Wang Mang, the Socialist Emperor of Nineteen Centuries Ago
原文作者:Hu Shih(胡适);
单位:East Asian Studies Department Princeton University
摘要:公元前71年。,出生在元城王氏家族一个小女孩注定要统治汉帝国近40年,建立一个维持了15年的新王朝。这个女孩成长于一个有四个女儿和八个儿子的家庭,并接受了写作和竖琴演奏的教育。17岁时,她被送到朝廷担任宫女。在第二年,她被汉宣帝选中五个少女之一给太子,由于爱妾的死去变得极度伤心。她很快赢得了太子的爱,并在公元前51年生下了一个儿子,这是皇帝的第一个孙子。在公元前48,汉宣帝驾崩,太子继位,是为汉元帝。同年,王氏被任命为皇后,她的儿子被立为太子。
关键词:王莽、改制
与此同时,王莽宣布了一系列重要的改革。它们被称作“六项国家垄断”,亦称“王莽新政”。涉及到:(1)盐;(2)酒;(3)铁器;(4)矿产和其他自然资源;(5)币制改革;(6)包括赊贷在内的五均。
其中一些改革措施在王莽时代并不新鲜。从公元前118年起,国家对硬币的垄断就开始生效了,从那个年代开始,一直到开始基督教纪元为止,政府的铸币局已经铸造了超过280亿文的统一货币,由于其技术上的完美,伪造货币的制造者不可能模仿。而王莽的政策则是用一系列不同等级的货币取代统一货币。他的等级理论听起来很不错,但他的研究太复杂了,一套资金体系运用了五种不同的材料(金、银、玳瑁、珍珠母和铜)、六种分类和28种等级!整个系统几乎完全失败了,人们只接受了价值1文和50文的两种铜币。
从公元前119年起,盐和铁就一直被政府垄断。这两项都是100多年来政府财政收入的主要来源。有28个地区的盐业被垄断,40个地区的铁业被垄断。王莽只是继续推行这一政策,并充分利用现有的机器。
而其他方面的垄断则是他统治下的创新。《汉书》中就详细叙述了国家实行对白酒的专卖。扣除所有材料成本后,毛利润分成10个部分,其中3成进入工资和其他费用,剩余7成进入政府财政部。
矿产和其他自然资源的运作管理,并不是采用何种完全由政府垄断的形式,而是通过由政府管制的私人关系进行管理的。经营者必须在各地的政府部门登记,并将所有利润报告给他们。百分之十的纯利润必须归政府所有。
新朝时期的经济改革方案中最有趣的是所谓的“五均”,需要详细解释。它们主要是为了稳定生活中日常用品的价格。他们可能被认为是政府对有用货物贸易的控制,这是为了大众的利益。而剩余利润则会被用于农民和工商手工业者的贷款。
为了这个目的,分别在七个经济贸易发达的地方设立七个五均官署,分别是长安东市,长安西市,洛阳,临淄,邯郸,宛和成都。每市都下设有五名贸易专员,称为交易丞;一名银行和信贷专员,称为钱府丞。每位五均官都要掌管五均,合理征税,管理物价”,这是在汉书中所描述的。
- 商品的公平价格的确定。“各地的五均官都应利用每个季度的第二个月,来确定其管理下各种的商品的标准价格。在每个区域内,它应记录每一种商品的最高、最低和平均价格。平均价格为该地区的公平价格,但这种平均价格和其他的地方不通用。
- 从市场上购买未售出的商品。“五均官应将那些商家在特定时间内无法销售的所有人们日常生活必需的如小麦、大米等食品,以及布料、丝绸、丝织物等商品全部购买。并且应该支付给那些商家起码的成本价格,以确保其免受损失。
- 价格的稳定。“一旦这些生活必需品的价格在那个季度上涨,超过标准价格一文以后,五均官应当以标准价格出售其库存的物资。这样人们可以防止那些商家为了提升利益而垄断供应和操纵市场。”
- 贷款没有利息。“如果百姓办理丧葬和祭祀等事却没有资金,可以向钱府丞从贸易收益中取出一部分作为贷款。此类贷款应无利息,但必须在规定的期限内支付。用于祭祀的贷款,应当在十日内支付;那些用于丧事的借贷,须在3个月内归还
- 用作营运资金的贷款。“穷人需要资本来开始生产性工作,也可以从钱府丞那里获得贷款,他们会收取一定的利息。”根据《汉书》的规定,这个比例是每月3%;但《汉书》里也有它“不超过每年10%的利息”的说法。
以上这些就是“五均”。值得注意的是,在所有这些经济改革背后,都有一种明确而自觉的政治哲学。王莽在公元10年颁布了一项法令,他说:“我现在贷款给百姓人,五均和各种国家垄断,其目的都是要保证人们对商品的公平的分配,保护他们免受富人豪强的压迫。七年后,他又颁布了另一项法令,包括五均赊贷在内的“六筦”。他说:“盐是所有食物的主要调味料。酒是医药的主要附属物,也是所有欢宴聚会中最受欢迎的饮料。铁是所有农具的基础。矿山和森林是国家财富的仓库。稳定市场和赊贷是为了保护人民,满足人民的需要。金钱和货币制度为商品交换提供了必要的媒介。这六种都无法由普通公民来操作,必须依靠专业的商人来满足这些需求。因此,他们成为经济剥削的受害者,不得不接受富人豪强强加给他们的价格。古代的圣贤意识到这一切邪恶,并决心通过政府控制来检验它。
这些话语今天读起来多么现代啊!这两项法令当然应该被列为人类社会和政治思想史上的国家社会主义理论最早的意识陈述。
但是王莽和他的谋划者们领先了他们的时代19个世纪。在一个几乎和现代中国一样大的帝国里,没有现代化的政府检查和控制设施,他们注定要在雄心勃勃的经济和政治改革计划中失败。没有足够的专业的人来执行这些高度复杂的任务。从事这项工作的人大多是精明的商人以及洛阳和山东的资本家,他们更关心的是增加收入来取悦新皇帝,而不是关心人民的福利。最重要的是,这些名字在汉书中被保存下来的大资本家,最感兴趣的是以牺牲人民和政府的信誉为代价,为自己赚钱。
最终的结果是整个帝国的强盗和叛乱的兴起。新帝国在公元23年垮台。王莽在过去的几年里非常担心。他认为“当制度完善时,世界将会和平”。因此,他把所有的时间都花在了制定机构改革的新计划上。他经常通宵工作到天亮。在他生命的最后一年,他失去了胃口,靠酒和咸海鱼为生。当他感到疲劳时,他就会坐在办公桌前睡着了。他不再睡在床上了。在公元23年10月初三,长安被攻陷了。他被一个名叫杜吴的商人杀了,他的尸体被许多更始军肢解。在整整19个世纪里,他的名字都像是一个诅咒,没有一个历史学者,无论有多么慷慨,为他进行过辩护。
外文文献出处:
Wang Mang, the Socialist Emperor of Nineteen Centuries Ago
附外文文献原文:
In the meantime Wang Mang had proclaimed another series of important reforms. They were known as the “Six State Controls” (六) or “Six State Monopolies,” relating to
1.Salt,
2.Wine,
3.Iron,
4.Mines and other natural resources,
5.Coinage,
6.The “Five Equalizations” (五均) including banking and credit.
Some of these were not new in Wang Mangrsquo;s time. State monopoly of coinage became effective about the year 118 B.C. From that date to the beginning of the Christian era, the government mint had coined over 28,000,000,000 cash of a uniform type, which, because of its technical perfection, it was impossible for makers of counterfeit money to imitate. Wang Mangrsquo;s policy was to replace this uniform coinage with a series of graded monies. His theory of gradation was sound, but he worked out too complicated a system of money utilizing five different kinds of material (gold, silver, tortoise-shell, mother-of-pearl, and copper), six categories, and 28 grades! The whole system failed almost entirely, the people accepting only the two copper coins of the value of one and fifty cash respectively.
