这种行径恰好符合保守派心目中的“浮薄文人”刻板印象:言大而夸,缺乏责任感;喜欢滥许无原则的诺言,却不能或不愿履行;一面借口公共利益嘲笑传统行为准则,一面在自己的私生活当中,为道德马基雅维利主义开脱;抽象地主张平等、同情弱者,具体地放弃精英责任、享受精英地位。保守派的箴言永远是“责任、荣誉、信仰”,“不妄作承诺,但总是做得比说得多”,“背弃信赖你的人,毋宁死”。他们轻视抽象的理论著述,重视具体的个人操守尤其是家庭责任感;理论上否认平等,质疑弱者的自身素质,实际上却扶危济困,并视之为精英应尽的责任。解放纽约州黑奴的人,是杰斐逊的敌人汉密尔顿。解救黑人奈特的人,是奴隶制的同情者约翰逊博士。罗伯特·李将军对待庄园黑奴的理论与实际,恰好跟杰斐逊相反:解放自己的黑奴,维护南方的特殊地位。
政治上,保守派的责任观主要体现于他们对人民代表的看法:人民选举代表,不是需要应声虫和谄媚者,而是需要品德和判断力高于自己的人。换句话说,人民代表应该以人民的忠臣自居,为了人民的利益而不惜冒犯人民的感情。人民代表是辛辛那提,不是卡提林;是伯里克利,不是亚西比德;是华盛顿,不是艾伦·伯尔!托克维尔对美国革命的评价最能反映这种价值观。他说,在美国革命的危急关头,人民坚定地选出了最值得他们尊重的人,而不是他们最喜爱的人。美国的幸运之处在于:建国关键时刻的舵手恰好是这样一批人(联邦党人)。承平日久,美国政治家的素质也退化了。民主制度容易培养一种人民的佞臣,他们对待人民就像路易十四的廷臣对待君主:奉承主人的虚荣,损害主人的利益。
在亚当斯夫妇的历史版本中,杰斐逊就是这种缺乏原则的政治家:为了博取民望,不断修改自己的意见,追赶反复无常、不负责任的民意。亚当斯恰好相反。他在殖民地群情激愤、暴民滥用私刑之际,挺身为枪杀市民的英军士兵辩护,为他们争取到无罪释放的判决。(根茨在书中提到此事)英军来犯之际,他的家乡是最早的战场。他在本地组织义勇,并没有抛弃职守然后远漂海外。亚当斯父子夫妇都是基督教家庭美德的化身。最后但并非最不重要的是,法国革命的风暴波及美国国内时,幸而有他辅弼华盛顿,抵制人民的一时冲动。否则,如果杰斐逊一伙人如愿以偿,对内破坏社会秩序,对外甘做法国的小兄弟,反对大不列颠及其欧洲盟国,谁敢担保美国的下场会好过巴达维亚共和国、海尔维希亚共和国和美因茨共和国?杰斐逊的私生活本来经不住攻击,但亚当斯在竞选中仍然对事不对人。亚当斯的人品本来没有弱点,杰斐逊手下的小报和竞选干事却不肯投桃报李,甚至攻击亚当斯的体型和夫妻关系。阿比盖尔夫人在信中嘲笑道:这两者只有她说了才算;但亚当斯毕生耿耿于怀。直到两人都已经风烛残年,杰斐逊写信请求和解,亚当斯仍然不能释怀。他相信,杰斐逊肯定事先知道而且默许此事。这不是政见问题,而是人品问题。
精英主义和草根民主的张力贯穿美国历史前半期,并没有随着联邦党的消失而结束。亚当斯家族几乎就是精英主义在北美的道成肉身。约翰·昆西·亚当斯对杰克逊短暂而勉强的胜利和持久而彻底的失败,重演了老亚当斯对杰斐逊的剧本。随着辉格党的没落,在北美拷贝英国“绅士俱乐部政治”的机会一去不复返,亚当斯家族的政治生涯就此告一段落。约翰·昆西的孙子亨利·亚当斯得以名垂青史,主要不是因为他的外交使命(外交官和军官显然是绅士传统在民主时代的最后避难所),而是因为他留下了两部大作:《民主》和《亨利·亚当斯的教育》。前者从欧洲贵族外交官的视角,嘲笑失去原则的美国民主政治日趋腐败。(当然,他所谓的腐败是罗马意义上的腐败:政客罔顾公共和长远的利益,以自私和短期的恩惠收买选票;跟中国传统意义上的腐败相比,行贿者和受贿者恰好交换了位置。)后者哀叹自己在工业和群众的时代越来越丧失方向感,人类也越来越陷入无法掌握命运的无力感。另一位保守派切斯特顿宣称:偏见是智慧之母,伟大的偏见蕴含着比事实更深刻的智慧。小亨利·亚当斯的著作就是这一类偏见的结晶。
保守派一向轻视理论著述,重视具体的经验和个人。如果你仅仅通过政治思想史理解历史,就会得出颇为偏颇的结论,因为绝大多数政治理论家都是保守派心目中的“浮薄文人”,他们统治着“思想的王国”,但也仅此而已。在激进派著作的汪洋大海中,保守派只留下寥寥无几的珊瑚礁。根茨的著作就是这样一座珊瑚礁。约翰·昆西·亚当斯引进此书,主要是为了反驳美国国内“流毒甚广”(本书序言)的谬论——即杰斐逊式的激进派历史版本。这种史观将法国革命和美国革命视为同一原则的产物,企图用抽象、不可靠的人类权利取代具体、可靠的盎格鲁传统自由。华盛顿、汉密尔顿和联邦党人最忧心忡忡的,就是这种发展倾向。
不过,我们不能片刻忘记:盎格鲁的保守主义只有在英语世界才是保守主义。它跟欧洲大陆的天主教—正统君主派保守主义鲜有共同语言,跟西欧以外的所谓保守主义就更加风马牛不相及。不顾历史背景,仅仅按照字面意义移植盎格鲁保守主义,产生的后果大概恰恰是保守的反面。亚当斯家族将日耳曼自由主义视为盟友,其实跟杰斐逊将法国激进主义视为盟友差不多:符合当时美国国内政争的理论需要,但不能掩盖双方在思想史脉络上的重大分歧。它们不久就产生了面目迥异的思想后裔。
