【简译】古代世界的种族灭绝
Genocide is often viewed as a particular feature of our own current age. This perception largely stems from the terrible events which took place during World War Two in the 20th century CE in the parts of Europe occupied by the Nazis. However, there are certain occasions in the ancient world which could also be possibly considered as genocide. In considering genocide from an historical perspective, it is necessary to firstly ask what exactly is genocide? The concept is one which most people can agree did happen but which remains very hard to define precisely.
种族灭绝通常被视为我们当今时代的一个特殊特征。这种看法很大程度上源于20世纪第二次世界大战期间在纳粹占领的欧洲部分地区发生的可怕事件。然而，古代世界的某些事件也有可能被视为种族灭绝。从历史的角度思考种族灭绝，首先要问种族灭绝到底是什么？大多数人都认为种族灭绝确实发生过，但这一概念却很难准确界定。
The word itself was first coined in 1944 CE by the Polish writer Raphael Lemkin (1900-1959) who constructed the word by combining 'geno-', from the Greek word for race or tribe, with '-cide', from the Latin word for killing. The modern notion of genocide owes a great deal to Lemkin's work who developed his ideas during his youth in Eastern Europe and as a resistance fighter against the German army during World War Two (Elder 2005; McDonnell and Moses 2005). In his key work published in 1944 CE, Axis Rule in Occupied Europe, Lemkin described genocide as signifying 'a coordinated plan of different actions aiming at the destruction of essential foundations of the life of national groups, with the aim of annihilating the groups themselves' (Jones 2006: 10-11). The second most influential document in laying out the modern legal notion of genocide was the 1948 United Nations adoption of the 'Convention on the Prevention and Punishment of the Crime of Genocide' wherein Article II of the convention defined genocide as the 'intent to destroy, in whole or in part, a national, ethnical, racial or religious group'.
“Genocide”（种族灭绝）一词由波兰作家拉斐尔·莱姆金（Raphael Lemkin，1900-1959 年）于1944年首次创造，他将希腊语中代表种族或部落的“geno-”与拉丁语中代表杀戮的“-cide”组合在一起。现代种族灭绝的概念在很大程度上要归功于莱姆金的著作，他在东欧度过青年时代，并在第二次世界大战期间作为抵抗德军的战士完善了自我思想（Elder 2005；McDonnell 和 Moses 2005 ）。莱姆金在1944年出版的重要著作《轴心国在其占领欧洲的统治》（Axis Rule in Occupied Europe: Laws of Occupation, Analysis of Government, Proposals for Redress (Foundations of the Laws of War)）中，将种族灭绝描述为“旨在破坏民族群体生活的重要基础的不同行动的协调计划，其目的是消灭这些群体本身”（Jones 2006: 10-11）。在阐述现代种族灭绝法律概念方面第二个最有影响力的文件是 1948 年联合国通过的《防止及惩治种族灭绝罪公约》，其中该公约第二条将种族灭绝定义为“意图全部或部分摧毁某一民族、人种、种族或宗教团体”。
The exact explanation of what constitutes genocide resulting from these two landmark works has been extensively debated by academics ever since. However, it can be observed that there are two main elements needed for an event to be considered as genocide, namely: there is a clear intent on the behalf of the perpetrators to carry out the action and the resulting annihilation of a particular political, social or cultural group. Keeping this in mind, it may be possible to identify two possible cases of genocide in the ancient world: the Roman destruction of Carthage in 146 BCE and the Athenian massacre at Melos in 416 BCE.
从那时起，对这两部里程碑式著作所造成的种族灭绝的确切解释一直受到学术界的广泛争论。不过，我们可以看到，一个事件要被视为种族灭绝，需要具备两个主要要素，即：犯罪者有实施该行动的明确意图，以及由此导致特定政治、社会或文化群体被毁灭。考虑到这一点，或许可以确定古代世界可能发生的两起种族灭绝事件：公元前146年罗马人对迦太基的毁灭、公元前416年雅典人在米洛斯的大屠杀。
罗马对迦太基的种族灭绝
Carthage was located in Africa on the Mediterranean Sea, roughly where the modern city of Tunis is today, some 400 miles from Rome. The principal sources for the destruction of Carthage are the historians Appian and Polybius. Carthage was founded as a Phoenician colony. Unlike the Roman Empire, which expanded by conquering its neighbours, Carthage grew by setting up trading contacts to places as far-flung as Britain to the north and modern-day Gabon in Africa to the south (Braudel 2001: 218). The Phoenician origin of Carthage meant that the city contrasted considerably from Rome in areas such as its government which was more openly aristocratic in nature than the supposedly democratic Rome, its religion which was a strange mystery to the Romans and its overall outlook on life which was guided by both eastern Greek and African influences (Braudel 2001).
