I2008. 10會議紀要“走向回歸十年的澳門”系列活動之一──“法制進步與‘一國兩制’文明培育”座談會紀要 ...........................《澳門研究》編輯部政法研究正確理解基本法，認真落實基本法 .......................................................................................... 何超明實踐的代表──對澳門政治代表模式的討論 .......................................................................... 潘冠瑾淺論澳門司法機關的審級制度 ................................................................................................. 林桂桁論澳門婚姻登記制度 .................................................................................................. 譚桂珍、蘇一丹亞太區領袖改革戰略的比較──有關澳門改革戰略的初步構思 .......................................... 謝四德許霆案的啟示 ............................................................................................................................. 趙國強經濟研究專訪︰通貨膨脹與澳門經濟發展 .......................................................................《澳門研究》編輯部現代競爭觀及其他 ..................................................................................................................... 楊允中澳門網絡經濟發展問題探討 ...................................................................................................... 林輝蓮The Service Platform for Economic and Trade Cooperation betweenChinaandPortuguese-SpeakingCountries ............................................................................... IP Kuai PengOn the Role of the Chinese Government in the Institutiona lEvolution ofChina’s Financial System ................................................................................................................ SHENG Li文史研究澳門高等學校強化社會職能的努力方向 ................................................................................. 李嘉曾Development of Publ ic Schoo ling after Pol itica l Transition of Macau.............................................................................................. LAU Cheng Man Diana, YUEN Pong KauStudent Satisfaction as an Ind icator of Macau EducationServiceQuali ty ...................................................................................................... YOUNG Ming Yee Carissa從供應面看澳門長者服務發展 ................................................. 區耀榮、陳建新、陳慧丹、齊一銥澳門松山植被研究 ................................................................................. 梁敏如、何銳榮、譚國光等Why Macau People Die t .............................................................. CHAN Cheng Nga, LEI Chi Hang, IP Iok Kuan淺析澳門建築遺產的文化特徵 .................................................. 吳 堯、Francisco Vizeu PINHEIRO澳門世界遺產的遊憩價值評估 ................................................. 馬若為、陳錫僑、李金平、王志石澳門教育史研究回顧 .................................................................................................................. 鄭潤培晚清時期澳門博彩事業的興起及對本土文化的衝擊 .............................................................. 張海珊由創社巨子到“豬仔議員”──評高天梅的墮落史兼述賄選文化 ...................................... 劉景松列強拉薩之夢的破滅 .................................................................................................................. 黃鴻釗其他漢學歷史和學術形態──《列國漢學史書系》序 .................................................................. 閻純德目錄112144045516166788693102111116126135140145154159164173177182190
II48Seminar SummarySeminar Series on “Macau, Heading to the Tenth Year after the Handover”:Advancement of Legal System and the Civilization Cultivation of “One country,Two Systems” Policy ......................................................... Editorial Department of Journal of Macau StudiesPolitics and LawCorrectly Understand the Basic Law, Seriously Implement the Basic Law .................................... HO Chio MengOn the Political Representation Model in Macau ................................................................................. PAN GuanjinA Brief Analysis on Macau’s Trial-Level Judicial System ............................................................ LAM Kuai HangOn the Marriage Register System in Macau ..................................................................... TAN Guizhen, SU DanA Comparison of the Reform Strategies between Asian Leaders:A Preliminary Thought on the Reform Strategy in Macau ......................................................... CHE Sek TakThe Implication of the “Xu Ting Case” .......................................................................................... ZHAO GuoqiangEconomicsInterview: Inflation and the Economic Development of Macau........................................................................................... Editorial Department of Journal of Macau StudiesModern Views on Competition and Others .............................................................................. IEONG Wan ChongDiscussion on the Issue of the Economic Development of the Internet in Macau ................................ LIN HuilianThe Service Platform for Economic and Trade Cooperation betweenChina and Portuguese-Speaking Countries ................................................................................. IP Kuai PengOn the Role of the Chinese Government in the Institutional Evolution ofChina’s Financial System ................................................................................................................. SHENG LiHistory and CultureThe Direction for Macau Tertiary Education Institutions to Strengthen their Social Function .................. LI JiazengDevelopment of Public Schooling after Political Transition of Macau...................................................................................................... LAU Cheng Man Diana, YUEN Pong KauStudent Satisfaction as an Indicator of Macau Education Service Quality .................. YOUNG Ming Yee CarissaDiscussion on the Development of Elderly Service in Macau from the Supply-side Perspective................................................................................ AO Io Weng, CHAN Kin Sun, CHAN Wai Tan, CHI IrisVegetation of Guia Hill in Macau ................................... LEONG Man U, HO Ioi Weng, TAM Kuok Kuong, et. alWhy Macau People Diet .............................................................. CHAN Cheng Nga, LEI Chi Hang, IP Iok KuanStudy on the Cultural Characteristics in Macau Heritage ............................ WU Yao, Francisco Vizeu PINHEIROEconomic Valuation of the Cultural Heritage in Macau....................................................................... MA Ruowei, LEI Kam Peng, CHAN Shek Kiu, WANG, ZhishiReview of the History of Education in Macau ............................................................................. CHEANG Ian PuiThe Up-rising of Gaming Industry in Macau and the Effects on Local Culture at theLater Period of Qing Dynasty ............................................................................................. CHEONG Hoi SanFrom a Great Founder of Nan-She Society to a Bribed Voter: An Amateur’s View onGao Tianmei and the Culture of Money Politics .......................................................................... LIU JingsongThe Disillusion of the Foreign Aggression in Lhasa .................................................................... WANG HongchaoOthersThe History and Academic Format of Sinology: Preface for the Sinological History Serie ...............YAN ChundeCONTENTS112144045516166788693102111116126135140145154159164173177182190
“法制進步與‘一國兩制’文明培育”座談會紀要澳門研究6第48期院本 嚴謹的司法精神，認為制定行政法規是屬行政權的表現，而不是立法權的行使，而法令本身則屬於法律層面；換言之，行政法規是屬於一個較低層次的規範性文件，而它卻去修改一個屬較高層次的規範性文件。這樣違背了法律位階規則，不能用下位法去修正上位法的要求。而本人亦認同法院這個認知，但這樣另一個問題又跑出來了：在澳門原有的管治模式當中，通過大量的法令模式在進行日常的行政管理活動，而法令的法律地位被認定為等同法律，即跟立法會制定的法律是同一層次的，可是它的內容卻又大量涉及到日常的行政管理制度，而眾所周知，日常的行政是日新月異的，然而在這情況下，回歸後特區政府以行政法規的形式來修改法令，形式上確有冒犯之意，但實質上又可能是做對了。那麼澳門完整的法律體系便面臨 一個如果修改法令的問題，而作為立法機關的立法會，亦應該有所舉動，這個時候就是體現行政與立法之間的配合了。郝雨凡：澳門現有的法律顯然有滯後的一面。近幾年來澳門經濟快速增長，各種舊有的社會問題在未得到徹底解決的情況下，新問題又不斷湧現，要求現有的法律系統做出反映。而其中很多問題牽涉到立法，需要通過立法得以解決，這進一步凸現了澳門法律制度中的某些滯後性。實際上，任何法律的修定都是利益再分配的過程，涉及到的群體非常廣。所謂眾口難調。這並不只是澳門社會需要面對的問題，任何社會都是如此。社會如何發展，固然需要廣泛聽取不同人群的意見，盡可能地照顧到不同群體的願望和利益，這是發展民主政治最基本的要求之一。但是，我們不能片面地去理解這一點，更不能將民主的要求絕對化。如果說每個法令都要得到社會上每一個人的認可，都需要達成絕對的共識，那麼，任何立法或者政策方案的出台，幾乎都是不可能的。最終的結果將會是社會的僵持和發展的停滯。現在澳門社會也有一個有趣的現象，一些改革方案只要仍有一小部分利益團體出來反對，就很難推動，政府對一些尖銳的社會問題顧慮太多，很難做出果敢的決定。這裏涉及到是精英治理模式，還是大眾治理模式的問題。也就是說，我們的法律是基於精英引導，還是以平民政治為基礎，值得我們認真思考。其實有些方案，如果經過了謹慎的評估，認為方案的實施今天能對大多數人有好處，而明天能對絕大多數人有好處，即使仍有一些人反對，也應該大膽地去推動，這並不與民主的理念相矛盾。因為這樣做的目的，是最大限度地為民眾謀福利。回到法律層面上談，“一國兩制”的靈活性其實為很多表面看似很難開展的立法工作提供了可能性。任何法律的改革都可以被“一國兩制”這種靈活的制度安排所包容。社會發展多元化──法制進步的一個驗證陳卓華：在早於香港、澳門回歸之前，當鄧小平先生構思“一國兩制”的理念，這個構思具開放性、有量度而且很有創意。當時中央政府需要解決一個困難──如何讓香港、澳門這兩個長期被殖民統治的地方和平地回到祖國的懷抱？“一國兩制”構思是極有創意的，這個構思嘗試去解決文明上或價值觀上的一些衝突。在香港回歸之前，西方媒體有許多悲觀評論，比如“the end of H ong Kong ”或“thefall of H ong Kong ”，西方傳媒對於港澳回歸不抱太大的期望，國際上的個別大媒體抱 負面的、懷疑的態度，認為回歸後不到十年，港澳社會都會垮台。從西方人的價值觀去看，港澳回歸這件事是不樂觀的。其實這個問題的癥結在於西方資本主義的價值觀念與社會主義的價值觀念是不同的，再加上國內是有中國特色的社會主義，其價值觀念就更加不同。在這樣的情況下，基本法其實給予了一個很好的框架，賦予港澳兩地在經濟範疇上自治，而在政治範疇上比較受中央掌握，即較受中央影響。中央政府希望能透過基本法、透過“一國兩制”的政治制度，去慢慢解決港澳由於長期是西方國家殖民地而形成的資本主義價值觀與國內有中國特色的社會主義價值觀中存在的衝突。意想不到的是，香港、澳門回歸幾年之後，社會民生及經濟受到衝擊，背後的原因不是因為回歸後沒有民主自由，而是因為國際性的政經及傳染病問題，如亞洲金融風暴、911事件、非典型肺炎、禽流感等，使港澳兩地受到頗大的衝擊，而恰恰回歸促使中國可以從多方面幫助港澳，例如簽訂CEPA、開放自遊行等，港澳沒有垮台是因為中國幫了我們一
15《澳門研究》第48期2008. 10果；又重視宏觀層次上，利益中介機制在澳門社會的存在形態。將研究對象定位於“代表模式”，而不是“代表制度”，表明本文的關注點並不是作為一種制度顯現出來的“代表”，而更多的是“代表”在現實政治中的實際運作方式。前者屬於政治制度層面，而後者屬於政治過程層面。此外，與“代表制度”相比，“代表模式”的範圍要和內涵都更廣一些，甚至從某個意義上，“代表模式”涵括了代表“制度”。我們看到在特區成立後，澳門民眾較之殖民時期有了制度化的利益表達方式時，澳門社會的衝突和矛盾在數量和強度上反而有所增加，這意味 現有制度在質、量和方式方面必然存在 問題，對此，制度只能給我們一部分滿意的解釋，因為如果僅僅將代表拘泥於制度層面，我們無法理解為何回歸前澳門在社會主體華人缺乏制度性的實質代表時卻一直沒有出現大量的激烈社會運動。因此，我們一方面要探求現有制度的問題，同時也需要將思考的視野跳出制度層面。在此過程中，我們發現，澳門回歸前，作為殖民地，社會絕大多數的華人的利益代表並不是通過一種正式的制度建設得以實現，而主要是通過一種潛在的運行模式來落實。而回歸後，原有利益代表的運行模式被部分逐步吸納到正式的政治制度中去，但是卻因社會及政治環境的變動導致組織面臨一種系統性矛盾而遭遇局限，最後，我們將對此獨特的代表模式如何通過一定的改造保留下來促進澳門特區社會與政治的發展提出可能的展望。二、獨特的代表模式美國政治學家大衛‧伊斯頓(D avid Easton)在運用系統分析方法提出政治系統理論（Polit ic al Sy st emT heor y）。這一理論認為公共政策過程就是一種輸入─轉換─輸出的系統過程，公共政策是政治系統的產出，是對周圍環境所提出的要求的反應。阿爾蒙德等人在他的結構─功能主義基礎之上採用了一種功能三分方案來分析政治系統。提出“任何政治體系所發揮的功能都可以從三個層次來考察，即體系層次、過程層次和政策層次。體系功能是指體系的維持和適應，包括政治錄用、政治社會化和政治交流。過程功能是一個政治要求和支持轉換成權威性政策的功能，它反映的是社會上的個人和集團參與政治決策和執行決策的實際狀況，包括利益表達、利益綜合、政策制定、政策執行和政策裁決。政策功能則反映政治體系實際作為對環境的影響，包括各個政治結構和組織的政策傾向和重點、政治輸出（提取、分配、管制和象徵）、政治結果（福利、安全和自由）和反饋。三個功能層次不分先後，同時並存，涉及輸入、轉換、輸出、結果和反饋五個環節，共同構成了每個政治體系的功能體系。”所有的政治體系為實現自身的目標和功能，都有相同的體系、過程和政策三個層次的結構，並且所有的政治結構都是多功能的。在此理論框架下，所想達到的社會政治目標或結果需要更多的管制、提取、分配和象徵的輸出。這依賴於發展更加專業化的和有效的過程，以制定政策和執行政策，以及表達利益和綜合利益。而這些專業化過程又有賴於政治結構中分化出各種專門的角色，諸如行政部門、文官機構、政黨、利益集團和大眾傳播工具。政治結構只有適應政治功能的需要，才能實現體系、過程和政策三個層次的功能，政治發展的問題被歸結為結構如何適應功能的需要並不斷調整自身以實現功能的問題，而結構調整自身實現功能的方式就體現為結構分化，即一個政治體系的政治結構，為適應該體系政治功能的需要不斷地分化發展，分化出新的專門化政治角色和結構，而角色或者結構之間的自主水平也不斷地提高，最終生成更高級、更完善的政治結構。從這個角度看，政治發展理論就體現為結構分化的理論。所有的政治體系都必須包括這些功能的發揮。只是各自的專門化水平不同。在政治結構的分化過程中，最主要是履行制定和執行政策功能的政治行政領導部門、政府行政機構的出現及專門承擔利益表達和利益綜合的政治結構如政黨、利益集團和現代通訊工具的出現。制定和執行政策的結構代表了政府能力的程度，而利益表達和利益綜合更多地代表了公民參政的程度，兩個方面的分化發展，就意味 一個政治體系的政治發展。在西方政治系統的運作中，利益的代表（表達和
實踐的代表──對澳門政治代表模式的討論澳門研究16第48期綜合）的作用主要是政黨或利益集團通過進行選舉來實現的，民眾以政黨為中介，實行代議制，選出民主政府，實現自身與政府的政治溝通和利益表達。回歸前的澳門雖然存在代議制，不僅缺乏政黨，而且殖民政府也非民選結果，但澳門回歸以來政局穩定。澳門社會一直以其“和”的一面展現在世人面前，已有研究者在總結澳門政治體系時引用了香港中文大學的劉兆佳和關信基兩位教授的研究成果，指出澳門華人社會，好像香港一樣，是一個“低度整合的社會政治體系”（Mi ni mall y-Integrated Soc ial-Poli t ic al Sy s tem）。3香港戰後的政治穩定就是靠官僚政體和華人社會彼此之間的相互適應。但是現有的結論中沒有探究低度整合的社會政治體系的實現機制是甚麼，官僚政體和華人社會這種彼此適應是如何發生的。這需要進一步探究回歸前澳門社會實現與政府的政治溝通及自身的利益代表的詳細機制。“我們運用所謂結構─功能分析，就是針對性地解決這一問題的。我們直接提出如下問題：在每一個政治體系中，甚麼樣的結構在發揮利益表達、政策制訂等各種功能？”4我們的問題起始於澳門政治系統的獨特結構。現代政治學認為，政府體制、政黨制度與選舉制度是政治構成的三大基柱。民主制度和代議制相輔相成，民主政治的濫觴是議會的建立，有了議會政治就有議會團體的出現，議會團體就是“內造政黨”的前身；民主政治的發展最主要是選舉權的逐漸擴大，當選舉權擴大到全體男性公民時，始有“外造政黨”的出現。 5而澳葡殖民政府時期的澳門，有代議制、有選舉、但沒政黨。那麼沒有政黨的選舉是否仍具有利益代表的功能？如果選舉的功能不是利益代表？則它在澳門社會的角色是甚麼？那麼，澳門社會的利益代表如何產生？(一) 殖民時期立法會的作用與選舉的功能代議制雖然是一種成熟的制度。但一個社會治理模式和治理結構的形成是一系列制度安排綜合形塑的結果。作為特別行政區的立法機關，香港與澳門特別行政區立法會在法律地位上與回歸前香港的立法局及澳門的立法會有較大的區別。香港的立法局在法律地位上是港督的立法諮詢機構，而香港特別行政區的立法會是香港特別行政區的立法機關。兩者在性質和地位上的區別是顯而易見的。在澳葡當時的制度下，澳門的立法會在憲制上是澳門的立法機關，但卻不是澳門惟一的立法機關，在憲制上，澳門本地的立法權由立法會和澳督共同行使，這是澳葡政府的立法會與港英政府的立法局最大的區別。香港的立法局雖然有 代表的形式，卻沒有代表的法定職能，因此雖然其無法實現代表的作用，但民眾對其代表性程度的希望也並不高。但在澳門，立法會即具備組織的形式、有具有一定的法定職能，雖然需要與總督分享且比較有限。但在政治體制的實際運作中，“在港澳兩地，被選出來的議員充其量只可以監督政府的施政”6；“澳門的實際政治環境──由一個非民主、不是由人民選出來的殖民地政府統治”；“立法會議員或市政廳議員對市民的幫助不大，部分原因是議員的質素偏低。而且，他們又受到澳門政治環境的局限，如，政府部門之間因為缺乏溝通和協調而令議員的努力白費。他們往往找不到有關部門替市民辦事，所以他們能夠為市民做到的服務有限。”7“而立法會議員，尤其是直選議員，亦熱衷於扮演這個“橋樑”角色，紛紛設立議員辦事處，幫助澳門市民辦理申請經濟房屋、身份證、屋契等等與日常生活切身有關的事務。因此，立法會議員的行為間接誤導市民，加深了市民對立法會主要功能或角色的誤解。誠然，立法議員的“橋樑”角色正好迎合澳門華人的政治文化取向──對政治的現實觀，即以政治參與為手段以期達到改善個人物質生活的目的。”8這一現象是殖民政府將西方政治制度移植到澳門後畸形發展導致功能不協調的結果。在澳門華人政治文化的調查中關於民眾對立法會的作用的認識結果9，恰好印證了這一點。立法會的代表作用的缺位又引發了另一種問題，那麼選舉在殖民政府時期的澳門功能是甚麼？在現代西方民主國家，選舉是最重要的政治參與方式，也是政治溝通渠道之一，為政府和人民、精英和大眾提供相互影響的機會，選舉的作用在於動員和促進人民對政權的認可、國家的認同、社會的整合、政治的參與、政府的溝通等，並且可以協調不同的政治利益或用作控制人民的手段。 10選舉的
19《澳門研究》第48期2008. 10比例結構步向均勻，但以利益表達為目的的社團開始增多更意味 社會內部分化的加強，社會內部矛盾開始出現增加，由於殖民體制中的代議制無法滿足社會中不同利益的需要。32因此，澳門社會的利益內聚是通過社團組織化的。長久以來，不同人群的類別差異被社團組織掩蓋。對於利益集中並上達而言，社團的作用，大大優越於個體身份群體。社團成員的參與有了比較大的可能性。不同民眾根據自身的需要和可接近的渠道，參與到不同的社團中去，實現了自身利益的表達，具體的方式包括： 組織內部會議：各個社團內部或多或少有 組織內部會議為其提供了一定利益表達的途徑。 33 組織內部領導的推介：社團領導總是通過某種程度的選舉產生，當然這種選舉更多意義上是中國傳統式的選賢與能式的推舉，而不同於西方代議制中的選舉。社團領導產生的其他方式還包括輪值、敬老等。需要說明的是，有很多社團，尤其是大型有影響力的社團內部的選舉方式是中西選舉模式的結合，也融合西式代議制民主選舉的特徵。 34各類社會性交往。由於社團是一種社會性組織，因此這種利益表達並不一定是通過會議和代表形式來實現，“這種團體定位於社會，和社會多元利益相聯繫。它不同於國家組織那種統一的，科層式關係，而是對等關係”35。尤其在回歸前澳門華人社會屬於傳統中國社會，人際的交往是以親疏遠近構成的同心圈36，因此，這種利益表達往往通過一種社團基層領導人與民眾在日常社會生活的交往中得以實現，例如傾訴等。與此同時，社團又會對其利益表達給予回應。由於，澳葡殖民政府以看守政府形式盡可能少地承擔社會管理職能，因此主要的社會公共物品和準公共物品基本上由各種各樣的社團來提供。澳門的社團是一種功能性社團 37，“至20世紀末，所從事的活動涉及權益保障、社會服務和政治參與等多個領域”38，社團往往能夠確定自己獨特的社會供給內容。由此，社團為民眾提供了一個有限參與渠道，這樣，社團提供了民眾參與的機制。由於這種參與的範圍不是公共領域，而局限於社團內部，議題就集中於社團能顧及的權益保障、社會服務等方面。而社團內部無法解決的利益需求則通過社團之間的協調來滿足。當社團無法滿足這些需求後才要求政府介入，社團則通過選舉、諮詢 39、協商、參與政策制定及謀求與其他社團或力量聯合等方式實現與政府的溝通。 40而如果澳葡政府不能滿足社會需求，社團動員也可以通過動員，會引起民間社團反體制的抗爭與動員，迫使政府將社會利益需求納如自身社會和政治政策。因此，社團在基層的廣泛存在使得國家行政與社會民眾之間建立的雙重關係：一為是準行政的“管理和被管理”關係，另一則是利益政治的“代表和被代表”關係。前者實現了社會的控制和服從，後者則解決了利益的集中、上達和競爭組織化。社團作為政府和社會的中介往往是通過一個獨特的行政──代表一體化機制來實踐的。這一機制由兩個部分的內容組成，其一，社團的“擬政府”功能，其二、社團的“擬政黨”功能。41 通過兩者的結合，社團一方面實現了民眾最低層次的利益表達、利益代表和利益整合，減弱了民眾對政府的壓力，另一方面又使政府的政策得以在社會和民眾中得以執行。這種代表模式涉及到社會整合秩序，與大陸社會學者張靜對“單位”政治中的代表模式的概括有異曲同工之處：“這種現象表明，代替利益中介作用的組織是基層為建制，它基本上屬於縱向連接而橫向分割的結構，其中心特徵為“政治和行政功能合一”（簡稱“政行合一”體制， pol i t ic al -ex ec ut i v ec ombinat ional is m），即，行政管治和利益組合（包括輸送與協調）兩項功能，共同由國家建制內的基層單位承擔。”424. 代表體系的政治社會作用筆者認為，同樣的功能和近似的運作方式和政治結構使得澳門的“社團”政治很大程度上具備了“單位”政治結構的社會政治後果──“社團”在兩種“聯繫”的運行機制方面“具有關鍵性環節之地位。它既是自上而下管治性的，它可能強化（促進），亦可能削弱（分割）上述聯繫。‘政行合一’機制，一方面將是社會利益的分歧和矛盾引入行政體制內，從而增加了體制內行政協調的成本；另一方面，它又將社會利益分割化，將衝突‘化整為零’到各單位範圍內進行處理，因而降低了公共社會中宏觀細條的成本。它分散了社會政治行動的內容、形式和規模，
實踐的代表──對澳門政治代表模式的討論澳門研究22第48期表2 四種主要代表模式代表模式 代表內容全權受託模式（ tr us tee model）受命代表模式（delegate m odel）授權模式（mandate m odel）摹本模式（ resemblance m odel）一宗北區社會行動，扮演“勸解者和社會控制者的角色”。 56此外，“縱然社團推選的代表當選，相應工作並不會停止，而往往該議員辦事處就設在社團內，或與社團合署工作”。57因此，社團在民眾利益表達和綜合方面的作用程度比數據所顯示的要高得多，影響也更為直接和有效。(三)獨特代表模式：過程的代表而非制度的代表代表（re pr esentat i on）是個人或團體代理更大群體或為之代言人的一種關係。提起代表，人們往往將其等同於民主。因為在現代政治中，西方代議制通過選舉的方式實現利益代表如此人心，同時，代議制在現代政治中往往被視為實現間接民主的主要渠道，因此，人們往往將代表又與實現民主掛 。此外，由於政黨作為代議制度中參與選舉的主要組織單位，所以，政黨似乎成為代表產生的必要條件（圖1）。圖1 政黨與民主的關係代表政黨 選舉 民主代議制現代西方代議制民主的繁榮昌盛無形中使我們對代表的認識狹隘化了。 實質上“代表”與現代西方意義上的“民主”有一定的區別：“代表與民主的區別在於，前者承認政府與被統治者間的區別，而後者（至少其古典形式）渴望消除這種區別，建立人民自治（ sel f -gov ernmen t）。儘管這樣，但如果政府與被統治者之間的代表形式能夠表達人民的看法並保障其利益，代議民主也可構成有限的間接民主統治形式。”58因此，選舉只是實現代表的方式之一。此外，代表也並不必須以政黨為組織媒介通過選舉來落實。作為一種關係的體現，“代表”可以有很多的類型，海伍德區分了四種主要代表模式 59，如表 2所列。全權受託模式與受命代表模式都是在現代政黨出現之前提出的，因此將代表者看作實質上獨立的行為者。後兩種是政黨出現之後的產物，因此不同類型的代表模式需要通過不同組織媒介以不同的方式實現。到底以甚麼樣的制度安排是 代表政治，取決於各種因素，比如文化和傳統。如果我們拘泥於現代西方代議制民主中代表產生的媒介、方式，我們無法看到澳門利益代表機制的獨到之處。但當我們全面去重新理解代表的含義與類型後，尋求其獨特的組織媒介和實現方式時，就會發現在澳門社會中運作的利益代表模式。社團的這種代表功能的建立並不是以法理的權利為基礎，而是依靠維繫組織的倫理紐帶。同時，其代表功能的履行主要不是依靠法律制度給予的權力來行使，而是通過社會內部的協商來實現。因此，“澳門的政治實踐具有很強的代表政治特色……在利益表達與利益整合問題上，澳門模式具有不同於西方和其他東方社會的獨特性。”60三、“類法團社團”體系的發展與變遷現有研究已表明澳門的功能性社團因正式機制無效而成為二元混合治理結構下的利益表達選擇。但是當我們發現這一功能無法像回歸前一樣起到穩定的效果時，我們需要在此基礎上，深入到社團落實利益表達的細節中去，探究其當時得以成功實施條件和作用機制，再在有的社會變遷和發展尋求該體制效用削弱的根源，並以此展望其未來的發展方向。由此，我們進入對澳門社團利益代表模式形成受託人（ tr us te e）是指被賦予處理他人財產和事務的正式責任者，代表的實質乃通過運用“成熟的判斷”和“開明的良知”來服務於其選區居民代表者（de leg ate）指被選出並根據明確指示或訓令為他人行事者，人們期望代表者成為傳輸自己看法的管道，政治人物盡可能貼近被代表者意見的機制政黨贏得選舉便獲得人民授權，允許它實施選舉期間所闡述的政策或計劃，代表者是因為所在政黨的公共形象或政策方案才獲得支持，政治人物不是通過自主思考或擔當傳送選民觀點的管道來為選民服務，而是依然效忠於所在政黨及其政策，以此效命於選民代表者是否所宣稱代表群體的典型或與之相仿，而不是代表者選出的方式，只有來自特定群體且享有該群體的體驗的人，才能完全認同該群體的利益
實踐的代表──對澳門政治代表模式的討論澳門研究24第48期討論已經解釋了“政治和行政功能合一”是社團代表系統的運作模式。與我們一般的常識相反，社團之所以成為利益代表的媒介的關鍵並不是因為其具有於政黨相同的功能，而恰恰是其功能中與政黨不同之處，那麼這些不同之處是如何產生與運作的？靜態的對比沒有給出答案，但當我們將其置於具體的社會結構中去時，可以看到兩者在組織模式和聯繫紐帶方面存在質的區別，正是這些關鍵性的不同又決定了社團與政黨以不同的渠道和方式在政治體系中行使相同功能；與此同時，特定的社會政治結構使社團還具備了政黨所不具備的功能，這是“社團政治”得以存在的背景條件。2.組織的結構、活動、意識歸根結底，組織性質的差異導致了兩者在組織目標、組織結構、社會基礎、活動領域、活動準則、議題範疇、凝聚能力等方面的不同。而這些差異在政治過程中實踐導致了社團以其自身具備的政黨所不具備的特點，通過各種完全不同的途徑，程度不等地滲透於政治體系之中。社會整合與社會動員社團是社會成員的集合體，單個或部分社會成員決定組建或加入某個社團，在利益等因素之外，實際上包含一定的文化動機與文化選擇，存在一定的文化認同。社團文化是維繫社團存在的凝聚劑，也是促進社團發展的動力源之一。64因此，社團在正式的強制性的行政整合與法律性整合之外提供了一種非正式性非強制性的整合機制。由於不同於政黨，社團不是科層官僚制組織、因此這種利益層層過濾並不是一種制度化規範化、程序化的操作，而更多是依靠社會內部的非正式制度──即，所謂的“情義結”或社會資本──來進行。社會資本是指促進公民參與（ci vi c engagement）的網絡、規範和信任所代表的社會聯繫，是有助於促進社會團結、政治穩定和繁榮的文化和道德資源。雖然對社會資本定義各有側重，但這些定義往往將社會資本的內容分為兩方面：一為結構性（ s t r u c t u r a l ）社會資本，如網絡；二為認知性（c ognit i v e）社會資本；如規範與信任。 65社會動員是社團和政黨促進民眾政治參與的一種重要方式。政黨注重的是組織聯絡（or gani zat i onalli nk age），即制度，因此，政黨基本依賴於其政治理念和組織聯繫來吸引民眾，而社團注重個體和組織間的情感聯絡（ af fect i ve li nkage），在社會動員中往往是以其自身與民眾的社會關係為基礎實施動員。因此，社會資本是社團實行社會動員的關鍵性要素。利益綜合與利益表達在澳門的社團利益代表模式中，雖然，社團的作用在表面上與政黨一樣，也屬於一個中介組織，但是其具體作用的方式卻導致了澳門社會與西方社會在一套不同的機制中實現代表運作，因為兩者是通過不同的渠道在政治系統的不同部分中實現代表。雖然同是履行代表功能，但在回歸前社團政治以行政系統實現利益表達，而政黨系統則是通過立法系統進行表達。社團和政黨屬於兩種不同性質的組織，有 不同的組織結構和組織聯繫。由於社團組織鬆散、凝聚程度低，社團內部成員是一種平等關係，成員在參與政治活動時，不是通過組織的指令手段實現服從，而是建立在其自願基礎上，以社會的規範等為成員的聯繫紐帶和活動準則，因此，社團必須通過社會服務和公共物品提供來吸引組織成員。而於政黨組織化程度更高，組織更為緊密，內部成員關係是一種正式的角色關係，在互動之前即已確定，它不取決於成員的個性特徵，而是由成員所處的職位決定，具有非個性化和抽象化特徵。成員遵循組織的紀律，遵循科層制原則實現對組織的服從，所以，政黨是通過政治理念與主張吸引成員。因此其合法性來源也不同。社團的合法性來源是其社會職能，由於社團作為一個社會組織，其組織目的是社會服務，因此，其代表職能的實踐是建立在其活動涉及多個領域的基礎上的。它以政策制訂等方式的直接參與顯示了其代表，同時又直接執行政策，因此，澳門的社團代表模式以行政系統為主，可以給民眾很好的回應性。而政黨的合法性來源是其政治職能。所以西方政黨選舉代表模式則主要是在立法系統中運作，但由於政黨通過其擬訂的施政綱領競選，競選成功後宣稱自己獲得了選民授權推行其政策，其政治主張和綱領往往是由行政部門來落實和實行，因此政黨並未直接介入到政策制定，民眾從政黨代表中得到的
25《澳門研究》第48期2008. 10回 應 性 是 間 接 的 。(二) 原有模式有效運作的條件“事實上，在澳門建構起以功能性社團為代表的民間社會與政府合作互補的法團主義體制更加合乎澳門歷史傳統、更加契合澳門本土現實需要。”66那麼，這種符合澳門傳統的代表模式在澳門社會實現良好效能的條件有哪些？法團主義（C orpor at is m）67是一種社會理論，強調某些團體在與國家的關係上享有特權地位，從而能夠影響公共政策的制定與實施。婁勝華將其用來解釋和描述澳門社會和政治發展，從形式上看，澳葡殖民政府時期澳葡殖民政府與社團之間的“蛛網式”關係網絡68基本吻合法團主義的主要特徵 69 ；同時，兩者在效用上是相同的，即，通過一種適合社會權利分配和運作的結構體系來限制無序衝突的制度安排，建立政府與社會功能組織間常規性互動體系，從而化解危機並形成秩序。更難能可貴的是，法團主義的理念──提倡和諧、一致的社會秩序，與澳門社會理念相一致。因此， 筆者認同將法團主義作為一種分析理念來論述澳門社團政治發展的。然而，將這一理論運用於討論澳門社會的現實運作及其未來社會發展的可行性時，我們應在注重法團主義理論的產生社會和時代背景與澳門獨特的社會歷史過程兩者差異的基礎上，做有條件的保留。這又恰好涉及到回歸前澳門社團政治利益代表模式得以產生和維持的條件。1. 興起的主要社會背景不同“功能性利益團體構成澳門社團的主體形式與顯著特徵，眾多的功能性團體為法團主義體制在澳門的形成準備了組織基礎。”70組織為實現一定功能而誕生與存在，但深入具體社會和時代背景，我們可以發現西方法團主義和澳門社團政治的組織起源大相徑庭，兩種模式的功能重點差異由此可見一斑。法團主義是源於經濟和社會發展所隱含趨向的普遍現象，西方法團主義是針對多元主義提出的，因為工業化後，市場經濟下多元競爭，但是由於不同社會力量的差異導致其影響力的不同，社會利益無法通過市場協調，弱勢社會團體無法得到公平公正的對待，因此社會內部矛盾增加，由此希望以法團主義形式，通過國家介入和社會內部協調而不僅僅依靠自由市場體制來實現社會的有序發展。這種社會背景與澳門的差異主要體現在兩個方面：社會主要矛盾不同政府職能主要有兩方面，一方面是供給社會公共產品；另一方面是調節社會衝突。西方法團主義的興起背景是工業化，所以，其組織準備源於社會利益的分化；而澳門社團政治則發生在殖民統治時期；因此，澳門功能性利益團體的產生是由於殖民政府不承擔管理社會的責任。社會價值背景不同西方法團主義的價值理念之一就是社群主義，而澳門華人社會一直遵循以共同體為本位的價值認同，兩者的社會價值認同不同導致了其目標指向不同：前者通過社團來應對西方個體本位的自由主義造成的多元化競爭所引發社會的矛盾與衝突，指向社會內部；而澳門社團的形成是團結起來應對外來政府管治不足，指向是社會外部。因此，雖然西方法團主義和澳門的社團政治都在客觀作用上整合了社會內部利益，維護了社會的穩定，但當時西方社會的主要矛盾和衝突是存在於社會內部；而當時澳門社會的主要衝突卻是存在與社會與政府之間。即，前者的發展動力更多的是出於經濟，而後者發展動力則偏向政治。2. 社會內部代表渠道的結構差異西方法團主義起源的一個原因是西方原有代議制代表性不足──新興利益團體因工業化後的利益分化導致興起，卻無法在原有的代議制度中得到表達，因此需要通過團體協商的方式彌補自身在代議制中的代表性不足或缺位。因此，在西方法團主義中，實際上原有代議制度與新興的法團制度實現了一種互補，社會中同時並行 兩條代表渠道，分別實現社會利益縱向橫向的代表；同時整個利益代表系統以代議制度為主，法團主義只是補充。而澳門的社團代表政治卻是源於實質性代議制的全權缺位，社會中只存在社團政治一條代表渠道，社團代表完全替代了代議制，代議論制反而成為一種裝飾。不同的形成機制帶來了法團發展的不同動力機制，因此當特區政府成立後，尤其當澳門發展的獨特階段，社團自身也將向國家靠近。而西方法團則是在自身領域內獲得獨立性。由於這兩方面的差異，筆者認為，以“法團主義”來概括澳門的政治運作需要加以修飾，在此，
實踐的代表──對澳門政治代表模式的討論澳門研究36第48期殊的社會經濟文化背景，並不具有普遍性。 這決定了不同的理論範式對現實的解析能力及其與中國澳門實踐的契合上存在差別，各有千秋。如何將西方理論澳門化成為一個關鍵的問題，在此，兩方面的努力尤為重要。1.注重過程與注重結果的差異每一 種 重 要 理論 軌 跡 都 有其 獨 特 的 發 端（ ori g in ）、淵源（s our ce ）和背景（c ontex t），而在經過理論提煉之後，我們往往只將注意力集中在其指涉內容以及具體的表現形式，由此，在這一過程中，理論得以抽象出來的現實發展過程中的前因即具體且特定的深層次因素──這些要素、結構、條件以何種形式通過甚麼方式以甚麼順序組合起來──則被忽略了。例如澳門社會中存在 眾多形態、結構、運作各異的社團，與西方公民社會和“法團主義”等有高度的形似，但如果只停留在抽象和宏觀層面、而不是立足於具體事實或現實狀況時援引把西方語境中形成的公民社會觀和法團主義用於評判澳門的社會情況，則可能出現根本不適用的情況。不同社會發展的不同階段中呈現的形式上（要素、結構、條件、結果）的相似性使我們引入西方理論來解釋和預測本土社會的發展，在此過程中，引發本土社會發展過程中所出現的種種現象的深層次因素被忽視，這是一個“削足適履”的過程，由此，本土社會自身的發展邏輯也被忽視了。由於“每種理論模式必然包含 描述性解釋命題（ desc r ipt i v e-ex pl anator y s tateme nts）和規範性命題（norm at iv e s tatements）之間的一種動態平衡，也就是有關事物如何和為甚麼如此的命題與有關事物應當如何的命題之間的一種平衡，……是兩者的相互糅和”。99現有的理論多是從西方先發地區的經驗中所提煉，因此，先發地區能比較容易區分理論所涵括的解釋命題和規範性命題的差異，而作為一個後發地區，往往會將解釋命題和規範性命題所混淆。因此，學者需要保持一種客觀的中立的態度去認識自身社會的發展過程，拋除對發展的迫切熱誠和對民主的渴望，應該考慮的是，如何使公民更為有效地構造和組織他們自己的生活。2. 以“結構”的視野去看待社團政治如果以孤立的、靜態的視角去認識社團的功能，則意味 將社團從社會結構中抽取出來，將其與其他社會的組織和機構進行靜態的比較，我們無法發現社團的獨特之處，難以探求其與眾不同的作用機制及其在整體社會組織結構中與眾不同的獨到作用，只有將社團放入其得以運行的社會背景中做結構的動態考察，才能從其與社會其他部分的結合機制中認識到其特殊性，以及這一特殊性對整個澳門社會政治發展的關鍵程度。公共生活或整套制度的某一方面只有在與其他社會現象的關係中才能得到正確的解釋。所以，各種“模式”也就是有關政治領域及其確立的經濟和社會等諸方面根本條件的概念和通則所組成的複雜的“網狀結構”。100我們在引進外來社會科學理論和概念分析本土社會的同時，卻忽視了首要對本土社會自身結構所遵循的獨特運行機制及組合方式的解析，應該把更多的重心放到探索社會內部機制具體作用的方法。註釋︰1 婁勝華：《轉型時期澳門社團研究──多元社會中法團主義體制解析》，廣州：廣東人民出版社， 2 0 0 4年。2 姜姍姍：《回歸後的澳門社會治理模式──有關政治體制代表性的研究》，載於《澳門研究》，第 4 0 期，200 7 年。3 La u, S. K. , Soci ety And Po litics in H ong K ong (H on g Kon g:The C hin ese U nive rsi ty Press, 1 98 2) . 這個社會政體系的主要特徵是： 同時存在 一個官僚體制政體和一個華人社會，兩者之間很少直接連繫和溝通； 一個不大受社會和經濟環境影響的官僚體制政體； 華人社會基本上是由無數的、與政治互不干涉的家庭群體組成； 官僚政體和華人社會雙方都意識到彼此之間的界限（Bo u n d a ry），並刻意維持彼此之間的距離。4 阿爾蒙德：《比較政治學》，上海：上海譯文出版社， 19 87 年，第 2 0 頁。5 Du verger , M. , Polit ica l Pa r ties (Lon don : Met hue n, 19 64) .6 只有 1 % 的被訪者認為立法會完全反映民意， 5 3 % 認為立法會只部分反映民意， 2 1% 則認為立法會完全不反映民意，其餘的 25 % 則不知道或沒有意見。參見余振、劉伯龍、吳德榮：《澳門華人政治文化》，澳門︰澳門基金會， 1 99 3 年。7 余振、劉伯龍、吳德榮：《澳門華人政治文化》，澳門：澳門基金會， 1 9 9 3 年。8 同上註。9 澳門人對立法會所扮演的角色有一較特殊的理解。他們似乎沒有認識到立法會的主要功能是立法；他們只期望有一個他們可以信任、委託的機構，向政府有關部門傳達他們的投訴和要求。立法會被澳門人普遍視為官民溝通的主要橋樑。見註 7 。
37《澳門研究》第48期2008. 101 0 M ille r, W. L. et . al. , Ho w Vo t ers C h an ge (Oxfo rd : Oxf o rdU niversit y Pre ss, 199 0) , pp . 26 8–27 0.1 1 海伍德著，張立鵬譯：《政治學》，北京：中國人民大學出版社， 20 06 年，第 19 4–19 6 頁。1 2 同註 7 。1 3 同註 7 。1 4 同註 7 。1 5 Granbe rg , D. and Ho lmb erg, S., The Political System Matt ers:So cial Psycho log y and Vo tin g Beh avio r in Swe den and th eU ni te d St at es (C amb r id g e: C am br id g e Un ive rsit y P ress,19 88) .1 6 過半數（ 54 . 4 %）的被訪者認為澳門的立法會和市議會選舉有“重大意義”或“有意義”；只有 2 4 .1 % 的被訪者認為澳門的選舉“意義不大”或“毫無意義”；2 1. 5 %“無意見”。見註 7 。1 7 有接近半數（4 5 . 7 %）的被訪者對澳門政府的工作效率表示“不滿意”或“非常不滿意”；只有 1 3 .3 % 的被訪者表示“滿意”或“非常滿意”；而接近 1 /3 的被訪者表示“一般”。大部分的澳門人對澳門政府的效率抱懷疑或批評的態度。在有關澳門公務員的工作態度這一問題上，亦得到類似的負面評價。有相當一部分（3 6 . 5 %）的被訪者認為澳門公務員的工作態度只是“一般”；而 32 .7% 的被訪者則表示“不滿意”或“非常不滿意”。只有 14 .6% 表示“滿意”或“非常滿意”。見註 7 。1 8 對澳門的政治制度，只有 2 1 .1 % 的被訪者感到自豪或驕傲，只有 1 9. 5% 的被訪者對澳門的司法制度感到自豪，被訪者對下列現象不滿： 有關社會福利、治安和垃圾處理的問題； 葡萄牙官員的才能和效率；公務員的士氣和服務態度； 澳門行政機關的貪污問題。超過一半（ 52 . 7 %）的澳門人對澳門的福利制度感到不滿意或不驕傲；只有 2 5 . 4 % 的被訪者感到驕傲。見註 7 。1 9 澳門華人對政治參與大多持肯定的態度，大部分的被訪者同意： 一個好市民有義務在選舉中投票； 參與政治是改善生活質素的途徑； 向政府表達對公共事務的意見是市民的責任。見註 7 。2 0 只有 3 . 3 % 的被訪者能夠正確答出立法會直選議席的正確數目，普遍對選民資格無知；見註 7 。2 1“他們對自己的‘公民能力’普遍缺乏信心。超過 3/ 4的澳門華人覺得他們完全沒有能力去影響政府的決策。這種對政府政策的無力或無奈感，普遍影響到澳門市民對實際政治參與的積極性和加入公民、政治和其他自願團體的意願。而且，本地華人對與政府官員打交道或向政府部門求助缺乏信心。”見註 7 。2 2 [ 美] 大衛‧伊斯頓：《政治生活的系統分析》 ，北京：華夏出版社， 19 9 9 年。2 3 同註 4 ，第 1 2 頁。2 4 在香港學者鐘庭耀等對港澳兩地回歸前的調查中，資料顯示，對於兩個殖民政府的統治， 69 % 受訪的香港市民聲稱滿意英國人的統治， 7% 表示不滿意，回答“一半半”者有 1 4 % 。澳門市民則對葡萄牙的統治評價頗低，只有 22 % 澳門市民滿意葡國的統治， 3 1% 表示“一半半”， 36 % 感到不滿，滿意者數字比香港少4 6% 。對於政治現況，則有 2 7% 澳門市民感到滿意，2 6% 表示一半半， 1 8% 表示不滿。同時澳門民眾對澳葡政府功勞的認同中政治制度的也遠遠小於社會民生和經濟方面。見鐘庭耀、馬嘉莉、李博儀：《港澳兩地回歸前民情比較》，載於《澳門 20 00》，澳門：澳門基金會， 20 00 年。2 5 同註 1 ，第 1 8 頁。2 6 張靜：《法團主義》，北京：中國社會科學出版社，2 005 年，第 1 80 頁。2 7 同註 4 ，第 2 0 頁。2 8 同註 4 ，第 7 頁。2 9 當被問及怎樣才算是一個民主政府，最多回答的是一個“聽取民意、照顧市民利益”的政府。其次是一個給予其人民言論自由的政府。最少人選擇的答案（66 3 個被訪者中只有 19 人或 3 % 選擇此答案）是一個“按三權分立原則組成”的政府。而且，只有 6 5 人或9 .6% 的被訪者認識到一個民主政府應是由人民選出來的。另一方面，還有接近 40 % 的被訪者不知民主為何物，回答不出一項民主政制的要素。見註 7 。3 0 同註 7 。3 1 只有 1 4% 的被訪者相信，如果他們向政府求助，政府有關部門“肯定會”或“多數會”幫他們解決問題；而 3 0. 7% 的被訪者認為政府部門“多數不會”或“肯定不會”幫助他們；大部分（5 5 . 3%）的被訪者則不大清楚或不知道有關部門會否幫助他們。澳門人對政府的表現、效率和公務員的工作態度普遍不滿意。有些澳門人從來沒有考慮過向澳門政府求助。在澳門華人心目中，澳葡政府從來不是一個行“仁政”的好政府。絕少澳門華人會對澳葡政府表示效忠。澳門華人對澳葡政府普遍不滿和存在不信任的心態。見註 7 。3 2 同註 1 ，第 17 5–1 76 頁。3 3 同註 1 ，第 23 5–2 62 頁。3 4 同註 1 ，第 4 章“澳門社團的組織變革與精英更替”。3 5 同註 26 。3 6 費孝通在探討中國社會關係結構時，用“差序格局”這一概念來描述以個人為中心的社會關係網絡。他認為中國社會關係的格局“是好像把一塊丟在水面上所發生的一圈圈推出去的波紋。每個人都是受社會影響所推出的圈子的中心。被圈子的波紋所推及就發生聯繫。每個人在某一時間某一地點所推動的圈子是不一定相同的。”差序格局中的“社會關係是逐漸從一個一個人推出去的，是私人聯繫的增加，社會範圍是一根根私人聯繫所構成的網絡。”費孝通：《鄉土中國生育制度匯》，北京：北京大學出版社， 1 998 年，第2 6 、 3 0 頁。3 7“功能性社團，也稱職能社團，指的是基於社會分工、而不是階級利益或區域劃分之上的社會團體”，見註 1 ，第 1 7 頁。3 8 同註 1 ，第 2 1 6 頁。3 9 如澳門“社會協調常設委員會”的設立，為勞工界參與有關勞工權益的決策和立法提供了合法的途徑。政府制定有關勞工方面的政策和法令，均需先交給“社會協調常設委員會”審議、通過，然後才提交澳門諮詢會審議、通過，最後由澳門總督以法令形式頒佈。在澳門設立諮詢性的協調組織，有利於協調勞資間的利益和關係，避免和化解勞資衝突；有利於政府的正確決策；有利於促進和維護澳門社會的穩定和經濟的發展。4 0 同註 1 ，第 20 6–2 12 頁。4 1 有關社團的“擬政府”功能和“擬政黨”功能的詳細論述。見註 1 ，第 21 7–2 3 4 頁。4 2 同註 26 ，第 1 88 頁。4 3 同註 26 ，第 1 89 頁。4 4 同註 1 ，第 13 8–17 3 、 3 16 、 33 2–3 33 頁。
實踐的代表──對澳門政治代表模式的討論澳門研究38第48期4 5 如婁勝華指出息訟彌爭也是澳門民間社團重要社會整合功能的反映。澳門多數勞資糾紛是在進入政府層次前得到解決的，其中社團發揮了糾紛升級的障隔功能。見註 1 ，第 22 2 頁。4 6 楊仁飛：《九九回歸前後社團在澳門的發展路向》，載於吳志良、楊允中、馮少榮編：《澳門 1 99 9》，澳門：澳門基金會， 1 9 9 9 年。4 7 如 1 974 年的立法會，在 15 個官委議員中，只有 3 位是華人。4 8 19 9 1 年 3 月，立法會舉行中期補選，補選新增的 2 個直選和 2 個間選議席。新的立法會議席組成如下：8個直選席位， 8 個間選席位，和 7 個官委席位。4 9 首先，澳門立法會只能就葡萄牙共和國主權機構專屬立法權之外的事項立法。其次，在澳門現行制度下，立法權不由立法會專屬，而是由立法會與澳門總督共同行使。5 0 很少澳門人參與社團活動。大部分的澳門人沒有加入任何社團。這與生活在西方民主體制下的公民積極參與社團活動的情況，形成強烈的對比。不足 2% 的被訪者曾加入公民或政治團體，參與社會服務或公共事務有關的活動。康樂、文化團體則較為吸引，但亦只有 4 . 4 % 的被訪者曾經加入成為會員。甚至在全世界所有華人社會都可以找到的宗親會、同鄉會等，亦只吸引到 5 . 8 % 的被訪者加入。最多澳門人加入的社團是工會、商會、專業團體等；有 2 1. 9 % 的被訪者曾加入上述社團。其次是街坊會， 12 . 3% 的被訪者回答他們曾加入街坊會。5 1 同註 1 ，第 1 20 頁。5 2 Lau , S . K. an d Ku an, H. C ., Th e 1 985 D ist ri ct Boa rd Ele ct ionin H ong Kon g: the Limit s of Polit ica l Mob iliza tion in a D epen -den t Polity (Hon g Ko ng: C ent re f or H ong Ko ng Stud ies, Ch i-ne se U niversit y of H ong Ko ng, 1 985 ) .5 3 同註 7 。5 4 同註 7 。5 5 同註 1 ，第 2 12 頁。5 6 吳國昌：《民主派》，香港：青文書屋， 199 0 年，第18 1-19 3 頁；婁勝華：《轉型時期澳門社團研究──多元社會中法團主義體制解析》，廣州：廣東人民出版社， 20 04 年，第 2 12 頁。5 7 同註 1 ，第 211 頁。5 8 同註 11 ，第 19 1 頁。5 9 同註 11 ，第 1 90–1 93 頁。6 0 同註 2 。6 1 同註 11 ，第 23 2 頁。6 2 同註 11 ，第 22 9 頁。6 3 表中關於社團的內容部分參考了註 1 ，第 3 章“澳門社團結構演化與功能‘擬政府化’”；關於政黨功能部分參考了註 11 ，第 12 章“政黨與政黨制度”。6 4 同註 1 ，第 1 34 頁。6 5 厄普霍夫（U p ho f f），轉引自趙延東、羅家德：《如何測量社會資本──一個經驗研究綜述》，載於《國外社會科學》，第 2 期， 2 00 5 年。6 6 同註 1 ，第 9 頁。6 7 有關法團主義的詳細論述請參見 [英]大衛‧米勒等：《布萊克維爾政治學百科全書》，北京：中國政法大學出版社， 1 99 2 年，第 17 3–1 76 頁；張靜：《法團主義》，北京：中國社會科學出版社， 1 9 9 8 年。6 8 關於“蛛網式”關係網絡的論述參見註 1，第 330 頁。6 9 功能團體具有壟斷地位； 確定的功能團體利益受到國家（政府）的支持； 社會成員加入社團可能是自願的； 社會中的利益聯合體履行代表性職能，同時協調其成員與國家（政府）的關係。見註 26 ，第 6 1頁。7 0 同註 1 ，第 9 頁。7 1 同註 26 ，第 18 5 頁。7 2 實際上，澳門社會 7 0 年代經濟起飛後社會利益已開始初步的分化，表現為社團的結構分化，“一是新類別社團（如‘公民團體’等政治性社團）的萌生。二是已有類別社團的細分化。”見註 1 ，第 1 3 5 頁。但是由於當時資本主義發展處於低級階段，因此，社會內部群體分化並不顯著，同時，外族管治的政治現實導致民族意識超越澳門社會內部的各種利益分化意識，因此社會內部矛盾並不明顯，也不居主導。7 3 同註 26 ，第 18 1 頁。7 4 同註 2 。7 5 同註 1 ，第 1 34 頁。7 6 同註 1 ，第 2 16 頁。7 7 其原因主要包括政府社會服務和管理功能的強化、社會自身動力、能力和資源的不足以及市場經濟發達後促使部分社會服務通過市場購買等。7 8 鄭曉明、方俐洛、凌文較：《社會規範研究綜述》，載於《心理學動態》，第 4 期， 19 9 7 年。7 9 李景鵬：《中國政治發展的理論研究綱要》，哈爾濱︰黑龍江人民出版社， 2 0 0 0 年，第 1 3 5 、 1 3 8 – 1 3 9 、18 0 、 1 86 、 28 3 頁。8 0 Scha ttschneider , E.E., Party Government (New York: C ambridgeUniversity, 1 942) , p. 1.8 1 Dah l, R .A., Pluralist Demo cracy in t he Unite d State s: C onflictand Consent (Chicago: Ran d McNally, 1967) , p. 203.8 2 馬進保、朱孔武：《〈基本法〉框架下的香港政黨制度》，載於《學術研究》，第 10 期， 20 0 7 年。8 3 由於服務業流動性大，開放性強，所以，工人的對自身的階級認同就逐步弱化了，強化了對職業和行業的認同。雖然目前澳門也存在 部分工業工人，但是澳門獨特的經濟發展模式和單一的產業結構導致的是非集中的工業化，這使其工人從結構上和意識形態上不同於一般城市工人類型，很難組織起來，中小企業較多。統一的階級動員非常困難。所有這些因素使得澳門工人意識形態淡薄，動員困難，組成聯合的比率很低。8 4 潘冠瑾：《轉型中的自主性》，載於《澳門月刊》，第 3 -6 期， 200 8 年。8 5 劉兆佳：《過渡期香港政治》，香港：廣角鏡出版社有限公司， 1 99 6 年，第 2 85 頁。8 6 同註 11 ，第 72 頁。8 7 Ca w son , A. , “Plu ral ism, Co rpo rat ism an d t he R ole of t heStat e,” Gove rn ment an d Oppo sition, Vo l. 1 3 (197 8) , pp. 178 –19 8.8 8 楊雪冬：《市場發育、社會生長和公共權力構建──以縣為微觀分析單位》，鄭州︰河南人民出版社，20 02 年，第 2 4 頁。8 9 安戈、陳佩華：《中國、組合主義及東亞模式》，載於《戰略與管理》，第 1 期， 20 0 1 年。9 0 張靜：《“合作主義”理論的中心問題》，載於《社會學研究》，第 5 期， 1 9 96 年。9 1 林尚立：《當代中國政治形態研究》，天津：天津人民出版社， 2 00 0 年，第 4 66 頁。9 2 曾峻：《公共秩序的制度安排──國家與社會關係
