Bibliography Reading List: Yunnan Integration

How Yunnan became part of China.

大理市文化丛书编辑委员会 ( ):


A collection of the texts of many important stone tablets in the Dali region, from the Nanzhao period to the 20th century. 

Christian Daniels:

Upland leaders of the internal frontier and Ming governance of western Yunnan, fifteenth and sixteenth centuries


This chapter investigates internal frontiers, that is, spaces not controlled by the state directly, or administered indirectly through native officials. It examines why the Ming state failed to control the internal frontier of Iron Chain Gorge, a conglomeration of autonomous upland ethnic communities in western Yunnan, for almost 200 years. Focusing on the agency of these upland communities in maintaining their own autonomy, the author clarifies the nature of political organisation within the internal frontier, and shows how fierce opposition by upland leaders limited Ming control of surrounding lowland areas until the conquest of Iron Chain Gorge in 1574. The survival of an internal frontier compelled Ming bureaucrats to heavily rely on co-administration with hereditary native officials. Co-administration was not simply a product of the uneven coming together of regular bureaucrats and hereditary native officials, but can be interpreted as the Ming state’s recognition of the limited extent of their governance. The author concludes that this administrative infrastructure prolonged the existence of the Iron Chain Gorge internal frontier, and that it restricted the reach of social reconstruction. The concept of internal frontiers is reviewed in the context of James Scott’s Zomia, and the implications it has for the history of Southwest China are discussed.

段金录 (Duan Jinlu) and 张锡禄 (Zhang Xilu):


Collection of the texts and a brief analysis of important stone tablets in the Dali region.

方国瑜 (Fang Guoyu):


Han immigration into Yunnan before and during Nanzhao/Dali.

方国瑜 (Fang Guoyu):


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A three volume catalogue Yunnan's historical documents and artefacts from the earliest time to the Qing dynasty. 

方国瑜 (Fang Guoyu):


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Detailed excerpts of historical records about Yunnan from the earliest times to the Qing dynasty.

David Faure:

The Yao Wars in the Mid-Ming and their Impact on Yao Ethnicity

Richard von Glahn:

The Country of Streams and Grottoes: Expansion, Settlement, and the Civilizing of the Sichuan Frontier in Song Times

Expansion, Settlement, and the Civilizing of the Sichuan Frontier in Song Times

龚荫 (Gong Yin):


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A detailed compendium on all the Tusi in Yunnan, complete with genealogies.

John E. Herman:

The Cant of Conquest

Exploration of the Ming Tusi system, mostly in Guizhou.

林超民 (Lin Chaomin):


Abstract: 汉武帝元封二年 ( 公元前 109 年) 设置益州郡, 并在建立郡县的同时实行屯垦戍边的政策, 大量汉族人 口迁移到云南, 作为边郡的主要社会基础, 为维护汉王朝的统一做出了贡献。 三国两晋以后, 进入云南的汉族移民发生 “ 异化”, 出现了 “以夷变夏” 的 “夷化” 趋势。 天宝战争以后, 唐朝兵败退出云南, 出现了长达 500 年的南诏、大理的自治独立局面。 元代建立云南行省, 并在云南推行民屯与军屯, 不仅解决了军队的粮饷, 增加了国家赋税, 更重要的是维护祖国的统一, 保卫边疆的稳定。 明代在云南推行卫所制度, 大量汉族军户进入云南, 使 “ 夷多汉少” 的居民结构发生了根本改变。 原住的夷人与土著的汉人合为 “ 云南人” 。 清代推行大规模的改土归流及汛塘制度, 越来越多的汉族移民不断进入云南, 并进一步渗透到坝区边缘与山区腹地。 在推进移民殖边的过程中, 伴随着施改土归流、 开科取士等一系列政策, 汉文化在云南得到更加广泛和深入地传播, 云南不仅在政治上、 经济上、 文化上与中原结成一个整体, 而且进一步确立了民族国家的普遍认同, 成为统一多民族国家不可分离的有机组成部分。

刘灵坪 (Liu Lingping):



当代人类学、民族学的族群研究理 已揭示出族群 份 同在族群形成中的

关键作用。在今天云南白族的形成 程中 其所具有的稳定 我 同的族群历史 程 并

非止步于南 与大理国时期  是经历了漫长 曲折的历史变化。13 世纪以降  着国

家力 的深入 洱海地区的白族知 精 对祖源的 溯 经历了从 祖于九 到 祖于南

京应天府的转变。与此同时 遵循着白人上层最初的九 祖源 在白族准精 引 下的民

 社会 表现出相对稳定的“白”的 同。 清末民初起 白人 同内 的 一张力由

于其上层 体 份意 向“白人” 同的回归  于消 。因此 在20 世纪50 年代的

民族 别之前 白族已经成为具有稳定 我 同的  的族群

罗勇 (Luo Yong):


Abstract: 受记故事最晚产生于唐后期的《南诏圣教史画卷》。从它的绘制过程与受记故事的产生和受记故事的变化及变化的社会背景来看,元明两朝虽然从政治、军事上控制了云南,尤其是明代还在构建云南对明朝的认同上做了努力,但大理地区延续了唐宋以来的认同;直到清朝从政治、军事、意识形态上加强控制,大理地区对清朝的凝聚力和认同感才得以增强,成为统一多民族国家不可分割的一部分。

Pamela Kyle Crossley, Helen F. Siu and Donald S. Sutton:

Empire at the Margins: Culture, Ethnicity, and Frontier in Early Modern China

Culture, Ethnicity, and Frontier in Early Modern China


Focusing on the Ming (1368-1644) and (especially) the Qing (1364-1912) eras, this book analyzes crucial moments in the formation of cultural, regional, and religious identities. The contributors examine the role of the state in a variety of environments on China's "peripheries," paying attention to shifts in law, trade, social stratification, and cultural dialogue. They find that local communities were critical participants in the shaping of their own identities and consciousness as well as the character and behavior of the state. At certain times the state was institutionally definitive, but it could also be symbolic and contingent. They demonstrate how the imperial discourse is many-faceted, rather than a monolithic agent of cultural assimilation.

张云霞 (Zhang Yunxia):


A detailed investigation of the changes in Bai society under the influence of Han culture during the Ming dynasty.