ContentsInformation TechnologyA Tutorial Review of MAC Protocols for IEEE 802.11b/n/ad ………………… Li FENG, Jianqing LI (1)Improvement of the Blurred Length Estimation on Restoration of Motion Blurred Images ……………………………………………………………………………… Keng-hoi CHEONG (9)Adaptive Optimal Morphological Filter to Remove Impulse Noise in Images ……………………………………………………………………………………… Xiaoping LU (14)Management and TourismA Study on the Impact of Financial Planning of Pension Fund on the Income Replacement Ratio …………………………………………………………………………………… Shun-Ho CHU (19)A Review of the Effect of Personality and Work Context on Context Performance ………………………………………………………………………………Erdan MA, Xi YANG (29)China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008 …………………………………………………………………………………… Shiyong ZHAO (37)An Exploration of Museum Shops in Macau ……………………………………… Ying-Chuan WANG (52)A study of the impact of China’s real estate related policy on H share stock price ……………………………………………………………… Iat Pio WU, Yu SONG, Fanglei YI (61)A Foreign Literature Review on Film-induced Tourism ……………… Juan TANG, Shangmei GAO (69)The Attitude of Local Residence to Medical Tourism Development: A Research Based on Stakeholder Theory …………………………………………… Yang ZHANG, Guoqing HUANG, Mingjie JI (78)Humanities and ArtsLost between Documentary and Fabrication: Focusing on Li-Ang’s Ecriture Feminine in Novels Autobiography Fiction and Wandering Journey ……………………………… Baofeng XIAO (89)LawPresent situation of Malicious Prosecution in China and corresponding regulations suggestion ………………………………………………………………………………………… Yu HUAI (96)On the Related-party Guarantee of Parent and Subsidiary Corporations …………… Yunqiao SHEN (104)
1第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 A Tutorial Review of MAC Protocols for IEEE 802.11b/n/adLi FENG1,2, Jianqing LI1*(1.Faculty of Information Technology, Macau University of Science and Technology, Macao, China) (2.Department of General Studies, Macau University of Science and Technology, Macao, China)Abstractt: WLAN standard IEEE 802.11n that was just ratified in 2009 can achieve higher than 100 Mbps throughput, and Gigabit WLAN standard IEEE 802.11ad that is under development targets greater than 1 Gbps throughput. Both of them significantly increase the throughput of the legacy WLAN standard IEEE 802.11b, but they adopt different amendments in physical layer and MAC layer. This paper compares the differences among the IEEE 802.11b/n/ad, presents the different improvements on the physical layer and specifically highlights different enhancements in MAC layer of 802.11n/ad. ey wordst: MAC protocols; IEEE 802.11b/n/adIEEE 802.11b/n/ad MAC協議綜述馮 麗1，2，李建慶1*（1.澳門科技大學資訊科技學院，澳門；2.澳門科技大學通識教育部，澳門）摘要： 2009年已經正式批准的無線局域網標準IEEE 802.11n 將吞吐量提高到每秒100兆比特，正在制定的千兆比特無線局域網標準IEEE 802.11ad將吞吐量提高到每秒至少1吉比特。雖然這兩種新的標準都是在傳統的無線局域網標準IEEE 802.11b的基礎上，為了大幅度提高吞吐量而進行的改進，但是它們采用了不同的物理層和MAC層技術。這篇文章主要比較了IEEE 802.11 b/n/ad三個標準，介紹了IEEE 802.11n 和ad兩個標準在物理層上的不同改進方法，特別是，重點討論了這兩個標準在MAC層上不同的增強技術。關鍵詞： MAC protocols; IEEE 802.11b/n/adReceived 11 Apr. 2011; Revised 11 May 2011.Project: Science and Technology Development Fund, Macao SAR under Grant No. 016/2010/A.Corresponding author: Jianqing LI, Male, Associate professor of Macau University of Science and Technology, his research interests are computer network architecture, network protocol, network security, ITS and so on. E-mail:jqli@must.edu.mo, Tel: (853)88972194. 0 IntroductionNowadays, wireless local area networks (WLANs) based on IEEE 802.11 standard[1] (such as 802.11b) has been widely deployed in hot spots (such as airport lounges or coffee shops), home, and enterprise segments across the globe. In the meanwhile, the WLAN technologies are experiencing significant and exciting progress. For example, while IEEE 802.11n standard[2], aiming to achieve higher than 100 Mbps throughput, was ratified in 2009, the Gigabit WLAN standard IEEE 802.11ad that targets greater than 1 Gbps throughput is on its way.The force driving the rapid development of WLANS is the users’ demand. When the WLAN
2system based on IEEE 802.11b provides much convenience to access Internet freely, users are facing a throughput limit of about 3 Mbps and expecting higher throughput and quality of services (QoS). While people enjoy high-throughput applications such as high-definition television (HDTV), video teleconferencing, multimedia streaming, voice over IP (VoIP), file transfer, and online gaming, they are expecting that WLANs are able to provide multi-Gbps high performance services such as uncompressed HDTV streaming, wireless display, fast synchronization of large files, and wireless docking.Meeting the increasing requirement of users requires innovative technologies in the physical (PHY) layer. For example, IEEE 802.11n adopts the multiple-input and multiple-output (MIMO) technique and the channel bonding technique. The MIMO technique uses multiple antennas at both the transmitter and receiver to offer significant increases in data throughput and link range without additional bandwidth or transmit power. The channel bonding bonds two adjacent 20MHz channels together to form a single 40MHz channel. This will double the bandwidth that is available today, thereby doubling the data rates can be achieved. On the other hand, IEEE 802.11ad operates in 60 GHz. The 60 GHz signal can provide the very-high bandwidth needed for uncompressed HDTV content streaming, but it experiences faster signal attenuation than the 2.4/5 GHz used in IEEE 802.11n. To overcome drawbacks in 60 GHz, the orthogonal frequency division multiplexing (OFDM) technique and the beamforming technique are employed. The OFDM allows the orthogonal sub-channels to overlap in the frequency domain and it is able to cope with severe channel conditions such as attenuation of high frequencies and narrowband interference without complex equalization filters. The beamforming technique utilizes multiple antenna elements to form a beam toward a certain direction with increased signal strength and it is able to overcome the large free space propagation loss in 60 GHz.Besides the improvements in the physical layers, the MAC protocols are needed to change to enhance the performance of WLANs. This paper mainly overviews the MAC protocols for IEEE 802.11b, IEEE 802.11n, and the newest proposal IEEE 802.11ad, and specifically highlights the MAC enhancements that IEEE 802.11n and 802.11ad amend to 802.11b. IEEE 802.11b MAC protocol plays a fundamental role in these three protocols. To make clear the difference between the basic protocol and the new MAC protocols, this paper first presents IEEE 802.11b MAC protocol in details, and then mainly presents the amendments of the other two protocols to IEEE 802.11b MAC protocol. To the best of our knowledge, prior work[3~6] presented 802.11n and 802.11ad individually and discussed the respective MAC enhancements to 802.11b without well explaining the basic 802.11b protocol. Therefore, it is hard to understand these new MAC enhancements and to distinguish the difference between these two MAC enhancements. The rest of paper is organized as follows. Section 1 presents IEEE 802.11b MAC protocol in details. Then, section 2 presents the MAC enhancements introduced in IEEE 802.11n to IEEE 802.11b and section 3 presents the MAC enhancements introduced in IEEE 802.11ad to IEEE 802.11b. Next, a brief summary of the key PHY and MAC features for these three protocols is given in Section 4. Finally, Section 5 concludes this paper.1 802.11b MAC ProtocolIn this section, we first present IEEE 802.11b[1] architecture and MAC protocol, and then we point out the throughput limitations in the 802.11b protocol.A basic building block of the 802.11b architecture is the basic service set (BSS), which is a set of all stations that can communicate with each other. There are two types of BSS: Independent BSS (also referred to as IBSS) and infrastructure BSS. An IBSS does not contain access point (AP) and is also called an ad-hoc network. Stations in IBSS cannot communicate with the outside world. In contrast, an infrastructure BSS contains a central AP through which stations in the
3Li FENG, et al. A Tutorial Review of MAC Protocols for IEEE 802.11b/n/adBSS can communicate with the outside world.The 802.11b MAC protocol deals with who, when, and how to access the wireless medium at any time. This protocol provides two channel access mechanisms: the contention-based mechanism called distributed coordination function (DCF), and the contention free mechanism called point coordination function (PCF). In 802.11b standard, DCF is a mandatory access mechanism while PCF is an optional access mechanism.When PCF is implemented, time is divided into contention-free repetition intervals, in which the PCF mode (in a contention-free period (CFP)) and the DCF mode (in a contention period (CP)) alternate, as illustrated in Fig. 1.1.1 PCF mechanismPCF is a centralized polling protocol. With the help of Fig. 1, we explain the operation of PCF. After a PCF Inter Frame Space (PIFS), the AP may initialize a CFP by sending a beacon. The beacon contains information such as the duration of the CFP and the association request message. According to the information, all stations set their network allocation vectors (NAVs) and a newly arrived station may request to join the polling list. During the CFP, the AP polls the nodes one by one for a single pending frame transmission according to the polling list. The CFP is ended whenever the AP transmits a CF-End control packet.In PCF, the piggybacking method is used to BeaconPIFSSIFSD1+pollSIFSU1+ackSIFSD2+ack+pollSIFSU2+ackSIFSD3+ack+pollPIFSD4+pollSIFSU4+ackSIFSCF-EndContention-Free Period (the PCF mode)Contention Period(the DCF mode)Contention-Free Repetition IntervalNAV CF_Max_DurationReset NAVNo response to CF-PollDx = packets sent by access pointUx = packets sent by polled stationsFig. 1 Example of access mechanism in PCFtransmit three kinds of combined packets: DATA+CF-Poll (D1+poll and D4+poll in Fig. 1), DATA+CF-Poll+CF-ACK (D2+poll+ack in Fig. 1) , and DATA+CF-ACK (U1+ack, U2+ack and U4+ack in Fig. 1), where DATA are either packets sent by AP to station x (Dx), or packets sent by polled station x to AP (Ux), or Null function (no data) frame, CF-Poll means that the AP polls a station, CF-ACK means that a packet is received, “+” means combining. In Fig. 1, waiting for an SIFS after the beacon, the AP starts sending a combined packet D1+poll. Upon the reception, after an SIFS, station 1 responds to the poll and piggybacks the acknowledgement by transmitting the combined packet U1+ack. Then, the AP acknowledges the data packet received from station 1 and sends data to station 2 with the combined packet D2+ack+poll. If the AP transmits a poll frame to the station that has no data to transmit, the station sends a Null function frame back to the AP. For example, in Fig. 1, if station 2 has no data to send, then it sends a combined packet U2+ack, but U2 is Null. If the AP does not receive any message that responds to a poll packet after a PIFS, it will move on to the next station in the polling list. This is illustrated in Fig. 1 for polling stations 3 and 4. The above process is repeated until the AP transmits a CF-End control packet.1.2 DCF mechanismDCF is a random contention-based protocol. When multiple stations send packets simultaneously, the sending multiple packets collide. In DCF, there are two access modes: the basic mode and the Request To Send (RTS)/Clear To Send (CTS) mode. The former
4adopts the carrier sense multiple access (CSMA) mechanism while the latter adopts the carrier sense multiple access with collision avoidance (CSMA/CA) access mechanism. Both access modes use binary exponential backoff algorithm to resolve collisions. Below, we overview, in turn, the binary backoff algorithm, the basic mode, and the RTS/CTS mode.1.2.1 Binary backoff algorithmBefore a station transmits one packet, it will experience several backoff stages depending on the number of transmission failed. At the first transmission attempt, the node generates a random backoff time uniformly distributed in [0, CWmin 1]− , where CWmin is called the minimum contention window (CW) size. Then, the backoff counter decreases by one if the channel is sensed idle and is suspended when the channel is busy. The suspended backoff counter resumes after the channel is sensed idle for a DCF interframe space (DIFS). When the backoff counter reaches zero, the station transmits the packet. If the transmission is successful, the station prepares for next packet transmission; otherwise, the CW is doubled, up to a maximum value CWmax. When a retransmission limit is reached, the sender discards the data packet.1.2.2 Basic modeThe basic mode defines a two-way handshaking technique, i.e., the packet transmission follows the DATA-ACK mode, as illustrated in Fig. 2. In basic mode, each station has to wait for DIFS before sending data. If the packet is received correctly, the receiver acknowledges at once after waiting for short interframe space (SIFS). If a collision happens during the data packet transmission, the binary backoff algorithm is invoked to resolve it. After an ACK is received, the next-round channel contention begins.datatSIFSDIFSwaiting timeotherstationsreceiversenderACKNext round contentionFig. 2 Example of basic access mechanism in DCF1.2.3 RTS/CTS modeIn the basic mode, collisions occur only when multiple data packets are transmitted simultaneously. If the packet is very large, it will waste too much bandwidth. The RTS/CTS mode can be used to avoid wasting too much bandwidth. The basic idea of the RTS/CTS mode is: let the sender/receiver sends the shorter RTS/CTS frame to “reserve” channel for subsequent data transmission, so that the collisions only occur in the shorter RTS frames, and the collisions of data packets can be avoided.The RTS/CTS mode def ines a four-way handshaking technique, i.e., the packet transmission fol lows the RTS-CTS-DATA-ACK mode, as illustrated in Fig. 3. In the RTS/CTS mode, the sender first transmits the shorter RTS frame to the receiver using the CSMA. If a collision happens during an RTS transmission, the binary backoff algorithm is invoked to resolve it. After receiving an RTS frame successfully, the receiver broadcasts the corresponding CTS frame in response to the RTS. The frames RTS and CTS carry the period information of the packet to be transmitted. All other stations heard an RTS/CTS frame will set their own NAVs with the information of the period from the RTS/CTS in which the channel will remain busy. Like the basic mode, after an ACK is received, the next-round channel contention begins.tdefer accessOther stationsreceiversenderSIFS SIFSNAV (RTS)NAV (CTS)DIFSSIFSNext round contentiondataACKCTSRTSFig. 3 Example of RTS/CTS access mechanism in DCF1.3 Throughput LimitationsAs pointed out in [7], the fundamental throughput limitations are overheads incurred during the transmission of a packet. These overheads include the CSMA/CA backoff time ( CWT ), the time to transmit the PHY header ( PHYT ), the time to transmit MAC ACK ( ACKT ), and the time to transmit the MAC header ( MACT ). Fig. 4 depicts the general MAC frame format for IEEE 802.11b, which consisting of the MAC header, Frame body, and the frame check
5Li FENG, et al. A Tutorial Review of MAC Protocols for IEEE 802.11b/n/adsequence (FCS). Frame ControlDuration/IDAddress 1Address 2Address 3Sequence ControlAddress 4Frame BodyFCSMAC headerOctets: 2 2 6 66 2 6 0-2312 4Fig. 4 MAC frame format for 802.11bLet OT be the total overhead for transmission of a packet. We have O CW PHY MAC ACKT T T T T= + + + . We define MAC throughput efficiency as ξ=Tp/(Tp+TO). Here, PT is the time to transmit a pure packet. As the PHY rate PHYR increases, CWT does not decrease to zero since the clock synchronization imposes constraints on the minimum slot and the backward compatibility; the duration of the PHY header is not expected to decrease due to backward compatibility; consequently, OT will go to a nonzero constant. On the other hand, P P PHY/T L R= will go to zero for a fixed packet size PL as the PHY rate PHYR increases. As a result, the MAC throughput efficiency ξ→0 when PHYR →∞ .Next section, we will present IEEE 802.11n that will improve the throughput efficiency.2 802.11n MAC ProtocolBecause of the throughput inefficiency explained in the above subsection 1.3, IEEE 802.11n is proposed to enhance the legacy IEEE 802.11 standard (such as 802.11b), with the target of achieving a maximum throughput of at least 100 Mbps, as measured at the MAC data service access point. The main MAC enhancements[2~4] in IEEE 802.11n are summarized as follows: ● The frame aggregation ● The bi-directional data transfer ● The block ACK ● The reduced IFS2.1 The frame aggregationThe main idea behind the frame aggregation schemes is to amortize the PHY header overhead across multiple packets. This is achieved by transmitting multiple packets in a single large frame. There are two methods available to perform frame aggregation at the MAC layer: aggregate MAC service data unit (A-MSDU) and aggregate MAC protocol data unit (A-MPDU). 2.1.1 A-MSDUA-MSDU is used for information exchange between the MAC sub-layer and the higher layer. As illustrated in Fig. 5, in the A-MSDU method, several MAC Service Data Units (MSDUs) are concatenated to form the data payload of a large MAC Protocol Data Unit (MPDU). MPDU is then converted to physical service data unit (PSDU), consisting of the MAC header, A-MSDU, and FCS. Note that compared with the MAC header in 802.11b, two additional fields: QoS control and HT (high throughput) control are added into the MAC header in 802.11n.PHY Header MAC Header A-MSDU FCSPSDUSubframe 1 Subframe 2 Subframe NMSDU PaddingDA SA LengthFrame ControlDuration/IDAddress 1Address 2Address 3Sequence ControlAddress 4Qos ControlHT ControlOctets: 2 2 6 66 2 46 2Fig. 5 Frame format for A-MSDU2.1.2 MPDUA-MPDU is used for information exchange between the MAC sub-layer and the PHY layer. As illustrated in Fig. 6, in the A-MPDU method, each MSDU appends with its own MAC header and FCS is to form an MPDU. At the same time, the MPDU delimiter and the padding are inserted in each MPDU. Several MPDUs are concatenated to form an A-MPDU, then the A-MPDU is converted to a large PSDU.PHY Header A-MPDUPSDUSubframe 1 Subframe 2 Subframe NMPDU lengthCRC MPDU PaddingDelimiter signatureReservedMPDUdelimiterFig. 6 Frame format for A-MPDU2.2 The bi-directional data transferIn IEEE 802.11b, each node is allowed to transmit one packet each time. IEEE 802.11e enhances the IEEE 802.11b by allowing each node to transmit
