練乙錚 - 「佔教」．奶之壓．薄定理 - 信報 2013年9月30日
為撲滅「佔中」，京官「忽然法治」，本地大資本家「忽然道德」；這些無疑都是很可喜的現象，尤其後者，因為「道德」二字，在今天香港這個逐步發展成越來越多的事物以人民幣為最終尺度的後回歸商業社會裏，實在久違了。大資本家講得好──「佔中」的確包含一個核心的道德議題，而這個議題，率先在本地基督的信徒當中着了火頭、不斷擴散、燃燒。這個現象並非偶然，因為在新約《聖經》的教訓底下，基督徒千百年來有一個入世工作行善求公義的信念傳統，曾經、而且不斷發揮社會政治影響力。在這個傳統裏，「公義」（justice）是「道德」的一個重要內涵。
一、地上的鹽、世上的光
為說明這個傳統，筆者試舉一例。十六世紀西方宗教改革，出現若干新教理論，其中之一就是法國的加爾文主義。大家知道，加爾文相信「命定論」（predestination），認為神既是全知的，則必然老早知道個別人能否得到救贖，但人自己卻不知道，只能靠觀察自己的道德和行為作猜測。
如此，信徒在期望得救、棄惡行善、自我觀察這三個環節之間努力不懈，最終未必能得救贖，但社會效果自然明顯：與人為善那部分開出更多慈善事業，克己勤奮那部分（按社會學大師Max Weber的說法）開出敬業樂業的經典資本主義精神，從西、北歐幾個國家興起，一直傳到美國。這是加爾文主義的社會影響。（這個說法與「資本主義萬惡」、「剝削及殖民掠奪是今天西方富裕的來源」等說法迥然不同；這個分歧不是本文要點。）
政治方面，加爾文主義傳到蘇格蘭，在John Knox等人的努力下，產生了長老會（Presbyterian Church）。此教派特點之一就是其內部的管理制度是以信友民主選舉為基礎的；於1706年正式傳到美洲新大陸之後，這個制度就成為當地最早的共和制度，作為藍本，直接、幾乎百分之百影響了七十年之後獨立的美利堅合眾國的政治體制。《美國憲法》的簽署者當中，有一位John Witherspoon，既是大學校長（College of New Jersey，普林斯頓大學的前身），也是長老會的長老【註1】。加爾文的影響歷久不衰，今天美國長老會宣道四優先的第二項如是說：「公義與仁愛──神要求我們直面生活中的一切不義，刻意服務窮苦、受壓、受不公待遇的人群，甘冒個人與集體風險亦在所不惜。」
在「行公義」方面，羅馬公教也有很好的傳統，因為其教義的一個要點就是「信主和行義必須並行」，根據來自《馬竇福音》7:21「凡稱呼我主啊，主啊的人不能都進天國；惟獨遵行我天父旨意的人才能進去」，重點在一個「行」字；也來自《雅各書》2:26「身體沒有靈魂是死的，信仰沒有行為也是死的。」（公教的教義在這一點上與路德的看法不同，後者認為信主是得救的充要條件。這不是說路德認為行善不重要；路德的信徒認為，善行是信耶穌者得救後自然生出的「果」。）
二十世紀以降，西方和第三世界的基督徒當中，出現了以促進社會公義為重要目的的各種運動和思潮，包括「進步基督信仰運動」、「基督民主主義」、「解放神學」，等等，在新世代之中尤其盛行。年輕人信基督，已經越來越不只是讀《聖經》、上團契、守主日、行慈善等傳統活動，而包括直接介入社會、政治，與不公義抗爭【註2】。
相比，香港的基督信仰傳統比較缺乏社會參與這一項（雖然幾十年來不少本地社運人士都有基督信仰背景）；這個欠缺不一定和教會的義理有關，而很可能是由於英港殖民管治之下的非政治化高壓及其回歸後在教會內的慣性延續。今天，越來越多年輕基督徒正在補這堂社會政治課，而最近出現的「佔中」運動，又正好是這些年輕人的一個切入點。
觀其勢，「佔中」運動遠未開始，「佔教」卻正在發生。運動的訊息在教會裏傳播，也直接導致一些教牧發出強烈的「反佔中」（其實即「反佔教」）聲音。真理越辯越明，結果無論如何，都是很好的。
二、「壓力測試」
據說梁特搞出來的「限奶令」快要進行「壓力測試」，通過的話便會適時抽起。不過，筆者認為，「壓力」並不和需要什麼測試有關，真正來源乃是王光亞爺爺因為孫子吃不夠港奶而一再表示不悅。這個壓力是真的，那個測試所以是假的。選擇「十一」前後取消「限奶令」，也就特別能夠顧及大陸官員們的感受了。
不過，特區當局的有關官員選用「壓力測試」這個名堂，倒也可圈可點，未必不是一個對實情深度不滿之餘的一語相關。
三、薄案的Maxi-Min解
薄熙來判了終身監禁、剝奪政治權利終身、沒收個人全部財產，此間一些評論認為判決大大超重，證據是一些牽涉貪腐的案例裏，贓款購買力平價只是今天的兩千多萬人仔的話，判的刑期頂多十多二十年。但這是誤解了。大陸的刑法對受賄罪（薄的第一條罪狀）特別嚴格，不能只看贓款的銀碼。如果讀者有興趣這點，可到大陸的一些法律訊息網上查一查各種貪腐罪的案例特別是其判決書，便會很清楚；這裏簡單介紹其中兩個。
鄒韶祿受賄案：國企雲銅集團原董事長兼總經理鄒韶祿2008年被控受賄，污款共計一千七百多萬元，與薄案中的受賄款額差不多。鄒案作了如下判決：「鑑於其具有自首情節，且退繳全部贓款和非法所得，認罪、悔罪態度好，被依法判處無期徒刑，剝奪政治權利終身，並處沒收個人全部財產。」鄒某態度比薄熙來好得多，但判的刑與薄一模一樣，薄反而像是輕判了。
蕭明輝等受賄、介紹賄賂案：蕭明輝是洋浦規劃局投資項目負責人，2008年判受賄罪，案中牽涉的污款大數也恰好和薄一樣是兩千多萬元，主犯蕭明輝也是判處無期徒刑，剝奪政治權利終身，沒收個人全部財產。
由此可見，單純按薄的罪名及受賄款額而言，給他的判決結果一點也不過重，有很妥貼的先例可援。不過，我們分析薄案，公開的罪名和量刑並非關鍵。真正重要的有兩點：一是大陸的最高層權鬥，是在解決了之後，還要靠一件「法治」外衣裝飾，以圖取得公眾認受；一是權鬥借「打虎」的名義進行，必須恰到好處，即罪名要大得剛剛好能把對方整死、一了百了，但不能嚴重得損害了黨的「尊嚴」。這兩點分別討論。
在民主國家裏，某些政治問題若無法由政治本身解決，的確也是交由司法系統定奪；這不一定能保證公允，因為法官歸根到底也是有政治偏好的人，而且最高層的司法人選也是由政治系統產生的，只不過產生的程序比較公開公正，產生之後，政治不能再干預司法，而司法本身的程序正義和訊息公開的要求都很高。審判一宗政治事件，如同審判一般案件一樣，目的是讓事實說話，之後法官按法律條文定奪。在大陸，找司法系統「解決」政治問題，完全不是這一套，而不過是政治鬥爭勝利者事後上演的一場「合法化」遊戲，和當年斯大林上演的大清黨法治戲沒有兩樣（後者比大陸審薄更為「公開公正」，此點筆者已經介紹過）。
薄案控方完全把黨的最高層的政治動機隱藏，有論者認為是反映大陸的「司法去政治化」，因而是一種進步，但那是一個徹底的謬誤。司法不排拒政治，只要有法可依的訴訟，就算是飽含政治，法庭完全可以受理。薄案真況如何，外人無法確切得知，但可有幾點推測：若薄沒有貪腐，那麼案件完全是一種政治迫害；若薄有貪腐，那麼，在政治鬥爭之餘，表面上貪腐的程度肯定比真實的低得多。在大陸，一個小小的村官，貪腐的金額也經常過億。2009年，廣東省中山出了一起村官腐敗案，該名村官六年斂財50多億【註3】。薄家沒有可能像案中描述的那樣，二十年來挖空心思才貪得那兩千多萬元。所以，無論薄有否貪腐，案中所指的贓款金額不值一哂；然其巧妙之處，正如上文說過，是必須大得能夠把薄整死、永世不得翻身，但數額又必須盡量小，以顧全黨的最高層的集體面子。畢竟，一個在位多年的太子黨中常委貪腐真相，揭露出來大家都不好看。所以薄案中的貪腐罪名和金額，是一個經過精算之後取得的「不偏不倚的法治平衡」；在博弈數學裏，這樣的解稱為「Maxi-Min解」。這個做法，將成為公開審判政治鬥爭敗陣的黨員的先例，由上而下通行整個大陸。
作者為《信報》特約評論員
《氣短集》之九
【註1】此段參考D.J.Kennedy & J.Newcombe的書What if Jesus Had Never Been Born? （1994, Nelson Books）的第三章。
【註2】「進步基督信仰運動」的宣言見Hal Taussig的文章A Quiet Revolution（2006）：http://web.archive.org/web/20110706130410/http://www.sdc.unitingchurch.org.au/WestarProgressiveArticle.pdf。
【註3】見「人民網」強國論壇http://bbs1.people.com.cn/postDetail.do?view=2&pageNo=1&treeView=0&id=93271177&boardId=1。
.END
Monday 30 September 2013
上海自贸区揭牌 - 新京报
自贸区的“自由”和“试验”需更多宽容 2013-09-30 03:47:48 新京报 社论
上海自贸区当然会继承改革开放的意志与使命，也同样会遭遇一切改革开放的新生事物必然要面对的种种艰难、险阻。
■ 社论
昨日，中国（上海）自由贸易试验区正式挂牌。波澜不惊之间，一段新的历史已经正式展开。
此前，9月27日，国务院印发了《中国(上海)自由贸易试验区总体方案》。上海自贸区将要做些什么，很多人或许已经心下廓然。无论是以开放促改革，还是为了打造中国经济的升级版，中国都需要上海自贸区——一个符合国际化和法治化要求的跨境投资和贸易规则体系。上海自贸区将为未来中国改革提供经验、参考。
毫不讳言，上海自贸区对当下的政府职能、行政管理方式的挑战，而且，也将对现行的某些法律制度带来一定冲击。比如，方案表明，上海自贸区将探索建立负面清单管理模式。这就意味着，在上海自贸区，只要政府没有明确禁止的就可以去做。这显然有别于传统的政府许可模式，也就是凡是投资什么项目，都应该事先征得政府的同意。这实际上赋予了上海自贸区以极大的市场自由。
可以预见，上海自贸区将来会和世界上其他自贸区相似，享有各种自由市场和自由贸易的便利，以及政府部门提供的高效公共服务。
有人称，启动上海自贸区的历史价值，正如同上世纪80年代在深圳设立特区，90年代开发浦东。这是改革开放血脉在当下的传承。上海自贸区当然会继承改革开放的意志与使命，也同样会遭遇一切新生事物必然要面对的种种艰难、险阻。因此，上海自贸区的未来既取决于改革者的智慧和勇气，也同样取决于各方力量的支持与宽容。
自由贸易区国际上很常见，在中国还是新鲜事物。很多人或许还不习惯看到，一个行政区划单位的名称中嵌着“自由”。上海自贸区还没有成立，社会上就已经出现了一些风言风语，可以预见将来某些时候，可能还会面临更多的争议。
我们或许无法具体预知未来上海自贸区会遇到什么，但是，只需要准确理解“自由”和“试验”这两个关键词，很多问题或许就可以迎刃而解。
众所周知，改革开放的精神正是在于自由，对内解开束缚，给民众和市场以更多的自由，对外融入国际自由市场。正是因极大地解放了生产力，中国才有了今天的繁荣。上海自贸区既然肩负着进一步拓展市场自由边界的使命，那么，未来一段时间，它理应享有更多的“自由”，对此，各界不必大惊小怪。
话说回来，上海自贸区还是一个改革试验场。“试验场”的意思就是，这里允许大胆创新，也同样允许试错。如果，有些措施实行两三年之后，证明是好的，就可以全面推广；如果证明是错的，那么，停止施行就好了，其负面影响，也不会扩散。因此，上海自贸区的改革者应该去大胆试验，勇敢探索。
不管有的人戴着怎样的有色眼镜看待上海自贸区，对于一个新生事物以及改革的尝试，各方应该给与更多的支持与鼓励。希望，上海自贸区在砥砺中前行，有些时候，改革开放的难度越大说明前途越加光明。
上海自贸区揭牌 36家企业首批进驻 2013-09-30 03:44:25 新京报
昨日，中国（上海）自由贸易试验区管理委员会挂牌。商务部部长高虎城（左）、上海市市长杨雄（右）为管委会揭牌。图/CFP
昨日，中国（上海）自由贸易试验区情况说明会举行，记者们举手提问。新华社记者 刘颖 摄
昨日，首批进驻中国（上海）自由贸易试验区的企业在仪式上领取证照。新华社记者 陈飞 摄
新京报讯 （记者李超 实习生徐欧露）昨日10时15分，中国（上海）自由贸易试验区在上海外高桥正式挂牌。中共中央政治局委员、上海市委书记韩正为其揭牌。36家中外企业获颁证照，首批进驻试验区。
昨日上午，挂牌仪式在外高桥基隆路9号举行，这里原来是外高桥管委会大楼。参加揭牌仪式的有上海市相关领导干部，另外，中国人民银行、海关总署、工商总局、质检总局、银监会、证监会、保监会以及国家发改委、工信部、财政部、交通运输部、国务院法制办、国务院发展研究中心等单位都派代表参加了挂牌仪式。
商务部部长高虎城说，建立中国（上海）自由贸易试验区将为全面深化改革和进一步扩大开放，实现制度创新，探索新途径、积累新经验，对激发经济活力、创造制度红利具有十分重要的意义。力争通过两到三年的努力，建设一个法制环境规范、投资贸易便利、监管高效便捷、具有国际水准的自由贸易试验区。同时，加强和完善风险管控，构建安全高效的开放型经济体系。
随后，上海市委书记韩正为“中国（上海）自由贸易试验区”揭牌。商务部部长高虎城、上海市市长杨雄，共同为“中国（上海）自由贸易试验区管理委员会”揭牌。
现场获颁证照的36家中外企业（含11家金融机构）中，11家为中外合资、外商独资企业，经营范围涵盖金融、商贸、文化、通信和跨境电子商务等多个领域。
■ 措施
8家中资银行开分行
昨日，在揭牌仪式之后，25家企业和11家金融机构领到证照，成为进驻自贸试验区的首批“居民”。
昨日，中国银监会批准了11家金融机构。其中包括工行、农行、中行、建行、交行、招行、浦发及上海银行8家中资银行（分行），花旗、星展2家外资银行（支行），和交银金融租赁1家金融租赁公司。
此前，包括工农中建交5大国有控股银行和多家商业银行向监管机构递交了申请设立上海自贸区分行的申请。昨日，国有五大行申请全部获批，招行、浦发、上海银行等也成为率先进入自贸区的“第一梯队”。
当天，银监会还公布了八项措施，促进区内的金融业发展。其中提到，民营资本也可在自贸区内设立金融机构。
首批挂牌的25家企业包括内资、外商独资、中外合资不同性质的企业，项目涉及的领域可谓“百花齐放”。包括商贸服务领域、文化服务领域、通信服务领域、金融服务领域、专业服务领域、跨境贸易电子商务、大宗商品和期货保税交割、总部项目、高端消费品展示交易、保险业等13个项目领域。
■ 企业声音
“进驻只花了三星期”
上海泛亚金融信息服务有限公司属于金融服务领域。该公司董事长单九良说，7月初，他们就看到国务院确定上海自贸区的消息，8月就来到外高桥考察，了解政策。
单九良说，他去过很多地方考察，他们时常用优惠的税收政策来吸引。但在外高桥，他更看重自贸区与国际接轨的理念，他们始终强调制度创新。
另一家注册的公司上海运力集装箱服务有限公司属于“航运运价指数衍生品交易”的项目领域。
昨日，该公司总经理付伟忠称，他所做的是一个创新项目，在工商登记时找不到企业类型，因为考虑自贸区的特殊性，他就跑到自贸区管委会咨询。让他没想到的是，从递交资料到确认，只用了3个星期。
付伟忠称，自贸区在选择企业时考虑到创新项目，很多企业在这次审批、筛选过程中都落马了。
付伟忠认为，进驻自贸区，在融资上会有很多选择。在外汇结算时，单一货币就能结算。“外资如果可以进来没有任何门槛，不管是我参与投资，还是参与我的业务，也都没有任何门槛。” 新京报记者 李超
昨日，在中国（上海）自由贸易试验区情况说明会上，商务部、国家发展改革委和中国人民银行等八部委相关负责人介绍了为试验区设计的配套政策。并针对金融创新、负面清单和税制环境等热点问题进行解答。
1 据报道，自贸区政策会实行三年，之后往哪个方向调整，政策实行三年，对境外投资者长期计划有何风险？
3年是相关条款调整期
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：这不是说自贸试验区就搞三年。自贸试验区有一个不断地循序渐进，不断地扩大开放，推进改革的进程，三年的概念是由于全国人大常委会就外资审批的三个法律当中部分条款的暂时调整期为三年。
通过三年的探索和试验，如果新的规则体系是有效的，下一步会推动法律的修改。如果改革有哪些地方要调整，会在下一步调整法律的时候，考虑这些因素。
三年以后，我们会有新的更进一步改革目标和任务，所以它不是只搞三年，而是不断深化、提高的过程。
2 自贸试验区成立后会对香港的地位有什么冲击？上海自贸区和香港在贸易职能方面会不会有协作和合作？
设自贸区不会冲击香港
商务部国际经贸关系司司长尹宗华：建立中国（上海）自由贸易试验区，借鉴了国际通行做法，其中也借鉴了香港的做法。
试验区是中国在经贸新趋势下，实现更为积极主动的对外开放战略，建立中国（上海）自由贸易试验区，对香港不会有不利影响。
“香港有自己的优势，可以在自贸区内发挥作用，另外，内地与香港也有很多更紧密关系的安排，在上海成立自由贸易试验区有利于促进香港的稳定与繁荣，实现内地与香港共同发展。”
3 自贸区内企业可以享受15％的税率优惠？
区内15％税率暂不可行
财政部关税司司长王伟：刚才各位领导都说到了，上海自贸试验区方案中的各项措施都要有一个前提，这就是试点的各项措施所积累的经验要可复制、可推广。企业所得税按照15%征收，从现在来看，这样一个方案，不具备在全国复制、推广的可行性。另外国务院公布的方案当中，提到了一项非常重要的要求，就是要在维护现行税制公平、统一、规范的前提下，以培育功能为导向，完善相关政策。我刚才说到，要在符合税制改革方向和国际惯例，以及不导致利润转移和税基侵蚀的前提下，探索有关离岸业务的税收政策。根据这些原则，从目前来看在区内实行15%的企业所得税政策还不可行。
4 在自贸区注册了企业后，是否可以在上海其他地方办公，在区外是否可以享受自贸试验区的政策？
区内部分企业可区外办公
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：根据《总体方案》的要求，区内的企业原则上可以到区外开展业务，但是如果有相关规定的，要按规定来办。
《总体方案》里面有明确的要求，原则上就像有的行业在一个地方注册，可以到其他地方开展业务，但是有的就不行。
比如说现在的教育培训，注册在哪里就在哪里开展业务。所以每个行业、每个业务有不同的规定。如果有规定就按规定来办。
5 负面清单什么时候能出来？是固定的还是动态的？
负面清单可能陆续更新
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：负面清单今天（29日）肯定可以看到。我们这次发布的负面清单，是2013年版。在实践当中，我们是第一次使用负面清单管理模式，对外资的准入进行管理，这当中我们可能会遇到很多新的问题，也可能会遇到很多使用负面清单管理模式和传统模式有矛盾的地方，或者相关方面有不配套的地方。这为下一步的改革提供了空间，我们也可能今后会发布2014年版、2015年版。这不是一个双边谈判的负面清单，是一个主动开放、主动改革的负面清单，是探索这种管理模式，所以这个也请社会各界给我们试验的机会和时间，用建设性的态度来支持我们来做好改革试验。
6 自贸试验区对热钱监管方面，会采取什么样的思路？
防止短期资本大进大出
中国人民银行上海总部副主任、上海分行行长、外汇管理局上海分局局长张新：关于热钱这个问题，咱们自贸试验区的金融试点，设计方案有一个重要的原则，就是要设计成为一个可复制、可推广的模式。
在这其中，肯定要充分考虑到防止热钱对国内金融市场、对国内实体经济的冲击。这里面核心的就是要防止短期资金、短期资本的大进大出，维护宏观金融稳定。
另一方面大家也应该充分认识到正常的资金流动，尤其是中长期资本合理的流动，应该给予便利。
7 新的金融机构在自贸试验区开展业务时，风险监管有哪些重点和难点？监管机构将推出哪些举措？
建区内银行业监测体系
上海银监局局长廖岷：对区内的商业银行，我们已经和银行业机构做了多次探讨，大家共识是，自贸试验区内的主要风险包括：流动性风险、国别风险、市场风险和交易对手风险。
我们正在研究对监管制度进行创新，前瞻性地建立一些符合银行业和实体经济相适应的相对独立的银行业监管架构。对现有的审慎监管指标，比如存贷比、流动性风险监管指标都会根据区内机构展业的实际情况做调整。另外还会建立针对自贸试验区内银行业金融活动相适应的特色监测报表体系，同时对于这些报表的内容、报送的频率和监测的频度都会做适当的安排和调整。
8 民营企业可以在自贸试验区中设立中外资和合资银行，目前准入标准是否确定？
民企做银行须满足资质
上海银监局局长廖岷：自贸试验区对民营资本进入银行业的政策也将在银监会全国政策框架下进行审议。
对民营资本进入银行业，我们有相关的股东资质，有相关的行政准入管理办法，我想这些民营资本首先要满足作为银行股东的资质和办法。
现在银监会正在研究民营银行下一步推进和发展的问题，我们会在整个框架之下来推动民营资本进入自贸试验区，来服务自贸试验区的实体经济。新京报记者 李超
首批进驻的企业名单
上海百家合信息技术发展有限公司（百视通、美国微软全球金融）
卜蜂进出口贸易（上海）有限公司（泰国正大集团）
上海盛大国际贸易有限公司（盛大集团）
上海东方明珠文化发展有限公司（东方明珠集团）
广视通网络通信发展有限公司（SMG、国家电网）
上海跨境通国际贸易有限公司（东方支付）
上海东方网电子商务有限公司（东方网）
上海泛亚金融信息服务有限公司（硅谷天堂资产、盛富投资、山水控股）
上海亚太国际贸易有限公司（中铁物资、中信证券、上海乾洋投资管理）
上海联合产权交易服务有限公司（上海联交所）
上海中盐国际物流有限公司（中国盐业）
上海汽车国际商贸有限公司（上海汽车进出口有限公司）
世天盛（中国）投资有限公司（荷兰世天盛）
上海布瑞克斯国际贸易有限公司（全球网交所、金砖国家创投基金、成都中美基丕基金）
联碧德（上海）商业发展有限公司（联碧德）
艾摩珂海洋工程设计（上海）有限公司（芬兰Almaco（爱买客）集团）
法巴商贸（上海）有限公司（法国巴黎银行）
上海运力集装箱服务有限公司（汇锝利投资管理有限公司、宏世国际贸易有限公司）
上海浦东保时捷汽车销售服务有限公司（保时捷）
杰尼亚（中国）企业管理有限公司（意大利杰尼亚控股公司）
弘毅投资（上海）有限公司（弘毅投资有限公司）
申银万国智富投资有限公司（申银万国期货有限公司）
华安未来资产管理（上海）有限公司（华安基金管理有限公司）
中国太平洋财产保险股份有限公司自贸区分公司（中国太平洋保险股份有限公司）
大众保险股份有限公司上海市自由贸易区支公司（大众保险股份有限公司）
三大金融监管部门21措施助力自贸区 2013-09-30 03:46:31 新京报
昨日，中国（上海）自由贸易区正式挂牌，首批进驻企业和机构获颁证照。东方IC
昨日，中国（上海）自由贸易试验区综合服务大厅对外开放。东方IC
昨日，中国银监会、证监会、保监会分别公布支持中国（上海）自由贸易试验区建设的若干政策措施。其中，银监会公布支持中资银行入区发展、支持外资银行入区经营、支持民间资本进入区内银行业等八项监管措施，支持上海自贸区银行业发展。证监会拟同意在上海自贸区筹建国际原油期货平台，全面引入境外投资者参与境内期货交易，扩大中国期货市场对外开放程度。
银监会
自贸区网点可升格为分行
一、支持中资银行入区发展。允许全国性中资商业银行、政策性银行、上海本地银行在区内新设分行或专营机构；允许将区内现有银行网点升格为分行或支行；区内增设或升格分支机构不受年度新增网点计划限制。
二、支持区内设立非银行金融公司。支持区内符合条件的大型企业集团设立企业集团财务公司；支持符合条件的发起人在区内申设汽车金融公司、消费金融公司；支持上海辖内信托公司迁址区内发展；支持全国性金融资产管理公司在区内设立分公司；支持金融租赁公司在区内设立专业子公司。
三、支持外资银行入区经营。允许符合条件的外资银行在区内设立子行、分行、专营机构和中外合资银行。
四、支持民间资本进入区内银行业。支持符合条件的民营资本在区内设立自担风险的民营银行、金融租赁公司和消费金融公司；支持符合条件的民营资本参股与中、外资金融机构在区内设立中外合资银行。
五、鼓励开展跨境投融资服务。
六、支持区内开展离岸业务。
七、简化准入方式。
八、完善监管服务体系。支持探索建立符合区内银行业实际的相对独立的银行业监管体制。
证监会
双向投资境内外证券期货
一、拟同意上海期货交易所在自贸区内筹建上海国际能源交易中心股份有限公司，具体承担推进国际原油期货平台筹建工作。依托这一平台，全面引入境外投资者参与境内期货交易。以此为契机，扩大中国期货市场对外开放程度。
二、支持自贸区内符合一定条件的单位和个人按照规定双向投资于境内外证券期货市场。区内金融机构和企业可按照规定进入上海地区的证券和期货交易所进行投资和交易；在区内就业并符合条件的境外个人可按规定在区内证券期货经营机构开立非居民个人境内投资专户，开展境内证券期货投资；允许符合条件的区内金融机构和企业按照规定开展境外证券期货投资；在区内就业并符合条件的个人可按规定开展境外证券期货投资。
三、区内企业的境外母公司可按规定在境内市场发行人民币债券。根据市场需要，探索在区内开展国际金融资产交易等。
四、支持证券期货经营机构在区内注册成立专业子公司。
五、支持区内证券期货经营机构开展面向境内客户的大宗商品和金融衍生品的柜台交易。
保监会
支持沪探索巨灾保险机制
一、支持在自贸区内试点设立外资专业健康保险机构。
二、支持保险公司在自贸区内设立分支机构，开展人民币跨境再保险业务，支持上海研究探索巨灾保险机制。
三、支持自贸区保险机构开展境外投资试点。
四、支持国际著名的专业性保险中介机构等服务机构以及从事再保险业务的社会组织和个人在自贸区依法开展相关业务。
五、支持上海开展航运保险，培育航运保险营运机构和航运保险经纪人队伍，发展上海航运保险协会。
六、支持保险公司创新保险产品，不断拓展责任保险服务领域。
七、支持上海完善保险市场体系，推动航运保险定价中心、再保险中心和保险资金运用中心等功能型保险机构建设。
八、支持建立自贸区金融改革创新与上海国际金融中心建设的联动机制，不断强化和拓展保监会与上海市政府合作备忘录工作机制。
综合新华社电
■ 对话
自贸区将成全方位改革样板
专家陈波参与自贸区方案设计，称对于外商投资法律规定改革突破最大
9月29日，中国(上海)自由贸易试验区正式挂牌，这是中国的第一个真正意义上的自由贸易园区，也是国内首个符合国际惯例的海关特殊监管区。自贸区中哪项改革突破最大？总体方案中有哪些亮点？对此，我们采访了上海财经大学世界经济与贸易系副主任、上海自贸区研究中心副主任陈波，他参与了上海自由贸易试验区总体方案的设计工作。新京报记者 沈玮青
“有人担心自贸可能‘引狼入室’”
新京报：为何中国要在此时建立自贸试验区？
陈波：我国积极推动上海自贸区的建设，正是由于我国经济发展所面临的内忧外患下的必然产物。
所谓“内忧”，主要是指目前我国经济增长下行的趋势越来越明显。不少国内外的学界人士担忧，增长乏力可能成为常态，我国可能会掉进所谓的“中等收入陷阱”。所谓“外患”，是指在WTO多哈回合谈判始终无法推进、各国贸易保护主义抬头的背景下，区域性的自由贸易谈判发展迅速。
新京报：设立自贸区是否有过争议？
陈波：有争议，因为自贸区涉及一些领域改革措施的先行先试，部分政策与区外政策有落差容易引起风险，比如金融方面的政策可能会导致套利，有些部门担心无法控制风险。
还有人担心，上海自贸区的建设有可能会“引狼入室”，打击我们竞争力较为薄弱的产业。但是我国要跳过中等收入陷阱，完成从制造业大国向制造业强国的转变，就必须勇敢地迎接这些挑战。我希望上海自贸区能顺利地建设和发展，实现其可复制、可推广的试验目的，成为我国新一轮改革开放成功的起点。
“金融领域改革措施比较有限”
新京报：自贸区中哪项改革突破最大？哪项改革最难？
陈波：突破最大是对于外商投资的相关法律规定。根据现行的外资企业法等法律，在我国的外商投资必须参照《外商投资产业指导目录》开展。在这份目录中，明确了鼓励类、限制类和禁止类的外商投资项目。
上海自贸区对外商投资实行“负面清单”管理。在这份清单上，国家明确开列不予外商投资准入或有限制要求的领域，清单以外领域则充分开放。这种管理模式与国际接轨，使我国在国际谈判中处于更有利的地位，因为很多贸易协定谈判中要求参与国必须实行负面清单管理；同时，此前“正面清单”管理模式解释空间太大，转为“负面清单”后也有利于提高政府监管效率。
最难的改革还是在金融领域，因为有风险。从公布的自贸区实施细则来看，涉及金融领域的改革措施仍比较有限，这也符合我国一贯以来“渐进式”改革思路。
新京报：自贸区对新一轮改革开放有何意义？
陈波：上海自贸区是我国新一轮改革的旗帜和起点。如果自贸区改革先行先试成功的话，将会成为下一步全方位改革的样板。
自邓小平同志提出“改革开放”的国策以来，我国在经济发展遇到困难一直都是以对外开放倒逼国内改革来寻找突破口的。
我认为，本次改革就是以上海自贸区的对外开放为起点，引入（国际）竞争，转变政府在市场经济中的职能，通过公平竞争完成企业的优胜劣汰，从而达到以市场机制实现资源优化配置、产业转型升级的目的。因此上海自贸区的建设既是我国经济建设的一贯思路，也是所谓“李克强经济学”的最好诠释和重要实践。
“珠三角、环渤海经济带也可能设自贸区”
新京报：自贸区的建立对中国未来可能加入TPP谈判有何影响？
陈波：它为中国加入TPP谈判打开了一个窗口。美国宣称TPP将于2020年全面施行。诚然，我国并不一定会加入TPP，即便加入，也会在与美国的谈判中尽量争取有利的负面清单和拖延全面开放的时点。但是我国必须做好最坏的打算，争取在2020年前做好对外全面开放的准备。
按照美国版的TPP要求，TPP参与国不但要求实现商品（含农产品）贸易全面零关税，还强调在知识产权保护、劳工标准、环境标准等方面达到美国设置的水平。更重要的是，TPP成员国也必须全面开放自己的金融服务业，给予其他成员国在投资、商贸、金融服务各领域以国民待遇。
建立自贸区，为我国提供开放环境下的经济体制改革经验、探索负面清单管理模式、评估和应对全面开放对我国经济各部门的影响，有着极为重要的意义。
新京报：如果下一步在其他地方设立自贸区，最有可能的地点是哪里？
陈波：天津的滨海新区和广东的前海和南沙。我国改革开放以来，由沿海开放带动形成了珠三角、长三角和环渤海三大经济带。自贸区或许会从这三个经济带中各选取一个点。
■ 影响
一元钱开公司 企业无需年检
自贸区内实现创业“零门槛”，跑一个大厅就能办完三个证
据新华社电 一元钱也能办公司，企业无需再年检，跑一个大厅就能办完三个证……这些听起来“很美”的政策将在上海自贸试验区内实现了。
根据29日公布的《国家工商行政管理总局关于支持中国（上海）自由贸易试验区建设的若干意见》（以下简称“意见”），除法律、行政法规对公司注册资本实缴另有规定的外，其他公司试行注册资本认缴登记制。
业内人士认为，从“实缴制”向“认缴制”的转变意味着放开门槛限制，理论上一元钱都能办公司。公司设立时不再需要验资，营业执照上不再出现实缴资本，无形资产等其他资产也可算做注册资本，且资本认缴的时限也是企业说了算。
“以前为了严格准入设立门槛，却收不到理想的效果。”上海金融与法律研究院执行院长傅蔚冈说，验资常“走个过场”。而如今，自贸区内“门槛很低，大门很宽”，节约了公司注册的时间和成本，改善创业和营商环境，最终实现创业“零门槛”。
事实上，为了改善营商环境，让企业能自由大展手脚，工商部门还出台了一系列配套政策：准备好注册、代码中心、税务等所需的所有材料，交给工商局注册大厅，就可“一口受理”，最快1个工作日就能拿到设立公司所需所有材料。
傅蔚冈说，这些制度改革，主要就是为了放松管制，鼓励企业自主经营，提高效率节约时间。
上海自贸区具有五大特点”
新华社 发表于2013-09-29 07:45
中国（上海）自由贸易试验区将于29日挂牌成立。记者28日对中国（上海）自由贸易试验区管理委员会副主任简大年进行了专访。
■ 上海自贸区管委会副主任简大年：自贸区不是简单的特殊经济区域
据新华社上海9月28日电 中国（上海）自由贸易试验区将于29日挂牌成立。记者28日对中国（上海）自由贸易试验区管理委员会副主任简大年进行了专访。
自贸试验区管委会作为上海市政府派出机构，负责落实试验区各项改革试点任务，承担经济发展、财政金融、规划建设、综合监管、综合执法、政策研究、人力资源、信息化建设等行政管理职能，并统筹海关、检验检疫、海事、工商、质量技术监督、税务、公安等上海市和浦东新区派驻管理机构。
简大年说，自贸试验区借鉴了国际自由贸易园区的先进经验，并以投资管理体制创新、扩大服务业开放和金融制度改革为核心任务，已经不再是简单的特殊经济区域范畴，形成了自身的鲜明特点。
特点一，自贸试验区不限于保税区的一般做法。1990年以来，我国的保税区主要以特殊政策为特点，主要体现在税收政策的减免以及外汇、监管、投资政策的便利等；2009年以来，上海综合保税区以功能创新为重点，着力推进经济功能和商业模式创新突破，满足跨国公司国际化运作需求，打造与国际接轨的贸易便利化环境。而此次试验区以制度创新为核心，通过带动投资、金融、贸易、政府管理等一系列制度变革，培育我国面向全球的竞争新优势，构建与各国合作发展的新平台，这早已超越了海关特殊监管区域的功能定位。
特点二，自贸试验区不囿于传统的自由贸易园区。试验区积极借鉴欧美自由贸易园区的经验和做法，在提升对外贸易、航运服务、便利化环境等传统自由贸易园区功能的基础上，进一步增加了服务贸易、金融领域的扩大开放，为自由贸易园区增加了新的内涵和发展空间。
特点三，自贸试验区不同于新加坡等自由港模式。新加坡发展的特色是自由港政策和制度，包括贸易自由、融资汇兑自由、航运自由等，通过开放、高效、低税负形成自由港的国际竞争力。自贸试验区借鉴了国际通行做法，但主要目的还是以开放促改革、以改革促发展，为全国的改革开放积累经验。
特点四，自贸试验区不拘于一般开发区的内容框架。自贸试验区是国家战略，不着重一般的产业培育、招商引资、经济发展，而是强调在投资管理、服务业开放、金融、航运、贸易等多个层面的先行先试和全方位的制度创新。
特点五，自贸试验区不止于自身的建设发展。简大年说，中国（上海）自由贸易试验区的名称就表明这是一个国家试验区，建设目标是成为我国推动改革和提高开放型经济水平的试验田，寻求能够在全国可复制、可推广的制度性建设，发挥示范带动、服务全国的积极作用。
录入编辑：任凭
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上海自贸区当然会继承改革开放的意志与使命，也同样会遭遇一切改革开放的新生事物必然要面对的种种艰难、险阻。
■ 社论
昨日，中国（上海）自由贸易试验区正式挂牌。波澜不惊之间，一段新的历史已经正式展开。
此前，9月27日，国务院印发了《中国(上海)自由贸易试验区总体方案》。上海自贸区将要做些什么，很多人或许已经心下廓然。无论是以开放促改革，还是为了打造中国经济的升级版，中国都需要上海自贸区——一个符合国际化和法治化要求的跨境投资和贸易规则体系。上海自贸区将为未来中国改革提供经验、参考。
毫不讳言，上海自贸区对当下的政府职能、行政管理方式的挑战，而且，也将对现行的某些法律制度带来一定冲击。比如，方案表明，上海自贸区将探索建立负面清单管理模式。这就意味着，在上海自贸区，只要政府没有明确禁止的就可以去做。这显然有别于传统的政府许可模式，也就是凡是投资什么项目，都应该事先征得政府的同意。这实际上赋予了上海自贸区以极大的市场自由。
可以预见，上海自贸区将来会和世界上其他自贸区相似，享有各种自由市场和自由贸易的便利，以及政府部门提供的高效公共服务。
有人称，启动上海自贸区的历史价值，正如同上世纪80年代在深圳设立特区，90年代开发浦东。这是改革开放血脉在当下的传承。上海自贸区当然会继承改革开放的意志与使命，也同样会遭遇一切新生事物必然要面对的种种艰难、险阻。因此，上海自贸区的未来既取决于改革者的智慧和勇气，也同样取决于各方力量的支持与宽容。
自由贸易区国际上很常见，在中国还是新鲜事物。很多人或许还不习惯看到，一个行政区划单位的名称中嵌着“自由”。上海自贸区还没有成立，社会上就已经出现了一些风言风语，可以预见将来某些时候，可能还会面临更多的争议。
我们或许无法具体预知未来上海自贸区会遇到什么，但是，只需要准确理解“自由”和“试验”这两个关键词，很多问题或许就可以迎刃而解。
众所周知，改革开放的精神正是在于自由，对内解开束缚，给民众和市场以更多的自由，对外融入国际自由市场。正是因极大地解放了生产力，中国才有了今天的繁荣。上海自贸区既然肩负着进一步拓展市场自由边界的使命，那么，未来一段时间，它理应享有更多的“自由”，对此，各界不必大惊小怪。
话说回来，上海自贸区还是一个改革试验场。“试验场”的意思就是，这里允许大胆创新，也同样允许试错。如果，有些措施实行两三年之后，证明是好的，就可以全面推广；如果证明是错的，那么，停止施行就好了，其负面影响，也不会扩散。因此，上海自贸区的改革者应该去大胆试验，勇敢探索。
不管有的人戴着怎样的有色眼镜看待上海自贸区，对于一个新生事物以及改革的尝试，各方应该给与更多的支持与鼓励。希望，上海自贸区在砥砺中前行，有些时候，改革开放的难度越大说明前途越加光明。
上海自贸区揭牌 36家企业首批进驻 2013-09-30 03:44:25 新京报
昨日，中国（上海）自由贸易试验区管理委员会挂牌。商务部部长高虎城（左）、上海市市长杨雄（右）为管委会揭牌。图/CFP
昨日，中国（上海）自由贸易试验区情况说明会举行，记者们举手提问。新华社记者 刘颖 摄
昨日，首批进驻中国（上海）自由贸易试验区的企业在仪式上领取证照。新华社记者 陈飞 摄
新京报讯 （记者李超 实习生徐欧露）昨日10时15分，中国（上海）自由贸易试验区在上海外高桥正式挂牌。中共中央政治局委员、上海市委书记韩正为其揭牌。36家中外企业获颁证照，首批进驻试验区。
昨日上午，挂牌仪式在外高桥基隆路9号举行，这里原来是外高桥管委会大楼。参加揭牌仪式的有上海市相关领导干部，另外，中国人民银行、海关总署、工商总局、质检总局、银监会、证监会、保监会以及国家发改委、工信部、财政部、交通运输部、国务院法制办、国务院发展研究中心等单位都派代表参加了挂牌仪式。
商务部部长高虎城说，建立中国（上海）自由贸易试验区将为全面深化改革和进一步扩大开放，实现制度创新，探索新途径、积累新经验，对激发经济活力、创造制度红利具有十分重要的意义。力争通过两到三年的努力，建设一个法制环境规范、投资贸易便利、监管高效便捷、具有国际水准的自由贸易试验区。同时，加强和完善风险管控，构建安全高效的开放型经济体系。
随后，上海市委书记韩正为“中国（上海）自由贸易试验区”揭牌。商务部部长高虎城、上海市市长杨雄，共同为“中国（上海）自由贸易试验区管理委员会”揭牌。
现场获颁证照的36家中外企业（含11家金融机构）中，11家为中外合资、外商独资企业，经营范围涵盖金融、商贸、文化、通信和跨境电子商务等多个领域。
■ 措施
8家中资银行开分行
昨日，在揭牌仪式之后，25家企业和11家金融机构领到证照，成为进驻自贸试验区的首批“居民”。
昨日，中国银监会批准了11家金融机构。其中包括工行、农行、中行、建行、交行、招行、浦发及上海银行8家中资银行（分行），花旗、星展2家外资银行（支行），和交银金融租赁1家金融租赁公司。
此前，包括工农中建交5大国有控股银行和多家商业银行向监管机构递交了申请设立上海自贸区分行的申请。昨日，国有五大行申请全部获批，招行、浦发、上海银行等也成为率先进入自贸区的“第一梯队”。
当天，银监会还公布了八项措施，促进区内的金融业发展。其中提到，民营资本也可在自贸区内设立金融机构。
首批挂牌的25家企业包括内资、外商独资、中外合资不同性质的企业，项目涉及的领域可谓“百花齐放”。包括商贸服务领域、文化服务领域、通信服务领域、金融服务领域、专业服务领域、跨境贸易电子商务、大宗商品和期货保税交割、总部项目、高端消费品展示交易、保险业等13个项目领域。
■ 企业声音
“进驻只花了三星期”
上海泛亚金融信息服务有限公司属于金融服务领域。该公司董事长单九良说，7月初，他们就看到国务院确定上海自贸区的消息，8月就来到外高桥考察，了解政策。
单九良说，他去过很多地方考察，他们时常用优惠的税收政策来吸引。但在外高桥，他更看重自贸区与国际接轨的理念，他们始终强调制度创新。
另一家注册的公司上海运力集装箱服务有限公司属于“航运运价指数衍生品交易”的项目领域。
昨日，该公司总经理付伟忠称，他所做的是一个创新项目，在工商登记时找不到企业类型，因为考虑自贸区的特殊性，他就跑到自贸区管委会咨询。让他没想到的是，从递交资料到确认，只用了3个星期。
付伟忠称，自贸区在选择企业时考虑到创新项目，很多企业在这次审批、筛选过程中都落马了。
付伟忠认为，进驻自贸区，在融资上会有很多选择。在外汇结算时，单一货币就能结算。“外资如果可以进来没有任何门槛，不管是我参与投资，还是参与我的业务，也都没有任何门槛。” 新京报记者 李超
昨日，在中国（上海）自由贸易试验区情况说明会上，商务部、国家发展改革委和中国人民银行等八部委相关负责人介绍了为试验区设计的配套政策。并针对金融创新、负面清单和税制环境等热点问题进行解答。
1 据报道，自贸区政策会实行三年，之后往哪个方向调整，政策实行三年，对境外投资者长期计划有何风险？
3年是相关条款调整期
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：这不是说自贸试验区就搞三年。自贸试验区有一个不断地循序渐进，不断地扩大开放，推进改革的进程，三年的概念是由于全国人大常委会就外资审批的三个法律当中部分条款的暂时调整期为三年。
通过三年的探索和试验，如果新的规则体系是有效的，下一步会推动法律的修改。如果改革有哪些地方要调整，会在下一步调整法律的时候，考虑这些因素。
三年以后，我们会有新的更进一步改革目标和任务，所以它不是只搞三年，而是不断深化、提高的过程。
2 自贸试验区成立后会对香港的地位有什么冲击？上海自贸区和香港在贸易职能方面会不会有协作和合作？
设自贸区不会冲击香港
商务部国际经贸关系司司长尹宗华：建立中国（上海）自由贸易试验区，借鉴了国际通行做法，其中也借鉴了香港的做法。
试验区是中国在经贸新趋势下，实现更为积极主动的对外开放战略，建立中国（上海）自由贸易试验区，对香港不会有不利影响。
“香港有自己的优势，可以在自贸区内发挥作用，另外，内地与香港也有很多更紧密关系的安排，在上海成立自由贸易试验区有利于促进香港的稳定与繁荣，实现内地与香港共同发展。”
3 自贸区内企业可以享受15％的税率优惠？
区内15％税率暂不可行
财政部关税司司长王伟：刚才各位领导都说到了，上海自贸试验区方案中的各项措施都要有一个前提，这就是试点的各项措施所积累的经验要可复制、可推广。企业所得税按照15%征收，从现在来看，这样一个方案，不具备在全国复制、推广的可行性。另外国务院公布的方案当中，提到了一项非常重要的要求，就是要在维护现行税制公平、统一、规范的前提下，以培育功能为导向，完善相关政策。我刚才说到，要在符合税制改革方向和国际惯例，以及不导致利润转移和税基侵蚀的前提下，探索有关离岸业务的税收政策。根据这些原则，从目前来看在区内实行15%的企业所得税政策还不可行。
4 在自贸区注册了企业后，是否可以在上海其他地方办公，在区外是否可以享受自贸试验区的政策？
区内部分企业可区外办公
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：根据《总体方案》的要求，区内的企业原则上可以到区外开展业务，但是如果有相关规定的，要按规定来办。
《总体方案》里面有明确的要求，原则上就像有的行业在一个地方注册，可以到其他地方开展业务，但是有的就不行。
比如说现在的教育培训，注册在哪里就在哪里开展业务。所以每个行业、每个业务有不同的规定。如果有规定就按规定来办。
5 负面清单什么时候能出来？是固定的还是动态的？
负面清单可能陆续更新
