伦理神学导论:真幸福与德行

与 Introducing Moral Theology: True Happiness and the Virtues 对照
William C. Mattison III
伦理神学导论:真正的幸福与德行

8. 二战中使用原子弹:第二个测试案例

8. Using the Atom Bomb in World War II: Test Case Two

在美国历史上,少有事件能像二战那样激发如此强烈的自豪感。我要感谢DePaul University的James Halstead博士在本章上慷慨而无价的帮助。Halstead博士经常带学生去广岛,对这个议题的了解不亚于任何人。虽然他的结论与我不同,但若没有他,本章不可能完成。像《拯救大兵瑞恩》这样的电影,描绘了美国士兵在这场战争中作出的巨大牺牲,以及指引参与者的强烈使命感。近来的《最伟大的一代》等书,不仅记录了那些在二战中为我们而战的人们的英勇事迹,也主张这种勇敢必须放在一代人的脉络中来理解;他们在爱国、把握正义、愿意牺牲方面,是真正有德的人。许多家庭自豪地讲述自己成员在二战中的贡献与牺牲。在我自己的家庭里,我们反复讲述我外祖父的故事:他在诺曼底登陆日驾驶登陆艇驶向诺曼底海滩,并在成功入侵后加入Patton的军队,参与横跨欧洲的竞逐。

Few events in American history inspire as much pride as World War II.I would like to thank Dr. James Halstead of DePaul University for his generous and invaluable help on this chapter. Dr. Halstead regularly takes students to Hiroshima, and knows this issue as well as anyone. Though his conclusions differ from my own, this chapter would not have been possible without him. Movies like Saving Private Ryan depict the tremendous sacrifices that American soldiers made in this war, and the powerful sense of purpose that guided those involved. Recently books like The Greatest Generation chronicle not only the heroic acts of those who fought for us in World War II, but also argue that such bravery must be understood in the context of a generation of people who were truly virtuous in their love of country, grasp of justice, and willingness to sacrifice. Many families proudly tell stories of their own members’ contributions and sacrifices in World War II. In my own family, we repeatedly recount the story of my maternal grandfather driving a landing craft to the beaches of Normandy on D-Day, and joining Patton’s army in the race across Europe after the successful invasion.

对许多人而言(包括我自己),二战堪称正义战争的范式。纳粹蹂躏欧洲,屠杀数百万人。日本在东亚建立帝国,其中包括对被征服民族的残酷奴役。一边是集中营和Hitler,另一边是珍珠港。还有什么能更正义?在这样的情境下,人们很容易不去质疑美国的任何行动。在一般战争的恐怖,尤其这场战争的恐怖脉络中,把任何对战争行动的道德分析看作象牙塔里的学术奢侈,是可以理解的;而这种奢侈恰恰是由那些愿意把事情做成的人们的行动所保障的。道德分析可能显得像周一早晨的四分卫评论,也就是在事后回顾的安全和知识中作出判断,而这些判断并不合理地适用于战斗最激烈时的人们。

For many—myself included—World War II serves as a model, or paradigm, of the just war. Nazis were ravaging Europe and exterminating people by the millions. Japan was building an empire in East Asia that included the brutal subjugation of conquered peoples. Concentration camps and Hitler on the one side, Pearl Harbor on the other. What could be more just? It is easy in this context not to question any actions of the United States. It is understandable in the context of the horror of war in general, and of this war in particular, to regard any moral analysis of the actions of war as an ivory-tower academic luxury secured by precisely the actions of those willing to get things done. Moral analysis may appear to be Monday-morning quarterbacking, where in the safety and knowledge of hindsight we make judgments to which it is not reasonable to hold people in the heat of battle.

在人们分析美国在战争末期决定使用原子弹攻击日本时,这种迟疑尤其明显。在一场正义战争的脉络中,对许多人来说,很难思考一个显然加速战争结束的行动是否在道德上并不正当。考虑到硫磺岛和冲绳等地可怕的生命损失,任何能够止住这种屠杀的东西似乎都是最好的。各个家庭讲述原子弹如何影响他们生活的故事。在我自己的家庭中,我另一位外祖父因身体问题无法上战场,被军方在夏威夷教导日语;如果美国入侵日本,他被安排为第一波部队中的翻译。考虑到这种入侵的预计伤亡率,我家人常常说,如果没有原子弹,我们就不会在这里,因为我的外祖父很可能已经阵亡。出于诸如此类的许多原因,人们对把投放原子弹的决定置于道德分析之下感到迟疑,这是可以理解的。

This hesitance is especially present among people with regard to analyzing the United States’ decision to use atomic bombs to attack Japan at war’s end. In the context of a just war, it is difficult for many to consider whether an act that clearly hastened the end of the war was not morally justified. Given the horrible loss of life at places like Iwo Jima and Okinawa, anything that could halt such carnage seems best. Individual families tell stories about how the bomb impacted their lives. In my own family, my other grandfather, who could not serve in battle due to a physical problem, was taught Japanese by the military in Hawaii, and was slated to be among the first wave of troops as an interpreter should the U.S. invade Japan. Given the projected casualty rates for such an invasion, members of my family commonly claim that without the atom bomb we would not be here, as my grandfather would most likely have been killed. For many reasons such as these, people are understandably hesitant to subject to moral analysis the decision to drop the atom bomb.

然而,我们必须克服「不想加以道德分析」的冲动,其理由有二。第一,在这些艰难处境中总要作出决定,而且无论作出什么决定,它都会遵循某条规则,即便所采用的规则只是:以任何能尽可能保护己方人员的方式赢得一场正义战争。(请注意,这已经包含了对使用武力的一项限制,因为它必须发生在一场正义战争中。)正如第七章所解释的,战争是一种受规则约束的活动。拒绝反思性地把我们的决定置于分析之下,往往等于隐含地决定:做我们想做的事,或至少做当时看来为达成一个有德目标所必要的事,而不去关心武力应当如何受到限制。当然,在冲突当时进行这种思考很困难。但这并非不可能,John Ford, SJ的经典论文《The Morality of Obliteration Bombing》就是明证;他在美国1944年对德国的毁灭性轰炸政策正在发生时,就对其进行了道德审视。参见John Ford, SJ,《The Morality of Obliteration Bombing》,Theological Studies 5(1944):259–309。这篇关于一个非常实际的正义战争问题的经典文章,对本章影响极大。此外,即使是事后分析,只要恰当地考虑行动当时的情况,大概也能帮助我们在未来类似处境中作出决定。为了指导我们未来的行动而更准确地看待过去,这也许是进行这项分析最重要的理由。

But we must resist the urge to avoid moral analysis for two reasons. First, decisions need to be made in these trying circumstances, and no matter what decision is made it will observe some rule, even if the rule applied is simply win a just war in whatever way protects as many of one’s own as possible. (Note that this already includes a limit on the use of force, since it must occur in a just war.) As explained in chapter 7, war is a rule-governed activity. The refusal to reflectively subject our decisions to analysis is often an implicit decision to do whatever we want, or at least what is seen as necessary at the time to achieve a virtuous goal, without concern for the ways that force should be limited. True, it is difficult to do this sort of thinking at the time of the conflict. But it is not impossible, as evidenced by the classic essay by John Ford, SJ, “The Morality of Obliteration Bombing,” where he subjected the United States’ policy of obliteration bombing in Germany in 1944 to moral scrutiny as it was happening.See John Ford, SJ, “The Morality of Obliteration Bombing,” Theological Studies 5 (1944): 259–309. This classic article on a very practical just-war issue was enormously influential on this chapter. Furthermore, even after-the-fact analysis, when done with proper consideration of how things were at the time of the act, can presumably aid our decision making in such situations in the future. Obtaining a more accurate view of the past, so as to direct our future action, may be the most important reason for this analysis.

第二,请回想,本书所赞同的幸福道德视角认为,关于使用武力的道德反思,首要并不是裁断限制性规则在何处以及如何适用或不适用。刻意遵循像非战斗员豁免这样的政策,确实可能意味着在某些时候必须就限制武力使用作出艰难决定。但这些限制应当在恢复并维护正义这一更大事业的脉络中来理解。虽然它们可能被经验为限制武力使用的义务,但最恰当地说,它们应被理解为达成所宣称的目标——恢复真正正义——的最佳、甚至最有效的方式。下文会解释这是如何成立的。

Second, recall that from the morality-of-happiness perspective endorsed in this book, moral reflection about the use of force is not primarily a matter of adjudicating where and how restrictive rules apply or not. Deliberately following a policy like noncombatant immunity may indeed entail tough decisions about limiting how force is used on occasion. But those limitations should be understood in the context of the larger endeavor of restoring and preserving justice. Though they may be experienced as obligations limiting the use of force, they are most rightly understood as the best, even most effective, way to achieve the stated goal of restoring true justice. How this is so will be explained below.

毫不意外,本章各节所围绕的问题中,许多术语都来自第七章所解释的正义战争理论中的ius in bello部分。本章安排如下。第一部分有两个目标。它会同时简要勾勒1945年夏美国决定向广岛投下第一颗原子弹时的处境,并根据正义战争的比例原则标准,考察这些条件是否为使用原子弹提供正当理由。(虽然本文所考察的许多内容显然也适用于长崎,但重点会放在是否使用原子弹的最初决定上,而第一次使用原子弹发生在广岛。)这里也重复第一章测试案例中提出的提醒:阅读本章时,应辅以其他文本,以提供更多关于所讨论案例的资料。本章第二部分探讨非战斗员豁免(或区分原则)是否适用于1945年夏的日本。第三部分则定义并运用伦理神学中的一个经典工具——双重效果原则——来审视投放原子弹背后的意向,并判断在假设非战斗员豁免确实适用于1945年日本的情况下,投放原子弹是否违反了这一原则。

Unsurprisingly, much of the terminology in the questions driving this chapter’s sections comes from the ius in bello part of the just-war theory explained in chapter 7. The chapter proceeds as follows. The first section has two goals. It will simultaneously offer a rudimentary sketch of the situation in the summer of 1945, when the United States made the decision to drop the first atom bomb on Hiroshima, and examine whether or not those conditions justify the use of the atomic bomb according to the just-war criterion of proportionality. (Though much of what is examined in this essay obviously applies to Nagasaki, the focus will be on the initial decision whether to use the atom bomb or not, and the first use of the bomb occurred at Hiroshima.) The caveat stated in the first test-case chapter is repeated here, namely, that reading this chapter should be supplemented by other texts that will provide more data about the case under consideration. The second section of the chapter explores whether noncombatant immunity (or discrimination) even applies to Japan in the summer of 1945. The third section defines and employs a classic tool in moral theology—the doctrine of double effect—to scrutinize the intention behind dropping the atom bomb and determine whether noncombatant immunity, assuming it did indeed apply to Japan in 1945, was violated or not by dropping the atom bomb.

