埃伦·伍德：《资本主义的起源：一个更长远的视角》读书笔记

导论

伍德对资本主义的定义如下，“资本主义是具有如下特征的一种制度：在这种制度中，构成生活中最基本需求的产品和服务是为了以获利为目的的交换而生产，甚至人类的劳动力都成为市场中的一种商品，且所有的经济主体都依赖于市场。……资本主义是这样一种系统：社会中绝大部分工作都由无财产的工人完成，他们也必须出卖劳动力以换取工资，从而能够获得生活及劳动本身所需。在供应社会需求的这一过程中，工人同时也在为那些购买他们劳动力的人创造着利润。事实上，产品和服务的生产过程从属于资本和资本利润的生产。换言之，资本主义制度的基本目标即是资本的生产和自我扩充。”【2】（Capitalism is a system in which goods and services, down to the most basic necessities of life, are produced for profitable exchange, where even human labour-power is a commodity for sale in the market, and where all economic actors are dependent on the market. p.2. … it is a system in which the bulk of society's work is done by propertyless labourers who are obliged to sell their labour-power in exchange for a wage in order to gain access to the means of life and of labour itself. In the process of supplying the needs and wants of society, workers are at the same time and inseparably creating profits for those who buy their labour-power. In fact, the production of goods and services is subordinate to the production of capital and capitalist profit. The basic objective of the capitalist system, in other words, is the production and self-expansion of capital. p.3.）对资本主义起源的循环解释：为了解释资本主义独特的追逐利润最大化的驱动力，假设在世界上存在一种追求利润最大化的普世理性；为了解释资本主义以技术手段来推动劳动生产率改进的驱动力，同样假设在劳动生产率中存在一种持续不断的、几乎是自然而然发生的技术进步过程。【3】（Almost without exception, accounts of the origin of capitalism have been fundamentally circular: they have assumed the prior existence of capitalism in order to explain its coming into being. In order to explain capitalism's distinctive drive to maximize profit, they have presupposed the existence of a universal profit-maximizing rationality. In order to explain capitalism's drive to improve labour-productivity by technical means, they have also presupposed a continuous, almost natural, progress of technological improvement in the productivity of labour. p.4.）伍德认为这些逃避正题的解释根植于古典政治经济学及启蒙运动时期的“进步”概念。【3】（These question-begging explanations have their origins in classical political economy and Enlightenment conceptions of progress. p.4.）对资本主义及其起源解释中，“政治性”的藩篱，“经济”被定义为交换或市场，假设：资本主义的种子包含在最原始的交换行为中及任何形式的贸易或市场行为中”；通常这一假设与另一个假设相关，即“历史几乎就是一个技术发展的自然过程”。【4】（Typically, these fetters are political: the parasitic powers of lordship, or the restrictions of an autocratic state. Sometimes they are cultural or ideological: perhaps the wrong religion. These constraints confme the "free movement of 'economic' actors, the free expression of economic rationality. The 'economic' in these formulations is identified with exchange or markets; and it is here that we can detect the assumption that the seeds of capitalism are contained in the most primitive acts of exchange, in any fonn of trade or market activity. That assumption is typically connected with the other presupposition: ·that history has been an almost natural process of technological development. One way or another, capitalism more or less naturally appears when and where expanding markets and technological development reach the right level, allowing sufficient wealth to be accumulated so that it can be profitably reinvested. Many Marxist explanations are fundamentally the same - with the addition of bourgeois revolutions to help break the fetters. pp.4-5.）效果是强调非资本主义社会与资本主义社会之间的“延续性”，且否认或掩盖资本主义的“特异性”。【4】（The effect of these explanations is to stress the continuity between non-capitalist and capitalist societies, and to deny or disguise the specificity of capitalism. Exchange has existed more or less forever, and it seems that the capitalist market is just more of the same. In this kind of argument, because capitalism's specific and unique need constantly to revolutionize the forces of production is just an extension and an acceleration of universal and transhistorical, almost /latl/ral, tendencies, industrialization is the inevitable outcome of humanity's most basic inclinations. So the lineage of capitalism passes naturally from the earliest Babylonian merchant through the medieval burgher to the early modern bourgeois and finally to the industrial capitalist. p.5.）在伍德看来，对历史过程的传统解释，核心是一些或明或暗的对人性以及特定机会情境下人类行为模式的假设，于是人们总能给自己找到机会通过交换活动使利润最大化，并为了实现上述偏好，也总能找到提高劳动生产率的方法。【4-5】（Central to these conventional accounts of history are certain assumptions, explicit or implicit, about human nature and about how human beings will behave, if only given the chance. p.5.）经典解释模型中的“机会论”，如“市场”作为机会。市场力量意味着强制，但在资本主义意识形态中却暗示自由而非强制，确保这种自由的恰是某些确保理性经济得以运转的特定机制，市场的强制性在强迫经济主体采取“理性”行为以最大化其选择与机会的意义上成立，这意味着资本主义是机会与选择的最优条件。【5】伍德坚持市场即强制，并重申马克思“商品拜物教”的论断。【5-6】本书副标题“长远”目的是挑战资本主义的自然化论点，强调它是历史上一种独特的社会形式，是具有历史意义的与更早社会形式的断裂【6】

