的影响。首先,它过分强 调了理性和虔诚的希望,即我们只要对眼前的问题稍微用点心,一切 困难就会一劳永逸地解决。17世纪的思想家并不具有这种浪漫理性主 义,但它却出现在德国唯心主义者和后来的马克思哲学里。功利主义 者也具有这一特色,他们设想人在理论上有无限的可教育性,但这显 然是不对的。一般说来,乌托邦概念不论是纯思想的,还是关于社会 问题的,都是浪漫理性主义的典型产物。而另一方面,过低地评价理 性同样是浪漫主义的一种表现。这种非理性主义的态度(臭名远扬的 一个品种或许就是存在主义)在某些方面是对工业社会日益侵犯个人 自由的一种反抗。 ◎ 拜伦 浪漫主义首先得到了诗人的支持。最著名的浪漫主义者可能要算 拜伦了。在这里,我们发现了构成彻底浪漫主义的全部要素:叛逆、 反抗、蔑视陈规陋习、做事不顾后果和高贵的行为。为了希腊的自由 事业而死在了密索隆奇沼泽地,这是最伟大的浪漫主义姿态。拜伦影 响了后来的德国和法国浪漫主义诗歌。俄国诗人莱蒙托夫也自称是他 的门徒。意大利也有一位伟大的浪漫主义诗人,即莱奥帕迪,他的作 品反映了19世纪初意大利令人绝望的压抑状态。18世纪启蒙运动时期 的伟大丰碑是由法国的一群作家和科学家编纂而成的百科全书。这些 人有意识地背弃了宗教和形而上学,而在科学中寻找新的知识动力, 他们通过搜集整理当时所有的科学知识,汇编成了这部浩瀚的巨著 (不仅要按照字母顺序记载知识,而且要论述研究世界的科学方 法),这些作家希望在反对既定权威愚民政策的斗争中产生一种强有 力的工具。18世纪法国绝大多数著名的文学家和科学家都对这一事业 有所贡献,其中两位尤其值得一提。达兰贝(1717~1783)也许作为 数学家最有名,他的名字命名了理论力学中的一条重要原理。但他是 一位对哲学和文学怀有广泛兴趣的人,除了其他贡献,百科全书的导 论尤其要归功于他。狄德罗(1713~1784)承担了大部分的编辑工 作,他是一位涉及多种学科的作家,并且摈弃了宗教的一切传统形 式。 不过从广义上看,百科全书派并不是非宗教的,狄德罗就持有近 似于斯宾诺莎的泛神论观点。对百科全书做出过重要贡献的伏尔泰 (1694~1778)曾经说过,假如上帝不存在,那我们就必须创造一 个。的确,他强烈反对制度化的基督教,但同时又真的相信,假如人 们过着善的生活,那么某种超自然力量的目标就可以实现。这是某种 形式的裴拉鸠斯主义(不依附于任何常规和惯例)。同时,他还嘲笑 了莱布尼茨的观点,即我们的世界是一切可能的世界中最好的。他认 为罪恶是一种必须与之斗争的实在物,因此,他与传统宗教进行了激 烈而艰难的斗争。 ◎ 达兰贝 在否定宗教方面,法国的唯物主义者们更极端。他们的学说是对 笛卡尔实体论的发展。我们知道,在心灵和物质的研究上,偶因论原 理实际上已经使这一学说成为多余,因为心灵和物质这两个领域严格 按照平行的方式运转,我们可以省略其中的一个。拉梅特里的《人是 机器》是对唯物主义学说最好的解释。拉梅特里抛弃了笛卡尔的二元 论,只允许一种实体的存在,就是物质。但这种物质并不具有早期机 械论所认定的惰性,相反,它的一个主要特征就是运动,并且不需要 什么原动力,上帝只是后来的拉普拉斯所说的一个“不必要的假 设”。按照这种观点,精神就是物质世界的一种功能。这一理论与莱 布尼茨的“单子论”有一些联系,尽管它认为只有一个实体,而莱布 尼茨则认为单子的数量是无限多。然而把单子看做“灵魂”的观点却 很像物质时刻具有心灵般的作用的概念。顺便说一句,马克思“精神 是肉体组织的副产品”的理论正是从这一源泉中推导出来的。 唯物主义者在这个理论的基础上,坚持了鲜明的无神论立场,任 何形式的宗教都被认为是致命的、蓄意的谬误,统治者和僧侣们为了 自身的利益,就大力宣扬和鼓励宗教信仰,因为愚昧无知的人更容易 控制。当马克思说宗教是“人民的鸦片”时,他也要在这里感激唯物 主义者。唯物主义者希望通过揭穿宗教和形而上学的玄想,指出一条 科学和理性的道路,以便引导人类进入人间天堂。百科全书派也持有 这样的观点,并且再次启发了马克思的空想社会主义。然而他们在这 方面,全都受到了浪漫主义幻觉的支配。 虽然对生活采取一种开明的态度,的确有助于我们找到克服困难 的适当措施,但是在现世,要想找到一个永久性解决所有问题的终极 办法,显然是不可能的。所有这些思想家都有一个相似之处,那就是 强调了理性的卓越性。在宗教统治被法国大革命瓦解了之后,理性就 被抬到了至高无上的地位,而且还专门为它设立了一个节日。这实际 上是对理性的一种神化。但同时,大革命又在某些问题上对理性缺乏 尊重。在恐怖时期,“近代化学之父”拉瓦锡受到了革命法庭的审 判。他曾经是一名包税人,事实上他提出的一些财政改革意见还是有 价值的。但他作为旧秩序的一名官吏,被认为犯下了反对人民的罪 行。当有人强烈声明他是最伟大的科学家之一时,法庭的回答是共和 国不需要科学家。于是,拉瓦锡被送上了断头台。 ◎ 让·雅各·卢梭 大百科全书在某些方面,堪称18世纪启蒙运动的象征。它强调冷 静而理性的探讨,旨在为人类开辟更为幸福的新前景。这一时期,与 理性相对立的浪漫主义运动也得到了发展。浪漫主义的一个主要代表 人物是让·雅各·卢梭(1712~1778)。严格地说,他不能算一位哲 学家。也许他的政治理论和教育著作应当除外,通过这些方面的工作 和大量的文学活动,他对后来的浪漫主义运动产生了极大的影响。 我们在卢梭的《忏悔录》中找到了关于他生平的记载,尽管这本 书的叙述因其“诗人般的”随意而多少有些不真实。卢梭生于日内 瓦,是加尔文教徒的后裔。他很小的时候就失去了双亲,由一位姑母 抚养长大。自12岁离开学校起,他尝试过很多不同的职业,但都不喜 欢。16岁那年,他离家出走了。在都灵,他改信了天主教。作为谋生 的权宜之计,他一度坚持了这一信仰,并依附于一位贵妇人,但这位 夫人三个月之后就去世了,他的生活又一次陷入了窘迫。就在这时 候,发生了一件著名的小事,这件事表明了一个完全感情用事者的伦 理观:有人在卢梭那里发现了一条从主人那里偷来的丝带,卢梭却说 丝带是一个女仆给他的,于是那个女仆立刻因偷窃而受到了惩罚。后 来,卢梭在《忏悔录》中告诉我们,是他自己出于对女仆的爱慕而偷 了那条丝带。当人们要求他做出解释时,他首先想到的是这位女仆。 卢梭对自己所作的伪证没有任何悔恨的暗示,他的理由可能是自己这 样做并无恶意。 后来,他又投靠了同样改信了天主教的德·华伦夫人。这位贵妇 人比年轻的流浪汉卢梭要大许多,她同时充当了母亲与情妇两种角 色,卢梭在她家里住了十年之久。1743年,他做了法国驻威尼斯大使 的秘书,但由于领不到薪水而辞了职。大约1745年,他在巴黎邂逅了 女仆黛蕾丝·勒·瓦色,随后就娶了她为妻,但他时时又与别的女人 有染。瓦色为他生的五个孩子都被送进了育婴所。我们不清楚他为什 么会爱上这位女佣,她贫穷、丑陋、无知,而且很不诚实,但似乎正 是她的缺陷使卢梭产生了优越感。 卢梭在1750年之前,还不能算一位名作家。就在这一年,狄戎学 院以艺术与科学是否有益于人类为题,举办了一次论文大赛,卢梭作 为反方,以其精彩的论证获了奖。他坚持认为文化教给人们各种非自 然的需求,并使人们受到这些需求限制。他赞同斯巴达,反对雅典。 科学遭到了他的诅咒,因为它产生于卑劣的动机。他认为文明人是腐 化的,只有高尚的未开化者才具有真正的德行。卢梭在1754年出版的 《论不平等》一书中进一步发展了这些观点。第二年,他送了一本给 伏尔泰,后者对他进行了大肆嘲讽,这种轻蔑终于使他们发生了争 执。 1754年,已经成名的卢梭应邀回到了故乡日内瓦,为了获得公民 资格,他重新皈依了加尔文教。1762年,他的《爱弥儿》和《社会契 约论》问世。前者论述了教育问题,后者含有他的政治理论。然而两 本书都遭到了谴责,因为《爱弥儿》对自然宗教的解释导致了所有宗 教团体的不快,《社会契约论》则具有民主倾向。卢梭先是逃亡到了 当时隶属于普鲁士的纳沙泰尔,后来又到了英国,并在那里遇到了休 谟,还获得了乔治三世的一笔年金。但最后,他和所有的人都闹翻 了,还渐渐患上了迫害幻想症。回到巴黎之后,卢梭在贫困中度过了 余生。 反对理性,维护感情,卢梭的这种态度极大地影响了浪漫主义运 动。除了其他方面,它还使新教神学走上了一条明显不同于托马斯学 说的新道路,后者继承了古代哲学传统。关于新教,卢梭的观点免去 了上帝存在的证明,并且认为即使不求助于理性,这种信息也会从心 底涌起。在伦理学方面,卢梭同样坚决主张我们的自然感情朝着正确 的方向,而理性则会将我们引入歧途。这种浪漫主义的学说自然是与 柏拉图、亚里士多德及经院哲学完全对立的。这是一种极其危险的理 论,因为它的随意性太强,简直是在鼓励任何行为,只要这种行为有 当事人的感情支持就行了。对自然宗教的说明只是《爱弥儿》的一个 插曲,题目为“一个萨瓦牧师的忏悔”。从某种角度看,源自卢梭的 新感伤主义神学是不可置疑的,因为它一开始就以奥卡姆的方式抛弃 了理性。 《社会契约论》的风格完全不同。在这本书里,卢梭达到了他理 论的巅峰。人们一旦把权利交付给了整个社会,他们就会丧失所有的 个人自由。的确,卢梭也允许存在某些保护性措施,认为个人可以保 留某些自然权利,但这取决于不可靠的假设,即统治者事实上始终尊 重这些权利。统治者的权威是至高无上的,他的意志就是“普遍意 志”,这是一种合成的裁决,对于那些可能持不同意见的个人同样有 强制力。 卢梭的很多观点都建立在普遍意志概念上,遗憾的是,他阐述得 并不是很清楚。这一概念似乎是指除了相互冲突的个人利益,剩下的 就是全体的人共享的“自身”利益。但卢梭并没有继续探究下去,直 到得出最后的结论。一个遵循这一方向、尤其是怀有政治经济目的的 国家,将被迫禁止一切形式的民间组织,这样一来,就具备了某种极 权主义制度的全部要素。对于这一点,卢梭似乎也不是毫无觉察,但 他却没有指出怎样才能避免这种后果。至于他所讨论的民主主义,我 们应该这样来理解,他考虑的是古代城邦,而不是代议制政府。当 然,那些最早反对卢梭学说的人以及后来的革命领袖们(尽管支持该 学说)都曲解了这本书。 我们知道,在笛卡尔之后,欧洲哲学出现了两个不同的发展方 向。一个是大陆哲学的各种理性主义体系,另一个是总体上的不列颠 经验主义,两者都是关注个人经验的主观主义哲学。洛克曾为自己定 下一个任务,即为搞清人的心灵范围而进行初步的探索。而休谟则极 为明确地提出了怎样解释关系的大问题,休谟的答案是,我们养成的 某些习惯使得我们看到了事物之间的联系。严格地说,即便如此也超 出了休谟可以陈述的范围,但这种陈述还是暗示了解决困难的某种可 能的方式。正是由于读了休谟的书,康德才从教条主义的昏睡中清醒 过来,他把休谟所说的习惯提高到了某种理性原则的高度,从而轻易 地解决了休谟的问题,尽管他很自然地又陷入了自己的一些新的困境 当中。 ◎ 伊曼努尔·康德 伊曼努尔·康德(1724~1804)生于东普鲁士的柯尼斯堡,他一 生从未远离过该城。早年的教育使他保持了虔信派的特征,这个特征 不仅影响了他的生活方式,而且影响了其伦理学创作。康德曾在柯尼 斯堡大学就读,刚开始学习神学,而最终转向了哲学,并从中得到了 真正的乐趣。有一个时期,他为了谋生而做了地主贵族子弟的私人导 师,直到1755年获得柯尼斯堡大学的讲师职位为止。1770年,他晋升 为逻辑学和形而上学教授,并担任这一职务直到去世。康德过的虽然 不是苛严的苦行生活,但还是非常地自律和勤勉。他的生活是如此的 有规律,以至于市民们常常以他路过的时间来对表。他身体不算强 壮,但也没什么病,原因就是生活有规律。同时,他还非常健谈,总 是在各种社交集会上受到人们的欢迎。在政治上,康德完全接受了启 蒙运动传统,是一位自由主义者。他在宗教上坚持一种非正统的新教 立场。他还支持法国大革命和共和国原则。他虽然一生都不富有,但 却以自己伟大的哲学著作而声名卓著。康德晚年时已经心力衰竭,但 柯尼斯堡人仍然以他为荣。他去世后,人们为他举行了隆重的葬礼, 他所获得的这种荣誉的确很少有其他哲学家获得过。 康德著作涵盖很广泛的内容,他曾在某些时候讲授过所有这些问 题。在这里,我们要特别关注康德的批判哲学。批判性问题最初是由 洛克提出来讨论的,他的愿望是扫净地面,打下基础。但是在洛克之 后,理念的方式不可避免地导致了休谟的怀疑主义。在这方面,康德 发动了一场他所谓的哥白尼革命。和休谟不同,他并没有试图用经验 来解释概念,而是一开始就用概念来解释经验。从某种意义上,我们 可以说康德哲学在不列颠经验主义的极端立场和笛卡尔理性主义的先 天原则之间保持了某种平衡。康德的理论十分复杂,令人费解,而且 很多地方值得怀疑,但是,如果我们要想理解他的学说对后来哲学产 生的巨大影响,那么就必须尽力把握它的总体轮廓。 与休谟及经验主义者一样,康德也认为一切知识都来自经验,不 同的是,他为这一观点加上了一条重要的评论:我们应该把实际产生 知识的东西和这些知识所采取的形式区分开来。因此,虽然知识可以 来自经验,但又不完全来自经验。也就是说,感官经验是产生知识的 必要条件,但不是充分条件。康德可能会认为,知识所采取的形式以 及将经验素材转化为知识的组织原则本身并不来自于经验。他虽然并 没有这么说,但它们显然就是笛卡尔意义上的先天原则。 ◎ 伊曼努尔·康德 心灵所提供的理性使经验形成了知识。康德采用了亚里士多德的 术语,把理性的普遍概念称为范畴。由于知识具有命题的性质,所以 这些范畴必须与命题的形式相关联。不过在揭示康德如何推导出范畴 之前,我们先来探讨一下有关命题分类的重要问题。追随莱布尼茨的 康德坚持了传统的亚里士多德主谓逻辑。他真的以为自己的逻辑是完 整的,不必再作进一步的完善了。这样,所有的命题就可以分为两 类,一类是主语已经包含谓语,另一类则不包含。“所有物体都具有 广延性”就属于前一类,因为它涉及物体如何被定义。这类命题被称 为分析命题,它们只解释词语。而“所有物体都有重量”则属于后一 类,因为物体概念本身并不包括重量概念。这是一个综合命题,它可 以被否定而不会导致自相矛盾。康德在提出这一命题区分方式的同 时,还提出了另一种分类标准。他把原则上独立于经验的知识称为 “先验的”,而把其他所有来自于经验的知识称为“后验的”。关键 在于,这两种分类彼此交叉。康德正是通过这种方式来脱离经验主义 者的困境的,而后者,比如休谟,可能曾经混淆了这两种分类。 分析命题涵盖了先验知识,而综合命题则与后验知识相关。的 确,康德承认前者,但同时又坚持存在着先验的综合命题。《纯粹理 性批判》一书的主旨就是要确定先验的综合命题怎样才有可能存在。 具体地说,康德在这里竭力想要证明的是纯粹数学的可能性,因为按 他的说法,数学命题就是先验的综合命题。他讨论的例子就是一道算 术题:5+7。这个例子无疑是来自柏拉图的《泰阿泰德篇》,该篇用 的也是同样的数字。5+7=12这个命题就是先验的,因为它并不来自 经验,但同时它又是综合的,因为“12”这个概念并不包含在“5”、 “7”和“10”的概念之内。以此为根据,康德坚持认为数学是先验综 合的。另一个重要例子就是因果论原则;休谟的解释在“必然联系” 这道障碍面前出了差错,因为根据印象和理念的理论,必然联系是不 可能的。对康德来说,因果论就是一种先验的综合原则。之所以称它 为先验的,只是为了强调休谟的观点,即它不可能来自经验。但康德 并没有把它说成是某种外在的条件性习惯,而是把它看做一种认识原 则。它之所以是综合的,是因为我们可以否定它,又不至于陷入语言 上的自相矛盾。正如我们稍后将了解到的那样,它是一种先验的综合 原则,知识离开了它,就会被认为是不可能的。 现在,我们可以转向康德的范畴论了。范畴不是数学概念,而是 先验的认知概念,如前所示,它们只能在命题的形式中发现。如果我 们接受了康德的逻辑观,那么范畴的一览表似乎就自然地随之而来 了。康德的确认为自己找到了一种推导范畴完整名单的方法。首先, 他对命题的某些传统形式特征作了区分,如数量、品质、关系和模 态。对于数量,自亚里士多德以来的逻辑家们已经发现了全称命题、 特称命题和单称命题。与此相对应的是单一性范畴、多样性范畴和全 体性范畴。一个命题的品质可以是肯定的,也可以是否定的和限定 的,与此对应的分别是范畴的实在性、否定性和限制性。在关系特征 方面,我们可以把命题分成定言、假言和选言三类,相对应的则是实 体和偶性范畴、原因和结果范畴、相互作用范畴。最后,命题根据其 模态可分为盖然命题、实然命题和必然命题三种,与此相对应的是可 能性与非可能性范畴、存在性与非存在性范畴、必然性与偶然性范 畴。 在这里,我们即使不去考察康德的演绎细节,也不难看出,康德 的范畴表并不像他所想像的那么完整,因为它依赖了一些狭隘的逻辑 观点。不过,这种并非来自经验,却又在经验领域发挥作用的“一般 概念”的见解还是颇具哲学趣味的。它对休谟的问题给出了一种答 案,尽管康德的说明也许并不能为人们所接受。 从形式化思索中演绎出范畴一览表之后,康德继续指出:假如没 有范畴,就不可能有任何可交流的经验。因此,在感官印象转化为知 识之前,我们必须通过知性活动,以某种方式来整理或综合这些印 象。我们在这里探讨的是认识论问题,为了解释康德的观点,就必须 了解他的术语用法。他说认识的过程一方面涉及感官,另一方面涉及 知性,感官只是受到来自外界的经验的冲击,而知性则把这些感觉因 素组合起来。后来黑格尔在某个地方表示,应该把知性与理性区分开 来。他认为理性使人们联合,而知性则使人们分离。可以说,人都是 理性的,或者都具有理性,从这个意义上看,人人都是平等的;而在 知性方面,人们却是不平等的,因为知性是能动的智力,谁都知道, 人们在这种智力方面的确是有高有低的。 为了以一种可以在判断中系统阐释的方式来获得经验,就必须用 到康德所谓的知觉统一性。显然,光有休谟彼此分离的印象是不够 的,无论它们具有多高的接续性。康德肯定了某种连续性,以取代经 验主义“感官经验”的断续性。根据康德的观点,如果不通过范畴的 架构,我们就不可能获得任何永恒事物的经验,因此,范畴发挥作用 就是这些经验的一个必备条件。的确,范畴不是一个充分条件,因为 感官也必须发挥作用。不过范畴也参与了进来,这样一来,康德似乎 想否认纯粹经验(仅仅是被动地接受印象)的可能性,除非我们真的 涉及了不可言传的意识流。 康德认为空间和时间是两个先验的特殊概念,分别属于外部感官 和内部感官的纯粹直觉。他对这些问题的论述非常复杂,而且在总体 上,其论证也不大有说服力。这一理论的主要观点似乎是:假如离开 了先验的时空概念,就不可能有经验。在这里,空间和时间有点近似 于范畴。经验因此而受到了先验概念的影响,但产生经验的东西仍然 受心灵之外事物的制约。康德把经验的这些源头叫做“物自体”或 “本体”,这和表象或现象是相对立的。按照康德的理论,我们不可 能体验到一个物自体,因为一切经验都是与空间、时间和范畴同时发 生的。我们顶多可以推断某些东西来自假定的外部印象源泉。但严格 地说,即使这样也是不可能的,因为缺乏独立的方式来证实这些源泉 的存在。即使能,我们也还是不能说它们正在使我们产生感官印象。 因为,在谈到因果关系时,我们已经处于先验性概念(正在知性内部 发挥作用)的网络之中了。在此,我们又一次面临了洛克的困难。因 为,正如洛克不该按照自己的理论说外部世界产生了感觉理念一样, 康德也没有权力说本体产生了现象。 处于时空之外的物自体是形而上学的一部分内容。尽管它是一种 有点主观的认识论,但却保证了我们可以避开怀疑论,并承认某种至 少是主观的经验领域。康德不得不持这种立场,因为他不承认时空的 独立存在。一旦把这两者从先验性概念的名单中删除,物自体就成了 多余的东西。这一点当然可以做得到,也不会危及康德的范畴论。但 总的说来,康德需要物自体还有另一个理由。我们即将讨论他的伦理 学,其中就包含了这个理由的线索。同时,我们还必须注意到,物自 体完全处在了先验性概念和原则的范围之外。投机地运用这些概念的 危险之一就是我们可能逾越其适用范围,先验性概念的界限也就是经 验领域的界限。如果我们再进行下去,那么就会陷入徒劳的形而上学 和“辩证法”之中,在康德眼里,辩证法是带有贬义的。 《纯粹理性批判》只讨论了我们必须解决的三个主要问题中的一 个。它为“认知力”设定了限度,却没有论及“意志力”和他所谓的 “判断力”。前者属于伦理学范围,《实践理性批判》对它进行了探 讨。而“判断力”的含义是去评价目的或结果,它是《判断力批判》 一书的主题,我们在这里就不作考察了。但我们必须简要地考察一下 康德的伦理学理论,《实践理性批判》和《道德形而上学》两本书都 讨论了这一理论。 ◎ 伊曼努尔·康德 邮票 意志力所致的行动是实践性的,而认知力的过程则是理论性的, 两者形成了对比。我们必须按希腊文原义来理解这里的“理论”和 “实践”,它们分别表示“看”与“做”。实践理性的基本问题是: 我们应当怎样去做?在这里,康德还提出了一些革命性的东西。如果 说伦理学历来都假定意志受外部影响支配的话,那么康德就设想意志 为自身确定了法则。从这个意义上,意志就可以被说成自治的东西。 如果我们想要找到行动的一般性原则,却又去寻找外部目标或原因, 那么这个愿望就无法实现,相反,如果要揭示康德所谓的道德法则, 我们就必须在自身寻找答案。但是,这种道德法则显然不可能包括具 体的条款,它不可能告诉我们在任何既定的情形下应当如何去做,因 为根据自治的原则,这正是我们必须避免的。这样一来,就只剩下了 一种缺乏经验内容的纯形式的原则,康德把这种原则叫做“绝对规 则”。这里还有另一种混合的概念,在理性的实际运用中,它与理性 的理论运用中的先验假设相对应。在传统的逻辑里,绝对论式和规则 论式是相互排斥的,但康德认为,有些包含着“应该”的陈述可以是 无条件的,这也就是他所谓的“绝对规则”。因而,他下述“绝对规 则”中发现了伦理学的最高原则:行动时始终要使指导自己意志的原 则能够成为普遍规律的基础。这个有点道貌岸然的说法实际上只是一 种浮夸罢了,也就是希望“我对人做了什么,人也对我做什么”,这 是一种否定了特殊辩解的原则。 我们发现,建立在康德伦理学基础之上的“绝对规则”,是一种 形式原则,它本身不属于理论的理性范畴,因为理性是与现象相关 的。由此,康德得出一个结论,由这种“绝对规则”确定的善的意志 必定是本体的。在这里,我们终于看到了本体所发挥的作用。现象遵 从于范畴论,尤其是因果范畴论;而另一方面,本体却不服从这些限 制。康德通过这种方式避开了自由意志对立于确定论的难题。从人属 于现象世界的意义上说,人是由世界的法则所确定的;但人作为一种 道德力量,则是本体的,因而具有自由意志。这种解决方法的确很新 奇,尽管它必然会与“物自体”概念一起崩溃。康德的伦理学在一定 程度上具有加尔文教徒正直而严峻的倾向。很显然,惟一有价值的就 是我们的行动应该受到正确原则的支配。按照这种说法,如果在道义 上应该做,于是我们就喜欢做,这种想法完全成了道德行为的一个障 碍。假如我喜欢我的邻居,于是在他有困难的时候,我就觉得应该帮 助他。按照康德的原则,这是不值得称道的,它简直就是把同样的仁 慈态度延伸到了另一个非常讨厌的人那里。因为事情变成了一系列并 非出于愿望,而是依据伦理原则来履行的令人不快和抑郁的义务。行 动者做事应该出于善的意志,只有善的意志才能称为无条件的善。 我们不能总是受一时冲动的摆布,这当然是十分正确的。很多时 候,我们也确实在按原则办事,即使是违背了自己的初衷。但是,如 果一个人所有的行动都要这样受原则的限制,也是很奇怪的。康德之 所以持这样的观点,可能是因为他基本上过着一种极为理论性的生 活。否则他就可能会发现,在个人感情的领域可能有许多我们可以恰 当地称之为善的东西,而并不存在一切都必须变成普遍规律的问题。 而且,康德的伦理学还容易受到某种更为严厉的批驳。他认为,假如 有价值的是心境和意向,那么你就能够心甘情愿地陷入彻底的困境, 只要你觉得这是你的责任。至于你的行动会带来什么样的痛苦后果, 则是无关紧要的。苏格拉底说过,最大的恶是无知,这句话完全可以 用来告诫那些为这种伦理观辩护的人。 关于“物自体”在伦理上的作用以及进一步的推论,康德在《纯 粹理性批判》中指出,在理论理性的领域,是不可能通过论证来证明 上帝存在的。纯粹理性的思辨活动的确容许了上帝存在的理念,但只 有实践理性才能为这种信念提供依据。实际上,在实践的范围内,我 们不得不接受这个概念,因为离了它,我们就无法进行适当的道德活 动。对康德来说,按照道德的“绝对规则”行事的可能性,实际上就 暗示了上帝的存在。 康德的理论在某种意义上划出了一条让人联想到奥卡姆的分界 线,因为《纯粹理性批判》旨在给知识划出界限,以便为信仰留出余 地。“上帝存在”不能作为一条理论上的真理为人所知,但它却可以 作为一种实用信仰强加于人,而且始终具有理论和实践的意义。但 是,康德的伦理学却不允许他遵从任何宗教教条。因为正如我们所 知,只有道德准则才是真正重要的,各种宗教的具体教义都被错误地 说成是神授的。虽然康德认为基督教是惟一真正符合道德规范的宗 教,但他的宗教观点仍然受到了普鲁士政府的谴责。 1795年出版的小册子《论永久和平》提出了和平和国际合作的观 点,对于康德的时代来说,这同样是激进的。他的主导概念中还包括 了代议制政府和世界联盟。在我们这个时代,最好还是牢记这些观 点。 我们知道,康德的哲学曾对休谟的问题给出了某种答案,但也付 出了接受本体概念的代价。在德国的唯心主义运动中,康德的继承者 们活跃地论证这一概念的缺陷,尽管他们自己在认识论中的发展也存 在着问题。 唯物主义者曾指出过一种避免二元论的方法,他们认为心灵是某 种物质组织的伴随物。另一种可能的观点则完全相反,即在某种意义 上把外部世界视为心灵的产物。假定了本体的康德不愿意走这最后一 步,而费希特却审慎周密地选择了它。 ◎ 费希特 费希特(1762~1814)自小家境贫困,他从小学到大学都得到了 某位庇护人的慷慨资助。此后,他靠当私人导师来维持拮据的生活。 当他偶然读到康德的著作时,就立刻去找这位伟大的哲学家。在后者 的帮助下,他发表了一篇有关启示的批判论文。论文一举获得成功, 费希特也因此成了耶拿大学的教授。然而他的宗教观点却不受当局的 欢迎。于是他去了柏林,并在政府中任职。1808年,他发表了一系列 演说,这就是著名的《告德意志国民》,他号召全体德国人团结起来 抵抗拿破仑。这些演说多少带有强烈的德意志国家主义色彩。根据费 希特的观点,“做有骨气的人和做德国人无疑是一回事”。不知他认 为这是一个经验性的事实呢,还是一个恰当的词语定义?如果是前 者,这还是一个有待商榷的问题,如果作为一个定义,似乎就有些离 谱了。 费希特在1810年柏林大学创建的时候,成了该校的教授,并任该 职直到去世。1813年解放战争爆发后,他把自己的学生送到前线去和 法国人作战。他和许多人一样,也曾是法国大革命的支持者,但却反 对拿破仑对革命的破坏。 在政治思想方面,费希特展望了马克思“国家控制生产和分配的 社会主义经济”的概念。但在我们的讨论中,他的“自我”学说更有 哲学趣味。该学说主要是对抗康德的二元论。在某些方面,“自我” 等同于康德的知觉统一性,按照康德的解释,它是一种自治的、能动 的东西,经验世界则是“自我”的一种无意识的投射,费希特称之为 “非我”。他说,正因为投射不是有意识的,所以我们才会误以为自 己受到了外部世界的制约。至于“物自体”,这个问题永远不可能出 现,因为我们所认知的全都是现象。如果说到本体,就会自相矛盾, 就像根据定义去认知不可知的东西一样。投射不仅是无意识的,而且 还是无条件的,因为它不被经验,也不由因果论范畴来认定。作为一 种自由的过程,它源于“自我”的实践和道德本质。在这里,“实 践”一词要按其原义来理解。只有通过这种方式,激发“自我”的能 动原则才可能发挥作用,以便和“自我”本身的投射达成协调。 这个极具想像力的理论的确避免了二元论的难点。正如我们在后 面将看到的,它是黑格尔主义的先行者。该理论的推论之一就是,肯 定有可能从“自我”中造出一个世界来。谢林就作了首次尝试,他的 《自然哲学》后来启发了黑格尔。 ◎ 马克思 ◎ 谢林 和黑格尔以及浪漫主义诗人荷尔德林一样,谢林(1775~1854) 的原籍也是斯华比亚。他15岁进入图宾根大学时,和前两位成了朋 友。他所受到的主要哲学影响来自康德和费希特。才华过人、文笔典 雅的谢林,不到23岁就获得了耶拿大学的教授职位。于是,他逐渐结 识了浪漫主义诗人蒂克、诺瓦利斯和施莱格尔两兄弟——弗里德里希 和奥古斯特。奥古斯特曾和蒂克一起将莎士比亚著作译成了德文,他 的妻子和他离婚后又嫁给了谢林,尽管谢林比她小12岁。谢林对科学 有浓厚的兴趣,而且很了解科学的最新进展。25岁之前,他曾出版了 《自然哲学》一书,该书主要是对自然进行了先验性解释。谢林并没 有忽视经验科学的实际地位,但他事后的确认为,肯定有可能从非经 验的普遍原则中演绎出这些结果来。他的这种尝试带有斯宾诺莎理性 主义的色彩,并且结合了费希特的能动性概念。谢林设想自己试图推 导出的先验世界就是能动的,而经验科学的世界则似乎是僵死的。后 来的黑格尔采用了这一方法。对于当代读者来说,对科学问题作这种 玄妙而深入的思辨简直是莫名其妙。在这些论述中有大量空洞的话和 荒唐的细节,再加上别的一些原因,使后来的唯心主义哲学一度落到 了臭名昭著的地步。 不过值得注意的是,谢林本人在晚年也逐渐摈弃了这种哲学思 辨。经历了早年阶段之后,谢林的兴趣已经转向了宗教神秘主义。那 时候他的第一位妻子已经去世,自己又和黑格尔闹翻了。1841年谢林 应邀为法国哲学家维克多·库辛著作的德译本作序时,他借机猛烈抨 击了黑格尔的自然哲学。虽然没有指名道姓,黑格尔也早已亡故,但 谢林的意图是十分清楚的。在这里,谢林强有力地否定了从先验原则 中演绎出经验事实的可能性。至于他是否意识到了这样做不仅破坏了 黑格尔的理论,而且也损害了自己的自然哲学,那就无从知晓了。 在费希特和谢林的著作里,我们都找到了黑格尔后来用于辩证法 的种种形式。在费希特那里,我们看到了“自我”如何承担起战胜 “非我”的使命。而在谢林的自然哲学里,则有着两极对立面及其统 一性的基本概念,这一概念更为明显地预示了辩证法。不过追溯起 来,辩证法的起源还是康德的范畴论一览表,康德解释道,每组范畴 的第三项都是对第一项和第二项的组合,而第一项与第二项又是相互 对立的。因此,在某种意义上,单一性是多样性的对立面;而全体性 则包含了许多单元,它把前两个概念统一起来了。 德国唯心主义哲学在黑格尔那里获得了它最终的体系。黑格尔从 费希特和早年的谢林那里获得启发之后,构建了一座哲学大厦,尽管 它不那么可靠,但仍然具有趣味性和指导性。另外,黑格尔主义不仅 对德国,而且对英国一个时代的思想家都产生了广泛影响。尤其是在 马克思和恩格斯的辩证唯物主义中,黑格尔哲学得以保留下来,而马 克思为黑格尔哲学的站不住脚提供了一个最好的例证。但从总体上 说,法国并没有追随黑格尔哲学,也许是由于原著过于晦涩,妨碍了 它被翻译成清晰明了的法文。 黑格尔(1770~1831)出生于斯图加特,他和谢林同时就读于图 宾根大学。有一个时期,他一直在当家庭导师。1801年,他和谢林一 起到了耶拿大学。五年后,也就是耶拿战役前夕,黑格尔在这里完成 了《精神现象学》。他在法军得胜前就离开了耶拿,在随后几年里, 他当过编辑,担任过纽伦堡中学的校长,并在那里创作了《逻辑科 学》。1816年,他获得了海德堡大学教授职位,并出版了《哲学全 书》。1818年,他应聘就任柏林大学哲学教授一职,从此就留在了那 里。他对普鲁士极为推崇,他的哲学也就成了官方学说。 ◎ 黑格尔 在所有的哲学文献中,黑格尔著作是最难懂的。其原因不仅在于 所论题目的性质,而且在于作者笨拙又晦涩的文风。尽管偶尔也有精 彩的隐喻让人觉得宽慰,但不足以抵消其整体的晦涩。为了尽量理解 黑格尔的目标,我们不妨回顾一下康德对理论和实践所作的区分。从 “实践”一词的原义上说,黑格尔哲学可以说是坚持了实践至上的原 则。由于这个理由,他对历史和人类一切尝试的历史性质极为重视。 至于在康德、费希特和谢林著作中已经有了根基的辩证法,在黑格尔 看来,其合理性和可行性无疑是来自对历史运动所作的考察。尤其是 前苏格拉底哲学的成长似乎就遵循了这种模式,黑格尔把这种方法提 高到了历史解释原则的高度。现在,就辩证进程而言,从两种对立要 求到某种妥协性解决是完全可以说明问题的。黑格尔进一步指出,历 史必须根据这一原则来经历各个阶段。毫无疑问,要做到这一点就只 有去歪曲事实。承认历史事件的模式是一回事,根据这一原则去推论 历史则是完全不同的另一回事。正如对自然哲学的批判一样,谢林的 批判也适用于这一观点。 在某些方面,辩证法使人回想起苏格拉底竭力追求的“善的形 式”。善的形式相当于黑格尔所谓的“绝对理念”。正如苏格拉底的 辩证法一样,通过推翻特殊假说来最终导致善的形式,黑格尔的辩证 法也要回溯到绝对理念。不论成功与否,《逻辑科学》总算是解释了 这一过程。需要记住的是,黑格尔说逻辑学实际上是形而上学的同义 词,因此在这个主题下,我们看到了关于范畴的一种说明,它们是通 过正、反、合的辩证进程互相构造出来的。这一学说显然受到了康德 范畴论的启发,康德也把“单一性”范畴当做了出发点。此后,黑格 尔就走了自己的路,构筑出了一长串有些随意的范畴,直到提出绝对 理念为止。至此,我们转了一圈后,又回到了单一性问题上来。从某 个角度看,黑格尔把绝对理念当做完整和正确论证的一种保障。实际 上,绝对理念最终成了“单一性”范畴的最高范例,一切差异都在其 中淹没了。 我们理解了导向“绝对理念”的辩证过程,就能够更为全面地把 握这个令人费解的概念。要想用简单的语言来进行解释,不仅黑格尔 做不到,任何人也必然是做不到的。但黑格尔的著作充斥着明显的例 证,他在这里就借用了其中的一个。他所作的比较是:一个人的“绝 对理念”未曾经过辩证的证实;而另一个人正相反。这正如祷告对于 孩子和老人来说具有不同意义一样,虽然他们都在念着同样的句子, 但这些句子在孩子看来只不过是某种喧闹;而对于老人来说,却唤起 了人生历程的回忆。 辩证法原则因此认为绝对理念(辩证进程在这里到达终点)是惟 一的现实。特别是在这方面,黑格尔受了斯宾诺莎的影响。他的推论 是,整体里的片断本身不具有任何现实性或意义,只有当它和整个宇 宙联系起来时,才可能具有意义。看来,我们似乎要冒险接受这个独 特的命题:绝对理念是实在的。只有整体才是真的,任何部分的东西 只具有部分真实性。而在黑格尔的作品里,绝对理念的定义是如此晦 涩,简直像毫无价值一样。但它的主旨却十分的简单明了,在黑格尔 看来,绝对理念即自我思维的理念。 这是一件形而上学的陈列品,它在某些地方相当于亚里士多德的 上帝,是一个隐藏在自身思维中的孤单的、不可知的实体。在别的一 些方面,它也使人联想到斯宾诺莎的上帝,这个上帝等同于宇宙。和 斯宾诺莎一样,黑格尔也抛弃了一切形式的二元论。由于他像费希特 一样,也从心灵入手,因此会采用理念来论述问题。 黑格尔把这种普遍的形而上学理论应用到了历史中。该理论可以 适用于历史的某些普遍模式,这当然并不奇怪,因为黑格尔的辩证法 原则正是从历史中演绎出来的。但是,正如我们前面提到过的那样, 对于事件具体细节的解释是不应该采用这种先验方式的。另外,在历 史中通向“绝对理念”的辩证进程,还为一些赤裸裸的国家主义宣传 提供了机会。在黑格尔时代的普鲁士国家里,历史似乎已经达到了最 终阶段。这就是黑格尔在《历史哲学》里得出的结论,现在看来,这 位辩证法大师的推论未免有些草率和仓促。 同样的论证模式还使得黑格尔赞同用极权主义的方式来组织国 家。根据黑格尔的观点,在历史进程中,精神的发展首先是德意志人 的任务,因为只有他们才能理解自由的普遍范围。这里的自由不是一 个否定性概念,而是指必须和某个法典相联系。我们可以在这一点上 赞同黑格尔,但我们不能像黑格尔那样由此推断,有法律的地方就有 自由。如果是这样,“自由”就成了“守法”的同义词,这与普通人 的观点是相违背的。同时,黑格尔的自由概念中还有一个可贵的暗 示:如果一个人由于不愿意承认砖头比脑袋硬,就习惯性地用脑袋去 撞砖墙,那么我们可以说这个人固执,而不能说这就是自由。从这个 意义上说,自由就是去认识世界的本来面目,而不是去幻想或把握必 然性的运动。我们知道,赫拉克利特早已预见了这一观点。不过,当 涉及普鲁士的具体法律时,似乎没有理由可以表明这些法律具有逻辑 上的必然性。为了维护其必然性,只要像黑格尔所赞同的那样,命令 软弱的公民盲从于国家的法令就行了。他的自由就是,要他做什么就 做什么。 ◎ 辩证过程:两个对立的命题产生一个综合命题。 历史考察的另一个特征也启发了辩证法,因为它强调了对立势力 之间斗争的一面。像赫拉克利特一样,黑格尔也特别重视冲突。他甚 至指出,战争比和平更有道德上的优越性,如果国家没有对手,那么 人们就会在道德方面变得虚弱和颓废。在这里,黑格尔显然想到了赫 拉克利特的名言:战争乃一切之父。他抛弃了康德的“世界联盟”概 念,也反对维也纳会议产生的神圣同盟。关于政治与历史的全部讨 论,都由于黑格尔对政治史的片面兴趣而受到了歪曲。他在这方面缺 乏维科的广阔视野,维科看到了艺术和科学的重要性。只有从一种狭 隘的政治观点出发,黑格尔才可能得出下述的结论:外来之敌人对于 一个国家的道德健康至关重要。如果把眼光放远一些,人们就会清楚 地发现,在任何一个特定的社会里,公民们都有充分的机会来表现自 己健康的尚武精神。认为国与国之间的争端必须通过战争来解决的观 点隐含了一种假设,即国与国之间不可能达成社会契约,在彼此的交 往中,它们必须顺其自然地崇尚强权。在这个问题上,康德的洞察力 要明显强于黑格尔。因为我们这个时代已经证明,战争最终将会导致 世界性的毁灭。这的确是一个极端的辩证法结果,即使是最固执的黑 格尔主义者,也一定会完全认同的。 黑格尔的政治和历史学说非常怪异,实际上也无法和他自己的逻 辑学协调一致。因为辩证过程中出现的“全体性”既不像巴门尼德不 可分的“太一”,也不像斯宾诺莎的上帝或自然,后者认为个体将逐 渐与宇宙同一,并最终融为一体。黑格尔则相反,他采用了有机的整 体性来思考问题,这一概念后来影响到了杜威的哲学。根据这个观 点,个体要通过与整体相联系,才能具有完全的现实性,正如有机体 的各个部分一样。也许有人以为这会导致黑格尔同意国家里有各种各 样的组织存在,但实际上他一个也不容许,国家是高于一切的惟一的 力量。作为一名地道的新教徒,黑格尔自然宣扬国家对于教会的优势 地位,因为这样才能维护教会组织的国家性质。对于罗马教会,先不 说别的,仅凭以下这一点,黑格尔也会反对它:罗马教会是一种国际 性团体(实际上这正是它的主要优势)。同样,黑格尔也反对在社会 内部单独追求有组织的利益,尽管根据他的有机观点,他本来应该欢 迎这类活动的。至于不偏不倚的探索或沉溺于个人爱好,他也是反对 的。可是,比如说,为什么集邮者不可以在俱乐部聚会呢?他们只不 过是为了追求共同的集邮兴趣而已。值得关注的是,官方的马克思主 义学说在这方面也保留了很大程度的黑格尔主义。不知为什么,该学 说认为一切活动都必须直接有助于国家利益。在这种制度下,如果一 个集邮协会不使自己的工作为社会主义革命做出贡献的话,那么它的 会员将被粗暴地剥夺集邮或进行任何其他活动的权利。 黑格尔的政治理论在另一个重要方面,与其形而上学并不一致。 对自己辩证法原则的彻底应用原本应该使他明白,反对建立国际组织 是没有根据的,而建立这类组织或许正是康德所提倡的路线。迄今为 止,政治中的“绝对”国家似乎就是普鲁士王国。黑格尔结论的推导 当然是假的,当然,我们不能否认有些人对这一命题深信不疑。虽然 某些相信这类说法的人可能感到安慰,但是宣称它们是理性使然则有 点虚伪了。用这种方式,一个人很容易为世上任何一种偏见和暴行找 到欺骗性的理由。 现在,让我们回到辩证法上来,辩证法的确是黑格尔体系的核心 概念。在前文中,我们已经注意到一个辩证法步骤是如何涉及三个阶 段的。首先必须有一个陈述,然后有一个对立的陈述,最后把两者合 成一个综合陈述。有个简单的例子可以说明这一点。例如,一个人可 能提出以下命题:黄金有用。与之相对立的命题则是:黄金无用。那 么可能的综合命题就是:黄金是否有用取决于环境。如果你恰好在牛 津街,有人愿意用三明治来换你的黄金,那么黄金就有用;但是,假 如你带着一袋黄金迷失在撒哈拉大沙漠里,而你需要的是水,那么在 这里黄金就是无用的。因此,我们似乎应该把所处的环境考虑进去。 也许黑格尔并不赞同这个例子,但在这里它却符合我们的要求。现在 的论点是:综合命题变成了一个新命题,同样的辩证过程将重新开 始,由此类推,直到理解了整个宇宙。这就是说,任何事物只有放在 自身一切可能的联系中(即放在整个世界中)来加以考虑,它才能产 生全部的意义。 我想到了几条评论。第一条是关于辩证法的历史内容。以某种妥 协的方式来调整不相容的要求,这样的情况肯定是有的。比如,我可 能不情愿缴纳所得税,而税务当局自然会采取相反的行动,坚持要抽 走税款,最后,我们找到了某种折中的解决办法,以使双方都能在一 定程度上满意。在这方面,从来就没有什么神秘的事物。必须注意的 是,妥协并不源于两种矛盾的要求,而是源于两种相反的要求。我们 应该对这个逻辑论点进行某种解释。如果一个陈述为真,另一个就必 然为假(反之亦然),那么这两个陈述就是矛盾的;但是两个相反的 陈述完全有可能都是假的,尽管它们不可能都是真的。因此在以上例 子中,妥协的解决办法就是揭穿两种对立主张的虚假性。在真实的历 史事件中,以下事实使辩证法发挥了作用:某种协议总能够从相反的 要求中达成。当然,如果有关各方没有足够的耐心来制定一个都能够 接受的方案,那么斗争就很可能变得更为激烈,最终是强者胜,弱者 败。在这种情况下,相反的要求在事后也可能被视为矛盾的要求,但 只能在事后才这样因为这种事的发生并非不可避免。正是由于持有相 反的(而不是矛盾的)纳税观点,公民和税务当局才没有被逼得非拼 个你死我活不可。 另外,我们可以看到,智力的发展也遵循了相似的模式。在这方 面,辩证法回顾了柏拉图对话录问答形式的相互作用,这正好表明了 面临某个问题时,心灵是怎样工作的。一个例证提出后,就可能产生 种种异议。在讨论过程中,可能通过对事态采取更精确的看法来进行 调整,或者,经过反思,发现必须接受其中某条异议,从而放弃原来 的例证。在这里,相互对立的陈述无论是矛盾的还是相反的,都有可 能达成某种妥协。因此,赫拉克利特的“万物皆运动”和巴门尼德的 “万物皆静止”就是相反的。但也许有人会说某些东西并不运动,以 此来反驳赫拉克利特的观点,这时候,两个陈述就是矛盾的。不管是 哪种情况,我们都可以达成妥协:有的东西运动,而有的则静止。这 样一来,就导致了黑格尔不愿意承认的一个重大差异。矛盾只是某种 在交谈中才出现的东西。一个人可以和另一个人发生矛盾,或者确切 地说,一种表述可以和另一种表述相矛盾,但是在日常的事实的世界 里,却是不存在矛盾的。无论对语言与世界的关系持什么样的观点, 一个事实是不可能和另一个事实相矛盾的。因此,贫穷与富裕并不是 一对矛盾,而只是一对差别。由于黑格尔对世界持某种心灵的观点, 所以他倾向于简单粗暴地对待这个重要的区别。 另外,根据这个观点,不难看出为什么辩证法不仅可以作为知识 论的一个工具,而且可以直接用于对世界的某种描绘。用专门术语来 说,黑格尔认为其辩证法不仅是认识论的,而且也是本体论的。黑格 尔正是在这一基础上,进一步辩证地解释了自然。我们在前面已经谈 到过谢林对它的批判。除了以拉梅特里的唯物主义原则来取代黑格尔 偏执的唯心论以外,可以说马克思主义者全盘吸收了这种荒唐的观 点。 另外,黑格尔对数字“3”的偏好,也是一个源于辩证法的特殊偏 见。仅仅由于辩证法包含了三个阶段(正、反、合),于是一切事物 似乎都与“3”有关。无论在什么地方需要对事物进行划分,黑格尔都 会把它一分为三。比如说,他对历史的记述就只承认东方世界、希腊 和罗马世界,还有日耳曼世界,其他的世界似乎都不值一提。为了对 称,这样做当然也可以,但作为一种研究历史的方法,则似乎没有多 少说服力。同样,我们发现《哲学全书》也分成了三部分,分别对应 精神的三种状态。第一种是产生了逻辑的“自在”状态;第二种是所 谓的“异在”状态,据说是精神经历了某种自我疏离之后的状态,第 二种状态在自然哲学里作了讨论;第三种状态是精神完成了它的辩证 往返旅程之后,又回到了自身,与此相对应的是精神哲学。事情被设 想为一种辩证的三合一。这种说理方式是如此荒谬,以至于尊崇黑格 尔的人都不再打算为它辩护了。 不过,在进行了这些批判之后,我们绝不可忽视黑格尔哲学有价 值的部分。首先,必须承认就辩证法而言,黑格尔展示了他对心灵作 用的非凡洞察力,因为心灵的发展往往是按辩证法模式进行的。作为 对智能心理学的一大贡献,辩证法在一定程度上可说是一种敏锐的观 察。另外,黑格尔主义确实强调了维科在一个世纪以前提出的历史的 重要性。由于词语的使用不是很到位,黑格尔在陈述自己的论证方式 时有时候受到了妨碍,这可能和语言自身的某种诗性概念有关。因 此,当黑格尔说哲学就是对自身历史的研究时,我们应该根据辩证法 原则来理解这句话。他其实是说,哲学必然按照辩证法模式发展,而 辩证法是至高无上的哲学原则,因此,辩证法研究和哲学史研究似乎 正好达到了一致。所以,这是一种间接的表述,其原意是说,为了正 确地理解哲学,我们必须了解一些有关哲学的历史。也许有人不同意 这个看法,但它并不是毫无意义的。在系统的论述中,黑格尔经常用 到词语的不同含义。他也确实说过:不知为什么,和人类相比,语言 的确具有某种更为优越的固有智能。令人惊讶的是,今天的牛津普通 语言哲学家们竟然也持有极为相似的见解。 在研究历史形势时,黑格尔感到“绝对理念”将会到来,因此应 该建立哲学体系。根据他的观点,哲学体系总是紧随事件之后产生, 他在《法哲学》一书的序言中突出地表明了这一点: “只有当夜幕降 临后,米涅瓦的猫头鹰才开始飞翔。” 有一个普遍原则在哲学史上反复出现,并启发了黑格尔的哲学, 这就是:世界的任何部分都不可能被单独理解,除非把它放在整个宇 宙的背景之中,因此,只有整体才是惟一可能的实在。早在苏格拉底 之前,哲学家就有了这种观点。当巴门尼德说宇宙是一个静止的球体 时,他就试图表达这个意思。当毕达哥拉斯学派的数理哲学家们说 “万物皆数”的时候,同样暗示了这个概念。较晚的斯宾诺莎则代表 性地提出了如下观点:只有整体才是最终的实在。继承了毕达哥拉斯 传统的数理物理学家们,在探询一个可以解释整个宇宙的最高公式 时,也为同样的信念所左右。牛顿物理学的惊人发展就提供了一个这 方面的例子。虽然要推翻唯心主义宇宙体系的概念并不难,但如果不 设法理解它的意图就简单地予以否定,是很危险的。 有意思的是,唯心主义体系在某个方面正确地描绘了科学理论的 理想。科学的主旨确实是为我们系统地了解自然提供越来越广阔的视 野,并揭示出从未被怀疑过的各种相互关系,把日益增多的自然事件 纳入某种理论体系。从原则上说,这种发展是没有止境的。而且,科 学理论不容许出现例外,它必须具有普遍的控制力,要么适用于一 切,要么对一切都不适合。因此我们可以说,唯心主义体系是一种柏 拉图式的整体科学观,也是莱布尼茨所设想的那种神的科学。按照某 种方法,一切都相互联系,这是非常正确的。但如果认为事物因为与 别的事物有联系才发生变化,是错误的。正是在第二种情况下,这种 科学观很糟糕地偏离了目标。另外,由于科学探索的特征之一就是没 有止境,所以,把一切事物都看成一种制成品同样是错误的。黑格尔 的立场与19世纪后期的科学乐观主义没有联系,在19世纪后期,所有 的人都以为关于一切事物的答案就在眼前,就像早就可能预知的一 样,但后来的事实证明这只是一种幻觉。另一方面,对神的科学进行 补充也是徒劳的。不管在这方面可以说些什么,这都不是它所属的世 界,我们这个世界之外的世界不可能和我们有什么关系。因此,唯心 主义体系是一个不合逻辑的谬误概念。 ◎ 理性主义之于经验主义,正如各部分不可分的整体拼图之于疏离的单块拼板。 我们可以用一个例子来更为直接地证明这一点。我有许多真实的 信念,比如说,我认为纳尔逊圆柱要比白金汉宫高,而黑格尔主义者 却什么也不承认。他们会驳斥说: “你并不知道自己在说什么。要了 解你所谈到的事实,你就必须清楚这两个建筑物用的是什么材料,是 谁建造的,为什么建造,这样,你需要了解的东西多得没有止境。在 你有资格说自己知道纳尔逊圆柱比白金汉宫高是什么意思之前,你将 不得不了解整个宇宙。”但这样一来,麻烦自然就出现了:按这种说 法,我在认知任何事物之前,都将不得不先认知一切事物,因此,我 甚至可能永远也无法开始。没有人会谦虚到声称自己彻底无知的地 步,何况这完全不是事实。我的确知道纳尔逊圆柱比白金汉宫高,但 不会宣称自己像神一样无所不知。事实上,你能够认知某种事物,而 不必了解与之相关的一切;你可以恰当地使用某个词语,而不必掌握 全部词汇。黑格尔坚持认为,就像拼图一样,在完成整个拼图之前, 拼板上的任何一块都是没有意义的。而经验主义者正好相反,他们承 认每一块都有自身的意义。的确如此,如果它真的没有意义,你就不 可能拼它。 ◎ 在整个拼图完成之前任何单独一块都没有意义。 从伦理学意义上说,对体系逻辑学说的批判具有十分重要的意 义。因为如果逻辑理论是正确的,那么以它为基础建立起来的伦理学 理论也必定是正确的。但事实上这个问题还是没有得到解决。 黑格尔主义与洛克的自由主义是完全对立的。黑格尔认为,国家 本身是善的,而公民则并不重要,只要他们于整体有利就行了。自由 主义却认为国家应该照顾到各类成员的个人利益。唯心主义观点容易 导致偏狭、残酷和暴政;而自由主义则产生了宽容和妥协。黑格尔唯 心主义是把世界当做某种体系的一个尝试。黑格尔主义的目标完全不 是主观主义的,尽管它强调精神,我们可以把它称为客观唯心主义。 前面已经说过辩证法的体系架构后来如何受到了谢林的批判。从 哲学角度看,丹麦哲学家叙伦·克尔恺郭尔就是从这里出发,猛烈抨 击了黑格尔主义。他的作品在当时几乎没有什么影响,但大约五十年 后,却成了存在主义运动的源泉。 克尔恺郭尔(1813~1855)生于哥本哈根,17岁进了哥本哈根大 学。他的父亲年轻时就弃农从商到了首都,并且获得了很大的成功, 因此克尔恺郭尔没有谋生的压力。他不仅继承了父亲的才智,而且继 承了其沉思的气质。1841年,他获得了神学硕士学位。这期间,他曾 与一位女士订婚,但无果而终。那位女士似乎并不喜欢他把神学作为 自己的使命。总之,他解除了婚约,完成学业之后去了柏林,当时谢 林正在那里执教。从此他沉浸在神学与哲学的思辨之中,而那位曾和 他订过婚的女士则明智地嫁给了别人。 还是先回到谢林对黑格尔体系的批判上来吧。谢林对消极哲学和 积极哲学进行了区分。用经院派的术语来说,前者涉及概念,如共相 和本质,它论述的是事物“是什么”的问题;而积极哲学则涉及实际 存在,或事物“就是那样”的问题。谢林坚持认为,哲学肯定始于某 个消极阶段,然后才向积极阶段转移。这种解释使人联想到他的“两 极对立面”原则和下述事实:他自己的哲学发展就经历了这么一个过 程。在这种意义上,谢林早年的观点是“消极的”,而后期的作品才 是“积极的”。他对黑格尔的主要批判就是:黑格尔扎根于消极领 域,却想推导出积极的事实世界来。这一评论正是存在主义的发端所 在。 ◎ 克尔恺郭尔 谢林的批判仅仅是从逻辑上驳斥了黑格尔,同样重要的是,克尔 恺郭尔还在情感上驳斥了黑格尔。黑格尔主义涉及的是枯燥的理论化 事务,很少给灵魂的激情留出空间。一般说来,德国唯心主义哲学都 是如此,甚至谢林晚期的思辨也不例外。启蒙运动已经有了肯定激情 的趋向,尽管还有一些疑虑。克尔恺郭尔则希望使激情重新在哲学上 获得尊重,这与诗人们的浪漫主义观点是一致的,而与那种把善与知 识、恶与无知联系到一起的伦理观相对立。 存在主义者按照真正的奥卡姆方式,割裂了意志与理性,试图把 我们的注意力引到人们行动和选择的需要上去,这种需要不是哲学反 思的一种结果,而是源于意志的某种自发作用。这样就可以立即以某 种简单的方式,为人们的信仰留出余地,因为这时候,接受宗教就是 意志的一种自由选择。有时候可以把存在主义原则表述为:存在先于 本质。也就是说,我们先认了知事物的存在,然后才认知其本质。这 就等于把个别放在共相之前,或把亚里士多德放在柏拉图之前。 克尔恺郭尔认为意志先于理性。他论证说,我们不应当把人过分 科学化,处理一般性问题的科学只能从外部触及事物。与此相对,克 尔恺郭尔承认从内部把握事态的存在主义思维方式。以人为例,如果 以科学的方式来对待人,就会感觉真正重要的东西被我们忽略了。我 们只能按照存在主义的观点来理解个人的具体感受。在克尔恺郭尔看 来,伦理学理论太倾向于理性主义,以至于不容许人们自主地安排自 己的生活。这些理论从来没有充分恰当地评价过个人道德行为的具体 特征。另外,要找到打破其规则的反面例子或例外情形总是很容易, 正是基于这些理由,克尔恺郭尔才鼓励我们要把自己的生活建立在宗 教原则而不是伦理学原则的基础之上。备受推崇的新教奥古斯丁传统 就包含了这样的主张,即一个人只对上帝及其旨意负责,任何其他人 都不能干预和改变这种关系。 按照克尔恺郭尔的看法,宗教是一个存在性思维的问题,因为它 来自灵魂的内部。克尔恺郭尔是一位热情的基督徒,他的观点必然与 丹麦国教僵化的制度发生冲突,这也是很自然的。他否定经院哲学自 以为是的理性主义神学,认为上帝的存在应该通过存在性方式来把 握。在本质范围内,无论有多少论证,也不可能确立上帝的存在。因 此,如前面所说,克尔恺郭尔将信仰与理性割裂开来。 克尔恺郭尔在批判黑格尔的过程中,他的反思活动自然得到了发 展。从总体上说,他的批判是正确有效的,不过派生于其中的存在主 义哲学却并不那么合理。由于限定了理性的范围,它为五花八门的荒 谬学说敞开了大门,但在信仰层次上,它不仅受到了尊重,而且是受 欢迎的。对于那些相信(神的)启示的人来说,“信仰源于谬论”是 一句古老而流行的格言,从某种意义上说,他们也许是对的。如果你 想行使你的信仰自由,那么你也可能紧紧抓住某个不同寻常的东西。 但是,必须记住的是,就像估计过高一样,过低地看待理性也是 危险的。黑格尔对理性的评价太高,以至于出现了“理性能够产生宇 宙”的错误。克尔恺郭尔则走向了另一个极端,事实上,他坚持认为 理性无助于我们把握具体事物,而只有具体事物才真正值得去认知。 这种观点否定了科学的全部价值,它与浪漫主义原则是协调一致的。 尽管克尔恺郭尔猛烈地抨击了浪漫主义生活方式,认为它完全取决于 外部影响的无规律变化,但他本人却是一个纯粹的浪漫主义者。他的 假设了存在主义思维模式的原则,恰恰就是一个模糊的浪漫主义概 念,针对黑格尔的存在主义批判基本上不承认世界本身构成了一个体 系。尽管克尔恺郭尔并没有明确地深入这一问题,但其存在主义实际 上却预先设定了一个实在的认识论(与唯心主义观点相对立)。如果 我们回到康德的二元论中去,那么就会产生针对黑格尔的完全不同的 批判,这种批判在叔本华的哲学中出现了。 ◎ 青年亚瑟·叔本华 亚瑟·叔本华(1788~1860)的父亲是一位但泽商人,他仰慕伏 尔泰,像伏尔泰一样推崇英国。1793年,普鲁士吞并自由城市但泽 时,叔本华一家迁居汉堡。1797年,9岁的叔本华去了巴黎,并在该城 生活了两年。在此期间,他几乎忘了自己的母语。1803年,叔本华来 到英国,就读于一所寄宿学校。尽管只有大约六个月时间,但足以使 他学会英语,并厌恶英国的学校。叔本华晚年长期订阅了伦敦的《泰 晤士报》。回到汉堡后,他曾心不在焉地尝试经商,父亲一死,他立 刻就放弃了。他母亲这时已经搬到了魏玛,并很快成了一个文学沙龙 的女主人,魏玛的许多著名诗人和作家经常光临这个沙龙。实际上, 她自己最终也成了一名小说家。但这时候,她的儿子,性格乖僻的叔 本华,却开始对她那种有点自由放纵的生活方式感到不满。21岁时, 叔本华得到了一笔不大的遗产,从此母子俩就疏远了。 那笔遗产可以支持叔本华完成大学的学业。1809年,他进了哥廷 根大学,并在那里首次接触了康德哲学。1811年,他转到了柏林大 学,主修科学。叔本华虽然也听了费希特的一些课,却对后者的哲学 抱一种轻视的态度。1813年,他完成了学业。这时候解放战争爆发 了,不过这并没有唤起他持久的热情。后来,他在魏玛结识了歌德, 并且在那里开始了对印度神秘主义的研究。1819年,叔本华作为没有 薪水的教师,开始在柏林大学授课。他自信地认为自己的天赋很高, 觉得如果隐瞒这一事实,不告诉那些还没有意识到这一点的人,是不 诚实的表现,于是他把自己的课程安排在黑格尔授课的同时进行。当 他未能有效地把黑格尔主义者吸引过来时,就决定放弃授课,去法兰 克福定居。他在那里度过了自己的余生。叔本华是一个傲慢自负、阴 郁乖戾和爱慕虚荣的人,但他并没有在有生之年得到他所渴望得到的 名声。 ◎ 老年亚瑟·叔本华 叔本华的哲学观点在早年就已经形成。他的主要著作《作为意志 与表象的世界》出版于1818年,当时他才30岁。这本书问世之初,丝 毫没有引起人们的重视。该书提出了一种修正的、审慎保留了“物自 体”的康德学说。不同的是,叔本华将“物自体”等同于意志,因此 在康德学说的意义上,他和康德都认为被经验的世界是由现象构成 的,不过导致现象的东西并不是一系列不可知的本体,而是本体的意 志。这一点与正统的康德观点十分近似。我们已经知道,康德认为意 志就位于本体之中,假如我运用我的意志,那么经验世界里与之相对 应的就是我的肉体运动。我们顺便还可以发现,实际上,康德在这里 并没有超越偶因论。因为本体与现象之间不可能存在着因果关系。总 之,叔本华认为肉体是一种现象,它的实在性存在于意志之中。和康 德一样,叔本华也认为本体世界位于空间、时间和范畴之外。本体的 意志并不隶属于其中任何一个。所以,它既不是时间的,也不是空间 的,这就表明它具有一体性。就我的意志而言,我并不是独特和分离 的,这纯粹是一种现象的幻觉,正相反,实际上我的意志是惟一的宇 宙意志。在叔本华看来,这种意志是十足的罪恶,它产生了人生不可 避免的苦难。另外,他和黑格尔正好相反,认为知识是苦难的(而不 是自由的)源泉,因此,叔本华展示的是一种没有快乐余地的悲观前 景,而不是理性主义体系的乐观态度。 叔本华认为性是一种邪恶的交易,因为繁衍后代完全是在为苦难 提供新的牺牲品。叔本华的讨厌女人也和这种观点有关,因为他觉得 在性方面,女人比男人更有心计。 没有什么逻辑上的理由可以说明康德认识论为何要与悲观主义观 点相联系。叔本华由于自己乖僻的性格而无法感到快乐,所以就宣称 快乐不可能实现。在他阴郁的生命快要结束之际,他的成就才得到了 认可,经济状况也有所改善,这两个变化突然使他不顾自己的理论, 开始快乐起来。不过,这也并不能证明理性主义者对这个世界的 “善”持有十足的信心就是正确的。至少,像斯宾诺莎这样的思想家 不打算从理论上发现罪恶,而叔本华则走向了另一个极端,在一切事 物中都看不到善。根据叔本华的观点,摆脱这种痛苦的办法必须到佛 教神话中去寻找。由于我们的意志导致了我们的苦难,所以通过麻醉 意志,就可以最终在涅□或空的境界中得到解脱。通过神秘的入定, 我们就可以看穿代表幻觉的“摩耶面纱”。这样一来,我们就可以逐 渐把世界视为一个整体。具备了这样的知识之后,我们就可以征服意 志。但是,这里的一体性知识既不像爱克哈特长老之类的西方神秘主 义者那样,导致人和上帝的感通;也不会分享斯宾诺莎的泛神论世 界。相反,对整体的洞悉和对苦难的同情,为我们提供了一条遁入空 的退路。 叔本华哲学和黑格尔派的理性主义学说相反,它强调了意志的重 要性。后来的许多哲学家采纳了这一观点,尽管他们在其他方面几乎 没有什么共同之处。我们不仅在尼采,也在实用主义者的作品中发现 了这种观点。存在主义也对与理性相对立的意志极感兴趣。而叔本华 学说中的神秘主义因素,倒是处在哲学主流之外的。 ◎ 尼采 如果说叔本华哲学寻求的是一种最终摆脱尘世及其冲突的途径, 那么尼采(1844~1900)则走向了它的反面。要归纳尼采的思想内 容,不是一件容易的事。在通常意义上,他算不得一位哲学家,而且 他也没有留下某种系统的观点。也许有人从字面意义上,把他描绘成 一个贵族人文主义者。因为他最早试图提倡的就是最优秀人物享有至 高的地位,这些人具有最健康、最坚强的秉性。同时,他还强调了面 对苦难时的坚忍和顽强,这与公认的伦理标准有相同之处,尽管实践 起来并不一定是这样。许多人由于断章取义地关注这些特征,以为尼 采就是我们这个时代暴政的预言家。虽然暴君们的确可能从尼采那里 获得某些启发,但如果要他对这些人的罪行负责,是不公平的,这些 人顶多是肤浅地理解了尼采。因为,如果尼采能够活得更长,亲眼目 睹自己国家的政治发展的话,他也会极力反对的。 尼采的父亲是新教的一名牧师,这就营造了一种虔诚、正直的家 庭气氛。即使在尼采著作最具叛逆性的时候,其强烈的道德感仍然保 留了这种色彩。尼采在早年就是一位才华横溢的学者,24岁就成了巴 塞尔大学的古典语言学教授。一年后,爆发了普法战争。由于他已经 是瑞士公民,因此只能当一名军队医院的卫生员。后来因感染上痢 疾,他退伍回到了巴塞尔。他的身体状况一直不好,从服役以来,始 终未能恢复健康。1879年,他不得不辞去教授职务,尽管那笔丰厚的 年金足以使他过上很舒适的生活。随后的十年,尼采是在瑞士和意大 利度过的。他仍然从事写作,却在大多数时候孤独寂寞、默默无闻。 1889年,学生时代染上的性病终于导致了一个迟来的恶果,尼采患上 了精神病,直到去世精神都不很正常。 ◎ 尼采和他的母亲 尼采的探索首先受了前苏格拉底时期的希腊,尤其是斯巴达理想 的启发。在第一部主要著作《悲剧的诞生》(1872年)中,尼采提出 了著名的区别,即希腊精神中的阿波罗情结和狄奥尼索斯情结。对人 类悲剧实在性的认识,与暗淡而情绪化的狄奥尼索斯倾向有着密切的 联系;而奥林匹亚的诸神殿则是某种可以抵消人生不幸的安宁幻象。 这一点源自希腊精神中的阿波罗倾向。可以说,希腊悲剧是狄奥尼索 斯热望的阿波罗式升华。我们知道,亚里士多德对此也持有类似的观 点。从这些关于悲剧起源的解释中,尼采最终选择了悲剧英雄的概 念。和亚里士多德不同,尼采在悲剧中看到的不是一种能够引起共鸣 的感情净化,而是积极地接受现实生活。叔本华得出的是悲观的结 论,而尼采却采取了乐观的态度。他认为这种态度可以在有关希腊悲 剧的正确解释中辨别出来。但必须注意的是,这并不是寻常意义上的 乐观主义,而是对生活的严酷性和现实性的豪迈承受。和叔本华一 样,他也认可意志的至高地位,但他更进一步认为,坚强的意志是善 者的优秀特征,而叔本华却把意志视为万恶之源。 尼采把人类及其道德分为两类,即主人和奴隶。他的《善恶之 外》(1886年)一书详尽论述了基于这一区分的伦理学理论。在主人 道德中,“善”意味着独立、慷慨和自助等等,实际上,所有这些都 是亚里士多德“具有伟大灵魂的人”的品质。与之相对的缺陷则是依 附、吝啬和怯懦等等,也就是恶。在这里,善与恶的对比大体上相当 于高尚和卑鄙。奴隶道德按照完全不同的原则发挥作用。它认为善存 在于某种普遍的沉默当中,存在于一切消除苦难和反抗的事件当中。 它谴责主人道德中的善,认为它不仅不恰当,而且是罪恶的,因为主 人道德中的善容易引起人的恐怖感。对于奴隶(道德)来说,所有引 起恐惧的行为都是罪恶的。而英雄或者超人的道德,则在善恶之外。 这些学说在《查拉图斯拉如是说》中以道德宣言的形式被提了出来, 该书在风格上模仿了《圣经》。尼采是一位伟大的文学艺术家,他的 作品看上去更像诗体散文,而不是哲学。 可以说,尼采最为厌恶的东西,就是随着新技术发展起来的新的 大众人性。他认为社会应该成为少数杰出人物实现贵族理想的温床。 至于这样做可能会给小人物带来苦难,在他看来,则是无所谓的。他 所想像的国家与柏拉图《理想国》中的国家有许多相同之处。他认为 传统宗教为奴隶道德提供了支持。按他的观点,自由者必须认为上帝 已经死了,我们必须为了人的更高形态,而不是为了上帝而奋斗。尼 采在基督教中发现了奴隶道德的现成例子,因为基督教消极地怀着来 世生活更好的希望。他还对奴隶道德做出了恭顺、怜悯之类的评价。 正是由于瓦格纳后来倾向于基督教,尼采才会抨击这位曾被自己视为 可敬的朋友的作曲家。除了提倡英雄崇拜以外,尼采还强烈地反对男 女平等,他鼓吹把妇女看做奴隶的东方习俗。我们发现,这正反映了 尼采本人无法妥当地与女性相处的事实。 尼采在这样的伦理学说中,对各种人和人的生活方式作了大量有 价值的考察。如果是为自身考虑,那么使用某种无情的手段还算情有 可原的,但为了少数人的利益,而对大多数人所忍受的苦难无动于 衷,这种观点却是缺乏说服力的。

    第十章 功利主义及其以后

     现在,我们必须回到一个世纪以前,谈论一下事情的另一个组成 部分。随着这个世界物质环境的急剧变化,唯心主义哲学及其批判也 得到了发展。源于18世纪英国的工业革命给世界带来了许多变化。首 先是机器的运用,这是一个渐进的过程。织布机的构造有了改进,纺 织品的产量也随之增加了。最关键的一步,是蒸汽机的完善,它为大 量涌现的工厂提供了驱动机器的无限动力。利用燃煤锅炉来产生蒸汽 是最有效的方式,因此煤矿开采业有了极大的发展,尽管常常在严酷 恶劣的环境下作业。从人道主义的立场来看,工业化的早期的确是一 个可怕又可憎的时代。 ◎ 蒸汽机的完善至关重要。 英国的圈地运动在18世纪达到了顶峰。数百年间,公地正逐渐被 贵族圈占,作为私用。对于那些在一定程度上靠公地收益过活的乡下 人来说,圈地运动给他们带来的是苦难。然而在18世纪以前,对他们 土地专有权的这种侵犯并没有导致大批乡下人背井离乡,流到城镇去 寻求新的活路,这些人逐渐被新工厂安置下来。这些低收入的被剥削 者居住在城市的贫民窟和郊区(19世纪大面积产业贫民窟的前身), 机器的发明首先引起了手工艺人的彷徨,他们感到自己的技术日益变 得多余。同样,机器性能的每一次改进,都容易受到产业工人的抵 制,因为他们害怕砸了自己的饭碗。即便是今天,他们也依然存在着 这种担心。就像19世纪的动力纺织机一样,电子机械的使用也使工会 忧心忡忡。不过,就这个问题来说,悲观主义者总是错的。世界上工 业国家的生活条件并没有下降,相反,财富和舒适程度在各个方面都 有了逐步增长。 但必须承认的是,早期的英国工业无产者的苦难是十分明显的。 造成一些严重罪恶的原因,部分是由于无知,因为人们从未遇到过这 些新问题。以手工业和农民产权为基础的旧自由主义,在处理工业社 会的新问题时显得缺乏灵活性。改革虽然迟到了,但最终还是纠正了 这些早期的过失。工业化发展得越晚的地方(如大陆国家),困扰工 业社会发展的一些麻烦就越少,因为到了那个时候,问题就更容易理 解了。 ◎ 早斯的纺织车间 到了19世纪早期,科学与技术之间相互影响的趋势开始明显起 来。当然,这种影响在某种程度上始终都是存在的。但自工业化时代 以来,科学原理系统地应用于技术设备的设计制造,还是引起了物质 的加速扩张。蒸汽机提供了新动力,而19世纪上半叶目睹了对相关原 理的全面科学研究,新的热动力学又反过来告诉工程师们如何制造出 效率更高的发动机。在这期间,蒸汽机开始在运输行业取代了所有其 他动力形式。在19世纪中叶的欧洲和北美,庞大的铁路网络正在形 成。同时,汽轮开始取代帆船,所有这些革新都极大地改变了人们的 生活和视野。从总体上看,人似乎是一种保守的动物。就发展速度而 言,人类的技术能力超过了自己的政治智慧,直到今天,我们也没有 从这种失衡中恢复过来。 工业生产的早期发展唤起了人们对经济问题的兴趣。近代政治经 济学作为一项研究,可以追溯到亚当·斯密(1723~1790)的作品 中。 ◎ 亚当·斯密 亚当·斯密是一位哲学教授,也是大卫·休谟的同乡。他的伦理 学著作继承了休谟传统,但总的说来不如自己的经济学著作重要。 1776年发表的论文《国富论》为他赢得了声誉。该书首次对在国家经 济生活中起作用的各种力量进行了研究尝试,特别引人注目的一个重 要问题是劳动分工。斯密比较详尽地揭示出:假如把某件商品的制作 过程细分为诸多环节,每一环节由一名专业化工人来负责,那么工业 产品的产量就会增加。他特别举出了制造别针的例子,而且他的结论 无疑是在实际考察的基础上得出的。从此以后,劳动分工的原则在工 业中得到了普遍的应用,其正确性也得到了充分的证明。当然,还必 须考虑人的因素。因为,如果专门化操作变得过于缺乏连贯性,那么 就会破坏人们对本职工作的兴趣,最终受损害的还是工人。这个在斯 密时代没有得到充分认识的难题,已经成了现代工业的主要问题之 一,它对那些操作机器的人产生了非人性化的影响。 政治经济学的研究在很长一段时间内都保持了英国特色。18世纪 法国的重农主义者虽然的确对经济问题产生过兴趣,但他们的影响不 如亚当·斯密的《国富论》,后者成了古典经济学的圣经。这方面的 第二个重大贡献就是李嘉图的劳动价值论,后来该理论为马克思所继 承。 在哲学方面,工业化的兴起导致人们在一定程度上开始重视功利 (主义),而功利正是浪漫主义者强烈反对的东西。但同时,和诗人 及唯心主义者所煽起的浪漫激情相比,这种显得有些乏味的哲学在社 会事务方面导致了更多的必要改革。它所寻求的变革是零碎而有序 的,它的目标根本不是革命。而更为情绪化的马克思学说却不是这 样,该学说以其独特的方式保留了大量的不妥协唯心主义(源于黑格 尔),其目标在于通过暴力,对现有秩序进行全面的改造。 有些人忽视了工业社会中至关重要的人的问题,这些人并没有体 会过工业无产阶级所遭受的侮辱。他们起初认为,这些不愉快的事实 也许是不幸的,但也是不可避免的。到了18世纪后期,当作家们开始 提出这类问题的时候,那种有些自以为是的、缺乏同情心的漠然观点 便被粉碎了。为了使这些事实得到社会的普遍关注,1848年的革命采 取了一些行动。虽然作为一项政治策略,革命者掀起的骚乱并不怎么 成功,但的确在某种程度上给人们留下了对于社会环境的忧虑。英国 的狄更斯和后来法国的左拉,都在作品中表现了这些问题,从而使人 们对事态有了更清醒的认识。 ◎ 杰勒密·边沁 根治一切社会弊病的良药之一,就是向人们提供适当的教育。在 这一点上,改革家们也许并不完全正确。仅仅教会每个人读写和计 算,这本身并不能解决社会问题,但同样错误的看法是,这些令人羡 慕的技能对于一个工业社会的良好运作是不可或缺的。从总体上说, 大量的专门化例行工作是可以让文盲来做的,而教育能够间接地有助 于解决某些问题,因为它有时可以使那些被迫忍受苦难的人找到改善 命运的办法。同时,非常明显的是,单纯的教育过程并不一定能产生 这样的结果,相反,它却可能使人们相信现有秩序是理所当然的,这 类灌输有时是非常有效的。但是,改革者们却正确地坚持了下述观 点:除非能够全面理解一些至关重要的情况,否则有些问题就不可能 得到正确的解决,而这就的确需要某种程度的教育。 亚当·斯密根据商品制造所提出的劳动分工理论,几乎达到哲学 探索的高度。可以说,这种探索在19世纪的发展中同样变得工业化 了。 那种使功利主义运动得名的伦理学说,追溯起来,尤其要提到哈 奇逊,他早在1725年就对该学说进行了阐释。简单地说,这种理论认 为善就是快乐,而恶则是痛苦,因此,我们所能达到的最佳状态,就 是快乐最大限度地抵消痛苦的状态。这一观点为边沁所采纳,并作为 功利主义逐渐广为人知。 杰勒密·边沁(1748~1832)最感兴趣的是法学,在这方面,他 主要是从爱尔维修和贝卡利亚那里得到了启发。边沁认为,在研究如 何通过合法的方式来促进最佳事态时,伦理学主要是发挥一种基础的 作用。他还是一群所谓“哲学激进分子”的领袖,这群人十分关注社 会改革与教育,普遍反对教会权威和社会统治阶层的特权。边沁是一 位性情孤独而谦和的人,起初,他的激进观点并不是很明显,但到了 晚年,他虽然不大抛头露面,却成了一位锋芒毕露的无神论者。他很 关注教育,和自己圈子里的激进派一样,他也对教育的包治百病抱有 很大的信心。值得一提的是,边沁时代的英国只有两所大学,而且只 有宣称自己信奉国教的人才能入学。直到19世纪后半叶,这个不正常 的现象才得到纠正。边沁希望帮助那些无法满足现行体制苛刻条件的 人们,向他们提供接受大学教育的机会。1825年,他和别的团体一起 协助创办了伦敦大学院。学院不对学生进行宗教审查,也不搞礼拜仪 式,这时的边沁已经与宗教彻底决裂了。临终前,边沁要求将自己的 遗体做成蜡像,并穿戴整齐,保存在学院里。该展品摆放在学院的陈 列柜中,以此来永久纪念学院的创始人之一——边沁。本书中的这幅 照片就摄自这一展品。 ◎ 边沁的圆形监狱计划设计图 追溯起来,边沁哲学的基础是18世纪早期的两个主导理念。其一 就是哈特里早就强调过的联想原则,该原则最初源于休谟的因果论, 休谟通过理念的联想来解释因果依存的概念。哈特里和后来的边沁都 把联想原则当做心理学的基本原理。边沁提出了自己惟一的原则,这 一原则根据经验提供的素材发挥作用,并以此取代了关于心灵及其运 作概念的传统方法。这就使他可以确定地解释心理学,而完全不必涉 及心灵概念。事实上,这些概念早就被“奥卡姆剃刀”剃掉了。巴甫 洛夫后来提出的条件反射理论,正是建立在联想主义心理学的相同观 点之上的。第二个原则是“最大快乐”的功利主义格言(前文提到 过)。这一原则与心理学有关,因为在边沁看来,人们尽力所做的就 是去获得自己最大的幸福。幸福在这里的含义也就是快乐。而法律的 作用就是保证在追求自身最大快乐的时候,任何人都不得妨碍他人同 样的追求。只有通过这种方式,才能使尽可能多的人获得最大的快 乐。 尽管仍然有不同意见存在,但这却是各类功利主义的共同目标。 我们完全可以这样说,这样的目标听起来有些缺乏创意,而且自以为 是,但它背后的意图却远不止这些。作为一种致力于改革的运动,功 利主义所取得的成就显然要超过一切唯心主义哲学的总和,而且这些 成就是在没有引起什么混乱的情况下取得的。同时,多数人的最大幸 福原则还有另一种解释。在自由主义经济学家那里,它变成了“自由 主义”和自由贸易的一个正当理由。因为它假设在既定的法律制度 下,如果每个人都自由地追求自身的最大快乐,那么就会产生社会的 最大快乐。但是,自由主义者在这方面过于乐观了。也许有人会认 为,按照苏格拉底的观点,如果人们不厌其烦地告诫自己和估量自己 行为的后果,那么一般说来他们会明白,损害社会最终将损害自己。 问题是人们并不总是谨慎地考虑这些,反而经常凭一时的冲动和无知 采取行动。所以在我们这个时代,自由放任的学说已经逐渐为一些防 范措施所限制。法律就被看做这样的机制,它保证每个人都能够追求 自己的目标,但又不妨碍他人。因此,法律制裁的目的并不是为了报 复,而是为了防止犯罪。重要的是,一些侵犯行为虽然应该受到惩 罚,但不应该是野蛮的酷刑(实际上,当时的英国正有这样的倾 向)。边沁反对不加区别地实施死刑,在当时,罪过很轻微的人也会 被随意处死。 功利主义伦理学推导出了两个重要结论。第一个推论是这样的: 很明显,在某些方面,所有的人都对幸福有着同样强烈的要求,因此 他们也应该享有同等的权利和机会。在当时,这一观点是比较新颖 的,它成了激进派改革方案的一个核心原则。另一个推论则指出,最 大的快乐(或幸福)只有在稳定的状况下才能获得,所以,平等和安 全就成了最首要的考虑。而自由,边沁认为这不是太重要。在他眼 里,自由就像人的权利一样,似乎带有一些形而上学和浪漫主义的色 彩。 边沁在政治上赞同仁慈的专制,而不是民主。这就顺便给他的功 利主义带来了一个难题,因为显然没有什么机制可以保证立法者采取 仁政。他自己的心理学理论也要求立法者总是在全面知识的基础之 上,富于远见地行事。然而,这种设想并不完全正确。作为一个实际 的政治问题,这种困难不可能得到彻底的解决,人们最多可以设法做 到不让立法者在任何时候都过于放任。 在社会批判方面,边沁的观点与18世纪的唯物主义是一致的,它 的许多预见后来都被马克思保留了下来。边沁认为,有关奉献的现有 道德不过是统治者为了维护自身既得利益而采取的一种欺骗手段。它 期望别人做出牺牲,自己却一毛不拔,边沁的功利主义原则就是针对 这种情形提出来的。 ◎ 约翰·斯图亚特·穆勒 尽管边沁生前始终是激进派的精神领袖,但这一运动的幕后驱动 者却是詹姆士·穆勒(1773~1836)。穆勒持有与边沁同样的功利主 义伦理观,同样蔑视浪漫主义。在政治问题上,他认为人们可以做到 以辩论来说服对方,并且养成在行动之前进行理性分析的习惯。相应 的,他还过分地相信教育的功能。这些先入之见的实施对象首先就是 他的儿子约翰·斯图亚特·穆勒(1806~1873)。穆勒承受了父亲无 情地灌输给他的教育学说。“我从来没有做过一个孩子,”他在晚年 抱怨说,“我从来没有玩过蟋蟀。”相反,他3岁就开始学习希腊文, 而后所学的一切都与当时的年纪不相称,这使他显得很老成。在他21 岁前,这种可怕的经历很自然地使他精神崩溃了。 虽然穆勒后来很关注1830年的议会改革运动,但他并不热衷于谋 取领袖职务,这一职位曾先后属于边沁和老穆勒。从1865年到1868 年,穆勒是下议院中的威斯敏斯特代表,他继续强烈要求进行普选, 并追随边沁,走上了普遍自由主义和反帝国主义的研究之路。 穆勒在哲学方面的观点几乎完全是派生的,《逻辑学》(1843) 可能是最能牢固树立其声誉的书。他对归纳法的讨论在当时算是比较 新颖的观点。归纳法受到一套原则的支配,它使人想起休谟的某些因 果关系法则。归纳逻辑中一个争论不休的问题就是如何证明归纳论证 的正确性。穆勒提出了如下见解:归纳论证的依据就是我们所观察到 的自然恒定性,而自然恒定性本身就是一种最高级的归纳。这样一 来,论证自然就成了循环论证,但穆勒似乎并不为此担心。然而,这 里还牵涉到了一个更普遍的问题,它至今仍使逻辑学家们头疼。大体 上说,困难就在于:不知为什么,人们总觉得归纳法毕竟不那么受推 崇,尽管它本该如此,因此,它必须得到证明;不过,这样一来似乎 就会不自觉地陷入困境,但人们有时候并没有意识到这一点。因为证 明本身就是一个演绎逻辑的问题,如果归纳法本身还需要得到证明的 话,那么它就不可能是归纳的。而演绎法本身,却没有人觉得非证明 它不可,自古以来,它就是极受推崇的。也许惟一的办法就是让归纳 法自成一派,不与演绎法辩护发生联系。 穆勒对功利主义伦理学的解释见于《功利主义》(1863)一书。 该书几乎没有在任何地方超越边沁。和伊壁鸠鲁(也许可算第一位功 利主义者)一样,穆勒最后也愿意承认某些快乐高于别的快乐,但事 实上,他并没有成功地解释,与只有数量差异的快乐相比,质量更高 的快乐意味着什么。但这并不奇怪,因为最大快乐的原则和对快乐的 计算,隐含着对质量的排斥和对数量的赞同。 穆勒试图提出一项论证,来支持“人们追求的实际上就是快乐” 这一功利主义原则,然而,他犯了一个严重的错误。“只有当人们事 实上看见了某个物体,它的可见性才能被证明;只有当人们听到了某 个声音,它的可闻性才能被证明。经验的其他来源全都是这样。按照 类似的方式,我可以这样理解,只有人们实际上有过要求后,才能证 明什么东西是符合需要的。”不过这是利用了词语相似性的一种诡 辩,它隐藏了逻辑上的差异。如果某物能够被看见,我们就说它是看 得见的。拿“符合需要的”为例,它的含义是模棱两可的。当我说某 物是符合需要的,可能只是指事实上我的确需要它。当我对别人这样 说时,当然会假定他和我一样喜欢或不喜欢。在这个意义上,说符合 需要的东西就是人们想要的东西,这是没有意义的。不过当我们说什 么东西是符合需要的,其中还有另一个含义。比如,我们说诚实是符 合需要的,这实际上是说我们应该诚实,它是人们所作的一种伦理学 表述。因此,穆勒的论证肯定是错误的,因为“可以看见的”和“符 合需要的”两者的类推是粗浅的。休谟早就指出过,我们不可能从 “是”中演绎出“应该”来。 不管怎么说,要举出证明这一原则无效的直接反证并不难。快乐 定义为想要的东西,是毫无意义的;另外,说我想要的东西就是快 乐,按常理也是错误的,尽管一种愿望的满足的确能给我带来快乐。 在另外一些情形下,除了我有该愿望这个事实之外,我想要的东西与 自己的生活并没有直接关系。例如,人们可能希望某匹赛马获胜,但 实际上自己并没有下赌注。因此,功利主义原则很容易招来大量的异 议。但是功利主义伦理学仍旧是有效的社会行动的源泉,因为,伦理 学说宣称善就是大多数人的最大快乐。这种观点可能被用到别处去, 而没有考虑到人们是否真的一直按照有利于这种普遍快乐的方式来行 动,那么,法律的作用就是保证最大的快乐得以实现。同样,建立在 这个基础之上的改革目标,与其说是为了实现理想的制度,不如说是 为了建立可行的制度,以便真正赋予公民某种程度的幸福,这是一种 民主的理论。 ◎ 马尔萨斯 穆勒有一点与边沁完全相反,即他是自由的热情捍卫者。在著名 的《论自由》(1859)一书中,他对这个问题给出了最好的说明。这 本书由他和哈丽特·泰勒共同写成,泰勒在前夫去世后,于1851年改 嫁给了穆勒。在这篇论文中,穆勒为思想和言论的自由作了强有力的 辩护,并建议限制国家干预公民生活的权力。他尤其反对基督教宣称 自己是诸善之源。 18世纪末,预防接种降低了死亡率,随之而来的就是人口的急剧 增长,这个问题开始引起了人们的注意。马尔萨斯(1766~1834)对 人口问题进行了研究。他是一位经济学家,也是激进派的朋友,此 外,他还是一名圣公会传教士。马尔萨斯在著名的《人口论》中提出 了“人口增长远远快于粮食供应”的理论。人口按几何级数增长,而 粮食供应却只按算术比例增长,所以,人口增长必须得到限制,否则 就会出现大规模的饥荒。在如何控制的问题上,马尔萨斯采纳了传统 的基督教观点。人们必须通过接受教育,学会“克制”,从而保持人 口的低增长率。马尔萨斯本人结了婚,他身体力行地贯彻了这一理 论,而且比较成功,他四年只生了三个孩子。尽管有这样的成就,但 现在看来,马尔萨斯的理论也并不像他所期望的那样有效。在这些问 题上,孔多塞的观点似乎更合理些。马尔萨斯主张“克制”,而孔多 塞却提出了现代意义上的“节育”。对于这一点,马尔萨斯从来没有 原谅过孔多塞,因为在他坚定的道德观念中,这类方法是罪恶的,他 认为人工节育并不比卖淫好多少。 起初,激进派对这个普遍性问题意见不一。边沁曾一度支持马尔 萨斯,而穆勒则倾向于支持孔多塞的观点。穆勒18岁时,曾一度被捕 入狱,因为他在某个工人阶级贫民窟散发“节育”小册子。因此他始 终对普遍性的自由问题极为关注,也就不奇怪了。 《人口论》对于政治经济学来说,是一个非常重要的贡献,它所 提出的某些基本概念后来在其他领域也得到了发展。尤其是达尔文 (1809~1882)由此演绎出了“物竞天择”原则和“生存竞争”概 念。《物种起源》(1859)一书论述了有机体按照几何级数增长,随 之而来的就是相互间的斗争。达尔文说: “具有多种作用的马尔萨斯 学说适用于动植物王国,因为在这种情形况下,既没有人为的粮食增 长,也不会在生育上保持谨慎的克制。”在为了有限的生存条件而进 行的自由竞争中,最能适应环境的有机体将取得胜利,这就是达尔文 的“适者生存”学说。从某种意义上看,这只是边沁“自由竞争”概 念的延伸,但是在社会领域中,这种竞争必须遵循某些规则,而达尔 文的“自然界竞争”并不知道有什么约束。用政治术语来说,“适者 生存”的观点激发了20世纪独裁者们的某些政治思想。达尔文本人大 概不会鼓励对其理论进行这样的扩展,因为他自己就是一名自由主义 者,同情激进派及其改革方案。 ◎ 达尔文 达尔文工作的另一部分,也是首创性较少的一部分,就是进化 论。我们知道,这种思想要追溯到阿那克西曼德。达尔文所做的,就 是在坚持不懈地观察自然的基础上,提供了大量事实的细节说明。世 人对他的进化论证褒贬不一,但和杰出的米利都学派来相比,他肯定 获得了更好的评价。而且,达尔文理论首次把进化论假说引入了更广 泛的公开讨论之中。由于它根据“物竞天择”的原则,用某种普遍的 原始有机体来解释物种的起源,因而与现行宗教所坚持的创世纪观点 是对立的,这就使得达尔文主义者与所有的正统基督教徒都发生了尖 锐的冲突。 伟大的生物学家T.H.赫胥黎是达尔文主义的一个主要辩护者。自 他以后,这些争端就逐渐平息了下来。然而在争执的白热化阶段, “人和高级类人猿是否有着共同的祖先”这个问题却能够极大地伤害 人们的感情。而我倒认为,这种说法是对类人猿的冒犯。不管怎么 说,今天已经没什么人为此感到别扭了。 ◎ 李嘉图 以激进派为起点的另一条发展路线直接通向了社会主义和马克 思。李嘉图(1772~1823)是边沁和詹姆士·穆勒的朋友,1817年, 他发表了《政治经济学与赋税原理》一书。在论文中,李嘉图提出了 完善的地租理论及劳动价值论。前者不为人所重视,而后者认为商品 的交换价值完全取决于生产者所消耗的劳动量,这就导致了1825年托 马斯·霍吉斯金提出,劳动者有权从其创造的价值中获得利益,如果 资本家或地主收走了地租,这就和抢劫没有什么区别了。 与此同时,罗伯特·欧文也在为工人的事业奔走呼吁。他早就把 一些处理劳工问题的新原则引进到了自己的新拉纳克纺织厂。他满怀 着高尚的伦理观念,宣称当时普遍剥削工人的非人道做法是错误的。 他通过实践表明,即使付给工人们公平的薪水,而且不用加班加点, 经营一个企业也照样能够盈利。在欧文的推动下,第一部《工厂法》 出台了,尽管它的条款远没有达到他所期望的目标。1827年,欧文的 追随者们首次被称为社会主义者。激进派当然不会喜欢欧文的学说, 因为它似乎想推翻公认的财产概念,而自由主义者更倾向于认可自由 竞争及可能获得的意外横财。欧文领导的运动产生了合作制,而且促 进了早期的工会概念。但是由于缺乏相应的社会哲学,这些早期的发 展并不顺利。欧文首先是一位实践者,他对自己的主导思想怀有炽热 的信念。 为社会主义提供哲学依据的工作是由马克思来做的。在这方面, 马克思以李嘉图的劳动价值论为基础,建立了自己的经济学。他把黑 格尔的辩证法看做哲学讨论的一种工具。这样一来,功利主义就成了 马克思理论的基础,最终的结果证明,这一理论更具影响力。 ◎ 卡尔·马克思 摩泽尔河畔的特里尔城是一个诞生圣人的地方,因为它不仅是安 布洛斯的故乡,而且也是卡尔·马克思(1818~1883)出生的地方。 就圣人资格而论,马克思无疑更胜一筹。马克思出身于一个皈依了新 教的犹太家庭。在大学时代,他受到了当时正盛行的黑格尔主义的强 烈影响。当1843年普鲁士当局查禁《莱茵报》时,他的记者生涯就突 然结束了。接下来,马克思去了法国,并结识了法国的社会主义领袖 人物。他在巴黎遇见了弗里德里希·恩格斯,恩格斯的父亲在德国和 曼彻斯特都拥有工厂。由于曼彻斯特的工厂由恩格斯来管理,因此他 能够向马克思介绍英国的劳工问题和工业问题。在1848年革命前夕, 马克思发表了《共产党宣言》。他满怀热情地投入到法国和德国的革 命中去。1849年,他遭到了普鲁士政府的驱逐,于是就到伦敦避难。 除了几次短暂的回国之外,他一直住在伦敦,直到去世。基本上是由 于恩格斯的资助,马克思及其家人才得以生存下来。尽管生活贫困, 但马克思仍然充满热情地研究和写作,为他感到即将到来的社会革命 铺平道路。 马克思思想的形成主要受了三方面的影响。首先是他和“哲学激 进派”的联系。和后者一样,马克思也反对浪漫主义,而探索一种所 谓的科学社会理论。他从李嘉图那里采纳了劳动价值论,尽管做出了 不同的解释。李嘉图和马尔萨斯从一个假设中论证出,现有的社会秩 序是不可更该的,由于自由竞争使工人的工资保持在维持生存的水平 上,因而人口的数量就可以得到控制。而马克思却采取了工人的立 场,认为一个人创造了超出其酬劳的价值,资本家为了自身利益,将 这种剩余价值全部搜刮走,资本家正是通过这种方式剥削了劳工。然 而,这实际上并不是一个私人的问题,因为,这种剥削需要同时有大 量的人力和设备来完成工业规模的商品生产,所以,我们应该按照系 统化生产以及工人阶级与资本家的整体关系来理解剥削。 这样,我们就看到了马克思思想的第二个特征,即黑格尔主义倾 向。和黑格尔一样,马克思也认为重要的是整个制度,而不是个人。 必须解决的是经济制度问题,而不是孤立的抱怨。尤其是在这方面, 马克思与激进派的自由主义及其改革截然不同。马克思学说和以黑格 尔派为主的哲学理论有着紧密的联系。这也许就是马克思主义从来没 有在英国真正盛行的原因,因为总的说来,英国人的哲学修养不是很 高。 马克思的“社会发展的历史观”也源自黑格尔。这种进化论观点 与马克思全盘接受的黑格尔辩证法有关。历史进程按照辩证的方式向 前发展,马克思的解释方法完全是黑格尔式的,尽管两个人所设想的 推动力并不一样。黑格尔认为历史进程就是以“绝对理念”为奋斗目 标,循序渐进的一种精神上的自我实现。马克思则以生产方式取代了 精神,以无阶级社会取代了“绝对理念”。随着时间的流逝,一种既 定的生产体系将会在各个相关阶级中导致内部的紧张,这些矛盾将逐 渐产生某种更高级的合成。辩证斗争采用的形式是阶级斗争,在社会 主义制度下,斗争仍会继续进行,直到出现一个无阶级的社会为止。 这个目标一旦实现,斗争对象就消失了,辩证过程也就可以结束了。 在黑格尔眼里,人间天堂是普鲁士国家;而马克思却认为是没有阶级 的社会。 马克思和黑格尔都认为历史的发展是无法避免的,而且这一结论 都是从某个形而上学理论中推导出来的。对黑格尔的批判同样适合马 克思。马克思敏锐地评价了一些真实的历史事件,就这一点而言,这 些历史事件并不需要一套逻辑来宣称自己是被推导出来的。尽管马克 思的解释方法是黑格尔式的,但它抛弃了黑格尔坚持世界的精神本质 的看法。马克思认为,必须把黑格尔颠倒过来,于是他进一步吸纳了 18世纪的唯物主义学说。马克思哲学的第三大组成部分正是唯物主 义。在这里,马克思同样对旧理论作了新解释。他从经济的角度解释 了历史,其中就有唯物主义因素。 另外,我们还发现马克思哲学中的唯物主义并不属于机械论,他 所主张的是一种可以追溯到维科的能动性学说。在《关于费尔巴哈的 提纲》(1845)一书中,他以一句著名的格言表述了这一观点: “哲 学家们只是以不同的方式解释了世界,而问题在于改变世界。”从这 个意义上,他提出了一个很容易使人想到维科公式的“真理”概念, 并预见了某种形式的实用主义。在他眼里,真理不是一个思辨的问 题,而必须得到实践的证明。思辨的态度让人联想到资产阶级的个人 主义,而马克思是蔑视后者的,他的实践唯物主义属于社会主义的无 阶级世界。 唯物主义这种能动性学说,已经由普遍的唯心主义学派,尤其是 黑格尔主义发展起来。由于没有各种机械论学说参与到这种发展中 来,唯心主义就得以确立起这方面的理论,尽管要使它发挥自己的作 用,必须先把它颠倒过来理解。维科对马克思的影响可能并不是有意 识的,尽管后者肯定知道他的新科学。马克思称自己的新理论为辩证 唯物主义,因此同时强调了其中的进化论因素和黑格尔因素。 我们由此可以看出,马克思学说是一种高级学说。辩证唯物主义 的支持者声称该哲学体系涵盖了一切范围,这曾导致了大量与黑格尔 同样的哲学思辨,实际上,这类问题最好还是留给科学的经验探索。 这方面最典型的例子,是恩格斯在《反杜林论》中对德国哲学家杜林 的批判。然而用量变引起质变、矛盾、否定和反否定,以及针对水为 什么会沸腾而作的详尽辩证解释,丝毫也不比黑格尔的自然哲学更令 人信服。实际上,给传统科学贴上追求资产阶级理想的标签,是说不 过去的。 ◎ 弗里德里希·恩格斯 马克思坚持认为,在一定程度上,一个社会的普遍科学兴趣能够 反映统治集团的社会兴趣。这很可能是对的,因此人们也许以为,文 艺复兴时期天文学的复苏促进了贸易的发展,增强了新兴中产阶级的 力量,尽管人们可以说,不能随便用其中一个来解释另一个。然而这 一学说有两个重要的缺陷:首先,在某个科学领域中,个别问题的解 决显然没有必要与所有的社会压力都扯上关系。当然,也不能否认, 有时候解决某个问题是为了满足当时的急需。不过通常情况下,科学 问题并不以这种方式来解决。这样,就引出了辩证唯物主义解释的第 二个缺陷,即没有承认科学运动是一种独立的力量。同样,没有人否 认科学探索和社会上其他的事情有着重要的联系。而随着时间的流 逝,科学探索已经积累了一定的力量,以保证自己享有某种程度的独 立。一切形式的探索都是如此。所以,尽管辩证唯物主义指出了有价 值的东西:经济影响具有塑造社会生活的重要功能,但在运用这一重 要概念时,却容易将事物简单化,错误也就随之出现了。 这种情形在社会领域也引出了一些奇怪的推论。如果你不赞同马 克思学说,那么别人就不认为你持有进步的立场;对于那些还没有接 受新启示的人,留给他们的称号就是“反动派”。从字面上来推断, 这就是说你在与进步背道而驰,辩证的过程将确保你会在适当时候被 消灭,因为进步最终总会赢得胜利。因此,这就成了以暴力来消除异 己的基本原理。在这里,马克思主义政治哲学有一种强烈的救世主特 征。正如某种早期教义的创立者所说的那样,不赞成我们的人就是在 反对我们,这显然不符合民主学说的原则。这一切都证明了马克思不 仅是一位政治理论家,而且是一位鼓动能手和革命小册子撰稿人。 马克思的作品常常带有义愤和道德上的正义色彩,如果辩证法必 然会走向自己不可避免的道路,那么这种文风似乎是不合逻辑的。正 如列宁后来指出的那样,如果国家正在走向灭亡,那么就没有必要事 先大惊小怪。但是这个遥远的历史目标(尽管在思辨中可能让人叹 服),却没有给那些时刻在受苦的人带来多少安慰。因此,任何能够 实现的信念都是值得尊重的,尽管它与宣扬暴力推翻现有秩序的历史 辩证进化论并不完全一致。事实上,这一理论似乎主要反映了19世纪 工人阶级绝望的困境。它是马克思用自己的经济观阐释历史的最佳范 例,它强调,各个时代是根据其主导经济秩序来提出各种观点的。这 种学说至少在一个方面危险地接近了实用主义,因为它看上去似乎正 在废除真理,转而赞同以经济条件决定一切的偏见。如果现在我们对 这种理论本身提出同样的问题,那么我们不得不说,它也只是反映了 某个特定时期的某些社会条件罢了。然而在这里,马克思主义为了维 护自己而含蓄地破了例,它认为按照辩证唯物主义模式,对历史做出 经济性解释是正确的。 马克思在其预示历史的辩证进化方面,并不是完全成功的。的 确,他比较准确地预见了自由竞争制度终将导致垄断的形成,这一点 确实能从传统的经济理论中分辨出来。但马克思错误地设想富人将越 来越富,穷人将越来越穷,直到这种“矛盾”强烈到诱发革命的地 步。然而事实完全不是这样。相反,世界上的工业国家通过限制经济 领域的行动自由以及提出社会福利方案,制定了缓和明显经济冲突的 调整办法。革命的真正爆发并不像马克思预言的那样,发生在工业化 的西欧,而是发生在农业社会的俄国。 马克思哲学是19世纪最后的伟大体系。大体上说,它的巨大号召 力和广泛影响不仅由于其乌托邦预言的宗教特性,而且由于其行动纲 领的革命性。它的哲学背景,正如我们曾经揭示的那样,既不是那么 简单,也不像人们常常以为的那样新颖。对历史的经济性解释只是众 多一般历史论中的一种,说到底,这些理论都派生于黑格尔学说。尤 其是马克思主义的矛盾学说直接借用了黑格尔理论,因而很容易遇到 同样的难题。从政治上看,在我们这个时代,该学说提出的问题也同 样具有某些重要性。今天,绝对相信马克思理论的国家几乎控制了半 个世界。如果要使各国共同存在下去,那么就必须在理论信仰上有某 种缓和。 ◎ 奥古斯特·孔德 法国的奥古斯特·孔德(1798~1857),是百科全书派哲学运动 的一位继承者。和哲学激进派一样,他也尊重科学,反对现有宗教。 他还试图从数学到社会学,对一切科学进行全面分类。他和同时代的 英国人一样,也反对形而上学(尽管他们根本不了解德国的唯心主 义)。因为他坚持认为,我们必须从直接来自经验的东西开始进行探 索,而且要克制自己,不要试图深入到现象背后,他称他的学说为实 证哲学。实证主义正是由此而得名。 孔德出生在古老的大学城蒙彼利埃,他的家庭十分受人尊敬,世 代都是政府官员。他的父亲是一位专制主义者和严格的天主教徒,但 孔德成年后很快就摆脱了父辈狭隘的视野。他在巴黎工艺大学求学 时,因参加了反对某个教授的学生运动而被开除。后来这件事还妨碍 了他获得大学的聘任。他26岁时发表了第一卷实证主义概论,从1830 年起,《实证主义教程》六卷本相继问世。在最后的十年里,孔德花 费了大量的时间来精心阐释某种实证宗教,以取代现有的宗教教义。 这种新信条承认至高的是人性,而不是上帝。孔德的身体始终比较虚 弱,而且精神抑郁症几乎使他自杀。他靠当私人导师来维持生活,也 靠朋友和追随者的馈赠来贴补家用,J.S.穆勒就是他的一位资助者。 然而孔德似乎对那些未能始终承认他是天才的人有些不耐烦,因而最 终导致他和穆勒的关系疏远了。 孔德的哲学与维科的哲学很相似,他曾经研读过维科的著作。他 从维科的理论中推导出了历史在人的事务中居于首位的概念,同样, 这一源头还提供了人类社会历史发展的不同阶段的概念。维科本人早 就从希腊神话的研究中演绎出了这一观点。孔德采纳了以下观点:社 会开始于最初的神学阶段,并经过了形而上学的阶段,最终达到了他 所谓的实证阶段,这一阶段将把历史进程引向合理的幸福结局。在这 方面,维科是一位更为现实的思想家,他认识到社会确实能够从精致 而文明的时代重新堕入新的野蛮状态,罗马世界的崩溃导致了“黑暗 时代”就是一例。也许我们的时代也是如此。孔德认为实证阶段受理 性科学的支配,这就是他著名的发展三阶段论。曾经有人指出,这种 理论有点模仿黑格尔,但这种类似性是表面上的,因为孔德并没有用 辩证法术语来论述一个阶段到下一个阶段的发展,事实上,这三个阶 段纯粹是偶然的。孔德和黑格尔的共同点在于,他们都持有历史进程 终将获得完满的乐观看法。正如我们知道的那样,马克思也持有类似 观点,这是19世纪乐观主义的一个普遍征兆。 实证主义理论认为,一切科学领域都经历了三个阶段的进化。数 学是惟一已经彻底清除了所有障碍的科学,而物理学则仍然充满了形 而上学概念,尽管我们希望它离实证阶段不要太远。下面我们将看 到,马赫是怎样在孔德之后的五十年里对力学进行实证说明的。孔德 试图做的工作首先是以一种全面的逻辑顺序来排列所有的科研领域, 他在这一工作中的表现证明了他是百科全书派的真正传人。当然,这 样的顺序观念是极为古老的,最早可以追溯到亚里士多德。等级序列 中的每一门科学都有助于解释排在它后面的科学,却无助于解释排在 前面的科学。通过这种方式可以得出孔德的一览表:首先是数学,随 后是天文学、物理学、化学、生物学和社会学。 排在最后的社会学是最重要的科学。休谟曾称它为“人的科 学”,孔德专门创造了社会学一词。按他的观点,这门科学还有待建 立,因此他自认为是它的创始人。从逻辑上看,社会学是等级序列中 最后的和最复杂的研究对象,然而事实上,所有的人对社会环境的了 解,却超过了对纯粹数学公理的了解。这就揭示了历史首要性(见维 科著作)的另一面,因为历史的进程就是人的社会存在。社会存在的 实证阶段激发了孔德的想像力,它具有一切乌托邦思想体系的共同缺 陷。 ◎ 逻辑顺序认识论顺序相反 孔德的思想中存在着明显的唯心主义因素,尽管我们不很清楚他 是如何受到这种影响的。在每一个发展阶段的内部,都存在着某种逐 渐统一的趋势,该趋势贯穿了发展的三个阶段。因此,在神学阶段, 我们可以从泛灵论出发,这一理论把神的地位赋予原始人觉察到的一 切物体。接着我们由此进入多神论和一神论。事物总是趋向于更大的 统一,在科学上,这就意味着我们力求把各种现象归入某个单一的标 题之下;而在社会上,我们的目标则是摆脱个人,趋向全人类。这一 点确实具有某种黑格尔意味。实证的人类将由科学精英的道德权威来 主宰,而执行的权力则委托给技术专家。这种安排和柏拉图的理想国 并没有什么区别。 在伦理学上,这一体系要求个人抑制自己的欲望,全身心投入到 人类的进步事业中去。对“事业”的强调和对私利的排斥,也是马克 思主义政治理论的特点。可以预料,实证主义并不承认某种内省心理 学的存在。之所以要明确地否认,是因为有人说认知的过程不可能认 知其自身。这种说法暗示了在某种认知情况下,认知者一般无法认知 到自身的认知。就这一点而论,我们可以说它是合理的。不过,实证 主义把普遍假设当作形而上学的内容统统排除,是对解释本质的一种 曲解。 C.S.皮尔斯(1839~1914)提出了与实证主义完全不同的看法。 孔德早已把假设当做形而上学的内容抛弃掉了,而皮尔斯却正相反, 他坚持认为,提出假设是一项具有自身逻辑性的重要活动。皮尔斯的 著作既多又零碎,另外,他还常常与难题和新见解较劲,因此不大容 易搞清楚他的立场。但是,皮尔斯无疑是19世纪后期最具独创性的思 想家之一,而且肯定是迄今为止最伟大的美国思想家。 皮尔斯生于马萨诸塞州的坎布里奇。其父是哈佛大学的数学教 授,皮尔斯自己也曾是哈佛的一名学生。除了两次短期授课(几年时 间)外,皮尔斯从未获得过长期的学术聘任。他在大地测量局担任行 政职务时,除了科学著作,他还源源不断地创作了有关广泛的哲学话 题的文章。他之所以未能获得教授一职,多少与他无视所处社会的行 为标准有关。而且,除了一些朋友和学者,几乎没有人承认他是天 才,没有人真正地理解他。完全是靠了一种使命感的驱使,才使他能 够忍受这种被埋没的境遇。在生命的最后二十五年里,他虽然贫病交 加,却仍然勤奋工作,直到去世。 通常,人们把皮尔斯看做实用主义的创始人,不过这种看法还有 待加以严格的限定。当代实用主义并非源于皮尔斯,而是源于威廉· 詹姆士对皮尔斯学说所作的阐释。之所以会有这样的混淆,是由于多 方面的原因。首先,皮尔斯自己的观点在晚期的作品中才变得明晰起 来,而詹姆士则从更容易产生歧义的早期论述中得出自己的结论。皮 尔斯曾试图否认詹姆士送给他的实用主义称号(pragmatism),因而 把自己的哲学叫做“务实主义(pragmaticism)”,希望这个粗糙的 新词能使人们注意到两者的区别。 从表面上看,皮尔斯早期的一些著作在论述实用主义时所采取的 形式,确实为詹姆士的推论提供了依据。出于定义真理的需要,皮尔 斯普遍地讨论了探索的动机。探索产生于某种不满或不安,据说其目 的就是要去除各种烦恼,达到一种安宁状态。人们在心情平静的任何 时候所接受的观点,都是他尽可能认知的真理。但是人们永远也不可 能明白,新的证据也许并不要求他改变自己的立场。我们不能保证自 己从来没有犯过一次错误,皮尔斯把这种普遍的探索理论称为“错误 难免论”。相应的,他还认为,真理归根结底是一种使社会安定的见 解。就它的表面含义而言,这当然是一种谬论,因为就算我们都去相 信2+2=5,相信地球马上就会毁灭,我们以前的算术偏差也仍然是一 种错误。也许真有这种情况:如果我所有的邻居都认为这是真的,那 么我的言行也许会更谨慎一些,至少假装同意他们的看法,但那完全 是另一回事。所以,皮尔斯的论述必须放在“错误难免论”的背景中 去理解。 关于一切特殊真理的意义,皮尔斯坚持认为任何一个号称正确的 陈述,都必须具有实际结果,也就是说必须允许出现某个未来行动的 可能性,以及在任何特定的情况下形成某种能够相应行动的倾向。据 称一项陈述的意义就在这些实际结果之中,詹姆士正是按照这种形式 采纳了实用主义。但必须记住,皮尔斯的观点在很大程度上是与维科 “真理即事实”的公式一脉相承的,真理就是你能够按自己的陈述去 做的东西。例如,如果我针对某个化学物质作了陈述,那么该物质的 经得起实验和审查的一切属性,就增加了这一陈述的重要性。大体上 看,这似乎就是皮尔斯的意思。詹姆士从这些理论中挑出来的实用主 义,使我们想起了普罗泰戈拉的命题“人是万物的量度”。而与此形 成反差的皮尔斯的意图,却在维科的理论中得到了更好的表述。 皮尔斯在假设的逻辑讨论方面,做出了基础性的贡献。关于假 设,哲学家们曾经提出过各种各样的说法,如理性主义者可能认为假 设是演绎的结果,经验主义者则认为假设是归纳的结果。皮尔斯发现 这些观点没有一个是充分恰当的,他说,假设是完全不同的第三方逻 辑过程的结果。皮尔斯把这种逻辑过程称为“臆设法”,它相当于试 验性地采纳某种假设,因为它解释了某种特殊现象。当然,解释现象 是进行演绎,而不是接受假设。 和他的父亲一样,皮尔斯也是一位成就卓著的数学家。他在符号 逻辑领域有许多重大发现。除了其他发明,他还发明了用于确定复合 公式“真理价值”的“真理表”方法,这一方法后来经常被逻辑学家 们使用。另外,一种新的关系逻辑也要归功于他。皮尔斯还非常重视 用图解来论证自己的体系,但是论证程序的规则过于复杂,其思想似 乎也没有被普遍接受。皮尔斯的实用主义观点使他强调了数学论证的 一个有趣的方面,但这个方面却从未得到应有的重视。他坚持建立数 学证明的重要性。后来这些观点又在哥勃洛和迈耶松的作品中出现 了。 皮尔斯不仅熟知数学和当时科学的发展,而且对科学史和哲学史 有着全面的了解。正因为有了这种广博的视野,他才能看到科学中蕴 含了某种实在主义的形而上学基础。因此,他的形而上学明显地倾向 于邓斯·司各特的经院实在主义,他也确实主张实用主义与经院实在 主义联手发展。无论这是不是事实,它都表明皮尔斯的实用主义与詹 姆士的实用主义基本上没有联系。 ◎ 皮尔斯的图解序列 皮尔斯在自己的时代一直默默无闻,是威廉·詹姆士(1842~ 1910)所作的阐释使实用主义成了一种有影响的哲学。如前所述,皮 尔斯绝不会对此感到高兴,因为他的学说远比詹姆士的实用主义精 妙,只不过刚开始得到人们的尊重罢了。 詹姆士是一位新英格兰人,也是一名坚定的新教徒。这种背景对 他的思想产生了影响,尽管他是一位自由的思想家,而且有怀疑一切 正统神学的倾向。和皮尔斯不同,詹姆士在哈佛大学的学术生涯是持 久而有名望的,他是哈佛的心理学教授。1890年,他的《心理学原 理》一书出版,至今仍是心理学领域最优秀的普遍性论述之一。尽管 哲学实际上只是他的副业,但他却被视为美国哲学界的领袖人物。和 从事文学的弟弟亨利不同,詹姆士为人亲切、宽容,而且强烈地支持 民主。他的思想虽然不如皮尔斯哲学精深,但由于他的人格和地位, 他在哲学上的影响要比前者大得多,特别是在美国。 詹姆士在哲学上有两方面的重要意义。我们刚才了解到了他在传 播实用主义方面的影响和作用,而在另一个主要方面,他的思想与他 所谓的“激进经验主义”学说有关。该学说最早见于1904年的《“意 识”存在吗?》一文。詹姆士在这里证明,传统的主体和客体二元论 是产生正确认识论观点的一个障碍。他认为,我们必须抛弃“自我意 识”概念,它被看做对立于物质世界客体的一个实体。在他眼里,对 认知的主体和客体的解释是一种不自然的理性主义误解,无论如何也 不属于真正的经验主义。的确,我们没有任何东西超越了詹姆士所谓 的“纯粹经验”。纯粹经验被视为生活的具体性,它和随之产生的抽 象反思形成了对比。这样一来,认知过程就成了纯粹经验不同部分间 的一种关系。詹姆士没有继续指明这一理论的全部含义,但那些推崇 这种说法的人后来用“中性一元论”取代了原来的二元论,他们认为 世界上只有一种基本要素。 ◎ 威廉·詹姆士 在詹姆士看来,“纯粹经验”就是构成万物的要素。在这里,他 的实用主义破坏了他的激进经验主义,因为前者否定对人类生活没有 实际意义的任何东西,只有形成了部分经验(即他所说的“人的经 验”)的东西才是恰当的。和詹姆士同时代的英国人司各脱·席勒对 这个问题也持有相似的观点,他称自己的理论为“人本主义”。这一 学说的困境就在于它的范围太窄,不能涵盖科学和常识始终视为自身 主要任务的东西。探索者必须把自己看做世界的一部分,而世界又总 是超出自己的知识范围,否则,追求任何东西都将失去意义。如果我 必然会与世界可能表明的任何东西相关联的话,那我什么也不用干就 可以坐享其成了。尽管詹姆士正确地批判了旧的精神与物质二元论, 但他自己的纯粹经验理论却也不被人认可。 关于理性主义与经验主义这个普遍性问题,我们必须谈到詹姆士 所作的一个著名的区分。根据这一观点,理性主义学说倾向于强调精 神,舍弃物质,它具有乐观的特征,追求统一,主张反思,忽视实 验。詹姆士把那些接受这种理论的人称为“脱离实际者”;而经验主 义理论则倾向于物质世界的探索。它是悲观的,承认世界的分离性, 认为实验优于计划(方案),这类观点得到了“讲求实际者”的支 持。 当然,这种区分不能做得太绝对。实用主义学说显然是倾向于 “讲求实际者”的。詹姆士在《实用主义》(1907)一文中阐释了他 的理论,并指出了它的两面性。一方面,实用主义是一种在态度上等 同于经验主义的方法。詹姆士谨慎地认为:作为一种方法,实用主义 并不规定任何特殊结果,它仅仅是论述世界的一条途径。这种方法的 大致意思是:如果区别不能体现实际的差异,那么这种区别就没有意 义。相应的,他还拒绝承认任何一个有争议的问题已经得到了最终的 解决。这类观点大多直接来自于皮尔斯,而且还会被任何一位经验主 义探索者所接受。如果不涉及任何其他的东西,那么詹姆士说实用主 义不过是一些旧思想的新名称而已,这种说法还是十分正确的。 但是,詹姆士却从这些值得称道的原则中,逐渐陷入了更令人怀 疑的理论。实用主义的方法使他认为科学理论是未来的行动工具,而 不是“自然”问题的最终合理答案。我们不应该把某个理论当做巫师 声称能控制自然的神奇咒语。实用主义者坚持认真审验每一个词语, 并要求它具有实用价值,即詹姆士所说的“现金价值”。从这里只要 再往前走一步,就能得出实用主义的真理定义:真理就是某种有成效 的东西。杜威的工具性真理概念同它如出一辙。在这一点上,实用主 义本身成了一种最暧昧的形而上学,这就是为什么皮尔斯要想方设法 割断与它的联系的缘故。且不论难以确定某个特定观点会产生什么样 的后果以及这些后果最终是否有成效;无论在什么情况下,总有一些 后果有成效,或者没有成效,但不管怎么说,都不得不以一种非实用 主义的普遍方式来进行确定。如果说这些后果将会在某种无法确定的 程度上有成效,从而回避这个问题,这也是不可能的,因为这将允许 我们全盘接受任何东西。詹姆士似乎也觉察到了这种困难,他承认一 个人有选择某种信仰的自由,如果这种信仰有助于幸福的话。宗教信 仰就是一个不错的例子,但这绝不是一个教徒坚持自身信仰的方式。 他并不是由于估计到这些信仰将给他带来满足感,才去接受它们,而 是由于有了这些信仰,他才感到幸福。 自哲学在希腊的最初发展起,数学就始终是哲学家们特别感兴趣 的一个学科,最近两百年来的进展又明显地证实了这一点。莱布尼茨 和牛顿所论述的微积分学使18世纪出现了数学发明的大爆发,然而数 学的逻辑基础却没有得到正确理解,很多的运用都是由一些经不起推 敲的概念组成的。数学分析在那个时代非常重视“无穷小”的概念, 据说,它在新发明的微积分的运用方面充当了重要角色。“无穷小” 是一个没有大小、也没有限度的量,但同时又在“逐渐趋向于零”。 人们假设,正是这种量在形成微分系数和积分时发挥了作用。实际 上,“无穷小”是数学谱系中最古老的一个概念,它可以追溯到毕达 哥拉斯的“单元”,两者具有十分相似的含义。 我们已经知道芝诺是如何揭示毕达哥拉斯学说的。在现代,对 “无穷小”理论的批判同样来自哲学家。贝克莱可能是第一个指出其 困境的人;黑格尔在讨论这些问题时也提出过一些生动有力的观点。 但数学家们起初并没有重视这些警告,他们一如既往地探索自己的科 学。当然,这样做也没什么不好,不过,在新学科的起源和发展问题 上,却有一个特殊的事实:过早和过多的严密性将禁锢人的想像力, 从而无法产生发明。从陈腐的形式主义枷锁中获得一定的自由,将促 进某个学科早期阶段的发展,尽管这意味着要承担出错的风险。然 而,任何领域的发展,总会有一个必须增强严密性的时期,在数学方 面,其严密性始于19世纪初。法国数学家柯西率先提出了一套系统的 极限理论,这种理论和德国维尔斯特拉斯后来的工作结合后,就取代 了“无穷小”概念。而乔治·康托尔则首次研究了隐藏在这些发展背 后的持续量和无限数的普遍性问题。 ◎ 乔治·康托尔的一个悖论:偶数与正整数一样多。 数的无限性所导致的困难,从芝诺及其悖论起就已经存在了。如 果回顾一下阿喀琉斯和乌龟的赛跑,我们就可以这样来分析这场比赛 令人困惑的一面:每当阿喀琉斯到达一个点,乌龟都占据着另一个 点,可以设想,两者在任何时候都占据着同样多的点,然而阿喀琉斯 显然会覆盖更多的路面。这似乎就违反了全体大于部分的常识性概 念。但是当我们论及无限集合时,情况却不同了。举个简单的例子, 无限集合的正整数数列包括奇数和偶数,假如去掉所有的奇数,你可 能就会认为剩下的数是原来的一半,然而余下的偶数却和原来数列的 总数一样多(无限之多)。这个有点惊人的结论是很容易证明的,我 们首先写下自然数数列,然后依次写下它的倍数数列。第一个数列中 的每个数都能在第二个数列中找到对应的项,也就是数学家所谓的一 一对应关系,这样,两个数列就具有了同样多的项。因此在无限集合 的例证中,部分和全体就包含着同样多的项。这就是康托尔用来定义 无限集合的性质。 在这一基础上,康托尔提出了一整套无限数理论,尤其是他指出 了存在着大小不同的无限数,尽管我们不能完全以谈论一般数字的方 式来考虑它们。比自然数数列更明显的例子就是实数数列,假定所有 的十进制小数依次排列,然后我们来生成一个新的小数表,做法是取 第一项的第一个数、第二项的第二个数,由此类推,并把每个数自乘 一次。结果,这个新的小数表与原表(我们已经设定它是完整的)中 所有的小数都不同。这就证明,要生成一个可数的表是不可能的。与 自然数相比,十进制小数具有更高的无限性。这个“对角线法”后来 在符号逻辑中也得到了重要的应用。 19世纪末,另一个问题引起了逻辑学家们极大的兴趣。最早的数 学家们就有这样的愿望,就是证明整个科学是从某个单一起点出发, 或者至少是从尽可能少的起点出发的一种演绎体系。这也是苏格拉底 “善”的形式的一个方面。欧几里德的《几何原理》就提供了所需的 一个例证,尽管他自己的论述是不充分的。 ◎ 皮亚诺的公设:一个数的后继者是一个数,任何数都有,且只有一个这样的后继者;零 是一个数,但不是一个后继者。最后是数学归纳法原则。 在算术方面,可以从意大利数学家皮亚诺提出的一小组公设中演 绎出其他的一切。基本陈述一共有五条,它们定义了级数的分类,自 然数数列就是其中一例。简单地说,这些公设表明,每个数的后继者 也是一个数,每个数只有一个后继者。数列从零开始,虽然零也是一 个数,但它本身并不是某个数的后继者。最后是数学归纳法的原理, 通过这种方式,就可以确立数列中所有数的一般属性。该原理的运作 如下:假如任何一个数“N”的某个特性既属于它的后继者,又属于 “零”的话,那么它就属于数列中所有的数。 从皮亚诺时代开始,人们就对数学的基础问题有了新的兴趣。在 这个领域有两个对立的学派。一方面是形式主义者,他们主要考虑一 致性;另一方面是直觉主义者,他们采纳了有点类似于实证主义的路 线,要求你对自己碰巧谈到的东西提出解释或证明。 这些数学发展有一个共同的特征,那就是逻辑学家对它们感兴 趣。在这里,逻辑学和数学似乎开始接触和交融。康德曾经认为逻辑 学是完善的,从他的时代起,逻辑学理论的研究已经发生了巨大的变 化,尤其是产生了用数学公式来处理逻辑论证的新形式。最早对此做 出系统说明的人是弗雷格(1848~1925),然而,人们竟然在长达二 十年的时间里对他的著作毫不知晓,直到1903年,我使人们注意到了 他的著作。长期以来,弗雷格在自己的国家里只是一名默默无闻的数 学教授,只是近年来,他作为哲学家的重要性才得到人们的承认。 弗雷格的数学逻辑观产生于1879年。1884年,他出版了《算术基 础》一书,书中运用数学公式彻底论述了皮亚诺的问题。皮亚诺的公 设虽然省事,但从逻辑上看,却不那么令人满意,因为它提出数学科 学的基础应该是这些公设,而不是别的一些陈述,这看上去似乎有些 武断。皮亚诺本人从未考虑过这些问题。 弗雷格给自己定的任务,就是用最普遍的形式来解决这个问题。 他所做的,就是把皮亚诺的公设作为自己符号体系的一个逻辑结论展 现出来,这样立即就去除了武断的弊病,而且证明了纯粹数学只是逻 辑学的一种延伸。给数本身推导出某种逻辑定义,是很有必要的。把 数学变成逻辑学观点,皮亚诺的公设很明显地体现了这一点。因为这 些公设把数学的基本词汇限定为两个术语: “数”和“后继者”,后 者就是一个普遍性的逻辑术语。为了把词汇完全转换成逻辑术语,我 们只需对前者做出某种逻辑性解释就行了。这也正是弗雷格所做的, 他通过纯粹的逻辑概念给“数”下了定义。 怀特海和我本人在《数学原理》中所作的定义,与弗雷格的定义 有着很多共同之处。书中指出,一个数就是所有的类(近似于某个特 定类)组成的类。因此每个由三种东西组成的类都是数3的一个例子, 而数3本身就是所有这些类组成的类。至于通常意义上的数,则是所有 特殊数的类,因此最终是一个第三阶的类。从这个定义中可能产生一 个出人意料的特征,即数不能相加。虽然你能够把三个苹果和两个梨 相加,得到五个水果,但你却不可能把所有三元的类和所有二元的类 相加。但正如我们所知,这实际上根本不是什么新发现,柏拉图早就 说过数是不能相加的。 ◎ 《数学原理》的作者之一:伯特兰·罗素。 弗雷格通过对数学的论述,系统地阐释了一个命题的含义和所指 之间的区别。要想证明“等式并不只是空洞的重复”这一事实,就需 要这种区分。等式两边虽然具有共同的所指,但含义是不一样的。作 为一种符号逻辑学体系,弗雷格的解释并没有为他赢得很大的声誉, 部分原因无疑是由于它的符号过于复杂费解。而《数学原理》则使用 了近似于皮亚诺式的符号,而且已经证明它们更具适应性。从此以 后,数学逻辑领域开始应用大量的符号。著名的波兰逻辑学派设立的 符号是其中最精致的符号之一,并在上一次战争中得以传播开来。 同样,在约简符号及体系的基本公理数目方面也取得了很大进 展。美国逻辑学家希弗尔设立了一个单一的逻辑常量,可以利用它来 依次定义命题演算的常量。借助这种新的逻辑常量,就有可能把符号 逻辑体系建立在单一的公理基础之上。不过这都是高度专业化的问 题,在这里无法进行详细解释。 从纯粹形式意义上说,数学逻辑不再是哲学家关注的对象,它是 留给数学家处理的问题。的确,它也是一种非常特殊的数学。哲学家 感兴趣的是普遍性“符号”假设所产生的问题,这些假设在体系进行 之前就被提出来了。 同样,符号体系的建立过程中有时得出的矛盾结论,也引起了哲 学家的兴趣。《数学原理》在论述数的定义时,就得出了这样的一个 悖论。产生这一悖论的原因就是“所有类组成的类”这一概念。因 为,显然“所有类组成的类”本身也是一个类,因此属于所有类组成 的类。这样一来,它就把自己当成了自己的成员。当然,还有许多别 的类并没有这种性质。由全体选民组成的类本身不具有普选资格。当 我们考虑并非自身成员的“所有类组成的类”时,悖论也就出现了。 问题在于这个类是不是它自身的一个成员。如果假定它是,那么 它就不能成为包含自身的类的例子。但是,为了成为自身的一个成 员,它又必须是我们首先考虑的那种类型,即不是自身的一个成员。 相反,要是我们假定所讨论的类不是自身的一个成员,那么它就不是 一个不包含本身的类的例子。然而,为了不成为自身的成员,它又必 须像一开始提出的问题那样,是本身的一个成员。无论在哪种情况 下,我们都将得出一个自相矛盾的结论。 要摆脱这种困境是可能的,如果我们能注意到,绝不可站在完全 相同的立足点上论述“类”和“类的类”,就像通常情况下,不在同 一层次上论及一个人和一些国家一样。因此,我们显然没有必要像提 出悖论那样,在谈到属于自身成员的“类”时纠缠不清地兜圈子。虽 然已经有很多方法来应付有关悖论的难题,但在如何解决方面,却依 旧没有达成普遍的共识。不过与此同时,这个问题已经使哲学家们再 次意识到了审查建立命题及用词方式的必要性。

    第十一章 当代

     我们在讨论过去七八十年的哲学时,面临着一些特殊的困难。由 于我们与这一时期过于接近,以至于很难用一种恰当的距离和超然的 态度来看待它。过去时代的思想家们经受住了后人批判性的考察,随 着岁月的流逝,自然淘汰的作用越来越明显,这也有助于人们做出选 择。一个很一般的哲学家长期获得某种程度的声誉,这种可能性是非 常小的,尽管的确发生过重要人物被不公正地忽略的事情。 更大的困难则是对最近的思想家们做出选择。对于历史人物,我 们有可能全面了解整个发展过程的各个阶段;而当代的人物由于离我 们太近,使我们很难以同样的信心去辨识真相的各个部分。的确,实 际情况只能如此。在事后才变得更明智,并且逐渐理解哲学传统的发 展,要相对容易一些。但是,如果以为能从当代变革的所有细节中总 结出它们的意义来,这只能是一种黑格尔式的幻觉。人们最多有可能 看到某些与更早时期事件相关的普遍趋势。 19世纪后期的一些影响了我们这个时代知识界风气的新发展,可 以作为那一时期的标志。首先,工业化之前的陈旧生活方式崩溃了, 技术力量的巨大发展使得生活比以前更为复杂起来,至于是好是坏, 则不是这里要讨论的问题。我们只是注意到了下述事实:和过去任何 时候相比,我们对时代的要求变得更为多样化,对日常生活的要求也 更为复杂化了。 这些变化也同样出现在知识领域。以前,个人曾经有可能掌握几 门学科,而今天,即使只想彻底掌握一门,也变得越来越困难了。知 识探索的范围被分割得空前的狭窄,这的确已经在我们这个时代引起 了语言上的混乱,这种不健康的现象是某些变革产生的恶果,而这些 变革则是现代工业社会的发展强行带来的。在不算遥远的过去,不仅 在某个国家,而且在整个西欧的大部分地区,都有着一种共同的背 景,这种背景为所有具有一定文化程度的人所分享,这当然不是普遍 的或平均主义的粉饰。过去的教育往往是一种特权,一种后来被废除 的垄断;而今天,能否为社会所认同,惟一的标准就是能力,这是另 一种特权。我们丧失了共同的理解基础,年轻人被专门化的需求和压 力引入了狭窄的隧道,以至于没有时间去发展广泛的兴趣。其恶果就 是,致力于不同探索分支的人们彼此交流起来往往感到极为困难。 19世纪还导致了另一种更为切实的语言混乱。在这个世纪,从远 古时代起就为所有国家的学者所通用的语言衰落了,并最终走向了消 亡。从西塞罗时代到文艺复兴,拉丁文曾是学者、思想家和科学家的 语言。高斯在19世纪初期曾用拉丁文写下有关曲面的名著,但这种情 况已经有些罕见了。今天,任何领域的探索者如果想深入自己的专业 工作,都不得不掌握两三门其他语言,这已经成了一个重要的问题。 到今天,尽管某种现代语言看起来最终将发挥拉丁文曾经起到过的作 用,但还是没有找到解决这一难题的办法。 ◎ 科学的严密性:居里夫人和丈夫在实验室。 艺术与科学的分离,是19世纪的另一个新特征,这种退步违背了 文艺复兴时期人文主义者的思想倾向。这些早期的思想家们按照一种 和谐比例的原则来追求科学与艺术,而浪漫主义影响下的19世纪却强 烈地抵制科学进步,仿佛它会对人造成腐蚀。科学的生活方式以及实 验室与科学实验,仿佛禁锢了艺术家必不可少的自由和冒险精神。 “实验方法揭示不了自然的奥秘”,这个奇怪的观点,毫无疑问是歌 德以其浪漫主义腔调说出来的。不管怎样,实验室与艺术家工作室之 间的这种对比,正好反映出了前面所说的分离。 与此同时,科学与哲学之间也出现了某种分离。在17世纪和18世 纪初期,在哲学上做出过重大贡献的人,往往是那些在科学问题上并 不外行的人。而到了19世纪,这种宽广的哲学视野在英国和德国消失 了,这种状况主要归咎于德国唯心主义哲学。如前所述,法国人之所 以得以幸免,仅仅是由于他们的语言不容易准确地翻译出这种哲学思 想,因此科学与哲学的分离未能在法国造成同等程度的影响。从总体 上说,这种分离从此继续发展着。当然,科学家和哲学家并不是完全 忽略了对方,但也许可以公平地说,他们常常不能理解对方在干些什 么。当代科学家要研究哲学,并不比唯心主义哲学家研究科学更容 易。 19世纪的欧洲,在政治领域处于国别差异加剧的状态,而18世纪 对政治问题并没有同样激烈的观点。那时候,当英法交战之际,英国 绅士照样有可能在地中海的海滨度过冬季假期。总的说来,战争虽然 残酷,却打打停停,似乎有些漫不经心,并不像过去一百年里的国家 大战。正如许多别的现代事务一样,战争也变得更有效率了。到今 天,如果试图挽救世界,使它免于彻底毁灭的话,那就得寄希望于世 界的统治者们永远无能。不过,如果让公共事务的管理权落到日后的 “阿基米德”(其战争武器是原子弹而不是枪炮)手中的话,我们很 快就会发现自己已经没几天活头了。 但是19世纪后期并没有全面地预见到这些变化,相反,那个时代 盛行着一种科学乐观主义,它使人们相信天国会突然降临在地球上。 科学和技术的突飞猛进,似乎也让人们感到解决所有问题的方法即将 被掌握,牛顿的物理学就是用来完成这个任务的工具。但是,后一辈 人的各种发现对有些人产生了猛烈的冲击,他们仍然以为只要把著名 的物理学原理应用于特殊情况就行了。在我们这个时代,原子结构方 面的发现已经粉碎了世纪之交发展起来的自以为是的观点。不过,这 种科学乐观主义的某些因素至今还保留着,用科学与技术改造世界的 余地的确是无限的。 与此同时,还有一种日益增强的疑虑(甚至专家们也有),即一 个“美妙的新世界”也许并不像一些过分热切的倡导者所想像的那 样,完全是一件幸事。在很大程度上,人与人之间的差异可能会消 除,这是我们在有生之年就能看到的一种令人不快的普遍现象,这很 可能会使人类社会成为一部更有效率、更稳定的机器,但它肯定会使 一切思想上的努力到此结束,无论在科学领域还是别的任何领域,这 种梦想实际上都是黑格尔式的幻觉。它幻想存在着可以达到的终极目 标,以为探索是一个走向终极的过程。然而这种观点是错误的,相 反,似乎很显然,探索是没有止境的,也许这将最终使我们远离乌托 邦的臆造者们所梦想的那种目标。 ◎ 画家基里科的作品《伟大的形而上学家》,内涵探索的象征。(收藏于纽约现在艺术博 物馆) 普遍的科学控制,导致了新的具有伦理学特征的社会问题。科学 家的发明和发现,就其本身而言,在伦理学上是中性的,但它们给予 我们的力量却能够转化成好的或坏的行为。实际上,这并不是什么新 问题,使今天的科学更具危险性的,正是现有破坏方式的可怕效能。 另一个问题似乎是现代科学对破坏对象不加区别的特征。从希腊时代 以来,我们确实走过了一条漫长的路。一个希腊人在战时可能犯下的 最大的罪行,也不过是砍倒橄榄树而已。 然而,在提出所有这些警告之后,我们也许应该记住,要正确地 透视我们所处的时代是非常困难的。另外,在整个人类文明史中,当 一切似乎濒临灭亡之际,总会有一些具有远见与魄力的人站出来正本 清源。尽管如此,还是完全可以说,我们正面临着一种全新的局面。 在过去的一百年里,西方经历了一次空前的物质变革。 科学与哲学的对立,究其原因,是孔德实证主义的一个结果。我 们在提及这一点时可以看到,孔德坚决否定了假设的建立。自然的进 程可以被描述,但不能被解释。从某些方面看,这种观点和当时盛行 的科学乐观主义有关。只有当人们感到科学事业已经达到一定程度的 完备,并感到目标即将实现时,才可能出现这样的理论。值得关注的 是,提到这个话题时,人们总是喜欢断章取义地引用牛顿的一段话, 从而使他的本意遭到了曲解。在谈到光的传播方式时,牛顿慎重地说 自己没有提出假设,他无意去做出某种解释,但这并不意味着他无法 解释。不过,我们也许能意识到,一种有力的理论(如牛顿的)一旦 创立,就会在一个时期内得到充分的应用,而不需要提出这样的假 设。只要科学家们仍然认为牛顿的物理学将会解决一切悬而未决的问 题,那么他们就会很自然地坚持描述而不去解释。唯心主义哲学家喜 欢按照黑格尔的方式,把探索的一切分支纳入某个包容一切的巨大体 系,而科学家正相反,他们感到自己的研究不应该陷入某种一元论哲 学。 至于实证主义者要求把探索维持在经验的范围内,这是在有意识 地求助于康德及其追随者。为现象寻找理由,并声称提供了解释,这 无异于闯进了解释范畴并不适用的本体之中,因此,这必定是一项不 切实际的工作。所有对探索的哲学意义感兴趣的科学家,都以这种态 度看待科学理论。当康德的名字在这里被引用时,必须记住的是,这 些思想家所得出的观点并不是真正意义上的康德学说。因为,正如我 们所知,康德的认识论把解释范畴的架构看做经验的一个前提条件, 而在现在这种背景下,这些思想家声称解释是非科学的,因为他们设 想它超出了经验范围,所以我们不认为这些科学实证主义者已经透彻 地理解了康德。 E.马赫(1838~1916)就是这些科学家中最著名的代表人物。其 《力学》一书为力学提供了一种实证主义解释,并在解释过程中有意 避免了使用牛顿物理学中曾经出现过的经院派术语。像“力”这样的 术语就是一个明显的例子。“力”并不是我们看得见的东西,我们只 能说,物体以某种方式运动,因此马赫废除了“力”的术语,而用纯 粹运动学的加速度概念来定义它。的确,马赫并不是在宣称建立一门 将会更加有效的力学。事实上,实证主义者所做的就是运用“奥卡姆 剃刀”剃掉空洞的科学概念中明显的累赘。 在这里,我们无法详细地审验这种删减具有多大的合理性,但 是,坚持普遍性科学方法的观点却具有某些重要意义。排斥假设,是 误会了解释在科学中的作用,只要假设能够说明现象和预测未来,那 么它就起到了解释的作用。如果不把假设本身当作探索的对象,那么 它就可以继续解释下去,只要不违背事实。但是,假设之所以能起解 释的作用,仅仅是因为它本身仍然没有被解释。当轮到它需要有说明 时,它也就不再起解释的作用了,不过我们必须利用尚未得到解释的 其他假设来解释它。这一点也不难理解,你不可能同时解释一切。而 实证主义者却错误地认为你根本不能解释任何事物。如果你真的要抛 弃所有的假设,那么又怎么来从事科学研究呢?剩下的全部方法似乎 就只有培根的分类法。正如我们所知,这种方法并不能把我们引向深 入。因此,恰恰是科学需要继续发展这一事实,证明了马赫之类的实 证主义者的虚妄。迈耶松(1859~1933)的著作对实证主义学说进行 了一针见血的批判。他的认识论的确是康德式的,虽然细节上并不一 致,但在原则上是一样的。 科学哲学家们在试图用科学观点来取代他们所蔑视的“形而上 学”时,常常陷入自己的形而上学困境。从某种角度看,这并不奇 怪。因为,他们虽然有一些正当理由来否定哲学家的形而上学思辨, 但却忘了科学探索本身就是在某些预想的基础上进行的。康德至少在 这个程度上是正确的。因此,像因果关系这样的普遍性概念就是科学 工作的前提,它不是研究的结果,而是一种预想,即使只是一种人们 心照不宣的预想,没有它,研究就无法进行下去。如果以这种观点来 看问题,那么后来出现在科学家著作中的那些新奇的哲学观,就不像 猛一看上去那么令人鼓舞了。 由于科学家们赞成某种数学的仪式,就把科学陈述及程序的意义 有意地抛开了。科学研究的结果已经推翻了僵化、封闭的牛顿世界 观,但总的说来,科学家们并不打算扩大这种观点,而是满足于利用 数学理论来应付他们的问题,一旦有了恰当的解释,这些理论就会产 生充分的结果。他们不再理会计算与转换的中间阶段,后者不过是起 到了一套规则的作用。尽管这种态度并不普遍,却流传甚广;令人惊 讶的是,它竟使人想起了文艺复兴后期毕达哥拉斯学派及其信徒的数 字神秘主义。 这些普遍性趋势,使哲学领域产生了一场脱离科学的运动。不仅 欧洲大陆唯心主义的复苏如此,而且不列颠的语言哲学也多半如此。 至于后者,从某种意义上说,它的任务确实不是去发现,而是去评价 被各方接受的各种说法的价值。不管怎么说,这也是哲学一直在做的 事情之一。但是,不同的哲学观却能在不同的程度上,推动或妨碍科 学探索的发展。 现在,我们必须回到正题,讨论一下哲学本身。在19世纪后期, 从大陆漂流而来的唯心主义在英国的哲学舞台上占据了主导地位。不 列颠的雨水来自爱尔兰,唯心主义则来自德国。然而这个领域的领军 人物却并不完全坚持黑格尔传统。在牛津从事研究和创作的F.H.布莱 德雷(1846~1924)批驳了唯物主义,他所追求的“绝对”使人想起 斯宾诺莎的上帝或自然,而不是黑格尔“绝对理念”的那个“绝 对”。另外,他在讨论中所采用的辩证方法,也并不是黑格尔所谓的 有机生成原则,而是一种符合柏拉图及其爱利亚传统的推论工具。的 确,布莱德雷在不遗余力地批判黑格尔有点理性的一元论,因为后者 有一种把认知与存在混为一谈的倾向,这种观点可以追溯到苏格拉底 和毕达哥拉斯学派。布莱德雷试图在理性思维的范畴之内,达到纯粹 感觉或经验的境界,我们正是在这个阶段,才能够谈到实在性。思维 常常歪曲了实际存在的东西,仅仅产生出一些现象。之所以造成这种 结果,是因为人们把外来的分类与关系的框架强加于实在存在。因此 布莱德雷认为,在思维过程中,我们会不可避免地使自己陷入矛盾之 中。这种学说见于《现象与实在》一书。 ◎ F.H.布莱德雷 布莱德雷抨击思维的主要出发点是:思维必然是理性的;至于关 系,正如他所说,则把我们卷入了矛盾之中。为了使这个奇怪的结论 得以确立,布莱德雷采取了“第三人论证”的形式,柏拉图式的巴门 尼德派曾用这种形式来批驳苏格拉底的参与论。由于品质与关系是有 区别的,但同时又是不可分的,所以我们应该可以在任何特定的品质 中,将严格属于品质和关系的两部分区分开来。不过,我们不能区分 品质本身的各个不同部分,即使能,也会遇到把品质与关系这两部分 重新扯到一起的难题。这样就会牵涉到一种新的关系,“第三人论 证”也就由此介入其中了。 这样一来,思维领域及其科学就陷入了矛盾的困境,因而属于现 象而不是实在。布莱德雷在这里令人费解地绕了一圈后,却得出了和 休谟相同的结论,尽管他们的根据不同。他和休谟一样,也否定了 “自我”概念,因为它涉及关系。正是由于同样的理由,也必须把现 有宗教的上帝当做现象不予考虑。 用这种方式清理了现象之后,布莱德雷在“绝对”中看到了实 在,这里所说的“绝对”,似乎就是爱利亚学派从内心(比理性思维 更直接的层次)体验到的“太一”。在“绝对”中,一切差异得到了 统一,一切冲突都得到了解决。但这并不意味着现象被取消了,因为 在日常生活中,我们的思维和科学研究都要涉及现象。同样,人所犯 的罪,也像现象一样扎根于日常世界,无法抹去。但是从“绝对”的 高度看来,这些缺陷似乎已经消失了。 本纳德多·克罗齐(1866~1952)的哲学似乎是另一种派生于黑 格尔的唯心主义,尽管维科的直接影响可能更大一些。克罗齐不是一 位学院派哲学家,他一生长寿,而且在经济上独立。他的国际声望使 他在法西斯时代幸免于难,没有受到太多的骚扰。战后,他曾在意大 利政府中担任过多种职务。克罗齐创作了大量的历史和文学作品。 1905年,他创办了文学杂志《批评》,并一直担任它的编辑。他的哲 学态度有一个特点,就是强调美学,因为当心灵思索一件艺术品的时 候,它正在具体地经验。 ◎ 本纳德多·克罗齐 克罗齐和黑格尔一样,也认为实在是属于精神的。黑格尔的一元 论不肯为不列颠经验主义(甚至康德理论)认识论的各种困难留有余 地。尽管黑格尔强调辩证法,并坚持精神过程包含着对障碍的能动性 克服,但克罗齐还是在这个问题上直接回到了维科的“真理即事 实”。不管怎么说,他看到了黑格尔主义的某些主要弱点:一是把辩 证法应用于自然;二是把数的三分法搞得玄而又玄。黑格尔一开始就 在他的唯心主义体系概念中犯了错误,我们已经对此作了一些批判性 评论。在这里,还可以补充一点:辩证发展的学说与终极目标的实现 是相抵触的。克罗齐保留了发展概念,尽管他没有接受黑格尔对这一 概念的解释。他没有采纳辩证的进程观点,而是对维科的阶段论进行 了加工。维科曾认为这些发展是循环式进行的,因此,万物最终都将 回到同一个起点。回顾一下就可以发现,恩培多克勒也持这一观点。 而克罗齐则认为这些发展是往前进行的,因此,当心灵回到起点时, 它已经在过程中有了新的觉悟。 克罗齐尽管批驳了黑格尔,但他仍然在自己的著作中保留了很大 程度的辩证法。他在《美学原理》中的说法就使人想起黑格尔的逻辑 学。“谬误与真理之所以会紧密地联系在一起,是因为纯粹、绝对的 谬误是不可想像的;也正是因为这个原因,才不存在这种谬误。谬误 用两个声音说话:一个声音对错误进行断定,而另一个声音却在否定 它。这是一场‘是’与‘非’的斗争,也就是所谓的矛盾。”克罗齐 认为这段摘录也可以用来强调以下观点:心灵可以把握住实在。从原 则上说,世界上没有什么是我们不能发现的。任何不可想像的东西都 不可能存在,因此,只要存在的东西就一定可以想像。需要指出的 是,布莱德雷的观点正好颠倒了过来,他认为可以想像的东西就一定 存在,其表达公式是:可能存在和一定存在的东西才存在着。最后, 克罗齐把维科描述成了19世纪的理性主义者,这是黑格尔派的影响所 致,实际上,维科应该是17世纪的柏拉图主义者。 ◎ 亨利·柏格森 19世纪末、20世纪初最有影响的法国哲学家是亨利·柏格森 (1859~1941),他在反对科学方面引起了完全不同的变化。他坚持 的非理性主义传统,可以追溯到卢梭以及浪漫主义运动。柏格森和实 用主义者一样,也强调行动至上。在这方面,他对哲学和科学探索中 谨慎而冷静的理性方式有些不耐烦。理性思维的主要特征之一是力求 精确,《沉思录》中的笛卡尔格言就很好地表达了理性思维。首先, 当我们试图在语言的框架内捕捉瞬间的经验运动时,我们似乎就阻碍 了实在的流变,得到的只是一幅苍白而静止的语词图画。在这里,我 们遭遇了赫拉克利特、巴门尼德的古老问题。柏格森要做的,就是坚 持流变在经验中的实在性,反对用理性的僵化形式来模仿和歪曲世 界。至此,柏格森的问题似乎让人想起布莱德雷,但答案却完全不 同。布莱德雷的形而上学最终和他的逻辑理论紧密地联系在了一起, 特别是真理的一致性理论,而柏格森则认为必须克服逻辑本身的影 响。在这个意义上,我们可以把布莱德雷说成理性主义者,把柏格森 说成非理性主义者。 和19世纪唯心主义及唯物主义一元论形成反差的是,柏格森哲学 又回到了二元论的世界观。然而,把宇宙一分为二的观点并不完全就 是早期的二元论。一个是笛卡尔所说的物质;另一个则是某种活力原 则(不同于理性主义的心灵或精神)。活力与物质这两种巨大的力量 卷入了一场永恒的斗争之中,积极的生命冲动试图克服由惰性物质设 置的种种障碍。在这个过程中,生命的力量虽然受到了物质条件的影 响,但仍旧保持着自由行动的基本特征。柏格森抛弃了传统的进化 论,是因为它具有理性主义倾向,这种倾向不允许出现任何全新的东 西。这就损害了柏格森赋予生命的行动自由,他认为进化能产生真正 的新事物,从字面意义看,进化是创造性的。 柏格森在自己最有名的著作《创造性进化论》中提出了这一学 说,他所设定的这种进化过程直接来源于艺术创作的类推。正如艺术 家在创造性欲望的驱使下采取行动一样,自然界的生命力也是如此。 进化的变革通过源源不断的创造性欲望来实现,而这些欲望所针对的 则是迄今尚不存在的某些新特性。 进化过程使人类成了智能超越本能的动物,在柏格森看来,这是 人类的不幸。在他之前,卢梭也有同样的观点。人的智能有禁锢本能 的倾向,从而剥夺了人的自由,由于智能把它的概念性条条框框强加 于世界,因而扭曲了世界的本来面目。理性主义学说认为智能是争取 自由的力量,而我们实际上已经远离了自由。 本能的最高形式是直觉,直觉是某种直接与世界相一致的精神活 动。智能在歪曲世界,而直觉却在如实地把握经验。根据柏格森的观 点,智能的困境就在于它只能胜任对物质世界非连续性的说明。显 然,这种观点和如下概念有关:语言是非连续性概念的框架。至于生 活,则在本质上是连续的,所以智能不可能理解生活。在这方面,我 们似乎必须依赖于直觉。柏格森认为,智能与直觉的区别类似于空间 与时间的区别。智能分解并分析世界,它以一种梦幻般的永恒方式发 挥作用。我们以前在词的本义上对比过理论与实践,认为智能是理论 的,它以几何学方式来看待世界,对它来说,世界只有空间而没有时 间。然而生活却是一种时光在流逝的实在的事务,于是直觉就介入了 生活。的确,通过智能而获得的空间性分析有一定的意义,但它们却 使我们不能正确地理解生活。物理学理论中的时间并非真正的时间, 而是一种空间性隐喻。柏格森把直觉的实在性时间称为“绵延”,但 “绵延”到底是什么,却不容易说清楚。柏格森似乎认为它是某种纯 粹的经验,当我们停止理性思维,彻底放任自己翱翔于时间之巅时, 这种经验便主宰了我们。可以说,在某些方面,这种观点类似于认识 的存在主义模式,克尔恺郭尔首先提出了这种模式,后来存在主义者 加工并接受了它。 柏格森的时间理论与他对记忆的解释有关。在记忆中,具有意识 的心灵会设法联通过去与现在。过去已经不复存在,而现在则正具有 活力。当然,这种观点所假定的恰恰就是那种数学意义上的时间。如 果是在别的地方,柏格森就会想方设法摈弃它,而支持“绵延”。如 果要使关于活动的陈述有意义,那么就必须将过去与现在分开。另 外,记忆一词的双重含义也产生了某种混淆,有时候,我们把记忆理 解为此时此地正在回忆的精神活动,有时候又把它理解为正在如此回 忆的过去的事件。精神活动与其对象的混淆使得柏格森把过去与现在 放到一起纠缠不清。 柏格森的思想有反理性主义的倾向,因此他不喜欢为自己的观点 (期望别人接受的观点)提供理由,无论这理由是好是坏。相反,他 喜欢借助于某种诗化的属性来阐述自己的观点,这样做虽然非常精 彩,但不一定能使读者信服。的确,任何企图超出理性范围的准则都 会面临这种困难,因为,一旦论及接受观点的理由,就已经进入了理 性领域。 我们最好认为柏格森的理论指出了经验的一些心理学(而不是逻 辑学)特征,从这个意义上,它与心理学理论的某些趋向是一致的。 至于存在主义,我们也可以这样去考虑。心理学领域伟大的新发展就 是精神分析论,不过在展开对它的简略探讨之前,我们必须提及心理 学的另一个趋向,即通常所说的行为主义观点,它在许多方面和精神 分析论是对立的。心理学的行为主义是实证主义的一个分支,它否认 过去的内省心理学表面上看来的神秘本质,宣称赞同公开的行为(分 析)。只有观察到正在做的事情才有意义。在特定的情况下,我们最 多只能够通过某种方式,以概念框架来描述行为和行动的意向。而这 些东西是公开的、可以观察到的,而且经得起物理学家实验的检验。 ◎ I.P.巴甫洛夫,俄国生理学家,从事条件反射研究。 这种方法的一种简单的推广,就是为心理学事件找到纯物理学和 生理学的解释,因此,在前面解释过的意义上,这种理论就是唯物主 义和实证主义的。这种发展中最著名的一个例子,就是俄国生理学家 巴甫洛夫的条件反射研究。我们都听说过巴甫洛夫和流涎狗的故事, 简单地说,该实验就是在向动物提供食物的同时发出某种信号,例如 在屏幕上显示某个图形。经过一段时间之后,只要出现图形,就能使 动物产生期待食物出现的生理反应,一见到相应的信号,动物就开始 流唾液。这种反应就叫条件反射。 这类研究要表明的是,可观察的具体情景揭示了某些有关联的事 件,而这种联系可以通过强加的习惯(在某种程度上)来予以改变。 从这一点上看,解释中所采用的联想主义心理学就完全是传统的休谟 方式。不过除此以外,似乎还有以下言外之意:没有必要把这些神秘 本质假设为思想;能观察到的相关事件已经包括了我们可以说出的一 切。这也许是一个极端的例证说明,无疑需要加上某些限定条件。不 过,就我们现在的讨论目的而言,它已经足以预示趋向了。 ◎ 巴甫洛夫在实验室 在哲学方面也出现了一种类似的发展,即语言学的一些形式废除 了传统意义上的含义,取而代之的是语言的实际用法,或在适当场合 以某些方式使用语言的意向。我们也应该像巴甫洛夫的狗一样,去流 口水,而不是思考。 与行为主义观点完全对立的各种心理学理论,都与西格蒙德·弗 洛伊德(1856~1939)这个名字有关。他从一种纯生物学的观点出 发,最终确立了他的心理学,他的学说不受限制地看到了隐蔽的本 质。这一理论中的“潜意识心灵”概念具有特别重要的意义。就本质 而言,潜意识是不能直接观察到的,这个理论是否健全,我们姑且不 论,在这里必须重复的是,不管怎么说,它都是一个十分正确的科学 假设。那些出于实证主义偏见而排斥假设的人,自然无法理解它在科 学方法中的作用,但是在弗洛伊德这里,潜意识心灵的理论及其运作 方式,却为心理学理论的发展提供了重要手段。首先是弗洛伊德关于 梦的一般性理论,参见《梦的解析》(1900);其次是他关于遗忘的 理论(与前者有关),1904年出版的《日常生活的心理病理学》一书 对该理论作了通俗的解释。 梦与醒的区别在于:梦允许某种自由和幻想,这些东西在清醒的 生活中是经不起事实的考验的,但做梦者的这种自由毕竟要比现实中 的自由更彻底。这也是任何关于梦的普遍性理论的结论。弗洛伊德著 作总的假设是:在日常生活中,由于种种原因而受到抑制的需求和欲 望,却能在梦中实现。我们不能在这里深入地探讨抑制的机制和个人 心理器官的详细结构,但只要指出以下这一点就足够了:做梦者有一 定的自由来重新组合基于直接经验的各种因素以及白天(乃至孩提时 代)受到抑制的愿望。解释的作用就在于揭示梦的真正含义,这里面 包括对抑制过程中某些象征符号的认识。为了掩盖某种令人不快的真 相,或担心真实意图得不到支持,而避免直言不讳。在做出这些解释 的过程中,弗洛伊德确立了一整套象征符号一览表,不过,他本人在 使用这些象征符号时,比他的追随者们更为谨慎。 在治疗学方面,我们必须记住,弗洛伊德是一名医生,他认为这 些过程的暴露或对其进行精神分析,有助于调节压抑引起的神经失 调。要达到治病的目的,仅仅依赖分析是不够的;但如果没有它,甚 至不可能作任何尝试。当然,治疗学里的知识概念也不是什么新东 西,如前所述,苏格拉底早就有过这种看法。当代语言分析学家们也 对哲学难题持有一种极为相似的观点,他们把这些难题比作需要用分 析来治疗的语言学神经官能症。 ◎ 西格蒙德·弗洛伊德,心理分析的创始人。 关于遗忘,弗洛伊德认为它和类似的压抑机制有关,我们遗忘是 因为在某种意义上害怕记忆。为了治愈遗忘症,我们必须知道,是什 么东西使我们害怕记忆。不管怎么说,弗洛伊德的理论是有价值的, 它在对梦做出普遍性科学解释方面进行了认真的尝试。当然,其中一 些细节性解释并不是完全令人信服的,例如,弗洛伊德的象征符号一 览表似乎就不能完全接受。当然,正是由于对性行为和性压抑的坦白 承认,才使得精神分析引起了人们更多的关注,同时,这也使它成了 无知者谩骂的对象。 进入20世纪以来,美国哲学的主导力量一直是经过修正的实用主 义,这一运动的主要代表人物是约翰·杜威(1859~1952)。杜威是 新英格兰人的后裔,深受该地区古老的自由主义传统的影响。他兴趣 十分广泛,其范围超出了学院派哲学。他的主要影响也许是在教育领 域,自1894年成为芝加哥大学的哲学教授以后,他在这个课题上就很 有发言权。如果说我们这个时代,传统教育和技术社会所需的职业培 训之间的界线模糊不清的话,那么杜威的著作在其中起了部分作用。 ◎ 约翰·杜威 杜威的哲学中的三个主导概念,把他的哲学与某些早期发展联系 在了一起。我们已经提到过实用主义的因素,和皮尔斯一样,杜威也 认为探索是最重要的。其次是对行动的高度重视,这一点是柏格森主 义的,而不是实用主义的。如前所述,实用主义者也确实相信行动的 重要性,不过我们必须回顾一下,詹姆士曲解了皮尔斯,后者的能动 性更接近维科在阐述“真理即事实”时所想的东西。最后,杜威的理 论中有很大程度的黑格尔因素,尤其是他坚持认为探索的终极目标是 有机或统一的整体。因此,他把过程中出现的逻辑步骤视为通往整体 的工具,这种工具性的逻辑概念与黑格尔的辩证法有很多共同之处, 如果我们把后者当成确立完整体系的一种工具的话。 追随实用主义学派的杜威,不愿意受到传统的真理和谬误概念的 羁绊,因为它们来自毕达哥拉斯和柏拉图的数理哲学。相反,杜威论 述了可保证的断言性,这一概念派生自皮尔斯。不过我们要补充一 点,皮尔斯后来认为存在着一个能够解决所有问题的答案,无论它离 我们多么遥远。 关于消除绝对意义上的真理这个一般性问题,我们可以运用谈论 普罗泰戈拉时的那种批判。假设有人断定我是一个讨厌的人,如果我 以实用主义者的语气问他,是否能保证这个断言具有正当理由,那么 他会如何回答呢?实际上,如果坚持这种观点可能对他有利,那么就 会诱使他做出肯定的回答。但是,不管他肯定或否定,他都会立即打 破自己的实用主义原则,因为这已经不再是一个保证的问题了。他根 本没有想到第二层的保证,这实际上直接导致了一种无穷的回归。反 过来,如果他肯定或否定,他就隐晦地承认了真理的某种绝对意义, 就算他搞错了问题的真相,这一点也不会改变。他也可能真诚地做出 某种回答,最终却发现是那虚伪的。要想给出任何一个答案,都必须 在无形中接受某种绝对标准。这种批判不仅对实用主义的真理理论有 效,而且适用于试图以其他标准来定义真理的任何理论。 要搞清这种把逻辑纳入行动的企图来自何处并不难。事实上,它 来自柏格森派的不满:按照传统、客观的逻辑观,世界上就不可能产 生任何真正的新事物。正是由于要求创新的呼声,这种理论才被激发 起来,并得以建立,最终出现了把人活动的多样性和表达这种多样性 的语言与逻辑的固定框架相混淆的情况。如果不认识到这些标准,人 就容易超出界限,并忘记自己能力有限这一事实。 ◎ A.N.怀特海 在这里,我们必须提到的另一位重要人物就是我的老同事A.N.怀 特海(1861~1947)。前面说过,他是一位数学逻辑学家。和我一起 完成了《数学原理》一书后,他的兴趣逐渐转向了当代科学的哲学问 题,并最终陷入了形而上学。1924年,他实际上开始了一种新的生 活,出任哈佛大学的哲学教授一职。他晚期的作品大多晦涩难懂。尽 管说一本书难懂,这本身不是什么批判,但我必须得承认,怀特海的 形而上学思辨对我来说,的确有些不可思议。不过,我还是要尽力对 它作一番简略的陈述。 怀特海认为,要想把握世界,我们就决不能遵循伽利略和笛卡尔 将“实在”分为第一、第二属性的传统。如果这样继续下去,我们只 能得到一幅被理性主义范畴论扭曲了的图画。更准确地说,世界是由 无数鲜活的事件组成的,其中每一事件似乎都让人想到莱布尼茨的 “单子”。但是和“单子”不同的是,事件是暂时的,它会消亡,并 生成新的事件。不知为什么,这些事件又发生在各种对象之上。我们 可以把这些事件理解为赫拉克利特的流变,把各种对象看做巴门尼德 的球体。当然,事件和对象都是抽象的,但在实际过程中,两者又有 着不可分割的联系。至于与“实在”的真正接触,则需要一种发自内 心的认知,需要把认知者和认知对象合并为一个单一的实体。在这 里,我们想到了斯宾诺莎。怀特海主张:每一个命题最终都必须根据 它与宇宙体系的关系来看待。显然,这是系统唯心主义的一种形式, 尽管它并不完全具有杜威哲学的唯心主义特征。杜威的整体概念要追 溯到黑格尔;而怀待海的唯心主义则与谢林后期的有机体概念更一 致。 简单地说,这大概就是怀特海形而上学的主要思想。我不敢说它 将在哲学史上拥有什么样的地位,不过使我们感兴趣的是,一种形而 上学的学说在这里是以什么样的方式,从对某些普遍性科学问题的兴 趣中直接产生出来的。诚然,我们已经了解到,17世纪的理性主义者 和19世纪的唯心主义者都是如此。从科学理论试图掌握整个世界这一 点来看,它所追求的目标正是形而上学的,不同在于,科学对严酷而 难以解决的各种事情承担了更大的责任。 如果可以说19世纪比以前的任何时代都更为彻底地改变了世界的 话,那么过去的五十年也是如此,这一时期的改造甚至更为急剧。第 一次世界大战标志了一个时代的终结。 进步的概念作为一种主导思想,曾经激励了数代人。世界似乎正 朝着一个更美好、更文明的方向发展,西欧是慈善家,而世界其他地 方则是政治和技术上的附庸。从某些方面看,这种世界观并不是没有 道理的。毫无疑问,西方在政治上,在掌握由工业产生的物质力量方 面,占据着主导地位。非凡的自信和上帝站在进步一方的感觉,成了 这一切的后盾。工业社会的发展导致了人口的剧增,一百年来,英国 的人口数量增长了五倍,但是马尔萨斯的悲观预言并没有成为现实, 相反,由于工业社会开始克服自身的初步问题,社会的普遍生活方式 逐渐变得舒适起来。 这些变革导致了乐观主义情绪的盛行,人们对未来信心十足。而 在这之前,这样的情绪和信心一向是经常动摇的。20世纪所有的主要 思潮都具有这种乐观主义基调,功利主义、实用主义和唯物主义莫不 如此。最明显的例子也许就是马克思学说,它甚至成功地把“进步不 可避免”的信念保持到了今天。作为惟一的政治理论,它一直坚持着 自己天真的信仰,尽管从那以后,世界已经饱尝了各种动乱的滋味。 就生硬的教条和乌托邦式的观点而言,马克思学说是19世纪的出土遗 迹。 生活在这种进步的氛围之中,人们似乎觉得世界建立在牢固的基 础之上。不仅那些富有的人有这种思想,就连那些最底层的贫民也觉 得自己的命运能够改善、将会改善,这种希望最终的确没有落空。同 时,教育的普及也有助于人们认识到改善自身状况的途径,因为在这 个新社会中,那些没有职权优势的人可以通过知识和技能出人头地。 这种竞争因素在社会是一种新事物。商人之间的竞争固然和商业本身 一样古老,然而,一个人可以通过自身的努力来改善自己的境遇,这 却是一个最近才出现的新观念。中世纪的人们普遍接受这样的观点: 每个人的位置都是由上帝安排的,改变神定的秩序是一种罪恶,这些 陈腐观念首先是遭到了文艺复兴思想家的怀疑,到了19世纪,则被彻 底肃清了。 当然,这里所描述的情况属于工业化已经有了根基的地区,包括 英国和西欧的部分地区。必须记住的是,这些地区只占地球可居住面 积的一小部分。这些国家的发展对世界历史的影响,已经与其人口数 量完全不成比例了。不过在人类历史中,这也不是什么新鲜事,单就 面积而言,古代波斯帝国比希腊更辽阔,但它的影响却是微不足道 的。 那些生逢盛世,并受到进步思想激励的人,似乎在满怀信心地为 将来作打算。形势是如此的安定,以至于人们有理由从整体上展望他 们的未来。同时,这些打算又完全是个人的事,因为只有通过自己的 不懈努力,才能获得地位和保障。对于社会底层的贫民,则由有责任 心的公民来为其提供救济和自愿资助。奇怪的是,提供社会福利的第 一个决定竟然是俾斯麦做出的,为了占据对社会主义反对派的优势, 他先发制人地为工人们引进了某种形式的健康保险。 普遍自由主义的政治观是这个时期的另一个显著特征。人们理所 当然地认为政府从事的只是旁观性工作,它的职责就是对各种利益冲 突做出裁决,至于政府会干预工业或商业的运作,人们甚至连想都没 想过。今天,政府本身经营各种企业,则是马克思主义影响了我们对 社会问题的看法所致。至于行动自由,在整个欧洲的绝大部分地区是 完全不受限制的。正如现在一样,那时的俄国是一个例外,除了沙皇 帝国要求出具护照以外,你不用带任何证件就可以走遍西欧。同时, 人们外出旅行的机会也不像现在这么多,部分原因是由于开销太高, 限制了不少人的行动。从那以后采取的种种控制措施则表明,国际间 的信任已降到了多么严重的地步。 在政治方面,西欧从1870年以来,已经享受了近五十年的和平。 事实上,这种幸福的局面并不是世界性的。非洲有殖民地冲突;在远 东,俄国败给了日本,后者努力学习西方技术和文明,已经取得了极 大的进步。尽管如此,对于生活在我们这个角落的人来说,世界似乎 仍旧是一个公正的国度。这就是五十年前的情景,当我们回顾它的时 候,就很容易感到那时候的人们仿佛生活在梦境之中。 然而整个价值体系被第一次世界大战(1914~1918)摧毁了。尽 管在19世纪的进程中,已经出现了比较强烈的国家意识,但在这之 前,那些国别差异是一直隐藏着的。现在,它们爆发了,并导致了空 前的世界性大屠杀。随着这场大灾难的发生,人们对进步的信心锐 减,怀疑的气氛日益增长,世界再也没有从这场破坏中完全恢复过 来。 从纯技术角度看,第一次世界大战表明了武器的改进速度远远超 过了军人战术思想的发展,结果导致一场可怕的、难以预料的大屠杀 极大地削弱了西欧的实力。自1918年以来,法国的虚弱和不稳定在很 大程度上就是这次战争的后遗症。同时,美国逐渐在世界事务中发挥 了核心作用。而俄国经历了布尔什维克革命后,建立了远比沙俄帝国 强大的新工业化社会。民族主义情绪从维也纳会议以来一直在地下郁 积着,现在终于以新民族国家的形式表现出来了。每个国家都对自己 的邻国怀有戒心,行动自由受到了种种限制,直到今天,情况才有所 好转。 欧洲各国的进一步互相残杀将真正威胁到西方文明的继续存在, 这一点已经变得明显起来了,这也是1919年建立国际联盟的主要原 因。在这种努力为国与国之间的和平合作奠定基础的尝试中,美国总 统威尔逊是主要倡导者之一。事实上,由于他的建议最终未能获得本 国的支持,所以一开始就极大地削弱了国际联盟的地位。同时,中央 权力的瓦解,反而使更激烈、更不妥协的民族主义得到了空前的复 苏。国际联盟成立还不到二十年,德国的国家社会主义独裁就发动了 第二次世界大战,其规模和破坏程度都超过了过去历史上的任何一次 战争。更庞大的军事技术力量,更强烈的你死我活的意识形态,使军 队之间的冲突转化成了全面战争。受它影响的不仅是士兵,而且还有 普通百姓。原子弹首次在日本显示了令人惊讶的威力,破坏性力量中 的这一终极成果,现在已经使人类有了自我毁灭的可能。人们是否能 足够明智地抵制这种诱惑,则是个未知数。我们希望,二战后取代了 旧联盟的联合国能够成功地制止那种不死不休的相互毁灭。 在人类的历史进程中,推动技术发展的两股主要力量就是贸易和 战争。近年来发生的各种事件已经以惊人的方式证明了这一点。电子 和通讯的发展产生了现在所谓的第二次工业革命。这次革命就在我们 的眼前改造着世界,它所采用的方式甚至比以蒸汽机为基础的第一次 工业革命还要剧烈。同样,运输工具所经历的变革也是19世纪做梦也 想不到的。从罗马时代到出现铁路,相对来说,旅行方式的变化并不 大,但从那以后,人类已经把伊卡洛斯的神话变成了现实。大约80年 前,人们还以为在80天内环游地球是一种幻想,而现在,只用80个小 时就有可能做到这一点。 在某些方面,这些意义深远的发展是如此的迅速,以至于人们来 不及适应新的环境。首先,大规模的国际冲突已经危及到了19世纪普 遍的安全感。人们不可能再以同样的方式来看问题。同时,国家行为 已经严重侵犯了曾经一度属于个人的行动自由。产生这种情况的原因 是多方面的。首先,工业国家经济生活的日益复杂化,已经使这些国 家对任何骚乱都极为敏感,由于我们现在的社会远不如中世纪那么稳 定,因此就有必要对那些可能推翻政府的各种势力采取一定程度的管 制;其次,为了抵消不可避免的动乱,就必须提供某种均衡力量,这 就使国家的行为卷入了经济事务;第三,人们虽然丧失了独立争取到 的保障,但国家提供的种种服务在一定程度上进行了补偿,这些变化 和一个国家的政治制度几乎没有什么关系,而主要取决于文明世界的 技术水平;值得注意的是,在那些政治体制截然不同的国家里,这些 问题却是多么的相似。 组织体制在现代生活中的决定性影响,已经引发了非理性主义哲 学思维的新倾向。从某种意义上看,这些思潮不仅反对曾激发过当代 独裁统治的权力哲学,而且反对“科学对人类自由的威胁”。非理性 主义的主要哲学观点,见于复苏的存在主义学说。存在主义近年来曾 在法国和德国的哲学领域发挥过主导作用,对此,我们将作一些简短 的评论。在这里,需要注意的要点是:这种趋向包含了各种学说,它 们常常相互争执不休。 在欧洲大陆,与存在主义学说相伴的是对传统形而上学的回归; 在英国,哲学近年来主要是沿着语言学的轨迹发展。大陆哲学与英国 哲学之间的鸿沟从来不曾像今天这样巨大,确实,它们甚至都不承认 对方真的是在从事哲学研究了。 ◎ 随着航空联系的增强,世界各地间距离已经缩小。 以上就是当代思想领域简略的背景轮廓。如果要勾勒出一幅草 图,那么我们不仅要冒曲解真相的风险,而且要冒缺乏洞察力的风 险。在这一点上,并没有什么有效的解决办法。不过,我们可以看到 一个普遍性结论,迄今为止,西方文明之所以能主宰世界,是由于它 的技术和产生技术的科学、哲学传统。现在看来,这些力量似乎仍然 占据着主导地位,尽管没有任何理由能够解释为什么必然如此。当西 方的技术和技能传播到世界其他地方后,我们的优越地位就因此下降 了。 大陆的存在主义哲学在某些方面是令人困惑的,有时候确实很难 看出其中有什么东西能算传统意义上的哲学。但整个存在主义运动共 同的起点,似乎是认为理性主义哲学不能合理地解释人类存在的意 义,理性主义者通过概念体系所作的一般性描述,未能把握个人经验 的具体特性。为了弥补这个明显的不足,存在主义者求助于克尔恺郭 尔所谓的“存在主义思维模式”。理性主义从外部探讨世界,不能恰 当地处理鲜活经验的直接性。要把握世界,还必须按存在主义方式, 从事物内部入手。 对于这种明显的困惑,人们可以做出各种不同的论述。首先,有 人可能很想指出,从这些思辨的含义看,人生是没有意义的。生活的 目的就是以一种尽可能有趣的方式活着;至于未来的目的,则都是幻 想。另外,存在主义思维模式的概念本身也有一个严重的缺陷。如果 你反思任何事物的存在,那么你考虑的必然是特定的东西。存在本身 就是一个错误的抽象概念,甚至连黑格尔也意识到了这一点。 毫无疑问,这些激烈的论证是有效的,但却容易妨碍我们看清这 些思想家所要暗示的东西。所以,我们应该对存在主义采取比较宽容 的态度,并尽力简明扼要地说明它试图表达的是什么。 ◎ 卡尔·雅斯贝尔斯 卡尔·雅斯贝尔斯的存在主义哲学虽然摆脱了唯心主义的形而上 学,但他所承认的三种存在中,却保留了黑格尔意义上的某种辩证因 素。雅斯贝尔斯年轻时对心理学,尤其是对心理病理学感兴趣,并由 此逐渐转入了哲学,因此,他的哲学研究是以人为中心的。从这个意 义上看,我们可以把他的存在主义描述成人本主义,萨特就曾用这一 短语来给自己的哲学命名。不过,和文艺复兴时的客观人文主义形成 反差的是,这里的存在主义最多只能算一种主观人文主义,所以,使 用萨特的格言就是对存在主义哲学家的一种曲解。 我们在雅斯贝尔斯的存在论中,遇到了三个不同的概念。层次最 低的就是客观世界,它只是简单地存在于此,所以,客观世界的存在 是一种从外部来把握的“存在于此”,它涵盖了一切门类的科学。但 我们却无法充分、正确地认识它的存在本身。适用于科学领域的客观 存在,确实妨碍了我们感受这种更高层次的存在,即雅斯贝尔斯所说 的“自我存在”或简称“存在”,该存在模式不再对支配客观存在领 域的理性负责。据称“自我存在”或“个人存在”往往含有超越自身 的暗示,为了不使雅斯贝尔斯感到委屈,我们可以用亚里士多德的术 语来描述,即他认为“个人存在”本身隐藏着各种不确定的“潜在 性”。在争取突破自身的过程中,这种“自我”就和第三类存在协调 起来,后者可以称做“超越”,它是一种包含了前两种存在模式的 “自在”。虽然雅斯贝尔斯并不追求那种激励了唯心主义者的目标, 但很明显,他的“三类存在”构成了辩证进程的一个妥当的例子。 不知为什么,该学说在这里竟然不可避免地陷入了理性范围。就 像我们在前面所看到的那样,对于任何企图在原理上颠覆理性的理论 来说,这都是一个固有的难题。当然,人们受感情支配的程度,不亚 于,甚至超过理性,这虽然让人难堪,却也的确如此。从原则上说, 这并不是对理性的一种制约,不过,当它形成了某种理性的理论,却 又企图使理性本身失效时,就会出现难堪的自相矛盾。因为,要想解 释任何事物,就必然会求助于理性,如果否定了理性的效力,就无法 找到理论上的依据,我们说不出道理来,就只好保持沉默。存在主义 者在一定程度上也模糊地意识到了这一点,所以,有时候他们的确也 提倡沉默,尽管自己并不去实行。至于雅斯贝尔斯,他意识到了困难 所在,并尽力作了某些修正:承认理性最终还是重要的。 雅斯贝尔斯在上述存在划分的基础上主张:本质上必然具有解释 性的科学,必然不能真正把握“实在”。因为,如果承认解释与解释 对象之间存在着差别,就等于无形中承认我们已经失败。似乎可以这 样设想:一切陈述之所以都是对事实的歪曲,仅仅因为陈述并不等同 于陈述对象。因此,由于陈述还涉及别的东西,所以它们就被认为是 不充分的。必须注意的是,陈述在这里之所以被视为不充分,是由于 它的本质属性不充分,而不是像唯心主义所说的那样,是由于它脱离 了能够为它提供全部意义的其他陈述。 在雅斯贝尔斯看来,哲学讲的就是“超越”或“自在”这种存在 模式,更确切地说,哲学就是个人在超越过程中的奋斗。至于个人的 道德,则在个人存在的层面上发挥作用,人们正是在这个层面上,才 能彼此了解和体验到自由感。既然自由处于理性范围之外,我们就不 能对其作理性的解释,而只能满足于辨认它在某些情绪中的表现。据 称,我们的自由感是与某种忧虑或恐惧感相随的,雅斯贝尔斯借用了 克尔恺郭尔的这个短语。总之,我们可以这样说:理性支配着“存在 于此”(客观世界)的领域,而情绪则支配着“自我存在”的领域。 雅斯贝尔斯的存在主义在“超越”的层面上像克尔恺郭尔学说一 样为宗教留有余地,而马丁·海德格尔更具形而上学意味的著作却充 斥着截然不同的腔调。由于措词十分怪异,因此他的哲学晦涩难懂, 我们忍不住要怀疑语言的运用在这里是不是太随心所欲了。他的哲学 思辨中有一个有趣观点,即他所坚持的“虚无(不存在)是某种实证 的东西”。正如存在主义中的许多其他观点一样,这也是一种假冒逻 辑的心理学观察。 在法国,存在主义运动曾经与文学有着紧密的联系。该运动最著 名的倡导者让·保罗·萨特,不仅创作了有影响的哲学论文,而且创 作了多部小说。他的大部分存在主义思想都是通过作品中的人物来体 现的,这些人物面临着某种行动的呼唤,这正是存在主义如此重要的 一个原因。小说作为文学媒介,提供了反映人类困境的完美工具。 ◎ 马丁·海德格尔 ◎ 让·保罗·萨特 人类自由的存在主义观点被萨特推向了极端。人类不断地抉择自 己的命运,这些抉择与传统或个人生活中的先例并无联系,每一个新 的决定似乎都需要完全的投入。那些害怕这一真相的人,试图从世界 的合理化思考中寻求保障。在这方面,科学工作者与宗教信徒的表现 是一致的,都企图逃避现实。但萨特认为他们都错了,世界并不像从 科学角度所看到的那样,至于上帝,则似乎从尼采时代起就已经死 了。决心面对世界本来面目的人,确实容易联想到尼采的英雄,萨特 的无神论正是从这一源泉中派生出来的。 萨特反对的实际上是理性主义的必然性概念。这一概念见于莱布 尼茨和斯宾诺莎的著作,并为唯心主义哲学家们所继承。我们不妨回 顾一下,在这些思想家看来,任何存在物原则上都是可以被视为必然 的,如果我们采取某种足够宽容的看法的话。这样,自由学说就不可 避免地要采用斯宾诺莎或黑格尔的形式,自由存在于和必然性运作相 协调的存在之中,这种自由观一旦遭到抛弃(如萨特那样),其他观 点似乎就会自动出现。前面说过,理性主义的必然性观点支配着理论 科学,因此,一旦我们采纳了存在主义的自由学说,那么就必须抛弃 这种必须性观点。同样,还必须抛弃理性主义神学,尽管萨特走得太 远了,企图把它和无神论联系起来。如果我们有萨特所设想的那种自 由,那么我们就可以随心所欲地进行选择。如前所述,对于这个问 题,实际上不同的存在主义思想家已经作了不同的选择。 在批判理性主义的必然性观点时,存在主义特别关注一个重要的 论点。但是,它的哲学批判并不比基于心理学基础的情感断言更有说 服力。正是从一种压抑的情绪中,存在主义发起了对理性主义的反 叛。这种反叛导致了一种奇怪的个人世界观,即现实世界是自由的一 个障碍。理性主义者在探讨关于自然运行的知识时看到了自己的自 由;而存在主义者则在自己的情感放纵中看到了自由。支撑这一切的 基本逻辑观点,可以追溯到谢林对黑格尔的批判。从普遍逻辑原理中 是不可能推导出存在的,任何正统的经验主义者都乐于赞同这样的批 判。不过,由于前面已经对这个问题谈了很多,因此就不必再作补充 了。 的确,假如在这一批判的基础上演绎出了某种存在主义心理学, 似乎就推翻了这个值得称道的批判。这也正是萨特理论想要实现的目 标。在对各种心理状态的描述中,含有许多有趣、有价值的意见,但 人们如果根据这种方式来行动和感知,则不是“存在并非逻辑上必然 的”这一事实的逻辑结论,否则就会在同时既肯定又否定谢林的观 点。所以,虽然人们完全可以认为心理观察是精确的,但要想把这种 观察结果转化为本体论,则是行不通的,而这正是萨特的著作《存在 与虚无》的目的所在。该书具有朦胧的诗意和奔放的语言,可算德国 传统的上乘之作。该书试图把个别的人生观转化为本体论,对于传统 哲学家(不管是理性主义还是经验主义)来说,这似乎是一个古怪的 想法,就像有人要把陀斯妥也夫斯基的小说变成哲学课本一样。 需要注意的是,存在主义者可能会反驳说,我们的批判并不中 肯,因为我们用的正是理性主义标准,我们不是在讨论存在主义问 题,而是在理性主义逻辑的范围内活动。也许的确如此,不过,这样 的异议也可以反过来驳斥自己。这纯粹是另一种说法,即任何标准都 只能在理性领域内起作用,语言也是如此,所以,利用语言来宣扬存 在主义学说是危险的。或者,也可以满足于某种诗性的抒发,这样, 每个人都能从中获益。 ◎ 加布里尔·马塞尔 加布里尔·马塞尔和萨特的不同之处在于,其存在主义哲学具有 宗教倾向。在这方面,它有些类似于雅斯贝尔斯的学说。像所有的存 在主义思想家一样,马塞尔也特别关注个人及其对人类独特处境的具 体经验。至于一般的哲学,马塞尔认为有必要超越分解、分析式的通 常反思。为了看清整体意义上的实在,我们必须把被理性主义分解的 各个片断重新组合在一起。这种综合性操作是通过马塞尔的“第二力 量反思”来实现的,其意义在于表达更为强烈的概念和更高形式的反 思。“第一力量反思”是外向的,而更高的“第二力量反思”则是内 向的自我审视。 肉体与心灵关系是马塞尔考虑的问题之一,它源于马塞尔对人类 困境的关注(如个人在某个特定的现实背景中被打倒),他对笛卡尔 二元论的批判,使人想起贝克莱,后者批驳了那些把视觉混同于几何 光学的人。说心灵有别于肉体,等于是设置了一个暗喻:不知为什么 心灵游离于肉体之外,而且心灵与肉体是两个不同的东西。大体上 说,这似乎就是马塞尔十分合理的观点。但他把问题的解决和综合反 思联系到了一起,而我们却觉得,在此稍作语言分析就可以揭示出谬 误所在。 产生于世纪之交的实证主义,其代表人物之一是马赫,我们在前 文已经谈到过他的力学著作。在随后的二十年里,他逐渐对符号逻辑 产生了更大的兴趣。这两种趋向的结合,形成了以施里克为中心的新 运动。施里克和马赫一样,也是维也纳大学的教授,以他为首的团体 被称为维也纳学派,他的哲学后来作为逻辑实证主义而广为人知。 逻辑实证主义正如其名称所示,它首先是实证主义的。该学说坚 持认为,我们的全部知识都来自科学;严格地说,旧的形而上学全是 空话。除了经验,我们不可能认知任何别的东西。假如抛开“本体” 不论,那么这一观点就类似于康德的思想。他们不仅坚持经验性的考 察,而且提出了一种内涵标准,后者与实验室科学家的传统实用主义 有些关系。这就是著名的可验证性原则,根据该原则,一个命题的内 涵就是其验证方法。它派生于马赫,马赫在定义力学术语时就使用了 这种方法。 虽然逻辑实证主义运动发源于维也纳,但却并没有在维也纳维持 下来。1936年,施里克被他的一名学生杀害了。由于纳粹政权的禁锢 即将到来,学会其他成员认为有必要搬到别的地方去定居,结果,他 们都去了美国或英国,卡尔纳普去了芝加哥,韦斯曼去了牛津。与科 学语言的统一化趋势相一致的是,该运动在战争爆发前夕出版了《统 一化科学的国际百科全书》的首批专著。这套书由芝加哥大学出版社 出版,主编奥·纽拉特于1945年在英国去世。因而逻辑实证主义就从 其故土移植到了英语国家,并再次与不列颠经验主义的古老传统发生 了联系;在某种程度上,它是这一传统的受惠者。在英国,逻辑实证 主义学说通过A.J.艾耶尔的《语言、真理与逻辑》(1936)一书首次 赢得了广泛的关注。 ◎ 奥·纽拉特利 ◎ 对于时间里的一切,我们都可以问在它之前发生过什么。 实证主义运动的内部盛行着某种共同的立场,即轻视形而上学, 重视科学。但别的领域却在逻辑、科学方法问题上存在着很大的分 歧,尤其是“可验证性原则”遭到了各式各样的解释。事实上,实证 主义运动的历史就是围绕如下探讨来发展的:可验证性原则究竟有着 什么样的地位和意义? 和真理的实用主义理论一样,内涵的可验证性理论也面临着难以 自圆其说的困境。因为,如果我们已经找到了某种验证命题的方法, 并对这种方法进行一番描述性的解释,那么我们现在就可以问:这种 解释的内涵是什么?这就立即导致了内涵需要验证的无限循环,除非 我们在某个阶段认为命题的内涵就在眼前,不必验证。但这样一来, 最初的原则就被打破了,而且我们还可以说:内涵能够被立即直接辨 识出来。 实证主义者进一步的困难,就是要把一切哲学思辨当做毫无意义 的东西予以抛弃,因为,可验证性理论本身就是一种哲学理论。为了 尽可能避开这一难题,施里克论证说:可验证性原则实际上深藏在我 们的行为之中,之所以要费这么多笔墨来陈述它,只是为了提醒我们 事实上自己是如何去做的。但是,如果真是这样的话,那么这一原则 就最终是正确的,从而表达了某个哲学立场,因为,大家都承认它并 不是经验科学的一个陈述。 施里克试图摆脱连续性验证的无限循环。他认为,内涵最终是从 明显的经验中推导出来的,是后者把前者赋予了命题。卡尔纳普在寻 求类似的目标,他试图建立一套形式逻辑体系,把认识论问题纳入原 始理念,这些理念则由认可相似性的某种基本关系联系到一起。这种 办法的基础是一个与真理理论对应的心照不宣的假设。作为对认知问 题的一种解释,该理论的缺陷在于:它要求我们成为局外人,让经验 与命题自己去进行比较。 纽拉特意识到了这一困境,他坚持一个命题只能和另一个命题相 比较。按照他的看法,向命题提供支持的是“拟定性陈述”;他把这 种陈述和通常的经验性陈述放在一起来考虑,也就是说,它们并不是 必然的。卡尔纳普采取了相似的看法,但他认为“拟定性陈述”是不 容置疑的起点,这种观点有点笛卡尔主义的意味。无论在什么情况 下,这种探讨问题的方法都会使我们按照传统理性主义的方式,得出 一种一贯性的真理理论。 在逻辑实证主义哲学的根本问题上,卡尔纳普最终把注意力转向 了大不一样的立场。如果人们能够发明某种形式化的语言,其结构是 如此奇妙,以至于使不可验证的陈述无法得到阐述,那么使用这样一 种语言,就可以让一切实证主义者心满意足。可验证性原则就被按原 样植入了该体系的句法之中。不过,这种处理问题的方法也不够充 分。首先,内涵的问题不可能纳入句法结构,因为后者涉及的是遣词 造句的方式。其次,构建这样一种体系,等于是在心照不宣地设想: 现在,所有的发现都已经完成。在某些方面,它等于是黑格尔的体 系,后者的基础也是相似的观点,即世界已经进入了最后的阶段。 ◎ 路德维希·维特根斯坦 尽管维特根斯坦不是维也纳学派的成员,但在逻辑实证主义者看 来,他仍是一位非常重要的人物。他早期的逻辑理论对前者的思想产 生过很大的影响。不过,当逻辑实证主义扎根于英国之后,给它带来 全新转变的却是维特根斯坦后期语言学的发展。 实证主义运动产生了各种各样的学派,其中最重要的学派之一就 是语言分析学派,在过去数十年中,它主导了英国哲学。和正统的逻 辑实证主义一样,语言分析学派也坚持以下原则:一切哲学困惑都是 在语言运用上敷衍的结果。因此他们认为,每一个阐述得当的问题都 会有一个明确的答案。进行分析的目的就是指出“哲学的”问题产生 于对语言的随意滥用。如果阐明了这些问题模棱两可的解释,那就说 明滥用语言是没有意义的,困惑自然也就消失了。所以只要运用得 法,我们就可以把哲学看做某种语言疗法。 可以用一个简单的例子来阐明这种方法,尽管我并不认同针对这 一点的特殊论证。人们常常问自己,一切是如何开始的,是什么启动 了世界?或者说世界开始运行时是什么样子的?姑且不论答案,我们 先来仔细考察一下问题的措词。问题的中心词就是“开始”。在日常 交谈中,这个词是怎样运用的呢?为了解决这个附带的疑问,我们必 须考察一下使用这个词的一般情形。比如,一场交响音乐会可能在八 点开始。开始之前,我们可能要进城吃饭;结束以后,我们就要回 家。必须注意的一个要点是:只有问开始之前或开始之后发生了什么 才是有意义的。“开始”是指时间上的一个点,它标志了事件发生的 一个阶段。假如我们现在回到“哲学的”问题上来,立刻就会明白自 己正在以某种截然不同的方式使用“开始”这个词。因为我们从未打 算问每一件事开始之前都发生过什么。的确,通过这种方式,我们就 可以看到问题的错误所在。如同寻找某个圆的方形一样,寻找没有开 始的开始同样是不可能的。一旦明白了这一点,我们就不会再提这样 的问题,因为它是毫无意义的。 维特根斯坦(1889~1951)对英国的分析哲学产生了极大的影 响。他曾一度和维也纳学派有过接触,和该学派的成员一样,在希特 勒德国的风暴来临之际,他也离开了原来的居住地。他后来迁居到了 剑桥,1939年G.E.穆尔退休之后,他应聘担任了教授一职。出版于 1921年的《逻辑哲学论》,是他生前出版的惟一著作。他在书中提出 了“一切逻辑真理都是同义反复”的观点。根据他的专门含义来理 解,“同义反复”是一个命题,与之相对的是自相矛盾。在这个意义 上,“同义反复”基本上相当于更为常用的术语“分析”。在晚年, 维特根斯坦的兴趣从逻辑学转向了语言分析。就现存的记载来看,他 的观点见于教学笔记和他去世后才发表的论文集(我手头有其中两 卷)中。由于文体独特而深奥,他很难干脆利索地进行描述。至于他 晚年哲学理论的基本原则,用这句话来陈述也许是恰当的: “词的内 涵在于其运用”。 维特根斯坦在进行解释的过程中,提出了“语言游戏”的比喻。 按照他的见解,有些语言的实际运用就像是一场游戏,比如下棋,其 中既有对弈者必须遵循的一定规则,又有允许走棋的某种限制。后来 维特根斯坦完全摈弃了自己早年的《逻辑哲学论》,对当时的他来 说,似乎有可能把一切陈述都解析成不可再分的简单终极成分。所以 这一理论有时也被称为“逻辑原子论”,它与早期理性主义的单纯终 极学说有着许多共同之处。人们正是以它为基础,试图创造出能够极 其精确地表述一切的完美语言。维特根斯坦在晚年否认了创造这种语 言的可能性。我们永远也不可能完全避免混淆。 通过掌握各种语言游戏的规则,我们就可以从词汇的运用中获得 它们的内涵。也就是说,我们有时需要学习某个词的“语法”或“逻 辑”。这一专门术语在语言分析学中得到了广泛的传播。那么,形而 上学问题的产生就会是未能掌握词的“语法”的结果。因为我们一旦 正确地理解了规则,就没有理由提出这类问题了。语言治疗法已经治 愈了我们的“随意滥用”。 尽管维特根斯坦极大地影响了语言哲学,但在某种程度上,语言 分析还是按照自己的一些方式来发展的。尤其是在语言区别方面出现 了某种新的趣味,不管它具有什么样的疗效。一种新的经院哲学已经 产生,并像它的中世纪先驱一样,驶入了有些狭隘的轨道。绝大多数 语言分析流派都有一个共同的信念,即日常语言是充分适当的,困惑 来自哲学的谬误。这种观点忽略了如下事实:日常语言充满了过去哲 学理论逐渐褪去的色彩。 前面举出的例子揭示了应该如何来理解常用疗法。在清除深奥晦 涩、错综复杂的形而上学糟粕方面,这种分析法的确是有效的武器; 但作为一种哲学理论,它却存在着一些缺陷。的确,我本来应该想 到,哲学家们一直在默默地进行修正。今天之所以不愿意承认这一 点,是出于某种学问上的狭隘观念,这种观念似乎正是最近的新风 尚。尤其严重的问题是,日常用语被奉为一切争议的仲裁者。我认 为,日常语言本身也有被严重混淆的可能,这一点似乎是很显然的。 假如像对待善的形式一样来对待日常语言,不去探究它是什么、怎样 产生、运用和发展,那么这至少也是危险的。正如生活中所运用的那 样,心照不宣的假设就是具有某种优越性和潜在智能的语言。和它有 间接联系的进一步假设,则允许忽视所有的非语言知识,那些语言分 析的信奉者正是醉心于这种随意的做法。

    结束语

    我们的叙述已经接近尾声。现在,读者可能会问自己从中有什么收获。应该提醒读者的是,我们所讨论的每一个主题,都有完整的专著可供查阅。在本书的写作过程中,我只考虑了浩瀚资料中的一小部分。不过,仅仅熟读一本书(不管其范围多么宽广)是从来不会把读 者变成专家的。如果是单纯的阅读,即使读得再多,一个人对事物的 理解力也是不会自动提高的。除了扩充见闻以外,还必须对涉及的各种问题进行认真的思考才行。这也是研究哲学史的一个理由,在我们 处理每一个论题时,都会有专家提供如此齐备的详尽著作。 对于外行而言(实际上对学者也是如此),重要的是静下心来,不要草率行动,而要从宏观上把握问题。要做到这一点,就需要进行 一种既不庞杂,也不过于沉迷于细节的考察。这种考察首先要经过独 立思考。我们所作的并不是名词解释意义上的百科全书式阐述,无论 对人还是对思想,都根据需要有所取舍。我们最大的愿望就是提供普遍性思潮的概貌,同样,对历史背景资料也进行了严格的规划和精 简。本书无意向读者讲述历史,而是要经常提醒读者不要忽略产生哲 学观点的历史背景。另外,本书还强调了西方文化传统从古希腊到当 代的连续性。 可能有人会问,在这样一本历史书中,我们为什么没有给通常所 说的“东方智慧”留一席之地?对于这个问题,我们可以做出若干回 答。首先,由于东西方两个世界的发展有一定的隔离,所以单独讲述 西方思想是允许的。另外,这已经是一项足够艰难的工作。所以我们 才会做出选择,将探讨的范围限于西方。不过还有另一个理由是你必 须相信的,因为在某些十分关键的方面,西方的哲学传统有别于东方 的心灵思辨。东方文明不像希腊文明那样,允许哲学运动与科学传统 联袂发展。正是这一点赋予了希腊探索独特的视野,也正是这种双重 性传统造就了西方文明。 理解这种特殊关系是十分重要的。在特定领域内进行的科学探索,与哲学并不是一回事,但哲学思考的源泉之一却是科学。通常, 当我们考虑什么是科学的时候,就是在处理一个哲学问题;而对科学 方法原则的研究,也就是一项哲学研究。哲学家们关注的一个永恒的 问题,就是尝试用世界的普遍特征来解释它像什么。但是在这里,我 们要审慎地说清楚:以科学的方式去描述事实,并不是哲学研究的一 个恰当的目标。如果不尊重这一界限,系统的唯心主义者就会经常误 入歧途。哲学所能提供的是对经验探索结果的一种考察方式,是把科 学发现纳入某种秩序的一个框架。唯心主义者过去的尝试都没有越过 界线,完全处于自己的适当限度之内。 同时,我们可以指出,一旦开始从事科学工作,我们就已经陷入 了一种哲学的世界观。因为我们所说的常识,实际上就是有关事物本 性的心照不宣的普遍性假设。唤起人们对这种情况的注意,这也许就 是批判哲学的主要价值所在。不论如何,它并不是多余的,它提醒我 们:不管科学理论可以使我们采取什么有利可图的行动,它们的目标 都是要陈述世界上某种真实的东西。就像忘了数的用途是为了计算一 样,那些认为理论不过是抽象形式体系的人,也忘记了这一点。 探索的对象并不是我们的创造物。实际上,尽管出现了错误和幻觉,我们也确实还能够设法应付,并且常常感到难以觉察自己正在犯 错。但是,使我们获得正确认识的,并不是某些信仰提供给我们的那 种随意或内心的安宁。一个人可能会认为自己拥有无尽的财富,因为 这种想法能给他带来某种满足感。虽然确实有人接受这种观点,但总 的说来,银行经理们和法庭并不赞同他们的看法。有时候,探索的结 果是错误的,但这并不表明它们就是主观的。我们可以非常公正地看 到,如果说有错误的话,那么至少需要有一个当事人,自然本身是不 可能犯错的,因为它从不作任何表白。正是人阐述命题时才会犯错 误。也许实用主义理论的一个动机就来自这一事实。因为如果错误是 主观的(按照它与犯错者的联系来理解),而且谁也无法保证不犯 错,那么我们就会觉得自己总也走不出主观见解的范围。然而这种看 法是不对的。说错误总是不知不觉地出现,这是一回事;断定我们从 未正确过,又是另一回事。如果我所说的是事实,那么这个判断里就 没有任何主观因素。对错误来说也同样如此,如果我是错的,那么我 犯错就是一个关于认识世界的事实。重要的是强调公正探索的客观性 和所追求真理的独立性。有些人坚持真理是某种可延伸的、主观的东 西,但他却没有注意到:按照这一观点,探索就成了不可能的事了。 另外,他们还错误地以为,探索者不可能只服从自己的好奇心,而完 全忽视自己在发现中获得的利益。大多数研究并非如此,没有人会否 认这一点,但还是有一些例外。不能用实用主义概念来解释科学的历 史。 对于那些源于主观主义偏见的力量无穷的幻觉来说,尊重客观真理很可能起到急刹车的防范作用,这就呈现出了哲学思辨的另一个主 要动机。至此,我们谈到的只是科学及其运作的一般原则(也是哲学 研究的一个对象)。但是,作为社会动物的人,却不光是对揭示世界 感兴趣,在世界的范围内行动,这也是人的任务之一。科学考虑的是 手段,我们在此讨论的却是目的。人之所以会面对伦理问题,主要是 因为社会本性决定了这一点。科学能够告诉人实现某种目标的最佳方式,却不能告诉人应该追求什么样的目标。 关于伦理问题,我们已经了解了各种不同的伦理观。在柏拉图的 思想中,伦理最终与科学走到了一起,善即知识。如果真是这样,当 然令人鼓舞,但遗憾的是,柏拉图的观点过于乐观了。有时候,那些 最有知识的人倒有可能把知识转变成罪恶。无论如何,不管一个人有 多少知识,其知识本身是解决不了问题的。 还有理性与意志的普遍性问题。如果我们否定了“两者有充分的 余地达成一致”的看法,那么我们就只能像奥卡姆那样承认它们是彼 此独立的。当然,这并不是说它们完全没有联系。对于意志与激情来说,理智能够,也的确起到了制约和引导的作用;但严格地说,还是意志在选择目的。 这一事实产生了一项推论:我们无法对自己所追求的目标,或自 己所采取的伦理原则进行科学的证明。要使论证得以进行下去,必须一开始就承认某些伦理前提。因此,人们可能会理所当然地认为,他 们在行动上也应该这样去维护自己所处的社会,或者去促进社会体系 的某些变革。无论它有什么样的伦理前提,在这一基础上都有可能产生各种论证,以表明为什么要采取这样或那样的行动。有一个重点需 要注意,如果没有一个含有“应该”的前提,就无法推导出一个告诉 自己应该做什么的结论。 因此很明显,伦理要求可以因人而异。在伦理问题上,人们常常 会有不同的意见,这也是很正常的事。随之而来的是这样一个问题: 能不能找到一种具有一定程度普遍效力的伦理原则?不管怎样,伦理 原则要想被人接受,就不能取决于某一个人。我们得出的结论是:如果存在着具有普遍范围的伦理原则,那么它就必须适用于整个人类社 会。这并不等于“在所有的方面都人人平等”,如果硬说就是如此, 将是愚蠢的,因为事实上两者并不一样。人们在机会、能力和其他许 多方面都有差异,但是在伦理判断上,把他们归于某个特殊的群体是 行不通的。比如,我们主张一个人应该诚实,这一伦理原则就不取决 于当事人的身材、相貌和肤色。从这个意义上,伦理问题就产生了 “兄弟般的关系”概念。这一观点首先在斯多葛派伦理学说中得到了 清晰的阐述,而后又被基督教所采纳。 大多数文明生活原则都具有这样的伦理性质。我们无法用科学的 理由来解释为什么随意对别人施加暴力是不对的。我觉得那样做似乎 不对,还觉得自己的看法得到了广泛的认同;但至于为什么不对,我 却没有把握提出充分的理由。这些难题还有待解决,也许在某个适当 的时候,能够找到解决的办法。但同时,对那些持有相反观点的人来 说,这也暗示了他们应该提出这样一个问题:我对这些问题的看法是 否脱离了支持该看法的事实?这样,一条看似具有普遍性的伦理原 则,只不过是一种特殊的辩解罢了。 如前所述,尽管真正的伦理原则不会因人而异,但这并不意味着 所有人都是一样的。在各种众所周知的差别中,知识差别是一个特 例,我指的不仅仅是见闻,而且包括可以清晰有力地表达的知识。苏 格拉底认为知识倾向于与善一致;我们已经批判了这种理论的过于理 性主义化。不过,有一个观点是绝不能忽略的:苏格拉底很坦率地承认,一个人所知道的,不过是沧海一粟罢了。总之,更重要的是人应 该探求新知识。善就是公正超然的探索,这是源自毕达哥拉斯的一个 伦理原则。自泰勒斯时代起,不受追求者控制的真理探索,就一直是 科学运动的伦理推动力。必须承认的是,这确实没有触及滥用发明成 果所引起的伦理问题。不过,尽管我们应该正视这个问题,但如果把 这些完全不同的论点糅在一起,却也不利于我们理解这些问题。 因此,探索者要承担起一项双重性任务。一方面,尽力探求他的 独立研究对象,这正是他的使命,无论结果令人欣慰还是烦恼,他都 必须这么做,正如伦理原则对每个人都一视同仁一样,探索结果也不 一定会顾及我们的感情;另一方面,从伦理角度看,还有一个把探索 结果转化为善行的问题。 最后的问题是,应该如何理解真理是一件善事这个伦理原则。显然,并不是每个人都具备从事科学探索的能力,但也不可能在任何情 况下都犹疑不决,人必须思考,也必须行动。不过,有一件事却是人 人都能做到的,那就是允许别人自由决定是否对自己不愿意怀疑的问题做出判断。这也就顺便说明了公正的探索是与自由(可看做另一种善)相关的。在一个社会中,宽容是探索得以繁荣的一个先决条件。 言论和思想的自由是自由社会的强大推动力,只有这样,探索者才有可能在真理的引领下漫游。从这个意义上说,每个人都能够对这一至关重要的善做出贡献,尽管这并不表示我们要对每一件事都持相同的看法,但它可以保证不会人为地封闭任何探索之路。对于人来说,未经审验的生活,确实是不值得过的

  • 现代华语诗论

    北岛:古老的敌意

    所谓“古老的敌意”,从字面上来看,“古老的”指的是原初的,带有某种宿命色彩,可追溯到文字与书写的源头;“敌意”则是一种诗意的说法,指的是某种内在的紧张与悖论。我们不妨设想,如果里尔克安居乐业,甚至是房地产商,挥金如土,他能写出像《秋日》和《杜伊诺哀歌》这样的传世之作吗?

