A PALAEOGRAPHICAL & PHONOLOGICAL ANALYSIS OF PHONETICALLY

AMBIGUOUS CHINESE CHARACTERS

by

Christopher Thomas James Button

B.A., Trinity College, University of Cambridge, 2002

A THESIS SUBMITTED IN PARTIAL FULFILM ENT OF

THE REQUIREMENTS FOR THE DEGREE OF

MASTER OF ARTS

in

THE FACULTY OF GRADUATE STUDIES

Department of Asian Studies

We accept this thesis as conforming

to the required standard

_________________________ _________________________ _________________________

THE UNIVERSITY OF BRITISH COLUMBIA

AUGUST 2004

© Christopher Thomas James Button, 2004

ii

Abstract

Phonetically ambiguous Chinese characters are thoroughly analyzed in the context of

both their graphic and phonetic development. A clear definition of the traditional

terms huiyi in character composition, and zhuanzhu in character usage, is identified in

order to refute claims that polyphony was a fundamental aspect in the evolution of the

Chinese script.

ii i

Table of Contents

Preface….………………………………………………………………….……….. vi

1. Introduction

1.1 Chinese Writing in a Comparative Perspective…………………………………. 1

1.2 a) The Six Principles of Graphic Composition………………………………….. 3

b) The Concept of Huiyi………………………………………………………… 4

c) The Concept of Zhuanzhu……………………………………………………. 5

1.3 The Nature of Polyphony……………………………………………………….. 6

2. A Polyphonic�

‘Mouth’?

2.1 The Xiesheng Series of � ……………………………………………………… 9 � *a� kwa�j�, � *kwa

�j, � * � wra

�j-� , *a� kw�� j-� , � kw�� j-� �

2.2 a) The Xiesheng Series of ………………………………………………….. 13 *ma�j� -t, � *ma

�j� -t

�, � *ma

�j�

b) The Xiesheng Series of � ………………………………………………….. 14 � *k�a� � � , � *m-� a� �

2.3 a) The Xiesheng Series of � ………………………………………………….. 16 � *a�� xja�� �

k, � *� ja�� �

k�, � *ka

�� �k

b) The Xiesheng Series of � …………………………………………………... 18 � *� ja� �

-t�, *

� ja�� � �

-k, ! *� jja

� �-k

3. A Polyphonic " ‘Ear’?

3.1 The Xiesheng Series of # …………………………………………………….. 21 # *a� xj$� � , % *a� xja� � -

�, & *xwr'( ) *

3.2 The Xiesheng Series of + …………………………………………………….. 22 + *xjra,j- , . *kkja

/j- , 0 *xja

,j- , 1 *xj(r)a

,j-

iv

3.3 The Xiesheng Series of � …………………………………………………….. 24 � *a� xja/ - , � *xja

, - � , � *xja/ - , � *m-

)a, - � , � *a� k�a�

4. A Polyphonic � /� ‘Eye’?

4.1 The Xiesheng Series of …………………………………………………….. 30

*a� kwj�� m, � *kwra�m, � *kwja

�m�, � kkwa

�m�, � *a� xwa

�m�, � *a� xwja

�m�

4.2 The Xiesheng Series of � …………………………………………………….. 35 � *m�� � k, � *m�� � k(�), � � � *x-ma

� �k

5. A Polyphonic � ‘Fire’?

5.1 The Xiesheng Series of …………………………………………………….. 38 *xja�w, ! *xa

�w, " *kja

�w-k

5.2 The Xiesheng Series of # …………………………………………………….. 40 # *kwj$% w& , ' *(-ka�w

5.3 The Xiesheng Series of ) /* …………………………………………………. 42 ) *�a� �

-k, * *k-�a% � -k, + *

�a% � -k, , * a- p-

�a% �

6. A Polyphonic . ‘Child’?

6.1 The Xiesheng Series of / …………………………………………………….. 44 / *a- kj$%% 0 , 1 *a- kj$%% 0 -k( / *a- kj$%% 0 & , 2 kj344 5 , 6 *a7 kj34 5 -n,

6.2 The Xiesheng Series of 8 …………………………………………………….. 45 8 /9 *xj3: 5 , ; *kj3: 5 , < *xj344 5 -n, = *> j3: 5 -n?

6.3 The Xiesheng Series of @ /A …………………………………………………. 47 B/C *D 3: w-k, E *pp-x3: w, F *p-x34 wG , H x34wG , I *J KL w, M *J KL w

7. A Polyphonic N ‘Woman’?

7.1 The Xiesheng Series of O …………………………………………………….. 51 O *naL P Q

, R *nraS P

-n, T *QaS U P

-n, V *QaS P

-n, W *QaS P

-t, X *kraS P

-n

7.2 The Xiesheng Series of Y …………………………………………………….. 54 Y *J KS J , Z *[ \ ]^ _ `

v

8. Other Suggestions of Polyphony

8.1 The Xiesheng Series of � …………………………………………………….. 60 � *kra� �

-l` , � *kra�

, � *kra�

8.2 The Xiesheng Series of � …………………………………………………….. 61 � *kk]^ _ -n�, � *xj]� _ ` , � *xj]^ _ � , *kwr]� _ ` , *p-� a

� _ �

8.3 The Xiesheng Series of � …………………………………………………….. 63 � *-rajk, *-]^^ j� ` , � *-r]� j� , � *-r]^ j� , � *-]� j�

8.4 The Xiesheng Series of � …………………………………………………….. 65 � *kwj]^ _ � ` , � *�-k]^ _ k, � *

�-a� k]^ _ k, � *a� kwa

� _ k�, � *

�-kw]^ _ k

8.5 The Xiesheng Series of � …...………………………………………………... 69 � *a� kwa_ , � *a� k]^ _ -�

8.6 The Xiesheng Series of � …………………………………………………….. 71 � *kwja

� �, � *kwa

�-n, ! *kwja

� � ", # *a$ ka

� %, & a$ ka

� � %

Concluding Remarks…………………………………………….………………… 75

Appendix 1. The Reconstruction of Chinese……………………………………... 76

Appendix 2. Comparative Table of Old and M iddle Chinese Rhyme Groups… 86

Primary Sources……………………………………………………….……..……. 95

Secondary Works Cited…………………..……………………………………….. 97

vi

Preface

Middle Chinese reconstructions used here are those of Early Middle Chinese as

outlined in Pulleyblank 1984 and 1991a.i They are usually written in italics directly

after their respective characters and are not preceded by an asterisk. Late Middle

Chinese reconstructions, although fundamental when looking at the evolution of

Modern Chinese, are not listed in this paper which deals primarily with the earliest

reconstructable stages of the language. Old Chinese reconstructions are preceded by

an asterisk and usually appear directly after the Early Middle Chinese reconstruction.

The system adopted here follows Pulleyblank’s proposal (1991b, 1995b), albeit with a

few supplementary observations fully explained as required in the text, that the

Tiangan Dizhi (twenty-two calendrical signs) originated as phonograms for the

original consonants of the Chinese language. While other academics have been slow

to concur, the theory does provide some illuminating observations that seem to

elucidate hitherto inexplicable xieshengii correspondences between initials. Wherever

relevant, comparisons are made between Old Chinese and Proto-Tibeto-Burman, as

reconstructed by Matisoff (2003). For readers not versed in Pulleyblank’s system of

historical Chinese reconstruction, a brief summary is provided in the appendix.

The following abbreviations are used throughout the paper:

EMC Early Middle Chinese

OC Old Chinese

PTB Proto-Tibeto-Burman

OB Oracle Bone

i The only modification being that Pulleyblank’s final -a

� and -�� glides are written uniformally as -a� .

ii See fn.2 for a definition of this term as used in this paper.

1

Chapter 1 Introduction

1.1 Chinese Writing in a Comparative Perspective

To the uninitiated, the Chinese script appears unnecessarily complex when compared

to alphabetic and syllabic writing systems. The concerns of advocators of script

reform have been neatly summarized by DeFrancis, who comments that “If they [the

Chinese] maintain the quintessentially Chinese system of characters as the exclusive

means of writing, it seems that many if not most of the people will be doomed to

perpetual ill iteracy and that China’s modernization will be seriously impeded” (1984:

287). While the extremely high literacy rates in Hong Kong, Taiwan and Japan may

seriously cast doubt on DeFrancis analysis, perhaps of even greater significance is an

underlying similarity between Chinese and English writing. Sampson has pointed out

that “We must not assume, because European writing usually could be read

phonographically that it commonly is… Anyone who succeeds in becoming a skilled

user of written English must eventually learn to use both ‘ look-and-say’ (or

logographic) and ‘phonic’ strategies in both processing-modes, reading and writing.

The phonic strategy must be used in reading when one encounters a new word. An

unfamiliar surname, for instance, obviously cannot be recognized as a unit, so a reader

who arrives at a pronunciation for it must do so by some method of

grapheme/phoneme conversion. On the other hand, a familiar word with a thoroughly

irregular spell ing must be handled logographically even by the writer: no-one could

spell knight correctly by ‘sounding out’ the word and converting phonemes to

graphemes” (1985: 208-209). The comparison with Chinese writing, which is also

fundamentally logographic (i.e. a morpheme can only be accurately pronounced as a

unit-whole rather than being solely deduced from its constituent parts), is striking. As

with English, one may often guess at the pronunciation of an unfamiliar Chinese word

on the basis of its phonetic component, but this usually wil l only give a sound similar

to the correct pronunciation which must be learned. In the same way that English

writing has preserved many etymological roots by not changing in accordance with

the diachronic development of the spoken word (the initial k- in knight originally

having been pronounced), Chinese writing has also preserved such roots that have

long ago disappeared in the spoken word.1

1 In reality, of course, the comparison is not so simple. As regards English writing, Sampson observes that “Many sound-changes did occur in later centuries, but they could have been accommodated by only minor changes in the spelling system, such as were already occurring in the 11c. Rather, the unphonemic nature of modern English spell ing was caused by external influences, particularly politi cal developments stemming from the [Norman] Conquest, which introduced rival spelling conventions that

2

The diff iculty with Chinese writing that spurs reform-minded intellectuals to criticize

it far more than English writing, is consequently not necessarily the

rote-memorization involved, as this is comparable to that of English writing, but

rather the seeming illogicality of many pronunciations of characters. One could hardly

call English writing logical, but the reader is at least given a very rough

approximation of the pronunciation of a word from its spell ing. The connection

between �

and � , pronounced as ér and ní in modern Mandarin, is far harder to

appreciate until one goes back to their Old Chinese pronunciations that may be

reconstructed as * � a�j and * � a

�j respectively, differing only in a prosodic alternation

based on an accentual distinction. Nevertheless, such sound correspondences between

different words in the same xiesheng series (phonetically related words sharing the

same phonetic component in their graphic form2) are on the whole regular and one

must memorize these alternations on a case by case basis as one must remember that

the rhyming part of bough is pronounced like bow and not through, which in turn is

pronounced differently from cough and rough, which similarly are both distinct. The

real difficulty is where current Old Chinese reconstructions fail to provide any

explanation for a character’s pronunciation whose spelling seems totally arbitrary. Of

course, the pronunciations of the original pictographic characters that developed into

the original root words of xiesheng series must be learned as the basic building blocks

of the script, but there are many cases of graphs, some of which are not attested in the

earliest forms of the script, which either appear to have no xiesheng relationships at

all, or alternatively graphically look as if they should belong to a xiesheng series but

seem to share no phonetic connection with it. A few scholars, led primarily by the late

Peter Boodberg and his former student Wil liam Boltz, have written some highly

informative and innovative works that successfully identify groups of such characters

whose origins have been obscured over thousands of years of development, and have

put forward valuable proposals towards providing an etymological explanation for

them. Although this paper often adopts a rather critical approach to many of their

analyses, this by no means represents a rejection of the immense value of the

competed with the native conventions and with one another. If the Normans had not prevailed in 1066 it seems likely that 20c English spelling would have been at least as phonemic as that of German or Scandinavian languages” (ibid: 198). The origin of this hybrid English system is very different from that of the Chinese system used today which can be directly traced back to the earliest attested stages of the script found in the oracle-bone inscriptions of Late Shang China (1200-1045 BC). 2 In the reconstruction system adopted in this paper, the rhyme of xiesheng graphs must be the same, differing only in a � /a vowel ablaut, and occasionally in nasality for velar codas. As regards initials, they must be homorganic, and in the case of velar initials, differing only between plain velars and one of the features of labialization, palatalization or palato-labialization. These features may also occur without the velar initial in the same series. Hence * -k, * -k� - and * -� may occur in the same series, while *kw-, *k� - and *kj- may not.

3

scholarship involved. On the contrary, it is in fact these pioneering pieces of work that

have opened the very doors through which further scholarship may proceed. It is my

sincere hope that this thesis will stimulate such excellent scholars as the

aforementioned to continue their work in this area so as to provoke more intellectual

debate in this area of linguistics which has been neglected for far too long.

1.2a The Six Principles of Graphic Composition

Traditionally, Chinese characters are analyzed according to the six principles (liu shu � �). The first attested occurrence of this is in the Diguan chapter of the Zhouli

(presumed to have been compiled during the Western Han period 206 B.C. - 8 A.D.)

where it is simply mentioned as one of the six arts (liu yi � �

) with no further

elucidation. It is in the Eastern Han period (25 - 220 A.D.) where one first finds a

description of these principles, although the manner of presentation differs somewhat

between them. In the Yiwenzhi chapter of the Hanshu, they are listed accordingly:

Xiangxing � � , Xiangshi � � , Xiangyi � � , Xiangsheng � � , Zhuanzhu � ,

Jiajie � . In the postface to Xu Shen’s Shuowen Jiezi they are listed in a variant

order with a slightly different nomenclature (Yiwenzhi correspondences are included

in brackets): Zhishi � � (Xiangshi � � ), Xiangxing � � , Xingsheng � �

(Xiangsheng � � ), Hui Yi � (Xiangyi � � ), Zhuanzhu � , Jiajie � . The

use of the word Xiang � in the first four names of the Yiwenzhi version exemplifies

the distinction between the first four categories, as principles of graphic composition,

from the last two categories, as principles of graphic usage. Such a distinction may

also be assumed in the Shuowen definitions where the same two categories are listed

in an identical fashion at the end. As regards the differences in nomenclature and

order between the two, unfortunately the Yiwenzhi provides no definitions with which

to compare the Shuowen definitions. The Shuowen defines them accordingly:

� � � � � � � � � � � � � � � � � � � The first is called zhishi. Zhishi are those that upon observation can be recognized and upon inspection the meaning is apparent. � and � are such. � � � � � � � � � � � ! " # $ % & ' The second is called xiangxing. Xiangxing are those that depict the objects and follow the sinews of its form. $ and % are such. ( ) * + * + , - . / 0 1 2 3 4 5 6 & ' The third is called xingsheng. Xingsheng are those that use things as names and take an analogous one to mutually combine them,

5and

6 are such.

7 ) 8 9 8 9 , : ; < =[=> ]

- ? @ A B C & '

4

The fourth is called huiyi. Huiyi are those that compare types and combine meanings

and in doing so reveal the signification indicated, B

and C

are such. � ) � � � � , � ; � � � 9 3 � � & ' The fifth is called zhuanzhu. Zhuanzhu are those that establish a category under one head whereby the same meanings are mutually connected.

� and

are such.

) � � � � , � � � � + � . � � & ' .

The sixth is called jiajie. Jiajie are those that originally have no graph and rely on

sound to be entrusted to the thing [to which reference is made]. �

and �

are such.

The interpretation of categories one (zhishi: abstract pictographs), two (xiangxing:

concrete pictographs), three (xingsheng: compound graphs with phonetic and

semantic components) and six (jiajie: phonographic loans with no semantic

relationship) is relatively uncontroversial. Unfortunately categories four (huiyi) and

five (zhuanzhu) are less straightforward and have been subject to many competing

interpretations.

1.2b The Concept of Huiyi

An actual definition of what is meant by the term huiyi is not that controversial. It

clearly refers to compound graphs with purely semantic components; the difficulty

however, is how these may be applied to an effective analysis of the script. The issues

have been neatly summarized by Qiu Xigui: “In the ancient script, semantographs

which are composed of two or more semantic symbols in most cases utilize

pictographic symbols in their construction, and thus are usually reminiscent of

drawings… While most of those who have discussed the six principles in the past

have regarded such characters as huiyi graphs, they are by nature distinctly different

from huiyi graphs of the ‘� ’ wa�i type… In short, the dividing line separating the

huiyi from the xiangxing is also obscure” (2000: 155-6). In other words, a graph like

chu� � ‘go out’ which is treated as a pictograph (xiangxing), in its oldest form �

consists of a foot leaving a cave, and should more aptly be treated as a compound

pictograph (huiyi). Other scholars, such as Boltz, have even gone so far as to reject the

concept of huiyi entirely, stating that “ In origin actual characters are never formed this

way; this is an artificial, retrospective category” (1996: 197), and suggesting that

graphs traditionally assigned to the huiyi category all i n fact have a phonetic

component that means they should be treated as xingsheng graphs: “There are no

characters that are invented on the basis of a combination of meanings of their

constituents alone, without regard to pronunciation, in Chinese nor, I am tempted to

5

suggest, are there such characters in any of the other writing systems of the ancient

world either” (2000: 9). As regards the oldest forms of the script, Boltz’s analysis can

be questioned along the lines of Qiu’s comment above. However, in later stages of the

script, when these original huiyi graphs have become firmly entrenched as xiangxing

graphs, it does seem unlikely that new graphs would be created irrespective of their

pronunciation. Even the earliest attested stage of the Chinese script, attested in the

oracle-bone inscriptions, consists of many xingsheng graphs and clearly represents a

relatively advanced stage of writing. Boltz tries to explain characters traditionally

assigned to the huiyi category through a theory of polyphony whereby he assigns

graphs a second (and occasionally even third), now obsolete, reading which he then

assumes allowed it to be used as the phonetic component in graphs, traditionally

assigned to the huiyi category with hitherto unidentifiable phonetic components. The

difficulty with such an analysis wil l be discussed further below.

1.2c The Concept of Zhuanzhu

The debate over the nature of category five (zhuanzhu) is even more hotly contested3

but it seems that Serruys’ definition is most in accordance with the Shuowen definition:

“CC [Zhuanzhu] then expresses a relation of a pair or sometimes a chain of words

represented by distinct graphs, not a relation between the graphs or a process of graphic

structure itself. This relation of the words of the CC pair or chain is phonetic and

semantic at the same time or in one word etymological” (1957: 150). In short, category

five may be summarized as ‘phonographic loans with a semantic relationship’ that

compares with the definition of category six as ‘phonographic loans with no semantic

relationship’ . The Shuowen’s example of k� o � khaw’ and l� o � law’ has been

slightly misleading due to the graphic similarity between the graphs as well as their

similar pronunciations. However, their respective Shuowen analyses show that Xu

Shen did not recognize a xiesheng connection between the two: � is analyzed as “�� � � � ” (derived from � abbreviated with � as phonetic); � is analyzed as

“� � ” (derived from �

and and � ).4 Nevertheless, the semantic and

phonetic relationship between the two graphs must have suggested to him that they

were a perfect example of another kind of relationship, namely zhuanzhu. Zhuanzhu

as a generic term may be used to describe this specific kind of relationship between

any two types of characters from the first four categories. However, the relationship

3 See Serruys (1957: 135-160) and Qiu (2000: 156-161) for a summary of the major works. 4 Serruys (1957: 152-153) has suggested that máo � maw may have been an “endomorphic phonetic” in these graphs. This is certainly possible, especiall y in light of its xiesheng derivatives li ke hào � xawh and háo � � aw which suggest that its original initial was not bilabial but rather a labialized velar of some kind. See the discussion in 2.1

6

between any two graphs from categories one, two or four is usually obvious as their

pronunciations are clearly defined either through the arbitrary relationship of the

signifier and the signified in the case of categories one and two, or paranomastically

in the case of category four. In the case of huiyi graphs, to Xu Shen at least, these

appeared to have no obvious phonetic, and the importance of zhuanzhu as a term to

describe the phonetic relationships of huiyi graphs within their word families, perhaps

explains why Xu Shen altered the positions of the original categories three and four,

to have huiyi directly preceding zhuanzhu. In fact many of these huiyi graphs do

belong to the xingsheng category, however, as discussed above, this does not

represent a full-scale rejection of the huiyi category, especially in the formative stages

of the script, nor does it have anything to do with theories of polyphonic graphs in

Old Chinese, as will be discussed below.

1.3 The Nature of Polyphony

In the first of his two papers (1937; 1940a) representing his now famous altercation

with Creel5, Boodberg stated that “one of the blind-spots of Sinological epigraphy

which gave rise to the most disastrous misinterpretations of Chinese characters was

caused by the evasion of the problem of polyphony in archaic Chinese. While the

presence of polyphony in a limited way could not but be recognized by every student

of Chinese, its import was always minimized and the average investigator proceeded

lightly on his way on the premise that the fundamental principle underlying Chinese

writing was ‘one graph – one phoneme’” (1937: 336). In principle, there is nothing

controversial about Boodberg’s remark. Qiu comments on many such cases, for

example: “The character � is interchangeably read as � wéi… ‘� ’ was originally

read like ‘� ’ yú but since it was synonymous with “ � ” wéi, its pronunciation was

later often interchanged with that of ‘ � ’ . In the Xi�nhuá zìdi� n and the Xiàndài Hànyu

�

cídi� n, in the sense of ‘dike’ , ‘ � ’ is only given the reading wéi, its original

pronunciation yú seems to have been eliminated” (2000: 317). The actual process of

the principle has been further expounded by Boodberg’s former student, Boltz: “The

rebus usage of a character takes advantage of the fact that words with different and

often unrelated meanings may sound the same, and thus can be written with the same

graph. Polyphony takes advantage of the fact that two or more words may be

semantically akin, sharing a common semantic denominator, as if it were, even if

differently pronounced, and therefore can be written with the same character on the

5 Boodberg rightly criticized Creel’s two papers (On the Nature of Chinese Ideography, T’oung Pao 32: 85-161, 1936; On the Ideographic Element in Ancient Chinese, T ’oung Pao 34: 265-294, 1938) which he viewed as tantamount to “divorcing writing from the living language” (1937: 330) due to “Professor Creel’s inabil ity to understand the important distinction between a graph and a picture” (1940a: 419).

7

basis of their semantic congruency. The rebus and polyphonic uses of pre-existing

characters are just two sides of the same coin. In effect both of them allow the user to

get the most mileage, so to speak, out of graphs already established as part of the

writing system by extending the applicability of an existing graph to write words

other than the one for which it was originally invented. Together these two uses of

characters constitute what we may call graphic multivalency” (2000: 7).

Recently Takashima (2003c, 2003d) has proposed that in the Shang and Zhou

inscriptions, the graph rì � � it ‘sun, day’ was used polyphonically for the word shí � d� � ‘ time’. He cites examples such as the following: � � � � � � � � �� � � (YZJWJC6 1.357), which he translates as “May sons’ sons and grandson’s

grandsons toll this bell and play music for eternity. May (they) forever treasure and

use (it)” with the comment “ ‘� � ’ meaning ‘all day long’ would be extremely

strange… It must mean � � ‘ for eternity’ (2003d: 8); � � � � � � � �

(Tunnan7 624) which he translates as “(From) the meal time to noon, it will not rain.

Auspicious” , with the comment that while “the expression � � could be construed

as referring to the position of the sun in the middle of its traverse in the sky, as well as

to any mid day in the interval of two given dates… The tradition points to the greater

possibility that the use of � in the expression � � also referred to time, rather

than sun or day” (2003c: 3-4). Takashima’s analysis seems correct and may be treated

as a clear example of polyphony in the earliest attested examples of Chinese writing.

Such an observation provides much support to the Boodberg/Boltz hypothesis that

polyphony played a role in Chinese writing from very early on.

However, it is here where one must draw a clear distinction between the polyphonic

examples cited by Takashima and Qiu above, and those of Boodberg and Boltz.

Takashima’s and Qiu’s examples are based on solid evidence derived from the

syntactic structure and semantic content of an inscription, or from examples of

modern day usage respectively, and conclusively demonstrate that certain individual

characters may be used to represent two phonetically different, semantically related

words. Boodberg and Boltz, however, take their otherwise uncontroversial statements

on polyphony, quoted above, to extrapolate them to try and explain the graphic

composition of certain characters in the formative stages of the Chinese script. In

short, Boodberg and Boltz believe that polyphony played a fundamental role not just

in giving individual characters more than one reading, but in creating whole xiesheng

6 � � � � � � � �

Yin Zhou Jinwen Jicheng Shiwen. Hong Kong: Institute of Chinese Studies, Chinese University of Hong Kong (6 volumes), 2001. 7 The abbreviations used for oracle-bone sources are full y referenced in Appendix 2.

8

series of graphically and phonetically related words, that, to them at least, seem to

have no otherwise obvious phonetic component. As will be shown below, thorough

palaeographical analyses and more sophisticated reconstructions of Old Chinese,

combined with a better understanding of the nature of huiyi graphs and their zhuanzhu

relationships with other graphs, remove the necessity for such an assumption.

9

Chapter 2

A Polyphonic � ‘Mouth’?

2.1 The Xiesheng Series of � � *a� kwa�j�, � *kwa

�j, � * � wra

�j-� , *a kw��� j-� , kw��� j-� �

Boodberg’s (1937: 342) suggestion that � was actually a phonetic in the graphs � , � and � has been reiterated by Boltz accordingly: “The set � ming < *mjing

‘name, call ’ , � ming < *mjing ‘bird-call’ , � ming < *mrjings ‘ fate’ looks

formally like a hsieh sheng series… All of the words share a common graphic element � , and all belong to the � keng < * -ing Shih Ching rime group… The failure to see

any connection between the graphic constituent � and the similar pronunciation of

the three characters � , � and � generally precludes the identification of these

three as a hsieh sheng series in the first place. But when we allow that � could have

been polyphonic, with a reading *mjing standing for the word ‘name, call’ , we can see

at once that these three characters do in fact constitute a hsieh sheng series.” (1994:

103-104)

There is no doubt whatsoever that lìng � liaj � h is the phonetic in mìng � miaj � h,

and in the oracle-bone script, they are not distinguished, both being written � . In

addition to sometimes functioning as a place name, Xu Zhongshu (1988: 1000-1001)

assigns it the meaning “� � � � � � � � ” (issue an order to make something

happen) on the basis of inscriptions like:

� � � � ! " # � $ . % & ' ( ) [$ ] (Heji 14295)

(On) Xin Hai (day), Nei divined: (The) present 1st month, Di (will) order rain. (On the)

fourth day, (a) Jia Yin (day), (in the) evening, [(it) rained].

Boltz himself even acknowledges the association between mìng � and lìng � :

“The analysis and explanation of � is a little less clear-cut than of � and � ,

because � ling < lji ng,-s ‘command’ seems to play an etymonic role, and in the

inscriptions the graph � stands often for the word ming < mrjings ’ fate, destiny’ .”

(ibid: 104, fn.16). Boltz’s suggestion that “the � element may be a phonetic

determinative (in the reading ming) in � to specify the reading ming < mrjings for � as against ling < * lji ng,-s.” (ibid.) purely on the assumption that � is phonetic in � (see 2.3a below) and � (see below) seems all the more unlikely when one

considers that the variation in initials can be easily explained by the presence of a

10

bilabial prefix: lìng � liaj � h < *ra�j � � < * � a

�j � � ; mìng � miaj � h < *m-ra

�j � � <

*m-� a�j � � . The derivation of EMC l- from * � - follows Pulleyblank’s suggestion that in

the Western Han dialect * � - shifted to * r- to have then in some characters “acquired

the pronunciation with initial l- that they have down to the present day” (1991b: 65).8

Pulleyblank also puts forward the question “Was * � also the source of medial * -r-?”

(ibid: 70), but provides no answer. In the reconstruction system used here, in order to

account for xiesheng relationships like the above, it has been assumed that, in some

cases, at least, it was.9 Matisoff (2003: 529) compares � with Proto-Tibeto-Burman

* r-mi � ~ *mi �n ‘name; order, command’. The allofamic variation between the two

forms compares well with the fact that mìng � seems to rhyme as *m-� �� j � � > minh

in the Shiji ng, in spite of its EMC form which is clearly derived from the ablaut

variant *m-� a�j � � 10. As regards Matisoff ’s gloss of ‘name’, Karlgren (1964: 219)

observes that mìng � miaj � h was often used as a loan graph for míng � mjiaj � ‘name’ which also rhymes in the OC � * -a

�j � rhyme group. There is, however, no

evidence for a medial * -r- in the latter word, as shown in 2.2a below.

As for the graph � , in his attempt to explain away all huiyi characters, it seems Boltz

was partly drawn to � as a possible phonetic because ni� o � t� w’ seems

completely unrelated. However, a closer examination of the oracle-bone graph for � �shows that the � component was in fact originally the graph for ji

� k� j <

*kwa�j11 which belongs to the xiesheng series for xi

� � j < *a� kwa

�j.12 Shima (1971:

239) only lists seven occurrences of the graph, all of which are in incomplete

transcriptions. However, one may assume the present day meaning of the graph ‘ to

8 He compares this to an alternative change of * � - to d- in Type A words or j- in Type B words that perhaps came about due to “an earlier dialectal divergence between the Luoyang and Western Han dialects” (ibid). For words that maintained the pronunciation of the Luoyang dialect, he suggests an evolutionary process from * � - that came about “either through dissimilation from the labialized final in words li ke yo

�u � , or more generally, or it may have become * l rather than * r, or have already shifted

from * r to * l, in either case participating in the palatalization of Western Han *l to EMC j-” (ibid). 9 However, as wil l be discussed below, Handel (2002: 21) notes that medial r is often assumed to have been caused by a prefix of some sort. 10 See fn.15 for a further discussion of this. 11 Pulleyblank explains the loss of labiali zation by means of a rule that “ labiovelar stops and fricatives lost their labialization in the environment of the low vowel * -a-.” (1991b: 52) In the case of words with the relatively higher vowel * -� - the labialization is assumed to be maintained, although one must also note the lowering of * -� - to * -a- in certain cases. A good example of this is found in Luo & Zhou (1958: 154) who cite the case of hu� � xwa’ < *xw�� l � ‘ fire’ which on the basis of its OC form would have been expected to give EMC xw� j’ . 12 Later oracle-bone forms of the graph � � are written � , clearly depicting the graph � � as the phonetic component. The relationship between � and � has also been noted by Qiu who comments: “The rooster is well known for its (auspicious) crowing; for this reason a mouth (“ � ” ) was placed beside a chicken to express this meaning. Later the element depicting a chicken was replaced by that for bird (“� ” )” (2000: 197). He does not however make any phonetic link between the graph for chicken and the pronunciation of the character.