第一部分 转型的历史

第一章 商业化模式及其对后世的影响

商业化模式，自然化的解释。【11】当市场从古老的桎梏中被解放，且当贸易机会因某种原因而扩大之时，资本主义方才出现。资本主义与早期社会形式并非断裂而是量的积累。且对桎梏的整体移除仅仅发生在西方。【12】（capitalism emerged when the market was liberated from age-old constraints and when, for one reason or another, opportunities for trade expanded. In these accounts, capitalism represents not so much a qualitative break from earlier forms as a massive quantitative increase: an expansion of markets and the growing commercialization of economic life. p.12.）蛮族对罗马帝国的入侵；皮雷纳穆斯林的入侵导致由商人阶层引领的“交换的经济”为封建领主“消费的经济”取代；【12】共同假设，贸易与市场形式具有延续性，彰显于最初的交换活动，成熟于现代工业资本主义。【13】马克思《资本论》第一卷中“原始积累”【13】另一个主题，资产阶级作为“进步代理人”【13】商业化模式假设资本主义自历史发端之时便一直存在，人们如果有机会总会依据资本主义理性行事。理想状态下市场是充满选择的场域，商业社会应是自由的最完美表现，但此处的市场似乎将人类自由排除在外，更多与一种历史理论密切相关【15】（There is, of course, a major paradox here. The market was supposed to be an arena of choice, and 'commercial society' the perfection of freedom. Yet this conception of the market seems to rule out human freedom. It has tended to be associated with a theory of history in which modern capitalism is the outcome of an almost natural and inevitable process, following certain universal, trans historical, and immutable laws. The operation of these laws can, at least temporarily, be thwarted, but not without great cost. Its end product, the 'free' market, is an impersonal mechanism that can to some extent be controlled and regulated. but that cannot fmally be thwarted without all the dangers - and the futility - entailed by any attempt to violate the laws of nature. pp.16-17.）① 从韦伯到布罗代尔对商业化模式的理论提炼。【15-6】② 人口学模式对皮雷纳的批判，欧洲经济发展归因于特定且不受外力干扰的人口增减。【16】③ “世界体系”理论，特别是与“依附理论”相提并论时。与商业化模式的共通之处，商业活动增加以及随之而来的“原始积累”促进贸易规模不断扩大，后者被视为资本主义发展程度的量表。沿着资本主义方向，经济发展会达到新水准，贸易活动的扩大及商业财富的积累不会面临任何障碍。未能产生成熟资本主义只能说明存有障碍。【17】（This account has much in common with the old commercialization model. The extent of trade is the index of capitalist development, which arises from the growth of commercial activity and the 'primitive accumulation' that follows from it. Economies develop in a capitalist direction to the extent that the e>..'pansion of trade and the accumulation of commercial wealth is free from impediments. Just as the old model treated the emergence of 'commercial society' as a more or less natural process in the absence of obstacles, this world systems theory to a significant extent shares that view or simply inverts it: if some already well-developed economies failed to produce a mature capitalism, it was because they were thwarted by obstacles put in their way. p.19.）④ 佩里·安德森，资本主义是渐进增长过程的结果【17-8】⑤ 迈克尔·曼，欧洲发展的驱动力在于技术进步与商业扩展，这取决于各种限制的消失，即封建主义分权化的、碎片化的政治秩序使得各种不同的行动者（尤其是商人）拥有了相当程度自主性，且由于社区或阶级组织都未能占有垄断性权力，私人财产得以被允许发展成资本家财产。⑥ 值得注意的例外，波兰尼。挑战了斯密“经济人”以及“互通有无、以物易物、相互交易”的自然秉性的假设【19】前市场社会汇总，互补性而非竞争性的；现代的“市场社会”中才有独特的“经济动机”以及区别于非经济关系的独特经济制度和经济关系，社会关系嵌入经济而非经济关系嵌入社会。【20】断裂性而非连续性【21】欧洲中心论的假设，即只有欧洲才具备消除资本主义自然发展的障碍并允许其从城市社会和贸易源头逐渐成熟进步的观点【23-4】反对欧洲中心论这挑战了欧洲的首要地位，但非欧洲社会走上比欧洲中心论模式更彻底的资本主义道路这一观点似乎并不具有任何优势，这恰恰接受了旧有模式的首要前提，于是对该模式及其自然演进的资本主义似乎并不能造成任何有效挑战，而是强相遇强化欧洲中心论的论点，即资本主义的缺失在某种意义上是历史的失误。【24】That model was based on the premise that Europe deserves the credit for lifting barriers to the natural development of capitalism, permitting it to grow to maturity from its origins in urban society and trade. At least some anti-Eurocentric arguments proceed by challenging European primacy in that achievement. But it is hard to see the advantage of arguing that non-European societies with more highly developed urban civilizations and trading systems were further down the road of capitalist development than is acknowledged by Eurocentric versions of the model. That seems a peculiarly ineffective challenge to the old model and its naturalization of capitalism, accepting that model's very first premise. More particularly, such arguments tend to reinforce the deeply Eurocentric view that the absence of capitalism is somehow a historic failure (a rather counterproductive line of thought for clities of capitalism). p.27.

第二章 马克思主义阵营内的争论

资本主义旧有解释模式，充满悖论的混合体，融合了超越历史的决定论和“自由”市场的能动论，且资本主义市场既是不可改变的自然规律，也是人类抉择和自由的完善。【29】（The old models of capitalist development were a paradoxical blend of transhistorical determinism and 'free' market voluntarism, in which the capitalist market was both an immutable natural law and the perfection of human choice and freedom. p.34.）反命题：完全承认资本主义的迫切性，同时也承认这种迫切性并非植根于某些超越历史的自然规律，而是植根于某种历史的具体的社会关系中，而这种社会关系由人类行动所构成并具有可变性。【29】（The antithesis of such models would be a conception of the capitalist market that fully acknowledges its imperatives and compulsions, while recognizing that these imperatives are rooted not in some transhistorical natural law but in historically specific social relations, constituted by human agency and subject to change. p.34.）马克思主义阵营内部关于资本主义起源的分歧：

