【作者】 刘宇方；

【导师】 罗爱林；

【作者基本信息】 广西师范大学 ， 世界史， 2012， 硕士

【摘要】 本文主要研究从641年到1453年生活在拜占庭帝国的犹太人。犹太人的社会地位在拜占庭帝国内是很独特的,他们既不从属于正统基督教信仰体系,也不从属于多神教异教集团。拜占庭帝国犹太人的命运与拜占庭历史紧紧相连,具有较强的互动性特征。在近千年的拜占庭历史中,拜占庭犹太人社会地位的变迁主要取决于四个因素：第一,拜占庭帝国强盛的国力；第二,拜占庭帝国严格的中央集权制、庞杂的官僚政治以及分离的行政与军事权力①；第三,拜占庭帝国完善的法律制度；第四,拜占庭收留和利用犹太人的怜悯心。从公元前60年起,犹太王国的国家实力因内乱而遭到削弱,日渐为罗马所控制。为了摆脱罗马的统治,犹太人于公元66年爆发了一次最大规模的起义。经过4年的战斗,罗马人于公元70年征服了犹地亚(犹大),焚毁了犹太第二圣殿,并将巴勒斯坦地区的众多犹太人放逐。大批犹太人流散到北非、埃及、叙利亚、小亚细亚和希腊等地。随着拜占庭帝国的崛起,这些犹太人纳入到了拜占庭的统治之下。他们多居住在城市中,主要从事手工业、商贸业和一些如医生、教师等技术性较强的职业。虽然犹太人在整个拜占庭人口中所占比重不到10%,但是犹太人的经济活动对拜占庭却产生了一些深刻的影响。活跃的犹太手工业和商贸业为拜占庭的经济生活提供了雄厚的财政支持,一定程度上促进了拜占庭的经济发展。尤其是在13世纪后,西欧社会经历了商业革命,经济实力迅猛发展；犹太人凭借自己稳固的海外市场和持续发展的经济,刺激了拜占庭经济的复兴,减缓了拜占庭经济衰落的趋势。在拜占庭的政治和宗教方面,犹太人因“永恒外邦人”的身份被迫降为二等公民,生活受到严格的限制。在随后几个世纪中遭到皇帝、教会、普通基督徒和十字军的歧视、迫害与强迫改宗。但是这种艰苦的时期并不是从始而终的,他们也有生活相对宽松的时期。在一些皇帝和主教的保护下,犹太人能够在一定程度上摆脱沉重的赋税和生活重压。尤其是1204年第四次十字军东侵拜占庭以及13世纪西欧经济实力逐渐赶超拜占庭后,拜占庭日益增强了对犹太人的依赖,犹太人的社会地位因而有了较大程度的提升。总之,无论在经济、政治还是宗教上,犹太人的社会地位与拜占庭国内外的局势密切相关,二者之间呈现历史变迁和动态平衡的特点。同时,拜占庭帝国犹太人在生存和发展过程中体现出了犹太民族一如既往的坚忍不拔和不屈不挠的优秀品质。他们在社会生活方面强大的创造力为犹太民族的历史谱写了新的篇章。本文共分四部分,分别从拜占庭帝国犹太人的总体情况、犹太人的经济地位、政治地位和宗教地位这四个方面对拜占庭帝国犹太人的社会地位做具体详实的论述。论文的第一部分详细阐述了拜占庭帝国犹太人的基本概况。本部分共三大方面,分别阐述了拜占庭帝国犹太人的来源和人口,犹太社区的特征及社区的管理机制。早期流散到欧洲的犹太人是拜占庭帝国犹太人的主要来源。随着西罗马帝国的衰亡和拜占庭帝国的兴起,早期流散于巴尔干半岛、意大利半岛、小亚细亚、埃及、叙利亚、亚历山大里亚以及安纳托利亚等地的犹太人纷纷被纳入到拜占庭帝国的统治范围内。拜占庭帝国犹太人的人口在史料上并未有详细、准确的记载。从1世纪到12世纪,只有两组确切的数据可以告诉我们罗马犹太人或拜占庭帝国犹太人的人数。第一组来自于克劳狄时期的人口普查数据,数据显示当时的犹太人占罗马帝国总人口的10%左右,约694,400人(六十九万四千四百人)。第二组来自于12世纪西班牙图德拉著名的犹太旅行家本杰明记载在其游记中的数据。本杰明记录的数据并不详细,经过现代学者的估算,当时的拜占庭帝国犹太人约有100,000人(十万人)。两组数据形成强烈反差的原因,笔者分析主要有两点：一是受拜占庭帝国疆域变化的影响；二是受拜占庭犹太人频繁的人口变迁的影响。拜占庭帝国犹太社区具有很强的地域性、自治性、流失性和互动性,独具拜占庭风格。其中,互动性是拜占庭帝国犹太人最为重要的特点,它体现在拜占庭犹太人生活的各个方面。这种互动性不仅是一种单纯的历史变动,更体现了犹太人与拜占庭帝国之间存在的动态平衡。在犹太社区的管理机制方面,论文着重分析了犹太社区的政治机构、社区的司法、税收自治以及克里特犹太社区的改革。拜占庭帝国犹太社区多采用自治机制。犹太社区自治机制的存在有三大基础：首先,拜占庭歧视、隔离犹太人促进犹太社区的自治；其次,犹太社区拥有较为系统和全面的行政机构；最后,犹太社区掌握行使权力、进行司法审判的律法权威。在第二部分中,论文重点论述了拜占庭帝国犹太人的经济地位。本部分共两大方面：犹太人的职业构成和犹太人的纳税活动。犹太人的职业构成具有显著的拜占庭特征。在犹太人的职业构成中,丝织业与制革业是犹太人的明星产业。犹太人不仅拥有出色的手艺,还拥有由海内外犹太社区形成的国内外市场,具有一定的经济实力。纳税行为是国民拥有基本国民身份的标志。在拜占庭帝国犹太人诸多的经济活动中,论文以犹太人的纳税活动作为重点考察对象,主要原因在于这种纳税活动是拜占庭帝国认可犹太人国民身份的重要体现。虽然拜占庭帝国犹太人在某些时期需要缴纳象征其二等公民身份的“特殊税”,但是这依然无法代替“拜占庭帝国犹太人拥有真正的拜占庭帝国公民权”的事实。而后者,代表了拜占庭帝国犹太人较其他流散地犹太人相比更为尊贵的社会地位。因此,拜占庭帝国犹太人的纳税活动值得我们认真研究。总之,犹太人依靠丝织业促进拜占庭经济的发展,通过纳税为拜占庭的国库提供资金,在拜占庭经济艰难的时期帮助拜占庭逐渐摆脱困境。虽然犹太人长期受到歧视和限制,但是他们对拜占庭经济所做出的贡献是不能被抹杀的。论文的第三部分主要分析了拜占庭帝国犹太人的政治地位。本部分共三大方面：犹太人的政治权利、犹太人与皇帝的关系以及犹太人与拜占庭之间的政治冲突。拜占庭帝国犹太人拥有的政治权利与其拜占庭公民的身份很不相称,对于拜占庭帝国犹太人来说,他们的政治权利不是具体的内容,而是一个动态被剥夺的过程。拜占庭帝国是一个中央集权君主专制的国家,皇权至上,立法完备。因此,犹太人的法律地位和拜占庭皇帝对犹太人的态度是拜占庭帝国犹太人政治地位的重要组成部分。在拜占庭早期,犹太人被基督教徒利用,因此他们在法律上拥有较多特权。