上海市政府副秘书长、自贸试验区管委会常务副主任戴海波：负面清单今天（29日）肯定可以看到。我们这次发布的负面清单，是2013年版。在实践当中，我们是第一次使用负面清单管理模式，对外资的准入进行管理，这当中我们可能会遇到很多新的问题，也可能会遇到很多使用负面清单管理模式和传统模式有矛盾的地方，或者相关方面有不配套的地方。这为下一步的改革提供了空间，我们也可能今后会发布2014年版、2015年版。这不是一个双边谈判的负面清单，是一个主动开放、主动改革的负面清单，是探索这种管理模式，所以这个也请社会各界给我们试验的机会和时间，用建设性的态度来支持我们来做好改革试验。
6 自贸试验区对热钱监管方面，会采取什么样的思路？
防止短期资本大进大出
中国人民银行上海总部副主任、上海分行行长、外汇管理局上海分局局长张新：关于热钱这个问题，咱们自贸试验区的金融试点，设计方案有一个重要的原则，就是要设计成为一个可复制、可推广的模式。
在这其中，肯定要充分考虑到防止热钱对国内金融市场、对国内实体经济的冲击。这里面核心的就是要防止短期资金、短期资本的大进大出，维护宏观金融稳定。
另一方面大家也应该充分认识到正常的资金流动，尤其是中长期资本合理的流动，应该给予便利。
7 新的金融机构在自贸试验区开展业务时，风险监管有哪些重点和难点？监管机构将推出哪些举措？
建区内银行业监测体系
上海银监局局长廖岷：对区内的商业银行，我们已经和银行业机构做了多次探讨，大家共识是，自贸试验区内的主要风险包括：流动性风险、国别风险、市场风险和交易对手风险。
我们正在研究对监管制度进行创新，前瞻性地建立一些符合银行业和实体经济相适应的相对独立的银行业监管架构。对现有的审慎监管指标，比如存贷比、流动性风险监管指标都会根据区内机构展业的实际情况做调整。另外还会建立针对自贸试验区内银行业金融活动相适应的特色监测报表体系，同时对于这些报表的内容、报送的频率和监测的频度都会做适当的安排和调整。
8 民营企业可以在自贸试验区中设立中外资和合资银行，目前准入标准是否确定？
民企做银行须满足资质
上海银监局局长廖岷：自贸试验区对民营资本进入银行业的政策也将在银监会全国政策框架下进行审议。
对民营资本进入银行业，我们有相关的股东资质，有相关的行政准入管理办法，我想这些民营资本首先要满足作为银行股东的资质和办法。
现在银监会正在研究民营银行下一步推进和发展的问题，我们会在整个框架之下来推动民营资本进入自贸试验区，来服务自贸试验区的实体经济。新京报记者 李超
首批进驻的企业名单
上海百家合信息技术发展有限公司（百视通、美国微软全球金融）
卜蜂进出口贸易（上海）有限公司（泰国正大集团）
上海盛大国际贸易有限公司（盛大集团）
上海东方明珠文化发展有限公司（东方明珠集团）
广视通网络通信发展有限公司（SMG、国家电网）
上海跨境通国际贸易有限公司（东方支付）
上海东方网电子商务有限公司（东方网）
上海泛亚金融信息服务有限公司（硅谷天堂资产、盛富投资、山水控股）
上海亚太国际贸易有限公司（中铁物资、中信证券、上海乾洋投资管理）
上海联合产权交易服务有限公司（上海联交所）
上海中盐国际物流有限公司（中国盐业）
上海汽车国际商贸有限公司（上海汽车进出口有限公司）
世天盛（中国）投资有限公司（荷兰世天盛）
上海布瑞克斯国际贸易有限公司（全球网交所、金砖国家创投基金、成都中美基丕基金）
联碧德（上海）商业发展有限公司（联碧德）
艾摩珂海洋工程设计（上海）有限公司（芬兰Almaco（爱买客）集团）
法巴商贸（上海）有限公司（法国巴黎银行）
上海运力集装箱服务有限公司（汇锝利投资管理有限公司、宏世国际贸易有限公司）
上海浦东保时捷汽车销售服务有限公司（保时捷）
杰尼亚（中国）企业管理有限公司（意大利杰尼亚控股公司）
弘毅投资（上海）有限公司（弘毅投资有限公司）
申银万国智富投资有限公司（申银万国期货有限公司）
华安未来资产管理（上海）有限公司（华安基金管理有限公司）
中国太平洋财产保险股份有限公司自贸区分公司（中国太平洋保险股份有限公司）
大众保险股份有限公司上海市自由贸易区支公司（大众保险股份有限公司）
三大金融监管部门21措施助力自贸区 2013-09-30 03:46:31 新京报
昨日，中国（上海）自由贸易区正式挂牌，首批进驻企业和机构获颁证照。东方IC
昨日，中国（上海）自由贸易试验区综合服务大厅对外开放。东方IC
昨日，中国银监会、证监会、保监会分别公布支持中国（上海）自由贸易试验区建设的若干政策措施。其中，银监会公布支持中资银行入区发展、支持外资银行入区经营、支持民间资本进入区内银行业等八项监管措施，支持上海自贸区银行业发展。证监会拟同意在上海自贸区筹建国际原油期货平台，全面引入境外投资者参与境内期货交易，扩大中国期货市场对外开放程度。
银监会
自贸区网点可升格为分行
一、支持中资银行入区发展。允许全国性中资商业银行、政策性银行、上海本地银行在区内新设分行或专营机构；允许将区内现有银行网点升格为分行或支行；区内增设或升格分支机构不受年度新增网点计划限制。
二、支持区内设立非银行金融公司。支持区内符合条件的大型企业集团设立企业集团财务公司；支持符合条件的发起人在区内申设汽车金融公司、消费金融公司；支持上海辖内信托公司迁址区内发展；支持全国性金融资产管理公司在区内设立分公司；支持金融租赁公司在区内设立专业子公司。
三、支持外资银行入区经营。允许符合条件的外资银行在区内设立子行、分行、专营机构和中外合资银行。
四、支持民间资本进入区内银行业。支持符合条件的民营资本在区内设立自担风险的民营银行、金融租赁公司和消费金融公司；支持符合条件的民营资本参股与中、外资金融机构在区内设立中外合资银行。
五、鼓励开展跨境投融资服务。
六、支持区内开展离岸业务。
七、简化准入方式。
八、完善监管服务体系。支持探索建立符合区内银行业实际的相对独立的银行业监管体制。
证监会
双向投资境内外证券期货
一、拟同意上海期货交易所在自贸区内筹建上海国际能源交易中心股份有限公司，具体承担推进国际原油期货平台筹建工作。依托这一平台，全面引入境外投资者参与境内期货交易。以此为契机，扩大中国期货市场对外开放程度。
二、支持自贸区内符合一定条件的单位和个人按照规定双向投资于境内外证券期货市场。区内金融机构和企业可按照规定进入上海地区的证券和期货交易所进行投资和交易；在区内就业并符合条件的境外个人可按规定在区内证券期货经营机构开立非居民个人境内投资专户，开展境内证券期货投资；允许符合条件的区内金融机构和企业按照规定开展境外证券期货投资；在区内就业并符合条件的个人可按规定开展境外证券期货投资。
三、区内企业的境外母公司可按规定在境内市场发行人民币债券。根据市场需要，探索在区内开展国际金融资产交易等。
四、支持证券期货经营机构在区内注册成立专业子公司。
五、支持区内证券期货经营机构开展面向境内客户的大宗商品和金融衍生品的柜台交易。
保监会
支持沪探索巨灾保险机制
一、支持在自贸区内试点设立外资专业健康保险机构。
二、支持保险公司在自贸区内设立分支机构，开展人民币跨境再保险业务，支持上海研究探索巨灾保险机制。
三、支持自贸区保险机构开展境外投资试点。
四、支持国际著名的专业性保险中介机构等服务机构以及从事再保险业务的社会组织和个人在自贸区依法开展相关业务。
五、支持上海开展航运保险，培育航运保险营运机构和航运保险经纪人队伍，发展上海航运保险协会。
六、支持保险公司创新保险产品，不断拓展责任保险服务领域。
七、支持上海完善保险市场体系，推动航运保险定价中心、再保险中心和保险资金运用中心等功能型保险机构建设。
八、支持建立自贸区金融改革创新与上海国际金融中心建设的联动机制，不断强化和拓展保监会与上海市政府合作备忘录工作机制。
综合新华社电
■ 对话
自贸区将成全方位改革样板
专家陈波参与自贸区方案设计，称对于外商投资法律规定改革突破最大
9月29日，中国(上海)自由贸易试验区正式挂牌，这是中国的第一个真正意义上的自由贸易园区，也是国内首个符合国际惯例的海关特殊监管区。自贸区中哪项改革突破最大？总体方案中有哪些亮点？对此，我们采访了上海财经大学世界经济与贸易系副主任、上海自贸区研究中心副主任陈波，他参与了上海自由贸易试验区总体方案的设计工作。新京报记者 沈玮青
“有人担心自贸可能‘引狼入室’”
新京报：为何中国要在此时建立自贸试验区？
陈波：我国积极推动上海自贸区的建设，正是由于我国经济发展所面临的内忧外患下的必然产物。
所谓“内忧”，主要是指目前我国经济增长下行的趋势越来越明显。不少国内外的学界人士担忧，增长乏力可能成为常态，我国可能会掉进所谓的“中等收入陷阱”。所谓“外患”，是指在WTO多哈回合谈判始终无法推进、各国贸易保护主义抬头的背景下，区域性的自由贸易谈判发展迅速。
新京报：设立自贸区是否有过争议？
陈波：有争议，因为自贸区涉及一些领域改革措施的先行先试，部分政策与区外政策有落差容易引起风险，比如金融方面的政策可能会导致套利，有些部门担心无法控制风险。
还有人担心，上海自贸区的建设有可能会“引狼入室”，打击我们竞争力较为薄弱的产业。但是我国要跳过中等收入陷阱，完成从制造业大国向制造业强国的转变，就必须勇敢地迎接这些挑战。我希望上海自贸区能顺利地建设和发展，实现其可复制、可推广的试验目的，成为我国新一轮改革开放成功的起点。
“金融领域改革措施比较有限”
新京报：自贸区中哪项改革突破最大？哪项改革最难？
陈波：突破最大是对于外商投资的相关法律规定。根据现行的外资企业法等法律，在我国的外商投资必须参照《外商投资产业指导目录》开展。在这份目录中，明确了鼓励类、限制类和禁止类的外商投资项目。
上海自贸区对外商投资实行“负面清单”管理。在这份清单上，国家明确开列不予外商投资准入或有限制要求的领域，清单以外领域则充分开放。这种管理模式与国际接轨，使我国在国际谈判中处于更有利的地位，因为很多贸易协定谈判中要求参与国必须实行负面清单管理；同时，此前“正面清单”管理模式解释空间太大，转为“负面清单”后也有利于提高政府监管效率。
最难的改革还是在金融领域，因为有风险。从公布的自贸区实施细则来看，涉及金融领域的改革措施仍比较有限，这也符合我国一贯以来“渐进式”改革思路。
新京报：自贸区对新一轮改革开放有何意义？
陈波：上海自贸区是我国新一轮改革的旗帜和起点。如果自贸区改革先行先试成功的话，将会成为下一步全方位改革的样板。
自邓小平同志提出“改革开放”的国策以来，我国在经济发展遇到困难一直都是以对外开放倒逼国内改革来寻找突破口的。
我认为，本次改革就是以上海自贸区的对外开放为起点，引入（国际）竞争，转变政府在市场经济中的职能，通过公平竞争完成企业的优胜劣汰，从而达到以市场机制实现资源优化配置、产业转型升级的目的。因此上海自贸区的建设既是我国经济建设的一贯思路，也是所谓“李克强经济学”的最好诠释和重要实践。
“珠三角、环渤海经济带也可能设自贸区”
新京报：自贸区的建立对中国未来可能加入TPP谈判有何影响？
陈波：它为中国加入TPP谈判打开了一个窗口。美国宣称TPP将于2020年全面施行。诚然，我国并不一定会加入TPP，即便加入，也会在与美国的谈判中尽量争取有利的负面清单和拖延全面开放的时点。但是我国必须做好最坏的打算，争取在2020年前做好对外全面开放的准备。
按照美国版的TPP要求，TPP参与国不但要求实现商品（含农产品）贸易全面零关税，还强调在知识产权保护、劳工标准、环境标准等方面达到美国设置的水平。更重要的是，TPP成员国也必须全面开放自己的金融服务业，给予其他成员国在投资、商贸、金融服务各领域以国民待遇。
建立自贸区，为我国提供开放环境下的经济体制改革经验、探索负面清单管理模式、评估和应对全面开放对我国经济各部门的影响，有着极为重要的意义。
新京报：如果下一步在其他地方设立自贸区，最有可能的地点是哪里？
陈波：天津的滨海新区和广东的前海和南沙。我国改革开放以来，由沿海开放带动形成了珠三角、长三角和环渤海三大经济带。自贸区或许会从这三个经济带中各选取一个点。
■ 影响
一元钱开公司 企业无需年检
自贸区内实现创业“零门槛”，跑一个大厅就能办完三个证
据新华社电 一元钱也能办公司，企业无需再年检，跑一个大厅就能办完三个证……这些听起来“很美”的政策将在上海自贸试验区内实现了。
根据29日公布的《国家工商行政管理总局关于支持中国（上海）自由贸易试验区建设的若干意见》（以下简称“意见”），除法律、行政法规对公司注册资本实缴另有规定的外，其他公司试行注册资本认缴登记制。
业内人士认为，从“实缴制”向“认缴制”的转变意味着放开门槛限制，理论上一元钱都能办公司。公司设立时不再需要验资，营业执照上不再出现实缴资本，无形资产等其他资产也可算做注册资本，且资本认缴的时限也是企业说了算。
“以前为了严格准入设立门槛，却收不到理想的效果。”上海金融与法律研究院执行院长傅蔚冈说，验资常“走个过场”。而如今，自贸区内“门槛很低，大门很宽”，节约了公司注册的时间和成本，改善创业和营商环境，最终实现创业“零门槛”。
事实上，为了改善营商环境，让企业能自由大展手脚，工商部门还出台了一系列配套政策：准备好注册、代码中心、税务等所需的所有材料，交给工商局注册大厅，就可“一口受理”，最快1个工作日就能拿到设立公司所需所有材料。
傅蔚冈说，这些制度改革，主要就是为了放松管制，鼓励企业自主经营，提高效率节约时间。
上海自贸区具有五大特点”
新华社 发表于2013-09-29 07:45
中国（上海）自由贸易试验区将于29日挂牌成立。记者28日对中国（上海）自由贸易试验区管理委员会副主任简大年进行了专访。
■ 上海自贸区管委会副主任简大年：自贸区不是简单的特殊经济区域
据新华社上海9月28日电 中国（上海）自由贸易试验区将于29日挂牌成立。记者28日对中国（上海）自由贸易试验区管理委员会副主任简大年进行了专访。
自贸试验区管委会作为上海市政府派出机构，负责落实试验区各项改革试点任务，承担经济发展、财政金融、规划建设、综合监管、综合执法、政策研究、人力资源、信息化建设等行政管理职能，并统筹海关、检验检疫、海事、工商、质量技术监督、税务、公安等上海市和浦东新区派驻管理机构。
简大年说，自贸试验区借鉴了国际自由贸易园区的先进经验，并以投资管理体制创新、扩大服务业开放和金融制度改革为核心任务，已经不再是简单的特殊经济区域范畴，形成了自身的鲜明特点。
特点一，自贸试验区不限于保税区的一般做法。1990年以来，我国的保税区主要以特殊政策为特点，主要体现在税收政策的减免以及外汇、监管、投资政策的便利等；2009年以来，上海综合保税区以功能创新为重点，着力推进经济功能和商业模式创新突破，满足跨国公司国际化运作需求，打造与国际接轨的贸易便利化环境。而此次试验区以制度创新为核心，通过带动投资、金融、贸易、政府管理等一系列制度变革，培育我国面向全球的竞争新优势，构建与各国合作发展的新平台，这早已超越了海关特殊监管区域的功能定位。
特点二，自贸试验区不囿于传统的自由贸易园区。试验区积极借鉴欧美自由贸易园区的经验和做法，在提升对外贸易、航运服务、便利化环境等传统自由贸易园区功能的基础上，进一步增加了服务贸易、金融领域的扩大开放，为自由贸易园区增加了新的内涵和发展空间。
特点三，自贸试验区不同于新加坡等自由港模式。新加坡发展的特色是自由港政策和制度，包括贸易自由、融资汇兑自由、航运自由等，通过开放、高效、低税负形成自由港的国际竞争力。自贸试验区借鉴了国际通行做法，但主要目的还是以开放促改革、以改革促发展，为全国的改革开放积累经验。
特点四，自贸试验区不拘于一般开发区的内容框架。自贸试验区是国家战略，不着重一般的产业培育、招商引资、经济发展，而是强调在投资管理、服务业开放、金融、航运、贸易等多个层面的先行先试和全方位的制度创新。
特点五，自贸试验区不止于自身的建设发展。简大年说，中国（上海）自由贸易试验区的名称就表明这是一个国家试验区，建设目标是成为我国推动改革和提高开放型经济水平的试验田，寻求能够在全国可复制、可推广的制度性建设，发挥示范带动、服务全国的积极作用。
录入编辑：任凭
.END
Sunday 29 September 2013
上海自贸区 - 东方早报
上海自贸试验区服务业扩大开放18项23条逐一解读 任新建 发表于2013-09-28 17:26
http://dfdaily.com/html/136/2013/9/28/1076232.shtml
东方早报《海与光：中国（上海）自由贸易试验区创建报告》特别报道组
特邀解读：任新建
■ 一、民资外资可合组银行，适时设立有限牌照银行
【开放措施】（1）允许符合条件的外资金融机构设立外资银行，以及符合条件的民营资本与外资金融机构共同设立中外合资银行；在条件具备时，适时在试验区内试点设立有限牌照银行。
【解读】 根据入世承诺，中国已于2006年取消所有对外资银行的所有权、经营权的设立形式，包括所有制的限制，允许外资银行向中国客户提供人民币业务服务，给予外资行国民待遇。在华外资银行须注册为国内法人银行，才能申请全面经营人民币零售业务。此次允许符合条件的外资金融机构设立外资银行，在政策突破上并不大，可能对外资银行设立条件或开展人民币零售业务有一定程度放宽。但更为关键的是，在试验区内外汇管制基本放开的背景下，区内银行不仅可以经营人民币业务，同时也可以直接开展外币有关业务，这将对中国银行国际化经营带来明显促进作用。政策首次提出允许民营资本可与外资金融机构成立合资银行，这必将对民营资本进入金融业起到有力推动作用。虽然今年7月国务院发布的“金融十条”明确提出“鼓励民间资本投资入股金融机构和参与金融机构重组改造”，但目前民营资本进入金融业还存在许多隐形障碍和门槛。而以中外合资、区内试验的形式扩大民间资本在银行业的准入，不失为一个有效路径。政策首次提出允许设立有限牌照银行。根据英国、中国香港规定，银行类机构根据风险不同实行三类牌照：全牌照银行（即吸储类机构）、有限牌照银行（即非吸储类机构）和自有资金放贷机构（如小额贷款公司等）。允许在自贸区内设立有限牌照银行，一方面可以为中国探索推进银行业分类监管提供重要经验，另一方面也有助于吸引大量非吸储类外资金融机构落户试验区。
【新闻】 东亚银行近日透露，正在积极争取布局上海自贸区。渣打银行亦透露了类似的计划。 “由于细则没出，监管层政策走向还看不清，我们其实准备了四套在自贸区布局的方案，哪条路走得通就走哪一条。”一外资法人银行内部人士透露，出于商业考量，其自身更倾向采取先设支行、在经营稳健后逐步升格分行的路径“突围”自贸区。截至目前，鉴于新设机构的指标控制和总部对于盈利的考核，尚未有一家外资行在自贸区内布有网点。值得一提的是，监管层初步明确一个原则——所有银行在自贸区设立机构将不受到指标控制。 这相对于现行监管制度是突破。 “只要银行愿意设机构，就可以设，没有指标的概念。”一位知情人士透露，在自贸区内新设机构的范畴包括分行、二级分行、子行，甚至是法人银行。
【开放措施】（2）在完善相关管理办法，加强有效监管的前提下，允许试验区内符合条件的中资银行开办离岸业务。
【解读】 目前中国已允许部分银行开展离岸业务，业务范围包括外汇存款、外汇贷款、国际结算、同业拆借、外汇担保、外汇买卖、咨询顾问等，业务对象为非居民，经营比重为可自由兑换货币。离岸业务的特点是“内外分离，两头在外”，离岸账户为在境外注册的出口企业带来三大便利：一是不受外汇管制，在境外可自由调拨资金；二是存款利率、品种不受境内监管限制；三是免征存款利息税。早在2005年，国家外管局就在浦东推进跨国公司外汇资金管理方式改革，其中就包括“允许在浦东设立财务中心或资金中心的跨国公司地区总部，在境内银行开设离岸账户，用于集中管理境外成员公司的外汇资金和境内成员公司经外汇管理局批准用于境外放款的外汇资金”。此次允许试验区内中资银行开展离岸业务，有助于满足试验区挂牌运作后大量机构的离岸业务需求；同时也有助于吸引更多的跨国公司资金中心、财务中心、结算中心等落户试验区。此外，此举也对加强试验区内中资银行离岸业务的管理和监管提出了要求。
【新闻】 目前已有多家银行宣布将在上海自贸区设分行。而综合各家银行开设自贸区分行的方案，多数银行的思路正是将自贸区分行、支行视同为离岸金融区的一个分支机构，其使用的系统则或被建成一套与银行境内分支机构风险隔离的系统。 “类似境外分支机构使用的系统。”一正在发起设立自贸区分行的银行人士透露。据多位银行业内人士透露，自贸区分行的定位将是一个全功能的分行，涵盖信贷、发债、离岸业务、跨境投资并购，以及财富管理等业务。 另一业内人士透露，自贸区分行还将承担跨境人民币业务创新、开发离岸人民币产品等职能。与外界理解的自贸区分行将在功能上削弱香港、新加坡等境外分行不同，多位银行业内人士指出，“功能与境外的分支机构相当，但在未来会与境外机构有更多联动，提供跨境人民币贸易、投资服务。” 据了解，自贸区分行的业务范围与现行中国境内4家银行拿到的离岸业务牌照不同。银监部门此前批的4家境内银行的离岸业务牌照只能从事外币业务，而自贸区分行除可办理美元等外币业务，还可办理人民币业务。自贸区内企业开设的账户或视同境外账户管理。
■ 二、试点设立外资专业健康险机构
【开放措施】试点设立外资专业健康医疗保险机构。
【解读】随着国人富裕程度的提高和老龄化社会的加快到来，专业医疗保险的市场需求正在迅速上升。根据欧洲最大健康险公司DKV的统计数据预测，中国健康险保费每年以15%-20%的速度增长，预计到2015年将达到1200亿元，远超过全球健康险6%的增长水平。众多外资保险机构都将目光瞄向中国医疗健康险这一巨大市场，瑞士再保险、美国WellPoint先后成立医疗第三方管理公司（TPA），慕尼黑再保险旗下DKV公司也参股了中国人保健康险。在试验区内试点设立外资专业健康医疗保险机构，有助于更好地发挥外资保险机构的品牌、运作、产品设计等优势。同时，这一试点被限制在试验区内，也避免了对内资保险机构业务产生较大冲击。
■ 三、取消单机单船融资租赁公司注册门槛
【开放措施】（1）融资租赁公司在试验区内设立的单机、单船子公司不设最低注册资本限制。
【解读】 中国是全球飞机船舶消费大国，全球每年新生产的飞机约10%销往中国市场，每年新造船合同金额的约30%在中国，但由于国内融资租赁市场不发达，中国航空租赁市场90%的份额被外资租赁公司占据，航运市场也为外资租赁公司所垄断。2010年2月，银监会对保税区开展单机单船融资租赁业务在政策上放开；同年6月，上海综合保税区获批开展单机单船融资租赁业务。此次放宽试验区内单机单船租赁公司最低注册资本限制，有助于推动更多单机单船项目公司成立，逐步改变中国飞机船舶租赁长期为外资所垄断的现状，促进中国融资租赁业务的快速发展。
【开放措施】（2）允许融资租赁公司兼营与主营业务有关的商业保理业务。
【解读】允许融资租赁公司开展商业保理业务，顺应了融资租赁公司的客观需求，有助于融资租赁公司业务的多元化发展。
【新闻】交通银行9月26日宣布，根据上海自贸区的方案和政策，交行将通过将现有机构升级的方式在自贸区内设立专业机构。交行旗下交银金融租赁已经提交了设立上海自贸区子公司的申请。据了解，由于自贸区内针对金融租赁行业的政策开放度高于市场预期，交行将通过其子公司交银租赁获取自贸区内机船类专业金融租赁牌照。有别于此前综合类的租赁牌照，交行意欲在飞机、轮船租赁业务的专业性方面能有所作为。交行资产托管部总经理阮红表示，自贸区会配套有国际竞争力的外管、税收、海关方面政策，在区外金融租赁公司无法享受。特别对于交银租赁要做经营性的境外机船租赁业务而言，通过区内经营，会提高公司在航空航运金融租赁市场的竞争力。其次，阮红指出，目前交银租赁在境外要设置一系列项目公司，受到了监管限制，不能直接由境内租赁公司出面去设立。而自贸区内的子公司将突破制度瓶颈，自贸区内会实行国际通行的“境内-关外”政策。她还表示，国内的机船租赁现状还比较零散，将来可以整合到自贸区公司平台之下进行统一管理。自贸区的金融开放政策，券商的机会虽然并不是太大，但亦有大型证券公司在寻找切入点。海通证券9月26日宣布，将收购TPG旗下的恒信金融集团。恒信金融集团旗下核心融资租赁公司为恒信金融租赁有限公司。恒信金融集团旗下还拥有恒运和泛圆两家公司，主业分别是重型卡车租赁和贸易融资。海通和恒信金融租赁注册地均为上海。
■ 四、放宽船舶运输企业外资股比限制，先行先试沿海捎带业务
【开放措施】（1）放宽中外合资、中外合作国际船舶运输企业的外资股比限制，由国务院交通运输主管部门制定相关管理试行办法。
【解读】 根据中国有关法律规定，设立中外合资、中外合作企业经营国际船舶运输企业，外商的出资比例不得超过49%。此次取消外资股比限制，意味着外资可以实现控股，便于更好地运用其国际化的经营管理能力开展国际船舶运输业务，有助于提振中国国际船运市场。
【开放措施】（2）允许中资公司拥有或控股拥有的非五星旗船，先行先试外贸进出口集装箱在国内沿海港口和上海港之间的沿海捎带业务。
【解读】为降低成本，目前中国有过半的中资船舶注册在境外，挂巴拿马、中国香港、新加坡等境外方便旗开展国际运输。根据中国法律规定，方便旗船虽然为中资拥有或控股，但属于外国籍船舶，因而不能在中国境内开展沿海捎带业务。此次放开政策限制，将有助于方便旗船在国内沿海港口和上海港之间沿海捎带业务的开展，促进境外中转的集装箱到上海中转，增加上海港水水中转流量，进一步提高上海港的国际地位。
【新闻】上海海事局一位权威人士告诉早报记者，为配合上海自由贸易试验区建设，上海将推国际船舶登记制度，并将适应形势需要研究多项监管措施。 “目前，中远集团、中海集团等中国大型航运企业已经准备将其船舶在上海自贸区内注册，回挂五星旗。”上述人士透露。据了解，目前，大的国际船舶运输企业，真正注册在中国的并不多。因为这些公司都是看注册的方便度和税收的问题，哪里方便、哪里税收低，就注册在哪里。即便是中远集团、中海集团等国内大型船运公司，也把一些公司注册在香港或者海外。 “航运企业放开外资股比例之后，应该会有更多的航运公司选择在上海自贸区注册。”一位航运人士如是说。对于自贸区给物流业带来的影响，一位物流业人士认为，虽然自贸区内货物的中转量会增加，但是上海自贸区从启动到发展，还需要一个过程。 “目前不会对整个物流行业产生太大影响，对仓储物流和海运的影响更为明显些。”上述人士在接受早报记者采访时说。
■ 五、允许设立外商独资国际船舶管理企业
【开放措施】允许设立外商独资国际船舶管理企业。
【解读】国际船舶管理企业是航运业中属于较新的业态。按照中国《外商投资国际海运业管理规定》，允许外商以中外合资、中外合作形式经营国际船舶管理业务，尚不允许设立外商独资国际船舶管理企业。目前，中国香港、英国伦敦、冰岛等是世界公认的国际船舶管理业中心。此次政策允许外商独资设立国际船舶管理企业，有助于推动中国船舶国际企业专业化、独立化、国际化发展，有助于上海吸引更多国际船舶管理企业落户、加快建设国际船舶管理业中心。
■ 六、外资可经营特定形式增值电信业务
【开放措施】在保障网络信息安全的前提下，允许外资企业经营特定形式的部分增值电信业务，如涉及突破行政法规，须国务院批准同意。
【解读】 逐步开放电信增值业务是中国加入WTO的承诺之一。但由于电信增值业务一向属于敏感领域，工信部此前对外商投资增值电信业务属于从严管理，且要求持股比例不得超过50%。随着中国电信市场的持续发展和行业成熟度不断提高，电信增值业务扩大开放已较为可行。2012年，工信部发布《关于鼓励和引导民间资本进一步进入电信业的实施意见》，明确鼓励民间资本开展增值电信业务。此次允许外资企业经营增值电信业务，标志着中国进一步放宽外商进入增值电信业务领域。中国电信企业也将在试验区内直面来自外资独资或控股电信增值业务企业的竞争。同时，由于电信业务的敏感性，此次政策对开放电信增值业务的具体形式和内容作了规定，部分业务开放许可需要得到国务院层面批准。
【新闻】 早报记者近日从消息人士处获悉，上海自贸区电信业务开放幅度可能会超过CEPA（《关于建立更紧密经贸关系安排》）有关规定的电信业务范围，有些新业务会对外资开放，并可能允许外商设立独资公司。 “WTO（世界贸易组织）原本规定对外开放的电信业务都是非常传统的，自贸区诸多新电信增值业务会被纳入。”上述消息人士说。外资电信企业可能对在自贸区设立IDC（数据中心）、ISP（互联网服务提供商）有兴趣。据悉，目前已经有企业对自贸区开展电信业务表现出兴趣，并在积极准备。 另据新华社报道，中国（上海）自由贸易试验区管委会相关人士9月27日晚间表示，自贸区内“互联网将依法管理，没有特殊”。
■ 七、外资销售游戏机禁令解除
【开放措施】允许外资企业从事游戏游艺设备的生产和销售，通过文化主管部门内容审查的游戏游艺设备可面向国内市场销售。
【解读】目前，国外游戏游艺设备必须通过中国代理商才能顺利进入中国，这极大限制了境外游戏游艺设备巨头在华业务的拓展，也使得国内的盗版游戏盛行。此次允许外资企业在试验区内开展游戏游艺设备的生产和销售，并可将经过审查的游戏游艺设备直接向国内销售，将加快PlayStation、任天堂等游戏游艺设备企业进入国内市场，促进一批优质游戏游艺设备龙头企业的崛起。
【新闻】 百视通（600637）日前发布公告，宣布将和微软在自贸区设立从事游戏业务的合资公司，双方致力于打造基于游戏的“新一代家庭游戏娱乐产品”和“家庭娱乐中心服务”。按照境内现行的相关政策（2000年6月发布的《关于开展电子游戏经营场所专项治理的意见》），有关部门禁止外资游戏设备企业在中国市场销售产品。有知情人士向早报记者透露，百视通一直在为自己的平台寻找游戏内容，本次联手微软通过自贸区开放政策引入其关键技术，未来可能推出新品牌的游戏机，在国内销售。而也有传闻称，由微软提供Xbox技术、百视通提供OTT牌照和资源，双方将共同推出的产品初步命名为“BestPad”，但是“BestPad”与Xbox不完全相同，可能是一个能玩游戏的机顶盒。百视通是上海东方传媒集团控股的新媒体公司，是国内最大的IPTV电视运营商。微软位列全球三大电视机游戏巨头之一。
■ 八、探索中外律所业务合作新机制
【开放措施】探索密切中国律师事务所和外国（港澳台地区）律师事务所业务合作的方式和机制。
【解读】1992年，司法部、国家工商行政管理总局联合发布了《关于外国律师事务所在中国境内设立办事处的暂行规定》，首次允许外国律师在中国设立外国律师事务所的办事机构。2001年12月中国入世之后，国务院颁布《外国律师事务所驻华代表机构管理条例》。2003年，中国开始逐步取消外国律所只能设立一个驻华代表处的限制，并取消了开办城市的限制。随着贸易、金融和投资的全球化，外国律师逐渐成为中国内地法律服务市场的参与主体。一些知名外国律师事务所如佳利、瑞生、博坎、思瑞、美邦等也相继进入中国，在上海、北京等地开设办事处，按照管理条例规定提供有关法律服务。外国律师事务所带来的先进服务理念、涉外法律服务水平、高水平律师人才培养等，从整体上促进了国内律师事务所水平的提升。此次鼓励中国律师事务所和外国（港澳台地区）律师事务所进一步密切合作关系，有助于学习借鉴外国律师事务所的国际化长处，不断提高中国律师事务所的管理水平、法律服务水平和高端人才培养能力，提高中国律师事务所的市场竞争力。
■ 九、允许设立外商投资资信调查公司
【开放措施】允许设立外商投资资信调查公司。
【解读】资信调查是现代市场经济发展到一定阶段的必然要求，它是以一定的调研技术（包括调查技术、财务技术等）和专业人员为基础，对相关企业或个人的资信情况或专项项目的真实性等进行调查、分析，为社会提供专业化服务的一种信用服务行业。1992年，中国第一家专业从事企业资信调查服务的公司——北京新华信商业风险管理有限责任公司成立，标志着中国资信调查行业开始起步发展。据不完全统计，目前中国有各类征信机构约100多家，资信评估机构80多家，信用担保机构2000多家，其他专业信用机构500多家。一些外国征信公司如邓白氏公司、ABC公司、TCM公司，以及中国台湾地区的中华征信所等，均已在中国内地设有分支机构，并提供企业资信调查服务。此次允许设立外商投资资信调查公司，将推动国外资信调查公司加快在中国市场落地、实现法人化运作，为中国各类企业特别是试验区内企业带来先进的信用评估技术，减少企业经营中的各种信用风险。
■ 十、合资旅行社经营出境游业务再开闸
【开放措施】允许在试验区内注册的符合条件的中外合资旅行社，从事除台湾地区以外的出境旅游业务。
【解读】2010年9月，国家有关部门即已开始受理中外合资经营旅行社经营中国公民出境旅游业务试点申请，但规定需要获得经营许可满两年。此次取消了中外合资旅行社经营许可满两年才可经营出境游的限制，有助于促进中外合资旅行社开展和扩大出境游业务，有助于进一步提高中国公民出境游的服务质量。当然，这也对中国境内旅行社开展出境游业务带来了竞争压力，倒逼中国境内旅行社提高出境游服务质量、增强市场竞争力。
【新闻】 昨天，上海市旅游管理部门有关人士向早报记者透露，目前已经有一些旅游企业酝酿到自贸试验区注册，不过，因为涉及相关企业中、外双方各项资料的准备等细节，尚需要一个过程；但企业本身会从市场角度去判断，不会盲目地向自贸区迁移地址或注册新旅游企业。未来，符合条件的中外合资旅行社在自贸区内注册，原来的许可制或将逐渐转为备案制。中外合资旅行社从事出境游业务此前已经在国内进行试点，截至目前，参加这一试点的中外合资旅行社只有3家，即中旅途易旅游有限公司、国旅运通旅行社有限公司、交通公社新纪元国际旅行社有限公司。这3家旅行社都集中在北京。自2011年5月以来，国家旅游局并未再扩大这一试点范围。
■ 十一、提高外方持股人才中介机构上限
【开放措施】（1）允许自由贸易试验区内成立中外合资人才中介机构，外方合资者可以拥有不超过70%的股权，允许港澳服务提供者设立独资人才中介机构。
【解读】2005年中国修改后的《中外合资人才中介机构管理暂行规定》，要求注册资本金不低于30万美元，中方必须为控股方，外方投资者比例不得低于25%，中方合资者比例不得低于51%；其中港澳地区服务提供者可拥有的股权比例不超过70%。此次将外方控股比例进一步提升，外方合资者（非港澳地区）可以实现不超过70%的控股，港澳地区可以独资，且大幅下调最低注册资本金要求。这对于外资人才中介机构将是明显利好，也有助于更多引进国际化人才，增强中国人才中介机构市场竞争力。
【开放措施】（2）外资人才中介机构最低注册资本金要求由30万美元降低至12.5万美元。【解读】《中外合资人才中介机构管理暂行规定》要求外资人才中介机构注册资本金不低于30万美元。此次大幅下调最低注册资本金要求，有助于降低外资人才中介机构准入的资金门槛，推动更多外资人才中介机构进入。
■十二、允许设立股份制外资投资性公司
【开放措施】允许设立股份制外资投资性公司。
【解读】2004年中国修订后的 《关于外商投资举办投资性公司的规定》，对外资投资性公司的公司形式要求为有限责任公司。此次允许设立股份制外资投资性公司，意味着其可以面向社会募集资金，将极大增强外资投资性公司的资本实力和投资经营能力，并且在运作上也更为规范。
■ 十三、降低外资工程设计企业准入门槛
【开放措施】对试验区内为上海市提供服务的外资工程设计（不包括工程勘探）企业，取消首次申请资质时对投资者的工程设计业绩要求。
【解读】根据WTO承诺，中国已允许外商独资工程设计企业进入中国市场，但仍然存在一定的门槛。根据中国《外商投资建设工程设计企业管理规定实施细则》规定，外商投资建设工程设计企业，首次申请工程设计资质，其外国服务提供者（外国投资方）应提供两项及以上在中国境外完成的工程设计业绩，其中至少一项工程设计业绩是在其所在国或地区完成的；申请资质升级，应提供取得工程设计资质后在中国境内或境外完成的工程设计业绩，其中至少有两项工程设计业绩是在中国境内完成的。此次政策放宽对首次申请资质时的工程设计业绩要求，意味着中国进一步降低外资工程设计企业进入中国的门槛限制，有助于外资工程设计企业更便捷地在中国工程设计市场开展业务。
■ 十四、外商独资建筑企业承揽上海项目，不再受建设项目中外方投资比例限制
【开放措施】对试验区内的外商独资建筑企业承揽上海市的中外联合建设项目时，不受建设项目的中外方投资比例限制。
【解读】按照2002年中国发布的《外商投资建设工程设计企业管理规定》，外商独资建筑业企业允许承揽四类工程：全部由外国投资、外国赠款、外国投资及赠款建设的工程；由国际金融机构资助并通过根据贷款条款进行的国际招标授予的建设项目；外资等于或者超过50%的中外联合建设项目，及外资少于50%、但因技术困难而不能由中国建筑企业独立实施，经省、自治区、直辖市人民政府建设行政主管部门批准的中外联合建设项目；由中国投资、但因技术困难而不能由中国建筑企业独立实施的建设项目，经省、自治区、直辖市人民政府建设行政主管部门批准，可由中外建筑企业联合承揽。此次放宽外商独资建筑企业承揽中外联合建设项目时的中外方投资比例限制，意味着外商独资建筑企业将能够承接更多的中外联合建设项目，改变其在中国建筑市场份额过小的局面，促进中国建筑市场的良性竞争和规范发展。
■ 十五、取消外资演出经纪机构股比限制
【开放措施】取消外资演出经纪机构的股比限制，允许设立外商独资演出经纪机构，为上海市提供服务。
【解读】目前，中国对外资投资境内演出经纪机构要求必须是合资或合作（港澳地区投资者可以独资），且股比要求不得超过49%或内地合作者拥有经营主导权。此次取消外资演出经纪机构的股比限制且允许独资，有助于外商演出经纪机构更好在国内市场开展业务，进一步规范中国演出经纪机构市场，不断扩大这一市场规模，促进中国演艺行业的发展。
■ 十六、允许设立外商独资娱乐场所
【开放措施】允许设立外商独资的娱乐场所，在试验区内提供服务。
【解读】目前，中国对外商投资境内娱乐场所（如卡拉OK厅）要求必须是合作或合作模式，不得独资从事娱乐场所经营。此次政策上允许外商在试验区内独资设立娱乐场所，意味着中国在服务领域对外商投资的一次开放，将推动外商独资娱乐场所在试验区内成立，更好满足区内国际人士的娱乐休闲需求。
■ 十七、允许中外合办经营性培训机构
【开放措施】（1）允许举办中外合作经营性教育培训机构。【开放措施】（2）允许举办中外合作经营性职业技能培训机构。
【解读】 中国的教育培训业是从公办高校的剩余教育资源转化延伸出来的，经过近15年的发展，目前已经形成了多种办学主体的市场格局，各类教育培训主体超过10万家，但大多以区域发展为主，发展良莠不齐，连锁机构少，知名品牌少。此次允许举办中外合作经营性教育培训机构和中外合作经营性职业技能培训机构，有助于进一步鼓励国外优质教育培训品牌进入中国市场，加快引进国外先进的教育培训系统、课程和方法，加快中国教育培训业的国际化发展。
■ 十八、允许设立外商独资医疗机构
【开放措施】允许设立外商独资医疗机构。
【解读】 由于医疗行业的特殊性，国内政策对于外资进入医疗领域一直持保守态度。2010年12月，国家发布《关于进一步鼓励和引导社会资本举办医疗机构的意见》，将境外资本举办医疗机构由限制类调整为允许类，外商独资医疗机构先行试点、逐步放开。2012年，国家有关部门公布《外商投资产业指导目录（2011年修订）》，将外商投资医疗机构由限制类调整为允许类。目前，根据内地与香港、澳门、台湾有关合作框架，港澳台地区投资者可在内地部分省市独资设立医疗机构。在国家政策的推动下，一些合资高端医疗品牌已经相继在国内大城市落户发展，并取得良好业绩。此次政策允许设立外商独资医疗机构，意味着中国在医疗服务领域对外资的进一步放开，将推动一批国际高端医疗品牌进入中国，有助于打破中国医疗服务领域的垄断局面，实现更为充分的市场竞争。
【新闻】“允许设立外商独资医疗机构的政策在国内早已放开，但实际效果不佳，企业是否有动作会基于自贸区的后续保障细则。”针对上海自贸区将放宽外商独资医疗机构限制，某美资医疗机构高管昨日对早报记者如是说。前述高管称，股比限制的取消实际更多地面向了来自港澳台的资本，尚没有听说有其他地区资本获得审批，而其所在的医疗机构在国内扩张时都以合资的方式进行。早报记者了解到，在承担上海高端医疗的上海国际医学园区中，虽有多家外资背景的医疗机构意向入驻，但全部是以一定比例的合资进行。国务院医改专家咨询委员会委员、美国国际医院认证联合委员会大中华区总干事房志武向早报记者表示，如果自贸区想要吸引到更多外资医疗机构的进入，很重要的一点是保障医疗资源的流动，尤其是国内公立医院医生的多点执业。前述某美资医疗机构高管表示，如果医疗资源的流动得到解决，国内的外资医疗可能会突破现在“高端”、“国际”的范畴，向贴近大众的普通医疗发展。
（注：本文“解读”部分均为上海市发展改革研究院金融研究所所长任新建撰写；“新闻”部分为东方早报记者张飒、忻尚伦、刘欣、周玲、李跃群、王道军、闫鹏飞、储静伟等分别撰写。）
录入编辑：李琪
上海自贸区总体方案公布，实施范围和试点政策将逐步拓展 早报记者 胡苏敏 发表于2013-09-28 07:56
2013年9月27日14时，国务院在中国政府网全文公布了《中国（上海）自由贸易试验区总体方案》。
■ 公布服务业扩大开放18项措施 探索建立负面清单管理模式 探索建立货物状态分类监管模式
■ 早报今推32版“中国（上海）自由贸易试验区创建报告”特刊
2013年9月27日14时，国务院在中国政府网全文公布了《中国（上海）自由贸易试验区总体方案》。在上海市外高桥保税区、上海外高桥保税物流园区、洋山保税港区和上海浦东机场综合保税区等4个海关特殊监管区、共计28.78平方公里的土地上，建设中国大陆第一个自由贸易试验区。
国务院明确，中国（上海）自由贸易试验区，是党中央、国务院在新形势下推进改革开放的重大举措，要使之成为推进改革和提高开放型经济水平的“试验田”，形成可复制、可推广的经验，发挥示范带动、服务全国的积极作用，促进各地区共同发展。
方案显示，上海自贸区的总体目标是，经过两至三年的改革试验，加快转变政府职能，积极推进服务业扩大开放和外商投资管理体制改革，大力发展总部经济和新型贸易业态，加快探索资本项目可兑换和金融服务业全面开放，探索建立货物状态分类监管模式，努力形成促进投资和创新的政策支持体系，着力培育国际化和法治化的营商环境，力争建设成为具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区，为我国扩大开放和深化改革探索新思路和新途径，更好地为全国服务。
方案同时明确了上海自贸区五大主要任务，即加快政府职能转变、扩大投资领域的开放、推进贸易发展方式转变、深化金融领域的开放创新、完善法制领域的制度保障。上海自贸区服务业扩大开放措施昨日也同时公布，共六大领域，涉及18个行业。方案称，自贸区相关管理规定将自10月1日起在三年内试行。
不过，方案在“实施范围”中也特别明确， 上海自贸区将根据先行先试推进情况以及产业发展和辐射带动需要，逐步拓展实施范围和试点政策范围，形成与上海国际经济、金融、贸易、航运中心建设的联动机制。
数位接受早报记者采访的专家表示，目前上海自贸区的大方向已经明确，至于开放力度和具体如何实施，还需静待细则的出台。
按照计划，上海自贸区将于9月29日正式挂牌成立，相关政策细则也有望同日发布。
强调制度创新
根据方案，上海自贸区建设的重点在于制度创新。方案明确上海自贸区要紧紧围绕面向世界、服务全国的战略要求和上海“四个中心”建设的战略任务，按照先行先试、风险可控、分步推进、逐步完善的方式，把扩大开放与体制改革相结合、把培育功能与政策创新相结合，形成与国际投资、贸易通行规则相衔接的基本制度框架。
具体而言，列在主要任务第一项的即是加快转变政府职能，改革创新政府管理方式，按照国际化、法治化的要求，积极探索建立与国际高标准投资和贸易规则体系相适应的行政管理体系，推进政府管理由注重事先审批转为注重事中、事后监管。
具体到投资领域的开放，最重点则是借鉴国际通行规则，对外商投资试行准入前国民待遇，研究制订试验区外商投资与国民待遇等不符的负面清单，改革外商投资管理模式。对负面清单之外的领域，按照内外资一致的原则，将外商投资项目由核准制改为备案制（国务院规定对国内投资项目保留核准的除外），由上海市负责办理。
上海市政府参事室主任王新奎此前也指出，上海自贸区的建设就是以开放倒逼改革，“任重而道远”，因为上海自贸区探索建立负面清单管理模式，改革外商投资管理模式，就是选择了体制当中最难的审批制度，然后又要按照国际规范来进行突破。