欧洲保守派的背景不同于盎格鲁新教徒,他们以天主教会和正统绝对君主制为根基。在欧洲大陆的自由主义者当中,新教徒和改信新教的犹太人占据了畸高的比例。盎格鲁世界用于巩固即成体制的教义,在他们手中往往只是一种打击天主教多数派的武器。如果将“自由主义者”改成“普鲁士王国”,将“天主教正统派”改成“哈布斯堡帝国”,以上陈述就可以适用于从哈登堡到俾斯麦时代的普奥关系。日耳曼自由主义与普鲁士的诡异情缘就建立在这种歌德式“选择亲和力”上,1848年法兰克福国民议会的单相思体现了这种关系的最高峰。最后,自由主义随着弗里德里希- 威廉太子的影子内阁一起没落,将德语世界留作国家主义和社会主义的战场。这条路径打开了战争和革命的大门,最终毁灭了欧洲对世界的统治。
在法国革命最初的蜜月期,以下的蓝图似乎并非不可能实现:将霍亨索伦王朝改造为德语世界的奥兰治家族,实现(北德)新教徒与自由主义的英国式合流,让哈布斯堡王朝和天主教保守派落到斯图亚特王朝的下场。这种希望在德国知识分子当中极为普遍,艾克曼和海涅都对此念兹在兹。他们一再欺骗自己,将普鲁士王国的每一次变法解释为自由主义,但这些改革最终全都演变为强化国家主义的举措。耶拿战败后的改革部分实现了教育世俗化,但主要结果是军事动员体系和文官制度的合理化。法兰克福国民议会的劝进计划由俾斯麦付诸实施,但前提是毁灭“国会通过财政控制权主宰国家”的英国式路径。1880年代的法律改革起步太晚,先天不合时宜,在民族法学和福利国家的两面夹击之下粉身碎骨。威廉二世登基时,形势已经很明朗:政权属于国家主义,民间属于社会主义。同样,国家主义各党和社会主义各党占据魏玛共和国的大半壁江山,自由主义各党势力还不如天主教和少数民族的党派。希特勒将国家主义和社会主义结合在“国家社会主义工人党”这个怪胎中,结束了这场游戏,证明日耳曼自由主义只有依靠外力才有可能胜利。
弗雷德里希·根茨是法国胡格诺派流亡者的后裔,依靠新教的普鲁士保护。门第背景对政治选择的影响之大,往往超乎当事人和后世史论家愿意承认的程度。根茨虽然在柯尼斯堡上过康德的课,但他的教育底色仍然属于洛可可时代。按塔列朗亲王的经典论述,他属于体验过“甜蜜生活”的最后一代人。他们属于旧制度,游历、交际、寻欢作乐才是他们真正的教育。君子不器。严肃地对待抽象理论和书本知识,那是“布尔乔亚世纪”优等生的做法,暴露了小市民的出身和眼界。绅士即使涉猎群书,也仅仅是为了培养品味,并不尊重学究意义上的知识。他们在精英小圈子内如鱼得水、冷暖自知,通过经验理解各邦活的宪制运作而非纸上的死宪法。甚至可以说,他们就是宪制本身。圣西门公爵说全法兰西都在国王的客厅里,就是这个意思。对他们而言,自由权利就是柏克所谓“欧洲共同的古法”——封建意义上的自由和各等级共治的传统惯例。
根据这种自由观,法兰西和西班牙的绝对君主制侵犯了各等级古老的特权。英国的立宪君主制并非通向民主的不彻底革命,而是针对新兴绝对君主制的拨乱反正:恢复各等级共治的混合宪制。大不列颠国王和上下两院完美地体现了混合宪制的平衡。根茨写道:
在混合宪制内,最高权力或合法主权者总是由几个部分联合组成并由宪法规范。每一部分各有其宪法权利与特权,即使自身更加重要,都不可能比其他部分更为神圣。一旦其中某一部分逾越合法边界,压迫或企图毁灭另一部分,除非宪法只是空洞的名义,后者必定有权抵抗,除非另有幸运的权宜手段,战争无法避免。如果原有的平衡不能恢复,宪制解体就是争执必然而合法的结局。一国最高权力的两个独立组成部分起衅,正如两个邦国开战,不可能存在仲裁法官。不言而喻,这是整个邦国最不幸的情况。毫无疑问,最可怕的处境势必随之而来:在这种争执当中,国民永远不知道应该服从谁、抵抗谁、拥戴谁、反对谁。一切权利和义务都陷于混乱,地位不清。谁在叛乱一方,谁不在叛乱一方,本身就难以确定。这是混合政体不可避免的害处。无论政体多么伟大,出于宪制的原因,这种可能性永远无法排除。例如,不列颠国会两院企图不经国王批准,颁布法律,或是国王未经国会同意颁布法律,这样,受害的一方无疑会积极有力地抵抗。即使这种抵抗以内战和宪制毁灭为结局,任何人都无法否认其合法性毫无瑕疵。
无疑,这是混合政体最大的弱点。不过,幸运的是,政体接近完美状态的可能性远远大于解体的可能性。宪法权威的一部分由于自身有适当的分量,能够抵抗另一部分的侵凌,这种可能性更大。某一部分迫于无奈,拿起武器,可能性更小。在这方面,人们有正当理由断定:英国宪制相对于任何其他曾经存在过、或可能设计出的复合政体,享有决定性的优势。
