澳 門 研 究 J o u r n a l o f M a c a u Stu d i e s 第 19 期 Vol.19 澳門大學澳門研究中心 編輯 澳門基金會 出版 2003 年 12 月 II
目 录 CONTENTS 學者專訪：“澳門高等教育的定位與發展” ......................澳門研究中心整理 1 Academic Interview:“The Orientation and Development of the Higher Education in Macau”………..Centre for Macau Studies 正確認識基本法，提升“一國兩制”意識 ............................................楊允中 15To Understand the Basic Law Accurately and to Raise the Consciousness of“One Country,Two Systems”….IEONG Wan Chong債權意思主義模式下物權要因原則的不必要....................................唐曉晴 35The Non-necessities of“Principio de causalidade”in “Principio de consensualismo”…………………………TONG Io Chen澳門行政與立法機關之變革 ................................................................呂國民 49The Transformation of the Executive Authorities and Legislature in Macau……………………………………LUI Kwok Man 澳門入境遊客合法權益初探 ................................................................簡萬寧 62A Tentative Investigation on the Legal Rights of the Tourists in Macau......................……………..……….KAN Man Neng 試論澳門公務員福利制度及其改革建議........................................司徒英豪 84A Discussion on the Welfare System of the Macau Civil Servants and a Suggestion on its Reform .... ………..……………SI TOU leng Hou 港澳制度比較研究——自由港與稅收...................................陳麗君/鄭天祥 92A Comparison Study on the Free Port and Taxation Systems in Hong Kong and Macau ………………CHEN Lijun/ZHENG Tianxiang 澳門如何通過標杆比較提升競爭力 ..................................................曾忠祿 101The Enhancement in Competitiveness through Benchmarking in Macau.................. …………………….ZENG Zhonglu III
關於澳門特區產業結構轉型的討論 .................................................. 吳麗燕 114A Discussion on the Structural Change of Industries in the Macau SAR................................ ……………………...UNG Lai In 落實特區政府培訓政策，優化本地人力資源——澳門理工學院職業技能培訓工作進展簡述.........................陳偉民/李雁玲 127The Implementation of the Training Policy of the Macau SAR Government and the Implementation of Local Human Resources.………….CHAN Wai Man/ LEI Ngan Leng 澳門治安狀況簡析 ..............................................................................陳欣欣 143 An Investigation into the Law and Order in Macau………Penny Y Y CHAN 社會保障方式的未來抉擇 ..................................................................鄧玉華 153The Type of Social Welfare Adopted in the Future……………TANG Iok Wa Coexistence and Seeking Common Ground while Reserving Differences - A Core Factor of Chinese Traditional Thought..................……………..IEONG Sao Leng/IEONG Wan Chong 161 求同存異——中國傳統思想的核心要素 ……….. ………楊秀玲/楊允中穗港澳飲食文化比較 ..........................................................................彭順生 189A Comparison of the Culture of Food and Drink in Hong Kong, Macau and Guangzhou………………………………..PANG Shunsheng 後SARS時代澳門老人醫療護理服務問題之探討............................潘錦盈 208An Investigation on the Medical Nursing Service for the Old People during the "Post-SARS Period".....……………………. POON Kam Ieng 萬曆四十八年紅夷船沉陽江始末考—— 兼談紅夷大炮早期入華問題 .....................................................湯開建/吳青 231An Investigation on the Sinking of the "Unicorn" Ship in Yangjiang in 1620 and the Introduction of the "Unicorn" Firecracker to China…………………TANG Kaijin/ WU Qing 葡人在福建活動地Chincheo重考 ......................................................施存龍 257An Afresh Investigation on Chincheo - the Place Where the Portuguese Conducted Activities in Fuzhou……………SHI Cunlong IV
“康熙曆獄”中被拘押傳教士 ..............................................................趙殿紅 266The Activities of the Detained Missionaries in Guangzhou During the "Calendar Case" in Early Kangxi Reign (1662—1671) …………………………ZHAO Dianhong V
技術人員，基本上都是採取公開招聘的。這樣，使原來的行政隊伍質素提高，管理水平自然亦會相對地提高；第三，制定一系列的教學、行政管理規章制度，實行法治。因為理工學院在發展的過程中也要不斷地建立及完善自己內部的管理機制，例如理工的教學章程，儘管理工學院與澳門大學同樣地於 1991 年成立起來，我們是直到去年才正式制定有關的教學管理章程。同時行政管理方面，加入國際性的ISO900 亦是其中一項措施，讓行政管理提高上去。這些作法就是“練內功”，把自己的教師隊伍、行政管理隊伍及內部規章制度規範化，接着就是發展科研的領域。回歸前，立法會及社會上曾經有些人士批評理工學院不搞科研，後來我們便成立了科研暨出版處來專門進行科研工作，這兩年特別結合澳門社會及經濟發展的實際需要來進行科研活動。譬如説，理工成立了一個社會經濟研究所，為澳門特區社會及經濟發展進行研究，包括博彩業的研究等等；另外，理工成立了中西文化研究所，澳門是中西文化的交匯點，西方文化進入中國的大門，澳門是一個融匯點，因此中西文化交匯便是澳門的特色；接着，理工亦在人力資源方面展開研究，配合特區政府人力資源的合理配置及提高澳門政府人員的素質。理工學院要發揮自己的特色，走自己的路，量力而行，因應社會及市場的發展進行科研，這樣亦能提高自己的競爭力。 在“練內功”的同時，理工學院亦“借外力”。借助外力的意思是開展國際性的合作與交流，因現在不但在經濟上有全球化的趨勢，高等教育也有一個全球化的發展趨勢，要發展便不能坐井觀天、閉門造車，而是要發展合作關係，有選擇地，而不是盲目地去發展及交往，發展能夠互惠互利的合作關係。例如，理工學院為了保持自己中葡翻譯課程的特色，就選擇與葡萄牙里斯本大學(Universidade de Lisboa)、阿維羅大學(Universidade de Aveiro)及賈梅士學會(Instituto de Camoes)進行合作；另外又與英國的龍比亞大學(Napier University)及倫敦大學(Queen Mary University ofLondon)建立合作戰略伙伴關係，以提高自己的電子商貿課程；同時又選擇了澳大利亞的墨納施大學(Monash University)、皇家墨爾本科技學院(Royal Melbourne Institute ofTechnology)、維多利亞科技大學(Victoria University ofTechnology)及坎培拉大學(University ofCanberra)進行合作與交流。接着又與美國著名的博彩培訓學院大西洋城凱波社區學院(Atlantic Cape Community College)建立合作伙伴關係。除了與向外國先進大學進行合作外，還與內地的北京大 11
主的制度化、法律化，並嚴格依法進行國家管理的一種方式。只有把社會主義民主制度以法律形式確定下來，並使這種制度和法律具有穩定性、連續性和權威性，做到“有法可依，有法必依，執法必嚴，違法必究”，才能切實保證公民在法律面前一律平等，才能使國家生活和社會生活建立在正確的原則之上。正如英國哲學家J.洛克所指出，政府“應該以正式公佈的既定的法律來進行統治，這些法律不論貧富、不論權貴和莊稼人都一視同仁，並不因特殊情况而有出入”。美國政論家T.潘恩也説：“在專制政府中，國王便是法律，同樣地，在自由國家中，法律便應該成為國王。”8其核心思想是要依法治理國家，法律面前人人平等，反對任何組織和個人享有法律之外的特權。法制有時也與“法治”一詞通用。 (二)法治(Rule of Law，Rule by law) 特指“按照民主原則把國家事務制度化、法律化，並嚴格依法進行管理的一種方法。”9只有使民主制度化、法律化，並嚴格依法辦事，以確立一種正常的法律秩序的國家，才是真正的法治國家。古希臘亞里士多德在其《政治學》一書中指出：“法治應包含兩重意義：已成立的法律獲得普遍的服從，而大家服從的法律又應該本身是制定得良好的法律。”10西方啟蒙思想家洛克、盧梭等主張法律面前人人平等，反對任何組織和個人享有法律之外的特權。《牛津法律大辭典》指出：法治是“一個無比重要的、但未被定義、也不是隨便就能定義的概念，它意指所有的權威機構，立法、行政、司法及其他機構都要服從於某些原則。這些原則一般被看作是表達了法律的各種特性，如正義的基本原則、道德原則、公平和合理訴訟程序的觀念，它含有對人的至高無上的價值觀念和尊嚴的尊重。”11在任何法律制度中，法治的內容主要應包括：對行政權的限制；反對濫用行政權力的保護措施；獲得法律的忠吿，幫助和保護無所不在的平等的機會；對個人和團體各種權利和自由的正當保護；以及在法律面前人人平等。在跨國家的和國際的社會中，法治指對不同社會的不同傳統、願望和要求的承認，以及發展協調權利要求，解決爭端和衝突，消除暴力的方法。它所強調的不僅是政府要維護和執行法律及秩序，而且政府本身也要服從法律制度，而不能置法律於不顧或熱衷於重新制定適應本身利益的法律法規。總之，現代社會法治強調法律與社會的互動，個人與社會的和諧， 21
債權意思主義模式下物權 要因原則的不必要 唐曉晴* 一、基於法律行為之物權變動的 各種不同模式 物權乃民事權利的一種，所謂物權的變動，就該權利的本身而言，是指其產生、變更及消滅。從權利主體的角度，則是該主體取得、變更及喪失物權。由於民事權利一般都均會歸屬於特定主體，嚴格地説並沒有“無主體的權利”，1所以，上述兩種角度並無本質的不同。 物權的取得可分為原始取得及繼受取得，而繼受取得又分為移轉性繼受取得及特定繼受取得。在權利取得及轉移的問題上，自羅馬法以來便有所謂“任何人不得轉讓超過自己所有的權利”(Nemo plus juris in alium transferre potest quam ipse habet)之原則。 物權變動本身是一種法律效果，而一切法律效果的發生，均源於法律事實。從法律效果是否受人的意思影響，可以將法律事實分為有意識之事實或法律上的行為(acto jurídico)及無意識之事實或自然事實。以人的意思與法律效果的關係作為標準，又可以將有意識之事實再細分為法律行為(negóciojurídico)和簡單法律行為(simples actojurídico)。前者是法律效果按行為人的意思產生，而後者則不一定。2因此，只有由法律行為所產生的物權變動是基於當事人變動物權的意思而產生變動物權的效果。 關於非由法律行為引起的物權變動，大陸法系各國的規定均較為一致， *澳門大學法學院助理教授、中國社會科學院研究生院民商法博士 35
例如：《澳門民法典》物權篇在所有權的取得方式的分節中，先規定合同、繼承、取得時效、先佔、添附3等為所有權的取得方式。然後便詳細規定先佔及添附的規則，而取得時效則在佔有之後有所規定。 可見關於由法律行為所引起的物權變動，大陸法系各國均有不同的特色。歸納起來可包括： 1.債權意思主義模式，即物權因法律行為而發生的變動除了當事人的債權意思外並無其他要件。純粹的債權意思主義模式又稱為純粹的“名義”體系(Sistema de título)； 2.公示對抗主義模式，即物權因法律行為而發生的變動仍然是僅憑當事人的債權意思，但未經公示者不得對抗第三人。公示對抗主義模形實際上是債權意思主義模式的修訂，因為這種模式中，物權效力的產生仍然是僅憑當事人的債權意思或“名義”； 3.債權形式主義模式，即物權因法律行為而發生的變動，既取決於當事人的債權意思，亦須履行登記或交付的法定方式。債權形式主義模式又稱“名義”＋“形式”體系(Sistema de título e modo)； 4.物權形式主義模式或純形式體系(Sistema de modo)，即認為產生物權變動的法律行為乃獨立於債權意思的法律行為，並且須以一定的形式來確定這種意思。4 二、澳門物權法的合意主義原則 (債權意思主義模式) 《澳門民法典》第 402 條規定：“特定物之物權，基於合同之效力即足以設定或轉移。”另外，《澳門物業登記法典》第 5 條規定：“須登記之事實僅在登記日後方對第三人產生效力”。結合上述規定可輕易發現，澳門民法所採取的物權變動模式是源自法國的登記對抗主義模式。即物權效力由僅憑當事人的合意即可產生，但所產生的物權非經登記不得對抗第三人。 事實上，從引起物權變動發生的原因上看，登記對抗主義模式與債權意思主義模式並無不同。兩者均以當事人的債權意思作為物權變動的依據，而且物權在債權意思表示完成的時候便發生變動。這裏的債權意思，實際 36
上就是締結合同的合意，所以債權意思主義或登記對抗主義模式均以合意主義原則(Princípio de consensualismo)為基礎，物的交付或登記均非物權變動的要件。所以，但凡物權的設定或轉移須以登記或交付作為發生效力的要件，便會被視為合意主義原則的例外。例如：質權的設定必須由債務人將標的物之佔有轉移、非以書面方式進行的動產贍與物權效力的產生取決於物的交付(即《澳門民法典》第 941 條規定)、不記名的證券的交付、抵押的設定與轉移等均為例外情況。5債權意思主義模式雖然起源於法國民法典，可是，其在澳門民法典的表現形式，卻與法國民法典有不同的地方。法國物權法關於動產所有權的取得方面採取所謂的“佔有等於名義”制度，6即自主佔有是所有權的取得名義，是直接取得動產所有權的方式。因此，法國物權法中，不動產的物權變動與動產的物權變動是兩套制度。然而，在《澳門民法典》的第 402條既適用於不動產，亦適用於動產，物權變動的模式在動產與不動產中都是一致的，都是以“名義”(合同)作為物權變動的唯一要件。所以，葡萄牙法學家習慣稱其物權變動制度為“純粹的名義”(sistema de méro título) 7模式。 債權意思主義模式下，沒有債權行為與物權行為的區分。物權效力與債權效力的產生都是基於同一個法律行為。至於為何會這樣，則所涉及的方方面面很多，其中較為重要的是原因與法律行為的關係。部分葡萄牙學者認為，在物權法上，原因與法律行為的關係可以以要因原則概括，下文將對此作初步的探討。 三、澳門(葡萄牙)民法中的要因原則的提出 葡萄牙物權法中要因原則的提出應始於Orlando de Carvalho教授。該學者指出，葡萄牙(澳門)物權法中存在要因原則(Princípio de causalidade)，而且要因原則是物權法各個原則中的“根本原則”(princípic constituciona1)。8 OrlandodeCarvalho教授並沒有明確地為這一個原則下定義，然而，通過上述著作對要因原則的論述，不難理解其思想。首先，Orlando教授承認， 37
其之所以提出要因原則，是追隨德國法學家海克(Heck)的意見，認為所謂要因原則乃是德國的抽象原則(abstraktionsprinzip或abstraktionsgrundsatz的相對。9該教授又分別指出：“我們的體系屬於名義體系的一員，顯然，任何對物的權利之創設或變更均取決於這些後果發生前的法律原因之有效性……”10“其意義是，具債權效力的行為是物權效力的法律原因，……”。11從該作者以上論述中，可以總結出兩個與要因原則有關的要點：①要因原則是抽象原則的反面；或者説，在物權法中，要因原則是與抽象原則相對的原則；②具債權效力的法律行為是物權效力產生的法律原因。 既然Orlando de Carvalho教授明確指出其要因原則的提出乃是受到德國學者的啟發，則本文不妨嘗試探討一下德國學者對要因原則的理解。在德國文獻中，克格爾(Gerhard Kegel)關於要因原則的表述甚為清楚：“若因法律基礎(原因)無效(或者效力未定而未生效力)，或者根本不存在法律基礎，或者財產變動目的未實現，一財產變動即為無效，該財產即屬要因。若雖存在上列瑕疵，財產變動仍為有效，該財產變動即屬抽象。”12 另一位德國學者OthmarJauernig在講述要因原則之時，亦提到：“處分行為的生效，包含須為其基礎(原因)的生效(亦即，物權合意須包含原因，此即內容要因)。負擔行為瑕疵或者無效，處分行為無效(外在要因)。”13上述兩位德國學者均提到要因原則與抽象原則相對，此亦印證了Orlando de Carvalho 教授對要因原則的認識與德國學者的認識基本相符。 事實上，Orlando de Carvalho教授的論述頗為簡要，但其意見得到部分學者14的附和並加以闡釋。例如，João Calvão de Silva認為，要因原則是指：“物權的創設及轉移必須要有一個取得的正當原因的存在。” 15 JoséGonçalves Marques亦有類似的表述：“沒有有效及具有決定性作用名義的存在，便沒有物權效力的產生，亦即是沒有物權的轉移或設定。”16 換而言之，根據葡國學者的觀點，所謂物權要因原則是指物權效力的產生，取決於一個正當原因(即一份有效、具決定性的名義)的存在。 對比德國學者的論述，可以認為，Orlando de Carvalho 教授及其他贊同其意見的葡國學者所謂的要因原則，實質上是德國學者 Jauernig 所指的內容要因，而不是外在要因。 澳門民法繼受葡國民法，關於被視作要因原則的主要法律基礎的條文，例如葡萄牙 1966 年民法典第 408 條，《澳門民法典》第 402 條百分百繼受、 38
動機是取得不動產。這些直接動機或目的，就是法律行為的原因。26客觀説則認為，每一個受到法律保護的行為均有一個“典型的社會功能”。例如，買賣合同具有“交換金錢與貨物”的功能。這項功能才是法律行為的原因。27在所有的有名合同中，法律對合同的要素均有所規定，所以，客觀的原因也就反映在這些法律要素的規定中。28 從法律行為的層面看，就原因與法律行為之間的關係之論述而言，葡國學者與德國學者的有關論述差別並不大。可是，細心比較可發現，雖然德國學者對原因的論述也可以理解為在法律行為的層面的論述，然而，其所指的法律行為卻是獨特的給與行為，而不是籠統的法律行為。 更清楚地説，德國學者討論給與行為與原因的關係，是因為給與行為本身便是一個被剝光了所有原因或及價值的概念，因此才需要另外以原因來補充。可以想像一下，例如，在一份合同中，當事人僅表示財產轉移的意思，而不説明是買賣、贈與或其他原因。 事實上，葡萄牙學者(尤其是Manuel deAndrade教授)清楚地認為，當沒有從法律行為中抽象出給與行為，為法律行為尋找原因可以説是多餘的。在有償法律行為中，一方的給付是以獲得對待給付為目的，目的早就包含在客體(給付)中。例如出賣合同中，出賣人之出賣是希望獲得價金、提供服務合同中，服務費的支付是為了獲得服務等等。在無償法律行為中，原因就是當事人的無償意思。29在有名合同中，客觀的原因也就反映在這些法律要素的規定中。 由於葡萄牙學者對原因的論述是從法律行為的層面出發，而原因在大多數情況(最起碼在有償法律行為的情況)已隱藏在法律行為之中，所以，有效的法律行為必定都有原因。這就是為甚麼Manuel deAndrade教授宣稱“原因”(Causa)“是一個可有可無的概念”(a nós parece um conceito dispensável)。30 七、要因原則在澳門民法體系中的非必要性 Orlando de Carvalho教授本人明確指出，在財產轉移過程中“只有唯一一個債權以及物權的行為，是一個效力上的物權行為(negócioreal quoad 43
effectum)。”31 João Calvão de Silva在其近期著作也提到，買賣合同是“既有物權效力，又有債的效力的合同。”32《澳門民法典》規定更為清楚：“特定物之物權，基於合同之效力即足以設定或轉移。” 由此可見，在債權意思主義這種模式下，設定或轉移物權的法律行為與所謂的原因行為(產生債的效力的行為)根本就是同一個法律行為。既然來來去去只有一個法律行為，則沒有所謂物權行為的效力依賴於其原因(即債權法律行為)的效力的問題。因為法律行為本身就是原因。物權的設定或轉移只不過是該唯一的法律行為的“效力”。法律行為的無效，就是不產生任何法律效力，這當然亦包括不產生物權效力。倘若將要因原則定義為：物權效力的產生，取決於一個正當原因(即一份有效、具決定性的名義)的存在，無異是説：“法律行為的效力取決於該行為是否產生效力。”又或者是“無效的法律行為無效”，是徹頭徹尾的劃蛇添足。不僅如此，還會使人產生“原因行為”與“產生物權效力”的行為是兩個行為的誤解，並以為兩者具有因果關係的獨立法律行為。這是不可能的，因為只有不同的事實(或行為)之間才可能有因果關係。根據大部分葡國學者對原因的理解，缺乏正當原因的法律行為不僅不產生物權效力，而是無效。 在實際應用方面，在移轉性繼受取得的情況下，要因原則有時被應用於解決繼受取得之權利是否有效的問題。 例如，甲透過法律行為而將某房地產轉移(出賣)給乙，可是兩人的意思表示乃虛偽意思表示，乙取得後又將房地產轉移(出賣)給丙。一般以為，丙之取得無效乃是因為要因原則的作用。 可是，簡單的檢視一下上述葡國學者對要因原則的定義，則發覺要因原則並不可以解作如此適用。因為，葡國學者認為要因原則是指：物權的創設及轉移必須要有一個取得的正當原因的存在。套入以上實例中，甲與乙的買賣行為本身就是標的物物權轉移的原因。所以，當甲與乙的買賣行為因虛偽而無效，標的物之物權從甲轉移到乙便沒有一個正當(有效)的原因，這樣，物權便不會轉移。由此可見，根據上述定義，要因原則僅可解釋乙沒有取得標的物的物權，而不可解釋丙沒有取得標的物的物權。然而，要解釋乙沒有取得物權這個現象，並不需要要因原則。甲與乙之間從來只有一個法律行為，該行為因虛偽而無效，所以，不會產生任何法律效力。請注意，甲與乙的法律行為是因虛偽而無效，是全部無效而不是部分無效。 44
“無效”(nulidade)制度本身便解釋了無法律效力的產生，所以，並不需要任何其他原則。這樣，輕易可以看見，要因原則對解釋乙之取得無效是毫無作用的。 另一方面，為甚麼又不可以認為丙之取得無效是要因原則的作用呢？理由很簡單。要因原則的定義並沒有包括這一方面。要解釋丙之取得無效，關鍵的問題是要在涉及同一標的物的轉移性繼受取得中建立起一個鏈帶的關係。換而言之，必須有一個原則説明為甚麼先前的取得無效會影響後面發生的繼受取得。解釋這個現象的是“繼受取得”或“傳來取得”規則本身，這個規則有時被稱為“任何人均不得轉利超過自己所有的權利”(Nemo plusjuris in alium transferre potest quam ipse habet)33原則。根據這個原則，“取得人所取得的權利範圍既取決於取得事實的內容，又取決於移轉人原有權利的範圍。”因此，解釋丙之取得無效的也不是要因原則。 有否正當性(是否公平正義)乃是價值判斷的問題，當給與行為被抽象出來作為一個獨立的法律行為，該行為本身便變成價值中立，因此，需要原因行為説明其正當性。原因問題的提出及研究，僅在給與行為被抽象出來並剔除所有價值含義的時候才有意義，其意義是以原因行為説明給與的正當性。 倘若給與行為沒有被抽象出來作為獨立的法律行為，一個法律行為本身便説明了其正當性，因此便沒有必要再為它尋找原因。因為原因就隱藏在行為人的意思表示之中，亦即法律行為本身之中。 將給與行為抽象出來作為價值中立的法律行為，然後又以一個原因行為來補充其正當性，從邏輯思維的角度來看是逆向的、反覆的。然而，從民法典的整體體系來看，經過這樣複雜的邏輯操作而得出的給與行為與原因行為的區分、以及從此而引出的物權行為與債權行為的區分、到最後處分行為與負擔行為的區分卻最能符合民法典的邏輯。 德國學者對要因模式及抽象模式的比較及論述正好展示了其法律對生活事實作法律抽象的高明手段，同時亦展示其抽象模式的優越性。假如不欲承認抽象原則，那麼在物權法中談論原因便失去了實益。葡國大部分學者並沒有將要因原則列為物權法的基本原則的原因大概如此。Orlando de Carvalho 教授一向尊 Manuel deAndrade 教授為恩師，對其學説多數推崇備致，然而，其所主張的物權要因原則卻顯然是與 Manuel deAndrade 對原因 45
