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第二部分进一步阅读书目

依笔者拙见,世界历史从公元前500年到公元1500年的整个时段属于一种膨胀的“中世纪”,夹在文明形成的基本阶段与1500年后西方开始占据支配地位之间。这种分期与传统的世界历史分期背道而驰,传统分期把这里放在同一个阶段的历史以大约公元400年为界,分别划分到古典和中世纪两个阶段。然而,传统的年代顺序遇到世界其他地区的历史时,就显得非常尴尬,因此,最好的方法似乎是只能按地区列举名称,而不要按照任何年代顺序。

欧洲。大多数古典作品已经被翻译成英语并且收在洛布古典丛书里了,与原著的希腊语和拉丁语逐页对照。此外,更重要的作家还有其他译本,而且常常由于我缺乏足够的知识而无法推荐任何作家的特定版本,如埃斯库罗斯、索福克勒斯、阿里斯托芬、希罗多德、修昔底德、普鲁塔克、李维、塔西佗、柏拉图、亚里士多德、西塞罗和其他同样持续受欢迎的作家等。但是,任何好奇的学生都将被要求尽快熟悉这些作家,因为他们是西方文明的主要源泉之一。

在现代学者中,选择就更显得武断而困难了。两部优秀的标准教材是:J.B.Bury,History of Greece to the Death of Alexander the Great,4th ed.(London,1975);和Max Cary,History of Rome Down to the Reign of Constantine the Great,2nd ed.(London,1954)。Gisela M.A.Richter,Sculpture and Sculptors of the Greeks,rev.ed.(New York,1950)是另一部标准的权威著作;Moses Hadas,History of Greek Literature(New York,1950)对他的主题进行了优雅的概述。关于经济史,参见F.M.Heichelheim,Ancient Economic History,3 vols.(New York,1958);M.I.Rostovtseff,The Social and Economic History of the Hellenistic World,3 vols.(Oxford,1941);同一作者的更加充满激情的Social and Economic History of Roman Empire,revised by P.M.Fraser 2nd ed.,2 vols.(Oxford,1957);Tenny Frank et al.,eds.,An Economic Survey of Ancient Rome,5 vols.(Baltimore,1933~40);A.H.M.Jones,The Greek City:From Alexander to Justinian(Oxford,1940);K.D.White,Roman Farming(Ithaca,N.Y.,1970);M.I.Finley,The Ancient Economy(Berkeley,1973);和Ernst Badian,Publicians and Sinners:Private Enterprise in the Service of the Roman Republic(Ithaca,N.Y.,1972)。关于军事和政治事件的特定方面,下列著作特别有趣:A.R.Burn,Persia and the Greeks:The Defence of the West(New York,1962);H.W.Parke,Greek Mercenry Soldiers(Oxford,1933);A.H.M.Jones,Athenian Democracy(Oxford,1957);Sir Ronald Syme,The Roman Revolution(Oxford,1939);J.R.Hamilton,Alexander the Great(London,1973);F.E.Peters,The Harvest of Hellenism:A History of the Near East from Alexander the Great to the Triumph of Christianity(New York,1970);Ernst Badian,Roman Imperialism in the Late Republic(Oxford,1968);Fergus Millar,The Emperor in the Roman World,31 B.C.~A.D.337(Ithaca,N.Y.,1977);Ramsey Macmullen,Roman Social Relations,50 B.C.~A.D.284(New Haven,1974)。还有其他三部著作可以在这里推荐:Marshall Clagett,Greek Science in Antiquity(New York,1956);W.W.Tarn and G.T.Griffith,Hellenistic Civilization,3rded.(London,1952);和Georges Dumezil,Archaic Roman Religion(Chicago,1970)。

