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何谓中国:藏学家柔克义的探索
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摘要
柔克义既曾是美国政府的外交官,又是学者,研究过西方所谓的汉学和藏学,对学界产生过重大影响。尽管后世中外学界在不同的时代对他的多重身份有不同的解读,但到目前为止,所有对柔克义的研究都没能把握他整个学术研究的内在理路。本文认为,柔克义秉承的是法国藏学传统;由于个人对西藏的学术兴趣、独特的学术经历和时代的影响,他的学术研究大致出现过三种主题,以两次转向相联隔:第一次是从早期南亚佛教史转向藏文明本身,第二次是从藏文明转向中国作为整体关系体系的思考,涉及朝贡体系、帝制中国、礼仪之邦和拓展海洋贸易的商邦,这四个维度相互交错。他将"中国"置于多维度关系之中,突破正在形成中的、基于民族-国家范式的学科分野,将汉学和藏学跨越性地联系起来,与当时乃至后世西方的主流藏学和汉学研究形成鲜明的对比。
This thesis examines Rockhill's academic contributions to western Tibetology and Sinology.With his overlapped roles of being both an American diplomatic official and a scholar during the later half of his life-time,Rockhill's contributions to the Euro-western understanding of the "Oriental" system were largely neglected.The article argues that his approaches of treating both China and Tibet from a relational perspective cannot be simply collapsed into later discipline categories that were highly bounded by and implicated within nation-state building projects,either in China or elsewhere in the world.Academically he touched on three research topics consecutively,firstly the early history of Indian Buddhism,the Tibetan cultures and civilization,and finally the "Oriental" system with China as its metaphor,in which Tibet finds itself.To provide an interpretation to the last topic,Rockhill invested the second half of his life(1884-1914) in exploring China's tribute system,especially in the case of the Sino-Korea relation,an institution of the Chinese empire- exemplified by its relation with Tibet,the ritual confrontations between China'courts and European ambassadors in different times,and finally China's oversea trades in the southeast archipelagoes and the Indian Ocean coasts.These served to illustrate China as a pivotal point of relations of relations,rather than as a polity in the western political sense.
引文
1英文为Tibet。如何翻译这个词,颇为棘手。它跟藏文中的地理分类范畴和汉文中的地理分类范畴都不吻合,无法对译。本文根据它出现的语境,译为“西藏”“藏区”等,并在必要时括注原文。关于这个概念的政治意涵,下文有分析。
    2“中华帝国”是中文对英文Chinese Empire和The Empire ofChina的翻译。英文的概念早在16世纪中期就出现在欧洲学界,但要到18世纪以后欧洲学界才关注到它包含西藏(Tibet)这一事实。关于中译“中华帝国”概念在19世纪的形成过程,参欧立德:《传统中国是一个帝国吗?》,《读书》,2014(1):29—40;另外,中国学者对这个概念的历史的梳理,见曹新宇、黄兴涛:《欧洲称中国为“帝国”的早期历史考察》,《史学月刊》2015(5):52-63;Chen Bo,"Conceptions of'China'in Early Modern Europe",Chinese Studies in History,No.48(4),2015:401-422.
    3参胡岩:《19世纪末至20世纪中叶中美关系中的西藏问题》,《民族研究》2001(1):52—62;胡岩:《美国政府与清末民初的“西藏问题”》,《西藏民族学院学报》2006(2):7-14。近来李晔对美国双重承认政策的分析值得关注,见李晔:《20世纪初期美国对中国西藏地位的“双重承认”政策》,《东北师大学报》2007(2):13-19。
    4 Kenneth Wimmel,William Woodville Rockhill:Scholar-diplomat of the Tibetan highlands,Bangkok:Orchid Press,2003:86-106.
    5袁世凯唁电,1914年12月9日;Rockhill papers,Box 2964-66,Yuan Shih-kai,Houghton Library,Cambridge,MA.
    6"The Death of Ambassador William Woodville Rockhill",The Chinese Students'Monthly.Vol.1,No.4,1915:194-195.
    7W.W.Rockhill,《欧洲使节来华考》,朱杰勤译,《史学专刊》1936(1):161一182。
    8朱杰勤:《纪念冯承钧先生》,收氏著《朱杰勤文集》,桂林:广西师范大学出版社,2011:228。原载《南洋学报》4(1),1947年9月。
    9丁名楠、张振鹍:《帝国主义侵略中国领土西藏的罪恶历史》,《历史研究》1959(5):14。冷战期间美国政府确实曾染指西藏,支持叛乱活动,但这里的关键是柔克义的游历与美帝国主义的利益是否前后相联且密不可分。须知,他的两次藏区游历是在被迫辞去驻华使馆公职之后进行的。此外,1889年他没能进入西藏;1892年那次他终于进入今日西藏的那曲地区,但也并非“秘密”,因为他手中持有大清朝廷开具的旅行护照,见W.W.Rockhill,Diary of a journey through Mongolia and Tibet in 1891 and 1892.Washington:The Smithonian Institution,1894:236.
