Tuesday, March 30, 2021

On “getting” poetry by Adam Kirsch

 

On “getting” poetry by Adam Kirsch

newcriterion.com · by Adam Kirsch

subscriber to this magazine writes with a problem: “Although I have advanced university degrees, I have never ‘gotten’ poetry.” He’s not alone; I hear the same thing regularly from people who love to read novels and biographies, who are undaunted by string quartets and abstract paintings, but find poetry a closed door. No one is more aware of this disconnect between poetry and the reading public than poets themselves. The debate over why poetry moved from the center of literary culture to the outskirts of the academy, and how it can regain its place in the sun, has been going on at least since Dana Gioia’s landmark essay “Can Poetry Matter?” appeared in The Atlantic in 1991. More recently, the poet and novelist Ben Lerner devoted a short book to explaining The Hatred of Poetry. The poet-critic Stephanie Burt, perhaps taking that hatred for granted, titled a book about how to read poems Don’t Read Poetry.

This situation is all the more embarrassing for poets because there is an undeniable public appetite for the things poetry is supposed to provide: verbal artistry and words of wisdom. Millions of people find the former in hip-hop lyrics, which can be as adroit within their strict generic conventions as a love poem by a medieval troubadour. Millions more find wisdom in the bite-sized inspirational poems of Rupi Kaur, written to be read on Instagram—e.g., “our backs/ tell stories/ no books have/ the spine/ to carry.” Kaur’s collection Milk and Honey has been on the New York Times bestseller list for 170 weeks and counting.

So why are so few of these readers turning to the Norton Anthology? The simplest reason may be that the Norton Anthology is a textbook, and no one reads textbooks for fun. Most Americans first encounter poetry as a classroom subject, and it never loses the associations of dutifulness and dullness. American adolescents make their way through “The Red Wheelbarrow” and “The Road Not Taken” the way Victorian schoolboys were made to construe Homer: the language may not be dead, but the context is equally remote from real life.

With a living art, by contrast, people seek it out because they want to. It’s the dessert, not the vegetables you have to finish. Philip Larkin observed (in 1957!) that poetry was losing readers simply because they no longer liked it enough to pay for it: “The cash customers of poetry . . . who used to put down their money in the sure and certain hope of enjoyment as if at a theatre or concert hall, were quick to move elsewhere.” Larkin meant enjoyment, he clarified, “in the commonest of senses, the sense in which we leave a radio on or off.” The same is true in 2021. People happily pay to stream music and download novels onto their Kindles; meanwhile, the Poetry Foundation with its $200 million endowment looks for ways to cajole people into reading poems.

But the comparison isn’t entirely fair. Yes, poetry is meant to give pleasure; in his preface to Lyrical Ballads in 1802, Wordsworth said that the poet pays homage to “the grand elementary principle of pleasure, by which he knows, and feels, and lives, and moves.” But like many adult pleasures, poetry is an acquired taste. We don’t grow up surrounded by it, the way we do with pop music and movies, whose conventions become second nature. Rather, poetry is to our usual ways of reading and writing as classical music is to pop, or as ballet is to dancing at parties. The medium is the same—language, sound, and movement, respectively—but the conventions and values are very different and require some effort to get used to. What’s more, the history of English poetry stretches back seven hundred years, give or take, so reading some of the greatest poems means coming to grips with ways of thinking and uses of language that are opaque to a twenty-first-century American reader.

No wonder most people would rather read Instapoems, or listen to a spoken-word performance, than engage with traditional poetry: the barriers to entry are much lower. People who love traditional poetry might be tempted to say that such writing isn’t poetry at all. But the battle over nomenclature is a losing one. If millions of people think Rupi Kaur is a poet, comparing her to Wallace Stevens won’t convince them otherwise. It’s more useful to distinguish between “art poetry” and other kinds of writing that go under the name of poetry, just as music distinguishes between art songs and popular or folk songs.

Thinking about poetry in terms of music and painting may be useful for readers like our correspondent, who (I assume) wouldn’t be a subscriber if he weren’t interested in the arts regularly discussed in The New Criterion. Each of these arts has its own techniques for giving pleasure and communicating meaning, and no formal instruction is required to appreciate either of them. Some people visit a museum or listen to an opera for the first time and respond instinctively, before they can say what exactly they’re responding to. But most of the time it’s helpful to have a sense of what parts of the experience we’re supposed to be paying attention to—how a poem achieves its effects.

The essence of finding pleasure in art poetry is paying attention to language in a new way. In daily talk and in most writing, words are used to convey information: you’re not supposed to pay attention to the words themselves but to the message they deliver. The ultimate example is a stop sign, where the meaning resides just as much in the red octagon as in the word “stop.” A driver isn’t meant to read the word at all, just reflexively put a foot on the brake.

In poetry, the opposite is true: the emphasis is on the words themselves, as much as or even more than what they mean. Instead of being a transparent window we look through to see what’s on the other side, poetic language is a stained-glass window that captures our attention for itself. The most important way it does this is through its music—how the words sound when you read them aloud. You don’t necessarily have to vocalize the words to hear their music, just as a musician doesn’t have to play a score to understand it, but it helps. In a sense, a poem, too, is a score for performance. Search online for the historic recording of W. B. Yeats reading his poem “The Lake Isle of Innisfree”: he practically sings it, luxuriating in the vowel tones. Compared to the way we usually talk, Yeats’s recitation may sound pretentious and artificial—even poets don’t read that way nowadays—but the same is true of any fine art when it’s regarded unsympathetically.

Thear a poem’s music, it helps to know a few basic things about how poems are organized. The most important verse form in English is iambic pentameter, which was used by just about every poet in English from Geoffrey Chaucer in the fourteenth century to Robert Frost in the twentieth. An iamb is a pair of syllables in which the first is unstressed and the second stressed; five iambs in a row make an iambic pentameter line. The form feels very natural in English because our everyday speech rhythms often fall into this pattern: “I wish that I could have a cup of tea” is iambic pentameter.