39《澳門研究》第48期2008. 10的框架及其運用》，上海：學林出版社， 2 0 05 年，第 1 6 8 頁。9 3 撒母耳．亨廷頓：《變動社會的政治秩序》，上海：上海譯文出版社， 1 98 9 年，第 5 頁。9 4 同上註，第 39 –40 頁。9 5 D ix, R . H. , “D emo crat izati on a nd t he Inst it ut ion aliza tio n ofL at in A me r ica n Po lit ic al Pa r ti es ,” Co mp a rat ive P ol it ica lSt udie s , Vo l. 24 (1 992 ) , pp. 4 88–511 .9 6 Sto ckto n, H., “Political Pa rt ies, Pa rt y Syst em, and Demo cracyin E as t Asia : L esso n fr om L at in Am e r ica ,” Co mp a rat iv ePo litical Stu dies , Vol. 34 (20 01) , p. 111 .9 7 同註 26 ，第 1 99 頁。9 8 Sun, T. W. , “Par ty Id entification Re -examined : Re tro sp ect ive orPro spective Voting,”Kuan, H. C. an d Lau, S. K. , Power Transferand Electoral Po litics (Hong Kong : the Chinese Un iversity Press,199 9), p. 1 42.9 9 大衛‧赫爾德：《民主的模式》，北京：中央編譯出版社， 1 99 8 年，第 9 頁。1 00 同上註，第 8 頁。
淺論澳門司法機關的審級制度澳門研究42第48期如上所述，上訴機制之目的是保障當事人認為法院裁決對其不公正，因不滿裁決而向上級法院提起上訴，監察及矯正下級法院裁決。但是，在這個案件出突顯了澳門法律、法院制度及上訴機制出現了終審法院“一審終審”的情況。基於《澳門基本法》及第9/1999號法律《司法組織綱要法》其沒有規定對終審法院作為第一審法院的上訴管轄權，所以當事人因此而沒有上訴的機會。所以本文提出的第三個問題“如果當事人上訴，應如何處理”，那我們只能面對“一審終審”的情況。假設再由同一層級及同一法官組成的合議庭審理案件上訴，即使法官在主客觀上不受先前判決的影響，難顯法院公平及公正性。 11就現時終審法院法官人數而言（三人，在此案中其中一人已為該案之預審法官），是難以再組成有原終審法院法官參與的另一組合議庭進行審理，但這已不是法官人數多寡問題。 12即使根據第 9/1999 號法律《司法組織綱要法》第46條第2款規定，由中級法院院長或在中級法院年資最久且無須迴避的法官擔任合議庭其中須迴避的法官，此時則須將原終審法院編制內所有法官替換，出現一個由下級法院法官審理上級法院上訴案件的情況。四、香港司法機關的審級制度香港為實行三審終審制。在回歸前，基於英國司法制度並沒有單一的全國性最高法院，所以在 1997年前司法終審權為屬於英國樞密院司法委員會（J udic ia l Co mmit tee of the Pri vy C ounci l）及英國上議院（Bri t i sh Hous e of L ords）。1997年7月1日後，香港法院組織體系由終審法院首席法官、司法機構政務處及法院。法院由終審法院、高等法院（Hi gh Cour t，原稱最高法院，TheSupreme Cour t，包括有上訴法庭及原訟法庭）、區域法院（原稱地方法院，包括有七個裁判法院及專門法院──土地審裁處、勞資審裁處、小額錢債審裁處、淫褻物品審裁處及死因裁判法庭）所組成（圖2）。其中，根據《香港基本法》第 2 條及第 82 條規定13，香港終審法院取代英國樞密院司法委員會及英國上議院，成為香港最高的上訴法院。根據《香港終審法院條例》SECT 1 7規定14，其權力主要是：確認、推翻或更改上訴所針對的法院決定； 發還下級法院處理並附上終審法院的指引意見或命令； 處理上訴。五、中國內地司法機關的審級制度中國司法機關的審級制度，就審判程式而言是兩審終審制；而就人民法院體系而言是四級兩審制。根據《中華人民共和國憲法》及《中華人民共和國人民法院組織法》規定，人民法院組織體系是由地方各級人民法院（基層人民法院、中級人民法院、高級人民法院）、專門人民法院（軍事、海事、鐵路運輸法院等專門法院）和最高人民法院組成（圖3）。15圖3 中國內地法院組織體系中級人民法院、高級人民法院和最高人民法院審判的第二審案件的判決和裁定，最高人民法院審判的第一審案件的判決和裁定，都是終審的判決和裁定，也就是發生法律效力的判決和裁定。 16其中，圖2 香港法院組織體系資料來源：香港特別行政區司法機構網站，htt p :// www. jud icia r y. gov. hk/ tc /index/ index. h tm。
43《澳門研究》第48期2008. 10最高人民法院的管轄權範圍主要為內有重大影響刑事、民事及行政案件；對高級人民法院、專門人民法院判決和裁定的上訴案件和抗訴案件以及最高人民檢察院按照審判監督程序提出的抗訴案件；核准判處死刑的案件；進行司法解釋；以及領導和管理全國各級人民法院的司法行政工作事宜。 17由此可見，基於中國司法機關制度為實行兩審終審制，而且法律亦不允許越級上訴，所以大部分作出終審判決的法院為中級人民法院，高級人民法院和最高人民法院很少成為案件的終審法院。而且，法律規定最高人民法院為第一審法院，與澳門終審法院為第一審法院，也是出現“一審終審”的情況。18六、分析及結論表1為對中國內地、香港及澳門最上級法院的管轄權及功能進行比較。從終審法院維持很小規模。這並不是只為了節省國家對司法機關的開支，而是基於作為最上級法院亦意味其審判難度遞增，須讓一些較有經驗的法官擔任。並且法律透過限制其審查案件的數量，減少因同類案件而產生爭議，以達法律適用及統一的效果。每一個法院有各自職能分層之目的，擁有終審權的法院層級不應承擔第一審法院的職能，即不應偏重對事實問題進行審判的職能。現時澳門法律為了偏重於滿足服務於社會的公共目的而作出權衡，將某些範圍的案件的第一審法院設置在終審法院，但是基於第一審法院的主要職能是調查及審理事實問題，而上級法院（終審法院）則應為偏重於對當事人的救濟、審理法律問題，以及維護法律適用及解釋統一，而此亦是各國將審權設置在最上級法院的原因。19將某些範圍的案件的第一審法院設置在終審法院，則不利作為最上級法院履行其職能，其他國家亦少見由最上級法院作為第一審法院，因最上級法院只審查法律問題而排除事實問題的考慮，事實問題為森羅萬象，法律問題則須尋求普遍性及統一性。 20而且，在各國司法制度中當事人擁有上訴機會亦被得到普遍承認。將最上級法院作為第一審法院，亦不見到甚麼優點。本人建議將法律原規定由終審法院作為第一審法院的管轄權轉移到中級法院，由中級法院對有關“重大事宜”及“某些據位人”案件進行審理，將終審法院回復作為最高層級法院的職能，即一般情況為三審終審制，而上述那些特別情況則為兩審終審制，以解決因終審法院作為第一審法院當事人令當事人沒有上訴機會的情況，維護及保障當事人上訴權利及終審法院在法律統一適用及解釋的最高性及表1 中國內地、香港及澳門最上級法院管轄權及功能國家地區 中國內地 澳門 香港最高審級法院 最高人民法院 終審法院 終審法院法官數目 47 3 20人口（2004 年估計數）1,300,328,791 445,286 6, 855,125在全國有重大影響的案件認為應當由其審理的案件對下級法院抗訴案件核准判處死刑案件進行司法解釋管轄範圍 領導和管理全國各級人民法院司法行政工作事宜資料來源：中華人民共和國最高法院網站，ht tp :/ /www .c our t. gov .c n /in dex .h t m；澳門特別行政區法院網站，ht tp :/ /www. cou rt .gov .m o/c /c def au l t. h tm；香港特別行政區司法機構網站，ht tp : // www.ju d ici a ry . gov .hk /t c /index / index .h t m。統一司法見解審判對下級法院上訴及其他附隨事項作為第一審法院審判某些據位人因履行職務作出之行為、犯罪及輕微違反案件人身保護令法官委員會及檢察官委員會選舉上的司法爭訟中止行政行為效力管轄權衝突確認、推翻或更改上訴所針對的法院決定發還下級法院處理並附上終審法院的指引意見或命令處理上訴
淺論澳門司法機關的審級制度澳門研究44第48期權威性。註釋：1 終審法院第 36 /2 00 7 號合議庭普通刑事案判決內容，詳見澳門特別行政區法院網站， h ttp: //w ww.cou rt. gov.mo/ 。2 《澳門基本法》第 8 4 條規定：“澳門特別行政區終審權屬於澳門特別行政區終審法院。”本文對將終審權定義為完全及專屬之審判權。3 此案件還有第四個問題有待解決，那些基於被行賄作出的行政行為是否無效及判決後應如何處理那些無效行政行為所帶來的法律效果，詳見林桂桁：《淺談非有效的行政行為》，載於《澳門研究》，第 47期， 2008年，第 17 –22 頁。4 江偉主編：《民事訴訟法專論》，北京：中國人民大學出版社， 2 00 5 年，第 34 6–3 57 頁。5 3 月 20 日第 11 8-A/ 99 號共和國總統令。6 在民事訴訟中，一般司法程序可因利值而上訴至終審法院；非訟事件之程序則不可向終審法院上訴。根據第 9 /1 999 號法律《司法組織綱要法》第 18 條第 1 款規定：“第一審法院及中級法院的法定上訴利益限額分別為澳門幣 5 萬元及 1 00 萬元，是民事和勞動法上的法定上訴利益限額。”即 5 萬元至少於或 10 0 萬元，中級法院為終局判決，如超過則可上訴至終審法院。然而，簡易訴訟程序之金額不高，故澳門不許容平常上訴。而在刑事訴訟中，非任何案件均屬三審終局判決，有時只有二審即終局判決，如涉及犯罪可科處之徒刑最高不超越 8 年，當涉及犯罪可科處之徒刑最高超越 8 年時，方可上訴至終審法院。7 根據第 9/ 19 99 號法律《司法組織綱要法》第 3 6 條第 8項規定，包括有行政長官、立法會主席、終審法院院長、司長、廉政專員、審計長、檢察長、警察總局局長、海關關長、立法會執行委員會、推薦法官的獨立委員會、推薦法官的獨立委員會主席、法官委員會及其主席、中級法院院長、第一審法院院長、監管辦事處的法官、檢察官委員會、檢察官委員會主席、助理檢察長、檢察官、在行政當局中級別高於局長的其他機關。8 根據第 9/19 99 號法律《司法組織綱要法》第 36 條第 3 –5項規定，包括有廉政專員、審計長、警察總局局長、海關關長、行政會委員、立法會議員、第一審法院法官、檢察官。9 根據第 9/19 99 號法律《司法組織綱要法》第 36 條第 5 –9項規定，包括有行政長官、立法會主席、司長、終審法院法官、檢察長、中級法院法官及助理檢察長。1 0 在第 9/ 19 99 號法律《司法組織綱要法》規定了一些特別情況由中級法院或終審法院為第一審法院，而在此所指的第一審法院為一般情況。1 1 在終審法院主審法官及院長宣告判決時表示：“歐文龍的行為貪得無厭，是有計劃的犯罪，案件對於澳門內部和外部，都帶出強烈的負面影響，對於主要官員來說，仍然同樣和繼續受到一些非常負面的影響。以及形容，其行為具有掠奪性、貪得無厭，並顯得無悔意，因此需要判處重刑。”這些言論已經表現出終審法院主觀上對有關事實進行認定，如再由終審法院進行上訴審理則難顯上訴機制的對下級法院的監督作用。而且在澳門的司法層級制度中終審法院已是最高層級，所以再沒有其他上級法院對此案進行上訴審理。參閱《文匯報》， 2008 年 1 月 3 1 日，重要新聞第A03 版；《成報》2 008 年 1 月 3 1日，要聞第 A01 頭條。1 2 參閱第 9/ 19 99 號法律《司法組織綱要法》第 4 6 條第 1款及附件表 3 ，以及參閱澳門特別行政區法院網站，ht tp :/ /w ww . co ur t .g ov. mo/ c/cd ef au lt. ht m 。1 3《香港基本法》第 2 條規定：“全國人民代表大會授權香港特別行政區依照本法的規定實行高度自治，享有行管理權、立法權、獨立的司法權和終審權。”而在第 8 2 條定：“香港特別行政區的終審權屬於香港特別行政區終審法院。終審法院根據需要邀請其他普通法適用地區的法官參加審判。”1 4 香港法律資訊研究中心網站， h t t p: / / ww w . hk li i. or g/ h k/leg is/cord/ 48 4/s1 7. html 。1 5 新華網， h t t p: / / ne w s. xin h ua n et . co m/ zi li ao / 20 0 3- 08 / 21 /cont ent _103 840 4.h tm；以及張立平：《我國民事審級制度研究》，載於陳剛、廖永安主編：《移植與創新：混合法制下的民事訴訟》，北京：中國法制出版社，200 5 年。1 6 中國網， htt p://big5 .china .co m. cn/ ch-sif a/sif a-2/ sifa2-1.ht m。1 7《中華人民共和國民事訴訟法》第 1 8-21 條；以及《中華人民共和國人民法院組織法》第 11 條、第 30 –3 3 條規定。1 8 有學者亦認為最高人民法院不宜也不必設為第一審法院，參閱註 4 ，第 1 3 6–1 37 頁。1 9 新堂幸司著，林劍鋒譯：《新民事訴訟法》，北京：法律出版社， 2 00 8 年，第 6 15 –61 6 頁。2 0 如日本、德國及葡萄牙是實行三審終審制，而且最上級法院作為第一審法院的情況亦少見。參閱奧特馬‧堯厄尼希著，周翠譯：《民事訴訟法（第 2 7 版）》，北京：法律出版社， 2 0 03 年，第 3 8 頁；以及中村英郎著，陳剛、李劍鋒、郭美松譯：《新民事訴訟法講義》，北京：法律出版社， 20 0 1 年，第 2 9–4 9 頁。
65《澳門研究》第48期2008. 10有本法規定的減輕處罰情節的，應當在法定刑以下判處刑罰。第 2 款規定，犯罪分子雖然不具有本法規定的減輕處罰情節，但是根據案件的特殊情況，經最高人民法院核准，也可以在法定刑以下判處刑罰。許霆即屬第 2 款規定的情況。2 羅翔：《許霆案：法官其實有權靈活糾偏》，載於新華網， h tt p: / /n ew s.xi nh ua ne t. com /co mme nt s/ 20 08 -01 /1 0/con tent _73 979 36. htm ， 2008 年 1 月 1 0 日。3 王瑩、方舒陽、劉黎霞、陳捷生：《廣東省檢察院檢察長談許霆案：一審判無期無不妥》，載於地方立法網， h t t p : / / w w w . l oc a ll a w . g o v. cn / d f l f w / D es kt o p . a sp x ?PA TH = d f l f w / s y/ xx ll & Gi d = 7 1 f 5 b 8 a d - a a d f - 4 b1 5 -b 6 d 0 -ae 199 f7e 1574 &Tid =C ms_ Inf o ， 2 008 年 1 月 2 3 日。4 呂向隱：《許霆案：一起荒唐的盜竊案》，載於東方法眼網站， h tt p: //w ww .d ff y.com /fa yan gua ncha /sd /20 08 03/20 080 310 072 829 .ht m， 20 08 年 3 月 10 日。5 《英一提款機雙倍吐錢，百人排隊取款》，載於新華網， ht t p: // bi g5. xin hu an et .co m/ ga te /b ig5 /n ew s. xinh ua ne t.com/ wor ld/ 200 8-03/ 26/ conte nt_ 786 202 3.ht m ， 2 008 年 3 月2 6 日。6 根據《澳門刑法典》第 20 0 條第 2 款規定，將拾得或發現之他人之物，不正當據為己有者，處最高 1 年徒刑，或科最高 12 0 天罰金。7 根據《澳門刑法典》第 22 條規定，只有當某種犯罪的法定刑最高限度超過 3 年徒刑（不包括 3 年）時，該種犯罪的未遂方予處罰，但法律另有特別規定的除外。8 筆者得出此結論，僅是從構成要件的角度考察；實際上是否以犯罪論處，還有一個情節問題：如提款機第一次多給的錢數額很少，當然無須以犯罪論處；若數額較大，則完全可按犯罪論處。在中國內地，許霆第一次取款的行為之所以不作犯罪論處，那是因為中國內地《刑法典》既沒有規定相應的罪名，且其數額也很小。9 根據《澳門刑法典》第 29 條規定，罪數係以實際出現之罪狀個數，或以行為人之行為符合同一罪狀之次數確定。
75《澳門研究》第48期2008. 10改善人力資本很重要。北歐的福利很高，而他們的創新創業程度也很高，是因為本身人力資本水平高，所以說澳門也需要改善人力資本水平。除了派發現金，政府能做的還有一些導向性政策，比如說給他們的現金，應該導引他們如何去利用那些現金作提高自身能力的投資（人力資本投資）而非拿去消費。提升服務質量與品牌。澳門再向前發展，應該朝 精品化、優質化方向發展。曾經看到過台灣和日本一些企業的服務是精品但是它不貴。中國的“如家”旅館連鎖店也是一個好的例子。政府應該繼續為中小企業提供必要的公共服務，促進他們提高效率及競爭力。注意政策的配套性。解決一個問題或者現象需要的是一籃子政策，並不只是單一的一個工具，一個政策工具是難以解決所有問題的。從中長期看，我們需要一籃子的政策去解決當前的通貨膨脹。比如說，在給市民的現金分享或救濟資金的同時，引導他們去從事人力資本、個人增值等方面的投資，並不是拿這些資金去做一般生活消費方面，如果是那樣，碰到下一次通貨膨脹，又得再次發放現金，並且市民的生活沒有得到實質性的改變。比如說，可以用這些補貼去學習深造，進行在職培訓，提高日後他們的收入和生活水平。簡單說，政府可以發放現金，但是這些資金應該怎麼利用，應該有相關的配套政策。很重要的一點，通過強化區域經濟合作來解決通貨膨脹。如上所述，分析目前和未來澳門的通貨膨脹及其持續性，要看周邊環境的變化，澳門自己是很難解決的。作為微型經濟體，澳門應更注重市場一體化（mark et i ntegrat i on）， 一定要把澳門與周圍地區融合在一起，降低因區域內生產要素流動的障礙太高而造成的高成本。既然澳門方面所能用到的政策工具和資源很有限，就一定要考慮通過區域市場融合來尋求可持續發展。我覺得這是一個大的方向，比如，能不能把相互之間的一些流動障礙清除，這一點很重要。像房屋、通貨膨脹、人力資源等這些問題都可以通過區域合作來解決。對於一個市民來講，促進區域的融合，市民可以搬遷到鄰近地方生活、消費，多方均可受益，福利也沒有降低，但前提就是我們降低關卡標準，而現在通關問題是一個比較麻煩的事情。現在我們看到是通關要排那麼長的時間，為甚麼一個國家的兩個地方通關都這麼難，而一些地區兩個國家的通關都不用那麼費勁？其實通關方面沒有一點的技術問題，很多企業也反映這樣會影響其成本、價格等。我們自己本身內部資源有限、貨幣政策及財政政策等經濟調控工具亦有限，所以我們必須向外面看，對外融洽才能看到希望。澳門的旅遊博彩是與區域合作相聯繫的。例如現在我們要接待一些歐美來的遊客，他們既然是來旅遊的，就不可能只到澳門，還可能要到珠三角、上海、台灣、海南等，這些都需要區域合作的。如果澳門太注重自己本身利益，就很難繼續發展，所以現在應該更注重區域合作，這是我們解決通貨膨脹、民生及經濟發展等問題的一個可選擇的重要路向。黃：政府主要是對一些中低收入者進行補貼、扶持。金融政策方面： 對於“澳門幣升值”的建議，從個人角度來看，我認為澳門幣是不應該主動升值的，澳門幣一次性升值不會解決根本的問題，但可能對澳門金融體系帶來風險。並且升值對澳門沒有益處，因為現在澳門幣相對於人民幣幣貶值，可以吸引很多遊客來澳門旅遊。另外，澳門實行的是聯繫匯率制度，如果經常改變匯率，就會使人們對澳門幣失去信心，這對整個未來的澳門經濟發展有很大的影響； 關於澳門幣是否應該與人民幣掛 的問題，我覺得最好的策略就是等待。如果香港改行港元與人民幣掛 ，從而澳門元也間接地與人民幣掛。所以，我覺得現在的匯率政策還是選擇維持原狀為好。產業政策方面：對於受到通貨膨脹衝擊的本地特色產業，應該扶持那些有市場前景且符合澳門未來產業戰略需要的商家，像政府最近採取的傳統飲食業補貼政策等。社會政策方面： 24小時通關，推行通關便利化，例如只管入，不管出，加快市民遊客出入，或者將出入境檢查事宜都委託予香港海關或者珠海海關，讓本地市民有更多的選擇到廉價的地區消費，例如，在珠海、中山等價格相對低廉的地方居住、消費、娛樂、經營等。澳門和珠海應該有個同城化
澳門網絡經濟發展問題探討澳門研究86第48期一、網絡經濟的涵義與特徵所謂網絡經濟有兩重定義，即狹義與廣義。狹義的網絡經濟是指基於互聯網的經濟活動，如網絡企業、電子商務（不包括基於電子資料交換的電子商務），以及網絡投資、網絡消費等其他網上經濟活動。廣義的網絡經濟是指以信息網絡（主要是互聯網，但不限於互聯網如內聯網、外聯網等）為基礎或平台的、信息技術與信息資源的應用為特徵的、信息與知識起重大作用的經濟活動。 1網絡經濟指的是以信息技術尤其是以互聯網技術為主要動力的經濟。可以說，互聯網越發達，網絡經濟的基礎條件越好，發展就越快。反之，網絡經濟與互聯網的聯繫並非絕對，兩者既有聯繫，又有本質的區別，互聯網主要是指網絡，而網絡經濟的核心是經濟，互聯網只是網絡經濟的手段和基礎條件，兩者並非互為正比關係。網絡經濟的主導產業是信息技術業和信息服務業。它的產生、發展對人們的生活模式和社會經濟形態產生極其深遠的影響，也帶來重大的變化，是未來最有潛力的新興經濟模式。網絡經濟的發展是以網絡市場為基礎，從供需角度和交易模式大致分為三個階段。第一階段是生產者內部網絡階段，即所謂的電子數據交換（El ect ro ni c Data Interc hange，ED I）階段。它的基本特徵是工業界內部為縮短業務流程時間和降低交易成本所採用電子數據交換系統所形成的。它起始於20世紀60年代末，表現在一些大企業用於採用電子模式進行數據、表格等信息的數據交換。第二階段是國內的或全球的生產者與消費者共用網絡信息階段。其基本特徵是企業在互聯網建立站點，以網絡為行銷手段之一，或通過網上產品信息的發佈來推動實體化商品的銷售。如從市場交易方式的角度說，可稱為“線上瀏覽、離線交易”的網絡市場階段。第三階段是網絡發展的最高境界，或稱為“線上瀏覽、線上交易”階段。網絡不僅用來進行信息發佈，而且實現線上交易，即實現信息化、電子化、數位化的網絡交易。“線上瀏覽、線上交易”的特徵表現在即時（Realt im e）、聯機（O nline）的交易模式。其最關鍵是實現支付過程電子化。由“內部網絡”→“線上瀏覽、離線交易”→“線上瀏覽、線上交易”的三個階段，網絡技術成為支撐點，並成為促進經濟全球化的重要元素之一。經濟發展借網絡技術向外延伸，走向區域化、全球化。(一) 網絡經濟的涵義網絡經濟的發展體現了科學技術進步推動生產力發展的趨勢。隨 網絡技術的深化發展，社會經濟實現信息網絡化，全球範圍內的高效率資金調動、籌集和分配成為現實。全球性以網絡驅動的新型經濟（網絡經濟）正式產生。利用網絡經濟實現經濟轉型的呼聲越來越高，網絡服務和應用逐漸走到前台，並迅速商業化，從而形成了以互聯網為核心的網絡經濟。經濟全球化成為大勢所趨。從生產發展角度來說，網絡經濟離不開電腦和網絡技術，它是與電子商務緊密相連的網絡產業。網絡產業的發展成為網絡經濟的主要內容。網絡產業澳門網絡經濟發展問題探討林輝蓮 ** 華僑大學博士研究生
87《澳門研究》第48期2008. 10的出現成為許多國家經濟持續增長的重要原因之一。從企業行銷的角度來說，或者是消費的微觀層面來看，網絡經濟是一個網絡市場或虛擬市場。它是在經濟信息，網絡構築的虛擬空間中進行活動的，其虛擬性是源於網絡空間的虛擬性，轉移到互聯網上經營的一種虛擬的經濟，或稱為虛擬經濟。在網絡經濟時代，生產者和消費者通過互聯網實現供需配對，直接互動。從表現形式來說，網絡經濟是新時代經濟。網絡經濟與物理空間的現實經濟並存，相互促進培育虛擬經濟的成長，促進虛擬經濟的發展，已成為現代經濟發展的歷史潮流。網絡經濟也是虛擬經濟。從組織架構來說，網絡經濟的發展使經濟組織的發展扁平化，讓處於網絡端點的生產者與消費者可以直接聯繫，使許多的中間環節失去了存在的必要性。從而加快資金流的速度，提高了資金利用效益。從運作模式來說，網絡經濟是營運經濟。由於信息網絡每天 24小時運轉是基於網絡的經濟活動，很少受時間元素的制約，可以全天候連續進行。從而成為無間斷的連續營運經濟。從科學技術來說，網絡經濟是全球化的經濟。由於信息網絡把整個世界變成了“地球村”，使地理距離變得無關緊要。由於網絡活動把空間元素的制約降低到最小限度，使整個經濟的全球化進度加快，世界各國經濟的相互依存加強。從發展的趨勢來說，網絡經濟是創新經濟，它源於高技術和互聯網，但又超越高技術和互聯網，創新是網絡經濟的原動力。在網絡經濟時代，生產者和消費者通過互聯網實現供需配對，直接互動。(二) 網絡經濟的特徵網絡經濟的交換方式是透過網絡進行，把企業的業務系統與商貿環節聯為一體，從而推動經濟全球化。其發展過程是以電子貨幣作為交易的介質，例如：信用卡、電子錢包等雛形躋身於網絡經濟之中，因而給傳統金融流通領域帶來了巨大的變革和活力。它把貨幣流和票據流的資金運動轉變為信息流的運動，減少在途資金，加快資金周轉，提升資金的利用率，從而促進企業資本和知識資本的作用得到更加充分的利用和發揮，促進經濟增長模式從粗放型向集約型的轉變。網絡經濟的特徵主要表現為：無疆界（Borderl es s D imens i on）跨域：透過信息的傳輸，成為無疆界的自由市場，或者說是全方位開放，無時空限制的全球化經濟。數位科技（Di gita l Sci ence Tec hnology）模式：透過電腦科技之先進知識，高度開放、低使用成本和高速率地傳至對方。它使經濟活動的節奏加快，效率提高；高倍數（Di mens i on of Hi gh Mul t i p les）發展：科技的進步，以公開技術標準的全球網絡系統，從信息、時間、速度高倍速成長。二、網絡經濟與傳統經濟的比較互聯網技術實現了信息流、資金流和物流的迅速又廣泛地交流。而在網絡經濟發展過程中，傳統經濟是網絡經濟發展的基礎，網絡經濟是未來的傳統經濟，是傳統經濟的衍生形態。(一) 傳統經濟是網絡經濟發展的基礎傳統經濟是網絡經濟發展的基礎，或者說網絡經濟是傳統經濟發展到一定階段的產物，是傳統經濟的高級形態。脫離了傳統經濟，網絡經濟就成了無水之源、無本之木。等價交換、利潤最大化等傳統經濟中通行的法則仍適用於網絡經濟，價值規律仍起作用。網絡經濟的發展是離不開傳統經濟的，並且在發展網絡經濟的同時，應該有效地開發傳統經濟資源，讓虛擬與現實結合，現代與傳統結合，技術與商業結合，使傳統產業得以優化、整合，以提高社會效益和經濟效益。傳統經濟是網絡經濟發展的基礎，網絡經濟必須依存於傳統經濟才能發展。(二) 網絡經濟 效益與規模成正比網絡經濟的發展體現了科學技術進步推動生產力發展的趨勢。隨 網絡技術的深化發展，社會經濟實現信息網絡化，全球範圍內的高效率資金調動、籌集和分配成為現實。全球性以網絡驅動的新型經濟（網絡經濟）正式產生。由於網絡的發展迅速出乎人們的意料之外，無論在香港、澳門、台灣或內地，以至全世界，利用網絡經濟實現經濟轉型的呼聲越來越高。香港特區政府制訂了把香港建成數碼港的規劃，企業積極地向網絡經濟靠近；澳門特區政府制訂建立電子政務，
93482008. 101. PrefaceThe 21st century is not only a century of knowledge-based or intelligence-based economy but also a great timeof creative economy. Economic globalization and regionaleconomic integration have been spreading all over the world.Promoted by globalization and regional economic integrationand cooperation, countries and regions that are far away fromeach other and of different regions are gradually forming alot of trans-regional economic cooperation organizations toenlarge space for economic and trade development.Under this background, the Macau Special AdministrationRegion (SAR) authority, after exploring for many years andconsidering its advantages, creatively proposed the strategicidea of the building of three service platforms – the “TradeService Platform for the Western Part of Guangdong Province”,“Cooperation Platform for the Global Network of OverseasChinese Businesspeople” and “The Economic and TradeCooperation Platform between China and the Portuguese-speaking Countries”.1The Economic and Trade Cooperation Platform betweenChina and Portuguese-speaking Countries (simplified as thePlatform hereafter), as one of the three platforms that are neededto be built urgently, is the best proof that the Macau SARhas broken traditional thinking, relied on its strength, knownitself and its counterparts well and spent great efforts to promotetrans-regional connection between the Chinese mainland, Macauand Portuguese-speaking countries.Since the birth of the Platform, it has won great supportfrom the Chinese mainland and Portuguese-speaking countries.It has played a big role in promoting the economic and tradecooperation between China and Portuguese-speaking countries,the effect of which has been released gradually. Its reasonis mainly that the development of the Platform is beneficialfor the continuous development of Macau’s economy. Moreover,it has made the relationship between the Chinese mainlandand Portuguese-speaking countries closer, while the strengtheningof this relationship is in accordance with the developmentstrategies for political and economic development in thesecountries. Therefore, driven by interests, the related partiesall have enough incentives for supporting the development ofthe Platform.From Macau’s side, the proposition of the idea of thePlatform aimed to restructure industries and diversify economicstructures to ensure the economy’s sustainable and steadydevelopment. As for the Chinese mainland, there are mainly3 advantages. Firstly, the prosperity and steadiness of Macauis the success of the policy of “one country, two systems”and therefore carries great political meaning. Secondly, thePlatform can promote the relationship between the Chinesemainland and Portuguese-speaking countries, which is inaccordance with the deployment of China’s diplomaticstrategies, reflects the spirits of “South-South Cooperation” andThe Service Platform for Economic and Trade Cooperationbetween China and Portuguese-speaking CountriesIp Kuai Peng
The Service Platform for Economic and Trade Cooperation between China and Portuguese-speaking Countries9448“South-North Dialogue” and is good for preventing “TaiwanIndependence Movement”. Thirdly, the strengthening ofcooperation with Portuguese-speaking countries can provide agreat supply of technology, raw materials and energy for China,constituting a backup force for the sustainable developmentof China’s economy. For Portugal and the European Union(EU) behind it, China means a huge market. They can accessthe Chinese market more easily through the Platform. Besides,establishing close relationship with China is also good for theEU to seek a balance of power with the United States inglobal issues. For the relatively underdeveloped Portuguese-speaking countries, they expect to get China’s economic andtechnical aid as well as investment from Chinese companies.Meanwhile, they can communicate their political voice throughChina’s status in international community.This article will analyze the basis for the Platform policy,especially exploring the benefits the Platform can bring to Chinaand the major reason why it gets support from the motherlandfrom political and economic points of view.2. The Basis for Making the Platform Policyand the Development Status Quo of the Platform2.1 The need to meet the economic development of MacauMacau has an area of 29.2 square kilometers, a populationof 543,000, which is a typical mini-economy. According tothe data about the GDP growth rate from Macau Statisticsand Census Service, Macau’s economy has transferred froma negative growth before returning to the motherland to a positive,steady and fast growth after returning to the motherland. In2007, the GDP growth was as high as 27.3%.Tourism and gambling industry contributes a lot to Macau’seconomic development. After returning to the motherland, theSAR authority took the policy of opening gambling sector.Big gambling companies gradually opened and provided a greatnumber of jobs for Macau’s labor market. The rapid developmentof gambling industry has provided incentives for high speeddevelopment in related industries including tourism, construction,real estate, retailing, etc. The author thinks that the phenomenonof gambling industry emerging and constituting a major partof Macau’s economy has brought Macau a strong multipliereffect. In the mean time, crowding-out effect and the Mattheweffect also exist, which has brought great hidden worry forthe long-term operation of Macau’s economy.2It is hard for gambling industry to support long-termeconomic development. Though at present gambling industrystill has space for development, some characteristics of it havedecided that it can not become a long-term reliable industryfor a region. Firstly, gambling industry is not a high-growthindustry but a risk-speculating industry which has ups anddowns. Secondly, gambling industry has a short industrial chainand is hard to prolong. Therefore, it has limited ability todrive the development of industry and hi-tech industry. Lastly,gambling industry is easily influenced by external environment.The development situation, policies, measures and disastersof surrounding regions especially neighboring countries andregions can all have effect on Macau’s gambling industry.Therefore, to decrease the possible shock gambling industrymay bring to Macau, preferential policy from the motherlandshould be fully employed to ensure the long-term steadydevelopment of Macau’s economy. Discovering the advantageof close contact with the outside world and create value fromcontacting different counterparts has become an important directionfor Macau’s development.2. 2 In accordance with the interests of China andPortuguese-speaking countriesFirst, from the aspect of economic and trade factor, mostof these Portuguese-speaking countries belong to developingcountries. However, they have rich natural resources, whichare supplementary to Chinese economy and have hugedeveloping potential. Portuguese-speaking countries mostlybelong to different regional economic and cooperation organizationwhich have different situations and different developingopportunities and cooperation potential in different aspects.Besides, Portugal as a developed country has advantagesin industrial products and technologies. Chinese companies canthink about importing relative advanced technologies or cooperatewith local plant owner for manufacturing. Meanwhile, they canavoid the EU’s trade barrier by taking advantage of Portugal’sEU member status. China is the developing country of thefastest economic growth in the world, so the large internalmarket is attractive for Portugal, while Chinese companiesenlarging investment in developing Portuguese-speaking countries
95482008. 10is good news for them. Therefore, strengthening further economicand trade cooperation mutually is the common wish from bothsides.China’s trade with Portuguese-speaking countries hasincreased rapidly. According to the statistics announced bythe China Customs (Table 1) in 2007, the trade volume betweenChina and the 8 Portuguese-speaking countries (regions)amounts to 46.35 billion US dollars, among which China exports14.62 billion US dollars and imports 31.73 billion US dollars.They respectively account to increase rates of 36.1%,49.0%, 30.5% compared with those of the year before.Considerations about the political aspects also prompt Chinato strengthen regional economic cooperation with Portuguese-speaking countries. Regional economic cooperation with countrieswhich are similar in political stance is in most cases goodfor further political cooperation, and can positively advanceagendas that are beneficial for developing countries, effectivelycurbing big power’s manipulation of international affairs. At thesame time, China is one of the five permanent members ofthe UN’s Security Council with relatively great political influencein the world. Therefore, Portuguese-speaking countries canexpress their ideas through China in the international community.It is of significant strategic meaning to create advantageousconditions for further promoting the relationship between Chinaand Portuguese-speaking countries through means of regionaleconomic cooperation, etc.2.3 Macau has sufficient conditions for being the PlatformAlthough the economic and trade cooperation between Chinaand Portuguese-speaking countries conforms to comparativeadvantages, there is still a lack of sufficient mutual understandingbecause of differences in languages, cultures, laws, etc. andinsufficient information communication on both sides. Especiallyfor some media and small enterprises and low-level developmententerprises, they face a lot of difficulties in real operation.Therefore, Macau as the bridge and link for this communicationis needed to help companies on both sides to overcome theseobstacles.Macau possesses relatively stronger economy and higherinternational reputation. Till 2007, Macau’s per-capita GDP is36,357 US dollars, ranking at the third place in Asia3 ; per-capita finished clothes output ranks the first in the world; businessincome and profit from gambling industry also take a leadingrole worldwide. From a geographic point of view, Macau isnot only situated in Pearl River Delta with active economybut also a complete open market itself. Combined with theadvantages of low operation cost, low tax system, low livingcost, perfect infrastructure, steady financial system, high liquidity,etc, it has become an ideal choice of starting or operatingbusiness. Besides, Macau has been a free port since mid19th century. Now it is still an independent tariff zone, whereimporting raw materials and industrial equipments is tax-freeand with no limitation on quantity. Foreign currencies can alsoflow in and out. Therefore, Macau has unique economic statusand influence internationally. Macau as a non-sovereignparticipant, since its returning to the motherland, has becomemore and more active in international arena.Table 1 The Trade Volume between China and Portuguese-speaking Countries in 2007Portuguese-speaking CountriesImport & Export Export Import compared with year 2006 (±%)(10,000 US dollars) (10,000 US dollars) (10,000 US dollars) Import & Export Export ImportEast Timor 951 946 5 -43.3 63.2 -99.5Angola 1,411,998 123,131 1,288,867 19.4 37.7 17.9Cape Verde 1470 1470 0 45.7 45.7 -85.5Guinea Bissau 745 728 17 31.2 28.1 -Mozambique 28,411 16,022 12,389 36.8 25.2 55.3São Tomé and Príncipe 178 178 0 46.1 46.1 -Portugal 221,081 182,628 38,453 29.0 34.3 8.7Brazil 2,970,504 1,137,203 1,833,301 46.4 54.1 42.0Total 4,635,338 1,462,306 3,173,032 36.1 49.0 30.5Data source: China CustomsNotes: Export volume refers to the exports from China to Portuguese-speaking countriesImport volume refers to the imports of China from the Portuguese-speaking countries
