大卫·哈维《新自由主义简史》要点总结

1. Neoliberalism is a political project to restore class power, not just economic theory.新自由主义是一个以恢复阶级权力为目标的政治项目，而不仅仅是经济理论。

Neoliberalization has not been very effective in revitalizing global capital accumulation, but it has succeeded remarkably well in restoring, or in some instances (as in Russia and Vietnam) creating, the power of an economic elite.

新自由主义在重振全球资本积累方面并没有取得显著成效，但在恢复(或在某些情况下，如在俄罗斯和越南)经济精英的权力方面却取得了显著的成功。

Beyond economic theory. While presented as a utopian theory for maximizing human well-being through free markets, neoliberalism's practical outcome has been the significant restoration or creation of power for economic elites. This suggests its primary function is political, using economic arguments as justification. The theory emphasizes individual freedoms, private property, and free markets, but its implementation consistently benefits a narrow class.

超越经济理论。新自由主义虽然被标榜为通过自由市场最大化人类福祉的乌托邦理论，但其实际结果却是经济精英权力的显著恢复或扩张。这表明其主要功能是政治性的，经济论证只是其政治目的。该理论强调个人自由、私有财产和自由市场，但其实际应用却始终使少数阶层受益。

Restoring lost ground. The share of national income held by the top 1% in the US plummeted after World War II but soared back to pre-war levels after neoliberal policies took hold in the late 1970s. Similar trends are seen in Britain and other countries that embraced neoliberalism. This upward redistribution of wealth and income is a persistent feature, indicating a deliberate shift in class power dynamics.

重振昔日荣光。二战后，美国最富有的1%人群所占国民收入份额急剧下降，但在20世纪70年代末新自由主义政策确立后，这一比例迅速回升至战前水平。英国和其他奉行新自由主义的国家也出现了类似的趋势。这种财富和收入的向上再分配是一个持续存在的特征，表明阶级权力格局正在发生有意的转变。

A system of justification. The theoretical framework of neoliberalism, with its focus on efficiency and wealth creation, serves as a powerful ideology. It legitimizes policies like deregulation, privatization, and reduced social spending, even when these policies lead to increased inequality and social hardship. The utopian rhetoric masks the underlying project of class restoration.

一套辩护体系。新自由主义的理论框架，以其对效率和财富创造的关注，构成了一种强大的意识形态。它使放松管制、私有化和削减社会支出等政策合法化，即便这些政策会导致不平等加剧和社会困境。这种乌托邦式的修辞掩盖了其阶级复辟的根本目的。

2. The crisis of the 1970s threatened economic elites and spurred the neoliberal turn. 20 世纪 70 年代的危机威胁到了经济精英，并推动了新自由主义的转向。

The upper classes had to move decisively if they were to protect themselves from political and economic annihilation.

上层阶级必须采取果断行动，才能保护自己免遭政治和经济上的毁灭。

Crisis of accumulation. The 1970s saw a global crisis characterized by stagflation (high unemployment and inflation) and declining profitability. This economic downturn threatened the stability of capitalism and the economic position of the upper classes, whose share of national income and wealth had been constrained by post-war social compromises.

积累危机。20世纪70年代，全球经济陷入危机，其特征是滞胀(高失业率和高通货膨胀)和盈利能力下降。这场经济衰退威胁到资本主义的稳定以及上层阶级的经济地位，战后社会妥协限制了上层阶级在国民收入和财富中所占的份额。

Political threat. Alongside the economic crisis, the 1970s saw the rise of powerful labor movements and social movements demanding greater social justice and state intervention. In many countries, socialist and communist parties gained influence, posing a direct political threat to the power of economic elites.

政治威胁。伴随经济危机，20世纪70年代涌现出强大的劳工运动和社会运动，这些运动要求更大的社会公正和国家干预。在许多国家，社会主义政党和共产党的影响力不断增强，对经济精英的权力构成了直接的政治威胁。

Decisive action. Faced with both economic and political threats, the upper classes needed a new strategy. Neoliberalism offered a way to restore conditions for capital accumulation and simultaneously curb the power of labor and social movements. This context explains the rapid adoption of neoliberal policies by leaders like Thatcher and Reagan.

