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晚清时期的代际流动:来自中国东北的证据

Intergenerational Mobility in Late Qing Dynasty: Evidence from Northeast China
NBER Working Papers · 2026 · Kristina Butaeva、Steven N. Durlauf、Alexander Shapoval

中文摘要

本文利用来自中国东北辽宁省的一组非凡数据集,考察了晚清时期社会阶层间的代际流动。我们识别出两个流动动态显著不同的时期。1850年以前,流动模式表现出稳定性,并向稳态收敛。第二个时期大约始于1850年,其特征是代际阶层动态不稳定,这种状况一直持续到清王朝崩溃。两个时期之间的转变恰逢鸦片战争与太平天国运动,表明晚清重大危机的印迹如何在流动动态中得以追踪。运用马尔可夫链度量以及两种替代性流动概念——阶层出身的代际持续性与代际阶层移动——我们记录到这一时期代际流动有所增加。然而,这一总体增加掩盖了向上流动下降、向下流动上升并存的情况——这种分化模式与关于政治不稳定的更广泛理论相呼应。

Abstract

This paper examines intergenerational mobility across social classes during the late Qing dynasty employing a remarkable data set from Liaoning province in Northeast China. We identify two distinct epochs with markedly different mobility dynamics. Before 1850, mobility patterns exhibited stability and convergence toward a steady state. The second epoch, beginning around 1850, was characterized by unstable intergenerational class dynamics that persisted until the dynasty’s collapse. The transition between epochs coincides with the Opium Wars and Taiping Rebellion, demonstrating how the footprints of major crises in the late Qing era can be traced in mobility dynamics. Employing Markov-chain measures and two alternative mobility concepts—the persistence of class origin across generations and intergenerational class movement—we document that intergenerational mobility increased over the period. However, this aggregate increase masked a decline in upward mobility alongside a rise in downward mobility—disparate patterns that resonate with broader theories of political instability.
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