Lecture 6,
World System since 1500
Expedition and Expansion
? 1453年,奥斯曼土尔其攻陷君士坦丁堡,希腊学
者逃往西方,带去大批希腊文献,古典复兴由此
肇始。
? 13-15世纪,蒙古帝国兴起并征伐世界,保证跨欧
亚大陆交通安全。西方人一千年后再次进入东方,
繁盛东西方文化与经济交流;永久性改变种族与
宗教面貌;
? 西方人在上述事件刺激下,向地中海之外寻求去
东方和印度的航路。
1487,Dias
1492:Columbus
1497,Da Gama
1519,Magellan
Cartier and Canada
? Jacques Cartier (1491-1557)
was a French explorer who led
three expeditions to Canada,in
1534,1535,and 1541,He was
looking for a route to the
Pacific through North America
(a Northwest Passage) but did
not find one,Cartier paved the
way for French exploration of
North America,Cartier sailed
inland,going 1,000 miles up
the St,Lawrence River,He
also tried to start a settlement
in Quebec (in 1541),but it was
abandoned after a terribly cold
winter,Cartier named Canada;
"Kanata" means village or
settlement in the Huron-
Iroquois language,
Spain and Portugal during 1500-1600
? 1493年,西班牙首次殖民美洲,
并将欧洲人认为的新世界划为
葡属殖民地与西属殖民地
? 葡萄牙:发现印度航路后,葡
力图成为欧洲香料的供应者,
沿非洲海岸,印度洋北岸和马
来群岛建立贸易站和要塞,并
开辟从莫桑比克,果阿(葡萄
牙驻东方总督首府),霍尔木
兹岛(国际香料转运站),马
六甲(大香料市场)到澳门的
航路,在此航路上,葡萄牙人
敲诈勒索,无人匹敌。十六世
纪三十年代,葡萄牙拓殖巴西,
使用奴隶劳动开辟蔗糖产区。
Spain and Portugal during 1500-1600
? 西班牙,1519年,在巴拿马建立第一
个太平洋拓殖地,对墨西哥和印加秘
鲁的殖民带动移民浪潮,后者成为西
班牙人在美洲的中心。 1535年在墨西
哥正式成立总督辖区。十六世纪四十
年代发现巨大银矿,银遂成为运回西
班牙的主要出口物品。
? 1580年,西班牙和葡萄牙在一个国王
之下连成一体,统治三个海外帝国:
西班牙美洲的白银帝国,印度洋的香
料帝国和南大西洋的蔗糖帝国。并在
西非安哥拉、刚果建立拓殖地,呼应
南美巴西的开发。
? 1588年,英伊丽莎白埋葬西班牙无敌
舰队,西班牙霸权从此一蹶不振,荷
兰、英国和法国的霸权随之兴起 。
Dutch in 17 Century
? 十七世纪荷兰人享有
五十年的霸权,,阿
姆斯特丹独坐江山,
它是从拉美的安的列
斯群岛,从日本沿岸,
总之,从全世界都可
以看到的明亮的灯塔,
(布罗代尔)
Dutch in 17 Century
? March 20,1602 marked the
beginning of the inexorable end
for many a state in the then
known world,On that day,four
hundred years ago,a group of
Dutch merchants and
independent trading companies,
impatient with the monopoly
that the Portuguese had
established over the spice trade
with East Asia at the end of the
fifteenth century and keeping
the British imperial merchants in
check,founded the Vereenigde
Landsche Ge-Oktroyeerde
Oostindische Compagnie,better
known to the Anglophone world
as the Dutch East India
Company or simply the VOC,
Dutch in 17 Century
? 1609年,荷兰共和国成立
? 1619年,荷兰建巴达维亚(今
雅加达),在东印度的殖民帝
国开始
? 1625年,荷兰人建新阿姆斯特

? 1641年,从葡萄牙手中夺取马
六甲
? 1652年,第一次英荷战争,荷
兰开始衰败
? 1664年,英国人夺走新阿姆斯
特丹,更名为纽约
North America in 17-18 Century
? 1608年,法国殖
民者到达魁北克,
建新法兰西
? 1620年,英国新
教徒在新英格兰
登陆
North America in 17-18 Century
? 1636年,哈佛学院成立,
北美第一座大学
? 英法争霸,1629年,英军
袭击魁北克
? 1713年,乌得勒支条约,
新斯科舍省、纽芬兰省让
与英国
? 1756-63年,巴黎和约规定,
加拿大全部和密西西比河
以东归英国
The Modern World System
? In his book,The Modern World System,
Capitalist Agriculture and the Origins of the
European World Economy in the Sixteenth
Century,Immanual Wallerstein develops a
theoretical framework to understand the
historical changes involved in the rise of the
modern world,The modern world system,
essentially capitalist in nature,followed the crisis
of the feudal system and helps explain the rise of
Western Europe to world supremacy between
1450 and 1670,According to Wallerstein,his
theory makes possible a comprehensive
understanding of the external and internal
manifestations of the modernization process
during this period and makes possible
analytically sound comparisons between different
parts of the world,
The Core of the System
? The core regions benefited the most from the capitalist world
economy,For the period under discussion,much of northwestern