杀伐果断。面对经济和政治的双重威胁，上层阶级需要新的策略。新自由主义提供了一种途径，既能恢复资本积累的条件，又能同时遏制劳工运动和社会运动的力量。这种背景解释了撒切尔和里根等领导人为何迅速采纳新自由主义政策。

3. Neoliberalism was implemented through both authoritarian and democratic means, with periphery experiments influencing the core. 新自由主义通过威权和民主两种手段实施，边缘地区的实验影响了核心地区。

Not for the first time, a brutal experiment carried out in the periphery became a model for the formulation of policies in the centre...

这并非第一次，在边缘地区进行的残酷实验成为了中央政府制定政策的范本……

Authoritarian origins. The first significant implementation of neoliberal policies occurred in Chile after Pinochet's brutal coup in 1973. Backed by domestic elites and the US, the military regime violently repressed opposition and implemented free-market reforms guided by"Chicago boys" economists. This experiment provided a model for subsequent neoliberal transitions.

威权主义起源。新自由主义政策的首次重大实施发生在智利，那是在皮诺切特1973年发动残酷政变之后。在国内精英和美国的支持下，军政府暴力镇压反对派，并在“芝加哥学派”经济学家的指导下推行自由市场改革。这一实验为后来的新自由主义转型提供了范例。

Democratic adoption. In countries like the US and Britain, neoliberalism had to be implemented through democratic processes. This required the active construction of political consent, often by mobilizing minority arguments and appealing to existing cultural values like individual freedom. Leaders like Thatcher and Reagan successfully built coalitions to support their radical reforms.

民主采纳。在美国和英国等国家，新自由主义必须通过民主程序来推行。这需要积极构建政治共识，通常需要动员少数群体的声音，并诉诸于诸如个人自由等既有文化价值观。撒切尔和里根等领导人成功地建立了联盟，以支持他们的激进改革。

Policy diffusion. The experiences in places like Chile and later New York City (see next point) demonstrated the feasibility and potential benefits (for elites) of neoliberal restructuring. These periphery experiments provided evidence and strategies that influenced policy formulation in core capitalist countries, showing that brutal measures could be effective models.

政策扩散。智利以及后来的纽约市(见下一点)等地的经验表明，新自由主义结构调整是可行的，并且对精英阶层具有潜在益处。这些边缘地区的实验提供了证据和策略，影响了核心资本主义国家的政策制定，表明残酷的措施也可以成为有效的模式。

4. The New York City fiscal crisis served as an early template for neoliberal restructuring and class power restoration. 纽约市财政危机成为新自由主义重组和阶级权力恢复的早期模板。

This amounted to a coup by the financial institutions against the democratically elected government of New York City, and it was every bit as effective as the military coup that had earlier occurred in Chile.

这相当于金融机构对纽约市民选政府发动了一场政变，其效果与此前发生在智利的军事政变不相上下。

Urban crisis. New York City faced a severe fiscal crisis in the mid-1970s due to deindustrialization, suburbanization, and expanded public spending. When financial institutions refused to roll over the city's debt, they effectively forced the city into technical bankruptcy.

城市危机。20世纪70年代中期，由于去工业化、郊区化和公共支出扩张，纽约市面临严重的财政危机。当金融机构拒绝展期该市的债务时，实际上迫使该市进入了技术性破产状态。

Financial control. A powerful cabal of investment bankers took control of the city's budget management. They prioritized debt repayment to bondholders over public services and social spending. This led to:

Wage freezes and cuts for municipal workers

Reductions in public employment and social provision

Imposition of user fees (e.g., CUNY tuition)

Requirement for municipal unions to invest pension funds in city bonds

财政控制。一个势力强大的投资银行家集团掌控了市政府的预算管理。他们将偿还债券持有人的债务置于公共服务和社会支出之上。这导致了：

市政工人工资冻结和削减

公共就业和社会服务减少

收取用户费用(例如，纽约市立大学学费)

要求市政工会将养老基金投资于城市债券

A template for the future. The NYC crisis established the principle that financial integrity and bondholder returns take precedence over citizen well-being. It demonstrated how fiscal discipline could be used to discipline labor and reduce the power of democratic institutions. This model was later applied at the national level under Reagan and internationally by the IMF.

