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【博雅双语名家名作】费孝通：中国士绅（一）
中国士绅——城乡关系论集China’s Gentry—Essays in Rural-Urban Relations
作者简介：费孝通，著名社会学家、人类学家、民族学家、社会活动家，中国社会学和人类学的奠基人之一。
内容简介：费孝通英文口述基础上编撰的对中国农村和中国社会的总体描述。其中，传统社会中文人和士绅的作用，和乡村和城市之间的关系，对认识中国传统社会的“超稳定结构”具有重要意义，更是理解中国近代社会剧变的关键。
INTRODUCTION导论
To Western readers Hsiao-tung Fei is known as the author of a short, illuminating book on life in a Chinese village, of another and more mature work on agriculture and industry in southwestern China, and of a stimulating article on one of the principal themes of the present book: the gentry in Chinese society. In China he is known also as a brilliant teacher, a leader and pioneer in sociological field research, and a man who has written widely, talked much, and acted fearlessly toward the solution of the immense social problems of China. After his return from London, where he took his doctorate under Bronislaw Malinowski, and during the war with Japan he joined those Chinese students and scholars who assembled to continue Chinese scientific and intellectual life in Yunnan Province. It was there that he carried on the studies that resulted in his second book. After the defeat of Japan he went back to teach in his old university, Tsinghua, in Peiping; and there (where I had come in the autumn of 1948 as a visiting professor to the same university) my wife and I resumed an old association with him.许多西方读者都知道，费孝通写过一本关于一个中国乡村生活的书，这本书篇幅虽短，但具有启蒙意义；还有一本有关中国西南部工农业方面的更为成熟的著作；再有就是涉及本书主题——中国士绅的那篇引人注目的文章。在中国人看来，费先生还是一位睿智的师者、社会学实地研究领域的先驱和带头人，是著述广泛、善于言辞并为解决中国诸多社会问题而勇敢行动的人。他在伦敦获得博士学位，师从马林诺夫斯基。在抗日战争期间，一些中国学生和学者聚集云南，继续从事科学和学术活动，费先生回国后也加入了他们的队伍，他的第二部著作就完成于此地。日本战败后，他回到母校（即位于北平的清华大学）执教，我曾于 1948 年秋做过清华大学的访问学者，在那里我和夫人与他恢复了旧日的联系。
This book is made from articles contributed by Fei to Chinese newspapers in 1947 and 1948. During that autumn of 1948 he dictated to my wife a rough translation of these articles, stopping as he did so to talk over with her the substance of the dictation and in part rewriting and enlarging the text in the course of these discussions. The work was done hastily, with enthusiasm, and in the tense anticipations of the coming of Communist control. For, while the dictation and the rewriting went on, Peiping was ringed by Communist forces, and the fall of the universities and of the city itself was expected within a very short time. In December, 1948, most of the students and many of the faculty of the university looked forward to the coming of the Communists as a relief from hardship and oppression and as new opportunity to apply intelligence to the improvement of social and political conditions in China. There was apprehension too; but, with the abundant knowledge of corruption and tyranny under the Nationalist government, the hope outweighed the apprehension. Fei, always sanguine and courageous, was then of the opinion that he could work effectively with the Communists, even though he would continue to criticize when he thought criticism was due. Like others in his university, he did not conceive the incoming government of Chinese Communists in the image of Stalinist Russia; he thought of them as Chinese like himself, as his old friends and students, whose voices he heard over the Communist radio promising all good things to the people of Peiping. So Fei spoke to us of his hope of