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大西洋月刊

一个免于恐惧的社会的最低要求The Perfect Liberal

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一幅插画:白色的正义天平,两个秤盘被一双眼睛取代。An illustration of white scales of justice with the two weighing pans replaced with a set of eyes.

如今后冷战时代的胜利主义正在消亡,什么能够取而代之?作者:亚当·柯什1989 年,西方赢得冷战的那一年,弗朗西斯·福山发表了一篇文章,宣称“历史的终结”。他并不是说历史事件会停止发生;而是指关于这些事件意义的争论已经结束。自启蒙时代起,西方思想家一直认为历史正朝着最终的目的前进。根据共产主义的观点,进步的动力是阶级冲突,历史将以建立无阶级社会而告终。

Now that the triumphalism of the post–Cold War era is dying, what can replace it? By Adam Kirsch In 1989, the year the West won the Cold War, Francis Fukuyama published an essay announcing “the end of history.”He wasn’t claiming that historic events would stop taking place; what was over, rather, was the debate about the meaning of those events. Since the Enlightenment, Western thinkers had believed that history was progressing toward a final destination. According to communism, the engine of progress was class conflict, and history would end in the creation of a classless society.

福山认为,随着苏联帝国的失败,这一思想已被否定。唯一剩下的替代方案是:现在已经清楚,“人类意识形态演进的终点”是“西方自由民主的普遍化,作为人类政府的最终形态”。自由主义内部仍会有分歧——福山把宗教和民族主义列为可能的裂痕——但再也不可能对自由主义本身产生任何争议。

With the failure of the Soviet empire, Fukuyama argued, this idea had been discredited. Only one alternative remained: It was now clear that the “end point of mankind’s ideological evolution” was “the universalization of Western liberal democracy as the final form of human government.”There would still be disagreements within liberalism—Fukuyama named religion and nationalism as likely fault lines—but there could no longer be any disagreement about liberalism.

要了解这一判断的现状,只需看看政治理论家们如今在写些什么书名:《自由主义的失败》《自由主义之后的世界》《反对自身的自由主义》。即便福山也写了一本名为《自由主义及其不满》的书。在西方各地,极右翼和极左翼正在崛起,而他们唯一达成一致的是对自由主义的蔑视。对MAGA及其欧洲表亲而言——比如法国的国民联盟和英国的改革党——自由主义者是无根的精英,他们俯视同胞,却纵容移民和罪犯。

To see how that judgment is holding up, just look at the kinds of titles that political theorists are producing these days: How Liberalism Failed, A World After Liberalism, Liberalism Against Itself. Even Fukuyama wrote a book titled Liberalism and Its Discontents. Across the West, the far right and the far left are on the rise, and the one thing they agree on is their contempt for liberalism. To MAGA and its European cousins, such as France’s National Rally and the United Kingdom’s Reform Party, liberals are rootless elitists who look down on their fellow citizens while coddling immigrants and criminals.

对进步派和民主社会主义者而言,自由主义——常带有“新”前缀——意味着无情的全球化资本主义,用 meritocracy(精英统治)和人权的修饰性修辞粉饰太平。对自由主义原则的呼吁和对自由主义世界秩序的辩护,在动员公众方面几乎毫无作用,甚至连政治体制的很大一部分也难以说服。

To progressives and democratic socialists, liberalism—often qualified with the prefix neo—means ruthless globalized capitalism, prettied up with rhetoric about meritocracy and human rights. Appeals to liberal principles and defenses of the liberal world order have shown little power to rally the public, or even much of the political establishment.

如今,冷战后时代自由主义的胜利论正在衰落,什么能够取代它?答案或许在于另一篇于1989年写成的重要论文——它得到的关注远不及福山的那篇,但在自由主义思想的守护者中享有邪典般的声誉。朱迪斯·什克尔所著《恐惧中的自由主义》如今首次以书籍形式出版——一本小书,因为原文仅约8000字,但恰逢其时。事实上,正如政治学家马克·利拉在序言中所说,它“如今比当初出版时更具时效性”。

Now that the liberal triumphalism of the post–Cold War era is dying, what can replace it? The answer may lie in another important essay written in 1989—one that received much less attention than Fukuyama’s, but enjoys a cult reputation among keepers of the liberal flame. “The Liberalism of Fear,” by Judith Shklar, has just been published for the first time as a book—a small book, because the essay is only about 8,000 words long, but a timely one. In fact, as the political scientist Mark Lilla says in his introduction, it’s “far more timely today than it was upon its publication.”