早期基督教本身就是一个主题。古典学家的两部杰出著作是:C.N.Cochrane,Christianity and Classical Culture(New York,1944);和Arnaldo Momigliano,ed.,The Conflict between Paganism and Christianity in the Fourth Century(Oxford,1963)。William A.Chaney,The Cult of Kingship in Anglo-Saxon England:The Transition from Paganism to Christianity(Berkeley,1970)对一个重要的过渡时期的连续性和断裂性进行了论述。对早期基督教总体论述的优秀著作有:Kenneth Scott Latourette,A History of the Expansion of Christianitiy I:The First Five Centuries(New York,1937);Robert M.Grant,Historical Introduction to the New Testament(New York,1963);和Rudolf Karl Bultmann,Primitive Christianity in Its Comtemporary Setting(London,1956)。有趣的更专门性主题如下:A.D.Nock,Conversion,The Old and the New in Religion from Alexander the Great to Augustine of Hippo(London,1933);J.M.Allegro,The Dead Sea Scrolls and the Origins of Christianity(New York,1957);Jean Doresse,Secret Books of the Egyptian Gnostics(New York,1960);和Peter Brown,Augustine of Hippo(Berkeley,1967)。Salo W.Baron,A Social and Religious History of the Jews,2nd ed.,8 vols.(New York,1952~58),是研究早期基督教非常有用的配套著作。

中世纪史学家一直将基督教划分为拉丁基督教和希腊基督教,斯拉夫欧洲常常成为第三个组成部分。同样,与伊斯兰教的关系被忽略或者与总体描述分离开来加以对待。结果是强调了,也许多于实际理由,中世纪欧洲二者之间关系的区分,更别说整个欧亚大陆。Hugh Trevor-Roper,The Rise of Christian Europe(London,1965);Gustave E.von Grunebaum,Medieval Islam:A Study in Cultural Orientation,2nd ed.(Chicago,1955);和Robert S.Lopez,The Birth of Europe(New York,1967);超越了这种狭隘视野;如Lynn White Jr.,Medieval Technology and Social Change(Oxford,1962)。

近来关于中世纪经济史的著作围绕着亨利·皮朗在Mohammed and Charlgemagne(New York,1955)提出、在他的Economic and Social History of Medieval Europe(New York,197)一书中确立的“皮朗假设”而展开。The Cambridge Economic History of Europe,3 vols.(Cambridge,1941~63)反映了专家的一致意见;C.S.and C.S.L.Orwin,The Open Fields,2nd ed.(Oxford,1954)把农业的实际经验用于阐述争议众多的庄园土地类型。近来由杰出学者撰写的综合性著作包括:M.M.Postan,The Medieval Economy and Society:An Economic History of Britain,1100~1500(Berkeley,1972),和Robert S.Lopez,The Commercial Revolution of the Middle Ages (Englewood Cliffs,N.J.,1971)。

在政治事件方面,接受一份比大多数著作更有趣味更重要的书目似乎是最好的办法;Marc Bloch,Feudal Society(Chicago,1961);Carl Stephenson,Medieval Feudalism(Ithaca,N.Y.,1942);Sir Steven Runciman,A History of the Crusades,3 vols.(Cambridge,1951~54);Charles Homer Haskins,The Normans in European History (Boston,1915);Geoffrey Barraclough,The Origins of Modern Germany,2nd ed.(Oxford,1947);和P.H.Sawyer,The Age of Vikings(New York,1962)。

关于文化史,基于同样武断原则建议书目如下:R.W.Southern,The Making of the Middle Ages(New Haven,1953);Christopher Dawson,The Making of Europe(London,1932);John Huizinga,The Waning of the Middle Ages(London,1924);L.J.Daley,The Medieval University(New York,1961);Charles Homer Haskins,The Renaissance of the Twelfth Century(Cambridge,Mass.,1927);C.H.McIlwain,The Growth of Political Thought in the West(New York,1932);David Knowles,The Evolution of Medieval Thought(London,1962);Ernst Kitzinger,Early Medieval Art in the British Museum,2nd ed.(London,1955);Erwin Panofsky,Gothic Architecture and Scholasticism(Latrobe,Pa.,1951);Paul Oskar Kristeller,Renaissance Thought:The Classic,Scholastic and Humanist Strains,rev.ed.,2 vols.(New York,1961);Ernst Cassirer et al.eds.,The Renaissance Philosophy of Man(Chicago,1948)。David Talbot Rice,ed.,The Dawn of European Civilization(London,1965)是一部插图精美的介绍欧洲和近东艺术第一个千年纪的著作。两部总论性的著作追溯了欧洲的重要主题:Clarence Glacken,Traces on the Rhodian Shore(Berkeley,1967),讨论了欧洲关于自然的观念,和Herschel Baker,The Dignity of Man(Cambridge,Mass.,1947,新书名,The Image of Man,New York,1961)。