So is most of Shakespeare—for instance, “To be or not to be, that is the question.” But as you can hear if you say it aloud, Hamlet’s line isn’t a perfectly regular iambic pentameter. Instead of ending on the fifth stressed syllable, it adds a last unstressed one, bringing the total to eleven syllables. Again, if the line were a strict iambic pentameter, the third stress would fall on the word “be”: “To be or not to be.” But reading it that way sounds wrong, because the phrase “not to be” demands to be accented on the first word only. As a result, we instinctively move the stress to the syllable after “be,” which ends up making perfect dramatic and rhetorical sense. “that is the question,” Hamlet says, drawing attention to the dilemma he has posed in the first half of the line: to be or not to be?

The exercise of identifying metrical patterns in a poem is called scansion, and it’s not very interesting in itself; like diagramming sentences, it’s only done in classrooms (if there). Poets don’t think consciously about scansion when they write, any more than novelists plan their subordinate clauses in advance. Scansion can be useful when learning to read poetry, however, because it helps focus attention on the central element in poetry’s music: the tension between the pattern of the verse and the patterns of speech and meaning.

Poets have invented many ways of playing these patterns off against one another. Shakespeare’s iambic pentameter is often subtle and naturalistic, which is why it takes a good actor to make the structure of the verse audible, rather than allowing the speech to collapse into prose. Other poets use iambic pentameter much more ostentatiously, as in this description of a woman, Belinda, preparing to put on makeup, from Alexander Pope’s 1717 poem “The Rape of the Lock”:

And now, unveil’d, the toilet stands display’d,

Each silver vase in mystic order laid.

First, rob’d in white, the nymph intent adores

With head uncover’d, the cosmetic pow’rs.

A heav’nly image in the glass appears,

To that she bends, to that her eyes she rears;

Th’ inferior priestess, at her altar’s side,

Trembling, begins the sacred rites of pride.

Instead of heightening the tension between meter and meaning, Pope uses various techniques to harmonize them. Each line ends where a clause or sentence ends, giving the sense that every thought has been neatly and fully expressed, with no margin of meaning left over. The effect is heightened by the use of heroic couplets, in which every pair of lines rhymes, creating another regular pattern. (When iambic pentameter doesn’t rhyme, as in most of Shakespeare, it’s called blank verse.) The poet’s virtuosity is displayed in his ability to find frequent rhymes while still making the sentences flow smoothly. It helps that he has the freedom to depart from prose syntax and word order: “Each silver vase in mystic order laid,” rather than “Each silver vase laid in mystic order.”

These are all hallmarks of the early eighteenth-century style known as Augustan, which foregrounds its artificiality. Like the paintings of his contemporary Antoine Watteau, Pope’s poems can be described as rococo. In this passage from “The Rape of the Lock,” Pope doubles down on this quality by using an artificial style to describe a scene of artifice—a woman applying makeup to fit a conventional pattern of beauty. Then he adds another level of artificiality by hyperbolically comparing the scene to a religious rite: the cosmetics are divine “powers,” and Belinda serves as a “priestess” to her own image, which she idolizes.

If Pope makes iambic pentameter sound civilized and urbane, the late-nineteenth-century poet Gerard Manley Hopkins practically explodes it with sheer energy, as in his 1880 poem “Felix Randal”:

Felix Randal the farrier, O is he dead then? my duty all ended,

Who have watched his mould of man, big-boned and hardy-handsome

Pining, pining, till time when reason rambled in it, and some

Fatal four disorders, fleshed there, all contended?

These lines would have sounded very wrong to Pope, and Hopkins’s first readers had trouble figuring out how his poems should sound; he sometimes added accent marks as a guide. “Felix Randal” is a kind of sonnet, a form that traditionally uses iambic pentameter in a fixed rhyme scheme. But Hopkins eschews the balance and wit that define Shakespeare’s sonnets. Using a home-brewed technique he called “sprung rhythm,” he preserves the five stresses in each line but permits himself to add extra unstressed syllables as needed. He switches around the pattern of the stresses: “Pining, pining” are iambs in reverse, or trochees, with the stressed syllable coming first. The rhymes are gauche and unskillful by traditional standards; “handsome” doesn’t really rhyme with “and some,” since their stress patterns don’t match.

Crucially, however, Hopkins didn’t break with traditional verse altogether, the way many modernist poets would do in the next generation. The outlines of the traditional sonnet still haunt “Felix Randal,” creating a sense of continual strain as the reader tries to reconcile Hopkins’s verbal melody with the expected pattern. If Pope can be compared to Watteau, Hopkins is something like his contemporary Vincent van Gogh, whose idiosyncratic way of seeing stretched representation to its limits. Notably, both Hopkins and van Gogh were unappreciated during their lifetimes but became very influential after they died.

The contrast between Pope and Hopkins also helps to reveal another important source of poetry’s music: the valences of individual words. For poetry, there are no true synonyms; every word has a unique weight, determined as much by connotation as denotation. A “lie” is weightier than a “prevarication”; a “blue” sky is homelier than an “azure” one. As these examples suggest, the weight of a word often has to do with its etymology, especially in English, with its double heritage of Latinate and Germanic words. In England after the Norman Conquest, the wealthy and powerful spoke French while the commoners spoke Anglo-Saxon, and these associations continue to shape the language a thousand years later.

In the lines from “The Rape of the Lock,” polysyllabic words derived from Greek and Latin—“mystic,” “cosmetic,” “inferior”—reinforce the sense that we are in a sophisticated milieu. By contrast, “Felix Randal” makes prominent use of words with Anglo-Saxon roots, which tend to sound simple and primal—“mould,” “big-boned,” “hardy.” Together with the use of alliteration, a staple technique of Anglo-Saxon poetry that largely disappeared in modern English, these words contribute to the sense that Felix Randal was an archetypal man of the soil, not one of the million interchangeable people you meet in a big city. (Ironically, Hopkins himself was a professor of Latin, which must have helped him appreciate the stark sound of Anglo-Saxon.)