纽约危机为未来树立了模板。这场危机确立了这样一条原则：金融诚信和债券持有人回报优先于公民福祉。它表明，财政纪律可以被用来约束劳动力，削弱民主机构的权力。里根政府后来在国家层面应用了这一模式，国际货币基金组织也在国际层面应用了这一模式。

5. Neoliberalism relies on constructing consent by exploiting desires for individual freedom and consumer choice. 新自由主义依靠利用人们对个人自由和消费选择的渴望来构建共识。

Neoliberal rhetoric, with its foundational emphasis upon individual freedoms, has the power to split off libertarianism, identity politics, multiculturalism, and eventually narcissistic consumerism from the social forces ranged in pursuit of social justice through the conquest of state power.

新自由主义的言论，以个人自由为根本，有能力将自由主义、身份政治、多元文化主义，以及最终的自恋消费主义，从追求社会正义、通过征服国家权力而产生的各种社会力量中分离出来。

Ideological appeal. Neoliberalism's emphasis on individual freedom resonates deeply in many societies, particularly in the US. This ideal was used to garner support for policies that reduced state intervention and regulation, framing them as liberation from bureaucratic constraints.

意识形态吸引力。新自由主义对个人自由的强调在许多社会，尤其是在美国，引起了强烈的共鸣。这一理念被用来争取对减少国家干预和监管政策的支持，并将其包装成摆脱官僚主义束缚的解放。

Dividing opposition. By championing individual liberties, neoliberalism could exploit existing tensions between movements focused on individual rights (like some aspects of the 1968 movements, identity politics) and those focused on collective social justice (like labor unions). This helped fragment potential opposition.

分裂反对派。新自由主义通过倡导个人自由，利用了关注个人权利的运动(例如1968年运动的某些方面、身份政治)与关注集体社会正义的运动(例如工会)之间现有的紧张关系。这有助于瓦解潜在的反对派。

Consumer culture. Neoliberalization fostered a market-based populist culture centered on differentiated consumerism and individual libertarianism. The emphasis on consumer choice in goods, lifestyles, and cultural practices became intertwined with the idea of personal freedom, diverting attention from structural inequalities and the restoration of class power.

消费文化。新自由主义化催生了一种以差异化消费主义和个人自由主义为中心的市场民粹主义文化。对商品、生活方式和文化实践中消费者选择的强调与个人自由的理念交织在一起，转移了人们对结构性不平等和阶级权力恢复的关注。

6. The neoliberal state, despite theory, is activist, biased towards capital, and often anti-democratic. 尽管理论上如此，但新自由主义国家是积极的，偏袒资本，并且常常是反民主的。

The juridical trick of defining corporations as individuals before the law introduces its own biases...

将公司定义为法律面前的自然人这一司法技巧，本身就引入了偏见……

Theory vs. practice. Neoliberal theory posits a minimal state focused only on enforcing contracts and property rights. In practice, the neoliberal state is highly interventionist, actively creating markets, enforcing competition rules, and promoting a "good business climate."