    大约一个世纪前,奥地利象征主义诗人里尔克在《安魂曲》中写下这样的诗句:“因为生活和伟大的作品之间/总存在某种古老的敌意”。

    20世纪开始的岁月,在汉堡和不来梅之间的小镇沃尔普斯韦德(Worpswede)聚集着不少艺术家和作家,包括里尔克。他们一起听音乐会、参观博物馆,在狂欢之夜乘马车郊游。其中有两位年轻漂亮的女画家就像姐妹俩,金发的叫波拉,黑发的叫克拉拉。里尔克更喜欢金发的波拉,但不愿意破坏这对理想的双重影像。在观望中,一场混乱的追逐组合,待尘埃落定,波拉跟别人订了婚。里尔克选择了黑发的克拉拉,与她结婚生女。七年后,波拉因难产死去,里尔克写下这首《安魂曲》献给她。

    这段插曲,或许有助于我们了解里尔克的诗歌写作与个人生活的关系。纵观里尔克的一生,可谓动荡不安,仅在第一次世界大战爆发前的四年间,他就在欧洲近五十个地方居住或逗留。里尔克在《秋日》一诗中写道:“谁此刻没有房子,就不必建造,/谁此刻孤独,就永远孤独”。这正是他漂泊生涯的写照。

    里尔克的这两句诗“因为生活和伟大的作品之间/总存在某种古老的敌意”,对我来说有如持久的钟声,绵延不绝,意味深长,尤其在当今乱世,或许可引发更深一层的思考——对于以写作为毕生事业的人来说,我们今天应该如何生活、如何写作、如何理解并处理生活与写作的关系。

    所谓“古老的敌意”,从字面上来看,“古老的”指的是原初的,带有某种宿命色彩,可追溯到文字与书写的源头;“敌意”则是一种诗意的说法,指的是某种内在的紧张与悖论。

    我们不妨设想,如果里尔克安居乐业,甚至是房地产商,挥金如土,他能写出像《秋日》和《杜伊诺哀歌》这样的传世之作吗?如果卡夫卡从未生活在父亲的阴影中,少年得志,婚姻幸福,一本本出书,整天忙着算版税,他能写出《城堡》和《审判》这样改变世界小说景观的作品吗?如果保尔·策兰的父母没有死于纳粹集中营,他没有饱经流亡之苦,会留下《死亡赋格》、《卡罗那》等伟大的诗篇吗?

    要说谁不想既过好日子,又写出伟大的作品呢?而这“古老的敌意”就是冥冥中上天的安排,两者似乎不能兼得。

    也许有人会提出反证,比如美国诗人华莱士·史蒂文斯,做过保险公司的高管,度过平静的一生,怎么也会写出《弹蓝色吉他的人》这样美国现代诗歌的经典之作?其实在表面的平静中,也可以找到某种潜在的“古老的敌意”。比如,他从小想当作家,遭到父亲反对,只好去学法律,取得律师资格后进了保险公司。他其实一直生活在父权意志的阴影中。

    我想从这两句诗出发,从三个层面谈谈“古老的敌意”。

    就社会层面而言,“古老的敌意”是指作家和他所处的时代的紧张关系。无论生活在什么样的社会制度中,作家都应远离主流,对所有的权力及其话语持怀疑和批判立场。在今天,作家不仅是写作的手艺人,同时也是公共事物的见证人或参与者,这种双重身份的认同构成写作的动力之一。换句话说,如果没有这种社会性的“古老的敌意”,几乎不可能写出好作品。当今世界,金钱与权力共谋的全球化取代了东西方冷战的格局,变得更加扑朔迷离更加瞬息多变因而也更加危险。除了对正统意识形态的抵抗外,在一个庸俗化和娱乐化主导的商业时代,我们也必须对所谓“大众”的主流话语保持高度的警惕——在“民主化”的旗帜下,文学艺术往往会沦为牟取暴利的工具。作家必须持有复杂的立场和视角,在写作内外作出回应。

    而这“古老的敌意”不能仅仅停留在政治层面。从人类历史的角度看,政治不过是短暂而表面的现象,如过眼云烟。作家要有长远而宽广的视野,包括对世界、历史、经济、社会、文化等诸多方面的深入观察与体验。

    如果继续推进,必然会触及到语言层面,那么“古老的敌意”指的是作家和母语之间的紧张关系。任何语言总是处在起承兴衰的变化中,作家要通过自己的写作给母语带来新的活力,尤其是在母语处在危机中的关键时刻。

    托马斯·特朗斯特罗姆说:“语言是与刽子手步调一致的。因而我们必须找到新的语言。”30多年前,中国人生活在某种官方话语的巨大阴影下。这种自1949年以来逐渐取得垄断地位的官方话语,几乎禁锢了每个人的思想方式和表达方式,甚至恋爱方式。那年头,词语与指涉的关系几乎都被固定下来,比如,“太阳”就是毛泽东,“红色”就是革命,“母亲”就是祖国或者党。正是当时处于地下状态的现代诗歌,向这种僵化的官方话语提出挑战,最终打破了这种语言的牢笼,承前启后,推动了现代汉语的转型与发展。

    如今我们面临的是完全不同的困境,现代汉语陷入新的危机——我们生活在一个充斥着语言垃圾的时代。一方面,是无所不在的行话,包括学者的行话、商人的行话、政客的行话,等等;另一方面,是沉渣泛起的语言泡沫,包括娱乐语言、网络语言和新媒体语言。这两种语言看似相反,却存在着某种同谋关系。在所谓全球化的网络时代,这种语言,与30年前相比,虽表现形式相反,但同样让人因绝望而感到无力。每个作家应正视这一现实,通过写作恢复汉语的新鲜、丰富与敏锐,重新为世界命名。

    最后是作家与自身的紧张关系,即作家对自己的“敌意”。换个通俗的说法,作家不仅要跟世界过不去,跟母语过不去,还得跟自己过不去。在我看来,一个严肃的作家,必须对自己的写作保持高度的警惕。

    我在最近一本书的序言中写道:“写作是一门手艺。与其他手艺不同的是,这是心灵的手艺,要真心诚意,这是孤独的手艺,必一意孤行,否则随时都可能荒废。在这个意义上,每个以写作为毕生事业的手艺人,都要经受这一法则的考验,唯有诚惶诚恐,如履薄冰。”

    海明威在《老人与海》中写道:“人生来就不是为了被打败的,人能够被毁灭,但是不能够被打败”。目睹某些同时代艺术家和作家的转变,让我深感惋惜,并借此不断提醒自己:与其说他们中很多人是被金钱被权力打败的,不如说是被自己打败的。换句话说,就是不再跟自己过不去,不再跟自己较劲儿了——其实这是最后一道防线,如果连这道防线都没有,就算是向这个世界彻底投降了,同流合污,无可救药。

    我们生活在一个危机四伏的时代,一个需要不断追问和质疑的时代。在这样的大背景中,“古老的敌意”为以写作为毕生事业的人提供了特殊的现实感和精神向度。

    我想顺便提一下所谓的“粉丝现象”。这本来是娱乐圈的事,现在扩展到文学界和整个文化界。我认为,这与我们文化中的“低幼化”(infantilization)倾向有关。“低幼化”是从精神分析学借用的概念,主要指人们自动降低智力水平的趋向。正如印度政治心理学家和社会学家阿希斯·南迪所指出的:“那么上千万人所经历的痛苦就将只能存活在人类的意识边缘,就像往常那样,成为代代相传然而渐渐褪色的回忆。”

    在这个意义上,某些作家和学者不再引导读者,而是不断降低写作标准,以迎合更多的读者。这是一种恶性循环,导致我们文化(包括娱乐文化在内)不断粗鄙化、泡沫化。在我看来,“粉丝现象”充满煽动与蛊惑色彩。教主(作者)骗钱骗色,教徒(粉丝)得到不同程度的自我心理安慰。

    让我们再回到本文的开头,回到里尔克的《安魂曲》的诗句中:“因为生活与伟大的作品之间/总存在古老的敌意”。其实可怕的不是苦难与失败,而是我们对自己的处境浑然不知。如果在大国兴起的广告牌后面,是一个民族的精神赤贫,我们有什么可值得骄傲的呢?

    来源:南方日报

    臧棣:一首伟大的诗可以有多短——戴望舒《萧红墓畔口占》

    这里,我只想谈及戴望舒的一首短诗:《萧红墓畔口占》。

    多年来,我一直认为,这首诗是新诗桂冠上一颗闪耀的明珠。现在谈论诗歌时,我已很少使用听起来过分的言辞,但是我仍然禁不住想说,这首诗是一颗无与伦比的明珠,是珍品中的珍品。在新诗史上,十行以内的诗中,没有一首能和它相媲美。 
    《萧红墓畔口占》只有短短的四行: 

    走六小时寂寞的长途, 
    到你头边放一束红山茶, 
    我等待着,长夜漫漫, 
    你却卧听着海涛闲话。 

    这首诗最令人吃惊的地方,就在于展露了一种诗歌的成熟。这种成熟不仅涉及到诗人的心智(特别是生与死,自然与人生的关系,对自身境况的意识),也洋溢在诗歌的语言上(如此干净,朴素,洗练,而又富于暗示性);更为重要的、还在于其中所包含的不同层面的成熟之间的相互协调。 
    从类型上说,这首诗仿效了悼亡诗的传统,但由于诗人和被追悼者的关系只是作家之间的倾慕,所以它在借助悼亡诗的基本情景的同时,又迅速偏离了典型的悼亡诗的图式,转而探询人生的奥义。这首诗的基本场景是,一个男人在一个女人基前表达他的哀思。对于被悼念的对象。诗人并没有倾注过多的笔墨。比如像传统的悼亡诗那样,大肆渲染死者的品貌。在这首诗中,人们大致可以看出,作为诗人的戴望舒对作为一个女作家的萧红,是怀有好感的。这种好感最好被界定成一种作家之间的钦幕,而诗人在传达这种钦慕时,表现得非常克制,这种克制又透露出一种深沉的品质。所有这些,都是通过间接的方式表现出来的。首先是现象的陈述:“走六小时寂寞的长途”。耗费六小时去给死者上坟,而且完全是步行,这看似平淡的叙述中,却暗示出一个人对另一个人的深深的怀念。这里,有两个精确的细节特别强化了其中的情感意味。一是,时间的细节。诗人和女小说家之间并没有血统和亲情关系,连结他们的只是一种作家之间的友情。所以,诗人坚持步行六小时,去给另一个人上坟,便显得十分可贵。因为这种行为不出于义务,而是出于心灵深处的冲动与高贵。二是,历史的细节,或说,这首诗的写作年代。它不那么直接,却对理解这首诗非常关键。这首诗写于一九四四年秋天。当时整个中国正值烽火连天。在这样的战乱环境中,诗人默默地走上六小时去给一个亡故的友人上坟,便显得意味深长了。也正是在这里,这首诗开始偏离悼亡诗的传统范式、加入了谈论人的命运、生与死的关系以及对自身生命的意义的觉察的内涵。其次,间接的方式还表现在诗人所使用的一个隐喻:“红山茶”。这一隐喻非常生动地传达了诗人对萧红的赞美与激赏。在现代文学的传统中,“茶花”一直被赋予高洁、自然、清纯、朴素、秀逸等内涵。这首诗中,“红山茶”孕育这首诗的感情深度:细腻,深沉,节制,委婉中蕴涵着激情。 
    在这首诗的前两行,还有一个对比也运用得非常巧妙。六小时的行程喻示一种“长度”(时间上的,空间上的),而且诗人也点明了它的性质,它令人感到内心的寂寞。也不妨说,在这种“长度”里,还包含着一种“重”,即它通过寂寞给人带来了内心的沉郁,它指涉了我们内在意识中的生与死的关系。而“到你头边放一束红山茶”这一句,却闪露着一种动作上的短促与轻逸,只是那么轻轻地一放,将一束美丽的鲜花点缀在墓畔。一长一短,一重一轻,透露出诗人内心情感的波折。另一方面,它们也建构了这首诗层次分明而又曲折跌宕的结构。 
    “我等待着”,这是诗人对情景的现场说明,也是诗人对自己在时代与人生中所处的位置的一种解释;更进一步地,还是他对自己在那样一种位置上他所展现的人文姿态的一种省察。“等待着”什么呢?问题早已经提出,它们纷繁复杂,涉及人生,自我,生与死,时代的前景,个人的前途,心灵的隐秘的渴望。答案呢?它似乎存系于茫茫天地间。后两行诗中的转折句法,也可以理解成一个特殊的悖论。表面上,“长夜漫漫”代表了一种特殊的时间现象,它独自流逝,超然于人生,拒不回答诗人在他的心灵里的追问与等待。而“你”,由于身处冥界,也无法应答诗人内心的期盼与疑问。但在另一个层面,作为心智成熟的诗人,戴望舒实际上懂得,在某种意义上,他期待的回答(至少是部分)已存在“长夜漫漫,你却卧听着海涛闲话”这样情景之中。在这种情景中,安详、恬淡、超然,甚至某种冷淡,都构成了对人生的评价,并将这评价延展到对生与死的领悟中。此外,在这里,“闲话”一词,还给这首诗带来了一种特殊的反讽意味,这种意味反过来又揭示了诗人内心的成熟,特别是在面对命运多舛的人生的时候。
    如果非要谈新诗语言的成熟的问题的话,那么在这首诗中,戴望舒所展现的诗歌上的成熟是令人惊叹的。首先是语言简朴,干净,亲近口语,节奏按照诗人内心的情感的波纹进行了锤炼,而且非常谐调。其次,在修辞上,诗人对他早年的夸饰倾向也有所节制,隐喻的运用和诗人对人生的洞察结合得异常准确。再次是结构上的平衡。这首诗在主题上承载了丰富的内涵,也融有多重的对比关系,却仍然保持着一种艺术的平衡。在视觉上,它展得像一幅画,而在心理上,它展现为一种从容面对各种命运的情境。就阅读而言,它更是符合诗歌的现代趣味。它自身的蕴藉饱满、自足,有深邃的玄想,又有克制的反讽;同时,也给每一位接触它的读者留下了充分的空白。

  • 女性拐卖的文艺叙事

    本文的案例均来自公开的和有据可查的资料,如有信息不准确处,请联系我们。

    多角度叙事

    女性拐卖是一个长期可见的现象,有着广泛的社会背景,如长期积累的黑恶力量、发展不均衡、贫困、男女比率失衡等。

    传统农业时代流传下来的“牛郎织女”的故事即充满了相关隐喻:牛郎在老牛的引导下取走正在洗澡的织女的衣服,利用女性的弱势心理而成就一段姻缘。

    二十世纪八十年代,转型社会各种社会问题比较突出,当时就曾有过相当尖锐的报导。

    新世纪较早见于主流媒体的文艺作品的叙事来自2008年6月3日在中央电视台电视剧频道首播的电视剧《阿霞》。该剧由中央电视台文艺中心影视部、山西黄河影视社、山西广播电视总台等联合出品,谭文峰编剧、文世斌执导,描述的是高考落榜的四川女孩阿霞外出被欠债的表哥骗到吕梁大山里与比她大十来岁的山民王二串成婚,后带领村民共同富裕的故事。

    此后还有,2009年04月22日上映的由胡明钢导演的《嫁给大山的女人》,描述了打工妹山菊在回乡途中被人贩子骗入大山中,最后成为代课老师的故事。该片根据2006年度感动河北十大人物郜艳敏的真实事迹改编。1994年,郜艳敏在买票回家时被两个人贩子以招工为借口拐卖,并最终被以2700元卖给太行深处的河北曲阳县灵山镇下岸村的一个羊倌。被卖后,她多次逃跑未遂,曾三次自杀,都被人发现后救起。之后郜艳敏在村里当上代课教师,2006年成为“感动河北”十大年度人物。2015年7月29日,郜艳敏接受《南方都市报》采访时身份仍是下岸村“临时代课教师” 。

    这两部文艺作品均带来极大争议。

    相关作品还有李杨当导演2007年拍摄完成的《盲山》,原型即来自《光明日报》1988年6月的一篇报导,但影片在国内没有公演。

    对于这一现象的讨论中一个耐人寻味的观点来自作家贾平凹。贾平凹长篇小说《极花》涉及妇女拐卖题材,2016年4月14日下午,在京召开的新书发布会上,贾平凹和《北青报》有过一段对话。部分内容如下:

    北青报:遭遇被拐卖,还要怪女性太善良?
    贾平凹:我是说,要有防范能力,不为了金钱相信别人,就可能不会有这样的遭遇。这个人贩子,黑亮这个人物,从法律角度是不对的,但是如果他不买媳妇,就永远没有媳妇,如果这个村子永远不买媳妇,这个村子就消亡了。
    北青报:您的意思是,为了村庄不消亡,买卖是可以被接受的?
    贾平凹:法律和人情常常是相悖的。而小说中往往要写的是感情的东西。没有买卖自然就没有伤害。但为什么打击拐卖几十年,还是不能杜绝?这只是表面危机,社会深层的危机是社会结构、社会分配发生变化,产生了很多城市和农村的不协调,导致了各种的情况。这些危机,作家可以思考,但是如果想解决单靠作家是没有用的。(文字记录者:《北青报》记者张知依)

    法律是明令禁止拐卖女性且规定清晰,因此并不存在争议。然而,现实中为何产生众多拐卖现象及存在众多争议,比较难以理解。

    《中华人民共和国刑法》相关规定:第二百四十条【拐卖妇女、儿童罪】拐卖妇女、儿童的,处五年以上十年以下有期徒刑,并处罚金。第二百四十一条 【收买被拐卖的妇女、儿童罪】收买被拐卖的妇女、儿童的,处三年以下有期徒刑、拘役或者管制。

    这类现象的一个社会叙事的参与高峰应属2022初的“丰县八孩女”,恰逢盛大的冬奥会召开之际,这一现象激起了社会广泛的焦虑感,网络上兴起“离大国公主很远,离丰县八孩女很近,天堂和地狱只差一记闷棍”这样的流行语。

    社会焦虑和社会争议的根源之一可能是“八孩女”事件导致了民众对法律体系和社会治理体系一定程度的信任危机。

    八孩女

    事件的起始

    2021年12月5日,江苏省徐州市“丰县红十字会、城管局老干部(疑似少了“局”字)的青年志愿者到欢口镇低保户家中献爱心”:

    “十二月五日,一辆载着爱心物资的汽车停在了欢口镇董庄村董志民家的门前。村民们争相观看,交头接耳的议论着。

    ”经了解,原来是丰县爱心人士在进行善举捐助活动。欢口镇董庄村离县城较远,那么他们怎么了解,董庄村的这户特困户呢?带着这个问题,我拨通了志愿者领队石怀举同志的电话,他告诉我这几年丰县变化很大,物质上生活上环境上都有了极大的改善,但还是有极少数人因生活中的疾病,意外等原因,导致生活困苦。董庄村董志民就属这类困难,母亲八十多岁,还有残疾弟,本身又有八个孩子实在艰苦,最大的才十岁,最小的三3岁,村里镇里的各级领导虽然都已尽力帮助,仍然生活在拮据之中。

    “这是爱的奉献,这是力量的源泉,丰县这块热土上满满正能量,处处有爱心,丰县志愿者们还在为这个低保家庭献上四千多元慰问金以备越冬之用。(捐赠名单附后)五十元,一百元,二百元,四百元…几十位爱心人士你们是丰县人民的脊梁,是善举的撒播者,更是丰县文明的心灵美容师,再一次向你们致敬!丰县爱心志愿者们现场为孩子们理了发,穿上了捐赠的衣服时,孩子们天真无邪的脸上露出无限兴奋笑意…:爱的温暖将使这群孩子绽放出美丽花朵,冬天已到,春天还会远吗?相信有爱心的人,没有冬天。捐赠的款用于小孩子们购买学习用品,成为国之栋梁。”

    这表明丰县是属于政府管理的地方,也是领导的阳光和温暖能照耀到的地方。

    这种正能量之举,自然吸引了众多网红的流量追逐。

    2021年12月,抖音的一场网红直播中,偶然出现一个镜头:大冬天里,一个衣衫单薄、表情呆呆傻傻的女人被铁链拴在一间破屋之中。这个女人用四川与徐州方言夹杂的口音说“这个世界不要俺了”“这一屋子都是强奸犯”。

    直播相关的男主角是丰县的一位男性董某民,董某的抖音账号是”八个孩子的爸爸“,参与拍摄过不少视频,在视频中他说自己当时三十多岁没结婚让村里人看不起,结果一下生了七个儿子,他希望通过以生育八孩、抖音晒娃方式走红,获取流量和收入。魔幻的是,董某因发布家里八个孩子的“快乐童年”视频居然收获了20多万粉丝,被装修公司和婚庆公司找去做广告,正儿八百的走上了“流量变现”的道路。

    然而,细心的网友发现上述画面突破了现代文明的底线,最终引起了社会全方位的愤慨。

    事件后续的发展几乎超出了所有人的想象,据说全球多种语言、超30亿人关注了此事件,参与点击数过百亿。

    官方的介入

    第一份公告:

    关于网民反映“生育八孩女子”的情况说明

    发现网民反映“生育八孩女子”相关信息后,丰县县委、县政府迅速成立联合调查组进行全面调查。经初步调查核实,网民反映的女子为杨某侠,1998年8月与丰县欢口镇董某民领证结婚,不存在拐卖行为。家人和邻居反映,杨某侠经常无故殴打孩子和老人。经医疗机构诊断,杨某侠患有精神疾病,目前,已对其进行救治,并对其家庭开展进一步救助,确保过上温暖的春节。具体情况正在进一步调查核实中。

    中共丰县县委宣传部 2022年1月28日 来源 | 丰县发布

    第二份公告:

    江苏省徐州市丰县关于网民反映“生育八孩女子” 情况的调查通报:公安机关已成立专案组对违法行为开展调查

    “丰县发布”1月30日23时40许发布关于“网民反映‘生育八孩女子’情况的调查通报”,全文如下:

    关于网民反映“生育八孩女子”情况的调查通报

    县联合调查组按照县委、县政府要求,就网民关心的相关问题,先后走访调查董某民及其家人、邻居、时任和现任镇村干部等人员,并查阅相关档案资料,现将情况通报如下:

    杨某侠(此姓名为董某民所取)于1998年6月在欢口镇与山东鱼台县交界处流浪乞讨时,被董某民的父亲董某更(已故)收留,此后就与董某民生活在一起。生活中发现,杨某侠有智障表现,但生活尚能自理。在办理结婚登记时,镇民政办工作人员未对其身份信息进行严格核实。

    2020年11月,公安机关将杨某侠DNA录入“全国公安机关查找被拐卖/失踪儿童信息系统”和“全国公安机关DNA数据库”比对,至今未比中亲缘信息。调查中也未发现有拐卖行为。其身份信息公安机关将持续深入调查。

    2021年6月以来,杨某侠病情加重,在发病期间,经常摔打东西、殴打家中老人和孩子。为防止杨某侠犯病时伤人,董某民暂时使用锁链约束其行为,精神状态稳定后便将锁链拿下。董某民行为涉嫌违法,公安机关已对其开展调查。

    2022年1月30日,经市县两级专家会诊,杨某侠患有精神分裂症。专家诊疗建议:仍予抗精神病药物治疗,必要时约束保护,防冲动伤人及走失。目前杨某侠正在医院接受治疗。

    董某民和杨某侠生育一孩、二孩后,镇计生部门均为其落实节育措施,但因身体原因失效。董某民也多次采取不同方式逃避计生部门的管理和服务。此后计生部门未及时实施有效节育措施。

    自2014年5月至今,民政、财政等部门为董某民家庭落实了低保和居民医疗保险政策。每年春节、中秋为其发放慰问金。其中3个孩子每学期享受750元/人的生活补助金,另有2个孩子每学期享受500元/人的政府资助金。村委会多年来经常为其提供生活物资资助。2021年镇政府为其发放危房改造补助3.7万元建设新房4间。社会爱心人士也多次为其捐钱捐物。

    联合调查组将对相关情况深入调查,对失职、渎职的工作人员依法依规处理。公安机关已成立专案组对违法行为开展调查,涉嫌犯罪的将依法处理。

    丰县联合调查组 2022年1月30日

    第三份公告:

    2月7日,徐州发布通报,公布调查进展:

    1月28日以来,“丰县生育八孩女子”引发社会广泛关注。2月7日晚,总台记者从江苏徐州市委市政府联合调查组了解到,针对此事暴露出的问题和网友关切,徐州市委市政府及丰县县委县政府分别成立联合调查组,组织力量走访基层派出所、镇村干部群众,调阅档案资料,咨询相关法律专家。目前,杨某侠的身份已经公安部门调查认定,有关部门对八个孩子与董某民、杨某侠的关系作出了鉴定。纪检监察机关正在对此事中涉嫌失管失察失职渎职等问题的有关人员进行调查。

    关于杨某侠身份问题,调查组通过查阅董某民、杨某侠婚姻登记申请资料,发现其中含有“云南省福贡县亚谷村”字样,当即派员赴云南进行核查。调查人员以福贡县亚谷村为重点,并扩大至周边多个乡镇开展调查走访,同时发布协查通告。警方通过查阅户籍底册,组织亚谷村村干部及村民比对照片、口音,确定杨某侠原名为小花梅(父母已故),云南省福贡县亚谷村人。据小花梅的亲属和同村村民回忆,小花梅1994年嫁至云南省保山市,1996年离婚后回到亚谷村,当时已表现出言语行为异常。据小花梅亲属反映,同村的桑某某(女,当时已嫁至江苏省东海县)将小花梅带至江苏治病。目前,丰县警方已找到桑某某了解情况,桑某某称,当年她是受小花梅母亲所托,带小花梅到江苏治病并找个好人家嫁了,两人从云南省昆明市乘火车到达江苏省东海县后小花梅走失,当时未报警,也未告知小花梅家人。后续调查情况将适时公布。

    联合调查组组织市县两级医疗专家对杨某侠精神分裂症进行会诊,并实施综合治疗,目前杨某侠的精神状况趋于稳定。经诊断:杨某侠牙齿脱落因重度牙周病所致。经入院体检,杨某侠其他健康指标正常。

    经南京医科大学司法鉴定所DNA鉴定,八个孩子和董某民、杨某侠均符合生物学亲子关系。

    公安机关已对董某民是否涉嫌违法犯罪开展调查,有关情况将适时公布。后期将根据对董某民的调查处理情况,依法确定对其未成年子女的监护责任。

    市县两级党委政府将从此次事件中深刻汲取教训,健全工作机制,落实有效措施,进一步加强对各类困难群体的帮扶保障。

    徐州市委市政府联合调查组 2022年2月7日

    第四份公告:

    2月10日,@徐州发布 通报“丰县生育八孩女子”事件调查处理情况。通报全文如下:

    近日,经部、省、市公安机关对杨某侠、光某英(小花梅同母异父妹妹)与普某玛(已去世,小花梅母亲)生前遗物进行DNA检验比对,结果为普某玛与杨某侠、光某英符合母女关系,结合调查走访、组织辨认,认定杨某侠即是小花梅。

    经公安机关侦查,董某民(男,55岁,丰县人)涉嫌非法拘禁罪,桑某妞(女,48岁,云南省福贡县人)、时某忠(男,67岁,东海县人,桑某妞丈夫)涉嫌拐卖妇女罪,上述三人已被采取刑事强制措施。

    为保障杨某侠及其家人基本生活,丰县民政部门已对他们进行低保保障。教育部门依法依规落实学生资助政策,保障其子女受教育权利。妇联的爱心志愿者和镇、村干部帮助照顾其老人,对其子女进行关爱陪伴和生活照料。后期将根据对案件的处理情况,依法确定对其未成年子女的监护责任。

    徐州市委市政府联合调查组 2022年2月10日

    由于这些公报在民众的放大镜下存在众多矛盾很问题,2月17日,江苏省委省政府决定成立调查组:对“丰县生育八孩女子”事件进行全面调查,彻底查明事实真相,对有关违法犯罪行为依法严惩,对有关责任人员严肃追责,结果及时向社会公布。

    第五份公告:

    江苏省委省政府调查组发布丰县“八孩事件”调查处理结果:

    “丰县生育八孩女子”事件发生后,江苏省委和省政府高度重视,要求并指导徐州市迅速查清事实,依法严肃处理,切实维护群众权益,及时回应社会关切,省直有关部门参与调查工作。2022年2月17日,省委和省政府成立调查组,进行全面深入调查核查。事件发生以来,调查人员除在我省开展调查工作外,还赴云南、河南等相关省开展实地调查,共走访群众4600余人次、调阅档案材料1000余份。现将调查处理情况通报如下。

    一、关于“丰县生育八孩女子”身份认定情况

    2022年1月27日,社交网络平台流传“丰县生育八孩女子”的相关视频。经核查,视频中涉事女子现户籍登记名为杨某侠,其丈夫为董某民,家住江苏省丰县欢口镇董集村(后并入李庄行政村)。根据2000年6月董集村委会会计邵某征出具的董某民、杨某侠婚姻登记申请资料,公安机关获取了杨某侠来自“云南省福贡县亚谷村”的线索,随即组织警力赶赴云南,会同当地警方,以福贡县亚谷村为重点,在周边乡镇就杨某侠身份开展走访排摸,让相关群众辨认杨某侠结婚登记照片、现实生活照片。据和某某(亚谷村原村干部)反映,杨某侠可能是本村的小花梅(父母已故)。根据进一步调查走访得到的线索,公安机关在河南省项城市找到小花梅同母异父妹妹光某英(原名花某英)。2月9日,经公安部物证鉴定中心对杨某侠、光某英血液样本与普某玛(小花梅母亲,2018年去世)遗物上提取的生物检材进行DNA检验比对,结果为普某玛与杨某侠、光某英均符合生物学亲子关系。2月13日,公安部物证鉴定中心又对桑某罗(小花梅大舅)、李某元(小花梅小舅)、沙某付(小花梅大姨)、李某梅(小花梅小姨)血液样本进行DNA检验比对,与杨某侠均符合亲缘关系。2月20日,公安部物证鉴定中心对上述检验对象的检材再次进行检验比对,检验结果与之前一致。综合DNA检验比对、查阅小花梅云南户籍底册和调查走访,认定杨某侠即小花梅(户籍登记姓名为小花梅,出生日期为1977年5月13日,云南省福贡县亚谷村人)。

    针对“董某民、杨某侠结婚证照片上的女子与杨某侠不是同一人”的问题,公安机关调查发现,杨某侠近照系从抖音视频中截取,经修图后流传到网上,与实际容貌有差异。同时,受年龄增长造成的皮肤老化、毛发退化、脂肪组织液化以及牙齿缺失等因素影响,杨某侠容貌也发生了变化。2月22日,公安部物证鉴定中心人像鉴定,杨某侠与董某民结婚证照片与杨某侠在云南第一次结婚照片、网传视频截图杨某侠照片、杨某侠身份证照片、杨某侠近照反映出的人像特征相同,认定为同一人。

    针对“杨某侠可能是四川籍失踪女子李莹”的问题,公安机关开展专门调查。经江苏公安机关会同四川公安机关将李莹母亲与杨某侠进行DNA检验比对,结果排除生物学亲子关系。后经南京医科大学司法鉴定所对李莹母亲与杨某侠进行DNA检验比对,结果仍排除生物学亲子关系。2月20日,经公安部物证鉴定中心鉴定,再次排除李莹母亲和杨某侠存在生物学亲子关系。据此认定杨某侠与李莹不是同一人。

    二、关于小花梅从云南省福贡县到江苏省丰县过程

    经走访,福贡县亚谷村村民及小花梅舅舅、姨妈等亲属以及知情群众反映,小花梅1980年跟随改嫁的母亲从云南省福贡县匹河乡普洛村到子里甲乡亚谷村生活,1995年嫁到云南省保山市,1997年离婚后回到亚谷村。小花梅亲属、同村村民反映其回村后言语行为异常。调查走访中群众反映,1998年初,小花梅被桑某妞(女,1974年7月出生,云南省福贡县人)从亚谷村带至江苏省东海县。经查,桑某妞于1995年嫁给东海县时某忠(1955年4月出生),2000年12月,桑某妞、时某忠夫妻二人因其他拐卖妇女儿童犯罪分别被判处有期徒刑五年和七年。

    2022年2月6日,公安机关对桑某妞、时某忠涉嫌拐卖小花梅的犯罪行为立案侦查。据桑某妞、时某忠与徐某东(男,1965年11月出生,江苏省东海县人)供认,1997年底,时某忠与徐某东商议,由桑某妞帮徐某东找一个媳妇,但需要花钱,徐某东表示同意。据桑某妞供述,1998年初,她以给小花梅介绍对象、看病为由,将小花梅带至东海县卖给徐某东,收取现金5000元。据徐某东供述和邻居陈述,徐某东与小花梅共同生活三四个月后,于1998年5月上旬某日早晨发现小花梅不知去向,请邻居及亲属一起寻找两三天未果。后徐某东向时某忠索要了2000元“赔偿金”。

    围绕小花梅如何从东海县到丰县的问题,公安机关展开深入侦查调查。经进一步审讯深挖,董某民交代,小花梅是1998年6月其父亲董某更经刘某柱(丰县欢口镇人)介绍花钱买来。经审讯,刘某柱对犯罪事实供认不讳。公安机关先后抓获霍某渠、霍某得(二人均为丰县欢口镇人)及谭某庆、李某玲夫妇(河南夏邑县人)。据4人交代情况,谭某庆、李某玲夫妇在夏邑县骆集乡经营的饭店内,发现流落至此的小花梅,将其收留一个月后卖给在饭店附近工地务工的霍某渠、霍某得,二人将小花梅带回丰县经刘某柱介绍转卖给董某更。相关犯罪事实仍在深入侦查中。

    2000年6月,董某民为办理结婚证,找村委会会计邵某征开具婚姻状况证明时,经人建议将杨某英改为杨某侠。欢口镇民政办工作人员按董某民自报的信息违规办理结婚登记,将结婚日期登记为1998年8月2日、杨某侠(由于笔误将杨某侠写成“扬某侠”)出生日期登记为1969年6月6日。据董某民供述,2011年3月,杨某侠在欢口镇卫生院生次子时,登记产妇信息为“杨某英”,卫生院要求提供新生儿母亲身份证,其父董某更找人做了一张“杨某英”的假身份证。2020年11月,董某民为办理低保,申请为杨某侠落户,公安机关按规定将杨某侠DNA信息录入“全国公安机关查找被拐卖/失踪儿童信息系统”和“全国公安机关DNA数据库”比对,未比中。2021年4月14日,欢口派出所按照无户口人员登记户口的规定,为其办理该镇集体户口与身份证,并按照结婚证上的姓名和出生日期,登记为杨某侠,1969年6月6日出生。董集村村干部和村民证实,杨某英、杨某侠名字经常混用,实际系同一人。

    三、关于杨某侠(小花梅)精神与身体状况

    据董某民供述和多名村民反映,1998年6月,杨某侠刚到董家时生活基本能够自理,能与人交流,但有时存在痴笑、目光呆滞等表现。董某民称,杨某侠曾告诉自己她老家在云南省福贡县亚谷村。据董某港(杨某侠长子)反映,小时候母亲有时还接送自己上下学。据董某民亲属反映,2012年杨某侠生育第三子后,精神障碍症状逐渐加重。2022年1月30日,经徐州市医疗专家会诊,诊断杨某侠患有精神分裂症。2月19日,经南京脑科医院司法鉴定所司法鉴定,结论为杨某侠患精神分裂症,受目前精神状态影响,难以正常接触交流。2月20日,省公安厅委托中国政法大学证据科学研究院(法庭科学技术研究所)进行复核鉴定,结论一致。目前,杨某侠正在医院接受治疗。

    入院检查结果显示,杨某侠除精神及牙齿疾病外,未发现其他疾病。2月4日,徐州市口腔医学专家对杨某侠进行口腔检查和CBCT读片认为,杨某侠口腔卫生长期较差,患有牙周疾病,未进行治疗,部分牙齿逐步脱落。2月9日,经南京市口腔医院专家再次诊断,杨某侠患有重度慢性牙周炎,认为重度牙周炎可导致牙齿松动脱落。2月20日,省公安厅委托北京大学口腔医学院、首都医科大学北京口腔医院、浙江迪安鉴定科学研究院3名专家对杨某侠牙齿状况进行会诊,结论为杨某侠患有重度慢性牙周炎,未发现外伤致牙齿缺失的客观证据。

    四、关于杨某侠(小花梅)生育八孩情况

    杨某侠与董某民共生育8名子女,户籍信息显示,长子董某港于1999年7月出生、次子2011年3月出生、三子2012年4月出生、四女2014年11月出生、五子2016年5月出生、六子2017年5月出生、七子2018年11月出生、八子2020年1月出生。徐州市公安机关将8名子女与杨某侠、董某民进行DNA检验比对,结论为8名子女均与两人存在生物学亲子关系,后又委托南京医科大学司法鉴定所进行DNA检验鉴定,结论一致。2月20日,经公安部物证鉴定中心检验鉴定,结论仍然一致。

    调查发现,1999年杨某侠生育第一个孩子后,采取了节育措施,至2010年董、杨二人未生育,后节育措施失效,2011年至2020年又生育7个孩子。基层计生工作人员在跟踪管理、服务指导、信息采集等方面未能认真履行职责,负有失管失察责任。

    针对“小花梅第一个孩子董某港生于1997年”,经公安机关调查,查明欢口镇有两个姓名同为董某港的人,其中一人1999年出生,为杨某侠长子;另一人1997年出生,为邻村人,现在外打工。

    五、关于董某民等人涉嫌犯罪的情况

    2022年1月31日,公安机关以涉嫌非法拘禁罪对董某民立案侦查。据董某民亲属和村民证人证言、勘验检查、司法鉴定、书证、铁链等物证以及董某民的供述,2017年以来,董某民在杨某侠发病时对其实施布条绳索捆绑、铁链锁脖,有病不送医治疗等虐待行为。2022年2月18日,公安机关以涉嫌虐待罪对董某民提请检察机关批准逮捕。2月22日,丰县人民检察院经依法审查认为犯罪嫌疑人董某民虐待家庭成员情节恶劣,以涉嫌虐待罪依法批准逮捕。公安机关将对涉案犯罪事实,包括涉嫌收买被拐卖妇女等犯罪开展侦查取证工作。

    2月22日,丰县人民检察院对犯罪嫌疑人桑某妞、时某忠,以涉嫌拐卖妇女罪依法批准逮捕。公安机关将对涉案犯罪事实继续开展侦查取证工作。

    对犯罪嫌疑人徐某东、刘某柱、霍某渠、霍某得、谭某庆、李某玲,公安机关已立案并采取刑事强制措施,继续开展侦查取证工作。

    对涉及此案的犯罪嫌疑人将依法予以严惩。

    六、关于医治救助情况

    2022年1月28日,徐州市和丰县卫生健康部门将杨某侠送医院进行检查治疗,丰县政府安排人员与其长子董某港在医院陪护。目前杨某侠疾病治疗工作正在积极进行。

    省有关部门督促指导徐州市按照民法典、未成年人保护法和社会救助暂行办法给予供养,组建了“爱心妈妈”小组照顾其未成年子女,对杨某侠及其未成年子女指定监护人,落实低保、社保等政策和家庭生活照料、教育资助、关爱帮扶等具体措施。

    七、关于有关党员干部和公职人员失职渎职行为处理情况

    经纪检监察机关审查调查,责令徐州市委和市政府作出深刻检讨,对有关责任单位和责任人员依规依纪依法作出处理。

    丰县县委书记娄海,违反工作纪律,工作不负责任,存在形式主义、官僚主义,维护群众正当权利和利益不力,在精神障碍患者救治救助、计划生育管理等工作中失职失责,未认真组织核查事实,批准发布信息不实的情况通报,造成严重不良影响,决定给予其撤销党内职务、政务撤职处分。

    丰县县委副书记、县长郑春伟,违反工作纪律,工作不负责任,存在形式主义、官僚主义,维护群众正当权利和利益不力,在精神障碍患者救治救助、计划生育管理等工作中失职失责,未认真组织核查事实,同意发布信息不实的情况通报,造成严重不良影响,决定给予其党内严重警告处分,免去党内职务,责令辞去县长职务。

    丰县县委常委、宣传部部长苏北,违反工作纪律,工作不负责任,未认真核查事实,发布信息不实的情况通报,造成严重不良影响,决定给予其党内严重警告处分,免职处理。

    丰县人大常委会副主任孙寸贤,在担任丰县副县长期间,违反工作纪律,存在形式主义、官僚主义,对分管的计划生育、卫生健康工作不负责任,在精神障碍患者救治救助、计划生育管理工作中履职不力、失管失察,决定给予其政务降级处分。

    徐州市妇联党组成员、副主席高伟,在担任丰县卫健委主任期间,形式主义、官僚主义严重,工作严重不负责任,在精神障碍患者救治救助、计划生育管理工作中严重失职失责,涉嫌违纪违法,目前正接受纪检监察机关纪律审查和监察调查,并被采取留置措施。

    丰县欢口镇党委书记徐善修,在担任欢口镇镇长、党委书记期间,形式主义、官僚主义严重,工作严重不负责任,维护群众正当权利和利益不力,在精神障碍患者救治救助、计划生育管理工作中严重失职失责,涉嫌违纪违法,目前正接受纪检监察机关纪律审查和监察调查,并被采取留置措施。

    丰县欢口镇党委副书记、镇长邵红振,形式主义、官僚主义严重,工作严重不负责任,维护群众正当权利和利益不力,在精神障碍患者救治救助、计划生育管理工作中严重失职失责,涉嫌违纪违法,目前正接受纪检监察机关纪律审查和监察调查,并被采取留置措施。

    丰县县委统战部三级主任科员陈修峰,在担任欢口镇党委组织委员期间,违反工作纪律,对分管的计划生育工作不负责任,失管失察,决定给予其留党察看一年、政务撤职处分。

    丰县公安局四级高级警长程言伟,在担任丰县公安局党委委员、副局长期间,违反工作纪律,对分管的治安工作不负责任,对管辖范围内存在的虐待行为失管失察,对精神障碍患者排查救助工作组织推动不到位,决定给予其党内严重警告处分。

    丰县信访局副局长殷宪方,在担任丰县卫计委副主任期间,违反工作纪律,对分管的计划生育工作履职不力、失管失察,决定给予其党内严重警告处分。

    丰县公安局欢口派出所所长渠辉,违反工作纪律,工作不负责任,未经深入核查办理户口登记,对管辖范围内存在的虐待行为失管失察,对精神障碍患者排查救助工作落实不力,决定给予其开除党籍、政务撤职处分。

    丰县欢口镇综治办史瑞红,违反工作纪律,工作不负责任,对管辖范围内存在的虐待行为失管失察,对精神障碍患者排查救助工作组织落实不力,决定给予其开除党籍、政务撤职处分。

    丰县欢口镇原民政助理于法贞,在担任欢口镇民政助理期间,违反工作纪律,违规办理婚姻登记、变更结婚证登记时间,决定给予其开除党籍处分。

    丰县欢口镇计生站于秀娟,违反工作纪律,工作不负责任,对严重超生问题隐瞒不报、放任不管,决定给予其政务撤职处分。

    丰县欢口镇李庄村党总支书记、村民委员会主任李劲松,违反工作纪律,工作不负责任,对严重超生和虐待行为放任不管,对精神障碍患者救治救助不力,决定给予其开除党籍处分,责令辞去村民委员会主任职务。

    丰县欢口镇李庄村村民委员会原主任董正培,违反工作纪律,工作不负责任,对虐待行为和严重超生放任不管,对精神障碍患者救治救助不力,决定给予其开除党籍处分。

    丰县欢口镇李庄村党总支副书记董青华,在担任李庄村计生专干期间,违反工作纪律,工作不负责任,对严重超生问题放任不管,决定给予其撤销党内职务处分。

    “丰县生育八孩女子”事件暴露出我省有关地方党委和政府一段时间贯彻落实党中央决策部署不力,在基层组织建设、妇女儿童权益保障、特殊群体救助关爱等方面存在不少问题和短板,反映出少数党员、干部没有树牢以人民为中心的发展思想,形式主义、官僚主义严重,法治意识淡薄,导致基层服务管理缺位,维护群众合法权益防线失守,对有关失职渎职和违纪违法问题将进一步深入调查,并依纪依法严肃查处。我们将深刻汲取教训,加强基层组织建设和社会治理,加强干部作风建设,教育广大党员、干部始终坚持人民至上,站稳人民立场、厚植人民情怀,深入基层、深入群众、体察民情,增强法治意识,切实维护群众合法权益、兜牢民生保障底线。近期全省已部署开展专项行动,全面深入排查整治侵害妇女儿童、精神障碍患者、残疾人等群体权益问题,依法严厉打击拐卖妇女儿童和收买被拐卖的妇女儿童等违法犯罪行为,全面落实救助帮扶政策措施,切实维护好、保障好人民群众权益。

    江苏省委省政府调查组 2022年2月23日

    事情就这样结束了!!!

    社会力量的参与

    这是一部跌宕起伏的大片。

    2022年2月10日下午,微博徐州守望家园发布了标题为《“丰县生育八孩女子”事件,我们可否按一下暂停键?》的文章。该文章称,冷静想一下,就这“八孩女子”事件我们的同情、愤慨的表达,是否可以给她们带去正面的温暖,对事件中的人事无巨细、没有底线的深入挖掘,是否是另一种伤害?甚至还有人利用自媒体谩骂,攻击;这些行为对事件的解决能否起到作用?我们能否让自己的激情冷却一下,回过头来,稍微作逆向思考:事情既然已经发生,下一步该怎么办?我们是否除了愤怒、喊叫,到底想表达什么?我们的责怪、谩骂能否拯救得了“八孩女子”?我们的喊叫是否可以抚慰她们心头的创伤和不幸?能否一劳永逸地解决类似问题的发生?种种对相关部门的口诛笔伐,可否让事情得到理性解决?

    这进一步激发了社会情绪,无数人的偏执汇成一股浩浩汤汤的力量,其中关键之时一位名为邓飞的前记者发挥了强大的推力。

    女性失踪案

    “八孩女”事件还于另一事件紧紧相连,那就是四川省南充市的一桩失踪案。失踪女孩名叫李莹,出生日期1984年,失踪日期为1996年,当时在南充市上小学6年级,上学之后就没回来。该女孩的父亲叫李大忠,是一名援藏军人,已过世多年。此案不破,影响可能会比较大。

    社会关注点集中的还有上海工商外国语学校的女性教师卢青。卢青1974年10月6日生于广西玉林,1997年毕业于华东师范大学毕业。2001年8月23日在江苏、安徽、山东交界地旅游途中失踪,走失时26岁,身高一米七二,体重50公斤,时任上海工商外国语学校语文教师,至今还没有下落。

    当前,每年还有多少女性失踪案和拐卖案、以及无名女性的非正常死亡,尚不得而知。

    徐宁 唐冬梅(时为徐州日报记者):黑色漩涡

    发表于江苏省作家协会主办杂志《雨花》1988年第十期〈总第二0八期〉

    引子

    中华全国妇女联合会书记处在一次会议上宣布:我国拐卖妇女的现象非常严重,就像在改革的大潮中旋起一股黑色的漩涡,尤其在沿海开放地区来势凶猛。并指出,江苏徐州就是这股黑色漩涡的中心。

    徐州,史书上说它是兵家必争之地。它地处苏鲁豫皖四省交界,战略位置极其重要。秦末的农民起义领袖陈胜吴广,汉高祖刘邦,楚霸王项羽,以及一代枭雄曹操都曾在这片古老的土地上叱咤风云,各领一世风骚。解放战争时震惊中外的淮海战役,就是以它为中心展开的。

    “九里山前古战场,牧童拾得旧刀枪。”战争给徐州留下无数鲜明印记,无疑,这是一块沉积着太多历史烟尘的土地,它一方面显示着文化悠久的极强的生命意识,另一方面又不可避免地表现着几千年的落后和愚昧。文明和愚昧在这一片曙光初露的土地上,水火不相容地并存着。

    黄土地生长出一批不怕死不怕鬼,见了皇帝也不磕头的英雄好汉;黄土地里也生长出一批装神弄鬼繁衍罪恶的人类渣滓。

    从1987年8月至1988年1月,短短五个多月时间,韩端荣、张成明、杜文彬、蒋昌友、张玉喜、张成祥、尹兴龙等43名罪犯公然结成团伙,以铜山县伊庄乡、吕梁乡、郭集乡和安徽省宿县栏杆区为窝点,与徐州市40余名出租汽车司机串通勾结,在徐州火车站广场将来自云南、四川、贵州等9个省区的妇女劫持至窝点,以1800元至3600元的不等价格,贩卖到铜山县、睢宁县、宿县、灵壁县一带。

    被这伙犯罪集团劫持、拐卖的妇女多达101人,其中有11人被强奸、轮奸,年龄最小的只有13岁。受害者绝大多数是未婚女青年,有农民、干部、待业青年,精神病患者……

    罪犯共获赃款高达136700余元。

    徐州特大劫持拐卖妇女案,让所有良知未泯的人感到震惊。

    为什么光天化日之下,这种贩卖人口的罪恶竟然发展到如此猖狂的地步!

    善良的人们在沉思着。

    沉思之余,我们如实地记录下造成这一起特大劫持拐卖妇女案的历史与现代的种种原因,目的是呼唤人性的回归,呼唤道德的回归,呼唤法律的回归。

    第一章 金钱本色

    19世纪中叶英国的评论家邓宁格指出”一旦有适当的利润,资本就大胆起来………如果有50%的利润,它就铤而走险;为了100%的利润,它就敢践踏一切人间法律;有300%的利润,它就敢犯任何罪行,甚至冒绞首的危险。”

    蔓延的祸水

    早在公元之初,在中国这片土地上就有过”置奴卑于市,与牛马同栏”的贩人市场。但那时,”卖人妻子”也是”逆天心,悖人伦”的。被旧戏骂作奸贼的皇帝王莽,上台后实行的第一个新政则是禁绝关于人的赎卖、自卖、拐卖等非法行为。

    解放后拐卖人口的犯罪活动几乎消声匿迹。然而从七十年代初期开始,这种人世间最肮脏的交易慢慢又滋生出来。

    当然,最初的胚芽形成并不是眼下这种犯罪的形式。那时,在大西北,风行着8分钱邮票娶一个天府之国的红颜女儿的笑话。然而,这确实是生活中不幸的事实。多少个四川女子用自己的青春,用自己女人的所有本钱换一只稍微殷实一点的饭碗。

    1980年代之后,一些不法分子见捡做起了”女人”生意。女人又一次成为”商品”,在全国流通起来。

    1983年以来,国家公安部、司法部、全国妇女联合会曾多次发出要严厉打击拐卖妇女儿童犯罪活动的通知,四川、贵州、云南等地区还成立了专门机构。经过打击,拐卖妇女儿童犯罪活动有所收敛,明显减少。

    但从1985年下半年开始,人贩子又卷土重来。在人贩子活动猖獗的地区,人们正常的安全感被恐饰所敢代。姑娘、媳妇不敢单独外出,做父母做丈夫的下地干活,外出办事就像自己家门上的钥匙一样,把女人们牢牢地带在身边。上班、上学都要有人来接送,孩子们不听话时,长辈们常常这样吓唬他们:”再哭,人贩子来了。”

    仅云南省昆明市禄劝县被拐骗来徐州的妇女儿童就有104人,其中有31人是未婚女青年,有6名是14岁以下的幼女。

    在买卖妇女的罪恶活动中,也有些不法分子以诈骗的手段来骗取买主钱的,弄得那些光棍汉人财两空。

    这些诈骗拐卖分子有些来自四川、云南等省,而且多为男女团伙行骗。他们与当地的不法分子相勾结,建立秘密的固定联络点,进行有组织预谋的诈骗活动。

    他们往往以介绍工作为名,拐骗出年轻的少女,然后高价卖出,也有的以介绍对象为名将女骗子高价卖出,然后女骗子再伺机逃脱。如无机会可逃,便用随身所带的安眠药、麻醉剂药倒买主,然后席卷贵重物品逃走。用人贩子的行话为”放鹰。”

    还有的私刻公章、伪造证明,以妻被拐卖为由,上门索要。以此敲诈买主。

    仅1987年7月份,铜山县公安局就破获这类案件17起,抓获犯罪分子22名,缴获赃款13000余元。

    铜山县张集乡店东村26岁的农民刘德雨,家中有一个双目失明的父亲,生活比较困难,婚姻问题一直未能得到解决。1986年5月,有人从四川带来一位姓唐的妇女,声称谁给钱就嫁给谁。刘家求媳心切东挪西借付了1900元钱,把唐某领回家,没想到,唐某在刘家没住上三个月,8月1日晚,趁刘外出干活之机,席卷价值三百余元的衣物逃之夭夭。

    刘家为娶媳妇欠了2000多元的债,唐某走后,刘德雨来到徐州火车站广场,四处寻找”妻子”。怎么可能找得到呢?于是,刘陷入极度痛苦之中,便喝了剧毒农药死在家中。

    1987年6月29日,铜山县张集乡孙弯村来了位50多岁的老妇人带着一个20多岁的姑娘,也是声称要为她侄女找个婆家。青年农民孙某交了2100元的养育费将姑娘领回家,但只过了5天,这个姑娘就偷偷地跑了。

    新沂县黑埠乡永旺村38岁的司某也遇见了同样的事情。

    年过40岁的邳县新桥乡高桥村农民娄某娶妻心切,花了2000元钱买了一个贵阳市的女人。新婚之夜,竟发现新娘是个男人。这个闹剧发生在1988年5月1日。

    钱能让人富有,也让人变得丑恶、疯狂,丧失良知。

    ——贵州省息峰县人贩子黄由财,为了钱最后竟在1987年8月,将自己的妻子带到徐州,以1000元的价格卖给韩端荣一伙人贩子。

    ——云南省镇源县张某为了搞钱享受。1987年9月,竟把自己只有18岁的外甥女以2000元价钱卖给了韩端荣一伙人贩子。回去后,马上买了一套家俱。

    ——四川省朱西县某某于去年12月,把亲生的4岁女儿黄术华以1500元的价格卖给韩端荣一伙人贩子,自己拿着卖女儿的钱跑到东北做生意去了。

    罪恶之子

    在这个庞大的劫持拐卖妇女集团中,以韩端荣为首,有20余名罪犯是铜山县伊庄乡的农民。年龄最大的36岁,最小的年仅17岁。

    这个乡位于铜山县东郊,贫穷落后,交通不便,古老的黄河故道就从这里流过。

    让我们把镜头对准这片浑黄的土地,它记载着这伙人贩子的罪恶历史。

    从孩提时起,韩端荣就随着其父,四处游荡。后来在河南省洛阳落了脚,成了家。他办起一个烟酒店、几分钱一盒的火柴,几毛钱一包的香烟,他都掂量过:要靠这些发家,要等何年何月?

    直到有一次,他回到老家伊庄乡,看到村里人贩子从四川带来的女人,竟然在当地卖了几千元,这令他眼界大开。金钱,刺激着他决心要大干一场。

    他来到徐州火车站前面的广场,睁大眼睛,四处寻找着”猎物”,终于发现了两个愁眉苦脸的四川站娘。他上前搭话,姑娘羞怯地说是出来找婆家的。他马上使起自己多年走南闯北惯用的骗术,对姑娘说:没问题,我可以帮忙。我们那里生活富裕,比你们四川强多了。

    “真的?那可谢谢你了!”天真的姑娘高兴起来,就跟着韩端荣走了……到了伊庄乡,两个姑娘很快就被韩端荣卖掉。第一次拐卖成功,骗款4000多元,他喜不自胜。

    从此,他的骗术日渐”成熟”,一次次得手,浸透着血泪的钞票轻易地流进他的腰包。

    时间久了,他深知自己在”第一线”诱骗妇女风险太大,而且认识的买主有限。他需要建立新的根据地,扩大买主范围,因而需要寻找新的”贸易伙伴”,自己可以退居”二线”指挥,坐收渔利。很快,这些伙伴就从吕梁乡、郭集乡、安徽省宿县栏杆区神奇地来到他的面前——他们都是被金钱诱惑而来的。

    这块黄土地并没有给他们足够的营养。他们精神贫困,不懂法律,甚至不知有法,任凭自己对金钱占有欲的畸形膨胀。

    于是,一群幽灵魔鬼开始在淮海大地上游荡着。

    这伙丧心病狂的人贩子,有的模仿云、贵、川的口音,在火车站以老乡的身份进行哄骗,有的则是采用”黑吃黑”的手段,以治安人员的面目出现,将妇女从外地人贩子手中强行劫持走;

    有的利用云贵、川一带的妇女在火车站勾挂;

    有的与出租汽车司机串通勾结,把受害妇女及亲属骗上车,在途中强行将其亲属推下车,将受害妇女单身劫持至人贩子的窝点。

    有的出租汽车司机乘机索要高价车票,一次行驶50公里,索要的车票竟高达1000元。

    1987年8月26日,年仅19岁的姑娘陈流英与邻村的高某等二人,从老家云南省桥家县双河镇泰岗坝来徐州做生意。8月30日中午到徐州。在火车站,韩端荣以给他们找生意为名,用出租汽车拉到伊庄乡牛楼村,换乘该乡人贩子王振民驾驶的拖拉机。途中,由韩端荣、牛德华、牛德峰押送。

    当行驶到伊庄乡陆头庄南头的玉米地时,韩端荣、牛德峰手特棍子,牛德华抽出一条铁链,对两名男青年大打出手,两名男青年被打得鼻青脸肿,拚命逃了出去。陈流英吓得跪在车上苦苦哀求,从车上跳下来,却又被韩端荣等人将她拖上车,拉到伊庄乡尚庄村,以2100元的价钱卖给村民周永得。

    1987年12月20日,贵州省修文县六广区大石乡妇女李华菊同丈夫及表姐来铜山县探亲。在徐州火车站,张成明、牛德峰、吴雨、王槐中等人贩子,用出租汽车将李华菊等三人拉到安徽省宿县栏杆区张成明家附近时,把李华菊丈夫、表姐强行推下车,并死死按住哭喊挣扎的李华菊,拉到张成明家。

    他们一伙人拿出七首、铁链威吓李华菊:”我们要给你另找婆家,到了买主家,你要敢说你有丈夫就捧死你!” 其中一人照她的脸上就是一拳。

    12月22日,他们以3300元的价钱,将李华菊卖给栏杆区贡山乡前塔山村陈永权为妻。

    1987年12月27日,年仅17岁的贵州省六盘水市六枝特区凉水井矿待业女青年杨某和姑妈,来徐州转车,准备到泗阳县看望前年被拐骗来的表姐。刚出火车站,韩端荣、张成明、牛德峰就以介绍廉价住宿为由,将她们骗上一辆乳白色的出租面包车。

    途中,他们把杨某姑妈推下车,将杨某在车中轮奸了。到了张成明家,杨某又遭到牛德峰的奸污。第二天,她就被他们以3500元的价钱,卖给韩山口村的农民韩广民为妻。

    在这里,我们无法一一赘述这伙人贩子劫持、拐卖、强奸、轮奸一个又一个良家妇女一幕又一幕罪恶行径,公安人员查证工作才两个多月,仅整理的证人材料就高达一米多。

    令人深思的是,这伙人贩子在作案前,均没有犯罪前科。他们有的在家种地种菜;有的下河抓鱼摸虾;有的干个体运输……是金钱的诱惑,使这些原来朴实憨厚的农民,倾刻之间丧失了人性,变得那么凶狠、残暴。

    1988年5月6日上午,在徐州市公安局三楼会议室里,我们怀着沉重的心情,倾听着一组丑恶的,令人震惊的数字和事实。

    首犯韩端荣,男,32岁,铜山县伊庄乡牛楼村农民。1987年7月至1988年1月,伙同四十余名人贩子,先后拐卖30多名妇女,在转运途中,将4名贵州妇女强奸。该犯得赃款63900余元。

    犯罪成员骨干分子之一:

    ——张成明,男,36岁,安徽省宿县栏杆区贡山乡六台村农民。从1987年12月至1988年1月,拐卖妇女13名。得赃款50000元。

    犯罪成员骨干分子之二:

    ——张成祥,男,26岁,铜山县伊庄乡单林村农民。从1987年7月至1988年1月,先后参与拐卖妇女30多名,得赃款60000余元。

    犯罪成员骨干分子之三:

    ——蒋昌友,男,37岁,铜山县伊庄乡单林村农民。从1987年8月至1988年1月,先后参与拐卖妇女23名,其中有7名妇女至今下落不明。该犯共得赃款 40000元。

    犯罪成员骨干分子之四:

    ——杜文彬、男、22岁,铜山县伊庄乡单林村农民。该犯先后参与拐卖妇女10名,并伙同罪犯孔凡银、王会唤将湖北妇女杨丽娟劫持,轮奸后卖掉。该犯共得赃款10000元。

    犯罪成员骨干分子之五:

    ——牛德峰,男,23岁,铜山县伊庄乡牛楼村农民。该犯先后参与拐卖妇女9名,其中伙同罪犯韩端荣、张成明等人将贵州少女杨某劫持并强奸。该犯共得赃款19000余元。

    犯罪成员骨干分子之六:

    ——尹兴龙,男,31岁,钢山县吕梁乡桃园村农民。该犯先后参与拐卖妇女6名。其中伙同罪犯韩端荣等人将四川妇女罗云强奸。该犯共得赃款13600元。

    犯罪成员骨干分子之七:

    ——柳方平,男,26岁,徐州市云龙游服务公司出租汽车司机。该犯先后多次为这伙人贩子提供交通工具。1987年12月3日夜11时,伙同罪犯韩端荣、尹兴龙等人将四川妇女罗云劫持,途中将该女强奸。从中分得大量赃款。

    犯罪成员骨干分子之八:

    ——甄如胜,男,37岁,徐州市个体出租车汽车司机。该犯从1987年10月至1988年1月,先后用出租车为这伙人版子接送被劫持妇女达10人次,得赃款10000元。

    犯罪成员骨干分子之九:

    ——-张玉喜,男,36岁,铜山县拾屯乡九里村农民。该犯先后参与拐卖妇女7名,其中一名妇女至今下落不明。该犯共得赃款17950元。

    ——-

    罪恶,终于暴露在阳光之下。

    第二章 沉沦的土地

    那些被罪恶之手轻易地扔在这块土地上,已为人妻人母的不幸女人,那些至今下落不明的少女们,她们用滴血的心,痛苦地呼唤着庄严的法律。

    如果我们要寻找滋生这些罪恶的渊源,寻找导致这一幕幕悲剧的社会成因和历更背景,那么,我们还必须回到这片土地上来。

    中世纪的”伊甸园”

    自清咸丰五年,黄河改道。于是,一片莽莽苍苍的黄河故道永远地遗留在这一片干涸的土地上了。人们世世代代在这片穷困的土地上繁衍生息,默默无声地书写着自己暗淡的历史。

    也许人们不会相信现代社会里会有这样一些角落,贫穷落后得让你难以想象。

    虽然,三中全会后的农村,早已走向了历史的新纪元。出现在社会舞台上的不都是那些富足的具有更高理想的农民形象吗?他们中有的自费出国考察农业去了,有的购买回国家科学最新研制的喷撒农药的小飞机,还有的西装革履成了农民企业家,出入于广州、深圳、厦门,和外商洽淡生意。

    当今的农村盖起红砖洋楼的已不是少数,亿元乡在苏南如今也是比比皆是。

    但是,在这一片被黄河抛弃了的土地上,还有为数不少的农民弟兄,在呼唤着富足的生活。

    ——沉寂的小殷庄是铜山县吕梁乡(人贩子活动猖獗的一个地方,紧挨着主犯韩端荣所在的伊庄乡) 冠山村所属的一个自然村组,位于乡驻地西部约五公里处的山沟里。

    在今日人口大爆炸的时期,这个村人口竟然逐年下降。它并不是执行计划生育政策后出现的一个典型,而是婚出多、婚入少造成的这种反常现象。

    解放初期,这个村人口尚有121人,1974年下降到106人,到1987年3月只有29户102人(调查时间:1987年3月。)。这里交通闭塞,经济落后,本村的站娘没有一个嫁在本村的。

    从1975年到现在,11年间只有三个男青年结婚。对象都是四川妇女。这三个四川妇女已跑回老家一个,另外两个成天有人看着,害怕再跑掉。

    难道这里竟然连一个爱情之果都生长不出来吗?

    现实确实如此。这个村可耕地面积270亩全是山坡地。地块零零星星地散布在大山的褶皱里。土地瘠薄,耕作方法原始落后,完全靠天吃饭。全村无一件动力机械,只有二匹马、五头牛和一头毛驴。大部分土地靠人工用铁叉耕翻。全村的运输工具只有三辆平板车,八辆独轮车,最先进的农机具是大包于时分的两架喷雾器。

    村里干早缺水,农民吃水要爬高上低往返五里去挑一担水,所以不少人经常不洗脸,不洗澡,一些小孩子身上的灰已经结成很厚的一层黑痂。由于缺水,盖房和泥难,不少户的房子内连一层泥也没抹。墙壁全是由大大小小的片石垒成的,四壁透亮进风。

    几年来,人均收入一直停留在百元上下。不少群众至今仍靠山芋干、山芋叶果腹。春节前民政部门发给的二斤猪肉,有的户一个多月还舍不得吃完,留着每一天割一小片”炼炼锅”。

    ——光棍汉殷召法母子俩住一间不足六平方米的石头屋子里,房顶是用瓦片、山草、破塑料布胡乱盖上的,六十多岁的老母亲只好常年在别人家住宿。他的全部家当是一张用麻绳编的软床,一床破被,一口铁锅,仅有的一点口粮是50多斤山芋干、七斤高梁和一篓子山芋叶,还欠了500多元的债。

    ——殷宪龄一家三口盖的是一床拿不成块的破网套棉絮。

    ——全村人均欠债百元。

    这个村四面环山,不通电,不通广播,没有一所学校,没有一间卫生室,连一个代销点也没有。群众看病、称盐,小生学上学都要往返七、八里山路,全村绝大多数是文盲。只有七人是上过小学的,最高的文化水平是一个上了五年小学的高小肆业生。

    ——这个村从来没放过电影,没演过戏。是一个被文化遗忘的角落。

    (调查时间:1987年3月。)

    寻找夏娃的亚当

    贫穷和历史上的诸多因素,使这里的男人们得不到一个属于自己的女人。一家有二三条光棍并不少见。

    30岁以上的光棍大多过去家庭”出身”不好,父辈和祖辈不是地主就是富农,他们自然是地、富、反、坏的子孙。在那成份决定一切的年月里,招工、征兵没有他们的份,甚至连读书的权力也没有。这样的人哪一个姑娘愿意嫁给他们?

    就是那些出身不好的姑娘,也不愿再背”黑锅”,她们急于找一个出身好的小伙子,做为自己娘家的靠山。

    还有的是在五十年代末六十年代初所谓的”三年灾害”时夫去父母的孤儿,没有亲人来帮助他们张罗婚事,所以只好狐身至今。

    那些30岁以下的光棍,情况更为复杂,或家境不好,或本人缺少谋生的本领,或是因为残疾和痴呆。这几年比物价上涨更快的高额彩礼,不要说让这些贫穷的光棍汉们望而生畏,就是让那些城里人和富裕的庄稼汉子们也打怵。

    【让我们站在古老的黄河故道大堤上,摄下一组长焦距镜头。调查时间:1987年夏】铜山县

    ——一份关于结婚花销调查摘要:

    目前徐州市(包含六县农村)青年结婚平均消费高达6000多元,其中用于结婚仪式的1000元左右, 光棍汉们决心自己寻找一个永远属于他们的女人。

    购置物品的5000元左右。

    一位商店经理描绘了一个可怕的情景:待婚青年,手拿大把钞票,涌入商店。片刻,像蝗虫扑食庄稼一样,将一家家商店扫荡一空。这是为了满足未婚妻的需求。

    铜山县潘塘乡一位农民结婚,竟在一个小时内燃放了300多元钱的爆竹。

    市区淮海路一位开彩扩商店的个体青年结婚,为了摆阔,免费两天,门面险些被挤塌。

    铜山县”亿元乡”青山泉乡,因为紧邻贾汪煤矿,家家都有积蓄。但是,他们也被婚事大操大办之风搅得家家不安。谁办喜事,起码婚礼得花去3000元,请几十桌酒席不算大场子了。

    这个乡有一户开煤窑的农民办喜事,租了两辆轿车,三辆大客车,还请了民乐队,大吃大喝三天,共花费4000多元。据这个乡初步统计,1986年仅这项开支就达200多万元。

    黄河故道上的光棍汉们对此不敢奢望。

    但是他们需要一个女人!这仅仅是人类生存最原始最低级的一点要求!可是谁能赏赐一个女人给他们呢?

    现代的文明离他们太远。劳动一天后唯一的娱乐,就是聚在一起谈一些下流不堪的关于性方面的笑话,以满足一下生理上的需要。

    村里人家凉晒的女裤头、汗衫,经常不翼而飞,最后发现穿在了光棍汉身上。

    伊庄乡某村,一个和吕梁乡小殷庄相邻的村子里,令人难以置信的事情发生了,两个光棍汉竟然在一只母猪身上发泄性欲。

    贫困,使这些农民的心灵重负越来越沉重。尽管如此他们也不愿离开这生养他们的祖祖辈辈生死相依的土地。他们无处可去。他们固守着这片贫瘠的疆域,依旧饱受着黄河故道风沙之苦,依旧在梦中寻找着属于他们的渺茫的幸福。

    可是,为了传宗接代,为了无愧于埋葬在这片土地上的先人,这些光棍汉们决心要为自己寻找一个永远属于他们的女人,永远属于这片土地的女人。

    于是,他们开始拚命挣钱。好在经济开放了,这些光棍汉及他们的年迈的父母,年幼的弟妹,开始了资本大积累时期。

    做豆腐的,吆喝卖香油的,推车播铃的,嘶哑着嗓门在乡村的土路上高唱”酒干倘卖无”的,随建筑施工队跑到东北、新疆去出苦力做小工的。一切都为了活得更像个人样。

    钱攒多了,就去四川、云南、贵州那些更加贫穷的大山深坳里带一个媳妇来,带一个可以给他们生儿育女的女人来。但是,这样十有八九是古黄河故道上目光狭隘的汉子吃亏,常常人财两空。这让他们感到异常地悲伤。

    有需要就会产生供给链。于是,一个专门为光棍汉们提供”商品”的”第三产业”出现了——拐卖妇女的专业犯罪团伙由此诞生。

    好多光棍汉们至今还在感谢着他们呢!是韩端荣这些人贩子给他们开辟了一个新的生活,感谢他们给自己一个温暖的家,一个实实在在的女人,一个将要诞生的能立门户的儿子!

    有了钱就有了女人,有了女人就有了一个光明的世界。

    但是,他们不知道自己正配合人贩子一起,灭绝人性地制造了一个又一个人间悲剧。

    古老的贸易

    贫穷和野蛮是一对挛生兄弟,愚昧和金钱为伍,让他们无所不为。

    1987年9月中旬,铜山县伊庄乡牛楼村7名人贩子在自己家门前,公然将劫持、拐卖来的12名妇女公开拍卖。

    12个只穿着裤头和背心的女人,瑟瑟发抖地站在围观者的面前(几乎全村的男男女女老老少少都来了)她们身上标着价格,羞辱几乎让她们抬不起头来。

    她们有的在抽泣;有的用双手竭力想要掩盖住那让女人羞惭的部位,摆脱那些贪婪淫邪的目光;也有的瞪着惊恐的眼睛,望着手拿铁链的人贩子,眼里流露出企盼人性同情的目光。

    没有一个人出来搭救她们!没有一个男人、没有一个女人挺身而出愿意搭救这些可怜的女人。

    村民们们都在议论着这12个女人的姿色,肥瘦,谈论着哪个女人可能会给这片土地留下一个男性子嗣,哪个女人会让这片土地失望……

    有几个男人甚至当着那么多的人挤上前去,伸出那茧痕累累的粗大的黑手,去抚弄那几乎全裸露着的女人!

    起哄声,咒骂声,讨价还价声响成一片。在八十年代中国的大地上,进行着空前的妇女大拍卖!

    历史在这里闭上了它洞察一切的慧眼

    伊庄乡空前地热闹起来,在那没有任何文化娱乐的蛮荒之地,一次次地拍卖妇女的场景,刺激得他们热血沸腾,轰轰烈烈地像赶大集,蜂拥地围住那一个一个可怜的被拍卖的女人,看着那些强悍的光棍汉成交后的喜悦,看着他们终于抱着属于自己了的女人,疯一般往自己家奔去的疯狂样子,围观者心满意足地等待着光棍汉的黑漆漆的大门咣当一声关在他们的面前。这时,麻木了的人群才会散去。

    有了女人,就有了生机,土地就不会荒芜,老屋就不会颓塌,人丁就会兴旺。老人们也张开没了牙的大嘴哈哈笑了起来。

    农民从心里喜欢、敬佩那些能带来女人的人贩子。有时,乡里的农民看见那伙人贩子用出租车拉着拐骗来的妇女回来时,竟高兴地停下手中的农活,赶到村口去迎接。

    自1986年以来,牛楼村从原有人口1300人增加到现在1500人,这其中200多人全是云南、贵州、四川一带的青年妇女,占全村已婚青年妇女的三分之二。其中大多教是被韩端荣等人贩子拐卖来的。

    这个村的党支部书记牛玉泉,是被村民们认为见过大世面的人,他是县人大代表。他所在的牛楼村就有7名人贩子,而且人贩子每次拐骗来妇女后就在村里公开论价拍卖。围观的群众多达200余人。他从来没有对此进行干涉,或向上级机关报告。

    正是因为他与村民们对这种行为熟视无睹,不管不问,给人贩子提供了有利的条件,致使他们有恃无恐,愈来愈嚣张。

    这里确实是太穷了!尤其是对照那些富裕的地区。但令人难以置信的是从1986年初到1987年底,铜山县伊庄乡的农民用于购买外地妇女的费用竟高达一百多万元。

    正是这笔巨额的金钱,诱惑了灭绝人性的人贩子,他们出价也”随行就市,按质论价了”。他们根据这些”商品”的身高、相貌、生殖器官、生育能力、性感来决定价格。

    几年前,买一个外地女人只用七八百元,而现在一个未婚的要价达到三千多元,已生过孩子的妇女要价为二千元左右,那些丧失生育能力的则降价处理为500元至800元。

    人贩子中有几个专门从事这方面的检查工作。他们将劫持、拐卖来的妇女扒光衣服,用手插入女性阴道,检查生殖器后,再标价出售。

    为了买女人,有的光棍汉倾家荡产,借债累累。因此,当用那几乎榨干了他们血汗的钱买来属于他们自己的女人后,他所要做的第一件事就是尽情蹂躏那手中的女人。那些因贫困、生活不如意的种种积怨,全部以性欲这一最原始低级的形式,发泄到手中的女人身上。

    第三章 落难的夏娃

    在第七届全国人民代表大会上,许多代表大声疾呼,要求国家运用法律手段,制止在改革开放的新形势下,不断出现的拐卖妇女罪恶的浪潮。

    拐卖妇女案件确实持上升趋势。

    这都说明了什么呢?好些人带着惶惑对此更加惊慌失措了。

    当然,妇女被拐卖不是改革开放的必然产物,但却与这个政策实施后的土地政策以及农民的现状有着密切联系。

    土地承包政策使农民首先从地上解脱出来,大批剩余劳动力与土地脱离。多少年来,农民眼前第一次展开了一个广阔面新鲜的世界。新中国的人口学家们曾经断言:目前,共和国正处在又一个人口大流动的高峰期,这个高峰期还区别于任何一次人口大流动的最明显特征,便是几亿农民的流动。

    农民走出家门,毫不犹豫地走向城镇,涌向陌生的他乡。在这种形势下,女性农民也随着这股浪潮走出她们母亲、祖母居住的乡村,到一个新的环境中去求生存,谋职业,寻找致富之路,便毫不奇怪了。

    但是,她们在毫无准备的前提下,在一个陌生的城市里,因为缺乏社会生活经验,却正巧为犯罪分子提供了可乘之机。

    那么,有没有一个确切的数字。来说明这近十年来,从云、贵、川等地因拐卖到异乡的妇女到底有多少呢?

    没有。

    因为买卖妇女的犯罪活动到今天还未灭绝。那么,人们不禁要大声责问:人贩子怎么有那么大的神通?让那么多的妇女就轻易上当受骗呢?

    从徐州特大劫持拐卖妇女案中受害的100多名妇女身上,我们不难看出,她们绝大多数是来自云南、贵州、四川的偏僻、落后、贫穷的山区农村。比比外面改革开放以后逐渐富裕起来的世界,家乡也是太贫穷了。谁不想告别那熬不出头的穷日子,到外面去寻找幸福呢?尤其是那些平时比男人还辛苦,却又没有与男人平等地位的女人们,那些对人生充满幻想的姑娘们。

    贫穷——为人贩子拐卖妇女提供了客观基础。

    贫穷,带来了教育落后,一批又一批新文盲在贫困中产生。

    看不到电视(地处山区,电视转播台没有建好) ,听不到广播(土地分配到户以后,过去扯的有线广播废弃了),一年也很少能看一回电影(山高路远,有多少放映队不顾经济效益,去为人民服务呢?),加上她们中许多是文盲,无法借助文字,从书刊报纸上对现实社会有一个明智清醒的了解。眼睛看到的,耳朵听到的就是他们的整个世界。由孤随寡闻带来的轻信正是人贩子求之不得的。

    徐州特大劫持拐卖妇女一案中受害的101名妇女中:文盲、半文育(小学未上完的)就有80人。

    轻信、愚味为人贩子拐卖妇女提供了方便。

    被劫持拐卖的妇女绝大多数身心受到摧残和凌辱。她们举目无亲,无依无靠,不得不屈从于那伙人贩子的淫威,稍有不从就遭到毒打,捆绑。这些妇女不仅失去了人身自由,也失去了做人的尊产。

    这些遭到劫持拐卖来的妇女,在那些买主家里大多过着一种非人的生活。她们并不甘心被命运摆布,不甘心让自己的青春年华去陪伴一个陌生的野蛮的男人时,那么,她们的命运就更加凄惨了。

    她们是买来的女人,这首先决定了她们在买家的地位。买她们的目的,是让她为这个家繁衍后代的。所以,她始终受到这个家族的所有人的监视。软禁,是客气礼貌的,不堪忍受的是为防止逃跑用铁丝捆绑在床头。

    就这样,一直到她们肚子里有了这个家族的后代以后,一直到她们认为反抗、逃跑都一点没有希望的时候,她们才从禁闭很久的古老的农屋被放出来,强烈的阳光让她们感到刺眼、头昏。

    她们中很多人忍气吞声,认定了这就是自己的命。一个无法抗拒的命运。

    一个声音呼唤着……

    在这场古老的贸易里,贵州省兴义县顶校乡21岁的唐玉玲,是一个被转手卖过三次而又幸运地回到故乡的姑娘。

    唐玉玲是一个多兄妹的大家庭里的宠女。小学毕业后,就在家帮助父亲做生意,经营面食等食品。

    1987年7月的一天,她姨妈的女儿曾老五来找唐玉玲,说是好些人在外面跑生意,既见了世面,又赚了钱。并提出到湛江去贩山楂回来卖。

    唐玉玲正值青春幻想多于现实的年纪。她想出去走走,山沟里的生活毕竟太憋闷,太狭小了。但是,她们的想法却遭到父亲唐才高的反对,他怕女儿年龄小,出去不经事。

    最后,在女儿的软缠硬磨下,这才勉强点了头,并再三叮嘱女儿,出去看看,生意成不成没关系,要紧的是快些回家。

    谁曾想到,二十天后,曾老五独自一人回来了,带回一个可怕的消息,唐玉玲被同去的两个人贩子卖到徐州了。

    唐才高得知后,犹如晴天霹雳,一家人吓得不知所措。第二天,他便启程来到徐州寻找女儿。

    茫茫人海,哪里有女儿的身影呢? 一天,二天、三天,这个五十多岁的庄户人,再也经受不住丢失女儿的痛苦和寻找女儿的奔波,终于病倒了。五天后,当盘缠花完了,他只得返回贵州。来的时候壮实实的一个人,走的时候,他竟是让人抬着上的火车。

    回到家里,女儿的身影时时在眼前闪现,女儿那甜甜的声音也时时在耳边响起。一家人终日以泪洗面,再没心思过日子,只是呆呆地坐在饭桌前,怔怔地盯着桌上那为女儿摆上的一副空碗、默默地流着泪水……

    唐玉玲的母亲周福玉硬撑着病弱的身体,每晚倚在门边,向着山野呼唤:”女儿啊,回来吧!女儿啊,回来吧!”那凄惨的声音传得很远,听见的人忍不住也暗暗落泪。

    就这样到了8月份,唐才高突然收到女儿寄来的一封信。信中说她被人拐骗到徐州市铜山伊庄乡卢套村,卖给人家做媳妇,受尽了欺凌。让家里马上前来搭救。

    女儿终于有下落了。唐才高把家里唯一的一头牛卖了。再次北上徐州。

    在当地群众帮助下,唐才高终于见到了女儿。女儿见到父亲,哭着诉说了自己被拐骗的经过。

    原来,她从家乡出来,在车上遇到两个男人,一个外号叫黄老三,另一个姓吴。黄老三说:”我们是同乡,你们到湛江做生意,路途太远,不如到徐州,那里我认识很多的生意人,可以帮你们介绍一下。”就这样,唐玉玲跟着他们来到徐州。

    下了火车,黄老三又要了一辆出租车,车上坐着一个陌生的三十多岁的中年男人,一副农村人打扮。唐玉玲坐上车跟着走了。她以为,那个男人只不过是黄老三的一个朋友。现在跟着他去找个地方歇歇脚。

    出租汽车开了很久,进了一个村庄,是苏北常见的那种土墙草顶的房舍多于红砖瓦房的村子。唐玉玲心中有些生疑,但是一路上都是黄老三他们照顾她,买饭打开水,她不好意思对黄老三开口问一下,他们到底要去哪里。

    那个陌生男人带着他们一行四人进了他的家——一间比其它房屋漂亮的红砖房。这时,外面又下起了雨,那陌生男人说:”下雨了,你们明天再走吧!”当夜,吃了饭,唐玉玲带着那么多疑问和恐惧睡下了。

    第二天早晨,唐玉玲醒来发现黄老三和那个姓吴的不见了,急得快哭了,说什么也要走。谁知,那个陌生的男人指着另一个黑壮壮睁着一对牛眼的男人说:”黄老三已经把你卖给我们了,你如果能拿出2000元钱我们就让你走。”唐玉玲一听,就哭喊起来吵闹着要回家。但是,他们根本不理,反把她推进屋里,锁上门。

    她整整哭了一天一夜,又砸门,又拍打那一尺见方的小窗户,但是,没有一个人来搭救她。

    次日上午,门被打开,一个二十多岁的青年领她走出房门,并带她到了他的家里。后来才知道,那两个陌生的男人一个叫张成祥,一个叫韩端荣,都是当地有名的人贩子。买她的叫卢贤,花了1600元。

    到了买主卢贤的家里,唐玉玲跪在地上,给他们一家磕头哀告,诉说自己是被拐骗来的,不愿意给人做媳妇,求他们放一条生路,让她回家,家里的父亲,母亲姐姐哥哥都在等她呢。

    但是,无论唐玉玲怎么哭诉、求情,卢贤一家七、八口人全都像石头人一样毫不动心,只说花了钱买的媳妇,愿意不愿意由不着你。并将她和卢贤反手关在一间做为他们新房的屋子里。这一夜是她人生中凄惨的一夜,卢贤强行与她发生了性关系。

    白天,她被关在屋里,吃饭时有人送饭进来,吃完饭又关上了门。他们怕那1600元买来的媳妇跑了,全家老老少少像防贼似的死盯着她,却不和她说一句话。

    就这样,唐玉玲也不发一言,寻找着逃走的机会。她不愿意继续忍受这非人的生活,她想念家乡,想念家里的一切亲人,山沟沟里的那个不怎么富裕的家庭,突然像天堂一般出现在她的脑海里,她后悔死了,后悔当初不该不听父亲的话。

    到了八月中旬的一天晚上,唐玉玲见卢贤家里的人全部出去乘凉了,于是,她趁没人注意逃了出来。

    漆黑的夜晚,静得吓人,她在沙地上跑呀跑呀,一直跑到十几里路外的一个叫迷马村的小庄子,叩响了一户农家的门。开门的是个农妇。她向她诉说了自己的不幸遭通,恳求她让自己住几天,等父亲来接她。那位妇女很同情她,把她拉进屋里,让她安心休息。第二天,唐玉玲偷偷地给父亲发出了求救信。

    七天以后,唐玉玲仍没见到父亲的人影,她急得直哭。到了第八天晚上,那个人贩子韩端荣不知从哪里打听到她的下落,追到这家,和言悦色地说,如果不想和卢贤过,就回家去吧,还说是她母亲来信了,要他把唐玉玲送回贵州。唐玉玲喜出进外。高兴地跟他走了。

    善良的小羊羔误信了大灰狼的假话。

    她被带到韩家,韩端荣将身后的门重重地关上,将唐玉玲一下子按到在床上,嘴里恶狠狠地说:”你不是要跑吗?再跑好了,我看你能跑出我的手心?”

    说着,韩端荣野兽般地扑向吓得瑟瑟发抖的唐玉玲,强行奸污了唐玉玲。

    当她撕心裂肺地绝望地哭喊出时,韩端荣的母亲却冲进屋里对她说:”你再哭,我儿子就会杀了你!他就这脾气!”

    唐玉玲愣住了,她不知道自己究竟到了一个什么样的魔鬼群居的地方,她被这些日子里遇见的坏人给吓懵了。

    第二天晚上,来了四个男人,用自行车把她推走了。在路上她才知道,韩端荣又以1600元把她卖给伊庄乡太平庄的吴继钟。

    她在吴家住了十多天,那第一个买主卢贤得知她的下落后,带着一伙人又把她抢了回去……

    女儿所遭受的一切磨难,使唐才高老泪纵横。看着女儿那面黄肌瘦的样子,他怎么也不会相信这就是当初那圆润丰满,有着一对黑黑的大眼睛的女儿!一个鲜嫩活泼的生命,竟然在这片土地上凋零了。他苦苦哀求买主卢贤要带走女儿。谁知卢家人一听,又拍桌子又咆哮,非逼着唐才高还出买他女儿的钱,然后才能带走他的女儿。

    这是人间最悲惨的一幕了。唐才高没有钱赎出他的亲生女儿,眼睁睁地看着女儿哭着喊着被卢家的人带走了。

    唐才高的腰一夜间弓了起来,再也直不起来了。他没有带回自己的女儿,他对不起女儿,对不起自己那盼女儿归来望眼欲穿的老伴。

    回到家乡,他弓着腰到处诉说、流泪哀求当地政府去救回他的女儿!他不知给多少人下过跪,一个农民能做的一切他都做了。

    1988年4月18日,贵州省兴义县公安局的九名公安人员和唐才高一起,来到铜山县伊庄乡卢家,当场宣布,购买人口已构成违法,任何人不得阻挡解救工作。

    唐玉玲经过三次被卖和人贩子的蹂躏,终于回到亲人的怀抱。唐才高见到女儿时上去就是一巴掌,随后又心疼地抚慰女儿,为她理顺凌乱的头发,拍打她身上的尘土,嘴巴哆嗦着说: “为了你……你母亲都快急疯了!”

    说完,一把将女儿按在地上,”还不谢谢政府!谢谢政府!磕头!磕头!磕头!”,三个虔诚的响头,是磕给政府的。

    犯了”重婚罪”的女人

    四川妇女罗云,在这场人口买卖交易中,将自己”劈成两半”,同时给了两个男人。

    那还是1984年的7月。她从四川《妇女生活》杂志上看到安徽省淮北市某煤矿保卫干部刘国材的征婚启示,她毫不犹豫地给刘国材寄去了照片。他们开始了书信往来,相识并且相爱了。

    1985年1月,她千里迢迢地来到淮北与刘国材结了婚,第二年便有了一个可爱的女儿。由于没有工作,罗云不仅要操持家务,还到矿上找点零活干,平时做些服装小买卖。

    1987年11月底,她从淮北到江苏无锡市石塘湾购买一批衣服,准备拿回去卖。因为其它原因,生意没有做成。12月1日,她乘车来到徐州,打算转车返回家里。下车时,已是深夜11点多钟,她犹豫着要找一家便宜些的旅社住一夜,等明天再走。

    伺机一旁的韩端荣、尹兴龙等五名人贩子主动上前搭话,说是能介绍一家一元钱一夜的旅社,并有车接送。罗云信以为真,上了出租汽车司机柳方平的车。

    汽车飞快地向郊外驶去,窗外一片漆黑,朦胧的星光下隐约可见飞驰而去的是一片荒野。罗云这才发现事情不对,连忙叫司机停车。但柳方平不理会,继续高速行驶,她吓得哭了起来。

    当汽车驶近一个小村庄时,柳方平将车停下,对韩端荣等人说:你们下去!我要办事。不然我就开车把你们拉到派出所去。

    韩端荣等人心领神会,嘻嘻哈哈地到车外等着。

    原来柳方平在罗云一上车时,就已窥视这个白白净净丰腴动人的妇女了,他今天也要开开”荤”。等那几个人贩子一下车,柳方平一把将罗云拉到前座,对她威胁道:如果你不愿意,我就把你交给这伙人贩子,他们可什么事都敢干!说罢,一把撕开了她的衣裳,强奸了罗云。

    柳方平发泄完兽欲,满足地点起了一支烟,才把韩端荣等人贩子叫上车,按照他们事先约定的计划,把罗云拉到了宿舍栏杆区贡山乡云台村人贩子张成明的家里。

    当夜,韩端荣、崔伯利、尹兴龙三名人贩子先后又轮奸了罗云。当罗云反抗时,韩端荣掏出一把明晃晃的七首,喊道:”你要不依,就杀了你。”

    第二天,他们将罗云以2800元的价钱卖给云台村农民王亚为妻。

    买主王亚,二个月前妻子病故,为了料理后事,变卖了全部家当。妻子死后,韩端荣答应给他找个外地妇女。于是,他托亲戚朋友借了一大笔债,买回罗云。

    王亚是一个老实的农民,他对罗云关怀备至,有什么好吃的都给她吃,自己倒舍不得吃一口。时间一长,罗云竟然感激王亚将她从人贩子手中救了出来。但是,她思念远方的丈夫和女儿,几次都想跑掉。只因王亚看得紧,才没有跑成。

    罗云也觉得王亚怪可怜,三十多岁的人了,死了老婆,又欠了那样大的一笔债,她要是跑了,王亚可怎么活呢?再说又是王亚将自己从人贩子的火坑中救了出来。

    她想前想后,竟恍惚觉得自己遇上了好人,爱她的人,她要报答王亚对她的恩情。于是,她将自己唯一的本钱——身体给了王亚,与他同居了。

    在这样的矛盾痛苦中,罗云熬过了无数个不眠之夜。

    现在,每当她思念丈夫、女儿时,就挎上包袱回到淮北,住上一段时间;每当她要报答王亚的恩情时,又告别丈夫和女儿,回到宿县栏杆区的云台村。当我们调查此案时,罗云还奔波于两地之间、两个男人之间。

    也许人们不敢相信这个女人的经历,鲁迅笔下的祥林嫂死后所担心的事,如今在罗云的身上应验了。她用无形的刀将自己劈成两半,给了两个男人。

    没有办法用现行的道德和法律给予这个女人以公正的审判。法律在她面前变得苍白了。法律威严的利剑竟没能保护住一个柔弱的女人不受恶人的欺凌,你如今又能以什么条令来判决这个实际上犯了重婚罪的女人呢?

    逃出魔爪

    湖北省杨新县某单位的采购员、34岁的杨丽娟,是这起劫持拐卖妇女案中受害的100多名妇女中,惟一一个向徐州市公安局刑警大队报案的受害者。

    她是在去江南出差途经徐州,被人贩子劫持的。

    那还是1987年12月21日,人贩子杜文彬、孔凡银等犯罪分子,以二十元价钱骗她游览了徐州彭园,又驱车去了皇藏峪。在碧云寺里,她遭到了绑架劫持。

    这一次犯罪分子同样是用了出租车——这一现代化交通工具。

    当车停下来时。蒙在扬丽娟眼睛上的衣服给解了下来,车窗外是一片阴森森的坟地,她被两个男人架着胳膊,向坟地深处走去。”带她上山转转,吓唬吓唬她就认不出地方了。”那个男人粗声粗气的话在空落落的山上回响着……

    在山下的小村庄的一间农屋里,三个野兽一般的人贩子扑向了这个丰姿绰约的柔弱女人,黑暗中只剩下杨丽娟那一对惊恐万状的悲哀的眼睛。

    在黑暗的小农屋里,杨丽娟度过了三天三夜地狱一样的生活。白天只有一个农妇从窄小的窗口递进来一碗水,那农妇麻木似的听不见她的哭诉和哀求,转身就消失在屋外那苍茫的冬天原野上。夜晚,那三个披着人皮的野兽不知从哪里回来后,首先就是粗暴下流地围着她戏弄,然后就在她身上先后发泄着他们的兽欲!

    三天三夜,杨丽娟只是靠着一点清水维持生命,在人贩子的暴行中,她已经失去了任何反抗的力气,任他们摆布着自己那一具没有一点生气的身体。

    第四天晚上,三个人贩子将玩腻了的杨丽娟以2400元钱卖给了一个外乡男人做妻子。

    在买主家,杨丽娟将自己的身世及三天三夜所经历的一切不幸全部告诉了他。买主听完杨丽娟的哭诉,害怕起来。对她说:”我不该买你,你受了这么多苦,你到徐州告他们去吧!”

    说罢,又掏出十元钱让她做路费。杨丽娟当天就赶到徐州市公安局刑警大队值班室报了案。这一起特大劫持拐卖妇女案是她轻轻地掀开了第一页案卷。

    女人的悲剧

    妇女买卖交易中,不但有卖人者,被卖者,而且更可悲地出现了被卖者过后又充当卖人者,卑劣地出卖自己的同性姊妹。

    昨天,被拐卖时,曾发出撕心裂肺的呼救声,今天,在淫威和金钱的诱惑下,忘掉了自身惨痛的经历,成为罪恶的帮凶。

    贵州省郎担县安乐乡大树脚村22岁的农村姑娘周训秘,就是这样的一个悲剧人物。

    这是一位面容较好,有一副匀称丰满的身材、一笑就显出女性十足的那种甜味的姑娘。

    1987年9月,她在贵州省水城赶会,遇见两个男人,说是做生意的,可以带她去徐州跑买卖,一趟也能挣个百把十块的。周训秘轻信了他们的话,连家里都没来得及通知,就跟着他们上了火车。哪知到了徐州。那两个男人竟然以2000元价钱将她卖给人贩子韩端荣。

    在人贩子张成明家里,韩端荣带来一个40多岁的山东买主,要将周训秘带走,周训秘恐饰地看着那和自己父亲差不多衰老的山东汉子,一下子扑在张成明母亲的脚下,死死抱着这位老大娘的腿,苦苦哀求着不要实她。

    韩端荣的眼睛淫荡地盯住她丰满高耸的胸脯,第一次发现这女人具有那么强烈的性感的胴体,竟然将那位山东汉子打发走了。

    当天,在这伙人贩子喝酒取乐之际,周训秘从人贩子的窝点逃了出来。可是,她人生地不熟,又像惊号之鸟,慌不择路,刚跑出村子不远,她又被这伙人贩子给抓了回来。这一次就没有那么客气。人贩子用皮鞭抽打她,打得她浑身青一道紫一道,昏过去好几次。

    事后,韩端荣答应不卖周训秘了。但提出必须跟他们合伙干,去勾挂外地妇女。

    人贩子不仅看中了她年轻的身体,还看中了她那浓重的贵州口音。因为由她去勾挂外地妇女,尤其是贵州妇女,会比他们这些徐州男人更让人相信。更何况她还是一个女人。

    周训秘屈辱地出卖了自己的灵魂,与韩端荣达成了无耻的协议。

    第一次在徐州火车站干拐骗勾当时,周训秘在韩端荣的授意下,去和三个从四川来的少女搭讪,转了一圈,周训秘又回来了,她不忍心去欺骗那三个花朵一般的女孩子。

    韩端荣见她空手而回,就恶狠地拉住周训秘的胳膊说道:”你要不干,就把你杀了!反正你是外地人,政府没法破案!”

    迫于威胁,软弱无能的周训秘又走上前去诓骗那三个少女。三个少女最大的只有18岁,最小的15岁。

    她们是去山东滕县走亲戚的。周训秘以有车送她们去亲戚家为幌子,将她们骗上出租汽车。当天夜里,这三个少女被拐卖到铜山县伊庄乡。

    周训秘在这条路上愈走愈远,内心也愈来愈平静了。人生三百六十行,不都是为了一张嘴吗?平时,韩端荣不仅给她钱花,还管她吃好、穿好,比起在那四面都是山的老家,这里简直是天堂。不用下地干活,出门坐小轿车。何乐不为呢!她在罪恶的深渊中尝到了”甜头”,就连韩端荣将她作为姘头这屈辱的事情,她也感觉是一种荣幸。

    周训秘先后参与拐卖了7名妇女,得到的赃款却仅有200元。

    如果说周训秘是由受害者变成害人者的话,那么云南省景东县文井区23岁的张传云,却是由害人者变成受害者的一个典型。

    张传云是因金钱走上贩卖人口这一罪恶道路的。她好逸恶劳,又一心向往高消费的现代生活。于是,她选中了一个无本却有大利的”买卖”——拐卖妇女。

    1987年12月7日,她与当地人贩子栗国强狼狈为奸,在景东县县城举行的物资交易会上,遇到当地只有18岁的女青年罗xx,以做生意挣大钱为名哄骗这位天真的农村姑娘,跟着他们来到徐州。他们将罗xx转卖给韩端荣一伙人贩子。

    谁知,韩端荣不仅看中了罗xx,同时还打上了张传云的主意。韩端荣谎称身上钱不够,让张传云和粟国强一起随车跟他回家拿。这二位男女,不知其中有诈高高兴兴地跟着去了。

    一进家门,韩端荣、张成祥等人贩子,拿着铁链就揍粟国强。粟国强见势不妙,顾不上张传云,拔腿就跑了。见男的跑了,韩端荣又用一个烧红的火钳吓唬张传云,命令她老实一点,就在这天晚上,韩端荣、张成明将张传云、罗xx强奸。

    张传云做梦也不会想到她会有这样的结局。第二天,罗xx被韩端荣等人贩子以3400元的价钱卖给安徽省宿县张山乡大张李庄农民李本贵为妻,张传云也以3200元的价钱被卖给张山乡农民李朝银为妻。

    没想到张传云被卖后一个月,被打走的人贩子粟国强竟偷偷地赶到买主家,用钱赎回了她。张传云是这一起特大劫持拐卖妇女一案受害者妇女中,唯一由个人用钱赎回自由的一个女人。

    第四章 悬起的利剑

    这天早晨许仲林市长上班之后,桌上有一沓信访办公室转来的人民来信。其中有一封由睢宁县邱集乡鲍楼村农民陈伯兰反映女儿杨保翠遭人劫持拐卖的控告信,这位上任一年多的市长目光扫到信尾那非常醒目的几个大字:求求政府,救救我的亲人吧!

    事情很清楚,在他管辖的范围里,有一群不法分子在劫持、拐卖人口。他取过钢笔,重重写下:”请公安局局长阅。妇女被劫持拐卖如此严重,应高度重视并采取有力措施加以制止和保护。对罪大恶极的犯罪分子应依法严厉打击。”

    信转到市委副书记吴伟峻手里,他也在上面作了批示:”请公安部门拟定有力措施,加快侦破此案。”

    以雷霆之力迅速侦破

    1988年1月3日,市公安局刑警大队根据先后接到五起受害人的报案,决定立案侦察。

    几天后,一个由刑侦、治安、预审、收审等部门联合组成的专案组成立了。在市公安局副局长周德文、刑警大队大队长张清花指挥下,投入了紧张的侦破工作。市政府又专门拔出大量专款、车辆用于此案的侦破。

    黑暗势力越是猖狂的时候,越预示着他们末日的来临。那些被拐卖、被凌辱的妇女并非都是任人宰割的羔羊,当她们认清这伙人贩子真面目的时候,便勇敢地站起来进行斗争。她们相信法律能够惩罚这些吃人的魔鬼。

    受害人之一杨丽娟来到市刑警大队报案后,被热情地安排在市公安局招待所里。一天中午,她吃过饭后,在公安局附近的一个巷子里,偶然碰上了那天劫持和凌辱她的其中一个人贩子,由于报仇心切,抑制不住内心的积愤,她大喊起来:”抓坏人!他是坏人!”那家伙见状吓得拔腿就跑。等到公安人员赶来时,那家伙早已不见踪影。

    市刑警大队立即组织力量,根据杨丽娟提供的线索,寻找参加劫持她的出租汽车司机。经杨丽娟辨认,公安人员在徐州火车站广场抓获了司机王立清。他供出那三名人贩子分别是杜文彬、孔凡银和王会唤,并交待了人贩子在铜山县郭集乡的窝点。

    1月5日深夜,当孔凡银和王会唤二名犯罪分子刚刚踏进西王庄村的家门,就被埋伏多时的公安人员抓获。

    经过审讯,这两名罪犯供出了杜文彬以及其他同伙的下落。1月6日晚,当杜文彬、张成祥、刘德华、张玉喜等五名罪犯用拐卖妇女得来的赃款,在徐州火车站地下宫旅社与外地两个女流氓进行淫乱活动时,公安人员破门而入,将他们抓获。

    在这同时,市公安局积极与友邻地区宿县公安部门联系,请求协助抓获这个拐实妇女集团中的两名首犯韩端荣和张成明。谁料竟出现了一个富有戏剧性的场面。

    1月8日,住在宿县栏杆区的张成明刚走到集上,就被当地一个农民抓住。说是从他手里买的一个四川妇女到家没几天就跑了,至今找不见踪影。硬逼着张成明退回3000元的买金。愚昧无知的张成明竟然不知道拐卖妇女是犯罪的,争吵了半天,见那农民仍死死纠缠不休,就拉着他来到乡派出所,请政求府出面,”公正”解决这场纠纷。

    乡派出所的公安人员正准备去抓他,见他主动送上门来,就势”请君入瓮”。接着,他们又于当天抓获了首犯韩端荣。他是在带着两个拐骗来的四川妇女,送到张成明家时,被戴上铮亮的手铐的。

    随后,由刑警大队一队队长张炎栋率队,十几名刑警参战,直捣这伙人贩子最大的窝点——铜山县伊庄乡,在乡派出所的同志配合下,神速出击,一举将剩余的十几名罪犯抓获归案。

    至此,这个庞大的拐卖妇女犯罪集团,开始土崩瓦解。

    2月4日,一份关于韩端荣等人劫持、强奸、拐卖妇女案件的情况报告,送到了许仲林市长手里,他看了后感到十分震惊,立刻提笔签道:”此系大案建议政法委员会加强协调,加快审理。”市委副书记吴伟峻责成市检察院组织有关人员,提前介入此案。

    这伙人贩子被押解到徐州市公安局收审站后,专案组成员立刻对案犯通盘审理。经过三十多次审讯,主犯韩端荣、张成明、张成祥等人避重就轻,遮遮掩掩,拒不认罪,甚至有时在审讯中吵闹:”我没有罪,你们抓错了人!”

    后来公安人员当面出示证据后,其中张成祥又装着冤屈地样子说:”我们不过是为乡里的大男大女解决婚姻问题,就像你们城里的婚姻介绍所……”妄图抵赖到底。

    同时,韩端荣在监房内,贼心不死,千方百计伺机逃跑。他乘看守的武警战士不注意,竟偷偷地在床板下掏起洞来,手磨出了血仍不罢休……每当武警战士走来巡视监房时,他便迅即用床板掩盖起来。几日后,被一个同监的罪犯揭发了他,一次空前的越狱才没有得逞。

    专案组经过4个多月的紧张侦察,走遍了苏鲁豫皖三十多个乡镇,南下云南、贵州、四川等地,调查、走访了六百多人,最后终于掌握了韩端荣、张成明这个拐卖妇女团伙的大量犯罪事实。

    无法攻克的”堡垒”

    当我们和头顶国徽的公安人员一起,寻找一个又一个受害妇女的下落时,我们心里总是充满莫大的慰藉和喜悦。同时,那种沉甸甸的压抑感也让人心里很疼很疼。

    “解救难啊!”,干了几十年刑警工作的市刑警大队长张清化叹息着。

    当他们来到宿县栏杆区,要求解救被韩端荣一伙拐卖的13名妇女时,买主们竟在一夜之间就把这些妇女藏了起来。后来,他们找到该区的区长,哪知,区长非要办案人员作出保证不将她们解救走,才肯出面做工作。

    在此同时,云南省昆明市禄劝县有104名妇女儿童被拐骗来徐州。根据受害人家里的要求和提供的线索,禄劝县专门成立解救组来到徐州。

    解救之一:冯玉风。18岁,被人贩子拐骗到徐州铜山县郭集乡,以1500元的价钱卖给38岁的农民陈思良。当时买人的钱不够,村长鲍广科还亲自和人贩子签定欠款合同。

    解救组的同志到来时,冯玉风哭着提出要回家,不愿在这里生活。当解救组同志要带她走时,遭到群众的围攻。愤怒的农民打掉公安人员的帽子,并且撕下象征法律庄严的帽徽。当时,村治保主任和村长都在场,他们不但不劝阻反而支持群众闹事。致使冯玉风未能解救走。

    解救之二:李桂芳,23岁。现在家乡有两个孩子。买主听说解救组来了,马上把她藏起来,未能带走。

    解救之三:杨文翠,30岁,在南方家中有三个孩子。现被人贩子拐卖到邳县八路乡十定村。杨家乡的公安人员得到家人的报案后,前来将她解救出来。因当时晚了没有火车返回,只好住进旅社。两个公安人员有事出去的时侯,当地群众冲进旅社,把杨文翠抢走。南方来的公安人员请当地乡政府和派出所带助,他们却置之不理,不管不问。

    这次,他们要解数的共有27名被拐卖来的妇女,因当地群众阻挠,又得不到乡政府、派出所的支持,致使解数工作无法进行,只带回去4名妇女。

    当我们将此事询问到当地乡政府、妇联、派出所的同志时,问他们为什么不愿意帮助解救工作。他们说:”人家半辈子找不上媳妇的老光棍,好不容易拼凑几千元买了一个,人家要过日子,生孩子,你们解救走了,他落个人财两空。天天找你闹。昨办?”

    是的。当买主人财两空时,他们会置法律于不顾,要和前来解敦的人拚命的。他们像守护自己的一件私有财产那样理直气壮地”守护”她们,把她们禁锢在自己的”堡垒”里。可是,我们的一级政府、人民的仆人们,我们维护法律尊严、保卫人民安全的公安人员,你们最基本的是非观念、法律意识到哪里去了呢?

    难道这由几千年封建思想构筑的”堡垒”就攻不破吗?

    1985年,从中南海发出的中央办公厅文件上明明白白地写着:”买卖人口是国家法律所不能容许的,收买妇女、儿童是违法行为。对收买妇女、儿童的人,要严肃地进行批评教育,所支付的款项,一律不得让受害妇女、儿意的亲属补偿。一定要让收买妇女、儿童的人人财两空。任何人如有阻挠解救工作、进行人身迫害等行为,应依法严重处理。”可是这白纸黑字的”圣旨”,到了这里就不管用了。

    我们突然明白了那么多的被拐卖来的妇女,很少有逃出去报案的原因。她们不仅仅受到买主一家的监视和禁锢,还受着整个社会环境的监视和禁锢。

    我们突然悲哀起来。

    历史在这里沉思

    徐州特大劫持、拐卖妇女一案的寻证工作结束了。然而留给我们的不是一个胜利后的喜悦,却是一个沉重的忧思。

    这样一个穷凶极恶的拐卖妇女团伙,能够在光天化日之下明火执杖、有恃无恐,而未受到及时打击,其中的原因难道不值得人们深究吗?

    当我们来到铜山县伊庄乡时,只见村里村外的大树下、墙角旁,到处是操着云南、贵州、四川一带口音的妇女,她们三五成群地聚在一起,有的抱着孩子,有的在互相倾诉自己不幸的命运……

    据乡领导介绍,自1986年以来,该乡的农民就买进2000多名外地妇女。我们问伊庄乡的白乡长,这么多外地的妇女被拐卖到这个乡,他有什么想法时,他竟坦然地一笑:“过去我们乡治安状况很乱,偷鸡摸狗、杀人盗窃层出不穷。自从来了那么多女的,光棍汉们都有了家,能够安居乐业,我们乡里的治安就好多了。”

    仅1986年以来,外地涌入铜山县的妇女就有一万多人,其中云、贵、川妇女就占百分之七十五。她们绝大多数人是通过罪恶之手被扔到这片土地上来的。但是,这个县的几位主要负责人竟然根本不知道该县有一万多”非法入境”的人口!

    一位铜山县妇联的妇女干部,在接待我们采访时,也不愿吐露一个真实确切的被哄骗、拐卖来的妇女数字。她说公布出的数字越多,她们的解救工作就越多,她们妇联没有钱。一个多么堂皇的理由!一个多么让人痛心的理由!

    怨不得那些人贩子如此猖狂!

    大量的外地妇女流入,使这里兴起”买媳妇热”。不仅农民光棍买,而且许多农村基层干部、党员也热衷参加。

    ——1987年8月伊庄乡计划生育办公室主任姜立本花了1500元钱,从人贩子韩端荣、张成祥那里为儿子姜德生买来年仅18岁的贵州女青年覃堂平。当晚,姜德生把覃堂平拽进自己的屋里,欲与她同房,她死也不从。姜德生气得一把揪住她的头发,狠狠地打了她几个嘴巴,她吓得一边哭,一边向姜德生求饶。最后,她只好忍辱屈从。

    当公安人员为获取韩端荣等人的罪证,找到覃堂平时,她哭着要回家,此事被身为干部的姜立本知道了,竟然指使儿子又把覃堂平毒打一顿。至今覃堂平还痛苦地生活在姜家。

    ——伊庄乡李林村村长李林邦,四十多岁了没有媳妇。1987年7月,人贩子杨延秀主动找上门,为他介绍媳妇。几天后,杨延秀便领着一个四川妇女刘某,交给李林邦,要价2000元,李竟当场付钱。

    当他发现女的不愿意和他生活,当天又把那妇女退给了人贩子,要回了买金。当我们问起此事,他说:那女人不管玩。说得坦然极了,并不以为自己做了什么丢人的事,更别说他是犯罪了。

    半个月后,这伙人贩子又领来一个四十多岁的四川妇女,只要400元钱。李林邦和她同居一个月,又以同样的价钱转手倒卖给菜洼村一个姓萨的农民。他就像一头贪婪的公牛爱吃鲜嫩的草,而且总是在吃着这一片的时候,贪婪的目光又伸向另一片草地……

    直到1987年8月,人贩子韩端荣以2000元的价钱,卖给他一个24岁的姑娘,他才心满意足,生活至今。

    ——伊庄乡工商所所长刘德运,有三个儿子,因为妻子张云想要个女孩,竟在去年中秋之夜,叫人贩子牛德华、吴雨,从他们拐骗来的四川妇女杭世荣怀中,强行夺走她的仅仅四个月的女儿。当时,人贩子吴雨一脚将杭世荣踢倒在地。

    刘德运付给人贩子200元钱。一家中秋之夜得了个女儿,欢天喜地,马上给这女孩改名为”欢欢”。当夜,”欢欢”的母亲杭世荣也被卖给李林村农民党世华为妻。这位失去女儿的母亲从此神志恍惚,每日只凄惨地呼唤着:还我孩子!还我孩子!村里的人都说她疯了。

    这发生在二十世纪八十年代的事实,实在太残酷了!

    事实上,案发前,当地公安机关就曾发现了韩端荣等人的犯罪活动,但是没有及时采取措施,将他们一网打尽,只是把几个人贩子传唤到派出所训斥一顿,放人回家自我悔过。致使他们的胆量愈来愈大,终于从一般的拐卖发展到劫持、强奸妇女。

    更为严重的是,1987年10月,贵州省铜仁县女青年李晓红被当地人贩子骗到徐州,转卖给韩端荣一伙人贩子。当这伙人贩子捆绑着李晓红前往买主家时,李晓红在路上看见佩戴着金色盾牌的乡派出所民警李志成,就像在苦海中抓住一根救命的草,拚命呼喊起来……

    李志成不但不抓人贩子,反而把李晓红带到其堂兄弟李志刚家。就在第二天的晚上,李晓红被李志刚强奸了。第三天,又将她以1800元的价钱,卖给该乡尚庄村的农民赵绍志为妻。

    一份有关外地妇女被哄骗、劫持、拐卖到江苏省徐州市的调查报告中,赫然罗列着这样几组数字(这仅仅是一个最保守的数字)。

    自1986年以来:

    钢山县12000人

    睢宁县 8700人

    邳县 9400人

    丰县 8100人

    沛县 5300人

    新沂县4600人

    这是一组骇人听闻的数字,这是一组充满血和泪的数字。犹如地震引起海啸,火山爆发导致城市毁灭一样,拐卖妇女,诱发和引起一系列社会问题,造成了恶性连锁反应:违法婚姻增多(那些买云贵川妇女做媳妇的家庭绝大多数没有办理婚姻登记手续),民事纠纷增多,刑事案件增多。

    1988年5月17日,安徽省宿县桃山乡人贩子胡长奎,将21岁的四川省乐至县光明乡女青年鲍素珍,以2100元的价钱,卖给铜山县三堡乡三堡村38岁的农民张瑞士为妻。5月27日凌晨,鲍素珍手持菜刀将正在熟睡的张瑞士的脖子上砍了4刀,腿上砍了5刀,直到张瑞士呼救,邻居们才冲进屋里抱住鲍素珍,将她送到乡派出所。

    类似这种刑事案件,铜山县今年已发生3起。

    1988年6月16日,市检察院已批准逮捕这个犯罪团伙中的15名犯罪分子,其他犯罪分子也已收容审查,我们的心里又一次充满了欢欣的喜悦。然而,一种沉重的忧郁又压到我们的心头。

    我们收到一封睢宁县沙集乡大顾村女青年顾某寄来的信。信中说:”我们这里经常发生妇女买卖现象。4月下旬的一天,紧靠着我家附近一个农家小院里,突然传来一阵凄厉的呼救声:‘救人啊,救人啊!’我寻着这嘶哑、惊恐、稚嫩的声音奔去。在小院门前,看到一个才十六、七岁哭成泪人的姑娘,跪在两个可怕的中年男人面前苦苦哀求:‘好心的叔叔大爷,让我走吧,放我回家去吧!’

    ‘哭什么,老子是花了二千三百元钱买的。哭也没用,你就老老实实给我当老婆生孩子!’说着,这两个男人抓起她,在哭闹声中,将她强行拖走了。

    我一打听,才知道她是云南人,被人拐卖到我们这里来的。看到这一悲剧,我一个农村姑娘,洒下同情而又悲愤的眼泪。求求你们,救救她吧!”

    这样的求救信,我们先后收到十几封。

    看来,徐州地区的妇女买卖并没有因韩端荣那一伙劫持拐卖人口的罪犯抓获而消失而天下太平。罪恶的祸水,还在这块土地上蔓延着……

    仿佛一切都没有发生一样,津浦铁路、陇海铁路,照样每天在这里交汇,如水的人流依旧从徐州火车站检票口涌出,然后消失在这古老的城市和乡村的每一个角落,农村的女孩子们照样地会从那些封闭、落后的山沟里。源源不断走向城市,走向文明。

    1988年5月1日,当徐州人民从梦中醒来,猛地发现东站广场对面白云大厦上,高高地耸立着一只巨大的北极星石英钟。在这个国际劳动节里,它准确悦耳地在古城清晨鸣响。

    石英钟的乐声替代秦墓汉坑中的兵马俑的呐喊,然而,它能替代黄河故道上那依旧凄惨的鸣咽声吗?

    我们不知道。

    (重发此文有删改。由于这些受害者可能至今还生活在那片土地上,为了不给她们今后的生活带来阴影和痛苦,故在文中隐去受害者的真实姓名。)

    2001年《南方周末》刊载陈韵秋的报道《被拐六年》

    早晨起来妈妈顺手拿起衣服准备给女儿穿,张小丫说:“妈妈我都20岁了,你还给我穿呀?”妈妈一惊,手停下来,眼泪奔涌而出。

    失而复得的女儿已不是她14岁的小丫丫了。女儿在被拐卖的6年里,已经变了。女儿的一举一动一笑一颦都和妈妈记忆中的6年前的14岁的女儿不一样了。

    这6年是她一无所知的6年,是她的母爱无论怎样深厚怎样博大都无法触及的一个黑洞。

    女儿的身体已不是6年前像蓓蕾一样的稚嫩了,手和脚还留在少女时代,很细小,但身体已是少妇的了,身上还有明显的生育的痕迹,少女和少妇不协调地组合在女儿身上,很刺眼。

    拐卖

    1994年12月19日,张小丫早晨起床有点发烧。她刚做阑尾手术刀口还没好利索。但期末考试在即,她要到学校去上早自习。爸爸说别去了,她说不行,并说晚上有晚自习,让爸爸去接她。

    那一天,小丫穿了一身红色的校服,外面穿着一件红色的牛仔大衣,边下楼边和我们说着话,早晨起来我怕她来不及,衣服都是我给她穿的。这就是她最后的样子,这样子老在我眼前晃,6年没变过。”小丫的妈妈说。

    张小丫:“那是早晨6点多,天下着大雪,又冷又黑,马路边的小店铺都没有开门,路上也没什么人。前面停的一辆面包车上下来一个20多岁的女孩子,挺时髦挺漂亮的,操着北京口音来问路,她问我到世界公园怎么走,我就告诉了她,可她好像怎么也听不懂,我给她说了好几遍,她说上车再说吧,我可以把你带到学校门口。上车后,她让我喝牛奶,我不喝,她突然灌起来,牛奶是热的,在一个保温瓶里,洒了我满身都是。我忽然困起来,车子过没过学校门口我就不知道了。”

    张小丫那一天从家走出不过100多米远就消失了。而她的学校————北京丰台区一中也就离她家300多米远。这里在丰台火车站的背后,有一个铁路的岔口,小店铺把马路挤得很窄,路边堆着垃圾,操各种口音的人来来往往,小路的拐弯处就是学校。小丫的爸爸说,小丫丢的时候这里还没有这么多的店。中午的时候张小丫没有像往常一样到姥姥家去吃饭,爸爸去学校找,老师说没来呀。

    这一天,雪下了整整一天,刮着大风,爸爸和亲人们找了所有她可能去的地方,查看了来来往往的列车。这时正是民工回乡过年的日子,爸爸的心里早就慌了。

    第二天学校接到一个电话,一个姓李的老人说,小丫是在一个弹棉花的小店门口被人弄上了车。相同的消息互相印证,一家人才知道孩子被拐了。张小丫70岁的爷爷当即脑溢血,不久死去。

    张小丫:“我醒来的时候天已经黑了,我发现我躺在一间屋子的沙发上,屋里点着灯,一些人在灯下吃饭。我说我要回家,哭起来,一个男人过来开始往外拉我,在屋外的雪地里,他扯着脱我的校服,撕下我的校徽,搜出了我的学生证,连我书包里的红领巾也拿走了,然后把我往一间小黑屋里推。我不进去,拼命挣扎,那个人就把我按在雪地里狠狠打了一顿,把我拖进小屋,门从外边锁上了。

    “我当时脑子还不是特别清醒,药力可能还没过去,也吓昏了,只知道哭叫、砸门,第二天才看清这是一间没窗、没电灯、没床、没桌椅的小屋子,我只能从门缝透进的光知道天亮了、天黑了。他们有时一天开一次门送进一点冷饭或凉水,然后就不理我,我尿尿、拉屎在屋里,晚上和屎尿睡在一起。”

    张小丫的妈妈觉得女儿没被冻死是个奇迹,在她的印象中那一年冬天特别冷。她反复问女儿:发烧是怎么好的?阑尾的刀口是怎么长好的?发没发炎?晚上没被子盖怎么能睡?嗓子哭哑没有?有没有得感冒?张小丫都说不记得了,因为当时太害怕了,她身上的痛都不记得。她的右手受伤,留下抽筋的毛病,她不知道是被打的还是她拽着门框不走硬拉伤的

    但她记得她反复喊的一句话:“我要回家!我要妈妈!”

    强奸

    张氏夫妇为了寻找自己的女儿,跑了全国十来个省的五六十个县市。他们在电视、报纸、杂志上做广告,自印了三四万元的寻人启事到处张贴。

    6年,他们都奔波在寻女的路上了。

    6年中经他们找到线索解救出的张姓或北京的被拐女子就有三个。一次在湖南一个也姓张长得也极像小丫的女孩子已被折磨得病入膏肓,只会哭不会说话了,张氏夫妇转身走时,有人说,看,多狠心,怕弄个病人回去,竟丢下不管了。张师傅说:“要是我女儿就是尸首我也要抬着回去。”说完已是满脸的泪水。张氏夫妇不知道,他们心爱的独生女就被卖在河北省高碑店市肖官营乡顿豆夏村,离北京只有十元钱的车票钱。甚至后来有同村人看到了他们在电视上做的广告问小丫:你爸爸说有重谢给多少钱?

    张小丫:“我也不知道在小屋里关了多长时间,感觉是一个星期吧!一天小屋的门开了,一伙人准备了一辆三轮小拖拉机,要把我弄上车,我说我要回家,他们不说话硬要把我往车上拉,我又哭又叫大喊救命,那天晚上打我的那个男人

    又把我打了一顿。我上了车一个劲地要往下跳,一个四十多岁的女人一下把我按在车箱里,用屁股坐着我,就这么坐了一路,我的脸贴在车箱底下,喘不过来气,也哭不出来了。”

    张小丫后来才渐渐知道,关她的小屋所在地叫“高二”(音),这家的主人,也就是常打她的男人叫田志样,是买她的男人田志宾的叔伯哥哥,拉她去的地方是顿豆夏村。

    张小丫:“我关在一间屋里,屋里有一张土炕。那些人在另一间屋里吃饭喝酒,我冷极了,饿极了。晚上一个男人开了锁上了炕,我求他放了我送我回家,他不说话硬脱我的衣服……”

    说到这,张小丫坐在沙发上的身子缩成了一团,头都要埋到腿里了。

    张小丫:“我不是十分清楚他脱我的衣服干什么,我只知道他的样子很凶。我不记得痛不痛,不记得我是不是昏了过去,也不知道后来我是不是哭着睡着了,我只记得特别特别地害怕、特别特别地想妈妈。”“强奸”一词是公安部门拘押田志宾的理由,直到这时张小丫才开始用这个词描述那天晚上她的遭遇,每次说时都怯怯的难以出口。她被强奸时只有14岁半,而田志宾“已经30多岁了”。

    一个星期后小丫被拉到一个地方和这个男人照相,小丫从照相馆里冲出来,边哭边叫“我要回家,我的家在北京”,田志宾从里追出来,“当街开始打起我来,围观的人很多,但没人管,他把我拉进去和他照相。照相时我穿的是一件旧西服,里面是我的红校服”。

    不久田志宾的“老姨夫”村党支部书记徐金池送来了户口本、结婚证。户口本上常住人口登记上写着:刘小红,1974年5月15出生,高碑店市肖官营乡人,身份证号码132404740515(原号码如此,编者注),与户主的关系:妻子。承办人:户籍民警张金良。上面盖有河北省公安厅高碑店市公安局的户口专用章。

    就这样张小丫变成了刘小红,有了户口本、身份证、结婚证、生育指标和土地。后来小丫才知道,分土地的时候村里人起了争执,有人不愿给她分,村领导只好给她分了半个人的地。

    国家公安部和全国妇联的调查人员到高碑店市了解小丫怎么有了户口和结婚证,得到的结论是:该地户籍管理混乱是遗留问题,全市一人有两个户口本的有2000多人。而肖官营乡3万人的户口底卡1997年丢了一半,那个叫“刘小红”的人的户口底卡恰恰就在丢失之列。主管户籍民警张金良在1997年前还没调来呢,现在假户口本上的签章只是例行公事而已,谁为小丫办的假户口,无法查证。公安人员传唤了田的老姨夫,他拒绝说出办证的途径。而田志样和田志宾则说小丫是他们“捡的”。

    一个被贩卖的14岁的孩子的身份就这样“合法”化了,小丫于是每天都在被“合法”强奸。

    张小丫:“有一天田家放起了鞭炮,来了很多人,我被锁在屋里。我从门缝看到了院子里摆了很多桌子,人们在喝酒划拳。晚上田志宾满身酒气地爬上了炕……”

    过了很久小丫才知道,那天是办她和田志宾的“喜事”。

    生育

    张小丫刚过15岁就怀了孕。

    张小丫:“没人告诉我我是怎么了,我光知道自己很难受。没人和我说话,大部分时间我被锁在院子里,喂猪、做饭、搓玉米、剥花生。如果饭在他们回来时还没做好,他们就会打我,主要是田志宾和他妈打。他们一家六七口的饭,我又要烧柴看火,又要看着锅里。”

    “我熬的玉米碴子粥常常是结成了块,他们只好捞了去喂猪。烙了半年的饼才知道烙饼要放油。”这个出生在城里的14岁的独生女常被田志宾他妈骂————“光知道吃不能干”。

    张小丫:“我肚子都已经挺出来了,怀孕大约有五六个月了,一天田志宾的大妹妹(我叫她小姐姐)才对我说,我肚子里有了孩子。我又惊又怕不知该怎么办好。”

    知道了我怀孕,田家的人对我看管松了点,秋忙的时候让我上大田里收玉米棒收花生。冬天和小姐姐一起去集市卖瓜子花生。平静(音)集特别难走,要走河堤。我推着半麻袋瓜子大着肚子不敢骑,上堤的时候怎么都推不上去。那一年冬天特别冷,在集上站一上午我的受伤的手老抽筋。

    差一个月16岁的时候,张小丫生下了一个女孩,这个孩子是农历三月初七的生日。

    张小丫:“前一天我还在干活,肚子痛时我还不知道是怎么了。早晨肚子痛,中午来了一个外村的接生的女人,一直到晚上天黑孩子才生下来。”

    她说,“当时我特别特别想妈妈,真想她就在跟前,好让我一把抓住她,我就喊着妈妈不停地哭着。”

    张小丫:“生下了孩子,我躺在铺了张席的炕上,他们给了我一碗棒子面粥。

    没有人给我一句话。喝了一个星期棒子面粥后就开始下地干活了。怎么弄孩子一点都不懂,田志宾的妈妈整天到地里干活也不教我,都是小姐姐告诉我怎么喂奶怎么抱的,当时她刚出嫁还没孩子。”

    孩子吃了她一年多的奶,有了孩子后她和田志宾搬到另一个院里去住,田每天早晨出门深夜回来,孩子和小丫锁在院子里,剥花生搓玉米的活拿进来,干完了由田带出去。孩子和她吃的菜用的东西也都是田带回来。

    这样囚禁的生活有四年多。

    张小丫:“院子的墙特别高,有一面是邻居猪圈的墙矮一点,但插了玻璃。

    屋子的窗子都是开向院子的,根本没法出去。”

    孩子长到四岁多的时候,人们发现是个哑巴。

    不知是小丫太小生育,还是母女俩被囚禁时间太长的原因,这孩子能帮妈妈搓玉米、剥花生,会给妈妈擦眼泪,听得懂妈妈的指令。妈妈会做的饭就是烙饼、熬粥,活动的地方就是院子、屋里。田志宾从不回来吃饭,只回来睡觉,也从不抱她。

    她至今也不知道孩子为什么不会说话。直到她逃走的时候,她也没有听到孩子叫她一声“妈妈”。

    出逃

    2000年12月9日,张小丫终于逃回北京的家

    这一天离她被拐差10天就整6年了。为了这次出逃她蓄谋了好几个月。

    6年中逃过多少次小丫自己也说不清楚。反正是逃一回,挨一次死打。小丫记得6年中最苦的就是逃跑给抓回去的时候,不光是皮肉受苦,最难受的就是绝望。

    张小丫:“一次我从早晨开始逃,一直跑到天黑,不知道跑了多少路,慌乱中一条河过了两次。到了一个村里遇到了一个老奶奶,才知道跑反了方向。老奶奶让我住她家,说她儿子在北京打工,她要到北京看儿子,第二天带我一起去

    “第二天中午她让我买点豆角,吃了饭就走,我出去的时候遇到了一个女人,她看了我一眼什么也没说就走了。我们饭还没吃完,田志宾就开着三辆拖拉机带着20多个人来了。原来那个女人是顿豆夏村嫁到这里来的,给田家打了电话

    20多个人下车虎狼般地扑上来,围着我拳打脚踢。衣服被撕破了,鞋也掉了一只。除了田志宾,那些打我的人没有一个姓田的。

    小丫得出一个结论:全村的人都在看着她,只要有人看见她跑就会给田家通风报信。村外是一马平川,从这个村可以看到那个村的院墙,根本没法跑

    这次跑的代价是被打得在床上躺了半个月不能动,但她从未放弃过跑的机会。并且她是越逃越有主意、越逃越有经验了。

    一次小姐姐带她到田志宾母亲的院里,她发现田家放钱的小柜子没有锁,她偷出了100元钱和她的结婚证、户口本,回家缝在棉大衣里。

    张小丫:“我就这么一件衣服,我整天穿在身上。晚上睡觉也不敢放松,就盖在身上。”

    怀揣着这个重大的秘密,她惴惴不安地等了几个月。直到一天田家忘了锁门,而田志宾的小妹妹骑着上学的自行车就扔在门口!而这时天还没完全亮,村里人还都没有起来!

    张小丫:“我抓起自行车就冲出了门。我记得小妹妹说过上学的地方在肖官营乡,顺着路一直往西,我就拼命地骑,一边不停地回头看有没有人追上来。突然,我一头栽下了地,往沟底滚。路基下是人家养螃蟹的池子,拉着电网,挨上就完了。我爬起来顾不得痛抓起自行车再跑。原来我以为肖官营乡不远,没想到骑了那么长时间

    肖官营乡是村里人赶集常去的地方,好在天早,店铺都没有开门。我扔了自行车,打了一辆面的,说我要去北京,让他拉我去有车的地方。车主要等拉满了人才走,我说给你三十块钱,快拉我去。车主就把我拉到了高碑店市。我看到一个有很多长途车的地方就叫停车

    “下了车就慌忙上了一辆。一会面包车又转了回来,说,你不是到北京吗,这不是上北京的车,我再拉你去北京的长途车站吧。

    “我买了十块钱的车票。车子老不开,我怕上来认识我的人,心都要急得蹦出来了。开车后我晕车很厉害,一个劲地吐。在良乡司机停了车要我下去吐,我说你们千万要等我,可我一下车车子就开跑了。

    “我又花了三块钱租了一辆三轮车让他带我去良乡派出所。我撕开了棉衣拿出了户口本和结婚证。”

    小丫这才知道她逃了6年的回家路只有43块钱这么长。

    妈妈接到小丫从良乡打来的电话怎么都不相信电话的那头是自己的女儿:“口音全变了,和小时候说话的声音一点都不像,一口的河北腔。”

    张氏夫妇看到女儿时惊呆了:女儿竟然还穿着6年前的红校服!只不过那红色已变成了紫黑色。头发脏乱得像草,又瘦又小的身体抖做一团。

    “派出所的人找来电暖气开到最大,小丫还是不住地发抖。我一看这孩子腿上还是穿着6年前的一条毛裤。早都是大洞了。毛裤里面什么都没穿,连一条小裤衩都没有。你说她能不冷吗!”小丫的妈妈把孩子紧紧地搂在怀里。

    劫后

    张小丫:“我回到家,家里什么都没变,比我6年前走的时候更破了点,爸爸为找我把我的游戏机都卖了。”

    其实这个家一切都变了,尤其是她。

    回家检查身体,她患有乙型肝炎、胆囊炎,不但没长高,还从1·54米降到了1·52米。夜夜发烧,以打点滴度日。因为治病所吃的药有副作用,回家三个月体重一下子长了快三十斤

    更主要的是她的人生在6年前断裂了,没法再续上了。对门的同班同学已经上大学了,来看她,问她,你怎么这么长时间才回来?学校给她发了个初中肄业证,其实她初中一年级都没有读完。“在北京这样的文化程度是没法就业的。”全国妇联权益部的李同志说

    一家人愁她的将来。爸爸为她报了个电脑学习班,这是她第一次看见电脑,上面的26个字母她背不下来。又报了一个少儿剑桥英语,两个小时的内容,她用了一个星期才全部把单词查出来。只好放弃了

    现在她整天去练打字,也是班上最慢的。还有官司不知道什么时候能打下来,听说要发回高碑店市检察院,小丫已经哭了好几回了,再回那个地方对她来说太可怕了。爸爸想告给她办了户口、结婚证、生育指标的机关,找了几个律师,人家都劝他别告官,就是告赢了也不知要花费多少时间和金钱。而她家里欠着债,连看病的钱都成了问题

    她已经被甩出了北京生活的正常轨道

    一天晚上一家人去散步,遇到一个同学。这个同学装做没有看见小丫径直走过去了,并且和她同行的男人在背后议论着小丫的事,这让小丫很伤心:“我们以前是最好的朋友,一起骑车去买邮票,我们几乎整天在一起。她见了我竟不打招呼。”

    她没有朋友,朋友们都一路向前走了,只有她陷在了泥潭里。她一个人在家里绣花,不敢出门,怕田家的人又来了。

    更让人担心的是她独自承受着的6年来受的苦难。

    最痛的事她连妈妈都不说。妈妈还是第一次在记者采访时知道她生的孩子是哑巴,知道她也想孩子。毕竟那孩子伴她度过了最寂寞的四年。每当说起6年前被拐那天早晨上车的经过,她都会加上一句:要不是发烧难受,我也不会上那辆车的。好像有人在责备她犯了错似的。(应被访者要求,文中张小丫为化名。)

    被拐卖的女研究生

    “……现在想起来真有点后怕。我为了追踪采访,从北京到了郑州,又日夜兼程公共汽车颠簸了八个小时,赶到了山东郓城。某公安局的同志见我是傍晚下的车,倒吸了一口气,立即将我’看管’起来。 当时那里拐卖妇女成风,贵州一位妇联主任到郓城联系解救本地被拐卖的妇女,竟遭歹徒劫持,准备强卖……”

    以下文章的作者武勤英为一位性记者,当年《河南日报》不到300字的消息,让这位女记者只身闯“虎穴”,原文刊登于1988年6月的《光明日报》,故事女主人公为同济大学女研究生王莲(化名)。以下为原文:

    人类之所以生存下来,关键是因为他脱离了动物界,摆脱了本能适应,并且超越了自然界。 –埃·弗罗姆

    大字标题吸引着我的视线–《一女研究生被诱骗入火坑》,引题是“建国来罕见拐卖案”,副题是“罪犯李敏昨日在郑州落网”。

    这登载在《河南日报》1988年6月7日头版不到300字的消息,引起我强烈的采访欲。

    抓起电话,向郑州有关部门挂了个长途,得知罪犯李敏正在郑州火车站公安分局关押。

    当我赶到郑州,罪犯李敏已被山东省郓城县公安局解走。于是,我混杂在疲惫的人群中,挤上了郑州–郓城的长途汽车。

    整整在黄河故道上颠簸了8个小时。下午6点,总算到达了目的地。

    沿着女研究生蒙难的踪迹,我寻访着。这桩拐骗案,一个听来像是《天方夜谭》中的故事……

    1. 狱中提审

    “宫长恩,出来!”

    随着监狱长一声威严的低传,从第5号牢房走出来一个 步履迟缓、弓腰缩背、目光猥琐的中年农民。

    他穿着一件自家缝制的中式竖条土布褂子,两道扫帚眉拧成一团,眼角往下耷拉着,几道明显的抬头纹嵌在窄小的额头上一头蓬乱的头发像是在土窝窝里滚过的……

    即使他不是罪犯,也是丑陋的。

    “宫长恩,你犯了什么罪?”我的声音虽不像法官那么严厉,却是严肃的。

    “俺-一买–媳-妇。” 缓慢的鲁西口音。“你买的是谁知道吗?”

    “俺不知道,俺要知道了,一辈子也不买她。” 胆怯、木讷,一句话要拖好长。

    “姑娘已告诉你,她是大学生,你为什么还要和她强行结婚?”我有些气愤了。

    “俺–俺听说南方人都好骗人,常常装扮成高干子弟啥的。她说她是大学生,可她也没有带执照(他称身份证明为执照),俺不敢信她的话……怕她骗俺……”

    一个典型的黄河岸边土生土长的农民,寒伧、粗莽、冥顽、蒙昧。

    他脸上的表情一直很紧张,手在微微发抖,常常因听不懂我的普通话胆怯地问声“啥?”他的眼睛不敢正视屋里任何一个人,怔怔的眼神只瞅着鼻子尖底下那一小块地面。

    “你念过书吗?”“没有。”

    “会写自己的名字吗?”

    “不会。”

    我的心头一阵紧缩。

    2. 旅馆里的交易

    郑州站的夜晚,灯火通明,热闹熙攘。介绍旅馆的中年妇女,兜揽出租汽车生意的精壮汉子,西装革履的经商“老广”,初出远门的乡下姑娘……


    在这京广、陇海两大交通命脉的交汇点,平均5分钟过一趟火车,每天流动人口达20万,高峰时可达30万。


    火车站正对面,有一个运青楼旅社。

    1988年2月25日(农历正月初九)下午4时左右,旅馆三楼15号房间一先一后住进来两个年轻的姑娘。

    先住进来的那个,梳着马尾头,苗条挺秀身材,秀美的脸上戴着近视镜,越发显得文静。

    她刚把旅行袋放下,推门又进来一个十七八岁的姑娘,瀑布似的秀发披肩,红润的鹅蛋脸,嘴角上有颗美人痣。


    “大姐,你从哪儿来呀?”刚进来的矮个子姑娘主动问先进来的高个子姑娘。


    于是,她们互报了家门。

    高个子姑娘说话坦诚,毫无戒心;矮个子姑娘说话亲热,滔滔不绝。
    一个说,自己是上海某大学的研究生,因撰写毕业论文,到郑州工学院查找资料,收获不大,准备再去北京搜集。言谈中,流露出因买不到去北京的火车票而产生的焦虑。另一个说,自己是重庆开饭馆的个体户,也想去北京,车站有熟人,买车票不成问题。


    一个是一口一个姐,而且殷勤地承担起跑腿、寄存行李等一切杂事;一个是旅途孤单,能有这么一个热情的伙伴与自己同行,确是求之不得。

    矮个子姑娘眼珠一转,压低声音告诉高个子姑娘,自己在山东郓城县有一批货,得先去提。说着,又诡秘地从提兜里摸出一块亮闪闪的银元,炫耀说:“跑这一趟,就能赚好几百。”


    高个子姑娘不觉一惊:“倒卖银元是违法的呀!”

    “咳,什么违法不违法,能赚钱就行。”

    矮个子姑娘又怂恿道:“顶多耽误半晌,等提完货再去北京也不迟。咱俩搭个伴吧,到时候分你二百,怎么样?”

    见对方还是没表态,她为了坚定高个子姑娘前往郓城的决心,又绘声绘色地讲了一通,说郓城是宋江的故乡,那里的街市就跟电视剧《水浒》里的一样,好多镜头都是在那儿拍的。离郓城不远是梁山现在已开辟成旅游胜地……

    高个子姑娘经不住巧嘴利舌的鼓动,终于答应一块去郓城跑一趟。

    3. 相媳妇

    2月28日,对30岁的宫庄农民宫长恩来说,真是此生最美的一天,他要娶媳妇了。
    爹死得早。早些年他家里穷得叮当响,娘拉扯着他们姐弟6人,常去外乡逃荒要饭。宫长恩长得黑,眼睛又小,模样丑不说,个头矮,还窝囊,村里的大姑娘小媳妇从没正眼瞧过他。

    近年来,长期吃国家救济粮的农民手头开始有钱了。有着浑身力气的宫长恩出外脱坯烧窑赚回一沓沓人民币。他先为弟弟娶
    了媳妇,又盖了三间新屋,日子开始有了转机。
    但是,好日子中似乎还缺点儿什么。每当他躺在床上,就有一种冷清寂寞之感向他袭来,同时,又有某种欲望在肉体中骚动。他从集市上买回来许多印有和真人头一般大小的女电影演员的挂历,一张一张地贴在墙上。他常常痴痴地望着一副副秀媚的面孔,飘进了使周身酥软的梦幻世界。
    这一天上午,宫长恩家里来了一个40多岁的女人。她叫马桂英,常来宫庄走亲戚。


    “你想要个媳妇吗?”“想要。”
    “有个闺女你要不要?”

    “要,当然要!”
    价钱从2600元讲到2700元。

    谈妥后,马桂英把宫长恩带到贩卖人口的窝点–李集乡解云斗家。

    在解家又经过一番讨价还价,价钱最后敲定在2480元。

    一个外号“二鼓捣”的人领着宫长恩到与李集乡相隔1里地的陈庄去“相媳妇”了。
    两个年轻女人,一个坐在床头,一个坐在床尾。宫长恩问:“哪个是啊?”“戴眼镜的那个。”
    “那个不戴眼镜的卖不卖呀?”“不卖。”
    就像焦大不喜欢林妹妹一样,农民娶媳妇喜欢挑粗手大脚的女子,并不喜爱文弱的知识分子。

    在宫长恩之前,已有好几个“光棍”偷偷趴在窗外“相”过了,都因为这闺女戴眼镜、一副学生模样没被相中。


    但宫长恩相中了。那浓密的长发,那俏丽的脸蛋……他渴望已久的画中人,终于走下来了。


    宫长恩把在东北烧窑时积攒的800元钱从里三层外三层的布包包里取出来,又到信用社贷款2000元。

    这个被人嘲笑了多年的“老光棍”,已等不得明天,招呼本村八九个棒小伙子,当晚跟他去陈庄拉媳妇。
    人的尊严,在这里受到了最严重的践踏。

    竟然与牲口集市上的交易完全一样,甚至比牲口贸易的手续更为简化:不问年龄,不问来路,不问底细,不问身体健康情况,更不用说问问被卖者本人同意不同意、情愿不情愿。

    在买卖双方看来,只要是个女人、会生孩子的女人,就可按一定的价格进行交易!

    4. 大祸从天降

    深黛色的夜,像一张巨大的网吞噬了一切。四周万籁俱寂,只有三轮蹦蹦车“突突突”的疾驶声。

    坐在蹦蹦车上,她还不时优雅地扶一扶鼻梁上的眼镜。刚结识的女伴已不在身边,说是她还要去另一处看“货”。

    面对坐在身边的几个乡下人,她不屑跟他们说话。黑夜、乡下人、颠簸的山路,都是她讨厌的。为了能赚钱,担点儿惊吃点儿苦也是必要的。她这样安慰自己。
    蹦蹦车经过一阵剧烈的颠簸后,终于停了下来。

    影影绰绰看去,农舍篱笆门里挤满了人。这是哪儿啊?做银元买卖怎么能这么多人凑在一块儿?她正在纳闷儿,就听有人喊:“新媳妇来啦!”接着鞭炮声四起……
    “你们这是干什么?我是来帮人提货的呀!”“你们放手,一定是搞错了,你们让我回去!”声嘶力竭的呼喊声,淹没在人们的喧哗中。
    “闺女,你上了人贩子的当了!今天,人家就要娶你,那个开录音机的就是你丈夫。”一位老大娘悄悄告诉她。一听这话,她几乎昏厥过去。
    她清楚地记得,刚才和那在旅馆认识的姑娘分手时,她还再三交代说:“银元有真有假,你不懂,只管点点数就行了。陪你去的有行家,他们一看就知道了。”可现在,怎么竟是……
    从家门到校门,从小学到大学,念了十几年书,每次考试,都是班里前几名。参加高考,又在全市名列前茅。三好学生,共青团员,共产党员,大学时的学生干部,研究生班的班长,各种荣誉和奖赏都少不了她的份儿。

    顺利的成长道路,与世隔绝的求学生活,单纯的同学关系,使她忽视了社会恶势力的欺骗性和隐蔽性,轻易地相信了萍水相逢的旅馆女伴。

    万万没有想到,那曾经是在报纸和文学作品中才会见到的恐怖事件,今天落到了自己头上。

    她毫无思想准备,更不知该怎样对付,脑袋里一片空白。

    5. 洪荒土地上的婚姻饥渴

    郓城,因历史上梁山泊好汉而闻名黄河岸边的小县城。

    在该县的县志上,记载有清末民初,一批有识之士痛感当地百姓的贫困而兴修水利、开办实业的事迹。

    民族解放战争中,这里是八路军115师驻扎的抗日根据地。

    可以说,反封建的斗争在这块土地上延续了千百年。但如今,封建主义的沉疴还像幽灵在这里徘徊。拐卖女研究生案发生在这里,绝非偶然。
    这一带村庄,土地风沙盐碱严重,农民一直很贫困。

    这几年,随着农村经济的好转,随着农民手头的富裕,那些错过了结婚最佳年龄的“光棍”汉们,开始打起花钱买媳妇的主意,以至买卖婚姻屡见不鲜。

    于是乎,妇女在这一带成了有价的“商品”,一些好逸恶劳、长于坑蒙拐骗之徒相互勾联,形成了拐卖妇女的团伙。

    全国20多个省、市、自治区,都有妇女被拐卖到郓城。
    在郓城,拐卖妇女之风猖獗到令人咋舌的地步。拐卖罪犯不仅极尽哄骗利诱之能事,有的一俟碰到单身的外地妇女,遂施行暴力,强抢强卖。


    1988年5月,贵州某地一妇联主任到郓城联系解救本地被拐卖的妇女时,和公安局的同志走散,在一村口被3个歹徒劫持,准备强卖。

    幸好这个妇联主任有经验,哄骗歹徒说自己也是干人口买卖的,从外地带来六七个姑娘,可以带他们去看“货”,歹徒相信了。当走到一个乡政府门口,妇联主任趁他们不注意,一下子跑了进去,才幸免于难。


    1988年4月31日上午10点,浙江镇海县两妇女在去李集乡联系服装加工业务的路上,被6名拐卖妇女的罪犯截住,当场按倒在公路上强行搜身,并将其一妇女劫持,后以1700元的价格卖给当地一个42岁的农民为妻。女方不服逼婚,那农民便和他的侄子扒光她的衣服,强行奸污。
    在郓城县公安局发送的《关于打击拐卖人口、解救妇女儿童的情况报告》上,记者看到了这样的数字:

    自1978年至今,共有2700余名外地妇女流入该县。其中14岁以下16名,14-18岁75名,18岁以上1900余名。其中未婚妇女占70%,已婚的占30%。
    这份报告上还有如下记载:
    “……在我县被拐卖的妇女中,有9名因抗拒成婚,不堪受辱而自杀。在大人乡徐庄村、王井乡王皮村,两名少女都是在卖身的5天之内自杀的。至今尚未查明死者的身份和地址。”
    “一位怀孕7个月的外地妇女来荷泽看牡丹花会,被犯罪分子骗卖。因不同意与买主同居,而被买主兄弟数人扒光衣服按在床上,当众让买主强奸。”
    “郭屯镇傅官屯村傅东良,男30岁,以800元钱买11岁的幼女(四川人)同宿奸淫半年之久。”
    “由于拐卖人口的犯罪活动,杀人、伤害、强奸等刑事案件不断发生。杨庄集乡程屯村一男青年将买来不从逼婚的’媳妇’连砍7刀,造成重伤。”
    “被拐卖女方不从逼婚而转手倒卖的案件也时有发生。湖北省红安县38岁妇女被拐卖到郓城后,半年时间被倒买8次,每次转卖都抬高价格,由最初的700元抬至1700元。”
    在这里,拐卖妇女的犯罪活动骇人听闻,这固然跟司法部门处理不严、打击不狠有关。

    而更主要的原因,是农民群众的狭隘、愚昧,法制观念的极端淡薄和封建传统思想的根深蒂固。

    女人,只是传宗接代的工具,“买来的媳妇,天经地义就归我”,许多男人持有这样的观点。

    就在我对此案进行采访时,还有群众不解地问:“人家花钱娶媳妇,政府还干涉?”

    6. 不堪回首的71天

    已经两天两夜了,她没喝过一口水,没吃过一口饭。
    一个娇柔、秀丽的姑娘,被折腾得头发散乱、面容憔悴、神情惊痴,眼睛里闪着恐惧的目光。一见到有人来,双手便下意识地紧捂在胸前。

    她曾经向他说明自己被骗的经过,告诉他自己是上海某大学的大学生(说研究生怕他听不懂),请求他放她回家。他的经济损失、她情愿赔偿,而且将来一定重重报答他。她几乎是用哀求的口吻央告他,不要逼迫她,不要奸污她,否则,会毁了她一辈子的前途。

    他不信。

    坚持要她拿出“执照”来。她拿不出来,她的所有证件连同全部行囊都被女骗子李敏存在郑州了。
    他也在苦苦哀求她,求她跟自己睡觉,给他生孩子,说自己年龄这么大了,娶上媳妇不容易……
    宫长恩,这个一向窝窝囊囊的农民,平生第一次和一个美丽的异性单独在一起,野性和欲火使他像变了一个人,他不顾对方激烈的反抗,强行把她抱上床,拚命地扒她的衣服。她则用尽全身最大的力气推搡抓挠着这个企图释放性暴力的男人。
    村里有些好事者见姑娘坚决不从,便上前帮忙。他们揪住她的头发,扒掉她的鞋子,把她往床上按。她就用头撞,用手抓,用牙咬,哭闹着把人们赶出去。
    旅途的劳顿,抗争的疲惫,饥饿、紧张、恐惧一齐向她袭来,身陷绝境的弱女子终于体力不支,瘫倒在地。
    对已经忍耐了3天的宫长恩来说,机会终于来了。

    这粗野的汉子恣意蹂躏了失去反抗能力的姑娘。
    被他用暴力占有之后的她,脑子里一直缠绕着死的念头。

    她取下灯泡,伸手触电,或许是电压太低,或许是她的鞋底绝缘没能死成;她也曾上过吊,但房子太矮,那1.70米的个子一伸腿就触到了地面;她也曾拿刀划过手臂,但未找准大动脉;她还车屋里寻找农药,想吞下去一死了之……
    同时,宫长恩全家也在为最终收拢姑娘的心而努力着:宫长恩60多岁的老母亲一天三顿变着花样做了好吃的端到姑娘面前,姑娘不吃,她也吃不下饭。有时,老人干脆像对小孩子似地一口一口喂她。宫长恩两个出嫁的妹子,也经常送来鸡蛋、油条。自家做了什么好吃的,总忘不了给“嫂子”送上一份。
    老太太养了6只鸡、2只鸭,下了蛋不舍得卖,全给“媳妇”做着吃了。她和儿子吃棒子面窝头,为的把白面省下来,做成慢头卖到集市上,换钱给“媳妇”买零嘴吃。
    但即使这样,“新媳妇”依然整日里泪水洗面、愁眉不展。

    有一次,她竟又哭又笑,把自己的衣服填到火中烧掉……
    当我追踪女研究生被卖的足迹,来到这个偏僻闭塞的村庄采访时,听到了不同人对这一事件的看法。

    宫长恩的母亲说:“俺30岁就守寡,带着6个孩子逃荒、要饭……俺那孩儿一天学没上过,头两年到东北烧窑脱坯,赚了些钱,回家就帮他兄弟成了家,娶了媳妇。他自己岁数大点,不好找,就想买个媳妇……俺那媳妇可好,又会算帐,不像俺娘俩笨头拉实哩!她好写字,俺就给她买纸,买笔,让她写着玩……俺不知道她学问那么大,要知道她学问那么大,俺一分钱不要,也得把她送回去……俺孩儿被抓走了,俺哭了两天两夜……”说着,老人老泪纵横。
    几个围在门口的妇女七嘴八舌地说:“她来俺庄以后,问她啥也不说。俺打听她家有啥人,她说啥人也没有。”“俺叫她嫂子她不答理,叫她姐姐也不吭声。她不说话,只脸朝里躺在床上。”

    村里的团支部书记是个年轻的复员军人,问他为什么与宫家住这么近竟不管不问时,他说:“在学校时也知道与坏人坏事做斗争,知道买媳妇不对。但这事儿不光是我管不了,县里也管不了呢!花钱买的还有啥说?这种事农村多了!”
    我又问他:“作为团支部书记,为什么不组织青年开展有益的活动,通过交往让他们自己找对象?”他显出惊讶神情:“自由恋爱?谁敢呐!男女青年单独在一块儿呆着都认为是不正经。”

    真是天晓得!

    20世纪80年代的今天,买卖婚姻是“正经”的,自由恋爱却是“不正经”。“正经”这个词汇的定义,竟是这般被阐述!
    大队党支部书记是个38岁的复员军人。当我采访到他时,他告诉我,600口人的大村子,添人进口是常事,再说,他在村里是父辈了,不愿像年轻人那样凑热闹、看新鲜,所以,宫长恩娶大学生“媳妇”时,他压根儿不知道!

    有一次,镇上告诉他,他们村里买了一个有文化的媳妇,让他查一查。

    于是,收工之后,他顺路拐到宫家,直截了当问过她本人:“你是哪儿的人呐?”她不知道他是谁,不愿回答。

    他又问:“你这么聪明个人,怎么被人卖到这儿来啦?”她干脆回答:“不知道!”他没再多问,走了。也没再多想。
    姑娘被拐卖异乡整整71天,漫长的1700多个小时。

    在这么长的时间里,姑娘都干了些什么?

    她逃跑了吗?

    她呼救了吗?

    她最终如何脱离的苦海?

    这里面的详情,我从一两个相当知情的人那里了解到了。

    7. 解救
    如响雷轰顶的厄运,一度使她茫然无措,她又欲死无门,只有流淌眼泪。

    哭来哭去,终于有了个主意–写信求援。

    生活在陌生木讷的乡下人中间,除了运用文化人只会使用的这个“武器”外,还有什么其他更好的办法呢?!
    邻居有一个男青年,念过几年书,也算村里数得着的“知识分子”了。

    不识字的宫长恩常将“媳妇”写好的信,请这位邻居青年检查有没有“漏了风声”的地方。

    几封信看过,他大概了解了宫家“媳妇”的情况。宫家“媳妇”也常借口到邻居家串门,去抱抱这位邻居的孩子,孩子的天真可爱,是她屈辱生活中唯一的慰藉。

    一来二去,他和她成了能谈谈话的朋友。

    他很同情她,可是也没有什么办法帮助她。
    有一天,姑娘对他说,自己被折磨得人不人、鬼不鬼的,实在不如死了的好。

    小伙子急了:“我把你偷出去,咱俩一块儿跑吧!”跑!她何尝不想尽快挣脱这牢狱似的生活。

    但小伙子也是有妻室的人了,不能为了自己的解脱,再毁灭另一个家庭。

    为了把消息传出去,姑娘作了最大的努力。

    她曾写过这样一 封信:开头用汉语拼音写着侯集宫庄,落款也用汉语拼音写上了自己的姓名和学号。中间是一首藏头诗《地之赞歌》:

    到处障碍到处沟,此时祸来何时福。

    来日方长泪难断,寻见无望愁更愁。

    侯门玉女落此难,集市闹区方荒凉。

    宫廷宅院不能住,庄户人家落了户。

    宫廷宅院又如何,长眠此处亦难过。

    恩爱昔日何处寻,只等来世报君恩。
    把每句开头的字连起来就是: “到此来寻侯集宫庄宫长恩。” 直到这时,这位女研究生的高智商才派上了用场。

    她先后写过几封信,不是被宫长恩翻出来烧掉了,就是因地址不详没有回音。

    为了能发出这封地址藏在诗歌里的信,她不惜违心地也是唯一一次顺从了宫长恩的性要求。以此作为让她发信的交换条件。

    宫长恩仍寸步不离地同她一起去发信。为了避免地址不清, 她悄悄嘱咐乡邮员将邮戳盖清。谁知这话被宫长恩听到了,一把将信夺了回来。

    她所在的学校,早已开学两个月了。校方见她迟迟不归。询问家长,家长忧心如焚。

    上海市公安局接到女研究生失踪的报案后,立即通报全国,公安部作为重大案件在中央各部委的治安工作会议上作了传达。

    1988年5月8日,姑娘所在学校的班主任终于收到了一封匿名信(发信人至今不肯披露真实姓名)。

    一切都明白了。

    她的学生已被拐卖给山东省郓城县侯集镇宫庄村一农民为妻(至于农民姓名,信中没讲)。

    学校与上海市公安局的同志立即出发。于5月9日赶到济南。

    山东省的谭省长听说此事,非常重视,责令省公安厅、荷泽地区公安局和郓城县的公安干警们立即行动。
    5月10日午夜2点,鲁西大地万籁俱寂,寥落的村庄沉睡在浓重的夜色里。
    宫庄党支部书记被镇长从被窝里叫起来。
    离宫庄村二里地的黄河大堤上,停靠着4辆警车,30多位公安人员全副武装、在宫庄党支部书记的带领下,悄悄围住了官长恩的房屋。

    睡意未消的宫长恩被戴上手铐。
    女研究生蓬头垢面,白衬衣已揉搓成黑灰色。没来得及穿袜子,就被两名公安干警搀扶着直奔黄河大堤。
    警车刚在县委招待所停稳, 她一眼看见了专程从上海赶来的老师,她从车上跳下来,一头扑进老师的怀里,泣不成声。

    8. 追捕

    郑州火车站广场。

    郑州市公安局火车站分局的人员,在这里布下了天罗地网。
    5月14日,女研究生被解救后的第4天,河南省公安厅两次派 人到郑州火车站公安分局布置任务。河南省省委书记亲自做出“顺线速查,严肃处理”的批示。
    郑州市火车站公安分局的贾国宝副局长,年富力强、精明强干。这是他上任后接手的第一个大案。

    接到指示后,立即指挥,投入搜寻。

    办案人员从女研究生提供的线索中,一致把“突破口”定在了当初出入运青楼旅社的自称“李敏”的女骗子身上。旅客登记表上,李敏填写的是河南省遂平县诸市街人。挂长途电话落实, 回答确有此村此人。

    次日凌晨,贾副局长亲自带领3名公安干警及两名认得出李 敏模样的旅馆服务员,驱车直发遂平。
    到遂平后,直奔诸市街派出所。查了8个生产队,有两个李敏的姑娘,他们见到本人,服务员一口否定。

    他们又走访了当相貌张开地的村干部,将模拟画像拿出来让他们辨认,找来七八个姑娘一见面,都不是。

    返回郑州,他们又一次复查了住宿登记,发现遂平县物资局一个叫徐静的女同志路过郑州时同李敏住过一个房间。
    他们马上去县物资局找徐静,但扑了个空,说是徐静已停薪留职,到外地做生意去了。一行人只好返回。但刚到单位,地区公安局就打来了电话:徐静回遂平了。一行人马不停蹄又折回遂平。

    见到徐静,旅馆服务员一致否定:她不是和李敏住在一个房间的人。
    线索又断了。
    正当他们决定返回时,省公安厅打来长途电话,说有个叫李华的女人带着一男一女两个小孩,曾和李敏住过一个房间,并在少林寺游玩时与李敏照过合影。

    他们马上找到李华,李华手上确实有一张合影相片。但两名服务员看后又摇头了:还不是那个李敏!
    在6月初的几天时间里,贾副局长一行人六下遂平,往返数千里,调查过几十个人,哪怕是一丝一毫的线索也不放过。但案情仍无一点儿进展。

    眼看时间一天天溜过去了。

    就在他们第六次沮丧地返回郑州的第二天,下午2点多钟,运青楼旅社的人气喘吁吁跑来报告;“李敏又来了!”
    正是铁鞋踏破之时,她来自投罗网了。贾副局长他们火速赶往运青楼旅社。
    早在搜索罪犯的工作开始之时,运青楼旅社就进行了周密的布置。各个班长、营业员、行李员、治安员分工把口;熟悉李敏相貌的服务员被安排到关键岗位,一张随时准备抓获女骗子的网张开了。
    已经20多天过去了,李敏仍没出现,她还会来吗?她会不会觉察到什么而逃之夭夭了呢?旅社服务员们心中万分焦急。
    6月6日下午2点半,李敏又出现在旅馆的登记处,看来她毫无察觉。值班主任杨桂花接到报告后,立即来到李敏跟前,挽住李敏的胳膊,平静地说:“找你有点事,咱们谈谈。”李问“啥事?”杨桂花说:“走,到楼上对你说。”

    3点零5分,一副冰冷的手铐铐住了这个女骗子的双手。

    在她的供词记录上这样写着:
    李敏,真名李艳,祖籍四川。其母贺昌芝原是河南省遂平县诸市街人,三年自然灾害时期流入四川,曾先后与七八个男人姘居。

    李敏仅上过一年学,在其父被判刑后,跟随其母到处流窜。

    为了获得钱财,她什么都肯干,随意填写姓名、住址,随意出卖自已的肉体。在进行拐卖妇女的活动中,她利用的是年轻妇女对同性别者容易放松警惕的心理弱点。
    6月20日,贺昌芝在郑州市泰安旅社落网了。她是来郑州找女儿的。自从她带着女儿拐骗一位四川姑娘得逞后,母女俩便兵分两路,用女性的先天条件作掩护,各自干起了拐卖人口的勾当。
    与此同时,女骗子的“干爹”和他的姘头、拐卖妇女“运转站”主人等也被先后抓获。
    女研究生拐卖案的采访结束了。

    我思索、忧虑,更多的是焦灼:洪荒的精神世界比洪荒的土地更可怕,在整个追踪采访的过程中,我的心好似压上了一块沉甸甸的铁砣。

    我不知这次采访,是对现今人贩子活动的了解,还是对我精神的一次莫大的摧残。这是邪恶对文明的一次强奸。
    在改革开放建设社会主义商品新秩序的进程中,文明战胜恳昧,生机战胜腐朽的任务是多么长期、艰巨。

    我们的社会,多么需要法律体系的健全和加强;我们的人民,多么需要法制观念的强化和提高!

    附:

    1988年9月3日,《光明日报》发表武勤英《沉重的思考——对11位女研究生被骗案的追踪采访》一文。10之后,武勤英在《女研究生如何被拐骗?》一文中提供的资料如下:

    实际发生的事,比想象的还触目惊心。有一份公开发行的简报,是郓城县公安局发给有关部门的《关于打击拐卖人口、解救妇女儿童的情况报告》。这份报告上记载着这样的数字:自1978年至今(1988年),共有2700余名外地妇女流入该县。其中14岁以下16名,14—18岁75名,18岁以上1900余名。其中未婚妇女占70%,已婚的占30%。

    这份报告上还有如下记载:

    “……在我县被拐卖的妇女中,有9名因抗拒成婚,不堪受辱而自杀。在大人乡徐庄村、王井乡王皮村,两名少女都是在卖身的5天之内自杀的。至今尚未查明死者的身份和地址。”

    “一位怀孕7个月的外地妇女来菏泽看牡丹花会,被犯罪分子骗卖。因不同意与买主同居,而被买主兄弟数人扒光衣服按在床上,当众让买主强奸。”

    “郭屯镇傅宦屯村傅东良,男30岁,以800元钱买一11岁的幼女(四川人)同宿奸淫半年之久。”

    “由于拐卖人口的犯罪活动,杀人、伤害、强奸等刑事案件不断发生。杨庄集乡程屯村一男青年将买来不从逼婚的‘媳妇’连砍7刀,造成重伤。”

    “被拐卖女方不从逼婚而被转手倒卖的案件也时有发生。湖北省红安县一38岁妇女被拐卖到郓城后,半年时间被倒卖8次,每次转卖都抬高价格,由最初的700元抬到1700元。”

    谢致红、贾鲁生创作并于1989年由浙江文艺出版社出版的长篇纪实文学《古老的罪恶——全国妇女大拐卖纪实》提供的数据,1986年到1989年间,人贩子从全国各地拐卖妇女到徐州市所属6个县的人数就达48100名。徐州市由40多名出租汽车司机组成的犯罪团伙,共劫持、拐卖妇女101人(其中年龄最小的只有13岁),获赃款136700余元。铜山县伊庄乡牛楼村近几年增加人口200多名,几乎全部是从云南、贵州、四川被拐卖来的妇女,占全村已婚妇女三分之一。

    根据《检察日报》2000年报道,从90年代初直到2000年案发,苏北泗阳县竟长期存在“苏北妇女批发市场”。

    尾声

    人不能作为商品进行交易,要保护女性等弱势群体,这是现代文明的常识,本无需争议。

    这一现象如短期尚无法彻底解决,此类叙事还将不断出现。

    社会力量的参与很重要,女性自身尤其需加强防范。

    其他

    陕西榆林通报佳县“小雨”事件调查处理情况

    2022年3月1日,网络上出现陕西佳县“小雨”的有关帖文,引发网民关注。对此,榆林市立即成立市公安局、市民政局、市卫健委、市妇联等相关部门单位参与的联合调查组,在陕西省西安市、汉中市和青海省西宁市公安机关等部门单位的支持配合下,依法依规调查取证。现将查明情况通报如下:

    一、“小雨”系汉中市佛坪县失踪女子陶某侠

    经调查,网上帖文所称“小雨”系指在榆林市佳县金明寺镇元团峁沟村与该村村民李某民共同生活的女子,现户籍登记名“陶某侠”,曾用名“唐小宇”。李某民,男,现年48岁,2018年3月在快手短视频平台注册,用户名为“我是李奇峰”,经常在快手平台上直播、发布反映其与“小雨”生活情况的视频。

    (一)据2022年3月1日,陶某文(陶某侠的哥哥)对照片辨认,认出“小雨”是其失踪的妹妹陶某侠。

    (二)据2022年3月3日,陶某文及其亲属、佛坪县袁家庄街道袁家庄村负责人及部分村民现场辨认,认出“小雨”是陶某侠。

    (三)据2022年3月8日,公安部物证鉴定中心对陶某进(陶某侠的父亲,2020年9月去世)遗物上提取的生物检材与“小雨”、陶某文血样的DNA比对结果,认定陶某进是“小雨”和陶某文的生物学父亲。

    (四)据2022年3月10日,公安部物证鉴定中心对“小雨”和陶某侠的人像比对结果,认定“小雨”是陶某侠。

    (五)据2022年3月11日,公安部物证鉴定中心对“小雨”和陶某侠的指纹、笔迹鉴定结果,认定“小雨”是陶某侠。

    (六)针对网传“‘小雨’疑是2009年9月青海民族学院失踪女大学生王国红”的问题,青海、陕西公安机关多次进行查证核实,王国红的亲属也曾委托鉴定机构进行检验鉴定。具体为:

    1.2020年11月13日,青海省青鼎司法鉴定所对王某荣(王国红的父亲)血样与“小雨”血样进行DNA比对,排除了王某荣是“小雨”的生物学父亲;

    2.2021年12月16日,青海省公安厅刑事科学技术管理中心对乔某存(王国红的母亲,2019年6月去世)生前遗留毛发与“小雨”血样进行DNA比对,排除了乔某存是“小雨”的生物学母亲;

    3.2022年3月5日,榆林市公安司法鉴定中心对王某荣血样、乔某存生前遗留毛发与“小雨”血样进行DNA比对,排除了王某荣、乔某存是“小雨”的生物学父亲、母亲;

    4.2022年3月14日,公安部物证鉴定中心对王某荣血样、乔某存生前遗留毛发与“小雨”血样进行DNA比对,排除了王某荣、乔某存是“小雨”的生物学父亲、母亲。

    综合以上调查辨认、检验鉴定结果,认定“小雨”是汉中市佛坪县失踪女子陶某侠,不是青海民族学院失踪的王国红。

    二、“小雨”既往生活经历、走失过程

    围绕“小雨”的既往生活经历、如何走失等问题,公安机关在西安市、汉中市佛坪县、榆林市佳县等地进行了实地走访、依法调查、侦查取证。

    (一)据陶某文、陶某升(陶某侠的二叔)、陶某(陶某侠的姑姑)等陈述,1983年,“小雨”在佛坪县袁家庄街道袁家庄村出生。2002年5月,在佛坪县高中就读期间,出现言语混乱、精神错乱等状况。2002年6月,在洋县某卫生院精神科治疗。2003年6月,回到家中长期服药控制病情。2010年8月,在西安市周至县陶某家居住期间两次走失,第一次走失后8月31日被亲属从西安市精神卫生中心接回,此后再次走失。

    (二)经调查,2010年9月,吴某娃在西安市鄠邑区某广场遇见“小雨”,见其精神不正常,遂带回自己家中。之后,吴某霞(吴某娃的姐姐)联系王某明(李某民的三哥),称其弟弟家中有一精神异常女子可介绍给李某民当媳妇,并索要所谓为该女子看病等花费的1万元。李某民从王某明处得知消息后,从榆林赶到鄠邑区,与王某明一起见到吴某霞和“小雨”等人。9月14日,李某民、王某明将8000元交给吴某霞、吴某娃,李某民带着“小雨”回到佳县共同生活至今。

    2022年3月10日,公安机关对吴某娃、吴某霞等涉嫌拐卖妇女的犯罪嫌疑人依法刑事拘留,案件正在侦办中。李某民涉嫌收买被拐卖妇女犯罪,已过追诉时效。

    三、网传“小雨”遭受虐待等信息不实

    针对网传“小雨”遭受虐待、山洞“监狱”、“铁丝网”等问题,公安机关现场勘查勘验、调阅相关资料、走访当地村民,医疗机构全面检查“小雨”身体状况。

    (一)经调查,网传的山洞“监狱”实为李某民居住地周边山崖上的三处土窑,一处存放土豆、一处已坍塌、一处存放柴草,均未见栅栏、门窗等封闭围挡设施及安装痕迹。

    (二)经调查,网传的“铁丝网”实为李某民居住地西侧鸡棚、羊舍安装的金属网护栏(约80厘米高);“窗户上密集钢筋”实为窗户上安装的防盗窗;大门口和房顶的电线杆安装有两个摄像头,用于羊舍和院落安全防护。

    (三)经调查,网传图片中“小雨”疑似脚底烫伤,实为“小雨”脚底污垢,且视频直播时踩上煤末。之后,李某民为澄清网民质疑,在视频直播中展示了“小雨”洗脚后无伤疤的正常情况。

    (四)据元团峁沟村负责人、李某民所在村组11名村民陈述,“小雨”精神异常,生活不能自理,日常饮食起居由李某民照顾,未发现李某民虐待“小雨”等情形。

    (五)据2022年3月3日佳县人民医院(二级甲等医院)、榆林市级医疗专家(精神科2名、神经内科1名、骨科1名)和3月6日西安大兴医院(三级甲等医院)体检结果,三次结果一致,“小雨”全身皮肤(包括双下肢、足底)未见明显疤痕、淤青、擦伤,四肢关节活动正常无畸形,脊柱、骨盆、四肢X线片未见陈旧性骨折愈合痕迹以及其他骨质异常。

    综合以上调查结果,网传“小雨”遭受虐待、山洞“监狱”、“铁丝网”等信息不实。

    四、网传“铁笼子”实为三轮车车棚

    针对网传“怕小雨逃跑安装的‘铁笼子’”等问题,公安机关多方走访、实地查证。

    (一)经调查,2017年至2021年期间,李某民驾驶机动三轮车接送儿子上下学;2020年,李某民给三轮车安装了铁皮车棚(长160厘米、宽110厘米、高85厘米,正前方留有长35厘米、宽23厘米的窗口,正后方双开门,并配有门栓),用于遮挡风雨。因“小雨”生活不能自理,李某民接送儿子时都带着“小雨”,并在车棚内放置被子、凳子,行驶途中插住或者锁上车棚门。2021年,儿子住校后,李某民将车棚拆卸下来,一直作为养鸡棚使用,现置放于李某民居住地院墙外。

    (二)据元团峁沟村负责人、李某民所在村组11名村民、学校老师陈述,李某民经常驾驶带车棚的机动三轮车接送儿子上下学。

    综合以上调查,网传“铁笼子”实为李某民所有的三轮车铁皮车棚,网传“小雨”被囚禁的信息及图片不实。

    五、户籍登记、独生子女证发放等情况

    针对网络帖文中“小雨”户籍、《独生子女父母光荣证》及“小雨”女儿等情况,联合调查组调阅相关档案,进行了全面调查核实。

    (一)经调查,2019年5月22日,佳县公安局金明寺派出所未严格调查核实,办理了“小雨”的户籍补录,登记姓名为“唐小宇”。2021年,佳县公安局发现“唐小宇”与佛坪县“陶某侠”户口重复,2月24日注销了“唐小宇”的户籍。

    (二)经调查,2012年11月3日,“小雨”生育一子,佳县中医院违规办理了《出生医学证明》。2014年5月25日,“小雨”生育一女,因无力抚养,李某民将该女送养给刘某兵(婚后未生育);之后,刘某兵通过他人伪造了《出生医学证明》,原官庄乡刘泉塌村村委会未调查核实,出具了出生证明;2016年11月23日,金明寺派出所未严格核查真伪,办理了该女的户籍登记。2013年3月27日,金明寺镇政府未严格审核确认,向李某民发放了《独生子女父母光荣证》。

    六、“小雨”救助救治情况

    “小雨”在佳县期间,民政部门将其纳为农村一类低保对象,医保部门纳入城乡居民基本医疗保险范围;诊断为精神分裂症患者后,医疗卫生机构定期开展随访、健康指导等服务;评定为精神二级残疾后,民政、残联等部门发放年度生活补贴、护理补贴、精神病人服药补贴。

    2022年3月13日,“小雨”在市县工作人员的陪同下,赴司法鉴定科学研究院(上海)进行精神状态鉴定。据3月25日司法鉴定科学研究院(上海)鉴定意见:“小雨”患有精神分裂症,目前处于发病期。3月29日,“小雨”被送往精神卫生专科医疗机构接受治疗,同时落实专人照顾其儿子的学习、生活。后续,跟进做好“小雨”的康复治疗、生活保障及其儿子的教育资助、心理疏导、关爱帮扶等工作。

    七、有关党员干部和公职人员违规违纪行为处理情况

    针对佳县“小雨”事件调查中发现的外来人口管理、户籍登记及《出生医学证明》、《独生子女父母光荣证》发放等违规违纪问题,佳县纪检监察机关已对金明寺镇原党委书记李世英、原镇长郭耀文,金明寺镇党委书记牛宏伟、镇长徐喜军,金明寺镇原计生办主任石宗壮,金明寺派出所先后两任负责人方中格、薛世杰,县公安局刑侦大队大队长张锦涛,县中医院原副院长高艳,元团峁沟村驻村干部薛鑫鑫、原驻村干部马小波,元团峁沟村支部书记李宗圣,官庄便民服务中心刘泉塌村原支部书记刘建鹏等13名责任人分别给予党纪政纪处分。

    佳县“小雨”事件反映出我市基层社会治理、特殊群体关爱、公共服务管理等方面存在的薄弱环节,也暴露出一些基层党员干部依法行政能力不强、工作作风不严不实等问题。我们将深刻汲取教训、坚持问题导向,持续加强基层社会治理,精准落实特殊群体帮扶政策,不断提高依法行政能力。同时,按照公安部的统一部署,扎实推进打击拐卖妇女儿童犯罪专项行动,切实维护妇女儿童合法权益。

    榆林市联合调查组   2022年4月6日

  • 李奇微回忆录

    第1节

    朝鲜战争标志着“美洲堡垒”时代在美国的终结,同时也标志着一个新时代的开始。在这个新时代,美国再也不能仅仅通过避免与外界发生纷争来求得和平了。当战争在朝鲜爆发时,我们在预警时间甚至还不到一周的情况下便被迫仓卒参战,卷入到一场远在地球另一边、我国人民既不理解又感觉不到的斗争中去了。这在我国历史上尚属首次。

    从使我国得以诞生的第一场战争起,在以往的历次战争中,我们都有时间做好战争准备,补充兵员以及仔细研究在何处使用和如何才能最好地使用我们的军队。一七七六年,许多爱国志士是仓卒离开家园奔赴战场的。但是,即使那一次,那些“一连串的强取豪夺、欺压凌辱事件”也早已激起我国民众的义愤,使他们事先做好了拿起武器的准备。在其他战争中,我国有海洋作为屏障,远离战场,因页有足够的时间将工业纳入战时轨道,训练军队,建立物资储备以及研究兵力部署。

    然而,在朝鲜,事前没有发现任何明显的迹象便突然燃起了战火。一九五○年,时间不允许我们在作出重大决策之前召集会议,进行辩论,通过立法程序并慎重加以批准。敌对行动爆发时,我们于沉湎于和平之中,当我们清醒过来时,战争己全面展开。战争的爆发迫使那些经历了沉闷的战争岁月、刚刚成家立业的年轻人重新上阵,被飞快地直接运往战场。当时,我国一派繁荣,开始明显出现劳资和平的新时期,税收逐步减少,战时的种种限制正在取消,安定和平的局面正在形成。但是,这场战争却使我国再度出现了物资匮乏,派系斗争,流血牺牲和重重疑虑。

    朝鲜战争可能是只使用常规武器作战的最后一场战争,不用担心热核灾难威胁的最后一场战争。这场战争使我国与其他国家的关系发生了急剧的变化。

    在战争的整个过程中,我们遇到了一些重大问题,并就这些向题作出了决定。但是,其中有一些重大问题我国人民却一直是若明若暗。面对着是与其他自由国家一起行动,还是自已单独行动的同题,我们的结论是,我国的安全应放在集体行动的基础之上。当我们被迫在文职权威与军职权威之间进行抉择时,我们再次强调了文职权威的最高合法地位。当突然出现必须决定是抵御侵略、还是放弃大韩民国任其遭受敌人侵略的情况时,我们选择了体面的方式,迎头抗击了侵略者。在我国历史上,我们第一次了解到“有限”战争的概念。

    然而,还有许多问题在整个战争过程中以及战后很长一个时期内使我国人民困惑不解。为什么竟在没有任何预警的情况下就突然爆发了如此重大的冲突?是我们的决策人物无能,还是我们的情报力量不足?我们是不是中了蒋介石企图进犯大陆中国,或者李承晚企图以武力统一朝鲜的圈套?为什么战争爆发时我们的战备状况如此之差?还有,只是由于一位勇敢的总统——唯有他拥有决策权,迅速作出决定,我们才得以挽回在自由世界面前的信誉,我们是怎么落入这步田地的?

