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 ASIA: LOCAL STUDIES/GLOBAL THEMES
Jeffrey N. Wasserstrom, Karen Wigen, and Hue- Tam Ho Tai, Editors

1.

2.
Bicycle Citizens: The Political World of the Japanese Housewife, by Robin M. LeBlanc
The Nanjing Massacre in History and Historiography, edited by Joshua A. Fogel
Coming to Terms
3. The Country of Memory: Remaking the Past in Late Socialist Vietnam, by Hue-Tam Ho Tai

4. Chinese Femininities/Chinese Masculinities: A Reader, edited by Susan Brownell and Jeffrey

with the Nation
N. Wasserstrom
5. Chinese Visions of Family and State, 1915-1953, by Susan L. Glosser Ethnic Classification in Modern China
6. An Artistic Exile: A Life ofFeng Zikai (1898-1975), by Geremie R. Barme

7. Mapping Early Modern Japan: Space, Place, and Culture in the Tokugawa Period. 1603-1868,
by Marcia Yonemoto
8. Republican Beijing: The City and Its Histories, by Madeleine Yue Dong
9. Hygienic Modernity: Meanings of Health and Disease in Treaty-Port China, by Ruth Rogaski
10. Marrow of the Nation: A History of Sport and Physical Culture in Republican China, by
Andrew D. Morris Thomas S. Mullaney
II. Vicarious Language: Gender and Linguistic Modernity in Japan, by Miyako Inoue I'
With a Foreword by
Japan in Print: Information and Nation in the Early Modern Period, by Mary Elizabeth Berry
12.
II Benedict Anderson
·f
13. Millennial Monsters: Japanese Toys and the Global Imagination, by Anne Allison

14. After the Massacre: Commemoration and Consolation in Ha My and My Lai, by Heonik
,
I

Kwon
i
fl
15. Tears from Iron: Cultural Responses to Famine in Nineteenth-Century China, by Kathryn \
Edgerton -Tarpley
16. Speaking to History: The Story of King Goujian in Twentieth-Century China, by Paul A.
n
I.
()
~
Cohen
~.'
17. A Malleable Map: Geographies of Restoration in Central Japan. 1600-1912, by Karen Wigen
'j
18. Coming to Terms with the Nation: Ethnic Classification in Modern China, by Thomas S. .!
Mullaney

,
~
.$.

Q3
UNIVERSITY OF CALIFORNIA PRESS
Berkeley Los Angeles London
 This book is dedicated to my Parents,
Tom and Merri Mullaney,
to whom lowe everything.

University of California Press, one of the most distinguished university

presses in the United States. enriches lives around the world by advancing
scholarship in the humanities, social sciences, and natural sciences. Its
activities are supported by the UC Press Foundation and by philanthropic
contributions from individuals and institutions. For more information,
visit www.ucpress.edu.

University of California Press

Berkeley and Los Angeles, California

University of California Press, Ltd.

London, England

© 2011 by The Regents of the University of California

Library of Congress Cataloging-in-Publication Data

Mullaney, Thomas S. (Thomas Shawn).

Coming to terms with the nation: ethnic classification in modern China /
Thomas S. Mullaney; with a foreword by Benedict Anderson.
p. cm.-(Asia : local studies/global themes; 18)
Includes bibliographical references and index.
ISBN 978-0-520-26278-2 (cloth: alk. paper)
1. Ethnology-China-HistorY-20th century. 2. Ethnicity-China.
3· Minorities-Government policy-China. 4. China-Population.
I. Title.
DS730.M85 2011
305.800951-dc22 2010019209

Manufactured in the United States of America

19 18 17 16 15 14 13 12 11
10 9 8 7 6 5 4 ~ 2

This book is printed on Cascades Enviro 100, a 100% postconsumer waste,

recycled, de- inked fiber. FSC recycled certified and processed chlorine free.
It is acid free, Ecologo certified, and manufactured by BioGas energy.
[T]he written word is so intimately connected with the spoken word
it represents that it manages to usurp the principal role. As much or
even more importance is given to this representation ofthe vocal sign
as to the vocal sign itself. It is rather as if people believed that in order
to find out what a person looks like it is better to study his photograph
than his face.
-FERDINAND DE SAUSSURE, COURSE IN GENERAL LINGUISTICS
 CONTENTS

List Of Illustrations xi
List of Tables xiii
Foreword xv
Acknowledgments xxi

Introduction
1. Identity Crisis in Postimperial China 18

2. Ethnicity as Language 42
3. Plausible Communities 69
4. The Consent of the Categorized 92
5. Counting to Fifty-Six 120

Conclusion: A History of the Future 134

Appendix A: Ethnotaxonomy of Yunnan, 1951,

According to the Yunnan Nationalities Affairs Commission 137
Appendix B: Ethnotaxonomy of Yunnan, 1953,
According to the Yunnan Nationalities Affairs Commission 139
Appendix C: Minzu Entries, 1953-1954 Census, by Population 14 2
Appendix D: Classification Squads, Phases One and Two 145
Appendix E: Population Sizes of Groups Researched during
Phase One and Phase Two 147
Notes 149
Character Glossary 185
Bibliography 19 1
Index 217
 ILLUSTRATIONS

MAPS

1. Yunnan Province 2
2. Bases of Operation during Phase One of the Classification 93
3. Home Counties of Self-Identified Achang Communities 104
4. Bases of Operation during Phase Two of the Classification 107

FIGURE

1. The Yi '-.IVH.q..JJ.\.-A 116

xi
 TABLES

1. Minzu Entries, 1953-1954 Yunnan Province Census,

Alphabetical by Pinyin 35
2. Yunnanese Groups Outlined by Luo Jiguang 43
3. Yunnanese Groups Outlined by Luo Changpei and Fu Maoji in 1954 44
4. Yunnanese Groups Outlined by Davies 52
5. The Davies Model 53
6. Comparison of the Davies Model against Those
of Key Chinese Ethnologists 58
7. Taxonomic Structure 60
8. Continuation of the Davies Model into the Classification 66
9. Lin's Recapitulation of the Stalinist Model 82
10. The Introduction of minzu jituan 83
11. The Connotative Expansion of minzu 84
12. Categorization of the Buyi, Nong, and Sha in Adjacent Provinces 88
13. Comparison of Various Groups to the Shuitian 112
14. Comparison of the Shuitian with the Yi and the Lisu 113
15. Comparison of the Yangbi Tujia with the Yi and the Lisu 114
16. Taxonomic Conclusions of the 1954 Ethnic Classification
Research Team 118
17· Geographic Distribution and Population of Selected Unrecognized Groups,
Past and Present 132

xiii
 FOREWORD

When considering the fairly recent rise of "identity politics:' in which one can eas­
ily get the impression that a person's "identity" has usurped his or her "soul:' it is
useful to recall that it is strictly laic and relational, rather than metaphysical and
absolute. An identity is a naive or strategic response to an external enquiry, and its
content necessarily determined by who asks the questions, when and where, and
what the answerer imagines he or she can guess about the kind of answer that is ex­
pected or demanded. Asked by a Bangkok interviewer "who" he is, a citizen ofThai ­
land is unlikely to answer "a Thai:' ''A southerner" is much more likely. But "a Thai"
would be the right answer to immigration officials in Tokyo. The same man, hap­
pening to spend time in Indiana, is likely to say 'Tm an Asian:' ifhe had reason to
suppose that the local Indianans he meets have never heard of Thailand. He is in
"their country:' a very powerful one, and he feels he needs to adapt to their expec­
tations. He will never speak of himself as an Asian in his own country.

"The oncoming 220th anniversary of the institution of the census in 2010 is a good
moment for reflecting on its checkered history and Janus-like character. One face,
signifying human progress and the advance of democracy, was there at the start. In
1790, the infant American republic was the first state to experiment with it. It was
understood as necessary for the republican project in which citizens, not monarchs,
were to be sovereign, and their preferred leaders to be elected. The census was seen
as essential for a fair electoral system, even if women were barred from voting for
another almost 130 years, and till 18so were not even tallied, since they could not
be household heads, which was the target ofthe counting. To soothe the South, male

