CHAPTER 6 Emperors and Popes
第六章 皇帝和教皇到底谁大?
OUR HISTORY BEGINS WITH A GREAT empire and then with its collapse. Europe took much from the Roman Empire and was profoundly shaped by the nature of that collapse. The Decline and Fall of the Roman Empire, the title of Edward Gibbon’s great history, is etched into our consciousness. What must it have felt like to live after that event, to know there had been a great civilization and now it was gone? But if you were to ask a medieval lord or scholar what it was like to live now that the Roman Empire was no more, they would have been puzzled. In their eyes the Roman Empire still survived. There was, in fact, something called the Roman Empire existing into the nineteenth century. The last Roman emperor traced his line back to Augustus. How was this so?
欧洲的历史是从一个伟大帝国和它的崩灭开始的。 欧洲从罗马帝国汲取了太多东西，欧洲的形成因此深受这个帝国的崩灭的影响。爱德华・吉本(Edward Gibbon)为他的历史巨著《罗马帝国衰亡史》(The Decline and Fall of the Roman Empire)取的名字,已经深深烙印在我们脑海。 想想看，在那样的盛世之后，知道过去曾经有过如此伟大的文明，而今却已灰飞烟灭，会是什么样的滋味？可 是,如果你问一个中世纪的贵族或学者，活在罗马帝国已经不再的今天是什么滋味,他们一定一头雾水。因为在他们看来，罗马帝国依然是存在着的。事实上，直到19世 纪，某个称作罗马帝国的东西依然存活在这个世界上。罗马最后一位皇帝的血脉可以远溯到奥古斯都，怎么会这样呢？
The reign of Augustus began in 27 BC and in the west the empire he founded lasted for 500 years. Around AD 400 the empire was permanently divided into east and west, and the Eastern Empire survived another thousand years, until 1453. The barbarians who invaded the western Roman Empire acknowledged the emperor of the Eastern Empire. Clovis, the first Christian king of the Franks, received the title “Consul” from the emperor in the east. The pope, who survived in Rome, also acknowledged the eastern emperor, and in the pontiff’s eyes, despite all the barbarian invasions and the collapse of the empire in the west, the key parts of the old order were still intact. There was a pope in Rome and there was an emperor, a Christian Roman emperor, who now resided in Constantinople. Those two authorities, the pope and the emperor, would jointly control Christendom. But when the pope really needed the eastern emperor’s help, the emperor couldn’t do much to save him.
奥古斯都于公元前27年开始统治天下，他所建立的帝国在西方延续了五百年之久。公元400年左右，这个帝国永久分裂为东西两半，而东罗马帝国又继续存活了一千年，直到1453年才终于气绝。入侵西罗马帝国的蛮族对东罗马帝国的统治权是承认的。法兰克王国的第一位基 督徒国王克洛维一世(Clovis),就是从东罗马皇帝手中得到“执政官”的封号;而并没有随罗马而逝的教皇也承认东罗马皇帝的地位，在这位最高宗教领袖眼里，虽然蛮族数度入侵而西罗马帝国也已沦亡，但旧秩序的关键部分依然 完好无缺o在罗马有个教皇,在君士坦丁堡则住着一个信 奉基督的罗马皇帝。教皇和皇帝这两大权力中心，即将共 同统理这片基督教江山。然而，当教皇亟需东罗马皇帝协 助时,这位皇帝却力有未逮，无法伸出援手。
The danger to the pope came from the Lombards, who were a second wave of German invaders in the eighth century. They were poised to make a complete takeover of Italy, including Rome and the lands around it. This represented a great threat to the pope. Even today, the pope still has his own individual plot of ground, Vatican City. It is tiny but it is his own state; he is not part of Italy. The popes have always feared that their independence would disappear if they were not sovereign in their own territory. Imagine if the Vatican were just part of Italy. Italy might pass a law saying there should be equal opportunity in all spheres of life, including the church. The church would be investigated for never having appointed a female bishop, let alone a pope. The church’s wealth might be taxed by the Italian state. Italy might pass a law saying there should be condoms in all public toilets.
•教皇需要查理保护
对这位教皇的威胁来自伦巴底人(Lombards),是8世 纪时第二波入侵的日耳曼民族。他们志在必得，打算完全占领意大利,包括罗马和它周遭的地区。对教皇来说，这 159 160 是莫大的威胁。 即使在今天,教皇依然拥有他个人的领土 :梵蒂冈城。 城虽不大，但毕竟是他自己的领土,并不是意大利的一部分。历代教皇一直担心害怕，如果自己不是领土的最高元首，他们的独立地位就会化为乌有。想想看，要是梵蒂冈 仅是意大利的一部分，意大利可能通过法令,说所有阶层 必须工作机会平等，包括教会组织。如此一来，教廷可能会因为从未任命女性为主教，遑论女性教皇而接受调查。 意大利政府可能会对教廷的财富课税。说不定意大利还会通过立法，要梵蒂冈在所有的公共厕所里，放置保险套。
The pope in the eighth century, likewise, did not want to become subject to the control of the Lombards. He sought help from the eastern emperor, but he was too busy dealing with the Muslim invasions of his territory. So the pope looked north across the Alps to the Franks, the Germans who had made the strongest state in the west, in what is now France. King Pepin, the Christian Frankish king, went south into Italy and subdued the Lombards. He made sure that the pope was left with a large belt of territory around Rome, which was to be his. With many changes of boundaries, this territory survived as the pope’s until the nineteenth century. It was only then, with the creation of a unified Italian state, that the pope was confined to the small kingdom he has today.