    所有这些问题的答案也许就在于我们把注意力全部集中到打全面战争之上了。朝鲜战争之前,我们的全部军事计划都是设想要打一场席卷世界的战争,并且认为,在这样的战争中,对一个遥远而又无法设防的半岛进行防御乃是愚蠢之举。可是,朝鲜战争却使我们懂得,自此以后的一切战争必定是有限战争。今后,是否应该打有限战争巳不再成为问题,问题是如何避免打任何其他种类的战争。

    由于许多国家都拥有热核武器或者已经掌握了制造这种武器的技术,打无限规模的战争己经成为不可想象的事情。

    因为,打这种战争就意味着交战双方同归于荆朝鲜战争之后,我们在同朋友和潜在敌人打交道中一直受着这种看法的影响。

    当时,一些有识之士曾预见到了我们思想上的这一变化会引起连锁反应。人们开始认识到,单凭军事力量再也不能解决诸如我们在越南、老挝和刚果所遇到的问题,还必须辅之以能为各有关国人民所接受的、相辅相成的政治、经济和军事政策而且应通过强有力的领导加以贯彻实施。还有一点业已清楚,即政策不能再由白宫、国务院或者国防部独家制定,那些分别在不同部门工作的文职政治家和军事专家都无法独自确定指导我国与其他主权国家交往的方针。有一点亦已清楚或著说应已清楚,即只有通过军政邻导人日常的亲密无间的合作才能产生最理想的结果。政界领袖应该提出必须达成的目标,军界领袖则应分析判断使用军事手段能够取得多大成果以及如何才能最有效地运用这些手段。

    只有当军政双方征询并认真考虑彼此的观点时,这种亲密无间的合作才有实现的可能。政界领导人如果机械地否决国家高级军事顾问们的重要建议便不能定下明智稳妥的决心。毫无疑间,根据我国宪法,文职政府仍然拥有最高统帅权。但是,如果政府不征询、倾听并慎重考虑我们经验丰富的军事顾问们的意见,那就要招致灾难。

    我们的许多公民,他们的精力全都用在保持家庭的安康和教育子女方面,因而无暇顾及我国的情况和我们思想发生这些变化的全部意义。我们现在依然老是为那些轻率提出的“全面战争”“无条件毅降”“彻底胜利”等陈辞滥调所蒙骗,而这些口号却常常是为派系斗争的政治目的服务的。所以,无怪乎全国至今在外交政策上仍然存在着广泛的分歧,进行着激烈的辩论,思想混乱,情绪沮丧。

    所幸的是,这祥的人似乎正在增多——他们对于自从朝鲜战争以来我们面临的众多变化的深刻程度和这些变化产生的重大影响或许并不十分了解,但他们还是觉察到了我们是生活在一个提倡以新的方式思考问题和制定计划的崭新世界上。

    在那些没有头脑和思想比较锐敏的人们之间还有一类人,他们被截然对立的两种思想派别的激烈言辞弄得晕头转向,发觉越来越难以决定究竟支持那一派。

    在本书中,我不想对任何观点妄加评论。我所希望的只是尽已所能使人们更好地理解一场在很大程度上被曲解了的冲突。这场冲突标志着我国历史的重大转折。

    我亦无意自诩本书是评述朝鲜战争中联合国空军和海军作战行动的权威之作。这些作战行动已经在各个军种自己编写的史书中作了详尽的论述。本书所提及的全部战术作战行动都是联合国军司令部所属地面部队的行动,所用军语亦系他们的木语,在朝鲜战争中,地面部队所发挥的作用可以根据这样的事实来衡量:在整个战争中,美国陆军和海军陆战队的伤亡人数占美军战斗伤亡总人数的百分之九十七。是地面部队的作战行动决定了联合国军的成败,而联合国军的成败又决定了美国和联合国方针政策变化的方向。

    几乎可以肯定,如果我地面部队被迫在没有海空军支援的情况下作战,那么在头两三个月之内,共产主义的浪潮就会冲击到对马海峡。另外,在一九五○年十一月底至十二月初作战的危急关头;如果不是海、空军竭尽全力支援地面部队,我们的损失本来会大得多,我们的事业可能要蒙受重大灾难。而且,可以肯定地说,对战争做出如此重大贡献的勇敢的飞行员和水兵们获得的荣誉,在任何地方都不如在实施地面作战的步乒和陆战队士兵的心目中那祥崇高。但是,我还是得指出,如果本书大部分篇幅似乎都是在谈论那些在火线上熬过了那么多日日夜夜的步兵,那就请不要忘记,死神主要也是同他们打交道的。这一点步兵的伤亡人数可以证明。

    除此之外,我在本书中再没有什么问题需要证明,也没有什么事情需要争辩的了。如前所述,本书唯一的宗旨是想在一定程度上说明我们在朝鲜企图干些什么,并强调一下我们从中吸取的教训。

    我谨向陆军部军史处处长哈尔。帕蒂森准将、著名史学家撕特森。康恩博士以及他们的助手致以谢意。我曾本受限制地采用过他们提供的宝贵史料。此外,我还获准随意使用美国海军陆战队司令部军史处于一九六二年在华盛顿市编写的珍贵资料《美国海军陆战队在朝鲜的作战行动,1950一53年》。

    美国陆军前上尉、朝鲜战争中曾任步兵排长、连长的柯特。安德斯给我以可贵的帮助,在此谨向他衷示我的谢意。

    为帮助我将本书手稿整理成最终定稿以供出版,罗伯特。史密斯做了大量出色的工作,我愿在此向他表示衷心的感谢。

    斯。马歇尔将军不吝宝贵时间校阅了本书清样,并就文章重点的安排和依据史实应予修正之处提出不少建议,在此谨表最衷心的谢忱。

    马修·李奇微

    一九六七年一月于宾夕法尼亚州匹兹堡市

    第2节

    对于朝鲜的地理、历史、气候、整个经济状况以及朝鲜人民一无所知的人,不可能充分理解朝鲜战争。朝鲜目前分隔成南北两个部分并非自然条件所致。因自然条件而使朝鲜一分为二的情况只有一个,那就是濒临日本海、南北走向的太白山脉使得朝鲜分隔成东西两个部分。朝鲜在地理上、战略上、经济上和种族上都是一个统一的整体,就如一个人的双臂、双腿与身体的关系一样;它的每一个部分对于其他各个部分都是必不可少的。朝鲜被三八线隔绝开来儿乎纯属偶然,仅仅是出于军事上的考虑。这件事对于当时的军事历史学家来说是那样微不足道,以至于今天没有哪个人能够确切地说出是谁首先提出这种以三八线为界的主张的。

    严格地讲,三八线根本谈不上是一条边界线。从军事上讲,这条线无法防守,从传统上讲,它又无任何意义可言。居住在该线以北的朝鲜人同居住在该线以南的朝鲜人一详,讲的是同一种语言,吃的是同样的饭菜,喜爱的是相同的衣着和习惯,此外,还怀有相同的民族自豪感。

    历史上,朝鲜虽遭受过周围列强的侵略和奴役,但它在本国人民的心目中却一直是作为一个独立的国家而存在着的。而且,若干世纪以来,朝鲜人一直怀有自己管理自已国家事务的愿望。由于不利的地理条件,朝鲜几乎有史以来就一直是个争战的沙场。尽管国际间有着各种禁止侵犯朝鲜的协定和条约,中国、俄国和日本仍屡次三番地想吞并朝鲜的领土,将其纳入自己的版图。我国政府多次提出保证,一旦朝鲜遭到进攻,就应给予援助,但是,直到一九五○年六月以前,美国从未伸出过援助之手解救过这个不幸的弱小王国,以使其免遭邻近敌国的侵占。

    长达六百英里的朝鲜半岛如同从亚洲大陆伸出的一个肥胖的拇指。它直指日本四大岛屿中最南端的九州岛,很容易引起对方越过狭窄的对马海峡的入侵。从朝鲜的主要港口釜山到日本内海入口处下关,全部航程仅一百英里稍多广点。朝鲜半岛把靠近北极的日本海与靠近赤道的黄海分隔开来。这也许能在一定程度上说明这个国家为何有着极为悬殊的温差。朝鲜虽位于温带地区,与我国的肯塔基州在同一纬度上,但在其北部六千英尺高的陡峭山岭上,冬季的寒冷气温可低达华氏零下五十度,而在南方的稻米之乡,炎热的夏季简直让人透不过气来。步兵所头疼的各种困难这里都能碰到:深厚的积雪,泥泞不堪的道路,夏季的倾盆大雨,四处飞扬、令人难以忍受的尘土。不过,这里也有绿色的稻田。看上去是那样地青葱、明快,使人心旷神怡。

    朝鲜有一个特点,是任何作战人员都不会忘却的,那就是臭气熏天。由于用人粪来肥田,加之用一些大大小小的水桶和破漏的大车装运这种东西,因而乡间的空气中弥漫着十分强烈的臭味,使人乍一闻到不堪忍受。

    朝鲜是个贫困的国家。在南方低地地区,自然草木植被早就遭到砍伐,被人们用作燃料、粮食和饲料。所以,那里生长的植物现在主要是一种矮小多节的灌木。这些灌木丛几乎无法让人荫蔽和栖身。这里很难见到青枝绿叶,也打不到什么柴火。南方的村民用长长的耙子在地上搂扒,收罗起每一点可供烧火的东西。他们把树根、枝条、稻草、破布头和各种杂七杂八的废物,都细心地检起来贮藏好,以备日后生炉子。在村庄里,路边的沟壕便算是敞开的下水道。这也加剧了本来到处就能闻到的恶臭。猪,是村民喂养的主要家畜,在污秽中到处乱窜。警觉的饿狗连人们丢弃的最令人恶心的腐肉、下水也能狼吞虎咽地吃下去。小孩子们在茅舍外面玩耍,小小的裤子恰好在后面开了个口,为的是能随时大小便。

    南方的水稻收成很好。朝鲜人还大量种植卷心菜,不过菜常常长得很老了还不收割。他们把这种菜收进家后;就和鱼头及其他美味一起贮存在大坛子里,经烧煮之后便作为一种叫“金荠”的家常菜供食。对于大多数西方人,这种东西实在不堪入口。可是,朝鲜人却吃得津津有味;毫无疑问,他们可以从中摄取丰富的维生素。

    村庄的茅舍都很矮小,室内陈设简陋,光亮靠糊着油纸的窗户提供,这种油纸可以透光。南方平展的土地都经过精心的耕作。到处都是居民点。

    北朝鲜拥有一个工业区。工业区的粮食主要依赖于南方。北朝鲜陡峭的山峦上可以见到成片成片的高大常青树木。间或,还可看到险峻的花岗岩绝壁从六千英尺高的山岭上陡然直下。由空中鸟瞰或者信步于山间、海滨时,北方地区整个说来似乎非常秀丽。当夏季消然离去,生长着茂密阔叶林的山麓、小丘便转成了金色、黄色以及各种令入惊奇的红色和褐色。蔚蓝的天空常常万里无云。半岛两边的大海一望无涯,深邃明净。但是,最北方却是一派比较可怕的景象;尤其是冬季,在遥远的满洲荒野上形成的暴风雪常常在没有预兆的情况下呼啸而至,满山遍野顿时便可覆盖十英尺厚的积雪。这一地区因山脉一直向鸭绿江延伸,所以倒是真的被分隔开来。

    在这里,军队无法越过无路可行的山脊,保持一条稳固的战线,甚至无法保持相互间的联络。在整个这一地区,道路蜿蜒曲折而且相互间隔很大。山地间大都是些羊肠小道,人员和牲畜只能一个一个地通过。这里的森林为徒步的敌人提供了极好的荫蔽条件。无数狭窄的山谷、令人头痛的羊肠小道以及刀刃一样的山岭,能使害怕进入无路可行的山地的高度机械化军队寸步难行。中国军队没有装甲车辆,只有少量的炮乓,他们不为复杂的通信手段所累,装备轻便,只携带手中的轻武器、他们习惯于各种极端恶劣的天气,习惯于忍饥挨饿。他们有高度的纪律性,经受过严格的训练。所以,中国军队在这里有许多实施机动和荫蔽的绝好机会。

    我们对地形一无所知,我们企图利用的地图则错误百出,这使敌人占了更多的便宜。熟悉地形也成了他们的一种秘密武器。我们查找的道路实际上常常都不存在,或者那些道路竟是些轮式车辆根本无法通行的羊肠小道。

    与朝鲜险恶的地形不同,朝鲜人民十分殷勤好客,大部分地区的居民都是温顺和善的百姓。经过适当的训练,他们有可能成为优秀的士兵。他们是非常俭朴的农民,他们也是狂热的爱国者。他们对日本人怀有上百年的深仇大恨;对残暴的日本警察至今耿耿于怀。朝鲜人象爱尔兰人一样喜欢我行我素,喜欢绝对个人自由,因而也就象爱尔兰人一贯表现的那样不大可能屈服于强加给他们的政治统一。

    朝鲜人没有受过自治训练,使用现代化机械设备的训练也很差,所以,为把自己的国家建设成为一个自给自足的现代化国家,他们遇到了重重的困难。他们不熟悉我们的各种习惯,我们亦无力打破坚实的语言障碍。加之在与他们国家交往的过程中,我们又办了那么多轻率疏忽的事情,因此,相互间进行合作极极其困难的,尤其当极大的危险迫在眉睫,来不及制定计划或拟定草约时,这种合作便更趋困难。

    美国知道朝鲜(从前,我们的地理书上写作“高丽”)的存在是相当近期的事情,外交上与之发生联系的时间则更短,一八三三年,热衷于打开日本门户进行贸易的美国人,对同朝鲜进行贸易曾表示过一定的兴趣。可是,即使在海军准将马修·佩里“打开了”日本的“大门”之后,朝鲜依然没有受到重视。一八六六年,法国和美国的传教士在朝鲜被处以死刑,被触怒的法、美两国政府曾一度准备联合进行一次惩罚性的远征,幸而后来放弃了此项计划。但是,此后为能与朝鲜谈判而进行的种种努力也都以失败告终。结果,美国海军舰艇同朝鲜海岸炮乓发生了炮战并捉到了几个朝鲜俘虏。然而,为进行谈判,我们仍坚持做出种种努力。一开始由日本居中调解,以后则改由中国担当调解人。

    一八八二年,我们与朝鲜的第一个条约终于在天津签订,从而使美国与朝鲜王国之间建立了商务关系。该条约尤其引人注目的一个特点是含有这样一项条款:保证“两国之任何一国受到他国不公正对待时,要相互支援”。究竟何为“不公正对待”,在尔后的整整七十年中,美国对这一词义的理解似乎相当地狭窄。

    在后来的儿乎所有有关朝鲜问题的条约、文件、决定和宣言中“独立”一词一再反复出现。可是,自从在天津签订条约之后,独立一直不过是个神话而己。对我们来说,独立只意味着我们强制朝鲜遵守其贸易协定,而当其他国家为占领和剥削这个”清晨静谧的国土”而相互争斗时,我们则不进行干预。

    在天津签订条约时,我们曾明确承认中国对朝鲜所拥有的主权。后来,当日本和中国都力图控制朝鲜时,我们有意识地避免得罪其中任何一方。当我驻朝使节对中国努力加强对朝鲜控制的做法表示不满、遭到中国驻扎官的反对时,我们甚至召回了自己的使节。一八九四年,当中日双方在朝鲜问题上的对抗终于酿成战争时,我们又一次尽力避免站在任何一边;而将所做的一切仅仅局限于表达一种殷切的希望,希望日本不要对一个毫无防御能力的近邻国家发动一场非正义的战争。所以,我们外交上“勾销”朝鲜的政策,早在迪安·艾奇逊还不会拼写自已的姓名时就已奠定了基矗中日冲突期间,我们拒绝了英国要我们与德国、俄国和法国间它一起采取联合行动、进行干预的建议。后来,日本全面控制朝鲜之后,我们在承认日本权利的同时再一次承认了朝鲜的“独立”。在后来的年月里,当俄国与日本之间为了朝鲜半岛而开始争夺时,我国国务院责成我驻汉城公使,要他告诫当地的全体美国人不得发表任何反日言论。

    在此后二十年中,朝鲜曾两次请求我们实践原定的保护其不受侵犯的誓约。但是,这两次我们都明确而直截了当地拒绝了对方的请求。日俄战争的头一个月,当日本把朝鲜变成一个保护国后,西奥多·罗斯福总统以这样的话“勾销”了朝鲜:“我们无论如何都不可能为着朝鲜的利益而进行干预,去反对日本人。他们(朝鲜人)依靠自己的防御力量根本无法给对方以任何打击。”这就是我们在朝鲜沦为保护国的五年和六年前对朝鲜的请求所作的答复。朝鲜的请求是要我们负责在大国间达成一项确保朝鲜完整统一的协定。通过一九○五年的塔夫脱一桂太郎协定,我们正式确定了对朝鲜的不介入政策。在协定中,我们同意日本将朝鲜置于其保护之下。作为交换条件,日本对我们在远东刚刚占领的菲律宾应放弃一切侵略意图。

    接着,第一次世界大战之后,当世界各附属国人民因威尔逊的自决权宣言而感到激动时,在朝鲜出现了一股强烈的民族主义浪潮。人们秘密地聚集在朝鲜式的地窖里,用手工刻制的木版印刷独立宣言。女学生们在飘垂的袖筒中藏着秘密宣言走村串巷,她们从未引起过目光犀利的日本警察怀疑,或者被无数日本奸细所发觉。这些日本奸细平时混杂在朝鲜人之中,时刻提防着这种组织公开起义的活动。

    在南方和北方的数百个乡村中,朝鲜爱国者秘密集会,研究解放之日的行动计划。总共有数万名男女参加集会,可是,他们的计划从未走漏过风声传到日本人那里去。一九一九年三月一日,包括李承晚在内的三十三名朝鲜领袖人物聚集在汉城的明月饭店,举行最后一次聚餐会。他们宣读了独立宣言,挥笔签下了自已的名字,尔后把警察叫了进来。与此同时,全国各地数百万人聚集在街头巷尾聆听朝鲜领袖人物宣读独立宣言。然后,他们举着被禁止的朝鲜国旗,兴高采烈地穿过各个村庄举行示威游行。游行群众赤手空拳,毫无使用暴力的企图。但是,在后来的短短几周内,有数千人被日本人处死。在此期间,我国国务院曾郑重其事地告诫我国驻汉城领事,要他“极其谨慎,不得助长任何这样的看法,即认为美国会帮助朝鲜民族主义者实行他们的行动计划”,也不得给日本造成一种美国政府同情朝鲜民族主义运动的印象。

    所以,杜鲁门总统的下述做法与我国对朝鲜问题的传统态度是完全一致的。随着朝鲜被划分为苏联和美国的势力范围,哈里·杜鲁门总统在参谋长联席会议的强烈要求下,于一九四八年四月批准了这样一项政策声明;“美国对朝鲜的事务不应陷得太深,以至于任何派别或国家在朝鲜的一举一动都成了美国开战的理由”。

    美国尽管在开罗和波茨坦曾公开表示过建立一个独立的朝鲜的愿望,但它还是回到了它那传统的不介入的立场上。在开罗,美国、大不列颠和中国一致同意朝鲜在“适当的时候”应实现独立(苏联总理{应为部长会议主席}约瑟夫·斯大林在德黑兰与富兰克林·罗渐福总统会见时也曾赞同这一宣言)。一九四五年,就在日本投降的前夕,杜鲁门和斯大林在波茨坦通过了一项声明,保证朝鲜在苏联、大不列颠和中国共同托管五年之后实现独立。托管之事没有提及美国(事后,斯大林坚持美国应包括在托管国之列)。

    日本投降后,美国意外地发觉自己掌管着朝鲜半岛的南半部,没有经过慎重考虑,没有权衡后果,只是稍作计划,美国便着手履行其从末正式获得承认的托管义务。

    结果,它几乎是立即便铸成了一个大错,失去了朝鲜入民的信任与合作。这一错误是,它曾加强了受人鄙视的日本行政官员在办公机构中的地位。这种做法顿时激起了朝鲜人的怒火,美国被这种怒火搞得张皇失措,因此又错上加错,急急忙忙地将日本人清除出去,用一些好心的却是极本不够格的美国公民来填补出现的空缺。这些人不懂当地语言,也不了解由于需要为新生的共和国制定金融货币政策而产生的问题。当然,未能与苏联达成一项全面协议又加剧了这一危机,并且造成了莫斯科和华盛顿之间的相互指责。双方都指责对方从事反对自己的阴谋活动,在此期间,朝鲜人民群情激昂,开始转而激烈地反对美苏双方。他们怀疑这两个国家准备再次背信弃义,不履行那个经常兑现不了的、给朝鲜以独立的诺言。最后,美国对于争取与苏联合作建立托管之事终于感到绝望,便将这个问题提交给了联合国。这个举动引起苏联指责我们违反了原定的协议。联合国提议在双方管辖地区进行自由选举,可是苏联人拒不允许联合国临时委员会进入苏方管辖区。他们早先就坚持,只有那些曾经“全力支持”莫斯科托管协议的党派、团体才可以参加选举。这实际上取消了美方管辖区内所有党派、团体参加选举的资格。因为在美方管辖区,言论自由使人们可以对任何延误独立的做法,托管也罢,不托管也罢,公开表示不满。

    最终的结果是,一九四八年五月在南朝鲜举行了一次选举;建立了以李承晚为总统的大韩民国。随后,苏联针对美国的做法制造了一个以平壤为首都的“朝鲜民主主义人民共和国”此后,美国结束了自己的军事占领,于一九四八年九月开始撤出全部美国军队;这一行动再次反映出我们一贯信奉不介入的理论,尽管苏联早先曾宣布打算在一九四八年将全部苏军撒离朝鲜;并且据报道,他们如期完成了撤军计划。但是,如果当时能严肃认真地分析一下后来出现的局势,我们也许能发现,我们实际上是让年幼的共和国处于任人宰割的境地。我们对朝鲜向题的处理与苏联在这一问题上的区别,在于我们没有为之奋斗的实际目标,而只有一个相当模糊的“实现朝鲜独立”的目标。确立这样的目标,可以使我们随时从朝鲜脱身,赶回国去重新一心一意地处理我们关心的各种国内问题。相反,苏联从一开始就有一个让朝鲜半岛“独立”的计划,该计划要使朝鲜不受除苏联之外任何国家的控制。几乎从美国一加入第二次世界大战并使战争胜利在握的时刻起,苏联就已经开始朝着这一目标努力了。

    首先,苏联早就开始了训练经过选拔的朝鲜干部的勾当,企图靠这些人来建立和维持一个苏联式的共和国。在这个共和国中,所有反苏团体都要被剥夺发言权。苏联还为训练和武装一支规模颇大的北朝鲜军队直接进行了准备。这支军队包括步乒、机械化师和边防警察。起初,这些部队装备的是日本人投降时所缴获的武器。后来,苏军在一九四八年撒离时将自已的武器留给了刚刚受讨训练的北朝鲜人。一九五○年的最初几个月,就在北朝鲜人民军越过三八线发动入侵之前,苏联向他们提供了大量现代化武器装备,其中包括:重炮、T-34式坦克、卡车、自动武器和大约一百八十架新型飞机。其中约有四十架“雅克”战斗机和七十架攻击轰炸机。

    进犯南朝鲜之前,北朝群人民军已能投入使用的部队计有八个齐装满员的步兵师;两个实力达编制数一半的步兵师、一个摩托车侦察团,一个装备T-34式。中型坦克的装甲旅和五个边防警察组成的旅,总兵力达十三万五千人。

    但是,这支军队的力量不仅在于它所拥有的人数和现代化装备,它还拥有大量日本统治时期逃往苏联并与苏联红军和中国红军一起经受过战火考验的朝鲜人,此外,还有数千名从一九四六年开始在苏联接受过为期三年训练的人员。政府职务也由受过良好专业训练的人员充任。这些人大都象金日成首相一样,从一九四三年起就在苏联接受过彻底的思想灌输。北朝鲜人民军师以上部队主要由第二次世界大战中曾在苏联军队中担任过初级军官并立过战功的朝鲜人指挥。北朝鲜人民军每个师约有十五名苏军顾问。

    在三八线以南,为了对付这支训练有素、纪律严格的现代化军队,我们留下了一支我们甚至不敢称之为军队的相当可怜的部队(美国如此醉心于从朝鲜脱身,以至不允许我们在南朝鲜的人员用“军队”这个字眼来称呼我们正在努力建立、以便在我们撤离朝鲜后维持秩序的警察部队)。三八线以南的朝鲜人对自由的热爱和为国献身的精神并不亚于北朝鲜人。况且,在我们管辖区内就有许多逃自苏方管辖区的朝鲜人。在南朝鲜方面,打仗的意愿或战斗的勇气并不缺乏,缺乏的是紧张严格的训练和优秀的指挥官。在我们未能弥补的主要不足之处中,这只不过是其中的两个。

    仅仅说我们当时愚蠢和缺乏预见性,这是不够的。将朝鲜战争爆发的责任归咎于迪安·艾奇逊把朝鲜作为我防御圈之外的地区而公然加以“勾销”,这显然是一种简单化的说法,容易使人产生误解。迪安·艾奇逊只不过是重申了一项早已被认可的美国政策罢了,朝鲜一直处于我们的防御圈之外,在与朝鲜的关系史上,我们曾数次将其“勾销”南朝鲜军队所以缺乏武器装备,缺少受过训练的指挥人员,主要是因为我们认为朝鲜在战略上几乎没有什么重要意义,我们关心的主要是自己不要在那里陷得过深,免得在错误的时间和地点作战。因此,我们不愿充分武装南朝鲜军队,不愿采取有力措施克服其指挥人员存在的不足之处,这些指挥人员的军事知识确实太差了。

    不用说,还存在不少实际的困难。南朝鲜没有大量从满洲返回的人员,而国内经受遭现代战争锻练的人也比较少。只有少数朝鲜军官会说英语,会说朝鲜语的美国顾问则更少。美国军语在朝文中几乎找不到相对应的词汇。在南朝鲜军队中“面子”是头等重要的事情。南朝鲜军官感到很难接受军衔比自已低的美国顾问的建议。他们对同自已意见相反的观点常常公开表示不满。因此,他们自己的参谋人员都不大敢表示不同的意见。许多南朝鲜军官之所以得到任命系出于政治上的原因,这同第一次世界大战前和平时期我们国民警卫队中的许多军官被任命的情形是一样的。

    所以,韩国军官的军事才能从未受到过考核。有许多部队分散在各处执行剿匪任务和其他国内治安任务;部队的训练不足,截至一九四九年年底,十六个营中完成营一级训练任务的还不足半数。南朝鲜军队没有重炮,没有坦克,没有反坦克武器,也没有空军。无怪乎李承晚和其他韩国领导人对北朝鲜加强军事力量的做法以及三八线以南在这方面的薄弱状况表示恐慌和沮丧。但是,这些情况却真实地反映了我们当时对朝鲜采取的政策。一九四八年,美国国家安全委员会曾认真考虑过要帮助南朝鲜组建一支野战军,可是,根据麦克阿瑟的建议又放弃了这个方案,主要原因是“美国占领军的兵力已经缩减,到一九四九年,我们完全受到了这样一种理论的支配,即将把美国卷入其中的下一场战争将是一场全球性的战争。在这场战争中,朝鲜的地位不太重要,而且,无论怎样朝鲜都无法防守。我们所有的计划、所有的官方声明以及所有军事上的决策,从根本上说都是出自这种看法。在我们的会议中从未提起过“有限战争”的概念。我们对联合国充满了信心。原子弹又为我们筑起了一道心理上的马奇诺防线。这道防线使我国国民有更充分的理由强烈要求孩子们重返家园,军队遣散,刀枪入库和陆海空三军士兵复员。对这种举国一致强烈要求遣散我国有史以来最庞大的军队的做法,任何人都可以根据后来的种种情况轻而易举地加以指责。可是,任何有前途的政治家,如果当时竟极力主张国家继续保持战备状态,继续在距本国八千英里之外的地方驻扎大批部队,那他无论如何是站不住脚的。不错,在分析朝鲜形势时,我们过于相信我们自己对敌人意图的主观判断,面对我们所了解的敌人的实力情况却过于轻视。北朝鲜有着强大的突击力量,在南、北朝鲜的边界附近则集结着北朝鲜的军队。这些情况对我们的情报机构来说并不是什么秘密,问题在于我们的分析判断出了毛病。我认为,这主要是由于我们认定,世界上共产党国家的军队并不想冒原子战争的风险去诉诸武装侵略。如前所述,有限战争对我们来说还是一个比较生疏的概念。

    我们所熟悉的有限战争只是从下述意义上来理解的,即所有战争都要受参战国是否愿意付出必要的代价这个条件的限制。

    鉴于这样一些情况,人们当然可以指责迪安·艾奇逊的讲话时机(一九五○年一月)不对。在这次讲话中,他将朝鲜排除在我们的防御圈之外。南朝鲜军从力量薄弱,美国政府又受到本国民众要求将全部美军撤回国内的强大压力。这些情况苏联人当然非常清楚。在这样的情况下,艾奇逊这种我们无意防守朝鲜的明显表示是丝毫也无助于动摇敌人采取行动的决心的。将朝鲜划在我们的防御圈之外并非迪安·艾奇逊所发明,亦非杜鲁门政府所独创。早在一九四七年九月,参谋长联席会议(李海、艾森豪威尔、尼米兹和期帕茨)曾根据杜鲁门总统的指示进行过研究,最后向国务卿提交了一份备忘录,其中这样写道:“……从军事安全的角度来看,美国保持目前在朝鲜的军队和基地并没有什么战略价值……”无怪乎这四位军事上的权威人物经过深思熟虑得出的看法会获得总统的同意。

    一九四九年,道格拉斯·麦克阿瑟将军曾分别接受两名记者的采访,首先是英国记者沃德·普赖斯,尔后是亚利旁那州《明星日报》记者沃尔特·马修斯。据报道,麦克阿瑟将军在接见记者时曾勾划了一个显然把福摩萨(台湾,下同——译注)排除在外的防御圈。这件事并未引起特别的哄动,因为,我们的军事当局认为,福摩萨不日落入中共之手几乎是必定无疑。美国有关远东问题的应急计划也没有将朝鲜或福摩萨的防御考虑进去。究竞采取何种口径来弥补福摩萨沦陷后给美国威信造成的损失,当国务院就这个问题向各驻外使领馆发出简要指示时,国会中的共和党人群情激昂,强烈要求美国保卫这个岛屿。但是,没有人提出动议要求改变我们的对韩政策。显然,对朝鲜采取的传统“勾销”政策依然在起着作用。如何解释我们在情报的理解上所犯的大错,是个更为复杂的问题。我们对北朝鲜人民军的实力有个大概的了解。由于经过了一九四九年的总动员并补充了数千名应征入伍者,北朝鲜人民军的实力增长了一倍。同时,我们也了解自己的弱点。其实,一九四七年之后,麦克阿瑟将军就不断就威胁着远东的各种危险情况发出过警告,并且坚持认为,没有任何东西能够代替部队的实力。然而,当时政府正处于要求削减军费的巨大压力之下,因而三军各兵种都“挨了手术刀”。海军的战斗舰艇、各型登陆舰艇、扫雷舰艇以及进行水雷战的各种装备器材,缺少到了可悲的程度。空军一开始没有喷气式战斗机,一般作战飞机和输送部从的运输机也不足。空军的照相侦察能力被削弱,照片判读人员奇缺。这给地面部队的行动带来了严重困难。在国内,武器和装甲车辆的储备削减到少得可怜的地步,生产设备则有的拆除,有的绝对加以封存。我们对于联合国阻止任何重大侵略行动的能力抱有充分的信心。我们知道这个世界对战争已经厌倦,还认为共产党“不准备”使自己卷入大规模核屠杀之中。此外,我们煞费苦心地避免引起潜在敌人与我们发生重大争执。我们对在敌人入侵前夕获得的情报作出错误的判断,可能在一定程度上应归咎于上述一厢情愿的想法。就在北朝鲜人民军大规模越过边界的前六天,中央情报局的一个战地情报机构曾报告,发现三八线以北“敌部队在广泛凋动”,同时还发现:“三八线北侧的全体居民转移至距该线两公里外的地区,元山至铁原铁路的民运业务己经停止,该线仅用作军用物品的运输专线,武装部队正向边界地区运动,大枇军械和弹药正运往边界地区”。怎么人们看到了这份报告居然还没有想到敌人的进攻,实在令人费解。

    可是,有一点是肯定的,东京盟军总部的情报部门没有从这份情报中得出任何结论,而是按例行方式,在没有标明急件的情况下便将其转呈给了华盛顿。总部后来企图推卸对这种近乎典型的作战准备活动未能加以说明的全部责任,并坚持说,他们曾向华盛顿“转呈过全部事实材料”。

    但是,这井不能开脱他们的如下错误做法,即北朝鲜军队发动突袭的前六天,总部曾向华盛顿、呈送过一份解释性的报告,报告指出,“显然,苏联顾问们认为,现在利用政治手段制服南朝鲜政府比较适宜,特别是鉴于北朝鲜在南朝鲜进行的游击战遇到了严重的挫折。”

    所以,总部的责任是无法开脱的。我从为,问题很明显,总部象我们在国内外的许许多多美国人一样受到一种信念的影响,即认为,所有这些动向和零星入侵事件,只不过是对方向我们展开心理上的‘冷战’时所采取的一种很正常的做法。这种‘冷战’不仅在朝鲜,而且在我们认为重要得多的其他地区也在进行着。除此之外,东京还有一种不信任亚洲谍报人员的倾向,认为南朝鲜人有一种特别的毛病,还未看到狼就惊呼“狼来了!”还有一个实际情况,即北朝鲜军队的这种调动一九四七年也曾发现过。当时,三八线与后方地区全副武装的北朝鲜部队之间已开始进行一年一度的换防。我认为,真正不可原谅的错误,是未能恰如其分地估计北朝鲜人民军所具有的强大的战斗力。这一错误使我们付出了高昂的血的代价。战争爆发时,总部对于阻止侵略者所需兵力的估计数,几乎不得不一天一天地在增加。我们简直从未正确估计过敌人的实力。

    正当南北朝鲜之间的紧张局势明显加剧时,我们开始从朝鲜撤出最后一批战斗部队。有人硬说我们是遵照联合国大会的决议这样做的。可是,要求撤走一切外国军队的决议是美国自己起草并提出的。美国是在不顾联合国临时委员会和李承晚警告的情况下起草并提出这一决议的。他们的警告是。朝鲜正濒于“残酷内战”的边缘。当时,我们的国策已定,决心摆脱这种烦人的军事义务。因此。当最后一批美国部队即将乘船回国时,我们对沿边界发生的武装冲突有意置之不理。我们正视当时实际局势的唯一做法是一九四九年三月做出了一项决定,即完成六万五千人保安部队(南朝鲜当局很快将决议中的这个词改换成了“军队”一词)的装备任务,并向四千人的海岸警卫队提供缉查海上走私、防止海盗和敌人海上渗透所必需的船只。这支军队的‘装甲部队’是由少数侦察车辆和一些半履带车辆组成的。这支军从的步兵师中有四个师每师仅编有两个步兵团而不是通常的三个团。整个陆军只有九十一门105毫米榴弹炮(按美国陆军的编制,师属炮兵应有四百三十门火炮,并可得到非师属炮兵同类口径和更大口径火炮的支缓)。

    我们自己在南朝鲜的部队最初削减到只有一个团战斗队,最后则只留下一个大约由五百名官兵组成的军事顾问团(其缩称即人们所熟知的KMAG,读作“凯马格”)。由威廉·罗伯茨准将指挥。该团负责向南朝鲜营以上单位派遣军事顾问。这就是北朝鲜人为发动入侵而进行最后阶段的炮击和轰炸时我们留在朝鲜的全部人马。一九四九年六月,沿三八线发生一系列小规模袭击事件之后,北朝鲜军队侵入大韩民国领土瓮津半岛。几乎在同一时刻,最后一批美军战术部队却正在撤离南朝鲜。直到七月份,边界才恢复到原先的态势。就在同一月,三八线以南的开城遭到北朝鲜步兵和炮乒的攻击。后来在八月份,瓮津半岛再度遭受入侵,经过激战,北朝鲜人终于被赶了回去。一九五○年五月,开城再次遭到北朝鲜炮火的猛烈袭击。此时,我们自己却正在飞快地撤离南朝鲜。

    不过,决不应当认为我们的军事当局乃至政府当局都一致要求从朝鲜撤军,或者对那个不幸国家的事务只愿看光明的一面。早在一九四八年,陆军参谋长奥马尔·布莱德雷将军以其特有的洞察力对参谋长联席会议中大多数人的观点提出了挑战。这些人的观点是,朝鲜“没有什么战略价值”、“任何在朝鲜使用美国军事力量的做法都是不明智的”。布菜德雷认识到北朝鲜人入侵的可能性极大,因而建议,如果真的出现这种侵略行动,则应迅速疏散美国侨民,并且毫不迟疑地向联合国安理会说明事实真相。他还极力主张,在我战斗部队撒离之前,应重新分析朝鲜局势。布莱德雷的观点遭到了否决。

    此外,美军驻南朝鲜军事顾问团中的一名高级军官约翰·贝尔德上校也曾独自一人提出过警告。他对当时刚刚任命为驻朝大使的约翰说,南朝鲜军队所用武器装备的类型与质量不足以保证维持边界的现状。他报告说,人数上处于劣势的韩国军队在火力上也让北朝鲜军队完全占了上风。北朝鲜军队拥有122毫米火炮,射程约为十七英里,而美国提供的105毫米火炮有效射程大约只有七英里。他还强烈要求送给韩国军队一些防空武器,建议向他们提供F-51飞机,但是他的这些主张没有引起重视。

    包括杜鲁门在内的文职官员们早先也曾大声疾呼反对立即拆除我们的战争机器,关闭我们的军工生产部门。但是,正如如杜鲁门先生在其《回忆录》中所写的,这些呼声“被国会和报刊淹没了”。因此,最后当大炮终于宣告朝鲜爆发全面战争时,我们创建的幼小共和国发现它处于毫无抵抗准备的状态,而我们也发现自己在军事上毫无准备,无法履行相互支援的协定。

    第3节

    一九五O年六月,沿整个三八线对峙的南、北朝鲜军队在实力和战备程度上还存在着很大的差距。可是,北朝鲜军队旨在侵占南朝鲜全境的大规模进攻居然为南朝鲜军队所阻滞,这确实令人感到惊异。北朝鲜军队拥有装甲部队,而南朝鲜军队却没有。北朝鲜军队拥有的火炮在数量和射程上都大大超过了我们提供给南朝鲜的火炮。南朝鲜炮兵的大多数火炮已经多中未曾使用。北朝鲜人民军可以得到飞机的掩护,而南朝鲜军队甚至连高炮部队都感到不足。南朝鲜军队也没有任何可以抗击对方坦克的火炮。这种情况同以往少数童子军企图以手中的轻武器阻止德军装甲部队的情形很相似。

    要想有效地发挥火炮的作用,必须做到能集中火力于重要的军事目标。这就意味着必须标定出集火射击的诸元,训练好炮手,并且对火炮进行试射。而这一切,南朝鲜军队基本上都未能做到。可是,北朝鲜人民军的榴弹炮几个月来却一直瞄准着在南朝鲜境内的重要目标,并且在此之前已经对开城市进行过两次炮击。北朝鲜人民军不仅为这次进攻作了充分的准备,而且还拟制了详细周密的计划,甚至连派某些部队混杂在难民之中潜入南朝鲜境内、破坏交通、散布恐怖言论以及摧毁坚固工事等问题都考虑到了。

    进攻是在一九五0年六月二十五日拂晓发起的。这是一个雨水淅沥的夏日之晨。敌人对各个进攻地带亦即通往汉城和春川的的山谷间的主要公路或曰“走廊”实施了猛烈的炮火袭击。尔后,敌人沿着这些谷地实施了主要突击。T—34式坦克在前面隆隆地开进,步兵一遇到抵抗就迅速展开成战斗队形。为配合这些进攻,敌人侵占了整个瓮津半岛,并且沿东海岸实施了一次两栖迂回行动。这次迂回行动的目的,在于切断那些守护南北走向的海岸公路和通往西南方向之洪川、原州和堤川的公路的南朝鲜军队退路。任何—个在手头没有反坦克武器的情况下抗击过敌坦克的人,都能理解数量上居于劣势的韩国军队中笼罩着的恐怖气氛。

    当时,韩国军队正面临敌人在坦克支援下对汉城实施的钳形进攻。在这些韩国军队中,除那些在过去几个月中曾参加过反游击战的部队之外,很少有什么部队参加过实际战斗。许多人几乎根本没有受过训练,他们不熟悉自己手中的武器,对指挥官(某些指挥官在开战头几天就丢下部队开了小差)缺乏信心,不知道如何对付一个对自己的翼侧实施包围的数量上占优势的敌人。部队几乎没有为实施纵深防御或者建立补给系统而进行过任何准备。南朝鲜军队基本上是为了应付国内治安而进行装备和训练的,因此,许多士兵感到无法抗击大批有组织的蜂拥而至的凶恶敌人。

    在美国军队参战之前,竟然有许多南朝鲜部队未作任何抵抗。其原因在于他们不懂得如何进行抵抗菌素和完全丧失了组织纪律性。

    然而,也有一些英勇作战的例外情况。如果不是少数几支进行了适当作战准备的韩国军队英勇奋战,可能还会丧失一两天极其宝贵的时间,也就有可能遭到彻底的失败。南朝鲜第6师是在北朝鲜入侵前做好战斗准备的一支部队。

    驻韩国军事顾问团的托马斯·麦克费尔中校曾担任该师的高级顾问。他很快便征得了该师师长金将军的同意,着手实施一项紧张的训练计划。第6师负责防守通向春川的接近路,经常要对付通过春川与江陵之间几条固定路线穿越三八线的成帮的游击队。就在北朝鲜军队大举入侵前的几个星期,南朝鲜第6师经常与这些穿越边界的、人数多少不等的成帮入侵者进行战斗,所以,他们在激烈的战斗中经受了一定的锻练。

    第6师的炮兵分队和工兵分队也进行了训练。长期闲置不用的榴弹炮进行了一定的试射,集火射击的诺元进行了测定和标定,发射阵地也进行了改善。根据麦克费尔中校很明智的指示,情报分队得到了加强和训练,并且被频繁地派到三八线以北执行任务。他们从那边返回时所带的情报有力地证明,敌人的进攻已经迫在眉睫。他们发现了敌军伪装良好的坦克,新调来的部队,以及高炮连。所有这一切都使麦克费尔中校感到时间已经十分紧迫(他曾将这些情报呈报上级,但未引起重视。)。他说服师长取消了六月二十三日的所有周末通行证,充分加强了防御阵地上的兵力。因此,当敌军果真发起进攻时,南朝鲜第6师已经作好了抵抗的准备。他们进行了英勇的战斗,阻滞了北朝鲜人民军向汉城发动的大规模强攻,争取了三天的宝贵时间。如友邻部队对这次进攻也能作好同样的准备,则这次进攻受阻的时间可能会长得多,那样便会有足够的时间沿汉江组织起某种抵抗,其结果也就大不相同了。

    南朝鲜第6师打退了敌人数次进攻,以精确的集火射击打得敌人惊慌失措,陷于混乱,而且,用预备队削弱了最初突入的政部队。但是,此后却传来了两翼友邻部队已经仓皇逃跑的消息。这使得第6师两翼暴露,有可能很快为敌人所包围。因此,除撤退外别无出路。在春川以南,已经构筑了防御阵地,第6师准备在那里进一步组织抵抗。

    但是,驻南朝鲜军事顾问团此时接到了撤离汉城的命令。麦克费尔中校接到指示,令其动身前往大邱,再由那里乘飞机转移出去。待他能够返回来帮助重新组织丧魂落魄的南朝鲜部队时,汉城已落入敌手,退却已经变成了溃逃。

    在首都防御战中,南朝鲜第l师也进行了同样英勇的战斗。该师的一个步兵连在汉城以北某高地坚持抵抗,直到最后一人战死为止。然而,其他各处却是一派惊慌失措的景象。瓮津半岛于第二天黄昏完全被敌人占领。于是,敌人进攻瓮津半岛的部队便腾出手来加入了对汉城的强攻。残存的南朝鲜部队不得不借助登陆舰撤了出来,以便加强首都毫无希望的防御。开城,该国的一座古城,在第一天拂晓进攻发起后仅仅四个小时就落入北朝鲜人民军手中。翌日黄昏,敌军在坦克支援下,沿狭窄的走廊地带挺进至议政府城下,并包围了该城,打通了直接通往汉城的道路。平民百姓、溃不成军的部队、装满坛坛罐罐的大车、小马驹、大车中,无所不有,都在逃难,形成了一股逃难的人流。在越来越近的隆隆炮声中,这股人流喧闹嘈杂,然而却又显得出奇地耐心。零星的反冲击几乎无法降低敌人向首都前进的速度。

    但是,在北朝鲜人民军进入汉城市郊之前,南朝鲜军队参谋总长就已经集合起全体随员越过汉江南逃了。据南朝鲜方面称,“在本人表示反对的情况下”,蔡将军“被送上了一辆吉普车,送到汉江以南”。究竟他是以何种形式表示反对,又是哪一级迫使他上的吉普车,我们在汉城的美国人是无从了解的。据美国陆军在朝鲜作战的正式史料记载,在没有通知驻南朝鲜军事顾问团的情况下,整个南朝鲜陆军司令部便转移至汉城至水原半途的始兴。当美国人获知此事之后,在场的美国高级军官威廉·赖特上校(后晋升为中将)遂召集其参谋人员出发往南,企图说服南朝鲜人返回来。可是,他们费尽口舌未能成功。结果,仍在汉城以北作战的南朝鲜部队同司令部失掉了联络。不久,老百姓便恐慌不安起来,大规模逃难开始了。(三天之后,即六月三十日,南朝鲜政府解除了蔡将军的职务,由钟日昆将军接替了他。钟将军在指挥上堪称楷模。他后来成为骏美国大使。现在,也就是一九六七年五月,任外交部长。)六月二十八日凌晨,北朝鲜人民军进入汉城。城内早已大火熊熊,到处悬挂着共党的旗帜。随着新生的共和国的文化、政治、交通和精神上的中心汉城的丢失,全部有效的抵抗行动均以彻底失败告终。南朝鲜军队连同大批身穿白色服装的难民(其中混杂着许多在北方受过训练的渗透者)一窝蜂地涌过了汉江。可是,东京的总部却一度认为,可以依托这条河流形成的障碍进行一番抵抗。

    然而,六月二十九日,总司令麦克阿瑟将军象他以往经常所做的那样,不顾个人安危亲临现场察看了一番。通过察看,他认识到,如果得不到大规模增援,就不可能阻挡故人进攻的势头。麦克阿瑟和他的七名高级参谋,其中包括爱德华·阿尔蒙德将军和乔治·斯特技特迈耶将军,由东京飞抵位于汉城以南二十英里的水原,并在前进指挥所听取了驻韩国军事顾问团两名刚从汉城返回的军官所作的简要汇报。总司令和他的参谋人员与这两名军官一道分乘两辆征用的吉普车向汉江进发,他们在这股由难民、大车、行李、部队和车辆组成的南逃的洪流中奋力穿行。在一个可以俯瞰汉江谷地的高地上,麦克阿瑟观察了逃难的混乱景象。不久,他便在一份电报中向参谋长联席会议报告:“南朝鲜部队正处于混乱之中,没有进行认真的抵抗,缺乏指挥……他们无力夺取主动权……”。

    麦克阿瑟在朝鲜的地面只停留过五个小时,而且,大部分时间都用在听取情况介绍和旅途上,直接用于观察的时间大概只有一个小时。但是,他就南朝鲜军队的抗击行动所作的刻薄的评价基本上还是公正的:南朝鲜军队被打败了。因此,除非我们迅速投入巨大的兵力,否则整个半岛很快就会沦陷。

    (下面的趣闻可以说明麦克阿瑟眼中所观察到的情况。在其《回忆录》一书中,麦克阿瑟曾把退却描绘成一幅栩栩如生的画面:“被击败的、溃散的军队形成了一股可怕的逆流。南朝鲜军队完全是在狼狈溃逃。”从可以俯视汉江的高地上,他看到了“从汉城的废墟上冉冉上升的冲天烟柱”和“正在撤退的、溃不成军、气喘吁吁的队伍”,看到这些队伍“常常为满身尘土、挤来挤去的逃难人群所阻塞而不能举步”。但是,当时站在麦克阿瑟身旁观看同样情景的阿尔蒙德将军所描绘的景象却不是这样地令人绝望。他所见到的部队既不是气喘吁吁,也不是溃不成军。相反,尽管追击炮弹不时地落下——当然,还没有近到危险的程度——“所有的人却仍然谈笑风生,他们仍然荷枪实弹、武装整齐,仍然顾得上向我们致意”。还有一点也不很清楚,在断断续续地下了十二小时雨的情况下,“人群”怎么还会“满身尘土”。可是,在麦克阿瑟许多由别人代为捉刀的报告中,一些看问题比我敏锐的人也发现存在言过其实的倾向。)美国为避免即将发生的灾难而拟制的计划,此时不得不一小时一小时地重新修定,估计必须投入朝鲜的兵力也几乎是在成几何级数地增加。我们的情报部门事先曾提供过充分的事实情况,本来可以作为我们采取相应步骤的依据。但是,我们未能对这些情报作出正确的判断,甚至可以说没有引起足够的重视。例如,我们根本没有想到北朝鲜人民军是这样一支训练有素、军纪严整、具有高度战备程度的军队。结果,我们对这场战争的实际规模和样式毫无思想准备。现在,我们才如梦方醒,才被迫想起了我们遭到严重削减的军队,才不得不仓促上阵,以便从就要降临的大灾大难中抢救出我们所能抢救的一切。

    我们当前最关心的问题是将入侵所危及的美国国民安全地转移出去。为此,我们事先曾港备了一份“油煎饼计划”。这是一年前在驻南朝鲜军事顾问团和美国大使馆协助下由东京的总部拟制的。莫西奥大使负责在发生重大的紧急情况时将这项计划付诸实施。现在,紧急情况出现了,这项计划也就毫不迟疑地付诸实施了。海军、空军和美国使馆都行动起来,干得十分顺利、迅速而且有效,结果,全部有关的男人、妇女和儿童一个也没有丢下,甚至没有一个人受到重伤。我们的驻远东部队所取得的这个小小的胜利,很快就为重大的不幸和灾祸掩盖了,以至于华盛顿本应拍发的“干得好”的电报一直都没有发来。

    现在,总司令的当务之急是拼凑足够的兵力和弹药来进行一场比我们预计的规模要大四倍的战争。已经到了需要立即定下决心和迅速采取行动的时刻。在作出反应的问题上,我们的总统和军事领导人没有产生片刻的犹豫和怀疑,这是值得赞扬的。从汉城发出的宣布南朝鲜领土遭受北朝鲜军队入侵的电报,于六月二十四日①(星期六)下午九时三十分左右传至华盛顿。下午十时之前,电报的副本就交到了国务卿艾奇逊手中。他立即打电话给在密苏里州独立城的杜鲁门总统,总统正打算在那里度过一个短暂的假期。星期日凌晨的头几个小时,政府各部门的值班官员一直在忙着确定他们必须通知的人员名单,以便向那些需要首先知道战争已在朝鲜爆发的人发出通告。

    美国在长期采取让朝鲜任凭命运摆布的政策之后,这次是否会作出什么不同的反应,那是很难肯定的。我们没有进行战争的准备,我们这些最先听到从世界另一面传来的不祥消息的人,内心里大都以为第三次世界大战开始了。如果总统在确定应该首先采取何种行动之前能够先与自己的所有顾问郑重其事地进行磋商,那就不会有人对他提出批评了。可是,面对这样的挑战,优柔寡断、瞻前顾(华盛顿时间比汉城和东京时间早十四个小时。——作者)后并不符合杜鲁门总统的性格。数小时之内,他就命令使用“美国空、海军力量为南朝鲜政府军提供掩护和支援。”

    六月三十日,他批准了麦克阿瑟使用一个团战斗队的请求。此后不久,他又授予麦克阿瑟“使用其所属地面部队的全权。”

    这些决定所产生的影响,当时在美国并没有立即为人们感受到。我认为,我们的绝大多数公民,由于深受报刊和政客的影响,由于本身强烈的主观愿望,觉得朝鲜战争的爆发只不过是发生了一场火灾,不久就会被我们留在那里专门负责这类事务的人所扑灭。可是,各处的军人听到这一消息却深感不安。他们对于国会减少预算将我们的军事力量砍得只剩下一副骨头架子的情况了解得再清楚不过了。他们长期所关心的并不是苏联的什么意图,而是苏联的实力。此时,大部分军人感到担心的是共产党终于决定要决一雌雄了。

    我至今还清楚地记得,这个消息是如何传给我的,它对我的影响又是多么地深刻。一九五O年六月,我作为陆军副参谋长在五角大楼值班。当时,我刚刚结束了对宾夕法尼亚州国民警卫队第28步兵师的视察。那一夜,我象其他许多正在酣睡的人们一样被床边的电话铃声惊醒。当我听到来自午夜华盛顿的一个镇定而准确的声音告诉我莫西奥大使发来的消息时,越来越感到惴惴不安。我将能体谅人的妻子叫醒,把我的忧虑告诉了她,并且让她赶快穿好衣服,作好回首都的准备。当我们走向自己的汽车时,卡莱尔兵营的重要人物住宅区沉浸在乡间的静谧气氛之中。当整个乡村仍在酣睡之际,我们在夜暗中上了路。一路上,我们很少交谈,但彼此心照不宣,纳粹投降以来我们所享受的这个短暂的和平时期现在已经结束,在很长很长的时期内,我们将再也享受不到这种和平了。我不禁想到了这条道路两旁乃至全国各地正在熟睡的千千万万的人们,他们一点也不知道当太阳升起的时候他们的生活可能会发生多么突然而剧烈的变化。

    不用说,我们能够投入朝鲜的首批部队只有海军和空军,他们已经担负了将那里的全体美国公民和少数外国人转移至安全地区的任务。以海军中将阿瑟·斯特鲁布尔指挥的第7舰队为主力的海军,赋予其主要作战部队第77特混舰队以这样的任务:在消灭敌人所有的海军力量之后,封锁朝鲜的海岸线。朝鲜战争编年表中所记载的内容大部分是关于地面部队的艰苦战斗,这是十分公平合理的,因为地面部队曾被迫与一个足智多谋、数量上占优势(在一个较长的时期内)的敌人日以继夜地进行过殊死的战斗。

    但是,美国海军的全体舰上人员以其特有的勇敢精神进行了卓有成效的战斗。他们沿朝鲜海岸执行封锁任务,不顾一切地从事排除航道中水雷的艰苦而危险的工作,他们还要执行水下爆破任务,这项工作常常要在零度以下的寒冷天气里进行。至于说到飞行员,如果没有他们,这场战争可能在六十天之内就会告终,整个朝鲜也就会落到共产党手中。由于缺少受过专业训练的照片判读人员,飞行人员执行侦察任务受到了影响。但是,陆军、海军和海军陆战队的飞行人员和地勤人员在各种气象条件下昼夜不停地工作,从狭小的跑道或光滑的甲板上起飞作战,因而仍得以在战争之初消灭北朝鲜的空军,摧毁其大部分装甲车辆,并将急需的人员和补给运往最危急的地点。海军控制着航道并防止了任何规模的敌部队由两侧的海岸登陆,同时输送了迅速加强第8集团军所必需的补给品和装备器材。空军则掌握着绝对的制空权。由于这些原因,我们的地面部队才能在朝鲜夺得一个不太稳固的立足点,并能在援军到达之前进行固守。

    由于批准使用的那个团战斗队(一个加强步兵团)无法及时从夏威夷赶到作战地带,麦克阿瑟将军遂命令立即空运一个步兵营到朝鲜应急,命令该营尽可能靠前地与敌人建立接触,并通过迟滞行动争取时间以使更多的部队能运至朝鲜。该营预定飞往当时仍在己方部队手中的水原机场,但是由于为恶劣的天气所耽搁,最后只得降落在釜山机场。他们从釜山出发,沿公路和铁路向前机动,去迎击正在稳步推进的敌人。

    这支部队就是史密斯特遣部队,是根据其指挥官史密斯中校的名字命名的。在那艰苦奋战的几天之中,这是唯一的一支在地面作战的美国部队。这支部队只有五百人:两个步兵连、两个4.2英寸追击炮排(不得不全部作为野战炮兵使用)、一个75毫米无后座力炮组,以及六个2.36英寸火箭筒小队。他们的对手是数量上为他们一百多倍的、装备有T—34式坦克和野战火炮的敌军。史密斯特遣部队没有预备队,没有可击毁装甲很厚的敌坦克的武器,也没有可与敌之榴弹炮相抗衡的武器。(史密斯特遣部队倒是辖有第52野炮营的A连,但是,在向前方机动时该连掉队,七月五日战斗打响时未能赶到。)谈起这一小股装备低劣的部队的情况是令人伤心的:他们过去所受的训练只是为了适应执行守备任务的需要,而不是为了打仗。他们刚刚失去了在平静的日本所享受的那种悠闲、安逸的生活。在日本,他们吃惯了丰盛佳肴,与女友一起消磨时光,甚至连擦自己的皮鞋也要找人代劳。

    在朝鲜,他们毫无怨言地施着沉重的脚步向前开进,到一些既无掩蔽又无荫蔽的山岗上或污泥齐腿深的、臭气熏天的稻田里去迎接死亡。他们所进行的抵抗看起来也许徒劳无功,毫无希望。他们所能做的一切至多不过是在一些高地上坚守阵地,直到敌军几乎完全把他们包围或者自己弹尽粮绝为止。尔后,他们通过一些自己所不熟悉的、每个居民都可能是敌人的地区实施后撤,并拼命设法在某个地点重新集合部队,进行另一次毫无希望的抵抗。在进行第一次战斗时,特遣部队有些恐慌,显得非常混乱。七月五日上午八时,敌人以三十辆坦克和一支强大的步兵部队向乌山附近发起了进攻。史密斯特遣部队不久便被迫在退却与被歼之间进行抉择。他们坚守阵地,一直打到弹药告专罄才开始有些混乱地撤退。撤退中遭到很大损失。

    在此后的数周之内,部队就是以这种方式进行战斗的。

    敌人以数量上占绝对优势的兵力发起进攻,不断对暴露的两翼进行试探,并且还机动其装甲部队,象对付玩具枪一样对付我们的火力。没有预备队的第24步兵师几乎在不断地与敌人进行战斗。他们有时在行军中就打起盹来,常常是多日吃不上一顿热饭,但是,他们却能顽强地坚持,以争取极其宝贵的时间。七月五日晚,第21步兵团战斗队第l营全体人员投入了战斗,与此同时,第24师剩余部队开始在大田地区建立防御阵地。

    麦克阿瑟将军从一开始就拟制了范围广泛、森罗万象的计划:他打算尽可能靠前地与敌人建立接触;投入他能迅速运送到那里的各种部队,阻止敌人的进攻;直接利用宽阔的汉江这一天然障碍(汉江是朝鲜为数甚少的几条河水很深、难以徒涉的河流)进行抵抗。他准备迅速集结起两个美军师的兵力。这支部队加上南朝鲜军队便足以(根据麦克阿瑟最初的判断)迟滞敌人的进攻,并保证在半岛上保持足够的立足地区。尔后,在获得足够的兵力之后(总司令估计,这要花两个月的时间),他将首先以两个师组成的军实施一次两栖突击,从而转入进攻,夺占仁川——汉城地区,控制敌交通与补给线,尔后全歼敌军。

    可是,这个计划是在总部了解敌人的实力之前制定的。

    所以,战斗一打响,麦克阿瑟将军对所需兵力的估计数便急剧地增加。汉江几乎没有降低敌人进攻的速度,南岸的南朝鲜步兵在猛烈的、无法回击的炮火打击下很快便士崩瓦解。北朝鲜人民军迅速越过了这道天然障碍,开始向南迅猛突击。第24师的前方分队沿汉城至釜山的主要公路和双轨铁路的总轴线主动实施退却。我空军摧毁了敌军大量坦克,杀伤了许多徒步步兵,并且不断地在近距离上阻止敌军前进。但是,在那里与敌人争夺阵地的却只是一个师的残余部队。该师本来就人员不足,已遭受沉重打击,并且在火力上也弱于对方。

    在十七天的艰苦战斗中,这些疲惫不堪的士兵们进行了五次大的迟滞作战行动,后撤了七十英里。七月五日和六日,他们在乌山附近进行了首次阻击;八日,他们又于天安附近再次组织抵抗;十一日,在全义和鸟致院之间的地区作战;尔后,从七月十三日到十五日,他们沿锦江抗击敌人达三天之久。也许,他们最艰苦的战斗是在大田市及其周围进行的,这次战斗使他们失去了勇敢的指挥官威廉·迪安少将(在那儿被俘)。就是在这个地区,他们冒着街巷两侧房顶上敌人狙击手和自动枪手的火力,经过苦战才穿过了危险的街巷。

    敌人利用坦克突破我军防御之后,常以步兵从两翼对我实施迂回,包围炮兵分队,尔后向后方实施卷击。因此,每个成员(炮手、宪兵、甚至卫生兵)到时都得拿起卡宾枪或步枪仓促建立起环形防御圈,并作好夺路撤至后方的准备。

    在游击队和受过训练的共产党破坏分子袭扰下,我们的补给线不断遭到破坏,后方地区也没有安全保障。这些人都是混在无数难民中渗入我方的。到处是无休止的战斗,无休止的退却,无休止的危险。巡逻兵被派出去寻找同部队失掉联系的人员时常常发现这些人员反剪着双臂死在地上,每个人后脑勺上都有一个枪眼。这段时间,有时大雨如注,有时夏日的骄阳蒸烤着人们的衣服和皮肤,一个个口干舌燥。

    七月二十日,大田弃守。此后不几天,因获得从第?步兵师(现为我留驻日本的全部战斗守备部队)抽调的部分兵力而勉强可以作战的第25师和第1骑兵师,在一百英里宽的战线上的各个地点进入了战斗。这条战线由大田——大邱公路和铁路以西一直延伸到浦项洞以北的日本海海域。第24师伤亡惨重,病苦、疲惫而且肮脏,他们四处寻找喘息的机会,然而希望落空,他们被迅速调至洛东江西部和南部地区,准备在那里阻止敌军对我军南翼实施迂回。

    敌人对我得到加强的防线的压力在继续增大。不久,问题就很清楚:我们必须进一步缩小防御正面,以便形成足够的防御纵深,防止敌人达成突贯。值得庆幸的是,在此关键时刻,又有增援部队在釜山上陆,从而加强了我军前线的力量。陆军第5团战斗队于八月一日由夏威夷赶到朝鲜,第3步兵师于同一天开始在釜山登陆。第二天,第l暂编陆战旅上岸。他们到达的时间几乎分秒不差,因为,当时的情况已十分危急。

    五角大楼的观察员们早就知道一场灾难威胁着南方,因为,通过空中侦察,我们不断得到敌军一支队伍沿西海岸向半岛顶端的马山运动的情况。如果敌军在这个地点达成突破,就可能出现十分严重的灾难性后果,整个半岛就要放弃,我们拼凑起来的部队在夺路逃跑的过程中就会遭到血腥屠杀。

    但是,指挥第8集团军的沃尔顿·沃克中将已经宣布,巴丹岛那样的事情决不会重演。七月二十九日晋州陷落之后,在第8集团军的处境仍在急剧恶化的情况下,沃克宣布:“决不能再后撤了!我们必须战斗到底!我们要守住这条防线!我们要赢得胜利!”

    他们果然赢得了胜利,这是通过殊死的战斗和出色的机动赢得的胜利。首先,沃克急速以加强后接近战斗编制实力的架子部队来对付最严重的威胁——正在由南面迫近的敌军纵队。这支队伍有可能席卷沃克的整个防线。第25师巧妙、快速地实施机动,从敌军兵力当时还比较薄弱的北面转移到南面,那里,马山——晋州防线正濒于崩溃。

    刚口上陆的第1暂编陆战旅也立即投入到那一地段,从而大大加强了那里的力量。爱德华·克雷格准将指挥的这个旅下辖第5陆战团和第33陆战队航空大队。该旅到达时,实力不足编制数,缺编的单位与第8集团军所属其他部队差不多(一个步兵营只有两个步兵连,而不是三个;炮兵连只有四门炮,而不是六门)。该旅的兵力总共六千五百人,能够在M—26“潘兴”式坦克的支援下加入战斗。这种坦克装备有90毫米火炮,比T—34式坦克强。这支部队使南部转危为安,阻止了敌人的前进。(由于敌人是在夜间行进,我们的飞机在此之前未能降低故人的前进速度。)现在,第8集团军已建立了自己的最后防线,即后来的所谓“釜山环形防御圈”。防御圈是一个三面临敌的宽大防线,保护着连接大邱、马山、釜山、庆州的铁路四边形地区。这个铁路四边形是为我们分散配置的部队提供补给的生命线。为避免这条生命线被敌人切断和遭到炮火袭击,沃克决定尽量扼守洛东江一线,尽管当时敌人已经在洛东江的好几个地点远远地突入江南地区。

    这并不是一条绵亘的防线。我们根本没有足够的兵力来建立一条坚固的防线。这道防线是由一些分散的支撑点组成的。我们的部队可以由这些支撑点向外出击,如同第8集团军参谋长利文·艾伦将军所形容的那样,“一次又一次地扑灭大火”。疲惫不堪的部队没有休息的机会,没有预备队。在六个星期当中,敌人不断向两翼实施强大的突击,同时在中央发起旨在查明薄弱点的试探性进攻。无论何时,拂晓或是午夜,都经常要迅速召集起一切可以抽调出来的人员(譬如,由某师抽调的一个营,从另一师抽调的一个连,从某个其他的部队抽调的五十或一百名士兵)去应讨一些十分危急的情况。一堆火刚被扑灭,不知什么地方又会突然冒出火苗,出现危急情况,又不得不采取零零星屋的办法加以应付。

    参加这次为期六周战斗的部队计有:第8集团军所属四个不满员的师、英军第27旅、南朝鲜军队残存的所有部队(五个师)、第l暂编陆战旅以及陆战队、空军和海军所能提供的所有作战飞机。在进行仁川登陆的准备时,陆战队被抽调了出去。这使沃克陷入缺少兵力和补给的绝境。但是,他还是坚持下去了,这反映出他坚韧不跋的精神和所属部队的勇猛顽强作风。沃克本人象第8集团军的许多军官一样,认为由于总部偏向由麦克阿瑟的参谋长阿尔蒙德将军指挥的、正在准备实施仁川登陆的第10军,所以,第8集团军的实力受到了影响。但是,他们没有以实力不足作为向敌人退让的借口。沃克经过艰苦的努力果断地在最需要兵力的地方集中起自己的一点点可怜的兵力。尔后,当估计仁川登陆使敌军处于致命的危险境地时,他又奋力突出了环形防御围。但是,他那在战斗中已大大损耗的部队由于缺乏应有的器材,根本无法强渡洛东江。虽然,随着仁川登陆的消息传来,我们轰炸了敌人的战线,但是,敌人有好几天似乎并不知道已方部队在北部遭到了痛击。在洛东江一线,也没有任何迹象可以说明空军的攻击已经“将北朝鲜人民军打得屈膝投降”(这是空军正式史料中的说法)。隔着宽阔的、难以跨越的洛东江天堑与沃克对峙的,仍然是一个军纪严明、装备精良、决心坚定的敌人。

    “我们是后娘养的”,沃克在电话里向总部说(指他们未能得到所需要的工兵器材),“……但是,我希望你不要认为我会因此裹足不前”。他果然没有裹足不前。然而,敌人仍然象仁川登陆之前一样疯狂地在战斗。敌人认为,沃克将军当时根本无法将自己的装甲部队弄到对岸。沃克曾受命于九月十五日发起进攻,由防御圈出击。后来,麦克阿瑟又同意他推迟一天行动,以便在仁川登陆的次日再开始出击。二十一日,沃克仍然未能打开突围之路,敌人毫无撤退的迹象。麦克阿瑟对自己的计划遭受的这一挫折甚为关切,要他的参谋人员着手制定一个短期的速决作战方案——在汉城正南一百英里处、位于西海岸的锦山实施一次登陆。可是,在这个方案的最后阶段尚未制定出来之前,敌人终于表现出无心恋战的迹象。仁川登陆成功了,北朝鲜人民军处于被消灭的危险境地。九月二十三日,艾伦将军通过电话向东京总部说:“肯定要出什么事了。我们已经有一整天没有遭到反击了。”不久,位于最南部的那些很可能被切断退路的敌军部队开始北撤。沃克立即命令实施追击,指示各路纵队置两翼安危于不顾,毫不迟疑地向汉城方向发起猛攻。部队执行了沃克的命令,他们象所有作好战斗港备、终于看到胜利曙光的部队一样全力投入了这次追击。

    九月二十七日,向北卷击的第1骑兵师的士兵们在水原附近与向南突击的美第7师的先头分队会合。口袋终于扎了起来。这时,北朝鲜人民军开始土崩瓦解,数万人被源源不断地送进了由第8集团军和第10军临时建立起来的许多战俘营。

    麦克阿瑟又表现出他那一贯过于乐观的情绪,在没有真正赢得胜利之前就认为已经取得了彻底胜利。九月二十五日,他和阿尔蒙德将军都宣布,汉城“已再次掌握在我们手中”。可是,第10军所属部队,尤其是陆战师所遇到的情况却不一样。他们在这之后还进行了三天激烈的巷战,战斗人员和居民又遭到一些伤亡。直到九月二十八日,该城的所有残敌才最后肃清。接着,在一次简短而激动人心的庆典上,麦克阿瑟将军正式将朝鲜的都城转交给李总统。

    参加这次作战的所有部队都得到了荣誉,而这次作战的卓越组织者麦克阿瑟将军则获得了特殊的荣誉。在我们军界领导人中,差不多唯有他独具慧眼,看到了我们可以做些什么,做了之后又能得到些什么。但是,随着战争第一阶段的结束,许多人的心中更是对史密斯特遣部队堪称英勇的作战行动,当然还有第24师的作战行动,充满了感激之情。史密斯特遣部队是一支装备不足、人数甚少、几乎被人忘却的弱小美国战斗部队,他们之中很多人都是缺乏实战经验的年轻新兵。正如杜鲁门总统在赞扬他们的抵抗行动时所说的,他们确实“进行了一次军事史上最出色的后卫战斗”。总统说,“由于几位杰出的将军指挥的一小批英勇的年轻人能力挽狂澜,我们才得以集结起反突击的兵力。”

    确实,由于我们的空中力量不断给北朝鲜人民军以沉重打击,我们才有可能进行抵抗。但是,事情并不象某些正式材料肯定的那样,我认为,粉碎北朝鲜人民军、使我地面部队能比较容易地吃掉他们的真正原因,既不是这种沉重的打击,也不是被一枚地雷炸死的北朝鲜人民军最得力的领导人姜健中将(美国人称之为金空)之死。沿釜山环形防御圈与北朝鲜人民军对抗的士兵们发现,这是一个凶猛、狡诈、残忍和坚决的敌人,他们不得不通过地面战斗来战胜这个敌人。

    第4节

    仁川登陆作战即“铬铁行动”,从发起到整个行动的实施都是一次典型的麦克阿瑟式的作战行动。这次大胆的五千比一的冒险,使我们在朝鲜的部队恢复了主动,没有被敌人赶入大海。当我们这些人差不多还没有完全意识到我国已处于战争之中时,麦克阿瑟就已经开始拟定这次两栖包围计划了。这次行动集中反映了他整个太平洋战略的特点。按照这一计划,麦克阿瑟将在敌人最难预料的地点打击敌人,切断敌人的补给线并使其腹背受敌。当其他人在考虑如何平安地撤出我们的军队时,麦克阿瑟却在为取得胜利而拟定计划。

    起初,没有多少人支持他。我知道,当他就这一计划向参谋长联席会议作扼要说明时,不只是我一个人对他的计划是否可行表示怀疑。有些人直到这次行动的成功既成事实之后才放弃自己的看法。但是,麦克阿瑟将军不仅仅是一位军事天才,他还是一位很出色的能言善辩的人。他能很雄辩地论证自己的观点,以至那些决心反对他的人都能被他争取过来,转而对他表示热情的支持。

    正当我们数量上处于劣势的经过浴血奋战的军队撤往釜山环形防御圈的时候,正当麦克阿瑟急切地要求给他补充越来越多的兵员和物资的时候,在国内有许多人发出了冷静面又合乎情理的呼声,提醒我们不要把已经缩减的兵力过多地投入到这次行动中去,因为这次行动可能仅仅是一场小规模冲突的序幕,而这场小规模冲突可能又会很快蔓延到欧洲,并且迅速席卷整个世界。在其他战区,我们还有比朝鲜更加重要、更便于防御的地点需要保卫,况且,我们当时几乎没有什么兵力可以抽调到朝鲜。在远东地区,我们有一支重要的野战部队:第8集团军。这支占领军实际上并不负有防守朝鲜的任务。为了完成其在日本的占领任务和治安任务,该集团军分散地驻扎在整个日本。它只有很少的几个训练地域;也许,通过在这些地域进行训练,其所属部队能保持战备状态。可是,这些部队助战备训练任务早巳降至次要地位。

    尽管麦克阿瑟告诫说远东确实存在着危险,他还是眼看着自己的部队不断地被削减。第8集团军所属四个步兵师(含第1骑兵师)中的任何一个师,实力都低于规定的中二万二千五百人的临时编制数,即使这个数字也大大低于一万八千九百人的战时满员编制数。每个师都缺少一千五百支步枪和应有的全部90毫米反坦克烟,每师九个步兵营缺少三个,师属炮兵的三个炮连缺少一个,此外,团属坦克连一个也没有。仅第1骑兵师保留有一个建制的中型坦克营。集团军下面没有军部及军部掌握的中型和重型炮兵、工兵以及通信兵等重要的军属部队。

    海军和空军同样不足编制数额。海军的作战舰艇、各型登陆舰艇、扫雷舰艇与器材等都低于规定的数量。空军最初根本没有喷气式战斗机,其他作战飞机和运载部队的飞机亦很少。如前所述,由于缺乏受过专业训练的人员,空中目视侦察与照相侦察能力均受到严重影响。

    然而,兵力单薄的状况不只表现在远东地区。在国内,整个总预备队只有被精打细算的人们搞得仅剩下骨架的第3架子师,加上第82空降师。

    这就是遣散军队给我们造成的状况。此外,遣散军队还使我们陷入了这样的困境,除了那些后备役人员亦即那些参加过第二次世界大战、刚刚复员的老兵之外,我们已无处搜寻受过训练的兵员了。这些老兵大都刚刚安顿下来,已经有了他们在整个战争年代梦寐以求的称心工作和家庭。这些人已经流血流汗,备尝艰辛,作出了自己的贡献,因此都不愿意重返军队,在极其恶劣的条件下再重新吃一次苦头。他们的这种思想状态是可以理解的。政府也不愿意再征召他们入伍。可是,此外还能到哪里去寻求所需要的人员呢?如果征召成千上万的年轻人入伍,并使他们具备参加实战的能力,那要花费一年的时间。可是,眼前的战斗是如此紧迫,以至于不得不把部队空运到前方去。所以,除非让退伍的军人再次服投,否则别无它法。

    正是在这种情况下,麦克阿瑟急切地要求抽调越来越多的部队投入战斗。开始,他要求上级投入一个团战斗队,后来又估计需要两个齐装满员的师。七月七日,他要求派出四至四个半满员的师并加强一个空降团战斗队和一个由四个中型坦克营组成的装甲群。两天之后,他电告参谋长联席会议,说他还需要马上获得一个“至少由四个师组成并带有全部建制兵种勤务部队的野战集团军”。不难理解,他对五角大楼的上司是很不耐烦的。他的上司们对于把我们当时的全部军事力量用于一个我们并未选择过的也许还是非常次要的战区感到犹豫不决,这也是不难理解的,更何况这些军事力量当时还没有在那个战区展开。

    对于远东方面请求的兵力是否过大也有人感到怀疑。

    有的人还担心,我们这样地消耗手中现有的军用物资和军事实力,也许花一两年的时间都补充不上。还有一点也不很清楚,就是杜鲁门先生的方针(迫切希望尽一切可能避免在我们没有作好准备的被动情况下挑起第三次世界大战)是否已经被东京的麦克阿瑟完全理解了。因此,决定派总统的特别代表艾夫里尔·哈里曼专程前往东京与麦克阿瑟将军商谈。拉里.诺斯塔德将军和我奉命随同前往。

    当我们离开华盛顿时,五角大楼内有一种很强烈的意见,我也有这种意见,反对批准麦克阿瑟抽调第3师的请求。该师实力严重不足,毫无战斗准备,而且、抽调了该师,总预备队就会只剩下唯一一支主力部队:第82空降师。至于说抽调第82空降师,或者为了向麦克阿瑟提供他们所要求的空降团战斗队而削弱该空降师的战斗力,我是准备坚决反对的。但是,正象我们所有的人一样,我在考虑这些问题时还没有获得机会亲身感受麦克阿瑟那很强的说服力、自信心、雄辩的口才以及提出一个大胆的军事计划时那种高超的技巧。

    会议在东京从六日开到八日,这次会议是麦克阿瑟个人的一次胜利。他用了两个半小时扼要地阐述了自己关于朝鲜问题的总计划以及完成这项计划所必需的条件。当时在场的人只有哈里曼先生、诺斯塔德将军、阿尔蒙德将军和我。在他说完之后,他的观点赢得了我们一致的支持。

    通过麦克阿瑟这次出色的解释,以及在我对“铬铁行动”计划亦即仁川登陆计划进行研究之后,我自己的疑虑已大部消除。在乘飞机回国的途中,哈里曼先生、诺斯塔德将军和我都同意回国后支持麦克阿瑟的请求,因为其他方案看来危险性太大。

    麦克阿瑟主要论述了在冬季到来并压倒我们之前在南朝鲜迅速取胜的必要性。他指出,朝鲜严酷的冬季造成的非战斗减员可能会超过进行一次短期战役所造成的战斗减员。他警告我们说,到十一月中旬,大雪和寒风就会向我们袭来。同时,他现在一天要损失一千人,而补充的人数甚至还不能使他的部队保持现有的实力水平。他强调说,如果迟迟不能获胜,还会增加中国和苏联军队进行公开干涉的危险性。但是,为了歼灭在南朝鲜的敌军,必须在九月二十五日发起这次攻势,而且,为能稳操胜券还要以足够的兵力发起这次攻势。否则,在敌人巩固阵地并得到增援之后,我们就会在更加不利的时机进行一场更为困难、需要付出更大代价的战争。

    当然,我们的远东司令煞费苦心提出的那套详尽而令人信服的论据远不止这些。

    在这次会议的始终,以及在开会前一天我在午餐桌边坐在麦克阿瑟将军身旁所度过的那段时光,都可以明显看出,他是尊重上级、按自己的指挥系统办事、明确自己的职责范围的,而且也是忠于政府的。

    对此,我的印象极为深刻。所以,在这次会议之后,当我第一次与哈里曼先生和诺斯塔德将军单独在一起时,我曾几乎用同样的话谈到过这种印象。他俩都表示赞同我的看法。

    哈里曼还谈了一点自己的看法。他说:“应当把政治问题和个人考虑撇在一边。我们的政府应当把麦克阿瑟将军作为一大国宝加以器重,他确实是个国宝。”

    我们回国后都准备做些说服工作,争取尽快满足麦克阿瑟的请求,立即把第3师调拨给他(第3师已得到一定的补充,来自波多黎各区的第65步兵团和当时还在巴拿马的第33步兵团的一个营均已编入该师)。

    我的有关东京会议的笔记(这些笔记从未复制过,至今仍归我个人保存)表明,那是一次内容广泛的坦率的会谈。会谈不仅涉及到当时朝鲜的形势问题,而且涉及到总司令关于应付各种意外情况的个人打算。好在这些意外情况从未发生过。麦克阿瑟特别关心福摩萨问题。他发誓说:如果赤色中国愚蠢地去进攻那个岛屿,他将火速赶去负责指挥,“使他们遭受惨败,从而使这场战斗成为世界上决定性的战斗之一。这将是他们的一场巨大的灾难,它将震撼亚洲,可能还会击退共产主义的浪潮”。至于红色中国是否会采取如此愚蠢的做法,他是表示怀疑的。但是,他说,“我每个夜晚都祈祷赤色中国能这样做——我常常是跪下来在那里祈祷。”当然,现在还没有一个人可以断言,他这种降伏共产党巨龙的勇士的梦想,是否就是促使他后来不顾后果地向满洲边境进攻的原因。但是我想,这一点确曾促使他幻想取得彻底的胜利。

    然而,在当时,正如我早先说过的,麦克阿瑟尊重上级的态度给我以很深的印象。他提出自己的方案时丝毫也没有对上级不忠诚的表示。当时,也没有任何迹象预示着那种不同意志的冲突。那种近乎于不服从上级的冲突,后来使这位勇敢的老兵被突然解除了职务。他自信、乐观、骄傲,善于雄辩,无所畏惧——可是,他当时给人的印象又是一个地地道道的军人,似乎随时准备不讲价钱地去执行上级下达的任何命令。

    至于仁川登陆计划,由于该计划很高明,构思合理,对极细微的问题都考虑得非常周密,因而我立即就对这一计划表示了支持。但是,在这个问题上我无权作出决定;必须把参谋长联席会议中那些持怀疑态度的先生们争取过来才能使这次行动计划获得批准。

    对这个计划能否成功表示怀疑是有充分根据的。因为,只有同时具备以下条件时才能在仁川取得胜利,那就是要正确地选择时间,要有极好的运气、密切的协同、完全的突然性和极其勇敢的精神。在朝鲜整个弯弯曲曲的海岸线上,再没有比仁川更难突击的地点了。仁川的天然防御条件使敌对的一方几乎无法从海上接近。退潮时,三十英尺高的潮水在近一英里宽的泥滩上留下一条难以通过的弯曲水道。这块泥滩好象是专为使我们的坦克登陆舰搁浅并使其成为炮兵的目标而形成的。一个在我看来坚不可摧的小岛瞰制着水道。通向港口的唯一接近路水道本身肯定已经布雷,小岛上也一定构筑了坚固的工事。此外,登陆作战时间选择在台风季节,狂风很可能把我们的登陆部队吹散,使他们全部暴露在敌人面前从而被消灭掉。

    因此,无怪乎抱怀疑态度的先生们仍坚持怀疑的态度。象詹姆斯·多伊尔海军少将和奥利弗·史密斯陆军少将这些具有第二次世界大战丰富登陆作战经验的老将都没有对这种方案引起兴趣。不少其他的方案也提了出来,其中包括在东海岸的元山实施登陆,或者在远在仁川以南的群山实施登陆。在群山登陆可以更快地给釜山当面之敌造成压力。但是,麦克阿瑟拒绝采纳所有这些方案,尽管他后来很感谢参谋人员准备了一份在元山登陆的详细计划。

    唯有在仁川登陆才是可行的,因为,只有实施仁川登陆才能给敌人以必要的沉重打击,从而在冬季到来之前将其歼灭——通过这种打击,可以切断敌主要补给线和交通线,井能获得同由釜山防御圈出击的部队会合的机会,消灭夹在登陆部队和由防御圈出击的部队之间的敌军。

    八月中旬,为了审查这个仅仅作为一种设想提出的计划是否可行,参谋长联席会议派海军作战部长福雷斯特·谢尔曼海军上将和陆军参谋长劳顿·柯林斯上将去东京会见麦克阿瑟和他的参谋人员。全体主要军官包括多伊尔上将和史密斯将军在内都出席了会议。会上,麦克阿瑟将军尽了自己最大的努力,他不仅提出了应当采劝铬铁行动”的理由(他指出,除军事上的好处外,仁川登陆的胜利还能使南朝鲜人收获稻米,并能为解放这个新生国家的首都在精神上产生重要的鼓舞作用),尤其还表明了他对很快取得胜利的巨大信心。在会议临近结束时,多伊尔海军上将发言说,这个作战行动至少“不是不可能成功的”。特纳·乔伊海军上将则感到自已的担忧已不复存在。甚至在所有的人中疑虑最甚的谢尔曼海军上将,按乔伊的说法,“也几乎被说服了”。总司令又花了一天的时间私下与谢尔曼进行了一次长时闯的讨论,终于说服了谢尔曼。在与麦克阿瑟私下讨论之后,谢尔曼说,“但愿我也有同那个人一样的信心。”

    当然,仅仅有信心还是不太够的。现在还必须争取政府的赞同,使其允许我们把整个总预备队拿去孤注一掷。

    各种有利和不利的因素都考虑到了。九月十五日(登陆行动开始的日期)只有两小时的涨潮期,超出这段时间,登陆舰艇就会在泥滩上搁浅丧失战斗力;暂编第1陆战旅必须从处境十分危急的釜山撤出来补充第l陆战师;运输舰船不足;这次靠北面采取的包围迂回行动过于深远,不大可能很快解除南部战线的部队受到的压力;一次台风也许正在形成——但是,在这种条件下几乎肯定能达成突然性,而这又是一切两栖登陆行动必不可少的要素。北朝鲜人决不会料到美国人会于出这种“无法做到、愚蠢透顶的”事情(可笑的是,那一年还没有结束,麦克阿瑟自己也忽视了中国人派遣大量部队越过鸭绿江的可能性——因为“没有一个神经正常的指挥官”会干出那种事情)。

    国防部长路易斯·纳翰逊很快批准了麦克阿瑟的计划。“铬铁行动”这次五千比一的赌博,终于获准付诸实施了。正当釜山环形防御圈里被围困的士兵每时每刻都在设法避免近在咫尺的灾难时,战区司令开始了登陆作战的准备工作。这次行动将彻底击溃敌人,保证我们对朝鲜的控制。这次行动与一七五九年詹姆斯·沃尔夫在魁北克的突击非常相似,那次突击指向了敌人“以为”不可能遭到进攻的地点。

    “铬铁行动”的第一个步骤是对港湾附近的岛屿进行侦察,这些岛屿控制着狭窄的海峡。九月一日夜间,一位名叫尤金·克拉克的青年海军上尉被送到仁川附近助岛上。他进行了两周的侦察活动,以确定敌人的火炮阵位,测量沿海堤岸的高度。这些活动大部分是在夜暗掩护下进行的。他干得很成功,在九月十五日拂晓前甚至还打开了一座灯塔上的指示灯,引导第一批突击舰船驶入仁川港。

    战斗在破晓时打响了,美军驱逐舰以及英、美的巡洋舰进行了猛烈的轰击。驱逐舰的舰长们在敌人炮口之下勇敢地沿海峡向上行驶。第一项任务是压制月尾岛。这个小岛正好横卧在海峡当中,穿过海峡的所有船只都在其火炮直射距离之内。不过,该岛并未象我们担心的那样已经坚固设防。在我海军的轰击之下,岛上的火炮很快就哑巴了。海军陆战队的“海盗”式飞机向小岛的滩头进行了猛烈的扫射。六时半,第5陆战团所属第3营向滩头发起了猛烈的冲击,粉碎了晕头转向的敌人,并且在四十五分钟之内占领该岛。此后,岛上配置了火炮,以便支援部队向海堤冲击。陆战队员们在好几处使用梯子登上了比登陆舰船头还要高出四英尺的海堤。在其他地点,则干脆用坦克登陆舰在海堤上撞出缺口,或者由陆战队员用炸药炸开缺口,让冲击部队由这些缺口涌过去。白天,他们几乎没有时间巩固阵地。天黑时,第1陆战师的先遣分队终于在滩头阵地站住了脚,作好了抗击敌人反冲击的准备。但是,由于完全达成了突然性并迅速取得了胜利,敌人以后再也没有发起过反冲击。翌日,经过一场激烈的坦克战斗,我们夺取了汉城的金浦机常一天之后,第7步兵师在未遭抵抗的情况下在仁川上陆,并迅速插向内陆以切断当时还在洛东江一线作战的北朝鲜人民军的主要退路。

    然而,重新夺占汉城的战斗还是很艰苦的。尽管麦克阿瑟报告说该城在二十五日巳中中“掌握在已方部队手中”,海军陆战队的士兵们却仍然在冒着敌人的机枪、反坦克炮和狙击手火力进行逐街逐屋的战斗,一直打到二十八日,直到最后一个北朝鲜士兵从熊熊燃烧的掩体中张皇逃走、全城到处硝烟弥漫为止。

    这次作战行动从构思的大胆、制定特种作战计划的才干以及实施过程中所表现出来的勇气、锐势和艺术,在军事史上都是很突出的。象每次获得重大胜利时一样,仁川登陆的胜利也带来了突如其来的新问题——这些问题预先未充分估计到。在采取这类重大行动之前,按照惯例,应召集全体主官和参谋人员进行图上兵棋演习。各部队指挥官都应扼要说明如何处置可能出现的各种情况,从彻底的失败到重大的胜利都应考虑到。可是这一回,就算预先针对这次了不起的胜利制定过什么计划,那这个计划也是考虑得很不充分的。联合国军为此付出了很大代价。由于这个原因,大量的北朝鲜人民军得以逃走,继续有组织地在北方与我军作战,或者在南方我军战线的后方,以大规模游击战行动坚持战斗。

    华盛顿方面在制定扩张战果的详细行动方案这一问题上,也表现得优柔寡断。为了弄清诸如中国人对我们的胜利会有何种反应、俄国人又会作出何种反应等一些难以猜测的问题,华盛顿迟迟没有定下决心。

    大多数参谋人员以及沃克将军本人都认为,当时直属东京总部指挥的第10军在建立巩固的滩头阵地之后,会转隶第8集团军指挥。这样,第10军可以更有效地实施机动和得到补给。但是,麦克阿瑟却坚持把第10军置于自己的控制之下。因此,那种认为第8集团军再度受到轻视、第10军受到偏爱的看法就变得更加强烈了。两支部队之间虽然从未发生过公开表示妒忌的事情或不愿合作的情况,但是他们缺乏密切协同时相互间不可缺少的信任这一点是很明显的。

    仁川登陆的胜利带来的一个更加微妙的后果,是人们对麦克阿瑟将军的一贯正确性几乎发展到了迷信的地步。

    就连他的上级也好象开始怀疑自己对麦克阿瑟的任何决心提出疑问是否应该了。结果,麦克阿瑟失去了得到坦率而有见识的批评的机会,而每一个指挥官本来是应该获得这种机会的,尤其当他打算在七百英里之外“指挥战争”时。

    许多军事领导人已经认识到,如果谁能站在自己的上级面前,直言不讳地告诉他,自己认为他的计划是错误的,那就需要有一种特殊的浩然之气(我认为,这比匹夫之勇更难能可贵)。这就象乔治·马歇尔将军常说的那样,这个时候正是你“拿自己的职位在冒险”的时候。但是,每一个军事领导人,不论职位高低,为了对那些把自己的生命托付给他的人负责,当他感到一个严重的错误即将发生的时候,应敢于亮出自己的观点。

    有少数人对麦克阿瑟的新决定(在东海岸的元山采取另一次具有麦克阿瑟风格的仁川式登陆作战行动)稍有一些不满。可是,尽管该计划的某些缺陷很明显,很严重,却没有人表示坚决反对。然而,这次作战行动却显然是麦克阿瑟为什么要把第10军置于总部指挥之下的理由。尽管计划本身的问题非常严重,这种直接控制第10军的做法还是有一定道理的。

    要完成在元山登陆的任务,需要从仁川和釜山把第10军的大部分人员运出去(第l陆战师要经仁川拉出去,第7师则要从陆上由铁路和公路进至釜山),从而在极其紧要的时刻增加铁路和这两个设备不足的港口的负担,严重干扰对第8集团军持续不断的补给。这种补给,第8集团军不久便失掉了,这使他们很恼火(由于撤退堵塞了公路和铁路,甚至连炮弹都不得不空运到汉城)。

    不论在元山实施另一次仁川式的突击有多么好的理由,都比不上迅速封闭针对逃跑的北朝鲜人设下的包围圈重要。在陆上,有一条从汉城至元山的良好公路和一条铁路(诚然,公路和铁路遭受过轰炸)穿过朝鲜半岛一个比较平坦的地区。在仁川上陆的部队本可以沿着这条路线迅速机动,往北尔后往东向元山进击,与沿着东海岸一直向北突进的部队会合。这样便可关上大门,阻止正在迅速逃跑的敌军并使其没有时间重整部队。

    然而,直到九月二十六日,也就是在汉城街头的战斗停止前的两天,才开始认真拟制扩张仁川登陆战果的计划。麦克阿瑟要求拟制一个“在陆上追击配合下、以一次新的两栖包围行动歼灭北朝鲜人”的计划。当时提出了两个方案。按照第一个方案,第8集团军应该向北尔后向西北朝敌人首都平壤方向进攻,同时,应实施一次两栖突击,夺占黄海上的重要港口———镇南浦。按照另一个方案,第8集团军应沿汉城——元山走廊地区向北尔后转向冻北实施突击,与此同时,应同样以一次两栖突击进攻元山。沃克将军原以为第10军会由他指挥,因而赞同派第10军迅速由陆上进击元山。但是,事实并不象他所想的那样。

    也有一些人主张从蜂腰部或者说狭窄的部位切断朝鲜半岛,使联合国军占据平壤、元山一线。这种主张从理论上讲似乎完全行得通。然而,只要稍微研究一下地形情况,后勤专家们就会胆战心惊;那里有许多非常崎岖狭窄的关口要隘,铁路线千转百回且隧道密布(我们自己的飞行员曾对铁路进行过无休止的轰炸)。如果有什么比较好的理由能说明第10军应该由总部直接指挥,那就是在一切补给事务均由在几乎无法通行的陡峭山脉另一边的一位指挥官负责的情况下,要想满足这个军对粮秣、弹药和油料的需求极端困难。

    并没有人否认我们需要有一个象元山这样的港口。有了这样的港口,成千上万吨粮食、弹药和汽油便可以运来满足那些将要在西部和北部地区作战的部队的需要。其实,问题的实质是应该从陆上还是由海上接近元山。麦克阿瑟将军赞成由海上实施突击。在场的海军领导人和全部有关的师长都反对实施两栖包围,但却没有人强烈地表示出来。这仅仅是因为当时还没有人对这个人的判断力或预见能力感到怀疑,他刚刚创造了一个军事上的奇迹。那怕他建议由一个营从水面上走到元山大概也会有人愿意试一试的。

    越过三八线全歼朝鲜半岛上敌军的计划当然要事先得到华盛顿的批准,因为这样做牵涉面很大。赤色中国几乎每天都在通过无线电进行威胁,说如果北朝鲜遭受入侵,它就要参战。还有人认为,一旦我们越过这条象征性的界限,也可能会招致苏联的参战。然而,问题很清楚,如果不迅速歼灭北朝鲜人民军,而让它爬回庇护所去医治创伤,那么,要不了多久它还会进行入侵的。因此,经过一番审慎的考虑,杜鲁门政府同意了参谋长联席会议的建议,授权麦克阿瑟可以进入北朝鲜作战。但是,附带有一个条件。也许正是这个条件才影响了麦克阿瑟,反而使他后来令人费解地拒不承认已有大批中国军队参战。因为,九月二十七日通过无线电授予麦克阿瑟在三八线以北作战的极力只能在这样的情况下行使,那就是“苏联或中共主力部队未进入北朝鲜作战,对方没有决心参战的声明,也没有发出威胁要在朝鲜与我们进行军事较量”。除此之外,国防部长马歇尔告诉麦克阿瑟:“我们希望你向三八线以北推进时在战术和战略上不会遇到障碍。”

    现在,彻底胜利似乎就在眼前。它象一只金色的苹果,将代表着麦克阿瑟那光辉军事生涯中的鼎盛功业,已经成功在望,麦克阿瑟是不会迟误或接受别人劝告的。他不顾朦朦胧胧预示着一场灾难的坏兆头,向北猛插过去,追击正在消失的敌人。为了加快进攻速度,他一周又一周地改变着自己的计划。

    第5节

    麦克阿瑟原先那个利用仁川登陆的胜利、分兵两路越过三八线进军的计划倒是十分简单合理。但是,其效果却要取决于天候、地形和中国人的反应这三今未知因素。而且,后来还出现过一些其他的情况,促使总司令将基本计划修改得面目全非,最后使第10军分散地部署在朝鲜的整个崎岖地形上,造成部队无法相互支援甚至无法直接联络,而且极易遭受游击队的骚扰或被数量上占优势的敌军所包围。

    至于中国人的干预,麦克阿瑟对他们的威胁简直是置若罔闻,面且,他显然忽略了中国军队已大批越过鸭绿江的最初的明显迹象,或者对这些迹象没有引起重视。他计划赶在季节的前面,在大雪降临之前打到鸭绿江边,结束战争。但是,他没有看到,地形却成了他的敌人,而且,对这个敌人的力量,他根中没有充分估计到。崎岖的地形使左路(西线)和右路(东线)部队无法保持哪怕很脆的联络。

    麦克阿瑟将右翼第10用留归自已直接指挥,而将左翼(或称西段)交给沃克将军及第8集团军。这也许会使人觉得,麦克阿瑟已经预料到,那些无法逾越的山脉和无路可通的峡谷会把部队分隔开来。但是,事实上他完全没有料到这一点。他让沃克同时负责所属部队和第10军的后勤补给就是明证。把这个沉重的担子压在沃克身上面又不让他负责对第10军的作战指挥(这种作战指挥不会给沃克增加什么负担),这实际上只能使人对麦克阿瑟抓住第10军不放的做法更加困惑不解,而且还会增加两位指挥官之间的隔阂。

    最初,计划规定,第8集团军于A日(十月十七日,D日的前三天)沿开城——沙里院——平壤轴线向西北方向发起进攻,总的矛头指向平壤。

    第10军第l陆战师定于D日以一次两栖突击夺占元山。尔后,两支部队沿东西轴线实施向心突击。一旦会合,就会封闭半岛,从而切断北朝鲜人民军的退路。于是,这两支部队便可以协调一致地向定州一宁远一兴南一线推进。

    执行该计划有两个明显的障碍。第一,第10军由汉城、仁川地区后撤会使第8集团军无法使用港口和输送设施,从而在数周内得不到补给物资。第二个障碍研究一下地形也很清楚,即两支部队无法沿东西轴线实施进攻以达成会合。我现在仍然认为,合理的打法是,派一个美军师,象第8集团军由釜山环形防御圈出击时那样,携带必需的补给品,置两翼于不顾,由陆路进攻元山,这样,该师就会有夺取元山地区并肃清该地区之敌军的绝好机会,其效果和速度都会比实际采用的打法好得多。当时,相距最近的中共部队仍然在鸭绿江以北。

    后来,发生了一件令人喜出望外的重大事情,促使计划进一步作了修改,那就是几乎被总部制定计划的人们忘却的南朝鲜第l军,甚至在海军还未来得及在布雷区为第l陆战师开辟一条通路之前,就已经派遣所属第3师沿海岸公路急速北上夺取元山了。如果当时有部队由汉城经陆路实施突击并迅速与南朝鲜第3师取得会合,则有可能很快肃清整个这一地区的敌军,北进的行动也会大大提前。

    十月十一日,也就是参谋长联席会议批准并下令执行麦克阿瑟计划才九天,南朝鲜军队便拿下了元山。

    然而,直到十月二十六日以后,海军才得以在元山港敌人布设的两千枚水雷中间开辟出一条通道。于是,第l陆战师实施了所谓“非战斗”登陆,亦即未遭抵抗的登陆。这样,南朝鲜第l军便可以脱身开赴北方,去夺取北朝鲜重要的工业区——兴南、威兴联合企业所在地。

    但是,此时,战事的进展已超出原先的计划;于是,又确定了许多新的目标。十月十七日,麦克阿瑟指示以满洲边界线以南四十至六十英里左右的一条线作为新的最终目标。不久,他又指示下属指挥官仅仅把这一目标看作中间目标。尽管国务院规定的方针是不在满洲边界附近使用除南朝鲜部队以外的任何部队,而且,还存在这样一个明显的事实,即中国人一旦派出部队大举越过边界,麦克阿瑟的部队肯定无力在那条遥远曲折战线上坚持下去,可麦克阿瑟仍决心将部队推进到鸭绿江边。用以提供补给的港口大约在八十至一百二十英里之外,其间道路婉蜒曲折、陡峭狭窄,有些地方不过是些羊肠小道。若想把兵力单薄的部队沿这样遥远的战线分散配置,又要使他们不断获得粮食弹药补给,或者让他们坚决顶住一个差不多是依靠本国基地作战的顽强敌人,那么,连麦克阿瑟这样的人也是无能为力的。当然,如果我们的飞机曾获准摧毁敌满洲基地,这个方案或许能够成功。但是,范登堡将军认为,如果我空军当真接受了这样的任务,那就意味着我空军实力会因自然消耗和战斗损失而消耗掉,从而会使我驻欧部队大约在两年的时间内暴露在敌空军面前。五角大楼决定坚决反对这一行动。麦克阿瑟也知道这一决定。可是他无视五角大楼反对在那样远的前方使用美军的禁令,仍然极力催促部队向满洲边缘推进。

    南朝鲜第l军第3师拿下元山之后,沃克将军飞往那里了解形势,并与那些还属于他指挥的南朝鲜部队取得联系。此时,在沃克的右翼,南朝鲜第2军已经在开城东北方的铁原附近沿着通往元山的道路占领了阵地。沃克赶紧拟定了计划,让该军向元山挺进,同南朝鲜第l军会合,以便一旦夺占平壤就能象最初计划的那样,横贯半岛,将两处海岸连成一气。但是,麦克阿瑟毫不客气地否决了这个计划,并且通知沃克,美海军陆战队一上岸,南朝鲜第l军(南朝鲜王牌军)将从沃克那里抽走,转归美第10军指挥。

    就在这个关头,麦克阿瑟提出了新的目标线,放弃了原定横穿半岛蜂腰部会合的计划。在沃克的部队拿下平壤之后,麦克阿瑟在第8集团军与第10军之间划定了分界线,并命令所属指挥官把那条“目标线”仅作为“最初目标”。现在,剩下的唯一目标就是边界了。

    十月二十六日,亦即第l陆战师最后在元山登陆的那一天,南朝鲜第2军催促其第6师先遣分队直奔鸭绿江。

    在沃克的左翼,美第24师先头部队已越过清川江,正朝着鸭绿江推进,当时距鸭绿江仅七十英里。

    在其他地区,联合国军也在沿多条不同的路线朝鸭绿江运动。他们无法相互支援,甚至无法保持地面巡逻联络。美策7师最初计划继陆战队之后在元山登陆,后来改为在元山以北约一百五十英里处的利原登陆。该师于十月二十九日在那里登陆后,继续向鸭绿江边的惠山推进。南朝鲜第1军预定沿海岸公路北上向苏联边境推进。海军陆战队打算沿仅有的一条狭窄道路越过中部高原进抵江界,尔后向鸭绿江边的满浦推进。第3师则留在后面守卫元山—兴南——咸兴地区。

    在这些行动开始之前,一条令人心寒的消息由冰天雪地的山脊传到东北方向。南朝鲜第6师第7团(最先到达鸭绿江边的联合国军)在遭到一支占绝对优势的中国部队打击后已掉头向南退却。这支中国部队当时就象从地下钻出来的一样,以很凶猛的近战几乎全歼该团。根据以后的情况来看,该团大概是在不知不觉之中闯人了中国军队正在集结、准备由那里发起进攻的地区。中国人当时尚未作好发起大规模进攻的准备,决心不暴露目标,因此几乎把这支先头部队全部消灭掉。

    十月二十六日,紧靠东部地区,南朝鲜第1军第26师由咸兴向长津运动时,在水洞庭遇到顽强抵抗,抓到十八名俘虏,这些俘虏分属中共第124师的两个团。数天之后,海军陆战队赶来解救南朝鲜部队,遇到并击毁一些中国坦克(这大概是第10军碰到的唯一一批坦克),并从一个新锐中国师(第126师)抓到一些俘虏。第124师和第126师均属中国第42军。

    可是,整个这段时间,官方报道却显得很乐观。华盛顿被告知,报刊广为传播的两万中共部队进入北朝鲜的消息“未被证实”。十月二十八日,华盛顿获得如下保证:仍然“没有明显的迹象”说明中国人会进行公开的于预。

    两天之后,远东司令部报告说:尽管有报道,它仍然认为,中国第39军和第40军的任何据称已到朝鲜的部队实际上并未越过边界。少数几个中国“志愿军”的出现,仅仅被当成了中国在外交棋盘上采取的又一个小小的步骤,不会马上对联合国军总部产生影响。

    中国人一开始也采取了小心谨慎的试探行动,因为他们显然无法估计美国会作出何种反应——是否会进攻中国本士或者用原子弹对付他们。中国部队很有效地隐蔽了自己的运动。他们大都采取夜间徒步运动的方式;在昼间,则避开公路,有时在森林中烧火制造烟幕来对付空中侦察,此外,他们还利用地道、矿井或村落进行荫蔽。每个执行任务的中国士兵都能做到自给自足,携带由大米、豆类和玉米做成的干粮(他们怕做饭的火光暴露自己的位置)以及足够的轻武器弹药,因而可以坚持四、五天之久。四、五天之后,根据战斗发展的情况,他们或者得到补充,或者撤至主要阵地,由新锐部队替换他们。中国人没有留下一点部队运动的痕迹,所以,统帅部怀疑是否有敌人大部队存在是有一定道理的。不过,对大量明显的证据采取视而不见的做法,还不只是统帅部一家。

    我们整个部队甚至较低级的军人都对中国人的威胁掉豫以轻心。十月底,驻扎在云山及其周围的部队所作出的反应就是典型的例证。云山位于清川江正北、鸭绿江以南约六十英里处。从好几个不同的渠道传来了中国部队大规模集结的消息。一个朝鲜老百姓报告说:云山西南九英里的一个山谷里有二千名中国人,力图切断该城向南延伸的主要补给线。后来又有一名朝鲜治安队员报告说,在云山西南六英里处发现三千名中国人。十一月一日中午,在城东南八英里处发现敌一支小部队,我空军和炮兵将其击溃,公路上丢下约一百匹死马和数目不详的尸体。后来,我空军观察员报告,发现敌人有大量的队伍在云山北面和南面运动;一次空中突击击中了其中的一支队伍,并且据报告,还在距云山仅九英里曲地方击毁了二十一辆敌运载部队的车辆。当天下午,正在一架L—5型飞机上引导炮兵射击的观察员报告,在距云山不到七英里处的狭窄小路上,“敌步兵两支大队伍正在向南运动”。

    但是,美统帅部仍然不愿承认这些不断增多的证据。

    南朝鲜人早些时候曾抓到过中国俘虏,但是,情报部门的人员对俘虏关于中国进入朝鲜的实力和意图的供述很自然地采取了将信将疑的态度。他们认为,一个普通的士兵不可能知道这样高级的情报。甚至当第l军情报参谋珀西·汤姆森上校警告刚调到云山的第1骑兵师说他们可能碰上中国部队时,这些人还采取不相信和不在乎的态度。第1骑兵师曾克服敌人的顽强抵抗向平壤推进,并且经过一夜激战拿下了这座城市。从那以后,北朝鲜人民军有组织的抵抗行动似乎已不复存在,只是偶尔有一些旨在阻滞第1骑兵师前进速度的零星行动。其实,第8集团军当时补给不足,无力同敌人进行旷日持久的战斗。而且,他们也不想承认在北朝鲜还会有什么人能够同他们较量一下。计划扼守云山北部和西部阵地的第8骑兵团的参谋机构,也未注意下面的部队以及指派给南朝鲜第l师的美国军事顾问组军官(这些人曾在云山附近与中国人遭遇,但未能把中国人赶走)提供的情况。普遍的看法是,中国人由北向南运送的可能只是些准备让北朝鲜人民军接收的增援物资。指挥第l骑兵师的霍巴特·盖伊将军请求允许他将第8骑兵团撤至云山以南数英里的一个阵地上,但遭到第1军司令部的拒绝。对这些令人不安的任何报告感到忧虑的军官,实在少得可怜。

    负责警卫平壤的部队又开始幻想着快乐的驻防生活了。这些人对为在东京举行“回国检阅”而作的安排所流露的关切程度,远在不断传来的中国人干预一事之上。

    迅猛而突然的打击接踵而至,以至于很多部队还未弄清究竟发生了什么事情就被打垮了。中国人首先攻击了南朝鲜第6步兵师,该师驻防云山以东约十五至三十英里的温井一熙川地区。中国人将该师消灭得如此彻底,以至到十一月一日午后不久,沃克将军便通知美第l军军长弗兰克·米尔伯思将军:南朝鲜第2军已不再是一支有组织的部队,美第1军右翼也因此暴露给敌人。米尔伯思急速赶到驻扎在云山以南约二十英里处的军隅里的南朝鲜第2军军部。第2军军长说:他已同所属部队完全失去联系,在军隅里附近仅有南朝鲜第7师的三个营还能进行有组织的抵抗。

    下午五时许,中国人在迫击炮火力和由卡车上发射的苏制“中秋莎”火箭炮(这次战争中威力很大的新式武器)火力掩护下,开始对防守云山北部的第8骑兵团发动试探性进攻,并在黄昏以后集结了力量,尔后逐步由东向西展开。许多美国人第一次听到中国军号的啸鸣,这种铜号看上去就象足球赛巡边员用来表示犯规的喇叭,其粗野的音调夹杂着发狂的吹哨声,似乎在通知新的战斗阶段的开始。这至少有助于使许多自认为中国大规模介入是十足的无稽之谈的人清醒过来。

    战斗持续了一整夜,不时发生近战,其激烈程度是以往战争中所没有的。午夜之前,不少美军部队发觉弹药几乎告罄。夜间十时,美第l军自脱离釜山环形防御圈以来首次转入了防御。那一夜,扼守云山的第8骑兵团三面受敌。南朝鲜第15步兵团在东面坚守阵地,但在其他三个方向上,美军却面临着中国部队。可是,直到接到撤退的命令,美军才发觉退路巳被切断。一支很强的中国部队在那天中午以前就封锁了主要道路。他们牢牢地控制着阵地,使第5骑兵团为把他们赶走以便前去增援云山的第8骑兵团而发起的多次进攻未能成功。十一月二日凌晨,从云山撤退的部队在主要道路上遭到伏击。结果,那里很快就塞满了毁坏的车辆,坦克乘员和步兵在慌乱中四散奔逃。

    美军部队或独自一人,或三五成群,施带着伤员,一边战斗一边朝山上转移。一些人绕过路障向东转移,尔后往南进入山中,另一些人干脆隐入黑暗之中向南进发,终于到达了后方。许多人被俘,伤亡人数当时未能立即查清。

    中国人对云山西面第8骑兵团第3营的进攻,也许达成了最令人震惊的突然性,第3营当时以为西面肯定没有敌人活动。十一月一日下午较晚的时候,有些部队曾发现我方飞机在南面某处我主要补给线附近扫射敌人阵地,但谁也没有介意。部队指挥官接到撤退命令以后,首先撤出了火炮,同时命令第3营掩护骑兵团后撤。第3营配置在南永河上一座桥的北端,以两个班守桥。早晨三时许,有一小队人由南面接近该桥,究竟是一个排还是一个连一直未搞清楚。守桥部队没有检查就让这些人通过了。由于这些人是由南面过来的,因而被当成了南朝鲜人而未引起注意。当这些陌生人在指挥所对面停下来时,其中一个干部狠吹了一声军号,他们随即从四面八方以轻武器和手榴弹向指挥所发起攻击。这样,北岸的中国人便涌到了河的南岸。在西南方向,沿着河岸,敌人的其他部队正在同第3营的L连激战,最先过桥的中国人立即插进司令部所在地,他们射击,拼刺,摔手榴弹,并向停放着的车辆扔炸药包以将其烧毁。我方许多人被军号的吵嚷声(这是一种中国式的精神战,这种精神战我们后来既熟悉,又头疼)或敌人几乎近在耳边的射击声所惊醒。他们在等待撤退信号时睡着了,所以爬出各自的散兵坑就投入了短兵相接的战斗,有时要一对一地将敌人摔倒在地,有时得用手枪的抵近射击来回击对方。部队在该地展开了你死我活的拼杀:有的躲在吉普车后;有的跑去帮助同敌人扭打在地的自己人;有的则企图找到适合抵抗的场所,最后,当迫击炮炮弹开始在他们中间开花时,他们便夺路向南,穿过南永河,进入黑暗的山地寻找己方部队去了。他们三五成群(其中许多人还受了伤),向南面和东面进发;夜愈来愈深,碰到的失散人员也愈来愈多。

    留在河谷里的人集结到一起,分头进入若干孤立的支撑点,其中一些支撑点一直坚持到翌日拂晓才在空军的支援下获得喘息的机会。那一夜,被困在指挥所工事里的二十人有十五人被中国人的手榴弹炸死。天明以后,只剩下六十六名军官和二百名士兵还能战斗。营长罗伯特·奥蒙德少校被过了桥的敌军扔进指挥所的第一枚手榴弹炸成致命伤。在工事周围方圆五百码的环形防御圈内,发现有一百七十名伤员,阵亡人数没有计算。

    冲进去解救第3营剩余人员的努力都白费了。敌人掘壕固守,而我方又没有炮火支援。由于浓烟大雾遮住了目标,空中突击也无法实施。第3营剩余人员虽然进行了殊死搏斗,也无法突破中国人牢固的包围圈。美国人在白天精心挖掘了一个壕沟网,因而能获得并贮备大量补给品和弹药。但是,他们逃出包围圈的努力都归于失败。最后,一架师的联络飞机空投了一个通知,命令该营在夜暗掩护下撤退。援救部队被迫停止援救行动,第三营只得依靠自己的力量来突围了。步兵与坦克部队商定,在环形防御圈内再坚持一夜。但是,猛烈的追击炮火迫使坦克手将坦克开出防御圈,以吸引敌人火力。最后,他们只好决定独自到西南面去寻找安全的地方。事情很清楚,由于每辆坦克都被击中过两三次,它们对步兵已毫无用处。步兵祝愿坦克手们好运气,尔后便缩了回去准备抗击敌人的下一次进攻、中国人在夜暗中以猛烈的追击炮火和步兵进攻袭击了被围部队,被围部队首先将周围无用的车辆点燃,照亮附近地区,尔后撂倒大批冲锋的中国人。中国人以大约四百人的兵力发起六次冲锋,但均被击退。荫蔽在山里的第3营士兵被友邻部队嘈杂的射击声所吸引,也突人防御圈参加了防御战斗。弹药愈来愈少。每次冲锋过后,防御圈里的人就爬出去,越过成堆的中国人的尸体;取回敌人的武器和弹药。指挥所工事有一处被突破,我们的许多伤员被中国人带到射程以外。中国人也不得不爬过他们自己人的成堆尸体去寻找安全的地点。

    天亮了,仍然得不到空中支援。剩下的口粮全都分给了伤员。伤员的现有人数是二百五十人,而能打仗的部队却只有二百人了。十一月四日凌晨,幸存者决定逃出去,让伤员留下来向中国人投降。营的军医克技伦斯·安德森上尉自愿留下来照顾伤员和接洽投降事宜。一个侦察小组发现了一条路线,这条路由路边壕沟向前延伸,穿过北面的一个树庄,尔后通到一个渡口,于是幸存的人就出发往东去了。没想到中国人进攻前发射的白磷弹为幸存者提供了一些掩护,使他们很快撤离了防御圈,穿过一片开阔地,中国人在那里没有占领阵地。他们彻夜冒着倾盆大雨前进,先是向东向北,最后转向南方和西南方向,最后眼看就要到达立石村了,那里的己方部队正等待着他们。但是,还未到达己方战线,他们就遭到中国部队的包围,被迫分散逃跑。最后,只有少数人回到我方战线,死伤和被俘人数究竟有多少,未能准确统计。一些被俘人员几天之后又重新逃回团队,一些伤员,包括营长奥蒙德少校,在被俘期间死去,被中国人掩埋了。数周之后,被友好的朝鲜人藏匿的或从看押处逃脱的我方人员,陆续回到我方战线。十一月二十二日,中国释放了二十七人,其中大都是在云山附近被俘的。因此,损失人数最后估计为六百人左右,最初曾担心损失人数会超过一千人。

    中国人释放俘虏的做法与北朝鲜人对待俘虏的做法截然不同(北朝鲜人往往在俘虏脑袋后面补上一颗子弹)。

    有一次,中国人甚至将重伤员用担架放在公路上,尔后撤走,在我方医护人员乘卡车到那里接运伤员时,他们没有向我们射击。

    我们后来体会到,中国人是坚强而凶狠的斗士,他们常常不顾伤亡地发起攻击。但是,我们发现,较之朝鲜人他们是更加文明的敌人。有很多次,他们同俘虏分享仅有的一点食物,对俘虏采取友善的态度。这样做,很可能是想让俘虏深深感到,生活在共产主义制度下要比资本主义制度下好得多。我们在夺回汉城时发觉,中国人并未恣意毁坏我们运到汉城准备用以修复这座遭到轰炸的城市的建筑材料。但是,他们由永登浦向水原推进时,有计划地点燃了沿途村庄的房屋。

    第8骑兵团在云山总共损失一半以上的建制兵力和很大一部分装备,其中有十二门105毫米榴弹炮、九辆坦克、一百二十五辆以上的卡车和十二门无座力炮。后来弄清,在这次战役中,与南朝鲜第l师和美军第5和第8骑兵团在云山及其附近地区交战的部队,系中国策39军115和116师的大部队以及第347团。打完这一仗,敌人向北撤退了一段距离,这是中国式的打法。而且,到十一月十一日,第5和第7骑兵团克服了轻微的抵抗,在清川江以北建立并掘守了一个纵深浅近的桥头堡。但是,沃克将军很清楚,他的兵力和装备都不足,无法对一个现在看来显然在数量上处于优势的敌人发起一次持久的攻势。他直截了当地向东京发电,承认遭到敌人“组织严密、训练有素的新锐部队的伏击和突袭,其中有些是中共部队。”

    然而,东京最后的反应却是对沃克未能按计划向前推进感到恼火和焦躁。尽管第l骑兵师深信中国人已大规模参战,总司令仍执意采取乐观态度。他曾提到灾难一事,那是他发电抗议取消轰炸鸭绿江大桥的命令时说的。他提醒参谋长联席会议,中国军队如果跨过鸭绿江,“就会使我军有被最终消灭的危险”。可是,十一月九日,总部又充满了振奋而乐观的情绪。在给参谋长联席会议的发电中,总部表示相信,空军有能力阻止敌增援部队越过鸭绿江,联合国部从能够挫败他们目前面临的全部武装抵抗。这就是麦克阿瑟对于参谋长联席会议历提醒的关于中国的干预现在看来已经既成事实的回答。这种人类所共有的对自己讨厌的事实将信将疑或置之不理的弱点,在麦克阿瑟身上表现得尤为突出。譬如,他自己的情报机构曾估计,中国部队平均每月可以将二十万人送过鸭绿江。麦克阿瑟也曾通知参谋长联席会议,“我们面临着一支新锐部队,这支部队有可能得到大量预备队和足够的补给品的支持”。但是不到两个星期,麦克阿瑟又向参谋长联席会议保证可以取得彻底胜利,并且肯定,如放弃原定消灭一切在北朝鲜进行抵抗的部队的计划,则会“招致不幸的后果”。十一月二十四日,麦克阿瑟由东京飞到朝鲜,发出“开始”向鸭绿江进攻的信号。他当时断言,“中国人不会大规模卷入这场战争”,战争“在两星期之内就会结束”。这就是这次进攻被称为“圣诞节回国攻势”的由来。

    向鸭绿江推进被麦克阿瑟称作“进攻”,面实际上不过是一次接敌运动。在未弄清敌人位置以前,在末证实敌人是否真的存在之前,在敌军部队根本就未与你的部队接触之前,你是无法向敌人发起进攻的。很多野战部队指挥官都深信,中国的强大部队一定在什么地方埋伏着,而且,有一两位指挥官还对不顾翼侧安全、不与两翼友邻部队取得联络而盲目向前推进的做法是否明智,明显表示怀疑。

    但是,却没有一个人退缩不前,而且许多人还表现出总司令那种过于乐观的情绪。沃克完全应该意识到在清川江以北他会遇到什么样的抵抗。可是,连他也急急忙忙地向总部保证,一旦获得充足的补给便向前推进,尽管他的种种疑虑,当时根本没有打消。

    五角大楼看到麦克阿瑟把部队分散成现在这个样子是不高兴的,尤其是在中国大规模干预目前看来非常可能、迫在眉睫的情况下。可是,在五角大楼同在战场上一样,人们近乎迷信般地敬畏这个非同凡响的军界人物。因为,在别人都错了的时候,他往往是正确的。他虽然从未承认有过判断上的错误,但这方面的错误也确实很少。所以,有些人认为,想要劝阻这样一个人,不仅徒劳无功,反面会使他更加固执而狂热地一意孤行,以此来回敬对他的批评。

    五角大楼不久就意识到,麦克阿瑟故意不服从参谋长联席会议的一道具体的命令。这道命令是一九五O年九月二十七日下达的,指示总司令不要在与苏联交界的省份或沿满洲边境使用除南朝鲜以外的军队。在最后向鸭绿江和图们江推进时,麦克阿瑟撤消了不许使用非南朝鲜部队的全部禁令,而且,当参谋长联席会议向他询问时,他却说,他的决定是出于军事上的考虑。后来,柯林斯将军对国会的一个委员会说,五角大楼当时是感到担心的,唯恐麦克阿瑟今后还会不服从其他的命令,招致更严重的后果。

    但是,不管麦克阿瑟的上级私下来取何种态度,却无人对麦克阿瑟正式提出反对意见。我说无人,是说除自己之外没有其他人提出反对意见。我倒是提出了个人的强烈反对意见,但除此而外,我无权做更多的事情。我清楚地记得十二月三日那个阴郁的星期天我那焦躁的情绪。当时,我们正坐在参谋长联席会议的作战室,进行着长达数小时之久的冗长讨论,研究在北朝鲜出现的不祥情况。国务卿和国防部长大部分时间都参加了讨论,但显然谁也不愿向这位远东司令官下达断然的命令,扭转一下正在迅速向灾难发展的糟糕事态。然而,责任和权力分明就在这个房间里。于是,我的良心终于战胜了我那谨小慎微的心理。获准发言后,我脱口而出(也许过于直率但却充满了感情):我认为,我们已经把过多的时间消磨在争论上,我们需要立即采取行动。我坚持认为,对于战场上的士兵以及上帝,我们是负疚的。看在上帝的份上,我们应该对士兵的生命负责,停止空谈,付诸行动。可是,从二十个坐在宽大桌子四周的人以及后面绕墙而坐的另外二十个人那里,我所得到的唯一回答是沉默——但是,我倒是从坐在我后面的一个海军同僚那里收到了一张匆忙写就的“结识你很荣幸”的潦草纸条,我也回了一张表示感激的纸条。

    会散了,没有作出任何决定。国务卿和国防部长离开了房间,联席会议的参谋长们留下来商量了片刻。我凑到霍伊特·范登堡跟前。在他还是西点军校学员、我任教官时,我就认识他了。同他谈话,我无须摸棱两可、含混其辞。

    我问道:“为什么参谋长联席会议不向麦克阿瑟下命令,告诉他应该做什么呢?”

    范登堡摇了摇头。

    “那有什么用?他不会服从命令的。我们又能怎么样?”

    听到这里,我发火了。

    “谁不服从命令你可以解除他的职务么,怎么不行?”我大声质问道。范登堡当时的脸部表情我永远也忘不了。他张着嘴,困惑而惊愕地望着我,接着二话未说就走开了。

    以后,我再也没有机会同他讨论此事。

    在这种冗长的讨论中,让一己之感情占据上风而无法自持,这在我已经不是第一次了。在此之前,有一次我曾提出,为何不用行动代之以空谈。那一次,我也是除沉默之外没有得到任何答复。

    我总觉得,一个指挥官,对于把生命暂时托付给他的人是负有极其重大的责任的,就如这些人对指挥官负有同样的责任一样——而且,指挥官的这种责任的部分内容就是保证这些人的生命不至于白白地葬送掉。

    好几位在朝鲜的野战指挥官在向鸭绿江接近时很清楚前面的危险。因此,他们一面继续不拆不扣地服从麦克阿瑟的命令,一面尽力防备灾难的发生。事实上,若不是其中某些指挥官深谋远虑,譬如故意降低前进速度,则后来遭到的失败倒真的会象报纸企图描绘的那种样子——彻底的土崩瓦解。

    沃克将军也许较之其每个同僚更加清楚这样的事实,即在人数上享有巨大优势的中共部队可能就在他和中朝边界之间。其他的人虽则感到不安,但却被如下情况弄得有些乐观:中国部队经过第一次血战已脱离接触,而且似乎重新钻到地下销声匿迹了;看不到营火,雪地上没有足迹,公路上也没有补给品在运送。可是,我们当时的情报并不少。

    现在回顾起来,这些情报相当接近实际情况。我们的错误仍在于对情况的分析而不是对情况的收集。早在十一月十日,总部的情报机构就已经报告,在咸兴以北的高原水库地区集结的中国都队“也许现在就能夺取主动权,向南发动一场协调一致的进攻,切断兴南北面和东北面的联合国军部队”。

    但是,麦克阿瑟就象曾经在小大霍恩河一带同印地安人作战的卡斯特将军(美国将军,在美国小大霍恩河一带与印地安人作战时被打死)一样,对可能阻止其迅速实现自己目标的情报视而不见,听而不闻。其目标是,消灭最后一批残存的北朝鲜人民军,平定整个半岛。

    用麦克阿瑟的话说,就是第8集团军准备在第10军“抵达一个用以实施包围的关键位置、将北部敌区一切两段”后,达成一次“大规模压缩式包围”,并“合拢老虎钳”。

    为执行麦克阿瑟的命令,沃克将军鼓着勇气,小心翼翼地向前推进。在此之前,由于缺乏足够的装备和专门的预备队,沃克曾不得不将部队撤至清川江以南。经过整编,部队实力勉强达到可以凑合的水平,沃克这才驱遣部队北上,朝调整线进发。他始终警惕着暴露的右翼,那里的荒凉山地使他根本无法同第10军相互支援。他更不放心的是,在其先头部队与鸭绿江之间可能有一支强大的敌军。一句话,沃克对自己的弱点和敌人的实力是再清楚不过了,因此,他不敢无视两翼的安全,而象巴顿那样长驱直人。鉴于沃克同麦克阿瑟的关系不佳,我觉得沃克已经尽到了自己的最大努力。沃克希望能始终牢牢地控制第8集团军。他的战斗序列包括以下几个部分:美第1军(含美第24师、英第27旅和南朝鲜第l师),美第9军(含美第2和第25师、土耳其旅),南朝鲜第2军(含南朝鲜第6、第7和第8师)以及集团军预备队的第1骑兵师。

    朝鲜半岛向北陡然加宽,这意昧着沃克本来就单薄的部队变得愈加分散,同时也意味着第8集团军与右路第十军之间愈来愈宽的间隙地暴露无遗。所以,活克本来就很危险的暴露的右翼只能处于更大的危险之中。右翼部队完全由南朝鲜第2军组成,这大概是沃克所属部队中最靠不住的部队,因此活克放心不下。此时,沃克正在为他与总部的关系而深感烦恼,这种情绪从他不幸殒命前不久的一些私下谈话中流露出来。在同某报记者的一次私下谈话中,沃克极力解释,他所以在二渡清川江时从容不迫——这曾使他从上级那里招来内容严厉的电文——是因为他想努力为他认为以后可能需要采取的撤退行动做些准备。他深信,这些准备使他挽救了第8集团军的大部分部队,从而使该集团军可以再度投入战斗。就在这时,沃克对记者说,他相信,由于第8集团军在中国人的攻击面前后撤,他很快就会被撤消指挥权。

    正对着沃克右翼的是奥利费。史密斯将军指挥的第l陆战师,该师奉命朝江界北部与西北部的朝鲜屋脊和鸭绿江畔的满浦推进。陆战队前进时可选择的唯一道路是一条泥土砾石小径,道路狭窄曲折,蜿蜒于险恶的悬崖峭壁和山岭之间,尔后攀上了同朝鲜其他地区一样荒无人烟的地带。其中有一段叫赴战岭关,绵延十英里长,这段崖路狭窄、可怕,徐徐上升达二千五百英尺,一侧是无法逾越的悬崖,另一侧是万丈深渊。道路尽头长津水库的西南隅是一个叫柳潭里的穷树庆;就在这块满目冰凌、阴冷多风的地方,我方部队险遭掺败。但是,道路还未延伸到柳潭里之前,却艰难地盘旋升高,越过了高达四千英尺的德洞岭,那里的气温同阿拉斯加很相似。

    史密斯将军同沃克一样,对前面的危险很清楚,而且,在开始推进时他就明白,为完成受领的任务所必需的补给和兵员他都没有。因此,在向前运动时,他时刻注意着部队的安全,而不顾第10军军部催促他加速推进的命令。进攻开始之前,史密斯已听说南朝鲜第2军在沃克右翼的德川附近土崩瓦解,尽管他还不知道严重的程度如何。出事地点距史密斯先遣分队的西南面纳七十英里。史密斯的先遣分队是位于柳潭里的第5团战斗队,该战斗队本身距师的第一目标武坪里还有五十五英里远。从柳潭里到德川和武坪里,整个夹在中间的地带荒凉崎岖,几乎无路可行。

    现在,史密斯暴露的右翼处于更加危险的境地。

    尽管如此,史密斯仍然坚定不移地朝着目标前进,而不顾由于自己对敌军兵力的判断和对穿过几乎无法通行的这一地区的路程情况的了解而产生的疑虑。他不无苦衷地向军长报告说:他已将自己的师“集中到一个适合的地区”;已“采取一切可行的办法施展和守护主要补路线”(仅有一条!);已经在长津水库南端构筑起一个简易机场,以备空军输送重要装备和后送伤员;已“保证能够始终控制师前进路线上的高地”。后来证实,该师所以能杀出包围圈,实施了美国军事史上十分成功的后撤行动,全在于采取了教科书上规定的预防措施。

    再往右,在朝鲜的东北地区,第7师计划由利原出发,赂鸭绿江边的惠山开进,南朝鲜军队的王牌第l军则计划顺海岸公路往北向苏联边界开进。美第7师师长大卫·巴尔少将象第1陆战师一样,也只有一条陡峭狭窄、婉蜒曲折的道路可循,但未遇到史密斯将军所遇到的那种猛烈的抵抗。在这些部队之间,都是不能通行的山区,这使部队无法相互支援,甚至无法进行巡逻联络。

    麦克阿瑟想尽快完成任务的急切心情是可以理解的。

    但是,根据已经掌握的敌人实力情况、麦克阿瑟自己的补给情况、地形以麦克阿瑟所属部队分散部署的情况(即使齐装满员,也不应这样部署,何况部队远未达到齐装满员的程度),很难说他的计划和命令有什么道理。

    这里有一个关于政府的“精打细算的人们”究竟为我们武装部队干了些什么的例子。例子或许并不典型,但至少值得注意。这就是第7师团第17团战头队的状况,这远不是该战斗队人员和补给最少时的状况。一开始,打算将这支部队由海上运至元山——兴南地区,尔后令其向西运动与第8集团军取得联系。无疑,他们过这样就得穿过令人讨厌的荒凉地区和危险莫测的很少几条狭窄的道路,但是,倘若他们只是横穿湃,而不最后遵照命令由西北方向朝鸭绿江运动,情况还不至更坏。第17团战斗队在鲍威尔上校(后来成为美国驻新西兰大使)指挥下于十月二十九日在利原登陆,准备加入向鸭绿江挺进的部队的行列,而全然不顾南朝鲜部队三天前在西北边远地区的鸭绿江边遭到的痛打。第17团的人员穿着皮战靴,但只有少数人有御寒橡胶套鞋,根本没有保暖鞋袜,许多人没有手套,而冬装也普遍告缺。弹药补给似乎还能满足任务需要,尽管后来也有些不足。口粮补给刚能满足要求。团战斗队本身的实力仅为编制数的百分之八十五。

    他们的目标是鸭绿江边的惠山,约在一百英里以外,途中也得通过一条遭到破坏的士路。路越升越高,尔后穿过山区。那里唯有低矮的灌木可资荫蔽,由满洲刮来的寒风使气温降至华氏零下32度。一次在行军途中。一个四人组成的小组自告奋勇要在一条湍急的溪流上为他们的营队找到渡河地点。他们冒着严寒,跳进齐腰深的水中,但几乎马上周身都冻上了冰,只好很快把他们送进一顶温暖的帐篷,并被迫用刀把他们全身的衣服砍了下来。

    同第l陆战师后来遇到的抵抗相比,他们还算幸运,遇到的只是微弱的零星抵抗。因此,尽管严寒冻住了车辆,并且在夜间靴内的汗水结冰,尽管部队几乎是不断忍受冬装不足、手指冻伤和口粮不足之苦,他们还是在十一月二十一日成功地抵达鸭绿江,成为终于到达那条江的唯一美国部队。然而,他们也只有几天的功夫能放眼那无垠的冰天雪地。不久,第10军因各处军情迅速恶化而为该团的安全担忧,遂命该团火速撤退。

    为逃脱罗网而进行的后撤,虽说仓促但并不混乱。该团日夜兼程,并得益于最好的指挥所具有的聪明才智、主动精神和战术素养,因而平安地摆脱了困境,仅受到轻微的损失。有段时间,他们在本地域内夺取一条窄轨铁路,将人员和装备从高地迅速运了下去。还有—次,他们巧妙地利用大战前日本人架设的高架矿斗缆线,运送团的重型装备,从而通过了丛山之中一道十英里宽的峡谷。

    中共小股游击部队对该团的后撤行动进行骚扰,但不断受到陆战队航空兵近距离空中突击的牵制。营长们第一次在作战中可以直接同头顶上嗡嗡作响的航空兵小队通话,及时召唤他们进行定点攻击,阻止敌人集结。中共部队造成的压力主要集中在其他地区,这倒是事实。但是,如果不是指挥上的勇敢、老练和灵活,该团或许会因为恶劣的天气和敌人的袭击而遭受更加严重的损失。后来,他们撤至一个桥头堡地区,只受到比较轻微的伤亡,而且大部分装备都完好无损。

    第1陆战师以及第7师两个营的经历要惨痛得多。但是,这一次还是由于史密斯将军的勇敢指挥和深谋远虑,他们才幸免于彻底瓦解。我已说过,史密斯不顾第l0军的压力,在率部进入长津水库附近的不毛高原的同时,从容不迫地设法保持了后撤路线的畅通与安全。他沿途贮备了弹药、油料和其他补给物资,控制了一切可以控制的高地,修建了后送伤员用的简易机场,并且在对远处的情况有一定把握时才向前推进。一路上,只是间或遇到敌人打了就跑的抵抗。从抓到的俘虏来看,都是中国人中的。按船上救护所医生们的说法,突然出现的严寒较之敌人的火力更加可怕。现在,史密斯探信,敌军在他后撤路上的什么地方埋伏着一支强大曲部队,他觉得自己正在被逼进陷阱。然而,第10军军部在麦克阿瑟的众所周知的愿望驱使下,仍催促他继续朝他的目标——长津水库西岸的一簇泥顶小屋推进。抵达目标已是十一月下旬,朝鲜的严冬已经降临,而中共正如其无线电广播早就威胁的那样,已准备进行最强有力的打击。

    在西线,沿着黄海,第8集团军再次渡过清川江。头两天,他们仅遇到轻微的抵抗。总部的乐观看法好象是对的。但是,沃克仍然坚决反对向边界冒进,果然他所担心的事很快就发生了。十一月二十六日,中共部队又一次凶猛地全力扑向第8集团军。他们首先从右翼攻击南朝鲜第3军,几乎将沃克的右翼部队消灭干净,只几小时的功夫,他们就肃清了残存的南朝鲜部队。尔后,中国部队就没完没了地吹着军号,开始攻击美第2师。在后来的战斗中,美第2师这支英勇的部队一共损失四千多人以及大量火炮、信号器材和工兵器材。唯有保罗·弗里曼上校的第23团战斗队经师长同意向西海岸方向撤退才完整地逃脱。沃克向东京报告,发起进攻的中国人估计有二十万,情况已接近绝望的境地。沃克提醒说,这不是一次反攻,而是一次大规模的进攻。他知道,联合国军应该往回缩手了。

    第8集团军右翼崩愦的消息,越过花岗岩峭壁和阴郁的山谷传到了东边的第l陆战师。该师正伸展在一条曲折的道路上,道路由柳潭里穿过下碣隅里和古土里,一直延伸到南面四十英里外的真兴里。雷蒙德·默里中校的第5陆战团一直作为师的先头部队,在其后跟进的是霍默·利曾伯格上校(后晋升为中将)的第了陆战团。这两个团奉命向西进攻,徒劳地企图解除沃克受到的压力。史密斯指示他们要谨慎小心地向前推进,要提防埋伏。当这两个团向外运动时,遭到埋伏已久的中国人迅猛攻击。此时,因估计到这种牵制性进攻不会有什么结果,默里与利曾伯格未与史密斯商量,并且不顾阿尔蒙德的命令,就自行决定取消进攻,转人防御。

    陆战队对这种打击早有思想准备,因此能够牢牢守住村边的高地。中共第79师和第89师的两个突击营在迫击炮火力支援下发起的进攻,入夜发展成三个中国师的全面强攻,企图压倒两个陆战团。由于是在夜间进攻,中国人得以避开我空军的攻击,并能调遣众多的兵力对付陆战队。

    他们成纵队在狭窄的正面上发起进攻,一进入手榴弹投掷距离,便马上展开队形。陆战队的才智、斗志和优势火力,对于弥补陆战队人数上的不足起到了一定的作用,但是,仗打得十分艰苦。零下十八度的严寒使许多卡宾枪和勃朗宁自动步枪无法使用,但大多数伽兰得步枪和勃朗宁机枪没有冻住,仍可射击。早晨二时半,陆战队某排点着了当地一所茅屋,把周围照得通明,因而使进攻的中国人付出了惨重代价。但是,中国人被打垮一批,又冲上一批,越过尸体往上攀援,继续冲锋。

    这一次进攻以及后来对陆战队发起的进攻,向南发展到不少村庄,这是最残酷的战斗。这些进攻使陆战师付出了高昂的代价,但并未使其愦乱或遭到惨败。在水库南端的下碣隅里,师长预先贮备了六天的补给,而且飞机还空投了轻武器弹药、武器、药品、口粮甚至还有饮用水。但是,严阵以待的陆战队最为感激的,是工兵一营D连的勇士们,他们在泛光灯下苦干通宵,在冻土之上辟出了一个简易机场,从而使伤员得以后送。他们在十二小时内完成了这项工作,而且有时不得不中断工作,拿起步枪支援前面远处的地面部队。战斗越演越烈,但压路机照常轰鸣,直到机场修好为止。

    情况万分危急,有九个中国师可以向陆战队突击,因此,阿尔蒙德将军就象几天前催逼史密斯将军加速推进那样,又催促他加快撤退速度。阿尔蒙德将军授权史密斯可以丢弃一切妨碍后撤速度的装备。但是,史密斯不打算扔掉他可能需要的任何东西。他说,后撤的速度完全取决于后送伤员的速度。史密斯想杀出一条退路,因此他需要全部装备,况且,他也想将大部分装备带回去。这些打算他都实现了。他把沿途负伤的人用卡车载运出去,只丢下了那些在柳潭里战斗中被打死的人员。撤退以前,为在那里阵亡的八十五名官兵举行了战场葬礼。

    陆战队秩序井然地撤退,后面跟着不少难民。原先有一块平板横过一个水电厂的溢水道悬吊在峭壁之上,下面是无底深渊,现在平板已被中国人毁掉。但史密斯已预见到这种情况,及时让飞机分段空投了一座“踏板桥”,使部队以及压路机等全部人员装备得以通过。来自真兴里的第l陆战师两个连,夺取并扼守着瞰制这一关口的高地,击退了敌人企图切断后撤队伍的所有进攻。

    这是一次漫长而曲折的撤退,一路上战斗不断,似乎是在一寸一寸地向后挪动。当先头部队抵达这条道路最南端的村庄真兴里时,末尾的部队还在北面中英里外的古土里。

    实际上,这次退却还不如说是一次进攻,因为每支部队都必须克服优势之敌,往回杀出一条路,与真兴里的陆战队会合。这意味着,部队需要经常发起进攻,夺取制高点,使敌炮兵无法对沿途撤退的队伍集中火力。在柳潭里曲部队很艰难地回到了长津水库下端的夏古里。陆战队不得不从这里杀出去,到水库冰面上解救第7师“麦克利恩特遣队”的残存人员,这支特遣队被中国人的一次突然袭击切成了两半,几乎被消灭掉。在这里,第23步兵团的小唐·弗思中校荣获了“国会荣誉勋章”,他曾很英勇地解救一个装有五百多伤员的车队,但为此失去了失命。

    在经过古土里和真兴里往回撤的路上,陆战队同一些步兵和少数英国突击队员一起匍匐,攀援,奋力夺路。他们摧毁路障,击退道路两侧的进攻,攻占沿途的山头。陆战队航空兵和第5航空队不断给他们以近距离空中支援,并空投了必需的补给物资。从夏古里简易机场人有四千多名被打伤和严重冻伤的人员被空运到安全的地点。

    十二月十一日,严峻的考验结束了。史密斯将军这支经过战斗考验、冻得半死的坚强队伍仍然斗志昂扬,拥有大部分装备。他们在史密斯的带领下进入兴南附近桥头堡地区的一个环形防御圈;只要有海军和空军的支援,他仍可以在那里一直坚持下去。

    十一月二十八日,在第10军和第8集团军指挥官在东京举行的一次会议上,麦克阿瑟答应沃克将军,为避免从东面被敌人迂回包围,他可以在认为必要时自行撤退。第8集团军已遭到一次沉重的打击。美第2师在清川江一带损失严重,十一月底已宣布失去战斗力,因而撤到了南朝鲜进行整编补充。

    现在,第8集团军已撤过清川江。他们接着又从容不迫、秩序井然地继续向南撤退。十二月五月,沃克放弃了北朝鲜首都平壤,并撤离该地区。中国久已脱离接触,看来不想马上追击。也许这是因为,中国人通常一次向部队提供的补给仅够几天战斗之用。但是,中国人仍保持以每天六英里左右的速度向前推进。他们自己的补给线现在越拉越长,并且毫无疑问,不断引起我虎视眈眈的空军的注意。

    第8集团军正在向三八线撤退,第10军则开始从兴南周围的桥头堡阵地撤退。此时的新闻报道或者至少是要闻简报,给人的印象是联合国军吃了大败仗,而实际上,他们是在绝对优势之敌的不断进攻之下实施了一次了不起的撤退,并且,由于进行了极其英勇的战斗,尤其是美第l陆战师和第2师,故而损失被减少到最低程度。

    一路上,部队遭到严重损失,尤其是南朝鲜第2军。

    有些部队几乎大部被歼。这些都是无可否认的。但是,十二月初,陆军参谋长柯林斯将军亲自调查在朝鲜的部队时发觉,他们“沉着自信”,第8集团军正出色地按计划撤退,第10军正毫不慌乱地撤离桥头堡地区。

    海军在兴南干得很出色,他们把整个第10军及其装备全部由海上运走。这件事尽管没有作为头条新闻刊登,但是,从敌人领土上撤出十万零五千部队,九万一千名朝鲜难民,一万七千多各类车辆和几十万吨物资,这本身在军事上就是不小的胜利。无法运载的装备和补给物资在岸滩上销毁,所以什么也没有留给敌人。

    另外也应该记住,为了让第8集团军剩余人员通过清川江面在那里担任守卫的美第3师,虽遭重创,却在不到一个月的时间便重新在朝鲜中部投入战斗。第l陆战师由朝鲜屋脊往下夺路撤退时,至少遭到六个中国师的沉重打击,但是也在不到三十天的时间就重新投入了战斗。

    尽管如此,这次失败还是严重的,损失也是惨重的,尤其是,这次失败和损失本来是可以在很大程度上得到减轻的。现在回过头去说,总司令在这方面或那方面失着,这个或那个决定本不应保留,这项或那项命令根本不该下达等等,那是再容易不过了。也有人争辩说,如果麦克阿瑟不被捆住手脚,获准摧毁鸭绿江上的桥梁并轰炸敌满洲的基地,则整个结局也许会比现在好一些。但是,我认为追究责任没有多大益处,除非这样做能够帮助我们的国家及其领导人在今后避免犯同类错误。

    如前所述,麦克阿瑟急切地要完成受领的亦即他自己请求的任务——消灭半岛上全部敌对的武装力量,这是很好理解的。不应把过多的责任推到他的上级和同僚身上;由于取得了仁川登陆这一辉煌的胜利,这些人不愿意对麦克阿瑟作出的判断乃至拿军队冒险的明显做法提出疑问。

    麦克阿瑟无疑是我们最伟大的将军之一,而远不是一个普通的军界人物。

    但是,麦克阿瑟身上那种很典型的人类的弱点(这说明他是一个人,而不是半仙)似乎有时显得过于突出了。没有一个军事指挥官是不犯错误的,而且,许多指挥官也许在以往的这个或那个场合犯过使我们民族付出过很大代价的错误——任何无谓的牺牲都是极高的代价,尽管如此,承担犯错误的责任,井实事求是地分析产生错误的原因,仍然是一个军人的职责。麦克阿瑟却拒绝这样做。可是任何人都清楚,我们的部队所以不顾后果地分散部署在朝鲜全境,主要原因就在于麦克阿瑟对中国人大规模介入的越来越多的证据采取了拒不承认的态度。

    也许,麦克阿瑟明显采取的如下看法有某些道理。他认为:中国是纸老虎,中国在无线电广播里的警告是讹诈恫吓,甚至少数志愿军的出现也是那种讹诈的一个组成部分。但是,倘若一个人不是被荣誉迷住了心窍,他怎么能对详细的情报和战场上的实际情况坚持错误的理解呢?实际情况是:抓到了大量显然属于中共军队战斗序列中某些部队的中国俘虏;一个美军团战斗队遭到极其沉重的打击;一个南朝鲜师几乎被歼灭。麦克阿瑟的部队兵力过于单薄,补给过于缺乏,即使抵达鸭绿江和图们江也无法抗击已知在那里集结着的大量敌军并守住鸭绿江、图们江一线。这个司令官怎么就看不到这些情况呢?后来有人替他辩解,如果让他放手轰炸满洲基地,他的兵力本来是够用的。是不是这种情况,根本无法肯定。即便如此,可他在进攻开始前就已经知道是不会准许他冒全面战争的危险去轰炸那些基地的。而且,他本来也不难弄清范登堡的观点:如果我们这样将战争扩大到中国,迫使其空军(而且可能还有部分苏俄空军)参战,那么,我方空军就会因战斗损失和自然消耗而削弱到需要两年时间方能恢复的程度。

    在此期间,我们在世界其他地区承担的义务也就无法履行了。

    一些评论家已经忘记,某些不成文的协议使我们在朝鲜和日本的机场避免了中国人的攻击,这样,我们才在朝鲜享有几乎是绝对的制空权。所以,我们也有自己的“特殊庇护所”,否则,朝鲜战争的情况会悲惨得多。

    事实上,朝鲜战争充分说明,幻想单靠空军“切断”敌人的补给线是十分错误的。我们在北朝鲜战场上空几乎未遭抵抗,而且,除地面火力外,我们可以不受阻碍地攻击敌补给线。在头一年,敌人甚至连防空火力还击也没有。

    因此,我们确实摧毁了敌人许多沿途运送的装备和补给物资,而且毋庸置疑,使敌人遭到沉重的打击,在生命财产上付出了高昂的代价。可是,敌人在地面依旧很强大,而我们又不得不同他们在那里作战,敌部队并未遭到损失,仍然控制着关键的地形地物。

    那些远离战场的人总是想借助海上封锁和饱和轰炸这类省钱、省力的办法解决问题。但是,打过仗的人都知道,海空军固然很重要,但只有地面战斗才能消灭敌武装力量——当然,用核武器进行毁灭性的攻击则另当别论。

    在北朝鲜这样荒凉的国家或者在丛林国家,“卡断”补给线这类事情根本无法做到。而且,在敌士兵自给自足的情况下(譬如在亚洲,他们将自己的补给和武器背在身上,并且能在夜间运动或者在白天沿空中发现不了的人行小径穿行),如果认为扔炸弹就可把敌人打败,那是痴心妄想。即使能通过不停的轰炸迫使他们老实一段时间,要想征服他们并使他们屈服,还得在地面上同他们进行面对面的战斗。

    当然,还有这样一些人,主张在即将出现僵持局面时立即使用核武器,声称要把敌人国土化为灰烬,“迫使敌人回到石器时代”。如果是为了进行报复,或者说为了国家的生存,这样做是可以的。但是,如果不是为了最根本的原因而主动使用核武器,那就完全是另一回事了。

    现在,让我们再回到朝鲜问题上。分析麦克阿瑟无视预示着灾难的各种迹象、坚持向鸭绿江推进的顽固做法时,我不得不认为,这同卡斯特在小大霍思河一带的做法如出一辙,指挥官卡斯特刚愎自用,当时听不进一点意见。说麦克阿瑟不知道存在中国部队或不了解中国部队的能力,是根本站不住脚的。为获准摧毁鸭绿江桥梁和轰炸满洲基地,麦克阿瑟自己就曾提醒参谋长联席会议,鸭绿江一带的中国部队“很可能使我的部队遭到覆灭”。说麦克阿瑟不了解地形造成的困难,也是没有根据的。这种地形使我军在北朝鲜被隔离开来的两支部队无法相互支援。尽管麦克阿瑟早先就提议,将朝鲜蜂腰部连成一条巩固的防线,而且,被他置于总部直接指挥之下的第10军一度还打算向西进攻,以解除第8集团军右翼受到的压力,但是,恰恰是麦克阿瑟自己在中国人的介入再也不能否认时争辩说,他无法使第8集团军和第10军横穿北朝鲜达成会合。

    第8集团军和第10军遭到中国人沉重打击之后,参谋长联席会议曾建议麦克阿瑟将两军会合,以便封闭两军之间的间隙,并建立一道绵亘的防线。但是,麦克阿瑟坚决反对。他把那些本来完全可以用来反对他向鸭绿江猛冲的全部理由拿来为自己所用。这些理由是:他的部队兵力太少,无法照顾这样宽大的正面;距离拉得太长,无法靠严个港口向两支部队提供补给;将半岛一分为二的太白山脉无法逾越等等。

    十二月三日,他通知参谋长联席会议:除非马上采取积极的行动(以便支持他的部队或在其他地区箝制敌人),否则,指望取得胜利“是没有根据的,而且可以认为,这样不断地消耗下去可能最终会导致毁灭”。某些批评他的人曾私下议论,麦克阿瑟曾希望把我们置于一种只有进攻中国大陆才能挽救局势的境地,以迫使政府同意采取行动。我以为这种猜测是没有道理的。我倾向于认为,由于麦克阿瑟眼看胜利在望,而且认定红色中国是只纸老虎,因而他只相信自己,听不进任何意见和劝告。就在几个月之前,他刚刚赢得了一场一比五千的赌博。现在,他还想再来一次,不过这次的赌注下得更大一些。

    我以为,最后还有一件很可笑的事情,就是麦克阿瑟动辄压制批评他的人,斥责他们根本“不懂得东方人的思想”,而他自己在判断敌人意图时,却完全误入歧途。

    当然,我作这些评论有如下的有利条件。我能够回顾并分析一九五O年十一月下旬和十二月初那些艰难的日子里所发生的事情的经过,丽这一点其他人是办不到的。即使在我同少数几个认为部队被危险地分散开来的人都感到不安时,即使在我因参谋长联席会议不愿直接向麦克阿瑟下达命令而几乎按捺不住时,我对麦克阿瑟的能力、勇气和卓越的战术素养也还是深表钦佩的。我最初认识他是在本世纪二十年代。那时,我是西点军校的一个年轻上尉,他是该校的校长。自那时起,我就很敬佩他的领导能力,他的敏捷的思想和他那立即抓住问题的要害并迅速加以说明、以致反应最迟钝的人也能弄懂的能力。不管麦克阿瑟有什么弱点,他都堪称是一位伟大的军人,伟大的政治家和勇敢的领导者,在命运突然决定我将在朝鲜直接归他指挥时,我为有机会再度与我有幸结识的这位不可多得的天才共事而感到高兴。

    第6节

    每一个军人到时候都会懂得,打仗是件需要由个人作出决断的事情。你进行学习,进行各种训练,都是为了有朝一日会突然肩负这样的重任,就是由你一个人来决定究竟是原地坚持,后撤,还是发起一场置几千名士兵于突然死亡威胁之下的进攻。

    让我直接参加朝鲜战争一事来得非常突然。一天,正当我在一位朋友家里呻着威士忌,聊着一件不值一提的小事,朋友告诉我,柯林斯将军(当时任陆军参谋长)有电话找我。柯林斯将军传来的消息把我那天晚上的兴致打消无遗。消息的内容是沃克将军在一次吉普车车祸中遇难身亡。根据麦克阿瑟将军早就拟定好的名单顺序(我事先并不知道),应该由我来接替沃克担任第8集团军司令。

    由于往东方去的旅途花了一天的时间,我在近午夜时分在东京羽田机场着陆时已经是十二月二十五日。我把第二天同麦克阿瑟会见时所需要的笔记匆匆归拢到一起便上床就寝。这时,我才感到,在国内的整个工作总算告一段落,才感到自已已经准备就绪,就等着对付黑洞洞的对马海峡那一边可能等待着我的一切了。

    翌日上午九时半,我在“第一大厦”的总司令办公室会见了麦克阿瑟将军。在座的只有道尔·希凯,在“突出部战役”的初期,他曾经英勇地指挥过我那个军的第3装甲师“希凯特遣部队”。希凯热情地参加会见使我感到高兴,但是,我的全部注意力却集中在戏剧性的人物道格拉斯·麦克阿瑟身上。不用说,我从担任西点军校的教官起就认识麦克阿瑟。但是,我仍旧象每一个同他打过交道的人一样,再一次深切地感受到了他那强烈的个性。能够同他一起坐下来商量问题,这种事是很少有人能够碰得上的。麦克阿瑟还是位了不起的演员,具有演员演戏的天资——在语气上和姿态上都可以这样说。可是,他的解说和分析是那样地明确、深刻,所以,抓住听众的是他的思想、见解,而不是他的仪表、风度。

    我的记录证明,那天上午的谈话详细、具体,坦率而明白,涉及的问题也很广泛。在我到达此地的数星期之前,麦克阿瑟曾通知过陆军部,他当时的计划是“依托多道阵地向釜山地区撤退”。但是,同我见面之后,他却立即指示,“依托你们能够靠自己的力量坚守住的最前方的阵地”,尽可能靠前地坚持下去。我必须尽量长久地坚守汉城,这主要是出诸心理上和政治上的原因;但是,如果该城变成了避难所,则再无坚守之必要。坚守汉城、抗击敌人一次全面进攻的可能性当时已不复存在,可是我那时并不知道。

    麦克阿瑟对我说,美军的补给工作组织得不好——我不久就亲眼看到了这种情况。他还说,部队对预防严寒的气候不够重视。值得注意的是,麦克阿瑟在这次会见中竭力贬低战术空军的支援作用。他直言不讳地说,战术空军不能孤立战场,无法阻止敌人源源不断地输送部队和补给品。我以为,这大概是某些现役军官以及他们的文职上司们仍须记住的教训。

    在这次会见中,麦克阿瑟最担心的好象是这样的情况,即我们当时在战场上处于一种他所说的“无所事事”的状况,而企图通过外交途径来寻求出路。他说,“军事上的胜利可以加强我们在外交上的地位”。

    他指出,共产党中国南部的大门敞开着,在福摩萨的部队如果发起进攻,会大大减轻我们在朝鲜的部队的压力。

    他告诉我,他曾经建议发动这样一场进攻,但是华盛顿未予同意。不过,在谈及此事时,他根本没有说过批评华盛顿的话语,也没有流露出丝毫批评的味道。在他来说,那不过是上级的决定,而他作为一个军人服从了这项决定。

    他特别告诫我不要小看了中国人。他提醒我说:“他们是很危险的敌人。沃克曾报告,中国军队常常避开大路,利用山岭、丘陵作为接近路。他们总是插入我纵深发起攻击。其步兵手中的武器运用得比我们充分。敌军惯于在夜间运动和作战。中国的整个军事机器都投入了这场战争”。

    麦克阿瑟在谈到自己的目标时说,他最大的希望是“使敌人遭到越来越严重的失败,从而保住南朝鲜并使其得到巩固”。

    最后,麦克阿瑟对我说,“你可以得出自己的结论,要自己做出判断。我一定支持你的工作。我对你是完全放心的。

    接着,轮到我来提一些问题了。但是,我准备的问题麦克阿瑟大部分都已经谈到,只剩下几个问题还需要问一下。如果发生苏联参战这种不大可能发生的事情,麦克阿瑟会命令第8集团军采取何种行动?他说,那样,他将把第8集团军撤到日本,即使这样做需要花费好几个月的时间。

    我接着又问,他是否认为,万一敌人继续南进,南朝鲜人有背叛的危险。他说,在那样的情况下,显然存在着这种危险,不过,现在还谈不上这种危险。我建议,如果再采取任何重大的后撤行动,我们应当努力打消南朝鲜人的疑虑,使他们相信,我们这样做是为了帮助他们。麦克阿瑟表示同意我的建议。最后,我只提出这样一个问题:“如果我发觉战局于我有利,你是否反对我发起进攻?”他的如下回答使我深受鼓舞,十分满意:“第8集团军是属于你的,马特。你认为怎么好就怎么于吧。”

    现在所要做的事情只剩下同有关的人员坐在一起,由他们交待我面临的任务的细节情况,并且回答我需要了解的、有关整个部队状况的主要问题。多伊尔·希凯把总部各参谋部门的主管人员召集在一起,在一张桌子旁边等着我。

    在座的还有驻远东海军司令特纳·乔伊中将和驻远东空军司令乔治·斯特技特迈耶中将。不到中午,我头脑里就装满了我所能提出的各种问题的答复和他们认为我所需要的全部情报资料。中午十二时,我已经动身前往羽田机场,准备乘飞机到朝鲜去。那天下午四时,我走下了飞机,踏上了大丘的停机坪,在冬季的灿烂阳光下微微有些打颤。

    我向前来迎接我的我多年的同事和朋友第8集团军参谋长利文·艾伦少将打招呼问好。

    在离开东京以前,我拟就了两份电报,那是发给第8集团军的。第一份在东京就发出了,内容仅限于表达我对沃克将军的景仰之情,对于他的死我深感痛惜。第二份电报打算一到达朝鲜就发出去,仅限于通知我即刻便要担负起指挥的责任。

    到达朝鲜的当天,有好几项重要的任务需要完成,有不少琐碎的事务需要考虑,此外,还有一些电报需要发出。

    在此之后,我决定亲自视察一下部队,以弄清究竟需要多久我们才能尽快恢复进攻态势。但是,在视察部队之前,我就得设法使我们的南朝鲜陆军盟友相信,我们是不会突然撤离朝鲜而让他们去单独对付共产党的、。

    我必须立即对莫西奥大使和李承晚总统进行礼节性的拜访,以借机同他们磋商后撤行动所带来的问题。莫西奥大使也一直在为我们新近采取的后撤行动对南朝鲜官方产生的影响而感到十分担忧。因此,在我拜访李承晚时,我最关心的是设法使这位坚定的斗士相信,我到朝鲜来不是为了带领第8集团军撤回日本。他很冷淡地同我打了招呼,但我立刻伸出手去说:“见到您很高兴,总统先生,很高兴能到朝鲜这个地方来,我是要长期留下来的。”我说这些话完全发自内心,因为,我没有时间去考虑那些客套话。

    这位老先生似乎一直在期待着的就是我的这么一句话。他的脸上顿时露出了象“东方的”太阳一样温暖的笑容。他的眼睛湿润了,他用双手握住了我伸出的手。接着,他领着我去见他可爱的妻子。我一边同他们亲热地喝着茶,一边竭力使李承晚相信,我们决不撤离朝鲜半岛,而且,一旦集结好部队,述要转入反攻。

    早些时候,我曾与美国陆军的两位军长弗兰克·米尔本将军和约翰·库尔特将军以及第8集团军副参谋长威廉·科利尔上校一起进行过一次讨论。在这次会上,我所关心的问题是要想尽一切办法尽快提高第8集团军的战斗力。

    因为,我决心一旦实力允许便立即恢复攻势。我们讨论了反坦克地雷与防步兵地雷的使用问题;充分运用探照灯实施战场照明的问题;改善军与军之间尤其是第9军与其右翼的南朝鲜第3军之间的横向通信联络问题;可供使用的架桥器材问题;以及坚守汉江以北由两个师占领的桥头堡的问题。我说,我希望美国这两个军之间能尽量做到协调一致地拟制计划和采取行动。

    但是,第8集团军在恢复进攻态势之前,首先需要恢复斗志,恢复自尊心,要信任自己的领导,要树立完成任务的信心。这些情况靠第二手资料是无法掌握的。因此,我决计立即到前线巡视一下,同前进指挥所里的野战指挥官见见面,聊一聊,凭着自己的眼睛和感觉估计一下第8集团军的斗志。斗志不象某些事情,很难用语言来向你描述或阐述。不过,一个有经验的指挥官却可以凭着自己的各种感官,透过前线士兵的姿势、举止、言谈乃至一举一动感觉到它的存在。

    在同莫西奥大使(通过接触,他的勇气和才干使我深感钦佩)一起仔细研究作战形势时,我发觉,我们的右翼很危险地暴露在敌人突击的威胁之下,敌人可以穿过原州向南突击,尔后转向西南方向,切断我通往釜山的“主要补给线”和铁路线。我知道,美第2师在清川江一带遭到重创之后尚未恢复元气。但是,形势十分紧迫,我不得不命令该师立即开往原州,封锁通向我右后方的接近路(后来的情况证明,我们只是比敌人稍稍抢先了一步,及时阻止了敌人的突进)。然而,除此而外,在后来的好几天中,我还忙于调查第8集团军进攻的准备情况。

    我借助一架轻型飞机、一架直升机和一辆吉普车会见了美第l军、英第29旅、美第25师、美第27步兵团以及南朝鲜第l师的指挥官。不出两天,我便会见了各军军长和除南朝鲜首都师之外的各师师长(首都师当时远在平静的东海岸地区),并且直接了解到他们对发动一次大规模进攻的看法。他们认为,我军此时无论实施何种进攻都会归于失败,而且,可能要付出重大的代价。我也发觉,部队在思想上、精神上可以说根本没有做好准备,无法实施我一直计划采取的那种进攻行动。他们依然具有很大的勇气,随时准备接受我交给他们的一切任务。但是,部队过于瞻前顾后,这里看不到一支信心十足、决心取胜的军队所表现出来的那种特有的热情、活力和朝气。在乘坐吉普车巡视前方地域时遇到的第一名宪兵的那副样子,使我深感这支部队与我以往所了解的在欧洲作战的部队大相径庭。这个宪兵的姿态、举止都很正常,无论怎么说都很正常,但是在精神面貌上却有些反常。那种敬礼时特有的麻利劲,那种机敏、泼辣的言谈举止,那种咧嘴而笑时很自信的表情,这一切都不见了。我始终认为,这种精神面貌一直是经受战火锻炼的美国士兵所特有的标志。

    我沿途遇到了一些士兵,与他们进行了交谈,听取了他们的不满意见。从他们的身上我也深源感到,这是一支张皇失措的军队,对自己、对领导都丧失了信心,不清楚自已究竟在那里干什么,老是盼望着能早日乘船回国。要想使这支军队恢复斗志显然有许多工作要做。有些工作我是可以立即着手进行的。我听着他们抱怨(他们发牢骚时没有情绪高昂的得胜之师所惯用的那种忿激的腔调,而是带有一种不满的、犹豫不定的语调):食品供应经常不足,有时不能按时送达而且不热;往家里写信没有信笺;服装不适合这里的气候条件。这些问题我可以立即采取措施加以解决。我让直升机送来了信笺;命令将厨房挪到部队附近,以便大量供应热餐。而且,还要求提高口粮的标准和质量。

    (当地食品严禁部队食用,因为,有许多食品很容易使那些还不适应当地饮食的人罹患肠胃玻)我亲眼看到许多部队没有手套,他们的双手在十二月凛例的寒风中冻得通红、皲裂。我从切身的体会中知道,遗忘一只手套或者射击时将手套扔在一旁再也找不到的事情是很容易发生的。在欧洲作战时,我有一个习惯,到部队巡视总是在吉普车中额外捎带一些手套,以便送给路上遇到的、缺少手套的人员。

    于是,我立即采取措施,发放了足够数量的手套,以保护作战人员的双手。

    我视察过的每一个指挥所都给我以同样的感觉,即丧失了信心和斗志(应当指出,编有三个师[第3师、第7师和第1陆战师]的第10军当时还示纳入第8集团军的编成)。军士以上的指挥人员都好象很冷淡,不愿回答我的问题,即使想从他们口中听到一些牢骚意见也不容易。他们闷闷不乐地提供着情况,在他们身上看不到情绪高昂的部队所具有的那股机敏劲。他们的精神面貌不禁使我联想到了一个英军中尉。那个中尉认出我吉普车上的军阶标志后,从一座小山丘上一溜小跑地下来欢迎我。

    他很精神地敬了礼,报告了自己的姓名、军衔和所属部队。

    听说英国旅只有为数甚少的一点人马防守着前线的一个宽大的地段,而且,几乎每隔一小时中国军队就要发动一次进攻,于是,我便问他对这种形势是怎么看的。

    “非常好,先生”。他立即回答,接着又令人愉快地笑着补充说,“不过,我们这儿就是有点太通风了。”“通风”一词便是他对形势的概括,因为,战线上有许多宽大的间隙地完全可以让一支军队成连横队通过。

    然而,我不能责备我们的部队,他们表现出那样的精神状态是有其原因的。他们在兵力极其不足、武器严重缺乏、服装和食品不够的情况下被派到了这个不幸的国家,分散地配置在一个过于宽大的地域内,无法构成有效的战线。这些都不是他们的过错。他们想知道为什么来到朝鲜,打算让他们干些什么,这也是无可指责的。如果说我们国家进行过的战争中有一场可以称得上不为人所理会的战争,那末朝鲜战争便是这样的战争。人们似乎忘记了军队的首要目标——随时准备有效地作战。由于削减军费,我们的武装部队落到了无法有效作战的地步。可是,我们却让他们用陈旧过时的武器去对材敌人现代化的装甲部,让他们穿着在美国只适合秋季作战的服装到近似北极气候条件的天地里去作战。

    我多次发觉部队缺乏领导的现象很严重,并为此而大声疾呼过。部队不愿放弃某些物质享受,害怕离开为数不多的公路,不愿在没有无线电和电话联络的条件下实施运动,此外,在同敌人(我们的部队不久便在火力上压倒了敌人,并在空域和周围海域占了上风)作战时头脑过于简单。所有这一切都不是士兵们的过错,而应归咎于政府当局的最高决策人物。我在指出这些问题时恐怕有许多话讲得不很客气。

    我实际上是想告诉野战指挥官们,他们的步兵老祖宗倘若真能看到这支军队目前的状况是会气得在坟墓里打滚的。这支军队是这样地依赖公路,不重视夺占沿途的高地,不熟悉地形和难得利用地形,不愿意抛开使部队伤亡惨重的汽车而代之以步行,不愿意深入山地、丛林到敌人的驻地去作战。谈到通信联络,我要指挥官们在不得已的情况下恢复祖辈的一些老办法——在无法进行无线电通信和有线通信时,就利用传令兵来送信;在别无他法的情况下,也可采用烟幕信号这种联络手段。

    我十分清楚,我们的部队兵力过于单薄,无法横贯整个半岛建立一条稳固的战线。可是,我却不明白,这些部队为什么相互间不进行支援,如师与师之间,军与军之间。

    我们装备的榴弹炮射程达数英里之远,所以,在许多情况下,各部队都可以向友邻部队提供相当大的支援,尤其是翼侧部队之间完全可以连成一气,以便在必要情况下相互提供一定的炮火支援。

    不错,敌人通常在夜间轻装行军,而且比我们熟悉地形情况。他们习惯于这里的气候条件和清苦生活,可以自己解决口粮问题。他们利用在这里所能获得的一切运输手段如中车、骡马甚至骆驼等运送所需要的武器和补给品。

    这些运输手段不少是中国人从国内带来的。他们也利用当地劳工肩扛背驮地运送武器和补给品,甚至有时部队自己也背负这些东西。但是,我们变得对公路这样地依赖完全是由于我们自己不愿意放弃舒适的条件,而不是其他什么原因。我提醒野战指挥官,我们可以进山搜寻敌人并将其箝制在阵地上。我一再向他们提起陆军的这样一句古老的口号:“找到他们!咬住他们!打击他们!消灭他们!”

    在我放弃了立即转入进攻的打算之后,当务之急便成了做好准备,以对付中国几乎肯定要在元旦发起的攻势。

    我们原以为这次攻势会在圣诞节发起,结果至今尚未开始。

    中国军队在人数上超过了我们。但是,我们的装甲部队现在比他们强多了,而且不用说,我们还握有制空权。我们防兵力不足,无法阻止敌人的夜间进攻。但是,我们采取如下办法曾获得一次很好的机会,给敌人以严厉的惩罚。这个办法是,在夜间收缩部队,让部队与部队之间紧紧衔接在一起,到昼间,则以步坦协同的分队发起强有力的反冲击。因此,我极力要求我们的指挥官占领一系列有利的高地,而且,为诱使敌人在夜间实施突破还要适当配置部队。

    这样,我们便能依靠优势的炮火支援和空中火力支援在昼间将敌人消灭。

    我很清楚,我们将被迫放弃一些阵地。但是,我希望部队能在周密地勘察并精心构筑后方阵地之后有秩序地按照调整线实施后撤。在这个问题上,李总统派给我的当地劳工大队帮了大忙,他们构筑了供我们后撤时占领的阵地。

    我还知道,为了使部队恢复斗志,必须让部队明白指挥人员对他们的安全是关心的,不会用他们的生命做无谓的冒险,也不会丢下被敌人切断的部队不管。所以,我极力向军长、师长说明:不允许丢下任何部队让敌人压垮和消灭;要奋力解救被切断的部队,除非主要指挥官本人通过分析认为,解救这些部队会损失同样多的部队甚至更多的部队。

    下面不妨举一个例子说明我们所采取的做法。我听说,某军长在给一位师长的指示中命令要“不惜一切代价”扼守某个阵地。于是,我命令马上把这段话勾销。只有集团军司令本人才可以向一支大部队下达这样的命令。我对他们说,除非我亲自勘察了地形,观察了现场的情况,并确定有这样做的必要,否则,我决不下达死守阵地的命令。

    军长和师长们对于我的有关配置强大的兵力以便在昼间实施反冲击的指示还是遵照执行的,但是,我发觉他们助措施不够有力。结果,我们失掉了许多重创敌军的好机会。我知道,我必须竭尽全力,确保不再发生此类事情。

    下面的士兵肯定谈不上有什么真正的失败情绪,但是,总部乃至华盛顿认为我们有可能被迫全部撤离朝鲜半岛的这种带失败情绪的看法多少会传到下边。十二月底,参谋长联席会议将如下看法通知麦克阿瑟:中共部队现在十分强大,如果他们全力以赴,完全可以迫使联合国军撤出朝鲜。

    在中国的新年攻势取得胜利之后,麦克阿瑟同意:如果参谋长联席会议不改变其决定(不向我们提供大规模增援;不封锁中国海岸;不空袭中国大陆;不许轰炸满洲的基地;不放国民党军队“出笼”),则在没有极其重大的政治原因的情况下,“我们的部队应以作战情况允许的速度尽快撤离朝鲜”。

    我从不认为敌人能把我们赶出朝鲜,也不同意从朝鲜撤退。当然,我是随时准备遵照上面的命令将这支军队带到任何地方去的——返回日本或者再次越过“三八”线。但是,我认为,不管什么决定,都应尽量提前作出。这样,如果下达撤退的命令,我便能做好充分的准备,秩序井然地撤退,将部队顺利地由港口运走。我非常清楚,如果突然决定实施预先毫无计划的撤退会造成怎样的后果:没有时间搜集足够的船只尽快将部队顺利转移出去;无法预先周密地部署防御圈;无法按照轻重缓急的顺序合理安排撤退行动。如果做出了撤退的决定并过早地泄露出去,甚至仅仅出现有关这种决定的谣言,这会对南朝鲜政府产生怎样的影响,我也是清楚的。因此,我强烈要求,如果做出撤退决定,一定要采取一切可能的措施,严防走漏风声。

    此外,还有一个非同小可的问题,即如何来安置南朝鲜的军队、地方官员以及战俘。我们决不可将数量上处于劣势而且武器装备又很差的南朝鲜士兵(在以往的艰苦岁月中,他们一直很英勇地与我们并肩战斗)、李总统及其政府弃置不顾,丢给虎视耽既的敌人。我们只能坚决履行我们的义务,保障这些人员以及政府和民间机构中曾经帮助过我们的全体人员的安全,除此而外,没有其他办法。我当时估计,这一类人员的总数接近一百二十万,并且就此向上面作了汇报。

    战俘问题是个很棘手的问题。如果我们真要撤退,如何处置这些战俘,我还没有现成的办法。但是,我认为,我现在就得将这个问题提到日程上来了,而且,还必须强调一下问题的复杂性,因为,为了看管这些战俘,我们要派出很多的部队,并且要为战俘拨出大量的食品和物资。

    这个问题以后究竟会棘手到何种程度,我那时当然是没有预料到的。

    关于在何种情况下撤出朝鲜的问题很快就定了下来。

    杜鲁门总统以其一贯具有的洞察力做出决定:只有迫于军事上的需要,美军才撤离朝鲜半岛。他授权麦克阿瑟,在他认为迫不得已时,可以自行将部队撤出朝鲜,以便确保部队的安全,或者完成其保卫日本的根本使命。

    可是,我们仍须做好实施远距离后退的准备,我们甚至有可能被迫退回釜山。关于敌人的实力情况,我们此时了解得仍然不够。敌人每天都在广播上吹嘘,决心要把我们赶人大海。这一回,我不想组织临时性的防御圈,也不想组织间隙很多的防御。所以,我指定加里森·戴维森准将(后晋升为中将和西点军校的负责人,在获得将军军衔之前曾是工兵军官)在遥远的南面设置一道防线,以保卫釜山港地区。于是,戴维森动用了成千上万的朝鲜劳工,开始规划一个纵深很大的防御地域,构筑大部分堑壕体系,选择炮兵阵地,甚至还设置铁丝网。我乘坐飞机由低空沿着选定的防线走向飞过,感到很满意。因为,万一我们真的被迫占领这一防御地域,我们将可以在这里牢固地坚守下去。在我第一次检查该地区工作情况的几周之后,我再次乘飞机飞越“戴维森防线”,这项工作的进展速度和效率绘我留下了深刻的印象。我们从未占领过这些位于我们后方大约二百英里处的防御工事,也没有检验过这些工事的牢固程度。但是,不能说这项工作没有起到丝毫作用。附近贫困的农夫几乎把全部的沙袋都偷了去,为自己垒墙、垫堤,并且“解放”了大部分铁丝网,对于他们,这些铁丝网就象市场上任何畅销的商品一样,是很宝贵的东西。

    在中国军队的进攻迫使我们撤过汉江之后,前面提到的大部分问题才引起我的重视。在我担任第8集团军指挥职务的最初日子里,我的注意力几乎全部集中在敌人即将发起的这次攻势上。不出所料,在进行大规模炮火准备之后,敌人中除夕这天伴随着刺耳的中国军号声、用不堪入耳的蹩脚英语尖声威胁着发起了进攻。这一通宵送交给我的报告清楚地表明,敌人的这次进攻动用了很大的兵力,我们大概无法抵御。好在我们的后方阵地已经设置就绪,所以,我此时还抱有这样的希望,就是通过实施强大的反突击给敌人以严厉的惩罚。

    元旦上午,我驱车由北面出了汉城,结果见到了一幅令人沮丧的景象。朝鲜士兵乘着一辆辆卡车,正川流不息地向南涌去,他们没有秩序,没有武器,没有领导,完全是在全面败退。有些士兵是依靠步行或者乘着各种征用的车辆逃到这里来的。他们只有一个念头——逃得离中国军队愈远愈好。他们扔掉了自己的步枪和手枪,丢弃了所有的火炮、追击炮、机枪以及数人操作武器。

    我知道,要想制止这些我连话都听不懂的吓破了胆的士兵大规模愦逃,那是枉费心机。但是,我还是得试一下。

    于是,我跳下吉普,站到路当中,高举手臂,示意一辆迎面开来的卡车停下。另一头的几辆卡车没有减速便从我身边绕了过去。但是,不久,我还是拦住了一支载着南朝鲜军官的卡车队。头一辆卡车上的军官没有听懂我的意思,不服从我的示意。不久,整个车队又开动了。现在,唯一有效的办法就是在深远的后方设立许多哨卡,由我们自己的宪兵在军官带领下在那里值勤,以恢复对部队的控制。这种办法果然发挥了作用。混乱不堪的队伍重新编成了许多分队,装备了武器,补充了口粮,并且在各自的指挥宫带领下派往新的防御地段。此后,这些人大都象训练有素、指挥得当的大多数勇敢士兵一样,仗打得很好。(战争爆发的最初几天,南朝鲜部队被敌人的坦克吓跑了,但我丝毫也不责怪这些未经考验的部队。很少有什么东西乍看上去能比敌人坦克更吓人的了。坦克的炮口冒着硝烟,似乎正对着你的脑袋。它轰轰隆隆地越过了一切障碍想要追上你,把你消灭掉。我甚至还见到过美军部队在坦克轰鸣着向他们迫近时吓得丢掉步枪、逃进树林的情景——这还是在己方领土上举行演习时发生的事情,而且,坦克使用的只是些空包弹。)美第19步兵团的一个营在其友邻的南朝鲜部队崩溃之后,也被卷入了无秩序的退却。那天上午,我在师的伤员后送站找这个营的一些伤员谈了话,发觉他们情绪十分低落,没有美国士兵在伤势不太严重时通常所表现的那种重返部队的迫切心情。问题很清楚,要想使部队鼓起所需要的斗志,还有许多工作有待我们去完成。

    总的说来,第8集团军是井然有序地撤退的,几乎带上了全部的武器装备。但是,我们现在的处境非常危险。

    在我们的背后,是无法徒涉的汉江。江面上充塞着大块大块的浮冰,有可能把我们仅有的两座浮桥冲散,更为严重的是,如果汉城以北某处江面仍未消退的汹涌潮水波及这里的冰块,更有可能出现这种情况。我们有十多万联合国军队和南朝鲜军队连同他们的全部重装备(包括英国的“百人队长”式坦克和美国的8英寸榴弹饱)拥挤在汉江北岸的一个狭小的桥头堡内。我们感到压力很大的问题是,有可能很快出现这种情况,即数千名惊慌失措的难民会冲倒我们的守桥警卫,令人绝望地将桥梁阻塞——而敌炮兵如能利用夜暗掩护,果断地将其阵地向前推移,便能很快将我渡口置于其射程之内。

    在与美军的两位军长、南朝鲜陆军参谋长和美军驻南朝鲜军事顾问团团长研究讨论之后,我们发觉,如果敌军一面对我实施正面进攻,一面对我敞开的东部侧翼(这里的南朝鲜军队已仓皇逃走)实施深远包围,就会使我全军处中危险的境地。我还找不到充分的根据证明部队能守住各自的阵地,即使下达死命令他们也未必能坚守得佐。因此,一月三日,我要求我国驻朝鲜大使通知李总统:我们要再次撤离汉城,由前进阵地实施的撤退行动即将开始。

    我还通知我国大使和南朝鲜政府仍留在汉城的部分机构:自下中三时起,桥梁和来往要道除军队之外一律禁止通行。政府的全部车辆必须于下午三时以前撤离汉城,三点以后,民间车辆和行人禁止通行。

    当然,发布命令是一回事,而要使命令为人所服从则完全是另一回事。贯彻这道命令只能成功,不能失败,因此,我同意加强一般性的宪兵交通管制。我对第l骑兵师师长助理、查尔斯·帕尔默准将(后晋升为将军)很信任,让他亲自在大桥一带全权负责交通管制,以我的名义采取一切必要措施,保证第8集团军源源不断地通过。如果让数十万胆战心惊的难民离开通往安全地带的唯一公路和桥梁,他们究竟会作出何种反应,我们是无从预料的。因此,我特别命令帕尔默准将,要他指示手下的宪兵,如果难民拒绝离开公路,就向他们的头顶上方鸣枪;如果还不能阻止潮涌般的人群,就要诉诸最后手段,直接向不听招呼的人开枪射击。

    朝鲜人是个温驯的民族,早就学会了适应艰苦的条件。

    他们默默地服从了命令,所以,那怕用部队去吓唬他们一下都毫无必要了。

    我留在现场,在主桥的北端一直呆到天黑,观看着由徒步士兵、卡车、坦克、自行火炮以及各种运输工具组成的漫长的队伍缓缓通过。当庞大的8英寸榴弹炮和“百人队长”式坦克开过来的时候,我的心都提到了喉咙上;浮桥深源地陷入湍急的流水中,我的心一直悬在那里。我知道,拥有战斗装载的“百人队长”式坦克重量超过了这座桥规定的负载能力。但是,浮桥还是经佐了坦克的重量,最后一辆沉重的坦克总算顺利地开到了南岸。天完全黑了下来。我乘坐吉普车过了桥,挤进各色各样的车辆之中,朝着设在永登浦的只打算过一夜的临时指挥所进发。此时,在我的背后,耐心等待的成群难民象古老传说中的一只苏醒过来的野兽一样动弹起来。

    武器装备完好无损的第8集团军在汉江以南有了实施机动的余地,他们占领了坚固的防御阵地。集团军所属美军三个军中的两个军(美第10军此时尚在南面集结兵力)和两个南朝鲜军,依托有利地形扼守着一道防线。不久,第10军便可加入战斗。美第1陆战师和第2、第3、第7师也将齐装满员地重返前线,随时准备给一切敢于继续推进之敌以严厉的惩罚。

    但是,在转入进攻之前,我们还有一些工作要做,还要克服薄弱环节,总结教训,纠正错误的做法,以及恢复部队的自尊心。设在东京的总部、美国国内的整个军事机构以及设在日本的后勤支援司令部,现在都在十分紧张地工作,以满足我们的要求。我们的装甲部队和炮兵逐步得到了加强,我们的部队也开始为训练有素的士兵所充实。

    口粮的标准和质量有了提高。战地内科和外科医疗条件达到了第一流水平,成为所有军队中最好的战地内外科医疗。

    经过选拔的优秀军官接替了营、团指挥职务,不久便克服了我们在训练上存在的基本弱点。

    当我接管第8集团军的时候,集团军前进指挥所由于在当时来说很合理的原因而设在最西侧的一座大城市中;基本指挥所则位于交战地区后方一百五十英里的地方。作为直接指挥战斗的指挥所是不应当设在大城市的大楼内助,这种地点容易从身体上和思想上把司令部人员与部队人员隔离开来。上级司令部的军官和工作人员会因此而很难同他们所服务的部队打成一片。结果,上级机关与部队之间也就无法做到相互尊重与信任;而这种尊重与信任则是军事上取胜的极其重要的条件。

    在被迫撤出汉城以后的头几个星期,我把随同我行动的前进指挥组的人数压缩到最少的程度。这些人中有我的两位杰出的助手:一位是沃尔特·温顿,在整个第二次世界大战期间以及后来在加勒比司令部任职期间,我们都曾一道共事;一位是乔·戴尔,他已在我之先到达朝鲜,我深感幸运。再就是我的一个勤务兵、一个专车司机以及一个无线电吉普车司机兼报务员。我知道,第l军的米尔本将军对集团军司令始终碍手碍脚地呆在身边是不会感到高兴和舒服的。但是,我认为,作为一种权宜之计,我的小小的指挥组最好还是同他的前进指挥所一起宿营。米尔本将军对我们还是宽宏大量的。采用了这种办法,我们便无须再从兵力本来就十分不足的战斗部队抽调任何人员了,我们可以省去警卫人员和炊事人员,还可以随时使用军的通信手段和情报网。

    在我那天下午看着最后一辆“百人队长”式坦克冒险缓缓开过汉江约六星期之后,我们已经将电话和其他通信器材全部安装就绪,而且,我还在骊州一座光秃秃的绝壁之上开设了集团军的前进指挥所。其位置大约在朝鲜半岛西海岸至东海岸之间三分之一的地方,基本上处于美第9军的后方,介于西部美第l军的前进指挥所与东部美第10军的前进指挥所正中央,当时,两军处在一条直线上。在我后来指挥第8集团军的日子里,从某种意义上讲,这里便是我的家。

    我的生活安排得很简单。我们拥有的物品基本上所有的部队都有,只有很少一点东西才是那些与敌人实际接触的部队才有的。我们有两顶8×12英尺的帐篷,两顶帐篷头尾相连,形成了两间一套的房子。一顶帐篷里放着我的帆布床和睡袋、一张小桌子、一把折叠椅、一个洗脸盆以及一只小的汽油取暖炉,我在吉普车上颠簸一天之后,常常靠这只小炉子舒服一下冻得半僵的手脚。另一顶帐篷里也放着一张小桌子,小桌边上紧靠着两把折叠椅,桌上放着的胶合板托着一张高质量的作战地域地形图,这是美军工程兵的陆军制图局为我准备的一个无价之宝。

    在一个被战争搞得疮痍满目的国家,集团军前进指挥所设立的地点就其位置来说是再理想不过了。我们的帐篷曾经架设在光秃秃的汉江堤岸上,下面是快要干涸的河床;在飞机声和枪炮声沉寂下来之后,只能听到活泼的小动物发出的声响。那里没有城市的车水马龙,附近也没有村庄向空气中散发腐烂的卷心菜和人粪的浓重怪味。我可以不受干扰地坐在那里,专心致志地研究地图,审阅报告,同助手们一道全神贯注地研究作战计划,以及努力设法改善士兵们的处境,提高他们的斗志。在河滩宽大的沙砾凸出部,我们不久便修筑了一个轻型飞机简易机常后来,工兵又扩建这个机场,以便使我的四引擎B—17型飞机能够在这里着陆,载着我作较长距离的飞行,如飞往设在大丘的第8集团军基本指挥所(在我指挥第8集团军的整个阶段,基本指挥所一直设在那里)。

    也许,新设立的前进指挥所与周围隔绝的主要好处是,使我有很多时间安安静静地认真研究地图,集中精力制定第8集团军的作战计划。我长期以来就一直坚持这样的看法,一个头脑清醒的指挥官应能确切地了解他的部队会在何种环境下作战,尤其是那里的地形会造成何种障碍,或者提供何种有利的条件。因此,我在地图上消磨了不少时间,对于有疑问的地区还辅之以低空侦察。总之,一直到我感到自己在夜间也能摸清作战地域的道路才肯罢休。这样,对于我们正在作战的和打算控制的地区内的每条公路、每条大车道、每座山头、每条溪流,以及每条山脉,我都象熟悉自己家的后院一样了如指掌。所以,在我考虑派部队进入某一地段时,我便知道步兵是否要背负武器、弹药和口粮攀登二千英尺高的山岭,是否能把重装备运进去,是否能渡过江河—以及能否找到可供轮式车辆行驶的道路。

    我这时才发觉,就所担负的责任而言,在我的一生中哪一次也不能与现在相比。在我参加欧洲战争的时候,我的部队始终都在上级部队的编成内行动。在诺曼底登陆这个有史以来规模最大、绝无仅有的军事行动中,我是乔·柯林斯第7军的一个师长,而第7军又是布莱德雷第l集团军编成内的一支部队。在突出部战役中,我指挥一个军。

    可是,这个军也仅仅是考特尼·霍奇斯将军第1集团军编成内数个军中的一个军。霍奇斯的第1集团军则先后是蒙哥马利元帅的第21集团军群和奥马尔·布莱德雷将军的第12集团军群编成内的一支部队。在这两次战役中,我都拥有在局部范围内机动处置问题的充分权利;但是,总是有上级指挥官紧紧地靠在我后面支持着我,他拥有更多的人力和物力,并且有权利用这些资源来推动我的整个部队的行动。如果我陷入困境,我总是可以求助于上级,要求立即给予支援。

    在朝鲜,我当然也有一位上级——麦克阿瑟将军。他作为联合国军总司令,对我的地面部队以及太平洋战区的海、空军部队握有全权。但是,如果我当真请求增援,他却拿不出部队前来支援我。他本人则在七百英里之外的东京。最初,由于要做的事情太多而时间又是这样地紧迫,我没有时间静下心来考虑自己所面临的形势。只是在紧张地忙碌了好几个星期之后,我才彻底明白了麦克阿瑟十二月二十六日对我说的那句话,即“第8集团军是属于你的,马特。你认为怎么好就怎么干吧。

    我知道,海军将继续控制着我们周围的海上通道。空军、海军航空兵和海军陆战队航空兵将继续掌握着制空权。

    但是,不管天气是好、是坏,是昼间还是夜间,是胜利还是失败,这些地面部队(美军、联合国军和南朝鲜军)的安全还是要靠我自己来负责。在朝鲜,派不出预备队对我进行支援;上级亦无法由其他战区抽调兵力。现有的部队便是我的全部家当,再不会得到更多的部队了。

    麦克阿瑟将军赋予我充分的作战指挥权(这个指挥权他一直没有收回)和一个军事指挥官可望得到的全部权利。

    我想,这样重大的责任(也是很宝贵的机会)大概是每个具有献身精神的军人所梦寐以求的东西。我知道,这种责任给我带来了很高的荣誉,但是,我决不会因此沾沾自喜,以致看不见这副担子的全部份量。

    我给自己规定的第一项任务是恢复部队的斗志。这意昧着,不仅要让部队相信,各级指挥官是关心每个士兵的安全的,而且还要使他们相信,最高指挥官的决策是正确、合理的。

    我还过问了一些不起眼的小事,其中有些事情乍看起来似乎微不足道。但是,这些事情如果都能处理好,就会有助于部队团体精神的培养。譬如,我第一次在第8集团军基本指挥所用膳时,桌上的台布和餐具使我大吃一惊:台布用的是一条床单,盛饭的餐具则是存放食物的十美分一个的便宜瓦罐。我倒不是为是否要我吃掉这些台布或油布而伤脑筋。但是,食堂(世界各地的要人、大员肯定要参观这个地方)里的这种景象却反映了部队在这次作战中完全丧失了荣誉感,同时也证明,这场战争确实是国内所称呼的那种“被遗忘的战争”,这才是我感到吃惊的原因。我立即让人把那块令人不快的床单换成了合用的台布,把那件陶器换成了摆得出来的瓷器。

    我还采取了一项措施(不过后来有一些更为重大的原因妨碍了这一做法),以便让各个军种都能较好地了解兄弟军种为完成各自的任务需要克服哪些困难。

    我的计划(在一定程度上得以实行)是:让陆军和海军的高级军士们相互间进行一次人员交流,让水手们在地面部队待上一段时间,体验一下背负着自己的全部补给品在敌火下攀登崎岖的山颠是何种滋味,在苦寒的黑夜里彻夜坚守前沿阵地是何种滋味;让陆军的士兵们亲自看一下,当每个浪头都可能把你打翻在地时在寒冷的海域执行巡逻任务的情景,了解一下当波涛汹涌的海面使甲板不停地颠簸倾斜时在拂晓前的黑暗中清除飞行甲板上的积雪是多么地危险,或者我们的飞行员在各种天候条件下遂行遮断任务和武装侦察任务会遇到哪些危险。我们未能完全实行这个计划,因为战事极其频仍,妨碍了计划的实行。但是,那些确实参加了这些人员交流的军士,懂得了各军种要彼此尊重。这种相互尊重对于培养整个部队的团体精神起到了应有的促进作用。

    但是,需要树立必胜信心、培养进取精神的不仅仅是基层的部队。一月底的某一天,参谋部门一份应我的要求拟制的研究报告使我大为吃惊。这是一份关于“一九五一年二月二十日至八月三十一日第8集团军的理想配置位置”的报告。你们应该知道,我当时考虑的是发起进攻,从一开始我就有这种考虑。到三月份,冬季最恶劣的天气便会过去;而六、七、八三个月通常会出现的暴雨和乌云,会使大片大片的地区变成烂泥坑,使许多道路无法通行,使山地的涵洞和桥梁被冲跨,而且,还会影响近距离空中支援的效果。我们需要大大改善现有的阵地,以便重新打回“三八线”去。

    但是,我收到的经作训部门核准的文件,却主张部队分阶段地撤至太白山脉以南的阵地。据称,这份文件还获得了情报部门、后勤部门、工兵部门、驻远东海岸司令的代表以及第5航空队的气象部门等方面的认可,其实,这份研究报告(我现在还保存着)是在极力要求我们彻底打消转入进攻的念头,要我们在冬季结束之前坚守现有阵地,尔后,在夏日的暴雨到来之前撤至那个立足地区(仁川登陆的成功曾使我们得以脱离这个地区)——原先的釜山防御圈。如果批准这份报告,我们就要丧失全部主动权,此案根本不能考虑。于是,我断然否决了这份建议。

    我知道我不会得到增援部队,也清楚此时要在汉江以北地区坚守阵地是极端困难的。但是,我还是立即拟定了由美军的两个军(第1军和第9军)协调一致地分阶段向前推进的计划,旨在查明两军正面的敌情(美第10军此时尚未开到前方地域)。这两个军必须随时做好准备,一接到命令便推进至汉江并在那里坚持下去。

    当时估计,在我们的正面有十七万四千中国军队。但是,他们配置在什么地方,有什么企图,甚至在我们的正面是否真的有这些部队存在,这些情况我们都难以确定。

    我们积极地进行巡逻,不断地实施空中侦察,但是,这一纫都未能使我们发现这支庞大军队的踪迹。由于我们收到的情报太少,因而我认为,必须采取果断行动,查明敌大规模集结的部队是否存在,尔后方可命令第8集团军发起遭受挫折以来的首次攻势。帕特·帕特里奇为我准备了一架飞得很慢的AH—6型老式高级教练机,他坐在前面驾驶飞机,在后面为我留了座位。于是,我们便开始在己方先头分队至敌占区纵深二十英里的范围内进行搜索。

    我们有时在树梢高度上飞行,并且还常常在山岭的下方飞行。可是,我们几乎连个人影都没有发现,也没有发现能够证明有大量部队集结的营火烟雾、车辙,甚至雪地上睬过的痕迹。显然,如果真想查明敌情,唯一的办法就是深人敌境。但是,这次推进同上次毫无计划、不顾一切地向鸭绿江突进大不一样。这一回,所有的地面部队将统一由一个司令部指挥,所有的大部队都必须相互支援,此外,我对整个第8集团军的行动也将严加控制。一月二十五日,我们开始向前推进。第8集团军不久便证明自己是一支我国迄今为止最能征善战的野战军,我早就知道它会成为这样一支军队。

    差不多就在这个时候,我收到了不少由东京和华盛顿发来的贺电。但是,哪一份贺电都不如我的勇敢的飞机驾驶员尤金·林奇的评价使我感到满意,这是在我们的一次日常飞行中作的评价。我们正看着下方由徒步步兵、炮兵、坦克、卡车和吉普车组成的许多长长的纵队源源不断地再次开往北方,去支援前线的部队,尤金·林奇说,“您显然使这支军队在为您作战了,将军”。他们确实又在作战了,但不是为我在作战。他们是在为自己而战,他们是怀着重新激起的自豪感在作战,决心避免再次遭受一个月以前的那种沉重的打击。他们这次重返前线是要采取美军一贯的做法:为自己所遭受的损失而给敌人以加倍的惩罚。

    后来的情况证明,更为艰苦的战斗还在后头。林肯诞辰前后,中共军队发起了第四阶段的攻势,企图象他们电台每天广播的那样把我们撵入大海。我们被迫又放弃一些地区,在中共军队的进攻面前,美第2师又一次首当其冲,遭受重大损失,尤其是火炮的损失更为严重。这些损失主要是由于南朝鲜第8师仓皇撤退所造成的。该师在敌人的一次夜间进攻面前彻底崩溃,致使美第2师的翼侧暴露无遗。南朝鲜军队在中国军队打击下损失惨重,往往对中共士兵怀有非常畏惧的心理,几乎把这些人看成了天兵天将。

    所以,过了很长的时间才使南朝鲜军队树立起抗击敌军夜间进攻的信心。脚踏胶底鞋的中共士兵如果突然出现在南朝鲜军队阵地上,总是把许多南朝鲜士兵吓得头也不回地飞快逃命。

    一月三十一日至二月十八日这个阶段,美第2师在作战中继承了它在两次世界大战中的优良传统。在这三个星期中,打了许多硬仗,但是,哪一次也不如保尔·弗里曼上校(现晋升为将军)指挥的第23团战斗队(配属有勇敢的蒙克拉尔指挥的法国营)打得巧妙、英勇和顽强。在中共部队发动第四阶段攻势的整个过程中,第23团战斗队一直在原州西北大约二十英里处的双洞—砥平里地区作战。

    中共的五个师包围了这支部队,连续发起了攻击,以图突破防御圈并消灭这支部队。第23团战斗队粉碎了敌军的全部进攻,使敌军遭到极其重大的损失。据报告,倒在第23团战斗队阵地前的敌人尸体达两千具之多。在第l骑兵师的一支装甲特遣部队夺路进入防御圈、中共部队突然中止全部进攻行动之后,我立即乘直升机飞抵第23团战斗队的阵地,看到了数百具尚未掩埋的敌军尸体。

    尽管仗打得非常激烈,而且敌人的决心显然也很大,但是,我对这一仗必定打胜是毫不怀疑的。无论是在地面上同前沿分队呆在一起,还是在他们的上方飞行以更全面地观察情况,都使我深信,他们肯定能够坚持得祝一旦敌人的这次攻势受到遏制,我的下一步计划就是发动一次强大的有限目标进攻,以两个师的兵力在汉城以东强渡汉江,旨在切断敌人的补给线,并包围在西部地区集结的敌部队。原先,我认为,收复汉城在军事上没有什么价值,因为,我感到,背靠一条无法徒涉的河流我们无法进行有效的战斗。但是,麦克阿瑟向我指出了重新使用金埔机场和仁川港的重要价值,认为这样做可以加强我们的空中支援,并能减轻我们在补给上存在的困难。他也认为,汉城几乎毫无军事意义,但他却告诉我,如果我们能重新夺得汉城,便能在精神上和外交上取胜。我接受了他的意见,并将这些建议考虑到我的计划之内。但是,我的基本指导思想依然未变,即某一地区本身对于我无足轻重,除非占领这一地区有助于消灭敌军,保存自己。

    一月底(此时,我们正全力向前推进)至二月二十日这段时间,麦克阿瑟将军曾三次光临我的部队进行视察,每次都对我们的作战行动和作战计划表示十分满意。在他进行第三次视察期间,我们曾于二月二十日在原州会面。我让他看了一份标有“仅供参阅,不许抄录”字样的备忘录,这是我那天拟就、打算送给所有军长和南朝鲜军队参谋长参阅的。在备忘录中,我概略地介绍了制定计划的事实根据和全部作战行动的主要目的,特别是当时正在酝酿的、派两个师再次渡过汉江的主要目的。在敌情方面,据报告位于平壤一带的中共的四个军,在实力、武器状况、士气,以及作战企图等方面的情况依然不明。但是,几周来,敌增援部队很可能在源源不断地由该地区南下,以加强我当面之敌。他们几乎每天都可能出现在战线上。除此之外,我们没有其他情报,我本人也没有掌握其他指挥官所不知道的情况。至于我们的意图则仍然是:给敌人以最大限度的杀伤,同时尽量减少我们的伤亡;保持各主要部队建制的完整性;小心谨慎,避免因敌之诡计或我之贸然行动而陷入敌人包围,被其各个击破。我们的追击要有限度,只能在仍可获得强大支援的情况下才继续追击,或者至少要在部队能及时与敌脱离接触、进行局部后撤的情况下才实施追击。

    正是基于这种思想,我制定了即将实施的代号为“屠夫行动”的进攻计划。我是在二月十八日(星期日)夜晚、总司令视察的前两天亲自动手拟定的这份行动计划,并且已向美第9、第10军军长和第1陆战师师长作了扼要介绍。

    可以说,这次恢复攻势使我的计划终于见诸行动。从接任第8集团军指挥职务那一刻起,我就一直在酝酿这个计划,而且,可以说,计划的酝酿工作是在包括总司令在内的各级指挥官普遍存在撤退思想的情况下进行的。

    所以,你们可以想见,在二月二十日亦即目标日期前夕,当我听到麦克阿瑟将军对聚集在他面前的记者发表的声明时是何等地吃惊,甚至震惊。当时,麦克阿瑟站在聚集在第10军作战指挥所的十几名记者面前,我靠着后面的一张桌子。他很镇定地宣布:“我刚刚命令恢复攻势”。

    他在提到“我”宇时并没有特别加重语气,不过含意是清楚的,即他刚从东京飞抵这里,分析了战场的形势,并且就这个问题与下属进行过讨论,尔后才命令第8集团军发起进攻。不用说,设在东京的远东美军司令部或曰联合国军总部从未发布过任何有关这次作战的命令。自然,关于我的作战意图,麦克阿瑟曾得到过详细的通报。但是,无论其本人还是其参谋人员在“屠夫行动”计划的构想或拟制过程中均未发挥过任何作用。

    问题倒不在于这项突如其来的声明使我的自尊心受到严重的伤害,而在于它又使我很不愉快地想起了我以往所了解的、但几乎已经忘却的那个麦克阿瑟。事情刚过不久,我就不得不注意起总司令另一次企图使其在公众面前的形象永放光辉的做法。这一次,我感到自己有责任进行干预,因为,这种做法肯定会给我们带来危险的后果。麦克阿瑟有这样一个老习惯,即每当一次大规模进攻快要发起之时,他总是要视察他的部队中担负进攻任务的那些部队,并且,用一个形象的说法,打响发今枪。一般地说,这是个值得称道的做法。指挥官亲自到各处走一定对部队是一种鼓舞。

    根据自己的所见所闻,指挥官对士兵的情绪必然会有一个很深刻的了解。指挥官的这种视察通常很少为敌人所知,一直到事情过去很久才会透露出去。

    但是,这里说的是,每当一次大规模作战行动即将开始之时,麦克阿瑟就会由东京飞来,在前线抛头露面,这已成为一种定规。而且,他在空中飞行时的那种讲究排场的阵势本身,就几乎肯定会把他的每次飞行暴露给敌人。

    这种情报是否会很快传到敌人那里从而使他们能够采取对策,这使我十分重视。因为,我们即将开始第二阶段的总攻“撕裂者行动”。这次作战如能成功,我们就能打回“三八线”及其以北地区。我非常清楚,以我这样的身份向麦克阿瑟提出反对他现在视察的意见可能被当成一种无礼行为、不欢迎上级的行为或者侵犯上级权利的行为。可是,我认为,必须把问题直言不讳地讲出来,所以就召集了一次很长的会议来斟酌辞句,尔后,将长长的电文发了出去,表明了我的看法。在这件事情的处理上,总司令表现出他那非凡个性的另一个侧面。他收到电报后马上就明白了其中的意思,没有误解电文的精神实质,所以,立即将这次视察的时间推迟到全面发起进攻之后。

    这里,我想插一段有关“屠夫行动”的趣闻。当我选定的“屠夫行动”的代号通知五角大楼之后,乔·柯林斯马上(但很有礼貌)就提出了反对意见。他指出,“屠夫”一词肯定会给公众造成一种不舒服的印象。我不明白承认战争就在于杀死敌人这样一个事实有什么可反对的。好几年以后我才听说,这种反对意见是由于共和党的指控引起的,他们指控杜鲁门政府在朝鲜的目的就是屠杀中国人。据认为,鉴于美军会付出重大的伤亡,因而以杀敌作为作战的目标在政治上缺乏“魅力”。我听到的另一种说法是:杀中国人对于第8集团军司令来说也许是很有吸引力的目标,但是,从战略观点来看,这样做并不能防止北京在今后发动侵略战中。麦克阿瑟在参院听证会上曾经提出,要想防止北京今后发动侵略,唯有“现在就消灭其发动战争的力量”。其潜台词就是“现代战争的特点表现在武器装备上面不是人力上”。

    但是,即使是现在,我仍然认为应当告诉国内的人民,战争就意昧着杀人。对于任何企图使人民相信打仗是件流血甚少、只是稍微有些令人不快的做法,我是从内心反对的。

    为了打回并渡过汉江,为了再次包围汉城,第8集团军付出了很大的牺牲。但是,如果我们没有坚持如下方针,则损失还会大得多。这些方针是:以最小的代价换取敌人的最大伤亡;避兔采取一切不顾后果的无计划的推进行动,这样的行动有可能使我们被人数上居优势的敌人所包围。推进过程中,有一些推进行动居然伤亡很校有一两次营规模或稍大一点规模的推进行动,部队甚至没有任何伤亡,因为,这一两次行动有周密的计划,时机得当,部队之间能密切配合,尤其是步兵、炮兵和空军采取了老式的协同方法。

    中国军队的数量大大超过了联合国军,他们能够大规模地增援己方前线部队。但是,我们的火力优势能够压倒他们在人数上的优势。然面,在以前,我们由于缺乏严格的训练,采取的追击战术分散了兵力,而且,变得越来越依赖公路,因而一直未能发挥这种火力上的优势。一九五一年二月,在美国经过集中训练、早就计划用于朝鲜战场的许多野战炮兵营,开始编入第l军和第9军,从而使这两个军的部队得以重新采用标准的老式协同战术。

    我们的火力在集中使用时确实具有令人胆寒的威力,在“屠夫行动”中,第9军成功地肃清横城——原州地区之敌便是明证。这两座城市基本上位于半岛东、西海岸之间的正中位置,在汉江以北,地处对沟通南北交通起重要作用的主要公路线与铁路线。第9军沿杨平——胡津一线发起了进攻。七天时间内,估计在这一地区打死五千名中国人,我们牢牢地控制了这一地区。

    这次重新采取的攻势有一个特点,就是南朝鲜军队的作战技能有了很大提高,其中有些南朝鲜分队在作战上可以同第8集团军的任何部队婉美。南朝鲜军队得力的指挥人员仍然非常缺乏,我们后来不得不为此付出了高昂的代价。但是,那些指挥得当的南朝鲜部队总能取得显著的战果。在“撕裂者行动”(一九五一年三月七日开始实施)期间,南朝鲜第2团第1营歼灭敌军一个营,自己则无一伤亡。该营一支巡逻队发现第l连的前方集结着敌人部队。

    营长李洪顺少校遂命令首先发起突然袭击,尔后实施两翼包围。第l连由正面实施攻击,第2连和第3连分别由左、右两翼发起攻击。敌军发觉上述行动后企图撤退。于是,李少校命令立即发起攻击。这次进攻速度之快,就连南朝鲜部队本身都感到不胜惊讶。他们顽强地向前推进,毫不留情地将敌人扫倒在地,自己无一伤亡。战斗结束之后,战场上躺下了二百三十一具敌军尸体,此外,第1营还缴获大批完好的装备,其中有四门火炮和七门迫击炮。

    尽管后来有不少是小部队行动,而且,推进时往往是一点一点地向前挪动,但是,部队还是又打了不少引人注目的胜仗。三月中旬,第8集团军在汉城以东出敌不意地渡过了宽阔的汉江,并夺取了一座瞰制着汉城地区之敌主要补给线与交通线的、南北走向的山岭。这次作战行动的计划是由我亲自拟制并命令付诸实施的,而且,在开始实施这一行动时,我还亲临现场加以监督。最初,我在地面上与美第25师所属先头步兵分队待在一起,后来,则乘坐我的L—19型轻型座机进行监督。象以往一样,飞机照例由勇敢而不知疲倦的麦克·林奇驾驶。

    当我们的步兵艰难地沿北汉江河谷向前推进时,麦克和我在天上忽高忽低地飞行,最后,总算在平坦、干涸的砾石河滩上发现了一个合适的地点,降下了飞机。于是,我走下飞机,来到这次进攻的先头部队士兵中间。这样做,总是使我从心底感到愉快,而且,我认为,这还会起到鼓舞士气的作用,因为,当作战不顺利的时候,他们总是愿意“老头子”能前来同他们待在一起。这样做还可以使我有机会分析作战的进展情况,直接了解到我能够帮部队做些什么事情。

    这次作战行动很快便取得了彻底胜利,几乎无一人伤亡。我们达成了预定的目标(前一个夜晚,我曾向聚集在一起的随军记者扼要地介绍过这一目标):在敌人心脏,其实就是在敌司令的头上,插上一把匕首,迫使其作出两种选择,要么在极为不利的条件下(因为我们控制了制高点)对我发起进攻,要么放弃南朝鲜首都。三月十四日,南朝鲜第1师的一支巡逻队奉命由西面越过汉江,查明汉城的防御情况。这支巡逻队向北走出好几英里远才遭到敌人射击。

    那天夜间,另有一支巡逻队侦察了汉城的外围防御工事,结果发觉,这些工事几乎完全被放弃。三月十五日上午,第8集团军开进汉城,重新在这座疮痍满目的古城上空升起了大韩民国的国旗。城里剩下的居民衣着槛褛,饥肠辘辘,疾病缠身而且慌恐不安,他们在那里欢迎我们。这些人也许有二十万左右,而汉城的人口原先却是一百五十万。商业区因空袭和炮击而遭到毁坏,所有的电灯都不复存在,电线杆倾倒在地,电线则在摇曳不定,有轨电车早已停止运行。可是,不到两个星期,一个新的市政府便宣告成立,这座城市又充满了生机。(艾森豪威尔将军在其《受命变革》一书中说,汉城是在詹姆斯·范弗里特将军担任第8集团军司令之后收复的。这种说法与事实不符。在我们收复汉城一个多月之后,范弗里特将军才接替指挥职务,而且,汉城收复后一直掌握在我们手中。)然而,“撕裂者行动”的目的不仅在于收复首都或者占领新的地区。其主要目的在于俘虏和消灭敌军有生力量,缴获和摧毁其武器装备。从这种意义上讲,这次作战没有获得完全成功,因为,敌军迅速向北撤退时只实施了阻滞战斗。天气和地形给我们造成的困难比敌军行动造成的困难还要大,特别是在中部地区,那里的山峰直插云雷,陡峭的山坡则直落几乎连大车也无法通过的峡谷。对敌人高踞于荒凉山头上的坚固工事,我们不得不加以包围并发起冲锋攻占之。

    春季消融的冰雪和雨水使公路变得象稻田一样泥狞不堪,以致补给品只得靠士兵们肩扛手提来运送。前线部队靠极少的一点必需品勉强在那里维持,直到向他们空投了补给物资为止。直升机也发挥了作用,用以将伤员空运出去,否则,这些人要用担架运送两天的时间才能送到吉普救护车上,尔后,还得由救护车运往医院。

    敌人在我后方地区的活动也影响了我们的推进速度,北朝鲜第10师的残余部队还在位于我战线后方大约十英里处的、崎岖的春邦山脉一带活动。整个三月中旬,不断有该师的小股部队从后方进入我军阵地,夺路逃往北方。

    “撕裂者行动”的一个额外收获是夺取了春川。这是个重要的补给站和交通枢纽,座落在一个良好道路纵横交错的盆地中央。我们根据得到的情报曾断定,敌人在该城贮备了大量补给物资,因为,该城恰好位于对我中部地区发动二月攻势的敌部队主力后方。我们预计,夺取该城要经过一番苦战,实际情况也是这样。敌人在战场上的其他地点做法不同,在那些地点,我们往往只遇到位于敌主要防线大前方、兵力又很小的敌屏护部队的抵抗;而这里的敌军则依托深深挖进山坡的、飞机与火炮几乎无法摧毁的永备工事进行抵抗。美海军陆战队的士兵往往不得不通过白刃格斗迫使敌人放弃阵地。起初,我们计划空投187空降团战斗队夺取春川。但是,“撕裂者行动”在其他战场进展迅速,敌人仓促撤退,所以,我们很快就认识到,采取这次空降行动不会带来什么收获。我巡逻队于三月十九日开始进入春川。巡逻队进入该城时,麦克·林奇和我正在这座城市的上空飞行。春川虽遭战火洗劫,但看上去却相当完好。街道上没有弹坑,仅有一些碎砖烂瓦杂乱地堆在路上。麦克和我在上空盘旋,最后,发现一条长而直的街道完全可以用作飞机着陆的跑道。唯一的困难是,在街道的一头,高高的电线杆上仍然悬挂着一些电话线。来回飞行三次之后,麦克认准,可以顺利地由电线下方穿过,让飞机安全着陆。我们总算降了下来,虽然停止在这座被遗弃的城市当中。我们在上空盘旋时曾发现一支乘坐吉普车的巡逻队,因此,我立即动身徒步去寻找他们。后来搞清这是第1骑兵师工兵的一支巡逻队。当我朝他们走过去时,他们正在检查一座重要的桥梁,以便排除敌人可能安放在那里的爆破装药。他们惊奇地发现,桥梁未遭破坏,周围也没有设置铁丝网。但是,当他们回头发觉集团军司令正在背后默默地看着他们工作时,他们才真的感到不胜惊讶,几乎是不知所措。麦克和我很有兴致地打量了一会他们那种慌乱不安的表情。我们很失望地发现,敌人什么也没有留给我们,而且,最终未遭我军任何打击便安全撤退了。

    “撕裂者行动”原先的目标是汉城东北面的一个宽大突出部“爱达荷线”,左翼第1军和最右翼的南朝鲜部队主要是坚守各自的阵地,第9军和第10军则强渡汉江,进入可以对首都汉城形成包围的位置。由于已经达成了上述目标,而我们却未能做到大量歼敌,因而我扩大了这次作战的规模,令第1军以临津江为目标,向西运动。临津江往南流经“三八线”,尔后婉蜒曲折地流向西南,注入黄海。

    在这次行动中,我们将第187团战斗队和两个别动连空投到汉城西北约二十英里处的一座城镇波山的附近,希望通过阻止敌军沿汉城——开城公路运动来包围敌军的大部队。第l军一支装甲特遣部队被作为“铁锤”派往前方,以便在空降部队提供的“铁砧”上将敌人砸垮。然而,敌军已经撤走,我们几乎是兵不血刃地进至临津江。接着,我们的下—步行动便是往东派出空降部队,夺占美第3师当面之敌背后的高地,以图在另一次行动中将敌大部队夹在“铁锤”与“铁砧”当中。这一回是天气坏了我们的大事。大雨和融雪使我军坦克陷入泥潭。我们只得将坦克撤回汉城。

    另外,当第187团战斗队抵达制高点时,敌人已经撤往更远的北方了。

    现在,我们抵近了“三八线”,又一次面临这样的问题,即是否要再次越过那条莫名其妙的界线(这条线既不能防守,战略上也不重要)。这一次,华盛顿认为,这是纯军事性的问题。因此,在获得麦克阿瑟将军同意后,我决定继续向前推进。对于给敌人造成的损失,我仍然感到不太满足,而且,我还想使敌人得不到变更部署、补充兵员的时间。整个迹象表明,敌人正在准备发动一次春节攻势,忙于在其当前阵地的大后方集结兵力。有鉴于此,最好还是不给敌人以喘息之机,而不能坐等敌人采取行动。

    所以,我们采取了代号为“狂暴行动”的新的进攻行动,以进抵一条新的目标线——“堪萨斯线”。该线基本上与“三八线”平行,在“三八线”以北,但是,在左侧,它却沿着婉蜒曲折的临津江延伸至海边。

    这条新划定的目标线包括了十英里宽的水障华川水库。以前,汉城的用水和供电依靠这座水库。但是,这座水库对我军北汉江下游的阵地却是一个严重的威胁,因此,敌人有可能炸毁水库大坝,使北汉江江水泛滥。我们朝新的目标线推进时遭到敌激烈程度不同的抵抗。当地形对他们有利时,他们就掘壕固守;当地形便于我快速推进时,他们就很快溜之乎也。右翼的地形条件极差,道路稀少,有许多悬崖绝壁。但是,我方部队还是得以在各个地段稳步向前推进。四月九日,我左翼部队全部抵达“堪萨斯线”。

    在右翼,美第10军和南朝鲜第3军极力克服险恶的地形和补给线不足造成的困难,还在朝着目标线推进。这时,敌人打开了华川水库基部的好几个水闸。一开始,敌人的这一招似乎真要给我们造成严重的损失。江面一小时之内便上涨了好几英尺,冲垮了我们一座由工兵架设的浮桥,并迫使我们把另一座浮桥拖回岸边,以免冲垮。我们立即派出一支特遣部队去夺取大坝,关闭闸门。但是,由于能见度很差,地形崎岖,敌人顽抗,以及登陆工具不足,这次尝试没有成功。最后,我们一致认为,炸毁水闸可以大大降低水库的水位,使水库的威胁减小到最低限度。炸毁大坝工程量很大,看来,敌人获得炸毁大坝所需时间和炸药的可能性极校但是,看着第1陆战师以及第l骑兵师一部搭乘外装马达推进的突击舟穿越宽阔的水库,我们还是感到松了一口气。突击舟费了很大的劲才由卡车运抵水库;从而使陆战队的士兵们在远离水库的地区战斗数周之后重新回到了适合他仍作战的环境中。但是,一直到四月十六日、范弗里特来接任第8集团军指挥职务之后,大坝才落入我们手中。

    在向“堪萨斯线”推进时,我们发觉,各处的敌人都处于一种防御态势。但是,尽管如此,还是有迹象表明,敌人的一次攻势已迫在眉睫。所以,我十分重视对第8集团军严加控制,十分重视防止部队采取任何可能使我军落入圈套的、无计划的推进行动。我们的部队信心十足,积极主动。有些地段,部队的推进速度太快,以致出现了有可能因自己的冒进而自食其果的危险。我一再向野战指挥官们指出我们的根本目的——以最小的代价换取敌人的最大损失。

    较早一些时候,在“撕裂者行动”结束前夕召集的指挥官会议上,我曾经向所有的军长和师长强调指出:递交集团军司令的正式报告应具体写明己方各分队的位置和运动情况。如果报告的意思含混不清,措辞大而化之,不注明日期和具体时间,不写明诸如天气、观察哨数目等细节情况,那就会把事情弄糟,其严重程度有时不亚于敌人行动造成的任何危害。我向与会的指挥宫举了这样一个实例。

    我曾观察过几架己方飞机对紧靠议政府北边的一座高地发起猛烈攻击。我在附近空域观察的整个那段时间,攻击一直没有停止,大约持续了十五至二十分钟左右。可是,我回到指挥所后看到的第l军的一份报告却说,整个下午,那座高地一直掌握在第187降空团战斗队的手中。

    我还记得第9军第25师递交的一份报告,大意是:“第5步兵团战斗队的分队遭到了反冲击,尔后撤了下来。”详细情况则一概阙如。可是在我了解实情之后,却原来是这样一回事情,即实际上不是什么反冲击,而仅仅是第5步兵团战斗队一支连规模的分队对一座高地发起了进攻,尔后,师长要对高地上的敌军实施炮兵和航空兵突击,便亲自下令让这支分队在敌火下撤了下来。

    我在书中对这种报告是毫不宽宥的,它反映了我们的自满情绪,反映了我们对部队督促不够,参谋人员深入前线部队调查不够。我如果想很好地掌握第8集团军,就得要求送交司令部的报告做到全面、真实并且明确,杜绝报喜不报忧的现象,并且能提供足够的细节以使我迅速得出正确的结论。

    我还极力强调,发起进攻必须果断,进攻发起后则要立即报告进攻发起的时间。要想充分地做到协同动作,就得十分严格地按照正式规定的时间和方向实施进攻。这就象足球教练训练自己的足球前锋一样,强调要同时向对方球门发起攻势。我坚决要求所属指挥官严格按计划行事,并始终保持进攻方向。我知道,我们的进攻之所以失败大多是不重视保持进攻的方向造成的。将兵力用在错误的方向上会使整个行动归于无效。这就象一个摔跤手力量用错了方向一样,非但没有给对方造成多大损失,反倒使自己深受其害。

    在我制定各种计划时,通信联络也是我极其重视的一个问题。我不想再收到关于任何部队长时间“失去联络”的报告。我们拥有联络飞机,并且配备了受过专门训练、可以钩取和空投信件的人员。我再一次催促部队恢复我们的先辈采用过的一些老办法,即采用徒步传令兵或者烟幕信号进行通信联络。我命令指挥宫们仔细分析一下各自有关传递文电的指示,看看是否妥当。

    我们还必须随时做好准备,提高警惕,以防敌人在我后方地区实施伞降——这是一个很现实的威胁,中国军队完全能够做到这一点。对于这种形式的进攻,各级指挥官必须在其受领的地域内做好应付的准备,就如在所属军、师防御地带内仔细划分的地段上负责对付各种地面进攻一样。我命令各个大部队将责任地域划分成若干小块,一直划分到后方分界线为止,以便使各级指挥官都能明确哪个地区是自己必须防守、抗击敌人各种进攻的地区。

    这些准备工作在即将采取的作战行动中发挥了难以估量的作用。由于采用了与支援部队保持密切联系、按调整线推进以及在夜间收缩以防止敌人渗透等办法,我们没有落入敌人设置的圈套,而且,在敌人进行最后一次大规模突击时,我们还得以削弱敌军的进攻力量。我要求各级指挥官注意学会正确处理大胆前进、歼灭敌军与小心谨慎、保存自己的关系。如事实表明的那样,在所有的前进运动中,都曾出现过需要迅速扩张意外战果的机会。要做到既能抓住这些战机,又能使部队始终可以对付因敌军行动或天气变化而突然出现的严重威胁,这就需要指挥官善于随机应变并具有高度的预见性。

    我们最初在朝鲜取得胜利时,对于扩张意外的战果不够重视。因此,为研究如何才能更好地调遣部队、切断并消灭逃跑的北朝鲜军队,我们失去了很宝贵的时机。从现在起,我要求,实施大的推进行动必须拟制十分周密的计划,使各级指挥官不仅知道如何处理灾难性的意外情况,而且还要知道怎样最大限度地利用意外的胜利。

    在“狂暴行动”中,当我们向“堪萨斯线”推进时,果然打了不少意料之外的胜仗。胜仗如此之多,以致使我不得不对消除部队中的自满情绪引起重视。第8集团军重整旗鼓、回击敌人的那股劲头一时又使国内充满了信心。一些持乐观情绪的人竟然认为,彻底的胜利已经为期不远了。

    我希望消除部队中的这种自满情绪,以免“圣诞节回国攻势”(或曰“七月四日回国攻势”)的那种劲头再度使前线部队对敌人还可能实施的打击毫无准备。我们的责任是防止部队的自满情绪发展成莽撞、蛮干。为此,我于四月一日会见了美军三个军中的两位军长,以争取他们同意我如下的坚定看法:第8集团军迄今尚未遇到过的、最艰苦的战斗和最严重的关头还在后面。根据敌军的现有能力和公开的企图,我认为,几天之后,将需要我们的每一名士兵拿出最大的勇气投入一场战斗。野战指挥官首先要具有这种精神面貌,并通过各级指挥系统来影响下面的部队。对共军发起的小规模进攻都有可能酿成规模巨大的作战行动。

    因此,我军必须随时做好准备,以对付从未遇到过的、更大的威胁。我们当前的任务是,对敌人保持压力,以便在我抵达一个可据以发起最强大的攻势的地区之前,使敌人得不到重整部队的机会。

    由于轻而易举地抵达了临津江,我起先甚至想进而推进至临津江与礼成江(礼成江从临津江西面、开城的附近注入黄海)之间的广阔沿海平原。然而,新近得到的情报说明,这一地区,敌军兵力较我预想的要小得多。这里仅有北朝鲜军的一个师;而在开城以北却发现了中国军队两支以前未投入战斗的生力部队第63军和64军。如果我军越过临津江,则这些新锐部队会对我之右翼构成极大的威胁。所以,我通知联合国军总司令,我打算改变原计划,准备以第1军以及第9军的左翼部队朝铁原方向运动。(铁原是位于“铁三角”西南角的一座城镇。“铁三角”是敌军兵力集结的中心,它的北部以“三角形”的顶点平康为界,东南以金化为界,西南则以铁原为界。)这意味着在“堪萨斯线”的北面要划定一条新的目标线即“犹他线”。其实,“犹他线”不过是“堪萨斯线”向北延伸出来的一个突出部,它可以使我们处于进攻“铁三角”的有利地位。随着我军的推进,敌军的抵抗也越来越顽强。敌军沿其整个正面点燃了树丛和森林,企图遮蔽自己的行动,并阻碍我军对已方地面部队实施近距离空中支援。但是,在夺取了华川水库大坝以及南朝鲜第1军拿下东海岸的城镇大浦里之后,敌人的抵抗行动就逐步停止了。所以,我们事实上未遭任何抵抗便进至“犹他线”。

    尽管我们的许多前线部队未能与敌人建立接触,但是却不断有迹象表明,中国人正准备发起进攻。炮兵与空军观察员报告,在第9军控制的那段防线北面,发现敌军的一支约四、五千人的队伍正在向东南方向移动。中国人在北面不再构筑防御阵地,而且,他们正在填掉预先在我前进路线上构筑的防坦克陷阱。

    我并不相信中国人真能实现他们吹嘘的目标,即把我们赶入大海或者在战场上击败我们。我们现在已经拥有一支经受考验、坚强不屈而且信心十足的军队,他们已经掌握了进行这种战斗的经验,适应了各种恶劣的天气变化,而且,拥有的火力在强度上也大大超过了以往打击敌人的一切火力。我深信,唯有发生苏联大规模干预的事态才可能迫使我们撤离朝鲜半岛。在一九五一中春节,这种干预并不是绝对不可能发生的事情。果然,总部在三月底向我提供了一份报告。这份报告似乎证实了我收到的一些从最近在战斗中抓获的俘虏口中得到的情报。总部这份报告的根据据说来自某欧洲国家的前驻土耳其大使。这位大使是个很诚笃的人,一再表明他有可靠的情报,大致内容是:一个以可怕的维·米·莫洛托夫为首的苏联远东委员会打算于四月底在朝鲜发动一次大规模攻势。根据我总部的这份报告,苏联将打着志愿军的旗号,动用大量的飞机和蒙古血统的苏军正规部队入朝作战;苏联远东军区则受命,要不惜冒打一场全面战争的危险提供一切必要的支援,以保证赢得胜利。

    这类情报我是无法证实的。于是我向总部提出建议,由战区和国家的情报部门加紧查明实情。我还极力要求,毫不含糊地向苏联提出严重警告:对朝鲜的一切干预行动,不管打着何种旗号,都将被看作是战争行为。我的建议究竟产生什么结果,一直无从知晓。不过,在敌人终于发起第五阶段的攻势之后,我们根本没有发现苏军以任何形式加入战争的证据。

    但是,尽管有苏军可能参战的情报,我还是不希望第8集团军瞻前顾后、畏缩不前。因此,我在前面提及的指挥官会议上明确表示,只有那些实际负责制定进攻已知之敌的推进计划的指挥官才有权考虑或研究后退行动。我告诉与会的军长和师长,仅仅在下述情况下我才亲自下令立即撤退:一、苏联人以其现有的军事实力进行干预;二、与此同时,中共军队和北朝鲜人民军全力以赴地投入战斗;三、敌人采取所有这些行动所选择的时机便于其充分利用天候条件;我相信,在此情况下,美国政府会完全赞同撤离朝鲜。

    事实上,即使我不这样做,政府也会命令我这样做的。通过与海军和空军协商,陆军参谋机构已拟就一份应付这些紧急情况的计划草案。一旦经我同意,该计划便会以统一的代号迅速下达部队,付诸实施。计划一经初步批准,就要交给各军军长进一步加以充实和完善。届时,各军军长经慎重考虑可以吸收各师师长和一些专门指定的师一级军官一道参加研究,以便使这些人对撤退行动也能有所准备。

    但是,除专门指定的军官外,不再允许扩大讨论此项计划甚至知道此项计划的人员的范围。

    如果我们竟然已打算撤退的消息当真走漏出去,则南朝鲜军队有可能背叛我们。但是,谁也不能因为他们打算在我们一手给他们造成的环境中苟且偷生而责怪他们。我还认为(麦克阿瑟也同意我的这一看法),万一我们因苏联直接出兵干预而做出了撤离朝鲜的决定,则应等到第8集团军撤至小白山脉以南之后再下达撤离朝鲜的命令。否则,南朝鲜军队的背叛有可能使我两翼暴露,从而使我军为敌军所包围并遭受严重损失。

    当然,在此期间,我们并没有消极地等待敌人发起攻势。我们继续朝东北方向推进,首先抵达“犹他线”,尔后抵达“犹他线”向东延伸的部分“怀俄明线”。下一步,我们要夺取瞰制铁原的高地。但是,还没有来得及采取这一行动,敌人便苏醒过来,阻止了我军的快速推进。敌第五阶段攻势即将开始。然而,政治事态的发展突然压倒了战场上的一切战事。

    第7节

    麦克阿瑟将军被罢免了。事情是这样地突然,这样地不可抗拒,而且,还这样毫无必要地以粗鲁的罢免方式来公然伤害将军的自尊心,这在全国上下激起了一阵抗议的怒潮。一位把一生都献给祖国的伟大军人政治家被匆匆解除了职务,这引起了一种深刻的意见分歧(诚然,这种分歧在很大程度上带有强烈的政治色彩),使公众难以认清问题的实质。

    曾经有些极端分子,无疑今天还有这种人,他们硬说参加这场争论的双方怀有极其邪恶的动机。譬如,他们说,在政府的高级领导层中有一个简直是卖国的“无须取胜”集切(不知怎么与不久前叛逃到苏联的两名英国外交机构的成员有联系)。另一方面,他们又指责麦克阿瑟成心要把我们卷入亚洲大陆的一场全面战争之中。我想,正如我们的大多数公民后来历弄清的那样,这两种非难和中伤都是毫无根据的。

    我们最高级的政府官员仍,不论文职的还是军职的,他们的爱国和忠诚是不应受到丝毫怀疑的。杜鲁门政府并不是要迎合我们的敌人,只不过是想避免一场世界性的浩劫。麦克阿瑟也一直是反对在亚洲大陆动用美国地面部队的。真正的、根本的问题既不是杜鲁门先生和麦克阿瑟将军之间在扩大朝鲜战争的看法上存在鸿沟,也不是这两个人的强烈个性格格不入。问题正如马歇尔将军在参议院某委员会的证词中所指出的,无非是一位局部地区的战区司令公开表示不赞同上级曾以最明确的语言一再向他传达的方针罢了。

    我本人对麦克阿瑟一直是深表敬佩的。这是通过密切交往丽逐步产生的感情,这种感情可以追溯到麦克阿瑟在西点军校担任校长的那些日子。当时,我负责体育课,直接向他汇报工作。由于他对体育运动兴趣甚浓,因而,那几年我有幸常常见到他。后来,直到我到朝鲜赴任之前,与他会面的次数就相当少了。但是,我对他的情况一直很关心。正因为如此,我才得以了解他那复杂性格中为一般人所认识不到的某些如下的毛玻他追求对自己的颂扬,这导致他在某些场合公然要求或者接受那些本不属于他的荣誉,或者推卸那些明明是他自己所犯错误的责任。他爱出风头,这常常使他在所属地面部队参加每次登陆作战时和参加的重大进攻行动发起时伊然以现地实际指挥官的身份出现在公众面前。他热衷于培养自己那种似乎天才人物所必须具备的孤独精神,结果,他几乎发展到与世隔绝的地步(在东京,他的办公室连电话也没有)。这种与世隔绝使他得不到一个指挥官所必需的从自己主要部属那里得到的批评意见和客观评价。他个性倔强(这种个性的形成是由于他在遭到人们坚决反对的情况下曾成功地强行通过了许多出色的计划),这使他有时不顾一切所谓常理而坚持按自己的办法行事。对自己的判断能力过于自信,这使他养成一种一贯正确的毛病,并且最后导致他发展到几乎不服从领导的地步。

    我认为,其中一些毛病的产生应当归咎于他那非凡的才能。早在少年时代在得克萨斯军校时,他的这些才能就已经使他在所参加的几乎所有活动中显露头角。他在西点学校时的学术造诣、体育运动水平和领导成就,他透过现象抓住问题本质的能力,他的胆略和魄力,他那乐于迅速、勇敢地追求明确目标的精神,所有这一切最后使得人们不愿意否决他的看法,甚至不愿意在他面前提出有力的反驳。他那雄辩的口才以及阐述自己论据时那种生动的样子,也往往能使反对意见烟消云散,使本来怀疑他的那些人转而怀疑他们自己。他堪称是一位了不起的名将。

    所谓他成心想把我们卷进亚洲的一场全面战争的说法,与他的目的是背道而驰的。其实,他倒是一直认为,“没有哪个神智正常的人”会主张把地面部队派往大陆中国。他一次又一次地大声疾呼,反对在朝鲜以外的地方使用我们的地面部队。他一再郑重其事地主张,用我们强大的海、空力量来封锁共产党中国,并且摧毁她“在一代人物时间内”进行武装侵略的潜力。

    政府领导人,无论文职的还是军职的,他们所进发出来的爱国热忱并不亚于麦克阿瑟将军。然而,直到一九五一年参议院听证会(此时,麦克阿瑟在离开祖国十余年之后重返故土,在为期七周的对证中面对着自己的批评者和支持者)引起的大辩论中某些激烈争论的情况透露出来之后,真正的分歧点才普遍为世人所了解。由于将军与总统之间的分歧最后得到了解释,因而大多数公众对总统的批评便偃旗息鼓了。但是,对于匆匆解除麦克阿瑟职务的做法普遍不满的情绪却依然存在着,而且很可能要一直存在下去(将军本人直到报社记者告诉他才获悉自己被解职一事)。

    诚然,杜鲁门和麦克阿瑟都不想在亚洲进行一场地面战争,但是,杜鲁门及其顾问们却根本不同意麦克网瑟封锁和压垮中国的方案。坦率地说,麦克网瑟所寻求的是一场预防性的战争,即不借冒使苏联卷人这场冲突并最终导致苏联入侵欧洲的风险来摧毁中国发动战争的潜力。麦克阿瑟声称,鉴于我们已经与红色中国处于战争状态,因而采取这一行动是完全正当的。按照他的看法,欧洲已经丢失,现在只不过是苏联人的一个工业后院罢了。麦克阿瑟相信,世界未来的命运将在亚洲决定。

    然而,麦克阿瑟在提出自己的理由时,却把国家所面临的抉择描绘成是“胜利”与“僵持”之间的抉择。由于把这种抉择说得那样简单,因而对一个爱国者来说应该作出那种抉择似乎就成了不言而喻的事情。这个由高手绞尽脑汁、极其巧妙地提出的“胜利”方针证明是难以反对的。

    这一直是麦克阿瑟的口号。

    “胜利,迅速而彻底地赢得胜利!”任何正在进行战争的国家都会理所当然地把麦克阿瑟一九三一年提出的这个口号作为自己的目标。二十年后,他老调未改,在对美国国会所作的演讲中,他宣称:“没有任何东西可以代替胜利!”后来,在一九六二年五月,他在对西点军校的毕业班发表演说时又重申:“你们的使命依然是固定不变的,明确的,神圣的。那就是要打赢我们的战争……要有取胜的决心,要切实认识到在战争中没有任何东西可以代替胜利!”