6multiple packets each time in an allocated TXOP duration. IEEE 802.11n further improves the TXOP feature by permitting bi-directional data transfer in one TXOP. In IEEE 802.11e standard, one TXOP is allocated to a sender; only the sender is allowed to send multiple packets to the receiver during the TXOP duration. In IEEE 802.11n, not only may the sender send multiple packets to the receiver during a TXOP duration, the receiver may also send multiple packets to the sender in the reverse direction. This fits especially well with TCP because it allows a TCP link to piggyback TCP ACK collection over a TCP connection.2.3 The block ACIn IEEE 802.11b, the station sends a packet, and waits for an acknowledgment, and then sends another packet, waits for another acknowledgment, and so on. In IEEE 802.11n, the sender may send multiple packets, and then wait for a single ACK frame. The single ACK uses a bit map to indicate which sub-frames in an aggregated frame need to be retransmitted. This is called the block ACK scheme.2.4 The reduced IFSIn IEEE 802.11n, a Reduced Interframe Spacing (RIFS) may be used in place of SIFS to separate multiple transmissions from a single transmitter. In IEEE 802.11n, RIFS is much shorter than SIFS in IEEE 802.11b and is equal to 2 μs. Therefore, RIFS greatly minimizes the space between packets, thereby reducing overheads and increasing throughput efficiency.2.5 DrawbacksTo improve the MAC efficiency, IEEE 802.11n adopts the frame aggregation mechanism, i.e., aggregating and transmitting multiple packets in a single large frame. In this mechanism, achieving high throughput efficiency requires a large aggregated frame. However, since the sender need to wait some time to aggregate enough packets before actual transmission, the larger the aggregated frame, the longer the delay of the aggregated packets. This will result adverse effects on real-time applications such as VoIP, live video, and video conferencing.3 802.11ad MAC ProtocolBesides the delay incurred in aggregating enough packets, IEEE 802.11n is restricted to provide a typical throughput of 100Mbps. However, there is still demand for higher speed. For example, watching uncompressed HDTV content streaming in home entertainment systems, fast synchronization of large files, and wireless docking. These new applications require data rates of at least 4 Gbps as measured in the physical layer[6].To fulfill these requirements, IEEE 802.11ad is proposed to achieve multi-Gbps data rates. IEEE 802.11ad began in January 2009 and currently works in progress. IEEE 802.11ad operates in the 60GHz spectrum band. One challenge is that the signal attenuation in 60 GHz can be as much as 20 dB higher than in the 5 GHz band. Beamforming is proposed to compensate for the additional 20 dB free space propagation loss in the 60 GHz band. Beamforming is a process to utilize multiple antenna elements to form a beam toward a certain direction with increased signal strength.Another challenge is that 802.11ad expects to support many real-time applications of various requirements. For example, wireless display, which has very stringent QoS requirements such as delay and jitter, web browsing, which is very sensitive to access latency (i.e., response time), but is less impacted by jitter and may not require bandwidth guarantee.Therefore, new enhancements are proposed to meet the unique propagation challenges in 60 GHz and the diverse requirements originating from real[5~6] in IEEE 802.11ad are summarized as follows: ● Personal basic service set ● MAC access mechanism ● Fast session transfer3.1 Personal basic service set (PBSS)Besides supporting BSS (i.e., the infrastructure mode) and IBSS (i.e., the ad hoc mode), a new network architecture named as the Personal BSS (PBSS) is defined in 802.11ad.Like the IBSS, stations in the PBSS are able to
7Li FENG, et al. A Tutorial Review of MAC Protocols for IEEE 802.11b/n/adcommunicate directly with each other without an AP. Unlike the IBSS, one station in the PBSS is required to assume the role of the PBSS central point (PCP).In PBSS, only the PCP can transmit beacons and it provides the basic timing for the PBSS. The role of the centralization control in PBSS has many advantages. For example, it enables the directional channel access more manageable since stations know when and from whom to receive the Beacons and hence can direct their antennas to the appropriate direction at the right time. It also facilitates QoS support since PCP can allocate service periods and contention-based periods and handle the QoS requirements at a centralized point.3.2 MAC access mechanismMAC access mechanism is proposed to support directional communication, random access, and scheduled time division multiple access (TDMA). The possible Beacon Interval (BI) structure is illustrated in Fig. 7.A-BFT ATBT SP1 SP2 CBP2DTTCBP1BITimeFig. 7 Beacon interval structure for 802.11adThe beacon time (BT) is the time period during which the PCP transmits one or more beacon frames in different directions. The beacon frame is used to bootstrap the beamforming procedure between the PCP and a receiving station.The association beamforming training time (A-BFT) is the time period to perform initial beamforming training, which provides the necessary signaling to allow each station to determine appropriate antenna system settings between the station and the PCP. In addition, A-BFT allows for multiple stations to do beamforming with the PCP concurrently.The announcement time (AT) is the time period in which the PCP distributes information about contention-based period (CBP) and service period (SP) allocations used in the data transfer time (DTT).The DTT is divided into SPs and CBPs. Access during a CBP is based on a prioritized CSMA operation for directional communication. Access during SPs is scheduled and assigned to specific stations with the stringent QoS requirements. A station that owns an SP can protect the SP by transmitting an RTS frame at the start of the SP.3.3 Fast session transferFast session transfer is a major innovation in 802.11ad. It enables transition of communication of stations from one channel to any other channel in which 802.11ad is allowed to operate.4 Comparison of MAC protocolsThis section briefly compares the IEEE 802.11b/n/ad standards. The new standards (i.e., 802.11n/ad) are backward compatible and therefore these three standards have many identical characteristics. Table 1 summarizes the used frequency band, the achieved (or expected) maximum data rate and maximum throughput for the three standards. In addition, we also present in Table I the main improvements in PHY layer and the main enhancements in MAC layer in IEEE 802.11n and IEEE 802.11ad to IEEE 802.11b.From Table 1, we may see that the 802.11n and 802.11ad have made a great quantum leap over legacy 802.11b in terms of the physical transmission rate, which is achieved by employing many innovative PHY techniques. For example, MIMO and Channel bonding are used in 802.11n, while OFDM and beamforming are adopted in 802.11ad. Benefitting from the improvement of the transmission rates, the throughput remarkably increases from about 3 Mbps to about 100 Mpbs in 802.11n and to about 1 Gbps in 802.11ad. It is worth pointing out that a remarkable improvement in the transmission rate can increase the throughput, but it by no means implies a significant increase in throughput. To achieve a significant increase in throughput, not only is the increase in transmission rate necessary but also the improvement on MAC protocol is very important. For example, the transmission rate of 600 Mbps in 802.11n cannot lead to a throughput of 100 Mbps if the MAC protocol
8is not amended. To achieve a very-high throughput, MAC protocols must be amended to increase MAC throughput efficiency as explained in Section 1.3. For example, to increase MAC throughput efficiency, the frame aggregation scheme in 802.11n is proposed to reduce the per-packet overhead by amortizing one PHY header overhead across multiple packets; the beacon interval structure in 802.11ad is redefined to reflect the beamforming training process. On the other hand, the transmission range is closely related to the transmission speed, the frequency used, and the physical techniques, as well as users’ requirements. For example, working in the same frequency of 2.4 GHz, the transmission range of 802.11n almost doubles that of 802.11b. The reason is that multiple antennas (employed in 802.11n) can provide diversity and multiplexing gain, and therefore increase the transmission range. And at the same time, it mitigates interference and increases channel reliability and therefore increases throughout. In contrast, 802.11ad, featured 60 GHz capabilities, can achieve a transmission rate of up to 7 Gbps but only cover a transmission range of about 10 meters due to sharp signal attenuation. However, such a transmission range with multi-Gbps transmission rates is surely able to fulfill users’ requirements in a home entertainment environment, for example, watching uncompressed HDTV content streaming, fast synchronization of large files, and so on.5 ConclusionsThis paper mainly overviews the MAC protocols for the three WLAN standard IEEE 802.11b/n/ad. The different innovative improvements of the physical layers, and particularly, the different MAC enhancements in new standards 802.11n/ad are compared. References References[1] IEEE 802.11 - IEEE Standards for Information Exchange between Systems-Local and metropolitan area networks-Specific requirements Part 11: Wireless LAN Medium Access Control (MAC) and Physical Layer (PHY) Specifications. IEEE, 1999.[2] IEEE 802.11n, Draft 2.0 - Wireless LAN Media Access Control (MAC) and Physical Layer (PHY) Specifications: Enhancements for Higher Throughput. IEEE, February 2007.[3] Skordoulis, D., Qiang Ni, Hsiao-Hwa Chen et al. IEEE 802.11n MAC frame aggregation mechanisms for next-generation high-throughput WLANs. IEEE Wireless Communications, 2008, 15(1), 40-47.[4] Yuxia, Lin, Vincent W.S. Wong. Frame Aggregation and optimal frame size adaptation for IEEE 802.11n WLANs. Proceedings of IEEE Global Telecommunications Conference (Globecom), San Francisco, CA, November 2006, 1-6.[5] E. Perahia, C. Cordeiro, M. Park et al. IEEE 802.11ad: Defining the next generation multi-Gbps Wi-Fi. Proceedings of the 7th IEEE conference on Consumer communications and networking conference (CCNC), 2010, 634-638.[6] Carlos Cordeiro, Dmitry Akhmetov, Minyoung Park. IEEE 802.11ad: Introduction and performance evaluation of the first mult-Gbps WiFi technology. Proceedings of the 2010 ACM international workshop on mmWave communications: from circuits to networks, 2010, 3-8.[7] Tianji Li, Qiang Ni, David Malone et al. Aggregation with fragment retransmission for very high-speed WLANs. IEEE/ACM Transactions on Networking. 17(2), 2009, 591-604.[8] http://www.jaycar.com.au/productView.asp?ID=YN8300.Table 1 Comparison of IEEE 802.11b/n/ad standardsStandardFrequency BandTransmission RateTransmission Range ThroughputMain improvementsin PHY layerMain enhancementsin MAC layer802.11b 2.4 GHz ~11 Mbps~38 Meters (Indoor range)~3 Mbps — —~140 Meters (Outdoor range)802.11n 2.4/5 GHz ~600 Mbps~70 Meters (Indoor range)~100 MbpsMIMO The frame aggregation~250 Meters (Outdoor range)[8]Channel bonding The bi-directional data transferThe block ACKThe reduced IFS802.11ad 60 GHz ~7 Gbps~10 Meters~1 GbpsOFDM Personal basic service setBeamforming New MAC access mechanism Fast session transfer
9第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 圖像復原中的運動模糊尺度估計改進張擎海（澳門科技大學資訊科技學院，澳門）摘要： 圖像的復原是為了使圖像的信息更清楚可見，而找出模糊圖像的參數是復原圖像的關鍵，其中的參數就包括有模糊角度及模糊尺度。本文的研究方向是改進現時常用的運動糢糊尺度估計方法，提出一種估計暗紋的概念以增加判斷模糊尺度的準確性。實驗結果表明改進後的方法更能準確估計出運動模糊的參數，使圖像的恢復效果更理想。關鍵詞： 運動模糊圖像；圖像復原；模糊尺度Improvement of the Blurred Length Estimation on Restoration of Motion Blurred ImagesKeng-hoi CHEONG( Macau University of science and Technology, Faculty of Information Technology, Macau, China )Abstractt: The purpose of the image restoration is to make a blurred image more clear and definite. The key point of the image restoration is to find out the motion blurred parameters, which include the blurred direction (motion direction) and blurred length (motion distance). This research is to improve the typical methods of the blurred length estimation. We assumed some imaginary strips to help detecting the blurred length accurately. The testing results have shown that the improved methods could help to estimate the motion blurred parameters more accurately and restore a blurred image more efficiently. eywordst: Motion blurred image; Image restoration; Blurred length收稿日期：2011-5-21；修訂日期：2011-6-29。通訊作者：張擎海，男，碩士研究生，主要研究方向：圖像處理 E-mail： cheonghoi@yahoo.com.hk 0 引言對於勻速直線運動的模糊圖像復原理論，重點是估計出模糊圖像的模糊參數，並使用估計所得的參數進行圖像復原。而參數的估計分別有模糊尺度和模糊角度的估計。本文主要是分析模糊尺度的估計理論，並提出一種可以精確估計出模糊尺度的改進方法。設圖像 作勻速直線運動，令 和 分別為水平方向和垂直方向運動的變化分量。則得出退化後的圖像 ： （1）對（1）式子進行傅立葉變換，得：其中 （2）實際上，可舉出一種簡單的模糊情況來說明如何將圖像復原。假設一種水平勻速直線運動引起的模糊情況，如果模糊圖像是由景物在 x 方向上進行水平勻速直線運動造成的，則模糊圖像上
13張擎海 圖像復原中的運動模糊尺度估計改進像的參數建立出點擴散函數，並使用維納濾波將圖像復原。如圖 7 所示。 （a）模糊圖像 （b）復原圖像 圖7 維納濾波復原圖像對比如圖 7（a）所見，模糊圖像尺度為 80像素時，所得的圖像並不能分辨，而當使用改進等間距暗紋法估計出模糊尺度，並使用維納濾波將其復原，如圖 7（b）所示，復原後的圖像可以分辨其車牌號碼，可見其復原效果理想。4 結論本文對經典的等間距暗紋法作出了重大的改進，在原暗紋法的基礎上，加強運用退化圖像的頻譜圖信息，在滿足原等式的基礎上，運用對稱性及暗紋間距的特徵，提出一種估計暗紋的方法，使得出的模糊尺度估計結果誤差值大幅減小。當圖像並不因噪聲而嚴重失真的情況下，仍可以達到近似的估計效果。而在不受噪聲影響的情況下，使用本文的方法進行模糊尺度估計，可達到高的準確度，效果令人滿意，對均速直線運動的模糊圖像復原研究有非常大的幫助。参 考 文 獻[1] 周維華. Wiener濾波圖像復原[J]. 計算機工程與科學， 2007， 29(3)：39-40. [2] 賀衛國， 黎紹發. 勻速直線運動模糊長度的精確估計[J]. 計算機應用， 2005， 25(6) 1316-1320. [3] Y. Yitzhaky, N. S. Kopeika. Identification of blur parameters from motion blurred images [J]. Graphical models and image processing, 1997, 59(5): 321-332. [4] Juwei L, Poon E, Plataniotis K N. Restoratoin of motion blurred images [C]. Candada: 2006.[5] Mohsen Ebrahimi Moghaddam, Mansour Jamzad. Motion Blur Identification in noisy images using fuzzy sets [J]. IEEE international Symposium on Signal Processing and Information Technology, 2005(5): 862-866. 科研進展許敖敖校長受聘為“國家空間科學專家委員會”委員許敖敖校長作為“國家深空探測科學目標論證專家委員會”成員，多次參與國家深空探測高科技項目重要論證活動。7月初，許校長又受聘為“國家空間科學專家委員會”委員，該委員會由兩岸四地空間科學和技術領域的著名專家學者組成，其主要職能為對國家空間科學規劃之發展戰略、方向、目標、技術路線以及對擬組織實施的國家空間科學衛星項目之科學目標與實施方案等進行審議並提出諮詢意見，并對國家空間科學計劃的研究成果進行評估和評議。空間科學是與重大科學技術突破和人類生存發展密切相關的前沿交叉學科領域，是推動人類文明進步、促進航天科技創新、服務國家安全與社會經濟發展、實現和平利用空間、提升大國地位的重要戰略制高點。深空探測是空間科學的重要研究範疇，早前國家確立之深空探測目標主要為體現綜合國力，較少制定科學目標，現在的重心則轉為進行科學研究。國家深空探測的前期目標是透過自主和國際合作之科學衛星計劃，實現科學上的重大創新突破，并帶動相關高技術的跨越式發展，從而發揮空間科學在國家發展中的重要戰略作用。澳科大是兩岸四地最早參與國家第一項深空探測科技項目“嫦娥工程”之大學，已在國內外重要科學期刊上發表學術論文近五十篇，居兩岸四地前列。去年底，我校成立太空科學研究所，著力創建高水平本地化之學術研究團隊，從探月到火星、金星、小行星之探測，系統開展現代高科技之科研工作，著力提升本澳科研水平，力爭澳門在國家高科技前沿領域中佔有一席之地，為把澳門打造成具有科技、文化、教育品位的國際都市作出貢獻。
14第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 Received 1 April 2011; Revised 1 December 2011.﹡本論文由澳門科學發展基金會資助，資助編號：019/2010/A2通訊作者:盧曉平，男，在讀博士，講師，反問題研究。E-mail: xplu@must.edu.mo，Tel: 8897-2837Adaptive Optimal Morphological Filter to Remove Impulse Noise in ImagesXiaoping LU( Department of General Study, Macau University of Science and Technology, Macau, China )Abstractt: In this paper a new adaptive optimal morphological filter (AOMF) algorithm as an improvement of optimal morphological filter (OMF) is proposed for removing the impulse noise in images. Especially this algorithm performs better when the restored image is corrupted by impulse noise (density larger than 30%). The experiments confirm this characteristic by comparing the Signal-to-Noise Ratio (SNR) of two algorithms to restore the corrupted images.ey wordst: Optimal Morphological Filter; SNR; Impulse Noise自適應優化形態濾波算法消除圖像的脈沖噪聲盧曉平（澳門科技大學通識教育部，澳門）摘要： 通過對優化形態濾波算法的分析，文章提出一種自適應優化算法。即通過對脈沖噪聲的處理模板進行自適應調節來實現更好的降噪效果。特別地對於噪聲密度較高（大於30%）的退化圖像，自適應優化形態濾波算法的復原效果明顯好於原算法。實驗對二者復原圖像的信噪比（SNR）數據進行對比，驗證了新算法具有更好的還原效果。關鍵詞： 優化形態濾波；信噪比；脈沖噪聲0 Introduction Generally digital images are often corrupted by the different types of noise, such as Gaussian white noise, impulse noise and random noise and so on[1][2]. Two common types of impulsive noise are salt-and-pepper noise, corrupting a portion of all pixels with maximum and minimum intensities in the dynamic range and leaving the remainder unaffected. And the portion is called as noise density. Such noise is often generated by faulty memory locations in hardware or erroneous transmission[3]. In the images contaminated by the impulse noise a certain number of pixels are changed to the maximum or minimum values while others keep unchanged. Based on these characters all kinds of digital filter methods are proposed for removing this type noise. Such as the wavelet filter in frequency domain and the popular median type filters in spatial domain. Besides, some filters basing on mathematical morphology are treated as a powerful nonlinear approach for image denoising in spatial
15Xiaoping LU Adaptive Optimal Morphological Filter to Remove Impulse Noise in Imagesdomain. The authors in the paper[3] presented a robust Optimal Morphological Filter(OMF) to remove the impulse noise. It is very efficient in handling the images corrupted by low noise density. We found that when noise density is larger than 30% the method performs not well. In this paper we apply the adaptive technology on the morphological filter and acquire a better method to deal with the high noise density situation. Due to the dynamic range of an 8-bit digital image is from 0 to 255, the salt and pepper noise will change the intensities of some pixels in the target image to 0 or 255 with a probability p(noise density). Here, let represent the original digital image, represent the corrupted image by salt and pepper noise. So we can get the formFig1 shows some images corrupted by Salt and Pepper Noise model with various noise density p.Fig1. Image corrupted by various noise density p1 OMF algorithmMost of methods including OMF method for removing the impulse noise will firstly be the detection step [6]. For salt and pepper noise if the intensity of one pixel is equal to 0 or 255 in our assumption this pixel will be marked as corrupted one and others will be marked as uncorrupted one. For the corrupted pixel the OMF method will acquire the approximate intensity of this pixel through the 3×3 mask matrix M. Then the intensities of the pixels corrupted by Salt or Pepper are updated using the following optimal notations. The PE computes the maximum of all row and column minimums, which eliminates the pixels corrupted by lowest intensity (Pepper noise). And SE computes the minimum of all row and column maximums, which eliminates the pixels corrupted by highest intensity (Salt noise). Besides, this algorithm also adopted median to check whether PE and SE are corresponding to the image or not. OMF Algorithm: ● Read the image and Detect the corrupted pixels. ● For Corrupted pixels :Read mask matrix M and compute PE/SE/ median of M ● Update the intensity of corrupted pixels: If (PE<=median<=SE) =Median of MElse =(PE+SE)/2End ifHere, is the restored image by OMF. 2 AOMF algorithmNumerical experiments show that OMF algo-rithm cannot handle the image corrupted by high noise density because the higher noise density is the less the number of uncorrupted pixels is. So when the noise density is 80% the number of uncorrupted pixels is lower than 2 in 3×3 mask matrix. The morphology
16will not exist in this special situation. Considering that adaptive median filter method implies the size of mask matrix can change as the noise density changes[4～5], we get an improved method named Adaptive Optimal Morphological Filter (AOMF). AOMF Algorithm: ● Read the image and Detect the corrupted pixels. ● For Corrupted pixels :Read L×L mask matrix M. (Initially L=3) Compute the number n of uncorrupted pixels in M. While n < 8 then enlarge the size of M with L=L+2 and go to step 2; ● Compute PE/SE/median of M ● Update the intensity of corrupted pixels: If (PE<=median<=SE) =Median of MElse =(PE+SE)/2End ifHere, is the restored image by AOMF.In the improved algorithm (AOMF) we adjust the mask size L with respect to noise density p. For getting better restoral effect the numbers of uncorrupted pixels in the mask will be at least 8. Under this condition the expected mask size L will be For example as the noise density p equals 0.8 the mask size L will be 7.3 Experiment ResultsExperiments are presented to compare the effectiveness of two algorithms visibly. And in order to assess the restoration performance quantitatively we measured the Signal-to-Noise Ratio (SNR) for different algorithm. Here F represents the original digital image while N represents the corrupted digital image by Salt and Pepper noise with different noise density p. Let E(F) be the mean intensity value of the original image F and R(N) be the restored image by various denoising methods. Apparently the algorithm which restore the original image better will have a larger SNR value. In MATLAB the function ‘medfilt2’ performs median filter of the given matrix in two dimensions[7]. Median filter is a nonlinear operation often used in image processing to reduce “salt and pepper” noise. So in order to make a better comparison we present the result of median filter simultaneously. In Fig2 we can observe the advantages of OMF algorithm in denoising salt and pepper noise, which can get a higher SNR compared to median filter.Fig2. Compare two denoising algorithms with Noise density p =0.15.From the Fig3 we can find that OMF algorithm performances better than median filter when the noise density is larger than 30% in both visible and quantitative aspects. But when the noise density is too large, both of this two algorithms cannot restore the original image well while our new algorithm AOMF can do this well. Especially when the noise density is equal to 0.80, the AOMF can still restore the original image well in a relative view.