1. 马克思本人。两种叙述，《德意志意识形态》和《共产党宣言》中，资本主义的起源“与其说是被解释的不如说是先定的，即一种等待着被冉冉兴起的资产阶级最终打碎封建枷锁时所释放的新型社会关系。”【30】（the origin of capitalism is not so much explained as presupposed, as a new social form waiting to be released by the rising bourgeoisie when it finally throws off its feudal shackles. p.35.）《政治经济学批判大纲》和《资本论》中，特别是“所谓原始积累”的剖析中与旧范式断裂。财富本身并非“资本”，并且资本是一种具体的社会关系；为简单的财富积累并非资本主义起源的决定性因素；实际上，是社会产权关系的转型最终促使财富转化为“资本”。【31】（While the accumulation of wealth was obviously a necessary condition of capitalism, it was far from being sufficient or decisive. What transformed wealth into capital was a transformation of social property relations. p.36.）“所谓原始积累批判”的实质是[不论财富的积累是源自公然的盗窃、帝国主义掠夺，还是商贸收益，甚或商贸收益中对劳动力的剥夺，其本身并不构成资本，也不会产生资本主义。资本主义特定的前提条件就是社会产权关系的转型，它产生了资本主义的“运动规律”，即竞争与收益最大化的迫切性、对剩余价值进行再投资的冲动，以及对提升劳动生产率和发展生产力的系统化且持续的需求。]【31】The essence of Marx's critique of 'the so-called primitive accumulation' (and people too often miss the significance of the phrase 'so-called') is that no amount of accumulation, whether from outright theft, from imperialism, from commercial profit, or even from the exploitation of labour for commercial profit, by itself constitutes capital, nor will it produce capitalism. The specific precondition of capitalism is a transformation of social property relations that generates capitalist 'laws of motion': the imperatives of competition and profit-maximization, a compulsion to reinvest surpluses, and a systematic and relentless need to improve labour-productivity and develop the forces of production. pp.36-7. 社会产权关系转型发生在英国乡村，具体形式是直接生产者财产的被没收，地主从资本佃农的商业收益中收取日益增多的地租，大量小生产者逐渐失去财产并沦为雇佣劳动者，转型催生了新的经济迫切性（尤其是竞争的冲动和发展生产力的系统化需求）而非创造巨额财富。【31】马克思这一论点的核心是对资本主义历史独特性的坚持，即在非常独特的历史条件下资本主义有其历史起始点，因此它也必然会有一个可预见的终结点。资本主义不是某种不可避免的自然进程的结果，故而它也不可能是历史的终结。【31-2】（At the heart of this argument was Marx's insistence on the historical specificity of capitalism. This meant that capitalism had a historical beginning, in very specific historical conditions, and therefore it had a conceivable end. Capitalism was not the product of some inevitable natural process, nor was it the end of history. p.37.）

2. 转型之争，斯威齐和多布，核心问题在于如何安置从封建主义到资本主义转型的第一推动力，是封建主义的基本构成关系（地主-农民关系）内部产生，还是外在于此由贸易活动的扩展而产生？【32】① 多布和希尔顿，封建主义瓦解和资本主义勃兴都是封建主义生产关系内部要素导致的，即地主和农民之间的阶级斗争（使小商品生产摆脱封建主义束缚而解放），而非贸易活动和城镇，后者内在于封建制度。【33】② 斯威齐，封建主义本质上是顽固且抵制改变的，故而促使其解体的主要推动力必然是外在的。【33】贸易的扩大为封建主义解体以及进入本质上不稳定的“前资本主义商品生产”阶段提供了充分条件，大变在资本主义后续发展进程中有一个独特阶段。【34】罗伯特·布伦纳把弗兰克和沃勒斯坦批评为“新斯密主义者”【35】在伍德看来，多布和希尔顿并为挑战商业化模式的所有基本假设，同样认为资本主义是在封建主义的束缚被移除时才出现的；斯威齐却触及了问题核心。【35】

3. 佩里·安德森论绝对主义和资本主义。绝对主义国家（封建的）的重要阶段。【38】在伍德看来，安德森只是对商业化模式的细微改进【40】“　我们可以确定地说，欧洲贸易体系是资本主义的必要条件，但我们却不能假设，商贸活动和资本主义二者是一回事，或前者仅经过一个简单增长过程就能转化为后者。安德森提出的假设恰是需要仔细证实的，即商贸活动或者说为市场而进行的生产（人类历史中分布最广泛的活动）依靠简单的扩展（及在某个时刻达至临界点〉就能转变为资本主义。换言之，他的观点受困扰商业化模式许久的循环论证的影响非常深。”【41】（We can certainly say that the European trading system was a necessary condition of capitalism, but we cannot just assume that cornrnerce and capitalism are one and the same, or that one passed into the other by a simple process of growth. Anderson has assumed the very thing that needs to be demonstrated, namely that cornrnerce, or indeed production for the market (a wide-spread practice throughout much of recorded history), became capitalism by means of sheer expansion, which at some point achieved a critical mass. His argument, in other words, suffers from the very circularity that has always affiicted the cornrnercialization model. p.49.）

第三章 马克思主义的替代理论

布伦纳之争，批评人口学模式和商业化模式，认为二者无法解释下述事实：“相同的因素在不同的国家却产生了非常不同的（甚至是相互对立的）效果，在阶级间的收入分配以及长期的经济增长与生产力的发展等方面都带来了不同的后果。”【43】替代性框架：集中关注社会产权关系的不同配置，这些产权关系觉得了其他要素（如人口增长周期或贸易扩张）在不同场景下产生的不同效果。【43】布伦纳与多布、斯威齐、希尔顿等人观点的异同【44-5】反对者的批评【46-50】特别注意布伦纳的如下观点，即“当生产者变得开始依赖于市场，从而受制于竞争的迫切性时，资本主义独特的运作机制便开始发挥作用，这一过程甚至在他们并未完全与生产工具分离，且他们对维持生计工具的占有和使用完全依赖市场时亦是如此”，认为他强调新型经济逻辑的独特性以及对机制令人信服的解释。【50】少数真正研究“转型过程”的学者。【51】（Brenner is one of a very few writers who actually do deal with a process of transition, the transformation of one kind of society into another, one set of rules for reproduction into another, one historical dynamic into another. p.61.）《商人与革命》，现代早期英国商人在资产阶级革命中的重要作用。批评家认为，“既然布伦纳认定资本主义诞生于乡村地区，那么他就应该在本质上承认资产阶级和资产阶级革命的重要性。”如佩里·安德森。【51】理解英国资本主义区别并转化了欧洲其他地区贸易的性质【53】汤普森《英国工人阶级的形成》“剥削”一章，【54-57】伍德最后提出，“学界最标准的资本主义历史解释模式的主要问题是，它们既以那些掩盖了资本主义独特性的假设前提为理论起始点，又以其为理论终结点。我们需要一种新的历史解释模式，从而使这种独特性获得释放：这一模式承认商业收益获取与资本主义积累之间的不同、作为机会的市场与作为迫切性的市场之间的不同，以及技术进步的跨历史过程与资本主义推动劳动生产率进步的独有驱动力之间的不同。因此, 我们需要在社会产权关系与阶级关系中探寻这种资本主义独特性的根源。”【57-8】the main problem in most standard histories of capitalism is that they start - and end - with assumptions that obscure the specificity of capitalism. We need a form of history that brings this specificity into sharp relief, one that acknowledges the difference between commercial profittaking and capitalist accumulation, between the market as an opportunity and the market as an imperative, and between transhistorical processes of technological development and the specific capitalist drive to improve labour productivity. We need to trace these specificities of capitalism to their roots in forms of social property and class relations. p.69.

