（文章翻译）拜占庭兵役、军事土地和士兵的地位：当前的问题和解释（第七部分）

Military Service, Military Lands, and the Status of Soldiers: Current Problems and Interpretations Author(s): John Haldon
敦巴顿橡树园论文，1993 年
翻译：神尾智代 

VII. THE ARMY IN SOCIETY

七、社会中的军队

I will stop at this point and turn now to look at the implications of these debates for our understanding of the role and status of the military in the Byzantine world. I will do this by examining briefly the key elements in the relationship between the state and its armies from the sixth to the twelfth centuries, and by putting these in the context of the evolution of Byzantine society as a whole over this period. This will necessarily be a partial account, related to the specific themes I have taken up so far-there are, of course, a whole range of important "historical sociological" issues which also need to be addressed, which I cannot go into here.

          我将就此打住，现在转向看看这些辩论对我们理解军队在拜占庭世界中的作用和地位的影响。 为此，我将通过简要研究从 6 世纪到 12 世纪国家与其军队之间关系的关键要素，并将这些要素置于这一时期整个拜占庭社会演变的背景中来做到这一点。 这必然是部分说明，与我迄今为止所涉及的特定主题相关——当然，还有一系列重要的“历史社会学”问题也需要解决，我不能在这里详述。

The first point I would emphasize is that there is a clear shift in the political role of the army and of soldiers from the sixth to the eleventh century. The relationship between soldiers and the state in the late Roman period-that is to say, up to the reign of Heraclius, approximately-can be characterized as fairly direct, by which I mean that the intermediaries between these two elements were relatively few, and were on the whole themselves part of the state's apparatus, whether civil or military. This direct relationship can be summed up in a number of points.

          我要强调的第一点是，从 6 世纪到 11 世纪，军队和士兵的政治角色发生了明显的转变。 罗马晚期——也就是大约到赫拉克利乌斯统治时期——的士兵与国家之间的关系可以说是相当直接的，我的意思是说，这两个要素之间的中介相对较少，而且 无论是民事还是军事，它们本身都是国家机器的一部分。 这种直接关系可以概括为以下几点。

To begin with, the state retained, in theory if not always in practice, a strict control over the production and issue of weapons which, whether issued directly to the soldiers, or sold to them, were a state monopoly and passed from state hands to those of the soldiers via specifically laid out and approved routes, which are described in detail in the legislation of Justinian. All the evidence we have for the period before the Islamic conquests suggests that the system did not change in this period. Furthermore, the state directly supervised the provisioning of the field armies, whether permanently settled in a specific garrison town or whether on campaign, through imperial officials specifically appointed to such tasks. This feature is tied into the fact that the state paid and rewarded its soldiers directly, through cash salaries (commuted annonae and capitus), quinquennial and accessional donativa, and field or campaign awards.

          首先，国家在理论上保留了对武器的生产和发行的严格控制，无论是直接发给士兵还是卖给他们，都是国家垄断的，从国家手中转移到 那些士兵通过特别布置和批准的路线，这些路线在查士丁尼的立法中有详细描述。 我们在伊斯兰征服之前的时期所拥有的所有证据表明，该制度在这一时期没有改变。 此外，国家通过专门任命执行此类任务的帝国官员直接监督野战军的供应，无论是永久定居在特定的驻军城镇还是进行战役。 这一特征与国家直接支付和奖励其士兵的事实有关，通过现金工资（通勤 annonae 和 capitus）、五年一次和额外的捐赠以及实地或竞选奖励。

Throughout the period with which we are concerned soldiers had a specific legal status, inscribed in Roman-Byzantine law and inherited ultimately from the position of soldiers in the armies of the late Republic, modified and altered during the first century and a half of the Principate. As we have seen, a central element in this was the existence of a specific military peculium, which until the modifications which appear to have been introduced during the eighth century meant the right of disposal of property gained through their state service or through inheritance freely, without reference to the lex Falcidia, according to which property had to be apportioned among specific groups of relatives before its dispersal elsewhere.42