1989年,什克尔将自由主义简约地定义为反对政府恐怖的堡垒——她称之为简单的“损害控制”政治——听起来或许缺乏雄心或缺乏灵感。但在美国ICE特工开枪射击抗议者、将人们从街上抓走的今天,它听起来颇具先见之明。

In 1989, Shklar’s minimalist definition of liberalism as a bulwark against government terror—what she calls, simply, a politics of “damage control”—might have sounded unambitious or uninspiring. In an America where ICE agents shoot protesters and grab people off the street, it sounds prescient.

施克拉尔的观点涉及历史与哲学,但与所有政治思想一样,它都源于一种直觉、一种情感。共产主义或许可以被视为源于人们的愤怒——一种拒绝接受“有些人剥削他人”的世界的情绪;而民族主义则源于人们对自身民族的忠诚感以及对自己民族的归属感和责任感。这些情感本身并无过错,甚至值得赞扬。然而,当某种政治情感排挤掉所有其他情感时——当一切都被置于追求社会正义或民族自豪感的需要之下时——善良有时也会被用来为最恶劣的行为辩护。

Shklar’s argument involves history and philosophy, but like all political ideas, it begins with an intuition, a feeling. Communism, one might say, begins in indignation: a refusal to accept a world where some people exploit and others are exploited. Nationalism begins in loyalty: a sense of connection and obligation to one’s own people. There is nothing wrong with these emotions; they are even praiseworthy. But when one political feeling crowds out all others—when everyone and everything is subordinated to the pursuit of social justice or national pride—good can justify the worst evils.

自由主义与这些政治意识形态的不同之处在于,正如施克拉尔所说,自由主义“并不对人们应该如何生活提出任何具体的、积极的指导原则”。自由主义并不描绘一个完美的世界(一个不公正被彻底消除的世界,或者某个特定民族占据主导地位的世界);相反,它植根于人们对现实世界的深刻恐惧——因为在现实世界中,掌权者常常会利用权力来压迫、折磨甚至杀害他人。

What makes liberalism different from these political ideologies is that, as Shklar writes, it “does not have any particular positive doctrines about how people are to conduct their lives.”Liberalism doesn’t offer a vision of a perfect world—one where injustice is abolished, or where a particular nation reigns supreme. Instead, it is rooted in a justified fear of the real world, where people with power often use it to oppress, torture, and kill.

施克拉尔指出,自由主义的根本信念是“残酷是一种绝对的邪恶”。洛克和密尔等思想家所阐述的自由主义原则,以及那些推动美国和法国革命的思想,都源于这种对残酷行为的恐惧。宗教自由意味着人们不会因为持有错误的信仰而被烧死;言论自由意味着人们不会因为说出自己的想法而被关进监狱;法治原则则意味着人们只能因犯罪行为受到惩罚,而不会因为某个有权势的人想要报复他们而受到迫害。

“Liberalism’s deepest grounding,” Shklar writes, is the belief “that cruelty is an absolute evil.”The classic liberal principles outlined by thinkers such as Locke and Mill, the ideas that guided the American and French Revolutions, follow from this basic fear of cruelty. Freedom of religion means that you won’t be burned at the stake for holding the wrong beliefs. Freedom of speech means that you won’t be locked up for saying what you think. The rule of law means that you can be punished only for committing a crime, not because a powerful person is out to get you.

这并非巧合,这些自由主义的自由被视为对国家权力的限制。正如什克尔所写:“公开的残忍”是由公共权力的差异使之成为可能的,而政府始终比任何公民更具权力。这本身并不一定是件坏事;我们希望政府拥有惩治犯罪或抵御入侵的权力。但自由主义认为,必须对这种权力的使用施加严格而有效的限制。什克尔写道:“这个世界上的政府凭借其压倒性的杀害、致残、灌输和发动战争的能力,不应被无条件地信任。”

Not coincidentally, these liberal freedoms are framed as limits on the power of the state. “Public cruelty,” Shklar writes, “is made possible by differences in public power,” and the government is always more powerful than any citizen. This isn’t necessarily a bad thing; we want the government to have the power to punish crime or defend against invasion. But liberalism believes that there must be strict and effective limits on how that power is used. “The governments of this world, with their overwhelming power to kill, maim, indoctrinate, and make war are not to be trusted unconditionally,” Shklar writes.

