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JOURNAL OF ZHEJIANG UNIVERSITY 2021 Vol.51 Number 6
2021, Vol.51 Num.6
Online: 2021-12-28

Article
 
Article
1
2021 Vol. 51 (6): 1- [Abstract] ( 178 ) [HTML 1KB] [PDF 2409KB] ( 243 )
5 Zu Hui, Fei Xikuan
The Reform of the Imperial Examinations in the Northern Song Dynasty under Civilian Politics Hot!
The selection of civil servants in the Northern Song Dynasty was mainly done through the Imperial Examinations (keju) system. In the early Song Dynasty, reforms of the Imperial Examinations that had been carried out since the Tang Dynasty could not adapt to the new political situations. New reforms mainly included three aspects as follows.The reforms started with Emperor Taizu, who established palace examinations and thus had talent selection controlled in his own hand. The examinees who passed palace examinations were regarded as the disciples of the emperor, the Son of Heaven, and that greatly aroused the enthusiasm of scholars. However, the number of admissions in the reign of Taizu had no significant change compared with that in the Five Dynasties because the national policy of emphasizing literati and restraining the military was still in the exploratory stage. In the reign of Emperor Taizong, upon the unification of the country, the establishment of a national government system with literati as the main body was put on the agenda. Based on the needs of civil politics, Emperor Taizong continuously expanded the number of admissions in the Imperial Examinations in order to supplement and update the bureaucratic team with new talents. As such, the proportion of officials selected through the Imperial Examinations was greatly increased in the bureaucratic system, which laid a solid foundation for promoting the formation of civil politics.In order to select talents for the government, the subjects and contents of the Imperial Examinations were gradually adjusted. In the reign of Emperor Renzong, the systems of shuoshuju (说书举) and mingjing ke (明经科) were set up, which changed the concept of talent selection from focusing on poetry and memorization in the Tang Dynasty to emphasizing interpretation of classics. In the fourth year of Xining, Wang Anshi reformed the Imperial Examinations system and officially abolished various subjects, mingjing ke and poetry and fu (赋) , tie jing (帖经) and mo yi (墨义) and turned to the focus on classics interpretation (yi, 义) , exposition (lun, 论) ,and policy response essays (ce, 策). The selection of talents shifted from emphasis on literary skills to the candidates' practical ability. Literary talents selected through poetry and fu had little to do with national governance while classics interpretation, exposition,and policy response essays focused on governance in ancient and modern times and current politics. The classics exegesis required the examinees to quote from classics to deal with ideological and theoretical issues related to the people's well-being, politics, economy, morality and self-cultivation and so forth. Creative answers were of positive significance for selecting talents who were proficient in Confucian Classics and practical abilities to participate in the country's government. This was the fundamental reason for the reform of the Imperial Examinations which had been established and carried out since the Tang and Five Dynasties.In order to improve the overall quality of civil servants and their ability to govern the country as well as unify their thinking, the state began to attach importance to education and official schools were encouraged. During the reign of Emperor Huizong, based on Wang Anshi's Three Hall System (sanshefa, 三舍法), the reform of sanshe gongshi (三舍贡士) combined the selection of talents through the Imperial Examinations with school education. Local government schools at various levels were established to match with the contents of the Imperial Examinations. Thus, a set of management system of talent training, selection and appointment was formed to better serve civil politics. From the third year of Chongning to the third year of Xuanhe, the gongshi examination had been carried out twelve times nationwide. It was a beneficial attempt to combine the selection of talents through the Imperial Examinations in alliance with school education, which had a far-reaching impact on future generations. In the Ming Dynasty, the Imperial Examinations must be carried out through the school system.In short, the reform on the Imperial Examinations System in the Northern Song Dynasty has a positive historical significance in eradicating the dictatorship of the military officials, establishing civil politics and strengthening centralized rule.
2021 Vol. 51 (6): 5-17 [Abstract] ( 327 ) [HTML 1KB] [PDF 820KB] ( 330 )
18 Zhou Jia
The Change of Meanings of “Origin” from the Perspective of Emphasizing Literati Policy in Song Dynasty Hot!
This paper investigates the influence of the prosperity of the Imperial Examinations system in the Song Dynasty on the bureaucratic selection system as well as on the concept of the times by examining the change of the meaning of “origin” (出身) in the Imperial Examinations in the Tang and Song Dynasties.The original meaning of “origin” was “dedication” in the historical documents. In the Tang Dynasty, “origin” was widely used as an official term. One who had “origin” meant “having the qualification to be an official”, but not a formal official. Official qualification could be obtained through different ways; therefore there were various origins. The debate on origin in the Tang Dynasty mainly focused on enyin (hereditary by grace) and keju (the Imperial Examinations). In the early Tang Dynasty, the “origin” status of enyin was much higher than that of the Imperial Examinations. In the Imperial Examinations, the status of Jinshi (presented scholar) was the lowest, above which there were xiucai (秀才) and mingjing (明经). In the middle and late Tang Dynasty, the origin of status of jinshi had ascended. In the late Tang and Five Dynasties, the central government could not effectively implement the official selection system. The focus of the imperial court on “origin” was whether one had “origin” or not, as “having an origin” connoted having the official qualification recognized by the central government. Its purpose was mainly to control the appointment and removal of personnel and to prevent the cases of having no origin and forged origin. In the Northern Song Dynasty, the power of appointment and removal of personnel was retrieved by the central government, and “whether there was origin” was no longer a concern of the imperial court, resulting in a sharp competition between officials with different origins.The Song Dynasty was the key period for the change of the meaning of “origin”. In the early Song Dynasty following the Tang and Five Dynasties, “origin” generally referred to the qualification of being an official. In the Song Dynasty, the policy of emphasizing literati in ruling the country was established. Since the reign of Emperor Taizong, the Imperial Examinations became the main channel for selecting officials, and “origin” became the identity reference specifically referring to those who took the Imperial Examinations and gained official positions. After the reform of Imperial Examinations in the reign of Emperor Shenzong, the scope of “origin” had been limited to jinshi only from the reign of Huizong to the Southern Song Dynasty. In contrast to “having origin” in the Song Dynasty, there were “having no origin” and “miscellaneous origins”. The emphasis on “origin” in the Song Dynasty was to distinguish it from the enyin status.The aim of focusing on the issue of “origin” by the emperors of the Song Dynasty was to prevent the formation of new political regimes in officialdom from threatening the imperial power. Therefore, the imperial policy focused on suppressing enyin and supporting the Imperial Examinations. There were three major means: firstly, the number of origins was controlled, i.e. expanding the scale of Imperial Examinations and limiting the number of enyin; secondly, the officials who were appointed for the first time were controlled, enyin and jinshi having totally different treatment from the Tang Dynasty to the Song Dynasty; thirdly, the appointment and promotion of officialdom was controlled. In the early reign of Shenzong, it was a common phenomenon that the qualifications for senior positions in the central government required jinshi origin.In the Song Dynasty, “origin” became a qualification factor affecting the official career all of one’s life time. The concept behind it was that the official power could not be inherited, but must be held in the hands of moral and capable people. As far as civil servants are concerned, they could not change their “miscellaneous origins” while enyin origin had an opportunity to change into a better jinshi origin. There were two main ways to change the origin: firstly, the officials with enyin origin could participate in the Lock Hall Test (suoting shi,锁厅试) of the Imperial Examinations, and obtain the jinshi origin after passing the examinations; secondly, the emperor directly granted them with jinshi origin. These officials, who were promoted by the emperor personally, formed a closer personal relationship with the emperor so that the most important positions in the imperial court would never be out of the emperor’s control.
