路徑依賴的遺產：馬來西亞土著政策對華人商業發展的塑造與持續影響

 

路徑依賴的遺產：馬來西亞土著政策對華人商業發展的塑造與持續影響

摘要

馬來西亞於1971年推行的新經濟政策（New Economic Policy, NEP），以其核心的「土著政策」（Bumiputera Policy）為基礎，旨在透過積極的平權行動來重塑社會經濟結構，以提升馬來人及其他原住民的經濟地位。然而，這項政策的實施不僅帶來了預期的結果，也產生了顯著的「意想不到的後果」，特別是對非土著社群，尤其是華人社群的影響——在政府設置的障礙下，他們反而被推向了私人商業領域，並在其中積累了可觀的財富。本文將援引「路徑依賴」（Path Dependency）理論，深入剖析土著政策作為一個關鍵歷史時刻所建立的制度路徑，如何因其內部的自我強化機制而難以逆轉，並在這一路徑上衍生出對華人社群經濟行為的塑造作用，最終形成長期且複雜的經濟與社會格局。

1. 引言

公共政策的制定與實施，往往是一個複雜且充滿變數的過程。其結果不僅受制於政策目標和執行手段，更常受到歷史脈絡、既有制度以及社會行為者回應的影響。在馬來西亞，自1971年實施的新經濟政策（NEP）及其核心的土著政策，便是理解這一複雜性的典型案例。該政策旨在透過傾斜性扶持，糾正馬來人與非馬來人（尤其是華人）之間的經濟不平衡。然而，一個廣為人知的「意想不到的後果」是，該政策在某些方面反而間接促成了華人社群在私人商業領域的蓬勃發展與財富積累。

本文旨在運用「路徑依賴」（Path Dependency）理論，深入探討這一看似悖論的現象。路徑依賴理論認為，特定時間點的初始選擇或事件，會觸發一系列自我強化的過程，使得後續的選擇空間受限，甚至鎖定在某種特定軌跡上，即使該軌跡在長期可能並非最優。我們將論證，土著政策不僅建立了有利於土著群體的制度路徑，也同時在這一路徑上，形塑了華人社群的經濟行為模式，使其在既有政策框架下尋求生存與發展，從而形成一種難以輕易改變的經濟生態。

2. 路徑依賴理論的解析

路徑依賴理論強調時間順序與非線性變化的重要性，其核心觀點是：過去的選擇或偶然事件，會對現在及未來的發展產生持續性且不可逆的影響。其關鍵機制包括：

• 報酬遞增（Increasing Returns）： 一旦某種制度或技術被選定，其採用成本可能隨著時間遞減，或其受益者會越來越多，從而使其更具吸引力，難以被替代。

• 轉換成本（Switching Costs）： 從現有路徑轉向新路徑所需的成本（經濟、政治、社會成本）過高，使得即使存在更好的替代方案，也難以實現轉變。

• 學習效應與認知鎖定（Learning Effects & Cognitive Lock-in）： 人們在特定路徑中積累經驗和知識，形成特定的思維模式和認知框架，使得跳脫原有模式變得困難。

• 制度性慣性（Institutional Inertia）： 一旦建立的法律、組織和規範體系會產生自身的慣性，對變革產生阻力。

• 網絡外部性（Network Externalities）： 特定路徑的參與者越多，其價值越大，使得新加入者也傾向於選擇該路徑。

這些機制共同作用，使得初始選擇即便非最優，也能夠自我強化並鎖定未來的發展方向。

3. 馬來西亞的關鍵歷史時刻：NEP作為路徑的發端

1969年的「五一三事件」是馬來西亞歷史上一個決定性的關鍵時刻。它暴露了種族間經濟差距的嚴重性及其引發的社會矛盾，促使政府採取了激進的政策干預。新經濟政策（NEP）正是在這一背景下應運而生，它並非一個短期應對，而是一個旨在進行深層次社會經濟結構重組的長期策略。

NEP的實施，包括在教育、公務員體系、企業股權、商業執照及政府合同等方面的土著優先政策，實質上就是啟動了一條新的「制度路徑」。這條路徑旨在透過國家力量的干預，加速土著在現代經濟領域的參與和財富積累。