恐惧的自由主义首要想要防止的是“军队、准军事和警察人员在任何政权中所实施的习惯性和普遍性的残忍和酷刑行为”。对于1989年的美国政治哲学家来说,这可能看起来是一个奇怪的关注点。东欧的警察国家正在消失;民主活动家们正勇敢地在天安门广场面对坦克;纳尔逊·曼德拉正从监狱走出,踏上成为南非总统之路。

What the liberalism of fear wants to prevent above all are “habitual and pervasive acts of cruelty and torture performed by military, paramilitary, and police agents in any regime.”This might have seemed like an odd concern for an American political philosopher in 1989. Police states were disappearing in Eastern Europe; democracy activists were bravely standing up to tanks in Tiananmen Square; Nelson Mandela left his jail cell on his way to becoming president of South Africa.

乔治·H·W·布什时期的美国虽然存在问题,但没有人会把准军事暴力和警察酷刑列为首要关注的问题。就在福山宣称“历史的终结”时,什克尔为何在这场盛宴中仍在思考这些幽灵?

America under George H. W. Bush had its problems, but no one would have put paramilitary violence and police torture high on the list. At a time when Fukuyama was celebrating the end of history, why was Shklar contemplating these specters at the feast?

最显而易见的答案是:与大多数美国人不同,她亲眼目睹了那些可怕的事情。朱迪斯·尼塞(Judith Nisse)1928年出生于拉脱维亚的一个犹太家庭,在战争与大屠杀的阴影中长大。在一场自传性质的演讲中,她回忆道:童年时,她读莎士比亚的戏剧《泰特斯·安德洛尼克斯》(Titus Andronicus)后深受创伤——这部戏剧充满了谋杀、食人以及割首等血腥场景;“直到今天,我仍能感受到那种恐惧与震撼。”

The most obvious answer is that, unlike most Americans, she had seen them firsthand. Born to a Jewish family in Latvia in 1928, Judith Nisse grew up in the shadow of approaching war and the Holocaust. In an autobiographical lecture, she recalled that as a child, she was traumatized by reading Shakespeare’s play Titus Andronicus, which is full of murder, cannibalism, and severed heads: “To this day I can still feel the fear and horror it inspired.”

她的姐姐试图安慰她,说“那些事情其实并没有真正发生过”,但这并没有起到任何作用,因为“我们都知道,周围正在发生着更加可怕的事情”。作为拉脱维亚的犹太人,尼塞回忆说:“周围的人要么希望我们离开这个国家,要么希望我们死去。”尼塞一家终于在最后一刻成功逃脱,于1940年历经长途跋涉(穿越俄罗斯、横跨太平洋),最终抵达加拿大。

Her sister tried to comfort her by saying that “these things did not really happen,” but it didn’t help, because “both she and I knew that far worse was going on all around us.”As Jews in Latvia, Shklar recalled, “everyone around us wanted us to be somewhere else at best, or to kill us at worst.”The Nisse family managed to escape at the last possible moment and took an epic journey in 1940 across Russia and the Pacific to Canada.

次年,纳粹入侵拉脱维亚,里加的4万名犹太人遭到杀害,其中大部分人被德国军队及当地帮凶杀害在附近的森林里。

The next year, the Nazis invaded Latvia and the 40,000 Jews of Riga were murdered, most of them shot by German troops and local auxiliaries in a nearby forest.

1951年,当尼塞作为研究生进入哈佛大学政府学系时,她惊讶地发现她的美国同事们完全忽视了他们那个时代所经历的重大政治事件:“我知道1940年至1945年间欧洲发生了什么,也以为哈佛的大多数人都了解那些灾难性的事件(无论是从物质层面、政治层面还是道德层面来看),但这些事情从未被人们讨论过。”尼塞指出,这种“被忽视”的经历对她后来的写作产生了深远影响。

When Shklar arrived at Harvard’s department of government as a graduate student in 1951, she was struck by how completely her American colleagues ignored the central political experience of their own time: “I knew what had happened in Europe between 1940 and 1945, and I assumed that most people at Harvard also were aware of the physical, political, and moral calamity that had occurred, but it was never to be discussed.”This “isolating” experience “had a lot to do with my later writings,” Shklar noted.

起初,她并不打算留在学术界:“我本来想成为《大西洋月刊》(The Atlantic)之类的出版物的文学编辑。”但她最终在哈佛大学度过了整个职业生涯,从事与欧洲那场灾难直接或间接相关的学术研究,探讨的主题包括启蒙运动的失败、纽伦堡审判中的法律概念,以及残酷与不公正的本质。

At first, she didn’t intend to stay in the academy: “I would have liked to be a literary editor of The Atlantic or some such publication.”But she remained at Harvard for her entire career as a professor, writing about subjects directly or indirectly connected with the European catastrophe: the failure of the Enlightenment tradition, the concept of law in the Nuremberg trials, the nature of cruelty and injustice.