Even if a reader isn’t conscious of these etymologies, they help explain the subliminal connection between how words sound and what they mean. This is a source of pleasure and meaning that poetry doesn’t share with nonverbal arts. Music, too, holds different sonic patterns together—as in counterpoint—and plays with expectations, as when a piece in sonata form begins in one key, modulates to another, and resolves by returning to the tonic. Such musical patterns can be highly expressive, sounding hopeful or defiant, melancholy or serene; but part of the mystery of music is that it manages to communicate complex feelings without being “about” anything. Musical notes express, but they don’t signify in the way language does.

Words, on the other hand, always signify something, no matter how musically they are used. The closest a word can come to pure sound is an unfamiliar name, which we hear without knowing to what or whom it refers. John Milton, who may be the most purely musical of the great English poets, took advantage of this in his 1666 epic Paradise Lost, building majestic verse out of exotic names whose meaning is almost irrelevant to the effect. Take, for instance, the passage in Book that compares Satan’s army of rebel angels to other fabled armies:

though all the Giant brood

Of Phlegra with th’ Heroic Race were joyn’d

That fought at Thebes and Ilium, on each side

Mixt with auxiliar Gods; and what resounds

In Fable or Romance of Uther’s Son

Begirt with British and Armoric Knights;

And all who since, Baptiz’d or Infidel

Jousted in Aspramont or Montalban,

Damasco, or Marocco, or Trebisond,

Or whom Biserta sent from Afric shore

When Charlemain with all his Peerage fell

By Fontarabbia.

You don’t have to grasp all the references to Greek myth, British legend, and medieval romance to feel the impressiveness of the way the verse sounds and moves—above all, the way the end of the sentence is continually postponed, creating a momentous tension, like the soaring arches of a Gothic church. Even here, however, the reader knows that these names are names—that they refer to stories Milton knows, even if we need footnotes.

Art poetry sets itself the challenge of making language’s sound and meaning reinforce one another. For Pope, this means creating an air of sophistication by handling a highly constrained poetic form with apparent ease—as his contemporaries did when they danced while wearing a wig and corset. With Hopkins, by contrast, the intensity of the poet’s grief for Felix Randal can be measured by how far he has violated the rules of verse to express it. The more familiar the reader becomes with the history of English poetry and its evolving styles, the easier it is to see how a poetic rhythm or word choice can reveal the assumptions of a whole culture.

Ithe twentieth century, however, the dialectical evolution of poetic styles gave way to a more dramatic and irreparable kind of breach. With modernism and postmodernism, each of the arts turned against what had long been considered its defining technique. Just as composers rejected tonality and painters rejected representation, poets stopped writing in verse—the regular patterns of rhythm and rhyme that had been the essence of poetry in every culture since ancient times. In each genre, this rejection was initially experienced as a liberation that made new kinds of beauty possible. The first generation of modernists, and their audiences, knew the conventions that were being dispensed with, so they could appreciate the extent and purpose of the transgression. The American poet William Carlos Williams, a devotee of modern painting, used free verse to parallel the hard-edged, angular abstractions of Cubism, as in this passage from his 1923 book, Spring and All:

The rose is obsolete

but each petal ends in

an edge, the double facet

cementing the grooved

columns of air—The edge

cuts without cutting

meets—nothing—renews

itself in metal or porcelain . . .

These lines violate the rules of verse in much the same way that Cubism violates the rules of perspective. There is no consistent line length or pattern of stresses, leaving the reader with little guidance about how to harmonize the line and the sentence. Instead, Williams forces them to interfere by breaking the line at places where the syntax strongly urges continuity—between subject and verb (“The edge/ cuts”), between preposition and noun (“in/ an edge”). The result is characterful and astringent, like the brief atonal pieces Anton Webern was composing in Vienna at the same time Williams was writing in Paterson, New Jersey.

The difficult glory of high modernism lasted about a generation—say, from 1910 to 1940. But once modernism itself became the canon, artists and audiences gradually lost the ability to extend or even fully appreciate its achievements, because they never mastered the conventions that modernism overthrew. This great deskilling, combined with the rise of mass media and the democratization of culture, resulted in a fracturing of the arts after World War II. In different ways, music, painting, and poetry each split into two: a cerebral, avant-garde version devoted to extending the modernist experiment; and a popular version that appealed to mass audiences without knowledge of the art’s traditions and conventions. The “serious” artists made a Tantalean bargain with the academy, which gave them a secure living and a measure of prestige while cutting them off from what any artist wants most—an actual audience. The popular artists won a level of fame and fortune that would have been unimaginable in the past, but what they do is not really art—or, better, not the same art. Compare Mick Jagger’s lifestyle with Mozart’s, or Andy Warhol’s with van Gogh’s, and then compare their work.

A similar division exists in poetry, but it is more muted. The most popular poet—Rupi Kaur, perhaps—is nowhere near as famous as a popular musician, or as wealthy as a name-brand artist. Conversely, even a “difficult” poet is more accessible to the common reader than a serialist composer is to the common concertgoer. John Ashbery, who died in 2017 at the age of ninety, was by general consensus the greatest American poet of the late-twentieth century; his work often makes no sense, but it is still quite likeable. Take these lines from “And Ut Pictura Poesis Is Her Name,” a poem from Ashbery’s 1987 book Houseboat Days:

She approached me

About buying her desk. Suddenly the street was

Bananas and the clangor of Japanese instruments.

Humdrum testaments were scattered around. His head

Locked into mine. We were a seesaw. Something

Ought to be written about how this affects

You when you write poetry:

The extreme austerity of an almost empty mind

Colliding with the lush, Rousseau-like foliage of its desire to communicate

Something . . .

The first half of this passage, up to the word “seesaw,” is confusing, because there seems to be no logical connection between one sentence and the next. But on its own, each sentence is perfectly clear and even appealing: “Bananas and the clangor of Japanese instruments” is exotically evocative, “humdrum testaments” is an unlikely, thought-provoking collision of words. And when you get to the second part of the passage, starting “Something/ Ought to be written,” the dislocations of the first part start to come into focus. These colorful bits of language are examples of how the poet’s “desire to communicate something” is frustrated, issuing in “lush” fragments instead of coherent meanings.

