管治方式转变与经济发展——基于清代西南地区“改土归流”历史经验的考察
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摘要
本文以西南边疆民族地区管治方式演变为例,考察了清代"改土归流"政策对当地经济发展的短期与长期影响。研究发现:清代在西南边疆地区实施的"改土归流"政策对当地经济发展具有显著影响。"改土归流"后改流地区比未改流土司地区拥有更高的人口密度和人力资本积累。而且该影响直到现在依然存在,其中改流时间越长的地区拥有更高的人口密度、农村人均纯收入,以及较低的婴儿死亡率。此外,本文发现改流后流官体制对人口流动和公共物品的提供是促进当地经济发展的重要因素。本文不仅丰富了相关民族国家边疆管治的历史经验和实证证据,也为理解我国边疆民族地区发展不平衡问题提出了新的方向。
This paper studies the short-term and the long-term effect of the system of bureaucratization of native officers( ‘Gai Tu Gui Liu') in Southwest China during Qing Dynasty. We find that,in Qing Dyansty,the population density and human capital are both higher in those regions which were transformed into the direct governance than those regions which were not. These reuslts have persistence effect after Qing Dyansty. In 1990,the population density,average income of rural residences,and infant survival rate are higher in those regions which were transformed into the direct governance earlier in Qing Dynasty than those which were transformed later. The positive effect of the policy on economic development was caused by both the immigration from the inland after political intergration,and more efficient provision of public good by the local government. Thus,this paper not only provides empirical evidence for Machiavelli's governance problem in a culturally heterogeneous nation,but also proposes new direction for understanding the economic inequality in the frontier.
This paper studies the short-term and the long-term effect of the system of bureaucratization of native officers( ‘Gai Tu Gui Liu') in Southwest China during Qing Dynasty. We find that,in Qing Dyansty,the population density and human capital are both higher in those regions which were transformed into the direct governance than those regions which were not. These reuslts have persistence effect after Qing Dyansty. In 1990,the population density,average income of rural residences,and infant survival rate are higher in those regions which were transformed into the direct governance earlier in Qing Dynasty than those which were transformed later. The positive effect of the policy on economic development was caused by both the immigration from the inland after political intergration,and more efficient provision of public good by the local government. Thus,this paper not only provides empirical evidence for Machiavelli's governance problem in a culturally heterogeneous nation,but also proposes new direction for understanding the economic inequality in the frontier.
引文
曹树基,2001:《中国人口史·清时期》,复旦大学出版社2001年版。
邓嗣禹,1982:《中国考试制度史》,台北学生书局。
葛剑雄、曹树基、吴松弟,1997:《中国移民史》,福建人民出版社。
龚荫,2012:《中国土司制度史》,四川人民出版社。
李楠、林友宏,2014:《中国如何成为以汉族为主体的国家?基于地理环境与政治整合的考察》,上海财经大学,工作论文。
李世愉,1998:《清代土司制度论考》,中国社会科学出版社。
陆韧、凌永忠,2013:《元明清西南边疆特殊政区研究》,人民出版社。
秦树才,2004:《清代云南绿营兵研究:以汛塘为中心》,云南教育出版社。
瞿同祖,2011:《清代地方政府》,法律出版社。
谭其骧,1982:《中国历史地图集》,中国地图出版社。
严耕望,1961:《秦汉地方行政制度》,《中央研究院历史语言研究所专刊》。
周振鹤,2005:《中国地方行政制度史》,上海人民出版社。
朱宝炯、谢沛霖,1980:《明清进士题名碑录索引》,上海古籍出版社。
Acemoglu,Daron,Simon Johnson,and James A.Robinson,2001,“The Colonial Origins of Comparative Development,An Empirical Investigation”,American Economic Review,Vol.91,1369-1401.
Acemoglu,Daron,Simon Johnson,and James A.Robinson,2002,“Reversal of Fortune,Geography and Institutions In The Making of The Modern World Income Distribution”,Quarterly Journal of Economics,1231-1294.
Alesina,Alberto,Reza Baqir,and William Easterly,1999,“Public Goods and Ethnic Divisions”,Quarterly Journal of Economics,Vol.114,1243-1284.
Alesina,EL Ferrara,2005,“Ethnic Diversity and Economic Performance”,Journal of Economic Literature,Vol.43.
Barro,R.J.,2001,“Human Capital and Growth”,American Economic Review,Vol.91,12-17.
Becker,Sascha O.,Erik Hornung,and Ludger Woessmann,2011,“Education and Catch-up in the Industrial Revolution”,American Economic Journal,Macroeconomics,92-126.
Comin,Diego,William Easterly,and Erick Gong,2010,“Was the Wealth of Nations Determined in 1000 BC?”,American Economic Journal,Macroeconomics,Vol.2,65-97.