The Service Platform for Economic and Trade Cooperation between China and Portuguese-speaking Countries9648Other than the above, the close relationship between Macauand Portuguese-speaking countries has enabled Macau to playthe role as a platform. First, the administrative frame andthe legal system of Macau are from Portugal, so they aresimilar to other Portuguese-speaking countries, which is helpfulto the Chinese mainland and Portuguese-speaking countriesto understand the market systems of both. Second, Portugueseis one of the two official languages in the Macau SAR;Portuguese-speaking schools, newspapers, magazines, radios,TV programs, etc. are everywhere. The spreading of Portugallanguage education and relative information is common in Macau.Third, some of the Macau citizens who have moved toPortuguese-speaking countries are very familiar with the customsand cultures of both China and Portuguese-speaking countries.At last, entrepreneurs in Macau are very familiar with marketsin China and Portuguese-speaking countries. Therefore, Macauand Portuguese-speaking countries have close historical origins.In the business and trade activities between China andPortuguese-speaking countries, Macau enjoys uniqueadvantages.2.4 The development status of the PlatformThe Platform has become a hot topic in Macau andthe Chinese mainland, drawing more and more scholars todo research on it. For example, initiated and hosted by ChineseCentral Government, the Macau SAR undertook the first andsecond “China-Portuguese-speaking Countries Economic andTrade Cooperation Forum (Macau)” which went successfullyin October, 2003 and September, 2006 in Macau respectively,symbolizing that the Platform function of the Macau SAR inthe economic and trade cooperation between China andresourceful Portuguese-speaking countries has beenrecognized. According to the “Economic and Trade CooperationAction Guideline” passed in these forum, a permanentsecretariat for the China-Portuguese-speaking CountriesEconomic and Trade Cooperation Forum (Macau) was formedin Macau to supervise the application of the Action Guidelineand which has practiced important follow-up work. The thirdforum would open in 2009 in Macau again.At present, the service platform for economic and tradecooperation between China and Portuguese-speaking countriesis taking its effect. Driven by the Platform, the cooperationarea for China and Portuguese-speaking countries is enlarging.According to statistics, in trade, between 1999 and 2007, theexport volume of China to Portuguese-speaking countriesincreased beyond three folds, with an annual increase of49.9%. In the same period, China’s import from Portuguese-speaking countries increased by over ten folds, with an annualincrease of 151.6%; in investment, only Portugal and Brazilhave investment cases in Chinese mainland at present. Tillthe first half of 2004, the two countries have cases ofinvestment and cooperation in Chinese mainland totaling399, with a total contracted investment capital of 446 millionUS dollars and real investment capital of 185 million USdollars. In addition, China is offering economic assistance tofive of the world’s eight Portuguese-speaking countries,including close economic cooperation, the granting ofpreferential loans and organization of a string of professionaltraining courses. At the end of 2005, direct investment fromChina in Portuguese-speaking countries was 100 million USdollars, with investment of Portugal and Brazil in China totaling229 million US dollars, according to Chinese Trade Ministryfigures.4 On the other hand, in Angola, Chinese financial andtechnical assistance has kick-started over 100 projects in theareas of energy, water, health, education, telecommunications,fisheries, and public works.5Besides, according to data collected by Macau Statisticsand Census Service, differentiated by stockholder residences,in the third season of 2007, in all the newly organized companies,the capital volume of Portuguese companies is 20.7 millionPatacas, which is the third. The increase of Portugueseinvestment proves that the Platform is taking effect. The newlyfound Portuguese companies would usually establish officesin Macau. These companies usually have governmentbackground and supported by their governments. Even if thenumber of these companies is not big, the investment volumeis usually larger than that of the local small and mediumenterprises.3. The Construction of the Platform Fits inChina’s Political NeedsMacau’s idea of building the Platform implicates strongpolitical meaning for China. First, Macau’s prosperity is the
97482008. 10successful implementation of “one country, two systems” policy.Therefore, to ensure the prosperous and steady developmentof Macau’s economy and the success of “one country, twosystems” policy, the Central Government of China has provideda lot of preferential policies for Macau after its returning tothe motherland. Among these policies, to cooperate with thebuilding of the Platform role of Macau, there are the FacilitatedIndividual Travel (FIT) Scheme, signing of the Mainland andMacau Closer Economic Partnership Arrangement (CEPA), andapproving the construction of the Cross-border Industrial Zonebetween Macau and Zhuhai.On the other hand, the Platform is very helpful for Chinato strengthen relationship with Portuguese-speaking countrieswhich is in accordance with China’s deployment of diplomaticstrategy, good for maintaining China’s international political statusand curbing the expansion of “Taiwan Independence” forcein the international community.3.1 Developing relations with Portuguese-speaking countriesis in accordance with China’s diplomatic strategy deploymentEntering the new century, the international situation isbecoming complicated and changeable. A lot of new unstableand unsure factors arise in international security environment,and some deep level conflicts are coming to the stage gradually.Seeking development and peace has become the mainstreamof the times and the common wish of people from all aroundthe world. China advocates an independent foreign policy ofpeace unswervingly since its reform and opening up to theoutside world, appropriately handling and developing differentrelations concerning the external environment and world stability.Our country is opening wider to the outside world, with arising international status and a more and more important rolein maintaining world peace and stability and promoting commondevelopment. Maintaining world peace and promoting commondevelopment has become one of the important tasks for ourcountry in the new century.As the largest developing country, China should contributeits effort. Therefore, for the current strategic period of opportunities,China should continue its independent foreign policy of peace,develop good neighborly relations with surrounding countrieson the basis of “Five Principles of Peaceful Coexistence”,strengthen unification and cooperation with the majority developingcountries, go on improving and developing relations withdeveloped countries, widely take part in multi-lateral diplomaticactivities and play a more positive role in international affairs,thus creating good international environment for the reform andopening up and modernization construction, and making biggercontribution for maintaining world peace and promoting commondevelopment.Except Portugal, other Portuguese-speaking countriesare developing countries, and belong to the Third World asChina.6 Strengthening unification and cooperation with these“Third World” countries and practicing all-round opening up andindependent foreign policy of peace will enable our countryfurther take advantage of others and offset deficiencies of itself,so that we will always take initiative and accelerate andstrengthen the status and role in international arena. In fact,most of the Portuguese-speaking countries are China’s sincereand kind friends who also played significant role in someimportant events like Beijing’s success in getting the right tohost Olympics and Shanghai to host World Expo. Therefore,in terms of external relations, China should strengthen relationswith friendly countries, especially relations with Portuguese-speaking countries.3.2 Developing relations with the Portuguese-speakingcountries is an important manifesto of “South-south Cooperation”In recent years, at the same time with the developmentof the trend of world multi lateralism and economicglobalization, the economic and technology gap between thenorth and the south is enlarging, the problem of inequalityis becoming more serious, and a lot of developing countries’legal rights are seriously corroded.7 China as one of the biggestdeveloping countries in the world, together with other developingcountries, will fight against different kinds of hegemony andpower politics, and strive to build a new international orderof justice and fairness. “South-South Cooperation”, or theeconomic cooperation among third world countries, includingcooperation among developing nationalist countries andcooperation among developing socialist countries, meanssignificantly for safeguarding and strengthening interests ofthe developing countries, thus is well welcomed by the majorityof the developing countries.8 On 1st August, 2004, under closecoordination of China and Brazil as well as other developing
The Service Platform for Economic and Trade Cooperation between China and Portuguese-speaking Countries9848countries, the Doha Round Negotiation of World TradeOrganization (WTO) has achieved a breakthrough, which fullyproved the importance of “South-South Cooperation”. Thosewhich have built official relations with China in all the Portuguese-speaking countries except Portugal all belong to developingcountries and most of them are in Africa. It is also an importantpart of “South-South Cooperation” for China to carry out widerange of cooperation with African countries especiallyPortuguese-speaking African countries. In October, 2000, Sino-Africa Cooperation Forum was declared open in Beijing, andthe first ministerial meeting was also held. In December, 2003,the second ministerial meeting was held in Addis Ababa. Guidedby the principle of “practical cooperation, face to action”,China and African countries actively realized following actionsconfirmed in the meeting in 2004, and Chinese and Africanleaders exchanged visits. Cooperation in human resourcesbetween China and Africa has also strengthened. Meanwhile,China also gave tariff-exempt treatment to some of the exportsto China from the least developing countries in Africa. Mostof cooperation between China and Portuguese-speakingcountries belong to the sphere of “South-South Cooperation”,and is a win-win relationship that benefits world peace andcommon development, which is positive.3.3 Developing relations with Portuguese-speaking countrieswill further promote “North-South Dialogue”Although most of the Portuguese-speaking countries aredeveloping countries, Portugal in Europe is a developed country.In 1986, it becomes formally member of the European EconomicCommunity, after which it gradually went into EuropeanIntegration and takes part in European affairs actively. Afterthe EEC was changed into the EU in 1993, Portugal firmlysupported uniform European currency and tried to be one ofthe first members of European Currency Union. During thefirst half year of 2000, Portugal was the duty-alternatingchairman for the EU, which has played an important rolein promoting the EU’s expansion to the east, organizationalreform, common security, and the building of the followingten years’ economic and social development strategy. Sincelong time ago, Portugal’s overseas relations have never beencut. Instead, Portugal still pays great attention to relations withAfrica, Latin America and Asia. At the same time, Portugalalways insist its alliance with the US and takes part in theEU affairs actively, which are the two basis for its foreignpolicy. In international arena, it supports not only opinionsabout major international issues from main countries in Europeand America, but also interest request from small countries.As a result, in international arena, people generally recognizethat Portugal is taking a road in the middle.Through Portugal’s role, it will be helpful for China tocarry out “North-South Dialogue” with other developed countries,especially with other EU countries, so that political mutualtrust can be deepened and improved between China and thesecountries, the old international economic order can be graduallychanged and world economy can develop forward on the basisof equality and mutual interest.3.4 Developing relations with Portuguese-speaking countriesis good for China’s stability and peace, and curbing “TaiwanIndependence” movement effectivelyAmong the Portuguese-speaking countries, São Tomé andPríncipe is the country which has built the so-called “diplomaticties” with Taiwan. Inquiring into the causes, it is mainly dueto Taiwan’s “Money diplomacy”. Guinean Bissau was alsotempted to break relations with China and build “diplomaticrelations” with Taiwan. In previous days, a military coup waslaunched in this country during which the president and premierwho advocated resuming diplomatic relations with China wereall arrested. Taiwan authority is always plotting about howto take action in this aspect. On the other hand, in the generalelection for president after East Timor’s independence, Taiwanonce tried to set beforehand via supporting and winning overone of the candidates Xavier to seek their building “diplomaticrelations” with Taiwan after he was elected.As for São Tomé and Príncipe which has never builtdiplomatic relations with China yet, China should try to expandits “economic diplomacy” strategy, persuading through therelations with other Portuguese-speaking countries, and try tobuild normal diplomatic relations with it as soon as possibleand make it give up supporting Taiwan’s independence.Meanwhile, for these countries which sway in attitude towardthe standpoint of “One China”, like Guinean Bissau, the Chinesegovernment should step up to consolidate the relations.East Timor, which Taiwan had made effort, should not
99482008. 10be overlooked. Particularly, Taiwan authority also sought thelegitimacy of “independence through referendum” from EastTimor’s “Referendum decides Unification or Independence”. Ifthe present president Gusmao who supports “One China” cannot be reelected due to the limitation of the Constitution, Xaviersupported by Taiwan will stages a comeback.4. The Construction of the Platform Fits tothe Need of China’s Economic DevelopmentThe basis for building the economic and trade cooperationplatform among China, Portuguese-speaking countries andMacau is on the economic complementation in resources,comparative advantages, etc. The developing China hasaccumulated rich capital and practical technologies, whilefacing the bottleneck of a shortage of resources and hightechnologies; the EU where Portugal lies is endowed withrich resources and high technologies, looking for suitableinvestment areas; Brazil and Portuguese-speaking countries inAfrica are in the beginning of rapid economic development,requiring substantial capital and technological aid and furtherdevelopment of their resources. Therefore, the strong comple-mentation between China and Portuguese-speaking countrieshas given hope to the formation of an international cooperativepattern in which multiple parties can benefit from cooperation.Portuguese-speaking African countries can provide resourceproducts to China, while China can provide to them finishedindustrial products and investments. China is also a placefor investment from Portugal and other countries and a marketfor capital-intensive and technology-intensive products. At thesame time, China imports high and new technologies fromthe EU and exports a great number of labor-intensive products;Macau is playing an intermediary role relying on its uniqueadvantages, pushing forward economic integration on both sides.4.1 Expanding European market through closer economicand trade cooperation with PortugalThe EU where Portugal lies is a regional economicorganization with the highest degree of integration, with a GDPof 8.43 trillion US dollars and No.1 in products exportationin the world. In general, there is huge potential in the economicand trade cooperation between China and Portugal. Cooperationcan be carried out in areas of trade, technology, investment,etc. At present, in terms of trade, China mainly exports toPortugal products of textile, apparel, shoes, plastics, videoequipments, toys, traveling facilities and bags, carpets, steel,ceramics, lighting facilities, etc.; and mainly imports electricalcapacitors and parts, elementary plastics, paper and paperpanels, pharmaceuticals, textile products and so on. There isstill huge market potential in China for importation of wineand olive oil from Portugal.In terms of technology, Portugal is the member stateof the famous “Eureka” plan in Europe, thus can be an importantchannel for China to import and utilize European high andnew technology. As for investment, Portugal’s labor andoperations cost are relatively low, and the overall tax ratesare the lowest in Europe. It is the best choice for Chinato enter the European market. The Chinese enterprises canTable 2 A Comparison of Resources in China, Portuguese-speaking Countries and the Macau SARSource: Shao, F., “Economic and Trade Exchanges between China and Portuguese-speaking Countries and the role of Macau’s Platform,” Business Economy and Management,No. 2 (2005), pp. 24-28.ItemsLaborCapitalTechnologynatural resourcesMarketEconomic and trade talentsin China andPortuguese-speakingcountriesChinarichvery rich, accumulating fastabundant practical technology,lacking high technologyin a shortagevastin a shortagePortugal and the EUnot richrichabundant high technologyin a shortagevastabundantOther Portuguese-speaking countriesrichin a shortagein a shortagerichrapid growing, beginning to form a scalein a shortageMacau SARnot richrichrich economic andtrade informationin a shortagesmallabundant
The Service Platform for Economic and Trade Cooperation between China and Portuguese-speaking Countries10048avoid trade barriers and enter the EU market through investingin Portugal. In the economic and trade cooperation betweenChina and Portugal, Macau’s role as the Platform is becomingprominent. Macau has successfully held three activities of“Eureka Plan Asia”, deepening the technological cooperationbetween China and Europe. Macau’s Europe Information Centerestablished in 1992 is the first Europe Information Center inAsian region. As the bridge for cooperation and trade exchangebetween Asian and European enterprises, it is playing a bigrole in providing information and assistance for enterprisecooperation. At the same time, Macau’s advantages in humanresources and offshore financing provide a lot of conveniencefor economic and trade exchanges between China and Portugaland the EU.4.2 Expanding the South American market via closereconomic and trade cooperation with BrazilChina maintains close relationship with Brazil in economicand trade cooperation. According to statistics from ChinaCustoms, in 2004, the total trade volume between China andBrazil is a record-breaking number of 12.36 billion US dollars,in which, export from Brazil to China is 8.68 billion USdollars, and Brazil’s imports from China is 3.67 billion USdollars. Brazil is also one of the ten main outside investmentareas for China. There are 337 cases about Brazil’s investmentin China, with real investment of 120 million US dollars, mainlycovering areas of airliners manufacturing, refrigerator compressorsproduction, catering, automobile parts and so on. There arealso a lot of companies which established offices in China.We can see from it that there is a good foundation for theeconomic and trade cooperation on both sides. Through furtherutilizing the Platform of Macau and the existing economic andtrade resources, we can better go through the Brazilian marketto enter the member countries of the biggest economic andtrade cooperation organization in South America, includingArgentina, Paraguay and Uruguay so as to expand the largemarket in South America. The three countries enjoy a totalarea of 12,000,000 square kilometers, and a consumer marketof 200 million people.The African market can also be expanded through economicand trade cooperation with countries of Angola, Cape Verde,Mozambique, and Guinea Bissau. According to statistics fromMacau’s Trade and Investment Promotion Bureau, Chinesebusinessmen have invested and started business in thesecountries with remarkable profits. For example, businessmenand entrepreneurs from Zhejiang Province are over 40 in Angolaas well as in Cape Verde. These Portuguese-speaking countriesall have one common economic unity as a pillar. For example,Mozambique and Angola belong to South Africa DevelopmentCommunity; Guinea Bissau and Cape Verde belong to WestAfrica Countries Economic Community. Through establishingjoint ventures with Portuguese-speaking countries, marketsnot only in member countries of these two communities butalso in Africa can be expanded.4.3 Strengthening capital and technological cooperationbetween China and Portuguese-speaking countries, developingand utilizing their natural resourcesChinese mainland and Macau enjoy advantages of capitaland technologies compared with Portuguese-speaking countriesother than Portugal, while those countries have rich naturalresources which can satisfy China’s growing natural resourcedemand. Therefore, China and Portuguese-speaking countriescan cooperate in areas of resource development. First,Portuguese-speaking countries have rich forest resources. Brazilhas abundant minerals, Angola oil and diamonds, East Timoroil and coffee, Mozambique and Angola fertile arable lands,all of which are good investment areas. Second, these richresources also provide effective channel for China’s technologicalexport. China’s agriculture is well developed, and experiencein agriculture, fishery development and aquaculture is relativelyrich. Portuguese-speaking countries other than Portugal areall in great demand of these. Chinese enterprises developagriculture comprehensively in these Portuguese-speakingcountries using mature technologies, which can not only meetthe developing demand of these countries, gain profits, butalso take China’s agriculture to the outside world and occupythe agricultural products processing market in these countries.In addition, through development in forestry, mineral resourcesin these Portuguese-speaking countries, China’s degradingresource supply pressure is also given a way out.Agriculture occupies a large part in Portuguese-speakingcountries, with about 80% of their gross national productioncomes from agriculture. According to the introduction by China-
101482008. 10Portuguese-speaking Countries Forum, since the inception ofthe forum, a lot of Portuguese-speaking countries hope tocooperate with Chinese mainland enterprises in plantation, freshwater aquaculture, agricultural facilities, agricultural machineproduction, agricultural products processing, technologicalexchange and transfer in agriculture and fishery, etc. Chinais not a large agricultural country, but it enjoys advantagesin agricultural machinery, agricultural products processing,especially in fresh water aquaculture, so there are good prospectsin terms of cooperation with Portuguese-speaking countries. Inaddition, Portuguese-speaking countries are all in tropic areaswith rich oil reserve. According to data from China’s ForeignMinistry, Angola has an oil reserve of 17.7 billion barrels,which is the second largest oil producer in Africa. Sao Tomehas a reserve of 500 million barrels, and East Timor alsohas rich oil and natural gas. Chinese government is encouragingenterprises, especially private enterprises with abilities to investin oil and other energy resource mining so as to releaseinternal pressure by energy shortages. Chinese privateenterprises have great potential in oil resource developmentin Portuguese-speaking countries. Besides, these countries alsopossess some mineral resources, thus also giving greatopportunities for cooperation in development.5. ConclusionThe Platform role of Macau fits the political and economicdevelopment need of Macau, Chinese mainland and Portuguese-speaking countries, carries very important political and economicmeaning especially for China, thus getting positive support andcoordination from different parties. Of course, the establishmentof the Economic and Trade Cooperation Platform between Chinaand Portuguese-speaking Countries is still in preliminary status.There is room for improvement. However, in this process,Macau needs to strengthen continuously the existing advan-tageous conditions, optimize further the construction of the softand hard environment, so that it can really serve the functionsof the Platform.Notes:1 Though the idea for three platforms was first brought up in the2004 Policy Address by the Chief Executive of the MacauSAR, Macau’s exploration for its status as the Economic andTrade Cooperation Platform between China and Portuguese-speaking countries has begun not long after Macau’s return tothe motherland.2 As for the three effects of the current economic operation ofMacau, the author analyzed in detai l in another art icle“Prominent Problems and Resolution Measures for the CurrentEconomic Operation of Macau”.3 “ADB: Macau ranks 3rd in per capita GDP in Asia-Pacific,” ThePeople’s Daily Online, 12th December, 2007, http://hm.people.com.cn/GB/42273/6644110.html.4 “Double Taxation, Investment Protection Accords to StrengthenMacau’s ‘Service Hub’ Role between China and Portuguese-Speaking World,” World Trade Centre News, June, 2006,http://www.wtc-macau.com/news/n30/n30-4page.htm.5 Campos, I. and Vines, A., Angola and China: A PragmaticPartnership, Presented at a CSIS Conference, “Prospects forImproving U.S.-China-Africa Cooperation,” 5th December, 2007.6 China first began to use officially the concept of the Third Worldin the 1970s. On 22nd February, 1974, when talking withZambian president Kaunda, Chairman Mao first put forward thestrategic idea of three worlds according to the majordevelopment and change of the national situation, gave a newexplanation of the Third World, and considered China asbelonging to the “Third World”.7 Yu, J. H., “Cooperation for a Win-Win Result-the New Trendsof the Diplomatic Relations between China and DevelopingCountries,” Social Outlook, No. 4 (2005), pp. 7–8.8 L iang, S. and Hong, Y. , Theor ies and Approaches toInternational Politics (Beijing: Peking University Press, 2000),pp. 196–197.