xv
xvi FOREWORD FOREWORD xvii

black slaves were counted as three-fifths of a person; even if they could not vote, ment was becoming a powerful political force, the question was "What is your ma­
their numbers gave their masters a greater number of seats in the legislature. But ternallanguage?" To which "Burmese" was the logical answer. But in 1931, the ques­
the logic of the election-connected census pOinted ahead to successive stages of tion became: "What language do you use in everyday life?" To which "Mergui" was
emancipation, not completed till the 1960s. The American example was first copied the obvious reply. The colonial authorities learned this way that they could manip­
in Europe (over the next decade) by the United Kingdom, the Netherlands, and ulate identities by framing their questions in different ways.
France, all then run by oligarchies, but with political progress up ahead. It is sig­ An extraordinary and exemplary case is provided by the first two censuses (1911
nificant of this electoral thrust that the American Bureau of the Census was not in­ and 1921) held in the remote Himalayan territory of predominantly Buddhist
stalled as a permanent, ceaselessly laboring arm of the state until 1902. Ladakh, about which the British had so little knowledge that they decided in 1911
The other face of the census was its growing function as a crucial bureaucratic to let the population have full freedom to identify themselves as they pleased. Imag­
instrument for systematic policy-making. As time passed the questions asked by ine the horror of the bureaucrat when the actual counting started to show that they
the census, which included many questions about identity, continued to expand, had on their hands 5,934 "major groups" (castes, tribes, races) etc.) and 28,478 sec­
for reasons that had very little to do with democratization. Still, in North America ondary identifications. This would never do. Hence in the 1921 census, Delhi arbi­
and Western Europe, the census takers were dealing with populations that were fa­ trarily decided on fifty-four categories, from which each subject had to take one pick.
miliar and of relatively small size. But this was by no means the case in the vast, A change of colonial masters could also have surprising effects. The Spanish
populous zones acquired, from the 1860s onward, by industrial imperialisms. The Philippines got round to doing censuses very late, and the base categories were re­
British Empire led the way, followed in due course by the French, Dutch, American, ligion and race-from peninsular Spaniards, mestizos) and Chinese down to "na­
and Japanese. These colonial censuses were instituted strictly for policy-making pur­ tives:) Ethnolinguistic groups simply did not appear. But the minute the Americans
poses, and were seen as the best basis on which colonial subjects could be identified, took over, they initiated a completely different system. The census managers drew
classified, and continuously surveilled. It was by no means an easy task. on the experience of late nineteenth-century America, which had experienced an
The hardest part was devising a manageable classificatory system, though typi­ unprecedented flood of immigrants from Europe and elsewhere, and so worked up
cally the coarsest base categories were simply race, religion, language-use, and eth­ an elaborate specification of"savage" and "civilized" ethnicities, from which the pop­
nicity. In British India, however, the imperialists were fascinated by the deep roots ulation could take their pick. There was no space for "none of the above:'
and complexities of caste, and tried to rationalize it conceptually for census pur­ So far we have been considering only colonial bureaucrats in colonial capitals.
poses. Unexpectedly, the policy of identifying cross-subcontinent castes had the But their efforts were substantially assisted by others. First were the Christian mis­
long-term consequence of reifying these trans-R.aj categories into competing po­ sionaries, Protestant (various sects) and Catholic, who obtained their converts sub­
litical strata. Race was always tricky, especially after comparative philology showed stantially among remote, often upland, groups who were "still animist, or mainly
that Sanskrit was a sort of ultimate ancestor to most European languages, allowing so"-that is, not yet in the grip of Christianity's seasoned antagonists: Islam gener­
groups in both India and Ceylon to regard themselves as fellow Aryans, or quasi­ and Hinduism and Buddhism more regionally. For the purposes ofconversion,
whites. It was difficult to separate religion and race and ethnicity. If"Hindu" meant missionaries devoted years of their lives to mastering these peoples) languages, giv­
religious affiliation, then the dark-skinned Dravidians ofthe south were Hindu; but ing them Roman orthographies and compiling dictionaries. Second were young dis­
if Hindu was an ethnic marker they were to be excluded. The surveyors were be­ trict officers and military men assigned to frontier zones. Unaware that radio and
fuddled by people who called themselves Hindu-Muslims or Muslim-Hindus, and television awaited them in the not-too-distant future; they often fended off loneli­
it took time before this category, seen as impossibly illogical, disappeared from the ness and boredom by amateur anthropology, archaeology, and books about travel
census, if not from "real life:' In British Malaya there was the bureaucratically an­ and adventure. Last of all, chronologically, came professional social scientists) au
guished question of whether Jews and Arabs were white, or ... ? But as time courant with the methods of comparative linguistics, anthropological theory, and
passed, the census takers learned some new lessons and later tricks. For example, so forth. This historical progression can be seen as a parallel trajectory to the two
the results of the 1921 census in British Burma showed that the people of Mergui Ladakh censuses discussed earlier.
district, on the colony)s southeastern border with Siam) spoke «Burmese" to a man.
But in the census of 1931, all of a sudden one hundred thousand people in the dis­
trict said that they spoke «Mergui:' Rangoon soon discovered that this eruption was Thomas Mullaney's wonderful book gives the reader a first-class account of the
caused by a casual change in the question asked. In 1921, as the nationalist move- contemporary developments in China, which was too large and formidable for any
xviii FOREWORD FOREWORD xix

single arrogant power to colonize-but a China whose borders abutted British In­ treated into the ex-empire's peripheries, and for progressive as well as strategic rea­
dia and Burma, French Indochina, and Russia-USSR. His aim is to show why and sons committed itselfto respect for the minorities and helping them as fellow citizens.
how the vast former Qing empire came to have, and officially celebrate, a limited Within four years of coming to power in Peking, the new regime organized its
number of mostly non-Han minorities under early Communist rule. One can see first census, partly following the Soviet model, but also because, by the 1950S, cen­
that the rulers nosed out British Delhi, given that the limited number of ethnic suses were globally understood as unavoidable instruments ofmodern government.
minorities in China was fifty-five, while the comparable figure for tiny Ladakh was (Only in the turbulent 1960s, and only in the Netherlands, was census-taking abol­
merely fifty-four. ished.) It is at this point that Mullaney's core analysis begins.
One could say the founding era for this story covers the second and third decades In the flush of victory and still armed with the revolutionary spirit, the census
of the twentieth century. In 1911, the decaying Qing regime was overthrown and organizers offered citizens a fairly free rein in self-identification. Peking, unaware
replaced by a republic. As we have seen, a republic, whatever its actual in situ defi­ of the example of Ladakh, was taken aback to find the census registers replete with
ciencies, draws its legitimacy and modernity out of a drastic shift of sovereignty the names of roughly four hundred would-be ethnic minorities, about two hun­
from monarch to the national citizenry. Since the nationalist elites in China had dred of which were domiciled in Yunnan. This would never do-not merely be­
no intention of relinquishing any part of the territorial legacy of the Manchus cause it anticipated serious bureaucratic problems, but also, as Mullaney wryly in­
(though under pressure from the Soviet Union they lost "Outer Mongolia"-today's dicates, because minimal representation of these peoples in the national legislature
Mongolia-in 1921), it became necessary to start thinking about the non-Han por­ would require bodies with many thousands of members from all over the country.
tion of the imperial domain. The crucial outcome of a long debate among the lit­ By luck, skill, and the passing of half a century, Mullaney was able to access al­
erate Han was a fundamental shift in terminology, one centering on the concept of most all the secret documents, reports, anthropological notes, and field interviews
"minorities:' The Manchu regime did not like to think in terms of"minorities:' since that represent the story of how four hundred would-be minzu got squashed into
they themselves were a tiny one. But minority, as a concept, was fundamentally tied the fifty-five official minorities accepted today (which, taken along with the ma­
to the idea of a citizenry and the logic of mathematics and voting. This goes back jority Han, bring us to something of a magic number in contemporary China: fifty­
to Tocqueville-in America, not France-and his fear of a"tyranny of the major­ six). Here is where the social scientists, whom the generalissimo had scorned, finally
ity:' clearly born from censuses and popular elections. Minorities come into exis­ came into their own. They were the only group with the specialized skills required.
tence at the moment when electoral majorities can be counted. Though Chinese Party cadres, no matter how loyal and energetic, could not easily manage concep­
elites did not really think very much in an electoral vocabulary, they could not avoid tual abstractions and analytic tasks. Taking Yunnan as his example, Mullaney tells
a mathematical way of thinking about the citizenry ofthe Republic, which included us how the government sent off teams of such social scientists, old and young, to
everyone on a notionally equal basis. The traditional imperial Chinese notion of spend six months of intensive research, to be followed immediately by a decisive
"barbarians" was no longer permissible: how could citizens be barbarian? report on which minority policy-making would thereafter be based.
Meantime, Chinese social science was born, not least because significant num­ The research had two components-scientific and political. It is with the first
bers of Han academics were returning from tip-top training in Europe, America, that Mullaney has uncovered a magnificent irony: namely, that the framing of the
and Japan. The anthropologists among them, caught up in the currents of the time, research was based on the writings of an adventurous military officer from the
nonetheless saw it among their tasks to understand these minorities. That Yunnan British Empire. Henry Rodolph Davies, born in 1865, and highly educated (Eton!),
should have been a favorite site for study is understandable in this context. Tibet served in the imperial army first in the old Raj and later in newly conquered Burma
was too cold and too difficult to reach and breathe in, and Xinjiang was too Mus­ (1886). He was a natural polyglot who mastered "Hindustani" and Persian, and over
lim and too arid. Yunnan was fabulously beautiful, had a perfect climate, and, best time made progress with Pashto, Chinese, and Burmese. He spent most of his thir­
of all for the romanticism of early anthropology, was a sort of Eden, full of sensu­ ties (1893-1903) traveling about Yunnan, surveying, mapping, interviewing, and
ous, bare-breasted, innocent women who were a special attraction for puritan Con­ comparing. He was fascinated by the diversity of the province, as previous travel­
fucian Han. ers had been, and worked up the outline of what one could call a preliminary, quite
Alas, Generalissimo Chiang Kai-shek had no time for social scientists, especially personal, but scientific classificatory system for conceptually mastering this diver­
those with romantic ideas, insisting that everyone in the Republic was Simply Chi­ sity. Drawing on the discipline of comparative linguistics, studying dozens of basic­
nese: no minorities or majorities. On the other side of the 1930S political fence, the word lists, he was able to divide into a relatively small number oflanguage-families
Communist Party, struggling to survive against Chiang's ferocious repression, re- what contemporary Qing gazetteers described in terms of barbarian tribes num­
xx FOREWORD