金融创新是重头戏
方案中涉及金融制度创新的部分，也被外界视为上海自贸区的重头戏之一。
复旦大学经济学院院长袁志刚认为，在中国经济的结构性问题与要素市场的发育不全有关，其中金融价格没做对就是关键一环。“那就先在自贸区里把价格做对。”袁志刚称。
方案称，在风险可控前提下，可在试验区内对人民币资本项目可兑换、金融市场利率市场化、人民币跨境使用等方面创造条件进行先行先试。在试验区内实现金融机构资产方价格实行市场化定价。探索面向国际的外汇管理改革试点，建立与自由贸易试验区相适应的外汇管理体制，全面实现贸易投资便利化。
一位不具名的投行高层告诉路透社，中国需要改革的地方很多，眼下最重要也最容易突破的无疑是金融领域的改革，尤其是金融牌照的放开和资本项下的开放。上海自贸区等于是一块试验田。
根据方案，上海自贸区将选择在金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，暂停或取消投资者资质要求、股比限制、经管范围限制等准入限制措施，营造有利于各类投资者平等准入的市场环境。
总部经济一直是上海力争的一块蛋糕。上海市政府领导曾表示，上海在建设“四个中心”的过程中，一直困惑的问题是，在上海的跨国公司已有400多个，但绝大多数是行政性质的，最有价值的资金运作不在其中，上海这几年一直在探索如何解决这个问题。
究其原因，复旦大学全球投资与贸易研究中心主任袁堂军告诉早报记者：“这些跨国公司来到上海之后，还在等待其他制度的配合。到目前为止，中国跟国外经济的主要纽带是在进出口加工贸易上，这个总部意义不大。”不过，他也表示，随着中国经济发展，产业链慢慢拓展，会涉及研发等环节，那么跨国公司有动力来到上海自贸区。
袁堂军还指出，总部经济还会带来“技术外溢”的效果：“除了能反过来帮助制造业产业链升级之外，对金融服务等，都有整体的提升作用。”
探索建立货物状态
分类监管模式
为适应建立高水平投资和贸易服务体系的需要，方案要求营造相应的监管和税收制度环境。通过创新监管模式，推进实施“一线放开”，坚决实施“二线安全高效管住”，促进二线监管与一线监管相衔接，强化监管协作，推动试验区内货物、服务等各类要素自由流动。同时，在维护现行税制公平、统一、规范的前提下，以培育功能为导向，探索与试验区相配套的促进投资与贸易的税收政策。
方案总体目标中就提到，要“探索建立货物状态分类监管模式”。一位不愿具名的专家对早报记者表示，所谓货物状态分类监管模式，是根据货物的不同状态，由海关对其进行分类管理，此前外高桥保税区已经施行该监管模式。
他解释道，关于货物的不同状态，具体而言，有的货物从境外进入区内，还没交关税，这类货物就是保税货物；有的货物进入区内，关税已经交过，但它需要暂时放在区内，这类货物叫做完税货物；还有是从国内进入区内的货物，要与境外进来的货物进行组合、拼装等简单加工，这些国内进来的货物属于国内的非保税货物。
“进行货物状态分类管理的好处在于，管得住、管得好、效率高。因为分类后，整个出关速度就快了，而混杂在一起的话，甄别起来比较麻烦。此外，自贸区这个区域必须有一个很好的监管秩序，不能把各种货物混杂在一起，否则容易产生风险，比如没有交税的货物混着出去，这是不行的。”上述专家称。
铺开的空间
全国人大常委、财经委副主任委员吴晓灵27日在中国金融创新论坛上表示，上海自贸区对于中国关键是两点：一是中国寻求进一步对外开放的道路，在服务贸易领域、投资领域中要进一步对外开放；二是中国未来的改革“不是寻求地方的政策突破，而是寻求能够在全国可复制、可推广的制度性建设”。
关于此前多地也希望推进自贸区建设的说法，吴晓灵昨日也专门提到：“在全国人大审议国务院提交自贸区议案的时候，刚开始有一个‘等’字，即‘上海自贸区等’，最后人大把‘等’字拿掉了，就是上海自贸区。我们希望能够让全国都集中精力在上海自贸区进行制度探索，然后能更快向全国推广，而不是全国各地都到北京来‘跑自贸区’，不把精力放在改革和制度建设上。”
专家认为，上海自贸区区内主要应完成“三个转型”，区外关键是形成桥接和溢出。三个转型是指，一是从单一贸易功能向贸易功能与投资功能并重转型，二是由在岸业务功能为主向在岸与离岸业务并重转型，三是由集聚生产贸易型企业为主向集聚跨国公司功能总部转变。
区外的桥接和溢出是指，一是要充分发挥自贸区的桥接作用，对区内区外可连通的产业，如金融等，在风险可控的前提下力争向市内扩展；二是不需国家另行批准的制度改革，如商事登记制度等，在试验区内试点成功后加快向全市推广；三是在实验区内行之有效的制度，但推广需国家批准的，建议其他园区加快向国家申请试点。从制度溢出路径看，根据自贸试验区探索出的经验，一是国家层面上制定或修改相关法律；二是根据国家授权，上海制定相关条例；三是采取一区多园的模式，扩大试验区的地理范围；四是允许服务业企业在试验区内注册，在区外开展业务。
袁堂军认为，从更长远来看，上海自贸区28.78平方公里毕竟空间有限，上海作为总部中心，应该是创新的地方，不是生产的地方。
“上海作为总部中心，制造的部门放在江苏、浙江等地，要有一个纵深的腹地才能支持上海自贸区的完善。28.78平方公里根本不够，除了进出口贸易，还有制造，等等。”袁堂军说，“自贸区一定是要配套的，多点齐发的。有一个总部和sub-zone（子区）的关系，这样才能化解这28.78平方公里不够消化的厂房。”
录入编辑：任凭
上海自贸区三年内货币自由兑换 2013-09-28 02:30:34 新京报
http://www.bjnews.com.cn/news/2013/09/28/285453.html
26日，行人、车辆通过中国（上海）自由贸易试验区三号门。
翁磊 摄
自贸区总体方案公布，要求加快金融制度创新，促进跨境融资便利化；将于29日挂牌
据新华社电 27日，国务院正式公布《中国（上海）自由贸易试验区总体方案》（以下简称《方案》），29日试验区将正式挂牌。
《方案》提出，要力争经过两至三年的改革试验，建设具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区。
探索建立负面清单管理模式
《方案》明确了试验区建设的主要任务措施。
一是加快政府职能转变。积极探索建立与国际高标准投资和贸易规则体系相适应的行政管理体系，推进政府管理由注重事先审批转为注重事中、事后监管。提高行政透明度，完善投资者权益有效保障机制，实现各类投资主体的公平竞争。
二是扩大投资领域开放。选择金融、航运、商贸、文化等服务领域扩大开放。探索建立负面清单管理模式，逐步形成与国际接轨的外商投资管理制度。改革境外投资管理方式，支持试验区内各类投资主体开展多种形式的境外投资。
三是推进贸易发展方式转变。积极培育贸易新型业态和功能，推动贸易转型升级。深化国际贸易结算中心试点，鼓励企业统筹开展国际国内贸易，实现内外贸一体化发展。提升国际航运服务能级。
四是深化金融领域开放创新。加快金融制度创新，建立与自由贸易试验区相适应的外汇管理体制，促进跨境融资便利化。推动金融服务业对符合条件的民营资本和外资金融机构全面开放，鼓励金融市场产品创新。
五是完善法制保障。各部门要支持试验区深化改革试点，及时解决试点过程中的制度保障问题。上海市要通过地方立法，建立与试点要求相适应的试验区管理制度。
自贸区内网络依法管理没有特殊
为适应建立高水平投资和贸易服务体系的需要，《方案》要求营造相应的监管和税收制度环境。在维护现行税制公平、统一、规范的前提下，以培育功能为导向，探索与试验区相配套的促进投资与贸易的税收政策。
上海自贸区管委会相关人士27日表示，自贸区内互联网将依法管理，没有特殊。
自贸区管委会表示，在保障网络信息安全的前提下，允许外资企业经营特定形式的部分增值电信业务，如涉及突破行政法规，须国务院批准同意。
【总体目标】经过两至三年的改革试验，力争建设成为具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区。
【主要任务】1.加快政府职能转变2.扩大投资领域的开放3.推进贸易发展方式转变4.深化金融领域的开放创新5.完善法制领域的制度保障。
【实施范围】涵盖上海外高桥保税区、上海外高桥保税物流园区、洋山保税港区和上海浦东机场综合保税区等4个海关特殊监管区域，逐步拓展实施范围和试点政策范围。
■ 分析
四大亮点 贸易、投资、金融、监管
昨日，国务院公布上海自贸区总体方案。权威人士及专家认为，贸易、投资、金融和政府监管新功能将是自贸试验区的四大亮点。
上海市政府发展研究中心主任周振华指出，自由贸易试验区不是特区也不是新区。它的意义不在于争取若干优惠政策，而旨在建立一套与国际接轨的、新的制度体系，以成为贸易业态模式创新、投资开放创新、离岸型功能创新、政府管理服务创新的“试验田”和示范区。
服务业开放
搅动竞争惠及民生
与WTO主要着眼于货物贸易不同，“扩大服务业开放、促进服务贸易”是自贸试验区的重要任务。方案提出，选择金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，营造有利于各类投资者平等准入的市场环境。
在此之前，由于开放不足、存在一定的保护，我国服务业的发展远不能满足需求。比如在财富管理方面，多数人只能选择存款或理财产品，在通货膨胀中资产不断缩水。在教育、医疗方面，好的学校周围一房难求，优质医院永远人满为患……
“对外开放将影响金融、旅游、教育和医疗等多个服务行业，竞争主体多元化对老百姓是实实在在的利好。”复旦大学经济学院副院长孙立坚认为。
政府监管转型
实现“境内关外”
自由贸易园区内，政府服务管理机制将更加透明、高效、便捷，营商环境将实现国际化、市场化和法制化。
政府管理将遵循国际规则，实现真正的“境内关外”，即区内企业经营自由。值得注意的是，政府管理服务的着力点将放在真正营造市场规范、标准制定、环境改善、公平竞争、诚信体系、知识产权、劳动者权益保护等现代市场经济发展环境。
区内法制保障亦将实现创新。政府将梳理现有法规体系，完善相关法律规范，依法办事，靠规则办事。其重点试点内容包括：停止实施有关法律规定、赋予自由贸易试验区一定立法权、制定相关领域法律规范等。
“不改革现有的管制框架，试验区的制度优势不可能体现出来。”一位民营企业家说，如今国家将从“顶层”强化对改革的法制保障，对企业来说是重大利好。
据新华社电
■ 解读
金融领域创新
设立外资银行和中外合资银行
根据总体方案，上海自贸区在金融领域有两项创新，一是在风险可控前提下，可在试验区内对人民币资本项目可兑换、金融市场利率市场化、人民币跨境使用等方面创造条件进行先行先试；二是支持在试验区内设立外资银行和中外合资银行，允许试验区内符合条件的中资银行开办离岸业务。
【解读】
中央财经大学银行研究中心主任郭田勇认为，自贸区的核心政策还应是促进贸易自由化，金融领域的改革试验都是为配合贸易领域开放的。
对于有观点认为在自贸区实行完全利率市场化及资本项目开放，可能会带来热钱的涌入，郭田勇认为，确实存在这样的风险。如果自贸区内银行利率完全放开，存款利率可能高于央行上限；同时资本项目放开，这些都会吸引国际、国内资本的大量流入，都有可能引发资本投机。
郭田勇建议，金融领域开放应按照跟贸易自由化相关性及风险高低而有序放开，相关性越高的越先放开，哪个领域风险低先放开哪个。
对于银行积极“抢滩”自贸区的行动，郭田勇表示，银行在自贸区开设分行，最直观的受益就是为企业提供的存贷款及国际贸易结算业务流量将会明显增大，但对银行的深层影响则仍有待时间检验。 新京报记者 沈玮青
投资领域
探索建立负面清单管理模式
总体方案规定，自贸区选择金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，暂停或取消投资者资质要求、股比限制、经营范围限制等准入限制措施。探索建立负面清单管理模式。
【解读】
“负面清单”是上海自贸试验区内一项典型的制度创新，它体现了在投资领域“非禁即入”的原则，即除了清单上规定不能干的，其他都可以干，且不再需要政府事前审批。
“负面清单”事实上是划清政府和市场的边界，明确政府需要管的事，而不是无限制伸手。试验区采用这种新的经济管理模式，与新一届政府强调的简政放权、职能转变在本质上一致。
采用“负面清单”制度后，政府的事前审批权力会弱化，事中、事后监管能力却需要强化。上海WTO事务咨询中心总裁王新奎说：“今后的方向是宽进严管，该放的权力放到位，该管的事坚决管好。”
商务部研究院研究员梅新育指出：“在微观层次实施‘负面清单管理’，意在搞活经济。在宏观层次则要注重风险防控，这一点决策者需要把握好。”为加强风险管控，未来政府在反垄断审查、金融审慎监管和劳动者权益保护等方面，还有很大的提升空间。据新华社电
功能转变
鼓励跨国公司建地区总部
总体方案中表示，自贸区内将鼓励跨国公司建立亚太地区总部，建立整合贸易、物流、结算等功能的营运中心。推动生物医药、软件信息、管理咨询、数据服务等外包业务发展。允许和支持各类融资租赁公司在试验区内设立项目子公司并开展境内外租赁服务。鼓励设立第三方检验鉴定机构，按照国际标准采信其检测结果。试点开展境内外高技术、高附加值的维修业务。加快培育跨境电子商务服务功能，试点建立与之相适应的海关监管、检验检疫、退税、跨境支付、物流等支撑系统。
【解读】
商务部国际贸易经济合作研究院国际市场研究部副主任白明昨日表示，由于上海自贸区范围并不大，土地仍是稀缺资源，因此首先吸引进驻的一定是单位产出能力较大的高端行业企业。从这个意义上来讲，服务贸易在自贸区内将有更大的发展机遇。而总体方案中提到的，均属于高端服务业。预计上述行业企业将在内贸区内充分发挥自身优势，带动区内服务业发展，提高企业竞争能力。
而对于货物贸易，白明认为，借助物流、金融、航运等领域的进一步开放，自贸区将不断提升上海作为长三角龙头的作用，辐射至长三角地区，为当地的制造业带来新的活力和发展契机，促进制造业转型升级。 新京报记者 沈玮青
开放服务
允许设立外商独资医疗机构
总体方案中表示，允许设立外商独资医疗机构。允许外资企业从事游戏游艺设备的生产和销售。允许设立外商独资的娱乐场所。
【解读】
中国人民大学医改研究中心主任王虎峰认为，作为试验区，允许、鼓励外商独资办医是具有积极意义的。政策放开之后，外商独资医院并不会占据医疗市场的主体地位，但对于建设完整的医疗服务体系能够成为补充。
他指出，从患者角度而言，外商独资医疗机构可能具备较好的技术优势，患者就医也能够多一种选择。但是，由于这类医疗机构的定位大多较高端，对于医改需要解决的“看病贵”问题，不一定会起到作用。 新京报记者 温薷
上海自贸区推进时间表
2013年7月3日
国务院常务会议原则通过《中国(上海)自由贸易试验区总体方案》。
8月22日
国务院正式批准设立中国（上海）自由贸易试验区。
8月30日
全国人大常委会决定上海自贸区内停止执行4部法律有关规定。
9月27日
国务院印发《中国（上海）自由贸易试验区总体方案》。
9月29日
上海自贸区将挂牌。同日上海市将公布自贸区首批改革政策细则。
香港新亚研究所：甚矣，吾衰也 早报记者 陈良飞 发自香港 发表于2013-09-27 08:49
1949年10月10日的晚上，香港九龙华南中学三楼一个小教室里坐了三十几个学生。教室里还有几个位置空着，是留给老师们的。桌上陈列着少许茶点，每人面前放着一只茶杯..
成立60年后陷停办危机
系钱穆创办
曾为海外文史哲研究重镇
钱穆所作新亚校歌手稿
1949年10月10日的晚上，香港九龙华南中学三楼一个小教室里坐了三十几个学生。教室里还有几个位置空着，是留给老师们的。桌上陈列着少许茶点，每人面前放着一只茶杯。
这些学生心绪不宁，满心忧虑。他们不少人刚只身从中国内地来到香港，身文分文，生活都已陷入困顿。
老师们来了。来者包括时年54岁的著名历史学家钱穆，他也是这所靠租借3个教室临时组建的学校的校长和主要创办者。除了钱穆，进来的还有经济学家张丕介、政治学者崔书琴、中国文学家刘尚义等，本来还包括当天未能出席的哲学家唐君毅。
没有音乐，没有唱歌，没有旗帜，没有任何仪式，简单得出人意料，一所学校就成立了。这所初名亚洲文商学院的学校只在该地存在了约半年时间，来年3月搬到了桂林街，并逐步成长为蜚声海内外的新亚书院。
1953年，新亚书院创办新亚研究所。1963年，香港政府选定新亚、崇基、联合三书院组建香港中文大学。1974年，受中文大学改制影响，新亚研究所脱离中文大学，在台湾教育行政部门注册立案。创立至今，新亚研究所走过一甲子，从初创时的“明星”师资阵容，到如今难以为继，被资助方台湾教育行政部门建议停办。曾经的中国文化的学术重镇，如孔子所言，“甚矣！吾衰也。”
“偶然的无中生有”
唐君毅常讲，新亚书院的创办是一个“偶然的无中生有”。
1949年4月，渡江战役在即。时任江南大学文学院院长的钱穆与江南大学同事唐君毅应广州华侨大学校长的邀请，赴广州讲学。到达广州不久，中国人民解放军即解放南京、上海等地，南京国民政府大部分机关迁往广州，组成“战时内阁”。
在广州期间，钱穆遇见了老朋友、浙江大学教授张其昀。张向钱表达了自己想到香港创办一所学校的意愿，已约谢幼伟、崔书琴等3人，并力邀钱穆加入。
钱穆接受了张的邀请，于1949年6月赴港，与已经抵港的谢幼伟、崔书琴等人共同筹办学校。不久之后，张、谢二人另谋他职，钱穆又邀请同来香港的唐君毅、张丕介等人加入，最终促成了新亚书院的创办。
新亚毕业生、著名文史学者余英时在《新亚精神与中国文化》一文中称，“1949年新亚书院的创建是历史的偶然，但同时也涵蕴了一种潜在的必然。”
在上海大学历史系教授陈勇看来，这一种潜在的必然是指这一批北来的学人具有强烈的忧患意识和文化担当意识，他们原本在内地从事教育工作，素有承传和弘扬中国文化的宏愿，来到香港，以香港作为传播和复兴中国文化的基地，希望中国文化能“在这块殖民地上灵根自植”。
草创时期的新亚书院确实如其校歌中所唱的那样“手空空，无一物”。改名后的新亚书院开学两个月后，其主要资助人王岳峰的企业受到致命打击，无法继续支持新亚，新亚随即陷入极度困难中。
新亚当时从学生中收取到的学费，只占书院总开支的两成不到，远不足够，只好如其总务长张丕介教授所形容的，仿效武训行乞办学的精神，四处张罗。曾亲眼目睹新亚创办全过程的徐复观在一篇回忆钱穆的文章中这样写道：“新亚书院之创立，盖有类于乞食团、托钵僧，创办者日则讲授奔走，夜则借宿于某一中学课室。俟其夜课毕，则拼桌椅以寝；晨光初动，又仓皇将桌椅复原位，以应其早课之需。”
只是到了1953年之后，美国雅礼协会、亚洲基金会和美国哈佛燕京学社纷纷支持新亚办学，香港各界也注意到了新亚的办学理想和宏愿，新亚才开始摆脱随时可能停办的命运，并逐步走上正轨。
创建研究所
早在创立新亚书院初期，钱穆等人就预想设立一个“旨在培养中国文史专才暨大学师资”的研究所。由于经济的困顿，这一计划直到新亚书院经济状况稍有好转的1953年才正式付诸实行。
据钱穆所著《新亚书院创办简史》记载，当时美国亚洲基金会愿意资助新亚书院，钱穆对该基金会香港代表艾维表示：“余意不仅在办一学校，实欲提倡新学术，培养新人才，以供他日还大陆之用。故今学校虽稍具雏形，余心极欲再办一研究所。此非好高骛远，实感迫切所需。”
艾维深以为然，并承诺“愿出力以待他日新机会之不断来临”。在亚洲基金会的帮助下，新亚研究所在九龙太子道租用了一层房屋，供“新亚及校外大学毕业后有志续求进修者数人之用”，一个研究所的雏形在1953年的秋天总算立起来了。
钱穆亲自兼任所长，参加研究的教授有余协中、张丕介、唐君毅三位。当年毕业的四名新亚学院学生先行入所，即余英时、余时杰、唐端正、列航飞。
亚洲基金会的支持时间非常短，其后不久，艾维离开香港后，资助就断了，但是新亚研究所并未停止运作。当时新亚所所招的研究生不需要经过考试，面谈即可，或留一至二年，或长留研究所，各人做各人的研究。
到1955年，美国哈佛燕京学社资助新亚研究所，新亚所才正式考试招生，开课授业，成为正式培养研究生之研究所。
中大改制，新亚所出走
1956年10月，由美国福特基金会捐款，香港政府拨地，新亚书院在九龙农圃道的新校舍落成。1959年，新亚书院已拥有8系1所，在校生500多名，办学成绩卓著，闻名全港。1963年，香港政府选定新亚、崇基、联合三书院组建香港中文大学，新亚书院成为中大当时的三个基本学院之一。
当时，新亚书院办学成绩优异，最被港英政府看重，在合并之前，新亚所提的各项条件，港英政府都予以接受。
在新亚书院所提的诸条件中，钱穆等人坚持新亚一定要办新亚研究所，也随书院一起进入中大，成为书院附属机构，经费列入预算。这一条件被负责谈判的港英政府代表团接受。
1970年，香港中文大学自行创办研究院，新亚研究所不再具有招收研究生的资格，改为招募研究助理学习员。
1972年6月，新亚书院沙田校舍相继竣工，到1973年7月，余英时自美国返港接任新亚书院校长职位后，书院师生正式由农圃道校区迁往沙田。
新亚学院校友、香港中文大学教育学院教授刘国强在《新亚书院简史》一文中这样写道，新亚与其他香港中文大学书院之间的接触和交流更加频繁，但同时也引发一些对于书院无法保持其教育理想及独立性的忧虑。
这一忧虑在1974年达到最高潮。当年2月，香港中文大学成立教育方针与大学组织工作小组，研究中大改制。工作小组其后陆续公布《初步报告书》和《总结报告书》，其主要内容是建议通过“学系整合”原则合并改组包括新亚在内的各基本书院，建议把财政、行政、招生、聘任等权力集中大学本部，“联邦制”名存实亡。由于这种安排可能破坏大学成员书院原有职能，新亚方面先后发表专文或声明予以反对，重审书院联合制度的重要性，争取保留成员书院作为独立个体。
不过，1976年12月，《香港中文大学法案》在香港立法局会议上获得通过，当时的9位新亚书院董事会成员一致认为此举严重损害大学主权及书院之教育优点，决定集体辞职作出抗议。
自1974年起，新亚研究所就已不再接受中大经费补助，中大也不再承认新亚研究所毕业生的学位。其后，新亚书院董事会决议，新亚所脱离中大，在台湾教育行政部门注册立案，并恢复独立招收硕士研究生。
自此，钱穆先生等人创办的新亚教育事业也“花开两朵，各表一枝”：一朵留在了香港中文大学，丧失了独立办学权限；一朵搬回了新亚农圃院老校区，重新起步。起码从管理权属上讲，这两个机构已经只是共用一个名称罢了。
1972届新亚所毕业生、今年8月31日卸任的新亚研究所所长廖伯源说，因为改制一事，时任院长和中大副校长的余英时夹在了中大校方和新亚老先生们之间，闹得很不愉快，做了两年院长就返回美国了。2003年6月，岭南大学历史系助理教授周爱灵曾赴美国访问过余英时，余英时回答说，他相信行政精简化能让新亚有更多的资源，在书院与社区整体中推广中华文化教育。
“对他来说，最重要的，是发展更多的资源能力去传扬中国知识文化研究，而不是去保存任何特别的教育形式。”周爱灵说，这也导致了新亚董事会与新一代领导者对书院传统的意见分歧。
廖伯源记得非常清楚，余英时曾在长达十几年的时间位列《新亚研究所概况》毕业生名录的第一名，后来余跟新亚所的工作人员要求把自己的名字去掉了。
1953年，余英时从新亚书院毕业后就进了刚刚筹办的新亚研究所做研究生。当时只有四个研究生，余英时后来得到了美国哈佛燕京学社的奖学金得以赴美留学，没有从新亚所毕业。
廖解释说，1973年至1975年，余英时回港担任新亚书院院长和香港中文大学副校长，因为中大改制的事情和新亚所闹得很不愉快，就有了将自己名字从毕业生名录中删掉之举，也可见这件事情对他的伤害至深。
从辉煌到危机
独立办学之初，新亚研究所师资阵容非常强大。1955年，新亚研究所正式招生时，初期导师由钱穆、唐君毅、牟润孙、潘重规等人担任，1962年，新亚所增设东南亚研究室，聘请东南亚史地学家陈荆和主持，之后又增加了严耕望、全汉升、牟宗三、徐复观等知名学者担任导师。
1974年独立办学时，钱穆已离港赴台，隐居台北，但其当初所聘之名师则多仍在新亚研究所，不少著名学者已经从香港中文大学退休，可以全身心地投入到新亚研究所的工作中来。廖伯源评价，唐君毅、牟宗三为20世纪中国哲学大师，其对中国哲学之诠释与论证，至今为学者所宗述，徐复观治先秦两汉思想史，鞭辟入里，论多原创，胜义纷陈，亦为大师，“此三先生皆当代新儒家之代表人物，新亚研究所更被学者视作其时当代新儒家之最大堡垒”。
除了唐、牟、徐三人，严耕望治中国政治制度史与历史地理，全汉升治经济史，皆为一时专业史家。潘重规是国学大师黄侃的女婿，传黄氏文字声韵训诂之学，又治敦煌学与红楼梦研究。这些新亚先师皆为当时其所治学科的执牛耳之人，因钱穆的聘请，先后集中于新亚研究所。
在1990年之前的30多年之中，新亚研究所一直为海外中国文史哲学术之重镇，也是港台新儒家弘扬中国文化的主要基地。
等到这些新亚先师纷纷故去后，新亚所慢慢陷入困顿。
1974年，新亚研究所退出中大之后，其学历已经不能得到香港政府的承认，只好在台湾的教育行政部门备案注册，台湾方面准许新亚所继续招收硕士研究生，每年给出的名额是24人。到1981年，台湾又批准新亚所每年招考5名博士研究生。与此同时，台湾方面每年也给新亚所提供一点资助，最多的一年达200多万港元。
1997年之后，这一资助逐年减少，到2003年民进党执政时期减为零，之后再也没有恢复。
近10年来，新亚研究所硕士研究生几乎没有招满过，好的时候八九人，2012年最少，只有两人，博士班每年都能招满。博士每年的学费是4.5万港元，连交两年，之后每个月交1000港元直至毕业。自2003年之后，新亚所每年亏损20万至30万港元，完全依靠新亚教育文化基金会补足才得以勉强维持。
2011年7月，刚从台湾“中央研究院”史语所退休的廖伯源就任新亚研究所所长。两个月之后，他回到台湾去拜会台湾教育行政部门“高教司”的正副司长。廖陈情说，“我们也不指望你们再资助我们，是否可以给我们多增加几个博士研究生的名额，我们多招一些学生，多收一些学费以自救。”
接待廖的司长没说话，副司长说：“现在你们这么困难，也招不到好学生了，你们要不要考虑停办呢？”副司长还叮嘱廖，“你们还不能马上停办，如果你们停办，要提前几年停止招生，等到所有学生都毕业了之后再停办，不能一下子停掉。”
自1974年独立办学起，新亚所的师资即以兼职为主，极少专职教师。廖伯源赴任前一个学年，新亚所一共开了22门课。廖认为，新亚所学生这么少，开这么多门课显然太多了，他就砍掉了一些课程，为了安抚授课老师的情绪，他也承诺和老师的兼课聘约可以签两年。实际上，每门课每周上一课，每次2个小时，老师们的钟点费每个月只有2000港元，每次课500港元不到，寒暑假就没有钟点费了。
这样的一番调整之后，新亚所的亏损从2010年至2011学年度的40多万元减少到了去年的15万港元。
办学经费还只是新亚所面临的困境之一。“一个学校最要命的还不是经济，关键是找不到好的学生。”廖伯源说，“我跟校友讲，如果有一天我们不招生了，但我们的学报正常出版，定期举办一些演讲，这样来表示我们研究所的存在。”
更迫在眉睫的问题是新亚所图书的保存问题。
1974年，新亚所与香港中文大学新亚书院分离时，原新亚书院图书馆所藏凡盖新亚研究所藏书章的书籍杂志，都随新亚所留在农圃道校区。根据李启文整理的《新亚研究所图书馆简介》，目前新亚所图书馆藏书总册数约13万册，以文、史、哲书籍为收藏重点，其中线装书5万余册，不少是馆藏珍本。
刘国强说，由于经费不足，图书馆的冷气很费电，也不常开了，这样藏书就要生蛀虫。刘指出，这是一个很大的问题，包括他在内的新亚所管理委员会近期就要解决这一困难。
在刘国强看来，要解决目前新亚所的困境，有两个办法：一、加大招生宣传；二、呼吁校友捐款。
不过，另外一个事实是，新亚所自1953年创办以来，一直以培养文史哲高级研究人才为最高志向，其毕业生大多也都从事人文学科的教育与科研工作，校友中经商致富者少，这是该所与其他大学毕业生大不相同的地方。
与之对应的是，香港中文大学新亚书院校园内的捐款墙上镌刻着长长的捐款者姓名及捐款数额，凡是捐款超过10000港元的人都能够留名其上。
60周年办不起一场像样的研讨会
2013年是新亚研究所成立60周年，新亚所却办不起一场稍微像样一点的学术研讨会了。
限于日渐紧促的经费，按照廖伯源最初的设想，就“北学南移”的题目，在本校演讲厅内举办若干场演讲及座谈会，讲员和听众均以新亚所校友为主，“一分钱都不用花”。
廖将他的想法与新亚校友和学界同仁沟通，台湾“中央大学”中文系和香港树仁大学表达了合办研讨会的意向。按照三方的约定，“中央大学”负责资助该校中文系和哲学系十余位来港参加学术会议学者的旅费和住宿费，并负责打印与会者递交的论文费用；树仁大学提供会议场地和外地学者的住宿客房。
新亚研究所则负责出版上、下两册《新亚学报》年刊，作为60周年纪念特刊。廖伯源说，《新亚学报》之前每年出版一本，大概需要5万港元，今年出了上、下两册，使得新亚所今年的亏损可能要从去年的15万港元升至20万港元左右。
在多方努力之下，经过一年半时间的筹备，一场数十位人文学者参加的学术研讨会终于在今年8月底成功举办，与会学者均自行担负来港旅费。
华中科技大学哲学系青年学者廖晓炜博士也参加了这场纪念新亚所60周年的学术研讨会。面对众多新亚校友，廖晓炜说，自1980年代末开始，中国内地年轻的人文学者已经在广泛阅读钱、唐、牟、徐等新亚先师们的著作，现在他们的书在内地也卖得非常好。
在纪念新亚创校30周年时，做过新亚书院院长的金耀基曾深情并茂地发表演讲说：“新亚不是一间普通的学校，她是一间有崇高的教育理想与文化意识的学府。新亚是由一批具有忧患意识的学人，在忧患的时代中建立起来的。忧患意识不止是由当时风雨交集的困乏而来，而毋宁是由一种要对中国和人类文化加以承载的责任感而来。……事实上，新亚成长的历史，就是她的理想越来越受到更多人欣赏接受的历史。”
（本文写作参考了周爱灵《花果飘零：冷战时期殖民地的新亚书院》、苏庆彬《七十杂忆：从香港沦陷到新亚书院的岁月》、陈勇《钱穆与港台新儒家交往述略》等著作或论文，并感谢新亚研究所同仁廖伯源、刘国强、吴明等老师接受采访并提供资料。）
录入编辑：王卉
舆情分析不能“替代”领导上网 2013-09-28 02:30:38 新京报
访谈嘉宾：单学刚 人民网舆情监测室副秘书长，《网路舆情》副总编辑
定义 把“原始舆情”制作成“信息成品”
新京报：“网络舆情分析师”到底是一个什么职业？
单学刚：网络舆情分析师就是要从复杂的网络舆情中看出“门道”，具体说，从网上及时发现舆情话题或热点，通过对舆情样本进行科学的收集、抽样、统计、汇总、分析，准确把握舆情现状，并在此基础上对其发展走势做出预测，提出应对与处置的意见和建议。
新京报：应该说“网络舆情”是一个难以界定的概念，能职业化处理吗？
单学刚：近年来，网络舆情发展十分迅猛，尤其是随着社交媒体和移动终端的发展，信息传播速度越来越快速，网民参与讨论的规模也日臻扩大，这就导致网络舆情信息的总体容量越来越大。所以，单单依靠我们个人传统的上网方式，是很难完全及时有效地发现舆情、了解舆情全貌的，舆情分析职业化的推出也就顺水推舟，应运而生。
舆情分析师就是把原汁原味的舆情样本加工成信息成品，供直接参考和利用。
新京报：网络舆情分析师的工作特点是什么？
单学刚：舆情分析就是从网上找线索，找信息，然后进行加工。所以，首先是快速，网络信息传播速度很快，分析师不能跟不上节奏。其次要准确，网上信息很庞杂，必须眼光独到，在网上找到的是最有价值和代表性的舆情样本，这是很大的一个难点。最后是专业，包括怎样去分析、研判，怎么提出科学的应对和处置方法，要有理论基础和实践检验。
新京报：具体工作流程怎样？
单学刚：简单地说，要追踪所服务部门的网络舆情态势，比如说发现最近的舆情热点，通过科学的抽样分析总结出其中趋势规律，进行文字描述，并辅以图表，提出意见，从而生成舆情简报，同时通过各种方式进行预警和汇报。
新京报：举例子说明。
单学刚：舆情工作是舆情分析师从事的日常工作，这样的例子很多。举一个最简单的例子，每年“两会”期间，我们都要做“两会”舆情热点分析解读，首先会从网民反映的舆情热点作为舆情报告的选题，经过监测室舆情分析师和专家共同论证通过后，舆情分析师开始就该选题的关键词，在网上各大互动社区做言论抽样，在数理分析工具中进行聚类，找出对话题或支持或反对的代表性观点，统计出各观点在总体观点中的比例，制作图表。
同时进行的工作还包括通过搜索引擎和关键词检索，梳理话题在互联网上的热度趋势变化。
最后在整理文案中，对这些结果进行整理和进一步研究，揭示规律性特征，找出网上主流意见，对舆情进行点评，提出舆情应对的策略建议。
标准 客观还原网络上意见和矛盾构成
新京报：按照你的介绍，是不是意味着很难有统一标准来衡量？
单学刚：舆情分析的确是一个比较复杂的事情，它不像自然科学有一样的客观的定律，不同地域、不同行业，甚至同一部门不同时期面对的舆情环境都是不同的，社会矛盾、突发事件、恶意煽动、个人情绪也都可能改变和影响舆情走势。
新京报：你认为专业的网络舆情分析师需要具备哪些条件？
单学刚：一方面，应该熟悉网络环境，懂得网络传播规律，了解社会、尤其是网民的心态，具备宽广的视野和丰富的知识面，熟悉党政机构、企业和媒体的运行机制。
另一方面，应该有很好的逻辑思维，以及数理统计、写作和制作图表等方面的能力，这些方面都是网络舆情分析师必须具备的素质。
当然，做一切工作都离不开严谨、科学的态度，舆情分析尤其需要客观公正、认真细致，不能在工作中投机取巧，编造数据，也不要把个人感情和好恶带到分析中，要尊重事实，客观地还原网络上真实的意见构成和矛盾构成。
新京报：具体来说，网络分析师的标准是什么？怎么认定一个人是否合格？
单学刚：舆情分析师所需要的五大基础技能，即网络言论的挖掘收集、概括剖析、抽样统计、报告写作、走势预测等。
因为，这些基本功是舆情分析师最重要的工作素质。舆情偏重于对网络信息的收集、挖掘、聚类、归纳、判断和推理等分析能力。从助理级舆情分析师开始，必须熟悉网络舆情抽样、统计和分析工具模型，搜索关键词设置技巧，培养对社会心理、“刻板印象”与网络语言文化的敏锐感，能够准确地对网络舆情走势进行预测，及时发现舆情热点和拐点，尤其是创造性地提出科学合理的应对建议，这样才能极大地提高舆情报告的价值。
新京报：据我所知，人社部的职业资格考试，科目考试大多分两类，一个是理论方法，一个是案例解析。网络舆情分析师是否也是如此？
单学刚：教学中也把理论方法和案例解析结合在一起，只不过舆情分析是个新兴行业，大家都还在摸索，没有太多经典的学术理论作为基础，而且舆情分析师侧重于实操，而不是研究，所以我们这里说的理论方法，更多的是实际工作中总结出来的方法。
我们设置了《舆情分析和研判方法》、《舆情危机处置与应对》、《网络舆论生态分析》等理论方法课，所用的理论方法框架更多是我们这个团队多年来实践中总结、提炼出来的，也是在无数实操过程中考验过的，行之有效的。
分析 “服务领导”和“反映民意”不矛盾
新京报：据悉，舆情分析师之前是部分单位的工作岗位，现在演变为一种全国性的职业，原因是什么？
单学刚：最主要原因还是基于网络舆情发展的客观现状。之前，网络舆情分析更多的是学术和新闻媒体面向全社会的公共研究，配备专业舆情工作人员的机构很少，而且多数也没有经过系统科学的训练。
现在，各种自媒体的发展让网络舆情呈几何级数的发展，各级党政机关和企事业单位都面临着舆情的压力和挑战，这在某种意义上讲也就在“倒逼”相关机构都越来越需要专业的舆情信息服务和高端咨询工作。
但是，这种需求单单靠专业的第三方机构的辅助不可能完全实现，舆情服务行业发展再快也不可能满足所有单位的需求，所以这要求各个党政机关和企事业单位培养自己的网络舆情分析人员，能够处理基础的舆情工作，应对一般的舆情危机。
所以，可以说，网络舆情分析师岗位的发展和定位转化完全是社会发展催生的。
新京报：公益性分析和服务性定位的区别还是很大的，网络舆情分析师的职业标准该如何界定？
单学刚：网络舆情分析师职业的核心标准是客观、真实、准确、专业地分析研判舆情，就是把真实的信息和规律挖掘出来，以供参考和利用。所以，不论是公益性的，还是服务性的舆情分析工作，其客观上就是在汇聚网络民意。
因而，只要坚持核心标准，把民意客观、真实地呈现出来，舆情分析师实际上就是在政府、企业和网民之间架起了一座桥梁，那么，为部门领导服务和为民意服务，就不是矛盾的关系，而是和谐统一的了。
新京报：有句话叫做拿人钱财替人消灾，二者很难不发生矛盾，我看到有人在质疑网络舆情分析师在为谁说话。
单学刚：假如网络上海量的舆情信息没有人去及时搜集、分析，很多就会石沉大海，民众的很多诉求和愿望就没法实现，民众的智慧也无法被吸收。网络舆情分析师正是在“大浪淘沙”，找出舆情的价值，这本身对党政机关的“问计于民、问需于民”和民众的表达参与都是有积极意义的。
网络舆情分析师提供的是一种高端信息咨询服务，服务是有对象的，但是，只要坚持刚才提到的标准和原则，不管为谁服务，做出来的东西都应该是一样客观的，本身不掺杂主观立场，也不存在为谁说话的问题，更不是所谓“水军”。
走向 要能看出“舆情”的趋势
新京报：我注意到，不少媒体报道时都采用了“替领导读网”的说法，你怎么看？
单学刚：这实际上是我描述了舆情分析师工作之后的一个简单的概括，所以对它的理解应该建立在全面描述的基础之上，不能只看字面。
我们也说过“帮领导读网”，“读网”也好，“看网”也罢，都不是一个简单的动作，俗话说“外行看热闹，内行看门道”，网络舆情分析师看的是什么呢？他看的“门道”，要看出规律、走势和价值，网络舆情分析师绝不是会上网就能做的工作。
新京报：但是能“替代”领导上网吗？
单学刚：当然不可能替代，更多的是“辅助作用”。“领导”这个词汇有很丰富的内涵，政府有领导，企业也有领导，一个团体也都有领导，不能把“领导”单纯理解为党政领导干部，而且领导还有不同层级，主要领导、分管领导、部门领导、基层领导，其外延也不是一个人，可以涵盖到领导班子、领导集体，实际上就是代表决策者和管理者。决策者和管理者需要各种各样的信息，比如宏观经济的数据、社会发展的数据，现在也需要舆情分析的数据，这同样具有很重要的参考价值。
新京报：“替领导读网”与领导自己看网，最大的区别在哪里？
单学刚：两者并不矛盾，比如一个人自己会做饭，但他也会经常去饭店，也需要专业厨师。社会需要分工，领导自己看网是必须的，现在这个时代要求领导一定要会上网，能在网上了解一些民意，甚至能跟网民对话。
但是，领导毕竟不可能所有的时间都用来上网，或者随时随地都能上网，领导上网必然有他的局限性。互联网舆情信息十分庞杂，单单指望领导个人去掌握所有网络信息是不现实的。领导即使看网，也往往只能看一些表面的资讯和意见，很难有时间去收集、分析、汇总、加工网络信息，毕竟领导做的主要是决策的工作，不能指望一位指挥作战的将军自己去收集所有的军事情报吧。
网络舆情分析师恰恰弥补了领导的不足，他以更多的时间和精力，更专业的技术和角度，帮领导分析汇集网络信息，提供决策参考。因而，从本质上讲，这两者是不矛盾的。
新京报：网络舆情分析师服务的对象不是普通民众，而是不同单位的领导，可否这样理解？
单学刚：网络舆情分析师可以服务于所有的机构和人，包括名人、明星，但需求最大的还是党政机关和企业的领导，因为只有决策者，才能利用好这些信息，解决相应的问题。比如，一个网民发言反映诉求，肯定是希望被相关机构和领导看到，使得问题得以解决。当然，在高校、媒体等机构也有不少从事非特定服务类舆情研判的分析师，他们主要研究公众关心的社会热点、重大事件，服务对象更多的就是全社会了，所有感兴趣的、有用处的人都可以关注其成果。
新京报：现在有一种观点认为舆情分析就是帮一些政府部门控制网络舆论，是这样吗？
单学刚：所谓控制网络舆论，恐怕已经超出了网络舆情分析师的工作范围了。网络舆情分析师提供的是一种高端的信息服务，主要是信息收集、分析，当然，舆情分析师需要建言献策，提供科学的应对参考意见和建议，但会不会被采纳，以至于最终怎么决策，这个就不是网络舆情分析师所能决定的了。
网络删帖，控制网络舆论的现象在现实中的确存在，这个说明现在不少领导对网络的认识还没有到位，遇到舆情危机，只会采取简单粗暴的方式，这需要进一步加强他们的媒介素养，强化他们对舆论危机的处理的正确认识。这就是另一个问题了，不是单靠舆情分析师可以解决的。
新京报时事访谈员 高明勇
实习生 黎明
舆情分析：回归专业才是正道
@张泉灵（央视主播）：最近给一些部门讲媒体关系、舆情应对时，发现好多真正做决策的领导自己不上网，只看下面送来的舆情报告。而下面送来的报告一没科学数据分析，二没专业人士，还停留在几个人摘抄的境界。领导根据这个做判断下决定。我真是替你们着急。你们蒙上眼靠别人摸石头过太平洋呢，把自己当鉴真了。
“舆情内参”应运而生
无论是舆情项目委托，还是开设舆情局，甚至让舆情分析师成为一种职业，不管怎样，都算是中国社会开放进步的一个标志，是相关部门在民意面前的主动调整。
舆情监测分析并不是一个新鲜事物。古代的邸报算是今日舆情监控的鼻祖了。进入现代社会，西方国家发展出了商业性的和政府下属的情报监测分析机构，既为商业服务，也为政治服务，无论是商业性公司还是政府下属机构，都强调专业性服务，政府也常向商业性公司定向委托研究项目。
在中国，由于社会还不够开放，商业性公司的分析服务此前几乎没有任何发展，直到很晚才有了一些商业调查机构、民意调查机构等，在市场中摸爬滚打，他们逐渐积累起了自己的专业声誉。
至于政府部门，则由业务司局，以及设置政策法规司，通过所谓调研来了解行业信息。历史和现状都已经说明，政府部门自己展开的业务考察和调研，虽然花费不少，但不少是走马观花，表面文章，发现真问题少。
作为把信息传播当成首要任务的媒体，则也存在许多难题，一些信息公开与否，并不取决于媒体的专业判断和职业伦理。至于中央及省级媒体，则在公开报道之外，往往通过特定的所谓“内参”系统，向上反映一些没有见诸公开报道的信息，供领导参阅，也奠定了内参以及这些媒体在中国社会的独特地位。
中国早已进入网络时代，但许多决策者并不了解网络舆情，面对海量信息确实也存在无从了解的问题，所以，依托舆情分析做决策，也应是一种潮流。
与“舆情分析师”成为职业相关联的，是各地大小机关企事业单位，都纷纷开设舆情监测室、舆情局。不查不知道，一查吓一跳，那么多机关企事业单位都把舆情监测作为内设机构了。这多少也表明，这些机构对网络舆情的重视程度。
此前，许多大学的新闻院系，几乎都有舆情监测项目，从相关党政部门申请专项课题经费，受托做舆情监控分析，生意兴隆。
面对网络时代的众声嘈杂，相关单位无论是舆情项目委托，还是开设舆情局，甚至让舆情分析师成为一种职业，不管怎样，都算是中国社会开放进步的一个标志，是相关部门在民意面前的主动调整。
“舆论分析”如何免于歧途
一些专为了解舆情而设的机构，事实上真正的功能不是舆情评估分析，而是对涉及本行业本部门工作的信息和舆论的监控，监控是否有负面信息和舆论传播。
舆情分析在中国已经成为一门好生意，但是它正走在歧路上。潮流之中，泥沙俱下自是难免。
了解业务信息行业动态，跟踪收集公众对政府政策和政府行为的各种舆论，本是那些政府机构企事业单位业务部门的本职工作，当下却有一些舆情部门，不仅在职能上与原有内设机构重叠，在人力与财力上平添了一种负担。这种机构设置，实质上是一种变相的跑马圈地式的权力扩张，也使内部分工职责不清晰。
因为，舆情分析对专业性要求特别高。它要求业者有传播学、社会学、心理学、社会心理学、统计学等等许多专业基础知识。没有这些专业训练，便不可能有真正的舆情分析。
但是，这些人才到处都欠缺，遑论新起的舆情分析。所以，这个行业缺乏基本的人力储备。这种人才不是简单的职业培训就能解决满足的，这个行业不是机械修理，不是与机器设备打交道，不是与流水线打交道，每天被观测监控的信息舆论背后，是活生生的人，是与人打交道。这种格局下，其评估效果也就可想而知了。而决策者若是依据这样的评估做决策，难免会出现大问题。
更有甚者，一些舆情部门既缺乏专业水准，又缺乏职业道德，为凸显部门存在的价值，利用领导不上网，少上网，不了解具体情况，网上一有风吹草动，便肆意摘编，胡乱猜测，夸大事实，强给他人戴帽子，制造紧张空气，唯恐天下不乱。既误导决策，陷领导于不义，使领导和机构清誉受损，又引发社会对抗情绪，加大社会成本。这样的舆情报告分析，也并不鲜见。