    10有关联的研究,见张永攀:《从柔克义会谈到西藏商务代表团赴美——论美国对我国西藏地方的早期联系》,《西安电子科技大学学报》2000(1):63—69;郭永虎:《柔克义与近代美国的西藏政策》,《中国藏学》2006(4):60一66;程龙:《柔克义与中国》,《读书》2013(6):122—127。
    11 E.Hippisley,"William Woodville Rockhill",Journal of the Royal Asiatic Society of Great Britain and Ireland,1915:367-374.
    12 George Minkin,William Woodville Rockhill,Thesis,Harvard University,1941:4,85.
    13 Paul A.Varg,Open Door Diplomat,Urbana:University of Illinois Press,1952:125.
    14近来的研究,亦参Karl E.Meyer,"Close Encounters of an American Kind:William Woodville Rockhill in Tibet",World Policy Joumal,Va\.15,No.4.1998/1999:73-90.
    15有极少文章本文无法涉及,譬如他在美国国务院工作期间写的"Evils to be Remedied in Our Consular Service",The Forum,1897(Feb.):673-688;"The Bureau of the American Republics,Its Past and Future",The Forum,1900(Sept.):21-27;"Notes on the Constitutions of the Republic of Colombia",International Law,Ⅱ,1904:1-10.
    16Wimmel,William Woodville Rockhill,2003:3-11.
    17 C.H.Desgodins,La mission du Thibet de 1855 a 1870,Verdun:C.Laurent,1872.
    18 FrerLeon,Le Tibet,Paris,1886.
    19 W.W.Rockhill,The life of the Buddha and the early history of his order,London:Trübner&co.,1884:203-229.
    20 W.W.Rockhill,"The Sutra in Forty-two Chapters,translated from the Tibetan",Journal of the American Oriental Society,11 Proc.xlix-li,1880:49-51.
    21 W.W.Rockhill trans.,Pratimoksha sutra;ou,Le traite d'emancipation selon la version tibetaine,avec notes etextraits du Dulva(Vinaya),Paris:E.Leroux,1884.W.W.Rockhill,trans.,The life of the Buddha,and the early history of his order.Derived from Tibetan works in the Bkah-hgyur and Bstan-hgyur.Followed by notices on the early history of Tibet and Khoten,London:Trübner&co.,1884.W.W.Rockhill,Trans,from Tibetan,"Le Traite D'Emancipation ou Pratimoksha Sutra",Revue de l'Histoire des Religions.IX.1884:1-2,3-26,167-201.
    22原文如此。
    23感谢范德康教授于2013年4月17目在啥佛—燕京学社主持笔者的讲座时,指出这三个字来自汉文译音。
    24 W.W.Rockhill,The Land of the Lamas,London:Longmans,1891:97-107.
    25 W.W.Rockhill,"Tibet.A Geographical,Ethnographical,and Historical Sketch,Derived from Chinese Sources",The Journal of the Royal Asiatic Society of Great Britain and Ireland,1891:2;Rockhill,The Land of the Lamas,1891:104.
    26 Rockhill papers,Box 98,folder 2 of 3,Notes on Tibetan language,Houghton Library,Cambridge,MA.
    27 Rockhill papers,Box 106-110,folder 1 of 13,Vinayapitaka,Houghton Library,Cambridge,MA.
    28 P.E.Foucaux,"Introduction",Parabole de l'enfant egare,formant le chapitreⅣdu Lotus de la bonne loi,Paris:B.Duprat,1854:51.
    29 W.W.Rockhill,"Review of Hand book of Colloquial Tibetan",Journal of the Royal Asiatic Society of Great Britain&Ireland(New Series),Volume 27,Issue 4,1895:918.
    30国内对他的旅行本身所作的初步介绍或研究,参胡岩:《早期进藏的美国人》,《西藏民族学院学报》2006(2):8—14;宗喀·漾正冈布、妥超群:《美国藏学家柔克义的两次安多考察》,《甘肃社会科学》2012(1):109一112;妥超群:《汉藏交界地带的徘徊者》,兰州大学博士论文,2012。国内基于他的旅行著述而进行的诸多研究,因无关本文题旨,兹不一一赘述。
    31 Rockhill,The Land of the Lamas,1891.
    32 Rockhill,Diary of a journey through Mongolia and Tibet in 1891 and 1892,1894.
    33 Wimmel,William Woodville Rockhill,2003:53.
    34 S.W.Bushell,"The Early History of Tibet.From Chinese Sources",Journal of the Royal Asiatic Society of Great Britain and Ireland,New Series,Vol.12,No.4,1880:435-541.