2021 Vol. 51 (6): 18-28 [Abstract] ( 357 ) [HTML 1KB] [PDF 788KB] ( 424 )
29 Wang Xiaochen
The Imperial Examination Policy Adjustments of the Southern Song Dynasty: Focusing on Exam Subjects, Exam Essays and Official School Education Hot!
The imperial examination reform in the Southern Song Dynasty was not as dramatic as that of the Northern Song Dynasty. Nevertheless, it was a period of learning the lessons of reform and implementing the policies formulated in the Northern Song Dynasty. As the main channel to select candidates for state bureaucracy, the imperial examination brought up an imperial examination society, which tended to be highly developed during the Southern Song Dynasty. Given the growing numbers of exam candidates and the increasing difficulties of administrative management, policy designers had to set up a set of consistent and operable criteria to guarantee fairness and openness of the examination, while also maintaining the efficiency of the system under such pressure. The policy makers formulated relevant policies in three aspects: exam subjects, exam essays, and official school education, considering the real situation on the one hand and making some compromises on the other. Meanwhile, detailed examination implementation rules were refined to further regulate and guide the examinations. Firstly, they downplayed the debate on whether Shifu (诗赋, poem and prose) or Confucian classics was the solely justifiable exam subject for talent selection, a debate which had started in the early Song period, and grown heated in the Xining period. They realized that the Shifu was irreplaceable for ensuring fairness of the primary exams and recognized that the Confucian classics added a practical emphasis to the exam contents. Hence, the government kept both subjects, while offering higher admission ratio to exam candidates who took the Confucian classics subject. Secondly, the government kept a balance between the two exam essay forms, namely Shifu and Celun (策论, policy essay). Following the early Northern Song’s example, the government increased the proportion of Shifu in exam essay contents. On the other hand, while continuing the trend established in the middle Northern Song, they emphasized Celun in the primary level examinations, especially in exam topic setting and paper grading. Lastly, with the use and control of official school education, the government built up an official school system as a supplementary channel for civil servant selection. Aiming at encouraging literati to enter the Imperial College where they would get bureaucracy preparatory education, the government offered preferential treatments for Imperial College students, such as internal promotion incentives, awarding official positions directly to outstanding students, and more admission chances for students capable of taking the preliminary examination. Meanwhile, the government improved related institutions to train and assess the Imperial College students as preparatory officials even before they passed the Imperial Examination. The Southern Song Dynasty developed a complete, consistent, and well-operated model of Imperial Examination system, both ideologically and institutionally. However, with the continuous refinement of the policy, the negative effects of the imperial examination system, such as consolidation and rigidity, were gradually strengthened. This was the institutional paradox that the original design of the imperial examination policy turned to its opposite in actuality. During the Southern Song Dynasty, the imperial examination policy inherited, discarded, and reconciled the legacy of previous generations, and further refined the rules based on the principles of balance, openness, and incentive. The positive and negative effects of all these practices had a large impact on the imperial examination policy of the Ming and Qing Dynasties.
2021 Vol. 51 (6): 29-41 [Abstract] ( 191 ) [HTML 1KB] [PDF 767KB] ( 243 )
42 Li Ruohui
The Origin of the 81-Chapter Edition of Laozi Hot!
The 81-chapter edition, as the standard Laozi, has played a large role in both the textual formation and the thinking pattern of Laozi. In recent years, scholars have been focusing on and disputing over the issue concerning how the 81-chapter edition was formed. As for the transition from the 77-chapter edition (which is the edition of the Peking University Han Bamboo Slips) to the 81-chapter edition (which is the edition annotated by Heshang Gong), there lies a noticeable intermediary edition in between, i.e., the edition of Laozi cited in Huainanzi. Since the term “chapter” is an intact unit of meaning, it is important to understand each sentence of Laozi in the context of the overall meaning of the chapter to which it belongs. Therefore, it is reasonable to judge which chapter a sentence belongs to on the basis of how it is interpreted when quoted in Huainanzi. Through dividing chapters of Laozi according to the aforementioned standard, we can tell the differences between the 81-chapter edition of Laozi and the edition interpreted in Huainanzi. Chapter 64 in the former is divided into two chapters in the latter; Chapter 78 and 79 are combined into one, while Chapter 6 and 7 are separated; and Chapter 17, 18 and 19 become independent from one another. Generally speaking, the text of Dao Jing in the Huainanzi edition is the same as (or nearly the same as) that in the 81-chapter edition, and the text of De Jing in the Huainanzi edition is the same as (or nearly the same as) that in the 77-chapter edition of Peking University Han Bamboo Slips. Meanwhile, the Huainanzi edition also has something to do with Liu An, the King of Huainan. The edition of Laozi in the Han Dynasty is most likely to be the 37 scriptures of Laozi Fushi Jing Shuo recorded in Hanshu Yiwen Zhi. In this sense, those 37 scriptures can be considered as the same as, or similar to, the 77-chapter edition of the Peking University Han Bamboo Slips. Due to the sudden overthrow of the governance of Liu An, only the Dao Jing was adapted into 37 chapters, while the De Jing was not. As for the words quoted by scholars in the Song Dynasty concerning the text of Laozi fixed by Liu Xiang, as recorded in Qi Lue compiled by Liu Xin, there are six textual evidences to show that it was forged. First, Laozi is not found in either Bie Lu, Qi Lue, or Hanshu Yiwen Zhi. Second, both Bie Lu and Qi Lue were lost in the An-Shi rebellion of the Tang Dynasty, and no one in the Song Dynasty would have any chance to see either of them. Third, the words quoted by scholars in the Song Dynasty are inappropriate for Qi Lue. Fourth, the Laozi quoted by Liu Xiang is different from that of the 81-chapter. Fifth, the words in Qi Lue quoted by the Song scholars differ from the narratives of Liu Xiang on Laozi. Sixth, it is very likely that Liu Xiang on Laozi did not have a complete record of the scriptures. To sum up, the formation of the 81-chapter edition can be regarded as a milestone for the evolution of Laozi in the Han Dynasty. The edition of the Peking University Han Bamboo Slips, the text of Laozi cited in Huainanzi (including Laozi Fushi Jing Shuo), and the 81-chapter edition constitute a clear sequence of the evolution of Laozi in the Western Han Dynasty. It can then be inferred that the 81-chapter edition was formed before Liu Xiang’s proofreading and after the overthrow of the governance of Liu An, that is to say, in between the governance of Emperor Wu and that of Emperor Cheng in the Western Han Dynasty.
