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【博雅双语名家名作】费孝通：中国士绅（三）
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。
Chapter One第一章
The Gentry and the Imperial Power士绅与皇权
The term “gentry,” shen-shih, refers to a class of persons with a definite position and definite functions in the traditional society of China. Here, by “traditional society,” is meant the period after the breakdown of feudalism and the unification of the empire under a centralized monarchical power not long before 200 B.C. The development of the gentry class has a history; only through this history can we understand its characteristics. “士绅”这个词，指的是在中国传统社会中占有一定地位、发挥一定功能的一个阶层。这里所谓的“传统社会”是指临近公元前3 世纪时封建制度解体之后，由中央集权一统天下的帝国时期。士绅阶层有其自身的发展历史，只有通过这一历史，我们才能了解其特征。
The class that is here called gentry is also sometimes referred to as shih ta fu, “scholar-official.” Actually the gentry class, although closely linked with the group of scholar-officials, should be distinguished from it. To be born into a gentry family did not necessarily insure that one became a scholar or an official in traditional China. Under feudalism the situation was different. At that time the gap between the nobles and the commoners was great. Shih and ta fu, although they were the bottom of the hierarchy of the ruling class, were still a part of that class and as such possessed real political power. But after the breakdown of feudalism political power was no longer portioned out but became concentrated in the person of one man, the monarch. In order to carry out his administrative functions, the monarch required assistance. This was given him by the officials. The officials then were no longer relatives or members of the ruler’s own family but rather employees—the servants, or tools, of the monarch. 本书所讲的士绅阶层有时也被称为“士大夫” 。实际上，虽然士绅阶层与士大夫群体紧密相连，但仍应把他们区分开来。出身于士绅家庭，并不能确保此人将来一定会成为中国传统社会中的文人或官员。在封建时代，情形便不大一样。封建时代的贵族和平民之间存在有不可逾越的鸿沟。 “士” 和“大夫” 虽然处于统治阶级等级体系的最底层，但他们仍属于统治阶级的一部分，并拥有真正的政治权力。但封建制度解体后，政权不再分散，而是集中在最高统治者一人手里。为了实施管理，最高统治者需要辅佐。这种辅佐是由官吏来提供的。因此，这里的官吏不再是统治者的家族成员或亲戚，而是他的雇佣，即仆人或者统治工具。
After the breakdown of feudalism there was another important change. The throne became the object of capture by the strong, by the hunters after power. Under feudalism, in which political power was distributed to relatives and kin, anyone not born into a noble family was a common man who had no chance of reaching the throne, of touching or even of seeing the divine paraphernalia of monarchy. No more than a woman can change into a man could a common man become royal. But, when feudalism went, anyone could become emperor. Thus political power became an object of struggle. This is illustrated by the story 25told by the historian Ch’ien Ssu-ma of Xiang Yu, who during the Ch’in dynasty (221–206 B.C.), in watching an imperial procession, said to his friend, “This I can seize.” Since that time the struggle for political power has never ceased. Political power in the eyes of the people has become something precious to be sought after, an enterprise for large-scale entrepreneurs.封建制度解体后发生了另一重要的变化，皇权成为强者、权力追逐者竞相争夺的目标。在封建制度下，政权分配给统治者的亲戚和家属，出生在贵族家庭之外的人是平民，他们永远没有机会登上王位，没有机会触摸君王的神圣用具，甚至连看的机会也没有。平民要想成为皇室的成员就像女人要变成男人一样不大可能。但是，封建制度解体后，任何人都有可能成为皇帝。这样，政治权力就成为大家争夺的目标。历史学家司马迁描述过这样一个故事： 秦朝（公元前221 年—公元前206年）时的项羽在观看皇家列队时对他的朋友说： “彼可取而代之。 ”从那以后，争夺政治权力的斗争从来就没有停止过。政治权力在人们的眼里已成为竞相猎取的宝贝，要做大买卖的就干这个。
Unfortunately, since the breakdown of the feudal structure in China, political power has no longer been transmitted permanently in certain families, and up to the present no peaceful means of attaining it has ever been found. We continue to be convinced that the way to gain political power is through “taking up the stick” and fighting civil wars. Those few who emerge victorious in this struggle become emperors; the defeated become bandits. So we have had a succession of tyrants. A few people rule the mass. The nature of this despotic monarchy is not changed by the handing-on or relaying of power. In England, when a monarch was killed, monarchical