2015年第八屆歐洲台灣青年人文社會學會論文集

2015 歐洲台灣青年學者人文學會 Essays for 8th Annual Conference

第八屆年會論文集

目次

CONTENTS

06-40

從當代陶瓷藝術創作探討臺灣文化

陳文曦／英國巴斯思巴大學陶藝博士候選人 Exploring Taiwanese cultural identity through contemporary ceramic practice Wen-Hsi CHEN / PhD Candidate in Ceramics, Bath Spa University, UK Comment on Wen-Hsi CHEN’s “Exploring Taiwanese Cultural Identity through Contemporary Ceramic Practice” Jiyi RYU / 英國約克大學藝術史博士候選人 PhD Candidate in History of Art, University of York, UK

41-60

「你在上；我在下」─ 如何藉由「空間方位隱喻」 來表達古埃及王權？ 徐詩薇／德國柏林自由大學埃及系博士 You up; I down - Orientational metaphor concerning to ancient Egyptian kingship in royal iconographies and inscriptions Shih-Wei HSU / PhD in Egyptology, Freie Universität Berlin, DE 《你在上：我在下─如何藉由「空間方位隱喻」來表達古埃及王權？》評析 徐昊 / 中国江苏南通大學文學院歷史系講師 Hao Xu / Lecturer in History Department, Nantong University, China

61-71

台客文化的神話學演練－以金枝演社的作品為例 黃叔屏／法國巴黎第八大學劇場博士生 Mythology of Tai-Ke in The Golden Bough Theatre’s Opela Hi Shu-Ping HUANG / PhD Candidat in Theater, Université Paris 8, FR 評論 黃叔屏的« 台客文化的神話學演練 » 蔡潔妮 / 法國社會科學高等研究院文化社會學博士生 Jye-ni TSAY / PhD Candidate in Cultural Sociology, EHESS, FR

72-82

論二十世紀台灣視覺藝術的文化認同

蔡潔妮 / 法國社會科學高等研究院文化社會學博士生 The Cultural Identity of Taiwanese Visual Arts in the 20th century Jye-ni TSAY / PhD Candidate in Cultural Sociology, EHESS, FR 短評《論二十世紀台灣視覺藝術的文化認同》 吳祥賓 / 法國巴黎第八大學當代藝術與新媒體碩士生 Hsiang-Pin WU / Master in Plastic arts et new medias, Paris 8, FR

83-93

沒準備好的談判：論1945年中華民國準備工作 與《中蘇友好同盟條約》的簽訂

黃家廉／俄羅斯莫斯科大學歷史系廿至廿一世紀俄羅斯史組博士生 Not Ready for Negotiations: Problems of Chinese Preparations and Sino-Soviet Treaty in 1945 Chia-Lien HUANG / PhD Student in Russian History of the 20th and 21st Centuries, Moscow State University, RU 評《沒準備好的談判》 魏聰洲／法國社會科學高等研究院歷史所博士生 Tsong-Jou WEI / PhD Candidate in History, EHESS

94-109

從勞動者身體意象反思當代臺灣社會價值觀的 建構與來源

林冠群／德國弗萊堡大學社會學博士候選人 The Origin and the Construction of the Current Social Values in Taiwan – A Ponderation with Taiwanese Labors' Body Images Guan-Chun LIN / PhD Candidate in Sociology, Albert-Ludwigs-Universität Freiburg, DE 評林冠群〈何來？何從？何去？從勞動者身體意象反思當代臺灣當代價值觀的建構與 來源〉 王興煥／法國巴黎第八大學哲學博士生 Sing-Huan WANG / PhD Candidate in Philosophy, Université Paris 8, FR

110-120

如何理解康德的最高善概念？

林正昊／德國慕尼黑大學哲學系博士生 Understanding Kant's Concept of the highest Good Cheng-Hao LIN/PhD Candidate in Philosophy, Ludwig-Maximilians-Universität München, DE 評論 林正昊－如何理解康德最高善概念 蘇筱鈞／法國巴黎第十大學哲學博士 Hsiao-Chun SU / PhD in Philospohy, Université Paris Ouest Nanterre La Défense, FR

121-134

在現象學邊界上的問題－關於死亡的現象學

楊運弘／德國弗萊堡大學哲學博士候選人 The limit problems of phenomenology－On the phenomenology of death Yun-Hong, YANG / PhD Candidate in Philosophy, Albert-Ludwigs-Universität Freiburg, DE 評楊運弘《在現象學的邊界上的問題--關於死亡的現象學》一文 吳宗遠／法國巴黎第八大學哲學博士生 Tsung-Yuan WU / PhD Candidate in Philosophy, Université Paris 8, FR

135-171

以空間記憶作業探討老化過程中大腦的神經網絡 補償機制 賴哲瑩／英國紐卡索大學神經科學博士候選人 Visual-spatial processing in ageing: neuroimaging and cognitive correlates Yvonne LAI / PhD Candidate in Academic Psychiatry, Newcastle University, UK

談 ＂Visual-Spatial processing in ageing: neuroimaging and cognitive correlates”及認知神經科學研究方法 林依禛／台灣陽明大學神經科學研究所博士候選人 Yi-Chen LIN / PhD Candidate in Neuroscience, National Yang-Ming University, Taiwan

172-218

失業、經濟成長、和貿易：奧肯定律在台灣的 實證研究

劉禹伸／英國南安普頓大學經濟系博士候選人 Unemployment, Economic Growth, and Trade: Empirical Application of Okun's Law in Taiwan Eric Yu-Shen LIU / PhD candidate in Economics, University of Southampton, UK Commentary on “Unemployment, Economic Growth, and Trade: Empirical Application of Okun's Law in Taiwan’’ by Yu-Shen LIU Dr. Jan M. Podivinsky／英國南安普敦大學經濟系教授 Associate Professor in Economics, University of Southampton, UK

219-235

臺灣內國銀行對中企業放款的潛在風險

黃維民／英國倫敦大學皇后瑪麗學院法律碩士生 Potential risks of loans made by Taiwan domestic banks to China enterprises Wei-Ming HUANG / Master of Laws, LL.M., Queen Mary University of London, UK 評 黃維民《臺灣內國銀行對中企業放款的潛在風險》 黃薇儒／德國圖賓根大學法律博士生 Wei-Ju HUANG / PhD Candidate in Law, Eberhard Karls Universität in Tübingen, DE

從當代陶瓷藝術創作 探討臺灣文化 Exploring Taiwanese cultural identity through contemporary ceramic practice

陳文曦／英國巴斯思巴大學陶藝博士候選人 Wen-Hsi CHEN / PhD Candidate in Ceramics, Bath Spa University, UK

評論 Commentary： Jiyi RYU／英國約克大學藝術史博士候選人 PhD Candidate in History of Art, University of York, UK

An exploration of Taiwanese cultural identity through contemporary ceramic practice.

Wen-­‐ Hsi Chen/ Harman

Introduction

This paper will explore Taiwanese identity in the UK from the perspective of a Taiwanese artist living with, and through these two different cultures. It will investigate the construction of identities in a cross-­‐ cultural context through contemporary ceramic practice. As a Taiwanese woman living and working ‘in between ’ cultures I have recognized how challenging it is to survive in western society.

My PhD, which is practice-­‐ led in ceramics, deals with the predicament of identity.

My supporting research investigates Taiwanese women ceramists, with a particular focus on notions of gender. Taiwan continues to be a patriarchal society. Traditionally, women in Taiwan have always relied on male dominated social rituals as this defines their identity in life.

My contemporary practice provides a platform of freedom from which I can escape and review tensions. It addresses the questions of who I am and how I can develop my studio practice research in ceramics, in order to find ways of working that express and communicate my situation.

In April 2013 I undertook my research field trip in Taiwan. During this time I spent seven days (25th April 2013 to 1st May 2013) with the Amis. This tribe ‘with a population of 177,000, the Amis is the largest of Taiwan’s indigenous group’1, are a discrete female tribe making pottery in Taiwan. This is why I decided to research them. I visited a group of five Amis women who live in Fakong village in Hualien on the eastern side of Taiwan. Fortunately, I had the opportunity to interview all five of the Amis women and I recorded their traditional pottery making process.

1

Taiwan indigenous groups/summary,Shun Ye Museum of Formosan Aborigines Guidebook, p18.

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The history of Taiwan and my own family history

My homeland, Taiwan, is a place influenced by multiple cultures and there are many historical layers. Our culture has been exploited for centuries through occupation by many national authorities. This has been for the benefit of others rather than the country itself. Taiwan has been occupied in turn by Holland (1624-­‐ 1662), Spain (1626-­‐ 1642), Japan (1895-­‐1945) and China (1683-­‐1895).

Nowadays, Taiwan is trying to survive political pressure from China, Korea, the U.S.A. and Japan. The Taiwanese still face a challenge in finding a way to build and maintain a strong national identity, devoid of other’s imported ideas.

For this reason, I have been investigating who might already be dealing with cross cultures and have a complex background involved with Post-­‐ colonialism.

The work of Gayatri Chakravorty Spivak, the Indian cultural theorist and translator matches this definition. She was born in India and studied in the U.S.A and so her situation is similar to mine as I am experiencing and living with western culture but it is not part of my original cultural background and I also have personal experience of colonialism.

My family is currently living in the historic Dihua-­‐ Yanping North Road, in Taiwan. Historically, there were many advantages to this area such as Chinese herbs, tea and dry mushrooms and so on. For this reason the Japanese favoured this area when the government occupied Taiwan from 1895 to 1945.

Additionally, this area was an ideal location for these items to be delivered to Japan by boat.

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（Figure1）Six-­‐House Street, Dadaocheng District, Taipei City, Taiwan.2

Before WWII (1945), my grandmother (born in 1929) grew up learning how to speak Japanese. During the time in which Japan occupied Taiwan my grandmother had hardly any other realistic option than to work for the Japanese teaching their language. It was a tough decision because some Taiwanese hated her and thought that she did not respect her own identity and nationality. On the other hand, if she had not followed Japanese rules she would have been sent to Japan to become a ‘Comfort Woman’.

After WWII (1945), the Japanese government left Taiwan. However, my grandmother is still strongly influenced by Japan. For example my grandmother would buy fashion magazines shipped from Tokyo, watch Japanese TV shows and eat Japanese food (ice cream/ sweets), she even lived in a Japanese wooden styled house. In turn, this way of living influenced my lifestyle as it stood out and looked glamorous.

This mixed background influenced the development of my own ceramics practice.

I started to question my own identity. It provided me with an opportunity to collect the real voice and stories of Taiwanese ceramics history and unpick many layers of meaning(psychological and emotional as well as historical and cultural), through the use of visual metaphor.

2

The photo illustrates Taipei city in later half of 19 century .The photo came from http://zh.wikipedia.org/wiki/File:Taipei_City_in_19c.jpg

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Oral history

Part of my research is to identify unknown Taiwanese women ceramic makers.

Many researchers have analysed Asian artists using Post-­‐colonialism, however I do not consider that Taiwan belongs to the ‘Third world’ so this is not a suitable way to address Taiwanese society. Another issue concerns Feminism as a means of investigating women’s approach to making. Although it is necessary to note Feminist theories, I am concerned that most ‘isms’ have been with Western ideology in mind. For this reason, I will discover suitable aspects of Taiwanese society using information from my own first hand experience.

The oral history is a process in which to gather first hand information, it relates to memory and experience. ’Oral history is as old as history itself. It was the first kind of history ’3, and provides an ability to reconstruct history from a different perspective. ‘In some fields, oral history can result merely in a shift in focus, but also in the opening up of important new areas of inquiry ’4. The oral tradition of storytelling moves from generation to generation to review the layers of history.

I used original first hand collected documentary evidence and objects to show in the exhibition. The Amis tribe is the only remaining group to still produce pottery in tune with their cultural history. Part of my research activity has been focused on this tribe and I have produced a film showing their process. It is a ten minute film that you can view here: Vimeo (https://vimeo.com/79514968) it is also exhibited in the Museum of East Asian Art, Bath, UK. 5

As a Taiwanese woman, I always think about my homeland, especially in relation to ceramics. I am drawn to clay and the character of this material, often questioning its implications. My research is a successful way to use oral history perspectives to uncover individual voices. I also believe women and ceramics have a strong relationship. As Moria notes, ‘I have been thinking about women and ceramics for over 25 years. It was a revelation to me, when I discovered it,

3

Thomson, Paul. The voice on the past-­‐ oral history Third edition, Oxford university press,p25.

Edited by Robert Peaks and Alistair Thomson, The oral history reader, Routledge London and New York, p25.

5 The exhibition: A disappearing Culture: The Amis Earthenware Tradition in Taiwan, 17 January – 31 May 2015. http://www.meaa.org.uk/current-­‐exhibitions/new-­‐exhibition-­‐2.html 4

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that many people believe women to have been the first potters’6 My research has a strong link between oral, female and ceramic histories.

Traditional pottery in the modern world –Amis

Pottery process: 1. Dig the clay They dig the clay nearby the ancestor’s tomb, which is located by the ocean and near the motorway. They use the axes and hoes to help them dig for the clay. They mentioned to me that if they find a fragment of red brick type clay they must continue to dig as the clay will be near. The clay is located between the rock and red brick type clay. It is a thin and sticky layer.

(Figure 2) the rock with a fragment of red brick

6Vincentelli, Moira. Women potters Transforming Traditions, UK, A and C Black,2003,p9.

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(Figure 3) a fragment of red brick

(Figure 4) photograph of women digging for clay.

2. Sieve the clay Firstly, they put the clay on a flat ground surface. They use the hoe to break up the clay. Secondly, they use their hands to pick out any stones from the clay. They then keep the clay in an outside space for a couple of days to let it dry out completely. They then sieve the clay.

(Figure 5 ) Lisin helped deal with the clay

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(Figure 6) drying out clay in the outside space

3. Pounding the clay Firstly they have to carry out a ceremony to pray for good luck to help them throughout the pottery process. They then prepare their handmade cushion, a material that comes from recycled plastic. The clay is put in the top of the cushion. After the ceremony they add water to the dry clay. They then use their handmade wooden stakes to prepare the clay for making pots, they do this by pounding it until it becomes sticky and compact like dough.

(Figure 7) Pounding clay

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(Figure 8) The pounding process is finished, they then prepare the clay for making pottery.

4. Making pottery In previous years the Amis learned how to make pottery from their mother or grandmother, some grandmothers would teach them to use their knee to construct the shape. Using their Knee to help shape a pot is one example of a process passed down from generations. Nowadays, they have started to use a stone and a wooden bat to help build the shape. They usually spend more than two weeks letting the pottery completely dry out before they fire it, but this research trip was very time pressing so they used a dehumidifier to speed up the drying process.

5. Firing the pottery In previous years it was their ancestor who would bring a dream for the women, the ancestor would decide which space and which sunny day would be the best to do their firing. Nowadays, they struggle to keep this action going. Almost all the land in the area does not belong to them any more, it either belongs to local rich families or the government.

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(Figure 9) firing space

Before a firing they will hold a ceremony to get rid of any evil spirits (Palafoay) and they ask their spirit to protect the firing process.

(Figure 10) Lakaw holding a ceremony

(Figure 11) women helped each other build the outdoor firing

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(Figure 12) Lakaw used newspaper to light a fire on the sides of the outdoor firing.

They always let a firing process go on for about twenty-­‐ four hours, to a temperature of about 860 degrees.

6. Picking up the pottery from the outdoor firing When the firing is complete they hold another ceremony to thank their spirit for bringing them good luck for a successful firing process and then they start to pick up the pottery. After picking up the pieces from the outdoor firing they will use water to wash out any dirt and wait for the piece to dry before they use it.

(Figure 13) the finished firing process.

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The character of the Amis’s pottery: 1. It is a woman’s job 2. The clay comes from the local area.

3. Making pottery relates to an attitude of piousness and thanksgiving. Before any action such as digging the clay, preparing the clay prior to the firing process or removing the pots from the kiln) they need to have a ceremony for Miftik (their divine god).

4. They use local, natural material to fire the pottery, such as dry rice shells and wood collected from the local ocean.

5. Taboos for the firing process are that the women are: (1) not allowed to break wind; (2) not allowed to sneeze; (3) before the day of firing the pots the Amis can not sleep with their husband; (4) they must not joke around.

6. The firing process takes place outdoors and they do not use any electric kilns.

Amis lifestyle As part of their traditional lifestyle the men were in charge of carrying out heavy jobs such as building houses, fishing and hunting and so on.

Foya is Lisin’s husband, he is a fisherman and catches fly fish once a year .(see figure 14)

(Figure 14) Foya with a fly fish

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Other women in the tribe, however focus on taking care of their children, farming, making clothes and cooking as well as pottery.

(Figure 15 ) Lakaw was making clothes for the ceremony.

(Figure16) Different women making clothes

Previously the Amis would have joined together to make pottery during May. It was team work. Making pottery was part of a ceremony used to appreciate their ancestry. After WWII, they collected the USA’s army’s materials that they left behind such as AL which is a type of metal. This was a transitional point in the Amis’s lives. They began to use metal in their daily life which caused the pottery culture to slowly disappear to the point were modern materials became a commodity, replacing cultural aspects of the discipline. Very few of the Amis now know how to make pottery according to their ancestors tradition.

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Amis’s women : 1. Lakaw (Born in 1932 Feb 25-­‐ ) the eldest woman in the tribe, she deals with almost all ceremonial processes.

(Figure17) Lakaw’s photograph

2.Dogin (born in 1953 Dec 16 -­‐ ) If Lakaw is not in the village, she will need to play an important role in the pottery making process.

(Figure 18) Dogin’s photograph

3.Palos (Born in 1948 Feb 8-­‐ )

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She is Byimu and Kulas’s older sister.

(Figure 19 ) Palos’s photograph

4.Lisin (born in 1956 Jan 17-­‐ ) She is Foya’s wife and invited us to stay in her house for one week.

(Figure 20) Lisin’s photograph

5.Byimu (Born in 1957 Nov 15-­‐ ) She is Palos’s younger sister.

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(Figure 21) Byimu’s photograph

The Amis objects The Amis tribe pottery is intrinsic to this exhibition as these objects are the originals and have come directly from the tribe. The objects were fired to a temperature of about 860 degrees. The surface colour is the result of the firing process. They used dry rice plant shells, collected wood sticks from the seaside and hay. All of these elements are a very important resource of the firing process.

They did not waste or use any electricity to fire the pieces. Amis pottery is divided into three parts.

(1) Ceremonial pottery :

(Figure 22) Diwas: ceremonial cup used for alcohol.

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(2) Cooking pottery

(Figure 23) Tatolonan: used for steaming vegetables.

(Figure 24) Koleng: General cooking

(3) Container pottery

(Figure 25)Atomo: Storage container.

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‘Others’

From an Amis woman’s viewpoint, I suggest I am also an ‘other’, an ‘outsider’. As a Taiwanese woman working and living in the UK, I get the impression that I have being labeled as an outsider perhaps because of my skin colour or language.

It seems I do not belong anywhere.

My homeland Taiwan is in a terrible predicament, ‘Few people think of Taiwan as a travel destination. Its place in the popular imagination of the West is more as a producer of computer chips and peripherals, as a political thorn in the side of China, and, for those who keep abreast of current events, as the small island that sprinted from the starting line of martial law to attain fully –fledged democracy in little more than a decade’7. It is a challenge to wash out the stereotype in other people’s minds. How do the Taiwanese use perspectives to interpret our reputation as well as our overwhelming identities.

The British social psychologist Henri Tajfel, who was working with Turner proposed the, ‘Social identity theory: feeling superior to others.’ Turner and Tajfel observed the following,

‘We categorize: we find it useful to put people, ourselves included, into categories and label. We identity: we associate ourselves with certain groups(our ingroups), and gain self-­‐ esteem by doing so. We compare: we contrast our group with other groups (outgroups), with a favored bias toward our own group.’8

I am seeking a solution of how to express the feelings of being ‘other’. I wish racial prejudice would disappear, but it is impossible. One of my practice processes is trying to reduce prejudice and gender stereotypes so, I am focusing on identity. The identity represents complex layers in relation to social and gender contexts. My homeland, Taiwan, is at the edge of the developed world, and is situated in a colonial and postcolonial status. As a Taiwanese person I

7

Insight guides: Taiwan (2006)p15.

Co-­‐author of this ninth –edition Chapter (prejudice disliking others) is prejudice researcher Steven J. Spencer, associate professor and chair of the social psychology program at the University of Waterloo, Social psychology, p317-­‐318.

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decided to use rich enamel and gold lustre to emphasize this concept of the edge, to represent my enduring feelings of being an outsider.

Using the tips of my thumbs and forefingers I created tiny and careful actions to represent my own small voice. This meditative movement is in between pressing and pushing. Each small individual porcelain fingerprint is a reconstruction of my identity. It represents the relationship between the dominant western narrative and where I find myself. Using the glazing protects my own fingerprint became an inviable identity.

(Figure26 ) My identity

The question is whether the Taiwanese culture belongs to the otherness of an alien culture. Or rather, ‘the demand of identification – that is, to be for an other – entails the representation of the subject in the differentiating order of otherness’9 Being others should we develop ourselves to approach the standard?

What is the standard of the world? A group of the world will cause cultural deficiency, neglect of a dimension of meaning pertinent to certain cultures.

I am the other (an outsider) to gaze into spiritual space. It is an environment in which there is freedom to move my idea relating to identity. The word ‘other’ should not only be related to nationality and skin colour, it also relates to spiritual identification. In my practice I am using objects, materials, and clay to create a dialogue in order to change identities through re –engagement with clay.

9

Homi k. bhabha. The location of culture, Interrogating identity, p45.

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Exploring identity/identities is a construct relating to my main development.

McCarthey and Moie (2002) argue that identity matters, both because identities shape people’s practices and, ‘because people can be understood by others in particular ways, and people act toward one another depending on such understandings and positionings (2002:228-­‐9)’.10 This made me wonder about ‘what is the process by which arts made within one culture come to be a medium of exchange with another?’11

Collecting Ready –made objects / Material Culture

My research also involves an element of Material Culture regarding ‘culture as a map of meaning’12 and ‘the objects as signs of status’13 which represent my identity. By shifting cultural identity to material objects it could be possible to decode the boundaries that exist between Taiwan in the (East) and the UK in (West) concerning cultural difference.

When I was in Taiwan carrying out my research I also used that time to collect objects. I intended to use them to construct my cultural identity. For instance I used the traditional Taiwanese wedding cake models to create categories and have a dialogue with clay. Furthermore ‘distinctions between categories of art, artifact, and commodity are projections of individual experience that reveal, in the end, far more about those who collect objects than those who produce them.’14 My collection of objects belongs to the ’souvenir’ or the part of Taiwanese culture that I had grown up with and these objects have interesting layers of material culture.

I am fascinated to collect Taiwanese traditional wedding cake wooden objects, I have been wondering about the end of the wedding ceremony process, the next

10

Edited by Ann-­‐ Marie Bathmaker and Penelope Harnett(2010) Exploring learning, identity and power through life history and narrative research, UK: Routledge, p3.

11 Janet Catherine Berlo, Deawing(upon) the past –Negotiating identities in Inuit Graphic Arts Production, Book: Unpacking Culture(1999). U.S.A: University of California Press,p179.

12 Warren Kidd and Alison Teagle, Culture and identity –second edition, UK: Palgrave macmillan,p11.

13 Mihaly Csikszentmihalyi and Eugene Rochberg –Halton, The meaning of things – Domestic symbols and the self, UK: Cambridge university,p29-­‐p32.

14 Edited by Ruth B. Phillips and Christopher B. Steiner, Unpacking Culture – Art and commodity in Colonial and Postcolonial Worlds, UK: the Regents of the University of California ,p19.

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challenge for the couple is what time they will have a child in Taiwan. I have hand-­‐ painted the black eyes to show the other keeping the eyes to look at the bride’s stomach. I created the piece with the baby’s hands it represents the considerable pressure on the women’s life after getting married. (See Figure 16)

(Figure 27) The baby hands’ placing pressure

After that, I continue to think about myself living in a different culture and I have been changed by it. I discovered my identity issue; it is not simple because the identity is not easy to see. This process carries lots of tensions and ambiguous feelings. I decided to transfer this predicament to combine two different types of animals (chicken, turtle) to create a new species. (See Figure 17 and Figure 18). I tried to create a short film (the journey) to portray the thick fog and bring a more mysterious quality such as a process to find the identity.

(Figure 28) The turtle side

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(Figure 29) The chicken side

(Figure 30) The chicken with turtle inside the hot water

I have developed how to use the objects relating to material culture, to express identity, who has the power to judge the other’s identity?

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(Figure 31 ) The traditional wedding wooden moulds

I was uncertain how I could link my research to my practice work and also how I could transfer the oral history to the visual arts. I involved the ready–made objects and tried to investigate the possibility. Fortunately, I escaped from the Taiwanese wedding cake wooden objects to the paper spoons. The change in materials helped to move along my practice process. It provides me with another dimension to consider the smell from my memory of Chinese herbs. From this point I went back to the clay to create my work. (see Figure 31 and 32)

(Figure 32 ) My spoons are in different materials.

Identity theft

‘Identity is political, complex and taking the identity of another is dangerous’15.

From the perspective of the Amis, I am an identity thief, I steal, borrow and loan identity into my account. I am using my practice as a method to layer different forms of Taiwanese cultural information and documentation. Motivated by my concern that there was a lack of understanding of Taiwanese culture in the West.

I had undergone a complete transformation involving neglectful identity boundaries in a cross –culture.

For example one of my practical works: the sculptural long spoons is inspired

15

Laura Sillars, Identity Theft-­‐ stealing, faking, forging in contemporary art, Identity Theft,p248.

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from the particular structure from the Amis outdoor firing (See Figure 33). Five Amis women as a team worked together to build a kiln. The Amis women collected the branches last year from the sea.

(Figure33) The Amis built an outdoor firing

There is a tension between the Amis women and me in my sculptural spoons.

This originated from the fact that the Amis was afraid that I might sell them to the western society. I will steal their traditional culture. For this I balanced the spoons to create a metaphor for this condition.

When I was living with the Amis I noticed that every evening they watched Korean drama on the TV. Sometimes they watched Japanese TV programs during the day. It seems Taiwanese programs are not often shown on their TV. I am not too sure for them if they are concerned about Taiwanese news or about their own identity as a Taiwanese person.

My sculptural spoons also have a connection to the weird creature like forms of Castoro’s work. ‘Castoro’s work exists in a state of extremely structured tension, its momentum expressed with great physical intelligence by implied projection of the body (and the body ego) into space.’ 16

16

Rosemarie Castoto: working out, From the center-­‐ feminist essays on women’s art ,p250.

23

(Figure 34) Rosemarie Castoro: Symphony17

My long spoons (see Figure 35) also reference the allegory of long spoons. The story is a parable that shows the difference between heaven and hell by means of people

(Figure35 ) The sculptural spoons18

17

Rosemarie Castoro: Symphony.1974. Pigmented epoxy and fiberglass over Styrofoam and steel roads. 6’4’’ x 9’ x 24’. Courtesy Tibor de Nagy Gallery, New York. The image from the book: From the center-­‐ feminist essays on women’s art. p254.

18 The photo from Wen –Hsi Harman website (http://www.wenhsichenceramics.com/muse-­‐the-­‐collection-­‐inspires.html), The sculptural spoons. Porcelain. Exhibition: Muse: The Collection Inspires Friday 10 -­‐ Sunday 26 October 2014 The Holburne Museum, Bath, UK

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forced to eat with long spoons.19 (See Figure 36) It reminds me of the Amis’s situation. They are fighting with modern life and at the same time trying to keep their traditional culture.

(Figure36) A fresco showing heaven above, and hell below, Vank Cathedral, Iran

Another aspect of the spoon is that it was a personal object in the 17th century.

When people used to go out to eat they always carried their own spoons with them. ‘Spoons have always been popular as gifts; apart from the more usual occasions such as christenings, they have been given as tokens of love and faith at weddings and as memorials at funerals ’ 20 From this perspective, I created non-­‐ functional sculpture porcelain spoons to sit in a public space. Perhaps it is a shame to show spoons in a museum as it was seen as a personal item and not for public view. For this reason I wonder what kind of object is allowed to be shown in a museum setting.

From a traditional welsh cultural perspective the carved love spoons relate to the engagement, weddings, anniversaries and so on. It reminds me of the Taiwanese wedding wooden cake moulds. They also are associated with the relationship between the couple. Time and space changes, perhaps so do the meanings of the spoons, they are shifting in different systems.

19 20

http://en.wikipedia.org/wiki/Allegory_of_the_long_spoons Simon Moore, Spoons 1650 -­‐2000, Early history,p4 25

(Figure 37) The wedding Day love spoon21

(Figure 38) My sculptural spoons

My sculptural spoons have an unstable condition. I intended to create function and non-­‐ functional objects that translate a sense of value (See Figure 38). The

21

All Weddings are unique, and our Lovespoons would be a fantastic addition to the special day.

In Wales it's a custom for locals to give the bride a Lovespoon at the end of the Wedding ceremony. Love Spoons are also given as Wedding gifts by guests to the couple. Love Spoons can also be given as tokens of Thanks by the Bride and Groom to members of the Wedding party -­‐ e.g.

Mother of the Bride, Bridesmaids etc. The wedding Day love spoon’s picture came from http://www.welsh-­‐lovespoons.co.uk/index.php?main_page=product_info&cPath=75&products_i d=199

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element of humorous hostility is also part of the detail in my work and it also relates to the Amis. The spoon’s body is constructed from blue stain / cobalt oxide mixed in with royal porcelain. My spoons look like they will collapse in the space they are in. This expression is evidently simple and derivable and it has a relationship with the Amis and their handmade pottery tools (See Figure 39).

（Figure 39）The Amis handmade pottery tools

The spoons also represent space which the Amis do not seem to have a lot of in which they need to create their ceramic work and it also relates to the landscape.

The Amis women dreamed of having their own space to fire their pots. However, the Taiwanese government and local landholders control the lands. The Amis are unprepared to accept the modern life or their history of the past. It is reasonable in the sense that there exists a link between the fact of change and content. The individual spoons also represent the isolation of the Amis’s identity.

Conclusion

My practice provides a platform of freedom from which I can escape and review the tensions of living in the space between two cultures. I collected first –hand information to allow Taiwanese women to have a voice so that I could review their practice. I also used women’s studies, gender and material cultural studies to receive multiple points of views instead of a single aspect in my research.

27

Taiwan will need to survive in the context of western society but this does not mean to just become an ‘other’. It needs to try not to limit its potential and possibility. Taiwanese people need to be positive to deal with our past and look forward to the future. In turn we have seen our country occupied by Spain, Holland and Japan and we have a very sensitive relationship with the Chinese government. Taiwan needs to figure out our traditional cultural values and try to understand Taiwanese history to be able to believe in ourselves. Nowadays, Taiwan seems to be living in a colonial period or post-­‐ colonial atmosphere, but we need to develop our own value to survive.

List of illustrations

Figure1. Six-­‐House Street, Dadaocheng District, Taipei City, Taiwan. Page3 Source:http://zh.wikipedia.org/wiki/File:Taipei_City_in_19c.jpg

Figure2. The rock with a fragment of red brick Page5

Figure 3. A fragment of red brick Page5

Figure 4. Photograph of women digging for clay Page6

Figure 5. Lisin helped deal with the clay Page6

Figure 6. Drying out clay in the outside space Page7

Figure 7. Pounding clay Page7

Figure 8. The pounding process is finished, they then prepare the Page8 clay for making pottery.

Figure 9. Firing space Page8

Figure 10. Lakaw holding a ceremony Page9

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Figure 11. Women helped each other build the outdoor firing Page9

Figure 12. Lakaw used newspaper to light a fire on the sides Page10 of the outdoor firing.

Figure 13. The finished firing process. Page10

Figure 14. Foya with a fly Page11

Figure 15.Lakaw was making clothes for the ceremony Page12

Figure16. Different women making clothes Page12

Figure17. Lakaw’s photograph Page13

Figure 18. Dogin’s photograph Page13

Figure 19.Palos’s photograph Page 14

Figure 20. Lisin’s photograph Page14

Figure 21. Byimu’s photograph Page 15

Figure 22. Diwas: ceremonial cup used for alcohol Page15

Figure 23.Tatolonan: used for steaming vegetables Page16

Figure 24.Koleng: General cooking Page16

Figure 25. Atomo: Storage container Page16

Figure26.My identity Page18

Figure 27. The baby hands’ placing pressure Page20

29

Figure 28. The turtle side Page20

Figure 29. The chicken side Page21

Figure 30. The chicken with turtle inside the hot water Page21

Figure 31. The traditional wedding wooden moulds Page21

Figure 32. My spoons are in different materials Page22

Figure33. The Amis built an outdoor firing Page 23

Figure 34.Rosemarie Castoro: Symphony Page24

Figure35. The sculptural spoons Page24

Figure36. A fresco showing heaven above, and hell below, Page25 Vank Cathedral, Iran

Figure 37. The wedding Day love spoon Page26

Figure 38. My sculptural spoons Page26

Figure 39.The Amis handmade pottery tools Page27

Bibliography

Bowman, Paul. (2010). The Rey Chow reader. New York: Columbia university press.

Burbank, Jane and Cooper, Frederick. (2010).Empires: in world history-­‐ power and the politics of difference. Princeton and Oxford: Princeton university press.

Bhabha, Homi K. (1994). The location of culture. London: Routlrdge Chen, S, Boucher, H. C and Tapias, M. P. (2006). The relational self revealed:

30

Integrative conceptualization and implications for interpersonal life.

Psychological Bulletin, 132,151-­‐179.

Edited by Robert Peaks and Alistair Thomson(1998), The oral history reader.

Routledge London and New York.

Edited by Donna Landry and Gerald Maclean(1996), The Spivak Reader, UK:Routlefge.

Harris, Jonathan(2008). Identity theft: the cultural colonization of contemporary art. UK: Liverpool university press.

Harvey, Karen.(2009). History and Material culture-­‐ a student’s guide to approaching alternative sources. New York: Routledge.

Kim, Vivien. Insight guides: Taiwan (2006). UK and Ireland: GeoCenter international Ltd.

Ka, Chih-­‐ ming. (1995) Japanese colonialism in Taiwan: Land Tenure, Development, and Dependency,1895-­‐ 1945.. U.S.A: Westview Press.

Lippard, Lucky R (1976). From the center – feminist essays on women’s art. New York: A Dutton Paperback. E.P. Dutton and Co,INC.

Manthorpe, Jonathan (2009) Forbidden nation: the history of Taiwan. U.S.A: Palgrave macmillan.

Moore, Simon (2012). Spoons 1650-­‐2000. Oxford: Shire Library.

Morton, Stephen (2003). Gayatri Chakravorty Spivak. UK:Routledge.

Myers, David G (2008). Social psychology ninth edition. New York: The McGraw – Hill companies,Inc.

Rubinstein, Murray A(2007). Taiwan: a new history /expanded edition..U.S.A :

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M.E. Sharpe.Inc.

Sillars, Laura(2008). Identity Theft-­‐ stealing, faking, forging in contemporary art..

UK:Liverpool University Press.

Shung Ye Museum of Formosan Aborigines (2010),Shung Ye Museum of Formosan Aborigines Guidebook, Taipei, Shung Ye Museum of Formosan Aborigines.

Sandino, Linda(2013). Oral history in the visual arts. UK: Bloomsbury Publishing Plc.

Thomson, Paul(1935). The voice on the past-­‐ Oral history Third edition, Oxford university press.

Vincentelli, Moria(2000). Women and ceramics the gendered vessel. Manchester and New York: Manchester university press.

Vincentelli, Moria(2003). Women Potters Transforming Traditions. UK: A and C Black Publishers.

Website

Aboriginal Amis Viemo http://vimeo.com/79514968 (Accessed on 01/04/2015)

Allegory of the long spoons http://en.wikipedia.org/wiki/Allegory_of_the_long_spoons (Accessed on 05/04/2015)

Council of indigenous people-­‐ Amis http://www.apc.gov.tw/portal/docList.html?CID=7AD36169AB07E1D0&type= D553881BB72C42C9D0636733C6861689 (Accessed on 06/04/2015)

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Digital Museum of Taiwan Indigenous Peoples-­‐ Amis http://www.dmtip.gov.tw/Eng/amis.htm (Accessed on 06/04/2015)

Museum of East Asian Art-­‐ A Disappearing Culture: The Amis Earthenware Tradition in Taiwan http://www.meaa.org.uk/current-­‐exhibitions/new-­‐exhibition-­‐2.html (Accessed on 01/04/2015)

Shung Ye Museum of Formosan Aborigines, Amis ceremonial pottery http://www.museum.org.tw/SYMM_en/031_3_04.htm (Accessed on 05/04/2015)

Taipei city in later half of 19 century. The photo came from http://zh.wikipedia.org/wiki/File:Taipei_City_in_19c.jpg (Accessed on 01/04/2015)

Welsh love spoons, Hand cared lovespoons from Wales http://www.welsh-­‐lovespoons.co.uk (Accessed on 06/04/2015)

WenHsi(Chen)Harman Ceramics http://www.wenhsichenceramics.com (Accessed on 01/04/2015)

33

Comment on Wen-Hsi CHEN’s “Exploring Taiwanese Cultural Identity through Contemporary Ceramic Practice” Jiyi RYU / PhD Candidate in History of Art, University of York, UK

Wen-Hsi CHEN’s artistic practice and her essay as an artist statement can be understood as partparticipant observation record and part-autoethnography. Her own practice in ceramics is an intervention into the Taiwanese traditional culture and social norm, considering the fact that female role has been limited to decorating part in the overall process of making ceramics in Taiwan. As Stuart Hall made a distinction between ‘Theory’ and the verb ‘theorising’ and also regarded theory as action, theory does not have critical meanings within itself, but rather through theoretical practices, critical meanings of theory can be achieved. Wen-Hsi CHEN’s making and writing have a practical purpose, and she seems to be trying to make her academic work and artistic practice an active verb.

Considering the issue of tradition and authenticity, and contested identities and representations in contemporary society, I would like to suggest the artist-cum-writer to draw from academic discourses on the interrelation between tourism and postcolonialism as well as tourism and modernity in order to elaborate her discussion. In addition, we need to reexamine identity politics of the minority and their traditional pottery as a souvenir in the context of ‘Unescofication’ in the era of globalisation. Not only making pottery but also tourism is a sort of social action. Along with social transitions in modern Taiwan, the Amis community and their traditional pottery making are experiencing a wave of change. In terms of tourism industry, the Amis is attempting the commodification of pottery beyond its original functions in everyday life. Moreover, this kind of pottery is collected and displayed inside museums or art galleries as a representative of a particular culture.

In Wen-Hsi CHEN’s essay, the interplay of ethnicity, gender and class is critical. The Alik Studio was founded by a man from the Amis and the commodification process of their community was promoted by him (one man), whereas the Amis traditional pottery still has been made by female hands according to their tradition, which is starkly different from that of the majority in Taiwan. Even though the women are makers and own their craftsmanship, they seem to be under the gendered control, in this case under the management of a male studio manager. Accordingly, more detailed relationships between the women as makers and the man as a manager, in particular the analysis of gender and hierarchy, are needed.

I would like to raise an issue of writing textual history of the Amis traditional pottery as a part of Taiwanese art history or broader Asian design history in that the Amis does not have textual and archival culture. Furthermore, we need to examine writing of the indigenous art and culture in the context of ‘world art history’ and ‘global art history’, which are recently emerging concepts, while analysing the cultural meaning of Taiwanese ceramics and pottery and its relationship with identities.

Both national art history and the nation-state are modern products, and national art history has been the field of aesthetic nationalism. In the process of writing national art history, major narratives tend to forget or erase the minority of a society. Therefore, it is required to reconsider not only the context of postcolonial Taiwan but the exclusion and insertion of inner-colonial groups such as the Amis in nationally bound narratives.

「你在上；我在下」─如何藉由 「空間方位隱喻」來表達古埃及王權？ You up; I down - Orientational metaphor concerning to ancient Egyptian kingship in royal iconographies and inscriptions

徐詩薇／德國柏林自由大學埃及系博士 Shih-Wei HSU / PhD in Egyptology, Freie Universität Berlin, DE

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Ciałowicz,"Krzysztof"M.,"Les"palettes"Egyptiennes"aux"motifs"zoomorphes"et"sans" décoration:"Etudes"de"l‘art"prédynastique,"SAAC"3,"Krakau"1991" Csábi,"Szilvia",Polysemous"Words,"Idioms"and"Conceptual"Metaphors:"Cognitive" Linguistics"and"Lexicography,"in:"A."Braasch/C."Povlsen"(eds.),"The"Tenth"EURALEX" International"Congress,"Copenhagen"c"Denmark,"August"13–17,"2002,"Proceedings"I," Copenhagen,"2002,"249–254" David,"Arlette,"Devouring"the"Enemy:"Ancient"Egyptian"Metaphors"of"Domination,"BACE" 22"(2011),"83–100" De"Buck,"Adriaan,"The"Building"Inscription"of"the"Berlin"Leather"Roll,"AnOr"17,"Rom"1948," 48–57" Di"DiasecDyson,"Camilla,"A"diachronic"approach"to"the"syntax"and"semantics"of" Egyptian"spatioctemporal"expressions"with"HA-t!‘front’."Implications"for"cognition"and" metaphor,"in:"E."Grossman/S."Polis/Jean"Winand"(eds.),"Lexical"Semantics" in"Ancient"Egyptian,"LingAeg"9,"Hamburg"2012,"247–292" Dreyer,"Günter"et"al.,"Umm"elcQaab."Nachuntersuchungen"im"frühzeitlichen" Königsfriedhof"9./10."Vorbericht,"MDAIK"54"(1998),"77–169" Hall,"Emma"S.,"The"Pharaoh"Smites"his"Enemies,"MÄS"44,"München/Berlin"1986" Gundlach,"Rolf,"Zu"Inhalt"und"Bedeutung"der"ägyptischen"Königsideologie,"in:"Gundlach," R./Raedler,"C.,"Beiträge"zur"Altägyptischen"Königsideologie."Selbstverständnis"und" Realität,"Akten"des"Symposiums"zur"ägyptischen"Königsideologie"in"Mainz"15.c17."6."

1995,"ÄAT"36/1,"Wiesbaden"1997,"1–8" Köhler,"Ines,"Rage"like"an"Egyptian"–"the"Conceptualization"of"Anger,"in:"M."Horn/C." Hoven/J."Kramer/D."Soliman/N."Staring/L."Weiss"(eds),"Current"Research"in"Egyptology;" 2010;"11;"proceedings"of"the"eleventh"annual"symposium"which"took"place"at"Leiden" University,"the"Netherlands"January"2010,"Oxford"2011" Köhler,"Ines,"Rage"like"an"Egyptian:"Prototypensemantik"in"der"altägyptischen"Sprache" am"Beispiel"des"Wortfelds"[WUT],"unveröffentlichte"Dissertation,"Berlin"2011" Köhler,"Ines,"„Du"Pharao"–"Ich"Hulk“:"Wahrnehmung"und"Versprachlichung"von"Wut," Sozialisationen:"Individuum"–"Gruppe"–"Gesellschaft:"Beiträge"des"ersten"Münchner" Arbeitskreises"Junge"Aegyptologie"(MAJA"1),"3."bis"5.12.2010,"GOF"4/51,"Wiesbaden" 16"

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2012" Kövecses,"Zoltán,"Emotion"Concepts,"New"York"1990" Kövecses,"Zoltán,"Metaphor."A"Practical"Introduction,"Oxford"22012" Lakoff,"George/Johnson,"Mark,"Metaphors"We"Live"By,"Chicago"1980" Liverani,"Mario,"The"Pharaoh's"Body"in"the"Amarna"Letters,"in:"M."G."Biga/M."Liverani" (Hgg.),"ana"turri"gimilli."Studi"dedicati"al"Padre"Werner"R."Mayer,"S."J."da"amici"e"allievi," Quaderno"Vicino"Oriente"5,"Rom"2010,"147–175" Lorton,"David,"The"Juridical"Terminology"of"International"Relations"in"Egyptian"texts" Through"Dyn."XVIII.,"The"Johns"Hopkins"Near"Eastern"Studies"4,"Baltimore/London"1974" Morschauser,"Schott"N.,"The"Mighty"Sword"of"Pharaoh,"VA"4"(1988),"151–164" Nyord,"Rune,"Breathing"Flesh:"Conceptions"of"the"Body"in"the"Ancient"Egyptian"Coffin" Texts,"CNIP"37,"Copenhagen"2009" Schoske,"Sylvia,"Das"Erschlagen"der"Feinde:"Ikonographie"und"Stilistik"der" Feindvernichtung"im"alten"Ägypten,"Heidelberg,"Uni.cDiss."1982,"Ann"Arbor,"Mich."1995" TorocRueda,"Maria"Isabel,"Das"Herz"in"der"Ägyptischen"Literatur"des"zweiten" Jahrtausends"v."Chr.:"Untersuchungen"zur"Idiomatik"und"Metaphorik"von"Ausdrücken" mit"jb"und"HAtj,"Göttingen"Univ.,"Diss.,"2004,"Göttingen"2004" Werning,"Daniel,"The"semantic"space"of"static"spatial"prepositions"in"hieroglyphic" ancient"Egyptian:"a"comparison"with"nine"IndocEuropean"and"AfrocAsiatic"languages" based"on"the"Topological"Relations"Picture"Series,"in:"S."Kutscher/Daniel"A."Werning,"On" ancient"grammars"of"space:"linguistic"research"on"the"expression"of"spatial"relations"and" motion"in"ancient"languages,"Berlin"2014,"195–325"

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ÄAT:"Ägypten"und"Altes"Testament" AnOr:"Analecta"Orientalia" BACE:"Bulletin"of"the"Australian"Centre"for"Egyptology" CNIP:"Carsten"Niebuhr"Institute"Publications" GOF:"Göttinger"Orientforschung" KRI:"Kitchen,"Kenneth,"Ramesside"Inscriptions,"historical"and"biographical"I–VI,"Oxford" 1975–1983" LD:"Lepsius,"Karl"R.,"Denkmäler"aus"Ägypten"und"Äthiopien"Bd."I–V,"Leipzig"1897–1913" LingAeg:"Lingua"Aegyptia"–"Journal"of"Egyptian"language"studies" MÄS:"Münchner"Ägyptologische"Studien" MDAIK:"Mitteilung"des"Deutschen"Archäologischen"Instituts"Abteilung"Kairo" 17"

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Urk"IV:"Sethe,"Kurt"et"al.,"Urkunden"des"Aegyptischen"Altertums"IV:"Urkunden"der"18" Dynastie,"Heft"1–22,"Leipzig"1906–1958" VA:"Varia"Aegyptiaca" Wb:"Wörterbuch"der"ägyptischen"Sprache"

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《你在上：我在下─如何藉由「空間方位隱喻」 來表達古埃及王權？》評析 徐昊／中国江苏南通大學文學院歷史系講師

隱喻可以追朔到古希臘亞裡斯多德的修辭學理論，亞裡斯多德認為隱喻的主要功能體現為修飾作用 。隨著隱喻理論的不斷發展，雷考夫和詹森的著作《我們賴以生存的隱喻》對隱喻這一概念重新進 行了闡發，認為隱喻廣泛存在於我們的日常生活、語言和思維，隱喻的基本作用是從來源域（也被 稱為喻體或喻衣）將某種相似性或共同點映射（也稱為喻底）到目標域（也稱為主體或喻旨）。 徐詩薇博士的論文《你在上；我在下─如何藉由「空間方位隱喻」來表達古埃及王權？》正是在雷 考夫和詹森二人的理論基礎之上，結合古埃及文獻的整理與分析所進行的系統性研究。作者以空間 方位隱喻為切入點，聯繫古埃及王權的表達形式，通過古埃及文獻和圖像中的各種空間方位表現方 式進行分析。作者認為空間方位是王權表現的重要形式，這在象形文字未得到充分發展的前王朝時 期尤其如此，圖像作為重要的王權宣傳媒介，充分利用了空間方位在內的多種表現手法來樹立王權 至高無上。隨著文字的不斷發展，空間方位隱喻所反映王權的方式開始出現改變，空間方位從原有 的單一直觀的圖像形態向抽象的語言文字與直觀的圖像複合形態方向轉變。縱觀全文，該論文主要 有如下幾個方面的特點： 首先，本論文運用了相當數量的壁畫、考古文物、象形文字文獻等第一手資料，並將這些資料置於 隱喻的話語環境中進行討論，如文中提到的赫拉孔波里斯的壁畫和納米爾盤都表現出了“上”這一 方位所具有的王權控制特性。作者在研究這些資料時，都經過了仔細分析和考證，這無疑保證了文 獻的可靠性與說服力。 其次，論文在很多地方體現了當今埃及學發展的最新趨向。近幾年來，各領域的最新研究範式已逐 漸開始滲透到埃及學領域。可以說，“概念隱喻理論”在本文中的運用就充分體現了這一發展趨向 。值得注意的是，王權作為抽象的概念需要借助特定的方式來表達，而隱喻則為其創造了可能，它 通過展現圖像和語言文字中的方位描述來達到強化王權的目的。 最後，論文不僅從微觀角度透析了古埃及空間方位隱喻在表達王權時的作用與意義，還在此基礎上 將空間方位隱喻的作用擴展到宏觀的政權程式中，將古埃及王權的職責納入到空間方位中進行討論 ，認為古埃及王權具有向上對神明負責，對外禦辱，對內善待子民的獨特政治意識型態架構，體現 出作者獨到的研究視角。 當然，本文還存在一些值得討論與思考的問題： 一方面，結合作者博士論文的內容而言，其中提到了形象表達的方式。那麼，形象表達之中是否包 含了現代雷考夫和詹森的「概念隱喻理論」？還是基本上是遵循古典學對於「形象表達」的定義， 把「形象表達」視為修辭學的一種來進行研究？ 另一方面，除了用空間方位隱喻，作者是否會在未來的研究中根據「概念隱喻理論」更加深入探討 古埃及王權，例如利用「實體隱喻」或是「結構隱喻」理論的認知角度？ 總之，本篇論文充分借鑒了語言文字學、考古學、埃及學最新研究成果，並積極嘗試將這些學科中 的研究方法與理論進行融合，引證詳實可靠，觀點鮮明，且能從宏觀與微觀角度考察王權與空間方 位隱喻之間的聯繫，觀點新穎獨特，適應了當代國際學界將最新研究範式引入到埃及學領域內的學 術趨勢，對我們深入研究和理解埃及王權及其表現形式大有裨益。

台客文化的神話學演練－ 以金枝演社的作品為例 Mythology of Tai-Ke in The Golden Bough Theatre’s Opela Hi

黃叔屏／法國巴黎第八大學劇場博士生 Shu-Ping HUANG／PhD Candidat in Theater, Université Paris 8, FR

評論 Commentary： 蔡潔妮／法國社會科學高等研究院文化社會學博士生 Jye-ni TSAY／PhD Candidate in Cultural Sociology, EHESS, FR

台客文化的神話學演練

楔子

1990 年代, 台灣的現代表演藝術界捲起一股本土風及東方美學風. 舞台導演及編舞家 們自民間的台灣藝陣, 俗民娛樂汲取養分, 意圖融合屬於台灣本土的創造意念與美學觀, 以發展屬於自身文化的特有表演形式. 千囍年後, 政黨輪替, 台灣意識興起, 台灣風更進一步, 成為了消費社會的一種喜好趨 勢. 台灣本土藝術, 在藝術界的引領下, 還正在經歷在知識分子的美學標準下, 自粗糙轉 向精練的過程, 民間藝術在文化位階上的轉型還在慢慢發酵之時, 商業行銷或大眾媒體 已經以一種神話學的方式,讓粗俗, 艷麗, 狂野, 生猛成為一種台灣文化的本質, 形容本土 藝術印象的代表性詞彙. 雖然, 這些詞語的逆向解釋翻轉了本土藝術被汙名化的地位, 底層文化所表現出的某種美學方式開始被中小階級知識分子所重視. 在這個過程中, 我 們可以觀察到意識形態如何助長了這種台客神話的生成. 在這篇文章中, 我將從爬梳被 稱為 «台客第一天團 » 的金枝演社的作品及環繞其四周的評論, 來試圖解讀金枝演社如 何實踐台客神話, 並在其將某些粗俗與台灣性的連結自然化及本質化的過程中, 略窺 如 何將中小階級的品味及意識型態轉型為共通文化的神話化的手法與目的.

台客論述的興起

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2005 年七月, 五佰, 豬頭皮, 陳昇以 « 台客 » 為名, 舉辦了一場盛大的 « 台客搖滾演唱 會 ». 他們打出了 « 台客是一種驕傲的 口號 », 將台客詮釋為代表 « 內在於台灣, 有本色, 有個性, 有自我的文化 », 推翻了台客就是粗俗, 沒水準的土台灣人印象, 隨即引起了網路 部落客的熱烈討論. 誠品好讀趁勢, 中國時報紛紛推出台客文化, 台客美學的專輯. 政治 人物甚至以台客為題 作為爭取台灣人認同的一個工具 . (王美珍 :2007.p.1) 以誠品好讀在 2005 年出刊的台客專輯為例, 他們邀請了文人及學者一起討論台客的定 義. 試圖為台客現象勾勒出一個總體的面貌. 並在視覺藝術, 表演藝術, 音樂上羅列出幾 位可以被視為台客代表的藝術家及團體 . « 台客 » 因此看似脫離了對一種特定外觀或 口音的蔑稱的單一定義, 而成為了各種邊緣次文化的集合體 . 不管這些關於台客的論述 如何從行為,外表上定義台客, 或不願定義甚麼是台客, 可以確定的是, 台客正歷經意義的 翻轉 :從輕蔑到讚揚, 從粗俗到自由, 從被拒斥的他者族群, 到對之產生認同的想像共同 體, 顯示著台灣社會正湧動著一股建立文化主體性的企盼與力量. 台客語義的翻轉所需 要的正當性就來自於將台客內化為本土文化的本質的神話化過程.