关于东欧的英语著作较少,但是下列著作值得推荐:Archibald R.Lewis,Naval Power and Trade in the Mediterranean,A.D.500~1000(Princeton,1951);Sir Steven Runciman,Byzantine Civilization(London,1933);William H.McNeill,Venice:The Hinge of Europe,1081~1797(Chicago,1974);Norman H.Baynes and H.St.L.B.Moss,eds.,Byzantium(Oxford,1961);Peter Charanis,Studies on the Demography of the Byzantine Empire:Collected Studies(London,1972);O.M.Dalton, East Christian Art:A Survey of the Monuments(Oxford,1925);N.P.Kondakov,The Russian Icon(Oxford,1927);George Vernadsky,A History of Russia,5 vols.(New Haven,1943),和Jerome Blum,Lord and Peasant in Russia(Princeton,1961)。

伊斯兰王国。这是一个灵活的词语,因为伊斯兰教在诞生后的1000年里一直使人皈依,并扩张领土基础,事实上今天仍然如此。此外,在这个总标题下考察一下帕提亚和萨珊帝国也很方便,因为在许多方面,它们是阿拔斯王朝哈里发的先驱。总体说来,对伊朗的研究很少。两部简明的概论著作是:Richard N.Frye,Heritage of Persia(Cleveland,1963),和Roman Ghirshman,Iran from the Earliest Times to the IslamicConquest(Penguin,1961)。关于波斯和萨珊时期,参见:Neilson C.Debevoise,A Political History of Parthian(Chicago,1938);对于通法语的读者来说,可以参考Arthur Christensen, LIran sous les Sassanides, 2nd ed.(Copenhagen,1944);Roman Chirshman,Persian Art,The Parthian and Sassanian Dynasties(New York,1962);和Arthur Upham Pope and Phyllis Ackerman,eds.,A Survey of Persian Art,7 vols.(London and New York,1938~39)都是非常优秀的。关于宗教史,F.C.Burkitt,The Religion of the Manichees(Cambridge,1925)和其他两部著作:Robert Charles Zaehner,The Dawn and Twlight of Zoroastrianism(New York,1961),和Zurvan:A Zoroastrian Dilemma(Oxford,1955)也方便易得。

在众多概述伊斯兰教的著作中,下列著作尤为出色:H.A.R.Gibb,Mohammedanism:A Historical Survey,2nd ed.(London,1953);Bernard Lewis,The Arabs in History(London and New York,1950);Marshall G.S.Hodgson,The Venture of Islam:Conscience and History in a World Civilization,3 vols.(Chicago,1974);Gustave E.von Grunebaum,Medieval Islam:A Study in Cultural Orientation,2nd ed.(Chicago,1955);T.W.Arnold,The Caliphate(Oxford,1924);T.W.Arnold,The Preaching of Islam,2nd ed.(London,1913)。关于穆罕默德的生平,Tor Andrae,Mohammed:The Man and His Faith(New York,1956),W.Montgomery Watt,Muhammad at Merca(Oxford,1953)和W.Montgomery Watt,Muhammad at Medina(Oxford,1956)是非常优秀的著作。《古兰经》有多种译本存在;似乎没有一部英语版本达到了原著的文学功力,我无法确定最佳译本。Eric Schroeder,Muhammads People(Freeport,Me.,1955)是阿拉伯特别是伊斯兰教之前的诗歌的大杂烩译本。William Polk,The Golden Ode(Chicago,1974)翻译了前伊斯兰教阿拉伯的重要著作,并且把它作为阿拉伯社会的一种介绍而加以讨论。完全不同风格的是Ibn Khaldun,The Muquaddimah:An Introduction to History,tr.Franz Rosenthal,3 vols.(New York,1958)。W.Montgomer Watt,tr.,The Faith and Practice of Al-Ghazali(London and New York,1953),是一位著名的穆斯林神学家的自传,提供了洞悉穆斯林文明的第三只眼。