就目前观测到的情况而言，这些专为了解舆情而设的机构，事实上真正的功能不是舆情评估分析，而是对涉及本行业本部门工作的信息和舆论的监控，监控是否有负面信息和舆论传播。一旦发现，立即上报，同时捂盖子，公关灭火，各种手段齐上，而不是分析这些信息舆情背后的问题所在。结果是原有的问题不仅没有解决，反而衍生出更多的问题来。这是懒政思维，害人害己。
也就是说，舆情分析对于政府决策起着至关重要的作用，专业的舆情分析，会让决策走向科学，提升决策的质量，反之，非专业的舆情分析，不仅无助于决策的科学性，还可能让决策者陷入被动境地，让舆情更为复杂，从而也就丧失了舆情分析的本意。
□朱学东（媒体人）
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东方早报《海与光：中国（上海）自由贸易试验区创建报告》特别报道组
特邀解读：任新建
■ 一、民资外资可合组银行，适时设立有限牌照银行
【开放措施】（1）允许符合条件的外资金融机构设立外资银行，以及符合条件的民营资本与外资金融机构共同设立中外合资银行；在条件具备时，适时在试验区内试点设立有限牌照银行。
【解读】 根据入世承诺，中国已于2006年取消所有对外资银行的所有权、经营权的设立形式，包括所有制的限制，允许外资银行向中国客户提供人民币业务服务，给予外资行国民待遇。在华外资银行须注册为国内法人银行，才能申请全面经营人民币零售业务。此次允许符合条件的外资金融机构设立外资银行，在政策突破上并不大，可能对外资银行设立条件或开展人民币零售业务有一定程度放宽。但更为关键的是，在试验区内外汇管制基本放开的背景下，区内银行不仅可以经营人民币业务，同时也可以直接开展外币有关业务，这将对中国银行国际化经营带来明显促进作用。政策首次提出允许民营资本可与外资金融机构成立合资银行，这必将对民营资本进入金融业起到有力推动作用。虽然今年7月国务院发布的“金融十条”明确提出“鼓励民间资本投资入股金融机构和参与金融机构重组改造”，但目前民营资本进入金融业还存在许多隐形障碍和门槛。而以中外合资、区内试验的形式扩大民间资本在银行业的准入，不失为一个有效路径。政策首次提出允许设立有限牌照银行。根据英国、中国香港规定，银行类机构根据风险不同实行三类牌照：全牌照银行（即吸储类机构）、有限牌照银行（即非吸储类机构）和自有资金放贷机构（如小额贷款公司等）。允许在自贸区内设立有限牌照银行，一方面可以为中国探索推进银行业分类监管提供重要经验，另一方面也有助于吸引大量非吸储类外资金融机构落户试验区。
【新闻】 东亚银行近日透露，正在积极争取布局上海自贸区。渣打银行亦透露了类似的计划。 “由于细则没出，监管层政策走向还看不清，我们其实准备了四套在自贸区布局的方案，哪条路走得通就走哪一条。”一外资法人银行内部人士透露，出于商业考量，其自身更倾向采取先设支行、在经营稳健后逐步升格分行的路径“突围”自贸区。截至目前，鉴于新设机构的指标控制和总部对于盈利的考核，尚未有一家外资行在自贸区内布有网点。值得一提的是，监管层初步明确一个原则——所有银行在自贸区设立机构将不受到指标控制。 这相对于现行监管制度是突破。 “只要银行愿意设机构，就可以设，没有指标的概念。”一位知情人士透露，在自贸区内新设机构的范畴包括分行、二级分行、子行，甚至是法人银行。
【开放措施】（2）在完善相关管理办法，加强有效监管的前提下，允许试验区内符合条件的中资银行开办离岸业务。
【解读】 目前中国已允许部分银行开展离岸业务，业务范围包括外汇存款、外汇贷款、国际结算、同业拆借、外汇担保、外汇买卖、咨询顾问等，业务对象为非居民，经营比重为可自由兑换货币。离岸业务的特点是“内外分离，两头在外”，离岸账户为在境外注册的出口企业带来三大便利：一是不受外汇管制，在境外可自由调拨资金；二是存款利率、品种不受境内监管限制；三是免征存款利息税。早在2005年，国家外管局就在浦东推进跨国公司外汇资金管理方式改革，其中就包括“允许在浦东设立财务中心或资金中心的跨国公司地区总部，在境内银行开设离岸账户，用于集中管理境外成员公司的外汇资金和境内成员公司经外汇管理局批准用于境外放款的外汇资金”。此次允许试验区内中资银行开展离岸业务，有助于满足试验区挂牌运作后大量机构的离岸业务需求；同时也有助于吸引更多的跨国公司资金中心、财务中心、结算中心等落户试验区。此外，此举也对加强试验区内中资银行离岸业务的管理和监管提出了要求。
【新闻】 目前已有多家银行宣布将在上海自贸区设分行。而综合各家银行开设自贸区分行的方案，多数银行的思路正是将自贸区分行、支行视同为离岸金融区的一个分支机构，其使用的系统则或被建成一套与银行境内分支机构风险隔离的系统。 “类似境外分支机构使用的系统。”一正在发起设立自贸区分行的银行人士透露。据多位银行业内人士透露，自贸区分行的定位将是一个全功能的分行，涵盖信贷、发债、离岸业务、跨境投资并购，以及财富管理等业务。 另一业内人士透露，自贸区分行还将承担跨境人民币业务创新、开发离岸人民币产品等职能。与外界理解的自贸区分行将在功能上削弱香港、新加坡等境外分行不同，多位银行业内人士指出，“功能与境外的分支机构相当，但在未来会与境外机构有更多联动，提供跨境人民币贸易、投资服务。” 据了解，自贸区分行的业务范围与现行中国境内4家银行拿到的离岸业务牌照不同。银监部门此前批的4家境内银行的离岸业务牌照只能从事外币业务，而自贸区分行除可办理美元等外币业务，还可办理人民币业务。自贸区内企业开设的账户或视同境外账户管理。
■ 二、试点设立外资专业健康险机构
【开放措施】试点设立外资专业健康医疗保险机构。
【解读】随着国人富裕程度的提高和老龄化社会的加快到来，专业医疗保险的市场需求正在迅速上升。根据欧洲最大健康险公司DKV的统计数据预测，中国健康险保费每年以15%-20%的速度增长，预计到2015年将达到1200亿元，远超过全球健康险6%的增长水平。众多外资保险机构都将目光瞄向中国医疗健康险这一巨大市场，瑞士再保险、美国WellPoint先后成立医疗第三方管理公司（TPA），慕尼黑再保险旗下DKV公司也参股了中国人保健康险。在试验区内试点设立外资专业健康医疗保险机构，有助于更好地发挥外资保险机构的品牌、运作、产品设计等优势。同时，这一试点被限制在试验区内，也避免了对内资保险机构业务产生较大冲击。
■ 三、取消单机单船融资租赁公司注册门槛
【开放措施】（1）融资租赁公司在试验区内设立的单机、单船子公司不设最低注册资本限制。
【解读】 中国是全球飞机船舶消费大国，全球每年新生产的飞机约10%销往中国市场，每年新造船合同金额的约30%在中国，但由于国内融资租赁市场不发达，中国航空租赁市场90%的份额被外资租赁公司占据，航运市场也为外资租赁公司所垄断。2010年2月，银监会对保税区开展单机单船融资租赁业务在政策上放开；同年6月，上海综合保税区获批开展单机单船融资租赁业务。此次放宽试验区内单机单船租赁公司最低注册资本限制，有助于推动更多单机单船项目公司成立，逐步改变中国飞机船舶租赁长期为外资所垄断的现状，促进中国融资租赁业务的快速发展。
【开放措施】（2）允许融资租赁公司兼营与主营业务有关的商业保理业务。
【解读】允许融资租赁公司开展商业保理业务，顺应了融资租赁公司的客观需求，有助于融资租赁公司业务的多元化发展。
【新闻】交通银行9月26日宣布，根据上海自贸区的方案和政策，交行将通过将现有机构升级的方式在自贸区内设立专业机构。交行旗下交银金融租赁已经提交了设立上海自贸区子公司的申请。据了解，由于自贸区内针对金融租赁行业的政策开放度高于市场预期，交行将通过其子公司交银租赁获取自贸区内机船类专业金融租赁牌照。有别于此前综合类的租赁牌照，交行意欲在飞机、轮船租赁业务的专业性方面能有所作为。交行资产托管部总经理阮红表示，自贸区会配套有国际竞争力的外管、税收、海关方面政策，在区外金融租赁公司无法享受。特别对于交银租赁要做经营性的境外机船租赁业务而言，通过区内经营，会提高公司在航空航运金融租赁市场的竞争力。其次，阮红指出，目前交银租赁在境外要设置一系列项目公司，受到了监管限制，不能直接由境内租赁公司出面去设立。而自贸区内的子公司将突破制度瓶颈，自贸区内会实行国际通行的“境内-关外”政策。她还表示，国内的机船租赁现状还比较零散，将来可以整合到自贸区公司平台之下进行统一管理。自贸区的金融开放政策，券商的机会虽然并不是太大，但亦有大型证券公司在寻找切入点。海通证券9月26日宣布，将收购TPG旗下的恒信金融集团。恒信金融集团旗下核心融资租赁公司为恒信金融租赁有限公司。恒信金融集团旗下还拥有恒运和泛圆两家公司，主业分别是重型卡车租赁和贸易融资。海通和恒信金融租赁注册地均为上海。
■ 四、放宽船舶运输企业外资股比限制，先行先试沿海捎带业务
【开放措施】（1）放宽中外合资、中外合作国际船舶运输企业的外资股比限制，由国务院交通运输主管部门制定相关管理试行办法。
【解读】 根据中国有关法律规定，设立中外合资、中外合作企业经营国际船舶运输企业，外商的出资比例不得超过49%。此次取消外资股比限制，意味着外资可以实现控股，便于更好地运用其国际化的经营管理能力开展国际船舶运输业务，有助于提振中国国际船运市场。
【开放措施】（2）允许中资公司拥有或控股拥有的非五星旗船，先行先试外贸进出口集装箱在国内沿海港口和上海港之间的沿海捎带业务。
【解读】为降低成本，目前中国有过半的中资船舶注册在境外，挂巴拿马、中国香港、新加坡等境外方便旗开展国际运输。根据中国法律规定，方便旗船虽然为中资拥有或控股，但属于外国籍船舶，因而不能在中国境内开展沿海捎带业务。此次放开政策限制，将有助于方便旗船在国内沿海港口和上海港之间沿海捎带业务的开展，促进境外中转的集装箱到上海中转，增加上海港水水中转流量，进一步提高上海港的国际地位。
【新闻】上海海事局一位权威人士告诉早报记者，为配合上海自由贸易试验区建设，上海将推国际船舶登记制度，并将适应形势需要研究多项监管措施。 “目前，中远集团、中海集团等中国大型航运企业已经准备将其船舶在上海自贸区内注册，回挂五星旗。”上述人士透露。据了解，目前，大的国际船舶运输企业，真正注册在中国的并不多。因为这些公司都是看注册的方便度和税收的问题，哪里方便、哪里税收低，就注册在哪里。即便是中远集团、中海集团等国内大型船运公司，也把一些公司注册在香港或者海外。 “航运企业放开外资股比例之后，应该会有更多的航运公司选择在上海自贸区注册。”一位航运人士如是说。对于自贸区给物流业带来的影响，一位物流业人士认为，虽然自贸区内货物的中转量会增加，但是上海自贸区从启动到发展，还需要一个过程。 “目前不会对整个物流行业产生太大影响，对仓储物流和海运的影响更为明显些。”上述人士在接受早报记者采访时说。
■ 五、允许设立外商独资国际船舶管理企业
【开放措施】允许设立外商独资国际船舶管理企业。
【解读】国际船舶管理企业是航运业中属于较新的业态。按照中国《外商投资国际海运业管理规定》，允许外商以中外合资、中外合作形式经营国际船舶管理业务，尚不允许设立外商独资国际船舶管理企业。目前，中国香港、英国伦敦、冰岛等是世界公认的国际船舶管理业中心。此次政策允许外商独资设立国际船舶管理企业，有助于推动中国船舶国际企业专业化、独立化、国际化发展，有助于上海吸引更多国际船舶管理企业落户、加快建设国际船舶管理业中心。
■ 六、外资可经营特定形式增值电信业务
【开放措施】在保障网络信息安全的前提下，允许外资企业经营特定形式的部分增值电信业务，如涉及突破行政法规，须国务院批准同意。
【解读】 逐步开放电信增值业务是中国加入WTO的承诺之一。但由于电信增值业务一向属于敏感领域，工信部此前对外商投资增值电信业务属于从严管理，且要求持股比例不得超过50%。随着中国电信市场的持续发展和行业成熟度不断提高，电信增值业务扩大开放已较为可行。2012年，工信部发布《关于鼓励和引导民间资本进一步进入电信业的实施意见》，明确鼓励民间资本开展增值电信业务。此次允许外资企业经营增值电信业务，标志着中国进一步放宽外商进入增值电信业务领域。中国电信企业也将在试验区内直面来自外资独资或控股电信增值业务企业的竞争。同时，由于电信业务的敏感性，此次政策对开放电信增值业务的具体形式和内容作了规定，部分业务开放许可需要得到国务院层面批准。
【新闻】 早报记者近日从消息人士处获悉，上海自贸区电信业务开放幅度可能会超过CEPA（《关于建立更紧密经贸关系安排》）有关规定的电信业务范围，有些新业务会对外资开放，并可能允许外商设立独资公司。 “WTO（世界贸易组织）原本规定对外开放的电信业务都是非常传统的，自贸区诸多新电信增值业务会被纳入。”上述消息人士说。外资电信企业可能对在自贸区设立IDC（数据中心）、ISP（互联网服务提供商）有兴趣。据悉，目前已经有企业对自贸区开展电信业务表现出兴趣，并在积极准备。 另据新华社报道，中国（上海）自由贸易试验区管委会相关人士9月27日晚间表示，自贸区内“互联网将依法管理，没有特殊”。
■ 七、外资销售游戏机禁令解除
【开放措施】允许外资企业从事游戏游艺设备的生产和销售，通过文化主管部门内容审查的游戏游艺设备可面向国内市场销售。
【解读】目前，国外游戏游艺设备必须通过中国代理商才能顺利进入中国，这极大限制了境外游戏游艺设备巨头在华业务的拓展，也使得国内的盗版游戏盛行。此次允许外资企业在试验区内开展游戏游艺设备的生产和销售，并可将经过审查的游戏游艺设备直接向国内销售，将加快PlayStation、任天堂等游戏游艺设备企业进入国内市场，促进一批优质游戏游艺设备龙头企业的崛起。
【新闻】 百视通（600637）日前发布公告，宣布将和微软在自贸区设立从事游戏业务的合资公司，双方致力于打造基于游戏的“新一代家庭游戏娱乐产品”和“家庭娱乐中心服务”。按照境内现行的相关政策（2000年6月发布的《关于开展电子游戏经营场所专项治理的意见》），有关部门禁止外资游戏设备企业在中国市场销售产品。有知情人士向早报记者透露，百视通一直在为自己的平台寻找游戏内容，本次联手微软通过自贸区开放政策引入其关键技术，未来可能推出新品牌的游戏机，在国内销售。而也有传闻称，由微软提供Xbox技术、百视通提供OTT牌照和资源，双方将共同推出的产品初步命名为“BestPad”，但是“BestPad”与Xbox不完全相同，可能是一个能玩游戏的机顶盒。百视通是上海东方传媒集团控股的新媒体公司，是国内最大的IPTV电视运营商。微软位列全球三大电视机游戏巨头之一。
■ 八、探索中外律所业务合作新机制
【开放措施】探索密切中国律师事务所和外国（港澳台地区）律师事务所业务合作的方式和机制。
【解读】1992年，司法部、国家工商行政管理总局联合发布了《关于外国律师事务所在中国境内设立办事处的暂行规定》，首次允许外国律师在中国设立外国律师事务所的办事机构。2001年12月中国入世之后，国务院颁布《外国律师事务所驻华代表机构管理条例》。2003年，中国开始逐步取消外国律所只能设立一个驻华代表处的限制，并取消了开办城市的限制。随着贸易、金融和投资的全球化，外国律师逐渐成为中国内地法律服务市场的参与主体。一些知名外国律师事务所如佳利、瑞生、博坎、思瑞、美邦等也相继进入中国，在上海、北京等地开设办事处，按照管理条例规定提供有关法律服务。外国律师事务所带来的先进服务理念、涉外法律服务水平、高水平律师人才培养等，从整体上促进了国内律师事务所水平的提升。此次鼓励中国律师事务所和外国（港澳台地区）律师事务所进一步密切合作关系，有助于学习借鉴外国律师事务所的国际化长处，不断提高中国律师事务所的管理水平、法律服务水平和高端人才培养能力，提高中国律师事务所的市场竞争力。
■ 九、允许设立外商投资资信调查公司
【开放措施】允许设立外商投资资信调查公司。
【解读】资信调查是现代市场经济发展到一定阶段的必然要求，它是以一定的调研技术（包括调查技术、财务技术等）和专业人员为基础，对相关企业或个人的资信情况或专项项目的真实性等进行调查、分析，为社会提供专业化服务的一种信用服务行业。1992年，中国第一家专业从事企业资信调查服务的公司——北京新华信商业风险管理有限责任公司成立，标志着中国资信调查行业开始起步发展。据不完全统计，目前中国有各类征信机构约100多家，资信评估机构80多家，信用担保机构2000多家，其他专业信用机构500多家。一些外国征信公司如邓白氏公司、ABC公司、TCM公司，以及中国台湾地区的中华征信所等，均已在中国内地设有分支机构，并提供企业资信调查服务。此次允许设立外商投资资信调查公司，将推动国外资信调查公司加快在中国市场落地、实现法人化运作，为中国各类企业特别是试验区内企业带来先进的信用评估技术，减少企业经营中的各种信用风险。
■ 十、合资旅行社经营出境游业务再开闸
【开放措施】允许在试验区内注册的符合条件的中外合资旅行社，从事除台湾地区以外的出境旅游业务。
【解读】2010年9月，国家有关部门即已开始受理中外合资经营旅行社经营中国公民出境旅游业务试点申请，但规定需要获得经营许可满两年。此次取消了中外合资旅行社经营许可满两年才可经营出境游的限制，有助于促进中外合资旅行社开展和扩大出境游业务，有助于进一步提高中国公民出境游的服务质量。当然，这也对中国境内旅行社开展出境游业务带来了竞争压力，倒逼中国境内旅行社提高出境游服务质量、增强市场竞争力。
【新闻】 昨天，上海市旅游管理部门有关人士向早报记者透露，目前已经有一些旅游企业酝酿到自贸试验区注册，不过，因为涉及相关企业中、外双方各项资料的准备等细节，尚需要一个过程；但企业本身会从市场角度去判断，不会盲目地向自贸区迁移地址或注册新旅游企业。未来，符合条件的中外合资旅行社在自贸区内注册，原来的许可制或将逐渐转为备案制。中外合资旅行社从事出境游业务此前已经在国内进行试点，截至目前，参加这一试点的中外合资旅行社只有3家，即中旅途易旅游有限公司、国旅运通旅行社有限公司、交通公社新纪元国际旅行社有限公司。这3家旅行社都集中在北京。自2011年5月以来，国家旅游局并未再扩大这一试点范围。
■ 十一、提高外方持股人才中介机构上限
【开放措施】（1）允许自由贸易试验区内成立中外合资人才中介机构，外方合资者可以拥有不超过70%的股权，允许港澳服务提供者设立独资人才中介机构。
【解读】2005年中国修改后的《中外合资人才中介机构管理暂行规定》，要求注册资本金不低于30万美元，中方必须为控股方，外方投资者比例不得低于25%，中方合资者比例不得低于51%；其中港澳地区服务提供者可拥有的股权比例不超过70%。此次将外方控股比例进一步提升，外方合资者（非港澳地区）可以实现不超过70%的控股，港澳地区可以独资，且大幅下调最低注册资本金要求。这对于外资人才中介机构将是明显利好，也有助于更多引进国际化人才，增强中国人才中介机构市场竞争力。
【开放措施】（2）外资人才中介机构最低注册资本金要求由30万美元降低至12.5万美元。【解读】《中外合资人才中介机构管理暂行规定》要求外资人才中介机构注册资本金不低于30万美元。此次大幅下调最低注册资本金要求，有助于降低外资人才中介机构准入的资金门槛，推动更多外资人才中介机构进入。
■十二、允许设立股份制外资投资性公司
【开放措施】允许设立股份制外资投资性公司。
【解读】2004年中国修订后的 《关于外商投资举办投资性公司的规定》，对外资投资性公司的公司形式要求为有限责任公司。此次允许设立股份制外资投资性公司，意味着其可以面向社会募集资金，将极大增强外资投资性公司的资本实力和投资经营能力，并且在运作上也更为规范。
■ 十三、降低外资工程设计企业准入门槛
【开放措施】对试验区内为上海市提供服务的外资工程设计（不包括工程勘探）企业，取消首次申请资质时对投资者的工程设计业绩要求。
【解读】根据WTO承诺，中国已允许外商独资工程设计企业进入中国市场，但仍然存在一定的门槛。根据中国《外商投资建设工程设计企业管理规定实施细则》规定，外商投资建设工程设计企业，首次申请工程设计资质，其外国服务提供者（外国投资方）应提供两项及以上在中国境外完成的工程设计业绩，其中至少一项工程设计业绩是在其所在国或地区完成的；申请资质升级，应提供取得工程设计资质后在中国境内或境外完成的工程设计业绩，其中至少有两项工程设计业绩是在中国境内完成的。此次政策放宽对首次申请资质时的工程设计业绩要求，意味着中国进一步降低外资工程设计企业进入中国的门槛限制，有助于外资工程设计企业更便捷地在中国工程设计市场开展业务。
■ 十四、外商独资建筑企业承揽上海项目，不再受建设项目中外方投资比例限制
【开放措施】对试验区内的外商独资建筑企业承揽上海市的中外联合建设项目时，不受建设项目的中外方投资比例限制。
【解读】按照2002年中国发布的《外商投资建设工程设计企业管理规定》，外商独资建筑业企业允许承揽四类工程：全部由外国投资、外国赠款、外国投资及赠款建设的工程；由国际金融机构资助并通过根据贷款条款进行的国际招标授予的建设项目；外资等于或者超过50%的中外联合建设项目，及外资少于50%、但因技术困难而不能由中国建筑企业独立实施，经省、自治区、直辖市人民政府建设行政主管部门批准的中外联合建设项目；由中国投资、但因技术困难而不能由中国建筑企业独立实施的建设项目，经省、自治区、直辖市人民政府建设行政主管部门批准，可由中外建筑企业联合承揽。此次放宽外商独资建筑企业承揽中外联合建设项目时的中外方投资比例限制，意味着外商独资建筑企业将能够承接更多的中外联合建设项目，改变其在中国建筑市场份额过小的局面，促进中国建筑市场的良性竞争和规范发展。
■ 十五、取消外资演出经纪机构股比限制
【开放措施】取消外资演出经纪机构的股比限制，允许设立外商独资演出经纪机构，为上海市提供服务。
【解读】目前，中国对外资投资境内演出经纪机构要求必须是合资或合作（港澳地区投资者可以独资），且股比要求不得超过49%或内地合作者拥有经营主导权。此次取消外资演出经纪机构的股比限制且允许独资，有助于外商演出经纪机构更好在国内市场开展业务，进一步规范中国演出经纪机构市场，不断扩大这一市场规模，促进中国演艺行业的发展。
■ 十六、允许设立外商独资娱乐场所
【开放措施】允许设立外商独资的娱乐场所，在试验区内提供服务。
【解读】目前，中国对外商投资境内娱乐场所（如卡拉OK厅）要求必须是合作或合作模式，不得独资从事娱乐场所经营。此次政策上允许外商在试验区内独资设立娱乐场所，意味着中国在服务领域对外商投资的一次开放，将推动外商独资娱乐场所在试验区内成立，更好满足区内国际人士的娱乐休闲需求。
■ 十七、允许中外合办经营性培训机构
【开放措施】（1）允许举办中外合作经营性教育培训机构。【开放措施】（2）允许举办中外合作经营性职业技能培训机构。
【解读】 中国的教育培训业是从公办高校的剩余教育资源转化延伸出来的，经过近15年的发展，目前已经形成了多种办学主体的市场格局，各类教育培训主体超过10万家，但大多以区域发展为主，发展良莠不齐，连锁机构少，知名品牌少。此次允许举办中外合作经营性教育培训机构和中外合作经营性职业技能培训机构，有助于进一步鼓励国外优质教育培训品牌进入中国市场，加快引进国外先进的教育培训系统、课程和方法，加快中国教育培训业的国际化发展。
■ 十八、允许设立外商独资医疗机构
【开放措施】允许设立外商独资医疗机构。
【解读】 由于医疗行业的特殊性，国内政策对于外资进入医疗领域一直持保守态度。2010年12月，国家发布《关于进一步鼓励和引导社会资本举办医疗机构的意见》，将境外资本举办医疗机构由限制类调整为允许类，外商独资医疗机构先行试点、逐步放开。2012年，国家有关部门公布《外商投资产业指导目录（2011年修订）》，将外商投资医疗机构由限制类调整为允许类。目前，根据内地与香港、澳门、台湾有关合作框架，港澳台地区投资者可在内地部分省市独资设立医疗机构。在国家政策的推动下，一些合资高端医疗品牌已经相继在国内大城市落户发展，并取得良好业绩。此次政策允许设立外商独资医疗机构，意味着中国在医疗服务领域对外资的进一步放开，将推动一批国际高端医疗品牌进入中国，有助于打破中国医疗服务领域的垄断局面，实现更为充分的市场竞争。
【新闻】“允许设立外商独资医疗机构的政策在国内早已放开，但实际效果不佳，企业是否有动作会基于自贸区的后续保障细则。”针对上海自贸区将放宽外商独资医疗机构限制，某美资医疗机构高管昨日对早报记者如是说。前述高管称，股比限制的取消实际更多地面向了来自港澳台的资本，尚没有听说有其他地区资本获得审批，而其所在的医疗机构在国内扩张时都以合资的方式进行。早报记者了解到，在承担上海高端医疗的上海国际医学园区中，虽有多家外资背景的医疗机构意向入驻，但全部是以一定比例的合资进行。国务院医改专家咨询委员会委员、美国国际医院认证联合委员会大中华区总干事房志武向早报记者表示，如果自贸区想要吸引到更多外资医疗机构的进入，很重要的一点是保障医疗资源的流动，尤其是国内公立医院医生的多点执业。前述某美资医疗机构高管表示，如果医疗资源的流动得到解决，国内的外资医疗可能会突破现在“高端”、“国际”的范畴，向贴近大众的普通医疗发展。
（注：本文“解读”部分均为上海市发展改革研究院金融研究所所长任新建撰写；“新闻”部分为东方早报记者张飒、忻尚伦、刘欣、周玲、李跃群、王道军、闫鹏飞、储静伟等分别撰写。）
录入编辑：李琪
上海自贸区总体方案公布，实施范围和试点政策将逐步拓展 早报记者 胡苏敏 发表于2013-09-28 07:56
2013年9月27日14时，国务院在中国政府网全文公布了《中国（上海）自由贸易试验区总体方案》。
■ 公布服务业扩大开放18项措施 探索建立负面清单管理模式 探索建立货物状态分类监管模式
■ 早报今推32版“中国（上海）自由贸易试验区创建报告”特刊
2013年9月27日14时，国务院在中国政府网全文公布了《中国（上海）自由贸易试验区总体方案》。在上海市外高桥保税区、上海外高桥保税物流园区、洋山保税港区和上海浦东机场综合保税区等4个海关特殊监管区、共计28.78平方公里的土地上，建设中国大陆第一个自由贸易试验区。
国务院明确，中国（上海）自由贸易试验区，是党中央、国务院在新形势下推进改革开放的重大举措，要使之成为推进改革和提高开放型经济水平的“试验田”，形成可复制、可推广的经验，发挥示范带动、服务全国的积极作用，促进各地区共同发展。
方案显示，上海自贸区的总体目标是，经过两至三年的改革试验，加快转变政府职能，积极推进服务业扩大开放和外商投资管理体制改革，大力发展总部经济和新型贸易业态，加快探索资本项目可兑换和金融服务业全面开放，探索建立货物状态分类监管模式，努力形成促进投资和创新的政策支持体系，着力培育国际化和法治化的营商环境，力争建设成为具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区，为我国扩大开放和深化改革探索新思路和新途径，更好地为全国服务。
方案同时明确了上海自贸区五大主要任务，即加快政府职能转变、扩大投资领域的开放、推进贸易发展方式转变、深化金融领域的开放创新、完善法制领域的制度保障。上海自贸区服务业扩大开放措施昨日也同时公布，共六大领域，涉及18个行业。方案称，自贸区相关管理规定将自10月1日起在三年内试行。
不过，方案在“实施范围”中也特别明确， 上海自贸区将根据先行先试推进情况以及产业发展和辐射带动需要，逐步拓展实施范围和试点政策范围，形成与上海国际经济、金融、贸易、航运中心建设的联动机制。
数位接受早报记者采访的专家表示，目前上海自贸区的大方向已经明确，至于开放力度和具体如何实施，还需静待细则的出台。
按照计划，上海自贸区将于9月29日正式挂牌成立，相关政策细则也有望同日发布。
强调制度创新
根据方案，上海自贸区建设的重点在于制度创新。方案明确上海自贸区要紧紧围绕面向世界、服务全国的战略要求和上海“四个中心”建设的战略任务，按照先行先试、风险可控、分步推进、逐步完善的方式，把扩大开放与体制改革相结合、把培育功能与政策创新相结合，形成与国际投资、贸易通行规则相衔接的基本制度框架。
具体而言，列在主要任务第一项的即是加快转变政府职能，改革创新政府管理方式，按照国际化、法治化的要求，积极探索建立与国际高标准投资和贸易规则体系相适应的行政管理体系，推进政府管理由注重事先审批转为注重事中、事后监管。
具体到投资领域的开放，最重点则是借鉴国际通行规则，对外商投资试行准入前国民待遇，研究制订试验区外商投资与国民待遇等不符的负面清单，改革外商投资管理模式。对负面清单之外的领域，按照内外资一致的原则，将外商投资项目由核准制改为备案制（国务院规定对国内投资项目保留核准的除外），由上海市负责办理。
上海市政府参事室主任王新奎此前也指出，上海自贸区的建设就是以开放倒逼改革，“任重而道远”，因为上海自贸区探索建立负面清单管理模式，改革外商投资管理模式，就是选择了体制当中最难的审批制度，然后又要按照国际规范来进行突破。
金融创新是重头戏
方案中涉及金融制度创新的部分，也被外界视为上海自贸区的重头戏之一。
复旦大学经济学院院长袁志刚认为，在中国经济的结构性问题与要素市场的发育不全有关，其中金融价格没做对就是关键一环。“那就先在自贸区里把价格做对。”袁志刚称。
方案称，在风险可控前提下，可在试验区内对人民币资本项目可兑换、金融市场利率市场化、人民币跨境使用等方面创造条件进行先行先试。在试验区内实现金融机构资产方价格实行市场化定价。探索面向国际的外汇管理改革试点，建立与自由贸易试验区相适应的外汇管理体制，全面实现贸易投资便利化。
一位不具名的投行高层告诉路透社，中国需要改革的地方很多，眼下最重要也最容易突破的无疑是金融领域的改革，尤其是金融牌照的放开和资本项下的开放。上海自贸区等于是一块试验田。
根据方案，上海自贸区将选择在金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，暂停或取消投资者资质要求、股比限制、经管范围限制等准入限制措施，营造有利于各类投资者平等准入的市场环境。
总部经济一直是上海力争的一块蛋糕。上海市政府领导曾表示，上海在建设“四个中心”的过程中，一直困惑的问题是，在上海的跨国公司已有400多个，但绝大多数是行政性质的，最有价值的资金运作不在其中，上海这几年一直在探索如何解决这个问题。
究其原因，复旦大学全球投资与贸易研究中心主任袁堂军告诉早报记者：“这些跨国公司来到上海之后，还在等待其他制度的配合。到目前为止，中国跟国外经济的主要纽带是在进出口加工贸易上，这个总部意义不大。”不过，他也表示，随着中国经济发展，产业链慢慢拓展，会涉及研发等环节，那么跨国公司有动力来到上海自贸区。
袁堂军还指出，总部经济还会带来“技术外溢”的效果：“除了能反过来帮助制造业产业链升级之外，对金融服务等，都有整体的提升作用。”
探索建立货物状态
分类监管模式
为适应建立高水平投资和贸易服务体系的需要，方案要求营造相应的监管和税收制度环境。通过创新监管模式，推进实施“一线放开”，坚决实施“二线安全高效管住”，促进二线监管与一线监管相衔接，强化监管协作，推动试验区内货物、服务等各类要素自由流动。同时，在维护现行税制公平、统一、规范的前提下，以培育功能为导向，探索与试验区相配套的促进投资与贸易的税收政策。
方案总体目标中就提到，要“探索建立货物状态分类监管模式”。一位不愿具名的专家对早报记者表示，所谓货物状态分类监管模式，是根据货物的不同状态，由海关对其进行分类管理，此前外高桥保税区已经施行该监管模式。
他解释道，关于货物的不同状态，具体而言，有的货物从境外进入区内，还没交关税，这类货物就是保税货物；有的货物进入区内，关税已经交过，但它需要暂时放在区内，这类货物叫做完税货物；还有是从国内进入区内的货物，要与境外进来的货物进行组合、拼装等简单加工，这些国内进来的货物属于国内的非保税货物。
“进行货物状态分类管理的好处在于，管得住、管得好、效率高。因为分类后，整个出关速度就快了，而混杂在一起的话，甄别起来比较麻烦。此外，自贸区这个区域必须有一个很好的监管秩序，不能把各种货物混杂在一起，否则容易产生风险，比如没有交税的货物混着出去，这是不行的。”上述专家称。
铺开的空间
全国人大常委、财经委副主任委员吴晓灵27日在中国金融创新论坛上表示，上海自贸区对于中国关键是两点：一是中国寻求进一步对外开放的道路，在服务贸易领域、投资领域中要进一步对外开放；二是中国未来的改革“不是寻求地方的政策突破，而是寻求能够在全国可复制、可推广的制度性建设”。
关于此前多地也希望推进自贸区建设的说法，吴晓灵昨日也专门提到：“在全国人大审议国务院提交自贸区议案的时候，刚开始有一个‘等’字，即‘上海自贸区等’，最后人大把‘等’字拿掉了，就是上海自贸区。我们希望能够让全国都集中精力在上海自贸区进行制度探索，然后能更快向全国推广，而不是全国各地都到北京来‘跑自贸区’，不把精力放在改革和制度建设上。”
专家认为，上海自贸区区内主要应完成“三个转型”，区外关键是形成桥接和溢出。三个转型是指，一是从单一贸易功能向贸易功能与投资功能并重转型，二是由在岸业务功能为主向在岸与离岸业务并重转型，三是由集聚生产贸易型企业为主向集聚跨国公司功能总部转变。
区外的桥接和溢出是指，一是要充分发挥自贸区的桥接作用，对区内区外可连通的产业，如金融等，在风险可控的前提下力争向市内扩展；二是不需国家另行批准的制度改革，如商事登记制度等，在试验区内试点成功后加快向全市推广；三是在实验区内行之有效的制度，但推广需国家批准的，建议其他园区加快向国家申请试点。从制度溢出路径看，根据自贸试验区探索出的经验，一是国家层面上制定或修改相关法律；二是根据国家授权，上海制定相关条例；三是采取一区多园的模式，扩大试验区的地理范围；四是允许服务业企业在试验区内注册，在区外开展业务。
袁堂军认为，从更长远来看，上海自贸区28.78平方公里毕竟空间有限，上海作为总部中心，应该是创新的地方，不是生产的地方。
“上海作为总部中心，制造的部门放在江苏、浙江等地，要有一个纵深的腹地才能支持上海自贸区的完善。28.78平方公里根本不够，除了进出口贸易，还有制造，等等。”袁堂军说，“自贸区一定是要配套的，多点齐发的。有一个总部和sub-zone（子区）的关系，这样才能化解这28.78平方公里不够消化的厂房。”
录入编辑：任凭
上海自贸区三年内货币自由兑换 2013-09-28 02:30:34 新京报
http://www.bjnews.com.cn/news/2013/09/28/285453.html
26日，行人、车辆通过中国（上海）自由贸易试验区三号门。
翁磊 摄
自贸区总体方案公布，要求加快金融制度创新，促进跨境融资便利化；将于29日挂牌
据新华社电 27日，国务院正式公布《中国（上海）自由贸易试验区总体方案》（以下简称《方案》），29日试验区将正式挂牌。
《方案》提出，要力争经过两至三年的改革试验，建设具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区。
探索建立负面清单管理模式
《方案》明确了试验区建设的主要任务措施。
一是加快政府职能转变。积极探索建立与国际高标准投资和贸易规则体系相适应的行政管理体系，推进政府管理由注重事先审批转为注重事中、事后监管。提高行政透明度，完善投资者权益有效保障机制，实现各类投资主体的公平竞争。
二是扩大投资领域开放。选择金融、航运、商贸、文化等服务领域扩大开放。探索建立负面清单管理模式，逐步形成与国际接轨的外商投资管理制度。改革境外投资管理方式，支持试验区内各类投资主体开展多种形式的境外投资。
三是推进贸易发展方式转变。积极培育贸易新型业态和功能，推动贸易转型升级。深化国际贸易结算中心试点，鼓励企业统筹开展国际国内贸易，实现内外贸一体化发展。提升国际航运服务能级。
四是深化金融领域开放创新。加快金融制度创新，建立与自由贸易试验区相适应的外汇管理体制，促进跨境融资便利化。推动金融服务业对符合条件的民营资本和外资金融机构全面开放，鼓励金融市场产品创新。
五是完善法制保障。各部门要支持试验区深化改革试点，及时解决试点过程中的制度保障问题。上海市要通过地方立法，建立与试点要求相适应的试验区管理制度。
自贸区内网络依法管理没有特殊
为适应建立高水平投资和贸易服务体系的需要，《方案》要求营造相应的监管和税收制度环境。在维护现行税制公平、统一、规范的前提下，以培育功能为导向，探索与试验区相配套的促进投资与贸易的税收政策。
上海自贸区管委会相关人士27日表示，自贸区内互联网将依法管理，没有特殊。
自贸区管委会表示，在保障网络信息安全的前提下，允许外资企业经营特定形式的部分增值电信业务，如涉及突破行政法规，须国务院批准同意。
【总体目标】经过两至三年的改革试验，力争建设成为具有国际水准的投资贸易便利、货币兑换自由、监管高效便捷、法制环境规范的自由贸易试验区。
【主要任务】1.加快政府职能转变2.扩大投资领域的开放3.推进贸易发展方式转变4.深化金融领域的开放创新5.完善法制领域的制度保障。
【实施范围】涵盖上海外高桥保税区、上海外高桥保税物流园区、洋山保税港区和上海浦东机场综合保税区等4个海关特殊监管区域，逐步拓展实施范围和试点政策范围。
■ 分析
四大亮点 贸易、投资、金融、监管
昨日，国务院公布上海自贸区总体方案。权威人士及专家认为，贸易、投资、金融和政府监管新功能将是自贸试验区的四大亮点。
上海市政府发展研究中心主任周振华指出，自由贸易试验区不是特区也不是新区。它的意义不在于争取若干优惠政策，而旨在建立一套与国际接轨的、新的制度体系，以成为贸易业态模式创新、投资开放创新、离岸型功能创新、政府管理服务创新的“试验田”和示范区。
服务业开放
搅动竞争惠及民生
与WTO主要着眼于货物贸易不同，“扩大服务业开放、促进服务贸易”是自贸试验区的重要任务。方案提出，选择金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，营造有利于各类投资者平等准入的市场环境。
在此之前，由于开放不足、存在一定的保护，我国服务业的发展远不能满足需求。比如在财富管理方面，多数人只能选择存款或理财产品，在通货膨胀中资产不断缩水。在教育、医疗方面，好的学校周围一房难求，优质医院永远人满为患……
“对外开放将影响金融、旅游、教育和医疗等多个服务行业，竞争主体多元化对老百姓是实实在在的利好。”复旦大学经济学院副院长孙立坚认为。
政府监管转型
实现“境内关外”
自由贸易园区内，政府服务管理机制将更加透明、高效、便捷，营商环境将实现国际化、市场化和法制化。
政府管理将遵循国际规则，实现真正的“境内关外”，即区内企业经营自由。值得注意的是，政府管理服务的着力点将放在真正营造市场规范、标准制定、环境改善、公平竞争、诚信体系、知识产权、劳动者权益保护等现代市场经济发展环境。
区内法制保障亦将实现创新。政府将梳理现有法规体系，完善相关法律规范，依法办事，靠规则办事。其重点试点内容包括：停止实施有关法律规定、赋予自由贸易试验区一定立法权、制定相关领域法律规范等。
“不改革现有的管制框架，试验区的制度优势不可能体现出来。”一位民营企业家说，如今国家将从“顶层”强化对改革的法制保障，对企业来说是重大利好。
据新华社电
■ 解读
金融领域创新
设立外资银行和中外合资银行
根据总体方案，上海自贸区在金融领域有两项创新，一是在风险可控前提下，可在试验区内对人民币资本项目可兑换、金融市场利率市场化、人民币跨境使用等方面创造条件进行先行先试；二是支持在试验区内设立外资银行和中外合资银行，允许试验区内符合条件的中资银行开办离岸业务。
【解读】
中央财经大学银行研究中心主任郭田勇认为，自贸区的核心政策还应是促进贸易自由化，金融领域的改革试验都是为配合贸易领域开放的。
对于有观点认为在自贸区实行完全利率市场化及资本项目开放，可能会带来热钱的涌入，郭田勇认为，确实存在这样的风险。如果自贸区内银行利率完全放开，存款利率可能高于央行上限；同时资本项目放开，这些都会吸引国际、国内资本的大量流入，都有可能引发资本投机。
郭田勇建议，金融领域开放应按照跟贸易自由化相关性及风险高低而有序放开，相关性越高的越先放开，哪个领域风险低先放开哪个。
对于银行积极“抢滩”自贸区的行动，郭田勇表示，银行在自贸区开设分行，最直观的受益就是为企业提供的存贷款及国际贸易结算业务流量将会明显增大，但对银行的深层影响则仍有待时间检验。 新京报记者 沈玮青
投资领域
探索建立负面清单管理模式
总体方案规定，自贸区选择金融服务、航运服务、商贸服务、专业服务、文化服务以及社会服务领域扩大开放，暂停或取消投资者资质要求、股比限制、经营范围限制等准入限制措施。探索建立负面清单管理模式。
【解读】
“负面清单”是上海自贸试验区内一项典型的制度创新，它体现了在投资领域“非禁即入”的原则，即除了清单上规定不能干的，其他都可以干，且不再需要政府事前审批。
“负面清单”事实上是划清政府和市场的边界，明确政府需要管的事，而不是无限制伸手。试验区采用这种新的经济管理模式，与新一届政府强调的简政放权、职能转变在本质上一致。
采用“负面清单”制度后，政府的事前审批权力会弱化，事中、事后监管能力却需要强化。上海WTO事务咨询中心总裁王新奎说：“今后的方向是宽进严管，该放的权力放到位，该管的事坚决管好。”
商务部研究院研究员梅新育指出：“在微观层次实施‘负面清单管理’，意在搞活经济。在宏观层次则要注重风险防控，这一点决策者需要把握好。”为加强风险管控，未来政府在反垄断审查、金融审慎监管和劳动者权益保护等方面，还有很大的提升空间。据新华社电
功能转变
鼓励跨国公司建地区总部
总体方案中表示，自贸区内将鼓励跨国公司建立亚太地区总部，建立整合贸易、物流、结算等功能的营运中心。推动生物医药、软件信息、管理咨询、数据服务等外包业务发展。允许和支持各类融资租赁公司在试验区内设立项目子公司并开展境内外租赁服务。鼓励设立第三方检验鉴定机构，按照国际标准采信其检测结果。试点开展境内外高技术、高附加值的维修业务。加快培育跨境电子商务服务功能，试点建立与之相适应的海关监管、检验检疫、退税、跨境支付、物流等支撑系统。
【解读】
商务部国际贸易经济合作研究院国际市场研究部副主任白明昨日表示，由于上海自贸区范围并不大，土地仍是稀缺资源，因此首先吸引进驻的一定是单位产出能力较大的高端行业企业。从这个意义上来讲，服务贸易在自贸区内将有更大的发展机遇。而总体方案中提到的，均属于高端服务业。预计上述行业企业将在内贸区内充分发挥自身优势，带动区内服务业发展，提高企业竞争能力。
而对于货物贸易，白明认为，借助物流、金融、航运等领域的进一步开放，自贸区将不断提升上海作为长三角龙头的作用，辐射至长三角地区，为当地的制造业带来新的活力和发展契机，促进制造业转型升级。 新京报记者 沈玮青
开放服务
允许设立外商独资医疗机构
总体方案中表示，允许设立外商独资医疗机构。允许外资企业从事游戏游艺设备的生产和销售。允许设立外商独资的娱乐场所。
【解读】
中国人民大学医改研究中心主任王虎峰认为，作为试验区，允许、鼓励外商独资办医是具有积极意义的。政策放开之后，外商独资医院并不会占据医疗市场的主体地位，但对于建设完整的医疗服务体系能够成为补充。
他指出，从患者角度而言，外商独资医疗机构可能具备较好的技术优势，患者就医也能够多一种选择。但是，由于这类医疗机构的定位大多较高端，对于医改需要解决的“看病贵”问题，不一定会起到作用。 新京报记者 温薷
上海自贸区推进时间表
2013年7月3日
国务院常务会议原则通过《中国(上海)自由贸易试验区总体方案》。
8月22日
国务院正式批准设立中国（上海）自由贸易试验区。
8月30日
全国人大常委会决定上海自贸区内停止执行4部法律有关规定。
9月27日
国务院印发《中国（上海）自由贸易试验区总体方案》。
9月29日
上海自贸区将挂牌。同日上海市将公布自贸区首批改革政策细则。
香港新亚研究所：甚矣，吾衰也 早报记者 陈良飞 发自香港 发表于2013-09-27 08:49
1949年10月10日的晚上，香港九龙华南中学三楼一个小教室里坐了三十几个学生。教室里还有几个位置空着，是留给老师们的。桌上陈列着少许茶点，每人面前放着一只茶杯..