          在我们所关注的整个时期，士兵都具有特定的法律地位，写入罗马-拜占庭法律，并最终从共和国晚期军队中的士兵地位继承而来，在元首统治的第一个半世纪进行了修改和改变 . 正如我们所看到的，其中的一个核心要素是存在特定的军事特权，直到 8 世纪似乎进行了修改，这意味着对通过国家服务或通过自由继承获得的财产的处置权， 不参考《恶性法》，根据该法，财产必须在特定的亲属群体之间分配，然后才能分散到其他地方。

All this meant that, whatever the practical and logistical difficulties which diluted the effectiveness of this direct relationship, soldiers were independent of other social loyalties for the most part, serving the state in a more or less unmediated way in a purely military hierarchy of power. In the context of the sixth century or the later fifth century, soldiers' rebellions against authority were almost entirely connected with conditions of service-late pay, bad supplies, inadequate compensation for hardship, overzealous officers, and so on. Virtually none of the military unrest which can be located at this time can be connected with any sort of "political/ideological" consciousness or desire actively to intervene in imperial or provincial politics in order to effect some sort of change. Whether soldiers were led and exploited by their officers, or whether they acted on their own initiative (there are many examples of the latter), their grievances were on the whole not connected to any ideological context, but rather with their economic situation and their conditions of service and remuneration. In this period, still, "politics" remained a predominantly metropolitan or urban phenomenon, in which soldiers were only marginally implicated as an independent element，if at all.

          所有这一切意味着，无论削弱这种直接关系有效性的实际和后勤困难如何，士兵在很大程度上独立于其他社会忠诚度，在纯粹的军事权力等级中以或多或少无中介的方式为国家服务。在六世纪或五世纪后期的背景下，士兵们反抗权威的情况几乎完全与服役条件——迟到的工资、物资的短缺、艰苦的补偿不足、军官的过分热心等有关。实际上，此时可以定位的军事动乱与任何“政治/意识形态”意识或积极干预帝国或省级政治以实现某种变革的愿望都没有联系。士兵们无论是被军官领导和剥削，还是他们主动采取行动（后者的例子很多），他们的不满总体上与任何意识形态无关，而是与他们的经济状况和条件有关。服务和报酬。在这一时期，“政治”仍然是一种主要的大都市或城市现象，其中士兵只是作为一个独立的因素被边缘化了，如果有的话。

Of course, there were groups of soldiers, notably private or state-supported bucellarii, who do not fit into this pattern, especially in the second half of the sixth century when, as evidence from Egyptian papyri suggests, the state actively encouraged members of the senatorial landed elite to hire private soldiers in order to maintain local peace and security, especially-as we might predict-where the collection of revenues was concerned. In return, the landlords received certain state benefits, and the soldiers themselves received official recognition as soldiers of the imperial forces, not merely hirelings.

          当然，有一些士兵团体，尤其是私人或国家支持的 bucellarii，他们不符合这种模式，尤其是在 6 世纪下半叶，正如埃及纸莎草纸所表明的那样，国家积极鼓励 参议员领地精英雇佣私人士兵来维持当地的和平与安全，尤其是——正如我们可能预测的那样——涉及收入的征收。 作为回报，地主获得了一定的国家利益，而士兵本身也获得了官方认可，成为帝国军队的士兵，而不仅仅是雇佣兵。

But on the whole and in spite of the manifest inefficiencies of state control, state control，state control of a fairly direct sort existed, and the soldiers, with rare exception, acted within the parameters of the imperial system.

          但总体而言，尽管国家控制明显低效，但国家控制、国家控制还是存在的，而且很少有例外，士兵们都在帝国制度的范围内行事。

This changes by the later seventh century. Suddenly we find soldiers and their leaders actively involved in challenging and overthrowing emperors on what can only be called an almost regular basis, at least for a while. What I have suggested was happening is complex, and I wish only to outline the basics of a very ramified argument here.