與法律行為的理解有所不同。 要因原則作為抽象原則的對立、物權行為取決於其原因的有效性，僅在既承認物權行為的獨立存在，又承認原因行為的生效可以作為物權行為的生效要件的制度中才有意義。例如在德國法中，雖然民法典規定物權行為獨立於原因行為，可是該規定並非強行規定，當事人完全可以透過意思表示約定物權行為效力取決於其原因行為的效力，從而排除法律所規定的效果。換而言之，必須承認原因行為與給與行為(主要是物權行為)乃獨立法律行為，而給與行為的效力又取決於原因行為的效力，要因原則才有作用。這樣，要因原則既解決了給與行為的正當性，又對原因行為與給與行為的效力關係產生説明與指導意義。所以，在物權變動過程中，具有實際及指導意義的要因原則與抽象原則一樣，必須以分離原則為基礎。具備這種條件的要因原則實際上就是 Jauernig 所稱的外部要因。本文認為，要因原則不僅要表述原因行為與給與行為的效力關係，而且還必須説明原因行為與給與行為的分離這個前提，因此，要因原則是指：原因行為與給與行為是兩個法律行為，原因行為是給與行為的法律原因，給與行為的有效取決於原因行為的有效。 註釋： 1 Windscheid認為在某種情況下存在無主體的權利，例如當一張被拋棄的無記名證券。但當代大部分的學者均認為那不過是一個“財產被約束的狀態”，不應被視為權利。參看，Carlos Alberto da Mota Pinto：《民法總論》(中譯本)，澳門法律翻譯辦公室及澳門大學法學院，1999 年，第 103 頁。 2 詳見CarlosAlberto da Mota Pinto：《民法總論》(中譯本)，澳門法律翻譯辦公室及澳門大學法學院，1999 年，第 195－197 頁。 3 先佔、添附及取得時效中，先佔和取得時效均以佔有作為要件，而佔有是法律事實，添附則以物分屬不同所有人的兩物結合作為要件，而物的結合亦是法律事實。 4 參看孫憲忠：《物權行為理論中的若干問題》，載於《論物權法》，法律出版社，2001年，第 211 頁。 5 參閲JoséGonçalves Marques，Direitos Reais，未刊稿，2000 年，第 127 頁及後續。 6 法國民法典第 2279 條第 1 款：“en fait de meubles，la possession vaut titre.” 7 Rui Pinto Duarte，Curso de Direitos Reais，Princípia，2002，p.56. 46
8 Orlando de Carvalho，Direito das Coisas，Editora Centelha，1977，reimpressão pela Fora do Texto，1994，pp.255，265. 9 Ibid.，p.255. 10 Ibid.，p.265.所引句子之原文為：“Enquadrando－se o nosso sistema dentro dos sistemas do título，éevidente que a constituíção ou modificação de qualquer direito sobre as coisas depende da validade da causajurídica que precede essas mesmas consequências…” 11 Ibid.，p.268.所引句子之原文為：“Significa isto que o negócio de efeitosobrigacionaiséa causajurídica dos efeitos reais，…” 12 克格爾：《負擔與處分》，載於維爾納·費魯沫等主編：《國際法與國際經濟秩序：F.A.曼七秩華誕祝賀文集》，柏林，1969 年，第 57 頁；轉引自田士永：《物權行為理論研究》，中國政法大學出版社，2002 年，第 344 頁。 13 Othmar Jauernig：《煦離原則與抽象原則》，載於《法學教育》，1994 年第 9 期，第722 頁；轉引自田士永：《物權行為理論研究》，中國政法大學出版社，2002 年，第 344頁。斜體字為本文作者所加。 14 例如葡國的João Calvão da Silva教授及澳門的JoséGonçãlves Marques教授。 15 João Calvão da Silva，Cumprimento e Sanção Pecuniária Compulsória，Coimbra，1986，reimpressão pela Fora do Texto，1997，p.102. 16 JoséGonçalves Marques，Direitos Reais，未刊稿，2000 年，第 109 頁。 17 同上註，第 128 頁。 18 詳細分析請參閲上述著作第 109－110 頁，該著作明確指出名義產生物權效力的三個條件：第一，名義必須成立或存在(existente)。法律行為是當事人意思的產物，因此，僅在當事人的意思存在時法律行為方存在。倘若當事人缺乏行為意思或效力意思時，法律行為即不存在。所謂不存在的行為乃缺乏行為意思的行為、缺乏宣吿意思或意識的行為，又或者完全缺乏效力意思的行為。例如在人身脅迫、非認真表示、以他人名義締結之合同等等。第二，名義必須有效 (válido)。所謂有效須包括實質上及形式上的有效。就實質有效性方面，虛偽、真意保留或意思形成上的瑕疵(錯誤、欺詐、脅迫、緊急避險、偶然無行為能力等)均可成為實質性非有效的原因。就形式有效方面，法定要式的違反會構成無效。第三，名義必須起決定性作用(procedente)。所謂起決定性作用的意思是，名義必須是足以產生物權效力的。某些名義雖然有效，但不足以產生物權效力，例如附有停止條件或解除條件的合同。 19 對於要因原則如何受到限制，Gonçalves Marques教授的前揭著作第 110－127 頁有非常詳細的論述。 20 引自田士永：《物權行為理論研究》，中國政法大學出版社，2002 年，第 271 頁。 21 同上註，第 279 頁。 22 同上註，第 284 頁。 47
23 多位葡國學者對財產及財產權均有詳細的論述，例如，Mota Pinto：《民法總論》及Goncalves Marques的前揭著作。 24 以上論述均參考田士永：《物權行為理論研究》，中國政法大學出版社，2002 年，第302 頁。 25 必須注意的是，抽象模式是最符合德國民法典區分物權與債權的邏輯體系的。 26 參閲ManuelA.Domingues deAndrade，Teoria Geralda RelaçãoJurídica，Vol.Ⅱ，Almedina，reimpressão pela Fora doTexto，1992，pp.343－345. 27 參閲João de Castro Mendes，Teoria Geral do Direito Civil，Vol.Ⅱ，Associação Académia da Faculdade de Direito de Lisboa，reimpressão pela Fora do Texto，1995，p.270；ManuelA.Domingues deAndrade，Teoria GeraldaRela da Relãço Jurídica，Vol.Ⅱ，Almedina，reimpressão pela Fora doTexto，1992，pp.345－346. 28 Inocêncio GalvãoTelles，Manualdos Contratos em Geral，Coimbra，2002，4-aEdicão，p.295. 29 以上論證源自Ernst及Laurent。引自João de Castro Mendes，Teoria Geral do Direito Civil，Vol.Ⅱ，Associa ção Académia da Faculdade de Direito de Lisboa，reimpressão pela Fora do Texto，1995，p.267. 30 Manuel A.Domingues de Andrade，Teoria Geral da Rela ção Jurídica，Vol.II，Almedina，reimpressão pela Fora do Texto，1992，p.349. 31 Orlando de Carvalho，Direito das Coisas，Editora Centelha，1977，reimpressão pela Fora do Texto，1994，p.268. 32 João Calvão de Silva，Compra e Venda de CoisasDefeituosas，Almedina，2001，p.11 33 Manuel A.Domingues de Andrade，Teoria Geral da Rela ção Jurídica，Vol.Ⅱ，Almedina，reimpressão pela Fora doTexto，1992，p.18；CarlosAlberto Mota Pinto： 《民法總論》(中譯本)，澳門法律翻譯辦公室及澳門大學法學院，1999 年，第 202 頁。 48
方面可以選擇人口、資源或產業同澳門差不多國家為標杆進行比較。比如經濟加拿大的形象，使加拿大的旅遊事業近些市公園的來提高自己的競爭力。比如酒店建設非常成功的盧森堡就可以作為一個標杆。盧森堡的人口跟澳門差不多，但其人均 GDP 卻是澳門的兩倍。我們可以比較盧森堡的管理體制，也可以比較盧森堡的經濟發展戰略，從中發現澳門值得借鑑的地方。賭場管理方面可以選擇澳大利亞，美國的拉斯維加斯或大西洋城。澳大利亞是亞太地區賭場管理最完善的國家，博彩業是其經濟主流產業之一，其法律體系、管理模式、營銷手段很多都值得借鑑。拉斯維加斯與大西洋城的賭場管理各有所長。前者比較寬鬆而後者比較嚴格，可以選擇其法律體系、税收制度、管理結構、社會治安管理等方面進行比較。如果從城市/地方營銷的角度，澳門可以選擇加拿大、香港等地做營銷的標杆比較。這兩個地方都有非常成功的系統的推銷自己的方法。通過比較發現這些地方推銷自己的經驗和發現自己的缺陷。比較的內容可以包括他們的組織結構、營銷支出佔旅遊收入的百分比、他們的市場定位方法、他們的具體營銷專案、他們對營銷的績效評估方法等等。 特別是加拿大，本來加拿大氣候比較寒冷，不利於發展旅遊，但加拿大旅委會通過一系列營銷活動改變了年發展迅速。通過多年的促銷和努力，加拿大開發出六大主要客源市場和五大產品系列。六大主要市場是加拿大國內市場、美國、英國、日本、法國和德國市場，2000 年共佔其旅遊收入和人數的 90%。五大產品系列包括觀光感受系列、城市系列、戶外系列、冬季系列和文化感受系列。澳門也可以仔細規劃自己的客源市場，並針對它們開發不同的產品系列。 也可以選擇外國一個城市來比較城市綠化管理。這方面維也納也許是個很好的標杆。同澳門一樣，維也納也是以旅遊為主的城市，但其城佈局與設計可以説是世界最好的。十幾個公園在城市均匀地分佈，每一個都不同，每一個公園都是世界一流的。 但標杆比較更多的是適合企業。澳門的企業，從博彩娛樂公司到餐館到製造業公司都有很多地方可以通過標杆比較可以選擇最優秀的酒店在入住率、成本、收入、資本投入、顧客滿意度、回頭客的比率等等方面進行比較。比較可以選擇行業內部的企業來進行比較，也可以選擇行業外的企業來進行比較。比如營銷可以比較拉斯維加斯的賭場，但在客戶關係管理方面，則不必選擇行業內的企業，因為這 112
方面的資訊比較敏感，同行不一定會願意為你提供資訊。這時，也許選行業外做的最好的公司，如沃爾瑪(Walmark)、麥得隆(Metro)來進行比較。這些零售巨子長期通過會員卡收集客戶資訊，然後利用先進的數據挖掘、在線分析等方法，把客戶分成不同的層次，然後根據不同客戶的差異實施個性化營銷，取得了巨大的成效。 參考書目： Steven, O'Halloran, J. David,"Benchmarking World-Class Performance", McKinsey Quarterly, 1991, Issue 1. arch, 02. , ce LLC, Benefits and Value of Benchmarking, 2002. , Inc., 1998. , Macgraw-Hill, 理社，2000 年。 1. Walleck, A. 2. Coburn, Mathias, Supporting Strategy with Competitive Analysis, ReseTechnology Management, September — October 203. Resch, Troy and John Selman, Benchmarking in the Federal Government& A SurveyMarch 1994. 4. Balance Consulting Co., Benchmarking Oil Companies, 2000. 5. Best Practi6. D. A. Aaker, Developing Business Strategy, John Wiley & Sons7. Robert I, Jr. Boxwell, Benchmarking for Competitive Advantage1994. 8.曾忠祿：《情報制勝——如何搜集、分析和利用企業競爭情報》，企業管出版 113
Coexistence and Seeking Common Ground while Reserving Differences ----A Core Factor of Chinese Traditional Thought Ieong Sao Leng & Ieong Wan Chong* The concept of "one country, two systems" and Deng Xiaoping's theory have not emerged accidentally or in isolation in contemporary China. In fact, they are built on solid and profound social, culture, and theoretical grounds. In a sense, they are the inevitable outcomes of the traditional Chinese civilization, which has come down to us from generation to generation. It is an unprecedented triumph for the innovative concept of "one country, two systems" and Deng Xiaoping's theory to have solved the Hong Kong and Macau questions left over by history, which fully reflects the Chinese tradition, especially the traditional Chinese thought of peaceful coexistence and of seeking common ground while reserving differences for mutual benefits. 1. An Ancient Unified Nation of Multiple Nationalities It is universally acknowledged that the great Chinese nation that is composed of 56 ethnic groups is one of the most ancient nations in the world. Members of the Chinese nation constitute nearly 22% of the near 6-billion members of the humanity, one out of every 4 to 5 of world population being Chinese. And their country, China, is the only country of the ancient world's four great civilizations that has continued uninterrupted and remaining unified into the present day. And the People's Republic of China (PRC), which was founded in 1949 and * leong Sao Leng - PhD of Zhongshan University, Assistant Professor of Faculty of Education, University of Macau. Ieong Wan Chong - Senior Advisor to Rector, Acting Director of Centre for Macau Studies and Research Coordinator, University of Macau 161
founded in 1949 and has made her stride into the new century, is the legitimate successor of this great ancient country- China. Throughout her long history, the Chinese nation has distinguished and proved herself in her ability to survive, adapt, and break new ground in her vitality, unity, solidarity, and creativity. This golden thread highlighting the major characteristics of the Chinese nation was clearly identified by Professor John King Fairbank, the outstanding American Sinologist and Orientalist, who pointed out with great insight in his The Great Chinese Revolutions (1800-1985) that: "Anyone trying to comprehend the Chinese revolutions without sufficiently understanding her history is committing the mistake of flying blindly amidst mountains, a truth that has not yet been fully recognized."1As a matter of fact, as early as thousands of years ago, the ancestors of our various nationalities living on the vast land of China were already writing their own history and constructing their path of historical progress. Indeed, starting from remote antiquity, ancestors of various ethnic groups living in Zhongyuan, the Central Regions or Central Plains of China, through contacts and exchanges, linguistic assimilation and integration, especially through relatively stable and uniform agricultural activities, began to shape the Hua Xia nation, predecessor of the Han nationality. Specifically, before the Spring-and-Autumn and Warring-States periods, the Hans had already begun to mix with members of other ethnic groups, with more and more frequent contacts among them. During the periods of Qin and Han Dynasties, the nobles of the Six States and of the nomadic tribes also integrated, through massive migrations, into the Han nationality. Therefore, actually, the Chinese nation consists mainly of the Han nationality being made up of various brotherly ethnic groups through assimilation and integration over the ages, and thus no longer a "pure" ethnic community.2 The brilliant achievements of the numerous outstanding philosophers and statesmen, great masters of law and thinkers emerging throughout the history of the Chinese civilization embody both the advanced level of the Han culture and that of the various ethnic groups. They are the common wealth of wisdom created and shared by the whole of the great Chinese nation made up of all Chinese ethnic groups. It has been proved by an abundance of historical data that there were at least three major upsurges of massive migrations and ensuing assimilations and integrations of Chinese nationalities from the Spring-and-Autumn and Warring-States periods to 162
the last imperial dynasty of China, the Qing Dynasty. The first started from the periods of Spring-and-Autumn and Warring-States, with the national merging and integration completed in Qin and Han Dynasties, just as Ren Jiyu stated that the Chinese nation had come into shape during Qin and Han Dynasties, prior to which all the ethnic groups, living along the Yellow River and loosely related, were generally referred to as Hua Xia.3 In the meantime, roving nomadic tribes from the north and northwest moved into the economically and culturally advanced Zhongyuan, the Central Regions or Central Plains of China, speeding up the intermingling and assimilating process. In 221 B.C., Emperor Qin Shi Huang Di unified China and established the first centralized state of Qin, with the same unitary political and social systems "zheng tong zhi", the same written language and uniform standardization of cultural and educational practices "che tong gui and shu tong wen". The second upsurge of massive integrations of Chinese ethnic groups swept through Wei Dynasty, Jin Dynasty, Southern and Northern Dynasties to the Tang Dynasty. During the Sui and Tang Dynasties, the royal families and nobilities were the descendants of mixed marriages between Han nationality and ethnic minorities. The Tang Dynasty was actually ruled by a regime of the landlord class made up of all ethnic groups.4 The Tang Dynasty is also the most successful in integrating the main stream of the central regions with minorities of the remote frontier regions. They complemented and enriched each other economically and culturally and developed China into one of the cultural hubs of the world, and at the same time they each enhanced their own identities and promoted mutual recognition and acceptance. The third massive national assimilation and integration went through the Song, Yuan, Ming and Qing Dynasties, continuing into modern times, having gradually built up a common community consisting of the Hans, the Mongolians, the Manchus, the Huis and the Tibetans, the five major ethnic groups upon which the establishment of a republic was based as proposed by Dr. Sun Yat-sen. And eventually, it is this common community that has naturally grown into the Chinese nation, with both a common united identity and rich colorful multiethnic features, which further promoted exchanges and integration and which also defined China's territorial domain. The founding of the PRC in 1949 marks the beginning of a bright new era for this great ancient nation. The nation-wide census carried out respectively in 1954 and 163