Athese lines from Ashbery suggest, deriving pleasure from contemporary poetry requires a different set of skills and expectations than poetry written before, say, 1950. The same thing is true of painting and music. You don’t generally go to the Whitney Museum expecting to find great traditional draftsmanship, though you might find other things there to admire. Similarly, few contemporary poets, and perhaps none of the most rewarded, will gratify a taste for complex verbal music of the kind that Milton, Pope, and Hopkins coaxed from traditional verse forms. Fortunately, The New Criterion offers a home for poets who aspire to work in that tradition—and our correspondent is already a subscriber.

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Adam Kirsch’s most recent book is Who Wants to Be a Jewish Writer?: Essays (Yale).

白桂思:我们对游牧民族究竟还有多少误解?

 


我们对游牧民族究竟还有多少误解?


前段时间,电影《无依之地》摘得金球奖,让不少看过电影的朋友开始畅想起这种现代游牧式的生活。然而,成长于现代社会的大多数人,多半只是通过书籍和影视作品构建自己心中对游牧生活的想象。而那些历史上真实存在过的游牧民族,我们对他们的生活真的了解吗?
在近日出版的《丝绸之路上的帝国》中,美国印第安纳大学教授白桂思(Christopher I. Beckwith)指出当代人对古代游牧民族存在很多先入为主的“刻板印象”:游牧民族尚武,他们之所以天生能征善战,是因为生存环境恶劣;游牧民族贫穷,他们的生产方式无法稳定地产出足够的必需品,所以他们需要经常劫掠周边的富裕农耕民族;游牧民族天生尚武又习惯不停迁徙,因此在冷兵器时代很难被定居民族打败……
为什么会存在如此多的误解?难道匈奴铁骑、蒙古大军只是后人单纯的想象吗?新京报记者就此采访了白桂思教授。在白桂思看来,游牧民族一直是历史叙事中的“他者”,为了打破这些传统史学的迷思,白桂思写下了《丝绸之路上的帝国》这部中央欧亚通史著作。另外,白桂思的犀利文风和对西方现代性的批评也为其招致了不少质疑的声音。白桂思在访谈中对这些误解与争议一一做出了回应。

白桂思,著名的中央欧亚研究机构——美国印第安纳大学著名欧亚研究学学家。白桂思是语言学家和历史学家,他的兴趣和主要研究方向是早期中亚史、中央欧亚和东亚人类文化语言学史、历史语言学(主要是印欧语、藏缅语、汉语、日本-高句丽语、突厥语)、理论音韵学、类型语言学、计算语言学、学术和科学方法史。曾担任中央欧亚研究系系主任。著有《吐蕃在中亚》《修道院中的勇士:中世纪科学的中亚起源》《丝绸之路上的帝国》等。

采写丨徐悦东
对于游牧民族的种种误解,美国印第安纳大学欧亚研究专家白桂思教授在《丝绸之路上的帝国》中做出了反驳与澄清。白桂思认为,这种常见的误会大都来源于中央欧亚周边民族——如罗马、希腊、波斯、印度和中原王朝——的记载。由于当时他们经常与中央欧亚的游牧民族互相厌恶,所以会经常将游牧民族描绘成不知礼节、野蛮残暴、嗜血如命、反复无常的“邪恶”形象。
比如,从希罗多德时代开始,古希腊罗马人就将中央欧亚的游牧民族妖魔化为“蛮族”,这成为了西方历史中根深蒂固的偏见。由此,西方人对世界进行了“好”与“坏”的二元划分,形成了以自我为中心的西方中心论,甚至成为近代西方的殖民侵略的借口。因此,若我们只看周边民族对中央欧亚民族的记载,是看不见历史的真实情况的。
中央欧亚是什么地方?白桂思将亚欧大陆分为六大人文地理区块,中央欧亚则处在欧洲、中东、南亚、东亚以及寒带、亚寒带针叶林-苔原地带之间。中央欧亚的范围一直变迁,因为其不仅是一个地理范畴,还是一个文化范畴(比如,处于中央欧亚西部草原地带的斯拉夫人欧洲化后,该地就不再属于中央欧亚地区了)。传统历史学的学科领域大多是以国别史或地区史来划分的,因此其历史叙述大多是从欧洲、东亚、南亚和中东的视角出发,中央欧亚往往都处于这些地区历史叙述中的边缘地带。而且,在这些历史叙述中,中央欧亚一直扮演着“他者”的形象。