bering in the hundreds. Even if the communities concerned had little awareness
of their affiliations (sometimes even with local enemies), science, with the help of
imperialism, could see a logical and rational order. His book Yun-nan: The Link
Between India and the Yangtze was published in 1909, just before the fall of the ACKNOWLEDGMENTS
Manchus and the onset of the Republic, and it proved a life-long model for Chi­
nese social scientists interested in the country's peripheries.
The political side of the research is, as Mullaney describes it, no less interesting.
In this regard, the ghost of Mergui looms up. The social scientists might "know"
the truth of Yunnan, but how were these new "minorities" to be persuaded of it?
The author offers an instructive picture of how the researchers went about this task,
in which a discreet coerciveness was sometimes necessary. They were helped by the
concentrated and by then uncontested authority of the regime, and the local groups'
still rather dim conceptions of what the practical policy outcomes of the research
would mean for themselves.
What is moving in Mullaney's work is the wide range of his sympathies, for the
social scientists (a number of whom he got to know personally), for the minority
groups in Yunnan, for the local cadres, who were powerful but out of their depth
(and sometimes suspicious), and for the regime in perhaps its best period. No one This project has been my constant companion from the first year ofgraduate school
is denounced and the narrative is flavored with a gentle irony. in 2000 through my first three years at Stanford University. My only regret is that
What we do not see, as it is out ofhis timeframe, are the long-term consequences I lack a comparable amount of time to thank all of my friends, family members,
of all this, perhaps because all the Yunnan groups were too small to cause any se­ and colleagues personally and extensively for their gUidance and support over the
rious trouble. But China today faces its most visible troubles precisely in the big course of these nine years. To borrow a verse from Neil Young: "One of these days,
minority areas-Tibet and Xinjiang. It is quite possible that some of this unrest also I'm gonna sit down and write a long letter ... "
emerges from the early 1950S. Were people living then in Tibet and Xinjiang thor­ In the world of academia, my first and deepest gratitude goes to William Rowe
oughly aware of themselves as "Tibetans/Uighurs, yes, all of us"? Or did this aware­ and Madeleine Zelin. It was as an undergraduate at Johns Hopkins University where
ness gradually develop as the regime made policies in every field on the basis of the my interest in Chinese history was fostered by Professor Rowe. Thereafter, I had
fifty-six, and the citizenry found themselves replying to the state's incessant "Who the tremendous fortune of spending six unforgettable years under the masterful
are you?" in new ways. Identity is never a one-way street. guidance of Professor Zelin, my PhD advisor. I am grateful to Professor Zelin for
Benedict Anderson never letting me lose sight of the "so what" question and, above all, for teaching me
the importance ofvisualizing one's ideal historical sources before setting out to find
them. It was this advice that, after a long and often frustrating search, led me to the
archives that have opened up the history of the 1954 Ethnic Classification Project.
I am exceedingly gratefUl to all of my professors at Columbia. In my classes with
Robert Hymes, I learned that the analysis ofhistoriography could be brought to the
level of an art form. Carol Gluck taught me resilience and the importance of con­
stantly scaling "up and down the ladder:' As Teaching Assistant to William Theodore
de Bary, whose lectures merged magisterial scope and profound depth, I witnessed
the pedagogical ideal. Barbara Fields was in many ways my first guide to graduate
school, and refused to let me give up on the pursuit of capable, analytical writing.
I am also grateful for the expert instruction of Partha Chatterjee, the late Wu Pei­
fu, and Nadia Abu EI- Haj, and for the guidance and support ofEugenia Lean, Adam

xxi
xxii ACKNOWLEDGMENTS ACKNOWLEDGMENTS xxiii

McKeown, Dorothy Ko, Chengzhi Wang, Amy Heinrich, and Dorothy Solinger. I their experiences from the Ethnic Classification Project of 1954. I also wish to thank
would also like to thank Michael Tsin for navigating my altogether scattered grad­ Lang Weiwei, Li Shaoming, Barno Ayi, Sun Hongkai, Qi Jinyu, Luo Huixuan, Peng
uate school application and finding hope in my candidacy. Although I did not get Wenbin, Pan Jiao, Zhang Haiyang, Wang Jianmin, Cai Hua, Wang Mingming, and
to work with him, nonetheless I consider Professor Tsin an important mentor to Lin Zongcheng. I am also exceedingly grateful to the directors and staff members
whom lowe a great deal. at the Sichuan Provincial Archives, the Sichuan University Republican Era Period­
My graduate school experience was profoundly influenced by my fellow students, icals Reading Room, and the Yunnan Provincial Archives. In the United Kingdom,
and above all by my writing partner and beloved friend Alex Cook. I am also deeply my heartfelt thanks goes to Claire Haslam and her colleagues at the Worcester
grateful for the friendship and support of Dennis Frost, Kelly Frost, Nick Toloudis, County Records Office.
Ted McCormick, Ben Martin, Chris Rea, Fabio Lanza, Bill Coleman, and Benno In many ways, my life began anew in 2006. Having completed my dissertation
Weiner. I will always cherish the countless hours spent at Hungarian, the late-night and started my position at Stanford, my new colleagues transformed what could
dinners at Koronet, and the long afternoons at Labyrinth. I am also extremely grate­ have been an overwhelming experience into an utter joy. I cannot adequately ex­
ful for the friendship of Andy Field, Lee Pennington, Nick Tackett, Nicole Cohen, press my gratitude and fondness for my colleagues, each of whom I am inclined to
Naomi Furusawa, Linda Feng, Sara Kile, Kerim Yasar, Martin Fromm, Se-Mi Oh, cite by name and thank individually. Unable to do so, I will confine myself to those
Matt Augustine, Satoko Shimazaki, Enhua Zhang, Jessamyn Abel, Lori Watt, Joy who played a direct role in this book, particularly Matt Sommer, Karen Wigen,
Kim, Steven Bryan, Torquil Duthie, Nina Sadd, and Ian Miller. Gordon Chang, Aron Rodrigue, Melissa Brown, Shao Dongfang, Jean Oi, Andy
In addition to receiving the generous and selfless support of my professors and Walder, Jun Uchida, Yumi Moon, and all of the members ofthe Junior Faculty Read­
colleagues at Columbia, I have been incredibly fortunate to receive invaluable men­ ing Group. I would also like to thank all of my students-particularly Eric Vanden
torship from a number of scholars at other institutions. My deepest gratitude goes Bussche, Matthew Boswell, and Tony Wan-and the many members of the admin­
to Stevan Harrell, JeffWasserstrom, Mark Elliott, Jonathan Lipman, Louisa Schein, istrative staff whose support has been invaluable to me. Above all, I wish to thank
Mette Hansen, Nicholas Tapp, and Frank Dikotter. Each of these scholars devoted Monica Wheeler, Linda Huynh, Shari Galliano, Julie Leong, Lydia Chen, Connie
an immense amount of care and time to my development, and my only hope of re­ Chin, and Stephanie Lee.
paying them is by offering such assistance to their students in the future. I am also There are many institutions whose generous financial support made this book
extremely grateful for the support and mentorship of Bryna Goodman, Gail Her­ possible. As a graduate student, I received the Social Science Research Council In­
shatter, Orville Schell, Tom Gold, GeofBowker, Susan (Leigh) Star, Ben Elman, Pat ternational Predissertation Fellowship, which enabled me to conduct archival re­
Giersch, Emma Teng, Uradyn Bulag, Munkh-Erdene Lhamsuren, Jim Leibold, search in Beijing, Sichuan, and Yunnan. At Stanford, grants from the Hewlett Fund,
Charlotte Furth, Stephane Gros, Don Sutton, Dru Gladney, Robert Culp, Madeleine the Department of History, and the Center for East Asian Studies made it possible
Yue Dong, Janet Upton, Jamin Pelkey, and the editors at China Information. I am to conduct follow-up research and develop the manuscript in a timely fashion.
also grateful to Xiaoyuan Liu and John Torpey for commenting on my dissertation, ( am also grateful to each of the many institutions and associations that afforded
and for the extensive comments and criticisms raised by two anonymous review­ me an opportunity to present early iterations of my work. "These include the Asso­
ers of my book manuscript. ciation for Asian Studies, Bard College, Beijing Normal University, the University of
Among my colleagues and friends in China, my deepest gratitude is extended California Irvine, the Central University for Nationalities, the Center for the Study of
to Yang Shengmin and Wang Xiaoyi. I met Professor Yang during his tenure as a Ethnicity and Race at Columbia University, the Columbia University Department
Visiting Scholar at Columbia University. Despite a hectic work schedule, Professor of History Graduate-Faculty Symposium, the Columbia University Graduate Stu­
Yang gave me ample opportunity to seek his advice on my project. In the following dent Conference on East Asia, Fudan University, the Johns Hopkins University
year, he sponsored my visit to the Central University for Nationalities, where I had Comparative and World History Seminar, the University of Oregon, the Southwest
the extreme fortune to meet Professor Wang Xiaoyi. Insofar as I explain Professor University for Nationalities, the Stanford University Center for East Asian Studies,
Wang's central role in this study in the introduction, suffice it to say that this book and the University of Washington.
would scarcely have been possible without his guidance. I also wish to extend my Last on this list, but first in my world, are my friends and family members. Among
heartfelt gratitude to Professor Wang's entire family, and especially Wang Shuang. my friends, I extend my first and deepest gratitude to Andy Pels, Salley Pels, and
Among my associates, colleagues, and friends in China, I am also indebted to Gregg Whitworth, my oldest, dearest, and most cherished friends. In my life be­
Shi Lianzhu, Yan Ruxian, the late Xu Lin, and Chang Hongen for agreeing to share fore New York, I am also deeply grateful to Nadav Kurtz, Noah Donaldson, David
xxiv ACKNOWLEDGMENTS