TVBSG 的 « 超級兩代電力公司 » 曾經連續製作了四個台客專輯 : « 我很台 但是我很 帥 », « 閃亮台灣妹 » , « 金光閃閃台客族 », « 我的台客男友 ». « 兩代 »的製作群表示 :

來的人頗符合一般大眾認為的台客形象 : 染金黃色的頭髮, 戴著特粗的金 項鍊, 口嚼檳榔, 還叼著七星菸, 水洗絲花襯衫外加飄飄褲, 穿著拖鞋或是至尊 鞋. 閃亮 , 金光閃閃 , 花襯衫, 金項鍊 ,夾腳拖等都成為台客敘述系統中的固定詞彙.

而伴

隨著這些外在表現而來的, 是附屬於這個意義裡面的各種表演形式 :通常在婚喪喜慶,廟 會活動中的才會出現的陣頭, 以熱辣女體吸引神明與群眾眼光的電子花車, 朝代混亂, 劇 2

情幾近乎鬧的胡撇仔戲, 這些完全由民間養成的生猛野性的表演特質以及情色腥羶的言 語特色 , 都成為台客系統的一部分. 中國時報前主編楊澤就如此描述他對台客的整體印 象:

台客一詞指的是俗艷敢炫的台灣人. 和視覺, 街頭文化有關. 譬如早期的街 頭小混混, 廟會中的七爺, 八爺, 宋江陣 婚喪等風俗喜慶 或林松義, 林沖等與影 視文化有關的風格. 這是屬於台灣特有的俗艷美學, 那種位處熱帶, 敢於揮灑的 性格.

文化政策的在地化

台客神話或可說是大眾媒體渲染的結果. 但是藝術界永遠是消費市場的先覺者. 自八零 年代末期 , 台灣社會的文化政策推行重點逐漸自歐美的, 城市的, 高雅的型態 轉到台灣 的, 本土的, 民俗的. 文化推廣自都會中心朝地方主義進展 : 注重地方性的歷史, 成立社區 的文史工作. 這樣一個本土化的過程, 自文建會在 1993 年推出的 « 社區總體營造 » 已見 端倪. 之後, 文建會開始籌建傳統藝術中心, 進行大規模的 « 傳統技藝保存傳承計畫 », 大幅度提升了民間藝術及藝師的文化地位. 在當時, 表演藝術界 , 尋找藝術的台灣性成為一個大勢所趨. 藝術家一方面以本土藝術 及本土藝人作為創作的發想與本源, 一方面將原本相對而言粗糙的藝術形式精緻及凝煉 化. 一些團體成功的創造出自己的身體美學 , 紛紛推出開創表演藝術歷史新頁的製作. 優劇場以太極, 氣功作為身體訓練的基底, 以民間藝師製作的大鼓為樂器 , 參酌日本鼓 童及鬼太鼓的表演形式, 在 1995 年推出 »« 聽海之心 ». 同時, 漢唐樂府 以南管音樂結 合放緩的梨園戲身段, 創造出梨園樂舞, 有在 95 年推出以泉州話為演唱文本的 « 艷歌 3

行 ». 無垢舞蹈劇場 將道士科儀, 媽祖進香, 南管音樂,起乩參雜進她的緩行美學 , 同樣 在 1995 年推出轟動表演藝術界的 « 醮 ». 本土文化精緻化的風潮在 1998 年亞維儂藝術 節時達到高潮, 表演藝術成為台灣奠定國際地位上重要的一環. 表演藝術界在美學形式與本土文化間, 以一種東方美學或回歸自然能量的方式找到匯 合點. 但是 , 有一個表演團體, 卻是另闢蹊徑, 他直接運用了本土戲劇的粗俗性, 以野性 放肆的表演特質奠定了其庶民劇場的代表地位. 它就是金枝演社. 金枝演社的 « 台灣女 俠白小蘭 »不僅是這波為粗俗去汙名化風潮的第一部代表之作 也是這部作品為金枝演 社寫下了他的歷史定位

胡撇仔戲的意義翻轉--台灣女俠白小蘭

常被譽為 « 台客第一天團 »的金枝演社 自 1996 年的 « 台灣女俠白小蘭 »開始, 就相繼 以胡撇仔戲系列以及 台客系列 為自己爭取到書寫台灣人的正當性. 胡撇仔戲是歌仔戲 的變體, 日本 « 皇民化 »政策下的產物. 由於太平洋戰爭後 , 禁鼓樂 禁止傳統服裝, 使得 歌仔戲團必須在舞台上演出現代劇目, 唱日本歌, 演奏西洋樂器. 因而產生了被稱為 « 黑 白撇撇啦 » 的胡撇仔戲.

歌仔戲在演的時候 外面一定有人在顧 看到日本警察來 趕快進來報 日本 警察來了 和服本來就準備在旁 一套 變成日本舞台劇 流傳下來 一次演出貍貓 換太子 準備打死寇珠 趕快 日本警察來了 他們就和服一套 繼續演出 變成打死 日本婆仔 ( 謝筱玫 台北地區外台歌仔戲 胡撇仔 劇目研究 2000 p.10 )

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脫去了傳統包袱的胡撇仔, 演出形式完全被商業機制影響 . 1940 , 50 年代的自日本寶塚 傳來的少女歌舞秀, 日本的武士電影, 80 年代大受歡迎的的電子花車秀, 都曾是胡撇仔戲 的昔日之師. 國民黨來台後, 歌仔戲逐漸被視為粗俗不雅的劇種, 胡撇仔戲這種胡搞亂搞 的變種更為知識分子輕賤. 首演於 1996 年底的 « 台灣女俠白小蘭 » 以野台歌仔戲的形式, 採用電子花車的概念, 以一台載卡多小貨車搭載著簡陋俗氣的佈景, 在廟口 ,夜市, 公園, 廣場露天演出. 觀眾 或站或坐, 自由來去. 演員化妝, 換裝都是在舞台後方利用貨車豎起的鐵欄杆搭建起的小 棚子 ; 半隱半露的空間讓化妝的演員被一覽無遺. 劇情連結天馬行空, 服裝道具無朝 無代. 演員畫著特別向歌仔戲老演員學習的野台妝, 粗濃的雙眉, 深厚的眼線, 過於豔麗 的腮紅. 舞台運用了電子花車模式 將小卡貨車的邊架打開, 成為 一個小巧的平面舞台, 後面豎立著 白小蘭與黑玫瑰的油畫海報式壁畫, 狂野膽大, 繽紛粲然. 鑼鼓弦仔現場, 配 合高潮點, 活絡氣氛.. « 白小蘭 »使用厘俗粗鄙的台語 呈現野台班的社會階層, 用語粗俗色情, 再現了胡撇仔 戲釋放社會情欲動能的功能及現象. 除此之外, « 白小蘭 » 巧妙的使用胡撇仔戲的固定形 式, 主要演員出場時必唱一首流行歌自報家門, 或是安排一個三八的行當 專門在舞台 上講黃色笑話, 散發性能量. 這樣直率粗野的表現方式 在屬於知識份子活動場域的現代 劇場, 是絕無僅有的. « 白小蘭 » 讓之前以抽象難懂的肢體劇場聞名的金枝演社一舉成 名, 開始為大眾所知, 在當時台灣本土意識高漲的社會氛圍下 白小蘭成為金枝演社最受 歡迎的劇目. 白小蘭首演的 1996 年, 台灣剛經歷過第一次總統民選及中共的飛彈攻擊恐嚇. 台灣意 識達到高峰. 台灣人不僅開始正視島上政治實體獨立的現實, 也在文化上開始有了區別

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中國文化企圖. 由知識分子劇團演出的 胡撇仔戲« 白小蘭 »,成了極具新聞性的話題, 不 僅吸引了記者的眼光, 我們也可以從報導的字裡行間, 發現政治 意識形態的變動影響了 美學詮釋的方法. 初露頭角的金枝演社, 以現代劇場跨足胡撇仔戲的身姿, 驚動了中文系出身的台大戲研 所的林鶴宜. 專精中國戲曲的林鶴宜, 進入台大戲劇系執教後, 開始將研究重心放在唯一 在台灣土生土長的劇種. 他對 « 白小蘭 »的批評 , 可以看出一個傳統的知識份子對胡撇 仔戲的看法以及他所認為的,身為知識分子身分的小劇場創作者所該創造出的戲劇價值.

選擇夜市這樣一個視覺 ,聽覺甚至味覺都很混亂的環境, 透過種種表演形 式釋放對這塊土地覺醒的熱情, 應該不算是新鮮事了. 新鮮的是能夠放棄中產 知識階層矜持的自我, 去拷貝底層文化的審美觀和思維方式. 胡撇仔戲產生自台灣戰後內外台車拼的歌仔戲班 , 以新鮮為號召 ,打鬥場 面使用武士刀 ,神怪 ,流行歌 ,無所不包 .以今天的角度描述 , 可以說是殘 留 « 皇民化 » 餘毒的金光戲 . 日帝早在半個世紀前被驅離這塊土地 , 但日據 的陰魂卻盤據在許多台灣人的認知中,久久不散 .胡撇仔戲未始不能浮現這樣 的歷史略影 , 因此有其再現和陳述的意義. 必須釐清的是 那是台灣文化畸形兒, 而不是母親. 何況白小蘭若是剝掉這一層外衣, 和一場學得很像的牛肉場或電子琴花車 秀 , 其實沒有太大的差別 .在底層文化原始而誠實的生命中 ,欠缺的正是文化 承繼的使命和自覺 . 全面向底層文化學習 卻忘了把自己輸出給這一文化階層 , 徒然取悅 ,諂媚 談不上對話. (林鶴宜, 表藝, 1987 2)

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但是, 以胡撇仔戲作為宣傳的主軸, 出身歌仔戲家庭的王榮裕, 卻將肆意胡行的,黑白亂 來的胡撇仔戲形容成一個充滿自由精神的劇種. 他認為胡撇仔戲 « 沒有具體的歷史朝代 為背景, 可以張飛打岳飛, 也可以天馬行空, 自由創作. 音樂形式亦不受約束, 所以內容非 常自由. »(王秋霖 中國時報 基宜生活 2003 12 27 ) 1996 年, 網路還不發達的時代, 藝文此時的報導還是依靠紙本的報紙傳播. 藝文新聞主 要依靠主流報紙的傳播 . 除了幾個主流報紙記者如民生報紀慧玲, 中時江世芳, 自由時報 王凌莉, 聯合報周美蕙等會在劇團提供的基本資料加上自己的意見報導外, 多數的記者 都是以劇團提供的說法及資料來撰寫新聞. 所以胡撇仔如何詮釋變成劇團這邊自由心證. 在以下的幾個地方報導裡, 我們就很清楚的看到 « 金枝意志 »如何藉由記者的報導進入 讀者的心裡.

金枝演社劇團模擬台灣光復前後頗流行於民間的野台戲 « 胡撇仔戲 –台 灣女俠白小蘭 »,,上個月於各地夜市 廟口演出後, 頗受一般百姓的歡迎 . 也勾 起大眾對 ‘落地掃’演出形式的懷念. (中國時報 1997 01 05) 苑裡鎮公所邀請知名劇團金枝演社在體育館演出一場難得一見的胡撇仔 戲 劇碼為台灣女俠白小蘭 吸引許多民眾扶老攜幼參觀 重溫早期農業社會看 野台戲的樂趣((傅潮標, 自由時報地方版 2000 6 24) 所謂胡撇仔戲 , 是指一種結合傳統歌仔戲 , 但自由即興創作演出的特殊戲 劇形式 .它的演出活潑, 草根性強, 能充分反映庶民心聲和社會現實, 因此與台 下觀眾產生不錯的互動, 共鳴, 極適合全家老少一起觀賞.(傅潮標自由時報地方 版 2000 6 24)()

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王榮裕指出, 胡撇仔戲為歌仔戲的變體劇種 ,由日據時代逐漸形成 , 稱為胡 撇仔, 即意味著該劇種不受朝代背景限制, 得以自由發揮的特色, 同時也反應出 更多的庶民聲音. (賴廷恆 中國時報藝文版 2001 0605) 在白小蘭有關的宣傳文字裡 金枝演社就已經呈現了他們懷舊及庶民劇場的策略, 草根, 庶民等名詞的出現 為金枝演社染上了俗民劇場的風采.

在當時文建會舉辦 « 演藝團隊

基層巡迴 » 的機會下, « 白小蘭 »有了經費巡迴台灣各鄉鎮, 甚至到淵源甚深的白沙屯媽 祖廟口演出. 不僅因此翻轉了胡撇仔戲長期的汙名化地位, 也 成為了金枝演社拿到表演 台灣本土戲劇正當性的鑰匙. 時至今日, 胡撇仔戲仍然成為 金枝演社最為人津津樂道的 作品, 儼然成為胡撇仔戲的代言人. 而以« 胡撇仔戲就是台灣自由的精神 »出發, 金枝演社開始了塑造台客神話的論述. 王 榮裕在日後的報導或訪談中持續談論著 « 胡撇仔戲…它標誌著台灣人面對政治壓力時 找到的自由空間，不只是形式，更重要的是其中活脫扭變的精神。1 « 無朝無代 張飛打 岳飛 胡撇仔戲的自由自在就是台灣人的精神. » 這樣的論述, 將胡撇仔戲的殖民劇種特 質詮釋為台灣文化本質的一部分.

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胡撇仔戲的美麗與哀愁─專訪《大國民進行曲》導演王榮裕(破報 劉美妤)

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評論 黃叔屏的« 台客文化的神話學演練 » 蔡潔妮／法國社會科學高等研究院 文化社會學博士生

金枝演社被認為是台灣劇場界本土風格的代表團體，黃叔屏這篇論文出發自對該團深刻的田野觀察 ，梳理了台灣文化場域本土化進程所遭遇的問題，有助於我們去發展出對既有文化階序的反省，甚 至可引領我們去思索該如何鬆動該階序。 這篇文章首先指出：台灣現階段社會一描述起本土風格作品，經常只會使用諸如「粗俗」、「艷麗 」、「狂野」、「生猛」之類的形容詞，使得所謂的本土文化意象始終無法突破舊有的文化階序位 置，與所謂的精緻文化有所距離。而金枝演社的胡撇仔戲系列，主動採用的文化元素正是落入舊分 類。如此強調本土文化意象與粗俗的連結，有可能會引來一些擔心與質疑。 胡撇仔戲作為誕生於日本時代皇民化政策下的劇種，當初是為了適應殖民晚期的文化政策，而演變 出來的一種混雜多種文化元素的「黑白撇撇啦」的樣貌。團長王榮裕曾經如此形容胡撇仔戲：「充 1 滿自由精神的劇種，他認為胡撇仔戲：沒有具體的歷史朝代為背景，可以張飛打岳飛 (…)」 部份評 論擔憂：過度美化這種不得已的適應，有可能導致一種刻板印象：將本土文化本質化為一種不足高 2 級或無法高級化的文化。比如文中所提及的林鶴宜：「那是台灣文化畸形兒，而不是母親。」 作者 本身也有類似看法：「(王榮裕)這樣的論述，將胡撇仔戲的殖民劇種特質詮釋為台灣文化本質的一 3 部分」 然而，相對於殖民結構裡較可察知的壓迫，抵抗往往是隱晦些的。胡撇仔戲的「無朝無代」、「張 飛打岳飛」、「黑白撇撇啦」等手法，有沒有可能是一種隱晦抵抗的路途呢? 無論戰前或是戰後，殖民者對台灣社會所強植的史觀，在形塑一種文化階序的同時，也必會讓被宰 制者與其土地產生隔閡，後者所建立的歷史意識通常是斷裂的、甚至是衝突的。「張飛打岳飛」的 荒謬可笑不只是存在於胡撇仔戲內，其實就是受宰制者們的日常生活，王榮裕將「張飛打岳飛」搬 上舞台，或許是對於現實的反映與反諷。 就算胡撇仔戲「無朝無代」的亂湊風格可能是一種隱晦抵抗，作者關於「本土文化被本質化為低俗 文化」的提醒還是重要的，只是，討論如何避免這種刻板印象的強化，不只需檢視金枝演社的文化 元素應用（比如有無將之高級化），還必需將討論層次提高至文化政策的殖民性格。 我們必須承認，戒嚴時期官方透過國家機制及其認可的民間活動(教育、媒體、文化運動…)，以數十 年的經營，斷絕了本土文化精緻化的機會，使統治階級及其文人獨掌了高級品味的詮釋權，甚至被 宰制者也大多內化前者所偏好的品味。於是，儘管今日我們努力採用所謂的本土文化元素，但除了 已被刻板印象化的台客、檳榔西施、阿嬤花布、三太子等草根庶民意象外，其實其它可能性是不大 的。 面對這些元素，統治階級及其文人是無所介意的，因為這不僅動搖不了當年的文化階序，甚至他們 所處的優位是必須靠相對者的存在來襯托的。 我們必須體諒金枝演社的選擇不多，並且，目前仍只能在「底層」階級文化裏找創作靈感的狀況， 更是感受到殖民框架的創作者所共同面對的難題，不只在劇場界，藝文場域裏試圖走此路線的創作 者，都必然走上如同王榮裕的創作路徑。

但是，這並不代表有志於本土化運動的行動者該被上述框架所困住，而去接受「本土文化=無法高 級化」的刻板印象；如何讓既存文化階序內產生上下流動才是根本之道，這是個漫長而浩大的文化 工程；現下所見到藝文創作者對於所謂的「底層」文化元素之偏好，都是刺激演變的策略性行動； 而且，這個工程也不單是藝術創作者一方的任務，同陣營的其他行動者都該一起投入，比如文化評 論人、劇場史工作者、藝術行政人員等，高級化工程不只要等待創作天才出現，也得靠論述與詮釋 等等之加持。 關於高級化本土文化意象，金枝演社即使有被批評為強化刻板印象的疑慮，但該團已成功將所謂的 「底層」本土元素連結上了「精英」的劇場界，這是他們應被肯定的階段性成就。

1. 黃叔屏,「台客文化的神話學演練」, 2015, p. 6 2. Ibid., p.6 3. Ibid., p.8

論二十世紀台灣視覺藝術 的文化認同 The Cultural Identity of Taiwanese Visual Arts in the 20th century

蔡潔妮 / 法國社會科學高等研究院文化社會學博士生 Jye-ni TSAY / PhD Candidate in Cultural Sociology, EHESS, FR

評論 Commentary： 吳祥賓 / 法國巴黎第八大學當代藝術與新媒體碩士生 Hsiang-Pin WU / Master in Plastic arts et new medias, Paris 8, FR

蔡潔妮╱法國社會科學高等研究院文化社會學博士生

論二十世紀台灣視覺藝術的文化認同 由於台灣在二十世紀經歷了少見的連續殖民，我們很難在當代世界的國族認同研 究案例裏，找到與台灣相同複雜的情形，這使得台灣此方面的研究，很有潛力可 以豐富現有國族主義與國族認同的論述與研究。 我們認為，國家不只建立了政治與經濟的清晰邊界，同時也經由義務教育、集中 式大眾傳媒、社會與政治制度的反映等等，建立了文化邊界。在此邊境內的文化 表達，會趨向一種在國家向度下的同質化，而區隔出不同國家的美感表現。在視 覺創作的表現上，經常也可見存在著一種與文化地理有關的集體美感，其形成過 程不僅與該地域傳統有關，也與上述以國家之力所建構的政治、經濟、文化邊界 有關。即使，在表現手法「全球同質性」相對高的當代藝術場域裏，吾人依舊可 以辨識出不同文化圈、不同國家作品在主題選擇及表現風格上的差異。 以此角度來觀察台灣視覺藝術創作表現，卻會有一弔詭的發現：遠離國家或是地 方特質才是台灣視覺藝術所欲外顯的「集體特質」。這個現象的成因是什麼？基 於上述所言國族向度之文化疆界的存在，本研究嘗試以島上國族認同衝突的分析 來切入此問題。 有別於主流的台灣認同研究：迴避連續殖民之歷史經驗，並且以言說（文學、政 治演說、認同民調…）作為研究文本，本研究不僅正視該經驗，並且是以視覺表 現作為觀察對象；該場域較為曲折、靈巧與隱晦的表現形式，將有助於補足之前 認同研究較難觸及的隱晦文本。 連續殖民 歷史上的台灣是個移民社會，其上所堆疊的，除了有不同部落的原住民文化，還 有不同殖民者所帶來的文化：荷蘭、日本、中國文化…。然而在這百年來，台灣 在經歷了兩個殖民體制之後：在日本殖民晚期的日本化，以及戰後的去日本化、 中國化之後，島上的文化多樣性顯得很侷限。 台灣人的解殖運動史，首先從對抗日本總督府開始，接著是對抗國民黨政權。這 些解殖運動可以作以下分類觀察：在政治層面上，解殖相關理念之倡議協助了民 主化的進程；在文化層面上，則觸發了本土化運動的接續產生；特別是在解嚴之

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後，台灣從專制與表面上單一認同社會，逐漸演進到民主並且多元認同社會，本 土化運動如雨後春筍，對既有的殖民者文化霸權產生挑戰，台灣社會兩個國族認 同的角力也漸漸在許多文化領域裏檯面化。在此貫穿數十年的解殖運動裏，儘管 碰上的兩個殖民體制在政治上都是嚴峻的，但在文化領域裡，二者對於台灣性與 台灣文化的態度卻有很大的差別，特別是在視覺藝術領域裏。 跟同時期世界上其他地方的殖民統治一樣，日本殖民不僅展開了台灣社會的現代 化，將現代意義的國家認同概念帶給在地精英階級，也團結了島上各個被壓迫的 在地族群，讓「台灣人」這樣的集體認同因殖民而誕生。 在視覺藝術場域裏，日殖之前台灣在地士紳階級所持的品味是遵循著傳統中國畫 的創作方式：臨摹大師的經典作品並進行重組與微調，而不是對身邊景物進行寫 生。日殖後，經由移居台灣的日本藝術家之介紹與訓練，台灣出現第一代的西畫 家（artistes taïwanais occidentalisés，主要是日本化的印象派風格），很快地， 此場域由官辦美展所建構的品味所支配，原有的中國畫臨摹創作被邊緣化。 受益於西方美術技巧的引進，第一代台灣西畫家得以應用印象派手法，投入在地 風景的寫生創作。因著寫生，這些台灣繪畫表現出所謂的「南國之美」：畫面傳 遞一種亞熱帶溫度及島嶼特色的美感，明顯異於日本同儕作品。 如同印象派強調寫生，日本人引介到台灣的東洋畫（日本畫）也是如此，甚至更 重視細節的觀察與描繪，二者的同時出現帶來島上創作風格技巧之劇變，留下許 多肉眼下珍貴的歷史紀錄，也洋溢著該島專屬的美感。從中我們也可了解：地域 特性展現的強弱，是與創作類型與技巧有所關聯性的。 這種美感上的台灣性甚至是被日本殖民者所支持，官辦美展甚至曾設置特殊獎項 來鼓勵這種地方特色1；對日本人而言，以西畫技巧展示地方特色具有兩個意義： 第一，新技巧的學習與熟練代表著台灣人服從於日本人所引介的現代品味，並且 現代化了台灣，也被詮釋為成功日本化了台灣；第二，帝國境內畫作所洋溢的異 國情調，滿足了日本對帝國領土擴張的虛榮感。 雖然日本殖民者對於台灣性的包容與鼓勵，有其政治需求作支撐，但藝術場域的 被殖民者也懂得借力使力：一些有意重構彼時文化階序的在地藝術家，利用日人 對台灣文化特色的偏愛，以西方技法描繪著台灣地景與生活，建立起「現代化（西 化）-日本性-台灣性」的印象叢節，以此賦予台灣性一種進步（現代化）形象， 提昇台灣性在文化階序上的排序，以相對於殘存的中國性。

HSIEH Li-fa, L’histoire du mouvement des beaux-arts taïwanais pendant l’occupation japonaise, Taipei, Éditions Artiste, 1992, p. 188-189.

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二戰結束後，蔣介石政權代表盟軍接收台灣，1949 年蔣政權流亡至台，這個已 經失去母國的殖民政權，不同於日本殖民者寬容面對台灣文化，而是一貫地予以 打壓2；因為仇日、因為要與中共爭奪中國正統，此政權積極在台灣進行同化運 動：一方面要去日本化、一方面要進行中國化，意圖「生產」出大量「合乎標準」 的中國人／中國文化。 即使已經有不少研究證明國民黨在入台後進行著具有部族（ethnique）特色的外 來者統治，並努力在台灣社會進行同化工程，但這個政權卻鮮少被直接定義為殖 民政權。這種將戰後外來殖民統治自然化的歷史認識，將讓我們無法客觀地看待 兩個殖民政權所產生的統治效應。 現代化的「國畫」：中國抽象畫 在日本時代時，台灣藝壇已建立「中國文化＝落伍」的印象，但在 1950/1960 年代，一些戰後初期移居台灣的中國裔藝術家，展開一種結合了中國性與西方性 的創作：所謂的中國畫現代化，並順利取得美學品味上的優位，相對地，東洋畫 被邊緣化，印象派失去了現代化代言者的角色。其成功不僅憑借著連結起西方抽 象表現主義風格與中國水墨／書法形式3：比如強調潑墨技巧、乾擦效果與西方 抽象繪畫技法上的相似處，同時也大大得力於當時該部族在媒體與文化界的優 勢。 這些中裔藝術家所建立起的中國性與西方性的印象連結，其操作方式雷同於日本 時代殖民者與被殖民者所合作的「現代化（西化）-日本性-台灣性」之印象叢節， 都是希望藉由連結西方性的進步形象，高級化自身文化特質。不同的是，對於中 裔藝術家而言，這個印象叢節建構只是策略性的：用以重整戰後的文化階序。西 方性與中國性的連結之建構，向來都只出現在關於技法的討論上，而非涉及創作 觀念；這立場無異於「中學為體，西學為用」的中國國族主義思維：西方形式或 技法的借用，有改變文化階序的策略因素；但在觀念層次上，「現代化」的中國 畫仍得從中國思想來詮釋，否則就有喪失文化主體性之險。此原則左右了那一代 中裔藝術家在談論其創作的方式。 1970 年代的「本土化」運動

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HO Kang-mei et MALLET Pierre, LEE Teng-hui et la « révolution tranquille » de Taïwan, Éditions L’Harmattan, 2005, p.13.

3 CHU Fong-ling, « L’essai sur la construction des dissertations de YU Kuang-chung, l’argument sur l’auto réveil de l'Orient et la peinture chinoise moderne », Journal Tunghai de littérature chinoise, n°21, 2009, p. 257.

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1970 年代，國民黨政權面臨一連串外交挫敗，特別是失去美國支持此一「外部 合法性」4。為了避免此挫敗之危害擴大，進而影響其「內部」的統治合法性， 國民黨於是操弄島內的反西方的情緒，鼓勵島上人民追求「自己」民族之文化價 值，以對抗西方帝國的文化霸權與殖民。因此，1970 年代台灣的各文化場域都 出現彰顯國族特色的文化運動，不過咎於殖民體制，召喚出的是中國國族主義運 動，其相關的文藝創作，也幾乎盡是強調中國文化元素。 但是，這場運動卻意外讓台灣在地人發現「自身」的傳統文化並不同於這些外來 者，認同溯源的不合拍，最後以一場鄉土文學的論戰(1977-1978)作為高潮。在 此之前，視覺藝術場域已受到召喚：行動者回歸土地，從藝術家的出身處去尋找 創作元素，以寫實風格畫著農村的日常生活、景色，以及傳統宗教活動，這些創 作被稱為「鄉土美術」。 視覺藝術場域的「本土化」運動也獲得一些中裔藝術評論者的投入，他們倡議起 建構「自身國族」美感的「文化造型運動」，並認為可從鄉土文化元素的採集著 手。他們同時積極尋找並宣揚鄉土藝術的象徵意象，著名的素人藝術家洪通、雕 刻家朱銘都在此波「本土化」熱潮被挖掘。但「文化造型運動」的旗手對於本土 文化的欣賞，是源於上述「反西方」中國國族主義情緒，他們號召台灣鄉土文化 加入其陣營，是為了聯手對抗西方文化霸權5。 很明顯地，在視覺藝術場域裏，中國認同陣營尋求合作及所欲打擊的對象，從 1950/1960 年代到 1970 年代，因政治情勢的劇變，產生了敵友關係的大對調： 之前所打壓的成為企圖結盟的對象、之前所欲連結的則變為對抗的標靶。這也說 明了：受益於殖民體制而掌握了文化霸權，中國認同陣營得以因政治情勢變化， 任意選擇策略聯盟對象來打擊另一者。 此外，也因著此文化霸權所鞏固的文化階序，中國認同陣營得以放心地進行與台 灣性的結盟：國民黨所代言的中國文化依舊能佔據著最上層、最菁英的階序，台 灣本土文化僅是填充其下的部份，如同 1950/1960 年代推動「中國畫現代化」 的藝術家以「西學為用」看待抽象表現主義：台灣性的應用如同西方性一樣，均 以不侵犯中國認同主體為前提。 儘管鄉土美術風格、文化造型運動的成行，或如洪通與朱銘等藝術家的聲名鵠 起，均是中國國族主義情緒動員下的意外結果，但這個意外確實提供了台灣視覺 WAKABAYASHI Masahiro, Taïwan : un pays divisé et sa démocratie, Taipei, Éditions Yue dan, 1994, p.38-40.

5 LIAO Hsin-tien, « L’esthétique et la différence : JU Ming et le terroisme dans les années 1970 », in « La conférence scientifique internationale sur JU Ming : JU Ming dans la perspective culturelle contemporaine », Taipei, Comité des Affaires Culturelles, Yuan Administratif, 2005, p.38 4

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藝術史上有本土化進展的可能。 美術本土化論戰 1987 年解嚴帶來台灣社會脫身換骨的契機，對於長期受制於政治禁忌的藝術創 作自然也是，此時出現大量的政治介入類型的創作。蔣經國在宣佈解嚴隔年過 世，彼時的副總統李登輝意外接手「中華民國」政權，成為台灣史上第一位全島 性的在地領導人。 李登輝在其 12 年的統治裏，漸漸轉向鼓勵本土文化，其本土化路線是：一方面 維護著中華民國體制的正當性，一方面要回應社會中逐漸高升的（台灣）土地認 同；儘管這已是妥協路線，依舊激發了原來具部族特色統治菁英及中國國族認同 陣營的危機感，最終導致國民黨的分裂，另創立立場更加鮮明的中國國族主義政 黨。 本土化所爆發的認同攻防，不僅出現在政壇上，也出現在 1990 年代初期的視覺 藝術場域：一場以台灣美術本土化為主題的論戰，吸引了許多崛起中的藝評家與 藝術家的參與。論戰雖只約二年，但效應卻至少有十年，在 1990 年代至二十一 世紀初的台灣視覺藝術場域裏，掌握品味詮釋權的菁英們，大多曾出現在這場筆 仗名單中，不論是所謂的「本土派」或「反本土派」陣營6。 儘管，彼時台灣社會的認同衝突來自於台灣中心與中國中心之對立，但在這場論 戰中，本土派陣營論述對抗的標的卻是西方霸權，該陣營認為：台灣文藝創作之 所以抽離自身土地與社會脈絡、台灣視覺藝術創作之所以缺乏歷史感與充滿虛無 感7，禍首其實是從日本時代起就存在於台灣文化場域的西方文化霸權。如同相 距十多年（1970 年代）的文化造型運動所訴求的，1990 年代的美術本土派在號 召回歸自己土地的脈絡之餘，是啟用「反西方」的國族主義情緒作為動力，不同 於前輩（1970 年代）的是：他們不再高舉中國國族主義旗幟，而是打著「本土 化」名號。至於其無意挑戰中華民國認同與中國文化霸權之立場，正好符合上述 李登輝所安排的：妥協二種認同的「本土化」路線。 這也是為什麼：在此論戰之中，不同創作品所顯現出的認同疆域之巨大差異，本 土派彼時是無力辨識的，不論是彰顯在地的台灣性或不在地的中國性，他們一概 以回歸自身文化脈絡來讚賞之。檢視 1970 與 1990 兩個時代視覺藝術圈的本土

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YE Yu-Jing, La conscience taïwanaise dans les beaux-arts taïwanais, Taipei, Hsiung Shih livres, 1994, p. 20-22 7 CHEN Yu-yen, Étude sur la conscience critique de l’indigénisation des beaux-arts taïwanais：1990-1999, mémoire de master à l’Université Nationale Chang Kung, Tainan, 2000, p. 100-101 5

化倡議者之立場，其認同疆界並無明顯演變，可見 1990 年代的美術本土派對當 時圈外風起雲湧的兩造國族主義認同衝突是認識不足的。 相反地，反本土派陣營不僅認識並且直接回應了該衝突，他們主觀上判斷論戰對 手正在進行去中國化運動，而責之排外、妨礙現代化進程、有礙國際化，以此欲 裂解本土化的正當性8。反本土派陣營儘管高舉的旗幟是寫著西化派，但其所護 衛的正是主宰中卻略受威脅的中國國族認同。 本土派的立場雖然模糊，但其論戰中的表現絕非反本土派所想像的：一種去中國 化的台灣國族主義運動。並且，鑑於後者在認同立場與 1970 年代「中國國族認 同架構下的本土化運動」近似，我們甚至可以說這場筆戰對立的兩造之認同彊界 差距其實不大，差異僅是在於行動策略：一方認為該聯合中國性與台灣性來對抗 西方，一方認為該維持中國性與西方性的合作來壓抑台灣性。亦即，1950/1960 年代及 1970 年代的美術運動在 1990 年代同場重演並彼此衝突著。 小結 爬梳自日本時代起到李登輝執政期間在視覺藝術領域裏的作品、藝評、運動與論 戰，本研究試圖整理出在各種不同的殖民手法與政治局勢之下，視覺藝術場域裏 掌握品味詮釋權力的精英，是如何操作西方性、中國性、台灣性三者之關係。 首先，一個遠離在地性特質的集體創作表現並非是一個貫穿二十世紀的恒常現 象，整個日殖時代即是一個明顯的反例，戰後的數波本土化運動也是某程度的反 例。然而，解嚴後的美術本土化倡議，經由一場對立雙方均老調重彈的論戰，拉 回為李登輝所創造的妥協路線，而成功與外界台灣社會認同轉型運動脫勾。 再者，本文的分析也顯示，掌握該場域之品味詮釋權力的精英並非毫無欣賞在地 性的可能，在台灣性、中國性、西方性之間不斷變化的合縱連橫關係，「中學為 體、台學為用」之際是台灣性得以取得舞台的少許時機；但就算此機會是存在的， 上述精英們也能確保了台灣性在視覺藝術領域無法取得主體地位。 最後，隨殖民體制在解嚴後的逐漸褪色，中國認同的市場嚴重流失，1990 年代 論戰確定原有的中國認同者只能退至以西化派旗幟作攻擊號召，無法再直接訴求 中國國族主義，從中，我們似乎也看到了台灣性、中國性、與西方性之間新關係 的可能。

8

CHEN Jui-wen, « Des pensées fragmentaires suscitées par la culture taïwanaise et indigène » Mensuel d’Art Hsiung Shih, n°245, 1991, p. 117.

6

參考書目 ANDERSON Benedict, Imagined Communities: Reflections on the Origin and Spread of Nationalism, London, Verso, 1991.

BOURDIEU Pierre, La distinction : critique sociale du jugement, Paris, Éditions de Minuit, 1979.

BOURDIEU Pierre et PASSERON Jean-Claude, La Reproduction. Éléments pour une théorie du système d'enseignement, Paris, Les Éditions de Minuit, 1970 CHEN Jui-wen, « Des pensées fragmentaires suscitées par la culture taïwanaise et indigène » Mensuel d’Art Hsiung Shih, n°245, 1991 CHEN Yu-yen, Étude sur la conscience critique de l’indigénisation des beaux-arts taïwanais：1990-1999, mémoire de master à l’Université Nationale Chang Kung, Tainan CHU Fong-ling, « L’essai sur la construction des dissertations de YU Kuang-chung, l’argument sur l’auto réveil de l'Orient et la peinture chinoise moderne », Journal Tunghai de littérature chinoise, n°21, 2009 GELLNER Ernest, Nations and Nationalism, Itchaca, Cornell University Press, 1983.

GELLNER Ernest, Nationalism, New York, New York University Press, 1997.

HO Kang-mei et MALLET Pierre, LEE Teng-hui et la « révolution tranquille » de Taïwan, Éditions L’Harmattan, 2005 HSIAU A-Qin, Reconstruire Taïwan: la politique culturelle du nationalisme contemporain, Taipei, Éditions Linking, 2012.

HSIEH Li-fa, L’histoire du mouvement des beaux-arts taïwanais pendant l’occupation japonaise, Taipei, Éditions Artiste, 1992, LIAO Hsin-tien, « L’esthétique et la différence : JU Ming et le terroisme dans 7

les années 1970 », in « La conférence scientifique internationale sur JU Ming : JU Ming dans la perspective culturelle contemporaine », Taipei, Comité des Affaires Culturelles, Yuan Administratif, 2005 WAKABAYASHI Masahiro, Taïwan : un pays divisé et sa démocratie, Taipei, Éditions Yue dan, 1994 YE Yu-Jing, La conscience taïwanaise dans les beaux-arts taïwanais, Taipei, Hsiung Shih livres, 1994

8

短評《論二十世紀台灣視覺藝術的文化認同》 吳祥賓／法國巴黎第八大學當代藝術與 新媒體碩士生

就《論二十世紀台灣視覺藝術的文化認同》的整體架構來看，首先作者以傳統台灣藝術史書寫的框 架將二十世紀台灣美術發展分割為四個斷代：日治及二戰後、1950與1960年代、1970年代、以及 1990年代。緊接著在四個斷代裡，很清晰扼要地提點出「台灣性」在不同殖民體制與不同國族認同 形塑之政治力壓迫下的演變痕跡。直至文章指出，今日「遠離國家與在地」弔詭地成為「台灣視覺 藝術的集體特質」，以及台灣性在「台學為用」之下必須有所妥協才能獲得舞台的現象時，作者亟 欲為台灣性平反的強烈意圖躍然紙上。並在剖析所謂「文化邊界」與「國族認同」之間的互動關係 的敘述當中，試圖更進一步地從過去一個世紀的文化發展脈絡裡，探尋並驗證由在地認同所形塑出 的台灣性，於國際上成為辨識度高的「集體美感」的可能。 因此，文中雖沿用著傳統台灣藝術史的斷代框架，但著重「台灣性」之演變痕跡與未來發展方向的 論述手法，卻能很明顯地與一般以風格派流之變遷為敘事主體的美術史書寫區分開來；而對在地文 化的強調，看似承續著上個世紀末台灣文化主體性論戰中未竟的戰火，然而，作者於各文化主體間 在台灣政治脈動中所產生的權力關係之分析，以及其積極深入國族認同建構的論證方式，得以展現 出文章本身有別於以往論述的特殊性與位置。 從視覺文化的表現去觀察國族認同的衝突及文化脈絡的形成，並嘗試在國族認同的重新定位之後， 探求視覺圖像中以國家為單位的集體美感的建構的可能。關於此一論述方向的嘗試，或許可以進一 步藉由一些提問，從文化與政治之間的關係，乃至於台灣性或主體性的內涵之觀察，旁敲側擊，以 彰顯論點本身所蘊藏的廣度和深度與開展的潛能： 首先，若僅僅去說明在教育制度、政策及政治操作下所形成的文化面貌，也就是透過政治－文化的 因果關係去勾勒文化邊界的情況之下，是否足以詮釋並分析文化本身所具有的潛能及能動性？而國 族認同的塑造、品位的形成以及文化階序的重組固然有著將文化置回政治場域去進行分析和討論的 必要性，但在不同文化交流的過程當中，邊界的流動、消解與重構是否將使政治無可避免地面臨描 繪文化邊界的極限呢？ 再者，當一文化主體在殖民的環境中面臨壓迫、扭曲與發展時，我們能夠如何觀察、描繪文化本身 在政治邊界上所衍生出的逃逸的路徑和方式呢？也就是說，談到文化本身的潛能以及文化主體的流 變，並且在釐清台灣性被壓迫的狀態、及更進一步地認識歷史中台灣性扭曲的容貌之後，台灣性又 如何可能？它只能是一個具有很明確國族認同及文化主體的「集體」視覺圖像嗎？再進一步問，談 到台灣性的可能性，台灣能夠做為「在地」的全稱嗎？若以歷史學者杜正勝的「同心圓」說來看的 話，在地可以是龜山島、蘆洲、高雄港或台北市，那單單引用台灣性的話，是足夠的嗎？我們要又 如何去說明所謂台灣性本身的多元與豐富性呢？而台灣性是否還有討論與批判的空間？ 如果今日一個國家或政治體無可避免地成為宰制個人的角色，又如果我們將聚焦在具有高度辨識性 的集體美感，而集體美感與國族認同的形塑又是如此地無法分割的情況下，那台灣性作為在地的文 化主體在對抗「中國性」與「西方性」的同時，所召喚的是否可能是另一種所謂「合乎標準的台灣 人」？ 最後，如果教育作為一認知框架、一個注定不斷被消解並被重新定義的框架與邊界，那在文化邊界 重複被消弭與重構時，具有在地性質的台灣性難道不也是具有流變的特質？而這特質難道不是正因 為中國性、日本性，或現代性在文化場域中也具有流變的特質，因此我們可以想像：即便在各文化

主體間權力不對等的關係中，在意識到互為主體的狀態下，若跳脫所謂「體」與「用」之別，著重 在主體位置的轉移與流變，那麼中國性裡能不能夠可以有台灣性？就如同西方性或日本性裡可以有 台灣性一樣，在地特質吸收並存有著各種文化特色，如此是否能作為所謂「文化妥協路線成功與台 灣社會認同轉型脫鉤」此一問題的解套方法？也就是說若妥協作為一種政治語彙，在文化場域中妥 協是否應轉譯為文化主體之間的混雜（hybridation）與交融呢？ 假設集體美感能夠自國族認同的建構與確立中萃取或歸納出一個面貌，並對應著如威尼斯雙年展各 國家館的界分思維，那麼上述提問聚焦在文化潛能及文化主體的能動性的意義在於：在凝視被政治 治理之下的文化生態時，嘗試著從此一立論中提出另一種「隱晦文本」存在的可能。亦即是，個人 主體與群眾、乃至一社會／國家整體間之關係的生產與連結的形成。於是，從集體文化主體的建構 過程中加入個人主體性的參照點，或許不僅能夠在殖民的情境下找出藝術創作中更積極、靈活的內 涵，同時也能彰顯出集體多元且流變的特性。

沒準備好的談判： 論1945年中華民國準備工作與 《中蘇友好同盟條約》的簽訂 Not Ready for Negotiations: Problems of Chinese Preparations and Sino-Soviet Treaty in 1945

黃家廉／俄羅斯莫斯科大學歷史系廿至廿一世紀俄羅斯史組博士生 Chia-Lien HUANG / PhD Student in Russian History of the 20th and 21st Centuries, Moscow State University, RU

評論 Commentary： 魏聰洲／法國社會科學高等研究院歷史所博士生 Tsong-Jou WEI／ PhD Candidate in History, EHESS

沒準備好的談判： 論 1945 年中華民國準備工作與《中蘇友好同盟條約》的簽訂 Not ready for negotiations: Problems of Chinese Preparations and Sino-Soviet Treaty in 1945

黃家廉1 HUANG CHIA-LIEN

Lack preparations for negotiations with Soviet Union (USSR) is the one of the main factors caused lots of controversies over Sino-Soviet Treaty of Friendship and Alliance for the Republic of China (ROC), but few people took notice of it before.

Chiang Kai-shek and his men did understand neither what kind of exact benefits they wanted to gain from Soviet Union nor why Joseph Stalin desired to make his Yalta Agreement come true in Far East. Hence, there was little cooperation between two countries after signing the treaty of Friendship and Alliance. The essay is going to prove the causal relations between preparations and result of negotiations in 1945 by new released documents from Russia and Taiwan. 關件字: 中蘇關係、雅爾達會議、中蘇友好同盟條約 Sino-Soviet Relations, Yalta Conference, Sino-Soviet Treaty of Friendship and Alliance 一、前言 1945 年簽訂的《中蘇友好同盟條約》(Sino-Soviet Treaty of Friendship and Alliance)在中華民國與蘇聯關係 史上佔有重要的地位。中華民國自 1912 年成立 以來，不論是北京政府時期還是南京政府時期，對蘇關係是衝突多於和平。兩國 能排除萬難，簽訂同盟條約有其劃時代的意義，但雙方並未因此發展真正的合作 與友好，反而在短短四年內轉變成「反共抗俄」的敵對關係。 如此劇烈的變化促使不少學者投入《中蘇友好同盟條約》的研究，形成三種

俄羅斯國立莫斯科大學歷史系廿至廿一世紀俄羅斯史組博士生。(Russian History of the 20th and 21st Centuries, Faculty of History, Moscow State University) 專攻俄羅斯外交史、蘇聯與中華民國關 係史。 1 1

主要不同的觀點，以解釋為何當時中蘇簽訂同盟條約。第一、受美、英盟國在雅 爾達會議(Yalta Conference)的背叛，私相授受犧牲中國的權益給蘇聯，中華民國 為降低國家利益的損失而不得不與蘇聯妥協、簽訂此條約。在談判的過程中，中 華民國是處於被動與受害的地位。2 第二、1945 年夏季以前，中華民國雖然貴為準戰勝國，但處境並不樂觀， 除華中、華南與新疆部分地區由中央政府直接治理外，其他皆非其能統轄，特別 是東北屬滿洲國，華北、華中等不少地區屬中國共產黨掌控，中華民國政府若欲 戰後發展經濟與社會的建設，就必先統一內部各個勢力，達成此目標需獲得蘇聯 的支持。只要蘇聯支持中華民國政府，就能迫使中共放棄武裝，接受體制內的整 合，並且穩固中國在與蘇聯接壤地區的治理，所以與蘇聯簽訂同盟條約，承認蘇 聯在雅爾達協定中的條件，中華民國有其主動性與受益的部分。3 第三、美蘇遠東勢力的發展影響中蘇訂立同盟條約。1945 年初美國迫切希 望蘇聯投入太平洋戰爭，以減少美軍對日作戰的犧牲，所以在雅爾達會議上同意 蘇聯對遠東利益的條件，並且會後與蘇聯合作，促使中華民國上談判桌。美國與 蘇聯是戰後世界唯二的強國，中華民國若欲以五強之姿參與國際事務，必定需要 美、蘇兩國的支持，雖然被動與蘇聯簽訂同盟條約，但對自身在國內外事務運作 上亦有好處。4 上述三種觀點雖然解釋為何中華民國與蘇聯簽訂《中蘇友好同盟條約》，但 卻沒有解釋為何中華民國與蘇聯談判時充滿歧異，簽訂的《中蘇友好同盟條約》 也無法真正帶給雙方實質的合作關係。若中華民國欲真正獲得蘇聯支持，以解決 中國共產黨等內政問題為優先，那應該在談判中降低與蘇聯的衝突，進行與蘇聯 多方合作的討論，但此情形並未出現。若中華民國受美國影響旨在促使蘇聯對日 宣戰、盡早結束戰爭，那麼在談判中應對兩國對日作戰需要進行密切的討論，但 此情形亦未出現。若中華民國欲捍衛國家主權、領土與行政完整為最高目標，那 應該在不違背目標前提，積極尋求其他合作的可能，但此情形並未出現。 筆者以為問題出在談判準備工作的不足：中方沒有清楚的談判目標，也就沒 有明確的談判內容與策略；對蘇聯談判目的與動機的了解過少，當蘇聯態度強硬 超過預期，中方談判團遂進退失據。本文欲運用俄羅斯與臺灣的政府檔案探討上 述問題，期能究悉當時中華民國外交的一個面向。 二、中華民國對蘇聯談判目的之複雜 2

以中華民國學者為代表，如:吳相湘《俄帝侵略中國史》 ，臺北:國立編譯館，1976。陳立文， 《宋 子文與戰時外交》 ，臺北:國史館，1991。 《從東北黨務發展看接收》 ，臺北：東北文獻雜誌社，2000。 高純淑，〈戰後中國政府接收東北之經緯〉 ，臺北:文化大學歷史研究所博士論文，1993 年 6。 3 以中華人民共和國學者為主，如: 薛銜天， 《中蘇關係史（1945-1949） 》 ，四川:四川人民出版社， 2003。薛銜天、金東吉， 《民國時期中蘇關係史》 ，北京:中共黨史出版社，2009。楊奎松， 《國民 黨的聯共與反共》 ，北京:社會科學文獻出版社，2008。 4 Westad Odd Arne, Cold war and revolution: Soviet-American rivalry and the origins of the Chinese civil War, 1944-1946, New York: Columbia University Press, 1993.沈志華， 《冷戰的起源:戰後蘇聯對 外政策及其轉變》 ，北京:九州出版社，2013。 2

1945 年 8 月 14 日中華民國政府與蘇聯政府在莫斯科簽訂《中蘇友好同盟條 約》 ，這是雙方自 6 月 30 日起歷時一個半月所達成的成果。欲要檢視條約的內容 是否符合兩國的利益，就得先了解雙方為何會走上談判桌，從蘇、美、中三國的 視角切入。1945 年 2 月 8 日蘇、美、英三國首領史達林(Joseph Stalin)、羅斯福 (Franklin D. Roosevelt)、邱吉爾(Winston L. S. Churchill)在雅爾達會議(Yalta Conference)達成《蘇聯對日作戰協定》(Agreement Regarding Entry of the Soviet Union Into the War Against Japan)5，也就是華人簡稱的《雅爾達密約》 ，係促成中 華民國政府不得不與蘇聯政府談判的主因。的確，《蘇聯對日作戰協定》表現蘇 聯與美國對當時遠東問題達成一致的政策，但因內容涉及中國權利，所以「希望」 中華民國政府能夠同意其內容，中蘇兩國能簽訂某種白紙黑字的合約，確定未來 《蘇聯對日作戰協定》能付諸實現，如此可以滿足蘇、美兩國的利益。 對羅斯福而言，簽訂《蘇聯對日作戰協定》的目的，係要求蘇聯在德國投降 及歐洲戰爭結束後三個月內，加入盟國、共同出兵對日作戰，以減少美軍在太平 洋戰爭的傷亡。依當時美國戰爭部的評估，日本的戰敗已成必然，只是時間的早 晚，重點是要付出多少美軍的生命而達成。若蘇軍能投入戰場，可預期會加速戰 爭的結束，所以羅斯福同意史達林提出的參戰條件，並且支持中、蘇坐上談判桌 的主要因素是「加速日本無條件投降」。對史達林而言，簽訂《蘇聯對日作戰協 定》是實現戰後遠東蘇聯安全的重要一步。早在 1944 年 1 月 11 日蘇聯副外交人 委 員 和 停 戰 問 題 委 員 會 成 員 邁 斯 基 (Ivan Maisky) 即 向 莫 洛 托 夫 (Vyacheslav Mikhailovich)遞交一份報告，關於「未來和平的最佳原則」6，內容著重如何保障 蘇聯安全和建立蘇聯勢力範圍的問題。邁斯基認為，蘇聯應該設法在戰後建立一 種局面，使蘇聯在歐洲與亞洲至少能獲得三十年國家安全的保障。7依據《蘇聯 對日作戰協定》的內容，沿著蘇聯國境劃出一道安全的緩衝區域，從千島群島 (Kuril Islands)、庫頁島(Sakhalin)到中國東北的旅順、大連，以及中東鐵路，然後 使外蒙古(Mongolia)脫離中國、依附蘇聯。中國東北位居緩衝區的中樞，若能掌 控其港口與鐵路，將提供戰後國家安全與經濟建設重要的幫助。「確保戰後國家 安全和發展」是蘇聯政府欲與中華民國政府坐上談判桌的主要因素。 中華民國政府對與蘇聯談判一事的態度是左右為難。1944 年底蔣中正已經 5

三強領袖—蘇聯、美國、英國—獲致協議，在德國投降及歐洲戰事結束後的兩個月或三個月內，在下列 條件下，蘇聯應即參加盟國方面對日作戰：1.外蒙古(Mongolia)現狀將予維持。2.因日本 1904 年之侵攻而被 攫奪之俄國原享權益，將予恢復，其中包括：a.庫頁島南部(South Sakhalin)及鄰近島嶼將交還蘇聯。b.大連 商港應列為國際港，蘇聯在該海港內之特別權益，將予保障。蘇聯並得恢復租借旅順港為其海軍基地。c. 中東鐵路以及通往大連之南滿鐵路，將由中國及蘇聯合組之機構共同經管。三國同意，蘇聯之特別權益應 予保障，中國繼續保持在東北之完整主權。3 千島群島(Kuril Islands)將割交蘇聯。三國並確認，對上列外蒙 古、海港及鐵路之各項協議，須徵求蔣中正委員長之同意。羅斯福總統在史達林元帥之建議下，將設法獲 取蔣委員長之同意。三國領袖獲致協議，在擊潰日本之後，蘇聯之上列要求將毫無疑義地得致達成。蘇聯 表示樂意與中國國民政府簽訂中蘇友好協定，俾得以武力協助中國自日本之壓迫下求解放。

俄羅斯聯邦總統檔案館，全宗 3，目錄 63，案卷 237，頁 52-93。引自張盛發， 《史達林與冷戰 (1945-1953)》 ，(臺北:淑馨出版，2000 年)，65-68。 6

7

為達目的，第一、需設法在不與日本開戰的情況下，得到南庫頁島與千島群島。第二、鞏固與中國友好 關係，但促使中國成為真正強國的力度，應該取決戰後中國掌權者的屬於何種性質。

3

有意派時任外交部長宋子文赴莫斯科與史達林詳商解決兩國之間的矛盾，因為自 1944 年 3 月起雙方已經為新疆問題起了很大的衝突，中華民國指責蘇聯協助蒙 古軍隊越界攻擊新疆剿匪的國軍8，10 月又支援新疆少數民族武裝攻擊地區行政 機關與國軍9，於 11 月 22 日在伊寧成立東突厥斯坦共和國臨時政府(East Turkestan Republic)。蔣中正為表示願與蘇聯友好的誠意，已在 1945 年 2 月向蘇聯傳達反 對在國際上成立任何反蘇陣線；處理國際問題時，可與蘇聯採取一致的行動；只 要中國共產黨接受中華民國政府的軍令，不妨礙統一，可以獲得合法的地位；另 外，在不造成美國誤會的前提下，願意與蘇聯簽訂同盟條約10。中方的提議獲得 蘇聯積極的回應11，兩國進一步討論何時在莫斯科舉行會談。中華民國如此與蘇 聯談判的意願是奠基未知《蘇聯對日作戰協定》內容的情況下，目的是為「與蘇 聯友好，解決中共與其他獨立武裝勢力問題，促使戰後中國統一」。 然而，同時間蘇、美已達成《蘇聯對日作戰協定》，美國又答應蘇聯，由蘇 聯決定告知中華民國政府的時機，蔣中正等人係經多方打聽，才悉知片段協定內 容。4 月 29 日美國駐華大使赫爾利(Partick Jay Hurley)私下透露蘇聯對日作戰的 條件12，6 月 15 日正式遞交《蘇聯對日作戰協定》與美國提出的〈中蘇協定草案 綱要〉給中華民國政府。美國杜魯門總統(Harry S. Truman)13支持雅爾達協定與中 蘇以此為基礎進行談判的態度，使得中華民國政府不得不將協定內容納入中蘇談 判的議程。蘇聯要求租借旅順、共同經營中東鐵路，以及享有大連港特殊權益的 行為，使蔣中正和其外交官員擔憂重蹈大清帝國特許俄羅斯帝國在東北特權的錯 誤；在蒙古人民共和國(Mongolian People's Republic)問題上，也認為已賦予蒙古 人高度自治權力，再談下去就是放棄「中國對外蒙古」的主權，欠缺轉圜的空間。 「反對蘇聯提案，減損《蘇聯對日作戰協定》造成中國主權、領土與行政完整的 傷害」遂反映在中華民國代表團赴莫斯科前的主要談判準備工作上。 換言之，中華民國對蘇談判的初衷是「與蘇聯友好，解決中共與其他獨立武 裝勢力問題，促使戰後中國統一」，但無意以戰後東北與蒙古的利益作為交換， 然美國堅決為「加速日本無條件投降」，支持《蘇聯對日作戰協定》與中蘇談判 的政策，使得「反對蘇聯提案，減損《蘇聯對日作戰協定》造成中國主權、領土 與行政完整的傷害」亦成為中華民國另一個主要談判目標。當魚與熊掌不能兼得 時，中華民國欲在哪個目標堅持，在哪個目標讓步，需要確立更清楚的輕重緩急 戰略，並且了解談判對手的根本需求和底限，以制訂符合實際狀況與目標的談判 〈命外交部向蘇大使潘友新抗議，俄機侵我新疆之企圖〉(民國 33 年 3 月 13 日)， 《蔣中正總統 檔案－事略稿本 56》，(臺北:國史館，2011)，459。 9 〈新疆主席朱紹良電稱，伊寧守軍彈盡糧絕，與敵對抗八十四天，欲作突圍〉(民國 34 年 1 月 29 日)， 《蔣中正總統檔案－事略稿本 59》，(臺北:國史館，2011)，569。 10 〈決定與俄交涉方針四點〉(民國 34 年 2 月 27 日)， 《蔣中正總統檔案－事略稿本 59》 ，(臺北: 國史館，2011)，762-763。 11 〈聽取蔣經國和俄人談話經過之報告〉(民國 34 年 3 月 1 日)， 《蔣中正總統檔案－事略稿本 60》 ，(臺北:國史館，2011)，4-5。 12 中央研究院近代史研究所編， 《王世杰日記(手稿本)》第五冊，(臺北:中央研究院近代史研究所， 1990)，77-78。 13 1945 年 4 月 12 日美國羅斯福總統病故，由副總統杜魯門接任總統職位。 4 8

策略。不過，中華民國政府在這方面的表現並不明確。 二、中華民國對蘇聯談判目的之模糊 (一)缺乏推動對蘇友好與合作的計畫 1945 年初蔣中正雖然主動向史達林表示願意推動戰後兩國緊密且有好的關 係，但實際上中華民國政府在抗戰時期制訂戰後中國建設的規劃，並沒有將蘇聯 納入合作對象，特別是東北地區。1940 年 9 月，中華民國政府擴大中央設計局 組織和任務，目地是研究如何利用國內外資源，在戰爭結束後盡速、有效率建設 中國。14中央設計局雖曾提出戰後收復東北的相關計畫15，但直至 1944 年 3 月 9 日，經中央設計局秘書長熊式輝16向蔣中正建議後，才設立專門組織負責戰後光 復東北的事宜。東北當時為滿洲國領土，駐紮大批日本關東軍，所以事實上其軍 事、政治和外交等皆受日本帝國控制，而日本與蘇聯在 1941 年 4 月 13 日簽訂《蘇 日中立條約》(The Soviet-Japanese Neutrality Pact)，雙方互相承認滿洲國與蒙古 人民共和國的獨立地位，以及彼此各自在這兩國的特殊地位，更重要的是蘇日不 得協助第三國與對方作戰。不論蘇聯是否最終對日本宣戰，若蘇聯對日本宣戰， 東北必定是蘇軍進攻的主要目標；若蘇聯未對日本宣戰，戰爭結束後的東北鄰近 蘇聯國境，以及蘇聯勢力下的蒙古人民共和國，東北發展勢必離不開蘇聯的影響， 然而在目前已查閱的中華民國政府檔案，沒有假設戰爭結束時蘇聯人在東北，或 是戰爭結束後、在建設東北的同時，應該與蘇聯保持什麼的互動關係。 蔣中正曾多次在公開與私人場合表達強烈與蘇聯發展戰後合作的意願。在 5 月 5 日至 5 月 21 的中國國民黨第六次全國代表大會上，向國民黨黨員強調戰後 與蘇聯的友好關係與否，對中華民國的重建成效甚為關鍵；在孫文紀念會中亦表 示中國應該一改過去「遠交近攻」的傳統外交政策，而採取「遠交睦鄰」的新政 策。17與蘇聯駐華大使彼得洛夫(Apollon A. Petrov)會談時，委託其轉達史達林中 方希望藉莫斯科談判，開誠布公地解決過去中蘇政治問題上的歧異，蔣中正還特 別指派非職業外交官的親信－宋子文、蔣經國與熊式輝等負責對蘇談判，以表示 不作「外交官話」的誠意。然而，蔣中正的友蘇表示並無具體、可以實踐的提案， 中蘇美如何聯合對日作戰亦未列為準備工作的討論事項，反倒是欲說服蘇聯放棄 「租借」旅順港，擔心蘇聯對中東鐵路、大連自由港與外蒙古的要求造成中國主 權、領土和行政獨立完整的損害卻極為明確。18 〈設計考核處組織法令〉 ，臺北:國史館 藏，《國民政府檔案》，檔號 001012071030。 1944 年 1 月 12 日，張厲生擬「東北建設設計委員會組織大綱備選委員名單」及「建設東北政 治準備工作要點」。收錄〈臺灣及東北行政概況案一〉，臺北:國史館 藏，《國民政府檔案》，檔 號 001040000020。 16 熊式輝於 1943 年 8 月 20 日接任中央設計局秘書長。 17 «Запись беседы посла СССР в Китайской Республики А.А. Петрова с Цзян Цзинго об основных тезисах выступления Чан Кайши на собрании, посвященном памяти Сунь Ятсена» (16 мая 1945 г.) Русско-китайские отношения в XX веке. Т. 4: Советско-китайские отношения в 1937-1945 г. Кн. 2: 1945г. Отв. Ред. С.Л. Тихвинский, №632, стр. 42.