    这些话当然是每个在地面、海上和空中作战的美国士兵的信念,也许找不到更好的战斗口号来激发美国人的满腔热血了。它表达了“决死一战”的精神。这种精神曾经鼓舞着我们的军队经历了八年的独立战争,征服西部地区的长期战争,痛苦的国内战争,以及他们所参加过的每一场其他的冲突和战争。按美国人的性格是不愿打有限战争的。就象在拳击场上一样,他们所想的就是将对手狠狠地击倒在地。象取胜这样闪闪发光的思想,哪个朝气蓬勃的美国人会反对呢?反对这种思想就象支持邪恶、反对美德一样荒唐。

    可是,正如在朝鲜的步兵所了解的那样,获得一次“胜利”有时还需要另一次胜利来保障。夺取一个高地之后,为了巩固战线或者防止敌人观察,似乎总需要再拿下一个高地才行。而当时在我们大多数公民心目中的所谓“胜利”,可能只不过是打赢麦克阿瑟宏伟计划中的初战而已。

    可是,麦克阿瑟所说的胜利不仅仅是指在朝鲜的胜利,即不仅仅要在朝鲜半岛消灭全部敌军并建立一个在民主政府领导之下的统一的国家。他所想的就是要在全世界击败共产主义,给共产主义以“狠狠一击,使其永世不得翻身”。

    这种打击将标志着红色浪潮历史性的退落。他的“方案”不仅包括向鸭绿江实施大规模进攻,而且还包括摧毁满洲的空军基地和工业体系,封锁共产党中国的海岸,破坏其工业中心。为蒋入侵大陆提供一切必要的支援,以及把国民党中国的部队运往朝鲜以加强我们在那里的地面力量。他真的以为这些行动会打破共产党对大陆的控制。他深信中国的老百姓随时都欢迎蒋打回去,而且还自以为苏联不会介入他所设想的这种冲突。但是,在向红色中国发动这场预防性战争的过程中,倘若苏联的干涉威胁到这场战争的胜利,则我认为,麦克阿瑟理所当然就会极力要求进而向苏联发动进攻(他认为,苏联实力日益增长,使时间对苏联有利)。这只不过是他的最终目的即以武力在全世界消灭共产主义必然会导致的结果。

    因此,如果实行他的计划,就要承担引起第三次世界大战的巨大风险,西欧就会遭受蹂躏,紧接着,我们肯定会失去一些久经考验的、最忠实的盟友。还应当记住,在冒这些风险时,我们自己的国家将会处于毫无准备的可悲状态,我们的总预备队削减得只剩下一个处于战备状态的陆军师。

    这就是麦克阿瑟高喊战争时在其心目中的所谓“胜利”。这是个需要全国做出巨大努力的、雄心勃勃、充满风险的方案。可是,这个方案并没有立即为麦克阿瑟的上级所否决。美国政府的最高领导层(总统、国务卿、国防部长、国家安全委员会、三军部长、参谋长联席会议以及国会的领袖)仔细研究讨论了麦克阿瑟提出的每一个问题。

    他们首先结合远东战区司令部组建的背景、职责以及亚洲的局部形势对麦克阿瑟提出的每个问题进行了审查。尔后,又根据全世界的形势、美国当时的能力和局限性、西欧的防务状况以及部分或全部采纳麦克阿瑟的建议而突然引起第三次世界大战的可能性等情况进一步考虑了每个问题。

    这些官员对麦克阿瑟的全部建议进行了严肃认真、深思熟虑和周密细致的研究。

    他们认为,我们的空军不可能通过轰炸迫使红色中国屈服。我已提到过霍伊特·范登堡将军的想法。他认为,如果我们真要想摧毁满洲的基地,我们“本钱很少的空军”就会在战争中受到极大的消耗和损失,以至于我们需要花费两年的时间来重建这支空军才能使其在地球上其他地点出现挑战时能有效地应付之。除此之外,范登堡将军对于轰炸满洲这种“一点一点地啄击皮毛”的办法毫无兴趣。因为,付出了高昂的代价,换回来的只不过是敌人军事力量极轻微的损失。五角大楼也根本不相信中国的工业基础会象麦克阿瑟所想象的那样能够那么快就被摧毁。如果进行轰炸,无疑会使成千上万的无辜遭到屠杀;如果使用原子弹,那么牺牲者将会是数以百万计。除非我们炸毁横贯西伯利亚的铁路线,否则,共产党中国还能照样通过这条铁路接受军事补给,而苏联则丝毫不受触动。可是,炸毁西伯利亚铁路需要采取持久作战行动,这可能超出了我们的能力,而且,这样做肯定会引起第三次世界大战。

    此外,杜鲁门政府与参谋长联席会议都清楚,任何攻击满洲基地甚至鸭绿江上的桥梁的行动,都将结束那个保证我们在南朝鲜和日本的基地不受侵犯并把战争限制在朝鲜半岛的心照不宣的协议。

    至于封锁中国沿海,这将构成一种战争行动。封锁,只有在确实奏效的情况下才能为各个中立国家所承认。然而,除非将英国的直辖殖民地香港,以及大连港、旅顺港都包括在封锁之列,否则这一行动无法奏效。如果我们果真封锁这几个港口,英国和苏联所作出的反应是不会让我们轻松的。

    在五角大楼看来,利用蒋军入侵中国没有成功的希望,除非他们能得到大规模的美国海、空军支援以及后勤方面的支援。这些支援,麦克阿瑟当然认为蒋军是应该得到的。

    可是,我们在这方面能够抽出的力量已所剩无几,而且,我们所拥有的这点力量如果用于朝鲜,可以发挥更有效的作用。即使入侵大陆能迫使中国军队撤离朝鲜,从而减轻那里的压力,但蒋的地面部队却很可能遭受几次挫折便大批倒戈,这种情况在他们最后与共产党正面交锋时就曾出现过。

    五角大楼对蒋军的作战能力不抱什么希望,麦克阿瑟本人不久前也说道对这些人的战备程度缺乏信心。他们的训练水平很低。我们必须首先向他们提供诸如火炮、装甲车辆等全部重型武器,并且对他们进行使用这些武器的训练,然后才敢将这些部队投人战斗。但是,从已经在战场上作战的部队那里抽调这类紧缺助武器装备是不妥当的。

    此外,我们还必须考虑到李承娩坚决反对在他的国家使用中国军队。因为,在他看来,—朝鲜还有人力没有充分利用起来。

    政府也不赞同麦克阿瑟的西欧不太重要的观点。西欧的工业技能、人力、技术、各类工厂、可迅速加以利用的原料、必不可少的空军基地,尤其是西欧在血缘和文化方面与美国的密切联系,所有这一切都使华盛顿感到必须是欧洲第一,亚洲第二。一旦失去欧洲,形势就会立即朝着有利于苏联的方向发生决定性的变化,北约组织就会解体,美国就会遭到孤立。如果真的发生一场两线作战的战争,我们是来不及进行准备的。

    五角大楼对于在南面开辟第二战场牵制中国力量的建议进行过长期而深入的考虑,但还是否决了这个方案。对于英国和英联邦其他诸国来说,使用蒋军一案是完全不能接受的。把敌对行动扩大到福摩萨地区将大大加重我们在太平洋地区担负的任务。同时,我们为进行朝鲜战争而一手撮合的、本来就勉强维系着的联盟就会遭到一定程度的损害。

    麦克阿瑟将军与政府之间的另一个分歧是:是坚持我们在联合国中的集体安全政策呢,还是单独干?很显然,麦克阿瑟决心已定:如果我们的盟友不与我们站在一起共同对付共产党中国和苏联,那么,我们就应该自己挑起全付重担。然而,美国早就承诺了集体安全的义务。尽管联合国其他成员国实际提供的人力并不很多,可是在联合国的旗帜下作战能使我们在朝鲜的行动带有道义上得到支持的色彩,而这在我们与自由世界其他国家打交道时具有无可估量的价值。

    在那些今天看来具有历史意义的参议院听证会进行期间,这些结论再次为在此之前就已得出这些结论的绝大多数(即便不是全部)主要领导人所说明和肯定。这些人是:艾奇逊、马歇尔、布莱德雷、谢尔曼、范登堡、柯林斯和解多其他的人。这些人都进行了宣誓。他们的证词还被记录在案。他们受到了各种询问。最后,为了保密起见,证词作了删节,尔后公布于众。这样,否决麦克阿瑟方案的原因也就成了一件有案可稽的公开事实。所以,无论是谁,如果再认定这些官员以及总统、副总统求“胜”的愿望不如批评他们的人强烈,对国际形势的看法比这些人狭隘,为国家最高利益服务的决心不如这些人坚定,那就十分荒谬了。可是,这些说法却曾经被人以尖锐的公开批评方式或隐晦的方式作为攻击政府的炮弹,当时,拒绝批准麦克网瑟的建议被扣上了姑息养奸的罪名。

    所以,不是由于匿名的颠覆分子们巧妙地塞进我高级委员会的什么“无须取胜”政策才导致了政府拒绝麦克阿瑟提出的方案。问题的实质在于,政府要坚持一项根本不同的政策,即对“胜利”一词作出不同的解释,根据对世界形势比较全面的了解对事实情况采取不同的观点。

    很清楚,国家最高层的文职领导和军事领导,由于眼界较宽,关于苏联原子武器的发展状况有比较高级的情报来源,对于欧洲爆发全面战争可能产生的后果有更全面的估计,因而,他们对于当时的现实情况和责任也就有一个清醒得多的认识。在他们看来,即使能在朝鲜取得战区司令所追求的那种“胜利”,我们也会因此面在其他地方背上过于沉重的负担。他们认为自己的看法是正确的,麦克阿瑟的观点是错误的。这些看法正确与否,在当时都无法得到证明,今天亦无法证明。向总统提出建议和忠告是他们的职责,因而他们这样做了;作出决定是总统的职责,因此总统定下了决心。

    政府的决定以及作出这些决定的理由很快就向联合国军司令作了传达。此外,为使重点突出,含意明确,总统在一九五一年一月十三日亲自致函麦克阿瑟,对政府的决定做了说明,所有这些争论最终发展成为观点上的深刻分歧。然而,不管麦克阿瑟的洞察力多么敏锐,他的信念却是一部分建立在对于世界形势缺乏了解的基础上(无疑,对于完全在他视野之外的国内政治因素,他更是缺乏了解),一部分建立在他这个战区司令本人对情报显然作出了错误判断的基础上。

    在参议院听证会上,当就麦克阿瑟的整个方案进行辩论时,参议员林顿·约翰逊向麦克阿瑟将军问道:“……设想我们采纳了你的方案,中国人被赶回到鸭绿江对岸,但他们仍然拒绝签订一项条约和达成一项有关他们未来命运的协议,那么,届时你将采取何种对策?”

    麦克阿瑟根本提不出任何方案。他只是说,他认为那不过是一种荒诞不经的假设。

    “他们退了回去,”约翰逊参议员追问道,“我们将采取何种行动?”

    “我认为他们不可能继续处于交战状态”,麦克阿瑟答道。

    麦克阿瑟对于事物的判断有时不仅仅凭主观的想象,他还以对情报的错误分析为依据。我认为,一九五0年十月初,在威克岛会议期间发生的事情可以证明这一点。当时,杜鲁门总统接见了他,同他私下讨论了朝鲜的形势问题。从那次会见的谈话记录来看,麦克阿瑟估计,即使中国人真的参战,他们可望在朝鲜保持的最大兵力至多不过五、六万人。这意昧着联合国军可以享有二比一的优势。可是,事实上,中国人在十一月底发动攻势时,估计兵力达到了三十万人。麦克阿瑟的这一错误判断是导致他发动“圣诞节回国”攻势的一个原因,这次攻势几乎把我们引向灾难的深渊。

    麦克阿瑟并不总是坚信我们能够把中国人赶出朝鲜的。一九五一年十月十日,敌人迫使我撤回三八线以南的大规模进攻已结束很久,我部队还在医治中国人新中攻势所造成的刨伤,麦克阿瑟电告参谋长联席会议,如果美国的决心中变(即:不派增援部队,不对红色中国实施海上封锁,不许轰炸满洲,以及不利用蒋军反攻大陆),那么,按照他的意见,“如无极其重大的政治原因,则我军应以作战情况允许的速度尽快撤离朝鲜半岛。”只是在联合国军恢复了元气、信心和斗志并再次接近三八线之后,特别是一九五一年四、五月间粉碎了中国人第五次钳形攻势之后,人们才重又听到了要求取得彻底的决定性胜利的呼声。

    至于我本人,从来就不相信,如果俄国人不派兵介入战争中国人能够把我们赶出朝鲜。而且,我和第8集团军全体官兵一样都深信,如果我们得到命令,我们完全可以在一九五一年春季一直推进到鸭绿江边。然而,发动这样一次进攻所付出的代价将远远超过我们所能获得的好处。

    我们可能要遭受惨重的伤亡(我当时估计,伤亡人数可能会达到十万之多),因为我们要在朝鲜北部的所有崎岖地形上与顽强抵抗的敌人进行激烈的战斗。可是,我们所能得到的只不过是若干平方英里的不毛之地,而且,在这片不毛之地的大部分地区,今后若干年内还会有大量游击队活动。随着我们自己的补给线拉长,敌人的补给线就会缩短。

    他们最终就会以巨大的兵力,凭借宽阔的鸭绿江和图们江与我们相抗衡。我认为,只是把敌人压回去而不能歼灭其相当的兵力,实在是很不合算的做法。

    战役结束时,我们的战线就会由一百一十英里拉长到四百二十英里,控制这条战线的主要责任就会落在我们头上,因为,这远远超出了南朝鲜军队的能力。接着,就会出现这样的问题:美国人民会赞成保持一支扼守这条战线所必需的庞大军队吗?他们能同意为进行满洲之战所付出的血的代价吗?他们会全力以赴地投入在亚洲大陆这个无底深渊所进行的一场无休止的战争吗?我当时和现在都认为,对于这些问题的回答就是一个“不”宇。

    将军与总统之间争执的另一个突出的问题,是打全面战争还是打有限战争的问题。从某种意义上说,这只不过是把“胜利还是相持”的问题用更为明确的语言表达出来罢了,也就是我们是应该全力以赴、一劳永逸地击退“红色浪潮”呢,还是尽量适当克制我们的行动,把战争限制在朝鲜境内?不过应当指出,对杜鲁门政府进行派性攻击的人,特别是以已故参议员罗伯特·塔夫脱为首进行攻击的那些人,并不赞同在亚洲或者欧洲进行一场全面的地面战争。

    相反,他们似乎只是提供了一种早期的“美洲堡垒”理论的最新翻版:不要增加我们在德国的驻军;停止进一步向欧洲提供援助;重新制定一项建立在退出欧亚大陆基础之上的全球政策(这是前总统赫伯特·胡佛的建议);利用海、空力量保持美国的利益(在麦克阿瑟的方案中,甚至将这一战略运用到了远东地区)。总之,应该建立一种美国强制下的和平,以便在海、空力量的庇护下使西方文明得到保护,就象在英国强制下的两个世纪的和平时期所做的那样。

    在麦克阿瑟被免除职务很久之后,这个方案才得以强行贯彻。艾森豪威尔政府上台以后,其基本宗旨就是利用海军力量来控制海洋,利用以原子弹进行“大规模报复”相威胁,来维持现存的疆界。此时,人们认为,我们再也不能向海外输送大批地面部队了,所以,陆军和海军陆战队的地位也就可以降低了。财政部长说,我们的财力只能支持我们打一种战争,即中场大战。国防部长则很肯定地对我们说,如果爆发战争,那一定是一场大战。

    最后,杜鲁门—麦克阿瑟之争使当时人们尚未普遍认识的一个问题变得突出了,那就是在决定国家政策的问题上,文职政府是否拥有对于军事当局的统帅权。

    就我记忆所及,在朝鲜战争之前,美国总统的权威受到现役军官无论何种形式的挑战的先例只有那么一次。那就是在林肯执政期间,乔治·麦克莱伦将军公然无视总司令的命令。杜鲁门先生本人在其《回忆录》中专门提到了这件事情。他写道:“林肯常常直接向麦克莱伦(当时任整个联邦军的司令)下达命令,可是,这位将军却不予理睬。

    全国有半数的人都知道麦克莱伦怀有政治野心,并且知道反对林肯的那些人企图利用这种野心。林肯是个宽宏大量的人。但是,在施了很久之后,他终于被迫解除了联邦军最高司令的职务。”(关于对麦克莱伦和麦克阿瑟的详细评论见附录1)将近一个世纪之后,历史再次重演。据杜鲁门先生说,甚至在一九五O年以前,麦克阿瑟就不尊重总统的权威。

    起初,他还有所收敛,后来便越来越放肆了。最后,他即使没有故意蔑视上级的合法命令,至少也是对这些命令明显表现出漫不经心的态度。杜鲁门先生把麦克阿瑟的行动归纳为“违抗命令”。其他的人则使用了一些比较文雅的字眼,从“蔑视”到“公开反抗”等等无所不有。

    就象国际舞台上古往今来的一些其他伟大人物一样,麦克阿瑟似乎常常以为,他那天生的、常常为其军事成就所证明的才华,使他的判断能力远在他所有的同级乃至上级之上。可是,事情的关键并不在于是军事领导人还是政治领导人的判断能力更高一筹,而在于以总统为代表的文职政府和以战区司令为代表的军事当局哪一个有权决定美国应当采取何种行动。在作出决定之前,麦克阿瑟当然有权也有责任就某个预案是否正确发表自己的看法,并提出他个人的建议。但是,在总统的决定向他宣布之后再与总统争辩,那就既不是他的特权,也不是他的职责所能允许的了。在政治派别自私狭隘的偏见表现最烈的时刻,在为一九五O年秋末冬初令人痛心的失败感到羞耻和灰心的时刻,相当一部分美国公众似乎忘却了这些基本常识。

    这些就是朝鲜战争期间美国舞台上的两位重要人物争论的主要问题,而政府当局与军事当局究竟谁领导谁的问题是这次战争引起的最为敏感的问题。按一般的推理,根本不应该出现这个问题。这个问题涉及的原则就象我们政府工作中的所有原则一样,是早巳存在、牢固确立了的。

    如果只是这么一条原则而没有那些有意无意地缠绕着它的虚构的问题和琐事,那么,我相信,大多数美国人本来会毫不犹豫地支持总统的。可是,这场争论与其他令人伤脑筋的问题纠缠得太深了,那些问题又没有一个能完全为人们所理解。其中一个存在很久的问题是我们的中国政策问题。其他的问题则是:原子武器的正确使用问题;有限战争的最新思想问题;以及在符合联合国宪章所规定的义务助前提下对主权的含义作必要修改的问题等等。

    可是,根本的问题仍然是:杜鲁门总统或麦克阿瑟将军究竟谁有权来决定我们对外政策中的重大问题?正如马歇尔将军在参议院对此事作证时所表明的那样:“这个问题是由于司令的地位与参谋长联席会议、国防部长和总统等人的地位存在着固有的差别所造成的。作为司令官,其使命仅限于在一个特定的地区内对材一个特定的敌人;而作为参谋长联席会议、国防部长和总统,则要对美国的整个安全负……并且必须处理好在世界某一地区的利益和目标与在世界其他地区的所有利益和目标这两者之间的利害关系。”

    “在我们的军事史上,这种分歧并不新奇,”马歇尔将军接着说,“要说有什么新奇的并使我们必须罢免麦克阿瑟将军的事情,那就是一位局部地区的战区司令公开地对美国的对外政策表示不满和反对,这种情况确实是前所未有的。(他)……发展到与美国的既定政策如此格格不入的地步,以至于是否还应当允许他继续行使一个战区指挥官通常所拥有的那种作出决定的权力都成了很大的问题”。

    可是,我认为,下述情况对国家来说还是值得庆幸的,那就是问题毕竟暴露出来,而且,选举产生的政府首脑完全由于他个人内在的恢弘气魄和高度勇气而不是由于来自政界或军界的任何压力,对问题进行了断然处置。总统的决定可以说是一项有力的预防措施,能够防止再度出现这样的情况,即在今后某个重大的危急关头,其他人也会跃跃欲试,企图向宪法赋予总统及其顾问们的制定对外政策的权力挑战。

    一九五一年三月二十日,参谋长联席会议通知麦克阿瑟:国务院正在拟制一份总统声明,大意是,联合国准备讨论解决朝鲜问题的条件。三月二十四日,这项声明即将最后定稿。声明将表明,我们愿意在撤回到战前分界线的基础上解决问题。

    可是,三月二十四日这一天,麦克阿瑟将军擅自发表的一项声明拆了总统的台,激怒了我们的盟友,而且使中国人处于如果真要接受邀请进行谈判就会大丢其丑的难堪境地。了解实情的人都不会天真到认为:麦克阿瑟不知道自己的声明可能会造成何种后果,也没有任何公开反对总统的企图。三个多月以前,亦即一九五O年十二月六日,杜鲁门总统向全体官员,包括麦克阿瑟将军在内下达了一项专门指示,禁止发表有关国家对外政策的任何公开声明。

    但是,专门下达这项指示实际上是多此一举。根据我国宪法,制定对外政策向来就不是军人份内的事情。那是由选举产生的官员所特有的、专门的和正当的职责,这个规定不会因为有谁评论现行政策“正确”与“否”而受到影响。只有在专制制度下,一个军事领导人才能独断专行,由他一个人决定在与其他主权国家交往时本国应采取何种方针。

    麦克阿瑟的一句话就打乱了国务院发表声明的计划。

    因为,麦克阿瑟说:“因此,敌人现在一定已痛切地认识到:联合国如果决定改变其把战争限制在朝鲜地区的容忍态度,而把军事行动扩大到中国沿海地区和内陆基地,肯定会使赤色中国在军事上面临迅速崩溃的危险。”这句话如此明显地主张彻底改变联合国的方针,以至于无论是谁,如果借口说这仅仅是如某些人所说的那样,表达了一种想接受别人投降的愿望,那都是很难令人信服的。即便是要求对方投降(麦克阿瑟的话中包含了这个内容),也会给人以联合国的立场突然变得强硬起来的感觉,而且还会使我们丢丑,那就是我们当时根本没有力量对中国施加压力。

    这就是军界与政界之间摊牌的背景。摊牌的时刻立即就到来了。结局是不言而喻的,就象在每个民主国家总会出现的那样。行政当局享有最高权力面且必须享有这种权力。此外,这也是关于朝鲜问题的两种思潮之间酝酿已久的一次摊牌。一派坚决主张争劝彻底的胜利”;具有同样真挚感情和爱国热忱的另一派则坚决主张停战,以便赢得时间来扩充我们的实力并加强盟国的力量。

    这次摊牌并没有终止那场主张停火的人们与拥护“军事胜利”的人们之间进行的、人所共知的所谓“大辩论”。

    问题本身随着麦克阿瑟的职务被撤销而得到解决。但是,辩论仍在继续,这主要是因为南朝鲜总统李承晚坚决反对进行任何谈判,并常常大肆宣传这一立场。他的以武力实现朝鲜统一的强烈主张,大大增加了双方在进行旷日持久的停火谈判时我国政府遇到的困难,而且,也使我感到大伤脑筋。可是,我在内心对这位勇敢的老者还是敬佩和同情的。他对自己所憎恨的共产主义从不妥协,他对自己的人民极其偏爱,他在追求无法实现的目标时总是楔而不舍,但是,真正能够使他为之所动的却只有他那对自己国家的深沉的爱。正是为了自己国家的事业,他多年流亡在外,并且一踏上自己的国土就贡献出自己的全部精力。

    考虑到他的自我牺牲精神以及内心燃烧着的炽热感情,我认为他采取现在这种坚决反对谈判的做法是必然的。

    可是,我们这些必须处理军事上实际事务的人往往感到他碍手碍脚。他一再坚持说,朝鲜有巨大的人力资源,只要我们向他们提供武器,他们就能为我们作战。可是,我们十分清楚在中国人发动的每次攻势中某些南朝鲜军队逃跑时究竟丢弃了多少万美元的武器装备。李还坚持说,他之所以将自己的部队投入了战斗,是因为考虑到联合国全力承担了“统一朝鲜并严惩共产党侵略者”的义务。他说,他永远也不会同意葬送统一大业的停战协定条款,因为,这些条款意味着“朝鲜民族的灭亡”。由于联合国为防止朝鲜战争发展成第三次世界大战已决心停战,李最终作出了让步。

    但是,我相信,这位不屈不挠的爱国老人决没有真的放弃他所梦寐以求的目标。然而,在谈判过程中以及在谈判开始之前,他的不妥协的态度,他那些美国的支持者们起劲发出的叫嚷,有时甚至是出于自私的目的而发出的叫嚷,却给我们的谈判增添了许多障碍,使我们许多人私下都希望他能远远地走开。联合国从未承担以武力统一朝鲜的义务。只是在仁川登陆之后第一次出现乐观情绪的高潮时,人们才对为全歼敌军而越过三八线作战的问题多少作了点认真的考虑。中国人一加入战争,联合国军实际上几乎再没有认真研究过向鸭绿江发动新攻势助问题。当第8集团军再次开始向北推进时,我们的目的不过是完成指定的任务,“击退敌人的侵略行动,在朝鲜恢复国际和平”,这基本上就是恢复战前的态势,维持一种必然要出现的对峙局面。

    就在麦克阿瑟被撤职的前几天,情况似乎已经表明,战场不久将出现相持局面。我们的攻势还在向前发展。但是,我闪所计划的全部进攻行动都是目标有限的行动,进攻的目标经过精心的选择,通过的地形预先进行过充分的研究,而且,每次进攻都十分小心谨慎,注意防止因积极性过高而不顾后果地实施追击,以致造成不应有的甚至是惨重的损失。我们已经运用了全部现在兵力,除非我们能得到强大的增援,或者受命向鸭绿江——图们江—线推进(这两种情况都不可能出现),否则,我们打算继续按目前的方式打下去。我把自己的打算向麦克阿瑟作了,汇报,他亦表示赞同。

    敌人似乎仍处于防御态势,但我还是提醒各军军长,敌军在部署上既适于防御,又适于进攻,他们能够随时发起全面攻势。这时,我已接到在东京任职的新任命,詹姆士·范弗里特中将则正在去第8集团军赴任的途中。

    出奇的新闻往往是以最平淡的方式传播出来的,我突然晋升为联合国军总司令的新闻也是这样传到我耳中的。

    事实上,在这条新闻传到我这里时,我并没有意识到它的含意,因为,这个消息是一位战地记者以提问的方式传出来的。我已无法想起这位记者的姓名,可是,我记得他提出的问题是:我是否应该接受他的祝贺。这个问题,我并不明白其中的含意,除非我当时已经知道麦克阿瑟将军被兔去了职务,并且知道我已被选定接替他的职务。我只是回过头去盯着那位记者,开诚布公地告诉他我不懂他谈的是什么意思。当时,我正陪同陆军部长费兰克·佩斯视察前线,领他参观第936野战炮兵营(原为国民警卫队的一支部队,来自他的家乡阿肯色州)和其他一些单位。我当时所关心的主要是这次参观,而不是什么神秘问题的隐晦含意。

    第936野炮营是一个155毫米榴炮营,刚刚通过了最后的训练考核,被批准投入战争。当时,他们受领了一项射击任务。营长和各连连长邀请佩斯部长牵动技火绳,发射首发炮弹。一些士兵在这发炮弹上用粉笔画上猥亵的东西表示对弹着地区中国人的“问候”。部长立即欣然接受了邀请,发射了首发炮弹,然后很得意地退到一边等候射击结果。这时,陪同部长的两位军官(都是我的老朋友)埃德。赫尔中将和特德·布鲁克斯中将决定嘲弄他一下。

    “您难到没有想到,”他们一本正经地对他说,“作为一名文职的非战斗人员您是不应该开炮的吗?这下子,您如果落到中国人手中,那就完了!”

    一丝惊楞的表情在部长那张平时相当平和的脸上大约只停留了半秒钟的时间便一掠而过。我们都忍不住纵声大笑起来,他也跟着笑了起来。接着我们继续去参观其他单位。几小时之后,当我了解到那位记者向我提出的那个我曾觉得很荒谬的问题的真实含意时,又轮到我感到惊讶了。

    我接到命令,让我去东京赴任,接替那个一直是我上级的人的职务。

    我最后一次会见麦克阿瑟是四月十二日,在东京的美国大使馆图书馆里。这是一次我不愿提起的会见。在我以前撰写的一本书中,我曾对这次会见作过详细说明(见附录2)。这里,我只想强调一件事,这件事当时绘我的印象特别深刻。

    那就是麦克阿瑟显然不存在怨恨或不满的情绪。他象往常一样镇静和彬彬有礼,而且,我认为,他在接受这项决定时似乎表现出较高的涵养,大多数人处在同样情况下也许做不到这一点。不用说,正如我当时记录的那样,他的不屈不挠的精神看来丝毫没有减退。

    我之所以说“最后一次会见”麦克阿瑟,是因为这是我与他的最后一次正式谈话。其实,我在机场还见过他一面,为他举行了一次简朴的告别仪式。他握着我的手,诚心诚意地说:“我希望你在离别东京时能当上陆军参谋长。如果允许我选择自己的接班人,我本来也是会选上你的。”这句充满真情实意的简短的话语,体现了这位伟大军人政治家极其宽阔的胸怀。这句话对我来说是意味深长的,它证明了早在四个月之前当我就要离开麦克阿瑟的办公室去接管第8集团军时他对我表示的信任。就在不久以前,当联合国军再度向三八线挺进时,他曾再次表示过这种信任。当时,他对我说:“你已经做到了人们力所能及的一切事情。”

    [十三年之后,由于公布了一则麦克阿瑟将军于一九五四年一月会见普利策奖金获得者吉姆·卢卡斯的报道,出现了一个莫名其妙的问题。据卢卡斯先生说,在这次会见中(会见记录一直到麦克阿瑟将军去世之后才得以公开),麦克阿瑟将军把我列在其待选的野战指挥官名单末尾。考虑到麦克阿瑟将军在朝鲜对我谈过的全部情况,以及他后来在华盛顿对参议员哈里·凯恩的谈话(内容如下),这则报道使我迷惑不解,我无法对此作出满意的解答。

    参议员凯恩:“在我看来,应该提一提陆军上将道格拉斯·麦克阿瑟对李奇微将军极其敬重的态度。在答复我最近的一次询问时,麦克阿瑟将军说:‘在那位非凡的军人沃克将军死后,是我提议并挑选李奇微将军担任第8集团军司令的。我认识李奇微将军已有三十年之久。我认为,在远东地区大概找不出比李奇微将军更为合适的人选取了。我对他极其敬佩不仅因为他是一个优秀的军人,而且还因为他是位很有修养的人和我所认识的最杰出的人物之一。我不知道还有什么人他们间相互的合作、虔敬和忠诚能超过李奇微将军与我之间的这种关系。’”(摘自《国会记录》——美利坚合众国——第82届国会第一次会议的程序与辩论。第97卷,华盛顿,1951年5月10日,星期四——第85号)对于麦克阿瑟回答参议员凯恩时所说的上面的最后一句话,我深表赞同。——作者]我是与弗兰克,佩斯一道乘其“星座号”飞机到的东京。当晚,他又将飞机借给我返回朝鲜,因为他的飞机比我那架老式的B—17飞机快得多。这次飞行几乎葬送了我的性命。驾驶员是一个不熟悉朝鲜机场的人。凌晨一时,他把我们降落在一个供轻型飞机起降的简易机场上,错把这个机场当成了指示他降落的K—2机常不知道是由于罕见的好运道还是上天有眼,驾驶员躲过了一座他根本没有发现的山头,这座山头矗立在机场的一侧,只差几码就碰上了我们的翼尖。接着,驾驶员突然发觉自己正倾侧着在一条至多可供C—4F运输机作临时着陆之用的跑道上降落。

    于是,他不得不猛然采取紧急制动措施,以防止飞机一头扎在稻田里。飞机向左歪斜着停了下来。可是,飞机地勤组组长那些最好的瓷器却全部摔得粉碎,飞机的四只轮胎也爆裂了。这意昧着,在从数百英里之外弄到新轮胎并运到朝鲜之前,弗兰克·佩斯只好不乘自己的专机办事了。

    在我临起飞之前,弗兰克·佩斯曾很亲切地对我说了些赞誉的话,这次事故则加深了我对这些话的记忆。他说:“马特,你使这支军队不仅在军事上创造了奇迹,而且在土气上也创造了奇迹。”而现在,在侥幸绕过机场边上的山峰、在这条小得可怜的跑道上令人胆战心惊地着陆几分钟之后,我想,我们的驾驶员又创造了一个机械上的奇迹,使我们大家都得以安然无恙地在这里着陆。

    我们在战场上的下一步行动是“无畏作战”行动,即穿过“犹他线”继续向“怀俄明线”实施进攻。我们十分清楚敌军在其后方地域尤其在铁三角地区的集结情况。因此,在供大家研究讨论的几个可供选择的方案中,我们加进了一个向“堪萨斯线”撤退的方案。几天的坏天气就会使许多道路变得无法通行,并使我空中支援受到影响,这样,就有可能使我们被迫停止进攻,而且,如果敌军实施抵抗的兵力十分强大,我们甚至还需要将部队撤回到适当的位置上。

    我通知诸位军长,只有接到我的命令才能撤退,而且,应当按照事先规定的多道调整线进行撤退。不应采取消极防御,而应采取旨在给敌人以最大限度杀伤的机动的、积极的防御。

    然而,在这些行动开始之前,我已经将第8集团军的指挥权移交给范弗里特将军,我则飞往东京去接受新的职务了。但是,出于对老上级的礼貌我坚持不住在麦克阿瑟所在的总部。直到他最后离开了东京,我才住进帝国饭店。

    我在那里安顿下来八天之后,中共军队发起了他们第五阶段的钳形攻势,企图最后一次竭尽全力将我们赶人大海。

    这是一次以强大的兵力发动的进攻。其实,如果中国人早先能诱使我们任何一支为数可观的部队实施无计划的追击,他们本来也许会使我们遭到重大损失。然而,实际情况是,除某些南朝鲜军队迅速溃散并丢弃大批装备和大片土地外,我们的部队很出色地进行了防御———我早就相信他们能够做到这一点。由于一个南朝鲜师的溃败,其他联合国军部队的翼侧便很危险地暴露在敌人面前,从而使这些部队也被迫放弃了阵地。这件事还迫使我于四月二十六月从我的参谋班子中派出一名我所信赖的军官保罗·史密斯中校(现为少将)向范弗里特将军转达了一项建议,即请范弗里特派一位将军去见莫西奥大使,催促他在除摩尔特将军之外无其他人在场的情况下向李总统呈交一封信,大意是:李的首要问题是保证其军队能有得力的领导。这一点李根本就没有做到。所以,我想直截了当地告诉他:从他的国防部长起,各级指挥官都存在着领导不力的严重问题,南朝鲜大部队在战斗中一再失利便证明了这一点。我觉得应该让他知道,在他在自己的军队中建立起有力的领导之前,我不打算再同他讨论装备更多的南朝鲜部队的问题。他们已经毫无道理地丢弃了许许多多十分紧缺的重要装备。

    我相信此信送到了李的手中,不过却没有收到回音。

    相反,他继续向我们施加压力(其中有些压力是由李的代理人和支持者通过美国报刊施加的),要求武装“朝鲜大批赤手空拳但富有经验的人员”。他坚持说,他们始终都拥有这种巨大的人力资源,可是一直未能加以利用。

    然而,这只不过是我当时遇到的一个很小的问题。而且,如前所述,我实在不忍心抱怨这位老斗士为建立一支由自由战士组成的士气高昂、勇于献身的典型军队而作出的种种努力。他希望,这支军队会一心期待着他发出将入侵者赶出朝鲜最后一寸土地的号令。

    接任联合国军最高司令职务之后,萦绕在我脑际的问题在很大程度上是如何处理好我本人与范弗里特将军以及战场上其他军长们的关系。我无意象麦克阿瑟在我指挥第8集团军之前所做的那样大权独揽。而且,对于一位远离战场的指挥官来说,在有他自己所信赖的能干的下属指挥官在现地指挥的情况下还企图抓住作战指挥权不放,我从不认为是正确的。相反,我决计要采取在欧洲战场司空见惯的办法实施指挥,即我将根据集团军司令范弗里特将军的声望和出色才干给他以适当的行动自由,与此同时,对他的主要作战方案我仍然保留批准权与否决权。在分析这些作战方案时,我打算每次不仅要亲自与集团军司令本人商讨,而且还要亲自分别与第8集团军的各个军长、师长进行商讨,这些人我都很熟悉。我希望自己每次都能象具体负责实行这些计划的军官一样,切实了解和熟悉有关情况。亲自了解到这些人的看法,同时再掌握全部其他的有关情况,我便可以定下正确的决心——对于这种决心,我作为战区司令是要由个人承担全部责任的。

    在定下决心的过程中,我总是牢记杜鲁门总统和参谋长联席会议向我传达的带政策性的明确决定,其中最紧要的一项决定是,避免采取任何可能扩大战争规模并进而导致一场世界大战的行动。范弗里特将军、驻远东海军司令乔伊海军中将和驻远东空军司令斯特拉特迈耶将军都接到了关于这一基本指导原则的通知,各位司令都表示充分理解并完全赞同这一原则。

    在接到华盛顿的有关最新任务和方针的扼要说明之前,为与上述带政策性的明确指示保持一致,我对第8集团军和南朝鲜军队的进攻行动采取了适当的限制。我专门指示范弗里特将军,事先未经总部批准不得在“怀俄明线”以外地区采取大规模作战行动。同时,我希望,第8集团军司令在“犹他线”以外地区采取任何进攻行动时都要提前向我报告。

    我之所以采取所有这些措施,是要刻意避免重犯我前任的那些错误。在任何情况下,我在作战指挥上(或者说,在任何战场的指挥上)的一个基本原则都是:指挥官要沉着镇定,要努力运用军事学术的基本原则,要力争用自已的方式、方法完成受领的任务。我不想采取麦克阿瑟将军那套办法。麦克阿瑟诚然有其独断专行的一面,但其军事上的经验比他手下的任何一名军官都要丰富得多。他曾经否决过来自下级指挥官和主要参谋军官几乎是一致的强烈反对意见,结果取得了一次辉煌的胜利。所以,他后来相信自己的判断远远超过对其手下任何一名指挥官的信任,这也就毫不足怪了。但是,除上述原因外,在朝鲜战争最初六个月内,他对自己所属的两名地面部队指挥员中的一名实际上本来就缺乏信心。因此,他自然会认为,应该对所属指挥宫严加约束,并由他定下重大作战行动的决心,而仅仅给下级以执行具体任务的处置权。

    可是,我对有勇有谋的野战指挥官范弗里特将军是完全信赖的。此外,我始终认为,对于下级野战指挥官提出的看法必须十分认真地加以考虑。即便如此,我还是不得不处理那个任何部门的最高长官,无论文职的还是军职的,都会常常遇到的很难掌握分寸的问题,即正确处理以下两者的关系—一方面,要给下级指挥官以足够的行动自由,以便其执行比较原则的上级指示;另一方面,又要象对整个工作的成败负有最终责任的领导人那样,对下级的行动进行适当的监督。我在东京任职的整个期间,一直力求处理好这种关系。

    当时有两项亟待完成的任务。一项是全面掌握和领会我在华盛顿的上级赋予我的首要使命亦即保卫日本。这意味着我必须立即重新审查目前的计划,并使之适合于对付苏联可能发动的(虽则可能性不大)进攻。另一项是在我的职权范围之内采取一切切实可行的措施,贯彻杜鲁门总统坚定而明确地指出的方针,即防止将朝鲜战争扩大成为一场全面战争。

    为完成这两项任务,我认为需要做的第一件事情是,要求对前几个月由参谋长联席会议下达的或者说由总统和国务卿发表的政策派生出来的许多指示作一扼要说明。除了在遭受进攻的情况下保卫日本这一任务之外(这是由我国政府一方赋予我的任务),我作为在朝鲜的联合国军总司令还负有其他一些任务。这些任务是:维护联合国军的完整;继续在朝鲜打下去(我认为,只要胜利的可能性较大,我们就会打下去);继续封锁朝鲜的整个海岸线;稳定朝鲜局势,如被迫放弃朝鲜,则撤往日本。还有其他一些任务仍然列在我们的计划之中,但由于联合国军地面部队在一九五O年中底被迫采取了后退行动,这些任务已毫无意义。

    此外,还有一件事也非常重要,那就是我必须就范弗里特将军今后作战时行动自由的限度问题毫不含糊地向他表明我的想法。要做好这两件事情,又得同时采取两个行观。

    第一个行动是,在起草出措词严谨的指示信之前,要对第8集团军和南朝鲜军队的进攻加以适当限制(这些指示信不仅要送给范弗里特将军,而且还要送给乔伊将军和斯特拉特迈耶将军。这些信件将扼要而明确地规定我们的各项目标和方针)。我立刻采取了这一行动,重申了范弗里特到达的当天我曾下达过的口头指示,并补充了这样一条规定:“我希望,未经本司令部批准,不得在‘怀俄明线’(临津江与汉江汇合处——铁原——华川水库——大浦里)以外地区采取大规模作战行动。如你认为局势有利,则你在犹他线’(离‘怀俄明线’有相当一段距离)以外地区发动进攻之前,务请预先向我报告。”

    针对两件事情须采取的第二个行动是草拟指示信。尽管在接到来自华盛顿的有关当前任务和方针的扼要指示之前这些信件也许无法最后定稿,但我还是指示立即着手指示信的起草工作。在此期间,我还与三位司令进行了坦率的交谈。当一九五一年四月二十五日正式下达这些信件时,各位司令对信件内容都早已表示了自已完全赞同的态度。

    随指示信还附有一份备忘录。这样做的目的,我解释说,是为了提供某些与指示信密切相关的指导原则,这些原则本身就是同指示信一样极为重要的指示。下面是备忘录和给范弗里特将军的指示信的摘录。在附录3和附录4中,刊载了给乔伊将军和斯特技特迈耶将军的内容不同的指示情摘录。

    备忘录摘录

    “进行目前的作战行动有可能使敌对行动规模扩大,进而导致一场世界范围的战争。这种危险性是严重的,始终存在的。它使本战区的所有部队,尤其是那些具有进攻能力的部队,承担了重大的责任。

    “在执行赋予我们的任务的过程中,这种责任是始终存在的。它不仅要求我们对自己的上级负责,而且要求我们责无旁贷地对美国人民负责。要履行这一职责,每个指挥官就得充分注意自己助行动可能招致的后果;就必须使所属部队对自己的行动同样充满责任感;就必须建立起经过反复检验、自己感到满意的有效机构来保证对所属部队的进攻行动及所属部队对敌人的行动作出的反应实施控制。归根结蒂,指挥官本人必须下决心杜绝所属部队可能使目前冲突扩大的任何行动。除非完全符合指示信的精神,否则不得采取此类行动。

    “因此,我期望每个担负主要责任的指挥宫,不论职位高低,每日,实际上每时每刻,在执行自己的任务时都必须牢记:履行自己在这方面的责任是一项神圣的使命。”

    以上内容对地面部队不象对我所统辖的海空军部队那样适用,海军一艘舰艇或空军一架飞机的行动都可以造成极其严重的后果。尽管如此,正如我后来视察范弗里特将军的司令部时向他口头指出的那样,这些内容却能促使他们对这一关键问题引起高度的重视。

    给第8集团军司令的指示信摘录

    (一)

    1.除非情报部门证明需要采取新的方针,否则,你必须根据如下分析作战:1与你对抗之敌决心将你赶出朝鲜半岛或者将你就地消灭。

    2苏联随时都可能以其陆、海、空军之现有实力进行直接武装干涉,在本战区与联合国军作战。如苏联进行此类武装干涉,则中共和北朝鲜人民军之军事力量将发动攻势与之相配合。敌军的所有这些行动都将选择在适当的时机实施,以便最大限度地利用天候条件及其对地形所产生的影响。

    2.此外,你还应当根据以下前提作战:1你的部队将补充到并维持在接近编制装备表规定的实力水平上。但是,你不会得到大量战斗部队或勤务支援部队的加强。

    2目前尚无法预料你们的作战行动会持续多久。

    3你随时有可能奉上级之命撤至某个便于防守的地区,并在那里不定期地坚守下去。

    4你随时有可能奉上级之命主动撤退,以便及早撤离朝鲜半岛。

    (二)

    1.你的任务是击退敌军对你目前所占据的大韩民国领土(及那里的人民)进行的侵略,并且应与南朝鲜政府合作,在韩国土地上共同建立并维护秩序。执行此任务时,你有权在朝鲜三八线以北地区进行地面作战,以及采取登陆和空降作战等各类军事行动,但不得违反2.1之规定,而且,在任何情况下,你所属任何部队,无论规模大小,均不得越过韩满边界或韩苏边界。你所属非南朝鲜部队,甚至不得在靠近上述边界的地区作战。

    2.执行该任务时,你应按下列规定行事:1只有接到我的命令,你的大部队才可在发起进攻时越过临律江与汉江汇合处——铁原——华川水库——大浦里一线(即“怀俄明线”)。

    2你应该指挥部队集中力量使在朝鲜的敌军人员与装备遭到最大损失,同时,应始终保持你所属各大部队建制的完整,保障部队的安全。采取零敲碎打、不断削弱中共和北朝鲜军队进攻能力的办法对于实现这一目标能起到很大作用,而且,此举还可破坏中国的军事威望。

    3你应在后勤保障和地形条件允许的情况下,在尽可能减少人员和装备损失的前提下,最大限度地实施火力机动,以使你的集团军保持进攻精神,掌握主动权。

    4你应利用敌人的每一弱点,并抓住一切有利的机会向世界表明与你对抗的敌人战斗力的真实水平。

    5(略)

    6仅以占领地域为目的之行动本身意义不大或者毫无意义。

    7驻远东海、空军司令执行受领之任务时,你应向他们提供支援。

    (三)

    1.这些指示(你制定作战计划的依据)的副本,只能提供给你手下“应该了解情况”的美国军官。但是,指示中旨在防止扩大朝鲜战争的限制性规定,应在必要的范围内进行传达,以保证你所属部队人人皆知,都能照办。

    2.(略)

    3,如你要求澄清指示中之任何一项内容或建议,对指示的某些条文进行修改,欢迎你随时与我商讨。

    美国陆军中将马修·李奇微

    可是,我的新职务所负的责任远远超出了在朝鲜行动的范围。所以,我有时都怀疑自己是否因重视一项任务而忽视了另一项任务。国务卿约翰·福期待·杜勒斯在东京访问我时曾就我新近增大的责任表示了他的感受。“我希望,”他说,“你不要认为你在签订条约的问题上所担负的责任是你所担负的责任中较次要的责任。”(日美条约当时正处于高级谈判阶段,杜勒斯是该条约的主要发起人)我向他保证不会这样做,并补充说,我将尽快全力以赴地投入这项工作。我指出,在这第一周内,我已有意识地将保卫日本的有关问题放到了优先的地位,因为,苏联具有这样的能力,即可以在我们得不到任何预警的情况下将其远东的军队投入这一战区与我军作战(国防部曾这样通知过我),而且,他们走这步棋的可能性也是不容忽视的。

    因此,苏军的这种能力给我造成的问题较之我面临的任何其他问题都要紧迫。

    我知道,要想成功地保卫日本,我必须熟悉这里的地形情况以及我们在日本的部队和设施的现状。因此,我很快便开始对关键的地区进行一系列的侦察飞行和地面现地勘察。这种活动在后来的一个阶段,几乎把我每天的时间都占得满满当当。与此同时,我决心竭尽全力来防止在日本的某些军营中仍然盛行的那种只作守备打算的思想再度抬头。我还希望知道我们的部队驻在何处,他们的实力如何,他们的指挥官水平怎样,以及如果苏联果真发动突袭我们如何采取最佳作战方案对付之。到达东京后不几天,我便围绕北海道的整个边缘进行了一次侦察飞行。我觉得,北海道很可能是俄国人进犯的第一个目标。在这次飞行中,我尽可能飞抵接近苏联领土的地方——隔着拉彼鲁兹海峡,距苏联只有几英里。我还乘坐自己的B—17型飞机对其他地区进行了侦察。有时,我让驾驶员贴着树梢飞行,这样,我便可以对有朝一日我们的部队可能作战的地区的地形情况仔细地作一番调查。(一次,我带上夫人,请她进入轰炸员座舱尽情观赏就在我们脚下飞旋的山丘和森林。

    她立刻得出结论说,在飞机有机玻璃罩里掠树梢飞行还不如在楼上有趣。在楼上,地面看上去距我们还要远一些。)尽管我知道苏联未必会发动进攻,而且,我也决心贯彻杜鲁门总统的指示,避免发生可能把我国卷入一场世界战争的任何行动,但我还是全力以赴地设法使我的部队保持战备状态,准备对付敌人能够采取的行动,而不是我们认为他们会采取的行动。

    保卫日本是由我自己的国家赋予我的责任。作为驻朝鲜的联合国军总司令,我还有其他的新任务:只要我认为战争还有希望给我们带来胜利,就继续在朝鲜打下去;继续封锁朝鲜的整个海岸线;稳定朝鲜的局势,或者如果被迫放弃朝鲜,就把联合国军撤往日本。我接替新职务之后,随之而来的还有各种各样的行政事务。其中一件我以为非常满意的事,就是我纠正了我认为对一位杰出的军官多伊尔·希基少将虽属无意但却是不重用的做法。一九五O年九月,阿尔蒙德少将离开东京去指挥第10军参加仁川作战之后,希基少将被指定为“总部代理参谋长”。此后,显然出于个人的某种癖好,麦克阿瑟将军在公文中仍然称阿尔蒙德为“总部参谋长”和“第10军军长”。他对阿尔蒙德才干的这种赏识(我知道,对于这种赏识,阿尔蒙德是当之无愧的,我表示完全赞同),实际上使希基(一个主要司令部参谋长的全部重担都落在了他一个人的肩上)好象成了一个临时补缺的人物。我相信,这种安排无论阿尔蒙德还是希基都不怎么中意。但是,要对此类事情提出异议,作为部属则需要有很大的勇气。在麦克阿瑟将军离开东京之后不久,我毫不犹豫地发布了命令,任命希基接替阿尔蒙德为总部参谋长。阿尔蒙德被免去这一职务,继续担任第10军军长。

    当然,尽管这类杂七杂八的事情可能牵涉我一小部分精力,但我们大家注意力主要还是集中在联合国军在朝鲜的作战行动问题和命运问题上。我知道,艰苦的日子还在后头,特别是由于一天天恶化的气象条件削弱了我们的火力优势。然而,对我军对付中国军队任何威胁的能力,我仍旧抱有充分的信心,这一点,甚至在中国发起第五阶段的攻势之后我都从未发生过丝毫的怀疑。

    只是南朝鲜军队的所作所为使我感到苦恼。实施进攻的中国军队再次将一支又一支的南朝鲜部队追赶得抱头逃窜。溃逃之中,这些部队又丢弃了大量贵重且难以补充的武器装备。中国人又采用了他们惯用的办法,借助月光,在各种轻重火炮和迫击炮的掩护下发起了进攻。这次攻势开始于朝鲜中部的山区,拂晓时在整个朝鲜半岛全线展开。我们曾估计,敌人这次可能会广泛使用坦克作战,但我现在回想起来,他们没有使用过任何坦克。相反,敌人采取了我们所熟悉的而南朝鲜军队却非常不适应的战术:以大量步兵实施夜间进攻,不顾伤亡,一边几乎是在距炮兵弹幕近在咫尺的地方跟进,一边猛投手榴弹。战线上又四处响起狂乱的军号声和粗野的吼叫声,敌人的步兵则穿着胶鞋悄悄地爬上黑暗的山坡,渗入我方阵地。

    我们的防线各处都守得很牢固,除中央地段,各处均顶住了敌人的首次冲击。在中央地段,位于中间的阵地由南朝鲜第6师扼守,美军第24师控制着左翼阵地,第l陆战师控制着右翼阵地。中国人狠狠打击了南朝鲜军队,迫使其仓皇逃回“犹他线”以南。以后,敌人进入了这一缺口,力图包围两翼的美军部队。第24师和第1陆战师守住了阵地,但是,范弗里特将军立即命令第1军和第9军在这一威胁面前逐步撤往“堪萨斯线”,放弃新近夺取的全部阵地,换取宝贵的时间并严惩敌军。其他部队则迅速封闭了由退却的南朝鲜第6师留下的缺口,防止了敌人进一步利用其突然取得的有利地位。

    战斗在全线都十分激烈,中国人损失重大。我们针对这次进攻所进行的周密准备工作开始发挥作用。如果没有这种准备,我们前几周轻而易举的推进行动也许现在已经使我们陷入了敌人的陷阱。因为,大量中国军队突入、穿过或者包围了我中央地段的阵地。第一天下午十时,在第9军阵地后方一千码处出现了中国军队。这些部队向当天下午刚刚前出到此处的我炮兵分队开了火。但是,组织严密的环形防御使敌人付出了惨重的代价。有这样一个例子。第92装甲野战炮兵营阵地周围的战斗打得特别艰苦,破晓以前,阵地上到处是中国军队。可是,莱昂·拉瓦中校预先已考虑到防御问题,所以他们没有为之惊慌失措。

    中国人被击退之前被打死了一百七十九人,而第92炮兵营仅损失十五人。在三天的战斗中,仅第9军就发射了一万五千发炮弹。

    四月二十六日,敌人切断了连接汉城与朝鲜中部的春川及东海岸杆城的宽阔公路。范弗里特立即将第9军撤至洪川江。中国军队已经在一个午夜涉过了水深很浅的临律江,企图在南岸建立一些不大的桥头堡。与此同时,其他中国部队则沿铁原与汉城之间的公路向南运动。第1军有条不素地一直撤到“堪萨斯线”,打算在那里坚持下去。

    撤退中,他们给敌人以严厉的惩罚。可是,敌人以一次突然的打击把南朝鲜第1师赶到了“堪萨斯线”以南,从而暴露了英军第29旅的左翼。尽管第1军一再设法援救格洛斯特郡团的第1营,但该营仍为敌军所切断和打垮。卡恩思中校(他在该团服役已达二十年之久)和他的部队在自己的阵地上英勇顽强地坚守了好几天,直至弹药全部告罄。

    该营仅有少数士兵设法回到了联合国军一边。

    中国人一切断汉城以东东西走向的主要公路,就集结兵力,准备向首都发起大规模突击。他们事先就吹嘘该城不久就要回到他们手中。当位于汉城正北的议政府受到中国人威胁时,我们被迫将其放弃。接着,范弗里特着手建立一道新的防线,以固守汉城,并将敌人阻止在汉江以北。美军第3师在距该城四英里的地方中牢地坚守着阵地。

    中国人对汉城最危险的一次突击是在四月二十九日。

    六千名中国士兵企图乘小舟在汉城西面渡过汉江,尔后由此沿金浦半岛南下,对汉城实施迂回包围。正是在此处,我们的制空权发挥了极大的作用。当敌人还在江面上强渡时,我们的飞行员突然向他们猛袭过去,将进攻之敌大部歼灭。到达南岸的零星残敌根本不是南朝鲜第5陆战营的对手,该营当时正负责防守这个半岛。敌人的另一次行动是企图在汉江与北汉江汇合处打开一条通路,越过汉江,迂回汉城。这次行动被美军第24师和25师所粉碎。

    随着敌人强渡汉江的行动以失败告终,我军建立起一道新的防线(称作“无名防线”,因为我们一直没有给该线命名)。该线横穿整个朝鲜半岛,由紧靠汉城以北的地区,经朝鲜中部的萨班古,一直延伸到日本海海边、三八线以北的一座海滨小镇大浦里。在敌军距目标很远时,其疯狂进攻就被我军所阻止。在阻止这一进攻的过程中,炮兵和空军的轰炸给地面部队以巨大的支援。从四月二十一日到二十九日,联合国军的飞行员们执行了七千四百二十次飞行任务;我军大炮持续不断的轰击则使整个地面布满了弹坑。

    范弗里特的目的就是要尽可能利用火与铁而不是血和肉同敌人作战,因此,他的部队充分利用了我们在空中力量和多种口径的火炮上所拥有的绝对优势。敌人刚刚明显丧失进攻的势头,第8集团军就立即恢复了攻势,不给敌人以变更部置、补充装备的时机。我们知道,敌人的补给品还在源源不断地由满洲运往铁三角地区。铁三角这一坦荡的平原完全被嶙峋的花岗岩山岭所包围,其顶端是平康,底线则从铁原伸向金化。我们的计划是:如果可能,我们就推回到“堪萨斯线”,威逼铁三角地区,甚至夺占该地区,而月,在任何情况下都要充分利用较为有利的防御地形。五月初,我们的坦克巡逻队曾插入“无名防线”以北十二英里的敌纵深地区,在那里袭扰了正在撤退的中国军队。突入金浦半岛的许多小股敌部队很快被我肃清,于是,南朝鲜第1师奋力朝临津江推进。第1骑兵师重新夺回了议政府,封闭了通向汉城的接近路。其他部队则由北部和东部将敌人赶出了汉城。在通往春川的道路上发生了激烈的战斗,敌人在那里构筑了坚固的工事,进行了顽强抵抗。

    在重新夺占春川之前,美海军陆战队的士兵们不得不采取近战来肃清该地区的敌人。远处的右翼部队也同时向前推进。所以,有一度情况似乎表明,我们也许可以发动一次攻势,重返“堪萨斯线”。可是,五月的第二周,敌人原先那种零星的抵抗在各处变得顽强起来。据观察员报告:敌人正在修建新的机场,估计其空军的实力大约为一千架飞机。尽管我们进行了空袭,但是正运送补给的队伍仍在一步步南下。同时,每天都能发现敌人大部队运动的情况。因此,范弗里特将军决定推迟进攻,加强自己的防御,以抗击敌人这一新的进攻。沿着“无名防线”设置了五百多英里长的铁丝网,埋设了地雷,并在雷场安放了装有汽油和凝固汽油、能够电发火的圆桶。射界进行了周密的测定,我们准备让敌人好好尝一下在朝鲜战争中还未实施过的密集火力射击的苦头。

    中国于五月十五日黄昏之后恢复了进攻。他们动用了大约二十一个师的兵力,在翼侧还有北朝鲜的九个师。进攻的矛头指向防线中央,尤其是美第10军和南朝鲜第3军的防御地段。在进攻发起后的第二天较晚的时候,防守春川右侧高地的南朝鲜第5师和第7师在中国人的沉重打击下土崩瓦解,在一片混乱中仓卒撤退。所以,需要进行一番激烈的争夺来封闭防线上的这一缺口。范弗里特遂将美第2师和第1陆战师调至右翼,以抗击实施突破之敌的西半部分部队,同时令第9军向右延伸防线,以便把第2师和陆战师留下的防御任务也担负起来。他命令两个步兵团进入阵地,阻击敌大规模进攻中位于最前端的敌军,与此同时,命令一个团战斗队和美第2师迅速北上,抗击敌进攻形成的突出部西半部之敌。这是一次历时二十四小时的极其紧张的战斗,因为中国人大批涌入了突出部,并且企图包围我方阵地。第2师的士兵们曾一度在主要补给线被切断的情况下,在自己的前后方和翼侧与中国人和北朝鲜人顽强战斗。然而,美军第9步兵团仍然向北进击;美第2师的法国营和荷兰营加上美第23和第38步兵团,为恢复对主要补给线的控制则向南进击。此后,第2师便牢牢地守住了阵地。朝鲜战争中最强大的炮击行动之一,是第38野炮营在二十四小时之内发射了一万多发105毫米炮弹。这次炮击支援步兵阻止了敌人的进攻,并且使敌人遭受了重大伤亡。五月十八日,中国发动新攻势的第三天,阿尔蒙德将军命令第2师撤至南面约五英里处的一道新的阵地。该师师长克拉克·拉夫纳将军成功地实施了后撤。在三天的战斗中,第2师伤亡和失踪者共计九百人,而中国和北朝鲜军队的损失估计为三万五千人。

    敌军对防守中央防区东段和沿海地区的其他南朝鲜部队形成的强大压力,迫使这些部队远远地撤到“无名防线”以南地区,防守在日中海海岸的南朝鲜第1军后撤了大约三十五英里,被赶到了江陵村。在西部防区,敌人企图沿北汉江向南突击,迂回汉城。但是,美第25师和南朝鲜第6师经过三天的苦战,将中国人阻止在南朝鲜首都以东约二十英里处的一个村庄磨石隅里的南面。敌人还直接向汉城发动了若干次小规模进攻,但很快即被击退。于是,中国人不得不在距自己所吹嘘的目标很远的情况下再一次停下来喘息。在东部防区和中央防区,他们得以向南推进,占领了大片地区,为此,他们付出了高昂的代价。但是,中国人诱歼我军任何部队的企图均末得逞。除了从南朝鲜军队手中夺取大量武器装备外,他们能够炫耀的用鲜血换来的东西仅有大片崎岖不平的但抖地狱篇》中所描述的那种土地,以及一些遭受猛烈轰炸、几乎是片瓦不留的村庄。然而,对退却的南朝鲜军队所丢弃的这些武器装备不可等闲视之。这些武器足可装备好几个完整的师。可是,在华盛顿的报刊上和美国国内其他地方还是出现了许多无稽之谈,对我的司令部与南朝鲜政府之间存在的摩擦表示不满。但是,这些摩擦是由喋喋不休的无稽之谈造成的,而这些无稽之谈又产生于李的办公室。他们说什么南朝鲜现有大量受过训练的兵源,只要美国对他们进行必要的武装,就能减少在朝鲜的联合国军的数量。这种前景对美国国内的读者来说自然具有很大的诱惑力。可是,这纯粹是建立在幻觉的基础之上的。除非李能使已经武装起来的南朝鲜军队在战场上打得好一些,或者激烈的战事能够缓和下来,否则,既不会有多余的人员,也不会有多余的资源能用于为实现那种预想的扩充计划而进行的监督和训练。

    五月九日,承莫西奥大使和范弗里特将军的陪同,在除李本人之外无他人在场的情况下,我拜会了南朝鲜总统,并直截了当地向他说明需要改善南朝鲜军队的领导状况。我们对南朝鲜陆军参谋长钟将军一直是十分信任的。

    然而,由于作战要求很高,加之文职当局在政治上对他进行干预,没有全力加以支持,因而,他几乎无法培养出南朝鲜军队所需要的和理应拥有的那种高水平的野战指挥官。

    我认为,那天下午我们与那位老斗士所进行的开诚布公的谈话毫无模棱两可之处。我甚至可能过多地向他透露了军事形势方面的问题。可是,他的司令部还是在顽固地制造这类所谓我们拒绝利用取之不尽的兵源的谎言。这件事已成为政治问题而不是军事问题了。因此,我要求范弗里特注意,他和他的高级军官们(他的参谋长和三位美军军长),除纯军事问题之外,不要公开发表任何有关其他问题的言论。以后一定会有机会把南朝鲜所有的师从战线上撤下来进行训练、使之成为第一流的作战部队。但是,在此之前,我们必须尽一切可能防止在我们政治战线这一令人苦恼的问题上火上浇油。

    现在,中国人的进攻又一次停止了,是我们再次发动攻势的时候了。联合国军两个新到达的营即将完成最后的战前训练,编入第8集团军。因范弗里特的炮兵饱和轰击战术而暂时造成的弹药“短缺”(炮连从未短缺过弹药。实际情况是,由于弹药消耗突然大幅度增加,在朝鲜的弹药贮备曾一度低于规定标准。——作者)已不再是个问题。但是此时,关于后勤方面的情况,无论敌人的还是我们的,我们一定得时刻留意。进攻作战推进得太远就会使我们的补给线拉得过长,敌人的补给线就会相应地缩短,同的,还会使我们遭到重大伤亡。南朝鲜仍然只有一个第一流的港口可供装卸军用物资,这就是釜山港。可是现在,这一港口已远在南面,而这是唯一可供吃水深的舰船停泊的港口。

    汉城的港口仁川受到黄海潮水大落差的限制,物品需要从远离海滩的大船上卸到登陆艇上才能运上岸。

    但是,威逼铁三角地区甚至可能时夺取该地区,仍不失为一个很好的方案。这里过去曾是一条良好铁路线的终点,现在也是敌人能够不断向前线运输粮秣弹药和其他补给品的许多良好公路的枢纽。人们也许还记得,“怀俄明线”亦即“堪萨斯线”的突出部是针对铁三角的底线而划定的。对我们来说,控制华川水库也极其重要,汉城的水电供应以前依靠华川水库,而且,这里还是敌人补给线上的重要地点。因此,发动这次新攻势的目的是,不再顾及三八线的限制,重新打过三八线去,并尽可能最大限度地消灭敌之潜在力量。

    五月十九日,我飞往朝鲜,在靠近萨马的第10军指挥所会见了范弗里特、阿尔蒙德和第9军军长霍格。这几位指挥官作了简要汇报之后,我将自己对这次谈话的理解归纳为如下几点。

    一、第8集团军应于五月二十日发起进攻,各军任务如下:1.第10军应制止敌人在其右翼达成突破,并协同第9军右翼部队发起进攻,第9军右翼也由第10军负责保障。

    2.第9军应进攻并夺占春川盆地以西的高地。

    3.第1军应沿汉城——铁原轴线发起进攻,并负责保障第9军的左(西)翼。第8集团军司令应密切注意这次进攻的进展情况。

    当天下午和第二天上午,我视察了所有其他的美军军、师指挥所和部分南朝鲜军的军、师指挥所。我在前线巡视的最后一项活动是拜会了钟将军。我再次强调,他必须保证所属各级指挥官都能认清形势的严重性,并做出特殊的努力使南朝鲜部队能象支真正的部队那样在战场上作战。

    那天晚上,我在第5航空队指挥所会见帕特·帕特里奇时,获悉驻远东空军司令乔治·斯特拉特迈耶当天下午心脏病发作的坏消息。他这次病得很厉害,被迫离职住了几个星期的医院。此后,只好将他送回国内,后来他退出了现役。他是一位极其勇敢、经验丰富和足智多谋的军人。然而,突然的变化是战争中常有的现象。我对他的这次重大转折深感痛惜。但是,能得到奥托(奥佩)韦兰空军中将我还是相当满意的,空军果断地指定由他来接替斯特拉特迈耶的职务。我早就认识韦兰,曾与他在泛美防务委员会共过事,并一同参加过里约热内卢公约的谈判工作。

    我在远东任职的后一段时间,大概再没有比他更乐于合作、更得力能干的战友了。

    发动攻势前决定变更部署,因而使华川水库的很大一部分地区划给了第9军,而在此之前,第9军的作战地带分界线是划在水库边缘上的。第10军已实现其最初目标,所以,现在便可以插向东北方向,阻击沿海岸北撤的敌人。

    南朝鲜第1军将沿海岸北进,尔后向偏西北方向进攻,粉碎它与第10军之间的敌人。在中国人进攻时遭受沉重打击的南朝鲜第3军被撤销了建制,其所属部队分别编入第10军和南朝鲜第1军。

    联合国军于五月二十日开始进攻,在不断得到美国空军近距离空中支援的情况下,克服敌人越来越弱的抵抗向前推进。这次进攻并不打算推进到鸭绿江,诚然按我们当时的兵力大概能够打到那里。但是,范弗里特仍指挥其部队向前挺进,穿过了第一道调整线,即“托皮卡线”(该线从西部黄海潮汐平原上的坟山,经鳞蹄,延伸到濒临日本海的杆城以南约十英里的黄浦里)。尔后,他们继续向“堪萨斯线”和对着铁三角底边的、北面的“怀俄明线”前进。同往常一样,敌人在如下一类地区的抵抗是很顽强的,那就是地形对他们有利的地区,道路狭窄或者无路可行的地区,以及我们的补给品不得不依靠肩扛手提运上山岭的地区。

    五月份的最后一周,天气也来给敌人帮忙,降低了我装甲部队的前进速度,使许多道路几乎完全被毁,而且还使我们的飞机无法起飞。结果,敌人再次以空间换取了时间,并且在其大批部队和补给完整无损的情况下得以安然逃脱。然而,到该月底,南朝鲜全境毕竟差不多再次肃清了敌人的部队。估计被我打死的敌军为一万七千人,另外,还俘获相同数目的敌军俘虏。在这次进攻中,南朝鲜军队伤亡异常惨重,死伤、失踪或病倒者达一万一千人左右。

    随着我军打回甚至越过“堪萨斯线”,又轮到我们采取肪御了。范弗里特再次着手采取措施,以尽可能使防线变得坚不可摧。整个防线设置了一层层铁丝网,阵地前布满了地雷和燃烧桶。只要可能各处都挖掘了带顶盖的掩蔽部。此外,还设置了路障,并测定了炮兵集火射击的诸元。

    尽管大雨不断,并且敌人顽强地进行抵抗,向铁三角底边实施的进攻作战仍然一直持续到六月份。美军第3师和第25师向前猛打、猛攻,他们用火焰喷射器把中国人从圆木构筑的掩体中赶了出来。铁三角西端的铁原于六月十一日为我夺占,东端之金化,敌人未继续抵抗便放弃了。此后,两支步坦协同的特遣部队迅速穿过铁三角地区进至平康,平康守敌亦全部撤光。可是,我军发觉敌人占据着城北的制高点。于是,这两支特遣部队又撤了回来。从此以后,双方都不再采取大规模行动去夺占三角地区的平原了。

    敌人很重视的另一个地区是一个我们称作“大钵”的古老火山口。火山口在麟蹄以北大约二十五英里处,距东岸也有二十五英里,靠近美第10军与南朝鲜第1军的分界线。火山口的周边犹如刀刃一般锋利,陡然拔地面起,高出火山口底部数百英尺,上面覆盖着密密的树林。敌人在周边山坡上构筑了坚固的工事,并且配置了大量的火炮和追击炮。为了夺占这一地区,我们在以后几个月中付出了很大伤亡。第8集团军占领这一地区,便可以缩短我们的防线,使我们更好地观察敌人,而且还可以减少敌人对这一方向发动强大的突然进攻的可能性。我们一旦夺占了这一地区,便决不会再把它放弃掉。

    现在,第一年的战斗已经结束,联合国军实现了早先的目标——将南朝鲜从敌人手中解放出来,重新确立并扼守分界线。横贯整个半岛,最西部除外(因为,这里南流的临津江是最有利的防线),我军在三八线以北建立了巩固的阵地,足以抗击敌人的任何进攻,除非敌人能得到大规模增援。

    但是,为夺占和扼守关键地区附近的制高点,部队遭到了敌人不顾伤亡的顽强抵抗。敌人和我们一样,建立了坚固的防线,井在前沿前构筑了屏护阵地。这道防线,敌人是打算坚守下去的。因此,我在六月二十五日收到的参谋长联席会议关于可能即将与共产党进行停火谈判的消息,是很受欢迎的。我立即派我的参谋军官小瑟莱斯中校前去与范弗里特商议。他随身带了一张我的幕僚们准备的地图。图上显示了我军当前的前沿阵地的位置、“堪萨斯线”的位置、预想的“堪萨斯线”警戒线的位置,以及可以保障“堪萨斯线”阵地的预想的停火线的位置。我要求范弗里特告诉我,让第8集团军夺占其当前的前沿阵地与预想的停火线之间的制高点是否可行,有无必要。

    根据范弗里特后来的言论(大意是我阻止了他夺取彻底胜利),我认为回顾一下他对这个问题的答复还是很有意思的。他当时的看法是:此时此刻他不赞成让第8集团军发动进攻去夺占制高点。他认为,在东部前线发动进攻会使美军付出很大伤亡,而所得到的却只是一些土地。在西线发动进攻虽则比较容易,可是,范弗里特认为,这会使他过于暴露给敌人,易遭对方进攻。他认为:发动进攻要付出很大伤亡,并会使第8集团军变得较易遭受敌人攻击,这样做代价太大,不应为实现停火而冒这样的风险。他还竭力要求,如果当真进行停火谈判,那么应考虑到礼成江以西、三八线以南的那部分朝鲜领土。我们无意占领这一地区,但该地区有可能成为我们在谈判桌上讨价还价的筹码,可以换取我们想获得的东部那块地方。他还说,第1陆战师的当面之敌(北朝鲜两个军)占据着坚固的防御阵地,他们作战顽强,齐装满员,似较中共军队更能作战。

    他的这些看法我都赞同,于是,我们决定原地坚守,等待谈判的结果。

    苏联外交部副部长、苏联驻联合国代表雅科夫·马立克于六月二十三日,星期日,首次提出了停战的要求。这使政治和宣传方面的活动大大增加,并给我带来了一批重要的人物。中共很快表示赞同马立克的建议。同时,在我国也有许多人发出了要求和平的呼声。六月二十九日,我在东京非常高兴地将福雷斯特·谢尔曼海军上将迎到了总部。在他之后到达的是阿奇·亚历山大,我在五角大楼工作期间,他是陆军部副部长,我与他有过多次令人愉快的交往。不久之后,纽约州州长托马斯·杜威也飞来向我们宣传他在外交事务上的一些强烈看法。

    六月三十日,遵照我在华盛顿的上级的指示,我向中国最高统帅部广播了一则声明:如果象报道的那样,他们准备停火,联合国军将乐意派出代表讨论停战问题。双方建立接触和协商会谈地点仅花了几天的工夫。会谈地点设在紧靠三八线南面的西部沿海城镇开城。我指定由特纳·乔伊海军中将率领联合国军代表团。敌军的主要谈判人是北朝鲜人民军参谋长南日中将。但是,共党方面的实权在中国人民“志愿军”参谋长解方将军手中。

    我还是熟悉共产党的手法的,那就是企图通过无休止的、毫无内容的争论把对手拖得精疲力竭。我在联合国任职的两年半中,对此已经有了丰富的经验。但是,我却根本没有料到这种毫无成果、令人疲惫的谈判后来会拖那样长的时间。双方很快都不约而同地认为,在谈判期间,敌对行动还得继续下去。然而我觉得,在停火的希望依稀可见的情况下,还是应该尽量减少我方的损失。因此,我通知所届指挥官:不要实施大规模进攻行动,而要力求通过强有力的巡逻和局部进攻来保持主动。局部进攻旨在夺占可以扩大我方观察范围、缩小敌方观察范围的关键地形。

    在开战一周年之际,我以为和平可能即将来临。可是,又过了两年的时间并且付出了很大伤亡,每个士兵的这一夙愿才得以实现。

    第8节

    战争的第二个夏天,在开城一座与十九世纪新英格兰高级中学的建筑非常相似的洛可可式“茶馆”中,谈判代表们正在无休止地进行着单调乏味的谈判。与此同时,我们的步兵则在许多无路可行的山头上作战,而且,为了夺取或收复敌人固守的阵地,他们正艰难地在花岗岩的山岭上攀登。这些在广大地区内进行的战斗,大都集中在“大钵”地区亦即铁三角地区。为夺占并扼守瞰制着“大钵”谷地的那些高地面进行的战斗,也许打得最为残酷。

    在这个宽阔、肥沃的谷地西部,山峦重叠,草深林密。

    最高峰是我们称作1179高地的一个山峰,朝鲜人称之为断山。山顶挥圆,犹如小孩画的图画,坡面陡峭,山脊几乎象刀刃一般锋利。当时,这个海拔三千九百英尺的1179高地由北朝鲜人的大约一个团扼守着。范弗里特将军认识到,为防止敌人对“堪萨斯线”进行观察,同时迫使中国炮兵退至不能威胁我方阵地的地方,他必须把敌人从这一高地赶走。当南朝鲜陆战队把敌人赶出这个竟相争夺的地点的行动归于失败之后,范弗里特遂命令第2师所属部队在近距离空中支援和炮兵支援下拿下这一高地。这是一场浴血的苦战。士兵们不得不顺着长满树林的山坡迂回而上。最后,为了接近敌人,他们只得用双手攀援陡峭的石壁。汗流挟背的朝鲜劳工是运送弹药、装备和食品的唯一运输手段。

    他们用古老的A字形背框运送重量足以压垮一匹小马的物品。步兵们自己携带了全副装备器材,以便在山坡上架设无后座力炮,敷设通信线路和建立救护所。经过四天寸士必争的激战,敌人终于动摇,1179高地落入我们手中。

    “大钵”西部还有一个称作“血岭”的山岭。从敌人手中夺取并扼守这个山岭付出了很高的代价,这便是“血岭”一名的由来。第一次拿下“血岭”是在八月份,以后由南朝鲜第5师所属的一支部队扼守着。一天夜间,中国人发动了一次大规模反击,把南朝鲜人赶出了“血岭”。接着,美军第2师第9步兵团向该地发起了猛攻,与依托工事并得到炮兵有力支援的敌人展开了艰苦的战斗。美军一步一步地向前挪动,又一点一点地被压了回来。敌人在这个阵地上整整坚持了五天,直到美军第1陆战师和第2师沿着“大钵”的边缘同时向北发起进攻时,敌人才被迫放弃了“血岭”。

    这年夏季,敌人的防御力量明显增强。尽管我们总是不断地炸毁敌人的铁路和桥梁,破坏其铁路编组车场和公路交通,但是,他们的补给物资仍然源源不断地从满洲运来。中国炮兵的活动大大增加,这也迫使我们的全部地面作战行动放慢了速度。敌人的高炮火力愈来愈猛,我们的轰炸机开始遭到某些损失。无论把空中力量的作用说得多么大,它都根本无法阻止敌人运进必要的武器装备(毫无疑问,如果没有空中力量的支援,我们的许多进攻行动本来肯定是无法实施的)。空中力量可以降低敌人的运输速度,迫使敌人只能在夜间行动,但并不能孤立战场。“血岭”战斗和毗邻的“伤心岭”上的战斗也许是迄今为止最为残酷、最为紧张的战斗。这些战斗需要我们消耗极大的体力,需要我们具有无限的耐力和勇气。步兵象印第安人那样作战,他们在山坡上匍匐前进,吃力地拖带着自己的步枪、弹药以及追击炮弹。有时,他们还被迫抵近敌人进行爆破,迫使敌人钻出地下工事。

    敌人以东方人所特有的顽强精神奋力加固他们在山上的工事。有时,他们甚至依靠人力来挖掘从山的反斜面一直通到正斜面的坑道,以便在遭到空袭和炮击时能撤离正斜面阵地,躲进空袭火力或重型榴弹炮火力难以打击的反斜面工事内。敌人构筑的坑道有时长达三千英尺。这样,他们既能迅速躲避轰炸,又能很快向前运动抗击地面进攻。

    通常,前斜面的坑道出口都经过精心巧妙的伪装,必须很仔细地观察才能发现这些出口。不过,这些出口一旦被发现就会为我榴弹炮的直瞄火力所摧毁。我们的炮兵在使用8英寸榴弹炮(是由推土机推进发射阵地的)摧毁这些坚固目标时,达到了较高的命中精度。直瞄射击可以说是这些宝贵武器的一种既新颖又有效的使用方法。

    截至七月一日,敌人集结的总兵力估计已达到四十六万人,其进攻能力也得到了相应的提高。这时,我要求范弗里特拟制一份向朝鲜半岛蜂腰部即平壤——元山一线进攻的作战计划。在我们首次越过三八线后的那几周,我们曾考虑过此案。这就是所谓“势不可挡行动”。然而,我迟迟没有批准这一计划,因为我认为,最好还是等着看一看停战谈判的结果再说。七、八两个月,地面部队的战斗伤亡大大下降。这是因为,地面部队各级指挥官不愿奋力去夺取新的阵地,倘若早日达成停战协定,这些阵地可能又得放弃。

    与此同时,范弗里特决定采取更为积极的防御行动,尤其在“大钵”周围地区,那里还有很多高地仍然掌握在敌人手中。在朝鲜作战如同在以往的许多次地面作战中一样,为了可靠地保障当前的阵地,总是还得拿下一个阵地。在“大钵”周围,连绵的山岭象是为了俯视一下古老火山口内部的情况而在那里争先恐后地向前拥挤。“大钵”正西方的那些山丘亦即后来的所谓“血岭”,组织了严密的防御,由北朝鲜的好几个师顽强地扼守着。美第10军第2师历属步兵分队在这里遭到了整个战役中最为激烈的抵抗。他们常常是刚刚夺取一个山头就又被赶了下来,接着几小时之后,又被迫重新再打回去。第2师在连续二十四小时之内曾先后向一个山头发起过整整十一次冲击,但是仍不能肃清那里的敌人。不过,到九月底,“血岭”和整个“大钵”地区都已牢牢地掌握在我们手中。

    在争夺山岭期间,我曾收到范弗里特的一份作战计划,提出在一统一的地段发动一次更为大胆的进攻,以进一步缩短我们的战线。这就是“魔爪行动”。我立即批准了这个方案。但是,新近的伤亡(小规模作战引起的)情况显然使范弗里特认识到这一行动得不偿失。于是,他改变计划,将第8集团军的进攻重点转向属于美第1军的西部地带。

    如果一切顺利而停战谈判又毫无进展,则他将要求在大约介于其右翼与元山之间正中央的那一片东海岸地区实施一次两栖登陆作战。我虽然没有批准两栖登陆计划(范弗里特手下的诸位军长都不赞同这一计划),但还是准许他发动夺占重要地形、地物的有限目标进攻。结果,范弗里特制定了一份计划,旨在夺取并扼守“大钵”以西约四英里的那一带山岭亦即后来的所谓“伤心岭”。

    美军第2师奉命赶走固守在这里的北朝鲜军队。北朝鲜军队在这里构筑了坚固的永备工事,各种掩蔽部和兵器掩体都进行了周密的伪装。要在夏末的浓密树叶中发现这些坚固的工事真是难之又难。而且,北朝鲜军队作战还极其顽强。对“伤心岭”的进攻一开始采取的是小部队零敲陈打的战术。所以,尽管第2师所属部队作战非常英勇,他们的进攻不久还是受到了阻碍,在遭受重大伤亡之后,他们仍然无法接近目标。

    第2师蒙受的损失在很长一段时间内一直是我特别关心的问题。我曾找机会与当时指挥该师的拉夫纳将军研究过这个问题,也与范弗里特谈过。九月中旬,我又对接任第2师师长的罗伯特·杨格少将说,希望他亲自过问此事。

    此后不久,詹姆斯·亚当斯上校直截了当地向杨格将军报告说,继续按目前的规模进行战斗就意味着自杀。对于一位野战指挥官来说,能得出这样的结论并向自己的上级表明这种看法,这在精神上是需要有高度的勇气的。我一向认为,在一个指挥官的身上,这种精神上的勇气甚至比单纯的作战勇敢更为重要。

    因此,杨格将军重新分析了面临的情况,并且看到,采用零敲碎打的小部队进攻战术是行不通的。于是,他改为以整个师实施协调一致的进攻。这次进攻实施了充分的炮火准备,并获得了强大的近距离空中支援。结果,第2师终于在十月十五日夺占了“伤心岭”,此后,该师再也没有丢失过这块阵地。

    在整个这次进攻作战中,采取近距离空中支援以及空投食品、弹药和医疗用品的做法均具有极其重要的作用。

    我知道,步兵时常对空军弟兄那种勇猛无畏的支援行动坦率而热情地表示感谢,空军弟兄似乎只要有起码的气象条件就会积极配合步兵作战。

    在朝鲜,夏日的天气就象战场上的敌人一样变幻莫测。突如其来的暴雨常常会冲毁沿峭壁盘旋的狭窄道路的整个路肩,从而使汽车辆重队处于进退不得的境地。骤发的山洪往往会冲走浮桥,迫使士兵光着身子气喘吁吁地抓着救生索在奔腾咆哮的洪水中奋力抢救某些宝贵的装备器材。

    正当实施这些作战行动时,范弗里特向总部呈送过一些作战方案,主张以美第1军和第9军发动大规模攻势,紧接着在东海岸实施一次两栖突击。如果这样的行动得到批准并且能够成功,那第8集团军的先遣分队本来是有可能前出至平壤——库底一线的。库底是座落在东海岸的一个小镇,位于元山以南大约二十五英里的地方。范弗里特要我对定名为“棍棒行动”和“牧马者行动”的两个方案迅速定下决心。可是,几天之后,他决定放弃这两个方案,转面赞同另一个在美第9军作战地域内实施的、胃口和风险小得多的进攻方案。这次进攻定名为“突击队行动”,是于十月十三日批准并发起的。进攻所遇到的顽强抵抗和频繁的反冲击同第2师在东部地区曾面临过的情况一模一样。

    不过,我们还是于十月十九日进抵并夺取了此次进攻的目标,建立了“詹姆斯敦线”,亦即“堪萨斯线”的一块新添的突出部,并且解除了敌人对铁原——汉城铁路线的威胁。

    由美军第2师和第9军实施的这些进攻行动增加了美军的伤亡,结果,在国内,尤其在国会中引起了强烈的不满。在国会,人们认为,总的态势并无明显改善,不值得付出如此重大的伤亡。陆军部长弗兰克·佩斯不得不写信将“国内战线”的这种情绪和看法告诉我。可是,事实上,这些行动大大改善了我们的防御态势,同时也使当时中止了停战谈判的共产党人深深感到,还是回到谈判桌上为好。

    此后,战役重又变得比较平静。一九五一年十一月份的阵亡人数较十月份下降一半左右,十二月份较十一月份又下降三分之二左右。

    停战谈判恢复之后,我指示范弗里特采取积极的防御行动,允许他沿着战线的总走向夺取有利地形,但同时规定,进攻作战行动仅限于夺取对方的警戒阵地,而且投入的兵力至多不得超过一个师。由于谣传(总是靠不住)说共产党现在希望早日停火,因而作战行动就变成了一系列小规模战斗和巡逻行动。双方现在都占领了成纵深配置的坚固防御阵地。哪一方都不愿发动全面进攻。所以,看起来,这是一个良好时机,可以着手解决一个长期令人烦恼的问题,那就是在南朝鲜,尤其在晋州西北的山区,有大量游击队在活动。共产党退却之后,游击队一直把晋州西北的山区作为自己的藏身之地。范弗里特把代号为“灭鼠者行动”的任务交给了指挥两个南朝鲜师的朴顺玉中将,旨在消除这一危险的隐患。截至一九五二年一月底,近两万名流寇(土匪和有组织的游击队)被击毙或俘虏,令人恼火的问题总算彻底获得解决。

    范弗里特在此期间提交的若干份有限目标进攻计划,我都命令暂时搁置起来。停战谈判取得进展的种种迹象,促使我没有批准这些会使伤亡急剧增大而又不能赢得相应战果的作战计划(我曾向范弗里特的部属们征求过意见,他们对其中的大部分计划都不赞同)。

    不过,在此期间,我们一直在进行一次称作“绞杀战”的大规模空中作战。这次作战的目的显然是阻止敌人沿通向北方的铁路和公路进行补给。但是,事情变得很明白,我们的空军根本不能持续不断地进行那种为了炸毁敌人铁路并使之始终无法重新使用而必须实施的轰炸。尽管空军、海军以及海军陆战队航空兵干得极为出色,敌人还是在继续增强着自己的力量。韦兰将军和我终于很清楚地意识到,如果我们不能使战局发生重大变化,从而迫使敌人急剧增加其补给与弹药的消耗,则春季到来时,敌人就会处于发动一次大规模攻势的有利地位。

    我方空军的作战行动,加上沿海地区海军战列舰和驱逐舰的舰炮火力,倒是至少使敌人未能取得火力上的优势。所以,这些行动即使谈不上削弱敌人的能力,起码也是抑制了敌人的能力。敌炮兵的实力一直在危险地增长着。

    从以下情况可以看出对这种增长趋势加以抑制的重要性:一九五二年四月至六月,落在我方的火炮和追击炮炮弹数量由二千三百发增加到大约六千八百余发。

    但是,在我任职的最后这个冬季,当停战谈判还在拖拖拉拉地进行时,整个朝鲜半岛基本上处于一种相持状态。

    所以,我这才有时间处理一些形势危急时没有顾得上处理的事情。

    不过,还有一件十分紧急的工作我前面尚未提到。当我还在指挥第8集团军时,我曾收到过当时的美军第25师师长威廉·基恩少将慎重提出的一项富有真知灼见的建议:混合编组白人和黑人部队。和平时期在本宁堡工作期间,以及在朝鲜期间,基恩都曾有充分的机会观察了解黑人部队的情况。在朝鲜,全部由黑人编成的第24步兵团是他所指挥的一部分部队。这一建议与本人见解完全一致。

    于是,我在一九五一年的三月中旬拟制了计划,以便取得麦克阿瑟将军的同意,立即着手混合编组的工作。当然,麦克阿瑟将军也得试探一下华盛顿的意思。由我指挥的美军第9步兵团和第15步兵团都编有一个黑人营。此外,我们还有许多其他的战斗部队和保障部队除军官之外全都由黑人编成。由于当时我们正忙于进行一次大规模进攻作战,因而,在我到总部任职之前一直没有采取任何改编行动。那时,我曾有机会与当时主管作训的陆军助理参谋长马克斯韦尔·泰勒将军讨论过此事。他是以陆军部长和陆军参谋长的双重代表身份来东京作正式访问的。我对他说,如果我能得到上级批准,就准备将黑人部队彻底混编,首先从全部由黑人组成的最大的战斗部队第24步兵团以及分别隶属于第9和第15步兵团的两个步兵营开始。此后,我们可以把规模较小的全部由黑人组成的炮兵和装甲兵战斗部队拆散混编。最后,我们再如法炮制部署在朝鲜和日本的无数编制很小的补给勤务分队。与基恩将军一样,我深信,唯有如此,我们才能保证我们的部队具有一支能征善战的军队所需具有的那种精神面貌:每个士兵都能不依赖他人而自立并为此感到自豪;每个士兵都相信,较之周围的伙伴自己并不逊色,较之敌人则更胜一筹。

    泰勒将军对此举深表同意,并谈了自己的看法,认为:现在是实行这种办法的绝好时刻,从此以后,它必将对整个正规陆军产生深远的影响。六月上旬,在国防部长马歇尔访问朝鲜和东京期间,我与他讨论了自己的计划。他将这份计划带回了华盛顿。计划终于获得批准。于是,我立即在自己的战区将其付诸实施。此后,美国陆军全部实行了这项早该实行的改革,并在提高士气上和国民的反应上达到了全部预期的效果。

    由于战线趋于相对稳定,我和范弗里特还得以将精力转向一些其他的问题。这些问题一直困扰了我们好几个月,但由于在军事上多次出现危急的局面,我们被迫将这些问题搁置起来。头号的问题也许是南朝鲜军队缺乏领导的情况十分严重;由于语言的障碍和条约的规定,我们无法对这种领导彻底加以充实。现在,由于压力已经减轻,我们便可以着手实施一项全面的训练计划了。通过这个计划,可以造就出朝鲜人自己的指挥官;这些指挥官又能把朝鲜士兵力训练得同任何其他国家的士兵一样优秀。政治上的任人唯亲和为了巩固个人在政治上的地位而进行的错综复杂的争斗,使朝鲜军人的许多突出的优点荡然无存,以至于为了提高这些军人的素质,我们在人力和物力上付出了无法估量的代价。朝鲜军队一直是根据各种政界人物一时的念头面随意调来调去,一直是被用作剿灭“土匪”,或者维护某些土皇帝利益的。年轻的军官们发觉,对那些没有文化的上级进行批评,表示反对,甚至提点不同的看法都不可能。在敌人的压力下,那些受到的“训练”百分之百是政治训练的指挥宫往往最先垮掉。他们自己的恐慌情绪又总是立即传染给下面的部队。部队中许多士兵自己也未受过必要的训练,无法在危急情况下本能地、积极地作出反应。

    特别缺乏的是使用火炮的训练。火炮的广泛使用是朝鲜战争中的一个重要特点。在这场战争中,我们不得不以火力来弥补人力的不足。长期以来,远东司令部一直不赞同增加南朝鲜军队的炮兵部队。他们认为:朝鲜地形复杂,通过崎岖的道路和陡峭的山岭进行弹药补充极其困难,加之南朝鲜军队缺少受过训练的炮兵,火炮数量也不足,这些情况充分证明应该反对扩充南朝鲜炮兵。可是,随着战斗进程的放慢和武器装备补充的增加,我们便有了时间也有了装备来加强南朝鲜军队炮兵的实力。而且,我深深感到,南朝鲜部队必须拥有远程火炮,以便在我兵力薄弱的防线上使师与师之间做到相互支援。

    一九五一年九月,我命令在年底以前正式组建四个南朝鲜155毫米榴弹炮营。各炮营一旦组建完毕,将分别隶属美军的一个军,进行八周的紧张训练。此后不久,我又批准组建三个105毫米榴弹炮指挥连以及六个105毫米榴弹炮营。组建工作也要在一九五一年年底以前完成。我的目的在于:最终能组建足够数量的105毫米和155毫米榴弹炮连,以便使十个南朝鲜师每个师都能配齐四个炮兵营(三个105毫米榴弹炮营和一个155毫米榴弹炮营)。一九五二年初,我收到华盛顿同意我继续实施该计划的答复。

    此时,在美国炮兵学校学习的南朝鲜军官即将回国,这更坚定了我扩充南朝鲜炮兵的决心。

    重新对南朝鲜军官进行认真训练所收到的效果在战场上愈来愈明显。现在,我们在东部地段和中东部地段的许多进攻行动几乎完全是由南朝鲜部队实施的。当我在西部的部队派出战斗巡逻队牵制敌预备队、海军以重炮提供火力支援时,在“大钵”的两侧,美第10军和南朝鲜第l军进至更为有利的防御地区。这些作战行动几乎都是由南朝鲜部队独立实施的。这一年稍晚一些时候,在西部地段,在第9军把战线向前推进三至四英里的过程中,南朝鲜第1师打得十分英勇。

    南朝鲜劳工服务队也做出了非常宝贵的贡献。我曾授权范弗里特将这支劳工队伍增至六万人。这些劳工勇于身背满载补给品的A字形背框攀登陡峭的山坡,勇于承担构筑地堡、装填沙袋和加固堑壕与坑道的工作。总之,他们勇于从事运送食品、补给以及在枪林弹雨中为作战部队修筑防御工事这类艰苦的工作。所以,我们能重新夺取并固守“堪萨斯线”在很大程度上应归功于这些劳工的艰苦工作。

    人们提起进行谈判的那段漫长的日子,一股总把它作为一个相持的阶段,但我们决不能因此就认为那一阶段的仗,打得不那么激烈。每天都有新的伤亡。感谢上帝,与发动几次大规模攻势时相比,现在的伤亡还是小得多了。

    但是,这些伤亡在当时仍然可以提醒我们,不管我们在谈判桌上赢得什么东西,我们都是付出了昂贵的代价。现在,我们展开在一条横贯朝鲜半岛的较短的战线上。但是,我们的兵力仍然太少,只能分散地部署在这条战线上。这时,我们的兵力不足六十万,其中美国人占二十三万。敌人的兵力自然大大超过了我们。要不是我们拥有强大的火力,经常得到近距离空中支援,并且牢牢地控制着海域,则中国人可能已经把我们压垮了。是大炮给我们以优势,我们能够集中无数炮弹打击整个战线上的任何一点。在利用地形上和摆脱狭窄曲折的道路、伸入荒山峻岭的行动上,我们新近也摸索出一套巧妙的办法。这当然也是我们取得对敌优势的一个原因。但是,范弗里特此刻的目的却在于,一旦控制了制高点,他便将敌人驱赶到开阔地带去,以便用大炮将其歼灭。

    当然,中国人是喜欢在夜间发起进攻的,因为,到了夜间,我空军只能停留在地面上,观察员亦无法进行观察。

    我们实际上没有做到“成纵深”部署我们的防御,因为,防御阵地分散而且配备的兵力也很单保不过,我们倒是有屏护部队警戒着距主要抵抗线约有步枪射程那么远的一道防线。正是这些士兵担负着这样的任务:将大批敌人吸引至我们能以强大的炮兵将其消灭的地点上来。常常有这样的情况,守卫在孤零零的碉堡(碉堡四周堆放着沙袋,设置着铁丝网,可以在各个方向上对付敌人的攻击)中的士兵往往吃惊地发现,敌人在夜暗中已悄然无声地出现在我方阵地上,还常常发现,四、五个穿着胶底鞋的中国人已不声不响地潜入他们与前哨警戒线之间的地带。这时,信号弹就会从敌人战线那边升起,疯狂的军号声就会把我方哨兵吓进碉堡,几乎来不及发出口令,战斗就打响了。

    我还记得,为了获得更多的战场照明器材以便在夜间也能瞄准敌人射击,我曾做出了不懈的努力。照明弹使用得越来越多,因此,我们试用了各种可用以照明的器材,其中包括大功率探照灯。这种大功率探照灯可以借助低垂的云层将光线反射下来。第二次世界大战中,我们在欧洲战场就曾采用过这种办法,收到了很好的效果。总之,这些措施减轻了防守在孤零零的前哨警戒线上的士兵们的负担。因为,他们常常要一连熬上好几个小时凝视着夜暗中影影绰绰、不可名状的东西,而且,他们有时在花岗石山岭上所得到的防护较之几个松垮无用的碎石堆好不了多少。中国人的夜间进攻特别神秘莫测,不可思议。首先听到的是中国军号独特的哭丧调,要么就是由五十来个中国人用英语发出的粗野叫喊声,再就是用以吓唬西方人的以死相威胁的喊话声或其他吵吵嚷嚷的声音。但是,我们久经沙场的部队此时已习惯于这种“音乐的伴奏”了。有时,他们还出去缴获中国军号,尔后,用缴获的军号把敌人的指挥信号搅乱。

    与此同时,谈判还在继续进行,不过,曾中断过很长一段时间,因为,敌人坚持要我们对一些捏造的“事件”负责,而我们则反驳说这些所谓的“事件”从未发生过。谈判令人厌倦地一个月接着一个月地往后拖延着,在战争的第一年中底眼看就要实现的停火象磷火一样变得越来越渺茫了。我知道,国内许多公民已开始认为:我们的鲜血和生命正白白地牺牲在战场上,而我们死硬的谈判人员却非要想在谈判桌上捞到什么便宜。但是,谈判桌上的斗争正是战场上作战的继续。无论最终达成何种协议,这种协议都必然会是军事上实际情况的反映。再者,尽我们之所能抗击敌人的一切进攻行动,以阻止其进一步将战线向南报移,这本来就是士兵们的艰苦任务。

    谈判确实是件耗费精力的事情。在谈判桌上,人们不断重复已经说过的观点,象演说家似地玩弄华丽的词藻,令人讨厌地谩骂与攻击,有时简直让人宁愿回到战场上去作战。但是,我还是决心除证明我们的坚定立场之外,还证明我们的谈判诚意。我打定主意,在谈判中决不失掉耐心或自制,同时,也决不屈服于敌人停止谈判的恐吓或威胁。关于谈判本身的情况人们已多次作过说明,并且谈得也很详细。不过,还有一些与谈判有关的问题有必要再提一下。

    联合国军在谈判中犯了不少严重错误,这是不容否认的。我认为,所有这些错误都产生于两种主要的错误看法;而这两种错误看法的根源又都一方面在于我们天真无知,一方面在于我们未能充分懂得我方代表团团长海军上—将乔伊直至停火一、两年之后才指出的如下事实:“共产党人既不贸然出席会议,也不仓促地进行谈判。他们往往首先进行一番精心的布置。他们关心如何保全‘面子’,并且重视通过有利的谈判地位取得实惠,这就使共产党人总是预先对进行谈判的客观条件进行周密的考虑。”

    他们抓住我们的各种失误所进行的宣传,对他们是大有好处的,尤其在亚洲人之中进行这种宣传,他们所获得的好处就更大。我想,时至今日,我们的文武官员们总该有了前车之鉴,总该在思想上有所准备了。当然,我指的是这样的官员,即那些今后有可能不得不在谈判桌上听任敌人散布简直使人不堪忍受的长篇谎言与诽谤的官员。

    谈判之初,我曾在给海军上将乔伊的信中指出:“对共产党人来说,你的客气就等于是让步,而让步则又是虚弱的明证。我建议你掌握好发言的分寸,使用奸诈助共产党人不会产生误解的语言和方式,建议你不要轻易表示谅解和尊重。”

    对于从未领教过共产党谈判手法的西方人,可以说,要想事先想象出事实真象被歪曲到何种程度实际上是不可能的。同共产党谈判要有极大的耐心,而这一点就连约伯(圣经里的希伯来族长,吃苦耐劳的典型人物。——译者)也会感到无法忍受的。

    谈判伊始,我们就作了一次让步。不久,我们又为此感到懊侮。在我第一次提出开始会谈时,我们曾建议将会谈地点设在一艘预定在元山港停泊、悬挂着丹麦国旗的“日德兰迪亚”号医院船上。当时看来,这种“中立区”虽则处在双方大炮射程之内,还是能够为双方欣然接受的。可是,共产党根本没有理睬这项建议。他们针锋相对地提出把开城(从理论上讲,开城是一座位于三八线以南“无人区”日城市)作为会谈地点。华盛顿指示我立即接受这项建议,以便为早目结束战争并证明我们的诚意而做出进一步的努力。

    可是,谈判开始后,根本就没有中立的气氛。开城掌握在共产党的手中。他们的武装警卫人员布满了谈判区。

    肩挎汤姆式冲锋枪的赤色士兵粗暴地对我方使节指手划脚。我方代表坐在插有白旗的吉普车中的样子被对方拍摄下来,作为投降的镜头供亚洲的新闻界发表。可是,我方新闻记者和摄影记者却被排斥在现场之外。我立即纠正了这种不平等的现象,采取的办法是;通知中国人,除非谈判区真的成为中立地区,并且我方记者也能到现场来访,否则,我方代表不再回来谈判。敌方谈判代表以很地道的共产党的方式同我们磨时间,要我们等着他们上级的决定。但是,当他们得知,在我方新闻记者获准采访之前我根本不打算让代表团返回谈判桌的消息后,他们立即作出了让步。

    即使如此,这个谈判地点的气氛还是从未令人满意过。

    有一次,我们被迫对突然出现一支中国武装部队一事提出严重抗议。这支部队携带的又是枪又是60毫米追击炮,他们径直从我们的吉普车前穿过。在这以前,我曾中止过谈判,直到赤色分子答应使谈判地点周围实现非军事化我才恢复谈判。所以,这次事件是对协议的公然破坏。海军上将乔伊立即提出了抗议,但得到的答复是,违反协议的那支部队只不过是个宪兵连。要我们相信宪兵连必须配备机枪和60毫米追击炮进行巡逻,这未免也太荒唐了。因此,我立即广播了一份声明,指出:我已下令中止谈判,直到我们能达成一项有关非军事化的、令人满意的协议为止。

    共产党人坚持了五天,最后,还是答应采取适当警卫措施,要我们恢复谈判。可是,我很快又获知,他们的英语广播报道的是“请求”我们恢复谈判,而其日语广播用的却是“要求”我们恢复谈判。于是,我宣布,我发觉他们的答复含糊其辞,因此拒绝授权恢复谈判。这样一来,反而使共产党的请求变得越加客气,并使双方达成了一项专门协议。

    然而,此后不久,事情又弄到不可收拾的地步。八月十七日,中国的一支警戒巡逻队在中立区遭到伏击,队长被打死。赤色分子坚决要求我们惩治肇事者并赔礼道歉。

    我方调查的结果表明:这次伏击确有其事,但开枪的部队着装杂乱,未戴钢盔,显然是不受联合国军控制的非正规游击部队。我们拒绝了赤色分子的要求,于是,谈判又接着进行。刚过五天,在一个大雨瓢泼的深夜,中国人又要求我方联络官立即前去核实一架联合国军飞机轰炸中立区的事件。我方的首席联络官美空军上校安德鲁,金尼及其助手陪同敌联络官前往遭受所谓轰炸的现场,并借助手电检查了证据。金尼发现地上有一些象是由埋没的手榴弹大小的爆炸物炸成的小窟窿,还发现一些看上去象是飞机机体的金属碎片以及一个可能是飞机副油箱的扭曲变形的金属物体。然而,地上并没有弹坑,也没有烧焦的痕迹。如果使用过凝固汽油弹是会留下这种痕迹的。在赤色代表住所西北面的地上还发现一枚火箭的尾翼。总之,没有伤亡,没有损失,也没有侥焦的痕迹,有的只是曾经有一架飞机用着陆灯对准下方照射、“袭击”了该地区的谎言。联合国军的飞机没有到过这个地区,而且,对方所用的证据也实在不值一驳,根本不能作为抗议的凭据。可是,共产党代表却拒绝等天亮再作较深入的调查。他要我们马上“认罪”和道歉,企图向全世界表明联合国军的“罪行”。这一要求被我方拒绝,谈判遂突然中断。当最终又恢复谈判时,我拒绝让代表返回开城,而坚持今后的会谈在板门店举行。

    板门店确实是个位于中立区的小村庄,距我方战线较近。

    谈判过程中曾出现过不少的障碍。但是,我方谈判人员依靠集体的智慧,以很幽默的方式顺利地克服了这些障碍。一开始,我们就碰到了一个不足挂齿但却有可能使整个会谈还未开始就得告吹的障碍:共产党的首席联络官就是不愿商量谈判开始的日期。他说,这个问题已由上级军官定了下来,他这一级无权讨论,已经定了的日期无法再行更改。正在主持双方联络官最初谈判的金尼知道根本就没有商定过什么日期。但是,他无法使对方承认这一点。

    共产党方面的首席联络官、北朝鲜军的张上校说,日期问题不在讨论之列。可是,没有日期便没有会谈的可能,金尼被搞得进退两难。于是,金尼的一位助手悄悄地告诉他,只需随便说出个日子就行,就说是双方已经商定了的。金尼真的这样做了,张果然接受了这个日期。于是,联络官之间的谈判又继续进行下去。

    实际上,级别较低的这一级人员在谈判中似乎要现实得多。显然,共产党的校级军官们认为,他们没有必要处处都为了“记录在案”而发言,也没有必要为了本国新闻部门的需要而在发言中恣意辱骂对方。因此,他们这一级的会谈总是更为实际、更为现实一些。可惜,这种作风一点也没有传到上面。

    共产党谈判代表们的个性、特点立即就引起了我方代表的极大兴趣,我方代表在此之前大都从未与共产党领导人面对面地打过交道。共产党代表突出的一点是几乎毫无幽默感。他们的脸上不露一丝笑容,只是当他们在争论中占了便宜时有时才会发出几声轻蔑的冷笑。很明显,没有哪个共产党谈判代表敢于放声大笑。即使有一次一位美国军官坐的椅子被压垮了,人摔倒在地板上,这些共产党的代表们也末敢大声笑出来。这就是说,在共产党的领导人之中,尤其在北朝鲜人之中,没有欢声笑语。他们显然决心要比克里姆林宫的共产党更加共产党化。但是,中国的联络官柴上校却常常难以抑制自己的笑声。当美国军官突然一屁股坐空时,他倒是不禁哈哈大笑起来。表现得最有自制力的人无疑是北朝鲜的李相朝将军,他那铁石般的相貌使我方下级军官看得入神。一天,几只苍蝇落到了李的脸上,其中有一只爬过了他的眉间,尔后继续顺着鼻梁往下爬。

    可是,李脸上的肌肉纹丝不动,他的眼睛和嘴巴仍然毫无反应。“他到底想显示什么呀?”我们的军官相互问道。李也许象与我们的祖辈打过仗的印第安人一样,是想向白种人显示他的铁石心肠和不达目的誓不罢休的决心。不过,现今这个时代的西方人已经变得非常老练,再也不会为之所动了。

    十月十日,敌人终于对我恢复谈判的提议作出了响应。其时,我们在全线所有战略地区取得了夺占和扼守全部高地的胜利。我相信,我们的胜利促使敌人认识到,他们一时无法将我们推回原地,最好还是准备坐下来解决问题。可是,敌人在谈判桌上却一如既往,还是那样地毫不让步,他们显然指望通过谈判得到在战场上未能得到的东西。

    谈判几乎刚一恢复就被联合国军飞机对扳门店的一次空袭破坏了。这一次不是编造的空袭,而确实是一次误炸事件。为此,我们承担了责任并表示了歉意。然而,这事件还是使谈判中断了两周之久,从而进一步增添了我们的困难。我们谋求的协定是个相当简单的协定:停火;粗略地沿当前战线建立一条横跨整个朝鲜半岛的缓冲地带;签署一项协议,规定各方只能停留在缓冲地带已方一侧,并且不得进入距对方海岸三英里以内的地区;停止向朝鲜境内调入军队与军用物资,不得增加现有部队数量;成立一个国际委员会负责监督停火,该委员会不一定非要归联合国领导。

    可是,赤色代表对和解或谈判不感兴趣。他们是想在宣传上捞到好处。而我们也许并未估计到,那些在我们看来明显是捏造的、欺骗性的东西,在亚洲人眼里却可能完全成为另一回事情。我认为:赤色分子还相信,通过使我们失去耐心,通过煽动,尤其是在战俘中进行煽动,他们可以为谈判桌上的宣传提供炮弹,从而在某种程度上达到他们的目的。

    如前所述,早在谈判之初,我就提醒过在耐性上已经受到过严峻考验的海军上将乔伊,赤色分子把使用客气礼貌的语言看作是让步的表现,看作是对其恐吓手法屈服的表现。我要求乔伊在与赤色分子打交道时也要象他们一样采取强硬的措辞。从那以后,他在谈判桌上压倒了说话态度强硬的共产党人,并且未让对方抓住一点可供宣传的把柄。

    谈判之初,如同当时人们可能预料到的那样,令人棘手的主要问题是如何来划分停火线。共产党代表坚持以三八线为界,而我们在政府的全力支持下则坚持停火线更应符合当前的实际军事控制线。我们准备放弃临津江以北、礼成江以西地区。该地区无法防守,位于三八线以南。但是在其他地区,我们希望基本上就按照目前战线的位置建立缓冲区。如果把我们的部队撤至三八线,并且沿着这条根本无法防守的线来部署兵力,那将无异于投降。看来,唯有根据当前的战线划分停火线才比较现实。我们还认为,应在一定程度上加强我海、空军方面的优势,这种优势,只有在实现停火和撤军的情况下才可予以放弃。

    当谈判还在没完没了地拖延时,赤色军队采取了一些行动,企图把我们推向三八线,从而使他们提出的停火线较实际军事控制线稍微接近一些。可是,到了这个时候,我们的防御体系已经十分坚固,敌人已无法突破。后来,在谈判双方仍在举行会晤期间虽发生过几次这场战争中极其惨酷的战斗,但我在东京任职的最后这段时间,战线位置并未发生重大改变。

    当然,当时仍然有人强烈要求我们再次向鸭绿江挺进,将侵略者全部从朝鲜赶出去,不过,范弗里特不在此列。对当时军事上的实际情况有着清醒认识的人,没有谁会相信凭我们手中的这点有限的兵力能够赢得什么全面胜利。后来接替我担任联合国军最高司令官的马克·克拉克将军,在停战协定签字一年多之后发表的一篇文章中这样写道:“我们从未得到过足够的兵力;而敌人却拥有足够的兵力,不仅能阻止我们的进攻,而且能成功地实施小规模出击,并保持由此所赢得的胜利。要彻底战胜敌人,就要有更多受过训练的作战师和能够提供支援的海、空军力量,就要承受重大的伤亡,就要打破我们自己规定的不得进攻鸭绿江以北敌人庇护所的禁令”。也许还可以这样说:一旦打破这道禁令,就会置日本于敌人攻击的威胁之下;如果发生这种情况,就会立即使战争的规模明显扩大。没有哪个肩负重任的美国领导人在当时能够使美国公众赞同这种做法。

    我在远东司令部任职的最后一个时期,大部分时间所关心的主要是与共产党方面的谈判。这些谈判单调乏味,罗嗦重复,气氛沉闷,令人生厌和恼火。所以,我很快便对早日结束这场互相残杀的战争丧失了信心。设在汉山(临津江畔距板门店仅十四英里的一个小村庄)郊外一个苹果园内的基地兵营改建成了一座永久性的设施。那里有一个—排球场,一个棒球场,几个掷蹄铁游戏场,甚至还有一个飞靶射击常有一顶演电影的帐篷,一所社交俱乐部,还有几所分别供士兵、初级军官和高级军官用膳的食堂。新添了一个直升机简易机场和一顶供会议使用的帐篷。新闻记者安置在一列停在一英里之外铁路侧线上的“新闻列车”上。有时,人们觉得,这些设施大概会长年累月地使用下去。

    战俘骚乱(后来成为整个战争中除作战问题外最使人头痛的问题之一)与停战谈判有着紧密的联系。这个问题有一度险些毁掉了整个谈判。现在有确凿的证据证明,这是共产党蓄意策划的一个长远阴谋的组成部分,旨在向亚洲人民表明美国是残暴的压迫者,而只有中国的力量能与之抗衡。因为发生这些骚乱时正值我在东京的任职行将期满,所以,我深感需要尽快解决这些问题,以免将问题全部推给我的继任者克拉克将军。但是,这些问题难以很快得到解决。战俘骚乱事件既不是自发产生的,也不是偶然出现的,而是中国与北朝鲜的最高统帅部制定的一项阴险毒辣的计划中可憎的组成部分。这项计划旨在利用战俘问题对我方谈判代表施加压力并达到重要的宣传目的。

    第9节

    早在一九五一年一月六日,我在给麦克阿瑟将军的信中就曾谈及如何处置我们所收容的战俘的问题。当时,我十分关心这方面的问题。我们所面临的,也是我本人所担忧的问题是,在作战地区附近,大约有十四万战俘。我们不得不为他们的饮食、监守以及治疗等问题操心。单是看守战俘营这项任务,就占用了我们相当一部分兵力(这些兵力我们几乎抽不出来)。为了运送物品满足他们的吃、穿、住之需,我们还要动用大量在当时已经十分紧缺的运输工具。如果我们被迫撤离朝鲜半岛,那么还要为转移这批人费神。如果在朝鲜坚持下去,那么我们相当一部分后勤保障工作将不得不服务于他们的吃、穿、医疗,甚至用水之需。

    在复信中,麦克阿瑟告诉我,他已经建议将战俘转移到美国本土。这些战俘不能送往日本。这不仅因为他们在日本可能会激起日本国民的愤怒,而且因为把他们长期放在那里可能会引起人们谴责日本好战成性。华盛顿并没有就转移战俘问题迅速作出决定,最后,打算将战俘关押在朝鲜南部沿海较大岛屿上的集中营里。选择的第一个岛屿是济州岛。但是,该岛居住着大约二十五万人。如果象原先计划的那样把战俘转移到这个岛上,那么,战俘以及南朝鲜的各类军事人员和文职人员,再加上担任集中营监管任务所必需的部队,总人数会比该岛人口还多出一倍以上。

    不消耗大量的时间和巨额经费,该岛根本无力支持这种突然流入的大批人员。因此,我竭力反对向济州岛转移战俘。

    后来,又决定将战俘运往巨济岛。这个岛比较小,位于釜山西南只有几英里的地方。选择该岛也只是一种不得已而为之的办法。因为,根据巨济岛本身的情况,一个神志正常的人大概不会选它作为建立营地的场所。岛上山石满布,几乎没有可供营建和分散设点的平地。结果,巨济岛很快就塞满了人,这些人大大超出了大自然允许该岛所负担的数量。除不断增加的成千上万名战俘之外,还有数以百计的警卫和其他看守人员。集中营里战俘的数量要比进行正常的监管所规定的数量多得多。由于这种情况,共产党人发现,他们能比较容易地实行一些我们当时毫无察觉的计划。这些计划是:煽动群众性示威,组织骚乱、反抗和越狱,以及控制、压服非共产党员战俘等等。我们能够抽调出来负责战俘营工作的人员不称职,没有必要的警觉性,不能及时察觉这些阴谋活动,或者识别并孤立其中的核心人物。

    在巨济岛建立了四块由带刺铁丝网围起来的场地。每一场地又划分成八个临时集中营,每个集中营计划收容六千名俘虏。但是,到一九五二年,战俘数量已经超出该岛所能容纳的数量,不得不把他们关押到另一个靠南的小岛峰岩岛上。尽管关押俘虏的这些营地相互挨得很近,容易出事,而且,担任看守的士兵又不敷调用,但是停战谈判开始之前,哪个集中营都没有发生过什么了不起的乱子。

    后来,在我们对这些阴谋毫无察觉的情况下,共产党最高统帅部由一个叫南日的人策划制造了一系列事件,旨在在亚洲人民面前损害联合国军的形象。

    为能顺利地制造这些事件,并掌握好事件发生的时机,有必要建立一个由一支纪律严明的“队伍”组成的完整的组织系统。这支“队伍”将迅速地、毫不犹豫地执行各项命令。

    这就要求有一个严密的联络系统。毫无疑问,由于监禁战俘的场地非常狭小,场地与场地之间相距又非常近,因而要做到这一点并不困难。战俘营里的共产党领导人(许多是故意投降的,以便能将其上级的指示传下去)想尽各种办法将纸条从一个营地传到另一个营地。由刚刚投降的俘虏带进来的他们最高统帅部的各项命令和指示,会拴在石头上从一个营地扔到另一个营地。有时,为把命令传到较远的地方,他们会采用唱歌的形式传递,将命令偷偷藏在供给品中传递,或者利用其他信号进行传递。总的说来,这个联络系统组织得十分周密,差不多可以克服任何障碍将命令传达下去。

    医院的病房成了共产党上层领导分子举行会议的理想场所。这些上层领导分子为了与其下级或同僚碰头,制定新的具体的骚乱方案,常常会装病住院。为了保证他们的“队伍”内部能做到服从命令,他们正式规定了一套纪律,成立了袋鼠法庭(在美国,系指非法的或不按法律程序行事的非正式法庭,也指囚犯在狱内组织的模拟法庭),制定了刑法(甚至包括死刑在内),以便对付那些背弃党的路线的人。这样一来,非共产党分子就完全被吓住了。比较有影响的或难以控制的非共产党分子则被他们除掉。

    正当谈判在帐篷内艰难地进行时,战俘营开始骚动起来。他们这样做是为了响应南日的指示,同时也是为了配合谈判中几乎天天都有的对所谓“西方帝国主义分子”罪行的谴责。这种谴责我方代表早已听腻了(但是,共产党的记者却迫不及待地抓住这些内容,很忠实地刊登在赤色报刊上)。

    第8集团军管辖的战俘营都是严格按照一九四九年日内瓦公约进行管理的,按照由于俘虏们已不再继续作战、因而他们应受到人道的待遇这样一个明确的精神进行管理的。同时,日内瓦公约还规定,俘虏不管自愿与否都应服从“收容国武装部队中各项有效的法律、规定和命令”。“在战俘违反这类法律、规定和命令的情况下,”收容国“采取法律性或纪律性措施被认为是正当的。”不论北朝鲜还是共产党中国都从未宣布过他们愿意遵守这一公约,也没有象我们所做的那样允许国际红十字会代表进行监督和视察。

    我们已经注意到北朝鲜人对待俘虏的态度。他们常常反剪俘虏的双臂,尔后向俘虏后脑勺开枪将其打死。我发现中国人要讲人道得多(为了达到宣传的目的)。但是,关于他们对待被我们收容的俘虏的态度,我们却很不了解。也许,我们事先就应想到:按共产党的那套逻辑,他们会认为这些俘虏完全可以牺牲掉,会认为这些人的价值在于他们大概还能为共产主义的最终胜利做出点贡献。但是,我们事实上并未预见到这种情况。日内瓦公约主要涉及的是俘虏的权利问题。我们没有想到需要专门考虑收容国的权利问题,即采取有力步骤对付战俘营内中坚分子的叛乱问题。

    由于我们企图将俘虏区分为同意和拒绝遣返回国这两种人,一九五二年一月出现了发生真正麻烦事情的第一个征候。在这之前的一年,为了把受共产党压力而被迫服役当兵或当劳工的朝鲜平民区分出来,曾经进行过一次审查。

    当时,我们不曾遇到任何抗拒行动。三万八千名俘虏因此而被划为平民予以释放。

    以往,集中营里也曾不断发生各种未经组织的闹事行为,但看守人员都能够处理这些事件。然而,一九五二年初,谈判双方正在讨论俘虏的遣返问题。华盛顿采取了这样的立场:我们决不同意将任何不愿意回去的俘虏遣送回共产党中国。共产党方面认为,为了卓有成效地讨论这一问题,他们需要知道有多少俘虏能够送回国去,有多少俘虏会取得某种避难权。为此,我们又着手进行另一次审查。

    这一次,战俘们进行了暴力抵抗。后来我们得知,这是根据来自板门店的直接命令采取的行动,那里的共产党领导人为了加强他们在谈判桌上讨价还价的地位,需要制造一个能有力地证明战俘们赞成遣返回国的事件。

    在一个营地里,犯人们用只有天才才能想到的各种各样临时凑合的武器(镐把、带刺的铁丝做的连枷状武器、秘密地用收集在一起的金属碎片磨制而成的刀斧,甚至用帐篷撑杆做成的长矛)武装起来,袭击了美军第27步兵团的一个营。该营是派进来在南朝鲜审查委员会调查情况时维持秩序的。鉴于避免造成任何死亡十分重要,士兵们仅使用震荡手榴弹来阻止暴乱分子(如果造成死亡,共产党方面就能将其夸大成大屠杀)。最后,指挥官不得不命令部队向暴徒们开枪。直到这时,战俘们才撤了回去。在这场骚乱中,一个美国人被杀害。犯人中有好几个被打死,另有一百多人受伤。

    正是在这次暴乱之后,我们才决定将战俘营疏散到济州岛和峰岩岛,并决定增加看守和警戒人员。可是,我们仍然没有真正了解这一阴谋的复杂性和深刻背景。

    整个春季,战俘营中的骚乱事件不断增多。他们举行群众大会,打着写有反美口号的大幅标语,升起北朝鲜的旗帜,并且组织各种各样的挑衅和反抗行动。

    到四月底,在巨济岛上的十七个战俘营中还有七个没有完成调查工作。这七个战俘营闹得最凶。事情很清楚,只有在双方付出某些生命的代价、我们强行进入战俘营并对战俘严加管束之后,才能正常地统计同意和反对遣返的人数。范弗里特又将美军一个营调进去协助平息这几个战俘营的骚乱。同时,他还命令另外几支战斗部队进驻釜山,准备在突然发生严重骚乱时迅速开进巨济岛。当时,他就可能出现的事态提醒我说,如果在进行反抗的集中营中动用武力,那么已经完成调查工作的集中营肯定会加入到反抗的行列中去。

    根据后来掌握的情况重新总结这段历史,人们可能会说,如果当时使用武力来了结这桩倒霉的事情情况可能会更好一些。毫无疑问,这件事情用武力是可以完成的,尽管会造成许多伤亡。也许,如果我们的情报部门在当时能象不久之后那样,发现这一周密利用这些战俘中反抗情绪的、涉及面很广的复杂阴谋,那我或许就会采取另外一种不同的立场了。但是,我当时并不清楚,现在也不清楚,共产党方面为取得宣传上的胜利究竟准备牺牲他们自己人多少生命。

    实际发生的情况是,由于停战谈判的情况看来有了好转,我请求参谋长联席会议同意暂时停止调查活动,干脆把几个采取抗拒行动的集中营中所有的人都算作赞成遣返回国的人。参谋长联席会议立即表示同意,认为,这些战俘里任何强烈反对遣返的战俘,在实际交换战俘之前,甚至在交换开始之后都还有机会表达他们的意愿。

    共产党失去了一次嫁祸于联合国军的机会,而且,在和平即将来临之际,一次无谓的牺牲得以避免,对此我感到十分高兴。然而,我的本意并不是要集中营放松纪律或管理。战俘问题最终还是我的事情,尽管具体的处置权已授予集团军司令。处理战俘问题是集团军司令的主要职责,因此我不久就提醒他要履行自己的职责。

    五月初,我所辖部队的宪兵司令视察了巨济岛上的战俘营,并向我递交了一份令人不安的报告,指出那里的管理很不得力。曾发生过好几起战俘短期扣押联合国军军官作为人质的事件。在某些抗拒最坚决的集中营里,战俘们甚至不让将提供给他们的食物和用品送进去,我立即给范弗里特发出一份措词尖锐的电报,提醒他,尽管放弃了调查计划,但仍须保持正常的管理。而从范弗里特的反应来看,他关心的好象是这样的事情,即宪兵司令竟然在通知他范弗里特之前就将在集中营看到的情况报告了总部。

    根据这份报告,我觉得很难理解为什么对后来很快又发生的惊人事件就不能有所预见,有所准备。五月七日,共产党战俘扣压了联合国军战俘营司令弗兰克·多德准将,并且扬言,如果他们的要求得不到满足就把他杀绰。

    这位准将是在没有适当警卫跟随的情况下去会见共产党俘虏的。这些俘虏诡称要与他就一些不满的事情进行谈判。

    他们一将他抓到手就宣布说,如果我方人员开枪,他们就结果他的性命。多德本人则传出口信,要求当晚(当时已是下午较晚的时候)五点钟之前不要派部队去解救他。范弗里特指示,除非第8集团军司令亲自批准,否则,不得使用部队解救多德。因为,问题不单单是多德的生命处于危险之中,一场大规模的越狱行动好象已迫在眉睫。如果动用部队,看来肯定要在双方引起一场恶战,在战俘中将会造成严重的伤亡,结果会产生极其恶劣的影响。

    这次危机差不多就是在我预定启程赴欧洲的前夕发生的。我奉命到欧洲接替艾森豪威尔将军,他当时正准备参加共和党总统候选人提名的竞选活动。在多德将军遭到劫持的消息传到我这里时,我的继任者马克·克拉克将军已经到达东京。我立即让我的参谋长多伊尔·希基召集我的主要参谋人员举行一次晨会(五月八日)来研究这一事件。我准备会后立即启程前往朝鲜。由于这件事四天之内(我已接到参谋长联席会议的命令,要我于五月十二日离任)将全部交给克拉克将军负责,所以我要他和我一同前往。但是,我还是决心自己和范弗里特一起先制定一个解决这一棘手问题的方案,而不想如此草草地将问题丢给克拉克将军,增加他的负担。

    在我们到达东京之前,范弗里特已命令增援部队由釜山开往巨济岛,并且派美第l军参谋长查尔斯。科尔森准将接替多德统管战俘营。多德的职务则被范弗里特正式解除。科尔森于五月八日到达巨济岛,他立即通知共产党人多德已不再担任战俘营司令职务,并警告他们说,如果在规定期限内未能不加伤害地释放多德,联合国军部队将开进战俘营以武力解救他。

    与此同时,共产党人提出了他们的要求,多德则同意充当中间人的角色。起初,他们要求对战俘联合会予以承认,并要求在几个营地之间建立电话和摩托车通讯联络。

    当克拉克将军和我抵达朝鲜时,范弗里特告诉我,他打算与战俘就释放多德的问题进行谈判。这意昧着,问题的解决至少要拖延四十八个小时。对我来说,这种拖延就意昧着失败,因而是全然不能接受的。但是,我知道,我们采取的每一个步骤都会影响到停战谈判。所以我觉得,在下达任何命令之前我都应当首先与我方首席谈判代表乔伊海军上将进行磋商。我们一行飞到了汉城。在那里,海军上将乔伊真心诚意地同意我的看法,即任何拖延和姑息都会被共产党人看作是投降的表示。他还认为,我们应当立即要求释放多德,并以武力来支持我们的要求。

    于是,我写信指示范弗里特将军,要他使用一切必要的武力手段甚至包括坦克在内,立即在战俘营中建立秩序,并将这种秩序一直保持下去。范弗里特立刻命令美第3师的一个坦克营从他们在北部的阵地出发,由陆路行驶二百英里,然后再由登陆舰输送到巨济岛。如果赤色分子拒不执行我方要求,或者进行拖延,我就决定开枪射击,而且以最好的效果进行射击。自然,我明白,我的命令可能会使共中党人将他们威胁要对多德采取的行动付诸实施。对这种有可能出现的严重后果我准备承担一切责任。

    我对范弗里特和其他人想拯救一位朋友生命的心情是深表同情的,但我认为,多德会象每一位其他的职业军人一样,在他决定选择自己的这项职业时,已经做好了横死敌手的准备。为了支持我国政府否认对共产党人犯过什么根本就不存在的罪行,为了支持我国政府坚持我方关于遣返战俘的立场,已经有许许多多的军人献出了他们的生命。

    在战争中,一位将军的生命并不比一位普通士兵的生命更宝贵。为了捍卫祖国的安全、自由和荣誉,要求每一个人随财都得准备献出自己的生命。如果为了拯救一位军官的生命我们就放弃士兵们所献身的事业,那么我们对那些把生命托付给我们的士兵就是一种背叛和犯罪。

    这不是一般的维护安全和秩序的问题。这些无视战俘营所有合法规章制度的共产党人显然还认为自己是战斗人员,他们随时准备发起攻击,企图压倒我们的部队。这是另外一场战斗。这种战斗与那些在过去两年中士兵们为不使自己为之奋斗的事业遭受损害而宁愿每时每刻冒生命危险进行的战斗是一样的。这些就是当我下达可能使多德将军送命的命令时所联想到的一切。

    然而,范弗里特拖延了命令的执行。坦克营没有按时到达是一个原因,还有其他我不大清楚的原因。在干完中间人的事情之后,多德从共产党人那里收到一份指控战俘营管理机构杀害和摧残战俘的长长的罪状。同时,他向他们承认(据赤色分子称),在某些事件中,战俘营管理机构是有罪的。科尔森已经指示部队做好准备,如果多德在五月十日上午十时前不能获释,便强行开进战俘营。当部队和坦克最后作好采取行动的准备时,共产党人又送出一份比以往提交的任何一份要求都更为苛刻的要求。他们差不多是要联合国军当局彻底丢丑。他们要当局承认自己所犯的罪行比第二次世界大战期间纳粹所犯的罪行还要野蛮。下面是从战俘提交的译文(译得很草率)中摘录的部分内容:1.立即停止你们军队的野蛮暴行、侮辱、拷打、强迫写血书声明的做法、威胁、监禁、大规模屠杀、枪杀和机枪扫射、使用毒气和细菌武器、用战俘进行原子弹实验。

    2.立即停止对北朝鲜人民军和中国人民志愿军战俘进行非法的、毫无道理的所谓志愿遣返。

    3.立即停止对数千名在武力下处于被奴役地位的北朝鲜人民军和中国人民志愿军战俘进行强迫性的调查(甄别)。

    总之,要求联合国军司令部对赤色电台一直针对我们所进行的全部疯狂的、毫无根据的诽谤表示服罪。这样,板门店的联合国军谈判代表一直采取坚定立场的遣返政策就等于要被迫放弃。这种失败使我们蒙受的耻辱和损害不亚于在流血的战争中遭到的任何失败。科尔森与其直接上司保罗·扬特将军进行了磋商,尔后起草了一份答复,除一条不太重要的问题外全部拒绝了赤色分子的指控,但同意不再进行甄别。互换信件、起草答复信以及进行枯燥乏昧的文字翻译耗费了许多时间,所以,当第一次超出时限时我们没有采取行动。

    这时,战俘用粗野的语言提出的新的要求已传到我的司令部。我立即电告范弗里特,要他制止科尔森对战俘进行答复,以免联合国军的事业遭受严重损害。同时,我向范弗里特指出,我仍然不能准确而迅速地得到为执行我的命令战俘营司令采取过何种行动的详细报告。我还告诉范弗里特,我无法理解他为什么还没有执行我五月八日关于使用一切必要的武力建立并维持秩序的指示。

    五月十日下午八时,即“限期”过后十小时,科尔森和多德起草了一份赤色分子很乐于接受的答复。这份答复的确很容易让对方接受,因为,在答复的第一段中,前战俘营司令对战俘领导人捏造的最恶毒的罪状之一表示认罪。

    下面就是答复的第一段内容:

    “1.关于你方信中的第一项内容,我承认发生过流血事件。在这些事件中,联合国军使许多战俘遭到伤亡。我可以保证,今后战俘将根据国际法的准则在本战俘营受到人道的对待。我将在我的职权范围内尽一切可能防止再发生暴力事件和流血事件。今后,如果再发生此类事件,我愿承担全部责任。”

    共产党还想迫使我方作出更具体的表示悔过的答复,因此将摊牌的时间一直推迟到那天深夜。后来,由于主要目的已经达到,他们显然认为已经没有必要再刺激我们使用武力了。于是,他们在五月十一日下午九时三十分释放了多德。我从羽田机场启程的时间预定在第二天下午三时左右。很明显,必须进一步采取措施来彻底平定战俘营中的骚乱。但是,这需要由克拉克将军作出决定,几小时之后就要由他来担负全部责任了。于是,我建议在第二天早晨八时将指挥权移交给克拉克将军,他亦表示同意。

    克拉克将军为了恢复对巨济岛战俘营的控制,在以后的几天中采取了断然措施。他命令海登·博特纳准将(后晋升为少将)采取一切必要的行动。于是,博特纳迅速而有力地采取了行动。他立即下令让所有的老百姓撤离该岛,并且改组了战俘营的管理班子。他让工兵重建集中营营地,以便使每个营地容纳的人数不超过五百人。卫兵们奉命随时准备开进任何一个有反联合国标语或有北朝鲜旗帜的战俘营中,并且可以使用一切必要的武力来消除这些标记。

    共产党领导决定抵制我们分散他们力量的做法。他们秘密制造了各种各样的原始武器,包括利用本来供他们烧饭用的汽油制成的莫洛托夫燃烧瓶。有一个战俘营,他们甚至在大门前挖掘了一条堑壕,决意在那里进行抵抗。范弗里特命令第187空降团战斗队前往巨济岛增援博特纳的部队。六月十日,他们开进了那些共产党领导人拒绝让其人员分编成小组以重新分配关押地点的集中营。联合国军部队使用催泪弹(使战俘秘密贮藏的汽油着了火)和步枪,有条不紊地平定了进行抵抗的集中营。一个半小时之后,抵抗终于停止。一百五十多名战俘被打死、打伤。一名美国人丧生,十三人受伤,兵营被大火烧毁。但是,从那以后,尽管暴力行动和违抗行为偶有发生,但战俘营还是被控制住了。非共产党俘虏被区分出来并分别安置在不同的集中营里。共产党分子则被分成若干大队,每队人数为五百或略少于五百,所以,后来发生的骚乱都很快被催泪弹所平息。

    当停战谈判继续进行时,在各个集中营中还发生过一些其他的危险事件。但是,唯一的一次重大骚乱事件是一九五二年十二月发生在峰岩岛的事件。当时,死硬的共产党员战俘企图组织一次大规模越狱行动,结果造成八十五名战俘被打死,一百多名被打伤。这一行动发生不久,共产党分子准备的一份关于这次暴乱的手抄的总结落到我们手中。这份总结清楚地暴露了共产党人为达到宣传目的而不惜牺牲这些战俘生命的冷酷心肠。

    “我们的战友,”总结写道,“决心光荣地死去……他们在战斗中失去的只是自己蒙受耻辱的生命。献出这些生命是为了获得解放和光荣的胜利……祖国朝鲜的儿子们和伟大的斯大林的光荣战士们彻底揭露了美帝国主义非人道的、兽性的、残忍的屠杀暴行,使世界和平的人民、祖国、党和一切民主国家发出了复仇的呼声。”

    如果更早一点采取强有力的行动是否能防止赤色分子得到这次宣传的机会,这一点令人怀疑。可以肯定,只要他们还能制造出亚洲报刊上的头条新闻,控诉美国人为杀人凶手,就没有理由认为他们会因为在更无希望的斗争中流出更多的鲜血而缩手不干。然而,我确信,如能按我的指示迅速、果断地粉碎巨济岛上的反抗,本来是可以使赤色分子得不到有力的证据的,甚至会更快地实现停战。

    不过,在朝鲜的作战现在已不再归我直接负责了,因为,五月十二日,我移交了指挥权,离开了远东。海军上将乔伊在最后提出一项共产党方面后来表示同意的建议之后,亦请求上面免除其进行谈判的任务,他从事这项工作已达十六个多月,显示出非凡的才干和耐心。这样,五月二十二日,曾由我指派担任谈判代表团成员的小威廉·哈里逊中将接替了他。哈里逊是因蒂普卡努之战而闻名于世的第九位美国总统威廉·亨利·哈里逊的直系后裔。他担任谈判工作一直到签订停战协定为止。

    这时,战场的情况变得与第一次世界大战时的情况颇为相似:挖掘了许多深深的掩体、堑壕,设置了防护铁丝网,警戒阵地绵亘不断,大多数战斗都发生在警戒阵地上。

    随着敌人加强其炮兵的力量并不断提高其炮兵的数量和效率,夺占可用以观察的制高点就变得越来越重要了。所以,沿警戒阵地进行的战斗常常打得很残酷,很顽强。七、八月间,由于暴雨的缘故,曾出现过一段很长时间的平静。

    但是,在此期间,只要天气条件允许,敌人就会发起猛烈进攻以夺占并固守我方警戒阵地,尤其是“铁三角”左右两角铁原和金化附近的警戒阵地。

    现在,南朝鲜人占半数以上的联合国军几乎在各种情况下都能够坚守我方重要的警戒阵地,或者以反冲击重新夺回丢失的阵地,而且,在好几个地点,他们甚至插入中国军队防御纵深,夺占并据守一些制高点。在这些发生在警戒阵地上的战斗中,敌人遭受了重大损失。在中国人撤退之后,常常可以在战场上发现他们的好几百具尸体。深秋时节,敌人在东部地段发动了一次大规模进攻,企图突破我主要抵抗线。但是,敌人刚刚取得突破就被击退,我防线随即又恢复了原先的态势。由于敌人仍然依靠其惯用的战术,所以又一次付出了重大伤亡。这种战术使部队不顾伤亡地向我阵地冲击,因而敌人在我炮火之下尸横遍野。

    在我空军和海军不断进行猛烈而准确的轰炸的情况下,敌炮兵仍得到了加强。从落在我方前线阵地上的各种口径的炮弹数量不断增加这一点可以看到其加强的程度。

    一九五二年九月的某一天,有四万五千余发炮弹落在第8集团军的阵地上。十月份,在联合国军防线上创造了一天落下九万三千发炮弹的纪录。敌人还提高了射击精度,改进了战术。这时,他们已能做到集中火力打击一个单独的目标,尔后不时地转移火炮,以避免被我测出其发射阵地的位置。

    由于实施了范弗里特新制定的紧张的训练计划(这是一项他完全可以引以自豪的计划),南朝鲜军队已经发展成一支能打仗、有信心的战斗部队。这样,范弗里特才得以将他们使用到各个防御地段上。到一九五二年年底,前线部队总数的四分之三几乎都成了南朝鲜部队。一九五二年十二月,部署在前线进行防御的十六个师中,南朝鲜师占十一个,美国陆军师占三个,美国海军陆战队师一个,再就是英联邦的一个师。还有一些南朝鲜部队曾用于加强美军的一些师,如美军第1陆战师得到了一个南朝鲜陆战团的加强。范弗里特掌握的预备队中有一个南朝鲜师和三个美军师。

    一九五三年一月又调整了部署,在前线增加了十二个南朝鲜师和联合国军的八个师。增加的兵力大部分放到了铁三角底边的第9军防御地带内。在这里,敌人曾不顾一切发动过一次进攻,企图突破主要抵抗线,夺取我制高点上的警戒阵地。此时,第8集团军和南朝鲜军的总兵力已达到七十六万八千人,其中包括勤务部队和警卫部队。沿着犬牙交错的战线与他们对峙的是将近一百万中国人和北朝鲜人——在前线,部署有中国七个集团军和北朝鲜两个军,总兵力为二十七万人;预备队由十一个中国集团军和一个北朝鲜军(共五十三万一千人)组成。

    一九五二年的空战达到了朝鲜战争中前所未有的规模。八月二十九日,第5航空队对平壤进行突袭时出动了数百架飞机,其中包括陆战队、空军、海军以及澳大利亚和英国的飞机。在这次大规模突袭之后,作为敌补给中心、维修基地、铁路枢纽、部队集结地域以及军事首脑机关所在地的北朝鲜首都几乎成了一片废墟。敌人对这次升级的轰炸所作出的反应是急剧增加了米格截击机的出动数量,以对付我们的“佩刀”式喷气机。但是,我们受过优越训练的飞行员保持了制空权。一九五二年九月,第5航空队的飞行员击落了六十四架米格—15飞机,自己仅仅损失了七架“佩刀式”喷气机。

    在冬季的几个月中,全线的战事变成了小规模的巡逻行动和袭扰性进攻。在战争的这一阶段,敌人似乎专门采取一些伏击行动。我们的巡逻队常常发现敌人埋伏在深谷和山坡的丛林中。尽管双方明显处于相持状态,但整个战线仍不断发生伤亡。在防御作战中,要想坚守阵地而又不采取任何行动,这是根本不行的。敌人过于强大,我们增加这点有限的兵力不可能迫其向北后退。尽管如此,我们仍须实施积极防御,仍须将敌人阻止在距我主要防线适当距离之外,而且,还须限制敌人加强其防御力量。在这种战斗中,还必须保持作战部队的进击精神,因为一旦斗志松懈,就会使部队完全丧失警惕,部队在遭受突然袭击时就会迅速瓦解。因此,不论是白天还是黑夜,在战线的某些地段总要发生一些激烈的战斗。我们顽强地守卫着自己的警戒阵地,使敌人无论得到什么东西都要付出昂贵的代价。夏季,整个战线的许多关键性高地曾数次易手。当时,为夺回一些被敌人暂时夺走的阵地,我们在此次战争中最强大的炮火集中支援下,在猛烈的空中突击配合下,曾坚决地实施了多次反冲击。有几个警戒阵地我们认为不值得花费代价再重新夺回来。不过,总的来说,从黄海之滨富庶的平原到日本海的崎岖海岸,我们的整个防线防守得很牢固,有些地段甚至还得以稍稍向前推移。我们逐渐使中国人体会到,他们用任何部队都无法使停火线向南推移。

    在战争的最后一个冬季,战斗的规模再次缩小,变成了双方沿警戒阵地巡逻的、双脚冻僵的巡逻队之间的冲突,只是第8集团军为防止敌工事构筑得过于坚固才偶尔对中国和北朝鲜阵地发起十分猛烈的袭击。在突然同时实施集中的炮火袭击和密切协同的近距离空中突击之后,位于各个地带的联合国军小部队就会立即出动,捕捉、击毙和赶走敌人,然后将其工事破坏。春天的气息刚刚返回大地,敌人便开始反击(在朝鲜,春天并不总是充满了鲜花和烟草)。这时,第8集团军换了一位新的司令,即马克斯韦尔·泰勒中将。他替换了范弗里特。范弗里特即将退出现役。

    战斗首先在西部地段重新打响。中国人力图通过进攻美第2师和第7师控制的高地在西部地段突破我主要抵抗线。他们穿过了地雷场和铁丝网,把防御者赶下了山头,几乎在这一地区达成突破。为此,他们付出了巨大的代价。

    只是在我们的多次反击下他们才撤了回去。我们以密集的炮火猛烈轰击了他们的退路,使他们又遭受了重大伤亡。

    在第7师防御地段上,即铁原西北,中国人在付出大约七百五十人生命的代价后夺占了一个设在一座山头上的主要防御阵地。再往西,他们为迫使第1陆战团由警戒阵地南撤也发动了一次进攻。可是,经过数日的反复争夺、彻底战斗以及用猛烈的炮火孤立战场,陆战队员们终于重新建立并牢固地控制了警戒阵地。与此同时,敌人继续伏击我巡逻队和袭击小分队,在交战中给我们造成了不少的伤亡。新当选的总统艾森豪威尔将军在十二月份视察了朝鲜,保证要早日求得和乎。可是,在整个战线上,和平仍然象幻梦一样遥远。

    春意盎然的时节,积雪溶化,稻田里的粪肥散发出水果般的清新气味,战场又出现了短暂的宁静。这是因为,道路泥泞无法通行,河溪水源流急无法徒涉。另外,还有一个很明显的原因,就是板门店的谈判代表们终于静下心来,相互间开始作出让步了,尤其在遣返战俘的问题上。

    因此,甚至总是对停战的传闻持怀疑态度的前线士兵们也开始相信停战大概真的指日可待了。四月十一日,终于达成了一项以六百零五名联合国军战俘交换十倍于此的敌军战俘的协议。我军士气高昂,这应归功于许多因素:我们已具备了抗击敌进攻的能力,我们有日益增强的空军,这支空军向地面部队提供近距离空中支援的机动性有了提高。

    还有一个很重要的因素,就是我们实行了轮换制度,使许多服役到规定期限的老兵获得了回国探亲的机会。这时,联合国军除那些长期以来一直与我们一起战斗的澳大利亚和英联邦其他国家和地区的许多部队之外,还包括有来自许多国家的部队:荷兰、土耳其、希腊、菲律宾、挪威、瑞典、哥伦比亚、法国、印度、甚至还有泰国的部队。为了满足食物、服装、宗教信仰诸方面的独特习惯,我们的后勤补给部队遇到了许许多多很伤脑筋的小问题。荷兰人想喝牛奶,而法国人却要喝酒。穆斯林不要猪肉,印度教徒则不吃牛肉。东方人希望多食用一些大米,但欧洲人却想得到更多的面包。为了适合土耳其人的特点,鞋子必须做得特别地肥大。而对于泰国人和菲律宾人,鞋子又不得不做得特别地瘦校对于身材矮小的东方人来说,美国的衣服显得太大。只有加拿大人和斯堪的纳维亚人比较容易适应美国的食物和服装。尽管如此,我第2后勤部还是解决了所有的问题,满足了全部要求。

    战争中,首当其冲的主要是地面部队的士兵。但是,海、空军亦不断勇敢地而且常常是默默无闻地作出他们的贡献。沿着北朝鲜海岸有一些岛屿,上面有亲南朝鲜政权的游击队在活动。他们需要补给和我方炮火的支援。这些只有我们的海军可以提供。敌元山港几乎不断处于我舰炮火力轰击之下。我们的大小舰艇紧靠朝鲜海岸线进行巡逻,以保持对敌人的严密封锁,并防止敌军沿我东西海岸的两翼实施机动。

    空军、海军陈战队以及海军的飞机不间断地监视敌人的防线,狠狠打击敌军运送部队和补给品的车队。使北朝鲜工业体系很大一部分遭到破坏和摧毁,此外还在陆上和海上担负了极其危险的救援任务。虽然当时直升机的运用无论在效率上和数量上均未达到迄今在东南亚战场所达到的水平,但是,我们当时已开始采用从直升机上用缆绳将出事的人员从海上救起并运往安全地带的方法了。我们还用直升机将身受重伤的士兵在一两小时内从被孤立的高地上运往后方外科医院,否则,可能需要花费很长的时间才能将伤员运到医院。此时,我们的飞行员执行低空轰炸任务就如炮兵执行任务一样习以为常。有时,他们在执行低空轰炸任务时根据地面指挥官的直接命令与部队行动进行协同,取得的效果甚至超过了炮兵。

    泰勒将军象范弗里特和我以前一样,在和平似乎就要来到时,并不愿意为换取朝鲜的土地而眼看着牺牲许多的生命。但是,一九五三年四月,当敌人认为必须以“胜利”来结束这场战争时,泰勒对他们是有非常充分的准备的。

    四月底,第8集团军的观察人员报告,敌人的活动发生了重大变化。他们正在由北面不断调部队占领靠近战线的许多阵地。敌炮兵和坦克也都进入了阵地,以便提供近距离支援。此外,我方巡逻队在执行巡逻任务时,在双方警戒阵地之间与敌部队的遭遇远较过去频繁。

    一九五三年,将近五月底时,中国人开始了最后一次攻势,发起了一系列进攻行动,这些行动一直持续到差不多就要在停战协定书上签字时为止。他们首先突击了处于铁三角底边的第9军防御地段。象以往一样,他们将首次打击的矛头指向了南朝鲜人的阵地。敌榴弹炮、追击炮炮火异常猛烈,而且,中国人以团规模的部队发起了进攻。

    可是,这一次南朝鲜人稳稳地守住了阵地。在军、师炮兵的集中射击下,中国人撤退时遭到严重杀伤。在过去的一年中,我军在这一地区的力量大大加强,从而使这段防线变得几乎坚不可摧。

    中国人又进行了一次尝试,对第1军防区内的五个警戒阵地发起了一次进攻,这些阵地是由第25师的土耳其旅负责防守的。这里的战斗达到了白热化的程度,中国人显然决心要不借一切代价夺取这几个阵地。土耳其人与中国人进行了白刃格斗。当敌人直接穿过他们自己的迫击炮和火炮弹幕发动进攻时,土耳其人与中国人展开了交手战。

    在被敌人的第一次冲击压回去之后,土耳其人发起了猛烈的反冲击,并夺回了他们曾坚守的两个警戒阵地,但是,在其他几个警戒阵地上,他们无法将中国人赶走。在两天的战斗中,敌军为夺取这三个阵地付出了惊人的代价:估计约有二千二百人被打死,一千零七十五人受伤。士耳其人损失四百七十一人,其中一百零四人是在战斗中被打死的。

    这些进攻后来证明只是一些牵制性的行动。敌人一直寄予希望的主要攻势显然要降临到某一其他的地段上。终于,到了六月十日,就在战争行将结束的六周以前,中国人为使战线向南推移发动了主要攻势。这是自一九五一年春季攻势以来敌军对我军进行的一次最强大的打击。同春季攻势一样,这次攻势是在黄昏时分首先以猛烈的炮火准备开始的。战斗首先在南朝鲜第2军控制的地带打响。这里靠近金城,位于铁三角和“大钵”之间大约一半路程的地方。联合国军防线在这里由北汉江两侧向北突出。中国人首先以营、团规模的协同进攻攻击了由南朝鲜第5师防守的北汉江东岸的阵地。他们很快便迫使南朝鲜人从其主要抵抗线向南后退了半英里。南朝鲜人发动的反冲击未能恢复防线原先的态势。中国人第二天又恢复了攻势,迫使南朝鲜人在此后的五天中不断后撤,直到从他们的原阵地向南后撤了大约三英里左右。与此同时,在北汉江西岸,中国人的另一个师突破了南朝鲜第8师的防线,在两天之内便包围了右翼的那个团,迫使该师向深远地区后撤。另外还有一支中国部队以有限兵力在第10军控制地区的左冀实施了一次牵制性进攻。这次进攻本来是很容易阻止的,可是,南朝鲜第5师撤退后接着又发生了第8师的退却,使第10军左翼受到威胁,迫使该军在这一地区稍稍后撤了一段距离。后来,由于南朝鲜第5师在北汉江突然向东转折的地方(这在南朝鲜人和敌人之间形成了一道障碍)建立了一道新的防线,同时,由于南朝鲜第8师在中国人发动攻势时该师所处位置以南大约四英里处建立了新的防线,整个防线总算稳固下来。

    中国人在西线进攻第1军时还取得了一些小的胜利。

    在东段,他们迫使第10军进行了一次规模很小的后撤。但是,不到十天,这些攻势就被迫停了下来。大约就在此时,泰勒将军得到了从日本调来的大量增援部队。他们是第187空降团战斗队和第34团战斗队(欠一个步兵营)以及随后调来的第24师所属两个步兵团。这支新的力量使他稳稳地顶住了中国人在这次攻势中于七月开始的最后一个阶段的进攻。在六月份的进攻中,中国人夺取了几个制高点,并且在八英里宽的正面上夺占了不少地区。但是,他们为此损失了大约六千六百人。在这些战斗中,南朝鲜第2军也遭受了重大损失,伤亡、失踪人数超过了七千三百人。

    中国人在七月份发动的攻击矛头指向南朝鲜首都师。

    该师当时负责防守第9军右翼的地段,这一地段在铁三角的右侧顶点金化附近。中国的三个师突破了首都师的防线,形成对该师的合围之势,几乎将该师吃掉。在这种情况下,首都师在一片混乱中向后撤退。再向东,是南朝鲜第2军的左翼,由于首都师的撤退,这里已危险地暴露在敌人面前。在这一地段,中国的一个师向南朝鲜第6师发动了进攻,并迫其逐渐向南撤退。这一退却所危及的南朝鲜第3师和第8师有组织地撤至金城江南岸一道新的主要抵抗线上。新近补充给南朝鲜第2军的南朝鲜第7师将中国人赶出了沿江的高地,从而为建立这条新防线助了一臂之力。这时,我们沿战线已部署了足够的兵力,本可以重新恢复过去的防线。但是,板门店的双方谈判代表实际上已经达成协议,而且,付出许多生命去夺取对第8集团军的安全来说毫无价值的地区,也未免太愚蠢了。

    七月十九日,正好是南朝鲜第3军建立起新防线的前一天,在板门店达成了最后协定。后来,联络军官和参谋军官们又花了一个星期的时间划分非军事区分界线。这个星期,整个战线比较平静。

    七月二十七日上午十时,哈里逊将军代表联合国军,南日将军代表中国人和朝鲜人,在协定书上签了字。当晚十时,双方停止射击。没有出现其他战争结束时所能看到的那种狂欢和向对方表示友善的场面。士兵们只是相视而笑,或者疲倦地坐倒在地上,要么围着一大壶威士忌,分享着欢乐。在被炮火削得光秃秃的山脊上,人们只是因为能够从地下的洞穴中爬出来,在不用担心遭到射击的情况下放眼乡村田野,便感到几乎是十分惬意了。

    从战争爆发到此时,经历了三年一月又两天的时间。

    从史密斯特遣部队,这支人数不足、火力很弱、缺乏准备,但却由一批勇敢的普通士兵组成的部队,采取我们近代军事史上最了不起的但宣扬也是最少的迟滞行动到此时,则恰好经历了整整三年左右的时间。

    第10节

    为了换得一种不稳定的和平(正如艾森豪威尔将军告诫全国时指出的,在世界范围的斗争中,这种和平“只不过是单独在一个战场上实现的停火”),我们失去了无数宝贵的生命。人们本指望在此之后能很好地吸取和运用我们以如此昂贵的代价换来的所有经验教训。可是,那些令人嗤之以鼻的陈辞烂调至今仍不绝于耳。而那些在一九五一年五月和六月的大辩论中(当时,美国的远东政策在参议院受到了苛评)明确提出的宏伟国家目标,却竟然好象被我们的许多公民给忘记了。

    当时,参议员理查德·技塞尔曾发表过这样一段讲稿:“我们对于在远东实行何种合理政策可能存在着分歧。我们对于战略问题可能各执己见。我们在个性上可能相互有别。但是,在为自由和正义献身时,我们会团结一致;我们维护我们的制度和法规的决心将始终不渝。我们希望我们的制度、法规得到维护,不受侵犯。但是,我们的制度和法规固然要维护,美国人民的目标却不应为这场考验人的严峻论战中暴露出来的任何问题所动摇”这些目标过去当然是,而且今后仍将是:维护国家的安全和独立,坚持国家的道义和基本原则。我们与世界其他国家的所有交往活动必须着眼于最终实现这些目标。我们在自由世界的领导责任要求我们必须采取一种强硬的对外政策。如果说我们没有从这场战争中学到别的东西,那么我们至少懂得了在这种强硬政策受到挑战时,企图以兵力单薄的武装力量为后盾来贯彻这种政策,那将是愚蠢的做法。更确切地说,朝鲜战争使我们再一次尝到了我们最初在第一次世界大战中尝到过的那种教训的滋味。

    第二次世界大战以后,恐怕当时活着的没有哪一个政治家或政界人物能够说服我们厌战的人民同意让自己的儿子继续去当兵打仗。正如我在第一章中已经说过的那样,只有少数几个人反对这样轻率地不顾后果地拆除我们庞大的军事机器,而他们的警告又很快为报刊、电台、官迷以及各处老百姓的呼声所淹没。军队复员一旦开始,便再也没有什么力量能够阻挡这股洪流。就象对待我们手中的刀剑一样,我们的军舰,任其锈蚀,我们的飞机,任其损坏,我们各种强大的战时工业,则任其转变为平时工业或干脆废弃。我们精神上的马奇诺防线(我们对联合国以及对我们原子弹的威慑力量充满了信心)使我们产生了一种安全感。因此,我们的心思就转向了挣钱、球赛、新式的汽车和崭新的寓所、方便生活的各种新设备、度假,以及购置我们已有很长一段时间没有享用过的无数生活必需品。作为各军兵种骨干力量的千千万万有技术、有经验舱士宫和技术人员很愉快地认为,自己已完全尽到了对祖国的义务,因而脱下了身上的戎装。如果他们能早几年预见到,自己又得匆匆地返回军队,急速地准备行装,气都来不及喘一口就被仓促地运往(而且常常采取空运的方式)一个新的战场,那么,当初就连他们也会要求国家停止单方面裁军的。可是,在那些日子里,谁要是认为我们可能还要打一场除一场新的世界大战之外的其他什么战争,那就会被人觉得荒谬到极点,而爆发世界大战看来又极不可能。有限战争这个概念还有待今后被人们所认识。我们的人民当时总喜欢认为,不用踏上敌人的国土而完全通过海、空力量和核弹就可以进行任何战争并赢得任何战争。

    我们对未来情况所作的可悲的错误判断,丝毫也不能归咎于战略和战术方面的情报不足。不,我们只是未能对手中掌握的情报作出正确的分析。我们对事先可以预见到助很可能要发生的意外情况未能拟定相应的方案。我们忘记了我们外交地位的强弱要取决于作为其后盾的军事实力。我们在远东几乎没有留下任何陆军部队。而我们在那里的那点部队,用麦克阿瑟的话说,又只适于担负占领军的任务而不是作战任务。在欧洲的情况也大抵如此。

    我在前面已经指出,把那些参加过长期战争、刚刚安顿下来的士兵们重新投入战火纷飞的前线未免太不近人情。但是,我还要强调一下,我们当时来不及将新征召的没有经验的青年人空运到前线去,阻止敌人把我们在朝鲜的那点十分弱小的部队赶人大海。

    那么,我们是不是可以完全避开这场冲突呢?我们是否可以象以往常常所做的那样放弃朝鲜,让这个幼小的共和国夭折呢?

    问题就这样直接摆到了唯一可以使其得到解答的地方——白宫面前。以往,从来没有那一位美国总统在如此措手不及的情况下碰到过战争与和平的问题,也从未出现过这样一种孕育着无法估量的巨大灾难的战争与和平的问题。以往的对外战争都是在一系列事件之后发生的。这些事件已经为战争做了很充分的舆论准备,因而使最高决策人能够获得民众的广泛支持。导致我们与西班牙作战的对古巴长期残酷压迫的历史;促成我国人民在第一次对德战争前作好思想准备的我们那三中的敌对行动和违反中立原则的行动;突然将我们卷入第二次世界大战的在珍珠港发生的背信弃义事件——所有这一切都使得麦金莱总统、威尔逊总统和罗斯福总统能比较容易地作出重大决定。

    然而,一九五O年六月,在没有任何预警的情况下战争便突然降临到我们的头上。这一事件爆发之突然可与珍珠港事件相比,但究竟采取何种对策却没有珍珠港事件发生时那样清楚。一九四一年,我们唯有采取一种体面的行动。而在一九五O年,杜鲁门总统本来或许可以对这一问题采取回避的做法,这样,社会压力就会减少到最小的程度。但是,总统采取了断然措施迎接对方的挑战。他决定,我们必须战斗。这一决定使他流芳千古。

    我们的人民获得分析形势的时间之后,他们没有多久便同意了总统的决定。美国从道义上讲决不会容忍朝鲜遭到蹂躏。真正的威胁是好战的共产主义,他们赤裸裸地使用武力进行扩张的企图已经暴露无遗。这是对我国安全的直接挑战。如果任凭其一意孤行而毫无反应,那我们就会一步步走向第三次世界大战。

    然而,我们对敌人的回答虽然非常迅速,但事先在我国政府的行政部门和立法部门内部以及联合国内部还是经过周密考虑和认真研究的。因为,眼前的问题还牵涉到另一个充满了我们几乎无法估量的危险的问题。那就是:我们应该与其他国家共同行动呢,还是单独进行这场战争?

    战争期间,当我们考虑要扩大海上封锁和空袭规模时,这个问题又使我们感到非常棘手。但是,杜鲁门总统一开始就坚信,如果我们能在我们赞同其原则的联合国旗帜下作战,我们决定在朝鲜使用武力的正义性就会在全世界人民面前得到维护。采取这样一个步骤要求我们在战略上与盟国进行磋商,或者至少也要考虑到他们的利益和可能作出的反应。或许可以说,这个要求妨碍了我们的作战行动,而事实上它也确实对我们的作战产生了一定的影响。但是,它又在一定程度上限制了我们在军事上的冒险行动,否则,我们有可能因此而越来越深地陷进亚洲的泥潭之中。

    当然,确实有这么一回事情,即当仁川登陆的胜利使我们处于可以越过三八线向北推进的有利态势时,我们最初的目标(抗击侵略,将侵略者赶出南朝鲜并恢复南朝鲜的和平)曾发生过急剧的变化。我们当时悄悄地将自己的任务改变成占领和统一整个朝鲜。这是李承晚长期以来梦寐以求的目标,也是对麦克阿瑟诱惑力很大的目标。

    中国的参战迫使我们对目标又进行了修改,以至到最后我们再次决定,只要能使南朝鲜保持独立,不受共产党的控制就算达到了目的。但是,除取得第一次胜利之后不久和从鸭绿江撤退之后这两次外,我们从未在任务不明或者没有具体的政治或军事目标的情况下作过战。我们总是将目标限制在自己力所能及的范围之内,或者说,限制在我们认为自己的能力所能达到的范围之内。我们的最高当局从未认为可以随心所欲、不受限制地使冲突升级,或者可以在没有明确的政治、军事和地理目标的情况下使冲突升级。我们不曾追求过概念含混、大小不明的胜利。我们之所以同意在恢复战前状况或类似状况的前提下维持一种相持局面,完全是因为这样做可以给朝鲜带来和平。我们清楚,我们当时所能调动的兵力是有限的。我们的文官政府也十分明了,我国人民不会同意进行一场有可能波及大半个亚洲并且需要我们付出千万条性命的战争。我们终于在最后认识到,军事上的胜利已不再是以往那种东西。如果我们借以赢得胜利的手段给世界带来浩劫,或者使我们走进与国际道德准则背道而驰的死胡同,那么,军事上的胜利甚至会永远与我们无缘。

    正如我们在前面的一个章节中所了解的,是由文官政府还是军界来控制我国的对外政策,或者更确切地说,在决定对外交政策时军界应处于何种地位,似乎通过杜鲁门总统与麦克阿瑟将军之间的较量已经得到了解决。当人们头脑冷静下来之后,当真相大白之后,当有时间进行清醒的分析、总结之后,我们有理由相信,我国宪法中关于文官政府拥有制定对外政策的最高权力的明确规定是会得到每个人发自内心的尊重的。可是,艾森豪威尔将军在总统任期届满时还是感到,需要告诫全国提防可能出现一个军事与工业结合的集团,这个集团有可能在我国人民尚未察觉之际夺取制定与执行我国对外政策的权力。一九六四年总统竞选期间,居然还出现过军事领导人不应受文官政府干预的建议。我相信,这种极端的观点只能得到极个别美国人的支持。但是,在君主制国家,在实行寡头政治的国家以及在其他实行民主制度的国家,军人夺得统治权的情况是很多的。除军人之外,我们自己的一些普通公民也一再主张,仗一旦打起来,就应当由军事当局单独计划和指挥。这表明,军人控制我国事务的事情(尽管从目前看这种事还不大可能发生,而且,这与我们的整个生活方式也是格格不入的)是“有可能在这里发生的”。

    为防止出现这类悲剧,我们一定要坚持文官政府在战时应象在平时一样掌握制定对外政策的权力。不过,在今天的条件下,由于人们掌握着能够使世界沦为一片废墟的武器,军政目标必须紧密地结合起来,以免由于某些失误而突然使我们丧失拯救我们许多文明业绩的机会。因此,文官当局在确定可达到的目标时,在选择实现这些目标所使用的手段时,需要与军事当局密切合作。没有目标的战争是极端危险的;一场只有某些诸如“胜利”、“免遭侵略”、“人民选择自己政府的权利”一类模糊目标的战争,也是很危险的。这类笼而统之的东西听起来很响亮,但今天的当局却要保持清醒的头脑,要具体面准确地提出我们准备达到的目标以及为达到这一目标打算付出的代价。否则,战争的整个指挥权就会在不知不觉之中落到这样一些人的手中,他们认为只有胜利才是合理的目标,他们从未用全世界人民所理解的乎直明白的语言给胜利一词下过定义。

    从前,军人的目标常常只是彻底消灭战场上的敌人,他们无权制定我们力求通过军事行动来取得的政治目标。

    可是,考虑到今天的复杂战争,必须给他们以比以往任何时候都要充分的机会,让他们在我国的最高会议上就文职领导人所考虑的方针政策问题大胆地直抒己见。不过,政策一旦确定,一个格守誓言、忠于职守的军人要么应坚决贯彻这种政策,要么就退出军队。

    麦克阿瑟将军则采纳了一种与此截然相反的信条。一九五一年七月,在对马萨诸塞州法院(州的立法机构)的一次讲演中,他试图说明,一个军人对自己统帅表示忠诚和服从与对“国家和宪法”表示忠诚这之间是有区别的。

    “我发觉,”他说,“存在着一种新的、迄今尚不为人所了解的危险看法。这种看法认为,武装部队的成员主要应该忠于暂时掌握行政大权的人,而不是他们誓死要保卫的国家及其宪法。再没有比这更危险的主张了。再没有什么主张更能使人们对武装部队的忠诚表示怀疑了。”

    我们不妨将这段讲话与他在被任命为联合国军司令时向杖鲁门总统所作的保证作一比较。当时,亦即一九五O年七月十一日,他给总统发了如下电文:“我已收到您任命我为联合国军司令的通知——我谨再次向您保证:我本人对您绝对忠诚(着重号为作者所加),对您为争取世界和平与亲善所进行的卓越斗争我将贡献自己的全部力量。我希望自己不会辜负您的信任和期望。”

    使我惊讶的是,在这个问题上,正是将军本人采取了一种“迄今尚不为人所了解的看法,”一种不仅与文官政府的而且与武装部队的最基本的传统格格不入的看法。陆军军官们立誓要捍卫的国家宪法没有任何关于忠于某个人的内容,倒是在一开始就明确表达了我国人民支持文职政府拥有统帅权的决心。宪法规定,总统为武装部队总司令,总统应在考虑参议院的建议并征得参议院的同意之后任命各军种的所有军官。每个军官在接受任命时都规定要服从总统或其继任者的命令,而决不要求对总统个人表示效忠。宪法丝毫也没有暗示过,除“那些暂时掌握行政大极的人”之外,还允许有什么部门或个人行使授予总统的权力和职责。可是,麦克阿瑟将军及其追随者们似乎就是这么干的。

    由文官政府掌握统帅权的传统长期以来一直深深地植根于我们的政治生活之中,以至于连最狡猾的诡辩家对此也无可挑剔。由宪法赋予美国总统的这种巨大无比的权力伴随着中种相应的责任。在今天这个时代,由于我们手中掌握着一种能在一瞬间使数亿人消亡、数亿人无家可归和贫困落魄的武器,因而这种责任十分令人敬畏。可是,责任不同于权力,它不能委托给其他的个人,不论此人是穿军装的还是不穿军装的。有关我们武装力量的许多决定,如它的编成、维持、部署、任务等等,其中任何一个决定都可能给人类的未来带来重大影响。允许任何人面却不允许我们当选的最高领导人制定这类决策,这种理论还真是一种闻所未闻的崭新理论。它带有极大的无法预料的危险。

    不管某些公众对麦克阿瑟的行为是如何地迁就,我们军官团要求每个成员遵循的原则,却是不允许象将军在波士顿州议会会堂中发言时那样将忠诚置于一个错误的位置上。在军队,职责这个概念现在具有极其重要的意义,面服从合法当局的领导则是履行职责的起码要求。征何一个军人,不论是小兵还是五星上将,都无权擅自判断一项命令是否符合自己的看法。诚然他对上级的忠诚需要由上级对他表示忠诚才能换得,但他对上级的权威则是要绝对服从的。

    此外,我决不同意有位作者的无稽之谈,说麦克阿瑟曾面临“一个军人所碰到的最棘手的问题:他怎能做到既忠于自己对宪法立下的誓言并为美国的最大利益服务,又忠于当权的政府——他无法做到在同时服务于宪法和政府的情况下对两者都承担义务。”

    (《杜鲁门与麦克阿瑟之争和朝鲜战争》第234页,约瀚。斯帕尼尔著,哈佛大学贝尔克纳帕出版社,1959年出版。——作者)从麦克阿瑟一次值得一提的很干脆的讲演中或许可以看出他最终还是懂得了上述的道理。他是在一九六二年五月在接受西尔韦纳斯·塞耶奖时向西点军校全体学员发表的这次讲话。他说:“让公众去评论我国政府在施政中的功绩吧……这些国家大事不是你们应当参与的。”

    可是,正是此人在十多年前曾发誓,“只要我认为符合美国人民的利益,我就要经常地大声疾呼”。正是这个声音加入到了有关“我们的经济战线”、我们的生活水准可能降到“最普通的水平”、“国家通货的价值和私人所得日益减少”等等诸如此类问题的公开辩论之中。可以肯定,在他奉劝自己的年轻听众敬而远之、切勿涉足的“国内外容易引起争议的问题”中,诸如此类的问题是其中的核心问题。

    那么,他在指出军官不应涉政时是不是把自己作为一种例外情况看待了呢?是不是由于这些年来有了冷静地进行反省的机会而使他的思想发生变化了呢?或者,他是否确实象詹姆斯·赖斯顿一九五O年指出的那样,是“一个天生的唯我独尊、对自己的判断过于自信的人”呢?

    与久负盛名的道格拉斯·麦克阿瑟不能相比的我们今天这些不出名的小人物以及明天的无数其他无名之辈,必须继续根据历史的事实耐心地探求伟大人物的是非功过。

    只有这样,我们才能指望人类的命运得到改变,才能指望避免或减轻人类的灾难。麦克阿瑟的事例有许许多多值得研究的东西。但是,我们必须肯定,从这件事应该汲取的一个重要教训,是军政当局之间应建立这种新的正常关系。

    如果在麦克阿瑟一再拒不执行指示之后,在将军对批准通过的方针、政策公开制造舆论、表示不满之后,总统还不解除麦克阿瑟的职务,那总统本人就要犯玩忽职守的错误。就连麦克阿瑟早先也曾说过,作为一个总统,把自己的职权交给任何一个下级(例如麦克阿瑟本人)都“不能算是委托,而是放弃责任”。我们感到欣慰的是总统并没有这样做。

    甚至在今天还有人提出许多关于朝鲜战争的打法、关于实现停火应采取的手段等其他问题。这是一些与我们当前在亚洲面临的困难有明显联系的问题。譬如:难道真的只有在停战与爆发第三次世界大战这两者之间进行选择吗?对我军加入战争的规模加以限制的战略是正确的战略吗?我们未能使用包括原子弹在内的全部力量对中国人的干预作出反应,是否应归咎于毫无根据的恐惧心理?我们的子孙后代今后是否会被迫为这种悲剧性的让步付出代价?停战谈判是不是只是共产党人把我们眼看就要到手的胜利果实抢走的一个花招?其中的一些问题将有待历史来作出判断。不论我们如何认真严肃地搜索古今某些相似的事例,我们都不可能准确地预言,如果不是作出了过去那种选择而是作出了别的什么选择,我们会得到何种结局。

    但是,有一点是清楚的:今日的某些误解是由于情况了解不够造成的,某些所谓朝鲜战争的“教训”总结得并不正确。我十分尊重许多人看问题的出发点和爱国主义精神,但我决不同意他们的看法。他们当真以为朝鲜战争是一次军事、政治和精神上的可耻失败,以为在这场战争中我们采取了不折不扣的姑息态度,丧失了国家的尊严。

    正如我在前面的章节中曾说明的那样,我当时的确很清楚:第8集团军的全体官兵深信,他们在一九五一年夏季是能够向前推进的,至少可以推进到鸭绿江西部流域,还深信,在联合国海、空军支援下,他们能够在战术上击败任何企图阻挡第8集团军前进的中共或北朝鲜地面部队。但是,正如我曾说过的那样,如果这样做,那就只会在我们的军事史上写下完全不同的一页。因为,这样做,我们可能还得面临无休止的游击战,而且,我们很清楚,南朝鲜地面部队是无力单独控制这些地区的。也许,美国人最后将被迫同意在亚洲大陆保持一支庞大的部队,执行遥遥无期的绥靖任务。无疑,今天还有某些人认为,我们当时应该封锁中国沿海,轰炸满洲基地,甚至投掷原子弹。

    但是,不仅是我,其他人也认为,这类行动并不能保证我们赢得军事上的胜利。记录表明,总统、国防部长和参谋长联席会议当时都认为,我们暂时可能得到的东西根中无法补偿我们今后要长期失掉的东西。

    当共产党中国在一九五0年十一月和十二月秘密派出大量军队向我在北朝鲜的部队发起突然进攻时,本来是有充分的理由向他们公开宣战的,甚至有充分的理由向其位于鸭绿江以南的部队和江北的军事基地投放原子弹。但是,我们对是否采取这类行动进行了慎重的辩论,最后,负责制定这种决策的美国政府否决了这个方案。最终的决定是,仍坚持最初规定的那些在朝鲜的目标(这些目标在仁川登陆后的一个短时期内有过变化),即粉碎侵略行动,赶走侵略者,恢复朝鲜这一地区的和平,以及防止冲突扩大为第三次世界大战。联合国中绝大部分非共产党成员国对这些决策都表示坚决赞同。

    至于停战本身,我坚信(正如一九五一年十二月三十日出版的一期《新闻周刊》杂志所记载的那样),共产党领导人实际上很希望停战,而且五角大楼也同意我的这种看法。地面战争从六月份开始就处于一种相持状态。双方都以远远超出军事需要的代价沿静止不变的战线保持着庞大的军队集团。双方都面临一种很简单的选择:或者决心扩大战争,或者设法停战。我已经谈过本人的如下看法,即向鸭绿江发动进攻可能要付出很大的伤亡,而军事上却又得不到多少好处。中国人无意把战争扩大到其他地区,也不希望他们自己的国土遭受我空、海军的轰炸、炮击。很明显,停战对于双方都是有利的。

    事实证明,停战谈判是极其困难的。但是,我内心始终坚信,除进行谈判之外,再无其他合理的办法。武装侵略被阻止。侵略者被赶走。我军牢牢地占领和控制了一个更有利的防御地带,这个防御地带大部分处于三八线的北朝鲜一方,而不是南朝鲜一方。不错,在经过数次谈判之后,停战协定即将签字之际,中国曾发动过一次强大的攻势。但是,它根本不象某些人所指责的那样是这场战争中规模最大的一攻势。这次攻势只不过占领了几个警戒阵地和一些没有多大战略价值的地区。而且,所有这些地方都完全位于三八线以北。这次攻势只不过是敌人最后的一次徒劳的尝试,旨在将我们推向一道比较难以防守的停战线上,以某种所谓的“胜利”来结束这场战争。我们牢牢地守住了坚固的防线,而没有采取有人提出的直接打击中国的对策。鉴于上述所有情况,加之中国人也希望停止战争,难道这还不是进行谈判、停止战争的时机吗?

    我们是否应该参加谈判姑且不谈,有一个情况是肯定的,即从华盛顿发出的许多指示增加了我们整个谈判的困难,并且大大推迟了最后协定的达成。这类指示曾不止一次地打乱我谈判代表的计划,使他们失去了唯一可以博得共产党尊重的那种有力的支持。有这样一个最典型的例子。在我方代表已表示坚持要在停战条款中写进禁止修建新机场和修复老机场的内容之后,华盛顿还指示他们在这个问题上作出让步。当时,由于我们的轰炸,在整个北朝鲜已经不存在一个可供作战使用的机场了。如果没有上述限制,共产党人就能够将其战斗机从满洲调至北朝鲜(停战协定一签定,他们立即就这样做了)。这样,他们便能打击南朝鲜的深远后方。华盛顿的这一命令实在让人有苦难言。

    华盛顿还命令我们改变自己的如下立场(其理由是苏联没有参战),即反对苏联象波兰、捷克斯洛伐克和其他一些国家一样作为中立国监督委员会成员的立常这场战争是苏联怂恿、挑起的,对方作战的坦克、飞机、大炮也是由苏联提供的。把这样一个国家也算成是中立国实在是天下奇闻,因此我们竭力反对将其作为中立国监督委员会的成员。可是,华盛顿命令我们仅仅把苏联与朝鲜有一条共同边界作为反对其担任监督委员会成员国的理由。这个态度上的变化肯定会使共产党觉得我们承认了自己的软弱无力。

    另外,我并不认为由于举行停战谈判就使我国人民丧失了什么尊严。我不相信我们国家的独立遭到了任何损害,也不相信深深扎根于我们心中的道德观念、对上帝的信仰和为公理的最后胜利而献身的精神已淡漠下来。

    五十年前,曾经出现过这样一个时期(许多人对这个时期至今仍记忆犹新):在一个国家明确表示采取一项方针之后,即使军队土崩瓦解,人们也不考虑进行谈判。在第一次世界大战中,一九一七年四月的尼维尔之战和其后十月份陆军元帅道格拉斯·黑格爵士指挥的法兰德之战,使得千千万万个英国、法国和德国的健儿们尸骨如山,血流成河。然而,不管为了何种原因,获得何种好处,付出这样惨重的牺牲是否值得,历史肯定是要提出疑问的。这种极其重大的损失当时确曾使某些政界人物的头脑变得清醒起来。但是,那一年虽然有进行谈判的好机会,他们却缺乏应有的眼光和勇气采取其他合适的步骤,而继续在那里追求所谓“胜利”。结果,形成了军事上的相持局面,双方的鲜血几乎流失殆荆其实,稍有头脑的人在当时都会采取行动停止这场战争的。

    劳埃德·乔治在视察前线之后说:“如果人民真能了解到实情,那么战争明天就会停止。可是,他们自然不了解也不可能了解实际情况。记者们是不会报道的,新闻检查也不会让真相透露出来。战场的情况令人毛骨悚然,是人们精神上所不能忍受的。我感到我再也不能继续干这种流血的买卖了。”(引自利昂。沃尔夫所著《在法兰德战撤一书。——作者)可是,几乎在同一时刻,英国政府却正式要求美国派出五十万青年归英国指挥,进行“为期七周的堑壕战训练——尔后到法国进行七天的测向洲练,再作为步兵投入战斗。”值得庆幸的是,我们的领导人拒绝让我们的青年人遭此厄运,没有把他们派到战场上去当外国人的替死鬼。

    他们坚决主张建立我们自己的不受协约国领导人随意支配的军队。

    此时,“全面胜利”的诱惑力在法兰德仍然是那样令人无法抗拒。直到十万条性命换得一小块深不可测的泥潭的愚蠢行为震动了将军和政客们之后,直到苍天有眼、让冬季的大雪阻止了这一疯狂的行为之后,这场大屠杀才告结束。

    然而,在朝鲜,一出现可以停止相互杀戮的机会,我国政府便立即表示了欢迎的态度。那种破坏联合国采取集体行动而让美国自己单干的企图遭到了破产。在实现停战之际,在朝鲜派有战斗部队的十六个盟国再次庄严声明:如果对方再度采取侵略行动,他们将决心迅速作出回答,而且,那时,他们的作战范围就不一定局限于朝鲜半岛了。

    尽管我们失去了在朝鲜取得“全面胜利”的机会(如果在朝鲜真有过这样一个可以创造这类丰功伟绩的机会),我们还是使国际共产主义遭到了有史以来的第一次惨败。

    我们也证明了集体安全的方针的确是行之有效的。如果联合国不是在美国的领导之下迎头痛击了共产党人的挑战,那么,它本来会变得分崩离析,软弱无力。

    一九五一年四月,我在东京接任联合国军最高指挥职务之后,曾发表过这样一个谈话:“我相信,在军事史上从未有过象今天这样有如此众多的盟国这样和谐地并肩战斗,而且相互间又这样完全信任、尊重和合作的先例。我可以毫不犹豫地说,这些部队(联合国军)的参战大大提高了联合国军的战斗力。”

    最后,从纯军事的角度来看,在不到三个月的时间内(七月五日至九月三十日),共产党人向南朝鲜的突进遭到了抗击并被阻止,侵略军几乎全部被歼。从元旦开始的共产党人的攻势,在不到两周的时间内即被迫停止。一九五一年一月四日,第二次撤出南朝鲜首都之后刚刚三周的时间,联合国军便转入了进攻。这次进攻,除受过几次短时的挫折外,一直持续到侵略者被统统赶出南朝鲜为止——只有一小块很难防守的南朝鲜领土仍为敌军占领。但是,有一块北朝鲜领土则为南朝鲜所控制,而且直到今天还在其控制之下。

    一九五一年五月,我作为联合国军司令和美国驻远东部队司令报告了自己的如下分析判断:敌人“再不会具有发动四月二十二日和五月十五日那样强大攻势的能力了”。

    大约在同一时间,我给第8集团军及其当时的司令范弗里特将军发出了下面这封信:“我认为,历史有一天很可能会这样记录:……这支军队向最邪恶的势力进行了挑战,抗击并击退了这股势力。

    它一直威胁着人类争取个人尊严和自由的长期斗争。我相信:很可能,共产主义洪流的浪头已被你们有力的双臂和坚强的意志所粉碎,这股危险的潮水……已开始消退。”

    我希望这就是历史作出的评价。

    第11节

    ——这些教训对于我们寻求和平的意义如果不认真地将自己在以往战争中汲取的教训运用于解决今天的军事问题,那么我们不厌其烦地谈论这些教训也就没有什么意义了。我认为,最重要的是,我们需要认真细致地分析这些教训,以避免以无法估量的代价重犯我们曾经为之付出昂贵学费的错误。

    有关朝鲜战争的重大错误之一是,我们习惯于将自己的战略建立在分析敌人企图的基础之上,而未能对我们所掌握的敌人的实力情况给予应有的重视。尽管麦克阿瑟和他的支持者们知道,红色中国完全能够迅速采取在朝鲜进行干预的威胁行动,但他们还是低估了中国人的这一威胁。而我们的错误则在于,我们采取行动时依据了这样一种理论,即认为当时“没有一位神志清醒的司令官”会向鸭绿江以南派兵作战。

    今天,我们在东南亚同日益增多的困难作斗争时,令人满意的是,我们似乎更重视我们知道敌人能够于些什么,而不是我们认为他们准备干些什么。约翰逊总统曾经说过,他相信红色中国说的话——而我们在朝鲜却未能做到这一点。因此,我深信我们的决策者十分清楚,如果红色中国人的领导下定了决心,那么红色中国人是能够激怒我们与他们打仗的。他们的公开言论已清楚地表明:他们对待人类生命的态度,甚至对待他们自己人民生命的态度,与我们几乎毫无相似之处。我没有参预当前各项计划的研究与制定。但我相信,我们正在进行准备,以应付红色中国动用其威胁力极大的力量的可能性。只是当我听到有影响的人物向我们担保中国“不敢”采取这种或那种行动时,我才感到不安。我相信,我们军界的决策人再也不会由于错误地判断共产党中国人的意图而产生麻痹情绪了。

    也许我们已经很清楚地认识到了这一教训,可是,还有一些其他的错误至少我们的部分公民似乎还要执意坚持下去。在朝鲜战争期间,有些人认为,以空军来切断已投入战斗的敌军所有增援和补给,就可以创造截断敌人的奇迹。空军并不能创造这种奇迹。这个事实本应更广泛地为人们所接受,但实际情况并非如此。曾在朝鲜参加过地面战斗的人都不会轻视我空军在那里创造的业绩。空军不仅使我们免于灾难,而且,如果没有这支力量的支援,联合国军是不可能完成其使命的。在越南,空中力量与地面作战的成败同样有着十分密切的关系。但是,空中力量确实存在一定的局限性。可是,甚至就连某些身居高位的人至今都还没有认识到这一点。

    这些局限性从未象第二次世界大战中表现得那样明显。当时,德国人不顾盟军掌握着无可争议的空中优势,照样利用少数几个山口向自己在意大利阿尔卑斯山以南的大约二十六个师提供补给达两年之久,从而使这些师得以维持下去。在朝鲜,我们实际上掌握着整个半岛的制空权,但是,就连麦克阿瑟本人也承认,我们无法依靠空中轰炸来孤立战场或切断对方的增援和补给。在越南,迄今为止所发生的情况再次证明了这个教训:轰炸之后,在短短几天之内,敌人的铁路和桥梁就可修复并重新投入使用,渗透路线也未被切断。可是,我们至今仍然还可以听到要求进行饱和轰炸的论调。这种论调的支持者们坚持认为,饱和轰炸可以切断越南北方与南方的联系。

    我还怀疑,我们是否从朝鲜战争中汲取了更深一层的教训,即除非协议中带有能够在今后付诸实施的制裁条文,否则,与共产党签订的各种协议都毫无价值。在朝鲜进行的两年的艰苦谈判告诉我们:只有在履行协议明显对共产党有利时,或者他们遭受报复的威胁十分明显、不可忽视时,他们才会履行协议。在东南亚,不论最终能与共产党人达成何种协议,要将各种具有约束力的制裁条文加进去肯定是极其困难的。然而,我们仍须做好必要时推迟最终协定的签订、直到将这类条文写进协定的准备。

    我们在朝鲜得以避免的一个错误,是坚持在进行谈判之前实现“全面胜利”、“敌人的无条件投降”乃至“制止侵略行动”。可是,从当前四处可以听到的并且充斥各类公开刊物的许多口号来看,我不禁怀疑我们的公民是否都已经懂得了有限战争的概念。一场有限战争并非只是一场尚未全面开展的小规模战争。它是一种根据我国的利益和现时的实力对各种目标作出具体规定的战争。“无限”的战争,亦即除“胜利”之外没有明确规定地理、政治和军事目标的战争,可能会无限制地升级,就象那些取得一个胜利之后还需要赢得另一个胜利来保障前一个胜利的战争一样。坚决要求全力以赴地打赢战争听起来可能很有大丈夫气概,“捍卫自由”的号召也可能象救世主的福音一样会使我们的热血沸腾。可是,在今天这种时代,一场全面战争的结局是不可想象的。它很可能意昧着数千年文明的毁灭,连一个能庆祝胜利的人都不能幸存下来。

    我们在确定军事目标时,首先需要认识到,世界上大多数最基本的令人苦恼的问题是并不适宜用纯军事的办法来解决的。我们与那些嘲弄人的尊严、否认个人自由的意识形态之间的冲突,必须通过政治、经济、军事诸方面的共同努力来寻求解决办法。这个世界不可能平静、安定下来,因为占世界总人口不到三分之一的人过着相当豪华舒适的生活,而另外三分之二的人仅仅只知道贫困、肮脏和幻想。

    因此,我们确定对外政策的目标必须考虑到这些基本的现实,而且必须明确地阐述这些目标,以免使这些目标成为隐藏我们自私和唯利是图的目的的十足战争叫嚣。譬如,我很怀疑某些政府官员所说的这样的话:我们进行越南战争的目标还是表里如一的,即使存在着外交上很少有诚实可言或者难得赤诚相见这样明显的现象。约翰逊总统所阐述的目标,亦即本书(一九六七年一月)所列举的他的目标,在我看来似乎不存在模棱两可、闪烁其词之处,而且,这些目标也是我国政府在不与对方妥协的情况下能够体面地达成的目标。但是,对于一些掌权的和有影响的其他人士的辩解,即我们在越南的战争目的毫无利己之心,只是一心要保证那里的人民获得“选择他们自己政府的自由”,我是很怀疑的。不久前,艾森豪威尔总统将越南的丧失引述为“失去了宝贵的锡矿以及大量的橡胶、稻米供应”。

    也许人们可以认为,正是这些东西,而不是“自由”,才是某些人的眼睛死死盯着的真正目标。那些说我们的目的是“要使河内停止侵略行径”的人忽视了这样一个事实,即没有北京的支持与补给,河内是不能长久坚持下去的。

    如果我们相信关于我们目标的后一种说法,实际上就等于认为,我们的目的是迫使河内和北京不仅要停止支持武装入侵和颠覆越南的行动,而且要停止支持武装入侵和颠覆老挝、柬埔寨、泰国、缅甸的行动。根据东南亚条约,美国对所有这些国家都承担有义务。这样,美国自然就得要么公开地,要么通过秘密的外交途径向共产党中国发出最后通牒,要求他们停止支持活动。对于向红色中国提出最后通牒的任何办法是否明智,我是深表怀疑的。我相信,目前的中国领导人会拒绝以任何方式向他们提出的任何最后通牒。如果我们被迫扩大军事行动,以挫败旨在推翻东南亚条约保护之下的其他东南亚国家的侵略阴谋,那么我相信,我们就会认为有必要大大增加派往那里的军队。以我之见,如不使用战术核武器,那无论我们向那里派出多么大的我们自认为能满足需要的兵力都仍将证明是不敷使用的。而如果使用战术核武器,后果如何就只能凭主观推断了。最后,我认为,除非某个敌人首先使用核武器打击我们的国土或军队,否则,使用这种武器打击敌工业中心和人口中心将会引起自由世界舆论的极大反感,很可能使我们处于众叛亲离、孤立无援的敌对世界中。

    因此,我们应该自己决定我们世界政策的目标究竟是什么——应该仔细地规定这些目标的具体内容,保证这些目标符合我国的根本利益,保证这些目标的实现没有超出我们的能力。我们的资源并不是取之不劲用之不竭的。

    为了追求一些模糊不清、无法实现的目标而将我们的资源消耗殆尽,可能会使我们无力对付最终的考验。我感到,这种考验确实在向我们迫近。

    至于我们在越南的直接目的,阿瑟·戈德堡大使一九六六年九月向联合国大会所作的扼要阐述是很有权威性的,可能说的完全是真话。这些目的是:我们并不谋求在越南建立永久性军事基地,也不谋求在亚洲建立一个“势力范围”;我们并不谋求北越政府的无条件投降或将其推翻;我们不排斥“任何一部分南越人民”和平地参与关系到他们国家未来的事务;我们随时准备在一九五四年和一九六二年日内瓦协议的基础上通过谈判解决问题。美国愿意,他说,将越南统一问题留待双方人民“自由选择”,并愿意接受选择的结果,最后,还准备在得到对方私下的或通过其他方式所作出的如下保证之后停止对北越的一切轰炸。

    这一保证应当是迅速采取使战争逐步降级的相应行动。如果北越能同意一个从南越分阶段撤出一切外来军队(美国和北越的军队)的计划,那么美国将同意在联合国或其他机构监督之下进行这种撤军。这些目标看来虽不能立即实现,但与确保我们对该地区锡、橡胶和稻米的控制的目标却是不一样的。因此,这些目标与我国人民在世界面前长期保持的道德形象,与我们长远的根本利益要一致得多。

    我们总的世界目标,即那些明显属于我国根本利益范围之内的目标,则更有待于研究讨论。不过,我认为有一些目标是明确的。它们包括以下各点,但并不仅限于以下几点:1.防止铁幕之外的西欧落入克里姆林宫手中。

    2.防止西半球出现一个受克里姆林宫操纵的政府(由于古巴已为克里姆林宫操纵,这一目标已暂时被我们忘记,但毕竟还是我们的一个目标)。

    3.坚持我们在远东的前沿防线,即日本列岛、南朝鲜、琉球群岛、福摩萨、菲律宾群岛一线(其中应包括东南亚全部还是一部,依我看,还是一个有待探讨的问题)。

    4.继续支持在联合国宪章原则指导下的联合国,尤其是因为联合国宪章序言中有这样的诺言:“拯救子孙后代于战争的苦难……”(许多美国人可能不同意将此点作为属于我国根本利益范围之内的目标。但是,这一目标是应当在我国根本利益范围之内的。)按我的想法,从战争的苦难中拯救我们的孩子和他们的下一代这个目标,不仅符合美国人民的根本利益,而且符合全世界人民的根本利益。发动战争,例如故意挑起一场核战争,决不是拯救他们的办法。在我看来,联合国宪章前言中的这句话确实提出了联合国最根本的目的。

    从罗马帝国称雄的时代到现在这两千年的历史时期中,欧洲人民由于战祸而不时地被浸泡在血泊之中。在过去的两个世纪中,战争变得日趋残酷,使得更加广大的地区沦为一片片荒原。现在,人们已掌握了毁灭性的破坏手段,如果进行一场新的世界战争,人们所付出的血的代价,人类价值丧失的程度,都将超出我们的想象。

    这种有可能发生的灾难虽令人恐怖,但还是应当相信,政治家们将会以他们的聪明才智找到防止这种灾难的办法。我们不能允许眼前的障碍和可以预见到的困难(当然还包括人类对极力的贪求)破坏或削弱为避免不堪设想的后果而共同采取的行动。如果不考虑固有的道义方面的因素,那么,与这一目标的利害关系没有哪个国家集团能够超过西欧人民和美国人民,也没有哪个国家集团能比他们更需要实现这一目标。这是因为:欧洲长期因战争而饱受死亡和破坏之苦;美国与这些欧洲国家有相同的文化和经济利益;二者高度发展的社会、经济和文化结构都极易遭受破坏。

    越南问题是对政治家们的智慧和勇气进行考验的核心问题。正如解决德国问题和朝鲜问题时一样,我们将面临一些重大抉择。这些抉择对我国人民的精神和意志将是一个考验。我认为,众多的美国人民充满了可以给任何国家以精神力量的活力和正义感。我相信他们能够经受住这种考验。

    我坚信,我们的西方文明是根据某些崇高的虽则令人费解的目的在这个星球上逐步发展起来的。我认为,这个目的并不要求美国人民在地球上比较不幸的人民中间充当救世主,而是要求他们在充分认识我们的局限性,对自己的能力有自知之明以及无意将我们的制度和生活方式强加于他人的前提下,作为不幸的人民坚强勇敢、胸怀宽广的伙伴。我们的物质力量加上我们的精神力量,足以使我们实现这一祟高的目的,但是有一个条件,就是我们必须发择聪明才智,担负起我们的责任。

    至于在当前,我认为没有比维护我们的自由更崇高的责任了。这要求我们必须节约使用自己的力量而不能让其自白浪费,以便我们在面临最大的考验时能使用这些力量。但是,空谈目的是毫无价值的。目的必须转换成具体、实际的政治目标。这些目标应当象我在前面指出的那样与国家的根本利益保持一致,应当从属于国家的根本利益。

    坦率地说,我们在东南亚确定的目标是否与此相符,我是表示怀疑的。象我这样一个公民,接触不到政府的高级情报,当然也就不可能断然消除这种怀疑。然而,在我们这样的政治制度下,每个人都可以根据自己所能了解的情况对我们面临的对外政策进行评论,提出自己恳挚的意见,并对不久前华盛顿宣布的关于东南亚问题的许多错误估计保持清醒的头脑。这是每个公民的责任。

    我已说过,我根本不相信我们在东南亚的政治目标与国家利益是真正一致的。这些政治目标就象我们的政府官员提出的那些目标一样,面面俱到、空洞无物而且含混不清。但是,我认为,我们的注意力不应过多地放在这些表里不一的言辞中,相反,我们现在应当问一问自己:在这场无休止的冲突中,我们是不是过度地消耗了自己的政治、经济和军事资源,削弱了自己的力量,以至当需要在世界上其他更关键的地区应付新的挑战时我们会感到十分虚弱。因为,今后肯定还会出现与我国真正的利益关系更大的威胁。

    如果我们能想出节约力量的良策以防备有一天会出现这些威胁,那我对美国的未来,对我们的领导应付这些威胁的能力,以及对我们武装力量全力支持这种领导的能力将充满信心。

    第12节

    [[一九五0年]]

    六月二十五日北朝鲜人民军大举入侵南朝鲜。

    六月二十八日北朝鲜人民军夺占大韩民国首都汉城。

    七月五日史密斯特遣部队在乌山附近首次与共军接触。

    七月二十日联合国军放弃大田。

    七月三十一日晋州落入北朝鲜人民军手中。沃尔顿·沃克将军宣布:“决不后退了!”

