（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（第十一部分）完结

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

IX. SOME CONCLUSIONS

一些结论

Let me sum up the main points, as I see them, about the evolution of Byzantine military institutions in their social and political context, especially those concerned with the recruitment and maintenance of soldiers, from the seventh to the eleventh centuries.

          让我总结一下我所看到的关于拜占庭军事机构在其社会和政治背景下的演变的要点，特别是那些与招募和维持士兵有关的方面，从 7 世纪到 11 世纪。

To begin with, there is no doubt that there always existed a number of parallel modes of recruiting and maintaining soldiers. What varied across time was the emphasis placed upon different modes, according to the needs of the state and the economic and fiscal exigencies which constrained imperial policy. In the second place, it is clear that both the themata as administrative regions and the connection between military service and the private or family income of soldiers (land) have their roots in the crisis period of the second half of the seventh century. But I would stress that there is no evidence for any deliberately planned, institutional connection between them. The withdrawal of armies into Asia Minor, and the consequent development of territorial themata, certainly entailed a localization of recruitment which led to the evolution of a connection between the possession of land, and the obligation to support military service, for certain soldiers and their heirs. But it is important to see that this was a historically evolved relationship, not one that was planned by some guiding authority. We should stop thinking of the "theme system" and the "military lands" in this way once and for all. When cash resources and manpower were in short supply, these two complementary developments were the best the rump of the late Roman state could offer in managing its military and its fiscal needs. Side by side with the provincial soldiers supported wholly or partially by their own resources, and registered in the state muster lists, there existed both mercenary soldiers recruited from outside the empire or from among warlike groups within the empire, as well as mercenary (i.e., full-time) regular soldiers in each theme (note that I employ the term "mercenary" in a value-free sense, to refer simply to "professional," paid soldiers who enlist individually or in groups for specific campaigns or a specific number of years). Most of these points are not disputed. But as most of this article has shown, there still remains considerable disagreement over the actual functioning of the strateia and its relationship to both land and people, as well as over the origins of the institution in the first place.

          首先，毫无疑问，一直存在着许多平行的招募和维持士兵的模式。不同时期不同的是，根据国家需要以及限制帝国政策的经济和财政紧急情况，对不同模式的重视程度有所不同。其次，很明显，无论是作为行政区域的军区，还是兵役与士兵（土地）的私人或家庭收入之间的联系，都源于七世纪下半叶的危机时期。但我要强调的是，没有证据表明它们之间存在任何蓄意计划的制度联系。军队撤入小亚细亚，以及随之而来的军区领土的发展，当然需要本地化征兵，这导致了某些士兵及其继承人拥有土地和支持服兵役的义务之间的联系演变.但重要的是要看到这是一种历史演变的关系，而不是由某个指导当局计划的关系。我们应该一劳永逸地停止这样思考“军区系统”和“军事土地”。当现金资源和人力短缺时，这两个互补的发展是罗马晚期国家在管理其军事和财政需求方面所能提供的最好的。与全部或部分依靠自己的资源支持并登记在国家征兵名单上的省士兵并列，还有从帝国外部或帝国内部的好战团体中招募的雇佣兵，以及雇佣军（即，全职）每个主题的正规士兵（请注意，我使用术语“雇佣兵”是在没有价值的意义上，简单地指代“专业的”有偿士兵，他们单独或成组参加特定的战役或特定数量的年）。这些观点中的大多数都没有争议。但正如本文的大部分内容所表明的那样，对于战略的实际运作及其与土地和人民的关系，以及该制度的起源，仍然存在相当大的分歧。

In addition, I would henceforth hesitate to speak of a theme "system" or a "system “of military lands. What the sources in fact permit us to describe is a fairly open-ended network of context-bound, institutional practices, which represent a rather more fluid set of relationships than the word "system" allows.

          此外，今后我会犹豫谈论军区“系统”或“军事土地系统”。事实上，资料来源允许我们描述的是一个相当开放的受上下文约束的制度实践网络，它代表 一组比“系统”一词所允许的更流畅的关系。