迦太基位于非洲地中海沿岸，大致在今天突尼斯市的位置，距离罗马约400英里。历史学家阿庇安（Appian）和波里比乌斯（Polybius）为我们提供了迦太基毁灭的主要资料来源。迦太基是腓尼基人建立的殖民地。与通过征服邻国来扩张的罗马帝国不同，迦太基是通过与遥远的地方建立贸易联系而发展起来的，如北部的不列颠和南部的（现代）加蓬（Braudel 2001：218）。迦太基起源于腓尼基，这意味着该城在许多方面与罗马形成了巨大反差，例如其政府比所谓的民主罗马更具公开的贵族性质，其宗教对罗马人来说神秘莫测，其整体生活观同时受到东希腊和非洲的影响(Braudel 2001)。
Rome and Carthage grew to become true superpowers on either side of the Mediterranean Sea so it was perhaps inevitable that they would fight each other. This occurred during the three Punic Wars, so-called because the Romans used the Latin Punicus term to refer to the Carthaginians' Phoenician ancestry, which began in 264 BCE and ended with the destruction of Carthage in 146 BCE. The First and Second Punic Wars saw Rome gain control of Sicily, Spain and much of the western Mediterranean. The Third Punic war broke out in 149 BCE when Carthage launched a disastrous invasion of the Kingdom of Numidia in modern-day Algeria. In 149 BCE, in response to this war, a massive Roman army under the command of Scipio Africanus the Younger landed in Africa and began to lay siege to the city. At first, the Carthaginians tried to come to peace with the Romans who announced a series of difficult conditions for them to fulfil. Rome initially demanded hostages and that all the city's arms be turned over. When all of these demands were fulfilled, Rome then ordered that the city be pulled down and built further inland. At this stage, with their backs to the wall, the Carthaginians had little choice but to fight.
罗马和迦太基逐渐成为地中海两岸真正的超级大国，因此他们之间的争斗也许是不可避免的。双方打了三次布匿战争，之所以如此称呼，是因为罗马人使用拉丁语 “Punicus”（布匿）一词来指代迦太基人的腓尼基血统。这场战争始于公元前264年，结束于公元前146年迦太基的毁灭。在第一次和第二次布匿战争中，罗马控制了西西里岛、西班牙和地中海西部的大部分地区。公元前149年，迦太基发动了对努米底亚王国（今阿尔及利亚）的灾难性入侵，第三次布匿战争爆发。公元前149年，作为对这场战争的回应，一支由小西庇阿（Scipio Africanus the Younger）指挥的庞大罗马军队在非洲登陆，并开始围攻这座城市。起初，迦太基人试图与罗马人讲和，罗马人宣布了一系列艰难的条件让他们满足。罗马最初要求他们交出人质和城中的所有武器。当所有要求都得到满足后，罗马又下令将该城拆除，并在更远的内陆建造新城。在这一阶段，迦太基人已经陷入了绝境，除了战斗之外别无选择。
In spite of the superior Roman military power, the city managed to hold out for another three years until finally, in 146 BCE, the defences failed and the Romans poured in. The inhabitants of the city were massacred by the disciplined legions who systematically moved from house to house. Lloyd (1977: 178) suggested that the city may have held up to 200,000 inhabitants while Braudel (2001: 225) put the population at a lower scale of around 100,000 people. Even at this lower end, the slaughter in the city was, however, substantial and probably unprecedented in the European world up to that time. The survivors, possibly numbering anywhere from 30,000 to 50,000 people, were sold as slaves. On direct orders from Rome, the city was subsequently set alight and, after ten days of burning, demolished stone by stone. Polybius in his Histories, Book XXXVIII, Chapters 3-11, noted that 'the destruction of the Carthaginians was immediate and total' so much so that there were no Carthaginians left to even express their remorse.
尽管罗马人拥有强大的军事实力，但这座城市还是坚守了三年，直到公元前 146 年，城市防御终于失效，罗马人倾巢而入。纪律严明的罗马军团有条不紊地挨家挨户屠杀城中居民。劳埃德（Lloyd (1977: 178)）认为该城市可能容纳了多达20万名居民，而布劳德尔（Braudel (2001: 225)）则认为该城的人口规模较小，约为10万人。然而，即使是在人口较低的判断上，城市中的屠杀规模也是巨大的，且在当时的欧洲世界可能是史无前例的。幸存者可能有3万到5万人，他们被卖为奴隶。在罗马的直接命令下，这座城市随后被点燃，经过十天的焚烧，一座座石基被拆毁。波里比乌斯在其《历史》第 38 卷第 3-11 章中指出，“迦太基人的毁灭是直接且彻底的"，以至于没有迦太基人留下表达他们悔恨的记载”。
The killing of all the inhabitants of a city-state whose inhabitants had refused to surrender was quite frequent in the ancient world so labelling this particular incident as genocide needs careful examination. A key element in this case, and one which would be in line with Lemkin's notion of genocide, was Rome's apparent intention to destroy Carthage, its people and culture, no matter what. This underlying aim can be seen in Rome's increasingly impossible-to-satisfy demands placed on Carthage before the outbreak of war. When Carthage could no longer realistically satisfy the demands, this gave the Romans a legitimate excuse for their actions. In addition, in the ruling elite and population of Rome, there was a feeling that Carthage had to be destroyed to secure the political and cultural dominance of Rome. This is best summed up by the Roman statesman Cato the Elder's personal motto Carthago delenda est meaning 'Carthage must be destroyed' which he used to end all public speeches (Radice 1973: 85).