美国决定使用原子弹的背景:比例原则问题

The Context for the United States Decision to Use Atomic Bombs: The Question of Proportionality

ius in bello的讨论中,比例原则这一标准,是为了确保在正义战争中只使用恢复正义所必要的武力。因此,使用原子弹是否属于合乎比例的武力使用,取决于当时的处境。要客观描述一种处境,然后再对其作道德评价,是很困难的。一个人对处境的描述,往往已经充满了评价。例如,决定呈现哪些事实,以及以什么顺序呈现它们,都反映了一个人对如何在该处境中最好地行动的看法。这是合理的,因为我们如何看事情,表明了我们如何正确行动。人们若在如何行动上意见不同,往往也是因为他们看事情的方式不同。

The criterion of proportionality in discussions of ius in bello is an attempt to ensure that only the force which is necessary to restore justice is employed in a just war. So, whether or not the use of the atomic bomb was a proportional use of force depends on the situation at the time. It is difficult to describe a situation objectively and then morally evaluate it. One’s description of a situation is often shot through with evaluations. For instance, deciding what facts to present, and the order in which to present them, reflects one’s position on how to best act in a situation. This makes sense, since how we see things indicates how to act rightly. People who disagree on how to act often see things differently.

不过,尽管描述与评价这两项任务关系极为紧密,并不意味着我们没有办法裁断谁对处境看得更准确。例如,关于1945年夏的处境,并非所有事实都有争议。此外,对于那些有争议的处境主张,我们也可以通过仔细考察现有历史资料,以较好或较差的方式加以支持。换言之,尽管我们承认看清事情并不只是睁开眼睛那么简单,但确实存在更准确或较不准确的方式,来描述美国决定向广岛投放原子弹时的处境。这又一次显示出明智以及正确看清事情在道德上的重要性。

Yet despite how intricately related the tasks of description and evaluation are, it is not the case that we have no ways to adjudicate who sees a situation more accurately. For instance, not all facts of the situation in the summer of 1945 are contested. Furthermore, claims about the situation that are contested can be substantiated in better or worse ways by careful examination of the historical data we have. In other words, despite the recognition that how we see things is not simply a matter of opening our eyes, there are indeed more or less accurate ways to describe the situation in which the decision was made to drop the atomic bomb on Hiroshima. Here is yet another indicator of the moral importance of prudence and seeing things rightly.

本节试图同时达成两个目标:第一,描述1945年夏美国决定向广岛投放原子弹的背景;第二,按照比例原则来评价这一决定。我们承认,不可能先对作出投弹决定时的处境事实作出完整而客观的叙述,然后再把这些事实置于道德审视之下。因此,这里把描述处境与评价比例原则这两项任务放在一起处理。笔者本人不是历史学家,因此这里描述1945年的处境时,依赖历史学家的研究,而这些研究常常是通过写作此题的道德学者的研究接触到的。本节会指出关于该处境的无争议主张,也会承认对该处境存在彼此竞争的叙述。本文会基于这里所理解的最佳处境叙述,对比例原则作出评价。毫不意外,我们会发现,对比例原则的评价差异,往往来自对当时处境究竟如何的不同评估。

This section seeks to achieve two goals at once: first, to describe the context for the decision to drop the atom bomb on Hiroshima in the summer of 1945, and second, to evaluate that decision in the terms of proportionality. In recognition that it is not possible to give a complete and objective account of the facts of the situation in which the decision to drop the bomb was made, and then subject those facts to moral scrutiny, the two tasks of description and evaluation of proportionality are treated together here. Being no historian myself, the research of historians, often accessed through the research of moralists writing on this topic, is relied on here for describing the situation in 1945. This section will note the uncontested claims about the situation, and recognize where there are competing accounts of what that situation was. An evaluation of proportionality will be offered based on what is understood here to be the best account of that situation. Unsurprisingly, we will find that differences in evaluations of proportionality often result from different assessments of what exactly the situation was.

到1945年夏,二战的局势已经明显转向。欧洲战场已于1945年5月结束。在太平洋,美国人正稳步击败日本人,夺回日本在战前和战争期间占领的岛屿。同样清楚的是,这些战斗给美日双方都造成了巨大代价。为了说明这种战斗的人命代价,有一位作者报告说,1945年盟军伤亡约为每周7000人。参见Paul Fussell,《Thank God for The Atomic Bomb》,收录于Paul Fussell编《Thank God for the Atomic Bomb and Other Essays》(纽约:Ballantine Books,1990),18。请注意,这甚至还不包括日方伤亡,而日方伤亡肯定相当,甚至更糟。这显然不是要贬低日方伤亡的重要性。但这里给出美方伤亡数字,是因为所引用的资料中只找到了这些数字。

By the summer of 1945 the tide of World War II had clearly turned. The European theater had ended in May 1945. In the Pacific, the Americans were steadily defeating the Japanese on islands the Japanese had captured during and before the war. It is also clear that these battles were happening at tremendous cost to both sides, American and Japanese. To give some indication of the human cost of this fighting, one author reports that in 1945 Allied casualties were approximately 7,000 per week.See Paul Fussell, “Thank God for The Atomic Bomb,” in Thank God for the Atomic Bomb and Other Essays, ed. Paul Fussell (New York: Ballantine Books, 1990), 18. Note this does not even include Japanese casualties, which would surely be comparable, or even worse.This is obviously not to discount the importance of Japanese casualties. But American casualty figures are given here since only those are found in the sources cited here.

对日本的入侵计划已经推进得相当充分。到1945年7月,预备性轰炸已经开始,而全面入侵预计将在1945年11月展开。没有人否认这种入侵的规划已经在进行,也没有人否认它会造成美日双方生命的巨大损失。最常被引用的数字是,仅为完全控制日本而预计的美军伤亡,就有一百万人。例如参见Fussell,15。另一位作者报告说,约76万名美军士兵将被派往日本南部的九州岛,以发动入侵。鉴于美军在入侵冲绳时承受了35%的伤亡率,仅此一阶段的入侵就可以合理预期造成超过25万名美军伤亡。参见Charles Landesman,《Rawls on Hiroshima: An Inquiry into the Morality of the Use of Atomic Weapons in August 1945》,Philosophical Forum 34,第1期(2003):25。

Invasion plans for Japan were already well under way. Preparatory bombardment had begun by July of 1945, and the anticipated beginning of a full-scale invasion was November 1945. No one contests that planning for such an invasion was underway, or that it would have resulted in an enormous loss of both American and Japanese lives. The most commonly cited figure for anticipated American casualties alone to fully secure Japan was one million people.See, for instance, Fussell, 15. Another author reports that approximately 760,000 American soldiers were to be sent to the southern Japanese island of Kyushu to initiate the invasion. Given the 35 percent casualty rate suffered by American forces in invading Okinawa, this phase of the invasion alone could reasonably be expected to result in over 250,000 American casualties.See Charles Landesman, “Rawls on Hiroshima: An Inquiry into the Morality of the Use of Atomic Weapons in August 1945,” Philosophical Forum 34, no. 1 (2003): 25.

为在广岛使用原子弹所给出的标准辩护是:日本若不在军事上被击败,就不愿投降,而使用原子弹之外的唯一选择,就是全面入侵日本。这个论证接着说,尽管在广岛杀死十万人极其可怕,但它实际上拯救了生命。这个十万人的数字取自Douglas Lackey,《Why Hiroshima Was Immoral: A Response to Landesman》,Philosophical Forum 34,第1期(2003):39。如果使用原子弹促使日本投降,而日本事实上也确实投降了,那么尽管它造成了可怕毁灭,若没有投下原子弹,双方的情况都会更糟。因此,在承认这是一场正义战争的脉络下,在这一具体处境中使用原子弹是正当的,因为它以合乎比例的方式帮助恢复了正义秩序。它不仅使美国在一场正义战争中获胜,而且是以一种比若必须入侵时损失更少生命的方式做到的。(究竟失去的是哪些生命,将在下一节讨论。)

The standard justification given for the use of the bomb at Hiroshima was that Japan was unwilling to surrender without being defeated militarily, and the only alternative to the use of the bomb was a full-scale invasion of Japan. The argument continues by saying that as horrific as killing 100,000 people at Hiroshima was, it actually saved lives.This 100,00 figure is taken from Douglas Lackey, “Why Hiroshima Was Immoral: A Response to Landesman,” Philosophical Forum 34, no. 1 (2003): 39. If using the atomic bomb brought the Japanese to surrender, as the Japanese in fact did, then despite the horrible devastation it wrought, things would have been worse for both sides had it not been dropped. Therefore, granting the context of a just war, the use of the atomic bomb in this particular situation was justified since it helped restore the order of justice in a proportional manner. It not only achieved U.S. victory in a just war, but did so in a manner whereby less lives were lost than had an invasion been necessary. (The question of which lives were lost is taken up in the following section.)

从比例原则角度攻击这种为原子弹所作的标准辩护,最常见的方式,是质疑其中一个假设:1945年8月初,美国可用的选项只有全面入侵或使用原子弹。我们有理由怀疑这并不正确。首先,到战争的这个时点,苏联已经与美国一起加入了对日战争。苏军已经在东亚大陆上彻底击败日军。若想看一篇有帮助且简短、单从比例原则角度反对使用原子弹的文章,参见Douglas Lackey,《Why Hiroshima Was Immoral: a Response to Landesman》。鉴于1945年8月初包围日本的强大力量,主张日本很可能在没有全面入侵的情况下投降,是合理的。

The most common way this standard justification for the atomic bomb is attacked on grounds of proportionality is in its assumption that the only options available to the United States in early August 1945 were full-scale invasion or using the atom bomb. There are reasons to suspect that this is not true. First of all, by this point in the war the Soviet Union had joined the United States in the war on Japan. Soviet forces had soundly defeated Japanese forces on the mainland of East Asia.For a helpful and brief article that argues against the use of the atomic bomb solely on the grounds of proportionality, see Douglas Lackey, “Why Hiroshima Was Immoral: a Response to Landesman.” Given the formidable forces surrounding the Japanese in early August of 1945, it is reasonable to claim that they might well have surrendered without a full-scale invasion.

另有人反驳说,深植于日本人心态中的武士文化,使任何这种不光彩的投降都不可能发生;日本作为一个民族,已决心用任何可用武器抵抗任何入侵军队,直到最后一个男人、女人和孩子。类似论证参见Fussell,《Thank God for The Atomic Bomb》,16–17。另见Landesman,《Rawls on Hiroshima》,23–24,他从John Rawls那里借用了「武士文化」这一说法。当然,我们不可能确定日本人究竟会作出什么回应。

Others retort that the samurai culture so ingrained in the Japanese mentality precluded any such dishonorable surrender, and that the Japanese as a people were committed to fight to the last man, woman, and child, with whatever weapon was available, to resist any invading forces.See Fussell, “Thank God for The Atomic Bomb,” 16–17, for an argument like this. See also Landesman, “Rawls on Hiroshima,” 23–24, for his borrowing of the phrase “samurai culture” from John Rawls. It is of course impossible to know with certainty what the Japanese response would have been.

人们也常提出另外两个结束战争的选项。第一,可以封锁日本,而不是入侵日本。一位作者指出,鉴于盟军在欧洲战场结束时已经疲惫不堪,美国方面对这种旷日持久的策略有所迟疑。日本方面也希望盟军的决心会瓦解,从而可以谈判出比任何包括占领在内的条件都更有利的和平条件。参见Landesman,《Rawls on Hiroshima》,23。无论这一决定有何价值,似乎很清楚的是,1945年夏的美国军方正在准备入侵日本,而不是仅仅进行封锁。

Two other options to end the war are often suggested. First, Japan could have been blockaded rather than invaded. One author suggests that given Allied exhaustion at the conclusion of the war in the European theater, there was hesitance on the part of the Americans for such a drawn-out strategy. There was also the hope on the part of the Japanese that Allied resolve would crumble, and peace could be negotiated on terms for more favorable than any which included, for instance, occupation.See Landesman, “Rawls on Hiroshima,” 23. Whatever the merit of this decision, it seems clear that the United States military in the summer of 1945 was preparing for an invasion of Japan, and not simply a blockade.

