【作者】 路伟东；

【导师】 葛剑雄；

【作者基本信息】 复旦大学 ， 人口史， 2008， 博士

【摘要】 本文是一篇区域断代人口史方面的研究论文,主要研究对象是清代陕甘地区的人口问题,研究的空间范围以嘉庆二十五年(1820年)陕、甘两省政区为基础,时间范围则从康熙中叶一直延续到宣统末年。清代前中期,西北疆域的拓展引发了陕甘人口大规模的西迁浪潮。及至道、咸年间,历经二百余年的发展,陕甘人口臻于极盛。同、光年间的战争、灾荒,造成了严重的人口损失,此后直到清朝灭亡,陕甘人口再也没有恢复到极盛时期的水平。本文即主要研究这一变化过程中的区域人口迁移、人口管理制度、人口聚落分布以及人口数量变化等等问题。但是,受资料、时间、篇幅以及个人能力所限,部分重要问题,如同治战时及战后人口迁移、人口安置等,本文暂未涉及,只能留待以后再继续补充、完善。本文首先对清代陕甘地区人口管理制度,尤其是回民人口的管理制度进行了深入的分析。然后,本文全面梳理了清代前中期陕甘人口西迁的历史进程,并对人口西迁中的一个经典个案,即雍正敦煌移民以及移民管理制度“农坊制”进行了系统的研究。并对农坊制度下人口统计意义上的“户”逐步演化成一个纳税单位的过程和原因进行了梳理和分析。接下来,本文对清代陕甘人口极盛时期的分布状况进行了系统的分析,并对这一时期的回民聚落名称及分布状况,在州县一级的精度上,逐一进行了详细的考证。最后,本文对有关清代陕甘人口数量的部分问题,如清代陕甘回民峰值人口规模等,进行了研究,并以陕西省为个案,对同光年间陕西省的人口变动进行了数量分析,最后又以宣统人口普查“地理调查表”甘肃分村户口数据为样本,对清末甘肃人口进行了个案研究。研究表明,在人口管理制度方面,区域内的回民人口与普通人口存在明显差异。清代有专门的回民户籍,即“回籍”。“回籍”的主要作用是界定涉回案件中回民的族属身份,因此,“回籍”的产生与涉回法律条文的制定正相关,其时间大约在乾隆中叶。回民户籍信息只记载于州、县一级的地方保甲册中。保甲册的编制,视各地回民人口具体情况,既有单独编列者,亦有统一编列后又在回民人口部分加注特殊标记者。由于司法审判中辨别回民族属身份的工作主要由州、县、厅这一审级来完成,因此,地方保甲册中的回民户籍信息没有上报的必要,也缺乏上报的机制,没有体现在更高一级的官方户口统计数据中,这是导致清代回民户籍信息最终丢失的主要原因之一。在人口迁移方面,清朝前中期官方组织陕甘人口西迁的动力前后经过二次重大转折,其最初目的是战备军需,后来逐渐过渡到移民实边,最后则发展到解决关内贫民生计问题上来。西迁的陕甘人口,体现在官方的统计数据之内的仅占其中的六成。以“农坊制”为代表的,因时而变、多样化的移民管理体系是保障人口西迁顺利推进,强化移民人口管理,加快区域开发的制度基础。完善齐备的的灌溉渠道,科学、合理、执行严格的用水章程为移民屯垦的长久发展提供了最基本、最必要的物质条件。在农坊制中,“户”是最核心的细胞,移民人口管理、屯垦田亩及所承担赋役的分配,全部以“户”为单位,随着人口与田亩的脱节,“户”最终演变成为一种纳税单位,成了原来一户所承担的赋税、徭役的简称,农坊制因此走向崩溃。清代陕甘人口回、汉错杂聚居的特点非常鲜明,人口聚落主要集中在纵横交叉的两条轴线上,即从河湟谷地北上,经兰、巩,直达宁夏平原的纵轴;沿河西走廊东行,越陇山,直达关中平原的横轴。经过考证,我们总计复原了1034个同治以前的陕甘回民聚落。对清代陕甘回民人口数量的研究显示,长期以来广泛流布的清代陕甘回民人口数量众多,尤其是甘肃一省回民远多于汉人的说法是错误的,其峰值人口仅占区人口总数的二成五左右。其中,在甘肃省,这一比例大约是三成或略高一些,在陕西省,这一比例仅为一成五左右。对同光年间陕西人口损失的个案研究显示,同治至光绪初的十余年间,陕西人口损失超过四成五,这其中战争导致的人口损失更是超过八成,战争对人口造成的损失远胜于天灾。对宣统人口普查“地理调查表”甘肃分村户口数据的分析表明,虽然户口数据中的讹误之处较多,但大都源于后期上报过程中的汇总错误,而不是人口普查本身。在大多数地区,这次人口普查得到了切实的推行,户口数据质量较高。作为宪政运动受益者的地方绅董是普查事务的主要承办者,这是此次人口普查能够得到切实执行,普查数据具有较高质量的重要原因。普查数据首先是以村为单位汇总的,上报的数据分为“表”和“册”两种。对乡村聚落户口的研究显示,宣统年间,甘肃乡村聚落平均户数,一般不会超过百户。对城市户口的研究显示,城市人口数量多寡不一,晚清甘肃城市人口不符合任何一种固定的模式。这实际上是在同治战乱导致区域人口遭到严重损失,尚未得到恢复的情况下,城市残破、人口凋敝、区域经济崩溃、城市生活陷于停顿的一种真实状态。更多还原