    八月一日联合国军进入釜山环形防御圈。

    八月六日至八日麦克阿瑟将军在东京与艾夫里尔·哈里曼以及诺斯塔德、阿尔蒙德和李奇微将军商议仁川登陆问题。

    九月十五日仁川登陆。联合国军夺占仁川港和港口附近岛屿。

    九月十八日联合国军夺占金浦机场。

    九月二十二日沃克所属部队由釜山环形防御圈出击。

    九月二十七日北进联合国军与南下联合国军于水原附近会合。

    九月二十八日联合国军收复汉城。

    九月三十日南朝鲜第3师越过三八线。

    十月七日至九日美军第1骑兵师越过三八线。

    十月十一日南朝鲜第3师占领元山。

    十月十九日第8集团军占领北朝鲜首都平壤。

    十月二十四日麦克阿瑟指示其所属司令官率所有部队以尽可能快的速度向前推进。他将除南朝鲜军队以外其他联合国军不许向前推进的禁令置于脑后。

    十月二十六日南朝鲜第3军第6师抵达鸭绿江。南朝鲜第1军第26团于水洞抓获中国俘虏。

    十月二十七日至三十一日中国发动第一阶段攻势。

    十月二十七日南朝鲜第6师第7团在鸭绿江附近遭强大中国军队的沉重打击。

    十月三十日美军第24师先遣分队进抵鸭绿江四十英里范围之内。

    十月三十一日至十一月二日强大的中国军队在云山进攻第8集团军,迫使其撤过清川江。

    十一月六日麦克阿瑟提醒参谋长联席会议,中国军队跨过鸭绿江的行动“使我之所属部队有被彻底消灭的危险。”

    十一月二十三日感恩节

    十一月二十四日麦克阿瑟由东京飞往朝鲜,发出向鸭绿江发动大规模强攻的信号。他宣布:“中国人尚未进入朝鲜。”美7师第17团进抵鸭绿江畔的惠山镇。第8集团军开始向鸭绿江挺进。

    十一月二十五日至十二月九日中国发动第二阶段攻势。

    十一月二十五日位于朝鲜中央、德川附近的韩国第2军为中国之进攻所击溃。

    十一月二十六日二十万中国军队进攻位于清川江以北的第8集团军,使其遭受重大伤亡。

    十一月二十七日美军第24师、第25师和第2师撤过清川江。第8集团军开始撤退。中共军进攻位于长律水库西侧之第1陆战师和位于水库东侧之美7师所属部队。

    十二月五日第8集团军放弃平壤。

    十二月九日第1陆战师完成十一月二十七日开始的突围行动。

    十二月十一日美军第1陆战师和第7师撤至兴南环形防线内。

    十二月十五日第8集团军和南朝鲜军队撤至三八线以南。

    十二月二十三日沃克将军死于吉普车事故。李奇微被指定接替其指挥。

    十二月二十四日第10军完成撤离兴南滩头阵地和北朝鲜的行动。

    十二月二十六日李奇微将军正式担任第8集团军司令。

    十二月三十

    一日至一月五日中国发动第三阶段攻势。

    [[一九五一年]]

    一月三日至四日联合国军撤出汉城,撤至平泽、原州、三陟一线并进行整编。

    一月七日为重新与中共军队建立接触,第8集团军向北部发起强大的试探性进攻。

    一月十五日一支加强的团战斗队实施侦察行动即“狼狗行动”,在乌山附近与敌重新建立接触。

    一月二十五日第8集团军和南朝鲜军采取攻势行动。第1和第9军向汉江北进,“霹雷行动”开始。

    一月三十一日至二月十七日美第2师投入激战。其第23团战斗队及其加强的蒙克拉尔法国营在磔平里粉碎中共军队五个师的进攻,中共军队攻势突然终止。

    二月五日美第10军之进攻,即“围捕行动”于东线开始。

    二月十一日至十七日中国发动第四阶段攻势,主攻方向为美第2师防御地段。

    二月二十日“屠夫行动”,即美第9军和第10军发动的一次总攻开始。

    二月二十八日敌军在汉江以南最后之抵抗行动陷于瓦解。

    三月七日在中部和东部地带,“撕裂者行动”开始,第9和第10军越过汉江。

    三月十四日至十五日第8集团军重新夺占汉城。

    三月三十一日联合国军进抵“爱达荷线”,夺取全部地理目标。

    四月五日向“堪萨斯线”全面出击的“狂暴行动”开始。

    四月十一日麦克阿瑟将军被免除最高司令官职务,李奇微将军被指定接替其职务。

    四月十四日范弗里特将军就任第8集团军司令。联合国军所有部队进抵“堪萨斯线”。

    四月十九日美第1军和第9军进抵“犹他线”。

    四月二十二日至二十八日中国发动第五阶段攻势的第一次进攻。

    四月三十日在撤至新防线后,联合国军将中国之攻势阻于汉城和汉江以北地区。

    五月十六日至二十三日中国发动第五阶段攻势的第二次亦即最后一次进攻。

    五月二十日中国的攻势遭到阻止。联合国军恢复攻势。

    五月三十日第8集团军再次进抵“堪萨斯线”。

    六月一日第1和第9军所属部队向“怀俄明线”挺进,“打桩机行动”开始。

    六月十五日夺取了“打桩机行动”所规定之地形目标。

    六月二十三日苏联副外长马立克建议停火。

    六月三十日奉华盛顿之命令,李奇微将军向中国人广播说联合国军准备讨论停战问题。

    七月十日联合国军和共产党之间的谈判在开城开始。

    八月十日共产党人要求对在开城附近发生的所谓伏击事件表示道歉。要求为我拒绝。

    八月二十二日共产党人要求我对“空袭”事件表示认罪道歉。要求遭拒绝后谈判中断。

    八月三十一日第1陆战师在“大钵”地区发起攻击。

    九月二日美第2师向“伤心岭”和“血岭”发起进攻。

    九月三日陆战队和第2师抵达最初目标。

    九月十八日陆战队向“大钵”以北之照阳河挺进。

    十月十二日第9军向“詹姆斯敦线”挺进。

    十月十五日美第2师夺占“伤心岭”。

    十月二十五日在联络官之间进行为期两周的商议之后,停战谈判重新恢复。

    十一月十二日李奇微命令范弗里特停止攻势,开始实施积极的防御。实施“灭鼠者行动”。

    [[一九五二年]]

    一月一日对共产党阵地的炮击战和空袭战开始,持续整一个月。

    一月至四月开始进行战俘甄别时,战俘营中发生骚乱。

    五月七日巨济岛战俘营中的战俘将多德将军扣作人质。

    五月十一日多德将军获释。

    五月十二日李奇微将军离任,前往驻欧盟军最高司令部接替艾森豪威尔将军的职务,担任北约组织武装部队最高司令。克拉克将军担任联合国军总司令(与日本签订条约后,执行占领任务的盟军最高司令一职不复存在)。

    六月六日为占领十一个巡逻基地,开始了“回击行动”。

    六月十四日“回击行动”的全部目标均由第45师占领。

    十二月峰岩岛战俘的越狱行动被镇压。

    [[一九五三年]]

    二月范弗里特将军退役回国。马克斯韦尔·泰勒将军奉命指挥第8集团军。

    三月二十五日中国夺占警戒阵地266高地。五个警戒阵地。

    五月二十九日中国人占领三个警戒阵地。

    六月十日中国人开始向金城附近的南朝鲜第2军发起进攻。

    六月十六日南朝鲜第2军被压回到新的主要抵抗线,大约向南后退了四千码。

    六月十五日至三十日中国人向美第1军防区实施进攻,攻占两处警戒阵地。

    七月十三日中国发起最后的攻势,以三个师进攻第9军右翼,以一个师进攻南朝鲜第2军左翼。

    七月十九日板门店双方谈判代表在所有问题上达成协议。

    七月二十日由美第9军和南朝鲜第2军沿金城江南岸建立起新的防线。

    七月二十七日停火协定签字,为时三年的冲突结束。

  • 孔飞力《叫魂》

    第一章中国窃贼传奇

    1768年,中国悲剧性近代的前夜。

    某种带有预示性质的惊颤蔓延于中国社会:一个幽灵——一种名为“叫魂”的妖术在华夏大地上盘桓。①据称,术士们通过作法于受害者的名字、毛发或衣物,便可使他发病,甚至死去,并偷取他的灵魂精气,使之为己服务。这样的歇斯底里,影响到了十二个大省份的社会生活,从农夫的茅舍到帝王的官邸均受波及。②对于我们来说,这一切又有着什么意义?

    ①关于这一案例的原始文件,已于1930一1931年由北平古官博物院在《史辩旬刊》中编辑出版(1963年台北国风出版社重印)。有这一问题的学术讨论,参见参考书目中所列:德·格鲁特、恩特曼、孔飞力、以及谷井俊仁等人的著作。②清代中国的一个省往往拥有比当时欧洲的任何一个国家更多的人口。受到1768年妖术恐慌影响的十二个省分的人口的总和超过两亿。有关1787年的官方人口数据,参见何炳(中国人口研究,1368-1953年)哈佛大学出版杜1959年版,第283页。鉴于何炳棒认为当时中国人日往往登记不足(第58页),因而,对1787年的人口的估计,大约不会远过于1768年之人口实数。

    这是一个看上去正值盛世的时代。但它的种种状况,是否已在黑色妖术的掩饰下发出了非如此便不能为人感知的关于未来的警告?时处十八世纪,倚仗武力而来的西方人尚未出现,生活于那个时代的人们是否已在为中国近代社会创造着条件?联想到中国人自那时以来的经历,我们对他们生活于十八世纪的祖先竟会因当时的情形而产生鬼魂附体的可怖念头,是否便不会感到大惊小怪了?

    我们说,我们不能预见未来。然而,构成未来的种种条件就存在于我们周围。只是它们似乎都被加上了密码,使我们在没有密码本的情况下难以解读(当这车子终于到了我们手中时,却又已经太迟了)可是,我们确实可以看到难以为我们解读的种种支离片断,并必须赋予它们某种意义。我们自己当代文化的许多方面,大概也可以被称之为预示性的惊颤,正战战兢兢地为我们所要创造的那个社会提供目前还难以解读的信息。

    归根结蒂,我们最大的激情,就在于将意义赋予生命——尽管这种意义有时并不是显而易见的。

    德清县的石匠们

    浙江省的丝绸产区,是“一片广袤而富饶的桑园”,也是地势平坦的水乡择国。那里沟渠与运河纵横交错,星星点点地分布着人们居住的村落。在一位来访者的限中,“这些村庄好像是把守在这广阔平原上的卫士,其踪迹东达滨海,西抵丘陵”。①在我们的故事开始前的百年间,这里的居民已在从事着丝绸业,以至于“无处无桑树,春夏之际,无人不事育蚕”。正如一位十七世纪的观察者所描述的,居民们日夜劳作,收集生丝,“以抵付税款,并为衣食之靠”。他们的生计完全依赖于丝绸市场,达到了“若不能获利,则须售房市产”的地步。②在这个已经彻底商品化了的地区中央,即位于历史名城杭州以北约六十余里处,坐落着德清县城,南条河在流人太湖途中,正好从它的四围城墙中穿过。1768年,亦即清朝第四位皇帝弘历(乾隆帝)③在位之三十三年,东面城墙的水门与城桥坍塌了,待重修。

    ①德清县志(1673年版)。第4卷第3页。孙任以都曾在(清代中国的养殖业和丝织业)一文中对十八世纪的丝绸工业作过探讨,载威尔莫特主编:(中国社会的经济组织),斯坦福大学出版社1972年版,第79一108页。②清朝第四位皇帝境治时期(1736一1796年)的正式称谓是“乾隆时期”什(参见第三章中对“乾隆”一词的讨论)。皇帝本人则通常被历史学家称为“乾隆皇帝”,简称“乾隆”,但本书则以他的本名弘历来称呼他。对任何因当时无人称他弘历(他的名字是避讳的)而反对这一叫法的意见,我只能说,当时亦无人称他为“乾隆”为强调满族的种族背景,我以满族名字来称呼所有的满族人物(包括弘历),并以莫兰多夫体系拼写(除非其诸如弘历一类的满族名字已被汉化。若如此,则其拼法应是分开的,以代表个别的汗字,并保持拼法上的一致)。书后并附有所有满族名字的拼音及相应的汉字对照表。③此节关于1768年1月至4月同德清、杭州和肖山所发生事件的描述,均取自《录副奏折·法律·其他》乾隆三十三年中一批同浙江地区的妖术恐慌有关的口供。口供的原稿与经编辑的文本均保管丁下来,两者之闻差异不大。这些口供显然是遵照皇帝1768年8月的诏令而收集在一起的。亦请参见《朱批奏折》,第853卷第2号和第853卷第4号。乾隆三十三年七月一日和十七日(永德):《宫中延寄》。乾隆朝三十三年七月二十一日。这些文件均有永德处理这些事件的记载。为方便那些可能希望参照原文的专家,本书注解中一概以阴历来注明所引文件的日期。

    阮知县从邻近的仁和县雇佣了一位名叫吴东明的石匠。1月22日,吴石匠和他的班子开始了打木桩入河的繁重工作。水位甚高,工匠们奋力赶工以完成任务。①截至3月6日,木桩终于打到了河底,吴石匠一班人开始安装新的水门。到了3月26日,吴石匠发现米的储备已不足以供他的一班人食用,便赶回三十里外自己的家乡——运河岸边的商业重镇塘栖采备供给。当他回到家中时,人们告诉他,曾有一个陌生人问起过他的行止。一位名叫沈士良的农夫,为一件蹊跷吓人的事,要找他帮忙。

    ①《德清县续志》(1808年版),第10卷第6页。吴石匠后来否认水位问题曾给他造成任何特别的困难。但考虑到对他的指控。他是不得不这么说的。

    沈士良四十三岁,与他已经亡故的同父异母长兄的两个儿子同居一院。②这两个侄子为人苛刻暴戾,不仅折磨他,拐骗他的钱财,还殴打虐待他的母亲。当他觉得在阳间再无希望讨得公道时,便决定诉诸于阴间的力量。他在土地庙的供案前焚烧了一张黄纸,正式向土地爷告状。③2月间,过路人带来了关于德清水门工程的消息,也给沈农夫带来了新的希望。据他们说,石匠们需要将插人的姓名写在纸片上,贴在木桩的顶部,这样会给大锤的撞击添加某种精神的力量,人们称之为“叫魂”。那些因此而被窃去精气的人,不是生病,便是死去。沈农夫怀着重新燃起的希望,在纸片上写下了可恶的侄儿们的名字(因为他本人是个文盲,这名字是他好不容易从侄儿们保存的渔业商行的帐册上描下来的)。此刻,沈农夫取出卷着的纸片同吴石匠:这东西有用吗?你们有这个法儿没有?

    ②本书中凡提到年龄,均按中国习惯计算,也就是说,当某人出生时,已为一岁。按照西方的算法,则应年轻一岁。③有关告阴状这一民间习俗的知识,我应感谢李时岳教授在与我的私人通信中给予的指点

    吴石匠其实什么也不会。他知道,在一般人的想象中,石匠同木匠及其他工匠一样,拥有凶险不祥的魔力(对此,我将在第五章中予以解释)。他无疑是知道沈农夫重述的那些流言的;但他更怕自己被牵扯进叫魂的罪恶勾当。于是,他立即召来了当地保正,将沈农夫扭送德清县里盘问。阮知县下令将沈农夫打了二十五大板后才许开释。然而,妖术问题给吴石匠带来的麻烦却井未就此结束。过不多久,他就会被卷入一场公众歇斯底里的大爆发中。①早春的一个傍晚,一个名叫计兆美的德清人正在一位新近过世的邻居家中帮着料理丧事。在回家的路上,他喝了几杯酒。

    ①我不清楚为什么沈案是由德清县而不是由事发所在地的仁和县审理。也许是因为德清县是罪案的起源处。

    回到家里时已经筋疲力尽。叔叔疑心他是在外面赌了钱,便打了他一顿。计兆美既羞又怕,从家里进了出去,走了六十多里路到了省府杭州,打算在这里靠乞讨为生。4月3日的三更时分,他不知怎么来到了离杭州有名的西湖不远的静慈寺前。一个路人对他的口音起了疑心。当计兆美承认自己是来自德清的时候,已被一大帮人团团围住。人群中有人高声喝道:“你是德清人,半夜三更到此,不是做贼,定是因为你们那里造桥,来到这里叫魂的!”人们的怒火被煽动起来,他们抓住这个外乡人,拳脚相加地殴打他。打过一一阵后,他们又把他拖到当地保正的家中。

    保正将计兆美捆在一张板凳上,恐吓他道,如果再不讲实话,就还要拷打他。计兆美已是伤痕累累,又被这一切吓坏了,便胡诌出一个故事,说他确实是来叫魂的。“你既是叫魂的,身上必有符咒,”保正厉声喝道,“从实招来,共叫过多少魂?”计兆美说,他身上本有五十张纸符,但已将其中的四十八张扔进了西湖。他用剩下的那两张咒死了两个孩子——孩子的名字是他胡编出来的。

    第二天,计兆美先被带到了营里,又从那里被带到了坐落于同一城市的杭州府钱塘县衙门。在那里,一位姓赵的县官向计盘问:“你是从哪里得了这符咒的?又是谁在指使你干这叫魂的勾当?”计兆美曾经听说过有关德清县城桥工程的种种谣传,诸如木桩很难打到河底,石匠们需要借用活人的名字,以其灵魂精气来为他们的大锤助力,等等。他也听说过,为首承办的石匠是一个叫吴什么的,并隐约记得此人的名字中有一个“明”宇,便回答说:“是吴瑞明给我的。”石匠吴东明即刻便被押到了钱塘县衙门。当他被传唤时,其中隐含的凶险不祥定然已搞得他惶惶不安。所幸的是,计兆美未能从一干人中将吴东明辨认出来,他胡乱编造的故事因而也就不攻自破了。用刑后,计兆美承认他的全部故事都是出于害怕而编造出来的。

    此时,浙江地区的妖术恐慌已经引发了好几起扰乱人心而又希奇古怪的事情。除了上述沈士良和计兆美事件外,值得一提的还有吴石匠的副手郭廷秀的遭遇。3月25日,一位现年三十五岁、名叫穆方周的采药人找到了郭石匠,企图诱使他将一个纸包植入桥桩后打人河里,这样,穆方周便可以把他当作术士交出去,向当局避功请赏。郭石匠大怒,揪住穆,把他拖到了县衙门。在那里,这位失风的告密者因为无事生非而受到重杖,并带枷示众。

    这些事件搞得人心惶惶,省当局因而决定举办一次质询,让原告与被告当面对质,以便将此事作个了结。巡抚熊学鹏命令地方长官设立了一个由钱塘与德清两县知县组成的法庭。计兆美又一次未能从一千人中将吴石匠辨认出来。当局暗中搜查了吴石匠的家,没有发现任何与妖术有关的器物。阮知县早已在造桥的工匠中进行过个别调查,亦没有发现有将人名植入桥桩后打入河里的证据。原来所谓的妖术竟是如此!姓穆的采药人、沈农夫以及倒了大霉的计兆美都被置于杭州城门口带枷示众,作为对于盲目迷信的大众的一种警告。说到底,又有谁见过有人因叫魂的缘故而生病或死去呢?恰恰相反,倒是人们的轻信已经扰乱了民间的秩序。后来担任浙江巡抚的永德在给皇上的奏折中,就是得出了这种否定性的结论的。①可是,要真正将对于妖术的恐惧从民众的记忆里驱除出去,却并不是一件容易的事情。

    ①《朱批奏折》第853卷第2号,乾隆三十三年七月一日。

    萧山事件

    1768年4月8日傍晚,在与杭州隔河相望的浙江省萧山县,四名男子聚会于一家乡村茶馆。深色的袍服和光头表明了他们的和尚身份。他们都来自杭州地区的寺庙,在附近各个村庄里化缘。后来的供词可以为他们每人勾勒出一幅简图。②巨成(这是他剃度为和尚时所取的法名),四十八岁,俗姓为洪,本为萧山人氏。他在父母与妻子亡故后,于四十一岁时进了杭州的崇善庙,接受了剃度。③在庙里,他和另一位比他年轻的和尚正一拜在同一位师父门下。按照出家人的规矩,他们便互称为师兄弟。然而,巨成在寺里的地位还未达到可被授予僧职的地步。因为寺里无法供给衣食,巨成便回到本乡萧山化缘。

    ②《录副奏折·法律·其他》乾隆三十三年。③1784年版的《杭州府志》未能为在口供中提到的任何寺庙提供确切的方位考证。该书指出,这些寺庙都很小。它们也许属于第五章中将要讨论的那种“世袭”寺庙一类。接受剃度(剃光头发)则是出家的第一步。

    正一,二十二岁,杭州府仁和人氏,俗姓王,是巨成的师弟。因为他幼年多病,十九岁时被母亲送到城门外的关帝庙接受剃度。后来,他与巨成同在杭州修行。但亦末被授予僧职。他便与师兄一起到河对岸的萧山以化缘为生。

    净心,六十二岁,来自江苏省大运河边的无锡。俗姓孔,五十一岁时,他的双亲、妻子及孩子均已亡故,便来到杭州,在一个小佛寺接受了剃度,并在那里居住。后来,他在朝庆寺得到了一个僧职。当他云游四处在各个寺庙修行时,遇到了一位名叫超凡的和尚。他邀超凡与他同行,当他的侍僧。超凡,四十三岁,来自位于安徽省贫痛山区的太平县,俗姓黄,是净心的侍僧。十八岁时,他便在家乡当地的一座寺庙接受了剃度,后来又在祖光寺(所在地不详,可能是在杭州)得到了一个僧职。从1756年起,他开始跟随净心。

    杭州,这个伟大的文化与宗教中心,吸引了这四个人。他们中的两个决定抛弃世俗生活,是因为当他们进入当时人所认为的老年时,由于家人亡故而变得孤苦伶仃。而在年轻时便接受了剃度的其他两位,其中一人是因为生病(对家人来说,这是经济上的一种负担)。另一人则是由于不得而知的原因。他们中有两人持有为政府所批准的身份证明(度牒),另两人则没有。现在,四个人都从事着对和尚来说最为普通的一项职事外的活动:化缘。他们这样做,不仅是因为可以从中得到精神上的慰藉(这表明他们已抛弃了一切俗念),也因为他们所属的寺庙无法负担他们的生活。杭州地区乞僧的活动范围到底有多大,尚难确证,但萧山与杭州城毕竟只是一河之隔。在茶馆里,四人决定第二天还在那里碰头后出发。巨成与年迈的净心将在各村化缘,两个年轻和尚则将把各人的行李带到萧山西门外的老关帝庙去。

    在村里的一条街上,巨成和净心遇到了两个男孩。一个十一岁,一个十二岁,正在一所住宅前玩耍。一个男孩看到巨成所携的古铜化缘钵上刻着名字,便大声地将它读了出来。巨成吃了一惊,微笑着对孩子说:“小官人,原来你识字!你再学几年,定然可以谋个一官半职。”他接着又问道:“你叫什么名字?等你当官以后,可不要忘了我。”巨成想的是通过取悦于孩子,他们的父母会从屋里出来施舍他。可是,男孩却无动于衷。看看周围没有大人,两个和尚只得跚跚上路。

    他们在路上走了片刻,一对怒气冲冲的夫妇从后面追了上来。“你们为什么打听我们孩子的名字?”他们责问道,“你们一定是来叫魂的!”这对夫妇想的是,一旦让某个术士得知了某人的名字,谁知道他会拿它来干什么?巨成竭力解释说,他们只是来化缘的:“因你家阿官认得字,所以说了几句话,如何是叫魂的呢?”

    焦虑不安的村民们很快便围了上来。他们中有些人早就听说,这些天从外地来了一批叫魂的术士,四处游荡,在孩子们身土施展法术,使他们或者生病或者死去。“这两个和尚肯定不是好人!”人们怒不可遏,将两人捆绑起来,上上下下地搜了一通。尽管什么也没有发现,人们还是开始殴打他们。骚乱的人群越聚越大,有人叫道“烧死他们!”还有人吼道“在河里淹死他们!”

    人群中有一位当地的保正设法使狂怒的人们慢慢安静了下来。但是,因为这件事情实在太严重了,他不敢擅自处理,便将他们带到官办的驿站(这是离这里最近的官方机构)去让驿官审理。在那里,两个和尚又被搜了身,还是没有发现什么叫魂的证据(这究竟该是些什么样的证据呢?妖书?或是作法的器具?)为保险起见,那个识字的孩子被带到驿站,经仔细检查,他身体健康、并无异兆。然而,孩子的父母却坚信,唯有白纸黑字才有真正的效力,他们因而要求驿官出具一份正式文书,担保孩子无事。驿官不愿承担这个责任,便给县府送了一份文书。不久,知县的差人便将巨成和净心带往萧山令人生畏的县衙门,在那里,两个和尚发现他们的另两个伙伴也巳被拘捕,并受到了刑讯拷问。

    是那些挥之不去的有关“叫魂”的谣传使厄运也降临到了正一和超凡的头上。在周围各县,民众的恐惧心理正与日俱增。在萧山县,一个名叫蔡瑞的捕役得到了上司的指令,对那些来自外县、有“剪人发辫”之嫌的游方憎人应予拘捕。因为,一个掌握了正确“技艺”的术士,可以对着从某人辫子末端剪下的头发念读咒语,而将那人的魂从身上分离出来。

    尽管与和尚一案有关的人们并没有提及这一点,但此案的背后却隐含着头发的政治意义问题。统治中国的满人的发式,是在剃光的前额后面留着辫子。根据统一的法令,即便需要忍受极大的心灵痛苦,汉族男子也一概要留这样的发式,以作为效忠于当今皇朝的象征。

    那天,蔡捕役正在西门外巡逻,听人说起有两个从“远方”来、带有异乡口音的和尚住在老关帝庙。根据他后来对知县的报告,他随后便走进庙里,对超凡和正一进行盘问。因为他们的回答未能使他满意,他便搜查了他们的行李。在超凡的包裹里,他翻出了一些衣物,一只讨饭用的铜碗,几件僧袍,以及两张度牒。他用了石块才砸开了正一的行李箱,在里面发现了三把剪刀,一顶猪皮的防雨披肩,一把锥子,还有一根用来扎辫子的带子。

    人们情绪激忿,开始围拢过来。“和尚身上带这些东西干嘛?这两个人肯定不是好东西。”人群中有人叫道“揍他们!”“烧死他们!”据蔡捕役后来的报告,他当时壮着胆了告诉大家不能这么做。因为超凡是一个持有度牒的正式和尚,蔡捕役认为没有理由拘捕他。但是,正一的情况不同,他不仅没有度牒(这表明他的身份不过是一个随便什么人都根容易取得的见习和尚)况且,他还带着巨成的行李箱,里面又有那些可疑的物品。蔡捕役将正一戴上锁链,送往县衙。超凡找到了衙门告状,竟也被抓了起来,同另几位和尚一起被带到知县面前。

    在大堂上,巨成他们戴着手铐脚镣,跪在知县面前。知县坐在一张高高的公案后面,两旁坐着他的师爷们。①审讯开始了:“从实招来,你到底剪了多少发辫?”

    ①1785年,一位曾被囚禁的耶稣教士记述了他在北京受到审讯的情况:“犯人们被带到公案前,当他们受到讯问时。手、脚和脖子分别戴着镣铐,并必须光头跪在官员面前的地上。”韦勒克《帝国政府与1784-1785年间在中国的天主教传教士》纽约1948年版,第138页。

    巨成已是饱受惊吓,他争辩道,自己并没有剪人发辫。知县随后向巨成出示了蔡捕役带来的证据:四把剪刀,一根扎辫子的绳子,两小段辫子。“这些东西是不是你剪人发辫的证据?难道它们不是吗?”巨成答称,那四把剪刀中有三把是他已死去的当皮匠的儿子的。他全然不知道第四把剪刀是从哪里来的。那根扎头发的绳子是他在剃顶削发前用过的。当了和尚后,扎发绳没有用了,他把它和其它用品放在一起。至于那两段辫子,连他自己也不知道是怎么回事。

    巨成是一个已被预先设定有罪的疑犯,他的招供当然不会令人满意。于是,法庭上惯常使用的刑讯便开始了。衙役们将巨成拖过去上夹棍。我们不知道,这里用的是否是那种可调节的踩骨夹棍,亦即一种慢慢地将骨头压碎的装置;或是一种同样可怕,会在胫骨上造成多处裂缝的刑具。一位十九世纪的观察者曾将踝骨夹棍称之为“一种双料的木制夹具”,有着三条直棍子,其中靠外面的两条是当作杠杆来用的:

    主刑者渐渐地将一根楔子插入两者之间,交替地变换方位。通过对棍子上部不断扩张施压,使得辊子下部不断向中间那根固定在厚木凳上的笔直棍子靠去,于是,受刑者的踝骨便极痛苦地受到压迫,甚至被完全压碎。如果不幸的受害者坚信自己是无辜的,或者顽固地不肯认罪,因而使这一可怕的过程得以完成的话,到头来,他的骨头就会变成一滩稀浆。

    最后,大概实在是熬痛不过,巨成招供道,所有对他指控之事均属真实。然而,知县并未因此而感到满足,因为这痛苦不堪的和尚所讲的故事前后并不完全一致。夹棍又两次被收紧,但并未带来更令人满意的结果。净心也受到了同样的刑罚,三天过去了,知县从四个和尚那里都得到了某种相当于认罪的东西已经身受重伤的囚犯们,大概是被装在通常用来运送犯人的带轮囚车里,送到了东面六十多里处的绍兴知府衙门,亦即再上一级的官府,受到进一步的审同。这一次,鉴于巨成的骨头已断,便未再对他使用夹棍,而代之以用木条对他掌嘴十次。正一又一次被夹棍伺候,净心和超凡此时已被视为不那么有价值的犯人,因而未被进一步用刑。

    到这个时候,供词已变得空前混乱,犯人们也就被送到了再上一级的官府。这一次,他们到达了刑讯的最后一站——杭州的巡抚衙门。就在那里,事情有了惊人的发展。

    自从在萧山县衙门的第一次过堂后,正一和超凡便固执地坚持一种说法:他们是因为拒绝给蔡捕役塞钱,才被他栽脏而受到逮捕的,这在当地社会本是一种司空见惯的现象。但是,谁又会听信这些衣杉褴楼的和尚们的说词呢?难道公众因妖术而引发的歇斯底里是完全无根无据的?再说,巨成包里的那些证物中,到底又有什么是蔡捕役栽的赃呢?无论是在县衙还是在府衙,人们都不相信和尚们的说法。现在,省按察使曾日理又循着同样的路子发问:

    曾按寨使:巨成,你们既是化缘的,就该专化斋粮,如何又问人家孩子姓名?这明明是你们叫魂的凭据。你到了这里,初供并不肯说出问过孩子姓名的话,明是你你怕追究你叫魂的事,故此隐瞒。

    巨成:……当日在县里,因为说了问过名字的话,县官再三追究叫魂的事,并指使人把我夹过三夹辊,如今腿子还没有好,实在害怕。所以到这里,大人们审问,不敢说出问过孩子名字的话。

    曾按查使:……你们做这样事,若无实在凭据,何至众人要把你们烧死淹死,动了众怒?

    巨成:……当日见我们被男女二人拉住,就都疑我们是实在叫魂的人,所以嚷说要烧要淹,其实不过是空话。后来保正把我们送到驿里,众人也就散了……

    比起县里的官员来,省里衙门的官员们显然不那么倾向于依赖衙役之类的走卒,对于前者来说,他们要靠着蔡捕役之流来从事每天的公务。当这几个犯人蜷缩在省里的判官面前时,正一又重述了自己受到敲诈的故事。他坚称,蔡瑞那天在庙里告诉他们几人,他是奉命前来抓捕“游方僧”的,但只要他们给他“几个规矩钱”,他就会放他们走路。正一当时回答他说:我们是讨饭的和尚,哪里会有钱给你?”

    在正一的故事中,有某种东西让曾日理觉得听来有理。像蔡捕役这样的人其实并非职业警捕,而是通常被人称为“衙役”的地方上的跑腿。他们要干很多既令人生厌又低人一等的地方上的杂务,例如:拷打疑犯,送递传票,催讨税款,以及在官府衙门内外打杂。像蔡捕役这种从事警捕工作的人,在别人看来地位不高,也没有资格参加科举考试。他们薪俸微薄,不得不通过向同自己打交道的百姓讨取“规矩钱”来过活。有些衙役甚至不在官府名册上,因为他们太穷,所以不得不作为编外人员而依附于人。他们根本没有薪俸,而只能在众人头上讨食。人们一般都说,衙役属于下等人,必须常常对他们进行检查。可是,出于衙役提供的服务是官员们须臾难离的,很少有人能够做到这一点。①

    此刻,蔡捕役被带上堂来,并被喝令跪下。虽然曾按察使对他的说词一再查究,蔡仍然坚持自己的说法。整整一天,他就一直跪在那里。最后,蔡捕投已是精疲力竭,并终于意识到,自己的戏已经玩完了。他于是招供道,自己确实曾向和尚们要过钱。当他们拒绝给他钱时,他便一边搜查他们的包裹,一边威胁他们:“你们既是正经憎人,如何有这东西?你们得给我几千钱,才放你去。不然送到县里,就算是剪辫子的人。”

    当蔡捕役在和尚的行李里找到了剪刀和绳子等说不清楚的东西时,事情变得严重起来。随着蔡的吼声越来越响,人们纷纷围拢了上来。众人歇斯底里般的反应使蔡捕役意识到,麻烦已经超出了自己能够控制的范围。他于是逮捕了正一,并说服众人散开。让他把正一拉了出去。然而,他并未将正一一直接带往衙门,而是把他,连同他那装有犯罪疑物的包裹,带到了座落于城墙下一条死胡同里的自己家中,超凡已被激怒,一直跟着蔡捕役,想讨回自己的行李箱。蔡捕役说:“你得找了那两个和尚来,才会给你。”超凡万般无奈,只好上衙门告状去了。

    蔡捕役继续招供道,当他带着戴上镣铐的正一回到家里时,便对他说:“现在没有人了,你就随便吐出几吊钱来吧,我就放你走。”可是,已经怒不可遏的正一却坚持说,他要正式去官府告状。蔡捕役开始殴打正一,但也没有什么用。他意识到,除非能证明和尚们真的剪了别人的发辫,否则他自己的麻烦就大了。

    不巧的是,巨成的箱子里只有一缕头发,而且,那头发还是直的,根本不像是从辫梢上剪下来的。于是,蔡捕役便在自己家里找到一撮旧头发,走到弄堂里正一看不见的地方,小心翼翼地将头发编成辫予。为了使证据更充实一些,他又从自己的帽檐上剪下了一些纤维,把它们编起来,看上去就像两条小辫子似的。他又将这些匆匆伪造出来的证物,连同他自己的一把剪刀。放到了和尚的行李里(这样,包里就有四把剪刀了)。然后,他便押着自己的犯人前往衙门。

    在衙门里,正一尽管遭到了刑讯,却仍然不改他受到敲诈的说法。知县自作聪明地指出,正一和蔡捕役原本互不相识,两人之间并无芥蒂,所以,在蔡捕役身上找不到诬陷正一的动机。正因为如此,这个案子虽然经过了府衙的复审,亦未受到怀疑。

    现在,鉴于蔡捕役已招出此事是他作弊:曾按察使便将这个案子退回了萧山县衙门。蔡捕役被打了一顿,又被带枷示众,但最后还是被开释了——或许就此他便成了一个更为谨慎的公共秩序卫护者亦未可知。和尚们也获得开释,每人还分得了三千二百钱,以使他们在被打断的骨头未愈合前得以过活。

    公众的歇斯底里与卑劣的腐败现象结合在一起,几乎酿成了司法上的一桩大错。公堂上的用刑虽能逼人招供,却往往会因为受到指控的被告在上一级官府翻供而使供词难以作数。当某件案子达到省一级时,官员们因为远离肮脏的县府大堂上的种种压力与诱惑,对于被告的偏见也就小得多。谁说这是一件涉及妖术的案件?更有可能的是,这是由容易轻信的民众,受到贪婪的地方捕役中的恶棍以及无能的县府官员们的挑动,而造成的又一桩早已司空见惯的丑事。现在,省里的官员们很乐意于销掉这个案子。

    然而,公众恐惧的浪潮比之曾按察使及其同僚们所意识到的来得更为汹涌。就在巨成及其朋友被捕的当天,在萧山的另一地点,人们打死了一名走街穿巷的白铁匠,只因为他们相信在他身上发现的两张护符是用于叫魂的咒文。官员们后来发现,这只不过是两张用来向土地爷赎罪的普通符文,这位不幸的白铁匠则是在自己的祖坟砍树时才带上它们的。此前一周。在与德清交界的安溪县(这也是叫魂恐惧蔓延的中心地区),村民们怀疑一个带有生僻口音,来历不明的陌生人是来叫魂的,便用绳子把他绑在树上,殴打至死。①

    ①这两个事件中以私刑杀人者都被逮捕并以杀人定罪。我只是找到了安溪这一案例的初审与复审判决文件。见《刑科史书》,第2772卷,乾隆三十四年三月二十九日;第2781卷,乾隆三十四年六月二十三日。

    不到两个星期,浙江省叫魂的种种谣言便流传到了江苏。人们相信,以剪人发辫为手段的叫魂事件均是来自浙江的游方乞僧所为,而他们进入邻省就是来从事这种可恶勾当的,各地官府已处于戒备状态。过不多久,人们便发现了同样的怀疑对象。

    苏州的乞丐们

    苏州是中国最优雅的城市文化的结晶,也是中国首富江苏省省府所在地。1768年5月3日,当地的捕役抓到了一个外貌“可疑”的老年乞丐。抓他的理由是他为叫魂而剪人发辫。②然而,地方当局并未宣称偷剪发辫的妖术与辫子作为一种政治意象之间有什么联系。

    ②《江苏按察使司录呈长州县捕获乞丐陈汉如等一案全卷抄册》,载《录副奏折·法律·其他》,乾隆三十三年八月。这一本九十页的小册子登录了整个苏州事件,是省当局就陈汉如等人的案件全部记录向军机处提呈的报告。军机处及刑部对疑犯的翻查则在《录副奏折·法律·其他》(乾隆三十三年九月十七日)中作了小结。除非另外标明出处,本书关于苏州事件的所有赞料均来自这些文件。差不多同时,省内发生了另三个相近的案件:在昆山(4月30日)、苏州(s月14日)、安通(5月28日),所有被怀疑剪人发辫的人都遭到了暴民的攻击,并都被逮捕,但后来又都获得释放。因篇幅关系,我未将它们罗列于此。有关这些案件的概要,参见《朱批奏折》,第855卷第4号,乾隆三十三年七月三十日(高晋)。

    在5月的这天早晨被押人捕房的这个衣衫槛褛的家伙名叫丘永年,苏州府人氏。他今年五十八岁,是一个失业的伙夫,一直“在外边走江湖”乞讨。4月26日,他流浪到了坐落于长江南岸的县城常熟,投宿于一处驿所。他在那里遇到了另两个像他一样靠沿路乞讨为生的无业游民:一个是陈汉如,二十六岁,本为苏州人氏,是失业的掸帚帽沿制作工;另一个是张玉成,四十一岁,从前是个卖咸鱼干的小贩。三人中,唯有张玉成来自外省,是从近四百里外的浙江绍兴沿着运河来到常熟的。在清中叶的盛世间,这三人都是没有什么社会地位的小民。他们发现自己都要朝南往苏州而去,便于5月2日结伴同行。

    第二天,他们到了陆墓,这是苏州城北、大运河边的一个商业闹市。丘永年盘腿坐在路边,他的两个伙伴则到一家当铺乞讨。这时,驻防于苏州的两个捕役,在另两个从常州县衙门来的捕役的陪同下,把他抓了起来。他们发现,他的身上藏有一把刀子以及一些纸符。当捕役们盘问他时,人们围了上来。在旁观者中,有一个名叫顾正南的十岁男童,只要有人愿听,他便对人说,当天早些时候,他感到自己的辫子被人拉了一下,却没有看见是谁拉的。对捕役们来说,这就足够了。张、陈两个乞丐很快也被找到,并同丘永年一起被抓了起来。三人都按惯例受到了夹棍的伺候。面对着在自己身上被发现的同此事有牵连的证据,丘永年仍然坚持道,那把刀子是用来做兰花豆以供出卖的,纸符(每张上都印有“太平”两字)是用来贴在市场街道的各家门道上,再请人予以施舍的。三人都坚决否认犯有剪人发辫的罪行。那个男孩被带进来接受询问,叉重复了他的故事:

    小的今年十岁,在学馆读书。三月十七日(此处为阴历;阳历应为5月3日),小的回家往北走路,有一个人在小的背后把小的发辫扯了一扯。小的急回头看,那人已飞跑去了。小的辨子未曾剪去。适逢营里拿获这些人,叫小的去认。其时,小的在前走,那人在背后,没有看见他面貌。如今这到案穿黑服的陈汉如,好像是那人,但认不清切的。

    后来,疑犯们又被带到了县衙门,再次受到夹棍的刑讯。陈汉如表示,他对于“以药迷人”及剪人发辫这类的事一无所知:

    那孩子也供认不清。前蒙营里把小的踏过杠子,不敢妄认。现在膝伤未愈,况那兵快拿获小的细细查搜,并无带有违禁东西,就再夹死小的,也供不出什幺,求饶刑。

    最后,屠知县只好释放了他们。他在结案奏折中写道,这三人“均系无籍之徒,结伴求乞,并非善类。但各加刑鞫,俱无剪辫确据,即顾正男亦指认不清。所获纸符,验非镇压迷人之物,且未另有受害之人首报,似非扯辩正犯。①侯将丘永年、陈汉如、张玉成递回各原籍,交保安插,仍俟另缉正犯可也”。

    ①在官方文件中,被怀疑或指控犯有罪行的人通常被称为“犯”。为了保留中国法制服中对于被告这种带有歧视的味道,无论是直接或间接引语,凡在中文原文使用了“犯”一词时,我均相应地甩“cnminal”(罪犯)一词来表达。

    然而,公众情绪受到的干扰极为深广,使得屠知县不能认为案子就此已经了结。5月9日,他发布告示称:“本县访有剪辫匪徒,为害不法。”调查仍在继续。尽管乞丐们的罪行未获证实,但屠知县的告示要求那些也许曾受他们之害的人们不应畏惧可能会受到骚扰,而应挺身而出,对害人者及其谎言予以揭发。

    然而,人犯之一却未能获得释放。5月5日,那两个最初捕人的捕役(他们因而也在人犯被拘在县的整个期间负有看管他们的责任)报告说,张姓人犯正在发高烧,并已不能进食。屠知县立即下令找来医生为他看病。如果人犯在狱中死去,那便意味着繁琐的发文填表。同时,要是知县被发现有玩忽职守或虐待人犯的过错的话,还会受到罚俸的处分。可是,捕役们又报告道,张姓人犯的情况继续恶化,到了5月20日,他已经只剩一口气了。医生发现,他脉息微弱,皮肤燥热,舌胎发黄。捕役们还报告说,虽经使用草药,却未见效果。当天晚上,病人就死了。

    一个乞丐死在狱中自然不会惊动什么人。虽然清代的牢房大概不会比当时其他地方的牢房糟糕多少,但即便对一位意志坚强的英国人来说,1860年在刑部牢房被短暂关押的经历,也算得上是一种考验了:监狱的纪律本身并不十分严厉。如果不是因为饥饿,臂上和腿上有镣铐与绳索之处引起的疼痛,脊骨上受到铁制颈珈的重压,爬来爬去的臭虫弄得到处感染,再加上犯人们不时会被带走遭到殴打用刑(当被送回来时,他们腿上和身上总是鲜血淋淋,虚弱得连爬都爬不动了)——如果不是因为这一切,狱中就没有什么别的太大的痛苦了。①一位中国文人曾在同一监狱被关押过一年(1712~1713年),他对同狱难友们的遭遇作过这样的描述:“他们原先的寝食习惯均被忽略,如果得病,亦得不到医药。这就是他们为什么这么容易死亡的原因所在。”②现在,刚才提及的苏州这个张姓乞丐的案卷被人小心翼翼地塞进了各种证词,用以证明他的死因。证词中有来自狱卒的(“小的并没有把他凌辱”),有来自同狱囚犯的(狱卒“实无凌辱他的,情愿具结”),有来自县医的(“不治之症”)。还有来自验尸官的(“生前患病身死”)县里出资为他买了一口棺材,同时,他的原籍所在县也得到了通知,以备他的亲属会提出认尸的要求。

    ①洛赫的叙述,转引自博德:《十八世纪北京的监狱生活》,载《美国东方协会杂志》,第89卷第2期(1969年),第329页。②转引自博德:《十八世纪北京的监狱生活》,第320页。

    一个囚犯死了,另两个则因缺乏证据而获开释,这实在算不得是一件值得记忆的司法案例。然而,因为这样一件颇令人棘手的事终于得到了解决,屠知县却免不了感到如释重负。虽然为使自己不致在今后受到玩忽职守的指责,他必须发布那道关于这一剪发公案的公告,但他并不因此便认为有理由继续关押丘、陈两个乞丐。这只不过是一件荒谬的小事,只不过是一些在愚昧百姓中流传的迷信谣言而已。至于那个令人讨厌的孩子,也许只是在胡思乱想。

    死了一个囚犯?——可是囚犯死亡是什么时候都会发生的事。会因为此事而惹出别的麻烦?——可能性实在不大。

    胥口镇奇事

    浙江省湖州府的法云庵是净庄和尚居住并从事法事的地方,它正好座落在离吴石匠遭遇妖术事件处不远的南条河下游。①1768年春,又到了要到苏州为庙里补充供给(例如采备焚香之类的供品)并探亲访友的时候。净庄雇用了一位桃姓的船民,送他和六个同行的和尚乘船顺太湖东岸去苏州城。净庄和侍僧大来随身共携带了一千文铜钱。其他人身上则带钱不等。

    ①《录副奏折·法律·其他》,乾隆三十三年九月十七日(傅恒)。

    他们是5月4日(亦即乞丐们在苏州被逮捕的第二天)出发的。

    第二天下午,他们的船停泊于湖边的商镇胥口镇。净庄和尚与船夫上岸去置办食物时,在胥王庙歇脚休息。一位名叫张子法的渔夫进得庙来,问净庄是不是从湖州来的。

    近来,恐怖的谣言已使当地人相信,湖州来的和尚们正在当地剪取人们的发辫。难道净庄和尚也是他们中的一个吗?张子法威胁说,他要抓住他们探个究竟,吓得净庄和船夫逃出庙来。张以为自己的怀疑得到了证实,也大喊大叫地尾随他们追出庙来。

    市场上的人群将这两人团团围住,并开始对他们拳打脚踢,使姚姓船夫受了重伤。

    一个匆匆赶来调查此事的捕役收缴了净庄的物品,对之并连同姚姓船夫船上的行李物品一起,进行了搜查,并没有发现任何可疑的物件(诸如剪刀等剪人发辫的工具,或是用来害人的迷魂药粉,等等)。然而,周围的人们是如此激愤,使他实在不敢擅自放走这些人。于是,他押着净庄、姚姓船夫、原告张渔夫以及其他和尚上了船,启程前往位于去苏州水路中途的木渎镇上的县丞衙门。

    天黑后,船停泊在木渎镇码头。捕役将其他人留在船上。自己押着净庄和尚去衙门。路上,他曾停下来向当地的兵营报到。到了衙门,他发现县丞出去了,便又押着净庄回到了营房。此时,在当地市场上,人们已得知剪人发辫的和尚被逮捕的消息,于是一大群人吵吵嚷嚷地聚集到了码头上。一批以唐华和李三为首的当地泼皮发现船上还有几个和尚,便将他们和船夫一起拖上岸来,带到了兵营。,当天深夜,几个不明身份的人上了船,偷走了那几个过路和尚的钱财衣物,姚船夫的船也被毁坏了。

    现在,捕役开始担心,如果这几个嫌犯在木渎镇停留更久,恐怕会惹出大麻烦来。于是,他另雇了一条船,连夜将这批可怜的人送往苏州,让吴县知县亲自审理。因为缺乏剪人发辫的确切证据,知县判定,净庄及其同伴不过是几个守规守矩的和尚。他还进一步判定,张子法作为此事的肇始者,应对整个事件负责。可是,和尚们对自己仅仅获得了开释却并不感到满足。他们又越过知县,直接向知府衙门告状。要求对他们失落的钱财与衣物进行赔偿。尽管并无证据表明张子法本人偷过任何东西,知府仍命令昊县知县将他扣押起来,并强令他归还和尚们的钱物。

    官僚机制对妖术的处理

    1768年蔓延于中国东部与中部的大恐慌是以各地有关妖术的种种信念为丰富的养料滋生而成的。从细微末节来看,地区间的情况并不相同,但各地的信念中都包含有以下一些要素:在某种条件下,人的魂能够同拥有魂的躯体相分离;一个人若掌握了另一个人的魂,便可以利用它的力量来为自己谋利;若要偷取别人的魂(亦即“叫魂”),可以通过施展妖术来实现,或者可以对着已从受害者身上分离出来的某种实物(例如男人的辫梢或女人的衣襟)念咒,或者可以把受害者的名字放在一根将要打入地下的桩子的上面或底下,并在打桩时念诵受害者的名字;通过向受害者撤出粉状的迷药,可以使他在被剪去发辫时无法抵抗;受害者极可能是男性孩童;受害者会得病或死去。

    在一个通过父系继承,婴儿死亡率又极高的社会里,对孩子(尤其是男童)的保护,是生活中唯此为大的事情。在清代,人们对大多数疾病的原因还不甚清楚或存有误解,因此,当孩子患病的时候,便不能排除这是否因妖术引起的可能。那些本来便与超自然事物打交道的人(如和尚与道士),在人们按情理的推想中掌握着操纵超世俗事务的种种手段(例如,大概是从密书中抄录下来的符文咒语),也就最有可能是妖党术士一流了。

    那么,省里的官员们对这一切究竟是如何看待的呢?这里存在着三种可能。官员们可能相信,关于叫魂妖术的种种流言纯属胡说八道,根本不曾发生过这种事;他们也可能认为,尽管一些犯罪分子也许真的会剪人发辫,或会将人名打人桥桩。但这充其量只是民间的一种迷信行为,并不真能达到叫魂的效果;最后一种可能是,官员们不仅相信有人在从事叫魂妖术,而且也相信这种妖术确已害过人或可以害人。

    通过省里官员们处理春天的妖术事件的方式可以看出,他们既因责任所在而需谨慎行事,却又对不可知论不以为然。要在两者之间保持某种平衡,使他们颇感棘手。当叫魂的疑犯被带到他们面前时,他们必须进行细致的调查。归根结底,面对这种为民众所深恶痛绝的罪行,又有哪个知县或按察使敢抱一种玩世不恭的嘲笑态度呢?正如读者在本书第四章将看到的那样,一系列在形式上相似的妖术行为均为刑典所禁,这就使情况更是如此。同时,也许妖术真的是存在的,尽管可能性很小,可又有谁敢担保这样的事绝不会发生呢?但是,起决定作用的因素肯定还是因此而引发大恐慌的可能性。如果坏人试图施行妖术。他们实际上便已经在民众中触发了危险的恐惧感,因而必须受到严厉的惩罚。但到头来,所有的妖党疑犯都因为证据不足而获得释放,反倒是那些对他们提出指控的原告却因为成了笨蛋或作假者而陷于难堪。当官员们在审讯大堂里站起身来时,一定轻轻地舒了一口气。在他们退堂后下去用茶时,一定感到自己对于无知大众的轻蔑态度本来就是有道理的。

    可是,民间的恐惧难道就此便止息了吗?这实在不太可能。

    不管判案的官员对妖术的存在信与不信,受到惩罚的是原告而非被告这一点,已使他看上去是对妖术手软。不管特定的官吏有着怎样的精神状态,官府在面对困妖术而引发的歇斯底里时,其反应总足要把案子从街上转移到官府大堂上来。若在某人的管辖范围内发生了公众动乱,那便是此人无能或无知的铁证。这比之未能完粮纳税更确定地会摧毁一个人的仕途生涯。虽说以私刑处死一个陌生人可能会使一大群人平静下来,但没有哪个官员愿意让自己的业绩中染上这样的污点。当然,根据《大清律例》,某些弄神弄鬼的行为是杀头之罪,一个妖党疑犯因而是可以被起诉的。但是,既然所有判处死刑的案子都要受到直到最高一级官府的复查并最终要由皇帝本人过目,那么,证据还是要充实一些才好。如果在这些复查中发现了作假或毁谤的情况,唯一的补救办法便是惩罚原告与释放被告,以此对民众中不负责任的言论和无法无天的暴行提出警告。然而,要阻止公众为对付妖术而大动干戈,也许需要付出极大的代价。根据其他文化所提供的例证,如果政府因为认为妖术不可知或不可信而禁止老百姓以暴力来对付它,则其声誉就会受到严重的损害。纳瓦霍人曾抱怨说,白人当局不仅禁止他们杀害巫师,甚至“对那些在我们看来已犯下了最严重罪行的人们也不予以惩罚”。①在现代,东非的一些政府曾对民间某些对付妖术的措施(例如通过毒物进行裁决)予以压制,其付出的代价则是被指责为“同罪恶站到一起去了”。②从维护政府公共形象的角度来看,最聪明的也许是乌干达的那种解决方案。在英国的管辖下,那里有一个法律,对为了威胁对手或为了制造一种使别人展惧自己的名声而“假冒”为巫师的人,要予以惩罚。在这个事例中,政府并不承认自己相信巫术实有其事,但却表明自己是在同假冒从事巫术的行为作斗争。可是,普通乌于达人却并无能力分辨什么是假冒的巫术,什么是真正的巫术。结果,那些有巫师嫌疑的人便被强行带到当局关押起来。③正如我们以后将要看到的那样,《大清律例》中有关反妖术的条款同乌干达的不可知论颇有异曲同工之妙。

    ①克拉克杭:《瓦瓦霍的巫术》,波士顿1967年重印本,第116页。②米德尔顿和温特编:《东非的巫术与妖术》伦敦1963年版,第21页。参见该书《序论》③倍蒂:《班洋罗的妖术》同上书,第27~55页。

    由于事情大概本来就该是那个样子,省里的官僚们一定觉得自己的公堂在处理1768年初的这几个案子时还是相当顺手的。吴石匠受到的诬陷以及蔡捕役的贪赃枉法不是都被揭穿了吗?那几个在胥口镇和苏州事件中受刭诬告的人不是也都被开释了吗?还有,民众不是也都受到了恰当的警告,即他们不应匆忙不迭地对别人提出控告吗?虽然说,当皇帝在循例审阅因杀人而被定罪的案子时,那种对形迹可疑的流浪者动用私刑的情况最终是会引起北京的注意的,但至少在当时,还没有什么真正与妖术有关的案子值得劳动皇帝的大驾。

    然而,对于妖术的恐惧依然深深地留存于人们的记忆之中。难道竟没有什么办法能保护人们不受这一灾祸的危害?公众所得到的保障实在是太少了!到6月21日,大恐慌已经越出长江下游的各个省份而扩散到了近千里外的上游城市汉阳府。在那里,一大群在街头观剧的人抓住了一个可疑的“妖人”,将他殴打至死,然后叉焚烧了他的尸体。①

    ①《朱批奏折》,第865卷第1号,乾隆三十三年七月十五日(定长)。读者也许会对我用“大恐慌”一词感到不解。我使用这一词是经过考虑的,因为这是西方的观察者们在其他的场台看到这种现象时所用的词。《字林西报》的一个记者曾在1876年亲眼目睹了一件由剪人发辫而引起的恐慌(参见第十章),他写道:“从上星期五起人们在这里(武昌)看到的骚乱”是由一种认为剪人发辫者就在户外,而受害者在三天内就会死去的信念引起的。“消息的流传使大恐慌蔓延全城……可以看到,人们脸色凝重,在街上行走时,有人将辫子由肩上拖到胸前,有人则将辫子小心翼翼地握在手里,遇到外国人或任何看上去可疑的人时,都会显得相等不安……几乎所有的孩子都在衣领上挂有一个装有符咒的红袋,或者将符咒写在一块黄布上,再系在头发上。”(《字林西报》,1876年8月4日,第119页)

    第二章盛世

    当妖术大恐慌冲击到大清帝国的时候,这个中国的末代王朝尚未露出衰败的迹象,而仍然处于为人称道的“盛世”的顶端(所谓“盛世”,是一种惯用的说法,常被人们当作德政的护符,用来装点官方文件)。然而,关于世间存在着妖术的可怕意念,却从社会的各个层面都反映出来。在妖术恐慌所波及到的省份,居住的人口比当时整个欧洲的总和还多,不少人被搞得丧失生命或身败名裂。可是,从总体上来看,它给人们生活带来的危害又远不及十六、十七世纪席卷欧洲的巫术大恐慌。为什么妖术恐慌在中国带来的危害如此有限?正如同这场恐慌究竟因何发生一样,这是一个颇值得深究的问题。

    整个社会竟然感受到同样的危险,下层的民众与上层的权贵竟然受惑于同样的不测,这本身就暗示,社会上存在着一个有着紧密内在联系的文化网络。然而,农民、官僚和皇帝的生活方式不同。他们需要考虑的主要问题也不同,妖术恐慌对他们形成的冲击也就不尽相同。在这里,统一性与多样化是并存的:在这个国家里,一方面,形形色色的事件分别发生在最高层与最底层,但它们之间存在着密切的相互联系;另一方面,社会就像一面多棱镜,将人们对叫魂的看法以各种各样的色彩反射出来。

    弘历治下的镀金时代

    十八世纪中国的经济成就是以国内和平为基础的。此前,中国本土发生大的战争还要回溯到1681年。亦即弘历的祖父玄烨平定三藩之乱的时候。1683年,当清军征服台湾之际,中国的沿海地区也安定了下来。和平孕育了中国历史上就人口增长与商业扩展而言最为伟大的时期,然而,要追溯这一时期的渊源,却必须回到满清征服中国以前的年代。当十七世纪到来的时候,由美洲引进的各种新作物(玉米、甜薯、花生、烟草等适于在干燥高地上生长的作物)早已由那些打破了中国种种内部疆界束缚而迁徒他乡的人们移植到难以灌浇的山坡地上。到了十七世纪下半叶,征战年代人口锐减的现象已经扭转,导致现代人口激增的环境已经形成。有人认为,在整个十八世纪的过程中,中国的人口数翻了一番。以人数不断增加的大众百姓为服务对象,一个稠密的农村市场网络应运而生。虽然还谈不上城市化,但尘土飞扬(或泥泞不堪)的区域性小市镇却不断扩散发展,并在实际上使得每一个中国农民都接触到了地区性的交易体系。人们处处都在使用货币:来自西属美洲的白银推动了土地与劳动力的自由买卖。当时,西方人自己的工业革命尚处于起始阶段,在他们看来,中国的商业活力与人口增长正在创造出一个既生机勃勃又相当稳定的社会。①然而,就是在这样一个社会里,黑色妖术的阴影正在1768年早春蔓延开来。

    ①韩书瑞和罗斯基:《十八世纪中国社会》,耶鲁大学出版社1987年出版。该书对关于这些趋势的学术研究做出了出色的概述。

    一个令人鼓舞的故事

    对于中国的历史学家们来说,描述十八世纪的中国社会,比之探讨进入十九世纪后中国的衰落、破败、孱弱以及无所作为,是一种令人更为振奋的经历。②生活于十八世纪的中国人,在一个稳固而有效的政府治理之下表现出了经商办厂的天才,因而受到了整个世界的称道。中国历史学家在研究这一段杜会史时。其基调是明快的,有时甚至是歌功颂德的。西方历史学家对探讨这一“经济活动的新的与更高的形式”也表现了极大的兴趣。③

    ②新近出版的一本书目,在中国帝制晚期经济发展的类别下(有一个时期,这被称之为“资本主义萌芽”)共列出了中国大陆地区1951至1984年间发表的565篇论文,26本专著,7部资料集。参见田居俭、宋元强编:(中国车资本主义萌芽),巴蜀书社1987年版,第1016~1063页。③韩书瑞和罗斯基《十八世纪中国社会》。第100页。

    确实,研究者们为中国当时的经济发展描绘了一幅繁荣昌盛的图景。十八世纪蓬勃发展的商业活动早在满洲征服前便已打下根基:中国的货币当时由银、铜两种金属构成,而两者的供应量均不断扩大,从而为持续扩展的国内贸易提供了丰富的养料,使之不再局限于中国的主要经济地区。国外贵金属的进口和国内贵金属生产的增加都造成了货币供应量的增长。白银和铜源源不断地从国外流人中国,以换取中国的丝绸、茶叶、瓷器以及外部世界所需的其他产品。交换过程变得更有效率,从而使得农民能够专职从事商品化的作物生产,并促使手工业得到迅速发展。政府则利用货币流通的加速来推行大规模的税制改革。①这种发展图景,早在十六世纪末便可以看到,而当整个国家从明朝的崩溃与满清的征服中恢复过来时,又在更大的规模上出现。随着白银的输入,物价缓慢而持续地上升。但一般来说,这对于经济发展是有利的:它不仅使农民在出售农产品时更有利可图,而且也增强了他们的纳税能力。在十八世纪的长期通胀过程中,投资者十分活跃。②这就是我们能够为这个充满活力却又闹闹烘烘的时代描绘的图景。那么,这一切究竟对人们的社会态度造成了怎样的影响?为了对1768年这场大危机的背景有更好的理解,对此进行探讨是至关重要的,而我们对这一点实在是知之太少了。我们的探讨将从长江下游地区开始,因为这里正是叫魂危机最初发生的地方。

    ①艾特韦尔的著作为人们理解晚明经济中白银货币所起的作用打开了通路。尤其请参见他所著《关于中国与日本“十七世纪危机”的一些观察》,载《亚洲研究杂志》,第45卷第2期(1986年),第224页;以及他的《关于白银,对外贸易以及晚明经济的笔记》,载《清史公报》,第3卷第8期(1977年),第5页。关于货币供应及其在十七世纪的影响,参见魏斐德《中国与十七世纪的危机》。载《帝制晚期的中国》,第7卷第1期(1986年),第1一26页。关于清代货币供应的一般情况,参见傅格尔:《清初中国的中央货币政策与云南的铜矿生产,1644-1800年》,哈佛大学东亚研究委员会;林满红:《货币与社会:十九世纪初中国的货币危机与政治经济意识形态》,哈佛大学1989年博士论文。②韩书瑞和罗斯基:(十八世纪中国社会),第222页。

    长江下游社会

    这个地区位于中国的东部与中部,通常被称为江南地区,是现在被我们称为长江下游的大地区的繁华核心。在分省地图上。这一核心区域包括江苏南部,安徽东部的一角,以及浙江北部。①人们常常以这个中国最发达的经济区域为背景,对十八世纪中国的商业扩展进行论述。中国最为繁荣的地区经济已在这里存在了七八百年;诸如商品化的农作物生产以及专门化的市场之类构成中国帝制晚期经济的特点,也在这里最清楚地表现出来。事实上,由于这个地区内各地的经济都达到了高度的专门化,以至于粮食产量过低,难以满足当地人口的需要。于是,江南的许多城镇成为大规模地区间谷物交易的集散地。进入十八世纪后,每年都有足够为三四百万人食用的稻米从长江中上游各省运往苏州、松江和太仓周围的各个商镇。②这些稻米最终将抵达遍布华东的各个缺粮地区。

    ①由施坚雅所提出的地区性体系的分析方法,是当代影响最大的方法上的尝试,其目的在于能够对中国经济作功能上的区分,同时将这种区分同政治行政体系联系起来。参见施坚雅:《十九世纪中国的地区性城市化》,载施坚雅与艾尔文编:《帝制晚期中国的城市》,斯坦福大学出版杜1977年版,第211~252页。②刘石吉:《明清时代江南市镇研究》,中国社会科学出版杜1988年版,第61页。

    据十八世纪初叶一个观察者称:福建之米,原不足以供福建之食,虽丰年多取资于江浙,亦犹江浙之米,原不足以供江浙之食,虽丰年必仰给于湖广。数十年来,大都湖广之米镇集于苏郡之枫轿,而枫挢之米,间有上海、乍浦以往福建。故岁虽频裢,而米价不腾。①在制造业方面,江南财富的基础是纺织业。长江下游生产的纺织品在全国均有市场。丝绸是领衔的出口产品,为生活日益奢华的官僚及学界与商界上层人士所穿用。这一规模宏大的工业是以数以百万计的农民家庭的手工劳动为基础的。江南社会已经高度商业化,其市场网络则与农民的家庭紧紧地联系在一起。说那里存在着“与世隔绝的”或“单个的”地方经济(这里指的是过去人们对于中国乡村的一些错误看法),简直是不可想象的。极而言之,乡村与市镇的结合,也意味着它受到了手工业的某种支配。在这个人口高度密集的地区,要使得依然不断增长的人口能够在一再缩小的耕地面积上生存下来,家庭的每个成员都不能闲着,而必须为市场生产一点什么东西。

    ①蔡世远认为,政府应当放开对于福建稻米出口的限制。令人遗憾的是,米价的稳定并未能持久。转引自刘石吉:《明清时代江南市镇研究),第63页。

    我们可以看到,早在十五世纪就有人对于纺织业的生活作过这样的记载:纺织不止乡落,虽城中亦然。里妇晨抱纱入市,易木棉以归,明旦复抱纱以出,无顷刻之间。织者率日成一匹,有通宵不寐者。田家收获,输官偿息外,不卒岁室庐已空,其衣食全赖此。②

    ②《正德华阳县志》,转引自刘石吉:《明清时代江南市镇研究》,第17页。

    中国帝制晚期这种乡村与市镇之间存在紧密联系的社会特点,不仅反映在已经高度商业化的江南,也在其他一些并没有那么发达的地区表现出来。①在这一时期的经济中,白银与铜钱之类的货币充溢,这不仅使得进出城市的人口流动成为可能,甚至还成为一种必要。事实上,每个农民家庭都在当地市场上从事交易,同时又通过当地市场与地区性乃至全国性的市场联系在一起。对处于前现代的中国工业来说,这意味着,即便没有大规模的城市化发展,人们仍能从事广泛的、高度理性化的生产活动。虽然,在像南京这样的地区性大都市里,确实有着不少大工场和大批城市劳工,但普遍存在于各地的,则是一种复杂精细的外包工制度,其基础则是由缺地农民的妻子儿女们所从事的手工劳动。他们可以居住在自己的村子里!,同时却直接参与大生产体系的运作。

    ①对于“标准的市场化社区”的经典描述,是以施坚雅在成都平原所作的实地考察为基础的。虽然其他地区的情况肯定会有所不同,但“市场化社区”作为一个概念已为关于较早时期的历史研究所证实。参见施坚骓:《乡村中国的市场与社会结构》(第一部分),载《亚洲研究杂志》。第24卷第1期(1964年)。第3~43页。

    劳动力的解撤

    十六世纪以来的商业发展是伴随着一个更为自由的劳动力市场的出现而来的。土地的租赁正朝着地主与佃户之间长期契约关系的方向变化。到十八世纪,永久租佃权已在一些地区出现(在一种双重产权制度下,不同的人可以分剐拥有田面与田底的产权)。明朝初年曾实行过一种世袭身份制度,数以百万计的人均需特别注册,并被迫在特定的行业中为政府工作。满清征服中国后不久,这种制度便被正式废除了。最重要的是,从十六世纪开始的税制改革,通过特地税与劳役税合并、统一以土地为基础收税,完全废除了平民百姓的强迫劳役义务,政府则转而通过雇佣劳力来获得劳役服务。确实,到了十八世纪,挣取工资的劳动力已成为商品化经济的一种既显而易见又必不可少的基础。

    这种形式上平等的精神,本已受到了经济的强大推动,又在清政府于十八世纪二十年代宣布实行“除贱为良”并推行百姓平等的一般性政策时进一步体现出来。我在上句话中强调“百姓平等“,这是因为十八世纪的中国仍然是一个等级差别极大的社会,高高在上的权贵们同其他人是相互脱离的。可是,通过这些法令而获自由身份的人数虽然很少,但由于其象征性的意义,却使得采取这一行动显得相当值得。很显然,“除贱为良”的目的在于通过废除平民中的“贱人”身份,使得“臣民”这一群体不因其中特殊下层社会集团的存在而显得杂乱无章。对于这些法令为什么会在十八世纪二十年代发布的确切原因,我们仍不很清楚。但从更一般性的角度来看,这肯定同满人对汉人上层地主的不信任有关(这些被解放的奴仆正是依赖这些上层地主为生的);同时,这样做既是对汉人长期以来划分社会等级的做法的一种嘲弄,也表达了征服者的某种“仁慈”,从而使得满清政权能够更好地高居于相对来说已无显著差异的芸芸众生之上。给予平民以形式上平等的做法。同清代第三位皇帝——弘历的父亲胤禛的专权行为与理性思维风格是一致的。“除贱为良”法令所使用的语言暗示,诸如山陕乐户或安徽伴当之类的奴役状态的存在,并没有历史上的特殊依据,因而,在宏大的清帝国面前,所有的平民本来便是平等的。在写到广东省被人视为卑贱的船民胥户时,胤禛宣布道:“胥户本属良民,无可轻贱屏弃之理。”

    新近的一本研究著作得出了这样的结论:“最重要的是”,当这些人获得自由身份后,“便可以利用扩大的劳工市场,并且随意改换雇主”

    在一个生活在二十世纪的西方人看来,不受约束的劳工市场,以及个人依赖他人程度和受奴役程度的下降,都是极富号召力的现象,并与“自由”与“进步”联系在一起。但它们对于一个生活于十八世纪的中国人的心态所发生的影响,却可能不尽相同。勿庸置疑,对于那些正为能在小块土地上生存下去而挣扎奋斗的家庭来说,它们亟需出卖多余劳力以使家人不受饥饿之苦,因而对此是欢迎的。对于无地的农民来说,这使他们有了在自由市场上通过被雇为农工而生存下去的希望。对于一部分既有能力又有运气的无家可归者来说,这甚至使得他们有可能摆脱卑贱地位,通过参加科举考试(这本来是不对“贱人”开门的)而获得上流人士的身份(1771年的一个法令对这种新贵的情况作出了规定,“以报告改业之人为始,下逮四代”,“方准报捐应试”)。然而,使人怀疑的是,那些奴仆们到底在多大程度上真正“获得了自由”?甚歪在半个世纪以后,徽州地区形同农奴的佃农要拥有这种由皇上所准给予的自由,仍然会遇到麻烦。

    一位历史学家指出,用金钱赎身的条款其实并没有什么意义,因为它大大超出了佃农们的能力,况且,不管在什么情况下,他们、一旦赎身也就失去了生计。

    可以肯定的是,存在于十八世纪经济“自由劳工”现象背后的是买方市场这一事实。在江南这个人口日益拥挤的地区,对工资劳工来说,“自由”意味着他们能够将自己的家庭同本书刚刚叙述过的江南地区棉布生产的体系挂起钩来;“自由”意味着他们可以离开某个压榨人的地主去寻找另外的雇用机会;大概,“自由”还意味着他们可以加入政府为完成各种工程而雇佣的劳-工大军,或可以在内河船埠以及外贸海运码头找到工作。但是,在这个经济成长的时代,又有多少人根本找不到买主来购买他们的劳力?这些人又该干些什么?

    民众意识中的盛世

    乾隆年闯的中国,经济确实是生气勃勃。然而,它对社会意识有着怎样的影响,却是一个实际上未经探讨的问鼯。社会传播就是一个例子。密集的商业网络在十八世纪的全景中占有重要地位,并几乎使每个人都同某一市场有着固定的关系。关于各种地区性与全国性事件的消息见闻,也沿着连接各个村庄与各个市镇的商路,随着商品和外出旅行者流传开去。那种在今天的中国作为对于由政府控制的新闻媒体的补充而显得特别重要的“小道消息”,在帝制晚期便已经有了发展。而且,有足够的证据表明,中国各地的“小道”即便在那个时代便已同地区性和全国性的信息网络联系在一起。关于别的地方存在着什么机会、或有着什么危险的消息,是当时中国村民(更不必说城里人了)的日常生活中须臾难离的。我们最难以判断的,是“盛世”在普通人的眼里究竟意味着什么。人们对于生活正向何种方向发生变化,是变好还是变坏,是变得更安全还是更不安全等同题的态度,同我们期待在经济发展时会发生的情况?可能大相径庭。从一个十八世纪中国普通老百姓的角度来看,商业的发展大概并不意味着他可以致富或他的生活会变得更加安全,反而意味着在一个充满竞争并十分拥挤的社会中,他的生存空间更小了。商业与制造业的发展使得处于巨大压力下的农村家庭能够生存下去,但要做到这一点,就必须最大限度地投入每个人的劳力。从历史的眼光来看,当时经济的生气勃勃给我们以深刻印象;但对生活于那个时代的大多数人来说,活生生的现实则是这种在难以预料的环境中为生存所作的挣扎奋斗。谈到十八世纪晚期的意识,又带出了两个更大的问题:第一,不管中圉的经济成长从绝对值来看给人以多么深刻的印象,它是否能够抵消中国人口的巨大增长?第二,存在于地区间的不平衡发展,又对人们关于自己生活安全的看法产生了怎样的影响?

    人口、物价与金钱

    1748年稻米价格的猛涨向全国性的官僚机构敲响了警钟,并立即对民间的秩序产生了令人担忧的影响。在苏州和长江下游其他一屿向来从上游进口稻米的城市发生了暴乱。然而,帝国各地的官员们对于米价上涨与人口压力之间的关系,并非一无所知。陕西巡抚陈宏谋写道,米价上涨的根源在于人口与土地之间比例的长期变动。“米价日增,原非一时顿长,实由生齿日繁。……各省沃土皆已开垦,山坡水滨,旷土尚多,但地气浅薄,种一年,需歇一二年。”一位有经验的官员汪辉祖曾就这些情况对他的家乡萧山(毗邻杭州,二十年后将成为叫魂大恐慌爆发的地方)所产生的影响作过评论:“忆十余岁时,米价斗九十,或一百文,间至一百二十六文,既讶其贵。乾隆十三年,价至一百六十文。草根树皮具尽。地中产土如粉,人掘之以资生,名日观音土,有食之死者。”

    这不是一个短期性的问题;稻米价格在十八世纪的整个下半叶持续上涨。然而,它对地方社会的冲击却显然困货币供应的增加而得到缓和。从十八世纪六十年代起,中国业主开始在安南开采银矿;同时,作为对中国货币的支付手段,墨西哥银币加速流入,扩大了白银的供应量。根据一个权威性的估计,在1752~1800年间,中国的白银供应量增加了大约二亿七千四百万墨西哥银元。然而,正如下表所示,白银流入的急剧增加发生在进入十八世纪六十年代以后:乾隆初年,白银供给的减少可能使得要在人口增长的压力面前维持生计变得更为困难。而白银供给从十八世纪六十年代开始的突出增长,以及在整个十八世纪八十年代的力量聚集,又使得当时的人口虽十分密集,却仍有可能出现繁荣。然而,由白银所带来的利益只是缓慢地渗入到地方社会中去。就长江下游而言,转折点看来出现于1780年左右。至少,对这个关键性的地区来说,与质量有关的证据显示,十八世纪为人称道的“盛世”的开始不可能大大地早于这一时间。使我们了解到肖山方面情况的汪辉祖写道:“十余年来,此(米价昂贵)为常,或斗二百钱,则以为贱矣……夏间,米一斗钱二百三四十文。往时米价至一百五六十文,即有饿殍。今米常贵,而人尚乐生。”对此应作何解释?汪辉祖认为,这是因为大约在1780年以后,通货膨胀已不仅仅局限于人们对之很敏感的稻米价格,而是扩展到了所有的商品上:过去,稻米价格虽高,其他商品的价格却不受影响,“今则鱼虾蔬菜无一不贵,故小贩村农俱可糊口”对这种转变的一种解释,便是货币供应总量的增加。当每个人手里都有更多钱时,商品出售者就可以对所自有种类的商品都开出更高的价格了。虽然证据尚不很多,但汪辉祖的记述为根据白银供应的数据作出推断提供了可信的地方性实例。要更全面地理解十八世纪的经济变化(尤其是人口增长和钱币的较易获得)怎样决定人们对周围社会环境的认识,必须要从事更多的研究。首先我们必须做到分期准确:是周围发生的哪些变化使得识到他们生话中的机会发生了变化?如果汪辉祖对于时间问题的感觉是对的,那么,我们在1780年以后所看到的便不过是一段短暂的幸事。“盛世”的真正繁荣从十八世纪八十年代延伸到了十九世纪的头五年(其时,世界性的白银短缺降低了国外购买中国货物的能力——而大约与此同时,鸦片的进“又导致了白银的灾难性外流,并造成了我们历来将之与近代的开端联系在一起的全国性的心理沮丧)①。如果情况正是这样的话,叫魂危机恰恰发生在十八世纪的最后二十五年货币供应的增长已开始缓解人口压力的前夕。在长江下游人口过于密集的地区,稻米的价格对普通平民百姓仍然是一个沉重的负担。而在1768年,外部世界还只是刚刚开始在为中国人口的巨大增长支付账单。

    ①虽然据彭信威的图表(参见第45页)所示,白银输入的负增长始于1821~1830)年间,但这一数字(来自东印度公司的记录)未将当时时正勃勃发展德鸦片走私包括在内,因此,白银的倒流也许在至少十年前便已开始了。

    不平衡发展

    如果说,就连高度发达的杭州地区在十八世纪八十年代前亦已经历了某种程度上的困难时期,那么,偏僻的山区又如何呢?人们无需远离已经商业化的中心地区,便可以看到赤贫、失业与秩序的混乱。距叫魂危机的发源地德清县大约一百三十里处,恰恰是在长江下游的核心苏杭地区的边缘,两个相互毗邻的政区代表着两种形成鲜明对照的情况。广德是安徽省的一个州,坐落于距太湖西岸大约百里处。②浙江安溪县是广德的东邻,有水道与大运河相连,丝绸工业极为发达,甚至使桑蚕的养殖扩展到了该县的山区各乡。然而,除了长江下游各山区县份所共有的人口流入现象以外,经济发展却绕过广德而去。1739年,李姓知县奏请皇上豁免当地的粮贡,以便将之用于补给当地的赈济粮仓。他写道:“窃照广德一州,僻处万山之中,与徽郡接壤,可耕之田无几,兼以水少潍汇,田皆瘠薄。而生长其地者,既无车牛服贾之人,又乏百工期口之术,所赖存活惟望岁耳。休养日久,生齿浩繁,岁丰一年之收,仅支一年之食。上年偶值偏灾,?粥不敷。”由于用于运输的道路失修,难以及时从别处购来粮食。如果官方从当地购粮以充实赈济粮仓,则会给当地人造成极大的困难。就在当年夏天,人们便曾因为洪水的威胁而陷入一片恐慌,并将谷物囤积储藏起来。李知县的结论是,在整个江南地区,没有哪个政区在为民觅食上遇到了这么大的困难。

    ②一个州可以被视为一个县级单位,尽管在行政体制中,它的地位要稍微高一些。

    此外,我们还知道,尽管官方一再禁止,广德溺杀女婴的比例仍然高得异乎寻常。这一长期遭受灾害的地区是否与别处有特别的不同?虽然这可能是一个特别糟糕的个案,但广德的生态环境却并非独一无二。层层叠叠的小山脉在北边构成了一道长达五百余里的屏障,处于丘陵地区的各县东北起自太湖附近,西南抵达江西省界。颇有意思的是,社会史家们通过来自位于这一地区西南角的徽州商人在全国范围内取得的成功,来说明清代的商业生活是何等生气勃勃。然而,徽州本地的经济,却与我们刚刚作过描绘的广德的情况非常相近:这里地处丘陵,土地贫癣,因沿海地区过于拥挤而离乡背井的无地农民来这里安身立命,这是一个相对来说尚未商业化的农业地区。在徽州,存在于那些长期定居此地、以务农为生的人们之间的关系,是建立在一种近于农奴制的体系之上的,这同平原地区自由发展的农庄经济形成了生动的对照。从整体上来说,由于受到将一直持续到下个世纪的移民浪潮的影响,这一地区的人口数目大大膨胀。①十九世纪五十年代,名士汪士铎曾作为难民生活于这一地区(徽州府绩溪县),他对当地的情况作过这些的描述:长期贫困,人口过多,基本商品缺乏。尽管女婴被溺杀的比例甚高,由于人们成婚的年龄极早(甚至达到了男子“三十即可为祖”的程度),人口增长仍在继续。他所记述的这个县份,出口茶叶、术材制品,偶尔还出口贵金属和铅。但这里的基本状况却是糟糕之极:“环县皆山,力农者层累而上,尺耕而寸刈之。旱则忧槁,雨则忧冲。虽终岁勤勤而衣牛马之衣,食犬颞之食。”④虽然绩溪是地区性市场的一一个组成部分——正是由于核心地区的商业化发展,才使得绩溪的少数出口商品有可能得到出售——但绩溪及其周围的地区却同苏州与杭州所处的那个世界形成了惊人的对照。当那些大都市受到困难时期的冲击时,绩溪一类的内地县份又会受到怎样的影响呢?

    ①1843年的一份报告提及,来自更为贫穷的浙江西南各府的流民,正大批涌入广德~徽州的丘睦地区,成为生荒地上的“棚民”。许多流入此地的人根本找不到工作,也许便如我们以下将要叙述的那样,构成了那一大群在十八世纪的广德四处游荡的乞丐暴民《大清会典事例)。第158卷第296页。

    在论述十八世纪的经济时,没有人能够抹煞存在于中心地区与边缘地区以及富庶的三角洲与贫瘠的山区之间的巨大差异。与经济地图上这一倾斜趋势同时而来的则是人口的持续流动:移民与过客,商人与江湖骗子,僧人与进香者,扒手与乞丐,拥塞在十八世纪的道路上。人们外出旅行,有的是为了雄心勃勃的事业,有的是基于献身精神,有的则是出于绝望与无奈。由旅行者汇集而成的人流,不能不对人们的意识发生影响。①向外部与下层的人口流动有关叫魂的怀疑都集中在流浪者身上,包括陌生人,没有根基的人,来历不明与目的不明的人,没有社会关系的人,以及不受控制的人。最有可能沦为暴民私刑和官府堂上刑罚受害者的,是和尚和乞丐。如果我们考虑到和尚其实也是一种乞丐,那就可以说,被怀疑从事叫魂的人都是乞丐。他们究竟从何而来?

    ①谷井俊仁在当时主人的笔记文章基础上,就十八世纪旅行者们拥塞于中国道途的情况描绘了一幅令人印象深刻的图画。他的主要观点是,剪人发辫者很容易地便可以四处走动,而官方要发现并抓住他们却难上加难。参见各井梭仁:《乾隆时期一桩影响广泛的犯罪事件及国家的对应——关于削辫案的社会史素描》,载《史林》,第70卷第6期(1987年44月),第33—72页。

    为什么他们会使人产生恐惧?

    人口增长与生态环境变化。十八世纪期间,中国的人口大约翻了一番,从1700年的一亿五千万左右增加到了1794年的三亿一千三百万左右。这一增长的前提,是中国发展出新的方式,或是开发出新的地区使得人们能生存下去。在这些方式中,包括从新世界引进的诸如玉米和甜薯一类的作物,从而使得山地也能为移居那里的人提供生计。这还包括大规模的国内人口流动,尤其是人口向着因征服时期的内战而人数锐减的四川地区迁徒。人口还移往处于长江与汉江流域的高地,移往满洲,移往很大程度上仍由土著居民居住的台湾,以及移往海外。在中国各地,人们都存向上或向外移动。曾经长满树木的山丘被开发成为勃勃发展的甜薯和玉米农场,直至山地因水土流失而变得不可耕种。十八世纪期间,可耕种土地到底有多大扩展,还难以计量。但有人认为,直到1800年这种扩展仍在全国范围内同人口增长保持着平衡。所有这一切,可以看作是人们意志与行为的成功,但同时也是生态环境的灾难——因为,中国山地的泥土都渐渐地被冲刷到江河中去了。

    我们应该把乾隆年间的商业看作是汲取不断增长的劳动力的蓄水池。它使得只有小块土地的家庭能通过出售家中妇女与孩童的手工作品而得以生存。但是,有足够的证据表明,无论是商业的扩建还是向外部的移民都不能使每个人都得到关照,总有一部分人会被完全排除在生产性经济之外。他们的出路,并不在于向外迁徒,而是向社会的下层移动,沦为乞丐之类的社会下层阶级。我们尚未掌握什么可靠的方法,能够对时值盛世而离乡背井的人数及其背景情况作出精确的判断。对当时人口进行登记。

    的种种措施,并没有将无家可归者包括在内。过了一个世纪后,在十九世纪的经济危机期间,不少观察家理所当然地看到了有很多人四处流浪。相形之下,十八世纪看上去就像是黄金时代。①然而,尽管对流浪人数的看法不同,早在十八世纪六十年代社会便意识到流浪者存在的情况仍然使我感到惊奇。这个问题之所以特别令人感兴趣,是因为,有着各种不同背景的流浪者——不管是僧道还是俗人——在妖术大恐慌中部成了被人怀疑的对象。②

    ①十九世纪中叶清朝的安徽巡抚王直回忆道,他曾从自己直隶家乡(保定府)的年长者那里听说,“往时,一乡一集,其游惰之业者,率不过百人,众皆非笑,无所容身。今(亦即十九世纪三十年代——孔飞力所加注)则数百家之聚,数十人不等,习以为常。”转转自彭泽盏:《鸦片战争后十年间银贵钱贱被动下中国经济与阶级关系》,载《历史研究》,1961年第6期第63页。这种情况,是由这一时期因白银短缺而引起的经侪危机所造成的。②在本书中,我使用“僧道”或“僧道的”这两十词,以避免使用“礼仪职事人员”这个表达方式(尽管我有时也会使用它)。在帝制晚期的中国,大多数礼仪职事人员同西方神职人员的区别在于,他们不从属于任何一个教会。他们也并不全都以从事礼仪活动作为一种“职业”或以此来排斥其他的各种追求。就那些从广义上被认为是“佛教徒”的人而言,其中有很多新参加者居于佛门内外之同,并不是完全的佛门弟子,而且除非他们接受正式的剃度,大概也永远不会成为真正的佛门弟于。大多数的“和尚”并不居住在规矩严密的正式的大寺庙中,而是住在地处普通杜区、或位于普通社区附近的小庙中。至于大体上遵循道教传统的“道士”们,他们的大多数既不以自己的全部时间从事这一活动,也不居住在任何一类道观中。许多“和尚”与“道士”只在自己村中三教九流兼容并蓄的庙宇中从事职事话动,而并不从属于专一的佛寺或道规。总之,比起另一些人来,一些僧人道士所过生活受到的控制要严密得多。在人数甚少、素养甚高的僧道上层人士与广大未受过多少训练的“和尚道士”之间,差别是巨大的。在官方文件中,常用“僧”、“尼”或“道”等词,来简称一大批形形色色、通过衣着、剃光了的头以及行为举止来表明自己从属于某种主要宗教的人们。对官员们来说,他们不得不作出这样的区分,而我们却不能对此仅从字面上来看待。在旧中国,“僧道”与“俗人”之间的差别远远没西方“僧侣”与“平民”之间的差别那么明显。

    下层道士僧人。当妖术危机达到高潮的时候,一个名叫李英的年迈道士因涉嫌剪人发辫而被直隶省当局逮捕。后来又被送往承德的夏官,交由军机处审理。①李英招供如下:我系定州人,②今年五十七岁,父母妻子已身故,一向在外佣工度日。于(乾隆)三十一年在房山县做工后,因贫乏难过,发愿出家,在黄莲洞跟道士傅月砍柴挑水。傅月因庙中穷苦,不肯留住。有石堂寺僧人广善,亦系定州人,修理庙宇,我遂往投他做工。后来,李英又从别人处听说了“立志修行,从不下山”的大道士王来水的名字。王来水的一个徒弟带他去见师傅,可是王来水“因粮米短少,亦不肯留住”他。十天后,在下山的路上,李英跌伤了腿。“遇民人韩俊发扶我至村中,养活数月。今年二月腿好了,才出来募化度日。七月初七日,至小井地方,遇总督大人经过,我去观看,即被拿获。”③处于社会边缘的下层和尚道士的人数到底有多少?四川省一位按察使曾指出,有越来越多的失业男女,未经削发,便以“带发修行”为名,“潜居庵观”。他们既非僧道又非俗人,在寺庙庵观中过着地下生活,“勾引为匪,花消寺产”。④我们可以将这种现象视为民众的一种虚伪的宗教虔诚,也可以把这些人看作难以为当时经济所吸纳的多余部分。不管是哪一种情况,在关注安全问题的官员们看来,这些人都是一种威胁。当然,当时并没有什么可靠的手段来统计他们的人数。

    ①《上谕档方本》,乾隆三十三年七月二十日(博恒)。②定州座落在人口稠密的华北平原,位于北京西南约三百余里处。③军机处的官员们将此案发还直隶,省当局对李英供词中提及的所有庙宇道观都进行了搜查,除找到了“佛道经典”外,并无发现药品、符咒或妖术指南之类的东西。在李英故事中提到的每个人均被逮捕,带往承德审讯。最后李英和其他人均被宣告无罪,释放回家。④《清实录》,第790卷第10页,乾隆三十二年闰日七月一十七日。

    最令人感到吃惊的是,尽管皇帝本人对于和尚道士深持怀疑,到十八世纪六十年代,清政府那套用来对他们进行登记的体制已经残破不堪。在一位经验丰富的省级官员高晋(曾任两江钦差总督)看来,政府中没有什么人在费心收集有关和尚道士的准确情报。高晋曾亲自检查过属下一些县的登记名册,发现误差甚大,不仅对僧道总人数未作统计,就连发放度牒的体制也已经停止运作。根据高晋的报告,因为无人认真执行有关僧人每收一个新徒弟(亦即每剃度一个人)都必须上报当局的规定,只有“十之二三”的僧人道士持有度牒。其结果令人吃惊,大批人冒充僧人道士,以至于“奸良莫辨”。这些人不仅“罔遵戒律,蔑弃清规”,而且“甚有异言邪术,煽惑愚民,干犯法纪,大为风俗人心之害”。①高晋的担忧,同反映在《大清会典》中的官方对于僧道人员的普遍成见是相当一致的。然而,十八世纪中叶的情况是不是使这种焦虑变得更加迫切了呢?高晋写道,“私行削发”(亦即未在寺庙中经过正式的剃度仪式)、“漏造人册”的流浪者如此众多,如果将他们统统圈起并强迫他们恢复世俗生活,就会使他们“失业无依”,造成极大的社会动荡。高晋指示其下属对没有登记在册的僧人道士进行彻底清查,列入名册。然而,他奏报皇帝,这样做还只是一种治标的措施。他提议,除奏报当年的人口及收成情况外,还应当恢复在年底向皇帝奏报当年在册僧道人员的做法,从而使控制他们的努力多少具有一种紧迫性。②在这个社会环境中,有着比以往任何时候都多的人(就像“道士”李英那样)因为生活无着而四处流浪。“僧道”生活显然正将他们中的很大一部分人吸引过来,去从事得到社会的认可(但未必得到官方批准)的乞讨活动。

    ①这里涉及到的一个问题是,处理这些报告的一般程序(报告由省政府转送礼部,而不是省里的官员奏报皇帝),给地方官员留下了所有这一切不过是走走过场的印象,具有讽刺意味的是,这种一般程序是1674年根据弘历的黄祖父的诏令而设立起来的。通过将皇帝这个因素从这一程序中取消(亦即皇帝不再过问这些情报),也就意味着整个体系已形同虚设。《朱批奏折》,第864卷第6号,乾隆三十年八月十三日。②弘历反对这一意见。他朱批道:“此亦治标而非正本澄源之论。”(然而,究竟什么是他的“正本澄源之论”,却不甚清楚。)更何况,此事“此时更不可行”(弘历显然是担心在反妖术运动正开始扎下根的时候,这会造成僧道人员中的混乱)。弘历决定:“俟事后再讲。”浙江省按察使曾日理也观察到当时只有少数僧道持有度牒,因而提出了一个相似的建议,要求所有的僧道人员必须持有路照《朱批奏折》,第864卷第12号,乾隆三十三年九月二日)。同高晋的一样,这一建议是来自省级官僚的一个典型的反应:比组织有力的侦缉来得更快、也更有利的,是通过通常的文案处理而把整个问题纳入常规。对于这种反应,本书第九章将作进一步的分析。

    在官僚们的心目中,不管是什么人,凡四处流浪的乞丐都是对于公共安全的一种威胁。那些居无定所、没有家室的人也是无法纳入控制的人。②当剪人发辫的危机达到高潮的时候,湖北布政使闵鹗元在一份奏折中写道,过去对僧道人员登记在册并

    ②今天,在官方对于行乞者的态度中,仍然充满着对于公共安全的关切以及道德上的说教。在此,我要感谢韩书瑞使我注意到了《中国日报》一篇题为《乞丐对杜会秩序构成威胁》的报道。根据这一报道,尽管乞丐人数有所下降,但据估计中国全国在1987年仍有67万名乞丐,比起1979年,下降了37%。根据《人民日报》的报道,这些乞丐“扰乱了社会秩序,因而应当引起社会的广泛注意在乞丐中。只有20%是因自然灾害或家庭变故的原因而以乞讨为生的。大多教人则把乞讨视为赚钱的捷径。还有人则或是为了逃学,或是为了逃避由父母包办的暗姻。还有人是被家庭抛弃的精神病人……1987年,广州市35%的乞丐是罪犯。”载1988年5月16日《中国日报》。

    加以控制的制度已不足以应付当前的情势。现在,成千上万的游方僧道(其中有些人同僧道只有极表面的关联)已成为煽动叛乱和从事法外活动的可悲温床,从而构成了一种新的威胁。通过法令而实施的控制,只是对那些定居一地并受当局管辖的僧道人员才有效力。而现在,数以千计的“游方僧道”却在法律不及之处流浪。他们“每托朝拜名山、访隶师友为词,暮北朝南,行踪莫测”。每当经过收留游方僧道的寺院,他们便以“挂褡”为名,居住下来。“其中奸盗诈伪之徒,依草附水,偕影藏身。”每年,各省奉命查缉的人犯数以千计,但能够捉拿归案的只占其中很小一部分。大多数被通缉的人犯都换上了僧道服装,销声匿迹,远遁外地。这就是为什么“至如妖言妖书等重大案件,每案必有外来奸僧邪道主持,煽惑良由”。因为这些人居无定所,要追寻他们的踪迹也就极为困难。

    闵鹗元对于下层僧道人员的看法,表明了这样一种意见:很多“僧人”和“道士”其实同僧道没有任何关系,而只是披着僧人道上的袍服来逃避法律的制裁。虽然在剪辫大恐慌中被捕的大多数僧人道士并没有经过正式程序入教,但他们中的很多人既非真正的僧道,又非假冒者,而是处于两者之间的新近削发者(对于他们的情况,我将在第五章中作进一步的探讨)。不管怎么说,他们更像是乞丐,而不是罪犯。他们中的有些人(如肖山的巨成和定州的李英)是全家经历悲剧后孤独的幸存者。然而,从官方的观点来看,任何人不受其控制的行动都带有某种危险性。冈鹗元建议,朝廷应作出新的规定,禁止僧道人员投靠本人没籍处以外的寺庙道观,也不准其外出时超出本人所属寺庙道观百里以外。如有触犯,则地方官员可以将其逮捕,“究明有无犯事脱逃图谋”。即便没有发现犯罪情节,也要根据《大清律例》中那条奇妙的、涵盖万事的“不应,重”(不遵守法规为重罪)条款,对其罚以重杖,并“勒令还俗”。所有的寺庙道观都必须将这些“云游僧道”驱逐回籍,并向官府具结保证本处不再收留这类人员(皇帝批注道:“此事可缓,知道了”)。①诸如此类的警告大大触动了皇帝本来就敏感的神经。弘历从来就对佛教僧人有着根深蒂周的怀疑(这同他对于佛教大事声张的赞助是很不一致的)。这并不仅仅是因为和尚及他们的行动使得当局难以对之加以管束。正如弘历本人在另一场合所表露的那样,他的这种态度还反映了儒教对于那些“甘心剃发为僧,并不顾父母妻子,则行踪可疑”的人们所持有的更一般性的鄙视。②在这方面,僧人的情况与受人歧视的太监相似——太监为了饭碗的缘故,而摒弃了生养后代这一最重要的尽孝的义务。

    ①然而,我并不知道闵鹗元的计划最终是否获得批准并得到了实行。②《清实录》,第813卷第15页,乾盛三十三年六月二十二日。

    如果说,闵鹗元关于四处流动的下层僧道人员的描述并不仅仅揭示了官方受到刺激的神经的话,那么,对其作为清中叶一种社会现象的重要性应如何看待?有人会推测,到十八世纪六十年代,人口的压力已开始侵蚀很多地区平民家庭的经济基础。热而,我们所掌握的关于下层阶级的资料是如此之少,以至于除了他们的赤贫状态以外,我们对于他们的社会背景全然没有系统性的了解。乞讨作为应付饥荒的一种手段,以及游方僧道作为乞丐的一类,当然都不是十八世纪六十年代才开始出现的现象。③然而,对于妖术的恐惧并不是因为卷入其中的人数多少,而是由于人们对此的想象而产生的。闵鹗元以官方的常用习语所表达的,正是因那些无根无基的人们不受控制的流动而产生的焦虑。在一般民众中,是否也存在着相似的焦虑?如果存在的话,那么它极可能是通过与妖术恐惧有关的种种习语而表达出来的。在一般民众中,可能正发生着这样的情况:也许,因为有更多四处流动的陌生人出没于自己的社区,人们对他们的恐惧才不断增加;也许,不管四处流动的人数有多少,人们对他们的看法始终在发生变化;也许,两种情况都存在,即便没有这一类的社会变化,如同我在第五章中将要解释的,在人口稠密的地区,人们对于陌生人的恐惧本来就是根深蒂固的。

    ③谷井俊仁引用了1721年孙家康游记中关于穷人出家以求生存的记述。

    平民乞丐。几乎所有写到乞丐的人在开始时都要列举他们的类型(瞎子,身体畸形的人,在市场上卖唱或卖艺的人,本地乞丐,以及随季节变化而来的外地乞丐,等等)。他们具有一些看上去相当普遍的特征(例如,只有乞丐才唱的曲调,或流落街头的乞丐常用的“职业性哀号”,等等)。现在已很清楚,到十八世纪六十年代,僧道人员中的很大一部分其实就是形形色色的乞丐。不管官方对此如何加以反对,以僧道的衣衫举止在外行乞,是人们所熟悉的,甚至还为民众所尊重。一位十八世纪的观察者指出,那些鄙视一般乞丐,连一个铜板都不会给他们的富人,却会把自己兜里的每个铜板都扔进乞僧的碗中。以便为来世积德。毫无疑问,一般乞丐的身上有着僧道人员所没有的某些特征。仅仅是他们的外表(例如,肮脏得令人生厌,头发板结,衣衫褴楼,等等)便与通常身着袍服的僧人形成了对照。即便如此,在大众的心目中,僧人与一般乞丐之间的区别并非一清二楚。北京人很久以来便习惯于将一般乞丐叫做“叫化子”,这种叫法便是来自于“募化”一词——指的是佛教僧人宗教性的募化乞讨活动。在种种为乞丐特有并通常扮演的角色中,和尚也许是最能为人所接受的一种。我们或许可以将这些角色看作是在十八世纪已经很好地建立起来的某种社会模板,每当时势变得艰难的时候,越来越多的人便能够将自己依附上去。这种模板仍然保有塑造改变人们行为的力量,这也许正反映了十八世纪状况的实质:那些被清代社会的经济压力挤压出来的人们,在社会符号的领域里,仍然能够找到可为人接受的通向生存之路。

    在后来的那个社会走向崩溃的时代,人们将会发现,在大众一贫如洗所产生的压力之下。这种模板也开始破裂了。

    从一个世纪或更久以后没有标明日期的那些资料来看(这些资料在民俗学家徐珂极有价值的关于清代逸闻及社会掌故的集子中可以看到)。乞丐在各地社会种种不同的生态环境中,已经有了自己的一席之地。有些人为县府服役担任递送令状的差使。有些人的角色随季节而变:从安徽北部来的行乞者每年冬天(亦即村里的农闲季节)都要在江浙两省边界上的小城镇集中,整个冬天都以乞讨为生,到春天再回家乡。这些人看来是普通的农民,他们无法在两季收成之间找到活计生存下去。那么,就理解十八世纪情况的需要而言,徐珂提供的信息又有多大的帮助呢(这些信息中的很大一部分肯定是来自十九世纪后期或更晚的时候)?尽管一个世纪后的经济状况更为恶化,人口过密以及社会解体的情况也更加严重,但当时人们对于下层僧道阶级发展的种种看法,至少能使我们不会放过十八世纪中叶流动人口实际增长的证据。

    有关清代外向性移民的讨论,很大程度上都集中于人们向人口密度相对来说不高的边远地区与海外的移动。由于这是一个地方官员所必须处理的问题,也由于国家有时会对此予以鼓励,这种外向性移民在帝国的档案文件中有着很完善的记载。然而,要对人口向下移动的情况——即对人们被迫抛弃固定职业而四处飘泊乞讨的情况一作出判断,就要困难得多。当行乞者变得失去秩序时,这个问题偶尔也会在文献资料中有所反映:在前文提及的广德山区中,到1767年,乾隆中期的“盛世”孕育了一帮“丐匪”,他们出没于这一地区,以武力强取豪夺,并以棍棒石块与捕役交锋。后来,当这些乞丐被抓到时,才发现,其中有十人先前曾因同样的案由在邻近的徽州与秀宁被捕过,但他们只是挨了一顿打,然后便被释放了。这一次,弘历下诏给他们以更为严厉的惩处。然而,他却完全没有提及广德经济上的问题。

    妖术、敌意与焦虑

    虽然上述信息具有启发意义,但我们并不能因此便断定,到了十八世纪六十年代,中国经济已将大量人口挤入一个不断扩大的下层阶级。然而,有更多的证据表明,人们的观念是起作用的:在妖术恐慌发生的前后,司法记录中出现了一些关于民众敌视乞丐的案子,颇能够引人联想。在一件案子里,一个姓黄的乞丐到一家姓黄的家门口乞讨(两人或属同宗,但并非五服之内)。黄家人要他以后再来。乞丐已是饥肠辘辘,便一面怒吼,一面试图挤进门去。黄家人使用粗木棍打他,把他打死了。在另一件案子里,当一群邻人正散坐着吃喝时,三个乞丐走来同他们搭话。他们得到了一小捧吃食,却大声抱怨说东西太少,并把讨饭碗捧碎了。这群邻人便攻打他们,结果,两人逃走,一人被打死。两个案子中的杀人者均判为绞监候(对于杀人罪一般都作此判决)。①如果有办法证明,这种导致杀人的敌意随着时间的推移而增长,那就可能说明,或者是下层阶级正越来越侵入社区生活,或者是人们对于赤贫者的责任感正不断削弱并变得更为模糊。②

    ①《刑科史书》,第2773卷,乾隆三十四年五月三日和四日。第一件案子发生于广西,第二件发圭于山西。②这一研究将需要对保存在北京第一历史档案馆的刑部编年记录《刑科史书》进行大规模的纵向分析。只通过较少的研究便已证明,美国社会对于乞丐的敌意正在上升。考虑一下这十1988年发生于纽约市的故事:“在过去一年里,街头行乞者的数目增加了好几倍,其行乞方法也越来越变得咄咄逼人、甚至吓人。”一个纽人承认,乞丐们“为我杀人的想像力提供了新的目标”。甚至连那些习惯上对乞丐不予理会的没有同情心的城里人,也在“付出某种心理上的代价……内心发生着一场小型争斗,有时并外露而成为愤怒。”

    我们能否以种种社会的或经济的焦虑为理由,来解释人们对于妖术的恐惧?有人曾作过这方面的尝试,但我对之并不感到满意。不管事实本身多么清楚(对于妖术的恐惧,社会中的紧张,等等),但关于它们之间的联系,一般来说却是既不能证明,也不能否定的。我当然会乐于宣称,十八世纪的中国人之所以害怕妖术,是因为他们感到自己的生活受到了周围种种看不见的趋势的威胁(也许是人口的过度增长,或者是担心市场力量上下浮动的影响力会“偷走”他们的生计)。然而,这样的说法尽管迷人,却永远无法得到证明。但清楚的是,一些晦暗不明的观念会伴随盛世应运而生:它们也许并不涉及经济发展对于生存的无形威胁,但却可以肯定,它们把四处游荡的陌生人视为危险。随着叫魂故事的逐步展开,我们将会看到,某些人对于妖术的恐惧很明显地是与他们的社会经历有联系的。与此同时,我们也必须对国家政治领域中种种有关十八世纪生活的晦暗不明的观念进行探讨。

    第三章 或现或隐的威胁

    当画师为他画像时,人到中年的弘历笑得并不由衷——在我看来,甚至还显得有点勉强。也许,这略带凄凉的微笑中含有这样的认识:一宗伟大的事业,往往会因为那些为之服务的人们本身的卑下而变得不再伟大;一个伟大的人,往往难以抗衡多数人的卑下;乐到极点,往往会转而生悲。

    如果说,历史上曾有过哪位君主为登基作过细致入微的准备,弘历便是一人。当弘历还是幼童之时,他的皇祖父玄烨便因为他的沉稳勇气和聪慧才智而对他恩宠有加。他的父亲胤禛在于1723年继承皇位后,便立即将他立为皇储——?本人刚刚经历并赢得了一场异常残酷的皇位之争,他不希望这样的事在自己身后再度发生。

    确实,胤禛继位时面临的局面是严酷的:皇子们争权夺利,他们随从之间的派系斗争,使得帝国的政治运作陷于一片混乱之中。为了自身地位的安全,胤禛剥夺了许多满洲王亲贵族的兵权,并通过严肃纲纪而使官僚体制得以摆脱派系斗争之累。

    从加强安全及巩固帝国中央集权的考虑出发,他创立了一个新的高层咨询机构——军机处,通过它来控制帝国的秘密通讯体系。为了使地方政府的财政合理化并进而减少腐败,他以一种公开征税的新制度取代了非正式的加额征税。胤禛矢志不移地使事物趋于合理化,并颇具匠心地建立起了一套新的机制。当二十五岁的弘历于1735年10月继承大统时,胤禛将自己的所有成就都留给了儿子。同父亲继位的过程相比较,弘历的帝国简直是放在一个托盘上奉送给他的。①即位之初,弘历将自己的年号定为“乾隆”。帝国的一份诏喻曾经解释道(但并非提供正式的文字诠释):新继位的君主从上天(“乾”)得到了不可胜数的支持(“隆”),他将以自己的全副身心(乾惕)使得父皇留下的“丰功盛德”得以进一步发扬光大。但事实上,在弘历在位的几十年间,胤禛留下的遗产却渐渐地被耗损殆尽了。若说弘历没有尽心尽力,那对他是不公平的。这是由这一时代的种种特殊问题所造成的。胤禛面临的是对于自身安全的直接挑战,而弘历所要面对的挑战却要微妙得多。尽管他不必再同一个时时觊觎皇权的贵族阶层相抗衡,但却每天都要同一个很懂得以无声的方法保护自己、维护自身利益的官僚体制打交道。这一时期,从表面上看征服者与被征服者已能和睦相处,由于皇帝本人对于中国文化的炫耀卖弄,亦由于他对于书画的爱好,这一点显得更为突出。满族上层人士已学会了对中国精英文化的因应之道,而汉族上层人士则默认了满人的霸权地位。然而,文化差异的这种缩小是必须付出代价的,弘历有时甚至怀疑,他的满族同胞现在有能力对至高无上的皇权所提供的只是某种微不足道的支持了。满洲威权正缓慢而平静地消退。这是一种不能不予以正视,但同时却又难以有效应对的威胁。更何况,在政治的表象背后,还有着商业的勃勃发展与人口的繁衍增长这些造成伟大历史性变化的杠杆在起作用。

    ①例如,在财政事务方面,曾小萍(MadeleineZelin)在她关于胤禛推动各省时财政合理化的研究中指出,诸如通货膨胀之类的新因素给地方政府带来了新问题,而这是征收附加税的新税制所无法解央的。

    关于弘历生平的各种资料可谓汗牛充栋,可能最终亦无人有能力为他作传。要透过他的许多代笔人而真正认识他本人,就必须阅读皇帝审阅奏折时用朱笔写下的评论、诏谕和各种随心所欲的批语(它们都保存在清官档案里),除此之外别无他路。要做到这一点,当然必须以事件为背景。如果与叫魂危机有关的种种事件能对弘历传记的写作有所帮助,那就必须在可能的情况下,通过弘历自己经手的各种文件来揭示他对于在他看来特别棘手的某竖问题是如何作出反应的。在这些问题中,有两个至关重要,那就是:谋反与汉化。

    关于谋反罪的看法

    自十三世纪以后,中国所有的王朝都是在征服的基础上建立起来的:既没有官廷政变,也没有禁军的反戈,有的是大规模的征战。所有这些用征服方式建立起来的政权,就其本质而言,都是通过军事手段而强加到全国老百姓头上的。但对于清王朝来说,如同走在它前头的十三世纪的蒙古人一样,征服者的异质文化使问题变得更为复杂了。不管征服者使用多么巧妙的语言为王朝更替辩解(通常的说法是,这是一个充满活力的政权尊从天命而取代了一个腐败的政权),却无法消除这种危险性:可怕的种族感情始终会对构成新王朝统治合法性基础的种族意象提出挑战。人们会宣称,既然这些新统治者是外来人,他们也就是篡权者。正是这种可能性的存在,使得清统治者始终保持着对于谋反的警惕。然而,随着时间的推移,大清皇帝对于谋反问题的看法也在发生变化。

    到了弘历当政的时候,满清大一统帝国为自身存在所作的装点与辩解看来已大体完成。到了此时,战胜者与战败者之间的关系已没有什么新奇特别之处;对于谋反行径,也已经可以用通常的说法来予以解释了:在这一对抗关系中,一方是因具有儒家德行而赢得了上天佑护的合法王朝,另一方则是一群无孔不入、堕落败环的阴谋分子。可是,在这一表象的背后,旧有的种族敌对情绪是否还存在于深层?这是一个我们永远也无法作出明确判断的问题。当发式这一尖锐的种族问题因发生于1768年的种种事件又重新突出起来时,要理解这些事件,我们便不能不对征服初年的气氛稍加探讨。这是因为,那时发生问题还是非常突出的。发生于清初的那些令人毛骨悚然的剃发事件也许能揭示,在弘历的微笑里可以包含着多么阴暗的含义。

    对于征服年代的回顾

    1645年,当长江流域各地的战鼓还变相呼应之时,刚刚即位的满清皇室已在为建立胜利者和战败者之间的连接纽带而进行准备。

    皇帝福临只有九岁,年纪尚幼,完全由他的叔父多尔衮主事。虽然多尔衮颇懂得如何赢得汉人的支持,但在一个问题上他却绝不作任何妥脚:满族文化的一个简明而一目了然的特征,将成为汉人无条件臣服的标志,那就是,他们必须剃光前额并在后面蓄辫。①削发令。甚至在满洲军队入关前,投降满人的汉人便以采纳满人发式表明臣服之意。有关征服的历史记载一般都强调,剃光前额是臣服的不可或缺的象征。从进入北京之日(1645年6月5日)起,多尔衮就下了明确的决心,要对每个人都强制施行满洲式的削发。在征服南方的过程中,发式问题成为汉人在对满人的绝望抵抗中得以团结起来的一个焦点,并使得满人对于南方的征服比之没有这个问题不知要血腥多少倍。可是,在征服北京后的第一年里,多尔衮甚至对于是否要在宫中推行削发也发生过动摇。但最后,他还是通过由政府机构正式下令的形式发布了削发的要求。

    ①满族男子究竟自何时开始采纳其特有的前额削发、后面留辫发式,尚不得而知。推想起来,这是一个需在马背上作战的民族为方便起见而采用的发式,以便在射击时不致让前面的头发挡住视线。

    削发令的起因在于,当朝中官员们征引已亡明朝的“礼乐制度”(祭天仪式)对满人发式提出讥讽反对时,多尔衮被激怒了。

    尽管明朝的制度将成为满人征服中国后重建帝国政府机制的基础,多尔衮却决不愿意在有关满人风俗的问题上被人嗤笑。他指出,这种说法“甚属不伦,率朝何当无礼乐制度?今不尊本朝制度,必欲从明朝制度,是诚何心?”当问题涉及到剃光前额时,多尔衮承认,因为人的发肤受之父母,不敢予以损伤,儒生们的反对多少还有点道理。但他又强调说:“若谆谆言礼乐制度,此不通之说。予一向怜爱群臣,听其自便,不愿剃头者不强;今既纷纷如此说,便该传旨,叫官民尽皆剃头。”

    1645年7月8日,削发令送达礼部(该部管理的事务包括有为所有重要典礼仪式制定服式),但却披上了儒家语言的外衣。文中说,天下既已大定,因而也是普及削发之制的时候了。既然“君犹父也,民犹子也”,则“父子一体,岂可异违”。如果君民的生活方式不予以统一,则他们最终可能会趋于“二心”。如果这样的话(现在,又回到了这一明喻的政治方面),他们不就几乎成了“异国之人”了吗?此事本来是不需由皇帝本人提出,而是应由其他人自然而然便想到的。现在,自法令在北京颂布的十日之内(或法令颁布后抵达某一省份的十日之内),所有人都必须遵照执行。不服从者将“视同逆命之寇”。官员人等若为那些主张“仍存明制,不随本朝制度件的人说项,亦将格杀勿论。

    在衣冠问题上,多尔衮采取的是一种不那么具有强制性,也较为宽松的态度;但他同时表明,即便在这个问题上,最后仍将颁定统一的政策。可以肯定,使用上述语言的用意在于将剃发问题。与处理谋叛的法律常用语对应起来。在《大清律例》中,“谋叛”归在“十恶”条款之下,列为第三项。而对这个范围广泛的罪项所作出的唯一澄清是:这指的是“谋背本国,潜从他国”。对于“叛徒”的处罚,则开列于《大清律侧》的惩罚部分:所有参与阴谋者,不论主从,均一律斩首。罪犯的妻妾儿女则发配给有功官员之家为奴,其父母、兄弟和祖父母则流放二千里外。尤其令人惊奇的是,削发令本身并未作为单独的条款或于目出现在《大清律例》或《大清会典》的任何一个版本中。也许,对于新政权的统治者们来说,不管他们推行这一法令的态度多幺坚定,却仍希望把它留在正式成文的法律文本之外。对削发令的实行,或者将不涉及《大清律例》和《大清会典》,或者将以《大清律例》中关于谋叛的一般条款为依据——这些条款的绝大部分都是从以前各朝的律例中继承下来的,因而也具有更为深厚的合法性。

    在满清征服中国的年代里,各地以抵制削发令为中心意象出现了许多可歌可泣的抵抗运动。在很多地方社区,要让人们团结起来,与其呼吁他们去效忠已经濒临灭亡的明朝政治秩序,毋宁召唤他们以抵制剃光前额来表现出捍卫自身文化尊严的决心。发生于长江流域的那些闻名天下的抵抗事件,显示了在公众心目中削发问题与人的自尊之间存在着强有力的联系。我们同样可以看到,这个文化的焦着点对于满洲人侵者也有着重要意义,促使他们在武力的使用上直指抵抗运动最顽固的中心。

    这样一来,削发令又成了一项极为精明的行动:与其让那种不温不火对待新政权的消极态度得到滋养生长,毋宁让这种抵抗一下子爆发出来而迅速予以荡平。

    可是,挑战削发令的个案在已被征服的省份不断被查获,对此又应当如何看待?满人征服者在处置各地蓄发者时表现出的狂热与残忍表明,他们相信,若稍稍放松对削发令的执行,便可能酿成民众的抵抗运动。削发令因而便成了衡量官员们对于为新政权服务热衷到何种程度的一把尺子。在下面的这些案子里,几个单独个人纯因偶然因素而被发现有偏离法令的行为。

    这些案子表明,满人征服者不但极注意要在普通臣民中统一发式,也下了很大决心促使官员们顺从地为新政权服务。从这些事件中,可以让人感觉到清朝初年因削发令而产生的那种肃杀血腥的气氛。时至1768年,难道满人因汉人违反削发令而绷紧的神经就会完全松弛下来了吗?在一般民众中——按照“种族记忆”理论设想——每当到了要剃头的时候,父辈也许偶尔仍会向儿辈提及当年这件事曾有过的灭族危险?

    儒生的方巾。时届1647年3月上旬,距满族征服者大规模入侵华北、占领北京已有三年。即便已是残冬,遥远的西北仍然干燥明冷。汉军旗人出身的甘肃巡抚张尚刚刚接获北京要他外出巡视的敕谕。3月4日,他到达了位于长城内的边城永昌城外。县学的所有生员都跪在尘土飞扬的道路两旁迎候他。张巡抚骑在马背上,颇为满意地注意到每个学子都戴着满族风格的暖帽。然而,正如他后来所奏报的那样:中有一人,臣默窥其蓄发。及至公署,随唤通学进试,亲自去帽验看。本生吕可兴,果然全发未剃。张尚大怒,命令地方官员对此进行调杳。他们报告说,根据张尚的命令,关于削发令的告示曾在这一地区广泛张贴,因而这个不幸被捉住的武生员吕可兴虽来自农村,却实在是没有什么借口可寻的。张尚将吕系狱,并上奏皇帝,要求将他“立刻枭首,已彰国法”。皇帝下诏日(可以设想,这是由严厉的多尔衮代笔的):吕可兴即就彼正法。这不剃头的该管,地方官并家长、乡约地保、邻佑,应得罪名,又有成例,如何不遵?着察奏再通行申饬该部知道。钦此。

    结果,吕可兴未经剃发的头颅被砍下,公开示众。吕氏家长与当地保头及邻居亦受到廷杖的惩处。当地知县则被罚了三个月的薪俸。

    市场上的骚动。同年晚些时候,在离湖北省省会武昌不远的华中商镇余镇,发生了一场小小的风波。一个名叫郭尚贤的农夫来到了镇上卖鸡,因区区小事而肝火中烧,与人发生了口角。有人召来了兵丁,对郭来说很不巧的是,兵丁发现他前额的头发已有寸把长了,便把他抓了起来。兵丁又在他身上找到了一张有某个姓尹的人签过字的纸条,而当地一个已经死去的盗贼正好也姓尹。郭农夫因被疑为贼党而带到了县衙门。在那里,事情很快就搞清楚了,纸条原来是郭农夫的尹姓地主所写,并没有什么特别的意义。审理此秦的是汉阳府通判、代知县章文登,他显然没有把郭农夫蓄留头发当作什么大事,因而把他释放了。可是,郭不久又因头发的事再次被镇上的差官逮捕,并卫被送到了县衙门。这一次,章文登为他剃了头,然后又像上次那样释放了他。然而,那个差官也许是为了谋求升迁,不肯让事情就此平息下去。他直接向省里告了一状,不仅针对主犯郭农夫,还将矛头指向了章通判,说他“包庇叛逆”。

    省里的按察使重新把郭抓了起来,并把他及镇上的差官和章通判带到一起当面对质。结果,按察使发现这个案子确实是判得过于宽大了。不仅郭农夫和章通判,就连尹姓地主和郭的邻居们,也都统统应该受到惩罚。然而,他又认为,应当把有意蓄发的行为(就像长江下游一些城市蓄意抗命的义兵们的所作所为)同无意中忽略及时剃头区分开来。他提议,对郭农夫应在责打后予以开释。

    这一温和的判决被潮广钦差巡抚所推翻。在签署意见时,巡抚指出,削发令早已经三令五申。郭农夫只是一个无知的乡巴佬,但他的作为却使自己一再甚同一罪名被捕。为什么没有把他当作一个惩一瞢百的例子呢?他只是在事情败露之后才被迫剃了头,显然是故意再犯。至于章通判,他未能控制住一个蓄意反抗的臣民的行为,这已是不可原谅的了;更有甚者,当此人被捕后,章通判先是对此案姑息因循,而后又纵容他“将发顿削”,从而销毁了他头发长短的证据。皇帝批准了更为严厉的处置决定:郭农夫予以斩首,章通判予以革职。结果,巡抚又奏报道,韩农夫已在狱中因病死亡,此为“天刑……信王法之丝毫不爽也”。

    满清征服中国的最初几年是危险的。这不仅仅对那些献身成仁的烈士们来说是如此,任何人——不管是出于懒惰还是因为无知——只要未能达到新政权对于发式具有象征意义的规定,便都会受到制裁。这些人并不是效忠明朝的激进分子在大多数情况下。他们是因为某个偶然机会而被逮住的个人。而每当有一个“逆叛之徒”被正法时,至少也会有一个官员相应地受到纪律制裁。压力便由此而产生了。在这片已被征服的土地上,即便是在最为偏远的角落,对于政治犯罪的容忍也可能意味着某人为官生涯的终结。这样的做法,不仅使得汉人百姓,也使得主管他们的汉人官员,都必须要对不彻底执行削发令的行为承担责任。削发令本身由此成了满清皇帝用来测试臣民的一块试金石。

    头发,羞耻与归顺。在早期的削发案件中,蓄留辫子本身从未成为满人强制施行的目标。这似乎是由满人与汉人两方面的态度所决定的。削发令一旦公布后,征服者便立即将注意力集中到剃光前额的问题上,而忠于前朝的汉人对这一点的抵抗也最为顽固。个中原因,显然是由于前额削发比之背后蓄辫包含着更大的耻辱。当时人也许曾由削发而联想到阉割——这上面并没有直接的证据——因为在旧体制下,男子的人格(也是男子社会上层人士的地位)是以精心蓄留的长发为象征的。具有讽刺意味的是,那些在满族勇士看来意味着阳刚之气的东西,在汉人的跟里却是娇弱妇道的象征。更有可能的是,如果艾德蒙·李奇关于头发礼仪性意义的说法是对的,满人的削发便是一种自制战胜放纵的象征。①

    ①李奇认为:“从礼仪上来说,长发表示不受限材的性征;短发、或部分剃发,或紧紧扎住的头发表示受到限制的性征;完全剃光的头表示独身生活。”李奇为使这个观点更为合理,征引了十七世纪英国在过个问题上的精神病专家查尔斯·伯格的看法。骑士们蓄长发,性征突出,缺乏自我约束;而圆颅党人却留短发,性征受到限制,并有严格的自我行为约束。霍尔帕克反对李奇将短发与性抑制联系起来的看法,但他自己的假设对头发与社会纪律关系的说法提供了有力的支持:“剪发表示社会控制(在象征的意义上同社会控制有联系)。

    还有一种在当时即为儒生们所接受的更为稳妥的解释是,损伤受之于父母的发肤是一种亵渎。关于汉人抵抗前额剃发行为的另一个解释,则在于剃发在历史上同耻辱和惩罚的联系。例如,在公元前三世纪的一部刑典中,便将枷发(包括剃去头发与胡子)同纹面、残肢并列一起,作为对于奴仆与已定罪犯人的羞辱。剃发的这种涵义很可能贯穿中国整个帝制时期而一直存在下来。在清代,让已定罪犯人遵守剃发规定的问题也受到了关注。典狱长必须让所有待决人犯在秋决前保持剃光前额。对那些被流放的人犯,则每个季度都会对他们进行一次检查,以确保他们剃光自己的前额(但辫子问题却从未提及)。于是,汉人对于前额剃发的恐惧正好把满人对于削发令的强制推行集中到这一点上来;而从象征的意义上来说,蓄辫成了一个并不那么引起满人关注的问题。然而,当某人已经留起局所要求的发式以后,除非割去他的辫子,便难以通过他的发式对当局提出突然并具有象征性意义的挑战(因为前额头发的生长是需要时间的)。很显然,要迫使别人因发式而卷入具有象征性意义的抗命,最容易的办法便是割去他的辫子。①再则,当某个人并非出于自愿而被别人割去辫子时,他的心中又会作何感想?由于别人的行动,他的全家却陷入了被政府满门抄斩的危险境地!当我们试图对1768年人们为什么对割辫的妖党术士怀有那么大的恐惧作出解释时,不能排斥这种焦虑所起的作用。

    ①有过这样的事:反清志士强行割断遵从满请法令的农民的发辫。

    然而,迄至妖术大恐慌爆发之时,作为削发令要求之一的蓄留辫子,其实一直远不如剃光前额那么重要。②弘历面对谋叛弘历的盛世,看上去离那些血腥的日子已相去甚远。如果剪人发辫确实是一种谋叛的行为,亦即是对满人统治地位的一种象征性的反抗,那么,这是一件无论是北京或省里的官员们都不愿公开与之发生对抗的事情。那些种族间充满仇恨的日子不是已经为一个平静和谐的大一统帝国所取代了吗?与这种情绪相适应,在叫魂危机发生的头六个星期里,弘历在与各省官员的秘密通信来往中没有一处提到剃发这件事。他所一再提及的只是妖术问题。在这个大一统帝国,这是一个不管由谁担任统治者都会遏到的古老问题。然而,剃发问题决不会长久地被埋没。

    ②近代一个与满洲剃发要求相近的事件是1949年共产党人在全国范围内对人们的服式所作的改变。“中山装”(西方人误称为“毛装”)与俄国式的劳动帽明白无误地提醒人们:被征服者必须以遵从征服者的风格来表明自己的服从。

    到一定的时候,皇帝的另一副面孔也会展现出来:在对其外来异己性质的象征性挑战面前,这个外来人的政权从来便是极为敏感的。

    满清统治者所使用的语言,既表现了大一统帝国宽广的普世主义,又反映了他们作为少数种族狭隘的防卫心理。身为一个统治着庞大帝国的少数种族,满清朝廷必须两者兼备——既必须从普世主义的角度,又必须从种族的角度来表现出自己高人一等的优越性。要解决满清政权所面临的基本问题,两者都是必不可少的。他们既需要以具有合法性的皇族身份来统治这个大帝国,同时也需要维护征服者精英层本身的凝聚力与活力。作为大一统帝国的统治者,他们权力的基础并不在于自己的种族特性,而在于德行与文化上为人普遍接受的规范。但是,要作为一个握有权力的少数种族而生存下去,他们自己的种族特性不仅需要得到保护,还需要受到颂扬。弘历相信,正是由于满人可贵的种族传统,他们其实能比汉人更好地统治中国,也特别有资格将儒家的道德箴言融人帝国的统治之中。满清朝廷因而需要两个展现言辞的舞台,一个用于表现政权的普遍性,另一个则用于捍卫政权的种族特性。然而,谋叛的行为却使满清朝廷面临微妙的选择。谋叛者对于满清王朝提出的挑战往往会突出种族问趣,强调因为满人是外来人,他们的统治也就是不合法的。因此,谋叛的案子并没有为颂扬满人特性提供一个特别有利的舞台。

    弘历的风格,是尚武的满人种族特性与普世主义文化的一种不太和谐的混合物。他希望将满族特性变为帝国机制的一个有机组成部分。君权既要成为满人文化完整性的保护者,又要成为多种族霸权的一种象征,其正当性则应通过普遍性的儒家言辞得到证明。作为满族德行的捍卫者,弘历采用的方法有二:第一,他要在种族问题的真正细节或只具有象征意义的小处均让汉族文人感到惊恐不安;第二,他要通过向自己的满族同胞宣讲本族尚武的传统和优越的品质,来激励起他们的种族意识。

    可是,一旦涉及到真正的谋叛阴谋事件时,再提及种族问题便不但危险,甚至还带有刺激性。弘历处理乾隆十六、十七年间两个严重谋反事件时的态度便生动地表明,当他真的相信满清皇朝面临危险时,他会多么小心翼翼地对具有种族象征意义的问题——尤其是对极为棘手的削发问题——保持沉默。

    伪稿案。当弘历年届四十,已是一个在位十六年的老练君主的时候,他遇到了一场危机,其根源十分复杂,以至于我们至今仍不能完全理解。1748年春天,他所钟爱的孝贤皇后去世了。同年,传来了征服四川金川土司之役用兵失利的消息,从而揭示了满清军事机制存在着无可质疑的弱点(弘历极为震怒,下令将两名最高级的官员斩首)。然后,在1751年,他像自己的皇祖父那样,以炫耀宏大的皇家仪态首次出发南巡。悲哀、沮丧、加上华丽浮夸,为他统治中的这个关节点带来了一种充满火药味的特殊气氛。应在这前后,弘历遭遇了他治下第一场煽动叛乱的严重危机。

    这一危机包括两个不祥的事件,一个与上层文人有关,另一个牵涉到的则是普通百姓。但这两个事件在时间上可疑地接近。所谓“伪稿案”和马朝柱起义的相像之处,只在于这两个案子最终均未破获。然而,它们明显地向朝廷敲响了警钟,因而会使人设想,当这两个事件发生时,中国的社会与政治一定极不稳定,绝不可能处在历史上最为成功与繁荣的政权统治的中期。虽然没有任何证据表明这两个事件之间存有联系,但在弘历的心目中,两者却肯定是被连到了一起的。这两个事件结合在一起,动摇了弘历关于“外人统治”问题已得到了一劳永逸的解决的信心。在处理这两个事件中的任何一个时,弘历即便在秘密通信中也不敢无所顾忌地提及其中所涉及的种族问题。

    那是在1751年8月,一份奇怪的文件引起了贵州一位地方驿传官员的注意。这是一份据称由时任工部尚书的高级官员孙嘉淦(1683年生,1753年卒)所拟奏折的抄件。在其官僚生涯的早期,孙嘉淦即以敢于向弘历的父亲胤禛提出直谏(而胤禛则不落俗套地对之予以褒奖)并对官吏的不法行为提出尖刻的批评而闻名于世。云贵总督将这份在贵州发现的“奏折”上送北京。根据他的一份秘密报告,这份“奏折”中充满了“诬谤”与“虚捏”之语;在其末尾,甚至还有皇帝赞同的御批(而这是完全不合情理的)。在此后的几个星期里,皇帝又接到了来自大清帝国相距甚远的不同地方的许多报告,在那里出现了其他的抄件。到年底,搜寻“伪稿”始作俑者的大网巳在全国张开。数以千计的人被捕入狱。令人吃惊的是,近在京师的学衙,远至西南边疆,伪稿抄件均有发现。因拥有或转抄伪稿而受到指控的人,则从高级的省级官员到商人、僧道、绅士无所不包,甚至还有旗人。逼供产生了许多虚假的线索,但最后,江西巡抚于1753年1月宣布将一个名叫卢鲁生的千总逮捕归案。不久,军机处的一个审议庭便宣布他即是该案正犯,在卢被凌迟处死后,弘历便宣布此案已经结案。然而,漏洞百出的证据以及“正犯”的匆匆就刑,使这个案件的“解决”充满疑点。可是,伪“奏稿”的实质内容及其广泛传播,却为我们理解弘历在谋叛问题上的困惑提供了线索。到那个时候,虽然连“街上的脚夫”都知道伪稿中写的是些什么了,它的抄件却未能保存下来。弘历对所有被发现的抄件进行了彻底的焚毁,甚至连军机处的档案中都没有一份抄件留档存底。对弘历来说,伪稿的内容一定是太羞辱而太难以容忍了。其他有关的证据表明,这份“奏稿”列举了“五不解十大过”,对弘历本人及与他接近的官员们进行了严厉的个人攻击。

    它似乎也间接提及了因弘历的首次南进而带给各地的沉重财政负担。它可能还抨击了弘历对几位高级官员,特别是对汉军旗人出身的将领张广泗的严厉处置——1749年,张因为在征伐金川之役中“处置乖张”而与另一大臣纳亲同被斩首。最后,马朝柱一案(对此我在下面还要讨论)的证据表明,它甚至还对满清皇朝的合法性提出了非难。可以肯定,弘历在追寻伪稿始作俑者,惩罚拥有或转抄伪稿者、以及有效地销毁伪稿的所有抄件上所表现出的极度愤怒,揭示了伪稿的抨击令他感到多么害怕。

    而这种恐惧的根源,决不仅仅在于由这个案件所表现出来的文人之中对于满清的广泛敌意。由弘历的性格特点所决定,他很快便怀疑到这是针对大清帝国的一项根深蒂固的明谋的反映——伪稿案不仅同发生在他父亲统治时期的文人谋反事件有牵连,也与神秘的马朝柱事件有联系。①马朝柱谋反案,我们之所以设想伪稿案对于满人统治的合法性提出了质疑,这是因为,甚至连弘历也逐渐相信,这件事是同1752年春天露头的马朝柱公然反清的阴谋有关联的口。马朝柱事件是弘历首次遭遇以复明为号召的运动。为对付这一运动而采取的血腥报复行动,则成了弘历统治上半段后期一个耸人听闻的序幕。

    ①陈东林。徐怀宝:《乾隆朝一起特殊文字狱》,第4页,这一恶名昭彰的案子与一位湖南文人曾静有关。他于1728年曾阴谋推翻朝廷,但却为弘历的父亲赦免。弘历登基后,即将他凌迟处死。参见海默尔:《清代名人录》第747页;《清实录》,第9卷笫10页。

    据称,马朝柱本系农民,来自位于长江流域,坐落于湖北省会武昌下游约一百三十里处的蕲州。当他越过省界来到安徽西部时,受到了一个僧人的影响,并从那人那里(根据政府的调查)获得了一种自己将担当大任的幻想。马朝柱开始宣称,自己同居住于“西洋国”、以明室楚王后裔“幼主”为首的明朝遗族有联系。据说,被清廷打败的西南军阀吴三桂的后代也在西洋国居住,同时驻扎在那里的还有三万六千名兵丁。住在那里的还有李开花,这是一个在民间很有名的据说将来要做皇帝的人。还有一位“娘娘”(这是百姓用来称呼送子神的)也住在那里。马朝柱自称是西洋国的一位将军。他告诉自己的追随者们说,一种名为“遮天伞”的飞行器可以在几个时辰里把他的军队从西部的据点带到华中,而他们对于长江流域的进攻已是迫在眉睫了。①当警惕的官员们在武昌东北大约二百四十里处的罗田县东面山中发现了新铸的刀剑及号召反叛的檄文时,所有这一切都暴露了出来。这个贫穷困苦的地区,恰好座落在高度商业化的中心地区以外,在那里定居的人们靠着刀耕火种的原始农业勉强为生。虽然马朝柱本人脱逃,但他的许多部众,包括他的一些亲戚却都被捉拿归案。在武昌的监狱里关押着人数众多的要犯,以至于当局因为害怕这会引起公众的骚动,不大愿意同时对他们进行审判。然而,弘历下令,审判应照常进行。

    ①以现在收藏于台北故宫博物院军机处档案中的许多“供词”为依据,铃木中正为马朝柱事件描绘了这幅图画。在北京第一历史档案馆,我也曾看到过关于这一事件的许多文件。

    罗田县的发现使弘历为之震惊。他下达谕旨,将先前未对马朝柱一伙进行镇压的罗田知县“即行正法”——在同类案子中,这种处罚是一种很少见的情况。②对马朝柱本人的疯狂追捕造成了数以百计的嫌疑犯被捕入狱,并将持续多年。然而,马朝柱却一直未被捉到(如果他这个人确实存在的话)。③到头来,正如同当局对于伪稿案主犯的狂暴追捕一样,马朝柱案件显然令弘历相信,清廷已成为一场大阴谋的目标。

    ②《清实录》,第414卷第2页。当地知县曾报告说马朝柱等人均属“勤苦农民”,在山中谋生。考虑到官方为得到“供词”而使用的手段,我们对这种说法不能完全置之不顾。对此,本书以下还有进一步论述。③在北京故宫档案中,我接触到了一份行省官员给皇帝的奏折,标明的日期则是17年以后,内称,仍未发现马朝柱的踪迹。很显然,这样的奏折是每年都要提交的。《刑科史书》,第2771卷,乾隆三十四年三月五日。

    毫无疑问,罗田县那些阴谋造反的人是将满人当作外来者看待的,因为他们对满清削发令的违反是蓄意的。根据两个曾经“受诱惑”而变卖土地加入马朝柱一伙的人的供词,当人们进人马朝柱的据点“天堂寨”时,要用嘴舔血(这是为了表明他们会忠诚于自己的誓言),也要吞服纸符。同时,他们还让自己的头发任意生长。并不再剃光前额。①然而,弘历的反应却在措辞上极为谨慎,不管这些人对盛世构成的威胁辱他多么不快和震惊,他却始终用一种带有普遍性的标准来对待这种威胁,强调这些谋反者只是在造一个大一统皇朝的反,而不是在反对一个外来人的政权。在不得不承认这里存在着削发问题时,他有意突出的是谋反者冒犯了“列祖列宗”:我大清百余年,深仁厚泽,不意竟有此等覆载不容之枭,獐虺蝮酰,潜毒一至于此。

    ①《朱批奏折》,第836卷第1号,乾隆十七年四月八日(永常)。湖广总督永常在奏折中似乎是在宣摧引用供词。无论是审讯者还是永常本人,都不至于故意在供词中加入这些言辞。相反,在一般情况下,地方官史常常会对直接向满人统治提出挑战的证据持大事化小的态度。

    值得注意的是,即便在弘历与行省官员的秘密通信中更不必说在公开的诏谕中了——他却从未提及巡抚报告中关于谋反者对于削发令的违抗。然而,弘历极度愤怒的反应却不可避免地将他的内心世界暴露了出来。他下令,对那些被捕的疑犯要“备极严刑”,但暂时又不要处死他们,以便获得他们的供词。甚至在同高级官员的秘密通信中,他也明显地希望避免提及种族问题。看来弘历刻意保守秘密的主要动机是为了不使公众的信念受到动摇。他写道,虽然这些微不足道的叛逆之徒本来“不足为虑”,但因为“星星之火,可以燎原”,对他们仍需迅速地予以弹压。而对这一案子本身的情况(他在这里指的是这一案子的反清象征性意义)则必须予以保密。不管是在公开或私下的场合,任何人若提及剃发一事,便都是在自寻麻烦。在这里。我们第一次遇到了我所谓的“恐慌因素”:弘历其实相信,百姓大众是轻信的,一有政治危机或天下大乱的迹象,他们就会惊恐万状,作出暴力的反应。在我们的故事中,弘历的这种信念一而再、再而三地表现出来,并决定了他那种只要有可能便避免承认存在着谋反与妖术的政策。这种信念甚至还影响到了官方内部文件所使用的语言——似乎仅仅提及某一罪恶便会在实际生活中造成这一罪恶的发生。于是,作为一种常规,这也意味着即便是对那些最不寻常的威胁,也不能不用最寻常的语言来加以描述。如果我们可以从弘历的恐惧中判断出公众的情绪的话,则我们不能不说,这种情绪是变化多端极不稳定的。在1768年妖术大恐慌发生的过程中,弘历的恐惧或多或少地始终存在。在我看来,这就是为什么在妖术大恐慌初起时,弘历甚至在与清廷高级官员的秘密通信中也避免提及削发令遭违反一事的原因所在。不论是在处理伪稿案还是在对付马朝柱起义时,弘历都没有提及种族问题。尽管富有挑衅性的剃发问题在这两个事件中都出现了,但弘历在处理它们时的最初动向却与处理1768年叫魂危机时非常相似:他知道,不管“种族层次”的问题对于征服者政权的生存有多么重要,对此却只能经由其他的场合来处理。

    那样的一个场合很快便为弘历抓到了,那就是文字狱:通过揪住他所谓文人们影射攻击“满人根基”的种种文字上的偏差,而对他们大开杀戒。到十八世纪七十年代,这更成为他在全国范围内使用的一种手段。弘历对于剃发一类公然威胁到满人统治的问题固然不愿公开提及,但在对充其量只是对满人名誉造成了微不足道损伤的文字表达问题上,他却是一触即跳。在涉及种族时,甚至某种几乎完全让人觉察不到的文字偏差,也会让一个文人丧命。同那些有可能造成群众性骚乱的大规模谋反案件相比较,弘历在处理文字狱时可以随心所欲地掌握事件的范围与节奏。在对付此类“谋叛”案件时,他尽可以大声颂扬满人的种族尊严,却不必担心因此会引发出什么意外。

    文字狱的预兆。我们刚刚叙述过的这些事件过去仅仅三年,弘历便看到了通过言辞而大兴文字狱的有用之处。1755年,汉人学者胡中藻被指控利用诗作煽动对满人的种族仇恨(即便在当时,这看上去也显得是在强词夺理)。胡中藻是已故大学士鄂尔泰(鄂是弘历从他父亲那里继承下来的两个大学士之一)的门生与派系中的骨于成员,并与鄂尔寨的侄子鄂昌常有诗文往来应酬。弘历对于胡中藻的凶猛攻击(说他“尚有人心者乎?”),曾被认为是对于官场派系活动的一种抨击。然而,这个案子让我感到惊奇之处在于:弘历大骂胡中藻“诬谤满人”,又严斥鄂昌的行为使他不配当一个满人,并把这两者联系到了一起。这就说明,只有把胡鄂案件的两个方面放在一起考察,才能理解这个案子的意义所在:在弘历的认识中,谋叛与汉化其实只不过是同一威胁的两个不同侧面而已。

    在对鄂昌矫揉遗作的诗文予以痛斥时,弘历极为愤怒地写道:“满洲风俗,素以尊君亲上、朴诚忠敬为根本,而骑射之外,一切玩物丧志之事,皆无所渐染。”但是,弘历宣称,近来因与汉人文化的接触,已使得很多满人因能在诗文上故作风雅而自得其乐,而这对于他们的品质是极为有害的。先时,满人虽“未经读书”,却懂得“尊君敬上之大义”。尽管孔门儒生亦通过诗书传学,但他们也将忠孝之道视为上德。如果读书只知“剽窃浮华”而“不知敦本务实之道”,则这种学问又有何用?弘历因而警告道,他将对数典忘祖的满人予以惩罚,并将严禁他们与汉人发生诗文上的应酬往来。如果要对弘历的警告发表评论,则可以说,这种警告也许确实对当时的朋党活动起了某种抑制作用,因为满汉官员之间的诗文应酬是文人结为朋党的主要途径之一。可是,我们也不能忽视这里所包含的一个具有实质性意义的信息,那就是,它同谋叛与汉化是有关联的。

    由汉化带来的腐化

    既勇敢又富有生气,既诚实又不吝豪华,这就是满族上层人士宣称自己作为征服者而具有的美德,也是经精心加工后征服者在被征服者心目中应有的形象。这些品质不仅在作战中是致胜的因素,而且也适用于统治这个被败亡的明朝搞得一团糟的大帝国。然而,为了要统治这个大帝国,满人却又不能不借用汉人的制度并获得汉人的协助,这就又从一开始便使得上面这种似乎无懈可击的说法产生了漏洞。

    在满人还没有越过长城之时,满人贵族的内部斗争便促使满清朝廷采纳汉人施政及中央集权的种种措施。在那以后,为了赋予征服者的政权以一种上承天命的合法性,使其以天命继承者的身份出现,满清朝廷需要对官化的儒家意识形态予以推广——根据这种意识形态,合法性统治的基础在于德行而非种族特性。但与此同时,它又必须保持满族本身的特质。征服者没有与被征服者同处,也没有被腐化,这一点必须保持下去。但在这样的情况下,征服者又怎能将一种异质文化与他们自己的文化嫁接在一起呢?这是一个无法解决的难题。如果我们进一步考虑到,满人还必须“进入到”汉人的世界中去(更不必说享受其中的乐趣了),那么,我们对十八世纪满人所面临的问题便开始有所了解了。对于弘历来说,谋反与汉化是互有关联的危险。然而,汉化的危险更为隐蔽,因而也可能会使他产生更大的焦虑。对于满族上层人士来说,乾隆时期(1736~1796)是一个痛苦的转折时期,他们面临的汉化威胁比之以往任何时候部更为明显——但却还没有明显到无论做什么都已无法使之改变的地步了。

    八旗精英

    当弘历在位在时间上达到中点时,他在一个统治全国的少数种族集团中高踞于权力的顶端。但这个集团本身并非铁板一块。在一小批上层精英与大批穷困群众之间,已经出现了分裂。那个于1644年征服了中国的军事群体是由三个部分组成的:除了满人以外,还有在满人入关前便已降服他们并加入八旗组织的居住关外的汉人,以及同满人结盟的蒙古部落。在这个拥有三十四万七千名男子以及他们的家庭成员的群体中,满人本身只占大约百分之十六。到十八世纪二十年代,这一群体中体格强健的男人的数目几乎增加了一倍,而满人则大约占其中的百分之二十三。在帝国的总人口中,这只是一个很不起眼的少数(连同他们的家属在内,到十八世纪中叶可能仍少于人口总数的百分之一)。虽然他们中有数千人担任着收入丰厚的文武官职,但大多数人则陷于“贫穷、负债与失业”的境地。那些专门留给他们的土地,此刻大部分已落到了汉人土地经营者的控制之下,旗人自己则几乎全部居住在位于都市的兵营里,而在那里,那些禁止他们与周围汉人通婚的法令正日益失去效用。在军事技能不断衰退的同时,征服者上层人士的文化特征尤其是他们的满语能力——也日益退化。对于普通旗人来说,他们既缺乏一种建立在坚实经济基础之上的自我尊严,又没有军事威胁而带来的促人清醒的挑战,几乎再没有什么东西可以让他们用来支撑自己作为征服民族的骄傲了。然而,对于弘历来说,弘扬满族的骄傲却是一个极为紧迫的问题。他显然知道,要保持自己对于官僚体制的影响力——更不必说要保持自身政权对于被征服的汉人的控制了——就必须以满人能够继续维护自身的种族特征为前提。在这个满人正在被汉化的时代,弘历成了满族语言和价值观念的积极倡导者,尽管如此,同时他也是中国文化的热烈拥护者。要同时完成这两项任务,看上去似乎毫无希望。但是,这却是任何一个统治王朝——不管是由本族人或外来人所建立的——都必须要做到的。领导统治一个国家同官僚们日常管理一个国家是不同的。正是这一点,将征服者与成千上万管理国家的文职官僚区分了开来。要作为一个统治者集团生存下去,征服者必须保持自己先前的活力和与众不同之处。然而,为了将文职官僚带入征服者的阵营,同一征服者又必须以儒家文化合法分享者的面目出现。要将排他性与汉化完全孤立区分开来是不可想像的。这就是弘历作为满族首领,同时也作为大一统中华帝国皇帝所面临的两难处境。对他来说,如何将这两个角色合为一体是一件头等大事。他统治下的政治史正是从这里开始发生的。

    文化的传播

    弘历在表达自己对于满人素质退化的恐惧时,一般来说,会讲到他们正在失去些什么(如武功、文化资源及个人品质,等等);但同时,他在讲到这些时也会表露出对腐化堕落的汉人上层分子的蔑视,并担心满人会向他们看齐。旗人应当在勇气、俭朴、坚毅等方面成为具有超高水准的典范,而这种水准应是任何汉人(甚至包括那些其先辈早在满人征服中国前就已开始为其服役的汉军旗人)所难以想象的。然而,一个接一个的事例却向弘历表明,那些旧日的美德正在渐渐褪色。

    一个出身显赫的满人武弁通过与兵部书役的小心勾搭,向那些颇有野心的旗人出售官位。弘历把他当作一个例子问道:“我满洲中,岂有此臣仆?”而更令他感到厌恶的是,满人中竞有人会刻意寻求这种舒适的职位:朕前令八旗人员,简用外任,原以为伊等克受满洲淳朴素风,共知自爱。且人材弓马,均有可观,足为外省绿营表率,并非仅为伊等疏通进用之选。弘历强调,再不能对于满人中的无赖之徒表现出特别的仁慈了。在本朝初年那个伟大的时代,道德水准要高得多,这样的人似乎还值得改造。但随着满人人口数目的增加,他们中的许多人已“渐染恶习,浮靡嚣薄,殊失国初浑厚之风”。这些人“希图安便”,已经“几与汉人无异”一个甚至更令人震惊的案子,发生在一位临时服役于绿营的旗人身上。这个旗人未能平息一场地方叛乱,又不愿面对制裁,便悬梁自尽了。皇帝为之大怒。他宣布,录用满族人于绿营,是因为他们骑射精进,也因为需要依靠他们“整顿绿营庸劣之习”这个自杀的人,“身系满洲世仆竹,他本来应该带兵平息地方上的叛乱,即使因此殉职亦在所不惜:即偶固拒捕致伤,虽非阵亡可比,朕亦必念其因公身殒,格外加恩。似此畏惧自缢,究属一死。……满洲世仆内,又岂应有此庸劣之人乎?此风甚陋。着通行晓谕各省绿旗满洲官员,嗣后凡一切事务,惟勇往奋勉,以蕲复满洲旧习,痛戒懦弱怯惧之风。在弘历看来,满人的堕落从他们的语言能力上颇为不祥地表现出来。除了朝中使用双语的规定外(据此,一定等级文件均需由译馆译成满文),一个更为广泛的假设前提是,旗人对于自身语言传统的掌握成当如同对于骑射功夫一样蚋娴熟。满语是大清朝在中亚地区权力的象征。如果边防卫所的满人丧失了自己的“文化传统”,他们就会受到穆斯林旧民与廓尔喀部落的嘲笑。可是,不论是在内地还是在边防卫所,满人的语言水准正在急遽下降。地方上的一位八旗总兵就曾为所在行省用满文写就的文件中充满文法与用辞的混乱而发出哀叹。虽然满文是“旗人根本”,但他们的写作中却是“错中添错¨。这种腐化甚至也在满人家园内部扩散看来。有一次,弘历发怒道,在满洲任职的官员本来主要是应以满文来撰写奏折的,但他们却只是使用汉文。“如所奏之事太繁,清字不能尽意,必须汉文者,亦应兼缮清文。”弘历因而指责这些满人“竞染汉人习气,有失满洲旧风”。在他看来,虽然目前满文也许还不能完全满足政府治国的全部需要,但它却是测试满人文化完整性的一把尺子。

    弘历很自然地将自己推出来作为一个榜样。他从不放过任何一个机会,来纠正某一翻译上的错误,或直接用满语向某一候选官员提问。对于有关军事事务的满文诏渝的汉文译文,弘历极为挑剔。准噶尔之役编年史的编撰者在处理译文时过于自由发挥,使满文原文“意义尽失”,便受到了弘历的严厉申斥。在这个问题上,弘历对于忠实于满文原文的强调,当然不是为了卖弄学问,而更是将之当作驱邪护身的一种法宝。

    除了只有驱邪护身的力量外,在敏感的国家事务,尤其是军事事务上,满语还可作为机密语言使用。1767年,弘历派遣为自己所信任的皇族成员福灵安(弘所的连襟福恒的长子)就远征缅甸之役停滞不前之事进行调查,,福灵安送会的奏折系用满文写成,揭露了此役统帅杨应琚和李时升的奏报全系“虚捏”。杨、李两人后来均被逮捕处死。在这里颇为重要的是,在一个以汉人统帅为调查目标的案子中,使用满文为一个本来就相当机密的通讯体系又加上了一层保密因素。①

    ①弘历讲到,他曾对杨应琚寄于极大的信任,但却从他奏折中的种种“不合之处”发现了问题。他担心的是,杨应琚因有疾在身而受到下属欺瞒。弘历因而派遣福灵安及一名御医,同往前方探查杨的身体状况。“降旨福灵安,就近亲赴军营,将彼处实在情形,查明具奏。”福灵安的调查显示,缅人确实蒙骗了杨应琚,并乘机侵入大清境内;而李时升的战报则完全事虚构的。弘历在自己的怀疑得到了证实后,又加上了颇富色彩的一笔,以贬低福灵安所从事的侦查活动的重要性。杨的欺罔之言之败露,“实由天意昭彰”“先前并没有人对杨的行为提出指摘,而福灵安又故意等到回京后才当面作出报告,“朕复传旨询问,伊始将所知彼处实情一一入告。此皆抑赖上苍默佑,启迪朕衷,得以先凡烛其情伪,不致于贻误,并非因福灵安此奏折”。福灵安的奏折原系用满文写成,此刻又“俱着译发,并谕中外知之”。《清实录》第781卷18页,乾隆三十三年三月二十四日。

    江南问题

    既恐惧又不信任,既赞叹不已又满怀妒忌,这便是满人对于江南的看法,而叫魂危机正是由江南而起的。在这个“鱼米之乡”,繁荣兴旺的农业与勃勃发展的商业造就了优雅的气质和学术成就。北京大部分的粮食供应,是经由大运河从江南运来的。因此,几百年来,帝国的统治者们便发现,他们需要不断地同江南上层人士争夺那里多余的粮食。同样令北京统治者感到头痛的,是如何才能建立起对于江南踞傲不逊的上层学界的政治控制。江南的学界精英所期期以求的并不但仅是在科举考试中占有一席之地或获得高官厚禄。如果有什么人能让一个满族人感到自己像粗鲁的外乡人,那就是江南文人。面对这个久已存在的江南问题,在处理这种爱恨交织的关系时,弘所以自己的方法表达丁自己的看法。凡在满族人眼里最具汉人特征的东西均以江南文化为中心:这里的文化最奢侈,最学究气,也最讲究艺术品味,但从满人古板严谨的观点来看,这里的文化也最腐败。

    正是因为江南文化有着种种非常吸引人的地方,它才对满人的价值观念——那种弘历喜欢想象的价值观念——构成了威胁。

    如果满人在中国文化面前失去自我的话,那么,正是江南文化对他们造成了最大的损害。

    皇帝本人既为江南所吸引,又为江南所排斥。在访问江南后,弘历将江南精英文化的一部分移植到满人在承德的夏都,予以尊祟。但除了精巧与优雅外,江南也意味着堕落与汉化。江南颓废的文化正在葬送到那里就任的优秀官员们,不管他们本是旗人还是汉人。①长江下游的社会既奢侈又腐化,如同糖果腐蚀牙齿一般腐蚀着人们的美德。大学士刘统勋的儿子刘墉(这当然是北方的一个好家族)在刚刚担任了一任江南学使后,于1762年就这个问题提出了一份措辞严峻的奏折。他对江南已经商业化的富绅在力量与影响上超出了政府控制能力的情况作了描述。“生监中滥事妄为者,府县官多所瞻顾,不加创艾。”

    ①弘历喜欢向江南官员们指出,在进入江南这十高度腐化的环境“以前”,他们还都是有良知的官员。甚至连两江总督高晋这样深受信任的老臣,也受到过“实属昏惯糊涂”的苛责。《清实录》,第751卷第6页(1766年)。

    官吏们“既畏刁民,又畏生监,兼畏胥吏”,结果使枉法的人得到开释,而官府则对极端的行为熟视无睹。由于地方上层人士势力强大,府县官吏为明哲保身,学会了对麻烦睁一眼用一眼的精妙技巧。弘历批示道:刘墉“所奏实切中该省吏治恶习”。江南士民风尚本来便“浮靡喜事”,再加官吏姑息放纵,“遂致渐染日深”,达到了“牢不可破”的地步。

    弘历接着写道:“近年封疆懈弛,直省中惟江南为甚,此固非刘墉一人之私言也。”两江总督尹继善和江苏巡抚陈宏谋便是不好的样板。这两人在这一地区任职时间最长(尹继善六年,陈宏谋四年),但两人均以“无事为福”为信条。两人都有丰富的行政经验,但“上和下睦”已成为他们为官的习惯。再加“其下属又大半往年旧属”,他们已惯于为之文过饰非。上司对下属酌监督极为松散,以至于那些贪官污吏敢于串通一气,”有意延搁公事一。尹、陈两人对这种混乱局面的形成难逃其咎。如果像他们这样的高官能身为表率,其下属又怎敢为非作歹?他们必须对“怠玩相沿如刘墉所奏”的官吏“据实参处”。如果他们只是以此来对付自己的政敌,则“更难逃联洞察”。

    江南的堕落甚至侵蚀了诸如尹继善这样的满族中坚分子,更不必说像陈宏谋这样的汉族资深官僚了。江南的乌烟瘴气渗入了各个层次,从省级大员到县级官员,无不为之波及。为使官员们避免受到地方影响而设计的回避制度,也难以抵制在道德风气败坏的长江下游地区长期为官而受到的侵蚀。如果说,江南文化对满人来说是一个陷阱,那么,素质本来就差一些的汉族官吏(甚至是最优秀的汉族官吏)就更容易受到感染了。放纵、任人唯亲、事不关己高高挂起、小心翼翼以及优柔寡断,等等,所有这一切都造成了官员们在与皇帝的通讯中战战兢兢、谎话连篇。这就是对满清政权的完美健全构成了威胁的江南陋习。当我们对1768年官员们在皇帝反妖术运动的巨大压力下的所作所为进行考察时,就会对这些陋习有更多的了解。弘历在江南问题上的恐惧,又将满人被汉化的问题与他作为皇帝的一个更常见的忧虑——行政机构效率下降的问题联系在一起。到弘历统治中期,从他的言论中似乎透出了一种直接的预感:被汉化的满人与腐败的汉人官吏正在携手使大清帝国走上王朝没落的下坡路。叫魂危机为弘历同这种焦虑对抗提供了一个内涵丰富的机会与环境。弘历可以用极为轻蔑的语言为那些威胁到或背叛了满人文化特性的人打上记号。以此来廓清并捍卫这种文化特性。他也可以揭露江南那些行为丑陋、倒行逆施的精英——亦即南方的妖党术士,通过对他们的镇压来去除江南的堕落腐败。①但就在这个当口,妖术之风却正要越出它在江南的发源地,在全国范围内爆发出来。

    ①仍然存在的一个令人难以解释的问题是,弘历对于汉文化的“真实”看法究竟是什么?他是一个热衷于中国艺术的鉴赏家,是汉文诗词的多产作家(不管这些诗词是他本人的作品或是他人的代笔),是浙江式亭台楼阁的模仿修建者,也是博大精深的中国学术的庇护人。难道对江南的腐化咬牙切齿到这种地步的,就是这同一个弘历吗?也许,可以简单地将这一切归咎于他的虚伪。但我认为,真正的答案并不在此。弘历的身份是双重的:他既以中国的礼仪方式担当着一个大一统帝国的君主,同时又是一个少数民族征服者集团的首领。这里可以使人联想到,当一个美国总统候选人进入白宫后,他便立即会发现,自己必须越出那个使他竞选成功的派别的利益,而已“全体人民的总统”的面目出现。而他的言辞变得越来越超脱的时候,他的形象也就越来越显得常规化了。这是不是意味着弘历“实际上”是某种人,却假装以另一种人的形象出现?或者说,由于担任皇帝这一角色心理上的需要,他的两种身份已混合到一起,并已经被吸收为他的自我意识的一部分了呢?当然,因应形势的需要,他仍可以从策略考虑出发由使用一种语言转而使用另一种语言。

    第四章罪的界定

    1768年7月下旬,炎酷的暑热笼罩着北京城。紫禁城里,人们开始为一年一度向夏都承德的转移做准备。在那里,在长城外曾是满族人旧日家园的山丘丛林之间,有着一片按照江南——亦即弘历如同他祖父那样喜欢出游的长江下游地区——的风格与神韵巧妙设计而成的园林。在近八千亩的土地上,坐落着富有南方情调的豪华宫殿以及令人赏心悦目的亭台楼阁,四周是柳树环绕的幽静湖泊。它的轮廓设计颇具匠心,未留下丝毫人工斧凿的痕迹。位于满洲的这一小小的江南胜景,由弘历的祖父康熙皇帝于1702年开始建设,并经弘历之手大大扩展而成。在承德度过夏天的几个月,并不仅仅是为了摆脱北京城恼人的酷热。通过到这里来避暑,皇帝也将满洲贵族们带回到了自己的旧日家园,召唤他们重上战马,统率他们以当年的粗犷形式从事大规模的狩猎与操练活动。整个夏季,生活中的幽雅会在这里被勇武刚烈所取代;同时,不管多么短暂,定居生活的积尘也会在这里被这些征服者抖落于足下。但在这通向北方草原森林的大们口,上层政治活动仍在进行。来自亚洲内陆各藩属的王公酋长在这里拜见大清皇帝,重申他们对大清帝国的依附。还是在这里,弘历大事铺张地对于亚洲内陆的喇嘛教信仰予以赞助,而这对于大清帝国控制蒙古与西藏是至关重要的。为对喇嘛们示好,弘历在这里修建了西藏风格的宏伟寺庙。当我们的故事发生的时候,弘历已开始建造那座以拉萨布达拉官为原型的庞大宫殿,以备两年后中亚各国王公酋长来此庆祝他六十寿辰时的朝拜活动之需。这个大清帝国奇特的夏都,这个集满族阳刚气概、江南矫揉风格以及中亚外交活动为一体的合成物,距北京城只有四百里;两天的时间,便足以让一位信使将留守北京的军机处的报告送达承德,再将皇帝的诏谕带回北京。大清帝国的种种公务仍在不间断地继续进行。

    源于南方的罪恶

    这一年,正当朝廷的夏季活动将要开始之际,弘历收到了几份机密情报。关于他究竟是如何发现山东的情势的,在7月25日的那份上谕(他就是在其中首次提到山东的案子的)模糊混沌的开头中,被小心翼翼地掩盖了起来。这一上谕,是由大学士傅恒、尹继善和刘统勋起草,并下达给浙江、江苏(包括地涵三省的两江总督)及山东省的官员的。上谕中写道:闻江浙一带有传言起建桥座,因而偷割发辨、衣襟等物,稽垫桥椿,以为厌胜之用者,流传井厦山东地面,其言甚为荒诞,或系市井剪绺匪徒,借端捏造,冀得逞其鼠窃伎俩,亦未可定。但此等造作讹言,最易煽惑民听,理应留心查禁,以杜浇风。着传谕各该督抚饬属,密行体察,如果有此等情事,即行严孥重治其罪,否则将倡播之人查孥一二,严加惩治,以僦其余。并须不动声色,妥协查办,不得任听胥彼人等,从中借端滋事,致暴闾阎。

    这真是一个奇特的文件。读了它,我们对于皇帝陛下真正相信的是什么仍然不甚了了。尽管他认为种种路途流言“甚为荒诞”,但他仍然相信,可能有人在恶意散布这些流言。那么,他是否相信真是有人在从事妖术活动呢?不管他可能相信些什么,有一点是清楚的,亦即在他的脑子中占首要地位的是恐慌这一因素。百姓是轻信的,最容易受到“煽惑”。因此,官员们不仅需要对流言的散布者予以弹压,更需要在这样做时不使百姓受到惊吓。这个文件的最后一个奇特之处在于,它把普通百姓关于妖术的说法中有关“建桥座”与“割发辫”的概念联系到了一起。不管弘历在南方的消息来源是谁,那人是听说过德清石匠与肖山和尚的故事的同时,这也是大清帝国第一份将妖术与削发问题联系起来的文件。

    信息是一种权力与力量,但也与妄全有关。正如同弘历有着从山东获得信息的途径一样,山东巡抚富尼汉看来也有着从朝廷获得信息的渠道。就在弘历批准关于妖术案首份上谕的前一天,即7月24日,富尼汉发出了关于割发辫的第一份奏折。

    这看来不大可能仅仅是出于巧合。更有可能的是,这份奏折是一份争取先机的报告。掩盖信息,是发生于皇帝与官僚之间的一个严重问题。要使地方上那些令人烦恼的妖术事件不为皇帝所知,就要冒皇帝会从流言的网络获知这些事件发生的某种风险。一旦富尼汉获知弘历已经知道了这些事件,只有迅速作出报告才能使他免于欺君罔上的罪名。①结果,富尼汉奏折中的故事越出了有人散布“荒诞”流言的范围:世间竟然真的有人在尝试妖术。

    ①我们必须假设,富尼汉在宫中的眼线不迟于7月6日便传话给他:弘历已经掌握了这方面的情况。弘历信上的日期是7月25日,但信实际上是26日才发出的。北京可能直到7月29日才收到富尼汉7月24日关于此事的奏折,弘历就是在这一天看到奏折的。《随手登记》,乾隆三十三年六月十六日。我未能确定谁是富尼汉在宫中的眼线。

    发生在山东的案例

    富尼汉一直在为执行皇上布置的在自己辖区内确保安全的任务而奔忙。他在阴历五月(阳历6月中旬到7月中旬)听说,省府济南发生了“剪人辫发,其人即昏迷之事”。他认为,这是一种“邪术”,应当迅速对之采取行动。于是,他立即下令要地方官秘密进行调查,并撒下了捕捉正犯的天罗地网。后来,富尼汉到山东南部城市兖州阅兵,又从他治下的两个县的地方官那里得知,有姓蔡与姓靳的两个乞丐因剪人发辫而被逮捕。这两个县西临大运河(南方的粮食就是经由它而运往京城附近的大粮仓的),东靠从杭州通往北京的大道。富尼汉下令将这两个人连同他们的受害者一起带到充州衙门,他要亲自审讯他们。他后来在绐弘历的奏折中报告说,这两个人作了我们将在下面引用的招供。他们的供词为官员们提供了一个窗口,使他们得以窥见那个妖术猖獗的黑暗世界。在这些供词里,妖党主犯的身份第一次被揭露出来;政府采取大规模镇压妖术的行动,也正是以这些供词为基础的。

    蔡廷章初识魂魄之力

    乞丐蔡廷章来自四川。他的奇特的历险记是从他远离家乡暂住北京时开始的。在北京城,他居于西四牌楼隆长寺,依靠卖字勉强度日。在那里,他认识了一个名叫通元的僧人。后来,因为实在活不下去了,他离开了北京去南方。3月末或4月初,他在大运河边的扬州城外卫遇到了通元。和通元在一起的还有另三个和尚,即他的徒弟怡兴、怡德和怡安。通元告诉蔡说,他知道浙江省仁和县有几个术师,一个姓张,一个姓王,还有一个是名叫吴元的僧人,精通神奇法术。,他们先以迷药弹人之而,当那人昏迷之际,便乘机剪去那人的发辫。然后,对着被剪下的发辫口念咒语,即可摄得那人的灵魂。再将剪下后带有灵魂精气的发辫扎在纸人纸马上,便可以用它们来获取别人的财物。通元还告诉蔡乞丐,在浙江,僧人吴元已经集合起了十六名同党,有的是僧人,有的则是俗人,每个人都经常外出发展更多的人入伙,参加剪人发辫。显然,一个规模颇人的地下网络正在南方扩散发展,按蔡乞丐们供词所术,通元说服客蔡乞丐也加入他们一伙,并教给他如何使用谜药的方法——这是中国妖术的一个基本特点:妖术的力量在于任何人都可以学到手的技巧。通元、蔡廷章以及通元的徒弟怡安又一起上路北行,希望能在路上剪人发辫。

    当他们到达山东省邹县的一个小镇中山店时,蔡乞丐从通元那里得到了一些迷药。他随后便去了一家小饭铺,看到一个当地人郝国坦正在那里买饭。蔡乞丐将谜迷药弹向郝的面部,并取出小刀企图割取他的发辫。可是,郝却并没有被谜倒。他和一群愤怒的当地人追上了蔡,并召来县役将其逮捕。可是,僧人通元却在一片混乱中失踪了靳贯子路遇算命先生乞丐靳贯子原籍山东省济南府属下的章丘县。不久前,在附近的一个道观里,他遇到了过去便认识的来自江南的算命先生张四儒。伴随着张先生的还有三个山东人。张先生告诉靳贯子,在安徽宿州有个石庄镇,镇上有座青龙寺,寺里往着一位名叫玉石的僧人。此人懂得割人发辫的法术,能够将发辫与纸人纸马扎扎在一起,用来取人钱财,张四懦随后便邀请靳贯子入伙,并给了他一把刀和一包迷药,要他转走四处割取幼孩的发辫。

    在这帮人分手后,靳贯子一路走到自己家长章丘县属下的商镇百庄集,在那里迷拐了一个名叫靳玉子的幼童,并强行鸡奸了他,7月1日,他到了择县,又剪了一个名叫李狗儿的幼童的发辫。过不多久,他便被县里的差役拿获了。

    在给皇帝的奏折中,富尼汉注意到了一种不祥的可能性:妖术的源头虽然一个在浙江,一个在安徽,却可能是产生于同一根源。也许,一个危险的密谋巨魁正潜藏在这一地区的某个地方。

    在他心中隐隐产生了一种怀疑:术师们将自己手下的一帮人派往各处,并迷诱或煽惑人们加入妖党一伙,也许并不仅仅是为了谋取财物。于是,这位小心谨慎的巡抚又分别向浙江、江苏。安徽各省巡抚以及两江总督送去了密信。他还下令将人犯押往济南,由省里按察、布政两司再行审讯。同时,同报告逮捕这些人犯的奏折一起,他还附上了对他们进行初审时录下的供单。

    富尼汉并未将这些人犯的罪行仅仅当作妖术来处理。他关于这些罪行所涉及的远不止偷取财物的建议表明,在他看来,妖党的最终目的是谋反,也许还会佐之以在公众中制造混乱。事实上,维护公共秩序正是《大清律例》中禁止妖术的明显原因。然而,值得注意的是,身为旗人的富尼汉对于发辫所包含的政治象征意义却从未有过任何提及。这是否因为只有剃光的前额才被认为是削发令的关键性象征?以新近发生的一系列事件为背景,我认为不能这样来看持这个问题。富尼汉肯定知道,任何事情只要涉及到削发令便具有了爆炸性。可是,他并不想自找麻烦。种族的问题最好还是让别人去谈吧!如果说,甚至连弘历本人在同各省官员的秘密通信中对此都缄口不提,那么,一个区区巡抚又何必要提及这一点呢?

    拿获蔡廷章和靳贯子还只是事情的开端。富尼汉属下的知县们很快便报告道,又有更多剪人发辫的案子发生在山东乡村地区。这些案子又更清楚地显示出,确有妖党潜藏在长江下游的各个省份。富尼汉于8月11日奏报道,有五名剪人发辫者被捕,每个人的供词都在江南引出一个不同的大术士。一个穷极潦倒的读书人韩沛显在被捕后引起了官府莫大的兴趣。

    韩沛显拜请术士为师

    韩沛显告诉拘捕他的人说,他今年四十一岁,是与山东相邻的直隶省一位举人的儿子。因家中贫穷,他被迫来山东找寻生计。在过去这几年里,他一直在离省府大约二百里的沂州青州一带行医教书。1767年,时值初秋,他听人说起江南有个明远和尚,医道甚好。他便远途跋涉,到地处江苏省滨海地区的海州三教堂去拜访和尚。见面后,明远和尚对他表示欢迎,并告诉他,自己颇有法术,要他也拜师人伙。

    “他善使障眼法,”韩沛显继续招供道,“他在铜盆里放了水,加上药末,给小的洗脸,又给小的一块白布擦了擦眼,就看见高堂华屋,……金银财宝,都是富贵气象。”就这样,韩沛显完全被迷住了。几天后,明远和尚对韩说,他要“叫人去剪一万个人的发辫,取万人魂,造万魂桥”。他又向韩作了示范,教他如何将药末弹到别人身上,便可令那人着迷。然后,只需要割下那人两三指长的辫梢,贴在用五色纸剪成的纸人纸马上,“用七只缸盛着,念咒祭他七七四十九天,再用活人血点了”,纸人纸马就变活了。再然后,便可以将他们派出去取人财物。到1767年11月下旬,明远和尚指派韩沛显和自己的另一门徒法孔一起外出,并给他们每人发了五百大钱和一包迷药,要他们另找几个朋友帮着一道剪人发辫。明远和尚还和他们约定,第二年的8月底再回到庙里碰头。

    韩沛显和法孔出发后,向北朝山东一路走来。但他们却因“怕人查拿¨,而迟迟不敢下手。两人在山东境内走了两百多里,到了沂水县,还是什么都没有于成。他们在那里分手后,韩沛显一个人往西北方向走去,到了博山一带,叉重操旧业靠行医为生,而他那施展法术的任务看来则被放到了一边。1768年6月4日,他在当地的一所道观遇上了法孔。法孔马上就追问他,剪发辫的事进行得如何了。韩只得应承他说,自己立即就去做这件事。6月7日,他“在莱芜县城南剪了一个十四五岁孩子的发辫”,六天后,他又如法炮制,剪了一个正往田头送饭的孩子的发辫。6月16日,,他去泰山脚下的泰安县城,将剪下的辫稍交给了法孔。7月19日,他遇到了另一个十四五岁的秧子,正站在一棵槐树下,便“近前用药弹了一弹,他就迷了”。可是,正当韩将剪下的辫梢放入随身的褡子时,村民们赶来将他抓住,又把他送往县衙门处置。

    李绍舜沧于妖人为奴

    李绍舜州十三岁,是一个穷雇工。有一次,主人派他送一百五十两银子给东昌府的一一位粮食商人,以归还所欠购买黄豆的款项。李绍舜遵照主人的吩咐办了此事,并在城里住了一夜。

    第二天,他在回家的路上遇到了一个身背钱褡的男子询问他的姓名住处。说话之间,那个陌生人转身取出一些粉末向李的脸上撒去,李顿时便“糊糊涂涂”地跟着那人走了,当他的脑袋略为清醒时,他意识到自己是着了迷魂药,便开始求那人饶命。那个陌生人要李绍舜拜他为师,并对天发誓,若是他敢反悔的话,便会遭到天打雷劈。那人随后又在李的背上拍了一把,李便清醒过来了。那个术士还告诉李绍舜说,他的法力很大,如果李“胆敢逃走”或“说出情由”,他便会作法勾魂,要去李的性命。他给了李一把月牙形的小刀,叫李夹在右手,同时,又从包中取出一把黄色的药末给李。李绍舜赶上一个正在行路的年轻人,从背后用药末撒他,又用刀于割去了他的辫尖。那位受害人竟对此毫无知觉,李绍舜因而得以完命而返。

    邢位术士随后与李绍舜到一棵大树下休息,他这才告诉李说,他姓刘,是江南卞桥人。可是,他并来说出自己的名字(因为他头是秃的,李便称他为“刘秃了”)。他还告诉李,自己是在江南学得的法术,同他一伙的还有四五个人。他奉人扮作一个过路医生,到山东来的一路上割了好几个人的发辫。李又问他:“割辫子何用?”他叫李“只管跟他割了,日后自有好处”。走不多久,这两人又在路上遇到了刘秃子的两个同伙,他们四人便在一块高粱地里歇下避暑休息。一会儿刘秃子又命李进到附近的一个村庄里,去割取村里正在街上歇晌的人们的发辫。然而,李绍舜进到村里后,却害怕了。当他转身离开时,一位村民喝问着赶了上来。李怕不能脱身,便回身用手里的药末向那人撒去,那人跌倒在地上。李扔掉手中的刀子,仓惶逃去。可是,他很快便被追上来的村民们抓住了。他马上就将自己被人迷住为奴的事告诉了他们,又引着他们到高粱地里去抓刘秃了。刘还想用刀子抵抗,但还是被制服丁(那另两个同伙则逃走了)。村民们随后将刘、李二人押到村里的庙中,整整看守了他们一夜。第二天一大早,村民们将两人捆上,用车子推往长清县城报官。一路上,村民们未让他们喝水。当天下午,还未到达目的地,刘秃子竟在路上热死了。李绍舜在受到审讯时申辩道,自己并非术士,而是被迫拜刘秃子为师,以求活命。

    除了将韩沛显与李绍舜被拘捕之事报告给皇帝之外,富尼汉在8月11日的一份奏折中还说,他属下的地方官员们又抓住了另外三个剪人发辫的家伙,而他则要将他们的案子一一向皇帝报告,并附上了他们的供单。一个名叫张成先的化缘道士一次遇上了另一道士,那人要他割人发辫,说每割一条就给他三百钱,并教他说:“把药放在指甲缝里,向人面上吹去,人就迷了。”

    另一个乞丐,名叫张玉。一次,一个坐在槐树下乘凉的人让他吃了一口烟,便把他给迷住了。等他醒来后,那人正对他念诵咒语,他万般无奈,只得听从那人的指派。还有一个饥肠辘辘的乞丐,人称胡瘸。一个和尚让他去割人发辫,每次付他一百钱。富尼汉在奏折中指出,这些人犯中,除韩沛显外都是穷人。他们或是被强迫,或是收受了钱财,而入了妖党。他们中只有韩一人到过长江下游地区,而这些可恶的勾当正是在那里开始发生的。所有的迹象都表明,一个跨越省份的犯罪团伙正在各地通过吸收当地人从事活动。事实上,从现有的材料中已经可以得出不少线索。在山东被遭捕的几个正犯,都是由术师召纳入伙的,并大都来自南方。三名名字已可确定的术(不包括已死的刘秃子),都同神鬼世界有特殊的关联。他们的身份或为和尚,或为算命先生(如张四儒)。其中两个召人人伙的术师(和尚通元和算命先生张四儒),叉都是由潜藏于南方的大术师召纳入伙的,那就是浙江的吴元和皖北的玉石。他们在山东所吸纳的人员大都是从事此类勾当的门外汉,只学到了足以用浓烈的迷药来剪人发辫的某些手段,但却从未被允许接触大术师们的深层秘密。很明显,当局对此事的处置决不能仅仅满足于逮捕这几个小喽?,而必须追踪逮捕那几个大术师本人,从而挖出罪恶的报源。通过对于山东这几个人犯的审讯,已经得到了其中两个大术师(吴元和尚和玉石)相当详实的地址。对于算命先生张四儒,只知道他是来自江南。而通元和尚,则最后是在江北大运河边的扬州为人所见。

    至此已可知道,这些阴谋分子分为三个等级:剪人发辫者蔡廷章靳贯子韩沛显处于中间的术士通元张四儒明远大术师吴元玉石

    7月29日,弘历向各省总督巡抚发出了一份紧急诏谕,宣布山东逮捕了若干人犯,命令对大术师予以追捕。弘历现在认为,在山东所发生的妖术案件并不仅仅对长江下游各省,也对整个帝国构成了威胁。根据这种看法,弘历的命令是发给全国各地总督巡抚的。那么,弘历对于叫魂事件的威胁究竟是如何理解的呢?他又是以什么为基础对各省官僚机构进行动员以应付这种威胁?这些罪犯“行踪诡秘”,利用妖术来“迷诱善良”,因而构成了地方上之大祸。在这里,弘历描绘了一幅皇帝保护百姓免受鬼怪力量之害的图画。在这一说法的背后,右着颇为坚实的法律基础,那就是《大清律例》中不少针对妖术的条款。

    《大清律例》中有关妖术的条款

    清政府在帝国礼法生活中占据着统治地位,可是,它竟还会将妖术视为一种威胁,这实在令人感到奇怪。然而,正如刑律在这一问题上的严厉条款所证明的那样,清廷确实是将妖术当作威胁的。毫无疑问,礼法的首要使命既是要确证清廷是因上承天命而得以统治天下的,也是要在所有层次上使得清廷的国家权力神圣化。正是由于这一点,清廷便需要对自己同天国进行交流的特殊权利予以特别的保护,同时也下决心对别人与神鬼世界发生交流的行为进行控制。然而,《大清律例》却没有直截了当地提及关于妖术的恐惧。妖术并未被单独到为一项,而是放置到了有着广泛含义及联系的许多条款与于条款之下。下面,我将对《大清律例》中同处理神怪世界有关的条款内容作一概括。由此我们可以看到发生于1768年的哪些案子究竟触犯了哪些条款。①《大清律例》中包括有禁止妖术内容的条款如下:

    十恶——不道礼律(办即在礼部管辖权限下的犯罪行为)

    ——祭祀

    ——仪制

    刑律(亦即在刑部管辖权限下的犯罪行为)

    ——贼盗

    一一人命

    “十恶”条款下的妖术

    “十恶”先是在《大清律律》的序文中被提及,而后又在其它条款中重复出现。所谢“十恶”,是一些有关人原则的声明,而并不是直接让执法者援用办案的。由于这种特殊地位,“十恶”是中国法制思想中最为深刻的文化层面的一种象征,其内容则几乎完全足从公元653年颁布的《唐律》中吸纳而来的。被我们称之为“妖术”(或“邪术”)的行为,在《大清律例》中归在惩罚各种“不道”行为的子目之下:“采生折割人”——亦即“取生人耳目脏腑之类,而折割其肢体也”;以邪术“造蛊”杀人(这同使用有毒草木之类的毒药杀人是有区别的);以及“造厌魅符书”,以之咒诅杀人,等等。

    所有这一切,都是以个人而非国家为对象的阴谋活动。①如果说,人们对于妖术的反感应当在《大清律例》的序文反跌得最为强烈,那么,在读到《大清律例》以下的内容时便会发现,这种反感具有惊人的非政治性质。

    ①《唐律》中包括有除“采生折割”以外(这是在明代才增加的条款)的所有各条。在《大清律例》设有“采生折割”条款处,《唐律》设有禁止“肢解”人体的条款,将之视为一种针对受害人灵魂的罪行。参见薛允升:《读例存疑》,第17页;林咏荣:《唐清律的比较及其发展》,国立编译馆(台北)1982版,第546页。德-格鲁持将“厌魅”随成足“人们的灵魂受到征服”或“人们的灵魂受刊到术师法力的控制”。这是术师通过将“写就的命令送往神灵世界”(亦即通过符咒)而召唤出来的妖魔鬼怪。参见《中国的宗教体系》E.J.比尔出版社(荷兰莱登)1892~1910年版,第5卷第887、906页。

    礼律条款下的妖术

    在礼律条款下,针对“妖术”的司法活动大都被归到了“祭祀”名目之下。在其中的第一六二号案例中,应予禁止的“师巫”(“巫”是一个与萨满教有关的名词)及“邪术”包括:(一)“假借邪神”;(二)“书符咒水”;(三)“扶鸾祝圣”;(四)“妄称弥勒佛、白莲社、明尊教、白云宗等会,一应左道旁门之术”;(五)“隐藏图象,烧香聚众,夜聚晓散,佯修善事,蛊惑人民”。那些反对官方祭祀活动的罪行也同“祭祀”条款放在一起,这就清楚地表明,凡以祭祀为手段而追求不同于官方的神灵崇拜、或同未经官方批准的神灵发生交往的行为,都是“祭祀”条款的打击目标。那么,“祭祀”条款的制订者对于上述礼仪性冒犯行为的恐惧究竟有多探?他们是否真是因为民间存在着同神灵世界交往的不同渠道而感到恐惧?十八世纪早期的一位辑注者沈之奇的看法提供了不同的答案。他写道,“祭祀”条款所强调的是“煽感人民”这一因素:小民百姓若是受惑于异端邪说,便可能会产生思想“摇动”,从而引致“蔓延生乱”。他想告诉我们的是,国家的关注中心其实是在于社会秩序和国家安全。毫不奇怪,¨祭祀”条款提供了一种法律的标尺,从而为针对左道旁门行径的一系列子条款提供了依据。在中国帝制晚期——尤其是在1813年八卦教叛乱后——当局在对所谓颠覆性的民间组织残酷无情地起诉定罪时,便都是以汇集在此的这些子条款为依据的。虽然《刑索汇览》的编纂者选择案例的依据是案子在法律上的重要性,而不是某一种案子发生的频率,但在二十四个人选案例中仍有二十个涉及到左道异端行径。这是颇能说明问题的。然而,我们不能因此便认定,“条祀”条款仅仅与国家安全有关。值得注意的是,十九世纪早期,这一条款曾经被用于对两起涉及和尚改扮异性的性变态行为起诉定罪。第一个和尚身着女子服装,而骗得一位已婚女子与他通奸(他还试图欺骗另一女子,但未得手)。第二个和尚则卷入了一场三角同性恋,此事最后以一位恋人向官方举报他而告终。两个和尚都因以妖术手段“惑人”而被定罪。这就表明,审案者认为这种改扮异性从事性诱惑的行为极不合人之常情,已足以使其适用针对妖术的条款。①在“祭祀”名目下对妖术定罪的做法传递了一种复杂的信息:在清廷看来,凡未经授权便与神灵发生交往便是对于公共秩序的一种威胁,因而需要动用“祭祀”条款来对付此种邪行。然而,在涉及到个人受到伤害的案子时,“祭祀”条款又被认为有助于使受害者得到某种补偿——至少,当被告使用不合人情的性诱惑手段时情况便是如此。在这两个方面,国家对于非法与神灵交往的行为究竟是否存在或是否有效所持的是一种不可知的立场,这从有关案卷中“惑众”说法占有突出地位这一点上表现出来。在对妖术案件起诉定罪时,官方称其抨击的主要目标是这种行为的社会后果。然而,对这些邪行定罪实际上又被归到了“祭祀”的名目之下。这就表明,大概正是与神灵世界的非法联系这一点(不管这种联系是真实的还是假冒的),才是问题的实质所在。

    ①《刑案汇览》,第10卷第22-23页。这一条款被援用于这两个案子时,薜没有用类比的方法。第二个案子中的被告后来被减刑,因为他的性“妄想”涉及到的只是一个和尚,而不是真正的女人。

    同“祭祀”条款将重点放在与神灵交流上的做法形成对照,“仪制”条款所强调的是人的具体的礼仪行为。这一条款对官员们在正式典礼中的行为举止及冠服、并对宫廷星相家们所应遵守的规则作出了规定。在这些规定中,有一条是禁止术士居于“大小文武官员之家”并从事预卜活动——尤其是禁止他们预言“国家祸福”。官方辑注者批道,这种行为构成了“于涉国家之事”,会造成“凡人即起趋避之念”虽然《刑案汇览》中并未包括这方面的任何案例,但康熙时期的一项子条款明文禁止无官方身份之人“习学天文”,妄言祸福,并以此“惑众”。这就说明,这决不是一条时效已失的条款。“惑众”的说法在这里再次成为一种掩护,不致使《大清律例》看上去是承认术士们实际上同神灵世界存有联系的。

    刑律条款下的妖术

    根据“仪制”条款对试图预卜未来的术士的惩处相对来说还是比较轻微的,只是用杖责一百下而已。但当我们进入《大清律例》中处置“谋反”和“贼盗”的部分时,同样的行为便可遭致死刑的惩处。《大清律例》中。在¨谋反”与¨谋叛”后有这么一条,“凡造谶纬妖书妖言及传用惑众者,皆斩监候”。制定于1740年的一项条款又将处罚大大提高为“斩立决”,这就同对于谋反的处罚一样了。①据称,这里的区别在于意图。为“仪制”条款所禁的术师只是骗子,他们对社会所造成的危害也只带有随机的性质,但因为具有“煽惑人民”,阴谋煽动判乱的意图,他们仍然受到了“谋反’’的指控。问题看上去非常严重,但实际上这一条款似乎只被用于起诉一些微不足道的案子——大多数涉及的只不过是未经许可便拥有用于治病或自保的符咒。而当这一条款被用于这些案子时,往往也只是比照援用,而不是直接引用。我们只能猜想,所有煽动叛乱的重案都是根据“祭祀”名目下对付左道异端行为的条款来处理的:而陈旧的“仪制”条款(最早可追溯副公元七世纪)则在很大程度上已经过时了。

    在“杀人”这一部分,与处置妖术有关的有三项条款,其中前两项是“十恶’’有关条款的重复。第一项是“采生折割人”。这罪行的极度恐怖性质通过对它的惩罚——“凌迟处死”——而体现出来。这样的惩罚,同杀死自已的父母与祖父母是相同的,甚至同对谋反的处罚也是~样的(对谋叛的处罚仅为斩首)。如果受害人只是受伤而来死,惩罚依然相同。如果罪行“已行而未曾伤人”。则惩罚仅仅为斩首。官方的“批语”将“采生折割人”同杀人后再肢解尸体作了区分。后者只是出于对受害者的仇恨,而前者则是“杀人而为妖术以惑人,故特重”。

    看到“惑众”的说法甚至被用于恐怖到如此地步的罪行,似乎令人感到奇怪。这一条款是否是用来抵消妖术的社会效果的?或者,它是用来对抗通过妖术散布社会混乱的行为的?《刑案汇览》中提供的唯一案例,说明问题的答案并不在此。这是发生在浙江的一个案子,一个七十岁的老头因为汲取了十六名女婴的“精髓”(其中十一名女要因而死去)而被定罪。很显然,老头汲取“精髓”时实际上并没有使用什么妖术,这可能便是法官审讯此案时以类比方法援引了“采生折割人”条款的原因。就这一案子对人们情绪的影响而言,它同我们前面叙述过的其他性犯罪案子是相似的,只是这个案子甚至更令人作呕。这件事完全是反常的,因而只有处置妖术的条款才能提供最接近于合适的惩罚。嘉庆皇帝在关于此案的一份言词激昂的诏谕中使用了“人妖”一词(即是将用来形容术士的“妖人”两字颠倒了过来)。①人们这么做时完全投有想到“煽惑人民”或社会混乱,而只有对于这起超乎一切常理的罪行的极度反感——只有用处置妖术的条款才足以对如此具有非人性质的罪行作出惩罚。

    ①在当代,台湾普通人使用“人妖”一词特指男妓。我未能断定,清代人们使用这一词时是否有特别的性方面的含义。

    《大清律例》的编纂者们还征引了一些相关的案件,其中包括,用符咒“骗诱子女”以汲取他们的身体精髓,以及觅取孩童的尸体后“煮灸台药”,等等。在发生于十八世纪的一个案件中,一名男子杀死了某人,以便取用他的胆囊来调制治疗麻疯病的药物。

    “采生折剖人”条款便被援用对此人定罪。关于这一案子的文件并未提及此案涉及妖术,而援引的法规条款看上去却是用来对付妖术的。这些罪行非人的、甚至近于食人生番的性质显示出犯案人已触犯了一系列基本的人间禁忌。那么,这是否又反过来暗示,这些罪行同超自然世界其实是有联系的,因而依据妖术条款对它们定罪也就是正当的昵?虽然官方处置这些案子时曾用“惑人”的说法来抵消妖术的效力,但就案子对公众的影响而言,官方也认为,这些案子同那些妖党术师为纳入人伙而大肆“煽惑人民”并因而依“仪制’’条款被定罪的情况是很不相同的——在那些案子里,黑暗世界的力量很明显地是在起作用的。第二八九款所处置的罪行包括:制造和使用从有害昆虫处获得的邪毒(“造畜蛊毒”)、以符咒害人以及将被迷惑之魂强加于人(“厌魅”)。官方的“批语”对这些罪行所涉及的“技巧”有专门的说明,其中包括:描画或制作仇人的人形,而后再刺其心目:在印章上刻上符咒再予以掩埋,以此来“招鬼”,等等。批语还特别指明,此类罪行均应依据预谋杀人的条款来起诉定罪。但《刑案汇览》事实上并未提供依据这一有关妖术的特别条款起诉定罪的案例。①在《大清律例》批语中所提及的下毒案子涉及使用的都只是普通的化学毒物,而不是超自然的毒品,因而这些案子实际上均是依据其他条款被起诉定罪的。根据这方面案例资料明显不足的情况来判断,到中国帝制晚期,有关用邪术害人的古老法律条款(它同“十恶”第五项“不道”是相呼应的)已经不被使用了。虽说显然仍有人相信为这一条款所禁止的妖术行为是存在的,但这种行为已不再是官员们在审案时会加以考虑的问题了。

    批语还特别指出,对于将桃片和臭椿片塞进别人坟墓以破坏其风水的行为,应参照本条款的第三条(即“诅咒杀人害人”)予以惩罚。

    国家与超自然力量

    国家与妖术对抗时目标模糊不清的情形,反映了它在对待超自然力量的问题上的立场暖昧不明。一方面,国家本身通过许多途径建立了与神灵世界的种种联系。它有着自己的天地崇拜,并在为自然神灵归类的同时,也为那些已被融入自身宗教体系的民间神灵归类。国家一直通过宫廷星相家从事着解读天象的活动。因此,国家很难全盘否认人与神灵之间存在着联系的现实。另一方面,国家若公开加入同那些与之处于竞争地位的不同天地崇拜的争斗,那就只能意味着它承认了它们同神灵世界存在着有效联系,从而会大大提高它们的地位。《大清律例》所使用的语言及其中包括的各种批注和案例,都无可置疑地表明,确有人在从事妖术活动。然而,这在实践中又不能不被说成是一件办不到的事情:那些人呼唤神灵而神灵不至,他们的目的只是在于“诱惑”民众加入非法团体或参与谋反。

    在所有涉及到妖术的条款中,关于“惑众”的说法始终占有突出的地位。我们只能推断,这种刻板做法意在表明,国家既否认那些与之处于对抗地位的神灵存在的事实,也否认它们的力量。可是,国家将针对妖术的法规明确地置于“祭祀”名目之下,这就又揭示,若同普通人看待人类活动时精神世界深刻的内在分裂相比较,这种否认其实是多么脆弱。在《人清律例》中,以“谋反”罪名对于妖术所作的指控最为严重,但这其实只是一种认识观念上的罪行(试图预卜未来)——更何况,即使是这种指控也被上述“惑众”说法加上了一道冠冕堂皇的保护色。

    我相信,我们可以从这种将叫魂行为归之于“惑众”的说法中发现恐慌因素的最重要的根源——这种因素在这个关于弘历如何同时应付妖术和削发问题的故事中是占有极为突出的地位的。普通百姓在上苍与实际政治之间起着一种调停联接的作用。一个没落王朝若是失去了天命,其信号便是民间的动乱。

    反之,一个王朝若属天命所系,其象征便是百姓的安居乐业。从这一意义上来说,妖术可被视为帝王上天崇拜的一种“黑色”对立物。合法的祭祀会使百姓产生国家稳固并会给他们带来好处的信念;同样,妖术会给人造成不稳定和大难临头的印象。问题的表述与它所代表的现实是不可分割的。如果有人问起:妖术实践是否“真的”会削弱国家对于社会的控制?这实在是不得要领。真正作数的应是百姓对于妖术的反应。民间的动乱如同天象,是上天不快的迹象和手段。既然言词可以既是迹象又是手段,那么,我们对于政府为什么连在内部通信中都要小心翼翼地对待恐慌因素便不会感到惊奇了!确实,如同《大清律例》的编注者所注意到的,正是这种场合会导致“凡人即起趋避之念”。

    然而,国家之所以关注妖术问题,却并不仅仅是出于对于自身政治安全的考虑。“妖术”这个词也被用作一种比喻,以便将特别残忍恐怖并涉及到某些最大禁忌(如食人生番)的罪行突出地表达出来。中国的执法者们在这里所碰到的是难解的纽伦堡悖论:某些罪行是如此不人道,以至于人间已无合适的手段能对之予以惩罚了;但这些罪行仍需受到惩罚。这也许能够解释,为什么不管妖术的存在是否能被确证,人们都会援用刑典中处置妖术的法规来对付那些最令人憎恶的罪行。某些法律——例如“十恶”中有关妖术的条款——是很难被用于实际案例的,因而在事实上也就没有产生任何案卷。但是,这些条款仍被保留在《大清律例》中。这本身就进一步证明,尽管帝制时代中国的执法者们曾一再对此予以否认,他们其实相信,某种卑鄙龌龊的事情是有可能在人与神灵之间发生的。这种人与神灵世界之间未经官方批准的交流对国家安全和社会道德基础都是一种威胁——而这两者在皇帝的言论中又是紧紧联系在一起的。因此,当我们思考1768年的大恐慌时必须记住,对于弘历大肆反妖术的行动是不能简单地归之于“政治安全”的考虑便了事的。

    对“叫魂”应如何处置?

    在对叫魂事件问罪时,上述精心设计的律倒究竟起了什么作用?发生于1768年的特殊案例又适用于《大清律例》中的哪些条款?在处置叫魂事件时,所有官员以世弘历本人肯定是知道《大清律例》中禁止“邪术”条款的多样性及广泛性的。当弘历提到叫魂事件会对百姓造成大害”时,他同时一定也会想到依据《大清律例》是可以对之问罪的。可足,对于一位十八世纪的执法者来说,在律法的各种定义与禁条中究竟应当用什么具体条款来治叫魂之罪?《大清律倒》中并没有“叫魂”这一条,所以,要对之定罪也就必须采用类比套用的办法。在法律罚则未能涵盖某一特殊罪行时,这种做法是很普通的。

    用同“邪神”交往(第一六二款)对叫魂事件问罪似乎是不恰当的,因为这里所涉及的“神”是受害者的灵魂。一种看来更站得住脚的做法,是在起诉时援用第二八八款(其对象是以“折割”手段侵害人体的妖术活动)和第二八九款第三子款(其对象以符咒伤人的行为)。如果头发正如本书第五章所提示的那样是包含着人的生命力的,那么,剪人头发或将头发用于巫术的行径,便可能像前文述及的残杀人命的行为一样引起人们的强烈反感。要是普通人如同执法者一样对这种行为心存恐惧,那么,根据上述条款起诉妖党就能起到使所有关注此事者均得到安抚的作用。说到这里,读者诸君也许会问:难道我们不可以直接找到当时为叫魂妖党定罪的案卷,并从那里知道当时对叫魂案件是如何定性的吗?这个问题提得很公平。可是,事情的困难之处在于当时对叫魂事件的起诉定罪并没有留下任何判决记录。随着我们故事的进一步展开,这一奇特情形的产生原因将会逐渐明朗起来的。但至少我们确实知道,弘历决定对剪人发辫的行为发起扫荡是为了对付妖术,而不是出于政治上的原因。在事件开始时,他就极力回避提及大清削发令的政治意义,而单纯简单地将矛头集中指向妖术问题。弘历的坚定立场是同十八世纪官方对于削发问题的态度完全一致的:削发是一个早已过去的问题,因而完全没有必要再把它翻出来。恰恰相反,由于担心会造成恐慌,弘所在有关通信中甚至根本没有提及这个问题。此时此刻,削发一事暗中所包含的对于满清统治合法性的威胁是如此敏感,以至于连在秘密的宫廷通信来往中私下提及此事也是不适宜的。

    1752年马朝柱事件便清楚地表露了弘历对于发生恐慌的担忧。当时,凡涉及到违反削发令的报告便被认为是不应提及的。甚至在对妖术起诉定罪时,也必须持极度谨慎的态度。下面列举的这个例子是在叫魂危机爆发之前六年发生的。在位于南京西南约一百三十里的安徽省含山县,有个名叫道省的丐僧,惯于“用符咒叫人生魂”。据报,道省曾经吸收过几名门徒,其中有人被捕获。弘历发现,地方官吏所采取的措施既笨拙又带有刺激性。人民当然应当受到保护,以使他们免受“蛊毒厌魅”的妖术之害。但是,安徽巡抚所采取的大事声张并布下天罗地网的做法,却肯定会引起大众对此事的注意。那些“不知事理缘由”的“无知愚民”也因而会产生恐慌,从而造成民间的混乱。因此,调查要既严密又慎重,以免使民众产生惊恐情绪。这里使用的“蛊毒”和“厌魅”两词直接来自大清刑律,是官方在接获有关妖术行为的报告时极平常的公开反应。为什么官方不干脆对乡下的流氓恶棍来一个清扫,然后再公开对他们起诉定罪呢?