Salt and iron had also been government monopolies ever since 119 B.C. Both had been the chief sources of governmental revenue for over a 100 years. There were 28 districts with salt monopolies and forty with iron monopolies. Wang Mang merely continued the policy and made full use of the existing machinery.
The other monopolies were innovations under his reacute;gime. The working of the wine monopoly is described in detail in Bk. 24b of the Han Shu. After deducting all costs of materials, the gross profit was divided into ten parts, of which three went into salaries and other expenses, and seven into the government treasury.
The operation of minerals and other natural resources was conducted, not by any strict form of government monopoly, but by private concerns regulated by the Government. The operators must register with government offices at the different localities and report all profits to them. Ten per cent of the net profit must go to the government.
The most interesting feature in the programme of economic reform under the New Dynasty was the so-called “Five Equalizations,” which need some explanation in detail. They were chiefly directed to stabilizing the prices of commodities in general use. They may be characterized as a governmental control of trade in useful goods operated for the benefit of the general public. The surplus profit was to be used in loans to the farming and working classes.
The organization for this purpose consisted of seven directorates stationed at seven of the commercial centres of the Empire, namely, Chrsquo;ang-an (长安) East, Chrsquo;ang-an West, Lo-yang, Han-tan (邯郸), Wan (宛), Lin-tsecirc; (临淄), and Chrsquo;ecirc;ng-tu. Under each directorate there were five Trade Commissioners and one Commissioner on Banking and Credit. Each directorate was to be in charge of th
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Wang Mang, the Socialist Emperor of Nineteen Centuries Ago
原文作者:Hu Shih(胡适);
单位:East Asian Studies Department Princeton University
专业:历史 学生姓名:章吉文 指导老师:陆德富
ABSTRACT:Abstract In the year 71 B.C., there was born in the Wang family of Yuuml;en-chrsquo;ecirc;ng (元城) a little girl who was destined to rule over the Han Empire for almost 40 years and to found a new dynasty which was to last 15 years. This girl grew up in a family of four daughters and eight sons, and was educated in the arts of writing and harp-playing. At the age of 17, she was sent to the Imperial Court as one of the Court Maidens. In the following year, she was selected by the Emperor Hsuuml;an Ti (宣帝) as one of the five maidens to be given to the Heir Apparent, who had been much grieved by the death of his favourite concubine. She soon won the love of the Heir Apparent and in the year 51 B.C. gave birth to a son, the first male grand-child of the Emperor. In 48 B.C., the Emperor died and the Heir Apparent came to the throne, whose posthumous title was Yuuml;en Ti (元帝). In the same year, Lady Wang was made Empress and her son, Heir Apparent.