11

ring, sound; cry of birds/insects etc’ is a continuation from its original sense, as shown

by inscriptional phrases like:

…� � � � � � � � … (Heji 36)

…(On) Geng Shen (day), (there) also was thunder13 (and there) were bird cries

On the basis of the reconstructed form for mìng � above, one could assume the

following reconstruction: míng � miaj � < *m-raj � < *m- a

j � . Such a

reconstruction compares extremely well, especially as regards the medial * -r-, with

Proto-Tibeto-Burman *mri � ‘ sound, noise’ as reconstructed by Matisoff (2003: 307).

Nevertheless, there is an alternative explanation that the EMC m- initial derived from

a labiovelar and that medial *-r- was derived from an alternative source. Pulleyblank

(1991b: 59-60) suggests a change of * � w > m in wèi � mujh < * � w� t 14 but also

proposes that it delabializes to * � - as in niú � � uw < * � w� � due to unspecified

circumstances. There is good evidence for the change * � w > m15, as shown in xiesheng

relationships like máo � maw < * � wa�w which is phonetic in hào � xawh < xwa

�w

and háo � � aw < *a� kwa�w. The above evidence gives one good grounds for

reconstructing míng � miaj � as * � wraj-� which compares very favourably with the

reconstructed form for ji� � k� j of *kwa

�j.

The fact that the comparative PTB form, *mri � , has a labial initial, does not

necessarily have to preclude the reconstruction of a labiovelar initial in � . The

phonetic affinity of the two initials is close enough for it not to be an issue. By way of

comparison one may note the common comparison of OC velars with PTB dentals in

for example, cù � tshw� t < *kkj� w-t (perhaps derived from * -kk� w-t) and PTB

*s-dut ‘ tie/knot; conclude/finish’ .16 As regards the source of the medial * -r-, it seems

most likely to have come from some sort of prefix. It would certainly make more

sense from the OC point of view if the meanings of the clearly related PTB roots

* r-mi � ‘name; order, command’ and *mri � ‘sound, noise’ were reversed, as the

retroflex feature of � seems to be derived from the internal change of its root initial

after the labial prefix, while in � , it seems to have come from an external prefixal

13 The gloss of ‘ thunder’ follows the proposal of Takashima (2003b: 82-84). Takashima comments that contextual evidence points to “a natural phenomenon…[that] has something to do with cloud formations and rainbows” , while palaeographical evidence allows the graph � to be best interpreted as a pictograph of a drum with a striker held by a hand pounding on top” (ibid: 83). 14 Pulleyblank assumes that wèi � mujh < * � w� t� � is “derived from *m- + the perfective particle ji EMC kijh < *k�� ts, giving * � w� t� s by assimilation of the velar stop to a nasal and the transfer of the labial feature from the lost prefix” (1991b: 59). This seems plausible. 15 The initial * � w- could also probably be derived from *a! xw-. See the discussion in 3.1. 16 This comparison is cited in Matisoff (2003: 368) based on an argument first proposed by Bodman (1969: 327-345).

12

source. This would also explain why � was able to be used as a loan-graph for �

because as Handel observes “Tibeto-Burman prefixal elements may or may not be

reflected in individual forms in daughter languages. The fact that prefixal * r- does

correspond in approximately half of the proposed [PTB and OC] cognates is

persuasive evidence for a correspondence; the fact that it does not correspond in the

other half is only to be expected” (2002: 21).

The xiesheng series of xi� � � � j < *a� kwa

�j, to which míng � miaj < * wra

j-

belongs, is actually a subset of a series headed by xì � � � jh < *a� kwa�j�. The

relationship of the two graphs can be more clearly seen in their oracle bone forms and � respectively, both depicting a hand holding threads, the latter having an

additional ‘man’ element beneath it. The Shuowen analyzes g� n � kw� n’ > *kw��� n� as “� � � � ” (derived from � with � as phonetic). By drawing an erroneous

analogy with the graphs su�n � sw� n and yìn � jinh (see 6.2), Boltz suggests that a

polyphonic � is the phonetic. He comments that “It is clear that if � is taken at

face value to stand for the word hsi < *gigs ‘bind’ , it cannot be phonophoric in �

kun < *ksw� n. The majority of commentators consequently invoke the allographic

form of the character, � , in which they identify � hsüan < *gwin as the

phonophoric… [T]he proposal is only a good approximation, because… [it] belong[s]

to the chen < * -in rime group, distinct from the ! w� n < * -(j)� n group to which � belongs. In spite of this discrepancy in rime group… there are many apparent

cases of hsieh sheng series or word family contact between the chen and ! wen

rime groups” (1994: 123-124). It seems that Boltz has already formulated the counter

argument to his hypothesis, for as is demonstrated in 8.3, with xiesheng relationships

like y"n # $ %n < $ &' n and she(n ) * in < *xj &' j + , proto-OC *-&' j + appears to have

merged with OC *-&' n in some cases before the time of the Shiji ng (the remaining

words then merged sometime before the Han dynasty). This would allow for a

reconstruction of g, n - kw& n’ < *kw&.. n$ < *kw&.. j + $ in which xuán / 0 w1 n <

*a2 kw&.. j + is quite clearly phonetic. The argument may be taken one step further with

the observation that xiàn/xuán 3 0 w1 n(h) < *a2 kw&.. j + (4) is also a derivative of xuán / 0 w1 n < *a2 kw&.. j + and similarly has 5 rather than / in its modern graphic form..

An explanation for this may be found in the fact that xì 5 0 1 jh and xuán / 0 w1 n

are not only graphically but quite possibly phonetically related. If xuán / 0 w1 n is

treated as deriving from *a2 kw&.. j-+ , this forms a nice comparison with xì 5 0 1 jh <

*a2 kwa. j4 .

13

2.2a The Xiesheng Series of � � *ma'j + -t, � *ma

'j + -t

4, � *ma

'j +

Concerning the character for míng � , Boltz suggests that “all i nstances of �

intended to be read ming, standing for the word meaning ‘name, call ’ would come to

be written � precisely because � itself was ambiguous as to reading, k’ou or ming.

The � element was the determinative, in this case phonetic, that was added to

resolve the ambiguity, leaving the unadorned graph � to stand for k’ou ‘mouth,

orifice’ unambiguously. That the graph � itself was polyphonic, pronounced ming <

*mjiang and standing for the word ‘brighten’ , as well as hsi < * rjiak meaning ‘night’

is suggested by Hsü Shen’s � � (ca. 55-ca. 149) entry for � in his Shuo wen chieh

tzu � � … where, after analyzing the character as � � � � ‘derived from

‘mouth’ and from � ,’ he adds � � � ‘as for � , it is ming < *ming ‘dark’ ,’

which must be his way of indicating that the graph � was to be read as ming, and

understood as phonophoric in the character � , not as hsi or anything else.” (1994:

105). With Boltz’s observation that � is the phonetic in � , and his suggestion here

that � is a phonetic in � , it seems strange that Boltz bothers to carry through his

attempt to identify a polyphonic pronunciation of míng for � purely on the basis of

his inabil ity to explain the pronunciation of the character míng � . Simply because

Xu Shen provides a semantic gloss for � as míng m1 j + < *ma. j + , does not

necessarily imply that it is a polyphonic graph.

Although, a ru-sheng word like yuè � + uat seems an unlikely phonetic, developing

an argument first suggested in (1995a: 190-1), Pulleyblank (2001: 55) has suggested

that “The graph [wài � E. � wajh < * � wa�t� ‘outside’ ] has yuè � E. � uat ‘moon,

month’ apparently in a phonetic role. The same ‘moon’ graph is also phonetic in míng � E. m[j] iaj� < *ma� � j ‘name’ , which, I suggest, was probably a homophone of [a]

lost word for ‘moon’ so that we can reconstruct � as a derivative with an added *-t

suffix, *m� ja�t, with metathesis of the nuclear vowel to avoid the final cluster * � jt

which would have violated a constraint on syllable structure. The rounding of the

initial in the Middle Chinese form can be attributed to the lost initial *m-. Type A

word wài � *m� ja�t� ‘outside’ , with � as phonetic could then be analyzed as ‘not

inside’ , having the negative morpheme *m- found in wú � E. mua� ‘don’t’ etc. + [nèi �] * � jw�� t� < * � j�� p� ‘ inside’ , with ablaut of the vowel from * � to *a”. Aside from the

difficulties pointed out by Takashima (personal communication, 2004) of associating

a modal *m- negative with an adjective being used as a participle where one would

have expected the non-modal negative f� u � puw’ 17, scholars have been reluctant to

17 See Takashima (1973; 1996.1: 364-382) for a discussion of the distinction between negatives. The

14

accept Pulleyblank’s proposal because, superficially at least, it seems too powerful.18

Permitting the assumption that a suffixal element could be added to a closed

consonantal coda to cause a violation of syllable structure, would allow one to be able

to set up Old Chinese reconstructed forms that could relate just about any word in the

OC lexicon with another. However, although not explicitly stated by Pulleyblank, his

theory does not necessarily involve the arbitrary application of suffixes to obtain the

results required. Elsewhere Pulleyblank has pointed out that “Tibetan has two suff ixes,

-s and -d (= original * -t), which are nearly but not quite in complementary distribution,

corresponding to Chinese * -� suggesting that the final cluster in the word for ‘night’

[� * + ja''[ � ] k4 ] could have been * -kt rather than * -k

�” (1995a: 191). While the related

implication that the departing tone may have derived from * -t in some cases, seems

rather just to be a way of bolstering the tentative hypothesis that � * + ja''[ � ] k4 is

related to Indo-European *nokw-t- ‘night’ , the idea that in its application, suffixal * -t

may have functioned like suffixal * -4 in being applicable to a variety of different

codas is particularly interesting. In this way, yuè � + uat, which was not a departing

tone word in EMC, may be assumed to have derived from * + jwa't < *ma

'j + -t, while the

related word wài � + wajh which is in the departing tone, may be assumed to have

come from + jwa't4 < *maj + -t

4.

2.2b The Xiesheng Series of � � *k� a� � �

, � *m-� a �

In the OB inscriptions, Xu Zhongshu (1988: 748) has suggested that when occurring

as a place name � “ � � ” (is the same as � � ):

alternative reading bù � put is assumed to derive from a fusion of � and � as evidenced by the use of fú � put to represent � � in the Classical language. The phonological development has been accounted for by Pulleyblank accordingly: “ I suspect that the negative � , which was normally encliti c, consisted etymologicall y simply of the consonant *p. When pronounced as a separate, full y accented, syllable, it was provided with a shwa vowel and a final glottal stop, *p � � , giving the Early Middle Chinese pronunciation puw� , Pekingese fo

�u, now written with a separate character � , but originall y

simply � … Similarly zhi� � probably consisted of the root * t, supplied with a shwa vowel and a

final glide to conform to the rules of syllabification… The combination *p + * t would have been syllabified as *p � t, from which, assuming what I call Type B prosody symbolized by a grave accent *p �� t, one derives EMC put by regular rule” (1991c: 39-40). 18 Sagart (1999: 160) comments that “A simpler and phoneticall y more straightforward explanation for the role played by � in ming2 � ‘name’ (yue4 as an abridged form of ming2 � ‘bright’ serving as phonetic in ming2 � ‘name’) was presented by Karlgren (1964a: 219)” . Both Sagart and Karlgren seem oblivious to the fact that � and � are in different rhyme groups, � * -a and ! * -aj respectively. Also of note is that in his study of the words represented by " , # and � , Takashima (2004:3 fn.3) makes reference to Pulleyblank’s hypothesis, commenting that “ If one allows oneself to pile a number of hypotheses upon another, one could consider that somehow these three words [ " , # , � ] are eventually related. However I am not sure if one should do so” .

15

� � �[� ]� � (Yibian 7030)

Tested: Call (on) Ji19 [(to) plough] at Ming

…� � � � � (Yibian 3290)

…Shou ploughs at Ming (and) reaps20 an abundant21 harvest.

The word � may be found in the OB script written as � . The similarity of this

form to the OB form of � has, in addition to their slightly similar pronunciations,

lead certain scholars to suggest they are related, as was noted in fn.18. However, it

was noted in the same footnote that they are in different rhyme groups, and a closer

palaeographical analysis shows that many of the forms for � are written � with the

component � � and that the other forms, � and � , are just graphic

simpli fications. It is the form � which is attested as the primary form in the

Shuowen, and it is clearly related to the Shuowen graph � , now written as méng �

miaj � . Regarding the graph � , the Shuowen says “� � � ” (read as � ), which

would give it a reading of gu� ng � kwa� ’ , although it also notes that “� � � � � ! "” (Shizhong [an official title] Jia says read it li ke # ). Whatever the case may

be, it seems that $ , which here will be given the former reading suggested by the

Shuowen, is the phonetic in % /& . The EMC pronunciation of míng % /& miaj '

suggests a medial * -r- in the OC form, which can be accounted for by a reconstruction

*mra( ' which may well have derived from a root form * ) a

( ' with a prefixal *m-:

*m-) a( ' . This would compare very nicely with a reconstruction of gu* ng + kwa, ’

as *k-a. , / . As with 0 /1 , 2 is attested in the oracle-bone inscriptions as a place

name:

3 4 56 7 8 9 : ; < = 2 (Qianbian 5.20.2)

Wu Yin (day), Bin tested: (The) King goes (to) bring22 zhong23 (to plant) millet at

19 The rationale behind interpreting > as ji

? @ is discussed in Takashima (2003b: 109-111).

20 The word A literall y means ‘to receive’ . It may be negated by both B and C in phrases li ke DE A and C F G . In the former A represents an active/dynamic verb performed by people and should be translated ‘not perhaps reap’ , whil e in the latter it represents a passive/stative verb reflecting the fact that harvest is bestowed by an external force (i.e. the gods) and should be translated ‘not perhaps receive’ . See Takashima (1973; 1996.1: 364-382) for a description of the different functions of the negatives in the oracle-bone inscriptions. 21 The translation of H as ‘abundant’ here follows Takashima (1978). This is a rejection of Nivison’s idea that H “ is standardized in a use that allows it to have reference” (1978: 30) allowing it to derive “possessive pronoun effects ‘his/her/their’ and demonstrative adjective effects ‘ this/that/the’” (ibid: 1). Takashima’s most recent rebuttal states that “ H is basically a verb meaning ‘ there is, have’ and not the pronominal or the referential. The separation of “existential” and “referential” is a fundamental distinction, so that by interpreting H as meaning ‘ its’ here, as is done by Nivison, is to blur it” (2003b: 65). 22 The transcription of the graph I as ji

? J tsK j ‘ to bring, carry’ rather than the standard

interpretation of it as di? L tK j with the meaning “M N ” (to reach) identified in the Shuowen, follows

16

Guang/Ming.

2.3a The Xiesheng Series of � � *a� xja�� �

k, � * � ja�� �

k�, � *ka

�� �k

The graph xì � ziajk, may be reconstructed as � *a� xja�� �

k, along with its xiesheng

derivative yè � jiah < * � ja�� �

k�. The word zhì � t� iajk is analyzed in the Shuowen

as being “ � � ” (derived from � ‘meat’ on top of � ‘ fire’ ) with the

definition “� � ’ (to fry meat). Unfortunately, the graph is not attested in the

inscriptional language to test this analysis, but it seems little more than folk

etymology based on a graphic confusion of � with .24 It seems that � is

functioning purely as a phonetic in � , an analysis which would then nicely account

for its reconstructed OC pronunciation *ka�� �

k.

A graphically and semantically related graph is sù � suwk < xj�� wk which is written

in the Shuowen as � and is attested in the OB script as � . Takashima (2004: 8)

comments that “the word su � ‘ (morning) twilight’ is the time for activities when

no artificial light was needed. On the other hand, the time reference of xi � may

well have been when there was no sunlight” . It occurs in inscriptions like the

following:

� � � � � (Heji 27522)

(It should) be (that we) enter (the ritual center?) from (morning) twilight to (perform a)

you-cutting-sacrifice.

However, in spite of the semantic and graphic connections, it seems that � is

unrelated to � . The word sù � suwk < xj�� wk is homophonous with sù � suwk <

xj�� wk.25 The connection is pointed out in the Shuowen which states “� ! " # $ Takashima (2000: 377-381). In comparing % to its small-seal form, he comments that “one is forced to equate the diamond-shaped object (or lozenge) with the horizontal line at the bottom. This is impossible for we know [from the Shuowen entry “& ' ( ” () represents the ground)] that the line in question represents the ‘ground’ on which a man is standing… If * is the phonetic [following a personal communication by Boltz, 1997] and + the signific, one might take a more direct path and arrive at the word ji/*tsid , [a xiesheng derivative of - represented in the oracle-bone script as . ] ‘ to bring, carry’ , in which bei / ‘cowry’ serves as the signific indicating the object, instead of serving as the agent of bringing”. 23 See fn.45 for a definition of the meaning of this word. 24 The oracle-bone forms of 0 and 1 are very similar: and 2 respectively. The confusion between the two has perpetuated into the modern script where graphs that originall y had 0 as their bushou (radical) are now written with the graph for 3 (originall y graphicall y indistinguishable from 1 ). 25 Matisoff (2003: 328) compares 4 with PTB *s-r(y)ak ‘ spend the night; day of 24 hours’.

17

� � �” (the guwen form of

� is derived from

� and � , � is derived from

this). It is attested in the OB script as � or � / , and Matsumaru and Takashima

(1994: 209) list it along with (� ) in the same group (0848). The precise meaning

of � in the OB script is unclear, but Takashima’s (1973: 80-81) gloss of ‘seated (in a

row in ancestral altar)’ in inscriptions like the following seems very plausible:

� � � � � � (Ninghua 1.384)

Tested: Zu Yi (will be) seated (next) to Fu Yi.

The common graphic element in the graphs � and � is the kneeling figure

(although the figure is not kneeling in � / � , the presence of the mat � presumably

serves to suggest this). Fowler (1989: 332-334; 355-356) has suggested a relationship

with zhù � t� uwk < *k�� wk and shú � d� uwk < *a� k�� wk. This is a very interesting

observation, and he has further proposed that the OB graph � ( ) is the phonetic on

the following grounds: “Since there are no soft text examples of jî [= j ! ] " , the SW

identification of this character is by no means certain. I suspect that it may be a

variant of zhù # /$ , since it occurs in some forms of zhù % /$ , [such as & ]26” (ibid:

332), adding that “I therefore feel that Xu Shen’s guess that " is pronounced like jî ' is wrong” (ibid: 334). Support for Fowler’s hypothesis may be found in the fact

that although the Guangyun suggests an EMC reading of kiajk for " (the same as j ! 'kiajk), also listed in the same category is the graph jí ( kiajk which has another

reading, not listed in the Guangyun, but listed in the Jiyun, of jué ( k)ak which

must have derived from OC *kra*wk or *kr +* wk. The Shuowen analysis “, - . ” (read

as / ) which rhymes in the Shiji ng as * -a0 1

k, suggests that the OC form was probably

*kr 20 wk and that it had derived from a proto-OC *kr 20 1 k. Consequently, it seems likely

that Fowler was correct in his analysis and one may therefore reconstruct sù 3 /4

suwk < *xj25 wk further back to proto-OC *xj25 1 k. The graphic distinction that Fowler

sets up, also allows a distinction to be made between zhù 6 t7 uwk < *k25 wk < *k25 1 k

and xio8ng 9 xwiaj : < x; ra5 : which are phonetically unrelated but graphically appear

to be in a xiesheng series. The fact that 9 only occurs as < or = , neither of

which depict the extended arms shown in some forms of 6 like > , as opposed to ?, suggests that at a very early stage, @ (A ) was borrowed to represent B (C ) in

the graph now written as D . The graph shú E dF uwk < *aG kHI wk < *aG kHI J k is also a

source of interest, for its right hand component is attested in the graph yì K L jiajh <

* L aItM which is attested in the OB script as N (its precise semantic function is unclear

but its transcription is supported by its related bronze script forms). While the

26 As regards cases where O or P was used to represent the word Q (R ), Fowler (1989: 277-278) suggests that the very few cases where S was used rather than T , were due to scribal error.

18

phonetic relationship of the pronunciations *a� k�� �k and * � a

�t� is unclear under the

present knowledge of OC historical phonology, a similar example may be found in the

relationship between the graphs mài � ma� jh < * -ra�t� ‘sell’ and yù < juwk <

*a� �� wk < *a� �� �k ‘sell ’ , which Sagart (1999: 207-208) has suggested may be variants

of each other with the following observation: “The word mai2 � *? > meaï occurs in

the Guang Yun with the gloss � ‘ seeing aspect’ ; the Ji Yun gives another form

mai4 � meaïH glossed as � � ‘ look sideways’ , which still exist in colloquial

Xiamen: bai6 ‘take a look” . A solution may have something to do with Pulleyblank’s

(2004: 159) observation that * -� � k may have sometimes merged with * -� p (see 8.4)

which, on the basis of the above evidence, may perhaps be extended to *-a� k and

* -ap as well. The fact that *-p� merged with * -t

� very early on (see fn.133) suggests

that mài � ma� jh < * -ra�t� may have ultimately derived from * -ra

�p

� < * -ra

� � k�. This

has very interesting implications for the evolution of bèi � pajh < *a�t�, the phonetic

in � and perhaps also � , which is discussed further in 8.4.27

2.3b The Xiesheng Series of � � * � ja� �

-t�, � * � ja

�� �-k, ! * � jja

� �-k

Interestingly, the Shuowen analyzes " as being “ # $ � % & ” (derived from '

with ( as abbreviated phonetic). Takashima (2004: 1-5) provides some oracle-bone

examples where the graph yì � jiajk, usually treated in an adverbial sense ‘also’ , is

used to stand for the word yè " jiah ‘night’ , stating “as to the question of why not

many more examples are found we can only speculate. The possibil ity of dialect

mixture cannot be ruled out because all these examples are from the Bin diviner group

inscriptions, but more likely the graph $ could well have stood for the word "

because they were phonologically very close and morphologically related as well. The

Shang could have read appropriately depending on context” (ibid: 5):

) * + , - . / 0 � [=" ] 1 2 (Heji 40248)

Ji Chou (day) divination, tested: It rained. Thereupon28 tonight (there will) not (be)

misfortunes.

To further exemplify the relationship of � with " , one may note that in its

27 It also allows one to treat 3 as phonetic in fù 4 buw’ < * -56 7 8

‘carry on the back’ (the glottal suff ix correlating with the final * -k coda), related to bèi 9 p5 jh < * -5: k;

< * -5: 7 k; ‘back’ . Matisoff

(2003: 199) compares 4 with Proto-Tibeto-Burman *bew ‘carry on back’ . 28 For the translation of < = as ‘ thereupon’, see Takashima (2004: 4) who compares it with > =which he translates as ‘hereupon’ , commenting that “ the words < and > are deictically ‘distal’ and ‘proximal’ (cf. their use as pronominals)” .

19

oracle-bone form, � appears as � . Although the graph only appears to function as a

grammatical particle with an adverbial function of ‘also’ (as well as a loan graph for�), it is generally taken to be the proto-form of yè � jiajk < * � ja

�� �k ‘armpit’ to

which the dots under the man’s arms are making reference. Matisoff compares �

with PTB *g-yak ‘armpit / cubit’ (2003: 326) and this seems likely.29

As regards the pronunciation of � , Pulleyblank comments that “The graph yi �

EMC jiajk, like the standard form of , contains da dajh, which has words with

EMC d- and th- in its phonetic series to the exclusion of t-; that is, it is of the * l or * � j

type. I suspect that had initial * � j and plays a phonetic role in both 30 and � .”

(1995b: 58-9). While Pulleyblank does not speculate as to whether dà is the

29 Sagart has taken particular objection to Pulleyblank’s argument for an OC initial * � j-, stating that “A sound change * j > l (while n > n !) is unusual, to say the least. One of Pulleyblank’s key examples is the W[ritten] B[urmese] word for ‘night’: nya1 which he regards as a true cognate of Chinese ye4 � MC y� H ‘night’ . He reconstructs the Chinese word with initial * � j, evolving to MC y- [IPA j-]. In this case Pulleyblank’s reconstruction appears to go against the use of yi4 as � *blak > yek ‘armpit’ as phonetic in ye4 � ‘night’ , since the lateral initial in ‘armpit’ is well -establi shed in Chinese, being reflected as l- after prefix in Cantonese ka-la�k-t� i and Fuzhou k� -lou� -a, both ‘armpit’ . Moreover, the Chinese word for ‘armpit’… is probably a true cognate of the T[ibeto] B[urman] word for ‘arm’, * lak, reflected as l in TB (for instance lak in WB). Therefore yi4 � ‘armpit’ must be a true l- word. The word for ‘night’ ye4 � was assigned to the phonetic series of ‘armpit’ already in early Western Zhou bronzes, ca. 900 BCE. If Pulleyblank is right that ye4 � originall y had a nasal initial, the change � j > l that he has to assume must have already occurred by then” (1999: 34-36). Firstly, Pulleyblank’s reconstruction does not contradict the fact that yì � jiajk < * � ja

� �k is phonetic in yè � ji ah < * � ja

� �k�,

with the correspondences with initial l- in modern day Cantonese and Fuzhou or Tibeto-Burman languages simply representing different reflexes of the same original phoneme in different linguistic environments. One must also note that Pulleyblank’s reconstruction of an OC initial * � j goes back to well before the time of the Shijing, presumably during the formative stages of the script. Sagart also fail s to find any convincing alternative explanation to replace Pulleyblank’s * � j- and merely comments that “ It seems what Pulleyblank regards as a palatal nasal was a particular condition of the lateral * l-. I will assume that the condition was a nasal prefix. This prefix cannot have been *m-, since the sequence *m-l- has other reflexes in Middle Chinese. It may have been *N-. I will assume that the sequence *N-l- evolved li ke * l- into Middle Chinese, but was occasionally represented as a nasal in pre-Middle Chinese loans to other languages. We should therefore consider the WB form nya1 as a Chinese loan-word, and reconstruct the Chinese word for ‘night’ as bN-lak-s > y� H, borrowed by Burmese at an intermediate stage of development: N-y� H” (ibid: 35). 30 It is theoretically possible to reconstruct yí � ji as * � j�� � -l, which suggests that dà � dajh < * � ja

� �-t� could have been a possible phonetic, contrasting only in the vowel ablaut and suffixal features.

However, there is no xiesheng evidence for the final * -l being a suffix, and Matisoff (2003: 422) compares its xiesheng derivative � ‘ fat over the stomach’ with PTB *tsil ‘ fat, oil ’ which clearly shows evidence of the * -l coda. Furthermore, although the identification of yí � in the oracle-bone inscriptions is somewhat unclear, it seems that it was represented by the graph which does not consist of the graph � : ! " #$ % & ' ( ) * + ,

(Bingbian 276) Geng Yin (day) divination, Bin tested: This 60-day-cycle (the) King will go-on-foot (to) attack (the) Yi. Consequently, while the similar phonetic values of yí

, and dà - , may well have influenced the

development of the graph for into its modern day form, it seems unlikely that dà - was phonetic in the earliest known stages of the script. See Takashima (2003b: 67-71) for the rationale behind interpreting

' as the ‘sixty-day-cycle’ and Keightley (2000: 37-39) for a discussion of the function

and role of this time period.

20

actual phonetic for yì � , or just specifies its initial * � j- component, one may suggest

that dà � was the phonetic by adopting the following reconstructions: dà � dajh <

* � ja� �

-t�; yì � jiajk < * � ja

� � �-k. Support for reconstructing * -t as a suffix in is

found in its variant EMC reading da’ presumably derived from OC * ja� �

-l � (similar

alternations may be observed amongst its xiesheng derivatives like tuó/duò da(h) <

* ja� �

-l(�) and dì � d� jh < * jja

�t�). Furthermore, Matisoff (2003: 484) compares it

to PTB *ta-y ~ * ta ‘big’ which shows no evidence of a final * -t coda.

Also related to the xiesheng series discussed here is dí � d� jk which Pulleyblank

has pointed out “had � , the phonetic speller in ye � ‘night,’ on one bronze form.

The Shuowen says that � has � as ‘abbreviated phonetic,’ evidently preserving a

tradition that the correct form had � , rather than � ” (1991b: 58). Although the

EMC pronunciation d� jk suggests an OC form of * jja�jk, Pulleyblank has suggested

that an “alternation between Old Chinese * -� in a Type B syllable and � j in a Type A

syllable is a fairly common pattern and probably reflects a throwing forward of the

feature of frontness from the initial on to the final in a Type A syllable. Compare, for

example, jie � EMC ts� t [< kj��� jk < kj��� k] (Type A) but ji � EMC tsik [< kj�� k]

(Type B)” (1991b: 66). On this basis, one may assume that in the case of di � d� jk,

OC * jja�jk derived from proto-OC * jja

�k, or rather * jja

� �-k with a suffixal * -k

element by analogy with yì � jiajk < * ja� � �

-k (see also the discussion in 3.3 below

concerning the word shèng � � iaj h).