《丝绸之路上的帝国》,[美]白桂思著,付马译,见识城邦|中信出版社2020年10月版
此外,在大众对古代丝绸之路的误解——大家更倾向于将丝绸之路理解成连接中国与欧洲的商路——会让大家忽略中央欧亚在丝绸之路上的分量。其实,许多丝绸之路研究者早已指出,丝绸之路不是大家臆想的那样,是一条连接两端的“输油管道”,而是一张极其复杂的贸易网络,丝绸之路所经过的中央欧亚并不是一片空白。在此基础上,白桂思认为,丝绸之路不仅是贸易路线或文化交流系统,更是“中央欧亚当地的政治-经济-文化系统”——在本质上,“丝绸之路”和“中央欧亚”是在指称同一事物。由于大众对丝绸之路的误解和对中央欧亚的忽视,白桂思决定为丝绸之路(即等于中央欧亚)写一部通史。
凭借白桂思扎实的历史语言学功底,和他对“丝绸之路”和“中央欧亚”的进一步定义,以及他对丝绸之路的浪漫情怀,《丝绸之路上的帝国》成了第一部中央欧亚通史著作。与许多内亚史专家谨小慎微、略显艰涩的著作相比,白桂思更倾向于构建他的宏大叙事,他的文风也显得“直截了当”——为了打破传统历史学术界内存在的学科围墙,为了打破太多的以中央欧亚周边民族为中心的历史叙事视角,白桂思以中央欧亚民族与其周边民族的互动为叙述视角,甚至有时将周边民族视为“他者”,以强调中央欧亚的重要性,来还中央欧亚在世界史中一个应得的历史地位(当然,在采访中白桂思认为自己在破除偏见,并不是一种“中央欧亚中心主义”视角)。
因白桂思对他笔下的中央欧亚民族有着非常浓厚的情感和代入感,有网友半开玩笑地说他是“精神中央欧亚人”,这也是这本书有趣的地方——你或许会不同意他的许多判断(要将如此广大的地域和众多不同的民族都“写在一起”,从横跨众多语言的史料中进行比较、归纳和总结的判断力必不可少),但你会发现一副重新看待世界史的“有色眼镜”。在序章中,白桂思就为庞杂的中央欧亚文化系统找到了许多共同点,比如,许多中央欧亚民族的英雄史诗基本上都是雷同的(少女与神灵交合受孕,诞生男婴被僭主弃诸荒野,男婴得救并长大成人,成为僭主出色的仆从,僭主预谋杀他,他推翻僭主统治,建立新王朝)、早期中央欧亚文化系统中最核心的要素是主人-私兵制(誓死效忠主人的私人贴身武装)和以贸易而不是税收为导向的经济体制(唯有贸易可以满足豢养私兵的费用,贸易正是“丝绸之路帝国”繁荣的基础)。
在此基础上,白桂思破解了传统史学对中央欧亚民族的“刻板印象”。他提到,我们不能将中央欧亚民族想象成“纯的”游牧民,因为本来就有一部分人处在定居生活当中。当游牧帝国建立时,一个将游牧民族、农耕民族和中亚城市居民三者生产活动联系起来的贸易导向性的中央欧亚经济体才真正建立起来。中央欧亚民族并非天生尚武,只是在外人看来,他们弓马娴熟。事实上,在历史上的许多次正面冲突中,游牧民族都败于人口众多且训练有素的周边帝国。
而且,游牧民族与周边农耕区的百姓相比,一点也不贫穷,甚至在有些时候,地处游牧农耕分界线上的贫苦农民会逃到草原上当牧民。丝绸之路的繁荣,为中央欧亚帝国带来了大量的财富。那么,为何大家总会觉得游牧民族总爱掠劫,能征善战,很“危险”呢?白桂思认为,那是因为中央欧亚周边帝国的强盛(对边境的管控力加强)后,往往会对贸易活动课以重税,甚至干脆禁绝贸易(避免财富流向中央欧亚)。断了财源的游牧民族就一次次入寇劫掠,发动战争,要求重新开埠通商,恢复贸易(这也跟古代游牧民族的生产资料十分依赖天气有关,输不起的游牧民族只会在必要时发动全面战争)。


电影《阿提拉》(2001)剧照。
如今中央欧亚早已衰落,白桂思将中央欧亚的衰亡归咎于近代以来周边帝国对该地区的征服瓜分和海洋贸易体系的建立。尤其在西方“现代主义”诞生之后,激进的现代主义革命(往往是西方侵略传播过来的)破坏了中央欧亚的传统,使得中央欧亚的民粹主义四起,至今也没能建立起一套全新的体系。在书中,白桂思还“离题万里”地对现代派艺术大加批判,认为现代艺术只会不断“否定”,所造成的结果是“美”和“秩序”的沦丧,埋葬了近代死去的精英文化,作品却被小圈子里的学者神化。这部分的“离题”,实质上也构成了白桂思对西方现代性的反思和批判。
当然,文风耿直犀利的白桂思注定充满了争议。有人批判白桂思的“贸易决定论”和他的一些大胆推断,更对他对现代主义的批判持有保留意见。在对白桂思的采访中,我们将其中的一些争议点抛了出来。白桂思也承认,他不是某些领域的行家,但他希望大家能被中央欧亚这个失落世界的神奇历史所吸引。
01
丝绸之路不是“交通网”,
而是中央欧亚的经济本身
新京报:请问你书里提到的“中央欧亚”(Central Eurasia)的定义与历史学界通常会使用的“内亚”(Inner Asia)有什么样的差别?
白桂思:最初,“内亚”指靠近(甚至部分在)当今中国边境的中央欧亚地区,但后来,“内亚”被用来指代中央欧亚。现在仍有人在使用“内亚”,但它不如“中央欧亚”那么准确和形象。“中央欧亚”已成为了学术界的标准术语(例如,大型国际学术组织——“中央欧亚研究会”的名称就使用了这个名词)。
我之所以用 "中央欧亚”这个词,是因为它所指称的地理区域囊括了欧亚大陆中"欧洲”的一部分和"亚洲"的一部分。中央欧亚是指被 "欧洲"、"中东"、"南亚"、"东亚"、"北极"等文化地理区域所包围的广大地域。
“中央欧亚”的土著民族在语言类型学、口头文学(尤其是英雄史诗)、近代以前的宗教和其他日常生活文化特征等方面都有着许多共同点。“中央欧亚”的地貌包括了广阔的草原、山地和沙漠,还包括许多伟大的城市。大部分人口居住在中亚高度城市化的地区。这些著名的古代城市散落在一片从玉门关以西,延伸到河中地区、巴克特里亚和中亚南部(现在的阿富汗)的区域里。在古代和中世纪,“中央欧亚”的西部拥有着欧亚大陆上人口众多的城市,那也是当时世界科学的中心。
新京报:大家对丝绸之路会有很多误解。很多人将丝绸之路简单理解为从中国到欧洲的贸易道路。有人认为,丝绸之路不是“路”,而是一张东西南北交织而成的复杂交易网络。你对丝绸之路的定义是什么?
白桂思:传统上,丝绸之路是一个浪漫的名词,它蕴含了多少中央欧亚商人、学者和武士们的历史经验。我原本是想按照传统的浪漫意义,来理解丝绸之路的。事实上,这个词现在被错误地理解为一条连接中国与欧洲,或任何两地之间的实际道路或贸易路线(也包括海运)——大家误以为丝绸之路本质上是 "交通网"。这是对历史的误解。
实际上,除了几条非常难走的沙漠通道外,直到近代,中央欧亚都没有真正固定不变的贸易路线(当然也没有实际意义上的 "道路")。更重要的是,当代人把丝绸之路理解为把连接重要的地方或重要的人(都不在中央欧亚地区)的实际路线或道路时,会认为这条路途经的都是一些空旷的土地。但是,丝绸之路所途经的中央欧亚并不是一个没有人和文化的空旷区域。那里的人有自己的经济系统——贸易和制造业,当然还有城市周边的农业和处在草原、山区中的畜牧业。