18 〈蔣中正與彼得洛夫談話紀要望蘇聯能幫助中國恢復東三省主權完整〉 ，臺北:國史館 藏， 《蔣 中正總統文物檔案》 ，檔號 002020300048013。 〈蔣中正與彼得洛夫紀要中蘇友誼互助談判先決條 件〉 ，臺北:國史館 藏， 《蔣中正總統文物檔案》，檔號 002020300048021。 〈蔣中正與彼得洛夫談 話紀錄租借名稱不可再用中國賦予外蒙高度自治〉 ，臺北:國史館 藏，《蔣中正總統文物檔案》 ， 檔號 002020300048027。 5 14 15

此外，蔣中正與政府要員雖內心希望透過蘇聯解決戰後中國地方武裝勢力的 問題，如中國共產黨與東突厥斯坦共和國等，但從雅爾達會議至莫斯科談判期間 卻很少與蘇聯討論，為何其該協助中華民國政府建設戰後統一的中國?蘇聯應該 如何協助中華民國政府解決這些地方武裝問題?這是很根本的問題!蘇聯是界上 第一個共產黨建國的國家，曾大力推動各國發展共產主義革命。中國共產黨是蘇 聯一手培養出來的組織，中華民國希望蘇聯要求中共放下武裝、放棄既有的勢力 範圍，就像是要求蘇聯自廢自己在中國的力量。欲達此目的，中華民國政府就應 該提出令蘇聯滿意的誘因，使蘇聯相信就算自己削弱中國共產黨的力量，也會使 整體中國局勢符合蘇聯的利益。然而，中華民國政府不論是在準備談判，還是莫 斯科談判階段，其言行表達出《蘇聯對日作戰協定》對中國東北主權、領土和行 政完整的可能傷害，顯示中華民國政府不信任蘇聯，也不願意蘇聯在東北發展特 殊地位。 不過，若因此認為中華民國不看重「與蘇聯友好，解決中共與其他獨立武裝 勢力問題，促使戰後中國統一」的目標又有違實際表現。因為對中華民國政府而 言，最終願意同意蒙古人舉行獨立公投、放棄中國對外蒙古的主權；接受蘇聯租 借旅順軍港、恢復過去中蘇共營中東鐵路的重要原因之一，除了確立中國擁有東 北主權的《中蘇友好同盟條約》外，係中蘇另外簽訂的一份《議定書》，內容表 示蘇聯只承認中華民國政府為唯一中國合法政府，不論在精神上與物質上只協助 中華民國政府領導一個一統的中國。簡言之，中華民國在追求此目標時，存有模 糊和矛盾的情況。 (二)主客觀條件不容中華民國單一堅決捍衛國家主權 蔣中正和政府要員，如行政院長兼外交部長宋子文與駐英大使顧維鈞等對於 《蘇聯對日作戰協定》的反應激烈，擔心蘇聯損害戰後中國主權和領土的完整， 以及行政獨立，所以從準備到進行談判的過程，皆顯現追求「反對蘇聯提案，減 損《蘇聯對日作戰協定》造成中國主權、領土與行政完整的傷害」的目標19，然 而中華民國身處的環境是否支持這項政策? 事實上，1944 年日本在中國戰場發動「一號作戰」 ，不僅打通中國南北的火 車運輸線，還取得桂柳會戰的勝利，摧毀在廣西重要的空軍基地，使得中國臨時 首都重慶陷入日軍的嚴重威脅。至 1945 年莫斯科談判前，中華民國面臨新疆遭 受東突厥斯坦共和國軍隊的攻擊；蒙古人民共和國亦早獨立於中國之外，蘇軍常 隨蒙軍在中蒙邊界與國軍發生武裝衝突；陝北與淪陷區內的中國共產黨游擊隊與 國軍爭奪勢力範圍；長城以南的日軍佔領區皆隸屬其扶植的中國人政權，這些政 權也與中華民國政府爭代表權；關外東北地區更是獨立的滿洲國所在。中華民國 面對日本的侵略，以及內部的紛亂，使得自身沒有足夠的力量拒絕蘇聯的要求。 中華民國沒有代表出席雅爾達會議，更沒簽訂《蘇聯對日作戰協定》，但必須接 受在這個框架下與蘇聯談判。在莫斯科談判前夕，蔣中正不斷向蘇聯駐華大使彼 得洛夫說明，國家尊嚴對中國的重要性，亦是中華民國政府對蘇交涉的核心利益， 19

〈顧維鈞電蔣中正訪美李海談蘇聯對太平洋戰爭態度及其所持條件〉 ，臺北:國史館 藏， 《蔣 中正總統文物檔案》 ，檔號 002020300048007。 〈宋子文電蔣中正晤霍布金斯就史達林對東北要求 及史迪威勾結共黨談話〉 ，臺北:國史館 藏， 《蔣中正總統文物檔案》 ，檔號 002020300048008。 〈蔣 中正電宋子文蘇備忘錄案暫以其個人意見對美表示租借地恥辱〉 ，臺北:國史館 藏， 《蔣中正總統 文物檔案》 ，檔號 002020300048021。 6

希望蘇聯政府能在東北與蒙古問題上作退讓。然而，同時間彼得洛夫又從宋慶齡、 邵力子、賀耀祖、李宗仁等中國要員那裡得知蔣中正和其他國民黨高層的心態－ 需要蘇聯協助解決國共問題20，打算藉助美國的力量對付共產黨。21所以莫斯科 談判期間，雖然中蘇一度因在蒙古獨立和租借旅順問題互不退讓而休會，然最終 因為「與蘇友好和追求戰後一統的中國」的緣故，中華民國在「國家尊嚴」的問 題上讓步。 從結果可見，中華民國在面臨兩難時的取捨，係「與蘇友好」更重要於「反 對蘇聯要求」 。然而，從準備到談判，中華民國將絕大部分的時間與精力放在「反 對蘇聯要求」的目標上，此舉反映自身需求和談判定位不清楚的問題。 (三)忽略「加速日本無條件投降」為對蘇談判的先決條件 中華民國原無意承認《蘇聯對日作戰協定》，但受美方壓力，終將戰後東北 與蒙古問題納入莫斯科談判，此舉凸顯「加速日本無條件投降」為促成中蘇談判 的重要因素之一，但是如何達成此目標的方法，中華民國未與美國、蘇聯多作討 論。蔣中正則是不斷透過時任行政院長兼外交部長的宋子文向新任美國總統杜魯 門表示，蘇聯在雅爾達會議上對華提出的要求，將造成中國主權、領土和行政獨 立完整的損害，要求美國在中蘇談判時，要支持中國立場，必要時給予蘇聯壓力， 促其與中國妥協。22美國雖然支持中蘇談判、簽訂某種友好條約，但是從來沒有 忘記「加速日本無條件投降」是其支持的主要原因，所以當七月底原子彈試爆成 功，大幅降低蘇聯參戰的需要時，美國立即調整其對中蘇談判的態度，認為中華 民國對蘇聯讓步過多，超出《蘇聯對日作戰協定》的內容，中國對蘇談判策略應 該立即調整23。相形之下，中華民國代表團成員並未意識到時局的改變讓原本對 蘇聯妥協－接受《蘇聯對日作戰協定》條件的必要性降低，可以增加己方的談判 優勢，反而認為美國在日本使用原子彈對中蘇談判的影響不大。24這反映中華民 國代表團對於對蘇談判目標的認識不足。事實上，此舉影響戰後東北局勢的發展 很大。中方因未多與蘇聯討論對日作戰的問題，只在美國投原子彈和蘇聯對日宣

20

Русско-китайские отношения в XX веке. Т.4:Советско-китайские отношения в 1937-1945г. Кн.2:1945г. Отв. Ред. С.Л. Тихвинский, № 634, № 639, № 644.

21 《Запись беседы посла СССР в Китайской Республики А.А. Петрова с генералом Ли Цзунжэнем о войне на Тихом Океане》(07 июня 1945г.) Русско-китайские отношения в XX веке. Т.4:Советско-китайские отношения в 1937-1945г. Кн.2:1945г. Отв. Ред. С.Л. Тихвинский, № 641 стр. 53.

22 〈蔣中正電宋子文請向杜魯門面述希堅持其對遠東一貫政策〉 ，中華民國國史館 藏， 《蔣中正 總統文物檔案》 ，檔號 002090400001003。 〈蔣中正電宋子文見杜魯門商談旅順問題時應注意之點〉， 臺北:國史館 藏， 《蔣中正總統文物檔案》 ，檔號 002020300048017。 〈蔣中正電宋子文不必與杜魯 門 再 商 中 國 領 土 不 能 再 有 租 借 地 〉， 臺 北 : 國 史 館 藏 ，《 蔣 中 正 總 統 文 物 檔 案 》， 檔 號 002020300048020。〈蔣中正電宋子文蘇備忘錄案暫以其個人意見對美表示租借地恥辱〉，臺北: 國史館 藏， 《蔣中正總統文物檔案》 ，檔號 002020300048021。 〈宋子文與杜魯門總統討論中國主 權問題之第四次會話紀錄〉 ，臺北:國史館 藏， 《蔣中正總統文物檔案》 ，檔號 002080200301047。 23 The Secretary of State to the Ambassador in the Soviet Union (Harriman), August 5, 1945, FRUS,1945, Vol.7,pp.955-956.轉引自王永祥，《雅爾達密約與中蘇日蘇關係》，臺北:東大出版社， 2003，164。 24 〈宋子文王世杰電蔣中正蘇對日宣戰為預定步驟不致影響中蘇談判〉 ，臺北:國史館 藏， 《蔣 中正總統文物檔案》，檔號 002020300048076。 7

戰25後，兩國簡單訂定對日作戰時，中國可以派將官隨蘇軍進入東北，但是中方 可以帶多少人?這個中方代表的性質是作戰?還是準備接收?皆未言明。中方也因 為沒有準備，蘇軍進入東北時並沒有國軍將領，中國共產黨卻在同一個時間進入 東北與蘇軍合作，直到 1945 年 10 月代表中華民國的東北行營才進入東北。 四、結語 中華民國政府對於 1945 年夏季在莫斯科與蘇聯的談判準備不足，顯現追求 談判目標的的過程中出現矛盾與模糊。中華民國一方面希望透過談判能夠達到 「與蘇聯友好，解決中共與其他獨立武裝勢力問題，促使戰後中國統一」，另一 方面又想「反對蘇聯提案，減損《蘇聯對日作戰協定》造成中國主權、領土與行 政完整的傷害」，至於重要的「加速日本無條件投降」卻在雙方談判中被忽略。 中華民國最終選擇與蘇聯友好，選擇在堅持國家尊嚴方面讓步，但因為過程執行 追求維護國家尊嚴的政策，所以並無充分對於如何共同抗日並且實際發展戰後兩 國友好關係的討論，以至於成功簽下的《中蘇友好同盟條約》 ，欠缺實踐的步驟， 雙方在莫斯科談判出現的爭執，也延續到後來東北接收的問題上。儘管中華民國 政府可以表示簽訂條約有著「促進中蘇友好」與「降低國家損失」的功用，也可 以強調事後兩國關係惡化係蘇聯未遵守《中蘇友好同盟條約》的緣故，但藉由檔 案研究中蘇談判的準備和過程，可知這是場中華民國未準備好的談判。

25

美國分別在 8 月 6 日與 8 月 9 日向日本廣島和長崎投下原子彈；蘇聯在 8 月 8 日對日本宣戰。 8

評《沒準備好的談判》 魏聰洲／法國社會科學高等研究院歷史所博士生

《中蘇友好同盟條約》(以下稱盟約)之成因，依本文分析，過去的解釋有三，一是ROC為降低雅爾 達會議所帶來的威脅，二是ROC-KMT外交人員為爭取蘇聯挺蔣，三是ROC-KMT為維持與美蘇友好 關係。這三個解釋是有可能相容的，甚至有某程度的重覆。本文則提出新的視角：批評ROC-KMT 外交官專業性不足。不管如何，這四個解釋都呈現一個剛經歷亡國危機的政權，在世界兩大強的逼 迫下，被架著簽下好不願意條約的窘況。 以ROC的立場，美蘇在雅爾達會議所達成的共識：德戰敗後三個月內蘇聯需加入對日戰爭，是以「 犧牲」中國利益所換取的。這裏談的「犧牲」依筆者理解可分為兩部份：第一部份是指恢復蘇在旅 順口、大連灣、南滿鐵路、中東鐵路的權益，這些係早先由清國所讓渡與沙俄，日本又經戰爭奪自 蘇聯。第二部份則是指承認蒙古國未來舉行獨立公投的結果，但事實上從過去二十幾年以來，蒙古 一直擁有statu quo獨立狀態，這狀態是中國作為弱國所難以改變的。 就第一部份，吾人必須承認，終戰後，ROC得以取得的勝利國資格是型式上的，就現實主義的角度 ，它很難要求實質上勝利國(蘇聯)放棄其原有的權利，這不僅是我們外人持如是觀，當時談判的官 員也知其困難。甚至我們可以提問：比較蘇方取得這些權益的當時與盟約討論之際，國際情勢與兩 國國力之懸殊，對中方而言是改善了或惡化了？KMT當時處在日本、中共、東土三方戰火之間，我 們很難想像它有推翻掉蘇方原有權益的可能。 第二部份對當時的ROC而言，討論得比前一項還要多許多，因為這涉及了國土的變更，但ROC精神 上的犧牲是有交換到實質利益的，至少蘇聯撤走了它對東土國的支持：在當時進行中的伊寧事變， 成立有東土耳其斯坦第二共和國，該國的確隨盟約簽定後的談判而消失；另外，即是加簽了《議定 書》：蘇方表態支持蔣；因此，就算站在ROC立場，就蒙古議題上，究竟是得是失也並非那麼明確 的。不過，站在蒙古國的立場，趁此公投而得以擺脫中國的精神騷擾，當然是有正面價值的，拿外 蒙人與內蒙人戰後命運作比較，更突顯擺脫中國的珍貴；不過，站在東土人的立場，盟條等於蘇聯 的背叛，由當時或今日來看，他們都是盟約最大的受害者。 本論文最大的價值，在於指出了這些ROC外交官居然沒有把握住時局的演變，從中取得伸縮的可能 。盟約起於雅爾達會議，而該會議希望蘇聯在德國投降三個月內投入對日戰爭，以分攤美軍的傷亡 數。不過，在六月底中國代表團赴莫斯科談判，直至8月14日簽約的近六週內，發生了以下諸事：7 月間日本希望經由蘇聯與瑞士與美和談、7月16美國核彈試爆成功、8月6日長崎原爆、8月9日廣島 原爆。亦即，美國在七月中已確定取得不傷已即令日軍投降的神力鑰匙，蘇軍助陣與否已無關要緊 了，所以我們該問：中國外交官還需配合美國原先之期待，留在莫斯科談判盟約嗎？如果再晚一日 ，待日皇宣佈無條件投降之後再做決定，盟約還會是一樣的內容嗎？本論文雖無言明，但似乎暗示 了這些可能。 今日來看，這條約有無成行，只會影響東土國持續存在的可能，或者更進一步：一個滿洲人民共和 國會不會出現，以當時中蘇兩國的國力懸殊，加上滿洲國政府與軍隊均既存的現實下，這是有可能 的；至於ROC-KMT外交人員一直以來所念茲在茲的蒙古國，其實並不會受影響。 我們或可大膽假設，並不是這些外交官(包括蔣經國、宋子文在內)在這六星期內傻傻地不知道美國 的意向變了，而是這些蔣介石親信的長期滯蘇，本身即是蔣介石向史達林遞出橄欖枝的表現，期盼 能換取蘇聯降低對中共的支持，甚至令其觀望，上述的《議定書》則是將此期盼給文書化；也就是 說，盟約是此行的次要公事，是為了《議定書》出爐而可犧牲的配角。由此假設來看，美國的立場

如何對盟約已不會影響了。 當然，要證明這個假設，必須對於蔣介石、中共、蘇聯當時的互動進行詳實的考察，甚至要對蔣介 石向來應對蘇聯的外交模式進行分析。至少吾人已知，蔣介石戰前曾送蔣經國至莫斯科當人質，在 二戰期間，也一直希望能與史達林對話，甚至在1945年2月主動向蘇聯表示：反對在國際上成立任 何反蘇陣線；因此，對於第三者美國能出面架設起中蘇對話平台，很有可能是視為重大機會，至於 平台的主題為何，已無關宏旨了。 如果這個假設正確，那很可惜地，蔣介石對於何謂意識型態的了解太少，不可能意識到一個意識型 態之爭以致於形成兩極世界的時代就快要來臨了。在那六週，ROC-KMT當時再搖尾乞憐，也無法 取代中共在蘇共心中的地位。就軍事層次而言，ROC-KMT係亡於蘇聯借中共之手，那六週其實是 一位孱弱的病人在與死神談判，卻誤以為對方有可能是救星，KMT所自認為被背叛乃是多情所怪， 因為蘇聯從來沒有改變蘇維埃化中國的路線。其實想想，KMT想與對岸簽署和平協議，不就是源於 同一個心態嗎？

從勞動者身體意象反思當代 臺灣社會價值觀的建構與來源 The Origin and the Construction of the Current Social Values in Taiwan – A Ponderation with Taiwanese Labors' Body Images

林冠群／德國弗萊堡大學社會學博士候選人 Guan-Chun LIN / PhD Candidate in Sociology, Albert-Ludwigs-Universität Freiburg, DE

評論 Commentary： 王興煥／法國巴黎第八大學哲學博士生 Sing-Huan WANG／ PhD Candidate in Philosophy, Université Paris 8, FR

何來？何從？何去？ 從勞動者身體意象反思當代臺灣社會價值觀的建構與來源 林冠群 德國弗萊堡大學社會學研究所博士候選人

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摘要

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歷經 60 年代經濟起飛，經濟結構由傳統農業、製造業，漸次轉型向服務業， 臺灣經濟與社會已然趨向後現代消費主義。欣欣向榮的商業活動，確實為城市景 致憑添繁榮與歡樂的氣氛。然而這座充滿活力的寶島，卻也壟罩著數不盡的「壓 力」、「不快樂」 、「不健康」與「不滿」，最終成為「忙碌卻無感」的社會。作者未 出版博士論文中以勞動條件與生活狀況為經、當代身體行為慣習為緯之質性訪談 即發現，當代臺灣受僱勞動者雖不滿其勞動與生活條件，卻又慣於服從奉獻、順 從階級差異，將「身體」用作維持自身經濟競爭力與階級流動之「資本」。 臺灣社會何以出現表面看似歡樂，個人意識感受卻滿是不滿與壓力的矛盾現 象？在眾人對既有社會結構不滿的情況下，這一結構為何得以持續存在，甚至反 過來制約整體社會的價值觀念與日常行為？透過什麼樣的取徑，我們才能正確批 判渠等現象，為其尋得解藥？藉由臺灣社會與身體觀的變遷，本文將反思臺灣的 價值觀與行為範式從何而來、如何建構形成，又該如何客觀、理性地加以分析、 批判，才能解答箇中現象及其衍生之問題。本文重點包括： 1. 傳統儒、道對身體的定義，與西方身體社會學的「結構化理論」相仿，兼具「主 動建構社會結構」與「被動受外在規範制約」等雙重意義。然此觀念在封建時 期、日本皇國殖民、戰後國民政府高壓統治、以及資本經濟快速右傾等變遷下 遭致扭曲。在監視、馴化、剝削等結構壓力下，身體淪為單純被動、受外在制 約與規訓的「純粹物體（Körperding）」。 2. 當代臺灣社會在思想上雖仍保有傳統儒、道觀念，卻也內化、再製了各時期對 其原始論述與意義的扭曲。曲解的觀念與近代社會規約交錯型塑下，個體失去 建構社會的主動性。此外，更慣於將各種社會問題歸咎於他者或社會結構。順 從固有階級屬性或依循經濟、文化與社會資本行為，卻又未加意識或不思變革 的行為慣習，即其具象結果。 3. 從當代臺灣勞動者身體意象的由來與變遷來看，當前各種社會現象、價值觀念 與行為取向，既承續了華人傳統文化；同時，也是本地歷代政治、經濟與社會 變遷的產物。戰後政治意識形態下的「去本土化」，以及為反撲該意識形態而 生的「去中國化」，不啻為「去脈絡化」的便宜手段。這類由意識形態衍生而 成的偏執觀點，不僅無助於理性批判當代社會問題。甚至只是漠視社會及歷史 的結構性脈絡，令問題成因邊緣化、模糊化。 關鍵詞：身體（社會學）、臺灣社會價值觀、勞動 1

1. 快樂的社會、不快樂的人們： 歷經產業結構1與社會價值觀變遷，今天的臺灣已極端右傾向金錢萬歲、繁華 至上的消費主義社會。欣欣向榮的商業活動，確實為現代城市憑添歡樂、活力、 繁榮、生生不息的氣氛。然而這一切表象並非毫無社會成本。深究其實，現下的 繁華景致，乃是數不盡的「壓力」、「不滿」、「不快樂」與「不健康」積累而成。 瑞士洛桑管理學院（2005）發表的「全球競爭力年度報告」揭示，臺灣民眾 年度平均工作時數高達 2300 個小時，成為全世界工作時間最長的民族2。荷蘭飛利 浦基金會（The Philips Center for Health and Well-being）發表的「健康與幸福報告 （Philips Index）」（2010）則發現，達半數臺灣民眾自認生理和心理不健康，且將 近八成民眾認為其身心健康越來越糟（44％）或沒有機會好轉（33％） 。而自覺不 健康、不快樂的原因，全與勞動條件及經濟壓力直接或間接相關；例如擔心工作、 收入多寡、生活開銷、休假時間太少等。 此外，英國智庫「新經濟基金會（The New Economics Foundation）」（2010） 藉由生活滿意度、預期壽命以及自然資源消耗效能等指標試算出的「快樂指數 （Happy Index）」也發現，高度經濟發展與資本利益導向的臺灣社會，雖然預期壽 命高過 178 個國家中的 140 個，但民眾的生活滿意度卻落後全球 69 個國家。快樂 指數甚至落後鄰近的不丹、馬來西亞、蒙古、印尼、馬爾地夫及東帝汶等生活滿 意度與臺灣相當的國家。 這些數據在在顯示，臺灣表面上看似繁華、歡樂、熱鬧；然而民眾的快樂指 數卻始終呈現悲觀。

2. 何謂身體？當代臺灣勞動者的身體意象 臺灣社會何以表面看似歡樂繁華，個人意識感受卻充滿不滿與壓力？從身體 社會學「個人心志透過身體行為主動建構社會結構」或「社會結構規訓、型塑個 人心志想法與身體行為」的角度發問，究竟當前的行為範式與社會價值觀，是由 大眾主動建構而成？抑或人們只是被迫應和、只是龐大社會結構下任宰制階級操 控的棋子？ 西方社會學結構化理論認為，個人心志想法、身體行為與其他主體、社會結 構，乃是共在共構、交互影響。由此觀點詮釋，身體乃創造社會之源－在勞動創 生的過程中，人類透過身體建構社會、與社會互動。此外，身體也是社會運作的 依據行政院主計處統計資料以及經濟部相關研究，1960 年代以前，臺灣以農業為主要經濟活動， 國內就業人口也以農業為多數。時至 80 年代， 「隨著出口導向的輕工業加速發展，製造業就業人數 快速增加，並漸漸取代農業成為經濟發展與就業的主要動力」 （臺灣經濟研究院，2007） 。此後經濟 起飛，國人收入逐漸增加，進而促進整體產業主要結構往服務業變移；服務業年度生產毛額佔全國 生產毛額比重，也從 80 年代的五成左右，一路攀升超過七成。其所佔就業人口比例，也於 80 年代 末超越製造業，從四成左右增加到近六成（來源同上） 。 2 根據行政院主計處及勞工委員會（今勞動部）統計資料顯示，臺灣 2010 年各行業年度平均工時 略降為 2192.17 小時（含加班工時） （行政院勞工委員會，2011） 。但「責任制」下未正式記載的加 班工時是否納入計算，並無說明。 1

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場域－在建構社會的過程中，身體同時也深受外在社會規約（Shilling, 2005）。然 而當今的我們，其實是生活在一個身體、心志與社會結構互相矛盾、牴觸的現實 之中。作者未出版博士論文3，以臺灣受僱與自營勞動者生活與勞動狀況、自覺身 體意義以及身體實際行為為題的深度訪談，即發現當代臺灣勞動者的身體意象， 可以歸納為隱形、不自由、受監視、馴服、違背個人心志與被動卸責等六種形象。 身體的當代意義－隱形、不自由的「工具」 對當代臺灣藍領與白領勞動者而言，身體、個人心志以及外在社會結構、價 值觀，並非共在、共生、共構。當今勞動者的身體，只是維持、延續生命的「工 具」 ，除「生存」之外不具其他意義的「純粹物體」。 放任自由的資本市場中失去理性、不公的勞動條件，尤其使得勞動者已經物 化的身體失去自由。在「責任制」無限、不合理延長工時的體制以及身體「工具 化」的觀念下，勞動者即便想望足夠、合理的休息，仍必須犧牲自我身體，遷就 於現有、扭曲的工作條件。換言之，當今勞動者的身體，被視為必需不停運作的 「機器」。稍有怠慢，就只能任宰制階級拋棄、取代。因此，底層勞動者的身體， 只能屈從於一致、順從、刻苦、奉獻的行為範式。久而久之，便養成受規訓、馴 服的慣習。 身體的實際行為－受監視、馴服的身體 在勞動環境中，管理階層及其他同儕無時無刻的「監視」和評價，使勞動者 的身體必須臣服於既有的行為範式與價值標準。藉由傅柯的話語詮釋，即身體處 於管理階層的權力以及資本主義知識共同建構的「敞景式監獄」之內。在這座「社 會監獄」中，身體深受準則制約與規訓。失去自主權與自我意識的身體，一方面 使行為呈現「受馴服」的狀態。另一方面，也使基層勞動者慣於將階級差異4視為 無可逆轉的「宿命」 。 透過「公司、老闆就是『天』 ，就是一切」的想法，勞動者在工時過長或工作 過累時才得以自我催眠，合理化不合理的勞動條件。而這種扭曲傳統「謝天」觀 念，結合默默承受壓榨、管控的「宿命」想法，要到身體不堪負荷甚至重病，才 會慢慢被打破。由於當前勞動者的身體只是違背個人心志、感受，順從於既有價 值體系，受其約束、馴服的「物體」 ，以至於今日所有基層勞動者皆「擁有」自己 的身體，但實際上並無法「主宰」自己的身體。 失去擁有權地擁有身體－違背個人心志、被動卸責的身體 前文所提順從、依循階級屬性的習慣，養成了被動的觀念。被動的觀念，則 又使身體內化順從、依循階級屬性等習慣，使之成為無可置疑的慣習，進而實踐、 外化於現實生活、勞動與政治場域之中。即使當代臺灣社會與政治體制已經民主 該論文主題為「病態的身體或病態的社會？當代臺灣勞動者的身體意象」。 例如管理、資產階層的感受、權益、身體狀況才需要被重視；基層勞動者的身體只不過是「可以 出售買賣」的勞動工具一類的觀念。 3 4

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化，為取得社會與旁人的認同，多數人仍舊選擇活在社會網絡的規約與期望之下， 而非依循個人心志自由地生活。 因此，受雇勞動者的身體行為與心志想法，始終處於矛盾與對立。以當代西 方身體社會學解釋，即每個人都「擁有」自己的身體，但都「不是」自己的身體 (Gugutzer 2004: 146)。實際行為與個人想法互相矛盾、背反的情況，導致多數人失 去主動建構社會的動機與信心。各種社會問題及改善、型塑社會的責任，也總是 被歸咎於「他者」。 今日，身體貌似參與、影響政治選舉，但由於個人缺乏影響與建構社會結構 的動力，以致現實中並未真正主動地透過日常行為，建構自己真正需要、真正想 要的社會。換言之，當代民主社會下的身體只不過是政商網絡的附庸，只是一部 部被動、失去自主權、所有權以及社會責任的「投票機器」。

3. 何來？傳統觀念中的身體 當代勞動者忽視個人身體意義，慣於將宰制階級視為「天」 ，強迫自己接受宰 制階級規訓，即便不滿卻又必須勉強附和的觀念究竟從何而來？此些觀念是不是 華人傳統觀念造成的結果？而華人傳統觀念是否如西方結構主義，將個人身體定 義為必須屈從於社會結構與宰制階級的純粹被動體？ 細究華人傳統身體觀，能發現其原意在於強調「身體（道） 、軀體（器）與社 會結構三元一體」。《周易˙繫辭》中的「易有太極，是生兩儀，兩儀生四象，四

象生八卦，八卦定吉凶，吉凶生大業。是故，法象莫大乎天地；變通莫大乎四時； 懸象著明莫在乎日月；崇高莫大乎富貴」 ，朱熹的「人人有一太極，物物有一太極」 、 陸九淵的「吾心即宇宙，宇宙即吾心」（參照劉長林，1993）、老子「道生一，一 生二，二生三，三生萬物」等論述，在在體現宇宙（「社會整體」的形上化表述） 與個人身體、心志意識三者密切交合的循環網絡，在華人傳統身體觀中的本質性 與不可抹滅性。以當代西方身體社會學的語言詮釋，即萬眾個體透過自由心志與 具身行為，具有建構社會的能力；同時，實際的身體意象也是外在社會結構影響 下的結果。

傳統儒學的身體觀 基於天道一體的觀念，孔子的大同思想以及「修身、齊家、治國、平天下」 概念，主張透過個人心性修為的培養與禮儀的塑造，主體可以使自我身體臻至德 性圓滿，並透過這一充滿仁德與禮義之身將仁德推己及人，使禮義轉化為自身與 他者共同的行為依歸。以西方哲學及社會學語言表述，即既強調個人或個體「此 在」的重要性，同時更重視彼此「共在」的關聯性，並以身體與社會結構共在、 共構的論點出發，建立其身體與倫理道德觀。 孟子的性善論身體觀，也呈現出相同特點。其論點一方面主張克己、治身等

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自我修為能夠主動建構社會。另一方面也強調外在形式的制度規範對於身體（行 為）的影響。 「孟子的踐形觀主要是在心上作工夫，但他不會反對以禮爲規範或以

調身爲主的諸種『克己』、『治身』之自我鍛鍊。他的修養論是『由內往外擴充』 式的，它早晚會和『由外往內安頓』的修養論思潮匯合」（楊儒賓，2003）。 除了孔、孟的身體與社會相互建構論，荀子則認為人類肉身軀體的自然需求， 以及諸如羨慕、嫉妒等各種主觀意識，皆是人類無限欲望的來源。因此，人類的 各種欲望，必需透過各種禮制規範，使個人欲望與社會禮制規範趨於平衡，整體 社會才不致陷於紛亂，禮義邦國也才能建立。 在荀子的身體觀中， 「自然提供了材質，心靈提供了動力，禮提供了形式與目

的」（來源同上）。個體既以個人欲望、心性與行為型構社會，同時個人的身體行 為也（應）受到社會禮制規範。亦即身體、心志與社會結構不僅不是獨立存在的 個體，反倒是綰結為一，彼此建構型塑的循環關係。 道家思想的身體觀 相較於儒家從形下之身的踐行及禮制對行為的規範，道家採用形而上的「道 物匯通」 ，解釋人類心性與社會結構間的密切連繫。道家強調，人類在受到人為誘 惑以及自我欲望蠱惑時，尤其必須復歸其身、道法自然，使心理結構（神） 、生命 結構（氣）、軀體結構（形）及社會結構達致平衡（參照：祝平次，1993）。以當 代西方社會理論解釋之，即身、心、社會皆能適得其所、平衡發展的結構循環。 作為主體的人不僅應體悟理解到社會結構對人性的型塑與影響力，更應復歸 自我的同理心與善性，藉由所有主體的行為共同建構出與自然之道相呼應的社會 範式。使身體不只是物化的軀體，更是兼融個人心志意識、具身行為表現與現實 社會需求，促進三者維持平衡和諧的主體。 身體、心志與社會共在、共構 縱使儒學與道學對身體的詮釋與定義有其觀點上的差異，然綜觀傳統儒、道 身體觀，仍可見兩者的立論基礎皆與當代西方結構化理論及身體實在論相仿，將 身體視為個人與其他主體及社會互動，進而產生關聯的工具。同時，身體亦是社 會結構運作的場域，深受社會結構的型塑與規訓。其中，傳統儒道又特別強調主 體的主動建構意義，主張所有主體藉由個人行為皆能開創社會的良性循環。亦即 「兼具行動理論與結構化理論」的身體觀：一方面主張我們的社會是由千千萬萬 個身體主動體現的社會。身體既是表述自我、建構社會的媒介，同時，我們的身 體也自願或非自願地受外在社會型塑、改變、操控、制肘。由於所有個體交互影 響，共同建構社會；唯有每個個體具身體現「善」 ，方能建構成具備和諧主體間性 的社會。

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[來源：自製圖說] 圖一、儒學思想中自然宇宙（社會結構） 、道（心志）與器（身體）共構的身體觀

4. 何從？社會變遷下的身體 為何當代勞動者單純被動受宰制的身體與傳統華人觀念所主張的身、心、社 會一體、平衡存在如此大的落差？這是否意味著當代臺灣社會已經完全「去中國 化5」 ，建構成嶄新、全然相背的價值觀或行為取向？回顧臺灣歷代社會、政治與經 濟變遷，便能發現當代社會與傳統觀念的差異，並非肇因於傳統文化的消逝。深 究其實，臺灣社會對身體的定義與看法，乃是循著各時期的社會文化與政治經濟 背景代際傳遞、承續、演化而來。 歷經歷代變遷，兼具行動理論與結構化理論的傳統理想，演變成個體單向屈 從於宰制階級、身體行為被動受社會結構規訓的結構主義式觀念。當代受監視、 馴服、認命的行為取向，即歷代宰制階級將傳統「一體、平衡、共在」的觀念扭 曲成「階序」觀念所造成的結果。 封建社會下的身體觀 傳統儒、道思想過於理想、抽象的論述，使其內涵自封建時期起即遭扭曲。 為求治理方便，掌握政治權力與經濟資本者，被比擬為至高無上的「天」 ；傳統儒、 道思想對「天」、「道」的崇敬，則遭扭曲為階級尊卑。將掌握政治權力者視為天 朝的政治觀，構成華人社會由上而下式的治理方式。此一治理方式，又將萬眾個 作者此處所言的「中國」，係指漢人社會中的文化與價值取向，無涉政治場域上的國籍意識或國 族認同。 5

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體置放於被動接受上層階級宰制或支配的位置。儒、道原旨中共在、透過具身行 為正面影響他者及建構社會的主體間性，被支配、宰制、以及臣服、服從等階級 間權力失衡的互動關係取代。個人的身體自此不再是個人意志建構社會的實踐管 道，而是深受階級制約，以表述階級屬性以及具身體現階級應有行為的角色存在 （參照：蕭欣義，1987：46）。

[來源：自製圖說] 圖二、封建社會下的華人身體觀

如同社會學家柏格、盧克曼以及紀登斯的社會建構論所言，臣服與宰制的社 會思想，在社會結構的壓力下成為個體尚未意識到便已成型的前設知識。此一前 設知識轉化為具體行為的同時，則又演變成個人習以為常的習慣。當臣服於階級 差異與支配的習慣漸漸成為社會結構中客觀存在的規則，甚至上位成宗法制度， 個體最終便傾向於被動接受、內化此價值標準，使身體成為階級差異的標籤。倘 若無法內化既存規則或社會體制，個體便須尋求其他途徑，透過習慣的重新外化 與內化新的價值制度，重新建構自我能夠認同的社會實體。明朝末年隨鄭成功來 臺，以及清朝開放臺灣為通商口岸時移民的漢人，即為此例。 只是，明朝遺緒來臺的目的並不在改革舊有體制，而在於重建故有的封建政 權。且清朝時期來臺的移民，動機在於尋求生存機會，破除封建的階級觀亦非當 時的考量。肇此，明、清時期的漢人移民雖來到臺灣開啟新的社會化循環，然而 並未在新的社會結構中革除封建時期養成的「前設知識」與行為慣習。封建體制 下階級尊卑的觀念，反而隨著漢人移民落腳臺灣（參照：薛化元，2004：29-31； 43-44；69-75）。

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高壓體制下的身體觀 清朝晚期封建體制還未破除，臺灣就被割讓予日本。日本對臺灣長達 50 年的 軍國殖民統治，以及戰後臺灣省行政長官公署的高壓統治手段、政府遷臺後的強 人政治與軍國民教育，皆對臺灣社會造成直接、嚴密、系統化的行為規訓。

[來源：自製圖說] 圖三、高壓體制下純粹被動的身體觀

日本殖民期間，殖民者刻意營造、灌輸國族上的階級差異6，使得臺灣民眾的 身體以及行為成為被動受殖民者支配的對象。為了同化、濡化臺灣民眾的行為， 並正當化日本在臺灣的殖民統治，殖民政府採行的手段如同傅柯所言的解剖－政 治學，針對個人的語言、宗教、日常習慣及勞動生產等方面進行同化，並透過學 校與社會教育、軍警對社會的監視與懲罰等手段規訓臺灣民眾，強迫日式思想內 化為個人的行為依歸，達到自我制約的效果（參照：王錦雀，2005）。此外，如同 後藤新平所述，其統治乃以「生物政治學」為宗旨（參照： Yoshimi, 2000） 。殖民 者除了針對個人行為進行監視、規訓、控制、懲罰，更全面性地控制臺灣民眾。 1936 年之後的皇民化運動，便以一系列汙名化傳統價值觀的手段，改變全體臺灣 民眾的思想與身體行為。 隨著日本殖民版圖往南洋擴展、侵華戰事愈加吃緊，臺灣島上的資源及人力 不僅被動員為戰事後勤，就連勞動方式也受到更嚴格的制約，養成行為一致、重 視效率、勤奮以及奉獻統治階級的觀念（參照：薛化元，2004：136-156） 。到了極 端，上戰場充當「軍犬」的青年以及充當性奴隸的慰安婦少女，還必須將身體、 生命完全奉獻給日本皇國（參照：蔡錦堂，2006：97-132；Yoshimi, 2000）。

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如低等臺灣人與高尚日本人的對比。 8

戰後，臺灣社會依然未掙脫統治階級制約、規訓個人行為與思想的枷鎖。國 民政府接管臺灣初期的高壓統治，以及政府遷臺後的強人政治、戒嚴以及軍國民 教育等（參照：高明士，2009：264，271），將社會思想從效忠日本皇國轉向為鞏 固黨國領導中心。國族的階級差異此時雖不再是區別身體價值與行為對錯的準 則，但宰制階級與被統治階級的對立，又迫使身體養成忠誠、服從、遵從紀律的 行為準則（參照：高明士，2009：313）。在高度的社會監視、軍國民教育對行為 的規訓以及強人體制的控制下，身體依然是被動、受宰制階級支配與利用的工具。 白色恐怖時期任何左傾或反對思想、行為皆受嚴厲箝制、小學到大學的教育過程 中無數次的列隊、體操訓練以及軍訓教育等，就是身體、行為與思想受到嚴格控 制的例證。 無論是日本殖民者亟欲塑造的國族階級差異、戮力推動的文化與行為宰制， 或是早期國民政府推行的高壓統治、戒嚴、軍國民教育，都是對臺灣民眾行為的 規訓與思想的制約，使身體完全被動受支配與規約。面對心志雖有不甘，身體行 為卻必須臣服於高壓規訓、宰制的矛盾情況，社會整體結構7早已背棄儒、道理想， 不再與個體的心志、意識以共在、共生的方式建構成社會實體。 工業化與經濟自由化初期的身體觀 1953 年後，政府開始推行工業化政策。只是當時教育與思想上仍持續高壓控 制，經濟發展也以國家興盛為主旨（參照：高明士，2009：301），個人的身體因 而仍屬奉獻國家、行為受宰制階級控制的被動工具。加上 70 年代初葉，美、日外 資大舉來臺（參照：薛化元，2004：185），除了政治場域的統治階級，個體還必 須面對外來資產階級將臺灣民眾作為廉價勞動力的利用。此時的身體不僅是受統 治階級規訓的被動體，更開始其受資產階級支配與剝削的社會角色。 基於戮力勞動奉獻社會的普羅風氣，且投入現代工業勞動生產有助取得生活 的基本需求、改善生活條件，社會中大部分個體皆如馬克思所言，即便受到異化， 依然接受、配合資產階級定下的勞動與生產方式。隨著降低生產成本、追求資產 階級收益等資本主義觀念成為主宰臺灣經濟與生產活動的唯一旋律，勞資之間也 相應地發展成剝削與受剝削的關係。社會達爾文主義「個體差異、優勝劣敗」的 觀念，也在此勞資關係下越加深化。 是時特殊的政治、經濟與社會結構，搭配上堅忍努力的勞動力，共同創造出 臺灣經濟持續發展、中小企業邁向國際的成就（參照：Kahn, 1979: 332）。然而在 資源分配不均、階級差異顯著的情況下，勞動階級僅能透過身體不停勞動維持生 存條件，積累更多經濟、文化與社會資本，藉此期望下一代階級得以向上流動。 反之，資產階級得依恃其握有的眾多資本，佔據更多應均衡、理性分配的社會資 源，使階級間的支配與剝削持續不斷。

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包括眾人行為慣習、社會價值觀，以及歷代以來內化、外化、標準化的行為範式。 9

[來源：自製圖說] 圖四、臺灣工業化與經濟自由化初期的身體觀

簡言之，資本化後的臺灣，擁有資本與否漸漸取代政治階級屬性，成為決定 個人價值與身體行為的依歸。在社會與經濟觀念極端右傾、臣服於自由市場遊戲 規則的背景下，各司其職、互助共存，結構化理論式的社會理想與身體觀依然不 敵資本利益。其結果，便是歷代養成的結構主義式、全然被動、依階級屬性差異 化個人價值的身體觀，在今日臺灣勞動市場上再一次受到合理化、繼續發揚光大。

5. 何去？從身體觀的變遷反思當代與未來社會 歷史與當代社會交錯建構 回顧傳統華人思想、臺灣社會變遷以及各時期社會、文化、政治與經濟背景 下身體觀的演變，可以看出當代臺灣勞動者的身體之所以被忽略、不自由、受監 視、順服、充作資本工具且被動，並非單一時期、單一價值觀或意識形態塑造而 成。反之，其乃是歷代觀念演變逐漸外化、合理化、內化、再現、再製而來。 傳統儒、道將個人的身體、心志與社會結構視為一體，三者既獨立存在，但 也共在、共構、交互影響的觀念，在舊有封建、日本殖民、戰後國民政府高壓統 治以及經濟市場自由化等不同時期，被簡化為階級屬性的差異。封建時期，階級 屬性是以傳統的階序倫理（例如：君臣、貴賤、夫妻、父子、兄弟）實踐於現實 生活。日本殖民時期，則改以「國籍」和是否具有貢獻皇國的勞動力作為區分。 國民政府高壓統治時期，奉獻領袖、唯命是從的觀念仍是政治宰制階級控制 受宰制階級的最高宗旨。無論是心志思想（效忠黨國）抑或身體行為（語言、文 化認同） ，都必須恪守服從、接受規訓，才能確保身家安全。到了政治、社會自由 10

時期，上述順服於階級差異、服從指令、接受規訓、奉獻宰制階級、重視勞動效 率等觀念，並未被自由化的體制汰除。資本宰制階級反而在自由市場與資本社會 中取代政治宰制階級的角色（抑或由兩者聯手） ，迫使受宰制階級在勞動場域以及 現實生活中再一次再製歷代以來內化、社會化的觀念與行為範式。

[Quelle: 自製圖說] 圖五、身體既受當代社會規範影響，同時也是歷代社會變遷的產物

和諧的主體間性遭曲解為階級差異與服從，反躬自省則被扭曲為奉獻、講求 效率與行為一致，以致最終養成規訓、勤奮、順服、奉獻的身體觀。在受監視、 馴服的情況下，身體的狀況與需求始終受到忽視。一方面，個人身體必須背反個 人心志思想行為；另一方面，身體也被視為「被動」 、不具自主意識的「物體」或 「工具」 。不僅個人的社會責任因此遭到卸除，個體亦慣於將每一個個我所構成的 社會問題，歸咎於個人之外的其他個體或社會環境。 在當代強調降低成本、追求極致效率、奉行優勝劣敗的資本社會結構下，身 體受物化、異化、工具化等現象尤其被發揚光大。最終，身體的意義與價值以階 級屬性做出明顯區隔。宰制階級得以其身分特權，達致身、心，工作、生活相平 衡的傳統理想，保全個人存在的價值；但基層勞動者為了生存，也為了維續自己 以及後代階級流動的可能性，只能自願或非自願地流為「純粹勞動」的「機器」。 一言以蔽之，當代經濟、勞動、政治與社會體制與歷代價值觀念，共同交錯建構 11

出當代勞動者的身體意象。既無法二分，亦無法單一歸咎。 通盤反省社會與歷史脈絡乃社會改革之基石 「現今主流的體現形式，並未完全成功地接替原本的形式，…，先前的形式反 而與後來的形式共存，雖然這種共存時常存在著一種緊張關係。…這些不只是時代 （歷史）的轉換，而是本體論上的轉變（是一種被實踐出來且有意義的存在）」 （Cregan 2006: 4）8。傳統價值觀、歷代社會變遷、以及當代價值範式共構出當代 身體意象的事實，揭示出兩項重點。其一，當代臺灣社會之所以看似歡樂，實際 卻壟罩不滿，最主要的原因在於身體實際行為與個人心志思想，處於相矛盾、牴 觸的灰色地帶。一方面，所有個體皆了解平衡、和諧的身、心與社會關係是個人 與社會健康的基石；然而日常生活中卻必須應和現實，自我強迫歸順於以階級屬 性架構而成的價值觀念。 勞動者之所以應和、臣服於現有的體制與價值觀念，乃是基於展現和諧共在 的理想，期望藉由自身努力地工作、賣命式地付出，得以換得宰制階級的同理心， 幫助勞動者改善勞動條件；抑或是透過自身階級向上流動，改變現有的生活與工 作環境。然而在現實世界中，階級向上流動成功者確實得以在個人生活中實現工 作與生活、個人想法與行為維持平衡的理想；但在勞動場域中，卻仍對受宰制階 級繼續再製不公的工作體制或要求，而非扮演主動改變勞動體制、社會結構的角 色。也因此，階級向上流動失敗者只能任由身體淪為純勞動力。不滿，卻又必須 忍耐，以證明自身身體的存在價值。失去自主的身體與失去自尊的心志，剝奪的 不僅是個人的自由，更謀害了個人在社會中的安全感、歸屬感與存在感。身體成 為失去自我的工具之際，人生也跟著失去方向，最終導致茫然、漫無目標的生活 樣態。 其二，如欲改變現今的現象與問題，重點並不在於革除特定文化或特定時期 的價值觀。這類手段，無非是在不同文化、思想、價值觀與意識形態間強調衝突、 加深對立，並無助於反省問題的根源與解決之道。 由政治意識形態衍生出的「去本土化」 ，目的在於稱頌傳統文化的優越性，無 疑全盤否定了臺灣社會歷代的價值觀。包括遵循規則、貢獻社群等觀念，都可能 在禁錮思想的過程中一併移除。倘若少了這些觀念作為社會的核心理念，臺灣是 否還能繼續邁向現代化，成就公平、和諧的社會？唯恐大有疑義。相對的，為抗 衡「去本土化」而生的「去中國化」 ，也只是以文化革命的手段全盤否定傳統理念 的價值。其宗旨並不在於釐清、改革傳統觀念所遭受的曲解、誤用與濫用。因而 既無助於衝突矛盾的身心復歸到和諧、平衡的理想狀態，更使掏空社會原始信念 的真正濫觴遭到漠視。當曲解、誤用與濫用受漠視，全體社會自然無法對症下藥， 改善數百年來累積而成的社會病態。而當社會漠視甚至接受、合理化扭曲事實的 手段，所謂和諧、平衡，自然只能流為烏托邦式的理想。 如欲解決當前的、也是歷史與社會結構性的問題，一味讚頌或一味詆毀特定 8

參照謝明珊（2011）譯：身體社會學－體現的抽象化描繪，韋伯文化出版。 12

思想觀念，顯然都無濟於事。畢竟兩種意識形態的拉扯、角力，只是模糊了問題 的濫觴與焦點。真正的社會工程，必須對於社會發展進行脈絡化的反省，由所有 個體不分階級、不分地位、不分立場地翻轉封建時期扭曲的價值觀、高壓統治時 期的臣服心態、自由化時期只講求個人利益等慣習。唯有全盤反思歷史留下的傷 痛與思想上的撕裂，重新省思我們的社會真正需要、真正想要的價值觀為何，並 且徹底革除對該價值觀的歪曲與誤用；同時由所有個體切身地將這些真正想要、 真正需要的價值觀實踐於現實生活之中，社會中的所有個體，才能找回其自主意 志，不再只是恣意受人剝取的資本工具。當所有個體成功找回自我心志，身、心、 與社會之間，才能真正復歸和諧、平衡。當前可見的各種社會亂象，也才能「以 民為本」地徹底改革，讓真正的和諧、公平與正義，從曲高和寡的烏托邦教條， 蛻變成為現實生活。

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參考文獻： 王錦雀 (2005)：日治時期臺灣公民教育與公民特性。臺北：臺灣古籍出版有限公司。 行政院勞工委員會 (2011). 受雇員工薪資工時查詢。2011 年 5 月 9 日，取自：中華民國統 計資訊網 http://win.dgbas.gov.tw/dgbas04/bc5/earning/ht456.asp 祝平次 (1993)：從禮的觀點論先秦儒、道身體／主體觀念的差異。見楊儒賓主編：中國

古代思想中的氣論及身體觀。臺北：巨流圖書公司。

高明士 (2009)：臺灣史。臺北：五南圖書出版股份有限公司。 楊儒賓 (2003)：儒家身體觀。臺北：中央研究院中國文哲研究所籌備處。 臺灣經濟研究院 (2007)：我國服務業發展策略之規劃。臺北：經濟部商業司。 劉長林 (1993)：說「氣」 。見楊儒賓主編：中國古代思想中的氣論及身體觀。臺北：巨流 圖書公司。 蔡錦堂 (2006)：戰爭體制下的臺灣。臺北：日創設文化事業有限公司。 蕭欣義 (1987)：儒家思想對於經濟發展能貢獻什麼？。見楊君實、杜念中主編：儒家倫

理與經濟發展。臺北：允晨文化。 薛化元 (2004)：臺灣開發史。臺北：三民書局。

Cregan, Kate. (2006). The Soziology of the Body: Mapping the Abstraction of the Embodiment.