同样的道理,8世纪时的教皇也不愿臣服于伦巴底人 的治下。他向东罗马帝国皇帝求援,但皇帝正为应付入侵的穆斯林忙得焦头烂额，教皇于是转而寄望阿尔卑斯山之北的法兰克人。日耳曼民族在西方建立了许多国家，法兰 克是最强盛的一个。信奉基督的国王丕平(King Pepin)南下意大利，平定了伦巴底人。他也许下重诺，要将罗马周 遭一大片土地留给教皇，让教皇全权拥有。虽然疆界历经多次更变，教皇这块地盘一直幸存着，直到19世纪，意大利成了一个统一国家，教皇的王国才缩减为它今天所拥有的方寸之地。
King Pepin’s son was Charles the Great, or Charlemagne. He greatly expanded the territory of the Frankish kingdom. His lands extended across the Pyrenees into Spain; halfway down Italy, including the land his father had allotted to the pope; in the east to Austria and well into modern Germany. Since the fall of Rome, there has been no single European state that was so extensive except for the short-lived empires of Hitler and Napoleon. In Germany, Charlemagne was dealing with the Saxons, who had not crossed into the Roman Empire. They were pagans; he gave them the option of converting to Christianity or being made into slaves and shipped back to his heartland.
查理一世，或称查理大帝,是丕平三世的儿子。他大 大拓展了法兰克王国的疆域。他的领土横越比利牛斯山, 远抵意大利，达于包括了他父亲分给教皇的土地在内的意 大利中部;东至奥地利，深入现代德国的地盘。自从罗马 帝国灭亡,除了希特勒和拿破仑昙花一现的称帝时期，没有一个欧洲国家曾经拥有如此广袤的疆土。在日耳曼，查 理大帝和当地一些没有进入罗马帝国的东边异教徒萨克森人正面交锋。萨克森人不信基督,查理大帝给他们两条路选:要不皈依基督教，要不被当成奴隶运回他的帝国 本土。
pics. The kingdom of the Franks grew to cover modern France and parts of Germany, Spain, and Italy.
In the year 800, Charlemagne visited Rome and attended mass on Christmas Day in the cathedral. After the mass, and seemingly with no prior warning, the pope placed a crown on Charlemagne’s head and declared him to be Roman emperor. He made his own emperor in order to have a power that would protect him. But since he was turning his back on the emperor in the east, he needed to have an excuse for what he was doing. What could be easier! A woman had become emperor in Constantinople; she had blinded her son, who was the emperor, got rid of him and put herself on the throne. By the pope’s deed, she was no longer emperor over the west.
公元800年，查理大帝来到罗马，在大教堂里参加圣 诞节弥撒。仪式过后，看似毫无预警地，教皇将冠冕戴在他头上，宣布他为罗马帝国的皇帝。他让自己登上帝位, 是为了建立一个能够保护自己的权力中心，但这个举动不啻是背弃了东罗马帝国的皇帝，他必须找个理由解释。那还不容易！在东都君士坦丁堡,现在的皇帝是个女人，这 女人弄瞎了儿子的眼，除掉路上的大石头，把自己捧上了王位。在教皇的律令下，她已不再是西方的皇帝。
There was later great dispute between popes and emperors about what had happened in the cathedral on Christmas Day, 800. Popes emphasized that it was the pope who put the crown on Charlemagne’s head, which indicated that the pope was superior to the emperor. But after the pope put the crown on Charlemagne’s head, he bowed to Charlemagne. Emperors said that the pope was thus acknowledging the superior power of the emperor. Emperors reasonably said that the pope was only able to choose this protector because Charlemagne had made himself a strong figure in his own right. His strength hadn’t depended on the pope’s assistance.
公元800年圣诞节这天，大教堂里到底发生了什么 事,在后代的皇帝和教皇之间曾经掀起很大的争论。教皇 这方强调，既然是教皇将冠冕戴在查理大帝头上,这就表 示教皇权力高于皇帝。可是,当教皇为查理大帝加冕后, 他向查理鞠躬示敬，皇帝这方因此理直气壮，说教皇此举 等于承认皇帝权力凌驾于教皇之上。皇帝这派甚至指出, 查理大帝早已凭借一己之力成为一个强人，他的势力并不 是依靠教皇的加持。
Charlemagne’s empire was very different from the Roman one, and Charlemagne was a very different ruler from a Roman emperor. He was basically still a barbarian king. He was educating himself; he had learned to read—that is, he could read Latin—but he had difficulty writing. Until the end of his life, he kept a little wax tablet beside his bed in order to practice his writing, but he never really got the knack of it. But he did have a clear understanding of empire as a civilizing force, something he learned from the Roman example. His German ancestors had lived by plunder, and it was the desire for more plunder that took them into the Roman Empire. Governments can be organized so that they are just a system of plunder, to enrich those in power and their friends. There are ancient and modern governments like this. Saint Augustine, who lived in the last days of the Roman Empire in the west, wrote in his City of God: “If there is no justice, what are kingdoms but great robberies?” Charlemagne knew of this work and understood this point; Saint Augustine was one of his favorite authors. With the pagan Saxons in the east, he could be savage and cruel until they converted to Christianity. But once they were Christians within his realm, he took it upon himself to make sure that they were ruled justly.
查理大帝建立的帝国和罗马帝国大不相同;身为统治 者，他的治国风格也与罗马皇帝南辕北辙。基本上，他是 个蛮族出身的国王。他孜孜教育自己学会阅读，能读拉丁文，可是书写始终有困难。直到晚年，他的床边一直放着一个练习写字的蜡板，但始终不得写作的要领。不过他深知，帝国是一股文明的力量,这是他以罗马为鉴学到的观念。他的日耳曼祖先靠掠夺维生，为了掠夺更多,这才深入罗马帝国之境。
■文明要靠查理保护
你可以组成这样的政府:确立一个强取豪夺的体制, 让有权力的人财富更增，让他们的亲友鸡犬升天,古今中外,这样的政府所在多有。圣奥古斯丁( Saint Augustine)的 年代正值罗马帝国气数将尽，他在著作《上帝之城》(City of God)里写道:“如果没有公义存在，王国除了强取豪夺还剩下什么? ”查理大帝熟悉这本书,对于这点了然于心;圣 奥古斯丁是他最喜欢的作家之一。对于异教徒萨克森人, 他可以残忍、蛮横以待，直到他们归顺基督为止，可是一旦他们成为他治下的基督徒，他便以公正为己任，务使他们得到公平的统治。
Charlemagne, though poorly educated himself, encouraged education and became the patron of educated men, who were ordered to find and copy the ancient manuscripts. Nearly all the Latin works that have survived were copied in Charlemagne’s time. Without him, the classical inheritance would have been very slim.