21

Chapter 3

A Polyphonic � ‘Ear’?

3.1 The Xiesheng Series of � � *a� xj �� � , � *a� xja� �

-� , � *xwr � �

The character róng � � uaw� “ is analyzed in the Shuo wen as � � � � (derived

from �

with � as abbreviated phonetic). In spite of pointing out himself that “ in � ts’ung itself the � [or more precisely the � /� element], also read ts’ung <

* tshung, is clearly the phonophoric, and the � appears to be a semantic

determinative of the conventional kind” (1994: 114), Boltz suggests that “The graph � can then be explained as representing the word * tshung ‘hear keenly’ , originally

written, according to our hypothesis, with just the graph � , as a parasemantically

logical, extended use of the already existing character � ‘ear’ . It was subsequently

specified phonetically as * tshung, not *znj � gx, by the addition of � * tshung as a

phonetic determinative, leaving the unadorned � to stand unambiguously for the

word *znj � gx ‘ear’ .” (ibid.)

The word � ‘ear’ is attested in the oracle-bone inscriptions as � . Aside from

functioning as a place/personal name, it is used with its present day meaning:

� � � � � (Yizhu 271)

Tested: (An) ailing ear is [= means] (there will) be mishaps31.

Its relationship with róng ! " uaw# and róng $ " uaw# is less apparent than the

obvious phonetic relationship between the two of them. Neither ! nor $ is found

in the earliest forms of the script which makes a graphic analysis difficult.32 The

Shuowen defines$ as “% & ' ( ) ! * + ” (tangled hair, derived from , and -

as abbreviated phonetic), and this seems likely on the basis of the other forty graphs

31 The functional translation of . as ‘mishaps’ follows Takashima (2003b: 120-122; 286-287). 32 There is a graph which may be transcribed as / for which Xu Zhongshu (1988: 1415) suggests “0 1 2 ” (read as 2 ) on the basis of inscriptions li ke: 3 4 5/ 6 (Cuibian 720) (On) Jia Zi (day) (the) rain stops. On the other hand, Yu Xingwu (1979: 13) suggests “/ 7 8 9 : ,… ; < = > ? 8 ,@ < 6 A B > ?8 ,‘C / 6 ’> 6 C 8 < D ” (E and F may be used the same way… just as delicate fur is called F , delicate [ i.e. light] rain may also be called F , ‘ not E rain’ means the rain is not light). Inscriptional evidence is too limited for any real judgment to be passed on the above analyses, but purely on the basis of the form of the graph, one may safely assume that the direct ancestor of G does not appear in the OB corpus.

22

listed in the Shuowen with an upper � component that all take their lower component

as their phonetic. It turns out that � r � � � ’ is in fact the phonetic in the graph róng �

but rather than for reasons of polyphony, it may be explained due to the same suffixal

-� after the final glide that was posited in the reconstruction for míng � above. As

regards the initials, the xiesheng character ch� trh� ’ < *xwr � � clearly implies a

velar fricative in � r � � � ’ . In order to account for alternations between * � - and *x- in

Old Chinese or h- in modern day Southern Min dialects, Pulleyblank has suggested

that although in certain cases this could be due to the devoicing of nasals perhaps as

the result of prefixation, in other cases “The Min evidence is easier to explain by a

contrary hypothesis, namely that voiceless fricatives were nasalized in standard

Chinese by the same prefix *a� [now written *a� ] which was responsible for creating

the Middle Chinese voiced obstruents, but that the process was less complete in Min

than elsewhere, so that when voiced aspiration was lost and replaced by the register

distinction in the tones [in Min the prefix *a� did not cause a merger of OC *a

�p- and

*a�ph- which both gave EMC b-, but rather maintained the distinction after the prefix,

which Pulleyblank suggests “may have caused breathiness rather than voicing in Min”

(ibid: 15), to be replaced by a yin/yang tonal register distinction after the prefix was

lost], the original fricatives reemerged” (1989: 16). Using the above evidence, the

following reconstructions may be suggested: � r � � � ’ < *a� xj �� � 33, róng � � uaw�

< *a� xja� �

-� , ch� trh� ’ < *xwr �� �

3.2 The Xiesheng Series of � � *xjra�j � , � *kkja

�j � , � *xja

�j � , � *xj(r)a

�j �

In a strikingly liberal interpretation of even his view of the role of polyphony, Boltz

suggests that “the zodiograph � standing as we have seen primarily for the word

*znegx ‘ear’ , but also parasemantically for ts’ung < * tshung ‘ (aurally) perceptive,

keen’ [see the above analysis in 3.1], had still another reading, this one in the �

keng rime group, Old Chinese * -ing” . The suggestion that � , � , � all belong to a

xiesheng series headed by a polyphonic � , unfortunately involves the confusion of

different xiesheng series through an inadequate palaeographical analysis.34

Firstly the graph she�ng � � iaj � < *xja

�j � quite clearly belongs to the phonetic series

33 The reconstruction of *a� xj- > - in labial environments is a development of Pulleyblank’s (1991b: 77) idea that * ! j- > -. This relationship between *a� xj- and * ! j- is discussed in fn.36 below. 34 Boltz also includes the character " # $ " % k& ' j ! ’ < *kra

(j ! ) in this series. This graph is relatively

recent in origin and hence it is difficult to analyze with any degree of certainty. Without any better evidence to the contrary, one may but follow the Shuowen definition that it is * + , - . (derived from / with 0 as abbreviated phonetic ).

23

of she�ng

� � iaj � < *xjra

�j � , as shown by its oracle-bone form � , and the enlarged

form � , where it is clearly composed of � and � with (= �

) as the phonetic.

Shima (1971: 314) only lists one example each of � and � , both of which are

incomplete inscriptions with unclear meanings. However, the graphically related form occurs in many inscriptions as a place name and most likely represents qìng �

kh� j � h < *kka j � � , suggesting that the transcription of the related graph � and � as �

is correct:

� � �� � � � � � � � � (Qianbian 2.44.1)

Wu Shen (day) divination, tested: (The) King hunts (at) Qing. (He) doesn’t encounter

rain. This occurred.35

This xiesheng series also includes the series of qi�ng � tsh� j � < *kkja

j � which even

in the modern form retains a form of �

, albeit slightly modified, as its top

component. Li Xiaoding (1965.5: 1739) suggests that there is one occurrence of �

in the OB corpus in Fuyin 22 where it occurs before the character � . However, on

the basis of other inscriptions containing the phrase � � ‘ southern chamber’ , it

seems likely that it is just a corrupted form of � � . At any rate, the bronze forms

show that the graph clearly contains the �

element.

Another graph in the xiesheng series of �

is x�ng � iaj � /siaj � < *xj(r)a�j � which

is attested in the OB script as ! and consists of the phonetic element (= �

)

above the graph " (= # ). Xu Zhongshu (1988: 376-377) glosses it accordingly:

“$ % & ' , � ( $ % � )” (It means ‘ inspect’ . * + is therefore to inspect the

hunting). In its original nominal sense , means ‘ field’ with a verbal sense of ‘ to be

on the field’ . It seems the meaning of ‘ to hunt’ is an extension of this latter sense:

- . / , 0 1 2 3 4 5 (Jimbun 2050)

(If the) King inspects (the) field (there will) not (be) harm (and he will) not encounter

heavy rain.

As for the graphs ti6ng 7 th8 j 9 and shèng : ; iaj 9 h in which Boltz erroneously

35 The transcription of the graph < as è = > ? @ jk follows Qiu (2003: 127) who comments that “ ‘= ’A

‘ B ’ C D E F G H I ,J D F K L M N O P B Q R .‘ B ’ K S T R ,‘ = ’ K U T R , V T G W XY…‘= ’Z [ \ ] ^ _ ‘B ’ ” (

` and a are in the same Old Chinese b rhyme group and Middle

Chinese hekou, grade I a rhyme group. a has the initial c

, `

has the initial d

, and their initials belong to the same [xiesheng] series…

` should be able to be read as a ). To = , he

therefore assigns a meaning of e f ‘bring about’ or Z g ‘be realized” . Such an interpretation is supported by Takashima’s (2003b: 440) observation that < “appears to belong to the later periods, replacing the expressions with yun h ‘ indeed (such-and-such happened)’ of the early periods.”

24

assumes a polyphonic � is the phonetic, the role of their actual phonetic component,

t �ng � d� j � , is addressed in 3.3 below.

3.3 The Xiesheng Series of � � *a� xja� � , � *xja

� � , *xja� � , � *m-� a

� � , *a� k�a� � �

The phonetic relationship between the words t �ng � d� j � < *a� xja�j� and ti

�ng �

th� j � < *xja�j� 36, as well as shèng � � iaj

� h, which does not appear in the Shiji ng but

its lower � component suggests a reconstruction of *xja�j� �

is relatively

straight-forward. As regards their graphic forms, in the OB script � is written �and � is written � / � . Examples of in the OB corpus are few and incomplete,

with Shima (1971: 114) citing only three occurrences. However, its similarity with the

bronze forms shows that the transcription is correct. Xu Zhongshu (1988: 1287)

glosses it accordingly: “! " � , � # $ % ” (read as & with a meaning of ‘ to

li sten’ ). However its common use as a noun in the bronze script, combined with its

occurrence after ' /( in its limited OB examples, suggests that had a nominal

rather than a verbal function37:

…' (Heji 261)

… (there) are sheng

…( ) (Yibian 6533)

… (there) aren’t those38 sheng

36 This differs from Pulleyblank’s (1991b: 55-56) original assumption that *xj- only fronted to th- before * -* - while before -a- it became x-. Pulleyblank tentatively suggested this because he believed hè +

xak to have had a palatal *xj- initial that lost its palatal feature in Type A words before -a-, while in Type B words before -a-, it became , - in xiesheng words like shè - , iah. In his 1995b emendation, however, Pulleyblank suggested that *xj- gave EMC

.- in all cases, and that it was rather an initial

cluster *xj- that gave th- in Type A words and , - in Type B. Pulleyblank makes no comment on the effect of the following vowels, but on the basis of the above, it seems that shè - , iah can be reconstructed as *xja

// 0k., allowing hè

+ xak to be reconstructed without a palatal initial as *xa

1k.

Consequently, until further evidence may prove otherwise it will be assumed that *xj- gave th- in all Type A words. The assumption of an *xj- cluster giving th- in Type A and , - in Type B words, suggests that an *a2 xj- cluster is analogous in its reflexes with * 3 j- which gave d- and j- respectively in Type A and B. This was demonstrated in 3.1 with the words 4 5 6 7 8 ’ < *a2 xj */ 9 and róng : 7 uaw3 < *a2 xj *1 9 -3 . 37 This could, of course, be an example of what Takashima (1996: 259) has termed an “emphatic verb phrase” where “a verb or verb phrase is nominalized by the main verb you ; < = or wang > ” to make an otherwise active verb into a noun which is inherently non-active. 38 The interpretation of qí ? g8 here follows Nivison’s (1992: 13) suggestion that ? has anaphoric reference when it occurs in a pronominal position such that “qi in the alternative is thus acting on an idea already introduced, which is implicitly being referred back to as ‘old information’ .” Nivison attempts to extend this to a meaning of ‘definitely’ when occurring in a pre-verbal position that rejects the most commonly accepted interpretation of it as a “dubitative” qi, first properly developed by Chen (1956: 87-89). Nivison seems to be misled in this analysis, for there is no reason that simply because

25

Whether sheng here refers to ‘sage’ in its modern sense of the word is unclear,

however, one may tentatively hypothesize that the forms � and � evolved from �due to their explicit focus on the auditory senses of the word, rather than on the more

general meaning of ‘sage < learned one < hearing person’. In the OB corpus, in

addition to functioning as a place/personal name, � has the verbal meaning still

attributed to it in the present day:

� � � � � (Bingbian 358)

Tested: (The) King’s hearing (things39) is [= means] misfortune

Consequently, although the role of the phonetic � is less obvious in the oracle-bone

forms of � than in the case of , it seems likely that it served the same role in both.

In this regard, Qiu has made the following observation: “Both ‘ ’ shèng [‘sage’] and

“� ” ting ‘hear’ have developed from the same graph. The ancient pronunciations of

the two graphs were similar and there are examples of their being used for one

another in ancient texts. The oracle bone forms cited above [for shèng ] can in fact

also be explained as ‘� ’ . In the bone script ‘� ’ is generally written ‘ � � ’ (the ancient

script form in the Tri-script Stone Classics appears as such); the graph shows an ear

listening to sounds form a person’s mouth. The only difference between this graph

and the bone forms of “ ” cited above is the presence or absence of the element

person (“ ” ); the two in origin were probably allographs of one character…. The

Pia�nh� i’s (� � ) explanation of ‘� ’ as an ancient script form of ‘� ’ (apud Ka

�ngxi

�

zìdi� n) is perhaps based on good reason” (2000: 195-6).

As for the character � , Boodberg suggested that � “ is phonetic in � *s�i� äng -

‘perspicacious’… and � *mi� wang -‘ to look from a distance,’ ‘ to pay homage’ (cf…

also � *d’ ieng… ‘court, hall,’ � *d’a�ng… ‘hall ’ )” (1937: 348). In response Van

Auken comments that “Boodberg’s theory is far from compelling, for � *hleng� �

can occur as a definite article that it must also have an adverbial sense of ‘definitely’ . Takashima’s latest argument (1996: 7-8) is that “modal qi responds to the intricacies of what linguists and logicians call ‘presupposition’…. qi is used either to affirm or deny the diviner’s presumption that the oracle would respond in a certain specific way” to which he adds that “Since I characterized the modality of qi as operating on the scale of ‘possibilit y/certainty’ and ‘ intention/wish,’ there is no reason for me not to allow the fluctuation of modalit y in the diviner’s presumption of Yes or No itself” . This is a very good suggestion, and the fluctuation may be represented by a translation of ‘perhaps’ before controllable verbs and ‘will ’ before non-controllable verbs. 39 Takashima (2003b: 253) comments that “The subject phrase… ‘ the king’s hearing’ is frequently followed by a predicate to the effect that it does or does not mean some kind of disaster, misfortune, curse or calamity…[Such inscriptions] are very similar to � ! " ‘ the king’s dream means misfortune’ inscriptions, suggesting that [# ]…, like ‘dream,’ refers to some experience of the king’s that could be interpreted as ominous” .

26

and � *mjang(s) are in different rhyme groups and have different initial consonants.

Furthermore, the gloss ‘ to pay homage to’ , apparently based on Sheu Shenn’s entry, is

at best questionable with regard to the graph as it was used in the early received

corpus, and is not supported by bronze and bone evidence. We cannot entirely rule out

the possibility that at a much earlier stage of the language, � played a phonetic

role… but this does not seem very likely” (ibid: 529). Superficially at least, Van

Auken’s criticism, seems valid, however it wil l be shown that, in spite of his

questionable linguistic analysis, Boodberg’s hypothesis was in fact correct. As an

alternative hypothesis, Van Auken has argued that “ � ‘eye’ may have been the

etymonic in the graph � , which based on its OB form � may be transcribed as � ,

associating the word with the meaning ‘ look’ and a pronunciation in the Yang * -ang

rhyme group”. She suggests that “ in the SBI [Shell and Bone Inscriptions], the word � shianq < sjang(H) < *sjang(s) ‘see’ appears to have sometimes been written with � [:� ] as instead of with [: � ] as � . The element � may have functioned

as the phonophoric in this graph, which otherwise has no readily identifiable phonetic

component… The element � may also have been the original phonophoric in the

graph tzang < tsang < * tsang ‘good’ … The graphs � guanq < kjwangH <

kwjangs ‘oppose’ and � goang < kjwangx < kwjang� ‘ run away in fright,’ the latter

attested as SBI � … also suggest a link between a labialized initial and final * -ang

and the element � .” She even goes so far as to suggest that “the word � shiing <

*sjeng� ‘scrutinize’ is usually reconstructed with final * -eng, but Sheu Shenn gives

the archaic form � (p.137), suggesting a possible * -ang reading, and so � ~ �

*sjang� (?) may be a member of this group as well.” (2002: 529-530).

The character x�ng � � iaj � ’ < *xjra�j � � has already been discussed in 3.2 above and

must be removed. As regards the other four characters, it is unfortunate that with the

exception of wàng � mua� h itself, Van Auken chooses to base her argument on

characters which are very poorly attested in the OB corpus and whose transcriptions

are at best tentative. This puts her hypothesis on a loose footing before it has even

begun. The Shuowen definition of za�ng � tsa� < *kja

� � as being � � !

(derived from " with #

as phonetic) is certainly correct according to Xu Shen’s

Han-time version of the graph. Xu Zhongshu glosses the oracle-bone graph $ as %

with the meaning given by Xu Shen of “good” (1988: 321-322). However this is

based on very limited evidence as the three examples listed by Shima (1971: 111) are

of uncertain meaning. The only complete one is:

& ' ( ) * ) + , $ - . / 0 (Tongzuan 388)

(The) King, prognosticating, (if we) perhaps (succeed in) catching (game), perhaps (it

27

will) be (on a) Bing (day) � , perhaps (it will) be (a) Yi (day) � .

Without any better evidence to the contrary, one has little choice but to follow Xu

Shen’s definition. Xia�ng � s�a� < *xja

� � is even harder to define. It is often used as

the transcription for three different oracle-bone graphs: � , � and � . Xu

Zhongshu distinguishes � from the other two by transcribing it as

which he treats

as a “ � � ” (terr itorial name) or a “ � ” (personal name) (ibid: 653). Here it is

rather arbitrarily given the reading ‘Chen’ on the basis of its � component:

� � � � � � � (Yicun 999)

(On) Jia Chen (day) Lady Chen ritually-prepares two tun 40 for (the)

Yang-mountain-power.

The graphs � and � are treated by Xu Zhongshu (ibid: 364-5) as variants of each

other, although he does provide different interpretations of the two: “� � ” (examine)

for the former (which he seems to be basing on the Shuowen definition of the graph);

“� � � ,‘� � �’� ‘ � � �

’� � ” (read as , ‘ ! " # ’ has the meaning ‘ $ " # ’ )

for the latter (see below for a translation of % & ' ) . Inscriptions with ( are too

few and incomplete to draw any meaningful conclusions as regards its meaning. As

for ) , Xu Zhongshu is presumably basing his interpretation on inscriptions like:

* + , - . / 0 1 2 3 4 5 6 7 8 9 : ; 2 < = (Jinghua 2)

Zhi Guo, reporting, says Tu Fang surrounded (us) in our Eastern borders (and

delivered a) damaging-blow (to) two settlements. Gong Fang also invaded our

western border fields.

There is only one inscription containing > with any context in the OB corpus, and

Xu Zhongshu’s definition could possibly fit i t:

? @ A B C D E F G…H I J K L M N O (Zhuihe 28)

Indeed (there) is coming bad-news from (the) West. Zhen reporting says… Jia Fang J two settlements. 13th month.

While Xu Zhongshu should be commended for identifying a certain structural and

contextual similarity between the two inscriptions, there is not enough evidence to

40 According to Takashima (1996.2: 71-72), the word represented by the OB graph P “could have referred to a pair of the right and left scapulas, as well as to a pair of contrasting carapace and plastron”. The transcription of it as tún Q follows Xu Zhongshu’s (1989: 45) comment that the bronze forms of Q are “R S T U V W ” (like the oracle-bone forms).

28

evaluate whether his suggestion is correct or not. The case of guàng � kua� h and

gu� ng � kua� ’ will be discussed below in relation to wàng � mua� h.

The graph � is much better attested in the inscriptional language and one can be

fairly confident of its transcription as � . The vast majority of occurrences are before

the graph chéng � . Takashima says that wang originally meant ‘to view (from a

distance), search,’ giving rise to a special meaning of ‘perform a vista (ritual)’ and

cheng “was originally a pictograph of a man on top of a tree… a hui-yi with two

related pronunciations: ch’eng/*dj � ng ‘ to ascend, mount’ and sheng/ *dj � ngh ‘chariot

(< what one rides on); set of four’ . Shirakawa (1984: 458 [ � Jito, � � : � �

Tokyo

: Heibonsha]) thinks that in the bone inscriptions � ‘means ascending a high

place and scouting’ (� � � � � � ) and that it also appears as the name of a person

engaged in such activities. Thus, the Wang Ch’eng � � appear frequently as

scouts” (2003b: 73):

� � � � � � � � � � ! " # $ (Bingbian 22)

Yi-mao (day) divination, Nan tested: (The) King follows Wang Cheng (to) attack Xia

Xi41. (He) receives abundant assistance.

Such an analysis seems to fit well with the form of the graph which clearly depicts a

human form with a large eye on the top of it. Returning to the question of the phonetic

relationship with t%ng & d' j ( , one may first note that the graphs ) (* ) and + (, )

are identical in form except they have ‘eye’ - and ‘ear’ . as the respective top

components. It would seem very strange therefore if , had t /ng 0 as its phonetic

but * had 1 as its phonetic. Of course, logic is not necessarily the primary factor

in the composition of graphs, but with graphs of such similarity and with such a

strong semantic relationship, “to look (afar); scout” and “to hear; sage”, one would

expect a correspondence. It was pointed out in 2.3b that Pulleyblank (1991b: 66) had

observed that palatal features of initials could be thrown forward to palatalize velar

codas of Type A syllables. It may also be assumed that a medial * -j- would have had a

very similar effect, and on this basis one may assume a proto-OC form of *a2 xja3 4

for

t /ng 0 d5 j 4 < *a2 xja3j4 and *xja

3 4 for ti

6ng 7 th5 j4 < * xja

3j4. As for shèng , 8 iaj 9 h,

it is a Type B word that does not rhyme in the Shiji ng and one may assume that its

pronunciation remained as : *xja; 9 < throughout the OC period until its coda finally

palatalized in EMC. However, as further exempli fied in fn.95, it seems medial * -j-

41 The transcription of = as xi

> ? xjwia@ ‘a horn pin used to loosen knots’ follows Gao Hongjin

(1960: 170-171). This differs from Yu Xingwu’s (1940: 22) transcription of it as weAi B C wia@ which,

as Takashima (2003b: 74) points out, fail s to account for “how a [zhou] graph showing a man in a pit…. connects with a bone graph which looks li ke an inverted picture of a tendril attached to a horn.”

29

may well have had a palatalizing effect on velar codas of both Type A and B syllables.

Evidence for this is provided by the fact that there are no Grade IV reflexes (i.e. those

that implied the presence of an OC medial * -j-) of OC syllables in * -ak/* -a� or

* -� k/* -� � . This would then suggest that � had become *xja�j � � by the time of the

Shiji ng. Whatever the case may have been, the above analysis puts all three words in

the same proto-OC rhyme group as wàng � mua� h which may accordingly be

reconstructed as *m-ra� � � < *m-� a

� � � . This compares extremely well with PTB *mra�

‘see / look toward’ as suggested by Matisoff (2003: 303). The word is also clearly

related to gu� ng � kua ’ < *a k�a� (and its xiesheng graph guàng � kua h <

*a k�a� � , presumably like the OB forms for � focusing on specific components of

the original graph � to specify a particular meaning) which seems to be attested in

the OB script as � . Graphically it is the same as � � , just with two ‘eye’

components instead of one. It only occurs in one inscription with any context where it

seems to function as the name of a divinity (on the basis of its graphic form, an

‘all-seeing’ one) to whom sacrifices were performed, but on the basis of the above

analysis one may be fairly sure that its transcription is accurate:

“…� � � ” (Fuyin 38)

… (perform a) liao-burning-sacrifice to Guang.

30

Chapter 4

A Polyphonic � / � ‘Eye’?

4.1 The Xiesheng Series of � � *a� kwj �� m, � *kra

�m, � *kwja

�m, kkwa

�m, � *a� xwa

�m, � *a� xwja

�m.

Boodberg (1937: 343) suggested that “ *mi� uk had the variant reading **GEN as

evidenced by � *ngan (Ph. *k� n) – ‘eye,’ *k’ân -‘ to look’ and its appearance in

a slightly different graph in � *kien.42 It is also ‘etymonic’ in � *kien –‘ to see,’

where � *n�z�i� e�n is most probably a phonetic ‘complement’” . In a footnote to this, he

further commented that “ � in its oldest graphic forms is identical with � . *kien is

derived from *GLen which root had also a variant form *GLam which is reflected in

*klam; with the phonetic � *p’ i � m, also in � *li� � m < BL � m”. Boltz has modified

Boodberg’s theory of a polyphonic � somewhat to suggest the following phonetic

relationships: “� chien < * kians ‘ to see’… � mien < * mjians ‘ face’… � huan <

*gwans ‘official’… � hsien < *xjians ‘ law, rule’… � man < *mjans

‘extended’… The appearance of initial m-… is probably due to an original labiovelar.

Notice that functionally � chien mien are synonymous in the meaning ‘ to face,

to have an interview or meeting with’ , and are undoubtedly cognate words. From

these data we can postulate a hsieh sheng series, based on the graph ! " # ‘eye’ ,

read *kians or *mjians ‘ to see, to face’… # st[ood] for two words, ‘eye’ mu <

*mj $ kw and ‘see, face’ chien < *kians ~ mien < *mjians ( < *ngw- ? ), where the

nouns and verbs are entirely unrelated phonetically” (1994: 105).

In contrast to these two arguments for a polyphonic # , Pulleyblank (1995a: 175-176)

has proposed a root mjkw ‘eye’ , which he posits in mù # muwk < *mj $% kw [more

recently reconstructed with a labiopalatal final * -$% & k (2004: 158)], with which he

explains the evolution of jiàn � and miàn : “In ST *mj- is probably the same as

the body part prefix in Tib. mgal ‘ jaw,’ mgo ‘head,’ m' hu ‘ lip,’ etc… Ch. Jiàn � ,

EMC k( nh < * -kja)n* ‘ see,’ which has the graph for ‘eye’ combined with that for rén +

‘man,’ must be cognate to Tib. mkhyen-pa ‘know,’ and I assume that it is a

derivative of *mj-kw ‘eye’ + a suffixal element: *mjkwa,n- > *kja

,n-. Ch. miàn .

‘ face,’ EMC mjianh, the graph of which also contains the element ‘eye,’ is probably

also a closely related word with Type B prosody: *mjkwa/n- > *mja

/n-” . This

hypothesis has been criticized by Vovin thus: “Pulleyblank suggests that *mj- is a

42 More precisely a 900 shift in orientation of the graph 1 (= 2 ) gives you 3 (= 4 ). See the discussion in fn.45.

31

body part prefix in Chinese and Sino-Tibetan (1995[a]: 117 [sic. 175]) with a

reference to Benedict (1972: 117ff). There is indeed a prefixed *m- Benedict

describes, but it can be separated in words which also occur in prefix-less form in

certain languages along with prefixed in others… Nothing of the sort is attested for

‘eye’ , which appears in all TB languages always with initial m-” (1995: 325-6).

Vovin’s observation is correct, however a closer analysis of Tibeto-Burman forms for

‘eye’ show that is was usually preceded by an s- prefix: (s-)mik / s-myak. According

to Matisoff, “The clearest semantic contribution of *s- to noun roots is in words for

animals and parts of the body, where it definitely represents a reduction of the syllable

*sya ‘animal / flesh / body” (2003: 102). This prefixal *s- may be comparable to

Pulleyblank’s palatalizing *�- prefix in Old Chinese, which would then explain

Pulleyblank’s palatal glide after the m- initial of � : *�m�� � k > *mj �� � k. However,

whether � originally had this palatal feature is immaterial, for the link of � with � may be questioned on palaeographical grounds.

In the oracle-bone script, in addition to both functioning as names and also

occasionally with a meaning ‘ to spy on’ presumably as a graphic variants for wàng � (c.f. Xu Zhongshu, 1998: 362), mù � � refers to an actual human eye, while

jiàn �

� is generally associated with a variety of meanings related to

seeing/inspecting:

� � � (Heji 165)

Tested: (The) King perhaps ails (in his) eyes.

� � � � � � � � � (Bingbian 124)

Ji Wei (day) divination, Nan43 tested: Fou perhaps comes (to have) audience44 (with

the) King. 1st month.

While � , the graph for jiàn �

k� nh, does superficially appear to be composed of �

43 According to Guo Moruo (1931), � is a suspended musical instrument. This interpretation is based on references in the Shij ing to music in the South and also on its similar graphic form to qing � ‘musical stone’ and gu � ‘drum’. In his analysis of the terms for North and South in the Shang, which he attributes to nan � ‘ stomach’ and bei � ‘back’ accordingly, Sagart (1988: 251 fn.12) adds the following to Guo’s analysis: “En particulier, l’élément de droite � ou � figure une main tenant un maillet. Le nom d’un off iciant des cérémonies divinatoires, consigné de nombreuses fois dans les inscriptions oraculaires, � , combinait le caractère � et la main au maillet” (In particular, the element on the right � or shows a hand holding a hammer. The name of an officiant of divinatory ceremonies, mentioned many times in oracle inscriptions, ! , combines the character " and the hand with a hammer). 44 This follows Takashima’s analysis that “ In classical Chinese, chien # ‘ to see’ is also used with the technical sense ‘have audience with’ . This meaning seems most appropriate to the present context” (2003b: 282).

32

[= � ] and a kneeling figure � , the OB graph � which graphically is composed of � on the right with � [= � ] on the left, may be transcribed as jiàn � ka�mh

‘ inspect, mirror’ with the ‘eye’ component being represented by chén � d in rather

than . Examples of � in the oracle-bone inscriptions are few, but it is clearly

functioning as a place/personal name:

…� � � (Zhixu 932)

… to Jian burn (a victim at the stake).