第二部分 资本主义的起源

第四章 商业抑或资本主义？

资本主义是封建主义的必然结果的观点，根植于如下信条：封建主义“分散的独立小国”缝隙中成长起来的自治城镇不仅是摧毁封建主义体系的天然敌人，而且是封建主义体系中能够催生资本主义的“不速之客”【61-2】（The tendency to take for granted that capitalism was an inevitable, if antagonistic, outgrowth of European feudalism is, as we have seen, rooted in the conviction that the autonomous town that grew within the interstices of feudalism's 'parcellized sovereignties' was not only the natural enemy that would destroy the feudal system but also the 'cuckoo's egg' within it that would give birth to capitalism. pp.73-4.）这一章区分“资本主义的”与“资产阶级的”，“资本主义”与“城市”【62】伍德检讨了城市与资本主义存在天然联系的假设，并进一步质疑将资本主义当作自然演进物的趋势，掩盖了资本主义的独特性。【62】历史上城镇以及大规模贸易从未催生出任何资本主义。【62】城市的自主性也不是决定因素。导致资本主义与其他形式“商业社会”分野的关键是某种特有社会产权关系的形成，这种产权关系催生了市场迫切性与资本主义“运动规律”，进而又将生产纳入其影响下；非资本主义商业强国拥有大量从事生产的阶级和土地，对这些阶级施以统治和剥削的是居于主导地位的阶级和国家，后者依赖各种不同种类的“经济以外的”掠夺手段或“以政治性构成的财产”来维持其统治和剥削地位，因此并为系统受制于来自竞争性生产与收益最大化、对剩余价值进行再投资的冲动，以及不断提升劳动生产率的压力。【63】（The critical factor in the divergence of capitalism from all other forms of 'commercial society' was the development of certain social property relations that generated market imperatives and capitalist 'laws of motion', which imposed themselves on production. The great non-capitalist commercial powers had producing classes and especially peasants who remained in possession of their means of subsistence, and land in particular. They were ruled and e).:ploited by dominant classes and states that relied on 'extra-economic' appropriation or 'politically constituted property' of various kinds. These great civilizations were not systematically subjected to the pressures 'of competitive production and profit-maximization, the compulsion to reinvest surpluses, and the relentless need to improve labour-productivity associated with capitalism. pp.75-6.）前资本主义的贸易逻辑，“以互惠为原则的交易”【66】伍德考察了商业活动是人们生存和进行社会再生产所必需的条件，然而市场迫切性却未发挥作用的情境。以食品贸易为例。【67】（to sketch out a different case, not one in which the market played no role or only a minor one but, on the contrary, one in which commerce was an essential condition of subsistence and social reproduction, yet where market imperatives were still not in play. p.81.）佛罗伦萨和荷兰共和国虽是繁荣的商业中心，但并未转型为资本主义，“失败转型”【70以下】市场更多体现机会的功能而非迫切性功能，并未通过发展生产力催生出以受益最大化为目的的资本主义驱动力。【71】（here it really did function more as an opportunity than as an imperative. At least, the market did not operate here in such a way as to create the relentless capitalist drive to maximize profit by developing the forces of production. pp.86-7.）