17Xiaoping LU Adaptive Optimal Morphological Filter to Remove Impulse Noise in ImagesCorrupted by p =0.40 (left) and p =0.80 (right)Median Filter with p =0.40 (left) and p =0.80 (right)OMF with p =0.40 (left) and p =0.80 (right)AOMF with p =0.40 (left) and p =0.80 (right)Fig3. Compare three denoising algorithms with different Noise density p=0.40 and p=0.80In order to make a full comparison for the three denoising methods we adopted them in the six common images shown in Fig4. And we present the average SNR of three methods for various noise density in Tab1. The value of SNR shows that both OMF and AOMF have a better performance in denoising impulse noise comparing with median filter. Moreover when the noise density is low say about 10% the AOMF is similar with OMF due to the abun-dant uncorrupted pixels. But as the noise density gets larger the performance of AOMF will get better than OMF, especially when density larger than 60%. Here we present more results in Fig5 for better comparison of two algorithms visibly.Fig4. Six Common Test ImagesDensity MedFilt OMF AOMF 10% 8.9785 11.9310 10.8368 20% 7.3122 9.1193 9.506430% 5.2083 6.4044 8.464640% 3.4015 4.3241 7.771150% 1.6542 2.4647 6.774560% 0.3085 1.0544 6.104070% -0.7948 -0.1626 5.023180% -1.6718 -1.1356 4.017890% -2.4422 -2.0178 2.1128Tab.1 Comparison of SNR for three denoising methods at different noise density (dB) Corrupted by p =0.60 (left) and p =0.70 (right)
18Median Filter with p =0.60 (left) and p =0.70 (right)OMF with p =0.60 (left) and p =0.70 (right) AOMF with p =0.60(left) and p =0.70 (right)Fig5. Compare three denoising algorithms with different Noise density p=0.60 and p=0.704 ConclusionsThrough merging the morphological filter and adaptive filter, we find a new algorithm for removing the salt and pepper noise. This algorithm can not only handle the image corrupted by lower noise density, but also perform well for the higher noise density. Experiment results confirm that in both visible and quantitative aspects.References [1] R. C. Gonzalez, R. E. Woods. Digital Image Processing. 3rd Edition. Pearson Education, 2010.[2] Y. J. Zhang. Image Engineering. 2nd Edition. Tsinghua University press,2006.[3] A. N. Rao, B. S. Rao etc. A ROBUST OPTIMAL MORPHOLOGICAL FILTER TO REMOVE IMPULSE NOISE IN IMAGES. International Journal of Information Technology and Knowledge Management, 2010, Volume 2,No.2,pp.237-239.[4] N. S. P. Kong, H. Ibrahim. The Effec of Shape and Weight Towards the Performance of Simple Adaptive Median Filter in Reducing Impulse Noise Level from Digital Images. 2010 2nd International Conference on Education Technology and Computer(ICETC),2010.[5] H. Ibrahim, N. S. P. Kong and T. F. Ng. Simple adaptive median filter for the removal of impulse noise from highly corrupted images. IEEE Transactions on Consumer Electronics, vol.54,no.4,2008,pp1920-1927.[6] J. F. Cai, R. H. Chan, M. Nikolova. Fast Two-Phase Image Deblurring Under Impulse Noise. J Math Imaging Vis. 2010,36:46-53.[7] R. C. Gonzalez, R. E. Woods, S. L. Eddins. Digital Image Processing Using MATLAB. Pearson Education, 2004.首屆“校訓杯”讀書徵文大賽正式啟動為豐富在校學生的文化生活，拓展學生的知識視野，提高人文素養，營造“和諧精業”的校園環境，大學圖書館、通識教育部和人文藝術學院共同主辦了面向全校學生的“首屆‘校訓杯’讀書徵文大賽”活動。本次徵文活動以“品讀好書，感悟校訓”爲主題，推薦了200余種名家名作，分為大學精神、傳道授業、人物傳記、經典釋讀、人文反思、讀史鑒知等若干專輯。參賽同學可以這些推薦圖書為範圍，結合大學的校訓，或以此爲導向查找同類的其他著作，擇其一種或數種，在深入研讀後升華爲自己的人生感悟，最終形成瞭解自我、剖析自我、展示自我、宣傳自我的文章。大學希望同學通過多種方式、不同角度探尋心靈成長的力量，進而提升自我能量、提高素質修養。爲了讓同學們對大學精神有更深刻的瞭解，主辦單位還邀請了北京大學的著名教授陳平原博士11月14日專程來澳門，以大學之精神為主題，做了《永遠的“笳吹弦誦”——關於西南聯大的歷史、追憶及其闡釋》專題報告，以啓發大家對本次大賽的宗旨有更深刻的認識。校園文化
19第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 退休基金財務規劃對所得替代率影響之研究朱順和（澳門科技大學行政與管理學院，澳門）摘要： 本研究主要針對澳門公務人員公積金制度之退休基金財務計劃進行分析，在現有公積金制度規定的提撥率情形下，根據實際的經濟環境，提出薪資成長率、通貨膨脹率、投資報酬率、可忍受風險、匯率風險、工作年限、退休生活年限等假設因素，運用資產薪資比率模型，檢視此一退休基金財務計劃，是否可以達到一定程度的所得替代率。研究主要結論：若從25歲開始工作，到36歲即可依此一退休基金財務計劃達到30%所得替代率的目標；到44歲可達到50%所得替代率的目標；到54歲可達到70%所得替代率的目標。本研究對澳門公務人員公積金主管機關澳門退休基金會提出政策建議，應教育公務人員藉由資產薪資比率檢視能否達成其目標所得替代率的觀察指標。關鍵詞： 退休基金；所得替代率；確定提撥制；資產薪資比率A Study on the Impact of Financial Planning of Pension Fund on the Income Replacement RatioShun-Ho CHU( Macau University of Science and Technology, Faculty of Management and Administration, Macao, China )Abstractt: This study is mainly to analyze the financial planning of Provident Fund Scheme for Workers in the Public Services (PFS). Under the current contribution ratio of the PFS, this paper is to use asset/salary ratio model, based on assumptions of growth rate of salary, inflation rate, return on investment, tolerant risk, exchange rate risk, length of working, and length of retirement life under the current economic perspectives, to assess whether the financial plan can be achieved to the certain level of income replacement ratio. The main findings show that the age of 36 can attain the income replacement ratio at 30%; the age of 44 at 50%; the age of 54 at 70% given the first year of working is age of 25. In addition, this study proposes that the Fund of Pensions of Macau should select the types of global stocks mutual funds prudentially and also should educate the public servants to use asset/salary ratio as a measure to assess whether it can achieve the target income replacement ratio. eywordst: Pension fund; Income replacement ratio; Defined contribution plan; Asset/Salary ratio收稿日期：2011-2-28；修訂日期：2011-7-28。通訊作者：朱順和，男，博士。主要研究方向：財務管理、投資學、銀行管理及退休金管理。E-mail：c461110@yahoo.com.tw，Tel：+8869337288700 引言世界銀行於 1994 年提出“ 扭轉老年危機（Averting the Old Age Crisis）”政策報告指 出，世界各國人口老年化將來臨，依據美國人口統計局資料顯示，澳門老年人口比例由 2000 年的 7.6%及 2025 年的 16.7%，增長至 2050 年的 33.7%，即三分之一的人口屬於 65 歲以上的老年人口；澳門依賴比例由 2000 年的 12.37% 及 2025 年的
28及 31.01%，總風險（即標準差）則分別為 3.13%、8.07% 及 7.02%，對澳門公務人員而言，投資風險過大。因此，澳門退休基金會除應慎選股票投資基金種類外，應教育公務人員於選擇投資組合時，應確定其目標報酬率及其可忍受風險承程度，避免因投資策略錯誤，以致造成嚴重投資損失，不能達成目標所得替代率，影響其退休後生活。（2）依據澳門公務人員公積金制度規範，公務人員可以於每年 3、6、9 及 12 月份自行決定調 整 投 資 組 合。Brinson，Singer，and Beebower（1991）[2] 研究指出，影響投資報酬的最大因素就是資產配置，影響程度高達 91.5%。資產配置可使投資人有較大的機會滿足其投資目標（鄭義、湯雲鶴，2005[14]）。因此，澳門退休基金會應教育公務人員建立長期投資組合的觀念，其未來績效表現端視資產配置而定，任意變動其投資組合並不會影響其績效表現。另外，澳門退休基金會可藉由資產薪資比率，教育公務人員作為調整其投資組合之參考依據。（3）考量通貨膨脹因素，股票仍是一項必要的投資工具（張士傑、林妙珊，1999[16]；符寶玲，1999[15]；刑益慈，2000[17]）。因此，澳門退休基金會可運用資產薪資比率，教育公務人員應將股票及債券為其投資組合主要投資項目，並可藉此建立長期投資組合能否達成其目標所得替代率的觀察指標。参 考 文 獻[1] Brinson, G.P., Hood, L.R., & Beebower, G.P. Determinants of Portfolio Performance. Financial Analysts Journal, 1986, 42(4): 39-48. [2] Brinson, G.P., Singer, B.D., & Beebower, G.P. Determinants of Portfolio Performance II : An Update. Financial Analysts Journal, 1991, 47(3): 40-48. [3] Ibbotson, R.G., & Kaplan, P.D.. Does Asset Allocation Policy explain 40, 90 or 100 Percent of Performance. Financial Analysts Journal, 2000, 56(1): 26-33.[4] 王儷玲. 我國人口老化與金融市場之發展研究報告，台灣：2006.[5] Merton, R.C. lifetime Portfolio Selection Under Uncertainty: The Continuous Time Case. Review of Economics and Statistics, 1969, 51: 247-257.[6] 黃薇靜. 生涯規劃各階段對退休理財之研究. 台南：長榮大學經營管理研究所碩士論文，2002.[7] VanderWeide, J.H.. Principles for lifetime Portfolio Selection: Lessons from Portfolio Theory, Contemporary Application of Markowitz Techniques, Handbook of Portfolio Construction. edited by J.B. Guerard, Jr., 2010, 153-178. [8] Urwin, R.C., Breban, S.J., Hodgson, T.M., & Hunt, A.. Risk Budgeting in Pension Investment. British Actuarial Journal, 2001,7(3):319-347.[9] 陳永能. 風險預算於機構投資人在委託經營上之應用. 高雄：中山大學財務管理研究所碩士論文，2004.[10] Carter, D.. Allocation Limits May Help Cut Income Risk in DC Plans: Report. Pensions & Investments, 2009.[11] Angerer, X., & Lam, P.. Income Risk and Portfolio Choice : An Empirical Study. The Journal of Finance, 2009, 64(2):1037-1055.[12] Leibowitz, M.L., Durham, J.B., Hammond, P.B., & Heller, M.. Retirement Planning and the Asset/Salary Ratio. Philadelphia: University of Pennsylvania Press, 2002, 106-131.[13] Hammond, P.B. & Richardson, D.P.. Retirement Saving Adequacy and Individual Investment Risk Management Using the Asset/Salary Ratio. Philadelphia, PA: Pension Research Council of University of Pennsylvania, 2009.[14] 鄭義，湯雲鶴. 超越策略性資產配置：統籌經理人架構. 貨幣觀測與信用評等，2005， 41-52.[15] 符寶玲. 退休金制度與管理. 二版. 台北：華泰書局，1999.[16] 張士傑，林妙珊. 確定提撥方式下退休所得的風險評估. 風險管理學報，1999，1(1)：35-62.[17] 刑益慈. 確定提撥計畫下退休基金之資產配置策略. 高雄：中山大學財務管理研究所碩士論文，2000.[18] Imrohoroglu, A., Imrohoroglu, S., & Joines, D.H.. A Life Cycle Analysis of Social Security. Economic Theory, 1995, 6(1): 83-114.[19] 邱顯比. 退休理財的六堂課. 一版. 台北：天下遠見出版股份有限公司，2005.[20] 宋効剛. 退休金給付制度及強制退休時點與勞工互動之探討. 中壢：中央大學產業經濟研究所碩士論文，2001.[21] 王儷玲. 勞退新制對勞工退休所得與未來退休市場之影響. 2004年退休金年刊. 台北：台灣退休金協會，2004，28-51.[22] Heller, M., & King, F.P.. Estimating Real Income Replacement Ratios in Defined Contribution Retirement Plans. Research Dialogues 23, New York: TIAA-CREF, 1989.[23] 李進生. 風險預算於退休管理的應用. 2004年退休金年刊. 台北：台灣退休金協會，2004，7-14.[24] 繆震宇. 勞退新制的最適資產配置、所得替代率與保證成本. 臺大管理論叢，2007，17(2)：69-89.[25] Clark, R.L., & Mitchell, O.S.. The Evolution of Retirement Risk Management. Pension Research Council Working Paper. Philadelphia, PA: University of Pennsylvania, 2009.[26] 王儷玲. 退休財務規劃與年金保險. 退休基金季刊，2000，1(2)：9-28. [27] Meade, T.S. and Salkin, G.R.. Index Funds Construction and Performance Measurement. Journal of the Operational Research Society, 1989, 40：871-879.[28] 鄭義，張菁惠. 退撫基金委託經營業務之發展與啟示. 貨幣觀測與信用評等，2004，45：13-22.
29第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 人格、工作環境與關係績效綜述瑪爾丹，楊 曦（澳門科技大學行政與管理學院，澳門）摘要： 在知識經濟時代，工作績效越來越依賴於員工的奉獻精神和協作能力，而評量這些行為的關係績效無論是理論上還是在實踐中都日益受到關注。然而，相比任務績效，關係績效的研究仍然短暫，許多方面的研究只是剛剛展開，尚需深入和細化。本文在大量關係績效相關文獻的基礎上，對關係績效內涵的發展和關係績效影響因素進行整理，並深入探討了影響關係績效的兩個最主要的因素，即人格和工作環境。最後本文根據文獻脈絡，提出了今後的研究方向。關鍵詞： 關係績效；內涵發展；人格 ；工作環境A Review of the Effect of Personality and Work Context on Context PerformanceErdan MA, Xi YANG( Macau University of Science and Technology, Faculty of Management and Administration, Macao, China )Abstractt: In the era of current knowledge economy, job performance increasingly dependent on employees’ dedication and cooperation. Context performance, as the variable to assess these behaviors, receives a growing focus both in the research and practice. However, compared to task performance, the researches of contextual performance are still not enough, and its many aspects just have a beginning and need much further refinement and development. Based on a number of relevant literatures on context performance, this paper reviews its concept development at first through discussing the relationship of context performance with task performance, and the independence path of context performance. Next, it comprehensively summarizes the factors of context performance and their correlation with it. And then it focuses on the two most important factors in the research of context performance, personality and work context. These two factors are researched most and have a deepest influence on the both research and practice of context performance. Finally, it proposes the direction of the future research.eywordst: Context Performance; Content development; Personality and Working Context收稿日期：2010-12-13；修訂日期：2011-5-4。通訊作者：瑪爾丹，女，碩士學位，澳門科技大學行政與管理學院博士生在讀。主要研究方向：管理學 E-mail： m-erdan@hotmail.com 電話： 621129820 引言傳統上企業評定組織績效，主要考量員工的任務績效 (Task Performance)，而關係績效 (Contextual Performance) 則很少被關注並納入評量。隨著績效研究的深入，關係績效為組織產生競爭優勢的結論被反復證實，研究者發現組織運行不僅依賴於組織規定並受到評量的任務行為，更離不開某些基於員工自發性的超任務行為。儘管大量實證研究已經區分了關係績效和任務績效的內涵，並檢定了關係績效的獨特作用，然而什麼因素導致了關係績效，仍是內容廣泛、莫衷一是。本研究的目標集中在以下幾個方面：
34圖1：人格、工作環境與關係績效模型6 未來的研究方向在知識經濟日益佔據主導地位的當今時代，對於通過不斷學習新知識來進行創造性工作的知識員工來說，傳統的單純的任務績效評價體系已不適用。一方面，知識工作具有高例外性和多變性的特徵，難以進行系統監控；另一方面，許多知識工作是無法被觀察的，並且知識產品的品質往往比產量重要，因此，知識員工的工作績效更多需要依靠其本身的積極性來達成，關係績效的評估越來越重要。越來越多的研究發現和證實，關係績效對知識員工整體績效的貢獻與任務績效相當，甚至超過任務績效。近年來，有些直接管理者在評定員工績效時已經會同時考量任務績效和關係績效兩方面，有關關係績效的影響因素及其對組織的影響效果的研究也日益受到重視。關係績效的研究也朝著獨立與任務績效的方向發展，在許多研究中，關係績效被作為與任務績效並列或者單獨出現的變數。關係績效內部結構被逐步發掘，使得關係績效的內涵不斷豐富。不過近十年來，有關關係績效的研究比較偏重與對其影響因素的探索。人格特質常被視爲是預測關係績效最爲關鍵的變量，然而當進一步考察人格五因素的各主要構成要件時，我們會發現各構件對於總體績效和關係績效的影響，差別很大，而且一些構件的影響甚至仍然處於爭議。各構件中，覺悟是預測工作績效最有力且最穩定的變量，然而它對於關係作用的影響仍然是變動的。親和性和外向性有時對於關係績效的影響力非常高，有時又不太高。如果加上文化、工作類型、雇傭關係等調節變量，其結果更是多樣多變。根據文獻整理和分析，未來對於人格特質與績效關係方面的研究有兩個重要的發展方向：一是繼續探索人格五因素各構件的內涵和構成，以其與關係績效的影響；二是考察不同條件下人格與關係績效之間關係的變化。對於關係績效的另一大預測變量工作環境來説，未來研究除了繼續發掘工作環境的其他構建，探索各種跨層次的研究方法也非常重要。可以看到跨層次研究工作環境與關係績效的研究剛剛起步，對於各種條件下二者之間的關係，以及對於不同層次的環境與不同內容的關係績效之間的關係尚缺乏深入研究。参 考 文 獻[1] Arthur, J. Effects of HR Systems on Manufacturing Performance and Turnover. Academy of Management Journal, 1994, 37(3): p.670-687.[2] Bateman, T. S. and Organ, D. W..Job satisfaction and the good soldier: the relationship between affect and employee citizenship. Academy of Management Journal, 1983, 26: p.587-95.[3] Barrick, M. R. and Mount, M. K.. Autonomy as a moderator of the relationships between the Big Five personality dimensions and job performance. Journal of Applied Psychology, 1991, 78: p.111-18.[4] Barrick, M. R. and Mount, M. K.. Autonomy as moderator of the relationships between personality dimensions and job performance. Journal of Applied Psychology, 1993, 78(1): p.111-118.[5] Bish, A.J., Bradley, L.M. and Sargent, L.D.. Career development for going beyond the call of duty: Is It Perceived as fair?. Career Development International, 2004, 9(4): p.391-405[6] Blau, P.. Exchange and Power in Social Life, New York: Wiley Publishers, 1964[7] Borgatti, S. and Cross, R.. A social network view of organizational learning: Relational and structural dimensions of ‘know who’. Management Science, 2003, 49: p.432-445.[8] Borman W. C. and Motowidlo S. J.. Expanding the criterion domain to include elements of contextual performance; In: N Schmitt and W C Borman (eds.). Personnel Selection in Organizations; San Francisco: Jossey Bass, 1993: p:71-98[9] Bott, J. P., Svyantek, D. J., Goodman, S. A. and Bernal, D. S.. Expanding the performance domain: who says nice guys finish last? .The International Journal of Organizational Analysis, 2003, 11(2): p.137-152.[10] Choi, J. N.. Multi-level and cross-Level effects of workplace attitudes and group member relations on interpersonal helping behavior. Human Performance, 2006, 19(4): p.383-402[11] Coleman V. I. & Borman W C. Investigating the Underlying Structure of Citizenship Performance Domain. Human Resource Management Review, 2000, 10(1): 25-44[12] Conway J.M.. Analysis and Design of Multitrait- Multirater
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37第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 Received 12 May 2011; Revised 7 June 2011.* Shiyong Zhao, Assistant Professor of Faculty of Management and Administration, Macau University of Science and Technology. Email: syzhao@must.edu.mo, Tel: (853) 88972860.China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008Shiyong ZHAO*( Faculty of Management and Administration, Macau University of Science and Technology, Macau, China )Abstractt: China’s economic growth over 1978-2008 is a miracle. This paper attempts to figure out and quantify the factors leading to this miracle. It is generally believed that economic reform and opening up is the key to China’s economic success, but that is far from being exact and specific. This study hypothesizes that privatization and FDI inflow are the two key factors in this process. We focus on identifying the exact, specific, and detailed mechanisms of privatization and FDI inflow in promoting economic growth. Then using a panel data covering 31 provinces of Chinese mainland over 1978-2008, we find statistically significant evidence to support our hypotheses. We predict that further economic growth depends on further privatization and opening up, that is, depends on denationalization of the economy.ey wordst: Privatization; FDI Inflow; Economic Growth; Reform and Opening up民營化、外資流入與中國經濟增長：1978-2008趙世勇（澳門科技大學行政與管理學院，澳門）摘要： 中國1978-2008年間的經濟增長是一個奇蹟，本文試圖發現並量化這一經濟奇蹟的決定因素。一般認爲，經濟改革和對外開放是中國經濟成功的關鍵，但是這樣的說法不夠精確。本文提出了兩個假說：產權變革（民營化）和外資流入是中國經濟成功的兩個關鍵因素。我們聚焦產權變革和外資流入對經濟增長貢獻的具體機制，並使用一個包括中國大陸31個省、1978-2008年的數據庫進行實證檢驗，檢驗結果支持我們的假說。我們推測，進一步的經濟增長取決於進一步的產權變革和對外開放，而不是國有化。關鍵詞： 民營化；外資流入；經濟增長；經濟改革和對外開放0 IntroductionThis paper is to figure out and quantify the specific factors leading to China’s economic success from 1978 to 2008. If you treat China’s economic performance in late 1970s as the benchmark, you will not deny the fact that China’s economic transformation since 1978 is a miracle. There is even no need for us to cite specific statistics to support this statement. China’s economic success started from a change in policy, a change from public-ownership and closed-door policy to reform and opening up policy. The
38change continues and deepens, which is symbolized by China’s goal of establishing a market economy in 1992, and the entry into the World Trade Organization (WTO) in 2001. So generally speaking, reform and opening up is the key to China’s economic success.This statement, although not disputable, is not specific enough for people to understand the mechanisms of the transformation process. And from the perspective of scientific research, even if we have known the underlying mechanisms (theoretical validity), we still need to test the implications empirically (empirical validity). In this regard, there is still not enough research in this area.In this paper, we argue that the growing of the private sector in the economy, or privatization, and the inflow of foreign direct investment (FDI) are the two most important factors leading to China’s economic success during the past three decades. We arrive at this proposition not only from casual observation, but also from theoretical reasoning. And we will use a comprehensive dataset to test this proposition.The development of new institutional economics over the past half-century has offered many insights into the roles of property rights and transaction costs in economic growth[1~3]. Coase (1959) argued that “the delineation of rights is an essential prelude to market transactions,[4]” while the expansion of market transactions opened the prologue of China’s economic miracle. China’s economic reform started from the rural area, where the “the delineation of rights” was first implemented - a transformation from collective farms to a “household contracting responsibility system.”The rural reform was almost completed by the end of 1984[5]. And from the mid-1980s, the emphasis of China’s economic reform shifted to urban areas. The same logic applied. In cities, in order to improve incentives, state-owned enterprises (SOEs) were given more autonomy in their decisions, which was a kind of “delineation of rights.” Then the expansion of market created the need for more private market players. The growing of private businesses, in turn, expanded the market. The virtuous circle went on. As a result, market competition was becoming increasingly intense.The increasingly competitive product market provided a battlefield for enterprises with different ownerships to compete. And it also provided a lab for economists to test the efficiency implications of enterprises with different property rights arrangements. The end result was that private ownership won the “war,” since more and more public enterprises got privatized. Two forces, the growing of new private enterprises, and the privatizing of previous public ones, together contributed to the growing share of private sector in the economy.Although some empirical studies have shown the efficiency advantage of private ownership and the role of privatization in improving efficiency using industry-level data [6~7] and firm-level data[8], systematic studies are still rare to test the role of privatization in China’s economic growth using a panel data of all provincial cross sections and a relatively long time series. We will use such a dataset in this paper and offer some addition to the literature.Reform and opening up are the two sides of China’s transformation over the past three decades. They are not only interrelated but interdependent. Sometimes reform need to be pushed by opening up, while reform, in turn, may promote further opening up[9]. Two important facets of China’s opening up are growing FDI inflow and international trade (especially exports). We focus only on FDI inflow in this paper for reasons to be explained later in this paper. Unlike privatization, the role of FDI in China’s economic growth is more controversial both theoretically and empirically. To put it another way, there is no consensus on the role of FDI in economic growth.Balasubramanyam et al. (1996) proved that FDI plays a greater role in economic growth in countries implementing an export-push strategy than countries implementing an import-substitution strategy[10]. Dai and Bie (2006) argued that the effect of FDI inflow on technological progress and economic growth depends on the human capital accumulation of the host country[11]. That is, preconditions are needed for FDI
39Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008to play a positive role. Even so, most studies argue for a positive role of FDI in developing countries.Although many existing theoretical studies have provided useful insights and arguments on the role of FDI in economic growth, the specific, exact and detailed mechanisms of how FDI contributes to China’s economic growth have not been fully explored.Empirical studies in this area also abound and they offer rich evidence on the role of FDI in economic growth. One minor defect of some previous studies is that their sample size is not large enough. Although they used panel data to enlarge observations, the data were usually from local regions or industries, and covered a relatively short period of time. For example, Zhang and Ouyang (2005)[12] only used data from Guangdong province over 1997-1999; and Zhang (2005)[13] used data only from industrial sectors over 1999-2002.Other studies overcame this problem, such as Wei (2002)[14], and Yao and Wei (2007)[15], among others. By using a provincial-level panel data over 1985-1999, Wei (2002) concluded that 90 percent of the regional growth difference in China could be attributed to FDI. Yao and Wei (2007) confirmed that FDI has pushed China’s production frontier toward the world’s most advanced levels, thus significantly promoted China’s economic growth. These studies, however, failed to take into account (thus control) the effect of property rights change when constructing their regression models.In the present paper, we make the following improvements. One, we will explore the specific and exact mechanisms of how privatization and FDI have contribute to China’s economic growth. Two, we will use a complete panel dataset covering all 31 provinces of Chinese mainland and extending 31 years (1978-2008), so we have 961 observations in our dataset. Three, we include both institutional change (privatization) and FDI inflow when constructing our regression model, rather than just one of them.The rest of this paper is organized as follows. Section II presents two hypotheses on the role of privatization and FDI in the growth process of China. Section III provides the background information on the Chinese economy in the process of privatization and FDI inflow. Section IV uses an empirical dataset that covers 31 provinces over the period of 1978-2008 to test the hypotheses, while Section V is our concluding remark.1 Hypotheses on the Role of Privatization and FDI in Economic Growth1.1 Privatization and economic growtht: Hypothesis IBefore 1978, China failed to catch up with the west because it adopted a public ownership, closed-door, self-reliance and import-substitution policy.1 Generally speaking, it is reform and opening up that leads China to economic prosperity. But what are the specific mechanisms? We conjecture that it is mainly through privatization and FDI inflow. Modern economic theory has suggested that capital accumulation2, technological progress3, and institutional change4 are the three major driving forces of economic growth. So the question turns to: how to achieve capital accumulation, technological progress, and institutional change in a poor and backward country? Our hypothesis is that through privatization and FDI inflow, China’s capital is rapidly accumulated, technology (productivity) and institutions (incentives) improved. How has privatization stimulated China’s economic growth?As Zhang (2010)[5] pointed out, privatization/private ownership was not the initial intention of China’s reform. Actually the first phase of China’s reform could be called “economic liberalization.” Individuals were firstly allowed to open some small 1. Similarly, India did not perform well before 1990 because it also stuck to its closed-door and self-reliance policy as China did before 1978.2. Post-Keynesian growth models focused on the role of savings and investment on economic growth. 3. The Solow growth model concluded that persistent economic growth (per capita income) comes from technological progress (Solow, 1957)[16]. 4. New institutional economics emphasized the role of institutions in economic catch up (Cheung, 2002)[3].