查理大帝虽然自我教育的成效不彰，但他提倡教育, 对饱学之士也鼎力支持;他下令学者四处搜寻古代经典,进行抄写。当今所有留存于世的拉丁文作品几乎都是查 理大帝掌政时期的复制本。没有他，这些经典遗产留存的可能性微乎其微。
Charlemagne faced huge handicaps. He had no bureaucracy; communications were poor; there was little trade; towns were tiny; there was a great amount of chaos. In all of this, his empire was most unlike the Roman. His mode of government was to appoint counts and dukes throughout his realm to keep the local lords in order and to ensure that they gave their allegiance to Charlemagne. There was no institutional base to this empire; its government depended on the personal power of its leader.
查理大帝面对极大的障碍。他底下没有官僚体系，沟通管道阙如，商业不振,城镇规模极小，到处兵荒马乱。种 种情境都和罗马帝国大相径庭。他的统理模式是在领土内广派公爵、伯爵坐镇，一方面让地方领主不敢造次，另一方面督使他们服从查理大帝。这个帝国没有宪法基础，政 府施政端赖领袖个人的权力。
Charlemagne built his palace at Aachen, close to the present border between Germany and Belgium, and in his time close to the center of his realm. Only the chapel survives. It is built in the Romanesque style, that is, after the style of Rome, with the rounded arches. The pillars supporting the arches were actually Roman; Charlemagne brought them back from Italy.
查理大帝将他的宫殿盖在亚琛(Aachen)，他的疆域中 心附近。亚琛位于当今德国的西部,靠近德国和比利时的边界,如今只有大教堂犹存于世。大教堂依罗马风格而建，也就是屋顶呈圆拱状的罗马式建筑。支撑教堂圆顶的大柱是真正的罗马遗物，是查理大帝特地从意大利运回来的。
After building up this huge empire with such great effort, Charlemagne decided in the customary German way that after his death it should be subdivided among his sons. But only one son of his survived, so the division of the empire occurred at the next generation, among his grandchildren. The grandsons fought among themselves and Charlemagne’s empire fell into three parts. The western part eventually became modern-day France; the eastern part became the basis of Germany. But in the fights among his grandchildren and in the chaos of the Norse invasions, Charlemagne’s methods of control disappeared. The counts and dukes established themselves as local strongmen with only very weak allegiance to whoever might be king. Europe had reverted to what it was immediately after the fall of Rome: Power was very much dispersed, and before there could be strong kingdoms again, kings would have to subdue counts and dukes.
千辛万苦建立起一个庞大帝国后，查理大帝决定遵循日耳曼习俗，死后将土地分给几个儿子，可惜他只有一个儿子存活下来，帝国的分家直到他孙辈那一代才得以实现。而这几个孙子内江互斗,查理大帝的帝国从此一分为三;西边那块最后变成如今的法国,东边变成今日德国的原始地。可是，几个孙子你争我夺，加上维京人入侵，一片混乱中，查理大帝的治国方略已荡然无存。各地的伯爵、公爵纷纷自立门户，成为独霸一方的强人,不管谁当国王都是“帝力于我何有哉"，服从性微乎其微。欧洲回复到罗马覆亡初期的局面:权力大为分散，国王必须先降伏山头分立的伯爵、公爵，才可能让强大的王国重现人间。
With the disappearance of Charlemagne’s empire, the pope had lost his strongman to protect him. For a while, he made do with whatever local princes he could find and crowned them emperor. Then, in 962, a new, strong king, Otto the First, emerged in the German part of Charlemagne’s old empire. The pope crowned him as Roman emperor and, thereafter, whoever became the king of Germany was, after being crowned by the pope, also Roman emperor and later Holy Roman Emperor.
查理大帝建立的帝国消失了，教皇也失去了保护他的强人。有一段时间教皇得过且过，哪个地方王侯支持他, 他就把谁加冕为王。公元962年，由查理旧帝国分出去的德意志境内终于出现一个强大的新王，奥托一世(Otto The First)。教皇为他戴上罗马帝国的皇冠，从此以后,无论何人登基为德王，在受教皇加冕后也兼任罗马帝国的最高元 首，亦即后来的神圣罗马帝国皇帝。
The German kings were the only kings in Europe who were elected. The practice of the Germans before they came into the Roman Empire was to run a mixed system of inheritance and election. There was a royal family, whose male members would be the candidates for election. This was to ensure that a good warrior was chosen to be king; the German tribesmen did not want to be saddled with a dud.
•皇帝巴结地方“角头”
在欧洲，只有德意志的国王是选出来的。早在入侵罗马帝国之前，日耳曼民族的传统就是继承制与选举制的混合。王位候选人都是某王室家族的男性子嗣，这是为了确 保选出的国王流着优良战士的血液，这些日耳曼蛮族可不希望被一个手无缚鸡之力的阿斗统驭。
It happened that in France for a long time all the kings produced able sons, and so gradually, inheritance became the sole means of determining who was going to be the French king. But in Germany, the kings were not so adept at producing good heirs so the system of election was maintained and continued more strongly when the German king regularly became the Holy Roman Emperor. The emperor had general oversight of all Christendom and election ensured that theoretically any Christian prince could be chosen for the job. In practice it was nearly always a German prince who was chosen. There were at first numerous electors, local strongmen like archbishops and dukes; eventually there were just seven who bore the name “elector.”