成立60年后陷停办危机
系钱穆创办
曾为海外文史哲研究重镇
钱穆所作新亚校歌手稿
1949年10月10日的晚上，香港九龙华南中学三楼一个小教室里坐了三十几个学生。教室里还有几个位置空着，是留给老师们的。桌上陈列着少许茶点，每人面前放着一只茶杯。
这些学生心绪不宁，满心忧虑。他们不少人刚只身从中国内地来到香港，身文分文，生活都已陷入困顿。
老师们来了。来者包括时年54岁的著名历史学家钱穆，他也是这所靠租借3个教室临时组建的学校的校长和主要创办者。除了钱穆，进来的还有经济学家张丕介、政治学者崔书琴、中国文学家刘尚义等，本来还包括当天未能出席的哲学家唐君毅。
没有音乐，没有唱歌，没有旗帜，没有任何仪式，简单得出人意料，一所学校就成立了。这所初名亚洲文商学院的学校只在该地存在了约半年时间，来年3月搬到了桂林街，并逐步成长为蜚声海内外的新亚书院。
1953年，新亚书院创办新亚研究所。1963年，香港政府选定新亚、崇基、联合三书院组建香港中文大学。1974年，受中文大学改制影响，新亚研究所脱离中文大学，在台湾教育行政部门注册立案。创立至今，新亚研究所走过一甲子，从初创时的“明星”师资阵容，到如今难以为继，被资助方台湾教育行政部门建议停办。曾经的中国文化的学术重镇，如孔子所言，“甚矣！吾衰也。”
“偶然的无中生有”
唐君毅常讲，新亚书院的创办是一个“偶然的无中生有”。
1949年4月，渡江战役在即。时任江南大学文学院院长的钱穆与江南大学同事唐君毅应广州华侨大学校长的邀请，赴广州讲学。到达广州不久，中国人民解放军即解放南京、上海等地，南京国民政府大部分机关迁往广州，组成“战时内阁”。
在广州期间，钱穆遇见了老朋友、浙江大学教授张其昀。张向钱表达了自己想到香港创办一所学校的意愿，已约谢幼伟、崔书琴等3人，并力邀钱穆加入。
钱穆接受了张的邀请，于1949年6月赴港，与已经抵港的谢幼伟、崔书琴等人共同筹办学校。不久之后，张、谢二人另谋他职，钱穆又邀请同来香港的唐君毅、张丕介等人加入，最终促成了新亚书院的创办。
新亚毕业生、著名文史学者余英时在《新亚精神与中国文化》一文中称，“1949年新亚书院的创建是历史的偶然，但同时也涵蕴了一种潜在的必然。”
在上海大学历史系教授陈勇看来，这一种潜在的必然是指这一批北来的学人具有强烈的忧患意识和文化担当意识，他们原本在内地从事教育工作，素有承传和弘扬中国文化的宏愿，来到香港，以香港作为传播和复兴中国文化的基地，希望中国文化能“在这块殖民地上灵根自植”。
草创时期的新亚书院确实如其校歌中所唱的那样“手空空，无一物”。改名后的新亚书院开学两个月后，其主要资助人王岳峰的企业受到致命打击，无法继续支持新亚，新亚随即陷入极度困难中。
新亚当时从学生中收取到的学费，只占书院总开支的两成不到，远不足够，只好如其总务长张丕介教授所形容的，仿效武训行乞办学的精神，四处张罗。曾亲眼目睹新亚创办全过程的徐复观在一篇回忆钱穆的文章中这样写道：“新亚书院之创立，盖有类于乞食团、托钵僧，创办者日则讲授奔走，夜则借宿于某一中学课室。俟其夜课毕，则拼桌椅以寝；晨光初动，又仓皇将桌椅复原位，以应其早课之需。”
只是到了1953年之后，美国雅礼协会、亚洲基金会和美国哈佛燕京学社纷纷支持新亚办学，香港各界也注意到了新亚的办学理想和宏愿，新亚才开始摆脱随时可能停办的命运，并逐步走上正轨。
创建研究所
早在创立新亚书院初期，钱穆等人就预想设立一个“旨在培养中国文史专才暨大学师资”的研究所。由于经济的困顿，这一计划直到新亚书院经济状况稍有好转的1953年才正式付诸实行。
据钱穆所著《新亚书院创办简史》记载，当时美国亚洲基金会愿意资助新亚书院，钱穆对该基金会香港代表艾维表示：“余意不仅在办一学校，实欲提倡新学术，培养新人才，以供他日还大陆之用。故今学校虽稍具雏形，余心极欲再办一研究所。此非好高骛远，实感迫切所需。”
艾维深以为然，并承诺“愿出力以待他日新机会之不断来临”。在亚洲基金会的帮助下，新亚研究所在九龙太子道租用了一层房屋，供“新亚及校外大学毕业后有志续求进修者数人之用”，一个研究所的雏形在1953年的秋天总算立起来了。
钱穆亲自兼任所长，参加研究的教授有余协中、张丕介、唐君毅三位。当年毕业的四名新亚学院学生先行入所，即余英时、余时杰、唐端正、列航飞。
亚洲基金会的支持时间非常短，其后不久，艾维离开香港后，资助就断了，但是新亚研究所并未停止运作。当时新亚所所招的研究生不需要经过考试，面谈即可，或留一至二年，或长留研究所，各人做各人的研究。
到1955年，美国哈佛燕京学社资助新亚研究所，新亚所才正式考试招生，开课授业，成为正式培养研究生之研究所。
中大改制，新亚所出走
1956年10月，由美国福特基金会捐款，香港政府拨地，新亚书院在九龙农圃道的新校舍落成。1959年，新亚书院已拥有8系1所，在校生500多名，办学成绩卓著，闻名全港。1963年，香港政府选定新亚、崇基、联合三书院组建香港中文大学，新亚书院成为中大当时的三个基本学院之一。
当时，新亚书院办学成绩优异，最被港英政府看重，在合并之前，新亚所提的各项条件，港英政府都予以接受。
在新亚书院所提的诸条件中，钱穆等人坚持新亚一定要办新亚研究所，也随书院一起进入中大，成为书院附属机构，经费列入预算。这一条件被负责谈判的港英政府代表团接受。
1970年，香港中文大学自行创办研究院，新亚研究所不再具有招收研究生的资格，改为招募研究助理学习员。
1972年6月，新亚书院沙田校舍相继竣工，到1973年7月，余英时自美国返港接任新亚书院校长职位后，书院师生正式由农圃道校区迁往沙田。
新亚学院校友、香港中文大学教育学院教授刘国强在《新亚书院简史》一文中这样写道，新亚与其他香港中文大学书院之间的接触和交流更加频繁，但同时也引发一些对于书院无法保持其教育理想及独立性的忧虑。
这一忧虑在1974年达到最高潮。当年2月，香港中文大学成立教育方针与大学组织工作小组，研究中大改制。工作小组其后陆续公布《初步报告书》和《总结报告书》，其主要内容是建议通过“学系整合”原则合并改组包括新亚在内的各基本书院，建议把财政、行政、招生、聘任等权力集中大学本部，“联邦制”名存实亡。由于这种安排可能破坏大学成员书院原有职能，新亚方面先后发表专文或声明予以反对，重审书院联合制度的重要性，争取保留成员书院作为独立个体。
不过，1976年12月，《香港中文大学法案》在香港立法局会议上获得通过，当时的9位新亚书院董事会成员一致认为此举严重损害大学主权及书院之教育优点，决定集体辞职作出抗议。
自1974年起，新亚研究所就已不再接受中大经费补助，中大也不再承认新亚研究所毕业生的学位。其后，新亚书院董事会决议，新亚所脱离中大，在台湾教育行政部门注册立案，并恢复独立招收硕士研究生。
自此，钱穆先生等人创办的新亚教育事业也“花开两朵，各表一枝”：一朵留在了香港中文大学，丧失了独立办学权限；一朵搬回了新亚农圃院老校区，重新起步。起码从管理权属上讲，这两个机构已经只是共用一个名称罢了。
1972届新亚所毕业生、今年8月31日卸任的新亚研究所所长廖伯源说，因为改制一事，时任院长和中大副校长的余英时夹在了中大校方和新亚老先生们之间，闹得很不愉快，做了两年院长就返回美国了。2003年6月，岭南大学历史系助理教授周爱灵曾赴美国访问过余英时，余英时回答说，他相信行政精简化能让新亚有更多的资源，在书院与社区整体中推广中华文化教育。
“对他来说，最重要的，是发展更多的资源能力去传扬中国知识文化研究，而不是去保存任何特别的教育形式。”周爱灵说，这也导致了新亚董事会与新一代领导者对书院传统的意见分歧。
廖伯源记得非常清楚，余英时曾在长达十几年的时间位列《新亚研究所概况》毕业生名录的第一名，后来余跟新亚所的工作人员要求把自己的名字去掉了。
1953年，余英时从新亚书院毕业后就进了刚刚筹办的新亚研究所做研究生。当时只有四个研究生，余英时后来得到了美国哈佛燕京学社的奖学金得以赴美留学，没有从新亚所毕业。
廖解释说，1973年至1975年，余英时回港担任新亚书院院长和香港中文大学副校长，因为中大改制的事情和新亚所闹得很不愉快，就有了将自己名字从毕业生名录中删掉之举，也可见这件事情对他的伤害至深。
从辉煌到危机
独立办学之初，新亚研究所师资阵容非常强大。1955年，新亚研究所正式招生时，初期导师由钱穆、唐君毅、牟润孙、潘重规等人担任，1962年，新亚所增设东南亚研究室，聘请东南亚史地学家陈荆和主持，之后又增加了严耕望、全汉升、牟宗三、徐复观等知名学者担任导师。
1974年独立办学时，钱穆已离港赴台，隐居台北，但其当初所聘之名师则多仍在新亚研究所，不少著名学者已经从香港中文大学退休，可以全身心地投入到新亚研究所的工作中来。廖伯源评价，唐君毅、牟宗三为20世纪中国哲学大师，其对中国哲学之诠释与论证，至今为学者所宗述，徐复观治先秦两汉思想史，鞭辟入里，论多原创，胜义纷陈，亦为大师，“此三先生皆当代新儒家之代表人物，新亚研究所更被学者视作其时当代新儒家之最大堡垒”。
除了唐、牟、徐三人，严耕望治中国政治制度史与历史地理，全汉升治经济史，皆为一时专业史家。潘重规是国学大师黄侃的女婿，传黄氏文字声韵训诂之学，又治敦煌学与红楼梦研究。这些新亚先师皆为当时其所治学科的执牛耳之人，因钱穆的聘请，先后集中于新亚研究所。
在1990年之前的30多年之中，新亚研究所一直为海外中国文史哲学术之重镇，也是港台新儒家弘扬中国文化的主要基地。
等到这些新亚先师纷纷故去后，新亚所慢慢陷入困顿。
1974年，新亚研究所退出中大之后，其学历已经不能得到香港政府的承认，只好在台湾的教育行政部门备案注册，台湾方面准许新亚所继续招收硕士研究生，每年给出的名额是24人。到1981年，台湾又批准新亚所每年招考5名博士研究生。与此同时，台湾方面每年也给新亚所提供一点资助，最多的一年达200多万港元。
1997年之后，这一资助逐年减少，到2003年民进党执政时期减为零，之后再也没有恢复。
近10年来，新亚研究所硕士研究生几乎没有招满过，好的时候八九人，2012年最少，只有两人，博士班每年都能招满。博士每年的学费是4.5万港元，连交两年，之后每个月交1000港元直至毕业。自2003年之后，新亚所每年亏损20万至30万港元，完全依靠新亚教育文化基金会补足才得以勉强维持。
2011年7月，刚从台湾“中央研究院”史语所退休的廖伯源就任新亚研究所所长。两个月之后，他回到台湾去拜会台湾教育行政部门“高教司”的正副司长。廖陈情说，“我们也不指望你们再资助我们，是否可以给我们多增加几个博士研究生的名额，我们多招一些学生，多收一些学费以自救。”
接待廖的司长没说话，副司长说：“现在你们这么困难，也招不到好学生了，你们要不要考虑停办呢？”副司长还叮嘱廖，“你们还不能马上停办，如果你们停办，要提前几年停止招生，等到所有学生都毕业了之后再停办，不能一下子停掉。”
自1974年独立办学起，新亚所的师资即以兼职为主，极少专职教师。廖伯源赴任前一个学年，新亚所一共开了22门课。廖认为，新亚所学生这么少，开这么多门课显然太多了，他就砍掉了一些课程，为了安抚授课老师的情绪，他也承诺和老师的兼课聘约可以签两年。实际上，每门课每周上一课，每次2个小时，老师们的钟点费每个月只有2000港元，每次课500港元不到，寒暑假就没有钟点费了。
这样的一番调整之后，新亚所的亏损从2010年至2011学年度的40多万元减少到了去年的15万港元。
办学经费还只是新亚所面临的困境之一。“一个学校最要命的还不是经济，关键是找不到好的学生。”廖伯源说，“我跟校友讲，如果有一天我们不招生了，但我们的学报正常出版，定期举办一些演讲，这样来表示我们研究所的存在。”
更迫在眉睫的问题是新亚所图书的保存问题。
1974年，新亚所与香港中文大学新亚书院分离时，原新亚书院图书馆所藏凡盖新亚研究所藏书章的书籍杂志，都随新亚所留在农圃道校区。根据李启文整理的《新亚研究所图书馆简介》，目前新亚所图书馆藏书总册数约13万册，以文、史、哲书籍为收藏重点，其中线装书5万余册，不少是馆藏珍本。
刘国强说，由于经费不足，图书馆的冷气很费电，也不常开了，这样藏书就要生蛀虫。刘指出，这是一个很大的问题，包括他在内的新亚所管理委员会近期就要解决这一困难。
在刘国强看来，要解决目前新亚所的困境，有两个办法：一、加大招生宣传；二、呼吁校友捐款。
不过，另外一个事实是，新亚所自1953年创办以来，一直以培养文史哲高级研究人才为最高志向，其毕业生大多也都从事人文学科的教育与科研工作，校友中经商致富者少，这是该所与其他大学毕业生大不相同的地方。
与之对应的是，香港中文大学新亚书院校园内的捐款墙上镌刻着长长的捐款者姓名及捐款数额，凡是捐款超过10000港元的人都能够留名其上。
60周年办不起一场像样的研讨会
2013年是新亚研究所成立60周年，新亚所却办不起一场稍微像样一点的学术研讨会了。
限于日渐紧促的经费，按照廖伯源最初的设想，就“北学南移”的题目，在本校演讲厅内举办若干场演讲及座谈会，讲员和听众均以新亚所校友为主，“一分钱都不用花”。
廖将他的想法与新亚校友和学界同仁沟通，台湾“中央大学”中文系和香港树仁大学表达了合办研讨会的意向。按照三方的约定，“中央大学”负责资助该校中文系和哲学系十余位来港参加学术会议学者的旅费和住宿费，并负责打印与会者递交的论文费用；树仁大学提供会议场地和外地学者的住宿客房。
新亚研究所则负责出版上、下两册《新亚学报》年刊，作为60周年纪念特刊。廖伯源说，《新亚学报》之前每年出版一本，大概需要5万港元，今年出了上、下两册，使得新亚所今年的亏损可能要从去年的15万港元升至20万港元左右。
在多方努力之下，经过一年半时间的筹备，一场数十位人文学者参加的学术研讨会终于在今年8月底成功举办，与会学者均自行担负来港旅费。
华中科技大学哲学系青年学者廖晓炜博士也参加了这场纪念新亚所60周年的学术研讨会。面对众多新亚校友，廖晓炜说，自1980年代末开始，中国内地年轻的人文学者已经在广泛阅读钱、唐、牟、徐等新亚先师们的著作，现在他们的书在内地也卖得非常好。
在纪念新亚创校30周年时，做过新亚书院院长的金耀基曾深情并茂地发表演讲说：“新亚不是一间普通的学校，她是一间有崇高的教育理想与文化意识的学府。新亚是由一批具有忧患意识的学人，在忧患的时代中建立起来的。忧患意识不止是由当时风雨交集的困乏而来，而毋宁是由一种要对中国和人类文化加以承载的责任感而来。……事实上，新亚成长的历史，就是她的理想越来越受到更多人欣赏接受的历史。”
（本文写作参考了周爱灵《花果飘零：冷战时期殖民地的新亚书院》、苏庆彬《七十杂忆：从香港沦陷到新亚书院的岁月》、陈勇《钱穆与港台新儒家交往述略》等著作或论文，并感谢新亚研究所同仁廖伯源、刘国强、吴明等老师接受采访并提供资料。）
录入编辑：王卉
舆情分析不能“替代”领导上网 2013-09-28 02:30:38 新京报
访谈嘉宾：单学刚 人民网舆情监测室副秘书长，《网路舆情》副总编辑
定义 把“原始舆情”制作成“信息成品”
新京报：“网络舆情分析师”到底是一个什么职业？
单学刚：网络舆情分析师就是要从复杂的网络舆情中看出“门道”，具体说，从网上及时发现舆情话题或热点，通过对舆情样本进行科学的收集、抽样、统计、汇总、分析，准确把握舆情现状，并在此基础上对其发展走势做出预测，提出应对与处置的意见和建议。
新京报：应该说“网络舆情”是一个难以界定的概念，能职业化处理吗？
单学刚：近年来，网络舆情发展十分迅猛，尤其是随着社交媒体和移动终端的发展，信息传播速度越来越快速，网民参与讨论的规模也日臻扩大，这就导致网络舆情信息的总体容量越来越大。所以，单单依靠我们个人传统的上网方式，是很难完全及时有效地发现舆情、了解舆情全貌的，舆情分析职业化的推出也就顺水推舟，应运而生。
舆情分析师就是把原汁原味的舆情样本加工成信息成品，供直接参考和利用。
新京报：网络舆情分析师的工作特点是什么？
单学刚：舆情分析就是从网上找线索，找信息，然后进行加工。所以，首先是快速，网络信息传播速度很快，分析师不能跟不上节奏。其次要准确，网上信息很庞杂，必须眼光独到，在网上找到的是最有价值和代表性的舆情样本，这是很大的一个难点。最后是专业，包括怎样去分析、研判，怎么提出科学的应对和处置方法，要有理论基础和实践检验。
新京报：具体工作流程怎样？
单学刚：简单地说，要追踪所服务部门的网络舆情态势，比如说发现最近的舆情热点，通过科学的抽样分析总结出其中趋势规律，进行文字描述，并辅以图表，提出意见，从而生成舆情简报，同时通过各种方式进行预警和汇报。
新京报：举例子说明。
单学刚：舆情工作是舆情分析师从事的日常工作，这样的例子很多。举一个最简单的例子，每年“两会”期间，我们都要做“两会”舆情热点分析解读，首先会从网民反映的舆情热点作为舆情报告的选题，经过监测室舆情分析师和专家共同论证通过后，舆情分析师开始就该选题的关键词，在网上各大互动社区做言论抽样，在数理分析工具中进行聚类，找出对话题或支持或反对的代表性观点，统计出各观点在总体观点中的比例，制作图表。
同时进行的工作还包括通过搜索引擎和关键词检索，梳理话题在互联网上的热度趋势变化。
最后在整理文案中，对这些结果进行整理和进一步研究，揭示规律性特征，找出网上主流意见，对舆情进行点评，提出舆情应对的策略建议。
标准 客观还原网络上意见和矛盾构成
新京报：按照你的介绍，是不是意味着很难有统一标准来衡量？
单学刚：舆情分析的确是一个比较复杂的事情，它不像自然科学有一样的客观的定律，不同地域、不同行业，甚至同一部门不同时期面对的舆情环境都是不同的，社会矛盾、突发事件、恶意煽动、个人情绪也都可能改变和影响舆情走势。
新京报：你认为专业的网络舆情分析师需要具备哪些条件？
单学刚：一方面，应该熟悉网络环境，懂得网络传播规律，了解社会、尤其是网民的心态，具备宽广的视野和丰富的知识面，熟悉党政机构、企业和媒体的运行机制。
另一方面，应该有很好的逻辑思维，以及数理统计、写作和制作图表等方面的能力，这些方面都是网络舆情分析师必须具备的素质。
当然，做一切工作都离不开严谨、科学的态度，舆情分析尤其需要客观公正、认真细致，不能在工作中投机取巧，编造数据，也不要把个人感情和好恶带到分析中，要尊重事实，客观地还原网络上真实的意见构成和矛盾构成。
新京报：具体来说，网络分析师的标准是什么？怎么认定一个人是否合格？
单学刚：舆情分析师所需要的五大基础技能，即网络言论的挖掘收集、概括剖析、抽样统计、报告写作、走势预测等。
因为，这些基本功是舆情分析师最重要的工作素质。舆情偏重于对网络信息的收集、挖掘、聚类、归纳、判断和推理等分析能力。从助理级舆情分析师开始，必须熟悉网络舆情抽样、统计和分析工具模型，搜索关键词设置技巧，培养对社会心理、“刻板印象”与网络语言文化的敏锐感，能够准确地对网络舆情走势进行预测，及时发现舆情热点和拐点，尤其是创造性地提出科学合理的应对建议，这样才能极大地提高舆情报告的价值。
新京报：据我所知，人社部的职业资格考试，科目考试大多分两类，一个是理论方法，一个是案例解析。网络舆情分析师是否也是如此？
单学刚：教学中也把理论方法和案例解析结合在一起，只不过舆情分析是个新兴行业，大家都还在摸索，没有太多经典的学术理论作为基础，而且舆情分析师侧重于实操，而不是研究，所以我们这里说的理论方法，更多的是实际工作中总结出来的方法。
我们设置了《舆情分析和研判方法》、《舆情危机处置与应对》、《网络舆论生态分析》等理论方法课，所用的理论方法框架更多是我们这个团队多年来实践中总结、提炼出来的，也是在无数实操过程中考验过的，行之有效的。
分析 “服务领导”和“反映民意”不矛盾
新京报：据悉，舆情分析师之前是部分单位的工作岗位，现在演变为一种全国性的职业，原因是什么？
单学刚：最主要原因还是基于网络舆情发展的客观现状。之前，网络舆情分析更多的是学术和新闻媒体面向全社会的公共研究，配备专业舆情工作人员的机构很少，而且多数也没有经过系统科学的训练。
现在，各种自媒体的发展让网络舆情呈几何级数的发展，各级党政机关和企事业单位都面临着舆情的压力和挑战，这在某种意义上讲也就在“倒逼”相关机构都越来越需要专业的舆情信息服务和高端咨询工作。
但是，这种需求单单靠专业的第三方机构的辅助不可能完全实现，舆情服务行业发展再快也不可能满足所有单位的需求，所以这要求各个党政机关和企事业单位培养自己的网络舆情分析人员，能够处理基础的舆情工作，应对一般的舆情危机。
所以，可以说，网络舆情分析师岗位的发展和定位转化完全是社会发展催生的。
新京报：公益性分析和服务性定位的区别还是很大的，网络舆情分析师的职业标准该如何界定？
单学刚：网络舆情分析师职业的核心标准是客观、真实、准确、专业地分析研判舆情，就是把真实的信息和规律挖掘出来，以供参考和利用。所以，不论是公益性的，还是服务性的舆情分析工作，其客观上就是在汇聚网络民意。
因而，只要坚持核心标准，把民意客观、真实地呈现出来，舆情分析师实际上就是在政府、企业和网民之间架起了一座桥梁，那么，为部门领导服务和为民意服务，就不是矛盾的关系，而是和谐统一的了。
新京报：有句话叫做拿人钱财替人消灾，二者很难不发生矛盾，我看到有人在质疑网络舆情分析师在为谁说话。
单学刚：假如网络上海量的舆情信息没有人去及时搜集、分析，很多就会石沉大海，民众的很多诉求和愿望就没法实现，民众的智慧也无法被吸收。网络舆情分析师正是在“大浪淘沙”，找出舆情的价值，这本身对党政机关的“问计于民、问需于民”和民众的表达参与都是有积极意义的。
网络舆情分析师提供的是一种高端信息咨询服务，服务是有对象的，但是，只要坚持刚才提到的标准和原则，不管为谁服务，做出来的东西都应该是一样客观的，本身不掺杂主观立场，也不存在为谁说话的问题，更不是所谓“水军”。
走向 要能看出“舆情”的趋势
新京报：我注意到，不少媒体报道时都采用了“替领导读网”的说法，你怎么看？
单学刚：这实际上是我描述了舆情分析师工作之后的一个简单的概括，所以对它的理解应该建立在全面描述的基础之上，不能只看字面。
我们也说过“帮领导读网”，“读网”也好，“看网”也罢，都不是一个简单的动作，俗话说“外行看热闹，内行看门道”，网络舆情分析师看的是什么呢？他看的“门道”，要看出规律、走势和价值，网络舆情分析师绝不是会上网就能做的工作。
新京报：但是能“替代”领导上网吗？
单学刚：当然不可能替代，更多的是“辅助作用”。“领导”这个词汇有很丰富的内涵，政府有领导，企业也有领导，一个团体也都有领导，不能把“领导”单纯理解为党政领导干部，而且领导还有不同层级，主要领导、分管领导、部门领导、基层领导，其外延也不是一个人，可以涵盖到领导班子、领导集体，实际上就是代表决策者和管理者。决策者和管理者需要各种各样的信息，比如宏观经济的数据、社会发展的数据，现在也需要舆情分析的数据，这同样具有很重要的参考价值。
新京报：“替领导读网”与领导自己看网，最大的区别在哪里？
单学刚：两者并不矛盾，比如一个人自己会做饭，但他也会经常去饭店，也需要专业厨师。社会需要分工，领导自己看网是必须的，现在这个时代要求领导一定要会上网，能在网上了解一些民意，甚至能跟网民对话。
但是，领导毕竟不可能所有的时间都用来上网，或者随时随地都能上网，领导上网必然有他的局限性。互联网舆情信息十分庞杂，单单指望领导个人去掌握所有网络信息是不现实的。领导即使看网，也往往只能看一些表面的资讯和意见，很难有时间去收集、分析、汇总、加工网络信息，毕竟领导做的主要是决策的工作，不能指望一位指挥作战的将军自己去收集所有的军事情报吧。
网络舆情分析师恰恰弥补了领导的不足，他以更多的时间和精力，更专业的技术和角度，帮领导分析汇集网络信息，提供决策参考。因而，从本质上讲，这两者是不矛盾的。
新京报：网络舆情分析师服务的对象不是普通民众，而是不同单位的领导，可否这样理解？
单学刚：网络舆情分析师可以服务于所有的机构和人，包括名人、明星，但需求最大的还是党政机关和企业的领导，因为只有决策者，才能利用好这些信息，解决相应的问题。比如，一个网民发言反映诉求，肯定是希望被相关机构和领导看到，使得问题得以解决。当然，在高校、媒体等机构也有不少从事非特定服务类舆情研判的分析师，他们主要研究公众关心的社会热点、重大事件，服务对象更多的就是全社会了，所有感兴趣的、有用处的人都可以关注其成果。
新京报：现在有一种观点认为舆情分析就是帮一些政府部门控制网络舆论，是这样吗？
单学刚：所谓控制网络舆论，恐怕已经超出了网络舆情分析师的工作范围了。网络舆情分析师提供的是一种高端的信息服务，主要是信息收集、分析，当然，舆情分析师需要建言献策，提供科学的应对参考意见和建议，但会不会被采纳，以至于最终怎么决策，这个就不是网络舆情分析师所能决定的了。
网络删帖，控制网络舆论的现象在现实中的确存在，这个说明现在不少领导对网络的认识还没有到位，遇到舆情危机，只会采取简单粗暴的方式，这需要进一步加强他们的媒介素养，强化他们对舆论危机的处理的正确认识。这就是另一个问题了，不是单靠舆情分析师可以解决的。
新京报时事访谈员 高明勇
实习生 黎明
舆情分析：回归专业才是正道
@张泉灵（央视主播）：最近给一些部门讲媒体关系、舆情应对时，发现好多真正做决策的领导自己不上网，只看下面送来的舆情报告。而下面送来的报告一没科学数据分析，二没专业人士，还停留在几个人摘抄的境界。领导根据这个做判断下决定。我真是替你们着急。你们蒙上眼靠别人摸石头过太平洋呢，把自己当鉴真了。
“舆情内参”应运而生
无论是舆情项目委托，还是开设舆情局，甚至让舆情分析师成为一种职业，不管怎样，都算是中国社会开放进步的一个标志，是相关部门在民意面前的主动调整。
舆情监测分析并不是一个新鲜事物。古代的邸报算是今日舆情监控的鼻祖了。进入现代社会，西方国家发展出了商业性的和政府下属的情报监测分析机构，既为商业服务，也为政治服务，无论是商业性公司还是政府下属机构，都强调专业性服务，政府也常向商业性公司定向委托研究项目。
在中国，由于社会还不够开放，商业性公司的分析服务此前几乎没有任何发展，直到很晚才有了一些商业调查机构、民意调查机构等，在市场中摸爬滚打，他们逐渐积累起了自己的专业声誉。
至于政府部门，则由业务司局，以及设置政策法规司，通过所谓调研来了解行业信息。历史和现状都已经说明，政府部门自己展开的业务考察和调研，虽然花费不少，但不少是走马观花，表面文章，发现真问题少。
作为把信息传播当成首要任务的媒体，则也存在许多难题，一些信息公开与否，并不取决于媒体的专业判断和职业伦理。至于中央及省级媒体，则在公开报道之外，往往通过特定的所谓“内参”系统，向上反映一些没有见诸公开报道的信息，供领导参阅，也奠定了内参以及这些媒体在中国社会的独特地位。
中国早已进入网络时代，但许多决策者并不了解网络舆情，面对海量信息确实也存在无从了解的问题，所以，依托舆情分析做决策，也应是一种潮流。
与“舆情分析师”成为职业相关联的，是各地大小机关企事业单位，都纷纷开设舆情监测室、舆情局。不查不知道，一查吓一跳，那么多机关企事业单位都把舆情监测作为内设机构了。这多少也表明，这些机构对网络舆情的重视程度。
此前，许多大学的新闻院系，几乎都有舆情监测项目，从相关党政部门申请专项课题经费，受托做舆情监控分析，生意兴隆。
面对网络时代的众声嘈杂，相关单位无论是舆情项目委托，还是开设舆情局，甚至让舆情分析师成为一种职业，不管怎样，都算是中国社会开放进步的一个标志，是相关部门在民意面前的主动调整。
“舆论分析”如何免于歧途
一些专为了解舆情而设的机构，事实上真正的功能不是舆情评估分析，而是对涉及本行业本部门工作的信息和舆论的监控，监控是否有负面信息和舆论传播。
舆情分析在中国已经成为一门好生意，但是它正走在歧路上。潮流之中，泥沙俱下自是难免。
了解业务信息行业动态，跟踪收集公众对政府政策和政府行为的各种舆论，本是那些政府机构企事业单位业务部门的本职工作，当下却有一些舆情部门，不仅在职能上与原有内设机构重叠，在人力与财力上平添了一种负担。这种机构设置，实质上是一种变相的跑马圈地式的权力扩张，也使内部分工职责不清晰。
因为，舆情分析对专业性要求特别高。它要求业者有传播学、社会学、心理学、社会心理学、统计学等等许多专业基础知识。没有这些专业训练，便不可能有真正的舆情分析。
但是，这些人才到处都欠缺，遑论新起的舆情分析。所以，这个行业缺乏基本的人力储备。这种人才不是简单的职业培训就能解决满足的，这个行业不是机械修理，不是与机器设备打交道，不是与流水线打交道，每天被观测监控的信息舆论背后，是活生生的人，是与人打交道。这种格局下，其评估效果也就可想而知了。而决策者若是依据这样的评估做决策，难免会出现大问题。
更有甚者，一些舆情部门既缺乏专业水准，又缺乏职业道德，为凸显部门存在的价值，利用领导不上网，少上网，不了解具体情况，网上一有风吹草动，便肆意摘编，胡乱猜测，夸大事实，强给他人戴帽子，制造紧张空气，唯恐天下不乱。既误导决策，陷领导于不义，使领导和机构清誉受损，又引发社会对抗情绪，加大社会成本。这样的舆情报告分析，也并不鲜见。
就目前观测到的情况而言，这些专为了解舆情而设的机构，事实上真正的功能不是舆情评估分析，而是对涉及本行业本部门工作的信息和舆论的监控，监控是否有负面信息和舆论传播。一旦发现，立即上报，同时捂盖子，公关灭火，各种手段齐上，而不是分析这些信息舆情背后的问题所在。结果是原有的问题不仅没有解决，反而衍生出更多的问题来。这是懒政思维，害人害己。
也就是说，舆情分析对于政府决策起着至关重要的作用，专业的舆情分析，会让决策走向科学，提升决策的质量，反之，非专业的舆情分析，不仅无助于决策的科学性，还可能让决策者陷入被动境地，让舆情更为复杂，从而也就丧失了舆情分析的本意。
□朱学东（媒体人）
.END
Thursday 26 September 2013
World Heart Day
The World Heart Federation - About Us
http://www.world-heart-federation.org/about-us/
The World Heart Federation is dedicated to leading the global fight against cardiovascular disease (CVD) – including heart disease and stroke - with a focus on low- and middle-income countries, via a united community of more than 200 member organizations. It aligns its efforts around the World Health Organization’s related target of reducing premature CVD mortality of 25% by 2025. With its members, the World Heart Federation works to build global commitment to addressing cardiovascular health at the policy level, generates and exchanges ideas, shares best practice, advances scientific knowledge and promotes knowledge transfer to tackle cardiovascular disease- the number one killer. It is a growing membership organization that brings together the strength of cardiac societies and heart foundations from more than 100 countries. Through our collective efforts we can help people all over the world to lead longer and better heart-healthy lives.
...
Warning signs - Heart Attack Warning Signs
http://www.world-heart-federation.org/cardiovascular-health/heart-disease/warning-signs/
Some heart attacks are sudden and intense — the "movie heart attack," where no one doubts what's happening. But most heart attacks start slowly, with mild pain or discomfort. Often people affected aren't sure what's wrong and wait too long before getting help. Here are signs that can mean a heart attack is happening:
Chest discomfort. Most heart attacks involve discomfort in the center of the chest that lasts more than a few minutes, or that goes away and comes back. It can feel like uncomfortable pressure, squeezing, fullness or pain.
Discomfort in other areas of the upper body. Symptoms can include pain or discomfort in one or both arms, the back, neck, jaw or stomach.
Shortness of breath with or without chest discomfort.
Other signs may include breaking out in a cold sweat, nausea or lightheadedness.
As with men, women's most common heart attack symptom is chest pain or discomfort. But women are somewhat more likely than men to experience some of the other common symptoms, particularly shortness of breath, nausea/vomiting, and back or jaw pain.
Stroke Warning Signs
A stroke is a medical emergency. If any of these symptoms appear, don’t delay – get medical help immediately!
Sudden numbness or weakness of the face, arm or leg, especially on one side of the body
Sudden confusion, trouble speaking or understanding
Sudden trouble seeing in one or both eyes
Sudden trouble walking, dizziness, loss of balance or coordination
Sudden severe headache with no known cause
If experiencing any of these signs, which could come and go, call your emergency services/ambulance immediately.
If there is no emergency response number, seek medical attention as soon as possible.
Cardiovascular disease risk factors
http://www.world-heart-federation.org/cardiovascular-health/cardiovascular-disease-risk-factors/
There are many risk factors associated with coronary heart disease and stroke. Some risk factors such as family history, ethnicity and age, cannot be changed. Other risk factors that can be treated or changed include tobacco exposure, high blood pressure (hypertension), high cholesterol, obesity, physical inactivity, diabetes, unhealthy diets, and harmful use of alcohol.
Of particular significance in developing countries is the fact that while they are grappling with increasing rates of cardiovascular disease, they still face the scourges of poor nutrition and infectious disease. Nevertheless, with the exception of sub-Saharan Africa, cardiovascular disease is the leading cause of death in the developing world.
You will not necessarily develop cardiovascular disease if you have a risk factor. But the more risk factors you have the greater is the likelihood that you will, unless you take action to modify your risk factors and work to prevent them compromising your heart health.
Modifiable risk factors
Hypertension is the single biggest risk factor for stroke. It also plays a significant role in heart attacks. It can be prevented and successfully treated but only if you have it diagnosed and stick to your recommended management plan.
Abnormal blood lipid levels, that is high total cholesterol, high levels of triglycerides, high levels of low-density lipoprotein or low levels of high-density lipoprotein (HDL) cholesterol all increase the risk of heart disease and stroke. Changing to a healthy diet, exercise and medication can modify your blood lipid profile.
Tobacco use, whether it is smoking or chewing tobacco, increases risks of cardiovascular disease. The risk is especially high if you started smoking when young, smoke heavily or are a woman. Passive smoking is also a risk factor for cardiovascular disease. Stopping tobacco use can reduce your risk of cardiovascular disease significantly, no matter how long you have smoked.
Physical inactivity increases the risk of heart disease and stroke by 50%. Obesity is a major risk for cardiovascular disease and predisposes you to diabetes. Diabetes is a risk factor for cardiovascular disease.
Type2 diabetes a major risk factor for coronary heart disease and stroke. Having diabetes makes you twice as likely as someone who does not to develop cardiovascular disease. If you do not control diabetes then you are more likely to develop cardiovascular disease at an earlier age than other people and it will be more devastating. If you are a pre-menopausal woman, your diabetes cancels out the protective effect of estrogen and your risk of heart disease rises significantly.
A diet high in saturated fat increases the risk of heart disease and stroke. It is estimated to cause about 31% of coronary heart disease and 11% of stroke worldwide.