4. 路徑的展開：預期與非預期後果的共存

在這條由NEP所定義的制度路徑上，產生了兩類截然不同的後果：

4.1 預期後果：土著經濟地位的提升

NEP確實成功地提升了馬來人在經濟領域的地位。大量土著進入公務員體系，形成龐大的土著中產階級；土著在企業股權中的佔比顯著提高（儘管未完全達到30%的目標）；並培養了一批土著企業家。這些成果透過國有企業、政府機構和扶持計劃等具體機制，不斷自我強化，形成了一個龐大的受益群體和一套龐雜的執行體系。

4.2 意想不到的後果：華人社群的商業推動

然而，土著政策對非土著社群，特別是華人社群，構成了系統性的「推擠」效應。由於在公務員體系、公立大學入學和某些受政府保護的行業中面臨配額和優先權的限制，華人社群的精英和普通成員不得不將其才華、資本和精力轉向政策干預較少的私人商業領域。

這種轉向，結合華人社群既有的商業傳統、家族網絡、勤奮文化以及與海外華人社群的聯繫，導致了：

• 加速進入私人部門： 限制了在公共部門的發展，迫使華人專注於私營企業。

• 強化創業精神： 在缺乏體制性保護的情況下，華人企業必須依靠市場效率、創新和靈活變通來生存和發展。

• 積累顯著財富： 在製造業、零售、地產、金融和服務業等領域，華人企業家取得了巨大成功，形成了眾多大型企業集團。

這正是路徑依賴的體現：既定的政策路徑在限制一個群體選擇的同時，也無意中將其「鎖定」到另一條次優（但在此情境下相對有效）的發展路徑上。華人社群在「被排除」於受保護的路徑之外後，反而透過自身的適應和創新，在非受保護的市場中開闢出新天地，並因此積累了財富。這種財富積累並非政策的直接目標，而是華人社群在既定路徑限制下的一種「適應性回應」。

5. 路徑的持續性：為何難以改變？

儘管土著政策引發了諸多爭議，包括人才流失、效率低下、尋租行為以及對國家團結的影響，但其核心原則至今仍未被根本性動搖。這正是路徑依賴機制在發揮作用：

• 既得利益者（Increasing Returns）： 政策已經培養了龐大的土著中產階級、依賴政策扶持的企業家以及為執行政策而設立的龐大官僚體系。這些群體形成了強大的既得利益，任何試圖改變政策的嘗試都會遇到來自他們的強烈反彈。

• 高轉換成本（Switching Costs）： 擺脫現有政策框架，轉向完全以市場和需求為基礎的政策，將意味著巨大的政治風險、社會動盪以及重新分配既有利益的挑戰。

• 認知鎖定（Cognitive Lock-in）： 數十年的政策實施，已經在很大程度上塑造了馬來西亞人對種族關係、經濟公平和國家建設的理解。對許多人而言，土著政策已成為國家認同和民族權益的象徵，難以動搖。

• 制度性慣性（Institutional Inertia）： 圍繞土著政策建立的法律法規、政府機構和執行機制已根深蒂固，要改變這些結構需要巨大的政治意願和協調成本。

因此，即使有聲音呼籲改革，政策的調整也往往只是修修補補，而非根本性的範式轉移。

6. 結論

馬來西亞的土著政策是路徑依賴理論在國家發展中的一個典型例證。1969年的關鍵時刻確立了一條旨在提升土著經濟地位的制度路徑。這條路徑不僅實現了部分預期目標，也意外地促使華人社群在非受保護的私人商業領域蓬勃發展，積累了可觀財富。這種「意想不到的後果」並非政策失敗的單一證據，而是政策在既定路徑中，與社會行動者複雜互動的產物。

該政策的持續存在及其難以根本性改變的困境，深刻體現了路徑依賴的強大力量。既得利益、高轉換成本和根深蒂固的認知框架共同鎖定了馬來西亞的政策軌跡。理解這種路徑依賴性，對於分析馬來西亞多元社會的政治經濟動態，以及為其他尋求社會經濟轉型的國家提供經驗借鑒，都具有重要的啟示意義。這也警示我們，政策制定者在設計大規模社會工程時，必須充分考慮其可能引發的複雜回饋循環和長期路徑鎖定效應。