becoming, for the Communist government, a part of “the loyal opposition.” He had already fallen into the disfavor of both parties. While in Yunnan he had been threatened with arrest by the Nationalist government and was fired upon in a public meeting where he had spoken unfavorably of Chiang’s regime; on the other hand, Communist voices in the North had attacked him bitterly for certain articles he had published. On the whole, however, Fei felt that his views as to developing Chinese industry and agriculture would be congenial to the interests of the new regime and that after the transition he would be able to continue to work and to speak for China. In this hope, almost a confidence, the articles here assembled were dictated.本书取材于费先生 1947 年至 1948 年间发表在中国报纸上的文章。1948 年秋，费先生向我夫人翻译并口述了这些文章的大致内容，他不时停下来与我的夫人讨论口述内容的要点，并在讨论中作了某些修改和扩展。在他口述和修改这些文章的时候，共产党军队已经包围了北平。费先生怀着对共产党即将当政的强烈憧憬和满腔热情，仓促完成了这项工作。人们料想共产党将很快占领各所大学和整座城市。1948 年 12 月，清华大学的大部分学生和许多老师都期待着共产党的到来，以求从压抑和痛苦中解脱出来，并认为这是运用聪明才智去改善中国社会和政治条件的新的机会。虽然他们也怀有恐惧，但由于已充分了解国民党政府的腐败和暴虐统治，希望还是战胜了恐惧。一向乐观而勇敢的费先生当时所持的观点是：他可以和共产党人一起有效地工作，不过，当他认为需要进行批评的时候，他会继续批评。但是，像清华大学的其他人一样，他并没有把即将到来的中国共产党的政府想象成斯大林主义俄国式的统治。在他心里，共产党人和自己一样是中国人，是他的老朋友或学生那样的人。他在收音机里听到了共产党向北平市民所作的美好承诺。所以，他告诉我们，他希望成为与共产党政府“忠诚对立”的一部分。他早已不被两党中的任一方所宠爱。在云南的时候，他曾被国民党政府以逮捕相威胁，并在一次公众集会上，因斥责蒋介石的统治而受到攻击。另一方面，北方的共产党也因他出版的某些文章而对他进行猛烈抨击。然而，总的来说，费先生认为他关于发展中国工农业的观点是符合新政权的利益的，在政权更替后，他仍能继续为中国而工作、为中国说话。这里汇集的几篇文章就是他满怀着这一近乎信心的希望口述的。
My wife and I left Peiping in December, 1948, and for more than three years now we have had no word from Fei. From others we have learned of some bare events. At about the time when Peiping fell to the Communists, Mao Tse-tung asked Fei to take charge of a research program with regard to problems of urban reconstruction, and he accepted and began the work. Fei published articles praising the “New Democracy” of China. He accepted membership on governmental boards or committees. Later he went on an expedition to study some of the remote communities of southwestern China—where he had worked during the Japanese war. Later word tells us that he has returned to Tsinghua University.我和夫人 1948 年 12 月离开北平，至今三年多来我们一直没有费先生的音信。从其他人那里我们仅得到了很有限的消息。听说共产党占领北平后，毛泽东请费先生负责一个有关城市重建问题的研究项目，费先生应允并开始了工作。他发表文章赞扬中国的“新民主” ，还加入了政府性质的委员会，成为其中的一员。后来，他奔赴中国西南部——那是他曾在抗日战争期间工作过的地方，在那里从事对某些偏远社区的研究。后来又有消息说，他已重返清华大学了。
This book is published without any participation from him in its production since the days when he dictated its substance to my wife. It is evident that he prefers it so. Communication with Westerners would embarrass or endanger him; he does not write to us, and we have ceased to write to him. My wife edited the text she had transcribed, assuming considerable responsibility in changing the order of the parts, in adding references, and even in inserting phrases or whole sentences when she 5was sure that Fei’s meaning would be served by such additions. It is to be emphasized that the book therefore is an expression of Fei’s views and judgments as he was about to step over the threshold between revolutionary China and Communist China. It was written when his students (many of whom I knew) moved in an excitement of fresh opportunity to remake their country—and moved without dogma. Few of them had read a line of Marx. Most of them saw the Nationalist government as their oppressor, the Communists as their liberaters.自从他向我夫人口述这些文章的主旨后，这本书的形成和出版再也未经他的任何介入。很明显，他是乐于保持这样的状况的。由于与西方人接触会给他带来尴尬和危险，因而我们不再通信。我的夫人对她自己的记录进行了编辑，并且还怀着强烈的责任感对某些部分作了顺序调整，添加了注释，甚至添加了一些短语和句子——因为她相信，这样会使费先生所要表达的意思更明确。需要强调的是，本书表达了费先生将要从革命中国跨进共产主义中国时所持有的观点和看法。当他写这些文章时，他的许多学生（其中很多我都认识）已开始激动不已地并且毫无束缚地投入到重建自己国家的新契机中去了。他们中很少人读过马克思的著作，大多数人把国民党政府看作是压迫者，而把共产党人看作是解放者。