London: Sage.

Gugutzer, Robert. (2004). Soziologie des Körpers. Bielefeld: Transcript-Verlag.

International Institute for Management Development. (2006). 2005 World Competitiveness Yearbook Results. Lausanne.

Kahn, Herman. (1979). World economic development: 1979 and beyond. London: Croom Helm.

Shilling, Chris. (2005). The body in culture, technology and society. London: SAGE. The New Economics Foundation. (2010). The Unhappy Planet Index - An Index of Human Well-being and Environmental Impact. Retrieved on 10th of Dec. 2010 from http://www.happyplanetindex.org/learn/download-report.html.

The Philips Center for Health and Well-being. (2010). Philips Index for Health and Well-being: A global Perspective. Retrieved on 10th of Nov. 2010 from: http://www.philips-thecenter.org/insight.

Yoshimi, Yoshiaki. (2000). Comfort women : sexual slavery in the Japanese military during World War II. New York: Columbia University Press.

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評林冠群〈何來？何從？何去？從勞動者身體意象 反思當代臺灣當代價值觀的建構與來源〉 王興煥／法國巴黎第八大學哲學博士生

（一）應然與實然之辨 關於「社會之全體參與者，其身心皆與社會和諧，個人與社會是各自保有主體的『共在』關係」， 此描述是儒家理想之應然？抑或曾於漢人社會實踐過之實然？作者是否誤將應然當成典範（實然） 而貴古賤今？ （二）辨儒 即使以儒家之應然面作為典範，儒家所揭示的身、心、社會之理想圖示，是如作者所言的各持主體 、非主客關係的互構、共在？還是一種本體論（ontologie）架構？亦即：心（或身心）為本體， 社會現象為末。 若我們接受儒家的「個人（身心）與社會」關係是一種本體論架構，將社會視為個人身心修養的反 映，是否有以下風險：將社會清濁的責任歸諸個人道德的進退？可徵之於儒家典籍，如：「物有本 末，事有終始......欲治其國者，先齊其家；欲齊其家者，先修其身......」、「其本亂而末治者否矣」 ，於是淑世的關鍵，不在於對現實的研議、改革或反抗，而在於「修己」。這種儒式本體論，會造 成個人對社會環境的安順妥協、不思反抗，反而弔詭地使個人主體性消退。 （三）只見日殖，不見中殖？ 作者指控了日本殖民統治對儒家傳統價值的破壞，並強調了殖民壓迫的國族因素。但對於中華民國 殖民台灣（作者不將之視為殖民），只見黨國威權及其所造成的階級對立，卻不見國族認同的壓迫 是其中關鍵。 （四）資本問題 （1）在討論到工業化與經濟自由階段，作者始提到資本壓迫；但在前述封建社會、高壓體制階段 ，是否疏於「物質基礎」的分析？ （2）對資本壓迫的分析，作者著重於外國資本之惡，但忽略了外國資本對本土的剝削必然有當地 政權的配合。 （3）台灣資本之惡，首推「黨資本」，這是對戰後台灣政治經濟分析所不能迴避者。

如何理解康德的最高善概念？ Understanding Kant's Concept of the highest Good

林正昊／德國慕尼黑大學哲學系博士生 Cheng-Hao LIN／ PhD Candidate in Philosophy, Ludwig-Maximilians-Universität München, DE

評論 Commentary： 蘇筱鈞／法國巴黎第十大學哲學博士 Hsiao-Chun SU／ PhD in Philospohy, Université Paris Ouest Nanterre La Défense, FR

如何理解康德的最高善概念？ 林正昊，慕尼黑大學哲學系博士生 前言 康德在倫理學研究當中是一個屹立不搖的里程碑。他以形式主義（Formalism） 和嚴格主義（Rigorism）的標籤成為了義務論（deontology）倫理學中的一個典範。 他在建立道德規範性之基礎的過程當中嚴格地排除任何對行為後果以及人類福 祉的考慮，這是康德倫理學廣為人知的一面。然而這卻不是康德倫理學的全貌， 在他的倫理學體系當中，存在著一個備受爭議的最高善（das höchste Gut）理論。 所謂的最高善，即是德行（Tugend）與幸福（Glückseligkeit）按照比例一致地存 在，簡單來說，就是如果有一個道德上的好人，那麼他同時也應該要擁有他所配 得的幸福。針對這個最高善概念，康德進一步主張它是人類意志先天（a priori） 必然的對象，如果最高善不可能，那麼道德法則也將會是錯誤的（KpV, V:114） 。 這個主張強烈地違反我們對康德倫理學的印象，並且看起來將使他陷入自我矛盾 當中。既然道德原則不考慮行為的對象實現，也不要求其結果帶來人類的福祉， 又何以包含幸福概念的最高善的可能性會影響道德原則的成立與否。面對這個問 題，一種最簡單的解決辦法就是把這種理論內在的不一致視為康德的思想受其時 代之宗教權威所限制的結果，即康德可以藉此進一步主張，為了保障最高善的可 能性我們必須預設上帝存在，以使他的體系不至於違背當時社會的主流思想。然 而，如果我們深入了解康德的體系，這樣的解釋不僅過於廉價、忽略了康德批判 哲學整體的精神與目的，也放棄了根據慈善原則（Principle of Charity）來詮釋出 更有價值的融貫理論的可能性。 在本論文當中我將嘗試考察，是否康德在道德系統中引入最高善概念，在形 式的道德規範性之內或之外仍有其有效性根據，並且是基於與道德規範性之基礎 不同層次的考量。如此它將不僅與其形式主義的倫理學不互相衝突，更對於其整 個哲學體系的最後目的而言是一不可或缺的環節。因為康德批判工作的最終目的 並非根絕一切形上學，而是建立一門具有科學（wissenschaftlich）有效性的形上 學。如此一來，要如何在傳統形上學對象（上帝、靈魂等）遭到《純粹理性批判》 剝奪了其認知意義的情況下，重新安排它們的地位，就會是一樁康德無法避免的 任務，而正是在這個環節上，最高善概念起了它無可替代的作用。如果這個嘗試 是成功的，將顯示批判哲學的精神並不在於簡單地在表面上非此即彼的概念衝突 中選邊站（例如要麼只考慮義務，要麼只考慮結果），而在於進行正確的劃分， 力求讓互相衝突的概念各從其類，在其合適的運用當中保持有效性。這除了會讓 原本康德看似冷峻嚴酷的倫理學更貼近吾人的道德直覺以外，還能使處在習慣於 1

將議題分割化討論的當代的我們反省經典哲學家整體性思考的長處。 一、對最高善概念之必要性的三種常見解釋 最高善概念的必要性乃是整個最高善理論的核心問題。因為正是在康德看似 以定言令式（der kategorische Imperativ）為基礎建立了一套完善的道德規範性理 論之際，最高善理論的出現顯得特別令人費解，甚至有與之相矛盾之虞。例如康 德在《第一批判》說：「理性覺得有必要預設一個這樣的【按：在其中可能精確 地按照道德來分配幸福之理智世界的】智慧創造者與統治者，連同在這個我們必 須視之為未來之世界中的生命，否則就必須把諸道德法則視之為空洞的幻覺，因 為 同 一 個 理 性 聯 繫 在 這 些 法 則 上 的 必 然 後 果 沒 有 那 個 預 設 就 必 須 取 消」。 （A811/B839）康德在此首次明確地提出，如果作為其必然後果的最高善不可能， 那麼道德法則將會是虛假的，但何以純形式的道德規範性必須為了其後果的不可 能性而淪為幻覺呢？同樣地，他在《第二批判》中也提到：「因此如果最高善根 據實踐規則是不可能的，那麼下命令要促進最高善的道德法則就會是虛幻的以及 設下空洞之想像目的的，因而是錯的」。（KpV, V:114）在此康德也沒有明確解釋 為何道德法則會要求促進最高善，以及為何這個後果的不可能會導致道德法則自 身的錯誤。況且如果道德法則的成立與否需要考慮後果，豈不是違背了康德將質 料原則排除在道德規範性之外的努力？因此最高善與道德法則之間的關聯是有 待釐清的。但對於此一如此需要解答的問題康德卻著墨甚少，許多地方的說法曖 昧不明，而相對清楚之處卻在不同的文本中呈現了相當不同的回答。以下便讓我 們根據文本來梳理出幾種可能的解釋，並同時指出它們在理論上可能蘊含的困難。 1. 最高善作為理性整體之興趣 這種詮釋方式主要以《第一批判》為文本根據。在《第一批判》當中，康德 是在「純粹理性之最後目的」的名下來提出最高善概念的。在〈論最高善的理想 作為純粹理性之最後目的的一個規定根據〉中，康德將理性一切興趣歸結為三個 問題，而最高善的概念看起來是針對其中第三個問題「我可以期待什麼？」 （A805/B833）所提出的。對這個問題的回答可以被視為是理性的最後目的，因 為這個問題的提出同時涉及了理性的理論興趣與實踐興趣以及它們的結合，可以 說涵蓋了康德當時所認為的純粹理性的所有面向：「第三個問題（即：當我現在 做了我所應該做的，那我可以期望什麼？）同時是實踐和理論的，如此實踐事物 只做為線索導致對理論問題以及（當這個問題走得更高時）思辨問題的回答。因 為一切的期待都關乎幸福，並且在對實踐事物和道德法則的企圖上正好和在事物 之理論認知的面向中對知識和自然法則的企圖上是同一種期待」 。 （ebd.）而對這 個問題的回答即是做為德福一致的最高善，所以最高善的要求可以說是理性追求 其一切興趣之完善與統一所提出的一個理念：「我據此說：不僅道德諸原則根據 2

理性在其實踐運用中恰恰是必然的，每個人在他已經讓自己在他的行為中配得幸 福時，都有理由在同樣的標準下期待幸福，這也恰恰是根據理性在其理論運用中 必然要假定的，而因此道德的系統和幸福的系統是分不開的，但只在純粹理性的 理念中結合」。（A809/B837）根據這些描述，最高善的要求並非來自道德要求或 因為它具備相關的實踐功能，而僅是理性在符合道德要求之餘會期望實現的一個 理論對象。然而，這種解釋會讓最高善的必要性降低許多，因為做為單純期望的 對象可以不必擁有實在的可能性。而作為理性在個別領域之外的一個考慮，當我 們不考慮此概念時，似乎也不會對理論領域和實踐領域各自的系統造成什麼影響。 然而，這卻顯得不符合我們一開始看到的、康德宣稱最高善所具有的重要性，在 那裡康德甚至主張若最高善不可能，則道德法則也將是虛假的。也正因為如此， 這個詮釋被許多反對最高善理論之重要性的康德學者所採納，如 Beck（1960）、 Murphy（1966）和 Auxter（1979）。 2. 最高善作為道德動機 最高善作為道德動機的詮釋同樣以《第一批判》為主要根據。我們可以看到， 康德在〈論最高善的理想作為純粹理性之最後目的的一個規定根據〉中指出，道 德性本身無法推動它自己的執行，只有當最高善可能實現的條件被給予了，我們 才會產生執行道德的動機：「那麼若沒有一個上帝以及一個對我們而言現在不可 見、但可希望的世界，道德性的諸高貴理念儘管會是讚許和欽佩的對象，但不會 是下決心和執行的動機，因為它們並不滿足對每一個理性存有者而言，自然地且 正好透過同一個理性先天地被規定的、必然的整體目的」。（A813/B841）而更具 體地來說，這些動機就是當德福一致可能實現時，「善有善報，惡有惡報」帶給 每個人的希望感與威脅感：「因此每個人還會視諸道德法則為命令，但它們無法 是命令，如果它們不聯繫著與它們的規則先天相符的後果，而因此帶有盼望與恫 嚇的話」。（A811/B839）這樣一種將道德原則本身和道德動機分開的做法，可以 對應康德在早期道德演講錄（例如 Kaehler 演講筆記、Collins 演講筆記）中對道 德之「判斷原則」 （principium diiudicationis）和「執行原則」 （principium executionis） 的區分。用這組區分來解釋，即道德法則是判斷原則，可以幫助我們分辨什麼是 義務，但是並不同時是執行原則，而能推動我們去執行義務。反之，為了執行義 務我們還需要感受（Gefühl）的推動，而這種感受必須由最高善的可能性引起， 如此實現最高善的可能性就對於完成康德完整的道德理論來說是不可或缺的，否 則道德法則將會是一無法執行的空中樓閣。但是這樣一種以行為後果產生之影響 作為道德動機的詮釋是否能符合康德道德哲學成熟時期的自律理論則是有待商 榷的，例如康德在《第二批判》中就明確地說： 「敬畏（Achtung）對道德法則而 言是唯一且無可置疑的道德動機」 。 （KpV, V:78）在此敬畏乃是直接體現道德法則 的道德感受，無關乎最高善。基於這個與道德規範理論明顯的衝突，只有少數學 者直接採納這個詮釋，如 Zeldin（1971） 。另外有一些學者則是改變道德動機的意 3

義來採取這種詮釋，如 Marina（2000）和 Zobrist（2008）。 3. 最高善作為道德義務 最高善作為道德義務的詮釋主要以《第二批判》為文本根據。康德在〈上帝 存在做為純粹實踐理性之設準〉和〈論源於純粹理性之要求的認其為真〉兩節中， 大量地提到促進最高善乃是我們的義務，例如：「現在促進最高善對我們而言乃 是義務，因此不僅是權利，而是以與作為要求的義務聯結的必然性去預設這個最 高善的可能性」 、 （KpV, V:125） 「在此屬於義務的僅是從事對此世之最高善的產生 與促進，最高善的可能性因此可以被設定」 、 （KpV, V:126） 「道德法則使設定最高 善為我們努力之對象成為義務」 、 （KpV, V:129） 「道德法則命令：使一個世界中最 高可能的善對我而言成為一切行為的最後對象」、（ebd.）「反之一個純粹實踐理 性的要求建立在一個義務之上，即使某物（最高善）成為我意志的對象，而根據 我一切的力量去促進它」 、 （KpV, V:142） 「按照我們的最大能力去實現最高善乃是 義務；因此它必須也是可能的」 。 （KpV, V:143 Anm.）這樣一種詮釋明確地指出了 道德法則與最高善的必然聯結，這可以很好地解釋為何最高善不可能，道德法則 也將淪為虛假之物。因為若道德法則命令了不可能之物，則自身將陷入矛盾，而 使人質疑其有效性，此即所謂的「應該蘊含能夠」原則，我們已經在上面的引文 中看到，康德不斷引用此原則來論證最高善的可能性。 然而這個詮釋的問題在於：首先，要如何從道德法則的諸程式來推導出最高 善是一道德義務，這是康德沒有清楚說明的。其次，最高善的義務與其他一般義 務有何不同？何以唯獨這個義務要求我們進一步設定作為其可能性條件的理論 對象？最後，事實上被要求成為義務的乃是「促進最高善」而非「實現最高善」 ， 這將使對最高善之可能性的要求弱化許多，必須具有可能性的將並非最高善本身， 而只是在促進最高善的進程中，人類能力所及範圍內的極大化。此外，就算「實 現最高善」本身是義務，一個義務所要求的可能性不過是形式的可能性，而非實 在的可能性。前者指的僅是一種不蘊含矛盾的邏輯可能性，只要有可能基於任何 偶然的方式實現便可滿足，後者則要求有特定的實在原因來保證其實現。但康德 的最高善理論明顯地不會只滿足於最高善的形式可能性，如他在〈實踐理性之二 律背反的批判解決〉一節中所說的：「這個連結【德福一致】在僅是感官對象的 自然中無非只能是偶然發生的，而對最高善來說是不足的」。（KpV, V:115）如此 最高善若光是作為道德義務是不足以證成康德的整個最高善理論、包括最高善的 實在可能性以及設準論（Postulatlehre）的必要性的。然而，基於這種詮釋可以很 好地說明道德法則與最高善之間的緊密連結，大部分為最高善理論辯護的康德學 者都採取這個詮釋進路，包括 Silber（1963）、Brugger（1964）、Zeldin（1971）、 Barnes（1971）、Beversluis（1974）、Hauser（1984）、Anderson-Gold（1986）、 Reath（1988）、Marina（2000）。 4

二、最高善作為道德之證實（Bestätigung） 在前一個部分的分析中我們已經看到，理性興趣詮釋難以說明最高善概念對 道德法則的必要性，道德動機詮釋則與康德道德感受理論有所衝突，道德義務詮 釋則仍難以建立完整的最高善理論。以下我將提出第四種可能的詮釋：最高善的 道德證實詮釋。我認為該詮釋將可以避免上述三種詮釋所面臨的困難而合理地說 明最高善的必要性。 這個詮釋是鮮少有人注意到的，因為它在康德的正式出版物中並沒有線索， 而是出現在康德 1785 年的道德哲學演講錄：Moral Mrongovius II 當中1。在這個 演 講 錄 當 中 ， 康 德 談 及 道 德 報 償 （ Belohnung ） 時 提 出 了 「 推 動 根 據 」 （Bewegungsgrund）和「證實根據」（Bestätigungsgrund）的區分： 對於最有德行之人來說，當他身處這個越有德便越不幸的世界中， 並不缺乏推動根據，但是缺乏證實根據。此外我甚至不知道，是否 我的道德是一妄想（一個進行虛構的想像力的理想）。如果沒有報 償；如此甚至會是對道德原理的一個巨大反駁。…道德也需要證實 並且我們至少要能將報償思考為可能的。否則當我沒有理由去思考 和期望報償時，我的道德無非就是妄想。 （MM II, 29:637） 首先，我們可以確定，報償概念其實就是最高善的概念，因為我們可以看到康德 這麼說：「報償是一物理善，它是為了一道德善而被賦予，或者是因為人們配得 此善而被賦予」，（MM II, 29:635）此即德福一致的概念。而從推動根據和證實根 據的區分，我們可以確定康德在此不認為德福一致乃是道德動機，但是何謂證實 根據卻令人費解。或許我們可以以康德在談及理論知識時對此概念的用法來理解 它：「自然知識的實在性可以透過經驗被證實，儘管它是先天可能的且先行於一 切經驗」 、 （Prolegomena, 4:296） 「所有純粹知性知識本身都將它的概念給與自然， 並且它們的原理都通過經驗被證實」 。 （Prolegomena, 4:329）在這裡很清楚的是， 純粹理論知識本身的有效性不依賴於經驗，但是經驗卻可以確認它們的實在性。 我們可以設想純粹理論知識雖然規定了自然世界運作的法則，但它們本身並不提 供被法則所規定的內容，唯有經驗才直接給予我們法則運作的範例。與純粹理論 知識相比，道德離經驗世界更遠，它直接規範的對象甚至不是自然所在的現象世 界，而是另一個世界，即理智世界的成員，所以它本身的有效性不需要以現象世 界中的報償為根據。但是也正因為如此我們更難看出道德與我們生活的現象世界 有何關聯，而如果道德法則完全只與我們的理智有關，我們身為現象中的人不免 會懷疑，這種完全只屬於心靈的規範會不會只是我們的心靈自己妄想出來的產物。 1

只有 Smith（1984）和 Friedman（1984）有接近的詮釋，但他們仍未注意到 Moral Mrongovius II 中該詮釋較完整的根據。 5

這時後若有德福一致的概念，它所要求的幸福就會起到讓道德與此現象世界發生 關聯的作用，使道德不再顯得只是一虛無飄渺的空中樓閣，此即德福一致作為道 德證實的功能。 以 Moral Mrongovius II 中的談論為線索，我們可以進一步將此詮釋連結到康 德在其主要道德哲學著作中的談論上。一般公認康德在 1784 年出版的《道德形 上學之基礎》代表了他成熟時期倫理學的開端。在此著作中，康德從一開始自普 通的道德理性知識中分析純粹法則時便提到，道德的絕對價值儘管可以得到一般 理性的一致同意，但總還是會產生它「暗地裡只是以好高騖遠的幻想為基礎」的 懷疑。（GMS, IV:394）這個不穩固的基礎加上人類感性需求和愛好與此純粹性的 衝突更容易產生所謂的「自然的辯證」 。 （GMS, IV:405）這使人類本性上就存在著 巨大的誘惑從根源上放棄道德的有效性、純粹性或嚴格性。康德認為這種自然的 辯證如同在理論理性那裡一樣只有透過「對我們理性的一個完全的批判」 （ebd.） 才能根絕。根據康德批判哲學的一般結構，我認為一般將此批判僅理解為康德之 道德規範理論的解釋忽略了批判的核心就是在處理辯證的，一個完全的批判必定 要包含一個辯證論。如果這樣的理解無誤的話，解決自然的辯證最終將需要一個 最高善理論，因為最高善問題正是《第二批判》中〈純粹實踐理性之辯證論〉所 要解決的課題。若最高善得以可能，則道德法則將不僅與感性世界有了關聯，最 終也將不再與人類的感性需求與愛好發生衝突，那麼產生自然之辯證的危險也就 獲得了紓解。 結論 在本論文當中，我首先分析了對康德最高善理論常見的三種詮釋。其中理性 興趣詮釋與道德動機詮釋帶有明顯的缺陷，至於做為主流的道德義務詮釋，其本 質上的困難在於康德已經有一獨立的道德規範理論，要麼它是不完整的，以至於 還需要最高善理論的補充，要麼最高善理論乃是畫蛇添足、沒有絕對的必要性， 且甚至會破壞其基本原則。反之，我嘗試指出可以以 Moral Mrongovius II 為根據 建立的道德證實詮釋正好能凸顯最高善理論與道德規範理論的不同功能，並以此 證立最高善概念的必要性。

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參考文獻 原典： Kant, Immanuel, Katharina Holger, Eduard Gerreshelm, Ingeborg Heidemann, Gottfried Martin, Preussische Akademie der Wissenschaften., deutsche Akademie der Wissenschaften zu Berlin., und Kant-Gesellschaft. Landesgruppe Rheinland-Westfalen. Gesammelte Schriften. Berlin: G. Reimer, 1902. 二手文獻： Anderson-Gold, Sharon. “Kant’s Ethical Commonwealth: The Highest Good as a Social Good,” International Philosophical Quarterly, 26(1) (1986), 23-32.

Auxter, Thomas. “The unimportance of Kant's highest good,” Journal of the History of Philosophy, 17(2) (1979), 121-134.

Barnes, Gerald W. “In defense of Kant's doctrine of the highest good,” Philosophical Forum, 2(4) (1971), 446-458.

Beck, Lewis White. 1960. A Commentary on Kant's Critique of Practical Reason.

Chicago: University of Chicago Press.

Beversluis, John. “Kant on Moral Striving,” Kant-Studien, 65(1-4) (1974), 67-77.

Brugger S.J., Walter, “Kant und das höchste Gut,” Kant-Studien, 18(1) (1964), 50-61.

Friedman, R. Z. “The importance and function of Kant's highest good,” Journal of the History of Philosophy, 22(3) (1984), 325-342.

Hauser, Linus. “Praktische Anschauung als Grundlage der Theorie vom höchsten Gut bei Kant,” Kant-Studien, 75(2) (1984), 228-236.

Mariña, Jacqueline and West Lafayette. “Making Sense of Kant's Highest Good,” KantStudien, 91(3) (2000), 329-355.

Murphy, Jeffrie. “The Highest Good as Content of Kant’s Ethical Formalism,” KantStudien, 56(1) (1965), 102-110.

Reath, Andrew. “Two Conceptions of the Highest Good in Kant,” Journal of the History of Philosophy, 26(4) (1988), 593-619.

Silber, John R. “The Importance of the Highest Good in Kant's Ethics,” Ethics, 73(3) (1963), 179-197.

Smith, Steven G. “Worthiness to be Happy and Kant's Concept of the Highest Good,” Kant-Studien, 75(1-4) (1984), 168-190.

Zeldin, Mary-Barbara. “The Summum Bonum, the Moral Law, and the Existence of God,” Kant-Studien, 62(1) (1971), 43-54.

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Zobrist, Marc. “Kants Lehre vom höchsten Gut und die Frage moralischer Motivation,” Kant-Studien, 99(3) (2008), 285-311.

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評論 林正昊－如何理解康德最高善概念 蘇筱鈞／法國巴黎第十大學哲學博士

康德藉由最高善的概念的提出掀起一次西方倫理學中重要的哥白尼革命。這個哥白尼革命象徵一個 目的論以及義務論間的翻轉。在這篇〈如何理解康德最高善概念〉的文章裡頭，林正昊透過探討「 最高善」概念帶我們一同進入康德倫理學原則與最高善概念之間看似相互相應卻又自相矛盾的衝突 關係。當我們欲瞭理康德倫理學全貌時，除了探究其道德倫理規範的理路，自不能忽略康德對整體 倫理學論述的補充：最高善。然而，康德最高善這個概念與康德的倫理學似乎有概念上的相互矛盾 ，導入最高善的結果似乎適得其反地使得康德的倫理學基礎建立在悖論之上。 在1785年的道德形上學基礎以及1788年的實踐理性批判中，康德認為倫理學是哲學的重要一環， 而倫理學必需建立一套道德法則。它是普遍有效的，而不是在偶然的條件下才有效。例如廣為人知 的「道德無上律令」(Impératif catégorique)則是無條件地、不受任何外在因素影嚮，個人使用意 志遵從實踐理性的命令，義務地行善。但是最高善的概念卻是一個福德一致的概念。所謂福德一致 指的是我的德行和我能得到的幸福總能按照一定比例分配。因此衍生的問題有：一、康德的道德形 上學立基於對古典哲學的批判之上，認為斯多噶以及伊比鳩如學派混淆了德性與幸福，指出二者之 間沒有必然的關聯性。卻提出了最高善這個德性與幸福一致的概念，康德如何自圓其說？二、做為 康德倫理學金字塔中的最高善，如何同時是一種德性，並且符應我們的感性經驗？ 正昊以康德第一批判（純粹理性批判）及第二批判（實踐理性批判）為主要文本根據，提出三個對 最高善概念的常見解釋。所謂做為理性整體興趣的最高善、做為道德動機的最高善、以及做為道德 義務的最高善。分析比對這三種對最高善的詮釋突顯此三種解釋的不足，同時提出第四種可能性的 解說。 首先，正昊指出第一個常見詮釋以《第一批判》為依據。雖然康德在「純粹理性之最後目的」的指 示下提出最高善概念，但是若我們把最高善概念認做針對純粹理性批判中第三個核心問題「我們可 以期待什麼？」而生的概念，將弱化最高善的真正意涵。因為期待的對象可以不必擁有實在的可能 性，這個解釋無法補足期望以及經驗之間為何常有落差。再者，正昊提及第二種解釋把最高善視為 道德動機也是不周全的詮釋，因為以福德一致實現時，「善有善報，惡有惡報」做為我們行使道德 義務的盼望感或威脅感將與道德規範理論產生明顯的衝突。唯有道德法則能夠成為自己的動機，必 需考慮景仰、欽佩、或懼怕等道德感受將無關乎最高善。第三個詮釋以《第二批判》為文本根據視 最高善為道德義務。正昊認為這份解釋不足證成康德整體最高善理論，包括最高善的實在可能性以 及設準論的必要性。將最高善的義務視為一般義務論也無助於完善地理解最高善概念。主因義務的 要求乃在 「促進最高善」而非 「實現最高善」；此外，一個義務所要求的可能性是形式上的可能性 ，而非實在的可能性。 最後正昊以一份鮮為人知康德在1785年發表的演講錄(Moral MrongoviusII)做為線索，認為第四種 解釋除了更貼近康德最高善的概念之外，同時更能解釋康德最高善概念在道德系統中的必要性。透 過第四個最高善概念的提出，不僅僅能突顯最高善理論與道德規範理論不同功能，二者之間相輔相 成更得以補足康德道德哲學系統的完整性。 正昊提出的第四種對最高善的解說是一個報償的概念：我的德行和能得到的幸福有一定比例的分配 。這個分配必需要是有可能的，至少我們要能將報償思考視為有可能的，否則我的道德無非只是妄 想。透過「推動根據」與「證實根據」的區別我們可以確定德福一致不是道德動機，最高善必需具 備證實根據。可是證實根據令人費解，最高善將如何在經驗世界中被證實？正昊認為也許我們可以 運用康德談論理論知識的方法來理解最高善，即：「自然知識的實在性可以透過經驗被證實，儘管

它是先天可能的且先於一切經驗。」 在這裡，我想提問第一個問題：我們是否可以將最高善這個概念比擬或視為自然知識？換言之最高 善是一個自然知識的概念嗎？ 第二個問題是：針對正昊提出的第四個最高善的詮釋是一個補償概念的解釋。La rétribution / la rémunération , 好比我工作了一整天以辛勞得以換取了一頓美好的晚餐。只是這個補償的概念是一 個即將到來卻還沒有來的一個未來事件，我們如何在經驗世界中經驗這個尚未到來的經驗？ 最高善將報償在經驗世界裡有德行有善行的人，可是為了讓我們心願臣服地執行善行以求德福一致 ，我們是否可以驗證它的真實性？這個報償的思考如何在經驗世界中可能？它是否是一個類似基督 教死後世界的報償（所謂另一個世界）或佛教講的來生？ 正昊認為缺乏一個最高善概念的倫理學系統是不完整，因為康德的批判哲學的核心正是處理辯證論 ，也因此這個批判要完整不能不包含一套辯證論。在此我認為如果正昊能夠針對最高善在辯證論裡 的角色及特質稍加解釋，相信能更讓我們理解最高善概念這個看似矛盾的概念在康德的倫理學系統 中隱含的必要性。

在現象學邊界上的問題－ 關於死亡的現象學 The limit problems of phenomenology－ On the phenomenology of death

楊運弘／德國弗萊堡大學哲學博士候選人 Yun-Hong, YANG / PhD Candidate in Philosophy, Albert-Ludwigs-Universität Freiburg, DE

評論 Commentary： 吳宗遠／法國巴黎第八大學哲學博士生 Tsung-Yuan WU遠／ PhD Candidate in Philosophy, Université Paris 8, FR

在現象學邊界上的問題 －－關於死亡的現象學1

他呼喊把死亡演奏得更美妙些死亡是來自德國的大師 他呼喊著把小提琴拉得更黑暗些你們就像煙升向天空 而你們在雲中有個墳墓躺著並不狹窄 --保羅．策蘭《死亡賦格》2

1.0 問題與導言－關於死亡的討論 「死亡」作為哲學的議題而言，在哲學史上向來與宗教和神學問題糾纏不清。 即便康德將通過理性限度的闡明，將宗教和形上學問題與神祕主義切了開來。到 了費爾巴哈在其經典《基督教的本質("Das Wesen des Christentums")》3等討論， 1

本文主要書目涉及胡塞爾與海德格生前未出版的整理手稿，作為現象學當代思考的歷程是沒有 疑問的。但手稿文件是否能代表胡塞爾關於死亡等－現象學的邊界問題的完整論述結構，此點在 文獻考掘上是存疑的。可參考 Hua XLII，編者 Rochus Sowa 的導言。海德格手稿亦同。 另本文以夾敘夾議的方式，發佈於"歐洲台灣青年學者人文社會學會"，期以其他領域的研究工作 者進行交流。感謝法國第八大學博士候選人吳宗遠先生以當代法國思潮的觀點提供許多寶貴意見 與討論。 2 原句如下 "Er ruft spielt Süßer den Tod der Tod ist ein Meister aus Deutschland er ruft streicht dunkler die Geigen dann steigt ihr als Rauch in die Luft dann habt ihr ein Grab in den Wolken da liegt man nicht eng". 本引文源自 Theo Buck, Paul Celan, "Todesfuge / mit einem Kommentar von Theo Buck und fünf Gouachen" von K. O. Götz, Aachen : Rimbaud, 1999. 原詩為保羅．策蘭於 1948 年出版物"Der Sand aus den Urnen"後重新收錄出版於其作品集，"Der Sand aus den Urnen. Mohn und Gedächtnis", Paul Celan Werke, Teilbd. 1: Text / Teilbd. 2: Apparat", Mitarbeit: Allemann, Beda; Bücher, Rolf; Gellhaus, Axel, Herausgegeben von Lohr, Andreas., Suhrkamp Verlag, Frankfurt am Main 2003.策蘭為猶太人， 但亦為海德格邀請入住 Todtnauberg 俗稱海德格小屋的友人之一。策蘭還因此以"Todtnauberg"篇 名寫詩。海德格晚年曾再邀策蘭，但等候到的卻為策蘭自殺的消息。策蘭與海德格的關係亦因納 粹問題有所爭論。德希達曾於 2001 年與北京大學演講時，在"論寬恕"的主題中，通過海德格與 策蘭的關係闡釋寬恕的問題。中譯篇名為〈寬恕：不可寬恕和不受時效約束〉，杜小夏譯，載於 《江蘇社會科學》2002.1。 3 宣告"神是人類之鏡"，"神是為人類宣布其自身，那顯見的內在。"原文為"Gott ist der Spiegel des Menschen."，"Gott ist das offenbare Innere, das ausgesprochene Selbst des Menschen."。Ludwig Feuerbach: "Gesammelte Werke", hrsg. von Werner Schuffenhauer, Akademie Verlag, Berlin, 1967.

Band 5, S. 127 und 166. Hervorhebungen von Feuerbach. 原書出版時間為 1841。費爾巴哈全集第五 卷，127 與 166 頁。書中的討論揭露神的本質即作為人異化的映射與複本，而宗教反過來制約了 人的一切。費爾巴哈未曾論及自己是否為無神論者。僅批判宗教(指的是基督信仰)的本質其實是 1

劃下了作為當代哲學對於宗教問題討論的分野，死亡問題在哲學上才真正開始擺 脫宗教與神學的意味。然而這個分裂並非問題的結束，而是做為屬於人性 (Humanismus4)的現代意義問題的開端。怎麼說呢?原先基督教神學經過千餘年的 辯證確立的上帝－耶穌－人的位格性。人作為上帝的複本，通過主耶穌的寶血而 獲得其特殊於世界的意義，死亡作為一種復甦與再生(rebirth)的必經過程，最終 回歸到完滿的最高善的國度之中。人與人，人與世界的關係建立在一個豐富意義 的神學系統中。當科學知識通過實證與推理裂解了原先宗教意義的神聖性。人類 作為生物，為通過解剖學(Anatomy)5與生物學所理解的物體。生前死後的世界亦 無法通過檢證獲得。如果人無異於其他生物，那麼其作為生命以及創造意義的能 動性是否可能?浪漫主義文學瑪麗‧雪萊(Mary Shelley)的《科學怪人 (Frankenstein6)》一書揭示了這個奇特的狀況。作為受造物的主角，只能在眾腳 色的對話之間以一個無以名之的怪物(the monster)等不斷的被論及7。連主角的自 我理解亦是充滿的他者的各種見解，這個他者或是科學的、是慾望的、是宗教的 也或是世俗的。在原先中世紀所建立的屬人的精神生活的可能性與秩序瓦解後， 十九世紀飄盪著似人非人的重構狀態。一方面在現實科學知識與技術的不斷突破， 宗教與神話的神祕狀態相應的消散；二方面浪漫主義同理性主義的知識份子關懷， 在法國大革命與美洲獨立戰爭後似乎建立起一種自由公民生活的可能；但現實革 命與戰爭傷亡的不斷攀高，歷經一二戰的絞肉場後達至了問題的巔峰。 生命本身作為問題發展的脈絡而言，先有了祈克果(Kierkegaard)、尼采 (Nietzsche)對於存在問題的思考，而其後海德格對於死亡問題的談論，無疑的佔 了重要的一席之地而影響了二十世紀以降。提及現象學，或者將胡塞爾與海德格 的論述作為存在主義的討論有其必然。本文在此基礎上企圖觸及的三個主要層面： 死亡作為個人的，或者歷史整體的生命的極限體驗而為現象學在論述上所無法迴 避的問題；再者，兩者在此議題的論述上，其差異與相似性也為現象學運動所表 現的特殊性；同時，在現象學強調生命與哲學的一致性上，胡塞爾與海德格兩者 生命經歷所凸顯的死亡歷史、反猶-種族問題。

2.0 死亡在超越論的或者存有論的差異 無神論的。死亡問題亦同，過於汲汲於將永生、永恆等問題投入到事實的存在本身，掩蓋住問題 自身。其關於死亡問題的討論亦可參考"Gedanken über Tod und Unsterblichkeit"。 4 此詞在胡塞爾與海德格的用法本身在中文上有所歧異，不同的地方或譯人道主義、人性主義等 等。 5 解剖學在十九世紀上半葉開始發展，無疑的是逐漸擺脫了人建立在宗教上的特殊性。在此之前， 關於人類的解剖學進行正式公開的研究並不容易。 6 原書名為"Frankenstein; or, The Modern Prometheus"，"法蘭肯斯坦；或者，現代的普羅米修斯。 "，出版於 1818 年，目前通行版本為第三版，出版於 1831 年。 7 合計書內對主角科學怪人的稱呼有，"monster"、"creature"、"demon"、"devil"、"fiend"、"wretch" 與"it"。在本書後段主角科學怪人提及自身有"vile insect"、"abhorred monster"、"fiend"、"wretched devil"與"abhorred devil"。作者本人論及這個受造物的名稱時，論及其名為亞當(Adam)。可參考 文本 Frankenstein: Penetrating the Secrets of Nature., Susan E. Lederer, 2002.

2

如前所述，對於現象學企圖建立一個堅實的科學基礎而言，意識-語言-語言 的三重關係，對於現象的觀察、描述、分析與還原工作來說。死亡問題瀕臨了思 考上的界限，一個我們所無法實質的體驗，僅能以指向外在的不在場顯現認識， 卻是生命無法迴避的現象。而作為界限上的思考，死亡問題又如何揭示此有 (Dasein)的可能性意義? 胡塞爾在現象學奠基的開始即對於當時的科學做出了回應，即反對自然主義、 心理主義與歷史主義的觀點。在這個基礎上，人類學作為一門科學同樣無法建立 在自然預先的設定、心理的與歷史的結構。死亡的現象作為現象學的界限問題8， 同樣不可能單純視之為自然物理的、心理與歷史條件的認識而必須還原其基礎。 但對死亡的不可經驗性來說，胡塞爾並未迴避這樣的特質。相反的，他將死亡與 出生、睡眠、疾病、暈厥等無意識現象並列的重新描述分析並企圖還原其結構。 9 胡塞爾設想了幾種可能的道路：由孩童時代往前追索至出生前、睡眠、昏迷、 疾病與他人的死亡，以及由自身的衰病往後推衍死亡的比較。胡塞爾在手稿的各 篇章中並不如其生前出版物般確立了許多肯定的論述，相反的留存了許多提問。 首先的第一個悖論，即我們不可能將死(Tode)以動詞的方式經歷(Sterben)， 體驗將死亡作為死亡是絕對的背謬。人只能純然以活著的方式進行生命。死亡 (sterben)超出了我們體驗的界線，也因此我們無法對於自身的死亡進行描述與分 析；再者，如果死亡作為普遍現象，但無法分析下，我們能否找出其超越論基礎 的探問可能；而後如何揭示出死亡對於生命-世界問題的意義可能。 基本上對於出生前、睡眠、昏迷與他人的死亡對於自我死亡的現象而言，分 別有各自對於死亡現象比擬的困境。如睡眠與昏迷都蘊含著重新清醒的可能特質。 自我僅作為時間流動的中止，伴隨著重新清醒取得身體性的回返。自我意識的時 間連續統一性重新開始運作。死亡現象與前者相同，但卻在後者中完全裂解身體 性地的存在可能。沒有身體，沒有清醒的可能性，即不可能有其後的體驗，也無 法以自我統一體的連結進行活動。又如出生前的可能比擬死後。胡塞爾在手稿中 則以多次不同的反思出生、生前與死亡的提問可能。10出生前是否能與死亡後做 為生命前後相應的進程，僅出生前以逼近的方式進行，而死亡後以遠離的方式進 行。的確，對於將生命作為一種極點(Pole)往前與往後的推進，理論上似乎是可 行的。然而，實際通過反思的過程卻只能前進或後退到生命歷程的某個極限。死 亡的體驗不可能也如出生之前的不可能。而在生命歷程中間向前向後的推演呢。 實踐上也注定了失敗，向著疾病與衰老與向著幼童的反思因著越來越貧乏 (Verarmung)而同樣有其極限，其外，終究同出生與死亡的體驗極限是有所差距 的。而他人死亡的觀察是否可能。這點上通過現象學心理學也宣告思考的不可能， 8

按照手稿及全集編者整理，胡塞爾對於死亡的思考橫跨二零年代下半葉至三八年過世前。時間 上是晚於海德格 SuZ 出版時。 9 即 Hua XLII 第一部份全文。頁 1-82。 10 同上，第一部份附錄五，即特別對於生前與死後的問題分析。BEILAE V. Die Frage '"vor der Geburt"－"nach dem Tod"。頁 22 3

即超越現象學共在地超驗自我的還原，即把他人經驗體驗為世界中另一個存在的 自我。在生命當中，這樣的還原是可能，但當共在的基礎，即自我意識與身體的 消亡，也同樣宣告了死亡的不可替代性。11出生相應於死亡，是自我極(Ich-Pole) 作為意識開始的端點作為時間意識的開端12。然而，去人格化(Depersonalisation) 的死亡卻並非等於終結。 怎麼說呢?對於世界的結構而言，生與死作為世界體驗，以及在世界體驗之 中的超越意義。是作為從我而來的超驗結構的世界中的事件與它的超驗意義。我 的出生亦同。我，現象學家，在現象的世界中構築我自身作為人類。我超驗的生 活在超驗的內在沉思之中-在它的無窮無盡中。13甚麼是超驗的生活，即以世界生 活(Weltleben)14與持續不斷的世界生活方式前進著的生活。而這超驗生活是在我 內在的原初世界結構中所給予的。超驗自我與超驗結構的世界並非故弄玄虛的用 詞，相反的，胡塞爾指出其使得在現象中將我與我的世界結構作為可能性的可能。 而在現象中，我們的生活是以各式各樣可能性的方式由當下朝向未來的方式進行 著，死亡在此意味著我與我的世界的「完結(Ende)」15。甚麼是這種完結，當肉 身(Leib)轉變為屍體，精神生活，即主動的與被動的意向性之流皆被中止。16它 取消了在空間世界以及世界的時間性的所有事件(nicht mehr Vorkommnis)。死亡 將肉身轉化為軀體物理性死亡，而中止了所有朝向未來的可能的可能性。那麼在 現象中，死亡之後還有甚麼，胡塞爾僅給出了一個斷言的概念，虛無(nichts)。然 而，這裡的虛無並非空無，而是以非存有(Nicht-Sein)17的方式持續存在著而消融 於世界之中。而世界是無法被取消的。死亡在此無法作為獨立的現象，必然與生 命進行連結而作為生命的完結。我與我的世界結構的意識在此對胡塞爾是一個重 要的連結，區分了人與其他生物的特質性。只有人才能以此有(Dasein)的方式持 續的進行對於世界的體驗。此有以獨特的兩種生活形式朝向未來持續的體驗世界， 被動的自身規範(Selbstregelung)的形式與能動的自身給與立法 (Selbstgesetzgebung)的方式生活著。人類的特殊性在於意識到死亡作為不可能的 必然性，而將以未來的方式終止所有的事件與體驗。我們能有意志的在世界中進 行自身的生活。活在世界中，並消融於世界中。18 11

這點參見胡塞爾全集第一卷《笛卡兒的沉思與巴黎講稿》，"Cartesianische Meditationen und Pariser Vorträge", Husserliana Band 1, hrsg. von S. Strasser, Dordrecht/Boston/London Kluwer Academic Publishers 1991, S. 130f.

12 參見胡塞爾《內在時間意識現象學》，"Vorlesungen zur Phänomenologie des inneren Zeitbewusstseins", Hrsg. von Martin Heidegger, Niemeyer, Halle 1928.

13 Hua XLII 第一部份全文。頁 1。對於超越意識的特質也可參考《純粹現象學通論》41 節，"作 為世界毀滅之殘餘的絕對意識"，這種意識具四個特徵：內在性、絕對性、對物的獨立性與純粹 性。 14 以世界為背景的生活。 15 同前揭書，頁 1。 16 同前揭書，頁 1。 17 同前揭書，頁 75 18 胡塞爾保留去人格化做為非人的特質，原因即在於精神疾病者的特殊生活並未取消其人的特 徵。只是自我與世界以非人格的方式展現。死亡的非人格化乃聯繫於自我消融於世界之中的變樣， 並非終結。同樣的，胡塞爾在目前手稿中區分無夢的(traumlos) 的睡眠。然而有夢的睡眠與夢本 4

而對於海德格來說，死亡現象是作為此有的時間性結構分析的重要元素。在 基礎存有論的分析上；此有是向朝向死亡的；此有的可能的整體性必須包含死亡； 作為此有的時間性的界限。 海德格採取基礎存有論而不以胡塞爾的超越論的原由在於，基本立論之一即 反駁胡塞爾超越意識的特徵。的確，此有是作為在世存有(das In-der-Welt-sein) 的方式。人的存在即作為一種生活在世界之中的存在。而這種存在是以結構的整 體性展現自己為關注(Sorge)19。即，體驗此有做為存在本身而存在的存在者的領 略，也就是存有的結構的整體性在時間性上被把握。我們關注死亡，關注的即生 命作為時間性的整體結構。死亡並非作為獨立現象來掌握，而僅作為存有的完結， 需要由生命的整體性來理解。對海德格而言，存有論是一種解釋可能方式。一切 解釋都有其先行條件，並且對於這些先行條件理解與掌握。現象學作為一種詮釋 學的處境，對於此有的存有論的闡釋，必須先就此有作為存在者而言所特有的存 在要件進行解析。而這個存在要件，即存在者的存在方式。20 那麼，甚麼是此有作為存在者的存在方式。海德格採取的路徑是回歸到生活 的日常性上。日常生活即生死之間的存在，由開始到結束，其以時間性的方式開 顯21。在世存有的完結，即死亡，即存在者存在的結束。22死亡作為完結的理解 是必須的，唯有生命的完結這個界定，才有將人作為整體的理解可能。必須通過 死亡的領略才能把握住將生命作為整體的理解。所以存有論上死亡現象的分析是 必須的，理解朝向死亡的存在，才能將此有以存有者整體結構的方式進行理解與 討論。 海德格同樣嘗試進行幾種對於死亡現象分析的差異。首先是針對軀體的死亡 現象，在最廣義的角度而言，死亡是一種生命現象，被理解為必然的包含在生命 中的一種在世存在的方式，也就是生物學的終結的(terminologisch)意義。23這種 終結宣告著僅是物理性的衰敗，非現象學所要探討對於人作為此有的整體分析， 而僅僅停留在一種物的動詞性的分析。死亡作為一種物理性的終結是知識上的理 解的標誌，卻非死亡本身。對於心理學、神學問題等亦同。再者，他人的死亡是 否可能作為一種理解此有死亡的方式。若他人作為死者，的確死亡在他者那裏以 一種不在場顯現的方式得以重新開顯。然而，我們所體驗的並非他人的死亡，而 是他人仍然持有生命直至最後一刻的狀態重新被招喚出來。死亡的體驗本身是無 法被重新開顯的。原因在於，確實在此有的替代性上，我們得以能以現象學的方 式，與他人交流體驗並以客觀的方式體驗到他者的體驗可能。但客觀的體驗到他 人的死亡，此此有與彼此有的共在(Mitsein)將會在彼此有經過死亡現象後產生差 異。在這個共在條件消失的同時，也意味著交流可能性的中止，他人的死亡與我 身作為現象的分析目前則闕如。 19 SuZ. 頁 231。 20 同前揭書，頁 232。 21 同前揭書，頁 235。 22 同前揭書，頁 232。 23 同前揭書，頁 237。 5

的自身死亡體驗的可能性仍然是不可能的。 存有學在此對於死亡的提問，是我們所感受與遭遇的邊界為何。海德格以此 有的整體性出發提出了三個論題；1.對於此有的存有而言，是以尚未的，始終缺 匱的方式存在。2.向著尚未完結的存在者的完結到來(Zu-Ende-kommen)，其具備 的不再是此有的性質。3.完結到來包含著一種，對每一個此有都完全不能更替的 存有模式。24這似乎存在著一種相反的邏輯，此有既然通過死亡作為完結而獲得 了整體性。那麼為何又始終是匱乏的方式。 通過時間性結構的分析，死亡本身就是永遠以尚未的方式在此有的整體性中 顯現。時間性的持續就意味著變化的可能的持續，因此對於此有而言，在完結到 來前，這種始終缺匱的方式是必須的。海德格以月的盈虧為例，盈虧與否都是整 體在現象上的不同顯現。但也只能顯現其部分，我們不可能共時的一次性經歷月 相的所有變化，但對於月的完整性而言，包含了從滿月到弦月的所有可能性。此 有的諸多經歷，就是不斷的在可能的可能性上進行諸種開顯的可能。 完結也意味著不同的可能意義，可能是雨的狀態，雨的結束代表著雨的狀態 解除，雨的存續中止且取消了原先的狀態；完結也意味著路徑的可能，路徑的中 止僅作為中斷，而原先的狀態保留在最後中止的那個部分；也可能是藝術作品的 最後一個工序，隨著工序的完結而作品本身才隨之完成。然而，對海德格來說， 死亡現象做完完結的分析是獨特的。這些完結的樣式沒有一種能適當的標繪出作 為此有完結的死亡。25死亡的完結意義是以獨特的"尚未"所展現，對此有而言， 死亡的完結並非是完結的存有(Zu-Ende-Sein)。而是，本就朝向完結的存有(Sein zu Ende)，亦即向死存有(Das Sein zum Tode)。 作為完結意義的死亡現象對於現象學而言為何是必須的。基礎存有論強調此 有的自身關注，死亡作為一種無法不得不面對的存在的可能性。相應於生命的可 能性的可能，死亡作為可能性的不可能標誌在時間的未來而在當下呈現。死亡是 隨時可能的。但死亡的不確定性與死亡的確定是同時並行的。26我們都知道死亡 會發生，並中止了一切的可能，但我們總無法獲知它在時間序列中何時嘎然而止 的降臨。故此，死亡實現的同時，對此有而言也就意味著實現的所有可能的中止。 我們無法對於死亡的體驗有任何的探問。 對於日常性而言，生活上持續的近循環狀態遮蔽了我們對於日常體驗的可能 性。誤認了生命會以例行性的方式進行而沒有終結。通過對於死亡理解，生命終 將走向中止的驚覺與領會生命的限制性，而重新揭示日常體驗的可能性。我們所 能體驗的一切皆為生命的可能性，但唯一能確定的，乃在於最極端的可能性，即 死亡，獲得生命的完整構成結構。海德格認為，生命的自由特徵必須建立在這無 可踰越的限制之上，在此有時間性的完整結構中。也通過這樣時間性的結構，才

24 25 26

同前揭書，頁 242。 同前揭書，頁 244-5。 同前揭書，頁 258 6

有可能建立起此有的歷史性，並相應的展開關於生命真理的可能。2728

3.0 作為現象學的界限問題 對於現象學強調作為知識的基礎與生命實踐的一致性－－"回到物自身"，成 就了現象學百家殊異，卻殊途同歸的核心問題意識。在這點上，如康德劃下了形 上學的限度，現象學也將意識作為了其邊界。即便胡塞爾與海德格對於死亡作為 現象學的界限問題上有異同，但卻不約而同的意識到生命實踐的問題。在胡塞爾 那裏，對於無意識的諸多提問，其中之一的必須理由即對於價值實踐的可能性， 在同死亡問題的全集 42 卷，表現在神學與倫理學問題上29，以及其他關於歷史 性問題的關懷30。而海德格一路思考發展的脈絡，基礎存有論也始終是抱持著對 於此有-人類/人道及其狀態的關注。然而，作為論述與生命體驗具備關聯性要求 的現象學，現象學家們如何實現其生命實踐的可能，並以此檢視現象學真正的不 僅從知識上，亦從生活上回到物自身呢。 的確，我們可以將胡塞爾與海德格在學術研究上留下的作品與手稿將之視為 生命實踐歷程之一。然而，作為現象學運動的發展史而言，兩人的歷史歷程卻揭 露了另一段現象學運動的發展特質以及最為核心的對於知識與生命實踐一致性 的問題。從列維納斯(Levinas)31與洛維特(Löwith)32的回憶文獻角度來對比胡塞爾 與海德格的著作與講學風格。胡塞爾在個人出版物揭示了極為精密的思考歷程， 力求嚴謹、系統與精確以奠定現象學作為嚴格科學之哲學的基礎。然而其講學與 對於學習者的關懷卻以風趣與饒富興味的授課方式，講授現象學於當時的 Freiburg 大學，而環繞了包含海德格等後來許多著名的學者。胡塞爾對於諸多問 題保持興趣，這點在大量遺留下來的手稿中一覽無遺，也開啟了現象學運動多元 風格的特質性。這多元的特質即展現在胡塞爾學生各種不同的現象學主題。不可 否認， 《邏輯研究》或者《觀念》I 的著作為當時的學界帶來一股新的風格。除了 哲學學門外，也與史學、法學、社會學等其他學門進行交流並產生影響。但對於 現象學發展而言，胡塞爾直接的育成了眾多後來的學術研究者。也得力於此，胡 27

同前揭書，頁 264 參見海德格在全集七十卷手稿中，120 節留下了關於死亡的存有本質的六個命題，頁 138。 Martin Heidegger, Bd. 70 "Ü ber den Anfang", Coriando, Paola-Ludovika (hrsg.), Verlag Vittorio Klostermann, 120. Das seynsgeschichtliche Wesen des Todes, S.138.在這節當中海德格也提出所有 的人類學在死亡面前都是徬徨無助的，而所有關於死亡的良好討論，都建立在對死亡提問性的認 識上。 29 參見 Hua XLII 編者導論。 30 如《歐洲科學危機與超越現象學》的思考。 31 參考列維納斯半回憶錄式的論文集。'Husserl, Heidegger, Jean Wahl'一章頁 37-92，"Die Unvorhersehbarkeiten der Geschichte." Aus dem Französischen von Alwin Letzkus, Freiburg i.Br. / München: Karl Alber, 2006.