理论与实践。新自由主义理论主张建立一个最小限度的国家，其唯一职责是执行合同和保障产权。然而在实践中，新自由主义国家却高度干预经济，积极创造市场、执行竞争规则，并致力于营造“良好的营商环境”。

Systematic bias. The state consistently favors the interests of capital over labor and the environment. This is seen in:

Weakening unions and promoting labor market flexibility

Rolling back environmental regulations

Prioritizing financial stability and bailing out banks at public expense

Providing subsidies and tax breaks to corporations

系统性偏见。国家一贯偏袒资本利益，而非劳工和环境利益。这体现在：

削弱工会力量并促进劳动力市场灵活性

放松环境法规

优先考虑金融稳定，并用公共资金救助银行

向企业提供补贴和税收优惠

Anti-democratic tendencies. Neoliberalism is inherently suspicious of democracy, viewing majority rule as a threat to individual (property) rights. It favors governance by elites and experts, insulating key institutions like central banks from democratic pressure. This leads to a decline in representative democracy and increased reliance on executive orders and judicial decisions.

反民主倾向。新自由主义本质上对民主抱有怀疑态度，认为多数统治是对个人(财产)权利的威胁。它倾向于由精英和专家进行治理，使中央银行等关键机构免受民主压力。这导致代议制民主的衰落，以及对行政命令和司法判决的日益依赖。

7. Financialization and accumulation by dispossession are key mechanisms for upward wealth redistribution under neoliberalism. 金融化和剥夺式积累是新自由主义下财富向上再分配的关键机制。

Neoliberalization has meant, in short, the financialization of everything.

Rise of finance. The financial sector has become increasingly dominant under neoliberalism, with rapid growth in speculative activities and complex financial instruments. This shift has concentrated wealth and power in the hands of financiers and large corporations.

金融业的崛起。在新自由主义的影响下，金融业的主导地位日益增强，投机活动和复杂的金融工具迅速发展。这种转变使得财富和权力集中在金融家和大型企业手中。

Accumulation by dispossession. Beyond traditional exploitation of labor in production, neoliberalism relies on practices that dispossess populations of assets and rights. These include:

Privatization of public assets (utilities, social housing, services)

Commodification of land and expulsion of peasants

Extraction of rents from intellectual property rights

Use of debt and financial crises to transfer wealth from debtors to creditors

通过掠夺实现财富积累。除了传统的生产劳动剥削之外，新自由主义还依赖于剥夺民众资产和权利的手段。这些手段包括：

公共资产私有化(公用事业、社会住房、服务)

土地商品化和农民驱逐

从知识产权中榨取租金

利用债务和金融危机将财富从债务人转移到债权人

State's role. The state is crucial in facilitating these processes, using its legal and coercive powers to enforce privatization, deregulate finance, manage crises to benefit creditors, and suppress resistance. This transfers assets from public and popular realms to private, class-privileged domains.

国家的作用。国家在推动这些进程中扮演着至关重要的角色，它利用其法律和强制权力来强制推行私有化、放松金融管制、操纵危机以使债权人受益，并镇压反抗。这使得资产从公共和大众领域转移到私有的、阶级特权的领域。

8. Uneven geographical development and financial crises are integral to neoliberal expansion and dispossession. 地理发展不平衡和金融危机是新自由主义扩张和剥夺的组成部分。

The extraction of tribute via financial mechanisms is an old imperial practice.

通过金融机制征收贡赋是古老的帝国做法。

Competitive pressure. Neoliberalization has intensified competition between territories (states, regions, cities) to attract mobile capital by creating favorable business climates. This pressure encourages widespread adoption of neoliberal policies.

竞争压力。新自由主义化加剧了各地区(州、地区、城市)之间为吸引流动资本而营造有利营商环境的竞争。这种压力促使新自由主义政策得到广泛推行。

Crises as opportunities. Financial crises, which became more frequent and contagious under deregulated finance, serve as mechanisms for accumulation by dispossession. The Wall Street–Treasury–IMF complex has orchestrated bailouts and structural adjustment programs that force indebted countries to sell assets cheaply and transfer wealth to international creditors.