丝绸之路示意图。
中央欧亚商人交易的大部分贵重商品是丝绸和马匹,因为他们自己也使用这些商品。他们从贸易中获利,他们的财富建立在他们成功地适应了中央欧亚那不太适合居住的环境之上。我在书中说,"丝绸之路"用来指"中央欧亚当地的政治-经济-文化系统,该系统重视商业贸易(包括对内和对外)"。对我来说,丝绸之路仍然是一个浪漫的词汇。我用它作为我的书名,也希望读者能像我一样,被那个失落世界的神奇历史所吸引。
新京报:你在书中说,由于周边帝国对中央欧亚的征服和瓜分,中央欧亚的经济枢纽的地位消失,因此海上丝绸之路得以兴起。您认为路上丝绸之路和海上丝绸之路不存在竞争关系。但也有这样的解释:无论用马、驴还是骆驼,丝绸之路的运输效率是很低的,成本是很高的。在造船技术实现突破之后,海运的成本和效率大大降低,因此中央欧亚的衰落是发展的必然。你怎么看待这种说法?
白桂思:这是一个争论已久的问题。显而易见,征服和瓜分作为一个文化经济区的中央欧亚,破坏了当地的经济,使当地人民陷入贫困。最明显的例子是,曾经繁荣、发达、城市化程度非常高的中亚南部(现在的阿富汗)却是当今世界上最贫穷、最落后的地区之一。这与这个地区在中世纪的地位正好相反。
我个人认为, "海上丝绸之路"并不是一个特别准确或有效的术语。葡萄牙人发现了如何绕过非洲的航路,并(在当地领航员的帮助下)一路航行到印度,然后还一路航行到中国和日本。他们这样做是为了扩大他们的国际贸易。随后,许多新航线和新港口就出现了,沿海城市成为文化上变化最迅速的城市。
那些大型港口城市大多是新的(从城市史的角度来说),这些城市的财富吸引了内陆腹地的人口。但由于航运贸易大多是由欧洲人直接进行的,他们逐渐在港口城市占据了主导地位,他们还将一些欧洲文化(包括好的和坏的)传播到沿海地区的周围。
这是一个很长的答案,但这总比用"丝绸之路"来误导大家、或用基本不符合史实词汇来形容海洋经济要好。海洋经济与路上“丝绸之路”经济其实完全不同,因为海洋经济确实起源于交通网,而丝绸之路并不是交通网。


海上丝绸之路示意图。
新京报:你一方面称赞中央欧亚民族重视商贸,需要建立中央欧亚帝国,才能促进商贸繁荣,给各方面带来繁荣。另一方面,在中央欧亚民族对欧亚大陆的第二波征服后,即在森安孝夫的世界史分期中的中央欧亚型国家(征服王朝,比如蒙古帝国、帖木儿帝国、奥斯曼帝国、莫卧儿帝国、俄罗斯帝国、清帝国)优势时代后,路上丝绸之路上的商贸反而慢慢萎靡。这会不会有所矛盾?
白桂思:森安教授说的可能是对的。我对蒙古帝国及其后的历史没有太多研究,但我的印象是,目前历史学界并没有做出足够的工作,因此我们无法找到很好的答案。我知道,现在有很多人研究清史,但研究其他地区和其他时期的学者就很少。
对于衰落的中央欧亚,我并不是建议他们要建立一个新的欧亚"帝国",而是要建立一个“欧盟”,这样既能保证中央欧亚内部的和平,又能促进区域内的经济发展。当然,我写这本书时候正是欧盟发展得最好的时候,当时的欧盟似乎成为了世界的典范。不过,我仍然认为,在原则上,欧盟模式是各国和平相处的最佳模式之一。如果欧亚各国能够共同努力,互相帮助,世界将会变得更加美好。
新京报:你在书里提到,许多大国对中亚投入了大量的精力,却鲜有以同样力度经略沿海贸易。在中国的宋代,由于西北要道被西夏占据,发展出了繁荣的海上贸易,商品经济发达,商人地位也得到大大提高。一直到明代,虽然由于国防原因,“海禁”和“开海”在不断反复,但官方也止不住民间的海上贸易,甚至发展出海上私人武装集团。因此,有人认为,中国东南沿海存在着海洋文明的文化基因。有关中国资本主义萌芽的讨论也有许多。中国似乎曾有这样的机会走上资本主义道路,但为何中国没有走上?这也成了很多社会经济学的学者研究的问题。有些汉学家还会做中国东南沿海与西方的比较研究等。您怎么看待这些问题?
白桂思:在东亚史上,我的主要研究领域是唐朝及更早的历史,所以这个问题要问相关领域的专家了。
02
研究所有的文化和历史、
所有的语言和文献,
才能形成无偏见的历史观
新京报:你以中央欧亚的视角来梳理世界历史的进程。你在书里也不讳言您对中央欧亚的赞许。你觉得中央欧亚的视角对我们看待历史有什么样的好处?你觉得你会落入“中央欧亚中心观”吗?
白桂思:这是我经常被问到的一个问题。我在想,为什么一定要陷入任何一种区域"中心主义"?大多数历史学家确实都有一个非常明确的主攻领域,比如欧洲史——欧洲史的研究者们确实常常带有一种极其强大的欧洲中心主义;研究中国史的学者也会带有中国中心主义;研究印度史的学者也会带有一种强大的印度中心主义。对于中央欧亚——这个仍然被极度忽视的历史领域,我想我们还不能说存在着“中央欧亚中心主义”。
事实上,大多数教授,甚至发表有关中央欧亚论文的学者,似乎都不了解"中央欧亚"的真正含义。大多数学者只是延续了自己对中央欧亚地区的偏见。所以,我们几乎不需要担心"中央欧亚中心主义"会很快被建立起来。这是一件好事,因为无论在哪里,这种"中心主义"都会对学术产生严重的负面影响。
我在读高中时,我爱上了唐诗宋画。因此,我最初是作为一名汉学家而被培养的。在我的学生时代,我和当年我认识的其他汉学家一样,掉进了区域"中心主义"的陷阱。这种"中心主义"使学生们无法看到自己专业领域里那些"没被修饰过"的历史,尤其在对外交流史上。由于我后来对中央欧亚及其与外部世界的接触史产生了兴趣,其他学者就认为,我不属于他们专业领域阵营之中——即他们不会认为我是一个印度学家或汉学家。
在"中心主义"的意义上,他们是对的,我跟他们不是一伙的。因此,有些人在没有阅读或理解我作品的情况下,就否定了我作品。这些人之所以这样做,并不是因为他们反对我关于中央欧亚的言论(他们对此毫不关心),而是因为我主要关注的是中央欧亚民族与中央欧亚大陆周边地区的互动关系。因此,我所涉及的研究领域必然是已经被"中心主义者"们所“殖民”的研究领域,他们"宣称"那片研究领域是自己的学术领地,并建起了围墙,戴起了链子(当然是隐喻意义上的)。
他们干脆给我(和其他人一样)贴上"局外人"的标签,这等于说我是一个盲目的"中央欧亚中心主义者"。由于我既要研究中央欧亚以外的文化,也要研究中央欧亚以内的文化,所以我采取"中心主义"的治学态度只会是自取灭亡。因为这样我将无法解释任何事情。通过研究"他们"所研究的地区,从而冲击中心主义者们的成见,揭露他们的错误理解(主要是他们对邻近的中央欧亚民族和文化的错误理解),我得罪了他们。他们不喜欢我。但我不希望我像这类学者那样,以歪曲历史、违反历史语言学的科学原则为代价,来宣传我的“中央欧亚中心主义”。我反对任何形式的偏见。
从我的第一本书(《吐蕃在中亚 》,2012年)开始,我就在研究中央欧亚民族与周边民族的文化互动,其中包括东亚(《高句丽语:日语在亚洲大陆上的亲戚》(Koguryo, the Language of Japan’s Continental Relatives,2004/2007年)、南亚(《希腊佛陀:皮浪与中亚早期佛教的相遇》(Greek Buddha: Pyrrho’s Encounter with Early Buddhism in Central Asia),2015年)、中东和欧洲(《修道院中的勇士:中世纪科学的中亚起源》,Warriors of the Cloisters: The Central Asian Origins of Science in the Medieval World,2012年)。我的最新著作(《在波斯和中国古典时代的斯基泰帝国》,The Scythian Empire in Persia and China and the Classical Age)即将出版。