On the Role of the Chinese Government in the Institutional Evolution of China’s Financial System102481. IntroductionMcKinnon and Shaw argue that financial “repression”,especially in the form of government’s regulation on interestrates, hampers the banking sector, which is often the solepurveyors of financial intermediation in developing nations,stifling economic development by misallocating capitalresources. They suggest the developing countries to liberalizetheir financial system via withdrawing government intervention,so that efficient financial resources allocation and therefore highereconomic growth may be realized.1 Being a doctrine of financialeconomics, Mackinnon-Shaw Hypothesis is widely acceptedwithin the academic circle and often used by internationalagencies such as the IMF and the World Bank to persuade/force developing countries to liberate their interest rates, openup the banking sector to foreign ownership, privatize commercialbanks, and abandon any capital control etc.Under financial deregulation and liberalization, however,developing economies seem to have lurched from one crisisto another since the 1990s: Venezula’s banking sector collapsedin the mid 1990s; Mexico government paid 65 billion USdollars to save the countries’ financial system from collapsingduring the 1990s; Brazil borrowed 63 billion US dollars tore-construct its banking system from 1998–2002; Turkey’sbank run and Argentina’s debt crisis from 2000–2001, not tomention the devastating experiences of the Asian financial crisiswhich caused hundreds of billions financial loss and serioussocial unrest in affected countries. The financial crisis hasbeen associated with rapid financial liberalization withoutexception.2To evaluate the success of a financial system reform,two criteria are essential. Does the reform foster economicgrowth? Does the reform maintain the socio-economic stability?It seems that China’s experience of reforming its financial systemsince the launching of the “Reform and Open Door” policyin 1979 was in contrast to many other developing countries’liberalization on meeting these two requirements. First, it hassuccessfully mobilized financial resources to support economicdevelopment. The saving rate has increased at a rate muchhigher than Gross Domestic Product (GDP) growth. From aneconomy ridden with poverty to the 3rd largest economy andthe 2nd largest trade nation, with most of major industrial outputsranked the 1st in the world, China’s extraordinary economicgrowth argued strongly for its achievement in financialdevelopment, as shown in Figure 1.Figure 1 GDP Growth and Saving Growth of ChinaSource: National Bureau of Statistics of China, China Statistical Yearbook (Beijing:China Statistics Press, 1979-2007).On the Role of the Chinese Government in theInstitutional Evolution of China’s Financial SystemSheng Li
103482008. 10Second, sufficient financial injection coming from China’sfinancial system during the whole transformation process hassecured the stability of state-owned enterprises (SOE), thelargest employer so far, a fact helped to win support fromthe majority of the society. In addition, China’s financial systemreform dealt with inflation problems quite well, contributing alsoto social stability as Chinese people are highly sensitive towardsinflation due to some past experiences. In the duration ofover 30 years, the price level remained by and large stabiledespite of various internal and external shocks. The onlyexceptional periods were the end of 1980s and the middleof 1990s, in which the inflation rate for a short period roseover 10%. Yet for most of the years since 1979, the inflationrates were rather moderate.Figure 2 Inflation Rate in ChinaSource: National Bureau of Statistics of China, China Statistical Yearbook (Beijing:China Statistics Press, 1979-2007).China’s financial development since economic reform hasbeen characterised by the strong role of the Chinese governmentso far. The pro-active role of the government is discussedin this paper in three aspects: government initiated institutionalchanges, from supply-leading to demand-following governmentalinstitutional provision, and gradual institutional evolution steeredby government. China’s experience of financial system reformapparently contradicted the mainstream liberal doctrine of financialeconomics. Therefore, systematically studying the evolutionprocess of China’s financial institutions since 1979 is meaningfulin contributing to the studies in related fields.This paper attempts to offer some explanations behindthe success of China’s financial reform, which may help otherlate-comer countries to formulate more comprehensive financialdevelopment strategies. The reason for adopting an evolutionaryanalytical framework is to trace the origin and process ofthe institutional evolution of China’s financial system, focusingon the dynamic process. Also the emphasis on innovationsof this approach makes it appropriate to analyze a systemstill under reform. In general, any financial systems can surviveor even prosper, if they can make appropriate changes atappropriate time in response to a specific environment.2. Evolutionary Theorizing on Financial Insti-tutionsNorth defines institutions as rules of game in a society,which are humanly devised and constrain human interaction.3Mantzavinos distinguishes between formal and informal institutionsby different enforcement agencies. While the enforcement ofthe former must be secured by the state, the latter includingconventions, moral rules and social norms, are self-policing.4Nelson and Winter define institutions as routines encompassingboth ways of organizing activities within organizations and waysof transacting across organizations. Therefore, institutions canbe seen as social equivalent of genes in biology which areheritable as part of organizational memory, and selectable throughdifferent fates of economic subjects that apply them. Similarly,institutional changes, resisting strong inertia, can be seen asthe social equivalent of mutations in biology.5Under the above mentioned theoretical framework, financialinstitutions are defined in this paper as rules of game whichare followed or obeyed by economic subjects in financial sector.They can be further divided into two categories: formal financialinstitutions refer to legal framework of a financial system, suchas laws and regulations governing financial intermediaries,financial markets, and financial supervision; informal financialinstitutions refer to trading, managing, accounting, auditingpractices and business ethics etc. in financial sector.Institutions, as long as they are inherited from the previousevolution process, constitute the prevailing market environment.As the evolutionary theory predicts, organisms evolve intoa higher species when they encounter challenges in their familiarenvironment and therefore are forced to mutate in their genesto overcome the difficulties. So the key of successful evolutionhinges on successful mutation, e.g. appropriate changes occur
On the Role of the Chinese Government in the Institutional Evolution of China’s Financial System10448at an appropriate historical point of time.Thus being said, mutations are crucial to the discussion.In terms of economic development, mutations can be identifiedas innovations, just as Nelson and Winter share with Schumpeterthat, innovation is the driving force of economic evolution.6While most firms are satisfied with how they are working,some firms are always engaged in search for new and moreefficient routines. They can do the search either throughdeveloping new routines by their own or adapting an alreadyexisting advanced routine. The market rewards firms innovatingnew and appropriate routines with success/survival, andpunishes the rigidly self maintaining ones with bankruptcy/beingeliminated. For discussion purpose, we extend evolutionarytheorizing to a broader scope including all economic subjects,such as government, as the Chinese government has beena very active and important player in the whole financial systemevolution.As far as this paper is concerned, innovations refer toinstitutional innovations. They can be further divided into twoaspects: informal and formal institutional innovations. The formerare conducted by various participants in financial sector, suchas financial enterprises, investors and savers, while the lattercan only be conducted by the state. In a globalized world,institutional innovations as the driving force of financialdevelopment are increasingly significant due to the intensifiedcompetition. Both governments and other economic subjectsin financial sector are competing with their counterparts forsurvival and prosperity.In China’s experience, it can be observed that formaland informal Institutional innovations are closely connected andinteracting with each other. At the beginning of financialdevelopment, formal and informal institutional arrangements weresuitable to each other at a low equilibrium. New informalinstitutions arose firstly through interaction of economic subjectsin financial sector, and these institutions were diffused, accepted,and practiced. These informal institutional changes destroyedthe old equilibrium, and appropriate formal institutions must followup, in that the government adopted related laws and regulationswhich were more suitable to the new informal institutions. Sothe whole financial system moves to the new equilibrium whichis at a higher level. New formal institutions pushed and madespace for further informal institutional innovations, followed byanother wave of formal institutional changes. The financialdevelopment was such a dynamic process, in which formaland informal financial institutions reinforced each other, andthe financial system was constantly pushed out of previousequilibrium, and then moved forward to the next higher equilibriumin this disequilibrium process.3. Government’s Initial Pushing PowerIt can be seen clearly upon reviewing China’s financialdevelopment since the economic reform, that the Chinesegovernment initiated institutional changes, and it maintains itscontrol of direction, speed, breath and depth of the wholeinstitutional evolution process, even though the control is graduallybeing loosened over the time.After ten years of “Cultural Revolution” (1966–1976),China’s economy was nearly in meltdown. The vast povertyand people’s disillusionment of communist ideals deeply shookthe legitimacy of the Chinese Communist Party. This crisisdrove the Chinese government to initiate economic reform forits political survival, and the financial reform being one ofthe most important parts of it. At that time, China had ahighly centralized mono-banking system, in which the People’sBank of China not only played the role as the central bank,but also functioned as a dominant commercial bank. This wasthe institutional arrangement inherited from the central-planningeconomic system which was highly inefficient in financialresources allocation due to the absence of competition.7Under the pressure of economic and political crisis, theChinese government decided to actively set up necessaryfinancial infrastructure at a rapid pace instead of passivelywaiting for the arising of a spontaneous new order. This means,the Chinese government must introduce changes (mutations)to the inefficient financial system to transform it to foster economicgrowth as soon as possible. In 1983, the “Decision of StateCouncil on the Specialization of the People’s Bank of Chinaon Central Bank Function” as a formal institutional changewas enacted, which ended the mono-banking system officially.According to this regulation, the Industrial and Commercial Bankof China took all commercial activities of the People’s Bankof China in urban areas in the following year. Before that,
105482008. 10the Bank of China which was specialized in financial transactionwith foreign countries, the Agricultural Bank of China whichtook commercial activities of the People’s Bank of China inrural areas, and the People’s Construction Bank which wasspecialized in infrastructure lending were built or rebuilt. Thesefour state-owned banks with their hundreds of thousands ofbranches all over China built the core of China’s financialsystem, called the “Big Four”.8Although backwardness characterized China’s financialsystem at the beginning of its reform, and was the marketenvironment at that time, backwardness in general also hasvarious advantages in the globalized economic environment,potentially enabling backward countries to catch up with advancedcountries at a faster pace. To elaborate a bit, backward countriescan adopt advanced practices by learning, imitation andtransplanting without time and effort that advanced countriesspent in developing them.9Backwardness can be treated as inherited old institutionswhich, if unchanged, lead to a fate of collapse of the economy,equivalent to the natural elimination in natural selection. Asa result, to compete for survival and vie for developmentand prosperity, innovations as social equivalent of mutationin biology must be conducted despite of the usual strong inertia,so that a nation may survive in the global competition withmore efficient institutions. Also, more backward the institutionsare the higher is its marginal return of innovations.Due to the influence of the soviet model and China’slong time isolation from the outside world, China did not haveany modern financial institutions in the initial stage of the economicreform, and the Chinese government was rather ignorant aboutgovernmental management of the financial sector in a marketeconomy setting. Developed countries established mature andsophisticate financial institutions in the process of hundredsyears of market economy development. Therefore, the Chinesegovernment had not only the motivation but also possibilityto adopt more efficient financial institutions through studying,comparing and experimenting advanced practices. In fact,establishing bank dominant financial system was exactly aninstitutional innovation initiated by the Chinese government bylearning experiences of former later-comer countries such asGermany and Japan.Another reason for the Chinese government to activelypromote institutional innovations for its financial developmentlay in the high sunk cost of financial infrastructure. Establishingfinancial intermediaries and building up financial markets usuallyrequire huge amount of monetary and human input which privateentities were unable to provide, especially at the beginningof economic reform when both the market and private entitieswere weak. After the Chinese government set up the necessaryfinancial infrastructures, financial services spread widely andrapidly which lowered the average cost of using financialinstruments due to the economy of scale, which in turn attractedmore and more participants in financial business.4. From Supply-leading to Demand-followingThe institutional evolution of China’s financial system wasdriven by formal institutional innovations conducted bygovernment and informal institutional innovations as result ofinteraction between financial enterprises, industrial enterprisesand individuals. Although the Chinese government initiated theinstitutional evolution, the subsequent institutional changes aremainly driven by other economic subjects in financial sector.While the Chinese government withdrew step by step froman active role, fast growing private entities played a moreand more important role in conducting institutional innovations.The trend that the Chinese government passively “formalizes”established informal financial institutions was more and moreobvious.Traditionally, two relationships between financial develop-ment and economic growth were assumed: a “demand-following”approach, in which financial development arises as the economydevelops, and a “supply-leading” phenomenon, in which thewidespread expansion of financial enterprises leads to economicgrowth.10 Based on the classification we can identify demand-following model in financial institution evolution as the emergenceof financial institutions in response to the demand of economicsubjects in financial sector. The nature of demand for financialinstitutions depends on economic growth. In this case, themore rapid the growth of income, the greater are the demandsby firms for external funding, and therefore, for new financialinstitutions. According to the same logic, the supply-leadingmodel emphasizes the emergence of financial institutions before
On the Role of the Chinese Government in the Institutional Evolution of China’s Financial System10648the rise of the corresponding demand for them. Financialinstitutions would help to mobilize savings to rapidly growingbranches. With economic development, demand for the expansionand perfection of financial institutions follow which lead to thesupply of new financial institutions.Now one can use these two models to explain differentsteps of institutional evolution of China’s financial system. Atthe beginning of economic reform, the Chinese governmentbuilt up various financial institutions either directly or indirectlythrough state owned commercial banks, in order to activelyfoster economic development, given the backwardness offinancial infrastructure and enormous financial need at that time.With financial development resulting from utilizing advantageof backwardness, new informal financial institutions arose rapidlyin response to the ever changing market environment andthrough interaction of economic subjects in financial sector,and this in turn made it necessary for the government toupdate formal financial institutions, so that new institutionalequilibrium at a higher level could be realized. It thus constructeda dynamic institutional evolution process, in which demand-following approach gradually replaced supply-leading institutionalprovision.At the beginning of economic reform, the leading informalfinancial institution of the “Big Four” was to provide SOEwith sufficient capital, an arrangement made it very difficultfor non-state sector to access lending. Despite of discriminatorylending practice, non-state firms performed much better thantheir state owned counterparts, and the market share of state-owned enterprises declined steadily as shown in Figure 3.As economic performance became the major criterion forthe promotion of cadres since the economic reform, thepolitical influence of non-state firms grew, so was their lobbyingfor non-discriminatory financing. In the late 1980s, the “BigFour” dominant financial system was under great pressure tobe reformed, as the informal financial institutions concerninglending simply ignored non-state sector as the major driving forcebehind China’s economic development, therefore inadequate.11The changing market environment defined new marketselection criteria that the financial system must take moreconsideration of the growing non-state sector, which inducedinstitutional innovations. From the end of 1980s to the beginningof 1990s, the Chinese government established variousshareholding banks like the Bank of Communications, the ChinaMerchant Bank, and the China Everbright Bank. Even thoughtheir dominant shares were still in the hand of governmentor SOE, that the rest of the shares were held privately oreven by foreign entities indicated that they had different informalinstitutions than the “Big Four”. As a result, they allocatedlending more according to commercial criteria and also gavemore consideration to the non-state sector. In 1994, the Chinesegovernment established three policy banks, namely, the StateDevelopment Bank, the Agricultural Development Bank andthe Import and Export Bank. It was planned that these policybanks took the responsibility of policy lending which wereparticularly aimed at loss-making SOE, so that the “Big Four”may change their informal institutions to focus more oncommercial lending. Also in 1994, the China Minsheng Bankas the first private bank was established, and it explicitlyaimed to cater for the needs of private small and mediumsized enterprises. From the beginning of 1990s onwards, foreignbanks which had been constrained for a long time inrepresentative function were allowed to conduct foreign exchangebusiness in a dozen of costal cities. In 1995, the “CommercialBank Law” was enacted, defining the functions of commercialbanks in China according to international practices, and officiallytransformed the emerging informal financial institutions duringthis period into formal ones.12Since China’s WTO accession in 2001, the “Big Four”started to lose their market shares in China’s financial system.The Chinese government was aware of the increasinginadequacy of the “Big Four” in the institutional evolution inFigure 3 Share of SOE of Industrial Output in ChinaSource: National Bureau of Statistics of China, China Statistical Yearbook (Beijing:China Statistics Press, 1998-2007).
107482008. 10the changing market environment, and only with the introductionof modern corporate governance, they could possibly survivein the intensified competition. As a consequence, the Chinesegovernment has been actively pushing three of the “Big Four”in going public domestically and abroad. We can expect thatthe informal institutions of “Big Four” as listed firms will beunder significant changes, so that financial business routineswhich are practiced internationally will gradually become dominantinformal institutions in China’s financial sector, and more maturefinancial laws and regulations as formal institutions will alsofollow in the near future.5. GradualismOnce started the reform, the next step is to decide howfar and how fast it can go. The fact was that the institutionalevolution of China’s financial system proceeded in a gradualway, from adjusting, to reforming to abandoning old institutions,from special economic zone on experimental basis, to coastalareas, to the whole country, reflects the gradualness in thediffusion process of institutional innovations. It should be notedthat the evolution process was accelerated after China’s WTOaccession in 2001.China’s gradualism may be explained as an evolutionarilyright response of the Chinese government to the strong inertiaof old institutions which made innovations difficult to be initiatedand diffused. Abramovitz uses the term “social capability” todescribe a country’s ability to overcome “tenacious societalcharacteristics” which determine a country’s past failure. Accordingto him, the “social capability” especially refers to the kindof competence determined by the quality of a country’s educationsystem and its openness to innovation and competition.13In light of this theory, it can be argued that the actualpace at which potential for catch-up is realized depends ona country’s adaptability, comparable to organism’s adaptabilityto the changing environment in natural selection. The formationof adaptability is a historical process of knowledge accumulation,during which social, cultural, economic and political charac-teristics of a nation in different historic periods are passeddown to posterity. Therefore, adaptability is significantly differentfrom country to country, and is impossible to be changedwithin a short period of time. This may be the reason behindthe fact that the Chinese government adopted for a gradualway over a “shock therapy”, as China was unable to adoptthe most advanced financial institutions in local situation dueto limited adaptability in the initial stage of economic reform.It can be argued that China’s financial reform led by thegovernment must proceed gradually become of its constrainedhuman resources, willingness to adapt and legal infrastructure.As adaptive activities are ultimately conducted by people,the stock of human resources plays the key role in determiningthe effect of adaptive activities. The institutional innovationsand their practical implementation need qualified financialprofessionals. Insufficient human resources may lead to twoadverse effects: institutional innovations supply falls far behinddemand, resulting in lagged financial development; institutionalinnovations are incompatible with the given local conditionsand can not be implemented, thus wasting time and money.At the beginning of economic reform, there were fewcompetent financial experts, due to China’s previous isolationfrom professional exchanges with the rest of the world. Lackingin human resources, institutional evolution of China must proceedin a gradual way by adaptive learning, while trying to buildup knowledge stock at a rapid pace, especially on the tertiarylevel. The effort to build up human resources stock couldbe reflected in the steeply increasing number of students inuniversities as shown in Figure 4. While in 1970s, financewas just one course under economics department, more andmore faculties of finance were established after financial reformand curriculum and textbooks used in Western universities werewidely adopted. In addition, hundreds of thousands Chinesestudy abroad, and finance is one of the most pursued majorsamong these overseas students. The modern financial theorieswere so built in the knowledge stock of China’s financialprofessionals, which in turn influenced their behaviours andbusiness routines in financial sector. At the same time financialenterprises started and intensified their exchanges with theirforeign counterparts in form of training programs, personnelexchanges and joint workshops. As a result, finance relatedknowledge stock expanded and its structure optimized, increasingChina’s adaptability in this respect at an accelerated pace.
On the Role of the Chinese Government in the Institutional Evolution of China’s Financial System10848Figure 4 Number of University StudentsSource: National Bureau of Statistics of China, China Statistical Yearbook (Beijing:China Statistics Press, 1998-2007).Willingness to adapt can be considered as a socialequivalent of an organism’s instinct of survival, and it cancompensate lack of initial stock of human resources. It isactually about incentive, to be precise, the motivation of economicsubjects to adapt and how to strengthen it. The intensifiedcompetition strengthens the survival instinct of economic subjectsin financial sector, and compels them to innovate and improvefinancial institutions. China’s financial evolution was a processof gradually introducing increasing numbers of players into thegame, from credit cooperatives, shareholding banks, to foreignand domestic private financial enterprises. With the increasingcompetitive pressure, economic subjects’ willingness to adaptis strengthened.The “Open Door Policy” played a central role in theintensifying competition by introducing foreign competitors intothe Chinese market. Different economies have different degreesof openness, and the more open financial systems tend tobe, the stronger the urge to innovate, because of both internaland external drives. However, in the early stage, the orthodoxcommunists in China opposed almost every step to widenthe opening up of its economy. Thus, the Chinese governmentbuilt up, as the first step, only four special economic zones,which is opened to the world on an experimental base. Dueto the global competition, economic subjects in the financialsector in the special economic zones put significant effortsto learn advanced financial business routines for their survival,and various informal financial institutions arrived on the sceneimproving efficiency of financial enterprises in these regions.The success motivated the Chinese government to further enlargethe scope of the reform to costal cities and later to otherregions as well. With increasing openness, the competitionpressure on China’s financial system grew, and so was thewillingness to adapt as well. Institutional financial innovationspracticed by special economic zones were rapidly diffusedand became leading financial institutions in China’s financialsystem.To illustrate, we take the gradual adoption of modern loanclassification systems for instance. Before the mid 1990s, interms of the procedures of the “Big Four” in classifying loans,there were ceilings on the portion of loans that could be classified,because they treated lending to SOE as their duties irrespectiveof the possible and probable financial losses. From the late1980s to the mid 1990s various shareholding banks and privatebanks emerged and operated firstly in special economic zonesand coastal cities, and they faced direct competition of foreignfinancial enterprises in the zones without strong governmentalbacking and therefore are more market oriented in their lendingpractice. So they adopted the three-tier loan classification systembased on payment status which could better reflect the actualqualities of loan portfolio, as the “Commercial Bank Law” enactedin 1995 formalized this informal institution, and soon afterthat the “Big Four” adopted it as well in the process of theircommercialization. With intensified competition after China’s WTOaccession, once again shareholding banks and private banksadopted five tier loan classification system based on riskassessment which is prevailing in developed countries andcapable of efficiently assisting loan portfolio management. Facinggoing public both domestically and abroad, “Big Four” alsoadopted this system recently. It can be expected, that thisinformal financial institution will be formalized soon in formof law and regulations.14In addition, economic subjects’ adaptability in China wasconstrained by the legal framework just as formal institutions,as it lacked well defined property right till recently. However,financial development needs complete law and law enforcementconcerning property right.15 While awaring that modern financialsystem could not be built without this most important formalinstitution in a market economy, the Chinese government alsoknew very well the enormous risk in redefining property rightin the early stage, given the strong resistance within the ChineseCommunist party. Therefore, the Chinese government had to
109482008. 10take a gradual approach in the process of institutional evolution,with its inevitable dependence on state-owned financialenterprises at that time, so that financial institutions and judicialprovision were compatible.With their growing influences due to increasing contributionto the national economy and state revenue, the non-state financialsector put increasing pressure on the Chinese government torecognize their positions and guarantee their wealth. As a result,a series of formal institutions were enacted. The revision ofChinese Constitution in 1993 officially declared the nation wasto build up “Socialist Market Economy”. The revision of ChineseConstitution in 1999 officially defined private sector as anessential component of China’s “Socialist Market Economy”.The revision of Chinese Constitution in 2004 officially declaredthat private property is not allowed to be violated.16 Theseformal institutions motivated and made space for economicsubjects in financial sector to actively conduct institutionalinnovations by learning, imitation and transplanting of advancedfinancial business routines.6. ConclusionThe apparent counter-argument offered by China’sexperience with regard to financial reform against liberal financialtheories about government’s role is significant both becauseof China’s sheer economic size and the duration of itsachievement. Being similar to other developing countries intheir initial backward situation, yet positioned in a highlyglobalized environment, one could conjecture that China’s practiceof government initial leading can be applied to other developingcountries in a specific historic period, the “catch up” stageof financial development. To be precise, in the initial stageof financial development, government’s initial pushing poweris needed to build up necessary infrastructure and this canbe treated as natural response to the backward marketenvironment. Government should steer the institutional evolutionin a gradual way during the early stage of financial development,to be in control of the whole situation. With the steadily maturingof market and increasing adaptability of economic subjects,governments then can and should withdraw from the activerole, and only responsively adopting and revising formal financialinstitutions to suit informal but prevailing and more advancedbusiness practices, in response to the ever changing marketconditions, bearing in mind of the ultimate goal to let the marketdecide the institutional evolution.China evolved its own culture over it’s over 5000 years’history, without ever transplanting foreign culture to a largeextent, and never been formally colonized like some otherdeveloping countries. This indicates that while following thegeneral economic rule, China must have some specialcharacteristics in terms of financial institution evolution. In addition,though China’s economic growth is so far successful, the futureis never certain. Therefore, further studies concerning impactsof China’s specialties on general financial institution evolutionand long-term observation of China’s economic developmentshould be conducted to ascertain the theoretic validity.Notes:1 McKinnon, R., Money and Capital in Economic Development(Washington D.C.: Brookings Institution Press, 1973); Shaw,E., Financial Deepening in Economic Development (Oxford:Oxford University Press, 1973).2 Krugman, P. and Obstfeld, M., International Economics:Theory and Policy (Beij ing: Pearson Education Asia andTsinghua University Press, 2004); Arestis, P., Nissanke, M.and Stein, H., “Finance and Development: Institutional andPolicy Alternatives to Financial Liberalization Theory,” EasternEconomic Journal, Vol. 31, Issue 2 (2005), pp. 245–263.3 North, D., Institutions, Institutional Change and EconomicPerformance (Cambridge: Cambridge University Press, 1990).4 Mantzavinos, C., Individuals, Inst i tut ions, and Markets(Cambridge: Cambridge University Press, 2001).5 Nelson, R. and Winter, S., An Evolut ionary Theory ofEconomic Change (London: Belknap Press of HarvardUniversity Press, 1982); Nelson, R., “Bringing Institutions intoEvolut ionary Growth Theory,” Journal of Evolut ionaryEconomics, Vol. 12 (2002), pp. 17–28; Nelson, R. and WinterS., “Evolut ionary Theorizing in Economics,” Journal ofEconomic Perspectives, Vol. 16, Issue 2 (2002), pp. 23–46.6 Nelson, R. and Winter, S., An Evolut ionary Theory ofEconomic Change (London: Belknap Press of HarvardUniversity Press, 1982).7 Sheng, L., Der Einsatz von Asset Management Corporationszur Lösung des Problems der Notleidenden Kredite imChinesischen Bankensystem (Berlin/Freiburg: Rombach Verlag,2006).8 Ibid.9 Gerschenkron, A., Economic Backwardness in HistoricalPerspective (Cambridge/Massachusetts: Harvard UniversityPress, 1962).1 0 Patrick, J., “Development and Economic Growth in DevelopingCountries,” Economic Development and Cultural Change,Vol. 14, Issue 2 (1966), pp. 174–189.
On the Role of the Chinese Government in the Institutional Evolution of China’s Financial System110481 1 Sheng, L., Der Einsatz von Asset Management Corporationszur Lösung des Problems der Notleidenden Kredite imChinesischen Bankensystem (Berlin/Freiburg: Rombach Verlag,2006).1 2 Ibid.1 3 Abramovitz, M., “Catching Up, Forging Ahead, and FallingBehind,” Journal of Economic History, Vol. 46, Issue 2 (1986),pp. 385–406.1 4 Sheng, L., Der Einsatz von Asset Management Corporationszur Lösung des Problems der Notleidenden Kredite imChinesischen Bankensystem (Berlin/Freiburg: Rombach Verlag,2006).1 5 La Porta, R., Lopez-de-Silanes, F., Shleifer, A. and Vishny,R., “Law and Finance,” Journal of Political Economy, Vol. 106(1998), pp. 1113–1155.1 6 National People Congress, Revisions of Chinese Constitution(Beijing: Beijing Publishing House of Democracy and Rule ofLaw, 1993, 1999, 2004).Reference:1. Krugman, P. and Obstfeld, M., International Economics:Theory and Policy (Beijing: Pearson Education Asiaand Tsinghua University Press, 2004).
Development of Public Schooling after Political Transition of Macau116481. IntroductionMacau is located on the southeast coast of China tothe west of the Pearl River Delta. The Portuguese settledin Macau in 1557 but its sovereignty has not been clearlydefined throughout the centuries.1 Eventually the formula of“Chinese territory under Portuguese administration” was appliedin 1976. In 1987, the Sino-Portuguese Joint Declaration wassigned and it was determined that Macau’s sovereignty wouldbe returned to People’s Republic of China on 20th December1999. After this date, Macau would become a specialadministrative region and would enjoy high-level autonomy for50 years.Macau is small. The land area is 29.2 square kilometres.94% of the population is of Chinese nationality, 2% Portuguese,2% Filipino, and 2% of other nationalities. Chinese andPortuguese are the two official languages. More than 95%of the population speaks Chinese while Portuguese is onlyspoken by 0.6%. Due to the deregulation of the gaming industryafter the political transition, the economy of Macau has risendramatically during the past years. In 2007, Macau’s GDPhit 153.6 billion patacas (19.2 billion US dollars) and per capitaGDP is 36,357 US dollars.2Education in Macau has a long history and schools haveexisted since the 16th century.3 The current schooling situationdeserves much attention because only a small amount of studentsare enrolled in public schools. In the year 2006/2007, 4.9%,4.3% and 6.5% are enrolled at the kindergarten, primary andsecondary levels respectively. In Cummings and Riddell’ssample of 127 countries, 72% of the countries had 80% ormore state-provided primary education places and in 70% ofthe countries, the public share of secondary education wasgreater than the private share.4 Macau is a big contrast tothis general situation.During the colonial period, the Portuguese government setup public schools to cater for their children. The local Chinesechildren mostly attended private schools which taught Chineseand/or English. The government did little to contribute to thedevelopment of private schooling and most resources wentto public schools even though their proportion in the marketwas exceptionally tiny.After the political transition, public schooling has remainedrelatively insignificant in terms of the number of students enrolled.This paper argues that the potential of public schooling in thenew political context has not yet been fully realized. Thegovernment of Macau needs to address the challenges thatpublic schools are now facing and re-invent their new directions.The purpose of public schooling is no longer to serve childrenof the colonizer. It should play a more critical role in theestablishment of high-quality education as well as its fairdistribution.2. The Role of Public SchoolingThe question whether education should be provided bythe government or by the private sector cannot be easilyanswered because education does not exist in a vacuum.In the real world, education relates strongly to politics, economicDevelopment of Public Schooling after PoliticalTransition of MacauLau Cheng Man Diana, Yuen Pong Kau
117482008. 10development, and culture. It is not an entity which can beobserved individually. Any educational outcome derives froma combination of complex factors which are interdependent ina non-linear fashion.Public and private education co-exist because they playdifferent roles that are equally important. The emphasis, therefore,should be on establishing an appropriate partnership betweenthe two sectors, which serve the students at their best.Colclough notes that there are seven reasons which supportthe public provision of education. Some of the benefits ofeducation accrue not only to its direct recipients, but alsoto society at large. Education is often treated as goodswith special merit, but which might be undersupplied if leftto the market. Investment in education has a long gestationperiod. Scale economies may lead to monopoly. Theprivate purchase of schooling is beyond the means of mostpoor families. The relevant decision-making unit for mattersto do with school attendance is the parents, and not the child.In some countries, there are cultural biases against theenrollment of minority groups.5The key purpose of public schooling is to provide freeand equal educational opportunities to all students regardlessof their backgrounds. Resnick argues that public education inAmerica means a free education for all students; the promiseof equal educational opportunities no matter race, religion orability; a commitment to high standards and high expectationsfor all students; a system of governance that ensures publicaccountability; and a benefit to society by teaching democraticprinciples and common values.6However, Hess believes that no school can serve allthe children who might wish to attend. He notes: “allowingschools to selectively admit students is consistent with thepublic interest – as long as the process furthers a legitimateeducational purpose and the student has access to an appropriatealternative setting.” 7Nathan suggests that public schools should fulfill thefollowing five requirements: be open to all kinds of studentsand not use admission tests; follow due process procedureswith regard to students and educators; use state-approved,standardized, and other measures to help monitor student progressor lack thereof; have closing the achievement gap betweenwhite students and racial minority and low-income studentsas an explicit, measurable goal; and be actively chosenby faculty, families, and students 8By educating its citizens, a society can be better off.Cline suggests that public schooling is important for thedevelopment of society. It is to achieve democratic goals,which include preparing people to become responsible citizens,improving social conditions and cultural unity, helping peoplebecome economically self-sufficient, and enhancing individualhappiness by enriching lives.9We believe that public schools help cultivate andconsolidate educational vision of the government. The publicsector should provide educational opportunities for all studentsand the standards of public schools should be monitored bystandardized and transparent standards. Parents should havea good understanding of the mechanisms of the system andhave the freedom to choose. Education is the means to createhigh-quality human resources for the society. It equips everycitizen with the abilities to face future challenges.In the following sections, the impacts of colonization anddecolonization on schooling will be discussed.3. Impacts of Colonization on SchoolingLiterature shows that different colonial powers exerteddifferent forms of educational policies and the outcomes of thesepolicies varied. Even if similar policies were carried out, thesocial diversities of the colonized regions would generate unlikeresults. Kelly argues that the colonizers and the colonizedpeople interact to produce infinite types of outcomes.10 Morespecifically, Adamson and Li suggest that the existence ofpre-colonial schooling made the situation more complicated.11A vivid example that illustrates these arguments is thecomparison of the school practices in French West Africa andIndochina from 1918 to 1938.12 In West Africa, schooling wasonly provided to the local elite. The system was relativelyrelaxed and no central examination was given to the students.All teaching was conducted in French. Although the schooltexts did compare between white people and black people,discussion of cultural contexts was avoided. On the contrary,schooling was provided in the form of mass education inIndochina. During the first three years of education, the indigenous
Development of Public Schooling after Political Transition of Macau11848mother tongue was used instead of the French language. Inaddition, the texts criticized the Chinese mentality of the localculture and blamed it as a cause for the sufferings of thelocal people.The differences in colonial treatments were often politicalrather than educational. In Indochina, education had a longhistory and Chinese influence was strong. In order to eliminatethe effect of this tradition, the French had to develop a completelynew educational system for the people. Therefore, the primemotive to establish a systematic mass colonial schooling wasto consolidate French control over oppositional culture.Kelly’s study shows that the original social environmenthas a great influence on the policies exerted by the colonizers.It further reveals that schooling is a tool which helps createand mould the colonized people for the colonial powers.In the Philippines, colonial schooling was provided tosatisfy the needs of the colonizers rather than the colonized.13During the early stage of the American colonization, there alreadyexisted an extensive legal bureaucratic system. On the onehand, the Americans did not trust the local people. On theother hand, they needed to fulfill the ambition of the localruling class. Therefore, the Americans executed dual policiesin terms of politics and education. Mass education was developedto produce a large Filipino working class. At the same time,elite private education was also encouraged for the upper classpeople.In Malaysia, Watson argues that colonial educational policieswere largely developed by individuals on the spot. 14 TheBritish colonizers chiefly supported the original Malay rulersand the local customs and religion were maintained. Thisapproach was similar to that practiced by the French in WestAfrica.In Hong Kong, the British used a different tactic. Sweetingmentions that for most of the time, the colonial governmentadopted laissez-faire policies towards keep politics at bay.15Colonial schooling in Hong Kong was tightly linked to itseconomic developments and was reflected in different stagesof expansion. During the post-war period, public expenditurewas used on primary education and a seven-year expansionprogramme was introduced in 1954. In 1978 nine-year universaland free education was achieved. Although education has welldeveloped in terms of size, the discussion of politics remaineda taboo. Sweeting suggests the most significant developmentwhich affected schooing “comprised attempts to apoliticize thecurriculum”.16The above cases show that colonial schooling is mainlya tool used by the colonizers to train the colonized peopleinto roles that fit the strategy of the authority. The form ofcolonial schooling that was set up chiefly depended on whatthe colonizers wanted to achieve and how they perceivedthe original values of the indigenous societies. If the localcommunities already possessed systems that might intimidatethe colonizers, they might choose to eradicate the system.Colonizers might also take a less hostile approach. For example,the British did not pay full attention to the development ofschooling until there was such demand from the economicdimension.Education is a double-edged sword of the colonizers. Onthe one hand, it develops local people into civil servantswho help in the development of the colonies. On the otherhand, it produces local leaders who often stand out to fightfor more political freedom and equality for the colonized. Becauseof this, colonizers are often cautious in establishing colonialschooling system.4. Impacts of Decolonization on SchoolingDuring the process of decolonization, changes in theschooling sector are affected by four main factors. They arethe amount of time available for preparation; the attitudeof the colonizers towards the decolonization process; theavailability of human resource; and the form of the endproduct.17If the process was violent and sudden, the colonial powerswere indifferent towards the development of schooling. On theother hand, in some regions where the transition periods werelonger, the colonizers and the colonized people could worktogether to produce some positive improvements.Adamson and Li identify some major trends in schoolingduring decolonization. School subjects that are related to thedevelopment of national identity will be re-oriented to fit thenew sovereignty. Language of the colonizer will be downplayedwhile the indigenous language will be promoted. In some regions,
119482008. 10the imported curriculum will be retained in order to continuetechnological progress and international trade.18In Korea, for instance, schooling during decolonizationserved two main purposes. First, it was the means toreestablish the national identity. Second, it was to boost economicdevelopment.Similarly, the reconstruction of the national identity andthe improvements of the economic situation were key issuesfor Malaysia after its independence from the British.19 Thegovernment provided more educational and working opportunitiesfor its indigenous group, the Bumiputeras, and affirmative policieswere created. The aim was to minimize the gap betweendifferent ethnic groups. The new government also changed theofficial language from English into Bahasa Malaysia. This actionnot only symbolized the new sovereignty but also reconsolidatedits national identity.The Singaporean government took a different approachduring its decolonization. Instead of giving more resources toa particular ethnic group, attention was paid to create racialcohesion. Gopinathan argues that the success of Singaporewas due to its strong state intervention policies on four aspects:control of state bureaucrats over education; high proportionof economy directly controlled or owned by the state;existence of a basic educational infrastructure; andcurriculum standardization.20 Unlike Malaysia, the Singaporeangovernment maintains English as its official language. This isa wise policy to unite all races and to maintain the country’scompetitiveness in the international arena. The use of Englishas a common language also reinforces the new national identity.Hong Kong experienced a long transitional period beforepolitical transition compared to its neighbors. After the changeof sovereignty, people complained that the standard of educationhas been falling. The curriculum has been criticized as beingtoo examination-oriented and the language abilities of studentswere believed to be declining. The government has beenintroducing various policies to improve the situation but stillmany people show less confidence in the education system.Many affluent parents are sending their children to internationalschools which are not obliged to follow the prevailing HongKong system.The above cases show that schooling policies revealseveral features. First, schooling helps to construct the newnational identity for the people. This is significantly manifestedin the language policy of the government. In many places,the language of the colonizers will be aborted and a newofficial language will be selected. Second, schooling improvesthe literacy skills of people, thus leading to better economicdevelopments. Third, in regions where there are different ethnicgroups, schooling provides fairer educational opportunities tominority groups, which might have been exploited during thecolonized period.5. The Political Development of MacauAlthough many people considered Macau a Portuguesecolony before 1999, its sovereignty has not been clearly definedfor a long period of time. Bruxo suggests that Macau’s politicalhistory can be divided into three periods. The first period isone of double jurisdiction and it extended from 1557 to 1822.The second period is the colonial period which ran from 1822to 1976. The third period is the city-state period which extendedfrom 1976 to 19th December 1999. Each period exhibiteddifferent characteristics.21During the first period, the exercise of the Portugueseand Chinese sovereignty was simultaneous. Pereira notes,“Since Macau’s origin as a Portuguese settlement, a dualismhad been apparent, sometimes strikingly, in all aspects oflife: in the exercise of political power, administration of justice,religious structures, trade affairs and even in the administrationof the city itself.”22The second period began with the declaration of Macauas a part of the Portuguese territory in 1822. All residentsof Macau came under the Portuguese jurisdiction. In 1888,the Treaty of Beijing was signed and ratified. It was the firsttime that the Chinese government recognized the Portuguesesovereignty over Macau. However, this treaty was considerednull by the Republic of China in 1928 and was integratedinto a group of unequal treaties.During the early 20th century, both China and Portugalexperienced revolutions. In 1911, the Qing Dynasty wasoverthrown and the Republic of China was founded. In 1928,António de Oliveira Salazar overthrew the Portuguese monarchyand established the authoritarian Corporative Unitary Republic.