Herman, Emily Donahoe, the Key School, Jose Hagan, Serena Leung, Frances and
Alex Kling, Valerie Nichols, and Harvey and Bea Dong. I wish to express love and
gratitude to Joanne Chan Taylor and her entire family, to whom I wish all the hap­
piness in the world. In New York, I am eternally grateful for the wonderful friends
I made, above all Ruben Mercado and Nicole Hegeman. I am also grateful for the
friendship of Emily Dinan, Ebru Yildiz, Naomi Watanabe, Claira Kim, Julia Hart,
Louise Zervas, Jen Pomes, and Greg Franklin. Since coming west, my life has con­ Introduction
tinued to be blessed. In particular, I wish to thank Matt Gleeson, my partner in all
things creative, and Molly Nicholas, my teammate. I am also deeply grateful for the Fifty-six stars
friendship and support of Amalia Miller, Stephanie Stolorow, my extended family Fifty-six flowers
at the Dolores Forest, Risa Wechsler, Sai Mayi Magram, and Amy Coleman. Fifty-six brothers and sisters together form one family
My siblings and extended family supported, encouraged, and tolerated me Fifty-six national languages together form one sentence:
throughout this entire process, and for that I am ineffably grateful. My love and 1 love my China, 1 love my China
thanks goes to Laura, Brian, Samantha, Scott, Mojgan, and Cameron. Most im­ -LOVE MY CHINA, LYRICS BY QIAO YU

portantly, I wish to acknowledge the incalculable debt of gratitude lowe to my par­

ents, Tom and Merri Mullaney, for whom the depth of my love cannot be fathomed. User msohu: "Legally, how can 1marry agirlfrom each ofthefifty-six minzu?"
This book is for you both. User qhfzjj: "Simple. First you marry someone from one minzu, then you get
divorced. After that, switch minzu and get married again. Then get divorced,
In closing, I wish to extend my deep appreciation to Reed Malcolm, Suzanne
then get remarried, ... and you've got it."
Knott, Kalicia Pivirotto, Chris Pitts, and their colleagues at the University of Cali­
-EXCHANGE POSTED ON QIHOO, CHINESE ONLINE COMMUNITY SITE,
fornia Press. From start to finish, this entire process has been sheer joy. I also wish SEPTEMBER 23, 2007
to thank the faculty board for the Local Studies/Global Themes series (Hue-Tam
Ho Hai, Jeffrey Wasserstrom, and Karen Wigen), and Benedict Anderson for writ­
ing the foreword.

From the sacred to the profane, the idea of China as a "unified, multinational coun­
try" (tongyi de duo minzu guojia) is a central, load-bearing concept within a wide
and heterogeneous array of discourses and practices in the contemporary People's
Republic. China is a plural singularity, this orthodoxy maintains, composed of ex­
actly fifty-six ethnonational groups (minzu): the Han ethnic majority, which con­
stitutes over ninety percent of the population, and a long list of fifty-five minority
nationalities who account for the rest. l Wherever the question of diversity is raised,
this same taxonomic orthodoxy is reproduced, forming a carefully monitored or­
chestra of remarkable reach and consistency: anthropology museums with the req­
uisite fifty-six displays, "nationalities doll sets" with the requisite fifty-Six figurines,
book series with the requisite fifty-six "brief histories" of each group, Olympic cer­
emonies with fifty-six delightfully costumed children, and the list goes on. Fifty­
six stars, fifty-six flowers, fifty-six minzu, one China.
China has not always been home to fifty-six officially recognized groups, how­
ever. In the late Qing (1644-1911), gazetteerists reported to the imperial center
about a wide variety of "barbarians" living in the frontier regions. For one prov­
ince, Yunnan, such accounts portrayed the region as home to over one hundred
2 INTRODUCTION INTRODUCTION 3

the existence of ethnonational diversity to a greater extent than their predecessors

had ever been willing to do. Over the course of the subsequent three decades, how­
ever, only fifty- five of these were officially recognized, which entailed a remarkable
N level of categorical compression: from four hundred potential categories of minzu
I
identity to under sixty. The most dramatic case, again, was that of Yunnan Prov­
ince. Out of the four-hundred-plus names recorded in the 1953-54 census, more
than halfcame from Yunnan alone. Over the following years, however, only twenty­
five of these were ultimately recognized by the state.
How do we account for this polyphony of ethnotaxonomic theories? Were there
in fact more distinct ethnocultural groups living in the territories of China during
the Qing than in the early twentieth century? Had there been a mass exodus? On
October 1, 1949, did these communities return, eager to be recognized by the new
Communist regime? Clearly, this is not the case. These differences in ethnotaxon­
./' omy cannot be accounted for at the level of the categorized. Rather, what changed
j over the course of this period were the ethnopolitical worldviews of the different
Chinese regimes, the modes and methods of categorization they employed, and the
'Q"'''''
,~.~AIWAN political commitments that guided their respective efforts to reconceptualize China
in the postimperial era. There was no single "search for a nation in modern Chi­
PACIFIC
OCEAN nese nationalism"-rather, there were searches, in the pluraP The Nationalists did
.;;. not assimilate or expel hundreds of minority groups from the country following
the 1911 Revolution. Rather, late republican Nationalists adopted and promoted an
MAP 1. Yunnan Province ethnotaxonomic worldview wherein the very meaning of the operative term, minzu,
was defined in such a way so as to disallow the very possibility of a multi-minzu
China. Like a "four-sided triangle;' a multi-minzu China was for Chiang Kai-shek
distinct peoples, with nearly one hundred more in the neighboring province of and others a logical impossibility, a contradiction in terms. Continuing into the
Guizhou. Only a few decades later, however, in the China of Chiang Kai -shek, the Communist period, it is clear that the revolution of 1949 did not prompt an influx
Nationalist regime vociferously argued that the country was home to only one of minority communities. Rather, the emergence of the "unified multinational"
people, "the Chinese people" (Zhonghua minzu), and that the supposedly distinct People's Republic is understandable only when we take into account the radical
groups of the republic were merely subvarieties of a common stock. At the same changes in the very meaning of term minzu and the new regime's distinct approach
time, a counterdiscourse emerged among Chinese scholars in the newly formed dis­ to the "national question:'
ciplines of ethnology and linguistics, a discourse in which China was reimagined With these considerations in mind, then, the goal of this book is to move to­
as home to many dozens of unique ethnic groups-a newly imported concept also ward a deeper understanding of how the People's Republic came to be composed
translated using the term minzu. Early Chinese Communists began mounting a of fifty-six minzu by examining the history of ethnotaxonomic discourse and prac­
comparable argument, railing against Chiang Kai-shek's vision of a mono-minzu tice in the modern period. In other words, the present study will produce what
China, and on behalf of one in which the country was seen as a composite of po­ Jane Caplan and John Torpey have described in a Western context as a "history
litically and economically equal ethnonational constituencies. of identification rather than of identities:') The centerpiece of this study is China's
Following the revolution of 1949, this ethnotaxonomic volatility persisted. In "Ethnic Classification Project;' or minzu shibie, a collective term for a series of
the first census of the People's Republic of China (PRC), carried out in late 1953 Communist-era expeditions wherein ethnologists and linguists set out to deter­
and early 1954, officials tabulated over four hundred different responses to the ques­ mine once and for all the precise ethnonational composition of the country, so
tion of minzu identity. This deluge came in response to the Communist Party's that these different groups might be integrated into a centralized, territorially sta­
promise of ethnonational equality, which entailed a commitment to recognizing ble polity.
4 INTRODUCTION INTRODUCTION