因此,法兰西如果恢复古老的三级会议,将绝对君主制的武断权力收回等级君主制的有限范围内,无疑值得庆幸。但是,法国第三等级
不到六周,他们就已经破坏了这三项基本条件。第三等级代表没有获得丝毫授权,就可耻地践踏了其他等级的权利,宣布他们自己单独构成国民议会。
这不是混合政体的复辟,而是以另一种绝对权力(人民主权)取代原先的绝对权力(朕即国家)。而且两相比较,前者对权利的破坏远远超过后者。
一旦越过这个阶段,根茨对法国革命的态度就由康德式同情转为柏克式反对。他第一个(1794年)将柏克的《法国革命论》翻译成德文。1795年以后,他在柏林出版的《历史研究》月刊可以概括为:根据“老辉格党”史观解读并宣扬英国宪制的奥妙。《美法革命比较》(1800)就属于《历史研究》系列文章,其主旨在于:美国革命不是法国革命的先驱,而是英国宪法的复辟。(这也是亨廷顿《变化社会中的政治秩序》的观点。)他的假想敌无疑是欧洲大陆的激进分子,后者愿意依靠法军推翻本国政府。约翰·昆西·亚当斯刻不容缓地将这篇文章介绍到美国,无疑是针对1800年大选的对手——杰斐逊的民主共和党人。
在此期间,根茨不仅通过文字宣扬保守自由主义理念,而且直接向普鲁士政府提出改革建议。1797年,他上书国王弗雷德里希·威廉三世,要求保障贸易自由和出版自由。这种出格的举动对他的仕途没有好处,却为他赢得了相当大的公众声望。
1801年,根茨厌倦了定期出版《历史研究》杂志,但他鼓吹英国宪制的热情不减,发表了另一篇公认的经典著作:《法国革命的产生和特征》。这些活动不仅为他赢得了收入和声誉,还确定了他在现实政治中的角色。他作为法国革命公开和积极的敌人,难以在中立的普鲁士获致要津,转而投奔英奥联盟。
1802年,根茨受奥地利驻柏林大使斯塔迪安伯爵引荐,前往维也纳,就任帝国枢密。他途经伦敦,会晤英国重臣庇特和格兰维尔,给他们留下了深刻印象。英国政府意识到他的笔杆子可以为反法联盟作出极大贡献,从此为他支付丰厚的年金。奥地利大败后,根茨撰写了两篇新论文《英格兰和西班牙两强开战前的关系》、《欧洲势力均衡的碎片》(1806)。在后一篇文章中,他以先知式的热情预言:“欧洲通过日耳曼毁灭,也将通过日耳曼复兴。”这时,他极力促成普鲁士放弃中立,加入英奥联盟。拿破仑愤怒地说:“无行文人图财卖身,根茨就是他们当中的一员。”耶拿大败再度粉碎了根茨的希望。
1809年,奥地利再度向法国开战,不旋踵而败。1810年,根茨的政治保护人斯塔迪安伯爵倒台;他联袂辞职。梅特涅亲王继任后,根茨再度出任帝国顾问。莫斯科和滑铁卢似乎实现了根茨的外交理想,他却偏偏在这时向梅特涅建议:维持拿破仑的地位,以法奥联盟保障欧洲均衡。前一项建议显然是不可能实现的,但梅特涅和格雷在维也纳和会上奉行的宗旨确实是:避免过分削弱战败国法国,避免过分加强战胜国俄罗斯,在欧洲维持五大国势力均衡,在海外听任英国所向披靡。这一体系给欧洲带来了近代最长久的和平,证明根茨作为外交家确有独到的眼光。
从1812年维也纳会议到1822年维罗纳会议,根茨一直担任梅特涅的助手,身居欧洲政治的中心。他在毕生事业的顶峰,内心却充满了玩世不恭的绝望情绪,完全丧失了早年先知般的热情和严正的道德感。从他留下的片断记录看,他似乎经历太多、了解太多,以至于看透了人性和时代,相信身逢叔世,事无可为,唯有延缓断壁残垣的进一步颓坏而已。在1812年维也纳会议上,他接受了塔列朗亲王和卡斯尔雷勋爵馈赠的巨款。在1819年维也纳会议上,他漠然抛弃了自己十几年前不顾利害鼓吹的日耳曼再联合。在《卡尔斯巴德法令》中,他断然否定了自己1797年上书力争的言论自由。他生命的最后20年与妻子分居,充满了天主教各国常见、新教各国少见、美国新教徒社会中尤其罕见的风流韵事。
1832年6月,根茨在维也纳去世。这时,他的日记和文稿仍然是堪与柏克媲美的杰作,但约翰·昆西·亚当斯或美国任何党派都不可能将他引为同道了。或许,在没有自由主义历史基础的地方,所谓的自由主义者只能是一批自由主义理论鉴赏家。他们是无根的游士,精神上的异邦人。既然有足够的智力理解精微复杂的盎格鲁宪制理论,必然就有足够的智力理解自己的地位、利益与自己的爱好、倾向早晚不能相容。这种分裂自然会造就玩世不恭的态度和道德相对主义,鄙视自己、同胞和人类本身。俄罗斯的纳博科夫、卢金,日本的币原重喜郎在这方面与根茨非常相似。他们和他们的国家一样,无法具备盎格鲁世界作为自由基础的信仰、道德、社会责任感;最糟糕的是,他们自己对这一点最清楚不过。他们注定是知识世界的孤星、历史世界的流星、政治世界的装饰品。
流星一批接一批掠过中欧晦暗的天空,一次又一次照亮另一种可能发生的历史。但日耳曼民族浑然不觉,一步步穿过小径分叉的花园,走向自己的命运。
The Origin and Principles of the American Revolution,Compared with the Origin and Principles of the French Revolution
