【作者】 张爽；

【导师】 徐家玲；

【作者基本信息】 东北师范大学 ， 世界历史， 2009， 博士

【副题名】以罗马—拜占庭、中国为中心

【摘要】 匈奴帝国对汉帝国的军事压力及匈奴帝国对西域诸国的控制和影响,游牧经济与农耕经济的互补和排斥,是亚欧大陆丝绸贸易在公元前3世纪左右形成的主要原因。在亚欧大陆丝绸贸易体系中,没有一个大国和民族能够控制丝绸贸易的全部环节,中介国家和民族可以凭借其地利和地域优势,靠丝绸贸易敛财,因此,亚欧大陆丝绸贸易是建立在军事政治实力之上的“脆弱”贸易。由于罗马社会的经济结构是以小农经济为主,所以代价高昂的丝绸贸易基本上不会对罗马经济构成实质性影响。亚欧大陆的丝绸贸易不仅包括丝绸等奢侈品的交换流动,还包括丝路沿线各国、各民族所需生活、生产物资的交换流动。由于黄金是亚欧大陆丝绸贸易的硬通货,因此需要进入丝绸贸易体系进行物资交换的游牧民族和蛮族,就将黄金作为向罗马-拜占庭帝国抢掠和勒索的首要物资;此时拜占庭帝国为了缓解波斯的入侵,向波斯支付了大量黄金,在以上两种情况下拜占庭也不得不实行宽松的商业政策,这在一定程度上促进了丝绸贸易的发展。从公元4世纪开始至6世纪末,中国河西地区成为西域商胡进行丝绸贸易的重要地区。北魏占领河西后,西域商胡大批地来到中国内地(如:洛阳等大城市)进行丝绸贸易,大量黄金也随之流入洛阳等地。由于佛教传播与丝绸贸易之间是相互依赖的关系,因此北魏统治者将通过丝绸贸易流入中国的黄金大量用于佛教,这很可能是罗马-拜占庭帝国大量黄金流出的一个最终方向。公元5-6世纪北亚、中亚的各游牧民族竞相崛起,活动区域越发广大,与亚欧大陆丝绸贸易体系结合得更为紧密。公元4世纪后期崛起于亚欧草原的柔然帝国从漠北西进,南下丝路东段的西域地区。凭借此点,柔然迅速崛起。公元5世纪中后期嚈哒在丝路中段的崛起,改变了以往游牧民族在亚欧草原崛起南下中国内地和西进西域,控制丝路东段的发展模式。嚈哒西攻波斯、东进西域,这使拜占庭帝国希望运用经济力量促使嚈哒以军事力量钳制波斯。公元6世纪初迫于突厥帝国军事压力而西迁到东欧的游牧民族阿瓦尔人,凭借其军事优势由巴尔干向拜占庭勒索了大量黄金和丝绸等农耕物品,控制了黑海沿岸的丝绸贸易。在公元6世纪末虽然拜占庭能积聚力量粉碎阿瓦尔人对巴尔干地区的大规模进攻,但是残破的巴尔干经济却难以恢复。公元6世纪后期突厥的东进和西扩,使丝路中东段(从亚欧草原东段到西域乃至中亚)的广大地区首次处在一个游牧民族的控制之下。随着隋朝统一中国北方,突厥帝国失去了利用中国分裂的政治形势来进行丝绸贸易从中获得巨额利润的条件,在隋帝国的军事反击和“远交近攻”的战略面前,突厥帝国无法再从丝绸贸易中获利,从而导致内部矛盾激化,最终分裂为东西两部分,但是隋帝国却没有力量消灭突厥。由于西突厥帝国统治区内如索格底亚那等地都是粟特商人的家乡,出于经济利益的考虑,西突厥帝国与粟特商人结合得十分紧密,对粟特商人进行的丝绸贸易及其商业扩张行为采取保护和支持的政策。丝路西段的丝绸贸易处在波斯帝国的严格控制之下,因此,西突厥和粟特商胡希望能打通丝路西段。此时的拜占庭也希望能够借助其他力量夹击波斯,从而获得廉价丝绸。在此背景下亚欧大陆之间形成了跨越洲际的政治、经济联系。由于波斯强大的军事力量,使西突厥和拜占庭无法在实质上结成东西夹攻的军事同盟。西突厥和拜占庭各自的目的相差太大,加之西突厥帝国还有着谋求控制丝路东段的战略考虑,因此双方的政治联盟也没有发挥多大作用。但双方之间热络的外交穿梭,说明丝路上的各农耕大国和游牧帝国已经被丝绸贸易连接在一起。公元6世纪拜占庭帝国开辟新丝路失败,为了控制丝绸贸易和保证丝织业生产,拜占庭帝国垄断了生丝的采买和供应。虽然在查士丁尼后期拜占庭得到了中国的养蚕抽丝技术,但其产量远远不能满足丝绸业对生丝的庞大需求。由于拜占庭的桑树主要种植在容易受波斯进攻的叙利亚和小亚细亚山地,当地的种桑业受战争的影响很大,正常的生产活动往往得不到保障,因此拜占庭所需生丝在很大程度上仍需依赖进口。为了使丝绸业能够正常维系,拜占庭帝国动用政权的力量,全面垄断丝绸业。在以农业为基础的拜占庭社会经济结构中,丝绸业无法占主要地位。由于丝绸业并没有对拜占庭帝国的社会经济造成全局性影响,因此居于丝路终端的拜占庭帝国,依然能够长期进行丝绸贸易,承受高价丝。拜占庭帝国建立丝绸业垄断体制后,由于丝绸奢侈品的特殊性,丝绸迅速和其社会等级制度相互结合,紫色丝绸就是其代表。这正是丝绸业虽然在拜占庭帝国的经济结构中不占主要地位,但却是拜占庭帝国一直重视丝绸业从事丝绸贸易的一个政治原因。更多还原