Europe (England,France,Holland) developed as the first core region,
Politically,the states within this part of Europe developed strong
central governments,extensive bureaucracies,and large mercenary
armies,This permitted the local bourgeoisie to obtain control over
international commerce and extract capital surpluses from this trade
for their own benefit,As the rural population expanded,the small
but increasing number of landless wage earners provided labor for
farms and manufacturing activities,The switch from feudal
obligations to money rents in the aftermath of the feudal crisis
encouraged the rise of independent or yeoman farmers but
squeezed out many other peasants off the land,These impoverished
peasants often moved to the cities,providing cheap labor essential
for the growth in urban manufacturing,Agricultural productivity
increased with the growing predominance of the commercially-
oriented independent farmer,the rise of pastoralism,and improved
farm technology,
The Peripheral of the System
? On the other end of the scale lay the peripheral zones,These areas lacked
strong central governments or were controlled by other states,exported raw
materials to the core,and relied on coercive labor practices,The core
expropriated much of the capital surplus generated by the periphery
through unequal trade relations,Two areas,Eastern Europe (especially
Poland) and Latin America,exhibited characteristics of peripheral regions,In
Poland,kings lost power to the nobility as the region became a prime
exporter of wheat to the rest of Europe,To gain sufficient cheap and easily
controlled labor,landlords forced rural workers into a "second serfdom" on
their commercial estates,In Latin America,the Spanish and Portuguese
conquests destroyed indigenous authority structures and replaced them with
weak bureaucracies under the control of these European states,Powerful
local landlords of Hispanic origin became aristocratic capitalist farmers,
Enslavement of the native populations,the importation of African slaves,
and the coercive labor practices such as the encomienda and forced mine
labor made possible the export of cheap raw materials to Europe,Labor
systems in both peripheral areas differed from earlier forms in medieval
Europe in that they were established to produce goods for a capitalist world
economy and not merely for internal consumption,Furthermore,the
aristocracy both in Eastern Europe and Latin America grew wealthy from
their relationship with the world economy and could draw on the strength of
a central core region to maintain control,
The Semi-peripheries of the System
? Between the two extremes lie the semi-peripheries,These areas
represented either core regions in decline or peripheries attempting to
improve their relative position in the world economic system,They
often also served as buffers between the core and the peripheries,As
such,semi-peripheries exhibited tensions between the central
government and a strong local landed class,Good examples are
Portugal and Spain,Other semi-peripheries at this time were Italy,
southern Germany,and southern France,Economically,Unlike the
core,however,they failed to predominate in international trade and
thus did not benefit to the same extent as the core,With a weak
capitalist rural economy,landlords in semi-peripheries resorted to