2021 Vol. 51 (6): 42-52 [Abstract] ( 260 ) [HTML 1KB] [PDF 784KB] ( 395 )
53 Huang Jie
Images Carrying Meanings: The Political Proclamation and Source of Forms in Six Paintings of Emperor Huizong of the Song Dynasty Hot!
The unity of poetry and paintings is a significant pioneering contribution that Zhao Ji, Emperor Huizong of the Song Dynasty made to Chinese art. Though it has recently been a heated topic in the academic circles to study the paintings by Emperor Huizong, there is only one paper entitled “Three Questions on the Painting of Listening to Qin” by the author discussing on the unity of poetry and paintings. Most of the papers study the paintings only. However, as indicated by the forms of these paintings, poetry as an integral component is in perfect harmony with paintings and they complement each other. Therefore, it is biased and far from enough to study the paintings only. From the perspective of iconography and the unity of poetry and paintings, this paper, based on the six paintings with confirmed years by Emperor Huizong, studies the images in paintings and the poems inscribed or written by the emperor himself and, in particular, the connection and integration of the discourse systems of poetry and paintings. The paper aims at tracing the sources of the forms and the implied meanings of each painting based on related historical facts and classic works. The theme of “Plum Blossoms and Mountain Fowls”, borrowed from Huang Tingjian’s poems in praise of narcissus and plum blossoms in 1101, the first year of the Reign of Jianzhong Jingguo, proclaims the harmony of the imperial family and reveals the ambivalence of Emperor Huizong on the Yuanyou Party members. “Literati Gathering”, on the story “Eighteen Scholars of the Tang Dynasty Ascending Yingzhou”, refers to the elegant gathering at the Western Garden of his times and his appreciation of Su Shi, a literary master, in a euphemistical way. The drunken man in the picture should be Su Shi. Superficially, it looks like the image is presenting a desire for talents and the joys of having them, but it is actually a major political adjustment or gesture after the political change in 1106, the fifth year of the Reign of Chongning, i.e. actively recruiting talents and loosening confinement on parties, which is also regarded as another political sway of Emperor Huizong. The theme of “Hibiscus and Golden Pheasants”, taken from “Lingtai” and “Fuyi” of the Book of Songs, alludes to his desire of surpassing King Wen who shared happiness with the people. “A Five-colored Parrot”, on the story of the five-colored parrot of Emperor Xuanzong of the Tang Dynasty and Zhang Yue’s “Parrot Poem and Preface”, suggests his expectation that ministers should repay and protect him and also his uneasiness in confronting with the northern tribes. “Auspicious Cranes”, taken from “Ode to Xidu” and “Ode to Xijing” and the legends of phoenixes and cranes in a grand view of prosperous times, is not only a political manifestation of a flock of cranes flying over the Duan Gate in 1112, the second year of the Reign of Zhenghe. It embodies not only the high morality of the king attracting phoenixes and cranes of auspiciousness, but the ideological mobilization of the imperial court to launch a war against the Western Xia Regime. Meanwhile, it is a proclamation that he would inherit the ambitions of his father and his brother to retake the old land of the Han and the Tang Dynasties. “Auspicious Dragon Stone”, based on the Qian Diagram in the Book of Changes and stone art, declares that we should learn from and praise nature, and the virtue of Emperor Huizong is held in high compliment. In short, each of the paintings is a piece of art with stories embedded in delicate structures and forms, appealing to viewers. The paintings reflect the high ambition of Emperor Huizong to build a great empire, his inner desire for harmony and peace, his incompetence in compromising party struggles, and his admiration for the literary and artistic works of Su Shi and Huang Tingjian who were involved in the party struggles. The profound beauty of the paintings of the Song Dynasty is justified in his paintings. Therefore, his paintings set an eternal model standard that all the images carry meanings. The auspicious omens generally recognized are but a semblance.
2021 Vol. 51 (6): 53-66 [Abstract] ( 360 ) [HTML 1KB] [PDF 4608KB] ( 202 )
67 Wang Yueting
A Study of the Formation of Phonetic-Semantic Matching of “Ting ()” from the Perspective of the Phonetic Notions in Jingdian Shiwen Hot!
The phonetic and semantic matching of “ting (听)” has been widely discussed by scholars in the past dynasties, and the academia has been arguing on some specific issues about it. In order to reveal clearly the formation of the phonetic and semantic matching of “ting” and the causes of the disagreements, this paper comprehensively investigates the pronunciation, meaning and syntax as well as their interrelationship of “ting” in Jingdian Shiwen. The major findings are as follows:1.“ting still conforms to the common rules of pronunciation variation in ancient Chinese: when “ting” is followed by content, its pronunciation would be the first tone in mandarin; when followed by target, the pronunciation differs and becomes the fourth tone.About “ting+content”: (i) The “content” is usually nominal. For instance, in the Book of Rites: “There was a woman crying at the tomb and mourning, and Confucius carefully listened (about her crying).” here “ting” means “listen about”. (ii) If the subject lets the event happen after he/she hears certain information, then “ting” extends to the meaning of “resign oneself to”, and is followed by an event. For instance, in the Book of Rites: Shi (士), the lowest class of nobility, will not allow such things to happen when a Dafu (大夫), who is the higher class of nobility, comes in person and congratulates on his joyful event, because Shi dares not to be disrespectful. ”The subject-verb structure “Dafu comes and congratulates on his joyful event” is the object of “ting”. (iii) When the meaning of “ting” is “resign oneself to” and the subject-object interrelationship is from the higher hierarchy towards the lower, then “ting” means “allow”. For instance, in Tso Chuan: “People in Jin State permitted the detained Wei emperor to return to his state.” Note: As Shuwu participated in the treaty of alliance on the land of Jiantu, Jin people then permitted Wei emperor to return.2. Content and target, they are different but closely related, so their boundaries are not necessarily inseparable. Take “ting ming (听命)” as an example, (i) While marching for a battle, the soldiers “ting” the instruction in front of the tent, here is “ting+content”. In Shangshu: “Gong (公) said: ‘Hush! Be quite! Listen carefully about my instruction!’” (ii) However, the instruction needs the listener to execute, so “ting ming” is much often illustrated as “listen to sb”. Here “ming (命)” can be understood as target. For example, in Guoyu: “One’s physical strength cannot afford amours and weapons, one’s will is incapable of listening to the instruction (by sb).” But please note that here “listen to the instruction (by sb)” is derived from “listen about the content of instruction”, and is initially different from “listen to sb”. While Lu Deming adopts ting’s first tone in mandarin, Xu Miao chooses the fourth tone according to the semantic meaning of ting in this sentence. This actually reflects a controversy that the ancient people have long had different views on whether its pronunciation should follow its origin or the extensional meaning when a word applies an extensional meaning.3. Such use case of fu ting (弗听): here “ting” means “listen to”, and as mentioned above, ting should accordingly be pronounced in the fourth tone,but Jingdian Shiwen notes it as the first tone. This is because fu (弗) is used in a perfect form to express negation; that is to say, the phrase “fu ting” means a negative result. So “ting”, which originally refers to “listen to”, is now pronounced in the first tone to mark the perfect aspect. This phrase barely has an object.About “ting+target”: (i) The basic structure is “ting+person. For example, in Tso Chuan: “Though it’s my family issue, we will listen to you.” Here “ting”means “listen to”. (ii) The person in a negative sentence can be pre-positioned. For example, in the Book of Songs: “The emperor said: The jade for sacrifice is used up, but the god still doesn’t listen to me!” (iii) The target may also give further instructions. In Tso Chuan: “Song people arrested Zhai Zhong from Zheng.” Note: Zhai Zhong had listened to Song people’s threat and expelled his own emperor. The object of “ting” in this structure has some control over the subject, which makes it relate to bi-constituent sentences and is different from the above application “permit Wei emperor to return”.