在法国，有很长一段时间正好所有的国王都生养出能干的儿子,慢慢地，世袭就成了决定谁能登基成为法国国王的唯一途径。可是,德意志的国王没那么会生好儿子, 因此选举制不仅维系不坠，更由于德王还要兼任神圣罗马帝国的皇帝，选举的角色更形吃重。皇帝既然统领大片的基督教江山，再加上选举制把关，理论上，任何信奉基督的侯选人都有机会雀屏中选，但事实上，中选者几乎都由德意志某家族的王储包办。一开始，主教、爵爷等地方强权人士都有选举权,为数众多；到最后只剩下七人具有“选举人”身份。
The German king/emperor struggled like kings everywhere to exert his power over local strongmen, some of whom were his electors. Since the emperor had to curry favor with the electors to win his post, he was sometimes yielding power rather than claiming it from them. The situation was even more complicated because, as well as the local struggles for control, the emperor for centuries was involved in a battle with a figure who rivaled him in power and prestige: the pope.
跟全世界的国王一样，这位德意志君王兼皇帝也为了压制地方强人而伤透脑筋——这些人有的还是他的选举人。由于皇帝必须巴结选举人才能登上宝座，有时候他不 仅不敢施展帝威，反而退让三分。除了地方上的权力斗 争，数百年来皇帝还涉身于另一场争斗,对手是论权力、论地位都势均力敌的人物:教皇,使得情势更加复杂。
Pope and emperor had helped build up the power of each other. The emperors had protected the papacy, most importantly by protecting the papal territories. On occasions, they had intervened in Rome to ensure that there was a pious pope and not some adventurer in the chair of Saint Peter. The popes had built up the power of the emperors by crowning them and giving them their title, Roman Emperor. But from the eleventh century the two quarreled because popes began to insist that the church should be run from Rome and kings and princes should not meddle in its affairs.
教皇和皇帝的权力日增,彼此都有推动之功。皇帝一 直是教皇地位的捍卫者，在保护教皇的属地方面尤其举足 轻重。他们偶尔也会插手罗马教务，目的是确保教皇乃信 仰虔诚之辈,以免哪个投机人士坐上圣保罗（他是第一任 教皇）的宝座。教皇借着为皇帝戴上冠冕、赐予罗马皇帝 封号,使得皇帝的威权更增，但自11世纪后，这对搭档开始反目，因为教皇坚持教会事务应由罗马治理，国王和王侯贵族都不能插手。
The Catholic church was the great international institution of the Middle Ages, but it was always being undermined because kings and local power brokers wanted to control who became bishops in their own territory. This was not simply so they would have a voice in church affairs; the bishops had many jobs to bestow—priests and officeholders in the church—and they controlled large portions of land from which the church derived its income. Sometimes, a third of the land was in the church’s hands; in Germany it was almost half. Those with secular authority wanted to influence how the bishops wielded their enormous power.
天主教会是中世纪时期最庞大的国际组织，可是它的 力量始终削弱不振，因为不管是国王还是地方的权力据 客,都想左右他们地盘内的主教人选。他们汲汲营营，并 不仅是为了在教会事务上有发声余地;主教底下会被赋予 许多职缺——司铎（通称神父）,教会的行政人员，同时掌控大片土地，也就是教会的收入来源。有时候，国土有三 分之一是掌握在教会手里,在德意志地区更近乎一半。那 些拥有世俗权力的人因此虎视眈眈,亟欲影响有能力施展 莫大教权的主教。
When we say the church was an international body, think of it in this way. Toyota, which is run from Tokyo, is in the business of making cars. Say, in the US, its chief executive is appointed by the president and the plant manager is appointed by the local mayor. Officially, the plant manager and the chief executive owe their allegiance to Tokyo, but of course in practice, since they have been appointed by the president and the mayor, they will always be looking over their shoulder to see that they don’t displease them. And the mayor and the president might not have selected people who know anything about cars; they will give these jobs to the people they need to please this week. This is what the medieval church was like: It had been undermined, subverted from within, and plundered by local power brokers and the monarchs of Europe.
当我们说教会是个国际组织时,不妨这样想象:从事 汽车制造业的丰田汽车，总公司设立在日本东京,假设丰 田澳大利亚分公司的执行长必须由澳大利亚总理任命，厂 长则由当地市长指派。体制上，这位厂长和执行长必须听 从东京总公司的指令,但实际上,由于任命他们的是澳大利亚的总理和市长,他们当然会瞻前顾后,小心不要得罪了他们。更何况，澳大利亚的总理和市长指派的人选不见得很懂汽车，他们想讨好谁,就把这差事给谁做。中世纪 的教会便是如此，它饱受白蚁侵蚀,惨遭地方权力捐客和欧洲君主的剥削，力量始终积弱难振。
The pope, who wanted to upset all those cozy arrangements and bring authority more firmly back to Rome was Gregory VII, who became pope in 1073. He declared that he would in the future appoint bishops. The emperor Henry IV replied that he would continue to do so. The emperor stood firm, so the pope excommunicated him; that is, he expelled him from the church. The emperor was no longer able to take mass or to have any of the services that the church provided. This was always a very powerful weapon for popes because having excommunicated a king, they told the people in his territories that they did not have to obey him. In this case, German dukes and princes, who always wanted to escape from the emperor’s control, were delighted to find that he was excommunicated and could be ignored.