Development of Public Schooling after Political Transition of Macau12048In 1949, the Chinese Communist Party liberated the countryand founded the People’s Republic of China. In 1974, Salazarwas overthrown by a group of officers who were led byGeneral Spinola. The new Portuguese government determinedto grant independence to its colonies.The third period began with the recognition of Macauas a Chinese territory under Portuguese administration in 1976.In 1979, diplomatic relations were established between Chinaand Portugal. The Joint Declaration of the Government of thePeople’s Republic of China and the Government of the Republicof Portugal was signed in 1987. This document stated thatChina would resume exercise of sovereignty over Macau witheffect from 20th December 1999. From this date onwards, Macauwould be a special administrative region of China. The regionwould enjoy a high degree of autonomy and China wouldgovern Macau by the “one country two systems” policy.The historical background of Macau has a great impacton its overall development. During the Portuguese administration,the society was generally divided into four groups of peoplein terms of their administrative powers. First, there was thegroup of top-level administrators, who came from Portugal withthe Governor. They had little interaction with the local society.Then there was the Macanese. The term Macanese has manydefinitions. But mostly it was referred locally to the peoplewho were Chinese and Portuguese mixed. Basically Macanesecould understand both Portuguese and Chinese languages andthey acted as bridges between the Portuguese administratorsand the local people. Most of them worked as junior civilservants. For those who had better education could sometimesbe promoted to middle-level positions. The third group wasthe Chinese people who could speak Portuguese. This groupwas rather unusual and their number was small. They mostlyoccupied lower positions in the government. The last groupwas the Chinese people who had no knowledge of thePortuguese language. Due to their deficiency in the language,few of them could attend the civil service. Therefore, theymainly concentrated in doing businesses and paid little attentionto politics. They did not have the motivation to learn thePortuguese language and opted for education in Chinese orEnglish, which were perceived to be more international andpractical.Lam comments that Macau is a minimally-integratedsocial political system because there was the co-existenceof a relatively self-sustained bureaucratic polity and a Chinesesociety. He notes that “we can easily find a general distrustof the Portuguese administration among the Chineseresidents.”23The administration situation of Macau before the politicaltransition created several results. First, many Chinese residentswere indifferent towards the development of local politics. Yeenotes that “after centuries of political apathy, few local Chineseaspired to participate in the elections or to run for legislatureseats.”24 Second, since the 1960s, the Chinese community hasbeen dominated by groups with different political orientations.Some were pro-mainland China and some were pro-Taiwan.Third, the colonial government played minimal role in providingwelfare and education until the last decade of its administration.Religions groups and private organizations became substantialgivers of various social services. Fourth, there was no hopefor non-Portuguese-speaking people to participate in administrativeduties. Therefore, most Chinese would pay all their effortsto industrial and commercial developments. The gap betweenthe government and the general public became large.The signing of the Joint Declaration clarified the politicalstatus of Macau. The Portuguese had twelve years to preparefor their departure and some important administrative changeswere determined. First, Chinese became an official language,in addition to Portuguese, in 1992.25 Second, there was thelocalization of the civil service. Local people had to be trainedto take positions in the upper hierarchy of the government.Foreign people could only act as advisers or in specializedtechnical jobs. Third, after the political transition, Macau wouldhave its own juridical ordinance. For this reason, localizationof laws was initiated.The execution of these tasks depended on a lot ofmanpower. Because of this, the government determined to inputmore resources into education to ensure a smooth transitioninto the new era. Rangel rightly criticizes that, “Education inMacau became a priority only during the last decade of theGovernment’s development plans. For this reason, the shortageof professionally and technically qualified manpower isundoubtedly one of the major problems to be tackled in this
121482008. 10transitional period.”26At the end of the Portuguese administration, the governmentbriskly initiated some major changes in schooling. Many ofthese changes were extended into the 21st century.6. Historical Development of Public SchoolingEver since Macau’s history, private schooling hasoccupied a more significant proportion than public schooling.Nevertheless, for most of the times, the government paidattention and provided resources only to the public schools.These schools chiefly served children from Portuguese familiesand had little linkage with the local society.During the period of double jurisdiction, the Portuguesegovernment did not take part in the provision of education.This task was totally left to the missionaries. This policy waspredictable at this period because sovereignty was unclearand the government would be natural to keep education expensesat a minimal. At the same time, schools operated by religiousbodies already provided sufficient educational opportunities.Public schooling began to occur in the late 19th centuryafter Portugal declared Macau an integral part of thecountry.27 In other words, actual colonial schooling commencedwhen the government confirmed its sovereignty over theterritory. According to Pires, the Central Lycée was createdin 1893.28 In the year 1909/10, it had an enrollment of 18students. The government covered the expenses of the lycéeand the students were only charged small fees. The CentralPrimary School was open in 1894. The kindergarten (EscolaInfantil) was established in 1923. The Luso-Chinese PrimarySchool was opened in 1919. The City Council covered entirelythe expenses of public education at kindergarten, primary andLuso-Chinese levels. All of these schools, except for the Luso-Chinese schools, targeted at Portuguese children and usedmaterials that were imported from Portugal. The Luso-Chineseschools used Chinese as the major educational language andPortuguese as the second educational language. They targetedat the local Chinese students. However, until 1985, Luso-Chinese schools operated only at the kindergarten and primarylevels.The Mainland China experienced severe turmoil in thefirst half of the 20th century. There were the Japanese invasionand the civil war between the Communist Party and the NationalParty. Progress in Macau was also seriously hampered. Thingsgradually returned to normal in the 1950s and public schoolingwas re-developed.Public schools in Macau did not restrict the enrollmentof Chinese students. Nevertheless, their popularity amongChinese was low. At the most, it attracted children from lower-income families who found the minimal tuition attractive. Theliterature shows that colonizers often used education todevelop civil servants for their administration. In Macau, thisrole was mainly filled by the Macanese who had an acceptablecompetence in both Portuguese and Chinese. But even theyhad little opportunities to be promoted to higher levels. Mostof them only worked at junior positions. Recognizing this fact,most Chinese preferred to choose private schooling.In fact, the government did not consider it necessaryto support or influence education for most of the localChinese.29 Rosa highlights a 1939 official document in whichthe Portuguese authority described Macau’s private schoolsas “foreign schools for foreign peoples”.30 It was through thisphilosophy that the government could justify its neglect of theprivate sector.This attitude of neglect provided room for the developmentof diverse educational sub-systems. Different organizationsestablished schools and they had diverse orientations. Macau’sschooling system is a combination of different models importedfrom Portugal, mainland China, Taiwan, and Hong Kong.31 Thenumber of years in the primary, lower secondary and uppersecondary varies according to the model. The Portuguese modelis 4+2+5+1. The mainland China and Taiwan models are similar.They follow the pattern of 6+3+3. The Hong Kong model is6+5+1. The private schools were free to adopt their own curriculaand the government did very little to monitor this aspect.Compared to other colonies, Macau had a long and peacefultransitional period. Basically China and Portugal were friendlytowards one another and were willing to co-operate on Macau’sissue. During the last ten years, the colonial governmentparticipated more in the development of education. Three keyeducational laws were enacted. First, there was Law No.11/91/M, which provided a framework to the length of schooling.This law legitimized the various sub-systems to fine tune their
Development of Public Schooling after Political Transition of Macau12248structures. Second, there was Law No. 29/95/M, which targetedat establishing a free and compulsory education system. Thispolicy covered all public schools, and private schools wereallowed to participate voluntarily. By developing this policy,the financial burdens of most parents were lifted. Third, therewas Law No. 46/97/M, which provided guidelines to curriculumdevelopment of upper secondary.If colonial schooling is a tool, which is used by thecolonizers to achieve their goals and purposes, then Macautruly reflects this notion. For most part of its administration,the Portuguese government only provided resources andattention to Portuguese education, catering for Portuguese andMacanese children. The education for Chinese people wasneglected. This attitude was changed eventually for two majorreasons. First, Portugal’s revolution in 1974 changed itsapproach towards colonies.32 Second, the government wantedto ensure that the transition could be carried out smoothly.7. Recent Development of Public SchoolingAfter the political transition, only the Luso-Chinese schoolsremain in the public sector. Portuguese public schools werechanged into private schools and continued to serve Portuguesechildren. This is a natural development as they could carryon their systems without having been affected by the localdevelopment.At the time of writing this paper, the government is reviewingthe educational structure and proposes to align all uppersecondary to three years. The current structure is shown inTable 1.According to the span of educational provision, there aresix types of schools which offer kindergarten, primary and/orsecondary education. Kindergarten covers both pre-school andpre-primary education. The six types are: (Type I) kindergartenonly, (Type II) primary only, (Type III) kindergarten and primary,(Type IV) primary and secondary, (Type V) kindergarten, primaryand secondary, and (Type VI) secondary only. The followingtables present the change in quantity of these six types ofschools from academic year 1996/1997 to 2006/2007. The figuresare compiled from official statistics provided by the Educationand Youth Affairs Bureau, Government of Macau.The tables show that among the six types of schools,there are public schools in Types I, II, III and VI. For TypesIV and V, all schools are private. In Type I, 33.3% arepublic schools in 2006/2007 and this number has unchangedfor the last two years, but the number has dropped significantlyfrom 75.0% in 1996/1997. In Type II, public schools occupy33.3% in 2006/2007 but the proportion has dropped from72.7% since 1999/2000. In Type III, the percentage of publicschools has increased from 0% in 2002/2003 to 21.7% in2006/2007. Public schools make up 40% in Type VI. Inother words, the public sector is more significant in the provisionof kindergarten and primary education than secondary education.There are altogether 80 schools in Macau and 12 of themare public. That means public schools only make up 15.0%in 2006/2007.Table 8 reveals the size of public schooling in termsof the number of students. It is clearly shown that at allthree levels, students who attend public schools only representa small portion.It seems that the importance of public schools in Macauhas not been fully capitalized after the political transition. Duringthe colonial era, public schools have a clear mission of servingPortuguese and Macanese children. Now that many Portuguesefamilies have left the territory and Portuguese schools haveturned private, the purpose of public schooling has becomeunclear.Table 1 Structure of the Macau Education System asof 2006 (excluding higher education)School Age LevelsSchoolYearsTechnical and15 - 16 or Higher Vocational15 - 17 Secondary Education 2 or 3Education (Higher SecondaryLevel)Technical andLower VocationalBasic Education 12 - 14 Secondary Education 3(Free and Education (Lower SecondaryCompulsory) Level)6 - 11 Primary Education 65 Pre-Primary Education 13 - 4 Pre-School EducationSource: Macau Education and Youth Affairs Bureau,http://www.dsej.gov.mo/~webdsej/www/dsejnews/edu-pics.htm, 2006.
123482008. 10Table 2 Quantity of Type I Schools (Kindergarten Only)Academic Year Public Private Total number Private % Public %1996/1997 6 2 8 25.0 75.01997/1998 6 4 10 40.0 60.01998/1999 6 4 10 40.0 60.01999/2000 6 3 9 33.3 66.72000/2001 6 11 17 64.7 35.32001/2002 6 4 10 40.0 60.02002/2003 4 4 8 50.0 50.02003/2004 4 4 8 50.0 50.02004/2005 4 4 8 50.0 50.02005/2006 2 4 6 66.7 33.32006/2007 2 4 6 66.7 33.3Table 3 Quantity of Type II Schools (Primary Only)Academic Year Public Private Total number Private % Public %1996/1997 5 2 7 28.6 71.41997/1998 7 3 10 30.0 70.01998/1999 8 3 11 27.3 72.71999/2000 8 3 11 27.3 72.72000/2001 7 4 11 36.4 63.62001/2002 7 3 10 30.0 70.02002/2003 7 3 10 30.0 70.02003/2004 4 4 8 50.0 50.02004/2005 3 3 6 50.0 50.02005/2006 2 4 6 66.7 33.32006/2007 1 2 3 66.7 33.3Table 4 Quantity of Type III Schools (Kindergartenand Primary)Academic Year Public Private Total number Private % Public %1996/1997 2 31 33 93.9 6.11997/1998 0 29 29 100.0 0.01998/1999 0 29 29 100.0 0.01999/2000 0 29 29 100.0 0.02000/2001 1 36 37 97.3 2.72001/2002 1 21 22 95.5 4.52002/2003 0 22 22 100.0 0.02003/2004 2 22 24 91.7 8.32004/2005 3 20 23 87.0 13.02005/2006 4 17 21 81.0 19.02006/2007 5 18 23 78.3 21.7Table 5 Quantity of Type IV Schools (Primary andSecondary)Academic Year Public Private Total number Private % Public %1996/1997 1 9 10 90.0 90.91997/1998 1 10 11 10.0 9.11998/1999 0 11 11 100.0 0.01999/2000 0 9 9 100.0 0.02000/2001 0 12 12 100.0 0.02001/2002 0 9 9 100.0 0.02002/2003 0 9 9 100.0 0.02003/2004 0 10 10 100.0 0.02004/2005 0 9 9 100.0 0.02005/2006 0 9 9 100.0 0.02006/2007 0 9 9 100.0 0.0Table 6 Quantity of Type V Schools (Kindergarten,Primary and Secondary)Academic Year Public Private Total number Private % Public %1996/1997 0 19 19 100.0 0.01997/1998 0 20 20 100.0 0.01998/1999 0 20 20 100.0 0.01999/2000 0 20 20 100.0 0.02000/2001 0 17 17 100.0 0.02001/2002 0 25 25 100.0 0.02002/2003 1 25 26 96.2 3.82003/2004 0 27 27 100.0 0.02004/2005 0 28 28 100.0 0.02005/2006 0 28 28 100.0 0.02006/2007 0 29 29 100.0 0.0Table 7 Quantity of Type VI Schools (Secondary Only)Academic Year Public Private Total number Private % Public %1996/1997 1 2 3 66.7 33.31997/1998 2 2 4 50.0 50.01998/1999 1 3 4 75.0 25.01999/2000 3 4 7 57.1 42.92000/2001 2 11 13 84.6 15.42001/2002 2 6 8 75.0 25.02002/2003 2 6 8 75.0 25.02003/2004 3 7 10 70.0 30.02004/2005 3 6 9 66.7 33.32005/2006 4 6 10 60.0 40.02006/2007 4 6 10 60.0 40.0This situation is further affected by the introduction of thefree and compulsory education policy. If private schoolsparticipate in this program, financial assistance will be givento them and students need not pay any tuition. Under thiscircumstance, public schools become less attractive.Table 9 illustrates that in 2006/2007, 55 private schoolshave already joined the free and compulsory education policy.The demand for public schools in Macau is affected bythe following factors. First, the impression that public schoolsserve Portuguese children may still remain with the local people.Since most Chinese are rather detached from the Portuguese
Development of Public Schooling after Political Transition of Macau12448community, they will have limited intention of sending theirchildren to public schools. Second, at the time of writing thispaper, school inspection is at the trial stage. It is expectedto be carried out at full scale from 2006/2007. In the meantime,people have very little accurate information about schools. Theyrely mostly on words of mouth. Third, Luso-Chinese schoolsuse Chinese as the first teaching language and Portugueseas the second. English is relatively downplayed in theircurriculum. When Macau is becoming more internationalizedin terms of its economic development, parents and studentsdemand more English learning.To improve public schooling, the following issues haveto be addressed. First, the government has to consider thefuture direction of public schooling. Macau is now a specialadministrative region of China and it has fifty years of high-level autonomy. What responsibilities should public educationhold in this new political context?Second, public schools are controlled strictly by thegovernment and little authority is allocated to the principals.Perhaps, the administration can be more decentralized to alloweach school to work on its own strengths. Public schoolsdo not have to be identical. But they have to fulfill theirlegitimate requirements.Third, due to the deregulation of the gaming industry,Macau’s tax revenue has boosted dramatically and thegovernment plans to turn Macau into an oriental Las Vegas.When casinos become major employers, what type of valuesshould be held and delivered in public schools?Fourth, without an objective and scientific inspection system,it is difficult to judge how schools are operating. Therefore,the successful implementation of the school assessment policyshall generate relevant evidence for both insiders and outsiders;and can be used as a means for quality improvement.Fifth, the government needs to speed up the processof curriculum development so that students can be better equippedfor the new century.8. ConclusionDuring Macau’s colonial era, most educational resourceswere allocated to the development of public schools even thoughthey only occupied a small proportion of the market. Similarto other colonies, the main purpose of public schools wasto serve children of the colonizer. Education for the local Chinesewas neglected by the government. Religious bodies and localorganizations took active roles in private educational provision.After the change of sovereignty in 1999, the proportion ofpublic schooling remains small and unexciting. With theimplementation of the free and compulsory education policy,it is expected that more and more students will opt for privateschools. It seems to us that the purpose of public schoolinghas become unclear and its full potential has not yet beenrealized.This paper argues that although there is a worldwidetrend of marketization in education, public schooling has itsown values. It should play an important role in the followingaspects: Education for all; Fair distribution of educationalopportunities; Delivery of social values; Establishment ofhigh educational standards; Improvement of social conditions;Enrichment of people’s lives.If public schooling cannot be suitably developed, diversityof education will be held back. In addition, the governmentwill also be disadvantaged in testing and executing new practicesTable 8 Number of Students, 2006/2007Type of Kindergar ten P r i m a r y S e c o n d a r y TotalS c h o o l N u m b e r % N u m b e r % N u m b e r % N u m b e r %Pub l i c 504 4.9 1524 4.3 3138 6.5 5166 5.5Private 9815 95.1 33,926 95.7 44,903 93.5 88,644 94.5Total 10,319 100.0 35,450 100.0 48,041 100.0 93,810 100.0Source: “Education Survey (2006-2007)”, Documentation and Information Centreof Statistics and Census Service, Government of Macau.Table 9 Quantity of Schools that are Integrated inPublic School NetworkAcademic Year 2003/2004 2004/2005 2005/2006 2006/2007Government Schools 13 13 12 12Private Schools (integratedin public school network)59 57 55 55Private Schools (not integratedin public school network)15 13 13 13Total 87 83 80 80Source: The above figures are compiled from DSEJ education statistics (2003/2004 to 2006/2007) retrieved from the following URL: http://appl/dsej.gov.mo/edustat/edu/stat_d/mainpage.jsp?lang=c. The number ofspecial education schools has been deducted from the total to generatethe above figures.
125482008. 10and policies. The Macau government needs to carefully andpromptly reflect on the future development of public schoolingand re-invent its purposes and directions. Hopefully with thereviewing of the school system, which is currently underway,the public and private sectors can form true partnership inthe search for higher quality and lesser inequality in education.Notes:1 Cremer, R. D., “Introduction,” in Cremer, R. D. (Ed.), Macau:City of Commerce and Culture (2nd Edition) (Hong Kong: APIPress, 1991).2 The data are obtained from “Fact Sheet” under “About Macao”in the Macao SAR Government Portal, http://www.gov.mo,2007.3 Bray, M. and Hui, P., “Structure and Content of Education:Evolution and Reform in the Transitional Period.” in Cremer,R. D. (Ed.), Macau: City of Commerce and Culture (2ndEdition) (Hong Kong: API Press, 1991).4 Cummngs, W. K. and Riddell, A., “Alternative Policies for theFinance Cont ro l , and Del ivery o f Bas ic Educat ion, ”International Journal of Educational Research, Vol. 21, No.8(1994), pp. 751–774.5 Colclough, C., “Education and the Market: Which Parts of theNeoliberal Solution are Correct?” World Development, Vol. 24,No. 4 (1996), pp. 589–610.6 Resnick, M. A., “Public Education: An American Imperative,”in the Centre for Public Education Website, http://www.centerforpubliceducation.org, 27th April, 2006.7 Hess, F. M., “What is a ‘Public School’? Principles for a NewCentury,” Phi Delta Kappan, Vol. 85, No. 6 (2004), pp. 433–439.8 Nathan, J. , “Some Quest ions for Advocates of Publ icEducation,” Phi Delta Kappan, Vol. 85, No. 6 (2004), pp. 442–450.9 Cline, A. H., “The Role of Public Schooling Evolves withSociety,” in the School District of DeSoto website, http://www.desotoschools.com/cline%2004-27-01.htm, 27th April, 2006.1 0 Kelly, G. P., “Colonialism, Indigenous Society, and SchoolPractices: French Africa and Indochina, 1918–1938,” in Kelly,G. P. and Altbach, P. G. (Eds.), Education and the ColonialExperience (New Brunswick: Transactions Books, 1984).1 1 Adamson, B. and L i , S. P. , “Pr imary and SecondarySchooling.” In Bray, E. and Koo, R. (Eds.), Education andSociety in Hong Kong and Macau: Comparative Perspectiveson Continuity and Change (Hong Kong: Comparative EducationResearch Centre, the University of Hong Kong, 1999).1 2 Kelly, G. P., “Colonialism, Indigenous Society, and SchoolPractices: French Africa and Indochina, 1918–1938,” in Kelly,G. P. and Altbach, P. G. (Eds.), Education and the ColonialExperience (New Brunswick: Transactions Books, 1984).1 3 Foley, D., “Colonialism and Schooling in the Philippines, 1898–1970,” in Kelly, G. P. and Altbach, P. G. (Eds.), Educationand the Colonial Experience (New Brunswick: TransactionsBooks, 1984).1 4 Watson, K., “Colonialism and Educational Development,” inWatson, K. (Ed.) Education in the Third World (London: CroomHelm, 1982).1 5 Sweeting, A., “Hong Kong,” in Morris, P. and Sweeting, A.(Eds.) Education and Development in East Asia (New York:Garland Publishing Inc., 1995).1 6 Ibid.1 7 Cremer, R. D., “Introduction,” in Cremer, R. D. (Ed.), Macau:City of Commerce and Culture (2nd Edition) (Hong Kong: APIPress, 1991).1 8 Ibid.1 9 Mukherjee, H. and Singh, J. S., “Malaysia,” in Morris, P. andSweeting, A. (Eds.) Education and Development in East Asia(New York: Garland Publishing Inc., 1995).2 0 Gopinathan, S., “Singapore,” in Morris, P. and Sweeting, A.(Eds.) Education and Development in East Asia (New York:Garland Publishing Inc., 1995).21 Bruxo, J., “Macau in Transition,” Asian Review of PublicAdministration, Vol. VIX, No. 1 (1997), pp. 1–12.2 2 Pereira, F. G., “Towards 1999: The Political Status of Macauin the Nineteenth and Twentieth Centuries,” in Cremer, R. D.(Ed.), Macau: City of Commerce and Culture (2nd Edition)(Hong Kong: API Press, 1991).2 3 Lam, T. C., “Administration and Public Service System inMacau,” in Cremer, R. D. (Ed.), Macau: City of Commerceand Culture (2nd Edition) (Hong Kong: API Press, 1991).2 4 Yee, H. S., Macau in Transition: From Colony to AutonomousRegion (Basingstoke: Palgrave, 2001).2 5 Sheng, Y., Languages in Macao: Past, Present and Future(Macau: Macau Polytechnic Institute, 1997). [1997 ]2 6 Rangel, J. A. H., “Prospects and Directions for Education,” inCremer, R. D. (Ed.), Macau: City of Commerce and Culture(2nd Edition) (Hong Kong: API Press, 1991).2 7 Liu, H. P., Aomen Jiaoyushi (Beijing: People’s EducationPress, 2002) . [2002 ]28 Pires, B. V., “Origins and Early History of Macau,” in Cremer,R. D. (Ed.), Macau: City of Commerce and Culture (2ndEdition) (Hong Kong: API Press, 1991).29 Tang, K. C. and Bray, M., “Colonial Models and the Evolutionof Education Systems: Centralization and Decentralization inHong Kong and Macau,” Journal of Educational Administration,Vol. 38, No. 5 (2000), pp. 468-485.30 Bray, M. and Hui, P., “Structure and Content of Education:Evolution and Reform in the Transitional Period.” in Cremer,R. D. (Ed.), Macau: City of Commerce and Culture (2ndEdition) (Hong Kong: API Press, 1991).31 Ibid.32 Tang, K. C. and Bray, M., “Colonial Models and the Evolutionof Education Systems: Centralization and Decentralization inHong Kong and Macau,” Journal of Educational Administration,Vol. 38, No. 5 (2000), pp. 468–485.
Student Satisfaction as an Indicator of Macau Education Service Quality126481. IntroductionIn colonial Macau, the education system featured a lackof an organized structure and limited resources as a resultof the less interventionist role played by the Portuguesegovernment in education.1 Non-tertiary education restedoverwhelmingly on religious bodies, associations and individualswhile tertiary education was not provided until 1981. The widevariety of the backgrounds of education institutions resultedin the co-existence of different education systems and the lackof quality management. In postcolonial Macau, one of the longterm objectives of the government is to enhance the qualityof education.2 Over the past eight years, efforts have beenmade to improve the curriculum in order to meet the needsof the society in the 21st century. To keep up with the rapiddevelopment of Macau economy, quality of education shouldbe raised in order to provide suitable human resources forthe community. The study to be reported in this paper examineda possible means that would allow institutions to benchmarkand provide indicators of the quality of higher education services.2. The Changing Student-University Relation-shipsIn the marketing literature, it is constantly argued thatmarketing executives should consider customers’ needs andwants so as to achieve and maintain successful businessrelationships in the marketplace. They should retain existingcustomers and target non-customers.3 This “marketing concept”of customer-supplier relationships has been adopted in non-marketing contexts such as higher education. In a “knowledgeeconomy,”4 universities are regarded as suppliers of knowledgeto students, who are seen as customers of knowledge.5 Likecustomers, students have the rights to enjoy value for moneyservices and to complain about service offerings. The changingview of student-university relationships in higher education hasalso been caused by the decrease of financial sources providedby the government. Over the past two decades, manyuniversities, especially those in Britain and the United States,have been forced to seek external funds other than thoseprovided by the government.6 Many university administratorsand academic leaders are facing a dilemma. On the one hand,they must be creative in course offerings in order to competefor “market share.” On the other hand, they must make fulluse of the limited funds to provide high quality education inorder to retain students and compete for high academicrankings.7Some educators hold the view that the use of marketingconcept to describe student-university relationships in highereducation is inappropriate.8 They argue that a more accuratedescription is citizen-authority relationship, in which both partieshave rights and responsibilities. Universities have the obligationto provide higher education for the community while studentsmust satisfy the requirements of a certain degree programmebefore possessing a university degree. This is different frombuying a product where one can use and possess a certainproduct immediately upon payment.Which metaphor can appropriately describe the currentStudent Satisfaction as an Indicator of MacauEducation Service QualityYoung Ming Yee Carissa** Associate professor, School of Business, Macau Polytechnic Institute
127482008. 10status of higher education in Macau? Among the 12 highereducation institutions that are recognized by the Macau SARgovernment, most are in the private sector. While these privatetertiary institutions aim to serve the Macau community byproviding high quality education, their survival does, to a largeextent, depend on the moral and financial support from theirstudents. Therefore, the student-university relationships in theprivate education sector can be referred to as a combinationof customer-supplier and citizen-authority relationships. InMacau, a university or tertiary institution is both supplier andauthority: it has the commercial rights to offer a wide varietyof academic programmes and the obligation to serve thecommunity. The student is both customer and citizen: a studenthas the rights to receive value for money and high qualityeducation and the obligation to fulfill the requirements.3. Student Satisfaction EvaluationTo date, recruitment and retention of students has beengiven first priority by the university management. In orderto increase student population and retain students, universitiesworldwide have been trying to maximize student satisfactionand minimize dissatisfaction. One way to examine studentsatisfaction is student satisfaction or teaching evaluation survey,which allows students to express their levels of satisfactionwith their academic experience, reflect on their learning, andprovide evidence that will contribute to the reputation of auniversity.9Measures of student satisfaction to university serviceofferings usually involve a survey. Some forms of surveyderive from SERVQUAL.10 In this scale, customers are askedfor their perception of ten aspects of service quality: reliability,responsiveness, competence, access, courtesy, communication,credibility, security, understanding or knowing the customerand tangibles. Some instruments are originated from the theoryof “ten domains of satisfaction,” which include: quality, value,timeliness, efficiency, ease of access, environment, inter-departmental teamwork, front l ine service behaviors,commitment to the customer and innovation.11 A recent studentsatisfaction survey12 was designed on the basis of a theorythat regards a service operation as a provider of goods andservices.13 In this theory, a “good” is a tangible physicalproduct while a “service” is intangible and perishable. Theservice offering of a service operation is regarded as a bundleof goods and services consisting of three elements: the physicalitems or facilitating goods, the explicit services or sensualbenefits, and the implicit services or psychological benefits.In a university, the physical items include the universitycampus, buildings and grounds, seminar rooms and lecturetheatres (and the decoration, furnishing, lighting and layout ofthem), networked computers, catering facilities, banking facilities,recreational facilities as well as availability of shuttle bus andcar parks. The explicit services include the teaching abilityof teachers, teachers’ subject expertise, workload, the wayteaching schedule is organized and the difficulty of subjectcontent. The implicit services include the friendliness andapproachability of teaching staff, availability of staff, atmosphereof the university campus, feelings that students are being fairlyassessed, and feelings that students are being taken care ofby staff. Student satisfaction evaluation measures students’ viewson these elements.4. Factors Associating with Student SatisfactionMixed research results have been reported regardingwhether physical items have an impact on students’ choiceof university. In Britain, a survey was conducted with a totalof twelve universities over two years in order to determinestudents’ reasons for selecting a particular university.14 Analysisof the 8742 student responses showed that the top five importantservice aspects of a university were physical items suchas availability of quiet study rooms, availability of areas forself-study and group work, computer facilities, quality of libraryfacilities, and public transportation services in the city or town.The least important service aspects were quality of universitygrounds, lecture theatre facilities and bars on campus. However,a survey with 310 male students at a semi-autonomousgovernment university in Saudi Arabia revealed that appearanceof buildings and grounds, as well as classroom layout andlighting were among the most important factors in student’sevaluation of service quality.15Level of difficulty of subject content of a universityprogramme may influence student satisfaction. A survey witha group of students in a leading university in Singapore revealed
Student Satisfaction as an Indicator of Macau Education Service Quality12848that students’ higher evaluation scores of a programme seemedto associate with ease of learning of a course and students’prior knowledge with course content.16 Some previous studieshave also shown that class size has an impact on studentsatisfaction.17 In general, students prefer smaller classes tolarger ones, probably because the smaller the class size, themore opportunity for student-teacher interaction in the classroom.Teaching quality of the lecturer was found to be an importantfactor. A study on focus groups to determine what qualityeducation meant to students revealed that the most importanttheme was lecturer’s classroom delivery and feedback to studentsduring the session and on assignments.18 Similarly, a groupof 168 students who attended four lectures delivered by thesame lecturer revealed that they placed importance on theknowledge and skills gained, coverage and depth of the lectureand teacher’s feedback on assessed work.19 This finding wassupported by another study20, which showed that good teachingreputation of lecturers was one of the most important factorsthat affect student satisfaction.Age and experience of teaching staff may also be aninfluential factor affecting student satisfaction, but mixed researchresults have been produced in the literature. Two studies havesuggested that students preferred older and more experiencedteacher.21 However, a similar study found that teacher’s ageand teaching experience correlated negatively with studentsatisfaction ratings.22Appearance and dress code of university staff may bea factor affecting student perception of the quality of the universityservice. Some students preferred to interact with universitystaff who dressed smartly, were always ready to help, andwere available during office hours.23 Consistent findings wereobtained in another study24, which revealed that students attachedimportance to “contact personnel” such as faculty andadministrative staff. Human interaction had an important impacton students’ evaluation of service quality offerings.Treatment of students by staff was found to be an importantaspect of implicit services. For instance, university staff’s friendlyattitude towards students is a factor that affects students’ choiceof enrolment in a university.25 This is echoed in another survey26,which concluded that teacher-student relationship is one of thekey factors of student satisfaction. Other psychological benefitsthat may influence student satisfaction include comfortable campusenvironment27, students’ feeling of being fairly assessed28, andthe warmth and professionalism conveyed by teachingstaff.29In a recent study that aimed to determine the importanceof the physical facilities, explicit services and implicit services,Quadrant Analysis was on the service aspects of a Britishuniversity in order to identify university services that wereof high importance and low satisfaction.30 The responses of864 students to a questionnaire revealed that explicit serviceaspects such as teaching ability of staff, subject expertiseof staff and IT facilities were of high satisfaction and highimportance while physical facilities like classroom decorationand furnishings of low satisfaction and low importance. Usingthe “Satisfaction and Importance Grid,” nine service aspectsthat were perceived by the students to be of low satisfactionand high importance were identified. These included promptnessof feedback on performance, availability of staff, organizationof class timetable, and course workload. The findings haveprovided valuation information for the university managementto introduce explicit standards for quality improvement.5. The Present StudyPrevious studies have suggested that many factors affectstudent satisfaction of quality of university service. However,it appears that some factors are more important than others.More empirical studies are needed in order to identify thoseareas that need improvement. Those factors that are perceivedto be of low student satisfaction and high importance shoulddeserve more attention. This idea of using student satisfactionas an indicator of university service quality may be of interestto the university management in the context of Macau. Asan extension of the topic, the main purpose of the presentstudy was to investigate the relationship between studentsatisfaction of university service and level of importance. Threeresearch questions were addressed.How were the university service aspects perceivedby the students in terms of satisfaction?How were the university service aspects perceivedby the students in terms of importance?How were the university service aspects perceived
129482008. 10by the students in terms of satisfaction and importance?The research setting was the Macau University of Scienceand Technology, a local private tertiary institution founded in2000. This study focused on the Pre-University StudiesProgramme, a student-funded programme suitable for thoselocal and mainland Chinese students who need further trainingin subjects like Chinese, English, Mathematics and GeneralEducation after completing their Sixth Form or Senior MiddleThree education. This programme was selected partly becausethe author has been involved in the coordination and teachingof the programme since 2006, and partly because thepre-university students come from different educationalbackgrounds with various levels of academic attainment, moreefforts are needed in order to successfully manage theprogramme. For these an investigation into their satisfactionof the programme would provide some valuable informationfor quality improvement.The sample of this study consisted of a group of studentswho had completed the full-time Pre-University StudiesProgramme with the Macau University of Science andTechnology in the academic year 2006-2007. A questionnairewas designed to measure the satisfaction and importance levelsof university services from these students’ perspectives. Thequestionnaire contained two parts. Part One collected thedemographic information regarding gender and the undergraduateprogramme that the students were currently enrolled in. PartTwo asked students about their perceived levels of satisfactionand importance on 18 aspects of the university service offerings.A 5-point Likert scale was used, where 1 being “very dissatisfied/very unimportant” and 5 “very satisfied/very important”. Anadvantage of such a scale is that it provides respondentswith positive, neutral and negative categories.The survey was conducted in the first semester of theacademic year 2007-2008. First, the author tracked down theundergraduate registration record and identified 102 first yearundergraduates who had completed the Pre-University StudiesProgramme in the last academic year. Then the author senta copy of the questionnaire to each student by hand. Thestudents were told that participation in the survey was entirelyvoluntary and anonymous. They were instructed to answerthe questions during their free time and then place the completedquestionnaire in a collection box placed outside the author’soffice within one week after they had received the questionnaire.Eventually 76 out of 102 copies of the questionnaire werecollected, and the response rate was 0.75. The data wereanalysed using SPSS for Windows.As shown in Table 1, the participants of this study were41 male and 35 female students majoring in businessadministration, international tourism management, law andinformation technology.Table 1 A Profile of the Participants in thePresent StudyGender MajorMale FemaleBusiness administration 23 20International tourism management 8 10Law 5 4Information technology 5 1Total 41 356. Satisfaction of Service Aspects“How were the university service aspects perceived bythe students in terms of satisfaction?” To answer this researchquestion, the means of the 18 aspects were calculated andranked starting from the highest value to the lowest value.Based on the responses, the five most satisfactory aspectsof the university service were all associated with teaching(Table 2). The most satisfactory aspect of the service wasthe attitudes of university teaching staff, closely followed bytheir appearance and dress code, subject expertise, and teachingability. Given that all the members in the teaching team ofthe Pre-University Studies Programme have at least a master’sdegree in the relevant field of the subject they are teaching,there was no doubt that the students were highly satisfiedwith the qualification of their teachers. The surveyed studentsalso recognized the availability of teaching staff, which wasalso not surprising because the University requires all membersof teaching staff to allot ten office hours a week for studentconsultation.