Friedrich Gentz
Translated by John Quincy Adams
Contents
Preface,by John Quincy Adams
The Origin and Principles of the American Revolution,Compared with the Origin and Principles of the French Revolution
Preface
The Essay,of which a translation is here given,was published in the Historic Journal,a monthly print which appears at Berlin;and was written by Mr.Gentz,one of the most distinguished political writers in Germany.It is for two reasons highly interesting to Americans:First,because it contains the clearest account of the rise and progress of the revolution which established their independence,that has ever appeared within so small a compass;and secondly,because it rescues that revolution from the disgraceful imputation of having proceeded from the same principles as that of France.This error has no where been more frequently repeated,no where of more pernicious tendency than in America itself.It has been,here not simply a commonplace argument,as Mr.Gentz represents it to have been in Europe,but has been sanctioned by the authority of men,revered for their talents,and who at least ought to have known better.
The essential difference between these two great events,in their rise,their progress,and their termination,is here shewn in various lights,one of which alone is sufficient for an honest man.A modern philosopher may contend that the sheriff,who executes a criminal,and the highwayman,who murders a traveller,act upon the same principles;the plain sense of mankind will still see the same difference between them,that is here proved between the American and French Revolutions.—The difference between right and wrong.
We presume it will afford a pure and honest gratification to the mind of every truly patriotic American reader,to see the honourable testimony borne by an ingenious,well-informed,and impartial foreigner to the principles and conduct of our country's revolution.The judgment of a native American will naturally