    其原因就在于担心这会引起恐慌。于是,谨慎小心在这里压倒了司法正义。由妖术而产生的危险既有其超自然的一面(国家因而有责任保护普通百姓免遭罪恶邪术之害),也有其政浩性的一面(因妖术而导致的公众歇斯底里具有爆炸性)。前一方面要求国家采取行动,而后一方面却又要求国家谨慎行事。六年过去了。在本章述及的发生于山东的这些案子中,妖术问题同剪人发辫纠缠到了一起,这就更需要予以谨慎对待了。确实,正是造成恐慌的潜在危险会直接触及大清帝国的权力结构。这就使得弘历有更充分的理由对削发问题保持沉默——甚至在同自己官吏的秘密通信中亦是如此。结果,在清剿妖术的头六个星期里,皇帝在诏谕中对于削发问题只字未提。对于叫魂妖党的追踪也是在极端谨慎中进行的。

    在这里,皇帝和普通百姓似乎分别抓住了一个爆炸装置的两个把手。对于弘历来说,产生公众动乱的潜在危险(不管是因削发或妖术而造成的)关系到他的政权的安全。他可以通过对于术士们的起诉审讯来安抚平息公众的恐惧,但这样做对公众的情绪最终会产生什么效果却是不可预见的。然而,对于百姓大众来说,妖术带来的危险却是直接的,并涉及到了他们个人:种种邪恶势力正威胁着他们,要将他们的躯体与灵魂分割开来勺剪剖发辫的妖党搞得他们不得安宁。随着妖术从浙江无情地蔓延开去,关于有人被剪割发辫的报告也继续在各地官吏的公案上出现。倒如,在福建南部,一个受害者告诉知县说,一天他正在县学读书,暮色将临之时。他在凳上睡着了。当书童将他推醒时,他才发现自己的辫精已被剖下,放在旁边一座香炉上。另一位受害者,有一次走出城门去买柴火时听到背后有声响,他回转身去,没有看到有人。突然间,似乎有什么东西打到了他的背上,他感到一阵晕眩,而他的辫子已被剪掉了。第三位受害着,有一次正在一座寺庙的门道上与一位村民聊天,感到一阵“怪风”吹来,便失去知觉地摔倒在地上。当他醒来时,才发现半条辫子已经不见了。

    第五章妖术大恐慌的由来

    康熙初年,两个术士前往投靠吴三桂叛乱。途中,他们在一个县城停下来过夜。其中一个面对西墙躺下睡觉。另一个说:“不要睡在那里,今晚亥刻(九时)这墙会塌下来的。”那一个说:“你的法术还不深,这墙不会往里倒,而是会往外塌。”时辰到时,墙果然像他所预言的那样往外倒塌了。

    十八世纪初年,常熟有个归隐林下的官员,是个会鉴别巧技奇术的行家。所有当时有点名气的术士都来拜访他。有一次,来了一个和尚,能够在自己的化缘僧钵里制造幻象,让那里看起来一派鱼龙出没的景象。和尚邀请官员一起进山旅行。他们在一所庙宇前停下休息时,和尚突然消失了。官员便向庙里的其他和尚询问。他们回答他说:“他说你应该剃度后留在此地。永不回家。”官员大窘,向和尚再三哀乞,他们才答应,如果他能为修建庙里的正殿捐献十万两金子,他们就会放了他。官员无奈,只好给他们写了一张十万两金子的欠条。和尚此刻竟然又出现了,客客气气地向他致谢,并向他出示了那神奇的僧钵。官员在那里看到自己的全家都聚集在家中大门口。突然间,他发现自己真的是站在了自家大门前,而和尚则已无影无踪了。当他进去找到自己的钱袋时,发现里面少了十万两金子,却多了那张欠条。有人说,这大概是白莲教干的。十八世纪,长治一个姓陈的居民有个才貌双全的女儿。一天,一个靠乞讨为生的游方道士看到了她,便带着自己的讨饭碗在陈家门口附近停留下来。当道士看到一个盲人走出来时,便问他是干什么的。盲人说,他是应召来给这家人算命的。道士声称,有人托他当媒人来给这家姑娘说亲,所以,他需要知道她的生辰八字(即她出生的年、月、日及钟点)。得到这些后,道士使走了。几天后,姑娘感到双腿渐渐麻木,而后便陷入了昏睡状态。她莫名其妙地被带出家去,发现自己在一条渺无人迹的路上由道士领着走。道士将她带到了一所看上去颇像她自己家的房子里,拔出刀来向她的心口刺去。她感到自己的魂从体内飞出,并看到道士一面口中念念有词、一面将她心上滴下的血涂到一个木偶上。她感到自己已与木偶混为一体。道士命令道:“从此后你须听从我的差遣,不得违误!”(这是《清稗类抄》和《聊斋》的故事)

    这些故事,或者希奇古怪,或者隐晦曲折,是中国笔记小说和民间传说中成千上万有关妖术故事中的几例。我所指的“妖术”,在这些记述中,便是通过对精神世界的操纵来强化个人的力量。这也是我对“妖术”的一般定义。从这一意义上来说,所谓“术士”就是那些据称拥有几种不同类型的强化力量的人,包括认识上的强化力量(能够超越时间和空间,尤其是能够预言未来),遥控事物的强化力量(能够穿越空间移动物体),驾驭生死的强化力量(能昭操纵生命,或将之从活着的生灵那里取走,或将之赋予没有生命的事物)。这些力量一般被称之为“术”,这意味着我们应把它们视为¨妖术”(sorcery),而不是“巫术”(witchcraft)。根据伊文斯—普里查德(Evans-Ptitchard)的区分,有关“妖术”的知识是任何人都可以学得的,而对“巫术”的掌握却是与生俱来的。在中文中,没有哪个单词包含有英文中的“sorcery”一词所包含的各种意思,这在很大程度上是因为这在中国并不是一个统一的概念。①那些反对人们私下与精神世界发生交往的正统力量,往往会使用“妖术”、“邪术”或“左道异端”等词语来稚呼这样的行为。在刑典的语言中,上述词语亦有出现。同时被使用的还有“妖人”和“妖书”两词。普通百姓则会根据实际情况使用不那么难听的说法。一个“妖人”(sorcerer)可以是一个“术士”(从字面上说,就是一个掌握术法的受过教育的人),而能与精神世界发生关系的中介人,则可被称之为“巫”——这个词早在古代便被用来特指与鬼神世界打交道的人了。

    “宗教”在中国并不是一个统一的概念。但是,这并不意味着我们在中国的环境下就不能对宗教进行研究了——如果我们相信这对理解中国或是理解宗教都是很重要的话。当然,我们应当非常仔细,避免掺入违反证据的解释。

    据我所知,迄今为止还没有任何人用任何语言对中国的妖术进行过综合研究。在这里,我也只是从同1768年事件有关的几个角度对这一庞大课题进行探讨。我将涉及到有关于人的灵魂的看法,有关通过法术而使无生命的物体获得生命的看法,以及有关通过怎样的途径才能避免受到妖术之害的看法。我将向读者揭示,叫魂的幽灵如何因一些信念而产生,而这幽灵竟如此可怕,它不仅迫使普通臣民去残杀生灵,也驱使一位皇帝在全国范围内发动了一场破坏性甚大的除妖运动。

    躯体与灵魂 灵魂与躯体的可分离性

    有关一个人的灵魂可从躯体中分离出去的看法。是以一种有关灵魂构成的复杂信念为基础的。中国人相信,灵魂本来就有着多种层次。一种非常古老的传统看法是,在一个活人的身上同时存在着代表精神之灵的“魂”及代表躯体之灵的“魄”。早在公元前二世纪,这种关于灵魂两重性的认识便已存在;而且,当时这一认识已经与“阴”“阳”双重构成的宇宙观联系在一起——阴阳相依,方有世间万物(包括人类)的存在。同阴阳相对共存一样,当人活着的时候,灵魂的两个部分和谐地共存于人体内;而当人死去时,它们便分开了。“魂”与“阳”相对应(并与男性、轻质和动态相联系);“魄”则与“阴”相对应(并与女性、重质和静态相联系)。“魂”所控制的是较为高级的机制(脑与心),而“魄”所管理的则是有形的感觉和身体的功能。

    ☆★☆★☆★☆★

    ①科恩曾指出,中国人的信念要求灵魂具有多样性是由于在有关死的同题上两种看法重叠的结果,一是祖先崇拜,一是同最后审判和转世联系在一起的佛教报应思想。

    ☆★☆★☆★☆★

    同本书的讨论相关,值得注意的是,要将轻巧、易变的“魂”从一个活着的人身上分离出来,竟可以是一件惊人的易事。通常在人睡觉的时候“魂”便是与人体分离的。当然,它通常会回到人体。但如果“魂”离开人体的时间延长,就会产生各种各样的异状和反常情况,包括人会生病、昏昏沉沉、发疯,或者死去。在荷兰汉学家德一格鲁特居住过的一个中国东南部社区(厦门),他发现“人们的惊恐、焦虑和失眠状态可能是同魂较长时间与身体分离有关联的。”②失魂状态在解释儿童的病因时似乎显得特别重要。在德。格鲁特的著作中这样的十九世纪的资料来源,也得到了现代学者在这方面进行的田野研究的呼应。在当代台湾,当孩子没精打采、烦躁不安以及生病时,人们会将之归咎于失魂,认为孩子的魂可能是被“吓”跑的。在这种情况下,如果把孩子带回到他被吓着的地方召回他的魂,他的病也就会好了。

    关于可以将已从体内分离出去的魂再“召唤”回来是一种非常古老的看法。这是同人死后的礼仪活动以及从病中痊愈康复的过程联系在一起的。公元前三世纪初期,这似乎就已成为中国中南地区萨满教葬仪的一部分。到了汉代,这又成为一种叫做“复”的仪式的一部分。有关这种仪式的图画在公元前二世纪的马王堆墓葬中被发现:当某人死后,死者家中一名成员便立即担任起“召魂人”的角色,爬上东边的屋檐,面向北方,挥舞着死者的衣服,大声叫道:“嗔!某某(死者的名字)回来吧!”这里的假设是,死者的魂只是在他睡觉或失去知觉时暂时离开了他的躯体,因此,用他所熟悉的衣服等物便有可能将他召唤回来。从事这种仪式是为了“将死者的‘魂’召回来与他的‘魄’,团聚”。这里的前提则是,“魂”是“魂魄”中更轻飘易逝的组成部分,比较容易与躯体相分离,也很快便会消失。相形之下,“魄”在入土时便走得慢多了。这就解释了为什么人们必须召唤的是“魂”而不是“魄”。(十八世纪的叫魂术也是以“魂”为目标的。)

    自愿与非自愿的灵魂丧失

    中国人相信,灵魂是既可以通过自愿的方式、又可以通过非自愿的手段而与躯体分离的。同死者的交往可以经由“魂游”或“夺魂”来实现。在发生魂游时,魂游者的“魂”被送往地下访问死者。从魂游者在回魂时有时会遇到麻烦的许多故事来判断,这被人们看作是一件十分危险的事情。①这样的故事揭示了一种令人不安的焦虑。那就是,“魂”可能会在试图回到躯体时迷失方向;或者在此期间,躯体会因为人们误认为人已死去而遭到损坏(也许,这是同人们担心因睡着而被误认为已经死去的恐惧是有关联的)。②然而,关于人们会在并非自愿的情况下便失去灵魂的说法更令人担忧。除了“惊恐”或其他创伤③有可能刺激魂脱离躯体外,魂实际上还可能会被其他人或某种超自然力量偷走。人们可能让“复仇鬼魅”和妖魔为此承担责任。德-格鲁特在厦门的采访对象曾向他叙述过“某些喜欢从人身上汲取精气的恶鬼”的情况。人们称这些鬼怪为“走马天罡”或“半天秀才”。如果一个人失去了知觉,人们会把他送到一个“师公”那里,由师公为他举行一种叫做“抢精神”的仪式,以便从偷去了他的魂的“冥物”那里将魂找回来。人们知道,从事偷魂的鬼怪夜间出没于路边。在许多故事中,“不幸的人被这些人类天敌夺去了生命,身上没有丝毫受伤的痕迹,却被发现横尸路边,只是他们的魂已被勾走了”。勾魂的鬼怪尤其喜欢单独在路边的人,因为他们“在那里孤零零无处求助”。似乎因为仅仅有这种勾魂的“冥物”还不够吓人,人们还认为坏人也是有偷魂的能力的。术士们便可以通过在纸上画符来对受害人施行妖法。

    ①哈瑞尔;《灵魂概念》,第525页,转引荷恩:《一个中国村庄的死亡崇拜》,斯坦福大学出版社1973年版。丹尼斯对广东的一个“魂游”事件作了详细叙述,参见《中国的民间传说及其同雅利安与闪族传说间的类同之处》伦敦1876年版,第59~61页。德格鲁特争引用小说资料显示,有能力的人可以使自己的魂离开躯体,“特别是为了达到看到隐形事物的目的”。②席文指出,中国人认为在死和睡着之间并没有十分严格的区别。死去只不过是未醒来而已。“死”这个字也被广泛地用于“失去知觉”的状况。私人通信,1988年12月24日。③《聊斋志异》第234页有一个故事。患上了相思病被认为是一个年轻公子失魂的原因。

    “招魂”既可被用之于葬仪,也可被用作医治孩子疾病的一种手段。这表明,活着的人们在死者(不管是成人还是孩子)刚刚死去的情况下还不愿接受这已是最后的事实;这也表达了他们不愿让死者离去,如还有可能便还要将他召唤回来的情感。我在前面已经提到过,当死者是孩子时,人们会将孩子的种种病状归之于也许是惊吓造成的暂时失魂的缘故。在这种情况下,孩子的父母便会求助于招魂仪式。这种仪式一般称之为“招魂”或“叫魂”,两者都意味着“对魂的召唤”。需要记住的是,“叫魂”有时和“偷魂”是同一意思。挚爱孩子的父母和邪恶的术士都在对魂进行“召唤”——一个是要将魂唤回到体内,另一个则是要将魂从体内唤走。亨利·多尔(Henry Dore)曾在长江流域的社区对晚清的招魂进行过观察。下面记述的是发生在安徽的一场仪式:在为孩子招魂时,使用的方法如下:先是提到孩子的名字,然后招魂的的人说:“你在哪里玩啊,你快回家吧。”或者说:“你在哪里吓着了,回家吧。”……如果孩子的名字叫乃喜,招魂的人就会说:“乃喜啊,你在哪里吓着了?你在哪里玩?回家吧!”另一招魂的人会跟在后面答应道:“回来啦。”当他们四处喊叫时,一个人会在屋里将死去孩子的衣服放到房子附近或门道上的一根扫帚柄上,然后注意地观看是否有树叶或小草之类的在近处移动,或者是否有小虫子在近处飞动任何这种情况,都是魂已经回来了的迹象。术士以谋命为目的的作法程序竟然同挚爱孩子的父母所从事的礼仪活动有着相同的语言表述方式,这正是这整个事情令人特别感到憎恶的地方。正如在本书第四章中所揭示的,《大清律例》所使用的语言表明了妖术活动所具有的奇怪的渗透性特点:如同欧洲魔法活动中的黑色弥撒一样,它将正统社会生活中平常的礼仪活动颠倒了过来,成为对这种礼仪活动的一种嘲弄。

    有关失魂的恐惧是从人们认为术士拥有侵害人身法力的一般想像中派生出来的——这些术士有本事从远处窃得活人的精气,使得没有生命的物体获得生命,再通过替身来对人造成危害。由于侵害人身的妖术活动是1768年大恐慌的重要组成部分,对此有必要在这里稍作讨论。被术士们赋予侵人魔力的物品可以有各种各样,但最普通的似乎是通过妖术而获得生命的纸人。各种“奇事异闻”中充满着有关这种纸人的故事。

    明朝的一个故事讲到,广东有一个姓李的术士,会一种名为“先天神算”的预卜未来的法术。据他宣称,他会让“纸人纸马”变活,还会用“纸剑斩人首级”。他甚至还懂得让死人复活的法术。这位多才多艺的术士最后被一帮属于白莲教一个支派的造反者网罗去了。①湖北有一个姓吴的书生,有一次当众嘲弄了当地一个颇受人尊敬,被认为有本事偷魂的张姓术士的法力。吴书生料到张术士会对他进行报复,便在当天晚上拿着一本《易经》当武器,坐着等侯。②一个身穿盔甲的鬼怪撞进屋里,对他发起攻击,但当吴书生用《易经》向那鬼怪猛打过去时,那鬼怪竟然仆地而倒。

    ①沈德符:《万历野获编》,中华书局1980年版,第753页。发生于十六世圮的一次叛乱是由一位名叫唐赛儿的妇女领导的,她是白莲教的一个支派的成员,据信能通过操纵活生生的“纸人”施行妖术。②经书可以拥有与其论学教诲内容完全不相干的魔法力量。参见德-格鲁图特关于以《易经》和其它经书为护身符对付妖魔的讨论。《中国的宗教体系》,第6卷第1011页。

    吴书生发现地上只有一个纸人,便把它捡起夹在书中。过后,又有两个黑脸的小妖精闯了进来,也被他用同样的办法对付掉了。过不多久。一个哭哭啼啼的妇人出现在门前,宣称她是那个术士的妻子。她哀求吴书生放了她的丈夫和两个儿子,因为他们的魂都附到纸人的身上去了。地呜咽着说,现在她家里只剩下了三具尸体,一等到凌晨鸡鸣,他们的魂就回不来了。吴书生教训邢妇人道,她们一家人做尽了害人的事。是罪有应得。但出于怜悯之心,他还是还了一个纸人给她。第二天早晨,他才知道张术士和他的大儿子都死了,只有小儿子活了下来。①人们对于术师以纸人为工具所普遍存在的恐惧,肯定是与纸制物品(纸俑、纸马、纸房子、纸工具以及其它纸制物品)在殡葬礼仪中的广泛使用有关的。德-格鲁特指出,厦门地区便有人使用人形物品的妖术来伤害自己的仇人:[人形物]大多是用两段交叉捆在一起的竹片粗粗割成的,在一片竹片的一端粘着代表人体的纸。这竹片像手那般走小,男人同女人的区别则在于两团据说是鞋子的碎纸。这被叫做“替身”,是用来替代某人的,可以在任何一家制作并出售用于祭祀死人和神是的物品的店铺里用现钱买到。它们是被当作奴婢焚烧后供死者在另一个世界使唤的。

    ①袁枚:《子不语》

    纸人纸马可被用来为死者的福祉服务,供他们在转入鬼神世界后使用;也可被当作仇人的替身,用作对他们施行邪恶魔法的手段;还可能被别的什么人用来伤害自己。很显然,人们是很容易看到纸人纸马这些不同用途之间的联系的。施行侵害人身的法术的另一途径,则是借用受害者“身上的某些部分或所穿的衣衫”。此外,术士还可以通过象征性地借用受害者身体的某些部分、取得侵害其生命的魔力。“术士所用的工具或是人的灵魂、或是灵魂的一部分。做到这一点的途径,则在于掌握活人躯体的某些部分,尤其是掌握同精神力量和生命力量的产生有关的器官。此后,便可将受害者的魂安置于术师所创造的某一幻象中,任由术师通过符咒让那人的魂完全服从于自己的意愿。”

    头发与邪术

    正如我们在禁止妖术活动的刑律中所看到的那样,侵害人体的妖术可以促使人们基于懦家教义而因体肤受损产生害怕,也可以导致人们因这种嗜血野蛮的行为而陷入文化上的深刻恐惧。不管是哪一种情况,普通百姓的心目中都有这样的印象:术士们能够利用人的头发来汲取他人的精气,然后再将这种精气转移到纸人纸马身上。德清的石匠们便被认为是有这种本事的人(即汲取他人的精气来加强自己的力量)。

    即便受害者是个陌生人,一个经过适当训练的术师仍能够以其头发为中介物质而攫取其灵魂。我们在1768年所遭遇的大多数叫魂案子中见到的便确确实实地是这种情况。术士不一定需要知道受害者的姓名和生日之类的个人资料。明代的一部小说讲述了一个从蛋里生出来的和尚的故事,无人知道他的生辰八字,一位颇好“师巫邪术”的公子希望在这个“蛋子和尚”本人不知不觉之中对他作一次偷魂的试验。一个术士满有把握地说,以他的本事,并不一定需要知道和尚的生辰八字便可办成此事。“若没有生辰,须得本人贴身衣服一件,及头发和爪甲也是一般”,再对着这些东西念诵咒语便可以成事。①而如果单凭这几样东西就能够施行法术,那么甚至在只知道某人名字的情况下,也许也是可以对之施行法术的。一个术士在自己居住的杜区里,是知道周围亲戚朋友或邻居的名字或生辰八字的,那么,他不必通过个人物品的中介作用,就能够对别人造成伤害。这就是在本书第一章中农夫沈士良想要做的:他将自己所探恶痛绝的侄儿们的名字写在纸片上,让吴石匠放在桥桩的顶端撞击。

    ①罗贯中和冯梦龙:《平妖传》(1830年版)。古典文学出版社1956年。

    这也是本章开头长治的那个恶道士所干的勾当:通过得到受害女子的生辰八字而令她着魔。然而,对那些来自外地的陌生人术士来说,他们就必须在不能就近得知这一切的情况下从事自己的肮脏活动了。正是在这里,剪割发辫和衣襟成了一个关键性的问题:这使得一个人的命运可以被一个他根本不认识的陌生人所左右。即便对一个不认识的人,术士也能通过妖术而使得那人无生命的排泄物和衣物之类的东西着上魔法。这样的看法,自然加深了人们对于陌生人所怀有的恐惧。

    在很多文化中,人们都相信头发有着神奇的魔力。我在本书第三章中,曾对为什么满人征服中国后颁布的削发令受到了汉人顽强抵抗的原因作了探讨。在这里对妖术进行探讨时,同样的问题又出现了:在头发、权力和死亡之间有着怎样的联系?艾德蒙·李奇关于人们在潜意识的层次上是将头发与生殖器联系在一起的看法,在我看来似乎过于具体,超越了人种学在这方面所能提供的证据。①我更倾向于接受的是詹姆斯·佛朗泽等被李奇称为“老派人类学家”的更一般性的看法,那就是:“头发在礼仪上象征着某种极为深刻的抽象性事物,如繁殖能力、冤魂一类的东西,个人的力量,等等。”②由旁遮普文化所提供的证据表明,正是由于人们认为头发能够汲取并储存生殖能力,它才在施行妖术时被人使用。一个不能生育的妇女,便可以通过剪取新生婴儿的头发而使得这婴儿在她的子宫里再生。神汉长而缠结的头发尤其可贵,则是因为头发的主人在性生活上的长期节制使其头发中积蓄了极大的生育能力。③在中国,无疑也可以看到有关头发汲取并储存精神力量的证据。

    ①李奇的假设是:‘头发是无形的性心理的一种有形的象征性替代物。”②李奇;《魔法搬的毛发》③荷西蒙:《头发,性和脏物》,载《人杂志》。荷西蒙在该文第275页写道,一种符号是通过深刻的心理上的联系而“取得自身力量的”(倒如,头发等于性心理),但随后便在礼仪的场合变成了一个在意义上漂浮不定的东西。在某种礼仪背景下,信号的意义虽同最初的意义有关联,但并不一定完全相同。

    在广东地区举行的丧事中,头发似乎具有汲取丰富的生育能力的精神实质,人们因而希望,死者的已婚女儿和儿媳妇“在死者的棺材从村里被移进出去时在棺材上摩擦她们松散的头发”。詹姆斯·沃森认为,人们相信可以用这种有意吸收死亡污染的行为来加强生育能力和家系延续,好像死者的灵魂正在通过妇女的头发而重新进入到家系中来。①叫魂事件还不断使人们注意到头发在和尚生活中的重要性——而且并不仅仅局限于剃度仪式等使得和尚失去头发的场合。人们常常发现和尚随身带有头发,其原因之一便在于:师父们通常会在为弟子施行剃度后将那些受教于他们的弟子的头发保存起来。但很明显的是,保存头发的情况并不仅仅发生在不同辈份的和尚之间。人们还知道,和尚们也会沿路相互交换头发,以便彼此“结缘”。也许,这样做的目的也在于扩展自身灵魂力量的多样性——因而也扩展灵魂力量的效力?——从而加强自己同所有和尚作为一个整体的联系。②妖术预防法1768年的叫魂危机的一个突出特征是,普通百姓作出了巨大的努力——或者通过对可疑的妖党施行私刑,或者通过诉诸于法术来进行补救——以便同妖术凶险不祥的影响力进行对抗。正如湖北那个用《易经》猛击妖魔的莽书生的行为所表明的,法术是可以用法术制服的。事实上,处于近代前夜的中国(同时也是今天的中国——只是在多大的程度上我们还不知道)就像是个巨大的角斗场。在这里,超自然力量在伤害的同时也在补救,而在这两者之间发生着一场无情殊死的争斗。用德-格鲁特的话来说,人类为对付那些邪恶的精灵,“每天都在从事着一场使人不得安宁的攻防之战”。参加这场战争的当然有职业人士。那些关于礼仪问题的专家们从事着施行法术,主持丧事,测定房屋风水走向之类的活动。然而,参与这场战争的普通士兵却是一大帮门外汉。他们凭藉着一大堆或者写了字,或者没有写字的咒语、护符以及有关行为举止的一套公式,便要以此为武器为自己“辟邪”。

    ①沃森:《事关骨肉:广东社会对于死亡污染的处理》,还未搞清楚的是为什么让已婚的女儿来做这件事?除非这是为了加强姻亲之间的联系。②有大量史科证据表明师父保存着弟子的头发。《朱批奏折》,第858卷第3号,乾隆三十三年七月二十六日(刘统勋等),便是一个例子。关于“结缘”,参见《朱批奏折》第866卷第6号,乾隆三十三年九月十五日。要增加自身的灵魂精气,取决于从很多人那里获得头发,而并不仅仅取决于头发分量的多少——大术士明远建造“万魂桥”的计划表明了造一点(参见本书第四章)。

    利用咒语和护符“辟邪”是一种普遍存在的现象。这项保护性行动大都是以构成灵魂“阳”端的“鬼”为防备对象的,其产生的原因则在于死者的灵魂没有得到很好的关照。同样的方法也可以用来对付妖党的邪恶魔法。鉴于德清县的石匠们是由于人们对于建造工匠的怀疑而成为目标的,我将在这里通过对建造工匠法术的叙述,就如何通过符咒去邪的问题进行探讨。根据传教士民俗学家丹尼斯(N.B.Dannis)在广东所进行的研究:“广东有这样一个家喻户晓的传说,说的是一个造房工匠被一位妇人叫去整修厨房时,对那位妇人挟嫌报复之事……整修工程按时完工了。但不知怎么搞的,妇人每次进厨房就会得病。她相信,厨房的地基一定已被人动过了手脚,于是便让人将厨房的墙推倒。果然不错,在那里发现了一个空洞,其中放着‘一个生病模样的泥人’。原来这就是妇人生病的原因。”

    为什么人们会将建造工匠同妖术联系在一起?中国人相信,房屋的风水状况会对居住者生活中的吉凶产生影响。既然如此,建造房屋的工匠自然就有责任在建房时施行“好的”法术。

    建房的时间选择,房屋的结构走向,以及建房时所遵循的礼仪程度,等等,都被人们认为对于房屋建成时将邪气排斥在外具有至关重大的意义。当然,既有办法施行“好的”法术,也就有本事施行“坏的”法术。因此,有一本在清代很流行的名为《鲁班经》的木工手本,便不仅包括有建房时所应遵循的恰当的礼仪规则,也有着种种恶毒的符咒,供建房工匠藏在屋粱上面或地板下面。

    但为平衡起见,《鲁班经》中也包括有用来对付施行妖法的坏木匠的符咒。下面是几则木匠以符咒害人的例子。①一幅封有“冰消”两字的竹片图:

    一幅破瓦一断锯,藏在粱头合缝处,夫丧妻嫁子抛谁,奴仆逃亡无处置。

    藏正粱合缝中。

    一幅牛骨的图画:

    房屋中间藏牛骨,终朝辛苦忙碌碌,老来身死没棺材,后代儿孙压肩肉。

    埋屋中间。

    ①午荣和章严编纂,局言编:《鲁班经匠家经》,上海1909年版,第4卷,第3~4页。这里引用的资料来自题为“秘诀仙机”的附录,但书中未注明此附录的出处。全书始自公元五世纪中期,但也包括有更早的资料。关于该书的历史和特点,参见鲁藤比克《传统中国木匠业的营造方式和礼仪》,载《中国科学》第7卷,(1986年12月),第13~16页。此书被认为具有极大的魔力,以至于书商在卖书时从来不会将脸对着书。一旦看到此书,使必定要对别人实施魔法,否则自己就会遭殃。

    一幅一团头发中裹有一把刀的图画:

    头发中间裹把刀,儿孙落发出家逃,有子无夫常不乐,癣寡孤独不相饶。

    藏门槛下地中。

    但是,符咒也为人们提供了强有力的法术保护,以使他们不会受到混迹建造房屋者中的妖党之害:凡造房屋,木石泥水匠作诸色人等,蛊毒压魅,殃害主人。上粱之日,须用三牲福礼,横扁一架,祭告诸神。将鲁班先师密符一道念咒,云:恶匠无知,直毒厌魅,自作自当,主人克伤。暗诵七遍,本匠遭殃,吾奉太上老君敕令,他作吾无妨,百物化为吉祥。急急律夸。

    即将符焚于无人处,不可四眼见。取黄黑狗血暗藏酒内,上粱时,特此酒速递匠头三杯,余者分饮众匠。

    凡有厌魅,自受其殃,诸事符解。

    此符用碲砂书符贴正梁上。

    这些关于法术正反作用的看法,暴露了无时无刻均困扰着大多数普通百姓的种种焦虑;早夭,草草下葬,失去子女,死后得不到恰当祭扫,等等。尽管这些焦虑集中在建房妖术上,但反映的却是一种更为广泛的认识,那就是,人在这个世界上的命运其实是很容易受到超自然力量的破坏伤害的。在神鬼之间进行的那场永无休止的对抗中,人的生话需要得到“术”或“法”的保护——不管使用“术”或“法”的是宗教职事人员还是有这方面知识的俗人。①对于僧道的怀疑在对叫魂的清剿镇压中,僧人(有时还有道士)从一开始便是受到怀疑的主要对象。为什么弘历那么快地就相信了有关大术士均为僧人道士的说法、并动用国家的力量资源来对付他们?

    ①在《中国的咒法》一书第213~237页,迟田瑞穗从小说笔记中引用了关于如何对付造房工匠妖术的一系列忠告。在该书第218页有这么一个例子:如在卧室中发现有害之物,”且不可触及此物,需将其投入滚油煎炸,再投入大火中,则(造房)木匠非死即病。”有时祸害并非有意造成。例如,某一房屋的居住者开始“咳血”。事后发理,原来是因为木匠在上梁时碰伤了手,血渗到木头里去了(第230页)。

    为什么每当普通百姓心中因妖术而产生恐惧时,他们那么快地便会朝着离自己最近的和尚猛扑过去?

    官方对于僧道的处置

    老百姓在日常生活中同邪术的抗争,也在社会最高层从清廷的种种关注中反映出来。就在国家查禁妖术的同时,它仍然不断地在同神灵世界打交道。在官方的各个层次——上从皇帝的官邸,下到最肮脏不堪的县衙门——国家的各种机构都在人与神灵之间扮演着中介的角色。从某种意义上来说,它们所起的作用如同西方宗教中的祭司一样:它们代表着人类与神柢交往,以此来保障人世间的适当秩序,尤其是保障帝国范围内的农耕兴旺与国泰民安。在国家的最高层。皇帝本人每年一度都要主持祭拜天地的仪式;在下层,知县们(他们在自己的管辖范围内也是一个个小皇帝)则将城隍爷(这是神鬼世界的知县)当作自己施政时不可或缺的助手。

    普通百姓虽被禁止对帝王和官僚所崇拜的各种神灵进行祭祀活动,却可以分享对于这些神灵的信仰。正式的上天崇拜为帝王所垄断,但上天在人间的力量却为普通百姓所信仰。因为每个人的命运都受到上天力量的支配(“五行”交替运作,阴、阳相互影响),人们很容易地便会认为帝王对上天的崇拜与人间的福祉是相通的。又因为人们认为人死后灵魂的命运取决于城嚏隍老爷的判断,普通百姓便相信地方官员祭祀城隍爷是在为整个社区造福。如果国家要使民众对于自己在精神上所起作用的信心能够持续下去,它就必须认真防备在这方面出现潜在的竞争对手。

    国家既然以包揽一切的态度宣称只有它才有资格掌管人与神灵世界之间的交往关系,它使精心设计出一系列规则条例,以便对有组织的僧人道士进行管理。自然,在国家为他们所制定的规则中也就不无荒唐之处。从形式上来说,即使从事礼仪活动的大多数僧道人员其实并不“从属于”任何僧道机构,官方却仍可能要这些机构对他们的活动负责,至于民间宗教的职事人员,以我们在西方背景下所养成的眼光来看甚至算不上专职宗教人员,但他们却主宰并支撑着那个无所不包并探探植根于民间社区的宗教活动体系。国家若想制止这种暖昧不清的状态,是否可以坚持要所有僧人道士都明确表明自己的师徒关系?或要求所有从事宗教活动者都登记注册?从中国宗教的实际情况来看,这些想法是荒谬可笑的。大多数宗教职事人员注定是没有什么社会地位可言的(根据国家对社会地位的边际性质的界定)。如果国家一定要将那些规则(对此,我将予以概要说明)强加于他们身上,也就等于把民间宗教本身也给取消了。在那个时代,这对于国家来说当然是一件不可能办到的事情。这个简单的事实为学界关于“国家对宗教的控制”的讨论带来了一个不甚真实却极为有趣的侧面。

    不管怎么说,国家还是做了知其不可而为之的尝试。我们必须将这种尝试视为国家在表明自己的态度,而不是国家的一体制”正在按照自己本来的思路行事。根据规定,所有寺庙庵观及其僧道人员都必须登记注册并获政府批准方可进行活动。除非获礼部正式批准,建造寺庙是非法的。根据同一精神,国家几百年来便一直要求和尚道士必须取得度牒。那么,为什么国家在中国帝制晚期对于宗教职事人员的登记注册及控制他们的问题会耿耿于怀到如此地步?公元九世纪,当大唐帝国大批没收寺庙财产并迫令成千上万的和尚还俗时,其部分原因在于经济上的考虑:当一个人隐入寺庙之时,也意味着他不再负有缴赋税与服劳役的义务,因而也就使国家失去了一份收入。但到了明清时代,劳役义努已可换算为钱币并可与田赋一并估算支付,劳役实际上也已为雇工所取代,上述经济目的也就没有意义了。

    如果我们对清代国家为控制僧道的努力细加考察,便可以看出,其中另有企图。早在明代,便已有过要僧道人员登记注册并为他们发放度牒的情况。但是,直到1674年皇帝才发布了将僧道人员置于国家控制之下的第一道一般性诏谕。为对僧人道士进行督察,清政府在北京建立了专门的机构,各由十六名和尚或道士组成。

    这些成员最初显然系由礼部选拔产生,以后的替补则由京城的僧道人员通过选举决定。这些成员的名单还需向吏部报备。①皇帝还诏令各省建立起一个平行的体系,由选举产生的僧人道士所组成的督察机构分别在各道、各州与各县建立起来。②他们通过通常的官僚统治管道向上提出报告。

    ①这些官员若是和尚则叫做“僧录司”,若是道士则叫做“道录司”。见《大清会典事例》,第501卷第5页。1773年,由于尚不清楚的原因,这些官员转归内务府监督掌管。②在这些部门任职的人员由各省总督或总兵向礼部通报,再由礼部将人员明单转呈吏部登记造册。这里的整个体系均与由各省衙门及礼吏两部委任操纵。明代将人员名单奏报皇帝的旧制在清代已废止不行。所以这一切显然是为了使这里的程序常规化,同时也是为了减少呈送皇帝的文书。见《大清会典事例》第501卷第6页。

    建立这些督察机构是为了对和尚、道士、尼姑的品行举止予以控制约束,以便通过适当的纪律措施而保证使他(她)们按出家时的誓愿行事。然而,除这些机构外,最重要的还是发放度牒这一措施。在这里,问题的症结其实并不在于保持僧道人员队伍本身的纯洁性,而是在于确保不让那些不可靠的俗人以僧道的面目出现。皇帝所担心的是,“不法之徒”会假借僧道习俗,冒用“祖师”名义从事占卦预卜之事。此种“交通鬼神’’及预卜朱来的能力会产生种种“异说”“野谈”,从而吸引无知民众成为他们的门徒并非法结党。在这里,皇帝所谓的“异说”“野谈”,并不仅仅是指他们假称具有魔力,而更是指他们假称有能力预知现存政治秩序的未来命运。在皇帝的上述诏谕中所显示出的,是一种对于在帝国权力中心北京所发生的宗教活动的特殊敏感。位于京城的寺庙庵观均“不许设教聚会,男女混杂”(这是民间宗教的标志;而在皇帝的心目中,这也正是民间道德堕落的进一步的证据),同时,亦“不许建设高台,演剧敛钱,酬神赛会”。

    弘历尤其因僧道人员身份含糊不清的状况而感到沮丧,并因而试图将本来用于管制有组织的僧道人员(即属于主要寺庙道观的人员)的那些办法,扩展使用到生活于平民杜区的广大民间宗教职事人员的身上。他所采取的第一个重大行动同那些大概可被称为“在俗僧道”(secularclergy)的人有关。这些人实际上构成了宗教礼仪职事人员的大多数,他们始终居住在寺庙道观之外,拥有财产,甚至还结了婚。他们为葬仪和驱邪仪式提供服务,或以其他的方式来满足人们在礼仪上的需要,因而在杜区中起着十分重要的作用。但他们既不受宗教纪律的约束,也不服从国家的控制管辖。弘历对于僧道在道德及学识上的这种腐败现象大加鞭挞,并诏令各地或强迫“在俗僧道”居住到寺庙道观中去,或强迫他们彻底还俗。对他们的财产,除一小部分生活基本必需品外,均应予以没收或散发给穷人。当这一诏谕看来不仅在一般僧道人员中造成了恐慌也在各省引起了混乱时,弘历又辩解道,他从来就不打算伤害那些循规蹈矩的僧道人员。

    他强调,真正的问题在于公共秩序。那些在俗僧道“窃二氏之名,而无修持之实,甚且作奸犯科,难以稽察约束”。他之所以要求他们必须获得度牒,是为了使“无赖之徒不得窜人其中,以为佛老之玷”。这位当时登基还不久的皇帝显然因人们对他的严厉措施的反应而感到震惊。他因而从先前没收财产的诏谕立场退让下来:“究竟国家养济穷民,岂需此区区之财物?”这一诏谕亦就此废止未行。然而,令皇帝不能释怀的是:尽管他十分厌恶,社会上依然存在着一大批不受到国家任何控制的礼仪职事人员。①弘历对于和尚的看法受到了新儒家在性问题上假正经态度的很大影响。当然,和尚自己的内部戒律便有着纯洁俭朴的要求;《大清律例》则对引诱已婚妇女与之发生奸情的和尚规定有特殊的罚则。但弘历对和尚通奸的行为似乎特别痛恨,并决心对之予以惩戒。1768年,南京附近的一个和尚被控与几个已婚农妇发生性关系。江苏巡抚高晋注意到南京地区“每易藏奸”,其原因则在于该地区寺庙甚多,使得追踪奸僧的行止极为困难。

    据此,高晋要求各县官员均需对和尚的不轨行为予以警惕。南京附近的地方官府发现了一个“淫僧”,多年来便一直有不规行为,甚至还贿赂地方保头对他的恶行藏匿不报。通过将寺院的土地出租给佃农,这个和尚积累了相当可观的财富。高晋奏报道:“查淫僧厚积资财,恣为不法,大为风俗地方之害。”对这样一个罪犯,《大清律例》中一般规定的惩罚看来已经不够,高晋因而建议将他发配伊犁军中为奴。弘历批复道,甚至这样的惩罚仍属“轻纵”;“此等淫恶劣僧久为地方风俗之害”,因而,对此罪犯“一经败露,即当立即仗毙,以示惩儆,何得更为宽待”。高晋再次奏报道,他确实应该为提出这样一个过于轻微的惩罚建议而受到指责。这一罪犯不仅应予以殴毙。还应在南京地区所有和尚在场的情况下这么做,以示做戒。寺庙三分之二的财产则将予以没收。

    ①《大清会典事例》,第501卷第8~11页。这里,用于在俗和尚的是“应付僧”一词,本身含义不甚明确并可能只在局部地区使用。德-格鲁特在《中国的宗教派别和宗教迫害》一书第127页将这个词同瑜伽派联系了起来。但是,我遍查了关于佛教的各种标准参考资料,却不能肯定这种说法。用于在俗道士的则是“火居道士”一词。弘历下达反对在俗僧道的诏谕,可能是受了400年前明代的一项公告的触动。

    弘历与高晋这位皇家姻亲之间这番相互攀比的血腥对话表明,对于那些将大多数僧道人员视为虚伪与腐败的社会渣滓的统治者们来说,对和尚狠狠地予以惩罚简直是他们的一种道义满足的源泉。既然他们对于僧道的行为有着这样的看法,他们当然也会觉得完全有理由把僧道人员同包括施展妖术在内的种种有害及不道德的行为联系在一起了。当官员们看到下层僧道人员人数激增并因此发出警报时,正如本书第二章所叙述的那样,皇帝对于僧道的恐惧也大大加深,并下令在全国范围内对妖党进行追踪围剿。除乞丐外,和尚道士——尤其是那些生活在小寺庙道观中以及外出在途的和尚道士——便成了中国最容易受到攻击的社会群体。这是因为,他们既得不到亲属的庇荫也得不到杜区的保护。但问题还在于,为什么一般民众会那么热衷地参与1768年这场对于妖觉的迫害围剿呢?

    僧道、乞丐与普通百姓

    和尚是1768年大恐慌的主要嫌疑对象。但多少有点让人惊奇的是,十八世纪有关谈神说鬼的两本主要的集子(著者为蒲松龄和袁枚)对和尚的描述却相对来说十分友善。大量的妖术行径都被归到了像本章开头所叙及的谋财害命的道士头上。相形之下,和尚遭到批判的主要原因在于他们的虚伪或不道德的行为,尤其是他们在性生活上的放纵(在欧洲,这也是人们对僧侣发起攻击时通常会涉及到的一个主题)。此中奥妙,为“妖道淫僧”一词所道尽。①对我们来说,则必须超越那些出色的小说家们的叙事水准,发掘出百姓对和尚产生恐惧的原因究竟何在。②在一个对陌生人存有恐惧的社会中,和尚由于自己生活中的若干侧面而让人看上去便觉得不甚安全。其中一个侧面,便是他们长期地,有时甚至竭其终生只是处于见习修行的地位,即他们虽然削发出家,却并无僧职。一个和尚若要获授僧职,通常需要从属于某座有地位的“官寺”,在一位资深师父的指导下经历并完成很长的学习过程。而如果只是当一名见习和尚,就相对要容易随便得多。他只需表明自己摒弃世俗生活的意愿,由师父削发(师父则将负责他的修行)并开始遵从“十戒”(诸如禁欲、素食等等)便可以了。这样的出家人离开了自己的家而以寺庙为家,师父便成了父亲,其他同师门下的和尚则成了师兄弟。

    ①蒲松龄:《聊斋志异》,第131页。在这本流传甚广的鬼怪故事集中,有一个故事讲的是一个和尚使用妖术来伤害吝啬的施主,这同其它的故事都不一样,因而十分突出。②关于佛教在帝制晚期的实际活动以及佛教僧人的生活,仍旧研究。在以下的讨论中,我所借助的田野调查所反映的是二十世纪初期的情况。这样的做法当然不能令人满意,但他的好处在于,我们是在同实际活动而不是解决问题的方案打交道。而且,我想我在这里所讨论的僧人生活的各个方面也许是很少发生的。

    和尚中有很多人从少年时起便已出家,通常在一些由代代相传的和尚“世家”所掌管的“家传”小寺庙中修行。如果确有机会的话,一个和尚也要经过很多年以后才能够在某个规模很大的“官寺”里获授僧职。

    与此同时,一个见习修行的和尚则是一大批未获僧职、处于过渡状态的和尚的一员。这种身份得之固然不困难,失之也很容易。虽然国家以及社会大众将他们归入“僧人”一类,但他们却不得栖身于任何一所有地位的大寺庙。这样的“和尚”大约构成了佛教僧人的大多数。事实上叫魂的疑犯(包括本书第一章所述肖山事件中的两个和尚)大都出自于这些人,政府的疑问也集中于他们身上。毫不奇怪,我们看到普通百姓的恐惧也为同样的看法所左右:这些人既没有正统的家庭背景,又不是注册在案的有地位的僧侣,而只是一批社会边缘人。这一事实不能不导致我们对“僧人”这一称谓到底有多大用处发生疑问,因为政府的文件实际上是将所有穿僧袍、剃光头的人都一概称为“僧人”的,而全然不顾及他们皈依宗教及受到教育的程度。他们中的许多人(甚至可以说是他们中的大多数人)很难被归人为官方所认可的各类臣民的范畴,而官员们正是靠着这些范畴的存在而自信整个社会是在他们的控制之下的。

    这些和尚的另一个可疑之处在于他们无根无底。他们往往一经削发便开始了在路上飘泊的生活。他们之所以旅行,或是为寻访讲经之处,或是前往祭扫本家“祖师”的坟墓以示尊敬,等等。这些都是很普通的原因。另一个也许更为普通的原因,便是乞讨。一般来说,小寺庙既没有足够的土地来养活庙里的人,又缺乏通过举行佛事而得到的捐款与收人,于是化缘乞讨便成了和尚们唯一的生路。对和尚来说,化缘活动并非到处都可进行,有些寺庙便禁止和尚化缘。同时,人们对于乞僧的态度常常无异于他们对一般乞丐的态度。从十八世纪的文献资料来看,乞僧是随处可见的。

    普通百姓对于和尚的态度也许受到了下述两种情况的制约。一是见习修行和尚身份本身的模糊性(他们既是佛门一员又不在佛门之中);二是一般人对于乞讨者的暖昧态度(这被认为是一种无根无底的懒人的职业,但它又因为僧人实在太贫穷而在某种程度上得到了人们的认可)。对于道士,普通百姓的态度也许就是一种更为直截了当的恐惧了。

    人们习惯上常常将道士的活动同各种各样的法术联系在一起(如炼丹术,以符咒驱邪,以及寻求长生不老,等等)。因此,当“邪术”成为问题时,道士也就顺理成章地成了怀疑对象。尽管道士在社区里通常从事的是诸如以符咒为人治病之类的有益的活动,但他们在人们想象中的妖魔形象却表明,在人们看来,法术是很容易转化而成为邪术的。由于和尚在社区中所从事的主要活动是协助死者的魂顺利通过阴间,他们便不是与道士同一意义上的术士。这大概也解释了为什么在百姓的故事传说中和尚相对来说温厚善良的原因。但我们仍然想要知道的是,当僧道等从事礼仪话动的各种职事人员作为陌生人出现在某一社区时,在普通百姓的心目中是否还会对他们有着如此清晰的区分?例如,本地寺庙中的和尚是每个人在邻里的葬仪上都会碰到过的,同他们相比较,随处飘泊的和尚便可能显得既让人难以捉摸也难以理解。同时,人们并不需要什么想像力使能够意识到某一“游方道士”的威胁。相形之下,本地道士作为礼仪职事人员就比较“安全”,因为人们是知道他们在社区中所扮演的角色的。一个在本乡邻里间驱邪的法师大概不会比一个家庭医生更具有威胁性。但如果他是外来人的话,那就是另外一回事了。当外来者还拥有特殊法力时,人们对他们的疑心自然也就更深了。

    如果说,普通人是由于僧道等礼仪职事人员可能会施行法术而产生对他们的恐惧的话,那么士绅则是由于他们懒惰而鄙视他们。根据在浙江收集的一组“家训”的说法,每一种职业——不管是文人、农夫、手工业者,还是商人——都有自己的“生理”(即求生之道)。“惟是懒惰飘荡、游手好闲为僧、为道、为流民、光棍、身名无籍之徒,便是不安生理。不安生理而能偷生于天地同者,无此理也。”

    由死亡而产生的污染。一位研究广东社会的权威曾写道,那些在葬仪中担任祭司的人物(在这里,笼统地来说就是道士),“由于其工作的性质”,就像我们自己杜会里承办丧葬的人员那样,在社会上的名声肯定是不好的。“当他们在场时,邻居们从来就不会感到舒服。”这里的原因在于,人们认为由死亡而产生的污染会附在死者的躯体上。尽管道士们“会尽可能地避免直接触及尸体或棺木”,但他们却不可能将自己同自身职业中具有产生污染危险的那一面完全分割开来。社区中的礼仪职事人员尤其需要依靠葬礼为生,而这一工作使得他们必须不断地接近新近死去者的棺木。我们尚无法肯定,在华南地区十分明显的人们对于死亡污染的恐惧,是否也在其他地区助成了人们对僧道人员的暖昧态度,但我们不能排除有这种可能性。

    作为外来者的术士。普通百姓对于礼仪职事人员的态度是既尊敬又恐惧,这一点在帝制晚期的下层僧道人员身上表现得特别明显。身为流浪者,又拥有特别的弄鬼弄神的力量,这真是一种非常独特的危险。如果闵鹗元的说法是对的,则这种危险到了十八世纪中期大概已变得日益清晰可见。对于其他文化所作的研究表明,人们常常会将妖术同外来者连在一起。艾伦·麦克法林(Alan Macfarlane)便曾以非洲和荚格兰的资料为基础而注意到,“在乡下四处游荡的男人”自然而然地便会成为妖术指控的目标。①妖术与巫术不同,它并不依赖于天生的内在力量而只需要使用魔法技艺,因而本质上是不以人性人格为转移的。

    ①麦克法林的看法是:“人们更可能指控他们为术师而非巫师,因为他们并不对某一部分人群构成反复发生的、秘密的、与内在的挑战,他们构成的只是一时的威胁。”他在这里所作的区分涉及到了“巫术”所有的一种天生的恶意,亦即对特定的人加以伤害的动机,而这种恶意只有长期生活在一起后才能产生。

    由此而产生的恶行更像是野蛮的破坏行为而不是血亲间的复仇行径。因此,四处飘泊的流浪者(不管是僧道还是平民)由于在社区内缺乏联系纽带便很自然地成为可疑分子。他们固然不会有个人恩怨之类的犯案动机,但他们也同样缺乏社会的制约以及对于社区的责任感。除此之外,农夫村民在见到任何外来人时的那种排外情绪也会起作用。害怕他们会施行妖术就是一种很合理的情绪了。①在中国的民间宗教中,人们对于外人所普遍感到的恐惧是通过举行对“鬼”予以安抚的严肃礼仪活动而表达出来的。人们认为,“鬼”是一些缺乏家庭联系的无根无基的游魂。否则的话,家人便会为它们提供祭祀,从而减轻它们的痛苦并消除它们的敌意。那些在阳间(或在世俗世界中)没有社会和政治地位的人是危险的,而其危险性又是同那些在阴间(或在神鬼世界中)最有地位的危险精灵(即鬼蜮)密切相关的。

    ①关于巫术恐慌源于社区的紧张的看法,对于理解妖术事件并没有什么帮助。正如在中国发生的妖术事件所显示的,受到人们怀疑的术士是外来人,对受他们之害的人来说,他们则完全是陌生人。

    在1768年的许多叫魂事件中,外来性几乎自始至终是叫魂大恐慌的导火线。当人们第一次见面时,这种外来性常常会因口音差异而被人们注意到,陌生人也就立刻便会被识别出来。

    在广东的一些社区,担任巫师的人必须是在当地社会中已有建树的成员,因为要达成将种种邪神从未得到安息的死者身上除去的任务,就必须对村里的社会关系有深入的了解,否则是办不好此事的。由此看来,“好的”或“安全可靠的”礼仪职事人员(为社区服务的僧道及巫师等)必须是社区的一员;而“坏的”或“危险的”职事人员(妖人术士)则不会从属于社区。如果是这样的话,那可能出现的情况就是:要么人们的恐惧心理很自然地是同外来人联系在一起;要么因为在社区内部对别人提出妖术指控会对社会关系造成严重的损害,因而提出这种指控根本就是不能容许的,甚至是不能想象的。既然如此,那么怀疑就只有落到陌生人头上去了。①乞丐的社会恐怖活动从某一意义上来说,游方僧比之一般乞丐在面对妖术指控时处于更为软弱的地位。在人们的眼里,那些以同神灵世界打交道为职业的人也能很容易地用鬼神的力量为自己服务,这就是妖术。然而,在发生妖术大恐慌的过程中,关于妖术的指控也落到了很多一般乞丐身上,在大多数情况下,他们只是为那些施展妖术的恶僧们跑腿(为他们剪人发辫)。可是,人们对于乞丐的恐惧同他们是否掌握礼仪“技巧”并没有任何关系。恰恰相反,他们的危险性正是在于无人能在礼仪上非议他们。

    ①一个重大的例外看来是在墓前占卦的巫术,有时这会在社区冲突中被人们当作武器使用:某一方面的亲属会将祖先的骨骸排列起来,使之产生有利于家系中自己这一支而不是另一支的魔法效应。

    在中国社会中,和尚和乞丐是最贫穷也最无力自卫的人。

    他们得不刭有影响力的亲属的支持,也很少或根本最有经济实力。正如同我们已经看到过的那样,和尚在社区的礼仪活动中起着十分重要的作用,因而是不可或缺的。那么,乞丐们在面对人们公开鄙视和憎恶的情况下,又是如何坚持自己的生活方式的呢?这里的原因看来在于,不管他们在那个体面的社会中显得多么无助,他们却有力量使公众对他们产生恐惧。人们害怕乞丐是基于两个原因:一个是他们带来的污染,另一个是他们通过礼仪活动所造成的破坏。而这两者事实上又是紧紧地联系在一起的。

    污染。乞丐们正是利用人们害怕遭到污染的心理,使得人们出钱来同他们保持距离。所有的观察者们在一个问题上有着相同的看法,那就是,一种细心作成的(但也是平常的)龌龊与衣衫褴褛的外表——即乞丐们通常的衣着——可能会引起人们的怜悯,但也可能会激起人们的强烈反感。人们是绝不会让一个乞丐来碰摸自己的。这不仅是出于避免染上疾病的实际考虑(如乞丐们会几近卖弄地展示的流脓痴疮),与此紧密相连的还有着因此会在精神上受到污染的恐惧。如果某一乞丐死于某家的地面,则于“天地命理上影响极大”,盖因为只有付出一定代价才能驱走该乞丐的鬼魂,且效果如何亦难以肯定。①通常由乞丐担任的抬棺木一职,也会使他们沾上死人的晦气,而这也是需要避之而唯恐不及的。与其让自己的身体接触这样的人,实在还不如让钱“接触”他们的好。

    ①沙克:《中国乞丐“窝”》。这一极为出色的人种学研究专著资料极为丰富,既包括有十九至二十世纪观察者留下的记录,也包括有作者本人在台湾从事田野调查的记录。

    用礼仪活动造成的破坏。在这里,我们已经很接近于触及妖术恐慌的核心了。一个体面的社会在什么事情上最容易受到攻击?世界上所有的富人和有地位的人,最容易受到那些最有任何东西可以失去的人的攻击。因此,乞丐们照例会在婚礼丧事等场合大发利市,便丝毫不令人感到奇怪了。如果不让乞丐们得到应得的好处,一帮衣杉破烂、肮脏不堪的人便可能会(有时他们真的会)闯进仪式的现场。而他们的出现本身就会让主人极为难堪。更糟糕的是,他们还会将婚丧仪式的礼仪功效破坏殆尽。这种危险对于一场婚礼来说就已经够坏的了,而对于一场丧事来说则可以成为礼仪上的灾难。在十九世纪的一则记述中,恼怒的乞丐们甚至跳进了墓穴,以阻止下葬的进行。人们在面对这种可怕行为时是相当软弱无力的,因为他们会感到自己抵御超自然力量伤害的能力极为有限,而在行善的神灵与作恶的鬼怪之间进行的又是一场势均力敌的对抗。同时,正如我们已经看到过的那样,躯体和灵魂之间的联接又是很容易受到邪恶力量攻击的另一个危险环节。在这样的情况下,那些被社会抛弃的人们便获得了一种奇特的力量。正事因为他们自己已经肮脏得无可再肮脏、不幸得无法更不幸,他们似乎再也不在乎社会的“脸面”,也不在乎是凶是吉或是祸是福。仅仅让剪割发辫衣襟的乞丐“触摸’一下,便足以引起人们对这会造成致命污染的警觉。再进一步来看,一个乞丐的发怒也会向人们鸣响警报,因为他的污浊本质同使用妖术的恐怖主义根本就是一回事。一个乞丐因为有人拒绝施舍而对那人发出的赌咒,其中包含的力量远远超出了语言本身。

    我们对中国妖术所作的探讨揭示了两种互有联系的产生恐惧的机制,两者都涉及到了灵魂——躯体联系脆弱性的问题。普通人害怕的是自己的魂会失去。灵魂与躯体之间的联接是脆弱的,这意味着自然的或超自然的力量是可以将它们分开的。做梦、生病,当然还有恶毒的法术,都对灵魂——躯体联接纽带的稳定性构成了威胁。皇家的恐惧则不仅同个体也同群体有关。君权神授的完整性与持久性需要通过皇家不断从事的礼仪活动而反复得到验证;同时,君权神授本身也可以因为自然的机制(如只有在发生自然灾害和出现其它征兆时才可以看到的宇宙力量),或由于巴望让国家遭难的煽风点火者的行动而发生断裂。

    国家不仅需要坚决否认这些妖人同神灵世界存在着任何交流关系,也要对他们的行为无情地予以禁止。皇家的祭祀官员们对于除了自己以外其它任何同神灵世界的联系都采取嘲弄态度,这种做法其实证明了他们对于自己的“神授”地位能否持久有着一种根深蒂固的焦虑。对普通百姓来说,术士的妖术威胁到的是灵魂与躯体之间的脆弱联接;而对皇朝的上层人士来说,这种行为危害到的则是皇朝向上天力量之间的脆弱联系。在十八世纪下半叶,究竟是何种力量同时在社会结构的底层和上层造成了这样的恐惧,这在我们对叫魂的故事作进一步的考察以后,是值得加以考虑的。面对叫魂的罪恶行径,皇帝将要发起一场全国性的清剿。在此过程中,存在于妖术与政治之间的联系将会更为清晰地显示出来。

    第六章 各省的清剿

    在全国范围内对妖术的清剿触发了弘历与各省督抚之间的较量。这场暗斗悄然隐蔽,但激烈的程度并不亚于清剿本身。它的燃料刚来自于官僚的责任制度:官员若让罪犯逃脱会受到北京吏部的制裁,该官员的上司则有责任对下属的失职加以弹劾,失于弹劾又会构成更上级官员弹劾失察者的理由。到了总督、巡抚这一层,行政上的失误则会在皇帝对其个人的宠信上出现裂痕。

    官僚责任制度的运作是围绕着对信息的控制而展开的。一项罪行如果未经官方确认已经发生,那么,一个官员就不会因为对此罪行失察而受到惩罚。这一极为简单的事实可以说明弘历与其官僚之间在叫魂案中的紧张关系。虽然清政府没有职业的秘密警察,皇帝在各省还是有自己的耳目的。通过这一个人情报来源,弘历得知了山东的那些案件;还是通过这一情报来源,他也发现了春天被各省巡抚隐瞒的妖术案件。这种隐瞒是出于官方对大众迷信的蔑视(即上层人士视妖术为不可知的态度),还是因为苏州和胥口镇事件所牵涉的剪辫案对巡抚来说太过棘手,本身是无关紧要的。反正弘历相信,这种情况之所以发生是因为他的官员们畏难裹足:法庭案件会打乱他们优游从容的日常节奏,弹劾属下则会危及他们官官相护的权力网络。我们或许应该原谅他的猜疑,整整两个月来,没有一个省级官员(不论满汉)主动向他报告过妖术案件。当他要求各省报告情况并采取行动时,各省的初始反应证明这种猜疑是有道理的。

    弘历的行省官僚

    让我们先来考察弘历的各省执法官员的工作效率。1768年中国的行省官僚是一个由六十三个人组成的很小的精英圈子。我使用“行省官僚”一词,特指省以上的行政长官,其责任包括:第一,总揽一省(巡抚)或两三省(总督)的全部行政事务;①第二,专司一省的特别政务(如布政使和按察使);第三,无守土之责的特任官员,如漕运总督和河道总督。这无疑是世界上最为排外的圈子。进入这个圈子意味着得到皇帝的特别宠信并能与其直接对话。督抚官僚与在北京的部级官员一样,可以并被要求同皇帝直接并秘密地联络。虽然这个圈子里既没有老朋友间的那种默契,也没有坐在皮靠椅里的那种舒适安乐(也就是说,这个圈子的内部凝聚力很弱),但进入这个圈子还是能给人一种超越了低级官僚群的特殊自我感觉。

    ①京师所在的直隶除外,该省只有总督一人。

    肱股心腹

    弘历在清剿妖术案中所依靠的是一个由中老年官僚组成的经验丰富的群体。其中每个人都有在数省任职的经历,资深者担任省级官员已有十年左右。①满人极不相称地在其中占有相当大(百分之三十八)的比例,而在总督、巡抚这个层次,其比倒更高达百分之五十八口和乾隆初年相比,行省官僚的种族背景发生了很大的变化。自1736年以来,满人人数增长了百分之八十四;汉军旗人增长了百分之三十三(虽然其实际人数微不足道);而汉人则减少了百分之五十一。总督的种族结构无甚变化,但满人在巡抚中的比例急剧上升,其代价则是汉军旗人比例的下降。满人任布政使职位的人数也大幅上升,而汉人的任职人数则显著下降。此外越来越多的满人司法官员正通过正常的升迁渠道进入行省官僚圈。上述变化可被视为满人汉化程度提高和统治汉人低级官僚能力增强的结果,但也是帝国为加强满人在地方政府中的权力而制定的一项处心积虑的政策。

    ①在1768年行省官僚任期的平均年数与他们的级别成正比并反映了常规的升迁模式:总督,11年;巡抚,9.5年;布政使,5年;按察使,2.5年。

    按照十八世纪世界的标准,弘历的行省官僚在1768年统治着庞大的人口。如两江总督治下的三省人口有七千万,比当时法国人口的两倍还多。而三省中最大、也是全国人口最多的江苏省,其巡抚治下的人口有三千万,是当时英国人口的三倍。即使是叫魂案所牵涉到的最小省份山西,也有八百万人口,大约与大不列颠减去苏格兰的人口相当。显然,这一官僚机器的严密程度不能和我们(以及中国人)所熟知的现代官僚制度相比较。

    这样巨大辖区的执政者必须握有便宜行事的实权,但他们的权力还是受到许多制度规定的制约。不仅如此,机密的廷寄制度防止了督抚间的冲突,谁都无法知道邻省的督抚向皇帝报告了什么。最后,皇帝通过频繁调动来防止行省长官在一省坐大。①频繁调动意味着行省长官几乎不可能对自己辖区内的特殊情况有深入的了解,他们因而将大多数的行政事务诿之于长期留任的胥吏。②这个高度流动的精英集团的成员在各省首府之间频繁调动,但他们被两条铁索同帝国的中心绑在一起:同其他官员一样,他们的黜陟考绩保存在吏部的个人档案中;更为重要的是,他们与皇帝间维系着效忠尽责的个人纽带。

    ①以1768年在位的总督和巡抚为例,平均在一个职位(从获得巡抚级别开始)上的任期是总督3.5年,巡抚2.2年。总督的平均年数被直隶总督方观承特别长的任期(19年)提高了,我对官员任期的统计都是根据钱实甫的全面完整的《清代职官年表》。②在乾隆三十三年这一年平均每省有2.5个巡抚。有些省的巡抚走马灯一样撤换:如这一年山东有四位巡抚,福建有五位。在十八世纪中叶,一个省一年里有三十巡抚轮换并非稀奇。1768年的撤换特别频繁,部分原因是由于叫魂危机的干扰。

    虽然我们习惯于把行省官员称之为官僚,在美国的政治格局中这样的人会被称为“政治委任官员”。虽然他们中的大多数都是循着常规的升迁渠道进入行省官僚圈的(或起于掌管几个州县的道台;或出自六部的低级侍郎),但一旦升为省级官僚便标志着他们同皇帝之间建立起了一种以忠诚和依靠为特征的特殊关系。对这一群荣宠的仆人,皇帝期待他们既可信用又怀有热忱:他们不仅应准确地报告地方上发生的事件,而且应该进一步为皇上分忧解难。迭种素质比存放在吏部的人事档案记录更为重要,它关系着皇帝对他们的宠信,并因而会决定他们宦海仕途的未来。

    这一特殊关系是如何影响一个巡抚的表现的呢?他的职责中令我们最关心的是构成中国法律制度核心的一个阴暗的纽结,即一个官员在自己的辖区同时是警察、检察官和法官。事实上,就任何官员的权限而言,司法权只是从属于行政权的一个方面。在县里,知县同时拥有逮捕、起诉和审判的权力。超出仗责的案子均应移送巡抚审理,而所有死刑案则都要经由皇帝御批。

    因为《大清律例》将多种形式的妖术定为死罪,据此,叫魂案似乎应该移送省庭,并最终移送北京。巡抚则应该要求下属清查各州县的妖人,并亲自审理抓获妖人的案件。

    当弘历在镇压“邪术”一事上的压力增加时,各省巡抚作为检察官的功能就大大地超过了其作为法官的功能。在1768年,大多数行省长官都有一定的司法经验,这通常来自于将他们带人行省官僚圈的按察使一职。但他们中仅有少数几人是法律学家或声名远播的能吏,我怀疑其余的多数人在司法上并不具备足够坚定的自我意识来抗衡与其职位相随的政治压力。取悦皇帝是贯彻司法的中心环节。

    信息系统

    一个政府的有效运作取决于对信息流动的仔细掌控。对十八世纪的清王朝来说这牵涉到两个问题:第一,明确区分紧急情况和日常事务,从而使各种问题能在适当的层次上根据合理的次序得到解决;第二,确保地方官能及时而准确地提出报告。这两个问题的解决从未使弘历感到满意。①在第一个问题上,弘历从父祖那里继承了一套由常规渠道和机要渠道组成的文案报告制度。诸如税收报表、刑事审判、公共工程和日常人事调动之类的常规事务,都用题本经由掌管六部、由高层部级官员组成的内阁这一槊道送达御前。这类报告的格式有严格的规定,违反格式可以成为弹劾的理由。虽然今天的杜会史学家可以从这些“常规”奏折中看到中国人日常生活的实况,但要处理包括谋反在内的紧急机密的非常情况,这一渠道却无法胜任处置此类敏感而急迫的信息需经由机要渠道,即皇帝和各省长官之间直接的个人通讯热线。上行奏稿通常由奏告人的私人仆从或驿卒迅速而慎重地送交皇帝御前。皇帝则用朱笔直接在奏章上批示,然后再送回奏告人。这些密封的文件最后都会收回并保存在皇宫里,称之为朱批奏折。②朱批奏折是一种私人文件。除了地方的紧急事务外,这些文件还处理由官员与皇帝间个人关系中派生出来的各种问题。它们的格式比较简单(比如,奏告人头衔的复杂全称可以省略,只需简单地报告现职)。这种经由机要渠道进行的交流是一种互惠:奏告人通过向主人递进机要情报来表达其忠诚和感恩;而皇帝则应之以父执般的严厉(偶尔也有温暖)。常规奏折体现了官僚制的形式,而朱批奏折则反映了个人间的礼数。常规奏折是官与官之间的对话,而朱批奏折则是人与人之间的交流。

    ①对于通讯制度的权威研究是费正清和邓嗣禹。②根据规定,所有朱批奏折最后都要送回宫中归档,因此我们今天才能在北京和台北看到它们。

    皇帝对官员奏报的回应以及他个人的动议,也经由常规和机要这两种途径下达。常规回应通常只是形式上认可内阁的票拟,或是指示六部中的相关部门执行,或是简单地批示将该文件存档。对更为重大的事情或正式的文告则通过明发上谕,发往全国诏告天下。而机要的回应通常总是由皇帝通过“朱批”将自己的指示或意见直接写在奏稿上。写有朱批的奏稿一般通过军机处又回到奏报人手中。有时候发还的责折上写有多处朱批,这是皇帝对奏稿中具体意见的直接批示。但更为常规的做法是军机姓根据皇帝对奏稿的原始意见所撰的敕令,然后作为廷寄或字寄发还地方。“明发”是传达给官僚全体的信息,而“朱批”和“廷寄”则是迅速、机密而准确的行动文件,用以向特定的官员发出指示或提出告诫。朱批对于理解弘历在叫魂案中的作用——实际上也对于理解他在中国政治中的作用——至为关键。奏稿上的朱批文字向我们揭示了弘历在阅读来自地方的报告时的直接反应。虽然廷寄文字是由军机处的大臣或章京捉刀,但最后总是由皇帝本人定稿,并常常加上他本人的朱笔评语批注。然后这改定的文字才发还地方。接旨者因而清楚地知道什么问题是皇帝特别重视的,朱红的批示明白无误地提醒他整个廷寄所忠实反映的是皇帝本人的想法。

    江南的隐情 一些尴尬的发现

    两江总督掌管着江苏、江西和安徽三省,是满清帝国的第一肥缺和要缺。这三省的核心长江三角洲地区以及相邻的浙江省的一部分,是江南地区叫魂案的发源地。在这一敏感职务上任职的是名声显赫的高晋。他曾任河道总督,叫魂案发生时已六十二岁。若不是他的背景和关系,他是爬不到这个位置的。他出身于上三旗之一的正黄旗,与清皇室同出一旗。他的祖先世代为皇室包衣,系已经满人化的汉人。他的一个叔父是内阁大臣,一个堂姐是皇妃(皇帝因此降旨解放了他们家族的包衣身份)。不像一般旗人通过内部路线上升到高位,高晋的仕途从二十九岁时担任低级的知县开始,直到十四年以后才第一次升任省级官员。①当高晋不紧不慢地回答弘历对两江地区妖术案的询问时,他有充分的理由感到这样做是安全的。他在八月初奏报道,春天当他暂时在苏州代理巡抚时确实听到过浙江发生叫魂事件的谣传。地方官员告诉他谣言来自杭州地区,而江苏本身并没有割辫事件发生。一旦谣传者被抓获、谣言的传播遭到禁止,地方上就安静了。但是弘历的朱批显示他对这些话一句也不信:既然别省都报告了割辫事件,“江苏岂能独无其事?”江南的官僚表现差劲,而他们的“化有为无之术实属可恶”。

    ①当高晋于1779年去世时,弘历的挽诗特别称赞了他的低级职位出身。

    弘历然后把愤怒对准了高晋的下属江苏巡抚彰宝,因为根据山东获得的口供,好几个重要的妖术人犯躲藏在江苏。彰宝是一个经验丰富、狡诈并擅长暗斗的满族官僚,他从行省的职位稳步上升,因有效处理1766年山西的一个舞弊案而获得弘历的信任。当他于1768年到苏州就任江苏巡抚时,碰到了又一桩舞弊丑闻。这一丑闻牵涉到扬州的盐政。高衡是案中臭名昭著的被告,他有着令人难以下手的背景,因为他的堂兄不是别人,正是彰宝的顶头上司高晋,而他的姐姐则是以其美貌为本家族赢得自由的皇妃。正当彰宝着手处理这一棘手案件时,对叫魂案的全力清剿开始了。彰宝很快便发现,自己成了来自北京不断升温的廷寄上谕的目标。来自山东的最新情报(乞丐蔡廷章和斩贯于的口供,其中包括妖党首领的姓名)分发到了东部各省的督抚们手中。然而直到8月中旬,弘历发现他的督抚们并未根据已有的线索抓到大术士玉石和尚(江苏)和吴元(浙江)。虽然直隶和山东已逮捕了不少嫌犯(富尼汉又抓到了五个割辫案犯),但在叫魂案发源地的江南各省还不曾抓到一个案犯。

    令彰宝难堪的是,他现在不得不承认关于割辫妖术的某些谣言早在春天使已从浙江传人了江苏。因为经过调查没有发现有人被剪掉辫子的任何真凭实据,他当时觉得没有必要报告这一情况,不过到了8月初,来自苏北运河附近州县的报告表明情况变得严重起来。早在春末,安东县有个叫刘五的人剪了一个邹姓男子的辫子,现在他被关押起来。在沛县的一个市集上,据报一个姜姓的山东男子将一位杨姓农民的母亲“近身一碰”,即造成了她的“昏迷”。而在郅州,一个王姓男子藏匿在灌木丛中,然后在同去大丰的妻子搭话时剪去了她的一片衣襟。后面这两个案犯,一个被众人当场殴毙,另一个被迫逐而自杀。安东那个案犯刘五是个狡猾的恶棍:他让县当局相信,自己割辫的目的只是为了在随后的骚动中趁机摸别人的钱袋。彰宝向弘历保证他要亲自审问这个案犯。他同时派出干员赶往海州缉拿大术师明远——按照他的徒弟韩沛显的供词,明远将于8月26日到那里接头。他还指示地方官员,要严密注意据张四儒口供正躲藏在邻省安徽宿州的大术师玉石的行踪,以防他窜人江苏。

    弘历批评彰宝的表现极不妥当:那些县官怎能信赖一个小偷的滑头供词,而将这样重要的案件置之不理达几个月之久?朱批:此举不解事矣。)如果对春天的谣传积极加以调查,小民就不至于对案犯处以私刑,而会像山东那样将他们扭送官府。山东和江苏相比较吏治之优劣一目了然。彰宝在追捕玉石时未越界进入安徽是官僚渎职的又一证明:虽然在通常的刑案追捕中跨越省界显得有点过分,但对于这样的案子怎能有此顾忌呢?①为了挽回影响,彰宝兴奋地向弘历报告扬州的盐务舞弊案已查出明显的证据,不久当可结案。弘历无动干衷,斥责彰宝主次不分:盐务“不过地方公事之一,况已查有端倪,无甚棘手。若匪徒潜匿肆其鬼蜮伎俩,扰害间阎,民生之害最距要。”彰宝显然是“轻重倒置”。②虽然彰宝声称他没有放过任何线索,来自山东的情报不断将他引入一个又一个新的死胡同。他无法找到海州的三教堂庙,大术师明远据说会等在那里收集他的徒众剪来的辫子。

    ①《宫中廷寄》,第27卷,乾隆三十三年七月十五曰。彰宝急忙向弘历保证他要弹劾所有封锁今春剪辨事件消息和释放割辫案犯的属下。弘历再经思考后回答说,弹劾最好等案情解决以后再说,不然没有人再肯报告因自己先前失职而发生的事件。这里我们看到整顿官僚时一个典型的局限:对隐匿下情的惩罚只会导致更为严重的隐瞒。②《宫中廷寄》,乾隆三十三年七月九日。虽然人们可能怀疑弘历利用叫魂危机来转移人们对皇室姻亲卷入的丑闻的注意,但事实好像并非如此。高衡和其他的案犯已经被移交军机处受审,最后被定罪和处死。

    他也找不到和韩沛显所描述的那个明远哪怕有丝毫相像之处的和尚。在安徽被捕的一个流民提供了一条令人鼓舞的线索,说苏州有一个雇人割辫子的朱姓石匠。但是这个消息实际上毫无价值,因为苏州根本找不到这样一个人。最后,山东乞丐靳贯子,供中提到的那个算命先生张四儒本应躲在邳州附近的某个村庄,但这个村庄纯属子虚。不过在弘历看来,关于石匠的线索只证明了那些官员们喜欢掩盖真相。浙江的石匠们也卷入了妖术案,但可恶的地方官们试图隐瞒案情,“化有为无”。显然江苏的官员们也在玩弄同样的花招。结果,妖术案才在各省蔓延,愈演愈烈。弘历批道:“汝二省殊堪痛恨。”

    备受斥责的巡抚该怎么办?山东的口供会不会有诈?彰宝给富尼汉去信请他重审案犯。山东的案犯因此又受了一遭皮肉之苦,并改变了他们的故事。大术师吴元和通元根本不是江南人,而是北京西郊的宛平县人!根据这一惊人的消息,弘历发出了荒唐的命令。将京畿地区所有可疑的僧人都彻查一遍,不要拘泥于名字是否与口供中的相符。难道那些和尚就不会改他们的法号吗?

    以下的对话(弘历的朱批保留在彰宝8月29日奏折的字里行间)显示了这一案件成了弘历和各省之间更形紧张的关系的导火线。彰宝将小偷刘某带到扬州审讯。刘坚持他是一个无家可归的窃贼。某个药店老板魏胡子要他剪三条辫子来,每条给他一百五十钱,但刘很快就被抓获了。彰宝立刻派人去查办魏胡子是否实有其人。(朱批:扯先有此语,即系欲无其事之意,属员必卫以为妄供了事矣。”)

    彰宝:查外省咨孥之犯或有住址姓名而现在查无踪迹,或仅开姓名而井无乡贯住址。总由匪徒狡黠隐匿真线,混以游供抵饰,希图延展之计。

    朱批:此固有之。汝等尚如此,何怪匪徒?

    彰宝:此等……重犯巨魁一日不获,……而地方亦无能宁谧。

    朱批:所以督催汝等,正为此也。其奈汝等上下模棱之习牢不可破何?

    彰宝:畀任封疆凡讼师棍徒机衙蠢积贼等匪不过为害一处者,无刻不行察访,以冀肃法安良。安敢将此等奸宄邪恶稍致怠忽疏纵?

    朱批:大不是矣。将现在情形速奏来。

    追查妖术案碰到了一个在清代制度中普遍存在的问题,事实上,这也是任何一个以地方官员为地方情况主要信息来源的制度都会遇到的问题。虽然朱批奏折制度具有广泛监督的潜在功能(即一个官员会为了个人利益而举告别人),但实际上却并非如此。皇帝的假设是,地方官出于自身利益总是对手边的问题轻描淡写以减轻他失职的过失。在这种情况下,常规的监察系统(例如对税收报告的监察)变得毫无作用,因为并没有什么常规的制度可以用来审核妖术案犯的人数。

    对于罪犯的这种紧急而非常规的清剿立刻使皇帝与官僚处于掌控信息的竞争之中,使他们之间的关系更形尖锐紧张。但是皇帝并非处于孤立无援的境地。他在江南官僚机器中有自己的眼线。

    现场的眼线

    苏州织造的位置向来是由内务府的可靠官员来充任的。织造府位于政治敏感的长江下游地区的中心,织造的职责不仅在于向皇上供应奢侈的丝织品,而且也在于及时提供地方上的有关情报。其时就任织造一职的是旗人萨载(死于1786年),他出于皇族的旁支,又是将门贵胄之后。他通过满语特考成为举人。这种考试不过是方便满人进入高级职位的一种特殊政策,以当时的标准,萨载从文化背景上来说称得上是个地地道道的满人。当叫魂案发生时,萨载在江南任上已至少有五年之久,算得上是一个江南通了。有充分的理由相信他是皇帝在江南地区的最好耳目。

    可以想象,当看到萨载关于叫魂案的奏报不过寥寥数笔时,弘历有多么生气。“织造有奏事之责。”苏州人烟稠密,萨载在那里岂能毫无见闻?对于这样关系重大的奸匪扰累事件,他岂能漠然置之、不关痛痒?

    岂畏惧督抚声势,恐将地方官底里显出,致招嫌怨耶?抑以政务非其专责,遂视如隔膜,有心缄默耶?果尔,则是许织造之专折陈奏徒属有名无实,岂仅寻常雨水粮价等事,循例列牍遂可为塞责乎?①像高晋和彰宝一样,萨载现在也必须向弘历陈奏春天发生的令人难堪的妖术谣传。更为难堪的是,5月份的那些事件,即我在第一章所述及的苏州乞丐被捕和胥口镇事件,就发生在苏州,而弘历竟毫无所闻。萨载报告了嫌犯如何因缺少证据而被释放,以及地方官如何禁止百姓仅因怀疑有人叫魂便滥抓无辜。

    ①《上谕档》,乾隆三十三年七月十一日。降雨和粮价是特别敏感的情报,因为它们是民众情绪的索引,因而会影响国家的安定。

    萨载说他未听说地方官继续捕获这类案犯,但也未听说有何人真的被割去辫子。接下来他必须报告他的同僚的情况:其时督臣高晋在苏兼暑抚篆,曾向奴才言及此事。据云现在获解到案之人,县审皆无实据。至四月间抚臣彰宝到任后向奴才问及地方事务有无见闻,奴才亦曾将此事说知。据云只在严密查孥,不在出示晓谢等语,其因何不先行具奏之处,奴才实不知其固。

    弘历现在抓住了高晋和彰宝隐瞒实情的例证。他们的陈奏从未提及苏州或胥口镇的事件,只是轻描淡写地提到“谣言”。虽然彰宝直到5月13日才抵苏州就任,但他从萨载那里得知这个案件不会晚于6月14日(如果萨载是可信的话),完全来得及立刻奏报朝廷。可他当时又怎会料到这案子会变成现在这样呢?无论失于奏报是出于对此事真实性的怀疑还是因为害怕引起事端,反正弘历的怀疑完全得到了证实。高晋、彰宝两人均受到严厉的训斥。那些“是非倒置”、不许百姓捉拿妖术嫌犯的恶劣地方官员本应受到上级督抚的纠参。但“化大为小,化有为无之习,各省皆所不免,而江南实为尤甚。”弘历还写道:“高晋既习于闻冗,毫不振作。彰宝前任藩司日久,原不免沾染积习。嗣在晋抚任内,诸事尚知奋勉。意其痼习以悛。乃自调任江苏以来,故智复萌。”

    因此,所有在5月间被捕旋又释放的案犯应再抓起来并立刻移送承德行官受审(这包括苏州的乞丐和胥口镇那几个几乎被殴毙的和尚)。案犯若有逃脱,或地方官若有“教供”,一切后果均由高晋和彰宝承担,决不宽赦。

    彰宝恳求弘历责罚:他的失职导致了属下玩忽重情要案,而他本人也多少染上了官场积习。他请求弘历让吏部弹劫和处罚自己(朱批:“弹劾为时尚早,朕欲看汝有何能耐缉捕案犯。”)

    从实际出发,彰宝只能根据犯人的口供追捕妖党。要不了几天,小偷刘某的师傅魏胡子就被抓获了。彰宝亲自审问,魏胡子承认招募了刘某,但供称他本人也系受雇于原为商店伙计的某人,其人用割来的辫子和药。至此,案情变得令人沮丧。

    浙江的撇清

    永德是满族小贵族,他跻身行省官僚似乎是太容易了一点。这位皇族的旁支①只在刑部短期任职见习就发往浙江任道台,负责杭州地区沿海防务幸在任职十年无过失后,他于1765~1766年间升任省布政使。他或许是因改进行政的一些琐细建议而赢得了弘历的欢心,在1768年4月25日被晋升为浙江巡抚。

    ①清朝开国皇帝努尔哈赤叔父的子孙在他们的名字前冠有觉罗二字。他们与皇室直系的关系比宗室更远。

    山东巡抚富尼汉于7月24日左右通知永德,据蔡、靳两个乞丐疑犯供称,浙江是现今已在山东露头的神秘剪辫案的发源地,这定然使新上任的永德大惊失色。他知道,尽管当初对浙江叫魂案件的处理看上去干脆利落,没有惊动朝廷,但皇上现在一定已经知道了这个案件。永德不得不准备应付朝廷不可避免的询问。8月4日和6日,弘历的谕旨果然到达了杭州的巡抚衙门,要求永德报告情况并立刻采取行动。永德奏称,今年初春关于叫魂的谣言确实曾突然在当地流传。当时还是布政使的他立刻意识到妖术是一项严重的罪行。

    他立刻向巡抚熊学鹏做了“面禀”(当然,这是无案可查的)。经调查,很快便带出了德清和萧山的妖术恐慌事件,而这些事件的起因原来在于无知乡民的以讹传讹,误信惑听,“是以前抚臣熊学鹏未经奏”。当他本人就任巡抚后,“诚恐尚有匪徒潜行不法滋事”,因此他要地方官加以警惕。

    永德继续奏称,现在山东案件的供词揭露出叫魂妖党的首犯隐蔽在浙江。他在全省派出了便衣侦探,但未查到吴元,只找到了一个名字同音不同字的和尚,但他与妖术罪犯扯不上任何关系。而且,即使在最偏远的山区寺庙,也找不到山东罪犯所供出的张四儒(即靳贯子所供之算命先生)或其他人。永德说他将继续查处,并饬令州县认真缉拿罪犯,若有疏忽纵漏,定将严参,决不宽贷。弘历的朱批对这种空泛的保证不以为然:“不意汝竟如此无用。”

    有了这样的朱批,整个故事就必须继续下去。永德把今春以来审理过的所有罪犯——包括吴石匠、沈农夫、肖山的和尚以及县役蔡瑞——的案卷统统送到了北京。①弘历越读越生气。浙江的官僚显然在“纵恶养奸”。很明显,对德清石匠的指控不可能毫无根据。而惩罚原告(例如县役蔡瑞)是“颠倒是非”。如此一来,“小民尚何敢再首,差役复何敢拿人?”至于永德本人则根本没有理由把责任推到前任巡抚身上。作为布敢使,他就有责任直接向皇帝奏报。如果布政使仅仅报告钱谷浮词,而按察使仅仅报告刑名陈案,“搪塞敷陈,遂为尽奏事之责,又岂朕许令封函径达之本意乎?”对于这样的紧要罪犯,所有的官员都有追缉之责。那些今春被逮捕又释放的罪犯(石匠们与和尚们),则应将他们即行解往承德行官,这里的官员自有办法从他们身上榨出事实真相。

    ①我们不知道这些文件呈送的确切日期,但可以肯定是在9月1日前到达御案的。

    来自山东的进一步线索

    回过头来再说江苏。彰宝还在为小偷刘某的案件头痛,又碰到了新的问题。邻省山东的搜捕已经抓获了一大批妖党疑犯,现在又有了新的线索。巡抚富尼汉于9月12日报告说,早在7月3日,一个衙役在某县城抓住了一个形迹可疑的和尚通呆。因为充州知府还只是刚刚向他报告了这个案子,因此罪犯已在监狱里迁延了两个月。罪犯抗议说,他并不是割辫犯,而只是去直隶探望亲戚。但在直隶的询查发现他并无这些亲戚,他因此被送到府衙受审。他供称自己是在河南受的剃度,后拜了一个名叫悟成的和尚为师。悟成住在南京的一个叫紫竹林的庙里。他是一个术师,能用咒语迷药割人发辫,再从辫端设取精气,便可使纸人纸马变成“阴魂”,为主子取人财物。悟成派通呆和另外八个徒弟带着剪刀和迷药去割取为施行妖术所必需的辫子。通呆供出了他的两个受害者的名字,地方官报告说受害者证实了这些罪行。早先在逃跑的路上,通呆扔掉了迷药、剪刀和辫子,所以法庭无法提供这些作案证据。尽管如此,他的罪行是难以否认的,因为他的供词有充分的间接证据。

    所有这些现在对警觉的富尼汉来说已是一个耳熟能详的故事。他猜想这些罪犯不是别人,就是第一个案犯乞丐蔡廷章的同伙,他们改名换姓以逃避追捕。但通呆不肯承认他知道算命先生张四儒、和尚明远或其他案犯先前已供出的另几个妖术犯。富尼汉通知江南督抚缉捕悟成和他的八个徒众。江南的官员现在有了充分的线索。彰宝急忙派出干员去南京捉拿悟成,但不知如何事先走漏了风声,悟成业已潜逃。这时,一个更为棘手的案子又缠上了彰宝。

    张四儒的厄运

    江南算命先生张四儒的名字最初出自富尼汉在山东抓获的割辫和鸡奸犯乞丐靳贯子的口供。靳供称,张四儒曾向他提及大术师玉石和尚,并网罗他加入了割辩妖党。现在,缉捕张四儒成了整个江南地区官府的头等大事。因为江南官员从7月末就开始得到山东巡抚的情报,他们已经知道妖术阴谋的中心就在他们的辖区。整个炎热的8月,他们都在根据山东所获口供中提供的姓名地址无情地追缉罪犯。总督高晋向弘历报告说他命令宿州官员秘密搜查了据信为大术师玉石所潜藏的黑龙庙。虽然他们找到了一个同名的寺庙,但那里并无名叫玉石的和尚(朱批:“此何言耶?彼不可改名乎?”),也没有找到有关妖术的书籍和器物。其它地方的同音寺庙也都查而无获。高晋建议,既然勒贯子说他是从算命先生张四儒口中听到玉石的名字的,那么要抓获妖党主犯玉石便应先抓获张四儒。

    但问题是这个狡猾的算命先生既无地址,也无籍贯。他来自江南,但江南有三个省七千万人。总督高晋请求山东重审案犯以得到更确切的细节。回馈而来的口供称张来自一个名叫五乐户庄的村子,该村位于邳州城南,在苏北近山东边界的大运河附近。但当地并无这样一个村庄。虽然当地户籍上有三个人姓名与张四儒音近,但都与张的情况不符。高晋根据山东口供所做的广泛搜捕因此一无所获。

    在8月的最后一周,案情忽然有了突破。宿州知府报告说他们抓获了一个名叫张四的乞丐,他携有小刀、药末和一段辫尖。宿州在淮北,离搜捕张四儒的地方只有三百余里。虽然张四的名字和被追捕的张四儒有一字之差,并且还是一个普通得不能再普通的姓名,但那些罪证还是给了焦头烂额的江南官员一线希望。①高晋奏报说他将亲自审问案犯。(朱批:“此人即可踪迹,当设法详同,若一用刑彼反不实供矣。”)

    ①《朱批奏折》第854卷第2号,乾隆三十三年七月十五(高晋)。高晋在准备自己的奏报时显然已经接到了宿州的报告,并附于自己的奏折之后,使这个不然令人失望的故事有了一个愉快的结尾。

    弘历当然也松了一口气,割辫案中的一个重要案犯终于落网了。安徽巡抚冯钤已经奏报了宿州的斩获,并说宿州知府已经确知该犯就是他们一直在缉捕的张四儒,即山东割辫案的祸首、大术师玉石和尚的同谋。弘历再次提醒高晋不要用刑;要获得确实的口供显然很困难,但他并没有建议应如何从顽冥不化的案犯口中获得消息。相反,弘历的廷寄里充满了隐隐的压力,要求获得确切的口供。不仅如此,如果地方上不能得到可靠的结果,案犯就应严密护送到两千余里外长城以北的承德行官来。

    虽然冯钤作为安徽巡抚是高晋的下属,但他也有责任直接向弘历奏报。因此,他所居的特殊地位本应使他能首先向弘历报告张四儒案的进展。但是他显然不清楚自己的成果有多么重要:令弘历生气的是,冯的奏章是通过寻常途径由他的私人信差,而不是通过更快捷的军事驿卒递进的。因此该奏章在路上耽搁了两个多星期,直到9月6口才到达承德行宫。这份姗姗来迟的奏章报告了案犯的下列口供。

    三十六岁的张四是鲁西南运河附近的金乡县人。他和十一岁的儿子秋儿是流浪乞丐,他们以唱“莲花落”(一种乞丐唱的民歌)向路人行乞。父子俩于7月26曰来到徐州东门,碰到了一个来自胡广地区的赵三,高个汉人,五十上下。赵问他们何以为生,然后要他们替他割辫,每条五百文。他告诉他们,若用迷药,使可轻易将人迷倒割辫。赵未告诉他们辫子有何用,但给了张一把剪刀,一包迷药,然后约定以后在铜山县边界碰头。(这里根本没有提到术师玉石和尚——迄至此时,这个故事与富尼汉从山东乞丐处所获得的供词并没有什么不同。)张四说他和儿子于8月12日到达宿州的赵家楼,在一赵姓人家门前唱曲讨乞。唱完后人都散去,唯有赵家雇工费永年留在那里。张走上去用迷药迷倒了他,然后割下他的辫梢,逃走了。后来他们趟过一条溪流,他的迷药浸湿了。张在儿子身上试了迷药,发觉药已失效。不久县役赶来抓住了他们(受害者醒来后向县役报了案),并搜出了辫尖、迷药和剪刀等犯罪证据。

    冯钤奏报说,他的属下正在尽极大的努力控寻赵三,他本人则将亲自审问张四以确认他是否就是山东案犯所供称之算命先生张四儒,并进一步追缉罪魁玉石和尚。然而,就在江南的案子看来即将破获之际,京畿的官员却发现威胁正逼近京城。

    接踵而来的危机

    妖术正在向北蔓延。在这一过程中,一系列令人不安的迹象表明妖术并不局限于乡村社会,而可能牵涉到了更为广泛的社会层面。8月初,直隶总督方观承奏报弘历,妖术已经越过山东侵入他的省份。而这也是京畿所在的省份。

    一个防范妖术的案件

    如我们在第五章所看到的,有各种方法可用来防止妖术的危害,如咒语、护身符和其他礼仪上的手段。自6月份叫魂谣言从江南传播开来后,在长江沿岸到处可以听列这样一首咒人的歌谣:

    石匠石和尚,你叫你自当。

    先叫和尚死,后叫石匠亡。

    早早归家去,自己顶桥粱。

    这样的歌谣对神经过敏的官僚的耐心是一种考验,他们害怕这种防范妖术的符咒会煽起对妖术的更大恐慌。督抚们警告州县僚属,谁让这些谣言反复流传就将弹劾谁。但是小民百姓并不会理会这些而轻易放弃自我保护。不久,更为警觉的防范手段在京畿附近流传开来。

    四十岁的农夫孟士会住在位于南直隶与山东交界的景州县城附近的一个村庄。在暑热的7月18日晚上,他睡在自家茅屋的后房,而他的妻子则与孩子们睡在前屋,前门敞开着以图凉快。孟对官府说,天快亮的时候,“我身上发颤,就昏迷了。我女人叫我不醒,忽见我的辫子没了四五寸。”被惊醒的孟妻听说过,把割剩的辫子都剃净并洗一下头,就能躲过灾难(6月下旬关于割辫妖术的谣言已从山东传到了直隶。山东民间传说要防止妖术伤害,就要把全部辫子剪掉,然后用艾草、稻秸、金银花和大蒜洗头)。因此她叫来理发匠把昏迷的丈夫的头剃了并洗了头。

    直到中午时分孟农夫才渐渐醒来。不久,人们又发现另外两个同样的案子,一个是二十九岁以卖饼为生的夏葛白,另一个是十五岁的邻县男孩王然。

    妖术的警报迅速通过各村的流言网络传到了县城,张知县把被害者召到县衙门讯同。最后他的发现上奏到了承德行官,警觉的弘历命令将这些受害者立刻进北京交军机处审问。然后他们将被释放,因为把这些无知乡愚同剃发出家的和尚相提并论是不恰当的,那些不肖的和尚更容易串通罪犯。当时弘历和大学士傅恒正在承德消夏,京城的事务由军机大臣刘统勋和刘纶负责。他们检查了受害者,没有发现行为可疑的证据(除了辫子被剪掉外),于是建议将他们释放。

    但是弘历并不满意。虽然这些乡愚为防范妖术伤害而剪掉辫子不能算违反剃发令,但这些案子十分可疑,因为张知县按总督的指示亲自陪送被害者进京,而不是由手下人护送。他是否受命如此办理以便在路上教供,以掩盖他自己的疏忽、或更为严重的过错?最好还是把这些受害者由刑部官员护送带到承德来。

    于是,孟农夫和其他人被护送的承德行宫作证。大约是清洗过一番后,他们跪在大学士傅恒面前。傅恒是弘历的妻舅,他将亲自审问他们如何丢掉了辫子。弘历的这位忠心而能干的仆人是一位杰出将领的曾孙,也是一位最为康熙皇帝信赖的大臣的孙子。傅恒在1749年率军征服了金川,进一步巩固了他在朝中的地位。但他与弘历的密切个人关系是建立在一种更为有力的感情基础之上的,那就是弘历对死去才一年的傅恒的妹妹、他的第一位皇后的记忆。当叫魂案发生时,博恒还不到五十岁,但在军机大臣任上已二十多年了,弘历关于妖术案的大多数上谕和廷寄都是由他起草的。

    跪在傅恒面前的三个人正好处在中国社会阶梯的另一端。

    他们三人都坚持原供:那男孩王然,是在街上行走的时候被人割去辫子的;夏葛白的辫子则是睡在母亲家的外屋时被割的;但是孟的案子仍有疑点,目为他是睡在里屋,割辫犯进入里屋怎会不被发觉呢?孟坚持说,他妻子睡得很熟,所以什么也没听见。他对傅恒抗辩道,他妻子“若果知道,哪有当时不叫喊,直至天亮后才叫我呢?”至于弘历怀疑张知州教供一事,孟和夏都坚持说,在来北京的路上,“一路吃饭都是张太爷的,张太爷并不同我们说别的话。”

    傅恒认为孟等三人的话大致可信。王然系幼童无知,孟士会和夏葛白都是乡愚村民。虽然他们暂时剪掉了残留的发辫,但现已长出,仍旧留辫,其中似无暗通匪党情事,应照刘统勋所奏将他们送回原籍。弘历在傅恒的奏折上简单地批道“知道了”,表明他同意所奏但保留他对案子的看法。这意味着三个自行割辫者虽可释放,但大臣们却要对他们负责。接下来的几个星期将要决定的是这个案子是以平民百姓为对象的妖术案还是剃发案。前者是清律中相当严重的罪行,后者则是谋反。

    与此同时,弘历不断接到北京来的警急报告,说妖术把已潜入北京并有割辫和剪衣案情发生。虽然还没有罪犯被捕获,但他们活动的证据却源源而来,每天都有新的受害者。许多人受害严重,当场晕倒瘫痪在地;其余则失去知觉直到辫子被割。有的人甚至整条辫子被偷割,还有的则像孟士会那样自己割掉剩下的辫子以避祸。不论是受害人还是旁观者谁也没看到妖人。在最近这些案子中有两个涉及到妇女:一个车夫的妻子突然被入迷倒并被割去衣襟。另一个是兵丁的妹妹,她晚上和母亲睡在一起时被人剪去头发,扔在后院。虽然“不甚昏迷”,但她抱怨说她“但觉心中发恋,情形尤为可异”。为了保护自己,许多住家都在门上和墙上贴上了防妖术的符咒。紧张的民众又因有关“怪虫”的谣言变得更为惊恐。据说这种怪虫来自邻省山西,能咬人致命。许多公共场所都张贴了匿名人所画的这种虫子的图像。北京市民们还传阅着预言饥荒、瘟疫和鬼怪横行的传单。

    弘历的第一个反应是如果罪犯能在北京出入无忌,那么由托恩多掌管的北京巡防卫兵就是饭桶。他写道,北京人烟稠密,入夜以后街道都有栅栏设防。如果这些恶徒能自由出入,迷人割辫,那卫兵和栅栏有什么用?不仅如此,他的私人情报告诉他许多受害者都是在易于受害的情况下被剪去发辫的,如在偏僻的小巷面壁解手时。如果北京的卫兵确在履行职责,这些罪犯怎可能逃脱呢?托恩多的职位相当于提督,他到底在做什么?

    应付这些情况的最好办法是在提升戒备的同时加强克制。街道的巡查要加强,同时民众的情绪要安抚。地方当局对谣言应处之漠然,不要去讯问受害者,甚至不必要求每个剪辫事件都报告官府。门上贴符咒虽属愚蠢,但不必管它。弘历提醒道,如常言所说:“见怪不怪,其怪自败。”

    至于怪虫的谣言则是另一回事。这显然是恶徒所为,目的在于乘妖术恐惧之危。保安力量应追查缉捕那些印发图像传单的人。同时,北京的军机大臣奏报承德向弘所保证,由于加强了戒备,北京的剪辫案已渐减少。弘历批示:“此非潜踪所可完事也。今热河亦渐有之,大家不可不上紧严缉。”此时,妖术正悄悄越过长城,进人满人的家园。

    河南的执法

    鉴于京畿周围的事态发展,也许还因为据报湖北发生民众大恐慌而感到震惊,弘历在热河行官的辅臣建议在地处要冲的河南做一次大规模搜捕。弘历表示首肯并让军机处发谕旨给河南巡抚阿思哈。这个善于逢迎又庸碌无能的旗人立刻行动起来。①他奏报说,确实,关于妖术的谣言早在7月中就传到了河南。他曾经口头命令省按察使让各州县保持警惕。几天以后,有三个人在黄河北岸、安阳古都附近的彰德府城被剪了辫子。他们当时并没有觉得什么,只是事后发现辫子被剪。虽然人们相信被害人会丧命(三人都说他们感到头晕发抖),但他们后来都没事。据说用朱砂、雄黄、鸡血(朱砂鸡血的蘸色都是象征好运的红色,在丧葬时可以用采抵御秽气)来清洗割剩的头发就可以避害。

    阿思哈的手下不知这种说法“起自何处”,也没有逮到任何罪犯。

    ①阿思哈(约1710~1776)的仕途经历可以告诉我们满洲贵族是如何让他们的平庸之才得到行省高位的,尽管他们的无能众所周知。阿思哈出自上三旗(此三旗直接依附皇室,君主对他们寄托客特别的信任)。1726,可能在十八九岁时,他在北京一个专为旗人子弟开设的官学学习,并直接从内阁得到一个中书职位。在京城官场低级职位上见习以后,1745年他被派往甘肃任布政使。四年以后,他升任江西巡抚的高位,据说他在任上的一些改善军事训练的琐细建议赢得了皇上的欢心。第二年他调任山西巡抚,在那里他强迫受灾地区的富户缴纳“赈济”款给地方官府,从而毁了自己的前程。山西的地方士绅的公愤显然影响了弘历,他非常愤怒,指出阿思哈的做法是“卑鄙错?”的,“不胜巡抚”。他被撤职,改任吏部员外郎。到1755年,他以布政使衔派往准噶尔军前经理粮运。一年之内,他以军功受荐,在1757年再次成为江西巡抚,回到了十一年前开始担任此职的地方。三年后,军机处的调查确实他受贿和勒索,判他绞刑,但是弘历很快给他减刑,让他以三品顶戴去乌鲁木齐赎罪。两年以后他再次升到巡抚的职位,先在广东、然后在河南任职,即我们现在看到的他的职位。后来,弘历认为阿思哈的一个奏章愚蠢可笑,终于认定他缺乏旗人的勇气、诚恳和纯正、并不能指望他会有所改变。于是,他被贬往伊犁赎罪。四年以后,他被召回北京在军机处幕僚任职,并很快改任都察。1775年他被派去协助镇压王伦起义,因胆怯而受到谴责,再次受辱,但被允保留职位。同年,弘历赐予他在宫中骑马的特权(这一荣誉通常只赐予年高而杰出的京城官员)。1776年他代理吏部尚书,旋改任漕运总督。同年底去世,谥“庄恪”。参见《清史稿》。

    不久,在邻近的汤阴县,一个申某在路上碰到一个和尚问路。回家后发现自己的辫子被剪。因为这和尚是他碰到的唯一陌生人,自然是最大的嫌疑犯。一群村民在县役带领下抓到了罪犯。他们发现他的扁担尖上挂着十余条用头发编成的辫子,每根有六七寸长。申某的发辫不在其中。巡抚阿思哈怕案犯逃脱,命令将他解到开封省庭,亲自对他进行了刑讯。

    和尚的法号叫海印,俗姓任,家住黄河下游五百里处的徐州城西门附近。他十五岁在当地上兴寺剃度出家,拜性元和尚为师。师父死后,他成了游方和尚。他否认割辫和从事其他邪术。那些挂在扁担上的头发是他前些年收集来的。在反复审讯中他坚守自己的口供,说如果那些头发真是偷来的,他怎么会把它们挂在扁担上呢。阿思哈报告说这个和尚十分狡猾。在扁担头上挂短绳并不奇怪,但这个和尚为何要用头发做短绳呢?罪犯只是一味咕哝:“并非偷剪。”和尚日复一日地受审,但始终咬定不认。阿思哈非常怀疑,他写到:“此等奸徒偷剪发辫,应有首谋主使之人。必须严加刑讯,方得根底。”但是,这和尚历经审讯,已是形容委顿。“若急用刑夹,恐或致毙,反至无可根究。”(朱批:是)阿思哈让地方官继续在各州县仔细搜查,并将察看情形,再继续刑讯案犯。他还奏报道,河南的割辫案仅限于彰德和开封地区,民间的恐慌已平息下来。“臣缘正犯未经就获,即所获之僧,亦未经确供,是以尚未具奏。”弘历发回一封紧急旨谕说,碰到这种情况用刑只会坏事。

    “此等奸徒,类多诡异,虽踪迹显然而事发到官,每每茹刑狡柢,希图毙于夹仗,转无从得其底细。”而各地“奸匪鬼蛾伎俩大略相同”。因此,阿思哈应继续审问,但“不可徒事刑求”。同时,应“不拘僧道人众”继续搜捕妖党疑犯。在重刑之下,海印挺不住了,他的故事混乱起来。缉查人员发现徐州既无上兴寺,亦无任姓居民在西门附近居住。海印现在改口说他是河南永城县人,但阿思哈奏报道,他仍“狡赖”,不肯说出所居住的寺庙。然而他顽固地坚持自己无罪,只是说“于我担头查有辫绳,就是我该死了”。这样的抵赖无非是为了“庇伊伙党”。阿思哈说审问本应继续,但是“该犯适患时气病症,兼有疮发,饮食亦减,难以审讯。现饬选医加谨调治,容侯痊日再行严究”。此外他已命令所属各地方官加紧搜查嫌犯。“但得续有弋获,与该犯互质,究其根底似当较易,现在尚无缉获。近日亦无被剪发辫之人。”(朱批:“京师此风未熄,而热河亦有之,岂汝省独无耶?足见汝不实力严缉,大不是矣。”)

    仅仅在直隶一省,官府便接获了十七起剪辫案的报告,抓住了三个嫌疑僧道。阿思哈说剪辫案在河南已经匿迹显然不可能。弘历回答说:“此语不实。”这是弘历的帝王手段,暗示除了官僚系统以外,他还有自己的其它情报来源。在这样的淫威下,阿思啥不得不想方设法从海印口中榨出东西来,尽管这个狡猾的和尚并不合作。虽然海印一味抵赖,但证据很明白地摆在那里。可麻烦的是他的病情日甚一日。医药已不起作用,海印躺在那里奄奄待毙。阿思哈小心翼翼地奏报道:“此等害民奸匪人人痛恨。若听其庾毙狱中,既无以彰国法而快人心,且愚民无知间有讹言。”惊恐愤怒的民众会把海印的失踪看作是官府的失控,或对妖术漠然置之。所以,“宜显戮以释众疑。兼使奸徒戚知鬼域伎俩终难悻进。”阿思哈因而“不揣冒昧,……恭请王命,将该犯押赴市曹正法,悬首示众”。

    这样不仅海印解脱了痛苦,阿思啥也得以摆脱困境。让一个囚犯瘐死狱中只是行政上的小小过失(对巡抚来说只是一点罚款而已)。但是,让海印这样的重要案犯死掉而没有获得他的口供,则意味着主管官员的无能或隐瞒真情(比如,人们会怀疑案犯可能供出了一个大阴谋,但地方官员们长期以来一直被蒙在鼓里)。阿思哈的建议是以巡抚所拥有的迅速处决罪犯的权力为依据的——虽然这种权力通常只用于谋反叛乱。在这个案件上,把一个奄奄待毙的和尚拉到市曹斩首示众是一种强有力的信息,表明了国家镇压妖术的决心,虽然罪犯并最有口供认罪。但是,这并不是弘历想得到的结果(朱批:“更不成事矣!”)。

    河南的斩获如此之步,这使得弘历不能不怀疑阿思哈的属下有另外一层隐情:他们一定对巡抚有所隐瞒,为的是绕开麻烦或逃避对他们自己早先疏忽的处罚。处决海印后,阿思哈显示出了热忱,报告了省内发现的十六起割辫案件。(朱批:“果不出朕所料。”)三个形迹可疑的和尚被逮捕,但未发现任何可信的犯罪证据。全省的搜捕使民众确信了官府的决心,现在客店和寺庙都拒绝游方和尚入宿。阿思哈奏报皇上道,即便如此严厉的措施仍未收到效果,这是因为这些罪犯都是妖人,“行踪诡秘,出褴不常,必有隐身邪术,故能肆行其恶,使人人莫得其踪。”(朱批:“此何言耶?有此理乎?汝存此心,无怪属员缉拿不力且欺汝!”)。

    阿思哈谦卑地回奏说:“诚如圣谕,其中自有阴谋不逞之犯。”(朱批:“无用废物!”)阿思哈说:“臣至愚。”(朱批:“竟是至愚。”)阿思哈接着说省科举考试时(考官)例用蓝笔,但他带着墨笔以“备缮折奏”,随时报告妖术案情。(朱批:“有何关系!”)不管怎样,弘历十分生气,在这种紧急情况下,阿恩哈应该让布政使代理考试事宜。阿思哈“平日尚属实心办事之人,不意其亦染外省模棱恶习”。至此,清剿在皇帝和官僚之间已变得如此敏感,以至于官员的无能本身也成了目标。

    阴谋的升级

    整个8月,弘历在承德避暑山庄收到了一大堆关于妖术的互相矛盾的消息。案情从南方蔓延到北方,又从北方发展到西方,案犯行动之迅速远远超出了各省督抚们的反应。虽然抓获了无数嫌犯,但弘历知道他们都是来自社会边缘和底层的和尚和乞丐,为隐匿的妖党首领所雇佣。到9月初,弘历已经确信,妖术威胁并不仅仅限于地方社会,很可能也是冲着王朝本身而来。由于大臣们的建议,他宽赦了农夫孟士会等人。但是,民众可能会因此认为被割辫后可以连根剪去辫子以避妖祸。那么,接下来会是什么呢?

    9月7日,弘历给七省督抚发出了一道上谕,终于将剪辫妖术与剃发联系起来。他指出,迄令为止所有抓获的罪犯显然都是一个更大阴谋的工具。一方面,阴谋家们雇募乞丐和流浪汉为他们偷辫子,而不告诉他们这辫子作何用。关于叫魂和造桥的信念固然属于“荒唐不经”,这本身就应受到严厉的追究。但是有谁能说剪掉整条辫子以避祸的谣言不是妖人奸党制造出来,以便让人们在惊恐之余剪掉辫子,象征性地和满清王朝作对呢?妖人们自然知道,男子“留辫一事系本朝制度,剃去发辫即非满洲臣仆”。然而,此等不轨之徒大抵不在北省而在南方,“其人非系奸僧即读书先志之徒”,其罪恶亦甚于割辫匪徒“不啻什倍”。虽然江浙地区为此案发端之始。但湖广“人心狡险,索尚左道邪术”,尤恐逆犯潜匿其间。该数省督抚务必将逆犯搜寻出来。

    不过,搜捕妖人的方法与通过士兵和巡卒追缉割辫匪犯不同。搜捕妖人当严密查访,不露主角,以免奸逆闻风避匿,更难搜寻根线。弘所用他在讨论要事时才喜欢用的语句结束了他的瑜旨:“勉之,慎之。”这样迫切的言词在仅仅讨论妖术问题时不曾出现过。行省官僚中无人怀疑清剿正在升温,而清朝的底蕴也发生了变化:它所涉及的不再仅仅是妖术,而是谋反。

    救世的追求

    与此同时,在直隶省荒原通往蒙古的路上,民众也受到了妖术恐慌的影响。我们无法知道这种恐慌是产生于对妖术的恐惧,或是受惑于剪辫的反满暗示,或是出自于对朝廷控制明显减弱的担心。但是一些人已经急急忙忙地在为世界末日做准备了。他们属于民间佛教的一支,叫做无为教,也叫做收元教,这个名称与相信世界末日将临的千福年信仰有关。这个教派的始祖据说是罗清(活动于1509—1522年)。该教一直为官府所禁。

    但现在被一个名叫孙嘉谋的人复活了。这一教派应归人“诵经派”,他们吃斋守戒,通过早期教派领袖传下的宝卷寻求拯救。

    在北京西北两百里处的保安州(今涿鹿县),一一个邪教信徒供称孙嘉谋“造作逆词”,意欲重兴邪教。省按察使亲自前往调查。弘历立刻警觉起来,发密旨命将所有案犯绕过省法庭,直接解往承德审讯。①整个法律机器迅建地转动起来。一个星期后,承德的军机大臣们向皇帝报告了他们对保安邪教徒审判的结果。邪教主崔有法宣称,他从明代的普明那里继承了五个字(普福养显德),作为教徒取名次序。孙嘉谋于1750年入教,法名显富。崔有法于1753年被保安州拿获,在具结改过后被释放。但在暗中继续奉行邪教,并称有普光老母告知他人间祸福。②他并假造“金丹蜜酒”当药出售。近年来,他的门徒孙嘉谋编造字帖,写入“逆词”,计划在教徒中散发。在刑讯中,孙供出这些逆词有两段:“前半段是说崔有法种种骗钱的事”(可能是以攘灾为名向人敛钱),后半段是普明所传下来的“九莲赞”。阴历七月间,崔有法听说外面有剪辫之事,就劝众人禳解以消灾。伴随政朝换代而起的暴力意味着混乱和百姓的灾难,也是邪教复兴教派和吸收教徒的机会。,当教徒在保安城散发字帖时被官府差役抓获,接着官府又抓获了替崔有法敛钱和收藏经卷的人。

    ①《上谕档》,乾隆三十三年八月九日。这是一份给军机处的机密的宫中旨令,廷寄则发给直隶官员。保安属宣化府,故文件中有时说邪教发生在宣化。②“祸福”是清律中用语,指的是对重大政治事件做非法预言。

    审判官建议以“大逆罪”对案犯从严惩处:崔有法和孙嘉谋凌迟处死,他们的主要门徒或者斩首,或者杖责流放;鉴于该州民众为邪教所惑,“几于牢不可破”,应将崔孙等传首示众,以昭炯戒。在第九章中我们会看到十五年前对崔有法从轻发落的官员也受到了惩处。

    弘历对保安邪教的无情打击是他9月7日谕旨所得结论的自然延续。在他看来,叫魂妖党故意挑起剃发所包含的意象问题,意在谋反。从逻辑上来说,邪教对割辫棠的反应正是割辫妖党所期望的。不管叫魂妖党的策略是什么,事实上保安的邪教徒很有可能是把割辫的威胁看作是末世来临的征兆。民众对改朝换代以及随之而来的自然灾害的恐惧正好被崔有法和他的教派所利用。犬恐慌的因素猖獗肆虐——至少对身处承德的朝廷来说是如此。蔓延到京城和各省的妖术已使朝廷为之震动。

    第七章妖党的踪迹

    到了初秋,弘历已将蔓延到华北的割辫妖术看作对满清王朝更为广泛的威胁的开始。一旦意识到妖术背后的政治危险,他便开始对那些迄今还未发现妖术的省份发出警告,以便控制妖术的蔓延。9月22日,他给山西和陕西两省的逃抚发出上谕,敦促他们严密戒备。弘历写道,妖党“用药迷人偷割发辫之事”起自江南,渐次延及山东、河南、直隶数省。京城地面已发生数起,热河亦“间有犯者”。现在直隶查拿严紧,那些奸徒“畏惧潜逃”,“知山陕尚未查办,(奸徒)就近窜入亦未可定。”

    妖术西行

    陕西巡抚明山精明圆滑。虽然这个皇室的旁支当巡抚才七年,在此之前他在省行政的中层已任职七年。他有恰当的分寸感,1762至1763年他在亚热带的广东任巡抚时,曾建议朝廷容许当地的地方官不必穿戴厚重的绣蟒官服跪迎省府官员。他对陕西的风土很熟悉,当妖术危机发生时,他任该省巡抚已经五年(除了当中曾有一年在长江流域任职)。

    明山在10月3日奏报说,山东妖术案刚发生他就听说了,并密令地方预为防缉。因乡村集市易于“藏奸’’,所以他饬令地方官派员选役密切观察。在10月18日、19日和20日,有三人报案说他们在街上被生人偷剪了辫子,其中两人是附近兵营的兵丁,一人是学童。但是县官检查了他们的辫梢后,井未发现被剪的痕迹。明山本人也传唤了报案人并亲自检查了他们的辫子,发现辫梢完好无损。

    经进一步讯问发现,学童郭兴利因在街上贪看戏法误了上课,惧怕先生责罚,跑回家对母亲谎称辫子被剪。明山因其年仅十二,故免于深究。至于那两个兵丁,他怀疑其中一个是为了找借口延期还债,另一个则是为当值班期迟到找借口。明山认为他们两人都应杖惩,但考虑到“小民未识其故,或有实在被割办不举报”,所以决定放他们回去各交本营管束惩戒。

    另外两个案子则值得注意。一是民人刘德因恐“被割受害”,要剃头匠陈起风替他割去辫子以避祸。虽然这个人“甚呆蠢”,但他的行为实属“滋事惑人”。另一个棘手的案子牵涉到一个七岁的孩童赵王保。他在剃头匠王福有的铺子前玩耍吵闹。王适闻前一日有割辫之事,就恐吓说要割赵的辫子,赵不理,王就上前用剃刀割去赵的“些许辫梢”。赵害怕起来跑回家告诉其母。县府派员调查并将王福有拘拿。知县审查认为其中并无别情,但省按察使命将王送省审讯并施以夹棍。王坚持原供。官府搜查了他的铺子亦未发现任何“不法之物”。巡抚明山亲自审问了案犯,认为王的所为只是一个玩笑,但在这样的时候开这样的玩笑即是“滋事不法”。王因而同刘德和陈姓剃头匠一起被枷号示众。明山奏报说,自此以后十余日寂然无事。他“益将督率密查”,“断不敢少容松懈”。(朱批:“恐属空言,不可不实力,慎之戒之。”)

    运河上的妖术

    9月7日,河运总督杨锡绂随船停泊在山东西北的查盐都司,在那里碰到了一桩叫魂案。在一个运粮船帮自北方空返途中,旗丁周某向船帮千总报告说,他的侍女在8月21日“被乞婆剪去衣角一块,当场昏迷,经医治才苏”。2日,她又“被乞婆上船剪去夹衣一角”。这次罪犯被拿获,并从她身上搜出剪刀一把,衣角一块,看上去与侍女被剪部位相符。案犯及证物被送交德州知州石之坷。石审讯案犯后,向杨锡绂报告了以下案情。乞婆供称她夫姓张,本姓王,来自邻省直隶的吴桥县,现与儿子张银和儿媳王氏同住景州玉采庄。张王氏年七十二,以乞讨度日。“有个翟狗子看见小的,许给小的一千钱,要割十个女人衣襟写他。”张王氏供称她已割了两个女人的衣服,包括周姓旗丁的侍女,她就是在那时被抓获的。她还供称:“翟狗子给了小的一包药。叫捏一点放在口里一喷,那人就不看见。还剩下些药,塞在玉泉庄道上车棚墙孔里。”翟狗子也是吴桥人,此外张王氏还说了另外两个是桥人的姓名和住址。

    差役立刻赶往景州去查缉张王氏供出的人名,但一无所获,也没有找到她所说的迷药。不过他们把张王氏的儿子张银、儿媳王氏及其孙小黑带回了德州。五十一岁的张银说他母亲借住在隔壁的韩寡妇家,与一李婆子同住同讨饭吃。他对母亲的犯罪情事一无所知。重新审问后,张王氏说昨天她所供的人名都是捏造的,这次她供出了七个名字,说他们同属一伙,都是剪辫子的。“他们原在泊头一带做事,听见总爷拿人,都惊散了。”剩下的药可能让小孩拿走了。这一次差役们又白跑了一趟,没有找到任何切实的证据。张王氏的讨饭同伴李婆子也有七十多岁了,她供称知道所有割衣襟的勾当,并且试用过迷药。问她是谁给的药,她则“随口混供”。知州见两位老妇“眼色俱有邪气”,前言不搭后语,遂命用“香火烧颊”,再灌以甘草朱砂汤烧朱印黄纸灰。一会儿,两犯醒了,于是将她们分开审讯。李乞婆供称迷药是本村庙里的两个和尚给的。当两个和尚被带来审问时,他们说“平日只知念经锄地”。张乞婆的供词也被拆穿了,因为当四五个衙役被叫来排成一行时,她竞将其中的一个指为翟狗子。

    虽然知州的报告表明此案充满疑点难以相信,杨锡绂别无选择,只能对案情紧迫不舍。和其他督抚官员一样,他也受到来自朝廷的巨大压力。他因而向山东巡抚富尼汉详细通报了情况(案犯已经押送到富尼汉那里去了),还向张乞婆供词中提到的所有同伙所在州县发出了通报。弘历也确实对此案的细节深感兴趣。他对扬锡绂奏折的批语表达了他对案情的怀疑:此案背后”必有深谋远虑之人,不可以寻常谣言视之”。

    作为德州知府的上司,山东巡抚富尼汉当然也收到了石知府关于张乞婆等偷剪衣襟案的报告。由于他正忙着其他的案子,便命人重新审讯了两个老妇,结果两人都翻了供。张乞婆说,她去那条运粮船只是为了乞讨,但船丁的侍女突然叫起来说自己衣襟被剪掉了,人们于是把她当作嫌疑犯抓了起来。审讯的官员们实在找不出什么犯罪证据,甚至认为那块割下的布片是栽赃。富尼汉决定把案犯调来亲自审讯,但手下人报告说张乞婆刚刚病死在县牢里。

    不管案情多么荒唐,富尼汉还是盯着两个老妇的原供和她们所供出的那些同伙不放。在朝廷的压力下,他只能对案子追踪不休。他向弘历担保,自己已将该案涉及到的一些人名通知了邻省直隶,根据张乞婆的供词,这些人就躲在那里。但富尼汉的勤勉并未给弘历留下任何印象。在一份上谕中,弘历问道,为什么富尼汉没有亲自比较一下从张乞婆布袋里搜出的布片和被剪的外衣?女人的衣服是特别容易辨认的,根据颜色的深浅,布料的长短以及“布帛之粗密”应能够很容易辨出证据的真伪来。如果他身为天下之主尚能注意到这些细节,一个认真负责的官员又怎会没有想到这些呢?在承德当值的军机大臣傅恒和尹继善密切关注着此案。他们注意到杨锡绂原奏中提到的两个和尚没有出现在富尼汉的奏折里,就起草了一份上谕给山东。“既然这两个和尚为该案嫌犯,就应上紧严查”,富尼汉怎能轻易放过他们呢?富尼汉的回答是,虽然张乞婆原供中曾提到过他们,但她随后就翻供了,进一步的调查则证明这两个和尚井无犯罪嫌疑。至于衣服,则明显地是被锋利的剪刀剪过的,而张乞婆的那片布则不是;而且,布的剪口曲折弯环,显然不可能是在匆忙仓猝间完成的。尽管有这些“疑点”,富尼汉还是不得不向承德行官奏报了所有涉案人的姓名。

    我们无法知道是否对两位老妇用了刑,法律的规定是不准对妇女用刑的。她们的糊涂和昏迷在档案里有明确的记录,而张乞婆的瘦死狱中则透露出狱卒并没有因她们的性别和高龄而待她们好些。

    她们的供词虽然在许多地方被拆穿了,但仍提供了新的、被看作很有价值的线索。相应地,七个新的名字被列入了缉捕名册。

    对嫌犯的围捕

    至此为止,浙江的官员还未抓到一个名副其实的妖党,尽管这里是妖术案的发源地。但永德在经历了两个月来弘历朱批的压力后,至少已找到了一种说得过去的办法来从事这场清剿。

    他在10月4日奏报说,浙江已逮捕了许多嫌犯并对他们进行了严厉的审查。寺庙和朝圣场所都派出了巡兵和差役以缉捕嫌犯,许多州县已经抓获了一批。从弘历的朱批已经停止对永德的苛责来看,这样的成绩显然使他感到满意。让我们对永德在浙江的清剿稍作考察,看一看他用以对付剪辫妖术的办法以及他所缉拿的各色人等。

    9月30日傍晚,永德离开了乡试考场,第二天就会同省臬藩两司及绍兴道台去审讯罪犯广参。这个游方卖卜的和尚没有固定落脚的寺庙,因面目可疑并携有符书而被捕。他说,本年3、4月间他借住于觉皇寺僧人德操处,在那里看到一本占病符书,便说服德操将书借给了他。德操还给了他二十余张“镇宅保蚕之符”。广参否认做过任何为匪不法之事,并且显然说服了他的审判官。然而,圆滑的永德又向弘历报告说,广参“所携符书均属荒诞不经,亦有应得之罪”。遵照弘历若剪辫案犯经“反复推求,审无实据,可随时省释”的上谕(引用弘历9月14日的批复)。永德只将广参和德操(亦已被捕)两人定了“藏匿占验推测妄诞不经之书、不行销毁”之罪,将两人杖一百,并送回原籍,严加管束,不许出境。①永德报告说另一个罪犯是道士王大成,他供称是浙江西部严州府桐庐县人,以堪舆风水为业。因无生意,即“假扮道士,描画纸符”,采用“九老仙都金印”六字②及五雷镇法术戳,各刊刻一个盖用符上,“捏称可镇宅保蚕,骗取乡民钱物”。当地的道纪司证明他所用的符印确系道士通常所用之物。虽然王大成坚称他并无剪辫迷人邪术,永德仍依照“阴阳术士妄言祸福例”,③对他“杖枷发落”。

    ①改条例(《大清律例》162.04)也禁止《地亩经》之类的书预言自然灾害。弘历曾在1744年将此书列为妖书,因为自然灾害被认为是王朝崩溃的征兆。②在道教神话中,神仙都住在汪洋中的一个岛上。③这里,实际上不应是“例”,而是“律”,为《大清律例》第178条,属“礼律”。王的案件并不十分适用这条律,因为该律讲的是术士“在官员的……宅邸内”作法。这条律特别将“根据五经预言未来”的行为排斥在外。1646年,清廷对这条继承自明律的条文做了注解,强调预言“祸福”严格来说是个政治问题,因为它关系到王朝的合法性和长远命运。

    永德还殷勤地奏报道,案犯曹子云“系仁和县人,求乞度日”。本年春天他行乞到苏州时患了病,“因辫内生虱,旋即剃去”。到了夏末,头发长出后重新蓄发。永德“因各省剪辫匪徒现有恐喝愚人连根尽去之事”,觉得曹所言难以相信。但是“再四穷研”,曹仍然坚持他的所为与剪辫妖术无关。“该犯现在患病沉重,已发令地方官交属收领调理管束”。

    永德名单上的下一个罪犯是和尚通元。这是个更为复杂的案子,因为案犯的名字和山东供词中所提到的妖首同音。通元俗姓曹,在各处化缘度日。他不仅形迹可疑(“似痴非痴”),而且身上所刺文字亦可疑。他胸前刺有一个“?”字(他说见过佛像上塑有此字),右臂则刺有“西方接引”。他的化缘贴内则有写着令人堆以理解的“山东礼佛嫩搜搜”等词语。看来终于找到了与山东有关的案犯。经过讯问,和尚说这些字是嘉兴的一个刻字匠金某替他刻写的,其中山东两字系同音字三冬的错写(南方人发音没有翘舌音,故“三计与“山”不分);同样,嫩在南方口音中与冷也是同音(许多长江流域地区的居民讲话n与1不分,也无后鼻音ng)。通元坚持说这段话实际上应为“三冬礼佛冷嗖嗖”。他写这句话的目的是使人怜其苦志,乐于施舍。至于说他的可疑的名字,他说他的名字是化缘的“缘”,而非“元”,即山东剪辫犯蔡乞丐所供之名字(通元)的那个元,他也从未碰到过蔡乞丐。

    但是令人极为怀疑的是嘉兴根本就没有姓金的刻字匠。和尚又供说这些字是他自己写的,于是叫他当场写对笔迹,他又不会写。永德注意到,“三冬”两字并非探文奥义,何以写成“山东”?

    “冷”尤其是个常用宇,又何以写成“激”宇?所有这些都令人甚难相信。总之,这个和尚“并非善类”。(朱批:“将此人严解来京。”)

    可以想象这些衣衫不整的流浪汉与审判他们的官员之间的文化差距有多大!当永德和他那些穿着锦缎官袍的同僚们面对民间宗教的日常用语时,显然非常吃惊和困惑:谁能保证这些怪诞的语句不是用来掩盖妖术和反叛的密语暗号呢?那些出现在法庭上的文盲和半文言们日常所使用的错别字一旦被象形会意的书写文字所解读,就很可能被看成是一种秘密语言——如果不是别有意图,谁会把冷写成嫩?

    不管怎么说,官方体系拥有充分的手段来对付形形色色的异端。《大清律例》中有的是各种各样的案例,如果必要的话,足可以将任何民间文字定为异端和非法。持有这些文字材料便是一种罪过,更不要说写下这种文字了。这样的禁条可以有选择地用来对付那些没有其他更严重罪名可套的社会边缘分子。到了最后一步,《大清律例》还有可以一网打尽所有嫌犯的第三八六例:“不应为,重。”犯者为此可受到重笞。永德在浙江的围捕显然使他得到解脱。他的详细奏报没有再受到朱批的苛责,相反甚至得到了略带赞许的批语“知道了”,这比起都个毫无表情的“览”字要进了重要的一小步(“览”字是弘历用来批示最无聊奏折的用语)。毕竟,永德已经尽了力了,他亲自审问了许多案犯,并把一个嫌犯送到了北京,在那里军机处会设法让案犯开口的。①两心相悦的奸情弘历变得越来越不耐烦,他教促湖广的官员要特别警惕,因为那里的居民“人心狡险”,索尚“左道邪术”,很可能让逆犯潜匿其间。正如他所料,一个月后从湖南发来的奏章报告道,在祁阳县发现有传贴,预言灾难。更有苗头的是,一个三十岁的游方和尚觉性和他的四个同伴因剪辫嫌疑被抓获。在觉性的身上搜出了一个红绸包,其中包有一络头发和两枚明朝铜板。经地方官员审讯,觉性供称有个叫茂远的和尚教过他如何用人的头发和旧铜钱一起施展魔力诱骗妇女。但他抗辩说,他只是应人请求才会为人剃发。湖南巡抚方世携命令将一干人犯解往省府长沙严加看管。

    ①对和尚、乞丐和其他可疑人物的同样围捕也在江苏进行,由备受折腾的高晋和彰宝直接指挥。这一次,他们用大量名字和细节来堵住弘历的口。

    时任湖广总督者为定长,这是一个经验丰富的满洲官僚,在行省督抚的职位上已有二十年。他是皇室的旁支,其父又是弘历特别信任的一个总督,所以他在满洲上层权贵中地位稳固。当他接到诡诈的和尚觉性的供单时,便觉得将这样一个敏感的案件完全交给下属湖南巡抚来办不妥,因而决定立刻动身去长沙与方世携“会办”这个案子。由于这个谋反案的案情重大,定长和方世信会同省按察使和地方道台在省府大堂逐一审查了案犯。而在承德行官的弘历正引颈翘首等待着审讯的结果。

    但是和尚觉性让大家都吃了一惊,他推翻了原供,说那是他畏刑妄供。这次,他说出了以下的故事:觉性因写师友争吵被逐出庙门,遂在湖南南部流浪募化。在府城衡阳他投宿在刘三元所开的客店。刘的年轻老婆陈氏为他递送茶饭,故尔相识。他后来又来住店,成了刘家的好朋友,刘的父亲还曾借给他一千钱。某天,他与陈氏调戏成奸,但无人知晓。本年正月,他去刘家拜年,与刘三元发生了口角。陈氏吓坏了,叮嘱他离去后不要再回来。觉性遂向陈氏讨一信物,陈氏当时未给。后来,觉性要一挑夫去刘的客店代取陈氏为他所做之布鞋。陈氏即剪下自己的一络头发,缚上两枝铜钱塞进从自己衣襟上剪下的一块红绸里,然后把这些东西塞进布鞋交挑夫带回。觉性即将这些信物一直带在身上。

    审判官们将信将疑,他们把所有涉案者带来审问。有一个疑点是,这络头发里有两根白发。不太可能是来自一个二十多岁的女子。然而,陈氏被带到堂上,跪在巡抚的面前解开了头发,经查验她确有一缕头发被剪,稍短数寸,且此络发根内恰有两根白发。不仅如此,经过反复讯问,陈氏坚持觉性未曾对她用过迷药,她之委身于觉性是两情相悦。

    官府的判决是,所有嫌犯(包括那些张贴传单者)都不是真正的剪辫妖党(手里握着这样有价值的证据,本来应该是很容易讨好焦虑的弘历,让他感到满意的!)。和尚觉性按“和奸有夫之妇”律,“杖一百徒三年”(他的罪行因妄供别人授其进药而加重——虽然是因畏刑而妄供)。陈氏被判枷号一个月,但允许折赎。本夫刘三元有权决定陈氏的去留。觉性的同伴均无罪释放。

    到了10月2日,失望的弘历得出了自己的结论:叫魂案犯遍布各地,但是跃党的核心却不断地从一省转移到另一省。他们从江苏北移到山东、直隶和热河以后,现在看来显然正西行到山西、陕西和长江中游地区。他们的踪迹从一省消失后,又从另一省冒出来。不仅如此,现在已很明显,这些妖党还妄图通过恐吓民众自割发辫来挑起一场剃发的政治危机。弘历之所以确信这一点,是因为一旦官府正式发布禁令,人们自割发辫以防范剪辫妖木的做法实际上就停止了。这表明,防范剪辫妖术的做法“本自无稽”(即在民间信仰中原来并不存在这样说法),“必系奸徒造作邪说,诱惑愚民”。迄今为止抓获的案犯都是些小喽罗,一定还有预谋反叛的角色躲在后面,他们的目的则在于“破坏国家定制”(即剃发制度)以逞其逆谋。

    三天后,弘历又在给各省督抚的一份不同寻常的上谕中从新的角度进一步发挥了这些诛心的论断,强调妖党可能企图通过挑起百姓对官府的仇恨,来发动一场大叛乱。地方官府的严厉措施则会引起百姓的警恐,“或致激而生变”。而奸党则可以作壁上观,坐收渔翁之利。虽然不能因为害怕激怒民众而停止清剿,但各省官员应“毋纵毋苛”,既确保无辜者不受伤害;又不让罪犯逃脱。对各省围捕的和尚和乞丐则应审慎处理。在初审案犯时,应力求不带偏见。审判官既“不可轻事刑求”,亦“不得滥行锁禁”。如果“确有可疑情状”,自当动用一切手段进行审讯。否则,就应开释案犯。看来,弘历在这里为确定案子的“可能缘由”,定下了一个原则,审案的过程分两个阶段,在对案子的早期调查中,不应对案犯使用刑罚和长时间监禁。不过,应有的谨慎并不意味着放松对正犯首恶的追缉。这些人一定还在江南,其人“非系奸僧肆恶。即属读书失志之人,其心甚险,而其违甚秘”。对这些奸党“务须严密侦寻”,不仅对太湖一带的传统匪巢,而且对“幽僻村居、荒废庵宇”均应彻底搜查。至于在这样一场凶猛全面的清剿中如何才能避免伤及无辜,弘历把这个问题留给他的各省官员去伤脑筋了。

    一个冥顽不化的嫌犯

    下面这个关于大术师明远的案子很快就会使我们看到,弘历这些自相矛盾的指示对各省督抚们来说是多么难以贯彻。按照我们已在第四章中看到过的明远九徒韩沛显的供词,明远本应在海州三教寺等待替他割辫的门徒,但迄今为止他一直在同官府捉迷藏。在浙江,巡抚永德的手下把全省的寺庙都篦了一遍,终于找到一个法名明远的和尚,并迅速将他解往承德审问。但是,真正的明远好像直到10月9日才在安徽的台肥附近被抓获。在当地一个小庙有个叫玉明,但法名又叫明远的和尚因剪辫而被拿获。从他的身上搜出了一个木偶,一块写有符咒的布,两枚可疑的术戳,一个奇怪的招牌和一把剪刀。但他身上并无发辫。明远告诉审判官,他依靠化缘和看病(正如韩沛显供词所说)为生07月26日,他携一毛驴驮载行李出外化缘,走到离所住寺庙西北一百六十余里处寿州附近的一个村庄,他停下来在一口井边喝水。因为没有水桶无法打水,他便走向一村屋,那儿有三个小孩在门口玩耍。他同他们借水桶,但没有人理他,他随手拍了下一个小孩的头,忍渴赶路。走不出二三里,他被几个村民逮住。他们指控他偷割了小孩的辫子。

    不由分辩,将僧人拴拿,即将行李搜检,并无辩尖。又拿到刘鸣奇家中,将僧人吊打,并用锥扎,追无辫尖。要僧人包他孩子不死。僧人被殴扎无奈,遂画符给他保佑。……实无剪辫情事。这些人放掉了受伤的和尚,让他回自己的庙去。县府的差役听说此事后赶去调查,刘鸣奇让他们看了明远写的符咒和保证字据。差役立刻将此事通知了合肥官府,由官府派人拿获了明远。

    在初审中,案犯试图就从他行李中搜出的那些可疑物品作出解释(在官府的眼中,这些物品无疑就是“邪术”的证据)。两杖木戳是用来“使人敬重,肯出银钱”的。其中一个刻着“五王爷替僧”的文字,①另一个则刻着“阴袭州同”的文字。明远说,他的祖父曾任总兵,因此他刻戳假称自己有世袭官职。那么,那个招牌(它看上去是行医人竖在路旁的招牌)上所写之可疑文字——“察院恩慈京都明远”——又代表着什么呢?明远解释道,这只是为了让病人相信他的药方是从京都来的,曾为大官们使用过。而布符则是用来镇邪的(如同第五章中所讨论过的镇邪物那样)。在一个江湖郎中的行囊中找到这些骗人的玩意本是意料中事,但对明远的审判官来说。这就是邪术的证据,表明他明远是一个冥顽不化的案犯。即使是在重刑之下,他仍一口咬定他没有剪人发辫。审讯他的官员们包括巡抚冯钤和当地的知州知县,他们竭尽全力想得到他的供词,但不知他们是如何竭力的,一个星期后明远死了。弘历知道后龙颜大怒,质问明远是否死于溢刑,或是因疏于防范而让他自杀身亡。冯钤坚持说并无此等事情发生。囚犯是在狱中“冒寒得病”而死,官员们决没有滥刑,这一点狱医和忤作可以作证。他们所做的只是让他跪铁链三日,其间并未施用夹棍,只是夹了一次手指。然后他们又轮番审问了他两天两夜,“不许其打盹,见其闭目,即行喝醒。”

    冯钤因他连日受审,恐其疲惫,便令停审数日。但还未来得及再审,狱卒便报告说明远已毙命狱中(朱批:“知道了。”)

    ①“五王爷替僧”可能是到黑的一个民间信仰崇拜,起源于台南(台湾当时是福建的一部分),然后流传到其他许多地方。

    这就是该案结局时的情况:军机处不得不亲自对所有的证据进行复查。三个月来,军机大臣们作为不屈不挠的弘历的工具,忠实地推动了对妖术的清剿。从文献资料来看,他们除了全力以赴从事这种清剿外,绝无其他的想法。然而,当他们最后来收拾残局的时候,我们却不能不关心他们面对迄至10月中旬为止的清剿记录会有什么想法:这是些混淆不清的伪证,没有头绪的琐屑细节,以及许多不明不白毙命的囚犯“实为正犯无疑”。接下来,就应该用重刑来逼他供出真相了。

    第八章 终结

    当东北的秋凉开始侵袭承德行官的时候,朝廷也开始准备打点回京。但是大学士傅恒仍在为那些押送到他这儿来的叫魂嫌犯大伤脑筋,力图从他们茫无头绪的供词中理出些许线索来。我们还记得,一旦发现山东剪辫犯的供词已搞得江苏的官员们疲于奔命时,弘历便命令将山东的所有案犯都押解到北京或承德,交由军机大臣们审理。此外,军机处还将重审卖唱乞丐张四父子和所有牵涉到春天叫魂案的嫌犯:石匠吴东明、肖山的和尚们、苏州乞丐陈汉如以及几乎在胥口镇被打死的和尚净庄和他的同伴们。一些嫌犯已被带到热河,其余的仍关押在北京,由留在那里、待在紫禁城内的军机大臣们审理。现在,这些全国最有权力的大臣们将要清理这一近三个月来让朝廷伤透了脑筋的事件。当他们正要着手行事的时候却发现。最近出现的一些令人不快的情况使得本来就晦暗不明的案情更早上了一层明云。

    民间的诬告 家内的谋反

    9月初,一个生员从远在两千里外的山西为揭发一桩谋反大事而来到北京。他携带了一份“反书”和一份揭发反书为其叔父所作的状纸,呈递给都察院。虽然官方记录没有披露它们的内容。但是当都察院循例将此案报告给弘历的时候,这些充满敌意的文字让皇帝大发雷霆。军机处迅速派员前往山西,会同巡抚苏尔德进行调查。一队身着锦缎官服的命官搜查了叔父的住宅,但没有发现任何“悖逆字迹”。对生员所揭发的那些同谋的搜查也毫无结果。生员叔父极口呼冤,甚至连生员的父亲也对其子的揭发茫然无知,认为毫无根据。官员们重新审问了生员张廷瑞,报告了如下结果:(张廷瑞)始犹语言支吾,及反复质讯,伊唯俯首痛哭,供称张如召夫妻独霸家产,伊父母为人懦弱。多年受其凌逼。伊欲以实情赴官控告,又恐不能准理,反受其毒。昼夜寻思饮泣,忿不欲生。因自捏逆词,赴京具控。如今悔之无及。官员们无法相信,张生员会为家产争执这样的细故便捏造逆词指控叔叔,并牵扯进那么多的人。或许,他的叔叔确实有什么不法情事?他们因而决定继续调查。但是,弘历却洞察到了事情的真相。他朱批道:“大约诬告是实,按律严拟,处以极刑。”

    一个顽固的债主

    直隶人关德麟被张二指控为剪辫犯,因为张在关的衣物里发现一段剪下的辫梢。这个案子很快从省府衙门移交到了承德的军机大臣们手里。这些大老爷们一定对涉案各方用尽了手段,因而得以于9月20日向弘历报告了与原先不同的案情。关德麟原是北京附近兵营的设军旗人,由于朝廷裁汰汉旗,他出旗为民,并搬到离北京西北七十里的昌平居住,租种村民张二的地亩。后来他又搬回北京地区,住在自家坟园,以挑担卖杂货为生。他曾借给张二六千文钱,屡次催讨未得。后来他又去张家要债,张因一时无钱,便留关德麟住宿。关多次吵闹,并要与张的妻子同宿。张心存怨愤,与关口角后,去隔壁刘三家买烧酒吃。看到刘家儿媳梳头掉下的头发,就拣回编了三条辫尖。乘关不在,张把这些发辫连同自己老婆的一把剪刀一起塞进关的包袱,然后赴邻近千总衙门报案。

    弘历觉得这个案子很棘手,这主要是因为此时各省的剪辫证据大概已引起了他的怀疑。他一方面同意对可恶的张二处以绞监侯,另一方面提醒他的官员们:“不可因有此诬捏之案,遂心存游移,于蹰缉割辫匪徒,稍有怠玩,俾正犯得以漏网。”

    虽然就军机大臣们的记忆所及而言,上述案子是最突出的,但其他种种奇怪现象也已引起了各省官员的注意。比如在河南使出现了这样的情况:“刁徒私将父财妻物花用无存,遂自行剪辫假称被人所割,钱物亦被人夺去。子骗其父,夫赫其妻者;更有顽生逃学,自行割辫捏称被割致病,以冀不至书馆者,情事百出。”江苏的情形也是一样,不过直到11月末才奏报到北京:“汀苏各属详报有民人自割辫梢挟嫌图赖及贪赏诬指等案。”

    虽然民间诬告的全部情况要到几个星期以后才会清楚,但军机处在10月中讨论妖术案时已对此产生了一定程度的怀疑。在这样的气氛下面,让我们来看看审判官们是如何重新审理那几个最恶名昭著的叫魂案犯的。

    被告席上的叫魂犯 张四儒的坦白

    卖唱乞丐张四和他的十一岁儿子被关在安徽宿州的大牢里,被指控在赵庄偷割了辫子。代理知县刘某报告说,张在用刑之后承认他受高个陌生人赵三雇佣割辫。但是刘知县无法让他承认他就是山东乞丐靳贯子所供称之张四儒。对高个赵三的搜寻也毫无结果。乞丐张四和他的儿子被塞进囚车,押送到凤阳府衙,在那里他承认自己就是张四儒。这一下,终于找到了追踪迄今一直追遥法外的妖首玉石的线索。两江总督高晋正在邻近的徐州指挥黄河治水,他命令将案犯带来由自己亲审。看来,这件麻烦的案子终于可以有结果了。

    在当地府道官员的簇拥下,高晋命令将乞丐张四和其子秋儿带上大堂。但结果却出乎他的意料,案犯推翻了原供并极口呼冤,坚称是庄首赵某对他栽诬。因为张四两腿脚踝的殴夹伤痕正在溃烂,高晋觉得不便刑求,便将庄首赵某传唤到堂,严加讯问,赵某说出了如下的故事。

    张四和其子在庄首赵某门前卖唱乞食,另外两个乞丐得到一个馒头,张四只得到半个。这点东西只能引起这些饿汉们的愤怒,他们因嫌东西太少而辱骂赵某。赵警告他们说:“近日这里有剪辫犯,你们最好快滚!”(言外之意是不要叫我把你们当作剪辫犯抓起来。)张四又骂了一回,乞丐们这才离去。赵被骂不甘,又怀疑他们是外来的坏人,便令雇工将他们提回。在一个乞丐的身上搜出了一小包药,在另一个身上搜出了一把刀。这些人是不是就是大家都在谈起的割辫妖党?

    但在他们身上并未找到割下的发辫,因而他们是不会承认的。于是,赵某等人便开始威胁拷问秋儿,逼他承认是偷辫匪徒。但是张四和另外两个乞丐还是否认偷辫。赵某便将他们绑在树上,用铁鞭殴打,将他们打成重伤。赵某害怕他们被放后会到官府去控告自己,于是就让天生秃头、素佩假辫的雇工费某从自己的假发辫上取下一络做成伪证。有了这件可怕的证物,再加上小刀和药粉,就拥有了指控张四等人从事叫魂妖术所需的全部证据。赵某现在可以理直气壮地向县府告发这些罪犯了。

    总督高晋发现,其他证人也证实了所有这些细节。他还发现,那把刀很钝,根本无法用来割辫,而那包药也不能用来迷人。但因为州县当局先前已坚持原判,高晋别无选择,只能把案犯送到北京去与山东来的案犯乞丐靳贯子当面对质。此时,靳已被押送北京,由军机大臣来清理他那混乱的供词。因为张四儒的名字是靳贯子首先供出的,当靳看到张时,当然应能认出他来。

    张四和他的儿子于10月11日到达北京,以刘统勋为首的一班军机大臣亲自审问了他们。张四的两腿已发炎化脓,经过长途押送,已是奄奄一息。他全身“黄肿”,兼患痢疾,但却坚持自己的故事:他和儿子来自直隶南部的威县(而不是来自江南),因为贫穷而出外乞讨。他否认曾辱骂庄首赵某,但是证实了受到诬陷的所有细节。

    军机大臣们转而讯问跪着的男孩秋儿:“你父亲若果不是张四儒,你何以供认呢?”

    秋儿答道:“本府问我,你父亲叫什么名字?我说叫张四。

    本府说,明是张四儒,你怎么不实说?就将夹棍撩下吓我。又说,你若供明是张四儒,给你东西吃。就叫人拿了一个梨给我吃。我看了夹棍害怕,又不知道张四儒是什么样人,所以随口承认的。实在我父亲并不叫张四儒。”

    军机大臣们然后命将山东案犯乞丐靳贯子带上大堂,但他辨不出张四为何人。靳贯子现在供称,张四儒的名宇是他捏造的,其实并投有这个人。他在本县认识一人叫张四,当时因受逼供,便在这个名字后面加了个“儒”宇。这一供词令军机大臣们心生怀疑。虽然卖唱乞丐张四否认自己叫张四儒,却不能否认他叫张四(如前所述,这一名字的意思是“张家的第四个儿子”,在中国取这样名字的人一定很多)。这两个罪犯是否故意互不相认?

    审讯官员们再次转向张四:“你与靳贯子平日素系一伙,如今到案时何难对面直说全不认识?有何指证叫人凭信呢?”

    张四只是将先前说过的故事又重复了一遍。

    这些供词相互矛盾,使得军机大臣们无法得出结论。他们只能等待各省提供进一步的证据。对庄首赵某诬陷他人的审讯尚在进行中,而军机大臣们对省里官员作出的判断是不能不予考虑的。同时,对靳贯子本县的那个“张四”也要寻找查证。然而,阎王爷却不肯等待,张四于10月25日死于狱中。军机大臣们报告说,鉴于他的病情,“臣等一面讯问,一面饬医加谨调治”。

    仵作查验张四尸体后证明,看守并无凌虐情弊。知县刘某是负责将张四押送北京的官员,他也证实,张四在行将押赴北京时已经身患重病。所以,北京方面无人需对他的死负责。军机大臣们现已认定,张四并非他们所要追缉的剪辫案犯。他将由官府出资备棺埋葬,其子秋儿则交原解官带回。①剪辫首犯的故事北京的官员们现在又必须从头做起。10月中旬,当山东的剪辫始作俑者蔡廷章在北京重新受审时,这个乞丐已病得很厉害。虽然他现在咬定他最初的供词是在重刑逼迫下编造出来的,军机大臣们并不敢轻易相信他。

    ①为了节省篇幅,我将对张四几天审讯的记录集中在一起叙述。所有的翻译都是完整的。

    审判官:你在东省供称在扬州吴姓饭店住宿,今果查有开饭店之吴连到案。可见你从前并不是捏饰的。

    蔡:我在东省供说本年二月(译注:这里的月日系引自原始档章,故均为阴历)在扬州吴胜饭店与怡安吴元分路剪辩的话,原都是随口谎供的。实在我于本年四月二十一日方才出京,现有在京亲戚朱然、王云等先后到案实对明白。是我二月内正住在京城,且不能到山东,如何能到扬州?我从前供出开饭店的吴胜原系谎供,这如今到案之吴连,实在不知何人,叫我如何认得?

    审判官:你从前在山东为何妄供?

    蔡:我在山东时起初原供说自京下去的,因县官不信,说我必是从江南上来。我受刑不过,只得就应了。县官要我说出在江南实在下落。我说不出来,又怕受刑,……所以供称在扬州。

    从山东出现第一个案例时起,地方官员就确信妖党来自江南。弘历通过私人耳目而听到的那些谣言同样也传到了各县官员们的耳中——正是这些谣言促使弘历发出了7月25日的那份上谕,开始在各省进行清剿。军机大臣们究竟应把这一切看作是对整个叫魂案的强化或是弱化?那个拜术士为师的韩沛显的出现,只是使情况变得更加复杂。他现在也一口咬定,他在山东的所有供词都是在重刑下编造出来的,根本就没有妖僧“明远”这个人。但是,他的原供具体人微,因而仍然令军机大臣们感到困惑:他怎么会对施行妖术的细节有那么多的了解呢?

    不久后在承德对僧人通果的审讯将为这个问题提供一种可能的答案。

    一个愚蠢的错误

    10月25日,大学士傅恒向弘历报告了令人头痛的通杲之案——正是这个在山东捕获的和尚的供词导致了对江苏寺庙的全面搜捕。法网所及,捕获了通杲的师傅妖僧悟成以及通果供出的其他人,他们现在都关在承德的刑部大牢里。弘历对这个悟成抱有极大希望,想从他身上弄清整个叫魂阴谋的内情。然而,悟成坚持他对妖术一无所知,并说他与徒弟通杲自两年前在南京紫竹林庙分手后就再没有见过面。本来,除通果后来又翻供的事实外,像这样的一口否定是不值得记录在案的。但由于通果原供中情节颇有荒谬可疑之处,连傅恒也对他产生了怀疑——比如说,“割辫系乘人不备仓猝之事,何暇问人姓名始行动手?”重审通杲的场面可能会使最铁石心肠的审判官亦为之震动。当这个衣衫褴楼的囚犯被拖到傅恒面前时,已是“两腿溃烂,刑伤种种,神气惨沮,略加驳诘则畏惧求死”。这个半死的和尚起先仍坚持原供,不过当刑具抬出来以后,他又改口说以前的供词都是假造的。虽然他的祖籍是安徽,但从小在直隶长大。

    后来他在河南剃度,接着成了悟成的徒弟并随悟成去了南京。

    1766年师徒分手,通果决定回乡还俗,因此他开始蓄发并往直隶走去。当他走到山东泗水县时,他的外地口音和半长的头发引起了县役的注意,井将他当嫌疑犯抓了起来。

    泗水知县无法从通果口中得到什么,于是兖州知府决定会同邹县知县孔传睡?亲自审问通果。孔系孔子六十八世孙,曾成功地让山东第一个剪辫犯乞丐蔡廷章招供。孔知县先用铁链将通果缚吊于树上,继用铁锁盘地加以炭渣,令其跪上,再用木棍踩踏腿弯,复以桑条鞭其背后,又用夹棍严夹。重刑之下,通果编造了他的故事。他所供的咒语是他受戒时念诵的佛教经文,僧众皆知。那么,那些割辫受害人的名字又是从何而来?这其实是一些他在路途上遇到的人。所谓的“同党”,俱系平日“会过相熟之人”,因孔知县逼问,故尔“妄扳”出来。至于迷药、纸人、纸马等施行妖术的工具手段,则系在监狱“风闻旁人闲论,附会其说”。①

    ①中国把大批囚犯关在同一牢里的做法肯定造就了一个生动的囚犯文化,囚犯们在其中分享他们的悲惨遭遇。各色故事——包括巫术传说——都是囚犯们通常用于消磨痛苦的牢狱生活的方法(参见本书第一章傅德对于大批囚犯共囚一室做法的描述)。“迷药”也一定是囚犯闲聊的一个话题。但是,我们也不能排除可能有某些方法可以调制让人迷幻的药物。哈佛医学院药学系教授戈德曼博士写道(1989年6月13日的私人通信):“当代使用可卡因粉剂的经验表明药物可以通过鼻腔接触很快发生效果。”他的一个在中国科学院的专家朋友写信告诉他,某种药粉可能是从含有番茄精或食筵硷的各种花卉或其种子中提炼出来的。这位中国专家还回忆道,当他还是个孩子时,他父亲常常警告他不要在夜晚出去,“因为我可能会碰上一些术士”,他们会“对我撒一些药粉而把我拐走”。后来他才知道,这种药粉系由茄类植物的花(含麻醉剂的草药)提炼而成。但是,戈德曼博士又指出:“仅仅对这种传说作出纯粹药物学的解释还是不够的,除非你还能解释术士如何能把药粉塞入一个不情愿的受害者的鼻子,而自己却不受到药物的麻醉。

    傅恒斗胆提出,这个案子“似属冤抑”。但是既然原供言之凿凿,孔知县可能另有所见,因此才对人犯叠加刑讯。如果简单地释放通果和悟成,则“不足以服原问官之心”。弘历接受了傅恒的建议,命孔知县暂时解任,迅速来京接受质询,通果和悟成两犯则暂行羁押在狱。

    整个案子怎么会变得这样荒谬离奇呢?对山东巡抚富尼汉的质询揭示,这整个事件竟是个愚蠢的错误。富尼汉后来解释说,孔知县其实是遭到了他的衙役的蒙骗。那些衙役受命去寻找通果所供的剪辫受害者,他们必须在五天之内向孔知县报告结果,而据通果所供,那些所谓的受害者都住在几百里远的外县。衙役们怕误了五天的期限受罚,就撒谎说他们找到了受害者,这样就坐实了通杲的原供。①旅途横祸犯有剪辫鸡奸罪的乞丐靳贯子在原供中扯进了张四儒。10月的第三个星期,他的案子受到了仔细重审。他改口声称,他的原供完全是在重刑逼供下编造出来的;而从他已经残废的双腿来看,这是完全有可能的。靳贯子现在把什么都讲了出来。他和被控受他鸡奸的族弟靳玉子来自山东省府济南附近的一个村子。玉子的父亲靳宽去年秋天出外佣工,一直未回。本年夏天,一个村民告诉玉子,他听说其父靳宽已在外发财。玉子的母亲便要玉子去寻找,但因玉子才十七岁,她央求玉子的族兄贯子陪同往寻,以免使玉子途中遇到麻烦。兄弟俩出发向南走去,于6月25日到达了玉子的表兄赵丙如家,借得一些盘缠。他们寻找靳宽多日未遇,因钱已用尽,只得沿途乞讨。6月30日中午,他们来到邻近江苏的峄县,走进一个叫李家庄的村子。当时,县刑书李昆正在村里为其子李狗儿辫子被剪而吵嚷。靳贯子兄弟发现村子里有麻烦,便转身离去。但是他们已被愤怒的李昆看到,他因他们面生可疑,便与一伙村民将两人抓获。他们在靳贯子的搭连里并未搜到刀药发辫之类的犯罪证物,但还是把不幸的兄弟俩带回村子捆绑起来。

    ①刑部建议,鉴于衙门胥吏在该案中牵连无辜,应对他们判处绞刑。这与最近做出的对蔡瑞和张二的判决是相符合的,蔡诬告了无辜的肖山和尚,张则试图诬陷他的债主。富尼汉提出异议说,这两个案件并非出于丑恶的意图,而两个胥吏也与通果没有过节。他们因而应受较轻的杖责流徒惩罚。《朱批奏折》,第856卷第12号,乾隆三十三年十一月十六日(富尼汉)。我没有找到最终解释这个争议的文件。

    两人均被捆绑吊打。到头来,玉子受不了毒打,承认偷割了狗儿的辫子藏在村外。李昆威胁道,他若是不交出偷割之辫尖。

    即用斧头将他砍死心玉子畏惧无奈,只得用口咬下自己的辫尖,藏在手中,假称是在一棵树下发现的。第二大早上,李昆得意地将这两个流浪汉押到县衙门。

    县衙门动用了夹棍,逼迫靳贯子供认他将一把刀子和两包迷药丢弃在山坡上。衙役们去山坡寻找证物,只找到了一个小磁瓶。在知县一定要找到刀子的压力下,县役头目让手下人偷偷地买了一把小刀。小刀上有一个铁匠的标记,县役便教唆靳玉子,要他说出曾看见他族兄的刀子上有这样的标记。为了润饰案情,县官对靳贯子反复刑讯,要他诬认除割辫外还诱拐并鸡奸靳玉子。玉子起先不认,县役们便威胁他,如果他不附和这一故事就要夹断他的双腿。在这个当口,靳贯子被迫编造出了有关他师傅算命先生张四儒的故事。整个案子经过这样一番打点,才由知县报告上去。

    军机大臣们传唤了证人,包括已被找到的玉子母亲和在外流浪的玉子父亲,玉子的表兄,以及李昆和他的儿子。然而,玉子的父母却说不认识贯子。经过反复讯问,才发现他们曾受到济南一个县役头目的威胁:“你们到京后若说出认得靳贯子的话,回来时就都该死了。”这些情况已足以使军机大臣们相信靳贯子是被冤枉的,而张四儒的故事则统统是胡编乱造。但是他们的奏报还是做了自我保护:李昆还未与靳玉子对质,对涉案的县役也还未及质讯,再加军机处在审讯人犯时没有用刑,审讯结果也就“不尽不实”。所以,对该案的最后判决还需等待。他们没有明说的是,这一判决必须等待最高权威的回心转意。

    说服弘历

    毫无疑问,在整个叫魂案中,首席原告自始至终就是皇帝本人。这通过他在各地呈递来的奏章以及军机大臣们起草的上谕上的朱批清楚地表现出来。对官员们大肆施压、加重刺激,对他们办案的速度和力度层层加码,对行动迟缓的官员们则刻薄训斥——所有这一切都是弘历个人的杰作。军机大臣们所扮演的角色是微妙的:他们可能与弘历一样对谋反心存忧虑;但他们又不得不面对从各省衙门送来的备受折磨的囚犯,以及这些人血肉模糊的躯体和颠三倒四的故事。当疑问在他们头脑中不断增生时,他们手中捏拿着的却是一个严重的政治问题。这个案子不仅关系到危险的剃发意象,还可能暗藏着阴谋玄机,更被押上了皇帝的无上权威。面对此案,他们怎样才能既显示出自己对皇帝的效忠与热忱,同时又避免制造冤狱的丑闻呢?

    有一件事可以引起弘历的注意,那就是法庭的刑讯。清律规定,对刑事犯定罪必须以口供为凭据。弘历和他的同时代人一样认为,要让一个显然有罪的案犯供出犯罪的细节,刑讯是必不可少的手段。语言同这样的做法是合拍的。正如“囚犯”和“罪犯”这两个概念难以明确区别一样(两者都叫做“犯”),“刑讯”和“刑罚”用的是同一个“刑”字。但是,用刑又受到法律上的限制。使用非法刑具和将囚犯拷打致死都是要受到惩罚的,通常为行政上的制裁。①虽然用刑并无道德上的障碍,却常常会遇到实践中的问题。

    ①《钦定吏部刑例》卷43是特别针对官员滥刑的惩罚。所有惩罚都在行政处罚范围之内(撤职、降职或罚俸)。唯一会受到刑事处罚的是使用一种特别的“匣床”来逼供犯人。

    刑讯使用恰当,可以导致正确的口供并产生合乎正义的判决。

    刑讯若被滥用,则会导致错误的结果——如果审判官想“钓鱼”,也就是想看看备受折磨的案犯会吐出些什么的话,情况更会是如此。这样的做法等于是还未对嫌犯起诉便搜集原始证据(或者说,是在嫌犯尚未受到传讯时便对他进行拷问),而并非从一个已受到正式指控的罪犯口中得出真实的供词。这样的“刑求”

    虽然未被《大清律例》明文禁止,但也未被认为是一种可以接受的做法。弘历所担心的是,从这种钓鱼式刑讯中所获得的假供会扰乱案情。毕竟,审问这些无名小卒的目的是要挖出隐藏在他们后面的妖首。如果一个受酷刑逼供的囚犯为了逃避皮肉痛苦而编造名字地址,官府又能得到什么呢?因为有具体的细节,这种编造出来的供词看起来会很可信,但这些细节或是像通果的案子那样是由囚犯根据牢里的道听途说而虚构出来的,或是来自审判官员的诱供。然而,官府需要的是可靠的信息。用弘历的话来说,就是“夹杖所取之供,亦未必尽可皆信”。当案情开始露出破绽时,通过重刑逼供所得口供的虚假性也越来越清楚地暴露出来。一旦军机处开始对案情产生了怀疑,那么皇帝的清醒就只是一个时间问题了。

    在官僚机构的最高层,人们普遍对案情发生了怀疑。8月中旬,根据愤怒的官员们的请求(因为他们发现山东第一个剪辫犯乞丐蔡廷章提供的线索毫无用处),蔡廷章重新受审,却改变了自己的故事。这时,弘历仍相信狡猾的剪辫犯是在施放烟幕以混淆清剿的线索,或者根本就是想以此结束自己的痛苦。不过,他们当初的供词究竟是逼供出来的,还是自己招认的?虽然富尼汉向弘历保证没有使用刑讯,但朝廷已开始对此产生了怀疑。9月29日,弘历命令山东将案犯进到承德由军机大臣直接审理。

    回过来再看江南。当9月10日两江总督高晋听了乞丐张四的故事并查看了他残废的双腿后,他已清楚地知道对这个卖唱乞丐的审讯已陷入僵局。他在上奏时重复了弘历自己的话:“诚如圣谕,一用夹杖,鞍于事无益。”他进而审问了举发张四的原告,得到了我们已在上面叙述过的那个故事。高晋没有因指出案情的不实而受罚,因为他的囚犯很快便被传唤到北京。

    在那里军机大臣们自会看个明白。

    直到军机大臣们于9月中旬提出自己的审讯报告前,由于廷寄制度的运作,我们很难了解他们(无论作为整体还是作为个人)究竟是如何看待叫魂案的。9月15日,刘统勋和他的同僚们从北京向承德行宫报告说,来自山东的供词每天都有新的破绽。山东最初的两个剪辫犯靳贯子和蔡廷章跪在军机大臣们面前,推翻了自己的原供。大臣们诘问道:“通元、张四儒在江省现已就获,不日解京对质,更复何从狡赖?”因为蔡廷章腿膝刑伤未愈,他们便在审讯时夹压他的手指,他重复了在山东的原供。但是一将他的手指松开,他又再次翻供,诉说自己的冤枉。显然应从山东传唤更多的证人来北京。(朱批:“速行文提犯。”)军机大臣们表示,在证人未到达前,“臣等将该犯暂停严訇,待伤痕稍愈”再加研诘。与此同时,他们“不敢稍有懈弛,稍为淆惑”)

    但是,案子本身现在已经大大地打了折扣。如果说,现有的新证据已使得整个叫魂案建筑于其上的那些供词发生了动摇;那么,即将从各省送来北京的诸多案子又会造成怎样的新困窘呢?人们如何才能将这种尴尬局面转报给弘历?——在这个案子上,他不仅已押上了个人的威望,甚至也押上了整个王朝的尊严。

    到了9月21日,弘历已经对坏消息做出了反应。他抱怨各省的口供均属“荒唐无据”。这不是因为奸徒撒谎,就是因为“问官锻炼成招”,而“两者皆不足信”。他问道:“似此浮光掠影,真犯何由就获,重案何由结清?”但是,弘历反对将嫌犯无限期关押的建议:“人犯一经拿获,应即详晰讯问,若审明确系无辜,应急为省释。”

    甚至在热情的皇上看来,冤狱的肆虐也变得越来越明显。

    到了10月5日,弧历在一份经由机密渠道发给各省督抚的不寻常的上谕中推论说,整个叫魂案很可能是由阴谋家们编造出来的,其目的则在于挑动人们对官府的仇恨并煽动造反。但是他别无选择,只能防患于未然,在注意不要伤及无辜的同时将所有嫌犯一同打尽。对于那些倍受压力的各省官僚来说,这是一个自相矛盾而无法实现的指示。

    在北京,供词中的矛盾愈益山积。蔡廷章和韩沛显的口供已经彻底翻转过来。卖唱乞丐如何被裁赃陷害的故事已及时地报告给了弘历。不仅如此,当靳贯子这个最初的信息提供者面对自已供出的“张四儒”时,竟不知他为何许人。然而,弘历仍然扮演着一个鹰瞬虎视的检察官的角色。他在10月7日写道,这些罪犯很可能有不在法庭相认的默契,以便掩,饰他们的阴谋。因此,刘统勋应更为仔细地讯问案犯,只要在他们言词行为中发现任何一点疑问,就应穷追到底,这样才能找到真正的线索。此外,必须特别注意和尚通果,弄清那些发辫到底有什么用。但是,正在承德的大学士傅恒已看到整个案情中有着太多的矛盾,也开始对案情产生了怀疑。10月17日,他命江苏巡抚彰宝把江苏的所有嫌犯送到北京,以便对他们进行交叉审讯。

    此刻,军机大臣们面前出现了一个机会:大学士刘统勋正动身从北京来承德。现年六十八岁的刘统勋是北京高层官僚中的佼佼者,在军机处已任职十二年,官声清廉。他敢于报告坏消息,并不惮坚持犯难招怨的政策。虽然弘历有时会觉得他讨厌,却对他抱有不可动摇的尊敬。有一次他曾因刘的一个不受欢迎的建议而将其监禁,但很快便原谅了他,并继续委以要职,包括命他为首席太子太傅。弘历对这个耿直的臣仆深为感激,当刘统勋于1773年辞世时,他对刘家亲加慰勉。

    作为资深的当值军机大臣,刘在酷暑的北京挥汗办公,而他的皇上主子则在承德避暑消夏。在妖术恐惧攫住京城的当口,刘统勋所面对的是一个微妙棘手的难题:他一方面必须查清案情,但另一方面又要避免在民众中引起恐慌。随着各省的叫魂案犯不断地移送来京,他对地方官所报告的拙劣失实的案情有了充分的了解。他呈递给弘历的奏报件件都是机智巧妙的杰作,这些奏报罗列出案情中的种种漏洞,包括大量翻供的原话。不过,刘将所有这些信息都包装在一种极度热心的外表之下——他只是不肯照单全收这些“狡猾”和“回避”的供词而已。至少,这些奏折不会让他受到对叫魂案犯手软的指责。当卖唱乞丐于10月15日在北京翻供后,刘觉得已到了采取行动以避免使皇上陷入更大窘境的时候。但这必须等到皇上在场时与他一起采取行动。

    作为刑部尚书,刘统勋有责任每年去承德协助皇帝处理秋审案件,即对那些已定案的死刑犯重新审理一次。当秋审案呈送御前时,弘历必须用朱笔对行将处死的案犯“勾到”。按照常规,刘统勋每年夏天留守北京处理军机处事务,大约10月中旬去承德,然后陪同弘历回京。在秋高气爽从容回京的路上,弘历将根据刘的意见,在每个待决案犯的名字上用朱笔打勾。这一年,刘大约在10月18日离京,于21日抵承德。接下来的五天,他和傅恒随侍皇上左右。

    根据傅恒后来的几份审讯报告来判断,军机大臣们一定在10月25日前开过会。现在他们已经不再回避可能的冤案,对接受翻供也不再感到勉强。10月26日,刘随同弘历回京,傅恒则留在承德完成对叫魂案犯的审讯。弘历一行于11月1日回到北京。两天后,他就降旨停止了对叫魂案的清剿。

    停止清剿并非简单地收回成命。由于皇上已对此案投入了这么多的个人威望和道德权威,一个更具礼仪性的结局是必需的。首先,傅恒、尹继善和刘统勋向各省督抚发出廷寄指出,剪辫案之所以“蔓延数省”是因为江浙官员没有及时报告情况,地方官员玩忽职守,对朝廷叠降谕旨掉以轻心。结果,那些受审的案子“不无刑求者”(这句话是弘历用朱笔加上去的——虽然他在清剿的初期就知道这种情况,但他显然为这种情况所困扰)。弘历因而命令将叫魂案犯移送北京,结果并未发现首恶正犯,却发现多有累及无辜者。这都是“江浙地方官养痈遗患之所致也”。任何进一步的清剿只会滋扰地方,“于政体殊为未协”。因此,清剿必须立即停止。

    奇怪的是,廷寄又强调地方官并不能因此而放松警惕,“警觉惕厉”仍然是地方安靖的保障。任何官员若能抓获“正犯”,就可以“自赎”前愆。①同一天,一份明发上谕把所有的责任都算在行省官僚身上。

    叫魂恐惧首先发生在江苏、浙江,然后蔓延到山东和其他省份。

    如果行省官僚们一听到这一案件就积极追剿,要地方官员查个水落石出,“自可得其端绪,正犯不致漏网”。但是,地方有司虚应故事,“始则因循贻误,不即据实人告,希冀化有为无”。只是当朝廷严切训喻之后,他们才“饬属查办”。

    现在,虽然山东、安徽、江苏和浙江都有案犯抓获,“朕恐中有刑求屈抑者”,因此命令将案犯移送北京让由军机大臣、刑部和京畿步军统领组成的特别法庭审理。审讯结果表明原供是不可靠的,其中确有畏刑屈招者。很明显,“各该省隐瞒于前,复卫塞责于后”,除了派出差役“滋扰闾阎”外一无所获,导致首恶正犯漏网。这一切,“与政体殊未允协”。弘历不得不自食其果:“此案现在竟可无庸查办。”

    秘密廷寄的用词模棱两可,明发上谕的调子则相当严厉,我们对这两者之间的矛盾应如何看待?从弘历的朱批中可以看出,由刑求而得到的口供使他感到愤怒和尴尬。但他仍然通过廷寄的秘密渠道坚持要各省保持警惕,并在廷寄和明发上谕中都强调,尽管“正犯”无一落网,却确实存在。这就表明,这不过是一种挽回面子的说法。弘历的心态在他对富尼汉一个奏折极不寻常的批语中最清楚地表现出来。山东巡抚用被告的话气回答11月3日的廷寄。他说,他督饬文武,实心侦缉而“不遗余力”,虽未获有首恶正犯,但山东省自8月中旬以后“亦不闻复有被割发辫之事”。弘历朱批遭:闻。东省办理虽有过当之处,不怪汝者。以既命严缉又罪过当,则外吏将何适从。然栽赃刑求足非正道。①弘历又警告富尼汉说,他不可因求公正而“稍懈”。然而,朝廷既已露出了懊悔的口风,行省官僚们对这种大气候自然特别敏感。弘历知道,要维持朝廷的尊严,就只能坚持阴谋确实存在,并对清剿不力的官员予以惩罚。但另一方面,做为一种妥协,他也不能不对那些溢刑无辜以求假供的官员进行弹劫。

    ①《朱批奏折》,第860卷12号,乾隆三十三年十月五日。考虑到弘历早先就因为得到的供词不可靠而怀疑有“刑求”迹象存在,这里的话并非仅仅是一种虚伪。

    与官僚机器算总帐

    迄今为止,朝廷并未承认叫魂案本身是站不住脚的。恰恰相反,它始终坚持首恶正犯确实存在,而他们的逍遥法外则是由于各省的失职。现在已是惩罚失职官员的时候了。弘历指出,“江浙督抚养病遗患”,应由吏部“从严议处,以正纲纪”。这是他对官员们掩盖案情的报复。因玩忽职守而被罚的有两江总督高晋、江苏巡抚彰宝、安徽巡抚冯钤、浙江巡抚熊学鹏、前江苏巡抚明德(时为云南巡抚)和山西巡抚苏尔德。一批州县官员也因年初释放了叫魂嫌犯而遭革职。作为一种平衡和妥协,一些低级官员也由于对无辜嫌犯溢刑逼供而遭到弹劫。不少杰出官员(尤其是低级官员)的宦海前程因此毁于一旦。比如,徐州知州邵大业以善于治水著称,他的治水工程便当地百姓在他任内的七年中免受洪涝。为了对他在卖唱乞丐案中负有的责任予以惩罚,他被贬到一个边远的军职,不几年便死于任所。

    但是,整个叫魂案件的关键角色是山东巡抚富尼汉正是他的奏折及所附的供词使整个叫魂案持续炒作了三个月。日复一日,当军机大臣们在承德和北京重审叫魂案犯时,也看着那些肢体残败的囚犯从山东省衙被移送过来。但富尼汉却始终坚持他审讯人犯时没有用刑,这一说法大大加强了那些供词的可信度。军机大臣们问道,那么,对那些囚犯迄今未愈的遍体鳞伤又该作何解释呢?和尚通果纵然不死也将落个终身残废。如果他们是在州县衙门受的刑,富尼汉在审问他们时会对他们的伤残视而不见吗?他们因此请旨令富尼汉对此做出明白解释。①富尼汉回答说,当他初次看到乞丐蔡廷章和靳贯子时,发现他们虽曾受刑,但“尚能行走”。他并未对他们用刑,只是细加审问,他们就供出了首犯和同党的姓名。至于残废了的通果,则是在他寄出“未用刑”的奏折之后才提解到省府。富尼汉然后谦卑地提醒弘历,正是皇上本人8月5日的谕旨要他“尽法质讯,与其疏纵,无宁认真”。既然有这样的旨谕,“承审官即果用刑,亦不妨据实具奏,何必代为讳饰?”对这个近乎张狂的回答,弘历在朱批中轻蔑地驳斥“此奏更属文怖”,井下令将富尼搜交由吏部议处。考虑到山东巡抚给官僚系统制造的麻烦及给朝廷带来的羞辱,吏部对他的惩罚是相当温和的。他的过错当然不在于对囚犯用刑(对此弘历已经表达了某种同情与理解),而在于他在这一问题上对皇帝撒谎。富尼汉被贬为山西布政使(朱批:“革职留任”),但这对他或许是一种开释,因为弘历井未将他交由刑部论罪——而他的前任准泰巡抚十六年前在犯下大致相同的过错时便曾受过那样的处罚。考虑到叫魂案爆发以来所发生的一切,富尼汉所受到的惩罚只不过是在手腕上被轻轻责打一下而已。毫无疑问,这也是对弘历本人所犯错误的开释。②

    ①《上谕档》,乾隆三十三年十一月二十三日(1768年12月31日)。富尼汉直到审讯结束两个月后才被传唤去做解释。为了叙事的清晰,我把这些事件同10月份的审讯放在一起。②与此相似的一个案件是伪稿案。在该案中,当时的山东巡抚准泰也因匿报物证而犯了“诳奏”罪。《宫中廷寄》,乾隆三十三年十二月五日。弘历的谕旨“尽法质讯”见《清实录》。

    终结

    一旦弘历明确表示要停止清剿,军机处承审官员们就知道可以了结这些令人难堪的案子了。嫌犯的释放迅速而干脆。首先获释的是在胥口镇几遭刑残的和尚们和苏州的那几个乞丐。

    10月8日,傅恒维持了吴县知县的原判:净庄及其同伴均系“老实本分僧人”,应立即予以释放。渔夫张子法在庙里无端盘诘僧人,又将他们追逐到街上,应对所有的麻烦负责。虽然没有证据表明张的所作所为是企图勒索(像肖山县役蔡瑞之所为),军机大臣们仍认为仅仅对他罚以杖责是不够的。除被责令赔偿和尚们损失的行李和钱财外,张子法还将被枷示两个月,以儆效尤日李三和唐华等参与抢劫和尚船只的无赖,则参照“不应为,重”的禁律,每人杖责八十。

    至于苏州那三个最初涉案的乞丐,只有陈汉如还活着(张玉成已庾死狱中,丘永年后来也病死了)。在这桩案子上,军机处官员们也维持了县官的原先的判决。十岁男孩顾正男的口供罗织了乞丐们的割辫罪,他和其父一起被传唤到承德。现在他供认说,“当日营官令其指认,原只称服色近似”那个拉扯他发辫的人,却“并不能辨别面貌”。这样的证言当时便未能说服县官,现在也不足以让傅恒信服。

    傅恒奏道:乞丐陈汉如“并非割辫匪犯无疑,应即令原解员役带回(苏州)保释”。

    弘历朱批道:“行如所奏。”苏州案件也就此了结。

    我们应该还记得,石匠吴东明和肖山的和尚们在9月初重新被捕,并遵照朝廷的旨令解往长城以北的承德行官。这趟旅行历时一个多月。当他们于10月1日初抵达承德时,弘历立刻任命了一个由军机处官员组成的审判法庭,由傅恒负责。所有案犯——包括已坦白提供了伪证的衙役蔡瑞——都重新受审,蔡瑞并被过堂受刑。为慎重起见,审判官员们问道:浙江承审各官是否欲隐瞒真正的割辫案件,因而嘱令蔡瑞“承认捏陷”,以使军机处官员相信整个案件只不过是一桩诬陷案?

    蔡瑞已知大限临头,便台乎情理地反驳说:“我如今已知命且不保,现在又受严刑,岂肯贪图将来的好处舍了现在性命。”军机处承审官员们觉得他的话在理。他们判处他绞监候,待秋后处决。

    11月19日,军机处法庭维持了浙江省庭的判决:和尚们是被县役蔡瑞诬陷,他们的口供是重刑逼供的产物。经过仔细比验,那些所谓偷割的辫尖长短颜色质地均皆如一(“若果偷割两人辫尖,断不能如此相似,其为编造无疑”)。大学士傅恒还留心查看了巨成和其他和尚的举止形状,发现他们“并无妖异狡恶之处”。和尚们被遣返原籍释放。

    然而,军机处承审官员仍须弄清石匠吴东明本年春天在德清叫魂案中的作用。正当他们开始对此着手调查时,从浙江传来了一些关于春天那些怪诞事件的新情报,为廓清叫魂恐惧的起因提供了新的线索。

    坐落在丝绸之乡德清的慈相寺里住着几个贫穷潦倒的和尚。该寺“香火冷落”,很少有信徒来烧香或做法事,因此施舍也很少。在县城附近的健圆山有一座香火鼎盛的观音殿,当地居民们更喜欢上这个寺庙烧香拜佛。1768年初春,妒忌和私欲使慈相寺的穷和尚们萌生了不道德的念头。和尚们有一个徐姓的俗人朋友,颇有智巧,他认为时下人们对叫魂的恐惧可以善加利用。和尚们只须散布谣言,说有石匠在观音殿附近“作法埋丧”,进香者若去该寺非但难得庇佑,反会遭到毒害。

    故事的材料是现成的。在山脚下的县城根,石匠吴东明和他的一班工匠们正在修筑水门。像往常一样,吴石匠是通过与一伙外县来的石匠竞争而赢得这个工程的。那些包工不遂的石匠难道就不会用妖术来暗害自己的对手吗?当地的习俗相信,只要在对手经过的路上“作法埋丧”,就能置对手于死地。其方法很简单,只要埋下一只杀死的公鸡就足以成事。徐某建议道,和尚们只需散布谣言,说那些包工不遂的石匠巳在通往观音殿的路上“作法埋丧”。于是,一个“略通诗字”的和尚写下了大意如下的招贴:健圆山“为吾邑进香之地”,闻前月中“有石匠埋丧于山,经过之人遭其毒害”。慈相寺“素称清净佛门”,能助人“趋吉避害”。徐某在车县四处散布了这个谣言,为自己惹下的麻烦得到了五百文铜钱的酬谢。

    有了案头的这个故事,军机处的承审官员们便讯问吴石匠,他是否知道有关与他竞争失利的石匠阴谋用妖术伤害他的谣传。这是又一次诬陷,又一个以不光彩的妖术伤害对手的图谋,看上去很像是春天杭州地区叫魂大恐慌爆发的起因。但是,本分实在的是石匠并没有提供任何有用的细节:昊石匠:去年,海宁县石匠郑无巨、毛天成来德清包揽建造城桥。因价钱谈不托,回去了。

    承审官员:你是否闻说“埋丧”之谣言?

    吴石匠:今年我们并未见过郑、毛,也未听说他们对我们有何怨恨。

    是否就是这个事件煽起了民间对于石匠叫魂的恐惧?军机大臣们不能作出确定的回答。但慈相寺事件证实了他们的一种怀疑:所谓的“叫魂”妖术只是产生于无知又滋长于忌恨的一个幽灵。这不过是奸刁之徒利用民间恐惧逞其私欲的又一个例子。无论如何,吴石匠是没有任何责任的;他和巨成及其他和尚、乞丐计兆美、农夫沈士怠等人一起被遣回乡里释放。至此,本书故事中最初出现的那些角色——慨包括受害者也包括施害者——终于都如释重负地退出了历史的记录。

    第九章 政治罪与官僚君主制

    我们现在已经看到了几个不同版本的故事:一个讲的是流传于普通百姓中的妖术恐惧,一个说到了皇帝如何逐渐确信妖术其实是谋反的烟幕,还有一个述及到对妖术不置可否的官僚们所面临的困境——他们力图应付来自上下两方面的压力,却无法使任何一方满意。这些故事相互重叠,几个文本写在历史的同一页上。在这些故事背后,还有着另外一个最难解读的故事,那就是:包括妖术恐慌在内的种种地方性事件是如何变成推动整个政治制度运作的燃料的。

    在整个政治制度中,妖术所扮演的是某种我称之为“政治罪”

    的角色。所谓政治罪,包括了所有形式的谋反,如宗教异端、文字诽谤或公开的造反。“因为政治罪所危及到的是王朝制度的基础,所以它与无所不在的腐败不同,后者所影响的只不过是这个制度的效率而已。但如果情况确实是如此,为什么官僚们对这种政治罪却并不像君主那样感到忧心呢?不管怎么说,这个制度也是他们的制度。如同我们在中国的例子中已看到的那样,对这个问题的回答只能从官僚君主制的核心中去寻找。妖术危机的档案向我们揭示了为什么政治罪是君主的而不是官僚的问题,这里的关键在于如何理解常规权力和专制权力之间的关系。

    官僚君主制中的常规权力和专制权力

    对中华帝国后期政治制度的研究产生了两种大异其趣的学术研究传统:一种着眼于行政官僚制的结构、人事和价值,另一种则注重于帝国的机制,特别是帝国通讯制度的发展。结果,我们对官僚体制作为一种生活方式有了更为复杂的认识;同时我们也认识到君主是帝国政治制度的一个组成部分,而并非一个既远离这一制度又权力无限的专制者。但是,我对于我们是否了解专制权力和官僚常规是如何在同一体制内长期互动的,仍然存有怀疑。①我们仍然倾向于这两者之间的关系是相互消长排斥的:其中一种权力的增长膨胀意味着另一种权力的萎缩削弱。自马克斯·韦伯以来的社会分析一直倾向于认为,从长远的角度来看专制君主屈从于官僚。但我相信,在中国的制度下专制权力和常规权力并不一定扦格不人,而很可能有和平相处之道。

    ①在分析这样一个完整的“制度”时(如果这一制度确实存在的话),我们必须避免过分强调以下几点而把君主专制中的专断因素给推理掉了:(1)认为所谓的“专断”不过是君主的常规活动,而君主本人不过是规章制度或传统价值的一个工具;(2)认为君主在很大程度上受到他的顾问班子的操纵,而他们为他提供的独立行动的空同非常有限;(3)认为君主和官僚是同一个社会制度的产物,因而他们之间任何表面的冲突都是一种假象。

    在韦伯对中国政治体制的著名研究中。他实际上回避了专制权力和常规权力之间如何互动的问题。相反,他把中国的君主制度刻画为一种不完全的中央集权,其运作规则是不成文的。

    由于贷料上的局限,韦伯对于专制权力和法典化常规(codifiedroutine)的认识受到了妨碍。在韦伯对中国官僚制度的分析中,皇帝只是一个晦暗不明的影子。在“中人之君”治下,权力并不是“中央集权”的。然而,韦伯大概相信,由于中国的官僚制度并不是一个专业化的制度,它在面对一个并非“中人之君”的君主时,就可能会一筹莫展(他认为,只有现代专业化的官僚才能够有效地与专制君主扰衡,因为他们可以无视专制君主这样一个“业余官僚”)。虽然韦伯在讨论中国的制度时用的是“官僚制”这个词,但他并不认为中国的制度属于“官僚制”。他的官僚制”只能专用于“现代”型的制度,而中国的制度则是盾于“父系家长和世袭统治”一类的。同样晦暗不明的是韦伯关于“法典化常规”的概念——中国的官僚也受到了这一常规的制约与控制。虽说“君主如父”,他能够通过对于官员的频繁调动来防止他们发展地方性的权力基础,从而对他们建立起一种“专制的与内在的控制”,但由于“这样的政治联系具有父系家长的性质……它便同任何正式的法律的发展格格不入”接照韦伯的观点,所谓“正式法律”必须包括制约官僚本身的行政法规在内。虽然韦伯因这些想法而不能以中国国家为背景尖锐清晰地提出问题,但他的历史逻辑却表明,他认为专制权力和常规权力是相互冲突的。在他看来,历史的发展将会通过常规化与合理化而使后者取代前者。

    汉斯·罗森伯格(HansRosenber)在对普鲁士国家的经典分析中,对“王朝专制主义”和“官僚专制主义”作了区分。按照罗森伯格的定义,“专制主义”指的是未经宪政制衡或与有影响的社会阶级分享的权力;而“王朝”则强调君主个人对整个社会(他称弗列德里克·威廉一世为“一个王家恶霸”)、以及对应召来执行他命令的“王家仆从”的支配。罗森伯格还把“王朝专制主义”

    制度刻画为一种“君主独裁政治的实验”。尽管他并朱对“独裁君主”与其官僚之间的关系作详细的描述,但他却暗示,弥漫于普鲁士社会的那种“出于恐惧而屈从于权威的丑恶性格”正是官僚们自身思想状况的投影。然而,罗森伯格又断言,即使是在霍亨佐伦王朝早期,君主的控制仍需依赖于条理慎密的程序,也就是依赖于既统治官僚又统治民众的“公共法”但罗森伯格并未告诉我们,“独裁政治”或专制王朝是如何在规章的体系中仍得以保持自己的行动自由的——制订这些规章的目的正在于使政府的运作受到经精细调试的常规的制约。

    如果在这个制度中有纯粹的“专制”成分,它便会是不稳定的和短命的。它会在“以法治取代专制君主权力的不间断的斗争中”成为牺牲品。即使在腓特烈大帝时代,独裁者的权力还是被官僚们大打折扣,因为他们拥有真正的权力,可以通过操纵信息和采用其他的“破坏”行动来“阻挠和歪曲”独裁者的意志。到了腓特烈大帝的软弱继承者时代,通过在官僚人事制度中引进终身制和正当程序,官僚们成功地保护了他们自己不受专制权力的制裁。其结果是,如罗森伯格所描述的,后拿破仑时代的普鲁士成了由职业官僚统治的国家(“官僚专制主义”),君主本人则成了“最高行政长官”。专制和常规权力在这里经历了一个此消彼长的历史过程——亦即韦伯所说的“常规化”与“合理化”的过程。在罗森伯格对普鲁士的个案研究中,专制权力和常规权力是不能长期共存的。

    “官僚君主制”听起来似乎是白相矛盾的。就其是官僚制而言,它给霸主留下了多大的余地?就其是君主制而言,它又如何才能使个人的专制权力与普遍规则的体系共存?在这里,君主和官僚都陷入了一种两难境地,并都对已经形式化的行政程序抱一种模棱两可的态度。君主不得不用成文法规来约束成千上万为他服务的官僚,以确保他们每个人都按照体现他的利益与安全的行政程序行事。与此同时,他对于如何保持自己的特殊地位、超官僚权力和自主性,也会理所当然地感到关切。结果,他不得不持续斗争挣扎,以避免自身的官僚化。清代君主的大多数日常行政事务,涉及到的是认可军机处为他所草拟的谕旨,或批准吏部所拟定的官员任命。面对他的文件起草人所提供的有限选择,繁忙的君主会发现自己的“作用”只不过是文件处理机中的一个齿轮(尽管是一个镶钻的齿轮)。他怎样才能挣脱这个陷阱,表明自己的身份是主子而非臣仆?①就官僚本身而言,他们始终受到琐细的规章条倒的制约,包括形式、时效、文牍、财政和司法上的限期,以及上司和下属之间的关系。他们若对这些规章条例有任何违反,便会受到弹劾、罚俸、调离或撤职的处分。但是这些繁琐的规章条倒至少也为他们的职责划定了某种边界,从而为他们提供了一定的保护,使他们得以对抗来自上司或君主本人的专制要求。②君主对官僚的控制伴随规则而来的是可预期性和标准化。同时,规则也限制了运用规则的人们的自由。从这一意义上来说,规则起到了使人们的身份地位极大地趋于平等的作用:那些运用规则并监督规则执行的人同那些受规则支配的人一样会受到规则的制约。

    ①克罗齐关于官僚制度中权力关系的经典描述可以说明中国的情况:“掌权者为了达到自己的目的,有圈套相互冲突的武器:一方面是理性化和制定规则;另一方面是制造例外和无视规则的权力。他的量好的策略是找到这两种武器的最佳配合。……规则的扩展和会限制他的权利,而太多的例外又会削弱他控制别人的权利。”②城如克罗齐所指出,官僚们对中央集权的抗争不是为了帮助这个制度去适应环境的挑战,而是为了捍卫和发展某种制度刚性来保护自己。”

    出于同样的道理,清代君主不得不小心翼翼地在常规方式和专制方式的统治这两者之间作出选择。当规则失去效用时,补救的方法不仅包括制订更多的规则,也包括诉诸于依赖专制权力的手段。从在位初期起,弘历便对不起作用的规章条例表现得极不耐烦。他的因应之道是,一方面对日常运作的官僚机器上紧螺丝,另一方面则将自己的专制权力注入到这一机器的运作中去。这种努力从他对官员的考评中最清楚地表现出来。

    效率的监督和指导

    君主控制的核心是对官员的考绩:考量他们是否有资历担任某一官职,调查他们在职位上的表现,并定期对他们是否称职进行评定。弘历在位的历史表明,要官僚机器做到自我制约是极为困难的。出于对自己所继承下来的官僚体系的失望,弘历开始寻找替代性的途径来实现对官僚们的控制。

    要做到对官僚的控制,其精髓在于对犯罪和行政失误作出区分。对腐败或更为严重的罪行,要由刑部在案犯被弹劾并撤职后处以刑事惩罚。行政处分则由吏部掌管,用于处罚各种失误,特别是用于逾期或未能完成定额指标(如侦破刑案或收税),隐瞒消息以及其它违反规章程序的行为。处分的内容则包括降级,调任到更差的职位,罚俸,等等。没有哪个官员的考绩单是没有处分记录的。这里是从1749年编的《吏部则例·处分篇》中摘录的一些典型的行政失误和相应处分的例子:官员将漕船沉溺情由不申报者,降一级调任。

    地丁钱粮经征州县官欠不及一分者,停其升转,罚俸一年。欠一分者,降职一级。欠二分者,降职二级。欠五分以上者革职。

    如有地方官畏疏防承缉处分,借端吓阻事主,抑勒该供,讳盗不报者,核实题参。照讳盗倒革职。

    虽然中国政府机制中很早就设有专门机构负责调查弹劾官员的渎职或错误,但自从中世纪以来,这些机构的功能就衰落了。从历史上来看,政府中的监察机构“御史台”(在清代叫做都察院)有责任对皇帝提出诤谏并对百官予以监察。但早从公元七世纪起,这一机构对下的监察功能使超出了它对上的诤谏功能。不仅如此,很长一个时期以来,甚至连这一机构独立监察百官的功能亦受到了侵蚀。满洲征服者从明代继承下来的那个监察体制,在很大程度上已丧失了对于地方行政的监察能力。到十六世纪后期,各省按察司行使的只是省里的司法职能。满清政府终于将之并人了省官僚机制,我们在提到各省按察使时则称呼他们为“省法官”。虽然在京城仍有监察官员对京官予以监察,但他们的主要工作变成了梳理文件,以发现其中违规情况。虽然各行省也设有“省御使”负责监视省里的行政话动,但这些人实际上驻在北京,这意味着所谓皇帝的“耳目”在京城以外是又聋又瞎的。因此,京城和备省的监察工作主要由官僚们自己来做,每个人都有责任注意其下属的行为。

    要知道行政和监察机制融合到了什么程度,只须看一省巡抚同时拥有御使台副贰的头衔就可以了,这表明他负有监察其下属行为的特殊责任。实际上,官僚机器是在自己监视自己。

    官僚体制的这种自我监督有两种形式:一种是对渎职和犯罪就事论事的弹劾;另一种是对所有官僚三年一次的定期考绩(这一考绩也是对劣等官员弹劾的根据)。这两种方式的监察主要都由官僚本身、而非监察机构进行。发生于乾隆朝的五千一百五十一件弹劾案中,只有不到百分之八的案件系由监察机构提出,其余均由京城或各省的官僚提出。虽然弘历认为这两种方式都不行,但只是在三年考绩报告中他才把这个问题最为明确地点了出来。

    三年考绩

    对官员定期考绩的历史和中国政府体制本身的历史一样久远。满清从明朝继承了这个制度,并在入关以前就建立了这一制度。到十八世纪中期,对文官考绩的基本程序包括京察(即对上三品以外所有京官的考察)和大计(即对除总督、巡抚、布政使及按察使以外所有地方官的考察)。

    在京查和大计这两项制度中,最为吃重的程序是上级官员每年对其属下的定级考成。这种考成构成了三年考绩的原始材料。在京城,三年考绩的登记由六部长官总其成,在各省则由巡抚负责。这些登记册(通常用明黄包扎)然后进交由吏部官员、都察院官员和满汉大学士各一名组成的审查委员会。这个委员会将审查登记册,并决定官员的升迁、贬降或留任。吏部要向皇帝分别奏报升迁和贬降官员的情况。皇帝奏准因“卓异”而获升迁的官员仍然要由他们的上司专门加以推荐。这种因政绩而擢升的个案特别是强调推荐的可靠性。对低级官员的推荐必须说明他是否有财政积欠或司法积案,因为这会妨碍其升迁。这种情况若在其升迁以后发现,推荐者本人将会受贬职或调离的处分。

    如果我们对这一过程中产生的具体文件认真加以考察,则这一制度表面上的话力就显得不那么突出了。首先,文件的格式是非常呆板的。登记册有时被称之为“四柱册”,因而每个人都占有包括四个项目的一页,其秩序为:“操守”、“政事”、“才具”和“年力”。每一项目下又分为三等:

    根据他们的评分,官员们被分为三等。分等的标准是看一个官员在几项中获得了高于平均的分数。比如,一个官员如在前三项中得到清、勤、长的评语,便会被列为第一等(年力在考成中好像并不重要。如果年龄和疾病使一个官员不能胜任,对他的弹劾是通过另一程序进行的)。那些得到两项中以上评分的为第二等;若只有一项评分高于中等或没有,则列为第三等。①所有这三等都属于胜任。那些被列为第一等的可以得到升迁,但要有专门的奏报推荐他们的“卓异”表现。同样,那些低于标准不能胜任的则会经专门奏报后受到纠劾。各省三年大记的格式基本相同,但每个官员会得到一个总结他们表现的四字或八字的考语。

    ①在北京第一历史馆保存的大量的常规考绩的黄册中可以看到这一制度的运作。比如,1753年的京察名单,黄册,第3861卷,第3~5页。

    这些呆板固定的报告为评价官员所提供的余地是多么有限!靠这个评分格式要对官员素质做出精细的区分是远远不够的。放在每个官员大记档案中的四字或八字评语,也不见得更能说明问题。只要稍微检视一下十八世纪的许多黄册,我们就可以看到考评官都是从一些标准词汇中选用评语的。这样的评语当然是语焉不详,言不中的。以下是从1751年直隶被评为二等知县的一份名单上摘取的几个例子。这会使人联想到,一个教师在为她的三年级学生准备成绩报告单时,挖空心思地想使她写的每一评语都具体实在(如“课堂表现积极,书写整洁”):

    才情教练,精详慎重。

    清慎勤谨,治政有方。

    精敏强干,办事干练。

    沉稳持重,办事教练。

    实心任事,办事干练。

    人们会希望在接下来的升迁推荐中会有更详实的内容,确实,升迁的评分内容更为全面,但是其格式同样是拘谨和浮面的:

    才识明敏,办事干练。

    明白谙练,办事勇往。

    老成淳谨,办事勤谨。

    才情明练,办事实心。

    才具优长,办事勇往。

    我们在各省的考评报告中可以发现措辞略有差异(这说明各省衙门有自己的标准词汇本),但它们给我们的总体印象是:虽然?选官员们竭力试图对表现大致上还过得去的下属作出甄别,但他们却对这些下属并没有多少直接的了解。

    这种拘谨呆板的程序是官僚生态的自然产物,也反映了运用这些程序的人们的心态。首先,人们需要回避风险。推荐一个日后表现令人失望(或甚至更为糟糕)的官员,会使推荐者本人受到处罚。或许,考评标准越是严格狭窄,官员们在推荐别人时所承担的风险可能就越大。作为一种原则,话应该越少越好。更进一步说,万一出了什么差错,描述行为比分析人品更容易搪塞。第二,考评或许适宜用于官僚们自己认为是“好的”官员。在一个受规则束缚的环境里,最好的官员就是最少惹事的官员——也就是那些能规避麻烦,将消极应付视为美德的人。在任何一个官僚体制中,表现卓异都是有风险的。同样,告密者和惹麻烦的人也不为人欣赏。过分热情的官员比规行矩步者更容易犯规。因此,在日常考评中,谨慎、小心和勤勉成为最突出的品德。

    常规控制的制度障碍 弘历对常规控制的失望

    弘历对这样一个常规考评制度本身并无不满。相反,他认识到这个制度关系到的是国之“大典”。在他看来,问题在于这一制度的滥用和误用。登基七年后,他抱怨各省的大计只是“一纸空文”、虚应故事——或贤员不行举荐,或劣员不受纠察。人事考评只注重眼前的具体事件,而很少提及一贯的操守。对一个现任官员的评价取决于总督或巡抚是否喜欢他,而不必与他的官声相符。举荐官员悉出个人喜好,对丑闻秽行也一味迁就,“只将教职及佐杂微员草草填注以充其数”。这样的欺瞒行为使君主遭到架空:“督抚受朕脓肱股心膂之寄,于此等切要政务等诸泛常,朕将何所倚赖?”①弘历认为,京察也只是在敷衍塞责。

    ①《大清十朝圣训》,第91卷第4页(1742年)。年轻的皇帝形式上仍在其父亲临死时任命的四个顾命大臣的指导之下。这个谕旨和这一时期的其他许多谕旨一样,可能是由顾命大臣起草的。但是它的口气和弘历以后关于同一问题的谕旨的口气相当一致,因此,没有理由怀疑它不代表弘历本人的看法。对于弘历祖父的同样抱怨,参见《大清会典事例》,第80卷第10页(1697)。

    在考绩官员的手中,三年一次的大计同样是虚应故事。弘历抱怨说,那些不合格候选人的升迁和留任考评也未被别出,竟能一路上报到御前:月官人材之优劣,年力之衰健,可一望而得。而拱默观望,诿之吏部,吏部又诿之九卿。九卿吏部交相诿,实诿之于朕耳。

    弘历知道,官员们与其做出个人判断而招致可能的怨恨,当然不如将这件事踢给他,让他一个人去受过。

    对弘历来说,当一个候选人从两个考绩官员那里得到大相径庭的评价,或当一个以庸碌出名的角色得到出色的评语时,考语的普遍贬值便是再清楚不过了。云南巡抚推荐他手下的一个道台时,所用的考语是“老成持重”。但是弘历复查道台的记录时发现,前任巡抚对他的评语是“年老体衰”,这是一个很难被时间治愈的缺点。他抱怨说:(该新任巡抚摺内对)其衰老之处并未奏及。其他所注属员考语,赤俱有优无劣。夫人才原属不一,或朴实有余而才情不能肆应,或于事干练而居心未能意诚。

    ……今伊所奏属员一摺,笼统开载,漫无区别,竟似通省官员并无一人可訾议者!