在古代世界，对拒绝投降的城邦的所有居民进行杀害的情况相当频繁，因此将这一特殊事件标记为种族灭绝需要仔细研究。这一事件中的一个关键因素，也是与莱姆金的种族灭绝概念相一致的因素，就是罗马显然打算不惜一切代价摧毁迦太基、其人民和文化。从战争爆发前罗马对迦太基提出的越来越难以满足的要求中就可以看出这一根本目的。当迦太基无法再满足这些要求时，这就给了罗马人采取行动的“合法”借口。此外，罗马的统治精英和民众都认为，必须摧毁迦太基才能确保罗马在政治和文化上的统治地位。罗马政治家老卡托（Cato the Elder）的个人格言Carthago delenda est（意为“迦太基必须被摧毁”）就是最好的概括，他用这句话作为所有公开演讲的结束语（Radice 1973：85）。
雅典人在米洛斯的种族灭绝
Another state-backed genocide may be found in the destruction of the Greek island city-state and culture of Melos by the Athenian Empire in 416 BCE during the grinding Peloponnesian war with Sparta which lasted from 431 BCE to the Athenian's eventual defeat in 404 BCE. The fighting took place all over the Greek world and was regarded by the contemporary historian Thucydides as a war of world importance. In the summer of 416 BCE, during a break in the fighting, Athens turned her attention to the nearby island of Melos whose people, although claiming descent from a Spartan colony, had so far remained neutral in the war. The Athenians felt, however, that they could no longer tolerate the presence of an impartial state in the Aegean Sea and therefore sent representatives to the island to demand their surrender.
另一个国家造成的种族灭绝可能是公元前 416 年雅典帝国与斯巴达的伯罗奔尼撒战争期间，对希腊岛屿城邦和米洛斯文化的破坏。这场战争从公元前 431 年持续到公元前 404 年雅典最终战败，战火遍及整个希腊世界，被当时的历史学家修昔底德视为一场具有世界意义的战争。公元前 416 年夏天，在战事间歇期，雅典人将注意力转向了附近的米洛斯岛，虽然米洛斯岛上的居民声称自己是斯巴达殖民地的后裔，但迄今为止一直在战争中保持中立。然而，雅典人认为他们不能再容忍爱琴海上存在一个不偏不倚的国家，因此派代表前往该岛要求他们归顺。
In Thucydides' account of the war, there then followed a celebrated debate between the two sides, called The Melian Dialogue (Warner 1985). During this debate, the Athenians were quite open about their intentions such as calling on the Melians to surrender in order to 'save your city from destruction'. The Athenians were also evidently aware that the Melians were a feeble military power compared to them referring to the Melians as 'weak' and 'inferior' and observing that 'this is not a fair fight'. After this lengthy discussion, the Melians still refused to surrender. Constantakopoulou (2012: 50) noted that in antiquity, Greek islands, such as Melos, often sustained unique distinct island cultures which were very proud of their independence. Thucydides records that after their refusal to surrender to the Athenians 'siege operations were now carried on vigorously and, as there was also some treachery from inside, the Melians surrendered unconditionally to the Athenians, who put to death all the men of military age whom they took, and sold the women and children as slaves' (Warner 1985: 408). Meier (1999: 524-525) suggested that this action, which was approved by the popular assembly in Athens, involved the murder of approximately 1,500 men. Furthermore, rather than seeing the decision to spare the lives of the women and children, by selling them as slaves, as an act of mercy, this may have been intended to complement the massacre of the men to uproot and destroy the Melian society and culture.