关于苏菲运动给伊斯兰教带来的重大变化,A.J.Arberry,Suffism:An Account of the Mystics of Islam(London,1950)和Reynold Alleyne Nicholson,Studies in Islamic Mysticism(Cambridge,1921)值得推荐。Edward G.Browne, A Literary History of Persia,4 vols.(London and Cambridge,1902~1924),是名副其实的经典;T.W.Arnold, Painting in Islam(Oxford,1928)和Richard Ettinghausen,Arab Painting(Geneva,1926)都是有价值的著作。

以下著作论述更专门的主题:George Fadlo Hourani,Arab Seafaring in the Indian Ocean in Ancient and Early Medieval Times(Princeton,1951);Andrew S.Ehrenkreutz,Saladin,(Albany,N.Y.,1927);W.Barthold,Turkestan Down to the Mongol Invasion,2nd ed.(London,1928);Paul Wittek,The Rise of the Ottoman Empire(London,1938);Halil Inalcik,The Ottoman Empire:The Classical Age,1300~1600(New York,1973);Franz Babinger,Mahmet the Conqueror and His Time(Princeton,1977);J.K.Birge,The Bektashi Order of Dervishes(Hartford,1937);和Marshall G.S.Hodgson,The Order of Assasins(The Hague,1955)。

中亚和草原地区。欧亚大陆草原地区通常被当作一个整体。Réné Grousset,The Empire of the Steppes(trans.New Brunswick,1970)是少数试图将东西方历史事件融为一体的著作之一。William M.Mcgovern,The Early Empire of Central Asia(Chapel Hill,1939)和Owen Lattimore,The Inner Asian Frontier of China(New York,1940),论述了欧亚草原的东部。W.W.Tarn,The Greeks in Bactria and India,2nd ed.(Cambridge,1951),A.K.Narain,The Indo-Greeks(Oxford,1957),论述了中亚历史上最动荡的一个时期。据我所知,没有类似的论述贵霜帝国的著作,也没有论述维吾尔时代传播到整个中亚的萨珊帝国外围的满意著作。Sir Aurel Stein,On Ancient Central Asia Tracks(London,1933)只记录了他的发现,但没有把他的记录编写成历史。

历史学家对欧亚草原西部的论述则要好得多。M.I.Rostovtseff,Iranians and Greeks in South Russia(Oxford,1922)和Tamara Talbot Rice,The Scythians(London,1957)在第一部分进一步阅读书目中已经提及。Mortimer Wheeler,Rome beyond the Imperial Frontiers(New York,1955);E.A.Thompson,A History of Attila and the Huns(Oxford,1948);Otto Maenchen-Helfen,The World of the Huns(Berkeley,1973);和D.M.Dunlop,The History of the Jewish Khazars(Princeton,1954)不仅非常完满地论述了欧亚草原历史上的每个重要阶段,并论述了它与欧洲的关系。R.A.Stein,Tibetan Civilization(trans.Stanford,1972),是对这个主题的标准论述。关于蒙古,以下两部著作尤为出色:H.Desmond Martin,The Rise of Chings Khan and His Conquest of North China,ed.Elianor Lattimore(Baltimore,1950);和Christopher Dawson,ed.,The Mongol Mission(London and New York,1955)。Michael Prawdin(pseud.For Michael Charol),The Mongol Empire:Its Rise and Legacy(London,1940),是一部可读性强但缺乏事实证明的著作。

印度和东南亚。A.L.Basham,The Wonder That Was India,rev.ed.(New York,1963),是对印度文明最好的简介。近年的概论是Stanley Wolpert,A New History of India(New York,1977)。K.A.Nilakanta Sastri,A History of South India from Prehistoric Times to the Fall of Vijayanagar, 3rded.(Madras,1966),和E.H.Warmington,Commerce between the Roman Empire and India(Cambridge,1928),为地中海与印度洋世界互动关系提供了有趣的数据。