提到和平谈判,就引出了第二个常被提出的选项:在不入侵、也不使用原子弹的情况下促成日本投降。无争议的是,1945年间,美国与日本之间一直在进行和平谈判。如上所述,到1945年已经很清楚,美国会以某种方式赢得战争。显然,这些谈判的主要僵持点,是日本方面坚持:如果日本投降,他们的天皇应获得豁免,而不是被起诉。美国方面则坚持日本必须无条件投降。这一分歧使两国之间的和平谈判停滞。然而,在第二颗原子弹投到长崎后,美国立即接受了与日本的和平协议,其中恰恰包括日本先前所寻求的对天皇的保护与豁免。有些人不禁要问:如果这个条件在投弹后可以接受,为什么投弹前就不能接受?参见Lackey,《Why Hiroshima Was Immoral》,40–41。这之所以是一个关于比例原则的论证,是因为它表明,美国本可以不诉诸在广岛杀死十万人的原子弹,就恢复正义秩序。

Mention of peace negotiations raises the second suggested option to secure Japanese surrender without invasion or atom bomb. It is uncontested that negotiations for peace had been underway between the United States and Japan throughout 1945. As noted above, it was clear by 1945 that the United States would win the war in some way or other. Apparently the main sticking point in these negotiations was the insistence on the part of the Japanese that their emperor be given immunity rather than be prosecuted, should the Japanese surrender. For its part, the United States insisted that the Japanese surrender be unconditional. This difference halted peace negotiations between the nations. Yet immediately after the second atomic bomb was dropped on Nagasaki, the United States accepted a peace agreement with Japan that included precisely the protection and immunity for the emperor that the Japanese had earlier sought. Some wonder why this term was acceptable after the bomb if it was unacceptable before the bomb.See Lackey, “Why Hiroshima Was Immoral,” 4–41. The reason that this is an argument of proportionality is that it suggests the United States could have restored the order of justice without recourse to the bomb that killed 100,000 in Hiroshima.

虽然这些是关于使用原子弹是否合乎比例的争论中提出的主要论点,但也有人提出其他观点。一些支持在广岛使用原子弹的人主张,原子弹产生了震撼效果,不仅使日本人想要投降,也使美国更倾向于给予天皇豁免。一些反对者则质疑,在原子弹之前达成一个类似投弹后达成的和平协议,是否真的需要这种震撼。另一些反对者承认需要这种震撼,但主张可以先把原子弹投到日本一个更荒凉的地区来达成这种效果。同上,41。也许这些后一类人认为,如果日本在这种展示力量后仍不投降,那么基于比例原则,轰炸就可以被辩护。

Though these are the main arguments advanced in debates over the proportionality of the use of the atomic bomb, other points have been raised. Some supporters of the use of the bomb at Hiroshima claim that the bomb had a shock effect that not only made the Japanese desire surrender, but also made the United States more inclined to grant the emperor immunity. Some opponents contest whether such a shock was really needed to reach a peace agreement before the atomic bomb that was like the one reached after the bomb. Other opponents grant the need for such a shock, but claim it could have been delivered by dropping the bomb in a more desolate area of Japan first.Ibid., 41. Perhaps these latter people think that had Japan not surrendered after such a display of power, the bombing would have been justified based on proportionality.

请注意,所有这些论证都关乎比例原则。它们都假定,赢得战争是美国的正当目标,美国在道德上有正当理由追求这一目标,但只能以不超过达成该目标所必要的武力的方式来追求。正如上一章讨论不同版本的正义战争思想时所指出的,关注比例原则对任何正义战争论证都是必要的。对比例原则作出判断,依赖于尽可能准确地评估处境。换言之,它依赖于明智。基于本节提出的处境评估,我的立场是:如果单独考察原子弹效果的比例性,那么使用原子弹可以被辩护。换言之,如果原子弹之道德性的全部问题,都由它最终是否拯救了更多生命来决定,那么它的使用就是正当的,并且按照比例原则标准来看是有德的。当然,只有当人采取「正义战争只看比例原则」的正义战争推理方式时,这才可能成为对原子弹道德分析的终点。然而,正如上一章所论证的,正义战争理论还必须关注其他基本要素,尤其是非战斗员豁免。我们现在就转向这些问题。

Note that all of these arguments concern proportionality. They all assume that winning the war was a just goal for the United States, and that the United States was morally justified in pursuing that goal, but only in a way that used no more than that force necessary to achieve the goal. As noted in the previous chapter’s discussion of different versions of just-war thinking, attending to proportionality is essential in any just-war argument. Making determinations of proportionality relies on the most accurate assessment of the situation possible. In other words, it relies on prudence. Based upon the assessment of the situation presented in this section, it is my position that the use of the atomic bomb can be justified if one examines solely the proportionality of its effects. In other words, if the whole of the question of the morality of the atom bomb were determined by whether or not it ultimately saved more lives, then its use was justified, and virtuous in accordance with the criterion of proportionality. Of course, this can only be the end of a moral analysis of the bomb if one adopts a “just-war proportionality alone” approach to just war reasoning. Yet, as argued in that chapter, there are other essential elements of just-war theory to attend to, particularly concerning noncombatant immunity. It is to these that we now turn.

军事化文化中的非战斗员豁免

Noncombatant Immunity in a Militarized Culture

在处理比例原则,并承认如果只考察原子弹破坏性效果的比例性,它可以被辩护之后,ius in bello还剩下两个标准:非战斗员豁免和意向。请回想,一个战争行为必须满足全部三个标准,才能是有德的。接下来一节会同时处理最后这两个标准。但在此之前,我们必须先问一个更先在的问题:1945年夏,日本广岛是否存在非战斗员?

Having addressed proportionality and acknowledged that the atom bomb could be justified if examining solely the proportionality of its destructive effects, there are two criteria of ius in bello that remain: noncombatant immunity and intention. Recall that an act of war must satisfy all three criteria in order to be virtuous. These last two criteria are both addressed in the following section. But before we can do that, we must ask a prior question: were there noncombatants in Hiroshima, Japan in the summer of 1945?

这听起来也许是个奇怪的问题。广岛当然有婴儿、老人和病弱者,他们按这个词的任何常规意义都不能算作战斗员。这当然是真的。但那些更熟悉1945年日本人民与文化的人,描述的是一个彻底军事化的社会。这就是Landesman引用Rawls关于日本武士文化的意思。关于这种心态的有力描述,参见Fussell,《Thank God for The Atomic Bomb》,26–27。他在那里引用一位美国军事情报官公开宣称:「日本没有平民」(27)。他们描述的是一个与军队同心一体的国家,一个为自己的国家感到骄傲并极力保护它的民族,以至于他们会战斗到最后一个人,来抵抗比如说一次入侵。事实上,当时已有政策,使通常会被描述为非战斗员的人,例如儿童、老人以及国内后方的其他人,能够帮助国家抵御任何入侵者。了解当时这种文化的人描述了一种军事化心态,它模糊了,也许甚至抹除了战斗员与非战斗员之间任何清晰的区分。

This may sound like an odd question. Surely in Hiroshima there were babies, and elderly, and invalid people who could not count as combatants in any conventional sense of the term. Of course this was true. But those who are more familiar with the Japanese people and culture in 1945 describe a society that was thoroughly militarized.This is what is meant by Landesman’s citation of Rawls on the Japanese samurai culture. For a powerful description of this mentality, see Fussell, “Thank God for The Atomic Bomb,” 26–27. There he cites one U.S. military intelligence officer as proclaiming publicly, “there are no civilians in Japan” (27). They describe a nation of one heart with the military, and so proud and protective of their nation that they would fight to the very last person to defend it against, say, an invasion. Indeed, policies were in place to enable people who would normally be described as noncombatants, such as children, elderly, and others on the home front, to help defend the nation against any invaders. Those knowledgeable with this culture at the time describe a militarized mentality that blurs, and perhaps obliterates, any clean distinction between combatants and noncombatants.

因此,为了判断1945年的日本是否存在非战斗员,我们必须考察这条ius in bello标准的基础。非战斗员豁免背后的理由是什么?基督教与非基督教的正义战争取向都有一个基本原则:无辜的人绝不可被故意杀害。请回想第七章所考察的美国主教文件《The Harvest of Justice Is Sown in Peace》中这条ius in bello标准。若想看一位并非从明确基督教视角写作、却持守这一标准的正义战争理论家,可参见Michael Walzer在《An Exchange of Views》一文中对Fussell的回应,收录于Paul Fussell编《Thank God for the Atomic Bomb and Other Essays》(纽约:Ballantine Books,1988),23–28。另见他关于正义战争理论的重要著作《正义与非正义战争》第3版(纽约:Basic Books,2006)。为什么?使用武力的目的,是恢复ius,即真正正义的和平。这种状态的一个定义性特征,就是保护无辜生命。因此,在试图恢复ius时违反这一原则,并不只是让人面临智识上不一致或道德伪善的指控。它实际上会反过来破坏一个人所要建立的那种状态。

In order to thus determine whether or not there were noncombatants in Japan in 1945, we must examine the basis of this ius in bello criterion. What is the rationale behind noncombatant immunity? One of the foundational principles of Christian and non-Christian approaches to just war alike is that innocent people must never be intentionally killed.Recall this criterion of ius in bello from the U.S. bishops document, “The Harvest of Justice Is Sown in Peace,” examined in chapter 7. For an example of a just-war theorist who holds this criterion while not writing from an explicitly Christian perspective, see Michael Walzer’s response to Fussell in the essay “An Exchange of Views,” in Thank God for the Atomic Bomb and Other Essays, ed. Paul Fussell (New York: Ballantine Books, 1988), 23–28. See also his important work on just-war theory entitled Just and Unjust Wars, 3rd ed. (New York: Basic Books, 2006). Why? The purpose of the use of force is to restore ius, a truly just peace. One of the defining features of such a state of affairs is the protection of innocent life. So the violation of that principle in the attempt to restore ius does not just open one to charges of intellectual inconsistency or moral hypocrisy. It is actually counterproductive to the very state that one seeks to establish.

这并不意味着战争中没有任何人可以成为攻击目标。它的意思是,那些对触发正义战争的侵略无辜的人,不能成为攻击目标。正义战争理论基于这样一个假设:正义秩序正受到那些违反它的人的攻击。这些侵略者并不无辜,并且放弃了免受攻击的豁免(假定ius ad bellum的所有条件都满足)。因此,只攻击那些被认定对侵略有罪、而不是对侵略无辜的人,是正义战争理论的根本。战斗员/非战斗员的区分,正是为了判断谁有罪、谁无辜。那些积极参与一个国家武装侵略的人被视为战斗员。那些没有这样做的人则被称为非战斗员,按照正义战争理论,不应被故意攻击。

Now this does not mean that no persons can be targeted for attack in warfare. It means no persons can be targeted who are innocent of the aggression which has triggered the just war. Just-war theory rests on the assumption that the order of justice is under attack by those who violate it. These aggressors are not innocent, and sacrifice their immunity to attack (granting all the conditions of ius ad bellum are met). Therefore, attacking only those determined to be guilty of, rather than innocent of, aggression is fundamental to just-war theory. The combatant/noncombatant distinction is precisely the attempt to determine who is guilty and who is innocent. Those who actively participate in the armed aggression of a nation are considered combatants. Those who do not are labeled noncombatants and are, according to just-war theory, not to be intentionally attacked.