Being poor, no matter where in the globe, increases your risk of heart disease and stroke. A chronically stressful life, social isolation, anxiety and depression increase the risk of heart disease and stroke.
Having one to two alcohol drinks a day may lead to a 30% reduction in heart disease, but above this level alcohol consumption will damage the heart muscle.
Certain medicines may increase the risk of heart disease such as the contraceptive pill and hormone replacement therapy (HRT).
Left ventricular hypertrophy (LVH) is a risk factor for cardiovascular mortality.
Non-modifiable risk factors
Simply getting old is a risk factor for cardiovascular disease; risk of stroke doubles every decade after age 55.
Your family’s history of cardiovascular disease indicates your risk. If a first-degree blood relative has had coronary heart disease or stroke before the age of 55 years (for a male relative) or 65 years (for a female relative) your risk increases.
Your gender is significant: as a man you are at greater risk of heart disease than a pre-menopausal woman. But once past the menopause, a woman’s risk is similar to a man’s. Risk of stroke is similar for men and women.
Your ethnic origin plays a role. People with African or Asian ancestry are at higher risks of developing cardiovascular disease than other racial groups.
Frequently asked questions
http://www.world-heart-federation.org/cardiovascular-health/heart-disease/frequently-asked-questions/
What is the burden of cardiovascular disease?
An estimated 17.3 million people die of cardiovascular diseases every year. 80% of the deaths occur in low- and middle-income countries.
What causes cardiovascular disease?
There are many risk factors that contribute to the development of cardiovascular disease. Some people are born with conditions that predispose them to heart disease and stroke, but most people who develop cardiovascular disease do so because of a combination of factors such as poor diet, lack of physical activity and smoking, to name just three. The more risk factors you expose yourself to, the higher the chance of developing cardiovascular disease.
Many of the risk factors for cardiovascular disease cause problems because they lead to atherosclerosis.
Atherosclerosis is the narrowing and thickening of arteries. Atherosclerosis develops for years without causing symptoms. It can happen in any part of the body. Around the heart, it is known as coronary artery disease, in the legs it is known as peripheral arterial disease.
The narrowing and thickening of the arteries is due to the deposition of fatty material, cholesterol and other substances in the walls of blood vessels. The deposits are known as plaques. The rupture of a plaque can lead to stroke or a heart attack.
What is cholesterol?
Cholesterol is a waxy, fat-like substance used by the body to build cell walls and for making several essential hormones. Your liver produces cholesterol and you absorb it from the animal fats you eat.
Cholesterol is carried through the blood by particles called lipoproteins. There are two types: low-density lipoproteins (LDL) and high-density lipoproteins (HDL). The former carries the cholesterol around the body in the blood and the latter transports cholesterol out of the blood into the liver.
When cholesterol is too high, or the levels of the two types are out of balance (dyslipidaemia), the cholesterol can clog the arteries affecting the flow of the blood.
What are triglycerides?
Triglycerides are fats found in the blood that are important for muscle energy. They travel through the blood in lipoproteins. As triglyceride levels rise, HDL cholesterol levels fall. High levels of of triglyceride increase the risk for heart disease. In rare cases, very high levels can lead to pancreatitis. Conditions that may cause high triglycerides include obesity, poorly controlled diabetes, drinking too much alcohol, hypothryroidism, and kidney disease.
What is the connection between high blood pressure (hypertension) and heart disease?
Blood moving through your arteries pushes against the arterial walls; this force is measured as blood pressure.
High blood pressure (hypertension) occurs when very small arteries (arterioles) tighten. Your heart has to work harder to pump blood through the smaller space and the pressure inside the vessels grows. The constant excess pressure on the artery walls weakens them making them more susceptible to atherosclerosis.
How is coronary heart disease diagnosed?
There are a number of ways to diagnose coronary heart disease. Your physician will probably use a number to make a definitive diagnosis.
A coronary angiogram uses a dye inserted into your arteries and an x-ray to see how the blood flows through your heart. The picture taken, the angiogram, will show any atherosclerosis.
Another test is an electrocardiogram. This test records the electrical activity of your heart. An electrocardiogram measures the rate and regularity of heartbeats, the size and position of the heart chambers, the presence of any damage to the heart, and the effects of drugs or devices used to regulate the heart. It is a non-invasive procedure.
How are smoking and heart disease linked?
Smoking damages the lining of blood vessels, increases fatty deposits in the arteries, increases blood clotting, adversely affects blood lipid levels, and promotes coronary artery spasm. Nicotine accelerates the heart rate and raises blood pressure.
Does diet play a part in the development of heart disease?
Diet plays a significant role in protecting or predisposing people to heart disease. Diets high in animal fat, low in fresh vegetables and fruit, and high in alcohol have been shown to increase the risk of heart disease.
Adopting a diet low in fat and salt has a protective effect over the long term. This means whole grains, fruits, and vegetables.
Aren’t women protected from heart disease because of estrogen?
Estrogen does help raise good HDL cholesterol so protecting women, but once through the menopause as many women as men are affected by heart disease: but if a woman suffers from diabetes or has raised levels of triglycerides that cancels out the positive effect of estrogen.
How do the symptoms of heart attack differ between men and women?
The symptoms of heart attack in a man are intense chest pain, pain in the left arm or jaw and difficulty breathing.
A woman may have some of the same symptoms, but her pain may be more diffuse, spreading to the shoulders, neck, arms, abdomen and even her back. A woman may experience pain more like indigestion. The pain may not be consistent. There may not be pain but unexplained anxiety, nausea, dizziness, palpitations and cold sweat. A woman’s heart attack may have been preceded by unexplained fatigue.
Women also tend to have more severe first heart attacks that more frequently lead to death, compared to men.
Is heart disease hereditary?
Heart disease can run in some families. But even if you inherit the risks factors that predispose you to heart disease, such as high blood cholesterol, high blood pressure, diabetes, or being overweight, there are measures you can take that will help you avoid developing cardiovascular disease.
.END
http://www.world-heart-federation.org/about-us/
The World Heart Federation is dedicated to leading the global fight against cardiovascular disease (CVD) – including heart disease and stroke - with a focus on low- and middle-income countries, via a united community of more than 200 member organizations. It aligns its efforts around the World Health Organization’s related target of reducing premature CVD mortality of 25% by 2025. With its members, the World Heart Federation works to build global commitment to addressing cardiovascular health at the policy level, generates and exchanges ideas, shares best practice, advances scientific knowledge and promotes knowledge transfer to tackle cardiovascular disease- the number one killer. It is a growing membership organization that brings together the strength of cardiac societies and heart foundations from more than 100 countries. Through our collective efforts we can help people all over the world to lead longer and better heart-healthy lives.
...
Warning signs - Heart Attack Warning Signs
http://www.world-heart-federation.org/cardiovascular-health/heart-disease/warning-signs/
Some heart attacks are sudden and intense — the "movie heart attack," where no one doubts what's happening. But most heart attacks start slowly, with mild pain or discomfort. Often people affected aren't sure what's wrong and wait too long before getting help. Here are signs that can mean a heart attack is happening:
Chest discomfort. Most heart attacks involve discomfort in the center of the chest that lasts more than a few minutes, or that goes away and comes back. It can feel like uncomfortable pressure, squeezing, fullness or pain.
Discomfort in other areas of the upper body. Symptoms can include pain or discomfort in one or both arms, the back, neck, jaw or stomach.
Shortness of breath with or without chest discomfort.
Other signs may include breaking out in a cold sweat, nausea or lightheadedness.
As with men, women's most common heart attack symptom is chest pain or discomfort. But women are somewhat more likely than men to experience some of the other common symptoms, particularly shortness of breath, nausea/vomiting, and back or jaw pain.
Stroke Warning Signs
A stroke is a medical emergency. If any of these symptoms appear, don’t delay – get medical help immediately!
Sudden numbness or weakness of the face, arm or leg, especially on one side of the body
Sudden confusion, trouble speaking or understanding
Sudden trouble seeing in one or both eyes
Sudden trouble walking, dizziness, loss of balance or coordination
Sudden severe headache with no known cause
If experiencing any of these signs, which could come and go, call your emergency services/ambulance immediately.
If there is no emergency response number, seek medical attention as soon as possible.
Cardiovascular disease risk factors
http://www.world-heart-federation.org/cardiovascular-health/cardiovascular-disease-risk-factors/
There are many risk factors associated with coronary heart disease and stroke. Some risk factors such as family history, ethnicity and age, cannot be changed. Other risk factors that can be treated or changed include tobacco exposure, high blood pressure (hypertension), high cholesterol, obesity, physical inactivity, diabetes, unhealthy diets, and harmful use of alcohol.
Of particular significance in developing countries is the fact that while they are grappling with increasing rates of cardiovascular disease, they still face the scourges of poor nutrition and infectious disease. Nevertheless, with the exception of sub-Saharan Africa, cardiovascular disease is the leading cause of death in the developing world.
You will not necessarily develop cardiovascular disease if you have a risk factor. But the more risk factors you have the greater is the likelihood that you will, unless you take action to modify your risk factors and work to prevent them compromising your heart health.
Modifiable risk factors
Hypertension is the single biggest risk factor for stroke. It also plays a significant role in heart attacks. It can be prevented and successfully treated but only if you have it diagnosed and stick to your recommended management plan.
Abnormal blood lipid levels, that is high total cholesterol, high levels of triglycerides, high levels of low-density lipoprotein or low levels of high-density lipoprotein (HDL) cholesterol all increase the risk of heart disease and stroke. Changing to a healthy diet, exercise and medication can modify your blood lipid profile.
Tobacco use, whether it is smoking or chewing tobacco, increases risks of cardiovascular disease. The risk is especially high if you started smoking when young, smoke heavily or are a woman. Passive smoking is also a risk factor for cardiovascular disease. Stopping tobacco use can reduce your risk of cardiovascular disease significantly, no matter how long you have smoked.
Physical inactivity increases the risk of heart disease and stroke by 50%. Obesity is a major risk for cardiovascular disease and predisposes you to diabetes. Diabetes is a risk factor for cardiovascular disease.
Type2 diabetes a major risk factor for coronary heart disease and stroke. Having diabetes makes you twice as likely as someone who does not to develop cardiovascular disease. If you do not control diabetes then you are more likely to develop cardiovascular disease at an earlier age than other people and it will be more devastating. If you are a pre-menopausal woman, your diabetes cancels out the protective effect of estrogen and your risk of heart disease rises significantly.
A diet high in saturated fat increases the risk of heart disease and stroke. It is estimated to cause about 31% of coronary heart disease and 11% of stroke worldwide.
Being poor, no matter where in the globe, increases your risk of heart disease and stroke. A chronically stressful life, social isolation, anxiety and depression increase the risk of heart disease and stroke.
Having one to two alcohol drinks a day may lead to a 30% reduction in heart disease, but above this level alcohol consumption will damage the heart muscle.
Certain medicines may increase the risk of heart disease such as the contraceptive pill and hormone replacement therapy (HRT).
Left ventricular hypertrophy (LVH) is a risk factor for cardiovascular mortality.
Non-modifiable risk factors
Simply getting old is a risk factor for cardiovascular disease; risk of stroke doubles every decade after age 55.
Your family’s history of cardiovascular disease indicates your risk. If a first-degree blood relative has had coronary heart disease or stroke before the age of 55 years (for a male relative) or 65 years (for a female relative) your risk increases.
Your gender is significant: as a man you are at greater risk of heart disease than a pre-menopausal woman. But once past the menopause, a woman’s risk is similar to a man’s. Risk of stroke is similar for men and women.
Your ethnic origin plays a role. People with African or Asian ancestry are at higher risks of developing cardiovascular disease than other racial groups.
Frequently asked questions
http://www.world-heart-federation.org/cardiovascular-health/heart-disease/frequently-asked-questions/
What is the burden of cardiovascular disease?
An estimated 17.3 million people die of cardiovascular diseases every year. 80% of the deaths occur in low- and middle-income countries.
What causes cardiovascular disease?
There are many risk factors that contribute to the development of cardiovascular disease. Some people are born with conditions that predispose them to heart disease and stroke, but most people who develop cardiovascular disease do so because of a combination of factors such as poor diet, lack of physical activity and smoking, to name just three. The more risk factors you expose yourself to, the higher the chance of developing cardiovascular disease.
Many of the risk factors for cardiovascular disease cause problems because they lead to atherosclerosis.
Atherosclerosis is the narrowing and thickening of arteries. Atherosclerosis develops for years without causing symptoms. It can happen in any part of the body. Around the heart, it is known as coronary artery disease, in the legs it is known as peripheral arterial disease.
The narrowing and thickening of the arteries is due to the deposition of fatty material, cholesterol and other substances in the walls of blood vessels. The deposits are known as plaques. The rupture of a plaque can lead to stroke or a heart attack.
What is cholesterol?
Cholesterol is a waxy, fat-like substance used by the body to build cell walls and for making several essential hormones. Your liver produces cholesterol and you absorb it from the animal fats you eat.
Cholesterol is carried through the blood by particles called lipoproteins. There are two types: low-density lipoproteins (LDL) and high-density lipoproteins (HDL). The former carries the cholesterol around the body in the blood and the latter transports cholesterol out of the blood into the liver.
When cholesterol is too high, or the levels of the two types are out of balance (dyslipidaemia), the cholesterol can clog the arteries affecting the flow of the blood.
What are triglycerides?
Triglycerides are fats found in the blood that are important for muscle energy. They travel through the blood in lipoproteins. As triglyceride levels rise, HDL cholesterol levels fall. High levels of of triglyceride increase the risk for heart disease. In rare cases, very high levels can lead to pancreatitis. Conditions that may cause high triglycerides include obesity, poorly controlled diabetes, drinking too much alcohol, hypothryroidism, and kidney disease.
What is the connection between high blood pressure (hypertension) and heart disease?
Blood moving through your arteries pushes against the arterial walls; this force is measured as blood pressure.
High blood pressure (hypertension) occurs when very small arteries (arterioles) tighten. Your heart has to work harder to pump blood through the smaller space and the pressure inside the vessels grows. The constant excess pressure on the artery walls weakens them making them more susceptible to atherosclerosis.
How is coronary heart disease diagnosed?
There are a number of ways to diagnose coronary heart disease. Your physician will probably use a number to make a definitive diagnosis.
A coronary angiogram uses a dye inserted into your arteries and an x-ray to see how the blood flows through your heart. The picture taken, the angiogram, will show any atherosclerosis.
Another test is an electrocardiogram. This test records the electrical activity of your heart. An electrocardiogram measures the rate and regularity of heartbeats, the size and position of the heart chambers, the presence of any damage to the heart, and the effects of drugs or devices used to regulate the heart. It is a non-invasive procedure.
How are smoking and heart disease linked?
Smoking damages the lining of blood vessels, increases fatty deposits in the arteries, increases blood clotting, adversely affects blood lipid levels, and promotes coronary artery spasm. Nicotine accelerates the heart rate and raises blood pressure.
Does diet play a part in the development of heart disease?
Diet plays a significant role in protecting or predisposing people to heart disease. Diets high in animal fat, low in fresh vegetables and fruit, and high in alcohol have been shown to increase the risk of heart disease.
Adopting a diet low in fat and salt has a protective effect over the long term. This means whole grains, fruits, and vegetables.
Aren’t women protected from heart disease because of estrogen?
Estrogen does help raise good HDL cholesterol so protecting women, but once through the menopause as many women as men are affected by heart disease: but if a woman suffers from diabetes or has raised levels of triglycerides that cancels out the positive effect of estrogen.
How do the symptoms of heart attack differ between men and women?
The symptoms of heart attack in a man are intense chest pain, pain in the left arm or jaw and difficulty breathing.
A woman may have some of the same symptoms, but her pain may be more diffuse, spreading to the shoulders, neck, arms, abdomen and even her back. A woman may experience pain more like indigestion. The pain may not be consistent. There may not be pain but unexplained anxiety, nausea, dizziness, palpitations and cold sweat. A woman’s heart attack may have been preceded by unexplained fatigue.
Women also tend to have more severe first heart attacks that more frequently lead to death, compared to men.
Is heart disease hereditary?
Heart disease can run in some families. But even if you inherit the risks factors that predispose you to heart disease, such as high blood cholesterol, high blood pressure, diabetes, or being overweight, there are measures you can take that will help you avoid developing cardiovascular disease.
.END
耶穌黃金周自製武器暴力刑事毀壞虐畜佔中 - 練乙錚
練乙錚: 看耶穌「佔中」 問中環誰屬 - 信報 2013年9月26日
看耶穌「佔中」 問中環誰屬
《約翰福音》2:13-16描述了當年發生在耶路撒冷的一次「佔中」事件，主角就是拿撒勒人耶穌。這個事件，其他三部《福音》也有記載，箇中涵義，也許今天香港的基督徒尤其有興趣思考、討論，因為有利觀照目下「佔中」運動的「義」與「宜」。對非基督徒而言，耶穌的實踐更提出了一個此前鮮有人留意過、質疑過的問題：中環公共空間的物權到底誰屬？
在耶穌生活的年代，耶路撒冷城也有一個「中環」。據說平日那裏人聲鼎沸，商業密集，遊客隨處可見，一年一度的猶太逾越節「黃金周」之際，各地前來的民眾據說多至三四十萬。這個「中環」的心臟，就是那座有名的耶路撒冷聖殿。聖殿非常宏偉，有好幾百年歷史，首次建成之後毀於戰亂，後來由羅馬帝國的幾代帝王負責重新興建，最後在希律王治下完成。殿裏面，還有法院、禮拜堂、文化中心、本地政教權力中心——猶太教大司祭的辦公地方；此外，殿裏還開設繁忙的金融市場，讓外來人以羅馬、希臘貨幣兌換本地猶太貨幣和專門用以繳付聖殿稅的「泰爾」錢。
耶穌損害商界利益？
所有這些商業活動本來都是合適的，集中在聖殿的「外方人院」（Gentiles Court）裏，可謂便民，但久而久之，不僅貨幣市場，連祭祀用的牲口買賣場，也逐步擴張，擠及原本用來造禮拜的空間裏去了。耶路撒冷是耶穌傳道的最後站；耶穌進城之後來到聖殿，看到這種情況，發了「義怒」，於是便有那《聖經》中的「佔中」故事。考慮到非基督徒讀者也許不清楚這關鍵一幕，筆者把《約翰福音》中的有關段落完整引述：
「猶太人的逾越節近了，耶穌就上耶路撒冷去。看見殿裏有賣牛、羊、鴿子的，並有兌換銀錢的人坐在那裏，耶穌就拿繩子做成鞭子，把牛羊都趕出殿去，倒出兌換銀錢之人的銀錢，推翻他們的桌子，又對賣鴿子的說：把這些東西拿去！不要將我父的殿當作買賣的地方。」（取自《聖經》中文和合本）【註1】
由於《聖經》影響巨大，這一幕的情節，有好幾點值得大眾留意、討論：
一、在事件發生過程中，耶穌動用了簡單的自製「攻擊性武器」和「最輕度暴力」，幸好暴力對像是畜牲不是人；若有相關法律的話，耶穌算是犯了輕微「虐畜罪」。當然，那些牛、羊、鴿子等，完全都是無辜的；
二、耶穌在搗毀「金融市場」之時，也很可能犯了輕微的「刑事毀壞罪」，對象也是物件不是人；
三、上述兩點，今天嚴格來說是非法的，耶穌的行為，因此是一種「違法達義」；而且，祂心目中的「義」，不一定為所有人認同；
四、耶穌採取違法手段之前，顯然沒有嘗試過「用盡其他合法途徑」包括各種對話方式去解決問題；
五、耶穌的行為，損害了商界利益，影響了不少人的生計，造成一些遊客、朝聖者、本地消費者的不便（當地社會因之承受的經濟代價每天是多少，對當年的耶路撒冷GDP有多大影響，筆者沒有算出，但由一些專門的經濟史學家用已經是很標準的方法推算，並不太難）；
六、商人可在聖殿裏的禮拜堂做買賣，顯然經全權負責管理聖殿的猶太教大司祭和其他政教人員默許，當中可能牽涉錢權交易；然則耶穌之舉，觸及權貴利益，其後遭殺身之禍，最直接近因可能就是這個；
七、耶穌的那次「違法達義」，似乎並沒有帶來一些人想像中必然出現的「連鎖效應」，反而有在祂死後、保羅倡導的對俗世政權的順服（後者於上周四拙文裏討論過）；
八、耶穌在該事件中的行為並不尋常，祂的門徒也未必即時理解，後來卻是支持的；這點或可從跟着的《約》2:17 的寫法看出：「他的門徒就想起經上記着說：我為你的殿心裏焦急，如同火燒。」這當然也反映了《約翰福音》作者的觀點。
耶穌不走合法途徑？
由於有以上各點，香港的基督徒面對逼近眉睫的本地「佔中」運動，或多或少都會感到困惑，因為上述《福音》故事描繪的耶穌，其行為起碼有兩個方面竟然比哲學家 John Rawls 定義的「公民抗命」範式行為更激進【註2】！
在 Rawls 的論述裏，違法達義行為必須是和平的，而且只能是在抗爭者用盡其他合法途徑、試圖消除嚴重不義而不果的情況底下才可使用的手段；但是，耶穌在事件中的行為，恰恰沒有滿足這兩個前提。這一點，會特別令信奉基督的人感到為難；為此筆者嘗試進一步分析，希望有助思考。
一、如何看待耶穌在採取激進手段違法達義之前，沒有「用盡其他合法途徑」？
筆者認為，耶穌沒有那樣做，很可能是因為沒有必要：祂已經知道「所有其他合法途徑」都走不通。這不需要假定耶穌是全知的神。我們從《聖經》得知，耶穌早在少年時就跟猶太司祭辯駁交手，其後更在長年的宣道活動中不斷接觸巴勒斯坦各地的政教勢力，料必明白其中既得利益如何盤根錯節不可理喻。如此，又何必花時間精力走完所有「合法途徑」呢？
而且，有些「合法途徑」並不是你想走便走得通的。大家看看香港的情況：社會人士（不僅是泛民）一再要求政府早點開展政改諮詢，以便有更多時間讓公眾討論；結果如何？再者，何謂走完「所有」合法途徑呢？三部曲可以變七部曲，七部曲可以變十三部曲；多幾個人大釋法，便有多幾條乃至幾十條「合法途徑」，如此層出不窮，如何走得完？耶穌的達義辦法很簡單，就是明知走不完的「合法途徑」，一條也不走，不像「佔中三子」那樣磨破嘴皮到處做解釋找支持求諒解卻換來左報罵得狗血淋頭。耶穌乾淨利落，一上場就違法。
基督徒如果明白教義，讀懂《聖經》並接受耶穌言傳身教，大概不會像「忽然法治」的中共官員那樣，批評耶穌沒走完「所有」合法途徑便上演那幕耶路撒冷的「佔中」。
二、如何看待耶穌在採取違法達義手段之時，使用了輕度╱適度暴力？
每當社會運動勃興之際，古今中外的基督徒當中，即不斷有人深思、提問：《聖經》如何看待暴力？耶穌是「和平主義者」嗎？
舊約《聖經》裏的神，直接或間接使用暴力賞善罰惡、保護以色列人，是常有的事；《創世紀》中的「天火焚城」、《出埃及記》中的「降十災」都是最好例子（後者中的第十災尤其厲害，匪夷所思；見《出》12:12）。
耶穌不應發出「義怒」 ？
不過，今天的基督徒都不同程度相信「替換神學」（Supersessionism），認為耶穌之死，即是以「新約」取代「舊約」，對「神」的理解已經不同於舊時希伯來人；認為耶穌的「山中聖訓」才包含終極真理，比摩西從耶和華手中得到的「十誡」更能代表基督徒信仰，而「山中聖訓」的一個重要信條，便是「愛與和平」。因此，今天的基督徒都知道，要愛仇人，甚至不能動怒，「不可含怒到日落」（《以弗所書》 4:26的後半句）。
但耶穌在聖殿裏的身教，卻是教人可以「義怒」，甚至在要「達義」的前提下，不僅可以怒、可以違法，甚至還可以輕度動武。動怒與「義怒」之間，界限如何劃分？具體放在今天的香港，又如何辨別？面對中共政權在港代理人的胡作非為，要強調《保羅致羅馬人書》13:1-7，還是要緊記《約翰福音》2:13-16？即：要相信世上「所有權柄都是出於神」、要堅守「不可含怒到日落」，還是要發「義怒」、要奪回「我父的殿」、要「佔中」？
目下的「佔中」運動強調「愛與和平」、絕不使用暴力，調子比耶穌在聖殿裏的行為更溫和，而本地某教派的教牧卻申明：參與「佔中」運動的教友應逐出教會；「公然煽動」別人參與的牧師，應取消會籍。如此，教友就必然會問：這位教牧怎樣看待《約》2:13-16的那位「佔中」的耶穌？也更會問：如果這位教牧活在當時的耶路撒冷，他會是像耶穌的門徒那樣善意解讀耶穌「義怒」之下的行為，還是會像一些猶太人那樣，於耶穌「佔中」後，站在大司祭一方支持他們暗地裏對祂動殺機？
這些歷史和現實問題，都有難以取捨的答案選項；然而，任何關心香港前途的公民都不能迴避，必須直面、求解。為之內心掙扎，更是每一個基督徒必須自己背負的十字架，毋由旁人越俎代庖。
最後，談到耶穌說過的「我父的殿」。顯然，在耶穌心中，聖典不是大司祭的私產，也不是做買賣的人專有，而是「父的」，因而是神的所有兒女的。放到香港的場景裏，就有一個相同的問題：「佔中」的場地——中環的公共空間，其物權到底誰屬？是權貴的呢，是商賈的呢，還是所有市民的呢？回答這個問題，「佔中」便有多一層意義。篇幅關係，這點留待另文論述。
作者為《信報》特約評論員
【註1】歷代畫家不少以此題材作畫，El Greco的參見http://en.wikipedia.org/wiki/File:El_Greco_016.jpg。
【註2】Rawls的理論，見9月5日拙文〈快樂學習：談談公民抗命的適當性〉。
.END
看耶穌「佔中」 問中環誰屬
《約翰福音》2:13-16描述了當年發生在耶路撒冷的一次「佔中」事件，主角就是拿撒勒人耶穌。這個事件，其他三部《福音》也有記載，箇中涵義，也許今天香港的基督徒尤其有興趣思考、討論，因為有利觀照目下「佔中」運動的「義」與「宜」。對非基督徒而言，耶穌的實踐更提出了一個此前鮮有人留意過、質疑過的問題：中環公共空間的物權到底誰屬？
在耶穌生活的年代，耶路撒冷城也有一個「中環」。據說平日那裏人聲鼎沸，商業密集，遊客隨處可見，一年一度的猶太逾越節「黃金周」之際，各地前來的民眾據說多至三四十萬。這個「中環」的心臟，就是那座有名的耶路撒冷聖殿。聖殿非常宏偉，有好幾百年歷史，首次建成之後毀於戰亂，後來由羅馬帝國的幾代帝王負責重新興建，最後在希律王治下完成。殿裏面，還有法院、禮拜堂、文化中心、本地政教權力中心——猶太教大司祭的辦公地方；此外，殿裏還開設繁忙的金融市場，讓外來人以羅馬、希臘貨幣兌換本地猶太貨幣和專門用以繳付聖殿稅的「泰爾」錢。
耶穌損害商界利益？
所有這些商業活動本來都是合適的，集中在聖殿的「外方人院」（Gentiles Court）裏，可謂便民，但久而久之，不僅貨幣市場，連祭祀用的牲口買賣場，也逐步擴張，擠及原本用來造禮拜的空間裏去了。耶路撒冷是耶穌傳道的最後站；耶穌進城之後來到聖殿，看到這種情況，發了「義怒」，於是便有那《聖經》中的「佔中」故事。考慮到非基督徒讀者也許不清楚這關鍵一幕，筆者把《約翰福音》中的有關段落完整引述：
「猶太人的逾越節近了，耶穌就上耶路撒冷去。看見殿裏有賣牛、羊、鴿子的，並有兌換銀錢的人坐在那裏，耶穌就拿繩子做成鞭子，把牛羊都趕出殿去，倒出兌換銀錢之人的銀錢，推翻他們的桌子，又對賣鴿子的說：把這些東西拿去！不要將我父的殿當作買賣的地方。」（取自《聖經》中文和合本）【註1】
由於《聖經》影響巨大，這一幕的情節，有好幾點值得大眾留意、討論：
一、在事件發生過程中，耶穌動用了簡單的自製「攻擊性武器」和「最輕度暴力」，幸好暴力對像是畜牲不是人；若有相關法律的話，耶穌算是犯了輕微「虐畜罪」。當然，那些牛、羊、鴿子等，完全都是無辜的；
二、耶穌在搗毀「金融市場」之時，也很可能犯了輕微的「刑事毀壞罪」，對象也是物件不是人；
三、上述兩點，今天嚴格來說是非法的，耶穌的行為，因此是一種「違法達義」；而且，祂心目中的「義」，不一定為所有人認同；
四、耶穌採取違法手段之前，顯然沒有嘗試過「用盡其他合法途徑」包括各種對話方式去解決問題；
五、耶穌的行為，損害了商界利益，影響了不少人的生計，造成一些遊客、朝聖者、本地消費者的不便（當地社會因之承受的經濟代價每天是多少，對當年的耶路撒冷GDP有多大影響，筆者沒有算出，但由一些專門的經濟史學家用已經是很標準的方法推算，並不太難）；
六、商人可在聖殿裏的禮拜堂做買賣，顯然經全權負責管理聖殿的猶太教大司祭和其他政教人員默許，當中可能牽涉錢權交易；然則耶穌之舉，觸及權貴利益，其後遭殺身之禍，最直接近因可能就是這個；
七、耶穌的那次「違法達義」，似乎並沒有帶來一些人想像中必然出現的「連鎖效應」，反而有在祂死後、保羅倡導的對俗世政權的順服（後者於上周四拙文裏討論過）；
八、耶穌在該事件中的行為並不尋常，祂的門徒也未必即時理解，後來卻是支持的；這點或可從跟着的《約》2:17 的寫法看出：「他的門徒就想起經上記着說：我為你的殿心裏焦急，如同火燒。」這當然也反映了《約翰福音》作者的觀點。
耶穌不走合法途徑？
由於有以上各點，香港的基督徒面對逼近眉睫的本地「佔中」運動，或多或少都會感到困惑，因為上述《福音》故事描繪的耶穌，其行為起碼有兩個方面竟然比哲學家 John Rawls 定義的「公民抗命」範式行為更激進【註2】！
在 Rawls 的論述裏，違法達義行為必須是和平的，而且只能是在抗爭者用盡其他合法途徑、試圖消除嚴重不義而不果的情況底下才可使用的手段；但是，耶穌在事件中的行為，恰恰沒有滿足這兩個前提。這一點，會特別令信奉基督的人感到為難；為此筆者嘗試進一步分析，希望有助思考。
一、如何看待耶穌在採取激進手段違法達義之前，沒有「用盡其他合法途徑」？
筆者認為，耶穌沒有那樣做，很可能是因為沒有必要：祂已經知道「所有其他合法途徑」都走不通。這不需要假定耶穌是全知的神。我們從《聖經》得知，耶穌早在少年時就跟猶太司祭辯駁交手，其後更在長年的宣道活動中不斷接觸巴勒斯坦各地的政教勢力，料必明白其中既得利益如何盤根錯節不可理喻。如此，又何必花時間精力走完所有「合法途徑」呢？
而且，有些「合法途徑」並不是你想走便走得通的。大家看看香港的情況：社會人士（不僅是泛民）一再要求政府早點開展政改諮詢，以便有更多時間讓公眾討論；結果如何？再者，何謂走完「所有」合法途徑呢？三部曲可以變七部曲，七部曲可以變十三部曲；多幾個人大釋法，便有多幾條乃至幾十條「合法途徑」，如此層出不窮，如何走得完？耶穌的達義辦法很簡單，就是明知走不完的「合法途徑」，一條也不走，不像「佔中三子」那樣磨破嘴皮到處做解釋找支持求諒解卻換來左報罵得狗血淋頭。耶穌乾淨利落，一上場就違法。
基督徒如果明白教義，讀懂《聖經》並接受耶穌言傳身教，大概不會像「忽然法治」的中共官員那樣，批評耶穌沒走完「所有」合法途徑便上演那幕耶路撒冷的「佔中」。
二、如何看待耶穌在採取違法達義手段之時，使用了輕度╱適度暴力？
每當社會運動勃興之際，古今中外的基督徒當中，即不斷有人深思、提問：《聖經》如何看待暴力？耶穌是「和平主義者」嗎？
舊約《聖經》裏的神，直接或間接使用暴力賞善罰惡、保護以色列人，是常有的事；《創世紀》中的「天火焚城」、《出埃及記》中的「降十災」都是最好例子（後者中的第十災尤其厲害，匪夷所思；見《出》12:12）。
耶穌不應發出「義怒」 ？
不過，今天的基督徒都不同程度相信「替換神學」（Supersessionism），認為耶穌之死，即是以「新約」取代「舊約」，對「神」的理解已經不同於舊時希伯來人；認為耶穌的「山中聖訓」才包含終極真理，比摩西從耶和華手中得到的「十誡」更能代表基督徒信仰，而「山中聖訓」的一個重要信條，便是「愛與和平」。因此，今天的基督徒都知道，要愛仇人，甚至不能動怒，「不可含怒到日落」（《以弗所書》 4:26的後半句）。
但耶穌在聖殿裏的身教，卻是教人可以「義怒」，甚至在要「達義」的前提下，不僅可以怒、可以違法，甚至還可以輕度動武。動怒與「義怒」之間，界限如何劃分？具體放在今天的香港，又如何辨別？面對中共政權在港代理人的胡作非為，要強調《保羅致羅馬人書》13:1-7，還是要緊記《約翰福音》2:13-16？即：要相信世上「所有權柄都是出於神」、要堅守「不可含怒到日落」，還是要發「義怒」、要奪回「我父的殿」、要「佔中」？
目下的「佔中」運動強調「愛與和平」、絕不使用暴力，調子比耶穌在聖殿裏的行為更溫和，而本地某教派的教牧卻申明：參與「佔中」運動的教友應逐出教會；「公然煽動」別人參與的牧師，應取消會籍。如此，教友就必然會問：這位教牧怎樣看待《約》2:13-16的那位「佔中」的耶穌？也更會問：如果這位教牧活在當時的耶路撒冷，他會是像耶穌的門徒那樣善意解讀耶穌「義怒」之下的行為，還是會像一些猶太人那樣，於耶穌「佔中」後，站在大司祭一方支持他們暗地裏對祂動殺機？
這些歷史和現實問題，都有難以取捨的答案選項；然而，任何關心香港前途的公民都不能迴避，必須直面、求解。為之內心掙扎，更是每一個基督徒必須自己背負的十字架，毋由旁人越俎代庖。
最後，談到耶穌說過的「我父的殿」。顯然，在耶穌心中，聖典不是大司祭的私產，也不是做買賣的人專有，而是「父的」，因而是神的所有兒女的。放到香港的場景裏，就有一個相同的問題：「佔中」的場地——中環的公共空間，其物權到底誰屬？是權貴的呢，是商賈的呢，還是所有市民的呢？回答這個問題，「佔中」便有多一層意義。篇幅關係，這點留待另文論述。
作者為《信報》特約評論員
【註1】歷代畫家不少以此題材作畫，El Greco的參見http://en.wikipedia.org/wiki/File:El_Greco_016.jpg。
【註2】Rawls的理論，見9月5日拙文〈快樂學習：談談公民抗命的適當性〉。
.END
Wednesday 25 September 2013
I am a sinner - Pope Francis
勇敢的教宗 - 區樂民 蘋果日報 2013年09月25日
教宗接受意大利耶穌會刊物的專訪，暢談多個話題。他的說話，教人耳目一新。全文刊登在這個網址：
http://www.americamagazine.org/pope-interview
編輯問教宗怎樣形容自己，教宗答道：「我有點敏銳，能適應環境，也有點天真，但最真實的，我是一個受天主眷顧的罪人。」
教宗認為，教會是所有人的家，不是只容納一小撮人的小教堂。教會的重點是包容，非排斥。
教宗說：「曾有人用挑戰的語調問我是否贊成同性戀，我這樣回覆：『當天主看見一個同性戀者，天主會以愛支持他，還是拒絕他、譴責他呢？』我們一定要考慮整個人。」
編輯問教會現時最需要做甚麼，教宗答道：「把福音傳至每個街角。」這個需要，好比一家戰地醫院，若不先治療傷口，談論膽固醇是沒有用的。
「有時候，教會把自己困在小事情、小規條裏。宣揚『耶穌拯救了你』才是最重要的……我們不可只圍繞着墮胎、同性婚姻、人工避孕等議題。」
教宗勇於走出傳統，今年復活節前的濯足禮，他走到羈留所為兩名女犯人洗腳。有人稱讚他，但也有保守人士批評這種做法；按傳統，被洗腳的都是男人，因為十二門徒全屬男性。
前人做甚麼，我們便做甚麼，那是最「安全」的。但作為教徒，也應想想，當年耶穌傳道，其中一個特點正是提出許多嶄新的觀點。
教會裏，人們的想法是多元的，教宗說的話，不可能被每個人接受。儘管如此，無論自由派還是保守派，都會覺得，教宗方濟各是個勇敢的人。
區樂民
A Big Heart Open to God September 30, 2013Antonio Spadaro, S.J.
http://www.americamagazine.org/pope-interview
The exclusive interview with Pope Francis
Editor’s Note: This interview with Pope Francis took place over the course of three meetings during August 2013 in Rome. The interview was conducted in person by Antonio Spadaro, S.J., editor in chief of La Civiltà Cattolica, the Italian Jesuit journal. Father Spadaro conducted the interview on behalf of La Civiltà Cattolica, America and several other major Jesuit journals around the world.
The editorial teams at each of the journals prepared questions and sent them to Father Spadaro, who then consolidated and organized them. The interview was conducted in Italian. After the Italian text was officially approved, America commissioned a team of five independent experts to translate it into English. America is solely responsible for the accuracy of this translation. This interview is copyrighted by America Press and cannot be used, except for brief quotations, without written permission.
This is the text of the interview as compiled by Antonio Spadaro, S.J. For reasons of space, the print edition of America contains a slightly edited version of the interview.
It is Monday August 19, 2013. I have an appointment with Pope Francis at 10 a.m. in Santa Marta. I, however, inherited from my father the habit of arriving early for everything. The people who welcome me tell me to make myself comfortable in one of the parlours. I do not have to wait for long and after a few minutes I am brought over to the lift. This short wait gave me the opportunity to remember the meeting in Lisbon of the editors of a number of journals of the Society of Jesus, at which the proposal emerged to publish jointly an interview with the pope. I had a discussion with the other editors, during which we proposed some questions that would express everyone’s interests. I emerge from the lift and I see the pope already waiting for me at the door. In meeting him here, I had the pleasant impression that I was not crossing any threshold.
The setting is simple, austere. The workspace occupied by the desk is small. I am impressed not only by the simplicity of the furniture, but also by the objects in the room. There are only a few. These include an icon of St. Francis, a statue of Our Lady of Luján, patron saint of Argentina, a crucifix and a statue of St. Joseph sleeping. The spirituality of Jorge Mario Bergoglio is not made of “harmonized energies,” as he would call them, but of human faces: Christ, St. Francis, St. Joseph and Mary.
The pope speaks of his trip to Brazil. He considers it a true grace, that World Youth Day was for him a “mystery.” He says that he is not used to talking to so many people: “I can look at individual persons, one at a time, to come into contact in a personal way with the person I have before me. I am not used to the masses,” the pope remarks. He also speaks about the moment during the conclave when he began to realize that he might be elected pope. At lunch on Wednesday, March 13, he felt a deep and inexplicable inner peace and comfort come over him, he said, along with a great darkness. And those feelings accompanied him until his election later that day.
The pope had spoken earlier about his great difficulty in giving interviews. He said that he prefers to think rather than provide answers on the spot in interviews. In this interview the pope interrupted what he was saying in response to a question several times, in order to add something to an earlier response. Talking with Pope Francis is a kind of volcanic flow of ideas that are bound up with each other. Even taking notes gives me an uncomfortable feeling, as if I were trying to suppress a surging spring of dialogue.
Who Is Jorge Mario Bergoglio?
I am a sinner. This is the most accurate definition. It is not a figure of speech, a literary genre. I am a sinner.I ask Pope Francis point-blank: “Who is Jorge Mario Bergoglio?” He stares at me in silence. I ask him if I may ask him this question. He nods and replies: “I do not know what might be the most fitting description.... I am a sinner. This is the most accurate definition. It is not a figure of speech, a literary genre. I am a sinner.”
The pope continues to reflect and concentrate, as if he did not expect this question, as if he were forced to reflect further. “Yes, perhaps I can say that I am a bit astute, that I can adapt to circumstances, but it is also true that I am a bit naïve. Yes, but the best summary, the one that comes more from the inside and I feel most true is this: I am a sinner whom the Lord has looked upon.” And he repeats: “I am one who is looked upon by the Lord. I always felt my motto, Miserando atque Eligendo [By Having Mercy and by Choosing Him], was very true for me.”
The motto is taken from the Homilies of Bede the Venerable, who writes in his comments on the Gospel story of the calling of Matthew: “Jesus saw a publican, and since he looked at him with feelings of love and chose him, he said to him, ‘Follow me.’” The pope adds: “I think the Latin gerund miserando is impossible to translate in both Italian and Spanish. I like to translate it with another gerund that does not exist: misericordiando [“mercy-ing”].
"The Calling of Saint Matthew," Caravaggio
Pope Francis continues his reflection and says, jumping to another topic: “I do not know Rome well. I know a few things. These include the Basilica of St. Mary Major; I always used to go there. I know St. Mary Major, St. Peter’s...but when I had to come to Rome, I always stayed in [the neighborhood of] Via della Scrofa. From there I often visited the Church of St. Louis of France, and I went there to contemplate the painting of ‘The Calling of St. Matthew,’ by Caravaggio.
“That finger of Jesus, pointing at Matthew. That’s me. I feel like him. Like Matthew.” Here the pope becomes determined, as if he had finally found the image he was looking for: “It is the gesture of Matthew that strikes me: he holds on to his money as if to say, ‘No, not me! No, this money is mine.’ Here, this is me, a sinner on whom the Lord has turned his gaze. And this is what I said when they asked me if I would accept my election as pontiff.” Then the pope whispers in Latin: “I am a sinner, but I trust in the infinite mercy and patience of our Lord Jesus Christ, and I accept in a spirit of penance.”
Why Did You Become a Jesuit?
I continue: “Holy Father, what made you choose to enter the Society of Jesus? What struck you about the Jesuit order?”
“I wanted something more. But I did not know what. I entered the diocesan seminary. I liked the Dominicans and I had Dominican friends. But then I chose the Society of Jesus, which I knew well because the seminary was entrusted to the Jesuits. Three things in particular struck me about the Society: the missionary spirit, community and discipline. And this is strange, because I am a really, really undisciplined person. But their discipline, the way they manage their time—these things struck me so much.
“And then a thing that is really important for me: community. I was always looking for a community. I did not see myself as a priest on my own. I need a community. And you can tell this by the fact that I am here in Santa Marta. At the time of the conclave I lived in Room 207. (The rooms were assigned by drawing lots.) This room where we are now was a guest room. I chose to live here, in Room 201, because when I took possession of the papal apartment, inside myself I distinctly heard a ‘no.’ The papal apartment in the Apostolic Palace is not luxurious. It is old, tastefully decorated and large, but not luxurious. But in the end it is like an inverted funnel. It is big and spacious, but the entrance is really tight. People can come only in dribs and drabs, and I cannot live without people. I need to live my life with others.”
What Does It Mean for a Jesuit to Be Bishop of Rome?
I ask Pope Francis about the fact that he is the first Jesuit to be elected bishop of Rome: “How do you understand the role of service to the universal church that you have been called to play in the light of Ignatian spirituality? What does it mean for a Jesuit to be elected pope? What element of Ignatian spirituality helps you live your ministry?”
“Discernment,” he replies. “Discernment is one of the things that worked inside St. Ignatius. For him it is an instrument of struggle in order to know the Lord and follow him more closely. I was always struck by a saying that describes the vision of Ignatius: non coerceri a maximo, sed contineri a minimo divinum est (“not to be limited by the greatest and yet to be contained in the tiniest—this is the divine”). I thought a lot about this phrase in connection with the issue of different roles in the government of the church, about becoming the superior of somebody else: it is important not to be restricted by a larger space, and it is important to be able to stay in restricted spaces. This virtue of the large and small is magnanimity. Thanks to magnanimity, we can always look at the horizon from the position where we are. That means being able to do the little things of every day with a big heart open to God and to others. That means being able to appreciate the small things inside large horizons, those of the kingdom of God.
“This motto,” the pope continues, “offers parameters to assume a correct position for discernment, in order to hear the things of God from God’s ‘point of view.’ According to St. Ignatius, great principles must be embodied in the circumstances of place, time and people. In his own way, John XXIII adopted this attitude with regard to the government of the church, when he repeated the motto, ‘See everything; turn a blind eye to much; correct a little.’ John XXIII saw all things, the maximum dimension, but he chose to correct a few, the minimum dimension. You can have large projects and implement them by means of a few of the smallest things. Or you can use weak means that are more effective than strong ones, as Paul also said in his First Letter to the Corinthians.