At the time he dictated a translation, Fei wanted the essays to be read by English-speaking people. Like other intelligent people of good will, he wanted China to be understood by Westerners, and he believed that he had something to say about China that was not said in other books. But, when Fei wrote the articles in the first place, he was talking to the Chinese; the present English version does not change that fact. Fei had developed a large audience for his newspaper articles; all sorts of people, mostly people neither peasants nor intellectuals, read and admired what he had to say about the problems of China. These essays, as newspaper articles, had contributed to the extension of a sense of responsibility in the Chinese people themselves to take charge of their own affairs, and to deal with them, for their own good. Thus the book provides for Westerners an unusual and valuable light on China: a Western-educated Chinese, devoted to working to solve problems of China, analyzes some aspects of these problems so as to make them clearer to his countrymen. The essays give a Chinese point of view on China. They are not written to put a good face on things, or a dark face. They are written to help the Chinese to reach understanding of their troubles. Fei is saying to his countrymen: “Look, this is what has happened to us in recent years. This is the real revolution. This is the place where our shoe pinches. Understand; then act.” To Americans, accustomed to thinking of China simply as an object of our foreign policy under the assumption that what will happen in China depends on what we do rather than on what the Chinese do, this book gives fresh insight. Problems of China are here looked at by a Chinese as problems for Chinese to solve, and to solve not by taking political sides, not by joining Russia or joining America, but by reform, by Chinese, of Chinese institutions. 当费先生口述这些文章的英文译文时，他是希望英语读者去阅读它。像其他具有良好愿望的知识分子一样，他希望中国能被西方读者所理解，并且相信他要讲的是一些其他书中不曾讲到的关于中国的问题。但是，当费先生最初写这些文章时，他是在与中国人对话。这一事实在此英文版本中并没有改变。费先生在报纸上发表的文章有很大的读者群，包括各种各样的人，大多数既非农民也非知识分子。他们都读过费先生讲到的中国社会问题，而且都很欣赏。这些发表在报纸上的文章唤起了中国人的责任感，使他们意识到自己的事情要由自己来解决，从而维护自己的利益。因此，对于西方读者来讲，本书包含有一种关乎中国问题的不同寻常而又价值无比的见解，这是一位受过西方教育的中国人献身于解决中国问题的事业当中，对这些问题的某些方面进行分析，以使他的同胞能够得到更清楚的认识。这些文章表达了一个中国人对中国的看法。这样做并非是在给事物贴上好坏的标签，而是帮助中国人理解他们当下所面临的困境。费先生是在对他的同胞讲： “看，这是近几年来发生在我们身上的事。这是真正的革命。这就是令我们裹足不前的所在，认识它，了解它，然后就可以有所作为。 ”长期以来，美国人一直认为中国只不过是美国外交政策的一个对象，中国的发展取决于美国人而非中国人怎么做。对于他们来说，这本书无疑体现了一种全新的观点。在本书中，中国人把中国的问题看作是他们自己要解决的问题，而解决这些问题并不能依靠政治上的一边倒——倒向俄罗斯或倒向美国，而要靠改革，要由中国人来改革自己的制度。
Of course only some of the problems of China are considered in this book. Fei examines certain aspects of the traditional social structure and certain changes that have occurred in that structure that make difficulties for China. The changes have taken place chiefly as a result of the influence of the West. The book therefore bears on that social revolution in China which underlies the overthrow of the empire, the revolutionary republican movement led by Sun Yat-sen, and the winning of political control of China by Chinese Communists. The book does help us to understand how Chinese communism won China.当然，本书只涉及了中国的某些问题。费先生研究了传统社会结构的某些方面以及发生在这一结构中的给中国造成困难的某些变化。这些变化的发生主要是西方影响的结果。因此，本书与中国的社会革命有关，它是以君主专制的灭亡、孙中山所领导的民主共和革命运动以及中国共产党夺取政权等历史事件为基础。本书确实可以帮助我们理解中国共产主义运动是如何赢得中国的。