对这个基本解释,有几个挑战。第一,归给某人的有罪或无辜,是共同体性的,而不是个人性的。判断一个人在某项个人侵略行为或犯罪(盗窃、谋杀等)中是否有罪,可能需要调查,但相对直接。我们查看所实施的行为,寻找被告一方的动机(意向),然后作出判断。但在比如一个国家这样的共同体层面,这比个人刑事案件复杂得多,因为罪责是共同体性的,而个人与共同体心态和侵略之间的联系可能有强有弱。因此,在赋予某人战斗员或非战斗员身份时,不可能查看个人态度或意向。相反,判断是根据不同平民所实施的行动来作出的。那些从事与共同体侵略更直接相关行动的人(士兵、基地工作人员、军火工人等)被视为战斗员,而其他在行动上与国家侵略没有那么直接联系的人,则被视为不可攻击的对象。当然,这可能意味着,有些人出于某种原因无法战斗,却憎恨敌人、很想战斗,并支持本国侵略,但他们实际上是非战斗员。反过来,也可能有前线士兵是被征召入伍的,厌恶国家的事业,甚至也许厌恶国家领导人,但由于其士兵身份,他们是战斗员。这是战争中一个明显的悲剧:判断一个人的战斗员身份,可能会忽略本可影响这一判断的个人处境。然而,只要承认可以正义地抵抗侵略者,就很难看出还能如何不是如此。

There are several challenges to this basic explanation. First, the ascription of guilt or innocence is a corporate rather than an individual one. Determining a person’s guilt in some individual act of aggression or crime (theft, murder, etc.) may require an investigation, but it is relatively straightforward. We look at the act performed, search for a motive (intent) on the part of the accused, and make a determination. On the corporate level of, say, a nation, this is far more complicated than individual criminal cases, since the guilt is corporate and individuals may have stronger or weaker ties to the corporate mentality and aggression. Therefore, in affording the status of combatant or noncombatant, it is impossible to look at individual attitudes or intentionality. Rather, the determination is made based upon what actions different civilians perform. People engaging in actions that are more directly tied to the corporate aggression (soldiers, base staff, munitions workers, etc.) are considered combatants, while others not so directly connected by their actions to the nation’s aggression are considered off-limits. Of course, this could mean there exist people, for whatever reason, unable to fight who hate the enemy, would love to fight, and support the nation’s aggression, but who are actually noncombatants. Conversely, there could be soldiers on the front lines who are drafted, hate the nation’s cause and perhaps even its leaders, but who are combatants due to their status as soldiers. This is a clear tragedy of war, in that determinations of one’s status as combatant may neglect individual circumstances that could otherwise affect that determination. Yet granting that aggressors may be justly resisted, it is difficult to see how this could be otherwise.

非战斗员豁免的第二个问题,关乎判断哪些活动对一个国家的侵略是不可或缺的,以至于从事这些活动的人应被赋予战斗员身份。换言之,什么行动算是「足够具有作战性」,使一个人算作战斗员?一些作者指出,现代战争尤其如此;民间承包商、电网员工、从事武器研究的科学家,都是其工作对一个国家发动战争的能力至关重要的人,即使这些人不是传统意义上的士兵。那么,谁算作战斗员?

The second problem with noncombatant immunity concerns the difficulty of determining what sorts of activities are integral to a nation’s aggression to grant the person who does them combatant status. In other words, what actions are “combative enough” to make one count as a combatant? Some authors note how this is particularly the case with modern warfare, where civilian contractors, power-grid employees, and scientists doing weapons research are all examples of people whose work is crucial for a nation’s ability to wage war, even if these people are not soldiers in the traditional sense. So who count as combatants?

显然,战斗单位中的士兵是战斗员。在基地上从事非战斗相关工作(清洁、餐饮服务等)的人,通常也被视为合法目标,因为他们如此直接地支持战斗。我们也可以对维修战争武器的机械师,甚至那些在制造武器的军工厂工作的平民,作同样判断。很容易看出,决定谁是战斗员的界线会多么迅速地扩张。有人由此得出结论,认为一个国家的所有公民其实都可以被正当地视为战斗员。毕竟,医生医治后来参战的人。农民种出喂养军队的粮食,鞋匠制作他们穿去作战的鞋。儿童给身为士兵的父母写支持信,并最终自己长成士兵。尤其如果我们把精神支持也纳入对战争努力的贡献,就很难看出谁不算战斗员。鉴于公民以无数方式为一个国家发动战争的努力作出贡献,很难判断究竟谁算作非战斗员。

Clearly, soldiers in fighting units are combatants. People who do non-combat related work (custodial, food service, etc.) on bases are also generally considered legitimate targets, since they so directly support combat. We could say the same of mechanics working on the weapons of war, or even those civilians who work in munitions plants where arms are built. It is easy to see how quickly the lines determining who is a combatant expand. Some have concluded from this that really all citizens in a nation are rightly considered combatants. After all, doctors heal people who later fight. Farmers grow food that feeds the troops, and cobblers make shoes they wear to battle. Children write letters of support to their parent soldiers, and eventually grow into soldiers themselves. Particularly if we include moral support as a contribution to the war effort, it is difficult to see who would not count as a combatant. Given the myriad ways that citizens contribute to a nation’s war-making efforts, it is difficult to determine who exactly counts as a noncombatant.

但是,尽管划出这些界线很困难,许多正义战争理论家坚持,我们必须划出这些界线。关于这种思路的一个很好例子,参见Ford,《The Morality of Obliteration Bombing》。人们常带着怀旧情绪暗示,前现代战争使战斗员与非战斗员很容易区分,事实并非如此。上一段所指出的许多战争支持者,在前现代战争中显然也存在:农民、鞋匠、儿童和精神支持者。这些人确实间接地为一个国家的战争努力作出了贡献,但仍然被视为非战斗员。现代战争方式当然确实使这些判断更加困难:士兵常常不穿制服,并隐藏在平民中;研究与开发人员似乎是直接贡献者;民间承包商和飞行员也可能被要求直接协助士兵。这些例子可能显示出一些场合,在这些场合中,非战斗员豁免的界线需要被重新划定,以承认有一些新形式的活动直接贡献于战争努力。但绝不能牺牲的是这样一种责任:必须解释为什么那些被作为攻击目标的人,直接牵涉于国家的侵略。否则,就会颠覆一个人声称试图在战争中恢复的那种正义本身。

But despite the difficulties posed by having to draw such lines, many just-war theorists insist that draw such lines we must.For a fine example of this line of thinking, see Ford, “The Morality of Obliteration Bombing.” It is not the case, as is often nostalgically suggested, that premodern warfare made it easy to delineate combatants from noncombatants. Many of the war supporters identified in the last paragraph clearly existed in premodern warfare: farmers, cobblers, children, and moral supporters. These people did make indirect contributions to a nation’s war efforts, but were nonetheless deemed noncombatants. It is certainly true that modern styles of warfare make these determinations more difficult: soldiers are often not uniformed and hide among civilians; research and development people seem to be direct contributors; and civilian contractors and pilots may be called upon to directly assist soldiers. These examples may reveal occasions where noncombatant immunity lines need to be redrawn to recognize that there are new forms of activity that directly contribute to the war effort. But what must not be sacrificed is the burden of explaining why those who are targeted are implicated directly in the nation’s aggression. To do otherwise would be to subvert the very justice that one claims to attempt to restore in warfare.

这个问题对于判断1945年夏广岛是否存在非战斗员这一具体问题,有什么相关性?许多人引用当时日本的军事化文化,作为声称整个国家的人民都是战斗员的理由。这是一个危险的错误。它把某种内在态度变成了决定一个人是否为战斗员的特征。当我们看到1945年日本的反美宣传,听到平民发誓要流尽最后一滴血来保卫国家的故事时,怀疑这些人是否应当获得非战斗员的保护,是可以理解的。当一些人曾在展现出同样态度并且极其凶暴的士兵手中受苦时,这尤其可以理解。尽管如此,应当决定人们是否具有战斗员身份的,是人的行动,更具体地说,是人的行动与一个国家发动战争之间有多直接的关系。当然,如果这些平民拿起武器并确实参战,这一身份就改变了,但这只是因为行动改变了。将来有一天会参战的儿童也是如此。虽然这一点显然为真,但他们还没有参战。当他们越过那条界线并参与军事行动时,他们就是合法目标。

What is the relevance of this issue for the specific issue of whether or not there were noncombatants in Hiroshima in the summer of 1945? Many people cite the militarized culture of Japan in this time period as a reason for claiming that the entire nation’s people were combatants. This is a dangerous error. It makes some sort of internal attitude the feature that determines whether or not one is a combatant or not. When we see anti-American portrayals in 1945 Japan, and hear stories of pledges by civilians to defend their nation with every last drop of their blood, it is understandable to wonder whether these people should be afforded the protection of noncombatants. It is especially understandable when some have suffered at the hands of soldiers who demonstrated this same attitude with vicious intensity. Nonetheless, it is people’s actions, and more specifically how directly people’s actions are related to a nation’s war making, that should determine their status as combatants or not. Of course, should such civilians pick up arms and indeed fight, this status has changed, but only because the actions have changed. The same applies to children who will one day fight. Though this is obviously true, they have not fought yet. When they do cross the line and participate in the military, they are legitimate targets.

那些因恐怖主义而受伤的美国人,尤其是在2001年9月11日事件之后,应当特别警惕那些抹除战斗员与非战斗员任何区别的论证。各国或非国家民族可能在何时有正当理由对另一个民族使用武力的问题上存在差异,事实上也一直存在差异。但评估人们愿意使用武力的正义主张的一种方式,就是考察他们是否愿意杀害无辜者。这种愿意杀害无辜者的态度,肯定揭穿了一个人所谓的正当理由。

Americans who are wounded by terrorism, especially after the events of September 11, 2001, should be particularly wary of arguments that obliterate any distinction between combatants and noncombatants. Nations or non-national peoples may differ, and have differed, as to when there is just cause to use force against another people. But one way to assess the justice claims of people’s willingness to use force is to examine their willingness to kill the innocent. This willingness surely belies one’s supposedly just cause.

如果没有非战斗员豁免,那么被锁定国家中的任何人都是合法目标,包括那些通过在世界贸易中心工作而参与资本主义体系的人,或只是身在飞机上的美国公民。这完全不是说,杀害这些人的恐怖分子拥有正当理由。那是另一个问题。但恐怖分子显然违反了任何常规意义上理解的非战斗员豁免。我们期待敌人尊重非战斗员豁免时,也应当警惕自己是否会尊重它,或自己会多么吝啬地给予其保护。

In the absence of noncombatant immunity, any person in a targeted nation is a legitimate target, including people who participate in a capitalist system by working in the World Trade Center, or who are simply American citizens on board an airplane. This is not at all to say that terrorists who kill such people have a just cause. That is a separate question. But terrorists clearly violate noncombatant immunity understood in any conventional sense. We should be wary of how we expect noncombatant immunity to be respected among our enemies when we consider whether to respect it ourselves, or how stingily we will grant its protection.