1964 and two supplementary censuses conducted in 1965 and 1979 identified 56 ethnic groups in China, including the majority ethnic group, the Han nationality. The ethnic minorities which have a population of over one million include the Zhuang, Manchu, Hui, Miao, Uygur, Yi, Tujia, Mongolia,Tibetan, Bouyei, Dong, Yao, Korean, Bai, Hani, Li, Kazak and Dai, totaling 18 ethnic groups. Among them the Zhuang ethnic group has the biggest population of 18 million. There are 15 ethnic groups with a population of between 100,000 and one million, including She, Lisu, Gelo, Lahu, Dongxiang, Va, Shau, Naxi, Qiang, Tu, Xibe, Mulam, Kirgiz, Daur and Jingpo. And 22 ethnic groups have a population of between 10,000 and 100,000: Salar, Blang, Maonan, Tajik, Pumi, Achang, Nu, Ewenki, Jing, Jino, Deang, Ozbek, Russian, Yugur, Bonan, Moinba, Oroqen, Drung, Tatar, Hezhen, Gaoshan (excluding the population of the Gaoshan ethnic group in Taiwan) and Lhoba. The Lhoba ethnic group has the smallest population, with less than 3,000. According to a sample demographic survey completed in 1995, of the total population of the country, the Hans account for 91.02% while the rest, all the ethnic minorities put together, 8.98%, mostly scattering all over the country. Their habitation patterns are distinguished by large numbers of different ethnic groups living in large areas and small numbers of the same nationality concentrating on small areas. Some ethnic minority members may live in predominantly Han areas, or some Hans may also live amidst ethnic minority regions. The Chinese nation is a huge composite community composed of multiple ethnic groups, i.e., communities within a common community, mutually and symbiotically depending on one another like mineral intergrowths, and complementing one another with their strengths like enduring synthetic steel. Together, they have created their history and stood its test; together, they have created their civilization and found their way of development. The Chinese nation is the umbrella name for all the 56 ethnic groups of China, a big family raised by all.5 President Jiang Zemin sums up his feelings about the Chinese nation when he said, "We are all the descendants of the great Chinese nation. I prefer the name -Chinese nation, because it embraces all the ethnic groups of our country."6Again as Fairbank pointed out, the Chinese nation is a multi-ethnic community, because there are 56 ethnic groups, not just a mono-ethnic community. He reiterated that regarding the nationalities of the country, the nature of multi-composition should be identified and confirmed. Furthermore, the structural unification and completeness, and the fatal and beneficial consistency 164
should be affirmed. At the same time, the Chinese nation is a completely integrated whole. Then how is that the 56 ethnic groups have integrated themselves into a complete united whole, a nation that has successfully survived a vicissitude of thousands of years? And is there every sign of its continuity into the future for generations and generations? It is the unique cohesiveness of the Chinese nation that plays the vital role in holding the 56 ethnic groups together. And this cohesive force has been firmly grounded on their collective and individual interests and strengthened through their common efforts to fight their common enemies and strive for better life and future. It is especially worth noting that in spite of their differences in life styles, cultures and languages, the Chinese people of all nationalities aspire to see their country unified, and they all appreciate and feel proud of the cultural tradition represented by the Hans as the mainstream of the Chinese nation and are eager to learn from them. This respect for and appreciation of their mainstream cultural tradition show that in cultural aspects the 56 ethnic groups possess the same psychological traits, with a common value system and mode of thinking, which constitutes the major factors contributing to the unity and cohesive nature of the Chinese nation. The ethnic minorities of China have also made great contributions to the unity and reunification of the country, not only by assimilating and integrating themselves into the mainstream, but also by establishing great central powers in the past few centuries of China. For example the Yuan Dynasty was created by the Mongolians, which lasted 162 years and the Qing Dynasty by the Manchus, which lasted 267 years. There have been numerous great men and women emerging from Han nationality that have gone down in history by making great contributions to the progress of the Chinese civilization, and so have the ethnic minorities of China. Indeed, there have been innumerable outstanding men and women arising from various minority groups who have set shining examples for the Chinese nation. For instance, the great architect Yehimertin, who was in charge of the overall planning and designing the great Yuan Dynasty capital, is a Hui; the renowned navigator Yihemish is a Uygur; the exuberantly talented sinologist ci-poet, Longdula, is a Mongolian; the courageous reformer of the Ming Dynasty, Zongkeba, is a Tibetan; the famed philosopher, Li Zhi, is a Hui; the great navigator of the Ming Dynasty, Zheng He, is a Hui, the brilliant mathematician of the Qing Dynasty, Ming An-tu, is a Mongolian, the author of the extremely popular novel, The Dream of the Red Chamber, Cao Xue-qin, is a Manchu, to mention only a few. Here it becomes obvious that the cohesive nature of the Chinese nation is two-fold: at the ethnic level, there is cohesiveness within each group; at the 165
national level, there is cohesiveness within the big Chinese family consisting of 56 ethnic member groups. The ethnic unity and national unity are closely related and supporting and complementing each other, as part to the whole. The strengthening of national unity depends on that of ethnic unity, and in turn enhances ethnic unity. Throughout the Chinese history, the cohesiveness of the Chinese nation has been highly applauded as vital spiritual support, which contributes spiritually to the country's comprehensive strength, in addition to economic and technological strengths. Every historical period witnessed countless outstanding characters marching ahead of their times and left behind many a heroic deed as exemplars of unity for the Chinese nation. 2. Roots of Unity: The Making of a Nation For hundreds of thousands of years, the Chinese culture has featured significantly the dragon, which is the symbol, the totem worshipped by the Chinese. Of the cycle of twelve animals (namely the rat, ox, tiger, rabbit, dragon, snake, horse, sheep, monkey, rooster, dog, and pig) representing the twelve earthly branches, the so-called Chinese zodiac, the dragon is the only fictitious animal. The Chinese worship of the dragon can be traced as far back as 6,000-7,000 B.C. Taking on multifarious forms, the dragon has been extolled to possess supernatural powers, capable of performing all feats: swimming in water, flying through clouds, crawling on land, etc., doubtlessly a complex totem absorbing the symbols of many ethnic groups. The dragon culture has also undergone a profound evolution. Starting from Han Dynasty Emperor Wu Di, (Liu Bang), who named himself the "Heavenly Prince of the Dragon", the feudal emperors tried to monopolize the dragon image. They turned the dragon into a symbol of imperial power, by dressing themselves up in dragon robes, wearing dragon crowns, using dragon seals and living in dragon palaces. However, over the past hundred years, with the downfall of the last feudal dynasty, the dragon culture has revived with new features replacing the mysterious ones. It has become a traditional folk culture loved by the masses of people. Today, it is not uncommon to see the Chinese people of all ethnic groups celebrating their major events or festivals with dragon-boat races or dragon dances, not only over the vast land of China, but also in all corners of the globe where there are Chinese communities. Perhaps it is necessary to put in a few words here delineating how the terms Zhong Hua and Zhong Guo came about. Originally, Zhong Hua was a compound word made up of Zhong Guo and Hua Xia, generally referring to ethnic 166
communities inhabiting the Central Regions and with some cultural superiority. Later, accordingly, the "Zhong" in Zhong Hua was referred to as the Central Regions or the Middle Kingdom and "Hua" as cultural prosperity. Therefore Zhong Hua is both a geographical and a cultural concept, with more emphasis on the latter.7Our country is named Zhong Guo (China) and our people—Zhong Guo Ren (Chinese people)—this is a fact and a reality culminating from evolutions of a civilization of thousands of years. Zhong Guo has also undergone a transformation from a geographical concept to that of a sovereign state. In pre-Qin period, Zhong Guo, covering only the capital of Zhou Dynasty, or the civilized regions along the mid- or lower-reaches of the Yellow River, in contrast with uncivilized frontiers, was a small-restricted territory.8 Both Confucius and Xunzi, the famous ancient philosophers, made quite a few references to the term Zhong Guo, which, in their time, referred to the central regions and which was defined as civilized with farming, and receiving all kinds of products from other ethnic groups fishing or hunting in remote regions. This shows that there were close contacts and already high degrees of economic exchanges among various ethnic groups of China, which in turn promoted other ties and paved the way for the establishment of central powers. So during the Qin and Han Dynasties, Zhong Guo had long been extended to include the territories of the former remote frontiers, with Japan, Korea, Vietnam, Burma, etc, as her neighboring countries. Table 1 A Brief Chinese Chronology 167
Naturally, with the rise of the concept of sovereign states in modern history, the term Zhong Guo or China has become the traditionally standard name description of our country. However, on entering the 19th century, China gradually lagged behind in her development and degenerated into a backward country, with obvious decline in her comprehensive strength, thus being bullied and trampled upon by foreign powers. On 29th August 1842, she signed the first unequal treaty in Chinese history, the Sino-British Treaty of Nanjing, in which the name Zhong Guo or China was used. Later the Qing Dynasty government again used the name Zhong Guo or China in signing a series of unequal treaties of national betrayal and humiliation with foreign powers. In the early years of the 20th century, the Qing Dynasty was overthrown by the Revolution of 1911 led by Dr. Sun Yat-sen, who declared the founding of the Republic of China. And on 1st October 1949, the first generation of leaders of new China headed by Mao Zedong officially established the PRC. In both cases, the central term is Zhong Guo or China, which has always embodied the continuity of the historical development of our country. Nowadays, the PRC is one of the five standing member states of the United Nations (UN), and the Chinese language, which is the common language of the Chinese nation, one of the five official languages of the UN. With China growing stronger and stronger, both Chinese people and Chinese culture will more and more appreciated and respected among international communities. What has emerged so vividly from a comparative study between the ethnic characteristics of the Chinese nation and those of other nations is that the former is most representative of nations having the strongest unification consciousness. Indeed, as early as 3,000 years ago, the idea of "greater unification" was already put forward, and a unified country has always been the common aspiration of all ethnic groups of China. The Chinese nation is a huge composition of multiple ethnic groups. National unification is the mainstream of history, and it is inevitable that disintegration also occurs. However, the period of disintegration or separation is only a negligible episode in the long, long history of the Chinese nation. Our ancestors of the Chinese nation, starting from Huang Di, Yan Di,had long been living and working in the vast and rich Chinese soil. Upon the entry into the feudal society, the rise of the Xia, Shang and Western Zhou dynasties had contributed to the unification of China in the early period. After the states crumbled into disunity in the Spring-and-Autumn 168