Diamond,Jared M.,and Doug Ordunio,1997,Guns,Germs,and Steel,NY,WW Norton and Company.
Dell,Melissa,2010,“The Persistent Effects of Peru’s Mining Mita”,Econometrica,Vol.78,1863-1903.
Easterly,William,and Ross Levine,1997,“Africa’s Growth Tragedy,Policies and Ethnic Divisions”,Quarterly Journal of Economics,Vol.112,1203-1250.
Fearon,James D.,and David D.Laitin,2003,“Ethnicity,Insurgency,and Civil War”,American Political Science Review,Vol.97,75-90.
Fukuyama,F.,2011,The Origins of Political Order,From Prehuman Times to the French Revolution,Farrar,Straus and Giroux.
Iyer,L.,2010,“Direct Versus Indirect Colonial Rule in India,Long-term Consequences”,Review of Economics and Statistics,Vol.92,693-713.
Lee,J.Z.,2000,The Political Economy of a Frontier,Southwest China,1250-1850,London,Harvard University Press
Machiavelli,Niccolo,1532,The Prince,Trans.WK Marriott,Heritage Cross Classics.
Montalvo,Jose G.,and Marta Reynal-Querol,2005,“Ethnic Diversity and Economic Development”,Journal of Development Economics,Vol.76,293-323.
Montalvo,Jose G.,and Marta Reynal-Querol,2010,“Ethnic Polarization and the Duration of Civil Wars”,Economics of Governance,Vol.11,123-143.
Riley,S.J.,S.D.Degloria,and R.Elliot,1999,“A Terrain Ruggedness Index that Quantifies Topographic Heterogeneity”,Intermountain Journal of Sciences,Vol.5,23-27.
Romer,Paul M.,1990,“Human Capital and Growth,Theory and Evidence”,Carnegie-Rochester Conference Series on Public Policy,Vol.32.
Sokoloff,Kenneth L.and Stanley L Engerman,2000,“History Lessons,Institutions,Factors Endowments,and Paths of Development In The New World”,Journal of Economic Perspectives,217-232.
(1)相关文献综述参见Alesina&Ferrara(2005)。
(2)参见Machiavilli(1532)关于混合君主国以及总结亚历山大大帝征服大流士王国统治经验的论述(第三、四章)。
(1)据《汉书·西南夷两粤朝鲜传》记载,“南夷君长以十数”,其中较大的政权有夜郎、滇、邛都、徙、莋、冉駹、白马。也有许多民族不受任何政权的管辖,“亡常处,亡君长”,如巂、昆明、编发。
(2)例如,元封二年(公元前109年),天子发巴、蜀兵击灭劳深、靡莫,以兵临滇。滇王始首善,以故弗诛。滇王离西夷,滇举国降,请置吏入朝,于是以为益州郡,赐滇王王印,复长其民(见《汉书·西南夷两粤朝鲜传》)。
(1)由于篇幅所限,此处及后文将提到的附图2及附表1到附表8均未给出,可参见http://shufelinan.weebly.com/uploads/4/2/0/5/4205966/appendix.pdf。
(2)《清史稿·土司传》。
(3)关于“改土归流”的详细经过,参见李世愉(1998,第52-66页)。
(4)乾隆《丽江府志略》卷下,杨馝:《建丽江府治记》。
(5)道光《普洱府志》卷七。
(6)民国《昭通县志稿》卷二,水利。
(1)科举制度作为选官制度始于隋唐时期,发展完善于明清时期,主要分为童试、乡试、会试、殿试四个环节。应试者首先要通过童试进入府州县学成为“生员”,然后参加乡试成为“举人”,再进京参加会试和殿试,考中殿试者便具有最高的科举功名,即“进士”(邓嗣禹,1982)。
(1)该数据为全球30秒度高程数据由U.S.Geological Survey(USGS)所提供(https://lta.cr.usgs.gov/GTOPO30)。
(2)CHGIS Version 5数据链接为http://chgis.hmdc.harvard.edu/v5_stats/click.php?id=50。
(1)明代卫所设置作为工具变量的外生性检验见附表3。回归结果表明明代卫所设置与地理崎岖程度、农耕适宜度、河流密度等影响经济发展的变量均无显著影响。
(2)西南明代卫所的分布由谭其骧《中国历史地图集》(明时期)提供。
(1)包括民国16年民政厅调查(广西),收录于《广西年鉴》(第1回),广西省政府统计局;民国22年民政厅调查(云南),收录于《云南经济》,中国国民经济研究所;民国26年保甲户口调查(贵州),收录于《贵州经济》,中国国民经济研究所。
(1)中国2000年县级婴儿死亡率数据来自Center for International Earth Science Information Network(CIESIN)。项目名称为Poverty Mapping Project:Global Subnational Infant Mortality Rates(http://dx.doi.org/10.7927/H4PZ56R2)。
(2)关于“改土归流”政策对识字率影响的相关具体回归结果见附表4。