32 可參考洛維特的回憶錄 Karl Löwith, "Mein Leben in Deutschland vor und nach 1933." Ein Bericht, neu herausgegeben von Frank-Rutger Hausmann, mit einem Vorwort von Reinhart Koselleck, 2. Aufl., 2007.中文譯本為《1933：一個猶太哲學家的德國回憶》，行人出版社，2007。 7 28

塞爾的手稿得以在納粹時期輾轉的被保存下來。相應的海德格的影響力卻是在其 著作的字裡行間中散發，以充滿魅力的文字風格吸引了全世界各地的學生出席其 演講與討論課程。列維納斯稱其為哲學的巨星(Super Stern)。然而，在講學的風 格中，相反於胡塞爾，海德格是以冷靜、秩序與嚴峻的讀稿風格著稱。其後在思 想上的影響，同樣與胡塞爾與其他學者進行交流，但無疑地，海德格是以其對於 存有問題的豐富解讀，間接地影響擴大了現象學的傳播。 我們只能以純然的活著進行生命。這般歷史的背景作為現象學的開端，現象 學的多元性即建立在各種不同的思考者如何以其活著的方式進行著生命，通過思 考，將生命體驗的進行現象學的問題化(Problematik)。33的確，現象學問題的思 考界限在於意識與意義如何開展，換言之，對於跨越意識與意義之後，亦即死亡 的問題，現象學對此保持沉默。然而在這有限的條件下，誠如海德格在基礎存有 論所揭示的，已得以對於真理進行無止盡的開顯的可能。 同樣建立在一個思考者身為此有的狀態，多元性最終回歸的是思考者的生命 歷程本身。對於此有的不斷開顯，或者藉由胡塞爾的話來說，對於事物自身的不 停追問。作為思考者的思考來說，保持其自身的統一作為對於生活體驗的基礎。 各種問題化的過程也必然奠基在某種保持統一的前提條件上，即便隨著時間性的 發展可能產生了轉向(Kehre)。也才能察覺到自我與思考到世界差異與豐富性的 可能。然而，這個現象學的先決條件在海德格的生命歷程中，產生了問題。

4.0 生命與實踐一致性的疑難 胡塞爾現象學揭示了思考與生命的一致性問題，所有的認識必須回到體驗當 中，並通過分析獲得其穩固的基礎。其著作相應於這個條件，是胡塞爾現象學發 展過程中，各種問題始終環繞的基石。通過對於死亡現象的分析，重新檢視了對 於人類存在的自然態度與現象學態度的差異，即死亡對於生命而言的特殊性，並 非單純生物條件的結果；而更多的，即便許多死亡的分析尚未定論，是對於通過 無法跨越的界限的思考使得自我重新與世界進行連結可能。這點海德格的基礎存 有論則是以更完整論述將其置於此有的時間性結構分析中。 但在歷史發展中，如若思考與生命處於一致性的狀態，我們要怎麼思考海德 格在他者-即閃族/猶太人的消亡上所持有的思考與立場。特別是，對於死亡問題 的重新翻轉了人類學的思考。3435

33

參見 Hua XLII 編者導論。以及胡塞爾本人在手稿中的關鍵詞記載。 另外，在人道主義這問題上，海德格與卡西爾(Ernst Cassirer)曾經有數次的論戰。又或者可參 考海德格於 1946/47 回應 Jean Beaufret 的關於人道主義的書信，收錄於海德格全集第九卷《路 34

標(Wegmarken)》 。 35

在這點上，胡塞爾的生命歷程已面向部分問題。胡塞爾雖未經受猶太人集中管收的迫害。但 從三零年代初的反猶浪潮被剝奪終生教授的資格到一九三七年胡塞爾被迫搬離自身住所，不到一 年即在三八年病逝的歷程，其作為受迫者仍能持續不斷的寫作，對於各種現象進行追問。這點可 8

海德格與納粹、種族主義的問題之所以會成為二十世紀多次哲學論戰的主題， 即肇因於現象學所強調對於思考與生命/生活體驗的一致性問題。36除了德國的排 猶浪潮，二戰萬湖會議決定的猶太人最終解決方案(Die Endlösung)37之所以比之 十九世紀以前的種族問題更為嚴重在於，嚴格來說這不是一種歧視，是一群人有 系統的消滅另一群人，並以理性的分析與定義規劃出這樣的範疇，而這是以同等 立場視之的思考。如前所述，對於"人類"此一概念的思考來說，有很長的一段時 間並不將他者視之為同等立場，好比階級、物品以及其他不具人性的生物。最終 解決方案是人類歷史上第一次出現以系統、規模並持續性的合法消滅另一群視之 為人的他者。由歷史的回顧重新回到海德格的文本中所呈顯的問題有二，其一， 異於胡塞爾始終將自我意識推至極限的考察；海德格以在世存有的特質性，此有 是被拋入進世界中而存在著。對於死亡現象的分析揭露出，從向死與必死完整性 中建立起生活體驗意義的結構，而這個意義永遠是在開顯與遮蔽中，以匱乏的方 式存在。換言之，意義，或者生命真理的開展並不是由作為人類的此有所建立， 而是通過此有在開顯與遮蔽的方式中顯現其自身。人類僅作為此有開顯的方式之 一38。所以在此，生活體驗的結構是通過對於生命體驗的描述所建立，而非以知 識性的構造定義，這也是海德格所強調對於存有的遺忘與傾聽。因此，海德格的 存有論是以重新招喚人類存有的方式否定人類的存有，或者說，一切概念的闡釋 都只是真理開顯的可能之一。列維納斯對於海德格的批判亦基於此，在基礎存有 論中，自我與他人都被存有的真理所取消。由此衍生出其二，涉及他人的倫理學 是無法由存有論中獲得結實的基礎，事實上，海德格強調的真誠性(Authenticity， 即本真)的方式，正取消了具體個人生活體驗的特殊性。對應著二戰後海德格其 對於自身傾向納粹與反猶既不言是亦不言非的問題。 以海德格為連結的哲學思想對於二十世紀的而言是無可取消的，胡塞爾、芬 克、漢娜鄂蘭、雅斯培、高達美、沙特、列維納斯、梅洛龐蒂、德希達與哈伯瑪 斯等等。海德格的納粹問題，一次又一次的因著現象學的特殊性而產生了爭論， 而隨著最新的筆記正式成為海德格全集的卷目(94、95、96)出版。無庸置疑的證 明海德格曾在三零年代留下了對納粹傾心與歧視猶太人的思考足跡。或許可以如 漢娜鄂蘭一般爭辯著思想與生活的差異性，但這無疑的是撥離了海德格的存有學 之所以稱之為現象學的關聯。而因著現象學的特殊性，無法輕易取消的海德格思 想，其強調生活/生命與哲學的交融。我們該如何辨析出海德格思想中可能幽暗 而隱微的納粹、種族與反猶思想呢? 從手稿斷斷續續持續到一九三八年可知。再者，從目前的文獻與書信看來，胡塞爾仍能坦然面對 生活，並將經力集中於現象學的研究。可參考《胡塞爾書信集》Husserl, Edmund. "Briefwechsel".

[Correspondence.] Edited by Karl Schuhmann. The Hague, Netherlands: Kluwer Academic Publishers.

1994.

36 而這個問題隨著過去幾年出版的著作具體的陳列了海德格支持納粹與反猶的文章而更形嚴 峻。 37 可參考萬湖會議紀念館文件陳列 http://www.ghwk.de/。 38 這點可從關於人道主義的書信中獲得。雖然通過死亡翻轉了生命的意義能擺脫對於存有的遺 忘，但對海德格來說，人類的存在方式只是此有開顯的可能之一，所謂的人道主義亦同。 9

參考文獻： Karl Löwith, "Mein Leben in Deutschland vor und nach 1933." Ein Bericht, neu herausgegeben von Frank-Rutger Hausmann, mit einem Vorwort von Reinhart Koselleck, 2. Aufl., 2007.

Herbert Spiegelberg, "The Phenomenological Movement: A Historical Introduction",3rd edition. with the collaboration of Karl Schuhmann. The Hague: Nijhoff. 1982.

Hans Rainer Sepp, (Hrsg.): "Edmund Husserl und die phänomenologische Bewegung.

Zeugnisse in Text und Bild." Alber, Freiburg u. München 1988.

Edmund Husserl, Cartesianische Meditationen und Pariser Vorträge, Husserliana Band 1, hrsg. von S. Strasser, Dordrecht/Boston/London Kluwer Academic Publishers 1991 , "Grenzprobleme der Phänomenologie - Analysen des Unbewusstseins und der Instinkte. Metaphysik. Späte Ethik (Texte aus dem Nachlass 1908 – 1937)", Husserliana: Edmund Husserl – Gesammelte Werke, Band 42, Springer, 2014. , Psychological and Transcendental Phenomenology and the Confrontation with Heidegger (1927-1931). The Encylopaedia Britannica Article, the Amsterdam Lectures, "Phenomenology and Anthropology", and Husserl's Marginal Notes in Being and Time and Kant and the Problem of Metaphysics., Edmund Husserl Collected Works, Translated by Thomas Sheehan and Richard E. Palmer., Springer, 1997. , "Späte Texte über Zeitkonstitution (1929-1934)", Die C-Manuskripte, hrsg. Dieter Lohmar, Springer, 2006 Emmanuel Levinas, "Die Unvorhersehbarkeiten der Geschichte." Aus dem Französischen von Alwin Letzkus, Freiburg i.Br. / München: Karl Alber, 2006 Martin Heidegger, "Sein und Zeit", Niemeyer, Tübingen, Zwoelfte, unveränderte Auflage, 1972., 2006. , Bd. 70 Ü berden Anfang, Coriando, Paola-Ludovika (hrsg.), Verlag Vittorio Klostermann, 2005 Theo Buck, Paul Celan, "Todesfuge / mit einem Kommentar von Theo Buck und fünf Gouachen" von K. O. Götz, Aachen : Rimbaud, 1999.

Paul Celan, "Der Sand aus den Urnen. Mohn und Gedächtnis, Paul Celan Werke, Teilbd. 1: Text / Teilbd. 2: Apparat", Mitarbeit: Allemann, Beda; Bücher, Rolf; Gellhaus, Axel, Herausgegeben von Lohr, Andreas., Suhrkamp Verlag, Frankfurt am Main 2003

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評楊運弘《在現象學的邊界上的問題--關於死亡的現象學》一文 吳宗遠／法國巴黎第八大學哲學博士 候選人

關於生機論 一種向死的存有，一種出生便開始倒數消亡的態度，卻反轉成為生命力極大展現的生機論 1 (Vitalisme) 。這是筆者對運弘這篇現象學死亡論的第一個觀感。不知為何，與法國哲學有有極深的 2 親緣性。當然我們知道，早在傅柯、德勒茲、布朗修之後，甚至早在波特萊爾時 ，生機論早已具備 雛型，論調也不令人陌生。而在哲學上，海德格的理論，影響後世思想甚巨，法國哲學家們在此一 強大哲學機器的感召下，多少都沾染一些習氣。不過，法國哲學對於思考的界限的理解，並不在死 亡，或者說，死亡是絕對的他者(Autre/Other）。相對於現象學，死亡不代表時間意識之中斷，或 者認識與經驗之不可能，「死亡/他者」比較像是空位，在眾認識感知間，一個被皺摺壓縮起來的節 點。藉由認識環繞它的所有，更證明認識它的不可能，而這樣的行為，卻又另建構出一新的名之為 「死亡」的對象，可卻不是「死亡」本身。然而，死亡若是真的無法認識，又怎麼能確認有「死亡 本身」呢？（本源缺席的思考，來自於尼采，這又是後話了。）那麼關於「死亡的真理性」(La véridiction de la mort/ the veridiction of Death)的問題，會將是這個死亡論調的最大問題：如何 確認意向著的死亡，是真的死亡本身？而不是擬似的想像之物、或昏迷、瀕死、降靈等經驗？或者 說對於死亡，我們只能意向著擬似之物？這是筆者針對現象學，以及身為現象學家的運弘提出的疑 問。 「現象學家」的身份認定 這篇論文，既是兩位現象學巨匠，對於現象學思考的界限提出說法，也交代死亡在其思想機器中， 扮演的角色，功能為何。我們也可以視為，身為現象學家的運弘，對於現象學傳統的界限問題，作 出新的積極性探問。請注意這裡，如他所欲明辨的，不是「哲學家」（philosophe），而是「現象 學家」（phènoménologiste）。在運弘的比較與延伸中，我們發現，這個「死亡/界限」問題，竟 牽涉到這樣身份的差異！然而，在筆者看來，這與敝研究項目，傅柯的關注自我，竟有著千絲萬縷 的關係。其牽涉到所謂的自我關注，不是關注作為鏡像的自我對象（我們都知道，鏡子中的自己不 是當下之我。而作為自己思考對象的「我」，也與外人看到的「我」有差別），而是現象學家只以

1. 這裡指的是以生命、生機為積極主張的思考方式。相反於死亡學，生機論以死亡作為生命力展現的催化劑，所有的行為不但是對抗 ，延緩死亡，更藉由死亡翻轉行為的意涵，不再是消極的「在死之前好好做一番事業」，而是積極的「因為有限，所以凡常與例行的 事物，取得了其單向軸線上的獨特位置」。在米歇爾‧傅柯(Michel Foucault, 1926-1984)的觀點中，現代性為一種(主體)將自我視為 一項作品的作法，但卻必須隨時的去作品化。這不僅僅是藝術家的創作，必須逃離以往的風格，不斷改進，因此必須永遠的處在「未 完成」的狀態，同時也是存有學中主體化的現象：我所觀看的我隨時逃離我的視線，而同時又被我的認知能力透過虛擬的介面(該時 代的知識型)或對象(例如「人」)再度捉回。如此，在去作品化的無盡循環中，直到死亡，作品才算真正完成。所以傅柯說，死亡是「 人」抒情向度的核心(意即永遠的隱性主題，潛台詞)，因為唯有死亡，生命、主體的論述才能完滿。 生機論常見於法國哲學家與文學家的論述中，亦有醫生Françoit Marie Xavier Bichat(1771-1801)以科學理論角度著手，給予生機論 科學實證的支持。 2. 波特萊爾（Charles Baudelaire, 1821-1867）在其《現代生活的畫家》(Le peintre de la vie moderne)一文中，直接描述現代性 (la Modernité)即是將當下永恆化或英雄化的一種態度，其實踐於藝術作品中。在該文第四節「現代性」第一段中：現代性，即是盡 其所能的避開潮流，將詩性融進歷史性中，從暫時中提取永恆。 筆者依循傅柯對這樣的現代性思維的意見，認為我們可以視波特萊爾這種「當下永恆化」的積極藝術觀或存有學，視為生機論的類似 敘述。這也可以結合我們不斷在其詩作中，目擊的死亡形象，使得當下，而非死後（如史詩）或者向死，詩性化，並說明其作為一浪 蕩子(flâneur)行為的明確理由：極盡所能的游離開當下的價值觀與潮流，以藝術手段完成對於絕對生命與自由的追求。

，也只能以自身的經驗（更仔細的說，現象學僅以自身意識作為研究對象。而這個意識可能是「對 眼前一幅畫的意識」，也就是跳出經驗當下，退至後方研究該意識，而無法同時經驗一幅畫，又同 時意識到自己正在經驗一幅畫。）作為研究對象。這樣的態度，當然並不新穎。作為現象學運動之 後的哲學家，傅柯早在其對現象學的批評中，直指現象學意識研究，與自認科學的態度，作過犀利 的批判。不過，傅柯思考必不能完全排除現象學的成績，當其不存在。事實上，傅柯的關注自我（ le souci de soi），正是研究在怎樣的時空背景（知識型態： l'épistèmé ），什麼樣的知識，權力 或資本的必然下，主體的視線被凹折回來，觀看自身，用特定的方式有意識的建構自身為主體。此 即為主體化（la Subjectivation）。然又在什麼關鍵點上，停止上述的方式，換了另一種主體化的 模式。這裡，海德格的時間性，與存有歷史的觀點（Ereignis，也可視為是傅柯「言說/事件」的啟 蒙。），無疑造成極大的影響。而在主體的自我批判，思考自身可能的條件（主體化），正是某種 意識分析的另一版本。只不過，此種意識持續後退，來檢視之前意識的作法，不見得可行，認為這 只是再度落入心理主義(Physicalisme)的無限後退困境，並不高明於胡賽爾理論成形之初，所批判 的笛卡爾。但傅柯認為，沒有一種思考方式是永恆而絕對的，意即超驗性思考並不外於經驗與歷史 性，而為時代性的思考模式。所有的思考，都是在當下（l'actualité）的條件下，來面對解決當下的 問題。終有一天，將被廢棄遺忘，更換為另外一種思考方式。因此再高明的形上學見解，或者真理 對象，都終將被替換。因此所有的「超驗的」都是「經驗的」，而唯一的超驗先天條件，僅有「歷 史性」（historique)。換句話說，所有的思考，無法前推至古代，也無法揣度未來，所有的思考都 是面對當下，回應當下並實現於當下。因此現象學家以自我的經驗為研究對象，也可以說是研究並 回應著當下。這也是為什麼筆者認為，一個近期誕生的概念：人道主義(l'Humanisme) ，或者人類 學(l'Anthropologie)，會成為運弘論文最後一節主題的原因。 人道主義或者人類學之下的現象學死亡問題 運弘替我們分析現象學的邊界：死亡，在兩位大師理論中的異同，隨後筆鋒一轉，讓死亡的理論， 回返到人道領域的應用。我們發現，海德格對於納粹與猶太人的態度，的確與其理論中的死亡的功 能息息相關。在理論中面對死亡，與在實際生活世界體驗中，面對納粹的暴行與反猶的態度，若相 去太遠，不甚言行一致，未免不符其現象學家之名。雖說，當代並不視海德格為嚴格意義下的現象 學家，但在始終認為海德格為現象學家的運弘眼中，其自身理論與實踐的狀況，成為必要檢視的課 題。即使無法完全一致，運弘認為「......對於死亡現象的分析揭露出，從向死與必死完整性中建立起 生活體驗意義的結構.......生活體驗的結構是通過對於生命體驗的描述所建立，而非以知識性的構造 定義，這也是海德格所強調對於存有的遺忘與傾聽。」因此，死亡既是一種認知上的特殊物事，以 同時開顯與遮蔽存有的狀況存在，同時也是生活體驗的意義的關鍵。所以，這當然無法拆成「思想 事業」與「現實言行」去理解海德格。那麼我們可以說，死亡及其所衍生的所有極限與倫理問題， 不可能只停留在存有學的某個概念（可以思考談論，卻無法窮盡與經驗），而是必須更加世俗化的 落實在生活體驗中。換而言之，我們必須拒斥死亡僅存在於超驗場域的態度，但卻又同時必須要求 死亡在超驗場域的意義必須在生活體驗裡具備同樣的效應。 這可能嗎？或者說，這或許便是現象學在早期對倫理學的耕耘有落差的原因。因此在死亡的無窮盡 的同時遮蔽與開顯下，「人」作為一種此有的開顯方式，有限的存在著，卻因概念化而無窮的思考 對象。然而這樣的「人」，是否早已被「遺忘」其凡常化的面貌，而被以超驗對象「傾聽」？若是 這樣，海德格理論與個人言行的不一致，是可以理解的。因為「人」並非「猶太人」，而是概念與 完滿的想像對象（即便想像的是一不完美的對象，也是一完美的「想像」。），而若以單一的想像 去硬套在現實的醜惡眾生上，容易產生單一而偏激的觀點。所謂死亡，是否開顯與反轉的，是大寫 的「生命」，而非個別的，無法被輕易知識化的，可能早在私人經驗中帶有情緒好惡的猶太生命？ 當倫理學無法在海德格的思想國度中佔有一席之地時，與所謂「世界」的互動、體驗，便不那麼名 符其實。簡而言之，就是實踐性不足。藉由運弘在文末，簡要切入這確實是當時現象學的邊界問題 ，點出的不僅是海德格的言行合一問題，更點出了在現象學早期迫切的問題所在。 藉由「死亡」議題的梳理，真正的邊界，正展現在運弘以其當下的條件，嘗試回應當下的現象學問

題上。那並非死亡本身，或者哲學家關於死亡的意見，而是開啟此一問題性的運弘，正對於自身所 處的倫理學困境—怎麼面對一位現象學家，其思想機器在倫理學向度的失衡—提出現象學式的研究 與再發問。筆者以為，這正是一種現象學家習於，並注定執行的「關注自我」，而其正在探問邊界 的思考中，展現其之所以為邊界的思考姿態。

以空間記憶作業探討老化過程中 大腦的神經網絡補償機制 Visual-spatial processing in ageing: neuroimaging and cognitive correlates

賴哲瑩／英國紐卡索大學神經科學博士候選人 Yvonne LAI / PhD Candidate in Academic Psychiatry, Newcastle University, UK

評論 Commentary： 林依禛／台灣陽明大學神經科學研究所博士候選人 Yi-Chen LIN / PhD Candidate in Neuroscience, National Yang-Ming University, Taiwan

Visual'spatial*processing*in* ageing:*neuroimaging*and* cognitive*correlates* Introduction* Cognitive ability declines with ageing. However, not all cognitive abilities show the same speed of decline. Specifically, verbal ability shows relatively steady performance across lifespan whereas spatial ability and central executive functions show a powerful influence of age (Park, Polk, Mikels, Taylor, & Marshuetz, 2001). Several theories have been suggested for the different speeds of decline in various cognitive abilities. The HAROLD theory suggests that cognitive ability shows different speeds of decline in different hemispheres, whereas the right hemi-aging hypothesis states that the righthemisphere related functions are more likely to be affected by age than those associated with the left hemisphere (Brown & Jaffe, 1975; Cabeza, Anderson, Locantore, & McIntosh, 2002; Cabeza, 2002; Dolcos, Rice, & Cabeza, 2002). However, neither theory can account for why some old adults show better cognitive performance than others. Park and Reuter-Lorenz (2009) proposed the scaffolding theory of ageing and cognition (STAC), which suggests that in old adults who show good cognitive performance, it is because of their efficient usage of additional cognitive resources to ‘scaffold’ their degenerating functions. For example, participants showing successful cognitive scaffolding may exhibit bilateral activation in the ageing brain, specifically in the prefrontal areas (Cabeza & Dennis, 2012; Cabeza et al., 1997; Cabeza et al., 2002; Reuter-Lorenz, Stanczak, & Miller, 1999; Reuter-Lorenz et al., 2000) or a shift from posterior to anterior activations (Davis, Dennis, Daselaar, Fleck, & Cabeza, 2008; Dennis & Cabeza, 2008). However, the dedifferentiation hypothesis holds the opposite opinion in interpreting the broad neural network (i.e. more brain regions are involved in cognitive processing) found in the ageing brain. It suggests that the diverse neural activity is caused by decrease in neural specificity (Hedden & Gabrieli, 2004; Park et al., 2004; Reuter-lorenz & Park, 2010), increased noise in neural transmission (Li, 1

Lindenberger, & Sikström, 2001; Li & Sikström, 2002; Persson et al., 2006) or increased neural plasticity to ‘repair’ the declined function (Erickson et al., 2007; Greenwood, 2007; Mishra, Rolle, & Gazzaley, 2014; Raz & Lindenberger, 2013) resulting in poor cognitive performance in older adults. Whether the broad brain activity is the result of compensation or an intrusion from increased noise in the ageing brain is still under debate.

Categorical and coordinate spatial representations describe two different types of spatial relations; the former explains objects’ spatial relations in an abstract manner while the latter indicates objects’ spatial relations in a numerically precise method. Not only do the two representations illustrate spatial relations differently, the two hemispheres show differences in the speed with which the two spatial representations are/can be processed (Jager & Postma, 2003; Kessels, Kappelle, de Haan, & Postma, 2002; Kessels, Postma, Kappelle, & de Haan, 2000; Kosslyn, 1987; Kosslyn et al., 1989). Van der Ham and her colleagues have developed a dot-cross task, which has demonstrated lateralisation effects for categorical and coordinate spatial relations in a series of studies (van der Ham, Raemaekers, van Wezel, Oleksiak, & Postma, 2009; van der Ham, van Wezel, Oleksiak, & Postma, 2007). In the original version of the dot-cross task participants are informed of the type of spatial judgment required at the beginning of a trial with visualverbal cues. The current experiment design has made a few changes from the original task in order to closely examine the lateralisation effects for categorical and coordinate spatial representations; the timing of spatial judgment cues is delayed to later in the trial and the types of spatial judgment cues are changed from visual-verbal cues to nonverbal tones. These modifications minimise confounds from memory strategy development as well as verbal information. More through description of the experiment design will be described in Experiment 1. A pilot study with younger participants was conducted before applying the task to older adults. The results showed that higher accuracy was found in young participants when judging categorical changes than coordinate changes. Importantly, hemispheric lateralisation effects were found in the result of reaction times. Young subjects showed faster responses for categorical judgments when the stimuli were presented to the LH and coordinate spatial judgments were responded to faster if the stimuli were presented to the RH. Hemispheric lateralisation effects have been replicated with the modified version of the dot-cross task.

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The current study utilises the characteristic of lateralisation for the two spatial processes with the modified dot-cross task and further examines whether the broad network benefits the ageing brain (the STAC) or is an intrusion (the dedifferentiation hypothesis) by a neuropsychological battery. A neuroimaging study is also included to understand the underlying mechanism of spatial ability in age-related cognitive decline. To further examine the ageing hypotheses, comparisons of the cognitive networks as well as the brain networks of the high- and low-performance groups are performed.

Experiment*1:*Neuropsychological*study*in*healthy*middle9aged*and*older* people* The purpose of this experiment is to understand how aging affects people’s cognitive performance and, more importantly, how people react to cognitive decline. A neuropsychological battery was introduced to measure general cognitive ability among the participants and to examine the relationship between different cognitive functions.

In order to examine possible compensatory mechanisms for visual-spatial ability, the dot-cross task was included to explore the effects of healthy ageing on the two types of spatial relations. Comparisons of higher and lower cognitive performance groups in the neuropsychological battery were performed in order to inspect possible scaffolding networks in older people.

1.1

Methods

Participants Fifty-five healthy middle-aged participants (age range between 45 and 69, 26 males and 29 females, mean age=59.67) were recruited in the experiment. Participants were recruited from Newcastle Institute of Neuroscience participant pool, regional community clubs, Newcastle City council, Age UK, and Elders Council of Newcastle.

Participants received ÂŁ20 after they had completed the study. The research was approved by the Faculty of Medical Sciences Ethics Committee at Newcastle University.

Design of the neuropsychological battery 3

The participant information sheet and a consent form were presented to participants before the study. Once participants agreed to undertake the study, a demographic information sheet was presented for participants to complete. The NART (Nelson, 1982) was then administrated to estimate the premorbid verbal IQ followed by a series of neuropsychological tests. The neuropsychological battery was designed to test several broader cognitive abilities. The cognitive abilities related to each test are provided in the following table.

Table 1. Neuropsychological battery.

Task 1. NART

Related cognitive domain Estimate verbal IQ

2. Trail Making Test (Part A)

Psychomotor speed

3. Trail Making Test (Part B)

Executive function

4. Digit symbol substitution Test (DSST)

Psychomotor speed

5. Dot-Cross Task

Visual-spatial ability

6. Rey-AVLT (immediate recall)

Verbal ability

7. CATCOORD Task

Visual-spatial ability

8. Rey-AVLT (delayed recall and recognition)

Verbal ability

9. Digit Forward Span

Verbal working memory

10. Digit Backward Span

Executive function

11. Stroop

Executive function

12. Object Relocation Task (ORT)

Visual-spatial ability

13. Visual Pattern Test (VPT)

Visual-spatial ability

14. Serial Spatial Span (SSP) (CANTAB)

Visual-spatial ability

Numbers represent order of administration. Computerised tasks are shaded.

The following section will introduce the task of interest: the dot-cross task.

Stimuli and Design The stimuli followed exactly the same design as previous studies (van der Ham et al., 2009; van der Ham, van Strien, Oleksiak, van Wezel, & Postma, 2010; van der Ham et al., 2007). Each encoding image and response image consisted of a black cross “+” and a single black dot “•” on a white background. Figure 1 shows all possible dot positions; ten in each quadrant of the cross, placed at four equally different distances from the centre of the cross.

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Figure 1. All possible dot positions in the stimuli design. There were four quadrants each containing 10 possible positions and 4 different distances between the dot and the centre of the cross. A ‘match’ response is given when the dots in the encoding and response images appear within the same quadrant (categorical judgment) or with the same distance (coordinate judgment) to the centre of the cross.

The design of the dot-cross task followed that of previous studies, except the timing of the spatial judgment cues was delayed to just before the response image. Participants were given no clue to the type of spatial judgment that they would be expected to make during the encoding stage. Instead of visual-verbal cues (“quadrant” or “distance”) being provided to instruct type of spatial judgment at the beginning of each trial, different pitches of sound were inserted just before responses: a low pitched beep (440Hz) indicated a categorical judgment (i.e. did the dot move to a different quadrant?) and a high pitched beep (1175Hz) indicated a coordinate judgment (i.e. is the distance between the dot and the cross the same?). The manipulation would minimize influence of verbal information in VSSTM. The encoding stimuli were always placed at the centre of the screen and the response stimuli were presented at either left or right visual field (80 pixels away from the centre of the screen). The manipulation of the left- and rightvisual field enables the lateralisation effects to be examined since they are correspondent to right- and left-hemisphere, respectively.

Procedure The experiment was performed using Presentation® software, (version 16.2, 5

www.neurobs.com). Twenty practice trials were provided to participants with feedback to ensure that they understood the experiment procedure and the instructions.

Participants then completed the formal experiment session. An experimental trial began with a fixation point “*” at the centre of the computer screen for 500ms. The encoding image was shown for 150ms, followed by a blank interval for 1500ms, and a “×” was presented for 500ms accompanied by a beep. Finally, the response image was displayed for 150ms. Participants were asked to make a same/different judgment of the two successive images during the display of the response image (maximum 3000ms) (see Figure 2 for an illustration). Participants were instructed to utilise the index or middle

fingers of their right hand to press the key “←”(same) or “→”(different) on the keyboard. The next trial started as soon as participants made a response. The formal experiment session consisted of four blocks with 50 trials in each block. Categorical and coordinate spatial judgments were completely randomised by the Presentation software.

Both accuracy and reaction times were recorded.

Retention time accompanied by a sound (2000ms) Categorical judgment: low pitch beep Coordinate judgment: high pitch beep Response image (150ms)

Encoding image (150ms)

Figure 2. Example trial of the dot-cross task. In this example, if a low pitched beep was played, i.e. a categorical judgement was cued, then the correct response would be ‘different’, but if a high pitched beep was played, i.e. coordinate judgement, the correct response would be ‘same’.

1.2

Data analysis

For the dot-cross task, a 2 (categorical vs. coordinate judgments) × 2 (left hemisphere vs. right hemisphere) within-subject repeated-measures analysis of variance (ANOVA) was performed on the accuracy and reaction times. One participant was unable to complete the task hence only 54 subjects were included in the final analysis.

For the neuropsychological analysis, preliminary analyses were applied to understand general cognitive performance. The results were analysed with the raw data. Stroop score was calculated via the following formula: (word list + coloured list)/2-conflict list.

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Although Rey-AVLT contains several subtests, the cognitive abilities they underpinned were highly correlated to each other. Therefore, only 3 of the subtests were included in the data analysis: A1 to A5 (learning ability), A7 minus A5 (delayed recall ability) and Recognition for A1 list (recognition ability). Similarly, only three of the subtests of the object relocation task were included in the final analysis: position-only memory (POM), and combined memory (COM) and object location binding (OLB). The analysis of the object relocation task followed previous research (Gallagher, Gray, & Kessels, 2014).

An exploratory analysis was utilised to observe differences between the high- and lowfunction performance groups. The researcher firstly transformed all raw data of the neuropsychological tasks into Z scores. The Z score provides standardised criteria for all tasks thus enabling further exploration. After the transformation of the raw data, older participants were divided into high- and low-performance groups based upon their averaged Z score. Participants with Z score higher than the mean were categorised into the high-performance group, those lower than the mean into the low-performance group. Bivariate correlation was utilised to explore the relationship between different cognitive tasks in the high- and low-performance groups. Additionally, principal component analysis (PCA) was utilised to generate several cognitive domains via computer. Since PCA extracts the common factors onto which the different tests and processes load, it enables the researcher to observe the relationship between various cognitive ability and the task of interest, the dot-cross task, without intrusion of artificial factors.

1.3

Results

1.3.1 Dot-Cross task Figure 3 shows accuracy for the dot-cross task. None of the main effects for spatial relations and the hemispheres were found (Fs<1). Similar accuracy performance was found when judging categorical-change trials or coordinate change trials. In addition, there was no difference regardless of presentation visual field of the stimuli. The interaction between the spatial relations and both hemispheres was not significant (F(1,53)=1.12, n.s.). The previous finding of lateralisation effects for categorical and coordinate spatial relations did not occur in older adults.

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100%# 90%#

Accuracy'(%)'

80%# 70%# 60%# 50%#

RH#

40%#

LH#

30%# 20%# 10%# 0%# CAT#

COORD#

Figure 3. Accuracy performance in the dot-cross task.

Figure 4 shows the result of reaction times of the dot-cross task. A main effect of spatial relations was found (F(1,53)=4.87, p<0.05). Participants showed faster responses when judging coordinate-change trials (1185ms) than categorical change trials (1215ms).

There was no difference in responding when the stimuli were presented to different hemispheres (Fs<1). The interaction between the spatial relations and both hemispheres was not significant (F<1). Once again, hemispheric lateralisation effects were not found in reaction times. *#

1300# 1250#

RT'(ms)'

1200# RH#

1150#

LH# 1100# 1050# 1000# CAT#

COORD#

Figure 4. Reaction times in the dot-cross task. â&#x20AC;&#x153;*â&#x20AC;? means p<0.05.

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1.3.2 Neuropsychological battery Table 2 presents means and standard deviations of each of the neuropsychological test.

Table 2. Neuropsychological results.

Psychomotor tests Trail making test (part A) (sec.)

DSST (symbols/sec) Attention and executive function tests Trail making (part B) (sec.)

Stroop (score) Digit span (backward) (digit) Verbal ability tests Rey: Learning (word) Rey: Delayed recall (%) Rey: Recognition (word) Digit span (forward) (digit) Spatial ability tests VPT (unit) SSP (unit) ORT: POM (mm) ORT: OLB (% of errors) ORT: COM (mm)

1.4

Mean

SD

31.86 0.65

11.90 0.16

65.25 -57.49 5.44

29.38 29.56 1.45

53.24 85.78 13.22 7.05

8.59 15.25 1.77 1.21

8.35 5.84 180.95 24.36 324.30

1.48 0.94 36.56 19.75 106.96

Exploratory analyses

The aim of the exploratory analyses was to examine for scaffolding mechanism in a series of cognitive neuropsychological tasks. In order to observe the difference between how high- and low-function people react to a cognitive task, participants were divided into high-performance (HP) and low-performance (LP) group according to all aspects of their cognitive performance, including psychomotor speed, attention and executive functions, verbal ability, and spatial ability.

1.4.1 Correlations for High-performance (HP) and Low-performance (LP) with the neuropsychological tasks Table 3 and Table 4 present the correlations of neuropsychological tests for the HP and LP groups. High-performance participants showed less correlation across different neuropsychological tests than the LP group. In the HP group, the overall ability, i.e. the 9

sum of performance on psychomotor tests, attention and executive function tests, verbal tests, and spatial tests, showed correlations with all cognitive abilities, including positive correlations with psychomotor ability (DSST), attention and executive function ability (digit span backward memory task), verbal ability (digit span forward memory task) and spatial ability (VPT) and a negative correlation with the Trail making (B).

These results suggest that the overall ability is correlated with all dimensions of cognitive ability. The correlations between psychomotor ability (DSST) and attention and executive function ability (Trail making (B), Stroop, Digit span (backward)) indicate the two cognitive domains are associated with each other. The performance on psychomotor speed would affect attention and executive functions and vice versa.

Several other correlations between attention and executive functions, verbal ability, and spatial ability were found in the neuropsychological battery but the correlations only existed in one or two of the tasks of the classified cognitive ability.

The LP group showed more correlations across different cognitive tasks. Different cognitive abilities were strongly associated with each other in the LP group. The overall ability was correlated with cognitive ability in all aspects, including psychomotor speed (Trail making (A), DSST), attention and executive functions (Trail making (B), Stroop), verbal ability (Rey-AVLT: Learning and recognition test, and the digit span (forward) memory task) and spatial ability (ORT: POM and COM). In addition, psychomotor ability not only showed correlations with attention and executive function tasks but also verbal ability. That is, participants recruited both executive functions and verbal ability to perform psychomotor related tasks. Similarly, verbal ability was also applied when performing attention and executive function tasks. The attention and executive function ability was also found to be associated with the most difficult spatial task, ORT:COM, which may imply that lower-performance participants elevated their attention and executive functions when facing a cognitive challenge. Overall, the LP group revealed more correlations across different cognitive abilities than the HP group.

In sum, the results showed greater cognitive correlations in the LP than the HP group.

The broad cognitive network found in the LP group may either result from inefficient application of cognitive strategy (e.g. failure of utilising scaffolding mechanisms) or failure to filter irrelevant resources and to select helpful cognitive resources when performing the tasks. It is also possible that the broad cognitive network observed in the

10

LP group represents a phenomenon of dedifferentiation in ageing. Although the correlation analysis could not provide a causal relationship, it is speculated that LP participants were lack in the ability of selecting relevant cognitive resources hence resulted in poor performance on the cognitive tasks.

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Table 3. Pearson correlations between the neurocognitive tasks in the HP group.

Overall ability

Overall ability

1

Trail (A)

-0.364

1

DSST

0.558**

-0.241

1

Trail (B)

-0.503**

0.211

-0.476*

1

Stroop

0.222

-0.109

0.416*

-0.050

1

Digit span (backward)

0.436*

-0.219

0.498**

-0.371

0.122

1

Rey: Learning

0.324

-0.144

0.147

-0.262

0.309

-0.159

1

Rey: Delayed recall

0.034

-0.059

0.247

0.046

0.463*

-0.149

0.370

1

Rey: Recognition

0.343

-0.073

0.134

-0.043

0.275

-0.133

0.189

0.411*

1

Digit span (forward)

0.556**

-0.331

0.307

-0.231

0.187

0.637**

-0.118

-0.162

0.189

1

VPT

0.395*

0.006

0.103

0.034

0.104

0.048

-0.010

-0.359

-0.358

0.022

1

SSP

0.213

0.199

-0.211

-0.008

-0.153

0.126

0.030

-0.044

-0.204

0.038

0.263

1

ORT: POM

-0.256

-0.209

0.138

-0.173

0.183

0.327

0.066

0.391*

-0.167

0.100

-0.448*

0.042

1

ORT: OLB

-0.085

0.108

0.122

-0.053

-0.060

0.005

0.040

0.083

-0.322

-0.006

0.178

0.238

0.176

1

ORT: COM

-0.137

-0.147

0.011

-0.198

-0.077

0.367

0.057

0.037

-0.191

0.035

-0.254

0.259

0.450*

-0.034

Trail (A)

DSST

Trail (B)

Stroop

Digit span (backward)

Rey: Learning

Rey: Delayed recall

HP group (n=28)

12

Rey: recognition

Digit span (forward)

VPT

SSP

ORT: POM

ORT: OLB

ORT: COM

1

Table 4. Pearson correlations between the neurocognitive tasks in the LP group.

Overall ability

Overall ability

1

Trail (A)

-0.583**

1

DSST

0.578**

-0.479*

1

Trail (B)

-0.713***

0.454*

-0.762***

1

Stroop

0.529**

-0.413*

0.778***

-0.771***

1

Digit span (backward)

0.355

-0.012

-0.049

-0.293

0.078

1

Rey: Learning

0.758***

-0.423*

0.450*

-0.463*

0.472*

0.167

1

Rey: Delayed recall

0.349

0.108

0.179

-0.108

0.180

0.015

0.430*

1

Rey: Recognition

0.553**

-0.586**

0.031

-0.022

-0.005

0.123

0.485*

0.089

1

Digit span (forward)

0.566**

-0.302

0.309

-0.467*

0.485*

0.378

0.394*

0.081

0.228

1

VPT

0.255

-0.141

0.321

-0.394*

0.215

-0.302

-0.015

0.011

-0.099

-0.062

1

SSP

0.340

-0.068

0.024

-0.287

0.252

0.347

0.231

0.040

0.134

0.365

-0.051

1

ORT: POM

-0.411*

0.346

-0.301

0.363

-0.287

0.169

-0.181

0.127

-0.214

0.093

-0.436*

-0.015

1

ORT: OLB

-0.373

-0.009

-0.065

-0.033

0.063

-0.009

-0.347

-0.316

-0.225

-0.129

0.036

0.250

0.060

1

ORT: COM

-0.506**

-0.047

-0.461*

0.481*

-0.409*

-0.190

-0.297

-0.267

0.090

-0.314

-0.202

-0.052

0.126

0.316

Trail (A)

DSST

Trail (B)

Stroop

Digit span (backward)

Rey: Learning

Rey: Delayed recall

LP group (n=27)

13

Rey: recognition

Digit span (forward)

VPT

SSP

ORT: POM

ORT: OLB

ORT: COM

1

1.4.2 The relationship between the cognitive components and the tasks of interest Principal component analysis (PCA) provides an alternative solution by enabling the computer to generalize components in accordance with the proportion of variance explained by the raw data (Bartholomew, Steele, Moustaki, & Galbraith, 2008). This computational methodology groups tasks which share similar cognitive elements together, which enabled the researcher to extract the common cognitive ability. All of the 14 neuropsychological tests were included in the PCA. After several deductions, the analysis finally generalised 8 cognitive tasks into 3 components. Component 1 included Stroop, DSST, and Trail making task (B), which were all relevant to attention and executive functions. It was named as ‘Attention-executive component’. ORM:OLB, Rey-AVLT: Recognition and Retention tests, which were highly related to verbal ability, were categorized in Component 2, ‘Verbal component’. Finally, SSP and digit span backward memory test were included in the third component. Both tasks required short-term memory capacity hence this was called ‘STM component’. The following section will probe the relationships between these cognitive components and the tasks of interest. Pearson correlation was adopted to observe cognitive strategy for the HP and LP groups when performing a visual-spatial memory task.

Only RT performance from the dot-cross task was involved in the analysis as it has been demonstrated to be a better index to reveal hemispheric lateralisation effect for categorical and coordinate spatial relations in the pilot study (unpublished data in our lab). Note that one of the participants from the HP group did not complete the task; hence only 54 participants were involved in the analysis of the dot-cross task. The results for the three cognitive components and the task performance are presented in (Table 5). None of the cognitive components showed significant correlation with the dot-cross task. Although the attention-executive and the short-term memory component showed trends of negative correlation with the dot-cross task while the verbal component showed positive correlation with the task, none of those reached a significant level. When carrying out the analysis with the HP and LP groups, the results showed different cognitive strategies applied by the HP and LP group (Table 6). Only low-function participants showed a significant positive correlation with the verbal component, which indicates that the participants recruited verbal resources to perform the dot-cross task. However, the LP group did not show significantly slower response

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time than the HP group (1148ms vs. 1152ms, F(1,52)= 2.425, n.s.). Additional recruitment of verbal information found in the LP group did not assist them to perform better than the HP group on the task, e.g. faster response time, suggesting that verbal scaffolding was not an effective strategy for the LP group.

Table 5. Pearson correlation for the 3 principal components and the dot-cross task’s performance.

Dot-cross task (RTs) CAT_RH

CAT_LH

COORD_RH

COORD_LH

Attention-executive component

-0.105

-0.193

-0.050

-0.058

Verbal component

0.103

0.058

0.097

0.064

STM component

-0.055

-0.061

-0.104

-0.080

Table 6. Pearson correlation for the 3 neuropsychological components and RT of the dot-cross task in the high- and low-performance groups.

High performance group (n=27)

Low performance group (n=27)

CAT_R H

CAT_LH

COORD_ RH

COORD _LH

CAT_R H

CAT_LH

COORD _RH

COORD _LH

Attentionexecutive component

-0.128

-0.220

-0.070

-0.028

0.055

-0.005

0.183

0.120

Verbal component

-0.016

0.015

0.051

0.029

0.439*

0.390*

0.464*

0.404*

STM component

-0.313 (p=0.112)

-0.274 (p=0.166)

-0.320 (p=0.104)

-0.329 (p=0.094)

0.257

0.260

0.205

0.244

‘*’ indicates p<0.05

1.5

Summary and discussion of Experiment 1

The neuropsychological study aimed to observe possible different mechanisms for the high- and low-performance group in order to look for evidence for either the cognitive scaffolding (STAC) or for the dedifferentiation theory. Unlike the findings with young adults, the hemispheric effect for categorical and coordinate spatial relations was not found in older participants. When separating the participants to the HP and LP group 15

according to their performance on the neuropsychological battery, the HP group showed less connection across different cognitive tasks whereas the LP group linked more cognitive abilities while performing tasks. When correlate performance for the dot-cross task with the broader cognitive performance, only the LP group showed a significant positive correlation with the verbal component, which indicates that low-performance participants recruited verbal resources to perform the dot-cross task.

Hemispheric lateralisation effect did not occur in the dot-cross task with older adults may be due to fewer trials were included in this study. 340 trials were included in the pilot study with young adults whereas older participants performed only 200 trials.

According to the findings of our pilot study, the left hemisphere advantage for categorical processing appears all the time, whereas the right hemisphere advantage in processing coordinate spatial relations does not emerge until the later part of the experiment. Fewer trials may reduce the effect of lateralisation effects.

Participants with higher cognitive functions associated fewer cognitive resources when performing cognitive tasks, while those who attempted to associate various different cognitive abilities showed poorer cognitive performance. It seems that the low performance group shows lack of suppression of irrelevant information and these participants tended to include any available resources unselectively. Gazzaley et al.

(2005) conducted two experiments with fMRI to observe whether older participants are able to enhance the relevant information for task goals as well as suppress irrelevant information. The results showed that healthy older adults could not suppress irrelevant information yet their ability of selective attention for relevant information was relatively preserved. They concluded that impaired suppression of to-be-ignored information is correlated with poor short-term memory performance in healthy ageing. Other studies along these lines propose that deficits in selecting attention for relevant information and suppressing for irrelevant information are the two key components which cause cognitive decline in ageing (de Fockert, 2005; Gazzaley et al., 2005; Logan, Sanders, Snyder, Morris, & Buckner, 2002). The reason more cognitive correlates were found in the LP group and additional verbal resources were used when performing a visualspatial memory task may be related to their impairment in inhibiting intrusions from task-irrelevant information. The HP group, on the other hand, demonstrated few

16

correlations across different cognitive ability, which may be explained by their preserved ability to suppress irrelevant information.

An alternative explanation for the broad cognitive network found in the poor performance groups (i.e. LP group) may be inefficient application of cognitive resources. Following the phenomena suggested by the STAC, older people attempt to recruit additional cognitive resources to â&#x20AC;&#x2DC;scaffoldâ&#x20AC;&#x2122; the declined cognitive function.

However, the current result found greater cognitive connections in the low-performance group than the high-performance group, which suggests that participants with poor cognitive ability cannot utilise these extra resources appropriately and yield worse cognitive performance.

The current experiment with older participants has demonstrated that lower cognitive function participants have greater links across various cognitive abilities, indicating either their impairments in suppressing irrelevant information or that it is a useless cognitive strategy. It is possible that people who manage to preserve the ability to inhibit irrelevant information and to focus on relevant information are able to maintain their cognitive ability in older age. This experiment only examines the ageing hypotheses through behavioural performance. The underlying mechanism in the ageing brain is unclear. The following experiment will incorporate a neuroimaging technique to observe the correspondent neural network in older adults when performing the visualspatial task. The result allows the researcher to associate their imaging results with their neuropsychological/behavioural performance and to explore the different brain activity recruited by the old-high (OH) and old-low (OL) group.

Experiment*2:*Neuroimaging*study*in*older*adults* Introduction This neuroimaging study is designed to examine the underlying neural mechanism of spatial ability in the ageing brain. Older participants were further separated into highand low-performance groups (OH and OL) (the separate criteria followed the previous experiment) so that the neural networks between the OH and OL groups could be compared. According to the scaffolding hypothesis, the OH group is predicted to show 17

more brain activation in frontal areas due to extra effort in recruiting central executive functions and/or attention. Alternatively, they may show a broad neural network, e.g. a network involves posterior to frontal regions or bilateral activations, during the visualspatial process. It was also predicted that OL participants may show weaker activation in the frontal area or restricted connections between different brain regions when processing the dot-cross task. However, if a broader neural network is found in the OL group than the OH group, the dedifferentiation hypothesis may be supported.

2.1

Methods

Participants Thirty-eight eligible participants from the previous experiment were recruited to the fMRI study. However, 5 of the participants had to be excluded from the analysis due to extremely poor performance in accuracy, excessive head movements or imaging technical problems. Eighteen females and 15 males (mean age=65.81) were included in the final analysis.

Stimuli, Design and procedure The stimuli and design were identical to the previous experiment. An event-related design was created for the fMRI study where participants could not predict types of spatial judgments until they heard the beeps. Presentation® software, (version 16.2, www.neurobs.com) was utilised to execute the task. Before entering the scanner, participants underwent 176 practice trials outside of the scanner to familiarise them with the task. The stimuli were projected onto a rear-projection screen via a pico projector located at the head of the scanner and were visible via an overhead mirror. Participants were asked to indicate a “same” or “different” judgement via an MRI-compatible button box upon presentation of response image using the index or middle finger of their right hand. A pair of MRI-compatible headphones was applied so that participants could hear the different pitch sounds. Fifty practice trials were provided to participants during the anatomical scan in order to acclimatise them to the experimental procedure and mode of response. During the scan session, another 176 trials were provided to participants, with 18

a 10 second break (resting state) between each 8 trials. The duration of the scan session was 25 minutes. Both accuracy and reaction times were recorded via Presentation software.

Data analysis Behavioural data A 2 (categorical change vs. coordinate change) x 2 (LVF/RH vs. RVF/LH) within subject repeated-measure ANOVA was utilised to analyse accuracy and reaction time for the performance during the scan session.