          这在七世纪后期发生了变化。 突然间，我们发现士兵和他们的领导人积极参与挑战和推翻皇帝的活动，这只能称为几乎是定期的，至少有一段时间是这样。 我所建议的正在发生的事情很复杂，我只想在这里概述一个非常分支的论点的基础知识。

Two points can be made. First, an examination of the relevant evidence suggests that grievances over conditions of service, pay, supplies, officers' treatment of the men, and so on, were no longer at the root of such trouble. On the contrary, whether involving officers in a leading role or not, soldiers now took part in what we can reasonably call "imperial" politics, voicing their own particular points of view. The key issues seem to have been fundamental questions about the nature of the state they lived in; the relationship between God, human society, and the individual; and the activities or abilities or Orthodoxy of particular rulers.

          可以提出两点。 首先，对相关证据的审查表明，对服务条件、薪酬、物资、军官待遇等方面的不满已不再是此类麻烦的根源。 相反，无论是否让军官担任领导角色，士兵们现在都参与了我们可以合理称为“帝国”政治的活动，表达了他们自己的特定观点。关键问题似乎是关于 他们居住的州的性质； 上帝、人类社会和个人之间的关系； 以及特定统治者的活动或能力或正统观念。

This evolution took place in the context of a gradual change in ordinary perceptions of the relationship between the emperor and God and more especially about the source of imperial authority, on the one hand, and the location of sources of intercession, on the other, a change which occurred in the 550s or 560s on into the second half of the seventh century. In other words, there is a series of very complex, interlocking elements here, all of which need to be brought together to understand what made it possible for people, and specifically for soldiers, to think as they did, and act as they did, in the second half of the seventh century.

          这种演变发生在对皇帝与上帝之间关系的普通看法逐渐改变的背景下，尤其是一方面是关于皇权的来源，另一方面是对代祷来源的位置的看法。 发生在 550 年代或 560 年代的变化直到七世纪下半叶。 换句话说，这里有一系列非常复杂的环环相扣的元素，所有这些元素都需要结合在一起才能理解是什么让人们，特别是士兵，能够像他们那样思考和行动， 在七世纪下半叶。

Another fundamental change apparent by the second half of the seventh century, and which is an important element in the whole puzzle, is a loosening of what I have suggested was the fairly direct relationship between the state and its armies. The sources are difficult to interpret and very heterogeneous, but it seems clear that from this time and through the eighth century, with a specific exception, the regular field armies of the empire-now withdrawn into the regions which supported them after the Arab victories of the late 630s, and referred to as themes or themata-became increasingly ideologically and psychologically distanced from the center. While we cannot date many of the developments which occurred exactly, a number of points characterize the situation of soldiers and armies in the period from the 650s and 660s, although I would stress that the process is an evolving one.

          到7世纪下半叶，另一个明显的根本变化是整个难题中的一个重要因素，即我所建议的国家与其军队之间相当直接的关系有所放松。 来源很难解释，而且非常不同，但似乎很清楚，从这个时候到8世纪，除了一个特殊的例外，帝国的正规野战军队现在撤回了在阿拉伯人的胜利之后支持他们的地区。630年代后期，被称为主题或主题——在意识形态和心理上越来越远离中心。 虽然我们无法准确确定发生的许多事态发展，但有一些要点描述了 650 年代和 660 年代期间士兵和军队的状况，但我要强调的是，这个过程是一个不断发展的过程。

First, central authority over recruitment or conscription of soldiers is loosened. This does not mean that the center retained no power, since a supervisory system of registers was maintained, and regular returns must have been made about the status of the armies in each district to Constantinople (although we only have evidence for how this worked from the later eighth and early ninth century, when a series of reforms or rationalizations were carried out). But the result was, as we have already seen, that recruitment became highly localized.