power itself received a blow. Changes of monarchy led in time to a growth in the power of the people and to a government monarchic in name only. But, in China, blood flows from the people’s veins, while those who attain the throne are but a few fortunate adventurers, like Liu Pang, the first emperor of the Han, who was born a lowly peasant, or Chu Yuan-chang, the founder of the Ming dynasty. When we study official versions of Chinese history, we find presented to us a continuous line of dynastic descent; but we should not forget that the authority of these rulers was continuously challenged by civil wars and unscrupulous adventurers. 不幸的是，中国封建制度里解放出来的政权，固然不再专属一姓、万世一系了，但是到现在还没有找出一个夺取政权的和平方式。我们一说起夺取政权，就忘不了“揭竿而起”的内战手段。武力争夺的方式下，政权变成了“成则为王、败则为寇”的夺宝对象。夺来夺去，以暴易暴，总是极少数人统治着其他的人民，专制的皇权并没有在政权的传承和接替中发生任何性质上的改变。我们不像英国——杀了一个皇帝，皇权减少了一些，民权抬了一些头；赶走一个皇帝，皇权又减少了一些，民权再抬一些头；最后竟成了个挂名皇帝，取消了皇权—— 但是，在传统中国只有“取而代之”的故事，流的是人民的血，得到宝座的却是少数幸运的 “流氓” ，像下层农民出身的汉朝开国皇帝刘邦、明朝开国皇帝朱元璋等一派人物就是。在官方修撰的史籍上，固然有着一脉相承的正统；可事实上，大小规模的内战和肆无忌惮的冒险者恐怕是经常的现象，史不绝书，不断挑战着统治者的权威。
To struggle for political power by violence is dangerous. If a man succeeds, he may become emperor; but, if he loses, he will be killed, and not only he himself but his whole family and clan. When he is challenging the established emperor, he is called a bandit and rebel, and the might of the army is directed against him. Moreover, the empire gained by violence may be lost by violence also. Twice in history, according to tradition, emperors tried to give up their power to other men who they thought would make better rulers. But those to whom the power was offered did not want it. They preferred to run away rather than to take on the responsibility. We do not know how far these two emperors were sincere in their desire to give up their power and to what extent this action was no more than a gesture or a piece of complicated political intrigue. There is no question of the fact, however, that in all of Chinese recorded history there is not a single case of voluntary abdication from the throne. Those abdications which did take place were forced. “The empire that was won on horseback will be lost only on horseback,” as the popular saying goes.以武力争夺政权是危险的事。成固然可以称王，败则只有一死；非但一死，而且还会灭族。当他向当政的皇帝提出挑战时，他就成为寇匪或反贼，军队会冲他而来。况且，通过暴力得来的政权可能也会因暴力而丧失。历史上曾有过两次，依照传统，皇帝试图把政权让给他认为是更好的统治者的人。但是那些人并不想得到政权，他们宁可远离而不愿肩负责任。我们无从得知这两位皇帝让出政权的诚心有多大，也不清楚在何种程度上，这不过是一种姿态或是复杂的政治阴谋。但是有一个事实无法否认：中国有记载的历史中，没有一个皇帝主动退位让出皇权；曾经有过让位的例子，但那是出于被迫。常言道：马背上得天下，亦只于马背上失天下。
To seek to become a monarch is to risk one’s life. The heir to the throne must uphold his succession. The emperor, who should be merciful, may pardon all other crimes but not the crime of attempted usurpation. That is the most terrible thing that can be attempted under heaven. To anyone who reads the records of the beginnings of the Ming dynasty, the account of tortures applied to those who menaced the throne sounds like an account of progress through hell. I was told that the models of the “eighteen hells” found in district Buddhist temples are reminiscent of what was really done in the Ming dynasty. The threat of torture was the emperor’s protection. I remember once as a boy calling out in play, “I am the emperor.” My grandmother stopped me at once, saying, “You must never say that.” This was not superstition or overcaution on her part but a recognition of a real danger in rash speaking. According to tradition at least, emperors used to have those children killed whom fortune-tellers foretold would one day become monarchs.想当君王实际上是拿生命去冒险。王位继承人肯定要保住其继承权。作为皇帝应该仁慈，他可以赦免其他所有罪行，而唯独不能对谋反篡权罪手软。谋反是天底下最可怕的事。任何读过明朝初期历史的人都知道，书中描写的对谋反分子施加的酷刑仿佛是在地狱中发生的一样。我们在城隍庙里所见到的“十八层地狱”的形象，据说是写实的，是明史的标本。酷刑的威胁便是皇帝的保护伞。记得小时候，有一次我在玩耍中大喊了一句： “我是皇帝！ ”祖母急忙阻止我说： “这是不能说的！ ”她并不是迷信，也非过于小心，而是意识到信口一句话会带来的实际的危险。至少依照传统来看，皇帝常会把那些据算命先生讲长大会做皇帝的孩子杀死。