Student Satisfaction as an Indicator of Macau Education Service Quality13048Table 2 Most Satisfactory and Least SatisfactoryAspects of ServiceRanking Most Satisfactory Aspects Least Satisfactory Aspects1The appearance/dress code The on-campus cateringof teaching staff facilities2 The attitudes of teaching staffShuttle bus services orparking facilities3The subject expertise ofteaching staffComputer network on campus4The teaching ability ofteaching staffThe university library5The availability of teaching The way teaching timetable staff is organizedThe five least satisfactory aspects of the university servicewere mostly associated with facilities such as catering andparking. The former was criticized for lack of choice whilethe latter was criticized for being inadequate. The studentsalso found the computer network and IT facilities on campusless satisfactory. Since these full-time students stay on campuseight hours a day on average, they need connection to theInternet for learning and communication purposes. They alsoneed software packages for producing word-processed docu-mentation for coursework assignments. While the universityprovides students with IT suites and network connection inthe dormitories, the connection is not always stable. This isbecause the university is located in the Cotai area, a newlyreclaimed land whose cable networking is to be upgraded.The survey results indicated that the students were less satisfiedwith the library, which was understandable because theuniversity library building was under construction at the timewhen this study was being conducted. The temporary librarymight be rather small for the students. The fifth least satisfactoryaspect was the timetabling of the programme. According tolast year’s timetable, students were required to have 4-8 hoursof classes per day during the week. Some students whostayed at on-campus dormitories had complained about havingto attend classes at 9 in the morning, which was rather “early”for them.7. Importance of Service Aspects“How were the university service aspects perceived bythe students in terms of importance?” Table 3 summarizesthe findings to the second research question. The most importantareas of the university services were those associated withthe programme and teachers. Most students agreed that thesubjects should raise their interest in learning. The contentof the programme was the second important aspect. As forthe teaching staff, the students thought that their teachers shouldnot only have high teaching abilities, but also care about theirneeds.Table 3 Most Important and Least ImportantAspects of ServiceRanking Most Important Aspects Least Important Aspects1The subjects arouseThe classroom layoutlearning interest2The content of the The audiovisual facilities inprogramme classrooms3The teaching ability of Shuttle bus services/availabilityteaching staff of parking4 The care of teaching staffThe appearance/dress code of teaching staff5 The attitude of teaching staff The availability of teaching staffThe least important aspects were associated with lectureand tutorial facilities such as the layout and decoration ofclassrooms and the audiovisual facilities in them. The thirdleast important aspect was the shuttle bus service. The studentsalso believed that the appearance or dress code of teachersand their availability were relatively unimportant.8. Quadrant Analysis of Satisfaction andImportance“How were the university service aspects perceived bythe students in terms of satisfaction and importance?” As canbeen seen from the above results, those aspects that weredeemed by the students as highly satisfactory might not bethe most important. Therefore, further analysis was performedin order to examine importance and attribute ratings. Previousstudies in the marketing and education fields have used agraphic technique called “quadrant analysis” to show whichattributes are important.31 This technique was adopted in thepresent study and the data were re-coded. The percentageof every service aspect that was rated “very satisfied” or“satisfied” were calculated. The same was done for every
131482008. 10service aspect that was rated “very important” or “important”.Then a graph was plotted, with the importance scores presentedon the vertical axes and satisfaction scores on the horizontalaxes. The axis of the map is determined by the averageimportance and satisfaction scores (Figure 1).Figure 1 Mapping of Student Satisfaction andImportanceUsing the above data, the “Satisfaction and ImportanceGrid” was prepared to illustrate the perceived degree of studentsatisfaction with an attribute with students’ perceived importance(Table 4). Each aspect might fall into one of the four areason the grid depending on whether it was considered highimportance and low satisfaction (Quadrant A), high importanceand high satisfaction (Quadrant B), low importance and lowsatisfaction (Quadrant C) and low importance and high satisfaction(Quadrant D). From the point of view of the universitymanagement, Quadrant A on the grid contains service aspectsthat are “above average” in importance but “below average”in satisfaction, representing a significant area of concern. QuadrantB contains high quality services that are well-received. QuadrantC contains service aspects that are low of priority while QuadrantD contains “possibly overkill” service aspects that the Universitymight have over-performed.The 18 aspects of university service were placed inthe four areas on the Satisfaction and Importance Grid basedon the responses of all surveyed students. Table 5 summarizesthe quadrant analysis results.Table 5 Summary of Quadrant Analysis ResultsOf the 18 service aspects, one was identified as highimportance and low satisfaction (Quadrant A). The extent towhich the subjects arouse students’ learning interest gave causefor concern. It appeared that the students would like to study“interesting” subjects that would also equip them with thenecessary academic skills that would enable them to survivein the undergraduate studies. However, a subject that aimsto help students lay a good foundation might not be “interesting”.Take English grammar course as an example. English grammarclasses might be “boring” because students have to do grammardrills and tedious assignments. Moreover, the students do notalways see immediate effects of such exercises on them,that is, they would not write or speak native-like Englishovernight. But such “uninteresting” classes, in the long run,do help students use more grammatical English for communication.DLow IMPORTANCE High A BC1008060402000 20 40 60 80 100Satisfaction (%)Importance (%)Table 4 Satisfaction and Importance Grid32Concentrate Here Maintain QualityLow Priority Possible OverkillLow SATISFACTION HighQuadrant A: high importance, lowsatisfactionThe subjects a rouse lea rninginterestQuadrant C: low importance,low satisfactionThe on-campus catering facilitiesShuttle bus services or parking fa-cil it iesComputer network on campusThe way teaching t imetable isorganizedThe university libraryThe duration of the programmeThe university environmentQuadrant B: high importance,high satisfactionThe teaching ability of teachingstaffThe attitudes of teaching staffThe subject expertise of teachingstaffThe content of the programmeThe fairness of assessmentQuadrant D: low importance,high satisfactionThe classroom layoutThe audiovisual facilities in class-roomsThe appearance/dress code ofteaching staffThe availability of teaching staff
Student Satisfaction as an Indicator of Macau Education Service Quality13248Should the University discontinue grammar training simplybecause it could not arouse learning interest? Or should theteachers reflect on their teaching methodology and think ofmore lively activities? Why certain subjects could not arouselearning interest and how the subjects could be delivered inorder to arouse students’ learning interest may be an areathat needs further analysis.From the point of view of the University teaching staffthe results are encouraging. Based on the views of all surveyedstudents, three out of the five service aspects with the highestimportance and satisfaction ratings were in Quadrant B. Thestudents were highly satisfied with the teaching ability of theteachers. In fact, all the teachers involved in the teachingof the Pre-University Studies programme have been informedabout the background and needs of the students, they havea more positive attitude towards these students and are readyto help. Team spirit and effectiveness are enhanced throughregular course meetings. The present survey findings haveacknowledged teachers’ hard work. The fairness of assessmentof the programme also fell in this quadrant. The students regardedthe assessment methods adopted by the teachers as impartial.In fact, the teachers have been doing standardization exercisesfor years. When grading the examination papers, all membersin the teaching team use the same marking scheme to ensurefairness. As these aspects were considered high importanceand were rated high in satisfaction term, the teachers wouldcertain keep doing these well.The quadrant analysis also confirmed the lack of importanceof the physical facilities such as catering, parking, and library(Quadrant C). The length of the programme and the way timetablewas organized might not satisfy all students, but these weredeemed to be less important aspects. In short, these are lowpriority items to improve because improvements will not affectoverall satisfaction much.The aspects that were possibly over-performed (QuadrantD) were the layout of classrooms, the audiovisual facilitiesin them, the dress code and availability of teaching staff. Asa newly established university, Macau University of Scienceand Technology provides students with advanced classroomfacilities. Each lecture/tutorial room is equipped with a networkedcomputer, DVD player, LCD projector, microphone and speakers.Wireless network connection is also available in certain partsof the campus. These state-of-the-art learning facilities togetherwith smartly dressed staff are often “showcased” in university’sprospectus and official website. There is no doubt that theseaspects are essential when attracting the attention of prospectivestudents and the public. However, once the students are enrolledin an academic programme, these physical service aspectsmay become less important compared with the more abstractand implicit aspects such as competence of teaching staff andquality of learning experience. An education institute with limitedresources should maintain quality and move some attentionfrom these service aspects to more important ones.9. ConclusionsThis study has investigated former pre-university students’feedback on the satisfaction and importance of some serviceaspects provided by the Macau University of Science andTechnology. The responses revealed that many of the physicalaspects of the University services are not important with regardto student satisfaction. This findings support the view that auniversity is not simply a building. The most important serviceaspects of a university should involve high quality teachingand classroom delivery.Student feedback tended to confirm that they did receivehigh quality teaching from teachers with high levels of expertisein their respective academic disciplines. They also appreciatedthe help and care from these teachers, who were often availablewhen they encounter problems. The high quality lectures andtutorials led by responsible teaching staff constitute the coreservice provided by the university. Therefore, it was the student-teacher interaction in the classrooms that determined studentsatisfaction with the university service offerings. To maintainhigh quality service, qualified teachers with a sense ofresponsibility should be recruited and retained.With regard to quality improvement it may be worthwhilefocusing on the learning interest of students and the contentof the programme. For teachers and course leaders, it isworthwhile to reflect on course design, class delivery, materialsdevelopment as well as in-class and out-of-class activities toensure that students’ learning interest are considered. Previousresearch has shown that learning interest associates with factors
133482008. 10such as learners’ beliefs, learning approach, attitudes, motivation,and strategy use.33 Therefore, research into the learningmotivation of students enrolled in the Pre-University StudiesProgramme should be conducted in order to identify the coursesand/or areas that do not arouse students’ learning interest andthen adapt service offering accordingly. Besides, further researchshould be done to determine whether there is any possiblemismatch between teachers’ conception of teaching and students’conception of learning. The university management can alsobe involved in such service by monitoring the progress madeby the teaching staff.This study has used quadrant analysis to show bothlevel of importance and level of satisfaction for each universityservice aspect. This method can be used to understand therelationship between students’ satisfaction with a service andhow important that service is to those students. Knowing thisinformation can help the university management make the bestuse of limited resources and channel funds and efforts forimprovements into areas that are most important to students.This is especially important to private education institutions inMacau.Like many universities around the world, universities andtertiary institutions in Macau worldwide are now competingfor students both nationally and internationally. One possibleway to retain current students and recruit new students isto enhance student satisfaction. Whether the students are regardedas customers or citizens, their feedback would influence thereputation of a university and should be considered. Universitiesmay make full use of the limited resources to improve theirservice quality by giving priorities to those service aspectswhich are perceived to have high importance but low studentsatisfaction. Since aspects associating with teaching areperceived to be of high importance and high student satisfaction,the management may channel some resources for staff recruitmentand in-service teacher training in order to maintain the highquality of teaching services. After all, both teachers and studentsare assets to an academic institution.Notes:1 Rosa, A., Macau: Education in the Period of Transition: AnOverview and Prospects (ERIC document No. ED338534,1989).2 Ieong, Wan Chong, Macau 2020: Long Term Objectives andDevelopmen t S t ra teg ies in 20 Years (Macau : MacauDevelopment Strategy Research Centre and Macau Associationof Economic Sciences, 2000).3 Kotler, P., Marketing Management – The Millennium Edition(Upper Saddle River, NJ: Prentice-Hall, 2000).4 Sti lwel l, F., “Higher Education, Commercial Cri ter ia andEconomic Incentives,” Journal of Higher Education Policy andManagement, Vol. 25, No. 1 (2003), pp. 51–61.5 Pitman, T., “Perceptions of Academics and Students asCustomers: a Survey of Admin istra t ive Sta ff in HigherEducat i on , ” Jou rna l o f Higher Educa t i on Po l icy andManagement, Vol. 22, No. 2 (2000), pp. 165–175; Seymour,D. and Col lett , C., Total Qual i ty Management in HigherEducation: A Critical Assessment (Methuen, MA: GOAL/QPC,1991).6 Hill, Y., Lornas, L. and MacGregor, J., “Students’ Perceptionsof Qual i ty in Higher Education, ” Qual i ty Assurance inEducation, Vol. 11, No. 1 (2003), pp. 15–20.7 Pounder, J. S., “Is Student Evaluation of Teaching Worthwhile?An Analytical Framework for Answering the Question,” QualityAssurance in Education, Vol. 15, No. 2 (2007), pp. 178–191.8 Svensson, G. and Wood, G. “Are University Students reallyCustomers? When Il lusion may Lead to Delusion for Al l!”International Journal of Educational Management, Vol. 21,No. 1 (2007), pp. 17–28.9 Rowley, J., “Designing Student Feedback Questionnaires,”Qual i ty Assurance in Education , Vo l. 11, No. 3 (2003),pp. 142–149.10 Parasu raman, A . , Ze i thaml , V. A. and Ber ry, L . L . ,“SERVQUAL: a Multiple-item Scale for Measuring ConsumerPerceptions of Service Quality,” Journal of Retailing, Vol. 64,No. 1 (1988), pp. 12–24.11 Berry, L. L., Parasuraman, A. and Zeithaml, V. A., QualityService: Balancing Customer Perceptions and Expectations(New York: The Free Press, 1990).12 Douglas, J., Douglas, A. and Barnes, B., “Measuring StudentSatisfact ion a t a UK Universi ty,” Qual i ty Assurance inEducation, Vol. 14, No. 3 (2006), pp. 251–267.13 Sasser, W. E., Olsen, R. P. and Wyckoff, D. D., Managementof Service Operations (Boston, MA: Allyn and Bacon, 1978).14 Price, I., Matzdorf, F., Smith, L. and Agahi, H., “The Impactof Facil it ies on Student Choice of Universi ty,” Faci li t ies,Vol. 21, No. 10 (2003), pp. 212–222.15 Sohail, M. S. and Shaikh, N. M., “Quest for Excellence inBusiness Education: a Study of Student Impressions of ServiceQuality,” The International Journal of Educational Management,Vol. 18, No. 1 (2004), pp. 58–65.16 Koh, C. H. and Tan, T. M., “Empirical Investigation of theFactors Affect ing SET Results,” International Journal ofEducational Management, Vol. 11, No. 4 (1997), pp. 170–178.17 Coles, C., “Variabi l i ty of Student Ratings of AccountingTeach ing: Evidence from a Scott ish Business School ,”International Journal of Management Education, Vol. 2, No. 2(2002), pp. 30–39; Liaw, S. H. and Goh, K. L., “Evidence andControl of Biases in Student Evaluations of Teaching,” TheInternational Journal of Educational Management, Vol. 17,
Student Satisfaction as an Indicator of Macau Education Service Quality13448No. 1 (2003), pp. 34–43.18 Hill, Y., Lornas, L. and MacGregor, J., “Students’ Perceptionsof Qual i ty in Higher Education, ” Qual i ty Assurance inEducation, Vol. 11, No. 1 (2003), pp. 15–20.19 Banwet, D. K. and Datta, B. , “A Study of the Effect ofPerceived Lecture Quality on Post-lecture Intentions,” WorkStudy, Vol. 52, No. 5 (2003), pp. 234–243.20 Price, I., Matzdorf, F., Smith, L. amd Agahi, H., “The Impactof Facil it ies on Student Choice of Universi ty,” Faci li t ies,Vol. 21, No. 10 (2003), pp. 212–222.21 Smi th , S . P. and Kinney, D. P. , “Age and Teach ingPerformance,” Journal of Higher Education, Vol. 63, No. 3(1992), pp. 282–302; Langbein, L. I., “The Validity of StudentEvaluations of Teaching,” Political Science and Politics, IssueSeptember (1994), pp. 545–553.22 Clayson, D. E., “Students’ Evaluation of Teaching Effectiveness:Some Impl ica t ions o f Stab i l i ty , ” Journa l o f Market ingEducation, Vol. 21, No. 1 (1999), pp. 68–75.23 Galloway, L., “Quality Perceptions of Internal and ExternalCustomers: a Case Study in Educational Administration,” TheTQM Magazine, Vol. 10, No. 1 (1998), pp. 20–26.24 Sohail, M. S. and Shaikh, N. M., “Quest for Excellence inBusiness Education: a Study of Student Impressions of ServiceQuality,” The International Journal of Educational Management,Vol. 18, No. 1 (2004), pp. 58–65.25 Price, I., Matzdorf, F., Smith, L. and Agahi, H., “The Impactof Facil it ies on Student Choice of Universi ty,” Faci li t ies,Vol. 21, No. 10 (2003), pp. 212–222.26 Hill, Y., Lornas, L. and MacGregor, J., “Students’ Perceptionsof Qual i ty in Higher Education, ” Qual i ty Assurance inEducation, Vol. 11, No.1 (2003), pp. 15–20.27 Sohail, M. S. and Shaikh, N. M., “Quest for Excellence inBusiness Education: a Study of Student Impressions of ServiceQuality,” The International Journal of Educational Management,Vol. 18, No. 1 (2004), pp. 58–65.28 Rubin, R. B., “Ideal Traits and Terms of Address for Male andFemale College Professors,” Journal of Personality and SocialPsychology, Vol. 41, No. 5 (1981), pp. 966–974.29 Bennett, S. K., “Student Perceptions of and Expectations forMale and Female Instructors: Evidence Relating to the Questionof Gender Bias in Teaching Evaluation,” Journal of EducationalPsychology, Vol. 74, No. 2 (1982), pp. 170–179.30 Douglas, J., Douglas, A. and Barnes, B., “Measuring StudentSatisfact ion a t a UK Universi ty,” Qual i ty Assurance inEducation, Vol. 14, No. 3 (2006), pp. 251–267.31 Ibid.32 Ibid., p. 260.33 Dörnyei, Z., Teaching and Researching Motivation (Harlow:Longman, 2000).
13 5《澳門研究》第48期2008. 10一、引言近年，香港積極推行醫療融資的諮詢工作，這或多或少與香港人口老化問題有關，而根據一些統計資料顯示，醫療服務使用量最高的年齡群組是長者，因此，如何有效提升長者服務質素，便成為如何有效提升醫療服務質素及效率的一個重要課題。而一海之隔的澳門，政府與學者們都對澳門的未來醫療發展（特別是融資問題與及人口老化問題），表達出不同程度的關心，如2003年政府委託梁氏顧問公司，對澳門醫療體系（包括長期照顧服務）未來發展作出研究並發表了兩份報告；又如 2007/2008年委託香港老年學會及鏡湖醫院，替澳門老人服務（包括院舍服務及家居養老）長遠發展作出建議。同時也有不少本澳學者指出相關長者護理及醫療費用將會大幅上升，因而提出以社會保險為主的融資解決方案，或者建議政府直接增加這方面的資源投放。 1但是有些研究指出醫療開支主要成因不一定是老化問題，並指出當中主要原因是通常人們對醫療服務質素提升、以及越來越多先進科技應用於醫療服務上；還有普遍來說，以自然死亡個案來說，醫療開支最大的時間是臨終前幾年(Proxi mity to Death)，隨 人的壽命越來越長，因此不難理解從統計數字上，長者使用醫療服務最多。 2如何有效配合實際情況，而作出恰當的安排便成為近年醫療服務一大重要題目。可是現時對港、澳兩地對醫療費用上升提出的建議或解決方案，都只是 眼於醫療融資（Medic al Fi nancing），卻忽略了一個非常重要的領域──供應層面，例如資金的使用、分配和管理等方面。當然澳門本身的醫療體系亦存在 不少問題，例如長者診治輪候時間過長 3，老人院舍和醫院醫療資源錯配 4，獨居老人缺乏照顧等5。這些涉及醫療供應體系的資源分配制度的問題正正是醫療融資改革的另一重要領域，鑒於善用資源的重要性，本文將對現行制度進行剖析，和介紹外國在醫療供應體系改革的一些措施，冀能為澳門在醫療體系改革及其可持續發展方面提供一點參考。二、現時澳門長者服務及醫療財政支付制度投放在長者服務及醫療資源越多不一定會提升服務質素（例如近年英國政府大幅投放資源在全國醫療體系，可是不少經濟學者卻指出大部分新投放的資源是用於改善醫護人員的薪酬水平，實質服務質素未有顯著改善），相反資源分配不當不但會造成浪費，而且會影響服務的質素 6，而醫療財政支付制度是指醫療資金轉移給醫療供應者的一套機制，因此如何利用此機制去合理化、公平化醫療資源的分配同時又可保持醫療服務質素是醫療體系可持續發展的一個重要課題。目前，在澳門65歲以上的長者均享有免費醫療福利，而澳門為長者提供安老、長期照護服務等組織或社團都會根據服務名額、員工人數等得到政府不同程度的資助，惟這種資助方法缺乏公平性的考慮，方式只是逐漸演變而成的。 7另外，為澳門長者提供醫療服務的兩所醫院，部分經費來源都是來自從供應面看澳門長者服務發展區耀榮、陳健新、陳慧丹、齊 ** 歐耀榮為澳門大學政府與行政學系學士，陳健新為澳門大學政府與行政學系助理教授，陳慧丹為澳門大學政府與行政學系碩士生，齊銥為南加州大學社會工作學院講座教授
從供應面看澳門長者服務發展澳門研究13 6第48期政府的資助。8這種“實報實銷”的財政支付制度，並沒有因應醫療機構的狀況，而調整服務資助金額。其實這種財政支付制度可算是一種追溯性財政支付制度（R etros pect i v e Pay ment Sy s tem），即政府資助的金額都是根據醫療服務供應者過往所提供的服務數量（如病人的住院日數、領取的藥物等）為根據而作出計算的，因此醫療機構在財政方面有很大影響力，但是這種追溯性財政支付制度往往在醫療市場上帶來很多問題，亦是醫療開支迅速上升的重要原因。 9三、醫療市場訊息不對稱在市場上，交易雙方往往會擁有不對等產品或服務的訊息（例如產品性能、醫療訊息），這種訊息不對稱（Asy mmetr ic Infor mat ion）可能令訊息較少的一方蒙受不必要的成本上升，從而在醫療市場上產生很多問題。(一) 供應者誘發的需求(Supplier-induced Demand)主要表現在兩方面：第一，由於醫生和醫療專業人士比病人擁有更多的專業知識，基於病人對其專業的信任，他們往往能夠說服或影響病人接受服務之類型及其數量。而在追溯性支付制度下，服務數量與機構所獲得的資助有直接的聯繫，醫療機構難免會表現出急於牟利的衝動，於是醫療供應者會傾向提供更多額外或者不必要的服務給病人以謀求更高的收入，這種現象可稱為“供應者誘發的需求”10，因為此需求是由醫療供應者方面引發，但這情況下的需求增加只是由於訊息不對稱所產生的，並非因為醫療服務質素有所提高，故容易造成資源浪費的負面影響。除了訊息不對稱，在醫療不確定性（Medi c al U nc ertai nty）下，病人更不願意去自行判斷醫療服務的有效性，醫生建議的服務通常被接納，所以“供應者誘發的需求”比傳統的供求定律更有效地解釋醫療市場中病人與醫生的行為 。11第二，一旦供應層面的服務質素有所提升，即使這服務價格沒有任何改變，市民對這服務的需求也隨之而上升。醫療服務亦有相關情況發生，在競爭的環境下，醫療供應者必須提升服務質素以吸引病人惠顧，假如病人重視醫療質量而質量改變又沒有被價格化，就會出現“供應者誘發的需求”。12例如近年香港政府院舍服務需求大增，當中原因或者可能是私人院舍服務質素未有太大改善，相反政府資助院舍服務質素卻不斷提升。因此近年香港政府為了縮短“輪候時間”（一般約3年），除了增加政府資助院舍服務單位外，政府亦大幅改善相關替代服務，例如於2000年期間引入改善家居服務（Enhanc edHome and C ommunity Care Serv ic es），與及研究“錢跟人走”於長者服務的可行性（Vouc her Sy s tem）。(二) 刮脂行為（Cream Sk im ming Behav io r）“刮脂行為”是另一個常見的利用醫生和病人之間的訊息不對稱來“牟利”的例子，其意是指醫療機構常常傾向接收一些低風險或較健康的病人，因為他們的醫療成本較低，但是收費或者政府資助金額不變，“利潤”自然會較高，其結果是高風險的病人常被拒諸門外，失去接受醫療服務的權利。 13相似情況亦發生於香港長者服務，香港長者服務撥款機制是根據服務人數而得出，因此亦可算是一種追溯性財政支付制度，可是“體弱長者”對服務需求很難看成單一化，因此對一些服務對象以“體弱長者”為主的服務機構帶來不少限制及風險，例如改善家居服務，儘管根據改善家居服務合約，服務提供機構是不能拒絕接收合資格的長者，可是服務機構為了不會“虧本”，便可能減少提供更具針對性的服務，因而變相限制該服務發展空間；而另一個較特別的香港長者服務例子可能是“困縛”問題，其實香港私人院舍保持 一個不算光彩的紀錄，就是“被困縛”院友的百分比佔上全世界前列，其實這做法主因是減少院友因摔跌而導致身體功能缺損，甚至死亡，這或亦可看成私院藉此降低管理成本。(三) 道德風險（M oral Haz ard）所謂“道德風險”是指一旦人們有了保險，從而誘使其行為改變14，例如汽車保險會令車主的防盜意識降低。而在現時追溯性支付制度下，“道德風險”的問題亦會出現，因為當政府為醫療機構的開支全數“包底”時，各個醫療機構或組織就會在運作上忽略成本和效率等因素。亦有些香港學者指出可能有很多長者以買保險性質排隊，間接令政府資助院舍服務需求大增，同時亦令不少家庭及長者較少注意其他相關長者服務及訊息，從而可能令一些長者過早使用院舍服務（Pre-matur e Ins t itut ional iz at i on）。（四）第三者付款機制( T hi r d P ar ty Pa y m en t
13 7《澳門研究》第48期2008. 10Mechanism)“第三者付款機制”是指一種付款機制沒有直接涉及買方付款，最常見第三者付款就是保險機制，因此服務費用便會因缺乏“買賣相方議價”而急速上升。一些外國學者亦指出“第三者付款機制”是醫療成本上漲主要原因之一。15其實這問題亦不難理解，試從一些微觀經濟學看，所有“合理價格”必需經過買賣相方互相議價才可以達成一個較合理的價錢，相信有不少讀者都曾北上消費，以前差不多每一單交易都必需互相議價才能得出大家可以接受的價錢；而保險公司除了根據市場價錢來定出保金外，保險公司更重視這產品過去實際賠償經驗來定出保金，因此保險公司便不會好像買家般 力跟賣家進行議價。因此不難看出保險形式（包括社會保險），甚至由政府出資，會成為醫療費用急升主要原因之一。以上種種問題都會造成醫療資源錯配的情況，因而導致不同醫療服務機構因此在資源分配上受到不公平待遇，例如在澳門耆康中心比老人日間中心收到更多的政府資助、一般安老院舍比提供護理的安老院獲得更多資金 16，故有必要改善這種不公平和低效率的資源配置制度。四、香港的相關經驗在香港，為了抑制這類醫療開支的上升，政府在2001年對各個提供長者醫療服務的機構資助實行“一筆過撥款”模式，取代“實報實銷”制，即政府一次過撥發一年的所需的資金給機構，讓它們自負營虧。 17但這次改制並不能解決上述的問題，反而加速了醫療機構過度商業化的運作模式，為了保持或增加利潤，員工被機構調低薪金，士氣受損影響服務質素。18因此有些機構及學者指出過度商業化的運作最終亦會損害了低收入人士和弱勢社群接受醫療服務的權利，違背了公平原則，這次改制是造成去年社福界遊行的重要原因。歸根究底，這種財政支付制度都並非以病人為中心，雖然香港的“一筆過撥款”模式能緩和醫療開支上升，但在過度商業化的模式下，醫療機構的利潤比醫療質量更重要，病人的利益就成為了過度商業化的犧牲品。 19五、外國醫療財政制度的改革經驗為了抑制醫療成本上升，改善醫療資源分配的效率，美國早在20世紀80年代就進行醫療財政支付制度的改革，實行前瞻性財政支付制度（Pros pec t i vePay ment Sy s tem）取代過往的追溯性財政支付制度（Retr ospe ct i v e Pa yme nt Sy s tem）。20因為要改善不公平和低效率的資源分配制度，就必須把維持成本效益的責任由醫療服務支付者轉向服務供應者去承擔，亦即是要各醫療機構進行效率改革以減少因醫療市場訊息不對稱引致的資源浪費問題。而前瞻性財政支付制度是控制醫療成本上升和公平分配醫療資源的一個有效方法。顧名思義，這種支付制度是根據病人的病況預先計算各醫療機構所需的醫療資源，和追溯性制度不同的是前者的醫療資源是預先決定和固定的，而非根據過去已提供的服務數量計算。其重點是把財政風險的承擔由支付者（即政府）轉向各醫療供應者，以有限且預先決定的資源誘發醫療供應者去節省資源、發展更具成本效益的運作模式，例如減少不必要的服務、增加資源利用率等。 21另外，預先分配的醫療資源必須運用於有關病人的醫療服務上，目的是為了減少醫療機構為牟利自行把病人所需資源轉移去其他用途的行為。除了美國，其他先進國家如德國、日本等都相繼實行了前瞻性財政支付制度以達致一個更公平、更效率的醫療資源分配，同時減低訊息不對稱所引致的醫療成本上升。 22而香港聖公會亦沿用此方法去進行分類，以及分配相關院舍服務。六、建立病例組合訊息系統要有效實行前瞻性財政支付制度，各類病人所需的醫療資源的訊息顯得十分重要，因此必須建立一個完整的訊息系統，國際上慣常利用病人評估工具（Res ident Ass ess ment Ins t rument）去建立的病人資料庫，其作用是記錄病人的病歷資料和資源使用量及其他醫療訊息，進而把具有相似臨床特徵的病人分類到不同的病例組合（C ase Mix），以便在制定預算時可根據不同的病例組合制定其所需的醫療資源。 23國際上，常用的分類方法有資源利用組群（Res ourc eUt ilization Groups）、疾病診斷關聯群（Diagnos is-relatedG roups）等，例如資源利用組群是把具有相若資源使用量的病人歸納為一個組群，然後按照資源使用量
從供應面看澳門長者服務發展澳門研究13 8第48期分為不同程度的7個主要類目。而疾病診斷關聯群則按照病人的病徵分類。不同的醫療服務可根據需要採用不同的分類方法，而在老人醫療方面資源利用組群被廣泛使用。 24病例組合系統是進行“供應層面”改革的常用途徑，以病例組合為基礎的財政支付制度有助減少醫療供應者的“刮脂行為”，原因是醫療資源是根據不同的病例組合去計算、分配的。換言之，在臨床實證的基礎之下，醫療供應者很難單方面接收某類低成本的病人另一方面又可以得到較高醫療資助。相反，基於醫療資源與病例組合“掛 ”的前提下，新的財政支付制度有助鼓勵醫療機構建立以病人為中心的運作模式、及以不同類型病人的需要發展各種相應的服務。七、病例組合系統的應用人力資源分配（Staf f i ng）對醫療質素有很大的影響，人力資源錯配可能會導致醫療失誤或事故。重要的是，如何在不影響醫療質素的前提下，以較小的醫護人員達致較高的醫療效益，因此正確地分配人醫護人員去處理各類病人的需要是醫療機構的行政人員的重要挑戰。 25病例組合系統是其中一個可以系統地分配人手的方法，行政人員利用此系統先確認出病人的類別，然後可以按照與他們的病例確認其所需的醫護人員資歷、技術及病人與護士的比例，再按照機構其他因素如醫護人員數目、出勤狀況作出適當調整。26因此在現時人力資源短缺的情況下，病例組合系統對如何平衡醫療質量和人員分配方面具有重要的參考價值。而病例組合系統的另一個功能是標準化醫療服務產出（Output）及其有效性（O utc ome）的測量方法，因此其對醫療質量監測和醫療服務透明化方面的改革起了重要的推動作用。利用此系統相關人員能夠客觀地、系統地對各類病人的臨床特徵、資源使用量及有效性進行比較分析，訊息系統亦有助監察部門進行資源管理、資源分享、資料審查等活動，確保資源得到有效利用，是保證醫療質量、效率和服務透明化的重要工具，27同時亦是一項具資源監控的制度。八、結論現時不少先進國家都發現，長期照護服務（甚至整體醫療）融資制度本身就是造成醫療資源浪費、分配不公的主要原因，長遠來說會對醫療體系的發展產生負面影響，因此有必要做好資源的分配和管理。醫療服務是為市民大眾的實際需要而提供的，公平原則而非商業原則是首要的考慮。要兼顧公平和效率原則，就必須以病人為中心，在確保病人的利益及權利不受損害的前提下，建立有效率的醫療資源分配制度，使資源可以用得其所，這才是建立可持續發展的醫療融資制度的前提，甚至必需的條件。筆者建議政府引入前瞻性財政支付制度和病例組合系統，為進行醫療供應面改革、建立可持續發展的醫療體系打下基礎。註釋：1 鄧玉華：《澳門人口老化與社會保障》，載於《澳門研究》，第 21 期， 200 4 年，第 214 –221 頁；蕭瓊、余振：《澳門居民醫療費用結構研究》，載於《澳門研究》，第 37 期， 200 6年，第 10 4–11 4頁；賴偉良：《澳門的醫療保健融資模式淺析》，載於《澳門研究》，第 1 5 期， 200 2 年，第 67 –8 4 頁。2 Gra y, A., “Popu lat ion Age ing and H ealt h Ca re Expe ndit ure, ”Age ing Hor izon s, Vo l. 2 (2 005 ), p p. 15–20 ; Lun dsga ards, J.,Co nsumer Directio n a nd Cho ice in Lo ng-Term C are for Olde rPerson s, I nclud ing Pa ymen ts fo r I nf ormal C are: H ow ca n itH el p I mp ro ve C a re Ou t com e s, E mp lo ym en t a n d F is calSusta inab ility? (P ar is: OEC D H ealt h Worki ng Pape rs, 20 05) ;Boln ick, H . J. , “A Fram ewo rk for Lon g Te rm Act uar ia l pro jec-tion s of Heal th C are C osts: The Impo rt ance of Po pulat ion Ag -ing an d Oth er Fact ors, ”N ort h Ame r ican Act ua ri al Jo urn al,Vol. 8 , No. 4 (2 004 ), p p. 1–29 .3 梁慶庭、容永恩：《努力完善社會福利政策和長者服務》，載於澳門婦女聯合總會網站， h t t p : / / w w w .ma ca uw o me n. o rg. m o/ io n g/ d iscu ss/ p re2 0 05 81 7 .h t m；蕭瓊、余振：《澳門居民醫療費用結構研究》，載於《澳門研究》，第 3 7 期， 20 06 年，第 1 04 –114 頁。4 澳門社會工作局：《澳門特別行政區長者照顧供給體系研究》，載於澳門社會工作局網站， h tt p: // w ww .ia s.go v. mo/ we b2/ big 5/ re pt/ eld er- rept -200 4/i nde x.ht m；蕭瓊、余振：《澳門居民醫療費用結構研究》，載於《澳門研究》，第 37 期， 2 00 6 年，第 10 4–114 頁。5 《寒潮凍死 3 7 長者》，載於《澳門日報》， 2 00 8 年 2月 14 日，第 A1 版。6 Re inh ardt , U . E., “D oe s t he Ag ing of t he Po pul ati on R eal lyDr ive th e Dem and f or Hea lth C are?” He alt h Aff airs , Vol. 2 2,No . 6 (2 003 ), p p. 27 –3 9.7 澳門社會工作局：《澳門特別行政區長者照顧供給體系研究》，載於澳門社會工作局網站， h tt p: // w ww .ia s.gov. mo/ we b2/ big5 /rep t/ elde r- rep t-20 04/ ind ex.h tm 。8 賴偉良：《澳門的醫療保健融資模式淺析》，載於
13 9《澳門研究》第48期2008. 10《澳門研究》，第 15 期， 2 00 2 年，第 67 –84 頁。9 Kwon, S. , “Payment Syst em Reform for Health C are Providers inKo re a, ”H eal th P olicy and Plan nin g, Vo l. 1 8, No. 1 (20 03 ),pp. 84–92.1 0 Grytt en, J. and Sørensen, R. , “Typ e o f C ontract and Supplier -In duced De mand f or Primary Physicians in Norway,”Journal ofHe alth Economics , Vol. 20, No. 3 (2001 ), pp. 379–393.1 1 R ich ard son , J. R. an d Pea co ck, S. J ., “Su pp lie r - in du ce dD ema nd : R e co nsi de r ing th e Th eo ri es a nd N ew Au stra lia nEvide nce,”Ap plied He alth Econo mics and Hea lth Policy , Vol.5, No. 2 (20 06 ), p p. 87 –9 8.1 2 Feld man , R. a nd Slo an, F ., “C omp et itio n amo ng Physicia nsVisit ed, ”Journ al o f Hea lth Po litics, Policy and L aw, Vo l. 13,(Summ er 1 998 ), pp . 239 –2 61 .1 3 Et tne r , S. L. an d John so n, S. , “Do Adj uste d C linica l Grou psElimin ate I ncent ives f or H MOs to Avoid Sub st ance Abu sers?E vi de n ce f ro m t h e M a ryl a n d M e di ca i d H e a lt h -C h o ic eProgram ,”Journa l of Beha vio ra l Hea lth Se rvices & Resea rch,Vo l. 30, N o. 1 (200 3) , pp. 6 3–77 .1 4 R osen , H. S., Pu bli c F in ance (Se ven th Ed itio n) (Ne w Yo rk:McGraw -H ill Inc, 2 005 ) , p. 21 7.1 5 Berry, R. S., “Third -Par ty Payment is the Main Prob lem Facin gU .S . H ea lt h C are ,” H ea lt h C are Ne ws , 1 st Ja n ua ry, 2 00 8,al so in the H eartla nd Instit ut e w ebsite : htt p:/ /ww w. hear t land.org/ Ar ticle.cfm? ar tI d=22 532 ; L ie bow itz, S. , “Why H ealt h C areC osts To o Mu ch,” Cat o P olicy Analysis , No . 2 11 (1 994 ), a lsoin t he C ato I nsti tut e we bsit e: ht tp :// ww w. cat o.o rg/p ubs/ pa s/pa 211.h tml.1 6 同註 7 。1 7 香港社會福利署網站， ht tp :/ /w w w. swd .g ov. h k/ e n/ ind ex/site _ng o/p age _subve ntio ns/sub _mod esof su b/ 。1 8《香港社會工作者總工會意見書》，香港立法會 C B(2 )2 14 3 /0 6 -07 (0 5)號文件，載於香港立法會網站， h t tp : //w w w . le g co . g o v. h k/ y r0 6 -0 7 / ch in e se / p a n el s/ h s /p a p e rs/hsw s062 5cb2 -2 271 -3 -c. pd f ， 2 006 年。1 9 香港社會服務聯會：《長遠社會福利規劃研討會：業介面對的挑戰及回應》，載於香港社會服務聯會網站， h t t p: / / w ww . h kc ss. o rg .h k/ p ra / cb 4 _e ve n t s/ w el f ar e_pla nnin g/H KCSS-LWPF-Cha llenge s. ppt ， 2008 年。2 0 M aye s, R ., “Th e Or ig in s, De ve lo pm en t , an d Pas sag e ofM ed icare ’s R e volu t io na ry Pro spe cti ve P aym en t Syst em, ”Journal of the History of Medicine, Vol. 62, (2 007) , pp. 21–55.2 1 I bid .; Zh an g, M ., Boo th , B. M. an d Smit h, G. R. , “Se rvi cesUt ilization Befo re and After th e Prospective Payment Syst em byPatient s w ith Somatization D isorder ,”The Jou rnal of BehavioralHe alth Services & Re sea rch , Vol. 2 5 (1998) , pp . 76 –82 .2 2 Lu ngen, M. and L apsley, I. , “Th e Re form of Hospita l Fina ncin gin Ge rma ny: An In te rnat io na l Solu ti on ?” Jou rn al o f H ea lt hOrga ni za ti on a nd Man ag eme nt , Vo l. 1 7, No . 5 (2 00 3) , pp.36 0–372 ; I kega mi, N., F r ies, B. E., Takagi, Y. , Ikeda , S., an dI be , T. , “Ap pl yin g RU G I I I in Ja pa ne se L on g- Term C a reFacilitie s, ”Th e Geront ologist , Vol. 34 , No . 5 (1994 ), pp . 62 8–63 9.2 3 Mu ell er , C ., “A Fram ewo rk f or N urse St af fin g in L on g- te rmC are Fa cilitie s,”Ge ria tr ic Nursin g, Vol. 21 (200 0) , p p. 26 2–26 7.2 4 I bid.2 5 Dellefield, M. E., “Using the Resource Utilization Groups (RUG-III)Sy ste m as a St af fi ng To o l i n N u rsin g Ho me s, ” Ge r ia t r icN ursing, Vo l.27 , (2 006 ) , pp. 1 60–16 5.2 6 I bid.2 7 Mat su da, S., “Ca se mix as a Too l f or Transp are ncy of Me dicalSe rvi ce s,” The Jap an ese Jou rna l o f So ci al Secu r ity Poli cy ,Vo l. 6, No . 1 (200 7) , pp . 43–53 .