          一是放宽了征兵的中央权力。 这并不意味着中央没有权力，因为维持了一个登记监督系统，并且必须定期返回每个地区的军队状态到君士坦丁堡（尽管我们只有证据证明这是如何运作的） 8 世纪后期和 9 世纪初期，当时进行了一系列改革或合理化）。 但结果是，正如我们已经看到的，招聘变得高度本地化。

Second, and in the process, soldiers become part of local society, again something apparent from the preceding discussion of the thematic structure.

          其次，在这个过程中，士兵成为当地社会的一部分，这在前面对军区结构的讨论中也很明显。

Third, the organization of military matters at the tactical level-the bandon or basic unit (of anything from fifty to three or four hundred soldiers-again, the sources are both contradictory and imprecise)-was highly localized also. Since soldiers recruited from particular localities served in the same units-as far as we can tell (and again later evidence, which can, I believe, reliably be used retrospectively, shows how this worked)-they tended to share both similar loyalties and similar views or a similar understanding or "common sense" of how their world worked——or should work.

          第三，战术层面的军事组织——bandon或基本单位（从五十到三四百名士兵——同样，来源既矛盾又不精确）——也高度本地化。 由于从特定地点招募的士兵在同一单位服役——据我们所知（而且后来的证据，我相信，可以可靠地回溯使用，表明这是如何运作的）——他们倾向于分享相似的忠诚度和相似的 他们的世界如何运作——或应该如何运作的观点或类似的理解或“常识”。

Fourth, the decline in the importance of provincial towns or urban centers meant that they no longer fulfilled the role of cultural centers and administrative and ideological intermediaries between province and center, a shift in their function which begins already in the fifth century and becomes very clear by the end of the sixth century (the so-called urban revival of the fifth century which took place in certain parts of the empire does not alter this, since the structural position of the urban landed elites and of the urban curiales was barely affected)."2 The result for provincial society was that only the army remained as a site, metaphorically speaking, on which large numbers of people regularly came together, where views and fears and anxieties could be expressed or formed in a public context. In consequence the army, in effect, replaces the urban populace of the empire as the voice of opposition or discontent-and it is worth pointing out that the decline in the independent political activities of Blue and Green factions in the cities of the East (as far as we know about their activities outside Constantinople at all), a purely urban phenomenon and hitherto the most obvious locus of popular views and discontent or approbation (whatever their structural or formal properties), more or less coincides with the decline in the functional importance of cities in East Roman culture and government, and the increasingly vocal appearance of soldiers in politics.46

          第四，省会城市或城市中心重要性的下降意味着它们不再发挥文化中心和省与中心之间的行政和意识形态中介作用，其功能的转变从五世纪就已经开始并变得非常明显。到 6 世纪末（发生在帝国某些地区的所谓的 5 世纪城市复兴并没有改变这一点，因为城市土地精英和城市贵族的结构地位几乎没有受到影响）省级社会的结果是，只有军队仍然是一个场所，比喻地说，大量的人经常聚集在那里，可以在公共环境中表达或形成观点、恐惧和焦虑。因此，军队实际上取代了帝国的城市民众，成为反对或不满的声音——值得指出的是，独立政治家的衰落蓝色和绿色派系在东方城市的政治活动（据我们所知他们在君士坦丁堡以外的活动），一种纯粹的城市现象，迄今为止最明显的流行观点和不满或认可的场所（无论他们的结构或正式属性），或多或少与东罗马文化和政府中城市功能重要性的下降以及士兵在政治中越来越多的声音出现相吻合。

All these factors lie behind the activities of soldiers in the later seventh and early eighth century, for what we see is, I would argue, the representation by soldiers from the provinces of what I will for the moment call "popular" attitudes and understanding of a rapidly changing world, which was often difficult to comprehend, or make sense of, in the terms of the traditional sets of values of East Roman cultural norms and expectations.

          所有这些因素都隐藏在 7 世纪后期和 8 世纪初期士兵的活动背后，因为我们看到的是，我认为，来自各省的士兵所代表的我暂时称之为“流行”态度和理解 一个瞬息万变的世界，就东罗马文化规范和期望的传统价值观而言，这通常难以理解或理解。

未完待续