But this threat of violence has never really given effective protection to monarchical power. As Lao-tzu says, “When one does not fear death, how is it possible to threaten a man with death?” When it is possible to gain political power through violence, the throne is tempting. Though the brutality of those in authority may silence the majority, repression will never be entirely successful. The magnitude of the stakes, an imperial power which could be used to realize any whim, could not but make the effort attractive in spite of dangers. On the one hand, there were those who were willing to gamble with their lives; on the other, there were those who submitted quietly. One may ask, then, what it was that decided on which side a man should be. 但是，武力的威胁并没有真正有效地保护皇权。正如老子所言： “民不畏死，奈何以死惧之？ ”当通过暴力夺取政权成为可能时，王权就变得异常诱人。虽然统治者的暴行可以使多数人保持沉默，但压迫永远也不会完全奏效。在予取予夺的专制皇权下，政权可以用来谋取私人的幸福，社会也可以从顺逆的界限上分出敢于冒大不韪的人和不敢冒大不韪的人。那么，有人就会问了，敢与不敢这样的事情是怎样决定的呢？
Under monarchical rule the people had only duties without rights; the emperor’s word was law. If he wanted to build a great palace, an imposing tomb, or a grand canal, he ordered it done without regard for the people. If he wanted to expand the boundaries of his kingdom, he commanded his army to mobilize regardless of whether the people liked it or not. The paying of taxes, the conscription of soldiers—these were burdens for the people to accept without compensation. Those who have lived under despotic monarchical power will understand Confucius’ saying, “A brutal monarch is even worse than a tiger.” This policy of despotism more fearful than a tiger has had a long history in China. So we say, when the tiger comes out from his cage, the frightened people escape to the Liang hills.在专制政权之下，人民只有义务而没有权利，皇帝的话就是法律。皇帝如果想要建造一座宏大的宫殿、巨大的陵墓，或是挖一条大运河，他不会顾及百姓，只是下令让手下人去做。如果他想开疆拓土，就会命令军队去动员，不管人民愿不愿意。赋税和兵役都是百姓难以接受的负担，并且没有任何的补偿。生活在暴虐的专制统治下的人们很容易理解孔子的“苛政猛于虎也”这句话。这种比老虎更可怕的暴政在中国有很长的历史。所以我们说，这政治老虎出了栏，就会吓得人逼上梁山了。
Upon all who are unarmed, we may say, the threat of political tyranny falls with equal weight. Yet in this, too, there have always existed differences. The richer folk could afford to pay for security. In the Chinese traditional pattern conscription, for example, could be bought off. The breaking-up of a family such as is described in “Old Poem” could never have happened in a rich family. Thus it was that people from this class became political adventurers.专政统治的威胁对所有手无寸铁的人来讲，其威力都是一样的，但常常也有不同。富人可以用银子来买安全。比如，古代中国的征兵制度中有用银子来代替服兵役的做法。古诗中描写的支离破碎的家庭绝不会是富人家。因此恰恰是出自贫民阶层的人变成了政治上的冒险者。
The possession of riches or the lack of them was what was important for making some acquiesce and others rebel. “Man fears to be distinguished as a pig fears to be fat.” When the political tiger attacks, the man who is rich will have a greater difficulty in escaping than the man without property. In such a case property becomes a burden. Propertied families developed great alertness in watching the behavior of the tiger. The poor man who has become desperate may rebel, become a bandit in the mountains, and even, in time, challenge the royal authority itself. But a man of property and family cannot easily do this. He must find some way to avoid the attack of the tiger. Unfortunately, as the old saying goes, “From the water’s edge, all land is the emperor’s; under the heavens all are the emperor’s men.” At that time travel was not easy; one could not run away to Washington or Brazil, nor was there any International Settlement in a treaty port, nor even any Hong Kong. Physically there was no escape. Perhaps this is not quite true, after all, because we know that from early times certain individuals were able to escape to Korea or Japan. But the ordinary man had to find some means of protection within the structure of society itself. 财富的占有和匮乏是导致沉默和反抗的重要原因。 “人怕出名猪怕壮。 ”当政治猛虎出击的时候，富有者比穷人更难以逃脱灾难，这时候财富变成了负担。富贵人家善于对“老虎”察言观色，而绝望的穷人也许会揭竿而起，或是落草为寇，甚至迟早直接向皇权发起挑战。一个有家室、有财产的人不会轻易这么做，他必须设法摆脱“老虎”的攻击。不幸的是，正如古人所言： “普天之下，莫非王土；率土之滨，莫非王臣。 ”那时出门可不容易，不能跑到华盛顿或巴西，也不可能在任何一个通商口岸寻求国际避难，甚至也没有香港这类地方。在地理空间上是无处可逃的。但也许并不完全如此，毕竟我们知道有些人在早年就逃到了朝鲜或日本。但是，一般人只能在现有的社会体制下寻找自我保护的途径。
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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