I
In the year 71 B.C., there was born in the Wang family of Yuuml;en-chrsquo;ecirc;ng (元城) a little girl who was destined to rule over the Han Empire for almost 40 years and to found a new dynasty which was to last 15 years. This girl grew up in a family of four daughters and eight sons, and was educated in the arts of writing and harp-playing. At the age of 17, she was sent to the Imperial Court as one of the Court Maidens. In the following year, she was selected by the Emperor Hsuuml;an Ti (宣帝) as one of the five maidens to be given to the Heir Apparent, who had been much grieved by the death of his favourite concubine. She soon won the love of the Heir Apparent and in the year 51 B.C. gave birth to a son, the first male grand-child of the Emperor. In 48 B.C., the Emperor died and the Heir Apparent came to the throne, whose posthumous title was Yuuml;en Ti (元帝). In the same year, Lady Wang was made Empress and her son, Heir Apparent.
In accordance with the custom of the time, her father, Wang Chin (王禁) was created Marquis (of Yang-ping). His death in 42 B.C. left the marquisate to his eldest son Wang Fung (王凤) who, in co-operation with the Empress, played an important part in protecting the young Heir Apparent against the many intrigues in the imperial household. The Emperor Yuuml;en Ti died in 33 B.C. and the young Heir Apparent became ruler of the Han Empire at the age of 17.
Empress Wang thus became Empress-Dowager, and her brother, Wang Fung, was made Marshal and Grand Minister of State. Another brother, Wang Chrsquo;ung, was created a Marquis, and her five half-brothers were made titular marquises. Several years later, all five were given large marquisates. All political power was in the Wang family. After 10 years of autocratic power, Wang Fung died in 22 B.C. and was succeeded by his cousin Wang Yin (王音) who held the power of state until his death in 15 B.C. Wang Yin was succeeded by Wang Fungrsquo;s half-brother Wang Shang (王商) who in turn was succeeded in 12 B.C. by his brother Wang Kecirc;n (王根). Wang Kecirc;n retired in the year 8 B.C., and his nephew Wang Mang became Grand Minister of War.
Wang Mang was the son of Empress Wangrsquo;s eldest half-brother, who died young. While all the other members of the Wang family were rivalling one another in luxury, debauchery, and the amassing of riches, Wang Mang alone won a great reputation for his scholarship in the classical studies, for his filial piety towards his widowed mother, for his temperate and simple living, and for his assiduous patronage of talented and learned men. He was made Marquis of Hsin-tu at the age of 30 (16 B.C.). He was only 38 when he wielded the highest power of the Empire. The higher he was elevated in rank and power, the more humble and courteous he became in dealing with men. He distributed all his income among his poor friends and followers, and his own family lived a life of frugality and simplicity. One day his mother was ill and all the nobles and high officials sent their wives to his house to enquire after her state of health. These great ladies were met at the door by a woman dressed in simple cloth and without a long flowing skirt. They thought she was a servant-woman of the house, and were greatly surprised on learning that this lady was no less a person than the wife of the great Marquis Wang Mang.
The Emperor Chrsquo;ecirc;ng Ti (成帝) died in the year 6 B.C., leaving no heir to the throne. The Prince of Ting-tao, nephew to the Emperor, was selected to succeed him. This was Ai Ti (哀帝). The Empress-Dowager now became the Grand-Empress-Dowager. The new emperor brought with him his own mother and her family, who soon overshadowed the Grand-Empress-Dowager and the Wang family in imperial favour and political power. But the new emperor was the last and probably the worst of a long line of degenerate scions of the Han Dynasty; he lived a life of sexual perversion and died in the sixth year of his reign (1 B.C.).
Wang Mang was restored to power by the Grand-Empress-Dowager who became Regent for the newly selected Emperor, a boy of 8 years. In the first year of the Christian era, Wang Mang was made Imperial Tutor and Grand Duke, with the title of “Guardian of the Han Dynasty.”
Wang Mang was at the height of his popularity. He continued his simple living and offered the government a million cash and 3,000 mu; of land for the relief of the poor. His virtuous example was followed by the other nobles and high officials, and all credit went to the Guardian of Han. He expanded the National University and built 10,000 rooms for the accommodation of students. He enlarged the College of Doctors and gathered at the Imperial Court talented men of all kinds of attainment—astrologers, musicians, mathematicians, military experts, men of letters, physicians and men who studied medi
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