means of the Ethnic Classification Project, the Communist state determined longue duree histories of China's non-Han peoples. One simply cannot understand
the number, names, and internal compositions of China's officially recognized eth­ ethnic diversity in Yunnan, for example, without taking into account the topogra­
nonational groups. As such, I argue that the project stands at the center ofpractically phy of the province. Cut up by complex river and marked by rapid fluctu­
all questions of ethnicity in contemporary China, being itself part of the history of ations in elevation, Yunnan's geography doubtless has contributed to the splinter­
each of the minzu categories to which it gave shape and, in some cases, existence. ing of communities and linguistic diversification. Likewise, another key factor has
Despite its centrality, however, the details of the project have remained virtually un­ been the province's location at the crossroads of migration and cultural exchange
known, clouded in a great deal of confusion. When the project is directly addressed emanating from the civilizational centers ofmodern-day Southeast Asia, Tibet, and
in English-language scholarship, which is rarely, it is caught between starkly differ­ China. This complex and layered history of migration is undoubtedly constitutive
ent interpretations. By some it has been summarily dismissed as «arbitrary"4 and ((pro­ of modern Yunnan and its resident communities. The fifty-six-minzu model was
crustean:'5 and by others vaunted as ((ethnographic inquiry into the minutiae ofevery­ not produced by way of discourse alone.
day life and local custom"6 and «perhaps the most extensive series offieldwork projects As vitally important as these factors are in the production and enactment ofiden­
ever conducted anywhere on earth:'7 The project, as we will see, was neither of these tity' however, an approach based entirely on geography, migration, and deep his­
things-neither a Communist-imposed scheme whose ethnological dimensions can tory the significant role played by taxonomy, and treats categorization un­
be dismissed as pseudoscience, nor a purely social scientific endeavor that can be problematically as the passive description of((pre-existing properties ofthe world:'9
treated apart from the broader history of modern Chinese ethnopolitics. In doing so, we fail to distinguish between two related but very different histories:
In 1995, the first (and until now, only) dedicated analysis of the Classification the history of diversification and the history of categorization-that is, between the
was published in the PRC by Shi Lianzhu. 8 For the first time, some of the most ba­ history of how and why human communities undergo differentiation and/or amal­
sic questions about the project were finally answered: the names of the researchers gamation along linguistic, cultural, religious, physical, and other trajectories; and
involved, the timeframes in which they conducted their field research, the eth­ the history of how and why, at different moments in time, specific types of differ­
nonyms of those investigated, and so on. However, the study cautiously and un­ ence are privileged over all others as the organizing criteria of taxonomic work and
critically portrayed the Classification as little more than a process ofdiscovery. Can­ state infrastructure. The first of these issues is undoubtedly a historical one requir­
didate by candidate, phase by phase, the researchers who carried out the project are a longue duree perspective that takes into account migration, geography, cul­
portrayed as systematically excavating true, preexisting identities ofChina's minority tural interaction, and so forth. On its own, however, such a perspective helps us un­
peoples. The identities of China's non-Han minority groups, it would seem, were derstand only the present-day ((plurality" ofthe region in an overall and nonspecific
carefully unearthed from beneath accumulated layers of misunderstanding. sense of variation, and not how these communities have come to be categorized
The tone and analytical approach of the book was a direct reflection of its au­ into the specific number of minzu today. In order for us to move from
LUVJ.~J.Ut' and the ethnopolitical environment in which it was published. Although the unbounded and ever-shifting plurality of the region to the bounded and fixed
written by Shi Lianzhu, a researcher in the Ethnic Classification Project, it was ((diversity" of the PRC, these longue duree histories must be considered in relation
lished under the name of Huang Guangxue, a government official in the National­ to the Ethnic Classification Project, w~ich crafted the prism through which the mod­
ities Affairs Commission. no interest in raising questions about the accu­ ern Chinese state, and increasingly the people of China and the world at large, have
racy of the project or its taxonomic conclusions-and even less so in revealing that come to view and understand non-Han Chinese identity. In other words, to
the Chinese state played a significant role in the construction of the country's offi­ the present-day diversity of Yunnan, I argue that we must adopt a bifocal view that
cially recognized minzu-the text treats the Classification as having played ab­ takes into account both long-term, on-the-ground processes of differentiation and
solutely no role in the ethnogenesis of China's non-Han peoples, an argument that amalgamation, and what Lorraine Daston has described as ((salience:' a term she
the present study will refute. China's fifty-six-minzu model was not, as Shi and employs as «shorthand for the multifarious ways in which previously unprepos­
Huang's study suggests, an immaculate conception. phenomena <;:ome to rivet scientific attention" and thereby ((coalesce into
Having announced my central focus as the history ofethnotaxonomic discourse domains of inquiry:'lo Only then can we understand how and why contemporary
and practice in modern China, and the role of the Classification in the develop­ is understood to be home to distinct peoples, as opposed to many
ment ofthe fifty-six-minzu model, I should state clearly that this is in no way meant ~4~.u.luJ.~ds (as in the late Qing imaginary) or one (in the eyes of Guomindang au­
to suggest that we can discount the findings of historians who have examined the thorities during the first half of the twentieth century).
6 INTRODUCTION INTRODUCTION 7

Anyone familiar with the fifty-six minzu model will know that none of the minzu
REVISITING THE CLASSIFICATION: listed here-the Liming, Liude, Mili, and others-officially exist in the contempo­
NEW SOURCES, NEW INSIGHTS rary PRe. There is no Liming display at the ethnological museum in Beijing, no
Liude figurine in the minority doll set, and no "Brief History of the Mili:' But owing
Our limited knowledge of the Classification derives in large part from the long­ to the unique historical context of these documents-after the Communist revolu­
standing absence ofprimary source materials. Until very recently, firsthand reports tion, yet before the stabilization of a standardized ethnotaxonomic orthodoxy­
from the project had been off-limits, greatly limiting our understanding of even we will finally be able to follow the classification process when the future was still
the most basic facts about the project: who was involved, when it was undertaken, "to be determined:' at a time when there could have been a Shuitian minzu, a Liude
which ethnonymic groups were investigated, and so on. Fortunately, in reconstruct­ minzu, a Mili minzu, and so forth. What is more, these reports enable us to hear
ing the history of the 1954 Ethnic Classification Project, I have benefited immensely something we have never been able to hear before: the voices of Classification in­
from five new bodies of sources, compiled from archives, libraries, institutions, terviewees whose self-reported ethnonyms circa 1954 have, by the present day, all
and private collections in Beijing, Kunming, Chengdu, London, and Worcester, but disappeared, unknown even to seasoned Chinese ethnologists. We will hear from
England. 11 those who opposed the Classification team's taxonomic hypotheses, those who sup­
First, this book constitutes the only study to date to draw upon the actual text ported them and, most intriguingly, those whose opinions and worldviews changed
of the 1953-54 census registers. I cannot emphasize enough the importance of this during the course of the Classification itself.
source. For the first time, rather than simply recapitulating the oft-cited fact con­ Third, my analysis of Chinese ethnotaxonomy in the first half of the twentieth
cerning Yunnan Province-namely, that it accounted for more than half ofthe four­ century has benefited greatly from the Republican Era Periodicals Reading Room
hundred-plus minzu names registered in the inaugural census of the PRC-we will at Sichuan University. Thanks to this first-class collection of original edition aca­
finally be able to see these names, the specific counties from which they hailed, and demic, professional, and regional newspapers, magazines, journals, and short-run
the populations of each. Rather than starting in the present day and trying to re­ series, I was able to investigate the development of early Chinese ethnology in its
verse engineer the logic and practice of the Classification, then, we will now be able original context, rather than through the lens of"collected volumes" that have since
to understand both the impetus for the project and the specific problems that the been republished for each of China's foremost anthropologists, linguists, sociolo­
team, and the Chinese state, were attempting to resolve. To my way of thinking, this gists, and ethnologists. These latter collections, while doing a wonderful service to
text offers us a vantage point that, although not standing outside of taxonomy in scholarship by preserving and republishing the seminal works of key scholars, cut
general, does stand outside the "black box" of the fifty-six-minzu paradigm. out of the picture those scholars not considered worthy of republication and those
A second set of documents, and the one on which the majority of this study is articles not deemed essential to an understanding of each given scholar's overall
based, is a remarkable collection of recently declassified reports from the 1954 Eth­ contribution. The first editorial process canonizes ethnology on a scholar-by­
nic Classification itself. These are firsthand (and mainly handwritten) reports from scholar basis, and the second process canonizes the individuals themselves on an
the project that contain unprecedented detail regarding groups who, in terms of article-by-article basis. At each step, the historical context of early Chinese ethnol­
the official discourse of the PRC, no longer exist as minzu. As with the census ma­ ogy disappears from view, particularly the work of ethnotaxonomy, considered as
terials, these reports allow us to witness taxonomy in action, rather than trying to merely the "means" to the more significant "ends" of ethnological research.
reconstruct the logic of Classification based on evidence from the post-Classifica­ Fourth, this is the first study to draw upon the unpublished materials of Henry
tion world. A sample of the titles of these documents bespeak the vast differences Rodolph Davies, the turn-of-the-century British military officer who, as we will see,
between pre- and post-Classification sources: is responsible for developing an ethnic taxonomy of Yunnan that was later adopted
"The Languages of the Shuitian, Luoluo, Zhili, Ziyi, Lang'e, and Talu Minzu by early twentieth-century Chinese ethnologists and linguists and, ultimately, by
ofYongsheng County" the Ethnic Classification team in 1954. Read in collaboration with his book Yun­
"Report on the Investigation into the Situation of the 'Liming' Minzu of nan: The Link Between India and the Yangtze, published in 1909, these unpublished
Yongsheng County" journals offer unprecedented insight into the early taxonomic work of this practi­
"Transcript of the Visitation with the 'Liude' Minzu ofLude Village in the cally unknown figure.
Second Area ofYongsheng County" Finally, I was immensely fortunate to be able to conduct oral history interviews
"Materials from the Investigation of the 'Mili' Minzu ofXinping County"12 with five of the members of the 1954 Yunnan Province Ethnic Classification re­
8 INTRODUCTION INTRODUCTION 9