•把皇帝直接赶出教会
起而力抗所有这些看似温馨的安排，好让罗马教廷手中的威权恢复稳固的，是1073年当上教皇的格列高利七世（Gregory VII）。他公开宣布，尔后主教由他亲自指派。亨利四世的回应是:将来这个职位继续由“朕”安排。皇帝态度强硬，教皇于是开除了他的教籍——换句话说，皇帝被赶出教会的门墙，再也不能参与弥撒，也不能得到教会提供的任何服务。这向来是教皇手中的强大法宝,因为开除皇帝教籍犹如昭告全国人民，他们不必再对皇帝听命服从。那些贵族和王侯们老早就想脱离皇帝掌控，如今发现 他被逐出教会门墙，从此可以置之不理，莫不心头大乐。
Henry IV then crossed the Alps in winter and found the pope in a castle at Canossa in northern Italy. He waited outside for two or three days in the snow, begging the pope to see him. He had cast off all his royal regalia; he was dressed in humble clothes. Finally, the pope relented and the emperor knelt before him and asked for forgiveness. The pope lifted the excommunication, to the great annoyance of the German princes. This was very humbling for Henry, of course, but it was also quite a clever ploy. It was very hard for a Christian pope to refuse to grant forgiveness. The emperor did not completely abandon his position. The dispute dragged on for years and finally there was a compromise. The emperor was allowed to have some influence in choosing bishops but it was to be the pope who actually gave them their staff of office and their official robes.
亨利四世于是顶着严冬天气跨越阿尔卑斯山脉，来到意大利北方卡诺莎（Canossa）的城堡求见教皇。他在城堡外的风雪中等了两三天，只求教皇见他一面。他将身上所有的王权标志脱卸殆尽，只着一身平民装扮，教皇终于心软，这位皇帝在他面前跪下，请求原谅，于是教皇解除了 “绝罚”（即逐出教会），那帮王公贵族自然气得吹胡瞪眼。 当然，对亨利四世来说，这样做确实屈辱,但也是聪明之 举，因为要信奉基督的教皇拒绝宽恕人是很难的。当然， 这位皇帝并没有完全放弃自己的立场。这场争执继续僵持多年，最后终于取得折中：皇帝可以就主教人选施展若干影响力,但实际赐予主教权杖并为他们圣袍加身的,必须是教皇本人。
These battles continued between popes and emperors for a long time. They were literally battles. The pope went to war against the emperor. You might ask, how does the pope carry on a war? He is a monarch in his own right; he has his own territories from which he collects taxes that he then uses to hire soldiers. He looks around for allies wherever he can find them. Sometimes, the pope made an alliance with the German princes who did not want to be subject to the emperor and opened a front, as it were, in the emperor’s rear. The towns in northern Italy, which in the Middle Ages became the richest towns in Europe, did not like being subject to the emperor, whose realm extended this far south. Sometimes, the towns allied themselves with the pope to fight off the emperor. Often, they played both sides, switching allegiance as was most advantageous.
皇帝和教皇之争持续了很长一段时间,他们甚至是真 正的兵刃相见、战场交锋。你或许会问，教皇要怎么打仗呢？由于他本身也是一国之尊，他有自己的属地可以征税，他就拿这笔税收来征雇士兵。他四处寻找盟友，有时候会跟一些不想屈从于皇帝之下的王侯合作，打个比方, 就像打开皇帝他家的后门来捣乱。中世纪时期，北意大利的市镇成为欧洲最富庶的地区，而皇帝的江山已经远届南部这里。这些城镇不喜受皇帝掣肘,有时也会主动和教皇结盟，联手去打皇帝。他们时常扮演墙头草，哪边对他们有利就归顺哪方。
The pope as warrior is wonderfully described by the Renaissance artist Cellini in his autobiography. Like many Renaissance men, Cellini was multitalented, not only a superb goldsmith, but also good with weaponry. When an enemy was attacking Rome, he was on the battlements with the pope, giving instructions about the firing of the cannon. Among the pope’s enemies was an old Spanish officer who had formerly fought for the pope but was now on the other side. He was a long way off, not thinking he was in range at all. He was standing in a very relaxed way with his sword slung in front of him. Cellini gave the order for the cannon to fire. It was a freakish shot; the ball hit the officer’s sword, which it pushed back, cutting him in half. Cellini was very distressed at this: killing a man before he had time to prepare himself for death. He knelt before the pope to ask for absolution. But the pope was delighted at his deed. He said, “Yes, I forgive you; I forgive you all the homicides you commit in the service of the church.”
•教皇也会打仗、杀人？
对于这位俨如战士一般的教皇,文艺复兴时期艺术家切利尼（Cellini）于自传中有段精彩的描述。同文艺复兴时期的许多人物一样，切利尼也是多才多艺,他不但是个手艺高超的金匠，也精通武器制作。有一回敌军攻打罗马， 169 170 他站在教皇这边,就如何开炮射击下达指令。教皇的敌人之一是某个曾替教皇打仗,但现在投效敌营的昔日西班牙官员,这人站得老远，完全没想到自己会身在射程之内，他一派轻松，配剑还挂在胸前。当切利尼下令发射，炮弹立刻 击中这个武官的剑,剑反插到武官的身上，将他切成两半。 切利尼非常沮丧，他杀了一个完全没有为死亡做好准备的 人。他跪在教皇面前，请求赦免，教皇却大悦地说:“噢，我原 谅你，我原谅你所有因为服务教会而犯下的杀人罪过。”
Here is a sculpture of Saint Peter, the supposed first bishop of Rome, dressed as a medieval pope, with a gorgeous cloak and great crown. He has not forgotten his humble origins as a fisherman: One of his feet is bare. Most people in medieval times would not have been offended at this grandeur. The pope should be a great prince; he should have all the trappings of royalty because he was the head of the church and had to meet other monarchs as an equal.
这是圣保罗的雕像（见下图），世上公认的第一位教 皇,身着中古时代的教袍，华丽的披风和硕大的教冠，他从未忘记自己打鱼的贫寒出身，他一只脚是赤足的。中世纪时期，大部分的人对于这样的奢华不会觉得刺眼,教皇是个重要的君侯，他本该拥有皇室的一切行头，因为他是教会元首，而且要以平起平坐之姿会见其他君主。
pics. Medieval bronze statue of St. Peter enthroned in St. Peter’s Basilica, Rome.