Imaging acquisition and data analysis Images were acquired on a 3-Tesla Philips Intera Achevia MRI system. For functional scans a single-shot EPI sequence was used and MR acquisition parameters were as follows: TE=30ms; TR=2600ms; FOV (right-left, anterior-posterior, and foothead)=200*200*140 mm; flip angle=650; voxel size=3Ă&#x2014;3Ă&#x2014;3.5mm3. T1-weighted structural images were acquired before functional scans began. Image processing and statistical analysis were performed with SPM8 software (www.fil.ion.ucl.ac.uk). The images underwent slice-time correction firstly during pre-processing to account for differences in slice acquisition. After that, realignment and unwarping processing were carried out to remove artefacts from within images. Co-registered images were then applied to the first scan of the block followed by normalisation. Normalisation steps registered unwrapped images to a standard MNI template before images underwent smoothing with an 8mm full-width half-maximum Gaussian kernel. This minimised the effect of differences in neuroanatomy between subjects.

First-level analysis applied a general linear model to estimate the related BOLD responses across four conditions, separated into correctly and incorrectly answered trials: categorical trials, coordinate trials, LH/right visual-field trials and RH/left visualfield trials. The high-pass filter was set at 128s to reduce low-frequency noise.

Movement parameters were included in the model to reduce movement related artefacts.

A flexible factorial design was applied in a second-level statistical analysis; only scans for correct answered trials were included in the analysis. Cluster activations, relative to 19

activity at fixation baseline, in the “categorical” and “coordinate” conditions were deemed significant if a p<0.05 (Family-Wise Error correction) was achieved. Similarly, contrast images were created to compare activity in the categorical and coordinate conditions; significance was determined if p<0.05 (FWE correction). The WFU PickAtlas toolbox for SPM8 was used to identify activated cluster area.

2.2

Results

Behavioural results The categorical advantage effect was found in accuracy (F(1,32)=28.57, p<0.001). The categorical spatial judgments (mean=87.9%) were performed better than the coordinate judgements (mean=82.2%). However, neither the interaction between the spatial relations and the hemispheres nor the hemispheric effect was not significant (F(1,32)=3.30, n.s. and F<1, respectively). Hemispheric lateralisation effects for categorical and coordinate spatial relations did not occur inside the scanner.

In terms of reaction times, there were no main effects for spatial relations (F(1,32)=2.59, p=0.117) and the hemispheric effects (F<1). The interaction between the spatial relations and hemisphere was not significance (F(1,32)=3.01, p=0.092).

However, as displayed in Figure 5, the left hemisphere was faster when processing categorical changes than the right hemisphere (1086ms vs. 1107ms) whilst the right hemisphere was faster in responding to coordinate changes than the left hemisphere (1057ms vs. 1074ms). A pattern of hemispheric lateralisation effects was observed inside the scanner.

20

1200# 1150#

RT#(ms)#

1100# 1050# 1000#

RH#

950#

LH#

900# 850# 800# CAT#

COORD#

Figure 5.Reaction times for the dot-cross task during the scan session (n=33).

Neuroimaging results Figure 6 and Figure 7 show the results of group analysis for the imaging data in old participants (p<0.05 after correcting for FWE across the whole brain). older adults showed bilateral activations of the whole brain when processing both categorical and coordinate spatial judgments. The activation pattern between the two spatial processes was similar to each other (Figure 6).

Figure 6. Contrasts of categorical or coordinate condition vs. baseline (FWE correction, p<0.05).

21

Figure 7. Contrasts of the categorical and coordinate condition (FWE correction, p<0.05).

To compare different brain regions involved in categorical and coordinate spatial judgments, the signal acquired during the response phase, i.e., the duration between the end of stimuli presentation and the response button being pressed, in the categorical condition was contrasted with the coordinate condition (CAT>COORD). The categorical condition showed greater BOLD signal changes than the coordinate condition in the direct contrast, particularly in posterior parietal regions as well as frontal regions. Posterior regions such as precuneus and middle temporal gyrus were activated bilaterally as well as middle frontal gyrus in frontal cortex (Figure 7 and Table 7). The right parietal-temporal region also showed greater neural activity in the categorical condition than the coordinate condition.

Similarly to the findings in young people (unpublished data in our lab), the categorical and coordinate spatial processing revealed bilateral brain activity in the ageing brain. In addition, categorical spatial judgments required greater activation than the coordinate judgments, especially in the posterior parietal-temporal region and middle-frontal area.

Table 7. Top clusters for the whole brain analysis for the CAT>COORD contrast (FWE correction, p<0.05, kâ&#x2030;Ľ10).

CAT>COORD Region

Local peak

Cluster (voxels)

t-value (peak)

Mean Z (peak)

MNI mm (x,y,z)

Parietaltemporal

L precuneus

588

7.49

6.63

(-16,-74,50)

22

R angular gyrus 251 7.38 6.55 (36,-78,32) R middle temporal gyrus 7.16 6.40 (35,-80,22) R superior parietal 386 7.37 6.54 (14,-66,54) lobule R precuneus 6.38 5.81 (6,-52,46) L middle temporal gyrus 72 6.39 5.82 (-62,-54,-2) R supermarginal gyrus 118 6.30 5.75 (58,-50,24) R superior temporal 5.86 5.41 (58,-44,18) gyrus Frontal L sub-gyral 62 6.54 5.93 (-24,-2,56) L middle frontal gyrus 5.35 4.99 (-26,-4,48) R middle frontal gyrus 18 5.93 5.46 (36,12,34) R sub-gyral 10 5.61 5.21 (26,0,52) The reverse contrast for task difference (COORD>CAT) showed no significant clusters.

2.3

Exploratory analysis

This section associates the cognitive behavioural performance (derived from the previous neuropsychological battery) with the neural activations acquired from the current experiment in order to explore possible differences between high and low cognitive function participants. Participants were separated into the OH (n=17) and OL (n=16) groups in accordance with their cognitive performance on the neuropsychological battery. The analysis focuses on comparisons between the OH and OL groups and exploring different underlying neural networks in both groups.

Behavioural comparison (OH vs. OL) A 2 (Spatial relations) Ă&#x2014; 2 (Hemisphere) Ă&#x2014; 2 (Group) mixed design ANOVA was carried out, where the spatial relations (CAT and COORD) and hemispheres (LH and RH) were within-subjects factors and the groups (OH and OL) was set as a betweensubjects factor. The accuracy results showed that the OH group (86.6%) was performed significantly better than the OL group (84.4%) (F(1,31)=28.40, p<0.001) (Figure 8).

The main effect of spatial relations was also found (F(1,31)=28.39, p<0.001).

Categorical spatial judgments showed better memory performance than coordinate spatial judgements (87.9% vs. 83.0%). However, neither the main effect of the hemispheres (F<1) nor the interaction was found (F(1,31)=3.23, n.s.). The three-way

23

interaction between spatial relations, hemispheres and groups was also not significant (F<1).

Accuracy#(%)#

*** ***#

100%# 90%# 80%# 70%# 60%# 50%# 40%# 30%# 20%# 10%# 0%#

***#

RH# LH#

CAT#

COORD#

CAT#

OH#

COORD# OL#

Figure 8. Accuracy between the OH (n=17) and OL (n=16) group. ‘***’ means p<0.001.

Figure 9 presents the reaction times for the two groups. A main effect of the groups was marginally significant: OH=992ms vs. OL=1176ms (F(1,31)=4.11, p=0.051). None of the main effects of the spatial relations (F(1,31)=3.73, n.s.), the hemispheres (F<1) and the three-way interaction between groups, spatial relations, and hemispheres (F(1,31)=1.12, n.s.) were significant. The interaction between spatial relations and hemispheres was not significant (F(1,31)=3.13, n.s.).

24

RT#(ms)#

1400# 1300# 1200# 1100# 1000# 900# 800# 700# 600# 500#

RH# LH#

CAT#

COORD#

CAT#

OH#

COORD# OL#

Figure 9. Reaction times for the young, old-high and old-low performance group.

Neuroimaging comparison (OH vs. OL) Bilateral cerebral activation was found in both groups when processing the visualspatial relations task. A broader neural network was found in the OH than OL group, including temporal-parietal and frontal regions (see Figure 10 and Table 8). Bilateral inferior parietal lobule (IPL), left superior parietal lobule, and the prefrontal cortex (PFC) subregions, such as bilateral inferior frontal gyrus (IFG) and middle frontal gyrus (MFG), were found to be activated greater in OH than OL participants.

Figure 10. Group comparison in the inferior parietal lobule.

25

Table 8. Top clusters for the whole brain analysis for the OH>OL contrast (FWE correction, p<0.05, kâ&#x2030;Ľ10).

Region

Parietal

Temporal

Frontal

Other

Local peak

L inferior parietal lobule L superior parietal lobule R inferior parietal lobule R sub-gyral R precuneus R sub-gyral R sub-gyral L sub-gyral L middle temporal gyrus L sub-gyral R sub-gyral R middle frontal gyrus L cingulate gyrus L middle frontal gyrus R cinculate gyrus R middle frontal gyrus R sub-gyral R inferior frontal gyrus R Extra-nuclear L inferior frontal gyrus L thalamus L extra-nuclear R cerebellum posterior lobe L cerebellum posterior lobe L Inferior Semi-Lunar Lobule

Cluster (voxels) OH>OL 6695 2467

305 49 1169 11 599 344

14 286 60 77 118 275 3329

19

t-value (peak)

Mean Z (peak)

MNI mm (x,y,z)

16.21 12.68 11.97 10.16 9.68 10.64 7.11 10.16 9.73 6.09 9.11 8.84 8.79 8.79 7.71 6.09 8.67 6.94 7.48 7.04 6.92 9.91 12.21 9.40

Inf 7.46 7.27 6.69 6.52 6.85 5.44 6.69 6.54 4.90 6.31 6.20 6.18 6.18 5.72 4.90 6.13 5.35 5.61 5.40 5.34 6.61 7.33 6.42

(-38,-44,50) (-24,-68,56) (32,-56,48) (32,-70,30) (18,-68,50) (46,-66,-6) (42,-48,2) (-42,-68,-6) (-50,-68,0) (-40,-34,-4) (30,-4,36) (38,4,58) (-4,18,44) (-6,10,52) (10,18,44) (50,32,26) (42,8,26) (58,14,32) (34,24,0) (-40,46,2) (-16,-14,8) (-30,20,0) (30,-64,-28) (-8,-74,-22)

6.82

5.29

(-20,-68,-50)

The results of brain activations after modulation with response time are reported in Figure 11. The greater the activation in a region represents the longer the response time, i.e. more difficult trials. The OH group showed broader and greater brain activations than the OL group. Specifically, greater bilateral MFG activation was found in the OH than OL participants when solving more difficult trials (Table 9).

26

Figure 11. Glass brain images represent the associated brain activation with longer reaction time (i.e., RT modulation) for the OH and OL group (results threshold uncorrected, p<0.001).

Table 9. Top clusters from the comparisons of the OH group versus OL group after the RT modulation (uncorrected. p<0.001, kâ&#x2030;Ľ10).

Region

Cluster (voxels)

Local peak

t-value (peak)

Mean Z (peak)

MNI mm (x,y,z)

OH>OL Parietal-temporaloccipital

R supramarginal gyrus

43

3.93

3.64

(58,-40,32)

43 143

4.35 4.33 3.98

3.97 3.96 3.68

(66,-44,0) (-26,-84,-16) (-36,-80,-18)

182

4.06

3.75

(-14,-40,-2)

Frontal

R middle temporal gyrus L middle occipital gyrus L fusiform gyrus L parahippocampal gyrus R middle frontal gyrus L middle frontal gyrus R middle frontal gyrus Insula R cerebellum L cerebellum

25 25 11 10 22 65

3.80 3.71 3.57 3.57 3.69 4.13

3.53 3.46 3.34 3.34 3.44 3.80

(30,58,6) (-40,26,32) (42,34,18) (42,2,2) (30,-44,-22) (-42,-70,-34)

Other

Altogether, a broader neural network was found in the OH group when processing the dot-cross task than OL group. OH participants utilised a broad neural network, from frontal to parietal-temporal-occipital region, with strong additional signal neural activation in PFC when facing the cognitive challenge. Importantly, the OH group recruited more middle frontal regions, which are associated with attention and executive 27

functions. This is particularly the case when individuals process difficult spatial judgements. Brain activations in middle frontal regions suggest that OH participants enhanced their attention during difficult spatial judgements.

2.4

Summary of Experiment 2

The behavioural results in the neuroimaging study showed a categorical advantage effect. Categorical spatial judgments showed better performance than coordinate spatial judgments in the dot-cross task. The hemispheric lateralisation effects were not found in the either accuracy and reaction times. Unlike previous studies with young adults (Slotnick & Moo, 2006; van der Ham et al., 2009), the current paradigm did not show the hemispheric lateralisation effects. Yet the findings in the current experiment consistent with our unpublished data with young adults. Bilateral activations were observed when processing categorical and coordinate spatial judgments. The categorical condition showed greater activation in inferior and superior parietal regions in the ageing brain. When comparing the OH and OL group, OH participants showed better task performance (e.g., more accurate on trials) and also broader neural network than the OL group. The OL group showed stronger neural activations in some regions than the OH group yet their cognitive performance remained poor. When solving difficult trials, the OH group recruited additional regions in the parietal region, which is thought to be correlated with spatial processing. The OL group, however, did not show activations in the parietal regions and recruited less brain resources when performing difficult trials. The MFG and parahippocampal gyrus was activated more in the OH than the OL group when facing cognitive challenges.

The neuroimaging result reveals a scaffolding mechanism. The OH group showed a broader functional network compare with the OL group when process a new/unfamiliar cognitive task. Older participants showed greater activations in parietal and temporaloccipital regions, indicating their capability of recruiting task-related resources to perform the task. Moreover, greater activations of frontal and parietal regions were found in the OH than OL group. It appears that OH participants recruit additional attention/executive functions as well as task-related information when performing the visual-spatial task compared to OL group.

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In summary, bilateral neural activation was found in the old group when processing categorical and coordinate spatial relations. When comparing different brain networks between the OH and OL groups, the results suggest the abilities of recruiting neural network to a wide range and connecting different cognitive domains are associated with better cognitive ability. That is to say, being able to select relevant cognitive resources and involve more executive function leads to better cognitive function in healthy ageing.

Summary*and*Discussion* The first experiment included the neuropsychological battery, which examined participantsâ&#x20AC;&#x2122; general cognitive ability; the second experiment adopted fMRI with the dot-cross task to observe the underlying neural mechanism. The participants were further separated into high- and low-function groups in order to explore the cognitive and neural differences between the two groups. People with high- and low-cognitive ability revealed different networks in neuropsychological performance (HP vs. LP) and neural activations (OH vs. OL); low-performance participants showed additional association with verbal information when processing the visual-spatial memory task while the high-performance group exhibited a broader neural circuitry in the ageing brain. Moreover the LP group showed greater connections across different cognitive abilities than the HP group when comparing their neuropsychological performance. OH participants exhibited brain activations in frontal regions indicates their ability of recruiting executive functions when performing an unfamiliar cognitive task. These abilities may lead OH participants to maintain the cognitive ability in competence with age. Older adults who were less able to select relevant cognitive resources and supress irrelevant information would experience cognitive decline with age.

The lateralisation effects for categorical and coordinate spatial relations have been well demonstrated in young adults (Bruyer, Scailquin, & Coibion, 1997; Kosslyn et al., 1989; Kosslyn, Maljkovic, Hamilton, Horwitz, & Thompson, 1995; Slotnick & Moo, 2006; van der Ham & Postma, 2010; van der Ham, van Wezel, Oleksiak, & Postma, 2007) as well as patient studies (Kosslyn et al., 1995; Kosslyn, 2006; Palermo, Bureca, Matano, & Guariglia, 2008). However, the results derived from older people are 29

inconsistent; while some studies suggest that the lateralisation effect would not be affected by age (Hoyer & Rybash, 1992; Meadmore, Dror, & Bucks, 2009), others hold the opposite opinion (Bruyer et al., 1997). The current findings did not demonstrate the hemispheric lateralisation effects seem to support the latter notion. However, it is also possible that fewer trials conducted in the current study eliminate the effect of hemispheric specificity for the two spatial representations.

When comparing the neuroimaging results between the OH and OL group, the OH group included greater PFC activations than the OL group when faced with cognitive challenges. The recruitment of PFC regions demonstrated the ability of utilising extra attention and executive functions when performing harder tasks in high-performance participants.

Some methodological issues should be addressed in the current study. As mentioned previously, reduced number of trials in the dot-cross task could weaken the hemispheric lateralisation effects for categorical and coordinate spatial relations. Older participants would be required to undertake as many trials as the young group in the dot-cross task in order to investigate the lateralisation effects for the visual-spatial relations across life span. In addition, the current study only recruited from the healthy population. It is possible that the broad cognitive network, which maybe â&#x20AC;&#x153;distractingâ&#x20AC;? in the LP group only emerges within the healthy ageing process. The cognitive scaffold mechanism may be present in other population, such as patients with cognitive deficits. Further study with different groups will be helpful to understand the meaning of the observed broad cognitive network.

The current study combined both neuropsychological and neuroimaging results demonstrated a more complete picture to observe differences between high- and lowfunction adults in healthy ageing. The findings support the scaffolding hypothesis by demonstrating additional recruitment of helpful brain resources found in the OH compared to the OL group. More importantly, the ability to inhibit irrelevant information and select useful and relevant information is crucial when confronting agerelated cognitive decline.

30

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and Spatial Working Memory Revealed by PET. Journal of Cognitive Neuroscience, 12(1), 174–187. doi:10.1162/089892900561814 Reuter-lorenz, P. A., & Park, D. C. (2010). Human Neuroscience and the Aging Mind#: A New Look at Old Problems, 405–415. doi:10.1093/geronb/gbq035.

Reuter-lorenz, P. A., Stanczak, L., & Miller, A. (1999). Neural Recruitment and Cognitive Aging: Two Hemispheres Are Better Than One, Especially as You Age. Psychological Science. doi:10.1111/1467-9280.00195 Slotnick, S. D., & Moo, L. R. (2006). Prefrontal cortex hemispheric specialization for categorical and coordinate visual spatial memory. Neuropsychologia, 44(9), 1560– 8. doi:10.1016/j.neuropsychologia.2006.01.018 Van der Ham, I. J. M. (2010). Thinking left and right Neurocognitive studies on spatial relation processing. (Unpublished PhD thesis) Van der Ham, I. J. M., & Postma, A. (2010). Lateralization of spatial categories: a comparison of verbal and visuospatial categorical relations. Memory & Cognition, 38(5), 582–90. doi:10.3758/MC.38.5.582 Van der Ham, I. J. M., Raemaekers, M., van Wezel, R. J. A., Oleksiak, A., & Postma, A. (2009). Categorical and coordinate spatial relations in working memory: an fMRI study. Brain Research, 1297(1987), 70–9. doi:10.1016/j.brainres.2009.07.088 Van der Ham, I. J. M., van Strien, J. W., Oleksiak, A., van Wezel, R. J. A., & Postma, A. (2010). Temporal characteristics of working memory for spatial relations: an ERP study. International Journal of Psychophysiology!: Official Journal of the International Organization of Psychophysiology, 77(2), 83–94. doi:10.1016/j.ijpsycho.2010.04.008 Van der Ham, I. J. M., van Wezel, R. J. A., Oleksiak, A., & Postma, A. (2007). The time course of hemispheric differences in categorical and coordinate spatial processing. Neuropsychologia, 45(11), 2492–8. doi:10.1016/j.neuropsychologia.2007.03.021

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談 ＂Visual-Spatial processing in ageing: neuroimaging and cognitive correlates”及認知神經科學研究方法 林依禛／台灣陽明大學神經科學研究所 博士候選人

”Visual-Spatial processing in ageing: neuroimaging and cognitive correlates”將認知神經科 學研究方法做了十分完整的演繹。這個研究議題的重要性在於，全球老年人口的比例持續增加，然 而直至目前為止，我們對自然老化造成的認知功能變化，了解仍十分有限。目前研究已知，在老化 的過程中，視覺空間能力的退化，相較於語言能力的退化，似乎更顯著且快速，而視覺空間能力又 是生活中非常重要的一環。因此，對視覺空間能力的研究是非常必須的。除了對視覺空間能力的探 究，在老化相關的大腦研究中，現存的爭議之一是: 究竟在語言與視覺空間能力不一致的退化速度現 象，來自於語言相關區域以及視覺空間相關區域退化速率不同; 又或是大腦的老化現象是並非表現在 區域間的差異，而表現於整體使用網路更廣或縮小? 賴哲瑩的研究，探討「巨觀處理 - 象限」與「微 觀處理 - 距離」，本研究藉由功能性磁振造影(functional magnetic resonance imaging, fMRI)技術 ，觀察在大腦的層次，是否有「巨觀處理 – 左半腦優勢」及「微觀處理 - 右半腦優勢」之現象，在 了解老化族群之視覺空間處理的能力以外，同時回應大腦層次老化現象如何展現之爭議。 賴哲瑩在此研究中，串連數個已被反覆驗證且具有代表性的認知作業，以客觀與量化的方式，描述 參與實驗之受試者的基本認知功能。這些測試項目涵蓋多項關鍵的認知能力指標，包括智商、語言 推論能力、字彙數、語言工作記憶容量、按鍵作答速度、視覺空間辨別能力、視覺空間工作記憶等 。藉由這些作業的分數，首先，確認被對照的族群(例如:老年受試者)基本能力的一致性。當確認受 試者基本的一致性，在後續解釋實驗效果時，可大幅降低基本認知能力差異所造成的影響及變異。 其次，老化過程在不同的向度，對不同個體造成的影響程度變應性很大。這些測試作業，藉由客觀 的指標，讓研究者有機會將受試者分為不同的族群(例如: 能力較高 vs. 能力較低)，更深入探討各自 的認知功能是否展現不同的型態。 為驗證「巨觀處理 - 象限」與「微觀處理 - 距離」，在大腦的層次是否有「巨觀處理 – 左半腦優勢 」及「微觀處理 - 右半腦優勢」之現象。在研究方法上，賴哲瑩改善了過去系列研究所使用的實驗 派典(paradigm)，將「作業類別提示」出現的時機從題目一開始移到目標出現後。此調整使受試者 在接受目標時，處於較中性的情境中，而不是已持有特定的策略來觀察及記憶目標，因此後續所觀 測之結果可以被更客觀的解釋。此外，本研究使用功能性磁振造影技術，記錄受試者在執行視覺空 間作業時的血氧濃度相依對比（Blood oxygen-level dependent, BOLD）訊號。由於大腦區域接收 到該區域擅長或敏感的刺激而被活化時，會需要較高的血流來支持其消耗的氧氣與養份。因此，將 受試者執行兩個關鍵情境(例如: 象限 vs. 距離)作業時的BOLD訊號相比較，我們有機會可以辨識出與 關鍵情境相關的大腦區域網路。後續，賴哲瑩利用前述的多項認知作業將受試者區分為「能力較高 」與「能力較低」兩個子族群，比較其行為以及BOLD訊號的差異性。 賴哲瑩的實驗結果初步發現，年長者對「象限」及「距離」兩類視覺空間作業的處理歷程，與文獻 中年輕族群的資料並不同 – 年長者的視覺空間處理並沒有左右半腦各有優勢的側化現象。但值得注 意的是，「能力較高」族群的受試者在進行視覺空間作業時，似乎顯示他們的大腦被活化的區域較 多。這些區域包括與高層次視覺空間處理相關的顳葉-枕葉區域，以及與視覺空間整合相關之頂葉區 域。此結果較支持「能力較高」族群表現，來自於較廣的大腦活化區域此假說。目前賴哲瑩的實驗 資料，尚可使用更縝密的分析方法，例如: (1) 選定數個重要的觀測區域，檢視不同情境下BOLD活化 程度的差異; (2) 將行為的指標納入功能性磁振造影資料的分析，藉由行為指標與神經生理訊號的關 聯揭示大腦處理的機制。 整體而言，本研究點出老化研究在視覺與空間處理議題中的爭議，以「巨觀處理 - 象限」與「微觀 處理 - 距離」的實驗操弄，回應老化大腦的處理機制之辯論。本研究提出了客觀量化的指標評量受

試者的認知功能程度，提供合理的量化分群依據。在視覺空間作業方面，研究方法改善了過去在研 究派點的缺點，使受試者的作業的歷程更為中性。初步的神經造影資料顯示大腦的老化並非表現在 區域間的差異，而是「能力較佳」與「能力較低」的網路大小有所差異。後續更進一步的資料分析 應可為此議題提供更細緻的說明。

失業、經濟成長、和貿易： 奧肯定律在台灣的實證研究 Unemployment, Economic Growth, and Trade: Empirical Application of Okun's Law in Taiwan

劉禹伸／英國南安普頓大學經濟系博士候選人 Eric Yu-Shen LIU / PhD candidate in Economics, University of Southampton, UK

評論 Commentary： Dr. Jan Podivinsky／英國南安普敦大學經濟系教授 Associate Professor in Economics, University of Southampton, UK

University of Southampton

Unemployment, Economic Growth, and Trade: Empirical Application of Okunâ&#x20AC;&#x2122;s Law in Taiwan

Author: Yu Shen Liu

University of Southampton Department of Economics ysl1d10@soton.ac.uk

July 20th, 2015

Unemployment, Economic Growth, and Trade: Empirical Application of Okun’s Law in Taiwan Yu Shen Liu July 2015 Contents 1 Introduction

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2 Literature Review 3 2.1 Expanding the Okun Structure . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3 2.2 Decomposition of Stochastic Trend in Time Series Data . . . . . . . . . . . . . . .

3 2.3 Stability Analysis: Asymmetry and the Test for Known/Unknown Structural Breaks 4 2.4 Empirical Literature on Taiwanese Okun Structure . . . . . . . . . . . . . . . . . .

6 3 Theoretical Framework 3.1 the Relation between GDP Growth and Unemployment . . . . . . . . . . . . . .

3.1.1 Negative correlation: Neoclassical framework . . . . . . . . . . . . . . . .

3.1.2 Positive Correlation: Philippe Aghion and Peter Howitt (2004) . . . . . .

3.1.3 Positive Correlation in Economy Recession: Labour Hoarding Hypothesis 3.2 The relation between export growth and unemployment . . . . . . . . . . . . . .

3.2.1 H-O model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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4 Data Arrangement 4.1 Hodrick–Prescott filter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4.2 Addressing Seasonality: Holt-Winters Seasonal-Smoothing . . . . . . . . . . . . . .

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5 Empirical Results 5.1 Basic ADL model . . . . . . . . . . . . . . . . . . . . . . . . . . .

5.2 Chow test for known break dates: 1990q1 and 2002q1 . . . . . .

5.2.1 HP Dataset Chow test . . . . . . . . . . . . . . . . . . . .

5.2.2 HP Data Set Chow test and asymmetry . . . . . . . . . .

5.2.3 HW dataset Chow test . . . . . . . . . . . . . . . . . . . .

5.3 Quandt Likelihood Ratio (QLR) test: for an unknown break date

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6 Conclusion

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Appendices

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Appendix A Augmented Dickey–Fuller test for A.1 HP Filtered Cyclical Unemployment . . . . .

A.2 HP Filtered Cyclical GDP Growth . . . . . .

A.3 HP Filtered Cyclical Export Growth . . . . .

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HP and HW datasets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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A.4 HW De-seasonal Cyclical GDP growth . . . . . . . . . . . . . . . . . . . . . . . . .

A.5 HW De-seasonal Cyclical Export growth . . . . . . . . . . . . . . . . . . . . . . . .

Appendix B Test of Serial Correlation:Breush-Godfrey B.1 Unfilitered ADL Model B.2 Unfilitered ADL Model with Export B.3 HP ADL Model . .

B.4 HP ADL Model with Export B.5 HW ADL Model . .

B.6 HW ADL Model with Export B.7 HP ADL Model Chow Test B.8 HP ADL Model Chow Test Asymmetry B.9 HW ADL Model Chow Test B.10 HP ADL Model :Break Date = 1986q1 B.11 HW ADL model :break date = 1986q2

LM test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Appendix C Decision of Lag Order C.1 Selection of Lag Order: Information Criteria of HP-filtered Data . . . . . . . . . .

C.2 Selection of Lag Order: Information Criteria of HW-filtered Data . . . . . . . . . .

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Appendix D QLR statistics D.1 HP dataset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

D.2 HW dataset . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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List of Figures 1 2 3 4 5 6 7 8

Quarterly data of Real GDP and Real Exports in Taiwan (National-Statistics 2013) relative capital abundance ratio from 1991 to 2011 (World-Bank 2014, CentralBank-Of-Taiwan 2014, National-Statistics 2014) . . . . . . . . . . . . . . . . . . . .

Quarterly Unemployment rate, the Filtered Trend and Cyclical component of Taiwan from 1980 to 2012 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Quarterly Real GDP, the Filtered Trend and Cyclical growth of Taiwan from 1980 to 2012 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Quarterly Real Exports, the Filtered Trend and Cyclical growth of Taiwan from 1980 to 2012 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

The H-P Filtered Trends and HW De-seasonal trends of Taiwanese Quarterly Real GDP, and Real Exports from 1980 to 2012 . . . . . . . . . . . . . . . . . . . . . . .

Taiwanese Total Export and Export to China (National-Statistics 2013) . . . . . .

Composition of Export of Taiwanese Top 10 Trade Partners (National-Statistics 2013) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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List of Tables 1 2 3 4 5 6 7

ADL Model of Unfiltered Data, HP Data, De-seasonal Data .

F-statistics of Unfiltered Data, HP Data, De-seasonal Data . .

HP Dataset Chow Test and Asymmetry . . . . . . . . . . . . .

Chow Statistics of HP Dataset Chow Test and Asymmetry . .

HW Dataset Chow Test . . . . . . . . . . . . . . . . . . . . . .

Chow Statistics of HW dataset . . . . . . . . . . . . . . . . . .

ADL model (break date = 1986q1 for HP and 1986q2 for HW) ii

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Chow Statistics of HP and HW datasets at QLR Breaks . . . . . . . . . . . . . . .

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Abstract

Taiwan has long been recognized as an economic entity highly dependent on its international trade. This paper thus attempts to examine if export growth is in fact beneficial to the local unemployment rate. Within an ADL framework of GDP coefficients, export growth is added as an extra explanatory variable, in the hope to examine if Dutt et al’s prediction can be statistically supported with Taiwanese data. Furthermore, the Chow test is applied and proving that there is “shock” that would create structural changes, at 1990q1 when Taiwan reinitiates Trade with China, and at 2002q1, when Taiwan has joined WTO as a member country. Lastly, a Quandt Likelihood Ratio test is included and indicating that in early 1986, the structural change is most significant, which is consistent with historical events occurred during the time.

Key words: Okun, unemployment, trade, growth,

JEL classification: F16, E24

1

1. Introduction The minimization of unemployment and the promotion of economic growth, beyond question, have been the two recurring themes in macro-policy implementation of all countries. In the field of applied economic analysis, the relation between the growth rate of Gross Domestic Product (GDP) and the unemployment rate has been widely examined in various contexts, and remains controversial. Ever since the Okunâ&#x20AC;&#x2122;s empirical observation between the two variables has received attention worldwide, the well-known and constantly-elaborated â&#x20AC;&#x153;Okunâ&#x20AC;&#x2122;s lawâ&#x20AC;? became one of the mainstream approaches as to examining the dynamics of the overall economy. In his research, Okun(1962) proposes two versions of his model, i.e., the "difference version" and the "gap version."

For the difference version, the structure of the empirical model is composed with the first difference of GDP (yt ) and that of unemployment rate (ut ): â&#x2C6;&#x2020;yt = β0 + β1 â&#x2C6;&#x2020;ut + t

(1)

where â&#x2C6;&#x2020; is backward difference operator, t is white noise, and β1 is the GDP Coefficient. As for the gap model, it includes the gap between actual GDP and the long term equilibrium GDP, and the gap between actual unemployment rate and the long term equilibrium unemployment rate.

The model is structured as follows: yt â&#x2C6;&#x2019; ytâ&#x2C6;&#x2014; = β1 (ut â&#x2C6;&#x2019; uâ&#x2C6;&#x2014;t ) + t

(2)

The ytâ&#x2C6;&#x2014; is the long term equilibrium GDP, while uâ&#x2C6;&#x2014;t is the natural unemployment rate. With the latter model, Okun concludes that: for every 1% increase in the unemployment rate, by and large, GDP will drop by an additional 2% lower than its potential GDP (Okun 1962). We will apply this second model in the following analysis.

Okun Coefficients might function as benchmarks for macro policy fine-tuning in well-diversified manners. As a case in point, given a constant economic growth rate, the government could get a fix on estimation of expenditure on unemployment benefit, based on the estimated Okun coefficient. Another simple instance is the estimation of the short run Phillips curve, i.e., the nonlinear, negatively sloped correlation between unemployment rate and inflation rate. Such connection allows policy makers to forecast how prices would react to a current shock, and how monetary (or fiscal) policy should be implemented accordingly(Chen & Lin 2005). In a similar yet different vein, the structural changes of the said Okun coefficients, i.e., their stability (or instability) would allows policy makers (or more often, economists) to examine how factors changing in politics, labour markets, international or economic policies would have influence on the Okun coefficient, thereby determine the growth in production would more efficiently adjust the unemployment rate downward or not.

Okun structure analysis possesses different implications in different models. Weber (1995) applies the Autoregressive Distributed Lag (ADL) model to test the short term dynamics between the post-war U.S. cyclical unemployment rate and cyclical GDP (Weber 1995). Constructing a Vector Auto-Regression (VAR) model, in which the Okun Coefficient is derived from the coefficients of residuals (disturbances). Blanchard and Quah (1989) point out the negative relationship between the two variables would sustain only when the short term shock comes from the demand side (disturbance), whereas the short term shocks from supply side (disturbance) would only affect the cyclical GDP but not unemployment, and even a positive correlation between the two variables is observed (Blanchard & Quah 1989). Provided that GDP and unemployment rate are cointegrated, as Attfield and Silverstone (1998) demonstrate, the Okun coefficient can be thus

2

interpreted as the cointegrating coefficient between the variables, with the two-step cointegration model constructed by Engle and Granger (1987), while treating the stochastic trend or “permanent” component in GDP and unemployment both defined in terms of the Beveridge and Nelson decomposition(Attfield & Silverstone 1998, Engle & Granger 1987). Suffice it to say, these different empirical results do not estimate the same parameter, yet, each of them provides an estimate of the relationship between GDP and unemployment rate on different time scales. The original static model proposed by Okun in 1962 focuses on the dynamics between GDP and employment in the current period, while Weber’s ADL model shows the short term dynamics between the two variable. The estimates in the VAR model by Blanchard and Quah (1989) measures the dynamics between the one step ahead forecast errors, whereas the cointegrated coefficients proposed

by Engle and Granger (1987), and latter estimated by Attfield and Silverstone (1998) should be deemed as the long run estimates of the dynamics between the GDP and unemployment rate at equilibrium.

2. Literature Review 2.1. Expanding the Okun Structure A key component of this paper is to include new explanatory variables into the Okun dynamic structure, so to examine if the fluctuation in unemployment rate shall be affected by these factors equivalently as by GDP, if not more. Prachowny (1993) introduces supply side variables such as: capacity utilization rate, labour supply, and numbers of hours worked into the Okun structure, and determines that changes in weekly hours and movements in capacity utilization, in addition to adjustments in the unemployment gap, are significant influences on changes in the GDP gap (Prachowny 1993). In their attempt at reassessing Prachowny’s result, Attfield and Silverstone (1998) derive a robust result using the aforesaid cointegration model, which is consistent with previous research on the same U.S. data set(Attfield & Silverstone 1998). Other types of variables are also of potential to be included in the basic dynamics between GDP growth and the unemployment rate. Chang (2007), for instance, has included variables such as Foreign Direct Investment (FDI), the degree of openness of the domestic market, and exports to the rest of the world, into the relationship between GDP growth and unemployment in an expanded VAR model framework (Chang 2007). Chang concludes that FDI, one of the results of trade liberalization, in fact has a positive impact on the economic growth and no significant relationship with the unemployment rate, but exports have a negative relationship with the unemployment rate and a positive relationship with GDP growth in Taiwan. This paper will extend Chang’s research by including export growth into the Okun structure, as to examine whether the cyclical fluctuation in exports would significantly account for the variation in unemployment rate in Taiwan.

2.2. Decomposition of Stochastic Trend in Time Series Data The paper considers the "gap version" of Okun structure, amid which one of the puzzling tasks is to estimate the long term level of the variables in potential magnitude (e.g., yt∗ and u∗t ) so to derive the gap at each period. As Lee (2000) points out, in the original gap model proposed by Okun, Lee applied linear (deterministic)trends to measure the potential output level and the natural rate of unemployment, while since variables such as GDP and unemployment rate tends to be "integrated," i.e., requiring at least one time of difference to achieve as being covariance stationary 3

series. Okun’s approach would be hence misleading, which is why succeeding researchers "focus on estimation results that take the possible existence of stochastic trends into consideration" (Lee 2000, Nelson & Plosser 1982).

Gifted econometricians worldwide in the latter half of the last century has made different contributions in establishing econometric methods so to estimate the stochastic trend from integrated time series data. One of the most common approaches in Okun structure analysis is the nonlinear filter proposed by Hodrick and Prescott, i.e., the H-P filter. They constructed a minimizing loss function which is able to decompose the the smoothed trend component and the cyclical trend component from the stochastic series(Hodrick & Prescott 1997). The H-P filter has the following structure: T X (3) min [(yt − yˆt )2 + λ((ˆ yt+1 − yˆt ) − (ˆ yt − yˆt−1 ))2 ] t=1

where yt is the original data observed, yˆt is the trend component at time t to be solved with this minimization function, and λ is the penalty parameter. The first term within the brackets is the cyclical component, and the second term is the stochastic trend being smoothed. As Cogley and Nason points out, one of the many advantage in using the H-P filter in particular is that the resulting detrended component is a stationary series(Cogley & Nason 1995). Many empirical economists have applied such technique and demonstrated the consequentiality and robustness of the H-P filter. Lee (2000) as a case in point, has evaluated the robustness of the Okun relationship based on postwar data for 16 OECD countries, and discovered mixed evidence of asymmetric behavior, but strong evidence of structural breaks occurring around the 1970s, after which time most countries began to experience a smaller output loss associated with higher unemployment (Lee 2000). Also, Adanu (2005) has applied the H-P filter in the Okun estimation for the provinces in Canada and concludes that the cost of unemployment in terms of the loss in real GDP is higher in the bigger and more industrialized provinces than for the Maritime provinces (Adanu 2005). Similarly, Hung and Liang (2007) adopt the Hodrick-Prescott filter as to decompose the variables down to trend component and cyclical component, thus discovering asymmetry of the Okun coefficients, that is, the coefficients tend to be larger in a recession period than in expansion (Hung & Liang 2007).

This paper would also apply the H-P filter as one of the two methods to estimate the trend in time series data.

2.3. Stability Analysis: Asymmetry and the Test for Known/Unknown Structural Breaks As Prachowny (1993) opines, the Okun structure often suffers from being neglected by empirical and macro economists, in the sense that the negative relationship between unemployment and GDP is often taken for granted, or as implied by common sense, and thus receiving relatively less attention as opposed to that received by the Phillips Curve, even though it is "every bit as important as the Phillips curve in understanding the Aggregate Supply curve for any macro-economy".

(Prachowny 1993). As a matter of fact, some empirical economists discover that this relation is not as stable as many assumed, as the value and even the signs of the Okun coefficient might be altered by certain exogenous factors, be it macro policies for fiscal or monetary matters, or external events that would have influence on domestic economy via the said variables. Thence the studies of the stability of the Okun structure becomes salient for policy making. To start with, Silvapulle et al. (2004) discover an asymmetric relationship between GDP and unemployment rate in the Okun dynamic structure for the U.S. post-war, further substantiating that the short-run effects of pro-cyclical output on cyclical unemployment are quantitatively different from counter-cyclical ones, and the data are consistent with the proposition that cyclical unemployment is more sensi4

tive to counter-cyclical than to pro-cyclical output (Silvapulle et al. 2004). Harris and Silverstone, on the other hand, corroborate an asymmetric structure between changes in unemployment and real output for seven OECD countries, while finding that failing to take account of asymmetries would see a rejection of the hypothesis that there exists a long run relationship between unemployment and output (Harris & Silverstone 2001). Chiang (2006) has further provided empirical evidence of the negative correlation between GDP growth and unemployment in the cyclical sense, and asymmetric reaction of the Okun coefficients with different defined threshold values, based on quarterly data from 1961 to 1999 (Chiang 2006). Wan and Kaoh (2008) also proved such asymmetry with both a first-difference model and filtered model, and tested with different threshold values (Wan & Kao 2008). The related part of this paper would continue in testing such postulation of asymmetric pattern in the Okun structure, the method of which will be elaborated later.

Another possible reason that the Okun law appears to be unstable along the time axis is the existence of structural change, or a "break" as certain econometricians describe it, occurring within the economy being studied, due to some macro parameters exposed to certain shock, be it identifiable or not. One of the most common methods applied by econometricians to identify such a break is the Chow test. For expositional simplicity, suppose a regression model of Ordinary Least Squares (OLS): (4) yt = ι + βxt = where the data can be split into two groups, in this case, separated by a designated time: yt = ι1 + β1 xt = yt = ι1 + β2 xt =

(5)

The Chow test is thus to test the null hypothesis H0 : β1 = β2 , while the residual term ( ) is postulated to be independent and identically distributed (i.i.d), and follows a normal distribution, with 0 mean and some unknown variance(Chow 1960). In this simple regression model, let SC represent the the sum of squared residuals from the whole data, S1 and S2 be that of the first and second group respectively, N1 and N2 the numbers of observations in each group and k is the total number of parameters, then the Chow statistics that follows F distribution with k and N1 + N2 â&#x2C6;&#x2019; 2k is:

(SC â&#x2C6;&#x2019; (S( 1) + S2))/k (S1 + S2 )/(N1 + N2 â&#x2C6;&#x2019; 2k)

(6)

Among the literatures that studies the Okun structure, the Chow test is often applied to examine if the coefficient experiences any structural break at certain time point, when some historical event, be it political, economical, diplomatic or even military, occurs and shocks the economy.

To name but a few, economists such as Weber (1995) applied the Chow test on post-war data in the U.S. to examine whether a structural break occurs in the third quarter of 1973 (Weber 1995). Likewise, Moosa (1997) executes the Chow test to investigate the stability of Okunâ&#x20AC;&#x2122;s law for the G7 countries and finds some evidence supporting structural breaks after 1973 (Moosa 1997). Freeman (2000) has applied the said test and could not find evidence to substantiate that the Okun coefficient experiences structural change at 1977 for the national and regional data in the U.S. data set between 1959 and 1997 (Freeman 2000). SĂśgner and Stiassny (2002) discover a significant structural break occurred between 1982 and 1983 using Markov-chain Monte Carlo (MCMC) method on data sets of 15 OECD countries (SĂśgner & Stiassny 2002). Similar empirical attempts are made by Harris and Silverstone (2001) on the seven OECD countries, and Prachowny(1993) on the U.S. macro data set. (Harris & Silverstone 2001, Prachowny 1993) 5

There always exists positive possibilities that the structural breaks could occur at some unidentified dates along the time axis. Econometricans such as Quandt (1960) have tackled with such issue by elaborating the Chow test, locating the largest Chow statistics in a fixed time range between τ0 and τ1 . Such approach is known as the Quandt Likelihood Ratio (QLR) test and will be further addressed in the following sections (Stock & Watson 2006). Economists such as Lee (2000), using the said QLR test claims to find strong evidence of parameter instability and estimates the Okun’s coefficients by addressing identified structural breaks. These empirical results imply that the Okun coefficient estimates for sub-periods after a break tend to be smaller in absolute values than those before the breaks (Lee 2000). Furthermore, to test an unknown break date within a range of time, Beaton (2010) adopts the QLR test to compare the stability of Okun’s law for Canada and the United States, using a time varying parameter approach (Beaton 2010).

Moreover, Owyang and Sekhposyan (2012) apply the QLR statistic as to examine whether the Great Recession (2007q4–2009q2) has contributed to the breakdown of the empirical relationship (Owyang & Sekhposyan 2012).

2.4. Empirical Literature on Taiwanese Okun Structure To start summarizing the empirical literature that deciphers the Taiwanese Okun structure, Chen and Lin (2005) is probably the first empirical paper among Taiwanese Academe studying the Okun structure, using first difference series of output and unemployment with a non-parametric approach. They derive the estimate of Okun coefficient from disturbance term, substantiating the nonlinear pattern between GDP growth and unemployment rate (Chen & Lin 2005). Applying the Okun structure constructed by Prachowny (1993) and Attfield and Silverstone (1998), Chiang (2006) discover there are other variables from the supply side, such as labour supply and capital productivity that would significantly influence the Okun structure, but her finding does not fully corroborate with that concluded by Chen and Lin (2005), viz.: asymmetric pattern is substantiated in her first difference model, but not the gap models, derived with Beveridge-Nelson decomposition method and H-P filter respectively (Chiang 2006).As mentioned previously, Chang (2007) on the other hand, thinks"outside the box" by administering variables such as FDI, the degree of openness of the domestic market, and exports to the rest of the world, into the Taiwanese Okun structure in a VAR framework. Chang corroborates the negative relationship between GDP growth and unemployment rate, and between FDI inflow with unemployment rate (Chang 2007).

Adapting the H-P filter and Kalman Model respectively, Hung and Liang (2007) substantiates the asymmetric pattern in Okun structure with a Markov regime switching model, to wit, the Okun coefficient is larger in the recession period than that in economic expansion period (Hung & Liang 2007). In a similar attempt, Chen and Chang (2007) use a bivariate Markov switching model that estimates via Gibbs sampling to describe and the business cycles ad confirms the validity of asymmetry in the Okun coefficient(Chen & Chang 2007). Furthermore, as a reassessment of Chiang’s work (2006), Wan and Kaoh (2008) once again substantiate the asymmetry in Taiwanese Okun structure with both first difference model and gap model, using Hanson’s threshold test, and robustly showing the Okun coefficient is larger in recession than in expansion (Wan & Kao 2008, Hansen 1999). Lastly, the most recent work is accomplished by Tien (2010), in which both the first difference model and the gap model are administered within a ADL framework, while the inclusion of other variables, viz., the openness of economy (measured with the ratio between net export and GDP), the change of industry structure (measured with ratio between numbers of workers in manufacturing sector, and in tertiary sector), and the ratio of immigrant workers, appears to reduce the importance of GDP growth in terms of explanatory power. Tien further concludes with policy implications derived from her empirical findings, e.g., 1. expansion fiscal

6

or monetary policy is suggested to be relatively benign in recession than expansion since Okun coefficient is higher in the former. 2. As the openness of economy increases, the policy maker should try to cultivate and support medium sized corporations and domestic oriented industries, so to prevent the unemployment rate from worsening (Tien 2010).

Thus it can be seen that the empirical findings on Taiwanese Okun structure tend to focus

Figure 1: Quarterly data of Real GDP and Real Exports in Taiwan (National-Statistics 2013)

on the substantiation of the asymmetric pattern, while introducing new explanatory variables from the supply side. As a small open island economy, Taiwan is well known for the growing dependence on its exports. The fluctuation pattern thereof might be a missing piece to be added into the existing bilateral dynamics between unemployment rate and economy growth. As presented in Figure 1, Taiwanese quarterly exports exhibit a rapid yet constant growth from roughly 29% of the total GDP in the 1980s, up to approximately 75% of the total GDP at the end of 2012 (National-Statistics 2013). Such increasing reliance upon international markets is greatly affected

by Taiwanese trade policy. This paper aims to include the trade growth into the aforementioned dynamic of Okun structure, as a possible omitted variable, which could be explained theoretically by the search and match model derived by Dutt et al. in an international framework (Dutt et al.

2009). Such an arrangement is inspired by Tien’s work, but takes one step further, striving to utilize the said Okun structure in testing the break date when Taiwan experienced major historical change in terms of its international trade policy, joining a bilateral/multilateral Free Trade Agreement (FTA). Such an event might not be directly observed within the data on the unemployment rate, GDP growth, or export growth, nevertheless features in the dynamics between these variables. With the Chow test, it is possible to examine whether these interactions experience a sudden “break” at the assumed dates, and hence to see if Taiwanese trading policies are in fact crucial as Taiwanese citizens and academics alike believe them to be. Lastly, since the Chow test might not be comprehensive, a Quandt Likelihood Ratio (QLR) test, which is an extended version of the Chow test, is included, that locates the date when the break is most likely to occur. To test if the empirical method is robust, this method is applied to two data sets, which are both adapted from the PC-AXIS Macro data base of the National Statistics of Taiwan. The two data sets are differently filtered, either with the Hodrick–Prescott filter (H-P filter), a common method applied as to separate long term trend component and short-term cyclical component of variables, or with the Holt-Winters de-seasonal smoothing (HW de-seasonal) method, which tackles with the seasonality in GDP growth and export growth that might be inevitably included and thus

7

might create a biased result.

3. Theoretical Framework The following part of the Chapter aims to provide theoretical explanations of the dynamic between GDP growth rate and unemployment rate, and that between export growth rate and unemployment rate, via adapting theoretical results from the existing literature. The former is often observed to be negatively correlated in different contexts and times. Still, the dynamic between GDP growth rate and unemployment could be derived differently with varies theoretical framework and thus diversely interpreted by one author as opposed to another. This Chapter examines the applicability of existing general framework of the neo-classical model to Taiwanese data since 1981. In different sub-period positive correlation might be observed and would have to be otherwise explained by the following two possible scenario: 1) creative destruction effect that tend to happen in economic expansion (Aghion & Howitt 2005), and 2) labour hoarding hypothesis that are more often used to describe pro-cyclicality of unemployment during recession (Felices 2003).

This Chapter aims to distinguish the more likely theoretical explanation to address different sub periods accordingly. Lastly, adding export growth into the common bilateral structure between GDP growth rate and unemployment rate is supplemented by the theoretical result by Dutt et al. in 2009, which incorporates the long-established Heckscher–Ohlin model with the searching theory, as to explain the dynamic between trade exports and short term frictional unemployment.

3.1. the Relation between GDP Growth and Unemployment 3.1.1. Negative correlation: Neoclassical framework GDP growth and unemployment is negatively correlated, which can be derived from the following neo-classical framework adapted from Xu and Gong 2007 (Xu & Gong 2007): Assume production (Y) is a Cobb-Douglas function of capital input (K) and Labour input (L): Y = F (K, L) = K α Lβ

(7)

So the growth rate of production (y˙ ) can be deducted from the chain rule as follows: y˙ =

1 dK 1 dL 1 dY =α +β Y dt K dt L dt

∂F F where α = ∂K is the production flexibility of capital and β = K of labour. If assuming:

K = σY

(8) ∂F F ∂L L

is the production flexibility

(9)

where σ > 1 is the capital-production ratio And from equation 9 it can be further rewritten as: 1 dσ 1 dY 1 dK = + K dt σ dt Y dt By inputting the above result back to equation 8: (1 − α)y˙ =

α dσ 1 dL +β σ dt L dt 8

(10)

(11)

On the other hand, the unemployment rate (u) can be defined as follows: u =1−

L N

(12)

where 0<u<1, L is the amount of labour being employed, and N being the amount of labour force.

From equation 12, by rearranging it with similar logic, the growth rate of labour could further be derived as: 1 dL 1 dN 1 du (13) = − L dt N dt 1 − u dt Ergo, by inputting the result of equation 13 back to equation 11, the relation between the unemployment rate and the production growth rate can be rearranged as follows: 1 du α 1 dσ 1−α y˙ = n˙ + − 1 − u dt β σ dt β

(14)

where n˙ = N1 dN dt is the growth rate of labour force.

From equation 14 it is not difficult to discover, ceteris paribus, the growth rate of production is negatively correlated with unemployment over time.

3.1.2. Positive Correlation: Philippe Aghion and Peter Howitt (2004) The aforementioned framework depicts the relationship between unemployment rate and GDP growth to be negative while holding everything else to be constant. Nonetheless, Aghion and Howitt (2004) have included the factors that address technology progression and its effect on to the relationship in between. Γ u = 1 − p(v) (15) g Where u is the unemployment rate, Γ is the life cycle of production unit, g is the GDP growth rate (or production growth rate), and p (v) is the job creation rate. Accordingly, the “creative destruction effect” caused by technology improvement would decrease Γ and u thus increases, while holding all other variables constant, signifying the process of technology progression would create new jobs while destroying old ones. In this formula, the GDP growth rate and unemployment rate are positively correlated, i.e., when the creative destruction effect starts to kick in, new industries adopting new technologies would start to replace the old ones, requiring fewer jobs with increased marginal productivity, thus increasing the unemployment rate.

3.1.3. Positive Correlation in Economy Recession: Labour Hoarding Hypothesis Firms are said to hoard labour when they choose not to adjust their employment of labour in line with short-run fluctuations in demand for their product and, instead, allow their utilization of labour to vary over the cycle. Such behaviour would be sensible if firms face costs in adjusting the size of their workforce. It would result in employment being less volatile than output, and this in turn could explain why labour productivity tends to vary positively with the economic cycle (Felices 2003). Hence in recession, if the firms tend to keep the workers who cannot produce optimally as opposed to sacking them, then the unemployment will also have pro-cyclical movement.

9

3.2. The relation between export growth and unemployment The connection between export growth and unemployment might be differently described based on different theoretical framework.1 Consider an economy that produces two type of goods, X and Y, and the labour market corresponds to a standard Pissarides (2000) style search model embedded in a two sector set-up.