The different EMC codas of jiàn �

k nh and jiàn � ka�mh seem to suggest that �

is not phonetic in � . However, Pulleyblank has put forward the hypothesis that chén � d in, which would normally be reconstructed as *a� kwj �� j � , could perhaps be

reconstructed as *a� kwj �� m on the basis of the relationships between words like tia�n �

th n < *xj �� j � which is phonetic in ti� n � th m, and the fact that there are “no cases

in any tone of EMC -� m with velar initials going back to the Old Chinese *-� m rhyme

category and no cases of chóngni � finals in -jim after velar initials. This might

suggest that all cases of *C-j� m (as opposed to initial palatals including * j) shifted to

C-j� � j in both Type A and Type B syllables” (1995a: 178).45 This is a very interesting

hypothesis, and certainly can explain the relationship of jiàn � ka�mh < *kwra�m

�

(see fn.47 for a discussion of the effects of the medial *-r- in preventing the final coda

from dissmilating) with chén � d in < *a! kwj "# j $ < *a! kwj "# m. As regards the

relationship with jiàn % k& nh, a standard OC reconstruction would be *kwja�n� on the

basis of it rhyming with the words ' and ( in the ) * -an rhyme group in Xiaoya

45 Such a reconstruction allows Pulleyblank to suggest that “at an earlier stage it [the root of chén * ] was kw-j-m, exactly the reverse of ‘eye’ [ + m-j-kw] The change in orientation of the ‘eye’ graph was a kind of visual pun to represent the phonetic inversion” (ibid: 177). This is unli kely for two distinct reasons: as noted in fn.42, the shift in orientation was merely a rotation of 90, , while full inversion of the graph that could theoretically have brought about Pulleyblank’s phonetic inversion was commonplace for many graphs in the OB script to which no change in phonetic or semantic function is attributed; the graphs * and + were never used interchangeably in the inscriptional language, and their meanings ‘eye (ball )’ and ‘servant’ respectively, that have been preserved down to the present day, were never confused: - . / 0 1 2 * 3 (Cuibian 1155) Bing Yin (day) tested: (It should) be (the) Ma (tribe’s) lesser servant (who is) called. One may however note that while the Shuowen definition “ * 4 5 6 7 5 8 9 : ; < ” (Chen is pull. It is serving the ruler. It looks like the shape of bending in submission) seems to attempt to identify the shape of the graph with its earliest attested meaning, the semantic association of an eye with a meaning of servilit y is not unique in this case. Takashima suggests a meaning of ‘ those who gather or follow (under the sun)’ for the graph zhòng = t> uw? h < *k@A w? B < *k@A C ? B , in a kind of ablaut relationship with zú D dz@ wk < *aE ka

F Ck ‘ those who gather (under the banner)’ , and puts forward the possibilit y

that the change of the ‘sun’ determinative to ‘eye’ in bronze inscriptions may imply ‘ those who gather/follow under the watchful eye’ , and he adds that “ this downward-looking eye may be compared with the upward or sideways-looking eye…. in ch’en * ‘servant, minister’ (2003b: 86). Pulleyblank also suggests a similar case of ‘ root inversion’ for the xiesheng series of G . This is called in to question in 7.1 below.

33

217.3 of the Shiji ng.

However, following on from Pulleyblank’s suggestion that *C-j� m shifted to C-j� j� ,

one may also note the extremely limited distribution of OC * -am, in comparison to

OC *-an, as a final rhyme after initials which support a labiovelar reconstruction.

While in the OC � * -� m rhyme group there are words like hán � � � m < * a� kw��� m46,

there seem to be no cases (exluding those with medial * -r-47) in the corresponding OC � * -am group. Although theoretically this could be no more than a coincidence, a

tentative hypothesis to account for this curious distribution may be set up on the basis

that rhymes in * -am shifted to *-an in words with labiovelar initials due to

dissimilation of the labial coda from the initial. One may note that the corresponding

ru-sheng counterparts did not undergo any sort of change in the coda: hé � � p <

*a� kw��� p and hé � ap < *a� kwa� p. Neither did words with pure labial nasal initials

such as fán � buam < *a� pa�m,48 although their xiesheng derivatives in the * -�� m

rhyme group went through another kind of dissimilation, reflective of the frequent

rhyming contacts between words in * -� m and * -� w /* -� � , as shown by words like

fe�ng � puw < *p�� m. In the case of jiàn � k� nh < *kwja� n� , whose labiovelar

initial may be justified through its relationship with xiàn � � � nh < *a� kwja� n� 49, the

46 It should be noted that the word xián � � a�m, put in the * -am group by Karlgren (1957: 162) as a solitary entry, should probably be reconstructed as *a� kwr ��m according to the vowel lowering after labiovelars (see fn.11) to compare with its phonetic ji

�n � kim < *k�� m. Nevertheless, the presence of

the medial * -r- might explain why dissimilation did not occur if it did indeed belong to the *-am group. 47 There are xiesheng relationships like jia

�n � k� m and xián � � m that would suggest a labiovelar

initial in at least the latter. However, derivatives li ke lián ! liam show that it was probably a palatolabiovelar with the EMC medial -w- being lost before a labial coda, suggesting OC reconstructions of *k"a�m, *a� k"a�m and *# a�m respectively. In the case of ji àn $ ka�mh, mentioned above, its derivatives li ke ji àn % � a�m, with a low -a- vowel, suggest a labiovelar series rather than a palatolabiovelar one. However, the failure of the final consonant to dissimilate suggests that it was prevented by the intervening medial * -r-. Of note in this regard is that the xiesheng series also has derivatives beginning with EMC l-, like lán & lam and lán ' lam which clearly derive from velar initials as shown by their PTB correspondences *g-ram ‘ indigo’ and *gram ‘basket’ respectively, as suggested by Matisoff (2003: 299). Matisoff reconstructs *g-ram for the former due to a correspondence with Written Tibetan * rams (ibid: 300), showing a similar loss of the initial velar. However, as Pulleyblank (1995a: 181) points out “The conditions under which the first consonant in initial clusters of the Cr- type was dropped, leaving initial * r, changing to middle Chinese l-, are not well undersood” , and any further reconstruction at this stage is not possible. 48 This contrast between labiovelars and pure labials is nicely demonstrated in modern day Cantonese where, according to Bauer and Benedict, “w-, kw-, and khw- tend not to combine with rimes ending in labially articulated consonants (-m, -p, -w)” (1997: 20). Although Bauer and Benedict put this down to being part of a broader tendency towards labial dissimilation, they do note that, as regards words with pure labial initials and codas, “we do find a few such combinations, namely p( m, p( p, ph( p, and m( m from the colloquial vocabulary” (ibid: 422) which “do not appear unusual or exceptional when viewed within the broader framework of areal phonetic features of other Yue dialects and some languages of the Southeast Asian linguistic area” (ibid: 428). 49 If one follows Handel’s comment that the voicing prefix “ is probably cognate with Proto-Tibeto-Burman *m-” (2002: 15), this reconstruction nicely supports Matisoff’s suggestion that it is comparable with Proto-Tibeto-Burman *m-kyen ‘know’ (2003: 311). As regards the relationship of

34

above hypothesis would give a proto-form *kwja�m� which could then have served as

phonetic in jiàn � ka�mh < *kwra�m� (the medial * -r- having prevented dissimilation,

as noted in fn.47). Further xiesheng evidence can be found in other word families to

support this hypothesis. An interesting example is hán � � an/� am, whose two

variant EMC readings not only justify the dissimilatory process outlined above, but

also suggest that it did not occur in all dialects, although it undoubtedly affected the

majority. Another example is yán � �an which, although it cannot be reconstructed

with an original labiovelar initial due to its xiesheng derivatives like xìn sinh,

might well have had a labial prefix *m- in its proto-OC form. Support for this prefix

may be found in the word xi�n � sin < *xjj �� j < *xjj �� m (undoubtedly phonetic in

yi�n � � im < * � �� m) which Matisoff (2003: 306) compares with PTB *m-sin ‘ liver,

bitter’ , and must have been phonetic in � as shown by its OB form � .

Unfortunately, Matisoff provides no PTB comparison with � but the unpredictable

behaviour of PTB prefixes, sometimes attested in individual forms in related

languages and other times not (see 2.1 above) gives the hypothesis some credence. In

a similar manner to the case of � in 2.2a above where *m- j- was assumed to give

* jw-, it may be assumed that proto-OC *m- - gave * w- which then developed into

EMC * - (as discussed in 2.1). This would then suggest a reconstruction of yán � �an < * wa�n <* wa

�m < *m- a

�m which is supported not only by its phonetic xi

�n � sin < *xjj �� j < *xjj �� m, but also by its xiesheng derivatives like zha

�n � t� iam <

*kja�m50. Xu Zhongshu’s (1989: 221-222) transcription of � as � with a gloss of

this with Pulleyblank’s prefixal pharyngeal glide *a� -, which he suggests is “probably cognate to Tibetan h� a-c

�hung and the Burmese prefix � a-” (1991b: 43-44). Sagart, who reconstructs this prefix as

an unspecified nasal *N-, has pointed out that “A-ch’ung is believed by several scholars to have represented prenasalization when in left-graph position, and especiall y in the present tense of verbs. See Beyer 1992 [The Classical Tibetan Language. Albany: State University of New York Press]: 47, note 10) for early transcriptional and loanword evidence. Certain modern Tibetan dialects also reflect a-ch’ung as prenasalization” (1999: 74). While Sagart’s observation is not strong enough to simply refute Pulleyblank’s proposal which is very well supported in its relationship with the * -a- infix in Pulleyblank’s (1989) a/� ‘ introvert/extrovert’ vowel ablaut hypothesis, certain similarities with a nasal prefix must be accepted. One may observe that while modal voicing, the most common form of voicing attested in most languages around the world, is caused by the effect of the larynx on otherwise voiceless obstruents, and hence historically may be conditioned by a laryngeal or pharyngeal prefix, prenasalization is also well attested as the cause of the voicing assimilation in nasal + stop sequences e.g. Bura, cited by Ladefoged and Maddieson (1996: 125-6). Although in many languages, like Bura, the nasal consonant of this initial cluster is retained, this is no reason to assume it always was, especiall y if it was prefixal in origin, in which case it may have been dropped with its trace only being left in the following consonant. Nevertheless, as Sagart’s observation aptly points out, historicall y it is very diff icult to clearly distinguish the two, and it seems likely that there would have been variation across related languages. Consequently, with the ‘ introvert/extrovert’ vowel ablaut analysis on his side, it seems safer to adopt Pulleyblank’s hypothesis until new evidence may be found to suggest otherwise. 50 The reconstruction of � which does not occur in the Shijing is supported by xi

�n � sin < *xjj �� j � <

*xjj �� m which is attested in the OB script as where � ! is undoubtedly playing a phonetic role. The reconstruction of " as proto-OC *m-� a

�m differs from the hypothesis put forward by Pulleyblank

(1991c: 31) and Sagart (1999: 135) that yán " � #an is derived from y$ % � #a& < * � a� '

with a formative * -n suffix. It does not, however, preclude the possibilit y of an *-m suffix playing a

35

“� � , � � � ” (sacrificial name, hence an ‘announcing sacrifice’ ) may be justified

on the basis of corresponding bronze forms where it has its present day meaning of

‘say’ , as well as contextual evidence in OB inscriptions:

� � � � � (Yibian 4708)

Tested: (The event of the) King holding (an) announcing-sacrifice51 to Zu Ding (will

unfold) correctly.

As regards the other words suggested by Boltz, these may accordingly be

reconstructed as ka�n � khanh < kkwa

n� < kkwa

m

�, màn � muanh < *a� xwa

�n� <

*a� xwa�m

�, miàn � mjianh < *a� xwja

�n� < *a� xwja

�m

�. The word hua

�n � � wa�nh is

problematic due to its rentention of the -w- medial and, following Pulleyblank (1995a:

178), “the problems that this raises must be left aside for the present” .52 Boltz’s

suggestion that xiàn � x�anh < *xwa�n� is related to this series is incorrect because,

following the Shuowen analysis “� � � � � � � ” (derived from � and from �

with � as abbreviated phonetic), its phonetic is clearly ha�i � � ajh < *a� kwa

t�.53

4.2 The Xiesheng Series of � � *m�� k, ! *m� k(�), " # $ *x-ma

% &k

As for the actual xiesheng series of ' , it is quite clearly unrelated to that of ( .

Pulleyblank comments “mào ) E. mawh < * -*+ wk, < * -*+ - k

, ‘cover’ , also read mò ) E. m* k < *m*+ - k, has mù ' as phonetic according to one version of the

Shuowen and there does not seem to be any other good explanation for the presence

morphological role. 51 Xu is presumably drawing a relationship with the gao . ‘announcing ritual’ (see fn.62) 52 Attempts have been made to identify some of these graphs in the oracle-bone script. Shima (1971: 101) lists two inscriptions with the graph / which has been variously transcribed as0 (Ding Su 1980: 96), 1 (Xu Zhongshu 1988: 805) and 2 (Sun Changxu 1986: 235-249). The two examples li sted by Shima both refer to the same event, and the function of the graph / , which is found preceding 3

, is unclear. The longer of the two may be transcribed as follows: 4 5 6 7 8 9 : ; < 7 = > ? @ / 3 A 7 B C ? D E F G HI J K L M N O P Q R(The) King prognosticating says: (There wil l) be hostilities. (On the) eighth day, (a) Geng Xu (day), (there) were clouds from the East S T R

(In the) afternoon there appeared (a) rainbow from (the) North (which) drank in the He (river). [See Takashima (2002: 112-113; 131) for a discussion of the OB graphU

, here translated as ‘hostilities’] The OB graph V has been treated as W by Xu Zhongshu (ibid: 992-993) who glosses it as a “X YZ

” (terr itorial name). It does not seem to be attested in the bronze script and so such a suggestion is hard to verify. Xu also (ibid: 284-285) transcribes the graph [ as \ with the meanings of “] Z

” (personal name) and “^ Z _ X Y Z

” (place name or terr itorial name). Again the graph does not seem to be attested in the bronze script. 53 The alternation of nasal with plosive codas is not uncommon in xiesheng series and does not require one to set up * -t and * -n as separate suff ixes added to the same OC * -a` root, as is required in the case of a and its xiesheng derivatives discussed in 7.1.

36

of the ‘eye’ element in the graph” (2004: 158-159). The graph is not attested in the

inscriptional language so paleographical evidence cannot elucidate this further. One

may also note the xiesheng derivative xù � � � xuawk ‘ rouse, urge’ whose initial

bears the same relationship to mù � muwk as, for example, hu�n � xw� n ‘dusk,

evening’ does to mín � min ‘suffering, distress’ , or he�i � x� k ‘ black’ does to mò

m� k ‘ (pitch) black, ink’ . In order to account for such an alternation, Baxter (1992:

188-218) and Sagart (1999: 24-42) reconstruct a voiceless set of sonorant initials that

they write with an h preceding the sonorant. Such a transcriptional convention seems

curious when, as Sagart points out, “There is no initial *h in the present system [of his

OC reconstruction], although a guttural fricative *x is reconstructed” (ibid: 26).

Sagart also suggests that “In the voiceless series [of sonorants], the nasals lose their

nasal character, and all, both nasal and non-nasal, evolve into Middle Chinese

voiceless obstruents (*hm- > x- ~ xw-, * ahn- > th-, * bhn- > sy, *h - > x-, *h w- > xw,

* ahl- > th-, * bhl > sy-, *hr- > x- ~ thrj-, *hw- > xw-)” (ibid.). Both Baxter and Sagart

use these voiceless sonorants to account for xiesheng relationships like, for example,

the alternation in nasal and dental initials between nán � nan and ta�n than.

Although it is assumed that a similar place of articulation is all that is required for

words with different initials to occur in the same xiesheng series and so just as * � -

and *x- may alternate, so may *n- and * -t, the totally different places of articulation of

*m- and *x- in � and � or � and � , make the case more complex. It is

certainly very curious that Sagart’s *hm- has the same EMC reflexes as *h - and

*h w-, a fricative x being very difficult to derive phonetically from a labial m.

Pulleyblank (1991b: 55) has suggested that an alternative cause of the aspiration of

EMC obstruents, in addition to the reduplication of initials, may have been a prefixal

*x-. Pulleyblank says little else on this process, but one may assume that the

suggestion is based on the common derivation of pre-aspiration from plosives

preceded by a fricative of some kind, which in this case developed into post-aspiration.

Although aspiration is uncommon with initials other than plosive obstruents which are

the only ones attested in Middle Chinese, Matisoff has pointed out that “Many T[ibeto]

B[urman] languages, including Burmese, Pumi, and the Chin group, have a series of

voiceless or aspirated nasals, which can easily be shown to derive from earlier

combinations of *s- or * � - with a nasal root initial” (2003: 37). He compares � and � with Proto-Tibeto-Burman *s-nak, adding that “There is also a nasal-final allofam

represented by W[ritten] B[urmese] ma ~ hma ‘ ink’ (< PLB *s-ma or � -ma )”

(ibid: 329). Aspirated and voiceless nasals are not attested in Middle Chinese, but this

does not necessarily preclude the prefixal *x-, representing in this instance

Proto-Tibeto-Burman * � - and *s-, from occurring before nasal initials. Further

37

support for this hypothesis may be found in Matisoff’ s comparison of hu�n � xw� n <

*xw�� n < *x-m�� n with PTB *s-mun ‘dark’ (2003: 309).

Whether Baxter and Sagart’s reconstruction of a voiceless sonorant series is actually

required remains to be seen as further progress in the study of Old Chinese word

families is made, but it is interesting to note that all of Sagart’s Middle Chinese

plosive reflexes of voiceless nasals are aspirated. Although in the derivation of *x-m-

> *xw-, the labial feature is retained in the EMC reflexes of words like hu�n � xw� n <

*xw�� n < *x-m�� n, in the case of xù � � �

xuawk < *xwa� �

k < *x-ma� �

k, the loss of

this feature may be accounted for by the rule that labiovelars lost their labial feature

before the low vowel -a- (see fn.11). However, in the case of he�i � x� k, one would

have expected an EMC form of xw� k. However, the fact that the labial feature has

disappeared seems to imply some kind of labial feature in the coda. Perhaps here we

have another case of Proto-OC * -� � k merging with * � k (see 8.4).

Also of note in relation to this series is the word méi � mi < *mr �� l ‘eyebrow’ which

Matisoff compares with PTB *mul ~ *mil ‘hair (body), eyebrow’ (2003: 505). It is

attested in the OB script as � or . Unfortunately, aside from functioning as a

territorial/personal name, its function is unclear. However its transcription is

supported by its form in the bronze script. Both graphs clearly contain the components ( � ) or � ( ) respectively. However, as the above discussion has shown, there

is no etymological relationship between � or and so a relationship must be

looked for elsewhere. Fowler (1989: 144) has pointed out a comparison with the OB

graph � , which he treats as (being analogous to wéi � muj > *m�� l)54 “which

shows the hair[s] of the head all pointing in the same direction, and méi � /� …

which shows the hairs of the eyebrow all pointing in the same direction” . Fowler’s

observation is important as it makes a clear distinction between the graphs ( )

and (� ) which scholars like Xu Zhongshu (1989: 1041-1042) have failed to

differentiate. A further comparison may also be suggested with � � � � muj’ < *m�� l � ‘ tail ’ which Matisoff compares to PTB * r-may ‘ tail ’ (2003: 221). It may well be

attested in the OB script as � , although Shima (1971: 27) lists only one example in

which its meaning is unclear, and no corresponding examples have been found in the

bronze script.

54 Fowler (ibid: 181-182) comments that “The basic meaning of wei � is ‘small, fine, slight, weak’, and I think the present graph represents this by emphasizing the long fine hair on the person’s head”. Unfortunately the graph seems to only occur as a place name, but the bronze form of the homophonous xiesheng graph � suggests that the transcription is correct. Matisoff (2003: 201) compares � to PTB *mw� y ‘ fine, deli cate’ .

38

Chapter 5

A Polyphonic � ‘Fire’?

5.1 The Xiesheng Series of � � *xja�w, � *xa

�w, � *kja

�w-k

Boodberg’s (1937: 343) argument that “� ** � wâr – ‘f ire’ in the meaning of ‘burn’

was probably pronounced ** TSÄK [fn. “That is as if equal to � * t�’ s�i äk – ‘ red’ <

‘ fiery’ where � is ‘etymonic’ . In � reduplicated > � � G we probably have the

graph reverting to the phoneme * � wâr ] ~ ** TSUG and served ‘phonetic-etymonic’

in * t’ s�i äk – ‘ to roast,’ � * t’ s

�i äu – ‘ to burn,’ � ** TsuG – ‘ to scorch’ (ph. in �

* ts’ i � u-G ‘autumn’) and possibly � *d’ i � k” , has been reiterated by Boltz who

states that jia�o � ‘ to roast, scorch’ , liào � ‘burnt offering’ , bia

�o � ‘ leaping

flames’, ga�o � ‘ lamb’, bia

�o/páo � ‘ to change color (of animal or bird) “all…

belong to the � hsiao < * -(j)agw Shih ching rime group, and are written with

characters containing the � huo ‘ fire’ constituent. Moreover, the first three are

clearly semantically related to some aspect of ‘ fire’ . In these three characters the �

‘ fire’ element is functioning both as a phonophoric and a semantic component; i.e.

what we have called an ‘etymonic.’ In [the latter two]…, representing words that do

not have any apparent semantic link to ‘f ire’ , the � is limited to a phonophoric role.

In all cases, as a phonophoric, it must have had a reading in the Hsiao rime group,

different from and unrelated to its standard known reading as huo < *hw� rx (� wei

< * -(j)� d rime group)” (1994: 122).

Firstly Boodberg’s examples of yì � jiajk, zhì � t� iajk and di d! jk must be

dismissed for the reasons outlined in 2.3. Similarly Boltz’s example of jia�o " is

effectively accounted for in 5.2, as are bia�o � and bia

�o � in 5.3. As for liào # , it

is the only one of Boltz’s characters with a definite oracle-bone counterpart, $

‘ liao-burning-sacrifice’ , and it is quite clearly a xiangxing graph. This leaves only ga%o &

to support the Boodberg/Boltz hypothesis. The word ga%o

& has in fact been the

subject of some debate in the OB corpus. In his unpublished 2001 manuscript, Boltz

brings up the case of &

again, but makes no mention of the different opinions

involved, simply stating that “The OB forms of &

gau < *ka'w ‘kid’ are, as the

modern graph would suggest, in their simplest form composed of a ( ‘sheep’ over a ) ‘ fire’ . The semantic role of the ( ‘ sheep’ is not hard to understand, but the

presence of the )

‘ fire’ element is puzzling. At the same time there is no obvious

phonophoric in the character… It would be natural… at the formative stage of the

39

script to use th[e] same (picto)graph ( to represent the word gau < *ka'w ‘kid’ , even

though that word bears no phonetic similarity to yang < *gra�ng. If that was what

happened, the graph ( would have been thus a polyphone. And if ( was in fact a

polyphone, one of the possible readings of which was gau < *ka'w, then the graph

)

(with a reading in the shiau < * -aw �

rime group) would have been a perfect

determinative to specify the gau < *ka'w reading, meaning ‘kid’ , as opposed to the

yang < * gra�ng reading meaning ‘sheep’.” (2001: 7-8). Even if one is will ing to accept

Boltz’s theories of polyphony, which he seems to assign to any graph for which he

cannot find a phonetic explanation, a graph wholly composed of two polyphonic

components with hypothetical readings unattested in the modern language seems to be

stretching his already overly flexible parameters. The OB graph � , that Boltz

presumes to represent ga%o

&, is now commonly interpreted as yue � /� ‘mountain

peak’ 55 which seems to be referring to some kind of natural divinity, although

Akatsuka’s (1977: 92-105) treatment of it as yang (( + � ) is more faithful to the

original palaeograph and is adopted by Keightley who treats it as the “Yang Mountain

Power” (2000: 105):

� � � � � (Heji 10076)

(Perform a) you-cutting-sacrifice (to) pray56 (for) harvest to (the) Yang (Mountain

Power), (the) He (River Power), (and the predynastic spirit) Nao.

As regards the actual oracle-bone form for ga o � , Xu Zhongshu (ibid: 414-415) has

proposed that it should be used to transcribe the graph � about which he says “� �� ¦ ¦, ¦ ¦� � , � � � � � � � (derived from � and from ¦ ¦, ¦ ¦ represents � , �� is used as a huiyi for � ” and to which he assigns the meaning “� � � � � ”

(sacrifice which uses a sacrificial animal). Shima (1971: 214) lists only three

inscriptions with the graph, but it is clear from context that it must refer to a sacrificial

animal rather than a sacrificial process:57

55 Serruys (1982. 482-7) comments: “Though it is argued that the graph ! usually has a flat, square shape as against a rounder shape for " , sometimes with additional dots (representing the fire sparks), there are still many exceptions. If the Shang graph was indeed # ‘ lamb’ one should expect it to occur in texts where ‘sheep’ are mentioned as sacrificial victims, and one should be able to explain why there is always mention made of $ % or $ (small, young (penned) sheep) but no # .” 56 The interpretation of & as da

'o ( ‘ to pray for; prayer ritual’ , rather than hu ) , follows the

proposal of Ji Xiaojun (1991: 33-34) that the phonetic for ) in the SW should be read as ta*o + , and

that consequently & would be best treated as da'o ( .

57 This runs counter to the traditional interpretation, first suggested by Shang Chengzuo (1923: 11.2a *11.3299), which defines , as follows: “- . / 0 1 , . 2 3 . , . 4 / 5 ” (it makes one character with 6 ‘submerge’ , submerging a cow is called 6 , submerging a sheep is called 7 ). One could, however, argue that in this context it means ‘ libated sheep’ to be li ao-burning-sacrificed.

40

…� � � � � � � � � [= ]… (Tieyun 86.3)

…Chen (day) divination, Nan tested: Specifically58 liao-burning-sacrifice ten pigs

(and) lambs, liu-cutting-sacrifice…

This certainly seems like a more tenable hypothesis, especially as xi� o � siaw’ <

*xja w forms a nice phonetic for ga

�o � kaw < * xa

w. Although the oracle-bone graph

for � is written as three dots � , rather than the four in � , Xu Zhongshu (1989:

414-415) notes that the graph � , which is usually transcribed as � , “� � � � ” (has

the same meaning as � ). This is not surprising for, as mentioned in fn.72, the

number of components in bivalent and trivalent graphs does not reflect a specific

quantity. One may note for example that the OB graph � , that may be transcribed as �, sometimes occurred as � . Xu Zhongshu’s theory is also nicely supported by the

graph � què/qi� o � ts�ak < *kja�w-k ‘ small bird, sparrow’ which not only is

phonetically related to xi� o in its root form, but also contains the graph for xi� o , ! , as its top component.59

5.2 The Xiesheng Series of " " *kwj #$ w% , & *'-ka�w

Further to his proposal (1994: 122), cited in 5.1 above, that the phonetic in & was a

polyphonic ( , Boltz has more recently added the following: “The character & is

not registered as occurring in Shang inscriptions, but JGWB [Jiaguwen Bian, Beijing

1934, Sun Haibo ed.]… gives a graph in which the top component is ) instead of & , with ( underneath, i.e. * , and the Shuowen says that this form with ) is read

like & jiau < ksa�w ‘ roast’… It seems plausible to identify the same word jiau <

58 Takashima’s interpretation of this graph as xiang + ‘specificall y’ is well supported by inscriptions where it is used to quali fy the copula wei , that exemplify its function of “highlighting and contrasting” (1996.1: 475): - + , . / 0 1 . 2 3 4 5 6 7 8 9 : 2 ; … (Bingbian 197.4) (We) should not specifically (on the) Yi Hai (day) you-cutting-sacrifice (to) Xia Yi 15 decapituri, li u-cutting-sacrifice 10 specially-reared-sheep, four… He also points out that it is “employed predominantly in the negative…. But the fact that xiang is also used in positive sentences should impel us to look for a non-linguistic (sociological, historical or ritual) reason for the restrictions on its usage” (1996.2: 144). 59 One may note, however, that Karlgren observes that in spite of appearing to be composed of ‘small ’ and ‘bird’ , it is “possibly, a bird with a tuft on its head” (1964: 288). Certainly the OC pronunciation *kja

<w-k of = does bear some similarity to the reconstructed form *k-> a

? > -k for @ ‘horn’ (see 5.3). However, the initial velar in the latter form is assumed to be the result of a prefix and not to be part of the root form, and their seems li ttle reason to reconstruct a rounded *-> coda in the former. Also of note is that Boodberg (1940b: 130) has pointed out that = ‘small bird’ was often used as a cognomen for people born in the year of the rooster, a kind of tufted bird. With the only examples of = in the oracle-bone script as a territorial/personal name, and it not appearing in the bronze script, it is very diff icult to test the theory. Consequently, with semantic and phonological advantages in favour of the A

interpretation, this should be adopted unless new evidence proves otherwise.

41

ksa�w ‘ roast’ as underlying the two variant graphs, with either

� or � on top.”

(2001: 7). In fact, a closer analysis of the oracle-bone graph � , referred to by Boltz,

reveals that the top component is not in fact � �, but � . The Shuowen also

analyzes qiu� � tshuw < kkj�� w as being “ � � ” (derived from � with � as

abbreviated phonetic). However, Qiu (2001: 234) has pointed out that “The zhòuwén

form recorded by the Shuo�wén had already changed into � … The Shuo

�wén

statement ‘with � as abbreviated phonetic’ should be corrected to ‘with as

abbreviated phonetic’ .” Consequently it seems very likely that Xu Zhongshu’s (1989:

1116) gloss of � ( � as “� � � � ” (the qiu of chunqiu) is correct:

� � � � � � � � � (Heji 32968)

Ding Chou (day) tested: This autumn (the) King wil l (send out a) big mission.