    某个台湾道台的考语说他“年力强壮,居心诚朴,才具明白,办事切实”。弘历批评道:朕深知其人,系小有聪明,居心并非诚实,办事亦不过循分塞责,初无干练之才,且年力亦不甚强壮矣。

    ……可见外任大员不留心人才之明验。

    虽然弘历知道,这种情况的产生与懒惰和懈怠有关;但他也知道,可靠的日常人事管理是受到制度上某些问题的制约的。

    庇护对抗纪律

    各省巡抚既是现任行政首长又是考评官。因此,他们在行动上会因其职务而有身不由己之处。其中之一,便是树立某种个人形象的强烈欲望,用官场的话来说就是“宽大”。这是一个好长官所应有的基本品质,它软化了督抚与属下之间原本是冷冰冰、公事公办的官僚关系。对一个长官来说,宽大意味着对部属个人需要的关切。虽然长官会因此而得到部属效忠的实际回报,但他的象征性收获却是由此而能建立起某种个人形象。

    每当长官对属下严加斥责、把属下当作官僚机器中一颗错置的齿轮而非血肉之躯时,他的形象就会受到损害。在这种情况下,上司的尊严和属下的前程都会受到损害。

    在何种情况下,我们才可以把地方官看作是巡抚的属下和扈从呢?一般来说,答案当然要到体现了整个中国官僚制特征的家长制中去寻找。但具体地来说,答案又在于督抚在部属任职、转任和升迁问题上提出举荐的权力。除了少数地方职务由于特别繁剧而由军机处推荐任命,以及一部分职位由吏部直接任命以外,巡抚拥有推荐官员出任本省具体职位的特权。如果一位巡抚觉得属下中没有特别合适的人选时,他还可以推荐本省以外的人选。甚至对于按行政法规定在他们举荐范围以外的领域,巡抚们也会为扩张自己的任命而不遗余力,因为这种权力对他们建立个人的权力庇护网络是至关重要的。考虑到各省人事调动的频率,这种关系网络可以迅速地成为全国性的网络。

    ☆★☆★☆★☆★

    为节省引文起见,我将用巡抚来包括总督和巡抚;我们所关心的问题对他们来说是相同的。

    ☆★☆★☆★☆★

    《大清会典事例》所提供的证据表明,从道台到知县的所有职位中,至少有百分之三十是可以经由巡抚的推荐而得到任命的。①除了形成派系和朋党的危险外,弘历还必须不断地同督抚们沽名钓誉的倾向做斗争,因为这使得他们难以公正地从事人事考评。当高晋在安徽巡抚任内为一个被撤职后正面临重新任命的属下作出难以置信的评价时,弘所斥责道:“……而已离任之人,不妨周旋以邀属员称誉,此向来督抚中沽名习气,殊属不合。”当然,在弘历看来,当这样的宽大来自于制度的顶端、即出自于他本人时,那就是完全恰当的了。确实,在官僚的实践中这或许可视为一条规律,即每一个官员都试图给自己(或其上司)保留宽厚品格的名声,而要求他的属下严格遵守制度。

    ①乾隆期的《大清会典》没有按照任命的方式来对职位分类,但是接下来的嘉庆朝版本是这样做的。《大清会典》中有一类将某些督抚职权范围内的职位和范围外的职位混在一起,我没有将这一类计入这百分之三十内。在乾隆早年,弘历不得不发布特别禁令来反对基于同乡和同年关系的各省人事关系网,这是一个传统的问题,但显然发自内心:“朝廷官职岂能专为自己保留?”王先谦《东华续景》。

    一个巡抚一旦为某官员举荐了一个职位,要他承认这是一个错误就会很尴尬。因此,举荐就倾向于一以贯之:没有一个巡抚愿意轻易改变对所举荐的属下的意见,除非该属下的表现好得或坏得出格以致使他别无选择。弘历抱怨说,如果一个庸碌之才获荐得到一个轻松的职位,他的上司很少会说他曾有超群的成就;而如果一个前程看好的官员被推荐到一个繁剧的职位,那么他的上司也很少会报告他的缺点。

    揣摩上司的意思

    另一个窒息人事考评的制度性问题是所谓的“迎合”,即通过修饰自己的评语来迎合揣摩到的上司意图并讨好上司。结果,这使得官员们根据皇帝的喜好对自己的考评标准加以修饰,从而对日常的考评制度造成了可笑的扭曲。这个问题在京城和各省的最高官僚群中都普遍存在。弘历因而指出:“朕于事之应宽者,宽一二事,而诸臣遂相率而争趋于宽。朕于事之应严者,严一二事,而诸臣遂相率而争趋于严。”表面上看来,这好像是“风过草偃”,即对君主权威的一种必需的敬畏。但事实上,弘历警告说:“诸臣之趋承惟谨者,多出于自私自利之念。”他们不识大体,妄为揣度,不顾是非对错,这难道是升官进爵的正当途径吗?京城部院衙门若有过错,自当“面加指示,令其更改”。但各省督抚系“专任封疆”之人,“若务为迎合,毫无定见,为属吏者又群然迎合,以取悦上官,则公事之颠倒舛错,非浅鲜矣”。

    弹劾的障碍

    与任何责任制度一样,人事考评过程中有一个自我否定机制,却没有人懂得如何运用它。对考评官来说,报告属下的错误是一种危险,不报告同样也是一种危险。行政法规包括一系列对“失察”的处罚——对属下失职的失察会使自己受到行政处分。但是如果上司官员真的举报了失职的属下,则可能会引出一系列丑闻(包括牵扯到他对同僚的不实之词,即他也对他们负有“失察”的责任),从而导致更为不利的后果。弘历知道,对失察的处罚使他无法得到地方上的信息。例如,奏报邪教可能会祸及一个官员的仕途。因为事件在该官员的辖区内发生,因而会对他是否称职发生影响,他就可能会隐匿不报。

    下面是《吏部则例》行政法规中对官员“失察”的处罚条例:其因事受财劣迹未著,同城之知府失于查察,降一级留任,司道罚俸一年。①其不同城在百里以内之知府罚俸一年,司道罚俸九个月。遇有失差题参,该督抚即于疏内将里数声明,以凭察核,倘有里数声明失实:将转详各官各降二级调用。

    ①一个官员的名义俸禄只占其全部收入的一小部分,其收入的主要来源是养廉。养廉与名义俸禄的比例在道台一级根据其辖区的大小可以高于四十比一。参见《中国绅士的收入》张仲礼。

    在敏感的案子中,故意包庇属下会带来严重的灾难而非象征性的处分。1766年,当弘历发现他所信任的一个行省长官庄友恭在一个弹劾案中隐瞒信息时,便抱怨说自己被出卖了:“庄友恭受朕深恩,特加擢用。乃敢为此,巧于市恩之术。是有心欺朕矣!”这个忘恩负义的家伙不仅被撤职,而且对他的惩罚从行政处分变成了刑事起诉。庄被正式逮捕,押送北京交军机处审查,其家产被查抄,本人系狱候斩。当然这种处罚的目的不在于杀人,而在于惩戒。几个月以后弘历特赦了庄,并命他代理福建巡抚。

    弘历清楚地知道,官场文化使得他的各省督抚们不愿弹劾属下,他因此对各省奏章阅读得十分仔细,不令自己轻易受骗。

    他发现了一个官官相护的体系,其中巡抚们为了保护直接下属布政使和按察使的名声免受失察的指控,会在弹劾奏章中写道:“(臣)正在缮疏间,据两司道府揭报前来,与臣访闻无异云云。”

    弘历嘲讽道:“若谓一面缮疏,一面揭报适相符合,或千百中偶有一二,安得事事如此?”

    自此,每当一个巡抚弹劾其属下,他就必须说明信息是出于自己的调查还是来自下级的报告,并具体说明信息是如何报告上来的。既然对弹劾中的违规行为所进行的弹劾可能会产生新的违规,难道弘历还会对通过常规程序达到健全的人事考评抱有信心吗?他发现,自己所面对着的是这样一个制度,省级官僚间垂直网络在其中的形成使得他们不可能自我约束。高层官僚和他们的下属“上下通同,逢迎挟制诸弊,皆所不免”。弘历指出:“此等恶风断不可不严加做治。”然而,他也知道,通过常规的官僚控制程序是不大可能扫除这些弊端的。①特殊的考评制度来自现场的机要报告目睹常规考评制度的失败,弘历自然要抓住一切机会以专制权力直接介入这一制度。要做到到一点,他就必须全面而可靠地掌握信息。从一即位开始,弘历就力图从各省获得秘密的人事评定。如果督抚们因害怕引起不满而不愿在公开的渠道对自己的属下做实事求是的评价,或许通过宫廷奏折提出秘密报告会使他们感到更安全。即位初年,弘历就曾这样指示过他们。“朕即位之初,各省道府诸员,皆不深知其人。汝等可将属员贤否事迹,各摺奏前来,务须秉公甄别,以各朕录用。”但即使是机密渠道,督抚们仍然感到不可靠。三年以后,弘历抱怨说他最初的谕旨已被忘诸脑后。所有的督抚们只“陈奏一次”,从此就没有了下文。他指出,由于督抚们在任的时间通常长于他们的属下,人员进出他们辖区的调动也就为他们对属下作出新的评价提供了很好的机会。所有督抚们都应时时通过“密奏”向上提出报告。可是,要实现这一要求,弘历就必须不停地与督抚们作斗争。1759年,弘历十分震惊但却并不意外地发现,两江总督通过机密渠道送来了敷衍了事的公文:昨偶检阅尹继善所奏属员贤否。摺内卫哲治尚为淮安知府,定长尚为徐州知府。计其时距今已十数年!自后何以竟无续奏?此系密陈之事,并无损宽大之名。尹继善复何所顾忌,而疏略若此?

    ①在弘历看来,清代政治的特点是清政府大大优越于明代被宗教分裂的政府。1769年,当一个巡抚建议建造一个特别的安全监狱来关押犯罪官员时(以便为那些在职任上犯罪的人提供更多的舒适),弘历十分愤怒。这些犯罪官员不仅不应该得到优待,他们比平民犯罪更为可恶。他斥责这一官员竟毫无顾忌地追随前明官官相护的可恨恶习。《宫中上谕》,乾隆三十一年一月十三日。

    现场的勾结共谋也同样败坏了机要报告制度。弘历沮丧地发现,他的行省官僚们在考评属下时会碰头会商以弥合异见,这样就剥夺了他本人获知不同意见的机会。这样的做法,是弘所在比较两份分别来自总督和巡抚有关人事的密奏时发现的:“伊等所注属员考语,大略相同。因复将伊等上次所奏两相比较,亦毫无参差之处,殊属可异。”弘历指出,遮些密奏是人事任命的关键依据。“是以一此等清折朕皆留中,时时披览。亦不令在廷诸臣与知。”相应地,督抚们“自当个就所见,据实人告。初不会彼此会同,以示意见画一。且正惟不必画一,而朕于其间,参互审量。”若督抚们协调会商,统一口径,“奚事密摺具奏乎?”

    弘历本来指望通过另一条渠道来获得秘密情报,以打破人事考评中的常规,但结果显然叫他失望。同题在于,机要渠道和常规渠道一样,是由同一批官僚具体操作的。显然没有人对官廷奏折的机要性有多大的信心。事实表明,这个制度并不足以打破行省官僚对人事考评的控制。

    弘历对新常规的拒绝

    一个解决问题的方案是使考评过程更为制度化和精确化,但弘历对之不感兴趣。一位御使曾批评督抚们写的人事考语充满了陈词滥调、空言套语,如“精明、能干、谨慎、实在”,却很少提到他们的具体政绩。这位御使希望考语能反映官员的具体表现,按统一格式列举他们具体做了些什么。如果被举荐人的表现与推荐不符,他的荐主要承担责任。

    弘历回应说,这个方案表面上来看不是没有道理,但什么是具体政绩呢?该御使所建议的“兴学、强化保甲”等项同样是“空言”。说到底,如果保甲确实曾得到过加强,地方官为什么不能及时抓获土匪和逃犯呢?更深入一层来看问题,人治而非法治的重要原则不可能通过只会产生俗套公文的程序来实现。弘历因而否决了任何进一步制度化的解决办法,特别是否决了为使政府仪式化和形式化而制造出更多文牍的方案。然而,一日君主否定了更为有效的制度常规,答案是什么呢?显然只能是君权对官僚机器的直接介入。

    宫中陛见制度

    清朝继承了前朝的尊贤制度,除了所有高官在三年大计时进宫觐见外,还要求所有官员在分发上任前要“带领引见”。文官赴任前,由吏部带领引见,武官则由兵部带领引见。宫中的《起居注》每天录下接受陛见的大批官员。人们可能会认为这样的觐见只不过是一种集体跪拜和君主赐恩的空头仪式,但君主与每个官员谈话的细节却令我们吃惊——弘历真的希望接受陛见的官员能同他交谈。①在这样的场台,人君借助的是自己的眼光而不是耶些固定呆板的考语。关于这一程序,我们所能看到的证据包括帝王本人对受觐官员的简短评语,以及受觐官员的引见单或履历单。

    ①一个来自云南驻防的年迈总兵在这样的紧张关头呆若木鸡,“始终竞不声明,则昏愦已甚”,让弘历感到厌烦。该总兵的上司,云贵总督爱必达很快奏告说这个将军“年老有丧”,应该退休。对爱必达在知道皇上已亲见此人的不胜任后才做这样的奏报,弘历十分震怒。《大清十朝圣训》。

    弘历的父亲胤禛显然认为自己有着品鉴人物的卓越能力。即使是很简短的交谈,他也能写出犀利的品鉴评语,这是圣明君主品鉴人物能力的证明。虽然弘历的评语相对来说要简短而温和,它们对一个官员的仕途前程同样有着巨大的褒贬力量。人君得自面对面考核的印象,自然要超过督抚们在下面所做的例行公事式的评价。因此,一个考语优秀的官员的仕途很可能毁于一次糟糕的陛见。一位倒霉的浙江按察使在受觐时给弘历留下了“不懂规矩”的粗俗印象。当弘历要他就浙江的事务提出报告时,这位官员却从表袖中抖落出一份以“五刑”图示来恐吓百姓的布告。弘历认为他举止粗野,就对该官员的上司发出质询。得到的回答是该按察使并无过失,虽然他的举止欠雅,但居官方正,胜任其职。但是弘历还是在第二年将其革职①虽然弘历在位六十年间一定留下了成千上万这样的评语,我只找到了写于不同年代的十九件。②把这些御评同经由常规程序产生的敷衍考语做一比较是很有启示的。

    ①《大清十朝圣训》,第92卷第2页(1747年)。顺便提一下,这位官员并非操马上生涯的粗鲁的满洲军人,而是一个中年汉旗官僚,弘历肯定在以前召见过他。②我可能看到了所有弘历的现存陛见评语,以朱笔批写在史部为他准备的官员简历上的文字。它们保存在北京第一历史档案馆的《宫中档案》“履历单”中,共两箱。朱批没有注明日期,为方便起见,我使用官员简历上的最近日期。君主个人评价的证据当然不限于陛见评语。除此之外,弘历也在刚接受任命官员的谢恩奏折上批字。我注意到在北京宫廷奏折档案的“内政,职官”部分有几十份这样的批语,但这样的批语如果没有上千份的话,至少可能有几百份。其中一份批语的口气和内容与陛见评语没有多大差别。在一位刚刚被任命为知府的谢恩奏上,弘历朱批道:对何流管理知之甚多,长处应有所用。(译注:此处引文未找到中文原文,系根据英文译同中文。)《朱批奏折》,内政,职官。乾隆四十五年二月五日。除了指出他们的专长和将来的专任以外,这些评语有时表明弘历对该官员的最高评分:“中人之才。只堪简职”;“知府足矣,局面小些。”

    礼山:人似忠厚,还可用,然器质只可胜道台而已(1747年)

    屠用中:人亦可,有出息。(1751年)

    周元理:精干晓事之材。(1758年)

    孔继洞:不如先所记,似图安逸自止之物。(1758年)

    姚立镰:结实,有出息。(1761年)

    兆麟:似有良心,当可用者,或略短于才事。(1761年)(1762年)

    谭尚忠:明白,似有出息。喀薄。(1762年)

    杨重英:似可用,但恐过聪明有心。(1762)

    马腾蛾:结实可用,将来有出息。(1762年)

    单?:似可用。(1764年)

    吴兆基:伶俐,当可造就,再看。(1764年)

    狱咏簇:人似聪明。(1764年)

    粱兆榜:此任似可,妥当,非大器。(1766年)

    额鲁礼:忠厚本分,人似结实。(1768年)

    李豫:妥当,不繁要之道似可去得。(1770年)

    顾学潮:未免苏州派,非甚大嚣。(1773年)

    德尔炳阿:去得。(1780年)

    张廷桂:亦可。(1781年)

    沈荣勋:尚可。(1783年)

    这些御评所用词语中,囊语有:忠厚,有出息,精干晓事,结实,有良心,明白,聪明,本分,等等。贬语有:图安逸,短于才事,薄,非大器,等等。

    弘历当然是根据面对面的印象做出判断的,因而或许会受到偏见(如他对江南士人的特别猜疑)或先人之见(许多人以前就觐见过他)的影响。但他所判断的是品格而非职务表现(他尽自己所能这么做——值得肯定的是他经常用“似”字来缓和语气)。在品格褒语中最上等的是“有出息”(这在今天的汉语口语中很常用),我一般把它译成“有才干”(hasgumption),而如果讲到的是将来,则译成“会有所成就”(willmakesomethingofhimself)这个评语似在暗示,依靠自己才干者和仰赖他人庇荫者之间是有区别的。它显然把领导才具和仅仅力图保住官位的政客区分了开来。

    其他的褒语反映出弘历所赞赏的是实在稳重的品格:“结实”指的是坚毅、稳重,能够在繁剧的职位上坚守原则的人。“忠厚”和“本分”与官僚评价中所用褒语意思接近。对弘历来说,这两个词也许将坚持操守的人和那些利用官职谋取私利的宵小之徒区分了开来。与上述坚实品格相对的是“薄”,意为浅薄,指的是表面上的能力并没有坚实深厚的基础。“明白”、“聪明”是一种只需恰到好处的品格。弘历对一个“过聪明”的家伙便感到反感,认为他想用自己的小聪明来遮掩其品德上的缺陷。

    至少从这些零星的样本中,弘历好像始终没有发现他所谓的“大器”,即那种风毛麟角真正能堪大任之器。他常以否定的方式用这个评语以说明某人显然不具备这样的杰出德性。这样的才具显然是缺时多、有时少。对于一个显然缺乏独创性的人来说,“非大器”是一个贴切的评语。甚至连周元理这样的人也不是弘历心目中的大器——至少在我所引述的那次受觐时是如此——尽管他在同时受觐的官员中是唯一完美无缺的人才,并将在二十年后升任尚书。

    确实,同日常考评制度中的俗套用语一样,弘历对品格才具是重视的。然而,觐见评语对理想官员的描述却与常规考评大相径庭。这一形象应包括坚毅、真诚与精力充沛,同样重要的还有勇气和雄心,这就是所谓的“才干”。这是自豪而奋发努力的成功者的标志;这是一个领袖人物,而非拘泥规章的胥吏。在弘历看来,谨慎和勤勉只是一部可靠的文书处理机所需的品质,而不因此就使人能胜任高级行省官员和部院京官的职位。

    上层制度:“政治任命”

    职位越高,其任命程序受常规制肘也就越少,这是所有官僚体系的一个共通原则。如所周知,“政治任命”为最高长官提供了让自己的朋友或那些与自己观点相同者出掌权要的机会,弘历明确表示,各省督抚和京城部院堂官的职位太为重要,不能通过常规处理。他也拒绝将省布政使和按察使归入大计考核的建议,因为他知道,要对这种敏感职守上的错误予以惩罚就不能等待三年一次的常规考绩。虽然各省督抚和京城部院堂官免于三年大计,但他们仍有责任向皇上“自陈”。弘历对这种冗长而充满陈词滥调的文字根本就已厌倦了。便在1752年取消了官员“自陈”的要求。他宣布,他将随时根据自己的意愿亲自奖励或处罚这一级的官员;卿贰职赞机务,督扼任寄封疆,朕量才筒擢,日复于怀。其有不副委任,或克称简畀者,率已随时黜陟,断无远待三年之理。①然而,将这样繁重的职责揽到自己身上仍不足以确保对高官的考绩,六年以后,弘历似乎又在回归常规。虽然“自陈”只会制造一堆没有实际价值的文牍,但没有任何别的考绩手段能使得高级官僚们自律。现在,史部在京察时必须为京城三品以上官员和各省督抚们各准备一份登记单,并附上每人的最近履历,以供皇帝审阅。但是,弘历并未丝毫放松对政治任命的控制,他只是在警告获得任命的官员:他不会让他们的仕途变成舒适写意的陈规滥俗,使之在无所事事中陷人常规化:(朕对)其人贤否优劣,呈已均在洞鉴,然其间亦不乏旅进旅退,苟图持禄恋栈之人。若以平时既无大过,足干吏议,又不按例甄核,任其迥朔日久,必致职业不扬,甚非澄叙官联之道。

    ①这与其父亲的坚持常规形成对照;在其在位后期雍正恢复了自1685年中止的京查制度,并把间隔从六年减为三年。“自陈”的要求不变。

    对政治任命的挑选和考评既是一种正式的制度,也是具体的政治实践,其运作要服从一套不同于常规的原则。虽然吏部在某种程度上参与其中,但君主的专制权力打断其日常运作的任何环节。官员的职越位高,他的任命和监督就越不受常规程序的制约,直接受到君主个人权力的影响也就越大。虽然这在人们意料之中,我们仍有必要进一步探讨这种个人专制的权力是如何运作的。

    礼仪行为

    君主对“政治任命官员”的控制在很大程度上依赖于自己与他们的个人关系。这是一种双向的交流,它由君主所规定,而为官僚们所认可。在官方文献中,随处可以看到君主通常会反复地将他们称之为“心腹手足”。官僚的认可使这种在依赖一方与控制一方之间的对话完成了循环。这一认可在一个官员觐见皇上并接受任命之后的仪式中及时地表现出来,这就是新获任命的官员呈上的“谢恩表”。

    在令人看来,谢恩表似乎是一种极为卑屈的文字,表达了一种极端的个人依附。应该成为士大夫性格表征的“高贵气节”在这里已是荡然无存。如果还看得到个人“才具”的话,也只是蛛丝马迹而已。这是一种体现“东方专制”的文字,是一种文字形式的叩头长跪。以下是1769年的一份谢恩表,颇值得予以全文征引:

    湖广总督臣吴达善跪奏为恭谢天恩事。窃臣质本凡庸,至愚极陋。仰蒙皇上隆恩,生成教养,叠畀封疆,愧消埃之莫报,惟舛谬之日增。乃何格外惑宥,恩命特颁湖广总督,且于上年十二月二十六日赴嗣叩觐天颜,跪聆圣训,感铭肺腑,更沐赏赐,稠叠恩施逾分,宠荣已极。虽犬马尚如报主,臣具有人心,敢不殚竭丹诚,以图报效。惟有实心实力,恪遵训诲,整饬地方,无欺无隐,以冀仰报高厚殊恩于万一。所有微臣感激下悃理合恭摺,叩谢天恩,伏祈皇上睿鉴,谨奏。(朱批:“览。”)

    所有的谢恩表都重复着这种只有些微不同的语言,仅仅把它看作一种礼仪是远远不够的。这也是一个基本政治事实的象征形式。它不断地被重复,使之像其他的仪式一样变得更重要而不是相反。正是这种有关赏赐和表达感激的仪式维持着君主与高级官僚之间的关系。

    即使在日常的公务中,表达依附关系的象征符号仍然占有一席之地。就连平常的公文也以礼仪的形式包装起来。例如,在回答君主旨谕的奏章里,君主的话必须全文照录。这不仅仅是一种良好的官僚实践,以便使文书往返时有一条清楚的备查线索。作为一种礼仪,奏报人所录的君主的文字经常大大地多于他本人谦卑的应答。另一种通常的文字叩头形式,是奏报人谦卑地照录君主在他被退回来的奏章字里行间所写的训斥性的朱批。

    文书中的这种礼仪强化了官员与君主间通过政治任命而建立起来的个人纽带。如同我们刚刚在谢恩表中所看到的那样,强化的动力则是互惠。那种礼仪性的羞辱不是一种贬抑的标记,而是特殊身份的象征:用儒家的语言来说,官员们并非君主的工具。君主可以训斥他们,嘲弄他们或处罚他们,如同一个严厉的父亲对待他犯错的儿子。但是他们之间的关系并不卑猥,因为他们是有“人心”的,有能力像人那样行动,而不是机器或蠢笨的动物。他们不像那些低级胥吏,既不是规章的傀儡也不是为日常程序所牵动的机械。

    君主要实现对官僚更有效的控制,就必须超越常规程序。

    觐见制度,机要考评系统,以及把高级官员同常规制度部分地分离开来都是出于这样的目的。在弘历的官僚系统中,他所面对的官员级别越高,常规因素所起的作用就越弱。在这一制度的硬端(即由行省长官和各部院首脑组成的那个“俱乐部”),对话的规则是高度个人化的。在日常公文和谢恩表之类的礼仪性文书中,这种个人关系都一再得到重申。玩忽职守被看作是对君主本人的冒犯,君主因此而出现对臣下的信任裂痕则是由于臣下的忘恩负义。结果,行省和京城的高级官员是根据两套规则行事;在形式上,他们仍然受到行政处分则例的制约,君主可以据此将他们交吏部议处。然而,除此之外,他们又受到了君主的直接注意——他可以通过用繁琐礼仪包装起来的个人关系来激励他们,责备他们和恐吓他们。

    个人关系同时在礼仪和事件的领域里发挥作用。某些事件——特别是我先前界定过的“政治罪”——是最有效的媒介物,使得那把中国官僚君主制的最上层捆绑在一起的个人纪律得以滋生成长。这是那种弘历可以利用的机会,以防止他的高级官员们偏离他个人的控制而滑入常规节奏和裙带关系。

    叫魂危机中帝王控制的运作

    叫魂危机为对个人的纪律整肃提供了特别合适的机会,因为它是一个建立在如此荒谬的基础之上的案件。君主的愤怒可以发泄在行省官员身上,因为他们未能抓获妖党首犯。然而,这样的失职却是不可避免的,因为这样的妖首并不存在。叫魂案件虽如此荒谬,但弘历在当时却对此并无察觉。不过,说弘历“利用”了政治罪并不见得比说政治罪“利用”了他更接近真实。

    政治罪为君主的某种行为的产生提供了一个大背景,而这种行为的塑造则应归之于官僚君主制的一些长期存在的结构性特点。弘历将各省官员们在缉捕妖首问题上的失职归咎于他们的怠情、迟疑、对无能属下的姑息,也归咎于江南的腐败以及官员个人的忘恿负义。这些问题正是君主常年关注的焦点。我们已经看到,弘历要在常规环境里对付这些问题有多么困难。像叫魂案这样一桩政治罪所造成的最大冲击,就在于它动摇了官僚们用以有效保护自己的常规行为方式,从而为弘历创造一个环境,使他得以就自己所关心的问题同官僚们直接摊牌。

    严饬属下

    我们已经看到,弘历对督抚们整饬属下时的失职有多么失望。在君主看来,狡猾的地方官对纵容和轻信的督抚们隐匿下情是一种典型的官场陋习。弘历相信,他的督抚们既怠情又易受骗。河南巡抚阿思哈试图让其主子相信,术士们有隐身秘术故得以逃脱,弘历在朱批中嘲笑说:“浊存此心,无怪属员缉孥不力,其欺汝无用废物矣!”弘历认为,向上封锁消息是州县官员逃避责任的典型做法,春天的剪辫恐慌迟迟未得上奏便证明了这一点。在羞辱了高晋和彰宝对今春剪辫事件的失于奏报之后,弘历又斥责了他们对地方官员督饬不严。长州、元和、吴县的知县报告说他们县没有剪辫事件,这是“极为荒谬和不实”的。

    弘历命令高晋查清三县剪辫案的数目,然后参劾这三县的知县。但过不多久,他又改变了想法。彰宝应该参劾这些知县,但要让他们先缉拿案犯。弘历所担心的是,不然他们就会在极度惊恐之下隐匿一切。虽然地方官肯定有隐瞒情事,督抚也有包庇地方官的情形,彰宝在此时应暂缓参劾下属。弘历朱批道:“如此,则谁肯报公耶?此时但督其察挈,获正犯后查挚……不解事矣,恐不能获正犯矣。”不过弘历已经把话点明了,各省对地方官的督饬必须加强。

    重申官场规范

    对地方官来说,没有什么比辖区的边界对他是更为确切的保护了。他对自己辖区内发生的一切负有全责,这也意味着辖区外的任何事情当然都是别人的问题了。但是,这样的常规与行省官僚职责的非常规方面形成了冲突:他的主子的公务是不分畛域的,当发生的事件危及王朝的安全时,作为其主子的个人臣仆,他也不能以辖区界限为由来逃避责任。弘历没有放过任何一个机会来强调这一点。妖术大师玉石据说躲在安徽宿州。

    江苏巡抚彰宝抱歉地奏道,因为宿州不在江苏,超出其管辖范围,因此他对越出省境的缉捕颇觉踌躇。弘历指斥说,即使在追缉普通罪犯时,官员们亦不妨越境会协邻省缉拿。若此等匪魁潜匿他境,“岂可尚存畛域之见,视同膜外”,以省界为借口而逃避责任呢?督抚受封疆重寄,当以“国家公事”为重。若顾虑越境“或伤同官和气”,“皆非公忠任事之道”。若所有官员,“相率如此,则各省将扦格不通,尚成何政体乎?”

    在发生政治罪的情况下,官僚们发现职务的界定并不比辖区的边界能为他们提供更多的保护。当浙江巡抚冯钤报告说他让省臬司去调查妖术嫌犯时,在寻常情况下这本是很合理的做法,弘历却呵斥他推诿卸责:“此何等事,而汝按例交臬司?汝不当每日亲市详讯乎?外省习气实在可恶!”

    强化个人关系

    除了极为严重的渎职要受到刑事处分外,君主有两套缰绳来控制他的督抚们。其一是常规的行政则例,君主可以将官员交由吏部赏罚。另一套则是行使非常规的专制权力。使用这种权力所导致的制裁,可以是丧失宠信,也可以是丧失财产、自由甚至生命。可以相信,后面的这种情况在官员的心目中并非仅为臆测想象:无论在处罚发生于战场上或是镇压谋反时的严重渎职时,弘历的残酷和严厉都是出名的。①在弘历用以进行个人控制的言词中,玩忽职守就是忘恩负义。当江苏省按察使吴坛承认自己未及时向朝廷报告今春的叫魂案件时,弘历在朱批中斥骂道:汝在刑部时,表现出色。然一任外省,即染模棱腐败之陋习。殊堪痛恨……汝空耗时日,奏报但无一宇是实。汝实有负朕之信任,不知恩之物!

    ①在1749年对金川土著的战役中以贻误战机的罪名处决张广泗,是一个臭名昭著的决定。在1767年对缅甸的战役中,弘历因谎报军情处死了两个官员。关于这些案例,见第三章。在1751年的伪稿案中,弘历因山东巡抚准泰匿报物证而监禁了他,并查抄了他的家产。《宫中廷寄》,乾隆十六年八月十七日。

    这样的语气在比较温和时,实际上是对谢恩表的一种对应,是君臣之间礼仪交换的一部分。来自于被斥官员的回答通常是“悚惧难安”或“愧报无地”之类表示惊恐羞愧的套语,为成百上千的行省奏章增添了色彩。对帝王宠信的漫读会带来真正的恐怖。山东巡抚富尼汉肯定还记得,他的前任准泰在十六年前因隐匿1751一1752年伪稿案件的证据而被举发。准寨未将一份在奉省发现的伪稿抄本奏报上去。因为伪稿攻击的是弘历的个人行为(并可能指斥王朝的台法性),毫不奇怪,弘历把自己的盛怒发泄在这个倒霉的旗人身上,指责准泰:“平日一味取巧因循,已不能称职。及见此诬谤悖逆之词,竟至忍心隐匿,实出朕意料之外……置君臣大义于不问。”弘历囚禁了忘恩负义的准泰,并查抄了他的家产。政治罪将官僚生涯中的整洁有序的后院置于专制权力的严厉狂暴之下,这就是为什么当叫魂案发生时,它是君主的问题而非官僚们的问题。

    官僚的抵制

    关于官僚机器如何回应君主的淫威,我们必须在档案文件里细心地寻找。好像有几种不同的抵制情况存在。毫无疑问,其中有一些抵制是经过深思熟虑的;有一些是由于官僚程序的颟顸阻止了对紧急事件的及时因应;再有一些可能是某些官员因不可知论而产生的轻视使他们不把叫魂案件当作一回事;还有一些可能是害怕清剿会危及自己的仕途;最后,则可能有一些耿直的官员拒绝根据诬告之词迫害无辜民众。

    抵制无疑是存在的。在北京,风闻春天在江南发生的事件以前,抵制就开始了,一些莫名其妙的事件根本就未向朝廷报告。

    当对信息先发制人的控制未能达到息事宁人的结果时,各种补救过失的措施便应运而生了。我将要讨论的每一项抵制措施都可用其他的理由来解释,但把它们综台在一起来考虑,我相信它们所展示的便是对专制权力谨慎而广泛的抵制。这些行动不像是协调一致的,说它们深思熟虑也没有证据。但是,要抵制专制权力并不需要通同作弊或苦心经营。官僚机器本身颟顸迟缓的工作方式,就足以使抵制专权的诡计得逞。

    忙而不动:吴绍诗在江西

    在叫魂危机发生的前一年,有人告诉弘历说,江西巡抚吴绍诗被人唤做“老菩萨”。弘历很担心,这个老菩萨会太消极无为而耽误公事。①吴当时已七十岁,是一个著名的法律世家的大家长。弘历对这个世家十分尊重,吴和其子吴焕与吴坛曾两次被任命同时在刑部供职,而按照回避原则,同一家族的成员通常是不允许在这样的衙门同时任职的。

    江西东面的信江河谷是连接邻省浙江的便捷通道,叫魂的谣言早在6月中旬就从这里悄悄地传人了江西。吴绍诗并未奏报这一情况。他后来报告弘历说,他曾口头命令属下对可疑的行旅保持警觉。但没有人被捕,也没有在本省发现剪辫情事。弘历对这位年高誉隆的巡抚表现了出乎意料的克制,只是温和地驳斥了他:对谣言来加奏报是“汝误矣”。但到了10月初,吴绍诗报告说他在省内安下了一张比任何别省都要严密的警网,挑选了干员“改装易姓”分往各县密行查缉,并每旬一次报告有无可疑人物。此外,他还令各府州委派精细强干之人查访“庵观寺院祠堂书馆及深山密箐等处”。吴绍诗审慎地提醒他的主子(《清实录》,第780卷第23页,乾隆三十二年三月七日。吴绍诗的健康也有问题。但弘历就此事问及两江总督高晋时,高晋说他没有听说任何事情证明吴的不称职。高晋并答应继续观察,随后报告,但我无法找到这份后续报告。不管怎样,弘历相信吴是一个经验丰富,诚实可靠的官员,所以继续让他留任。),那些从事“左道邪术”之人,以“创立烧香好善会(为)名,阳则聚集乡愚男妇,阴则勾结亡命棍徒”;他们又以避灾防盗为名,“造作妖言,制备军器,诱人归附”。无论僧道诸色人等,凡面生可疑、神气沮丧、迁徙无定、畏于见人者,都要立即报告地方官。(朱批:“恐属空言,实难信矣口”)

    确实,什么事也没有发生。六个星期以后,吴绍诗(在弘历中止了清剿以后)在反复谦卑的谢罪后报告说江西没有发现一起剪辫案。没有档案文字证明江西曾像邻省那样搜捕过可疑嫌犯。应该如何来解释这一现象呢?要么是吴的警网从来就没有真正地动用过,要么就是这样的警网根本就捕捉不到嫌犯。

    在江西我们看不到其他省份的那种刑求和伪证。据此,我们只能相信,巡抚吴绍诗根本就不打算查缉这个他认为是误传的案子,他在先前奏报中提出的忧心忡忡的警告和精心布置的查缉都只是装模作样而已。吴绍诗安然度过了这一危机:弘历不但没有斥责他,反而在第二年任命他为刑部尚书。由于他在法律方面的造诣,也可能由于他的顶头上司、弘历的姻亲高晋的袒护,要对他不愿加入这场集体游戏的行为予以惩罚并不是一件容易的事。

    转移视线:对苏州教派的迫害

    吴绍诗的次子吴坛是邻省江苏的按察使。他和父亲一样,也是一位受人尊敬的法律学者。像他的上司一样,他也未向朝廷报告今春发生的叫魂案件。如我们前面已看到的,他后来也因织造萨载对叫魂案件的密报而蒙羞,并遭到弘历的痛斥怒责。

    但是不久,这个“不知恩之物”便为主子送去了更为可信的情报。

    9月28日左右,即受到弘历朱批斥骂的三个星期后,吴坛奏报说虽然他来抓获叫魂案犯,但经过查访却发现苏州城外有十一座由俗人建造的佛教经堂。①有两个相关联的教派——大乘教和无为教——卷入了这些活动。我们在第六章曾经提到,几个星期以前,无为教在保安受到严厉镇压。无为教(或许大乘教也一样)奉罗清为教主,自1727年起就被朝廷所禁。现在,大约有七十人被吴坛逮捕。他们的供词让人吃惊地发现,这些教派自1677年起就在本地活动,最早的经堂就建于那一年。

    在这里,我们必须来考虑一下事件的背景。我推测(虽然我无法证实),在苏州这样一个繁忙的城市里,上述规模的教派不可能长期隐蔽活动而不为地方政府所知悉。县衙的胥吏很有可能多年来便一直向他们勒索保护费。这些教派并非一定是秘密宗教团体,它们为运河上的漕船水手提供精神安慰和栖身之所,而某些栖身经堂的人显然是退休的水手。省按察使受到上面的压力要抓获叫魂案犯,必然对其属下施压,底层经办人员因此决定用教派信徒来交差。拘捕这些无事但易欺的信徒可以暂时满足朝廷清剿的胃口,而蒙羞的吴坛也可藉此来表现他的责任感。弘历正如所料,对这些教派的反应十分严厉。他命令严惩这些教徒以做效尤,并仔细审问他们同叫魂案可能有的联系。吴坛则必须特别警惕,看看能否找到曾在保安发现的那种“逆词”。

    对苏州教派的迫害触发了一轮对失职官僚的弹劫。因为这些教派早在1677年第一座经堂建立后就开始在苏州及其周围地区活动,一大批过去在苏州几个县任职的官员以及他们的上司都因未及时采取镇压行动而负有实际的责任。最后的结果很可笑。在一大批事后受罚的官员中,包括六十八个知县,二十二个知府,十四个道台,三十二个按察使,二十九个布政使,二十六个巡抚,以及十四个总督。其中许多人当然早已死了,有些因在此任职不到六个月而得到豁免,还有一些则因参与破案而不予追究。另有一些人以后升到了更高的职位。前江苏巡抚尹继善现为内阁大学士、军机大臣,他被罚俸九个月。但对一个像他这样地位的人来说,这只相当于一张停车罚单。虽然一些低级官员受到降职或调职的处分,大多数人得到的只是象征性的处罚。这个大张旗鼓的弹劾过程是一幕令人难堪的闹剧,但在吴坛和江苏省的其他官员们看来,这可能是用来应付来自弘历的无情压力的一种适当代价。

    统一步调:觉性案件

    在湖南那个多情和尚觉性的案子中(我在第七章讨论了该案),湖广总督定长让他的主子欲怒还休。觉性在翻供以后和盘托出了他和刘姓店主年轻媳妇的奸情,对他的叫魂指控于是撤销,他被判通奸,杖责流徙。定长回到武昌的官署后,于10月31日向弘历奏报妖术清剿段有进展。弘历龙颜大怒,他现在懂得了定长为何要旅行六百多里去亲自审讯该案犯。他在朱批中呵斥道:“以汝伎俩恶术,不过又皆审处完事。汝安守汝总督养廉耳?不知耻无用之物,奈何?”

    没有一条规章则例要求在省府的审判必须有总督在场。和弘历一样,我们可以有把握地假定,该省官员在弘历面前组成了一条统一战线——如果弘历不满意他们的清剿结果,他就必须惩罚一大批官员。像这样由多个官员同时出场审讯的例子存档案中还有很多,官员们显然是在用人数来赌安全。一份由省高级官员共同上奏的联合报告,显然比由一个官员单独奏报更容易躲过君主盛怒的惩罚,并把因同其他人意见不一致而带来的危险降到最低程度。

    常规化:转移到安全轨道

    卡尔·曼海姆曾指出:“官僚思维的基本倾向是把所有的政治问题化约为行政问题。”他的意思是说,官僚没有能力超越他们“有限的社会眼界”和理性化的工作范围,去认识发生在更大的政治世界中的非理性的利益冲突。我要给清代官僚们的眼界和权术打更高的分数,并假定他们在有目的地将政治问题定义为行政问题上是很有本事的。

    叫魂案中的许多例子表明,官僚们尽力将来自君主的紧急、非常规要求导人习惯的、日常的轨道。无论如何,尽管在办案中未能获得具体的结果,但恪尽职守总可以差强人意了。对一个勤勉的官僚来说,他可以用许多日常公务来搞得自己忙碌不堪,却不必承担什么风险。比如,从理论上说保甲制早就建立了,但实际上永远有整顿和强化的必要。在清剿妖术时,南京布政使就曾一本正经地建议整顿保甲以清查在南京地区的每一个人。

    弘历对此建议的目的一目了然:这只不过是装模作样以逃避吃力不讨好的搜索叫魂案犯的责任。他因而朱批道:“此属空言,汝外省官员习气实属可恶。”高晋则建议在全国范围内对僧道重新登记。他说,大多数僧道都是失意文人,其异言邪术大为风俗人心之害。高晋并向弘历保证,他不敢以空言来搪塞。弘历朱批道:汝多年来未抓获一个案犯,岂能说“非空言”?要对一群软弱易欺的僧道发动一场常规性的清查是再容易不过了。弘历清楚地知道这样做背后的目的是什么。浙江按察使也提出了一个相似的建议,对没有度牒的僧道外出旅行要检查其有无路照。

    通过把缉拿叫魂案犯变成日常公事,地方官员们便回到了既为他们所熟悉又不受短期考评约束的方法(如保甲制)。一个官员可以指望,在使用这些方法的结果还未经考核前就被调任,案件于是也从紧急渠道转入了对地方官员更为安全的常规渠道。但是,这个策略并未成功地让警觉的弘历改变他的初衷。

    作为一种社会制度的官僚君主制

    叫魂危机的文献记录所折射出的是一种双重的图像。其中那幅粗线条图像勾勒出的是每日进行的对妖术的清剿。而那幅比较隐晦不彰的图像则透露了文献作者和读者之间的关系。从这重叠的图像中,我们可以联想到中国帝制国家的两个侧面:它既是一种工具(其功能是根据满清皇室和满汉精英层的利益需要来管理国家),也是一种制度(其功能是在不同政治角色之间实行权力分配和地位分派)。国家作为一种工具(我将之称为“政府”),同我们对于政府的常识性理解是相符的:它是为完成诸如征税、治安和战争之类的任务而建立起的组织机构。国家作为一种制度(我将之称为“官僚君主制”),则是由那些生活于等级秩序之中,其生涯取决于声望和权力、黜陟和安全的人们之间的各种关系所构建而成的。当我们解读由“事件”而产生的文件时(不管这文件是关于税收的常规公文还是关于叛乱的紧急奏报),都必须要么把它们当作关于外在现实的描述,要么将它们视为文件作者政治需要的反映。(所谓“政治需要”,当然并不一定是狭隘的私利,也可以是文件作者从原则出发对部门利益的捍卫。)人们在制度中的相互关系同发生于现实世界中的“事件”绝不是风马牛不相及的。恰恰相反,正是这些“事件”使得国家作为工具和制度的两个侧面各自因对方而具有了意义。

    虽然“事件”这个词对我们来说并无确切的定义,但在中国的官僚实践中,它却是一个很能够说明问题的用词。“事件”有一个开端(当有人首先引起事端)和一个结尾(当某人因处理事端的方法而受到赏罚)。一个官员的仕途取决于他的表现,而他的表现则取决于他处理具体事务的优劣。赋税是否已经征齐?

    罪案是否被及时破获?造反是否被阻止或平息?水患是否获得了治理?灾民是否得到了赈济?等等。就可叙述性而言,一次明显的成功或失败就是一个“事件”。一般来说,是“事件”给了官员以机会去弹劫他人,也是“事件”使官员得以因自己的长处而受到赞助。“事件”作为一种机会,不仅可以为一个人带来幸运,也可以同时服务于上司和下属的需要,并编织起使一个人得以在公共生活中立足的人际关系。

    所以,除了维持帝国的秩序以外,政府还有另外一个作用,即为官僚君主制的运作提供象征性的资源。正如官僚君主制靠中国社会的经济剩余为生一样,它要以社会中的“事件”为原料来推动制度内部各种关系的运作。官僚君主制的内在机制则对所有这些“事件”进行加工,使它们转换为权力和地位。

    像官僚君主制下的任何其他关系一样,这一制度的主轴——君主和官僚之间的关系——也从“事件”中汲取养料。君主需要具体的机会来强调他对官僚的支配,来惩罚为他讨厌的人物和褒奖受他宠信的官员。一个行省官员并不仅仅只是这一制度的具体办事员:他的每次公开行动,都受到了他同君主之间个人关系的影响;而这种个人关系则始于他被任命时的朝廷觐见,并在其后的常规觐见中一再被强调。这种个人关系的质量,以及它同正式的、“客观的”官僚政府结构之间的复杂关系,则在很大程度上是通过官僚们所参与的“事件”得到界定的。只有通过“事件”,这种关系才会成为档案文献的一部分。

    但是,官僚君主制并不仅仅只是消极地对以“事件”形式表现出来的社会环境作出反应。恰恰相反,人们对自己所希望处理的“事件”也有一定的选择权力,并能够决定如何对这些事件作出界定。官僚君主制下的一个行为者可以塑造“事件”,可以重新对“事件”作出界定,甚至可以制造“事件”,从而增进自己在这个制度内部的利益。同样,人们也可以剔除那些可能危及自己利益的“事件”。当然,这样的选择权力是有其限度的一场重大的民众造反便是无法捏造或剔除的。但是,君主和官僚都可以通过文献的制作来影响人们对某个事件的界定和看法。

    对叫魂危机当然也可以用这样的手段来加以操纵。民众的恐慌迫使这一危机浮到了社会生活的表面。但是,官僚君主制对妖术意义的界定则明显地受到了体制内不同角色的需要的影响。

    所有人在处理这一事件时,显然都以一只眼睛盯着官僚世界中的权力和地位。

    我想说明的是,1768年的妖术危机不仅对政府来说是一种紧急状况,而且对弘历来说为他对官僚制度的极深猜忌提供了一个出气孔。说弘历故意利用叫魂危机来整饬官僚可能超出了证据的许可。但已有的证据确实表明,当弘历看待官僚体制时,他的习惯用语产生于他内心最深层的忧虑,即常规化和汉化。

    而这一语言的力量——它对事件作出界定和为行动提供动力的力量——则在政治罪的环境中获得了急剧膨胀。

    妖术与弘历对大清帝国的深层焦虑之间是存在着联系的,进从他的朱批中反映了出来。这些朱批不用草稿,也并非别人起草,是弘历的当下反应。这因而是他自己想法的不假思索的表露,是他对眼前问题的直接感受。这些朱批文字的背景是对妖术的清剿,但其内容则涉及到对官僚的控制。弘历憎恶妖术,并对其社会影响怀有恐惧。但他对妖术的反应却受到了他对其政权所患顽疾的看法的左右:常规化,汉化,江南文化的毒化——所有这些都在嘲弄帝王的权力。他用以刺激官僚投入妖术清剿的语言,不仅在语气上也在词汇上与长期来他因官僚制度而产生的挫折感是相通的。只有通过具体的事件,他才能发泄自己的挫折与不满。现在,以叫魂案这一政治罪为背景,他所使用的语言是同官僚们的行为有关的。

    但是君主究竟能够利用这样一个破绽百出的案子走多远,而不致引起人们对他本人行为的怀疑呢?当这个案子的基础最终崩溃时,君主必须保护自己不受崩塌碎片的伤害。恼羞成怒的弘历以在官僚中寻找替罪羊来结束对叫魂案的清剿。但这样做时,他仍意图一箭双雕。巡抚富尼汉关于叫魂案犯供词并非出自刑求逼供的说法误导了他,所以富尼汉必须降级并受罚。

    但是,其他官员没有积极参与对叫魂案的清剿,辜负了他的信任,而这种失职则导致了妖术在全国的蔓延。只有通过处罚这些官员的失职,他才能向世人和后代昭告,他的清剿是正确的。

    作为最后的一幕,皇上的盛怒指向了新任山西巡抚苏尔德——他刚刚从已任六年的江苏布政使职位获得升迁,并已因未能及时奏报妖术案而受到攻击。直到弘历把叫魂案提到桌面上来时,他才报告了山西的叫魂案。弘所在朱批中斥骂他道:“此足证汝仍未改在江南染上之欺骗恶习。”当叫魂案最后收场时,苏尔德被单独挑出来受到特别惩处。他在“江苏最久”,“渐染恶派,痼习尤深”。当叫魂案在苏州刚发生时,他没有陈奏(当时他仍在苏州任上)。其后作为山西巡抚,尽管该省案犯累累,他仍“复踵其故智,不知悛改”,“清剿阻挠尤甚”。弘历将他贬为省按察使发往遥远荒僻的新疆。①要让一个旗人灵魂中的江南腐朽恶习曝晒于阳光之下,还有什么地方会比那儿更合适呢?

    ①《清史稿》,第819卷第16页,乾隆三十三年九月二十四日。苏尔德完全从传记里消失了,可能是由于在当时看来不错的原因。

    第十章 主题和变奏

    中国文化是统一的,但并不是单一同质的。我相信这就是为什么会出现像叫魂危机这样让全社会卷入的事件——虽然不同的社会群体对这一经验的表述是各不相同的。我们已经看到了绣服蟒袍的法官和衣衫槛楼的囚犯之间的文化差距。但是,人们在社会等级上存在距离并不意味着他们互相之间不能理解。这种距离有时意味着人们对于种种相同的符号会有各种不同的解读。尽管“邪术”让所有的人感到害怕与憎恶,但每一个社会群体都将妖术传说中的不同成分重新组合,使之适应于自己的世界观。这就是为什么像妖术大恐慌这样一个“事件”会同时“发生”在王公贵族和农夫平民身上,而“发生”的条件则是因人而异的。对这一事件的不同表达,取决于人们不同的社会角色及生活经历。从这一角度来看,叫魂主题被赋予不同的变调,敷演成不同的故事,每一个故事所表达的则是某一特定群体的恐惧。这些故事有一个共同的主题,那就是,伴随着未知人物和未知力量而来的凶险。

    君主:真实和幻影

    为了探讨弘历的思路,让我们先来看一看这样一个事实:1768年后,叫魂恐慌又于1810年和1876年至少两次出现,但这两次朝廷都未大做文章,发动全国性的清剿。1810年时在位的是弘历的儿子颇琰(即嘉庆皇帝),他不愿对剪辫妖术的谣言神经过敏。他写道:同样的怪异在1768年发生过,他的父皇曾命令对之“严加清剿”,但这些怪异却渐渐自行销声匿迹了。因此颐璇明确禁止地方当局“株连根究”(以免像1768年和后来镇压1813年八卦教叛乱时那样强迫嫌犯招供同伙,造成广泛株连)。相反,地方当局应进行秘密调查并秘密奏报,以免“衙门胥吏滥及无辜”,扰乱地方(如1796年白莲教大起义爆发时的情况那样)。结果,这一事件无疾而终。

    1876年的事件发生时,光绪皇帝年幼,其时慈禧太后摄政,日渐权倾朝野,清政权正面临着内乱外患。其中特别令人头痛的是基督教民和地方民众之间的社会冲突,有时并会酿成暴力事件。这些因素构成了那年春天起源于南京并蔓延波及长江沿岸数省的剪辫恐慌的大背景,地方当局奏报说,某些被捕嫌犯承认他们是民间教派或秘密社团的成员。他们的“邪术”包括把人的发辫粘在木人或纸人上,然后施行法术把它们变成活人,使之成为主人的打手。有人还相信发辫是被术士们遣派的株儒割去的。两江总督洗葆桢则相信这些术士来自白莲教派。那些罪行得到“确证”的案犯被处斩首(这是自太平天国起义以来行省权力大为扩张的一个方面),以便“安定人心”。像往常一样,地方当局面临的难题是要在清剿妖术(其风险是法律的滥用)和任其消声匿迹(其风险是引用民间的愤怒)之间找到一条中庸之道。

    民众的情绪被传教士的活动煽动起来。许多人相信天主教士和中国教民积极卷入了妖术活动,民间的反妖术活动于是带上了反洋教的倾向。根据沈葆桢的报告,由于某些术士和歹徒皈依基督以逃避清剿,形势变得更为复杂。在当时的情况下,朝廷所要竭力避免的是反洋教暴乱,因为这会引起列强的干涉,当局于是警告民众不要“捕风捉影”。来自京城的指令要官员们不得听任事态发展,但更重要的是要防止暴民作乱。①在这两次事件中,朝廷每次都出于很充分的理由而没有像1768年的弘历那样对妖术大事清剿。但除了有不事清剿的理由以外,这些后来的统治者显然也缺乏站得住脚的理由从事清剿。我们现在不得不回过头来考虑这样一个问题:究竟是何种看法或何种形势,导致了弘历对妖术作出这样的回应?

    ①按照官方的观点,十九世纪七十年代的“邪术”是和武装匪徒的叛乱活动有关的,所以对“邪术”的清剿也是镇压叛乱的一部分。教民并未受到镇压,不仅是因为对外的条约保护了他们的信仰自由,而且也因为列强(特别是法国)正在寻找借口派遣炮舰来保护教民。

    弘历对异端的两次最严厉清剿都发生在清政府军事行动受挫,他因此对其军队的表现深为不满的当口,这大概并不是偶然的。1751至1752年的危机——包括伪稿案和对马朝柱的疯狂搜捕——恰好发生在镇压川两金川土著的漫长军事行动之后。

    在这场战役中,清军对金川土著的损失如此惨重、进剿如此不利,以至于弘历以贻误战机为由处决了清军的两名最高将领。

    而当1768年的危机发生时,征伐缅甸之役正毫无指望地被困在瘴疬肆虐的热带丛林里,弘历则以无能和谎报军情为由撤换了他的战地指挥官。当清军陷于困境时,难道弘历不会将震怒和沮丧发泄到国内事务中来吗?

    然而,虽然这种沮丧可能会给弘历对妖术的清剿加温,但清剿的实际进程却有着自己的逻辑。弘历的优惧亦真亦幻。真实的部分在于,他难以打破官僚体制自我满足、常规裹足的积习。

    君主要维护巩固自身利益,就必须不断诉诸于专制和无常的权力,而提出政治罪指控则是使用这种权力的最佳机会。幻影的部分(但谁能说幻影非真呢?)则在于,他对于无法为他所见的势力心存恐惧。妖术当然就是这样的一种势力,但还有来自谋反和汉化的双重威胁。即便像弘历这样一位已经汉化的满洲君主,也无法将谋反与种族因素区分开来,而当一个案子牵涉到辫子的象征意象时,便足以成为使他疑虑爆发的导火索。与谋反危险相伴随的是汉化问题,这一威胁虽然并不急迫,但却更为险恶。弘历的反应是文化的(推崇满族语言和历史,通过发动全国范围的文字狱来清除反满意识),同时也是政治的(清除已成为汉族官僚体系特征的种种“恶习”)。

    江南是问题的关键。危险来自富庶文明的长江三角洲,并正沿着运河两岸向北蔓延。在弘历看来,南方是汉族官僚文化的罪恶渊薮:腐败顽固,朋党比奸,懦弱虚伪。强健的旗人可能会陷入江南的魔咒;弘历会用最严厉的语言斥责受到江南文化蛊惑的满洲官员。现在,某种罪恶又从江南向外蔓延,那就是官场中的腐败习气和社会上的妖术阴影。人们可能会提出异议,认为弘历“真正相信”的不是第一种、而是第二种危险。确实,弘历在公开场合是妖术的嘲笑者,说妖术是荒诞不经的迷信。但是,他在许多奏稿上的批示又显示,他对妖术的细节与目的有着浓厚的兴趣。①他究竟是否“相信”妖术的存在?最好还是这样地提出问题:对他来说,术士的妖术比之汉文化的蛊惑是否就更不可信?术士们窃取人们的灵魂,腐败的汉文化则窃取满洲的品德,哪一种危险对他更为真实呢?

    ①例如,弘历在彰宝一份奏报中提到关于某些罪犯割人发辫时在旁朱批道:“如何?”。那些含有同样暗示的文件似乎表明,他对妖术有一种病态的好奇。

    知识阶层和大众对妖术的看法

    普通百姓的妖术信仰和君主视妖术为谋反的认识是有区别的。这使我们联想到,在殴洲中世纪晚期和近代早期,乡村巫术和出现在宗教法庭上的“博学的”或“魔鬼横行的”巫术之间同样存在着区别。在理查·基彻弗对欧洲巫术迫害的研究中,他写道,大多数村民指控邻居使用巫术是因为他们相信邻居用巫术伤害他们,但并不一定认为邻居这么做时与撒旦有任何约定。

    在欧洲大陆发展起来的关于巫术中魔鬼作用的看法显然是神学家和法学家们的臆测——除非在巫婆和受害者之间加上魔鬼这个环节,他们便无法对巫术作出解释。……即使在当代的民间巫术信仰中,人们也认为有关魔鬼在巫术中所起作用的指控是站不住脚的。只有在英国的审判中,这种情况才偶尔发生。而当它发生时,则显然是受到知识界影响的结果。

    正是审判官和其他“专家”们把“魔鬼契约”的概念强加到了村民们单纯的对巫术的恐惧之上。这些人以“邪恶的眼光”嘲笑民间的信仰,并以自己充分理性化的、将人生视为上帝和撒旦之间斗争的观念来取代这种信仰。

    和欧洲教廷的法官们一样,弘历也将一种因自己的恐惧而产生的意义注入到民间妖术中去。这是又一个例子,揭示出妖术如何得以在一个复杂而庞大的社会里跨越阶级的界线而传播①(基克赫弗:欧洲的巫术审判:其在雅俗文化中的基础,加刊福尼亚大学出版杜1976年版,第36~37页。关于魔鬼信仰,参见托马斯(Kei山rhomas):<宗教和魔法的衰落>)开去。对妖术的看法可能同时存在着两个或更多的版本。皇家的版本以对满洲统治、归根结蒂也是对整个政体的威胁为中心,农民的版本所集中关注的则是由陌生外人引起、困灵魂丢失而造成的突发与随机的死亡。但是,君主和农民使用的并不是完全不同的语言。对弘历来说,阴谋家们也是外人(所谓“奸狡僧徒”和“失意文人”),即儒教秩序的放逐者。他们没有确定的文化归宿,要么不受懦教家庭制度的限制(如那些违背父母,拒绝结婚生子、传宗接代的僧徒),要么不理会正统科举官僚制度的约束(如那些科举考试失败转而反对科举官僚制的文人)。弘历在叫魂危机中的政治行为对我们进一步认清“专制”这一概念或许会有所帮助,而“专制”正是后期帝国的特征。在弘历的行为中所反映出来的,其实是他本人的个性。即位之初,他就立誓要在他过于仁慈的祖父和过于严厉的父亲之间寻找出一条中庸之道。他确实找到了这样一条中庸之道,但其方式却是奇怪的:他在宽容和严厉这两极之间来回摆动,因此,他的“中庸之道”并不是一种常态,而只是一种均衡。这种行为是否表明了他的专制的有效性?从他的朱批中流露出来的,却是他的愠怒和急躁。面对真实的或只存在于他想象之中的威胁,他的反应看上去不仅过分而且满怀恶意。由于满清王朝这第四位,也是最荣耀的君主身上的这些品质,他要实行个人控制,也许就非要诉诸于“政治罪”不可。

    但是,我也常常禁不住设想:到了这个时候,中国的帝国制度本身是否已达到了非使“政治罪”成为政治生活一部分不可的地步?此时此刻,任何一个君主要想维持对官僚制度稳固、有序和可靠的控制,都已变得十分困难。弘历的父亲胤禛是最后一位为此作出了认真努力的皇帝。他整顿财政体系,建立对边疆地区的行政控制,强化弹劾制度,井加强帝国通讯体系的机密性。在所有这些问题上,胤禛都做了不遗余力的尝试。但是到了弘历手里,这些制度建设不是停顿了,就是出现了倒退。这或许并不能简单地归之于弘历缺乏他父亲的那种耐力。到弘历的时候,官僚体制已是盘根错节,征服者已不可逆转地进一步汉化,以至于君主对官僚的常规控制已捉襟见肘。如果情况确是如此,那么政治罪可能便为弘历提供了一种恰当的替代性手段:它既可以像1751年和1768年时的情况那样,让他围绕着谋反危机对官僚体制实行动员;也可以像十八世纪七十年代时的情况那样,让他通过文字狱对文人骚客进行恐吓。弘历并未蓄意这么做,但可能是在他睚眦必报的个性和好大喜功的政治趣味的引导下,他依赖于这样的手段来达到非如此便不能达到的目标,即君主对于有权有势的官僚精英的控制。

    普通民众:权力的幻觉

    我们已经检讨了民间叫魂信仰的根源,但我们永远也无法确切地知道是什么“导致了”1768年的叫魂大恐慌——如果这本身是一个有意义的问题的话。要找到为什么大恐慌在这个时刻、以这种方式发生的线索,我们就必须如我在第二章中所建议的那样,对清中叶社会状况对普通民众心态的影响进行探讨。

    我们在研究十八世纪中国社会时,必须考虑到当时的人们普遍认为周围尽是邪恶、他们的生命则受到隐蔽势力威胁的看法。

    但是,我在这里要讨论的主要是由妖术所揭示的丑陋的社会现实,而不是由它所引起的社会恐慌。

    作为现代中国的前奏,叫魂大恐慌向中国社会的观察者们凸显了一个特别令人难过的现象:社会上到处表现出以冤冤相报为形式的敌意。叫魂案从一开始就带有这种令人不快的特征。在叫魂幽灵的发源地德清,慈相寺的和尚们为把进香客从与他们竞争的那个寺庙吓跑而欲图挑起人们对妖术的恐惧。更有甚者,他们虚构了一个容易为人们相信的故事,即一伙石匠试图用妖术来加害于自己的竞争对手。这是一场戏中戏,每一出都用民间的恐惧来做文章。除了丑恶的妒嫉,还有无耻的贪婪:县役蔡瑞为从肖山和尚们身上勒索钱文,也编造出了可信的罪证。

    一旦官府认真发起对妖术的清剿,普通人就有了很好的机会来清算宿怨或谋取私利。这是扔在大街上的上了膛的武器,每个人——无论恶棍或良善——都可以取而用之。在这个权力对普通民众来说向来稀缺的社会里,以“叫魂”罪名来恶意中伤他人成了普通人的一种突然可得的权力。对任何受到横暴的族人或贪婪的债主逼迫的人来说,这一权力为他们提供了某种解脱;对害怕受到迫害的人,它提供了一块盾牌;对想得到好处的人,它提供了奖赏;对妒嫉者,它是一种补偿;对恶棍,它是一种力量;对虐待狂,它则是一种乐趣。

    我们在这里所瞥见的,是否是一个已被人口过度增长、人均资源比例恶化、社会道德堕落所困扰的社会所遭遇到的一种道德报应?在这样一个倍受困扰的社会里,人们会对自己能否通过工作或学习来改善自身的境遇产生怀疑。这种情况由于腐败而不负责任的司法制度而变得更加无法容忍,没有一个平民百姓会指望从这一制度中得到公平的补偿。在这样一个世界里,妖术既是一种权力的幻觉,又是对每个人的一种潜在的权力补偿。即使叫魂这样的事其实从来没有发生过,人们仍然普遍地相信,任何人只要有适当“技巧”便可通过窃取别人的灵魂而召唤出阴间的力量。这是一种既可怕又富有刺激的幻觉。与之相对应的则是真实的权力——人们可以通过指控某人为叫魂者、或以提出这种指控相威胁而得到这一权力争施行妖术和提出妖术指控所折射反映出来的是人们的无权无势状态。对一些无权无势的普通民众来说,弘历的清剿给他们带来了慷慨的机会。①任何人——无论贵贱——都可以指称别人为叫魂犯。其实,把僧人和乞丐当作替罪羊是朝廷和民间的某种共谋。弘历相信,妖术谋反阴谋是邪恶妖僧之所为,而乞丐则是他们雇佣来的跑腿。对于这些处于社会边缘的群体,弘历动用国家权力对他们大张挞伐。当他这样做的时候,他再次强化了社会对于背弃儒家秩序、因而在政治上是危险的那部分人本来就根深蒂固的刻板印象。这些人也成为弘历的谋反恐惧的最佳陪衬。至于普通民众,他们早已把叫魂妖党的帽子套到了和尚的头上。他们也有自己的成见:和尚是危险的外来者,由于为死人做法事而受到了污染,并常常同鬼魂世界发生交往。当弘历对这些易受政击的外来人进行迫害时,村民是不会不对之表示欢迎的;否则的话,在抵御邪术的问题上,他们就只有指望对妖术持不可知态度的官僚们为他们提供徽不足道的保护了。

    ①当代中国的历史中充满了这种幻觉权力进入杜会的例子。我还记得1987年在北京与一个老红卫兵的谈话。他当时是一个低收入的服务工。他感慨地说,毛泽东的文化革命对于像他这样没有正式资格循常规途径在社会上进身的人来说是一个黄金时代,毛号召年轻人起来革命造反,这一来自顶端的突然可得的权利使他的野心得到了满足。他抱怨说,现在的社会样样都要通过考试,他再也没有希望从现在这个最底层的位置爬上去了。

    这种“受困扰社会”(impactedsociety)为反常的权力所搅扰,它和莱斯特·瑟罗(LesterThurow)所描述的二十世纪美国“零和社会”在某一方面是很相似的。这两种社会都发现,它们所面临的基本问题已无法通过增进生产来解决,而需要“对损失进行分摊”。但是,两者的一个主要区别在于,在瑟罗笔下的后工业化的美国,人们被出卖的感觉是由于进步和经济成长的信念而产生并得到强化的——这种进步和经济成长一度曾使西方世界相信,所有的困难都会屈服于人类的努力,从中某些人会得益却不会有任何人受到损害。与此形成对照,在帝制后期的中国从未有人设想人的努力能够(或应该)产生无限的进步和成长。同一个富裕的工业社会相比较(不管这个社会的贫富差距有多大),“损失分摊”在一个贫穷的农业社会是一种更为严酷的过程。当中国进入近代的时候,社会拥挤、贫穷,人们对于正在侵蚀着普通大众生存机会的种种实际力量则几乎完全没有了解。

    “受困扰社会”的特殊政治就是在这种情况下产生的。在帝制后期的中国,绝大多数人没有接近政治权力的机会,也就不能以此通过各自的利益相较去竞争社会资源。对普通臣民来说,仅仅是组成团体去追求特殊的社会利益便构成了政治上的风险。有时,人们便会到旧的帝国制度之外去寻求这种权力;其结果就是造反和革命。但对大多数人来说,权力通常只是存在于幻觉之中;或者,当国家清剿异己时,他们便会抓住这偶尔出现的机会攫取这种自由飘浮的社会权力。只有非常的境况才会给无权无势者带来突然的机会,使他们得以改善自己的状况或打击自己的敌人。即使在今天,让普通民众享有权力仍是一个还未实现的许诺。毫不奇怪,冤冤相报(这是“受困扰社会”中最为普遍的社会进攻方式)仍然是中国社会生活的一个显著特点。

    官僚制度:谨慎的喝彩

    在叫魂故事的三个不同版本中,最不精彩的是我们故事中的非英雄角色官僚的那个版本。①如果说,这些实际而持不可知论的人们会对什么未见势力感到害怕的话,那就是暴民的狂怒易变和君主的反复无常。这两者都对让他们感到自在的现存体制构成了威胁。他们试图通过恐吓那些提出妖术指控的人来击败前者,通过对君主封锁消息来挫败后者。但是,这两个计策都未奏效。他们不得不以并不可靠的证据为基础,勉强从事对妖术的清剿。

    ①我在这里尽量不用“精英”这个词,因为叫魂档案中看不到没有官职的文人的活动,“地方士坤”的出场要在一个世纪以后才变得显著起来。在叫魂危机过程中,这些士绅们始终谨慎地置身事外,反映士绅利益的地方志对此也鲜于置评。显然,官府并没有求助于士绅,而他们也不愿自找麻烦去追缉妖术案犯,保护无辜民众,或调解争端。士绅活动的黄金时代还未到来。

    弘历的武库里缺乏一件武器——他没有能力找到一个可与臣民共享的目标。君主和村民从各自的立场出发,都对叫魂妖党怀有恐惧;他们都很快便从易受攻击、处于太平盛世边缘的人们中找到了替罪羊。但是,弘历头脑中最不愿意看到的是暴民蜂起的现象。正是恐惧这个因素制约着他在危机初期谨慎行事,并促使他一直通过机密渠道进行通讯联络。旧政权的一个基本的政治特征,便是普通民众对政治抱消极态度。那种由睚眦必报的领导人和狂热激动的民众勾结起来对付共同敌人的狂暴结合(这正是现代政治“运动”的表征),还是一件要到遥远的未来才会发生的事情,十八世纪的官僚们还没有受到这样的致命夹击。虽然他们中的个别人可能会被盛怒的君主挑出来加以惩罚,但作为一个整体,他们的地位仍然相当稳固。他们是知道这一点的。

    虽然各省督抚们不断要弘历相信他们正在积极地追缉妖术案犯,弘历却清楚地知道,情况恰恰相反。清剿结束前两个星期,河南巡抚阿思哈在10月21日的奏报中附上了一份完整的全省捕人名单(这是我唯一能找到的这样的名单),向我们揭示了真情。他对河南在三个月的清剿中所逮捕的全部叫魂案犯按县分列作了说明。

    这里面都是些通常的嫌犯,下层社会的乌合之众,如流浪汉、乞丐、游方僧道等,即当时中国每天络绎道途的各色人等。①

    ①《朱批奏折》,第861卷第10号,乾隆三十三年九月十一日(阿思哈)。阿思哈关于河南在三个月所逮捕的所有叫魂案犯的完整名单如下:祥符县:卖膏药湖广游僧一名。

    南阳县:在境强讨江南游僧一名。虽无匪迹,但据供伊师兄通元系扬州人,查与山东剪辫匪犯蔡廷章章内通元籍贯名字相同。

    信阳州:剪割衣襟江南乞丐同其妻及另外四名乞丐。另有江南匪犯一名据报携有辫尖剪刀等物,现移进省府做进一步审讯。

    鲁山县:江南游僧一名,其名字与山东割辫匪犯案内僧名相类。

    泌阳县:湖广游僧两名。

    封丘县:湖广游僧一名。

    南阳府:面生游民一名为本省人氏,另有湖广游僧三人和火居道士一名。

    固始县:本县观音庙僧一名,系山东匪徒通果供出之人。

    德府:山东游僧三名,山东乞丐一名。

    在全部二十五名嫌犯中(此外还有可怜的和尚海印,他的案子我已在前面讨论过,阿思哈微妙地没有把他列入这份名单),有八名因证据不足而在清剿过程中先后被释放了,剩下的十七名仍在押以待进一步审讯。对一个有两千万人口的省份来说,三个月清剿所达到的这个结果真是微不足道。弘历斥骂他们的督抚们清剿不力难道是没有道理的吗?①如果说,弘历的清剿撞上了官僚们设置的路障,那么构成这些路障的恰恰是最令他痛恨的“官场恶习”:谨慎地隐匿情报,小心地自我保护,隐瞒真相以掩护人际关系,百促不动以墨守常规程序。一个普通的清代官僚即便并非故意设置障碍,仅以他日常的贪渎和欺饰,就足以让任何一个君主大伤脑筋。但是我们知道,叫魂案最后得以翻案并非取决于普通官僚的一般素质,而是依赖于少数几位身居高位的大臣的作为——他们敢于告诉弘历这是一桩错误的案件,根据的是虚假的供词,如不停止只会造成更大的麻烦。

    我并非建议,在这里存在着对于专制权力的某种“宪政”制衡。没有任何可靠的途径可以使清代君主受制于法律,也没有任何可靠的法律可以让一个君主必欲惩罚的人得到保护。在清代,甚至连一个知县都可以在自己的公堂上为所欲为,而几乎没有被绳之以法的危险。但在某些极不寻常的情况下,处于最高层的官员们显然仍可能运用某些为任何政府都必须遵守的最高准则来限制君主的专制权力。要做到这一点,他们就不能把自己仅仅看作是为某一特殊政权服务的臣仆。这样的自信,只会存在于那些相信自己是文化传统当仁不让的继承者的人们身上。在中国帝制后期的政治生活中,即使在最高的行政层次,具有这种胆识的人士已属凤毛麟角。一个半世纪后,当帝制垮台而滋养这种精英自信的社会和文化制度也随之崩溃以后,这样的胆识也就变得更为稀缺了。

    没有人会哀悼旧中国的官僚制度。即使按照当时的标准,它所造成的社会伤害也已超出了仅仅压碎几个无依无助的游民踝骨的程度。但不论是好事还是坏事,它的特性却可以阻挡任何一种狂热。没有这样一个应急的锚碇,中国就会在风暴中急剧偏航。在缺乏一种可行的替代制度的情况下,统治者就可以利用操纵民众的恐惧,将之转变为可怕的力量。生活于我们时代的那些异见人士和因社会背景或怪异信仰而易受指控的替罪羊,便会成为这种力量的攻击目标。

    没有什么能够仁立其间,以阻挡这种疯狂。

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  • 吴永:庚子西狩丛谈

    甓园居士自序

    卷一

    卷二

    卷三

    卷四

    卷五

    本书参照李希圣著《庚子国变记》(简称“李记”)与罗惇曧著《庚子国变记》(简称“罗记”),及罗惇曧著《拳变馀闻》(简称《馀简》)三种,书中编辑所加文字均以[]标示,其余通假各字,一仍其旧。

    庚子京畿拳祸,其始由于二三愚妄大臣,逢迎亲贵,以攘除夷患为名,将欲撼动神器,徼非常之荣利。遂致乘舆播迁,生灵涂炭,款议屈就,岁币无厌。辛壬以还,国谋颠遌,民困财殚,百度隳紊。纪纲坐是不振,阴阳如日将昏。驯至宗社为墟,版宇分裂,夫岂人所及料哉!夫祸变之来,每相缘藉;是以风旋而上升,水激则弥悍。向若戊戌无变政之举,则孝钦无猜忌于德宗矣。宫廷雍睦,则扶清灭洋之谬说何自而生?拳匪不敢猖狂,夷兵无由犯关矣。辛丑和约,创巨痛深。乃锐意变法,空言立宪,权倖开货赂之门,疆吏失驭兵之柄,群小并进,天下骚然。假使当轴得人,推贤任能,修明庶政,则上下相维,犹可为理,国祚虽衰,其亡也未必如是之速矣。是故非意之意,常为事之基胎。呜呼,岂非天哉!

    余宰怀来之三年,当拳民萌动之初,余痛治之,境内晏然。无何,邻封拳众数千,阑入县境,设立坛场,声言报复;强余至坛所,厉声诘问,几罹锋刃。自此红巾满城,生杀任意,陵轹官长,鱼肉乡民,岌岌不可终日。如是者几两阅月。及夷兵陷京师,两宫微服出走,间关道途,昼餐无糗糒,夕休无床榻,饥寒羸瘁,有平民所不堪者,况万乘之尊乎?车驾猝至,百官云从。余于凌遽之顷,设备行宫,供亿百司食物,纷纭劳悴,仅乃集事。以豆粥麦饭之微劳,邀慈圣特达之知,眷遇优渥,寝将大用。顾为当路所嫉,官不过一道,宁非命耶?

    余之陪随銮跸也,往往不次召对,每陈民间疾苦及闾阎凋敝情状,慈圣辄为嗟叹。因谕执政以为闻所未闻。执政某公责余非所宜言,不当入告。余之触忌,此为尤甚。昔韩退之擢监察御史,上疏言事,贬山阳令。其实所论亦一时常事,而遽得罪者,盖疏中有云:“此皆群臣之所未言、陛下之所未知。”故执政者恶之,遂遭贬谪。以今拟古,有同慨已。

    兰溪刘治襄先生,吾浙知名士也。记问浩博有识,略知天下大计。壬寅领乡荐联捷,成进士,入词垣,有声朝列。余久钦其才望,以未获一见为恨。己未之秋,于役济南,晤于省廨。甫接,即询余西狩事。语未竟,会有他客至,寻复散去。越八年,余为济宁总揆辟入枢幕,与先生共几席。重申前问,余为缕述颠末。先生与同僚听之,或喜或忿,诧为创闻。余意一席之谈,不过具述当时事实而已。久之,先生出一编示余,署曰《庚子西狩丛谈》,则已裒然成集。于拳乱之始末,行在之起居,仕途鬼蜮之情,政事得失之故,详征博载,巨细靡遗。笔致纵横,词采磊落,事皆翔实,庶可传信。先生记忆强密,精力滂魄,即此可见。

    余衰老无能,日即颓丧,前尘已淡焉若忘。今得先生椽笔纪述,觉芜蒌情事,宛在目前,不禁感慨激昂,意兴飞动,先生其海上之成连乎?

    后之览者,毋徒矜佚事逸闻,即作当时信史读之,无不可也。丛谈云乎哉!

    中华民国十七年戊辰春三月,吴兴吴永书于宣南。

    庚子西狩丛谈序

    庚子之役,国家以乱民肇衅,外国连衡而入京师。两宫微服出狩,行二日,至榆林堡。怀来县知县吴永具衣冠恭迓于道旁。于是帝后始得进粥、备供帐。当是时,吴公之名闻天下。既而太后嘉其行谊,命开缺以知府随扈督办行在粮台。日夕召见,骎骎且大用,众以封圻台辅目公矣。而公伉直自将,不肯骫骳随俗,以故枢要多不悦公,遂以道员外放。然太后终契其贤,遇两司缺出,未尝不忆及公;每入都召对,未尝不移晷也。既而两宫相继殂谢,国祚亦潜移。谈者偶及往事,殆如隔世矣。丁卯之秋,余与公相遇客邸。有以前事询者,公为述其大略,乃与外间所传迥异。同坐刘治襄先生,瑰奇人也,因就公所述,草具其事,立成数万言。先生夙雄于文,敷陈演绎,剀切周详,睹者皆悚然色动。盖庚子之祸,为前古之所未有,不独关有清一代之兴亡,抑中外交通之一大变也。而事经一世,纪载阙如,后生小子,几莫有知其详者。吴公身在宫廷,亲述其所经历,又得先生雄快之笔记而传之,洵足备当世史家之要删矣。

    庄生云:“旧国旧都,望之畅然。”虽丘陵草木之缗入之者,十九犹之畅然,况见见闻闻者邪?今海桑迭变,城郭犹是,人民已非,盖不仅丘陵草木缗焉而已。而二公从钟虡迁移之后,追述其生平闻见之详,有不胜其凄然魂断者。虽异代读之,犹将感怆欷歔恻怛而不能已,而况吾侪之目击其事者乎!

    然拳匪虽陋,尚知愤外侮之侵迫,同心以卫国家,特苦其智不足耳。缕指二十年来之事变,吾未尝不叹此辈之影响,犹为未可厚非也。二公于此,其亦有同慨乎?

    戊辰三月,桐城吴闿生谨序。

    甓园居士自序

    本编所载,系因前清庚子义和拳之变,两宫避地西狩,吾友吴君渔川自在怀来迎驾,随扈往返,尝为详述其身历目击之情事,而予偶为之属笔者也。全书近七万馀言,以篇幅太冗,厘为五卷。第一卷,自义和拳发难,迄于两宫出狩;第二卷,则渔川先生在怀来禁遏拳教,与后来所受之种种险厄;第三卷,自两宫驾抵怀来,沿途扈从,至于太原驻跸;第四卷及第五卷,则自西安起程回銮,至黄河南岸登舟北渡为止。除叙述辇路行程外,其间多有政变要闻,宫廷记注,与当时内外大臣、巨珰贵胄之语言风概。旁牵侧引,波谲云诡,可叹可愕,可歌可泣,可以抚膺扼腕,击案浮白。其一切称谓体式,均沿当日口吻,从史例也。惟渔川曾因公私事项,两离行在,归途复由河南迳赴粤中新任,故途中事实,未能按日衔接。然庚子一役,蒙国大耻,事变后先之迹,亦略可睹矣。暇中更将关系此次遗闻轶事,就传说亲切与他书所记载者,探赜索要,拉杂补著,别成附录两卷,用资印证。

    嗟乎!黄冠朝士,几人省说开元;白发宫娥,何处更谈天宝。况乃铜驼棘里,王气全消;白雁霜前,秋风已改。金轮圣母,空留外传于人间;宝玦王孙,莫问当年之隆准。昔之红羊换劫,青犊兴妖;六国叩关,双旌下殿。胡天胡帝,牵母牵儿,牛车夜走于北邙,卵晨探于废屋。蜀道青天,呼癸庚而不应;长安红日,指戊己以为屯。回听内苑虾蟆,六更已断;极目南飞乌鹊,三匝何依。谁实为之,吁其酷矣!天为唐室生李晟,上付禁军于马燧。灵武收兵,百官稍集;兴元置府,十道粗通。蜡诏星驰,海内识乘舆所在;饷舟鳞萃,人心以匡复相期。无如敝汉谋深,吞胡气怯,惟式怒,螳不当车。江左画疆,首主和戎之议;汾阳单骑,未收却敌之功。卒要城下以输盟,遂据榻旁而鼾睡。从此燕云,时时牧马;可怜庐壑,岁岁填金。迢遥百二河山,鸡鸣西度;侥幸八千子弟,狼跋东归。一局棋输,九州错铸。黄花明日,青史前朝,俱成过眼之烟云,孰洗沉沙之铁戟?

    渔川以关门之令尹,作参乘之中郎,紫气未瞻,彩符忽降;见舜容于墙上,遇尧母于门中。忍看憔悴绨袍,一寒至此;况说煎熬馁腹,半菽无沾。是主忧臣辱之时,正捐顶糜身之会,敢忘橐,以负诗书?太华山低,誓踏三峰而捧日;仙人掌小,拼擎一柱以承天。遂乃拥彗除宫,解衣献曝,典衾具馔,剉荐供刍。辛苦一瓯豆粥,亲进璇帏;间关万里芒鞋,远随金勒。朕不识真卿,乃能如是;众共称裴冕,故出名家。特加置顿之崇衔,命傅属车于近列。爰自横海澄波,回天起驿,登封礼岳,浮洛观图。歌凤翙以从游,赋鹿鸣而赐宴。长信宫前,千官献寿;望仙楼下,万姓呼嵩。渔川有役皆随,无班不缀。前席敷言,常呼裴监;书屏问状,必引萧生。篚颁相属于庭阶,簪笏不离于左右。凡一路之行行止止,经年之见见闻闻,往日冲埃,霜凄月黯,来时飞盖,云会风从;他若御史呈身,将军负腹,尚以由窦,学士簸钱;以及鸡虫得失之场,冰炭炎凉之感,覆雨翻云之世态,含沙射影之机牙;并珠记心头,丹留枕底。鸿爪之馀痕仿佛,印雪长存;蚕丝之积绪缠绵,逢人偶吐。听罢一回书说,抵将十曲词弹。

    昔年历下亭边,萍因偶合;今岁晚晴簃畔,花落相逢。便回西陆之馀光,重续南柯之旧梦。且收谈屑,聊缀丛麻,写黍离麦秀之遗音,作瓜架豆棚之闲话。君慕介子推之雅节,将隐矣焉用文之;我如王定保之摭言,不贤者识其小者。

    时中华民国十有六年十月上浣,甓园居士自叙于京师宣内寓庐。

    卷一

    述本书之缘起,义和拳壮大及为乱之始末。两宫西狩。

    前清庚子拳匪之难,八国联军入京师,两宫西狩。于时,同乡吴兴吴君渔川方任直隶怀来县事,以仓猝迎跸,不误供应,大为两宫所激赏,由知县超擢府道,恩眷优渥。京外啧啧,称一时佳话。上海各戏馆至特为编演新剧以歆动社会,观者填隘。予亦曾一往寓目。陈设布景颇新丽,而剧中情节殊弗类,科白鄙俚,全是三家村礼数。满村听唱蔡中郎,此固不足深究。然默揣当日吴君以荒城僻邑,傫然坐困,无端而空中霹雳,忽报皇太后驾到、皇上驾到,王公宰相,陆续俱到,此真梦想不到之事。巷中遇主,亦喜亦惧,定别有一番情景。惜不获与局中人把臂晤谈,一询真况也。

    民国八载,予佐山东省幕,渔川方任胶东道尹,以事晋省。居停屈公觞之于省署西园,嘱予为陪。济南当陆海孔道,冠盖络绎,公私宴会无虚夕。予苦不善酬应,往往托故辞谢。是日闻渔川在座,顿触素怀,欣然赴召。私念渔川以盛年下位,骤膺殊眷,遭旷代非常之异数,意其人必精强机警,目听而眉语,才气发露,足以倾倒一世者。顾乃温厚敦笃,蔼然善气,恂恂如老诸生。臭味相感,一见莫逆,恍惚若平生故旧。席间坐次适相接,喜极情急,不复能自禁,未及举酒,即迳叩以前事。众闻语咸共忻赞。渔川因为从头叙述,合座倾听,均敛容屏气,至寂然不闻匕箸声。正谈至酣蜜处,忽报某镇帅至,主客悉蜂起离席,一番扰攘,遂尔中断。以后肴酒杂沓,终席迄不得赓续。催租败兴,予大引为憾事。第念同官一省中,山河咫尺,觌面固非难事,计必有一日从容剪烛,可以圆此话柄。不意渔川回署后,战事踵起,遂不暇重至省会。而予亦不久谢事去鲁。风流云驶,忽忽八年,彼此不相闻。顾其人其言其事,辄低徊往复于予胸中,未尝一日释也。

    顷岁政局改造,济宁潘公总揆事。予与渔川先后被辟入枢府,同儤西厅,又适在对案,相见喜极。亟拟请申前说,顾渔川新病愈,喘息尚不属,殊逡巡未敢相敦促。会同事吴君北江、郑君倓忱、饶君景伯、柯君燕舲,咸欲速闻其事,因争相与怂恿之。渔川重违众意,勉为之开章演说。同人环坐促膝,如听柳麻子说《水浒传》,心摹神会,目无旁眴。渔川旋亦自忘其疲,描述拳匪始末,殊清切动听;忽惊忽愕,忽笑忽怒,顷刻万态,听者亦不觉随而颠倒。久之而声益高、神益王,旁牵侧证,触绪环生,娓娓滔滔,如长江大河,一泻千里,不可复遏止。直至全部结束,始相与起立环顾,则花砖日影,早已移过七步,直上西棂矣。

    此次所谈,与予前所闻者互有详略,但通体比较,总以详于前者为多。其关于拳匪一节,及后幅情事,均为前说所未及。予既温旧闻,复偿新愿,胸藏宿块,顿尔消解,欣慰殆不可言喻。最可异者,区区一夕谈,发端于八年之前,而结委于八年以后。假当时稍延片刻,一气说尽,亦不过晓此一段历史,茶前酒后,偶资谈助,反不觉如何注意。乃无端画成两橛,神山乍近,风引舟开,偏留此不尽尾声,悬悬心坎。直至今日,言者听者,乃复无端聚集,完此一桩公案。地隔数千里,时阅六七年,以万分渴望之私,当十九难偿之愿。本非绝对必需之事,已作终身未了之缘,成日蓄之意中,而一旦得之意外,便觉得一字一语,皆成瑰宝,奇书残本,忽然足配完编。一如荡海萍花,既离复合,西窗听雨,重话巴山,此岂非人生难得之快事耶?

    回寓后,偶与侄婿倪孔昭、儿子同度述及一二,皆忻喜踊跃,如读章回小说,前说未竟,即亟盼下回分解。予念渔川所谈,虽属于一人之遭际,而其间事实,率关系于政闻国故与一时大局之得失,为当世所不具悉者。渔川不言,恐更无人言之,亦更无人知之。此一段逊荒实录,或遂沉埋湮没,永在阙文借乘之列,殊为可惜。因率就灯下援笔记述,取案头日报,用寸草涂抹其上。初意数纸可竟,乃引而愈长,既尽一纸,更取一纸,直至晓钟将动,尚未罄其十一;而乱稿敦积,直如太冲研都,纵横左右,狼藉满案。次晚更续,始别以新纸检饬书之,凡历更三彻夜而后竣事。折叠稿纸,已岿然如牛腰。因嘱倪婿依序整理,清缮一通。复持示渔川,承为诠次先后,订其漏误。更出旧藏日记两册见付,携归核对,以次填补地名时日,并就中择要节抄二十馀则。于是自拳匪发难,洎出狩以至回銮,首尾粗具,居然足成一片段。与明皇幸蜀、建文逊国诸记传,约略相类;而兼收并蓄,不拘一格,内容之繁赡丛杂,差乃过之,因姑名之曰《西狩丛谈》。方计藏之箧笥,备异日史家之选。知好中具悉其事,谓君意既在掇拾旧闻,毋使湮没,则与其私为枕秘,孰与迳行刊布、寄传识于多数之耳目?质之渔川,颇承赞可。乃稍加删润,付之手民。此系率意急就之篇,文无剪裁,体无义例,庄谐并逞,雅俗杂陈,殊不能律以作家绳尺。惟事事翔实,在渔川为亲见,在予即为亲闻,耳入而笔出,初未尝稍有增减缘饰,取悦观者。虽不敢遽言传后,要当足以信今。以视坊肆通行之《清宫秘史》诸作,信口开河,羌无故实者,固为稍胜一筹也。

    抑予于此,尚当有所剖说。盖渔川自弱冠以词翰受知于当代诸巨公,书名文藻,照耀海内,固非不能属笔者。渔川之事,渔川之言,渔川不自记而予记之,蚕则绩而蟹有筐,未免近于掠美。顾渔川当日所遇之奇之险之艰难困顿,千磨百折,殆非恒人所能忍受。甫离豺窟,又入龙潭;幸回九死之生,突受可惊之宠;负责于矛淅盾炊之下,长日在探珠履尾之中,虽幸保于始终,实备尝夫荼蘖。重以尊前车笠,半隔云泥;梦里槐檀,都成泡影。已在境迁之后,不无痛定之思,雅不愿以旧事重提,徒增枨触。况以局中之人,记亲历之事,在己有铺张之迹,于人有扬抑之嫌,下笔措词,颇多牵顾。至对于朝序笑谈,宫廷琐事,亦似不欲遽形笔墨,致伤忠厚。故所存当时日记,殊甚简略,其无心传世可知。平居不言温室树,于此正足见渔川之长德。予则完全居于局外,与书中人物,均无何等关系。有闻必录,原不假以成心;据事直书,更无劳于曲笔。此一段信史,或遂因予之冒昧越俎而稍留梗概于后世;即渔川当日种种苦心孤诣、斡旋盘错之大节,亦反因此书以表暴其十一,则掠美之事,或竟视为成美,殆亦未尝不可。若代斲伤手之讥,固非予所计矣。既拉叙缘引如此,以下乃述渔川之言。

    渔川曰:

    予欲述迎驾始末,当先叙及拳匪之事。盖逮两宫西狩时,京师匪患虽熄,而近畿各地,厥势犹张。予方为所厄,备历艰窘。即驾至怀来之前一日,予尚困居围城中,丝毫未得消息也。

    予初以先外舅曾惠敏公之汲引,得识合肥李文忠公,颇承器视。前清光绪二十一年,文忠奉命充全权大臣,办理日本换约事宜,予以直隶试用知县奉调充文案委员。次岁,文忠奉命出使,贺英皇加冕[注释:光绪二十二年(1896年)李鸿章出使俄国,贺俄沙皇尼古拉二世加冕,此处作贺英皇加冕,系误记。],兼游历各国。继其任者为张樵野侍郎荫恒。年馀事竣,会诏中外大僚荐举贤能。张公密保六人:首安徽臬司赵尔巽,堪任封疆;次候选道伍廷芳、梁诚,堪任出使大臣;次道员潘云生、汤伯述(皆不记其名),堪任监司;以予殿末,其荐语为“堪膺方面”。旋交部带领引见,奉特旨以知县仍留原省补用。丁酉补怀来县,戊戌九月到任。是时予年力壮盛,颇锐意为治。在任二年,于地方利弊,多所兴革,尤以除暴安良、使民安业为主旨。因此与地方绅民感情颇洽,相处如家人骨肉,凡所举办,朝令夕行。故虽羁栖下邑,殊恋恋不忍舍去。以此迄于庚子之难,予犹在怀来也。

    先是清代嘉庆末叶,直、鲁、豫各省,承白莲教之后,复有所谓八卦教者,大抵以书符治病煽诱愚俗,趋者如鹜。嗣经清廷严令禁遏,因不敢公行啸聚,而民间实私相传习,蔓延颇广。自耶教传入中国,地方莠民,辄挂名教籍,倚外势横乡里。教士藉口保护,以袒庇为招徕,动辄挺身干预。官吏但求省事,遇有民教讼案,往往屈民而右教。教民骄纵益甚。乡闾良懦,十九受鱼肉,因之衔恨刺骨,则相率投入八卦教以与之相抗,因该教中稍有团体组织,冀以众为势,缓急可资援助也。逮声气渐广,名迹显露,其中黠者,亦深虑官方干涉,率加以“不轨”二字,肆行剿刈,乃特创“扶清灭洋”四字口号,即悬是为彼教标帜,一以号召人民,一以抵塞官府,用自别于白莲、天门诸教。缘此而从者益众,渐明目张胆,昌言无忌。官吏亦置若罔闻,然禁令固未弛也。迄李秉衡抚鲁,部属有以此请示者,则怫然拍案曰:“嘻,此义民也,奖且不暇,又安可复禁!”此语一播,所在游民土匪,争相与招摇勾煽,设坛立社,教中声势,一时暴长。于是善良殷富,亦不得不投身入教以自庇。会毓贤任曹州府事,迎合李意,思藉此阶进,则悉力奖励而倡导之,不过数年,几遍于山东全境矣。

    义和拳起嘉庆时,民间私相传习,其时禁令严切,犯者凌迟死。燕齐之间,犹有秘传其术者。光绪庚子,毓贤为山东巡抚,民间传习义和拳,以扶清灭洋为帜。时各省多闹教案,外人逼我甚,民情益愤,闻灭洋说,争鼓吹之。(罗记)

    该教中每纠合若干人为一团,多者或至逾万人,少亦以千百计。每团各设有坛宇,所奉之神,任意妄造,殊不一律,率以出于《西游》、《封神》、《三国》、《水浒》诸小说者为多数,且有供祁寯藻及李秉衡者。李时尚生存,不伦不类,殊无可索解。各团领袖,皆称大师兄,凡有正式祈祷,则神必降集其身,跳舞升坐发号令。馀众膜拜奉命,即赴汤蹈火,咸俯首惕息,无敢稍抗。大师兄躬代神位,口含天宪,因此声势赫耀,可以颐指而气使。凡隶该团本域住民,无论富贵贫贱,生死祸福举出于其一言之下。此职率由地方豪猾充任,其威力直远出郡县长官之上。

    八卦教本分为八大团,每团各以一卦为标帜。此次举事者,实只有乾、坎两团。隶“乾”字者,谓之黄团,悉用黄巾帕首,黄带,黄抹胸,黄布缠足,巾上皆画乾卦。隶于“坎”字者,谓之红团,巾带皆红色,上画坎卦。大势既集,遂公然编列队伍,制造兵器,以军法相部勒。练习时,由大师兄拈香诵咒,其人即昏然仆地,俄顷倔起,谓之神来附体,则面目改异,辄自称“沙僧、八戒、悟空”之类,狂跳踊跃,或持刀矛乱舞,呼啸如狂醉。新入者,则以次等头目教授之,令诵经咒,习拳棒,谓经月而足用,三月而术成,则矢石枪炮,均不能入,以此抵御洋人,削平世界各国,所向无敌;其精者,至可以书符作诀,从空中发火种,焚毁百尺巍楼、万间广厦,或随意举利刃自刺,至于刃曲锋折,而肤肉迄无少损。闻者益惊以为神,于是一时风靡,遂不可复遏。因以习拳为入教正课,故彼中自称为“义和拳”,亦称“义和团”;官中称之为“拳民”,或称“义民”,后以其行止不法,真相渐著,则普通称为“拳匪”云。

    义和拳源于八卦教,起于山东堂邑县,旧名义和会。东抚捕之急,潜入直隶河间府景州献县,乾字拳先发,坎字继之。坎字拳蔓延于沧州静海间,白沟河之张德成为之魁。设坛于静海属之独流镇,天下第一坛,遂为天津之祸。乾字拳由景州蔓延于深州、冀州而涞州,而定兴、固安以入京师。天津、北京拳匪本分二系,皆出于义和会,其后皆称义和团。坎字拳为林清之馀孽,乾字拳为离卦教郜生文之馀孽,故皆尚红。其后有黄色一派,则乾字拳所创也。坎字、乾字,授法各殊。坎字拳传习时令焚香叩拜后,植立而仆,仆而起,跳跃持械而舞。乾字拳则令闭口伏地,少时白沫满口,则呼曰神降矣,亦起跃持械而舞。又有震字,则山东王中之遗孽,中于乾隆间被戮。坤字拳不详所自。震字拳见诸永定河南岸。坤字拳见诸京西,从者盖鲜。惟坎字、乾字最势大矣,乃分扰于京津。京师从授法者,教师附其耳咒之,词曰:“请请志心皈命礼,奉请龙王三太子、马朝师、马继朝师、天光老师、地光老师、日光老师、月光老师、长棍老师、短棍老师。”要请神仙某,随意呼一古人,则孙悟空、猪八戒、杨戬、武松、黄天霸等也。又一咒云:“快马一鞭,西山老君。一指天门动,一指地门开。要学武艺,请仙师来。”一咒云:“天灵灵,地灵灵,奉请祖师来显灵。一请唐僧猪八戒,二请沙僧孙悟空,三请二郎来显圣,四请马超黄汉升,五请济颠我佛祖,六请江湖柳树精,七请飞标黄三太,八请前朝冷于冰,九请华佗来治病,十请托塔天王,金吒木吒哪吒三太子,率领天上十万神兵。”诸坛所供之神不一,如姜太公、诸葛武侯、赵子龙、梨山老母、西楚霸王、梅山七弟兄、九天玄女。又有供祀小唐者,则小说之年羹尧。最奇者为山西祁相国,则祁文端也。大约祀神无规定,意中所欲奉则祀之耳。(《馀闻》)

    拳匪多属市井无赖,及被胁诱之乡里农民。虽同为拳团,亦复各树门户,以强弱诈力相角胜。嗣更有巨猾,别出心裁,从天津觅得一土娼,略有姿色,两悍泼多智巧,乃群奉之为女匪头目,号称“黄连圣母”,珠冠绣服,衣饰仪从如妃后。更怂恿青年妇女,投拜麾下,选健者为之部领,辄衣红衣,短袖窄袴,十百成群,招摇而过市,手持红巾一方,沿途挥舞,人称之为“红灯照”。谓只须红巾一拂,可使于百尺楼顶发火,立时灰烬;或以红巾铺地,一人立其上,念咒数通,巾与人皆冉冉升空,如驾一片彩云,直上天际云云。辗转传播,众共信之为天人。所至则夹道人众,咸俯伏泥首,俟过去方敢起立。实则此等事实,皆出诸匪众之口,从未有人目见;而互相矜炫,互相迷信,迄无敢稍加拟议者。民智之愚陋,至于如此,诚一时之怪事也。

    庚子四、五月间,忽传有红灯照者,皆十馀龄幼女,红衣裤,挽双丫髻,稍长者盘高髻,左手持红灯,右手持红巾,及朱色折叠扇,扇股皆朱髹。始老孀设坛授法,集闺女数十辈,环侍受法。四十九日,术成,称大师姐。转教他女,术成,持扇自扇,渐起渐高。上蹑云际,掷灯下,其从妪拾缴坛内。女身植立空际,渐化为明星,较星差大,其光晶晶,或上或下,或近或远,或攒聚如联珠,或迤逦如贯鱼。津民狂走聚观,佥云目睹。有终夜升屋而了者。女子自言,能于空中掷火焚西人之居,呼风助火,焚无馀。津民深信之。入夜,家家悬红灯,迎红灯照仙姑也。城内外列炬高悬,若万星之齐耀,争传拳队所至,红灯随之。每焚洋楼,皆言仙姑掷火也。又有沙锅照者,以飨神团,人挟一锅,遇拳民战时,析薪淅米,炊饭飨之。沙锅仅如巨钵,自言饭百人不尽。此团皆乞丐也,沿门索米济军,无敢拒者。(《馀闻》)

    五月中,有黄莲圣母,乘舟泊北门外,船四周皆裹红绉。有三仙姑、九仙姑,同居舟中,自言能疗疾。拳匪伤者舁舟旁,傅以香灰,数日而蛆出焉。直督裕禄迎入署,朝服九拜,弗为动。乃制黄旗两杆,大书黄莲圣母,鼓吹一部,送侯家堠某神堂居焉。圣母坐神橱中,垂黄幔,香烛清供,万众礼拜,城陷,逃去。拳匪散为盗,劫圣母于舟中,审为圣母也,缚而献诸都统衙门,获重赏。一仙姑投水死,一仙姑与圣母同被执,皆戮之。或曰,西人载之游欧洲,而红灯照皆复其居,大半为娼焉。(《馀闻》)

    是时,鲁抚李秉衡、直督裕禄、直臬廷雍、晋抚毓贤,皆心醉其术,而毓、廷二人,溺信尤甚。畿辅大僚,已如一孔出气。内则刚毅、赵舒翘等,阿附端王载漪,极力主持,造作种种征验以耸上听,一若此等义民,真有忠忱神力,可以报仇雪耻,张我国威者。一时竟有奖励各省拳民焚毁教堂之诏令。以是奸民无赖,所在咸揭竿蜂起,不可收拾。嗣以袁项城调抚山左,首申厉禁,犯者杀无赦,各团首皆遁入直界,鲁中匪势,因是为之一衰,而直境各处,转益以滋扰。闻项城初奉此诏,立即通行所属,遵旨办理。其时抚署主办洋务文案为候补道徐抚辰,湖北人,字绍五,向来牵涉洋人案件,均经彼手,而此事竟未及寓目,闻之大愕,立见项城谏阻,谓此乱命万不可从。项城不听。徐退后即刻摈装出署,留书告别,益剀切申明利害。项城阅之顿悟,亟遣人召还,面向谢过,而檄文已发,乃以飞骑分道追回,遂毅然一变宗旨,护洋人而剿拳匪,因是竟得盛名。项城后日之丰功伟业,赫赫为全国宗望者,实皆由徐玉成之。当时山左人民,获以安定,清室亦藉延十数年之命,而北方各省,皆得免遭重大惨劫。一言兴邦,造福诚非浅鲜。此事项城幕中旧人,为予历历言之,当非臆造,顾同时竟绝罕知其底蕴者;而徐后亦遂默默无所表见,大功不赏,可惜尤可叹也。

    直隶拳匪,初发生于新城,而盛行于涞水,旬日之间,天津、河间、深冀等州,遍地皆是。其时大阿哥已立,其父载漪,颇怙揽权势,正觊国家有变,可以挤摈德宗,而令其子速正大位,闻之喜甚,极口嘉叹。诸亲贵因争竭力阿附,冀邀新宠。大臣中亦尚有持异议者,谓究近邪术,恐不可倚恃。然太后意已为动,顾犹持重不即决,乃派刚毅、赵舒翘前赴保定察看。刚、赵皆为军机大臣,甚见信用。复命时,刚阿端王旨,盛称拳民忠义有神术;赵又阿刚,不敢为异同。太后遂一意倾信之,于是派端总率团务。端益跋扈肆志,而顺、直拳匪,同时并起矣。

    直督裕公,本庸懦无意识,颇信拳匪为义民,但尚未敢极端奖励,辄依违持两可以观风色。臬司廷雍,则一意徇庇,所以承奉之者,无所不至。拳民由是益骄。团众过怀来,臬署至为发排单,饬县供应。煌煌宪檄,无法违抗,只有勉强承应。彼乃需索乾折,累费至数百金。惟藩司廷杰,颇明大体,深以予在怀境禁抑为当,然独力已苦不支。而廷臬谓予助团不力,衔之殊甚,突以纵盗殃民为题,密委下县查办,将加以罪。是时予正下乡捕盗,迭破巨案,绅民交口称颂,委员侦查复命,恰与事实相反,因而中止。予晋省谒见,廷藩始告以故曰:“君在怀来,治绩甚佳,予所深悉。臬台乃欲以私意相罗织,殊不可解。君但安心尽职,毋须置理。本司一日在此,必不令彼妄屈好官也。”此语不知何人传入臬署,两司至以此成水火,而廷臬之衔予,乃益加甚。厥后予几因此中奇祸,而廷藩亦险遭不测,报施之毒如是,殊非此时所及料矣。

    津郡拳匪,始于静海属之独流镇,称天下第一坛。直督裕禄不之禁,渐延入郡城,张旗挟刃游于市,转相煽诱,旬日之间,坛林立。业冶铁者,家家铸刃,丁丁之声,日夜相续,若铃铎之互答。官不敢禁挟械,但禁冶铁。示甫下,匪纷集县署,露刃逼官弛禁,不得已从之,冶炉遍衢巷矣。匪诵言灭洋,租界戒严,教堂尤岌岌。津保之间,迭毁电线、铁路。五月,朝旨严剿拳匪,裕禄承端刚意,故纵之,匪焰益炽,教士皆避居租界,官临视各教堂,加钥焉。匪犹扬言教堂藏地雷火药,定期轰毁津城。鼓楼东教堂洋楼特高,夜半忽传中有火光,游民渐聚渐众,匪率众焚之,烬焉。破狱出狱囚,洋货店及藏洋书器者皆焚毁之。禁民间著白衣,谓其近洋派也。以河东民居邻租界,谓藏奸细,焚殆尽。令民家焚香供清水一盂,馒首五枚,青铜钱数枚。家置一秫秸,粘红纸,供五日,持以挥敌,首自落。匪纷集督辕求枪炮,裕禄命赴军械所自择焉,尽攫以去。又令居民喊大得胜以助威。有闭火门神咒,遍张通衢。其词曰:“北方洞门开,洞中请出铁佛来,铁佛坐在铁莲台,铁盔铁甲铁壁塞,闭住炮火不能来。”既而洋兵枪弹屡及,神咒不验。又令居民焚香叩首时,以拇指掐中指,男左女右,力掐不放,曰避火诀也,已而又不验。匪扬言海口起沙,横亘百里,外阻夷船,团中海乾神师为之也。既而一僧来,自称海乾,众虔奉之。著黄缎服,手念珠,持禅杖,受众供养。城陷后,不知所终。复有一道士来谒大府,自号天灭,谓天灭洋人也。官吏恭送入坛,团匪与语不合,斩之,悬首西门,曰:此伪天灭也。匪劫掠无虚日,富户一空。及城陷,匪首张德成挟重资遁。(《馀闻》)

    匪党既群聚涞水,鸱张日甚。直督不得已,乃派副将杨福同前往查办。杨稍有究诘,匪竟聚而戕之。裕闻信胆落,自是遂不敢有所主张,既不剿,亦不抚,听其横行不法。匪乃益肆然无忌惮,延至四月二十间,遂群起举事,首焚毁津保铁路,斫断电线,黄巾红布,弥望皆是。都下游民痞棍,悉闻风响应。五月初旬,京城附近亦渐次发见,每三五成群,沿途叫嚣奔突,持刀喊杀;惟尚未见大股聚集,亦未敢公然闯入城堙也。

    义和拳自山东蔓延及于直隶,聚众称义和团,遂围涞水。县令祝芾请兵,直隶总督裕禄遣杨福同剿之。福同败死。义和团进攻涿州,知州龚荫培告急。顺天府何乃莹格不行,以荫培召变,免其官。(罗记)

    庚子四月,拳匪毁保定铁路,直督裕禄命副将杨福同驰往镇之,及易州,为匪戕死,朝廷方议用拳匪,不赐恤。(《馀闻》)

    五月十五日,日本书记生杉山彬,突在永定门外遇害。都人闻信,咸栗栗戒惧,知有危祸。各使馆外人,尤大哗愤,群起向总署诘责,问我政府究竟有无保护外人能力。当局支吾应付,仍不闻有何等措置。拳匪益藐玩无所瞻顾,遂相率结队入城,一二日间,城内拳匪已集至数万。王公世爵,争延请大师兄住其府第,竭诚供奉;内监之入伙者尤众。于是辇毂之下,悉成团匪世界矣。

    (光绪二十六年)五月初十日,俄使格雨思上书,言:“乱民日益多,英法藉之,将不利于中国。俄与中国方睦,逾二百年,义当告。”总理衙门得书,不敢上。俄使欲入见,乃封奏焉,亦不答。(李记)

    十四日,以礼部尚书启秀、工部侍郎溥兴、内阁学士那桐入总理衙门,而以载漪为管理。(李记)

    十五日,日本书记生杉山彬出永定门,董福祥遣兵杀之于道,剖其尸。(李记)

    十七日,匪众遂乘势暴动,以焚烧教堂为名,到处放火。前门一带,如东西荷包巷、珠宝市、大栅栏、廊房头条二条、煤市街等处,繁盛市场,悉付一炬。火势延烧正阳门城楼,红光烛天,各处教堂及教士居宅,同时举火。凡教士教民家属,无少长男女,咸被屠戮,伏尸载道。匪中呼洋人为“老毛子”,教民为“二毛子”。先犹专杀教民,次则凡家有西洋器具货物,或与西人稍有交往者,概加以“二毛子”之名,任意屠掠;次则有无事证,一无所别择。于是全城居民,惊号狂窜,哭声震天地,真一时之浩劫矣!

    十七日,拳匪于右安门内焚教民居,无(论)老幼妇女皆杀之,一僧为之长。(李记)

    十八日,往宣武门内焚教堂,又连烧他教堂甚众。城门昼闭,京师大乱。连两日有旨,言拳匪作乱当剿,而匪势愈张。(李记)

    正阳门外商场,为京师最繁盛处,拳匪纵火焚四千馀家。数百年精华尽矣。火延城阙,三日不灭。时方称拳匪为义民,莫敢捕治之。(罗记)

    候补知府曾廉、翰林院编修王龙文献三策,乞载漪代奏:“攻交民巷,尽杀使臣,上策也;废旧约,令夷人就我范围,中策也;若始战终和,与合璧舆榇何异?则下策矣。”载漪得书大喜曰:“此公论也!”御史徐道焜言:“洪钧老祖令五龙守大沽,龙背拱夷船,皆立沉。”翰林院编修萧荣爵言:“夷狄无君父殆二千年,天将假手义民尽灭之,时不可失。”御史陈嘉言自谓:“从关壮缪得帛书,书言无畏夷,夷当自灭。”吉林将军长顺言:“二童子殆非人,至则教堂自焚,已忽不见。”太后喜,大以为神人也。下其书,览示天下。群臣又时时言山东老团一扫光、金钟罩、九龙灯之属,能役鬼神,烧海中船尽坏,居一室,斩首百里外不以兵。于是太后焚币玉,自祷祠之,而未尝至。(李记)

    曾廉、王龙文、彭清藜、吴国镛及御史刘家模先后上书,言义民所过秋毫无犯,请令按户搜杀,以绝乱源;刑部郎中左绍佐请斩郭嵩焘、丁日昌尸,以谢天下;户部主事万秉鉴至谓曾国藩在天津杀十六人偿丰大业命,损国体而启戎心,请议恤;户部侍郎长麟久废,请率义民当前敌,太后释前憾而用之。而曾廉、王龙文至请早定大计以应人心,其言尤悖逆。(李记)

    当是时,上书言神怪者以百数,王公邸第,百司廨署,拳匪皆设坛焉,谓之保护。(李记)

    遂以载勋、刚毅为总统,载澜、英年佐之,籍姓名部署,比于官军。然拳匪专杀自如,载勋、刚毅不敢问。都统度恒一家十三口皆死,载漪夙昵度恒,亦不能庇也。户部尚书立山不甚附载漪,候补侍郎胡燏棻治铁道,侍读学士黄思永尝请行昭信股票,通永道沈能虎与李鸿章有连,皆号为习阿洋务,拳匪欲杀之,燏芬夜亡走,依袁世凯,能虎以贿免,立山、思永下狱,其罪状则神语也,曰“通夷”。杀游击王爕,醢之;詹事府詹事李昭炜、翰林院编修杜本祟、检讨洪汝源、兵部主事杨芾皆指为教民,被伤几死;编修刘可毅死于道,失其尸。(李记)

    自前门焚毁后,清廷鉴于拳匪之横暴,颇有觉悟,复通令各省,着地方官严行禁阻,然已不生效力。匪众旋扬言焚烧各国使署。清廷遣人警告东西洋各国驻京公使,劝其回国,并有旨派兵护送赴津。各公使同至总署辞行,德使克林德行至总布胡同,突为一兵士发枪击毙。

    二十三日,德使克林德入总理衙门,载漪伺于路,令所部虎神营杀之。虎神营者,虎食羊而神治鬼,所以诅也。颐和园起渐台,高二十馀丈,亦曰“鬼见愁”。乱初起,令畚公使皆反国,期一日夜尽行。各公使请缓期,故入总理衙门议,而德使死焉。杀德使者,章京恩海也,其后日本执杀之。克林德已死,许缓行,又请迁入总理衙门,各公使不敢出。(李记)

    于是各使益怒不可遏,谓清廷实无保护诚意,行亦死,居亦死,均之死也,孰与共谋抵抗,以侥幸于万一。遂相约不复出都,即就东交民巷一带,建设防御工程,为固守计;同时由津沽调洋兵五百馀人,分布扼守;并各电本国政府设法济师。部署既定,遂照会总署,促将大沽炮台腾让,为彼屯兵地,词气甚倔强不逊。太后大恚,诸王公更交口刺激之,乃复勃然变计,告庙誓师,明令挞伐;仍弛拳匪禁令,着各省督抚招集奖率,同仇敌忾。京城方面,以荣禄总师,立调武卫中军,及董福祥所统甘军,率拳匪多人,围攻使馆及西什库教堂。一时枪声震耳,磞腾如连珠。顾禁军久不习射击,百无一中,拳匪益蠢无秩序,冒死盲进。洋兵潜伏围墙中,不动声色,瞄准以待。俟前麾拥过御河桥,则一声口令,百枪并发,弹无虚落。我众轰然仰退,如波翻浪卷,死者辄坠入御河中。俄倾复进,见围中无动静,徐徐上拥,比至故处,则墙内枪发如前。且进且退,一日数接,御河积尸已平岸,而洋兵之受伤者,乃寥寥无几,守志因以益固。顾附近民居,则一洗几尽。如徐相桐、孙相家鼐、曾侯广銮府第,皆在界内,悉遭兵匪焚劫;眷属男女,仅以身免;曾宅并毙仆役三人。兵匪羼集,殆逾数万,区区攻一数百人据守之巷隘,而鏖兵累日,竟不得进其咫尺,真儿戏矣!

    二十四日,遂令董福祥及武卫中军围攻交民巷,荣禄自持檄督之,欲尽杀诸使臣。炮声日夜不绝,屋瓦自腾,城中皆哭,拳匪助之,巫步披发,升屋而号者数万人,击动天地。夷兵裁[才]四百,四面为营垒,穿地道,令教民分守之,人自为必死,皆奋。围攻五十馀日,昼夜番战,苦相持。董军及武卫中军死者无虑四千人,拳匪亦多有伤亡,皆引退。而刚毅、赵舒翘方坐城楼趣战,饮酒欢呼。刚毅曰:“使馆破,夷人无种矣!天下自是当太平。”舒翘起为寿曰:“自康有为倡乱悖逆,喜事之徒云合而响应,公幸起而芟夷之,略已尽矣。上病且死,又失天下心,不足以承宗庙,幸继统有人,定策之功,公第一。今义民四起,上下同仇,非太后圣明,公以身报国,尽除秕政,与海内更新,亦亡以致今日之效也。古有社稷之臣,今于公见之矣。”刚毅大喜,自行酒属舒翘曰:“展如知我。”展如,舒翘字也。舒翘之入政府也,刚毅援之,故事之尤谄。(李记)

    二十五日,下诏宣战。(李记)

    拳匪既不得志于交民巷,乃往攻西什库教堂,副都统阿克达春为前锋,战不利,载漪大怒,立斩之,而教民皆坚壁以待攻。刚毅帕首持刀请督战,张左右翼而前,拳匪死者数百人,刚毅跳而免。忿发骂曰:“公等在涿州时,皆言何如,今若此,天下事不足言,吾与之俱受其戮矣。”其后崇绮又三往攻之,讫不能入。而载漪为匪党论功,除武功爵者数十人,赏查无虚日,车骑服色,拟于乘舆,至自称九千岁,出入大清门,呵斥公卿,无敢较者。(李记)

    董军、武卫军与拳匪混合,恣意劫掠。贝子溥伦,大学士孙家鼐、徐桐,工部尚书陈学棻,阁学贻穀,副都御史曾广銮,太常寺陈邦瑞,皆被掠,仅以身免。徐桐、贻穀皆附和拳匪,亦不免也。溥伦等争告荣禄,荣禄不能制。民居市廛,数里焚掠一空。独东交民巷使馆,以塞门德土为垣,严拒守,不能破也。尚书启秀奏言,使臣不除,必为后患,五台僧普济有神兵十万,请召之会歼逆夷。曾廉、王龙文请用决水灌城之法,引玉泉山水灌使馆,必尽淹毙之。御史彭述谓义和拳咒炮不燃,其术至神,无畏夷兵。太后亦欲用山东僧普法、余蛮子、周汉,三人者,王龙文上书所谓三贤也。普法本妖僧;余蛮子以攻剽为盗魁,至尽发蜀中兵,乃捕得之;周汉则狂夫也。(罗记)

    围攻使馆久不下,众意稍懈。荣相见大势弗顺,已纡回改道,隐与使署通消息;或称奉诏送瓜果蔬菜,至东交民巷口,听洋人自行取入;一面设法牵制兵匪,使不得急攻。是时主战主和,朝议颇纷纭不一,乃奉旨特开御前会议。太后与皇上同出莅座。端、庄诸王,方倚拳匪作威福,攘臂抗声,主战甚力。侍讲学士朱祖谋亦在班列,即跪地陈奏曰:“臣谓与洋人万不可战!”声洪而锐。太后为之动色环顾,意颇愠怒,厉声问:“何人?”幸朱班次在后,仓猝中无人指认,遂得免究。然太后馀怒未息,复厉声曰:“此何等大事,今举朝王公大臣均在此,尚未有建议,何物小臣,乃敢越级妄言,岂目无朝廷耶?”因此众益俯首不敢置一语。顾太后意态尚犹豫,而端、庄持之急。德宗意颇弗惬,然亦不敢加斥驳,于人丛中顾见总理大臣许景澄,欲倚以为重,乃下座直前握许手,怆然曰:“许景澄,尔在总署有年,熟知洋务,应明白大势。究竟与各国能否开战,国命安危,在此一举,必直言无稍隐讳。”言毕泪下。许亦含涕陈奏,沥言不宜开衅状,谓无论是非得失,万无以一国尽敌诸国之理。兵部侍郎徐用仪、太常寺卿袁昶,皆与许同官总署,均从旁力赞其说。德宗颦蹙以听,每一语辄一肯首。许益激昂论列,语至痛切,乃相持而泣。惟时王相国文韶亦主和议,方启欲有所陈。端以王久在枢府,素被太后信倚,恐意为所夺,即挺身至御座前,戟指向许、袁曰:“请老佛爷观看,如此情状,尚复成体统耶?”因厉声喝令拿下。太后熟视无语。许等愕然却退,议亦遂散。而次日袁、许、徐竟骈首就戮,今浙中所称三忠者是也。同时内务府大臣立山亦以通款使馆被杀。侍郎张荫桓已遣戍在新疆,并于此际驰命正法。论者谓皆出端、刚辈矫旨,非上意也。

    七月初三日,杀许景澄、袁昶,秉衡有力焉。荣禄微争,太后笑,禄未起,太后曰:“若敢抗旨耶?”不许,天下冤之。刑部侍郎徐承煜监刑,色独喜,昶笑谓承煜曰:“勉为之,吾待公于地下矣。”景澄亦呼家人与言,皆阳阳如平时,颜色不变。徐桐曰:“是死且有罪。”崇绮亦曰:“可以惩汉奸,令后无妄言者。”昶初召对,朗言拳匪当痛剿,退又两上疏力争,故尤为载漪所恨;景澄以使俄故,匪党颇侧目焉。徐桐与景澄有郤,至榜其名,戒门者不许通刺。(李记)

    是日[七月十七日],杀徐用仪、立山、联元,仍以徐承煜监刑。用仪尸横道二日,无收者。

    大阿哥之初立也,太后召其夙所宠信者谋于中,欲遂行内禅,山意不谓然,太后浸疏之,竟用以死,家赀累巨万,尽没入之。太后复出总大政,上居瀛台,饮食不时通,采槿花而食,日一医案,宣示内外臣民,称病笃。联元内召,颇见亲,因奏见言事毕,逡巡起,立太后前言曰:“皇上当保全。”语未终,太后骂曰:“皇上当保全,予不当保全耶?”元为人口吃,语塞而出,死所从来矣。荣禄方入对,知将杀用仪等,至殿门,与徐桐约俱请,桐曰:“吾尝劾用仪,今岂肯为之请,且诛内奸以清朝列,何请为?”色甚厉。至前,太后袖出诏,禄顿首曰:“祖宗时不轻杀大臣,今诛之太骤,罪不明,臣亦见奕劻,奕劻言不可。”太后曰:“奕劻喜与他人事耶?为我谢奕劻,行将及若矣。”(李记)

    旬日之内,连杀五大臣,诏书皆曰通夷。又欲杀奕劻、王文韶、廖寿恒、那桐,会城破而免。(罗记)

    立为汉军旗人,本姓杨,久在内府供职,颇有富名。旋以兼任总署,颇好与外人交往,习其仪节,起居服御,皆喜从西式,故为诸亲贵所不慊。而以财见妬,尤其致死之一大原因。徐公平日温温不露棱角,而此次亦及于难,殊不可测,殆以供职总署之故。盖匪中凡沾及外交人员,率指为汉奸,不分皂白,殊无可置辩。袁、许、徐三公曾联署上一疏,语颇切直,或以此触所忌也。

    张公于予有荐主恩,闻之尤为恻然。当主办日约时,予曾从事左右,相处逾岁。其精强敏赡,殊出意表。在总署多年,尤练达外势。翁常熟当国时,倚之直如左右手,凡事必咨而后行,每日手函往复,动至三五次。翁名辈远在张上,而函中乃署称“吾兄”、“我兄”,有时竟称“吾师”,其推崇倾倒,殆已臻于极地。今张氏褒辑此项手札,多至数十巨册,现尚有八册存予处。其当时之亲密可想。每至晚间,则以专足送一巨封来,凡是日经办奏疏文牍,均在其内,必一一经其寓目审定,而后发布。张公好为押宝之戏,每晚间饭罢,则招集亲知僚幕,围坐合局,而自为囊主,置匣于案,听人下注。人占一门,视其内之向背以为胜负。翁宅包封,往往以此时送达。有时宝匣已出,则以手作势令勿开,即就案角启封检阅。封中文件杂沓,多或至数十通。一家人秉烛侍其左,一人自右进濡笔,随阅随改,涂抹勾勒,有原稿数千字而仅存百馀字者,亦有添改至数十百字者,如疾风扫叶,顷刻都尽;亟推付左右曰:“开宝开宝。”检视各注,输赢出入,仍一一亲自核计,锱铢不爽,于适才处分如许大事,似毫不置之胸中。然次日常熟每有手函致谢,谓某事一言破的,某字点铁成金,感佩之词,淋漓满纸。足见其仓猝涂窜,固大有精思伟识,足以决谋定计,绝非草草搪塞者。而当时众目环视,但见其手挥目送,意到笔随,毫不觉其有惨淡经营之迹。此真所谓举重若轻、才大心细者,宜常熟之服膺不置也。

    张公得罪之由,曾亲为予言之,谓实受李莲英所中伤。其自英使回国时,曾选购宝石两枚,预备进奉两宫。一为披霞,一为祖母绿,足充帽准之用。归国后,乃以红宝石进之德宗,祖母绿进之太后。论其价格,绿固远胜于红也。但通例,京外大员进奉,必经李手,即贡呈皇上物品,亦须先由李呈明太后过目,方始进御。因此率另备一分,为李经进之代价,大抵稍逊于贡品,而相去亦不能过远。彼时侍郎眷遇方隆,平日高才傲气,于李殊不甚注意,本已不免介介。此次又无一馈赠,若有意为破成例者,故衔怨至深,而侍郎固未之知也。进呈时,太后方拈视玩弄,意颇欢悦。李特从旁冷语曰:“难为他如此分别得明白,难道咱们这边就不配用红的么?”盖通俗嫡庶衣饰,以红绿为区别,正室可被红裙,而妾媵止能用绿。太后以出身西宫,视此事极为耿耿。一言刺激,适中所忌,不觉老羞成怒,遂赫然变色,立命将两份贡物,一律发还。此消息既已传播,当然必有投井下石之人。未几,即以借款事被参。太后阅奏,立遣缇骑传问。侍郎方在家居,忽有番校四人,飞骑登门,口称奉旨传赴内廷问话,当即敦促起身,乃匆匆冠服上车。两人骑马前后,馀两人露刃跨辕外,一如行刑刽子手即将押赴市曹者。侍郎谓:此时实已魂魄飞失,究竟不知前抵何处。乃番校沿路指示,竟一迳趋向禁城,直至东华门下,始知尚有一度讯问,当不至立赴刑场,然心中忐忑,转以益甚。下车后仍由番校押导入内,至宫门外,已有两内监守待。番校前与致词,一如交割罪犯者。当在阶下立候,未几,传呼入见。太后盛气以待,词色俱厉。至不敢尽情剖白,只有碰头认罪,自陈奉职无状,仰恳皇太后、皇上从重治罪,仍摘要勉剖一二语。幸刚中堂在旁,乘间指引开脱曰:“这也无须深辩,现奉皇太后、皇上恩典,你只须有则改之,无则加勉。下去。”予见太后无语,始碰头逡巡退出。至宫门外,已不见有人监视,随步行出东华门,觅乘原车还寓。途中神志恍惚,乃如噩梦惊回,天地改色,一天雷雨,幸而无事,居然重见妻孥,此诚意料所不及者。然寸心固怦怦然,针毡芒刺,不知何时可释也。

    侍郎作此语时,固疑朝廷必尚有何等处分,至少亦当革职,然竟别无后命,只得如常入署供职。当时颇有人劝之引退者,侍郎曰:“此当然之事,安俟更计?且吾心已碎,即在职亦何能更有所报称?但现在尚是待罪之身,万不敢遽行陈乞,只有徐之时日,或者霆怒稍霁,再当设法缓图。求进固难,求退亦岂易事耶?”

    如是数日,尚无动静,以为可以渐次消解。乃一日忽下严旨:“户部侍郎张荫桓着发往新疆效力赎罪。”照例大员得罪发遣,即日须出投城外夕照庵,再候兵部派员押解,向之请数日期限,摒挡行李。侍郎虽扬历中外,而挥霍亦巨,故殊无甚积蓄,治装颇拮据。予时已奉补怀来缺,尚未到任,百计张罗,勉集五百金,赶至天津途次,为之赆别。相见惨恻,谓:“君此时亦正须用钱,安有馀力,乃尚顾念及我。”语咽已不复成声。予欲勉出一言以相慰藉而竟不可得,惟有相对垂泪而已。此情此景,犹在目中,方意侍郎年力未衰,必有赐环之望,乃以拳匪作恶,无端殃及万里外。命耶?数耶?诚不得而知之矣。

    最可异者,侍郎虽身受重戮,而始终未尝革职,故临刑时犹被二品官服。闻廷旨到后,相知中致意家属,有劝其自尽者。侍郎慨然曰:“既奉有明旨,即自尽以后,照章仍须执行斩决。与其二死,孰与一死?大臣为国受法,宁复有所逃避?安心顺受,亦正命之一道也。”于此足见其胸襟磊落,难临守正,不图苟免,真不愧大臣骨梗。独念公抱此异才绝识,乘时得位,又得当轴有大力者为之知己,而迄不获一竟其用,区区以不得于奄竖之故,遂至窜身绝域,投老荒边,甚乃授首于仓皇乱命之中,若明若昧,同一死难,而迄不得与袁、许诸公共播芬烈于一时之众口。苍苍者天,何以独厚之于前,而又重厄之于后耶?当时新抚为饶公应祺,假使稍微负责,缓须臾以察真伪,则拳祸旦夕已定,势即可以不死。公如不死,则后来和议,必可以大为文忠臂助。既已周悉外情,老成谙练,而又为拳匪所欲杀之人,对于外人,以患难同情之感,其言易入,定能为国家挽回几许权利。外交人才,如此消乏,而又自戕贼之,长城自坏,其谓之何!尔时公恸私哀,反复交集,至为之数日不怿。继又念今日何日,乃系阳九劫运,钧天帝醉,豺狼狐鬼出没之时会。此数月中,京直数十州县,无辜良懦,破家荡产,惨死于非命者,殆以千百万计,宁复有是非得失之可言?侍郎亦不过数中之一人,假无出塞之事,亦安知不与袁、许同殉?总之劫数已定,无可幸免,惟有付之太息而已。

    [六月]十六日,杀张荫桓于新疆。始荫桓以康党系刑部,太后盛怒,欲杀之,求救于英人,得戍边。兵兴,荫桓上书总理衙门,言宜守约,载漪及刚毅恶之,为蜚语以闻,太后亦恐其通俄,故死。(李记)

    亡何,各国军舰已连翩集大沽,遂环攻我炮台。津中拳匪欲焚烧紫竹林,洋人守御甚固,迄不得入。五月十九日,大沽炮台失陷,津城危急。裕督仓皇不知所措,益专恃拳匪为重。大师兄出入督署,列队前导,与制军分庭抗礼。司道以下,皆屏气伺颜色,祗候惟谨;州县官途遇,直长跪道左,俟舆过始敢平立,绝不稍一顾盼,其威重如此。一日,忽拥黄连圣母至督署,前驱先入,传呼设香案,命制军如仪跪参。裕督冠服出迓,将如命行礼,匪众复高呼曰:“止!先取过掩面旗来!”左右乃以龙旂二面交遮掩蔽,始喝赞行三跪叩,盖仿剧场中穆桂英与杨六郎妇翁相见礼式也。

    [六月]十八日,马玉昆败于紫竹林,死者三千人,天津陷。裕禄走北仓,从者皆失,欲草奏,无所得纸而罢。久之乃上闻,京师大震。(李记)

    敌兵之攻大沽也,提督罗荣光守炮台,炮伤英兵舰一。俄而兵大至,荣光走,台遂陷,荣光至天津,仰药死。而直隶总督裕禄谬报大捷,太后及载漪皆喜,发帑金十万两,犒将卒。京朝士大夫附拳党者皆喜,谓洋人不足平也。(罗记)

    是时,廷旨以李秉衡督师,扼守京津孔道。李陛辞时,慨然自任,谓:“区区洋兵不足平。”出京之日,人见其以红布幂首,短衣红带,一如大师兄装束。顾屡战屡败,洋兵节节深入,我军退至杨村河西务,士无斗志,李遂发愤殉节。裕督由天津逃出,旋亦自尽,死时仅一足着靴,盖仓皇出走,一靴已跑失也。

    二十九日,李秉衡至自江南,太后大喜,三召见宁寿宫,语移日。秉衡主战,且言:“义民可用,当以兵法部勒之。”太后诘以李鸿章等公奏,秉衡言:“此张之洞入臣名耳,臣无与也。”太后闻天津败,方旁皇,得秉衡言,乃决,遂命总统张春发、陈泽霖、万本华、夏辛酉四军。(李)

    [七月]初十日,北仓失,裕禄走杨村。十一日,杨村又陷,裕禄自戕死,宋庆退蔡村。敌方得天津,画地而守,兵久不出。一夕大至攻北仓,炸炮居阵前,更番迭击,玉昆散万金募死士,得三百人,薄而前,炮发而三百人者皆死。玉昆力战三昼夜,会日入,天大雨,夷潜师出玉昆后,玉昆兵乱,夹击尽破其军,玉昆大败,退至武清,不复能战矣。荣禄以闻,太后泣,问计于左右,以新斩袁、许,无敢言者。

    十三日,以李鸿章为全权大臣。时已停攻使馆……议遣桂春、陈夔龙送使臣至天津,使臣不欲行,覆书甚嫚。彭述请俟其出,张旗帜为疑兵,数百里皆满,可以怵夷,闻者皆笑。是日,李秉衡出视师,请义和拳三千人以从,秉衡观拜其长,人各持引魂幡、混天旗、雷火扇、阴阳瓶、九连套、如意钩、火牌、飞剑,谓之“八宝”。当是时,义民大至,往往而聚者数十万人,号为“禁旅”。大抵皆倚秉衡为名,秉衡亦羁縻之,取虚声而已,骄恣实不能使也。

    十四日,蔡村失,宋庆走通州之于家圩。

    十五日,张春发、万本华、夏辛酉败于河西邬(务),死者十四五,潞水为之不流。御史王廷相走,渡河死。廷相故与曾廉、王龙文、张季煜,以秉衡奏入军,兵败皆脱身走。廷相谄附拳匪,比于连文冲、鲍琪豹而阘茸过之。载澜、刚毅连名奏,廷相属草焉。尝上格天疏,请以大阿哥监国,尤好言用兵,秉衡信之,使总军事,以走死。而鹿传霖为请恤,优诏褒其忠。陈泽霖自武清移营,闻炮声,一军皆溃,秉衡走通州。(李记)

    十七日,李秉衡败于武清之马头,通州失,秉衡死之,拳匪杀平民无算而归。秉衡由丞尉起家,至开府,负清名三十年,及死而无人惜之者。通州已失,乃召宋庆、马玉昆守京师,驻南苑。(李记)

    是日[十八日]太后闻秉衡军败而哭,顾廷臣曰:“余母子无所赖,宁不能相救耶?”廷臣相顾皆莫对。议遣王文韶、赵舒翘至使馆,文韶以老辞。舒翘曰:“臣资望浅,不如文韶,且拙于口,不能力争。”荣禄曰:“不如与书观其意。”乃遣总理章京舒文持书往。书达使馆,约明日遣大臣来,以午相见,及期皆不敢出。时方攻使馆,舒文至,董福祥欲杀之,称有诏,乃免。(罗记)

    拳匪始于毓贤,成于载漪、刚毅,人所习闻。然最初实为李秉衡。光绪乙未,秉衡抚山东,仇视西人。山东有大刀会主仇西教,秉衡恒奖许之。丁酉十月,大刀会杀二教士,德人请褫秉衡职,不允,转秉衡川督。德人憾不已,乃命开缺;德人坚谓不足蔽辜,卒革职去。毓贤以曹州府知府至藩司,秉衡所最亲善也。及为东抚,循秉衡之旧,护大刀会尤至。己亥,刚毅入枢府,力荐秉衡,令查办盛京案,归即命巡视长江水师。秉衡过武昌,语鄂督张之洞曰:“朝廷将痛除西人,公当默体此意。”毓贤旋授山西巡抚,语其属曰:“义和团魁首有二,其一鉴帅,其一我也。”庚子五月,匪势大炽,东南督抚连名请剿匪,粤督李鸿章领衔,约秉衡署名,不得已从之。旋密奏请募兵北上,谓西兵专长水技,不善陆战,引之深入,必尽歼之。朝命统兵北上,乃募湘勇十六行营,中途逃散,乃返南京,另率队北上。比至京,而天津陷。孝钦后正忧惶无策,思与西军言和。秉衡入对,力以退敌自任。后大喜,命统张春发、陈泽霖、万本华、夏辛酉四军,出屯杨村河西坞,及至而杨村已失。西军势甚锐,秉衡一战而溃,自维无以对朝廷,乃吞金死。事闻,照总督例赐恤。联军入京,奕劻、李鸿章与议和,联军请惩办罪魁。得行在朝旨云:李秉衡固执酿祸,应定为斩监候。惟念已临难自尽,著革职撤销恤典。秉衡负清名三十载,自佐贰致开府,及死,人无惜之者。(《馀闻》)

    先是,直隶提督聂士成,兼统武卫左军,初受命剿捕拳匪,追踪逐北,继复奉命攻剿洋军,乃回兵迎之,匪众乘势扰其后。聂知事不可为,忿然率兵深入敌垒,志在必死。洋兵望见黄马褂,发炮轰击,洞胸坠马死,尸委道旁。数日后,其部下目兵薛保筠冒险入敌围,负其尸以出。然当时以不惬于端刚,竟未得褒恤。回銮后,始下恩命,予谥忠节,于天津建立专祠。厥后其子宪藩,扬历中外,名位显达,人皆以为忠义之报。盖庚子死事大员,疆场马革,惟聂公最得其正也。

    初,直隶提督聂士成奉命剿拳匪,有所诛锄。既而朝议大变,直督又袒拳匪,深恚士成。朝旨严责士成剿夷,时论又多所责让。士成愤懑无所泄,乃连战八里台,陷阵而死。(罗记)

    拳匪之变,以聂提督士成死事最烈。士成安徽合肥人,为淮军宿将,发捻诸役及剿朝阳匪,皆有功。甲午中日之战,据大高岭,阻日兵,尤著名。叶志超逮后,士成代为直隶提督,率武卫军驻芦台。匪焚黄村铁路,聂军一小队驰至,突被拳匪迎击,伤数十人。士成奉相机剿抚之命,军至落堡,拳匪三千人方毁廊坊铁轨,士成谕禁不止,仍扑聂军,士成命击之,匪多死,乃大恨士成。匪党诉诸朝,朝旨严责士成。裕禄命士成军回芦台。士成至津,遇拳匪于道,匪持刀奔马首,士成避入督署,裕禄为之缓颊乃止。时拳匪在津有二万人,遇武卫军,辄缚而戮之,士成不敢与抗。端王载漪、刚毅等深恨士成,思乘间杀之。荣禄虑聂军激变,驰书慰之,谓贵军服制,颇类西人,遂致寻衅,团民志在报国,愿稍假借。士成得书,慷慨复书曰:“拳匪害民,必贻祸国家。某为直隶提督,境内有匪,不能剿,如职任何?若以剿匪受大戮,必不敢辞。”聂军守杨村,遏洋兵,屡战,互有杀伤,洋兵以饷绌兵单折回。裕禄张拳匪功,赏拳匪巨万,聂军不与。旋奉命攻天津租界,血战十馀次,租界几不支。西人谓自与中国战,无如聂军悍者。拳匪恨士成甚,诋聂军通夷,朝旨又严督之。士成愤甚,谓上不谅于朝廷,下见逼于拳匪,非一死无以自明,每战必亲陷阵。

    一日,战方酣,拳匪拥入其家,絷其母妻女以去。士成闻报,分军追之。部下新练军一营多通拳匪,见聂军追匪急,大呼聂军反,齐开枪横击之。士成内外受敌,被数十枪,乃麾其军还攻拳匪,自突战于八里台,以期死敌。麾下执辔挽之回,士成手刃之。将校知不可回,乃随士成陷敌阵。士成中数弹,裂肠死。麾下夺尸归,拳匪将戮其尸,洋兵追及,拳匪逃,乃免。裕禄以死事上朝议赐恤,载漪、刚毅力阻,乃下诏责其误国丧身,实堪痛恨,姑念前功,准予恤典。士成死三日,而天津陷焉。(《馀闻》)

    洋军已破津沽,京师震动,拳匪溃军,益散乱无纪。清廷知势不可抗,复派人与使署通款曲,并馈食物。六月十七,天津失陷。七月己未,各国联军进逼京城,分道攻齐化、东直、崇文各门。使馆守兵,乘势溃围而出,与外军相响应,教民复争为向导。庚申黎明,遂攻破东华门,长驱入紫禁城,内廷犹不之知。是日适为镇国公载澜值宿,闻洋军已入,始趋入大内,请两宫速驾避难,于是遂仓皇出走矣。

    十九日,夷兵自通州逾时而至,董福祥战于广渠门,大败。时日暮北风急,炮声震天,风雨皆止。

    二十日,黎明,城破,夷兵自广渠、朝阳、东便三门入,驻郊坛,禁军皆溃,城中无一兵。董福祥走出彰义门,纵兵大掠而西,辎重相属于道,彭述方遍谕五城,谓我军大捷,夷兵已退天津矣。(李记)

    卷二

    宰怀来之初,禁拳坛。

    述怀来拳匪情状,与拳匪正面交锋险事。

    当京津骚扰之际,予在怀来,亦正被拳匪所困。先是直境义和团纷起,怀来毗邻各邑,亦以次波及。风声所播,群信为天神下降,到处传述拳民神技,争相炫饰,谓能吞刀吐火、呼风唤雨,宛然为《封神传》中人物。村闾妇孺,咸交口啧啧,希得先睹为快。盖民间感于历来国耻,及各处教堂教士之蛮横,排外之心甚热,亟愿得相当机会,合心并力以一雪其夙愤。以故邑中有识士绅,亦洋洋乐道其事。予独念历朝往事,远若如黄巾、米贼,近者如白莲、天方,决无以异端邪术而能成立大事者。妖风一启,莠民趋之,将来必至泛滥横决,不可控制,小则酿地方之患,大且遗邦社之忧。乃极口诫饬士绅,传谕里保,多方开导,严切取缔,谓:“现已奉旨明禁,怀来境内,无论何人何地,均不得设有神团坛宇及传习布煽等事,违者以左道惑众论,轻则笞责,重则正法。”以此拳坛遍于四邻,而怀来一县,尚成净土,大有平原独无之象。或有劝予稍委蛇其事以姑徇众意,而留转圆之馀地者,予固岸然不顾也。

    继而风靡益甚,境内无赖游手,均汲汲思动。闻某村有一少年,练术已成,神验大著,所在乡里,群奉之为大仙。予密嘱干役张元春,设法招致来署。已而果有乡民四五人拥之前来。予令引入偏院,挈护勇数名,亲往莅视。见一黄瘦村童,问其姓为郭,问其名为双桂子,问其生年,止十六岁,殊蠢蠢如鹿豕,而神气颇傲岸,绝无畏缩态。先向予对面立,即漫然作问曰:“大老爷,传我何事?”予谓:“闻尔道法高妙,已得神人附体,予特欲一亲试验耳。”曰:“可。”即东向垂手直立,口唇微动,不知作何语;俄而两颊作颤,面渐青如死灰,双目直视,悉改常度;忽向后直倒,瞑目挺卧无知觉。予颇皇遽,其人曰:“无虑,此祖师上法时也。”良久,手足徐徐动,两手作攫拿势,渐动渐亟,突挺然起立,如植木。复大声问曰:“尔请我来此何事?”予曰:“闻大仙降临,法力广大,深愿一得领教。”曰:“可。”声洪厉,已不似曩时。乃举手屈伸,移步腾踊,如术家技击状;见者谓步武姿势,确有少林宗法。予令次第改授刀棒,纵横舞弄,咸呼呼作声响,中间屡次向予进逼,如鸿门舞剑,意在沛公者。卫兵以枪格之,乃不得前。如是数四,予叱之曰:“止!速为我锁拿!”吏役以铁链套其项,初犹甚倔强,曰:“尔请我来,胡得如此无礼?”予曰:“我已看尔试验,实系妖术,上令所禁,于法应惩办。”即令役牵之出,立坐堂皇。俄顷间,魔法随解,勇气骤失。予诘之曰:“尔术何在?”则垂涕曰:“小人初时如梦,今始醒觉,乞恩宽释,以后不敢更习此矣。”方研讯问,忽堂下喧哄,有一乡人喊叫来署,言是此童之父,势甚汹汹,谓:“吾子何罪?尔等以善意邀请来此,何故妄加讯责,干犯神道?”予恶其强横,令责四百板,逐之出署,其子寻亦保释。自此境内肃然,更无敢言义和拳者矣。

    未几而津保一带,拳焰日炽,蔓延及京师,怀来接壤各地,香坛林立。怀人亦汲汲然延颈企望,直有来苏恐后之情状。一日,自延庆州突来拳民长幼约二千馀人,强在西关外西园子地方设立拳坛。不数日间,境内已靡然趋之,不可复遏。自士绅以至妇孺,皆拍手顿足,喜邀神贶。予尚欲设法解散,而邑中绅耆,乃至署内胥役,皆切切私语,深不韪予所为;即上峰官宪,亦多不以为然。直臬廷雍尤称予为汉奸,逢人痛詈,谓:“吴令若非曾氏婿,早当立予参劾。”邑绅因相率来署,劝予速弛禁令,并释拘禁拳民数人,谓:“老父台两年以来,于吾怀德惠至厚,吾等恐以此受意外横祸,失我好官,故不惜苦口相吁,实出一片至诚,别无他意。”如是反复至三五次,予尚坚执不为动,曰:“此辈终是左道,吾当官而行,依法办理,有何祸害之足虑。”是时适有亲友数人,自京中避难来署,闻知此事,皆顿足相抱怨曰:“书呆子,此何等时势,君尚欲为强项令,留此祸种以求灭门耶?”予始终与抗辩,诸人皆皇遽失措。无何而奖励拳民之上谕,已四处张布,并由省转行到县。于是邑绅署幕,内外交逼,拘禁之人,不得不悉予省释矣。

    越日,闻西园子坛中,拳首已公然号召徒众,从者云集。念已奉明令,更无法可禁阻,只得听之。旋有人来告,谓:“彼众已相率至署,来意甚不善,务请好言款待,虑人多势杂,或生事变。”予不得已,乃洞开阖门,冠服出堂上以俟之。俄而拳众蜂拥至,人数约在三四千以外。前行者八人,自称为八仙,已至阖下,均止步序立,一一自唱名通报。甲曰:“吾乃汉钟离大仙是也。”乙继声曰:“吾乃张果老大仙是也。”以次序报,如舞台演戏状,拐仙并摇兀作跛势,仙姑则扭捏为妇人态,神气极可笑。予先问:“诸位大仙降临何事?”曰:“予等特来拜会。”予始勉与敷衍,众中似有人呼嚷,谓:“此县官恐是二毛子,吾等须细细审勘。”复有人止之曰:“此事从缓,今日且不必理会,如有怠慢,将来可随时监察也。”有数人同声曰:“然。然则尔日后须小心。”支吾一小时间,居然相率退去。此实为予与拳匪交涉之第一幕也。

    拳众去后,予正喜无事,方与幕中诸亲友围坐数述,并研究将来应付之法,忽有人至署,谓请予至坛拈香。商之诸友,皆面面相觑,无可为计。予念我竟不往,不能禁彼之不来,恐一生芥蒂,愈多枝节,不得已即如约前往。众均为予栗栗然,然迄无术可以相却。或劝多带护兵,予曰:“尽吾署止二十人,以一敌百犹不足,徒增猜嫌,无益于事。”乃挈护兵六名,家丁二人,骑而行。既至坛所,见系一古庙,门外已遍扎天棚,极高敞,气象赫弈。拳民纷纷如蚁聚。既闻予至,则众中分辟一道,两旁拥立如对仗,中间仅容一人。护兵已被格不得入,予乃挈家丁及礼房书吏一人,步行至棚内。中设香案,众吼令行礼。予向上仰视,见所供为关圣,乃肃立致敬,曰:“关圣系国家崇祀正神,分当行礼。”即呼礼书,命唱赞三跪九叩。礼毕,旁一人格不令起,曰:“此县官是否二毛子,须先焚表请神示。”左立者乃取黄纸一张,就烛然之。盖彼中实以此法定神判,凡被嫌之人,均押至神前,如法勘验。如纸灰上升,可判无罪;灰不扬者即为有罪,或立致之死。其实彼辈固别有诡法,可以任意为之也。然所爇纸灰竟不起,但闻众中哄然曰:“嘻!二毛子,神判定矣,当速斩。”一人曰:“吾知尔心中素不信服我等,故神降尔罚,到此处丝毫不能枉纵,不似尔等做官,可以胡涂判断也。”予曰:“断罪当以事实为凭,心中云云,安得为罪?假令我谓尔心中如何如何,试问尔将以何法自明?我今已至此,宁复畏一死?但戕杀命官,事非小可,便与谋反无异,朝廷必有极严重之法令,大则屠城,小则灭族,恐尔等担受不起耳。”众闻予言,似已心怯,右一人复作排解语曰:“师兄,他一向迷误,也须此刻可以回转过来,何妨再试一番?”左者曰:“师兄言之有理,就请再试。”右者复取一黄纸烧之,灰将烬,忽从掌上腾起,其人曰:“果然,他已明白矣!”然未及尺许,仍沉沉下坠。左者曰:“如何?毕竟他心中还是迷惑不定,拿不稳主意,如此定靠他不得,不如依法斩了为是。”两人正相持间,似有人言:“且送他上大殿焚表,再行判断。”言已,众即拥予至后殿,则一人扬眉努目,当庭作跨马势。手张一黄缎三角旗,作火焰边,旂上书“圣旨”二字,右手持竿,左手搴旗角。如戏剧中马后旗弁。众复促予行礼,予曰:“对圣旨行礼,宜也。”复命书吏唱礼,三跪九叩如仪。其人突挥手作势,将旗一卷,植竿于火炉中,不作一语。众又拥予至前庭,谓将正式谈判。予见庭中置一方桌,上设两座,左右两行,分排座位十数,予即手撮一椅,掷之于旁,移一椅当中,自据坐之。众相顾错愕,然亦不相阻格,竟各自逡巡就坐。近案者八人,左右各四,首与身上,皆红布结束,想系坛中头目。次座十馀人,则腰束一红带,率皆就地士绅,彼中谓之香客,殆非彼团中人而受其延致者。予坐定审视,不觉毛戴。盖此八头目中,其一曾充予护勇,被责革退者;一曾充本县油行牙纪,亦以顶名朋充被革;另一人则曾以犯案受枷责示众。三恨同仇,相逢狭路,念今日祸且不测,然已无可如何。想果死于此,亦系前冤夙定;一转念间,气反为之加王。视列座皆嘿嘿无语。良久,左座一人忽面目抽掣,欠伸起立,曰:“吾乃汉钟离大仙是也,不知县太爷驾到,未能远迎,面前恕罪。”语甫竟,右座一人亦如法起立,曰:“吾乃吕洞宾是也。”左者即向之拱揖,曰:“师兄驾到,有失远迎,恕罪。”右者亦拱手曰:“候驾来迟,恕罪请坐。”左者复曰:“师兄在此,那有小仙坐位?”右者曰:“同是仙家一脉,不得过谦。”左者曰:“如此一旁坐下。”装腔弄态,全是戏场科白,几欲为之捧腹。予亟挥手示意,曰:“止,止,我先有话请教。我知钟离大仙乃是吕洞宾之老师父,岂有师父向徒弟如此卑谦之理?”钟离以手执大羽扇,指余厉声曰:“县太爷乃是凡人,那知我仙家道理!我今须要审问尔三条大罪。”予曰:“不知何罪,倒要请教。”曰:“本团为国出力,尔为国家官吏,乃到境以来,丝毫未有帮助,嗣经绅士往说,乃竟朱书一条,上写‘赏银十两’。我等何人,岂受‘赏’字!况此区区之数,何足重轻。此尔之大罪一。不帮助尚是小事,乃反多方禁遏,挠阻忠义,此尔之大罪二。凌虐我团中信徒,侮慢神使,此尔之大罪三。这三项大罪,证据确凿,看尔如何辩答?”予行时幸携有《京报》二册,一载禁止拳民之上谕,一载弛禁奖励之谕。因摹仿彼等动作,当时即起立抗声曰:“本县系遵奉圣旨办事,何得为罪?现有凭证在此。”即从袖中取出一册,两手祗捧,大声宣告曰:“圣旨下,跪听宣读。”众愕然相视,不跪亦不语。予朗读一通,曰:“尔等当已明白,如此煌煌圣旨,令我禁止拿办,我安得不遵奉?”曰:“这圣旨安知非尔假造?”予曰:“嘻,这更奇怪,你看此是黄面刻本,从京发到省,省发到县,难道我一时间可以刊印出来?况假传圣旨,何等重罪,我想有此胆量?”吕仙从旁驳难曰:“既有圣旨拿办,你何以后来又不拿不办,反将已办之人释放?这明明看我等势头已大,故尔翻身讨好,难道又不要遵奉了么?”予曰:“不拿不办,也是遵奉圣旨办理的,现又有证可凭。”当从袖中另出一册,捧之宣告曰:“圣旨下,尔等跪听。”复如文朗读一通。吕仙曰:“既系圣旨,何以前此要禁,后又不禁,出乎尔,反乎尔,是何道理?”予曰:“此则须问皇上,与我无干。依我想来,或因从前未有实验,不敢放心,故要禁止;近来看得团中弟兄们确是忠心为国,所以又加奖励。皇帝为万民之主,威福本可从心。只看戏文上,古来忠臣义士,忽而问罪抄家,忽而封侯拜将,前后反复,都是常有之事。我辈做官,只有奉令而行,岂敢向皇上根究道理?我今有话在此,诸大仙如果能打退洋兵,保护皇上,那时奏凯回来,我当跪于道左,香花迎接。如徒恃人众,欺凌地方长官,我纵为尔等戕害,亦不心服;王法具在,终必有百倍抵偿之一日也。”

    言至此,两人似皆语塞,彼此愕顾,若更欲求一言诘难而不可得。方在支吾对付间,忽见万头波动,有一人以两手捧股,从众中踉跄叫喊而上,曰:“好,好,县太爷在此,今日必弗令轻脱,吾股上四百板花尚在,须请大家算帐也。”视之,则郭双桂子之父,前因其子被逮,咆哮公堂,曾被笞责者。一波未平,一波又起,心中亦不觉为之趯趯。幸赖旁坐诸绅士从中护助,群合词起呵喝,谓:“此地无尔讲话分,不得无礼,速退!速退!”此人乃竟嘿然而止,抱头鼠窜,缩入人丛中。一场啰唣,遂得无形消解。盖是时虽甚扰乱,而绅士犹为人所信服,此亦难得之事也。

    此时钟、吕两仙尚念念有词,予亦未辨何语。忽吕仙接座之一人突挺身起立,颐颏颤动,两手飞舞作势,似气力甚坚劲,口吃吃不能遽发声;良久,始噤作语曰:“吾吾乃关圣!”此语一出,座中咸战栗失色,堂上堂下,悉匍匐伏地,叩头如捣蒜,口中齐声高呼:“请大圣回驾。”连叠不止。其人支撑数四,似气力渐懈,亦遂颓然就座,默无声息矣。

    该团中既供奉关帝为主神,乃对之悚惧如此,殊不可解。事后询究,盖谓关帝大驾不易下降,降则稍失诚敬必罹重谴,受祸至不测,故不敢当此大神也。尔时虽已退神无事,然诸众犹怅惘相对,如失魂魄。绅士中有以目示意者,予遂乘间告辞,谓须回署勾当公事。彼众均愕眙相顾,似一时不得主张;予即离座前行,亦迄不加阻止。两绅士翼予至门首,门间十数人左右立,阻之以肘,予努力格之而出。两旁拥立者似不肯让道,故横肱鼓腹以相挺撞,然亦无直截阻拦者,予竟从众中分道直抵棚外。护兵已控骑相待,立上马急驰。去坛稍远,气始为之略舒。不意甫及西关门,复有人从后奔至急呼曰:“请县台在西关艾家店等候,大师兄尚有话,且勿遽回衙署。”予一时莫测来意,殊周张无计,然不得不勉从所请。候至日入,竟无消息,计不复再候。正传呼导从,将欲上马,则又有一人续至,谓:“今日无事,请县台返署可也。”归途中不胜愤懑,念此行真可谓投身虎穴。在当时已将生死置之度外,亦殊无甚畏怯,事后追思,反不觉怦然心动也。

    县署东南,有法国教堂一所,甚宏丽,教士人等,早皆已逃避出城,麇聚于距城七十里之双树村,筑垒坚守,堂中空无一人。予甫自艾家店回署,拳众数千即尾随入城,环绕教堂纵火焚烧,但闻墙倾栋折及群众欢噪之声,如波翻潮涌。(凡拳匪焚烧教堂或民房时,在场观者,无论男女老幼,皆令环跪,同声大叫“烧烧烧,杀杀杀”,呼声震天,助其逆势。有不从者,则指为二毛子,顷刻剁成肉糜。)俄倾烟焰涨天,火星飞入县署,予顿足忿叹,无可如何。家人咸诫予毋作此态,恐师兄闻之,指为反对,将有不利也。方烦灼间,有绅士请见,谓师兄有言,请县长捐助香火银若干,即可赎罪。予曰:“予有何罪当赎?且囊无一钱,奈何?”诸绅曰:“愿效奔走。”有顷,各携银钱袋入署,有数十金者,有百馀金者,合数并计,已凑成五百两。盖县城向无钱庄银号,惟有粮食店数家兼代兑换,或由当铺通融,始得此数,诚非易易。予曰:“承诸君善意,任自为之,吾不问也。”诸绅乃相率同去,俄顷复返,将原银如数退还,谓师兄言县官尚清廉,吾知此银全系借来,不必收受,因此故得珠还云云。予一笑谢之,诸绅遂欣然分携银袋而去。此一日间事,又算侥幸结束矣。

    无几时,城内复另设神坛一处,云系从西关坛中分派而出者。大抵以在坛头目互有权利冲突,不能相容,因愤裂他出,自谋独树一帜。从此怀来境内更添一阱。一之为甚而有再,哀我怀民,其何以堪!然此时魔势方盛,官力至薄,已无法可以干涉,只有空呼负负而已。

    两坛分立以后,各自招集教徒,分树权势,几于无事不相角竞。地方人民介在两暴之间,左右支应,动招疑忌,受累因之益甚。幸一切争执皆由绅士从中排解,一无所赖于予,而双方又皆有利予为助之希望,暂不欲与予结恶,予转因此以纾其祸。经过一再争搏交涉,似乎地盘分配较有眉目,遂亦稍稍相安。然暗中之蛮触斗争,固未尝一日或息,而以予为彼中注矢之的,又两坛所共同一致者。特区区官府之名义,尚未完全消灭,彼此皆略有顾忌,均不欲首先发难,独负其责耳。

    怀城西北隅有一白衣庵,乃古刹也。地殊幽静,住持某僧亦颇有戒行。署中幕友辈暇则前往游览,藉消尘俗。一日,予姊丈缪君石逸赴寺茗谈,偶述及拳事,某僧颦蹙曰:“阿弥陀佛,此辈号称义民,而比来行径乃复如此,直与盗匪无异,尚安望成事?县官真明见,先时禁止拿办,众意尚不谓然,不意遗祸至此。如今吾邑人当已感悟,然县官因此受累已不浅,好官诚不易为哉!”言下叹息,诵佛不止。石逸回署,晚饭时偶为予述之。次日早晨,即闻拳匪数千人围绕该寺,将某僧捆曳而出,无可加罪,则曰:“此白莲教徒党也。”竟积薪焚死之,厥状甚惨。人人咸知其冤,而莫敢一言。匪焰之凶毒如此。

    拳匪以衔憾未泄,意犹不释,时时欲与予为难,吹毛索垢,无孔不入,情状殊极鬼蜮。一日,城外西园子拳众数千人忽又哄至堂下,谓将焚烧公署。予不得已出门外谕解之,则见署之头门后户,皆已树有红旗,上书“南方丙丁火”字样,相戒以午正举火。方纠葛间,城内坛上之大师兄亦以此时来署,佯作善意,谓特来排解。予深悉其诡谲,任其如何巧弄,均坚词婉拒,不为所动。彼乃怫然大怒,厉声曰:“这真不知好歹,我不管了!”即率其众呼啸去。予独与西园拳首交涉,反复劝阻,谓尔等皆予部民,怀来好百姓,若有事理,尽可商量评论,何用如此扰扰。其中一人即大声直前曰:“咄!这都是二毛子口吻,至今日尚如此托大,乃居然视我等为尔部民耶?来,来,你且仔细睁着眼,试看我头上何物?”予果就视之,乃剪成洋铁一片,朱书一“佛”字,缝之首帕。即自指其额曰:“老佛爷见了,也要下跪,小小知县官算个什么!这署非焚毁不可。弟兄们,齐心听令!”予亦大声诏之曰:“县官即不德,罪只在予一身,今可听尔等处置,何至怒及衙署?即令尔等能平尽洋人,我国内总不能不有官府;既有官府,即不能无署衙。此好好的怀来县署,若将来须要重新建造,在势必须请动公款,当然要将此番事实说明。彼时皇上问是何故焚烧衙门,谁人为首,谁人起意,定有承当其罪者,于我固无与也。况戕杀官长,即是谋反大逆,是何等情罪,吾前已屡言之。若加以毁署,则罪上加罪,将来如何办理,更不可以测度。恐至少亦须有数千百人按法偿抵,其中难免有尔等之亲戚故旧同时被累。大兵一至,玉石不分,后悔宁复可及?我今日尚忝为怀来父母官,相处两年有馀,对于怀来民众,皆有手足骨肉之谊,良心所在,总不忍不将此中利害向尔等预为宣说耳。”彼闻语似觉气沮。为首一人,故以两手遮目,向天空左右望,旋顾其侣曰:“师兄,时候未到,尚须改日办理,我辈且回,好歹逃不了掌握也。”遂亦呼啸一声,扬长而去。此一绝大难关,又获平安度过,殊意料所不及也。

    有一次,最为棘手,盖梦想不到之意外事故,突然而来,扑朔迷离,令人莫可捉搦,则真无法应付矣。先是拳匪初起时,京畿各县,怀来以外,惟署定兴令罗君正钧与予主张相同,亦一律严禁拳坛,缉拿惩办。拳民固衔之至切,而廷臬恨彼,亦正与予相同。罗君负文名,有政声,曾致书于予,盛称予之明识,且痛诋拳匪,谓将来必召大祸。此书不知何时为署中人所泄漏,乃益为拳众切齿。从此凡予往来信札,暗中均被检阅,而予固绝未之知。予有至友会稽陶君杏南,名大钧,时充总理衙门同文馆东文教习,予频与通音问,率多感愤时事、诋议拳祸之语。每去信,则专遣马勇一人,入都投递。一次予遣专勇带信,行至居庸关,拳众搜检行李,此函竟被发见。彼仍纵勇入都,而将此函寄交怀来匪首,请其查究。一日早间,突有拳目多人,簇拥来署,要予出见问话。予一出阁门,为首者即厉声曰:“尔平日每饰言不反对我等,今真凭实证已落我手,看尔尚有何法抵赖?”予茫然不知所答。因询问何事。彼即以此函掷之予前,曰:“此非尔亲笔耶?其中所作何语,请尔自宣读。”予一见此函,不觉惊异失措;念只有矢口推诿之一法,即佯作不解,曰:“嘻,此函何来?何为牵涉及我?我绝未尝作此函,亦并不知此事。”既而作猛省状,曰:“是矣,此必有奸人造作诬陷,欲害我以并害尔等,万万不可轻信,堕其术中。假令我存心反对尔等,则必有何种计议之事实。空空写此一函,说几句废话,有何作用?”其人曰:“尔之亲笔,何人可以假造?”予指函示之曰:“此安云我亲笔?你看丝毫不类,且上面又无印信图记。如此空函,任是何人,皆可假冒,安能作据?如不信,可当面核对笔迹,若果相同,愿甘倍罚。”予深料彼等必无鉴别笔迹之能力,故敢大胆言之。旁一人搀言曰:“彼存心反对我等,为日已久,不定尚有何种图谋。我想此等笔札,必不止此一件,今日必得认真搜查,以免抵赖。”语至此,一人忽出一剪就纸人,长五寸许,上用墨画眉目衣折,擐甲执戈,如戏剧中武士装束,却自腰截为两段,扬言曰:“我等昨夜巡逻街道,于灯影下忽见一人前行,步履甚急,如畏追捕者。我即奋力追上,举刀横斩之,其人即倒地不见。以火烛之,地上惟有此纸人,已成两截矣。当经归坛焚香叩祝,恳请神示,适奉洪钧老祖降临,判明真状,谓系尔容留白莲教徒在此,兴妖作怪,欲与我等为难。怪道昨有辎重车一辆,从京来此,直达县署,其中有四箱纸人纸马及草豆等物,同来之人,皆有妖术,尽能剪草作械,撒豆成兵。是尔反状已实,不能不趁此彻底查究。”予亟应之曰:“如此极好。请速速检查。我署中如搜得一纸一字与此相同,及有纸人纸马可作证据者,悉听凭尔等处置,刀锯鼎镬,一无所悔。”其人曰:“尔即有之,难道不能销毁耶?”予曰:“我事前并未知尔等来此,当然无有预备,若令销毁,必在此一顷刻间,无论如何,定有残灰冷屑,消灭不尽之痕迹。请速进内一勘,如有丝毫灰迹,不论何等文件,均可认作凭证,一样认罚。若过此以后,便不能无端诬蔑,横加缠扰。尔自受人愚弄,欲陷尔众于戕官谋反之大罪,尚不自知省悟,转来向我叨絮耶?”彼等闻予措词坚决,似觉理直气壮,心无虚怯,因而对于此函亦不免发生疑窦,觉予所言云云,实有理致。至纸人草豆,明是彼等所捏造,自更不敢坚持。来时凶焰,不觉徐徐敛息。一人即作收帆语曰:“尔诚善辩,但早晚必有真确证据,便尔不能置口。师兄们且先回坛,姑再放他一次,改日再来问讯可也。”此一度绝是险境,又幸以数语得解,则尤出意外矣。

    越日,马勇自京回,始知陶杏南因曾留学日本,已被步军统领庄亲王部下逮捕下狱。微闻初被收时,有一六品顶戴校尉坐堂审讯,突然问曰:“赔款二万万与日本,汝与翁同龢、张荫桓等分了多少?从实招来。”陶曰:“此话从何说起!我不过一翻译耳,安能经手赔款?请明察。”云云。此人卒亦未加刑讯,入狱后亦未上刑具。传闻为拳匪捉拿羁押者,殆不下百馀人。此函即不被截搜,到京亦无从投递,或且招意外枝节。祸中福,福中祸,固皆不能预测也。后洋兵入都,陶君始得出狱,被拘已六旬有馀矣。日人甚重陶君品学,故此次惟日兵所住界内,诸人皆获安堵,实陶君从中斡旋疏瀹之力为多云。

    予在拳匪巢窟中,凡无理取闹之事,殆亡虑数十百起,细琐口舌,几于无日不有。三番四叠,而卒获苟免者,亦幸赖两年来孜孜兀兀,小心求治,不苛敛,不滥刑,宽厚待人,平恕折狱,与地方绅民尚无恶感,怀来百姓颇谬称为好官。以是拳众虽挟有积嫌,而牵于怀人公论,尚不敢无端加害。无形之中,实赖士绅维护之力。若平日稍有徇私枉法,结怨百姓,则区区一身早已成为齑粉。乱世为吏,险矣哉!

    自京津构战,我军迭遭败衄,溃兵纷纷窜入怀境。拳团亦颇知儆惧,则谋撄城为固守计。东南各门,悉以土石填塞,独留向西一门通出入,派有多人在此,专司盘诘。匪众皆以红布帕首,登城守望。予恐为溃兵所见,致遭攻劫,殃及城民,迭令绅商劝阻,迄无效果。以后消息日急,彼中丁壮,皆以搜查二毛子为名,分向各山乡搜括隐匿,止留老弱残馀,在城防守,匪势因之日杀,予亦稍稍得安静。但各门堵塞如故,出入仍不得自由。匪特于城上为悬筐,凡有往来文件,则投之筐中,缒而出入。各地来文,必先经彼查勘无碍,始行转送来署,发行文书亦然。故予在此数十日间,直如困守围城,内外隔绝,终日坐井观天,殊不稔外间大势作何景象也。

    最后尚发生一极大难题,无法可解,直可谓陷于绝地。盖是时廷雍已勾结拳匪头目,力挤藩司廷杰而代其位。廷藩去任时,竟有拳匪多人拥伺堂下,甫出阁门,即被拦截。有两人持长刀迳出左右,向前直劈,廷公为之目眩魂失。刀光过处,嘎然一声,双杠齐断,肩舆立时顿地。廷公几倒仆舆外,幸为手板所格;然板亦随断,两手腕均受伤。旋从舆中横曳而出,厉声呵叱曰:“咄咄,你这二毛子官,现已犯罪削职,看饶得性命,已是非常造化。尔尚配装腔作架,用此舆从耶?”左右卫从,立时奔散。廷不得已,只身步行踉跄出城外,仆役均遥遥随护之。出城后始稍稍聚集,摒挡就道。沿途经过拳坛关卡,节节阻难,所至辄令跪伏神前,焚表勘验,一如予在西关坛中领略情状,而横暴加甚。盖予当时尚有就地绅士为之护符,胆力差壮;彼则孤身独客,举目无依,情状更难堪也。自保定至京师,三程之路,凡历十馀日而后得达。随身行李衣服,掠夺俱尽,抵京师仅存一身,面目都失,狼狈殆无人色。闻皆由廷雍从中嗾使,故有意凌辱之。两人蓄怨至久,当不止于一言一事,但初因予事发生龃龉,宵人乘间挑拨,因而愈结愈深。衅由我启,思之不无耿耿;顾区区口角微嫌,乃至如此相报,居心亦太酷矣!

    廷雍既已窘廷藩,黜罗令,独予尚安然无恙,彼意中当然未释。但革我无罪,撤我无名,且仅止于革撤,犹不足以塞其意。揣彼之心,实欲置我于必死之地,而又不甚显露痕迹。盖因予有曾宅关系,勋门至戚,不欲间接结怨也。彼前已一再昌言之,所以窥及彼隐。然因此之故,转觉一时摆布,亦颇不易。彼乃别出心机,忽然下檄,以予与威县对调。盖是时署威县者为孙毓琇,系李秉衡之婿,李方以倚重拳匪得柄用,廷欲迎合李意,故特以怀来调剂之。威县辽僻,而怀来近地较完善也。孙分可以来,而予势不能往。一以结李之欢,一以置予于毒,一举两得,而表面上又无丝毫可议,其用意可谓至巧。予念威县去怀来千馀里,群盗载途,如何可达?况予素为拳匪所蓄憾,所以幸免于难者,半藉怀来绅耆之调护,半亦以地方官长名义所在,不能不有所瞻顾也。若一旦卸篆,则自彼视之即为平民,使无所用其顾忌。行则重关列卡,到处堪虞,恐未至居庸,即已遭其毒手;留则旅寄孤悬,居停何恃,即偶资托庇,亦难倚以久安。何况幕僚亲旧,相依尚有多人;书簏衣笼,身外不无长物。际连天之烽火,还乡里莫定平安;惊遍地之荆榛,望京邑亦难遽达。仕与止两无长策,去与留悉蹈危机。前顾无涯,四方靡骋,真成日暮途穷之景象。现状已成险境,离此一步,恐欲求现状而不可能。但孙君出谷迁乔,其来必速。新任一至,势不能不立予交代,绝不容有纡回计较之馀地。论官场通习,虽已奉有明檄,第须斡旋得法,亦未尝不可转败为功,因祸成福;但予初无此种长技,况现在暗中劲敌,实为廷雍,肘腋之下,东西南北,举不能出其掌握。彼既蓄心死我,宁复有术自全?每沉思至此,但觉肝肠百结,寸寸皆成锢窒。除听天任运,坐待脔割外,别无他法。兼以闷守空衙,群狼环伺,耳目闭塞,绝不知阁门以外作何动静。近虑目前之险,远思来日之难,每诵苏子瞻“梦绕云山心似鹿,魂飞汤火命如鸡”之句,此身飘飘然,直觉釜底游鱼,煎糜即在旦夕。不意绝处逢生,忽有两宫驾到之一幕,霎时间天旋地转,又别开一世界。虽后来之遭际不知何似,而就此一时境地论,则真可谓太阳一照,万煞全消;八面罗网,同时并脱矣。

    卷三

    两宫抵怀来,吴永迎驾,扈从至太原。

    七月二十三日,天色阴晦。外间都无消息,沉闷殊不可耐。长日与署中幕僚亲友,楚囚共对,气象阴惨,昏昏然不知身在何等境界。视日已向暮,则促具晚餐,计惟得举酒浇愁,暂图一时暝醉。忽由匪处送一急牒至,谓系紧要公文,心即为之跃跃不止,念此时必无好消息。旋由家人呈递,第见粗纸一团,无封无面,已绉折如破絮,乃起向案角子细平熨,仿佛为一横单。就灯下视之,上有字迹数行,其式如左:

    皇太后

    皇上满汉全席一桌

    庆王

    礼王

    端王各一品锅

    肃王

    那王

    澜公爷

    泽公爷

    定公爷

    贝子

    伦贝子各一品锅

    振大爷

    军机大臣

    刚中堂各一品锅

    赵大人

    英大人年各一品锅

    神机营

    虎神营

    随驾官员军兵,不知多少,应多备食物粮草。

    光绪二十六年七月二十二日

    年月上盖用延庆州州印。始知延庆州带印公出,两宫圣驾已在岔道住宿,离怀境只数十里。于是阖署惶骇,不知所出。幕友并疑为伪,惟予详认字迹,确为知州秦奎良亲笔,于理不得有误。或谓即使真为御驾,此山谷荒城,何法办此大差?不如置之不理,听其自去。既无正式上官命令,乱离仓猝中,谅亦不至为罪。供应而不如意,势且受不测严谴,岂非自取其咎?或且有劝予弃官逃避者。仓皇聚讼,莫衷一是。予躇踌再四,念身为守土官吏,亲食其禄,焉有遭逢君上患难而以途人视之者?祸福固不可测,然尽吾职而得祸,于心无尤;即巧避而幸全,返之吾心,终觉恻恻不安。惟有悉吾力所及以为之,前途祸福,只得听之气数。于是乃决计迎驾,不复反顾矣。

    怀来本京绥孔道,轺车驷马,络绎不绝。因此特置两驿、四军站,额设驿马三百馀匹,平时供张人役,器具刍茭,颇有储峙。奈是时地方秩序已乱,严城之中,内外隔绝,驿务亦停顿废弛,百物悉遭损耗。原有驿马,多为溃兵所掠,现仅存五六十匹。其馀器物,更复无从征集。但岔道离怀来所属之榆林堡仅二十五里,自榆林堡至怀来又二十五里,相去只五十里。计明日必当启跸,第一站即为榆林堡。向例大差过境,必当于此地迎候,预备休息打尖;无论如何,万不能不稍有供顿。堡中平时本住有司事数人,承办驿务,乃先发急足前往知会,命就地料量饮食。本署雇有庖丁三人,厨役十数人,亦为办差之需。乃先派一人,携带下灶及蔬果海味等物,夤夜赴堡帮同该站司事治办一切,乃守门拳匪坚不允放行,不得已缒城而出之。方是时,拳匪之精壮者皆入南山打二毛子,城中惟老弱拳匪三四百人。予夜将出城,为首者质问何事。予曰:“前往接皇太后、皇上圣驾。”匪首厉声曰:“他们皆已逃走,何配称为太后、皇上!”予曰:“皇上巡狩,全国以内皆可行。如我为知县,私行出境,始可谓之逃走;若下本县各乡办公,亦可谓之逃走乎?”匪顾同类曰:“此乃二毛子口气,应当宰了。”众遂大呼入暖阁门。予急奔入,语马勇曰:“有入二堂者,即开枪,毋稍顾忌。”匪闻之大惧,相率出署,迫市肆居民人出一丁,头上幂以红布一方,各执灯笼,登城作防守状。时京畿溃兵,日夜北行,如蚁如潮,络绎不绝,悉从城外经过。彼辈皆恨拳匪切齿,倘见红布蒙首,误为拳匪,或以大炮轰击,城民又实无捍御之具,岂不危险?予虽深虑及此,然无法禁止。予有一侄在署,延博野诸生某君课读。某君自言:“与拳民大师兄某为同乡,当往说之,使其率众下城。”予曰:“甚善。”有顷,仓皇返署,神色沮丧,言顷往见其头目,甫启齿,匪首即怒詈曰:“此二毛子说客,速开刀勿轻纵。”即有数人将其捆缚,反接两手,摔令长跪,乃叩头哀求,久之始释云云。因怒目向予,谓:“今日为君故,几不保性命。实堪忿叹!”予再三慰藉,犹悻悻不已。予姊夫江阴缪石逸延福,适于前月避难来署,予即请其多书尧天舜日等颂扬朱联。西关有行台一所,本为大员往来过境公馆,即预备于此为行宫,连夜糊壁粘联,悬灯结彩,扫除陈设,粗有可观。一面飞请本城官绅筹商一切,因请诸绅转谕居民商肆,相与协力为助。诸绅突闻驾至,皆相顾错愕,不敢发一语,予好慰之曰:“无庸,第嘱本城居民,将存贮食料,出其二分之一,多制备食物、米饭、蒸馍、烙饼、稀粥等事,多多益善,或能佐以蔬干盐菜尤佳。所需价额,将来均由县负责偿给,决不相累。”则皆哄然应曰:“如此易办,决当遵命。但拳民顽梗,不可理喻,恐父台不能出城,将如之何?”予曰:“是无虑。予为守土官,奉旨迎驾,非出不可。彼辈向自称义民,今御跸捋临而不允吾出,是反也。惩治反贼,吾自有严法,更何所顾忌?”时署中募有马勇二十名,装械整饬,颇勇敢能效命。予因传队目至,当众下令曰:“尔等明日以八人随我迎驾,可整枪实弹,迳由西门出。有敢阻遏者,即发枪射击,格杀弗论,予自负其责。”队目唯唯听令。予因商之诸同寅,教官丞簿咸在座。予曰:“吾明日拂晓即出城,诸门已堵,此时即开塞搬运亦不及,只得迂道出西门。但东门当辇道,不能更烦銮舆环绕。请诸君立即掘去土囊,洞开城门;并以堵城之土,将街心积潦填平。扈驾大兵且至,如有人出头违抗,必杀毋赦。”诸人均承诺退去。正忙乱间,忽见所遣厨役踉跄而前,血淋淋满襟袖,谓“所携肴核,系雇两驴驮载出城,仅二三里许,即被游勇掠去两驴,食物悉弃于地,并刃伤右臂,因不得而往”云云。念无可如何,姑且置之。县城向无猪肉铺,予乃命厨夫屠豕三头,除治办筵席外,别以大锅三口,烂煮杂脍蔬肉。扰扰终夕,部署粗定,而东方已白矣。

    予先室曾夫人,于前一年己亥小除日逝世,未有子女。是时尚未续娶,惟予姊及姊丈适以前月来署;尚有一嫂一侄,亦从在署中,馀则只幕客数人,及京官旧友之避难来署者,此外别无眷属。只得托姊丈代为主持照料,并借用民房、铺户、庙宇,嘱为布置扫除,以备王公大臣及随扈官吏公馆。予旋自行检点各事,碌碌竟夜。拂晓,即挈马勇八人,策马迳向西门而行。顾当时拳匪间谍,遍布于吾左右,一言一动,无不向外报告。予先夜令马勇所言云云,彼等俱已周悉,因竟不敢相阻。而道中红布狼藉满地,盖已闻官兵将至,恐受屠戮,故汲汲扯脱抛弃也。

    出城八九里间,忽大雨如注,淋漓遍体。予尚衣补服,幸携有紫呢外罩,即披之于外,加油兜于凉冠,冒雨竟行。道本沮洳,至是益泥泞不可放马足;又风吹湿衣,寒冷彻骨髓;颠播瑟缩,困顿殆不可言状。幸俄顷而雨止,适见近面有一驮轿,迤逦而来,一骑为前导。予不知何人,即弛油兜外罩,驻马道左以候之。俄而至近,前骑即高声问曰:“来者其怀来县耶?”予应之曰:“然。”曰:“此即军机赵大人。”而舆行已至身畔,予方拟下马,赵公即搴帘止之,问:“前去有无馆舍?”予曰:“大人公馆,谨已有预备,惟得信仓猝,恐不及周至。”曰:“有舍即可。两宫饥寒已两日夜,情状极困苦。洋兵打入紫禁城,势不能不走。汝但竭力供亿,使两宫暂得安适,庶稍苏积困也。大驾随后且到,可即前行迎驾,吾无多言矣。”

    巳正,抵榆林堡,则居民逃徙已尽,街市列屋尽闭,寂然无人烟。寻至站所,仅有管驿家丁董福一人尚留守未去。问以所事,曰:“全堡已空,稍有馀物,亦为兵匪掠尽,更无法可搜集。驿马但有老羸者五匹,馀皆为乱兵掠去。此堡只有骡马店三处,今择其较宏整者,备圣驾小憩。几椅铺垫,夹板门帘,朱拓字画,均略有陈设。本令每店各煮绿豆小米粥一大锅,乃两店之粥已为诸军吏卒掠夺一空,此店之粥亦几被攫食,再三央告,谓此系预备御用,始获保存,现所馀者止此矣。”予曰:“现在已无他术,惟力保此锅,勿再被劫为要。”因自坐店门石墩上,命马勇荷枪侍立,遂无人敢入店。

    俄见肃亲王乘马先至,予都中旧识也。一见即向予致语曰:“皇太后乘延庆州肩舆,其后驮轿四乘,皇上与伦贝子共一乘,次皇后,次大阿哥,次总管太监李莲英,各坐一乘。接驾报名时,俟四人轿及第一乘驮轿入门,即可起立。”予唯唯谨记。旋见导骑十馀,驰骋而来,前骑传呼驾到。遥见四人舁蓝呢大轿前后,将至店门,予跪唱:“怀来县知县臣吴永跪接皇太后圣驾。”接连一驮轿,见其中对坐二人,复高唱:“怀来县知县臣吴永跪接皇上圣驾。”报名毕,即起,仍坐门外石上候命。复见双单套骡车七八辆,则瑾妃及庆王两女,与宫女、女仆,各项首领太监,皆陆续入店门。其扈跸王公军校,悉散立街衢或在店铺门外,骑步兵卒约数百人,纷错不整,悉现饥疲之状,盖已狼狈数日矣。

    二十二日,出居庸关,至岔道,兵不及二百人。延庆州知州秦奎良进膳,从官不得食,有怨言,奎良惧,太后慰遣之。是日,马玉昆至。(李记)

    纷扰略定,忽一太监出门外,大呼曰:“谁是怀来县知县?”睅目皤腹,声锐而厉,仿佛如演法门寺。后知此太监为崔玉桂,当时为二总管,后代李莲英为总管者也。予因起立自认。彼复厉声曰:“上边叫起,随我走!”予见其来势汹汹,意或有谴责,因私叩以上意吉凶。曰:“这那知道,且碰你造化。”径以手挟予腕而行,入院至正房门外声报,始搴帘令入。其室为两明一暗,正中设方案,左右列二椅,太后布衣椎髻,坐右椅上。予即跪报履历,并免冠叩头。太后先问姓名,予如问奏答。又问:“旗人汉人?”予奏言:“汉人。”问:“何省?”曰:“浙江。”又问:“尔名是何永字?”予仓卒更不记他语,因信口作答曰:“长乐永康之永。”曰:“哦,是水字加一点耶?”予应声称是。复问:“是何班次,何时到任?”予一一陈奏。曰:“到任几年?”曰:“三年矣。”问:“县城离此多远?”予答谓二十五里。曰:“一切供应有无预备?”予谨奏曰:“已敬谨预备,惟昨晚方始得信,实不及周至,无任惶恐。”曰:“好,有预备即得。”言至此,忽放声大哭,曰:“予与皇帝连日历行数百里,竟不见一百姓,官吏更绝迹无睹。今至尔怀来县,尔尚衣冠来此迎驾,可称我之忠臣。我不料大局坏到如此。我今见尔,犹不失地方官礼数,难道本朝江山尚获安全无恙耶?”声甚哀恻,予亦不觉随之痛哭。太后哭罢,复自诉沿途苦况,谓连日奔走,又不得饮食,即冷且饿。途中口渴,命太监取水,有井矣而无汲器,或井内浮有人头,不得已,采秫秸秆与皇帝共嚼,略得浆汁,即以解渴。“昨夜我与皇帝仅得一板凳,相与贴背共坐,仰望达旦。晓间寒气凛冽,森森入毛发,殊不可耐。尔试看我已完全成一乡姥姥,即皇帝亦甚辛苦。今至此已两日不得食,腹馁殊甚,此间曾否备有食物?”予曰:“本已谨备肴席,但为溃兵所掠;尚煮有小米绿豆粥三锅,预备随从尖点,亦为彼等掠食其二。今只馀一锅,恐粗粝不敢上进。”曰:“有小米粥,甚好甚好,可速进。患难之中得此已足,宁复较量美恶?”忽曰:“尔当叩见皇帝。”因顾李监曰:“莲英,尔速引之见皇帝。”时皇上方立于近左空椅之旁,身穿半旧元色细行湖绉绵袍,宽襟大袖,上无外褂,腰无束带,发长至逾寸,蓬首垢面,憔悴已极。予随依式跪叩,皇上无语,乃仍还跪太后前。复问数语,曰:“予今已累,尔亦可下去休息。”予却退出至西厢房,随将小米粥送入。内监复出索箸,仓卒竟不可得。幸随身佩带小刀牙筷,遂取箸拂拭呈进。顾馀人不能遍及,太后命折秫秸梗为之。俄闻内中争饮豆粥,唼喋有声,似得之甚甘者。少顷,李莲英出,就予语,词色甚和缓,翘拇指示予曰:“尔甚好,老佛爷甚欢喜,尔用心伺候,必有好处。”复谓:“老佛爷甚想食鸡卵,能否取办?”予曰:“此间已久无居人,安所得此?然姑且求之。”李曰:“好好,尔用心承应,能讨老佛爷喜欢,必不吃亏。”予乃出至市中,入一空肆,亲自寻觅,最后抽一橱屉,内竟有五卵,得之乃如拱璧。顾从人皆已四散照料,苦无法可熟,不得已,即于西厢自行吹火勺水,得一空釜煮之。继更觅得一粗碗,佐以食盐一撮,捧交内监呈进。俄而李监复出,曰:“老佛爷狠受用,适所进五卵,竟食其三;馀二枚,赏与万岁爷,诸人皆不得沾及。此好消息也。但适间老佛爷甚想水烟,尚能觅得纸吹否?”予思此又一枯窘题,忽忆及身边尚藏有粗纸数帖,勉强可用,乃就西厢窗板上自行搓卷,辗转良久,止得完好纸吹五支,随以上供。不数分钟,太后已搴帘出廊下,手携水烟袋,自点自吸;已得饱食后,神态似觉稍闲整。顾予在右厢廊间,复令就近与语。予不得已即于院内泥泞中跪听。先絮絮问琐事,因言:“此行匆促,竟未携带衣服,颇感寒冷,能否设法预备?”予奏谓:“臣妻已故,奁具箱箧均存寄京寓,署中无女眷,惟臣母尚有遗衣数袭,现在任所,恐粗陋不足用。”曰:“能暖体即可,但皇帝衣亦单薄,格格们皆只随身一衣,能为多备几件尤佳。”予奏答:“臣回署当检点呈进。”曰:“尔可先回去料理,予与皇帝即将启行矣。”予奏:“臣候叩送圣驾即行。”太后曰:“我乘延庆州轿子,舆夫已疲劳,此处能换夫否?”予奏曰:“臣已预备齐楚。”太后曰:“延庆轿夫倒甚好,所换之夫,不知能否胜任如前?”曰:“皆系官夫,向来伺应往来差事,当不至于贻误。”李监从旁接语曰:“人家伺候大人们不知多少,岂有不会抬轿之理?”语毕,予即退出。太后顾诸左右曰:“吴永他是汉人,却甚知道礼数。”李监又搀言曰:“人家做官多少年,难道此区区礼数都不懂得,还配办事么?”