2021 Vol. 51 (6): 67-78 [Abstract] ( 224 ) [HTML 1KB] [PDF 885KB] ( 240 )
79 Zhong Ying
Ying Zhong and His Yong Yan Ji Gu Hot!
Yong Yan Ji Gu, written by Ying Zhong, is a work on the interpretation of Ningbo dialect. The manuscript has been stored in Ningbo Tianyige Museum for 41 years. At present, except a large number of quotations from his manuscript in A Dictionary of Chinese Dialects, the academic world knows little about Ying Zhong and his book. Therefore, in recent years, I have been focusing on the study of Ying Zhong and Yong Yan Ji Gu. After many twists and turns, I came into contact with his daughter and obtained the first-hand information about him. Meanwhile, in the process of collating and annotating, I gained a deeper understanding of his book. These two aspects laid the foundation for the writing of this paper.According to researches, Ying Zhong, originally named Ying Shilin, was born in the town of Xiaying, Yin County, Ningbo City (now Xiaying Subdistrict, Yinzhou District, Ningbo City) in 1907 and died in 1969. He received his initial education in old-style private schools during his childhood and studied in Shanghai and Wuhan for several years in his youth. Though having never received any formal education in linguistics, he was self-taught and proficient in the study of Chinese characters, phonology of Chinese language and exegesis, as well as Chinese medicine. After working as a clerk in Shanghai Huacheng Tobacco Company for a long time, he returned to Ningbo at the end of 1957 and concentrated on the writing of Yong Yan Ji Gu in the decade from 1958 to 1969. Ying Zhong committed suicide after the book was finished.Yong Yan Ji Gu was written in classical Chinese and transcribed elegantly in standard script of small characters. There are 10 volumes of the main text, and an appendix of “Bian Yin” and “Bu Yi”. A total of 11 volumes contain more than 400,000 words, arranged according to the classification of character meaning. More than 1,880 quotes of Ningbo dialect are examined and interpreted. Yong Yan Ji Gu is the last masterpiece by a traditional philologist studying Ningbo dialect, and displays a high academic standard. Its academic value mainly lies in the following aspects: first, it preserves a rich corpus of Ningbo dialect; second, it is a textual research on the characters of a number of dialect words; third, it probes into the etymology and motivation of some dialect words; fourth, it summarizes some linguistic rules in Ningbo dialect. However, the book also has obvious defects: first, it overemphasizes the rule that “the names or nouns in dialects stem from the ancient standard language”; second, it relies too much on “Yin Zhuan” (changes in pronunciation) and “He Sheng” (combination of pronunciations) for justification, and therefore is not rigorous enough; third, the etymology is obtained through “Zi Xun Lian Yan” (the synopsis of a string of characters) and “Tong Yi Lei Ju” (the convergence of synonyms), and therefore not all of his conclusions are convincing; fourth, as it lacks modern grammar concepts, many affixes are interpreted as content words in the book. The mistakes in Yong Yan Ji Gu are due to both personal and historical factors. The concepts and methods of traditional language study would inevitably bring historical limitations to the study of dialects. Therefore, our evaluation of Ying Zhong and his book should be based on the historical perspective.In a word, this paper is the first study of Ying Zhong and Yong Yan Ji Gu in the academic circle. We have researched his personal experiences and his academic morality, and made an introduction to the composition, circulation and writing style of his book. We have also analyzed the academic value and existing problems of the book rudimentarily. It is hoped that it will be helpful for the excavation and inheritance of the local Zhejiang culture and promote the study of Wu dialect, especially Ningbo dialect.
2021 Vol. 51 (6): 79-92 [Abstract] ( 258 ) [HTML 1KB] [PDF 1233KB] ( 232 )
93 Yang Zonghong
"Taking Stories as Evidence": Stylistic Features and Causes of the Preaching Novels in the Late Qing Dynasty Hot!

A large number of vernacular propaganda novels appeared in the late Qing Dynasty, characterized by “regarding telling stories as argumentation”. However, the academic circles have not paid enough attention to this kind of novels, and there is a lack of research on its style characteristics. In preaching novels, stories are supposed to be the “case” and “proof of the case”, and the sixteen edicts and the oracles or other “reasons” are regarded as their “viewpoints”, that is, talking stories become a process of argumentation. “Regarding telling the story as argumentation” is the major stylistic feature of preaching novels. The relationship between “stories” and “argumentation” implied in them is: “stories” are considered as methods and means, and “argumentation” is a process of proving their viewpoints, and both of them serve the contents they want to prove. As far as the style and form of the novel is concerned, the language, titles, preambles, and notes in the books indicate that the stories are “the argumentation of the novel”, and the existence of iconic words such as “proven by the story” and “from this story” in the text indicates the “argumentation” function of the story. The propaganda novels are also characterized by “other various literary genres in the text”. Among them, a large number of benevolent ballads and poems, the part of the “story”, are the important feature of the propaganda novels. In terms of their structure, “edicts (oracles)+story argumentation” is the general form, and its sub-pattern is “poetry+comment+story+comment” or “story+comment”. The process of “argumentation by stories” is: introducing the supporting story, and then the signal word “from this story” leads to a summary. It is very similar to the stylistic structure of “viewpoint+factual argumentation+induction and summary” characterized by the argumentative essay. This structure further shows the “proven” nature of the story and the logical structure of “story as evidence” of the whole novel.The early preaching of the edicts of the Ming Dynasty mostly focused on illuminating the edicts and principles. At that time, there had been a tendency to use stories as the auxiliary means to interpreting principles. In the Qing Dynasty, stories were gradually introduced to illustrate edicts. What’s more, their contents greatly increased, and the forms of “an (案, stories)” and “zheng (证,argumentation)” of moral books were adopted. Later, although this kind of stories was still subordinate to the edicts, it was the main body of the new type of text, and it eventually developed into a story-argumentation-based propaganda novel that “takes the story as evidence”. The formation and development of propaganda novels were closely related to the gradual adoption of stories in the edicts, the preaching of popular novels in the Qing Dynasty, and the adoption of the eight-part essays in the Imperial Examinations. The movement of encouraging kindness to others in the late Qing Dynasty became very popular, and the propaganda of the edict became a folk tradition and even a belief. The authors of this kind of literary form persuaded and exhort people to be kind to others, propagating the edicts. Therefore, these novels were much similar to the morality books, and it was also an important cause of the preaching novels. However, it also resulted in the stereotype that this type of novels was regarded as “morality books” rather than novels, which affects the classification of their genre.For ordinary people, the effect of moral education of fiction was far better than that of Confucian classics and history and was regarded as a “fiction education”. Although popular novels had a persuasive function, they were inevitably commercial and entertaining. In addition, knowledge and morality were implied in the stories, which probably resulted in the understanding deviations of the audience. Preaching novels as “morality books” directly illuminated with a clear and straightforward purpose, a certain edict, oracle, or a certain reason. The beginning and the end of the comments and the comments in the story effectively prevented the deviation of understanding the purpose of the story and made the audiences accept the imperial edict and doctrine within the ideal range. Stories used as evidence can realize the functions of morality and entertainment if the stories contain the theme of retribution for good deeds or sins, in combination with the acceptable artistic form of narration, lyric and persuasive rap. In short, the special system of preaching novels fully realized its role of “fiction education”. Thus it was universally recognized and popularized at that time.As most novels of “using the story as evidence” attached importance to reasoning to a certain extent, it led to the relative inadequacy of the tortuous plot and the fullness of the character image.