be biassed by those partialities in favour of his country,from which it is so difficult for the citizen to divest himself as an historian.The causes of hatred and affection must be more remote from the mind of a foreigner,and his decisions must therefore have a greater intrinsic value.The historian of his own country must always in some sort be considered as its advocate;but an impartial foreigner is its judge.
The approbation of such a writer as Mr.Gentz is the more precious too,for not being unqualified.The mild censure,which he passes upon certain parts of our proceedings is the strongest proof of his real impartiality;and though our sentiments as Americans may differ from his,upon various points of political speculation,we shall find very few,if any instances,that have incurred his censure,which our own candour will not equally disapprove.
Origin and Principles,&c.
The Revolution of North America,had,in the course of events,been the nearest neighbour to that of France.A very considerable part of those,who were cotemporaries and witnesses of the latter had likewise survived the former.Some of the most important personages,who made a figure in the French revolution,scarce ten years before,had been active on the theatre of that in America.The example of this undertaking,crowned with the most complete success,must have had a more immediate and powerful influence upon those,who destroyed the old government of France,than the example of any earlier European revolution:the circumstances,in which France was,at the breaking out of her revolution,had been,if not wholly,yet for the greatest part brought on by the part she had taken in that of America.In the conduct and language of most of the founders of the French revolution,it was impossible not to perceive an endeavour to imitate the course,the plans,the measures,the forms,and,in part,the language of those,who had conducted that of America;and to consider this,upon all occasions,as at once the model,and the justification of their own.