and Warring-States periods, the Qin Dynasty finally unified the whole of China. After that, the Chinese nation experienced periods of disintegration, the collapse of state unification from Western Han and Eastern Han Dynasties , and the situation of the Three Kingdoms period, after which came the power of Western Jin, followed by the Five Dynasties and Ten States, and then again the unification by Northern Song. Then came the hegemonic period of Northern Song, Liao, Western Xia. Again they were reunited by the Yuan Dynasty, after which rose the Ming and Qing Dynasties, until the Republic period. The pandemonium of the warlords was only ephemeral; China was still an integrated state. The establishment of the PRC has long declared the ultimate unification of our Chinese nation. A review of history shows that out of the 2,000 years starting from the Qin Dynasty, the country was disintegrated for only about 600 years, accounting for only one third of the dynastic history of China. History has informed us that unifcation is the mainstream and significant trend of historical development, as unification brings wealth and prosperity to the people and leads to the establishment of a powerful state. This can be shown by the glory of the "Wen-Jing" epoch in its prime—the period under the rule of emperors Wen Di and Jing Di of the Western Han Dynasty, the "Zhenguan" epoch—the period under the rule of Emperor Taizong of the Tang Dynasty, and "Kang-Qian" epoch—the period under the rule of the emperors Kangxi, Yongzheng, Qianlong of the Qing Dynasty, which was brought about by the country's reunification. Throughout its history of China, whichever ethnic group established a central government to run the country, they always did their best to maintain balance and harmony among various nationalities while pacifying neighboring powers to extend the scope of unification. Dr. Sun Yat-Sen was the pioneer of democratic reform in China and devoted his whole life to the nation. He proclaimed, "It is impossible to carry out reform unless the state has been unified." Unification is the only time in which the "rule by the people" can be realized, and it is the time for China to enjoy equality with other foreign powers in the world. The pursuit of ethnic and national unity is a distinct feature of the Chinese nation. In their enlightening dialogues, which have won universal applause, both the British historian Arnold Toynbee and the great Japanese humanist philosopher Daisaku Ikeda made most insightful observations by convincing each other that no other nation in the world is comparable to the Chinese nation in their ability to unite hundreds of millions of their fellowmen, politically and culturally, for their common pursuits for thousands of years.9 Fairbank further theorized on this unique and distinct feature. In spite of the vastness of its territory, and its geographical and 169
cultural diversities, this sub-continent has always remained a unified political entity, a feat that has not been achieved by the Europeans. This should give us no surprise, knowing that the way of life that has held the country together is far more profound, and more deep-rooted, built on a much longer course of continuity from a remoter but well-established source.10For ages and ages, Chinese children have grown up reading ancient Chinese fables coinciding so miraculously in theme and morals with the Aesop's Fables that unity is strength. They all tell of an old farmer or an old man talking to his five, three or ten sons, instilling in them the idea that when you are united, you are strong and powerful; when separated, you are weak and being bullied by others. So popular are novels and stories glorifying Chinese emperors and unifiers and praising their deeds in reunifying the country, from Qin Shi Huang Di, through Yang Di of Sui Dynasty, Tai Zong of Tang Dynasty, Genghis Khan (the Chinese Yuan Empire stretching from the Black Sea to the Pacific), to Emperor Kang Xi of the last Chinese feudal dynasty, the Qing Dynasty, that their names have become household words in Chinese communities. Movies and TV series dramatizing and applauding their glorious deeds become hits in China and China towns all over the world. This is mainly because they helped create the most celebrated periods of political stability, economic growth and international prestige. Indeed, there is a lot of truth and wisdom in Ming Dynasty novelist, Luo Guanzhong's brilliant statement that opened his immortal novel, The Romance of the Three Kingdoms: Talking about the mega-trend of the World, long separations will definitely lead to reunification; and vice versa. In the final analysis, in a broken country, torn by wars and disasters, untold sufferings, hardships and pains are inflicted on the common people of all ethnic communities. However, in a unified country there is peace, stability and prosperity and the people of all nationalities enjoy numerous advantages undreamed of in a war-torn country, as summarized by the well-known Chinese historian Ren Jiyu in his paper entitled The Vitality of the Chinese Nation and Culture: a. Large-scale exchanges of goods and products were made possible throughout the country. The fine tea and lumber of the South, the indispensable salt of the coastal regions, the famed iron of the North, the cattle and rich products of the Northwest, could be transported smoothly to the regions where these daily necessities would otherwise be lacking; b. Manpower and resources could be centrally mobilized, concentrated and put to better and more efficient use. Projects of infrastructure, such as making 170
overall plans and coordination for the upper and lower reaches of the rivers, carrying out irrigation projects and renovations of waterways, preventing floods, providing relief to disaster-stricken areas, having high-yield areas help low- yield areas, etc.; c. Under a central government in a unified country, it is more effective to prevent civil wars internally and resist invasions from outside, thus more effectively protecting the property and lives of the people. In Chinese history the two peaks of population reaching over 50 million each, occurred during the Han and Tang Dynasties, when the country was unified and enjoy political and social stability; d. Financial resources and labor resources could be gathered from all over the country for carrying out huge engineering and cultural construction projects, such as the construction of the Great Wall, and of the Great Canal, which runs from the North to the South of the country, the compiling of great volumes of books, thus accumulating fabulous material and spiritual wealth for humanity; e. The stability of a unified country benefits international exchanges, enabling people to broaden their views and minds and enriching the cultural treasure house of a nation." Therefore it is an innate natural tie, reinforced by kinship, genetic lineage, affinity, fellowship and geographical connections that have united the various Chinese ethnic groups into a common community, and that is the golden thread that has been running through a history of thousands of years. Our national culture, psychological traits, national identity and sense of belonging are the spiritual ties that have drawn and brought various nationalities together in a big family. Viewed from both a historical perspective and from the actual reality, this huge community of the Chinese nation, accounting for more than 1/5 of the world population, not only embraces the 1.3 billion people who have lived on the mainland China for generations and generations, but also compatriots living in Macau and Hong Kong, both having returned to China, those inhabiting Taiwan on the other side of the Strait, which is genetically, culturally, historically, anthropologically, and ethnographically part and parcel of China, and tens of millions of overseas Chinese spreading all over the globe. They have all contributed to the great unity and unification of the Chinese nation. Indeed, they take immense pride in having common roots, origins, ancestors, a common genetic lineage, and a common language and civilization, of which the blood relationship plays a role not found in other nations. Since China's open-up and reform, more and more overseas Chinese and Macau 171
-Hong Kong and Taiwan compatriots have kept coming back to the mainland, to their hometowns or former residences, to seek roots and worship their ancestors for their numerous remarkable achievements. Carrying on the fine traditions of their ancestors, they have demonstrated significant signs of enhancing their national awareness. The claims that they make, such as "I am a Chinese", "I am posterity of Hua Xia", and "I am a descendant of the Dragon", have become most expressive declarations of their national pride. Mr. Li Ruihuan, President of the Chinese People's Political Consultative Conference (CPPCC), said, "In our present-day world, wherever they go, as long as they are the posterity of the Chinese nation, and they are still conscious of it, they can't help feeling proud of the brilliant culture of the Chinese nation."12It is true that they love nostalgically the vast land of China that has bred and nurtured the Chinese nation. For thousands of years the Zhong Hua Terra, mainly the Central Plains, watered and nourished by Huanghe (the Yellow River) and Changjian (the Yangtze River), is the source of our national culture, as well as a symbol of the soul of the Chinese nation. Indeed, this warm land extending 9,600,000 square kilometers, with Huanghe River, Huangshan Mountain, Changjian (Yangtze River), Changcheng (the Great Wall), etc., has been cultivated and guarded with sweat and blood by our ancestors. Like their mainland compatriots, people in Hong Kong, Macau, Taiwan, and Chinese overseas, feel irresistibly drawn to their homeland. It is true that the Chinese nation, imbued with enterprise, wisdom and intelligence, an inborn passion for their kith and kin, and tenacity to overcome difficulties, has long learned to unite as one. With a strong sense of belonging to their common national community, they are keenly aware of the fact that there would be no national survival and development without a national unity. Historically, whenever the Chinese nation fell into crisis of life and death, or the country was invaded and its sovereignty violated, compatriots in Macau, Hong Kong, Taiwan and the Chinese living overseas would come to the nation's rescue, sacrificing their own interests, and fighting for the common destiny of their nation, leaving behind pages of pages of touching heroic deeds. It is true that psychologically they identify themselves with the fine and long tradition of Chinese culture, especially the soul of the nation, the spiritual support of the nation to unite, march ahead, and strive for better future. This cultural tradition and national spirit has been put to the test and proved to be an invincible wealth to inspire the people to make greater efforts and invigorate the nation. And it is true that they earnestly aspire for and have full confidence in the 172