    35 W.W.Rockhill,"Tibet.A Geographical,Ethnographical,and Historical Sketch,Derived from Chinese Sources",The Journal of the Royal Asiatic Society of Great Britain and Ireland 1891:1.
    36 W.W.Rockhill,"Notes on certain analogous structures and constructions in Tibetan and Japanese",Journal of the American Oriental Society,11 Proceedings(54),1880:liv."Two Mongolian inscriptions in the Pa-sse-pa character",Journal of the American Oriental Society,11 Proc.1882:107.
    37 Rockhill papers,Additional papers,box.85a.Houghton Library,Cambridge,MA.
    38 W.W.Rockhill,"Korea in Its Relations with China",Journal of the American Oriental Society,Vol.13,1889:1.
    39 W.W.Rockhill,The Open Door,Boston Merchants Association,1900.
    40程龙也注意到柔克义在这方面的研究,见程龙:《三田渡碑的一段学术史》,《读书》2011(4):120。
    41 W.W.Rockhill,"Notes on Some of the Laws,Customs,and Superstitions of Korea",American Anthropologist,Vol.4,No.2,1891:177-188.
    42 W.W.Rockhill,Treaties and conventions with or concerning China and Korea,Washington:Gov't Print Office,1904.
    43 W.W.Rockhill,China's intercourse with Korea from the XVth century to 1895,London:Luzac&Co.,1905:8-9,
    44 Rockhill,China'sintercourse with Korea from the XVth century to 1895,1905:4.
    45 Rockhill,China's intercourse with Korea from theXVth century to 1895,1905:3-4,9.
    46 Rockhill,"Korea in Its Relations with China",1889:31.
    47 Rockhill,Diary of a journey through Mongolia and Tibet in 1891 and 1892,1894:324.
    48 W.W.Rockhill,"The Dalai Lamas of Lhasa and Their Relations with the Manchu Emperors of China,1644-1908",T'oungPao,Vol.11,No.1,1910:1-104,esp.86.
    49 Rockhill,The Land of the Lamas,1891:56.
    50 Rockhill,Diary of a journey through Mongolia and Tibet in 1891 and 1892,1894:209,363-364.
    51 Rockhill,The Land D,the Lamas,1891:276—77.
    52国内已经有学者注意到这一点,见胡岩:《早期进藏的美国人》,2006:8。
    53 Rockhill,The Land of the Lamas,1891:319,227,236,241.
    54W.W.Rockhill,”Tbe 1910 Census of the Population of China”,Tbung Pao,vol.13,No.1,1912:124.
    55W.W Rockhill,"Diplomatic Missions to the Court of China:The Kotow Question”。The American Historical Review,Vol.2,No.3,1897:427—442;N0.4,1897:627—643.
    56何伟亚:《怀柔远人》,邓长春译,北京:社会科学文献出版社,2002年。
    57从朱杰勤译文,见氏译:《欧洲使节来华考》,《史学专刊》1936(1):259。法文读如陆伯贺。
    58 W.W Roekhill,Diplomatic audiences at the court ofChino.London:Luzae&Co.,1905:1—2.
    59柔克义自己也参与这个指点。见杜继东:《外国人觐见清帝的礼仪之争》,《历史教学》1990(7):31。
    60 Rockhill,Diplomatic audiences at the court of China,1905:1-3,5,48—54.
    61 Rockhill,The Land of the Lamas,1891:18-19,23,48,206,277-285.
    62 W.W.Rockhill,"Notes on the Relations and Trade of China with the Eastern Archipelago and the Coast of the Indian Ocean during the Fourteenth Century:Part I",T'oung Pao,Vol.15,No.3,1914:419.
    63 W.W.Rockhill,"Notes on the Relations and Trade of China with the Eastern Archipelago and the Coast of the Indian Ocean during the Fourteenth Century:Part V",T'oung Pao,Vol.16,No.5,1915:626.
    64拉铁摩尔著,唐晓峰译:《中国的亚洲内陆边疆》,南京:江苏人民出版社,2010。
    65施坚雅著,史建云、徐秀丽译,《中国农村的市场和社会结构》,北京:中国社会科学出版社,1998。
    66 Stephan Feuchtwang,”Border regions and empty spaces”,Chinese Religions Workshop,Harvard University,Feb.2,2013.
    67蒙李星星研究员指出松树的类型,特致谢忱。
    68关于此松也有别的说法,见Wimmel,William Woodville Rockhill,2003:xiv.
    69B.Laufer,”William Woodville Rockhill”,Toung Pao,Vol.16,No.2,1915:290.

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