Pope and emperor fought each other to a standstill. They never had a complete victory, one or the other. Their dispute was like conflict between bosses and workers. There are strikes and threats of firing, often intense and bitter, but you know there will always be a settlement and that there will always be bosses and workers. The significance of the pope–emperor struggle is that the pope never claimed to be emperor and the emperor never claimed to be pope. They both acknowledged that the other should exist; they were arguing about their relative powers. This is a very important characteristic of Western Europe, which distinguishes it from the Byzantine Empire in the east. The practice in Constantinople was that the emperor was not only the ruler of the civil affairs of his empire but also of the church. There was a patriarch, but the patriarch was appointed by the emperor and under his control. In the west, the two authorities of church and state were separate and had independent authority. This was a continuing bar to any universal claims by kings.
教皇和皇帝的互斗始终是僵持的局面,从来没有一方 得到过完全的胜利。他们就像老板和伙计之间的斗争;有人罢工有人以开除要挟,有时局面火爆而惨烈，不过你知道最后总会解决，而且世界上永远都会有老板和员工。教 皇和皇帝之争要说有什么意义，那就是教皇从没说过自己是皇帝，皇帝也从不以教皇自居。双方都承认对方的存在有其必要,争的只是彼此的相对权力。这是西罗马帝一个非常重要的特色,也是它和东罗马帝国的分野所在。在东边，依照君士坦丁堡的规矩，皇帝不但是整个帝 国世俗事务的统御者，也是教会的统治者。他们也有个最高主教，但这位最高主教由皇帝指派，也归皇帝管辖。在西边，教会和国家则是分开的两个权力单位，各有各的权威。这对国王来说是个不曾或断的障碍，让他无法号称普 天下都是他一个人的。
pics. Western and Central Europe in 1648.
The effect of the long-term struggle between emperor and pope was that they weakened each other. The longterm effect on Central Europe, running from Germany in the north to Italy in the south, can be seen on the map. Here is a patchwork of small states, principalities, and cities. In the west, England, France, and Spain have now emerged as unified countries. Dukes and counts have been brought under control and the king’s writ runs right through his territory. In England, this was much helped by its conquest in 1066 by Duke William, who, in seizing control of all parts of the country by force, established a stronger monarchy than in mainland Europe. In Central Europe, two great powers—emperor and pope—had been struggling, trading away their local authority in order to fight each other. The result was that the smaller units gained power rather than lost it. They were self-governing bodies only marginally affected by their overlords. It was here that two transforming developments of modern (post-1400) Europe occurred: the Renaissance and the Reformation. Why they occurred is a hard question to answer; why they could occur here is easier.
长年争斗的结果，是教皇和皇帝的力量双双被削弱 （如图6-3）。举北起德意志南至意大利的中欧为例，地图 上即可看出其长期的恶果；这个地区犹如一个由诸多小国、公国和城市拼凑出来的拼布图。在西边，英国、法国和 西班牙已经以统一国家之姿崛起，地方的公爵、伯爵已被降 服，国王在国界内令出必行。英国之所以有这个局面，威廉 公爵(Duke Wi出am)居功厥伟，他于1066年以武力平定了国 境内大小区域，建立了一个比欧洲本土更强大的君主国家。 反观中欧，教皇和皇帝一直硝烟不断，两大权力中心为了互斗，宁可把自己在国内的权威当成交易拱手让人,结果, 图6-4 文艺复兴时期的意大利诸邦（公元1494年左右）。地方权力不减反增,小虾米变成了自治体，根本不把他们的君王放在眼里。近代（公元1400年以降）欧洲两大脱胎换骨的运动，文艺复兴和宗教改革，都发生在这里。这两大运动何以发生很难说得清，何以在此处发生则比较容易回答。
The northern cities of Italy, where the Renaissance began, were small city-states such as the ones that had existed in classical Greece. The Italian cities were rivals, militarily and culturally: They went to war with each other and they wanted to outdo each other with the splendor of their art. Because they were states as well as cities, they concentrated many talented people in one place. The nobility, unlike those in the rest of Europe, did not regard their landed estates as their natural home; they lived in the cities as well. The variety and vitality of city life characterized whole societies. These were the places that could conceive and carry out the project of recreating the ancient world.
意大利北方诸城,文艺复兴的发源地，颇类似于古希腊时代的小城邦。这些意大利城镇在军事上和文化上是敌对的，它们彼此征伐也互相竞技，在艺术上互比光辉灿烂。由 于它们既是城市又是邦国，能将许多才智之士荟萃于一地; 它们的贵族也不同于欧洲其他国家，他们住在城市里，并不把自己的领地当做天经地义的居家所在。城市生活的多元与活力，是这整个社会的特色，在这样的地方,孕育并实践一 个重建古代世界的计划因此成为可能。
pics. The states of Italy during the Renaissance (c. 1494).
Luther’s Reformation took root and flourished in Germany because secular power was dispersed. It was the duty of the emperor to put down Luther’s heresy and rather belatedly he attempted to do so. Luther was given safe passage to come before him and the princes of Germany to be examined. When Luther refused to recant, the emperor declared that he was a heretic, that no one should support him, and that he should be arrested. His orders were immediately frustrated by Frederick the Elector of Saxony, who seized Luther and took him into hiding. It was while Luther was hidden in his castle that he began to translate the Bible into German. Frederick and the other German princes who supported Luther saw the advantage of putting themselves in charge of the church and its lands. They increased their own power at the expense of pope and emperor—and so Lutheranism was born.