As for ( ), aside from functioning as a place name, Xu (ibid: 783-784) treats it

either as being the same as � , or “! " # $ ” (possibly meaning locust plague). In

addition, when it seems to occur in a sacrificial context, he glosses it as “% & � ' �( )” (a sacrificial practice concerning the autumn time) or perhaps “% & # * �)

” (a sacrifice concerning a locust divinity). The difficulty over the two

interpretations, � and # , has been neatly summarized by Serruys, who observes

(1974: 89) that the “explanation [proposed in Chang Tsung-tung’s Der Kult der

Shang-Dynastie im Spiegel der Orakelinschriften: Eine paläographische Studie zur

Religion im archaischen China, Wiesbaden: Harrassowitz, 1970)] that ‘ locusts were

being scared away at harvest times (� ) by burning grass’ (hence the addition of the

element + ) needs further proof. Moreover, it does not explain the different readings

huang and ch’ iu” . Serruys’ criticism is well-founded and an interpretation of � for , as well as for � , seems generally preferable to # . However, the graphic form of does seem to depict some kind of flying insect which presumably represented its

primary meaning before it was used as a jiajie for qiu, � tshuw < kkj-. w. In

inscriptions like the following it is preceded by the verb / ‘ (conduct a) pacifying

ritual’ which suggests a meaning of ‘placate’ when it occurs before 0 ‘ rain’ and 1

‘wind’ . Perhaps here it means to placate the havoc caused by locusts:

2 3 45 / 6 7 (Ninghu 1.119)

Yi Hai (day) tested: (We) will (conduct a) pacifying-ritual (of the) locust (plague) to

Xun.

The above discussion clearly demonstrates that the OB graph 8 (of which according

to Qiu (ibid.) “the character 9 in the Shuo:wén is probably a corrupt variant” and

42

which is erroneously treated as phonetic in � ) does not seem to share any

etymological relationship with � . As for the phonetic component in jia�o � tsiaw,

Qiu comments that “In their use of graphic compounds, “� ” and “� ” are often

interchangeable; e.g. ‘� ’ chú ‘young (bird)’ can also be written ‘� ’ ; ‘� ’ ji� ‘chicken’

is also written ‘ ’ . According to the Shuo�wén, ‘� ’ is ‘ the general designation of

short-tailed birds’ while ‘� ’ is ‘ the general name for long-tailed birds.’ Pulleyblank

has suggested a phonetic relationship between ni o � t� w’ and zhui � t� wi by

comparing them with ji � k� j < *kwa

�j, and reconstructing them respectively as

*kwj �� w� and *kwj �� l, stating that “Here we evidently have a root *kw-j ‘bird’ with

various extensions: *kw-a-j, *kw-j-l, *kw-j-w” (1995a: 172). This seems like a very

likely hypothesis60 and Pulleyblank’s reconstruction of ni o � t� w’ > *kwj �� w�

should be adopted. This could easily have functioned as phonetic in jia o � tsiaw,

although in order to conform to the guidelines of what could constitute a xiesheng

series, the derivation of EMC ts- in � would have to be attributed to *�-k-, rather

than *kj- as posited earlier, giving a reconstructed form of *�-ka

�w.

5.3 The Xiesheng Series of � /� � * � a� � -k, � *k-� a

� � -k, � * � a� � -k, � * a� p-� a

� �

Boltz’s proposal (1994: 122) that páo � ba�w ‘roe deer’ (also read bia o � piaw

‘ to weed; bold, warlike’) and bia o � pjiaw ‘ leaping flames’ are derived from a

polyphonic � (see 5.1 above) seems untenable. To deal with the graph � first, it is

clearly graphically related to lù � l � wk < * � a� � k ‘deer’ . Sagart has noted that “ it

seems possible in Chinese to relate the words for ‘deer’ and ‘horn’ , as in a number of

Indo-European languages where the old word for ‘deer’ has been replaced by an

adjective meaning ‘horned’ because of a hunting taboo... The name of the horn is

jiao3 � * ak-rok > k wk with concrete count noun k- prefix. A doublet reading for

the same character is listed in the Ji Yun as luwk (< * arok) with the gloss � , ! " #$ ‘ jiao3 � means adult wild animals’ (adult animal with horns) 61. This is

homophonous with the name of the deer which can now be etymologized as ‘ the

horned one’.” (2001: 161). A phonetic and semantic relationship between the two

words for ‘horn’ , ji o � ka�wk < *k-� a� � k and lù � l � wk < * � a

� � k, and the word

for ‘deer’ , lù � l � wk < * � a� � k, can certainly be established. Further to this, one may

60 Pulleyblank (1991b: 77) only makes reference to EMC t- deriving from labiovelar initials preceding a medial * -j-. However, the xiesheng series of % contains the word d& o ' taw’ which cannot have had this medial *-j- as it would have given an EMC reflex t( w’ . As Pulleyblank himself observes, the exact conditions for the shift of velars to dentals “have still to be determined” (ibid: 52). 61 Sagart’s translation is slightly inaccurate. The phrase “) * + , - ” should reall y be translated as “) is an animal which is no longer a baby” .

43

also observe that the word for ‘roe deer’ páo � ba�w may also be included in this

family. Although its rhyming in the Shiji ng suggests a reconstruction of *a� pra�w <

*a� p-� a�w, one may note that the OC rhyme group � * -a

� � lacks any Grade II rhymes

(i.e. rhymes where the vowel quality has been affected by a medial, or prefixal, * r)

which suggests that proto-OC *-ra� � may have merged with * -ra

�w. The addition of � to this xiesheng series suggests that the final * -k on the forms for ‘horn’ and ‘deer’

above is a suffixal element. This is supported by Matisoff’ s (2003: 480) comparison

of � with Proto-Tibeto-Burman *kr � w-k which provides clear evidence for a

suffixal * -k. As for the Type B variant bia�o piaw, which as Karlgren (1957: 301)

points out is a loan for the homophonous graphs ‘ to run’ and � ‘ to weed’, the

existence of the Type B rhyme * -rua� < * -ra �

suggests that these xiesheng derivatives

must have come about after the merger of * -ra� �

with * -ra�w. Also of note is that *-a

� �

without any r-colouring also seems to have merged with * -a� �

in some cases.

Examples of this may be found in xiesheng relationships like: g� � k� ’ < kwa� � �

with zh� � trua� ’ < *kwrja � �

as phonetic which in turn has dòu � d� wh < *a� ka� � �

as phonetic (see 8.6); bù � b� ’ < * a� pa� � �

and its alternative reading p� u � b� w’ <

*a� pa� � �

(see fn.78 for a discussion this xiesheng series). The near homophony of the

two OC forms of � , which following the above logic were presumably

homophonous in proto-OC as *a� pa� � �

, suggests that this was a dialectal phenomenon.

As for bia�o � pjiaw < *p-ja

w (an older graphic, and slight phonetic, variant for pia

�o �

phjiaw which is nowadays more usually found written as bia�o � pjiaw),

Pulleyblank (1995c: 293) has pointed out that “the upper part of the graph [ya�o] �

[�jiaw < * ja

w] is found in the ka

�ishu

� form of

� EMC phjiaw and its derivatives.

Though this graphic connection is not confirmed by earlier inscriptional forms, it

probably indicates that the common phonetic element * -jaw was recognized at the

time of the Qín script form”. The Shuowen gloss of as “� ! " � # $ ” (a kind

of big deer, derived from %

with & as abbreviated phonetic) shows how by the

Han period, when Xu Shen was compiling the Shuowen, ' and ( had developed

very similar pronunciations. This does not, however, mean they were necessarily

etymologically related, and there are no graphic or phonological reasons to assume

that they were.

44

Chapter 6

A Polyphonic � ‘Child’?

6.1 The Xiesheng Series of � � *a� kj��� � , � *a� kj��� � -k

� / *a� kj��� � � , kj�� � , *a� kj� � -n,

Boltz has suggested that “Both characters [su�n � sw n and cún , EMC dzw n]

have the � component, and are in the same Old Chinese rime group, viz., � w n

< * -(j) n… [This] would lead to the conclusion that the graph � was phonophoric

in both, with a reading in the w n < * -(j) n rime group” (1994: 123-124).

The fact that cái � dz j is the phonetic in cún dzw n was pointed out by

Yakhontov (1970: 57), to whom Boltz (1994: 125) also makes reference, who

comments that in “rounding arose relatively late as an irregular development. In

Old Chinese both syllables rhymed only with words having unrounded vowels… and appears as phonetic in � dzhien ‘a second time, repeatedly’ and in several other

characters with the same pronunciation. The character itself originally had as its

phonetic � dzh� i (*dzh� ) ‘ talent’ .” While the theory of OC reconstruction used here

does not distinguish between round and unrounded vowels for, as Pulleyblank (1993:

366) has pointed out, such a hypothesis is strongly weakened by “the fact that we

need more than two rounded vowels, or the assumption of at least some rounded

vowels before velars in order to accommodate the Shi�ji�ng rhyme distinctions, and the

need to assume that * -s did not have the same effect as other coronals in causing the

diphthongization of rounded vowels” , Yakhontov’s observation that the xiesheng

series of cún � dzw� n predominantly consists of words with unrounded features

such as jiàn � dz� nh < *a� kjj �� n� suggests that the rounding was indeed a secondary

development. Whether it was due to some unidentified labial prefix remains unclear,

but with the absence of any evidence and the fact that it seems rounding appeared

relatively late in the evolution of the word, it can be safely ignored for the purposes of

reconstruction used here. As for cái � dz� j and zài dz� j’ with its alternate

departing tone reading zài dz� jh, these presumably derived from *a� kj��� ! , *a� kj��� ! " and *a� kj��� ! � respectively. These form a nice comparison with PTB (t)sa#y ~ (d)za#y

‘ talent, aptitude’ as cited by Matisoff (2003: 221). This also suggests that the *-n coda

of cún � dzw� n was the result of a suff ix, giving a reconstructed form *a� kj�� ! -n. In

the oracle-bone inscriptions zài is written with the graph $ : % & '( ) * + , - . / 0 1 2 3 4 (Zhuihe 30)

45

Yi Hai (day) divination, Xing tested: (The) King treats Xiao Yi (as a guest)62 with (a)

xie-ritual-sacrifice63. (There is) no blame64. (It is) on (the) 11th month

Also undoubtedly related to this series is the graph za�i �

ts� j < * kj��� � (also with

derivatives that appear to perhaps have once had a velar suff ix like zài � ts� jh < *

kj��� � (-k)� which rhymes with words like xi

� � sik < *xj�� k in the Shiji ng, in this case

Ode 203.4) which the Shuowen defines as “ � � � ” (to harm, derived from � with � as phonetic). That the Shuowen is correct in this analysis is clearly

shown by the OB graph for � , � , where the phonetic component � is clearly

visible. It occurs in inscriptions like:

� � � � � � � � � � (Jimbun 2050)

(If the) King inspects (the) hunting-ground (there will) not (be) harm (and he will) not

encounter heavy rain.

6.2 The Xiesheng Series of � � /� *xj� ! , " *kj� ! , # *xj�$$ ! -n, % * & j� ! -n'

Boltz’s (1994: 125) suggestion that “ it may be that the word ts’un < *dzw� n [( ] with

its fundamental sense of ‘endure, be perpetuated’ , was seen as semantically akin to

sun # *gsw� n ‘descendants, posterity’ and to % yìn < *grj � ns [‘descendants’ ]” is a

very interesting observation. While the characters may simply exist in a zhuanzhu

relationship, Boltz’s has tried to give the latter two some kind of a xiesheng

relationship: “Given the occurrence of the common graphic element ) * + in the

three characters [su,n # sw� n ‘grandchild, descendant’ , yìn % jinh ‘descendant,

posterity’ , g- n . kw� n’ ‘name of a legendary fish’ ]…, and the fact that the words

62 Takashima (2000: 117) comments “since the verb bin / ‘hosting ritual’ can specify an Oins, it makes good sense semanticall y to regard it as a ritual, but not a sacrificial verb…. However, it nevertheless lacks the [+request] feature and therefore, no OI is associated with it” . Bin may therefore be included in Takashima’s group of [+ ritual] verbs, which, aside from 0 , all have a [+request] feature: dao 1 ‘prayer ritual’ , zhu 2 ‘ invocation ritual’ , ning 3 ‘pacification ritual’ , yu 4 ‘ lustration/exorcism ritual’ , guan 5 ‘ libation ritual’ , gao 6 ‘announcing ritual’ (also occurring as a regular [-ritual] verb meaning ‘to report’ ). 63 It7 (1996:1 22-3) comments that in the second half of Period-II , there is the emergence of “an organized system of sacrifices to the former Kings and Queens…. Starting from Shang Jia and following the generations downwards, the five sacrifices called Ji 8 , Zai 9 , Xie : , Rong ; < => ?

, and Yi @ were made to the ancestors in proper order on the day corresponding to the heavenly ancestor’s name. This sacrificial system continued until the reign of Lin Xin in the first half of Period III …. It was revived in the reign of Di Yi and Di Xin in Period V.” In this work, these five sacrifices are translated as ‘ritual-sacrifice’ to distinguish them from other regular sacrificial verbs. 64 Concerning the issue of ‘blame,’ ItA (1996:1. 26) points out that “unlike a curse, [it] was used with reference to sacrifices performed on the same day as the divination. We might see it as embodying a concern as to whether the ancestor would accept the sacrifice” .

46

all belong to the � w� n < * -(j)� n rime group, we have no reason not to consider the� ~ � component a phonophoric with a reading in * -(j)� n” (1994: 123). The case

of � has been dealt with in 2.1. As for � , the idea that it could be composed of two

polyphonic graphs, neither of which have maintained their polyphonic pronunciation

down to the present day, and both of which are acting as phonetic components in the

graph, seems highly unlikely. Nevertheless, Boltz’s assumed relationship between � , � and � may well exist, just not for the reasons he cites.

Unfortunately yìn � jinh < * � j� -n does not appear in the oracle-bone inscriptions,

but its later forms show that it is graphically related to the xiesheng series of si� � /

s� < *xj� 65 with which a phonetic connection can also be made. The simplified

form of � as the top component in its modern form, need not be an issue for this is

also the case in the related graph zi� � ts� < *kj� . Both � / and � occur in the

OB script, the former as � / � which appears to be a personal name, the latter as �

which seems to function as a demonstrative pronoun or a pronominal adverb:66 � � � �� (Kufang 2.X1)

Tested: (It is) this crack (that we should) use.

The Shuowen treats � as a huiyi graph, analyzing it as “� � � � ” (derived from � and from � ). However, there is also an oracle-bone form which appears to

consist of � and � , of which Shima (1971: 149) lists three occurrences.

Unfortunately, all of these are too fragmentary to glean any meaning, but the later

bronze forms suggest that the transcription is correct. It seems likely that here too si�

/! s" < *xj#$ % is the phonetic. As with the case of & , there is a difficulty in

accounting for the rounded feature. Although the handful of other graphs containing ' also seem to show this rounding, one may assume that the rounding may have

developed as a later feature; it should be noted that & does also have some rounded

derivatives like the homophonous graph cún ( dzw# n. This would suggest a

reconstructed form of *xj#$ % -n, which is clearly related to the PTB word *syu(w) ~

*syu(w)-n ‘grandchild’ , cited by Matisoff (ibid: 499), where the final * -n can also

clearly be seen as a suffix.67

65 Concerning ) and its relationship with * , Qiu notes: “The graph resembles two skeins of sil k. In the earliest stages of the ancient script, ‘ * ’ and ‘ ) ’ were a single undifferentiated character. Later ‘ * ’… was considered a separate character read mì” (2000: 179). 66 It may be distinguished from + (see fn.38) on the basis that in its pronominal function it has no anaphoric reference, and in its pre-verbal form it has no modal function. 67 Also perhaps a member of this xiesheng series is the graph , which has been subject to a variety of interpretations. Lefeuvre (1997: 335) identifies the upper component as - which he treats as the phonetic and comments that the lower part “ is very similar to . ” and suggests that it “seems to mean

47

6.3 The Xiesheng Series of � /� �/� * � �� w-k, � *pp-x�� w, � *p-x� w , � x� w , � * � �� w, * � �� w

Boltz (1994: 111) comments that the graphs � , � , � , �

, � , � , � and �

“comprise a series based on the character � with a pronunciation in the yu <

* -j � gw/-j � kw [� ] group, not read as tzu < * tsj � gx. This pronunciation does not

survive in the later stages of the language as a reading for the character � , of course,

but the evidence… suggests that it might once have been associated with � ,

probably as a result of using the simple zodiograph for ‘child’ to write the word

*grj � kw ‘child birth’ . It seems reasonable to suggest that at the early stage of the

language the word for ‘childbirth’ might be written with the graph that depicts a child

and that stands zodiographically for the word * ts� gx ‘child’ .”

Although the relationship of � to the other graphs seems more likely to be that of

zhuanzhu68, Boltz’s bringing together of all the above graphs should be commended.

However, especially in light of the fact that Boltz has already proposed a different

‘ to come upon something’ , ‘ to encounter’.” Takashima (2000: 381-384) has provided an alternative interpretation that the lower component is “ the abbreviation of � or � (= � )” adding that “ this is an abbreviated grapheme shared with the graph for xin � ” , and concluding that “Now if… [it] has the phonetic wu � , what possible word could have been represented by it? In my view the best candidate stil l remains wu � , ‘ to go against, resist’ .” Such an analysis allows him to translate the two contexts in which � occurs, before � and before � , as ‘ to go against the numen of the bone’ (ibid: 376) and ‘resist (the performance of) the rong ritual’ (ibid: 383) respectively. There may also be another alternative which, on the basis of such limited evidence, must also be very tentative. Based on the graphic confusion of � and � in the OB script, one could assume that the top component of � is in fact � . Such an interpretation is bolstered by the fact that there is one occurrence of the graph in Qianbian 843, reminiscent of the reduplicative forms of � /� � / � and � . As for the lower component, it may well be the graph ! , as Lefeuvre pointed out. While there is often a vertical line through the middle of the OB graph for ! , this is not always present and should not prevent a comparison from being made. The situation is much the same as with Takashima’s comparison with � where there is sometimes a horizontal or warped line in the graph and sometimes there is not. As a direct transcription, one could therefore propose the graph zi

" # ts$ < *kj%& ' ‘black’ . This would then

give the following translations: ‘blacken (the) rong’ , referring to the degree to which the rong, which Takashima (2003b: 215) has suggested may have been ‘strips of meat’, should be burnt; ‘blacken (the) plastron’ , referring to the degree of blackening caused by the application of heat in the divinatory process. As regards the latter interpretation, there is unfortunately no evidence of different degrees of burning on the plastron. Furthermore, the unclear semantic function of the graph ( , as well as the lack of information about the nature of the rong ritual in the former interpretation, means such an analysis must remain highly speculative in want of further evidence. 68 Although Sun Haibo (1934: 357) attempted to identify ) with the OB graph * , this suggestion has not been adopted by other specialists. Xu Zhongshu (1989: 1577) simply says “+ , - . / ” (what it is composed of is unclear) with the tentative suggestion that “0 1 2 3 ”(perhaps it is a place name). The earliest attested forms of xiào ) xa$wh are in the bronze script where they all contain the same upper component depicted in graphs like k4 o 5 khaw’ and l 4 o 6 law’ which was undoubtedly serving as phonetic. As noted in fn.4 above, Serruys (1957: 152-153) has suggested that máo 7 maw may have been an “endomorphic phonetic” in these graphs.

48

polyphonic reading for � (see 6.1 above), the assumption that this is an example of

polyphony may be questioned. While one might be tempted to assume that zì � ts� ’ < *kj�� � derived from a proto-OC rhyme * -�� �

, which in the case of the above list

developed into its variant OC reflex * -�� w, this seems unlikely for this would suggest

variant OC reflexes in the same xiesheng series. In fact, the solution may be found in

a thorough analysis of old forms of the graphs which suggests that they were actually

derived from a different xiesheng series headed by the OB graph � . This graph

seems to consist of a baby surrounded by parturition fluid. In the OB script, Xu

Zhongshu (1989: 1581-1582) treats it as a variant of the graphs � and � , depicting

either a human figure or a female figure giving birth to a baby. It may be

transcribed as yù � /� juwk < � �� w-k ‘ raise, nourish’ and seems to have a meaning

of ‘descendants’ 69: � �� � � � � � � � � � (Buci 162)

Jia Xu (day) divination, Lü tested: (On the) next Yi Hai (day), (perform a)

rong-ritual-sacrifice to (the) descendants (of) Zu Yi.

The word fú � phua� , in spite of its irregular EMC reflex, clearly rhymes as * -�� w in

the Shiji ng (supported by its xiesheng derivatives like fú � buw < *a� p-x�� w). If its

labial initial is treated as a prefixal element of some sort, its relationship with yù � /� juwk < �� w-k becomes apparent. It occurs in the OB script as ! , with the

alternate forms " and # , and Xu Zhongshu (ibid: 895-896) treats it as fú $ bua�

‘prisoner’ in inscriptions like:

% & ' ( ) * + , - . / 0 1 2 3 4 5 6 7 8 9 : ; < * = ; = > ? @ 6 A 7: ; < B ; B C D(Jinghua 6)

(On the) fourth day, (a) Geng Shen (day), (there) also was (the) coming of bad-news.

From (the) north, Zi Xi reporting says (on the) evening70 (of a) Jia Chen (day), (the)

Fang (conducted a) corrective-campaign at You. Captured people numbered 15 men.

(On the) fifth day, (a) Wu Shen (day), (the) Fang also (conducted a)

corrective-campaign. Captured people numbered 16 men. (This happened) on (the) 6th

month.

69 The graphs E and F are quite clearly depictions of the birth of a child. However, in the oracle-bone script the concept of birth is written with the graph G , usually given a functional, though etymologicall y unrelated gloss of mi H n I , and the graphs J and K seem to be exclusively used in a metaphorical sense for descendants. 70 The semantic distinction between xì L ziajk < *aM xja

NN Ok (see 2.3a) and xi

P Q siajk < *xja

NN Ok is

unclear.

49

Although there is no evidence of the parturition fluid in the graphs for � , it seems

likely that the graph was simpli fied in much the same way as the case of the �component in � (see 8.1) which is missing the phallus in the latter graph. Evidence

for such an assumption comes from the related graph b� o � paw’ , which the

Shuowen analyzes as “ � � � � � � � ” (derived from �

and from

abbreviated , is the guwen form of � ). As will be demonstrated below, its

bilabial initial was probably the result of a prefix. This would allow for a tentative

reconstruction of *p-x�� w� , although the exact nature of the velar initial is difficult at

this stage to ascertain with any certainty. While in the OB script it seems to be attested

as � , there are some bronze script examples where the parturition fluid is marked,

and it is also quite clearly marked in Xu Shen’s Han time form � , with the two

additional dots either side of � . In the OB inscriptions, it seems to have the same

meaning as attested in its modern form, and may function either as a verb ‘ to protect’

or a noun ‘protection’ :

� � � � (Bingbian 305)

(There will be) no protection, (he will) perhaps die.

Undoubtedly related to b� o �

paw’ < *p-x�� w� is h� o � xaw’ < *x�� w� (also read

in the departing tone as hào � xawh < *x�� w� ). It is attested in the OB script as � ,

differing only in its component, rather than ! in " , which compares nicely

with the variant forms # and $ of % /& . In the OB inscriptions it seems to only

occur as a personal name:

' ( ) * + , * - (Yibian 4098)

Tested: Lady Hao having (an) ailment is [= means] (there will ) be mishaps.

The graph yóu . juw < * / 01 w is not attested in the Shuowen. The Shuowen does

however list yóu 2 juw < * / 01 w which it analyzes as “3 4 5 6 ” (derived from 7

with 8 as phonetic). The late occurrence of the graph yóu 9 juw < * : ;< w suggests

that the reanalysis of the = component of > as the semantic determiner for the

whole graph ? , allowed a xiesheng series with words like @ to develop, with the

putative graph 9 at its head. Xu Zhongshu (1989: 732-733) transcribes the OB

graph A as ? , treating it as a place name:

B C DE F G H I J K (Kufang 1033)

Xin Mao (day) divination, Ji tested: (The) King perhaps hunts at You.

50

As for yóu � juw < * � �� w, Xu Zhongshu (ibid: 1199-1200) suggests that it is

derived from the OB graph � . Unfortunately Shima (1971: 149) lists only two

examples of its occurrence, both on the same fragment with no real context. However,

with the lack of any counter-evidence, Xu’s suggestion may be taken as it stands.

It was suggested that the xiesheng series outline above is headed by the OB graph � .

It may be further proposed that this graph is the original form of tú � /� dw� t <

*a k� w-t, and that � and � , with which it was equated above, may be exclusively

identified with the modern word yù /� juwk < � �� w-k. In this regard, Boodberg

has proposed the following zhuanzhu relationships: “The ‘ inverted child’ � *t’u� t is,

as has been recognized since Hsü Shên, equivalent in etymonic value to � * t’u� t –

‘ to come out suddenly’ (in which � *g’ i wet is probably ‘phonetic’ ), a synonym of � * t’ i ue

�t < BDu� t – ‘ to come out,’ on one hand, and of � * � u� t – ‘sudden’ and �

* ts’u� t < BTsu� t – ‘sudden,’ on the other. *BDut ~ BSut is also related to *BSoG

~ GLoG… [a]s shown by the reading * li� �� u < *GL � u for � … > � – ‘ to flow.’ I t is

probably this phono-semanteme ‘ to flow’ > ‘f luid’ which is represented by the alleged

‘hair streaming down’ in the lower part of � ” (1937: 350-1). More modern OC

reconstructions show Boodberg’s suggestion to be correct: xué � � w t < *a� k! w�" t <

*a� k! �" w-t, phonetic in tú # dw� t < *a� k�" w-t; chu$ % t& hwit < *kk'( w-t (also related

to suì ) swih < *xj'( w-t*); cù + (, ) tshw' t < *

*-kk'( w-t. Such an analysis firmly

supports the reconstruction of palatolabials in the xiesheng series of - /. , as well as

providing support for the bilabial prefix suggested for / and 0 , as it is also

attested in the words f1 i 2 phuj’ ‘( third day of a) new moon’ and p1 i 3 ph' j’ ‘sun

at dawn’ in the xiesheng series of chu$ % t& hwit < *kk'( w-t.71

71 Matisoff (2003: 464) compares chu

4 5 with its Erya gloss of ‘nephew’ with Proto-Tibeto-Burman

*m-tu ~ *m-du ‘nephew/descendant’ (the dental root initial often being connected with OC velars, as discussed in 2.1 and 8.4).

51

Chapter 7

A Polyphonic � ‘Woman’?

7.1 The Xiesheng Series of � � *na� � �

, � *nra� �

-n, � *�a

� � �-n, *

�a

� �-n, *

�a

� �-t, � *kra

� -n

On the basis of the graphs a�n � ‘settled’ , y� n � ‘tranquil ’ , nàn/nuán � ‘ to

quarrel’ and jia�n � ‘ licentious’ , which all belong to the OC � * -an rhyme group,

Boltz proposes that n� � ‘woman’ functioned as phonetic with “a second reading

that must have been approximately * � (r)an” (1994: 108). He further adds that “To

explain a graph as having two unrelated readings we must be prepared to show that

the meanings of the two words in question can both reasonably be seen to be depicted

by the graph. For the reading nü ‘woman’, of course there is no problem, the character � is in fact a zodiograph of a woman kneeling with arms crossed in front: � …

When the moment came, at the formative stage of the script, to write the word * � an

‘settled’ , or the clearly related word * � rans ‘ tranquil ’ , what better recourse than to use

the already established graph of the kneeling, i.e., ‘seated’ woman?... Before the

* � ran reading was lost, the graph must have been used quasi-paranomastically to

write the other two words in this set, � nan/nuan and � chien” (1994: 108).72

Pulleyblank has proposed the following alternative hypothesis: “In addition to the

words for which the graph � appears to be a speller for the phonetic kernel *na,73

72 A curious feature of bivalent and trivalent graphs that bear no phonetic relationship with their single form counterpart, is that many of them tend to fall into the OC * � m/� p and *am/ap rhyme groups. One may note: lín � lim < * -�� m and se

�n � � im < * -�� m; yán � wiam < * -a

�m and yàn � ji amh <

* -a�m

; p! n " phim’ < * -�� m# ; xié $ % & p < *-�' p. No such correlation seems to exist for the initials,

but it is significant that the word sa�n ( sam < * -�' m also fall s into this rhyme sequence. Sagart has

suggested that “ the root in san1 ( is that found in can1 ) in the meaning ‘accumulate’. The same root (with unexplained final -* ) occurs in tan3 + *a(C, )-hl -m* > thomX ‘numerous’ : ‘ three’ is the minimum number for an accumulation. In this connection a more plausible true cognate of san1 ( in Tibeto-Burman is Lushai hlom ‘ in numbers’ (also has the idea of ‘many, all or several’ )” (2001: 151). While this does not seem to be reason enough to reject the phonetically very suitable Tibeto-Burman cognate *g-sum ‘ three’ , Sagart’s point that “ ‘ three’ is the minimum number for an accumulation” is very pertinent and perhaps explains the phonetic association with three for these graphs. While including the bivalent graphs in this may seem curious, one may note that the number of valents in the graph was not a reference to a specific number in the real world and was merely a means of differentiating the graphs according to their semantic nuances, e.g. � ‘woods’ and � ‘ forest’ . 73 Pulleyblank (1998: 155-6) provides the following examples: “As far as rú . is concerned, there is li ttle basis for assuming that the OC initial was anything other than simply *n-, like that of r/ 0 (1 ) ‘ you’… The words with 2 as phonetic speller include such words as rú 3 EMC 4 5a6 ‘ interlaced (roots); eat; estimate,’ shù 7 EMC 8 5a6 h ‘ kind, forgiving,’ xù 9 EMC s5a6 h ‘raw sil k, floss; cotton wadding,’ also read chù 9 EMC trh5a6 h ‘ to season food’ and n: EMC nr 5a6 h ‘ knotted and muddled silk floss.’ One may hypothesize that except for the first of these, which presumably had the bare initial *n-, the other words had prefixed consonants of some kind but without more evidence there is no way to tell

52

by itself or enlarged with various consonants, there are other words where it appears

to stand for *an, that is, the same consonant and vowel in the reverse order… In

support of the hypothesis that the ‘woman’ graph could be used phonetically for *an

as well as *na it is interesting to note that � is once written for � in one passage

of the silk manuscripts of Laozi from Ma Wang Dui. This is late, but it suggests that

even at the end of the third century BCE the phonetic connection was felt to be close

enough for ji � jiè” (1998: 157-158).