本节可以得出几个结论。第一,非战斗员豁免是正义地作战的一个基本组成部分。正如第七章以及本章上一节所指出的,有些正义战争理论家只用比例原则来限制武力使用。然而,这里拒绝这种立场。如果一个人真诚寻求恢复正义和平,而这种和平当然会以保护无辜生命为特征,那么拒绝故意杀害无辜非战斗员就是必要的。为了保护无辜者而杀害无辜者,在逻辑上不一致,虚伪,并且适得其反。因此,本文主张,承认非战斗员豁免必须成为任何有德的战争行为的一部分。

Several conclusions can be culled from this section. First, noncombatant immunity is an essential component of fighting a just war. As noted in chapter 7 and in the previous section of this chapter, there are just-war theorists who limit the use of force by proportionality alone. Yet that position is rejected here. Refusing to intentionally kill innocent noncombatants is necessary if one genuinely seeks to restore a just peace that would of course be characterized by protection of innocent life. To kill the innocent to protect the innocent is logically inconsistent, hypocritical, and counterproductive. Therefore, it is argued here that acknowledgement of noncombatant immunity must be part of any virtuous war-making.

第二个结论直接关乎广岛。即使承认必须尊重非战斗员豁免,仍有人可以主张,1945年的广岛没有非战斗员。本文同样拒绝这一立场。鉴于战争的共同体性质,判断有罪或无辜,进而指定某人为战斗员或非战斗员,必须基于一个人的具体活动,以及该活动在多大程度上直接贡献的不是战争制造者本身(比如他们的健康、肚子或精神支持),而是他们发动战争的活动。军火工人、运送士兵上战场的飞行员,以及为入侵军队建造营房的民间承包商,都可能是合法目标。但即使承认这一点,一个国家中绝大多数不战斗的人显然仍然是非战斗员。

The second conclusion concerns Hiroshima directly. Even if one grant that noncombatant immunity must be respected, one could argue that there were no noncombatants in Hiroshima in 1945. This position is also rejected here. Given the corporate nature of warfare, determinations of guilt or innocence which underlie designation as a combatant or noncombatant must be based on a person’s particular activity, and the extent to which the activity directly contributes not simply to the war-makers (in terms of their health, stomachs, or moral support) but to their war-making activity. Munitions workers, pilots who shuttle soldiers to battle, and civilian contractors who erect an invading military’s barracks may all be legitimate targets. But even with this recognition, surely a great majority of a nation’s non-fighting persons remain noncombatants.

试图把一国所有居民都重新定义为战斗员的努力,应当被看清其本质:这是一种自我保护而又自欺的方式,用来为杀害敌方无辜者的欲望辩护,尽管它没有明说地承认无辜者不应被故意杀害。美国人应当记得,当我们的敌人作出正是这种自欺的主张时,我们那种正当的义愤。

Efforts to redefine all a nation’s inhabitants as combatants should be seen for what they are: a self-protective and deluded way to justify the desire to kill the innocent among the enemy, despite an unstated recognition that the innocent should not be intentionally killed. Americans do well to remember our justified outrage when our enemies make just such self-deluding claims.

非战斗员豁免与双重效果原则

Noncombatant Immunity and the Principle of Double Effect

上一节提出了两个结论。第一,战争中应当给予非战斗员豁免。第二,尽管当代战争条件的变化使我们有理由重新思考谁应获得这种保护,但不应通过一种过度宽泛的战争贡献理解,把敌方几乎每个人都变成合法目标,从而在实践上取消这种保护。基于这些主张,本文进一步得出结论:美国在1945年本应尊重非战斗员豁免,而且本应以一种合理方式来理解它,使广岛相当一部分人口,事实上是大多数人口,被理解为非战斗员。

The previous section offered two conclusions. First, noncombatants should be granted immunity in warfare. Second, though changing conditions of contemporary warfare warrant the rethinking of who is afforded this protection, the protection should not be practically eliminated by such a broad understanding of what constitutes a contribution to war-making that nearly every person among the enemy is a legitimate target. Based on these claims, it is further concluded here that noncombatant immunity should have been respected by the United States in 1945, and it should have been understood in a reasonable manner such that a significant portion of the population of Hiroshima, indeed a majority of the population, were understood as noncombatants.

鉴于这些结论,广岛原子弹轰炸似乎明显违反了ius in bello。但实际上,我们还不能马上作出这个判断。即使尊重非战斗员豁免,并且以承认许多人实际上是非战斗员的方式来尊重它,也可能有正当理由故意从事战争行动,而这些行动会悲剧性地杀死大量非战斗员。这怎么可能?广岛是否就是这种情况的例子?为了确定这些答案,我们必须先定义传统的双重效果原则,然后把它应用于投放原子弹。

Given these conclusions, it would seem that the atomic bombing of Hiroshima was a clear violation of ius in bello. But we are actually unable to make that determination just yet. Even those who respect noncombatant immunity, and respect it in a manner that recognizes that many people are actually noncombatants, may be justified in purposely engaging in war-making activities that tragically kill substantial numbers of noncombatants. How can this be? And is Hiroshima an example where this is the case? To determine these answers, we must define the traditional doctrine of double effect and then apply it to the dropping of the atomic bomb.

每一场战争中都会有非战斗员被杀。如果正义地发动战争要求「不杀害非战斗员」,那么没有任何战争会是正义的。(事实上,这正是有些人坚持认为非暴力抵抗是对侵略的唯一有德回应的理由之一。)那么,如果非战斗员豁免的意思不是「不要杀害任何非战斗员」,它是什么意思?如果你回顾本书到目前为止每一次使用非战斗员豁免这个词的地方,就会看到它被定义为不故意杀害非战斗员。是否可能非故意地杀人?回答这个问题,就要诉诸双重效果原则。

In every war noncombatants are killed. If “not killing noncombatants” were required to wage war justly, no war would be just. (Indeed, this is one reason why some insist that nonviolent resistance is the only virtuous response to aggression.) So what does noncombatant immunity mean if it does not mean “do not kill any noncombatants?” If you review every use of the term noncombatant immunity thus far in this book, you will see that it is defined as not intentionally killing noncombatants. Is it possible to kill people unintentionally? The answer to this question invokes the principle of double effect.

在伦理神学中,一直有一个区分:我们的行动造成了哪些结果,以及我们通过行动意欲什么。二者都具有道德相关性,我们甚至可能因二者而受到称赞或责备,但它们并不相同。请看几个例子来说明这一点。先看一个有点傻的例子。我妻子怀孕时常常不舒服又疲倦。可是如果有人对我说:「你妻子意图让自己不舒服」,这有什么意义呢?这不是真的。她确实意图怀孕。她也确实事先知道,怀孕通常意味着有时会格外不舒服和疲倦。但虽然不舒服和疲倦是她怀孕的可预见后果,却不能准确地说她意图让自己不舒服和疲倦。意图某件事,与选择某件带有可预见后果的事,两者有什么区别?请回想第二章,意向会引导行动。它们是我们做所做之事的原因,因此赋予我们的行动意义。它们不仅解释我们的行动,也塑造我们自己。我们成为什么样的人,很大程度上取决于我们的意向。

In moral theology there has always been a distinction between what effects we cause with our actions, and what we intend by our actions. Both are morally relevant, and we may even be praiseworthy or blameworthy for both, but these are not the same. Consider some examples to make this point. First, a silly example. My wife was often sick and tired when she was pregnant. Yet what sense would it make if someone said to me, “your wife intended to be sick”? This is not true. It is true that she intended to get pregnant. It is also true that she knew ahead of time that being pregnant generally entails being extra sick and tired at times. But though being sick and tired was a foreseen consequence of her becoming pregnant, it would not be accurate to say that she intended to be sick and tired. What’s the difference being intending something, and choosing something with foreseen consequences? Recall from chapter 2 that intentions are action-guiding. They are why we do what we do, and thus give meaning to our actions. They not only explain our actions but also shape our very selves. Who we become is in large part determined by what we intend.

如果我妻子是为了变得不舒服和疲倦而怀孕,她就会把自己塑造成一种非常不同的人(也许是寻求关注的人,或有受虐倾向的人),而不是意图与丈夫有一个孩子,并忍受她知道怀孕会带来的副作用后果,比如身体不适。因此,我们意图什么,与我们预见为后果的东西,确实有重要区别,这一点应当很清楚。再看一些更具道德相关性的例子。你可以和男友或女友分手,即使你知道这会伤害他或她;你这样做可能是因为你相信这对你们双方真的最好,因为这段关系没有未来,也可能是因为你意图伤害他或她。这是两种非常不同的行为。一个人可以意图结束一段关系,知道这会伤害对方,却仍然不意图伤害对方。

If my wife were to have gotten pregnant to become sick and tired, she would shape herself to be a very different sort of person (perhaps an attention-seeking person, or a masochistic person) than if she intended to have a child with her husband and to endure the side-effect consequences she knew were entailed with being pregnant, like getting sick. So it should be clear that what we intend and what we foresee as consequences are indeed importantly different. Consider some more morally relevant examples. You can break up with your boyfriend or girlfriend, even though you know it will hurt him or her, either because you believe that is truly best for you both, since the relationship has no future, or because you intend to hurt him or her. These are two very different acts. It is possible to intend to end a relationship knowing it will hurt the person, but still not intend to hurt the person.

再举最后一个例子:一位教授让一个学生不及格,尽管知道这个学生会因不及格而被踢出运动队。说这位教授意图让学生被踢出队,准确吗?也许准确,如果这正是驱使教授给出不及格成绩的原因。但这会是一种非常不同的行为,不同于教授因为学生确实只配得到这个成绩而给出该分数,即使教授知道这名运动员会被踢出队。

As one final example, consider a professor who fails a student, even while knowing that the student will be kicked off her sports team due to the failure. Would it be accurate to say the professor intended to get the student kicked off her team? Perhaps, if that is what drove the professor to give the failing grade. That would be a very different sort of act than if the professor gave the grade because it is what the student truly deserved, even if the professor knew the athlete would be kicked off a team.

有时,我们的行动会产生超出我们在意图该行动时所寻求的结果。我们常把这些称为副作用。它们可能是可预见的,但并非有意为之,因为它们不是驱动行动的东西。(如果它们是,它们就会是意向。)当然,一个人可能因非故意的副作用而应受责备。例如,如果你酒后驾车,并且——愿神保守——开车撞死了人,你很可能并没有意图杀人。但你本应预见酒后驾车的后果,所以你仍然犯了罪。这不是故意的谋杀,而是过失杀人。事实上,我们的法律体系以各种方式追究人们对行为的责任(一级谋杀、二级谋杀、过失杀人等),承认了我们能够以不同方式意图行为,或在有预见到——或可预见——后果的情况下实施行为。

Sometimes our actions have effects that extend beyond those we seek in intending the action. We often call these side effects. They may be foreseen, but they are not intended because they are not what is driving the action. (If they were, they would be intentions.) Of course, one can be blameworthy for unintended side effects. For instance, if you drive under the influence of alcohol and—God forbid—kill someone with your car, you did not likely intend to kill someone. But you should have foreseen the effects of driving under the influence, and so you are still guilty of a crime. It is not murder, which is intentional, but it is manslaughter. In fact, our legal system, with its various ways of holding people responsible for acts (murder one, murder two, manslaughter, etc.) recognizes the varying ways we can intend acts or do acts with foreseen—or foreseeable—consequences.