search team: Shi Lianzhu, Xu Lin, Zhou Yaowen, Yan Ruxian, and Wang Xiaoyi. that I realized what he was holding: this book was Wang Xiaoyi's diary from 1954,
Surprised to find a foreign researcher interested in, and even cognizant of, a project a diary that, as I would soon learn, he updated in detail on a daily basis through­
that has been all but forgotten in China, each of these scholars went out of his or out the Classification project. He took precise notes on each meeting, each lecture,
her way to provide assistance, information, and encouragement. In particular, I each preparation session, and each interview. Just as importantly, he kept close tabs
am indebted to Professor Wang Xiaoyi, whose centrality to this story deserves a on the quotidian rhythms of the expedition: haircuts, visits to the bookstore, laun­
special introduction. dry, visits to the infirmary, and even nights at the opera.
I met Professor Wang in the winter of 2003 at the Central University for Na­ Over the course of our meetings, Wang led me through the expedition on a day­
tionalities. During our initial interviews in his Beijing apartment, I could sense that by-day basis. As I shuttled back and forth between Beijing and the archives in south­
his memories of the early 1950S were remarkably vivid. Most stirring was the ac­ west China, moreover, I had the unique pleasure of comparing and corroborating
count of his 1951 trip to Tibet with the Eighteenth Army and his professor Lin Yao­ Wang's diary accounts against those of the original Classification reports, and also
hua. The experience started rather precipitously for Wang, who was still a nineteen­ of re-presenting both Professor Wang and other members of the team with photo­
year-old student of sociology at Yanjing University when he was approached by his copied versions of the 1954 documents. Looking over the pages of the reports, some
professor. Lin, the esteemed anthropologist and ethnologist who had come of age of which were written by his OWn hand, Wang was caught off guard. I received a
professionally in the latter half of the Republican period (1911-49), asked Wang if similar reaction from Shi Lianzhu. When presenting him with his writings from the
he would be interested in joining the expedition. Wang agreed without hesitation, project, the tempo and cadence ofShi's normally robust and commanding tempera­
with the exuberance and impetuousness befitting a young man his age. Lin Yaohua ment subsided noticeably. In an uncharacteristically subdued and self-reflective mo­
sought out Wang's other professors and negotiated on his student's behalf: Wang ment, he remarked: "I haven't seen these since I submitted them to Professor Lin
rushed to complete his remaining graduation requirements and set out for Lhasa in 1954:'
with Lin in June. Together, these new sources unveiled to this student of twentieth-century Chi­
Professor Wang recounted to me the severity of the mountain ascent, the oxy­ nese state formation, ethnicity, social science, and taxonomy a window of unprec­
gen-depleted atmosphere, and an audioscape punctuated by the heaving breaths of edented clarity through which I was able to observe the very earliest stages of per­
the team's pack animals. The yaks respired with the struggling cadence of a steam haps the largest social engineering project in human history: the construction of
locomotive, Wang recalled, a sound that he reproduced for me in the form of three the "unified, multinational People's Republic of China:'
exaggerated expulsions of breath. The last stretch of the journey was particularly
unforgettable: a two-month march from Chamdo-the site of a devastating battle
STRUCTURE AND METHODOLOGY
for Tibetan forces just months earlier-to Lhasa, during which the terrain had grown
so steep and the air so thin that the team could sometimes manage only a dozen or The creation, animation, and maintenance of the fifty-six-minzu model is a topic
so yards each hour. From Chamdo onward, moreover, Wang began nursing a dull whose scope far exceeds the bounds of any single volume. The goal of this study is
but persistent pain in his jaw. Over the next sixty days, as the team forded a series more circumscribed, but at the same time ambitious in its own right. Here we will
of mountain peaks, the toothache grew worse. Naively, I remarked, "So you had to investigate the 1954 Yunnan Province Ethnic Classification Project, the single most
wait until Lhasa to have your tooth taken care of?" He chuckled courteously and complex piece within China's ethnonational puzzle. Chapter 1 opens with a close
responded, as if recalling the sensation: "I had to wait until I got back to Beijing, analysis of the reasons for the expedition, with particular attention paid to the in­
two years later." augural census of the People's Republic of China. When designing the census sched­
The conversation turned then to the Ethnic Classification Project of 19 54. "What u
e' Communist authorities decided to break with convention and pose the ques­
month was the team formed?" I inquired, aware that this was a rather specific ques­ tion of ethnonational identity as an open-ended, fill-in-the-blank inquiry. Quite
tion to ask of events which took place nearly one half-century ago. Wang's eyes re­ unlike most modern censuses, there were no predetermined ethnonyms from which
oriented upwards and paused for five long seconds. Just as I began to resign to what to choose and no check boxes-just a blank in which registrars were instructed to
was clearly a reasonable lacuna in his otherwise formidable recall, Wang exited the record faithfully whatever answer was provided by the registrant. As we will see, this
room for a few brief moments, and returned holding a plainly bound book. "1954:' led to the creation of one of the most intriguing registration documents in the his­
he repeated, and began to leaf through the pages. "February ... March ... April ... " tory of the modern state, one in which no less than twenty of the resulting "nation­
he spoke in the muted, elongated syllables of one reflecting out loud. It was then alities" in Yunnan Province were registered with populations of one person each, and
 10 INTRODUCTION INTRODUCTION 11