第五章 资本主义的农业源头

“资本主义的起源及其促进积累与受益最大化的独特驱动力并非诞生在城市，而是在乡村，而且资本主义是诞生在一个非常独特之地，相对于漫长的人类历史而言它也出现得比较迟。它并非以物易物和相互交易的简单扩展或延伸，而是人类最基本社会关系和生 产实践的完全转型，是人与自然由来已久的互动模式的断裂。”【78】（capitalism, with all its very specific drives of accumulation and profit-maximization, was born not in the city but in the countryside, in a very specific place, and very late in human history. It required not a simple extension or expansion of barter and exchange but a complete transformation in the most basic human relations and practices, a rupture in age-old patterns of human interaction with nature. p.95.）在伍德看来，前资本主义社会与资本主义之间有着基本的差异无关地点（城市抑或乡村），却密切关乎生产者与掠夺者之间特有的产权关系（不论是在工业领域还是在农业领域）。只有在资本主义条件下，掠夺的主导方式才是以直接生产者财产的完 全被剥夺为基础，而这些生产者与奴隶不同，他们在法律上是自由的，其剩余劳动是以纯“经济”手段被剥夺的。由于在充分发展的资本主义社会，直接生产者是没有任何财产的，而且由于他们靠出卖劳动力领取薪资来使用生产工具、满足其自身再生产的需求以及获取其自身的劳动工具，资本家可以不费任何直接的强制力就能掠夺工人们的剩余劳动。【79】（the basic difference between all pre-capitalist societies and capitalism. It has nothing to do with whether production is urban or rural and everything to do with the particular property relations between producers and appropriators, whether in industry or agriculture. Only in capitalism is the dominant mode of appropriation based on the complete dispossession of direct producers, who (unlike chattel slaves) are legally free and whose surplus labour is appropriated by purely 'economic' means. Because direct producers in a fully developed capitalism are propertyless, and because their only access to the means of production, to the requirements of their own reproduction, even to the means of their own labour, is the sale of their labour-power in exchange for a wage, capitalists can appropriate the workers' surplus labour without direct coercion. p.96.）这种关系由市场建立，市场依赖性，“实际上，资本主义社会中的几乎所有事物都是以市场为目的而生产的商品。更为根 本的是，资本与劳动都是完全依赖市场，以获取其自身再生产所必需的基本条件。一方面，工人依赖市场将其劳动力作为商品出售；另一方面，资本家依赖市场而购买劳动力和生产工具，进而通过出售工人生产的商品或提供的服务以实现其利益。这种对市场的依赖性使得市场在资本主义社会中被赋予了一种前所未有的角色——不仅是交易或分配的简单机制，更是 社会再生产的主要决定者和规范者。市场作为社会再生产的决定因素出现，是以其渗透至生活最基本必需品——食物——的生产过程中为前提条件的。”【79】（everything in capitalist society is a commodity produced for the market. And even more fundamentally, both capital and labour are utterly dependent on the market for the most basic conditions of their own reproduction. Just as workers depend on the market to sell their labour-power as a commodity, capitalists depend on it to buy labour-power, as well as the means of production, and to realize their profits by selling the goods or services produced by the workers. This market dependence gives the market an unprecedented role in capitalist societies, as not only a simple mechanism of exchange or distribution but the principal determinant and regulat.or of social reproduction. The emergence of the market as a determinant of sodal reproduction presupposed its penetration into the production of life's most basic necessity: food. p.97.）强迫性或迫切性，“市场依赖性这种独特制度拥有其他生产方式都不具有的独特的系统性要求与强迫力，即竞争、积累与受益最大化的迫切性，以及由此而来的、持续的发展生产力的系统性需求。进而，这种迫切性就意味着资本主义可以而且必须持续不断地以不同于其他任何社会形式的方式和程度进行扩张，它可以而且必须持续不断地积累财富，持续不断地寻找新兴市场，持续不断地向新领地、新生活领域以及所有的人类和自然环境施加迫切性。”【80】（This unique system of market dependence has specific systemic requirements and compulsions shared by no other mode of production: the imperatives of competition, accumulation, and profit-maximization, and hence a constant systemic need to develop the productive forces. These imperatives, in turn, mean that capitalism can and must constantly expand in ways and degrees unlike any other social form. It can and must constantly accumulate, constantly search out new markets, constantly impose its imperatives on new territories and new spheres of life, on all human beings and the natural environment. p.97.）问题：生产者被掠夺者以非资本主义方式剥削了数千年，也有雨市场在几乎世界各地存在了不知许久，那么生产者、掠夺者以及他们之间的关系是如何开始变得如此依赖市场的？【80】（given that producers were exploited by appropriators in non-capitalist ways for millennia before the advent of capitalism, and given that markets have also existed 'time out of mind' and almost everywhere, how did it happen that producers and appropriators, and the relations between them, came to be so market-dependent? pp.97-8.）从英国开始考察，独特产权形式的发展以及新的阶级斗争形式。英国革命并非资产阶级和贵族的冲突，而是巩固了有产阶级的权力和利益。

第三部分 农业资本主义及其以后之发展

第六章 农业资本主义及其以后

16世纪以后农业领域主要经纪参与者采取如下资本主义实践：“通过削减成本和提高生产率以使交换价值最大化，具体而言，则是通过专业化、积累、对剩余价值进行再投资以及创新来实现的。”【103】（the maximization of exchange value by means of cost-cutting and improving productivity, through specialization, accumulation, reinvestment of surpluses, and innovation. p.125.）农业资本主义推动资本主义走向成熟的工业资本主义。强调社会产权关系变迁；农业资本主义并未将“雇佣劳动”置于最核心地位，“竞争性压力以及与之相伴的新的“运动规律”在最初并非取决于大规模无产阶级的出现，而是取决于依赖市场的佃农生产者的大量存在。”【107】（competitive pressures, and the new 'laws of motion' that went with them, depended in the first instance not on the existence of a mass proletariat but on the existence of market-dependent tenant-producers. p.130.）在伍德看来，“只要人们失去了以非市场的直接手段获取自我生产工具（尤其是土地）的机会，他们就会变得对市场完全依赖。一 旦市场迫切性最终被确立，即便是最绝对的财产所有权也无法抵御其带来的冲击。因此，市场依赖性是大规模无产阶级化的原因而不是结果。”【131】（ To be market-dependent required only the loss of direct non-market access to the means of self-reproduction, and specifically land. Once market imperatives were well established, even outright ownership was no protection against them. Market dependence was a cause, not a result, of mass proletarianization. p.131.）强调生产者以及掠夺者对市场的依赖性，以及这种依赖性带来的新的社会迫切性。【108】诞生于英国乡村的新经济“运动规律”改变了传统贸易原则，并创设了一套全新的商业体系。【111】最后勾勒工业资本主义以农业资本主义为前提所走的发展之路。[如果没有一个产能强大并因此能维持庞大非农业劳动力大军的农业，那么世界第一个工业资本主义国家亦不可能会出现。如果没有英国的农业资本主义，那么也不可能出现完全失去财产的、以出卖劳动力来换取薪资的雇佣劳动大军。如果没有这一批失去财产的非农业劳动者，那么也不可能出现以廉价的日常货物（例如食物和纺织品）为主要内容的大众消费市 场，因而也就不可能去推动英国工业资本主义的进程。此处我们需要强调的是：这个大规模的市场所具备的独有特征，不仅源于其不同寻常的规模，而且源于其特有的局限性，即以廉价日常货物为基本需求的、相对贫困的消费者。因此，相比于“古典的”奢侈品商贸活动，这个市场与后来出现的大众消费品市场之间拥有更多共性。……最后（这一点将无疑更具争议性），如果没有英国的资本主义，那么就不会出现任何种类、任何形式的资本主义制度。具体而言，源自英国（尤其是工业化的英国）的竞争压力，迫使其他所有国家都沿着资本主义道路推动本国的经济发展。那些仍然以前资本主义原则进行贸易活动的国家，以及那些与旧有封建主义关于领土和赃物的争端在本质上没什么不同 的地缘与军事竞争，将不可避免地被英国的新型竞争力优势所推动，从而以与之相似的方式促进各自的经济发展。]【116-7】（Without a productive agricultural sector that could sustain a large non-agricultural workforce, the world's first industrial capitalism would have been unlikely to emerge. Without England's agrarian capitalism, there would have been no dispossessed mass obliged to sell its labour-power for a wage. Without that dispossessed non-agrarian workforce, there would have been no mass consumer market for the cheap everyday goods - such as food and textiles - that drove the process of industrialization in England. Itis worth emphasizing that this large market derived its special character not only from its unusual size but also from its limitations, the relative poverty of consumers demanding cheap goods for everyday use. It had more in common with later mass consumer markets than with the luxury trade of , classical' commerce. …… Finally (this is no doubt a more contentious point), without English capitalism there would probably have been no capitalist system of any kind: it was competitive pressures emanating from England, especially an industrialized England, that, in the first instance, compelled other countries to promote their own economic development in capitalist directions. States still acting on pre-capitalist principles of trade, or geopolitical and military rivalry hardly different in principle from older, feudal conflicts over territory and plunder, would be driven by England's new competitive advantages to promote their own economic development in similar ways. pp.142-3.）与波兰尼的差异，波兰尼认为“市场社会”是商业化社会中某种特定技术进步的结果，伍德则认为资本主义动力机制根植于一种心性社会产权关系。【118】（in contrast to Polanyi's suggestion that 'market society' was a response to certain technological developments in a conunercial society, the conclusion we can draw from the history of agrarian capitalism is that a capitalist dynamic rooted in a new form of social property relations preceded industrialization, both chronologically and causally. p.143.）工业化是市场社会的结果而不是原因，而资本主义的运动规律是大规模无产阶级化的原因而不是结果。【118】（Industrialization was, then, the result not the cause of market society, and capitalist laws of motion were the cause not the result of mass proletarianization. p.144.）