overall revival of nation and are ready to make due contributions. People of Hong Kong and Macau feel strongly that the development of Hong Kong and Macau means the development of their nation, and their progress is the progress of their country, and the issue of Taiwan, which has yet to be reunified peacefully, has to be resolved in the process of national progress and development. Once the two sides of the Strait become reunified through peaceful means, like what is happening in Hong Kong and Macau, their way of life, their social system, etc. will remain unchanged. This means that probably for a long historical period, in today's Macau and Hong Kong, and in tomorrow's Taiwan, a social and political system, which is different from that of the mainland China, is implemented. Nevertheless, their national identity born of the same ancestry and genetic lineage, and their desire to participate in writing the contemporary history of the Chinese nation cannot be underestimated. National unity depends mainly on a common language, customs, religious beliefs and a common cultural tradition. The residents of Hong Kong and Macau have proved themselves masters of their country, during the transitional periods, before and after their return to the motherland and the establishments of their Special Administrative Regions respectively in 1997 and 1999, and at present, when they are going all out to build up and develop their Special Administrative Regions, their national awareness, their sense of unity and patriotism have been greatly enhanced. As patriots supporting the Basic Law and the policy of "one country, two systems", they are bound to be the mainstay of the society both to exercise their rights and perform their obligations, namely, "Macau people ruling Macau" and "Hong Kong people ruling Hong Kong". These factors help to crystallize the recognition of differences in some systems between Hong Kong-Macau and the mainland China and between Taiwan and the mainland. And it is on this basis that the interests of the present and of the future, of part and whole, can be successfully incorporated. And then the people of Hong Kong, Macau, Taiwan as well as of the mainland, can join hands and work together, contributing to their country's reconstruction, national harmony and unity, and the development of their nation. In the meantime, the millions of overseas Chinese scattering in various continents of the world, with more understanding of and identification with their motherland and nation, have been playing the unique roles of bridges and links and making increasing contributions to Sino-foreign economic and cultural exchanges and human progress. Perhaps it is no exaggeration to say, "Wherever there are inhabitable places, wherever there are cultural exchanges, there are the Chinese; and wherever there are the Chinese, there is Chinese culture taking roots and thriving". 173
3. A Brilliant Plural and Integral Culture of the Chinese Nation 3.1 An Interpretation of the Chinese Culture Chinese culture is a comprehensive entity characterized by its extensive contents and identical views developed in an open, self-strengthening, magnanimous and tolerant community; it is the achievement of thousands of years of struggle and hardship, through widespread absorption and accumulation of rich experiences. Being an attribute and indicator of humanity's progress, culture has been defined by various sources, including the prestigious The New Oxford English Dictionary, as "advanced development of the human powers", "development of the human body, mind and spirit by training and experience", "evidence of intellectual development of arts, science, etc.", "state of intellectual development among a people", "the arts and other manifestations of human intellectual achievements regarded collectively", "a refined understanding or appreciation of human intellectual achievements, the customs, arts, social institutions and achievements of a particular nation, people, or other social groups", etc.13 Ji Xianlin, a world-renowned historian and philosopher, Chinese professor of cultural studies, now going well into his tenth decade, says, "Culture may be defined as all the material and spiritual works of excellence ever created by mankind. Every nation has been making contributions to the aggregate of world culture, and cultural exchange among nations is the main force promoting the progress of human society."14 Given all these definitions, we would not find it too difficult to conclude that culture is the sum total of all the material and spiritual wealth created by mankind throughout human history. However, whether used broadly or in its narrow sense, "culture", being a higher-frequency word in popular use, is still open to interpretations. According to Feng Tianyu, culture is classified into two major categories: the technical system and the value system. The former is manifested at the functional, material and practical-use level, referring to the sum total of the methods and products of human production and productivity that is the substantive foundation of the cultural edifice. And the latter, the value system, is manifested at the notional, conceptual, and ideological level, referring to value orientation, aesthetic interests, ways and modes of thinking, etc., that constitute the spiritual backbone of the cultural edifice.15 Actually, this interpretation is similar to the customary reference to the basic concept of culture as constituting the spiritual and the material. Between them and beyond, culture also includes the aspects of systems, social institutions, attitudes and behavior, which refer to the state system, the law system, the taxation, the customs, the etiquette and rituals, etc. The Chinese culture is generally referred to as the organic whole of all the material and spiritual products and wealth that 174
have been created by the Chinese nation since the ancient times, and which manifest the social, economic and political developments, their national features, their learning and scholarships, their scientific and other achievements with national characteristics, their sets of values, etc.16A distinctive feature that sets the Chinese culture apart is its pluralism and integration. Chinese culture is an integral whole distinguished by pluralism because it has been created by all the nationalities of China sharing a common history, a common destiny, common sufferings and struggles, and common aspirations. They have the same language that has molded their ways of thinking, and the same tradition that has held them together with continuity and innovation and glows with Chinese humanism and wisdom. The people of all ethnic groups get along with one another in harmony without necessarily agreeing with one another. There is unity, which gives vigor and strength; there is variety and difference that promotes exchanges among various groups, giving full play to their respective strengths. So Chinese culture, created by the concerted efforts of all ethnic communities, is also the source of synergy on which the various nationalities of China depend to maintain their harmony and solidarity for the development of their country. The long, long history of over 5,000 years has witnessed the emergence of hundreds of schools of philosophers contending for truth in the Spring-and-Autumn and Warring-States periods, the multitude of schools disseminating their brilliant ideas and thoughts in the Han and Wei dynasties; the booming prosperity of poetry and ci-poetry and the rise of a constellation of gifted poets in the Tang and Song Dynasties; the stirring operas and dramatic qu-poetry in the Yuan Dynasty; the popularity of novels and romances in the Ming and Qing Dynasties; the moral and epistemological teachings of Laozi, Zhuangzi,Confucius and Mozi; the immortal essays of Hanyu, Liu Zongyuan, Ouyang Xiu and Su Shi; the historiography studies of Zuo Qiuming, Ban Gu (and his father and brother), and Sima Qian (father and son); the philosophical writings and Confucian theorizing of the Cheng brothers, Zhu Xi, Lu Jiuyuan and Wang Yangming; the grieving sorrows and gnawing worries of Qu Yuan and Du Fu; the staunch loyalty and dedication of Yue Fei and Wen Tianxiang; the cultural and military achievements and outstanding statesmanship of the Tang Emperor Taizong and Song Emperor Taizu; the Four Great Inventions, the kaleidoscope of accomplishments in music, chess, calligraphy and paintings; and the tea, wine and culinary crafts, manners and rituals, all of which have, through interactions and assimilations and in a variety of ways, contributed to the aggregate of the Chinese culture.17 The paper-making skill invented 2,300 years ago, the gunpowder 1,200 years ago, block printing 1,300 years ago, mobile typographic printing 1,100 years ago, 175
the compass 900 years ago are all milestones of human civilization and progress, which are also highly spoken of by the famous British scientist scholar, Joseph Needham, describing these Chinese inventors as striding far ahead of those creating the "Greek miracles" or the whole of the West from the third to thirteenth centuries.18In our discussions of the Chinese culture, and to upgrade cognition and recognition, it is necessary to uphold the following principles: 1 .We must insist on the unification of the material culture and the spiritual culture into a complete whole. This is because the magnificent wealth of material achievements has been created by the Chinese nation by using their wisdom, knowledge of science and technology and sets of values, reflecting their degrees of mastery of nature and standards of social productivity. And the splendid spiritual culture created by the Chinese nation is the sum total of their achievements and knowledge products in philosophy, ideology, institutions, ethics, national soul, literature and arts, languages and writings, religions and social mores and customs, etc.; I92. We must observe the principle of integrating the traditional culture and the modern culture into an organic whole. The traditional culture in its broad sense is the cultural heritage handed down to us, having gone through the process of the good and useful being developed and of the bad and useless being discarded, since the ancient times, but it is not the whole of our culture. There is both the cultural heritage shining with the patina of time and innovations glowing with changing times and modern creativity, where the vitality of the Chinese culture lies. Therefore the relationship between the traditional culture and modern culture is that of continuity and development, the former being the foundation, the latter evolution and rejuvenation of the former. The combination of the two represents the contemporary Chinese culture; 3. We must maintain the organic integration of cultural structure and ultural functions. The Chinese culture, having been subjected to the test of constant selection of time and space and interactions amidst its various elements, has maintained a continuum of balance, coordination, adjustments and readjustments. Judging by the structure of its historical evolutions, socialist culture is still the main stream of present-day China. However, the remnants left over from feudalism, colonialism and semi-colonialism should not be ignored or underestimated. In our vigorous efforts to promote modern culture,we should also vigorously promote and protect our fine traditions and works of excellence. Judging by its social functions, political culture, economic culture,laws, ethics and morality, physical culture, religions, customs, etc., are all important and we should 176