I believe that we always need time to lay the foundations for real, effective change.“This discernment takes time. For example, many think that changes and reforms can take place in a short time. I believe that we always need time to lay the foundations for real, effective change. And this is the time of discernment. Sometimes discernment instead urges us to do precisely what you had at first thought you would do later. And that is what has happened to me in recent months. Discernment is always done in the presence of the Lord, looking at the signs, listening to the things that happen, the feeling of the people, especially the poor. My choices, including those related to the day-to-day aspects of life, like the use of a modest car, are related to a spiritual discernment that responds to a need that arises from looking at things, at people and from reading the signs of the times. Discernment in the Lord guides me in my way of governing.
“But I am always wary of decisions made hastily. I am always wary of the first decision, that is, the first thing that comes to my mind if I have to make a decision. This is usually the wrong thing. I have to wait and assess, looking deep into myself, taking the necessary time. The wisdom of discernment redeems the necessary ambiguity of life and helps us find the most appropriate means, which do not always coincide with what looks great and strong.”
The Society of Jesus
Discernment is therefore a pillar of the spirituality of Pope Francis. It expresses in a particular manner his Jesuit identity. I ask him then how the Society of Jesus can be of service to the church today, what are its characteristics, but also the possible challenges facing the Society of Jesus.
The Society of Jesus is an institution in tension,” the pope replied, “always fundamentally in tension. A Jesuit is a person who is not centered in himself. The Society itself also looks to a center outside itself; its center is Christ and his church.“The Society of Jesus is an institution in tension,” the pope replied, “always fundamentally in tension. A Jesuit is a person who is not centered in himself. The Society itself also looks to a center outside itself; its center is Christ and his church. So if the Society centers itself in Christ and the church, it has two fundamental points of reference for its balance and for being able to live on the margins, on the frontier. If it looks too much in upon itself, it puts itself at the center as a very solid, very well ‘armed’ structure, but then it runs the risk of feeling safe and self-sufficient. The Society must always have before itself the Deus semper maior, the always-greater God, and the pursuit of the ever greater glory of God, the church as true bride of Christ our Lord, Christ the king who conquers us and to whom we offer our whole person and all our hard work, even if we are clay pots, inadequate. This tension takes us out of ourselves continuously. The tool that makes the Society of Jesus not centered in itself, really strong, is, then, the account of conscience, which is at the same time paternal and fraternal, because it helps the Society to fulfill its mission better.”
The pope is referring to the requirement in the Constitutions of the Society of Jesus that the Jesuit must “manifest his conscience,” that is, his inner spiritual situation, so that the superior can be more conscious and knowledgeable about sending a person on mission.
“But it is difficult to speak of the Society,” continues Pope Francis. “When you express too much, you run the risk of being misunderstood. The Society of Jesus can be described only in narrative form. Only in narrative form do you discern, not in a philosophical or theological explanation, which allows you rather to discuss. The style of the Society is not shaped by discussion, but by discernment, which of course presupposes discussion as part of the process. The mystical dimension of discernment never defines its edges and does not complete the thought. The Jesuit must be a person whose thought is incomplete, in the sense of open-ended thinking. There have been periods in the Society in which Jesuits have lived in an environment of closed and rigid thought, more instructive-ascetic than mystical: this distortion of Jesuit life gave birth to the Epitome Instituti.”
The pope is referring to a compendium, made for practical purposes, that came to be seen as a replacement for the Constitutions. The formation of Jesuits for some time was shaped by this text, to the extent that some never read the Constitutions, the foundational text. During this period, in the pope’s view, the rules threatened to overwhelm the spirit, and the Society yielded to the temptation to explicate and define its charism too narrowly.
Pope Francis continues: “No, the Jesuit always thinks, again and again, looking at the horizon toward which he must go, with Christ at the center. This is his real strength. And that pushes the Society to be searching, creative and generous. So now, more than ever, the Society of Jesus must be contemplative in action, must live a profound closeness to the whole church as both the ‘people of God’ and ‘holy mother the hierarchical church.’ This requires much humility, sacrifice and courage, especially when you are misunderstood or you are the subject of misunderstandings and slanders, but that is the most fruitful attitude. Let us think of the tensions of the past history, in the previous centuries, about the Chinese rites controversy, the Malabar rites and the Reductions in Paraguay.
“I am a witness myself to the misunderstandings and problems that the Society has recently experienced. Among those there were tough times, especially when it came to the issue of extending to all Jesuits the fourth vow of obedience to the pope. What gave me confidence at the time of Father Arrupe [superior general of the Jesuits from 1965 to 1983] was the fact that he was a man of prayer, a man who spent much time in prayer. I remember him when he prayed sitting on the ground in the Japanese style. For this he had the right attitude and made the right decisions.”
The Model: Peter Faber, ‘Reformed Priest’
I am wondering if there are figures among the Jesuits, from the origins of the Society to the present date, that have affected him in a particular way, so I ask the pope who they are and why. He begins by mentioning Ignatius Loyola [founder of the Jesuits] and Francis Xavier, but then focuses on a figure who is not as well known to the general public: Peter Faber (1506-46), from Savoy. He was one of the first companions of St. Ignatius, in fact the first, with whom he shared a room when the two were students at the University of Paris. The third roommate was Francis Xavier. Pius IX declared Faber blessed on Sept. 5, 1872, and the cause for his canonization is still open.
The pope cites an edition of Faber’s works, which he asked two Jesuit scholars, Miguel A. Fiorito and Jaime H. Amadeo, to edit and publish when he was provincial superior of the Jesuits in Argentina. An edition that he particularly likes is the one by Michel de Certeau. I ask the pope why he is so impressed by Faber.
“[His] dialogue with all,” the pope says, “even the most remote and even with his opponents; his simple piety, a certain naïveté perhaps, his being available straightaway, his careful interior discernment, the fact that he was a man capable of great and strong decisions but also capable of being so gentle and loving.”
Michel de Certeau characterized Faber simply as “the reformed priest,” for whom interior experience, dogmatic expression and structural reform are inseparable. The pope then continues with a reflection on the true face of the founder of the Society.
“Ignatius is a mystic, not an ascetic,” he says. “It irritates me when I hear that the Spiritual Exercises are ‘Ignatian’ only because they are done in silence. In fact, the Exercises can be perfectly Ignatian also in daily life and without the silence. An interpretation of the Spiritual Exercises that emphasizes asceticism, silence and penance is a distorted one that became widespread even in the Society, especially in the Society of Jesus in Spain. I am rather close to the mystical movement, that of Louis Lallement and Jean-Joseph Surin. And Faber was a mystic.”
Experience in Church Government
What kind of experience in church government, as a Jesuit superior and then as superior of a province of the Society of Jesus, helped to fully form Father Bergoglio? The style of governance of the Society of Jesus involves decisions made by the superior, but also extensive consultation with his official advisors. So I ask: “Do you think that your past government experience can serve you in governing the universal church?” After a brief pause for reflection, he responds:
“In my experience as superior in the Society, to be honest, I have not always behaved in that way—that is, I did not always do the necessary consultation. And this was not a good thing. My style of government as a Jesuit at the beginning had many faults. That was a difficult time for the Society: an entire generation of Jesuits had disappeared. Because of this I found myself provincial when I was still very young. I was only 36 years old. That was crazy. I had to deal with difficult situations, and I made my decisions abruptly and by myself. Yes, but I must add one thing: when I entrust something to someone, I totally trust that person. He or she must make a really big mistake before I rebuke that person. But despite this, eventually people get tired of authoritarianism.
To be sure, I have never been like Blessed Imelda [a goody-goody], but I have never been a right-winger. It was my authoritarian way of making decisions that created problems“My authoritarian and quick manner of making decisions led me to have serious problems and to be accused of being ultraconservative. I lived a time of great interior crisis when I was in Cordova. To be sure, I have never been like Blessed Imelda [a goody-goody], but I have never been a right-winger. It was my authoritarian way of making decisions that created problems.
“I say these things from life experience and because I want to make clear what the dangers are. Over time I learned many things. The Lord has allowed this growth in knowledge of government through my faults and my sins. So as Archbishop of Buenos Aires, I had a meeting with the six auxiliary bishops every two weeks, and several times a year with the council of priests. They asked questions and we opened the floor for discussion. This greatly helped me to make the best decisions. But now I hear some people tell me: ‘Do not consult too much, and decide by yourself.’ Instead, I believe that consultation is very important.
I do not want token consultations, but real consultations.“The consistories [of cardinals], the synods [of bishops] are, for example, important places to make real and active this consultation. We must, however, give them a less rigid form. I do not want token consultations, but real consultations. The consultation group of eight cardinals, this ‘outsider’ advisory group, is not only my decision, but it is the result of the will of the cardinals, as it was expressed in the general congregations before the conclave. And I want to see that this is a real, not ceremonial consultation.”
Thinking With the Church
I ask Pope Francis what it means exactly for him to “think with the church,” a notion St. Ignatius writes about in the Spiritual Exercises. He replies using an image.
“The image of the church I like is that of the holy, faithful people of God. This is the definition I often use, and then there is that image from the Second Vatican Council’s ‘Dogmatic Constitution on the Church’ (No. 12). Belonging to a people has a strong theological value. In the history of salvation, God has saved a people. There is no full identity without belonging to a people. No one is saved alone, as an isolated individual, but God attracts us looking at the complex web of relationships that take place in the human community. God enters into this dynamic, this participation in the web of human relationships.
“The people itself constitutes a subject. And the church is the people of God on the journey through history, with joys and sorrows. Thinking with the church, therefore, is my way of being a part of this people. And all the faithful, considered as a whole, are infallible in matters of belief, and the people display this infallibilitas in credendo, this infallibility in believing, through a supernatural sense of the faith of all the people walking together. This is what I understand today as the ‘thinking with the church’ of which St. Ignatius speaks. When the dialogue among the people and the bishops and the pope goes down this road and is genuine, then it is assisted by the Holy Spirit. So this thinking with the church does not concern theologians only.
We should not even think, therefore, that ‘thinking with the church’ means only thinking with the hierarchy of the church.“This is how it is with Mary: If you want to know who she is, you ask theologians; if you want to know how to love her, you have to ask the people. In turn, Mary loved Jesus with the heart of the people, as we read in the Magnificat. We should not even think, therefore, that ‘thinking with the church’ means only thinking with the hierarchy of the church.”
After a brief pause, Pope Francis emphasizes the following point, in order to avoid misunderstandings: “And, of course, we must be very careful not to think that this infallibilitas of all the faithful I am talking about in the light of Vatican II is a form of populism. No; it is the experience of ‘holy mother the hierarchical church,’ as St. Ignatius called it, the church as the people of God, pastors and people together. The church is the totality of God’s people.
“I see the sanctity of God’s people, this daily sanctity,” the pope continues. “There is a ‘holy middle class,’ which we can all be part of, the holiness Malègue wrote about.” The pope is referring to Joseph Malègue, a French writer (1876–1940), particularly to the unfinished trilogy Black Stones: The Middle Classes of Salvation.
“I see the holiness,” the pope continues, “in the patience of the people of God: a woman who is raising children, a man who works to bring home the bread, the sick, the elderly priests who have so many wounds but have a smile on their faces because they served the Lord, the sisters who work hard and live a hidden sanctity. This is for me the common sanctity. I often associate sanctity with patience: not only patience as hypomoné [the New Testament Greek word], taking charge of the events and circumstances of life, but also as a constancy in going forward, day by day. This is the sanctity of the militant church also mentioned by St. Ignatius. This was the sanctity of my parents: my dad, my mom, my grandmother Rosa who loved me so much. In my breviary I have the last will of my grandmother Rosa, and I read it often. For me it is like a prayer. She is a saint who has suffered so much, also spiritually, and yet always went forward with courage.
“This church with which we should be thinking is the home of all, not a small chapel that can hold only a small group of selected people. We must not reduce the bosom of the universal church to a nest protecting our mediocrity. And the church is Mother; the church is fruitful. It must be. You see, when I perceive negative behavior in ministers of the church or in consecrated men or women, the first thing that comes to mind is: ‘Here’s an unfruitful bachelor’ or ‘Here’s a spinster.’ They are neither fathers nor mothers, in the sense that they have not been able to give spiritual life. Instead, for example, when I read the life of the Salesian missionaries who went to Patagonia, I read a story of the fullness of life, of fruitfulness.
“Another example from recent days that I saw got the attention of newspapers: the phone call I made to a young man who wrote me a letter. I called him because that letter was so beautiful, so simple. For me this was an act of generativity. I realized that he was a young man who is growing, that he saw in me a father, and that the letter tells something of his life to that father. The father cannot say, ‘I do not care.’ This type of fruitfulness is so good for me.”
Young Churches and Ancient Churches
Remaining with the subject of the church, I ask the pope a question in light of the recent World Youth Day. This great event has turned the spotlight on young people, but also on those “spiritual lungs” that are the Catholic churches founded in historically recent times. “What,” I ask, “are your hopes for the universal church that come from these churches?”
The pope replies: “The young Catholic churches, as they grow, develop a synthesis of faith, culture and life, and so it is a synthesis different from the one developed by the ancient churches. For me, the relationship between the ancient Catholic churches and the young ones is similar to the relationship between young and elderly people in a society. They build the future, the young ones with their strength and the others with their wisdom. You always run some risks, of course. The younger churches are likely to feel self-sufficient; the ancient ones are likely to want to impose on the younger churches their cultural models. But we build the future together.”
The Church as Field Hospital
Pope Benedict XVI, in announcing his resignation, said that the contemporary world is subject to rapid change and is grappling with issues of great importance for the life of faith. Dealing with these issues requires strength of body and soul, Pope Benedict said. I ask Pope Francis: “What does the church need most at this historic moment? Do we need reforms? What are your wishes for the church in the coming years? What kind of church do you dream of?”
Pope Francis begins by showing great affection and immense respect for his predecessor: “Pope Benedict has done an act of holiness, greatness, humility. He is a man of God.
the thing the church needs most today is the ability to heal wounds and to warm the hearts of the faithful; it needs nearness, proximity. I see the church as a field hospital after battle.“I see clearly,” the pope continues, “that the thing the church needs most today is the ability to heal wounds and to warm the hearts of the faithful; it needs nearness, proximity. I see the church as a field hospital after battle. It is useless to ask a seriously injured person if he has high cholesterol and about the level of his blood sugars! You have to heal his wounds. Then we can talk about everything else. Heal the wounds, heal the wounds.... And you have to start from the ground up.
“The church sometimes has locked itself up in small things, in small-minded rules. The most important thing is the first proclamation: Jesus Christ has saved you. And the ministers of the church must be ministers of mercy above all. The confessor, for example, is always in danger of being either too much of a rigorist or too lax. Neither is merciful, because neither of them really takes responsibility for the person. The rigorist washes his hands so that he leaves it to the commandment. The loose minister washes his hands by simply saying, ‘This is not a sin’ or something like that. In pastoral ministry we must accompany people, and we must heal their wounds.
“How are we treating the people of God? I dream of a church that is a mother and shepherdess. The church’s ministers must be merciful, take responsibility for the people and accompany them like the good Samaritan, who washes, cleans and raises up his neighbor. This is pure Gospel. God is greater than sin. The structural and organizational reforms are secondary—that is, they come afterward. The first reform must be the attitude. The ministers of the Gospel must be people who can warm the hearts of the people, who walk through the dark night with them, who know how to dialogue and to descend themselves into their people’s night, into the darkness, but without getting lost. The people of God want pastors, not clergy acting like bureaucrats or government officials. The bishops, particularly, must be able to support the movements of God among their people with patience, so that no one is left behind. But they must also be able to accompany the flock that has a flair for finding new paths.
“Instead of being just a church that welcomes and receives by keeping the doors open, let us try also to be a church that finds new roads, that is able to step outside itself and go to those who do not attend Mass, to those who have quit or are indifferent. The ones who quit sometimes do it for reasons that, if properly understood and assessed, can lead to a return. But that takes audacity and courage.”
I mention to Pope Francis that there are Christians who live in situations that are irregular for the church or in complex situations that represent open wounds. I mention the divorced and remarried, same-sex couples and other difficult situations. What kind of pastoral work can we do in these cases? What kinds of tools can we use?
“We need to proclaim the Gospel on every street corner,” the pope says, “preaching the good news of the kingdom and healing, even with our preaching, every kind of disease and wound. In Buenos Aires I used to receive letters from homosexual persons who are ‘socially wounded’ because they tell me that they feel like the church has always condemned them. But the church does not want to do this. During the return flight from Rio de Janeiro I said that if a homosexual person is of good will and is in search of God, I am no one to judge. By saying this, I said what the catechism says. Religion has the right to express its opinion in the service of the people, but God in creation has set us free: it is not possible to interfere spiritually in the life of a person.
A person once asked me, in a provocative manner, if I approved of homosexuality. I replied with another question: ‘Tell me: when God looks at a gay person, does he endorse the existence of this person with love, or reject and condemn this person?’ We must always consider the person. “A person once asked me, in a provocative manner, if I approved of homosexuality. I replied with another question: ‘Tell me: when God looks at a gay person, does he endorse the existence of this person with love, or reject and condemn this person?’ We must always consider the person. Here we enter into the mystery of the human being. In life, God accompanies persons, and we must accompany them, starting from their situation. It is necessary to accompany them with mercy. When that happens, the Holy Spirit inspires the priest to say the right thing.
“This is also the great benefit of confession as a sacrament: evaluating case by case and discerning what is the best thing to do for a person who seeks God and grace. The confessional is not a torture chamber, but the place in which the Lord’s mercy motivates us to do better. I also consider the situation of a woman with a failed marriage in her past and who also had an abortion. Then this woman remarries, and she is now happy and has five children. That abortion in her past weighs heavily on her conscience and she sincerely regrets it. She would like to move forward in her Christian life. What is the confessor to do?
“We cannot insist only on issues related to abortion, gay marriage and the use of contraceptive methods. This is not possible. I have not spoken much about these things, and I was reprimanded for that. But when we speak about these issues, we have to talk about them in a context. The teaching of the church, for that matter, is clear and I am a son of the church, but it is not necessary to talk about these issues all the time.
The dogmatic and moral teachings of the church are not all equivalent. The church’s pastoral ministry cannot be obsessed with the transmission of a disjointed multitude of doctrines to be imposed insistently. “The dogmatic and moral teachings of the church are not all equivalent. The church’s pastoral ministry cannot be obsessed with the transmission of a disjointed multitude of doctrines to be imposed insistently. Proclamation in a missionary style focuses on the essentials, on the necessary things: this is also what fascinates and attracts more, what makes the heart burn, as it did for the disciples at Emmaus. We have to find a new balance; otherwise even the moral edifice of the church is likely to fall like a house of cards, losing the freshness and fragrance of the Gospel. The proposal of the Gospel must be more simple, profound, radiant. It is from this proposition that the moral consequences then flow.
“I say this also thinking about the preaching and content of our preaching. A beautiful homily, a genuine sermon must begin with the first proclamation, with the proclamation of salvation. There is nothing more solid, deep and sure than this proclamation. Then you have to do catechesis. Then you can draw even a moral consequence. But the proclamation of the saving love of God comes before moral and religious imperatives. Today sometimes it seems that the opposite order is prevailing. The homily is the touchstone to measure the pastor’s proximity and ability to meet his people, because those who preach must recognize the heart of their community and must be able to see where the desire for God is lively and ardent. The message of the Gospel, therefore, is not to be reduced to some aspects that, although relevant, on their own do not show the heart of the message of Jesus Christ.”
A Religious Order Pope
Pope Francis is the first pontiff from a religious order since the Camaldolese monk Gregory XVI, who was elected in 1831. I ask: “What is the specific place of religious men and women in the church of today?”
“Religious men and women are prophets,” says the pope. “They are those who have chosen a following of Jesus that imitates his life in obedience to the Father, poverty, community life and chastity. In this sense, the vows cannot end up being caricatures; otherwise, for example, community life becomes hell, and chastity becomes a way of life for unfruitful bachelors. The vow of chastity must be a vow of fruitfulness. In the church, the religious are called to be prophets in particular by demonstrating how Jesus lived on this earth, and to proclaim how the kingdom of God will be in its perfection. A religious must never give up prophecy. This does not mean opposing the hierarchical part of the church, although the prophetic function and the hierarchical structure do not coincide. I am talking about a proposal that is always positive, but it should not cause timidity. Let us think about what so many great saints, monks and religious men and women have done, from St. Anthony the Abbot onward. Being prophets may sometimes imply making waves. I do not know how to put it.... Prophecy makes noise, uproar, some say ‘a mess.’ But in reality, the charism of religious people is like yeast: prophecy announces the spirit of the Gospel.”
The Roman Curia
I ask the pope what he thinks of the dicasteries of the Roman Curia, the various departments that assist the pope in his mission.
It is amazing to see the denunciations for lack of orthodoxy that come to Rome. I think the cases should be investigated by the local bishops’ conferences, which can get valuable assistance from Rome. These cases, in fact, are much better dealt with locally.“The dicasteries of the Roman Curia are at the service of the pope and the bishops,” he says. “They must help both the particular churches and the bishops’ conferences. They are instruments of help. In some cases, however, when they are not functioning well, they run the risk of becoming institutions of censorship. It is amazing to see the denunciations for lack of orthodoxy that come to Rome. I think the cases should be investigated by the local bishops’ conferences, which can get valuable assistance from Rome. These cases, in fact, are much better dealt with locally. The Roman congregations are mediators; they are not middlemen or managers.”
On June 29, during the ceremony of the blessing and imposition of the pallium on 34 metropolitan archbishops, Pope Francis spoke about “the path of collegiality” as the road that can lead the church to “grow in harmony with the service of primacy.” So I ask: “How can we reconcile in harmony Petrine primacy and collegiality? Which roads are feasible also from an ecumenical perspective?”
The pope responds, “We must walk together: the people, the bishops and the pope. Synodality should be lived at various levels. Maybe it is time to change the methods of the Synod of Bishops, because it seems to me that the current method is not dynamic. This will also have ecumenical value, especially with our Orthodox brethren. From them we can learn more about the meaning of episcopal collegiality and the tradition of synodality. The joint effort of reflection, looking at how the church was governed in the early centuries, before the breakup between East and West, will bear fruit in due time. In ecumenical relations it is important not only to know each other better, but also to recognize what the Spirit has sown in the other as a gift for us. I want to continue the discussion that was begun in 2007 by the joint [Catholic–Orthodox] commission on how to exercise the Petrine primacy, which led to the signing of the Ravenna Document. We must continue on this path.”
I ask how Pope Francis envisions the future unity of the church in light of this response. He answers: “We must walk united with our differences: there is no other way to become one. This is the way of Jesus.”
Women in the Life of the Church
And what about the role of women in the church? The pope has made reference to this issue on several occasions. He took up the matter during the return trip from Rio de Janeiro, claiming that the church still lacks a profound theology of women. I ask: “What should be the role of women in the church? How do we make their role more visible today?”
We must therefore investigate further the role of women in the church.*He answers: “It is necessary to broaden the opportunities for a stronger presence of women in the church. I am wary of a solution that can be reduced to a kind of ‘female machismo,’ because a woman has a different make-up than a man. But what I hear about the role of women is often inspired by an ideology of machismo. Women are asking deep questions that must be addressed. The church cannot be herself without the woman and her role. The woman is essential for the church. Mary, a woman, is more important than the bishops. I say this because we must not confuse the function with the dignity. We must therefore investigate further the role of women in the church. We have to work harder to develop a profound theology of the woman. Only by making this step will it be possible to better reflect on their function within the church. The feminine genius is needed wherever we make important decisions. The challenge today is this: to think about the specific place of women also in those places where the authority of the church is exercised for various areas of the church.”
The Second Vatican Council
“What did the Second Vatican Council accomplish?” I ask.
“Vatican II was a re-reading of the Gospel in light of contemporary culture,” says the pope. “Vatican II produced a renewal movement that simply comes from the same Gospel. Its fruits are enormous. Just recall the liturgy. The work of liturgical reform has been a service to the people as a re-reading of the Gospel from a concrete historical situation. Yes, there are hermeneutics of continuity and discontinuity, but one thing is clear: the dynamic of reading the Gospel, actualizing its message for today—which was typical of Vatican II—is absolutely irreversible. Then there are particular issues, like the liturgy according to the Vetus Ordo. I think the decision of Pope Benedict [his decision of July 7, 2007, to allow a wider use of the Tridentine Mass] was prudent and motivated by the desire to help people who have this sensitivity. What is worrying, though, is the risk of the ideologization of the Vetus Ordo, its exploitation.”
To Seek and Find God in All Things
At the World Youth Day in Rio de Janeiro, Pope Francis repeatedly declared: “God is real. He manifests himself today. God is everywhere.” These are phrases that echo the Ignatian expression “to seek and find God in all things.” So I ask the pope: “How do you seek and find God in all things?”
“What I said in Rio referred to the time in which we seek God,” he answers. “In fact, there is a temptation to seek God in the past or in a possible future. God is certainly in the past because we can see the footprints. And God is also in the future as a promise. But the ‘concrete’ God, so to speak, is today. For this reason, complaining never helps us find God. The complaints of today about how ‘barbaric’ the world is—these complaints sometimes end up giving birth within the church to desires to establish order in the sense of pure conservation, as a defense. No: God is to be encountered in the world of today.
“God manifests himself in historical revelation, in history. Time initiates processes, and space crystallizes them. God is in history, in the processes.
“We must not focus on occupying the spaces where power is exercised, but rather on starting long-run historical processes. We must initiate processes rather than occupy spaces. God manifests himself in time and is present in the processes of history. This gives priority to actions that give birth to new historical dynamics. And it requires patience, waiting.
“Finding God in all things is not an ‘empirical eureka.’ When we desire to encounter God, we would like to verify him immediately by an empirical method. But you cannot meet God this way. God is found in the gentle breeze perceived by Elijah. The senses that find God are the ones St. Ignatius called spiritual senses. Ignatius asks us to open our spiritual sensitivity to encounter God beyond a purely empirical approach. A contemplative attitude is necessary: it is the feeling that you are moving along the good path of understanding and affection toward things and situations. Profound peace, spiritual consolation, love of God and love of all things in God—this is the sign that you are on this right path.”
Certitude and Mistakes
I ask, “So if the encounter with God is not an ‘empirical eureka,’ and if it is a journey that sees with the eyes of history, then we can also make mistakes?”
The pope replies: “Yes, in this quest to seek and find God in all things there is still an area of uncertainty. There must be. If a person says that he met God with total certainty and is not touched by a margin of uncertainty, then this is not good. For me, this is an important key. If one has the answers to all the questions—that is the proof that God is not with him. It means that he is a false prophet using religion for himself. The great leaders of the people of God, like Moses, have always left room for doubt. You must leave room for the Lord, not for our certainties; we must be humble. Uncertainty is in every true discernment that is open to finding confirmation in spiritual consolation.
“The risk in seeking and finding God in all things, then, is the willingness to explain too much, to say with human certainty and arrogance: ‘God is here.’ We will find only a god that fits our measure. The correct attitude is that of St. Augustine: seek God to find him, and find God to keep searching for God forever. Often we seek as if we were blind, as one often reads in the Bible. And this is the experience of the great fathers of the faith, who are our models. We have to re-read the Letter to the Hebrews, Chapter 11. Abraham leaves his home without knowing where he was going, by faith. All of our ancestors in the faith died seeing the good that was promised, but from a distance.... Our life is not given to us like an opera libretto, in which all is written down; but it means going, walking, doing, searching, seeing.... We must enter into the adventure of the quest for meeting God; we must let God search and encounter us.
“Because God is first; God is always first and makes the first move. God is a bit like the almond flower of your Sicily, Antonio, which always blooms first. We read it in the Prophets. God is encountered walking, along the path. At this juncture, someone might say that this is relativism. Is it relativism? Yes, if it is misunderstood as a kind of indistinct pantheism. It is not relativism if it is understood in the biblical sense, that God is always a surprise, so you never know where and how you will find him. You are not setting the time and place of the encounter with him. You must, therefore, discern the encounter. Discernment is essential.
If the Christian is a restorationist, a legalist, if he wants everything clear and safe, then he will find nothing.“If the Christian is a restorationist, a legalist, if he wants everything clear and safe, then he will find nothing. Tradition and memory of the past must help us to have the courage to open up new areas to God. Those who today always look for disciplinarian solutions, those who long for an exaggerated doctrinal ‘security,’ those who stubbornly try to recover a past that no longer exists—they have a static and inward-directed view of things. In this way, faith becomes an ideology among other ideologies. I have a dogmatic certainty: God is in every person’s life. God is in everyone’s life. Even if the life of a person has been a disaster, even if it is destroyed by vices, drugs or anything else—God is in this person’s life. You can, you must try to seek God in every human life. Although the life of a person is a land full of thorns and weeds, there is always a space in which the good seed can grow. You have to trust God.”
Must We Be Optimistic?
The pope’s words remind me of some of his past reflections, in which as a cardinal he wrote that God is already living in the city, in the midst of all and united to each. It is another way, in my opinion, to say what St. Ignatius wrote in the Spiritual Exercises, that God “labors and works” in our world. So I ask: “Do we have to be optimistic? What are the signs of hope in today’s world? How can I be optimistic in a world in crisis?”
“I do not like to use the word optimism because that is about a psychological attitude,” the pope says. “I like to use the word hope instead, according to what we read in the Letter to the Hebrews, Chapter 11, that I mentioned before. The fathers of the faith kept walking, facing difficulties. And hope does not disappoint, as we read in the Letter to the Romans. Think instead of the first riddle of Puccini’s opera ‘Turandot,’” the pope suggests.
At that moment I recalled more or less by heart the verses of the riddle of the princess in that opera, to which the solution is hope: “In the gloomy night flies an iridescent ghost./ It rises and opens its wings/ on the infinite black humanity./ The whole world invokes it/ and the whole world implores it./ But the ghost disappears with the dawn/ to be reborn in the heart./ And every night it is born/ and every day it dies!”
“See,” says Pope Francis, “Christian hope is not a ghost and it does not deceive. It is a theological virtue and therefore, ultimately, a gift from God that cannot be reduced to optimism, which is only human. God does not mislead hope; God cannot deny himself. God is all promise.”
Art and Creativity
I am struck by the reference the pope just made to Puccini’s “Turandot” while speaking of the mystery of hope. I would like to understand better his artistic and literary references. I remind him that in 2006 he said that great artists know how to present the tragic and painful realities of life with beauty. So I ask who are the artists and writers he prefers, and if they have something in common.
“I have really loved a diverse array of authors. I love very much Dostoevsky and Hölderlin. I remember Hölderlin for that poem written for the birthday of his grandmother that is very beautiful and was spiritually very enriching for me. The poem ends with the verse, ‘May the man hold fast to what the child has promised.’ I was also impressed because I loved my grandmother Rosa, and in that poem Hölderlin compares his grandmother to the Virgin Mary, who gave birth to Jesus, the friend of the earth who did not consider anybody a foreigner.
“I have read The Betrothed, by Alessandro Manzoni, three times, and I have it now on my table because I want to read it again. Manzoni gave me so much. When I was a child, my grandmother taught me by heart the beginning of The Betrothed: ‘That branch of Lake Como that turns off to the south between two unbroken chains of mountains....’ I also liked Gerard Manley Hopkins very much.
“Among the great painters, I admire Caravaggio; his paintings speak to me. But also Chagall, with his ‘White Crucifixion.’ Among musicians I love Mozart, of course. The ‘Et incarnatus est’ from his Mass in C minor is matchless; it lifts you to God! I love Mozart performed by Clara Haskil. Mozart fulfills me. But I cannot think about his music; I have to listen to it. I like listening to Beethoven, but in a Promethean way, and the most Promethean interpreter for me is Furtwängler. And then Bach’s Passions. The piece by Bach that I love so much is the ‘Erbarme Dich,’ the tears of Peter in the ‘St. Matthew Passion.’ Sublime. Then, at a different level, not intimate in the same way, I love Wagner. I like to listen to him, but not all the time. The performance of Wagner’s ‘Ring’ by Furtwängler at La Scala in Milan in 1950 is for me the best. But also the ‘Parsifal’ by Knappertsbusch in 1962.
“We should also talk about the cinema. ‘La Strada,’ by Fellini, is the movie that perhaps I loved the most. I identify with this movie, in which there is an implicit reference to St. Francis. I also believe that I watched all of the Italian movies with Anna Magnani and Aldo Fabrizi when I was between 10 and 12 years old. Another film that I loved is ‘Rome, Open City.’ I owe my film culture especially to my parents who used to take us to the movies quite often.
“Anyway, in general I love tragic artists, especially classical ones. There is a nice definition that Cervantes puts on the lips of the bachelor Carrasco to praise the story of Don Quixote: ‘Children have it in their hands, young people read it, adults understand it, the elderly praise it.’ For me this can be a good definition of the classics.”
I ask the pope about teaching literature to his secondary school students.
“It was a bit risky,” he answers. “I had to make sure that my students read El Cid. But the boys did not like it. They wanted to read Garcia Lorca. Then I decided that they would study El Cid at home and that in class I would teach the authors the boys liked the most. Of course, young people wanted to read more ‘racy’ literary works, like the contemporary La Casada Infiel or classics like La Celestina, by Fernando de Rojas. But by reading these things they acquired a taste in literature, poetry, and we went on to other authors. And that was for me a great experience. I completed the program, but in an unstructured way—that is, not ordered according to what we expected in the beginning, but in an order that came naturally by reading these authors. And this mode befitted me: I did not like to have a rigid schedule, but rather I liked to know where we had to go with the readings, with a rough sense of where we were headed. Then I also started to get them to write. In the end I decided to send Borges two stories written by my boys. I knew his secretary, who had been my piano teacher. And Borges liked those stories very much. And then he set out to write the introduction to a collection of these writings.”
“Then, Holy Father, creativity is important for the life of a person?” I ask. He laughs and replies: “For a Jesuit it is extremely important! A Jesuit must be creative.”
Frontiers and Laboratories
During a visit by the fathers and staff of La Civiltà Cattolica, the pope had spoken about the importance of the triad “dialogue, discernment, frontier.” And he insisted particularly on the last point, citing Paul VI and what he had said in a famous speech about the Jesuits: “Wherever in the church—even in the most difficult and extreme fields, in the crossroads of ideologies, in the social trenches—there has been and is now conversation between the deepest desires of human beings and the perennial message of the Gospel, Jesuits have been and are there.” I ask Pope Francis what should be the priorities of journals published by the Society of Jesus.
Ours is not a ‘lab faith,’ but a ‘journey faith,’ a historical faith. “The three key words that I commended to La Civiltà Cattolica can be extended to all the journals of the Society, perhaps with different emphases according to their natures and their objectives. When I insist on the frontier, I am referring in a particular way to the need for those who work in the world of culture to be inserted into the context in which they operate and on which they reflect. There is always the lurking danger of living in a laboratory. Ours is not a ‘lab faith,’ but a ‘journey faith,’ a historical faith. God has revealed himself as history, not as a compendium of abstract truths. I am afraid of laboratories because in the laboratory you take the problems and then you bring them home to tame them, to paint them, out of their context. You cannot bring home the frontier, but you have to live on the border and be audacious.”
I ask for examples from his personal experience.
“When it comes to social issues, it is one thing to have a meeting to study the problem of drugs in a slum neighborhood and quite another thing to go there, live there and understand the problem from the inside and study it. There is a brilliant letter by Father Arrupe to the Centers for Social Research and Action on poverty, in which he says clearly that one cannot speak of poverty if one does not experience poverty, with a direct connection to the places in which there is poverty. The word insertion is dangerous because some religious have taken it as a fad, and disasters have occurred because of a lack of discernment. But it is truly important.”
“The frontiers are many. Let us think of the religious sisters living in hospitals. They live on the frontier. I am alive because of one of them. When I went through my lung disease at the hospital, the doctor gave me penicillin and streptomycin in certain doses. The sister who was on duty tripled my doses because she was daringly astute; she knew what to do because she was with ill people all day. The doctor, who really was a good one, lived in his laboratory; the sister lived on the frontier and was in dialogue with it every day. Domesticating the frontier means just talking from a remote location, locking yourself up in a laboratory. Laboratories are useful, but reflection for us must always start from experience.”
Human Self-Understanding
I ask Pope Francis about the enormous changes occurring in society and the way human beings are reinterpreting themselves. At this point he gets up and goes to get the breviary from his desk. It is in Latin, now worn from use. He opens to the Office of Readings for Friday of the 27th Week in Ordinary Time and reads me a passage from the Commonitorium Primum of St. Vincent of Lerins: “Even the dogma of the Christian religion must follow these laws, consolidating over the years, developing over time, deepening with age.”
The view of the church’s teaching as a monolith to defend without nuance or different understandings is wrong.The pope comments: “St. Vincent of Lerins makes a comparison between the biological development of man and the transmission from one era to another of the deposit of faith, which grows and is strengthened with time. Here, human self-understanding changes with time and so also human consciousness deepens. Let us think of when slavery was accepted or the death penalty was allowed without any problem. So we grow in the understanding of the truth. Exegetes and theologians help the church to mature in her own judgment. Even the other sciences and their development help the church in its growth in understanding. There are ecclesiastical rules and precepts that were once effective, but now they have lost value or meaning. The view of the church’s teaching as a monolith to defend without nuance or different understandings is wrong.
“After all, in every age of history, humans try to understand and express themselves better. So human beings in time change the way they perceive themselves. It’s one thing for a man who expresses himself by carving the ‘Winged Victory of Samothrace,’ yet another for Caravaggio, Chagall and yet another still for Dalí. Even the forms for expressing truth can be multiform, and this is indeed necessary for the transmission of the Gospel in its timeless meaning.
“Humans are in search of themselves, and, of course, in this search they can also make mistakes. The church has experienced times of brilliance, like that of Thomas Aquinas. But the church has lived also times of decline in its ability to think. For example, we must not confuse the genius of Thomas Aquinas with the age of decadent Thomist commentaries. Unfortunately, I studied philosophy from textbooks that came from decadent or largely bankrupt Thomism. In thinking of the human being, therefore, the church should strive for genius and not for decadence.
“When does a formulation of thought cease to be valid? When it loses sight of the human or even when it is afraid of the human or deluded about itself. The deceived thought can be depicted as Ulysses encountering the song of the Siren, or as Tannhäuser in an orgy surrounded by satyrs and bacchantes, or as Parsifal, in the second act of Wagner’s opera, in the palace of Klingsor. The thinking of the church must recover genius and better understand how human beings understand themselves today, in order to develop and deepen the church’s teaching.”
Prayer
I ask Pope Francis about his preferred way to pray.
“I pray the breviary every morning. I like to pray with the psalms. Then, later, I celebrate Mass. I pray the Rosary. What I really prefer is adoration in the evening, even when I get distracted and think of other things, or even fall asleep praying. In the evening then, between seven and eight o’clock, I stay in front of the Blessed Sacrament for an hour in adoration. But I pray mentally even when I am waiting at the dentist or at other times of the day.
“Prayer for me is always a prayer full of memory, of recollection, even the memory of my own history or what the Lord has done in his church or in a particular parish. For me it is the memory of which St. Ignatius speaks in the First Week of the Exercises in the encounter with the merciful Christ crucified. And I ask myself: ‘What have I done for Christ? What am I doing for Christ? What should I do for Christ?’ It is the memory of which Ignatius speaks in the ‘Contemplation for Experiencing Divine Love,’ when he asks us to recall the gifts we have received. But above all, I also know that the Lord remembers me. I can forget about him, but I know that he never, ever forgets me. Memory has a fundamental role for the heart of a Jesuit: memory of grace, the memory mentioned in Deuteronomy, the memory of God’s works that are the basis of the covenant between God and the people. It is this memory that makes me his son and that makes me a father, too.”
Editor in chief Matt Malone, S.J., talks about America's interview with the pope.
Read this interview in Italian in La Civilta Cattolica (pdf).
To reply to this article, comment below or email letters@americamagazine.org.
*This interview has been revised to reflect the following correction:
Correction: September 24, 2013
Due to a production error, an earlier version of this interview did not contain this sentence: “It is necessary to broaden the opportunities for a stronger presence of women in the church.”
Antonio Spadaro, S.J., is the editor in chief of La Civiltà Cattolica, a journal published in Rome by the Society of Jesus since 1850. The translators were: Massimo Faggioli, Sarah Christopher Faggioli, Dominic Robinson, S.J., Patrick J. Howell, S.J., and Griffin Oleynick.
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教宗接受意大利耶穌會刊物的專訪，暢談多個話題。他的說話，教人耳目一新。全文刊登在這個網址：
http://www.americamagazine.org/pope-interview
編輯問教宗怎樣形容自己，教宗答道：「我有點敏銳，能適應環境，也有點天真，但最真實的，我是一個受天主眷顧的罪人。」
教宗認為，教會是所有人的家，不是只容納一小撮人的小教堂。教會的重點是包容，非排斥。
教宗說：「曾有人用挑戰的語調問我是否贊成同性戀，我這樣回覆：『當天主看見一個同性戀者，天主會以愛支持他，還是拒絕他、譴責他呢？』我們一定要考慮整個人。」
編輯問教會現時最需要做甚麼，教宗答道：「把福音傳至每個街角。」這個需要，好比一家戰地醫院，若不先治療傷口，談論膽固醇是沒有用的。
「有時候，教會把自己困在小事情、小規條裏。宣揚『耶穌拯救了你』才是最重要的……我們不可只圍繞着墮胎、同性婚姻、人工避孕等議題。」
教宗勇於走出傳統，今年復活節前的濯足禮，他走到羈留所為兩名女犯人洗腳。有人稱讚他，但也有保守人士批評這種做法；按傳統，被洗腳的都是男人，因為十二門徒全屬男性。
前人做甚麼，我們便做甚麼，那是最「安全」的。但作為教徒，也應想想，當年耶穌傳道，其中一個特點正是提出許多嶄新的觀點。
教會裏，人們的想法是多元的，教宗說的話，不可能被每個人接受。儘管如此，無論自由派還是保守派，都會覺得，教宗方濟各是個勇敢的人。
區樂民
A Big Heart Open to God September 30, 2013Antonio Spadaro, S.J.
http://www.americamagazine.org/pope-interview
The exclusive interview with Pope Francis
Editor’s Note: This interview with Pope Francis took place over the course of three meetings during August 2013 in Rome. The interview was conducted in person by Antonio Spadaro, S.J., editor in chief of La Civiltà Cattolica, the Italian Jesuit journal. Father Spadaro conducted the interview on behalf of La Civiltà Cattolica, America and several other major Jesuit journals around the world.
The editorial teams at each of the journals prepared questions and sent them to Father Spadaro, who then consolidated and organized them. The interview was conducted in Italian. After the Italian text was officially approved, America commissioned a team of five independent experts to translate it into English. America is solely responsible for the accuracy of this translation. This interview is copyrighted by America Press and cannot be used, except for brief quotations, without written permission.
This is the text of the interview as compiled by Antonio Spadaro, S.J. For reasons of space, the print edition of America contains a slightly edited version of the interview.
It is Monday August 19, 2013. I have an appointment with Pope Francis at 10 a.m. in Santa Marta. I, however, inherited from my father the habit of arriving early for everything. The people who welcome me tell me to make myself comfortable in one of the parlours. I do not have to wait for long and after a few minutes I am brought over to the lift. This short wait gave me the opportunity to remember the meeting in Lisbon of the editors of a number of journals of the Society of Jesus, at which the proposal emerged to publish jointly an interview with the pope. I had a discussion with the other editors, during which we proposed some questions that would express everyone’s interests. I emerge from the lift and I see the pope already waiting for me at the door. In meeting him here, I had the pleasant impression that I was not crossing any threshold.
The setting is simple, austere. The workspace occupied by the desk is small. I am impressed not only by the simplicity of the furniture, but also by the objects in the room. There are only a few. These include an icon of St. Francis, a statue of Our Lady of Luján, patron saint of Argentina, a crucifix and a statue of St. Joseph sleeping. The spirituality of Jorge Mario Bergoglio is not made of “harmonized energies,” as he would call them, but of human faces: Christ, St. Francis, St. Joseph and Mary.
The pope speaks of his trip to Brazil. He considers it a true grace, that World Youth Day was for him a “mystery.” He says that he is not used to talking to so many people: “I can look at individual persons, one at a time, to come into contact in a personal way with the person I have before me. I am not used to the masses,” the pope remarks. He also speaks about the moment during the conclave when he began to realize that he might be elected pope. At lunch on Wednesday, March 13, he felt a deep and inexplicable inner peace and comfort come over him, he said, along with a great darkness. And those feelings accompanied him until his election later that day.
The pope had spoken earlier about his great difficulty in giving interviews. He said that he prefers to think rather than provide answers on the spot in interviews. In this interview the pope interrupted what he was saying in response to a question several times, in order to add something to an earlier response. Talking with Pope Francis is a kind of volcanic flow of ideas that are bound up with each other. Even taking notes gives me an uncomfortable feeling, as if I were trying to suppress a surging spring of dialogue.
Who Is Jorge Mario Bergoglio?
I am a sinner. This is the most accurate definition. It is not a figure of speech, a literary genre. I am a sinner.I ask Pope Francis point-blank: “Who is Jorge Mario Bergoglio?” He stares at me in silence. I ask him if I may ask him this question. He nods and replies: “I do not know what might be the most fitting description.... I am a sinner. This is the most accurate definition. It is not a figure of speech, a literary genre. I am a sinner.”