A producing unit in the intermediate goods production is a job-worker match. New producing pairs are created at a rate determined by a matching function of two measures of labour market participation, vacancies and unemployment: Mi (vi Li , ui Li ) = mi viγ u1−γ Li = mi θiγ ui Li i

(16)

where 0<γ<1, and θ is the market tightness, can be further expressed as: θ = uvii ; vi is the vacancy rate γ is the parameter capturing the vacancy intensity of the Cobb-Douglas matching function ui is the unemployment rate for sector i

3.2.1. H-O model In Dutt, Mitra and Ranjan’s theoretical derivation, the relative price will increase in favour of the good with comparative advantage in the Ricardian world, where countries can only be differentiated by different level of technology, and corresponding comparative advantage in different sectors. The following equation is adapted from their result, assuming good X is with comparative advantage and shall be exported: (1 − ϕ)px hx = (b +

(ρ + λ)δ K(λ + mθiγ ) −ϕ βδθ + )( ) 1−β (1 − β)mθγ−1 Lmθiγ

(17)

where ϕ is factor intensity px is the price of export good x hx is the is X sector’s total factor productivity (TFP) parameter b is the numéraire benefit unemployed workers received in each sector β is the bargaining power of workers through a process of Nash bargaining between the worker and the entrepreneur δ is the recruitment cost in the sector λ is the match broken rate γ is the elasticity of vacancy rate in the Cobb-Douglas matching function m is a scale parameter in the Cobb-Douglas matching function L is the labour force in the economy K is the total capital in the economy ρ is the discount factor; 0 <ρ < 1 K is capital–labour ratio k= (1−u)L When relative price ppxy increases, implying either px increases or py decreases, which increases market tightness θ for both sector: in capital intensive industry where both capital and labour swamp in, the vacancy rate vx growing slower than the unemployment rate ux , hence θ decreases, 1 For instance, based on the assumption of homogeneity in labour market, Janiak (2007) provided a different theoretical conclusion in which job creation is larger than job destruction due to the openness of international trade (Janiak 2007).

10

and in the labour intensive industry, the vacancy rate vy decreases faster than unemployment rate ux . In the two-factor Heckscher-Ohlin world (where the two sectors have different factor intensities ϕx 6= ϕy ),for the capital-abundant country, there is an expansion of the capital-intensive export (with comparative-advantage) sector accompanied by a shrinking of the labour-intensive import-competing (with comparative-disadvantage) sector. This leads to an increase in economywide demand for capital relative to labour for both sectors. This is observed from equation 18:

−1 y 1 1 − ϕx ϕϕxy−ϕ hx px ϕy −ϕ ϕy ϕxϕ−ϕ y ( y ( x ) ) ) ϕx 1 − ϕy hy py −1 1 ϕy ϕx 1 − ϕx ϕϕxx−ϕ hx px ϕy −ϕ y ( x ky = ( ) ϕx −ϕy ( ) ) ϕx 1 − ϕy hy py

kx = (

(18)

In their model, the capital earning r for both sector is endogenously determined as follows: r = pi hi ϕi kiϕi −1 w =b+

β ρ + λi δi (δi θi + ) 1−β mi θiγ−1

(19)

(20)

and the steady state unemployment rate for both sectors is: u ˆi =

λi λi + mi θiγ

(21)

As k decreases in both sectors, the consequent net effect is capital earning r increased as shown in equation 19, wages w lowered for both sector as shown in equation 20 since θ decreases for both sectors, and overall steady state unemployment would thereby be increased in a capital abundant country as shown in equation 21. The reverse effect occurs in a labour-abundant country. This result is a modified version of the Stolper-Samuelson theorem: the wage falls, the rental on capital rises and the unemployment rate rises in the capital abundant country, after international trade is opened2 .

Thus, from the earlier theoretical result, if as seen in Figure 23 , a relative capital-intensive country, say, Taiwan, opens up a trade or encounters any form of external events that increases the bilateral trade flow with a then labour intensive partner, e.g., China, might be expecting its domestic unemployment should have increased corresponding to trade growth after 1990, when the two re-initiated bilateral trade. On the other hand, if such trade liberalization is with a capital intensive country, or a group of countries within a FTA (e.g., World Trade Organization) with a higher average capital-labour ratio than Taiwan, then the theory predicts the unemployment rate would decrease as exports experience positive growth after 2002, when Taiwan was admitted as a member in the WTO. 2

For more comprehensive proof, please see the work of Dutt et al.(Dutt et al. 2009) Figure 2 presents a measurement of relative capital abundance (i.e., gross capital divided by employed labour) of different countries (or a group of countries, i.e., WTO) as time being, based on which the countries could be determined as relatively capital-abundant or relatively labour-abundant when compared with other country. For instance, in 1990, Taiwan is relatively capital abundant than China. The data for Taiwan is captured from Central Bank of Taiwan for the gross capital, and National Statistics for annual statistics of labour, whereas those for the rest of the countries are adapted from World Bank database. For further definition of the measurement, please see Leamer’s work (Leamer 1980).

3

11

Figure 2: relative capital abundance ratio from 1991 to 2011 (World-Bank 2014, Central-Bank-Of-Taiwan 2014, National-Statistics 2014)

4. Data Arrangement 4.1. Hodrick–Prescott filter In the theoretical framework, unemployment is decided from market tightness in the labour market, i.e., it captures the frictional unemployment that more likely to occur in the short run. Hence it would not be unwise to estimate such unemployment with the cyclical component, which is de-trended from the quarterly unemployment in the original data set. One of the most common approaches among empirical analyses of Okun coefficient is the Hodrick-Prescott filter. The following part describes how the H-P filter is adopted4 min

T X

[(ut − u ˆt )2 + λ((ˆ ut+1 − u ˆt ) − (ˆ ut − u ˆt−1 ))2 ]

(22)

t=1

ut : Original time series of unemployment rate data u ˆt : a smoothed trend component and let u∗t = ut − u ˆt : deviation from trend, i.e., cyclical component By solving the minimization problem in equation 22, it is possible to find u ˆt , and ut − u ˆt for each period. min

T X

[(yt − yˆt )2 + λ((ˆ yt+1 − yˆt ) − (ˆ yt − yˆt−1 ))2 ]

(23)

t=1

yt : Original time series of real GDP yˆt : a smoothed trend component and let yt∗ = (yt − yˆt )/ˆ yt : percentage deviation (growth) from trend, i.e., cyclical component of real GDP By solving the aforementioned minimization problem, it is possible to find yˆt , and yt − yˆt for each period.

4 Although the use of HP filter has been subject to heavy criticism, as Ravn and Uhlig demonstrate, it is likely that the HP filter will remain one of the standard methods for detrending, hence it is applied here (Ravn & Uhlig 2002).

12

Also, repeat the same method on export data: min

T X ˆ t )2 + λ((export ˆ t+1 − export ˆ t ) − (export ˆ t − export ˆ t−1 ))2 ] [(exportt − export

(24)

t=1

exportt : Original time series of real exports ˆ t : a smoothed trend component export ˆ t )/export ˆ t : percentage deviation(growth) from trend, i.e., and let export∗t = (exportt − export 5 cyclical component of real exports

Figure 3: Quarterly Unemployment rate, the Filtered Trend and Cyclical component of Taiwan from 1980 to 2012

Also, as obvious from the Figure 3, Figure 4 and Figure 5 above, we could observe a trend in the unemployment rates the real GDP, and the real exports. Such observations are verified by Augmented Dickey Fuller tests6 .

4.2. Addressing Seasonality: Holt-Winters Seasonal-Smoothing To examine robustness of the empirical model, it might not be unsensible to forge another data set via similar de-trending method. Also, the H-P filter, though commonly applied in the empirical literature of Okun coefficients, is in fact inadequate to address on the issue of seasonality. Again from the original data below in Figure 6, it is obvious that there might be seasonality in both real GDP and real exports, which shall be taken care in the following passage with the HoltWinters seasonal smoother. The Holt-Winters smoothing is an exponential smoothing method that generate a smoothed trend while incorporating with seasonal adjustment. The principle 5 As suggested by Hodrick and Prescott, the is set to be equal to 1600, which specifically applicable for quarterly data(Hodrick & Prescott 1997).

6 See Appendix A.1, Appendix A.2, and Appendix A.3

13

Figure 4: Quarterly Real GDP, the Filtered Trend and Cyclical growth of Taiwan from 1980 to 2012

Figure 5: Quarterly Real Exports, the Filtered Trend and Cyclical growth of Taiwan from 1980 to 2012

behind is as follows: Lt = α

yt + (1 − α)(Lt−1 + bt−1 ) St−s

bt = β(Lt − Lt−1 ) + (1 − β)bt−1 yt + (1 − γ)St−s St = γ Lt

(25)

Ft+k = (Lt + kbt )St+k−s where Lt is the smoothed observation (level) at time t, yt is the observation at time t, s is the length of the seasonal cycle, bt is the trend factor at time t, St is the seasonal factor, picking up the differences between the current level and the data at that time in the seasonal cycle, 14

and Ft+k is the forecast k periods from time t, while α ,β, and γ are calibrated by software as to derive an optimal smoothed trend7 .

The result is demonstrated in Figure 6

Figure 6: The H-P Filtered Trends and HW De-seasonal trends of Taiwanese Quarterly Real GDP, and Real Exports from 1980 to 2012

The seasonally-smoothed estimates for GDP and export are denoted as yhw and exporthw respectively, and by applying the same logic in the H-P filter case, the “de-seasonal” growth rate of GDP ( written as HWsrGDPth in the following table) and that of export, HWsexportgth8 : HW srGDP th = (y − yhw )/yhw HW sexportgth = (export − exporthw )/exporthw

(26)

5. Empirical Results 5.1. Basic ADL model The following part applies the Autoregressive Distributed Lag model9 , measuring how current unemployment is affected by its lag terms, the lag terms of GDP growth (noted as the GDP coefficients in the following sections), as shown in equation 27, whereas adding export growth in equation 28. Readers are suggested to pay attention to the fact that, the coefficients "β1,i " here are not the Okun coefficient applied and defined by most literature of Okun coefficient, but the coefficients that describe the marginal correlation of GDP growth with unemployment, applying the Okun structure. The coefficients "β1,i " would be referred as "GDP coefficients" in the following 7

α ,β, and γ for GDP is 0.763, 0.037, and 1; whereas those for exports is 0.895, 0 and 1 respectively.

Likewise, the “de-seasonal” growth rates of the two variables are also stationary, as shown via the result of Augmented Dicky-Fuller test in Appendix A.4 and Appendix A.5 9 In time series analysis, the Ordinary Least Square (OLS) estimator sometimes is not the Best Linear Unbiased Estimator (BLUE) for two reasons. 1): serial correlation of the residual terms, and 2) heteroskedasticity. With the Breush-Godfrey LM test, the first problem is diagnosed for each of the following models and proved to be suffering from issue of serial correlation as shown from Appendix B.1 to Appendix B.11. Also, the heteroskedasticity is tested to exist by White’s General Test (the p-value is 0.457 in average for all models). This is why the following models are modified by applying Newey-West Heteroskedastic-and-Autocorrelation-Consistent Standard Errors. Hence the estimates derived are still consistent and efficient 8

15

sections. In a similar expression, the coefficient describes the marginal correlation between export growth and unemployment rate would be referred as "export coefficients." The results are derived from the original, unfiltered data in first difference, the HP-filtered dataset, and the Holt-Winters De-seasonal dataset as to see if the result is of robustness10 : uâ&#x2C6;&#x2014;t = Îł1 +

p X

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1

uâ&#x2C6;&#x2014;t = Îł1 +

p X i=1

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i +

(27)

i=1 p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i +

i=1

p X

δ1,i exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

(28)

i=1

From Table 2, the F statistics for the de-seasonal ADL model support that the lag terms of unemployment rates (F=94.98 without exports, F=129.61 with exports ), the lag terms of deseasonal GDP growth (F=8.83 without exports, and F=3.59 with exports), and the lag terms of de-seasonal export growth (F=3.9 with exports) all Granger-cause the current level of cyclical unemployment rate respectively, the result of such coincides with that of the HP-filtered model and that of the original model11 . ÂŻ 2 of the three data sets support adding export growth as independent variables, The values of R ÂŻ 2 increases from 0.844 without export to 0.858 but imply better performance for the HP data (R 2 ÂŻ with export) and HW de-seasonal data (R increases from 0.838 without export to 0.85 with exË&#x2020; 2 increases from 0.611 without export to 0.636 with export). port) than that of unfiltered data (R From Table 1, among the three data sets, GDP coefficients appear to be almost identical in terms of directions for each terms but differentiated in significant level, whether or not export growth is included. In both unfiltered and HP datasets, the GDP coefficients presents some terms negative (ranging from -4.48 to -1.9) supporting neo-classical prediction, and some positive (ranging form 2.41 to 4.81) that could be evidence of either creative destruction effect, or labour hoarding.

Whereas in the HW de-seasonal dataset, GDP coefficients (ranging from -5.42 to -2.35) appear to be more consistent with neo-classical prediction with statistic significance. As for export growth, the coefficients (ranging from â&#x20AC;&#x201C;1.1 to -0.89 for the significant negative terms, and ranging from 0.93 to 1.85 for significant positive terms) appears to be more supportive to the conclusion of Dutt el al., with positive coefficients close to 1 in three data sets.

10 As suggested by Gonzalo and Pitarakis (2002) and by Ivanov and Kilian (2005)., the lag order is decided to be 5 for unemployment, de-trended GDP growth and de-trended export growth, according to the result of Information Criteria as shown in Appendix C.1 and Appendix C.2.(Gonzalo & Pitarakis 2002, Ivanov & Kilian 2005) 11 In Table 2, for Unfiltered ADL Model, F of unemployment =118754 without export and 903.89 with export, F of GDP =12.3 without export and 5.33 with export, and F of export growth =4.15 with export. For HP ADL Model, F of unemployment =49.02 without export and 51.89 with export, F of GDP =10.67 without export and 2.87 with export, and F of export growth =3.76 with export

16

Table 1: ADL Model of Unfiltered Data, HP Data, De-seasonal Data Unfiltered ADL Model with Export Unemployment funemp L1.

0.277** 0.251* (0.124) (0.146) L2.

-0.093 -0.00816 (0.081) (0.084) L3.

-0.133 -0.146* (0.088) (0.086) L4.

0.555*** 0.536*** (0.094) (0.097) L5.

-0.296*** -0.213** (0.098) (0.106) GDP flrgdp L1.

-4.481*** -2.308 (1.286) (1.741) L2.

-2.081* -1.505 (1.091) (1.271) L3.

-0.423 -0.266 (0.969) (1.264) L4.

-0.893 -2.362* (1.097) (1.262) L5.

3.566*** 1.649 (1.088) (1.515) Export flexport L1.

-0.694 (0.613) L2.

-0.399 (0.561) L3.

-0.316 (0.617) L4.

1.341** (0.593) L5.

0.778 (0.517) Adjusted R2 0.611 0.636 legend: * p<0.05 ** p<0.01 *** p<0.001 Unfiltered ADL Model

HP ADL Model

HP ADL Model with Export

0.852*** 0.924*** (0.084) (0.091) -0.131 -0.137 (0.102) (0.095) -0.0643 -0.153* (0.090) (0.084) 0.653*** 0.688*** (0.107) (0.107) -0.490*** -0.501*** (0.074) (0.076) HPcGDPgth -3.853*** -2.296* (0.937) (1.353) -0.059 -1.241 (0.674) (1.103) 2.409*** 1.823 (0.732) (1.114) 0.388 -1.909* (0.684) (1.134) 4.814*** 4.807*** (1.035) (1.578) Hpexportgth -0.563 (0.597) 0.39 (0.651) -0.027 (0.637) 1.854*** (0.553) -1.084* (0.600) 0.844 0.858

De-seasonal ADL Model

De-seasonal ADL Model with Export

Hpunemp 0.817*** 0.822*** (0.068) (0.072) -0.0373 -0.0516 (0.075) (0.088) -0.141* -0.0843 (0.075) (0.080) 0.738*** 0.760*** (0.101) (0.115) -0.652*** -0.713*** (0.093) (0.096) HWsrGDPth -5.422*** -3.705*** (1.022) (1.154) -3.152*** -3.394*** (0.826) (1.253) -1.292 -1.575 (1.004) (1.093) -0.501 -2.348* (1.025) (1.241) 1.605 -0.624 (1.208) (1.304) Hwsexportgth -0.885* (0.470) 0.028 (0.542) -0.148 (0.561) 1.608*** (0.488) 0.934** (0.376) 0.838 0.85

Table 2: F-statistics of Unfiltered Data, HP Data, De-seasonal Data

Unfiltered ADL Model Unmeployment GDP Export

F(5,109) =118754 Prob=0.0000 F(5,109) =12.30 Prob=0.0000

Unfiltered ADL Model with Export F(5,104) =903.89 Prob=0.0000 F(5,104) =5.33 Prob=0.0002 F(5,104) =4.15 Prob=0.0018

HP ADL Model F(5,110) =49.02 Prob=0.0000 F(5,110) =10.67 Prob=0.0000

HP ADL Model with Export F(5,105) =51.89 Prob=0.0000 F(5,105) =2.87 Prob=0.0181 F(5,105) =3.76 Prob=0.0036

17

De-seasonal ADL Model F(5,110) =94.98 Prob=0.0000 F(5,110) =8.83 Prob=0.0000

De-seasonal ADL Model with Export F(5,105) =129.61 Prob=0.0000 F(5,105) =3.59 Prob=0.049 F(5,105) =3.90 Prob=0.0028

5.2. Chow test for known break dates: 1990q1 and 2002q1 For time series analysis, the Chow test has been widely adapted to detect a structural change at a given break date after which the coefficients of explanatory variables are significantly different.

If in fact, exports from Taiwan to the rest of the world is explanatory as it appears in the model, then it might be discernible that the GDP coefficients, and the coefficients of the export growth rates (i.e, the the impact of the variables upon unemployment) might have significantly changed after the break dates, when Taiwan has re-initiated its trade with Mainland China in February of 1990, or when Taiwanâ&#x20AC;&#x2122;s application as a WTO member was finally approved in January of 2002, according to the H-O prediction proposed by Dutt et al. Hence the earlier ADL model is re-established as follows: uâ&#x2C6;&#x2014;t =Îł1 +

p X

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1

+

p X

p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i +

i=1

δ1,i exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + Îł2 OP ENtâ&#x2C6;&#x2019;i+1 +

i=1

â&#x2C6;&#x2014; β2,i OP ENtâ&#x2C6;&#x2019;i+1 ytâ&#x2C6;&#x2019;i +

i=1 p X

p X

p X

p X

Îą2,i OP ENtâ&#x2C6;&#x2019;i+1 uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i

i=1

δ2,i OP ENtâ&#x2C6;&#x2019;i+1 exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + Îł3 W T Otâ&#x2C6;&#x2019;i+1 +

i=1

Îą3,i W T Otâ&#x2C6;&#x2019;i+1 uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1

p X

â&#x2C6;&#x2014; β3,i W T Otâ&#x2C6;&#x2019;i+1 ytâ&#x2C6;&#x2019;i +

i=1

p X

δ3,i W T Otâ&#x2C6;&#x2019;i+1 exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1

(29) The model attempts to divide the time axis into three sub-periods: A) before 1990q1, B) between 1990q1 and 2002q1, and C) after 2002q1 with the dummy variables:

OP ENt =1 if the date is between 1990q1 and 2002q1, and 0, otherwise

W T Ot =1 if the date is af ter 2002q1, and 0, otherwise Before 1990q1 (OP ENt and W T Ot are both 0) the regression can be rearranged into: uâ&#x2C6;&#x2014;t

= Îł1 +

p X

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i

+

i=1

p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i

i=1

+

p X

δ1,i exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

(30)

i=1

Between 1990q1 and 2002q1 (OP ENt =1 and W T Ot = 0): uâ&#x2C6;&#x2014;t = Îł1 + Îł2 +

p p p X X X â&#x2C6;&#x2014; (Îą1,i + Îą2,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + (β1,i + β2,i )ytâ&#x2C6;&#x2019;i + (δ1,i + δ2,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1

(31)

i=1

And after 2002q1 (OP ENt =0 and W T Ot = 1): uâ&#x2C6;&#x2014;t = Îł1 + Îł3 +

p p p X X X â&#x2C6;&#x2014; (Îą1,i + Îą3,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + (β1,i + β3,i )ytâ&#x2C6;&#x2019;i + (δ1,i + δ3,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1

(32)

i=1

In short, the chow test statistic would test the null hypothesis H0 : the coefficient (Îł2 ) of dummy variable (OP ENt ) that indicates the assumed break date at 1990q1, and those of its interactive terms with unemployment rate (Îą2,i where i = 1â&#x2C6;ź p ) are all zero, , against the alterative H1 : at least one of them is non-zero. Such test is reproduced for cyclical GDP growth (β2,i where i = 1â&#x2C6;ź p) and cyclical trade growth (δ2,i where i = 1â&#x2C6;ź p), and also, testing H0 : the coefficient (Îł3 ) for a different dummy variable (W T Ot ), that indicates the assumed break date at 18

2002q1, and those of its interactive terms with unemployment rate (Îą3,i where i = 1â&#x2C6;ź p ) are all zero, against the alterative H1 : at least one of them is non-zero. And such test is reproduced for cyclical GDP growth (β3,i where i = 1â&#x2C6;ź p) and cyclical trade growth (δ3,i where i = 1â&#x2C6;ź p).

If the result of the test verifies the breaks occur at either of the assumed dates, it would be taken further to test if the asymmetric dynamics in economic expansion (when K=1) and in recession (when K=0) exists as found by Chen and Lin (Chen & Lin 2005). Hence the last ADL model in equation 29 could be rearranged as: â&#x2C6;&#x2014;

ut =Îł1 +

p X

â&#x2C6;&#x2014;

Îą1,i utâ&#x2C6;&#x2019;i +

i=1 p X

p X

â&#x2C6;&#x2014;

β1,i ytâ&#x2C6;&#x2019;i +

i=1 â&#x2C6;&#x2014;

Îą2,i OP ENtâ&#x2C6;&#x2019;i+1 utâ&#x2C6;&#x2019;i +

â&#x2C6;&#x2014;

Îą3,i W T Otâ&#x2C6;&#x2019;i+1 utâ&#x2C6;&#x2019;i +

p X

â&#x2C6;&#x2014; Îą4,i Ktâ&#x2C6;&#x2019;i utâ&#x2C6;&#x2019;i

+

p X

p X

â&#x2C6;&#x2014;

δ2,i OP ENtâ&#x2C6;&#x2019;i+1 exporttâ&#x2C6;&#x2019;i + Îł3 W T Otâ&#x2C6;&#x2019;i+1 +

i=1 â&#x2C6;&#x2014;

β3,i W T Otâ&#x2C6;&#x2019;i+1 ytâ&#x2C6;&#x2019;i +

p X

â&#x2C6;&#x2014;

δ3,i W T Otâ&#x2C6;&#x2019;i+1 exporttâ&#x2C6;&#x2019;i + Kt Îł4 +

i=1

â&#x2C6;&#x2014; β4,i Ktâ&#x2C6;&#x2019;i ytâ&#x2C6;&#x2019;i

i=1

+

p X

â&#x2C6;&#x2014; δ4,i Ktâ&#x2C6;&#x2019;i exporttâ&#x2C6;&#x2019;i

+

p X

i=1 â&#x2C6;&#x2014;

β5,i OP ENtâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i ytâ&#x2C6;&#x2019;i +

p X

â&#x2C6;&#x2014;

β6,i W T Otâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i ytâ&#x2C6;&#x2019;i +

i=1

p X

(33) â&#x2C6;&#x2014; Îą5,i OP ENtâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i utâ&#x2C6;&#x2019;i +

i=1 â&#x2C6;&#x2014;

δ5,i OP ENtâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i exporttâ&#x2C6;&#x2019;i +

p X

â&#x2C6;&#x2014;

Îą6,i W T Otâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i utâ&#x2C6;&#x2019;i +

i=1

i=1

i=1 p X

â&#x2C6;&#x2014;

β2,i OP ENtâ&#x2C6;&#x2019;i+1 ytâ&#x2C6;&#x2019;i +

i=1

i=1 p X

p X i=1

i=1 p X

â&#x2C6;&#x2014;

δ1,i exporttâ&#x2C6;&#x2019;i + Îł2 OP ENtâ&#x2C6;&#x2019;i+1 +

i=1

i=1 p X

p X

â&#x2C6;&#x2014;

δ6,i W T Otâ&#x2C6;&#x2019;i+1 Ktâ&#x2C6;&#x2019;i exporttâ&#x2C6;&#x2019;i +

i=1

where Kt =0 if ytâ&#x2C6;&#x2014; < 0 1 if ytâ&#x2C6;&#x2014; â&#x2030;Ľ 0 While the definitions of dummy variable OP ENt , W T Ot inherit from the pre-established model.

Such an arrangement further divides the three sub-periods to 6 by regrouping into recession and expansion periods within each subperiod. When OP ENt =0 W T Ot =0 (before 1990q1): Recession if Kt = 0, uâ&#x2C6;&#x2014;t = Îł1 +

p X

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1

p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i +

i=1

p X

δ1,i exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

(34)

i=1

And Expansion if Kt = 1, uâ&#x2C6;&#x2014;t = Îł1 + Îł4 +

p p p X X X â&#x2C6;&#x2014; (β1,i + β4,i )ytâ&#x2C6;&#x2019;i + (δ1,i + δ4,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + (Îą1,i + Îą4,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1

(35)

i=1

When OP ENt =1 W T Ot =0 (between 1990q1 and 2002q1): Recession if Kt = 0,

uâ&#x2C6;&#x2014;t = Îł1 + Îł2 +

p p p X X X â&#x2C6;&#x2014; (β1,i + β2,i )ytâ&#x2C6;&#x2019;i + (δ1,i + δ2,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + (Îą1,i + Îą2,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1

(36)

i=1

And Expansion if Kt = 1, uâ&#x2C6;&#x2014;t =Îł1 + Îł2 + Îł4 +

p p X X â&#x2C6;&#x2014; (β1,i + β2,i + β4,i + β5,i )ytâ&#x2C6;&#x2019;i + (Îą1,i + Îą2,i + Îą4,i + Îą5,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1 p X (δ1,i + δ2,i + δ4,i + δ5,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

19

(37)

When OP ENt = 0 W T Ot = 1 (after 2002q1): Recession if Kt = 0,

uâ&#x2C6;&#x2014;t = Îł1 + Îł3 +

p p p X X X â&#x2C6;&#x2014; (Îą1,i + Îą3,i )uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + (β1,i + β3,i )ytâ&#x2C6;&#x2019;i + (δ1,i + δ3,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + i=1

i=1

(38)

i=1

And Expansion if Kt = 1, uâ&#x2C6;&#x2014;t

p p X X â&#x2C6;&#x2014; â&#x2C6;&#x2014; (β1,i + β3,i + β4,i + β6,i )ytâ&#x2C6;&#x2019;i + =Îł1 + Îł3 + Îł4 + (Îą1,i + Îą3,i + Îą4,i + Îą6,i )utâ&#x2C6;&#x2019;i + i=1

i=1 p X

(δ1,i + δ3,i + δ4,i +

δ6,i )exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i

(39)

+

i=1

5.2.1. HP Dataset Chow test From Table 4 Chow statistics of HP dataset imply the auto-correlated coefficients of unemployment (F=5.25 for OPEN, and F=5.75 for WTO) and the coefficients of export (F=4.5 for OPEN and F=4.32 for WTO) do experience structural changes at 1990q1 and 2002q1, but not significant ÂŻ 2 increases from for that of GDP coefficients (F=1.29 for OPEN and F=1.71 for WTO). Also R 0.858 to 0.907, implying that explanatory power is enhanced due to adding structural changing dummy indicators of time and the interaction terms.

Before 1990q1, the significantly positive GDP coefficient (7.012) supports the creative destruction effect proposed by Aghion and Howitt, which is more likely to happen in the expansion period, when Hsinchu Science and Industrial Park was built and entrepreneurs were encouraged to invest in high-technology intensive industries with high added-value, e.g., IC industry or similar ones producing electronic goods, that require relative high-skilled workers than unskilled ones, and the unemployment rate thus increases as the gross domestic production level sours. The significantly negative export coefficients (-2.106 and -2.869) verify the H-O prediction of Dutt et al., since in the same sub-period, the major partner of international trade are capital abundant countries such as United States and Japan, to which Taiwan inevitably assumed the role as a relative labour abundant country exporting the electronic components that requires intensive labour with relatively less skill (as opposed to their counterpart in U.S. and Japan) rather than capital investment.

20

Table 3: HP Dataset Chow Test and Asymmetry

HPunemp L1.

L2.

L3.

L4.

L5.

HPcGDPgth L1.

L2.

L3.

L4.

L5.

HP ADL Model

Before 1990q1

1990q1 ∼2002q1

After 2002q1

Before 1990q1 K=0

Before 1990q1 K=1

1990q1 ∼2002q1 K=0

1990q1 ∼2002q1 K=1

After 2002q1 K=0

After 2002q1 K=1

0.924*** (0.091) -0.137 (0.095) -0.153* (0.084) 0.688*** (0.107) -0.501*** (0.076)

0.279 (0.202) -0.463* (0.266) -0.185 (0.193) 0.088 (0.210) -0.22 (0.162)

0.969

0.997

0.734

1.128

1.152

1.027

1.073

-0.035

0.096

-1.212***

0.095*

-0.229

0.4

0.212

-0.435

0.047

0.12

-0.691

-0.829

-0.199

-0.365

0.575

0.3

-0.585***

0.580*

0.844*

0.38

0.562

-0.466

-0.39

1.227*** (0.172) -0.522*** (0.090) -0.212 (0.219) 1.252*** (0.118) -1.160*** (0.299)

-1.342

-0.370**

-0.24

-0.459

-0.409

-2.296* (1.353) -1.241 (1.103) 1.823 (1.114) -1.909* (1.134) 4.807*** (1.578)

-0.0682 (3.135) -2.656 (4.287) 7.012* (3.573) 0.854 (3.209) 4.225 (2.734)

-4.845

-6.269

11.880***

-4.130***

-9.130***

-5.760***

-6.700***

-2.225

-3.942

18.551**

-4.686**

-4.379

-7.536**

-4.366

0.164*

1.261

11.310***

4.090***

-0.600**

2.510***

-2.620**

-2.991

-0.543

4.523

-4.232

-3.333

4.829

-1.985

3.617

7.524

-25.05*** (2.968) 8.864*** (2.170) 34.16*** (2.662) -4.203* (2.256) -33.31*** (4.503)

59.370***

0.830***

-2.820***

-0.300***

5.780***

0.096

0.929

12.032***

-0.805***

2.263

1.188*

2.331

0.492**

2.943**

-3.193

0.572

1.588

5.792

2.29

1.417**

1.206**

-7.847***

0.660**

1.232*

1.638

1.064

1.689

0.696

-8.29

0.32

0.777

-1.758

2.033

-1.469

-1.761

7.008*** (1.146) -1.959*** (0.578) -3.552*** (0.484) -1.481 (0.871) 3.561*** (0.729) 0.942

-8.329***

-2.436***

1.224***

0.685

-0.155

HPexportgth L1.

-0.563 (0.597) L2.

0.39 (0.651) L3.

-0.0269 (0.637) L4.

1.854*** (0.553) L5.

-1.084* (0.600) Adjusted R2 0.858 legend: * p<0.05 ** p<0.01 ***

-0.307 (1.174) -2.106** (0.939) -2.869** (1.235) -1.211 (1.266) -1.094 (1.512) 0.907 p<0.001

Table 4: Chow Statistics of HP Dataset Chow Test and Asymmetry Chow Statistics Unemployment GDP Export

OPEN=0 F(6,73) =5.25 Prob=0.0002 F(6,73) =1.29 Prob=0.2738 F(6,73) =4.50 Prob=0.0006

WTO=0 F(6,73) =5.75 Prob=0.0001 F(6,73) =1.71 Prob=0.1318 F(6,73) =4.32 Prob=0.0009

OPENxK F(5,27) =7.89 Prob=0.0001 F(5,27) =18.12 Prob=0.0000 F(5,27) =17.51 Prob=0.0000

WTOxK F(5,27) =14.10 Prob=0.0000 F(5,27) =10.55 Prob=0.0000 F(5,27) =7.89 Prob=0.0001

21

In the next sub-period between 1990q1 and 2002q1 the significant GDP coefficient (0.164) is smaller implying less sensitivity of unemployment to GDP change. During the time, Taiwanese government annulled the restriction on both oversea investment and oversea working of Taiwanese worker in Mainland China. This effectively consumed the possible unmatched unemployed to the Chinese domestic market. On the other hand, the significant terms for export coefficient are now positive (0.492 and 1.417), and thus support H-O prediction made by Dutt et al. This is the time when Taiwan starts to assume the role as the capital abundant country, utilizing the accumulated earning from previous years, and largely invests it in capital intensive industry, exporting capital intensive goods.

For the last sub-period after 2002q1, none of the GDP coefficient is significant, and the significant export coefficients become larger and remain positive (2.943 and 1.206), further supporting the HO prediction made by Dutt et al.: after entering the WTO, Taiwan could trade with those WTO member countries, at a price free from tariff. Nonetheless, from Figure 2, the relative capital abundance ratio of Taiwan is slightly higher than WTO average around 2000 and even lower after 2000, which might not be as consistent as theoretical prediction. Hence the significant positive terms in export coefficients might still be under the influence of Taiwanese growing dependence on the bilateral trade with China.

5.2.2. HP Data Set Chow test and asymmetry The results of Chow test statistics show that the auto-correlated coefficient of unemployment and the coefficient of export on unemployment do experience asymmetry along with structural changes, i.e., the impact of the economy being in expansion or recession would act differently in ÂŻ 2 increases to 0.942, which is larger than R ÂŻ 2 = 0.907 in the different sub-periods. Meanwhile, R previous Chow test model, implying an increase in explanatory power.

Though with statistical significance that labour hoarding might occur in the recession (k=0) before 1991 since there is positive term in GDP coefficient (34.16) during the time, it appears that there are more negative and significant terms (ranging from -33.31 to -4.20) in the same period, showing labour hoarding is less likely to happen. Alternatively in expansion, significantly positive GDP coefficients (ranging from 11.3 to 59.3) support the creative destruction effect. The result for the export coefficients does not conflict with the previous result, and thus infers before 1990q1 in expansion (ranging from -8.29 to 12.03, but negative in majority) and recession (ranging from -3.55 to 7.01) alike, international trade with capital abundant countries such as United states, Japan, to which Taiwan inevitably assumed the role as a relative labour abundant country, as explained by the H-O prediction by Dutt et al. Nonetheless, there is also discernible asymmetry in export coefficients as the magnitude is larger in the expansion periods.

The GDP coefficients between 1990q1 and 2002q1 are similar with those before 1990q1, but the value are unanimously smaller in this sub-period (ranging from -4.69 to 0.83 in recession, and from -9.13 to -0.60 in expansion), which might be due to the effect of trade liberalization between Taiwan and China, that ease the pressure of unemployment in the domestic labour force, hence the coefficients appears to be less sensitive. But in expansion, the significant terms of GDP coefficient correspond to the general theoretical prediction, and that during the sub-period, the positive correlation appears in the previous Chow test model more likely comes from recession period, and therefore, showing supportive evidence to the labour hoarding hypothesis during this sub-period.

As for the result of export coefficients, it implies the H-O prediction is more obvious in expansion

22

period (around 1.22), than in recession (ranging from -2.43 to 0.66) and the absolute values of which are smaller for all terms in expansion or recession alike as opposed to those in the previous sub-period, also showing that the break date does have structural impact on the export coefficients.

As for results after 2002q1, the significant negative GDP coefficients in this sub-period corresponds to the general theoretical prediction, while the coefficient is supportive, though to a limited degree, to labour hoarding hypothesis in recession (one term = 2.51 but negative terms ranging from -7.54 to -0.30), and creative destruction effect (one term =5.78 but negative terms ranging from -6.70 to -2.62).

As for the significantly positive export coefficient, it is consistent with the previous Chow test model. After 2002q1, the positive export coefficient (1.188) is discernible only in recession, which nevertheless coincide with the H-O prediction: after 2002q1, Taiwan as a capital abundant country faces a lower obstacle to export to WTO member countries, though the strength of which is smaller than building up bilateral trade agreement with China in 1990 as the structural difference between the previous sub-period and this period infers.

Ergo, the structural changes incurred by break dates do appear to have a impact on the asymmetry observed in the previous model. In general, the break date 1990q1 seems to have stronger impact than that at 2002q1. Also, the conclusion made by Hung and Liang (2007), Wan and Kaoh (2008), Chiang (2006), and Chen and Lin(2005), that the significant terms of GDP coefficients tend to be larger in recession, are more significantly obvious in the sub-period before1990q1, than those afterwards. For export coefficients, the structural changes also affects the previously concluded asymmetry in export coefficients, that it is more obviously different between 1990q1, and less obvious between 2002q1. The coefficients of three variables are in general larger in the first sub-period, which is consistent with previous results. It appears that the trade re-initiation structurally changes the coefficients more strongly than the entry to the WTO at 2002q1, though both of them are significant.

5.2.3. HW dataset Chow test The result for Chow test in HW data set, however, shows little significance and hence could not ÂŻ 2 decreases from 0.850 to 0.849, though support structural change at these assumed date, while R the result for export growth supports the H-O prediction to certain level. Hence in the de-seasonal data set, the structural change is less observable in the statistic sense as it was in the HP-filtered data set. It is possibly so due to the structural change might locate within the seasonal component, and thus become statistically unobservable since it is removed.

23

Table 5: HW Dataset Chow Test

HPunemp L1.

L2.

L3.

L4.

L5.

HWsrGDPth L1.

L2.

L3.

L4.

L5.

1990q1 â&#x2C6;ź 2002q1

After 2002q1

0.521** (0.2340) -0.0731 (0.1390) -0.212 (0.1990) 0.832*** (0.2360) -0.245 (0.2380)

0.757

0.837

-0.012

0.151

-0.06

-0.197

0.669

0.537

-0.851

-0.508

-2.918 (2.9400) -6.377 (6.8050) -2.35 (5.5550) 0.108 (3.5640) -1.192 (5.0240)

-2.82

-6.325

-2.293

-4.634

-1.258

-4.871

-1.185

-2.17

-0.384

-1.808

-1.369

-0.149

-0.493

1.235

0.389

1.515

1.192

1.303

0.646

1.31

De-seasonal ADL Model

Before 1990q1

0.822*** (0.0716) -0.0516 (0.0883) -0.0843 (0.0796) 0.760*** (0.1150) -0.713*** (0.0956) -3.705*** (1.1540) -3.394*** (1.2530) -1.575 (1.0930) -2.348* (1.2410) -0.624 (1.3040)

HWsexportgth L1.

-0.885* -0.18 (0.4700) (1.6350) L2.

0.0275 -0.766 (0.5420) (3.6390) L3.

-0.148 -3.684 (0.5610) (2.2850) L4.

1.608*** -0.447 (0.4880) (2.1910) L5.

0.934** 0.0808 (0.3760) (1.1930) Adjusted R2 0.85 0.849 legend: *p<0.05 **p<0.01 ***p<0.001

Table 6: Chow Statistics of HW dataset Chow Statistics Unemployment GDP Export

OPEN=0 F(6,73) =1.59 Prob=0.1616 F(6,73) =0.86 Prob=0.5303 F(6,73) =1.43 Prob=0.2163

WTO=0 F(6,73) =0.99 Prob=0.4417 F(6,73) =1.04 Prob=0.4095 F(6,73) =1.26 Prob=0.2858

24

5.3. Quandt Likelihood Ratio (QLR) test: for an unknown break date From the Chow test, the structural change incurred by trade liberalization is observed at the assumed break date at 1990q1 and 2002q1. Nonetheless, is it possible that breaks in fact occurs multiple times, in accordance with any other unexpected shock in the history of Taiwan?

To discover the candidates of the unknown break date, the Quandt Likelihood Ratio (QLR) test, also known as the sup Wald test, can thus be applied to detect whether the Chow statistics surpass the critical value at any given unknown dates within the sample set (Quandt 1960): The QLR statistic = the maximal of Chow statistics within the assigned interval.

Let F (Ď&#x201E; ) = the Chow test statistic testing the hypothesis of no break at date Ď&#x201E; . The QLR test statistic is the maximum of all the Chow F-statistics, over a range of Ď&#x201E; , Ď&#x201E;0 â&#x2030;¤ Ď&#x201E; â&#x2030;¤ Ď&#x201E;k : QLR = max[F (Ď&#x201E;0 ), F (Ď&#x201E;0+1 ), . . . , F (Ď&#x201E;kâ&#x2C6;&#x2019;1 ), F (Ď&#x201E;k )]. A conventional choice for Ď&#x201E;0 and Ď&#x201E;1 are the inner 70% of the sample (exclude the first and last 15%.)

In large samples, QLR has the following distribution: q

max (

aâ&#x2030;¤sâ&#x2030;¤1â&#x2C6;&#x2019;a

1 X Bi (s)2 ) q i=1 s(1 â&#x2C6;&#x2019; s)

(40)

where Bi , i =1,. . . ,n, are independent continuous-time â&#x20AC;&#x153;Brownian Bridgesâ&#x20AC;? on 0 â&#x2030;¤ s â&#x2030;¤ 1 (a Brownian Bridge is a Brownian motion deviated from its mean), and where a = 0.15 (exclude first and last 15% of the sample).

In the aforelisted models, three variables are included (the autocorrelated terms of unemployment rate, real GDP growth rate, real export growth rate) with 5 lags. In other words, the number of restriction is above 10, hence the critical value at 10%, 5%, and 1% are 2.48, 2.71. and 3.23 respectively12 . Similar to the Chow test, we could measure the F statistics for each variables (i.e., cyclical unemployment rate, cyclical GDP growth rate, cyclical export growth rate) within the given range of 70%. Nonetheless, the QLR statistics for all three variables fall fairly close to one another, 1986q1, a simple average of the three candidates, is thus selected. Likewise, from the QLR statistics of three different variables in the HW dataset, the assumed break date is at 1986q2, which is one quarter next to the estimated break in the HP dataset 13 Hence the following passage will include another ADL model with the dummy variable â&#x20AC;&#x153;Zt â&#x20AC;?, which equals to 1 if the time is after 1986q1 for the HP dataset and 1986q2 for the HW dataset respectively, together with its interactions terms: uâ&#x2C6;&#x2014;t =Îł1 +

p X

Îą1,i uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i +

i=1 p X i=1

12 13

Îą2,i Ztâ&#x2C6;&#x2019;i+1 uâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i

p X

â&#x2C6;&#x2014; β1,i ytâ&#x2C6;&#x2019;i +

i=1

+

p X

p X

δ1,i exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i + Îł2 Zt +

i=1 â&#x2C6;&#x2014; β2,i Ztâ&#x2C6;&#x2019;i+1 ytâ&#x2C6;&#x2019;i

i=1

+

p X

(41) δ2,i Ztâ&#x2C6;&#x2019;i+1 exportâ&#x2C6;&#x2014;tâ&#x2C6;&#x2019;i

i=1

The list of Critical Values is available in Stock and Watson (Stock & Watson 2006) See Appendix D.1 and Appendix D.2 for the QLR statistics of both datasets.

25

+

Table 7: ADL model (break date = 1986q1 for HP and 1986q2 for HW)

HP ADL Model Unemployment L1.

Before 1986q1 Z=0

0.924*** (0.0912) -0.137 (0.0950) -0.153* (0.0835) 0.688*** (0.1070) -0.501*** (0.0756)

0.087*** (0.0006) L2.

0.040*** (0.0002) L3.

-0.655*** (0.0008) L4.

0.372*** (0.0003) L5.

0.104*** (0.0002) GDP HPcGDPgth L1.

-2.296* 14.81*** (1.3530) (0.0014) L2.

-1.241 -37.450*** (1.1030) (0.0001) L3.

1.823 -7.019*** (1.1140) (0.0042) L4.

-1.909* 6.860*** (1.1340) (0.0003) L5.

4.807*** -18.61*** (1.5780) (0.0011) Export HPexportgth L1.

-0.563 -7.736*** (0.5970) (0.0001) L2.

0.39 7.752*** (0.6510) (0.0030) L3.

-0.027 -1.471*** (0.6370) (0.0051) L4.

1.854*** 4.308*** (0.5530) (0.0012) L5.

-1.084* 3.151*** (0.6000) (0.0075) Adjusted R2 0.858 0.914 legend: * p<0.05 ** p<0.01 *** p<0.001

After De-seasonal 1986q1 Z=1 ADL model HPunemp 1.019*** 0.822*** (0.0716) -0.1 -0.0516 (0.0883) -0.227*** -0.0843 (0.0800) 0.695*** 0.760*** (0.1150) -0.537*** -0.713*** (0.0956) -2.800*** -1.260*** 1.001*** -1.059*** 5.190***

-0.391*** 0.640*** 0.815*** 1.310*** -1.721***

Before 1986q2 Z=0

-0.502*** (0.1460) 0.0682 (0.0652) -0.786*** (0.0695) 0.381*** (0.0819) 0.228** (0.1080) HWsrGDPth -3.705*** 67.10*** (1.1540) (11.5300) -3.394*** 19.00* (1.2530) (10.3500) -1.575 10.61 (1.0930) (6.4560) -2.348* 50.22*** (1.2410) (10.6800) -0.624 -6.632** (1.3040) (3.1160) HWsexportgth -0.885* -14.33*** (0.4700) (2.8060) 0.028 -19.72*** (0.5420) (4.7340) -0.148 -9.036*** (0.5610) (3.1350) 1.608*** -18.96*** (0.4880) (2.8840) 0.934** -6.457*** (0.3760) (1.9280) 0.85 0.906

After 1986q2 Z=1 0.811*** 0.046 -0.082*** 0.646** -0.667**

-4.080*** -2.400* -1.86 -2.570*** -1.018*

-1.090*** -0.130*** 0.558*** 1.620*** 0.853***

Table 8: Chow Statistics of HP and HW datasets at QLR Breaks

Chow Statistics Unemployment GDP Export

HP dataset Z=0 F(6,89) =101.65 Prob=0.0000 F(6,89) =566.32 robP=0.0000 F(6,89) =78.01 Prob=0.0000

HW dataset Z=0 F(6,89) =28.67 Prob=0.0000 F(6,89) =44.97 Prob=0.0000 F(6,89) =59.11 Prob=0.0000

26

¯ 2 is 0.906, larger than 0.85, which isR ¯ 2 for the de-seasonal ADL model, but For HW dataset,R 2 ¯ it is smaller than 0.914, which is R in the HP counterpart.

Nonetheless, the results of the two datasets are in general similar with one another in terms of sign for the significant terms, only the HW result is in general more obvious with more significant terms, and greater in terms of absolute value, but it is unanimously smaller after the break for both datasets: in HP dataset, the GDP coefficients range from -37.45 to -7.02 for negative terms and from 6.86 to 14.81 for positive terms before break date (Z=0), as opposed to ranging from -2.80 to -1.06 for negative terms and from 1.00 to 5.19 for positive terms. In HW dataset, the GDP coefficients take negative value as -6.63 and ranging positively from 19.00 to 6.71 before the break date (Z=0) and significantly all negative ranging from -4.08 to .1.01.

For export coefficients: in HP dataset, the coefficients range from -7.74 to -1.47 for negative terms and 3.15 to 7.75 for positive terms before break date (Z=0), and ranging from -1.72 to -0.39 for negative terms and 0.64 to 1.31 for positive terms afterward. As for HW dataset, the export coefficients range from -19.75 to -6.45 before the break date, and range from -1.09 to -0.13 for negative terms, and from 0.56 to 1.62 for positive terms afterward.

How could we justify that the break occurs at this date? It could be a result of multiple, intertwined shocks, both external or internal, that happened at the given date. One possible reason to start with could be the initiation of the bubble economy in Japan. It might have boosted up the purchasing power of Japanese domestic market, and therefore increasing relative demand on labour intensive commodities from the export processing zones of Taiwan. This is consistent with the H-O prediction proposed by Dutt et al., while Taiwan has switched its role as a labour-abundant country exporting labour intensive components,e.g., integrated circuit (IC) or Vacuum Fluorescent Display (VFD),required for the production of electronic goods that are made by Japanese enterprises. In such case, the unemployment rate is negatively correlated with export growth in both sub periods.

Such dynamics might be strengthened by the fact that the international raw material prices linked with the prices of manufactured goods and services hit their lowest levels in recorded history at early 1986. The price level in general was as low as at the depths of the Great Depression, and in some cases (e.g., lead and copper) it is lower than their 1932 levels (Drucker 1986). Being so, the inter-industrial movement of labour and capital might occur, flowing into labour –intensive sectors, therefore the overall job matching rate is increasing, implying a negative relation between unemployment and export growth, and of course, a negative relation between unemployment and GDP growth, given the production level is also increased due to decreased production cost(Bau et al. 1992). Lastly, the year 1986 was at the very end of the 38 year Taiwanese martial law, that had been promulgated ever since 1949. This was the same year when the Democratic Progressive Party, the first opposition party ever in Taiwanese history, was illegally established in September of that year. Even though the break date is at 1986q1 which is at least a half year earlier, still, the disturbance of social atmosphere as well as the expectation of true democracy might actually have some impact on the confidence of local labour, employers and investors, which might affect the production function endogenously.

27

6. Conclusion To conclude, the GDP coefficient shows robustness between the two data sets. In the original ADL model, the GDP coefficients have shown robustness among different data sets, the negative correlation of which could be explained by general economic theory. Adding export growth as an extra explanatory variable also demonstrates robustness between different datasets, the significant terms of which ranging from 1.3 to 1.8. The positive correlation could be explained by Dutt el al.â&#x20AC;&#x2122;s H-O prediction, in which Taiwan assumes the role as capital-abundant country and exporting capital-intensive goods. As for structural change, this Chapter has examined and verified that, at 1990q1 when Taiwan and China reinitiated international trade, and at 2002q1 when Taiwan joined WTO as a member country, the export coefficients experience structural change (from -2.5 before 1999q1 to 0.9 after 1990q1 and , and 2.1 after 2002q1) coincide with the H-O prediction proposed by Dutt et al. The stronger impact of export upon unemployment after 2002q1 can be a result not only to Taiwanese increasing access to trade partner countries (or the decreasing tariff of exports to those countries) under the WTO framework, but more likely, due to the further increasing trade between China under WTO framework.

Since 1990, i.e., the first breakpoint, the tariff charged upon Taiwanese export to China ranges from 32% to 43% in average, whereas after WTO e.g., the second break point, the tariff in average decreases down to 10%, which is a common standard for developing country in WTO(CIER 2009). From Figure 7 and Figure 8, it is observable that after circa 2002, Taiwanese exports to China increases largely on both absolute and relative basis. From Tables 3 and 4, the impact of exports on unemployment starts to demonstrate positive correlation in an more obvious way as time being (from one break point to another), along with export share increases, while such increase is contributed largely by the export to China. Readers should be aware of the fact that, joining WTO per se in many way, viz., politically, economically, or in terms of international trade, is merely a further enhancement of the bilateral trade between China and Taiwan. Hence though we could not conjecture a simple causality between the bilateral trade with China, with the unemployment rate pattern, still, the correlation between China and the Taiwanese labour market might be implied and worth future research.

Figure 7: Taiwanese Total Export and Export to China (National-Statistics 2013)

28

Figure 8: Composition of Export of Taiwanese Top 10 Trade Partners (National-Statistics 2013)

Nevertheless, such structural change is not significant in HW datasets, hence the robustness of such a claim is limited. One possible reason of being so might be the structural changes are hidden within the seasonal component, and thus removed. Furthermore, the result of asymmetric performance of GDP coefficients concluded by Taiwanese empirical analyst are hereby verified to be affected by structural differences. The result of each sub-period supports labour hoarding hypothesis, creative destruction effect, and H-O prediction. Nonetheless, this is another result that cannot be robustly tested cross different datasets.

The result of the QLR test is almost identical in both data sets, showing that instead of 1990q1 and 2002q1, the most possible break date is 1986q1 in HP data sets and 1986q2 in de-seasonal data sets, when it becomes smaller in absolute value for both GDP coefficients and export coefficients in both data sets which coincide with Webber (1995) and Moosa (1997). This is also the break when the GDP coefficients robustly experience structural change after the break, and become or remain significantly for most lag terms in both data sets, whereas for export coefficients the robustness of structural change is limited between the data sets.

Even though out-sample forecast is not derived from the ADL framework, it might not be unwise to think differently as opposed to how it is supposed to be so benign in the officialsâ&#x20AC;&#x2122; minds, about the recently established free trade agreement between China and Taiwan, Economic Cooperation Framework Agreement (ECFA). As shown from the previous results, the export growth promoted by free trade might in fact be positively correlated with domestic unemployment. As presented from Figure 1, export is positively and closely related to GDP in Taiwan. As cyclical GDP growth is observed to be positive, there is a chance that higher GDP in the short run introduces higher unemployment rate, which can be explained by either labour hoarding in the recession or creative destruction in the expansion period, while both of them are observed in the HP data set. These are very likely to be the times when cyclical export component growing with GDP, and has a positive impact on cyclical unemployment, as suggested by H-O prediction of Dutt et al. This might explains the continuing flaming animosity against the post-ECFA, bilateral international trade between Taiwan and China; Net exports might grow along with GDP, yet the unemployment rate increases.

Nonetheless, in another possible scenario, the capital labour ratio of China increases rapidly 29

since mid 2000s, which might allow China to assume a new role as the capital intensive country in this play-off, while the political climate, the structure of labour market, and education system in Taiwan are yet to adapt their new role as a relative labour intensive country in the coming future. Such possibility of role-switching is not measured in this Chapter but might be of interest to future analysis in relevant academe.