14 1《澳門研究》第48期2008. 10清晨及黃昏，不少田徑運動員和愛好運動的人士喜在“33彎”跑步，或在“健康徑”進行健身活動。滿山林木，遊人漫步於環山路上，可直接與大自然接觸，呼吸清新的空氣，對舒緩城巿空氣污染及巿民工作壓力起重要作用。(三) 調查與分類2006年11月及2007年2月，對松山植被進行了兩次調查。根據松山的自身特徵，加上長久以來，松山植被及植物組成未曾進行系統調查研究，因此調查方法採用踏地法，詳細調查及記錄松山的植物組成及植被結構，包括喬木、灌木、草本、藤本的種名，主要種的數量和蓋度（蓋度以百分比表示）。 2植物區系引用侯寬昭的描述歸類 3，植物分類及名錄製作、生活型統計，參閱文獻。 4三、結果與分析(一) 植被特徵松山的植被為南亞熱帶常綠闊葉林，由於松山屬都巿郊山，每日遊人不計其數，加上在 19世紀曾進行大規模的植樹工作，所以不存在原生植被，現有的植被以半人工的次生林為主。在遊人集中的位置，還種了不少園林植物，用作觀賞之用，早年種植的樹木，不少已成為古樹。1. 次生林植被類型以灌叢為主，物種豐富，從上到下可以分為灌木層、林下草本層，中間交錯有藤本層間植物。灌木層優勢種為假蘋婆（Sterc uli a lanc eolata）、白楸（M all otus pani c ul atus）、野漆（ Toxicodendrons uc cedanea）、石栗（Aleurites molucc ana）、銀柴（Aporosa di oi ca）、陰香（Ci nnamomum burmannii）、樟樹（Cinnamomum camphora）、假柿木薑子（Litseamonopetal a）、山蒲桃（Syz ygi um l evinei）、水翁(Cl eis tocalyx operculatus)、高山榕(Ficus altis sima)、粗葉榕（五指毛桃， Fic us hirta = Fi cus simplici ssimav ar. hi rta）、烏欖（Canarium tramdenum）、白欖（Canarium album）、假鷹爪（Des mos c hinensis）、雞柏紫藤（Elaeagnus l oureirii）、猴耳環（Archidendronc lypearia）、兩廣黃檀（Dalbergia benthamii）、梅葉冬青（I lex as prella）、九節（Ps ychotri a as iati ca）、山棕（Arenga tremula v ar. engleri）等；林下草本層高度一般在1米以下，除了一些小樹外，林下常見草本植物有淡竹葉（ Lophather um gr aci l e）、白花鬼針草（Bidensalba）、短葉黍（Panic um brev ifo lium）等；層間植物主要是藤本植物，常見有青江藤（Celastrus hindsii）、玉葉金花（M u s s a e nd a p u be s c en s）、肖菝（Heterosmil ax japonic a var. gaudichaudiana）、雞矢藤（Paederi a s c andens）、台灣葛（Pueraria tonki nensis）等；常見蕨類植物有半邊旗（Pteris semipinnata）、華南毛蕨（Cycl os orus parasit icus）等。次生群落中，優勢植物主要有山杜英、陰香、假蘋婆、九節、淡竹葉等。松山自然資訊站背面，有一小片生長良好的山杜英，平均樹高達7米，郁閉度達80–90%之間，這是松山惟一一處單一樹種生長如此密集的地方，應加以保護。2. 園林植物作為一個巿政公園，而且是澳門重要的旅遊景點，綠化部門為加強觀賞性，在松山的出入口、路旁、景觀台周邊、康體設施附近等位置，種了不少園林植物，主要有濕地松（Pinus ell iot ti i）、木棉（Bombax malabaricum）、鳳凰木（Deloni x regia）、欖仁樹（Terminalia catappa）、雞蛋花（Plumeria rubra var.acutifoli a）、軟枝黃蟬（Allamanda c athartic a）、長春花（Al lamanda c athar tic a）、基及樹（福建茶， Carmonamic rophylla）、變葉木（Codi aeum var i egatum）、花葉假連翹（D uranta repens cv . Vari egata）、朱槿（Hibis cus rosa-sinens is）等。(二) 植物區系地理特徵1. 植物區系的基本組成松山共有維管束植物 93科236屬 298種（表1）。其中蕨類植物 10科11屬13種；種子植物 83科225屬285種。其中含種數較多的科有大戟科(Euphorbiaceae)、菊科（Compositae）。含1屬 1種的科佔比例不算多，約佔 38% 。表1 松山維管束植物統計植物類群科 屬 種數量 百分比 數量 百分比 數量 百分比蕨類植物 10 10.75 11 4.66 13 4.36裸子植物 6 6.45 6 2.54 9 3.02被子植物 77 82.8 219 92.8 276 92. 62合計 93 100.00 236 100.00 298 100.00
澳門松山植被研究澳門研究14 2第48期2. 植物區系地理成分特徵松山植物區系地理成分以熱帶亞熱帶科（除去世界分佈）植物為主，該處的園林植物亦有此特性，與鄰近地區聯繫密切，缺乏特有種。其中含屬數 5個以上的科有大戟科(Euphorbiaceae)、菊科(Compos itae)、茜草科（Rubiaceae）、禾本科（Grami neae）、棕櫚科（Pal m a e）、夾竹桃科（Ap oc y na c ea e）、含羞草科（Mi m os ac e ae）、桃金娘科（My r ta ce ae）、百合科（Li l i a c ea e）、馬鞭草科（C ut l er i a c ea e）、芸香科（Rutaceae）、五加科（Araliaceae）、薔薇科（Rosaceae）、蝶形花科（Fabaceae）、天南星科（Araceae），佔總科數的16 .13%，多屬於熱帶亞熱帶分佈（表2）。表2 松山主要植物科屬統計科名 屬數 種數大戟科（E uphor b iac eae ） 14 20菊科（Com pos i tae ） 14 14茜草科（Rub iace ae） 10 12禾本科（Gr am ineae） 10 12棕櫚科（P alm ae） 8 9夾竹桃科（Apo cy nac eae） 8 9含羞草科（M im os ac eae） 6 9桃金娘科（My r tac eae ） 6 7百合科（L i l iac eae） 6 7馬鞭草科（Cut le r iac eae） 5 8芸香科（Rut ac eae） 5 7五加科（A r a l iac eae） 5 7薔薇科（Ros acea e） 5 5蝶形花科（Fab acea e） 5 5天南星科（A r ac eae） 5 5根據侯寬昭編著的《中國種子植物科屬詞典（第二版）》5 歸類，現有的主要屬（含3 種以上），以熱帶亞熱帶分佈類型佔優（表3）。總體來看，松山具有很強的熱帶亞熱帶性質，植物區系性質是廣東植物區系的一部分。(三) 植物特性分析澳門植物區系屬南亞熱帶性質，其區系組成和群落外貌結構具有從熱帶至南亞熱帶過渡的特點。是次調查的植物符合上述特徵，針葉植物較少，闊葉植物佔絕對優勢，數量超過90%；落葉植物較少，常綠植物佔大多數；另外，由於澳門冬天溫暖，一些在北方落葉的植物，在澳門呈半落葉狀態，這類植物在松山有 2 種（表 4）。表4 松山植物類型組成類別 常綠 落葉 半落葉 小計 百分比( %)喬木闊葉樹 106 4 1 111 50. 23針葉樹 6 0 0 6 2. 71灌木闊葉樹 74 2 1 77 34. 84針葉樹 1 0 0 1 0. 45藤本闊葉樹 26 0 0 26 11. 77針葉樹 0 0 0 0 0. 00合計 213 6 2 221 100.00澳門因位於南亞熱帶，冬無嚴寒，夏無暑熱，四季氣候溫暖，所以很適合植物生長。在這樣的氣候條件下，植物生長快速，花期也較長，一些植物甚至可以四季開花。松山四季都有植物開花，冬季（12–2月）最少，夏季（6–8月）最多，證明松山以中日照植物為主，其中又以5–6月開花最盛，此時正是澳門春末夏初，雨量充足氣候溫暖的時候，大葉合歡（A l b i z i al ebbec k）、石栗（Al euri tes mol uc c ana）、九里香（Mur ray a panic ul ata ）等植物的盛花，讓遊人不但有視覺的欣賞，還有嗅覺的享受，增添遊興。因為花期集中在夏季，所以結果期就以秋季（9–11月）最多，10月是高峰期，此時結果的植物有海果（C erbera manghas）、梔子（G ardenia j asmi noides）等。(四) 與澳門離島植物多樣性比較澳門地方細小，面積只有28.6平方公里6，松山內的植物均見於澳門其他區域，佔澳門現有維管束植物總科數的45.15%（表5 ），總屬數的 27.31%，總種數的19.79%，是澳門植物區系的重要組成部分，沒有特有種。表3 松山主要植物屬分佈類型屬名 種數 分佈類型榕屬（ Fic us） 9 熱帶、亞熱帶大戟屬（E uphor b ia） 4 亞熱帶、溫帶木槿屬（Hib isc us） 3 熱帶、亞熱帶木薑子屬（L i t s ea） 3 亞洲熱帶、亞熱帶山薑屬（A lp in ia ） 3 亞洲熱帶茄屬（So lanum） 3 熱帶、溫帶決明屬（Cas s ia） 3 熱帶、亞熱帶、溫帶金合歡屬（A c ac ia） 3 熱帶、亞熱帶鵝掌藤屬（S ch eff le r a） 3 熱帶、亞熱帶變葉木屬（Cod iaeum） 3馬來西亞、太平洋群島、澳洲北部
145482008. 101. The Concept of Dieting Becoming MoreConfirmedly in People’s MindDieting is seen as a normative behavior when womenreport dissatisfaction with their weight and body figure.1Nowadays, social message is so pervasive that thinnessbecomes an ideal image.2 Much evidence suggests that childrenlearn fatness is “bad” and thinness is “good” from their families,teachers, peers and the media.3People were feeling more dissatisfaction to their bodyimage and a stronger reliance on peer interactions as theidentity development, particularly among women and girls.4Paxton, Schutz, Wertheim and Muir reported that people regardedtheir body image and eating behavior of whole friendship clustersof teenage girls rather than of single individuals.5Stice, Shaw, and Nemeroff said that thinness was highlyvalued within our society, particularly among women, for whomthinness was often connected with attractiveness.6McCreary and Sadava concluded that gender andweight perception interacted significantly with perceptions ofattractiveness, and predicted the effect and direction: Men whoperceived overweight and thought them more attractivecompared to women who thought they were overweight. Bodyfat was the key problem of dieting, weight dissatisfaction, andeating concerns.7Recent data on adolescents’ thought weight was anappearance issue rather than health issue in health norms.8Thus, dieting was a common problem among normal-weightadolescents.9Evans, Gilpin, Farkas, Shenassa, and Pierce suggestedthat adolescents’ perceptions of health norms also indicatedthat weight was an appearance, rather than health, issue.10Psychological factors had also been found to be related tobody dissatisfaction and body-change strategies among girlsand boys.11 We explored the perfectionism, physicalattractiveness, conformity, body-esteem, and desire to date asthe factors in this study.1.1 Dieting behaviorsBrownell and Rodin explained that dieting encompassesmany different combinations of changes in food intake, physicalactivity, and lifestyle, the challenge is to specify particularpatterns that are harmful or helpful and dieting extends beyondbehavior to include cognitions.12 Wardle and colleagues, ina survey of the dieting literature, found that a lot of peopleonly had limited attention to their health, their attention wasmore on weight and satisfaction of others.13 Foster, Wadden,Vogt and Brewer found that people seek reductions in bodyweight rather than striving for “ideal” weight.14 People alsohad greater awareness of society ideals of slimness and hadmore family and friend who were trying to lose weight; theyalso defined a lower body mass index (BMI) as “fat”.15Wang, Houshyar, and Prinstein examined genderdifferences in body-related cognitions using only items commonto both gender. Girls reported significantly higher levels ofobesity cognition than boys, t(440) = -10.52, p < 0.0001 andboys reported greater levels of muscle or thinness cognitionsthan girls, t(440) = 3.42, p < 0.0001.16Why Macau People DietChan Cheng Nga, Lei Chi Hang, Ip Iok Kuan
Why Macau People Diet146481.2 DietingMyers said that conformity is being affected by howothers act. It is acting differently from the way you wouldact alone. Thus conformity is a change in behavior or beliefto accord with others.17 Gibbs and Levine, et al. found thatgirl’s weight-loss was affected by perceiving peer use andtalk about weight-management techniques.18 These findingcould suggest that girls selected friends whose attitudes andbehaviors similar their own and had a direct models for dietingbehavior from peer behaviors.19 Family studies have showedthat parents tried to affect their children’s eating habits20 andto encourage dieting21 .Paxton, Schutz, Wertheim and Muir collected data from523 girls (M age = 15.5) and used “the friends as sourceof influence scale” which was modified from “the magazinesas a source of influence scale” of Levine and et al.22 Itis consisted of five items in which participants were askedto do a 5-point scale how their friends influenced their ideasof the perfect body, the main diet product they used, exercisesto tone up, etc (Cronbach’s = 0.87). Paxton, Schutz, Wertheimand Muir analyzed the correlation that performed on friendshipgroups indicated that groups displaying higher correlation ofbody image concerned and weight-loss behaviors (a) reportedmore talking about weight loss and dieting with their friends,(b) reported comparing their bodies with others more often,(c) reported receiving more teasing from friends aboutweight and shape, (d) reported friends mainly influenced theirdecisions to diet, and (f) perceived their friends to be morepreoccupied with dieting and weight loss.23From the above literature review, we generate the firsthypothesis of this research. H(1): Conformity will be positivelycorrelated with motivation to diet.1.3 Desire to DateSome researchers found that dating was associated withgreater body dissatisfaction. Ironically, data suggest thatadolescents’ and women’s opinions about slimness andphysical attractiveness and may differ from definition of attractivein men.24 Fallon and Rozin found that men desire womenwho are thinner than what women currently weight and bodyfigure.25 Koff and Rierdan found that asking to name the “worstthing about being fat”, the most frequent response amongtheir sample of White sixth-grade girls was “feeling un-attractive”.26 Paxton and et al. also reported that adolescentgirls believed it was successful if they were attractive indating.27Halpern, Udry, Campbell and Suchindran found thatadolescents must mediate the weight and fat gains with theiropinions that slimness is an important factor in dating withboys and also found a girl with less fat is more likely tobe dating than a girl with more body fat.28From the above literature review, we generate the secondhypothesis of this research. H(2): The greater the desirepeople have on dating, the greater the motivation theyhave for dieting.1.4 PerfectionismPearson considered that perfectionism is setting a highstandard that is not necessarily.29 Blatt also concludedperfectionism has been conceptualized in many ways and itsets in an unrealistic standard that combined with relentlessself-criticism.30 Some research concluded that perfectionismwould be considered to association with the diet behavior.Blatt found that perfectionism is association with psychopathologysuch as depression, anxiety and eating disorders. In addition,Landa and Bybee concluded that eating disturbances were linkedwith perfectionism.31 The standards of perfectionism applied tothe body may punish the reparation for lapses and severediet restriction.In this study, we explored the relationship between thediet behavior and perfectionism and we suggest they havethe positive correlation. H(3): The more perfectionism thepeople are, the greater the motivation they have for dieting.1.5 Physical AttractivenessAccording to Wikipedia, “physical attractiveness” is definedas the perception of an individual as physically beautiful by otherpeople.32 Many psychologists studied the correlation betweenphysical attractiveness and health. Weeden and Sabini concludedthat physical attractiveness can virtually predict health,and health have a positively correlation with physicalattractiveness, and weight is a prime component of physicalattractiveness.33 McCreary and Sadava found that peopleperceive they are overweight, underweight, or normal weightinfluence them to perceive their physical attractiveness.34
147482008. 10On the contrary, they also found that women who wereunderweight perceived themselves to be significantly moreattractive. Thus, we suggested that they have a negativerelationship; people who perceive they are high level in physicalattractiveness will have a low diet behavior. H(4): The greaterthe desire people have on physical attractiveness, thegreater the motivation the have for dieting.1.6 Body EsteemBody-esteem is defined as a construction that includesan individual’s attitudes, evaluations, and feelings about thebody.35 Studies also found that overweight adolescents andobese adults are generally having low body-esteem.36Overweight girls reported that they were not satisfied withtheir weight and wanted to be slimmer.37 In addition, femalesgenerally have lower body-esteem than males do.38From the above literature review, we generate the fifthhypothesis of this research. H(5): The lower body esteempeople have, the more likely they diet.Figure 1 Relationship of the Variables2. Methods2.1 ParticipantsWe randomly selected 294 Macau residents (157 malesand 137 females) whose age range from 18 to 65 (M = 26.79,SD = 8.82) near the Avenida de Almeida Ribeiro. We asked731 people to fill up the questionnaire, 294 of them werewilling to full up the questionnaire and finished it, the respondentrate is 40%; 419 people (57%) refused to full out thequestionnaires. 18 (3%) people did not finish the questionnaire.2.2 MeasuresQuestionnaire administered to the participants including thedemographic information. All the participants completed thefollowing instruments:The Conformity Scale comprises 10 items (e.g.,“I worry about what people think of me”), and responsesare scored on a 5-point Likert scale (1 = “strongly disagree”to 5 = “strongly agree”). Higher score on this scale indicatesa higher level of conformity.The perfectionism Scale39 has 10 items (e.g., “I wanteverything to add up perfectly”). This scale use 5-point Likertscale (1 = “strongly agree” to 5 = “strong disagree”). Higherscore on this scale means that a higher level of perfectionism.The Physical Attractiveness Scale40 contains 10 items(e.g., “I like to show off my body”). The responses arescored on 5-point Likert scale (1 = “strongly agree” to 5= “strongly disagree”). Higher score on this scale indicatedthe people are more satisfied about their physical attractiveness.The Diet Behavior would measure by using theEating Attitudes Test41 . The EAT-26 is a 26-item questionnairedesigned to identify abnormal eating habits. The original factoranalysis showed three interrelated factors: Dieting behaviorscale, oral control, and bulimia nervosa-food preoccupation. Inthis research, we would only use the items of dieting behaviorscale: 1, 7, 10, 11, 12, 14, 16, 17, 22, 23, 24, and 25.(e.g., “I am terrified about being overweight”). The responsesare scored on 5-point Likert scale (1= “strongly disagree” to5 = “strongly disagree”). Higher score on this scale meansthe people had more motivation to diet.The Desire to Date Scale is created to measure thedesirable to diet for this study. It contains 10 items. We listed10 places and ask the participant to full out (e.g., a beach).This scale uses 5-point Likert (1= “Strongly dislike” to 5 =“strong like”). The reliability of this scale is 0.799. Higherscore on this scale indicates the people have higher desirableto date with opposite sex.The Body Esteem Scale42 has two parts: one isabout the body shapes and another part is about the bodyfunctions. In the body shapes part, it contains 5 items (e.g., “Legs”). The responses are scored on 5-point Likert Scale(1 = “strongly dissatisfied” to 5 = “strongly satisfied”). Higherscore on this scale means the people had more satisfactionof their body shape. In the body functions parts it contains5 items (e.g., “Reflexes”). The responses are scored on 5-
Why Macau People Diet14848point Likert Scale (1 = “strongly dissatisfied” to 5 = “stronglysatisfied”). Higher score on this scale means that people hadmore satisfaction of their body functions. High score on bothparts, indicate the people had high body esteem.2.3 ProcedureOver a period of several weeks, the questionnaireswere handed to 294 Macau residents near the Avenida deAlmeida Ribeiro. Participants were requested to complete thequestionnaires. At the cover page, we emphasized that allinformation must be kept confidentially. We analyzed the databy using the Statistical Package for the Social Sciences (SPSS).2.4 EthicalThe participants were treated ethically. At the beginning,the participants were told about the objective of this study,and let them know they could refuse to fill up the questionnaireor stop to fill up wherever they wanted. They were alsotold that their answers would be kept confidentially and wouldonly de used for data analysis.3. Result3.1 IntercorrelationsThe desire to date scale was newly created for thisstudy. Internal consistency for each of the measures rangedfrom = 0.16 to 0.88. The reliability of conformity scalewas lower ( = 0.16). All of the others scales have relativelyhigh values (0.62 0.88). Alpha and validity coefficientsfor the all variables were presented in Table 1.Of particular interest, desire to date was correlated withdiet behavior (r = 0.14, p < 0.05), as expected. This findingsupported H(2). Conformity was weakly correlated with dietbehavior (r = -0.11, p > 0.05). Perfectionism, physicalattractiveness and body esteem did not show strongly correlationwith diet behavior. However, BMI had a highly significantcorrelation with diet behavior (r = 0.19, p < 0.001). Genderalso had a highly significant negative correlation with diet behavior(r = -0.17, p < 0.005). Perfectionism, physical attractiveness,Table 1 Means, Standard Deviations and Correlations among the Variables (N = 294)V a r i a b l e s M e a n S D 1 2 3 4 5 6 7 8 9 1 0 1 1 1 2 1 3 1 41. D ie t i ng 2 . 6 4 0 . 7 4 ( 0 . 8 6 )2. Conformi ty 3 . 1 6 0 . 3 6 - 0 . 1 1 ( 0 . 1 6 )3. Per fec t ion ism 3 . 4 5 0 . 4 5 0 . 0 1 0 . 2 4 ( 0 . 6 2 )4. PhysicalAt t ract iveness2 . 9 8 0 . 5 6 0 . 0 6 0 . 0 5 0 . 1 8 ( 0 . 7 7 )5. Da t i ng 3 . 6 2 0 . 5 9 0 . 1 4 0 . 0 8 0 . 2 0 0 . 3 2 ( 0 . 8 0 )6. B o d y e s t e e m 3 . 3 4 0 . 7 4 - 0 . 0 6 - 0 . 0 8 0 . 2 1 0 . 5 0 0 . 2 6 ( 0 . 8 8 )7. G e n d e r a 0 . 5 3 0 . 5 - 0 . 1 7 - 0 . 0 6 - 0 . 0 4 0 . 1 7 - 0 . 0 3 0 . 3 4 —8. A g e 2 6 . 7 9 8 . 8 2 0 . 1 - 0 . 2 8 0 . 0 5 0 . 0 8 - 0 . 1 1 0 . 2 1 0 . 2 2 —9. M a r i t a l s t a t u s b 1 . 2 9 0 . 5 1 0 . 1 3 - 0 . 2 2 0 . 0 9 0 . 0 4 - 0 . 0 9 0 . 1 5 0 . 1 5 0 . 8 0 —1 0 . BMI 2 1 . 0 2 3 . 0 3 0 . 1 9 - 0 . 1 3 0 . 0 3 - 0 . 1 1 - 0 . 0 5 0 . 0 3 0 . 3 4 0 . 3 1 0 . 2 6 —1 1 . P r i va teCompanyc0 . 1 0 . 3 0 . 0 1 - 0 . 1 - 0 . 0 7 0 . 0 9 - 0 . 1 - 3 0 . 1 7 0 . 1 7 0 . 1 3 0 . 0 6 —1 2 . EmploymentLeve l d1 . 3 5 0 . 5 9 0 . 0 5 - 0 . 1 3 0 . 0 7 0 . 1 9 0 . 0 6 0 . 1 4 0 . 2 4 0 . 4 3 0 . 4 3 0 . 2 6 0 . 4 5 —1 3 . Employment e 1 . 2 9 0 . 7 7 0 . 1 8 - 0 . 1 3 0 0 . 2 1 0 . 1 5 0 . 2 9 0 . 2 3 0 . 2 5 0 . 2 0 0 . 1 - 0 . 1 0 . 1 6 —1 4 . I n c o m e f 2 . 2 5 1 . 2 9 0 . 2 1 - 0 . 2 3 0 . 0 5 0 . 3 1 0 . 1 6 0 . 3 6 0 . 3 3 0 . 4 9 0 . 4 3 0 . 2 5 0 . 2 6 0 . 6 3 0 . 5 4 —Notes: a Gender: 0 = Female; 1 = Maleb Marital Status: 1 = Single; 2 = Married; 3 = Separated; 4 = Divorced; 5 = Widowedc Private Company: 0 = No; 1 = Owning a private companyd Employment Level: 1 = Basic; 2 = Middle Manager; 3 = Upper Managere Employment: 0 = Unemployed; 1 = Part time; 2 = Full timef Income: 1 = 0-4999; 2 = 5000-9999; 3 = 10,000-19,999; 4 = 15,000- 19,999; 5 = 20,000-24,999; 6 = 25,000 or aboveReliability are in parentheses ( ) along diagonal. p < 0.05; p < 0.01; p < 0.0005; p < 0.0001
149482008. 10desire to date and body esteem had significant correlationswith each others.3.2 ANOVAs Analyses of BMIAccording to the BMI categories, the BMI scores canbe separated into four groups, smaller than 18.5 as theunderweight, between 18.5 to 24.9 as the normal weight, 25to 29.9 as the overweight and large than 30 as the obesity.In the result, the range of the BMI scores among 14.71 to24.97. Thus, there are three groups in this study, underweight,normal weight and overweight. The ANOVAs was used tocomparing means scores among the three groups for BMI.The difference between groups was highly significant (F =5.9, P < 0.005). The results are shown in Table 2. Themultiple comparisons used to compare the means differencesamong groups for BMI, the results shown that the mean differencebetween Group 3 (overweight) and Group 1 (underweight) islarge and significant. These results are presented in Table 3.Table 2 ANOVAs Comparing Means Scores AmongGroup for BMIVariable Sum of Squares df Mean Square FBetween Groups 6.257 2 3.13 5.90Within Groups 153.195 289 0.53Total 159.453 291Notes: The scores for the variable ranged from 1 (<18.5); 2 (18.5-24.9);3 (>24.9).p < 0.005Table 3 The Means Difference between the ThreeGroups of BMI (N = 294)Group 1 Group 2 Group 3(N = 59) (N = 211) (N = 21)Group 1 17.17a- -0.24c -0.60*d(N = 59) (.92)Group 2 21.42(N = 211) (1.75)0.24 b - -0.36 dGroup 3 27.29(N = 21) (3.16)0.60 b 0 .36c -Notes: a The mean score (Standard deviations are in parentheses)b, c, d Multiple comparing means differences among groups for BMI.Group 1 = BMI < 18.5; Group 2 = 18.5 < BMI < 24.9; Group 3 =BMI > 25.3.3 Regression analysesThe diet behavior performed using a series of stepwisemultiple regression analyses that explain the contribution ofeach variable of the diet behavior scores. The results areshown in Table 4.Table 4 Results of a Stepwise Multiple Regressionusing the Dieting as the Criterion, and using theScales and Demographics as Predictors (N = 294)Criterion/ Predictors Beta t-value R 2 R2 F dfDieting .18 10.28 6,231Conformity -0.09 -1.44Perfectionism -0.05 -0.85Physical attractiveness 0.19 2.72 0.01Body-esteem -0.15 -2.10 0.01Desire to date 0.07 1.11BMI 0.33 4.90 0.04Gender -0.35 -5.09 0.07Employment 0.04 0.57Employment level -0.18 -2.35 0.01Income 0.33 3.93 0.04Age -0.02 -0.28Marital Status -0.01 -0.16Private company 0.03 0.42Notes: For numerical coding used with the demographic variables, please referto the notes of Table 1.p < 0.05; p < 0.01; p < 0.005; p < 0.001Thus results of the regression analyses indicated that indieting, physical attractiveness, body esteem combined withBMI, gender, employment level and income to be a strongpredictors (final F = 10.28, P < 0.001 ). Thus, physicalattractiveness and body esteem as the predictors of dieting,this finding supported H(4) and H(5).4. DiscussionThese result supported that physical attractiveness, body-esteem and desire to date could prove the relevant hypothesis.All of these are relative with appearance and indicated withhigh correlated with each others. Koff and Rierdan found thatwhen people were asked people to name the “worst thingabout being fat”, the most frequent response was “feelingunattractive”.43 Additionally, social norms form a standard thatthinness as an ideal image and mass media promote thinnessas a good impression. Nowadays, people focus more on theirappearance, especially female, they like to compare their physicalappearance with others and perceive their own body-esteem,
Why Macau People Diet15048thus they are willing to take some actions (i.e. do exercises,take pills) to make them become more attractive, that mightensure a successful dating and help them to keep a profoundimpression. On the other hand, desire to date is not significantin regression table because it compares with the strong predictors:physical attractiveness, body-esteem. That means peopleemphasize on physical attractiveness and body esteem ratherthan dating.The result indicated perfectionism and conformity are lowcorrelated and weaker to predict dieting behaviors so that thehypotheses of conformity and perfectionism are not stronglysupported. Slof, Mazzeo and Bulik found that thinness wasassociated with lower body dissatisfaction, drive for thinness,and lower levels of perfectionism.44 In the research, the meanof BMI is 21 that mean many respondents’ weight is normal.So, the findings do not indicate underweight and overweightperson’s perfectionism levels and the correlation of perfectionismand dieting behaviors is not significant. The conformity anddieting behaviors are negative correlated that rejected withH(1). People may be unsure the meaning of conformity anddifficult to recall whether they are conformity. Because of thisreason, people perfect to choose neutral. In the result, themean of conformity is 3.16, so the correlation is not verysignificant and the reliability is low (0.16).In demographic aspect, gender has a high correlation withdieting behavior, in the regression it is also significant andstronger to predict. McCreary and Sadava conducted a researchthat men are more likely than women to perceive themselvesas underweight, whereas normal-weight women are more likelythan men to perceive themselves as overweight.45 McCabeand Ricciardelli showed that males were more likely to focuson changing muscles and respondents with highly BMIs weremore likely to focus on losing weight but not muscles.46 Thus,female are more likely to diet than male. According to Table2 and 3, three groups mean of BMI is quite different andshow that people who are high score in BMI have moremotivation to diet than the lower score. Mendelson and Whiteconducted a research that self-esteem and body-esteem werecorrelated with weight and the latter was the best predictorto weight and overweight people had lower body-esteem thannormal weight people did.47 Physical attractiveness and body-esteem are highly correlation in the result, lower body-esteempeople will accompany with lower physical attractiveness, sothe higher score of BMI the people are, the lower body esteemand physical attractiveness the people are.In this study we also found that some unexpected thing,for example, the income has a high correlation with dietingand significant in regression (t = 3.93, p < 0.001). In general,people can pay the cost of dieting such as buying dietingpills, so income can predict the dieting behaviors. Thus, thevariables about appearance are more powerful to affect thediet behavior.In addition, some limitations are shown in this study.Firstly, because of the eating attitudes and the figure of thebody (i.e. compare with the western people, the body figureof eastern people is smaller) are quite different between westernand eastern countries so that the BMI of Macau people islower. Thus, the result has deviation. Moreover, there aresome item statements are not very clear, for example, inthe conformity scale, the statement about “I do as others do”.People may not know what truly things include that “I doas others do” such as buy magazines, or in the dieting scale,a statement “I avoid foods with sugar in them”. People maynot know what the foods with high sugar level are; it mayaffect the scale’s reliability and the result. In addition, whentalking about the dieting, people may think of physical appearanceeasily such as physical attractiveness, it makes the resultnot surprising. Secondly, this research is more likely to focuson psychological factors rather than demographical factors, sosome demographical factors are unexpected to affect the dietingbehaviors which are stronger predicted by demographical factorssuch as employment level. Thirdly, people tend to choosea desirable answer, for example, people may have dietingbehavior but they do not want to talk about that, in thequestionnaire, they may report their weight is lighter than theiractual weight.Notes:1 Fallon, A. E. and Rozin, P., “Sex Differences in Perceptionsof Desirable Body Shape,” Journal of Abnormal Psychology,Vol. 94 (1985), pp. 102–105.2 Edlund, D., Halvalsson, K. and Sjoden, P., “Eating Behaviors
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D., “Normative Development Challenges andDieting and Eating Disturbances in Middle School Girls,”International Journal of Eating Disorders, Vol. 15 (1994),pp. 11–20.23 Paxton, S. J., Schutz, H. K., Wertheim, E. H. and Muir, S. L.,“Fr iendship Cl ique and Peer Inf luence on Body ImageConcerns, Dietary Restraint, Extreme Weight-loss Behaviorsand Binge Eating in Adolescent Girls,” Journal of AbnormalPsychology, Vol. 108, No.2 (1999), pp. 255–266.24 Halpern, C. T., Udry, J. R., Campbell, B. and Suchindran, C.,“Effects of Body Fat on Weight Concerns, Dating, and SexualActivity: A Longitudinal Analysis of Black and White AdolescentGirls,” Developmental Psychology , Vol. 35, No. 3 (1999),pp. 721–736.25 Fallon, A. E. and Rozin, P., “Sex Differences in Perceptionsof Desirable Body Shape,” Journal of Abnormal Psychology,Vol. 94 (1985), pp. 102–105.26 Koff, E. and Rierdan, J., “Perceptions of Weight and Attitudestoward Eating in Early Adolescent Girls,” Journal of AdolescentHealth, Vol. 12 (1991), pp. 307–312; Halpern, C. T., Udry, J.R., Campbell, B. and Suchindran, C., “Effects of Body Fat onWeight Concerns, Dating, and Sexual Activity: A LongitudinalAnalysis of Black and White Adolescent Girls,” DevelopmentalPsychology, Vol. 35, No. 3 (1999), pp. 721–736.27 Paxton, S. J., Wertheim, E. H., Gibbons, K., Szmukler, G. I.,Hill ier, L. and Petrovich, J. L., “Body Image Satisfaction,Dieting Beliefs, and Weight Behaviors in Adolescent Girls andBoys,” Journal of Youth Adolescence, Vol. 20 (1991), pp. 361–379.28 Halpern, C. T., Udry, J. R., Campbell, B. and Suchindran, C.,“Effects of Body Fat on Weight Concerns, Dating, and SexualActivity: A Longitudinal Analysis of Black and White AdolescentGirls,” Developmental Psychology , Vol. 35, No. 3 (1999),pp. 721–736.29 Pearson, C. A., “Examining the Relat ionship BetweenPerfectionism, Self-Esteem, Body Satisfaction, and BulimicBehav ior, ” Master thes is o f Psychology, Texas A&MUniversity, 2003, pp. 1–54.30 Blatt, S. J., “The Destructiveness of Perfectionism Implicationsfor the Treatment of Depression,” American Psychologist, Vol. 50,No. 12 (1995), pp. 1003–1020.31 Landa, C. E. and Bybee, J. A., “Adaptive Elements of Aging:Self-Image Discrepancy, Perfectionism, and Eating Problems,”Journal of Developmental Psychology, Vol. 43, No. 1 (2007),pp. 83–93.32 “Physical Attractiveness,” in the Wikipedia Website, http://en.wikipedia.org/wiki/Physical_attractiveness, 18th April, 2007.33 Weeden, J. and Sabini, J., “Physical Attractiveness and Healthin Western Societies: A Review,” Psychological Bulletin,Vol. 131, No. 5 (2005), pp. 635–653.34 McCreary, D. R. and Sadava, S. W., “Gender Differences inRelationship among Perceived Attractiveness, Life Satisfaction,and Healthy in Adults as a Function of Body Mass Index andPerceived Weight,” Psychology of Men and Masculinity, Vol. 2,No. 2 (2001), pp. 108–116.35 Fisher, S. and Cleveland, S. E., Body Image and Personality(New York: Dover, 1968), cited in Mendelson, B. K. and White,D. R., “Development of Self-body-esteem in OverweightYoungsters,” Journal of Developmental Psychology, Vol. 21,No.1 (1985), pp. 90–96.36 Stunkard, A. and Mendelson, M., “Obesity and the Body-image: I. Characteristics of Disturbances in the Body Image ofSome Obese Persons,” American Journal of Psychiatry, Vol.123 (1967), pp. 1296-1300; Allon, N., “Self-Perceptions of theStigma of Overweight in Relationship to Weight-losing Patterns,”American Journal of Clinical Nutrition, Vol. 32 (1979), pp. 470–480.37 Dwyer, J. R., Feldman, J. J., Seltzer, C. C. and Mayer, J.,“Body Image in Adolescents: Attitudes toward Weight andPerception of Appearances,” Journal of Nutrition Education,Vol. 1 (1969), pp. 14–19; Gray, H., “Social Aspects of BodyImage: Perception of Normalcy of Weight and Affect of CollegeUndergraduates,” Perceptual and Motor Skills, Vol. 45 (1977),pp. 1035–1040; cited in Mendelson, B. K. and White, D. 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L., “Further Evidence of theReliability and Validity of the Body Esteem Scale,” Journal ofClinical Psychology, Vol. 50 (1994), pp. 237–239.43 Koff, E. and Rierdan, J., “Perceptions of Weight and Attitudestoward Eating in Early Adolescent Girls,” Journal of AdolescentHealth, Vol. 12 (1991), pp. 307–312.44 Slof, R., Mazzeo, S. and Bulik, C. M., “Characteristics ofWomen with Persistent Thinness,” Obesity Research, Vol. 11
153482008. 10(2003), pp. 971–977.45 McCreary, D. R. and Sadava, S. W., “Gender Differences inRelationship among Perceived Attractiveness, Life Satisfaction,and Healthy in Adults as a Function of Body Mass Index andPerceived Weight,” Psychology of Men and Masculinity, Vol. 2,No. 2 (2001), pp. 108–116.46 McCabe, M. P. and Riccriardelli, L. A., “Body Image andStrategies to Lose Weight and Increase Muscle among Boysand Girls,” Health Psychology, Vol. 22, No. 1 (2003), pp. 39–46.47 Mendelson, B. K. and White, D. R., “Development of Self-body-esteem in Overweight Youngsters,” Journal of DevelopmentalPsychology, Vol. 21, No.1 (1985), pp. 90–96.