从皇帝查士丁尼一世开始,受到查士丁尼“一个国家、一个教会、一部法典”的治国方略以及当时波斯人不断侵扰拜占庭帝国边境的影响,查士丁尼一世和后继的拜占庭诸皇帝逐渐形成了怀疑、迫害犹太人的反犹传统。这种传统在8-10世纪表现得最为明显。在这3个世纪中,犹太人的政治地位波动较大。受到一些皇帝的个人因素和当时国内外政治背景的影响,犹太人的社会地位与拜占庭历史之间展现出很强的互动性：如在拜占庭皇帝强迫犹太人的四次改宗运动中,有三次规模较大的改宗运动,即利奥三世改宗、瓦西里一世改宗和罗曼努斯一世改宗,都是发生在这段时期前后。拜占庭晚期,军区制逐渐瓦解,中央集权的政体岌岌可危,皇权遭到了地方大地主和教权的挑战。为了增加国库收入和一切群众的支持,从米哈伊尔八世开始,帕列奥列格王朝的诸皇帝对犹太人采取了亲善政策,犹太人的社会地位有所改观。论文的第四部着重论述了拜占庭帝国犹太人的宗教地位。拜占庭帝国犹太人的宗教地位与其法律地位紧密相连。但在本部分,笔者将重点从基督教会、十字军东征和犹太人的宗教文化这三个方面入手进行分析论述,避免与第三部分有所重复。拜占庭教会与犹太人之间的关系较为复杂：它时而站到皇帝一边,共同严酷迫害犹太人；时而反对拜占庭皇帝,尽力保护犹太人,尽管方式有些强硬。在十字军方面,1096年和1204年的第一、四次十字军东征给犹太人带来了沉重的灾难,但同时也给犹太人留下了宝贵的精神财富。在宗教文化方面,尽管犹太人在宗教领域受到严格的限制,在一些时期甚至遭到残酷的迫害,但是这并没有影响他们在宗教文化生活方面的繁荣。拜占庭帝国犹太人在坚定信仰的指引下,创造出了杰出的宗教文化成就。更多还原

【Abstract】 The object of this dissertation is the Jews of the Byzantine Empire, research time is from the year of641to1453. The social status of Jews in the Byzantine Empire is very unique, it’s neither subordinated to the orthodox Christian system, nor to the polytheism and other pagan groups, but existed between the two. Their fate is closely connected to the Byzantium’s, showing a dynamic balance. In the long river of the Byzantine history, their social status was mainly depended on four factors:first, Byzantium’s powerful national strength; second, Byzantium’s strict centralized system, numerous bureaucratic politics, and the separate powers of administrative and military third, Byzantium’s sound and perfect legal system; fourth, Byzantium’s sympathy to retain Judaism, and shelter the Jews.From60BC, the Jewish kingdom’s national strength had been weakened, increasingly under the control of the Rome. In order to get rid of Roman rules, the Jews once erupted the largest uprising in AD66. After four years (70AD), the Romans conquered Judea (Judah), burned the Jewish Second Temple. A large number of Jews were in exile from Palestinian territories, they dispersed to North Africa, Egypt, Syria, Asia Minor and Greece. With the rise of Byzantine Empire, these Jews were under the Byzantine rules. They mostly lived in cities, mainly engaged in handicrafts, commerce, and some professional careers, such as doctors and teachers. Although the Byzantine Jewish population shared less than10%, the social activities of the Jews did have profound effects to Byzantium. Dynamic Jewish economic activities provided Byzantium a great amount of money, and promoted development to Byzantine economy. Especially from the13th century, Western Europe experienced Business Revolution and enhanced their abilities of economy. But the continued development of the Jewish economy stimulated the revival of the Byzantine economy and slowed down the