From all these causes,but especially because the recollection of the American revolution was yet fresh in every mind;because the principles to which it had given currency still sounded in every ear;because the preparatory temper of mind,which it had every where in Europe excited and left behind,favoured every similar,or only seemingly similar undertaking,it became so easy for those,who felt an evident interest in seeing the French revolution superficially compared,and thereby placed on the same ground,and confounded with that of America,to draw the great majority of the public into this fundamentally false point of view.At the period of great commotions,and of animated,vehement,widely grasping discussions,a very small number of men are able,and,perhaps,a still smaller number willing,with vigorous native energy,to penetrate into the essence of events,and take upon themselves the painful task of forming a judgment founded upon long meditation and persevering study.The similarity of the two revolutions was taken upon trust,and as many persons of respectable understanding and discernment had loudly and decisively declared themselves in favour of the American,it became a sort of accredited commonplace,“that what had been just in America,could not be unjust in Europe.”As,further,the last result of the American revolution had been in the highest degree splendid and glorious;as its issue had been undoubtedly advantageous for America,undoubtedly advantageous for most other states,was undoubtedly advantageous for England herself;as this most important circumstance,and the greater moderation and impartiality which time and tranquillity always bring to the judgments of men,had at last reconciled with this revolution its most violent opponents;an irresistable analogy seemed to justify a similar expectation in respect to that of France;and a second commonplace,far more dangerous than the first,because it seized its materials,in the empty space of distant futurity,gathered a great portion of the human race under the spell of the delusive hope,that“what in America,had conduced to the public benefit,will,and must,sooner or later,in France and throughout Europe conduce in like manner to the public benefit.”
The melancholy experience of ten disasterous years,has indeed considerably cooled down this belief;but it is not yet altogether extinguished;and even those who,have begun to totter in the faith,without,however,renouncing the principles,by which they justify the French revolution,extricate themselves from their perplexity,by recurring to external and accidental circumstances,which have hindered all the good that might have ensued,to the pretence that the revolution is not yet wholly completed,and to other equally nugatory subterfuges.The justice of the origin of both revolutions,they suppose to be taken for granted;and if one of them has produced more salutary consequences than the other,they impute this to Fortune,which here favours,and there abandons the undertakings of men.An equality of wisdom in the founders of the two revolutions,upon the whole,is as much taken for granted,as an equality of integrity.
Hence,it will certainly be no ungrateful task to compare the two revolutions in their essential features,in their originating causes,and in their first principles with each other.But in order to prepare the way for such a comparison,it will not be superfluous to exhibit in a small compass,the principal features of the origin of the American revolution.It may justly be taken for granted,that since the last ten years have almost exhausted all the powers of attention and of memory,the characteristic features of the origin and first progress of that revolution are no longer distinctly present in the minds even of many of its cotemporaries:there are,besides,some points in the picture of this great event,which,at the time when it happened,escaped almost every observer;and which,not until a later period,discovered themselves in all their vivid colours to the piercing eyes of meditation and experience.(1)
The English colonies in North-America,far from being a designed regular institution of European wisdom,calculated for futurity,had been much more the pure production of European short-sightedness and injustice.Political and religious intolerance,political and religious convulsions,had driven the first settlers from their country:the single favour indulged them was to leave them to themselves.That their establishments were,in less than two hundred years,to form a great nation,and to give the world a new form,was concealed no less to their own eyes,than to the eyes of those who had ejected them from their bosom.
In the apparent insignificance of those settlements,and in the false measure,by which the profound ignorance of the Europeans estimated the value of such distant possessions,lay the first ground of the extraordinary progress which the North American colonies had already made under the second and third generations of their new inhabitants.Gold and silver alone could then attract the attention of European governments.A distant land,where neither of these was to be found,was,without hesitation,abandoned to its fortunes.From such a country was expected no revenue;and what increases not immediately the revenues of the state,could make no pretensions to its support,or to its particular care.