2021 Vol. 51 (6): 93-104 [Abstract] ( 289 ) [HTML 1KB] [PDF 795KB] ( 435 )
105 Guo Yongjian
As a Kind of Relationalism's Ontology of Art Works Hot!
The paradigm shift from essentialism to relationalism in modern philosophy has foreshadowed a relationalist model and its concept of “work” in reformulating the ontology of artworks, showing its theoretical superiority over the traditional essentialist model and its notion of “text” in grasping the fundamental way of being artworks regarding their synchronic and diachronic structures. Relationalism adopts a distinct ontological outlook from that of essentialism in conceiving existence as “a relational being”, in removing the essentialist distinction of “external phenomenon” and “internal essence”, and, rather than seeing things in isolation and in one side as having singular essence according to the essentialist doctrine, in attempting to understand things relationally and multi-perspectively with a pluralist notion of “relation”.Relationalism was inaugurated by phenomenology in the 20th Century and enjoyed a broader philosophical interest amongst Dewey, Wittgenstein, Martin Buber and Bakhtin, etc. This philosophical trend has attracted attention from Chinese academics to the experiential dimension of relation, but Chinese scholars, up to now, have not yet widely taken into account the metaphysics of relationalism. The relationalist theory of artworks here endorses a phenomenological concept of a moderate relationalism which lends to its methodology and definition of artworks. Instead of defining artwork as a sort of Spinozan “substance”, this relationalist theory characterizes artworks as a three-fold connection constituted by a subject-object relation, an intersubjective relation, and an interrelation between works, which enclose an artwork in terms of all the possible relations it could have.The relationalist theory shows its edge on properly capturing all these three folds that have not been fully addressed altogether by any single aesthetic thesis in the past. Wittgenstein’s idea of “family resemblance” has been an inspiration in understanding the interrelation between artworks with respect to their similarities, but it missed out the relation between artworks and their viewers along with the underlying intersubjective relation of the authors and the viewers. Gadamer’s hermeneutics shed light on the subject-object relation within the intentional framework but left out the interrelation of artworks. Nevertheless, these relationalist theses in the history of philosophy contributed to the formation of the relationlist theory of art articulated here.The relationalist characterization of artworks consists of three crucial ontological points. One is that it defines artworks from the “exterior”, which echoes the French phenomenologist Merleau-Ponty’s criticism toward the philosophical concept of “interiority” from the perspective of “exteriority”. Another is that it comprehends an artwork as a historical being which embodies the ontological proposition of “being is becoming”. The last point introduces a distinction of this relationalist art theory from M. H. Abrams’ thesis of four elements in literature. Abrams provides this toolkit mainly for making sense of the history of literary theory rather than formulating an interpretation or ontology of artworks. In other words, the three relations between the four elements involved in the row picture mapped out by Abrams are exclusively confined to temporal/historical relations, whereas the relationalist model that theorizes a three-fold connection in artworks, albeit being able to accommodate the historical being of artworks in an ontological sense, is in the first place aiming at revealing the logical/synchronic structures of the relations that associate artworks.
2021 Vol. 51 (6): 105-118 [Abstract] ( 239 ) [HTML 1KB] [PDF 891KB] ( 282 )
119 Ruan Jianqing, Zhao Lühang, Zhao Zuoxiang, Li Jiewei
The Impact of Rising Costs on Labor-intensive Industries: Based on Ningbo Textile and Garment Industrial Cluster Hot!
Labor shortage and sharp increase in labor costs have had a great impact on China’s traditional labor-intensive industries. The competitiveness of traditional manufacturing enterprises which have long relied on cheap labor has declined in China’s eastern areas. Facing the new economic normal, how should the traditional labor-intensive industries like textiles and clothing industry deal with it? As one of the most important textile and garment production bases in China, Ningbo occupies an important position in the textile and garment market both at home and abroad. Discussing the development of Ningbo textile and garment industrial cluster and the coping strategies of enterprises is of practical significance to the study of the transformation and upgrading and industrial transfer of traditional labor-intensive industries. Based on the case of Ningbo textile and garment industry cluster and two representative enterprises, this paper analyzes the strategies implemented by different enterprises in the face of rising costs.The study found that Ningbo textile and garment industry cluster is currently facing problems such as labor shortage, rapid rise of labor cost, increasing competitive pressure at home and abroad and so on. In order to deal with these problems, Ningbo textile and garment enterprises, based on their own business, have been working on management improvements in technology upgrading, branding and diversification strategies, transfering to less developed countries or regions and other strategies to reduce the business risks caused by rising costs. At the same time, this paper compares the conditions for enterprises to transfer to central and western China and other developing countries from the aspects of labor cost, tariff and terms of trade, supporting facilities and business environment. Overall, industrial transfer can alleviate the pressure brought to enterprises by rising labor prices and potential trade barriers. However, the deficiencies in labor quality, supporting facilities and business environment in central and western China and other developing countries have increased the management cost and logistics cost of enterprises. In addition, this paper further discusses the development status and transformation path of different textile and garment enterprises, and finds that in addition to upgrading to both ends of the “smile curve”, the technological progress and innovation in the processing trade link are of great significance to the development of enterprises and the evolution of clusters.In view of the above conclusions, this paper gives corresponding policy suggestions: the local government of traditional labor-intensive industrial areas should encourage enterprises to transfer low value-added links to high value-added links, and continuously improve their independent innovation ability. The local government of the industrial undertaking place should improve the government and business environment and improve the supporting facilities.
2021 Vol. 51 (6): 119-133 [Abstract] ( 216 ) [HTML 1KB] [PDF 828KB] ( 384 )
134 Wu Hang, Chen Jin
The Innovation Mechanism of Cross-border M&A Integration from the Perspective of Institutional Logic: Mediated by M&A Synergy Hot!