trend of decline of the Byzantine economy.At the aspects of political and religious lifes, the Jews were forced to drop as second-class citizens because of the "Eternal the Gentiles" identity, their lifes were strictly limited. In the coming centuries, they went through discrimination, persecution, and converting by the emperors, the churches, and the Christian Crusades. However, the hard period was not invariable. In the hard times, the Jews also got some protections from some of the emperors and the bishops, their heavy weight of lifes were at some release. In particular, after the year of1204, the Fourth Crusade aggressed Byzantium and Western Europe gradually caught up with the Byzantine Empire in political and economic aspects, Byzantium was more and more in dependence on the Jews, the Jewish social status had a greater degree of upgrading.In short, whether in economic, political or religious aspect, the social status of the Jews was closely related to the situations in home and abroad of the Byzantium, rendering dynamic equilibrium.This paper is divided into four parts, introduces the entire circumstance, the economy status, the political status, and the religious status of the Byzantine Jewish communities separately.The first part explains in detail of the origin, distribution, population, and management mechanism of the Byzantine Jewish communities. Byzantine Jewish communities are unique in Byzantine style, with strong characters of regional, autonomy, loss and transformation with dynamic equilibrium.The second part focuses on the economic status of the Byzantine Jews. This part is divided into two aspects:the occupations and the ratepayings of the Byzantine Jews. The Byzantine Jewish occupations had the Byzantine style. In the economic life of the Jews, the textile and leather industry became the star industries. The Jews had not only excellent skills, but also a large domestic and foreign markets as well, thus they had strong economic strength. In the aspect of ratepaying, the Jews were discriminated, being compelled of paying heavy taxes and so-called "Special Taxes" to the Byzantine emporers. However, in some periods, the Jews enjoyed loose and comfortable times, for instance, they had holden the position of "Tax Farmer", collecting taxes to Christian for the emporers. In brief, Jews stimulated the recovery of the Byzantine economy, and supplyed the Byzantine treasury funds. Especially in the difficult periods of the Byzantine economy, it relyed on the good running of the silk industry of the Jews in some degrees. Despite of restriction and discrimination, the