40businesses in the 1980s.5 When market was opened, prices were asked to reflect demand and supply. So the second phase of China’s reform could be labeled “price marketization,” and this phase was almost finished by 1993. Starting from the mid 1990s, especially after the 15th National Congress of Chinese Communist Party (CCP) in 1997, when a so-called “grasping the large and letting go of the small” policy6 was enacted, massive privatization began. Great progress occurred in 2007, when The Property Rights Law of PRC was passed and it took effect, private property has been under better protection than ever before. The trilogy of China’s economic reform - liberalization, marketization, and privatization - is interrelated. Specifically, without economic liberalization, there would be no need for price marketization7. In an almost 100 percent public ownership economy, price just played the function of “unit of account,” it could not assume the function of conveying information on scarcity. And without liberalization and marketization, there would be no need for privatization. If there were no competition from private and foreign counterparts, SOEs would never suffer a loss and would never be privatized.So our hypothesis turns to: why does the private sector contribute more to economic growth than the public sector? Our theoretical foundation comes from insights of new institutional economics: economic performance (rich or poor) is determined by people’s behavior (say, diligent or lazy); people’s behavior is determined by incentive mechanism (say, efficient or 5. This is demonstrated by the document Several Decisions on Expanding Employment Opportunities, Revitalizing the Economy, and Solving the Urban Employment Problems, which was issued by the CCP Central Committee and the State Council in October 1981. For details, please refer to Liu (2010)[9]. 6. That is, large-sized state-owned enterprises would be owned (at least controlled) by the government, while small ones could be privatized in various forms, although the word “privatization” was avoided. 7. The order of the trilogy matters. China’s privatization contributed to economic success, because China’s market was opened for competition prior to privatization, and at the same time, private sector was growing. Russia’s radical privatization led to chaos in the beginning, just because Russia lacked China’s initial conditions. Russia’s experience does not deny the fact that private sector is key to economic success. One basic fact is that no rich country is publicly dominated. See Cook and Uchida (2003)[18]. egalitarian); incentive mechanism is determined by property rights systems, or institutional arrangement (say, private or public ownership).As Milton Friedman (1980)[17] put it, “you can never spend other people’s money as carefully as spend your own.” There is no need to apply complicated reasoning here since it is just human nature. If the government owns a company, then no individual can get the whole benefits from his or her creativeness and diligence, nor bear the full cost of his or her carelessness. So why do they try their best to improve the performance of the company?Zhang (1999)[19] argued specifically that SOEs are doomed to be inefficient because they cannot solve the problems of management selection mechanism and long-run incentive mechanism. The problem does not lie in the agent, which is the manager, but lies in the principal, which is the government. And the government is not an owner with behavioral ability as a natural person. In one word, SOEs have no real owners.Other authors argued that the government is not qualified as an owner of enterprises, since the government is a multi-task principal. Government has many objectives. As the owner of enterprises, it should seek profit maximization; as a regulator of the society, it also seeks welfare, tax, and employment, etc. These objectives, however, are conflicting most of the time.8 Moreover, the government cannot avoid the lobbying from interest groups in the economy (Kornai, 1992; Shleifer and Vishny, 1994).[20~21]Cheung (2002)[3] argued from the perspective of transaction costs that when owners of private capital establish a company with other owners of assets, it is a result of free choice. The aim is to reduce transaction costs and thus increase income. The shareholders of private companies can “vote with their feet,” i.e., sell their shares as a means to punish the manager. The biggest problem of SOEs is that they are not the result of free choice. The state or the government, as the biggest shareholder, cannot transfer its shares freely. 8. For example, for the objective of firm efficiency and profit maximization, the government should lay off redundant workers; but for the objective of employment and social stability, the government should keep them.
41Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008So the mere existence of SOEs incurs high transaction costs.Under the public ownership, de jure, all people or the state or the government or the collective is the owner of enterprises, but de facto, nobody is the real owner. As Frank and Bernanke (2009)[22] put it, “property that belongs to everyone belongs, in effect, to no one.” Under this kind of institutional arrangement, investment can be made, and capital can be accumulated by government decree, but the efficiency and effectiveness of the investment are usually low, not only is its potential economic value never fully realized; it usually ends up being of no value at all, because nobody is really accountable for the outcome of the investment. Under this kind of institutional arrangement, firms have much less incentive to improve their technologies, since nobody cannot benefit from their invention, and cannot be punished by doing nothing. So why bother?The above arguments are usually referred to as “school of property rights” in the literature. The key points are: SOEs are intrinsically inefficient, and this is endogenously determined by public ownership – an exogenous institutional arrangement of letting the government as the owner of enterprises. Their policy implication is also clear, namely, the performance of the public sector cannot be improved unless they are privatized.So based on the above arguments, we propose our first hypothesis: Hypothesis I: Privatization has played a significant role in China’s economic growth in the period of 1978-2008. To put it another way, the private sector has played a more significant role in China’s economic growth than the public sector.1.2 FDI inflow and economic growth: Hypothesis IIFor latecomers of industrialization, it is neither possible nor necessary to invent all technologies required for modernization. On the contrary, latecomers have a tremendous advantage over developed ones in the sense that latecomers can master these technologies in a much shorter period of time.9 For example, they can achieve technological 9. This advantage is sometimes called “advantage of backwardness.” [24]progress through buying patents directly from developed countries, which is much cheaper and much quicker than doing R&D from scratch on their own[23]. This is especially true in the current information era. China is not the inventor of many Internet and telecommunication technologies but Chinese people are now enjoying probably the most efficient and least expensive services in the world because of its huge market size. Even in Africa and North Korea, Internet and mobile phones have become effective tools for transmitting information.Foreign investors have strong incentives to invest in developing countries because they want to secure a market share for their products in the developing world. And more importantly, the cheap labor in host countries makes their products more competitive in the international market, thus increases their returns to capital.10 As Wei et al (2001)[25] pointed out, most foreign investors from North America and Europe focus on Chinese market, while investors from China’s Asian neighbors mainly treat mainland China as a production base and export platform.For host countries, FDI is the most direct and efficient way of acquiring technologies created in developed countries, apart from capital inflow. China also attaches great importance to the managerial experience of these foreign invested enterprises (FIEs).11 So evidently, FDI inflow into the developing countries is not a zero-sum game, but a Pareto improvement for both parties.How has FDI stimulated China’s technological progress and thus economic growth? We have the following arguments.Firstly, FDI brings capital, technology and management skills directly into China. This effect is very obvious. FDI is a more popular way of realizing technological progress in developing countries than buying patents, as observed by Ethier and Markusen (1996)[26]. As a matter of fact, what FIEs 10. Refer to the law of diminishing returns to capital proposed by Romer (1986)[27]. 11. It should be noted that consensus was not reached on the role of FDI at the beginning of the reform due to ideological concerns. See Liu (2010)[9].
42bring into the host countries is not just capital input, but more importantly, they are imbedded with new and high technologies and advanced managerial and organizational skills, which are even scarcer in developing countries than capital, especially at their initial stage of industrialization.12Secondly, FIEs have trained industrial workers and management talents for China. That might not be their initial intentions, but is indeed the objective end result. When FIEs come to the host countries, they will have to hire local production workers and junior/middle managers to take advantage of the cheap labor. So through the effect of “learning by doing,” they help train massive industrial workers and many managerial talents for the host countries. That is, FIEs help improve the human capital of the FDI host countries, which is also an important factor of economic growth and one of the necessary preconditions for catching up (Chow, 2005)[28].Thirdly, the existence and operation of FIEs provide a benchmark for Chinese companies to operate the firm and do business. Through the effect of “learning by watching and imitating,” many Chinese companies have improved their own technology and management levels. Moreover, many Chinese companies also participate in the supply chain of FIEs, such as supplying spare parts to FIEs. So FDI intensifies both competition and cooperation between FIEs and their Chinese counterparts.Fourthly, FIEs have helped create a competitive market and stimulated the regional competition across China. Cheung (2009)[29] argued that regional competition is the key to China’s economic miracle during the past three decades. Counties and cities compete for many things, among which FDI is probably the most important one because the figure of FDI is closely related to local officials’ promotion. In order to attract FDI, local governments compete to improve their investment environment and infrastructure, and compete to deregulate their local markets (Wei, 2010)[30]. And the regional competition 12. China extremely lacked management talent in early 1980s. Please refer to Ma (1984)[31], pp. 226-231.across China in turn promotes local public enterprises’ privatization (Li, Li, and Zhang, 2000)[32].All the above effects, directly or indirectly, have promoted China’s capital accumulation, technological progress and institutional change, thus economic growth. We emphasize that these roles cannot be replaced by domestic investment.So based on the above arguments, we propose our second hypothesis: Hypothesis II: FDI has played a more significant role than domestic investment in China’s economic growth in the period of 1978-2008.In other words, our hypothesis is not whether FDI has played a role in China’s economic growth, but whether FDI has played a more significant role than domestic investment. Our answer is yes.2 The Chinese Economy in the Process of Privatization and FDI InflowChina’s economic reform and opening up have achieved remarkable success if you treat 1978 or before as the benchmark. Over the data period 1978-2008, real per capita GDP increased over tenfold with an average annual growth of 8.61 percent 13 (Fig. 1). By the end of 2010, per capital GDP in China is 19 percent of the U.S., compared with 4 percent when economic reform began just over 30 years ago (Ferguson, 2010)[33].Fig. 1 GDP Per Capita of China in 1952 Constant Price, 1978-200813. An international comparison would be helpful. During the twenty years from 1950 to 1970, Japan grew at an average annual rate of 8.4 percent in per capita income, increasing its per capita income more than sixfold. Over the twenty years between 1960 and 1980, Singapore’s growth in per capita income averaged 7.3 percent. The corresponding figure for South Korea between 1965 and 1985 was 7.6 percent, and Taiwan of China averaged 7.2 percent over the same period (Fogel, 2006)[34].
43Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008China’s economic growth has been powered by a number of factors: increased inputs of capital and labor, FDI inflow, improved technologies, incentives, human capital and infrastructure. In this paper, we are mainly interested in studying the effects of privatization and FDI inflow on China’s economic growth. The change of privatization and FDI are shown in Fig. 2 and Fig. 3 respectively. Fig. 2 Degree of Privatization in China, 1978-2008Fig. 3 FDI Inflows in China, 1983-2008Fig. 2 unfolds an interesting phenomenon. In the first ten years or so of reform and opening up, 1978-1989, the ratio of private sector in the economy was growing rather slowly. If you connect all the dots, you will find that it is approximately a line with a minor positive slope. That means the ratio of private sector in the economy was growing at a constant rate. Actually, this ratio did not exceed 10 percent in this time period. Then from 1989 to 1998, the second ten years of reform and opening up, the ratio of private sector rose sharply. If you connect all the dots in this period, you will find that the relationship between private ratio and time is like a curve of a convex function, which implies that the private ratio was growing at an increasing rate. The third ten years of reform and opening-up, 1998-2008, the ratio of private sector continued to rise, but the relationship is like a concave curve, which means that the private ratio was increasing at a decreasing rate.The curve in Fig. 2 vividly shows the process of privatization happened in China during the past three decades. In the first ten years, most SOEs and collective enterprises were making a profit and there was no urgent demand for privatization; moreover, a lot of township and village enterprises (TVEs)14 were established to meet the growing market demand. During that period, the private sector was mainly individual proprietorships, sometimes operated by husband and wife. The ratio of private sector was increasing, but very slowly. Moreover, within the first ten years of reform and opening up, social ideology/atmosphere on private enterprises was ever changing, sometimes encouraging and sometimes discouraging, which also hindered the smooth development of the private sector.Deng’s remarks in South China in early 199215 cleared the ideological blocks for private enterprises. In the same year, the 14th National Congress of CCP announced that China aimed to establish a “socialist market economy.” More and more private enterprises grew up, competing in the product market. As a result, the product market was becoming more and more competitive. At that time, China actually became a battlefield in which private enterprises, FIEs, SOEs, TVEs and other collective enterprises to compete. “Survival of the fittest,” only those firms that were efficient and competitive enough could survive.16The end result was that public ownership lost the battle. Under fierce competition, more and more SOEs and collective enterprises began to suffer losses in the mid 1990s, and they became fiscal burdens of local governments from taxpayers previously. As a result, local governments began to have strong incentive 14. TVEs were generally owned by the collective, so de jure, they were under public ownership. 15. Deng Xiaoping’s tour to South China in early 1992 is widely recognized as a landmark in China’s reform and opening up process. 16. China in the 1990s also provided a laboratory for economists to test the efficiency differences of producers with different ownerships.
44to privatize them (Han and Oi, 2008)[35]. The 15th National Congress of CCP in 1997 cleared almost all ideological blocks for doing so. The guideline was called “grasping the large and letting go of the small (zhuada fangxiao)” rather than “privatization” to avoid ideological disputes. Very rapidly, most small and medium-sized SOEs and almost all TVEs and other collective enterprises were privatized prior to the turn of the new century.Starting from the new century, China’s economic structure continued to change, al though less dramatically. The ratio of private sector, measured by the ratio of people working in the private sector, continued to rise, but less rapidly than that of 1990s. After the competitive industries were privatized, the rest profitable industries17 are monopolized by SOEs where private investors are not allowed to invest[36]. The vested interests, replacing the political ideology, become the biggest obstacle to further reform[37]. That is why the growth of private sector slows down.China’s reform and open-door policy was implemented from 1978 on a gradual and pragmatic process18 along with its efforts to transform from a centrally planned economy to a market economy. Actually, China’s opening up was implemented prior to reform although reform is usually mentioned first. The first move of opening up was to attract foreign investment. From 1978 to 1991, FDI inflow was encouraged but largely concentrated in the four special economic zones of Guangdong and Fujian province, and 14 other coastal cities and Hainan Island. In this period, the growth rate of FDI was high because of the low base in the 1970s but the level of FDI inflow was low, no more than $4 billion annually. This observation provides an evidence to support Dai and Bie (2006)[11], who argued that FDI would not come to a country unless that country had possessed a certain level of technical ability, especially human capital 17. Such as telecommunications, petroleum, electricity, banking, railway, airlines, etc. 18. Deng Xiaoping had some famous saying to describe China’s reform and opening up, such as “To cross the river by groping stones,” and “A good cat is judged by whether it can catch mouse, not by the color of its hair.”accumulation.Since 1992, FDI inflow into China rose sharply, and in the following years, China became the largest FDI recipient among all the developing countries and the second largest recipient in the world by 1996. FDI inflows into China continued to rise in recent years, exceeding $50 billion in 2002, and reaching $92 billion in 2008. And from 1979 to 2008, China had used an accumulated $852.6 billion of FDI. 19Accompanying the huge FDI inflow, FIEs inves t ing and opera t ing in China have a lso experienced significant growth. By the end of 2007, the number of FIEs in China had reached 280,000 with an investment volume of $2.11 trillion. In 2007, the total import and export volume of FIEs reached $1254.9 billion, accounting for 57.7 percent of China’s total trade. Tax paid by FIEs reached RMB990 billion, accounting for 20 percent of the national tax revenue of China. And FIEs offered more than 50 million jobs in China.20 3 Empirical model and regression results3.1 Model Specification3.1.1 By using the Cobb-Douglas production function, we construct the regression model. Based on previous empirical studies, we quantify the determinants of GDP as follows: capital and labor as basic physical inputs; privatization and FDI as our variables of interest, human capital and infrastructure as environment/control variables. The following empirical model will include all these variables.21 Variables are all taken in natural logarithm as shown in the following equation, Eq.(1). 19. By September 2010, this figure reached $1 trillion. Source: Macao Daily, November 7, 2010, page A10.20. Source: Official website of the National Bureau of Statistics of China, ht tp: / /www.stats .gov.cn/ t j fx/ztfx/ jnggkf30n/t20081028_402512576.htm. 21. One anonymous referee questioned why not include household responsibility system into the regression. True, this reform played a great role in improving agricultural productivity in the early 1980s. However, this reform measure released a lot of redundant farmers, which became migrant workers in the urban areas, and thus contributed to the growth of the private sector in the urban areas. Since privatization is included in the regression, so household responsibility system reformed is not included again.
45Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008where i (i=1, 2, ..., 31) and t (t=1978, 1979, …, 2008) denote province i and year t. Y denotes GDP, which is measured in 1952 constant price. K and L denote capital stock and labor; PR denotes degree of privatization; FDI denotes Foreign Direct Investment, measured as the ratio of FDI over total fixed asset investment; INF denotes infrastructure, measured as the ratio of equivalent highway mileage per 10,000 kilometer squared of land area; and HC denotes human capital, measured as the ratio of number of students enrolled in higher education over population. We will explain the quantification of these variables in detail one by one in the following.In quantifying these variables, the most difficult task is to calculate the capital stock (K) because official publications do not provide any data on this variable. Many authors have tried various ways to measure capital stock, such as the so-called Perpetual Inventory Method invented by Goldsmith in 1951. In this paper, we follow Yao and Wei (2007)[15] by assuming the following equation, Eq. (2).where δ is the depreciation rate of capital stock, which is assumed to be 5 percent, and λ is the rate of capital formation from investment in fixed assets. λ is assumed to be 95 percent, meaning a 5 percent rate of waste in capital formation process.22 A key issue in this calculation is to find the initial capital stock. In this paper, we used the capital stocks of year 1952 as the initial capital Kio, which were calculated by Zhang et al. (2004)[38]. Considering that the initial value of capital stock in 1952 is relatively small for such a long period of time, any other reasonable estimation of the initial level of capital will have no significant effect on 22. It is somewhat simplistic and arbitrary to assume a 5 percent depreciation rate of capital stock and a 5 percent wastage rate in capital formation throughout the data period and across all provinces. It would be more accurate to calculate these rates for different years and different regions, but available data do not permit such practices. An alternative way is to do some sensitivity analyses by varying the depreciation rate and wastage rate. We conducted these analyses and found that the results are robust. That may be because the large size of investments in China, which makes any small proportional change in depreciation and wastage not significantly sensitive to regression results. In Zhang et al. (2004), they just assumed a zero wastage rate[38]. the regression results.Labor L is an indispensable input in any production, and it is probably the easiest variable in our quantifying process. NBS (2010)[39] provides the annual number of labors for each province. With the growing of the number of labor, the structure of labor also changed dramatically. Fan (2010)[40] pointed out that about 200 million peasants were transferred to the industrial and service sectors during the 30 years of reform and opening up.The level or degree of privatization, PR, can be measured in various ways. The first way is to calculate the contribution rate of private sector in GDP; the second way is to calculate the proportion of private industrial value-added in total industrial value-added; and the third way is to calculate the ratio of private fixed asset investment over total fixed investment; and the fourth way is to calculate the ratio of employees working in the private sector over the total number of employees; and so on.All these measures make good sense but none is perfect. The first way is hard to calculate since there are no direct statistics on that. The second and third ways are easy to calculate but they ignore the non-industrial sectors, such as the service industry. The fourth way is easy to calculate and it covers all industries, but it ignores the rural area. Given the dominant position of urban areas in terms of economic size and the huge migration of rural labor to the cities, the fourth way should be a good approximate. So we take the fourth measure of privatization level. Notwithstanding differences in these calculations, they should be closely correlated.By using the fourth way to calculate the degree of privatization (ratio of private sector), we set the denominator as “Total Number of Employed Persons in Urban Areas,” the numerator as “Total Number of Employed Persons in Urban Areas minus Number of Staff and Workers Employed by State-owned and Urban Collective-owned Organizations.”23 In this way, we worked out that, at the national level, the ratio was 23. All these data can be directly obtained from NBS (2010)[39].