《恐惧的自由主义》于1992年谢克拉逝世前三年出版,虽然它并非她的主要著作,但该标题已成为她世界观的简写。正如莉拉在导言中写的,对谢克拉而言,“对他人任意权力的恐惧是现代自由主义为之设法抵御的根本人类经验”。在文章中,她讨论了现代自由社会为此目的所使用的工具。

“The Liberalism of Fear” was published three years before Shklar’s death in 1992, and though it wasn’t one of her major works, the title has become a kind of shorthand for her worldview. As Lilla writes in his introduction, for Shklar, “fear of being in another’s arbitrary power is the ur-human experience that modern liberalism was developed to stave off.”In the essay, she discusses the tools that modern liberal societies use for this purpose.

其中一些工具是法律性的:“没有明确的程序、诚实的法官、辩护和上诉的机会,任何人都没有机会”。另一些则是政治和经济性的,例如对私有财产的保障:“没有什么比依法保证的所有权更能为个人提供社会资源”。但谢克拉最关心的是维系自由社会的观念和思维习惯。正是在这里,她对当今的呼吁显得尤为紧迫。

Some of these tools are legal: “Without well-defined procedures, honest judges, opportunities for counsel and for appeals, no one has a chance.”Others are political and economic, such as security for private property: “Nothing gives a person greater social resources than legally guaranteed proprietorship.”But Shklar is most concerned with the ideas and habits of mind that sustain liberal societies. And it is here that her message for today becomes most urgent.

她写道:“完美的自由主义者尊重他人,而不带居高临下、傲慢、谦卑或恐惧。他或她不会用谎言或残忍来侮辱他人,因为这两者同样会玷污自己的品格,正如它们伤害受害者一样”。这些并非赢得战争或建立帝国所需的英雄美德;它们是一个无恐惧社会的最低要求。直到最近,这些要求仍被视为任何希望在美国公共生活中发挥作用的人所必须遵守的,无论其政治立场如何。

The “perfect liberal,” she writes, “respects other people without condescension, arrogance, humility, or fear. He or she does not insult others with lies or cruelty, both of which mar one’s own character no less than they injure one’s victims.”These aren’t the heroic virtues needed to win wars or found empires; they are minimal requirements for a society free from fear. Until recently, they were expected of anyone who hoped to play a role in American public life, regardless of their political views.

只有自从唐纳德·特朗普上任白宫后,美国人才意识到他们曾把罗纳德·里根或巴拉克·奥巴马的稳重与礼貌视为理所当然。特朗普主义对自由民主的冲击不仅仅是法律和政策层面的事。从一开始,它就在于为残忍行为正名。当特朗普嘲讽性地模仿一名残疾记者,或说警察在把嫌疑人送上警车时不应“太友好”,又或特赦一名因在军事法庭被判谋杀平民而入狱的美国士兵时,他传递的信息是:他认可残忍,并将支持实施残忍的人。

Only since Donald Trump got to the White House have Americans realized how much they took for granted the sobriety and politeness of Ronald Reagan or Barack Obama. Trumpism’s assault on liberal democracy isn’t only a matter of laws and policies. From the beginning, it has been about legitimizing cruelty. When Trump mockingly imitated a disabled reporter, or said police officers shouldn’t be “too nice” when putting suspects into police cars, or pardoned an American soldier convicted by a court martial of murdering civilians, he was sending the message that he approves of cruelty, and will support those who commit it.

联邦政府和共和党在他第一任期内抵制了这一信息;而在第二任期中,他们基本上停止了抵制。我们仍然离舒克拉童年时代的欧洲相去甚远。美国长期是自由民主国家,大多数美国人并未准备好接受残忍政治的理念。但这一前景已不再像《恐惧的自由主义》写成时那般抽象。文中,舒克拉指出,政府的恐怖与残忍并非过去的事物,而是可以在《纽约时报》的“国外新闻”中看到。

The federal government and the Republican Party resisted that message in his first term; in his second, they have mostly stopped resisting. We are still a long way from the Europe of Shklar’s childhood. America has been a liberal democracy for a long time, and the majority of Americans are not ready to embrace a politics of cruelty. But that prospect feels a lot less theoretical than it did when “The Liberalism of Fear” was written. In the essay, Shklar says that government terror and cruelty weren’t things of the past, but could be seen in “the foreign news in the New York Times.”

如今,不仅是国外新闻让我们意识到我们有多么需要警惕——以及我们多么需要自由主义的价值与制度,尽管它们已变得不再时髦。

Now it’s not just the foreign news that reminds us how much we have to be afraid of—and how much we need the values and institutions of liberalism, no matter how unfashionable they’ve become.

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