(3)关于农村人均纯收入以及婴儿死亡率的分位数回归结果见附表5。
(1)但工具变量回归肯定了“改土归流”政策对1950年前出生人群的识字率有着显著的提高作用,回归结果见附表6。
(2)参见(清)魏源撰:《圣武记·雍正西南夷改流记》,第285页,中华书局,1984年。
(3)该数据由World Bank and NBS(2003)提供,将贫困率分为六个等级,各级的贫困率区间分别为:<2%;2%-6%;6%-12%;12%-18%;18%-30%;>30%。
(1)例如据[清]爱必达《黔南识略》记载:“清水江旧陷苗境,舟楫未通。雍正七年,总督鄂尔泰、巡抚张广泗始开新疆,题请开浚,自都匀府至黔阳一千一百二十余里,舟行无阻,今称便焉”。
(2)包括康熙《云南通志》、康熙《贵州通志》、乾隆《贵州通志》、光绪《云南通志》以及清代云贵地区的府、州、县志。
(1)《云南通志·水利》(乾隆元年);《贵州通志·山川》(乾隆六年);《广西通志·沟洫》(雍正十一年)。
邓嗣禹,1982:《中国考试制度史》,台北学生书局。
葛剑雄、曹树基、吴松弟,1997:《中国移民史》,福建人民出版社。
龚荫,2012:《中国土司制度史》,四川人民出版社。
李楠、林友宏,2014:《中国如何成为以汉族为主体的国家?基于地理环境与政治整合的考察》,上海财经大学,工作论文。
李世愉,1998:《清代土司制度论考》,中国社会科学出版社。
陆韧、凌永忠,2013:《元明清西南边疆特殊政区研究》,人民出版社。
秦树才,2004:《清代云南绿营兵研究:以汛塘为中心》,云南教育出版社。
瞿同祖,2011:《清代地方政府》,法律出版社。
谭其骧,1982:《中国历史地图集》,中国地图出版社。
严耕望,1961:《秦汉地方行政制度》,《中央研究院历史语言研究所专刊》。
周振鹤,2005:《中国地方行政制度史》,上海人民出版社。
朱宝炯、谢沛霖,1980:《明清进士题名碑录索引》,上海古籍出版社。
Acemoglu,Daron,Simon Johnson,and James A.Robinson,2001,“The Colonial Origins of Comparative Development,An Empirical Investigation”,American Economic Review,Vol.91,1369-1401.
Acemoglu,Daron,Simon Johnson,and James A.Robinson,2002,“Reversal of Fortune,Geography and Institutions In The Making of The Modern World Income Distribution”,Quarterly Journal of Economics,1231-1294.
Alesina,Alberto,Reza Baqir,and William Easterly,1999,“Public Goods and Ethnic Divisions”,Quarterly Journal of Economics,Vol.114,1243-1284.
Alesina,EL Ferrara,2005,“Ethnic Diversity and Economic Performance”,Journal of Economic Literature,Vol.43.
Barro,R.J.,2001,“Human Capital and Growth”,American Economic Review,Vol.91,12-17.
Becker,Sascha O.,Erik Hornung,and Ludger Woessmann,2011,“Education and Catch-up in the Industrial Revolution”,American Economic Journal,Macroeconomics,92-126.
Comin,Diego,William Easterly,and Erick Gong,2010,“Was the Wealth of Nations Determined in 1000 BC?”,American Economic Journal,Macroeconomics,Vol.2,65-97.
Diamond,Jared M.,and Doug Ordunio,1997,Guns,Germs,and Steel,NY,WW Norton and Company.
Dell,Melissa,2010,“The Persistent Effects of Peru’s Mining Mita”,Econometrica,Vol.78,1863-1903.
Easterly,William,and Ross Levine,1997,“Africa’s Growth Tragedy,Policies and Ethnic Divisions”,Quarterly Journal of Economics,Vol.112,1203-1250.
Fearon,James D.,and David D.Laitin,2003,“Ethnicity,Insurgency,and Civil War”,American Political Science Review,Vol.97,75-90.
Fukuyama,F.,2011,The Origins of Political Order,From Prehuman Times to the French Revolution,Farrar,Straus and Giroux.
Iyer,L.,2010,“Direct Versus Indirect Colonial Rule in India,Long-term Consequences”,Review of Economics and Statistics,Vol.92,693-713.
Lee,J.Z.,2000,The Political Economy of a Frontier,Southwest China,1250-1850,London,Harvard University Press
Machiavelli,Niccolo,1532,The Prince,Trans.WK Marriott,Heritage Cross Classics.
Montalvo,Jose G.,and Marta Reynal-Querol,2005,“Ethnic Diversity and Economic Development”,Journal of Development Economics,Vol.76,293-323.