4677.66 percent in 2008. That is to say, in urban areas of China, there were about 78 percent of employees that were working in the private sector in 2008, which was unimaginable in late 1970s.In the literature, there are also many ways to measure the degree of openness of a country or region. Usually FDI and export are considered as two measures. The definition of FDI in the production function needs careful consideration. Since capital stock is the accumulation of fixed asset investments, which include both domestic and foreign investments, the production function would be misspecified if FDI, either measured as a flow or stock, was added as another explanatory variable along with capital stock (Yao and Wei, 2007[15]).To avoid the multicollinearity problem and double counting, the variable “FDI” is defined as the ratio of “FDI actually utilized” over “total fixed asset investment.” This definition has a clear advantage since it differentiates the role of FDI from that of domestic investment. If FDI and domestic investment had very close role in the growth process, then this ratio would have no significant effect on GDP. Otherwise, if FDI plays a more important role on production than domestic investment, this ratio should have a statistically significant positive effect. The values of FDI are provided in U.S. dollars in the official statistics. To compute the ratio, we converted all the dollar values into RMB values using each year’s exchange rate.A problem with FDI is the unavailability of data in the early years of the data period for some provinces that had no or little FDI. To avoid the problem of zero values in logarithm, some artificial small values are used to replace zero values. This is a trade-off. On the one hand, it may not be the best way to deal with such a data problem because it is too arbitrary, but on the other hand, it has the benefit of keeping as many observations in the regression as possible. Our implicit assumption is that in this way of dealing with the problem, it should have little effect on the final results.Many researchers consider FDI and export as two sides of the same coin of openness. They argue that participation in international trade allows countries to become more specialized in industries that they have comparative advantage in the international division of labor, and thus realize economies of scale. Not surprisingly, in the literature, export or trade is usually included in the regression model when the dependent variable is GDP, which is used to explain the change of GDP.24However, unlike FDI, export/trade is the result of economic growth, not the cause of it. The underlying logic is that economic growth is determined by production/supply, not by consumption/demand.25 When constructing econometric models to explain economic growth, we need to list the reasons or causes of economic growth as explanatory variables, instead of the results of growth. Otherwise, we are putting the cart before the horse.26 That is why we choose not to include export as an explanatory variable.The variable Labor just measures the quantity of the input, but does not reflect the change of its quality. That is why we include the variable of human capital (HC) in the regression model. Actually, education and human capital is one of the most fundamental conditions for innovation and knowledge creation. In contrast with many other developing countries in Asia and Africa, China and its Southeast Asian neighbors have been quite successful in their development of education and building-up of human capital (Yao and Zhang, 2003)[41].Human capital can be defined in different ways. In the literature, it is usually defined as the ratio of the number of students enrolled in higher education over population, or the ratio of the number of students enrolled in secondary education over population, or the number of students enrolled in higher education over the number of students enrolled in secondary education. In this paper, we choose the ratio of the number of students enrolled in higher education over 24. Sometimes the ratio Export/GDP is used, see Yao and Wei (2007)[15]. 25. GDP=C+I+G+NX introduced in macroeconomics is an identity, not a causation. 26. Of course, we can put the variable of Export to check its correlation (not causation) with GDP. We tried that, but find that there is no statistically significant relationship between Export/GDP and GDP.
47Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008population, since the variations in higher education have a more important impact on economic growth than secondary schooling (Yao and Zhang, 2001)[42].27China’s infrastructure has been improved greatly since 1978. In this paper, we use transportation to measure infrastructure. Great changes have taken place in China in terms of transportation conditions during the past 30 years. China’s first highway was built in 1988, which was only 100 kilometers long, then in 1995, the total length of China’s highway reached 2,100 kilometers, and by 2008, the total length had reached 60,000 kilometers. Mr. Li Shenglin, the Transport Minister of China, predicted that the total length of highway will reach 73,000 kilometer by the end of 2010, and will exceed the United States in next five years.28 One more statistic, by October 26, 2010, China’s high-speed railway mileage has reached 7430 kilometers, which is ranked No.1 in the world.29 Of course, highway is not the only means of transportation. So in this paper, transportation is measured as the equivalent mileages of railways, h ighways and waterways per 10,000 square kilometers. We can easily find the annual mileages of the three transportation means for each province from NBS (2010)[39]. The simplest way to measure transportation is just to add the total lengths of railway, highway and waterway for each province (e.g., Fleisher and Chen, 1997)[43]. However, the transportation capacity of one kilometer of railway is different from that of one kilometer of highway or waterway. Therefore, it is necessary to convert them into one means of transportation. We choose to convert railways and waterways into equivalent highways. The conversion ratios are calculated from the volumes of transport per kilometer by each of the three means of transportation at the national level. Based on the 2008 data, the ratios are 8.07:1.00:4.67. That is to say, we multiply railways by 8.07 and waterways by 4.67 27. In fact, secondary education has already been popularized across China, so the variation of secondary schooling across different regions of China is much lower than that of higher education schooling. 28. Source: Guangming Daily, October 31, 2010. 29. Source: Xinhua Telecom Daily, October 27, 2010, front page.to get their equivalent lengths of highways.30 Table 1 gives the summary statistics of all the relevant variables to be used for regression. All the data used in this paper are based on 31 provinces (autonomous regions and municipalities) for the period of 1978-2008. For the sake of consistency, all data are from NBS (2010)[39].3.2 Panel unit root and panel cointegration testsBefore doing the regression, we need to check whether the variables are stationary. By conducting panel unit root tests,31 we find that all the variables are non-stationary, while the first differences of all the variables are stationary. That is to say, all the variables are integrated of order one, or I(1).32 This has also been confirmed by some previous studies, such as Yao (2006) [44], and Ljunwall (2006) [45]. Therefore, a direct OLS estimation of Eq. (1) may lead to spurious results if the variables in their levels are not co-integrated. A reliable way is test panel cointegration between the dependent and explanatory variables. Pedroni (1999)[46] proposed a procedure to do panel unit root and panel cointegration tests, which is called “Pedroni Residual Cointegration Test.”The common regression model for panel cointegration test is given by the following equation, Eq.(3). where the left-hand side variable represents that of Eq. (1) and the right-hand side variables represent all the explanatory variables in Eq. (1). T is the number of years and M is the number of provinces. If the estimated error term is stationary, then there will 30. This method of conversion is, of course, not perfect as the relative capacity of different transportation means may not be the same in different provinces and in different years. But possible conversion errors may be small as highways account for a predominant proportion of the total transportation volume. So the conversion should be a close proximate of the total transportation capacity of each province. 31. We used two methods to test panel unit roots, one is Levin, Lin, and Chu (LLC), the other is Im-Pesaran-Shin (IPS).32. To save space, we do not present the panel unit root test results here.
48Table 1 Summary statistics (31 years, 31 provinces, 1978-2008)Variable Definition Minimum Maximum Mean Std. Dev.Y ln(GDP) 1.826 9.346 5.696 1.332K ln(capital) 2.262 9.365 6.139 1.305L ln(labor) 4.534 8.730 7.209 0.948PR ln(private ratio) -9.210 -0.130 -2.369 1.862FDI ln(FDI/FAI) -10.855 -0.521 -4.220 1.977INF ln(transportation) -4.350 1.701 -0.984 1.098HC Ln(human capital) 1.350 5.860 3.349 1.026Notes: Std. Dev. = Standard Deviation, FAI=Fixed Asset Investment. All the values are measured in 1952 prices in million RMB (GDP, capital stock, FDI, and fixed asset investment (FAI)); in percentage (FDI/FAI); in million people (labor); and in km/10000 km squared (transportation). Source: NBS (2010). Table 2 Pedroni Residual Cointegration TestAlternative hypothesis: common AR coefs. (within-dimension)Statistic Prob. Weighted Statistic Prob.Panel v-Statistic -0.365039 0.3732 -2.561533 0.0150Panel rho-Statistic 7.348165 0.0000 7.809849 0.0000Panel PP-Statistic 4.052449 0.0001 3.983220 0.0001Panel ADF-Statistic 0.327591 0.3781 -1.651166 0.1021Alternative hypothesis: individual AR coefs: (between dimension)Statistic Prob.Group rho-Statistic 9.200888 0.0000Group PP-Statistic 2.863319 0.0066Group ADF-Statistic -1.929232 0.0620Table 3 ao Residual Cointegration Testt-Statistic Prob.ADF -6.239864 0.0000Residual variance 0.001411HAC variance 0.002203Table 4 Panel data regression results (31 provinces, 1978-2008)Dependent Variable:LN (GDP)Fixed Effect Model GLS Random Effect Model ML Random Effect ModelCoef. t-value Coef. z-value Coef. z-valueConstant -0.875* -2.78 -0.813* -3.05 -0.830* -2.97LN (capital) 0.575* 37.14 0.577* 37.29 0.576* 37.57LN (labor) 0.339* 7.46 0.330* 8.88 0.333* 8.56LN (privatization) 0.018* 3.85 0.017* 3.66 0.017* 3.75LN (FDI/FAI) 0.141* 8.01 0.143* 8.53 0.143* 8.48LN (infrastructure) 0.087* 4.06 0.094* 4.57 0.092* 4.45LN (human capital) 0.150* 11.61 0.148* 11.83 0.149* 11.89DiagnosisR² (adj.) = 0.9946F(30, 924) = 346.24Notes: * Significant at 5 percent critical level or below.
49Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008be a cointegration vector. This is to test whether from an auxiliary regression of the following equation, Eq. (4). (4)Eq. (4) can be used to test for the existence of a unit root in any variable, so it is a kind of residual test. Actually, the same program can be used for both panel unit root and panel cointegration tests. More theoretical and technical details of this procedure are in Pedroni (1999). Pedroni (1999) is not the only procedure of cointegration test. Kao (1999), and Kao and Chiang (2000) proposed another procedure for panel cointegration test, which is called “Kao Residual Cointegration Test.” [47~48] One difference between Pedroni and Kao is that Pedroni estimation allows for the existence of heterogeneous panels. The null hypothesis in both estimations is that there is no cointegration.The panel cointegration test is conducted for Eq.(1) and the test results are given in Table 2 and 3. Table 2 presents the results of Pedroni test, all the test statistics except Panel v and Panel ADF show strong evidence of cointegration. Table 3 shows the results of Kao test, and the test statistic shows strong evidence of cointegration. 3.3 Regression resultsBecause Eq.(1) has passed the panel cointegration test, the long-run static model will not be spurious even though all the explanatory variables are non-stationary. Eq.(1) is estimated with OLS in three different models.33Table 4 shows the regression results of our regression models. Although the Hausman test supports the fixed effect model, we would like to 33. In the literature, some authors used a Generalized Method of Moments (GMM) approach (Yao and Wei, 2007), which was proposed by Arellano and Bond (1991)[49]. GMM has an advantage of reducing multicollinearity among explanatory variables and endogeneity between the dependent and explanatory variables. But the estimator is designed for datasets with many panels and few periods, which is not the case of our datasets. In our model, FDI and privatization are both defined in ratios, which would have greatly reduced the problems of multicolliearity and endogeneity. So we declined to use GMM approach in our regression. present the regression results of all three models. All the estimated coefficients are expected for their sign, size and significance. In particular, let us pay attention to two parameters of our interest: the coefficients on ln(privatization) and ln(FDI/FAI). In all models, these coefficients are positive and statistically significant. These results strongly support the hypotheses we presented at Section II of this paper. One, privatization has played a significant role in China’s economic growth; private sector has contributed more to the national economy than the public sector. Two, FDI has played a more important and more significant role than domestic investment in China’s economic success over the data period.Besides privatization and FDI, other variables are also important for China’s economic growth. These variables include infrastructure development and human capital. The estimated coefficient on ln(infrastructure) is positive, statistically significant. That makes good sense theoretically and even by common sense. During the past three decades, China has invested heavily in infrastructure construction. Modern factories, world-class highways, railways, ports, and airports have been built with unprecedented speed and scale. The improvement of infrastructure greatly facilitates production and distribution of resources and products, which will definitely have a positive effect on the economy.Human capital is another important variable. The estimated coefficient is positive and significant in all models. The results show that, ceteris paribus, if the ratio of higher education enrollment to population increases by 1 percent, the level of production will increase by about 0.15 percent. Given that higher education has developed dramatically since the late 1970 and especially after the mid-1990s, human capital must have played a vital role in China’s economic miracle. This result echoes Nobel Prize laureate Robert Fogel’s point, who argued that a well-trained labor force will have a deep and profound effect on the economy. Fogel predicted that the production ability of a high school graduate will be 1.8 times that of a worker who only finishes the
509 year compulsory schooling, and the production ability of college graduate will be 3 times of a 9 year compulsory schooling graduate (Fogel, 2006).[34]Lastly, it is interesting to examine the elasticity of capital and labor. The sum of these two coefficients is approximately one (a little bit more than 0.9), implying a constant or minor decreasing returns to scale economy if the technology and institution factors are taken into account. The value of capital elasticity nearly doubles the labor elasticity, suggesting that capital has contributed a larger share to the economic pie. Moreover, capital can be more rapidly accumulated than labor force, since the labor force growth is constrained by the growth of population. 4 Concluding remarksReform and opening up are the two sides of the same coin of China’s great institutional transformation during the past thirty years. Privatization is the key to China’s economic reform, and FDI inflow is at the core of opening up. They are the two most important driving forces that have sustained China’s economic success. In this paper, we analyzed the mechanisms of privatization and FDI in leading to China’s rapid economic growth, and also presented evidence to support our propositions.In one word, economic reform and opening up have enlarged people’s freedom of choice. Not only foreign investors are allowed to establish joint ventures and wholly foreign-owned enterprises in China, but also more and more Chinese people with entrepreneurial abilities have opportunities to start their own businesses. Opportunities are given to the people, and incentives are put right. In this sense, China’s economic success is a miracle, but not a puzzle. We predict that continued growth depends on continued reform and opening up. China’s future economic success will depend on further privatization, rather than nationalization, and open-door policies, rather than closed-door ones. This result will provide useful implications for other developing countries to catch up with developed ones.Limitations of this paper are as follows. One, too many factors contribute to a country’s economic growth, we cannot exhaust them, so the model may be biased to some extent. Two, since the data of capital stock are not directly available, although we calculate them based on methods in the literature, they are somewhat arbitrary.References [1] Coase RH. The nature of the firm. Economica, 1937, 4(16): 386-405.[2] Coase RH. The problem of social cost. Journal of Law and Economics, 1960, 3(1): 1-44.[3] Cheung S. Choice of institutions: volume III of economic explanation. Hong Kong: Arcadia Press, 2002.[4] Coase RH. The federal communications commission. Journal of Law and Economics, 1959, 2(1): 1-40. [5] Zhang W. The Logic of the Market. Shanghai: Shanghai People’s Press, 2010.[6] Liu X. The effects of privatization on industrial performance in Chinese economic transition. Economic Research Journal, 2004, 8(1): 16-26.[7] Zhao S. Ownership structure and the industrial efficiency of Chinese manufacturing industry. Review of New Political Economy, 2006, 2(2): 50-67.[8] Zhao S., Chen Q. Property rights reform patterns and technical efficiency of the firm. Economic Research Journal, 2007, 11(1): 71-81.[9] Liu H. 1980s and Chinese Economists. Guilin: Guangxi Normal University Press, 2010. [10] Balasubramanyam VN, et al. Foreign direct investment and growth in EP and IS countries. Economic Journal, 1996, 106(2): 92-105.[11] Dai Q, Bie Z. FDI, accumulation of human capital and economic growth. Economic Research Journal, 2006, 4(1): 15-27.[12] Zhang J, Ouyang Y. Foreign direct investment, the spillover effect, and economic growth: a case of Guangdong province. China Economic Quarterly, 2003, 2(3): 647-666.[13] Zhang H. Two faces of R&D, activity of FDI and the growth of productivity of domestic manufacturing in China. Economic Research Journal, 2005, 5(1): 107-117.[14] Wei H. Effects of foreign direct investment on regional economic growth in China. Economic Research Journal, 2002, 4(1): 19-26.[15] Yao S., Wei K. Economic growth in the presence of FDI: the perspective of newly industrializing economies. Journal of Comparative Economics, 2007, 35(2): 211-234.[16] Solow R. Technical change and the aggregate production. Review of Economics and Statistics, 1957, 39(2): 312-320.[17] Friedman M. Free to choose. New York: Avon Books, 1980. [18] Cook P., Uchida Y. Privatization and Economic Growth in Developing Countries. Journal of Development Studies, 2003, 39(6): 121-154.[19] Zhang W. Theory of the firm and the reform of Chinese enterprises, Beijing: Peking University Press, 1999.[20] Kornai J. The post-socialist transition and the state: reflections in the light of Hungarian fiscal problems. American Economic Review, 1992, 82(2): 1-21. [21] Shleifer A., Vishny, R. Politicians and firms. Quarterly Journal of Economics, 1994, 109(4): 995-1025.