This network of modes of recruiting and maintaining soldiers worked comparatively well in the situation which engendered it, but once conditions changed, the nature of the demands made upon it changed also. And it must be stressed that conditions changed fairly rapidly from the middle of the eighth century. A first stage in this process of transformation is marked by the tactical organizational reforms undertaken by Constantine V, then by the policies of emperor Nicephorus I, as recorded, however biased and slanted the report, by Theophanes. Other hints as to how these structures evolved appear in sources of the middle and later ninth century, particularly associated with the reign of Basil I, but also with that of Theophilus; and there is a real watershed with the legislation of the Macedonian emperors. For the imperial promulgations of the tenth century represent not just the rulers' concern with the welfare of the peasantry and the soldiers drawn from them, nor with the increasing threat posed by the dynatoi to the resources at the state's disposal, nor again the structure of a complex and relatively efficient state apparatus. On the contrary, I would argue that this legislation rep-resents the last, failed efforts of the central administration to shore up a mode of recruiting and maintaining soldiers which was already obsolete-by reason of circumstances vastly different from those in which it was first made possible, and be-cause of the demands of the expansive warfare and campaigning necessitated by imperial policy with regard to both the Caliphate and the empire's western neighbors in the tenth century. The reign of Nicephorus II Phocas, as has generally been recognized, marks the key moment: the massive increase and redistribution of the burden of maintaining soldiers attributed to this emperor can only reflect an increase in the use of mercenary, that is to say, professional, full-time forces on a large scale.

          这种招募和维持士兵的模式网络在产生它的情况下运作得比较好，但是一旦条件发生变化，对其提出的要求的性质也发生了变化。必须强调的是，从 8 世纪中叶开始，情况发生了相当迅速的变化。这一转变过程的第一个阶段是君士坦丁五世进行的战术组织改革，然后是尼西弗鲁斯一世皇帝的政策，正如 Theophanes 的报告所记录的那样，尽管该报告有偏见和倾斜。关于这些结构如何演变的其他提示出现在九世纪中后期的资料中，特别是与巴西尔一世的统治有关，但也与提奥菲勒斯的统治有关；马其顿皇帝的立法是一个真正的分水岭。因为 10 世纪的皇朝颁布不仅代表了统治者对农民和从农民中抽出的士兵的福利的关注，也代表了强权对国家可支配资源构成的日益增加的威胁，也代表了统治者的结构。一个复杂且相对有效的国家机器。相反，我认为这项立法代表了中央政府最后一次失败的努力，以支持一种已经过时的招募和维持士兵的模式——原因是与最初的情况大不相同。之所以成为可能，是因为 10 世纪帝国对哈里发国和帝国西部邻国的政策所要求的扩张性战争和战役的需要。众所周知，尼斯福鲁斯二世的统治标志着关键时刻：大量增加和重新分配归咎于这位皇帝的维持士兵负担只能反映雇佣兵使用的增加，也就是说，职业，大规模的全职力量。

The early stages of this process of decreasing relevance and increasing inefficiency (defined functionally in relation to the aims and methods of state policy) of the locally recruited and part-time thematic forces can be seen already in the eighth century. The increasing reliance on full-time, "tagmatic" units from the 780s and 790s, the increasing deployment of mercenary forces through the ninth and into the tenth century, reflect not simply the expansion of warfare in the tenth century. Rather, it reflects the increasing relative inefficiency of the system of relying on armies largely consisting of part-time peasant conscripts which had developed under one set of circumstances, in a very different political and economic context in which the state was not only taking the offensive militarily on a long-term basis, but could once more afford to pay substantial cash sums for professional warriors.

          这一过程的早期阶段已经在八世纪看到了当地招募和兼职军区力量的相关性降低和效率增加（在功能上与国家政策的目标和方法相关的定义）。 从 780 年代和 790 年代开始越来越依赖全职的“战术”部队，从 9 世纪到 10 世纪雇佣军的部署越来越多，这不仅仅反映了 10 世纪战争的扩展。 相反，它反映了依赖军队的体系越来越低效率，这种体系主要由兼职农民征兵组成，这种情况是在一种非常不同的政治和经济背景下发展起来的，在这种情况下，国家不仅采取了攻势军事上的长期基础，但可以再次为职业战士支付大量现金。

The state always continued to maintain professional troops, as we have seen. The seventh and early eighth centuries should perhaps be regarded, therefore, not as the period in which a "new" system was planned, evolved, and established, but rather as a period in which the state's financial situation made the provincialization of recruitment and maintenance of the armies unavoidable, not because the state wanted its armies to become a sort of part-time "militia," but because that is the effect which the exigencies of the situation produced in the old structures. On the contrary, it is clear that the state continued to treat its thematic armies as regular forces, even when they were no longer able to respond as such; so that the increasing reliance on ever-larger numbers of paid, professional soldiers, as soon as economic conditions permitted, is quite predictable, a development which is paralleled exactly by the increasing provincialization and devaluation of the thematic conscript armies. Beginning with the reforms of Nicephorus I, which to my mind reflect the continuing efforts of the state to minimize direct state financing of the armies as far as possible, the period up to the reign of Nicephorus II marks the progressive, if piecemeal, response of successive generations of state officials and rulers to a pattern of recruitment and maintenance of field armies generated in and tailored to the situation of the second half of the seventh century. While it may once have represented the only adequate functional response to a particular situation, it was already in the middle of the eighth century showing signs of strain; by the middle of the tenth century it is clear that it could no longer adequately meet the demands placed upon it. In this particular context, it is also important to emphasize that, in the later ninth and tenth centuries at least, those who held a strateia in respect of furnishing a soldier or the resources to maintain a soldier did not compose a homogeneous social group. On the contrary, there were very considerable variations in the individual fortunes of such stratiotai, so that to consider them as either a peasant militia or a class of well-to-do rural estate-holders would be, in my view, incorrect.