当一个行动同时有好效果和坏效果(因此是双重效果)时,例如怀孕、与重要伴侣分手,或酒后驾车,我们如何判断自己在道德上是否有正当理由继续行动?双重效果原则正是在这样的处境中使用,用来判断一个带有双重效果的行为是否有德。任何这样的行为若要有德,就必须通过双重效果原则的全部三个条件:

How can we determine if we are morally justified in proceeding with an action that has both good and bad effects (hence double effect), such as becoming pregnant, or breaking up with a significant other, or driving under the influence? The doctrine of double effect is used in precisely such situations to determine whether an act with double effect is virtuous or not. In order for any such act to be virtuous, it must pass all three conditions of the doctrine of double effect:

  1. 意向必须是良善的。

  2. 坏效果不能是达成好效果的手段。

  3. 比例原则:所获得的善必须胜过恶的效果。双重效果原则的大多数表述还包括另一个标准,并把它放在第一位。它是「所选择行为的对象必须是善的或中性的」。然而,这里省略这个条件,因为它似乎预设了结论。双重效果原则帮助我们判断对象是善的还是中性的。如果我们已经知道它是恶的,就没有理由继续考虑是否要做它!此外,我不知道有哪个行为只是不符合双重效果原则这个第一条(被省略的)标准,却没有至少不符合其他三条中的一条。因此,那个被省略的第一条标准至少是多余的。

  1. The intention must be good.

  2. The bad effect cannot be the means to the good effect.

  3. Proportionality: The good gained must outweigh the evil effect.Most formulations of the doctrine of double effect include one more criterion, and place it first. It is “the object of the act chosen must be good or indifferent.” However, that condition is omitted here because it seems to beg the question. The doctrine of double effect helps us determine whether the object is good or indifferent. If we already know it is bad, there is no reason to proceed with considering whether or not to do it! Furthermore, I know of no action that fails solely this first (omitted) criterion of the doctrine of double effect without failing at least one of the other three. Hence, that omitted first criterion is at the very least superfluous.

如果你觉得这听起来晦涩,或过于学术化,我会说,这种推理其实一直在发生,即使我们不用这种术语,也不把它叫作「双重效果」。正是这种思考能够解释,为什么我妻子怀孕可能是有德的,或者教授给一名运动员一个会使她被踢出队的成绩可能是有德的,但酒后驾车却不是有德的。

If you think this sounds arcane, or overly academic, I would suggest that this sort of reasoning actually happens all the time, even if we do not use this terminology or name it “double effect.” It is precisely this sort of thinking that would explain why it could be virtuous for my wife to get pregnant, or a professor to give an athlete a grade that will get her kicked off her team, but why it is not virtuous to drive under the influence.

即使在战争中,这种思考也一直在发生。假设美国处在一场属于正义战争的武装冲突中。一枚炸弹偏离目标,击中医院或学校,杀死数十名无辜非战斗员。美国的回应从来不会是「真可惜!」或「我们认为杀害非战斗员是好的」。相反,回应会是:这并非有意为之。意向是击中一个军事目标。我们会引用统计数字来表明,我们绝大多数武器确实做到了这一点,显示我们确实不是意图杀害平民。当然,每当投下一枚炸弹,军方都知道有可能出现非意图的副作用,也就是无辜者会被杀。这通常被称为「附带损害」。它是发动正义战争这一好效果所伴随的坏效果。当然,它可以被避免。不投炸弹就不会造成平民死亡(好效果),但这也意味着不使用一种可用的方法来打一场正义战争,从而威胁到恢复正义的可能性(坏效果)。当无论一个人选择什么,都会随之而来好效果和坏效果时,应该怎么办?这正是双重效果原则帮助人确定的事情。

This sort of thinking is also done all the time, even in warfare. Assume the United States is in an armed conflict that is a just war. A bomb goes awry and strikes a hospital or school, killing dozens of innocent noncombatants. The American response is never, “too bad!” or “we think it is good to kill noncombatants.” Rather, the response is that it was not intended. The intention was to hit a military target. We cite statistics to show how the vast majority of our weapons did just that, showing that we really were not intending to kill civilians. Of course, any time a bomb is dropped the military knows there is a chance that unintended side effects will occur, namely, innocent people will be killed. This is often called “collateral damage.” It is the bad effect which goes along with the good effect of waging a just war. It of course could be avoided. Not dropping a bomb would result in no civilian deaths (good effect), but it also would not use an available method to fight a just war, thus threatening the possibility of restoring justice (bad effect). What should one do when there are good and bad effects that follow, no matter what one chooses? That is precisely what the doctrine of double effect helps one ascertain.

作为使用这一原则的例子,让我们把它应用到一场正义战争中轰炸城市内军事目标的案例。在这种情况下,很可能会有附带损害。一个人能否以有德的方式使用这样的炸弹?首先,我们必须问是否有良善的意向。既然我们在这里假设这是一场正义战争,并假设我们可以通过其他武器的结果表明,杀害非战斗员并不是使用武器的目标(意向),那么第一个条件就满足了。驱动这一具体行动的意向或目的,是摧毁一个军事目标。第二,坏效果是否是通往好效果的手段或路径?这里所意图的好效果是摧毁军事目标。非战斗员的死亡不仅不是通往这种成功的路径,而且鉴于这种死亡带来的政治代价,它显然本身并不是被欲求的。第二个条件也通过了。

As an example of using the principle, let us apply it to the case of bombing military targets in a city in a just war. In such cases there will most likely be collateral damage. Can one use such bombs in a virtuous manner? First, we must ask if there is a good intention. Since we are assuming a just war here, and assuming we can show through the results of other weapons that killing noncombatants is not the goal (intent) of the use of the weapon, then the first condition is met. The intention, or purpose driving the particular action, is destroying a military target. Second, are the bad effects the means, or path, to the good effects? The good effect intended here is the destruction of military targets. Not only is the death of noncombatants not the path to such success, but given the political costs of such deaths, it is clearly not desired in itself. The second condition is passed.

第三个条件通常构成最大问题。鉴于这次特定打击所追求目标的价值,数十名非战斗员的死亡是否是可接受的损失?如果是数百人呢?数千人呢?这取决于许多因素。所瞄准的目标是什么?平民伤亡的可能性有多大?还有哪些替代方法或时间可以攻击该目标?这些问题中的每一个都假定,一个人是在试图尽量减少非意图的死亡,同时尽量提高达成目标的可能性。大概有些目标值得冒巨大损失的风险。(谁来承担这种损失的风险,常常是关键问题。)也大概有些暴行可怕到绝不可冒险。所有这些都是比例原则的问题。

The third condition generally poses the biggest problem. Are the deaths of dozens of noncombatants acceptable losses, given the value of the objective sought in the particular strike? What if it were hundreds? Thousands? This depends on many factors. What is the objective targeted? How likely are civilian casualties? What alternative methods, or times, of attacking the target are available? The assumption in each of these questions is that one is trying to minimize the unintended deaths while maximizing the likelihood of achieving the objective. Presumably there are some objectives that warrant the risk of great loss. (The question of who risks the loss is often key.) And presumably there are some atrocities that are so awful one must never risk them. All of these are questions of proportionality.

让我们用双重效果原则来评价广岛轰炸。支持这场轰炸的常见论证大致如下。原子弹有好效果和坏效果。好效果是战争更早结束,并因此拯救数十万人的生命。坏效果是十万名日本人的悲剧性死亡。这些数字使轰炸合乎比例(第三条标准)。毕竟,如果没有投下原子弹,广岛的十万人本可以得救(好效果),但其他数十万日本人和美国人就会被杀(坏效果)。因此,呼应本章第一节,广岛原子弹轰炸可以根据比例原则得到辩护。

Let us use the principle of double effect to evaluate the bombing at Hiroshima. The common argument in support of the bombing runs something like this. The atom bomb had good and bad effects. The good effect was an earlier end of the war and the resulting saving of hundreds of thousands of lives. The bad effect was the tragic deaths of 100,000 Japanese. These numbers make the bombing proportionate (criterion three). After all, if the bomb were not dropped, the 100,000 from Hiroshima would have been saved (good effect), but hundreds of thousands of other Japanese and Americans would have been killed (bad effect). Thus, reminiscent of the first section of the chapter, the atomic bombing of Hiroshima can be justified on the grounds of proportionality.

至于意向方面,论证继续说,被意图的并不是平民死亡(这事实上是可怕但合乎比例的副作用),而是要摧毁广岛的军事设施。这个良善意向,加上把原子弹辩护为最终拯救生命的比例推理,使得这一行为在双重效果原则下成为可允许的。

As for intention, the argument continues, it was not the civilian deaths (which were in fact terrible but proportionate side effects) that were intended, but rather the destruction of military installations in Hiroshima that was sought. That good intention, combined with the proportional reasoning justifying the bomb as ultimately saving lives, renders the act permissible under double effect.

然而,就双重效果原则的前两个条件而言,这种推理严重不足。投向广岛的原子弹,其确切意向是什么?首先请注意,这种标准辩护至少有一点是准确的:它没有把「更快结束战争」称为投弹背后的意向。那也许确实是最终目标。但请回想,意向是驱动某一具体行动的目标。而赢得战争并不足以描述这个行为。我们需要某个表述出来的意向,来描述一个人为赢得战争而正在做的具体行为是什么(在这个案例中,就是投下一颗原子弹)。因此,上述理由声称,预定目标是杀死军事人员。作为这种表述出来的意向的一个例子,请看一位作者在回应一位批评者声称这并非原子弹真正意图时如何写道:

This reasoning, however, is seriously deficient as it regards the first two conditions of double effect. What is the exact intention of dropping the atom bomb on Hiroshima? Note first that this standard justification is at least accurate in not naming “ending the war more quickly” as the intention behind dropping the bomb. That may indeed have been the ultimate goal. But recall an intention is a goal that drives a particular action. And winning the war does not suffice to describe this act. Some stated intention is needed to describe what particular act (in this case, dropping an atom bomb) one is doing to win the war. And so the above rationale claims the intended target was killing military personnel. As an example of this stated intention, see how one author, in response to a critic’s claim that this was not truly the intent of the atom bomb, writes:

我认为Walzer说得不对,他说:「虽然广岛有士兵,但他们并不是这次攻击的目标(否则我们就会攻击一个军事基地)。」但广岛就是一个军事基地,是日本第二总军司令部,士兵就是这次攻击的[预定]目标:我们把炸弹准确投在他们阅兵场的一角,杀死了成千上万的士兵。参见Paul Fussell在《An Exchange of Views》一文中的部分。

I think Walzer’s not right when he says: “Though there were soldiers in Hiroshima, they were not the targets of the attack (or else we would have attacked a military base).” But Hiroshima was a military base, the headquarters of the Japanese Second Army, and soldiers were the [intended] target of the attack: we dropped the bomb accurately on the corner of their parade ground and killed thousands of them.See Paul Fussell’s portion of the essay “An Exchange of Views.”