take them all seriously. However, at present, we should attach particular importance to the legal culture, law education and legal awareness of the people. There still exist certain cultural contradictions, such as those between the Han nationality and other ethnic groups, between the central and remote frontier regions, between developed and undeveloped regions, between indigenous and foreign or imported cultures, yet to be resolved. The various relationships still need to be improved and harmonized. As a matter of fact, the structural integration and unification of the Chinese culture has enabled its various elements to effectively perform its various social functions. For instance, economically, it guarantees that scientific and technical advancement and innovations improve social productivity. Politically, it ensures efficient administration and control of the country, the continuous improvement of the society, and the equal status and opportunity among community members, etc. Educationally, it facilitates, in a systematic way, the enhancement of the human quality and their comprehensive faculties in knowledge, skills, attitudes, etc. Legally, it helps to moderate human relationship and integrates the individuals into the community. Spiritually, it effects and reinforces the centripetal cohesiveness of the Chinese nation, inspiring them to create, to innovate and to strive for a better and better future, and; 4. We must carry on the unity of cultural acts and activities and their fruits and products. The Chinese nation is both the creator and disseminator of their culture, and the process of creating material and spiritual products is also the process of upgrading and perfecting themselves and thus of making new and continuous contributions to the development of human civilization and human progress. 3.2 Going Further into the Remote Past of the Chinese Culture: A Profile Description On 9th November 2000, Professor Li Xueqin, principal researcher of the Xia-Shang-Zhou Dynasties Project Panel of the Chinese Academy of Social Sciences, officially published Chronology of Xia-Shang-Zhou Dynasties, which put the recorded commencing dates of Chinese history, which traditionally had been set at 841 B.C., far back into the remote past by 1,200 years at one go. Thanks to the concerted efforts of more than two hundred scholars and experts in various disciplines, the Chronology gives us an exact and clearer picture of our history. It tells us that the beginning year of the Xia Dynasty was around 2,070 B.C., the turn of Xia and Shang being in 1,600 B.C. and that of Shang and Zhou in 1,046 B.C.. The Chronology also lists the ten Wang kings of Western Zhou and their dates 177
of reigns, the twelve Wang kings of the late years of Shang and their dates of reigns. This is an important breakthrough and research product in the studies of history and historiography. Another recent achievement in the field of historiography is that experts have in the main reached a consensus on the question of the identity and location of Tushan, an enigma that had given rise to a lot of controversial arguments. At a seminar held in Bang Fu in July 2001, a group of Chinese historiographers found the answer to the question: Where, after all, is Tushan, the origin of civilization of Xia, the first dynasty of China? The answer is that it was located in today's Huaiyuan County, Bang Fu, Anhui Province. Why is the discovery so important? According to Professor Li Xueqin, the identification of the location of Tushan not only provides a clearer historical profile of the greater unified Chinese nation, but also gives strong evidence to the theory that the Chinese culture has developed from plural sources, namely, in addition to Huanghe (the Yellow River), Chang Jiang (the Yangtze River), Huaihe (where Tushan is located) and other rivers are all maternal rivers of China.20In the spring of 2001, another project of special significance, an ancient civilization source-tracing project, was initiated, to solve the many mysteries, recover the history, the origins and evolutions of the Chinese civilization. It is expected that more convincing references will emerge from this research that will give conclusive evidence that the Chinese civilization, like the ancient Egyptian, Babylonian, Indian, Greek civilizations, is one of the birthplaces and cradles of human civilization. What is especially worth-noting here is that the Chinese civilization is a continuum from generation to generation without any interruption, with the earliest dawning dates, and the greatest profundity and richness, which has been proved, or will continue to be confirmed by, abundant written records, historical documents and artifacts excavated. The pre-historic Yuanmo Man of Yunnan Province of the Paleolithic Era, 1,700,000 B.C., and the Lantian Man 800,000 years ago, all left behind traces of fire use. The Peking Man already learned to preserve natural fire 500,000 years ago. The Caveman in Shanding Caves already learned to use man-made fire. In 7,000 B.C., at the turn of the Mesolithic and Neolithic Ages, the Ziyang Man of Sichuan Province used fire to power mills, bone tools, bows and arrows, wooden oars, and spears for hunting, fishing and farming, for digging wells and drawing water, for heating pottery wares, and making jewelry and ornaments with animal teeth, shells and stones, thus creating the earliest pre-historic culture. As far back as 10,000 years ago, primitive farming already began and our ancestors invented pottery and earthenware. Indeed, in recent years, the large 178
quantities of pottery and earthenware artifacts excavated in Tai An, Gansu Province, which represents the Dadi Wan culture and the heritage culture of Xin Longwa in Aohan Banner Inner Mongolia, and those in Guanghan, Sichuan Province, which represents the Sanxingdui culture, are among the rarest in the world, genuine treasures full of cultural and academic values. The painted pottery objects and relics unearthed in Dadiwan were dated 8,120 years ago, making this archeological site one of the earliest cultural sites of the world. The discovery of Xinlongwa culture in 1983—1993, dated 8,000 years ago, named as "The First Community of Hua Xia", occupied an area of 30 thousands kilometers square. It enclosed more than 170 underground residential caves, as well as over 30 memorial residential caves. Apart from this, excavated from the sites were a large number of pottery, stonewares, jadewares, bonewares, and plants and animal fossils. And what has mesmerized international archeologists is the discovery that in addition to the 7,000 odd artifacts belonging to the Hemudu culture discovered in 1973, there were heaps of rice, showing that paddy culture was developed here 3,000 years earlier than in India, previously recognized by the world to have been the earliest rice-growing country in Asia. This discovery gives evidence to the view that the people of ancient Hemudu were already engaged in agriculture, fishing and hunting, husbandry, pottery, textiles and other more sophisticated activities, creating a more advanced culture as one of the cradles of the Chinese civilization,21 which in turn has proved that the Chinese culture took its embryonic form as early as 6,000 years ago. It is customarily assumed that China has a history of civilization of 5,000 years. It will be no surprise that, with more and more archeological findings and studies, it is highly likely to retrace the beginning of our civilization to much earlier dates, maybe 6,000 or 8,000 years ago. Abundance of unearthed relics demonstrates that the Yellow River Basin and the Yangtze River Basin are the major birthplaces of the Chinese nation. In the Neolithic Age, during the periods of Yangshao culture that prevailed in the Yellow River Basin, and of the Hemudu culture that prevailed in Yangtze River Basin, we can roughly identify three ethnic groups and their respective cultures: Helo people living in the Northeast, Hai Dai in the East, and Jiang Han in the South.22The Helo Cultural Zone, as represented by pre-Yangshao culture (6,000— 5,400 B.C.), Yangshao culture (5,000—3,000 B.C.), Miaodigou culture and the Longshan culture of Henan Province, and the pre-Zhou Dynasty culture 179
(2,900—2,000 B.C.), originated and developed in and around the mid-reaches of the Yellow River. The earliest ancestors of the Chinese nation were Yan Di people, surnamed Jiang thanks to the Jiang River, and Huang Di people, acquiring the surname Ji from the Ji River. The two tribes were locked in many fights and struggles, and some people from both tribes moved eastwards, Yan Di people along the Wei River and the Yellow River to today's Henan, Hebei, Shandong, Hunan and Hubei provinces, and Huang Di people along the north of the Lo River, the Wei River and north of the Yellow River to today's Zhongtiao Mountain, Taiheng Mountain and Hebei Province. The Conference on "Helo Culture and Taiwan", which closed on 16th October 2002, concluded that the roots of Taiwan culture were in Helo. Experts and scholars from both sides of the Taiwan Strait agreed that Chinese culture took roots and thrived in Helo and then spread in all directions. In the process, Helo Culture, through continuous dissemination, interactions and mutual assimilations with those of neighboring regions, radiated to all corners of the vast land of ancient China, including Taiwan. Professor Xu Shunzhan of Henan Provincial Museum pointed out that one of the reasons for the long unbroken continuity of the Chinese culture is its many cultural links. Apart from the written Chinese character, for example, the ancient Chinese viewed the universe as following the law of the unity of opposites of Yin and Yang.23 The Chinese uphold the theory that man is an integral part of nature and believe in the harmony of man with nature. They also maintain their national spirit of "being virtuous and striving hard unceasingly to improve oneself and nature". These philosophical ideas and theories originated in Helo and were recorded in Yi Jing, Book of Changes, which also originated in Helo.24Haidai Cultural Zone, as represented by Qingliangang culture (5,400 B.C.), Dawenkou culture (4,300—2,000 B.C.), and the Longshan culture of Shandong (2,500—2,000 B.C.) took roots and developed in Shandong Province around the Tai Mountain, later extending to the north of the Huai River, the Bohai coastal regions, the Northeast of China. Inhabiting this zone were nine tribes, led by the ancient sage-king Fu Xi-shi, who established the principles of the Eight Trig rams used in divination. About 5,000 years ago, the two tribes of the Helo cultural Zone, Yan Di and Huang Di, got united and defeated the nine tribes of the Haidai Cultural Zone, and integrated them into the Hua Xia people.25The Jianghan Cultural Zone consisting of two sub-zones facing each other, one in the East and the other in West, was located in the mid-and lower-reaches of the 180