How to promote firm innovation through the post cross-border M&A integration process is still an unsolved theoretical puzzle. The innovation school believes that the key to cross-border M&A integration decision-making lies in the degree of integration, ignoring the inevitable institutional logic conflict in the integration process and the fact that the explanation based on the resource view does not fully reveal the mediation process from M&A integration to innovation performance. Although researches on M&A synergy in the strategic school provide an opportunity for the explanation of the above-mentioned intermediary mechanism, it also ignores the research on the relationship between integration decision-making and M&A synergy, and fails to reveal the transmission path from cross-border M&A integration decision, M&A synergy to performance.Basing on the perspective of institutional logic and the literature on cross-border M&A integration, we define the integration decision of cross-border M&A as a strategic response to institutional complexity, including two response methods of institutional adaptation and institutional co-creation. Then, we explore the influencing mechanism of two strategic responses on innovation performance basing on the M&A synergy theory. The results show that operational synergy partly mediates the relationship between institutional co-creation and innovation performance, and financial synergy partly mediates the relationship between institutional adaptation and innovation performance. In the process of operational integration, multinational companies tend to co-create new institutions to achieve operational synergy to promote innovation performance, while in the process of financial integration multinational companies tend to achieve financial synergy through institutional adaptation to promote innovation performance.This research directly contributes to the research of innovation school on the innovation mechanism of cross-border M&A. On the one hand, basing on the perspective of institutional logic, this study uses the variable of strategic response of institutional complexity to describe the integration decision of cross-border M&A, which further reveals the complex core of the cross-border M&A integration decision-making. On the other hand, from the perspective of M&A synergy, this study reveals the relationship between strategic response of institutional complexity, M&A synergy and innovation performance, opening up the internal black box that cross-border M&A integration decision influences innovation performance. This research contributes to the research on M&A synergy from the perspective of strategic management. It explores the corresponding relationship between strategic decision-making and M&A synergy from the perspective of post M&A’s strategic response of institutional complexity, and finds that multinational companies need to make differentiated integration decisions in the process of achieving operational and financial synergies. Therefore, the research has built up a theoretical bridge between integration decision-making and M&A synergy, and contribute to enriching the antecedents of M&A synergy.The research results also have practical guiding values. Firstly, managers of multinational companies should realize that the key to promoting innovation performance through M&A integration is to promote the realization of synergy effects, so they should be targeted in the integration process and strive to identify and realize synergy effects. Secondly, in the process of M&A integration, managers of multinational companies should realize that they will suffer from institutional complexity caused by institutional logic conflicts, and should understand that the starting point for M&A integration decisions is to make strategic responses to these institutional conflicts. There are two types of response methods including institutional adaptation and institutional co-creation. Thirdly, in the process of operation integration, firms should adopt institutional co-creation responding to institutional conflicts, so as to obtain operational coordination and finally to improve innovation performance. While in the process of financial integration, firms should adopt institutional adaptation responding to institutional conflicts, so as to obtain financial coordination and finally to improve innovation performances.
2021 Vol. 51 (6): 134-148 [Abstract] ( 399 ) [HTML 1KB] [PDF 764KB] ( 356 )
149 Zhou Guping, Ni Hao, Dong Xuebing
The Concept That Lucid Waters and Lush Mountains Are Invaluable Assets Promoting Regional Coordinated Development: Three Paths and Supporting Elements Hot!
The 21st Century is an era of ecological civilization, and the bearing capacity of the ecological environment and the contribution of the ecological resources directly affect the speed and quality of social economic development. The relationship between economic development and environmental protection is a typical dialectical unity. The concept that lucid waters and lush mountains are invaluable assets not only provides a code of conduct for handling the relationship between ecological and environmental protection and economic development, but also provides a basic guideline for implementing green development and achieving high-quality development. It enriches and develops Marxist philosophy, provides a new idea for economic and social development, and opens up a new path for coordinated regional development at different levels.The concept that lucid waters and lush mountains are invaluable assets combines ecology, production and living space, which has important theoretical value and helps to improve and reshape the current dominant Western economic theory system First, it breaks with the tradition of Marxist theory of labor value, and enriches the scope and connotation of human labor. Second, it further improves the theory of wealth distribution, taking nature as an equally important factor of production as capital, land and knowledge. Third, it enriches the theory of regional coordinated development. In the current attempts to construct the theoretical framework of regional coordinated development, most scholars regard government mechanism and market mechanism as the two driving mechanisms. Resource endowments such as labor, capital and technology, as well as public capital (infrastructure and public services) are taken as core elements. However, in this logical framework, there is a lack of ecology.The concept that lucid waters and lush mountains are invaluable assets promotes regional coordinated development strategy through many paths, for instance, county economy and urban-rural coordination, regional cooperation and integration, the Belt and Road Initiative and ecological diplomacy. First, it promotes coordinated development of urban and rural areas by advancing ecological development and integration. Second, it promotes cross-administrative regional cooperation and promotes the realization of regional ecological integration development, for example, jointly building a green and beautiful Yangtze River Delta is an important part of the regional integration of Yangtze River Delta. Third, it shares the same value with the idea of sustainable development advocated by the international community, and the international communication of the concept that lucid waters and lush mountains are invaluable assets is conducive to building up a new pattern of ecological diplomacy.It is a systematic evolution of the concept that lucid waters and lush mountains are invaluable assets promoting regional coordinated development, and also a result of the joint action and comprehensive play of many factors in the economic and social development system. Among those, talent and technology are relatively key elements.This article is a review of experts’ opinions on the Concept and Practice Conference of “Lucid Waters and Lush Mountains Are Invaluable Assets” in 2020. The conference is sponsored by Zhejiang University, the Institute of Environmental Planning of the Ministry of Ecology and Environment, and undertaken by the Research Center for Regional Coordinated Development of Zhejiang University, the School of Environment and Resources of Zhejiang University, and the People’s Government of Anji County. Anji County is also famous as the headstream of the concept that lucid waters and lush mountains are invaluable assets. More than 200 experts and scholars from government departments, universities, research institutes, think tanks, enterprises and public institutions participated in the conference. Experts at the meeting had in-depth discussions and exchanges around the theme of the conference.
2021 Vol. 51 (6): 149-156 [Abstract] ( 361 ) [HTML 1KB] [PDF 610KB] ( 378 )
157 Xu Weimin, Pan Yixiao, Zhang Li
From Liberal Education to Integration of General and Special Education: The Evolution and Enlightenment of Zhu Kezhen’s Educational Ideology Hot!