如果这种推理是准确的,也就是说士兵是预定目标,那么双重效果原则的第一条标准就可以通过,至少在那条标准上,这一行为可以得到辩护。

If this reasoning were accurate, that soldiers were the intended target, then the first criterion of double effect could be passed, and this act could be justified at least on that criterion.

这其实是一个事实问题。投放原子弹的意图是什么?很难否认,其意图是摧毁这座城市及其居民,而其中大多数是非战斗员。如果目标真是摧毁一个军事基地,美国已经有技术(不必使用原子弹)来达成这样的目标。考虑到投入曼哈顿计划(即制造原子弹的发展计划)的巨大智力和财力资源,这样的目标几乎无法为这种投入提供正当理由。不,原子弹的目的就是摧毁一座城市,而不是区分战斗员与非战斗员。也许确实有成千上万名士兵被杀。但如果那才是真正意向,就会采用其他方法来达成。意向显然是摧毁一座城市,为了进一步打垮一个民族的士气,使其投降。如果你持有「正义战争只看比例原则」的立场,这就完全说得通。但如果你认为故意杀害平民是不道德的(前面引用的作者为了以他那种方式为这一行为辩护,必然也这样认为),那么这一行为就因其恶的意向而不符合双重效果原则的第一条标准。

This is actually a question of fact. What was the intent of dropping the atomic bomb? It is hard to deny that the intent was destroying the city and its inhabitants, the majority of whom were noncombatants. If the goal were really to destroy a military base, the United States already had the technology (short of an atomic bomb) to achieve such a goal. It would hardly justify the mammoth commitment of intellectual and financial resources, given to the Manhattan Project (as the development project to make the atom bomb was called). No, the purpose of an atom bomb is to destroy a city, and not discriminate between combatants and noncombatants. It may be the case that thousands of soldiers were killed. But if that were the true intention, then other methods would have been employed to achieve it. The intention was clearly the destruction of a city, for the further purpose of demoralizing a people into surrender. If you hold a “just-war proportionality alone” position, this makes perfect sense. But if you think it immoral to intentionally kill civilians (as the previously cited author must think in order to justify the act in the way he did), then this act fails the first criterion of double effect with its bad intention.

投下原子弹的直接意向似乎很清楚,就是摧毁这座城市及其中所有居民,包括非战斗员,以确保更快结束战争并拯救生命这一进一步目标。这就把我们带到双重效果原则的第二条标准,也揭示了为什么投下原子弹同样不符合这个条件。加诸平民人口的可怕痛苦,并不是达成更快结束战争这一进一步目标时的副作用。它是通向那个目标的路径或手段。换言之,只有当原子弹给日本人口造成如此痛苦,以至于该国领导层决定必须停止战争时,战争才会更快结束。这正是实际发生的事。如果攻击军事人员真是意向,那么不仅可以用已经可得的手段达成这一点(如上所述),而且它也不会像原子弹那样迅速结束战争。原子弹之所以能如此迅速地结束战争,正是通过杀死如此多平民。而双重效果原则的第二条标准规定,事情绝不能如此。

It seems clear that the immediate intention of dropping the atomic bomb was to destroy the city and all its inhabitants, including noncombatants, to secure a further goal of ending war more quickly and saving lives. This leads us to the second criterion of double effect, and reveals why dropping the atom bomb also fails that condition. The terrible suffering inflicted on the civilian population was not a side effect in achieving the further goal of ending the war more quickly. It was the path, or means, to that goal. In other words, the war was only going to end more quickly if the bomb inflicted such suffering on the Japanese population that the nation’s leadership decided it must stop the war. This is what happened. If targeting military personnel were truly the intent, not only could this have been achieved with already available means (as noted above), but it also would not have ended the war as quickly as the atom bomb did. The atom bomb only worked to end the war so quickly by killing so many civilians. And the doctrine of double effect’s second criterion states that this must not be the case.

双重效果原则的第三条标准,即比例原则,已在本章第一节处理过。我相信,如果单从比例原则来考察,原子弹可以得到辩护。这显然揭示了正义战争中非战斗员豁免这一原则,对分析广岛原子弹道德性何等关键。请注意,双重效果原则本身无法确立非战斗员豁免的根据;根据已在本章第二节说明。换言之,如果你不认为故意杀害无辜者是错的,那么双重效果原则的应用就会与本节不同。双重效果原则不是一个能立刻并令人信服地判定任何行为道德性的神奇公式。它更是一条可靠原则,帮助人们在无论做什么都会有好效果和坏效果时,梳理哪些行为是正当的。在原子弹案例中,它只在回应那些至少隐含承认故意杀害无辜者是错的人时有帮助,例如本节所引用的那位作者。

The third criterion of double effect, proportionality, was addressed in the first section of this chapter. I believe that the atom bomb could be justified if examined solely in terms of proportionality. This obviously reveals just how crucial the just war tenet of noncombatant immunity is for analyzing the morality of the atom bomb at Hiroshima. Note that the doctrine of double effect, according to which the use of the atom bomb was not justified, is unable to establish the grounds for noncombatant immunity. That was done in the second section of this chapter. In other words, if you do not think purposely killing innocent people is wrong, the application of the doctrine of double effect will look different than it does in this section. The doctrine of double effect is not a magic formula that immediately and convincingly determines the morality of any act. It is rather a reliable principle that helps people sort out what acts are justified when there are good and bad effects no matter what one does. In the case of the atomic bomb, it is only helpful in replying to those people, like the author quoted in this section, who at least implicitly recognize that intentionally killing the innocent is wrong.

结语

Concluding Thoughts

我们现在可以总结前面问题的结论。首先,考察正义战争问题时,一个标准特征是比例原则。换言之,无论是进入一场战争(ius ad bellum),还是如广岛案例中那样发动一场正义战争(ius in bello),这些行为所造成的恶都不能超过这些行为所造成的善。由于比例原则的审议按定义涉及对伤亡、未采取的替代行动路径以及敌方不同反应等事项的预测,这些审议会因这些假设而受到批评。这一点在广岛案例中可见一斑,反对者会问:「是否一定需要入侵?」或「若更早提出给予天皇豁免,是否会使原子弹变得没有必要?」这些都是合理的问题。尽管如此,本文的立场是,尽管投放原子弹极其可怕,但当我们考虑它多么迅速地结束了战争,以及如果不这样做我们本可合理预期会发生什么时,向广岛投弹可以作为合乎比例而得到辩护。

We can now summarize the conclusions of the preceding questions. First, a standard feature of examining just-war issues is proportionality. In other words, the evil caused by either entering a war (ius ad bellum) or, as in the case of Hiroshima, waging a just war (ius in bello) must not outweigh the good caused by those acts. Since deliberations of proportionality by definition involve projecting things like casualties, alternative paths of action not taken, and different enemy responses, these deliberations are subject to criticism on these assumptions. This is seen in Hiroshima when opponents ask things like, “need there have been an invasion?” or “would an earlier offer of immunity to the emperor have made the bomb unnecessary?” These are reasonable questions. Nonetheless, the position is taken here that as horrible as it was, dropping the bomb on Hiroshima can be justified as proportional when we consider how quickly it ended the war and what we could have reasonably expected to happen otherwise.

对于那些只基于比例原则的正义战争理论支持者(如第七章所概述的),这确实就是道德分析的终点。原子弹是正当的。然而,对于那些支持同时基于比例原则与非战斗员豁免的正义战争理论的人,分析尚未完成。由于第七章所解释、并在这里再次看到的理由,美国主教们只认可后一种正义战争理论;而基督教传统一贯见证的是,故意杀害无辜者(即非战斗员)是严重错误,永远不能被辩护。毫不意外,鉴于基督徒把这视为自然法道德规范,许多非基督徒思想家也采纳这种正义战争观。例如参见Michael Walzer,《正义与非正义战争》(纽约:Basic Books,1992)。因此,仍有进一步问题:1945年的广岛是否有非战斗员?如果有,投弹时他们是否被故意杀害?

For those supporters of just-war theory based on proportionality alone (as outlined in chapter 7), this is really the end of the moral analysis. The atomic bomb was justified. However, the analysis is not complete for those who support just war theory based on both proportionality and noncombatant immunity. For reasons explained in chapter 7, and seen again here, the U.S. bishops endorse only the latter just-war theory, and the consistent witness of the Christian tradition is that the intentional killing of innocent person (i.e., noncombatants) is gravely wrong and never justified. Unsurprisingly, given that Christians regard this as a natural law moral norm, many non-Christian thinkers also adopt this view of just war.See, for example, Michael Walzer, Just and Unjust Wars (New York: Basic Books, 1992). So further questions remain: were there noncombatants in Hiroshima in 1945? If so, were they intentionally killed when the bomb was dropped?

至于第一个问题,本文的论证是,即使面对现代战争带来的挑战,仍必须维持战斗员与非战斗员之间的鲜明区分。战斗员这一概念本身基于一种有罪的判定,尽管在战争案例中,这是对有罪的共同体性评估。个人牵涉于一个国家的共同体性行为,是通过他们的行动,而不是他们的态度。此外,判断一个人的行动是否可被视为一个国家侵略的一部分,不应仅仅通过某人行为与对一国军队的某种最终帮助之间的某种因果关系来确立。如果是这样,这类因果关系显然可以在军事活动与几乎任何人之间建立起来——医务人员、城镇里的面包师、写信的祖父母,甚至只是正在长大的儿童。这会摧毁「战斗员」一词任何常规用法。它暗示作出审议的人也许正试图为一种针对非战斗员的行为辩护。当然,在判断非战斗员身份时确实有棘手案例。但如果棘手案例就是刚才提到的那些,那么显然就不存在清楚的非战斗员了。

As for the first question, the argument is made here that it is essential, even given the challenges posed by modern warfare, to maintain a sharp distinction between combatants and noncombatants. The very notion of combatant is based on a determination of guilt, though in the case of war it is a corporate assessment of guilt. The way individuals are implicated in the corporate acts of a nation is by their actions, not their attitudes. Furthermore, determinations of whether an individual’s actions can be considered part of a nation’s aggression should not be established merely by some sort of causal relationship between someone’s act and some ultimate assistance to a nation’s military. If this were the case, surely such causal relationships could be established between military activities and almost anyone— medical staff, town bread-makers, grandparents writing letters, and even children who are simply growing up. This would destroy any conventional use of the term combatant. It suggests the person deliberating may be trying to justify precisely an act against noncombatants. Of course there are tough cases in determining noncombatant status. But if the tough cases are those just mentioned, surely there are no clear noncombatants.