【Abstract】 The Hsiungnu Empire’s military pressure towards the Chinese Empire, its controlling of, and influence on, the states of the Western Regions, and the mutual complement and repelling between the pastoral economy and the agriculture economy were the primary causes of the Eurasia silk trade’s formation around 3rd century BC. Since there was not any country or race could control the entire course of the silk trade, the intermediary countries and the powers on the Silk Road could benefit from the trade with their advantages. Hence, as a result of this, the silk trade was a "fragile" trade based on the military power. The social economic structure of Rome was headed by small-scale agriculture, so it could not be affected by expensive silk trade in large scale.Eurasia silk trade does not only included the trade of silk, but also the goods needed by the countries and peoples who lived along the Silk Road for living and producing. As the hard currency, gold was the first goods that the nomads and barbarians, who needed to take part in the system of silk trade for exchanging, wanted to loot and extort from Byzantine. At the same time, in order to pay the Persians for relieving their invasions, the Byzantine government had to take the loose commercial policies, which contributed to a certain extent to the development of silk trade. From 4^th century to the end of 6^th century, the Hexi region of China became an important place for silk trade. When Hexi was captured by Northern Wei Dynasty, the businessmen form the Western Regions came to the interior of China for silk trade. Consequently, much gold flowed into such places as Luoyang. The relationship of the Buddhism’s spread and silk trade was mutual dependency. The prosperity of silk trade was one of the reasons of the flourishing of Buddhism in Northern Wei Dynasty, and it may be the final direction of the gold which flowed into China from Roman-Byzantine Empire.In 5-6^th century, nomads rose in north and middle Asia one after another. As the areas of their activities expanded, they got in closer touch with the silk trade system. Later stage of 4^th century, the Rouran Empire in Mongolia Steppe marched westwards from the north of the desert, and then southwards to the east part of the Silk Road. It rose rapidly because of the trade. In the middle and later stage of 5^th century, Hephthalites rose in the east of the Silk Road, and this changed the regular mode of the nomads starting from Mongolia Steppe, and then marching southwards into the interior of China and westwards into the West Regions to control the east part of Silk Road. Hephthalites attacked the Persians in the west and marched eastward into the West Regions of China. Hence, Byzantine Empire persuaded them with economic benefits to control the Persians. In the beginning of 6^th century, under pressure from the Turkish Empire, Avars marched westwards into east Europe, extorted lots of gold and silk from Byzantine Empire with their strong military power in Balkan region, and then controlled the silk trade along the Black Sea. In the end of 6^th century, although the Byzantine Empire was able to defeat the Avars, the economy of Balkan was in ruin.In the later stage of 6^th century, the Turkish movement eastwards and westwards put the middle and east part of the Silk Road, namely, area from Mongolia Steppe to the West Regions and middle Asia, under the control of a single power for the first time. With the unity of northern China by Sui Dynasty, the Turkish Empire lost the advantages of using the Chinese splitting to benefit from silk trade. Consequently, with the military counter-attack and policy of befriending distant states while attacking those nearby of Sui Dynasty, the Turkish Empire could not benefit from the silk trade any more, which led to the fierce conflicts inside of the state, and finally, led to its dividing into two parts: the east Turk and the west Turk. However, Sui Dynasty could not get rid of them. Within the territory of the west Turkish Empire was the hometown of Sogdiana businessmen, so the Turks had good relationship with them and protected their trade activities out of concern for state benefits. But the west part of Silk Road was controlled by the Persians; therefore, the coalition of the west Turks and Sogdiana businessmen was ready to get through the west part of Silk Road. During this time, the Byzantine Empire also wanted to make converging attack on the Persians with others’ help for cheaper silk. On this condition, there came the political and economic contacts between Europe and Asia. However, the strong military power of the Persians made it impossible for the west Turks and the Byzantine Empire to form military allies for converging attack. Due to different purposes of the two empires and the west Turk’s strategy of controlling the east part of Silk Road, the coalition of the two had little effect. However, the frequent diplomatic activities of the two show that the farming empires and the nomadic empires on the Silk Road were connected by the silk trade.In 6^th century, since the Byzantine Empire failed to open up new silk roads, it monopolized the purchase and supply of raw silk to control the silk trade and guarantee the production of silk industry. Although it got the skill of keeping silkworm and drawing thread, the output could not satisfy the great need of raw silk. Since the area of planting Mulberry of the Empire was in Syria and the mountains of Asia Minor which were easy to be invade by the Persians, this industry was effected seriously by wars, so the normal activity in production could not be guaranteed, as the result of which, raw silk used in Byzantine silk industry depended on importing to a great extent. In order to maintain its normal silk industry, the Byzantine government monopolized the silk industry. Under the agriculture-based economic structure of Byzantine Empire, the silk industry could not take a leading role. Because the silk industry did not affect the overall situation of the social economy, the Empire could maintain the Eurasia silk trade for a long time and bear the high price of silk even if it was in the terminal of the Silk Road. After the monopoly of the silk industry in the Byzantine Empire, silk was connected with its social estate system due to the luxurious nature of silk products. Purple silk was the representative. This is the political reason why Byzantine Empire paid consistent attention to the silk trade even if it was not the main part in the state economy.更多还原