The Paradox of Policy: The Unexpected Consequences of Malaysia's Bumiputera Policy on Chinese Community Business Development

 The Paradox of Policy: The Unexpected Consequences of Malaysia's Bumiputera Policy on Chinese Community Business Development

Abstract

Since the implementation of the New Economic Policy (NEP) in Malaysia in 1971, its core "Bumiputera Policy" aims to enhance the economic status of Malays and other indigenous peoples to address inter-ethnic economic imbalances. Although the policy was intended to promote social equity and national unity, its preferential support measures in education, public services, and business have had profound and unexpected consequences for non-Bumiputera communities, particularly the Chinese community. This paper explores how the Bumiputera Policy has indirectly forced the Chinese community to redirect their talents and aspirations toward the private business sector, thereby contributing to the rise and wealth accumulation of certain Chinese entrepreneurs, creating a paradox in policy design.

Introduction

Malaysia is a multi-ethnic country whose social structure and economic development are deeply influenced by history, colonial legacies, and ethnic politics. After the "May 13 Incident" in 1969, the Malaysian government introduced the New Economic Policy (NEP) in 1971, aiming to address inter-ethnic economic imbalances through the dual objectives of "eradicating poverty" and "restructuring society," particularly to elevate the economic status of Malays (Bumiputera). This policy grants Bumiputera preferential rights in various areas, including education, public services, corporate equity, business licenses, and government contracts.

However, any large-scale social engineering policy can yield unintended results. While the Bumiputera Policy has indeed improved the economic participation of Malays to some extent, it has also produced significant "unexpected consequences" for non-Bumiputera communities, especially the Chinese community, which plays a crucial role in economic activities. This paper focuses on how this policy has indirectly driven the Chinese community toward the business sector, resulting in wealth accumulation in some cases, thus highlighting the complex interaction between policy goals and actual outcomes.

Objectives and Mechanisms of the Bumiputera Policy

The core objective of the New Economic Policy (NEP) is to establish a fairer society by increasing Bumiputera ownership in corporate equity to 30% within 20 years and enhancing their participation in professional fields and modern economic sectors to reduce the correlation between ethnicity and economic function. To achieve this goal, the government has implemented a series of preferential measures:

Education: Implementation of university admission quotas giving Bumiputera students priority; provision of more government scholarships.

Public Services: In civil service recruitment, Bumiputera occupy the vast majority of positions, limiting advancement opportunities for non-Bumiputera.

Business and Commerce: Regulations require listed companies to reserve a certain percentage of shares for Bumiputera; priority or preferential treatment is given to Bumiputera in government contracts, business licenses, and land allocations.

Financial Support: Establishment of Bumiputera trust funds and provision of low-interest loans to support Bumiputera business development.

These policies aim to create more opportunities for Malays and reduce the economic gap with the Chinese and Indian communities.

Unexpected Consequences: The Shift of the Chinese Community to BusinessDespite the Bumiputera Policy's aim to elevate the economic status of Malays, it has significantly propelled the Chinese community to seek development outside the government-imposed framework.

3.1 Limited Opportunities in the Public Sector

The implementation of the Bumiputera Policy has directly restricted the development space for the Chinese community in traditionally stable and prestigious public sectors:

Exclusion from the Civil Service: Due to the dominance of Bumiputera in civil service positions, opportunities for Chinese graduates to enter the civil service are extremely limited, and even if they do enter, they face promotion bottlenecks. This has led many Chinese talents to turn their attention to the private sector.

Higher Barriers in Public Higher Education: The university admission quota system has resulted in greater competition pressure for Chinese students seeking entry into public universities. Even with excellent academic performance, they may be unable to enter their desired fields or universities due to quota limitations. This has prompted some Chinese families to send their children abroad for study (resulting in a brain drain), or turn to more expensive local private universities, while others directly enter the workforce or start businesses.