关于印度思想和文学,标准的著作是:Surendranath Dasgupta,A History of Indian Philosophy,5 vols.(Cambridge,1932~1955);A.B.Keith,A History of Sanskrit Literature(London,1928);和A.B.Keith,The Sanskrit Drama in Its Origin,Development,Theory,and Practice(Oxford,1924)。印度艺术被下列著作很好地论述了:Heinrich Zimmer and Joseph Campbell,The Art of India Asia,2 vols.(New York,1955);Benjamin Rowland,The Art and Architecture of India(Penguin,1953);和Calambur Sivaramamurti,The Art of India(New York,1977)。在可以得到的印度文学译本中,V.R.R.Dikshitar,ed.and tr.,The Lay of the Anklet(Silappadikāram)(Oxford,1939);Johannes A.B.van Buitenen,Tales of Ancient India(Chicago,1959);Franklin Edgerton,ed.and tr.,The Bhagavad Gita,translated and interpreted(Harvard Oriental Series,Cambridge,Mass.,1944);和N.A.Nikam and Richard P.McKeon,eds.and trs.,The Edicts of Ashoka(Chicago,1958)都是特别有趣的。Johannes van Buitenen的重要翻译多卷本Mahabharata(Chicago,1973~)在第一部分进一步阅读书目说明中已经提及。两部杰出的著作对印度宗教提供了很好的介绍:Robert C.Zaehner,Hinduism(Oxford,1966)和Mircea Eliade,Yoga:Immorality and Freedom,2nd ed.rev.(Princeton,1969)。

东南亚历史可参阅以下著作:D.G.E.Hall,A History of Southeast Asia(New York,1955);John F.Cady,Southeast Asia:Its Historical Development(New York,1964);H.G.Quaritch Wales,The Making of Greater India:A Study in Southeast Asian Culture Change(London,1950);J.C.van Leur,Indonesian Trade and Society(The Hague,1955);B.H.M.Vlekke,Nusantara:A History of the East Indian Archipelago(Cambridge,Mass.,1943);和G.Coedes,The Indianized State of Southeast Asia,trans.(Honolulu,1968)。

远东。L.C.Goodrich,A Short History of the Chinese People,3rded.(New York,1959)和Charles O.Hucker,Chinas Imperial Past(Stanford,1975)是很好的中国通史著作。George B.Sansom, Japan:A Short Cultural History (New York,1962)和John Hall,Japan:From Prehistory to Modern Times(New York,1970)也是很好的日本通史著作。关于朝鲜,M.Frederick Nelson,Korea and the Old Orders in Eastern Asia(Boston,Rouge,1945);Homer B.Hulbert,The History of Korea,rev.ed.by C.M.Weems,2 vols.(Hillary,N.Y.,n.d.;first published,Seoul,1905);和Woo-Kuen Han,The History of Korea(Seoul,1970)可以参阅。E.O.Reischauer,John K.Fairbank,and Albert Craig,East Asia:Tradition and Transformation(Boston,1973)从整体上论述远东历史。

中国漫长的政治和社会发展的特定主题由以下著作所论述:Derk Bodde,Chinas First Unifier:A Study of the Chin Dynasty as Seen in the Life of Li Ssu(Leiden,1938);Michael Loewe,Crisis and Conflict in Han China(London,1974);Arthur F.Wright,Buddhism in Chinese History(Stanford,1959);Kenneth Chen,Buddhism in China:An Historical Survey(Princeton,1964);Arthur Wright and Denis Twitchett,Perspectives on the Tang(New Haven,1973);Edwin G.Pulleyblank,The Background of the Rebellion of An Lu-shan(London,1955);Edwin A.Kracke,Jr.,Civil Service in Early Sung China,960~1067(Cambridge,Mass.,1953);Shiba Yoshinobu,Commerce and Society in Sung China,trans.(Ann Arbor,1970);James T.C.Liu,Reform in Sung China:Wang An-shih and His New Policies(Cambridge,Mass.,1959);Charles O.Hucker,ed.,Chinese Government in Ming Times(New York,1969);和J.J.L.Duyvendak,Chinas Discovery of Africa(London,1949)。Raymond Dawson,ed.,The Legacy of China(Oxford,1964)包括了中国传统文明多方面的简要介绍,而且由该领域的一流权威学者所撰写。