最后,承认在广岛这样的城市中确实有相当数量的非战斗员之后,最后要回答的问题是,原子弹是否是一种故意杀害这些非战斗员的行为,还是可以由双重效果原则来辩护。即使承认比例原则这一标准得到满足,投放原子弹仍然不符合双重效果原则的第二条,甚至第一条条件。当我们承认,更快结束战争这一最终目标是通过杀害非战斗员这一手段或路径来追求时,第二条条件就被违反了。如果我们看所研发武器的性质和其使用方式,第一条标准也被违反了,因为二者都清楚显示,其意向是摧毁一座城市,而不对战斗员与非战斗员作任何区分。

Finally, granting that there are indeed a significant number of noncombatants in cities like Hiroshima, the last question to answer is whether or not the atomic bomb was an act of intentionally killing these noncombatants, or whether it may be justified by the principle of double effect. Granting that the criterion of proportionality is met, the dropping of the atomic bomb still fails the doctrine of double effect’s second and even first conditions. The second condition is breached when we acknowledge that the ultimate goal of ending the war quickly was sought by the means or path of killing noncombatants. Even the first criterion is breached if we look at the nature of the weapon developed and the manner of its use, both of which clearly show the intention to be the destruction of a city without any discrimination between combatants and noncombatants.

我是在某种惶恐中得出这个结论的,因为我意识到它对我的国人,甚至对我在本章导言部分提到的家庭理由,都会带来影响。我应当说明,这里的首要目标不是归责;那项任务需要本文所提供的这类分析,也需要考虑诸如胁迫和良心形成等事项(例如为了判断是否存在不可克服的无知)。这里的主要目标也不是判断投弹是否是某种宇宙性或宗教性的禁忌,或人为强加的限制。这里的主要目标,是判断在二战末期使用原子弹这一行为,是否最好地服务于恢复正义和平,或ius,这一目标;而这当然是任何正义战争的目标。尽管之后确实出现了这样一种和平,我们仍然正确地追问自己:那种正义和平是通过投放原子弹而达成的,还是说,尽管有一个也许更快结束武装冲突、但实际上并不符合美国在一场正义战争中总体上其他方面正义行动的行为,正义和平仍然随之而来?

It is with some trepidation that I come to this conclusion, realizing the ramifications of it for my countrymen, and even for the family reasons I mentioned in introductory section of this chapter. I should note that the primary goal here is not assigning blame, a task that would require the sort of analysis offered here and a consideration of things like duress and the formation of conscience (to determine, for example, whether there was invincible ignorance). Nor is the main goal here to determine whether dropping the bomb was some sort of cosmic or religious no-no, or artificially imposed restraint. The main goal here is to determine whether the act of using atomic bombs at the end of World War II best served the goal of restoring a just peace, or ius, which is certainly the goal of any just war. Despite the fact that precisely such a peace ensued, we rightly ask ourselves if that just peace was attained by dropping the atomic bomb, or whether the just peace ensued despite an act which may have ended armed conflict sooner, but which actually was not consonant with the generally otherwise just actions of the United States in a just war.

从这个角度看,非战斗员豁免规则并不是对一个寻求恢复并守护正义的共同体(如国家)的行动所施加的某种人为或外在限制。如果目标真是恢复正义和平,它就是这些行动的必要要求。虽然看起来好像只是某条关于非战斗员豁免的奇怪规则,使原子弹不能成为正义的,但本文的主张是,非战斗员豁免并不是某条奇怪或随机的规则,而是正义地追求ius的构成部分(这是有意重复!)。你也许可以通过偶尔一顿毒打来制止孩子的不良行为,但我们会正确地怀疑,这样的毒打是否不仅败坏随之而来的和平,也败坏父母与孩子双方的品格。故意杀害那些本应受到我们试图建立的和平所保护的人,也是如此。

From this perspective, the rule of noncombatant immunity is not some artificial or externally imposed restriction on the actions of a corporate body (like a nation) seeking to restore and guard justice. It is a necessary requirement of those acts if the goal is truly to restore a just peace. Though it may seem like some odd rule about noncombatant immunity is the only thing keeping the atom bomb from being just, the claim here is that that noncombatant immunity is not some odd or random rule, but constitutive of pursuing ius justly (which is purposely redundant!). You may be able to stop a child’s bad behavior by an occasional brutal beating, but we rightly wonder whether such beatings corrupt not only the peace that ensues, but also the very characters of both the parent and child. The same is true of intentionally killing those who are to be protected by the very peace we are trying to establish.

在二战中,当然也在此前和此后,美国总体上遵守非战斗员豁免,而且这样做是对的。这应当使我们更加质疑像广岛原子弹(以及德国的毁灭性轰炸)这样的异常事件。我们也应当警惕一种决定所带来的可怕后果:即认为非战斗员身份应当受到尊重,除非在人的整个生活方式受到威胁的极端处境中;这可能被用来为原子弹之类事件辩护。关于这一立场的更多内容,可研究John Rawls的极端危机例外。他在广岛语境中对此的讨论,可见《广岛五十年后》,收录于Samuel Freeman编《文集》(剑桥,MA:Harvard University Press,1999),565–72。今天有些人正是感到自己的民族受到这种威胁,并通过瞄准无辜者来杀害,以回应他们所感受到的不义。美国近来就在这些人手中付出了惨重代价。恐怖主义最明显的不义之处,就是瞄准平民,这是一个ius in bello问题。我们也可以主张,这些敌人的总体事业是不义的,而且很可能确实如此。但故意杀害无辜者,肯定进一步败坏了,甚至取消了他们事业的正义性。并且,如果治理各民族回应所感受到的不义的,不只是ius ad bellum的条件(这些条件确实可能有争议),还包括ius in bello的条件,包括非战斗员豁免,那么各国人民肯定都会更好。美国很应该思考,它所追求的和平是否是一种可以有时暂停非战斗员豁免的和平,也该思考我们作为一个国家,是否愿意在同样会暂停正义战争理论这一关键部分的其他人手中受苦。

In World War II, and certainly before and since, the United States generally observes noncombatant immunity, and rightly so. This should make us question anomalies like the atom bomb at Hiroshima (and obliteration bombing in Germany) even more. We should also beware the dire ramifications of deciding that noncombatant status is to be observed, except in drastic situations when one’s very way of life is threatened, a possible justification for events like the atom bomb.For more on this position, research John Rawls’s extreme-crisis exception. His discussion of it in the context of Hiroshima can be found in “Fifty Years After Hiroshima,” in his Collected Papers, ed. Samuel Freeman (Cambridge, MA: Harvard University Press, 1999) 565–72. Some today perceive precisely such a threat to their people, and respond to that perceived injustice by targeting innocent persons to kill. The United States suffered dearly at the hands of such people recently. What is most blatantly unjust about terrorism is the targeting of civilians, an ius in bello issue. We may also claim that the overall cause of these enemies is unjust, and it may well be. But surely the justice of their cause is further corrupted, if not eliminated, by intentionally killing innocents. And surely peoples of all nations would be better off if what governed their responses to perceived injustices were not only the conditions of ius ad bellum (which may indeed be contested), but also the conditions of ius in bello, including noncombatant immunity. The United States would do well to consider if the peace it pursues is one where noncombatant immunity can be suspended at times, and if we as a nation are willing to suffer at the hands of others who would similarly suspend this crucial portion of just-war theory.

当然,坚定委身于遵守非战斗员豁免等规则,可能意味着在正确关系通过不与那和平相反的手段得以重建之前,要承受更多痛苦。有德地生活,即使从幸福道德的视角看,也可能在我们当前处境中包含巨大代价和痛苦。以构成正确关系的方式行动,会使人容易受不遵守同样规则的人伤害。没有什么地方比战争问题更明显,因为在战争中,遵守非战斗员豁免等规则的即时代价,可能危及那些受托保卫共同善的士兵的生命。然而,有德生活所带来的困难并不限于战争。事实上,它们也存在于日常生活中。因此,现在转向最后一项枢德——勇毅——是合适的;它正是处理如何面对困难并良好地忍受痛苦。

Of course, a commitment to stand fast in observance of rules such as noncombatant immunity may entail more suffering before right relations are reestablished by means which are not antithetical to that peace. Living virtuously, even from a morality-of-happiness perspective, can entail great cost and suffering in our present condition. Acting in a manner constitutive of right relations renders one vulnerable to others who do not observe the same rules. Nowhere is this more evident than in questions of warfare, where the immediate cost of observing rules such as noncombatant immunity may imperil the lives of soldiers charged with defending the common good. Yet the difficulties posed by living virtuously are not limited to warfare. In fact, they are present in everyday life. And so it is fitting to turn now to the last of the cardinal virtues, fortitude, which deals precisely with facing difficulties and enduring suffering well.

研读问题

Study Questions

  1. 根据对1945年夏处境的讨论,你是否同意本章所主张的,投放原子弹是合乎比例的武力使用?为什么?你认为哪些条件或因素在道德上最相关?

  2. 为什么战争中会有非战斗员?非战斗员豁免是根据什么来判定的?

  3. 请定义双重效果原则并列出其条件。用一个简单案例来说明它如何运作。

  4. 广岛轰炸是否符合双重效果原则?请解释你的答案。

  1. According to the discussion of the situation in the summer of 1945, would you agree with this chapter’s claim that dropping the bomb was a proportionate use of force? Why? What conditions or factors do you think most morally relevant?

  2. Why are there noncombatants in war? On what basis is noncombatant immunity determined?

  3. Define the principle of double effect and give its conditions. Use it on an easy case to show how it works.

  4. Does the bombing at Hiroshima pass or fail the doctrine of double effect? Explain your answer.

需了解的术语

Terms to Know

双重效果原则(包括其条件)、非战斗员豁免、比例原则

doctrine of double effect (including its conditions), noncombatant immunity, proportionality

进一步思考的问题

Questions for Further Reflection

  1. 基于你的立场,你会如何击败或强化第一节的论证?

  2. 你会如何判断谁算作非战斗员?请举出一些棘手案例,并说明这个人是否会是合法目标。

  3. 你认为是否曾经可以为故意杀害非战斗员辩护?为什么或为什么不?

  4. 「敌人」与「非战斗员」这两个词之间有什么区别(如果有的话)?

  1. Based on your position, how would you defeat or strengthen the argument of the first section?

  2. How would you determine who counts as a noncombatant? Give some tough cases and say whether the person would be a legitimate target or not.

  3. Do you think it is ever justifiable to intentionally kill noncombatants? Why or why not?

  4. What difference, if any, is there between the terms enemy and noncombatant?

延伸阅读

Further Reading

本章最具影响力的著作,很容易说就是上文引用的John Ford的论文《The Morality of Obliteration Bombing》。虽然写于1944年,因此显然没有讨论原子弹,但它是清晰道德分析的典范,也处理了一个与投放原子弹非常密切相关的问题。它值得细读。

The most influential writing on this chapter is easily John Ford’s essay cited above, “The Morality of Obliteration Bombing.” Though written in 1944, and thus obviously not addressing the atom bomb, it is a model of clear moral analysis, and also addresses an issue that is very closely related to the dropping of the atomic bomb. It rewards close reading.

总体来看,关于二战、原子弹研发,以及原子弹投放和后果的文献确实极其庞大。对本章最具塑造作用的文章,包括Paul Fussell与Michael Walzer在论文集《Thank God for the Atomic Bomb and Other Essays》中的交锋,以及Charles Landesman与Douglas Lackey在2003年Philosophical Forum卷中的交锋。

The literature on World War II in general, the development of the bomb, and the delivery and aftermath of the bomb is literally immense. The most formative pieces on this chapter include the exchange between Paul Fussell and Michael Walzer in the collection of essays entitled Thank God for the Atomic Bomb and Other Essays, and the exchange between Charles Landesman and Douglas Lackey in the 2003 volume of Philosophical Forum.