many others with oftwo, five, ten, and so forth. More importantly, we will hOIne to roughly two dozen minzu. Instead, this decision was reached by Chinese
see how the Communist state's initial approach to the question of categorization­ pthnologists and linguists in the 1930S and 1940s, well before the Ethnic Classifica­
one in which each was permitted to self-identify at will-resulted in fail­ and before anyone knew that the Chinese Communists would pro­
ure and prompted the formation of the Yunnan Province Ethnic Classification Re­ claim victory on October 1, 1949. And when the Classification was undertaken in
search Team. To undertake a highly objectivist categorization of the peoples of 1954, my research shows that Chinese ethnologists and linguists were at the helm
Yunnan was the state's second choice, a «Plan B" prompted by a political crisis. of the project, not the limited number of Communist cadres who took part. Rather
More broadly, chapter 1 places the early Communist period in a framework with than caricaturizing twentieth-century Chinese taxonomists as handmaidens of the
which it is still not commonly associated, China's postimperial transition and the state, then, I pay close attention to the ways in which these "establishment intellec­
tortuous of transformation from to nation-state. As James Towns­ tuals" articulated, defended, and ultimately attained paradigmatic status on behalf
hend, Pamela Crossley, Magnus Fiskesjo, and others have argued, the Communists of their epistemological, ontological, and methodologically approaches to minzu and
were to resolve a problem that, in effect, was left over from the collapse minzu taxonomy.16 It was they who the blueprints of ethnic in
of the multiethnic Qing empire, and that subsequent regimes had failed to answer. 13 Yunnan; they who, to answer Partha Chatterjee's question to Benedict Anderson in
By carrying out the systematic of minority populations, particularly in N'r\f-amporary Chinese context, first imagined these communities. To adoot a
the distant western borderlands, the Communists were attempting to reintegrate lJ! more comparative
'-'ClU\.-J., then, the objective of this chapter is to
the former Qing territories into a unified polity, left in pieces after the revolution­ the Classification within the transnational history of the modern social sci­
aries of 1911 initially rejected those Qing discourses and designed to le­ ences (ethnology and linguistics, in particular), modern governmentality, and the
5~UU~Cll\.- Manchu rule over non-Manchu subjects. I see the endeavors ofearly Com­ intimate relationship that has long existed between the twO. 18
munist state officials, and their social scientific advisors, as an attempt to reestablish In chapter 3, we follow these Beijing scholars to the capital of Yunnan Province,
territorial integrity and to legitimate a state in which a predominantlv Han Chinese vvhere they convened with the other halfof the Ethnic Classification team. The Yun­
regime would govern a highly diverse polity encompassing peoples nan contingent, which comprised the team's only state and party representatives,
ferent linguistic, cultural, religious, and social backgrounds. In our ongoing attempted to enforce its epistemic authority over the particularly over the
to understand «how the Qing became China;' I argue that we must include the tealn's academic contingent whose metropolitan and tower" backgrounds
Communist period, and the Ethnic Classification Project more specifically, in our o1ade them somewhat suspect in the eyes of local Communist leaders. In particu­
narratives. 14 the political directors of the Classification instructed the team's ethnologists and
Chapter 2 takes us to the opening weeks of the project where we find a small linguists to assess the claims oflocal minority communities in accordance with the
group of Beijing scholars attempting to make sense of the overwhelming task con­ Soviet definition of nationality (natsia) as articulated by Joseph Stalin. According
them: to categorize the minorities of Yunnan Province, one of the most to Stalin's criteria, a natsia-which Chinese Communist authorities took as the Rus­
\.-UUU\.-ClU)' variegated on earth, in less than six months. Under these draconian time p(ll1iv~ lpnt of the Chinese term minzu-could only exist in the capitalist mode
constraints, this group of ethnologists and linguists had no chance to an uUU\.-UUll, for only in the capitalist stage could a community come to share the

ethnotaxonomic framework de novo. Rather, as we will see, they came to on an four "commonalities" that Stalin as the essential ingredients of nationhood:
'L""" framework, one whose genealogy traces back through the Republican
...... .l .......J ........ (On1mon territory, common language, common economic mode ofproduction, and
period and, ultimately, to the work of an obscure, turn -of-the-century British colo­ common psychology or culture. For groups who had yet to enter the capitalist
nial officer by the name of Rodolph Davies. The Davies model, as we will they were to be classified not as full-fledged minzu, but as one of the three
see, came to define the ethnotaxonomic worldview of Republican-era Chinese eth­ other forms of human clans, tribes, or tribal federations.
nologists and, incredibly, the work of the Classification team in 1954. The research contingent did not accept this mandate, as we will see, and instead
By delineating this relationship, my objective is to demonstrate that the epis­ undertook a sophisticated reconceptualization of minzu that departed from the one
temological and methodological foundations of the Classification trace their gene- prescribed by Communist state authorities. Based on a dynamic concept I call "eth­
first, beyond the" 1949 divide:' and second, outside of the political circles in nic potential:' team leader Lin Yaohua developed an enlarged definition of minzu
which scholars often ground their studies of contemporary Chinese ethnopolitics. IS encompassed not only fully realized national minority groups, but also em-
It was not the of the Chinese Communist nor even its team of ex­ or inchoate assemblages that, while the four commonalities out-
perts at the Nationalities Affairs Commission, that first decided that Yunnan was in the Stalinist definition, demonstrated the "potential" ofachieving such com­
12 INTRODUCTION INTRODUCTION 13

monalities in the future. This definition of minzu had the dual effect of liberating view data, a given cluster of applicants could reasonably be merged and trans­
the team's social scientific contingent from the dictates of the Stalinist model, while formed into a cohesive minzu unit by the state after the Classification was over. In
also opening up a wide space into which the Chinese state would be free, and in­ one example from the chapter, that of the Achang, we will see that the team based
deed required, to intervene and oversee the actualization of these "potential" minzu their proposed merger of three applicant communities according to their hypoth­
in the post-Classification period. esis that such communities would be susceptible to a process we might call '1\changi­
These findings require us to revisit our prevailing assumptions about the Clas­ zat ion:' Insofar as their languages were similar enough, and owing to the malleability
sification, the most persistent of which has been that the project was undertaken of self-consciousness, these communities demonstrated enough potential for uni­
in slavish obedience to Soviet theories. It was not. And for those scholars of Chi­ hcation, the team felt. The same was true for the category "Yi;' which, by the close
nese ethnicity who have long doubted this oversimplified view, but who have been of the project, would inherit more than three dozen new "branches:' As with the
unable to provide empirical corroboration, chapter 3 confirms their suspicions. In Achang and "Achangization;' each of the subordinated groups would, the team ad­
his pioneering work of over a decade ago, for example, Dru Gladney delineated how vised, need to undergo a process we might call (somewhat clumsily) "Yi-ization:'
the Hui were able to achieve official minzu status despite their failure to comply Non- Han citizens in the post-Classification period have thus been the subject of
with Stalin's definition. 2o Louisa Schein has since brought to light similar contra­ two state-led programs of nationalization: one geared toward "becoming Chinese;'
dictions vis-a-vis the Miao, as has Ralph Litzinger for the Yao. 21 James Millward and the other toward becoming Achang, Bai, Lisu, Wa, Yi, Zhuang, and so forth. 24
has speculated that, "in the days when Marxist-Leninist approaches were still de Chapter 5 expands our temporal purview and reviews the wide and seemingly
rigueur, many Chinese historians often Simply book-ended their articles with disparate array of discourses and practices in the post-Classification era that have
boiler-plate recitations of Marxist themes and then went about their own business contributed to the Achangization of the Achang, the Lisu-ization of the Lisu, and
in the central sections:'22 Through an analysis of recently declassified sources from so forth. Whereas I will not claim that such projects have been completely successful,
the Classification, this chapter finally provides evidence for what these scholars have or that every individual in China categorized as Lisu, Miao, Yi, or otherwise every­
long suspected. 23 where and always self-identifies with the official designations, nevertheless I do con­
Chapter 4 accompanies the Classification team into the field, observing taxon­ tend that the post-Classification period has witnessed the development of an im­
omy in action. Here, the researchers' categorical models began to buckle under the mense, robust, and virtually ubiquitous infrastructure whose objective is to bring
pressure of a new set of requirements that Chinese ethnologists and linguists in the the quotidian, on-the-ground experience of ethnicity into ever-closer concordance
past had never had to deal with: the consent ofthe categorized. To secure such con­ with the fifty-six-minzu model. Whatever the private sentiments of party cadres,
sent, which was a crucial factor in determining the ethnic potential of a proposed state authorities, ethnologists, linguists, publishers, filmmakers, choreographers,
minzu grouping, researchers came to rely on methods developed by Communist musicians, tour guides, museum curators, toy manufacturers, clothing deSigners,
organizers, strategies designed to transform the worldviews of their minority in­ or otherwise, the development and dissemination of policies, knowledge, cultural
formants during the interview process itself. As we will see, these strategies varied artifacts, and artistic productions must necessarily abide by the country's ethno­
greatly, depending on the extent to which interviewees either agreed or disagreed taxonomic orthodoxy. And whatever the sentiments of average non-Han citizens,
with the team's taxonomic hypotheses. At one end of the spectrum, scholars care­ all but those willing to adopt openly confrontational postures vis-a-vis the state and
fully orchestrated the interview process, gathering together representatives of those the party must interface with the political and economic infrastructure as a mem­
candidate groups that it intended to merge and then, through a set of techniques I ber of the Lisu, Miao, Yi, Zhuang, or one of the other official minorities.
term "participant transformation;' setting the conditions under which these can­ At the same time, chapter 5 poses the inverse yet intimately related question: as
didates came to "realize" (seemingly on their own) the bonds they shared with one the fifty-six officially recognized categories have become increasingly reified and
another. On the other end of the spectrum, entrenched opposition prompted the ubiquitous, where have the unrecognized categories gone? Where are the hundreds
team to draw upon an even more complex, covert, and epistemically violent reper­ of ethnonyms that refer to communities not recognized as minzu by the state? As
toire, including what the team called "persuasion work" (shuofu gongzuo).
More broadly, this chapter enables us to see more clearly how Lin Yaohua's con­
cept of "ethnic potential" played a central role in the taxonomic practice of the
team. Researchers based their taxonomic recommendations on an estimation of
,
~
.'\
we will see, many remain accessible, although they are dispersed in some unlikely
places. Others, however, are probably lost for good. I argue that by fostering these
simultaneous processes ofemergence and disappearance, the Chinese state has been
remarkably successful in bringing about a "convergence" between ethnotaxonomic
whether or not, based on both objective linguistic data and more affective inter- theory and practice, a term Geoffrey Bowker and Susan Leigh Star describe as the
t
"
./