In spite of the fairly liberal constraints on what could and could not constitute a

xiesheng series, Pulleyblank’s hypothesis, in much the same way as his proposal that

there is an inverted relationship between the roots � *m-j-kw and � *kw-j-m (see

fn.45), seems somewhat far-fetched. Although it will be seen that Boltz’s arguments

for a polyphonic � are misled, Boltz’s suggestion that there is a relationship

between words like � and � is a good one, and this is something to which

Pulleyblank does not make reference. In the oracle-bone inscriptions, � � is most

commonly found as a personal/place name, however there are cases where it seems to

have a semantic function very much like the one attested today:

� � � � � � � � (Xubian 5.6.1)

Gui You (day) divination, Zheng74 tested: (If the) King’s stomach doesn’t settle,

(there will be) no progress.

This meaning seems to be almost diametrically opposed to the meaning assigned to

n(u)án � n(w)a� n in the Shuowen “ � � ” (to quarrel), a graph which does occur in

the oracle-bone script as � , but whose usage is confined to a personal name.

Ignoring any fanciful folk etymologies that a woman in a house is calm, while two

women together are quarrelsome, it seems highly likely that � was playing a

phonetic role in both. In fact it seems that all of Boltz’s and Pulleyblank’s xiesheng

derivatives may be accounted for by the simple positing of morphological * -n and * -t

what these consonants may have been… Other words written with nú � [EMC n� ‘(wives and) dependent children] as phonetic include: nú � EMC n� ‘ treasury,’ also used for nú � ‘wife and children’… n� � E. n� ’ ‘ crossbow’ ; n� � E. n� ’ ‘exert oneself, strain’ ; nù � n� h ‘angry’ ; ná � EMC nra ‘ take’ etc. More aberrant are náo ! ‘clamour’ and náo " ‘disorderly,’ both EMC nra w and obviously variant spell ings of the same word.” 74 Xu Zhongshu (1988: 285-286) transcribes # as guài $ , stating that the semi-circular component in the middle of the graph “ % & ' ( , ) * ( + , - . / 0 1 , 2 3 4 5 / 6 7 , ) ' / 8 9 , :0 ) ; < = > ” (depicts the form of a jade pendant, a ‘bi’ jade of a ring-like shape with a hole, a huiyi with two hands grasping it, the original character for ? ‘ jade pendant’, derived from @ ‘ jade’ with a signifier added later ). The graph A does not occur in any other contexts than a diviner’s name, and neither zhe

Bng C nor guài D are attested in the Bronze script. Here the transcription of zhe

Bng C is

adopted because this seems to account better graphically for the two hands in the original palaeograph. One may compare it to the graphs E and F , usually glossed as shòu G and yuán H respectively.

53

suffixes. There are two sources of evidence that they must be suffixes, rather than

original codas: Internal xiesheng evidence in words like n� � nr �a� ’ < *nra� � �

‘woman’ 75, nú � n� < *na �

‘ like, if ’ , nán na�n < *nra �

-n ‘ to quarrel’ 76, y� n� �a�n’ < *

�a �

-n ‘ tranquilize’ , a�n �

�an < *

�a �

-n ‘settled, peaceful’ , è� �at

< *�a �

-t ‘rotten meat’ , è � �at < *

�a �

-t ‘bridge of the nose’; the external

etymological relationship between rú � � �a� < *na� �

and ruò � � �ak < *na� �

-k

‘accord with, like, if ’ where a * -k suffix is being employed. As regards the alternation

in initial components between *n- and *�-, a similar case may be noted in the

xiesheng relationship between yo�u �

�uw < *

� ��w and náo � naw < *n

�w. The

way to a full explanation probably lies in an examination of words like nia�n/ya

�n � �

ian where, as noted by Pulleyblank (1994: 95), the word has developed an

alternative reading with an *n- initial from an EMC *�- initial. In addition, Yuan

(1960: 33) has pointed out that “� � � � � � � , ! " # $ % & ' ( ) � � � , * � : ‘+ ’‘ , ’‘ - ’. ; / 0 # $ % , 1 2 3 4 5 � 6 7 8 , & ' 9 % : , 9; < ' = ) > -, ? @ A B C D E F G H ,I “J ” “K ” “L ”M N , O P Q cnie, cni,

cnian, R S Q c ie, c i, c ian” (Among Beiji ng words with qichi [unrounded high

front vowel] initials, a portion of them in certain areas are all words with soundless

initials, for example ‘yiTn’ ‘ yán’ ‘ yóu’ ; another portion of words, even some derived

from the old yi [ U ] initial, in certain areas have differences, in many areas it is ‘ zero’ ,

while there are also several areas where it is a nasal sound like in the three words

‘yè’ ‘ yí’ ‘ yán’ read in Zhongqing [Chungking] as cnie, cni, cnian, in Chengdu as c ie,

c i, c ian).77 Accounting for the velar initial in the word jiaTn V kaWn > *kra

X Y-n

‘ licentious’ , is much simpler. Pulleyblank treats the initial glottal stop as “an

obligatory onset for vowels” which seems likely as there are “a large number of

xiesheng series in which Z - occurs by itself as the only initial. This is unusual in the

case of other consonants” (1995c: 290), but also notes that “There are, of course, also

cases in which glottal stop alternates with other consonants, especially velars, where

75 Matisoff (2003: 173) compares this with “WT [Western Tibetan] nya-ma ‘mistress of the house, housewife’ . Also apparently in this word family are WT nyag-mo ‘woman’ , and Chinese [ /\ ‘ lady, woman, mother’ OC ni] ang [in the reconstruction used here: nr ^a_ ’ < *nra_ a ].” On the basis of Tibeto-Burman evidence, Pulleyblank has suggested a reconstruction of nb c as *wna(d )a arguing that “ I suspect, however, that it was actually a prefixed consonant that prevented the initial *n from palatalizing and caused it to become retroflex instead. Benedict has suggested a connection with Tibetan mna-ma ‘daughter-in-law’ and related forms in other Tibeto-Burman languages (1972: 187) which seems quite persuasive from a semantic point of view. One might, for instance, reconstruct *wna

e(f )g , assuming that in Tibetan the prefixed consonant assimilated to initial nasal of the root while

in Chinese it unrounded to velar [f ], which being acousticall y close to retroflex [h ] would have fused with the following [n] to give the EMC form” (1998: 149). Such a hypothesis does not fit with the argument presented here that nb c nr ^ai ’ is phonetic in nán j na^n, the Grade II vowel quality of the latter being representative of a feature of retroflexion. 76 This graph also has a variant reading nuán j nwa^n < *nra

kw-n.

77 The symbol represents a palatal-alveolar nasal. The tone marking c represents yangping l m .

54

acoustic similarity may have played a role in the choice of phonetic spellers” (ibid.).

7.2 The Xiesheng Series of � � * � �� � , � * � � �� � �

Commenting on the oracle-bone graph � , generally transcribed as lái l � j, which

often appears to consist of above , Boltz suggests that this “arise[s] from the

use of the reduced lai < *m-r �� h as a phonetic determinative to specify precisely

that the intended reading of the potentially ambiguous bottom element is based on its

use to write muu < *mrw�� � by the addition of the two extra strokes conventionally

used to distinguish from � . The reduced lai is thus not only a phonetic

determinative, but a redundant one at that. And the explanation… is in a sense the

same: the graph � is used with its muu < *mrw�� � lexical (and thus phonetic) value,

not neu < *gna � , even though it looks like � , not , and is thus a perfectly natural

phonophoric in a script that recognizes and allows for the polyphonic use of graphs”

(2001: 4). The story however cannot be that simple for, in spite of belonging to the

same OC zhi� � * -� � rhyme group, m� � m� w’ and m� i � m� j’ have different

EMC rhymes,78 a phonological difference which Boltz says “ is not clear” (ibid).79

Karlgren (1934: 43) attempted to explain the apparent discrepancy by positing a

medial -w- in � : “A general rule in the hie sheng characters says that k’ai k’ou

78 A similar alternation in Type A syllables occurs in the xiesheng series of � which has derivatives li ke bèi � b� j’ and póu � b� w. Baxter (1992: 468) makes reference to an Yìji

�ng rhyme sequence

where the word � appears to rhyme in the � � � � *-a group (however see the discussion in 5.3 above). This suggests that the EMC unrounded codas originally derived from * -� . One may further hypothesize that * -� then became * -� w, to form that small group of words li sted in the OC ! * -� w rhyme group with EMC reflexes of * -� w, rather than the more standard * -aw, that Baxter (ibid: 507-509), who reconstructs it with a notational *-U, suggests may have occurred after labial initials. There is also evidence to suggest that the xiesheng series of " derived from * -� due to the xiesheng derivative w# $ mua% rhyming as * -a in the Shijing. However by Shij ing times & and " rhyme together which suggests a change * -� > * -� ' . The reasons for the alternation in the OC reflexes * -� ' and * -� w derived from proto-OC * -� has yet to be established. 79 It should also be noted that there is a similar discrepancy in the EMC reflexes of Type B syllables after labialized initials of the Zhi

� ( * -� ' group which appear to be of two forms: -uw and -(j)wi. This

is epitomized by the graph ) which has the pronunciation gui� < kwi as well as qiu

� < kuw. Unlike the

distinction in Grade-I, this encompasses a much greater variety of words and often cuts through individual xiesheng series. The solution to this problem will most likely lie in the identification of a distinct feature affecting the initials of the relevant words, rather than in the in any re-assignation of phonetic components as wil l be shown to be the solution to the problem addressed in this paper. Li Fang-kuei (1971: 32) accounted for it with a distinction between a medial -j- for words with an EMC -uw final and -ji- for words with an EMC -(j)wi final. Unfortunately, he provided no explanation for the reasoning behind this and it seems more of a notational device than any phonological statement. Baxter (1992: 470) suggested that “rounding assimilation was blocked by medial * -r, presumably because the change * r-color fronted vowels after * -r- so that the conditions for rounding assimilation were not met” . Unfortunately he is unable to provide any substantial evidence for this claim and admits that “ the exact formulation of this change is unclear” . The question remains open.

55

[rounded initial] and ho k’ou [unrounded initial] words do not serve for each

other…Here we have � m�� u phonetic in � muâi. Is it then possible to reconstruct � Arch. m� g phonetic in � mw� g? Yes it is. For the words with labial initials are

exceptions from the general rule.” Unfortunately, while labialized labials do occur in

some languages, such a phenomenon is unattested in Chinese and this makes

Karlgren’s solution very unlikely. In Li Fang-kuei’s re-analysis of Karlgren’s system

of Archaic [= Old] Chinese, he comments that the rounded coda “clearly evolved

under the influence of labial initials” (1974: 254) but then fails to provide a solution

to the problem, stating that “We are still uncertain about this and are unable to specify

why * -� g after labials came to have two readings” (ibid.). Instead of focusing on the

initials, Baxter attempted to explain the distinction by assigning the two words to two

separate OC rhyme groups with the suggestion that the rounded final originally came

from the Hóu � group but shifted to the Zhi� � group in certain cases: “Thus we

have…�

m� < muwx < *m(r)o ‘mother’ , � m i < mwojx < *m� ‘each, every’…

The problem is that the syll ables I reconstruct as *P(r)o regularly rhyme as * -� in the

Shi�ji�ng… and show xiéshe

�ng contacts with words in * -�… I account for these facts by

assuming that *P(r)o merged with *P(r)� in some Old Chinese dialects, including

some represented in the Shi�ji�ng and in xiéshe

�ng characters” (1992: 466). Such an

explanation is also inadequate for, as Pulleyblank observes, a shift of m� �

from the

Hóu � group to the Zhi� � group in the Shiji ng dialect “ is not consistent with the

fact that w� � rhymes in the hóu group in the Shiji ng” (2004: 158). As an

alternative hypothesis, Pulleyblank has suggested “ it would be tempting to attribute it

to a survival of the older distinction between * - � and *- � ” (ibid). A shift of *m�� �

> m� j and *m�� � > m� w does make sense phonologically, wi th the high palatal feature

of � being preserved in its EMC reflex -j. Unfortunately, as noted in fn.78, from the

perspective of the Shiji ng rhymes there seems to be no such distinction in the zhi� �

group, unless one simply assumes that the two finals * -� � and *-� � were close

enough to rhyme together.

In fact, a solution had already been hinted at by Pulleyblank (1995a: 188) who

suggested that it is the “additional graphic element [above �

] that is perhaps

connected with the fact that the Middle Chinese final is - j rather than - w”, but

developed this no further. As Boltz, and others, have observed, this additional element

often appears to be lái � l � j < * � �� � < * � �� � which has derivatives such as mài �

m� � jk < * � � r �� k < * � � r �� � k. 80 One may assume that this was also the phonetic in m� i 80 The idea proposed by Sagart (1999: 183) that “ the graphic connection with mai4 � strongly argues for a lost iambic prefix m� - in lai2 � ‘ to come’” is unlikely as shown by Ting’s observation that Sagart’s proposal for disyllabic iambic words in Old Chinese is a violation of the Monosyllabic Principle of one character representing one syllable and that “ in the absence of rational arguments to

56

� m� j ’ < � � �� � � < � � �� � � and its derivatives like hu� xw� j ’ < *x� �� � � < *x� �� � � ,

and that the xiesheng series of m � m�� w’ < m�� � � was totally unrelated. In the

case of the latter, the labial initial would have rounded the final coda, while in the

case of the former, it was the palatal feature of its front-rounded initial that spread.

The spreading of the palatal, rather than rounded, feature of such initials is supported

by Pulleyblank’s observation that xù � / xwik ‘water channel, city moat’ “rhymes

in � kj in the Shiji ng, where it is written � with xu� � EMC xw� t <*x � �� kj ‘ blood’

as phonetic” (1995a: 183). One must of course assume that the shift * � � - > *m- was

completed only after the labial feature of the initial had spread to the coda in words

like m� � m� w’ < *m�� � and that a similar spread did not occur in later stages of

the language.

As regards the discrepancy over the lower component being m� � or n� � , a

similar interchange may be noted in the words � and � , represented

interchangeably by , or by its variant with a line in the middle . One may note

that many other characters that now contain the modern graph for ! were

sometimes written in their earliest forms with the two dots of " and yet did not end

up being transcribed in this way. As it turns out, m# i $ and its derivatives are the

only ones out of numerous examples that did. It may be suggested that this occurred

because the shift of the * % & - initial of $ to a labial, meant that $ became

phonetically more similar to " than to its original phonetic ' . This would then

effectively explain the later development of the script with " not only being used as

the substitute for ! , but it also reducing ' to a peripheral component at the top of

the character as it took over its status as the perceived phonetic.

With the phonological problems out of the way, a further difficulty with $ that

should be addressed is exactly what its original meaning was. In the oracle-bone

inscriptions it may be found in sentences such as the following:

( ) *+ , - . (Xucun 2.744)

Wu Shen (day) divination, perhaps burn (at the stake) three .

.

Contrary to standard interpretations of ,

as / , Qiu (1983-5: 292-3) observes that

“The ancient practice of burning people in order to seek rain is well borne out by the

oracle bones, which often mention the ,

rain seeking ceremony… The Shuo wen,

‘Huo bu’ says ‘/ , 0 1 2 3 . 4 5 , 0 6 (jiao means to cross sticks and burn them;

from fire, jiao sound).’ This meaning does not tally with the use of the oracle-bone

the contrary, there is no reason to reject this meaningful principle.” (2001: 199).

57

graph,

... We propose that the element � is not 0 , but a variant of � . .. [being]

almost identical to certain forms of the character � ” .81 Qiu’s suggestion that huáng � � wa� < *wa� � may be treated as the phonologically very closely related wa

�ng � �

wa� < *�a� wa

� � ‘crippled, deformed (person)’ is strongly supported by Qiu’s

suggestion that the direct objects following ,

are “probably for the most part the

[female] people who were burned in order to seek rain… In view of the ancient

written records regarding the burning of and � , it seems most logical to

conclude that these women were probably witches” (ibid: 301). As for the graph wu �

mua� which may be reconstructed as *mra �

< *m-�a �

, Qiu posits no such

phonological connection, however one may suggest a word family relationship with � m� j’ < * � � �� � � < * � � �� � � . In its nominal sense, this would suggesting a similar

meaning to that of wu �

‘witch, shamaness’ , and in a verbal sense, a meaning of

‘become bewitched/possessed’ 82:

…� � � � � (Jimbun 2043)

… (The) King shouldn’t83 hunt. (He will) perhaps (become) bewitched.84

Shima (1971: 136-7) lists numerous inscriptions containing m� i � . Noticeably, when

a subject is specified it is almost always wáng � ‘king’ , and the majority of the

inscriptions are of a hunting related context. According to Shafer “words belonging to

the wang [� ‘king’ ] family are: � k’uang (*k’ iwang) ‘square box,’ ‘ crooked(!)’ ; � k’uang (*g’ iwang) ‘mad’ ; � wang (* -iwang) ‘crooked,’ ‘ depraved’ ; kuang

(*kiwang) ‘deceive.’ The predominant ideas are ‘crooked,’ ‘deceitful,’ ‘mad.’ Wang

(*wâng) ! itself is said to connote ‘emaciated,’ ‘crippled.’ This group of words

81 Whether one can further extrapolate Qiu’s findings to include other cases of graphs generall y transcribed as " remains debatable: e.g. Heji 806 # $ % & ' ( ) * ‘Jiaxu (day) tested: Order Niao (to) seek + . (He) acquired (him)’ , where Qiu (1986: 186) treats , as - saying “ ‘- ’. / ‘0 ’ , 1 2 3 4 5 6 7 8 9 :

. ; : < = > : ? @ A B C, D E F G / H I ” (Read J as

K, indicating

the shape of a kind of deformed abnormal person. When Yin people held sacrifices involving burning people to seek rain, they were often the sacrificial victims). 82 This interpretation of mL i M differs from the standard interpretation, voiced by Xu Zhongshu (1988: 46-47), that suggests it should be treated as huN O ‘regret’ or huì P ‘become dark’ , depending on context. Both of these interpretations seem rather arbitrary with no real justification. 83 Serruys (1974: 59) comments that “The real argument for Q as a variant of R [is] that…. Q is almost exclusively found in period III of the bone inscriptions. In these pieces we can see the negatives S

, T , U are in no way lacking, but that it is exactly R which is glaringly absent.” Takashima (personal communication, 2004) has suggested that palaeographically the graph V (=R ) may be considered an abbreviation of W (=Q ), with the two dots on the left of the graph being a sign of repetition. 84 One may also note that mL i M is always negated by fú

S put which according to Takashima

(1973; 1996.1: 364-382) is used before non-modal (i.e. uncontrollable), non-stative verbs, which is exactly what an interpretation of ‘become bewitched/possessed’ entails: …X Y Z …

S M (Jimbun 2049) …(The) King (should) perhaps hunt… (He will ) not (become) bewitched.

58

suggests strongly the shamanistic character of the prehistoric Chinese king, and

probably the delirium of the great shaman when possessed by a spirit, and the

deceitfulness of his oracle. Compare the kinship of wu � ‘shamaness’ with wu �

‘ false witness’… Now the wang � was the wang � – the king in his ceremonial

role as the chief of the shamans” (1951: 161-2). If Shafer’s analysis is correct, one

may conclude that the diviners were concerned about allowing the Shang king out

into the countryside in case he became possessed while away from home. This is

supported by Keightley’s (2000: 116) observation that “To the extent, accordingly,

that the Shang kings found strength and support – political, religious, and

psychological – in their settlements, camps and cult centers, they would have felt

exposed, vulnerable, and uncomfortable in the open countryside where the protection

of their ancestors, no longer focused in the cult center, would have been dissipated by

distance and subject to challenge by whatever powers took strength from the local

landscape and its communities.”

As regards the etymological development of m� i � , one may note that in the Bronze

script, it is often glossed as m�n � min’ with a meaning of ‘diligent, thorough’. By

the time of the Shujing, Shiji ng and Lunyu, it seems to have developed its present day

meaning of ‘each, every’ , while in the Zuozhuan and the Shuowen it is given the

meaning ‘ luxurious vegetation’ , now written as mèi � m jh. The common semantic

theme of all the above glosses is one of pervasive abundance, a logical derivation

from a graph which originally referred to spiritual possession/bewitchment. Keightley

notes that “The oracle-bone graph was certainly ancestral to the graph for the

later term wu � , ‘ spirit medium,’ but it is doubtful that it had such a meaning in the

Shang inscriptions, where it appears, in a number of inscriptions, to have served as the

name of a Power to whom the Shang offered cult… The very shape of the oracle-bone

graph suggests the quadrate nature of the Power concerned. On occasion, in fact,

the Wu powers were identif ied with a particular direction” (2000: 72-73):

� � � � � � (Heji 34157)

Xin Hai (day) divination: (Perform a) small di-binding-sacrifice85 (to the) North Wu

One may assume that m� i � , which originally denoted Keightley’s ‘spirit medium’,

later became indistinguishable from the directional power wu� � with which it

merged, while the graph � itself went on to develop independently, ultimately

85 Takashima (2003b: 156) states that “ the interpretation of taking � as � ‘bind, tie up’ is supported by the fact that it is followed by such sacrificial victims as dogs, pigs, ovines, fowls (roosters), and human (often the Ch’iang men)”.

59

leading to its modern day meaning.

60

Chapter 8 Other Suggestions of Polyphony

8.1 The Xiesheng Series of � � *kra� �

-l � , � *kra�� �

, � *kra�� �

Boodberg argued for a polyphonic role for the character sh� � ia on the following

basis: “� *s�ia - ‘hog,’ ‘pig.’ Synonym and homograph of � * âi ... Undoubtedly

‘phonetic’ in � *ka – ‘house.’ S[huo]W[en] 7B states that � *ka is abbreviated

‘phonetic’ in the latter which is the equivalent of saying that � was also read *ka.”

(1937: 341). Boltz has tried to provide further support to this hypothesis by suggesting

that the graphs zhu� � tr �a < * -ra

� � ‘pig’ , ba

� � pa� < *-ra

�� � ‘sow’, qú � g�a <

* -ra� �

‘kind of boar’ all also took a polyphonic � as their phonetic, stating that

“Were it not for the graph � chia < *krag, we would be inclined to see the �

element… merely as a semantic determinative, the other element in each case being

the phonophoric” (1994: 118).

Boltz’s failure to thoroughly examine the oracle-bone forms of the characters in his

analysis of the script has been commented on before.86 Had he done so in this case

for the characters � , � and � , he would have realized that the above hypothesis

is untenable. The graph � is found in the oracle-bone inscriptions as � where,

besides functioning as a place/personal name, it has the meaning of ‘pig, swine’ still

attested today:

� � �� � � � � ! " # $[=% ]

& (Heji 32674)

Ding Si (day) tested: Hold (a) liao-burning-sacrifice to Fu Ding (of) 100 dogs, 100

pigs (and) liu-cutting-sacrifice87 100 oxen.

An OC reconstruction of *kra'l ( for sh) # * ia+ ’ is suggested by the Shuowen gloss of

86 See for example, C.A. Cook’s (1996: 403-5) review of Boltz’s work where she states: “The analysis of palaeographical sources, and not simply the early Han manuscripts from Mawangdui with which Boltz is most familiar, is one serious lacuna in this otherwise worthy book… Boltz is clearly only comfortable with the post Qin-Han reformation standardized script. He relegates paleographic texts for use as mere tools for the comparison of local graphic variants and not as primary linguistic material” (ibid: 404). 87 In a sacrificial context, the graph , - is read as liú . , following the interpretation of Takashima (1996:2. 88) that “Mao is normally understood as ‘ to slaughter.’ This is based on the meaning of li u . (*lj / gw) ‘ to kill , mutilate, destroy,’ a word from the classical Chinese lexicon written with a xiesheng graph which has - (*mr / gwx) as its phonetic. The graph for mao, with its equal sides and central division, must have embodied some concept related to the idea of ‘divided-into-half’ or ‘biform,’ though it is diff icult to make any more specific deductions.”

61

its xiesheng derivative � for which the Shuowen says “� � � ” (read as � ),

which may be reconstructed accordingly: sh� /ch� � � ia� ’ < * kral .

As for the graph jia � ka� < *kra

� ‘male pig, boar’ , Xu Zhongshu (1988: 1049)

uses it to transcribe the OB graph � , giving the following definition: “� � � , � �� �” (male pig, used as sacrifice):

� � � � � (Bingbian 114)

[Offer] 10 boars to Shang Jia

A relationship between sh� � and jia � is exemplified by the middle component

of the OB graph � which seems to have been written interchangeably as � or �

in Period-I inscriptions. Xu Zhongshu (ibid: 798-799) glosses the graph as jia � ka�

< *kra �

which, aside from a personal/place name, defines it as “� � ! � ” (that

in which a person lives) and “" # � $ % ” (former king’s ancestral temple):

…& '…( ) …* � � � � ) … (Tieyi 1.7)

…Wu (day) divination… tested: Perhaps… (sacrifice) bao-captives88 to Shang Jia’s

ancestral-temple. Perhaps…

On this basis, one may assume that the middle component of the � � was

originally � � but was abbreviated to + � as the script developed. This concurs

with the Shuowen analysis of � as: “, - . / 0 ” (derived from 1 with 2 as

abbreviated phonetic). The reason for this substitution, aside from graphic

simpli fication, must have had something to do with the phonetic relationship between

the graphs. It may be assumed that the word sh3 4 5 ia6 ’ was formed by adding a

suffixal * -l to the root form *kra7 8

(to give a form *kra7 8

-l 9 , also distinguished by its

glottal feature giving rise to a tonal distinction), which is attested in jia: ; ka< <

*kra== 8

and jia: > ka< < *kra

== 8. One may note that the component ? , a graph which

first seems to appear in the bronze script and is given the meaning “@ A ” (‘ to

borrow’ ) in the Shuowen, was added to the graph later simply to specify its

pronunciation.

88 This follows Takashima (2003b: 408-409) who suggests it as a functional interpretation on the contextual grounds that “B can be possessed” ; “B is modified by to C ‘many’… as well as by ta D ‘big’ ” ; “B is collocated with chih ‘shackled prisoner’ .” He also adds that in the case of Bingbian 330, it occurs with other inscriptions “ in which the Shang ritualists were concerned with making an offering (E ) of fa F ‘decapituri’… of fu G ‘captive’ (yet another kind) and chieh H ‘handmaiden (?)’ .”

62

8.2 The Xiesheng Series of � � *kk�� � -n�, � *xj �� � � , � *xj �� � � , *kwr �� � � , *p-� a� �

There is no obvious phonetic relationship between cùn � tshw� nh and sh� u � � uw’ . Consequently Boodberg concluded that “we must note � *ts’u� n – ‘ inch’ <

‘ thumb’ < ‘hand,’ which is graphically identical with � *s�i� �� u – ‘hand’ and in this

last reading is ‘phonetic’ in � *s�i� �� u, � * t’âu, phonetic sub-determinative in �

*d’âu, ‘etymonic’ in � *ti� �� u – ‘wrist,’ and phonetic in � **d i� �� u” (1937: 343).

Undoubtedly, his inabil ity to see the phonetic connection between the two graphs was

due to the relatively youthful state of Old Chinese reconstruction in his time.

Neither cùn � nor sh� u � are attested directly in the oracle-bone script. However

one may note the occurrence of � which Xu Zhongshu transcribes as zu�n � tsw� n

with the tentative gloss “� � ! " # $ % , & ' ( ) ” (possibly has a meaning of

offer upwards in tribute , used as a sacrifice name) in inscriptions like:

* + ,- . � / 0 1 2 [=3 ]4 5 6 7 8 9 : ; < (Lin 2.3.2)

Bing Wu (day) tested: = offers (in tribute) gui-cut 89 Qiang, thirty,

liu-cutting-sacrifices three specially-reared-sheep, fu-sacrifices90 one ox to (the)

ancestral-temple. (They were) used. 8th month.

One may also note > , glossed as shòu ? /@ A uwh with the same meaning it has

today, in inscriptions like:

B C D ? (Bingbian 407)

Tested: (The) King (should) go hunting.

That cùn E tshwF nh and shG u H A uw’ are probably related is shown by the graph

zhG u I truw’ which graphically contains the phonetic cùn E , but in its modern

pronunciation sounds very similar to shG u H . The * ts- initial of cùn E tshwF nh

must have developed from a palatovelar *kj- indicating that the medial -w- probably

arose from the addition of a suffixal * -n to what was originally a rounded coda. Other

graphs in the xiesheng series suggest that this rounded coda was *-J . This would

89 The graph K , seeming to depict a kind of axe, which appears to be the predecessor of suì L , is treated here as guì M . 90 The graph N seems to depict a quiver of arrows. Xu Zhongshu (1989: 486) transcribes it as O ‘quiver’ with the suggestion that it should be read as pì P ‘split open’ . The phonetics fú Q buwk and fú R buwk are homophonous making this a very plausible hypothesis, especiall y in the light of the above inscription where it is written with two other cutting sacrif ices.