          正如我们所看到的，国家始终继续维持专业部队。因此，七世纪和八世纪初或许不应被视为一个“新”制度被规划、演变和建立的时期，而应被视为国家财政状况使招聘和维护的省级化的时期。军队不可避免，不是因为国家希望它的军队成为一种兼职的“民兵”，而是因为这是旧结构中紧急情况所产生的效果。相反，很明显，国家继续将其军区军队视为正规部队，即使他们不再能够如此回应；因此，在经济条件允许的情况下，对越来越多的有偿职业士兵的日益依赖是完全可以预见的，这一发展与主题征兵部队的日益地方化和贬值完全平行。从尼斯弗鲁斯一世的改革开始，在我看来，这反映了国家不断努力尽量减少国家对军队的直接资助，直到尼斯弗鲁斯二世统治时期标志着进步的，如果是零碎的，回应一代又一代的国家官员和统治者采用了一种在七世纪下半叶产生并根据情况量身定制的野战军队的招募和维持模式。虽然它可能曾经代表了对特定情况的唯一适当的功能反应，但它已经在 8 世纪中叶显示出紧张的迹象。到了 10 世纪中叶，它显然不能再充分满足对其提出的要求。在这种特殊的背景下，同样重要的是要强调，至少在 9 世纪后期和 10 世纪，那些在提供士兵或维持士兵资源方面持有战略的人并没有构成一个同质的社会群体。相反，这些阶层的个人命运差异很大，因此，将他们视为农民民兵或农村富裕阶层，在我看来是不正确的。

The effects of the long-term structural incapacity referred to above were expressed in what we can identify as a clear move away from reliance on armies made up of locally recruited conscripts supported by local resources, and the transformation of those resources into fiscalized revenues. As a result, resources for the maintenance of armies were once more routed through and concentrated at the center of imperial power. The "theme" armies disappear, to be replaced by units of full-time soldiers recruited from all the provinces of the empire as well as from outside, paid and maintained through central government agents and the imposition on the provincial populations of a wide range of extraordinary demands and corv6es. These changes had, of course, a direct effect on the political power struggles within the dominant social elite of the empire.

          上述长期结构的无能的影响体现在我们可以确定为明显摆脱对由当地资源支持的当地征兵组成的军队的依赖，以及将这些资源转化为财政收入的转变。 结果，维持军队的资源再次通过并集中在帝国权力的中心。 “军区”军队消失了，取而代之的是从帝国所有省份以及从外部招募的全职士兵，通过中央政府代理人支付和维持，并强加给各省人口非同寻常的要求和corv6es（未知）。 当然，这些变化对帝国占主导地位的社会精英内部的政治权力斗争产生了直接影响。

I have presented a highly selective discussion of recent debates on Byzantine military administration. I hope I have been able to demonstrate the central importance of the study of its army and related institutions for the history of the later Roman and Byzantine state and the society which it embraced.

           我对最近关于拜占庭军事管理的辩论进行了高度选择性的讨论。 我希望我能够证明研究其军队和相关机构对于后来的罗马和拜占庭国家的历史以及它所接受的社会的核心重要性。

The University of Birmingham

伯明翰大学

Finally, on the term thema, see the discussion by J. Koder, "Zur Bedeutungsentwicklung des byzantinischen Terminus Thema," JOB 40 (1990), 155-65. Koder's analysis suggests that the term may have been used before the middle of the seventh century to refer to any "designated area," coming as a result of the withdrawal of the armies into Anatolia to refer also to the latter, now established in specific areas. If his results are accepted, this would be further corroboration for the suggestion made above (see pp. 7-8) that the armies were distributed according to the ability of specific regions to support them.

          最后，关于 thema 一词，参见 J. Koder 的讨论，“Zur Bedeutungsentwicklung des byzantinischen Terminus Thema”，JOB 40 (1990), 155-65。 Koder 的分析表明，该术语可能在 7 世纪中叶之前用于指代任何“指定区域”，这是由于军队撤入安纳托利亚而出现的，也指后者，现在已在特定区域建立。如果他的结果被接受，这将进一步证实上述建议（参见第 7-8 页），即军队是根据特定地区支持他们的能力分配的。

完      结