Restrictions in Specific Professional Fields: In certain professional fields closely related to government projects or licenses, non-Bumiputera may face implicit or explicit barriers.

3.2 "Forced" and "Voluntary" Choices in the Business Sector

Faced with reduced opportunities in the public sector, the talents and ambitions of the Chinese community have naturally been directed toward the private business sector. This is both a "forced" adaptation and a "voluntary" choice, rooted in the historical and cultural characteristics of the Chinese community:

Historical Business Tradition: Malaysian Chinese have played significant roles in business, trade, mining, and agriculture since their immigration, accumulating rich business experience and networks.

Family Businesses and Community Networks: There exists a strong family business culture within the Chinese community, along with clan, geographical, and industry associations, which serve as important channels for the flow of capital, information, and talent, providing valuable support for new enterprises.

Self-Reliance Spirit: In the face of systemic limitations, the Chinese community tends to emphasize self-reliance and seeking opportunities in the market.

Filling Market Gaps: Against the backdrop of government resources favoring Bumiputera enterprises, Chinese businesses often need to seek niches in more competitive, unprotected markets or focus on efficiency, innovation, and internationalization to compensate for policy disadvantages.

Policy Paradox: Wealth Accumulation Among Certain Chinese Communities

This trend of redirecting talent and capital toward the private business sector has led to an unexpected result: some Chinese entrepreneurs have accumulated significant wealth in the Malaysian economy and built large business empires.

Rise in the Private Sector: Chinese enterprises have achieved significant success in non-government-led private economic sectors such as manufacturing, trade, retail, real estate, construction, financial services, and technology. Many of Malaysia's top billionaires and large corporate groups have founders or major shareholders who are Chinese.

Efficiency and Innovation Driven: Due to the lack of direct government support, Chinese enterprises often focus more on efficiency, cost control, market orientation, and technological innovation to survive and thrive in a competitive market. This market-oriented pressure may, in fact, foster more competitive enterprises.

Global Networks: Malaysian Chinese maintain close business ties with the global Chinese community, especially with Chinese entrepreneurs in Southeast Asia, providing them with broader market and investment opportunities, further facilitating wealth accumulation.

This creates a policy paradox: a policy intended to elevate Bumiputera economic status has, in effect, strengthened the capabilities of certain Chinese communities in the private economic sector. Although the policy's original intent was to balance wealth distribution, its restrictions in specific areas have instead stimulated the potential of the constrained community in other domains, leading to an unexpected redistribution and accumulation of wealth among different ethnic groups.

Complexity and Multiple Impacts of Policy

It is important to note that these "unexpected consequences" are neither singular nor universal.

Intra-ethnic Differences: Not all members of the Chinese community have become wealthy; significant disparities exist within the community.

Growth of Bumiputera Enterprises: The Bumiputera Policy has indeed supported a number of successful Malay entrepreneurs and a middle class, increasing Malay participation in the modern economy.

Talent Drain: Policy restrictions have also led to the outflow of many non-Bumiputera (including Chinese and Indian) skilled talents, posing challenges to Malaysia's long-term talent pool and economic competitiveness.

Social Cohesion: While the policy promotes certain economic goals, its ethnically divisive nature continues to provoke debates about social equity, national identity, and ethnic relations, posing potential challenges to social cohesion.

Conclusion

Malaysia's Bumiputera Policy is a far-reaching social engineering initiative in the country's development process. Although its original intent was to address historical economic imbalances, its implementation has had "unexpected consequences" for non-Bumiputera communities, particularly the Chinese community. The policy's restrictions on the Chinese community in public services and education have indirectly prompted them to concentrate their talents, energy, and resources more in the private business sector, where they have achieved significant success and wealth accumulation.

This phenomenon reveals the complexity of policy design: policies aimed at correcting imbalances may inadvertently stimulate the potential of constrained communities in other fields, resulting in outcomes that contradict or at least were not anticipated by the original goals. For any nation attempting to reshape socio-economic structures through policy intervention, the experience of Malaysia's Bumiputera Policy provides an important case study, reminding policymakers to fully foresee and assess the potential multiple, complex, and sometimes paradoxical long-term impacts of their policies while pursuing specific objectives.