    既而传呼起銮,太后乘予所备之轿,皇上即乘延庆州轿。予在门外报名跪送毕,即上马由间道飞驰回县。途经村落数处,不见一人。道旁民舍,皆为溃兵游匪毁坏,门窗户壁,几无一家完整;甚有被宰鸡豕尚未烹食者,纵横地上,为鸦犬争食。荒凉惨淡,目不忍睹,但已无法顾注。迄到县城,则东门果已洞开,盖守城拳匪,先已闻讯逃匿。两旁居民店肆,悉闭户蛰伏不敢出。予念此象不妥,即传谕各家居民,一律启户,于门外摆设香案,有灯彩者悬之,无则用红纸张贴,谓驾到时尽可于门外跪看,但勿哗动。于是始争与收拾布置。予先至行宫查看,陈设亦颇楚楚。未几,即有前站内监乘马先至。予引视各住房,一一周阅,似已甚满意,谓予曰:“咱们今日已算是到地头了。”“到地头”云云,犹言“到了家”也。

    少时,銮驾已至,予复如式跪迎。两宫先后降舆入内,旋即叫起入见。太后颇以温语相慰劳,谓:“很难为你办理。”予退出后,即驰回本署,督促供应。随扈官兵皆陆续到县,斗大山城,在坑在谷,一时填塞俱满。据办事人报告,始知此次随驾同行者,除前单所列外,尚有博公、定公、工部侍郎溥兴及各部司员数人。予所通姓字者:提督马玉昆、学士王垿、军机章京鲍心增字润漪、来秀字乐三、文徵字子成,及涂元甫农部国盛、袁季九驾部玉锡,其他皆不相识。扈从兵士,为神机、虎神两营,其馀尚有武卫军,顾皆零落散漫无统纪,蹩躠而行,馁惫不支,惟肆强掠,道遇车马,即摔其人于路旁,牵其车马以去,虽京外官吏亦鲜有倖免者。以此凡沿官道各村庄,居人皆逃徙一空。兵卒搜括财物,鸡犬不留;主将虽三令五申,迄无法可以禁止。旋奉谕:除神机、虎神两营外,所有各军悉归马玉昆统率。号令归一,比较当稍有秩序矣。

    予匆匆到署,即启箧检衣服,惟得先生母柯太夫人呢夹袄一件,尚觉完整,即以此件预备进奉太后;又检得缺襟大袖江绸马褂、蓝绉夹衫长袍各一件,拟进奉皇上。惟两格格衣服,无相称者。继思旗籍妇女可通用男子衣,乃以予自用绸绉线夹春纱长衫数件,拉杂凑置,并为一包,当即驰赴宫内呈送。予姊逝世,姊夫缪石逸新续娶,有镜奁一具,予取以进奉,梳篦脂粉悉具。于是太后始得栉沐妆饰。少间复传起入见,则太后及皇上均已将予所进衣服更换,威仪稍整;两格格亦穿予长衫,伫立门外闲看,不复如前狼狈矣。

    二十三日,太后易秦奎良轿,莫至怀来,县令吴永供张甚办,左右皆有馈遗。时塞外严寒,太后方御葛衣,永进衣裘,太后大喜,留一日,擢永知府。(李记)

    予旋向各处馆舍巡视一周,就便问各官起居,颇尚周帖。惟沿途所见兵士,不免纷扰。复回宫门,晚间入见,陈明兵士不戢状。太后亦颦蹙,言:“此辈甚可恨。予于途中已饬马玉昆严办,正法至百数十人,均令枭首居庸关,乃尚不能禁止。但今可授尔旨,见有抢掠兵士,不问属于何军,准即就地正法可也。”予是夜往来照料,蹀躞无停趾,直至四鼓,始还署假寐。

    次日拂晓,即整衣出署。甫至街口,瞥见一群兵士方劫掠一典肆。肆伙跪诉道左,乞为作主。予随从有马勇六人,立喝令拿办,谓:“圣驾在此,尔等乃敢白日行劫!予已奉太后旨意,得就地处置。”当场拿获六人,悉有赃物,因立命斩决,典肆近西门,肆前有“腾蛟起凤”牌坊,即将首级枭示坊柱。见者栗然,自此稍为安戢。

    连日据乡民报告,各方溃兵到处掳掠牲畜骡马,日至十数起。北地农民,全以骡马耕作,如被掳掠,则来春怀来人民皆无法耕种,遗患非细。但非有兵力,不能禁止;且在此百忙之中,又何法可以兼顾?旁皇搔首,殊焦急不得策。继思马玉昆现统禁兵,只有与彼商之。因急驰往马处,告之以故,请为怀民造福。马曰:“事固应办,但怀境如此辽阔,安能处处派兵守护?”予曰:“否。彼等抢掠牲口,皆须携往他处贩卖。本县之七里桥,实为其出境总路,军门但于此处派兵驻扎,见无鞍辔骡马,便是从乡间掳掠而来,可以严加盘诘,如讯问得实,即予截留,并将游兵严办数人,此风即可遏止。”马曰:“如此甚易。”当即调兵一哨,驻扎七里桥。一二日间,盘获骡马至八十馀匹,就地正法十数人,抢风顿息。马当选去好马四匹,馀悉送至县署,曰:“此君治下物,依法当统归地方存案,吾特向君乞此,聊作惠赠,何如?”予曰:“如此,怀民受赐已至厚;此区区者,又何足言?”马欣然感谢不止。

    是日,复至宫门外请安叫起,因奏明此事,太后甚为嘉许。奉谕:“予与皇帝驻跸在此,城内外不许有枪声。下令后如再有人放枪,可即擒拿处斩。我尚拟再住一日,一切供支,汝可量力为之。汝亦须少为将息,毋过劳苦。”云云。体恤如此,予不觉为之感泣。予昨在榆林驿,晤甘肃藩司岑春煊亦以随扈来此。接谈之下,见其激昂慷慨,忠勇奋发,心颇非常引契。盖岑本在甘藩任内,闻联军入都,自请带兵勤王。甘督陶公模知其人躁妄喜事,意不谓然;而以其名义正大,不便阻遏。因拨步兵三营,每营约四百馀人,骑兵三旗,每旗二百馀人,合计不过二千馀人,并给以饷银五万两。岑因先行就道,自草地经张家口驰骑入都。前过怀来,予曾谒见共谈,为之供应夫马。陛见时,太后问:“带兵若干?”以如数对。太后觉事近儿戏,意殊不怿,问:“兵在何处?”曰:“尚在途中。”因有诏令其办理察哈尔防堵事宜,着折回张家口迎候来兵,即于该处驻扎,备俄人侵入,盖聊以藉此安顿也。岑因逗留京中,逾数日而两宫出狩,乃即随后追赶,至延庆始遇骑兵,遂率以扈驾,因而至此。予当日谒见刚、赵两军机,方于坑上对坐,偶言及岑事,两公对之均不满。赵且作鄙夷语曰:“嘻,连彼亦需尔供应耶?尔此山僻小县,焉得有如许闲饭,供此不急之人?”予谓:“彼以扈驾来此,当然不能不一律招待。”曰:“彼奉旨防堵张家口,何得擅行至此?彼乃敢违奉上旨,何须置理。”予是时意殊为岑不平,但亦不便顶驳,随即告退。赵尚书复呼予婉告曰:“我尚与尔商量一事。今当发廷寄,但军机大臣印信尚未携带,拟借尔县印一用何如?”予未及对,刚中堂复搀言曰:“此事我颇不以为然。向来借印,须平行衙门,乃合体制,县印似大不称。”赵艴然曰:“老头,此何等时势,有县印可借已是万幸,尚欲讲体制耶?尔且须知在此道路中,任何部院关防印信,恐都不及怀来县印之有价值。若必欲平行印,则庄亲王现带有步军统领印信,可以借用。但八百里加紧文书,恐邮卒视为不足轻重,转致迟误。”即顾予曰:“渔川,尔弗听老头言,尽管办去。”予曰:“文书封面,均有印成字样,恐不合用,只有白纸禀封,如何?”曰:“可。”予即回署,即禀封十枚印就,亲自送交。赵公已将寄山、陕两省巡抚廷寄办好,立即封固,令鲍章京填写官衔年月,交予发递。予即返署遴选良马,派精壮驿夫飞马驰递。旋有神机营官长苏鲁岱来署会晤,言:“兵丁饿不得食,务求筹款散放以济眉急,此系奉端王谕,务请阁下设法,切毋延诿。”予不名一钱,亟请城绅郭应斗等数人聚议,仍向各粮店凑借。苏君坐客次守候良久,郭绅等还,言已挪借纹银千两。将银交苏君,分发神机、虎神两营各五百两。正欲出署,忽报王中堂到。予出至大堂,见有单套骡车一辆,甫在堂上停歇,就近询问,知为大军机王公文韶与其公子稚夔京卿同坐而来,因当时不及随驾,今日始行赶上。予即趋前迎候,谓“中堂公馆,业已预备”。曰:“予困疲已甚,即拟借尔署中安息,不愿他往矣。”予曰:“署中恐太逼仄,奈何?”曰:“不拘何地,但有房一间,一几一榻足矣。”予不得已,即腾出签押房对面南房三间,请其迁入,复亲过房中,照看一周。王公饥甚,急索食。署中厨夫俱四出供役,予嫂自入厨房炊饭,煎鸡卵数枚,及泡菜等二三味,草草供馈。盛饭一竹篮,盖食器亦罄矣。王公父子,食之至甘。食竟,即就榻安息,知予将往宫门,语予曰:“烦尔代我陈奏,谓予已到此,今日过疲顿,已不克赴宫门请起,当以明早趋直也。”予已出门外,复呼告之曰:“尚有一语,烦尔奏明,谓军机大臣印信业已携带在此,至要至要。”予曰:“然则甚佳,今日刚、赵两军机正为此事抬杠也。”予遂亟往见刚、赵两公,告以王中堂已至县署安息,二公均甚喜慰。

    岑春煊为甘肃布政使,率兵来勤王,奉命往察哈尔防俄,至于昌平,入谒,太后对之泣。贯市李氏者,富商也。以保标为业,北道行旅,均藉之。从取千金,帝及太后乃易骡轿而行。太后仓皇出走,惊悸殊甚,得春煊,心稍安。春煊勤扈从,一夕宿破庙,春煊缳刀立庙门外彻夜。太后梦中忽惊呼,春煊则朗应曰:“臣春煊在此保驾。”春煊于危难之中,竭诚扈从以达西安,太后深感之,泣谓春煊:“若得复国,必无敢忘德也。”(罗记)

    两日以来,此荒城僻县中,千乘万骑,贵要云集,奔走伺应,几无一刻宁息。宫门传呼叫起,日必三数次,真可谓疲于奔命。而随扈军士、宫监数千百人,日需供给,数尤不赀。自沿城十里以内,蔬菜、牲畜、粮食、草秣,悉索已尽,顾尚不闻有启跸期限,私心焦急,殆不可名状。盖两宫在此,犹有徘徊观望之意,冀就近可得都中消息,或交涉得当,尚可中道折回也。

    至第三日,则供应食物已渐形支绌。前两日,乡民进城蔬菜以至日用百物,大筐小筥,相属不绝,屯集街市如山积。至本日则骤觉稀少,觅乡担已不可得;城中居民盖藏亦多半出供官需。因予自始即定以平价和买,丝毫不加科派,故民间均愿极力相助,集成吾事。彼亦幸藉此以消通滞鬻,因之踊跃输送,绝无居奇隐匿之弊,数日中赖以不匮。然再驻数日,则不免情见势绌矣。有艾监生者,回回教人,在西关开旅店,平素好干涉讼事,予传案戒责两斥革之。是日予照料差事,行过彼店,见其短衣磅礴,方俯身自铡马草。予呼之曰:“艾君,不怀旧怨耶?”艾仰首见予,即肃然致敬曰:“父台责我,公事也;然居官廉正,我岂能以私害公?今大驾猝临,役夫奔走不暇,我亦大清子民,部下百姓,分当竭奉上之力,区区效此微劳,何足介意?”予闻之,颇加奖敬,以此见关外民风淳朴,犹存古意也。是日见刚中堂,颇蹙额代为担虑,曰:“如此小县,安能任万乘供应?一驻再驻,尚不言启行,独不为东道留馀地耶?”至午后,始闻定以次日启跸,予心为之稍纾。然念如许王公贵监,来时草草,到此后均须加饬行事,此一番支应,定非小可。但无可如何,只得急急八面张罗,尽力筹备一切,以能勉强对付,恭送出境为毕事。大驾一刻在境,仔肩未卸,终不免为之惴惴也。

    下午复叫起入宫,太后询行驾部署,予一一奏答,为之颔首者再。既而诸王公、贝子,纷纷向予索马。县中旧有驿马,已多数被掠,幸前日于七里桥盘获骡马数十匹,尚可抵应,竟为索借几尽。从驾亲贵数十人,舆者,马者,夫役者,扰扰竟夕,幸得敷衍完事,可喜也。日来劳顿已甚,嗓音顿哑,两骽肿胀,足几不得举。怀城街道,向以大鹅卵石填砌,油滑荦确,碍步殊甚。两日中碌碌奔走,视靴头已洞穿两孔,几见趾踵,苦况略可知矣。

    傍晚间,忽自宫内传旨,由军机处交到字条一纸,上开:“本日奉上谕,吴永着办理前路粮台。”大恩所压,错愕几不知所出。一身之事,捐糜顶踵,且不暇计;顾念此全城生灵,若大驾启行,予亦同时随往,地方善后,无人负责,溃兵游匪,势必同时麇集,且虑拳匪聚众报复,蹂躏将无完土,予何以对此怀民?因亟赴宫门,拟见李莲英,请其代为陈奏,值其已睡不果。又往见肃邸及伦贝子,求为设法辞卸。肃邸颇疑予别有用意,一似不愿为国效力者,言语之间,颇有皮里阳秋。予再三陈辨,彼又疑予系恋官缺,乃作奚落声曰:“嘻嘻,毕竟是州县大老爷,滋味固如此浓挚哉!然此出自上旨,在我又安能为?”坚辞不管。予不得已,复请见端邸,陈达理由。端邸曰:“我尚思保奏汝,何为反自推诿退避耶?”语次,似甚诧异者。乃又求之王中堂,中堂亦谓:“既有明旨,只可遵奉。”予复力陈地方为难情形,反复再三,至于涕泣。中堂始微哂曰:“渔川,尔真为此耶?只此固甚易处置,但往商之马玉昆,请彼留一营在此镇摄,即无事矣。”盖诸公俱疑予意图规避,而特借地方为饰词,似天下决无真为百姓计较之官者。予当时官场之阅历太浅,以为为地方利害起见,情切理正,定当易邀垂恤,而不知反以此见疑也。予无可如何,只得就马公商之。马已就枕,予即立床次与语,马因披衣起坐。予反复祈恳,请救此一城生灵,并言:“伙食供给,均可就地方筹办。”马竟慨然允诺,曰:“聂军门残部,现均归我统率,原有马队三十营,现当尚有十七八营,虽皆零落不足额,约计一营尚有百数十人,防守怀来已足矣。”即传呼中军官,立召旗牌,由枕上授以令箭,命星夜飞调某营来怀。予并与约,明日俟圣驾启銮后,再行入城。幸接洽就绪,予始放心回署。草草办装,神魄散乱,殊恍惚不知措手。念署中幸无多眷属,孤身独客,行止初无大牵率,惟尚有嫂、侄及亲戚、幕客数人与京官旧友之避地于此者,不能不稍谋安顿。因于市肆借得百金,酌量分赆,并各为商定行止。时予尚未有儿女,署中止从子宗熙一人。有执帖家丁刘福,尚忠实可倚,予因向之长跪,含泪相托曰:“予兄弟数人,止共此一丝血脉,宗祐所寄,今以累尔矣。予此去孤身远役,前途祸福不可测。尔幸念数年推解之谊,照看吾侄,必毋使失所。异日幸平安复相见,当不相负。”刘亦跪泣曰:“老爷尽忠保主,前程远大,但安心首途。小人尽绵力所及,虽至行乞,誓奉伺侄少爷,决不相离弃。”予遂与嫂氏痛哭诀别,同时并委典史暂摄县事,略与诸同寅绅士商洽城守事项,告以向马军请兵保护情形,诸绅皆大欣感。诸事既毕,予即以次日早晨挈同姊丈缪石逸随扈就道。凡圣驾驻怀共三日,此为七月二十四日也。

    二十五日,黎明启跸。予跪送后,即乘马先行,另雇一双套骡车,稍载行李,在后相随。甫出西关城外,马军门所派留怀防守之马队营长即于此处伺候,向予致敬行礼。予告以与城绅商妥供应各事,慰托数语,匆匆道别。数里外适及马军门,乃连骑同行,因就马上互谈。又行数里,忽见岔道上有兵士一人跃马前来,手上更牵骡马五六匹,将至近处,似逡巡不即前。予详细审视,因指谓军门曰:“彼与所乘马均无鞍鞯,而满身泥滓,是皆农家物,来者殆非正道。”军门即令截留诘讯,果支吾不能对,因饬卫兵驱之前行。军门手执一拂尘,即扬之当鞭,跃马疾驰,转过山麓,眴已不见。予随后趱行,不久至一小村集,见军门所乘马系于路侧,因亦下马入村。军门方跨坐沿街门外,见予至起立,以拂上指,曰:“已遵示办理,可销差矣。”予随所指视之,则赫然一簇新头颅,枭示竿上,鲜血犹滴沥不已。俯视道左,则无头尸委地上;审其年貌,大约不过二十许,身穿军衣,而符号已扯去,不知属何队伍,右臂上尚环有唪珠一串,想亦偶从他处掠得,决非专心念佛之人。予念此铮铮壮年男子,竟死于予一言之下,未免嗒然自悔。但又念彼掠得如许牲口,行劫必非一次,被害之家,不知凡几;如不置于法,不知尚须遗害若干人,且难保无奸淫焚杀之事。使先后片刻,即可逍遥自在,乃无端巧遇,遂罹于法,就中若有神鬼驱使之者。天网恢恢,疏而不漏,偶然假手于我,殆非我所能自主也。

    又行十馀里,至土木驿,离怀来县城已三十里。此处本有驿马,悉为溃兵劫掠。居民均窜山谷中,堡内人烟断绝,惟备茶尖。宣化镇何乘鳌带马队来此接驾,与之相晤。又二十里至沙城,驻跸。此地有巡检司,尚属怀境。予先已派人在此置备,以佛寺为行宫,俗呼东大寺,颇宏敞,勉强足安顿。予以在县中连日承应,劳顿已极;伺两宫已入行幄,部署初定,觅得一荒寺,于阶上独坐小憩。忽有各王公府箭手及诸色太监勒索车辆马匹,京官亦有陆续赶到者,皆纷索供应。正扰扰间,又有武卫左军多人,直前围逼,问予索粮饷麸料,曰:“尔系粮台,分当供给军需,岂能任意推诿!”众口喧呶,举枪扬刃,其势甚汹汹。予愤不可遏,乃挺身告之曰:“尔辈皆食国家厚饷,今外兵一至,乃无一人抵御,致令圣驾蒙尘,颠沛至此,尚忍作此态耶?予受命未一日,又新从奔走至此,百凡未及布置,将从何处得饷?今予惟有孑然一身,脔割咀嚼,一听尔等所欲,饷银则分文无有。”郁气坌涌,因不觉据地闭目,放声痛哭,良久启视,则彼等竟已不知何时相率引去,不留一人矣。

    是役幸得以一哭解围,然予念身无一文之饷,手无一旅之兵,来日方长,何堪受此缠扰?私计岑春煊现携有饷银五万,略可任暂时支应,且彼带有步骑兵队,弹压亦较得力。观其人似任侠有义气,不如以督办让之,而吾为之会办,相与协力从事,于公于私,均有裨益。然此情将以何法上达,得邀谕允?遂往见庄亲王,告之以故,请其挈予面奏。顾哓聒许久,彼竟茫然不省,曰:“我记不起许多这外官规矩,乃如此麻烦,我带尔同往,尔自陈奏可也。”即携予同入。至东大寺行宫,由内监通报。须臾,李监自角门出,低声问曰:“此时尚须请起耶?”庄邸曰:“他有事面奏。”曰:“然则我为尔通报。”须臾叫起,太后立于佛殿正廊,皇上立于偏左。庄邸即前奏曰:“吴永有事陈奏。”即回顾曰:“你说。”予奏曰:“蒙恩派臣为行在前路粮台,本应竭犬马之劳。惟臣官仅知县,向各省藩司行文催饷,于体制诸多不便,即发放官军粮饷,布发文告,亦多为难之处。现有甘肃藩司岑春煊,率领马步旗营,随驾北行。该藩司官职较崇,向各省行文催饷,系属平行。可否仰恳明降谕旨,派岑春煊督办粮台,臣请改作会办。所有行宫一切事务,臣即可专力伺候。不致有误要差。”时太后方吸水烟,沉思良久,曰:“尔这主意很好,明晨即下旨意。”当谕庄邸先退,太后复谕曰:“此次差事,真难为你办得很好。汝甚忠心,不日即有恩典。我于外间情形知之甚悉,皇帝性情亦好,差事如此为难,断不致有所挑剔,汝可放心,无须忧急。”予免冠叩首,不禁感激流涕。又谕曰:“尔之厨子周福,很会烹调,方才所食扯面条甚佳,炒肉丝亦甚得味。我意欲携之随行,不知汝愿意否?”予对曰:“厨夫贱役,蒙恩提拔,不惟该厨役得有造化,即臣亦倍增光宠。”太后甚悦。有顷退出。傍晚至宫门,有内监告予,谓周厨已赏六品顶戴,供职御膳房矣。然当晚间予即无从觅食,乃至巡检署觅吴少尹,为备餐馔,勉强得一饱。

    二十六日,在沙城。晨起召见军机,即降旨:派岑春煊督办前路粮台,吴永、俞启元,均着会办前路粮台。予方喜可以分卸重责,讵以此事大为军机所不惬。是日驻跸宣化所属之鸡鸣驿,王中堂呼予往见,即诟曰:“尔保岑三为督办,亦须向我等商量,乃迳自陈奏耶?此人苗性尚未退净,如何能干此正事?将来不知闹出几多笑话,尔自受累。尔引鬼入宅,以后任何纠结,万勿向我央告,我决不过问。”予闻语愕然。噫,少年鲁莽,轻信寡虑,至以此开罪于军机,不意以后沿途葛,及一生蹭蹬,乃均坐此一事。此亦命宫磨蝎,数有前定,本无所用其追悔;然掘坎自埋,由今回忆,可恨尤可笑也。

    二十六日,至宣化鸡鸣驿。霸昌道英瑞献五千金,太后喜,拊劳甚至。(李记)

    俞字梦丹,为湘抚俞廉三之子。俞中丞乃刚中堂之门生,梦丹与刚子狎近,每日上道,均随刚之左右。刚因乘间为之奏请赏一差事,遂亦派为会办。于是随扈粮台乃有一督办、二会办矣。方在沙城将启銮时,天甫向明,在行宫门前,岑一见予即相诟怨曰:“谢尔厚意,乃以此破砂锅向我头上套,令我无辜受累。”其实彼固十分欣愿,求之而不得者,只以出于我所保奏,似乎贬损身分,且恐向之市恩,故佯为不悦以示意。以后乃节节与我为难,不德而怨报之,洵始料所不及也。是日,口北道钟小舫观察、宣化县陈立斋大令,均来此迎驾。

    二十七日,辰刻启銮,三十里至响水驿茶尖,又行三十里至宣化府驻跸。是日奉旨:直隶怀来县知县吴永,着以知府留于原省候补,先换顶戴。

    二十七日,至宣化,知府李肇南献千金。刚毅夙骄蹇,倨见肇南,肇南让之,因召谒,劾毅误国庇乱民,罪最大,太后不悦,肇南卒罢归。宣化令陈本赂莲英六千金,代其位。是日,载濂、载滢、桂春至。令百官赴行在。留三日,然后行。英年前驱,主置顿,李莲英恃宠甚骄,所过供张多逾制,年颇裁抑之。莲英爱幸,与于废立,上入朝太后,莲英踞坐不为起。尝与太后博,同食饮,自徐桐、荣禄皆附之。(李记)

    二十八日,仍驻宣化。奉旨:在任候补知府直隶宣化县知县陈本,著以道府交军机处存记。盖刚中堂所保奏也。

    二十九日,仍驻宣化。予具折谢恩,蒙召见。皇太后谕曰:“汝忠心且有才干,将来定当大用,望好为国家效力。”予叩头谢。复谕:“尔以后如有所见,或有重大事宜,准尔专折具奏。”言次并为述及义和团乱事始末,暨出宫情形,挥泪不止。予亦不觉怆然涕下也。

    三十日,仍驻宣化。予上折条陈十事:一,请下罪己诏;二,请派王公大臣留京,办理善后事宜;三,随扈京官,请酌给津贴;四,请刊行在朝报,俾天下知乘舆所在;五,随扈各军,请饬编补足额,恪定军纪;六,各省义和团馀众,请饬疆臣酌量分别剿办解散;七,请饬各督抚宣谕逃匿教民,各归乡里;八,请饬各省将应解京饷核定成数,分别解送行在户部,以济要需;九,请饬京外大臣遴保通达时务人才,破格任用,并注意出洋留学生,量才登进,俾得循途自效,免致自投他国,有楚材晋用之诮;十,圣驾经过,沿途十里以内,请豁免本年丁粮。

    奉谕:交军机大臣商酌采用,请旨施行。

    八月初一日,启跸。予以滞下,请假二天,即往宣化署中。时庆邸尚留怀来俟进止,其馀王公大臣,皆扈从西行矣。

    初二日,至怀安。命奕劻回京议和,许便宜行事。太后进入至怀来,取其子为质。是日,崇绮死。绮,穆宗后父也。后与太后不相能,故太后恶绮,屏居二十年,不复奉朝请。及立大阿哥,太后使荣禄起之,授书弘德殿。太后之再枋政也,绮建言废立,以草示徐桐、荣禄,桐、禄善焉。绮推桐、禄首衡,桐、禄亦让绮,久之不决。自是荣禄、徐桐交荐之,遂起为傅。城破,走保定,使人间道归视其家,皆已死,遂自经。徐桐之死,在崇绮后远甚。桐为人惨急峭深,欲尽杀诸言时务者。城破,桐不知,方坐翰林,以故事见属官,属官莫应。已而夷人欲诛首祸,以桐为词,桐子承煜请桐白裁,桐犹豫,承煜引绳进之,桐不得已就缢,而诈言死于城破时。桐自名正学,每朝奏事,太后至改容礼之,及是而奸尽露矣。桐故与西宁办事大臣豫师善,大阿哥之立,桐就豫师草诏焉。(李记)

    徐桐以汉军翰林至大学士,以理学自命,日诵《太上感应篇》,恶新学如仇。门人李家驹,充大学堂提调,严修请开经济特科,桐榜二人之名于门,拒其进见。其宅在东交民巷,恶见洋楼,每出城拜客,不欲经洋楼前,乃不出正阳门,绕地安门而出。庚子年八十矣,孝钦后以耆臣硕望,每见恒改容礼之,大政必询焉,故晚年尤骄横。拳匪起京师,桐大喜,谓中国自此强矣。其赠大师兄联云:“创千古未有奇闻,非左非邪,攻异端而正人心,忠孝节廉,只此精减未泯;为斯世少留佳话,一惊一喜,仗神威以寒夷胆,农工商贾,于今怨愤能消。”联军破京城,桐皇遽失措,其子侍郎承煜请曰:“父庇拳匪,夷人至,必不免,失大臣体,盍殉国,儿当从侍地下耳。”桐乃投缳死。承煜逃焉,为日本军拘获,后奉旨正法,乃拘回刑部戮之。(《馀闻》)

    初三日,予尚住宣化。庆邸亦自怀来至宣,予往谒之。适澜公自行在奉旨,传命庆邸回京与各国议和,遂折回都中。

    初四日,予自宣启行,至怀安县境住宿。初五日,抵怀安县。初六日,抵天镇县,自此已入山西大同境。

    初三日,至天镇。天镇令额令胜额不办,自杀。(李记)

    初六日,至大同,留三日。以载漪为军机大臣,载澜为御前大臣。护军练兵瑚图理英山夺民马,杀之以徇。然荣禄、董福祥尝大掠京师,太后不问也。又以需索杀内监张天喜。自吴永及大同令齐福田以馈献得官,所过郡县括民财,治供具,惟恐不及矣。赂遗左右,动至千金。潞安府知府许涵度,以拳党厚贿李莲英,得召见,擢冀宁道。潼关厅赂少,莲英大怒,立言于太后,逮问之。而天喜独死。(李记)

    初七日,至阳高县。初八日,至聚乐堡。沿途情状,甚为荒凉,受兵士蹂躏尤甚。马金叙之兵最无纪律,到处掠诈。居民徙避一空,至不得宿食处,往往于道旁空舍,自谋炊饭。初九日,抵大同,始及车驾,当诣宫门销假,自此仍随扈同行。途中闻洋兵入都后,不久即陷保定。廷雍时兼护北洋大臣,为洋人拿获,凌辱备至,旋即斩首枭示。封疆大吏,外人竟任意戕杀,殊可愤懑。然一追数廷雍罪恶,实可谓死有馀辜,国法不能治而假手外人,转足令人意快。廷杰去位时,彼唆弄拳匪,极意挫折,曾不数月而身受惨戮,更甚于廷杰,天道好还,倍称为报,在彼殊无足深惜,特国家体面为之扫地,滋可恨耳。拳祸初作时,桐城吴挚甫先生方主讲保定莲池书院,颇为彼所敬礼。先生曾一再作书,为之痛陈利害,晓以大势,谓:“乱民邪匪,不可姑纵,教士教民,不可轻杀,衅端一起,必致贻祸国家。”反复累数千言,词甚剀切。廷雍非但不听,而且以此致憾于先生,欲设计中伤之。幸以先生之道德清望,不能为害,然其毒亦已甚矣。

    二十三日,德兵法兵英兵入保定,廷雍以牛酒劳师。居久之,以纵匪杀雍。按察使沈家本论讯无状,乃释之。又杀道员谭文焕。文焕,江西人,首率拳匪攻天津租界者也。裕禄亦遣练军何永盛助之,不能破。保定既已失,自是略永平,躏承德,历三边,并塞而南,东扰河间,过真定,自河以北大抵皆苦兵,出井陉,循六国时用兵故道,浸寻及于山西矣。至易州,声言欲发西陵,李鸿章固争,又欲烧陵树。先是,太后遣人掘利玛窦、南怀仁冢,故夷议报之。(李记)

    尚书崇绮奔保定,居莲池书院,仰药死。皖抚福润全家自尽。其母年九十馀,以哀痛死。祭酒王懿荣夫妇、子妇共投井死。主事王铁珊、祭酒熙元,及满官百馀人,皆及难。是役满人死数千人。宗室庶吉士寿富,有文学,尚气节。侍郎宝廷之子,阁学联元之婿也。联元被戮,家属匿寿富家。联军入城,寿富与弟富寿皆仰药,未死,其两妹及婢皆死焉。寿富自刭。富寿从容理诸尸,乃自刭死。(《馀闻》)

    初四日,至阳高。董福祥至。

    是日夷兵入宫,各公使提督皆住,从兵三千人。焚正阳门城楼,火光照数里。宫人内监留者,仅三十馀人,皆无所得食,日本遣兵守乾清门外,人日给薄粥数升。当是时,勤王兵在保定者数万人,不敢复言战。而上书自名忠义欲攻夷者,皆走窜山谷,彭述至弃其母而逃。日本执启秀、徐承煜囚之,为圈牢,窘辱备至。而怡亲王溥静至为奴,鞭挞而死。(李记)

    启秀以翰林至尚书,自附于理学,大学士徐桐深喜之。徐桐以仇视新学见重于孝钦后,戊戌政变后,徐桐尤被优礼。以过老不令入枢府,有大事则咨之而已。桐荐启秀入枢廷,时刚毅方贵用事,启秀遂附于刚毅。庚子五月间,修撰骆成骧典贵州试,谒启秀,辞,启秀谓之曰:“俟尔还京时,都中无洋人迹矣。”其时政府已蓄意灭洋,偶一流露也。袁昶、许景澄之杀,诏书出启秀手。及两宫出走,启秀未及从,与侍郎徐承煜同为日本军拘去。承煜,徐桐之子,官刑部侍郎。袁昶、许景澄及立山、徐用仪、联元之杀,皆承煜监斩,承煜殊自得。联军破京师,承煜绐其父引决而己逃焉。日军执之,与启秀同拘于顺天府署,日军所屯地也。辛丑正月,诏命戮之。奕劻等传诏旨至,日军官置酒饯之。酒次,传中国正法之旨,承煜色变,极呼冤,詈洋人不已。启秀曰:“即此已邀圣恩矣,吾深悔从前之谬误。今已矣,愿贵国助吾中华光复旧物也。”次日刑部派员提之,日军官曰:“徐侍郎顽钝如故;启尚书心地明白,惜其悟之太晚。二人皆贵国大官,已代备舆送之矣。”至刑部署,衣冠至菜市,启秀下舆小立,气度犹从容,监斩官出席礼之。承煜已昏不知人。西人集视者,咸拍照毕,并就戮焉。(《馀闻》)

    初十日,至怀仁。命荣禄、徐桐、昆冈、崇绮、崇礼、裕德、敬信、溥善、阿克丹、那桐、陈夔龙为留京办事大臣。然夷方分地而守,无能过问者。竟夷兵去,不敢夜行,米至石万钱,达官多卖浆自给。(李记)

    十一日,宿代岳镇。

    十一日,至山阴岱岳镇。以敬信权步军统领,不敢问事,盗贼亦时时窃发,无如何也。是日,奕劻还京师,以日本兵为卫。(李记)

    十三,过雁门关。

    十三日,至代州阳明堡。太后过雁门,临关门,北望凄然,意甚不乐。岑春煊进黄花,太后曰:“塞上早寒,得花迟,京师今盛矣。”泣下沾衣,顾左右取乳茶赐春煊,乃去。(李记)

    十四,至崞县,宿原平镇。是日于途中过一小村落,予偶下车散步,见道左一马甲,倚枪而立。见予渐行至近,忽向予肃立致敬曰:“吴大老爷你好!尚认识我否?”予视之茫然不能答。徐又曰:“上年为某寺产业一案,我曾到过台下,多承大老爷恩典,今不省记耶?”予仔细回想,果有此一案。先是怀来乡间有一古寺,寺产甚饶沃,住持某僧,素无戒行,多淫纵不法,然颇交通声气,结纳县胥豪猾。以此历任均与通款曲,乃益骄奢无忌,倚势横乡里,乡人恨之刺骨,而莫可谁何。予到县后,亦屡次夤缘入谒。予以僧人无故投谒,必非守分之徒,因摈斥不理。被害乡民闻此消息,乃先后列状呈控。予详细访查,尽得其实。念该僧如此不法,而至于无人敢发,实以财多势集之故。僧人分在清修,何须厚产。会该乡创办学校而绌于款项,乃判将该寺产业二分之一拨充学校管理生息,充作基本,当经通详各宪批准定案。乃该僧意犹不服,潜遣人赴京运动。突有大起舆马,自都来怀,气象煊赫,先投西关客店住宿。为首一人,自称奉王府使命,来此勾当公事,清查某寺庄产。当时有人来报,予即疑为赝鼎,饬役侦查回报。谓:“看其起居仪从,确是贵人气概,似不类作伪者。”予曰:“姑听之,留心伺察可也。”次日,居然以“愚弟”帖来署投谒。予出接见,则被三品冠服,随从七八辈,皆行装冠带,异常整肃,俨然贵倨,昂然直入,一揖就坐。予未及询来意,彼即敛容作态曰:“贵县办事,殊未免过于糊涂草率,如何擅将王府庄产任意改拨?王爷非常震怒,特命兄弟前来查办此事。请问贵县究竟据何理由,乃如此冒昧?”予曰:“敝县并无改拨王府庄田之事,老兄此言何来?”曰:“某寺田产,实系王府庄产,委托该寺代管者,现闻已拨充某校,何得谓无此事?”予曰:“王府庄产,粮税虽不由本县经征,然本县皆另有档册,与民产划然不相牵混。此次所拨某寺产业,均经逐一查明,鳞册契据,丝毫不能有误,且王府庄田亦从无托人代管之办法,老兄恐未免有所误会,或听该寺和尚一面之词,受其哀求恳托,因而为之出面干涉。既老兄远道来此,如不碍法律之事,未尝不可通融办理,但此案业已通详确定,不能挽回,尚请老兄原谅,不必过问为是。”彼乃向予张目曰:“擅拨王府庄产,如此抵搪数语,难道就算了结,有这样便宜事体耶?兄弟特为查究此事而来,教回去如何销差覆命?”予曰:“老兄既奉王府使命,究竟是何王府所派?持有何种凭证?不妨请出研究。”彼愈哮怒曰:“我是礼王府所派,难道王府还图赖他人不成?我是王府之人,亲身来此,这还算不得凭证,更要何种凭证耶?”予察其词遁,来意已得八九,然详察其人,似尚有相当身分,殊不欲与之破面,但以婉语劝其勿妄干涉。彼以予为有所畏慑,乃益作种种大言以相恫吓,予悉置不理。彼即怫怒起立,昂然竟去,曰:“我看你这事办不了,将来莫要后悔!”予但笑而不应,随后即派役前往该客店监视行动,并通知该店,谓:“茶饭可以供给,但有意外需求弗任意应之,恐将来枉受赔累也。”次日据报:该住店人等已悉数预备他去。予曰:“听之。彼如借此收帆,亦省一事。”乃数日后,又闻全班回店,云系从某寺清查庄产而回。次日,复来署拜会,一见即盛气相向曰:“我已都查问明白,老兄对于此事毕竟有无办法?”予曰:“我言已尽于先,究竟尊意何在?”曰:“别无他说,只将各产归还王府,待我回过王爷,也或可将就罢结。”予曰:“此事断不能办。我已通详各宪,无论但凭阁下空言,即使实在错误,亦须禀请各大宪主持,不能随便拨还。”曰:“这有王府作主,难道院司还敢干涉?你但认得制台、藩台,竟不认得王府么?”予曰:“当然。本县受督抚层宪管属,当然惟院司之命是听。即王府有甚交涉,也须行文总督,以次行司下府,层递到县。王府虽尊贵,却不能直接向本县指挥命令。”彼哮怒乃不可遏,曰:“该寺受王府委托,现有和尚在此,可以作证。”予曰:“和尚何在?”曰:“同来在大堂外。”予曰:“然则甚佳。”当即传呼县役,曰:“现在大堂外有某寺和尚一名,速为我锁拿听讯。”彼益拍案顿足曰:“此是我王府之人,岂能由你拿办?”予曰:“本县只认得他是和尚,认不得是王府,此地亦非尔咆哮之所。”彼乃直起向外,一路怒詈而去。予随后立出硃票,着将该店所住人等,一起押传来署,听候发落。俄而二十馀人悉数到署。予于大堂正中供设万岁牌,西向设公座,先传为首者问话。彼到堂上,初尚倔强,予叱之跪,彼曰:“我是太祖高皇帝的子孙,何得向尔作跪?”予曰:“我不要你跪,这法堂便是太祖高皇帝的法堂,你向上看,你便向太祖高皇帝作跪。你既称宗室,难道不知朝廷法令耶?”彼见予词色严重,意气骤敛,向予请安小语曰:“请县台稍留世职面子。”予曰:“这法堂之上,说不到‘面子’二字。跪下!”彼无法,只得下跪。予曰:“本县今日须先审问尔之来历。你如果是宗室,你知道宗室私自出京是何等罪名?依法便须交宗人府讯问,至少亦须革职,永远监禁高墙。况尔尚有包揽词讼、讹诈官府一段情节,罪状尤为重大。若实在不是宗室,则你是假冒宗室职官,朋通讹诈,本县便依处治游棍法律惩办。你今两罪必居其一,如好好从实供招,或者尚有通融馀地;若再支吾捏饰,本县立刻将尔收禁,通详请示,依法办理。”彼乃叩头认罪,一一吐实。原来确系一黄带四品宗室,袭封辅国将军,其三品顶戴,则假冒也。其馀诸人,有车夫,有工匠,有衙役,原来临时乌合,各色都有。受和尚勾结运动,止得过银二百两,馀约寺产归还再行酬谢。予既讯明底蕴,遂即当堂发落:和尚判徒刑二年;择出头刁狡者,笞责数人;为首者当堂取保,馀均从宽省释,一律驱逐出境。其假冒宗室一节,姑置不究,亦未将其真名现职存案申报。其人再四叩头感谢。一时观者,莫不额手称快。此马甲殆是当时省释之一人,姓名状貌,实已丝毫不能记忆,彼既云云,姑笑颔之而已。彼逡巡复曰:“我当时实在也是马甲,如讯究出来,私自出京,罪亦不了。我见势头不好,只得自承苦力被雇。幸您老不加究责,总算造化。此案甚是处分得当,令人佩服。我当时年轻无识,被人哄诱,谓可出外发财,故而冒昧就跟他们一起厮混,后来仔细思量,非常抱悔。您老真是清官,此次故而被老佛爷看重,将来一定可以官居极品的。”予强勉敷衍数语,即离之而去。途中自思,人生何处不相逢,率当时未尝粗心任性,与彼结怨,不然,此时仇人相遇,他认得我,我不认得他,山湾林角,出其不意,突以一丸相饷,枉遭非命,直是无处申理。然彼时高坐堂皇,谁复能料有今日之事?反复思量,转不觉为之惴惴也。

    十四日,至崞县原平。以荣禄为全权大臣,夷人拒不纳。李鸿章之自日本归也,失势居萧寺中,宾客皆引去。荣禄新用事,将五大军,贵幸倾天下,大从车骑过之曰:“两宫方隙,君之所知也,即有变,吾不知死所矣!”因泣下。鸿章笑曰:“君何忧之甚也?太后方向君,君何虑?”禄曰:“太后春秋高,吾任重,祸之所集也。太后百岁后,吾宁能为鱼肉耶?”鸿章良久乃言曰:“君何不早自为计,太后方盛时,君徐自引避,何求不得,安用涕泣乎?”禄领之,遂结欢而去。鸿章起督广东,荣禄饯之,剧饮大欢,解貂裘而别。及鸿章以直隶总督内召,太后意不测,荣禄私报鸿章,鸿章谢病不行免,故德禄尤深。拳乱起,禄以武卫中军攻使馆,董福祥又禄所部也。夷人诛首祸,禄名在约中,乃求解于鸿章,鸿章出之,至其所以脱,事秘,世不尽知也。禄内主拳匪附载漪,而外为激昂,称七上书争之不能得,颇扬言自解,世或多信之。(李记)

    十五日,至忻州。行宫在贡院,陈设富丽,为诸州冠。予与梦丹恭进鲜果六色,天颜甚喜,旋奉颁月饼、苹婆果二盘。是夜月色甚佳,即陈御赐果饼于庭中,与石逸诸人拜月分啖。

    十五日,至忻州。江苏巡抚鹿传霖至。以敬信为户部尚书,裕德为兵部尚书,怀塔布为理藩院尚书,英年为都察院左都御史,桂春为户部侍郎。(李记)

    十六日,至阳曲县。太原府许君涵度、阳曲令白君昶,均在此接驾。途次得怀来绅士来信,谓予随驾去任后,马军门所拨马队当即入城防守,地方尚为安静。不久即有洋兵前来,旋留兵一小队,于东门外东山顶庙中住扎,全数只十五人,于地方亦无骚扰。逾月以后,马军忽欲拨队前行,谓留此无谓,务须前往护驾。再四挽留,坚执不允,只得听其自去。计月来地方供给项下,已费至二千八百馀吊。马军去后,拳匪头目王道昌忽挈领匪党一百馀人,各执兵仗,声言来县报复;进城后首即驰往县署,以为老父台尚在此间,务欲一见。此时新任田公适不在署,告以易任,亦不见信。后见尊管龚某尚在署中,益以为疑,百计勒逼,务令供出主人所在。此时,驻东门外洋军自出顶以远镜窥测望见,当即整队入城,迳行奔赴县署。拳匪闻洋兵一至,顷刻遁逃星散,当场拿获六人,立予枪毙,匪首王道昌亦在其列。自此地方差得安堵云云。盖予眷属离署时,曾将笨重衣箱物件封置一室,留家人龚铎在署看守,故为拳匪所识也。王道昌即予在任时所革牙纪,前时西关坛中头目四人之一。彼尚衔毒未已,务求释憾于予,而卒以自投罗网,亦其稔恶之报。怀来除一毒螫,闻之至引为快。但果专为仇予而来,则是以予故惊累怀人,又不免重自歉矣。厥后龚仆仍投至予所,已失去一耳。据言,当时匪识家人为老爷旧人,置刀于颈,勒令供出老爷所在,再三实告,皆不见信,最后乃举刃削去一耳,谓如再不说,则耳目口鼻,须当一一剐割。家人一时愤极,决计与之拼命,乃紧抱之而啮其耳,同仆于地。正相与纠结间,而洋兵已来,彼仓卒已不及脱,遂为洋兵拿获枪毙云云。此亦一段趣闻也。

    八月十七日,车驾至太原。巡抚毓贤方统兵驻固镇,自藩司以下,文武官吏皆于省城外数里地齐集迎驾。是日,遂入山西省城。以抚署为行宫,堂皇壮丽,略有宫廷气象。其最可异者,凡需用帘帷茵褥及一切陈设器件,均系嘉庆年间巡幸五台所制办,备行宫御用。后来御驾未至,遂存贮不用,向储太原藩库。历任藩司,均不敢启视,但于门上更加封条一道,前后重叠,殆已至数十层。因历时过久,究不知库内有无缺失,如一经启视,则倘有毁失,对前任已无法根究,对后任便须负责盘查交代,以此相沿不问。此次以仓猝驾到,无法预备,不得已始行发钥,乃皆灿烂如新制,且丝毫无所毁损,遂赖之以集事,一若百年以前即预为今日之地者,此真所谓数有前定者耶?

    十七日,至太原,居巡抚署,帷幄器物甚设,比于宫中,高宗幸五台时故物也,太后色喜。旅兵及岑春煊、马玉昆、董福祥、升允、鹿传霖兵至者七千馀人,散而为盗者十五六矣。会山西岁不登,米价腾跃,从兵不得食,时出劫掠,民苦之。陕甘总督陶模至行在,乃以模节制诸军,亦不能禁也。(李记)

    岑自得督办名义后,沿途即大肆威福,对于地方供应官吏,往往非法凌辱,恣雎暴戾,气焰至熏灼不可近。天镇令闻驾至宣化,当即恭备一切;后以在宣化连驻跸三日,食品皆臭腐,临时赶办不及。岑乃大加逼责,令无奈,至仰药以殉。及至山阴,情节略同,岑复严责县令,谓“看尔有几个脑袋”。山阴令惶急失措,见予即跪泣求救。予婉词慰藉之,并为之向内监疏通,因劝岑稍从宽假,勿再演天镇惨剧。岑乃大恚怒,谓予久任地方,所以袒护州县,因此辄至相龃龉。然宫门差务,实均由予一人祗应。彼虽到处叫呼肆扰,而实际则绝不肯分劳。俞则更丝毫不问,每日但向予诋毁岑氏,凡岑之一言一动,皆向予报告,极口肆詈。予当时阅世过浅,不免时有随身附和之处。讵彼于岑前诋予,亦复如是,并将予语一一转报,而益加之添砌,反复唆弄,致予与岑恶感日深,至结不解之仇者,俞尤与有力也。

    每日宫门叫起,必三五次。宫中内监,自李、崔以下多半熟习,故出入一无所阻阂。入山西境后,威仪日盛,地方承应,宫门上已不免有需索使费之事。予为一一规定股份数目,凡各项首领太监,如内奏事处、茶房、膳房、司房、大他坦,及有职掌之小内侍,约十数金至数金不等,惟总管太监分位较高,不便点缀。到处均由予一手代为开销,按份俵散。不便有一处空漏,亦不令额外取盈,至多不过一百馀金,少或八九十金。因之各地办差人员颇感便利;而彼时各监初次出京,甫脱饥寒之厄,幸门未开,欲望犹稚,亦尚能安受约束,不至十分难驭也。

    太后喜闻外事,每召见陈奏公事毕,辄温言霁色,令随意说话。予每为陈述地方利弊、民间疾苦。每问一事,必根端竟委,娓娓忘倦,往往至一二钟之久,方始告退。讵以此故,又大触枢臣之忌。

    一日在西安行宫,李监忽附耳告曰:“尔已闹大乱子矣!”予惊问何事。曰:“尔昨日于老佛爷前,曾作何语?今日诸军机入见,均大碰钉子。老佛爷厉声诘责,谓外间种种情形,尔等平时何无一语奏闻,直是朦蔽我母子耳目?诸军机相顾失色,咸不知所对,只有相率免冠碰头。我想必因尔语及何事,老佛爷乃如此发怒。诸军机必且抱怨于尔,须当注意。”云云。予始悔一时轻率尽言,意本冀两宫稍知民隐,大臣不言,小臣言之,却未顾及越分逾等之嫌也。

    一日在军机房,荣、王两中堂,瞿尚书咸在座,王中堂忽正色语予曰:“渔川,我与尔系同乡,不能不向尔正告。尔今日召对,乃至二点一刻之久,致我等久候,究竟所说何词?以后在本等范围,自可简单明了,扼要陈奏;切勿东牵西曳,横生枝节。天泽之分,奏事有体,非儿戏也。”予唯唯而退。荣、瞿皆默然无言,然窥其容色,似皆深不惬于予,盖诸公会集,或正议论予事也。向例,两宫每日听政,均先叫外起,凡外官及各部院衙门人员,一一召见毕,军机方始入对。自次日起,即改定规制,先召军机,再叫外起。盖如此,则他人陈奏事件,可以先行探听,为次日入对之预备。如照旧例,则为时太促,无探询预备之馀地,空中霹雳,恐不知云起何方也。

    前清宫廷体制,外观似甚严重,乃内容并不十分祗肃。宫监对于皇上,殊不甚为意,虽称之为万岁爷,实际不啻为彼辈播弄傀儡。德宗亦萎靡无仪表,暇中每与诸监坐地作玩耍,尤好于纸上画成大头长身各式鬼形无数,仍拉杂扯碎之;有时或画成一龟,于背上填写项城姓名,粘之壁间,以小竹弓向之射击,既复取下剪碎之,令片片作蝴蝶飞,盖其蓄恨于项城至深,几以此为常课。见臣下尤不能发语,每次宴见,必与太后同坐一炕。炕多靠南窗下,太后在左,皇上在右,即向中间跪起。先相对数分钟,均不发一言。太后徐徐开口曰:“皇帝,你可问话。”乃始问:“外间安静否?年岁丰熟否?”凡历数百次,只此两语,即一日数见亦如之。二语以外,更不加一字。其声极轻细,几如蝇蚊,非久习殆不可闻。皇上问罢,太后乃滔滔不绝,大放厥词,尤好拈用四字两字名词,古文成语,脱口而出;然人情世故,颇甚明澈,数语后即洞悉来意。故诸大臣颇畏惮之。太后如此聪强,而德宗如此巽懦,宜其帖耳受制,不能有所舒展也。或言德宗养晦为之,则非小臣之所敢知矣。

    予自受仁和切诫后,虽极力留意收敛,然以太后眷注过深,出入左右,似多添一重耳目,军机、内监,均视为不便。岑尤不慊于予,务出死力排挤之。先是两宫襆出都,过昌平州,知州裴敏中方抱重病,霸昌道凤昌因先期未奉有廷旨,车驾至城下,疑为假托赚门,坚闭不纳,且从城上鸣枪示威。两宫不得已,乃绕城奔驰,盖恐洋兵之蹑其后也。太后因此甚愤愤。岑询知其事,乃从而媒糵怂恿之。迨至怀来,遂有拿办裴某之严旨。岑复自请承办,发令箭派员星夜前往提拿,意欲藉以邀功。予微得消息,觉裴一提到,必无生理;此事在情理本有可原,况州官确在病假之中,依官序论,分当由霸昌道负责,即作为违抗,亦不应归罪知州,无端抵辟,未免过冤。乃设法使人飞告,令其引避。迄岑员至,已先事逃匿,无所得。岑意颇懊丧,心即疑予所为,殊甚怏怏;然彼时以予为地主,方曲意相徇,尚不敢形诸词色也。

    昌平令斐敏中已先遁,其后太后至西安,召案敏中,敏中自杀。(李记)

    自共办粮台后,接触渐多,意见日盛。彼自以官高,与予比肩共事,似觉不屑;又以督办名义出予上,遇事专断,不复相关白,凡有陈奏,皆用单衔独上。王中堂谓体制不合,应以会衔为宜,彼执不可。王曰:“否则于牍尾叙明臣会同某某云云,夹入名字。”彼亦不允。曰:“再不然,惟有于奏后列衔,如京官九卿奏事体例。”岑始终持不可。中堂一日曾对予微笑曰:“我知道岑三必与尔捣乱,今果然矣。但尔自取之,于人无尤。我早已声明,不能过问,恐以后笑话尚多也。”

    先是岑自甘肃入都,系由草地经张家口、宣化、怀来而达京师。七月初过怀来,予为之预备供应。有幕客张鸣岐与之偕行。张本山东海丰人,岑抵京后,张即请假赴献县省亲。及岑随驾行,张追至大同,予会岑衔派为粮台文案,分当兼受会办指挥,乃竟偏徇岑意,至一切文件均不令予寓目。有一次方在缮写,见予入,立即藏匿。予曾向之厉责,彼口噤面赤,不能置一语。然岑与予之积怨,乃益深矣。

    一日,在太原行宫门内相遇,岑又为一细事,向予诘责,词色甚厉。予不服,与之对诟。彼益哮怒不可遏,曰:“予非参尔不可!”予亦厉声曰:“尔有本领尽管参去,我在此听候。我亦奉旨专折,可以参尔。我无款可指,尔之罪状累累,均在予腹中,且看谁人曲直也!”岑愤甚,迳以手揪予胸前衣襟,作挥拳势。予曰:“此宫门,尔敢无礼耶?”彼不觉嗒然释手,立飞奔至李监处,向之泣诉曰:“老叔,我受吴某侮辱,必当参奏,乞为我援助,没齿感激。”盖彼谓其父毓英与李有交谊,故称之为叔,恬不为怪。李受其谄谀,勾结愈密矣。然对于此事,李监颇极力劝阻之曰:“老侄,尔与吴永皆老佛爷所眷注。尔两人自相攻击,使老佛爷难以处置,必不喜欢。咱们都是一起儿办事人,闹成过节,惹外边议论,面子亦不好看。况老佛爷很说吴永得力,恐未必就参得动他,那于老弟分儿上,更没得光彩。还是忍耐为是。”岑因怏怏中止,然视予益如眼中刺,非去之不可。

    军机诸公,先对岑亦颇不惬,嗣因其极力迎合,渐觉相昵近,又欲挤予外出,目的正复相同。顾以予主眷尚优,且遇事谨饬,无间可入,乃合谋定计,改用调虎离山之法。一日军机陈奏,谓各省解饷迟滞,非派员前往催促不可;然泛泛遣派,仍不易得力,最好请派随扈大员,精明干练、又能深悉此次沿途辛苦状况、为皇太后皇上所亲信者,令前赴各省,向各督抚详细诉说,须得他们特别注意,庶望激发天良,努力输解。太后问:“何人可去?”军机即合词奏曰:“臣等再三思议,殆无过于吴永与俞启元两人。彼等皆一路随驾前来,一切情形,无不周悉;又皆受皇太后、皇上恩典,定能格外仰体圣怀,为国宣力。”太后迟疑良久,曰:“吴永办宫门差使,甚是熟习,他去后何人办理?”曰:“岑春煊原是同起办事之人,一样熟习,可以办理。”太后始首肯。先本拟派予赴江浙,俞赴两湖;后因父子回避,乃改派予赴两湖,俞赴江浙云。

    下令后当然立须启行,乃与俞一同请训。太后召见,意似良不忍者,再三温语慰劳,谓尔两人一路办差,均甚劳苦,今尚须尔等辛苦一遭,此亦不得已之事。现在如此为难情形,尔两人均所亲历,定能向各方委曲传达,无俟多嘱。好好上紧办理,将事情办完以后,可即赶速回来,予与皇帝均甚盼望云云。予等即叩头退出。此区区一小事,彼等盖内外合力,不知费过若干之商量,摆布至此,始算完全达的,所谓“拔去眼中钉,张开两眼笑”也。

    十八日,命善耆回京察夷情,遣吴永至湖广、刑部郎中俞启元至江苏征饷。(李)

    二十日,李鸿章、刘坤一、张之洞、袁世凯连名劾载漪、载澜、载勋、刚毅、英年、赵舒翘庇拳匪。奏行而之洞中悔,请削衔,然无及矣。太后之复出也,之洞惧祸,持两端,名声远在坤一下。奏至,上呼载漪等严斥之,太后色不怡,久之,乃谓王文韶出草诏,自载漪以下得罪有差,然甚轻。太后犹不悦,谓文韶曰:“诸臣皆为国效忠,今以罪去之,他日复谁肯尽力者?”文韶嘿然。文韶为人善越和承意,拳匪起,唯阿而已,未尝敢言。上已出走,在道中顾谓文韶曰:“祸今急矣,不两全,宗社为重乎?抑人臣为重?”文韶不对,上以载漪、刚毅在,屏出之,卒问文韶,文韶踌躇有间,乃曰:“上所言固当,然外人方未有言,乃先自导之,如国体何?恐任事者寒心矣。”上不乐而起,其偷合白全,皆此类也。党于荣禄,刚毅亦不甚恶之。(李)

    卷四

    往两湖督办粮饷,中途折回行在。

    两宫至西安。补述八国联军陷京城事。

    予承命即治装戒途,并挈幕友张震青及侄充生同行。俞君梦丹以二十四日先行。予以八月二十六日始行就道,沿途过徐沟、祁县、武乡、沁州、长子、高平各地,皆崎岖山路。九月三日至泽州,遂及梦丹。初四日与梦丹同行,遂登太行,过天井关,已入河南怀庆府之河内县境。初五日,造太行绝顶,予与梦丹同往关帝庙求签,甚吉利。自此下山,过沁河,入怀庆府;旋抵武陟县,为河北道驻所。时巡道为岑公春荣,即云阶之兄也。出东门,至木兰店,相传为木兰从军旧地。过山以后,渐有南中风景。更进由荣泽至郑州,梦丹由此向清江浦,予遂与之分道矣。

    由新郑启行,更过许州、临颍、郾城、西平,于十三日抵汝宁府属之遂平县。是日,见八月二日邸抄:庄亲王载勋、怡亲王溥静、贝勒载濂、载滢、端郡王载漪,均革去爵职,交宗人府严加议处;辅国公载澜、左都御史英年,均严加议处;大学士吏部尚书刚毅、刑部尚书赵舒翘,均交部议处;并以德国使臣克林德被戕,派员赐祭云云。知议和条件,已略有眉目矣。

    闰八月初二日,以鹿传霖为军机大臣。克林德赐祭一坛,命大学士昆冈往(祭,灵柩)归国,又命户部侍郎吕海寰再致祭如仪。书至德,德人辞焉。杉山彬,令那桐往祭,予银五千两,日本亦拒之。杉山彬之死,日本书来征其尸,以一日夜为期送使馆,尸已残失,无可归,遂不答。自是日本不收我照会,英语谓之“哀的美敦”。及议和,乃受。(李)

    端郡王载漪,为敦亲王之子。敦王宣宗之子,文宗之兄也。孝钦后谋废德宗,先择近支王公之子为皇嗣。其溥字辈最亲而最长者,为溥伦、溥侗兄弟。溥伦为孚郡王之孙。孚郡王,宣宗之第九子也。穆宗崩,无子,溥伦以次当立。孝钦后以为皇帝继穆宗后,则穆皇后当为皇太后,而己当为太皇太后,不足持大柄,乃不为穆宗立嗣。谓溥伦之父已出继远支,溥伦兄弟,皆不当立。溥字辈无人,不得不选载字辈。于是选醇亲王奕之子,入嗣大统,是为德宗。德宗之母,孝钦后之妹也。孝钦以内亲故,冀其长而亲我,又利立少主,则揽权之日长,故载漪以至亲最长,不得立。及德宗亲政,思变法自强,内压于孝钦,不能行其志,渐失爱于孝钦。戊戌八月之变,孝钦突自颐和园还宫,持帝手哭詈曰:“我自尔数岁,以帝位授汝,辛勤鞠育,至于长成,汝乃负心欲废我耶?”乃幽帝于瀛台,复出训政。日言帝病重,求医海内,谋废立,闻各国违言而止。己亥冬,刚毅等谋益极,乃立载漪之子溥俊为大阿哥。清世家法,不立太子,其立大阿哥,即已决行废立。谓德宗久病,不能君天下,欲遂废之,而立溥俊为穆宗嗣也。崇绮者,穆皇后之父也。当穆宗崩,不得立嗣,穆后自以为皇嫂寡居宫中,又失太后欢,不足自存,乃仰药以殉。及决立溥俊,乃召崇绮出为师傅,隐示以大阿哥实继穆宗也。孝钦虑废德宗,各国有违言,先命荣禄私于李鸿章,使密询各国意。鸿章自甲午败后,入总署,复被逐出,闲居京师贤良寺。鸿章谓我以间废,与使署少所往还,若外任我总督,各国必来贺,当乘间询之。盖虑废立京师生变,思避之也。荣禄诺之,数日而鸿章授粤督。其时康有为倡保皇会于海外,势甚大,虑粤或生变,故命鸿章镇之也。各国使臣来贺,鸿章乘间言:我国现立大阿哥行将为帝,君等入贺否?皆言未洞内情,不知所贺。惟今帝以二十馀年君主,历与我立约,将焉置之?隐示不认废帝意。鸿章默然。走告荣禄曰:“各国拒我矣。”孝钦后乃大恨。载漪自以将为天子父,方大快意,闻各国阻之,乃极恨外人,思伺时报此仇。适义和团以灭洋为帜,载漪乃大喜。刚毅、赵舒翘、何乃莹先后导拳匪入京师。日以仇教为名,斥德宗为教主。载漪欲引以谋废立,屡导匪首入宫演术,孝钦后深信之。载漪兄载濂、弟载澜,并以漪故,深被宠任,附和拳匪。五月,以载漪管理总理衙门兼管虎神营,外交权、兵权并在掌握。拳匪焚掠殊甚,各国以兵舰至,因开御前会议。许景澄、袁昶力言衅不可开,载漪恨之,遂戮袁、许。徐用仪、立山、联元皆以通夷被戮。每廷议,帝皆言匪不可信,衅不可开,载漪语不逊。载漪既倚拳匪及董福祥,尤骄横,孝钦后亦曲意就之。各国公使赴总署约,载漪遣虎神营兵伺于道,杀德使克林德,后至者皆逃归。及通州失,李秉衡死,载漪仍凶暴,欲杀奕劻、荣禄、王文韶、廖寿恒、那桐。俄而城破,两宫出走,载漪与奕劻、刚毅、溥伦、那彦图等,随扈至西安。各国索罪魁急,李鸿章等电劾肇祸诸王大臣。载漪革职,交宗人府圈禁,俟军务平定后,再行交往盛京,永远圈禁。各国憾不已,乃定为斩监候。以懿亲加恩发新疆,永远监禁,即日起解。载漪自以罪重,计当被戮,奉发配极边之旨,大喜过望。又询左右曰:“阿哥有罪乎?”众曰:“未闻也。”载漪曰:“本无预渠事,当可免也。”乃兼程赴配所,虑西人之续请正法也。大阿哥顽劣无状,在西安日携数内监至剧院;其父戍边,亦无戚容。旋斥退出宫,回銮后闲居京师。载漪家属皆随至配所。去年甘肃独立后,载漪将家属至兰州,贫极不能自存。今仍居陇中,不得还京也。(《馀闻》)

    更进经确山、信阳,过观音河,入湖北应山界,越武胜关,经孝感,抵黄陂境。见鄂抚告示,通缉“富有票”馀犯。先是汉口发见“富有”、“贵为”两种签票,系组织革命机关,仿哥老会开堂放票之法,以是加入党标帜。为首唐才常,系康南海门人,故票中分嵌“有为”两字。唐旋以破案被戮,故有通缉馀党之事。此处铁路已在兴工。二十三日,乃抵汉口,始悉圣驾已于初八日自太原启銮,西幸西安;锡清弼方伯良升山西巡抚,旧抚毓贤开缺;岑云阶授陕西巡抚。闻各国屡请回銮,担任保护,两宫尚未俞允云。

    [八月]初三日,山西巡抚毓贤免,以湖南布政使锡良代之。贤以能治盗,稍远至山东巡抚。拳匪起平原,平原令蒋楷请按诛之,贤不许,以他事劾楷去,匪由是盛矣。已而徙山西,红巾坐堂上,书杀夷人之在山西者。学政刘廷琛言贤喜事酿祸,启秀持之,廷琛几得罪。其后刘坤一、张之洞亦合劾贤,太后怒,抵其奏于地。是日,以陶模为两广总督,岑春煊为陕西巡抚,魏光焘为陕甘总督。(李)

    [九月]初四日,至西安,居北苑。载漪在道,数谋逆,御前大臣那彦图护上躬甚至,计不得施。而夷议首祸,持益急,乃令载漪、载勋留蒲州。载勋私入临潼,勒还之。载漪走宁夏。自太原以西旱,流徙多,而州县供亿皆取于民,民重困。诏乘舆所过,无出今年税租,然大率已尽征,取应故事而已。武卫军又大掠,至公略妇女入军。内阁侍读学士裴维侒以闻,荣禄佯不省。孙家鼐遇董福祥军华阴,尽虏其资,徒趺走入,言于太后,太后默然。(李)

    初八日,幸陕西,上不欲行,怒谓载漪、载勋曰:“朕仓卒出走,徒以太后之故耳,岂吝一死耶?太后今已至太原,宜无虑矣。若属善侍太后,朕当归京师,竟议约,以冀大难之早平也。”太后不许,力持之,无敢谏者。奕劻、李鸿章、昆冈、刘坤一、袁世凯皆请回銮,不听。北仓之败,李鸿章度太后且西迁,自草奏,极言“当安坐,夷兵虽入城,论公法,保无他虑,倘车驾出国门一步,则大局糜烂,后患将不可胜言”。致书刘坤一、张之洞、袁世凯约连名,坤一、世凯皆许诺;之洞答曰:“公不见徽钦之事耶?吾不忍陷两宫于险也。”鸿章得书,大失望,奏遂不行。后之洞与客饮而醉,私语客曰:“吾亦知无五国城之祸,然太后在京,夷兵必挟之归政,事尚可问耶?”故之洞不敢请回銮者,恐归政也。(李)

    自太原启程以来,曲折二千馀里,多半皆山行险道,纡回陟降,车敝马瘏,殆已不胜其困。惟沿途令守,多有世交朋旧,一路将迎,班荆道故,颇不寂寞。抵汉以后,长路征尘,可以暂资憩息,如鱼游得水,鸟至投林,不觉为之一快也。

    是时鄂督为张公之洞,鄂抚为于公荫霖,藩司为崔公廷韶,署臬司为旗人扎勒哈哩,粮道为凌公卿云,署盐道为逢公润古,首府为余公肇康,保甲局为齐公耀珊,汉口督运局为恽公祖翼,汉黄德道兼江汉关监督为岑公春蓂。其中多半皆有旧谊,更兼亲知朋好之宦居此地者,因之拔来报往,几无虚日。旋以余太守之蹇修,订婚许氏,即在客中下定。既而复以荆宜施道奭召南观察良一再函约,遂有荆州之行。奭公派轮相迎,意极殷渥。因顺谒将军济公禄、都统宝公德兴。公禄迭相招宴,纵谈乱事,不觉洪醉。不意正在酒酣耳热之中,忽得奭公被劾落职消息,令人意沮。幸观察颇旷达,不为意,临行尚殷殷致赆,殊可感也。

    予在湖北时,屡谒制府张文襄公,意颇亲切,询及出狩及行在情状,每感叹不止。一日,忽谈及大阿哥,公谓:“此次祸端,实皆由彼而起,酿成如此大变,而现在尚留处储宫,何以平天下之人心?且祸根不除,尤恐宵小生心,酿成意外事故。彼一日在内,则中外耳目,皆感不安,于将来和议,必增无数障碍。此时亟宜发遣出宫为要着,若待外人指明要求,更失国体,不如及早自动为之。君回至行在,最好先将此意陈奏,但言张之洞所说,看君有此胆量否?”予曰:“既是关系重要,誓必冒死言之。”曰:“如是甚善。”

    在鄂中勾当饷事,略有端绪,遂前赴湖南,谒俞中丞。中丞知予与其公子梦丹同事,亦甚相爱重,惟目疾甚重,几至不能启视,神气殊觉颓唐。每言及梦丹,颇有不满意,曰:“但能似君稳练,我便放心矣。君既与共事同好,惟望多方规劝,令其去华存实,从正路向上,庶不至流为邪僻也。”盖中丞元配已故,时方以侧室主持家政,而梦丹为元配所出,父子之间,不免稍有隔阂,故语吻如此云云。

    予在两湖时,屡奉廷旨催回,以公事未毕,迄淹缠不得就道,遂在湖北度岁。次年辛丑正月,即就鄂垣赁室,草草完婚礼。直至三月中,始向各处结束督饷公事,料量西上。方行至荆门州,忽由州官转到一电,上开“无论行至何处,由所在地方沿途探速投递”云云。予得之大骇,详细审视,始知仍为促还行在之故,并无他事,方始放心。乃急将家眷设法安顿,仍只身从间道趋赴,并日兼程,于是年五月初始抵行在,次日即蒙召见。予面奏各事毕,太后温语慰劳,仿佛如家人子弟远道归来者;既复含笑曰:“我这才知道,原来岑春煊同你不对,他们把你挤到外边去的。”稍停,又曰:“你出去走一趟也好,你两人若是一径混在一起儿,到今朝不准闹些什么花样出来。”予奏谓:“臣并不敢同他闹意见,只是岑春煊过于任性,有使人难受之处。”太后曰:“这个我也知道,他的脾气不好,太暴躁了。”连说:“我知道的。”予乃叩头而退。先数日,太后御笔亲画摺扇八柄,旋以七柄颁赐诸王公大臣,独留其一。诸宫监即窃窃私议,谓此一柄必留以待吴永者。既而果然。复命之日,即以此扇见赐,并赏银三千两,尚有其他赐物,袍褂料十数袭,令自向管库太监处选择。盖是时各省贡品,络绎输解,百物咸备,宫廷气象,已焕然改观矣。

    九月初四日,车驾至西安。改巡抚署为行宫,仪制略备。帝时服布袍,王公皆衣布。太后胃痛时作,屡泣,夜不成寐。各省纷进方物,时赉群下。御膳费日二百金。太后谓岑春煊曰:向在京师,膳费数倍于此,今亦可谓省矣。京师以两宫器服至。鹿传霖授尚书,入枢府,弥执拗用事。荣禄旋至西安,与王文韶仍管枢要。两侍兵卫,日扰民间,秦民苦之。大修戏园,诸臣娱乐如太平时。帝见贡物至,必垂涕。各省协解款,已五百馀万。每解款至,内监需索尤苛。诸臣渐趋行在,百物渐集,西安愈兴盛矣。(《馀闻》)

    太后仍命伺应宫门差使,银两衣物,赏赉几无虚日,并推恩赏给先太夫人金宝手钏各一副。予同时奉鄂督、湘抚先后密保,即以五月六日正式召见,与前大总统徐公、前总揆孙公宝琦三人,同起入见,均奉旨以道员记名简放。召见时,皇上正面坐,前有御案;太后于其后作高座,恰如舞台上之演观音王母像。太后手执绿头签,视予微笑。事后笑告内监,谓吴永今日也上了场,正式行起大礼来,咱们真好似演戏模样。盖谓予乃朝夕见面之人,今乃第一次正式觐见也。

    予忆及文襄所嘱,念夙诺必当实践,顾以事情重大,不敢冒昧。此时荣相已至行在,仍为军机首领。闻先时颇受两宫责言,外人亦有指摘,出京后中途至武陟,殊徘徊不敢进;以后不知如何疏解,始复前赴西安,乃宠任一如前时。荣复荐张百熙及瞿鸿禨二人,同时并召,后乃舍张而用瞿。瞿之得入军机,由荣荐也。但荣相对予颇相契爱,乃先以此意叩之。荣时方吸烟,一家丁在旁装送。闻予所述,但倾耳瞑目,作沉思状,猛力作嘘吸,吐烟气卷卷如云雾,静默不语。吸了再换,换了又吸,凡历三次,殆阅至十馀分钟,始徐徐点首曰:“也可以说得,尔之地位分际,倒是恰好,象我辈就不便启口。但须格外慎重,勿卤莽。”

    予因是已决意陈奏。一日召见奏对毕,见太后神气尚悦豫,予因乘机上奏曰:“臣此次自两湖来,据闻外间舆论,似对于大阿哥,不免有词。”太后色稍庄,曰:“外间何言,与他有何关系?”予因叩头奏曰:“大阿哥随侍皇太后左右,当然无关涉于政治,但众意以为此次之事,总由大阿哥而起。现尚居留宫中,中外人民,颇多疑揣,即交涉上亦恐多增障碍。如能遣出宫外居住,则东西各强国,皆称颂圣明,和约必易就范。臣在湖北时,张之洞亦如此说,命臣奏明皇太后、皇上;并言此中曲折,圣虑必已洞烛,不必多陈;第恐事多遗忘,但一奏明提及,皇太后定有区处。”太后稍凝思,曰:“尔且谨密勿说,到汴梁即有办法。”予遂叩头起立,默计这一张无头状子,已有几分告准也。

    予狃于此事,胆力稍强,以为幸有进言机会,凡理所应言者,均当言之。但有一次,则险碰一大钉子。一日入见,奏对事毕,太后与皇上同坐倚窗炕上。予见太后意尚闲暇,因乘间奏言:“徐用仪、许景澄、袁昶三臣,皆忠实为国。当时身罹法典,当然必有应得之罪;顾论其心迹,似在可原。据臣所闻外间舆论,颇皆为之痛惜。可否亮予昭雪?”方言至此处,意尚未尽,突见太后脸色一沉,目光直注,两腮迸突,额间筋脉悉偾起,露齿作噤状,厉声曰:“吴永,连你也这样说耶?”予从来未见太后发怒,猝见此态,惶悚万状,当即叩头谢曰:“臣冒昧,不知轻重。”太后神色略定,忽将怒容尽敛,仍从容霁颜曰:“想你是不知道此中情节,皇帝在此,你但问皇帝。当日叫大起,王公大臣都在廷上,尚未说着话,他数人叨叨切切,不知说些什么,哄着皇帝,至赚得皇帝下位,牵着许景澄衣袖,叫‘许景澄你救我’。彼此居然结着一团,放声纵哭。你想还有一毫体统么?你且问皇帝,是否实在?”皇上默无一语。予只得叩头,谓“臣实不明白当日情形”。太后复霁语曰:“这难怪你,咱们宫廷里的事,外间那里知道?你当日尚是外官,自然益发不明白了。”予见太后意解,始逡巡起立。莽遇此劈天雷电,忽而云消雨霁,依然无迹,可谓绝大幸事,然予真已汗流浃背矣。不意太后盛怒时,威棱乃至如此。昔人谓曾、李两公,当时威权盖世,一见太后,皆不免震慑失次,所传固当不虚也。

    后有耆旧某公,为述当时真状,谓此番叫起情形,实误于上下隔膜。先是有浙人罗某,常奔走荣文忠门下,一日不知从何处捕得风影,急投荣处密报,谓各国已分头调兵来华,决定攻打北京,与中国宣战云云。荣素持重,此次竟为所惑,迳自缮密摺,入宫呈奏。太后得奏,当然着慌,既惧且愤。端、庄等正喜师出有名,益乘间极力蛊煽,且哄且激。太后遂亦主张开战,因此乃宣叫大起。故太后一到场莅座时,开首即言:“现在洋人已决计与我宣战。明知众寡不敌,但战亦亡,不战亦亡,同一灭亡,若不战而亡,未免太对不起列祖列宗。故无论如何,不得不为背城借一之图。今当宣告大众,诸臣有何意见,不妨陈奏。”云云。当时似有数人发言,不甚清晰。朱古薇阁学祖谋曾出班陈奏,谓拳民法术,恐不可恃。一旗员(似是长瑞)即从旁搀言曰:“拳民法术可恃不可恃,臣不敢议;臣特取其心术可恃耳。”联学士元继续发言,其词颇戆,谓如与各国宣战,恐将来洋兵杀入京城,必至鸡犬不留。太后色变。即有御前大臣大声叱之曰:“联元这说的是什么话!”太后意正含愤,正于此时,皇上望见许文肃,即下座执其手曰:“许景澄,你是出过外洋的,又在总理衙门办事多年,外间情势,你通知道。这能战与否,你须明白告我。”许奏言:“闹教堂伤害教士的交涉,向来都有办过的;如若伤害使臣,毁灭使馆,则情节异常重大,即国际交涉上,亦罕有此种成案,不能不格外审慎。”等语。皇上固知万不能战,而劫于端、庄,不敢迳宣己意,以文肃久习洋务,特欲倚以为重。闻许言,深中其意,因持其手而泣。文肃亦泣。袁忠节班次与文肃相近,亦从旁矢口陈奏,一时忠义奋发,不免同有激昂悲戚之态度。许奏语本极平正,太后似亦未甚注听。第见皇上与之相持,三人团聚共泣,疑二公必有何等密语刺激皇上,不觉大触其怒,即注目厉声曰:“这算什么体统!”德宗乃始释手。故上谕中有“语多离间”之词,当时颇疑此谕出于端、刚矫旨,其实两公之死,即由于此云云。证以太后所言,谓皇帝当日曾叫“许景澄救我”,则其致怒之由,可以揣想,殆以疑心而生误听也。究其症结,盖太后已入荣言,以为各国业经决定宣战,故开此会议以谋应战之方略,是战与不战,已无复拟议之馀地。而廷臣中多半不知就里,或以为尚是片面商议和战问题,或则以为政府已得有宣战实据;因之彼此陈奏,针锋均不相对,以至愈激愈偏。后来退班出宫,彼此互讯,此项消息茫然不知何来。军机既未呈报,总署亦无照会,方始大家愕异。盖荣相上此密摺,外间固绝无人知道也。若当时明白内容,只须将洋人并无宣战事实委曲开释,未尝不可消解。乃彼此均走入岔道中,夫洋人已决战而尚主张不战,则惟有降之一法,宜其不能相入也。大风起于末,蚁穴足以溃堤。因罗某之一言,而酿成如此掀天大祸,当亦彼所不及料者矣。

    是日[二十日],召大学士六部九卿入议。太后哭,出罗嘉杰书示廷臣,相顾逡巡,莫敢先发。吏部侍郎许景澄言:“中国与外洋交数十年矣,民教相仇之事,无岁无之,然不过赔偿而止;惟攻杀使臣,中外皆无成案。今交民巷使馆,拳匪日窥伺之,几于朝不谋夕,傥不测,不知宗社生灵,置之何地?”太常寺卿袁昶言:“衅不可开,纵容乱民,祸至不可收拾,他日内讧外患相随而至,国何以堪?”慷慨欷歔,声震殿瓦。太后目摄之。太常寺少卿张亨嘉言:“拳匪不可恃。”仓场侍郎长萃在亨嘉后,大言曰:“此义民也!臣自通州来,通州无义民不保矣。”载漪、载濂及户部侍郎溥良和之,言人心不可失。上曰:“人心何足恃,只益乱耳。今人喜言兵,然自朝鲜之役,创巨痛深,效亦可睹矣。况诸国之强,十倍于日本,合而谋我,何以御之?”载漪曰:“董福祥剿叛回有功,以御夷,当无敌。”上曰:“福祥骄,难用。敌器利而兵精,非回之比。”侍讲学士朱祖谋亦言福祥无赖。载漪语不逊,上嘿然。廷臣皆出,而载澜、刚毅遂合疏言:“义民可恃,其术甚神,可以报雪仇耻。”载濂亦上书言:“时不可失,敢阻挠者请斩之。”闻者莫不痛心,诋为妖孽,知其必亡,然畏太后,不敢言也。 是日,遣那桐、许景澄往杨村说夷兵,令无入,道遇拳匪劫之归,景澄几死。其后夷兵援使馆者,亦以众少不得达,至落堡而还。(李记)

    二十一日,又召见大学士六部九卿。太后曰:“皇帝意在和, 不欲用兵,余心乱矣,今日廷论,可尽为上言。”兵部尚书徐用仪曰:“用兵非中国之利,且衅不可自我先。”上曰:“战非不可言,顾中国积衰,兵又不足恃,用乱民以求一逞,宁有幸乎?”侍读学士刘永亨言:“乱民当早除,不然,祸不测。”载漪曰:“义民起田间,出万死不顾一生以赴国家之难,今以为乱,欲诛之,人心一解,国谁与图存?”上曰:“乱民皆乌合, 能以血肉相搏耶?且人心徒空言耳,奈何以民命为儿戏?”太后度载漪辩穷。

    户部尚书立山,以心计侍中用事,得太后欢。太后乃问山,山曰:“拳民虽无他,然其术多不效。”载漪色变曰:“用其心耳,何论术乎!立山敢廷争,是且与夷通,试遣山退夷兵,夷必听。”山曰:“首言战者载漪也,漪当行。臣不习夷情,且非其职。”太后曰:“德亲王亨利昔来游,若尝为供给,亨利甚德之,若宜往。”山未对,载漪诋立山汉奸,立山抗辩。太后两解之,罢朝。遂遣徐用仪、立山及内阁学士联元至使馆曰:“无召兵,兵来则失好矣。”(李记)

    二十二日,又召见大学士六部九卿。载漪请攻使馆,太后许之。联元顿首亟言曰:“不可,傥使臣不保,洋兵他日入城,鸡犬皆尽矣!”载澜曰:“联元贰于夷,杀联元,夷兵自退。”太后大怒,召左右立斩之,庄亲王载勋救之而止。联元,载勋包衣也。协办大学士王文韶言:“中国自甲午以后,财绌兵单,众寡强弱之势既已不侔,一旦开衅,何以善其后?愿太后三思。”太后大怒而起,以手击案骂之曰:“若所言,吾皆习闻之矣,尚待若言耶?若能前去,令夷兵毋入城,否者且斩若!”文韶不敢辩。上持许景澄手而泣曰:“朕一人死不足惜,如天下生灵何!”太后阳慰解之,不怿而罢,自是嗛景澄。太后意既决,载漪、载勋、载濂、载澜、刚毅、徐桐、崇绮、启秀、赵舒翘、徐承煜又力赞之,遂下诏褒拳匪为义民,予内帑银十万两。(李记)

    朱祖谋请毋攻使馆,上使荣禄召问状,祖谋具为禄言宜罢兵,禄不肯白。祖谋敢言,匪初起,祖谋首建议请驱除。启秀恶之,扬言曰:“非祖谋无足与任此者。”太后亦不乐祖谋。曾廉闻之曰:“祖谋沮大计,可斩也。”御史蒋式芬及彭清藜、吴国镛亦请斩李鸿章、张之洞、刘坤一。(李记)

    最近见杂志中载某君谈话二则,亦是当时事实,谓得之于李公端棻所亲见。盖李公在戊戌政变,以赞成新政入狱,庚子拳乱时,尚未出狱也。公言:许、袁两公入狱,即指定分系南北所。当在狱中分道时,袁忠节执文肃之手曰:“人生百年,终须有一死,死本不足惜;所不解者,吾辈究何以致死耳。”文肃笑曰:“死后自当知之,爽秋何不达也?”忠节固亦负气磊落男子,然文肃益旷达矣。

    李公又言:立忠贞公山之入狱,后于袁、许两公一日。当初至请室时,一恸即绝。狱中群以予粗知医术,嘱为诊视。予乃以峻剂苏之,因讯其获罪之由,且劝其舒和镇静,以全大臣之体。立公因言:“昨日在御前会议,将大举攻使馆,众论纷纭久不决。太后曰:‘此国家大事,当问皇帝。’今上自退政以后,恒恭默不语;此次独侃侃而谈,力言其不可,谓断无同时与各国开衅理。王夔相当稽首曰:‘圣虑及此,国之福也。’端邸即怒斥之曰:‘王文韶,此时尚为此误国之言耶?’予继言宜先派大员,宣朝廷德意,不喻,然后图之,则我为有词。太后遽曰:‘然则即命汝往。’予对曰:‘受国厚恩,不敢辞。惟臣向不习洋务,请命徐用仪同往。’太后允之。未及复命,乱民已蚁聚予宅中,设坛门外,谓予室中有地道潜通西什库教堂,大加搜索,不得其迹,则拥予至坛前焚表,表升,无以罪我。方扰攘间,乃有类缇骑者逮予至此。予虽不肖,已忝为朝廷极品大员,乃一时昏瞀,致屈膝于乱民,亏体辱国,死不蔽辜。以此悔恨,非畏死也。”逾二日,大差下,狱卒掖之去。予不觉顿足大悔,当时不应投剂醒之,反累其多受一次痛苦,云云。由此言之,立公殊鼎鼎有大臣身分。因立为旗人,知者较少,故虽同一死难,而远不若许、袁二公之轰烈。然则既绝复苏,虽多受一次痛苦,而留此数语,大节皎然,使天下后世,可以共鉴其心迹,泰山、鸿毛,声价顿别。则李公一刀圭之力,固远胜于千金肘后也。

    许景澄、袁昶、徐用仪之冤戮,称浙之三忠。三人中,袁昶最以气节学问著;以部曹外任皖南道,内转太常卿。许景澄以翰林历使外国,通知时事,至吏部侍郎,并在总署。徐用仪以军机章京,敏给,工酬应,至尚书,无矫矫之节。拳匪之扰,心弗善也,亦未尝廷争。许、袁被戮,端、刚有馀怒,家人不敢收尸。翌日,用仪往视,涕下,收而殡焉。端、刚闻而深恶之,后数日,遽发拳匪捕之于家,乱刃戕焉。与立山、联元皆先杀毙,后请旨正法者也。立山以部员至兵部尚书,为国务府大臣,侵蚀内帑,致富千万,以心计得孝钦后欢。廷辩时,帝不欲启衅外国,谓人心安足恃?后度载漪辩穷,乃问立山,思藉以助载漪也。立山谓拳民术多不验,载漪色变,斥为通夷,后亦不怿。立山居宅近西什库教堂,载漪等围攻使馆教堂,久不下,疑立山穴地道济其粮。使拳匪围搜之,无所获。拳匪利其富,乃肆掠毁其家,拥立山以去。载漪命付诏狱,数日请旨戮焉。联元以内阁学士在总署,满人之号明通者也。廷询时,联元言前史,两国失和,无戮使臣者。公法,以不能保护使臣为野蛮之国,今使署洋兵,不过千馀人,聚而歼之,固非难事,然各国合而报我,不幸而京师不守,则其祸极烈。后大怒,命斩之,诸臣跪求始免。及归,载漪命拳匪捕杀之。景澄与袁昶厚,过从最密。景澄时督办铁路,兼管理大学堂事务大臣,拳匪所称二毛子者也。廷询时,景澄、昶陈奏皆慷慨。帝执景澄手而泣,后怒叱之曰:“许景澄无礼。”袁昶连上二疏,力言拳匪宜剿,使臣不当杀,皆不报复。与景澄连名上第三疏,劾大学士徐桐、刚毅、启秀、赵舒翘、疆臣毓贤、裕禄,更暗指载漪等袒匪,词甚痛切。疏入,刚毅、载漪等大怒,必欲杀之以泄愤。适李秉衡自南京奉命带兵入卫,载漪令其沿途搜捕奸谍,至清江浦北四十里,获二人,自京来者。一为景澄致江督刘坤一书,一为袁昶致铁路督办盛宣怀书,皆力诋端、刚,及太后受愚,语极愤痛。

    秉衡系之北上,以书呈载漪,载漪大恨,请旨捕逮。七月初四日上谕:“吏部左侍郎许景澄、太常寺卿袁昶,屡次被人参奏,声名恶劣,平日办理洋务,各存私心,每遇召见时,任意妄奏,莠言乱政,且语多离间,有不忍言者,实属大不敬。许景澄、袁昶,均着即行正法,以昭炯戒。”押赴菜市口,拳匪塞途聚观,拍掌大笑。端、刚、赵、董等,相贺于朝。景澄在狱中,以铁路学堂办理情形、款存何处,详列付所司。至刑场,刑部侍郎徐承煜为监斩官。见景澄、昶咸衣冠,叱役去之。景澄曰:“吾等虽奉旨正法,未奉旨革职。况犯官就刑,例得服衣冠,尔作官久,尚未闻耶?”承煜赧然。袁昶问曰:“吾二人死固无恨,然何罪而受大辟,请以告。”承煜怒叱曰:“此何地,尚容尔哓辩耶?尔罪当自知,何烦吾言。”昶曰:“尔何必如此作态,吾二人死,当有公论。洋兵行破京师,尔父子断无生理,吾等待于地下可也。”临刑皆神色不变。及京城破,两宫狩西安,李鸿章请旨昭雪。上谕:“本年五月间,拳匪倡乱,势日鸱张,朝廷以剿抚两难,造次召见臣工,以期折衷一是。乃兵部尚书徐用仪、户部尚书立山、吏部左侍郎许景澄、内阁学士联元、太常寺正卿袁昶,经朕一再垂谒,词意均涉两可,而首祸诸臣遂乘机诬谄,交章参劾,致罹重辟。惟念徐用仪等宣力有年,平日办理交涉亦能和衷,尚著劳绩,应加恩。徐用仪、立山、许景澄、联元、袁昶,均著开复原官。”辛丑二月,徐、许、袁遗骸南下,江督以下官吏暨南数省士夫,并致祭焉。(《馀闻》)

    太后一日且为予缕述出宫情事,谓当乱起时,人人都说拳匪是义民,怎样的忠勇,怎样的有纪律、有法术,描形画态,千真万确,教人不能不信。后来又说京外人心,怎样的一伙儿向着他们;又说满汉各军,都已与他们打通一气了,因此更不敢轻说剿办。后来接着攻打使馆,攻打教堂,甚至烧了正阳门,杀的、抢的,我瞧着不象个事,心下早明白,他们是不中用,靠不住的。但那时他们势头也大了,人数也多了,宫内宫外,纷纷扰扰,满眼看去,都是一起儿头上包着红布,进的进,出的出,也认不定谁是匪,谁不是匪,一些也没有考究。这时太监们连着护卫的兵士,却真正同他们混在一起了。就是载澜等一班人,也都学了他们的装束,短衣窄袖,腰里束上红布,其势汹汹,呼呼跳跳,好象狂醉一般,全改了平日间的样子。载滢有一次居然同我抬杠,险些儿把御案都掀翻过来。这时我一个人,已作不得十分主意,所以闹到如此田地。我若不是多方委曲,一面稍稍的迁就他们,稳住了众心,一方又大段的制住他们,使他们对着我还有几分瞻顾;那时纸老虎穿破了,更不知道闹出什么大乱子,连皇帝都担着很大的危险。他们一会子甚至说宫里也有二毛子,须要查验。我问:“怎样查验?”他们说:如系二毛子,只须当额上拍了一下,便有十字纹发现。这些宫监、妇女们,了不得的惶恐,哭哭啼啼,求我作主。我也不犯向拳匪去讲人情;我想阻止他们又不对,万一阻止不了,那更不得下台。我教他尽管出去,果然拍出十字来,也是命数,这何须怕得。如若胡乱枉屈人,那神佛也有公道,难道就听凭教下徒弟们冤杀无辜不成?后来出去查验,也是模糊了事,并没有查出什么人。他们心中明白,得了面子,也就算大家对付过去,还了我的面子。你想这样胡闹,还讲什么上下规矩么?

    会义和团起,以灭洋为帜,载漪大喜,乃言诸太后,力言义民起,国家之福。遂命刑部尚书赵舒翘、大学士刚毅及乃莹[瀛]先后往,道之入京师,至者数万人。义和团谓铁路、电线,皆洋人所藉以祸中国,遂焚铁路,毁电线。凡家藏洋书、洋图,皆号二毛子,捕得必杀之。城中为坛场殆遍,大寺观皆设大坛。其神曰洪钧老祖、梨山圣母。谓神来皆以夜,每薄暮,什百成群,呼啸周衢。令居民皆烧香,无敢违者。香烟蔽城,结为黑雾,入夜则通城惨惨,有鬼气。神降时,距跃类巫觋,自谓能祝枪炮不燃,又能入空中,指画则火起,刀槊不能伤。出则命市人向东南拜,都人崇拜极虔。有非笑者,则戮辱及之。仆隶厮圉,皆入义和团,主人不敢慢,或更藉其保护。稍有识者,皆结舌自全,无有敢讼言其谬者矣。

    义和团既遍京师,朝贵崇奉者十之七八。大学士徐桐、尚书崇绮等,信仰尤笃。义和团既藉仇教为名,指光绪帝为教主;盖指戊戌变法,效法外洋,为帝之大罪也。太后与端王载漪挟以为重,欲实行废立,匪党日往来宫中。匪党扬言欲得一龙二虎头。一龙指帝,二虎指庆亲王奕劻及李鸿章也。奕劻时充总理衙门大臣,鸿章则时论所称通番卖国者也。(罗记)

    当时上书言神怪者以百数。王公邸第,百司廨署,拳匪皆设坛,谓之保护。士夫思避祸,或思媚载漪者,亦恒设坛于家,晨夕礼拜焉。(罗记)

    载漪即第为坛,晨夕必拜,太后亦祠之内中。由是燕齐之盗,莫不搤腕并起,而言灭夷矣。城中日焚劫,火光连日夜,烟焰涨天,红巾左握千百人,横行都市,莫敢正视之者。夙所不快者,即指为教民,全家皆尽,死者十数万人。其杀人则刀矛并下,肌体分裂,婴儿生未匝月者,亦杀之,惨酷无复人理,而太后方日召见其党,所谓大师兄者,慰劳有加焉。王培佑以首附义民,擢顺天府尹。士大夫谄谀干进者,又以义和拳为奇货。(李记)

    又言:洋兵已进了城,宫里完全没有知道,只听着枪弹飞过,这声音全象猫儿叫,(言次即效猫叫声)“眇”。我正疑心那里有许多的猫儿,那时正在梳妆,又听着“眇”一声,一个枪弹从窗格子飞进来。那弹子落地跳滚,仔细认着明白,方才骇异。才要问外边查问,一眼瞧见载澜跪在帘子外,颤着声气奏道:“洋兵已进了城,老佛爷还不快走!”我才慌忙起身,急问皇帝何在。说在某殿上行礼,我叫赶速通报。原来这一天刚刚碰着祭祀,皇帝正在那里拈香,听着叫唤,急忙前来,头上还戴着红缨帽子,身上穿的是补服。我道:“洋兵已到,咱们只得立刻走避,再作计较。”皇帝更着了慌,仓猝就要跟着我跑。我道:“你瞧这样服色,那里好走出去?”才千手百脚的把朝珠、缨帽一起儿胡乱抛弃,一面扯卸了外褂,换了长袍。我也改换了下人的装束。咱娘儿两个,就此一同出走。那时一切衣服物事,都已顾不得携带,单单走了一个光身。一路踉跄步行,一直到了后门外,才瞧着一乘骡车,问了骡夫,知道是载澜的车子。我就带着皇帝急急上车,赶叫向前快走。他们都是沿途找雇;到了德胜门外,大伙儿才到,稍稍聚集。又怕洋兵追赶,不便屯留,便一气直前上道,昼夜趱行。头一日顿宿贯市,多方设法,好容易才觅到几乘驮轿。由贯市赶到岔道,都宿在破店中,要求一碗粗米饭,一杯绿豆汤,总不得找处。比较逃荒的老百姓,更为苦恼。一直到了怀来,亏你有个预备,才算脱了苦境。难得你如此忠心,而且急忙之中,还亏你赶办得出来,我是十分心受的。所以我要你随扈在一起,这会子也总算是患难的相与了。

    二十一日,天未明,徐会澧以兵部尚书谢恩,至地安门,闻哭声,乃走。载澜驰入宫,言夷兵且攻东华门。太后知事急,衣宝衣欲赴水,载澜持其衣曰:“不如且避之,徐为后计。”太后乃青衣徒步,涕泣而出,发不及簪,上素服及后随之。至西华门外,上坐英年车,太后坐载澜车,从者载漪、溥俊、奕劻、善耆、载勋、载澜、载泽、溥兴、溥伦、刚毅、赵舒翘、英年,及内监李莲英,太后夙所爱也,以立大阿哥进官一品。珍妃有宠于上,太后恶之,临行推堕井死。瑾妃衣襜褕,走而出,遇载勋,始知上所在。诸宫人皆委之而去,赴水死者数十人。其馀走出安定门,遇溃兵被劫,多散失。载澜妻女皆亡,令万本华大索之,竟不得。王公士民四出逃窜,城中火起,一夕数惊。京师盛时,居人殆四百万,自拳匪暴军之乱,劫盗乘之,卤掠一室,无得免者。坊市萧条,狐狸昼出,向之摩肩击毂者,如行墟墓间矣。是日,驾出西直门,日莫抵昌平贯市,上及太后不食已一日矣。民或献蜀黍,以手掬食之。太后泣,上亦泣。时天寒,求卧具不得,村妇以布被进,濯犹未干。夜然豆箕,人相枕籍而卧。(李记)

    联军日逼京师,七月十六日,两宫已有西狩之志,以车辆未备,缓行。十九夜,炮声急,知联军已至城外。二十日,召见王、大臣五次,末次惟王文韶、刚毅、赵舒翘三人。太后言今只馀尔等三人,馀均自为计,不复恤吾母子矣,尔等当随吾行。复诏文韶曰:汝老矣,尚长途苦汝,吾心不安。汝以舆后来,彼二人骑以从,必同行也。帝亦顾文韶必当行。二十一日,黎明,两宫闻洋兵已入城,仓猝出宫,妃主均委之以去。两宫皆乘道旁骡车,王公内侍皆步行,出德胜门,炮声不绝。趣行至贯市东,光裕驼行献驼轿三乘。帝与贝子溥伦同一乘,太后、皇后同一乘。太后衣蓝布夏衣,尚未栉也。帝衣黑纱长衣,黑布战裙。卧具皆不及携。是日勺水未入口,晚宿于民居。随扈者端亲王载漪、庆亲王奕劻、肃亲王善耆、蒙古王那彦图,贝子、公爵数人,刚毅、赵舒翘、溥兴等,暨神机虎神营练兵千人,马玉昆兵千馀人。兵无所得食,沿途掠于民间。(《馀闻》)

    其时刚毅已先在途次病故,赵舒翘亦赐自尽。太后言及二人,似尚有馀怒,谓这都是刚毅、赵舒翘误国,实在死有馀辜。当时拳匪初起,议论纷纭,我为是主张不定,特派他们两人前往涿州去看验。后来回京复命,我问他义和团是否可靠,他只装出拳匪样子,道是两眼如何直视的,面目如何发赤的,手足如何抚弄的,叨叨絮絮,说了一大篇。我道:“这都不相干,我但问你,这些拳民据你看来,究竟可靠不可靠?”彼等还是照前式样,重述一遍,到底没有一个正经主意回复。你想他们两人都是国家倚傍的大臣,办事如此糊涂;馀外的王公大臣们,又都是一起儿敦迫着我,要与洋人拼命的,教我一个人如何拿得定主意呢?

    稍停,又续言曰:依我想起来,还算是有主意的。我本来是执定不同洋人破脸的;中间一段时期,因洋人欺负得太很了,也不免有些动气。但虽是没拦阻他们,始终总没有叫他们十分尽意的胡闹。火气一过,我也就回转头来,处处都留着馀地。我若是真正由他们尽意的闹,难道一个使馆有打不下来的道理?不过我总是当家负责的人,现在闹到如此,总是我的错头;上对不起祖宗,下对不起人民,满腔心事,更向何处诉说呢?

    太后此番话头,虽属事后之谈,但详细体会,亦是实在情节。试想彼深居宫阃,一向与外间情势不相接触,一旦遭此巨变,前后左右,手足耳目,都是一样狂迷,如醉中闹架,欢呼盲进,意兴勃勃,他毕竟是个女流,易于迷信,平日为洋人交涉受了多少委曲,难得有此神人协助之机会,欲其凭一人判断,独排群议,尽遏众狂,此绝不易得之事。即自谓尚有主意未尝放手云云,事实具在,亦不能谓之尽诬。如实在与瑞、刚倾倒一向,并力不顾,攻破一使馆自在可能之列。不过总有一段时期已经中了魔毒,若谓始终明白,殆亦未必然耳。

    拳匪之事,当刚、赵查验时,是一祸福转捩关键。如此时能将真情实状,剀切陈奏,使太后得有明白证据,认定主张,一纸严诏,立时可以消弭。过此以后,乌合蚁附,群势已成,虽禁遏亦已不及。后来酿成如此大祸,刚、赵二人,实不能不负其全责。太后谓其死有馀辜,确系情真罪当。刚之为人,愚陋而刚愎,或真信拳匪之可恃,亦未可定。赵则起家科第,扬历京外,开藩陈臬,并皆卓有政声;而且学问淹通,持躬廉正,此儿戏鬼混之义和团能否成事,明白易晓,决不至于不能鉴别。第以劫于刚势,不敢立异,遂至与之骈殉,身陷大戮而死负恶名,未免太可惜矣。

    近闻某公言及赵事,则尤不觉为之扼腕。谓当拳匪在涿州时,太后命刚、赵往验。刚实未往,赵独挈何君乃瀛同行。何字松生,本刑部老司员,殊干练有卓识。二人回京后,均力言拳民之不可恃。何因为赵拟就一摺,言之颇甚剀切。赵审阅再三,似碍于端、刚,踌躇不敢上;末谓上摺太着痕迹,不如面陈为妥。乃先赴荣相处,详悉报告;再见太后复命,亦经一一据实奏陈。而彼时太后已受魔热,词色颇不怿。先时赵之僚友曾有以大义相责者,赵出告人,谓幸不辱命,我对军机、太后,均已尽情倾吐,应说尽说,抚心自问,庶几可告无罪矣。后来点派带团差使,并无其名,赵益自引为幸,谓从此可以脱离关系云云。某公所言,委系得之当时事实,并非泛泛。准此而论,则赵于拳匪,并未有阿护之事。最后赐尽上谕中,只坐以“毕竟草率”四字,且有“查办拳匪亦无庇纵之词”等语;即据太后口中所言,亦足证明其始终未言拳匪可靠。参稽互考,情节昭然。只因当时稍有瞻顾,少此一摺之手续;又夙因刚援引,相处亲密,致后来中外责言,均以刚、赵并举,李文忠亦有“刚、赵袒匪”之电奏。空言无据,无法辨白,卒陷于不测之大戾。然则彼之失足,不在于查验拳匪之役,而在于受刚援引之时。因失其亲,子云中郎,所以同抱千古兰滫之恨也,悲夫!顾就此案而论,终不能不谓之冤。青史是非,悠悠众口,吾尤愿为死者一洗之也。

    刚、赵之处分,凡见过四次上谕:第一次革职留任;第二次交部严议;第三次斩监候,第四次斩立决,改赐自尽。足见前时太后尚有回护之意,其终受大辟,实出外人要迫,并非太后之本心。受诛以后,则言者事事皆藉以诿罪,不免别有投阱之语。故此时太后亦深憾之。一朝失足,则众恶皆归,此亦古今之常态。惟刚已先故,竟逭诛夷。即谓刚、赵同罪,刚罪总浮于赵,乃刚免而赵不免,此真所谓有幸有不幸者耶?

    拳匪之入京师,刚毅实导之。刚毅识字不多,以清正自诩。由部曹外任巡抚,内召为尚书,入枢府,后眷甚隆。奉命江南查案,旋之广东,敛浮赋,括四百万,历东南诸省,括千万归于京师。得梁启超所撰《清议报》,进于孝钦后,后大怒,愤外国之庇康、梁,必欲报此仇。益恨德宗,思废之,立端王载漪之子溥俊为大阿哥,将于庚子正月行废立,刚毅实主之。力引载漪居要职,宠眷在诸王上。后命荣禄告李鸿章,私以废立意询各国公使,皆不协,后益大恨。刚毅日言仇洋,见谈洋务者,皆斥为汉奸。过金陵,见刘坤一所立之储才学堂,立命闭之。董福祥以杀洋人自任,刚毅力誉于后前,恩宠日渥。及拳匪据涿州,朝议剿抚不决,乃命兼管顺天府事。尚书赵舒翘,偕府尹何乃莹[瀛],驰往解散。刚毅虑舒翘或戾己意,自请继往。舒翘至,召匪首谕朝廷德意,令解散。匪首坚请褫聂士成职,舒翘难之。刚毅至,许以先退聂军。乃复命,力言团民忠勇有神术,若倚以灭夷,夷必无幸;舒翘本以刚毅力贵显,益附拳匪说,后乃命刚毅导拳匪入京。旬日至数万人,坛场遍城内外。王公贵人,争崇奉之。渐出入宫禁,莫敢究诘。刚毅与载漪合疏,请用团民,乃奉统率团民之命。董福祥率武卫军攻使馆,刚毅日坐城楼观战,曰:“使馆破,夷人无噍类矣,天下自此当太平。”舒翘起为寿曰:“自康有为倡乱,天下扰扰,公起而芟夷之,上病失天下心,幸继统有人,定策之功,公第一。”刚毅大喜。及联军破京师,两宫仓皇出走,刚毅随扈至太原。李鸿章电劾肇祸诸王大臣,后召见载漪,痛斥之。自出狩后,刚毅忧惧,不复有所言。及随扈西安,中道病,折回候马镇,病死。十二月,惩办罪魁,刚毅以先死免戮,追夺原官。(《馀闻》)

    赵赐自尽时,派岑春煊前往监视。赵体质素强,扼吭仰药,百计竟不得死。而岑在客堂,不耐久候,再四逼促,词气极凌厉。家人不得已,乃以绵纸遍糊七窍,灌以烧酒而闷煞之,屡绝屡苏,反复数次而后毕命。惨矣!然岑亦忍矣哉!

    初六日,赐英年、赵舒翘自尽。年、舒翘已下按察使监视,岑春煊遗年药,年死狱中;舒翘服诸毒不死,竟勒杀之。年善望气,以术幸太后,太后使视醇贤亲王奕劻茔,茔东白杏高百尺无枝,气成五彩,年视之,大吉,归报太后曰:“物莫能两大,此其祥也,请伐之。”伐之得白蛇不可胜数,树若有血焉。其夕茔树尽死。载勋为步军统领,年以右翼总兵佐之,为拳将横甚,陵轹大臣,然视载澜为谨矣。舒翘习律令,以刑部主事外任,五迁至尚书,颇自喜。大阿哥之立,大召对群臣,太后出诏书遍视之,皆失色,舒翘独前贺曰:“赖社稷之灵,天下臣民有主矣,复何疑?臣犹恨其晚也。”太后大喜。其自涿州归,极知拳匪当肇祸,以附刚毅故,盛绳之,卒以此死。拳匪之杀白莲教也,狱不具,即反有迹,案律妇女不同谋,不缘坐,舒翘心知其冤,私窃叹,然不敢言。其于速化取容,天性也。(李记)

    赵舒翘以刑曹熟习刑律,刚毅援引致位尚书。拳匪据涿州,奉命解散,甫抵涿州,而刚毅继至,遂导拳匪入京师。刚毅力言拳民忠义可用,舒翘附和之。及联军破京城,随扈两宫狩西安。各国索惩办罪魁,舒翘革职留任,各国憾不已,乃改为斩监候,囚西安狱。次年正月,各国要加重惩办。西安士民,连合数百人,为舒翘请命,枢臣以闻,乃赐令自尽,派陕抚岑春煊监视。舒翘犹以为必有后命,其妻谓之曰:“君无冀也,吾夫妇同死耳。”乃以金进。舒翘吞少许,逾三时不死,犹处分家事。又痛九十馀老母见此奇惨,既而自恨曰:“刚子良害我。”春煊迫于复命,乃更进鸦片烟,两时仍不死。再进砒霜,始偃卧而呻,夜半犹未绝,乃以厚纸蘸热酒,连蔽其七窍,乃绝。其妻仰药殉焉。(《馀闻》)

    辛丑五月十五日,予奉旨简放广东雷琼道遗缺。予与徐孙两公,均以密保同日引见,而予才及十日,即蒙简放。当时慕韩总揆且向予欣贺不置,谓君今乃先着祖鞭,令人有景倩登仙之羡,吾等尚不知挨磨几许时日,方有此希望也。今两公皆已登峰造极,名播中外,而予则依然故我,碌碌无成。回首云泥,空增惆怅而已。

    奉简后,复传旨缓赴新任,命督办回銮前站事宜,仍照旧承应宫门事务。予此次颇十分为难。先是由怀来至太原,沿途宫门事务,均由予一手承应。予深知地方官办事苦况,事事均为之道地,不令宫监等有非分需索及欺凌逼勒等事。宫门费用,予均为按资匀配。彼时诸宫监初出都门,所望不奢,亦尚能帖然就范,并无诽怨。自予由太原奉差出发后,宫门之事即由岑云阶接替照管。彼因欲见好于各宫监,乃悉力反予所为,凡各省进奉官吏,皆为之敲索使费;每到一州县,亦首先讲论宫门费,多者或逾万金,少亦七八千金;至零星费用,更无一定,几于遇事需费。各宫监无不欢喜踊跃,人人餍饫。因而追怨前事,谓予非但不为帮忙,且有意裁抑之,以此均德岑而恨予。竟有当面诘责者,谓:“咱们从前蒙在鼓子里,都被你刻薄死。还亏着岑三讲交道,帮个忙儿,动是整千整百的,作成咱们爷儿吃了个饱肚。横竖使的别人家的钱,他们来路是容易的,也落得大伙儿做个人情。偏是你拈斤播两的,巴巴几两银子,还要叫我们请安谢赏,这不是活活被你捉弄么?”盖彼等已经吃过一番大甜头,全不似前此之听受范围。幸而上边通气,尚不敢公然作难。然实在是予愚笨而岑聪明。岑以后之扶摇直上,其根基实始于此。

    予前此以匆促赴召,家眷尚留鄂中,即寄居于岳家。近见荣相,谓上意欲令予随扈还京,何妨将眷属迎至秦中,将来即可一路同行云云。予念如此可省两方牵注之劳,于计亦得。是时京外大臣及京都士绅,均陆续奏请回銮,章已十数;而上意尚踌躇不即允。予因启銮之期尚未宣布,为日必不在近,因乘间请假回鄂一行,以便亲自照料眷口,结束家务。奉允后,即日就道,抵鄂垣匆匆部署一切。旋闻回銮期日已定,家眷前赴秦中,未免多此跋涉;因仍只身先自趋赴行在,而嘱家眷随后首途,预备于河南途次相待。盖大驾已定从旱道入都,河南固为必经之地也。

    始,德日以国书请回銮,各国亦以相要约。敬信自京师至行在,宾客送者数十百人,皆言:“京师无恙,太后当早归。”信既至,承荣禄旨,不敢言,嗫嚅,太后大怒,使宦者崔永安往视,永安还对,以实闻,太后左右视,不答。侍读学士恽毓鼎、御史郑炳麟、黄会源请同銮,皆不报。奕劻、李鸿章又数请之,乃有七月十九日之诏。而鹿传霖方买田宅咸阳,数言敌情叵测,劝太后无北归,太后亦恐遂归政,不欲行。(李记)

    八月十八日,予始由湖北还抵西安行在。即日往谒军机各堂宪,并诣宫门报到。十九日,总管太监李莲英传旨赏银四百两,大缎二匹。一到即有恩赐,即宠任亲贵大臣,亦不多见,在予得之,真可谓异数也。

    先是五月二十一日,曾降发上谕一道,略谓“朕侍皇太后暂住关中,眴将经岁,眷怀宗社,时切疚心。今和局已定,昨谕令内务府大臣扫除宫阙,即日回銮。惟现在天气炎热,圣母年高,理宜卫摄起居以昭颐养,自应俟节后稍凉启跸,兹择于七月十九日由河南直隶一带回京,着各衙门先期敬谨预备”等语。此谕既宣布,于是中外人心,一时大定。缘行期久久未定,众情惶惑,不免妄生疑揣,有谓将久居西安者,有谓将迁都蜀中者。复因水陆问题斟酌不定,益滋延宕。先有主张由河南襄阳至汉口,改由京汉路入京,谓沿途供亿,可省若干百万。南方并有请驾出上海,迳从海道入都之议。嗣经通盘筹度,谓水道须另造轮只,且有数处河道须经修浚,方可通行御舫,费更不赀,乃决计取道陆路。至是而行期、路线一起决定,中外乃始释然矣。

    亡何而陕抚升允奏谓天时炎热,道路泥泞;汴抚松寿奏谓积雨连旬,河水骤发,跸路冲毁,行宫损坏;均请展缓行期。乃复于七月一日下谕:据奏改定以八月二十四日回銮。于时舆论大哗,均谓两宫实无回銮之意,两抚之奏均由西安政府授意,即二十四之期,亦决不可信,届时必须再改。并有言第三期已预拟定,将改为九月三日;第四期必以太后寿辰为词,改十月底;第五期必以天寒为词,改至明春;逐节延改,终于无期而后已。或言太后惧回京后受各国要索抵罪,故不许皇上回京;或谓李莲英恐以太后失势而失权,故力怂太后不宜回京等语,纷纷扰扰。中外报纸,批评议论无虚日。各国使臣亦颇为所动,一再向当局诘问。于是政府更下谕旨、懿旨各一道,谕旨系豁免陕西、河南、直隶跸路经过地方钱粮,懿旨系赏给陕西人民内帑十万两,盖藉此以坚各国之信。其实太后前此稍有戒心,暂持观望之态度,或所不免;至于此次定期以后,固已预备启行,并无游移之意。两抚改期之奏,实因预备不及,冲毁行宫跸路,皆实在之事也。

    同时并特派陕抚升允为前路粮台。升抚因启銮在即,奏请交卸抚篆。奉旨:陕西巡抚着李绍芬暂行护理。同时并委臬司樊增祥署理布政司,道员吴树棻署理按察司,西安府胡延升署粮道,候补府傅士炜署西安府。此数日中,西安官场全班更动,贺任道喜,满街车马纷驰,闹得烟昏尘起,头目皆为之晕。兼之行期已迫,宫府内外,皆预备结束登程,各京官亦悉备行事,包裹捆扎,大车小杠,憧扰不可名状。予拟奉有前命,不能不勉尽职务;而甫到行在,相去仅六日,孑然一身,事繁期促,如何措手?不得已自行出资募雇健役二十馀名,另赁马二十匹随行。即赶赴前途,先行布置一切;略有端绪,仍赶回西安省城,伺候启跸,以便随驾同行。幸经过一次,办理稍习,又执事宫监诸多稔识,故应付尚为顺手耳。

    二十三日,军机大臣谕:本日各章京办事毕,二班章京即着先行启程。自京西至阌乡,派头班章京沿途办事;自阌乡至开封,派二班章京沿途办事。并奉前路粮台核准定章,皇差官车二千馀辆,驴马应给草料,行路日给一两,驻跸减半。大概布置,皆已楚楚就绪矣。

    八月二十四日辰刻,两宫圣驾自西安行宫启跸。城文武官吏,均先于宫门外齐集,伺候升舆。行李车先发。辰初三刻,前导马队出城;太监次之;各亲贵王公大臣,或车或马,又次之。俄闻静鞭三响,即有黄轿数乘,自行宫出,士民皆伏地屏息。皇上、皇太后先后乘黄轿出宫;皇后随后;向有扈驾诸王、大臣,又在其后;最后为大阿哥。衔尾重车无数,均系各衙门档案。曲折穿行大街中,辰牌向尽;始出南门。沿途市肆,各设香花灯彩;长安父老,均于南门外祗候跪送,恭献黄缎万民伞九柄。出城后仍绕赴东关,诣八仙庵拈香进膳。本来直出东门,路线可省三分之二,谓因体制关系,且取“南方旺气向明而治”之义,所以辇路必出南门。先期奉升抚传谕:州县都守以上,均在灞桥恭送;佐杂千把,在十里铺恭送。并派员于各该处点验,查取职名。如有托故不到者,停委二年。所以冠裳跄济,异常热闹。沿途千官车马,万乘旌旗,气象极为严肃,较来时光景,当然大不相同。予在宫门送驾后,即乘马顺御路出南门。行二十里,至灞桥尖。灞桥折柳,自昔为往来迎送之地,然千年以来,当无有今日之热闹者。又二十里,驻跸临潼县骊山行宫。

    八月二十四日,自西安启跸,仪卫甚盛,发卒数万人,各省所供献太后私财六七百万,尽辇之而东。(李记)

    二十五日,由骊山行宫启銮,至临口镇驻跸。自骊山至此四十里,均临潼县境。临潼令夏良才绝无预备,乃避匿不出。王公大臣多至枵腹,内膳及大他坦均不得饱食,大他坦且无烟火,夜间殿上竟不具灯烛。上赏内监银二百两,令自觅食,此亦绝异之事。上年予在怀来时,拳匪围城,溃兵四窜,正性命呼吸之际,而两宫仓猝驾至,予尚能勉力供应,不至匮乏。此次则半年以前已有行知,有人可派,有款可领,何以草率至此?闻夏令实已领款二万七千金,掯不肯发,所以诸事不备。该令籍隶湖北,为陕藩李公之同乡,临时委署此缺,本期藉皇差以得津润,既贪而庸,欲牟利而无其才,故至于如此荒谬。然两宫竟未有嗔责,此亦更历患难,心气和平,所以务从宽大也。予恐前站有误,即驰十五里过升店(属渭南县),略事部署;复前行三十五里,至渭南县,已傍晚,即就西城外觅一粮店住宿。行宫即在县署,颇宏整,较临潼殆天渊矣。

    车驾至临潼,临潼令夏良材以供应获谴。于是郡县承风,各除道,缮治宫室,设厨传,修寺观神祠以待幸,作者数万人,费亦畚数十巨万,大兴兵卫,道死者相望。诸贵人奴隶至榜笞州县官,释不问。而松寿令江西浮粱镇进瓷盘至十二万,他物称是焉,一驿之费几五万金。(李记)

    二十六日,在渭南候驾。申刻,驾到渭南行宫驻跸,离西安已一百八十里。督办前路粮台升允,奏参临潼县知县夏良才办事不当,贻误要差,并自请议处。奉旨:夏良才加恩改为交部议处,其自请议处之处,从宽免议。盖两宫以大驾方始发轫,不欲以供应之故,重罪有司,致沿途官吏,多增疑惧,用意固甚深厚也。

    二十七日,午刻自渭南启銮,申正至华州驻跸,行宫即在州署。昨夜荣相国之公子纶少华病故,各官争往慰唁。荣相年几七旬,只此一子,甚为聪慧,因之异常惨恻。但中途不便停顿,乃特留胡研孙观察在此,为之料理后事。暮年遭此不幸,意绪固难堪也。

    二十八日,辰刻自华州启銮。行四十里,至华阴县驻跸。行宫亦就县署改设,铺陈构署,颇皆妥贴如式。

    二十九日,两宫诣华山麓玉泉院拈香。是日雨,道路泥泞。予先至院候驾。该院背山面河,有“山荪亭”、“无忧亭”诸胜,林泉掩映,古木阴森,颇为欣赏不置。有顷驾临,王公、百官多半随从,宫眷亦有随至者,一时拥挤,或至不得入门内。而雨势益急,从官率通身沾湿,踯躅泥滓中,致游兴为之消阻。闻由此上山顶尚有四十里,仙人掌、莲花、玉女诸峰,多在高处,惜匆匆不得一览。申刻驾旋,仍驻跸华阴县。

    九月初一日,自华阴县行宫启銮。行五里,至华阴庙尖;又三十里,至潼关驻跸。行宫即在道署,颇有园林之胜。初二日阴雨,初三日晴,初四日风,均驻潼关。四日传旨:明日巳正启銮。予于宫门见荣相,神色颇惨淡。有河南四品卿衔道员吕永辉上封奏,请迁都洛阳。闻其人颇深喜自负,以此为匡时大计,闻者皆目笑之。近年京朝士夫,多主张迁陕之说,引经据史,言之侃侃。自西幸以后,多半亲历其地,皆哑然自失,不敢复持前议。书生目论,大都如此,吕亦同受此病也。是日奉上谕:前因有冒充王公仆从,于各州县供给,恃强攫食,曾经降旨严禁。现在将入豫境,着松寿认真查禁,如有此等情事,着即严拿惩办,勿稍瞻徇。因前在临潼,夏令曾以先日预备供应均被掠食为词,故有是命也。又奉谕:启跸以来,沿途车骑,诸形拥挤,甚至乘舆已到,尚复填塞,殊不足以昭郑重。着御前大臣认真弹压,并着松寿、夏毓秀、周万顺各派兵勇,分起押送,不准迟滞。至随扈王公、百官,车辆尚多,一经入豫,道途更隘,除有紧要差使者准带行李外,其馀均着分起先行,以免拥挤,云云。一路车辆,彼此争先,因致壅塞不行,欲速反滞,真太不成体统。有此一谕,或可稍资整饬也。

    初五日,自潼关启銮,至阌乡县驻跸。予于早飧后,前驱行二十里,至阌第镇(属阌乡县境)。阌乡令邓华林来此迎驾。予作一禀函,上张香涛制军,杂叙两宫沿途起居,交阌乡令出四百里排单递送。盖前此在鄂时,制军曾以此事相嘱;连日仆仆长道,无法握管,至此始获作一函塞责。最可异者,此函竟重出,不知何时散落外间,为好事者所得,居然装潢什袭,今岁乃有友人持此嘱予自加题跋。重览一过,墨渖如新,转不胜今昔沧桑之感矣。

    昨日,喀尔喀亲王那彦图之亲随在潼关卷取铺垫等物,委员候补巡检李赞元向前阻止,该亲随竟缚而挞之于市。经升中丞据实奏参,奉旨:那彦图着交理藩院照例议处,其滋事亲随,着升允严讯惩办。此事颇快人意。吉帅之风骨凛然,不避亲贵,殊可敬也。

    初六日,辰刻自阌乡启銮,申刻至灵宝县驻跸。奉旨:明日驻跸一日。是日奉谕:本年万寿,停止筵宴。连日皆行夹沟中。悬崖绝障间,羊肠一线,逶迤屈曲,其间仅容一车行,如两车相值,一车必预于空处藏避,俟对行车过,方始就道。沿途车辆,皆须互相呼应。近经特别平治开拓,两车亦可并轨。而随扈诸人,咸喜疾驰争先,乃至数十百辆衔尾接轴,莫能进退。昨日虽有严谕,一时尚不能生十分效力也。

    初七日,仍驻灵宝。闻大差头站太监百馀人,已由河南入直隶境,住宿磁州;庆王将到开封迎銮,当以本月二十日出都。奉旨:所遗总理外务部要差,着由李鸿章暂行兼管。并奉懿旨:着李相就近在保定迎銮,毋庸远赴。

    初八日晴。辰刻,自灵宝县启銮。自此入河南境。行六十里,申刻抵河南之陕州。自南门入,驻跸河陕汝道署。署有园圃,颇具池台亭榭之胜。余与梦丹同寓州署。署中亦小有园林,而荒废殊甚。大堂下有老树一株,大可数抱,古干槎枒,似是数千年物,署榜曰“召伯甘棠”,殆属后人附会也。是日奉旨:江西广饶九南道,着刑部员外郎瑞澂补授。盖前日有旨,以赣臬柯逢时升任湘藩,广饶道明徵升赣臬,而以瑞补其遗缺也。瑞为断送清社之罪魁,至此忽露头角。此时大局已定,两宫安返故都,宛然有日月重光、河山再造之气象;而亡国根芽,已植于此,覆霜坚冰,可惧也。

    初九日,仍驻陕州。

    初十日,自陕州启銮,出东门,行五十里,至陕州属之张茅镇驻跸。此间地极狭窄,百官多不得栖宿处,皆驱车向前趱行。而晚间雨势复大集,泥中颠播,异常困顿,至有在车中过夜者,冻馁交迫,窘况殊不可堪也。

    十一日,巳刻自张茅镇启銮,行四十五里,至陕州属之观音堂驻跸。地势益隘,余觅宿不得,乃冒雨前行,至英豪镇住宿。此处已入渑池县境矣。

    十二日,大驾仍驻跸观音堂。予先由英豪镇冒雨行二十五里,至渑池县,即在渑池候驾。是处当崤山分支,沿途皆顽石横梗,极碍车道。清道光十四年、光绪九年两次兴工铲削,另辟新路。无如大车所载过重,砰訇磅磕,不久即成磊砢,十九皆震脱辐,须待修辑;故大驾不能不因之迟滞也。英豪镇即杜诗所咏之石壕村。蒿目时艰,惓怀身世,与杜陵当日境地颇复相类,益不胜芒鞋露肘之感矣。

    十三日,由观音堂启銮,申刻至渑池县驻跸。

    十四日,自渑池县启銮,过石河镇、义昌驿,至铁门镇驻跸,已入新安县境矣。连日阴雨,泥泞数尺,车行荦确,骡马负重不胜,倒毙途次者,所在皆是。随扈大驾,乃亦尝此等苦况,行路之难,可为叹息。是日有摺弁自湘中来,据云道过许州时,知予眷属寓许州北关旅店,初六夜半,有盗伙二三十人,明火执仗,毁门而入,劫去银洋、首饰无数,并用洋枪击伤亲兵、家丁各一人,亲兵身受七枪,伤势甚重,恐有性命之忧,惟眷口尚为平安云云。闻之骇绝。许州为豫省南路通衢驿道,并非僻地;关厢逼近州城,列肆林立,俨然闹市;乃盗伙竟敢公行肆劫,从容搜掠,殊不可解。少年妇女,无端受此惊悸,其何以堪!予以随从属车,孤身远隔,仅凭摺弁口语,又不能详及底蕴,五中焦灼,不可言状。当发一电问讯。辗转空床,竟至不能成寐。

    十五日,午刻自铁门镇启銮,酉刻始抵新安县,驻跸。予与梦丹先行三十里,经磁涧镇,知两宫于明日当在此处中伙;十五里至谷水镇,已入洛阳县境;又二十五里,至河南府,于南门外逆旅住宿。是日风日清美,道路坦平,旬日以来,惟此一程最为畅适。沿途烽候堆房,皆一律新修,焕然耀目。次日往瞻行宫,则局势宏丽,陈设皆备极精好。谓文守惨淡经营,已逾数月,殊不免有人劳鬼劳之感想。启銮前,迭谕沿途供应,不得逾侈,以节民力,而文守仍复铺张如此,殊失将顺之义矣。文悌先为御史,戊戌政变,极力迎合,奏参新政人物,颇为舆论所不满。此次闻向豫省请领八万金,预备在洛供应;延方伯给以三万,怏怏而回,仍就地罗掘以供所需,故一切部署,无不力从丰赡。又以重赂深结李莲英,终日在李室,手持水烟袋当户而立,与出入官员招呼点首以示得意。豫中同官,皆心鄙之。松抚每告所属,谓我们河南现在已出了一个红员,盖即指文而言。临潼之草率,此间之繁靡,可谓过犹不及。盖两人各有目的,一图现在之利,一觑将来之名。用意不同,出手因而各异;但论损上损下之区别,则犹觉彼善于此矣。申刻驾入洛城驻跸。河帅锡良、前鄂抚于荫霖、副宪张仁黼、前京尹顾璜,均来此迎驾。

    自陕西西安府咸宁县京兆驿,至河南省河南府洛阳县周南驿,计程七百八十里。自八月二十四日至九月十六日,途次共历二十二天。先是此地预备寝宫,拟请皇太后、皇上同居一处,适侍郎桂春在汴,力言无此体制,诸多不便,乃临时拓地改造。故皇上寝宫甚为逼窄,大阿哥住处尤窄。太后寝宫独宏敞,后窗外有极大地坑,上安木门,可以燃炭,从地道通入室内,盖预备在此过冬取暖也。行宫工程,原估二千四百串,现用至三万馀两云。

    十七日,仍驻跸河南府。奉旨须留驻五天。予早间于宫门外见于次帅。是日连得开封电,知眷属尚无恙,亲兵伤亦渐愈,为之稍慰。汪伯棠农部偕桂月亭侍郎自大梁来,过访久谈。昔年予从张樵埜侍郎办理日本商约,农部方在张宅为西席,朝夕相见。乱离之后,旧雨重逢,剪烛清宵,愈深情款;相与谈及侍郎厄遇,均不觉为之於邑也。

    十八日,仍驻跸河南府。予与黄小宋太守璟、周左麾太守钺,同乘马出东门外,至一大寺寻碑。隋唐石刻,所在林列。摩挲往复,令人目不暇给。惜日色向暮,已不能尽辨字画,恨不得学李阳冰,于碑下作三日寝处也。

    十九日,仍驻跸河南府。两宫于召见军机办事后,辰刻即出宫,谒关帝陵,幸龙门、伊阙;进膳后,复幸香山寺。王公大臣,多半随从。予亦前往侍班,因历览三龛、涌珠泉、宾阳洞诸胜迹。房廊户牖,并加丹雘,与予夏间经此,已焕然改观矣。伊水中流,望对岸香山寺,迤逦山半,游人旋绕如蚁。水上造有浮梁,水白波平,天空如镜。周庐星列,兵卫森罗,当不减羽猎长扬之盛。度桥行里许,至香山寺,即唐时乐天九老结社处,俯瞰洛水,远眺龙门。山半皆北朝造像,千龛古佛,密如蜂聚。寺内一厅事,屏间刻汪退谷先生书白太傅《香山寺记》,字大几逾六寸,筋力雄伟,天骨开张;惜为俗工加饰粉漆,失其真趣,可叹也。未刻驾还,仍于宫门外侍班。

    二十日,仍驻跸河南府。召见升允、松寿。先是自西安启銮,以秦抚升允为前路粮台,负弩前驱。洎至潼关,豫抚松寿越境迎迓,上即命升回任办赈。升奏谓:陕中赈事,藩司自能料理,臣愿从至开封。故入豫后辇路事宜,皆两抚同任照料。

    二十一日,二十二日,仍驻跸河南府。二十三日晚有旨:大驾明日启行。予乃先行登程。至洛城外,见有宋太祖庙,颓败已甚,门外有石碑,高寻丈,“夹马营”三字,大书深刻,盖宋太祖降生处也。前行复有佛寺,规模极为宏敞。乃入内瞻仰,丰碑古篆,夹道林立,但尘封漫漶,不易辨识。有住持老僧,向之问该寺缘起,竟瞠目不能答。回旋许久,不觉日暮,乃笼烛行三十五里,至义井铺住宿。闻大驾明日过此中伙,已预备矣。

    二十四日早,自河南府启銮,辰刻至义井铺传膳。予于宫门外侍班后,仍先行,抵偃师县。申刻驾至,即在县署行宫驻跸。此地离河南府城七十里,本日辇道最长,故启跸特早也。是日召见湖北荆襄郧道朱其煊。

    二十五日,辰刻自偃师县启銮,申刻抵巩县驻跸。予于是日早间,先出城行三十五里,至黑石关。大驾即于此处渡洛河。已造有浮桥,皆用民舟联属,上覆以板,板上更用土平筑,宛如周行大道。行宫即在河畔。两岸绿树阴浓,群峰环拱,是一幅绝好图画。又三十五里,乃至巩县。大驾不久亦至;遂在宫门侍班。闻该县近年频遭洛水之患,横流冲荡,庐舍一空,仅存基址;县署在水中央,久为泽国。今年曾起行宫于城内高处,六月间河流暴涨,仍被冲决。后乃就县署故基改筑,戽水填土,垫高七八尺,鸠工庀材,计日而成。然视之颇觉坚固,崇墉屹址,殊不类新筑者。城中民居,极为寥落,无屋可住。予乃前行出东门外,至离城三里之东寨住宿,是处似较繁盛。晤周敬舆直刺,留与共饭。予去秋过太原时,承其赠送棉被墨砚等物,意甚殷渥。顷充孟巩缉私盐局,偶闻予至,特来相访。因为予述毓贤去年在山西杀戮洋人、教民、教士情状,横暴凶酷,惨无人理。以此山西一省,洋人要索赔款多至一千馀万,大小官吏,以迎合毓意被罪诛夷降革者至数十百人。殃民误国,贻害地方,区区一死,宁足以蔽其辜?然此时晋人亦尚有誉之惜之为之抱冤者,此则不可解也。

    初四日,杀毓贤于兰州。贤已论葳新疆,至道中,乃当斩,令甘肃按察使何福堃监刑。始拳匪起山东,李秉衡提倡之。秉衡以郓城攻教堂,德持之,落职,遂切齿于外人。贤代秉衡,翼乱民尤至,诧为神,王公贵人及太后左右皆信之。而山东人官京师者王懿荣、李端遇又翕然称其忠,相附和。故事急时,太后犹诏山东召老团。语云:“涓涓不绝,遂成江河”,贤之谓矣!而曾廉、王龙文独为之颂冤。甘肃布政使李廷箫惧诛,已先死。毓贤之戮教士也,至五十馀人,廷箫贪左右之,饮金屑自杀。(李)

    毓贤以山东曹州府知府至藩司,继李秉衡为巡抚。山东大刀会仇视西教,毓贤奖励之。匪首朱红灯倡乱,以灭教为名。毓贤命济南府卢昌诒查办。匪击杀官兵数十人,自称义和拳,建保清灭洋旗,掠教民数十家,毓贤庇之,出示改为义和团。匪树“毓”字黄旗,掠教民,焚教堂。教士屡函乞申理,总署令保护,毓贤均置不问。匪势愈炽,法使屡责总署,乃召之来京,以今总统袁公代为巡抚。时拳匪出没于东昌、曹州、济宁、兖州、沂州、济南之间,势甚盛。袁公至,力剿拳匪,获朱红灯,戮之,数月而匪势大衰。山东境不能容,乃窜入直隶境。庚子三、四月间,蔓延各属矣。毓贤入都,见端王载漪、庄王载勋、大学士刚毅,盛夸义和团忠勇可恃,载漪等信之,据以入告,遂拜巡抚山西之命。毓贤至任,卫军数十人,皆拳党也。自称义和团统领,拳术渐被于山西,浸猖獗。平阳府教堂被毁,府县以闻,称曰团匪,贤痛斥之。郡县承风,而莫敢诋拳匪矣。毓贤命制钢刃数百柄,分赐拳童,勉以杀洋人。大师兄出入抚署,若贵宾。五月,朝旨令保护教民,毓贤承端、刚旨,仍置不问。六月,匪焚教堂,毓贤登高观之,曰:“天意也。”营官将施救,毓贤不许。英教士逃出,号于众曰:“昔晋省大(旱),吾输财五六万,活数千人。今独不能贷一死耶?”卒戕之。一英妇挟儿出,跪言:吾施医,岁活数百人,今请贷吾母子。语未绝,一兵以梃击之,仆,推置火中,复奋身出,仍推入,与其子同烬焉。毓贤以兵守城门,禁教士出入,复移教士老幼于铁路公所,以兵守之。他日复驱入抚署,毓贤坐堂皇,命行刑,杀英教男女老幼三十馀人,服役二十馀人,枭首示城门,剖心弃尸,积如丘山。又驱法天主堂教女二百馀人至桑棉局,迫令背教,皆不从。令斩为首二人,以盎承血,令诸女遍饮,有十六人争饮尽之。毓贤令缚十六人悬高处,迫其馀背教,皆不从,求死益坚。

    兵士择貌美者掠数十人去,皆不屈,死焉。各属教民,富者皆为拳匪掠夺,其被逼背教,抗而死者,先后数千人。被祸最惨者,为大同、朔州、五台、太原、徐沟、榆次、汾州、平定,匪势蔓全省矣。联军破天津,毓贤自请勤王,朝旨命统军入京。毓贤实不欲行,阴使晋民吁留,朝旨再促不已,就道,犹告拳党曰:“教民罪大,焚杀任汝为之,勿任地方官阻止也。”七月,毓贤始去晋,而联军已破京师,遇两宫于途次。李鸿章奉命议和,德皇要惩办罪魁,鸿章以闻。闰八月,有旨命毓贤开缺,另候简用,以锡良代为晋抚。各国以罪魁未惩办,不允议约。驻德使臣吕海寰、驻俄杨儒、驻英罗丰禄、驻美伍廷芳、驻法裕祥、驻日本盛铎,合电请惩办罪魁,首李秉衡,次毓贤、刚毅、赵舒翘、董福祥、载漪、载澜,并述各国坚决之意。鸿章与刘坤一、张之洞、盛宣怀亦先后电劾。得旨,毓贤褫职,配极边,永不释回。各国意犹不慊。十二月,得旨,毓贤遣发新疆。计已行抵甘肃,着即行正法,派何福坤监视行刑。署甘督李廷箫为晋藩时,附和毓贤,纵拳戕教,既得毓贤正法之命,持告毓贤。毓贤曰:“死吾分也,如执事何?”廷箫虑不免,元旦,仰药死。兰州士民谓毓贤伏法为冤,集众代请命,毓贤移书止之。并自挽曰:“臣罪当诛,臣志无他,念小子生死光明,不似终沈三字狱。君恩我负,君忧谁解,愿诸公转旋补救,切须早慰两宫心。”毓贤有母八十馀,留太原,一妾随行,逼令自裁。正月初六日,何福坤至什字观,呼毓贤出,武员举刀斫之,伤颈未死,毓贤连呼求速死,其仆怜之,助断其项,收葬焉。(《馀闻》)

    二十六日,巳刻自巩县启銮,未刻抵汜水县驻跸。予以早间先行二十五里,至老健坡顶尖(属开封汜水县,已出河南府境矣)。连日亦皆行夹沟中,与前过华阴道上形势无异。而今日路尤险隘,虽因辇路所出,已大加平治;然陂陀上下,崎岖如故。闻此间旧仅村民数家,前任某道,特于沟途中穿凿山穴,创造公馆两处;因此官差过此,稍得安置行李。现即就坡顶建造行宫,寝殿三楹,凭高矗起,八面开窗,可以凌空四望。东瞻嵩少,西瞰黄河,风景壮阔,心目为之一爽。两旁复道回廊,逶迤曲折,皆就地势布置,结构颇具匠心。下坡三十五里,即汜水县,遂在宫门伺驾。城内仅有一街,馀则平畴一碧,麦田弥望,绝类旷野。县署亦为水漂没,向假书院作公廨,现即就书院遗址,别筑行宫,规制亦颇宏敞。时值菊花盛开,庭阶廊庑,盆盎罗列,五色错杂如云锦,殊觉别饶风致。是日得李傅相自京电奏,谓:“病势危笃,请速派大臣接替以资镇摄。”盖其时庆邸已出京赴行在,傅相特请命其还都,继任办理和议也。两宫得奏后,甚为厪念。太后曾召予语及,至为之流涕,谓大局未定,倘有不测,这如此重荷,更有何人分担?予于傅相受特别知遇,就私谊论,固然不免恻恻;即为国家而论,中流失船,前途险状,宁复堪以设想?绕屋徬徨,焦切万状。适孙慕韩观察移行李来,就予同室,联床夜话,心绪赖以消解。然不久慕公入睡,宵深人静,枨触百端,竟至不能成寐;天未向曙,即拔衣起,坐以待旦。

    二十七日,辰刻自汜水县启銮,未刻行抵开封府属之荥阳县驻跸。行宫寝殿,陈设并皆雅素,于朴质之中,含有一种浑穆气象,反觉别开生面,如入羲皇境界。宫内亦皆遍艺菊花,廊牙墙角,遍地皆是,而种类尤多于汜水。或大如盘盂,或细如松子,奇形异态,五色纷错,率皆目所未见之物,不知从何处罗致而来,想亦费几许经营也。旋得京师来电:合肥相国,已于今日午刻逝世。得此噩耗,兀如片石压入心坎中,觉得眼前百卉,立时皆呈惨色。闻两宫并震悼失次;随扈人员,乃至宫监卫士,无不相顾错愕,如梁倾栋折,骤失倚恃者。至此等关键,乃始知大臣元老为国家安危之分量。想此时中外朝野,必同抱有此种感想;即平时极力诋毁之人,至此亦不能不为之扼腕;公道所在,殆不可以人力为也!公之隆勋伟绩,自表表在人耳目。晚年因中日一役,未免为舆论所集矢。然自此番再起,全国人士,皆知扶危定倾,拯此大难,毕竟非公莫属,渐觉誉多而毁少。黄花晚节,重见芬香,此亦公之返照也。是日奉谕:“王文韶着署理全权大臣。”又谕:“直隶总督兼北洋大臣,着袁世凯署理,未到任以前,着周馥暂行署理。”又谕:“山东巡抚,着张人骏调补。”

    九月二十六日,李鸿章卒,以王文韶为全权大臣,袁世凯权直隶总督,漕运总督张人骏为山东巡抚。奕劻方召赴行在,至保定,闻鸿章病甚,奏请进止,诏仍至开封。方夷兵之入京师也,鸿章迁延不肯进,屡诏敦促之,其词皆甚哀,同于祈请。及和议已得要领,乃数蒙谴责,所请率驳斥不尽行。鸿章不能无少望,而俄约已大改前议,退兵归地有端倪,与俄使已议定画约矣。鸿章所请,世亦重违其意,曲从之。鸿章方自以为有功,有骄色,度朝廷必见从,及奏上,而太后惑于张之洞、刘坤一言,不许,鸿章恚甚,呕血遂死,追封一等侯,谥文忠。鸿章为人,疏阔有大度,然是非利害所在,不敢昌言也。其督两广,太后使掘康有为、梁启超祖父坟,鸿章颇枝梧,太后意甚怨。然太后喜联俄,鸿章雅与俄善,太后欲倚鸿章结俄欢,至尽举中国海军船畀俄,日本争之,乃止。太后恐各国之议己也,欲引俄为卫,俄亦自许能卫我,太后及鸿章皆信之。张之洞初上书请联俄,戊戌以后,又主联英日,实忌鸿章居大名,欲立异以抗之。然鸿章盛时,之洞依附之独谄。之洞佞巧,善迎合,不主故常,荐吴永为异才,尤为时所笑。然北人以善宦致总督,惟之洞为有声。(李记)

    予以后进,获从公帡宇之下,晨夕左右,几逾一载。承公以通家子弟相待,所以督励而训诲之者,无所不至。每饭必招予共案,随意谈论,伺其宴息而后退。故于公之言论风概,习之颇稔。公每日起居饮食,均有常度。早间六七钟起,稍进餐点,即检阅公事;或随意看《通鉴》数页,临王圣教一纸。午间饭量颇佳,饭后,更进浓粥一碗、鸡汁一杯。少停,更服铁水一盅,即脱去长袍,短衣负手,出廊下散步;非严寒冰雪,不御长衣。予即于屋内伺之,看其沿廊下从彼端至此端,往复约数十次。一家人伺门外,大声报曰:“够矣!”即牵帘而入,瞑坐皮椅上,更进铁酒一盅。一侍者为之扑捏两骽;良久,始徐徐启目曰:“请君自便,予将就息矣,然且勿去。”时幕中尚有于公式枚等数人,予乃就往坐谈。约一二钟,侍者报中堂已起,予等乃复入室;稍谈数语,晚餐已具。晚间进食已少。饭罢后,予即乘间退出,公亦不复相留,稍稍看书作信,随即就寝。凡历数十百日,皆一无更变。

    其时公自北洋罢任,以总理各国事务大臣,久居散地,终岁僦居贤良寺。翁常熟当国,尤百计龁之。公益不喜接客,来者十九报谢,因而门户亦甚冷落。公意殆不能无郁郁,然有愤慨而无怨诽。每盱衡时事,抚膺太息,其忠忱悱恻之意,溢于言表。尝自谓:予少年科第,壮年戎马,中年封疆,晚年洋务,一路扶摇,遭遇不为不幸,自问亦未有何等陨越;乃无端发生中日交涉,至一生事业,扫地无馀,如欧阳公所言“半生名节,被后生辈描画都尽”,环境所迫,无可如何。又曰:“功计于预定而上不行,过出于难言而人不谅,此中苦况,将向何处宣说?”又曰:“我办了一辈子的事,练兵也,海军也,都是纸糊的老虎,何尝能实在放手办理?不过勉强涂饰,虚有其表,不揭破犹可敷衍一时。如一间破屋,由裱糊匠东补西贴,居然成一净室,虽明知为纸片糊裱,然究竟决不定里面是何等材料,即有小小风雨,打成几个窟笼,随时补葺,亦可支吾对付。乃必欲爽手扯破,又未预备何种修葺材料,何种改造方式,自然真相破露,不可收拾,但裱糊匠又何术能负其责?”又曰:“言官制度,最足坏事。故前明之亡,即亡于言官。此辈皆少年新进,毫不更事,亦不考究事实得失、国家利害,但随便寻个题目,信口开河,畅发一篇议论,藉此以出露头角;而国家大事,已为之阻挠不少。当此等艰难盘错之际,动辄得咎,当事者本不敢轻言建树;但责任所在,势不能安坐待毙。苦心孤诣,始寻得一条线路,稍有几分希望,千盘百折,甫将集事,言者乃认为得间,则群起而讧之。朝廷以言路所在,又不能不示加容纳。往往半途中梗,势必至于一事不办而后已。大臣皆安位取容,苟求无事,国家前途,宁复有进步之可冀?”又曰:“天下事,为之而后难,行之而后知。从前有许多言官,遇事弹纠,放言高论,盛名鼎鼎;后来放了外任,负到实在事责,从前芒角,立时收敛,一言不敢妄发;迨至升任封疆,则痛恨言官,更甚于人。尝有极力讦我之人,而俯首下心,向我求教者。顾台院现在,后来者依然踵其故步,盖非此不足以自见。制度如此,实亦无可如何之事也!”言至此处,以足顿地,若犹有馀怒者。

    公平素最服膺曾文正公,启口必称“我老师”,敬佩殆如神圣。尝告予:“文正公你太丈人,是我老师,你可惜未曾见着,予生也晚呵!我老师文正公,那真是大人先生。现在这些大人先生,简直都是秕糠,我一扫而空之。”又曰:“我老师实在利害。从前我在他大营中从他办事,他每天一早起来,六点钟就吃早饭,我贪睡总赶不上,他偏要等我一同上桌。我没法,只得勉强赶起,胡乱盥洗,朦朣前去过卯,真受不了。迨日久勉强惯了,习以为常,也渐觉不甚吃苦。所以我后来自己办事,亦能起早,才知道受益不尽,这都是我老师造就出来的。”又曰:“在营中时,我老师总要等我辈大家同时吃饭;饭罢后,即围坐谈论,证经论史,娓娓不倦,都是于学问经济有益实用的话。吃一顿饭,胜过上一回课。他老人家又最爱讲笑话,讲得大家肚子都笑疼了,个个东歪西倒的。他自家偏一些不笑,以五个指头作把,只管捋须,穆然端坐,若无其事,教人笑又不敢笑,止又不能止,这真被他摆布苦了。”又曰:“别人都晓得我前半部的功名事业是老师提挈的,似乎讲到洋务,老师还不如我内行。不知我办一辈子外交,没有闹出乱子,都是我老师一言指示之力。从前我老师从北洋调到南洋,我来接替北洋,当然要先去拜谒请教的。老师见面之后,不待开口,就先向我问话道:‘少荃,你现在到了此地,是外交第一冲要的关键。我今国势消弱,外人方协以谋我,小有错误,即贻害大局。你与洋人交涉,打配作何主意呢?’我道:‘门生只是为此,特来求教。’老师道:‘你既来此,当然必有主意,且先说与我听。’我道:‘门生也没有打什么主意。我想,与洋人交涉,不管什么,我只同他打痞子腔(痞子腔盖皖中土语,即油腔滑调之意)。’老师乃以五指捋须,良久不语,徐徐启口曰:‘呵,痞子腔,痞子腔,我不懂得如何打法,你试打与我听听?’我想不对,这话老师一定不以为然,急忙改口曰:‘门生信口胡说,错了,还求老师指教。’他又捋须不已,久久始以目视我曰:‘依我看来,还是用一个诚字,诚能动物,我想洋人亦同此人情。圣人言忠信可行于蛮貊,这断不会有错的。我现在既没有实在力量,尽你如何虚强造作,他是看得明明白白,都是不中用的。不如老老实实,推诚相见,与他平情说理;虽不能占到便宜,也或不至过于吃亏。无论如何,我的信用身分,总是站得住的。脚蹈实地,磋跌亦不至过远,想来比痞子腔总靠得住一点。’我碰了这钉子,受了这一番教训,脸上着实下不去。然回心细想,我老师的话实在有理,是颠扑不破的。我心中顿然有了把握,急忙应声曰:‘是是,门生准遵奉老师训示办理。’后来办理交涉,不论英俄德法,我只捧着这个锦囊,用一个诚字,同他相对,果然没有差错,且有很收大效的时候。古人谓一言可以终身行,真有此理。要不是我老师的学问经济,如何能如此一语破的呢?”

    又曰:“我老师的秘传心法,有十八条‘挺经’,这真是精通造化、守身用世的宝诀。我试讲一条与你听:一家子,有老翁请了贵客,要留他在家午餐。早间就吩咐儿子,前往市上备办肴蔬果品,日已过巳,尚未还家。老翁心慌意急,亲至村口看望,见离家不远,儿子挑着菜担,在水塍上与一个京货担子对着,彼此皆不肯让,就钉住不得过。老翁赶上前婉语曰:‘老哥,我家中有客,待此具餐。请你往水田里稍避一步,待他过来,你老哥也可过去,岂不是两便么?’其人曰:‘你叫我下水,怎么他下不得呢?’老翁曰:‘他身子矮小,水田里恐怕担子浸着湿,坏了食物;你老哥身子高长些,可以不至于沾水。因为这个理由,所以请你避让的。’其人曰:‘你这担内,不过是菜蔬果品,就是浸湿,也还可将就用的;我担中都是京广贵货,万一着水,便是一文不值。这担子身分不同,安能叫我让避?’老翁见抵说不过,乃挺身就近曰:‘来来,然则如此办理:待我老头儿下了水田,你老哥将货担交付于我,我顶在头上,请你空身从我儿旁边岔过,再将担子奉还。何如?’当即俯身解袜脱履。其人见老翁如此,作意不过,曰:‘既老丈如此费事,我就下了水田,让尔担过去。’当即下田避让。他只挺了一挺,一场争竞就此消解。这便是‘挺经’中开宗明义的第一条。”云云。予尚倾耳恭听,谓当顺序直说下去;乃至此已止,竟不复语。予俟之良久,不得已始请示第二条。公含笑挥手曰:“这此一条,够了够了,我不说了。”予当时听之,意用何在,亦殊不甚明白;仔细推敲,大抵谓天下事在局外呐喊议论,总是无益,必须躬自入局,挺膺负责,乃有成事之可冀。此亦臆度之词,究不知以下十七条,尚作何等语法也。

    公又言:“我老师道德功业,固不待言,即文章学问,亦自卓绝一世;然读书写字,至老不倦。我却愧一分传受不得,自悔盛年不学,全恃一股虚矫之气,任意胡弄,其实没有根底。现在真实学问,已用功不进,只好看看《通鉴》,稍知古人成败之迹,与自己生平行事,互相印证,藉以镜其得失,亦尚觉有点意趣。”云云。于此正足见公之晚年进德,其虚心笃实为不可及。公又言:“国际上没有外交,全在自己立地。譬于处友,彼此皆有相当资格,我要联络他,他亦要联络我,然后够得上‘交’字,若自己一无地步,专欲仰仗他人帮忙,即有七口八舌,亦复无济于事。我从前初到上海,洋兵非常居奇骄倨,以为我必定全副仰仗于他,徘徊观望,意存要挟。他看见我们兵士外观蓝缕,益从旁目笑,道是一群丐子,如何可以打仗?我一迳不去理会,专用自己军队去打。打过几次,他看得有点能力,渐欲凑上前来,我益发不请教他。后来连打胜仗,军声渐整。见我不求他助,反觉没得意思,再三来告奋勇。我谓帮我打固是甚好,但须受我指挥节制,功赏罪罚,一从军令。彼亦一一认可,然后用之。果然如约服从,成了大功,戈登亦得盛名。我若自己军队不济,他决不肯出力相帮;否亦成喧宾夺主之势,不知要让他占了多少便宜。但当时还可独当一面,自由作主,又有我老师主持其间,所以能完全收效。后来地位虽高,却反无一事可以自主,内外牵掣,无过已算侥幸,安能更望有功耶?”

    公又言:“今人多讳言‘热中’二字,予独不然。即予目前,便是非常热中。仕则慕君;士人以身许国,上致下泽,事业经济,皆非得君不可。予今不得于君,安能不热中耶?”未几以贺英皇\[按:应为“俄皇”\]加冕出使,并顺道游历各国。以公之身分名位,此等使差,并不算一回事。然公意颇似非常愉快,尝向予等作得意语曰:“我办外洋交涉数十年,不敢谓外人如何仰望;但各国朝野,也总算知道中国有我这样一人,他们或喜欢与我见面谈谈,也是普通所有之事。究竟耳闻不如目见,我亦藉此周历一番,看看各国现象,可作一重底谱。在各国尚有许多老友,昔年均柄过国政,对手办事,私交上颇相投契的,现在多已退老山林,乘便相访一遭,亦是快事。”启节时,予等有十数人送之出东便门,在于家卫午尖,离城二十馀里。是日适有大风,扬沙撼木,车行极为困顿。抵卫时,有大、宛两县在此办差,就一民房外加扎天棚,即于棚中设席,合尊促坐。棚摇摇震撼作声,如欲拔地飞去。飞尘眯目,席间盘盂杯盎,悉被掩盖,几无物可以下箸。而公高谈健食,意兴豪举,谓吾自少年以至现在,凡有出门行动,非狂风即暴雨,海行则无一次不遇惊涛骇浪,不知何故。众或谀言中堂丰功盛德,所以雨师风伯,皆来祖道。公笑谓此则不敢,但吾当亦不至获罪于天,何以节节与我为难耶?频行,复环顾曰:“承诸君远道相送,厚意殊可感。予此次乃舆榇而行,万里长途,七旬老物,归时安必能与诸君重见?惟望努力前程,各自珍重。”众乃谓中堂精神矍铄,将来尚须主持国是,重作一番伟业。公亦笑而颔之。语虽沉痛,而神气并不沮丧,所以卒能平安返国,重膺柄用,式洽当时颂祷也。

    公平日神态和煦,语气亦甚肫挚可亲;而有时乃极严重,真有望之俨然即温言厉之致。其督直隶时,予曾与一卸任知县同见。公问其在县有何政绩?其人曰:“卑职识浅才迂,以勤补拙,不敢遽言政绩;惟裁革陋规一事,差觉为地方除一弊政耳。”公问何项陋规,何时裁革,何以我未见过该县详报?曰:“某项陋规,每年可得一千数百串,向来均无报销。卑职以为例外收入,法所不应,故决计为之裁革。业于日前通详大宪,日内当可上达钧览。”公即怫然变色曰:“尔在任已两年有馀,何以早不裁革,乃于临卸任始行详报?这明明是卖陋规,何谓裁陋规!贪壑已填,乃侵攘后任之所得,以博倍价而市美名,既玷官方,亦乖道谊,居心可谓巧诈。此种伎俩,岂能向我处尝试?我即日派委查办,如查得情实,立予揭参,不尔贷也!”其人赧然不能答。闻后来委查结果,果系于临去时向纳规者通说,要纳数倍之入,而以永远裁革、具文详报者。此令旋登白简,闻者莫不称快。

    公在直督时,深受常熟排挤,故怨之颇切,而尤不惬于项城。在贤良寺时,一日项城来谒,予亟避入旁舍。项城旋进言:“中堂再造元勋,功高汗马。而现在朝廷待遇,如此凉薄,以首辅空名,随班朝请,迹同旅寄,殊未免过于不合。不如暂时告归,养望林下,俟朝廷一旦有事,闻鼓鼙而思将帅,不能不倚重老臣。届时羽檄征驰,安车就道,方足见老成声价耳。”语未及已,公即厉声呵之曰:“止止!慰廷,尔乃来为翁叔平作说客耶?他汲汲要想得协办,我开了缺,以次推升,腾出一个协办,他即可安然顶补。你告诉他,教他休想!旁人要是开缺,他得了协办,那是不干我事。他想补我的缺,万万不能!武侯言‘鞠躬尽瘁,死而后已’,这两句话我也还配说。我一息尚存,决不无故告退,决不奏请开缺。臣子对君上,宁有何种计较?何为合与不合?此等巧语,休在我前卖弄,我不受尔愚也。”项城只得俯首谢过,诺诺而退。项城出后,公即呼予相告曰:“适才袁慰廷来,尔识之否?”予曰:“知之,不甚熟。”曰:“袁世凯,尔不知耶?这真是小人!他巴结翁叔平,来为他作说客,说得天花乱坠,要我乞休开缺,为叔平作成一个协办大学士。我偏不告退,教他想死!我老师的‘挺经’,正用得着,我是要传他衣钵的。我决计与他挺着,看他们如何摆布?我当面训斥他,免得再来啰唣。我混了数十年,何事不曾经验,乃受彼辈捉弄耶?”予见其盛气之下,至不敢更进一语,盖项城先固出公门下,颇受奖植;此时公在闲地,而常熟方得权用事,不免有炎凉去就之世故,故因怨常熟而并及之。其一时忿语如此,盖蓄之已久,非一朝夕间事矣。

    有一次,尤使项城难受。公自出使回国后,驻节天津,尚未复命。予与直省印委候补人员同起进见。其时项城已授直臬,尚未到任,专任练兵,以监司资格,当然首领班列。入坐后,寒暄数语,项城即面陈练兵事宜,谓现在部署粗定,德教习亦已选聘,日内订立合同。词尚未毕,公即勃然变色,举所持手杖,连用力顿地,砰作响,曰:“呸;小孩子,你懂得什么练兵!又是订什么合同!我治兵数十年,现在尚不敢自信有何等把握。兵是这样容易练的?难道雇几个洋人,抗上一杆洋枪,念几声‘横土福斯’,便算是西式军队么?”项城至面赭不能语。同班中皆直省僚属,甚难为情,群俯首不敢相顾视。盖项城时已隆隆然渐露头角,公若有意挫折之者。真可谓姜桂之性,老而愈辣矣。

    公自出使回国后,常自持一手杖,顷刻不释,或饮食作字,则置之座侧,爱护如至宝。此手杖亦颇有一段历史。先是公任北洋,有美前总统某君(忘其名)来华游历,公宴之于节署。美总统携杖至,公即接而玩之,反复爱弄不忍释。美总统似知其意,由翻译传语曰:“中堂爱此杖耶?”公曰:“然。此杖实可喜。”总统曰:“中堂既爱此,予本当举以奉赠;惟此杖为予卸任时,全国绅商各界,公制见送,作一番纪念者,此出国民公意,予不便私以授人。俟予回国后,将此事宣布大众;如众皆赞可,予随后即当奉寄致赠,用副中堂雅意。”公委曲谢之,后来亦遂不相闻。此次公游历至美,闻某前总统已故,其夫人尚在,独居某处。公特以旧谊前往访问,夫人甚喜,即日为公设宴,招致绅商领袖百馀人列席相陪。席散后,夫人即把杖立台上,当众宣告,谓:“此杖承诸君或其先德,公送先夫之纪念物。先夫后来旅游中国,即携此同行。当时李先生与先夫交契,见而喜爱。先夫以出于诸君公送,未便即时转赠,拟征求诸君同意,再行邮寄。未及举办,先夫旋即去世,曾以此事告予,嘱成其意。辗转延搁,已隔多年。今幸李先生来此,予敬承先夫遗嘱,请命于诸君,是否赞同此举,俾得为先夫完此夙愿。”于是满堂宾客,一致欢呼拍手,夫人遂当众以双手举杖奉公。公以此更为得意,故爱之独挚。此杖首间镶有巨钻,大逾拇指,旁更以小钻石环之,周围如一钱,晶光璀璨,闪闪耀人目。通体装饰,皆极美丽精致;殊不识是何质干,闻亦一种绝贵重之材料。据言以价格论,至少当值十数万金。其实公当时不过视同玩物,殊未辨其价值轻重,而美总统如此慷慨,亦属难得。此事与季子挂剑一段故实,颇约略相似;而一死一生,恰复易地相反。难得有此夫人,从中玉成。千秋佳话,中外辉映,可喜也。

    予于贤良寺时,伺公最久;出使回国后,亦数数见面,随时出入。未几,公即总制两粤,予亦就任怀来,南北暌离,无缘晋接。然每忆经年共处,声音笑貌,历历在目。此次天南返节,重镇畿疆,方喜随扈入都,可以重瞻色笑;不意大勋未集,梁木先颓,万古云霄,感痛宁有极耶?

    本日内阁奉上谕:“朕钦奉慈禧端佑康颐昭豫庄诚寿恭钦献崇熙皇太后懿旨,大学士一等肃毅伯直隶总督李鸿章,器识渊深,才猷宏远,由翰林倡率淮军,戡平发捻诸匪,厥功甚伟。朝廷特沛殊恩,晋封伯爵,翊赞纶扉,复命总督直隶,兼充北洋大臣。匡济艰难;辑和中外;老成谋国,具有深衷。去年京师之变,特派该大学士为全权大臣,与各国使臣妥立和约,悉合机宜。方冀大局全定,荣膺懋赏,遽闻溘逝,震悼良深。李鸿章着先加恩照大学士例赐恤,赏给陀罗经被,派恭亲王溥伟带领侍卫十员,前往奠醊;予谥文忠,追赠太傅,晋封一等侯爵,入祀贤良祠,以示笃念荩臣至意。其馀饰终典礼,再行降旨。钦此。”此虽照例文字,然当时流离道路之中,天下宗周,人心思汉,王言纶,犹为人所重视。秉笔者亦尚能称情达意,悱恻动人,捧读之馀,不觉为之感泣也。

    二十八日辰刻自荥阳启銮,行三十里至赵村尖。予于宫门侍班后,即前驱四十里至郑州。未至五六里间,有一车迎面而来,渐近视之,则奭召南观察也。观察上年任湖北荆宜施道,予抵鄂中,屡以书邀予前赴荆州,设宴款待,异常殷挚,并致厚赆。正在席间畅饮,忽得急报,乃为鄂抚于中丞参劾罢职,令人为之意索。此次盖由京来此迎銮者。奭为荣相门人,此来实受荣意,藉图开复。荣并嘱予于内奏事处为之左右。当晚间驾至郑州,有旨驻跸二日。

    二十九日,仍驻跸郑州。召见奭良。先是驾至汜水,升中丞迎驾后即乘马先行。忽有大车并轨奔驰,直冲前道,当令拿住。讯姓名,坚不肯说,即责以四十鞭。那王以前隙,乃奏参升允擅行鞭责宗室侍卫。盖此人固宗室侍卫,名海鸣。升亦奏辩,上派礼王查复。本日奉谕:侍卫海鸣,不应乘车奔驰,又不声明宗职,咎有应得;那彦图并未查明实情,率行具奏,迹近报复;该抚尚未查讯明白,即事鞭责,亦有不合。升允着交部察议。此后如有官弁、太监人等恃强滋事,仍着升允、松寿随时据实参办,不得因此案稍涉瞻徇云云。此案当时各报纸纷纷议论,大都右升而恶那,谓不应加升以处分。但那已被议在先,海又被责,受亏在前,亦藉此以平之也。

    三十日仍驻跸郑州。奉上谕:降调荆宜施道奭良,着开复降调处分,以道员发往江苏,遇缺即补。合浦珠还,予为之欣贺不置。是日奉旨,蒙赏予袍褂料,并燕窝、鱼翅、莲子、大枣、藕粉等食物。

    十月一日,辰刻自郑州启銮,行三十里至圃田尖;更行四十里,申刻至中牟县驻跸。

    初二日,辰刻自中牟县启銮,行三十里至韩庄尖,已入祥符县境;更行四十里,申正抵开封省城驻跸。阖省文武,均于城外迎驾。行宫陈设极壮丽,入内瞻仰一周,俨然有内廷气象矣。是日,庆邸自京师来此。当即召见,垂询都中情状甚悉。良久始退出,见予即呼至朝房,匆匆慰劳数语。予见其忙冗,亦即告退。本日谕:奉懿旨,皇太后万寿典礼,概行停止。

    由河南府洛阳县周南驿,至现在开封府祥符县大梁驿,计程四百五十里,沿途共历八天。

    初三日,驻开封。召见庆王。庆以李相遗疏递上。上谕:奉懿旨,略谓上年京师之变,该大学士忠诚坚忍,力任其难,宗社复安,朝廷攸赖。近日因病,迭经降旨慰问,该大学士力疾从公,忠靖之忱,老而弥笃,乃骤患咯血,遽尔不起。难危之交,失此柱石重臣,曷胜怆恸。前已加恩云云,着再赏银五千两治丧。立功省分,建立专祠;政功战绩,宣付史馆。伊子李经述,着赏给四品京堂,承袭一等侯爵;李经迈着以四五品京堂用,李经方服阕后以道员遇缺简放。伊孙李国杰,着以郎中即补;李国燕、李国煦着以员外郎分部行走;李国熊、李国焘着赏给举人,一体会试云云。忠勋遣荫,泽被一门。文忠之功固伟,朝廷之报亦隆,叠祉稠恩,有加无已。呜呼,可以劝矣!

    初四日,仍驻开封。召见庆王。是日奉谕:刑部尚书着张百熙调补;葛宝华补授工部尚书。又谕:户部右侍郎着陈邦瑞调补;刑部右侍郎着沈家本补授。

    初五日,仍驻开封。召见庆王。上谕:奉懿旨,奕劻着加恩在紫禁城内乘坐二人肩舆。普通皆用上谕,惟文忠及庆邸恩命均称懿旨,殆以旧勋宗望,特示优崇之意耶?

    初六日,仍驻开封。连日均召见庆邸,是日乃请训回京。午后予往谒送,谈及彼去年在怀来养病,予照料如何周至,极示感谢。并称予对于两宫之忠诚尽职,至以“疾风知劲草,板荡识忠臣”之语相奖,转令予为之赧赧也。

    初七、初八、初九日,均驻跸开封。

    初十日,仍驻开封。皇太后万寿,百官皆蟒袍补服,诣宫门外排班,行朝贺礼。午刻,司房太监首领传旨颁赏。予蒙赏给大缎二匹,江绸袍褂料一卷,并蒙加赉橄榄、鱼翅、燕窝、桂圆、藕粉、蜜枣糕等食物多品。衣料尚为例赏,馀物向惟亲贵大臣始得沾溉,予亦与及,可为逾格异数。

    慕韩观察时与王稚夔京卿同在军机处译电,寒夜服务,手僵指冻,甚为辛苦,乃此次竟未之及。予偶言之于李监,即蒙补赏匹头二件,予由司房代为领出,李监并当面慰劳之。

    是日,李浩斋丙吉自京师来,新援例入官,以直隶州分发直隶,此次由直隶承办皇差,总局派在宫门伺应。李君系予怀来任内延订幕友,履任时为予接受前任交代,嗣就他聘,乃举孙鹤巢明经自代。予去年仓猝随扈,后任未至,一切城防筹办及后来交代事宜,均由孙君代任其事。会计友王君济卿佐之,忠诚恳挚,极为得力。今王君已纳粟入官,得有差事。李、孙二君,亦同来大梁。劫后重逢,悲喜交集,连日沽酒畅谈,常至子夜。予仍延订孙君入幕,同赴广东,承欣然允可,为之快慰。

    十一、十二、十三、十四日,均驻开封。

    十五日,内阁奉上谕,略谓:政务处奏请饬各省速办学堂等语,建学储才,实为当今急务。查袁世凯所奏山东学堂事宜及试办章程,其教规程课,参酌中西,而谆谆于明伦理、循理法,尤得成德达材、本末兼赅之道。着政务处即将该署督原奏并单开章程通行各省,立即仿照举办云云。此一道上谕,实为吾国兴学之滥觞,不可谓非学界中一重掌故,亦数典者所当及也。

    十六、十七、十八、十九日,均驻开封。

    十月二十日,仍驻开封。是日上谕:奉懿旨,溥隽着撤去大阿哥名号,立即出宫,加恩赏给入八分公衔俸,毋庸当差云云。此事予前在西安面奏,太后曾有“尔且勿说,到开封即有办法”之谕,予以为一时权应之语,事过即忘。至此果先自动撤废,足见太后处事之注意。闻溥隽性甚顽劣,在宫时,一日德宗立廊下,彼突从背后举拳击之,德宗至仆地不能起,以后哭诉太后,乃以家法责二十棍。如此行径,何能承宗社之重?如废立早行,此次更不知闹成何等世界也。平日对诸宫监,亦无体统;众皆狎玩而厌恶之。奉谕后,即日出宫,移处八旗会馆。太后给银三千两,由豫抚松寿派佐杂三员前往伺应。随身照料者,只有一老乳媪。出宫时,涕泪滂沱,由荣中堂扶之出门,一路慰藉,情状颇觉凄切。宫监等均在旁拍手,以为快事也。

    十二月初二日,至开封。二十日废溥俊,仍食八分公衔俸,即日出宫。(李记)

    二十一日,仍驻开封。是日奉谕:派庆邸等会同前步军统领看视紫禁城值班兵丁奖赏。

    二十二日,仍驻开封。

    二十三日,仍驻开封。是日奉上谕:安徽巡抚着聂缉榘调补,恩寿补江苏巡抚,陈夔龙署漕运总督。

    二十四日,仍驻开封。是日奉谕:明年会试,着展至癸卯举行;顺天乡试,于明年八月间暂借河南贡院举行;河南本省乡试,着于十月举行;次年会试,仍就河南贡院办理。在如此仓皇播越之中,而对于下年之乡、会试,尚复兢兢注意,足见当时视取士之典,尚为郑重,犹有汲汲求贤之遗意也。

    二十五日,仍驻开封。是日奉上谕:核定学堂选举奖励章程。学校毕业之有举人进士名目,即始于此。

    二十六日,仍驻开封,召见升允。盖升帅预备恭送启銮后,即自开封回任也。

    二十七日,仍驻开封。

    二十八日,仍驻开封。是日谕:奉懿旨,以回銮在即,班赏有功人员。李鸿章着再赐祭一坛,伊子李经迈以三四品京堂候补;庆亲王奕劻,赏食亲王双俸;大学士荣禄,赏戴双眼花翎,并加太子太保衔;王文韶赏戴双眼花翎;两江总督刘坤一加太子太保衔;湖广总督张之洞、直隶总督袁世凯,均加太子少保衔。馀如联芳、那桐、张翼、周馥等,均升赏有差。

    二十九日,仍驻开封。

    三十日,仍驻开封。召见醇王,赐膳。

    十月初一日,仍驻开封。是日奉上谕:盛宣怀、赫德,均赏加太子少保衔。外人加宫保衔,于此为创典矣。

    初二日,仍驻开封,召见醇王、升允。

    自西安以至开封,予奉命办理前站,对于所过地方承应官吏,无不为之格外斡旋,因皆浼予提点一切。凡遇为难之处,予悉为之负责。执事宫监,亦不敢十分挑剔。在地方既省无数烦费,而差事转易就绪,因皆感激不置。予若仿岑办法,与内监联络一气,本可以大有生发;而予丝毫不敢有所沾溉,即从人夫役,均刻意检束,不敢稍招声气。至陕州时,晤颜小夏观察由湘中解送贡品来此,一见即握手曰:“君充偌大差使,顶括括的吴大人,吾谓必辉煌显赫,无人不晓;乃到处找问,竟似若有若无,不甚知道的光景。热官冷做,难为君做到如此无声无臭,真令我五体投地矣。”然予竟以此故,赔累至数万金,反搅成满身债负。处膏不润,在旁人咸笑为大愚,不过反之于心,固聊觉安帖无愧耳。

    随扈诸亲贵内监,于予虽勉强对付,尚无恶感;然总觉事事夹在其间,为彼障碍,致不能有所生发。枢臣中亦皆嫌予木强迂腐,不善逢迎仰体,总得离开辇道为快。内外合谋,又似前在太原光景。不知如何摆布,竟入彼辈彀中矣。

    车驾自开封启跸之前数日,忽自内廷传旨:吴永着迅赴广东新任,毋庸随扈云云。予奉命之下,始知受彼等排挤;但念既无所图利,亦无所瞻恋,跳出是非窠,于计亦得。遂将募雇夫役马匹,一一解散,结束经手事件,预备即由开封挚眷首途矣。

    俞梦丹君启元,亦同在“毋庸随扈”之列,彼系以道员分发江苏。同日于便殿召见,太后意殊惓惓,谕谓:“尔两人患难相从,跋涉数千里,异常劳苦。今回銮各事,具有端绪;此去京师,为途已近,途中亦无甚事可办。徒累尔等重滋劳费,予心甚感不安。所以且令毋庸随扈,藉可稍资休息。惟是相处日久,一旦遣去,殊觉难堪耳。”稍停,又曰:“吴永,汝忠勤可嘉。汝今远去,予实非常惦念。”言次,以绯色绉帕频频拭泪,复言:“古人君臣知遇,辄称感激涕零,今始知并非虚话。想汝此去,心中当亦未能释然,此真够到资格矣。但予亦不得不放汝去。”言下之意,似谓此事出于军机主张者。继又曰:“汝且先到任亦好,吾知一年以来,汝亦尽够赔累矣。启元,汝亦可料理引见到省,此是正经事。”予两人均叩头谢,旋奉恩赏御笔“福”字各一方,银各千两;予又蒙皇太后特赏太夫人御笔“福”字一方。恩意稠叠,令人不能不生感激。太后意谓粤中著名繁富,一经到任,即可满载,可以籍资弥补。不知广东道缺,自张文襄裁撤规费后,癯瘠已甚,雷琼道每岁所入,实不过一万一千金,高廉、惠潮等缺,仅七八千耳。

    予虽奉命赴任,然仍谕俟大驾启跸再行。即以人情论,一切差务亦不能便尔弃置勿顾。一方自饬行事,一方又须兼顾宫门。此两日中,上自两宫、王公,以及随扈大臣、宫监、部署司员,均须检束行李。全城纷扰,一如在西安启銮时。打捆者,扛抬者,传夫者,索马者,纷纷扰扰,喧呶不绝。地方办差人员,无法应给,以予接洽有素,仍事事向予哓聒。而自己又须趁此赶办赴任手续,领文凭,谒吏部,公私交迫,忙碌殆不可言状。是时大冢宰为寿州孙公家鼐,少宰为浙江陈公邦瑞,司员则丁君衡甫、蒋君稚鹤也。

    十一月初三日,天气忽变,风霰交作。予念明日为启銮之期,万一风雪不止,非特扈送人员诸感困难,且虑黄河浪涌,銮舟不得安渡,则千乘万骑,顿滞河干,势将无法安置。在事人员大率同抱此杞忧,但又不得不照旧预备。是日中,予冲风冒雪,往来奔走,几无顷刻停趾,至竟夜不得休息。视天色向曙,始拨冗趋赴荣相寓邸,一行辞别。盖荣相待予颇厚,彼北辙而予南辕,自兹一别,动经年岁,不能不一申临歧之意也。荣相亦正备启程,乘舆已驾,门内外均鹄立伺候。匆促出见,词意甚殷渥,谓:“君既定南向履新,咱们异日须在都中把晤矣。”予谓:“岭海万里,从此瞻天路远,正恐趋侍无期。”曰:“这何至此?”予曰:“道缺循例须六年俸满,始可送部引见。法令所定,安能自由?”曰:“尔尽放心前去。要回京都,这还不容易么?早则年底,迟则明春,准可在都相见。暂时小别,勿惓惓也。”予伺送之升舆,立即飞驰出城,至黄河岸口,勘视辇道船渡。适瞿大军机随后至,于黄幄外相值。瞿曰:“渔川何来?”予谓:“来此照看河渡。”瞿又问:“曾见荣相否?”予曰:“适从荣相寓中来。”曰:“荣相何言?”予曰:“匆匆并无他语。”瞿曰:“总有数语。”予即以所言者具述之。瞿即含笑点首曰:“好好,既是荣相说过,旦晚许可陛见,那是准靠得住的。大喜大喜,今年内定可回京相见也。”盖予彼时全不识官场机械,直心爽口,一无隐讳,不意瞿固疑予厚荣相而薄于彼,以此探予,予顷所言,适触其忌。后来瞿之屡相阻厄,其几即始于此。少年粗率,自招其咎,真俗所谓“冒失”者也。

    卷五

    慈禧自开封回京。

    自庚子七月二十四日两宫西奔,至辛丑十一月初四,凡一年三月一旬。

    十一月初四日,巳刻,两宫圣驾自河南开封行宫启銮。扈送仪节,略如西安;而各省大员多半趋集,或则派员祗候,故人数教益多,羽林仪仗,益觉整齐鲜耀。最可喜者,天气忽而开霁,旭日当空,融风四扇,六飞在御,一尘不惊。沿途旌盖飞扬,衣冠肃穆,但闻马蹄车齿,平沙杂沓声,互相应和。出城后,遥望河干,则十里锦城,千军荼火,仿佛如万树桃花,照春齐发。午正,大驾行抵柳园河岸。皇太后、皇上同入黄幄少憩,旋出幄,设香案炷香奠爵,先祭河神。祭毕撤案,即步行登龙舟。文武官员、绅民父老,一体于河岸俯伏跪送。予与粮台诸员共为一起,均随升中丞跪伏道左,仰见太后面有喜色。两宫上御舟后,随扈官员、宫监兵役,以次登舟;旋于舟次传进御膳。时则天宇澄清,波平如镜。俄而千桡并举,万桨齐飞,绝似元夜鳌山,一团簇锦,徐徐移动,离岸北向。夹道军民,欢呼踊跃,举头延伫,望舟傍北岸,方始一同散队,分途遄返。

    予前时被命赴任,并不感何等觖望。至于此际,则长安日远,目与云飞,依依恋恋之心,殊发于不自觉。人情于友朋久处之后,一时分袂,犹且黯然不释,况于君父。方知古人江湖魏阙,无君则吊,固确有此种情景,并非文人缘饰之词也。

    自往岁七月二十四日,在怀来榆林堡迎驾,始获仰见两宫,至于现在,已阅一周岁馀三月有一旬。中多奉命奔走,近依行幄者,先后不满五月。自西安启跸,至于本日为止,凡历七十日,计程一千三百馀里,殆无一日不在属车之列。无端而合,无端而离,人海抟沙,分皆前定。遇合之缘,殆从此而止;扈从之责,亦即从此而终。渡河以后,一路行程,予皆望尘弗及,不复与闻矣。

    按:本编以西狩一事为主干,而渔川随扈回銮,仅至此处为止。故自渡河以后,均未述及,不免使阅者稍感缺憾。适得残书十馀页,似系回銮行在之《宫门抄》,自开封至京一段行程,颇为完具。因亟节抄附录于此,俾完首尾。并检他书记载,考其时日,分别附入一二事实以资点缀。仍仿日记体裁,视前后较低二格。用以别于正文。予序中已声明不能衔接之故。排印将及,无意得此,若有意玉成吾书者,滋可喜也。甓园附识。

    辛丑十一月初四日,巳刻。皇上奉皇太后由河南开封府行宫启跸。午刻,驾至柳园,祭河神毕,登舟。河南官员不随扈者,均于河岸跪送。旋在舟中进膳。申初舟抵北岸,申正至新店行宫驻跸。

    初五日,由新店启銮。申正二刻至延津县行宫驻跸。按延津属河南卫辉府,古酸枣郡也。

    初六日,驻跸延津。

    初七日,由延津启銮。申正二刻,行七十里,抵卫辉府驻跸。按卫辉即古朝歌地。是日召见总兵朱南穆、道员袁鸿祐,问豫中营伍地方情形甚悉。

    初八日,由卫辉启銮。行五十里,至淇县驻跸。

    初九日,自淇县行宫启銮。申刻抵宜沟驿驻跸。按宜沟驿属淇县境,离县城五十里。召见陈夔龙。是日上谕,奉懿旨,略开:本月初四日由柳园渡河。天气清明,波平如镜,御舟稳渡,万姓胪欢,实赖河神效灵,自应崇加封号以答神庥,着礼部具拟云云。又谕:河干供差各员,着松寿查明保奖;水手人等,着赏银二千五百两。

    初十日,由宜沟驿启銮,申正抵彰德府驻跸。傍晚传旨:十一日驻一日,定于十二日并站前进,至丰乐镇午尖,磁州驻跸。召见陈夔龙。是日奉谕:着陈夔龙补授漕运总督。

    十一日,驻跸彰德府。

    十二日,自彰德启銮,驻跸磁州。召见效曾、陈夔龙。

    十三日,由磁州启銮。至邯郸县驻跸。召见大名镇总兵方国俊、大顺广道庞鸿书。是日,上谕:奉懿旨,略开:奕劻等奏据大学士功德在民,恳恩建立专祠一摺。京师建立专祠,汉大臣皆无此旷典,惟该大学士功德迈常,自宜逾格加恩以示优异。李鸿章着于京师建立专词,列入祀典,由地方官春秋致祭等语。

    按:汉臣于京师向无专祠,足见前时旗汉界限之分明。文华殿向来亦不轻授汉人,惟文忠以资深跻首辅。今又得此,可谓两邀旷典矣。

    文忠平发平捻,于清室实有再造功。乃晚年屏居贤良寺中,虽挂首辅空衔,实际乃同闲散。抚髀生肉,罗雀当门。前闻渔川所述,可谓侘傺无聊,大有末路英雄之慨。后虽持节粤中,在朝廷亦不过敷衍旧勋,恩眷已薄。假无义和团一段历史,此时一疏告终,一谕优恤,功臣传中,即已从兹结束矣。乃无端忽簸此掀天巨浪,清廷环顾左右,始觉斡旋大局,非公莫属;遂汲汲征召还朝,付以全权。承平则庸佞擅其威福,急难则贤哲受其艰危,古今一概,此固极人世不平之事。然公当时若尚留滞京邸,必为端、刚所戕。幸而先期远出,天若预为道地,故慭遗一老以结逊清之残局者。迄和约粗就,公亦骑箕。清廷以大局尚未十分安全,中流失船,虽觉徬徨罔倚;即一时朝士,亦多作此感想。故对公不胜惓惓,恩纶恤命,至再至三。项城安车再召之言,与公鞠躬尽瘁之誓,至是乃两皆实验。其死也哀,可谓适当其时矣。但有人言公当议和时,外人方挟愤气以相凌,公又处于无可抵抗之势,磋磨条件,极费唇舌;而枢廷犹以公争持不力,责难备至;忍气从事,郁抑过甚,乃至咯血。则晚遇亦甚可伤。然循迹观之,生极宠荣,没隆报享,君臣一德,恩礼始终,固已成一时佳话矣。

    予生平未见文忠,然无意中却有一面,至今印象犹在脑际。前清同文馆即设在总署。予一日偶从馆中偕两教习同过总署访友,经一客厅后廊,闻人声嚣嚣,即从窗际窥之。见座中有三洋人,华官六七辈,尚有司官翻译,皆翎顶辉煌,气象肃穆,正议一重大交涉。首座一洋人,方滔滔汩汩,大放厥词,似向我方诘难者,忽起忽坐,矫首顿足。馀两人更轩眉努目以助其势,态度极为凌厉。说毕由翻译传述,华官危坐祗听,面面相觑;支吾许久,始由首座者答一语,声细如蝇,殆不可闻。翻译未毕,末座洋人复蹶然起立,词语稍简,而神气尤悍戾,频频以手攫拿,如欲推翻几案者。迨翻译述过,华官又彼此愕顾多时,才发一言;首座者即截断指驳,其势益汹汹。首末两座,更端往复,似不容华官有置喙馀地。惟中座一洋人,意态稍为沉静;然偶发一言,则上下座皆注目凝视,若具有发纵能力。而华官之复答,始终乃只有一二语,面赪颜汗,局促殆不可为地。

    予当日见此情状,血管几欲沸裂。此时忽闻外间传呼声,俄一人至厅事门外报王爷到。旋闻足音杂沓,王爷服团龙褂,随从官弁十数,皆行装冠带,一拥而入,气势殊烜赫。予念此公一来,当可稍张吾军。既至廊下,则从者悉分列两旁,昂然而入。华官皆肃立致敬。顾三洋人竟视若无睹,虽勉强起立,意殊不相属,口中仍念念有词。王爷先趋至三客座前,一一握手,俯首几至膝上。而洋人傲岸如故,王爷尚未就座,即已厉色向之噪聒。王爷含笑以听,意态殊极恭顺。

    予至此已不能复耐,即扯二人共去,觅所识友人,告以所见。吾友曰:“中堂在座否?”予曰:“吾不识谁为中堂。”曰:“李中堂也。中堂在此,当不至是。”予乃约其同至故处,友逐一指认,告姓名,曰:“中堂尚未至也,然今日必来。盍再觇之。”予亟盼中堂到。俄顷复闻呼报,予以为中堂至矣;乃另为一人,仍趋与洋人敬谨握手,即逡巡就坐。予乃大失望。

    正于此际,续闻呼报,一从者挟衣包,先岔息趋入,置于门外旁几。吾友曰:“此必中堂。”既而中堂果入门,左右从者只二人;才入厅数步,即止不前。此时三洋人之态度,不知何故,立时收敛,一一趋就身畔,鞠躬握手,甚谨饬。中堂若为不经意者,举手一挥,似请其还座,随即放言高论,手讲指画。两从人为其卸珠松扣,逐件解脱,似从里面换一衷衣,又从容逐件穿上。公一面更衣,一面数说,时复以手作势,若为比喻状。从人引袖良久,公犹不即伸臂,神态殊严重。而三洋人仰面注视,如聆训示,竟尔不赞一词。喧主夺宾,顿时两方声势为之一变。公又长身玉立,宛然成鹤立鸡群之象。再观列坐诸公,则皆开颜喜笑,重负都释。予亦不觉为之大快,如酷暑内热,突投一服清凉散,胸间郁火,立刻消降。旋以促饭引去,始终不知所议何事,所言何词。但念外交界中,必须有如此资望,方称得起“折冲”二字。自公以外,衮衮群贤,止可谓之仗马而已。

    公此时虽在总署,已无实权。而自外人目中,则独尊公为中朝领袖。盖勋名威望,得之有素,非可以袭取者。昔人谓国家不可无重臣,文富所以镇外夷,汾阳所以退突厥,亦皆赖此作用。惜清廷不能利用此点,使公得尽其设施;急来佛脚,抱之已迟。然庚子一役,若无公在,更有何人足以当此重任耶?

    吾友因为言中堂一到即更衣,我已见过两次,或者是外交一种作用,亦未可知。同人皆大笑之,谓如此则公真吃饭穿衣,浑身皆经济矣。语虽近谑,而推想亦不无致理。汉高踞洗而见郦生,亦先有以慑其气也。庚子难作时,予闻公被召入都,即向人庆慰,谓决有斡旋之望,当举此事为证,果如所料。予于文忠,亦庶几可谓之窥见一斑者矣。

    十四日,由邯郸启銮,申刻抵临洺关驻跸。召见陆宝忠、岑春煊等。奉旨:明日驻跸一天。

    十六日,驻顺德府。召见直隶总督袁世凯。因垂询铁路事宜,召见铁路局员柯鸿年等。

    十七日,自顺德府启銮,未刻驾抵内邱县驻跸。见袁世凯、松寿、张翼。

    十八日,由内邱县启銮,申正抵柏乡县城驻跸。是日奉上谕:甘肃平罗县匪徒伤及教士案内疏防各官,先行革职,勒限缉获。并饬各属教堂教士,认真保护。又谕:奕劻等奏美国使臣请将张荫桓开复等语;已故户部左侍郎张荫桓着加恩开复原官,以昭睦谊。又谕:徐会沣、陈璧奏察看工艺局情形一案,据周馥代奏,已革侍读学士黄思永,请将京师义仓收养游民、创立工艺局招股创办等情,着于京师内外城各设工艺局一区,招绅筹办,由顺天府督率;黄思永所请招股设局,着不准行。

    按:张荫桓并未革职,“开复”二字,实无根据。但此犹不过前此上谕中文字之疏漏。中国之官,何以由美使奏请?即使徇美使之请,上谕中亦何必叙明?结尾“以敦睦谊”四字,尤为多赘。开复本国处分人员,于睦谊上有何关系耶?从前因其与外人相识而杀之,杀固杀得无理由;此时又因其与外人相识而复之,复又复得无根据。吁嗟张公,何不幸而与外人相识,抑又何幸而与外人相识耶?

    渔川述公遗事,尚有一事未及。谓公在戍所时,忽于门前构造一亭,以此处地势稍高,足资登览。亭成请名,一时思索不得,因适在墙角,遂以“角亭”名之。后来即于此亭行刑。说者谓“角”字为“刀下用”,谶兆无端而适合。据此言之,则吉凶生死,某时某地,早有前定,冤在夙业,亦无事为公抱屈也。

    渔川又言:公临刑之前数时,已自知之。忽告其从子,谓尔常索我作画,终以他冗不果,今日当了此夙愿。即出扇面二页画之,从容染翰,模山范水,异常缜密,盎然有静穆之气。画毕就刑,即此便为绝笔。此真可谓镇定,盖公之得于道者深矣。

    张、黄两公,皆以殿撰而办实业,又皆同时先后措手,提倡颇早,实为吾国工商界中开一生面。张公创办于南方,黄公创办于北方。顾南通以此立大名、成大业、跻大位,群奉为全国实业泰斗。而黄公先以此故,几蹈不测之诛。回銮以后,风气已转,凡稍习新法者,皆骎骎柄用。而殿撰一蹶之后,竟不复振。观于此谕,若尚含有馀愤者,用其策不用其人。直至民国以来,国内谈实业者,亦从不闻道及。幸不幸之相去,何其悬绝若此耶?

    十九日,自柏乡启銮,申正抵赵州驻跸。召见正定镇总兵董履高。

    二十日,自赵州启銮,申刻抵栾城县驻跸。是日奉上谕:桂春着开去右翼总兵。

    按:桂春当是旗员中漂亮人物。袁忠节疏稿中颇推重之,则其人可知。后来有人谓庄王府中查出册子,带团诸人中列有其名,因此颇将追究。赖庆、荣两人为之疏解,所以仅开去总兵而止。当时报纸上载有彼致谢庆、荣一信,极力辩白,以带团谕旨中并无其名为根据,谓彼系二品大员,非请旨不能派,不见谕旨之小头目,则于彼不相当云云。所言当系实在,然足见当日之风声鹤唳。前此怕沾染通洋嫌疑,此刻又怕沾染着通匪色彩。彼一时,此一时,大官真不易为也。

    二十一日,自栾城启銮,申刻至正定府城驻跸。召见恭亲王溥伟、岑春煊等。奏事处传旨:明后日驻跸二天。是日奉上谕:二十八日回宫后,即恭诣各祖先殿谒告,并遣官分谒各坛庙及东、西陵。又谕:奉懿旨,东、西陵理应亲谒,着于来春诹吉,率皇帝祗谒,务应破除常格,减节供亿。又谕,奉懿旨,大意系诫饬臣工,以安不忘危,痛除粉饰,君臣上下,同心共济等语。又谕:奉懿旨,回宫后,皇帝于乾清宫择日觐见公使,太后于坤宁宫觐见公使夫人。

    按:觐见礼节,历来不知曾废几许争论。此番和议,亦列为重要条件,反复磋磨,颇滋唇舌。此等节目,本无矜持之必要,乃前此看得十分郑重,无论如何不肯将就。此刻乃终于惟命是听,更格外要好,添出夫人一道礼数。受罚不受敬,真不值矣。

    二十二日,驻正定。召见夏毓秀、吕本元等。

    二十三日,驻正定。召见岑春煊等。是日奉上谕:将甘肃教案凶犯四人正法,仍严拿馀犯,又谕:浙江学政着张亨嘉去。

    二十四日,巳刻自正定府启銮,改由铁路北上。两宫分乘花车,于午正一刻驶抵定州,在铁路公司传备御膳;申刻抵保定府驻跸。

    二十五日,驻保定。召见庆亲王、梅东益、郑沅、唐绍仪等。

    按:庆王前曾至开封迎驾,复还京师;现又至保定迎驾,并报告和议进行情形及都中情状也。

    二十六日,驻保定。召见周浩等。是日奉上谕:原任户部尚书立山、兵部尚书徐用仪、吏部侍郎许景澄、内阁学士联元、太常寺卿袁昶,该故员等子嗣几人,有无官职,着吏部迅即咨查声复。

    按:谕旨所列,皆拳案冤杀之大臣,何其多也!但当时盈廷济济,深知纵拳开衅之大害、而其位分又足以建言者,殆将百倍于此。顾皆隐情惜己,自安缄默。其能批鳞抗议、发抒正论者,乃止有此数公,抑未免于见少矣!可知疾风劲草,固自不易。诸公先已有旨昭雪开复,至现在复有此谕,闻系根于外人之公论,庆王新从京中带来之消息,而汲汲发表者也。误杀忠良,亦国家常有之事。既已是非大著,则褒忠旌直,分当破格优恤,用以惩前失而劝将来。乃反待外人之置词,枝枝节节,若有不得已而为之者,盖孝钦心病所在。只因当日外交舆论多右德宗,乃认定外力消长,即为帝后权力消长之关键;故疑当时主张剿拳不战之人皆党于德宗而为彼之政敌,以此始终耿耿。虽迫于众议,勉强湔雪,实非本心。秉笔者揣摩其意,对于此种上谕,皆若吞若吐,使人读之不快。然以孝钦当日之权力,如此不愿,而终不能不出于昭雪,且至于由一而再,则又以见斯民直道之公,本乾坤正气之所宣泄,其潜力又远出于专制君主之上也。

    二十七日,驻保定。召见绍昌、张莲芬、杨士骧、马金叙等。

    二十八日,十点二十五分,自保定行宫启銮。铁路局特备火车一列,共二十二辆;计上等花车四辆,皇上、皇太后各用二辆;又上等客车一辆,皇后御用;其馀各宫嫔及亲王、大臣、福晋、命妇、内监,分乘各车。花车中均以黄貂绒、黄缎铺饰,所有御用磁器碗盏,均由盛宣怀预备呈贡,上皆有“臣盛宣怀恭进”字样。车站两旁,扎有彩棚三十座,前两棚为直隶督宪、监司候送休息之处,馀皆以印委官一人主之,备送迎官员憩候。开驶时,军队擎枪奏乐。十一点二十五分,驾抵丰台。接驾各系官暨铁路洋员,均于站次迎迓。车停一刻钟,于十一点四十分开行;十二点正,抵马家堡车站。先期由步军统领衙门、顺天府五城御史拟定迎銮王公、百官、绅民、营队等接驾处所,绘图贴说,呈经庆邸阅定,由内阁留京办事处进呈御览。计分画如下:

    黄幄迤西自芦沟桥至丰台、马家堡,由马提督、姜提督兵队接连沿途跪接。自丰台至正阳门,由步军五营兵队分段跪接。

    黄幄迤东自马家堡至永定门外,由左右营弁兵、五城练勇分段跪接。

    黄幄南向全权王大臣军机处留京办事大臣跸路大臣内务府三院,銮仪卫侍卫处顺天府五城街道各衙门

    永定门内东至天桥王贝勒贝子公爵宗人府中书科吏、礼、刑三部理藩院通政司翰林院詹事府太仆寺鸿胪寺钦天监八旗都统各衙门

    永定门内西至天桥王贝勒贝子公爵内阁外、户、兵、工四部仓场都察院科道大理寺太常寺光禄寺国子监八旗都统各衙门

    八旗十二固山参佐领护军统领火器营健锐营圆明园护军营以上各官弁均排列石路东西跪接。

    绅士排列石桥迤北一带,候补官排列天桥迤北一带,废员排列东西珠市口迤南一带,耆民排列东西迤北一带,五城练勇分列大栅栏、鲜鱼口、打磨厂、正阳桥各地。

    火车抵马家堡,稍停;旋见军士擎枪奏乐。两宫先后下车。皇上御八抬黄缎轿,舁轿夫均穿紫红色缎绣花衣,四围由侍卫、内监拥护,轿前排列兵丁、乐工、大旗;次为御用之衣箱、马匹、驮轿;次为骑马从人;次弓箭手、长枪手、马步兵。皇太后黄轿仪仗,均与皇上相同。又次则为各亲王、宫嫔,由马军门玉昆拥护。殿以皇后,同御黄缎轿,仪仗随从,视两宫稍减。宫嫔则用绿轿一顶,马车六辆。末后车马甚多,大抵皆随扈官员,内有穿黄马褂者八人。西安启銮前数日,四军机均赏黄褂;在开封又特赏数人;大约均备回銮仪饰之需。既入永定门,遵新修御道,缓缓而行。日映鸾旂,风吹羽盖,天仗极为严整。沿途文武官弁,鸳班鹭序,东西衔接,皆鞠躬俯伏,肃静无声,但闻马蹄人迹,络绎不绝。约未正五十分,始抵正阳门。尚有留京洋兵,同在城上观看,有脱帽挥拂以示敬礼者。太后在舆中仰视,似以含笑答之。大驾一直进大清门。未初入乾清宫,即先诣关帝庙行礼。从官仪仗,始各以次散队。经年播越,劫后归来,城郭依然,人民如旧,两宫此际,不知作何感想耶?

    大驾既已北上,予乃一意南行。自柳园送驾回省,即打叠赴粤之事。部署十馀日,行事粗饬。乃以是月十五由开封挈眷南行,取道尉氏、襄城、许州、叶县,以二十三日抵南阳府。时沿途各地,颇多盗警。承襄阳道余观察派马队八人前来护送。惟南阳境内较为安静。今总揆之太翁洁泉先生时方任南阳令,闻为政极仁厚,而缉捕独勤。故南阳人民异常爱戴,途中所过村落市肆,均啧啧称颂不置。予到南阳,正以捕盗下乡;次日回署,始获晤谈,极为欣惬。闻又捕得剧盗数人,盖平时布置周密,民乐为用,来即破获。故以后群盗相戒不敢入南阳境。闻先生历任繁剧,悉皆如此。当时河南全省州县,称治行第一。宜其积善庆门,缦龄骈祉,遐福固未艾也。

    自南阳启程,过新野、襄阳,入湖北境。余观察先遣人邀寓道署,予谢不往。仍挈内眷入署,晋谒太夫人;盖予上年续娶,本由观察作伐也。在襄阳住五日,获晤各当道,谈宴极欢。旋改从水道行,由襄阳雇舟,直至汉口。过武昌小住,遂即浮江东下,竟在轮舟中度岁。以壬寅元旦,始泊椗上海。抵上海未几,即感病颇剧;盖积劳经年,至是并发,故淹缠不得速愈。直至是年五月初,始稍稍痊可。乃由沪附轮抵省,中途延滞,已将半载矣。

    是时粤督为陶文勤公模,巡抚为静山德寿。予谒见督抚后,始知高廉钦道信勤,调补雷琼道,予即补其遗缺。随即奉文到任。高廉道驻高州,与广西接界,寇盗充斥,极为难治。予在任三年,幸无陨越。已而调署雷琼,旋即补实。未及一年,又奉旨调授惠潮嘉道。予初未将丝毫活动,无端改授,不知何故。殆上意以为潮州膏腴之地,藉示调剂。不知潮州府乃为著名优缺,至道缺所入,仅与高廉等,尚不如雷琼也。

    予久任边缺,地偏心静,亦颇安之若素。属僚朋旧中有知予事者,均极力怂恿,谓难得有此恩眷,若稍尽人事,封疆旌节,操券可得。否则主眷虽厚,而左右莫与为助,因循延误,或且终成画饼,岂非辜负?现在朝局已成互市,无价之物,终不可得。难得公根柢如此,较之他人,定当事半功倍。小往而大来,倍称之息,何乐不为?予曰:“知之。但予守此瘠区,自给不暇,何处得金而辇之?”则曰:“此甚易集,公如有意,某等均可为力。”盖当时各地票号皆殷实,喜作此等营干,择人而之,贷巨本以图厚息。以予为希望最大之主顾,若挪移一二十万,立可允许。且有相兜揽者,予皆委婉谢却之,曰:“诸君盛意良厚,但予家世儒素,不敢图非分富贵。今虽一麾久滞,然较之广文苜蓿,为幸已多。但盼能安常守顺,尽吾职事,不生意外波折,则于吾愿已足。穷达有命,听之可也。”

    亡何,而意外魔劫,忽尔飞集。予在高廉甫一年有馀,岑春煊忽自川督调两广。冤家路窄,竟尔相逢,此真梦想所不到者;顾又无法规避,只得坐以听之。迨余调雷琼,果以白简相饷。通摺参劾十一人,列予于首,而处分乃甚轻微,仅请开缺送部引见;馀十人则皆情节重大,有革职,有永不叙用,甚至有查抄遣戍新疆者。盖彼用意殊甚深刻,知太后对予尚有恩眷,乃以予与重咎诸员并劾,且列之于首,而故轻其处分,一似予必有狼藉不堪之情状,而彼特仰体上意,曲为回护,从轻发落者;一则以后列名诸员,既处分重罪,必皆有确切事实,不能不究;予既列在首简,决不能越次而独罪其馀。轻罚则易于曲从,首列则难以独置——虽轻轻夹带,而专精营注实,挟有必得而甘之积愤。吁,可畏也!

    其时瞿相已当国用事,与岑颇通声气。太后得摺后,即交军机阅看,询如何办理。瞿已窥见太后词态,有犹豫意,即正色陈奏曰:“国家二百馀年制度,凡疆吏参劾属员,殆无有不允所请者,当然应照例办理。”太后婉语曰:“吴永这人甚有良心,想彼做官必不至于十分过坏。此摺我且主张留中,如何?”瞿复奏曰:“岑春煊所拟吴永处分本甚轻,送部以后,太后如欲加恩,仍可酌量起用。摺中尚有馀人,情节重大,似未便因吴永一人而将全摺一起留中,于国家体制,恐有不合。”太后意微愠,曰:“我只知道吴永这人很有良心,他做官一定不能错的。象吴永这样人,岑春煊都要参他,天下可参之官多矣!岑春煊向喜参人,未必一定情真罪当。此摺我总主张留中。”言毕以手微拍作声。瞿复挺奏数语,持之甚力。太后乃勃然变色,曰:“难道岑春煊说他坏的人便准定是坏了么?我知道岑春煊的话并不十分可靠,我知道吴永是不坏的,我因吴永推想馀人,亦未必一定准坏。”即以手用力连叠拍案,曰:“留中,决计留中!我决计留中定了!”瞿乃不敢复语,遂将全摺一并留中不发,而其馀十人亦竟以无事。予当时梦梦,并不知情;戊申入都,始闻悉底蕴,盖庆邸以告陶杏南转以语余者。岑、瞿两公,乃用搏象全力以搏兔,而竟得免膏牙爪,太后于予保护之恩遇,不得谓为不深矣。

    岑在粤督任内,凡参罢文武大小官员至一千四百馀人,因而获罪者亦数百人,非但睚眥必报,即素所受恩庇者亦皆以怨报之,狠心辣手,绝是不留馀地。论者谓彼对予方先以此尝试,如得允开缺,势必尚有下文,盖彼毒予至深,必欲挤之死地而后快。乃始终不能相厄,由今思之,真可谓绝大侥幸也。

    岑以此摺留中,知太后于予恩眷未替,遂不敢复有举动。予不久亦即以丁忧去职,竟得安然出险。方余在雷琼时,中间两遇臬司出缺,太后皆提及予名,悉为瞿善化所阻。以两宫之恩眷如此,而一官偃蹇,终至与国同休。始厄于岑,终厄于瞿,此一段锦片前程,遂尔蹉跎过去。岑一生之显宦,实皆由予作成;予一生之蹉跎,乃即由岑作梗。我为彼福星,而彼乃为我恶宿,彼苍冥冥位置,若故互相颠倒以成其巧,殊可异也。予本安居下僚僻地,毫无营干,无端而轰轰烈烈,有此一番遭际;却又枝枝节节,受了无数折磨,结果只是冲销完帐,未沾到一毫赢息。造化弄人,作此恶剧,此所不可解者。迄今山河改色,恩怨两空。回首前尘,恍如梦寐,仅留此区区残影,萦回脑海,绝不愿向人哓聒。今日与诸君俱同事至交,重承问讯,偶一倾吐,不觉尽情宣泄。权当是村词盲鼓,茶馀酒后,少资谈助,较看上海剧场扮演之假戏,当稍为值得也。

    甓园居士曰:昔盱眙吴忠惠公,以无心赙赠而得厚酬,渔川以仓卒迎驾而被殊眷。两人者,同为吴姓,同有德于孝钦,同受知于患难之中,又同在知县任,遥遥数十载,后先辉映,若合符节。吁,何其巧也!忠惠名棠从木,渔川名永从水,皆以单字而藏合五行。论者至有水木清华之目,抑巧之巧矣。

    顾忠惠方治滨江大县,南北绾毂,水陆膏腴之地,锦车华节,供张馈赆,不绝于道路,区区数百金,直九牛一毛之比,又以无心而误投之,其事盖已微矣。渔川则坐困严城之中,悬命虎狼之口,空名守职,自救不暇;徒以激于区区忠义之气,径行其志,一往不顾,冒凿门之险,效负曝之愚,忘力竭无继之难,尽危身奉主之节,上不忍负国,下不忍累民,至罄其半生宦业辛勤铢寸之积,以供橐,掷孤注于不必得偿之地,此稍有计较之士所不肯为者。而且弃亲戚,离骨肉,仓皇被命,接淅就途,孑身从难,蹈祸福不测之危地,跋涉逾数千里,栉沐弥十五月,赔累至数万金,夷险之势既殊,难易之情迥绝。絜劳比绩,殆不可同年而语矣。

    然而忠惠数年之间,由县而府而道,晋柏府,历薇垣,扬历数省,遂拥持旄节,总制方面,褒德赠谥,垂荫子孙,骎骎乎与云台麟阁比烈,何获报之隆也!渔川亲侍辇毂,昼日三接,颁赐稠叠,与王公贵胄相埒,以资则深,以劳则著,以地则近,以眷则隆。而极其所遇,简授一道而止矣。始而高廉,继而雷琼,而惠潮,而兖沂、曹济,三仕三已,终孝钦之世,回环往复,竟不能更进一阶。施百于前贤而报靳于万一,嗟夫,岂非命耶?

    夫渔川以盛年膺特荐,治怀两载,声誉鼎鼎。拳民坛宇遍畿辅,而怀境肃然不敢动声息;迄于拳焰大炽,奸民悍匪,百计图报复,卒以绅民爱护之力,安处虎穴,不损毛发。奇才异政,亦大略可睹矣。向使无此一段遭际,依阶平进,区区监师连帅之位,亦自可计日而操其券。然则对于孝钦,直谓之未尝得报焉可也。

    但当时以渔川得主之盛,才气之英发,柄臣权监,推襟送袍,争欲相结纳,使稍与委蛇迁就,以示之亲昵,则顺风送扇,开藩建节,直唾手间事。有行之者,捷足而先得,成效固彰彰也。顾狃于书生结习,倔强自遂,不肯稍贬损以求合,卒至不得其助而反受其挤。是以机会屡集而不获一当,虽曰天命,抑亦人谋之不臧耶。

    然吾观逊国巨僚,富极贵溢,声势赫赫,改步以后,穷困失职,至不克赡衣食,杜门伏匿,藉乞贷以延旦夕者,比比相属也。官高则难于位置,名著则易受觝排。五石之瓠,乃落而无所容。而渔川因身受迭次沮抑,官不高,名不著,十馀年来,犹得随时俯仰,浮沉中秩,以全生而养命。然则昔之所失者,转为今之所得,亦未可知也。

    嗟乎,此事往矣!故宫禾黍,旧劫沧桑。觉罗氏一代历史,瞥如昙花过眼,已成陈迹。当日之翊卫元勋,和戎上相,在事主要人物,今皆如太空浮云,扫荡几尽,姓名爵里,渐不挂于人口。即渔川躬与其役,殆亦似黄粱觉后,追寻梦境,仿佛不可复得。今日偶然叙述,要不过如孔云亭《桃花扇》中末折,渔樵晚罢,闲话兴亡;槐省风清,同消白昼。区区一人之升沉枯菀,曾何足复加注较。独念此亡国破家,帝后出走,震天动地之大劫,迄今岁星不过两周,而当时情状,渔川以外,已罕有能言其本末者。坊肆小册,如《清宫秘记》等等,殆无虑数十种,率多架空臆造;微论其事实真伪,要于朝章国制,类茫然一无所觉。得此一夕话,亲闻亲见,聊足矫一时悠谬之妄谈;虽言之不文,而网罗散轶,掇拾旧闻,亦庶几乎古人传信之义,阅者略其词而谅其意焉可也。

    虽然,渔川之言,予既备闻之而述之而论之矣;顾搁笔以后,反复循绎,尚大有不能释然于怀者。庚子一役,衅由我起,衡之公律,固为背理。然既已不幸决裂而至于宣战,则又不论理而论势。彼联军以绝海难继之兵,临时乌合之舰,风习各殊之众,猜嫌互异之情,虽勉强推定冠军,号令决难一致。区区二万馀人,悬军深入,冒百忌以赌一日之得失,以兵法论,实处于必败之势,所谓越国鄙远,吾知其难者也。

    当时我国除禁军不计外,所号北洋六军,聂、马、梅、何各提镇所部军队,环列于畿辅者,为数当在十万以上。以众御寡,以主敌客,以逸待劳,赚之登陆而断其后,八面犄角,一鼓而覆之,固非甚难事也。否则围而锢之,勿加杀害,杜绝接济而使之自屈,斯仁之至义之尽矣。更不然,念子产坏垣之情,执晋文退舍之谊,画地防堵以限其马足,一面肃清内乱,然后重整敦盘,相与折冲于樽俎;彼即倾国而至,亦决无压我城下之理。乃既不能战,并不能守,京津三百馀里间,一任其从容驰骋,长驱突进,如入无人之境。遂夷我堡垒,据我城郭,躏我京邑,迁我重器,屠戮我官吏,凌虐我人民,宫殿化为秽墟,衙署废为马厩;如是不已,更勒赔款;赔款不已,更须请罪;请罪不已,更停考试;停试不已,更惩罪魁。种种压迫,务欲践吾国于朝鲜、印度之列。在清室为宗社将墟之痛,在国民有国命垂绝之虞,此实我全国之奇耻大辱,患切于剥肤,而祸深于万劫者也。

    我朝野上下,痛定思痛,宜如何并心一志,力图振厉,卧薪尝胆,以共脱此奴隶牛马之衔勒。乃和局甫定,两宫播越经年,仅得复还故处,绝不闻有盘庚吁众之矢言,汉武轮台之悔艾;地方官沿途供应,竞求华侈,雍容玉步,宛然如鸾辂行春、铙歌返阙之景象。于昔日之疮痍涂炭,皆已消弭净尽,不留馀迹,一若未有其事者。以苟延为再造,以半主为中兴,欢笑漏舟之中,恬嬉危幕之上,是可异也。

    一时柄国元僚,封疆大吏,多半皆事前显职,有列于朝,有守于位,先事不闻匡纠,临事不见设施,谁秉国成,阶此大厉,即诛责未及,亦当引罪投劾,自谢国人。乃委蛇固位,方幸以前此未有建白为得计,而晋宫衔,而赏黄褂,受不愧而居不疑;犹复忌贤疾才,争权竞宠,沾沾于语言酬应之末节,因以树门户而分渊膝,视国家之沦胥、人民之饥溺,毫不慨于其心。大臣如此,小者可知,清社之屋,于此已见,此尤可慨也!

    其尤所不解者,自遭此次巨厄,逼订片面和约,层层束缚,我四万万人民之自由生命,不啻已置于他人砧俎之上,择肥分鲜,听其宰割;全国民众,顾乃淡漠相视,一如越人肥瘠,萧然绝无所与。如此极大痛史,相去不过二十馀年,事由始末,已不甚有人记注;偶尔道及,亦第如先朝野乘,略资谈助,恍惚在传闻疑信之间。除当日私人局部闻见偶有著录外,从无一完善缜密之载籍。多数知识界中,虽同抱消极悲观,而听天委命,要莫肯稍出其精神心血,以勉为宗国有所尽力。其当局有力者,则汲汲于据地盘,攫政柄,操戈阋墙,日腐我同胞膏血,以苟图一夕之快意。牵群羊城就屠肆,伐毛刳腹,次第将及,犹不急谋断絷共脱之法,而惟是角觝蹄啮,忿争刍秣,互相凌践,以自促其生命,此真可痛哭流涕而长太息者也。

    义和拳之乱,所以酿成此大戾者,原因固甚复杂,而根本症结,实不外于二端:

    一则民智之过陋也。北方人民,简单朴质,向乏普通教育,耳目濡染,只有小说与戏剧之两种观感。戏剧仍本于小说,括而言之,即谓之小说教育可也。小说中之有势力者,无过于两大派:一为《封神》、《西游》,侈仙道鬼神之魔法;一为《水浒》、侠义,状英雄草泽之强梁。由此两派思想,浑合制造,乃适为构成义和拳之原质。故各种教术之统系,于北方为独盛。自义和团而上溯之,若白莲、天方、八卦等教,皆不出于直、鲁、晋、豫各境。据前清嘉庆年间那彦成疏中所述教匪源流,盖无虑数十百种,深根固蒂,滋蔓已遍于大河南北,名目虽异,实皆与拳教同一印版。被之者普,而入之者深,虽以前清之历次刈,而根本固不能拔也。

    一则生计之窳薄也。北方人民,生活省啬,而性多媮惰,谋生之途太仄,稍一不谨,往往不能自振,以至于失业。因惰而游,因游而贫而困,则麇集于都会之地,藉傥来之机会以苟图衣食。群聚益众,则机会益难,非至于作奸宄法,不足以维持其旦夕之命。浸淫已久,而冒险乐祸、恣睢暴戾之心生焉。明知诛责桎梏之在其后,而有势可乘,不问是非利害,姑且呐喊附和,恣意焚掠以餍其所欲,而侥幸于万一之漏网。

    因多数民众,平时皆为此两种结习之所沦浃,因愚而顽,因游而暴。适有民教互阋之问题以作之导线,枭黠大猾乃利用钩煽,饮以狂药。奸民倡之,愚民和之,游民暴民益乘势而助长之;如硝磺桴炭,一旦翕合,遂轰然爆发而不可复遏。

    自乾隆时,高宗恒以小故杀人,诗词戏剧,皆足杀身。供奉者乃杂取《封神传》、《西游记》诸小说,点缀神权,以求绚烂而免祸也。浸淫百年,蒸为民俗。愚民受戏剧之教育,驯至庚子,乃酿巨变,岂得曰非人为哉?(《馀闻》)

    义和拳称神拳,以降神召众,号令皆神语。传习时,令伏地焚符诵咒,令坚合上下齿,从鼻呼吸,俄而口吐白沫,呼曰神降矣,则跃起操刃而舞,力竭乃止。其神则唐僧、悟空、八戒、沙僧、黄飞虎、黄三太。庚子四五月间,津民传习殆遍,有关帝降坛文、观音托梦词、济颠醉后示,皆言灭洋人。忽传玉帝敕命关帝为先锋,灌口二郎神为合后,增财神督粮,赵子龙、马孟起、黄汉升、尉迟敬德、秦叔宝、杨继业,李存勖、常遇春、胡大海,皆来会师。其所依据则《西游记》、《封神传》、《三国演义》、《绿牡丹》、《七侠五义》诸小说,北中所常演之剧也。洋人教士教民,分大毛子、二毛子、三毛子,遇之杀无赦。礼神以顶着地,叩首三十六。练术有浑功、清功。浑功百日,清功四百日。浑功避枪炮,清功能飞升。然习者利速成,多浑功也。临阵时佩小黄纸画像。有首无足,锐指,头四周有光,耳际腰间作狗牙诘屈状,不名何神。心以下书一行,文曰:“云凉佛前心,玄火神后心。”诵咒曰:“左青龙,右白虎,云凉佛前心,玄火神后心。先请天王将,后请黑煞神。”诵此咒,枪炮不燃。诵声未绝,中弹毙。其焚教堂,大师兄率众握刀来,转向东南跪伏,突立起呼杀,其声动天,大师兄焚香掷堂中,俄而焰发矣。有张天师拥众横杀,俄别出一张天师,不相下,时互斗。后其一诳巨金遁,其一仍专横,大师兄曹福田至,获天师,斩之。(《馀闻》)

    拳乱初定,当局皆怵于已事,因而深筹密虑,乃以调和民教为惟一治本之至计。诏书宪令,丁宁剀切,至再至三而不已。不知就本案论,则民教固为其激触之始点,乱之所肇,而非其所以为乱也。衡以全局,犹本中之标也。此愚民、游民之两种社会,若不彻底改革,廓清涤荡,去其所以为乱之原质,任遇何事,奸人皆可以随时利用而构煽之。割导线而尚留硝药,危险之性永存;防于彼而失于此,乱源终不可以塞也。

    今欲为拔本之计,必先深求其本中之本,从改革民众社会着手。一则注重于普通教育。改良小说,改良戏剧,组织乡约里社,实行宣讲,以种种方法,使下级社会与中上级逐渐接近,以相当之知识,递相输灌,俾多数民众,略明世界大势与人类生存之正理;勿侈言学校普及,炫难得之远功,而忽可能之近效,则事半而功自倍。一则注重于普通生业,为人民广辟谋生之途径。教以手工技艺,使多数无产阶级皆得凭自力以谋生活;殖其原料,开其销路,便其转运,通其交易。更于城市都会,整顿警察制度,广设慈善机关,使失业之人,得资救济,浮浪恶少,不得安足。先导以可循之路,而后乃惩之于不率之人;恩以劝其前,法以驱其后,既有恒产,必有恒心,无赖之徒,自无由而聚集;虽有豪猾,亦无法以相煽诱。无愚民,则人心不可以妄动;无游民,则乱象不至于猝成。不愚则不顽,不游则不暴。硝药既去,虽有导线,亦将何所复施?非特一时之现势如此,二十世纪以后,欲竞生存于世界,舍此亦更无他术;由义和团之事而证明之,条剖缕析,其理致益显然可见也。

    顾庚子以后,忽忽又数十年矣。而当轴巨公、海内贤达,终鲜克于此二事加之注意者。夫固非凡有不及而明有不烛也,徒以体大事难,国家非一人之专责,毋宁乘一旦权位,姑自厚封殖以贻子孙。不知罗珍聚宝,厝火而置积薪之上,虽缠縢扃箧,必有一日而同尽。所谓皮之不存,毛将焉附者也。

    失良医治病,必深究于其病之所由起。吾国受病之源,亦固匪朝伊夕。自鸦片之战而外邪已入,自洪、杨之乱而元气大伤,然犹是肤膜寒热之外感。一转而入腠理,遽成绝大危症,则实自庚子一役始。今试问吾国工何以窳,商何以敝,教育何以不振,自治何以不兴,乃至军队不能具饷需,官吏不得领薪给,全国以内,无贫无富,无贵无贱、无少长男女,皆憧扰憔悴,蹙蹙然似不得安其生者,是何以故?一言以蔽之曰:以经济窘迫故。经济何以窘迫?曰:以赔款故。因赔款而有借款;因赔款借款而盐、关两税皆握于外人之手;因两税关系而百凡设施悉受牵制。如鼻受穿,如吭受扼,致呼吸运动皆不克自由舒展。何以有赔款?曰:以庚子义和团之故。因义和团而有条约,因条约而受压抑、受剥夺、受限制,国际地位遂一落而千丈。赔款特条约中之一款,而牵连以及者,实多因此一款而发生。即庚子以后,凡交涉上所受之种种损失,亦大半以此约为嚆矢。庚子一约,实吾国无期徒刑之宣告判决书,执吾手而强之署押者也。危症一现,百病交乘,由此而外感日以滋生,内腑益难清理。屈指二十馀年来,内忧外患,靡有宁息。清室之所以速亡,民国之所以多难,军队之所以不戢,民气之所以偾张,直接间接举皆于庚子一役有莫大之影响。即最近红枪会、绿枪会之所在滋蔓,实皆犹是义和之遗种,盖不出于吾前所述二义,其所以构成之原素同也。

    然则吾国而不欲图治则已,如欲根本图治,探求其最初致病之故而投之以药,则庚子经过事实,固为惟一考镜之方案。因何而始,因何而终,因何而曲折变化,何时受寒,何时受热,何时而有饮食饥饱之凑泊,乃至呻吟笑,皆有详究之价值。固医国和缓,所当精研而密察之者也。顾同一病状,而各见所见,各闻所闻;同一见闻,而各非其非,各是其是。是又在乎审方者之周咨博采,平情体验,有以参众说而会其通。前事不忘,后事之师,渔川所言,虽亦限于局部见闻,而近水楼台,亲切明确,固望闻问切之首当注意者也。

    昔吴之败于越也,夫差使人立于门中,出入必呼之,因是以申儆国人,终雪先人之耻。庚子之役,于吾国创已巨矣,痛已深矣,固吾国人所当念兹在兹、悬悬于心目者。然则兹编所述,固藉以存一时轶事,亦庶几自托于夫差门者之役,以茶馀之清话,作饭后之钟声,愿吾国忧时志士,爱国青年,回首前尘,毋忘槜李也。

    清光绪庚子之役,余方在沪,读书震旦学院。年少血气不定,痛朝局为小人所持,力谋所以倾当局者,但不欲与党人伍,以文杂投各报,自署为“庸生”,人皆目之曰“狂”。曾以意细《庚子祸国记》,《申报》载之,而颇为时流所诵也;其实不过童言妄语而已,羌无事实。刘治襄同年,雄于文,下笔娓娓不倦,同值枢垣,朋辈三四人,嘈杂其左右,而能作文治事如平时,此孟子所谓不动心者也。吴公渔川,曾以怀来令随驾西狩,耳闻目见,与当时外间所传闻异辞。吴公口述,刘公笔授,随闻随记,积久而成帙。今所刊《庚子西狩丛谈》是也。阅世次,叙废兴,验物情,怀土俗,吴公意有所尽,刘公则间以己意参错其间也。吴公当年意气之豪,以为天下事一蹴可几,不料为权相所忌,卒老于监司,不得与世所艳称之吴忠惠公并显,岂非命耶?今垂垂老矣,眉间尚放白光,诚不愧曾惠敏之门楣也。世变方殷,天下可惊可怪之事,恐尚不止于庚子之犷悍也,吾将拭目以俟刘公他年之所记。

    时中华民国十有七年四月日,南昌饶孟任跋