As the essays were written as separate articles, the threads of common idea which hold them together are not so apparent as they might be. There are two interrelated themes: the functions of the scholar and the gentry in the traditional Chinese society and the relations of the country and the city. The first theme is uppermost in the first four essays. The gentry and the scholars must be discussed together, for the scholars were chiefly (but not entirely) derived from the gentry, and the gentry carried on their functions and enjoyed their social position by virtue of the fact that some of them were scholars. The scholars were an elite; the gentry, a social and economic class. The first essay shows how the scholars, by becoming administrative servants of the imperial power, obtained security for themselves and kinsmen. In the second essay we find an account of the history of the development of this adjustment and of how the scholars reflected upon the relationship they had come to have with the centralized authority and how they explained and justified it in their philosophies. The third essay turns on the question why China experienced no important technical development. The scholars, or intellectuals, are now examined from the point of view of the exclusive concern they had with ethical knowledge: the intellectuals had no technical knowledge; they were supported by the labor of others and were unconcerned with productive work. So the governing class lacked the kind of knowledge which would have improved the material condition of the people. In the fourth essay, as in the first two, the point of attention is the function of the scholar-official in mediating the imperial power. But now the attention is directed to that educated member of the gentry who, remaining in the local community, negotiated, in a personal and extralegal way, with the formally recognized functionary who occupied the lowest position in the official bureaucracy. This critical function, exercised by the scholar-gentry, made the imperial power workable, while yet maintaining the traditional social organization of the village. This essay develops into a discussion of the pao-chia system (at that time recently reintroduced by the Kuomintang and later abolished by the Communists) by which it was sought to make the central authority directly influential upon the local community and shows why it was doomed to failure.由于这些文章独立成篇，其共同主题并非显而易见。文中有两条相互交错的线索：其一是传统社会中文人和士绅的作用，其二是乡村和城市之间的关系。前四篇文章主要讲第一个主题。文人和士绅要相提并论，因为文人大部分（并非全部）来自士绅，而士绅也靠他们中的某些人是文人而发挥作用和享受社会地位。文人是精英，而士绅属于社会经济阶层。第一篇文章讲述文人如何通过做官来为他们自己以及亲属赢得安全。第二篇文章描述了从文人到官员的这种调整的发展历史和文人如何看待他们与集权统治的关系以及如何以他们自己的哲学来对此加以解释和论证。第三篇文章转向了为什么中国没有经历重要的技术发展这一问题。在这里是从他们对于规范知识的独特关注的视角上而对文人或者说是知识分子作了考察。知识分子毫无技术知识，他们依靠别人的劳动，对生产活动毫不关心。所以统治阶级缺乏那种能够增进人民的物质条件的知识。与第一、第二篇文章一样，第四篇文章的关注点是士大夫在帝国的权力中作为中介的功能。但是现在的注意力指向了士绅中受过教育的人，他们仍住在地方社区当中，以私人的以及法律以外的方式，同那些正式承认的、在官府中担任最低职位的官吏打交道。文人士绅发挥的这种关键作用，使得皇权统治得以施行，并且维护了村庄的传统社会组织。这篇文章继而进一步讨论了保甲制度（该制度当时刚被国民党重新提出，后来又被共产党所废除） ，以此探求中央权威如何对地方社区施加直接影响，并要表明这样的做法为什么注定要失败。