As a pioneer and practitioner of modern education in China, Zhu Kezhen’s distinctive educational thought and practice have been valued and praised by the academic circles for a long time. In the eyes of quite a few scholars, Zhu Kezhen valued “liberal education” and believed that general knowledge was more important than special knowledge. This idea can be traced indeed to its roots but it is likely to ignore Zhu Kezhen’s ideological change.Zhu Kezhen received a systematic Chinese traditional education in his early years. Confucianism emphasizes erudition and social responsibility, which paved the way for Zhu Kezhen’s formation of the concept of liberal education. Zhu Kezhen was influenced during his study in America by the Western traditional notion of liberal education which emphasizes liberal education instead of the practicability of knowledge with the aim of nurturing cultured and erudite talents. Zhu Kezhen highly praised the notion of liberal education, which was popular at Harvard University at that time.With the deep influence of the notion, during his term as President of Zhejiang University, Zhu Kezhen promoted liberal education by following the example of Harvard University. He took a series of measures to strengthen liberal education, such as strengthening students’ basic education, implementing the major and minor system, encouraging students to select courses across colleges or departments, paying attention to cultivating students’ comprehensive quality, advocating the all-round development of morality, intelligence and physique, following Harvard University’s tutorial system, and trying to integrate it into the personality cultivation valued by Chinese traditional education. These measures did achieve some results but later some problems happened as well.Since 1940s, with the influence of the emphasis on the social function of science in Bernalism and the advocacy of “combination of liberal education and specialized education” in General Education in a Free Society (Report of Harvard Committee), considering the fact that professionals were in a huge and urgent demand in China, Zhu Kezhen had a deeper understanding on “general education” and “special education”. Recognizing the disadvantages of laying stress only on liberal education for erudite talents, which was not in line with China’s national conditions at that time, Zhu Kezhen gradually developed his educational ideology of integration between general and special education.Although he once advocated the notion of liberal education learned from Harvard University, Zhu Kezhen was constantly updating his educational ideas in China’s educational practice. He absorbed a variety of educational ideas, critically reflecting on them in practice. He combined the Confucian educational thought and the Western general education idea with the current educational practice, and finally put forward the educational concept of “paying equal attention to both general and professional” education in order to explore an educational model suitable for China at that time.An in-depth study of the transformation of Zhu Kezhen’s educational notion can help us acquire not only a more comprehensive and profound understanding of his educational thought, but also a deeper understanding of the relationship between “general education” and “special education” in today’s university education. Besides, his educational ideology also has important enlightenment significance for us to better promote the organic combination of general education and special education in the new era. First of all, although general education and special education are different types of talent cultivation mode, they are indispensable and should be paid equal attention to. Secondly, the idea of general education should not be opposed to the idea of special education, nor should they be separated. They should be combined. Thirdly, the development direction of general education in China today should adopt the concept of general education, not just liberal education. Eventually, Zhu Kezhen’s spirit of seeking truth from facts is particularly worth noting in exploring an educational model suitable for China.
2021 Vol. 51 (6): 157-166 [Abstract] ( 291 ) [HTML 1KB] [PDF 689KB] ( 273 )
167 Zhang Xiaomeng, Wei Chu
Developing Heating Systems in Southern Cities: A New Option of High-quality Development Hot!
The 14th Five-Year Plan is a crucial strategic period for high-quality development. However, China is confronting a world with increasing uncertainties. It is also urgent to respond to emerging multi-dimensional challenges, such as improving living standards, boosting domestic demands, protecting the environment, reforming the supply-side, and enhancing governance capacity. All these changes call for a new strategy option and solution.The “Qinling Mountains and Huaihe River” boundary has shaped China’s heating system since the 1950s. Because of the less-developed economy and limited energy resources, the district heating system is only applicable for the Northern Chinese cities. However, stimulated by the continuous income growth and demand for better space-heating services in the past four decades, a robust heating market is growing and emerging in the Southern cities. Our study offers a new option to support high-quality development by developing heating markets in the Southern cities for the first time. We present the feasibility of this new option by identifying theoretical mechanisms, discussing practical heating patterns, and assessing the market potential for the Southern cities. Our work contributes to the existing knowledge in three aspects as follows.First, we establish an analytical framework to examine how the heating industry affects high-quality development. Then, we identify five beneficial effects when developing the heating industry in the Southern cities. These effects include meeting households’ demands for better livelihood, contributing to employment and economic growth, driving the heating industry to technology change, promoting energy systems to exploit local renewable energy, and improving the resilience of urban management.Second, we discuss the heating pattern in the Southern cities. The present Northern cities’ district heating systems, associated with heavy financial burdens, high energy dependency, and severe environmental pollution, serve as a benchmark. With the disparity in heating habits and rising environmental concerns, we argue that developing a government-oriented district heating system is unsuitable for the Southern cities. Instead, a market-based distributed heating system is an option.Third, we establish the assessment framework of the heating market in the Southern cities. There are three elements in building up the heating market: effective supply, adequate demand, and efficient policy support. An empirical assessment of the development potential of the heating market is applied with 133 prefecture-level cities to present the overall picture of the present development level in the Southern cities. The results show that most of these cities are at the initial start-up stage. There is a great regional disparity: cities in the eastern area have greater potential than their western counterparts. Among all cities, Shanghai, Nanjing, Suzhou, Wuxi, Hangzhou, Hefei, Zhenjiang, Changzhou, Wuhan, Ningbo are the top-10 with the highest market potentials.
2021 Vol. 51 (6): 167-186 [Abstract] ( 510 ) [HTML 1KB] [PDF 1441KB] ( 551 )
187 Jiang Fen, Zhou Wei
A Review on CPTPP Rules of State-owned Enterprises and the Chinese Response Hot!
CPTPP is regarded as a 21st Century Trade Agreement. China has expressed positive interest in its accession to CPTPP. The Chapter 17 of CPTPP, “State-owned Enterprises and Designated Monopolies”, constitutes an experimental precedent of multilateral rules for state-owned enterprises. There are “three prohibitions” against state-owned enterprises participating in global competition and overseas investment in the Chapter 17 of CPTPP. The first one is to prohibit state-owned enterprises from using subsidies to affect international trade between contracting parties and the export trade from contracting parties to a non-party. The second one is to prohibit state-owned enterprises from using subsidies to displace or impede the domestic sale of a good through an enterprise that is a covered investment. The third one is to prohibit state-owned enterprises from using subsidies from capital-exporting countries to cause injury to the domestic industries of capital-importing countries. Subsidy regulation on SOEs is the main aspect of the above “three prohibitions”.Governmental subsidies are mainly regulated by, among many statutes, international trade law and competition law. Subsidy is not only an unfair trade act in the sense of international trade law, but also an administrative restriction of competition from the perspective of competition law, so it constitutes the intersection of the above two sectoral laws. From the perspectives of title, hierarchy, wording and purpose, Chapter 17 has a strong color of competition rules. However, Chapter 17 has definite characteristics of trade remedy norms if it has been deeply examined in the two aspects of both rule contents and adjustment scope. Chapter 17 also has obvious characteristics of international political instruments instead of impartial legal rules with the purpose of competition neutrality.Chapter 17 of CPTPP does not follow the purpose of “ownership neutrality” and “balance between discipline on both subsidies and countervailing measures” in the SCM Agreement. It pursues the purpose of competition policy by means of trade remedies while ignoring distortive effect of over-regulative measures on subsidy. It imposes discriminatory regulations on state-owned enterprises, while ignoring the overall adjustment of market competition. It aims to safeguard the competitive interests of private enterprises while ignoring the overall increase in market competition. Therefore, it has the fundamental defects of imbalance between purpose and means. Chapter 17 of CPTPP constitutes a double standard in the application of law and will plunge state-owned enterprises into unfair and unreasonable situations of restricted business activity and blocked commercial investment.During the possible accession negotiations in the future, China should advocate the construction of multilateral norms of competition policy based on ownership neutrality, fairness and reasonableness. By such multilateral norms of competition policy, various monopolies and restrictions on competition conducted by transnational private enterprises could be also regulated as well as state-owned enterprises. It is also helpful to resolve the external benchmark dispute which is a long-time suffering issue for Chinese export. Meanwhile, China should make full use of reservation and exception rules during negotiating to reduce the number of regulated state-owned enterprises as less as possible and guarantee the normal commercial status of state-owned enterprises. The explanatory flexibility of the CPTPP definition of commercial activity should be well restrained. Business activities of state-owned enterprises should not be characterized as government acts because of such explanatory flexibility. When a state-owned enterprise acts on the basis of a government commission, it should not be characterized as a business activity and should not be exercised with judicial jurisdiction. Besides, China should insist that established state-owned enterprises are exempt from the standards of private investment practice provided in CPTPP articles 17.1 and 17.6. China should also advocate enriching private investment practices and insist that the commercial motivation should be the criteria when determining whether the investment made by the state-owned investors is consistent with the usual investment practices of private investors.