而马丁•路德的宗教改革之所以在这里扎根并开枝散叶, 是因为世俗权力的分散。镇压马丁路德的异端邪说是皇帝的责任，可是他迟迟没有这样做,他下令让马丁・路德从安全通道进来见他，而这条通道即使连贵族王侯也要遭到搜查。 但马丁路德不肯收回他说过或写过的话，皇帝就宣布 他是异教徒，不准任何人声援他，同时下达拘捕令。但皇帝的命令当即踢到铁板;萨克森选帝侯腓特烈(Frederick I, Elector of Saxony)带走了马丁•路德，把他藏匿起来。马丁路德就是躲藏在其城堡期间，开始将《圣经》译成德文。 腓特烈和其他王侯支持马丁・路德是以私利为着眼:希望自己能掌管教会和教会的土地，他们为扩张一己势力牺牲了教 皇和皇帝,路德教派就此诞生。
Germany and Italy remained divided until the second half of the nineteenth century. They came late to national unity and were more prone than the older, unified states to take up the intense nationalism fostered by the Romantic movement. In the twentieth century, they were the two states that adopted nationalism in its most aggressive and exclusionist form, which goes under the name of fascism.
在19世纪下半叶之前，德意志和意大利一直是处于分裂的局面，这两个国家一直到很晚才统一，而且比那些较早统一的国家，更倾向于浪漫主义时期所萌生的强烈民族主义。这两国于20世纪采行了最具侵略性也最排他的民族主义，世称“法西斯主义”。
Though in itself the position of emperor carried little power, the Holy Roman Empire survived. From the late Middle Ages, one family always provided the person who was elected Holy Roman Emperor. This was the Habsburgs, one of the great ruling dynasties of Europe. They supplied monarchs for Spain, Austria, parts of Italy, and the Low Countries. To them, holding the position of emperor added to their prestige; their power came from their own kingdoms. Voltaire, the guru of the Enlightenment, mocked the Holy Roman Empire as neither holy, nor Roman, nor an empire, which was true enough, but its survival was always somewhat magical, carrying a name and an idea in a very odd form. It took the head of a new empire to abolish this strange survival of an old one. He was Napoleon Bonaparte, who took charge of France in 1799, ten years after the revolution began.
•拿破仑崛起
虽然神圣罗马帝国皇帝的位子本身并无多大实权，但这个帝国还是存活了下来。打从中世纪后期开始，有个家族一直在制造登基成为神圣罗马帝国皇帝的人选。这个家族是 哈布斯堡家族（Hapsburg）,欧洲史上最显赫、统治疆域最广 阔的王室之一。哈布斯堡家族的成员当过西班牙、奥地利、 若干意大利地区及低地国家（荷兰、比利时、卢森堡）的国 王。对他们来说,皇帝头衔不过是锦上添花;他们的权力来 自自己的王国。伏尔泰（Voltaire）这位启蒙时期的大师就嘲 笑神圣罗马帝国，说它既不神圣也不罗马亦非帝国，此话诚 然不假，可是它顶着一个名字和一个非常奇怪的体制却能存 活，看来总是带着点奇迹。直到一个新帝国的元首出现，这 个奇特而苟延残喘的旧帝国才告终结。这人名叫拿破仑 （Napoleon Bonaparte）,于1799年，法国大革命的十年后成为法国的执政者。
The revolution began by proclaiming liberty, equality, and fraternity; within four years, there was a Jacobin dictatorship ruling by the guillotine; when it looked like Robespierre was continuing to rule in the same way, even though the war crisis was passed, he was overthrown and executed. Moderate republicans then tried to stabilize the revolution, to keep out the common people and the supporters of a return to monarchy, who had a large and growing following. The government had to use force against both these opponents to survive and lost all credibility. This gave Bonaparte his chance. He had made his name as a general in the revolutionary wars that France had waged against the monarchical powers of Europe. He was a son of the Enlightenment, a believer in the principles of the revolution, except in the right of the people to govern themselves. Since the French had most signally failed at that task since 1789, Bonaparte’s approach was very attractive. He was the most seductive of dictators. He wanted no group to enjoy special privileges; all citizens were to be treated as equals; all children were to have the chance of education provided by the state; all positions were to be open to people of ability. He gathered men of great talent into his government, ignoring altogether what part they had played during the revolution, whether as monarchists or republicans, supporters of the Jacobin terror or its opponents. He gave them the task of giving France an orderly, rational system of government.
法国大革命从自由、平等、博爱的口号中出发，接下来的 四年,统治权落在用断头台治国的雅各宾独裁者手里;战争的危机已经过去，眼看罗伯斯庇尔还要这样执政下去，但他 终于被推 ，也被送上了断头台。走中庸路线的共和国信徒 175 176 试着让革命局面稳定下来，也试着驱除民主势力和君王复辟 的支持者——这些人不在少数甚至与日俱增。为了对抗这 两股反抗力量以延续共和生命,政府不得不动用武力，结果 威信尽失。这给了拿破仑崛起的机会。先前他已因多次领 导法国的革命战役，抵抗欧洲其他见不得法国共和的君权国 家入侵而声名大噪。 拿破仑是启蒙运动之子，深信革命所揭巢的诸多原则, 却不相信人民有权统治自己。自1789年之后，法国在这个志业上可说是节节落败，拿破仑的政见因此非常吸引人。他 是独裁者中最有魅力的一个，他不准任何团体享有特权，所 有国民一律得到平等对待,国家提供所有孩童受教育的机 会，所有职务都要公开选才。他延揽各方人才进入政府，无 论是保王派还是共和派,雅各宾恐怖政权的支持者还是反对 者,完全不计较他们过去在革命中扮演的角色。他只交给他 们一个使命:创立一个有理性、有秩序的政府体制。
One reason among several for not giving too much weight to the “absolutism” of the French monarchs was that, although they had built up their own power, they still ruled over a patchwork rather than a unified state. There were different systems of law and administration and a myriad of special privileges, exemptions, and concessions, all of which the monarch had made to secure new areas for France and new allegiance to himself. The revolutionaries swept all this aside; their aim was a unified nation. But during the chaos created by fighting each other, they did not get far in establishing a new regime. That was the task Napoleon set himself and his panel of experts. Their greatest work was the development of the Civil Code, an imitation of the great code of Emperor Justinian, a single document in which the law on every subject was laid down.