Yangtze River. The Yangtze Mid-Reaches sub-zone, represented by Zao Shi culture (5,000 B.C.), Daxi culture (4,000—3,000 B.C.), Qujialing (3,000 —2,600 B.C.) and the Longshan culture of Hubei (2,400 B.C.), had its hub in the Jianghan plains, extending southwards to the Dongting plains, westwards to Sichuan Province, and northwards to Henan Province. The Yangzi Lower-Reaches sub-zone, represented by Hemudu (6,900—4,800 B.C.), Majiabin-Songze (4,300—3,300 B.C.) and Liangzhu (3,300—2,200 B.C.), had the Tai Lake plains as its center, radiating to Hangzhou Bay, Nanjing and the borders of Jiangsu and Anhui. These zones, inhabited by ethnic minorities such as the Miao people, were birthplaces of the ensuing Chu culture. Thus the Hua Xia regime, as represented by Yan Di and Huang Di, through long periods of interactions and contentions, finally became the Hua Xia national communities, embracing Yandi and Huangdi, Zhuan Xu, Shun, Zhu Rong, etc., and their posterities. Together, they created the splendid pre-historic civilization of the Chinese nation.26The pre-historic culture of China has proved by archeological excavations to be pluralistic, plain and simple. Man-made fire replaced natural fire; stone tools improved greatly in form and function, in quality and in sophistication. Agriculture, as reflected by the production of rice, corn, sesame, peanuts, beans, vegetables, etc., already developed 9,000—7,000 years ago in areas covering today's Hunan, Henan, Hebei, and Zhejiang provinces. This was immediately followed by handicrafts such as weaving and knitting, pottery making, winery, textiles, etc.; primitive arts like paintings, sculptures, dances, music; primitive religions, such as the worship of natural objects, of ancestors, human propagation and reproduction, totem, etc., as well as early language and written characters. All of them created through and stemming from work and life, constituted the main trend of the spiritual civilization of the ancients living in the Neolithic Age. A striking feature of this period was bronze tools replacing those of stones, thus ushering humanity into the Bronze Age. A wealth of archeological relics excavated gives evidence to the fact that as far back as the Yin and Shang dynasties, and even earlier, China had already experienced the peak of the Bronze Age. Our forefathers had mastered the metallurgical technology and produce a large variety of copper-tin alloy tools, musical instruments for rituals and ceremonies, utensils and tableware, weapons, etc., the invention and use of which marked a historic progress in ancient civilization. 181
Chinese archeologists, after years of research, have concluded that the Chinese written characters came into being about 5,000 years ago, 2,000 years earlier than previously assumed. The signs engraved on pottery wares or potsherds excavated in the south of Shandong Province 20 years ago, were the earliest Chinese written characters discovered so far. Experts identified these written characters, dated more than 4,800 years ago, as Taozun wenzi pottery scripts or image scripts discovered in Dawenkou(4,500—2,500 B.C.). The characters included in the most ancient Chinese dictionary are Fan, Nan, Xuan, Xiang, Jin and Kou etc.27 The pottery scripts of the Neolithic Age were already well structured and grammatical. The inscriptions on tortoise shells or animal bones of the Shang Dynasty on the whole reflect and provide evidence to Liu Shu—the six formation principles of Chinese characters (self-explanatory characters, graphic images, associative and combined ideograph, picto-phonetic method, phonetic loan, and mutually explanatory/synonymous). Following the oracle bone inscriptions of the Shang Dynasty, came Jinwen—inscriptions on ancient bronze objects, of the Zhou and Yin Dynasties, with an obvious increase of picto-phonetic characters and new characters. The longest bronze inscription, Maogong Ding, consists of as many as 497 characters. The creation of the written language is an important milestone marking a new era of civilization of the Chinese ancients. In the closing years of the primitive society, the sage-king Fu Xi-shi invented Ba Gua, the eight trigrams,28 which was used by our ancestors in divination and which was further multiplied into sixty-four, (i.e., eight by eight), by Wen Wang, king of Zhou. The Book of Changes was apparently written in the transitional period from Shang to Zhou. The eight trigrams symbolize the eight elements that constituted material world. The commentaries to the Book of Changes interpreted them as Qian symbolizing the heaven, Kun the earth, Shen the thunder, Xun the wind, Kan the water, Li the fire, Gen the mountain and Dui the river.29 The Shangs manipulated their divinations by having the tortoiseshells or animal bones burned, and they predicted their fortunes by studying and interpreting the cracks on them. The Zhous used yarrows in different permutations so as to make up different pairs of trigrams and then interpret them. As this procedure was much easier to practice, it was called Yi meaning easy as well as change. And as it was invented in the Zhou Dynasty, it was also called Zhou Yi. Zhou Yi is profound in content and extensive in coverage, including natural observations, humanities, ethics, religion, mathematics, and the 182
interactions of Yin and Yang, reflecting the materialistic and dialectical elements of ancient times. The germination of the theory of the Wu Xing, Five Elements, as represented by Hong Fan, the Grand Norm, was another significant intellectual development of the Yin and Zhou periods. The original theory of the Five Elements was very simple. It consisted of the notion of the five directions: the east, the west, the south, the north and the central; and of the concept of the five materials: water, fire, wood, metal and earth. Hong Fan summarized the entire material world into five elements, described as water moistening, fire burning, wood straightening, metal cutting, and earth harvesting. This description reflected a naive materialistic view of the natural world in ancient times, as well as a conceptual formulation of the natural knowledge of the Chinese ancients.30During the Spring-and-Autumn and Warring-States periods (770—221 B.C.), following the emergence of dukes and princes setting up separate regimes, new multicultural zones came into shape, such as the Qi Lu cultural zone, the Chu, the Wu Yue, the Ba Shu, the Qin, and the San Jin, each contributing its unique characteristics to the Chinese culture. Common features included agriculture based on paddy, and new handicraft and manufacturing industries like bronze smelting, silk textiles, lacquer-wares, winery, etc. The growth of social productivity in these cultural zones and the development of feudal power led to the collapse of slavery. Along with the rapid disintegration and reshuffling of social classes and stratums, rose a spectacular galaxy of eminent schools of thought and thinkers. The volumes of Chinese classics written during the Spring-and-Autumn and Warring-States periods, such as Shi, The Book of Poetry (or The Book of Odes), Shu, The Book of History, Li, The Book of Rites, Yi, The Book of Changes, Chun Qiu, Spring and Autumn Annals, Lun Yu, Analects by Confucius, Mo Zi, The Book of Mo Zi, Zhuang Zi, The Book ofZhuang Zi, Laozi, The Book of Lao Zi, and Mengzi, The Book of Mencius, present systematically the fundamental thinking of the early Chinese civilization. Of the hundreds of contending schools, according to Sun Kaitai, the most important were the Confucians, the Daoists, the Mohists, the Dialecticians, the Legalists, the Strategists, the Agriculturalists, the Yin-Yang School and the Eclectics.31 Indeed, all this provided impetus to the unprecedented prosperity of learning and thinking in this period, one of the most brilliant and thriving periods in the history of the development of Chinese thinking. 183
The terracotta warriors of the "underground army" guarding the mausoleum, unearthed in 1974, amazed the world. The 8,000 vivid, life-size pottery figures, horses and chariots have been called the "eighth wonder of the world". Towards the end of the Warring-States Period, following the historical trend of the unification of the whole country, the different schools of thinkers and philosophers were gradually tending to merge. Though with the establishment of the unified feudal empire, the Qin Dynasty, the era of hundreds of schools contending came to an end, the spectacular contending scene marked a most significant stage in the intellectual history of China, a historical significance "that could perhaps be only rivaled in the ancient world by the classical culture of Greece".32The clear and succinct depiction and ideal of a world of great harmony and of a well-off society cherished by Confucius 2,400 years ago is still a source of inspiration and enlightenment, and has a strong bearing on today's world, as the golden thread keeps on running. 3.3 A Nation Open to the Outside World for Exchanges since Ancient Times Any country or nation in the world depends on contacts and exchanges with other countries for the healthy development of its culture. It is obvious countries need to make progress through exchanges, interflows, and intermingling, by interacting with one another, complementing one another for synergy, learning from one another, seeking common ground while reserving differences, and by improving the world together. This has been the case with the Chinese nation since ancient times. There have been great large-scale cultural exchanges with the outside world in the history of China, through which the Chinese nation has absorbed the best and most brilliant quintessence from other cultures, thus enriching and enhancing their own culture while preserving their traditional identity. Of these massive cultural exchanges with the outside world,five major upsurges have been the most influential, bringing about the most profound results deserving further studies. The first upsurge most typical of these exchanges lasted for more than two hundred years during the Western Han and Eastern Han Dynasties. Zhang Qian of the Western Han was dispatched to Xi Yu (mostly today's Xinjiang Uygur-Autonomous Region) on a diplomatic mission, thus opening up the Silk Road for economic and cultural exchanges between the East and West, introducing both the material and 184
spiritual products of the splendid Chinese culture to central and west Asia and the Mediterranean regions and bringing products of these regions back to China. This was perhaps the earliest large-scale open-up activity and cultural and economic exchanges between China and the outside world. The second upsurge came along with the establishment of the Jin Dynasty, which reached its peak in the Tang Dynasty. Religious exchanges took the lead, which was followed by the open-up and extensive exchanges in other domains. Buddhism, which was introduced to China from India during the two Han Dynasties, became assimilated and integrated into the religious culture of China, through a process of sinicization of Buddhism. The miracle and beauty of this cultural exchange is this: Buddhism, a religion that was originated in a foreign country, was brought to China and, surprisingly, through the creative efforts of the Chinese masters, became the mainstream religion of the Chinese nation! Moreover, a religion, which got lost in its birthplace, found its way to a foreign country, a country that has the largest Buddhist population! At the same time, along with religion, foreign learning such as logics, astronomy, medicine, calendar, etc., also came into China one after another. Being an obviously advanced culture standing on a vantage point at that time, the Chinese nation adopted an open and positive attitude towards foreign cultures and integrated them into their own culture. The third upsurge of East-West cultural interflow took place at the turn of the Ming and Qing Dynasties, which was also an all-round encounter of the marine and continent civilizations. It is especially worth noting that in this massive cultural interflow Macau played an active important role. The Italian Catholic missionary, Matteo Ricci, and others introduced Western Christian culture into China, and Western learning such as astronomy, calendar, cardiology, cannons, telescopes, ship-making technology, etc. Western missionaries paid great attention to the study of the Chinese cultural mentality and thinking. They also adopted the attitude of seeking common ground, calling themselves Western Confucians and tried to disseminate Christianity by combining Christian teachings with traditional Chinese ethics. By this time, though China had made remarkable achievements in the fields of science and technology, arts and literature, as well as philosophy, in comparison with Europe after the Renaissance, China was apparently lagging behind the West in the field of natural science. However, the Chinese neither worshiped the West blindly, nor rejected Western learning. Instead, they adopted a rational and modest attitude towards Western cultures, conscientiously studies natural science, 185