51Shiyong ZHAO China’s Economic Growth in the Process of Privatization and FDI Inflow: 1978-2008[22] Frank R., Bernanke B. Principles of economics (4th edition), New York: McGraw-Hill Companies, Inc, 2009.[23] Lin JY. Development strategy, viability, and economic convergence. Economic Development and Cultural Change, 2003, 51(2): 276-308.[24] Lin JY. Backward advantage or backward disadvantage: a discussion with Yang Xiaokai. China Economic Quarterly, 2003, 2(4): 989-1004.[25] Wei H., et al. An analysis of motives and location factors of foreign direct investment in China. Economic Research Journal, 2001, 4(1): 67-94.[26] Ethier W., Markusen J. Multinational firms, technology diffusion and trade. Journal of International Economics, 1996, 41(1): 1-28.[27] Romer P. Increasing returns and long run growth. Journal of Political Economy, 1986, 95(3): 1002-1037.[28] Chow G. China’s Economic Transformation. Beijing: Renmin University of China Press, 2005.[29] Cheung S. China’s Economic System, Beijing: CITIC Press, 2009.[30] Wei S. Local government should be given more experimental space [N]. Southern Weekend, 28 October 2010 (F31). [31] Ma H. Economic Structure and Economic Management, Beijing: People’s Press, 1984.[32] Li S., Li S., Zhang W. The road to capitalism: competition and institutional change in China. Journal of Comparative Economics, 2000, 28(2): 269-292.[33] Ferguson N. In China’s orbit [N]. Wall Street Journal, 18 Nov. 2010. [34] Fogel R. Why China is likely to achieve its growth objectives. NBER Working Paper No. 12122, 2006 March. [35] Han C., Oi J. Fiscal motivation for property restructurings of public enterprises in China. Economic Research Journal, 2008, 2(1): 56-67.[36] Zhao S. Government policies and private enterprise development in China: 2003-2006. China & World Economy, 2009, 17(4): 36-52.[37] Zhang W. The longer the stagnation of reform, the stronger the explosive power [N]. Southern Weekend, 11 Nov. 2010. [38] Zhang J., et al. The estimation of provincial-level physical capital of China: 1952-2000. Economic Research Journal, 2004, 10(1): 35-44. [39] NBS (National Bureau of Statistics). China Compendium of Statistics 1949-2008, Beijing: China Statistics Press, 2010. [40] Fan G. China announced a war against income gap [N]. Southern Weekend, 4 Nov. 2010 (D19).[41] Yao S., Zhang Z. Openness and economic performance, a comparative study of China and the east Asian newly industrializing economies. Journal of Chinese Economic Business Studies, 2003, 1(1): 71-96.[42] Yao S., Zhang Z. On regional inequality and diverging clubs: a case study of contemporary China. Journal of Comparative Economics, 2001, 29(3): 466-484.[43] Fleisher B., Chen J. The coast non-coast income gap, productivity, and regional economic policy in China. Journal of Comparative Economics, 1997, 25(2): 220-236.[44] Yao S. On economic growth, FDI and exports in China. Applied Economics, 2006. 38(3): 339-352.[45] Ljungwall C. Export-led growth: applications to China’s provinces, 1978-2001. Journal of Chinese Economics and Business Studies, 2006, 4(2): 109-126.[46] Pedroni P. Critical values for cointegration test in heterogeneous panels with multiple regressors. Oxford Bulletin of Economics and Statistics, 1999, 61: 653-670, Special Issue. [47] Kao C. Spurious regression and residual-based tests for cointegration in panel data. Journal of Econometrics, 1999, 99(1): 1-44.[48] Kao C., Chiang MH. On the estimation and inference of a cointegrated regression in panel data. Advances in Econometrics, 2000, 15(1): 179-222.[49] Arellano M., Bond S. Some tests of specification for panel data: Monte Carlo evidence and an application to employment equations. Review of Economic Studies, 1991, 58(2): 277-297.國際交流創意共用”團隊（CC Macau）赴波蘭參加Creative Commons全球峰會9月16 至18 日，Creative Commons（創意共用）組織全球峰會在波蘭首都華沙Primate Palace隆重召開。峰會聚集了全球五十多個不同司法管轄區近300名 CC 組織成員，以及維基百科、Google 等全球組織參與。以澳門科技大學為主的澳門“創意共用”團隊（CC Macau）受邀參會。會議開幕當日，澳門“創意共用”團隊作為 CC 全球組織的新成員在峰會上發言，介紹團隊成立一年以來所做的工作。其他法域的 CC 團隊對 CC Macau 在短短時間內已完成文本第一稿表示讚許，而亞太地區分會更邀請澳門創意共用團隊加入亞太 CC 的互動平臺。澳門創意共用團隊同時亦了解到 CC License 的新動向，尤其是 CC4.0 版本與以前所有版本的本質區別，體現了更加國際化及開放的價值取向。參會期間，澳門創意共用團隊與眾多 CC 成員組織建立了聯繫，其中包括葡萄牙“創意共用”組織（CC Portugal），并與之在澳門 CC3.0 葡文版方面的合作達成了基本意向。本次全球峰會歷時三天，通過參加法律、語言、拓展及技術支援等不同的會議及與 CC 總部及其他 CC 團隊的交流，澳門“創意共用”團隊更加體會到 Creative Commons 在互聯網環境下對知識傳播產生的深刻影響和長遠意義，同時也充分相信在澳門政府大力發展文化創意產業的背景下，澳門創意共用團隊必將在創意保護與共享領域發揮出更大的作用。
52第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 初探澳門的博物館商店王盈娟*（澳門科技大學國際旅遊學院，澳門）摘要： 博物館商店延伸了博物館的展覽，也拉近了參觀者和陳列在櫥窗內的展覽品的距離。在許多國家，博物館商店提供給觀眾一個休閒和教育的地方，也成為他們參觀博物館時必拜訪之處。本作者在參與歷史博物館觀眾感知的研究中，發現澳門的博物館商店常為參觀者所忽略的一環。因此，在本文中針對博物館商店扮演的角色，其設立的目的和功能來討論目前澳門博物館商店的狀況。更以本研究小組對於澳門博物館商店的實地考察及採用幾位專家的訪談內容來更進一步的了解博物館商店其目前的困境及未來的方向。關鍵詞： 博物館商店；教育功能；特色商品；人員訓練An Exploration of Museum Shops in MacauYing-Chuan WANG ( Faculty of International Tourism, Macau University of Science and Technology, Macao, China )Abstractt: A museum shop is an extension of the exhibition and shortens the distance between the visitors and displayed items. In many countries, museum stops provide the visitors a place for education and leisure and they often become a must-go destination in museums. In this research, the author discovered the museum shops in Macau seem to be an issue which has been paid less attention so that she attempted to explore the situations occurred inside museum shops in Macau. Therefore, this article discussed current circumstances in Macau Museum shops by focusing on its role, the purpose of establishing, and its features. The research team had collected information from locals and interviewed experts on the field to understand further on the dilemmas, future directions of Macau Museum stops.eywordst: Museum shops; Educational function; Merchandises; Staff training收稿日期：2011-9-15；修訂日期：2011-11-18。本文為澳門基金會資助下的課題 《澳門博物館的觀眾感知服務品質研究》的部分研究成果，課題編號為：0152。課題負責人為唐娟，課題主要成員有李璽、王盈娟、王亮、王心、劉雨竹、李威朗。*通訊作者：王盈娟，女，博士，助理教授，研究方向：旅遊文化行銷。Email：ycwang@must.edu.mo，Tel：889729180 前言博物館商店常被認為是博物館的附屬品，地位無舉足輕重。因為博物館的觀眾前往博物館是為了欣賞陳列的古物和藝術品，所以對於參觀博物館商店一事，常被認為是沒有絕對的必要。因此往往博物館的觀眾在欣賞玩歷史文物之後，便匆匆離去。或許他們會認為商品引起不了他們的購買慾；或許他們會覺得沒有必要駐足參觀，因為欣賞博物館的陳列品才是參觀的主要目的；又或許說博物館商店常被單純的認為只是商店，販賣商品謀利，其本質跟博物館的特性大相徑庭。但是在許多歐美國家，博物館商店是博物館裡重要的一個部門，而非是博物館的附屬部門。這是因為博物館商店在博物館中扮演著一個重要的角色，能讓博物館服務社會大眾的功能性增強。
60論是經營文化產業或博物館商店應該放棄只以賺錢為目的，應該一切要以人為前題[12]。4 結語本研究在實地考察及進行專家訪談之後，在澳門的博物館商店這個議題上，有了較深入的了解。由於澳門的博物館經費皆由政府編列預算，再者澳門的博物館根據屬性由不同的政府機關管理，形成各博物館之間各自發展，無法統一管理，所以導致博物館的經營略顯缺乏競爭力。黃光男[11]表示，博物館商店在博物館的營運上的確很重要。適時用企業的方式，延伸博物館的教育功能。藉文物衍生品，使博物館的教育功能更具有普遍性和實務性，以開創文物的新生命。過去博物館以收藏為主，現在博物館周邊的設施，也是博物館營運的重要收入之一，讓觀光及文化產業藉此延伸發展。因此在未來澳門的博物館的發展，應由一個政府的部門統一管理，引進專業的思維將博物館及其周邊打造成具有教育意義和在消費上具有競爭力的場所。博物館商店也應經過良好的規劃，商店的佈置和商品的選擇以及人員的訓練皆應重視，將博物館商店變成全方位服務人民的休閒場所。此外商品的選擇不應該以利益為導向，而是以教育目的。商店的佈置要以乾淨和商品要多元多量為原則，延伸參觀者的參觀經驗，也提供參觀者有更多的購買選擇。人員的訓練亦不可忽視，對銷售人員做展覽品的教育訓練以利人員在銷售商品中，對參觀者進行完善的商品解說，以達到教育目的。另一方面應建立獎懲制度應來提高服務品質。参 考 文 獻[1] Bruno, SF. Arts& Economics: Analysis & Cultural Policy. New York: Springer-Verlay, 2003.[2] Drucker, P. Managing the Non-Profit Organization. New York: Harper Collins Publications, 1992.[3] Kotler, N. Attracting Resources: Building Membership: Volunteer and Donor Support. Museum Strategy and Marketing. San Francisco: Jossey-Bass Inc. Publishers, 1998.[4] Sekers, D. （阮國企譯）. 博物館賣店的教育潛能. 博物館學季刊， 1987， 1 （3）: 67-70.[5] 文大強. 零售經營實務. 上海：復旦大學出版社， 2004.[6] 王宏鈞. 中國博物館學概論. 上海：上海古籍出版社，2001.[7] 王琍. 零售管理. 上海：立信會計出版社， 2005.[8] 周進智. 博物館商店功能之再檢討. 載於黃永川主編.博物館營運的新思維. 台北:國立歷史博物館，2002a，297-313.[9] 周進智. 非營利文化機構中營利事業之探討-以博物館為例.載於黃永川主編。博物館之營運與實務. 台北:國立歷史博物館，2002b，210-231.[10] 周進智，林志峰. 成功地在博物館裡敲響收銀機.北投溫泉博物館專刊，2002 (2)，84-94.[11] 黃光男.文化產業與博物館發展。智邦藝術基金會專欄文章，(2008) [2010年10月]. 網址：http://seed.arttime.com.tw/Know_Detail.aspx?ID=6.[12] 黃光男. 博物館企業. 台北：藝術家，2007，75-108.[13] 潘欣欣. 將感動帶回家：以奇美博物館為例淺談博物館商品店. 台北：典藏金藝術，2005，92-93.[14] 羅欣怡. 從宜蘭博物館館家族談地方博物館運動. 蘭陽博物， 2001，3：11-12.校園活動學生事務處舉辦“校園生活輔導會”為協助大批海外來澳新同學盡快適應大學校園生活，學生事務處於9月20～22日一連三天於D 座會議廳舉辦了多場“校園生活輔導會”。“校園生活輔導會”通過總結過往學生案例，例如竊賊作案手法、祈福黨、中獎騙局、詐騙以及手機、虛假網站等多個方面，提醒學生注意財物安全，提高防盜、防騙意識以及瞭解相關措施。此外，生活輔導老師還通過真實案例，講解“如何減少宿舍火災隱患”，并定於10 月下旬對住校的同學進行“火警演習”實練。“校園生活輔導會”已連續三年舉辦，內容豐富充實，為同學們安全和諧的住宿生活奠定了基礎，為同學們儘快融入校園以及澳門地區的生活起到了積極的引導作用。
61第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 中國房地產相關政策對房地產H股股價影響研究胡逸彪1，2，宋 宇2，衣方磊2（1. 澳門理工學院，澳門 ﹔2. 澳門科技大學行政與管理學院，澳門）摘要： 本文運用事件研究法，從香港股票市場抽取房地產H股的日收市價作為樣本，分析中國政府的利率政策及房地產調控政策對房地產H股股價的影響。結果表明，中國政府的利率調整和房地產調控政策對房地產市場的影響各有不同，其中﹕1)於研究期間的利率政策對內地房地產H股的股價具有顯著的影響，股價於利率上調事件的信息公佈後呈上升走勢﹔2)下調借貸利率的信息公佈則令H股股價出現滯後上升的現象。3)中國政府的房地產調控政策則對房地產H股的股價不具有顯著的影響。關鍵詞： 事件研究法；房地產政策；利率調整 A study of the impact of China’s real estate related policy on H share stock priceIat Pio WU1,2, Yu SONG2, Fanglei YI2 ( 1. Macau Polytechnic Institute, Macau, China ) ( 2. Macau University of Science and Technology, Faculty of Management and Administration, Macau, China )Abstractt: This paper base on Event Study, the samples was taken daily closing price form the Hong Kong stock market real estate H share, combining the practical circumstances in order to discover the market reaction to the Chinese government real estate related policies. The analysis shows difference reaction form the interest rate policy and estate regulatory police: 1) the interest rate policy had a significant impact to the market price of the real estate H share and the stock price was raised up after the event information announced. 2) The decreasing lending rate policy had a remarkable impact to the market price of the real estate H share and the stock price was lagged raised up after the event information announced. 3) China’s real estate regulatory policy with no significant impact to the market price of the real estate H share.eywordst: Event Study; Real Estate Policy; Interest Rate Adjustment收稿日期：2011-7-20；修訂日期：2011-9-30。本文受澳門基金會“旅遊博彩業的相關問題研究＂項目及中南財經政法大學基本科研業務費項目 No.2009026資助。通訊作者:宋宇，男，博士，副教授，主要研究方向為房地產經濟學。E-mail: simonsy@gmail.com.0 引言“房屋”千百年來都是中國人眼中最為重要的資產，這種傳統的觀念在中國人心中可謂根深蒂固。改革開放 30 多年來，我國國民經濟取得了飛速發展，隨著人民生活水準不斷提高，中國房地產市場亦不斷飛速發展。為保持我國房地產市場的發展能持續穩定，政府必須對房地產市場進行商當的調控。其中利率政策是中國政府最常用於調控房地產市場的其中一種手段。從 2006 年開始到 2010 年五年間，我國共經歷了 15 次的利率調整，其中有 10 次上調和 5 次的下調。當然，除了利率政策外，中國政府亦經常透過土地政策、稅收、房屋的供應、貸款和買賣的限制等政策，對房地產市場進行調控。而且常以
62組合的形式，混合多方面的政策推出，以加強調控的效果。其中特別重要的有：2006 年 5 月 17 日，國務院常務會議提出了促進房地産業健康發展的六項措施，簡稱“國六條”。2009 年 12 月 17 日，財政部、國土部等五部委出台《進一步加強土地出讓收支管理的通知》。2010 年 1 月 10 日，國務院發布《關於促進房地產市場平穩健康發展的通知》，簡稱“國十一條”。2010 年 9 月 29 日，多部委出台鞏固房地產市場調控成果措施。暫停發放第三套及以上房貸；首套房首付比例不低於30%；房價過高上漲過快城市要限定居民購房套數，調整住房交易環節的契稅和個人所得稅優惠政策等。這些房地産相關政策對中國房地産市場産生怎樣的影響，是十分值得關注和研究的問題。現時已有不少關於內地房地產股的相關研究，大部份都是從 A 股市場抽取樣本，但經過國內眾多學者的研究表明，我國股市由於仍處在初級階段，很多法律法規還未完善，市場存在大量的違規違法行為，導致我國股市並沒有完全發揮其應有的作用。股價存在大量和現實經濟不相適應的異常波動，主要股指和各種國民經濟重要指標之間只存在弱相關關系或不存在關系。如肖畋 (2006)[1] 根據回歸方程得出貨幣政策指標供給的月度增長率與股市收益率成負相關。吴逸 (2007) [2]實証分析了 1996 年 1 月到 2006 年 10 月的上証指數與宏觀經濟各指標如工業增加值、M1、M2、外匯儲備、銀行間 7 天同業拆借利率之間關係後，得出即宏觀經濟的變化對上證指數不產生影響的結論等。相對而言 H 股市場則較為成熟，市場行為受到嚴謹的規範。股價更能反映市場上的實際情況，故本研究會從 H 股市場抽取樣本進行研究。事件研究法 (Event study) 是一種統計方法，用於研究某一特定事件的發生是否對股價產生影響，其主要思想是通過異常回報率的平均和累計，來檢測股票市場證券價格與特定事件之間的關聯性。在過去幾十年事件研究法得到了前所未有的發展，在會計、金融、法律和經濟等領域有著廣泛的應用，尤其多用於分析特定事件對公司股價的影響。本文是基於傳統的事件研究法，分析中國的房地產相關政策，包括：利率政策和房地產調控政策，對內地房地產 H 股股價的影響並得出結論。本文的第二部份是對事件研究法的文獻綜述﹔第三部份是介紹研究方法、研究事件、樣本公司的選擇和分類以及數據的篩選和檢驗﹔第四部份是從利率和調控政策两個方面，分析中國房地產相關政策對房地產上市公司的影響﹔第五部份為總結。1 文獻綜述事件研究法具有較長的歷史，首先是 James Dolley 於 1933 年提出，其用事件研究法，檢驗了美國股票市場股票分割對股價的影響。而 R. Ball & Brown (1968)[3] 以及 Fama, Fisher, Jensen, & Roll (1969) [4] 的研究使得事件研究法的發展更進一步。此後，許多學者又對事件研究法進行了研究和發展，主要表現在對統計假設、檢驗統計量及事件研究法的常規問題進行探討和完善。Brown & Warner, (1980) [5]; Brown & Warner (1985) [6] 的研究在事件研究法的發展中具有舉足輕重的地位，其採用了模擬的方法，分別用月度和日度數據在方法論上對事件研究法進行研究，文章中對計算異常回報率的模型、統計假設、各種統計量的檢驗效力進行了全面而深入的研究和比較，並針對事件期的集聚現象進行了論述，提出了原始相關調整的統計量調整方法，尤其在後一篇文章中，作者更是對事件研究法中的截面相關、非同步交易以及方差在事件期增大等現象進行了詳細的研究。Kothari & Wasley (1989) [7] 檢驗了公司規模效應的影響，通過模擬的方法得到結論，當事件期在日曆上存在集聚現象以及事件對大公司和小公司都有影響時，基於市場調整模型以及市場模型的常規的檢驗會產生錯誤設定的問題，在此基礎上提出了規模控制資產組合的方法。Eckbo, Maksimovic, & Williams (1990) [8] 對截面回歸模型的統計量進行了研究。Boehmer, Musumeci, & Poulsen (1991) [9] 通過模擬研究發現當零假設為真
66圖2 上調借貸利率期間內地房地產企業的 平均異常回報率(AAR)及績效指標(API)3.2 下調借貸利率對房地產企業股價影響相反借貸利率下調對房地產市場是一種正面的信息，從圖 3 中看到，內地房地產企業的 AAR及 API 在事件日前基本呈下降的趨勢，AAR 從事件前 5 個交易日的 -0.6581 一直持續下跌到事件日後第 1 個工作天的 -0.7156，直至事件日後第 2 個交易日 AAR 才開始連續三天的回升。在事件公佈後 AAR 並没有即時出現反彈，這種滯後的反應反映了市場人士對利率下調所帶來的影響抱有觀望的心態，這是由於本次研究的減息周期處於美國金融海嘯爆發的時期，市場上存在大量的不明朗因素，市場人士在這種大圍環境的影響下變得非常謹慎，導致了這種滯後的現象出現。隨後當他們發覺市場的主體心態受減息政策刺激而趨於穩定後，減息所帶來的正面效應才顯現出來。說明借貸利率下調對內地房地產企業確實具有正面的刺激作用。我們可以進一步從 API 的走勢中看到，在事件公告後 API 的下跌幅度明顯減慢，並逐步從下跌趨向水平波動，這進一步證實了借貸利率下調為市場帶來了穩定的作用。圖3 下調借貸利率期間內地房地產企業的 平均異常回報率(AAR)及績效指標(API)3.3 房地產調控政策對房地產企業股價的影響近年中國的房地產價格不斷上升，為控制房地產價格的增長，中國政府經常推出不同類型的調控政策，以防止炒賣過熱的情況。圖 4 顯示了中國政府推出房地產調控政策時，內地房地產企業的 AAR 和 API。我們可以看到 AAR 在事件期內基本是呈輕微下跌的趨勢，雖然隨著調控政策的公佈 AAR 由事件公佈日的 -0.0614 下跌至事件公佈後第 2 個交易日的 -0.0767。這一段下跌似乎反應了調控政策對市場具有負面的影響，但由於下跌幅度輕微，故很難單從 AAR 的走勢來對市場的反應進行判斷。而從 API 的走勢看，在事件公佈日的前後API 只是延續前期的走勢，而没有出現明顯的大幅波動。若調控政策對市場確實具負面影響，API 的走勢應出現更大幅度的下跌。因此可以判斷事件的公佈並未為市場帶來明顯的正面或負面刺激。說明總體上內房企業 H 股的股價並未有對中國政府的房地產政策作出強烈的反應，這亦跟 t 檢驗中整個事件期內都不具有顯著性的結果相吻合。証實了中國政府的房地產政策對內地房地產企業 H
67胡逸彪，等 中國房地產相關政策對房地產H股股價影響研究股的市場價值不具有顯著的影響。原因可能與以下幾點有關 :1. 香港股市的投資者大部份並非生活在內地，他們對中國政府的房地產政策所產生的影響沒有很直接的體會；2. 由於分隔二地，政策信息的傳導很容易受到一些噪音的影響，導致市場對這些政策的敏感度不高；3. 中國政府的調控政策力度不足，市場並不擔心會對房地產市場構成很大的影響。圖4 房地產調控政策期間內地房地產企業的 平均異常回報率(AAR)及績效指標(API)4 結論本文運用事件研究法進行實證分析，以平均異常回報率和累計積效指標分析了中國的利率調整和房地產調控政策，對內地房地產企業的影響。並通過對 31 家內房 H 股企業的股價樣本進行實證分析，所得結論如下 : 第一，上調借貸利率政策的公布對房地產 H 股股價具有顯著影響，從事件窗內 AAR 和 API 的走勢可以看到，股價並没有受到利率上調的負面消息影響而下跌，反而因利率上調政策公佈而加快上升，為房地產企業帶來了正效應。說明利率的上調幅度不足以壓抑市場人士對房地產市場持續向好的期望，未能達到壓抑房地產市場的作用。第二，下調借貸利率政策在整個事件期內，對房地產 H 股股價都具有顯著影響，AAR 和 API 並未因下調借貸利率的政策公佈而即時出現反彈，而是於事件公佈後第 2 個交易日才開始回升，這種滯後反應表示市場人士在利率下調的周期內，普遍對房地產市場抱有觀望的態度。當他們發覺市場的主體心態受減息政策刺激而趨於穩定後，減息所帶來的正面效應才顯現出來。利率下調仍然能為市場帶來穩定的作用。第三，中國政府的房地產調控政策對內地房地產企業的影響並不顯著。AAR 和 API 都没有因調控政策的公佈而出現明顯波動，說明了房地產 H 股的股價未受內地房地產調控政策的影響。参 考 文 獻[1] 肖畋. (2006). 我國宏觀經濟資料與股市收益率——基於偏最小二乘法的實證分析. 商場現代化, (33)[2] 吳逸. (2007). 中國股票市場與宏觀經濟關係的實證分析. 中國集體經濟(下半月), (06)[3] Ball, R., & Brown, P. (1968). An empirical evaluation of accounting income numbers. Journal of Accounting Research, 6(2), 159-178.[4] Fama, E. F., Fisher, L., Jensen, M. C., & Roll, R. (1969). The adjustment of stock prices to new information. International Economic Review, 10(1), 1. [5] Brown, S. J., & Warner, J. B. (1980). Measuring security price performance. Journal of Financial Economics, 8(3), 205-258. [6] Brown, S. J., & Warner, J. B. (1985). Using daily stock returns : The case of event studies. Journal of Financial Economics, 14(1), 3-31. [7] Kothari, S. P., & Wasley, C. E. (1989). Measuring security price performance in size-clustered samples. The Accounting Review, 64(2), 228.[8] Eckbo, B. E., Maksimovic, V., & Williams, J. (1990). Consistent estimation of cross-sectional models in event studies. The Review of Financial Studies (1986-1998), 3(3), 343. [9] Boehmer, E., Musumeci, J., & Poulsen, A. B. (1991). Event-study methodology under conditions of event-induced variance. Journal of Financial Economics, 30(2), 253-272. [10] MacKinlay, A. C. (1997). Event studies in economics and finance. Journal of Economic Literature, 35(1), 13-39. [11] 萬力, 楊寧. (2007). 企業增長機會與股權再融資股價反應相關性分析. 北京工商大學學報(社會科學版), (05) [12] 謝志斌, 楊棟. (2007). 股權分置與非正常收益率:對價方案效果的實證研究. 統計與決策, (12) [13] 肖彥, 李玨. (2008). 中國房地產上市公司業績與股價的關聯性研究. 中國管理資訊化, (17)
69第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 影視旅遊國外文獻綜述唐 娟，高尚梅（澳門科技大學國際旅遊學院，澳門）摘要： 影視旅遊因其在提升旅遊目的地知名度以及帶來巨大經濟效應等不可小覷的作用而受到學術界越來越多的重視，近年來國外針對影視旅遊的研究逐年增多，研究角度呈現越來越新穎，寬廣的趨勢。本文在綜合檢索了1992年至2011年國外影視旅遊相關的研究文獻基礎上，對其3個主要的研究關注點進行了較為詳細的回顧和評析。最後，對國外影視旅遊研究所呈現出的特點和走向作了總結，通過對其研究發展的評述和不足之處的指出，簡要探討了對未來相關研究的啟示。關鍵詞： 影視旅遊；旅遊客體；利益相關者；真實性A Foreign Literature Review on Film-induced TourismJuan TANG, Shangmei GAO ( Faculty of International Tourism, Macau University of Science and Technology, Macau, China)Abstractt: Movie-induced tourism is increasingly gaining attention from researchers as well as practitioners due to its positive role in tourism destination image promotion and economic contribution. With more and more diverse perspectives in this research, this paper reviews corresponding foreign research from 1992 to 2011 and categorizes them into 3 general aspects, followed by an in-depth analysis and comment. In the end, this paper summarizes briefly the features and trends by pointing out some weakness in the research for future studies. eywordst: Movie-induced tourism; Tourism object; Stakeholder; Authenticity收稿日期：2011-7-28；修訂日期：2011-11-18。本文為澳門基金會資助下的課題《澳門影視旅遊發展研究》的部分研究成果，課題編號待排。課題負責人為唐娟，課題組主要成員有孫衛華，王盈娟，王志強，朱燕妮，劉俠，高尚梅。*通訊作者：唐娟，女，博士，助理教授，主要研究方向為旅遊市場營銷。E-mail:jtang@must.edu.mo, Tel: 853-889723570 引 言影視作品通過電影或者電視螢幕這類大眾媒介在目的地推廣中起到了間接但卻巨大的影響，西方學界對其一系列影響的系統研究直至上個世紀 90 年代才開始，此後儘管相關的學術研究層出不窮，但是不論在研究內容寬度還是研究深度來說，影視旅遊目前仍是一個前瞻性領域。影視旅遊在西方被翻譯為“影視引致旅遊”（movie-induced tourism），也有的稱之為“電影旅遊”（movie/film tourism）以及“螢幕旅遊”（screen tourism）。為了表述方便，本文將統一使用“影視旅遊”作為研究稱謂。筆 者 對 EBSCOhost Research 資 料 庫 上 以“movie-induced tourism”和“film tourism”為關鍵詞，以 1992 年至 2010 年為檢索時段，得到有關文章共 334 篇。通過篩選 , 剔除重複文章和對各種影視旅遊的宣傳和記錄文章 , 並且選取具有代表性的發表在核心期刊雜誌上的學術文章共 50 篇。論文作者多分佈於歐洲，亞洲，北美和澳新地區。本文通過對這 50 篇論文系統地總結和分析，旨在
76來的影響等新穎角度進行更細化的研究。此外，對吸引或阻礙遊客前往拍攝地觀光的電影類型的歸納，易受影視作品吸引而出遊的遊客在人口統計學上的特點和共性具有一定研究價值，以便為今後目的地在拍攝前的行銷以及進行目標市場定位提供更多參考意見。（3）目前大量的研究集中在對影視旅遊客體，如目的地正負面形象，目的地行銷重點和策略[46-48].，影視對目的地帶來的影響方面 [27]，其中，對目的地影響的研究又以遊客人數以及旅遊收益增加等表像為評判標準。對其帶來的負面效應以及如何轉化負面效應為積極影響較少提及。基於文化視角和人類學視角關注影視旅遊現象的研究相對匱乏。研究者大多以某一地區或某一部上映電影作為案例進行研究[4][18][29]，在研究結果的代表性和持續指導意義上均有進一步研究空間，今後有必要融入商業、文化等多視角的研究進行跨區域對比研究。此外，對於影視旅遊究竟如何影響旅遊目的地的過程、機制等問題，也是當前國外研究少有觸及的薄弱領域，有待進一步探索。（4） 國外針對影視旅遊利益相關者的研究無不反映出現階段影視與旅遊的結合比較有限，僅靠少數商家自發的行動[35][37]，旅遊局與相關機構並未對該領域給予足夠的重視和指導，而缺乏引導的商家不但錯失影視後效應帶來的潛在收益，欠佳的服務也給慕名而來的遊客留下不好的印象，降低重遊可能性，無法實現目的地的可持續發展。如何使目的地在影視製作到放映過程中打破其被動的地位是一個需要未來學者繼續研究的方向。（5）國外現有研究主要還是集中在某個影視拍攝地或路線上，並未或者很少涉及到前文定義中所提及的其他類型的影視旅遊如：電影節或首映式，影視基地旅遊。對於新興的影視媒體——社區，博客甚至微博的研究，更是鮮見。這些也是伴隨著新媒體湧現、web2.0 平臺創新同時，值得未來學者期待的新興研究方向之一。正如國內學者郭文等[50]所言，影視旅遊研究在今後應該得到一個足夠深度的學術關照。参 考 文 獻[1] Evans, M. Plugging into TV tourism authority. English Tourist Board, 1997, 8(4): 302-332.[2] Riley, R.&Doren, C.S. . Movie—induced tourism. Annals of Tourism Research, 1998, 25(4):918—922.[3] Busby, G. and Klug, J. Movie-induced tourism: the challenge of mea-surement and other issues, Journal of Vacation Marketing, 2001, 7(4): 316–332.[4] Chieko, I.. Roles of films and television dramas in international tourism: The case of Japanese tourists to the UK. Journal of Travel & Tourism Marketing, 2008: 24, 2-3. [5] Beeton,S. Film一induced Tourism. Clevedon, Australia: channel View Publications, 2005.[6] Clarke, D. B. Introduction: previewing the cinematic city, The Cin-ematic City London: Routledge.1997. [7] Warnick, R. B., Bojanic, D. C & Siriangkul, A. Movie effects on the image of Thailand among college student travelers. The 2005 North-easter Recreation Research Symposium, 2005:335-364. [8] Belhassen, Y., Caton, K., & Stewart, W. P. The search for authen-ticity in the pilgrim experience. Annals of Tourism Research, 2008,35(3):668–689. [9] Macionis, N. Understanding the Film一Induced Tourist. International Tourism and Media Conference. 2004.[10] Tribe, J. New tourism research. Tourism Recreation Research, 2005, 30 (2):5–8.[11] Beeton, S. The Advance of Film Tourism. Tourism and Hospitality Planning & Development, 2010, 7(1): 1–6.[12] Jewell, B. &Mckinnon, S.Movie Tourism—A new form of cultural landscape? Journal of Travel & Tourism Marketing, 2008, 24: 2-3.[13] Kim, H., & Richardson, S.L. Motion picture impacts on destination images. Annals of Tourism, 2003, 30(1): 216—237.[14] Angelina, I. K. Theoretical approaches to film-motivated tourism. Tourism and Hospitality Planning & Development, 2010, 7(1): 7–20. [15] Beeton, S. . Smiling for the camera: the influence of film audiences on a budget tourism destination. Tourism Culture and Communication, 2001, 3: 15–25.[16] Beeton, S. Rural Tourism in Australia — Has the Gaze Altered? Tracking Rural Images through Film and Tourism Promotion. Interna-tional Journal of Tourism Research, 2004, 6: 125–135. [17] Croy, W. G. Planning for film tourism: Active destination image management. Tourism and Hospitality Planning & Develop-ment, 2010, 7(1):21–30.[18] O’Connor, N., Flanagan, S. &Gilber, D.The use of film in re-imaging a tourism destination: a case study of Yorkshire, UK Journal of Vacation Marketing, 2010a,16: 61[19] Uysal, C.Where does the Turkish Cinema Lead to the Turkish Tourism. Turizmde Bu Sabah,. - Online Daily Newspaper 19 Janu-ary 2009. URL: http: //www.turizmdebusabah.com/haber_detay.asp?haberNo=43810 [20] Anne, B. Kevin, M, & David, F. Experiencing fi lm tour-ism authenticity and fellowship. Annals of Tourism Research, 2010,37(1):229-248.[21] Riley, R.& Doren, C. S.Movie as Tourism Promotion: A Pull Factor in a Push Location. Tourism Management, 1992, 13(3): 267-74.