我对法国君王的“专政”并没有太多着墨的原因有几 个。其一是他们虽然建立起自己的势力，但所统治的依然是块拼布图而非统一的国家。法律制度和行政系统有如多头马车，而君主为了稳固新的法国地盘,培养对自己效忠的新 臣民，释出的妥协、特权、豁免也多如牛毛。革命党把这些全都扫到一旁，他们念兹在兹,期期要建立一个统一国家。然而,在你争我夺的混乱中，新政权的建立并无多大进展。拿 破仑把这个任务交给自己和他的专家群。《拿破仑法典》的 制订是他们最伟大的成就,这部法典以查士丁尼大帝任内编 成的法典为范本,是一套能让所有事务都有所遵循的法规。
pics. The continuity of the Roman Empire. Holy Roman Emperors traced their lineage back to Charlemagne, then through the Byzantine emperors and through to the first Roman Empire and Augustus.
The Roman example was important to Napoleon. At first, he called himself Consul, then Emperor; but like Augustus, he did not mean by that title to obliterate the republican status of France. Like the Romans, he planned to create an extensive empire where the principles of republican France would be the basis for a just and orderly society. He continued the wars with the great powers of Europe that the early revolutionaries had begun and won amazing victories. He extended the boundaries of France, and beyond France he reshaped principalities and kingdoms and put his brothers in charge of them. Right across the continent he swept away medieval rights, privileges, and anomalies and established his new rational order. When the powers of Europe finally managed to cooperate for long enough to defeat Napoleon, much of his work could not be undone. What pleased him most, reflecting on his life in exile on Saint Helena in the South Atlantic, was the survival throughout Europe of his Napoleonic Code—which still survives. What did not survive was the Holy Roman Empire. Napoleon abolished it in 1806 when he regrouped several small states in Germany into the Confederation of the Rhine.
•终止仇恨，自戴皇冠
罗马是拿破仑一个重要的榜样。他一开始自称执政官, 接着又称皇帝，不过他跟奥古斯都一样，并没有借这个头衔弭除法国共和体制的意图。他跟罗马人一样,打算建立一个庞大帝国,让法兰西共和国的建国原则成为一个公平正义、 条理井然的社会的基础。虽是早期革命分子挑起了战端，但 他还是继续跟欧洲强权国家打仗,多次获得辉煌的胜利。他 扩张了法国疆界，也重新分配法国境外的侯国封邑，安排他 的兄弟出任管辖。 他为欧洲大陆拔除了中世纪的旧势力、特权与诸多病态现象，建立起新的理性秩序。欧洲几个强权国家经过长久的休养生息，终于联手打败了拿破仑，但他的功绩已是无法抹 杀。他后来被放逐到南大西洋的圣赫勒拿岛(Saint Helena),当他回顾一生，最感欣慰的是《拿破仑法典》得以存续, 通行于整个欧洲——直到今日犹存。而神圣罗马帝国没能 存活下来。1806年，拿破仑废掉了这个帝国,重新构组为莱茵邦联(Confederation of the Rhine) 。
Arch of Constantine, Rome: commemorating his victory over a rival emperor in AD 312.
Arc de Triomphe, Paris: commissioned by Napoleon at the height of his power in 1806.
Napoleon was a nonbeliever, in God that is; he was a great believer in chance and destiny. But he realized how firmly people were attached to their faith and how useful religion was in maintaining morality and good order. The early revolutionaries, as children of the Enlightenment, did not have this respect for organized religion. Nothing did more to divide French society and alienate people from the revolution than its attack on the Catholic church. The revolutionaries seized church land and set up a rival national church, which the pope refused to recognize. Napoleon was determined to end the bitterness and divisiveness that this had caused. He reached an agreement with the pope, a Concordat, which acknowledged that the Catholic faith was the religion of the great majority of the French people. Not all the French people, and Napoleon would not agree to the pope’s demand to withdraw freedom of religion, which allowed Protestants and others to practice their faith without impediment. On the appointment of bishops the Concordat reinstated an old practice: The state would nominate bishops and the pope would invest them.
拿破仑不是信徒，换句话说,他不相信上帝。他笃信机 会和命运。但他明了人民和信仰的深固关联，深知宗教对于 维系士气和秩序有多重要。早期的革命分子是启蒙运动培 养出来的小孩，对管理宗教缺乏这样的尊重。要说造成法国 社会分裂，让人民对革命越来越敬而远之的主因，什么也比 不上攻击天主教会。革命党人霸占教会土地,设立了一个教 皇拒绝承认的、敌对教派的国家教会，拿破仑决定要终止此 举所导致的仇恨与分裂。他跟教皇达成协定(教廷和政府间的协定有个特殊名 称，叫做Concordat),承认天主教是法国多数人民但并非“所有“人民的宗教;教皇要求撤销宗教自由，拿破仑也不同意， 指新教徒和其他宗教的信徒有权奉行自己的信仰而不受干扰。至于主教的任命，这份协定让它回复旧规:主教由国家 提名,但由教皇为他们披上圣袍。
The pope was present in Notre Dame cathedral when Napoleon was crowned emperor. He anointed Napoleon and his empress, Josephine; he blessed the imperial regalia: orb, hand of justice, sword, and scepter. But Napoleon himself put the crown on his own head. It was a replica of the crown the pope had placed on Charlemagne, a light, open crown, like the laurel wreath that Romans gave to their victors.
在教皇的出席下,拿破仑于巴黎圣母院加冕为皇帝。教 皇任命拿破仑与约瑟芬为皇帝和皇后,并赐福于象征王权的标志物:宝珠、权杖、宝剑、正义之手。然而，是拿破仑为自己 戴上了冠冕，那是一顶复制品，仿照教皇曾为查理大帝戴上的 王冠而做，它中空而轻巧,状似罗马人为胜利者戴上的桂冠。