Byzantine Jews had a great deal of contributions to the Byzantine economy, and this could not be denied.The third part analyzes the political status of the Byzantine Jews. This part is divided into three aspects:the Byzantine Jews political rights, the relationship with the Byzantine Emporers, and the political conflicts to the Byzantine Emporers. Byzantium was a centralized monarchy, having the supreme imperial power and the complete legislation. Therefore, the Jewish legal position and the attitude of the Byzantine Emperors to the Jews were the two important parts of the political status of the Jews. In the early ages of Byzantium, the Jews still had more privileges, because they were used by Christians to testify the victory of Christianism, in addition to the Roman period of antiquity. Until the beginning of Justinian I, Byzantine emperor gradually achieved a doubt, persecute anti-Semitic tradition, impacted by the Justinian I’s policy of governing the state and the invasions by the Persia. In the8-10th centuries, this anti-Semitic was in performance obviously. But, in this3centuries, due to some of the emperors’personal reasons and the domestic political backgrounds, the Jewish social status was up and down frequently. After the13th century, Byzantium experienced the pain of subjugated the nation, and again revived. During this period, the relationship between the Byzantine emperors and the Jews gradually eased, and the political status of Jews had been enhanced.The fourth part discusses the religious status of Jews breifly. Although Jewish religious status is closely related to their legal position, in this part, I will emphasis three aspects:the relationship bewteen the Christian Church and the Jews, the Crusades, and the Jewish religious culture. The Christian Church had a complex relationship with the Jews:sometimes they were the side of the emperors, persecuting against the Jews commonly; sometimes they were against the Byzantine emperors, protecting the Jews, despite using some tougher methods. From the Crusades aspect, in1096and1204, the first and fourth Crusades left the Jews not only the heavy disasters, but also lessons of blood and firm belief to Judaism. Jews were not only understood how to protect themselves in the difficult life of a foreign land, but also had more firmly Jewish faith. Last but not least, in the riligious culture aspect, although the Jews were restricted, but this situation did not affect their religious culture growing prosperity. Under the guidance of their frim faith, they created an outstanding achievement of Jewish religious culture.更多还原