63

suggest an OC form *kkjw� � n� < *kk�� � -n

� where the suffixal * -n has caused metathesis

of the labial feature of the * -� coda, causing palatalization of the initial and leaving a

rounded medial * -w-. Such a reconstruction compares nicely with sh� u � � uw’ <

*xj �� w < *xj �� which is related to the Type A word t� o � thawh < *xj � �. The

graph zh� u � truw’ is also obviously related, although its initial * t- is somewhat

more difficult to explain. Pulleyblank has suggested that *xwr- > trh- in words like

ch� u � trhuw’ , where the initial cluster “can account for both the retroflexion and

aspiration of the EMC form” (1991b: 55). The word ch� u � trhuw’ is undoubtedly

related to zh� u � truw’ , which suggests that an initial cluster *kwr- could account

for the non-aspirated EMC initial in the latter, giving a reconstructed form of *kwr �� .

Supporting evidence for this may be found in relationships like zhu� � t� ua� < *kwja

�

and zhu� � trua� < *kwra

� �. Undoubtedly also related to this word family is the

xiesheng series of fù � pua� h. In this case the EMC initial could well have been the

result of a prefix, and for it to be maintained implies that the root initial of the word

must have been a glide or fricative of some kind. A tentative reconstruction of fù �

pua� h < *p-ja� � �

< *p-� a� � �

would effectively account for this.91

8.3 The Xiesheng Series of � � * -ra�jk, � *-��� j � , ! * -r �� j � , " *-r �� j � , # * -�� j �

Boltz suggests a polyphonic reading for cè� t$ h� % jk on the basis that “phonetically

the word ts’e < * tshrik [� ] has nothing in common with either pien < *pjanx [! ] or

shan < * san ~ *sran [" ]” (1994: 119).

Without even attempting phonological reconstructions of the three words in question,

the fact that they are all related may be shown by a proper palaeographical analysis.

Firstly, the oracle-bone form for � , & , often appears to occur in exactly the same

context as di' n ( t) n’ , * , which in EMC would have had the same rhyme as a

word like bia+n , p) n. Matsumaru and Takashima (1996: 62-3) list them in the same

category (0259) as variants of one another:

- . / 0 1 2 3 4 5 6 7 8 (Bingbian 315)

Bing Shen (day) divination, Nan tested: (If) Jia raises (the) document [= takes the

commission], (issue a) call (to) follow (him to) attack (the) Ba (tribe).

9 : ; < =…

3 > 5 6… (Kikko

? 2.11.11)

91 Matisoff (2003: 198) compares the xiesheng derivatives fú @ ‘ intestines’ and fA B ‘bowels’ with Proto-Tibeto-Burman *pwu ‘ intestine’.

64

Ren Shen (day) divination, Nan tested: …raises (the) document [= takes the

commission], (issue a) call (to) follow…

Similarly there are two graphs � and � , composed of � with � or �

respectively, that occur in similar contexts (although � is occasionally also found as

a variant for � or � ) and appear to have variant forms � and � where the �element has been replaced by :

� � � � � � � (Xucun 1.1603)

Yi You (day) divination, tested: The King (makes a) pledge (by inscribing)92 to Zu

Yi.

…� � � � � � � … (Nanbei, Fang 5.58)

… Wei (day) tested: (Make a) pledge (by inscribing) to Bi Geng…

Furthermore, as for the word bia�n � p� n, mentioned above, this seems to be attested

in the oracle-bone script as � , a graph which could be directly transcribed as � ,

with � , rather than � , as phonetic. Unfortunately the meaning of this word is

unclear and so the correspondence must be made purely on graphic correspondences.

As regards a phonological reconstruction of these words, the initials seem to have

been affected by a complex process of prefixation about which knowledge is lacking

across the whole Sino-Tibetan family, and so no concrete proposals will be given here

for their reconstruction. As for the finals, there seems to be a morphological

alternation between nasal and plain palatovelars in the coda: *�-j � or * jk: cè � t� h� jk

< *-ra�jk, di! n " t# n’ < * -$%% j & ' , pia

(n ) phjian > * -r $* j & .93 The situation for sha

(n +

, a- n > * -r $% j & is a little more complex as one must assume vowel lowering of * -$ -

to -a- to have taken place between OC and EMC, as the expected EMC reflex would

have been , $ - n, although the required environment of a labiovelar initial, as

postulated by Pulleyblank (1991b: 72) seems to be lacking. A parallel situation may

be observed in the case of the graph zhà . t, h$ - jk for which the Shuowen says “/ 92 Takashima (2003b: 115-119) suggests the graph 0 has a meaning of ‘pledge by inscribing’ when occurring by itself and a meaning of ‘stab, pierce’ when occurring before animal/human sacrificial victims. He equates it with the word cì 1 tshiah < *kkjra

2jk

3 ‘stab, pierce, inscribe’ . This seems li kely

for 4 is a derivative of cè 5 t6 h7 8 jk < *kkjra9jk, which Qiu (2000: 268) observes “was often

borrowed to write ‘: ’ cè ‘register, book’ ” in ancient texts. 93 The Shuowen analysis of pia

;n < phjian as “ = > : ” should, according to Miller (1953: 207-209),

be read “ = > : ? ” (derived from @

with A as phonetic). Miller suggested that phonetics that no longer made sense to the Song editor of the Shuowen, Xu Xuan (916-991), whose version of the Shuowen was the only one that survived to the present day, were deleted.

65

� �” (� is an abbreviated phonetic), however � also occurs in the Guangyun

with two more readings in which the vowel has lowered, t� ha� jk and � a�nh, the latter

one clearly related to � .94 There is, however, a graph lún � lwin, analyzed in the

Shuowen as a huiyi graph “� � ” (derived from � and from � ) which could

possibly be related to the above series. Although it rhymes as * - � n in the Shiji ng,

there is evidence to suggest that under certain circumstances proto-OC * - j � became

OC *- n. One may cite, for example, y�n � � �n < � � n which clearly has she�n � � in < *xj � j � as its phonetic (all the more apparent in their OB forms � and �

respectively)95, or hu�n � xw� n < *x-m�� n (see 4.2 for a discussion of the function of

the *x- prefix) which has mín � mjin < *m�� j � as its phonetic. It seems that in

certain words the shift from *� -j � > n after * -� -, that occurred between OC and EMC,

happened earlier under, as yet, unspecified conditions. It may have been simply due to

different dialects being reflected in the Shiji ng rhyming, but this seems unlikely and it

was probably rather due to different phonological conditioning environments. It

should also be noted that the shift of * � j � to � n occurred very early on in the change

from OC to EMC with Buddhist transcriptional evidence showing that it had already

occurred uniformally across the whole lexicon by the time of the Han dynasty, as

attested by transcriptions like ! EMC " uw-d# n for Sanskrit ‘ udayana’ (see

Coblin 1983: 255). Of particular relevance here is the fact that, as Pulleyblank (2001:

54) observes, the initial of $ was “probably a labial or labiovelar. Compare lún % ,

E. lwin, also read gua�n E. kw& 'n”. If this word is indeed related to the xiesheng series

of ( , it may provide clues to the vowel lowering in the case of ) .

8.4 The Xiesheng Series of * * *kwj �� + � " , , *--k�� + k, . *

--a/ k�� + k, 0 *a/ kwa

� + k-, 1 *

--kw�� + k

Boltz has suggested that “The oracle-bone graph 2 , typically equated with 3 ting

(OC *tja4 5 6

) ‘ tripod’ , may have stood for the word tsei (OC * j 74 k) ‘slay (in a sacrificial

sense)’ as well (modern 8 ). The etymonic constituent of 8 tsei < * j 74 k ‘slay’ is 9

tse < *c74 k, which in turn may be analyzed as having the element : as phonophoric,

read not as pei, but in a pronunciation similar to tse < *c74 k or te < *t74 k. The latter

possibility is based on the fact that modern ; te < *t74 k is graphically derived from : plus < , i.e. . Given the ku wen graph = for 9 , the implication of the above

94 Xu Zhongshu (1989: 646) suggests that > occurs in the oracle-bone script as ? which he glosses as a “@ A B ” (terr itorial name). 95 The word she

Cn D E in < *xj FG j H ‘body’ is also related to yùn I ji H h < *aJ xj FG H K ‘pregnant’ (see

fn.36 for the theory behind the reconstruction of *aJ xj-), attested in the OB script as L . As noted in 3.3, this suggests that in the word represented by D , the OC medial * -j- palatalized the Type B velar final of *xj FG H to give *xj FG j H .

66

analysis is that � may also have had a reading comparable to � in � , i.e., similar

to *c�� k or * t�� k. This, together with the numerous oracle-bone inscription contexts in

which the graph � / � seems to have a meaning akin to ‘slay’ , suggests the

hypothesis that the graph could have stood for the word tsei < * j �� k” (1990: 1).

Written in response to Takashima’s 1987 study of the use of � in oracle-bone

inscriptions, Boltz’s suggestion provides some interesting new approaches that have

been taken up by Takashima in his 1994 revision of his previous article. He however

cautions that “The assumption of graphic multivalence appears to be producing an

uncontrollable escalation in the number of possible meanings… [and] is producing

almost as many problems as it is solving. I believe that this assumption is still

fundamentally valid, but it is crucial for us to keep its inherent limitations in mind”

(ibid: 360-1). Takashima comments that while in certain cases, Boltz’s proposed

interpretation “would yield an acceptable meaning… trying to interpret [Yicun 783: � � � � � ]… the same way would yield a distinctly odd result – ‘strings of

jade’ can hardly be chopped up” (ibid: 360). To this he adds that “Leaving aside the

problem of the extent of semantic congruence between the graph in its original usage

(‘cauldron, tripod’) and its second or other usage (‘ to chop’ or ‘chopped meat’), we

should note that no meaning related to ‘cauldron’ itself has yet been found for a graph

which obviously depicted that very object. Though not impossible, this does seem

rather strange, particularly since the classics often use ding ‘cauldron’ . Thus, the best

way to make sense of [Yicun 783]… might be to understand ding in the sense of ‘ding

cauldron’ used adverbially. Such an interpretation is also congruent with the

interpretation that takes ding as equivalent to yi ding � (as it would have been

expressed in classical Chinese) meaning ‘ to do something by employing a cauldron’”

(ibid: 362).

Takashima is wise to be cautious, for a thorough palaeographical and linguistic

analysis will show that neither bèi � pajh nor d�ng � t� j � ’ were polyphonic.

Nevertheless, inscriptional evidence shows that the graph � was often erroneously

used for � when used as a component in graphic composition. The cause of this

confusion may well have been a similarity in pronunciation (see the discussion in 2.3a

where it is suggested that � may have rhymed as * -a� k in proto-OC which would

compare well with the * -� � k/*-� � � rhyme reconstructed for the � series here)96. In

addition to the example cited by Boltz (1990: 1) above, who comments on guwen

forms of zé � ts� k being written as � , which may in fact be traced back to the

96 It seems unlikely however that � and � were etymologicall y related as there is no graphic or semantic connection in their oracle-bone forms.

67

Bronze script, another example of such substitution occurs with graph jù � gua� h,

about which Xu Zhongshu (1988: 241) observes that the oracle-bone graph � is “�� � �… � � � . <� �

> ‘�

,� � .� � � � ’ .� � � � � � � � …� � � � � � ” (the same as the Bronze script � … all [of which are] derived

from � and from � . The Shuowen [says] ‘� is placing with both hands. (It is)

derived from � and from abbreviated � ’ . The Bronze script also has ones derived

from � and from � …Those derived from � are thus erroneous forms of those

derived from � ). In addition, Rao Zongyi (1959: 279) has noted that the Shuowen

lists guwen forms for � and its xiesheng derivative � , of � and � respectively.

The former is treated by Xu Zhongshu (1989: 700) as occurring in the OB script as with a form of ! as its lower component. Unfortunately, like " (# ), it is only

sporadically attested in the OB inscriptions and its semantic function is unclear. There

is also one possible example of ! being used to write $ in the case of % , clearly

composed of ! and & , which only occurs in one inscription:

' ( )* + , - . / % 0 (Bingbian 356)

Bing Zi (day) divination, Bin tested: Fu Yi (being) . 97 means (the) King will be % .

Takashima (2003b: 419) says that “Whatever word it may have expressed, it is a verb

that takes the king as its object. And since the apodosis is the same and the protasis

different… and, furthermore, given that .

is a stative verb, the diviner must have

presented the protasis as topical ‘as for.’ That is, the import… is something like ‘As

for Fu Yi being .

, it means that it does % the King’ .” Matsumaru and Takashima

(1993: 98) list % together with 1 2 ‘defeat’ in the same category (0423).

Whether they are variants of each other is unclear, but 2 ‘defeat’ certainly is a

possible interpretation for 3 in the above inscription. Unfortunately, the graph 1

also only appears in one very short inscription, but bronze forms show that

interpreting it as 2 is probably correct98:

4 5 2 (Qianbian 3.27.5)

Tested: Not have [= suffer] defeat.

97 Takashima (2003b: 419) comments that “ 6 7 8 shows a person carrying a basket on the head, the primary form of tai 9 ‘carry on the head’. Its use in transmitted texts for yi 8 ‘different’ is a phonetic loan. The way it functions in inscriptions is rather mysterious… The way 8 is used in Bronzes does not help much… [and] none of these seems appropriate in the context of the above inscription. It seems rather to be used as a verb which can specify both the li ving… and the dead… as its subjects. And since it is negated by pu : , it must be a stative verb” . 98 Xu Zhongshu (1989: 337) also treats the OB graph ; as < . However Takashima (2003b: 321) points out that in Bingbian 165, “ it cannot mean ‘defeat/suffer defeat’ , since its negation by = … shows it is a controllable activity” . Unfortunately, inscriptional evidence seems too sparse to provide any alternative interpretations.

68

The word zé � /� ts� k may be reconstructed in Old Chinese as *kj�� k (presumably

derived from *�-k�� k as will be seen by analogy with other xiesheng characters). Also

clearly related to � , as Boltz observed, is zé/zéi � dz� k < *a� kj�� k, which may well

have originated from *�-a� k�� k99 as the velar coda is not palatalized (see the discussion

in 3.3 regarding the palatalization of proto-OC velar codas). One may however

suggest that � and � both go back to an OC �� � k, as evidenced by their

relationship with jù � gua� h < *a� kwa � k

�, and also dé/d i � t� k, which Pulleyblank

reconstructs with final * -�� � k on the following basis: “There are a number of contacts

between the Old Chinese * -� k rhyme and * -� p that suggest that *-� k may have

sometimes merged with * -� p. A shift of labiovelar kw- to p- is a familiar type of

phonetic change, for instance, in Ancient Greek. Front-rounded velars are less

common cross-linguistically but it seems reasonable to suppose that they too could

have been subject to such a change. Xiamen has a colloquial form siap for the word sè � E. s� k ‘stop up’… Moreover it is supported by the existence in the Guangyun of

alternative readings for a similar word sè �

E. � ik and E. � ip ‘astringent; unsmooth’ ,

also written � in the second reading… We can also compare sè �

E. s� k, Xiamen

colloquial siap ‘stop up’ , with Tibetan sub-pa ‘ to stop up, plug up, close, cork’ . This

also suggests a very interesting Tibeto-Burman comparison for both dé � E. t� k ‘get,

obtain, manage to, able to’ and dé � E. t� k ‘virtue’ . Tibetan has a verb gtub-pa ‘ to be

able’ and another word t’ub-pa with two related senses… ‘ to get the better of, to be

able to cope with, to be a match for, etc.’ and… ‘a mighty one, one having power and

authority,’ suggesting that these two Middle Chinese homophones may indeed be

etymologically related” (2004: 159-160)100. Pulleyblank makes no comment about the

OC initial for � , and an OC * t- would certainly be the most simple, both in terms of

its EMC reflex and the Tibetan comparisons cited by Pulleyblank. However, the

correlation of PTB dentals with OC velars suggests a possible alternative. Further

support for this is also found in the graph � /� 101, a simpli fied form of ài � � � jh <

* � �� k� , about which Li Leyi (1996:5) says: “� � � � ! " ,# $ � % & ' ( ) * 99 As regards the voicing prefix which Sagart reconstructs as *N-, but here is treated as *a+ - (see fn.49), Sagart comments that “ I suppose that unli ke other prefixes, N- was bound too closely with the following consonant to have a loosely attached variant” (1999: 74). While the OC reconstruction system used here does not subscribe to Sagart’s distinction between two types of prefix, fused and iambic (see ibid: 14-19), which Ting (2001: 199) has criticized (see fn.80 where this is presented in more detail ), his observation on the nature of the voicing prefix is interesting, for in the above reconstruction it is assumed that another prefix could occur before the voicing prefix due to the close-knit relationship of the voicing prefix with the root initial. 100 Pulleyblank does however note that “ the early forms of dé [, ] ‘get’ have bèi - ‘cowrie’ rather than zhí . [in dé / ]” (ibid: 159). 101 The latter form 0 is currently still in use in Mainland China, having been officiall y reintroduced during the script reform of the 1950s.

69

� � � � � � � �” (according to contemporary sources, the earliest examples of

this kind of graph are from more than 2000 years ago in the Han-Chao era). The

conditioning environment to derive EMC t- from an OC velar is usually that it must

be a labiovelar *kw- occurring before a medial * -j- in a Type A word, see Pulleyblank

(1991b: 77). It does not seem possible to reconstruct this medial * -j- in dé � t k;

however, one may suggest that this feature was accounted for by the presence of a

prefixal * -, giving a reconstruction of dé � t k < *

-kw� k < *

-kw� � k. Although

this prefix is not attested in the possibly cognate Tibetan words gtub-pa (which

interestingly shows evidence of a velar initial) and t’ub-pa, cited by Pulleyblank

above, Handel’s observation that “Tibeto-Burman prefixal elements may or may not

be reflected in individual forms in daughter languages” (2002: 21), that was

commented on in 2.1, can account for this. By way of comparison, one may cite the

word de ng � t � (most likely related to she

ng � � i � < *xj � � ), which in light of its

xiesheng character zhèng � t� i � h <* kwj � � ) presumably had a velar initial. It could

therefore be reconstructed as *-kw� � which compares nicely with Matisoff ’s (2003:

304) suggestion that it is related to PTB *s-tya� ‘upper part, rise, raise’ . As for d�ng� t� j � , the most obvious solution would be to reconstruct it as *kwja� j � . However this

does not concur well with the phonetic values of the xiesheng series posited above.

An interesting anomaly in the Old Chinese phonological system is that the OC rhymes

* -j � w > � w and * -j � wk > -� jk do not seem to have a nasal counterpart *-j � w� .

However, just because it is not attested in the Shiji ng rhyming, does not mean it did

not exist. The word d�ng �

does not occur in the Shiji ng, but one could hypothesize

that it may belong to this lost rhyme *-j � � � that, by analogy with the EMC reflexes of

* -j � w and *-j � wk, would have given EMC -� j � . One could therefore suggest the

following reconstruction: d�ng�

t� j � ’ < *kwj � w� � < * kwj � � � � .

8.5 The Xiesheng Series of � � *a� k�� � -� , � *a� kwa� �

In spite of the fact that they all have clearly identifiable phonetics, Boltz (1994: 118)

suggests that l ! l " ’ ‘salt (marsh)’ is phonetic, with a polyphonic reading in the

OC # * -a� m rhyme group, in xián $ % � &m ‘salty’ , ji ' n ( k� &m’ ‘saline’ and yán ) jiam ‘salt’ . He bases this hypothesis on the Shouwen statement that the graph tán� d� m, which had a seal form * consisting of l + , l - ’ and hòu . / 0 w’ , is “1 23 4 5

]6 7 8 ” (derived from 9 with : as abbreviated phonetic).

Matisoff compares the four Proto-Tibeto-Burman words for ‘salt/salty’ * la (2003:

173), *hyam (ibid: 299), *gryum (ibid: 308) and * tsa (ibid: 174) with the

70

corresponding Old Chinese words for ‘salt/salty’ l � � l � ’ , xián � � � �m, yán �

jiam and cuó � dza respectively. Boltz makes no mention of the word cuó � dza,

presumably because a logical sequitur of his argument would require positing a third

alternative reading for l � � to account for it. Unfortunately tán d� m is not

attested in the oracle-bone script102, but on the basis of the seal form , one may

make a tentative hypothesis that hòu � � � w’ , defined in the Shuowen with the

homophonous word hòu � ‘ thick’ , is the phonetic.

The alternation between EMC -m and -n in certain xiesheng series was commented on

in 4.1 with the example of tia n � th� n and ti� n � th� m that Pulleyblank (1995a:

178) suggested may be because “all cases of *C-j� m (as opposed to initial palatals

including * j) shifted to C-j� � j in both Type A and Type B syllables” . A further

example is so ng � s� w� , zhèn � drin’ and zhèn � drim’ . This xiesheng series

also shows an alternation between a labiovelar coda and an alveolar nasal which may

also be seen in examples like: go ng � k� w� and g� n � kw� n’ ; chén � d� in and

nóng � naw� .103 An explanation for this phenomenon probably lies in the frequent

rhyming contacts between words in * -� m and * -� w� in the Shiji ng,104 for which

Pulleyblank offers the explanation that “The final labiovelar consonant… may have

been pronounced like the final in Vietnamese -ông, which is realized with double,

labial and velar articulation [ � u�� m]” (1977-8: 197)105. While * -� m and * -� w� are

distinct rhyme categories in the Shiji ng, one might suggest that proto-OC * -� � which

102 Xu Zhongshu (1988: 608) points out that although Tang Lan [

! " # $ % Yinxu Wenzi Ji. & ' : ( ) * +

Beii jing: Zhonghua Shuju, 1934] translates the OB graph , as - on the basis that the top . (/ ) component of the graph became 0 which is an error for the 1 component of the small-seal form of 2 (3 ), “4 5 , 6 7 8 9 : ; < = > ? @ A B C 9 D … E F G H 9 I J ” K the graphic forms of 5 and 6 are different, [and] from a lexical perspective are not at all ali ke… Therefore what Tang says may be debated). 103 The Shuowen entry for L states: “M N O P Q R ” (to plough, derived from S with T as phonetic). The oracle-bone forms U and V which Xu Zhongshu (1988: 257-258) treats as variants of the same graph show that the phonetic component must have rather been the lower

W component.

Although examples of V are few in the OB script, it seems one can discern a slightly separate semantic function from U : … XY Z [ \ ] ^ _ ` a (Qianbian 4.10.3) …divination, Zheng tested: Order many ] and _ (to) capture Zai (tribesmen). …b cd e f g h i j k (Qianbian 5.48.1)…Si (day) divination, Lü tested: (As for) Fu Ding’s gui-cuttings, (it should) bej that we you-cut. On the basis of the above inscriptions, one may tentatively assume that l refers to agricultural workers (as evidenced by the semantic determiner for hand sm ), while j refers to agricultural produce (as evidenced by the semantic determiner for trees

n) in the above case used as a sacrificial

offering. In later periods of the script the graphs seem to have merged as j , while l also developed a meaning of ‘morning’ which later came to be written o . 104 See Baxter (1992: 549-550) for a listing of these rhyme sequences. 105 Pulleyblank (1991b: 50) has also suggested that “An irregular rhyme such as huang p EMC q war rhyming with jian s EMC katm, yan u EMC r iam, and lan v lam in Ode 305/5 may be a (dialect?) survival of * -ar w.”

71

is usually believed to have merged with * -� w� , in some cases may have also merged

with * -� m. Such a theory is nicely supported by Pulleyblank’s observation, discussed

in 8.4, that “There are a number of contacts between the Old Chinese * -� k rhyme and

* -� p that suggest that * -� � k may have sometimes merged with * -� p. (2004: 159).

Coupling the above hypothesis with the evidence that proto-OC *-� j � sometimes

became OC *-� n (see 2.1), the following tentative reconstruction could be suggested

for the xiesheng series mentioned above: so�ng � s� w� < *xja

� � � , zhèn � drin’ <

*a krj � j � � < *a krj � m� < *a krj � � � � , zhèn � drim’ < *a kr � m� < *a kr � � � � ; chén

d� in < * lj � n < * lj � j � < * lj � m < * lj � � � , nóng � naw� < *n �� � � . As for the series of

go�ng � k� w� < *ka

� �-� and g� n � kw� n’ < kw�� n� < k�� � -n� , the rounded feature in

the latter requires the assumption that the nasal codas in the EMC forms were

originally suffixes. Now returning to the question of tán � d� m and hòu � � � w’ , it

turns out that this provides a nice solution to their relationship, allowing them to be

reconstructed as *a� k�� m < *a� k�� � -� and *a� kwa� � respectively. Further support for this

argument is found in the fact that the Shuowen also lists a variant guwen � �

(ancient script) form for the graph � [=� ] of � . This consists of l ! l " ’ with

dòu # d$ wh beneath it. The word dòu # occurs in the same rhyme group as hòu % & $ w’ < *a' kwa

( ) and may be reconstructed as *a' ka

( ) *, which also corresponds very

nicely with the reconstructed form *a' k$( ) -+ of tán , . One may assume that the very

similar pronunciations of # *a' ka( ) *

and %

*a' kwa( )

allowed for this graphic

interchange. The graph # is discussed in 8.6 below.

8.6 The Xiesheng Series of - . *kwja

/ 0, 1 *kwa

2 0-n, 3 *kwja

/ 0 4, 5 *a6 ka

2 0 7, 8 a6 ka

/ 0 7

The Shuowen defines zh9 3 t: ua6 ’ accordingly: “; < = 3 > ” (? is a flame in the

middle of a lamp) and comments “ @ A B ” ( C is also phonetic). Boltz (2001: 8)

identifies this @ with the same one that occurs in the middle of D in its

oracle-bone form and suggests that “here it is likely functioning as a phonetic

determinative to specify one or another of the cognate words shuh < draEgwF , *dra

Egws

[G ] ‘ tree’ , ju < * traEgw [D ] ‘ tree trunk, stalk, stem’ or juh < *dra

EgwF [H ] ‘pillar,

post’ , all of which could be reasonably represented in an emerging writing system

with the same graph that was used to write the basic word muh < * maIkw [J ] ‘ tree’ .”

The idea that mù J mK wk could have polyphonically represented all three of these

words seems to a rather unnecessary hypothesis when, as wil l be seen below, all of

these words appear to be attested in the oracle-bone script. Nevertheless, Boltz’s

suggestion that @ is the phonetic in D , and his observation of a zhuanzhu

relationship between G , H , and D is very interesting. Matisoff (2003: 452)

72

compares zhu� D t� ua� < *kwja

� � ‘vermill ion’ with Proto-Tibeto-Burman * t(y)a ‘ very

red, flaming red’ which, in light of the correspondence between PTB dentals and OC

velars seems very likely. He also links the suffixed form * t(y)a-n ‘ red’ with da�n �

tan ‘ red’ , attested in the oracle-bone script as � which also seems to contain this �component. When derived from an OC velar, EMC t- usually comes from *kwj- in

Type A words. In the word for da�n � tan, it is not possible to reconstruct a medial

* -j-; however, one may suggest that � had a root form *kwa� �

to which a suffixal * -n,

also attested in the PTB form, was added. As was seen before in 8.2, metathesis of the

*�- coda to the front of the rhyme would cause the palatalization of the initial. In this

case, the initial was already labialized and so it seems likely that the *� glide would

have caused the initial to develop as it would have done had it been followed by a

palatalizing medial * -j-: da�n � tan < *kw� a

n < *kwa

�-n. Such a reconstruction

compares extremely well with the other word for ‘ red’ zhu � t� ua� < *kwja

� � and

shows a clear relationship between the two.

Both zhu � t� ua� < *kwja

� � and da

�n � tan < *kw� a

n < *kwa

�-n are attested in the

oracle-bone script as and � respectively. Unfortunately neither is attributed

any more semantic content than functioning as a place name, but both are attested in

the bronze script with the respective meanings of ‘ vermill ion’ and ‘cinnabar’ and on

that basis may be read with some certainty.

… � …� � … (Houbian � 12.8)

… divination, Bin… at Zhu…

� � �� � � (Jingjin 3649)

Ji Mao (day) divination, (the) King (is) at Dan

As for the graph zh� � t� ua� ’ < *kwja� � �

, Li Xiaoding (1965.5: 1735) suggests that it

is derived from the oracle-bone graph � . It also seems to only occur as a place name,

but the graphic similarity and its near homophony with zhu� t! ua" < *kwja

# $

suggests that they could have been referring to the same place:106

% & ' ( ) * (Heji 8063)

Tested: This day go to Zhu.

The word shù + d, ua- h < a" ka# $ .

occurs in the xiesheng series for dòu / d0 wh <

*a" ka1 $ .

, differing only in its Type B prosody as opposed to Type A. Although absent

106 Interestingly, Yan Yiping (1988: 15) actually transcribes the graph 2 as zhu

3 4 t5 ua6 .

73

in the modern form of � , its oracle-bone graph clearly contains the phonetic �

in the middle of the graph. The connection of the bone graph � , consisting of � as

its bottom left component, with � has been questioned because its right component

depicts a plough � which in the modern form has become � . Whether Xu

Zhongshu’s (1989: 653-654) conjecture that “� � � � � � � � � ” (one

uses a plough to puncture the ground to make holes up from which a tree or plant can

rise) is correct or not, it seems likely that the right component became distorted to �

due to a phonetic association between the root word underlying the xiesheng series of

cùn � tshw� nh < *kk�� � -n� and the pronunciation of shù � d� ua� h < a� ka

� � �. The

modern graph � also seems to contain the graph zh� � trua� ’ < *kwrja� � � (the

rhyming of its xiesheng derivative g� � k ’ in the *-a� ! group in the Shiji ng was

due to the merger of proto-OC *-a� � with OC * -a� ! in some cases that was discussed

in 5.3) which is undoubtedly also a derivative of dòu "

d� wh < *a� ka� � �. It is attested

in the OB script as # which clearly shows the lower $ component, and often

appears to be interchangeable with % , attested as & with a meaning of “' % ( ) ”

(strike a drum as a sacrifice) according to Xu Zhongshu (1989: 518), in inscriptions

like: * + , - . / 0 1…2 … (Yicun 233)

Wu Xu (day) tested: Gao perhaps (performs a) drumming-ritual (during107 the)

rong-ritual-sacrifice to… (of) six…

In the case of the modern form 3 of the OB graph 4 , it seems that in the evolution

of the script, the upper 5 component was confused with the upper component of # /, with a semantic determinative 5 then being added later to replace the lost

original one. This change had already started to occur in the late stages of the OB

script where a Period-V form of 3 is written as 6 , with the /

component clearly

present. Both $ and 3 are limited in the OB corpus to occurring as place names.