在修昔底德关于战争的记载中，双方随后进行了一场著名的辩论，名为“米洛斯对话（The Melian dialogue）”。在这场辩论中，雅典人相当坦率地表达了他们的意图，如呼吁米洛斯人投降，以“拯救你们的城市免遭毁灭”。雅典人显然也意识到，与他们相比，米洛斯人的军事实力很弱，他们称米洛斯人为“弱者”和“下等人”，并指出“这不是一场公平的战斗”。经过长时间的讨论，米洛斯人仍然拒绝归顺。Constantakopoulou（2012: 50）指出，在古代，希腊岛屿（如米洛斯）往往保持着独特的岛屿文化，这些文化对其独立性感到非常自豪。根据修昔底德的记载，在拒绝向雅典人投降后，“围攻行动继续进行，由于内部出现了一些背叛行为，米洛斯人无条件地向雅典人投降，雅典人处死了所有被俘的适龄男子，并将妇女和儿童卖为奴隶”（Warner 1985: 408）。Meier（1999：524-525）认为，雅典民众大会批准的这一行动涉及谋杀约1500名男子。此外，通过将妇女和儿童卖为奴隶来饶恕妇女和儿童的生命的决定，与其说是一种仁慈的行为，不如说是为了配合对男子的屠杀，以连根拔起并摧毁米洛斯的社会与文化。
As in the last example, there appears to have been a clear intention on the behalf of the Athenians to destroy the Melians as a group and a culture. This was meant as a warning to Athens' allies throughout Greece to remain loyal during the war with Sparta. The massacre of Melos was noted at the time as being out of the ordinary which is surprising given that the brutal war between the two states had being going on for 15 years. A few months after the massacre, the Athenian playwright Euripides produced the powerful drama Trojan Women which may have drawn directly on the massacre at Melos to epitomize and condemn the barbaric cruelties of war. The play, which is set during the period immediately after the taking of Troy, moves away from the gallant view of a heroic war to consider rather the sufferings of the wives and children of the city's defeated leaders who are carried off to the ships to face slavery in Greece (Murray 2011).
与上个例子一样，雅典人似乎有一个明确的意图，那就是摧毁作为一个群体或一种文化的米洛斯人。这是为了警告雅典在希腊各地的盟友在与斯巴达的战争中保持忠诚。米洛斯大屠杀在当时被认为是不寻常的，因为两个国家之间的残酷战争已经持续了 15 年之久。屠杀发生几个月后，雅典剧作家欧里庇得斯创作了震撼人心的戏剧《特洛伊妇女》，该剧可能直接取材于美洛斯的屠杀事件，对野蛮残酷的战争进行了缩影和谴责。该剧以攻占特洛伊城后不久的时期为背景，从英勇善战的视角出发，更多考虑的是战败城市领导人的妻子和孩子所遭受的苦难，她们被带到运输船上，成为希腊的奴隶（Murray 2011）。
结 语
In conclusion, we have examined how the notion of genocide was defined in the years during and after World War Two. We noted that genocide must include two clear elements: a clear intent to carry out the action and the resulting destruction of a whole unique group. We then explored how this definition could be applied to two important events in the ancient world, the Roman capture of Carthage and the Athenian massacre at Melos, to argue that these events may have constituted genocide.
上文概述了第二次世界大战期间和之后如何界定种族灭绝的概念。要注意，种族灭绝必须包括两个明确的要素：实施行动的明确意图以及由此造成的对整个独特群体的毁灭。紧接着，我们探讨了如何将这一定义应用于古代世界的两个重要事件，即罗马攻占迦太基和雅典人在米洛斯的大屠杀，以论证这些事件放在当今可能构成了种族灭绝罪。
参考书目：
Adam Jones. Genocide A Comprehensive Introduction. Routledge, New York, 2006.
Alan Lloyd. Destroy Carthage. Souvenir Press Ltd, 1977.
B. Radice. Who’s who in the Ancient World. Penguin, London, 1973
Christian Meier. Athens, a Portrait of the City in Its Golden Age. John Murray, London, 1999.
Christy Constantakopoulou. "Identity and resistance: The Islanders’ League, the Aegean islands and the Hellenistic kings." Mediterranean Historical Review., 27/1/2012, pp. 49-70.
Fernand Braudel. The Mediterranean in the Ancient World. Penguin Books, Limited (UK), 2001.
Gilbert Murray. The Trojan Women by Euripides (Author). Seattle, Pacific Publishing Studio, 2011
Michael A. McDonnell and A. Dirk Moses. "Raphael Lemkin as historian of genocide in the Americas." Journal of Genocide Research., 7/4/2005, pp. 501-529.
Raphael Lemkin. Axis Rule in Occupied Europe. The Lawbook Exchange, 2005.
Rex Warner. Thucydides, History of the Peloponnesian War. Penguin, Suffolk, 1985
Tanya Elder. "What you see before your eyes: documenting Raphael Lemkin’s life by exploring his archival Papers, 1900–1959." Journal of Genocide Research., 7/4/2005, pp. 469-499.
原文网址: https://www.worldhistory.org/article/485/genocide-in-the-ancient-world/
资源推荐：《A Cultural History of Genocide in the Ancient World》
（古代世界种族灭绝的文化史）
作者：Tristan S. Taylor（特里斯坦·泰勒）