sharecropping,This lessened the risk of crop failure for landowners,
and made it possible at the same time to enjoy profits from the land
as well as the prestige that went with landownership,
? The semi-peripheries were exploited by the core but,as in the case of
the American empires of Spain and Portugal,often were exploiters of
peripheries themselves,Spain,for example,imported silver and gold
from its American colonies,obtained largely through coercive labor
practices,but most of this specie went to paying for manufactured
goods from core countries such as England and France rather than
encouraging the formation of a domestic manufacturing sector,
The World System
? 世界体系 16世纪以前,,世界性体系, 主要表现为一些, 世界性帝
国,,如罗马帝国,中华帝国等。这些, 世界性帝国, 有一个单一的
政治中心,但没有与之相应的, 世界性经济, 。 16世纪后,以西北欧
为中心,形成, 世界性经济体系,,即, 资本主义的世界经济体, 。
资本主义从一开始就不是在单个国家内孤立地出现的,而是作为一个
世界性的体系出现的,它由中心区、半边缘区和边缘区这三个组成部
分联结成一个整体结构。它不同于, 世界性帝国, 之处在于,它有一
个自成一体的经济网络,却没有一个统一的政治中心。三个不同的组
成区域承担着三种不同的经济角色:中心区利用边缘区提供的原材料
和廉价劳动力,生产加工制品向边缘区销售牟利,并控制世界体系中
的金融和贸易市场的运转。边缘区除了向中心区提供原材料、初级产
品和廉价劳动力,还提供销售市场。半边缘区介于两者之间:对中心
区部分地充当边缘区角色,对边缘区部分地充当中心区角色。三种角
色中缺掉任何一种,资本主义世界经济体就不能存在。三种不同的经
济角色是由不同的劳动分工决定的。资本主义世界经济体是以世界范
围的劳动分工为基础建立起来的,在这种分工中,世界经济体的不同
区域被派定承担特定的经济角色,发展出不同的阶级结构,因而使用
不同的劳动控制方式,从世界经济体系获利也就不平等。以 16世纪为
例,边缘区是奴隶制和封建制,中心区是雇佣制和自我雇佣,半边缘
区是分成制。每个区域确有不同的劳动控制方式。如果情况不是这样
的话,就不可能确保剩余产品流入西欧以保障资本主义制度的生存。
Braudel on Capitalism
? 物质生活,例行性王国
? 这是一个, 未入青史, 的王国,习惯
性实际上蔓及人类生活的全部,在人
类生活中扩散传播,如同夜晚的黑暗
笼罩着景物,
? 那些寂静的地理结构,人口,天然资
源,区域位置等条件,表面看起来似
乎都只是背景,实际上却都是基本条
件,用长时段的眼光,即 300-500年,
甚至上千年的尺度,看,它们都可能
发生沧海桑田的作用,
Market Structure
? 在产生一切的生产世界和
耗损一切的消费世界之间,
市场经济是纽带,是马达,
是狭窄但活跃的区域,刺激,
活力,新事物,创举,各种觉
醒,增长,甚至进步皆由此
涌出,
? 市场经济一分为二,低者是
集市,店铺和商贩 ;高者是
交易会与交易所,
Centers of World Economy
World Centre,Wealth and Happiness
? 光彩,财富,生活之幸福皆汇集于经济世界的中心,
在那里,历史的太阳照射出最绚丽的色彩 ;在那里,
显示在人们面前的是昂贵的价格,丰厚的工资,华
美的商品,还有银行,有利可图的工业,资本主义式
的农业,那里也是长线交易,金银,硬通货和信用证
件流通的起止点,走在前面的一整套经济现代特色
融汇在那里,15世纪游历威尼斯的人,17世纪游历
阿姆斯特丹的人,18世纪游历伦敦的人,今日游历
纽约的人,这一切皆可尽收眼底,通常,尖端技术也
在那里,连同与之并蒂的基础科学,
Capitalism is the Center of World Economy
? 资本主义正是靠分级的规则而生存的 ;外围地区养活中间
地区,尤其是中心地区,什么是中心?不就是统治尖顶,不就
是整个大厦的由资本主义构成的上层建筑吗?如果说中心
依靠外围的供应,那么,外围则依靠中心的需求,中心向外
围发号施令,弄来弄去,还是西欧将奴隶制搬到了新大陆的
框架里,而且加进了新的创造 ;弄来弄去,还是西欧处于自
身经济的要求将二茬农奴制导入东欧,由此可见华伦斯坦
论断的分量,资本主义是世界不平等的产物 ;为了自身的发
展,它需要国际经济的默契,在一个显然非常巨大的空间里,
它是专横组织所生下的儿子,在一个狭窄的经济空间内,它
不会生长得如此茁壮,若不借助别人卖身的劳动,它大概压
根儿就生长不成,
Achievements of Science,Arts and
Philosophy during 1500-1800 in Europe
Renaissance and Reformation
? 1500年前后,意大利
文艺复兴
? 1515年,马基雅维里
,君主论, 问世
? 1517年,马丁 -路德宗
教改革
Scientific Revolution
? 1543年,哥白尼, 天体运行,
问世
? 1610年前后,欧洲科学革命,
重要人物有刻普勒、伽利略、
笛卡儿等
? 1630年前后,荷兰艺术高峰,
有鲁本斯等
? 1639年,笛卡儿, 第一哲学沉
思录, 问世,近代唯理论鼻祖
? 1651年,霍布斯, 利维坦, 出

? 1660年前后,法国文化古典时
期,有莫里哀等
? 1662年,英国皇家学会成立
? 1665年,法国科学院成立
Enlightenment in England
? 1675年,斯宾诺莎出版, 伦理
学,
? 1687年,牛顿力学
? 1689年,洛克, 人类理解论,
出版,近代经验论代表
? 1700年,德国巴洛克音乐,代
表人物亨德尔,巴赫等
? 1706年,莱布尼兹出版, 人类
理解新论,
? 1739年,休谟, 人性论, 问世
? 1755年,卢梭, 论人类不平等
的起源和基础, 出版
? 1762年,卢梭, 社会契约论,
问世
Enlightenment
? 1760年前后,启蒙运动在法国
兴起,有伏尔泰、狄德罗等
? 1770年前后,欧洲科学技术发
明:航行表,蒸汽机,水力精
纺机等
? 1776年,亚当 -斯密, 国富论,
问世
? 1781年,康德出版, 纯粹理性
批判,
? 1790年前后,欧洲管弦乐,有
莫扎特、海顿等
? 1798年,马尔萨斯出版, 人口
论,
Reference and Question
? Reference
? Immanuel Wallerstein,The Modern World
System,Yuhai (edited),Western Social Theory,
pp269-275
? 布罗代尔:, 资本主义的动力,,三联书店,北
京,1997
? 佛兰克:, 依附性积累与不发达,,第一、二和
三章,译林出版社,南京,1999
? Question
如何理解, 反市场的资本主义,