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78第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 社區居民對醫療旅遊發展的態度：基於利益相關者的研究張 楊1，黃國慶2，季明潔1（1. 澳門科技大學國際旅遊學院，澳門；2. 西南大學經濟管理學院，重慶）摘要： 我國的醫療旅遊目前還處於起步階段，醫療資源作爲醫療旅遊發展依靠的根本性資源同時也是當地居民所應分享的重要公共資源之一。因此社區居民對醫療旅遊的態度和認識非常值得研究。本論文以中西部地區第一個現代醫療保健服務基地成都國際醫學城爲例，分析了當地社區居民對此項目的態度，從利益相關者的角度通過統計定量分析方法獲取了其對醫療旅遊發展的認識和觀點。並由此對醫療旅遊項目和當地社區和諧發展提出意見和建議。關鍵詞： 社區居民；醫療旅遊；利益相關者；態度The Attitude of Local Residence to Medical Tourism Developmentt: A Research Based on Stakeholder TheoryYang ZHANG1, Guoqing HUANG2, Mingjie JI1( 1. Faculty of International Tourism, Macau University of Science and Technoligy Macau, China ) ( 2. Faculty of Economy & Management, Southwest University, Chongqing, China )Abstractt: Medical tourism in China is just at the stage of starting. Medicine resource as the essential part of medical tourism is one of the important public resource as well for the local residence in medical tourism destination. Therefore, the attitude of local residence to the development of medical tourism is worthy to be paid attention. This paper used the Chengdu International Medicine City, which is the first modern medicine and healthcare base in the central and western regions of China as the case to analyze local residence’s attitude. Then, the author use quantitative method to get their concrete understanding and opinion of this medical tourism project and provide some suggestions base on the analysis for the purpose of the harmonious development of the project and local community. eywordst: Local residence; Medical tourism; Stakeholder; Attitude收稿日期：2011-8-23；修訂日期：2011-12-2。通訊作者：張楊，女，博士，助理教授，主要研究方向：旅遊人類學，文化遺産保護與開發。E-mail: yangzhang@must.edu.mo，Tel: +853 889729150 引言按照世界旅遊組織的定義，醫療旅遊是以醫療護理、疾病與健康、康復與休養爲主題的旅遊服務。它集醫療、旅遊、養生、保健等於一體，寓休閑於治病，寓治病於休閑，是一種醫療服務和休閑旅遊服務相結合的新型旅遊形式。根據國內外情况，醫療旅遊潜在市場巨大，先期進入醫療旅遊市場的亞洲鄰近國家已經獲得了巨大的經濟收益，一些國家如印度、泰國、馬來西亞、新加坡等醫療旅遊已初見成效。
79張楊，等 社區居民對醫療旅遊發展的態度：基於利益相關者的研究醫療旅遊所依賴的是醫療技術、産品、服務這一特殊的資源。對於一個醫療旅遊目的地而言，這種資源不僅是吸引醫療旅遊者到訪的根本吸引力和動力所在而且也是當地居民日常生活所不可或缺的公共資源。我國的醫療體制和現狀决定周邊發展中國家的醫療旅遊經驗更值得借鑒。而就目前鄰近國家的醫療旅遊現狀看，醫療旅遊的發展導致當地居民利益受損是其對目的地社會最爲集中的負面影響，尤其是醫療資源向醫療旅遊者傾斜，無視當地居民的需求所造成的更多的投資流向了醫療旅遊領域，而致使公共醫療投資不足；大批優質醫護人員從公共醫療機構流向了收入更高的私立醫療機構，國內弱勢群體利益受損；受利益驅動，外來遊客得到了即時醫治，但大量本國居民却需要排隊等候等。我國的醫療旅遊目前尚處於起步階段。雖然在醫療技術和産品，尤其是傳統中醫中藥資源等方面具有很强的優勢，但是已經存在醫療資源分配失衡，現有醫療資源無法滿足當地居民醫療保健需求的問題。因此，在發展醫療旅遊的過程中，當地居民的需求和態度不僅應得到足够的重視，而且作爲醫療旅遊目的地的“東道主”角色的重要構成，當地居民的存在具有非常重要的利益相關權重。基於此，在起步階段即重視當地居民的利益並由此避免醫療旅遊爭議，特別是外來旅遊者與當地居民醫療需求發生衝突時，保證資源分配的社會公平，營造友善和諧的醫療旅遊社區發展環境既具有理論上的前瞻意義也有助於指導醫療旅遊的開發實踐。1 文獻回顧1.1 醫療旅遊的內涵及發展現狀在國際上，醫療旅遊一般被稱爲 medical tourism、health tourism、surgical tourism 或 者 是medical outsourcing 等。相對而言，health tourism的歷史更爲久遠，這可以追溯到 14 世紀初溫泉療養地 SPA 的建立甚至更早，和 health tourism相比，medical tourism 在內容上則側重於侵入性手術、醫療診斷等內容，當然也包括减肥、抗衰老、整容等項目。就醫療旅遊的類型而言，Hunter･Jones[1] 認爲 health tourism 這一概念過於狹窄，只關注溫泉浴、健康、衛生保健 (health care) 等主題。但在Henderson[2] 的研究中，health care tourism 則被分爲 3 類，即溫泉浴及選擇性治療，如按摩、瑜伽、美體等，整容手術、醫療旅遊 (medical tourism)，如健康體檢、心臟手術、癌症治療等。Milica ＆ Karla[3] 則直接把 medical tourism 分成了 3 類：侵入性手術治療、醫療診斷和生活方式醫學 1ife style medicine，即在疾病的診治過程中，對患者的生活方式進行干預。與國際代表性醫療旅遊企業或機構，如 Medical India, Singapore Medicine 等對比可以發現，後者的分類方法更貼近當前醫療旅遊業界實際。即以侵入性手術治療、醫療診斷或生活方式醫學爲首要目的而進行的旅行活動，在這種活動中旅遊多處於附屬目的。然而，就目前我國學術界對醫療旅遊産業的研究而言，政府、業界、學術界所期望的是以醫療旅遊爲基礎，以構建藥材種植、生物醫藥、醫療器械、中介、旅遊景點、酒店業等多種産業共同發展的産業鏈條而不僅針對醫療機構發展。張文菊[4]認爲醫療旅遊具有輕鬆性和享受性、保健性和康復性、高消費與經濟實用的對立統一性和地域性等特徵。實際上，從國際醫療旅遊産業發展實際來看，高靜和劉春濟認爲，國際醫療旅遊的特徵主要表現在客流反向流動，即國際觀光度假旅遊客流主要發生在發達國家之間，而國際醫療旅遊客流與此不同，主要是從發達國家向發展中國家流動，並且這種現象正日益加劇；高品質低價位，以第三世界的價格享受一流服務是醫療旅遊最大的吸引力之一；醫療旅遊目的地國主導發展對客源國依賴弱，其産品往往是必需消費品但客源國又無法以低價位形式高效率的提供。1.2 利益相關者理論基本內容根 據 弗 裏 曼[5]的 定 義， 利 益 相 關 者(Stakeholder) 指任何能影響組織目標實現或被該目
88一定程度上使得當地居民要麽被迫接受更高的醫療成本或者放棄在當地獲得醫療服務的權益。第二，成都國際醫學城項目在發展模式上創立了政府與企業合作的路徑。但是這一發展方式使得醫療旅遊的經營和獲利都集中在政府與企業兩個方面，而當地居民在承擔發展成本和負面影響的同時並沒有取得相應的利益分享權位而是被邊緣化，並只能參與外圍低收益經營活動。這樣必然會使得當地居民與項目開發方之間的關係不斷緊張，並使得當地居民對醫療旅遊的發展的態度趨於消極。第三，成都國際醫學城項目的主要醫療服務集中在西醫和西式醫療技術方面，而對當地具有資源和技術優勢的中醫中藥之相關內容較爲忽視，僅僅開發了中醫養生保健服務項目。對於中醫治療疾病的優勢缺乏重視。這一點是未能明確當前國際醫療旅遊的競爭態勢的做法。目前，亞洲已成了世界上最大、也是最發達的國際醫療旅遊目地。在這一市場上，印度、新加坡、泰國、馬來西亞、約旦、阿聯酋、以色列等國均建立了較好的西醫醫療旅遊項目優勢。對剛剛開始發展醫療旅遊的中國而言，要趕超這些國家的西醫醫療旅遊需要投入大量資源和財力，但是以中醫中藥爲代表的中國傳統醫療科技却是這些國家所沒有的具有唯一性的資源基礎。同時，中醫中藥中的一些簡單醫療技術如拔火罐、刮痧等並不需要較高醫學學歷和專業技術認證，進入門檻低，非常適合醫療旅遊目的地的居民經營。因此，如果能將此市場向當地居民開放，在嚴格培訓、監管從業人員的基礎上發展此具有獨特優勢的醫療服務是非常有希望的。此外，我國醫療旅遊産業的發展也需要一定的政策扶持，但這種政策扶持最重要的不是行政法規的建立與實施，而是在目的地營銷、中國形象塑造等方面投入精力以改變國際特別是歐美國家對大量醫療事故而造成的對中國醫療業的偏見，使其認識到中國發展該産業的社會基礎與潜力，並努力促成中國醫療旅遊産業與世界的接軌。對於成都國際醫學城而言，當地居民的形象是構成此項目整體形象的一部分，因此，醫療旅遊項目的發展須要從社區整體發展的角度進行開發，實現社區發展和旅遊開發的雙贏。参 考 文 獻[1] Hunter J. P., Cancer and tourism, Annals of Tourism Research, 2005, 32 (1):70- 92[2] Henderson., Healthcare tourism in Southeast Asia, Tourism Review International, 2003, 7(3):111-121[3] Milica Z. Bookman and Karla R. Bookman, Medical Tourism in Developing Countries, New York: Palgrave MacMillan, 2007[4] 張文菊，我國醫療旅遊發展對策研究，2008，重慶：西南大學[5] Freeman R. E. , Strategic management: a stakeholder approach. Boston: Pitman/Ballinger, 1984[6] Murph P. E, Tourism: a community approach, New York: Methuen Inc. 1985[7] Yuksel F, Bramwell B, Yuksel A, Stakeholder interviews and tourism planning at Pamukkale, Turkey, Tourism Management, 1999, 20(3): 351- 360[8] Markwick M. C. Golf tourism development, stakeholders, differing discourse and alternative agendas: the case of Malta, Tourism Management, 2000, 21(5): 515- 524[9] Ritchie J. R. B. Policy formulation at the tourism/ environment interface: insights and recommendations from the Banff- Bow Valley study, Journal of Travel Research, 1999, 38:100-110[10] Sautter E. T. Leisen B, Managing stakeholders: a tourism planning model, Annals of Tourism Research, 1999, 26 (2): 312 – 328[11] Janal T. B , Getz D, Collaboration theory and community tourism planning, Annals of Tourism Reserch, 1995, 22(1): 186- 204[12] Williams C. D, Davis B., Land-based activities: what remains to be done, Ocean & Costal Management, 1995, 29 (1): 207- 222[13] Bramwell B. , Sharman A. Collaboration in local tourism policymaking. Annals of Tourism Research, 1999, 26(2):392- 415[14] de Araujo L, M, Bramwell B., Partnership and regional tourism in Brazil, Annals of Tourism Research, 2002, 29(4): 1138- 1164[15] 孟華，焦春光，世界遺産地社區居民參與旅遊發展研究——以泰山爲例，泰山學院學報，2009，31（5）：92-96[16] Shetty P., Medical tourism booms in India, but at what cost? The Lancet, 2010, 376(9742): 671 - 672
89第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 紀實與虛構的迷障： 從《自傳の小說》與《漂流之旅》看李昂的陰性書寫蕭寶鳳（澳門科技大學通識教育部，澳門）摘要： 本文以李昂的小說《自傳の小說》與散文《漂流之旅》的互文空間為分析依據，探討她對謝雪紅投入革命、追逐情欲與權欲的呈現所實踐的“陰性書寫＂策略，從革命話語中女性身體解放與囚禁的悖論、女性集體逃與困的矛盾以及建構“台灣民族主義＂陰性主體的寓言困境三個方面展開，探討李昂融合紀實與虛構、自傳與小說所建立的抵抗男性中心象徵秩序與語言秩序的文本審美空間，以及在“身體－國體＂之間建立互相影射的寓言結構所隱含的意識形態盲點。關鍵詞： 李昂；陰性書寫；《自傳の小說》；《漂流之旅》Lost between Documentary and Fabricationt: Focusing on Li-Ang’s Ecriture Feminine in Novels Autobiography Fiction and Wandering JourneyBaofeng XIAO( Macau University of Science and Technology, Department of General Education, Macao, China )Abstractt: The essay is explores Li-Ang’s ecriture feminine by analyzing the intertextuality and literary space in Autobiography Fiction and Wandering Journey. Since 1990s, Feminine Writing has been one of the most heated phenomena in Taiwan literature. The essay scrutinizes the paradox of women body’s freedom and confinement in revolutionary discourse centering on how Li-Ang describe Xie Xuehong’s love affaire in her revolutionary career. Part Two examines the cunstruction of female subjectivity, Li-Ang’s description of feminine consciousness awakening also shows multiple predicaments. In Part Three, the essay analyzes the relation between Li-Ang’s female discourse and the national allegory about Taiwan. In sum, the essay demonstrates that these texts does have their own unique aesthetic features by integrating documentary and fabrication, autobiography and fiction. It also reminds the hazard of that if female subjectivity is subject to the “Taiwanese Nationalism”, its aesthetic features and concern for minority might be lost.eywordst: Li-Ang; Feminine Writing; Taiwan literature收稿日期：2011-7-12；修訂日期：2011-7-24。通訊作者：蕭寶鳳，女，文學博士，助理教授，主要研究方向為中國現當代文學，台港暨海外華文文學。 E-mail: bfxiao@must.edu.mo, Tel: 889728010 引言自《迷園》以來，李昂的作品一貫帶有將女性言說與“國族”想像加以寓言式連結的書寫傾向，這在散文《漂流之旅》與小說《自傳の小說》中仍清晰可見，她試圖在“國族”認同與“性別”認同的矛盾衝突中摸索既“台灣”又“女性”的寫作路線。這兩部作品以追尋日據時期台灣共產黨創黨元老謝雪紅的人生軌跡為中心，一方面
95蕭寶鳳 紀實與虛構的迷障： 從《自傳の小說》與《漂流之旅》看李昂的陰性書寫護工夫。正是在這個意義上李昂遭遇了一個對她來說陳舊而特殊的理論困難，那就是後殖民主義與女性主義立場合流之後的問題。《自傳の小說》透過女性自傳的紀實與虛構來提供種種權力（階級、國族、性別等）的交匯與交戰場域，文本自身便同時成為對女性文化困境與“國族”認同命題的展示與解構：一方面，李昂對女性歷史與命運的書寫總是自戀與自憐兼而有之，既沉湎於女性被“棄絕”與“辜負”的悲情命運，又強調以類強力意志釋放女性內在未知領域的驅力，誇飾被庸俗化的肉欲狂歡，從而形成一種充滿剛性特質的陰性書寫。另一方面，如果“國族”主體、女性主體甚至歷史真實等一切都是流動的、一切都在建構與拆解的途中，那麼李昂在援引後殖民理論拆解“中國中心的民族主義”的同時，也當面對建構中的“台灣民族主義”主體性虛妄的難題[20]。在種種形式探險中小說掙紮於本質主義與反本質主義之間始終找不到固著真相及身份的施力點，也使得本應極具魅力的複調空間走向封閉，這條充滿美學與意識形態雙重悖論的道路使得文字的“迷園”幾成一場無償的虛耗。参 考 文 獻[1] 陳芳明.後殖民台灣：文學史論及其周邊[M]. 台北：麥田出版社，2002：158．[2] 埃來娜·西蘇．美杜莎的笑聲.張京媛.當代女性主義文學批評[C]. 北京：北京大學出版社，1992：198.[3] 李昂.自傳の小說[M].台北：皇冠出版社，1999：8.[4] 楊聯芬.女性與革命——以1927年國民革命及其文學為背景[J].貴州社會科學，2007（10）：92－100.[5] 邱貴芬.殖民經驗與台灣（女性）小說史學方法初探[A] .江自得．殖民地經驗與台灣文學：第一屆台杏台灣文學學術研討會論文集[C].台北：遠流出版社，2000：85－112.[6] Michael M. J. Fischer. “Autobiographical Voices and Mosaic Memory”, in Kathleen Ashley, Leigh Gilmore, Gerald Peters, ed. Autobiography and Postmodernism. Amherst: Massachusetts University Press, 1994. p. 93. 轉引自陳芳明．後殖民台灣：文學史論及其周邊[M] ．台北：麥田出版社，2002：155－156．[7] 李昂.漂流之旅[M].台北：皇冠出版社，2000：34.[8] 菲利浦·勒熱訥.自傳契約[M].北京：三聯出版社，2001：18.[9] 邱貴芬.不同國女人聒噪[M].台北：元尊文化，1998：106.[10] 邱彥彬.“記憶失控錯置的擬相”：李昂<自傳的小說>中的記憶與救贖[J].中外文學， 2002（1）：183－216.[11] 李昂.我的小說是寫給兩千萬同胞看的：李瑞騰專訪李昂[J].文訊雜誌，1996（10）：72－76.[12] Irigaray Luce. An Ethics of Sexual Difference. Trans. Carolyn Burke& Gillian Gill, Ithaca: Cornell University Press, 1993. p52.[13] 李昂.自傳の小說[M].台北：皇冠出版社，1999：155.[14] 米歇爾·福柯.地理學問題.夏鑄九、王志弘編譯.空間的文化形式與社會理論讀本[C].台北：明文書局，2002：392.[15] 李昂.自傳の小說[M].台北：皇冠出版，1999：256.[16] 王德威.歷史與怪獸：歷史，暴力，敘事[M]. 台北：麥田出版社，2004：253.[17] 孟崗 .消費時代的身體烏托邦——比較文論視域中的“身體寫作”研究[D].2004：57。[18] [法]讓·鮑德里亞.身體，或符號的巨大墳墓，汪民安、陳永國編.後身體：文化、權力與生命政治學[C] .長春：吉林人民出版社，2003，57-58。[19] 李昂.新納蕤思解說——李昂的自剖與自省/施淑端親訪李昂.非小說的關懷[C].台北：財團法人社會大學文教基金會/社會大學出版社，1990：150.[20] 陳昭瑛：追尋“台灣人”的定義，中外文學，1995（2）：136-140.澳科大召開大型研究課題 ——“澳門史研究”結題報告會大學於8月26日召開“澳門在全球化和東西方文化交流中的歷史地位、獨特作用與現實意義研究”項目結題報告會。項目組學術負責人錢乘旦教授以及各子課題負責人與會，校長許敖敖、副校長張曙光也出席了會議。該項目自2008 年由澳門基金會資助並啟動以來，澳科大組織了跨院校的大型硏究團隊，并將項目設計為十三個子課題。研究項目以澳門作為理解世界歷史的窗口、以世界作為認識澳門歷史的背景進行澳門史考察和硏究，更深入地從多角度、多切面硏究澳門開埠近五百年的歷史地位、獨特作用與現實意義。項目的硏究方法是多學科交叉，將澳門史放在一個更開闊的視野中進行觀察，以全球史觀的方法與手段進行全新的歷史硏究。經過近三年的努力，各子課題基本完成研究工作，專著初稿撰寫完畢，取得了不少有學術價值的研究成果，預計年底可提交定稿，澳科大計劃將在明年出版整套學術專著。項目取得的成果為澳門史的硏究掀開了新的一頁，將提升外界對澳門的歷史認知。科研進展