In the fifth essay there is apparently a new beginning; Fei here takes up not the administrative relations but the economic relations between country and city. The scholar-gentry are not so apparent; but they are here just the same. For, while Fei is telling us that the economic relationship between city and country works to the disadvantage of the country, because the city lives off the country by taking rent and interest from the countryman without sending to the country the products it needs and could consume, we must remember that it is these same gentry who are pocketing the rent and interest and increasingly using the money to buy Western-made products instead of Chinese-made goods. Fei distinguishes several types of towns and cities and shows how each type served the interests of the gentry (and also those of the imperial power) and did not bring advantage to the peasants. Garrison town, market town, and treaty port—all provided opportunities for the economic exploitation of the country. Thus the peasant came to pay a large part of the products of this labor to maintain the gentry class, while the gentry, coming to prefer Western goods, no longer bought the products of rural handicraft and so ruined the small manufacturing which provided the peasant with a little margin over the barest subsistence. 第五篇文章显然是一个新的起点。费先生在这里不再继续探讨城乡之间的行政关系，而是论述了城乡之间的经济关系。这里没有明确提及文人士绅关系，但实际上都是存在的。费先生告诉我们说，城乡之间的经济关系给乡村带来不利影响，因为城市靠从乡村收取地租和利息而生存，但却不把乡民们所需要的以及所能够消费得起的产品提供给他们。此时我们必须记住，正是这些士绅把地租和利息装进自己的口袋，并且不断地去购买由西方而不是中国制造出来的商品。费先生把城镇分成几类，指出每一类是如何仅仅满足士绅（和皇权势力）的利益而不给乡村带来任何好处的。衙门围墙式的城、集镇以及通商口岸，都为从经济上剥削乡村提供了机会。因此，乡民们的劳动产品中很大一部分是用来供养士绅阶层，但士绅们不再购买农村的手工业产品，却转而青睐洋货，这样便毁灭了能给乡民勉强糊口的生活带来些许改善的小手工业。
The sixth essay develops this theme of the unsatisfactory character of the exchange between city and country and the worsening of the situation since the introduction of products manufactured in the West. And the seventh essay continues the consideration of the dislocations of the old social and economic system brought about by the influence of the West, while it returns to the theme of the scholar and his functions in Chinese society. In these last pages we see that the modern intellectual, the man educated in Western learning, does not take the place of the old intelligentsia. He does not go back to the country where he has no social position and no career. He stays in the city; so from the country is eroded away some of its best human resources. And some of the rural people, becoming poorer than ever, are also detached from the rural community and become predatory rovers or—as ever in China—rebels against the government. So only a few years before the Communists began to purge by shooting, and before the fighting in Korea, this series of essays ends, a diagnosis of immense problems, a declaration of hope that the Communists would provide leadership toward solving them.第六篇文章进一步论述了城乡交换的不尽如人意以及引进洋货后这一情形的进一步恶化。第七篇文章继续论及西方影响给中国陈旧的社会经济制度造成的混乱，最后又回到文人及其在中国社会中的作用这一问题上来。在最后的这些篇幅里我们注意到，受过西方教育的现代知识分子并没有取代旧知识分子。他们没有回到既无社会地位又无事业可谈的乡村中去，而是留在城市里，因此乡村流失了一些最优秀的人力资源。一些乡民变得越来越贫困，他们脱离了乡村群体而成为流浪的强盗，或者是像中国过去一再出现过的那样，成为叛乱分子。这一系列文章收笔于共产党准备开始镇压反革命以及朝鲜战争爆发的前几年。这是一份对中国众多问题的诊断书，是希望共产党能带领人们解决这些问题的一份宣言书。
编辑推荐：
费孝通英文原作《中国士绅》首次国内出版
理解士绅阶层于中国传统社会的功能
解读中国社会的“超稳定结构”编辑推荐：
《江村经济》（英汉对照版）
费孝通（著）赵旭东、秦志杰（译）
外语教学与研究出版社
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