【Abstract】 This research is about dynastic regional population, mainly researching the Qing Dynasty population problems in Shanxi-Gansu region, with the research spaces cope basing on both Shanxi-Gansu provincial areas during 25 years in Jiaqing (1820) period, and with time from the middle of the Kangxi to late Xuantong period.In the early and medium terms of the Qing dynasty, north-west territories’ expansion led to Shanxi-Gansu’s large-scale population moving wave westward. Till the Daoguang and Xianfeng period, after more than two hundred years’ development, population of Shanxi-Gansu reached to heyday. Among the Tongzhi and Guangxu period, war and famine caused a serious population loss, since then to the demise of the Qing dynasty, Shanxi-Gansu’s population never returned to the level of the heyday period. This paper mainly researches regional immigration, population management, population settlement and distribution, and population change, etc, in the change process. Firstly, this article has deeply analyzed the population management system, especially the Muslim population management system, of Shanxi-Gansu area in the Qing dynasty. Then, it has comprehensively carded the historical process of Shanxi-Gansu’s population moving westward during the early and medium terms of the Qing dynasty, and systematically researched a classic case from the population moving westward, that is, the Dunhuang immigrants and immigration management system, agricultural Square (Nongfang) system in Yongzheng period. Next, it has a comprehensive discussion about the population distribution of Shanxi-Gansu during the heyday period in the Qing dynasty, and a detail research about the name and distribution of Muslim in this period, in a county accuracy level, one by one. Finally, this paper has studied part problems about population amount of Shanxi-Gansu in the Qing dynasty taking Shanxi Province an example, simultaneously, analyzed the population changes in the Tong-Guang period, researched regional population cases about the end of the Qing dynasty, basing on villages census data of Gansu during Xuantong period.Research shows, in the area of population management, there being significant differences between Muslim and the general population in the region, the Qing dynasty not only had special Muslim registration, but also recorded the Muslim demographic information in county lists (Bao Jia Ce), however, due to institutional reasons, never reflected in higher level official statistics. Population reflected in official statistics only accounts for 60 percent of the whole moving westward in the early and medium terms of the Qing dynasty. Changing as time and diverse immigration management system is the base of protecting population moving westward smoothly, strengthening immigrant population management, speeding up regional development. Population of Shanxi-Gansu in the Qing dynasty mainly distributed along the two vertical and horizontal cross-axis, that is, the longitudinal axis starting from the Hehuang valley northward, through Langong, directly to the Ningxia plain, the transverse axis starting from the Hexi corridor eastward, overstepping the Long Mountain, direct to the Guanzhong plain. After research, we added up to 1034 recovered Muslim villages before the Tongzhi period, and the peak population amount accounting for 25 percent of the total regional’. Shanxi population loss was more than 45 percent in Tong-Guang period, war leading to more than 80 percent of the loss. After analysis of the Gansu villages’ census data in Xuantong period, it shows that, in Gansu Province, the census, at least in part of governments, states, counties, and offices, had been effectively carried out, population in these areas having a higher data quality.更多还原