96第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 我國惡意訴訟的現狀及規制建議懷 宇（中國政法大學民商經濟法學院，北京）摘要： 惡意訴訟作為我國司法實踐中日益嚴重的問題，對司法資源造成了浪費，對社會秩序和相對人權益也造成了損害，對其進行規制極具必要性。本文通過實證分析的方法對我國惡意訴訟的特點及司法現狀做了歸納、總結，並提出了相應的司法建議，希望能為有效地規制惡意訴訟提供借鑒方案。借鑒美國法上惡意訴訟及公共參與策略性反訴法令的制度，通過舉證責任倒置的方法，可以有效地規制惡意訴訟。另外，懲罰性損害賠償的方式也是規制惡意訴訟的有力手段。關鍵詞： 惡意訴訟；舉證責任倒置；懲罰性損害賠償Present situation of Malicious Prosecution in China and corresponding regulations suggestionYu HUAI ( China University of Political Science and Law, Beijing , China )Abstractt: As issues emerging from judicature, Malicious Prosecution not only wastes judicial resources, but also harms social order and property rights. Therefore, it is absolutely necessary to regulate malicious prosecution in law. By method of empirical analysis, the thesis manages to probe on features and present situation in judicature of malicious prosecution in China. The thesis aims to provide regulations suggestion to malicious prosecution in judicature, to provide solutions on regulation of malicious prosecution. Drawing lessons from SLAPP in American law, burden of proof in reverse is a powerful tool for regulation on malicious prosecution. Also there is punitive damages mechanism. It is effectively deterring malicious prosecution applying punitive damages with appropriate level.eywordst: Malicious Prosecution; Burden of Proof in Reverse; Punitive Damages收稿日期：2011-4-22；修訂日期：2011-6-8。通讯作者：懷宇，男，博士研究生，中國政法大學民商經濟法學院，主要研究方向：民商法. E-mail：pnqklxy@hotmail.com 電話：138107638750 引言惡意訴訟在我國司法實踐中早已不是新鮮詞了。隨著我國社會的轉型，集體主義的價值觀開始更多的向個人主義轉變，公民的維權意識也日益增強。在維權的途徑上，由於我國訴訟門檻低的特點，上法院打官司逐漸成為公民維護自身權益的有力工具。再加上律師行業的發展、壯大，使得我國的訴訟數量不斷激增。但訴訟數量增多的同時，我國公民的法制素養卻沒能與時俱進。隨著我國鄉土社會向現代陌生人社會的轉型，後者健康運轉所必要的誠信價值觀，在我國也尚未建立。這樣，懷著僥倖心理，利用訴訟達到不法目的的現象開始日益普遍。一些心懷惡意的原告利用合法的訴訟外觀行損害他人，獲不當利益之實，破壞了司法秩序及社會公平，浪費了寶貴的司法資源，已成為我國審判實踐中日益嚴重的問題。在這些惡意訴訟案件中，有些案件標的巨大，如百度被訴網路侵權，王老吉涼茶被訴產品責任，
103懷宇 我國惡意訴訟的現狀及規制建議因此筆者認為，對懲罰性損害賠償應視具體情形適用。可借鑒消費者權益保護法的出發立場，對訴訟地位處於弱勢的一方進行保護。當惡意訴訟行為人具有明顯的經濟、政治地位上的強勢時，對其適用懲罰性損害賠償，既可以維護公平原則，同時讓經濟實力雄厚的主體承擔責任，也降低了錯誤適用懲罰性損害賠償的風險。如前文所述的我國類似 SLAPP 案件的惡意訴訟，即可適用懲罰性損害賠償，不僅可以保護弱勢群體，還可以有效遏制此類訴訟，保護社會公益。另外，對受害人遭受精神損害的情形適用懲罰性損害賠償，既是對難於計算的精神損害的全面救濟，也是對行為人意圖嚴重損害相對人的較大主觀惡性的合理懲罰。綜上所述，對我國惡意訴訟侵權受害人的損害賠償，仍應以補償性賠償為主，懲罰性損害賠償應根據案件情形合理慎用。實踐中的具體做法，可通過法院在公報上發佈典型案例的方式，就何種情形適用確立統一標準，以供下級法院審判時參考。参 考 文 獻[1] 王世賢. 濫用程序權利問題調研報告，北京市海澱區人民法院民五庭，中國政法大學與海澱法院產學研惡意訴訟課題研討會內部資料，2007，10[2] 最高人民法院民三庭關於惡意訴訟問題的研究報告，(2004-08-11)[2009-02-08] .ht tp : / /www.chinalawedu.com/news/2004_8/11/0844399882.htm[3] 李穎. 對網路侵權案件審理情況的調研報告，(2005-11-21)[2009-02-08]. http://www.fl168.com/Lawyer812/View/131412/.[4] 羅結珍譯. 法國新民事訴訟法典. 北京：中國法制出版社，1999.[5] Cf.Konzen, Recbtsverbaltnisse, p.250 et seq.; for Austria see Bydlinski, FBI.1986, p.626 et seq.轉引自[德]博克哈德.漢斯著，張豔譯,德國和奧地利的程序濫用制度，陳光中、江偉主編:訴訟法論叢·第6卷，法律出版社，2001: 728-729.[6] 呂翔. 惡意訴訟民事責任研究. 重慶：西南政法大學，2005，04[7] 澳門政府法律翻譯辦公室編. 澳門民事訴訟法典，北京：中國政法大學出版社，1999:123-124.[8] Dinsman v. Wilkes, U.S. Supreme Court (12 How.) 1851, 53：390. [9] C. D. Baker, Tort (3rd edition), Sweet & Maxwell, 1981, p.295，轉引自徐愛國，英美法中‘濫用法律訴訟’的侵權責任，法學家，2000，2:117.[10] Govindji J.Khona v. K.Domodaran, AIR 1970 Ker229: 1969 Ker LT 551: 1969 Ker LJ 641.轉引自V. Mitter: The Law of Defamation and Malicious Prosecution (Civil and Criminal), (8th ed.), Australia, Law Book Company, 1984:253.[11] 薛波主編. 元照英美法詞典. 北京：法律出版社，2003.[12] See Jeffrey J. Utermohle: LOOK WHAT THEY’VE DONE TO MY TORT, MA: THE UNFORTUNATE DEMISE OF “ABUSE OF PROCESS” IN MARYLAND University of Baltimore Law Review, Fall, 2002, 32 U. Balt. L. Rev. 1:14-15.[13] 張衛華. 股東惡意訴訟的構成及其責任承擔（上），中國律師， 2003，5：36-38[14] 馬治國，張小號. 智慧財產權惡意訴訟的認定及其民法規制，電子智慧財產權，2008，6：46.[15] 浙江泛亞電子商務有限公司訴北京百度網訊科技有限公司、百度線上網路技術有限公司侵犯著作權糾紛案，北京市高級人民法院民事判決書，（2007）高民初字第1201號，(2009-03-10)[2009-02-12].http://blog.chinabyte.com/blog/yuguofu/archive/2009/03/10/174653.html.[16] George W. Pring & Penelope Canan. SLAPPs: Getting Sued for Speaking Out, Philadelphia: Temple University Press. 1996: 209.[17] Richard J. Yurko and Shannon C. Choy. LEGAL ANALYSIS: RECONCILING THE ANTI-SLAPP STATUTE WITH ABUSE OF PROCESS AND OTHER LITIGATION-BASED TORTS，51 B.B.J. 15 Boston Bar Journal. March/April, 2007[18] Baker v. Parsons, 434 Mass, 2001, 543: 551-54. Duracraft Corp. v. Holmes Prods. Corp. 427 Mass, 1998, 156:166.[19] 王利明. 懲罰性賠償研究. 中國社會科學，2000，4：115.科大連續五年獲德勤稅務精英賽港澳區第一名德勤稅務精英挑戰賽是德勤稅務研究學會每年為兩岸四地的大學生舉辦的一項稅務比賽，分為個案分析比賽和徵文比賽。2011年的賽事吸引了來自中、港、澳、台共62所一流大學近300名學生參加。在面向本科生的個案分析賽中，由科大行政與管理學院會計專業四位本科生所組成的代表隊，以港澳賽區初賽第一名的佳績躋身全國12強，並成功獲得優異獎。科大已經連續五年拔得該賽事港澳賽區的頭籌。在面向研究生（包括碩士及博士）的徵文賽中，科大行政與管理學院的一位會計碩士生，以一篇《論風險投資稅收環境的優化》的論文，在經過嚴格的評審後，從參賽的眾多文章中脫穎而出，入選為最優異的八篇文章之一。澳門科技大學行政與管理學院教授表示，學生獲此殊榮，受惠於科大靈活且務實的課程安排。同學們的潛能被有效挖掘，從而得以在德勤稅務賽這樣的仿真商業案例競賽中獲優異表現。學生活動
104第 5 卷 第 2 期 澳 門 科 技 大 學 學 報 Vol.5 No.22011 年 12 月 30 日 Journal of Macau University of Science and Technology Dec 30 , 2011 母子公司關聯擔保法律制度研究沈雲樵（澳門科技大學法學院，澳門）摘要： 關聯擔保是關聯交易的一種重要形式，在母子公司中表現尤甚。現代各國立法都對此進行了規定，總體立法趨勢是從絕對禁止發展到有條件限制。我國公司法上對此問題也投以關注，但將公司關聯擔保的决定權完全賦予公司章程，則值得商榷。關鍵詞： 關聯擔保；法律規制；母子公司On the Related-party Guarantee of Parent and Subsidiary CorporationsYunqiao SHEN( Faculty of Law, Macau University of Science and Technology, Macau, China )Abstractt: Related-party guarantee is an important form of related-party transactions, especially in the patent and subsidiary corporations. It has been legislated in the modern countries, and the overall trend is from an absolute prohibition to limitation. China’s Company Law also pay attention to this issue, but it completely authorizes the right to charter of corporation. This point is open to question.eywordst: Related-party guarantee; Legal regulation; Parent and subsidiary corporations收稿日期：2011-9-4；修訂日期：2011-9-22。通訊作者：沈雲樵，法學博士，澳門科技大法學院助理教授，主要研究興趣是公司法、公司治理與商法。聯繫電話：8897 2035 電子郵箱：yqshen@must.edu.mo 通信地址：澳門氹仔偉龍馬路澳門科技大學A座322室＊本文為澳門基金會資助項目《公司集團的治理》（資助號0147）階段性成果。在此向澳門基金會致謝。0 引言：方興未艾的上市公司關聯擔保關聯擔保是近幾十年來公司實務上的創新。所謂關聯擔保，是指公司爲其股東和其他關聯自然人的債務提供擔保，在公司實務中，股東通常包括控股股東及其利害關係人，關聯自然人則包括董事、經理及其利害關係人。進入新紀元後，隨著我國資本市場的迅猛發展，上市公司的數量不斷增加，公司之間幷購、相互參股持股等資本運作風起雲涌，關聯交易成爲上市公司普遍存在的現象，作爲關聯交易行爲之一的公司關聯擔保行爲也呈現愈演愈烈之勢，相當多的上市公司以其資産爲其控制股東的不良債務作關聯擔保，其擔保金額已涉及數百億元銀行資産1。儘管公司對外擔保存在諸多風險，上市公司1. 從整個證券市場來看，我國有超過40%的上市公司爲其控制股東提供擔保。在2003年由中國銀監會、證監會聯手徹查“上市公司擔保圈＂所顯露出來的案情表明，當時涉及擔保的上市公司多達460多家，披露的擔保總額約有686億元。其中由上市公司相互擔保形成的“擔保圈＂越來越大，各上市公司也越陷越深。在各地的上市公司擔保圈中，以“上海圈＂、“福建圈＂、“深圳圈＂最引人注目。以“上海圈＂爲例。在2001年中期，上海本地上市公司中共有52家上市公司互爲擔保，形成了錯綜複雜的“擔保鏈＂。在這個“擔保鏈＂中，擔保金額高達109.04億元，占這些公司對外擔保總額的48.65%。引自《21世紀經濟報道》2003年5月8日、《經濟觀察報》2003年7月21日報道。
107沈雲樵 母子公司關聯擔保法律制度研究的母子公司情形下，這種觀點無異於“只見樹木，不見森林”，嚴重割裂了母子公司之間的聯繫。事實上，由於母公司身爲子公司股東，持有子公司近 100% 的股份，子公司的剩餘財産幾乎全部歸母公司所有。子公司的經營狀况，同母公司的利益有重大關係。如果母公司拒絕爲子公司債務提供擔保，表面上只有子公司財産承擔風險，母公司財産幷沒有蒙受風險，但是實質上，母公司在子公司的利益仍然處於風險之中。與其單獨讓子公司承擔過大的風險，使母公司在子公司中的利益和整個公司集團的生存安全受到威脅，反而不如由母公司爲子公司債務提供擔保，以便分散子公司所單獨承擔的債務風險，維護母公司在子公司的利益，維護公司集團的安全15。子公司爲母公司的全資公司時情况如此，在母公司幷不 100% 持有子公司的股份的情况下，上述“維護母公司自身在子公司中的利益”的法理同樣適用，只不過，這時母公司在子公司中的利益，與子公司經營與生存狀况的關聯程度降低。實務上，美國法院對於這種情形下適用上述法理持贊成態度。學界則進一步認爲，上述法理還適用於母公司持有子公司股權不及半數（低於 50%），但此子公司事實上被母公司控制的情形16。1.2 向上游擔保（upstream guaranties）所謂向上游的擔保，一般指公司對股東債務的擔保。在公司集團中，常常表現爲子公司爲其母公司債務提供擔保。一般情况下，子公司幷不持有母公司的股份，因此，前述“維護母公司自身在子公司中的利益”的法理，幷不適用於子公司爲其母公司提供擔保的情形。但是，美國法院對這種向上游的擔保也持肯定態度，其價值判斷的邏輯過程是：由於子公司爲母公司債務提供了擔保，事實上使得母公司的信用得以加强，當母公司的信用加强後，子公司的利益即可因此而隨之獲得提升，這是因爲母公司通常都是子公司融資的主要來源，因此，子公司爲母公司提供信用15. 同前14，第176-177頁。16. 參見劉連煜：《公司法理論與判决研究》，法律出版社2002年版，第187頁。保證的同時，也强化了子公司自己將來接受母公司財務救濟的可能性17。從美國法院的上述邏輯可以看出，如果說在對待向下游的擔保時，其哲學思想體現了聯繫的觀點的話，那麽，在對待向上游的擔保時，其哲學思想則重點體現了發展的觀點18。1.3 橫向擔保（cross-stream guaranties）所謂橫向擔保，指的是一成員公司爲與自身沒有任何直接投資關係的另一成員公司的債務所作的擔保。美國法上對待橫向擔保的態度，因擔保行爲的具體情况不同而有所不同。第一，促進保證公司與被保證公司的利益。如果保證公司同被保證公司之間具有業務上的往來 關 係（business interrelationship）， 那 麽， 即可認爲保證公司爲被保證公司提供保證，可以同時促進擔保公司和被保證公司的利益，這時法律承認擔保的有效性。只要能够證明系爭公司同屬於“ 共同企業 ”（one common enterprise），或者兩家公司之間具有“顧客關係”（customer relationship），或者系爭公司之間存有相互關聯的業務利益（interrelated business interests）、互惠的保證，或者保證是爲了提升自己的利益，法律也承認保證的有效性19。第二，保證公司全體股東批准。雖然公司與股東系屬不同的利益主體，但是股東却爲公司最密切的利害關係者。依照私法自治原則，當全體股東批准公司對外擔保時，法律幷無太多的理由不承認保證的效力。甚至在（客觀上）對公司有利時，無需經公司成員的同意，典型之立法例如《英國 2006 年公司法》第 208 條、第 209 條（貸款公司之例外）的規定20。17. See Coquillette, Guaranty and security for the debt of a parent corporation by a subsidiary corporation, 30 Case W. Res. L. Rev. 442（1980）. 轉引自註釋16劉連煜書，第189頁。18. 同前14，第177頁。19. 同前16，第191-192頁。20. 《英國2006年公司法》第209條規定（參見註釋5葛偉軍書，第127頁）：（1）貸款公司提供貸款或准貸款，或者提供與貸款或准貸款相關聯的保證或擔保，不要求第197條、第198條或第200條之下的批准，如果——（a）公司在其正常經營過程中簽訂交易（即貸款、准貸款、保證或擔保），幷且（b）交易的價值和簽訂交易的條件，幷不比能够合理期待的
113•信息短文•校園活動澳科大向張伯禮院士頒授“榮譽顧問”名銜10月29日，澳科大舉行張伯禮院士“澳門科技大學榮譽顧問”名銜頒授儀式暨師生座談會。許敖敖校長向張伯禮院士頒授了榮譽顧問聘書。張伯禮院士作為中國工程院院士、中國中醫科學院院長及天津中醫藥大學校長，長期從事中醫心腦血管疾病和血管性痴呆系统研究，多年來承擔了國家級科研項目四十餘項，獲國家科技獎勵五項，省部級科技獎勵二十餘項。隨著中藥質量研究國家重點實驗室（澳門科技大學）掛牌以後，澳科大已著手大力開展各項建設工作，為實驗室從事中藥質量研究與創新藥物研發工作做好準備。橫琴中醫藥科技產業園的籌建、現代人對中藥現代化以及中藥養生保健意識的日漸提高，正標誌著特區政府大力發展中醫藥的方向是正確的。張伯禮院士作為國家重點學科中醫內科學學術帶頭人，科大有幸聘為榮譽顧問，實為殊榮。期望在張院士的指導下，科大能更好地推動中醫藥方面的研究。頒授儀式完成後，張伯禮院士親切地與大學師生座談，分享他在中藥現代化的前沿思想和回應師生們的提問。國際交流澳門科技大學成功獲得“2012中藥全球化聯盟年會”承辦權“中藥全球化聯盟”第十屆學術年會於8 月26～28 日在上海舉行，來自世界各地的518位中醫藥研究學者和醫藥企業代表出席了會議。經過投票“2012 中藥全球化聯盟年會”主辦權最終由澳門科技大學成功獲得。聯盟主席、英國耶魯大學藥理學講座鄭永奇教授指出，澳門發展中醫藥得到了中國政府和澳門特區政府的大力支持，正在發展成為中藥研究的重鎮，而澳門科技大學將中藥研究列為大學研究發展的重點領域，新進成立的中藥質量研究國家重點實驗室更將引入一批優秀的多學科結合中藥研究學者，亦將裝備世界一流的研究設備，故對澳門科技大學的中藥研究水準及承辦高水準的學術年會充滿信心。他希望，在明年的年會期間，由澳門科技大學特別組織一次蛋白質組學和代謝組學技術應用工作坊，因為組學技術是研究中醫藥最為適合的關鍵技術。“中藥全球化聯盟”（Consortium for Globalization of ChineseMedicine，CGCM）是以推動中藥現代化、全球化為宗旨的非營利學術組織。建盟的目的是集結國際眾多知名研究機構的力量，推動全球中藥研究之發展，使中藥成為國際醫療體系的一部份，進而促進全人類的健康。CGCM於2003年由耶魯大學藥理系講座教授鄭永齊院士發起正式成立，澳門科技大學副校長兼中藥質量研究國家重點實驗室主任劉良講座教授為16 位創盟成員之一。聯盟現已頗具規模，已有全球20多個國家和地區的128所教研機構和10個世界知名製藥企業加盟，包括美國耶魯大學，英國劍橋大學，中國北京大學及清華大學，臺灣大學等世界著名學府。在上海中藥全球化聯盟學術年會的校長論壇上，劉良副校長介紹了澳門科技大學推動中醫藥教研醫產全方位發展十年努力的成果，及中藥質量研究國家重點實驗室建設的最新發展，引起了與會學者的高度關注和良好評價，許多國際知名的教研機構和醫藥企業希望與澳門科技大學拓展合作，一批優秀的年輕學者希望加盟澳門科技大學國家重點實驗室的研究團隊。