2021 Vol. 51 (6): 187-200 [Abstract] ( 366 ) [HTML 1KB] [PDF 744KB] ( 370 )
201 Li Boxuan
The Spillover Effect of Treaties on Business Actors Hot!
States are a basic subject of international law, and they are also the commonest parties to treaties. As a state enters into a treaty, the obligations in the treaty shall be directly assumed by the state. However, the objective of a treaty is often achieved with the help of non-state actors. Under such circumstances, when implementing the treaty domestically, the contracting states need to transform their obligations in the treaty into the regulation of their domestic actors including the business actors.In accordance with the traditional theory of the law of treaties, the preconditions for the binding force of a treaty on the business actors of the contracting states are that the treaty must be adopted, come into force and be implemented domestically by the contracting states. In other words, such binding force can only be indirectly established by a 2-phase effect conduction from treaties in force to contracting states and then from contracting states to business actors. However, this article explores another possible way that a treaty can influence business actors, which is called the spillover effect. The effect reveals that even if a treaty temporarily or finally fails to be adopted, come into force or be implemented domestically by the contracting states, it is still likely to have direct and de facto binding force on business actors. The effect may occur anytime prior to the domestic implementation of a treaty.There are two main reasons for the occurrence of the spillover effect. The first one is the regulatory threat brought about by an imminent treaty. Before the aforementioned effect conduction is established, an imminent treaty is to business actors a signal of regulatory threat encouraging them to resort to self-discipline. The other is the business actor’s instinct of seeking benefits and avoiding disadvantages. Self-discipline by business actors prior to the establishment of the aforementioned effect conduction results from the benefits of participation that they may have. Business actors can take the initiative of regulation and build a good image by such preemption strategies.Interests of states are inherently conflicting, so it is usually not easy for states to cooperate. As for treaties, such difficulty in cooperation manifests itself as difficulty in concluding a new treaty, obstacle for a treaty to coming into force and abandonment of a treaty in force by the contracting states. The spillover effect signifies that even a treaty that does not go through the whole process of adoption, coming into force and domestic implementation still can have direct and de facto binding force on business actors. The effect is useful in breaking the current predicament of treaty-based governance. Additionally, in the aforementioned effect conduction, business actors have to passively accept the obligations imposed on them by the contracting states. By contrast, in the context of the spillover effect, business actors are treated as both the subject and the object of governance. The union of the dual features of business actors helps to improve the regulatory effectiveness of treaties on them.Nowadays China is taking an active part in the negotiation and conclusion of a series of treaties, which reflects its attempt to make its voices heard in the international community. The spillover effect provides China with a new way of participating in global governance by virtue of treaties. So as to trigger the spillover effect and take full advantage of its values in breaking the predicament of treaty-based governance and improving the regulatory effectiveness of treaties on business actors, China is supposed to increase the exposure of treaties in progress and make the best use of international soft law as a prelude to treaties.
2021 Vol. 51 (6): 201-214 [Abstract] ( 237 ) [HTML 1KB] [PDF 776KB] ( 197 )
215 Wu Hanyu
Two Dimensional Functions and Indigenization Path of the Doctrine of Reasonable Expectations Hot!
The doctrine of reasonable expectations, as an important doctrine for protecting the interests of the insured in the U.S. insurance law, has two functions. At the abstract level, the doctrine has a value-leading function for the protection of the insured. At the specific normative level, the doctrine has the function of judicial correction for the imbalance of interests in the insurance contract. Compared to the lex lata in China, the value-leading of the reasonable expectations doctrine is more intuitive and systematic. The doctrine provides a new perspective, guiding legislators and judges to pay comprehensive and systematic attention to the reasonable expectations of the insured, which tends to protect the interests of the insured. At judicial correction function, the doctrine of reasonable expectations is similar to lex lata in China in its corrective function in ambiguous terms and its corrective function in non-ambiguous terms to the contra proferentem rule, the insurer’s explanation obligation rule and the invalidity rules of standard clauses, respectively, but the former is more flexible in scope and scale. In respect of legal indigenization, on the one hand, the value-leading function of the doctrine should be referenced by way of formal inclusion as a fundamental principle in the Chinese insurance law theory. The reasons for this are twofold. First, the value-leading function of the reasonable expectations doctrine is consistent with the needs of the protection of the interests of the insured in the Chinese Insurance Law. Secondly, the protection of the insured’s reasonable expectations has a relatively broad legislative basis and judicial practice basis in China. The establishment of the doctrine of reasonable expectations can guide legislators and judicial judges to fully consider the reasonable expectations of the insured and relevant factors causing the reasonable expectations of the insured in the process of legislation and judgment, so as to better reflect the insured’s centralism in insurance legislation and justice. On the other hand, in the reference of judicial correction function, the advantages of the doctrine of reasonable expectation in terms of its flexible scope and scale of correction should be incorporated in order to solve the dilemma of applying the lex lata in China in response to actual cases. Considering that the doctrine of reasonable expectations is not only limited to the field of insurance contract interpretation and regulation, but also overlaps with China’s lex lata in the function of Judicial Correction, as well as the risk of abuse of the doctrine of reasonable expectations itself, it is not the best choice to take the doctrine of reasonable expectations as the miscellaneous interpretation principle of insurance contract, which is directly stipulated in insurance legislation and becomes the basis of direct claim for the parties to ask the court to correct the imbalance of interests in insurance contract. It is more suitable to exist in judicial reasoning in the way of legal interpretation, which will not cause confusion to the system of China’s Insurance Law, but also accord with the actual situation of current judicial practice. Facing difficult cases, judges could incorporate the doctrine of reasonable expectations into the reasoned interpretation of lex lata and use legal interpretation to resolve difficult cases within the framework of statutory law, which can serve the function of individual correction of this doctrine.
2021 Vol. 51 (6): 215-233 [Abstract] ( 303 ) [HTML 1KB] [PDF 779KB] ( 230 )
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2021 Vol. 51 (6): 234-240 [Abstract] ( 158 ) [HTML 1KB] [PDF 616KB] ( 396 )
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