The pope continues to reflect and concentrate, as if he did not expect this question, as if he were forced to reflect further. “Yes, perhaps I can say that I am a bit astute, that I can adapt to circumstances, but it is also true that I am a bit naïve. Yes, but the best summary, the one that comes more from the inside and I feel most true is this: I am a sinner whom the Lord has looked upon.” And he repeats: “I am one who is looked upon by the Lord. I always felt my motto, Miserando atque Eligendo [By Having Mercy and by Choosing Him], was very true for me.”
The motto is taken from the Homilies of Bede the Venerable, who writes in his comments on the Gospel story of the calling of Matthew: “Jesus saw a publican, and since he looked at him with feelings of love and chose him, he said to him, ‘Follow me.’” The pope adds: “I think the Latin gerund miserando is impossible to translate in both Italian and Spanish. I like to translate it with another gerund that does not exist: misericordiando [“mercy-ing”].
"The Calling of Saint Matthew," Caravaggio
Pope Francis continues his reflection and says, jumping to another topic: “I do not know Rome well. I know a few things. These include the Basilica of St. Mary Major; I always used to go there. I know St. Mary Major, St. Peter’s...but when I had to come to Rome, I always stayed in [the neighborhood of] Via della Scrofa. From there I often visited the Church of St. Louis of France, and I went there to contemplate the painting of ‘The Calling of St. Matthew,’ by Caravaggio.
“That finger of Jesus, pointing at Matthew. That’s me. I feel like him. Like Matthew.” Here the pope becomes determined, as if he had finally found the image he was looking for: “It is the gesture of Matthew that strikes me: he holds on to his money as if to say, ‘No, not me! No, this money is mine.’ Here, this is me, a sinner on whom the Lord has turned his gaze. And this is what I said when they asked me if I would accept my election as pontiff.” Then the pope whispers in Latin: “I am a sinner, but I trust in the infinite mercy and patience of our Lord Jesus Christ, and I accept in a spirit of penance.”
Why Did You Become a Jesuit?
I continue: “Holy Father, what made you choose to enter the Society of Jesus? What struck you about the Jesuit order?”
“I wanted something more. But I did not know what. I entered the diocesan seminary. I liked the Dominicans and I had Dominican friends. But then I chose the Society of Jesus, which I knew well because the seminary was entrusted to the Jesuits. Three things in particular struck me about the Society: the missionary spirit, community and discipline. And this is strange, because I am a really, really undisciplined person. But their discipline, the way they manage their time—these things struck me so much.
“And then a thing that is really important for me: community. I was always looking for a community. I did not see myself as a priest on my own. I need a community. And you can tell this by the fact that I am here in Santa Marta. At the time of the conclave I lived in Room 207. (The rooms were assigned by drawing lots.) This room where we are now was a guest room. I chose to live here, in Room 201, because when I took possession of the papal apartment, inside myself I distinctly heard a ‘no.’ The papal apartment in the Apostolic Palace is not luxurious. It is old, tastefully decorated and large, but not luxurious. But in the end it is like an inverted funnel. It is big and spacious, but the entrance is really tight. People can come only in dribs and drabs, and I cannot live without people. I need to live my life with others.”
What Does It Mean for a Jesuit to Be Bishop of Rome?
I ask Pope Francis about the fact that he is the first Jesuit to be elected bishop of Rome: “How do you understand the role of service to the universal church that you have been called to play in the light of Ignatian spirituality? What does it mean for a Jesuit to be elected pope? What element of Ignatian spirituality helps you live your ministry?”
“Discernment,” he replies. “Discernment is one of the things that worked inside St. Ignatius. For him it is an instrument of struggle in order to know the Lord and follow him more closely. I was always struck by a saying that describes the vision of Ignatius: non coerceri a maximo, sed contineri a minimo divinum est (“not to be limited by the greatest and yet to be contained in the tiniest—this is the divine”). I thought a lot about this phrase in connection with the issue of different roles in the government of the church, about becoming the superior of somebody else: it is important not to be restricted by a larger space, and it is important to be able to stay in restricted spaces. This virtue of the large and small is magnanimity. Thanks to magnanimity, we can always look at the horizon from the position where we are. That means being able to do the little things of every day with a big heart open to God and to others. That means being able to appreciate the small things inside large horizons, those of the kingdom of God.
“This motto,” the pope continues, “offers parameters to assume a correct position for discernment, in order to hear the things of God from God’s ‘point of view.’ According to St. Ignatius, great principles must be embodied in the circumstances of place, time and people. In his own way, John XXIII adopted this attitude with regard to the government of the church, when he repeated the motto, ‘See everything; turn a blind eye to much; correct a little.’ John XXIII saw all things, the maximum dimension, but he chose to correct a few, the minimum dimension. You can have large projects and implement them by means of a few of the smallest things. Or you can use weak means that are more effective than strong ones, as Paul also said in his First Letter to the Corinthians.
I believe that we always need time to lay the foundations for real, effective change.“This discernment takes time. For example, many think that changes and reforms can take place in a short time. I believe that we always need time to lay the foundations for real, effective change. And this is the time of discernment. Sometimes discernment instead urges us to do precisely what you had at first thought you would do later. And that is what has happened to me in recent months. Discernment is always done in the presence of the Lord, looking at the signs, listening to the things that happen, the feeling of the people, especially the poor. My choices, including those related to the day-to-day aspects of life, like the use of a modest car, are related to a spiritual discernment that responds to a need that arises from looking at things, at people and from reading the signs of the times. Discernment in the Lord guides me in my way of governing.
“But I am always wary of decisions made hastily. I am always wary of the first decision, that is, the first thing that comes to my mind if I have to make a decision. This is usually the wrong thing. I have to wait and assess, looking deep into myself, taking the necessary time. The wisdom of discernment redeems the necessary ambiguity of life and helps us find the most appropriate means, which do not always coincide with what looks great and strong.”
The Society of Jesus
Discernment is therefore a pillar of the spirituality of Pope Francis. It expresses in a particular manner his Jesuit identity. I ask him then how the Society of Jesus can be of service to the church today, what are its characteristics, but also the possible challenges facing the Society of Jesus.
The Society of Jesus is an institution in tension,” the pope replied, “always fundamentally in tension. A Jesuit is a person who is not centered in himself. The Society itself also looks to a center outside itself; its center is Christ and his church.“The Society of Jesus is an institution in tension,” the pope replied, “always fundamentally in tension. A Jesuit is a person who is not centered in himself. The Society itself also looks to a center outside itself; its center is Christ and his church. So if the Society centers itself in Christ and the church, it has two fundamental points of reference for its balance and for being able to live on the margins, on the frontier. If it looks too much in upon itself, it puts itself at the center as a very solid, very well ‘armed’ structure, but then it runs the risk of feeling safe and self-sufficient. The Society must always have before itself the Deus semper maior, the always-greater God, and the pursuit of the ever greater glory of God, the church as true bride of Christ our Lord, Christ the king who conquers us and to whom we offer our whole person and all our hard work, even if we are clay pots, inadequate. This tension takes us out of ourselves continuously. The tool that makes the Society of Jesus not centered in itself, really strong, is, then, the account of conscience, which is at the same time paternal and fraternal, because it helps the Society to fulfill its mission better.”
The pope is referring to the requirement in the Constitutions of the Society of Jesus that the Jesuit must “manifest his conscience,” that is, his inner spiritual situation, so that the superior can be more conscious and knowledgeable about sending a person on mission.
“But it is difficult to speak of the Society,” continues Pope Francis. “When you express too much, you run the risk of being misunderstood. The Society of Jesus can be described only in narrative form. Only in narrative form do you discern, not in a philosophical or theological explanation, which allows you rather to discuss. The style of the Society is not shaped by discussion, but by discernment, which of course presupposes discussion as part of the process. The mystical dimension of discernment never defines its edges and does not complete the thought. The Jesuit must be a person whose thought is incomplete, in the sense of open-ended thinking. There have been periods in the Society in which Jesuits have lived in an environment of closed and rigid thought, more instructive-ascetic than mystical: this distortion of Jesuit life gave birth to the Epitome Instituti.”
The pope is referring to a compendium, made for practical purposes, that came to be seen as a replacement for the Constitutions. The formation of Jesuits for some time was shaped by this text, to the extent that some never read the Constitutions, the foundational text. During this period, in the pope’s view, the rules threatened to overwhelm the spirit, and the Society yielded to the temptation to explicate and define its charism too narrowly.
Pope Francis continues: “No, the Jesuit always thinks, again and again, looking at the horizon toward which he must go, with Christ at the center. This is his real strength. And that pushes the Society to be searching, creative and generous. So now, more than ever, the Society of Jesus must be contemplative in action, must live a profound closeness to the whole church as both the ‘people of God’ and ‘holy mother the hierarchical church.’ This requires much humility, sacrifice and courage, especially when you are misunderstood or you are the subject of misunderstandings and slanders, but that is the most fruitful attitude. Let us think of the tensions of the past history, in the previous centuries, about the Chinese rites controversy, the Malabar rites and the Reductions in Paraguay.
“I am a witness myself to the misunderstandings and problems that the Society has recently experienced. Among those there were tough times, especially when it came to the issue of extending to all Jesuits the fourth vow of obedience to the pope. What gave me confidence at the time of Father Arrupe [superior general of the Jesuits from 1965 to 1983] was the fact that he was a man of prayer, a man who spent much time in prayer. I remember him when he prayed sitting on the ground in the Japanese style. For this he had the right attitude and made the right decisions.”
The Model: Peter Faber, ‘Reformed Priest’
I am wondering if there are figures among the Jesuits, from the origins of the Society to the present date, that have affected him in a particular way, so I ask the pope who they are and why. He begins by mentioning Ignatius Loyola [founder of the Jesuits] and Francis Xavier, but then focuses on a figure who is not as well known to the general public: Peter Faber (1506-46), from Savoy. He was one of the first companions of St. Ignatius, in fact the first, with whom he shared a room when the two were students at the University of Paris. The third roommate was Francis Xavier. Pius IX declared Faber blessed on Sept. 5, 1872, and the cause for his canonization is still open.
The pope cites an edition of Faber’s works, which he asked two Jesuit scholars, Miguel A. Fiorito and Jaime H. Amadeo, to edit and publish when he was provincial superior of the Jesuits in Argentina. An edition that he particularly likes is the one by Michel de Certeau. I ask the pope why he is so impressed by Faber.
“[His] dialogue with all,” the pope says, “even the most remote and even with his opponents; his simple piety, a certain naïveté perhaps, his being available straightaway, his careful interior discernment, the fact that he was a man capable of great and strong decisions but also capable of being so gentle and loving.”
Michel de Certeau characterized Faber simply as “the reformed priest,” for whom interior experience, dogmatic expression and structural reform are inseparable. The pope then continues with a reflection on the true face of the founder of the Society.
“Ignatius is a mystic, not an ascetic,” he says. “It irritates me when I hear that the Spiritual Exercises are ‘Ignatian’ only because they are done in silence. In fact, the Exercises can be perfectly Ignatian also in daily life and without the silence. An interpretation of the Spiritual Exercises that emphasizes asceticism, silence and penance is a distorted one that became widespread even in the Society, especially in the Society of Jesus in Spain. I am rather close to the mystical movement, that of Louis Lallement and Jean-Joseph Surin. And Faber was a mystic.”
Experience in Church Government
What kind of experience in church government, as a Jesuit superior and then as superior of a province of the Society of Jesus, helped to fully form Father Bergoglio? The style of governance of the Society of Jesus involves decisions made by the superior, but also extensive consultation with his official advisors. So I ask: “Do you think that your past government experience can serve you in governing the universal church?” After a brief pause for reflection, he responds:
“In my experience as superior in the Society, to be honest, I have not always behaved in that way—that is, I did not always do the necessary consultation. And this was not a good thing. My style of government as a Jesuit at the beginning had many faults. That was a difficult time for the Society: an entire generation of Jesuits had disappeared. Because of this I found myself provincial when I was still very young. I was only 36 years old. That was crazy. I had to deal with difficult situations, and I made my decisions abruptly and by myself. Yes, but I must add one thing: when I entrust something to someone, I totally trust that person. He or she must make a really big mistake before I rebuke that person. But despite this, eventually people get tired of authoritarianism.
To be sure, I have never been like Blessed Imelda [a goody-goody], but I have never been a right-winger. It was my authoritarian way of making decisions that created problems“My authoritarian and quick manner of making decisions led me to have serious problems and to be accused of being ultraconservative. I lived a time of great interior crisis when I was in Cordova. To be sure, I have never been like Blessed Imelda [a goody-goody], but I have never been a right-winger. It was my authoritarian way of making decisions that created problems.
“I say these things from life experience and because I want to make clear what the dangers are. Over time I learned many things. The Lord has allowed this growth in knowledge of government through my faults and my sins. So as Archbishop of Buenos Aires, I had a meeting with the six auxiliary bishops every two weeks, and several times a year with the council of priests. They asked questions and we opened the floor for discussion. This greatly helped me to make the best decisions. But now I hear some people tell me: ‘Do not consult too much, and decide by yourself.’ Instead, I believe that consultation is very important.
I do not want token consultations, but real consultations.“The consistories [of cardinals], the synods [of bishops] are, for example, important places to make real and active this consultation. We must, however, give them a less rigid form. I do not want token consultations, but real consultations. The consultation group of eight cardinals, this ‘outsider’ advisory group, is not only my decision, but it is the result of the will of the cardinals, as it was expressed in the general congregations before the conclave. And I want to see that this is a real, not ceremonial consultation.”
Thinking With the Church
I ask Pope Francis what it means exactly for him to “think with the church,” a notion St. Ignatius writes about in the Spiritual Exercises. He replies using an image.
“The image of the church I like is that of the holy, faithful people of God. This is the definition I often use, and then there is that image from the Second Vatican Council’s ‘Dogmatic Constitution on the Church’ (No. 12). Belonging to a people has a strong theological value. In the history of salvation, God has saved a people. There is no full identity without belonging to a people. No one is saved alone, as an isolated individual, but God attracts us looking at the complex web of relationships that take place in the human community. God enters into this dynamic, this participation in the web of human relationships.
“The people itself constitutes a subject. And the church is the people of God on the journey through history, with joys and sorrows. Thinking with the church, therefore, is my way of being a part of this people. And all the faithful, considered as a whole, are infallible in matters of belief, and the people display this infallibilitas in credendo, this infallibility in believing, through a supernatural sense of the faith of all the people walking together. This is what I understand today as the ‘thinking with the church’ of which St. Ignatius speaks. When the dialogue among the people and the bishops and the pope goes down this road and is genuine, then it is assisted by the Holy Spirit. So this thinking with the church does not concern theologians only.
We should not even think, therefore, that ‘thinking with the church’ means only thinking with the hierarchy of the church.“This is how it is with Mary: If you want to know who she is, you ask theologians; if you want to know how to love her, you have to ask the people. In turn, Mary loved Jesus with the heart of the people, as we read in the Magnificat. We should not even think, therefore, that ‘thinking with the church’ means only thinking with the hierarchy of the church.”
After a brief pause, Pope Francis emphasizes the following point, in order to avoid misunderstandings: “And, of course, we must be very careful not to think that this infallibilitas of all the faithful I am talking about in the light of Vatican II is a form of populism. No; it is the experience of ‘holy mother the hierarchical church,’ as St. Ignatius called it, the church as the people of God, pastors and people together. The church is the totality of God’s people.
“I see the sanctity of God’s people, this daily sanctity,” the pope continues. “There is a ‘holy middle class,’ which we can all be part of, the holiness Malègue wrote about.” The pope is referring to Joseph Malègue, a French writer (1876–1940), particularly to the unfinished trilogy Black Stones: The Middle Classes of Salvation.
“I see the holiness,” the pope continues, “in the patience of the people of God: a woman who is raising children, a man who works to bring home the bread, the sick, the elderly priests who have so many wounds but have a smile on their faces because they served the Lord, the sisters who work hard and live a hidden sanctity. This is for me the common sanctity. I often associate sanctity with patience: not only patience as hypomoné [the New Testament Greek word], taking charge of the events and circumstances of life, but also as a constancy in going forward, day by day. This is the sanctity of the militant church also mentioned by St. Ignatius. This was the sanctity of my parents: my dad, my mom, my grandmother Rosa who loved me so much. In my breviary I have the last will of my grandmother Rosa, and I read it often. For me it is like a prayer. She is a saint who has suffered so much, also spiritually, and yet always went forward with courage.
“This church with which we should be thinking is the home of all, not a small chapel that can hold only a small group of selected people. We must not reduce the bosom of the universal church to a nest protecting our mediocrity. And the church is Mother; the church is fruitful. It must be. You see, when I perceive negative behavior in ministers of the church or in consecrated men or women, the first thing that comes to mind is: ‘Here’s an unfruitful bachelor’ or ‘Here’s a spinster.’ They are neither fathers nor mothers, in the sense that they have not been able to give spiritual life. Instead, for example, when I read the life of the Salesian missionaries who went to Patagonia, I read a story of the fullness of life, of fruitfulness.
“Another example from recent days that I saw got the attention of newspapers: the phone call I made to a young man who wrote me a letter. I called him because that letter was so beautiful, so simple. For me this was an act of generativity. I realized that he was a young man who is growing, that he saw in me a father, and that the letter tells something of his life to that father. The father cannot say, ‘I do not care.’ This type of fruitfulness is so good for me.”
Young Churches and Ancient Churches
Remaining with the subject of the church, I ask the pope a question in light of the recent World Youth Day. This great event has turned the spotlight on young people, but also on those “spiritual lungs” that are the Catholic churches founded in historically recent times. “What,” I ask, “are your hopes for the universal church that come from these churches?”
The pope replies: “The young Catholic churches, as they grow, develop a synthesis of faith, culture and life, and so it is a synthesis different from the one developed by the ancient churches. For me, the relationship between the ancient Catholic churches and the young ones is similar to the relationship between young and elderly people in a society. They build the future, the young ones with their strength and the others with their wisdom. You always run some risks, of course. The younger churches are likely to feel self-sufficient; the ancient ones are likely to want to impose on the younger churches their cultural models. But we build the future together.”
The Church as Field Hospital
Pope Benedict XVI, in announcing his resignation, said that the contemporary world is subject to rapid change and is grappling with issues of great importance for the life of faith. Dealing with these issues requires strength of body and soul, Pope Benedict said. I ask Pope Francis: “What does the church need most at this historic moment? Do we need reforms? What are your wishes for the church in the coming years? What kind of church do you dream of?”
Pope Francis begins by showing great affection and immense respect for his predecessor: “Pope Benedict has done an act of holiness, greatness, humility. He is a man of God.
the thing the church needs most today is the ability to heal wounds and to warm the hearts of the faithful; it needs nearness, proximity. I see the church as a field hospital after battle.“I see clearly,” the pope continues, “that the thing the church needs most today is the ability to heal wounds and to warm the hearts of the faithful; it needs nearness, proximity. I see the church as a field hospital after battle. It is useless to ask a seriously injured person if he has high cholesterol and about the level of his blood sugars! You have to heal his wounds. Then we can talk about everything else. Heal the wounds, heal the wounds.... And you have to start from the ground up.
“The church sometimes has locked itself up in small things, in small-minded rules. The most important thing is the first proclamation: Jesus Christ has saved you. And the ministers of the church must be ministers of mercy above all. The confessor, for example, is always in danger of being either too much of a rigorist or too lax. Neither is merciful, because neither of them really takes responsibility for the person. The rigorist washes his hands so that he leaves it to the commandment. The loose minister washes his hands by simply saying, ‘This is not a sin’ or something like that. In pastoral ministry we must accompany people, and we must heal their wounds.
“How are we treating the people of God? I dream of a church that is a mother and shepherdess. The church’s ministers must be merciful, take responsibility for the people and accompany them like the good Samaritan, who washes, cleans and raises up his neighbor. This is pure Gospel. God is greater than sin. The structural and organizational reforms are secondary—that is, they come afterward. The first reform must be the attitude. The ministers of the Gospel must be people who can warm the hearts of the people, who walk through the dark night with them, who know how to dialogue and to descend themselves into their people’s night, into the darkness, but without getting lost. The people of God want pastors, not clergy acting like bureaucrats or government officials. The bishops, particularly, must be able to support the movements of God among their people with patience, so that no one is left behind. But they must also be able to accompany the flock that has a flair for finding new paths.
“Instead of being just a church that welcomes and receives by keeping the doors open, let us try also to be a church that finds new roads, that is able to step outside itself and go to those who do not attend Mass, to those who have quit or are indifferent. The ones who quit sometimes do it for reasons that, if properly understood and assessed, can lead to a return. But that takes audacity and courage.”
I mention to Pope Francis that there are Christians who live in situations that are irregular for the church or in complex situations that represent open wounds. I mention the divorced and remarried, same-sex couples and other difficult situations. What kind of pastoral work can we do in these cases? What kinds of tools can we use?
“We need to proclaim the Gospel on every street corner,” the pope says, “preaching the good news of the kingdom and healing, even with our preaching, every kind of disease and wound. In Buenos Aires I used to receive letters from homosexual persons who are ‘socially wounded’ because they tell me that they feel like the church has always condemned them. But the church does not want to do this. During the return flight from Rio de Janeiro I said that if a homosexual person is of good will and is in search of God, I am no one to judge. By saying this, I said what the catechism says. Religion has the right to express its opinion in the service of the people, but God in creation has set us free: it is not possible to interfere spiritually in the life of a person.
A person once asked me, in a provocative manner, if I approved of homosexuality. I replied with another question: ‘Tell me: when God looks at a gay person, does he endorse the existence of this person with love, or reject and condemn this person?’ We must always consider the person. “A person once asked me, in a provocative manner, if I approved of homosexuality. I replied with another question: ‘Tell me: when God looks at a gay person, does he endorse the existence of this person with love, or reject and condemn this person?’ We must always consider the person. Here we enter into the mystery of the human being. In life, God accompanies persons, and we must accompany them, starting from their situation. It is necessary to accompany them with mercy. When that happens, the Holy Spirit inspires the priest to say the right thing.
“This is also the great benefit of confession as a sacrament: evaluating case by case and discerning what is the best thing to do for a person who seeks God and grace. The confessional is not a torture chamber, but the place in which the Lord’s mercy motivates us to do better. I also consider the situation of a woman with a failed marriage in her past and who also had an abortion. Then this woman remarries, and she is now happy and has five children. That abortion in her past weighs heavily on her conscience and she sincerely regrets it. She would like to move forward in her Christian life. What is the confessor to do?
“We cannot insist only on issues related to abortion, gay marriage and the use of contraceptive methods. This is not possible. I have not spoken much about these things, and I was reprimanded for that. But when we speak about these issues, we have to talk about them in a context. The teaching of the church, for that matter, is clear and I am a son of the church, but it is not necessary to talk about these issues all the time.
The dogmatic and moral teachings of the church are not all equivalent. The church’s pastoral ministry cannot be obsessed with the transmission of a disjointed multitude of doctrines to be imposed insistently. “The dogmatic and moral teachings of the church are not all equivalent. The church’s pastoral ministry cannot be obsessed with the transmission of a disjointed multitude of doctrines to be imposed insistently. Proclamation in a missionary style focuses on the essentials, on the necessary things: this is also what fascinates and attracts more, what makes the heart burn, as it did for the disciples at Emmaus. We have to find a new balance; otherwise even the moral edifice of the church is likely to fall like a house of cards, losing the freshness and fragrance of the Gospel. The proposal of the Gospel must be more simple, profound, radiant. It is from this proposition that the moral consequences then flow.
“I say this also thinking about the preaching and content of our preaching. A beautiful homily, a genuine sermon must begin with the first proclamation, with the proclamation of salvation. There is nothing more solid, deep and sure than this proclamation. Then you have to do catechesis. Then you can draw even a moral consequence. But the proclamation of the saving love of God comes before moral and religious imperatives. Today sometimes it seems that the opposite order is prevailing. The homily is the touchstone to measure the pastor’s proximity and ability to meet his people, because those who preach must recognize the heart of their community and must be able to see where the desire for God is lively and ardent. The message of the Gospel, therefore, is not to be reduced to some aspects that, although relevant, on their own do not show the heart of the message of Jesus Christ.”
A Religious Order Pope
Pope Francis is the first pontiff from a religious order since the Camaldolese monk Gregory XVI, who was elected in 1831. I ask: “What is the specific place of religious men and women in the church of today?”
“Religious men and women are prophets,” says the pope. “They are those who have chosen a following of Jesus that imitates his life in obedience to the Father, poverty, community life and chastity. In this sense, the vows cannot end up being caricatures; otherwise, for example, community life becomes hell, and chastity becomes a way of life for unfruitful bachelors. The vow of chastity must be a vow of fruitfulness. In the church, the religious are called to be prophets in particular by demonstrating how Jesus lived on this earth, and to proclaim how the kingdom of God will be in its perfection. A religious must never give up prophecy. This does not mean opposing the hierarchical part of the church, although the prophetic function and the hierarchical structure do not coincide. I am talking about a proposal that is always positive, but it should not cause timidity. Let us think about what so many great saints, monks and religious men and women have done, from St. Anthony the Abbot onward. Being prophets may sometimes imply making waves. I do not know how to put it.... Prophecy makes noise, uproar, some say ‘a mess.’ But in reality, the charism of religious people is like yeast: prophecy announces the spirit of the Gospel.”
The Roman Curia
I ask the pope what he thinks of the dicasteries of the Roman Curia, the various departments that assist the pope in his mission.
It is amazing to see the denunciations for lack of orthodoxy that come to Rome. I think the cases should be investigated by the local bishops’ conferences, which can get valuable assistance from Rome. These cases, in fact, are much better dealt with locally.“The dicasteries of the Roman Curia are at the service of the pope and the bishops,” he says. “They must help both the particular churches and the bishops’ conferences. They are instruments of help. In some cases, however, when they are not functioning well, they run the risk of becoming institutions of censorship. It is amazing to see the denunciations for lack of orthodoxy that come to Rome. I think the cases should be investigated by the local bishops’ conferences, which can get valuable assistance from Rome. These cases, in fact, are much better dealt with locally. The Roman congregations are mediators; they are not middlemen or managers.”
On June 29, during the ceremony of the blessing and imposition of the pallium on 34 metropolitan archbishops, Pope Francis spoke about “the path of collegiality” as the road that can lead the church to “grow in harmony with the service of primacy.” So I ask: “How can we reconcile in harmony Petrine primacy and collegiality? Which roads are feasible also from an ecumenical perspective?”
The pope responds, “We must walk together: the people, the bishops and the pope. Synodality should be lived at various levels. Maybe it is time to change the methods of the Synod of Bishops, because it seems to me that the current method is not dynamic. This will also have ecumenical value, especially with our Orthodox brethren. From them we can learn more about the meaning of episcopal collegiality and the tradition of synodality. The joint effort of reflection, looking at how the church was governed in the early centuries, before the breakup between East and West, will bear fruit in due time. In ecumenical relations it is important not only to know each other better, but also to recognize what the Spirit has sown in the other as a gift for us. I want to continue the discussion that was begun in 2007 by the joint [Catholic–Orthodox] commission on how to exercise the Petrine primacy, which led to the signing of the Ravenna Document. We must continue on this path.”
I ask how Pope Francis envisions the future unity of the church in light of this response. He answers: “We must walk united with our differences: there is no other way to become one. This is the way of Jesus.”
Women in the Life of the Church
And what about the role of women in the church? The pope has made reference to this issue on several occasions. He took up the matter during the return trip from Rio de Janeiro, claiming that the church still lacks a profound theology of women. I ask: “What should be the role of women in the church? How do we make their role more visible today?”
We must therefore investigate further the role of women in the church.*He answers: “It is necessary to broaden the opportunities for a stronger presence of women in the church. I am wary of a solution that can be reduced to a kind of ‘female machismo,’ because a woman has a different make-up than a man. But what I hear about the role of women is often inspired by an ideology of machismo. Women are asking deep questions that must be addressed. The church cannot be herself without the woman and her role. The woman is essential for the church. Mary, a woman, is more important than the bishops. I say this because we must not confuse the function with the dignity. We must therefore investigate further the role of women in the church. We have to work harder to develop a profound theology of the woman. Only by making this step will it be possible to better reflect on their function within the church. The feminine genius is needed wherever we make important decisions. The challenge today is this: to think about the specific place of women also in those places where the authority of the church is exercised for various areas of the church.”
The Second Vatican Council
“What did the Second Vatican Council accomplish?” I ask.
“Vatican II was a re-reading of the Gospel in light of contemporary culture,” says the pope. “Vatican II produced a renewal movement that simply comes from the same Gospel. Its fruits are enormous. Just recall the liturgy. The work of liturgical reform has been a service to the people as a re-reading of the Gospel from a concrete historical situation. Yes, there are hermeneutics of continuity and discontinuity, but one thing is clear: the dynamic of reading the Gospel, actualizing its message for today—which was typical of Vatican II—is absolutely irreversible. Then there are particular issues, like the liturgy according to the Vetus Ordo. I think the decision of Pope Benedict [his decision of July 7, 2007, to allow a wider use of the Tridentine Mass] was prudent and motivated by the desire to help people who have this sensitivity. What is worrying, though, is the risk of the ideologization of the Vetus Ordo, its exploitation.”
To Seek and Find God in All Things
At the World Youth Day in Rio de Janeiro, Pope Francis repeatedly declared: “God is real. He manifests himself today. God is everywhere.” These are phrases that echo the Ignatian expression “to seek and find God in all things.” So I ask the pope: “How do you seek and find God in all things?”
“What I said in Rio referred to the time in which we seek God,” he answers. “In fact, there is a temptation to seek God in the past or in a possible future. God is certainly in the past because we can see the footprints. And God is also in the future as a promise. But the ‘concrete’ God, so to speak, is today. For this reason, complaining never helps us find God. The complaints of today about how ‘barbaric’ the world is—these complaints sometimes end up giving birth within the church to desires to establish order in the sense of pure conservation, as a defense. No: God is to be encountered in the world of today.
“God manifests himself in historical revelation, in history. Time initiates processes, and space crystallizes them. God is in history, in the processes.
“We must not focus on occupying the spaces where power is exercised, but rather on starting long-run historical processes. We must initiate processes rather than occupy spaces. God manifests himself in time and is present in the processes of history. This gives priority to actions that give birth to new historical dynamics. And it requires patience, waiting.
“Finding God in all things is not an ‘empirical eureka.’ When we desire to encounter God, we would like to verify him immediately by an empirical method. But you cannot meet God this way. God is found in the gentle breeze perceived by Elijah. The senses that find God are the ones St. Ignatius called spiritual senses. Ignatius asks us to open our spiritual sensitivity to encounter God beyond a purely empirical approach. A contemplative attitude is necessary: it is the feeling that you are moving along the good path of understanding and affection toward things and situations. Profound peace, spiritual consolation, love of God and love of all things in God—this is the sign that you are on this right path.”
Certitude and Mistakes
I ask, “So if the encounter with God is not an ‘empirical eureka,’ and if it is a journey that sees with the eyes of history, then we can also make mistakes?”
The pope replies: “Yes, in this quest to seek and find God in all things there is still an area of uncertainty. There must be. If a person says that he met God with total certainty and is not touched by a margin of uncertainty, then this is not good. For me, this is an important key. If one has the answers to all the questions—that is the proof that God is not with him. It means that he is a false prophet using religion for himself. The great leaders of the people of God, like Moses, have always left room for doubt. You must leave room for the Lord, not for our certainties; we must be humble. Uncertainty is in every true discernment that is open to finding confirmation in spiritual consolation.
“The risk in seeking and finding God in all things, then, is the willingness to explain too much, to say with human certainty and arrogance: ‘God is here.’ We will find only a god that fits our measure. The correct attitude is that of St. Augustine: seek God to find him, and find God to keep searching for God forever. Often we seek as if we were blind, as one often reads in the Bible. And this is the experience of the great fathers of the faith, who are our models. We have to re-read the Letter to the Hebrews, Chapter 11. Abraham leaves his home without knowing where he was going, by faith. All of our ancestors in the faith died seeing the good that was promised, but from a distance.... Our life is not given to us like an opera libretto, in which all is written down; but it means going, walking, doing, searching, seeing.... We must enter into the adventure of the quest for meeting God; we must let God search and encounter us.
“Because God is first; God is always first and makes the first move. God is a bit like the almond flower of your Sicily, Antonio, which always blooms first. We read it in the Prophets. God is encountered walking, along the path. At this juncture, someone might say that this is relativism. Is it relativism? Yes, if it is misunderstood as a kind of indistinct pantheism. It is not relativism if it is understood in the biblical sense, that God is always a surprise, so you never know where and how you will find him. You are not setting the time and place of the encounter with him. You must, therefore, discern the encounter. Discernment is essential.
If the Christian is a restorationist, a legalist, if he wants everything clear and safe, then he will find nothing.“If the Christian is a restorationist, a legalist, if he wants everything clear and safe, then he will find nothing. Tradition and memory of the past must help us to have the courage to open up new areas to God. Those who today always look for disciplinarian solutions, those who long for an exaggerated doctrinal ‘security,’ those who stubbornly try to recover a past that no longer exists—they have a static and inward-directed view of things. In this way, faith becomes an ideology among other ideologies. I have a dogmatic certainty: God is in every person’s life. God is in everyone’s life. Even if the life of a person has been a disaster, even if it is destroyed by vices, drugs or anything else—God is in this person’s life. You can, you must try to seek God in every human life. Although the life of a person is a land full of thorns and weeds, there is always a space in which the good seed can grow. You have to trust God.”
Must We Be Optimistic?
The pope’s words remind me of some of his past reflections, in which as a cardinal he wrote that God is already living in the city, in the midst of all and united to each. It is another way, in my opinion, to say what St. Ignatius wrote in the Spiritual Exercises, that God “labors and works” in our world. So I ask: “Do we have to be optimistic? What are the signs of hope in today’s world? How can I be optimistic in a world in crisis?”
“I do not like to use the word optimism because that is about a psychological attitude,” the pope says. “I like to use the word hope instead, according to what we read in the Letter to the Hebrews, Chapter 11, that I mentioned before. The fathers of the faith kept walking, facing difficulties. And hope does not disappoint, as we read in the Letter to the Romans. Think instead of the first riddle of Puccini’s opera ‘Turandot,’” the pope suggests.
At that moment I recalled more or less by heart the verses of the riddle of the princess in that opera, to which the solution is hope: “In the gloomy night flies an iridescent ghost./ It rises and opens its wings/ on the infinite black humanity./ The whole world invokes it/ and the whole world implores it./ But the ghost disappears with the dawn/ to be reborn in the heart./ And every night it is born/ and every day it dies!”
“See,” says Pope Francis, “Christian hope is not a ghost and it does not deceive. It is a theological virtue and therefore, ultimately, a gift from God that cannot be reduced to optimism, which is only human. God does not mislead hope; God cannot deny himself. God is all promise.”
Art and Creativity
I am struck by the reference the pope just made to Puccini’s “Turandot” while speaking of the mystery of hope. I would like to understand better his artistic and literary references. I remind him that in 2006 he said that great artists know how to present the tragic and painful realities of life with beauty. So I ask who are the artists and writers he prefers, and if they have something in common.
“I have really loved a diverse array of authors. I love very much Dostoevsky and Hölderlin. I remember Hölderlin for that poem written for the birthday of his grandmother that is very beautiful and was spiritually very enriching for me. The poem ends with the verse, ‘May the man hold fast to what the child has promised.’ I was also impressed because I loved my grandmother Rosa, and in that poem Hölderlin compares his grandmother to the Virgin Mary, who gave birth to Jesus, the friend of the earth who did not consider anybody a foreigner.
“I have read The Betrothed, by Alessandro Manzoni, three times, and I have it now on my table because I want to read it again. Manzoni gave me so much. When I was a child, my grandmother taught me by heart the beginning of The Betrothed: ‘That branch of Lake Como that turns off to the south between two unbroken chains of mountains....’ I also liked Gerard Manley Hopkins very much.
“Among the great painters, I admire Caravaggio; his paintings speak to me. But also Chagall, with his ‘White Crucifixion.’ Among musicians I love Mozart, of course. The ‘Et incarnatus est’ from his Mass in C minor is matchless; it lifts you to God! I love Mozart performed by Clara Haskil. Mozart fulfills me. But I cannot think about his music; I have to listen to it. I like listening to Beethoven, but in a Promethean way, and the most Promethean interpreter for me is Furtwängler. And then Bach’s Passions. The piece by Bach that I love so much is the ‘Erbarme Dich,’ the tears of Peter in the ‘St. Matthew Passion.’ Sublime. Then, at a different level, not intimate in the same way, I love Wagner. I like to listen to him, but not all the time. The performance of Wagner’s ‘Ring’ by Furtwängler at La Scala in Milan in 1950 is for me the best. But also the ‘Parsifal’ by Knappertsbusch in 1962.
“We should also talk about the cinema. ‘La Strada,’ by Fellini, is the movie that perhaps I loved the most. I identify with this movie, in which there is an implicit reference to St. Francis. I also believe that I watched all of the Italian movies with Anna Magnani and Aldo Fabrizi when I was between 10 and 12 years old. Another film that I loved is ‘Rome, Open City.’ I owe my film culture especially to my parents who used to take us to the movies quite often.
“Anyway, in general I love tragic artists, especially classical ones. There is a nice definition that Cervantes puts on the lips of the bachelor Carrasco to praise the story of Don Quixote: ‘Children have it in their hands, young people read it, adults understand it, the elderly praise it.’ For me this can be a good definition of the classics.”
I ask the pope about teaching literature to his secondary school students.
“It was a bit risky,” he answers. “I had to make sure that my students read El Cid. But the boys did not like it. They wanted to read Garcia Lorca. Then I decided that they would study El Cid at home and that in class I would teach the authors the boys liked the most. Of course, young people wanted to read more ‘racy’ literary works, like the contemporary La Casada Infiel or classics like La Celestina, by Fernando de Rojas. But by reading these things they acquired a taste in literature, poetry, and we went on to other authors. And that was for me a great experience. I completed the program, but in an unstructured way—that is, not ordered according to what we expected in the beginning, but in an order that came naturally by reading these authors. And this mode befitted me: I did not like to have a rigid schedule, but rather I liked to know where we had to go with the readings, with a rough sense of where we were headed. Then I also started to get them to write. In the end I decided to send Borges two stories written by my boys. I knew his secretary, who had been my piano teacher. And Borges liked those stories very much. And then he set out to write the introduction to a collection of these writings.”
“Then, Holy Father, creativity is important for the life of a person?” I ask. He laughs and replies: “For a Jesuit it is extremely important! A Jesuit must be creative.”
Frontiers and Laboratories
During a visit by the fathers and staff of La Civiltà Cattolica, the pope had spoken about the importance of the triad “dialogue, discernment, frontier.” And he insisted particularly on the last point, citing Paul VI and what he had said in a famous speech about the Jesuits: “Wherever in the church—even in the most difficult and extreme fields, in the crossroads of ideologies, in the social trenches—there has been and is now conversation between the deepest desires of human beings and the perennial message of the Gospel, Jesuits have been and are there.” I ask Pope Francis what should be the priorities of journals published by the Society of Jesus.
Ours is not a ‘lab faith,’ but a ‘journey faith,’ a historical faith. “The three key words that I commended to La Civiltà Cattolica can be extended to all the journals of the Society, perhaps with different emphases according to their natures and their objectives. When I insist on the frontier, I am referring in a particular way to the need for those who work in the world of culture to be inserted into the context in which they operate and on which they reflect. There is always the lurking danger of living in a laboratory. Ours is not a ‘lab faith,’ but a ‘journey faith,’ a historical faith. God has revealed himself as history, not as a compendium of abstract truths. I am afraid of laboratories because in the laboratory you take the problems and then you bring them home to tame them, to paint them, out of their context. You cannot bring home the frontier, but you have to live on the border and be audacious.”
I ask for examples from his personal experience.
“When it comes to social issues, it is one thing to have a meeting to study the problem of drugs in a slum neighborhood and quite another thing to go there, live there and understand the problem from the inside and study it. There is a brilliant letter by Father Arrupe to the Centers for Social Research and Action on poverty, in which he says clearly that one cannot speak of poverty if one does not experience poverty, with a direct connection to the places in which there is poverty. The word insertion is dangerous because some religious have taken it as a fad, and disasters have occurred because of a lack of discernment. But it is truly important.”
“The frontiers are many. Let us think of the religious sisters living in hospitals. They live on the frontier. I am alive because of one of them. When I went through my lung disease at the hospital, the doctor gave me penicillin and streptomycin in certain doses. The sister who was on duty tripled my doses because she was daringly astute; she knew what to do because she was with ill people all day. The doctor, who really was a good one, lived in his laboratory; the sister lived on the frontier and was in dialogue with it every day. Domesticating the frontier means just talking from a remote location, locking yourself up in a laboratory. Laboratories are useful, but reflection for us must always start from experience.”
Human Self-Understanding
I ask Pope Francis about the enormous changes occurring in society and the way human beings are reinterpreting themselves. At this point he gets up and goes to get the breviary from his desk. It is in Latin, now worn from use. He opens to the Office of Readings for Friday of the 27th Week in Ordinary Time and reads me a passage from the Commonitorium Primum of St. Vincent of Lerins: “Even the dogma of the Christian religion must follow these laws, consolidating over the years, developing over time, deepening with age.”
The view of the church’s teaching as a monolith to defend without nuance or different understandings is wrong.The pope comments: “St. Vincent of Lerins makes a comparison between the biological development of man and the transmission from one era to another of the deposit of faith, which grows and is strengthened with time. Here, human self-understanding changes with time and so also human consciousness deepens. Let us think of when slavery was accepted or the death penalty was allowed without any problem. So we grow in the understanding of the truth. Exegetes and theologians help the church to mature in her own judgment. Even the other sciences and their development help the church in its growth in understanding. There are ecclesiastical rules and precepts that were once effective, but now they have lost value or meaning. The view of the church’s teaching as a monolith to defend without nuance or different understandings is wrong.
“After all, in every age of history, humans try to understand and express themselves better. So human beings in time change the way they perceive themselves. It’s one thing for a man who expresses himself by carving the ‘Winged Victory of Samothrace,’ yet another for Caravaggio, Chagall and yet another still for Dalí. Even the forms for expressing truth can be multiform, and this is indeed necessary for the transmission of the Gospel in its timeless meaning.
“Humans are in search of themselves, and, of course, in this search they can also make mistakes. The church has experienced times of brilliance, like that of Thomas Aquinas. But the church has lived also times of decline in its ability to think. For example, we must not confuse the genius of Thomas Aquinas with the age of decadent Thomist commentaries. Unfortunately, I studied philosophy from textbooks that came from decadent or largely bankrupt Thomism. In thinking of the human being, therefore, the church should strive for genius and not for decadence.
“When does a formulation of thought cease to be valid? When it loses sight of the human or even when it is afraid of the human or deluded about itself. The deceived thought can be depicted as Ulysses encountering the song of the Siren, or as Tannhäuser in an orgy surrounded by satyrs and bacchantes, or as Parsifal, in the second act of Wagner’s opera, in the palace of Klingsor. The thinking of the church must recover genius and better understand how human beings understand themselves today, in order to develop and deepen the church’s teaching.”
Prayer
I ask Pope Francis about his preferred way to pray.
“I pray the breviary every morning. I like to pray with the psalms. Then, later, I celebrate Mass. I pray the Rosary. What I really prefer is adoration in the evening, even when I get distracted and think of other things, or even fall asleep praying. In the evening then, between seven and eight o’clock, I stay in front of the Blessed Sacrament for an hour in adoration. But I pray mentally even when I am waiting at the dentist or at other times of the day.
“Prayer for me is always a prayer full of memory, of recollection, even the memory of my own history or what the Lord has done in his church or in a particular parish. For me it is the memory of which St. Ignatius speaks in the First Week of the Exercises in the encounter with the merciful Christ crucified. And I ask myself: ‘What have I done for Christ? What am I doing for Christ? What should I do for Christ?’ It is the memory of which Ignatius speaks in the ‘Contemplation for Experiencing Divine Love,’ when he asks us to recall the gifts we have received. But above all, I also know that the Lord remembers me. I can forget about him, but I know that he never, ever forgets me. Memory has a fundamental role for the heart of a Jesuit: memory of grace, the memory mentioned in Deuteronomy, the memory of God’s works that are the basis of the covenant between God and the people. It is this memory that makes me his son and that makes me a father, too.”
Editor in chief Matt Malone, S.J., talks about America's interview with the pope.
Read this interview in Italian in La Civilta Cattolica (pdf).
To reply to this article, comment below or email letters@americamagazine.org.
*This interview has been revised to reflect the following correction:
Correction: September 24, 2013
Due to a production error, an earlier version of this interview did not contain this sentence: “It is necessary to broaden the opportunities for a stronger presence of women in the church.”
Antonio Spadaro, S.J., is the editor in chief of La Civiltà Cattolica, a journal published in Rome by the Society of Jesus since 1850. The translators were: Massimo Faggioli, Sarah Christopher Faggioli, Dominic Robinson, S.J., Patrick J. Howell, S.J., and Griffin Oleynick.
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