combining learning from the West with innovative endeavors. So during this period, China made great progress in mathematics, astronomy and calendric systems. It is not exaggerating to say that as far back as 400 — 500 years ago, the door to China was once opened by the advanced science and technology of the West as represented by Matteo Ricci. The fourth massive cultural exchange came after the outbreak of the Opium War and lasted until after the May Fourth Movement. On the one hand, Western powers invaded and cut up China and forced China to accept Western values under unequal treaties. On the other hand, however, many a Chinese, with insight and vision, began to rethink and reassess their positions and orientations, and make preparations for the imminent social changes. Around the 1920s, in particular, China entered a new era of ideological emancipation, following great polemics on democracy and science. And Marxism, as well as its proletarian culture, which was originated in the West, was introduced into China, giving rise to a new trial of strength between the two opposing forces in the political arena of China. Like the sinicization of Buddhism in China during the Western Han and Eastern Han Dynasties, Marxism, which was introduced into China in early 20th century, struck roots deeply into the Chinese soil, and combined with the revolutionary practice of China, became the leading ideology of the new culture after the May Fourth Movement, which was to change the nature of the traditional Chinese culture and the history of modern China. The fifth great upsurge of Sino-foreign cultural exchanges should be observed and studied as an ongoing process that started with the founding of the PRC in 1949 and has continued into today. In the early years, new China had to "side with the Soviet Union without reservation". From "learning from the Soviet Union" to extensive cultural and economic exchanges on all dimensions for global integration following the open-up and reform policy, and from exploring the socialist road to building socialism with Chinese characteristics, China has been witnessing a great opening up, a great progress and a great take-off that is unprecedented in its history. These epoch-making changes that have taken place in the past century have greatly improved people's livelihood, boosted China's international status, and the Chinese people's esteem. And at the same time they also have enormous influence on international situation and the reorganization of world powers, as well as the orientation of human civilization. 186
Notes: 1 Fairbank, J. K., The Great Chinese Revolutions 1800 - 1985(Chinese edition), World Affairs Press, 1999, p. 14. Note: If the original source is in Chinese, the author provides English translations. 2 Ren, J.Y., History of Chinese Philosophy, Beijing: the People's Press, 1998, p. 6. 3 Ren, J.Y., "The Vitality of the Chinese Nation and Culture", in Proceedings of International Symposium on East-West Cultural Interflow, held in Macau, March 1993, Macau Foundation, 1994, p. 27. 4 Ibid. 5 Zhang, L. & Kong, Q. R., (eds.), The Cohesiveness of the Chinese Nation, the Chinese Academy of Social Sciences, 1999, p. 3. 6 See Wang, C. Y., (ed.), "One Country, Two Systems" and Taiwan, the Huawen Press, 1996, p. 43. 7 Feng, T. Y. & Yang, H., The Trajectory of Chinese Cultural Development, Shanghai: the Shanghai People's Press, 2000, p. 6. 8 Ibid., p. 4. 9 See Ikeda D., Dialogues between Daisaku Ikeda and Arnold Toynbee, International Culture Press, 1985, p. 306. 10 Fairbank, J. K., The USA and China(Chinese edition), World Affairs Press, 1999, p.8. 1 Ren, J. Y, "The Vitality of the Chinese Nation and Culture", in Proceedings of International Symposium on East-West Cultural interflow, held in Macau, March 1993, Macau Foundation, 1994, pp. 18-19. 12 Li, Ruihuan, Pursuing Knowledge, Issue 10, 1990, p. 7. 13 The New Oxford English Dictionary, 2001, Web-site: http://www.oed.com.14 Ji, X. L., "Oriental Culture and Occidental Culture", in Proceedings of the International Symposium on East-West Cultural Interflow, held in Macau, March 1993, Macau Foundation, 1994, p. 11. 15 Feng, T. Y. & Yang, H., 77TheTajectory of Chinese Cultural Development, Shanghai: the Shanghai People's Press, 2000, p. 2. 16 Ibid., p. 2. 17 Jiang, R. Z., A Historical Interpretation of the Traditional Chinese Culture and its Present Significance, Taiyuan: Shanxi Education Press, 1997, p. 266. 18 Needham, Joseph, The History of Science and Technology in China, Vol.4, Cambridge University Press, 1955, Preface. 19 Lou, J., Chinese Culture and the Peaceful Reunification of the Motherland, Wuhan: Wuhan Press, 1999, p. 1. 20 See Macau Daily News, 24th July 2001, p. A8. 21 See Macau Daily News, 13th January 2002, p. A5. 22 Lou, J., Chinese Culture and the Peaceful Reunification of the Motherland, Wuhan: 187
Wuhan Press, 1999, p. 12. 23 In ancient Chinese philosophy, Yin and Yang were opposite principles or forces existing in nature and human affairs. Used in astrology, divination, geomancy, etc., it was an ancient theory on the rules governing the functioning of celestial bodies. 24 See report by Zhu, H. Y, "Xinhua News Agency", Macau Daily News, 20th October 2002. 25 Lou, J., Chinese Culture and the Peaceful Reunification of the Motherland, Wuhan: Wuhan Press, 1999, p. 12. 26 Ibid., p. 11. 27 See Macau Daily News, 4th April 2000, p. B5. 28 Eight combinations of three whole or broken lines used in divination in ancient China. 29 See "Commentaries" to the Book of Changes, in He, Z. W. et al., An Intellectual History of China, Beijing: the Foreign Languages Press, 1991, p. 19. 30 He, Z. W., et al., An Intellectual History of China, Beijing: Foreign Languages Press, 1991, p. 17. 31 Sun, K. T., "Ideology of the Pre-Qin Period", in He, Z. W., et al., An Intellectual History of China, Beijing: the Foreign Languages Press, 1991, p. 7. 32 He, Z. W. et al., An Intellectual History of China, Beijing: the Foreign Languages Press, 1991, p. 7. 188
第 25 卷第 1 期，1991 年；《擇日之爭與康熙曆獄》，載於《清華學報》，第 21 卷第 2期，1991 年；《新發現的楊光先“不得已”一書康熙間刻本》，載於《書目季刊》，第27 卷第 2 期；《從“始信錄序”析究楊光先的性格》，SWCRJ，第 16 期，1994 年；《康熙朝漢人士大夫對“曆獄”的態度及其所衍生的傳説》，載於《漢學研究》，第 11 卷第2 期，1993 年。 5 主要有Menegon，Eugenio，“Yang Guangxian’s Opposition to Adam Schall： Christianityand Westem Sciencein His WorkBu deyi”，in Schall Conference，Vo1. II，1998，pp.311－336；Moortgat，Grete，“Substance Versus Function(ti vs.yong)：The Humanistic Relevance ofYang Guangxian ’ s Objection toWestemAstronomy ”，inHumanistic Culture，1996，pp.259－277；ZhangDawei(張大衛)，“The Calendar Case in the Ear1y Qing Dynasty Re－examined”，in Schall Conference，Vo1.I，1998，pp.475－496；Zurndorfer，HarrietT.，“‘OneAdamHavingDrivenUsOutofParadise，AnotherAdam Has Driven Us Out ofChina’：Yang Kuang－hsien’s Challenge of Adam Schall von Bell ”， in L.Bluss é &H.T.Zurndorfer(eds.) ， Conflict and Accommodation inEarlyModernEastAsia.EssaysinHonorofErikZürcher，Leiden： Brill，1993，pp.141－167；以及中國學者祝平一的外文作品：Chu，Ping－yi，“Scientific Dispute in the Imperial Court：the 1664 CalendarCase”，Chinese Science，Vo1.14，1997，pp.7－34. 6 研究中國教案歷史的通史性著作，如張力、劉鑒唐：《中國教案史》，四川社會科學出版社，1987 年。 7 如陳佔山校註之楊光先等撰：《不得已》，黃山書社出版，2000 年，其中收入陳佔《楊光先評傳》一文。 8 (清)黃伯祿：《正教奉褒》，光緒九年刊本，第 23 頁。 9 湯開建：《順治時期天主教在中國的傳播與發展》，載於中國社會科學院歷史研究所明清史研究室編《清史論叢》，2001 年號，中國廣播電視出版社，2001 年 9 月，第 123－142 頁。 10 湯開建先生在《順治時期天主教在中國的傳播與發展》中根據不同材料所作的統計。 11 許淑明：《關於順康雍幹時期的耶穌會士的評價問題》，載於《中國史研究動態》，1985年 10 期，第 21－28 頁。 12 參考Nicolas Standaert，Handbook ofChristianity in China，p.307，1665 年傳教士人數表格，1664 年還應加上在山東傳教的郭多敏(Dominique Coronado)。 13 湯開建：《順治時期天主教在中國的傳播與發展》。 14 [德]魏特(Alfons Vate)著，楊丙辰譯：《湯若望傳》，商務印書館，1949 年，第 434－ 294
436 頁。 15 陳垣：《湯若望與木陳忞》、《順治皇帝出家》，分別載於《陳垣學術論文集》(第一集)，中華書局，1980 年，第 482－516 頁及第 533－541 頁。 16 《清世祖實錄》卷 109，第 110 及 113 頁。 17 黃一農：《擇日之爭與‘康熙曆獄’》，載於台灣《清華學報》，新 21 卷第 1 期，1991年 12 月。 18 陳佔山：《楊光先評傳》，載於其校註楊光先：《不得已》，黃山書社，2000 年，第 237－1269 頁。 19 同上註。 20 南懷仁：《曆法不得已辨》，載於陳佔山校註：《不得已》，第 139 頁。 21 關於“曆獄”的審理過程，黃一農、林東陽、安雙城等學者有過詳細的考證與叙述，參見林東陽：《楊光先及其反教事件》，載於《歷史與宗教：紀念湯若望四百週年誕辰暨天主教傳華史學術國際研討會》，輔仁大學，1992 年 10 月 22－24 日，第 179－212頁；安雙城：《湯若望案始末》，亦載於上述會議論文集。 22 中國第一歷史檔案館、澳門基金會、暨南大學古籍所合編：《禮部尚書祁徹白等題擬將栗安黨等 25 名傳教士送回廣東安插本》，載於《明清時期澳門問題檔案文獻彙編》第一冊，人民出版社，1999 年，第 55－59 頁。 23 [法]費賴之著，馮承均譯：《在華耶穌會士列傳及書目》，上冊《郭納爵傳》，中華書局，1995 年，第 225 頁。 24 費賴之書上冊，《潘國光傳》，第 230－231 頁。 25 費賴之書上冊，《劉迪我傳》，第 295 頁。 26 J.S.Cummins，A Question ofRites，Friar Domingo Navarrete and the Jesuits in China，Scolar Press，1993，p.134. 27 Albert Chan, S. J., "Towards a Chinese Church: the Contribution of Philippe Couplet S. J." in Jerome Heyndrickx, C. I. C. M. (eds.), Philippe Couplet, S. J. (1623— 1693), the Man Who Brought China to Europe, Jointly published by Institute Monumenta Serica, Sankt Augustin and Ferdinand Verbiest Foundation, Louvain, 1990, p. 61; pp. 55—86. 28 費賴之書上冊，《魯日滿傳》，第 337 頁。 29 Noel Golvers, Francois de Rougemont, S. J., Missionary in Ch 'ang-shu (Chiang-nan): A Study of the Account Book (1674—1676) and the Elogium, Leuven University Press & Ferdinand Verbiest Foundation, 1999, p. 21. 295
法，是可以找到根據的，而“歸堂之初，又死二人”，不知所指何人？我們只知道潘國光於 1671 年 4 月 25 日在廣州去世，也許另一人是 1671 年歿於安慶的李方西，但穆格我也於 1671 年歿於贛州。 51 鍾明旦表格(Handbook，pp.307－308)列舉 1665 年有 36 位，其中耶穌會士 26 位，道明會士 9 位，方濟會士 1 位；利安當也説當時有 36 位傳教士(Sinica Franciscana，Vol.II，p.537)；J.M.Gonzalez，O.P.則統計 1664 年有傳教士 37 人(Historia de las Misiones Dominicanas de China 1632－1700，Madrid，1964，p. 416)。 52 Sinica Franciscana，Vol.II，pp.537－538.在同書第 573 頁，利安當記錄有 6 人，包括羅文藻。 53 費賴之書稱耶穌會士楊若瑟(Joseph de Magalhaens)、羅迪我(Balthsar－Didace de Rocha)及羅閣伯(Jacques de Sotomayor)等人在教案時逃到澳門(上冊第 365－366 頁) 54 題本批紅：“栗安黨等二十五人，着照所議送回廣東。湯若望、利類思、安文思、南懷仁等，着免送回，仍留於此。其送回廣東者，着該督撫不時嚴查。留於此地者，着爾部(即禮部)不時嚴查，亦傳飭繼管各官，以防仍行傳佈邪教行亂。”(《彙編》，第 59頁) 55 Cummins，p.142. 56 費賴之書上冊，《劉迪我傳》，第 296 頁。 57 Cummins，p.142. 58 高華士：《耶穌會士魯日滿在常熟》，第 22 頁。 59 費賴之書上冊：《劉迪我傳》，第 296 頁。 60 高華士：《耶穌會士魯日滿在常熟》，第 22 頁。 61 參見閔明我的著作，Tratados historicos，politicos，ethicos y religiosos de la Monarchia de China，第 348－353 頁，轉譯自Cummins，p.142。 62 榮振華：《在華耶穌會士列傳及書目補編》(上)，第 172 頁：“(李方西)1665 年仇教期間被捕，先流放到北京後又於 1668 年逐至廣州，1671 年自流放地返回。”第 363頁：“(劉迪我)1668 年被流放到廣州”。這兩條材料是原書的第 47、147 頁，可以證實不是翻譯或印刷有誤。 63 榮振華(耿譯)書，第 842－843 頁；原書第 347 頁。 64 見《明清時期澳門問題檔案文獻彙編》(第一冊)，第 55－59 頁所收內閣滿文密本檔：《禮部尚書祁徹白等題擬將栗安黨等 25 名傳教士送回廣東安插本》。 65 另外兩名耶穌會士是潘國光和畢嘉。 66 David E.Mungello，“The Seventeenth Century Jesuit Translation Project”，in East Meets 297
West：the Jesuits in China，1582－1773，pp.250－281，p.258：“However，since da Costa died on 11 May 1666，and since it appears that not all the Jesuits on thislist arrived in Canton by thattime－de Ferrariis and le Faure may have arrived as late as 1668－it seems likely that the participation ofthese Jesuits consisted of long－ term study and discussion ofthe translation andcommentary ofthe FourBooks rather than anyconcentrated period ofconsideration.” 67 [美]衛思韓(J.E.Wills)撰，丁向陽譯：《關於 1662－1678 年耶穌會中國傳教團的一些荷蘭史料》，中國人民大學清史研究所編《清史研究集》第 7 集，光明日報出版社，1990年，第 352－377 頁。 68 費賴之書上冊，《劉迪我傳》，第 296 頁。 69 同上註。 70 [法]高龍盤：《江南傳教史》第 2 冊，卷 3，第 192 頁。 71 Cummins，p.143.耶穌會存放在東印度公司 10，000 金幣(pagoda，印度舊時通用的一種金幣)，安排每年給被流放的神父們 600 金幣。 72 閔明我的記述。轉引自Cummins，p.143。 73 費賴之書上冊，《劉迪我傳》，第 296 頁。 74 衛思韓(J.E.Wills)：《關於 1662－1678 年耶穌會中國傳教團的一些荷蘭史料》。 75 費賴之書上冊，《劉迪我傳》，第 296 頁。 76 [法]沙百里著，耿昇、鄭德弟譯：《中國基督徒史》，中國社會科學出版社，1998 年，第 117 頁。 77 《一位中國奉教太太》，第 48 頁。 78 費賴之書上冊，《劉迪我傳》，第 296 頁。 79 肖若瑟：《天主教傳行中國考》卷六，第 315 頁。 80 費賴之書上冊，《劉迪我傳》，第 296 頁。 81 衛思韓(J.E.Wills)：《關於 1662－1678 年耶穌會中國傳教團的一些荷蘭史料》。 82 高華士：《耶穌會士魯日滿在常熟》，第 7 章第 3 節，第 593－594 頁。83 衛思韓(J.E.Wills)：《關於 1662－1678 年耶穌會中國傳教團的一些荷蘭史料》。 84 費賴之書，《殷鐸澤傳》，第 328 頁。 85 D.E.Mungello，The Forgotten Christians ofHangzhou，UniversityofHawaii Press，Honolulu，1994，p.45. 86 高華士：《耶穌會士魯日滿在常熟》，第 22 頁及Cummins，p.145. 87 Cummins，p.145. 298