30

Appendix A. Augmented Dickeyâ&#x20AC;&#x201C;Fuller test for HP and HW datasets A.1. HP Filtered Cyclical Unemployment Augmented Dickey-Fuller test for unit root

Number of obs

=

120

---------- Interpolated Dickey-Fuller --------Test 1% Critical 5% Critical 10% Critical Statistic Value Value Value -----------------------------------------------------------------------------Z(t) -3.970 -3.503 -2.889 -2.579 -----------------------------------------------------------------------------MacKinnon approximate p-value for Z(t) = 0.0016

A.2. HP Filtered Cyclical GDP Growth Augmented Dickey-Fuller test for unit root

Number of obs

=

120

---------- Interpolated Dickey-Fuller --------Test 1% Critical 5% Critical 10% Critical Statistic Value Value Value -----------------------------------------------------------------------------Z(t) -6.283 -3.503 -2.889 -2.579 -----------------------------------------------------------------------------MacKinnon approximate p-value for Z(t) = 0.0000

A.3. HP Filtered Cyclical Export Growth Augmented Dickey-Fuller test for unit root

Number of obs

=

120

---------- Interpolated Dickey-Fuller --------Test 1% Critical 5% Critical 10% Critical Statistic Value Value Value -----------------------------------------------------------------------------Z(t) -5.733 -3.503 -2.889 -2.579 -----------------------------------------------------------------------------MacKinnon approximate p-value for Z(t) = 0.0000

A.4. HW De-seasonal Cyclical GDP growth Augmented Dickey-Fuller test for unit root

Number of obs

=

120

---------- Interpolated Dickey-Fuller --------Test 1% Critical 5% Critical 10% Critical Statistic Value Value Value -----------------------------------------------------------------------------Z(t) -6.066 -3.503 -2.889 -2.579 ------------------------------------------------------------------------------

31

MacKinnon approximate p-value for Z(t) = 0.0000

A.5. HW De-seasonal Cyclical Export growth Augmented Dickey-Fuller test for unit root

Number of obs

=

120

---------- Interpolated Dickey-Fuller --------Test 1% Critical 5% Critical 10% Critical Statistic Value Value Value -----------------------------------------------------------------------------Z(t) -6.094 -3.503 -2.889 -2.579 -----------------------------------------------------------------------------MacKinnon approximate p-value for Z(t) = 0.0000

Appendix B. Test of Serial Correlation:Breush-Godfrey LM test

B.1. Unfilitered ADL Model

B.2. Unfilitered ADL Model with Export

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 0.934 1 0.3337 2 3.281 2 0.1939 3 4.094 3 0.2515 4 4.149 4 0.3862 5 5.614 5 0.3456 6 5.745 6 0.4523 7 9.175 7 0.2404 8 10.414 8 0.2372 9 11.038 9 0.2731 10 11.233 10 0.3397

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 0.099 1 0.7529 2 1.602 2 0.449 3 1.761 3 0.6234 4 1.893 4 0.7555 5 1.896 5 0.8634 6 2.128 6 0.9076 7 5.091 7 0.6489 8 10.5 8 0.2317 9 11.812 9 0.2241 10 11.893 10 0.2923

B.3. HP ADL Model

B.4. HP ADL Model with Export

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 4.876 1 0.0272 2 6.419 2 0.0404 3 6.989 3 0.0722 4 8.793 4 0.0665 5 10.417 5 0.0642 6 11.181 6 0.0829 7 11.253 7 0.1279 8 15.513 8 0.0499 9 15.552 9 0.0768 10 15.553 10 0.1132

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 0.344 1 0.5578 2 2.268 2 0.3217 3 2.278 3 0.5167 4 2.419 4 0.6591 5 7.556 5 0.1825 6 8.056 6 0.234 7 11.078 7 0.1352 8 13.998 8 0.0818 9 16.237 9 0.0621 10 16.243 10 0.0929 32

B.5. HW ADL Model

B.6. HW ADL Model with Export

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 3.207 1 0.0733 2 5.064 2 0.0795 3 5.143 3 0.1616 4 5.521 4 0.2379 5 6.602 5 0.2519 6 7.791 6 0.2538 7 7.962 7 0.336 8 11.851 8 0.158 9 12.292 9 0.1974 10 12.508 10 0.2525

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 1.08 1 0.2986 2 4.432 2 0.1091 3 4.568 3 0.2063 4 4.614 4 0.3293 5 4.614 5 0.4648 6 4.945 6 0.5509 7 5.215 7 0.6338 8 9.732 8 0.2843 9 9.865 9 0.3616 10 9.907 10 0.4487

B.7. HP ADL Model Chow Test

B.8. HP ADL Model Chow Test Asymmetry

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 0.053 1 0.8171 2 0.993 2 0.6087 3 1.009 3 0.7991 4 3.312 4 0.5071 5 4.615 5 0.4646 6 5.794 6 0.4467 7 5.82 7 0.5609 8 22.49 8 0.0041 9 25.205 9 0.0028 10 30.258 10 0.0008

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 1.804 1 0.1792 2 2.789 2 0.248 3 3.197 3 0.3622 4 3.871 4 0.4237 5 22.391 5 0.0004 6 26.421 6 0.0002 7 31.519 7 0 8 54.002 8 0 9 55.749 9 0 10 57.252 10 0

B.9. HW ADL Model Chow Test

B.10. HP ADL Model :Break Date = 1986q1

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 8.941 1 0.0028 2 9.129 2 0.0104 3 11.923 3 0.0077 4 12.78 4 0.0124 5 18.302 5 0.0026 6 19.965 6 0.0028 7 22.807 7 0.0018 8 31.686 8 0.0001 9 32.539 9 0.0002 10 36.011 10 0.0001

Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 0.011 1 0.9162 2 0.274 2 0.8718 3 0.293 3 0.9614 4 3.322 4 0.5055 5 6.993 5 0.2211 6 9.333 6 0.1557 7 12.236 7 0.0931 8 12.697 8 0.1227 9 14.712 9 0.0992 10 15.563 10 0.1128

33

B.11. HW ADL model :break date = 1986q2 Breusch-Godfrey LM test for autocorrelation lags(p) chi2 df Prob>chi2 1 2.059 1 0.1513 2 2.078 2 0.3537 3 4.372 3 0.224 4 4.955 4 0.292 5 5.276 5 0.3831 6 6.491 6 0.3705 7 6.876 7 0.4419 8 6.876 8 0.55 9 7.792 9 0.5552 10 8.113 10 0.6178

Appendix C. Decision of Lag Order C.1. Selection of Lag Order: Information Criteria of HP-filtered Data Selection-order criteria Sample: 1984q4 - 2012q2 lag LL LR df p FPE 0 202.749 0.000095 1 258.656 111.81 4 0 0.000037 2 298.22 79.127 4 0 0.00002 3 310.324 24.209 4 0 0.000017 4 339.973 59.298 4 0 0.000011 5 393.411 106.88 4 0 4.4e-06* 6 397.277 7.732 4 0.102 4.40E-06 7 399.263 3.9716 4 0.41 4.60E-06 8 402.789 7.052 4 0.133 4.60E-06 9 404.93 4.2837 4 0.369 4.80E-06 10 408.088 6.3152 4 0.177 4.90E-06 11 414.022 11.868* 4 0.018 4.80E-06 12 415.223 2.403 4 0.662 5.00E-06 13 419.861 9.2756 4 0.055 5.00E-06 14 421.157 2.5906 4 0.628 5.30E-06 15 423.278 4.2433 4 0.374 5.50E-06 Endogenous: HPunemp HPcGDPgth HPexportgth Exogenous: cons

AIC -3.58107 -4.51633 -5.15712 -5.30314 -5.76528 -6.65605* -6.65364 -6.61734 -6.6088 -6.57532 -6.56015 -6.59499 -6.54457 -6.55606 -6.50732 -6.47348

Number of obs = 111 HQIC SBIC -3.54146 -3.48343 -4.43711 -4.32105 -5.03829 -4.86419 -5.1447 -4.91258 -5.56723 -5.27708 -6.41839* -6.07021* -6.37637 -5.97015 -6.30047 -5.83622 -6.25231 -5.73004 -6.17922 -5.59892 -6.12444 -5.4861 -6.11967 -5.4233 -6.02964 -5.27524 -6.00152 -5.18909 -5.91318 -5.04271 -5.83972 -4.91123

C.2. Selection of Lag Order: Information Criteria of HW-filtered Data

34

Selection-order criteria Sample: 1984q4 - 2012q2 lag LL LR df p FPE AIC 0 415.014 1.20E-07 -7.42368 1 500.251 170.47 9 0 3.00E-08 -8.79732 2 514.859 29.215 9 0.001 2.70E-08 -8.89835 3 517.448 5.1787 9 0.818 3.10E-08 -8.78285 4 532.829 30.762 9 0 2.80E-08 -8.89782 5 590.964 116.27 9 0 1.1e-08* -9.78313* 6 595.255 8.5826 9 0.477 1.20E-08 -9.69829 7 599.849 9.1881 9 0.42 1.40E-08 -9.6189 8 603.784 7.8701 9 0.547 1.50E-08 -9.52764 9 611.266 14.965 9 0.092 1.60E-08 -9.50029 10 622.791 23.05 9 0.006 1.50E-08 -9.54579 11 629.761 13.94 9 0.124 1.60E-08 -9.50921 12 638.212 16.902 9 0.05 1.60E-08 -9.49932 13 650.035 23.646* 9 0.005 1.60E-08 -9.55018 14 652.53 4.9898 9 0.835 1.80E-08 -9.43298 15 657.094 9.1273 9 0.426 2.00E-08 -9.35304 Endogenous: HPunemp HWrGDPgth HWexportgth Exogenous: cons

Appendix D. QLR statistics D.1. HP dataset

35

Number of obs = 111 HQIC SBIC -7.39397 -7.35045 -8.67849 -8.5044 -8.6904 -8.38574 -8.48577 -8.05054 -8.51162 -7.94582 -9.30781* -8.61144* -9.13384 -8.30691 -8.96533 -8.00783 -8.78495 -7.69688 -8.66849 -7.44984 -8.62486 -7.27564 -8.49916 -7.01937 -8.40015 -6.78979 -8.36189 -6.62096 -8.15555 -6.28406 -7.9865 -5.98444

D.2. HW dataset

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Chen, Y. F. & Lin, T. C., 2005. An application of nonparametric estimation method for the Okun’s law in Taiwan, Master’s thesis, National Taipei University, Taipei City, Taiwan.

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Janiak, A., 2007. Does trade liberalization lead to job loss? Theory and some evidence, Working paper, ECARES-Free University of Brussels.

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Lee, J., 2000. ‘The robustness of Okun’s law: Evidence from OECD countries’, Journal of Macroeconomics 22(2), 331–356.

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Commentary on “Unemployment, Economic Growth, and Trade: Empirical Application of Okun's Law in Taiwan’’ by Yu-Shen LIU Dr. Jan M. Podivinsky / Associate Professor in Economics, University of Southampton, UK

Introduction Liu’s paper contributes to the empirical literature of the relationship between unemployment and economic growth – encapsulated in ‘Okun’s Law’ – in Taiwan. It extends the usual empirical analyses by explicitly incorporating trade considerations, in recognition of Taiwan’s open economy. This commentary outlines the context and implications of Okun’s Law, and considers the contributions of Liu’s analysis.

What is Okun’s Law? In 1962, Arthur Okun, a Yale economist and future Chairman of the US Council of Economic Advisers, suggested a negative relationship between unemployment and economic growth, typically measured as changes in a country’s national income, or Gross National Product (GNP). Okun presented evidence that in the post-Second World War US economy “on the average, each extra percentage point in the unemployment rate above four percent has been associated with about a three percent decrement in real GNP”. (Okun, 1962, p. 99) Subsequent research – typically substituting Gross Domestic Product (GDP) for GNP as the now standard measure of national income – confirms Okun’s finding of a negative relationship for both the US over more recent time periods and for other developed countries, although the magnitude of the negative relationship may vary across countries. This empirical finding has become known as ‘Okun’s Law’.

Why does it matter?

Nobel laureate James Tobin called Okun’s Law “one of the most reliable empirical regularities of macroeconomics”. (Tobin, 1996, p. 738) Unsurprisingly, Okun’s Law has been used as a standard ‘rule of thumb’ by policy makers and forecasters.

Okun’s research also provided a methodology for estimating potential GNP/GDP, a question he addressed directly: “How much output can the economy produce under conditions of full employment?” (Okun, 1962, p. 98) It is also argued that Okun’s Law is useful for monetary policy (see, for example, Wen and Chen (2012)), since monetary policy depends on accurate estimates of potential output.

Obtaining Okun’s Law As Liu points out, there are several alternative underlying models used in the literature to estimate the ‘Okun coefficient’ used to derive Okun’s rule-of-thumb. In brief, these are: • The difference model, where the difference (the change over time, usually quarterly or annual) in output is determined by the difference in the unemployment rate.

• The gap model, where the gap between actual output and its long-run trend is determined by the gap between the unemployment rate and the ‘full employment’ or ‘natural’ rate of unemployment.

• The extended model, where additional variables are included into either the difference or gap model. For example, Prachowny (1993) additionally includes changes in the labour- supply gap, the hours worked gap and the capacity utilisation gap. Knotek (2007) includes lagged (past) values of changes in unemployment and output. Liu also adopts an extended model, but with both additional variables and lagged values. In particular he includes real export growth as an additional explanatory driver.

All of these alternatives require some statistical estimate or approximation of the (unobserved) ‘equilibrium’ or long-run variables (the trend levels of output, the natural rate of unemployment, and in Liu’s case the trend levels of real exports). In the case of the differenced model, this assumes that the both the natural rate of unemployment and long-run output trend (and thus the level of potential output) are constant over time. The literature differs in how to approximate these long-run variables, and so often finds different numerical results. Liu adopts the Hodrick-Prescott (HP) filter method commonly used in empirical macroeconomics, but recognises there are alternatives, as using HP filters can be problematic (see, for example, Gordon (2011)), and so also uses the Holt-Winters de-seasonal smoothing method as an alternative.

Another issue with empirical implementation is that while the negative relationship between unemployment and output growth embodies in Okun’s Law is descriptive of the statistical relationship between these two important economic quantities, it is not necessarily a causal relationship. In part this is because Okun’s Law is often criticised for not having a strong foundation in economic theory.

Liu attempts to address this in his Section 3 by outlining a neo-classical framework that delivers a negative correlation between unemployment and economic growth. He contrasts this with alternative arguments – one a 'creative destruction' effect on jobs caused by technological improvements, the other a 'labour hoarding' hypothesis – that have been advanced in the literature that suggest a positive correlation between unemployment and economic growth, in contrast to Okun's Law. Neither of these approaches is likely to be a complete theoretical foundation for a causal relationship between unemployment and economic growth, but they provide a theory- based framework in which to interpret empirical results in this and related papers assessing Okun's Law. A consequence of this lack of a causal framework is that various researchers have adopted alternative ‘reduced form’ approaches to modelling the relationship: some have specified unemployment as depending upon output growth, while others have specified output growth as depending upon unemployment. Liu adopts the former approach in an extended gap model, explicitly modelling the gap between the unemployment rate and the ‘natural’ rate of unemployment, as a reduced form function of lagged values of the unemployment gap, the output gap, and the gap between real exports and its trend. To justify the inclusion of the export growth variables, Liu provides a brief outline of a modification by Dutt, Mitra and Ranjan (2009) of the standard model of comparative advantage in international trade theory – the Heckscher-Ohlin model. Dutt, Mitra and Ranjan's (2009) model relates unemployment with international trade. Liu's innovation is to incorporate it into an Okun framework to relate unemployment with both economic growth and international trade. He argues with some persuasion that this is particularly relevant to Taiwan's recent economic situation.

What does Liu’s paper contribute?

Liu provides a brief summary of previous empirical analyses – all within the past decade – of Okun's Law in Taiwan. One common finding from these Taiwanese studies is of asymmetry in Okun's Law. At

its simplest, asymmetry implies that the magnitude of the negative relation between unemployment and economic growth differs depending on whether the economy is in a period of recession or in an expansionary period. In other words, the Okun relationship is unstable over time.

Consequently, Liu's empirical analysis pays particular attention to detecting possible asymmetry in Okun's Law for Taiwan, and includes various statistical tests for stability in the estimated relationship.

His empirical analysis is detailed and carefully executed, and indeed confirms evidence of asymmetry in the Okun relationship for Taiwan. His findings are generally robust to the precise method used to approximate the long-run variables (including the HP and Holt-Winters methods referred to earlier).

The principal innovation in his analysis, however, is his introduction of real export growth. The findings provide partial support for Dutt, Mitra and Ranjan (2009)'s Heckscher-Ohlin prediction that export growth can increase unemployment.

Some suggestions Liu's paper documents a very detailed attempt to establish robust evidence on Okun's Law for Taiwan, using an extended model that includes real export growth. In my opinion it would benefit from two considerations. Firstly, a preferred model could be selected and discussed in detail, while all other models are assigned to an appendix designed to document robustness of the findings. This would allow the preferred model to be laid out simply to allow the reader to judge readily, for example, the relative impacts of extending a basic Okun relationship by include lagged values, or by including the additional real export growth variable. At present, the level of detail provided in the main body of results masks these simple comparisons. The results might also be summarised by plots of time-varying Okun coefficients, as provided for Taiwan by Rülke (2012) among others. Secondly, given the existing literature on Okun's Law on Taiwan, it would be productive to have a more detailed comparison of Liu's preferred model with some of these earlier studies.

References Dutt, Pushan, Devashish Mitra and Priya Ranjan (2009) “International Trade and Unemployment: Theory and Cross-National Evidence”, Journal of International Economics, 78(1), 32–44.

Gordon, Robert (2011), “The Evolution of Okun’s Law and of Cyclical Productivity Fluctuations in the United States and in the EU-15”, http://economics.weinberg.northwestern.edu/robertgordon/NUE_EU_vs_20_US_Combined_110609.pdf.

Knotek, Edward S. (2007), “How Useful is Okun’s Law?”, Federal Reserve Bank of Kansas City, Economic Review, Fourth quarter, 73-103.

Okun, Arthur (1962), “Potential GNP: Its Measurement and Significance”, American Statistical Association, 1962 Proceedings of the Business and Economic Statistics Section, 98-104.

Prachowny, Martin (1993), “Okun's Law: Theoretical Foundations and Revised Estimates”, Review of Economics and Statistics, 75(2), 331-336.

Rülke, Jan-Christoph (2012), “Do Professional Forecasters Apply the Phillips Curve and Okun’s Law? Evidence from Six Asian-Pacific Countries”, Japan and the World Economy, 24, 317–324.

Tobin, James (1996), Essays in Economics Vol. 4: National and International, Cambridge MA: MIT Press.

Wen, Yi and Mingyu Chen (2012), “Okun’s Law: A Meaningful Guide for Monetary Policy?”, Federal Reserve Bank of St Louis, Economic Synopsis, No. 15.

臺灣內國銀行 對中企業放款的潛在風險 Potential risks of loans made by Taiwan domestic banks to China enterprises

黃維民／英國倫敦大學皇后瑪麗學院法律碩士生 Wei-Ming HUANG / Master of Laws, LL.M., Queen Mary University of London, UK

評論 Commentary： 黃薇儒／德國圖賓根大學法律博士生 Wei-Ju HUANG／ PhD Candidate in Law, Eberhard Karls Universität in Tübingen, DE

臺灣內國銀行對中國企業放款的潛在風險1 Potential risks of loans made by Taiwan domestic banks to China enterprises 黃維民 Wei-Ming, Huang2 關鍵字：銀行、聯貸、放款、風險、兩岸

目錄 1.

簡介 ................................................................................................................................... 1

2.

聯合貸款的性質與銀行監管 ........................................................................................... 2 2.1 聯合貸款的性質 .......................................................................................................... 2 2.2 我國金管會對中國授信、投資與資金拆存的計算 .................................................. 4

3.

中國企業聯貸個案介紹與風險分析 ............................................................................... 5 3.1 索力鞋業案 .................................................................................................................. 5 3.2 旭光案 .......................................................................................................................... 6 3.3 金衛公司 ...................................................................................................................... 7

4.

對中國企業放款誘因與風險 ........................................................................................... 8

5.

我國金融監管法規可能修法方向 ................................................................................. 11

6.

兩岸聯貸合作備忘錄對我國銀行聯貸的實效性 ......................................................... 12

7.

結論 ................................................................................................................................. 13

1

本文承蒙 2015 年第八屆歐洲台灣青年人文社會學會年會評審團審稿通過。

2

英國倫敦大學皇后瑪麗學院(Queen Mary University of London)，法律碩士生(Master of laws,

LL.M.)，電子郵件信箱：dirkbass7@gmail.com。

1. 簡介 現今銀行系統隨跨國交易的進展與需求，世界化腳步逐漸加速，除最基本的 外幣匯兌交換以及票據清算(Cheque clearing)外，跨國投資門檻的降低，使跨國 投資案件數量增加，也提升了外國公司對於被投資本國銀行申請貸款的需求。尤 其是金額龐大的硬體投資或開發案，往往外國公司沒有那麼多可流通現金或避免 匯兌上產生匯率損失，而選擇以「聯合貸款」(Syndicated Loan，下稱聯貸)的方 式向本國銀行團申請貸款。 但若聯貸案的外國貸款人(Borrower)於本國並沒有投資案，或是在本國沒有 可供擔保資產作為貸款抵押標的(Mortgage)時，對於本國銀行團來說，對外國貸 款人的聯貸案到底誘因及風險為何？此外，我國銀行發展擴張到中國開拓分支行 及子行，就日前雙邊協商簽署備忘錄(Memorandum of understanding，下稱 MOU、 備忘錄)34，其效果上定性值得討論。 本文希冀從聯貸的性質，討論聯貸案的誘因與風險、介紹臺灣銀行放款中國 企業聯貸案數個案例，申論聯貸案到一般對中國企業放款，以及我國金融主管機 關現行監管機制。並探究緊縮管制或改善類似規定降低銀行放款風險的可能性、 及討論日前兩岸十家銀行共同簽訂的備忘錄，是否有效幫助我國銀行進行聯貸業 務。 此 外 ， 本 文 就 金 衛 公 司 於 臺 灣 發 行 臺 灣 存 託 憑 證 (Taiwan Depositary Receipts，下略稱 TDRs)部分是否涉及市場濫用(Market Abuse)，將不會於本文討 論，此處一併說明。

3 中央廣播電台，「整併擴大規模 助催生區域銀行」，2014 年 2 月 20 日， http://www.rti.org.tw/m/news/newsSubject/?recordId=368 ，最後瀏覽日：2015 年 3 月 8 日。 4 中央社，「兩岸銀行簽 MOU 聯貸效益大」，2014 年 12 月 14 日， http://www.cna.com.tw/news/afe/201412140185-1.aspx ，最後瀏覽日：2015 年 3 月 8 日。 1

2. 聯合貸款的性質與銀行監管 2.1 聯合貸款的性質5 目前商業銀行的貸款種類可以分為：活期貸款(Demand Loan)、定期貸款(Term Loan)和透支(Overdraft)。定期貸款，只有在借款人滿足特定條件或因債務不履 行、發生特定事件必須到期前償還債務而未清償時，貸款人才能夠主張債務撤銷 (cancellable)。和定期貸款相反的則是透支與信貸額度(lines of credit，亦為活期貸 款的一種)，其債務的償還與撤銷皆透過銀行向借款人提示而發生。兩種不同性 質的貸款其異同點在於經濟援助的可預測性6。 通常定期貸款的借貸，都是銀行對於大型企業或政府機關借款人所辦理。除 了我們熟知的雙邊貸款(Bilateral Loans)由單一銀行向單一借款人授信外，過於龐 大的金額．使單一銀行基於風險分散與法定授信額度等的考量無法獨立辦理，此 時出現聯合貸款的適用。聯合貸款由特定公司以單一協議向兩個以上的銀行(亦 有可能為非銀行的金融機構)申請貸款。首先會由借款人責成特定銀行(或數個銀 行)成為主辦銀行(Arranging banks)，主辦銀行的義務在於：幫助借款人準備訊息 備忘錄(Information Memorandum)、列出貸款條約並發送給潛在聯貸參與銀行、 徵集潛在參與銀行對於利率的要求和貸款文件的協商。一旦聯貸參與銀行團與借 款人簽訂貸款契約，該契約會指定一個銀行做為管理銀行(Agent Bank)，該管理 銀行除擔任借款人、參貸銀行及其他合約關係人協商溝通之橋樑外，亦須就聯貸 的貸款部分做檢核、撥款以及相關事務管理7。 當主辦行提供聯貸說明書與舉行聯合貸款說明會時，其性質究竟為要約抑或 是要約引誘，雖從該說明書性質觀察，因其契約重要條款與日後雙方簽訂聯貸契 約高度相同，較近似要約的性質8。然從聯貸參與成員的法律關係觀察，主辦行 5

本段另外需要說明的是，中國用語上對於 Syndicated Loan 有兩個不同的用語：「銀團貸款」

以及「聯合貸款」。惟與我國所討論的聯合貸款，反而比較接近中國用語的銀團貸款，特此說明。 6

Philip Wood, Law and Practice of International Finance (Thomson Reuters 2008) 93.

7

Wood (n 6) 94.

8

邱聰智，民法債篇通則，輔仁大學法學叢書，1993 年 8 月，18-21 頁。 2

與參貸行關係若於契約中無明確約定受託人義務，無論於美國或英國實務上觀察 皆認為借款人違約或破產時，主辦行皆較不會被課與受託人義務，故主辦行忠實 義務是否存在高度依賴聯貸契約是否明文規定，而非當然存在9。又各參貸行與 借款人間，各參貸行與借款人在同一借貸條件下，各自與借款人成立借貸契約， 就各自額度對借款人自負授信義務(雖高度倚賴主辦行於前簽署契約程序提供資 訊)10。故聯貸契約性質其實更近似要約引誘，因簽署前程序中主辦行對提供訊息 內容真實性，若不須負忠實義務，將聯貸契約說明書視為要約對於主辦行而言注 意義務要求明顯過低。 聯合貸款契約違反的類型，大致上可以分為：借款人未依約支付本金或利 息 、 借 款 人 或 保 證 人 為 聯 貸 契 約 所 承 諾 或 擔 保 陳 述 與 事 實 不 符 (Condition Precedent)、借款人或保證人未遵行原承諾事項和其他違約事項(經雙方合意後載 於聯貸契約中)。然而，實務上聯貸銀行團在發生違約事件時，並不會選擇直接 主張契約無效或請求到期前返還，而是先向借款人通知其違約事項，再視其違約 情況嚴重程度，與借款人協商出新的方案並就其違約同意豁免(Waiver)11，否則 若協商不能，聯貸案的違約確定除涉及金額龐大外，更代表該借款人直接陷入清 算或破產的危機，對銀行團來說更是血本無歸的窘境。 然而，我國目前也不單只有以聯合貸款的方式向中國企業放款，藉由在中國 開設子行、分支行以及第三地海外分支行(Offshore Banking Unit，下稱 OBU)，我 國銀行在中國也能向中國企業進行一般商業授信業務，因此我國金融主管機關在 高度倚賴銀行回報的資訊下，只能靠著對中國企業授信的行政規則，對我國銀行 相關放款做量化的管制。

9 10

Wood (n 6) 97-99. 盧孟函，聯貸契約之違約條款與豁免機制，國立政治大學法學院碩士在職專班，2013，32-37

頁。 11

盧孟函，同前註，49-56 頁。 3

2.2 我國金管會對中國授信、投資與資金拆存的計算 金管會依據臺灣地區與大陸地區金融業務往來及投資許可管理辦法(下略稱 往來辦法)第十二條之一第二項規定12，訂定臺灣地區銀行對大陸地區之授信、投 資及資金拆存總額度(下略稱總額度)計算方法，並於 2013 年初修正13。該計算方 法修正主要涉及授信業務有： 一、 臺灣銀行於海外子銀行對中國授信投資以及資金總額度，不再和臺灣母 行合併計算，但決算後限額不變(第三點)。 二、 對於臺灣地區銀行的定義，排除境外子銀行(第四點)。 三、 資金拆存予投資等級以上之銀行同業且剩餘期限不足三個月者，以百分 之二十計算(第七點)。 此三點限制之開放，基於往來辦法關於授信對象限制的修正所修改，放寬授 信總額度，並增加我國銀行設立或併購境外子銀行的誘因(雖中國商業銀行法14對 於子銀行的存貸比限制要求，使許多我國銀行難以申請分行轉為子行，但轉為子

12

臺灣地區與大陸地區金融業務往來及投資許可管理辦法第十二條之一：

臺灣地區銀行與大陸地區人民、法人、團體、其他機構及其在大陸地區以外國家或地區設立之分 支機構之業務往來，應具備完善之風險管理機制，並確實評估各交易之風險，以保障資產安全。 臺灣地區銀行對大陸地區之授信、投資及資金拆存總額度，不得超過其年度決算後淨值之一倍； 總額度之計算方法，由主管機關洽商中央銀行意見後定之。 前項比率，主管機關得視經濟、金融情況及實際需要，洽商中央銀行意見後調整之。 本辦法中華民國一百年九月七日修正施行時，臺灣地區銀行已超過第二項比率者，應於本辦法修 正施行之日起算一年內，調整至符合本辦法規定。 13

金管銀法字第 10200007460 號令

14

中華人民共和國商業銀行法第三十九條：

商業銀行貸款，應當遵守下列資產負債比例管理的規定： （一）資本充足率不得低於百分之八； （二）貸款餘額與存款餘額的比例不得超過百分之七十五； （三）流動性資產餘額與流動性負債餘額的比例不得低於百分之二十五； （四）對同一借款人的貸款餘額與商業銀行資本餘額的比例不得超過百分之十； （五）國務院銀行業監督管理機構對資產負債比例管理的其他規定。本法施行前設立的商業銀 行，在本法施行後，其資產負債比例不符合前款規定的，應當在一定的期限內符合前款規定。具 體辦法由國務院規定。 4

行後因為具有法人地位，可適用中國商業銀行法執行比較完整的業務，獲利也會 較高，並能吸納比較多的中國人民存款)，故對於金融業者而言絕對是十分有利 的修正。 然潛在問題有兩點，一是在第三點修正後，形同我國有更高的放款限額，我 國於中國分行的存貸比，卻處於高風險的貸高於存，而臺灣母行仍然要負終局責 任。二是中央銀行也對於金融業者利用同業短期拆存計算的延展，提出不同的計 算方法要求從嚴控管15，顯示出該計算方法修正之放鬆，確實讓金管會在控管曝 險金額的計算數字，與實際潛在風險有些許不同。 3. 中國企業聯貸個案介紹與風險分析 2014 年陸續發生數起中國企業聯貸案陷入還款危機的事件，引發社會對於 我國對中國企業放款的疑慮，本段以下就數個個案介紹其案件事實： 3.1 索力鞋業案 主要業務為製鞋的中國企業索力鞋業(Ultrasonic)，2011 年成立德國科隆分公 司，同年 12 月於法蘭克福交易所上市。2014 年 8 月，由位於福建泉州的「中國 索力戶外休閒控股有限公司」作為借款人，和聯貸銀行團簽約並獲得撥款，聯貸 案總金額為 6,000 萬美元，由於本案屬於相對短期的 3 年期，且利率約 4.99%， 報酬率相對高，因此本聯貸案對於銀行相對有吸引力，由國泰世華銀、野村控股 出任管理銀行，並貸與 1,000 萬、900 萬美元額度，其他還包括彰化銀行新加坡 分行、台灣中小企業銀行香港分行、合作金庫、萬泰銀行、華泰銀行，其中除了 萬泰及華泰銀的參貸金額分別為 600 萬、500 萬元，其他銀行的參貸金額則各為 1,000 萬元16。 2014 年 9 月 16 日，該公司發表聲明指其公司執行長與營運長挪用資金且失 聯，儘管該公司負責人之後現身並接受外電媒體專訪，但銀行團也有所警覺，並 15

經濟日報，「央行主張 對陸曝險從嚴控管」，2015 年 3 月 18 日。

16

中時電子報，「索力醜聞案 牽動國銀 6,000 萬美元聯貸」，2014 年 9 月 25 日，

http://www.chinatimes.com/newspapers/20140925000042-260202 ，最後瀏覽日：2015 年 4 月 8 日。 5

擬進行債權保全的後續措施。惟從後續報導看來，該公司並沒有還款的能力與意 願，甚至公司負責人有移轉資金至海外的行為17。 此種情況下，公司尚未倒閉卻處於公司營運不良、資金使用違約等情事，銀 行團即使有權主張該聯貸案提前到期並要求還款，惟兩國屬於不同裁判管轄權領 域，是否因為法律執行效力的不及，而成為呆帳？從目前的近況來看，的確因為 我國銀行追討不能，有很高可能性無法追回該貸款18。 3.2 旭光案 與索力鞋業案相比，本案涉及金額更高，被視為史上規模最大的大陸民企倒 帳案。我國銀行對旭光公司聯貸總金額為 8,500 萬美元，由兆豐銀任管理銀行， 貸款部位約有 1,500 萬美元，其他參貸銀行包括台新、大眾、國泰世華、富邦、 東亞、開發、台企銀等共 8 家銀行；此外，遠東銀行雖未參加聯貸，但對該公司 自貸 2,000 萬美元，成為國內最大債權銀行19。 中國旭光高新材料集團公司於開曼群島註冊成立，並在香港交易所上市 (00067，HK)，主要業務從事天然芒硝的開采、加工及製造，以及聚苯硫醚（PPS） 的生產、開發及銷售。2014 年 3 月 24 日，研究機構格勞克斯發布對中國旭光香 港股份看空的研究報告，致當日旭光香港股價受挫，並向香港交易所申請停牌交 易。雖旭光公司有發布澄清公告，惟自停牌至今仍然未恢復交易，且明顯致其財 務狀況惡化，債務償還能力有限，已陷入債務協商與重整的階段20。

17

21 世紀經濟報導，「6000 萬美元貸款逾期 索力鞋業遭野村國際追債」，2014 年 9 月 19 日，

http://money.21cbh.com/2014/9-19/2NMDAzMDdfMTMwNzc2Ng.html ，最後瀏覽日：2015 年 4 月 8 日。 18

自由時報，「中國索力倒帳 台灣六銀仍求償無門」，2014 年 12 月 11 日，

http://news.ltn.com.tw/news/business/paper/838177 ，最後瀏覽日：2015 年 4 月 8 日。 19

中時電子報，「我銀行團 電話會議追債」，2014 年 5 月 8 日，

http://www.chinatimes.com/newspapers/20140508001222-260203 ，最後瀏覽日：2015 年 4 月 8 日。 20

香港蘋果日報，「旭光正商討債務重組」，2014 年 12 月 3 日，

http://hk.apple.nextmedia.com/financeestate/art/20141203/18955980 ，最後瀏覽日：2015 年 4 月 8 日。 6

3.3 金衛公司 金衛醫療集團有限公司，於 1999 年和 2000 年分別於香港和北京成立控股公 司以及醫療設備公司，前身為「金衛醫療科技有限公司」，其業務為醫療設備、 醫療服務及管理醫院服務，該公司於香港交易所上市、在紐約證券交易所以「中 國臍帶血公司」之名上市，並於 2011 年在臺灣發行 TDRs，於臺灣證券交易所上 市21。 金衛公司於 2014 年 2 月獲得 9,900 萬美元的三年期聯貸案，參貸行包括合 作金庫、兆豐金控、中國信託、彰化商銀、玉山銀行…等五家公股、四家民營銀 行22。然金衛公司於 2014 年 3 月 24 日向香港交易所申請短暫停牌，雖爾後於兩 日後申請復牌，且依據該公司於香港交易所之公告，該停牌是基於公司重大出售 事項而據向香港交易所申請23。惟香港交易所對於公告事項並不負責24，不免引 起投資人懷疑。 依據金管會對於金衛公司聯貸的說明為：「該聯貸案擔保品為金衛公司可轉 債，目前金衛公司還款繳息、履約正常。」25，然而依據立委質詢內容，金衛公 司可能自始沒有擔保品26。即使借款人具有擔保品，但可轉換公司債券其性質具 有可轉換為普通股的權利，而金衛公司之可轉換債可轉換的普通股，為其在臺灣 發行之 TDRs，抑或是其於香港發行原股？又金衛公司於臺灣發行 TDRS 至今股價

21

金衛醫療集團有限公司，發展歷程，

http://www.goldenmeditech.com/big5/about/milestones.php ，最後瀏覽日：2015 年 4 月 14 日。 22

自由時報，「金管會資料洩底／金衛向公股行庫貸 30 億 竟無擔保品」，2014 年 9 月 24 日，

http://news.ltn.com.tw/news/politics/paper/815909 ，最後瀏覽日：2015 年 4 月 14 日。 23

香港交易所，26/03/2014 港股代號 00801 金衛醫療-公告及通告 - [非常重大的出售事項 / 復

牌] ，http://www.hkexnews.hk/listedco/listconews/SEHK/2014/0325/LTN20140325648_C.pdf。 24

依據香港聯合交易所對於各公司發布公告的聲明：「香港聯合交易所有限公司對本公佈之內

容概不負責，對其準確性或完整性亦不發表任何聲明，並明確表示概不就因本公佈全部或任何部 份內容而產生或因倚賴該等內容而引致之任何損失承擔任何責任。」 25

中央社，「金管會：金衛還款繳息正常」，2014 年 9 月 23 日，

http://www.cna.com.tw/news/afe/201409230323-1.aspx ，最後瀏覽日：2015 年 4 月 11 日。 26

自由時報，同註 22。 7

已經由發行價格 11.2 元跌至現今 6.2 元，若無增加擔保內容，等於是對該聯貸擔 保的縮水，是否不足保障聯貸案參貸銀行？ 雖本個案暫時沒有違約的情事，但金衛公司聯貸案涉及金額龐大，我國參貸 銀行仍然應該謹慎以待。 4.

對中國企業放款誘因與風險 為何我國銀行會爭相前往中國市場營運授信項目，其誘因大致可以分為以下

三點理由： 一、利率高過本國放款：目前中國貸款基礎利率27為一年期貸款利率 5.3%28， 且中國目前基礎利率仍由其中國人民銀行管制，利率自由化程度較低。參照我國 目前五大銀行平均基準利率為 2.88%29，相較於向我國企業放款，向中國企業放 款可以賺取比較高的利差。 二、具有競爭性：自 2012 年「海峽兩岸貨幣清算合作備忘錄」建立兩岸貨 幣清算制度，並於 2013 年初開放人民幣定存後，我國銀行的人民幣存款餘額， 至今年 2 月底已高達 3187 億人民幣30，由於人民幣去化管道仍然偏少，尚不准 許直接將人民幣存款匯至中國放款，且對於人民幣轉投資其他金融產品規定甚 嚴，目前僅能拆存於中國銀行臺北分行。然而，我國銀行仍然得藉由離岸人民幣 市場，向在離岸人民幣市場設立分公司的中國企業辦理人民幣貸款業務(如索力 鞋業案的台灣中小企銀利用其香港分行辦理離岸人民幣貸款)，且我國銀行透過

27

中國的貸款基礎利率（Loan Prime Rate，簡稱 LPR）。其報價銀行團，由 9 家商業銀行組成，

基於報價行自主報出的最優貸款利率計算並發布的貸款市場參考利率。每個交易日根據各報價行 的報價，剔除最高、最低各 1 家報價，對其餘報價進行加權平均計算後，得出貸款基礎利率報價 平均利率，並於 11:30 對外發佈。 28

上海銀行間同業拆放利率，「最新貸款基礎利率」，http://www.shibor.org/ ，最後瀏覽日：2015

年 4 月 13 日。 29

中央銀行全球資訊網，「五大銀行平均存款利率」與「五大銀行平均基準利率」，

http://www.cbc.gov.tw/sp.asp?xdurl=banking/rates_04.asp&ctNode=371 ，最後瀏覽日：2015 年 4 月 13 日。 30

中央銀行，104 年 2 月銀行辦理人民幣業務概況，2015 年 3 月 16 日。 8

具有利率上的競爭性，較中國銀行具有優勢且不受匯兌損失影響。 三、拆借後仍有利可圖：即使我國目前仍然不准許直接人民幣匯至我國銀行 於中國的分支行進行人民幣貸款業務，然我國銀行的中國分支行仍能向中國銀行 進行拆借後向中國企業放款，且仍然具有利潤。甚至是目前金融業界常使用的「內 保外貸」方法，藉由第三地 OBU 繞過人民幣放款限制。 從以上幾點對中國授信業務，前景看似美好，惟放款風險仍然不可忽視，以 下可以分為幾點敘述： 一、徵信不易：由放款業務觀之，中國不似我國擁有金融聯合徵信中心的機 構，在信用資料庫上可以提供企業戶的詳細財務資訊，供會員銀行於授信時做財 務資料比對。在沒有法人信用資料庫的情形下，加上目前兩岸並沒有通過服務貿 易協議，我國會計師無法在中國執行財務查核業務，必須單憑中國會計師事務所 出具之財務資料以及中國企業出具的營運資料進行信用審查，不論是對於聯貸案 的主辦行進行財務盡責調查(Due-diligence)和擬定 MOU，或是我國銀行於中國分 支行對中國企業一般放款，都會增加其徵信困難度。 二、司法審判籍不同：我國與中國分屬不同司法審判籍，在貸款契約未約定 我國或第三國為管轄法院的情形下，若將管轄權約定為中國法院，且借款人違約 情形嚴重債務協商不成，又借款人於我國管轄權內無提供擔保，縱使借款人在中 國有能強制執行的財產，然衡諸司法審判籍不同以及司法制度成熟度的考量，追 討債權具有高度困難，從索力鞋業案不難看出福建警方乃至法院積極不作為對債 權銀行帶來的難處。 在前述聯貸契約的性質其實對參貸行保障程度有限的情況下，除了回歸最初 聯貸契約內容是否擬定足夠的追索義務外，更高度依賴聯貸契約約定的管轄繫屬 地司法審判權，是否具備高度透明性與司法獨立性，否則縱使聯貸契約約定內容 完整，卻也陷入追索不能的困境。 三、無法即時監管：由於臺灣地區銀行對大陸地區之授信、投資及資金拆存 總額度計算方法修正，計算上扣除子銀行，僅在資本適足率計算方面就投資子銀 9

行之金額風險控管31 。站在目前我國銀行於中國分行陸續爭取轉為子行的趨勢 下，對於子行風險評估僅能從資產負債表裡面的對子行投資部分計算風險金額， 且限於申請時該金融控股公司淨值百分之十32，不但缺乏彈性，且就日後對中國 地區子銀行投資總額審視，若主管機關未主動令銀行填報，最快還需待每營業年 度第一季、第三季終了後四十五日內，經銀行業者依金融監理資訊單一申報窗口 申報資本適足率與槓桿比率，才能了解資本適足率中需計算的對海外子銀行投資 是否已違反限額33。雖連鎖式金融危機並非即時監管即能避免，且單靠主管機關 對於銀行資本適足率管制並非絕對避免發生金融危機的方法，然跨國間的不同金 融監管機關在資訊上的落差，仍然使此種對中國放款增加我國監管不能的風險。 四、對存戶與投資人的風險：對銀行營運來說，趨向追求高獲利高風險的放 款行為，當然是對銀行存戶存款帶來的潛在風險(雖經由資本適足率的控管，加 上存款保險機制的建立，對存戶存款保障有效提升)。但更重要的是同時提高了 擔保貸款憑證(Collateralized Loan Obligations)再證券化後的一般投資者投資風 險。放款行為中獲得的債權除了從利息獲利外，也能夠用利用將債權證券化 31

金管銀法字第 10200007460 號令，臺灣地區銀行對大陸地區之授信、投資及資金拆存總額度

計算方法說明修正規定對照表。 32

臺灣地區與大陸地區金融業務往來及投資許可管理辦法第七條第二項：臺灣地區金融控股公

司赴大陸地區參股投資及其直接或間接控制之關係企業（不含臺灣地區銀行與其持有已發行有表 決權股份總數或資本總額超過百分之五十之子公司及第三地區子銀行）赴大陸地區投資，其投資 總額不得超過申請時該金融控股公司淨值百分之十。。 33

銀行資本適足性及資本等級管理辦法第 14 條：銀行應依下列規定向主管機關申報自有資本與

風險性資產之比率之相關資訊： 一、於每營業年度終了後三個月內，申報經會計師複核之本行及合併普通股權益比率、第一類資 本比率、資本適足率及槓桿比率，含計算表格及相關資料。 二、於每半營業年度終了後二個月內，申報經會計師複核之本行及合併普通股權益比率、第一類 資本比率、資本適足率及槓桿比率，含計算表格及相關資料。 三、於每營業年度及每半營業年度終了後二個月內，以及每營業年度第一季、第三季終了後四十 五日內依金融監理資訊單一申報窗口規定，申報普通股權益比率、第一類資本比率、資本適足率 及槓桿比率相關資訊。 主管機關於必要時並得令銀行隨時填報，並檢附相關資料。 第一項規定對於經主管機關依法接管之銀行，不適用之。 10

(Securitisation)的方式發行擔保貸款憑證，移轉銀行自身的放款風險及提升資本 適足率34，雖擔保貸款憑證的承購者多為金融機構，但多會再經過再證券化之後 包裝成金融商品銷售給一般投資人。此時不但看不出債權本身的信評等級(Credit Rating)，對一般投資人來說更無法了解該債權從何而來，這也是 2008 年金融危 機的肇因其中之一35。 5.

我國金融監管法規可能修法方向 國際清算銀行(Bank of International Settlements)下轄的巴塞爾銀行監理委員

會(Basel Committee on Banking Supervision, 下略稱 BCBS)是對於全球銀行的監管 的標準制定者。其任務在於加強銀行制度、監管和運作，目的是為促進世界金融 的穩定。為達到此目的，1988 年 BCBS 針對銀行最低資本要求發布巴塞爾資本充 足協定(簡稱巴塞爾協議，Basel I)，並於 1996 年將市場風險納入資本需求的計算， 修訂發布 Basel II。而在 2008 年的金融次貸風暴之後，BCBS 針對資本充足率、壓 力測試、市場流動性風險考量三點，於 2009 發布最新 Basel III。自從 Basel III 之 後，大多數國家的金融法規皆依照相同標準修訂遵循，然還是有些方向可以提供 參考： 一、 訊息揭露：雖然 Basel III 有針對資本充足率做出規定，然對於何時揭露 以及執行細節如何，交由各國自己自訂。相較於英國，我國於今年訂定 本國銀行資本適足性與風險管理相關資訊應揭露事項規定36，特別是各 本國銀行應於網站設置「資本適足性與風險管理專區」除定性資訊每一 年更新一次外，定量資訊更每半年會計師完成複核後更新一次，此項規 定有助於一般投資人與存款人近用資訊，甚至比英國的公開揭露更透 明。

34

Wood, (n 6) 40-42

35

Hal Scott, International Finance, Transactions, Policy, and Regulation (20th edn, Thomson Reuters

2014) 36-38 36

金管銀法字第 10410001100 號 11

二、 行政規則的量化分析：金融監管機關在建構投資者保障規範時，對於可 以取得資訊的量化分析應是不可或缺的，儘管對於各種規範所帶來的利 與弊是難以分析的，但如完全沒有應用數據的話，很難做政策成本與利 益的衡量37。以臺灣主管機關為例，如果是為了避免未來的行政責任而 大量做出不准許業者投資的行政處分，不但無助於金融行業發展，也非 經過利益衡量做出的決定，無助於防範系統性金融風險的發生。 三、 資訊提供的利益衝突：但有學者認為，倚靠業者提供資料，除了其可信 度有疑惑外，亦存在金融業者與監管機關間利益關係相衝突的關係38。 我國金管會與其他金融相關公部門以及非公部門之間，若能建構資料 共享與分析系統，將能幫助主管機關在未來分析金融業者提供資訊 時，使用更多輔助資訊來釐清資料的正確性，避免過度倚賴金融業者。 6. 兩岸聯貸合作備忘錄對我國銀行聯貸的實效性 兩岸間因為商業活動的熱絡往來，不僅臺灣企業有融資需求，中國民營企業 因為貸款不易申請及利率過高產生融資需求，我國銀行也是亟欲爭取這一塊市 場。這個趨勢下兩岸金融業者間互相簽署之合作備忘錄，首先是性質與國與國間 簽署的備忘錄效力不同 39 ，屬於業者間民間合作內容，比較沒有政治上的疑慮 性。再者該備忘錄目標為業者間資訊整合提高徵信能力以降低聯貸風險、開拓客 源，更重要的是針對企業倒帳償債的先後順序，約定於範圍內40。從整體目標與 約定內容來看，有機會幫助臺灣金融業者降低聯貸案部分的放款風險。 然而，該備忘錄僅為跨國企業間簽署之合作內容，對於違反內容情事基本上

37

Georgosouli, ‘The debate over the economic rationale for investor protection regula-tion: a critical

appraisal’ (2007) JFRC 15(3), 236-249, 242 38

Georgosouli, ‘The revision of the FSA's approach to regulation: an incomplete agenda?’ (2010)

J.B.L. 599 39

中時電子報，「金管會釋疑兩岸聯貸 MOU」，2014 年 12 月 24 日，

http://www.chinatimes.com/newspapers/20141224000142-260205 ，最後瀏覽：2015 年 5 月 11 日。 40

中央社，同前註 4。 12

除非參與者有約定，否則基本上大多沒有法律拘束力。再者，雖內容提及我國銀 行受償權，在契約約定下可具與中國銀行同一順位，然在債權協商層面，我國銀 行就執行倒賬業者的資產，是否與中國銀行有相對等的談判力，仍有疑慮。 如果一般而言，所有司法審判權保障一般債權人間擁有同等順位的追償權時 (pari passu)，審判權國家還需要倚靠民間企業之間簽署合作備忘錄，才能幫助該 企業擁有平等順位的追償權，此種合作關係是代表著國際化的金融市場規則，還 是一種特別的合作關係，對於我國金融業者國際化的腳步能否有幫助，本文就此 點存疑，僅能謂兩岸間民間企業的互相保障而已。 7. 結論 從前面提出的脈絡，其實可以了解銀行在追求高利潤的同時，很難要求單靠 道德(Ethic)制約角度期待銀行做較保守的操作，然而，若要從防範系統性風險的 角度來看，僅靠監管機關、法規和行政命令是不足的，因為金融與商業活動的彈 性和變化性總是早於法規命令的制定與執行，甚至我國金管會是一種「限制越多 能夠越安全」的態度在制定行政命令的。和其他國家銀行業相較，我國金融業者 的獲利比例也相較較低，其中一部分原因或許是因為我國金管會較保守的態度， 但這並不代表金管會一定要放鬆銀行監管的規定，金管會應該要有更嚴謹的態度 來面對每一個發布的行政命令，甚至乃至於整個國家對於金融產業的態度。 更重要的是，金融產業的本質，追求高獲利帶來的，即為高槓桿操作以及高 風險，雖然臺灣金融業從世界上來看已經是相對保守穩健的經營了41，但 2008 年金融風暴，帶來過度證券化導致的連環效應，提示了更嚴謹對於全體金融行業 監管的改革。由於我國對中國的跨管轄權放款存在一定程度的法律風險，本文認 為僅靠計算總投資限額管制是不足的，最根本的方法是提高銀行揭露資本相關數 據的頻率與範圍，讓所有利害關係人可以享有資訊近用，補足監管機關主動監督

41

林劭杰，德克夏銀行(Dexia)財務問題個案研討-為何一家資本適足率 13%的銀行會瞬間瓦解?，

金融聯合徵信雜誌，第 20 期，2012 年 6 月，37 頁。 13

卻人力不足的部分(這也同時是歐洲證券市場監管機關 European Securities and Markets Authority 人力不足與缺乏經驗被批評的地方)。 否則，未能有效管制系統性風險帶來的結果，不僅是對於一般投資人或存戶 的影響，如果銀行有倒閉或需要重整的結果，政府在介入以及擬定特別解決方案 所要花費的成本，其實是轉嫁給一般社會大眾，且後續失去金融市場信心帶來的 市場衰退，短期難以解決。 又本文一開始所涵蓋領域略失之過廣，期許未來能夠就每一部分再做深入研 究，以完善全篇架構於此次未能詳盡闡明之處。

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評 黃維民《臺灣內國銀行對中企業放款的潛在風險》 黃薇儒／德國圖賓根大學法律博士生

一、聯貸法律問題的討論不僅在國際聯貸，於內國聯貸亦有實益。從標題可知作者希望探討在國際 聯貸中，台灣銀行對中國企業放款的問題。但在前言中，作者提到只要貸款人是外國人時，其風險 便因在國內欠缺可擔保標的而有異於一般內國貸款，因此作者應有必要先澄清，我國銀行對其它國 家的聯合貸款，相較於對中國貸款之法規範有何差異。另外，台灣個別銀行對中國企業的貸款顯然 不在本文討論之列，而僅討論大型聯合貸款案，顯然較標題文義為窄，建議作者修改並限縮標題指 涉範圍。另外，備忘錄的法律性質，一般認知為正式契約的預約，法律效果須視個別預約之具體內 容，因此也期待作者在內文中討論兩岸銀行共同簽訂之合作備忘錄具體內容，是否有特別之處，如 此方有在前言中特別著墨的實益。 二、由於文章標題已確立討論主題為聯合貸款，因此建議作者在文中不需再另行列舉其它對中企業 放款類型，如需補充說明以引註為之，否則容易模糊主題。如果作者事實上是想討論台灣銀行對中 國企業以任何形式放款的風險，則應進一步說明以文中所介紹，子行、分支行及第三第海外分支行 等不同形式放款的法律效果差異何在。然而這樣的討論不僅過於龐大分雜也容易模糊焦點，且亦產 生進一步的問題：蓋前三者差異在於放款行有無獨立法人格，及其法人格之國籍，若是以在中國的 海外分支行或第三地海外分支行為放款行，是否仍適合稱作本文中的「我國銀行」？ 三、關於聯合貸款的性質：作者以客觀現象敘述的方式介紹一般商業貸款的分類及聯合貸款的運作 方式。然此標題所稱聯合貸款的性質，應指其法律性質並作法規範之涵攝，即聯合貸款行為過程中 借款人、主辦銀行與參與銀行等三方當事人各自的法律行為性質。例如：所謂借款人責成特定銀行 為主辦行之法律行為性質為何（委任契約？）、主辦銀行提供聯合貸款條約並為有意參與之銀行舉 行說明會究竟為要約還是要約之引誘？唯有清楚將各階段詳細區分並分別說明其法律性質，方有助 於讀者深入理解法律議題。 四、作者在文中僅討論我國行政主管機關基於法律授權制訂的行政命令失當而產生的風險，而不及 於前述各種違約情事產生之其它風險（如跨國訴訟程序之成本耗費我授權母法之法律漏洞），建議 作者多著墨授權母法，即兩岸人民關係條例之特殊性，並說明金管會就我國銀行對中國以外其它海 外融資之相關規定，方能呈現問題的特殊性。又如在中國司法之風險，一方面以新聞案例空泛指稱 其司法品質之低落，以實際案例中之法律適用，例如我國對中國裁判或仲裁判斷的承認與執行情形 ，更有助於法學討論。

主辦單位：歐洲台灣青年學者人文社會學會 贊助單位：FSDIE de l'Université Paris 8 及 iheap This conference is organised by Taiwanese Society of Young Scholars for Humanities and Social Sciences in Europe, and supported by FSDIE of Université Paris 8 and iheap.

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