危机即机遇。金融危机在金融监管放松的背景下变得更加频繁且更具传染性，它们成为通过剥夺实现财富积累的机制。华尔街、财政部和国际货币基金组织组成的利益集团精心策划了救助和结构调整计划，迫使负债累累的国家廉价出售资产，并将财富转移给国际债权人。

Global tribute. This process results in a flow of tribute from the periphery and semi-periphery to the core financial centers, particularly the US. This extraction of wealth from the rest of the world has significantly contributed to the restoration of class power in countries like the US.

全球贡赋。这一过程导致贡赋从边缘和半边缘地区流向核心金融中心，尤其是美国。这种从世界其他地区攫取财富的行为，极大地促进了美国等国家阶级权力的恢复。

9. Vietnam's unique path combines market reforms, authoritarianism, and integration into global neoliberalism, leading to rapid growth and inequality. 越南独特的道路结合了市场改革、威权主义和融入全球新自由主义，导致了快速增长和不平等。

Vietnam, we may conclude, has definitely moved towards neoliberalization and the reconstitution of class power, albeit ‘with distinctly Chinese characteristics’.

由此我们可以得出结论，越南无疑已经走向新自由主义化和阶级权力的重构，尽管“具有鲜明的越南特色”。

Market socialism. Vietnam's reforms since 1978 introduced market forces and opened the economy to foreign capital, but under the strict control of the Communist Party. This avoided the shock therapy disasters seen elsewhere but led to a unique hybrid system.

市场社会主义。自1978年以来，越南的改革引入了市场机制，并向外国资本开放了经济，但这一切都处于共产党的严格控制之下。这避免了其他国家经历的休克疗法式的灾难，但也造就了一种独特的混合体制。

Growth and inequality. Vietnam has achieved spectacular economic growth and poverty reduction for many, but also extreme social inequality. The gap between urban and rural incomes is vast, and wealth has concentrated rapidly through:

Privatization of state assets

Real estate speculation

Exploitation of migrant labor

Corruption and privileged access to resources

增长与不平等。越南取得了令人瞩目的经济增长，许多人摆脱了贫困，但同时也出现了严重的社会不平等。城乡收入差距巨大，财富迅速集中，主要体现在以下几个方面：

国有资产私有化

房地产投机

剥削移徙劳工

腐败和对资源的特权获取

Authoritarian neoliberalism. The Chinese state maintains authoritarian control, repressing labor unrest and dissent, while facilitating capitalist accumulation. Reliance on foreign direct investment and integration into the global market (especially after WTO entry) has deepened its neoliberal characteristics, albeit with strong state manipulation and nationalist undertones.

威权新自由主义。越南政府维持威权统治，镇压劳工维权和异见者，同时推动资本积累。对外国直接投资的依赖以及融入全球市场(尤其是在加入世贸组织之后)加深了其新自由主义特征，尽管其中也带有强烈的国家干预和民族主义色彩。

10. Neoliberalism's global record on growth and well-being is dismal, but it has succeeded in concentrating wealth. 新自由主义在全球经济增长和福祉方面的记录令人沮丧，但它成功地集中了财富。

Its actual record turns out to be nothing short of dismal.

它的实际战绩简直惨不忍睹。

Failed growth engine. Global economic growth rates have been significantly lower since the 1980s compared to the post-war embedded liberalism era. Many regions, particularly in Latin America and Africa, experienced stagnation or decline under neoliberal policies.

增长引擎失效。自20世纪80年代以来，全球经济增长率显著低于战后自由主义盛行的时期。许多地区，特别是拉丁美洲和非洲，在新自由主义政策下经历了停滞或衰退。

Increased inequality. While some countries like Vietnam and India have seen growth, it has been accompanied by soaring inequality. Globally, the income gap between the richest and poorest has widened dramatically.

不平等加剧。虽然越南和印度等一些国家实现了经济增长，但与此同时，不平等现象也急剧加剧。在全球范围内，最富裕人群和最贫困人群之间的收入差距已显著扩大。

Elite success. Despite its poor record on overall growth and well-being, neoliberalization has been highly successful in restoring or creating wealth and power for economic elites worldwide. This suggests its primary objective was never broad prosperity but class advantage.