第七章 资本主义式帝国主义的起源

反对强调帝国主义对“原始积累”的贡献或赋予其在资本主义起源过程中的关键作用的观点，英国海外殖民事业落后于其他帝国主义扩张，其对殖民地财富获取叶少宇自身国内资本主义发展的收益【121】只有在英国，攫取的财富才被转变成工业资本，问题：为何在某个案例中殖民主义和资本主义相伴而生，而在另一个案例中却是截然不同的情形？为何帝国主义在某个具体案例中能带来工业资本主义，而在另外的案例中则完全不能？【122】在伍德看来，“这些不同的结果绝大多数（如果不是所有的话）都取决于帝国主义国家内部的社会产权关系、与这些产权关系相关的系统性再生产的独特条件，以及为这些条件所推动的独特的经济发展进程。即便通过殖民掠夺所积累的财富并不构成资本主义起源的必要条件，它仍能对进一步的发展起到实质性的贡献作用。而且，一旦英国最终确立其完全的资本主义——尤其是工业资本主义——制度，它就能将这种资本主义迫切性施加于其他拥有不同社会产权关系的经济体之上。但是，如果没有英国国内产权关系的变迁所催生的这种迫切性，积累再多的殖民财富也不可能带来上述效果。如果我们说，殖民地的财富和奴隶贸易在一定程度上对英国工业革命做出了贡献，那么这也是因为英国经济在很早之前就已经形成了资本主义的社会产权关系。而相比之下，西班牙和葡萄牙两国所积累的巨额财富未能带来相同的结果，也正是因为它们二者是毫无疑义的前资本主义经济。”【122】（It is very hard to avoid the conclusion that much, if not everything, depended on the social property relations at home in the imperial power, the particular conditions of systemic reproduction associated with those property relations, and the particular economic processes set in motion by them. The wealth amassed from colonial exploitation may have contributed substantially to further development, even if it was not a necessary precondition of the origin of capitalism. And once British capitalism, especially in its industrial form, was well established, it was able to impose capitalist imperatives on other economies with different social property relations. But no amount of colonial wealth would have had these effects without the imperatives generated by England's domestic property relations. If wealth from the colonies and the slave trade contributed to Britain's industrial revolution, it was because the British economy had already for a long time been structured by capitalist social property relations. By contrast, the truly enormous wealth accumulated by Spain and Portugal had no such effect because they were unambiguously non-capitalist econonues. p.149.）尽管如此，可以辨别出一种具有资本主义独特特征的帝国主义形式，这种帝国主义是资本主义发展的结果而非原因。【122】前资本主义社会，帝国主义扩张有些是通过国内强制的、“经济以外”的、绝对主义掠夺手段的自然延伸，有些是围绕非资本主义商业活动的利益展开【123】资本主义体系带来的新的运作机制创设了一种新的殖民方式以及新的帝国主义驱动力，传统读财富和赃物的渴求，更体现在一种推动国内市场发展的资本主义迫切性的外向式扩张上，这种迫切性是竞争性生产的迫切性和资本积累的迫切性。这也形成了依靠强制力实施财富剥离的新动机和新理由【124】（The new dynamics of a growing capitalist system produced a new form of colonization and a new kind of imperial drive: not just the age-old hunger for wealth and plunder but, more specifically, an outward expansion of the same capitalist imperatives that were driving the domestic market, the imperatives of competitive production and capital accumulation. … Capitalist imperatives also created new motives and justifications for coercive dispossession. p.152.）爱尔兰模式，英帝国主义的基本模式：由市场迫切性推动以新型产权关系代替现存产权关系的这种殖民统治模式【127】（The Irish model, then, represented a pattern of imperial settlement different from other European empires, a form of colonial domination that replaced existing property relations with new ones driven by market imperatives. p.155.）军事实力的重要性。【128】17世纪，[新兴的资本主义逻辑变得越来越明朗，并且日益通过意识形态和政治经济理论的明确形式表达出来。尤其是，鉴于提高劳动生产率逐渐成为压倒一切的迫切性，这一迫切性遂成为财产权概念的新内涵。使土地产能增大——即使其进步——成为财产权的基础。更确切地说，谁“不能进步”就意味着谁将“失去财产权”。]【128】（In the seventeenth century, the new logic of capitalism was becoming more transparent and, as we have seen, was finding increasingly explicit ideological and theoretical expression. In particular, as increasing labour-productivity became the overriding imperative, that imperative made its way into new conceptions of property rights. Making land productive that is, improvillg it - was becoming the basis of property rights; and, more particularly, the failllre to improve could mean foifeifillg the right of property. pp.156-7.）作为财产权基础的进步原则被写入法律；政治理论中的论述，如洛克。【128】意识形态【132-5】