《吐蕃在中亚 : 中古早期吐蕃、突厥、大食、唐朝争夺史》,[美]白桂思著,付建河译,新疆人民出版社2012年11月版
在这些书中,我旨在揭示中央欧亚作为一个重要的世界区域(与 "欧洲"、"中东"、"南亚"、"东亚"等平起平坐),是如何从很早的时期就参与进世界文化史,并创造了世界文明中许多关键性、基础性特征("许多"而不是全部,也可能不是大部分)。我觉得,以开放的心态,认真阅读我的书和论文的读者都可以看清这一点。
我做研究的目标是要给中央欧亚人一份应得的荣誉。当然,这并不代表我不尊重古代中国人、美索不达米亚人、阿拉米人、古埃及人。这些人肯定为历史做出过很大贡献。如果不掌握中央欧亚周边民族的文化和语言,我是不可能研究早期中央欧亚历史的。
因此,我们要打破学术派别的围墙,那些不让我们传播关于"他们"研究领域新发现的学阀的权力需要被解除——这些人害怕领域外的学者和思想主导了他们由民族中心主义所主导的研究领域。让大家知道,我们最宝贵的思想和创新,都是由外人引进的,这样不好吗?知道真相不是更好吗?这是一个需要被讲述的精彩故事。对于真实的历史,任何一个优秀的历史学家都会认为,知道真相这没有什么不好的。无论如何,我们不应该保护无知和偏见。我们需要研究所有的文化和历史,研究所有的语言和文献。只有这样,才能形成一种无偏见的历史观。


纪录片《蒙古草原,天气晴》 (2008)海报。该纪录片讲述了冒险家关野吉晴,在去探索南美最南端到非洲的途中,和一个蒙古的6岁女孩相遇了,和小女孩的家庭开始了长达5年的交流,看到了蒙古由社会主义向市场经济变化对游牧民生活的种种影响。