I
14 INTRODUCTION INTRODUCTION 15

purposive act of changing the world "such that the system's description of reality ted and, in both the analysis performed and the narrative produced, replaced with
becomes true."25 an approach that leaves unresolved the very taxonomic ambiguities and complex­
Having outlined the structure of the book, a few further words are necessary ities that our historical agents were attempting to disambiguate and simplify. When
regarding certain methodological issues. Much like the 1954 Ethnic Classification confronted with scholars and politicians who were, through the formulation of a
research team, the reader will encounter a bewildering array of ethnonyms all from variety of classificatory schema, trying to "combine likes" and reduce complexity,
a large, landlocked province of southwest China slightly smaller than California. my analysis of their actions will not be predicated on the goal of evaluating their
Some of the historical figures we will meet regarded Yunnan as home to over two conclusions or attempting to replace them with my own. Phrased more broadly, my
hundred distinct groups, whereas others saw it as home to one hundred, two dozen, contention is that one cannot examine taxonomy by assuming the role of taxono­
or only one. Each of these competing taxonomies, moreover, contain names that mist. What I am interested in understanding is, as Alain Desrosieres has described
differ, not only from the official ethnic taxonomy of the PRC today, but also from it in a Western context, the "social history of the creation of equivalence:'28 In this
one another. This is all to say: Yunnan in the early 1950S was not merely "illegible:' respect, my study resonates with the insights of Nelson Goodman, Mary Douglas,
to borrow from the terminology ofJames Scott. 26 It was a taxonomic labyrinth. Paul Feyerabend, Bruno Latour, Ian Hacking, Geoffrey Bowker, Susan Leigh Star,
This poses a distinct challenge to both the reader and the author. Confronted and others whose scholarship has inspired us to look more deeply into "how clas­
with this confusing array of names, the initial temptation is to begin by sorting every­ sification works:'29
body out, outlining their ethnic names, their customs, the languages they speak, With this in mind, my study observes a set of principles that, insofar as they are
and the parts of Yunnan they inhabit. Ideally, we might start with a distribution rarely cited explicitly in the course of the book, merit outlining here. First, follow­
map, thereby anchoring our analysis in a clear sense of the provincial ethnoscape. ing Bowker and Star, I will assume that, if a category "did not exist contemporane­
We might also provide an overview of Yunnan's history, showing where each ofthese ously, it should not be retroactively applied."30 As such, I have opted not to exam­
contemporary groups originated and how they came to reside in their current lo­ ine the Classification through the lens of one or another of China's fifty-six
cations. To make sense of the province's hopelessly complex mosaic of ethnic names, recognized minzu. Whereas this approach is virtually axiomatic among scholars
we might also provide a concordance detailing the relationships of taxonomic syn­ who investigate ethnicity in China, and has undoubtedly advanced our under­
onymy that connect Shan and Dai, Yi and Lolo, Miao and Hmong, or Hani and standing of the Chinese ethnosphere to an unprecedented degree, it has also pro­
Woni, to name just three common commensurations. 27 Another set of"a.k.a:' com­ duced unintended side effects, particularly with regards to the Classification. First
mensurations could be used to link contemporary ethnonyms with historical cat­ and foremost, since the groups officially recognized now were not recognized at
egories, tracing lines from the minzu of today to various "barbarians" inscribed in the time of the Classification, the use of anyone contemporary group as an optic
imperial Chinese texts. Furthermore, we might rehearse the etymological history through which to study the Classification confines us to a teleological reading. More­
of the term minzu, that notoriously contested word that, since its importation to over, a single-minzu approach pushes from view one of the fundamental charac­
China from Japan in the late nineteenth century, has been used by widely different teristics ofthe project, namely, the sheer number of applicants groups between which
communities of practice to translate no fewer than four politically charged concepts: researchers had to adjudicate. The Classification in Yunnan was not carried out on
race, nation, nationality (natsia), and ethnic group. In other words, the editorial in­ a candidate-by-candidate basis, but was rather a differential process wherein the
clination is to classify the peoples of Yunnan in advance, so that we would know categorical fate of each community was highly dependent upon its relationship to
about whom we are talking. other communities in the region. To work on anyone group in particular would
At first glance, the benefits of disambiguation seem readily apparent. By pro­ render these relationships invisible.
viding a "starter classification" of the ethnic groups of Yunnan, we would be able to Second, I wiU not attempt to fix the definition of minzu in advance, nor will I pit
study the Classification in two discrete steps: first, by identifying who the people my Own definition thereof against the historical agents in my book. Unlike Walker
of Yunnan really are, and second, by figuring out how various taxonomists in Chi­ Connor and others who lament the "terminological chaos" that surrounds concepts
nese history categorized them (and by extension, how well or poorly they performed such as nation, ethnic group, and so forth-and who have made clear their desire
their tasks). The reader could use this author's taxonomy to assess the integrity of to demarcate such concepts so as to facilitate more rigorous, cross-comparative
the one formulated in 1954, akin to a gemological test in which the hardness of one work-I consider the ambiguity of these terms, as well as ongoing efforts to stan­
stone is assayed by scratching it against another. As a study of taxonomy and iden­ dardize them, to be a fundamental part of the history of the social sciences, the mod­
tification, however, I have decided that each of these inclinations needs be to resis- ern state, and the ongoing collaboration there-between. 31 For Chiang Kai-shek, for
16 INTRODUCTION
INTRODUCTION 17

example, his objective vis-a-vis the term minzu was to link it inextricably to the ideas ing a set of plausible, or "imaginable" minzu categories that it would be feasible for
of singularity and indivisibility, and thereby advance a concept of a unitary "Zhong­ the state to actualize in the post-Classification world-categories that would be
hua minzu" within which no divisions could be recognized. Opposing him were "good enough for government use;' we might say. Thus, for those who would attempt
not only the Chinese Communists, but also Chinese ethnologists, both of whom to disprove the fifty-six-minzu model by citing contradictory fieldwork findings,
advocated (in different ways) a concept of minzu grounded firmly in notions of plu­ the architects of the model need only respond that the framework is still under con­
rality and diversity. Thus, the reason that minzu, circa 1954, is inextricably tied to struction, and that the realization of these categories is still a work-in-progress. This
the concept of diversity has less to do with the etymology of the term than with the actualization, I argue, has been one of the fundamental objectives of the coordi­
particular history of this ethnopolitical debate and, to put it crudely, the fact that nated set of projects and enterprises collectively referred to as "nationality work"
the Communists won. Rather 'than providing one consistent translation of minzu, (minzu gongzuo).
then, I do my best to adjust my translations to match the particular worldview of With this structure and method in mind, we now travel to Beijing circa 1952,
the writer in question. For Chiang Kai -shek, the Zhonghua minzu Signified a broad, where we find a fledgling Communist regime attempting to consolidate its politi­
indivisible totality-as such, I have decided to translate his minzu as "Chinese cal control and establish a stable government on the mainland. In doing so, one of
people" and/or "Chinese nation." For Chinese Communists operating within a de­ the primary challenges they faced was the so-called nationality question.
Cidedly Marxist -Leninist nomenclature, the translation ofchoice is "nationality:' For
Chinese ethnologists, by contrast, the concept of minzu was set equal to the En­
glish-language terms "ethnicity" and "ethnic group" (as evidenced by their choice
of "minzuxue;' or "the study of minzu;' as the standard translation of the discipli­
nary title "ethnology"). At the same time, because ethnologists also found them­
selves operating within the ethnopolitical terrain of the era, there are multiple oc­
casions in which I translate minzu as "nation;' "nationality;' or "people;' even when
issuing forth from the pens of Chinese social scientists.
There is only one major exception to this otherwise flexible approach, and that
pertains to my translation of the most important term in my study, minzu shibie.
Despite the fact that this term can be translated as a "Nationalities" Classification
Project, thereby privileging Chinese Communist nomenclature, I am committed
to "Ethnic Classification" for one very Simple reason: whereas there has been a long­
standing assumption that the project was a Communist-directed enterprise, and
that the participating social scientists played a minor role, my study demonstrates
that the Classification was primarily the work of ethnologists and linguists.
In one final point, I should note from the outset that this study makes no at­
tempt to falsify the findings of the 1954 Classification or the broader fifty-six-minzu
model to which it contributed. I do this not because they are nonfalsifiable-they
most certainly are-but because such an approach actually prevents us from un­
derstanding the logiC according to which the project was undertaken, and the logiC
according to which "nationality work" has been carried out in the post-Classifica­
tion period. As we will see, those who helped build the fifty-six-minzu model, and
those who help maintain it today, did and do not think of it as a high-fidelity rep­
resentation of presently existing realities, but rather as a semidescriptive, semi­
prescriptive blueprint of what could exist in the future with the help of state inter­
vention. 'TI1e objective of the team in 1954 was never strictly that of describing
already existing, already stable "imagined communities;' but rather that of outlin-
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