15 9《澳門研究》第48期2008. 10一、前言澳門世界遺產保存了澳門400多年中西文化交流的歷史精髓，是澳門為中國文化以至世界文化留存的一份珍貴遺產。如果把世界遺產旅遊資源看作一種商品，那麼它就是一種特殊的商品──無價格商品。它通常只收取極低的門票或不收門票，而作為一種特殊福利發放給民眾，如果僅以世界遺產旅遊景區管理的收益作為世界遺產資源的遊憩價值，就大大低估了其遊憩價值 1。本文試圖利用旅行費用法對澳門世界遺產的遊憩價值做出科學、合理地核算，這可以為澳門世界遺產的保護、管理和規劃提供科學的依據。澳門位於廣東省的珠江口西岸，面積28.6 平方公里，人口約51萬，有 獨特的文化氛圍及相應的人文景觀。2 005年7月15日，“澳門歷史城區”被聯合國科教文組織第29屆世界遺產委員會列入《世界遺產名錄》，成為中國第31處世界遺產。澳門歷史城區，以澳門舊城區為核心，通過相鄰的廣場和街道連為一體，包括 25處古建築，是中國境內現存年代最遠、規模最大、保存最完整和最集中的中西建築相互輝映的歷史城區。其中包括人們熟知的媽閣廟、議事亭前地、大炮台、東望洋炮台等多處歷史建築。二、旅行費用法原理和步驟旅行費用法（ TC M）是評估公共物品最早的技術，它常被用來評價那些沒有市場價格的自然景點或遊憩環境的遊憩價值。旅行費用法的原則是，儘管自然景觀可能不收門票費或門票費用極低，但是旅遊者為了遊覽（或者說使用或消費這類環境商品或服務），卻需要付出費用。旅遊者為此而付出的代價可以看作是對這些商品或服務所獲得的消費者剩餘之和。 2 TC M有兩種基本模型：分區旅行費用法（ Zonal Tr ave l Cos t Method, Z TC M）和個體旅行費用模型（ Indi vi dual Tr ave l Co st M ethod, IT CM）。Z T CM的主要特點在於將旅遊目的地的遊客按照他們所在的地域來分組，這些地理區域的特徵以及遊客旅遊行為的平均狀況被用於測算需求函數。 3本文考慮澳門世界遺產客源市場特點等因素，應用ZT CM對其旅遊資源的遊憩價值進行評估。T CM基本步驟為：4原始資料的獲取：首先劃分出發區，然後進行遊客取樣。計算旅遊率，估算旅行費用。統計回歸：TCM首先要構建旅遊者對某一景點（公共物品）的需求函數，此需求函數是指環境物品價格與購買數量之間的經驗關係 5，即︰Q =f(P) (1)式（1）中Q指每年每人的旅行次數，P是旅行花費，如果引入其他社會經濟變數，就會得到下式：Q = 1tc + 2 M+ 3z (2)其中 代表所需估計的參數， tc代表旅行所需花費，M表示年均收入而 z則代表其他一系列的社會經濟變數。繪製需求曲線：圖1代表了一種線性關係的需求曲線，其中A部分代表消費者剩餘，B部分代表所澳門世界遺產的遊憩價值評估馬若為、陳錫僑、李金平、王志石 ** 馬若為為香港大學環境工程系博士生，陳錫橋為澳門大學科技學院教授，李金平為澳門大學科技學院博士，王志石為澳門大學科技學院教授及科技研究中心主任
澳門世界遺產的遊憩價值評估澳門研究16 0第48期需的旅行花費。計算總的消費者剩餘：需求曲線下的面積就代表 總的消費者剩餘。即：CS ( i)= f (P)dP (3)式（3）中P(o)是某一旅行的現有價格，P為價格，CS為消費者剩餘（C ons umer s urpl us ）。總旅遊價值的估算: 旅遊資源的遊憩價值包括消費者支出和消費者剩餘兩個部分，即：總遊憩價值=消費者支出 +消費者剩餘 =（旅行費用+時間花費）+消費者剩餘。圖1 旅遊需求曲線二、澳門世界遺產的遊憩價值評估(一) 調查的基本情況筆者協同調查員於2007年春節期間到澳門世界遺產進行了為期10天的實地考察，走訪了澳門歷史城區，採用隨機抽樣的方法，對來澳門世界遺產旅遊的遊客進行了問卷調查。而為了保證調查結果的可靠性，在之前即進行了小範圍的試驗式調查工作。隨機調查1300人，回收 1300份問卷，其中有效調查問卷為1214份，有效率93%。由於遊客樣本是採用隨機抽樣的方式得到的，故有的省份遊客樣本為零。澳門世界遺產遊客主要來源於廣東省；性別構成中以女性居多，佔到57%；年齡構成中主要以中、青年為主，少兒和老年人口比重偏低；文化程度比較高，主要是大專、本科及以上；職業主要以公司職員，管理人員及經理，學生及專業技術人員為主；月收入在1001–5000元的佔46%。遊客在出行前瞭解澳門世界遺產的途徑主要以現代宣傳媒體為主。旅行目的主要是旅遊觀光和休閒度假。旅遊方式以散客為主，佔75%。遊客在澳門的平均旅遊時間為49.5小時，平均消費為1748.3元。(二) 中國大陸遊客總遊憩利用價值1. 消費者剩餘的計算根據澳門特別行政區政府統計暨普查局的統計資料，澳門2006年的中國大陸總旅遊人次為11,985.6千人次，計算各旅遊小區到澳門世界遺產的旅遊人次為：出發地抽樣人數/抽樣人數× 2006年澳門旅遊人次=出發地抽樣人數 /1214×11985600。各區到澳門世界遺產的旅遊率=各旅遊小區到澳門世界遺產的旅遊人次/2006年末各區的人口總數。最後算得到 2006年澳門中國遊客的總旅行費用為 20,954,560.72千元，詳見表1 。本文用 SPSS 軟體分析了各區旅遊率與各出發地區總人口數、年均工資、旅行費用的相關關係及相關程度，得出旅遊率與年均收入，旅行費用和旅行時間，相關性良好。根據表1中的資料，綜合各因數對旅遊率的影響，建立一個旅遊出發地旅遊率（Y）與其對應的工資水平（X 1），旅行費用（X 2），總人口數（X3）和旅行時間（X4）因變數之間的模型，求得旅遊率與這幾個因數的多元回歸方程，如式（4.1）所示。Y= -0.0 27+2.73× 10 -6X 1-4 .7×10-6X 2+ 5.37×10-11X 3+0.000207X4 (4.1)R=0.847 R 2=0.717 t 1=6.713 t 2= - 1.629 t 3= 0.812t 4= 1.580進一步擬合旅遊率與旅行費用的一元線性方程，回歸結果如下：Y=0.025- 5.9×10 -6X (4.2)其中R=0.376，F= 4.434，P=0.045。將每個出發區的Y旅遊率及X旅行費用帶入方程Y=a-5.9×10 -6X，求出每一個出發區的a值，帶入得到一元線性方程，這樣就得到各出發小區的需求函數（表 1），根據各自需求函數，可以推導出不同出發小區在追加旅行費用從零不斷增加時，對應旅遊總人次的變化，這樣就得到追加旅行費用和對應旅遊總人次的一個資料組（表 2）。旅行次數旅行費用PABQQ=f (tc, M,z)P(0 )8
16 3《澳門研究》第48期2008. 10的資料來估算全年的總價值還是有一定的誤差的。在劃分小區的時候，城鎮人口、居民可支配收入、單位成本時間價值等等按照整個省市自治區的平均值來計算，就會比實際的要高，這樣在估算總價值的時候造成了不可避免的誤差。澳門歷史城區的保護開發，從整體上來看是成功的，澳門特別行政區2006年用於澳門文物修復和保護的費用是1億5000萬，佔澳門GD P的0.16%，並且推行了2006澳門世界遺產年等一系列活動對澳門世界遺產進行推廣和宣傳。在問卷調查中，有 82.4%的遊客贊成政府立法保護歷史文化遺產，制定相關的保護法律可以更好的實現澳門世界遺產旅遊資源的可持續發展；調查結果顯示，很多澳門本地居民對澳門歷史城區缺乏認識，建議有關政府部門能夠更好地普及推廣澳門歷史城區的全民保護，只有全民參與才能確保澳門歷史城區保護的生命力和持久性。註釋：1 黎潔：《旅遊資源的資產化管理與旅遊業環境經濟政策研究──兼與敖榮軍等同志商榷》，載於《旅遊學刊》，第 1 7 卷，第 2 期， 20 02 年，第 3 5–3 8 頁。2 馬中：《環境與資源經濟學概論》，北京：高等教育出版社， 1 99 6 年，第 22–2 4 頁。3 經濟合作與發展組織編，施涵、陳松譯：《環境專案和政策的經濟評價指南》，北京：中國環境科學出版社， 19 96 年，第 9 8–10 2 頁。4 Bedat e, A., Herrero, L . C. and Sa nz, J. A., “Eco nomic Valuat io nof th e Cultural Her it age: Application to Four Case Studies,”SpainJourn al of Cultural Her it age, Vol. 5, Issu e 1 (2004), pp. 101–111.5 Free man, A. M., Measurement of Environ mental and ResourceVa lues: Theo ry an d Me thods (Washingto n D .C.: Re so urces forthe Future, 2003) .6 艾運盛等：《武夷山國家風景名勝區遊憩效益的評價》，載於《北京林業大學學報》，第 18 卷，第 3期，19 96 年，第 89 –97 頁。
19 1《澳門研究》第48期2008. 10史和漢學史上，外國人把研究中國的學問稱為“漢學”，研究中國學問的造詣深厚的學者稱為“漢學家”。因此，我認為，我們不必要標新立異，根據西方大部分漢學家的習慣看法，“Sinol ogy”發展到如今，這一歷史已久的學術概念有 最廣闊的內涵，絕不是甚麼“漢族文化之學”，更不是甚麼漢代獨有的“漢學”，它涵蓋中國的一切學問，既有以儒釋道為核心的傳統文化，也包含“敦煌學”、“滿學”、“西夏學”、“突厥學”以及“藏學”和“蒙古學”等領域。但是一直以來人們對漢學的理解和解釋相左，因此便有了“中國學”、“海外漢學”、“海外中國學”、“域外漢學”、“國際漢學”、“世界漢學”等不同的叫法；如果咬文嚼字，推演下來，一定還會有“國內漢學”、“國內中國學”，甚至“北京漢學”、“河南漢學”等。由於漢學的發展、演進，以法國為首的“傳統漢學”和以美國為首的“現代漢學”，到了20世紀中葉之後，研究內容、理念和方法，已經形成相互相容並包狀態，就是說Sinol ogy可以準確地包涵Chi nes e Studi es的內容和理念；從歷史上看，儘管Sinol ogy和Chi nese Studies所負載的傳統和內容有所不同，但現在卻可以互為表達同一個學術概念了。話再說回來，對於這樣一個負載 深刻而豐富的歷史內涵的學術“功能變數名稱”，我以為還是Sinol ogy最好，因為，Sinol ogy 不僅承繼了漢學的傳統，而且也容納了Chinese Studies較為廣闊的內容。另外，中國人對中國文化的研究應該稱為國學，而外國學者研究中國文化的那種學問則稱為漢學。這樣，漢學既符合中國文化的學術規範，又符合國際上的歷史認同與學術發展實際。漢學的歷史是中國文化與異質文化交流的歷史，是外國學者閱讀、認識、理解、研究、詮釋中國文明的結晶。漢學作為外國人認識中國及其文化的橋樑，是中國文化和外國文化撞擊後派生出來的學問，實際上也是中國文化另一種形式的自然延伸。但是，漢學不是純粹的中國文化，它與中國文化有密不可分的血緣關係，既是中外文化的混血兒，又是可以照見“中國文化”的鏡子，是可以攻玉的“他山之石”。“‘Si nology’是一門在國際文化中涉及雙邊或多邊文化關係的近代邊緣性的學術，它以‘中國文化’作為研究的‘客體’，以研究者各自的‘本土文化語境’作為觀察‘客體’的基點，在‘跨文化’的層面上各自表述其研究的結果，它具有‘泛比較文化研究’的性質。”2以上兩種表述雖有不同，但學理一致，基本可以釐清我們對於 Sinol ogy（漢學）的基本學術定位。法國漢學家馬伯樂（Henri Mas pero）說過：“中國是歐洲以外僅有的這樣的一個國家：自遠古起，其古老的本土文化傳統一直流傳至今。”法國哲學家弗朗索瓦‧於連（F rançoi s Ju ll ie n）也說：“中國文明是在與歐洲沒有實際的借鑒或影響關係之下獨自發展的、時間最長的文明……中國是從外部審視我們的思想──由此使之脫離傳統成見的理想形象。”3他在《為甚麼我們西方人研究哲學不能繞過中國》中提出：“我們選擇出發，也就是選擇離開，以創造遠景思維的空間。人們這樣穿越中國也是為了更好地閱讀希臘。”為了獲得一個“外在的視點”，他才從遙遠的視點出發，並借此視點去“解放”自己。這便是一個未曾斷流、在世界上僅存的幾種古老文化之一的中國文明的意義。中國文明是一道奔流不息的活水，活水流出去，以自己生命的光輝影響世界；流出的“活水”吸納異國文化的智慧之後，形成既有中國文化的因數，又有外國文化思維的一種文化，這就是“漢學”。當然，漢學其本質是外國文化，但是，漢學是以中國文化為原料，經過另一種文化精神的智慧加工而形成的一種文化。從某種意義上說，漢學既是外國化了的中國文化，又是中國化了的外國文化；抑或說是一種亦中亦西、不中不西有 獨立個性的文化。漢學作為一門獨立的具有跨文化性質的學科，是外國文化對中國文化借鑒的結果。漢學對外國人來說是他們的“中學”，對中國人來說又是西學，但它的思想和理論體系仍屬“西學”。漢學研究系指對外國漢學家及其對中國文化研究成果的再研究，是中國學者對外國學者研究中國文化的回饋，也是對外國文化借鑒的一個方面。凡是對歷史或異質文化進行研究，都有一個價值判斷和公正褒貶的問題。因此，對於外國漢學家對於我們中國文化的研究，必得有我們自己的判斷，然後做出公正的褒貶。我們說漢學是可以攻玉的“他山之石”，但是這句箴言並非只是適用於中國人，對外國人也是一樣。漢學也像外國的本體文化一樣，對我們來說有借鑒作用，對西方來說有啟迪作用──西
漢學歷史和學術形態澳門研究19 2第48期方學者以漢學為媒介來瞭解中國，汲取中國文化的精華，完善自己的文明。人類由於文化背景差異和文化語境的不同、思維方向和方式也會不同，因而就會得出不同的結論，講出不同的道理。“西方學者接受近現代科學方法的訓練，又由於他們置身局外，在廬山以外看廬山，有些問題國內學者司空見慣，習而不察，外國學者往往探驪得珠。如語言學、民俗學、考古學、人類學、社會學諸多領域，時時迸發出耀眼的火花。”4漢學的學術價值往往不被國人重視，並利用漢學家對於中國文化的一些誤讀貶低漢學的價值。其實，這並不公平，有些漢學家對於中國文化確實有其獨到的見解，能發中國人未發之音。法國漢學家馬伯樂（Henri Maspero, 1883–1945）對中國上古文化和上古宗教的研究就有獨到的貢獻，被稱對中國宗教研究有“先河”之功。他研究中國宗教的宗教社會學的方法，促進和推動了中國學者採用宗教社會學來研究中國宗教，被稱為“中國宗教社會學研究的真正創始人”。瑞典漢學家高本漢（Bernh ard Karl gren, 1889–19 78），他終生的最高成就是根據研究古代韻書、韻圖和現代漢語方言、日朝越諸語言中漢語借詞譯音構擬漢語中古音和根據中古音及《詩經》用韻、諧聲字構擬古音，寫出了著名的學術專著《中國音韻學研究》、《漢語中古音與古音概要》、《古漢語字典重訂本》、《中日漢字形聲論》、《論漢語》、《詩經註釋》、《書經註釋》和《漢朝以前文獻中的假借字》等，他對漢語音韻訓詁的研究是不少中國學者所不及的，並深刻影響了對於中國音韻訓詁的研究。20世紀著名的日本學者津田左右吉關於中國文化的研究著述甚豐，他認為中國文化是一種“人事本位文化”，其核心是“帝王文化”，其他認識上儘管有偏頗，但也有其獨異性和深刻之處。這就是“他山之石”的意義和價值。當然，不可否認，漢學家對於中國文化的誤讀或歪曲也是常見的，諸如瑞典考古學家安特生（JohnGu nnar Anderss on）於1921年10月對河南仰紹文化遺址發掘之後,便說中國彩陶製作技術源於西方，並在他的《甘肅考古記》和《黃土兒女》著作中反覆強調他的這一錯誤觀點。這一觀點亦成為“西方文化東移造成中國文化之說”提供了說辭。日本學者石田干之助也推波助瀾，閉門造車地推測出西方文化東漸的路線；甚至連我們的國學大師章太炎、劉師培也被“忽悠”得認可了“中國文化西來說”。 5美國現代漢學（中國學）的奠基人費正清，他對中國歷史尤其近代史的研究獨具風格，為美國人民認識中國搭建了一座橋樑；但他在研究上所謂“衝擊─回應”模式，卻近乎荒謬，認為是西方給中國帶來了文明，是西方的侵略拯救了中國。綜上所述，對於漢學成果的研究，只有冷靜、公正、客觀、全面，才能在沙中淘得真金，擁抱“他山之石”。在中國，漢學的接受與命運，誠實地說，在 20世紀8 0年代初期之前，本質上是無視它的學術價值，更沒人把它看作是中國文化的延伸。此外，由於民族心理上的歷史“障礙”，我們還曾視漢學為洪水猛獸，甚至覺得它是仇視中國、侮辱中國的一個境外的文化“孽種”。這種“觀點”，雖嫌偏頗，但也不是空穴來風。因為自 19世紀“鴉片戰爭”前後，直至20世紀40年代，偌大的中國曾經慘遭蹂躪，整個歷史寫滿了炮火壓迫和宗教懷柔，其間也不乏為列強殖民政策服務的傳教士、“旅行家”和“學者”深入中國腹地，以旅行、探險、考古之名而實行搜集社會情報、盜竊和騙取中國大批文物。人類思想的飛翔，是受社會和歷史禁錮的，山高水遠的阻隔也使得人類互相尋找的歲月特別漫長。交流是人類文化選擇的自然形態，漢學就發生在這種物質交流和文化交流之中。西元前後，中國人被稱為賽里斯（Ser es），中國叫賽里加（Ser ic e），這是陸路交往關於中國最初的文化，時間較早；另一種叫法，把中國人稱為秦尼（Sinai），中國叫秦（Sin ），這是海路交往關於中國的文化，時間較晚。由商人輸往西方的中國絲綢絹繪是當時帝王貴族傾慕的奢侈珍品，Ser es和Ser ice二字系由阿勒泰語所轉化，是希臘羅馬稱謂中國絹繪的Ser ik on、 Seri cum 二字簡化而來。西方人當時稱中國為“秦”（Sin），稱中國人為“秦尼”（Si nai），則是源於秦朝。 6人類在互相尋找的初級階段，中國和西方試探性的商業交往還很原始，那時的人類，不同的國家、民族和族群處於相對落後和封閉的狀態，人類各個角落的不同文化還處於相對不自覺或是相對蒙昧的歷史時期。在人類最早的溝通中，中國人走在最前邊。西元前139年，張騫奉漢武帝之命，越過蔥嶺，親歷大宛、康居、大月氏、大夏、烏孫、安息等
漢學歷史和學術形態澳門研究19 4第48期撞。作為文獻，這些遊記、日記、札記、通信和報告，有讚美，有誤讀，也有批評，但因為其中包含大量中國物質文化及政治、經濟、歷史、地理、宗教、科舉等多方面的文化記載，而成為漢學的重要組成部分，在學術史上有重要價值。漢學的發生、發展與經濟、政治、交通以及信息分不開。有學者把漢學的歷史分為“萌芽”、“初創”、“成熟”、“發展”、“繁榮”幾個時期，也有的分為“遊記漢學時期”、“傳教士漢學時期”和“專業漢學時期”三個階段。但從傳統的觀點來看，漢學的真正形成是在明末興起的“西學東漸”和“中學西傳”的互動之中。從16世紀到18–19世紀，在數以千計的散佈在中國各地的傳教士中，有不少人成為名載史冊的漢學先驅，他們為漢學的發展做出了重大貢獻。自 1540年羅耀拉（S. Ignat ins de Loy ol a）、聖方濟各‧沙勿略（F ranc is co Xav ier）等人來華，開始了以意大利、西班牙傳教士為主的第一時期的耶穌會的傳教活動。接 ，意大利的范禮安（Al ex andre Val igani）、羅明堅（Mi ch el Ruggi er i）等著名傳教士來華。1583年，即明朝萬曆十一年，羅明堅將利瑪竇神甫（Mat teo Ric c i）帶到中國，從此耶穌會士在中國的宗教活動無論是對於西方或是東方，都開始了一個新的歷史時期。西班牙的胡安‧岡薩雷斯‧德‧門多薩（J uan G onz ãlez de Mend oza ）的《中華大帝國史》於1588年問世，這部世界漢學史上的第一部漢學著作，名副其實地對中國的政治、歷史、地理、文字、教育、科學、軍事、礦產、物產、衣食住行、風俗習慣等做了百科全書式的介紹，具有相當的學術價值，以7種文字印行，風靡歐洲。以利瑪竇為核心的耶穌會士的歷史意義在於他們開始了對中國文化的全面“開墾”，不僅著書立說，還把《四書》等中國文化經典譯成西文，不僅開西學東漸之先河，也為推動中學西傳、使中國文化對西方科學與哲學產生重要影響，因此這位思想家當仁不讓地被視為西方漢學的鼻祖。與其先後到達中國的著名的傳教士，都著書立說、傳播中國文化，對推動西學東漸和中學西傳做出了貢獻。在世界漢學史上，除了以上提及的，還有許多漢學家的名字照耀 我們，諸如曾德照、柏應理、衛匡國、殷鐸澤、南懷仁、湯若望、龍華民、金尼閣、羅如望、熊三拔、李明、張誠、白晉、馬若瑟、宋君榮、錢德明、翟理斯、安特生、雷慕沙、儒蓮、德理文、安東尼‧巴贊、蒙田、馮秉正、尼‧雅‧比丘林、巴拉第‧卡法羅夫、瓦西里耶夫、沙畹、伯希和、馬伯樂、葛蘭言、斯文赫定、馬禮遜、斯坦因、理雅各、翟里斯、李約瑟、韋利、霍克斯、衛禮賢、福蘭閣、孔拉迪、高本漢、衛三畏、費正清、戴密微、石泰安、謝和耐、歐文和東方日本、朝鮮半島的富有建樹的漢學家等，以及當今散佈在各國的漢學家，他們對中國文化的獨特理解，鑄造成漢學史上的思想學術之碑，開墾了漢學成長的沃土。“西方的漢學是由法國人創立的。”但是，在歐洲全面研究中國文明的問題上，“法國的先驅是葡萄牙、西班牙和意大利。”7戴密微把以上三個國家比譽為漢學的先鋒，“他們於16世紀末葉，為法國的漢學家開闢了道路，而法國的漢學家稍後又在漢學中取代了他們”，真正建立起作為學術的漢學傳統。就傳統漢學而言，法國是漢學家最多的國家之一，有許多漢學界的學術巨擘，不斷為漢學的崇高而添磚加瓦。中外文化交流的結果不僅意味 中國文化“外化”的傳播，也意味 異質文化對中國文化“內化”的接受。漢學家作為中外文化交流的橋樑和使者，在異質文化的交流中，也是人類和諧與進步的推手。漢學誕生在與異質文化碰撞、交流和相互浸淫之中。這個結果無異於一枚果子的成熟，只有“風調雨順”才生長好。和諧、寬容、理解與尊重，是異質文化彼此借鑒的保證。作為文化形態的漢學，其成長和生存離不開良好的國際語境。就中國而言，歷史上凡是開放的時代，文化交流多，漢學就發展；反之，漢學就停滯，這似乎成為一種規律。作為學術公器的漢學，文化上有其自己的成長過程。漢學是發展的，這一植根於中國文化土壤，生存於異國他鄉的文化，同樣深受不同時代語境的極大影響。這裏所說的語境，既包括中國的歷史演變，也包括異國和世界的歷史變化。就是說，不同的歷史時期，不同的社會、政治、經濟、文化背景，在很大程度上左右 漢學的發展方向和內容；換句話說，漢學的形成和發展，不僅受制於中國歷史的更迭，也受制於他者社會的變化。這就是以歷史
19 5《澳門研究》第48期2008. 10悠久的中國文化為研究對象的漢學發展的基本軌跡。漢學作為一種學術形態，總體上可以分為“傳統漢學”和“現代漢學”。傳統漢學以法國為中心，而現代漢學興顯於美國，20世紀中期以來，在西方其他國家葆有傳統漢學的同時，現代漢學也很繁榮。隨 中國與世界政治關係的變化，隨於中國文化與世界文化交流的拓展，現代漢學在世界有了顯著的發展。雖然20世紀的後50多年，中國文化與世界各國文化接觸開始多了起來，但整體而言， 1949年後約有 30多年是一個相對“閉關鎖國”的時期。公正地講，這道意識形態的“長城”也並非就是中國的政策，是那時期以美國為首的國家所奉行的“帝國主義”政策在政治、經濟、軍事、文化上對中國全面封鎖的結果。這個時期的“漢學”塗滿了政治色彩，以法國為代表的漢學較多地保持 傳統漢學的學術精神，而美國的“中國學”卻成了充滿政治意識的現代漢學的代表。美國的“中國學”所關心的不是中國文化，更不是中國的傳統文化，而是中國的政治、經濟、軍事、教育和社會生活各個層面的問題。這種政治特徵，是那個時期美國漢學的基礎，這一特徵也影響了其他國家漢學的研究方向和內容。由於中國與世界的隔離，由於西方與中國少有交流，因此漢學家不瞭解中國最新的文化進展（比如新的考古發現），致使漢學處於斷炊或“無米之炊”的狀態，沒有中國文化的支持，西方漢學要想取得研究上的突破也很困難。陌生感和神秘感困擾於漢學家，這不僅是文化的尷尬，也是漢學家的難堪。人類文化分為物質文化和觀念文化。物質文化表現在衣食住行生活方面，是一種看得見摸得 又極易變化的“具象”文化，即如飲食、服飾、住房、音樂、舞蹈等等；觀念文化是一個民族的核心，表現在人的價值觀、道德觀、家庭觀、宗教觀等諸多方面，以及關於自由、平等、民主的理解，觀念文化是一個民族的思維經過高度抽象後形成的思想、觀念和精神，它通過文化靈魂──哲學、文學、語言、宗教、歷史等來表達。 8觀念文化，一併進入外國漢學家的研究視野，他們的研究也就進入了對中國文化核心的深層研究。漢學家從對中國物質文化到觀念文化的研究，其領域越來越廣越來越深。現在，漢學不僅包括對中國的哲學、文學、宗教、歷史領域的研究，還包括社會學、政治學和自然科學。 Sin olog y（漢學）和Chi nese Studies（中國學），它們已經發展到可以“異名共體”的地步。時至今日，傳統漢學和現代漢學這兩種漢學形態不僅同時存在於、共榮 ，而且還互相浸透 。19世紀末至20世紀初，美國漢學悄然嬗變為中國學，並以自己獨有的個性特點和極強的生命力出現在世人面前。美國漢學始自 1 8 3 0 年東方學會（Am eri can Or iental Soc i ety）的建立，這個學會雖然代表了歐洲那種對東方學問的興趣，但這個學會“從一開始就有一種與眾不同的使命感”──“為美國國家利益服務，為美國對東方的擴張政策服務”。9這個特點也與“美國海外傳教工作理事會”向中國派出基督教傳教士的宗旨相一致。可見，美國漢學一開始就和美國的國際戰略和對華政策聯繫在一起。衛三畏（Samuel Wel ls Wi ll iam s）1848 年出版的百科全書式的《中國總論：中華帝國的地理、政府、教育、社會、生活、藝術、宗教及其居民觀》就帶有較為濃厚的社會科學特點，與歐洲具有人文科學特徵的漢學頗有差異，但它依然屬於Sinology的範疇。美國從南北戰爭後的統一中走向強大，加入強國之列。八國聯軍對中國的侵略行徑，是他們聯合的第一次嘗試。從那時起，擔承 相當“政治”角色的傳教士進入中國。真正美國式“漢學”──中國學，就從那時開始，而奠基人和開拓者是之後的費正清（J ohn Ki ng F air bank）。作為美國首席中國問題專家的費正清，他的中國學研究不僅影響了美國，也對其他國家的漢學研究或中國學研究都有強烈的影響。在西方，費正清的魅力在於，沒有誰能像他那樣以更清晰、更富於洞察力的筆觸來表述中國。“在使美國人瞭解中國，瞭解中國的傳統、中國紛擾不安的近代史，以及中國神秘莫測的現狀等方面，誰的貢獻也沒有像他那樣大。”費正清等一批知名的美國中國學家都參與過戰時情報工作，在戰後作為美國政府的智囊而直接為制定對華政策服務。費正清的研究雖然充滿了實用和功利色彩，立場和觀點也有偏見，但這並不妨礙他在歷史上作為一個貢獻
漢學歷史和學術形態澳門研究19 6第48期巨大的漢學家和中國人民的朋友的光輝。美國學者從事研究的根本出發點是“使命感”、“學術個性”和“反唯理智論傾向”，“蔑視學問，更為強調實用性知識”，“更為明顯地同自己以外的社會，即政治家、實業家及其實踐家始終保持緊密的聯繫”。10這就是美國中國學家的基本心態，他們講究功利和實用，不理會學術上的理智傾向，這與法國漢學家的學術心態、學術個性與學術傳統幾乎大相徑庭。傳統漢學（Si no l ogy）和現代漢學（Ch i nes eStudi es）的差異在於前者是以文獻研究和古典研究為中心，它們包括哲學、宗教、歷史、文學、語言等；而以美國為中心的現代漢學（中國學）則以現實為中心，以實用為原則，其興趣根本不在那些負載古典文化資源的“古典文獻”，而重視正在演進、發展 的信息資源。但是，漢學發展到 21世紀，其研究內容和方式已經出現了融通這兩種形態的特點。這種狀況既出現在歐洲的漢學世界，也出現在美國的中國學研究之中，可以說世界各國漢學家的研究中，都兼有以上兩種漢學形態。漢學（Sinol ogy）對中國研究者來說，被塵封得太久，所以它的空白很多，浩如煙海的資源還有待於深入開掘。這種開掘，不僅可以收穫漢學，還可以無意中發現被歷史“放逐”和“遺失”在異國他鄉的中國文化。編撰《列國漢學史書系》的目的和宗旨，不僅是為了梳理已有的漢學資源，在世界範圍內尋蹤中國文化的外傳歷史狀況、經驗及影響，同時探究漢學的產生、成長、發展與繁榮，還要盡可釐清這塊“他山之石”對於中國文化的作用。當然，《列國漢學史書系》還企望對推動中國文化與世界文化的交流有所裨益。《列國漢學史書系》作為一個文化工程，其撰寫的難度非一般學術著作所能比擬。嚴紹璗教授談到Sinol ogy的研究者的學識素養時提出四個“必須”：必須具有本國的文化素養（尤其是相關的歷史、哲學素養）； 必須具有特定對象國的文化素養（同樣包括歷史、哲學素養）， 必須具有關於文化史學的基本學理素養（特別是關於“文化本體”理論的修養）， 必須具有兩種以上語文的素養（很好的中文素養和對象國的語文素養）。這幾點確實都是漢學研究者必須具備的文化和語文素養，否則很難進入漢學研究的學術境界。漢學作為一種與中國文化水乳交融的鮮活而又不斷發展的近親文化，其歷史就是中國文化傳播和在異國他鄉生長的歷史。但是，它的歷史存在和文化形態，長期被我們自覺或不自覺地塵封在歷史塵埃之中，讓歲月任意銷蝕我們的記憶。漢學資源浩如煙海，這需要有人以臥薪嚐膽堅忍不拔的精神去開掘被埋藏在遺忘或漠視之下的文化寶藏。寫作“列國漢學史”艱難，而出版可謂難上加難。1995年曾經“落實”的出版經費，因故而告吹。人間的事好像天上的雲地上的風，飄忽不定沒有根，鐵板釘釘是沒有的，因為釘子可以用“權力”拔出來，一切承諾和協議，都可以化為烏有。雖然《列國漢學史書系》的生長不斷受到寒風的襲擊，但它終沒有自斃於搖籃之中，冬天之後是春天，接 便是收穫的季節。雖然這套書系不會走進一般讀者的視野，但是以第一手資料撰寫的這套書系，其學術價值和社會價值是顯而易見的，它將對中外文化交流和漢學的發展及其比較研究產生深遠影響。說到這裏，“書系”編輯委員會同仁和作者，要感謝學苑出版社所給與的支持，尤其要感謝社長兼總編輯孟白先生和不久前病逝的青年編輯家郭強先生，由於他們慧眼識金，才使這一書系得以面世。有人認為“漢學史中國人寫不了！”當然這是一個很奇怪的“立論”。日本人石田幹之助寫了《歐人的中國研究》（193 2），莫東寅寫了《漢學發達史》（194 9），接下來又有嚴紹璗的《日本中國學史》（ 1991）、張國剛的《德國的漢學研究》（1 994）、張靜河的《瑞典漢學史》（ 1995）、何寅、許光華主編的《國外漢學史》（2 002）、劉正的《圖說漢學史》（ 2005）和李慶的《日本漢學史》（ 2005）相繼面世。在人類的文化長廊裏，無論是中國還是外國，各種史書琳琅滿目，這其中有外國人寫中國的各類歷史，也有中國人寫外國的各類歷史。歷史，是往事，是記錄，是選擇，並有相對獨立的評論和褒貶。但是，事實上任何一部歷史都不是最後的歷史，歷史隨 時光的流逝而演進，修史很難一步到位，它需要一代代學者“積跬步”才能“至千里”，只有“積土成山，積水成淵”，方能“風雨興”、“蛟龍生”。學問之事非一夕之功，非得有前赴後繼者敢於赴湯蹈火“流血犧牲”，才會達至光明頂峰。這個書系充滿了追求精神、治學精神、理解精神