中国的艺术和思想可以从下列著作中得到帮助:Osvald Siren,Chinese Painting:Leading Masters and Principles,7 vols.(New York,1956~1958);Lawrence Sickman and Alexander Soper,The Art and Architecture of China(Pinguin,1956);James Cahill,Chinese Painting(Cleveland,1960;reissued in paperback,New York,1977),是该主题最好的介绍;Feng Yu-lan,A History of Chinese Philosopy,tr.Derk Bodde,2 vols.(Princeton,1952~1953);和Wing-tsit Chan,A Sourcebook in Chinese Philosophy(Princeton,1963)。Wing-tsit Chan,tr.,Reflections on Things at Hand:The Neo-Confucian Anthology Compiled by Chu His and Lu Tsu-Chien(New York,1967),和Tu Wei-Ming,Neo-Confucian Thought in Action:Wang Yang-mings Youth(Berkeley,1976),论述中华帝国后期居于支配地位的新儒家思想的正反两面。Historic Relics Unearthed in New China(Peking,1972)和Murals from the Han to the Tang Dynasty(Peking,1974)提供了当代中国考古学家发掘的许多重要文物的彩色照片。Joseph Needham,Science and Civilization in China,Multivolumed(Cambridge,1954~)and T.F.Carter and L.C.Goodrich,The Invention of Printing in China and Its Spread Westward,2nd ed.(New York,1955)是这个主题的最权威著作。中国两位最著名的历史学家由以下著作进行了研究:Burton Watson,tr.,Records of the Grand Historians of China,2 vols.(New York,1961)和Homer H.Dubs,ed.and tr.,The History of the Former Han Dynasty by Pan Ku(Baltimore,1938~1955)。Arthur Waley,tr.,The Poetry and Career of Li Po,701~762 A.D.(London,1951)值得提及。

Donald L.Philippi,tr.,Kojiki(Tokyo,1968)使日本古代重要史料可以得到。Murasaki Shikibu,The Tale of Genji,tr.Arthur Waley(Boston,1935),是平安时代文化的最佳导论。下列几部著作对研究前现代日本有用:Ivan Morris,The World of the Shining Prince(New York,1964);Jeffrey Mass,Warrior Government in Early Medieval Japan:A Study of the Kamakura Bakufu,Shugo and Jito(New Haven,1974);和Alfrede Bloom,Shinrans Gospel of Pure Grace(Tucson,1965)。

非洲。Roland Oliver and John D.Fage,A Short History of Africa(Penguin,1962)现在是标准著作,但是Philip D.Curtin,African History(Boston,1978)给以前的著作带来了挑战。有趣的区域性论述包括:Zoё Marsh and G.W.Kingsnorth,An Introduction to the History of East Africa,2nd ed.(Cambridge,1961);John D.Fage, An Introduction to the History of West Africa,2nd ed.(Cambridge,1960);E.W.Bovill,Caravans of the Old Sahara:An Introduction to the History of theWestern Sudan(London,1933);J.Spence Trimingham,A History of Islam in West Africa(London,1962);A.H.M.Jones and Elizabeth Monroe,A History of Abyssinia(Oxford,1935;reissued as A History of Ethiopia,1955);和Nehemia Lebtzion,Ancient Ghana and Mali(New York,1973)。Roland Oliver,ed.,The Cambridge History of Africa,III:from c.1500 to c.1600 (Cambridge,1977)反映了该主题现行学术动态。

美洲。Gorden R.Willey,New World Prehistory,Smithonian Institution Report for 1960(Washington,D.C.,1961)和H.E.Driver,ed.,The Americas on the Eve of Discovery(Englewood Cliffs,N.J.,1964),是较好的介绍美洲印第安人的著作。G.H.S.Bushnell,Peru,rev.ed.(New York,1963);J.Eric S.Thompson,The Rise and Fall of Maya Civilization(Norman,Okla.,1954);G.C.Valliant,The Aztecs of Mexico(Penguin,1950);和Friderich Katz,The Ancient American Civilizations(New York,1972),也非常有用。关于有争议的哥伦布之前与新大陆的跨太平洋联系问题,参见M.W.Smith为美国人类学会的Memoir No.9(1953)撰写的Asia and North America:Trans-Pacific Contacts, 和Andrew Sharp,Ancient Voyagers in the Pacific(Wellington,N.Z.,1956)。