03
“我没有推行另一种形式的西方中心主义”
新京报:你认为在近代以来,欧洲实际上继承了中央欧亚系统的重商行为模式。因此,有网友批评你看似反叛传统的史观,但实际上依然是另一种西方中心论。你将西方文明在近代的成功的原因归因于中央欧亚文化系统。因此,有人怀疑你对中央欧亚文明的肯定,实际上也是为西方文明的根源提供合法性。比如,你认为,早期欧洲商人有时感到必须要用武力去迫使非西方的统治者学会遵守外交和通商规矩,而不是为了征服,这就如同中央欧亚民族在过去两千年中为确保丝路繁荣,不得不一次次在中央欧亚用武力建立秩序一样。你怎么看待这种指控?
白桂思:我的著作明确而公开地表明,我没有推行另一种形式的"西方中心主义"。事实上,我明确地反对西方中心主义。恰恰相反,许多西方中心主义者反对我的著作,因为我经常指出,西方文明发展的关键之处来自于其外部——来自于中央欧亚或中东或东亚。
我不认为,表明某件事情可能源自中央欧亚可以 "使西方文明的根源合法化"(这当然不是我的目标)。因为我的作品常常起到相反的作用,所以西方中心主义者并不喜欢我。你的第二点说得很好,但我说的这番话是引用自当时亲身参与航海的商业贸易历史人物的报道。我想说的应该是,我所引用的记载只是听起来合理,我应该去核对当地的相关资料。在我的书中,我主要引用了关于近代至现代早期关于海洋贸易的二手学术著作。这与该书中所涉及到的许多其他领域一样,我不是该领域的专家。根据我对这些研究领域的有限了解,我想说的是,历史学界还需要为此做很多工作。
新京报:你认为欧洲的沿海贸易,会遇到当地势力的抵抗,这时欧洲人会毫不犹豫地派出海军力量,甚至入侵大陆沿岸。这种行为经常受到现代历史学家在道德上的谴责。在书中,你说,即使是在十九世纪,你可能很难同情从阿拉伯到日本这一系列国家。这种论断或许会伤一些亚洲读者的心。从许多亚洲普通读者的角度来看,恰恰是这些事件慢慢开启了它们所在地区被殖民与被拖入现代化的激进而曲折的惨痛进程。你对此怎么看?
白桂思:我的立场肯定是支持亚洲人的、反战的、支持生态主义的。不管是什么时候,在什么地方,我都非常反对世界上肆无忌惮的资本主义。在我的书中,你说的这句话是我根据(至少在某些情况下)当时的第一人称来叙述我在二手资料中读到的东西。不过,我确实在最后几章解释了亚洲国家为什么以及如何经历了 "激进而曲折的现代化进程"。如你所言,有些读者不喜欢我指出这一点。我认为,想纠正历史记载的学者,应该再读一读这几章,然后研究所有的原始资料,包括间接相关的资料,再读一读从那个时代到现在的二手研究资料,再来冷静地、科学地分析这个问题。根据数据和逻辑,才能写出公正的记载。这大约是我在自己的专业领域范围内能够做到的事情。
对于近代和现代的早期(除现代艺术外,这段时期是我一般不从事研究的历史时期),我主要参考其他学者的出版物。历史上经常记载了一些人对其他人的非人道行为,所以读起来会非常令人不愉快。当然,殖民时期的历史充斥着欧洲人的恐怖行为和欧洲人对殖民地人民实质上的奴役,对此,我绝对予以严厉的谴责。
我写这本书——从中央欧亚最早的时代到现在,目的是要最终把中央欧亚大陆放入世界历史里,并尽可能地编写一部连贯的通史,以便为不同时期、不同区域、不同民族、不同语言的专门著作提供一个大框架和背景。


谢飞执导的电影《黑骏马》(1995)剧照。
04
激进的现代主义是一种消极运动,
它贬低或摧毁任何不符合其学说的东西
新京报:你为何会在一本讲中央欧亚史的历史著作中花费大量笔墨,来抨击现代主义,尤其是现代主义艺术?这似乎与主题无关。(许多读者读到这里一头雾水。)
白桂思:我很高兴你问这个问题。在我的所有书里,我都会做出一些让人意想不到的事情。在这种情况下,读者需要思考一下我说的话。我本来可以继续在书里谈政治,但很多人往往不能清晰地思考现代政治。
由于人们普遍认为,艺术反映了它们所处的时代,我也同意这一点,所以我决定先考察艺术,看看现代主义艺术是什么样的。我这样做的目的之一,是为了了解为什么那么多中央欧亚的文化遗产被激进的现代主义者们破坏了,而且有些文化遗产还正在被破坏当中。
如果读者觉得读我这部分的论述很有挑战性,我强烈建议大家重读我论述现代主义的那部分,然后再重读我对现代主义艺术——绘画和其他平面艺术、雕塑、建筑、音乐、诗歌等——作出评论的部分。这些现代艺术都是在现代主义学说下产生的,现代主义学说不会将"非现代"的艺术被认真对待。我希望读者能先理解这一点,然后将其运用到艺术所反映的政治历史当中去。


杰克逊·波洛克的《自由形式》,1946年
新京报:有些读者并不同意你对现代主义的看法。你似乎要站在现代主义的外部去批评现代主义,即在“古今之争”的维度进行批判。你将民主制度归类为一种民粹主义。你认为现代主义艺术本质上是非艺术或反艺术的,人们失去了对美的理解(或许是受阿多诺影响)。有人认为你的观点过于精英主义以及传统主义了,许多人依然相信现代主义有着内部的自我批判的能力。你觉得你是一位文化保守主义者吗?你如何看待这些批评?
白桂思:我们生活在现代——现代主义(大写的 "现代")仍然与我们息息相关——现代主义思想影响着我们生活中的一切,包括艺术、政治、经济和自然界的生态环境。从根本上来说,激进的现代主义是一种消极的运动,它贬低或摧毁任何不符合其学说的东西。现代主义如果不被加以制止,就会危害我们的地球和地球上的一切。
现代艺术只是现代主义的艺术表现形式。我在书里已经非常仔细地给大家进行了解释。我知道有些人不喜欢我的分析,但在我看来,他们并没有很仔细地阅读我所写的内容,也没有进行思考。他们已经被灌输了这种思想(和其他人一样),所以任何对现代主义意识形态的严肃批评,包括政治上的现代主义,都会让他们愤怒。
至于现代艺术,我并没从外部对其进行批评。我曾正式学习过专业的建筑、文学和音乐(并实践过),和今天的其他人一样,我当时也是接受了现代主义版本的艺术教育。(在艺术方面,我有一个明显的例外,我的第一个自由手绘老师,他教我们用炭笔画文艺复兴时期传统的单色画)。我也知道 "现代艺术"的历史。
在我的书中,我解释了什么是现代主义。作为一种意识形态,我还解释了为什么现代主义的引入总是充满着暴力和破坏性。因为我批判了我们这个时代中最传统的保守观点,而在提倡其他的东西。所以,从定义上讲,我不是一个保守主义者。为了让我书中的有关现代的章节不那么令人震惊,我刻意没有关注现代主义在现代所制造出来政治恐怖。

本文为独家原创内容。采写:徐悦东;编辑:李永博;校对:王心。题图来自电影《黑骏马》(1995)剧照。未经新京报书面授权不得转载。

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