精英阶层的成功。尽管新自由主义在整体经济增长和民生福祉方面表现不佳，但它在恢复或创造全球经济精英的财富和权力方面却取得了巨大成功。这表明，其主要目标从来都不是普惠繁荣，而是阶级优势。

11. The commodification of land, labor, and money under neoliberalism causes profound social dislocation and environmental degradation. 新自由主义下土地、劳动力和货币的商品化造成了深刻的社会动荡和环境恶化。

To allow the market mechanism to be sole director of the fate of human beings and their natural environment... would result in the demolition of society.

让市场机制完全决定人类及其自然环境的命运……将会导致社会的毁灭。

Fictitious commodities. As Karl Polanyi argued, treating land, labor, and money as mere commodities subject solely to market forces is a dangerous fiction. These are not produced for sale in the market and are deeply embedded in social and ecological systems.

虚构的商品。正如卡尔·波兰尼所论证的那样，将土地、劳动力和货币仅仅视为受市场力量支配的商品是一种危险的虚构。它们并非为了在市场上出售而生产，而是深深植根于社会和生态系统之中。

Social demolition. Unfettered commodification leads to:

Social dislocation and insecurity for labor (job insecurity, loss of benefits)

Degradation of the natural environment (resource depletion, pollution)

Financial instability and crises (speculation, debt traps)

社会瓦解。不受约束的商品化会导致：

社会动荡和劳动不安全感(工作不稳定、福利损失)

自然环境退化(资源枯竭、污染)

金融不稳定和危机(投机、债务陷阱)

Loss of protections. Neoliberalism strips away the social and cultural institutions that historically protected people and nature from the destructive forces of the market. This leaves individuals exposed to acute social dislocation and environmental ruin.

保护措施的丧失。新自由主义剥夺了历史上保护人民和自然免受市场破坏性力量侵害的社会和文化制度。这使得个人面临严重的社会动荡和环境破坏。

12. The inherent instability of neoliberalism and rising contradictions point towards potential crisis and the rise of neoconservative authoritarianism. 新自由主义固有的不稳定性以及日益加剧的矛盾预示着潜在的危机和新保守主义威权主义的兴起。

Between two rights... force decides.

两种权利之间……武力决定。

Internal contradictions. Neoliberalism contains inherent tensions, such as the conflict between market freedoms and the need for state intervention, or between individual liberty and the concentration of corporate power. These contradictions lead to instability and crises.

内部矛盾。新自由主义本身就存在固有的矛盾，例如市场自由与国家干预之间的冲突，或者个人自由与企业权力集中之间的冲突。这些矛盾会导致不稳定和危机。

Fiscal imbalances. The current global economy is marked by significant imbalances, particularly the massive deficits in the US and excess capacity in Vietnam. These are signs that the neoliberal model is failing to sustain accumulation and could lead to a major crisis.

财政失衡。当前全球经济存在显著的失衡现象，尤其是美国的巨额赤字和越南的产能过剩。这些迹象表明，新自由主义模式无法维持经济积累，并可能导致重大危机。

Authoritarian turn. Faced with instability and potential loss of control, ruling elites may resort to more overt authoritarianism, as seen in the rise of neoconservatism in the US. This involves increased militarization, suppression of dissent, and the assertion of a narrow, often nationalist and moralistic, agenda to maintain power. The conflict over competing conceptions of rights—those of capital versus those of people and nature—is ultimately decided by power and force.

威权转向。面对不稳定和潜在的失控风险，统治精英可能会诉诸更加公开的威权主义，正如美国新保守主义的兴起所体现的那样。这包括加强军事化、压制异议，以及推行狭隘的、往往带有民族主义和道德主义色彩的议程来维护权力。围绕权利概念的冲突——资本权利与人与自然权利——最终由权力和武力决定。

Last updated: August 14, 2025