Montalvo,Jose G.,and Marta Reynal-Querol,2010,“Ethnic Polarization and the Duration of Civil Wars”,Economics of Governance,Vol.11,123-143.
Riley,S.J.,S.D.Degloria,and R.Elliot,1999,“A Terrain Ruggedness Index that Quantifies Topographic Heterogeneity”,Intermountain Journal of Sciences,Vol.5,23-27.
Romer,Paul M.,1990,“Human Capital and Growth,Theory and Evidence”,Carnegie-Rochester Conference Series on Public Policy,Vol.32.
Sokoloff,Kenneth L.and Stanley L Engerman,2000,“History Lessons,Institutions,Factors Endowments,and Paths of Development In The New World”,Journal of Economic Perspectives,217-232.
(1)相关文献综述参见Alesina&Ferrara(2005)。
(2)参见Machiavilli(1532)关于混合君主国以及总结亚历山大大帝征服大流士王国统治经验的论述(第三、四章)。
(1)据《汉书·西南夷两粤朝鲜传》记载,“南夷君长以十数”,其中较大的政权有夜郎、滇、邛都、徙、莋、冉駹、白马。也有许多民族不受任何政权的管辖,“亡常处,亡君长”,如巂、昆明、编发。
(2)例如,元封二年(公元前109年),天子发巴、蜀兵击灭劳深、靡莫,以兵临滇。滇王始首善,以故弗诛。滇王离西夷,滇举国降,请置吏入朝,于是以为益州郡,赐滇王王印,复长其民(见《汉书·西南夷两粤朝鲜传》)。
(1)由于篇幅所限,此处及后文将提到的附图2及附表1到附表8均未给出,可参见http://shufelinan.weebly.com/uploads/4/2/0/5/4205966/appendix.pdf。
(2)《清史稿·土司传》。
(3)关于“改土归流”的详细经过,参见李世愉(1998,第52-66页)。
(4)乾隆《丽江府志略》卷下,杨馝:《建丽江府治记》。
(5)道光《普洱府志》卷七。
(6)民国《昭通县志稿》卷二,水利。
(1)科举制度作为选官制度始于隋唐时期,发展完善于明清时期,主要分为童试、乡试、会试、殿试四个环节。应试者首先要通过童试进入府州县学成为“生员”,然后参加乡试成为“举人”,再进京参加会试和殿试,考中殿试者便具有最高的科举功名,即“进士”(邓嗣禹,1982)。
(1)该数据为全球30秒度高程数据由U.S.Geological Survey(USGS)所提供(https://lta.cr.usgs.gov/GTOPO30)。
(2)CHGIS Version 5数据链接为http://chgis.hmdc.harvard.edu/v5_stats/click.php?id=50。
(1)明代卫所设置作为工具变量的外生性检验见附表3。回归结果表明明代卫所设置与地理崎岖程度、农耕适宜度、河流密度等影响经济发展的变量均无显著影响。
(2)西南明代卫所的分布由谭其骧《中国历史地图集》(明时期)提供。
(1)包括民国16年民政厅调查(广西),收录于《广西年鉴》(第1回),广西省政府统计局;民国22年民政厅调查(云南),收录于《云南经济》,中国国民经济研究所;民国26年保甲户口调查(贵州),收录于《贵州经济》,中国国民经济研究所。
(1)中国2000年县级婴儿死亡率数据来自Center for International Earth Science Information Network(CIESIN)。项目名称为Poverty Mapping Project:Global Subnational Infant Mortality Rates(http://dx.doi.org/10.7927/H4PZ56R2)。
(2)关于“改土归流”政策对识字率影响的相关具体回归结果见附表4。
(3)关于农村人均纯收入以及婴儿死亡率的分位数回归结果见附表5。
(1)但工具变量回归肯定了“改土归流”政策对1950年前出生人群的识字率有着显著的提高作用,回归结果见附表6。
(2)参见(清)魏源撰:《圣武记·雍正西南夷改流记》,第285页,中华书局,1984年。
(3)该数据由World Bank and NBS(2003)提供,将贫困率分为六个等级,各级的贫困率区间分别为:<2%;2%-6%;6%-12%;12%-18%;18%-30%;>30%。
(1)例如据[清]爱必达《黔南识略》记载:“清水江旧陷苗境,舟楫未通。雍正七年,总督鄂尔泰、巡抚张广泗始开新疆,题请开浚,自都匀府至黔阳一千一百二十余里,舟行无阻,今称便焉”。
(2)包括康熙《云南通志》、康熙《贵州通志》、乾隆《贵州通志》、光绪《云南通志》以及清代云贵地区的府、州、县志。
(1)《云南通志·水利》(乾隆元年);《贵州通志·山川》(乾隆六年);《广西通志·沟洫》(雍正十一年)。