第八章 资本主义与民族国家

常见看法，资本主义起源与民族国家兴起存在必然联系，甚或把资本主义定义为一种民族国家制度；变异形式，① 佩里·安德森，现代早期欧洲绝对主义国家的出现从封建主义和领主权力的阴影中挽救了“资产阶级的”商业经济，并通过将主权集中于中央政府这一措施使政治领域与经济领域实现了分离。② 沃勒斯坦，与更发达的亚洲帝国相比，欧洲民族国家奠定了资本主义的基础，因为欧洲多种政体的组织形态（而不是一个无所不包、无所不及的大帝国形态），使得以贸易为基础的劳动分工得以发展，因而不必承担帝国政府大规模掠夺的重担，而被帝国政府抽走的这部分剩余劳动本可以被用作进一步投资。【136】伍德提出：[资本主义不是某种诸如“理性化”、技术进步、城镇化或贸易扩张这样的特定跨历史进程的自然演进的结果；资本主义的兴起所需要的远远不止移除障碍，以便发展扩大市场，或培育“资产阶级”理性；尽管欧洲特定地区——西欧——的条件（尤其是欧洲参与更大范围的非欧洲国际贸易体系中）对资本主义兴起而言是必需的，但是这同样的条件却能在西欧不同的案例中产生出多样化的结果；资本主义体系自续发展与从本土“自发”生长的必要条件，以及相互强化、相互促进的农业和工业领域，仅在英国存在。]【136-7】（capitalism was not simply the natural outcome of certain tranhistorical processes like 'rationalization', technological progress, urbanization, or the expansion of trade; that its emergence required more than the removal of obstacles to increased trade and growing markets or to the exercise of 'bourgeois' rationality; that while certain European, or Western European, conditions, not least the insertion of Europe in a larger and non-European network of international trade, were necessary to its emergence, those same conditions produced diverse effects in various European, and even Western European, cases; and that the necessary conditions for the 'spontaneous' or indigenous and self-sustaining development of a capitalist system, with mutually reinforcing agricultural and industrial sectors, existed only in England. p.167.）前资本主义时期欧洲有明确疆域的主权国家。“现代”民族国家诞生于一种独有的前资本主义形式，封建主义的分散的独立小国（碎片化国家权力形式的政治经济权力统一体）【137】封建统治阶级面对农民抗争和贵族纷争无法处置的失序状态，被迫将分散碎片化的政治权力整合起来，部分地区让位于中央集权的君主专制国家，部分地区让位于现代民族国家。封建主义易变的边界一直到个人统治为非人性的国家完全取代才得到最终解决，这种取代过程也必须等到“政治”与“经济”相分离、掠夺与镇压相分离、私人财产与公共权力相分离才能完全实现。只有在资本主义制度下才能彻底完成。【138】（The feudal ruling class was eventually compelled to consolidate its fragmented political power in the face of peasant resistance and the plainly untenable disorder of aristocratic conflict. Parcellized sovereignty gave way to more centralized monarchies in some parts of Europe and to the 'modem' nation state. The centralizing monarchies of Europe created territorial states in which the central more or less sovereign power exerted its predominant coercive force over a more or less well-defmed territory. But the fluid boundaries of feudalism were never firmly fixed until personal rule was replaced by an impersonal state, and that could never be fully accomplished until the separation of the 'political' and 'economic', the moments of appropriation and coercion, private property and public power. That separation would be completed only in capitalism. pp.168-9.）伍德指出，资本主义的发展与国家建构这两个过程是平行的，但[如果封建主义是资本主义的前提条件，而且如果资本主义的兴起（以及“政治”和“经济”领域的分离）与封建领主的集权化过程相伴而生，那么国家建构的过程便会 在不同地区采取不同形式，而资本主义也就只是封建主义转型的若干结果之一。于是乎，尽管前提条件都基本相同，但并非所有欧洲国家——甚至范围更小的西欧各国——都采取了相同的民族国家建构模式。]【138】It is certainly true that capitalism developed in the distinctive context of the early modem European state, which was not itself created by capitalism - or, to put it more precisely, capitalism developed in tandem with the process of state formation. But if feudalism was a precondition of capitalism, and if capitalism, with its separation of 'political' and 'economic' spheres, emerged in conjunction with a process of feudal centralization, the process of state formation took different fonns in different places, and capitalism was only one of several outcomes of the transition from feudalism. While there were certain common preconditions, not all European, or even Western European, nation states developed in the same way. p.169. 封建主义一种转型结果是绝对主义，【139】在英国促使资本主义诞生的社会转型及政治与经济领域的分离同样促使民族国家走向成熟。【140】“资本主义与民族国家之间的历史关系有两方面含义。一方面，民族国家不是资本主义的产物。“现代”国家——及其“现代”的领土权和主权概念——产生于某种社会关系，具体而言便是分散的独立小国与集权化的王权之间的冲突，而这与资本主义却没有任何关系。另一方面，在崛起的民族国家背景中产生的资本主义的起源使国家最终得以变得成熟。确切地说，英国国家建构这一独特过程事实上就是促使资本主义诞生的同一个过程。以政治性构成的财产转型为资本主义财产的这一过程，同时而且不可分离地也就是国家转型的过程。”【142】（There were, to sum up, two sides to the historical relation between capitalism and the nation state. On the one hand, that state was not itself produced by capitalism. The 'modern' state, together with 'modern' conceptions of territoriality and sovereignty, emerged out of social relations that had nothing to do with capitalism, in the tensions between parcellized sovereignties and centralizing monarchies. On the other hand, the rise of capitalism, which took place in the context of a rising nation state, brought that state to fruition - or, to put it more precisely, the particular form of English state formation belonged to the same process that brought about capitalism. The transformation of politically constituted property into capitalist property was at the same time, and inseparably, a transformation of the state. p.173.）资本主义与国际关系，资本主义本质上是国内产物，但性质上不可能长久仅存于一国内部；资本主义通过产生经济迫切性制造了新兴帝国主义的可能性，帝国主义扩张的驱动力【143】欧洲的国家体系是资本主义及其制度向外输出与扩张的重要通道，具体方式式帝国主义和经济迫切性输出【144】全球时代资本主义与民族国家的关系，反对自把全球化导致民族国家衰落的看法，而是认为存在[资本的全球性影响力与其对更为本土化的“经济以外的”支持形式的持续需求之间的悖论。]【145】 It might, then, be more accurate to say that 'globalization' is characterized less by the decline of the nation state than by a growing contradiction between the global scope of capital and its persistent need for more local and national forms of 'extra-economic' support, a growing disparity between its economic reach and its political grasp. p.177.

第九章 现代性与后现代性

伍德认为，[此处的观点不仅仅是说，资本主义是一种历史上独特的社会形态，而且是说，如果“现代性”的某些重要方面与资本主义没有什么关系的话，那么将资本主义与现代性等同视之则也可能会掩盖一种“非资本主义”现代性的独特性。]【149】（The point is not just that capitalism is historically specific. If some essential aspects of 'modernity' have little to do with capitalism, then the identification of capitalism with modernity may disguise the specificity of a lIoll-capitalist modernity, too. p.182.）现代性，韦伯的理性化，文艺复兴。在伍德看来，文艺复兴绝大多数成就都是非资本主义社会创造的，根植于非资本主义的社会产权关系；它们所处的社会形态并不是向资本主义过渡时期的转折点，而是一种封建主义的替代形式，法国的文艺复兴各项成就诞生于绝对主义国家时期。【150】（Much of the Enlightenment project belongs to a distinctly lion-capitalist - not just pre-capitalist - society. Many features of the Enlightenment, in other words, are rooted in non-capitalist social property relations. They belong to a social form that is not just a transitional point on the way to capitalism but an alternative route out of feudalism. In particular, the French Enlightenment belongs to the absolutist state in France. p.183.）“现代性”原则从何而来？与资本主义、资产阶级的关系？考察法国大革命。【151】普世性反对特权和差别化。【152】马歇尔·伯曼和戴维·哈维对现代性的理解，二元性，文艺复兴为源头，这种二元的可感知性结合了普世性和不变性，以及对瞬时性、偶然性以及碎片化的极度敏感。【152-3】伍德认为，“在这个关键的历史结合点，在非资本主义的条件下，甚至资产阶级的阶级意识形态也不仅仅关注自身阶级的解放，而是更大范围内整个人类的解放。尽管这一意识形态有其缺陷，但这仍是一种解放的普世主义，这也是那些更追求民主和更具革命性的力量釆纳和信奉这种意识形态的原因。”【153-4】The point is rather that in this particular historical conjuncture, in distinctly non-capitalist conditions, even bourgeois class ideology took the form of a larger vision of general human emancipation, not just emancipation for the bourgeoisie. For all its limitations, this was an emancipatory universalism - which is, of course, why it could be taken up by much more democratic and revolutionary forces. p.187. 对比法国和英国，英国的特色意识形态是“财产的”“进步”意识形态（而非文艺复兴意义上的“人性”的进步）【154】（But the characteristic ideology that set England apart from other European cultures was above all the ideology of 'improvement': not the Enlightenment idea of the improvement of III/mal/it}' but the improvement of property', the ethic - and indeed the science - of profit, the commitment to increasing the productivity oflabour, the production of exchange value, and the practice of enclosure and dispossession. pp.188-9.）对文艺复兴与现代性的批评，伍德却希望[把文艺复兴与我们当今生存条件的某些重要方面区别开来。这些条件并非由“现代性规划”所导致，而是全部由资本主义所引发。]【155-6】

结论

1. [资本主义不是人性自然演进和不可避免的结果，也不是长久以来的“互通有无、以物易物、相互交易”这一社会趋势的结果。相反，资本主义是一种较近的由非常独特的历史条件所产生的本土化产物。资本主义向外扩张的动力，及其在当今时代已近乎普世化的现象，并非其遵从人性或遵从超越历史的法则甚或遵从“西方”种族或文化优越性的结果，而是其自身独特的内在运动规律的产物，以及独特的自我扩张能力和需求的产物。这些运动规律需要大规模的社会转型和大变动来使其发挥作用，它们也要求人类在其基本生活必需品得到保障的前提下实现人性之新陈代谢的转型。]【159】（ it reminds us that capitalism is not a natural and inevitable consequence of human nature, or of the age-old social tendency to 'truck, barter, and exchange' It is a late and localized product of very specific historical conditions. The expansionary drive of capitalism, reaching a point of virtual universality today, is not the consequence of its conformity to human nature or to some transhistoricallaw, or of some racial or cultural superiority of 'the West', but the product of its own historically specific internal laws of motion, its unique capacity as well as its unique need for constant self-expansion. Those laws of motion required vast social transformations and upheavals to set them in train. They required a transformation in the human metabolism with nature, in the provision of life's basic necessities. p.193.）

2. [资本主义自其诞生之日起，就是一个极其矛盾的力量。至少我们可以这样认为，资本主义体系独特的保持自续增长的能力和需求，往往会伴随着规律性的停滞和经济倒退。相反，推动资本主义体系向前发展的同一个逻辑也不可避免地容易遭受经济上的无力，这就要求“经济以外的”力量对该逻辑进行不断干预，即便这些力量不能控制住上述经济无力， 也至少要弥补其带来的负面影响。]【159】（capitalism has, from the beginning, been a deeply contradictory force. The very least that can be said is that the capitalist system's unique capacity, and need, for self-sustaining growth has never been incompatible with regular stagnation and economic downturns. On the contrary, the very same logic that drives the system forward makes it inevitably susceptible to economic instabilities, which require constant 'extra-economic' interventions, if not to control them then at least to compensate for their destructive effects. p.159.）[一般而言，资本主义的生产能力与其能实现的生活质量之间也会存在巨大差距。“进步”伦理的原初意义表明，生产与收益不可分离，因此它也成为剥削、贫穷以及无家可归的伦理。]【160】（There is, in general, a great disparity between the productive capacities of capitalism and the quality of life it delivers. The ethic of 'improvement' in its original sense, in which production is inseparable from profit, is also the ethic of exploitation, poverty, and homelessness. p.194.）对土地不负责任的使用以及对环境的破坏。资本主义迫切性在全球扩张的消极影响，积极影响自诞生之时从未连贯出现。【160】