Just as was the case with 7 and 8 , the very close phonetic relationship suggests

these two graphs may well have been referring to the same place:

9 : ; < $ = … (Jiabian 1613)

107 It seems that certain practices were performed during the five ritual-sacrifices (see fn.63 for a description of these). Commenting on the series of inscriptions in Cuibian 279 which are all of the form: > ?

X @ A B ; C ?X D A B ‘ (The) King (treats) X (as a) guest (with) a xie-ritual-sacrifice. (There

is) no blame; (The) King (treats) X (as a) guest (with) a nai-ritual sacrifice. (There is) no blame’ , ItE (1996:1 26-7) says it “ inquires whether the ancestors wil l accept the sacrifice if a nai (?) D ritual is performed during the xie sacrifice…. It is possible that the diviners first inquired whether the xie sacrifice would be accepted, and then, if the answer was negative, asked if the addition of the nai ritual would satisfy the ancestor” .

74

Jia Zi (day) divination: (It should) be (at) Dou (that we) hunt…

� � �� � � � � � � (Xubian 3.28.6)

Yi You (day) divination, at Shu tested: (The) King hunts. (In his) going (and)

returning (there was) no calamity.

75

Concluding Remarks If this paper has served its purpose in effectively elucidating hitherto obscure xiesheng

relationships, then ideally the conclusions should speak for themselves. As a further

note, however, the appearance of this work will ideally bring two important

considerations to light:

Firstly, the phonological relationships identified in this paper are heavily dependent

on the reconstruction system outlined by Pulleyblank (op. cit.). It is hoped that this

paper has demonstrated how the correct application of such a system can identify

xiesheng connections for which other competing reconstruction systems have not been

able to provide explanations.

Secondly, there is an obvious need for all academics working in the field of Old

Chinese word families to be thoroughly trained in Chinese palaeography. Attempts to

reconstruct etymological links without regard to the earliest attested forms of the

script are a priori doomed to be inadequate and incomplete.

76

Appendix 1 The Reconstruction of Chinese

Middle Chinese

One of the most fundamental features of Pulleyblank’s reconstruction of Middle

Chinese is the distinction between Early Middle Chinese (EMC) and Late Middle

Chinese (LMC). The distinction may be clearly observed in the shift in rhyming

practices through the Tang dynasty (618-907 A.D.). Throughout the early Tang, poets

generally rhymed according to the tongyong and duyong categories of the rhymes in

the Qieyun (a rhyme dictionary compiled at Chang’an in 601 A.D after the

reunification of North and South China under the Sui (581-618 A.D.), based on a

maximization of the distinctions represented in the educated forms of speech in the

Northern and Southern Dynasties). This ‘standard’ language, codified in the Qieyun,

is referred to by Pulleyblank as Early Middle Chinese (EMC). The tongyong and

duyong categories, are listed in the table of contents of the Guangyun (a rhyme

dictionary dating to 1007-8 A.D. which is an enlargement of the earlier Qieyun

dictionary) and respectively refer to which independent Qieyun rhymes may be

rhymed together and which must be kept separate for the purposes of poetic

composition of regulated rhymes in civil service examinations. In some cases, a few

of the earliest Tang poets show an even greater discrimination between the Qieyun

rhymes than those represented by these categories. Regarding the origins of the

tongyong and duyong distinction, Pulleyblank (1984: 139) notes that there is a record

in the Feng Shi Wen Jian Ji, written by Feng Yan in c.a. 800 A.D., of Xu Jingzong

presenting a memorial to the throne in the early Tang dynasty suggesting that certain

rhymes should be allowed to be used together in poetry. While it is unknown what

these rhymes were, Pulleyblank says that “one may infer with some confidence that

there was a continuous tradition from Xu Jingzong’s time onward. In only two or

three cases does one find seventh century poets making finer discriminations, and by

the eight century the pattern was set” (1984: 139). In the ninth century, however, one

sees the emergence of a new style of rhyming, based on the sixteen she categories to

which the first official reference is made in the later Song dynasty (960-1229 A.D.)

rhyme tables, but on the basis of the order of the rhymes in the Yunjing (a rhyme table

of pre-Song origin that uses forty-three tables to represent the rhymes of the

Guangyun and divides words into a system of four grades that will be discussed

below), one can assume were already well established by the late Tang. This new

‘standard’ of late Chang’an speech, codified in the Yunjing, is referred to by

Pulleyblank as Late Middle Chinese (LMC). Although reconstructions of Middle

77

Chinese do not vary to the same degree as Old Chinese, there is still no universally

accepted reconstruction of this either, and certain scholars still even reject a

distinction between EMC and LMC.108

In addition to the distinction between EMC and LMC, the most notable feature of

Pulleyblank’s Middle Chinese system is how it deals with the Type A (Grades I, II , IV)

and Type B (Grade III) distinction that Karlgren (1954) distinguished by means of

positing a medial -j- in the latter. The rationale behind Karlgren’s theory was that the

fanqie spellers109 seemed to fall into separate sets for Grades I, II and IV from that of

Grade II I, and that Grade III initials must have been palatalized by a following yod.

Although, it seems that the four grades set up in the Yunjing reflect degrees of

palatalization of the initials, Pulleyblank points out that “It has been difficult to

imagine how one could have a four-way contrast based on the single parameter of

palatalization. Karlgren decided that Grade III was characterized by the glide j

(written i� in his transcription system) and Grade IV by the vowel i. He at first thought

that Grade II was also characterized by a glide of a more fugitive kind, but then

adopted Maspero’s suggestion that Grade II originally had a low front vowel which

only gave rise to a palatal glide after velar initials. Since he believed, on the basis of

Sino-Vietnamese, that this glide had already appeared before the end of the Tang

[618-907 A.D.] and that the rhyme tables had only come into existence in Song

[960-1229 A.D.], there was an evident contradiction in this as an interpretation of the

meaning of the grades, but if he was ever aware of the problem did not face it” (1984:

74).

As an alternative hypothesis, Pulleyblank has proposed a paradigm that is wholly

represented only after outer (relatively low vowel) rhyme groups with back initials as

K-, Kj-, Ki-, Kji, commenting that “This was a simple set of distinctions

(supplemented by certain redundancies such as the long vowel in Grade II…) which

would have been easily recognizable by a native speaker and which could have been

demonstrated by ostension” (ibid: 75). Pulleyblank’s reconstruction for the grades is

based on the following assumptions: “Type B syllables in EMC had one of three high

vowels i, �, u, either alone or followed by a. Between EMC and LMC,

� and u were

subject to a fronting rule, giving i and y respectively. EMC wi also gave y… There is

no real obstacle to the assumption that the condition for palatalization of the dentals

between Old and Middle Chinese was provided by the [+ high] feature in the vowels i,

108 See for example Norman and Coblin (1995). 109 The term fanqie refers to a way of representing the pronunciation of a character by taking the initial of one well -known character and the final of another.

78

� and u, rather than by a hypothetical j glide for which there is no direct evidence and

which never appears in the transcriptions of foreign words or pre-Tang borrowings of

Chinese words in foreign languages” (ibid: 178-179); Type A, Grade II , finals are

derived either from Old Chinese *Cr- clusters (or a prefixal * r-) which gave the EMC

retroflex vowels ar and � r which later merged as � r to then develop into the LMC long

aa vowel with a palatal glide after back initials, or they are derived from the loss of i

after EMC retroflex sibilant initials; Type A, Grade IV, finals developed from Old

Chinese *Cj- clusters (or initials with a palatalizing prefix) that gave the EMC vowel � which then broke to LMC jia with the j being preserved only after back initials. A

full description of these processes may be found in Pulleyblank (1984). One may note

that Pulleyblank has used the above analysis to effectively account for the chongniu

(pairs of words with the same initial and rhyme but where one is found in Grade III

and one in Grade IV) on the following grounds: “When -�aj fronted to -iaj, the

non-palatal character of the vowel � survived as a feature of velarization: k

�aj > k

�iaj,

p�aj > p

�iaj. At the same period, the segmental r after velar and labial initials was

being reduced to a feature of retroflexion in the following vowel: kriaj > kriaj, priaj >

priaj. The acoustic similarity between velarization and retroflexion led to a merger

between the two types. If this reasoning is correct, the original difference between the

so-called chongniu, that is the cases where the same initial is found in two different

homophone groups within the same rhyme, one corresponding to Grade III and the

other to Grade IV in the rhyme tables, was between retroflex ri (Grade III) and plain i

(Grade IV). At some point a palatal glide developed in front of the latter, after which

retroflexion became redundant and eventually disappeared” (1984:173-5).

Old Chinese

Although studies on Old Chinese rhymes were already being conducted by a variety

of scholars in the Song dynasty (960-1229 A.D.)110, the first systematic categorization

of Old Chinese (OC) rhyme groups was conducted by Gu Yanwu (1613-1682 A.D.)

who through analyzing ancient texts, with a main focus on the rhyme words in the

poetry of the Shiji ng (a collection of 305 poems dated between 1000BC and 600BC),

established ten rhyme categories.111 This was a major contribution that correctly

110 The best known, and only surviving, work being Wu Yu’s (ca. 1100-1154)

� � Yun Bu (Rhyme

Supplement), reprinted in 1934 by � � � � , � Weinan Yanshi, Chengdu. 111 Gu Yanwu’s work on phonology is collected in his five volume work � � Yinxue Wushu (Five Books on Phonology), originally published in 1667 and more recently republished in 1933 by �� � � , � Weinan Yanshi, Chengdu. It is in the fifth volume, � � � Guyin Biao (Table of Ancient Sounds), that he outlines his ten Old Chinese rhyme groups. See Baxter (1992: 155-6) for a brief summary of his findings.

79

assumed that the language had changed over time and that the tongyong and duyong

categories of the Guangyun could not be used to explain the rhyming of the Shiji ng.

Later scholars modified and enlarged these categories by comparing them with the

rhymes of the Qieyun and the Guangyun. The current standard analysis of Old

Chinese rhyming follows the analysis of Jiang Yougao (1928) with Wang Li’s (1937)

emendation to give 31 Shiji ng rhyme categories.112 The phonological reconstruction

of the finals is a source of much debate, but all attempts are guided by a projection

backwards from the Qieyun to create a complete phonological statement for the

development of a particular character’s pronunciation.

As regards the initials of Old Chinese, the evidence is even more sparse and there is

no closed system like that provided by the rhyme tables for Middle Chinese. Xiesheng

series (groups of characters with the same phonetic components), appear to bring

together characters with what were once similar initials, but the exact

correspondences are unclear. Pulleyblank (1991b, 1995b) has proposed that the

Tiangan Dizhi (twenty-two calendrical signs) originated as phonograms for the

original consonants of the Chinese language. On this basis he has established six

classes of consonants that may be subdivided accordingly: stops k, kw, kj, k� , t, p;

fricatives x, xw, xj, x� , �; nasals � , � w, � j, � � , n, m; glides � 113, w, j, � , l. The

developments of these initials into their EMC reflexes is extremely complex. As a

general rule one may note the following: retroflexion is assumed to have been caused

by a medial, or prefixal, * r (which in some cases may have derived from the initial

* � ); aspiration either resulted from reduplication of the initial consonant (*pp > ph)114,

or possibly from an unidentified prefix such as *x- (*xp- > ph); voiced initials were

created by a prefixal pharyngeal glide *a� - which Pulleyblank suggests is “probably

cognate to Tibetan h� a-c�hung and the Burmese prefix � a-” (1991b: 43-4)115. A

summary chart of the changes in initials from EMC to OC, not covered by the

standard changes listed above, is provided below. It is based on the chart provided by

Pulleyblank (1991b: 77-78) including some additional derivations included in the

body of the text but not in the chart, as well as amendments suggested in later papers

112 This number has been questioned by Starostin (1989), Baxter (1992) and Zhengzhang (2000) who divide the traditional rhyme groups by reconstructing different vowels to account for frontness and roundness. In all three systems the traditional yuán group is treated as having three distinct finals: * -an, * -en and *-on. See below for Pulleyblank’s rejection of this. 113 This is written as * - when occurring in syllable initial position. As a coda it is written * -� . 114 Pulleyblank says that this is “a process that is alleged to occur in the morphophonemics of Tsangla” (2000: 39). 115 Pulleyblank states: “ I posit a morpheme *a in Old Chinese, which could appear as an independent word in the coverb yú � , ‘ in, at’ EMC �a� < àa

�, with its sandhi variant hu

� � , EMC � � < � a

�a�-, as a

non-syllabic prefix *a-, cognate to Tibetan h� a-c�hung, which caused voicing of initial obstruents, and as

an infix.” (1989: 8).

80

(in particular 1995b and 1995c):116

*k > k (A), t � (B)

*a� k > d (A), d� (B)117

*k j > ts (A/B)

*kw > kw (A/B before � ; � > a in some cases), k (A/B before a), t (A before j), t � (B

before j)

*a� kw > � w (A before � ), gw (B before � ?), � (A/B before a)

*k � > kw� (A before � ), kjw (B before � ), kw (A/B before a)

* t > t (A), t� (B)

*p > p

*x > x (A/B), k (some A/B before � ?) kh (some A/B before a?)

*a� x > �

*xj > s

*x j > th (A), � (B)118

*xw > xw (A/B before � ; � > a in some cases), x (A/B before a)

*xwr > trh

*x� > xw (A, some B), sw (some B)

* � > th (A), � (B)

*a� � > d (A), j (B)

* � > �

* � j > d (A), j (B), n/ (A/B in labializing environments; the latter before high vowels)

* w > m/

* � > m (A), * r > l (B)

*n > n (A), (B)

*m > m

* � > k (A, some B before a), j (B)

* � � > kh (A?), z (B)

*w > � w (A before a), w (B before a), � (A before ), g (B before )

* � a� w > � w119

* j > � (A with vowel fronting), � ji (B)120

116 A = Type A syllables, B = Type B syllables 117 As noted in fn.60, Pulleyblank has observed that the exact conditions for the shift of velars to dentals “have still to be determined” (1991b: 52). Pulleyblank does not make a comment on when *a� k- becomes *g- or when *a� kw- becomes g(w)- through the regular voicing process, as opposed to shifting to dentals and velar fricatives as outlined in the table above. 118 See fn.36 for a discussion of this interpretation of Pulleyblank’s system. 119 Pulleyblank (1995c: 302) suggests that “EMC � w represents OC * � a

�w- [now written * � a� w-], that is

the prefix *a�, supplied with the obligatory glottal stop of an initial vowel, in front of *w” .

120 Pulleyblank (1995c: 292) suggests that “at some point OC * j was treated as a vowel initial and glottali zed: * j � * � j” (1995c: 292).

81

* � > d (A), j (B); or * r > l (A/B)

* l > d (A), � (B)

Pulleyblank also sets up the same consonantal inventory in syllable final position,

although this does not include the fricative series which he assumes may have

“merged with the yin [glide] finals… before the time of the Shiji ng” (1991b: 51).121

For words with non-velar initials or finals, which may be labialized or palatalized

themselves and thus affect the vowel quality, that others have reconstructed with

rounded vowels and front vowels, Pulleyblank assumes that “* -n, * -t and *-l were

formative suffixes122 and… when they were added to morphemes ending in a

rounded glide, the glide moved in front of the nucleus: *Caw-n � *Cwan, etc”

(1993a: 367) and that front vowels are derived from “Cj- clusters or perhaps in some

cases a palatalizing prefix such as *�-” (2004: 7)123. On this basis, Pulleyblank is able

to set up a rhyme vowel contrast of just two vowels; one ‘ inner’ schwa vowel -� -

alternating with zero, and one ‘outer’ vowel -a-124. This gives the following

121 Pulleyblank supports this by saying: “There is, of course, no a priori reason why Old or Proto-Chinese should have had the same set of consonants in syllable initial and final position. This was certainly not true of Middle Chinese nor is such a situation found in modern dialects. Nevertheless, we know that reduction in syllable finals has been a continuing process in the diachronic evolution of East Asian languages and it is therefore not unreasonable to hypothesize that there may have once been a stage in which syllable initial and final possibili ties were the same, especiall y if, as I suspect, the language was not simply monosyllabic as it later became but could have unaccented syllabic suff ixes as well as prefixes” (1991b: 51). 122 On the basis of the relationship in Classical Chinese between the negative particles ending in * -t, fú �

put and wù � mut versus wú � mua� and bù puw’ , Pulleyblank suggests that “ judging by later usage, one should regard bù and wú as the unmarked terms and define the opposition as, perhaps, non-punctual versus punctual or aoristic or as stative versus changes of state” (1991c: 38). Focusing on their specific functions in the oracle-bone language, Takashima (1994.1: 382) prefers to classify the particles according to their modalit y which is identified morphologically by their initials: bù puw’ and fú

� put both being non-modal, wù � mut and wú � mua� both being modal. As Takashima

observes, Pulleyblank’s aspectual distinction can also be applied to the pre-Classical language and consequently he has “paid equal attention to the initials as indicating modality, but it has also become clear that the finals reflect aspects” (ibid). As regards the suff ix *-n, on the basis of the Classical Chinese particles ya

n � ian, rán � ian, yún � wun ‘say so’ (derived from the same root as yue

�

wuat ‘say’ used to introduce quotations), yuán � wuan ‘ thereupon’ , Pulleyblank concludes that there was “a suffix *-n, inherited from Sino-Tibetan that may originall y have been a mark of non-perfective or durative aspect, the anaphoric pronominal meaning being a secondary development” (1995d: 80). The function of suff ixal * -l has not yet been clearly identified. 123 The argument for a palatalizing *

�- prefix is made in Pulleyblank’s 1995b emendation of his 1991b

paper where he replaces the initial *s- from his 1991b consonantal system to posit instead the palatal fricative *xj. This change also requires him to change his original *xj to a lateral fricative * � -. This is made on the assumption that “*x j would have become a palatal fricative [ � ], or even palato-alveolar [

�]

at a very early period… One of the important functions that has been attributed to Sino-Tibetan *s is that of a suffix and prefix. As a suffix it plays an important role in Tibetan verbal morphology and, more generally, in word formation. It has been identified as the source of the Middle Chinese Departing Tone. This is not affected if we change the reconstruction to *x j. In fact it helps to account for the fact that after *t the suffix gave a palatal glide -jh in EMC. It is likely that it also had a palatalizing effect as a prefix” (1995b: 2). 124 Such a system is not too different from that of Li Fang-kuei (1971) who postulated four main

82

reconstructions for the for the traditional 31 Shiji ng rhyme categories:125

Yin (a) Yang (b) Ru (c)

I � -� m � -� p

II � -am � -ap

II I � -� l � -� n � -� t IV(i) � -al -an -at

(ii) � -at� 126

V -� j � -� j� � -� jk

VI � -aj � -aj� � -ajk

VII � -� � � -� � � -� k

VII I � -a� � -a� � -ak

IX � -� w � -� w� � -� wk

X � -a� -a� � ! -a� k

XI " -aw # -awk

rhyme vowels -$ -, -a-, -i-, -u- with an additional class of labiovelar consonants in initial and final position. As Pulleyblank observes “The four vowel system that he sets up is certainly quite attractive in terms of naturalness but he still does not succeed in making a uniform distribution of vowels and final consonants. The vowels -% - and -a- occur in front of all consonants classes but -i- is found only in front of dentals and velars and -u- is found only in front of velars. Moreover, to complete his system he requires three vowel clusters, i % , ia and ua, which are considered to rhyme with % or a and which have a limited and defective distribution. This aspect of his system, which seems to me rather ad hoc and arbitrary, detracts considerably from its naturalness” (1991b: 45). Pulleyblank’s reduction of this to a two-way contrast between -$ - and -a-, according to the methods outlined above, has been questioned by other scholars in terms of naturalness. However as Pulleyblank observes, Northwest Caucasian, Australian, New Guinean languages, as well as modern day Mandarin have all been analyzed in a similar fashion. Furthermore, Pulleyblank (1993b: 63-118, 135-141) has suggested that such an analysis can also be made of Proto-Indo-European. 125 When occurring as finals, the secondary vocalic articulations of the velars are written with semivowel preceding the consonant, rather than after with a raised semi-vowel. This is a purely notational distinction with no phonological implication. 126 The rhyming of the Shijing suggests that when rhymes in & * -at are followed by an * -

' suffix,

they should be reconstructed as their own rhyme class ( * -at' . This only occurs in words of this type,

the reason for which has been outlined by Pulleyblank as follows: “Old Chinese rhyming and hsieh-sheng contacts between Middle Chinese words with open syllables and words with final stops are far more common in the departing tone. This is most apparent in those Middle Chinese rhymes which exist only in the departing tone… and which show abundant contacts with -t. Recognition of this phenomenon at one time led Karlgren to suppose that the final stop consonants had been lost under the influence of tone. He later abandoned this idea in favour of the reconstruction of voiced -g, -d, -b, but he left unexplained: (1) why vocalization of -d to -i should always result in the falling tone, while the parallel vocalization of -r to -i or -0 could result in any tone, (2) why, although final -g gave all three tones, contacts with -k are much commoner in cases where it gave the falling tone… According to Haudricourt[‘ s study of Vietnamese] it can be shown that the falling tone has developed from an earlier final -h representing an original -s [reconstructed in this paper as -

']. He suggested that the same thing

may have happened in Chinese… [There is] supporting evidence from early transcriptions which show that a final sibilant form original * ts was stil l pronounced in Chinese until the third century A.D” (1962: 216-217). See also fn.133.

83

As regards the missing finals for a complete system -� � , -� � � , -� � k and -aw� ,

Pulleyblank suggests: “It appears that *-� � � merged with * -� w� in the standard

language and with * -a� � in proto-Min. On the other hand *-� � k merged either with

* -� k or * � wk in the standard language and with * -a� k in proto-Min. We have found

cases where * -� � merged with * -� � but there may also be cases where it merged with

* -� w” (2004: 159)127; “As far as *aw� is concerned, I suspect it lost its labialization

and merged with -a� ” (1991b: 50).128

Pulleyblank’s vowel system is also contingent on two other features. The first is a

prosodic distinction between words with rising and falling accents, the latter of which

“was responsible for the insertion of a high central vowel, � , as the first element in the

nucleus of Type B syllables, either replacing /� / or forming a diphthong with the

following /a/” (1994: 73)129. This prosodic contrast provides an explanation for

Pulleyblank’s EMC distinction between Type A finals (those with a plain -� - or -a-

vowel nucleus) and Type B (those with a high vowel nucleus -i-, -� - or -u- either

replacing -� - or occurring as a diphthong with -a-). The second is a vowel length

distinction which is used to explain cases where positing initial * r- to explain Type

A, Grade II, finals “contradicts the hypothesis that - was merely an obligatory onset

127 A selection of Pulleyblank’s (2004: 157-159) examples may be quoted accordingly: “The clearest example is ér � E.� in which the graph, as a pictogram, belongs primarily to a word that we can reconstruct as *n�� � meaning ‘whiskers’ but which was borrowed at an early stage, presumably after * -� � had shifted to * -� � , to write the particle ér � *n�� � ‘ then, and (as a connective between serial verbs); your’ , a weaker variant, in both senses, of n� i � E.n� j’ < *n�� � � ‘ then; your’ . Graphically � plays a phonetic role in xu

� � E.sua� < sna

� � ‘wait; require, need’ a homophone of xu

� � ‘beard;

wait’… Ér � is also phonetic in rù � E. � uwk ‘ fish roe’ , also read ér E. � � , and in n� E. nruwk, also E. nr �k, ‘shame’ (equivalent in the first reading to n� ! ). This suggests that * -� � k simpli fied either to * -� �k or * -� wk, presumably in different Old Chinese dialects. Another contact between the Old Chinese rhyme group zhi

� " in * -� � and the h# u $ rhyme group in *-a

� is w% & E.mua� <

*ma� �

‘ insult’ , with m' i ( *-m� j ‘every’ as phonetic… [T]he Min colloquial forms indicate a third alternative merger with *-a

�k: dú ) E. dawk < * �� � k F[uzhou] t* y� ( + ) tu� (, ), X[iamen] ( + ) tak

(, ) t- k… The pattern of merger of * -� � - with *-a�- in Min is more strongly supported in the case of

words in the yáng cateory with cases li ke do�ng . E. taw/ < t�� w/ < *t�� � / . F[uzhou] t* y/ ( + ) tu/

(, ), X[iamen] ta/ ( + ) t- / (, )” . 128 Pulleyblank (1991b: 50) provides the following examples: “An irregular rhyme such as huang 0 EMC 1 wa/ rhyming with ji an 2 EMC ka�m, yan 3 EMC / iam, and lan 4 lam in Ode 305/5 may be a (dialect?) survival of * -a/ w; compare hao 5 EMC 1 aw ‘moat,’ which is probably cognate to huang 6 EMC 1 wa/ ‘moat.’ A similar merger of *awk with *ak occurred in all Grade III finals and many Grade I finals between Old and Early Middle Chinese.” 129 In his 1992 reconstruction, Baxter adopted Karlgren’s medial yod hypothesis unchanged. However in his 1995 revision, he seems to have adopted Starostin’s (1989) proposal for a vowel length distinction. This has been criticized by Pulleyblank for a variety of reasons including the “key problem [of how to account for]… the palatalization of dentals in Type B syllables” and the fact that “ In the post-Hàn period the vowel length distinction is assumed to survive unchanged, only to disappear suddenly without trace in the Middle Chinese of the Qièyùn, being replaced in some cases by small changes in vowel quality” . He concludes that “Starostin’s account of the development of Middle Chinese from Old Chinese is entirely ad hoc and not to be taken seriously” (2001: 32-35).

84

for vowel initial words” (1995c: 294-5)130 as well as to “account for the two types of

distinct reflexes in Type B syllables in Middle Chinese derived from the OC yú �

category… and OC ge�� � category” as shown in words like zhu

� � t� � a� < * tàa� and

zhe� � t� � a� < * tàaa� 131 and “the two types of EMC reflexes in -� ak and -iajk

respectively for entering tone words in the… [OC duó ] category” (ibid: 302-3) for

example in zhuó t� � aa� k < * kàk and shí � d� iajk < * a� kàak132.

In addition to the *a� -, * - prefixes and the * -n, *-t and * -l suffixes mentioned above,

suffixal * -� and *- which are assumed to have given the EMC rising and departing

tones respectively may also be postulated with a good degree of certainty in Old

Chinese.133 There was undoubtedly an extremely complex system of affixation in Old

130 Pulleyblank bases this on the following phonological process: “ I assume that in Type A syllables the second mora in long vowels was raised to � : *aa

� > EMC a� > � � > LMC (j)a�. Medial *r was also

metathesized and then velarized to � in Type A syllables, Cra�- > Car- > Ca� -, Cr�� > C� r- > C� � -,

merging with original long vowels. Vowel length was retained in LMC and continues to be reflected in the long [a�] of modern Cantonese” (1995c: 302). 131 Pulleyblank assumes the following phonological derivation to explain the development of Type B syllables in the OC yú � (*-a

� � � > -iaa� and * -a

� � > �a� ) and ge

�� � (* -a

� �l > -iaa� and * -a

�l > -ia� )

groups: “ In terms of syllable structure… the difference is between VV diphthongs and V followed by a glide. This suggests that it could go back to a vowel length distinction in Old Chinese… Assuming that there was a distinction of vowel length, *-aa

� versus * -aaa

�, in the yú � category, this would have

given * - �aa� and * - �aaa

� [in Type B syllables]. To derive the EMC rhymes from this, I assume that both

were shortened by one segment * - �aa� lost its second V segment and became *- �a� while the overlong

syllable * - �aaa� was reduced to * - �aa

� but remained distinct. After coronal initials *- �aa

� fronted to *-iaa

�

but * - �a� was unaffected” (1995c: 296-299) 132 Pulleyblank assumes the following phonological derivation to explain the development of Type B syllables after non-retroflex coronal initials in the OC duó � (*a

�k > �aa� k and *a

�� �k > iajk) group: “On

the assumption that it reflects the OC distinction between long and short *a, we must assume that the * - �aa- was fronted to * -iaa- under the influence of a coronal initial, after which the overlong syllable was reduced to -ia-, while * - �a- was unaffected. This was followed by the fronting of final * -k to -kj (written -jk in my EMC transcription) after -ia-” (1995c: 301-2). It must be made clear that such a distinction is only made for non-retroflex coronal initials, for medial *-r- after velar and labial initials “merged with * � to give high front -i-” causing the same change of the final plain velar to a palatal velar after -ia- (as was the case with coronal initials followed by a long vowel):* -ra

�k > iajk, while in

the case of coronal initials “r merged [with them] to form retroflex segments: * tr > t�r, *tsr > t , etc., in

which case the inserted high vowel -i- was unaffected” (ibid.): * -ra�k > - �aa� k.

133 The evidence for a suffix * -! has been discussed in fn.126. Although * -at

! rhymes as a separate

rhyme category in the Shijing, in the cases of other ru-sheng codas in -t!, * -k

!, * -jk

!, * -wk

! and * -" k

!,

they all seem to have given EMC reflexes analogous to those of their respective yin-sheng codas * l!,

* -� !

, * -j!, * -w

! and * " !

respectively. These changes seem to have sometimes affected Shijing rhyming, with for example, words in * -k

! rhyming with others in* -

� !. As for -p

!, it seems to have merged with

-t! well before the time of the Shijing, as shown by cases li ke rù # $ ip < * % j&� p and its xiesheng

derivative nèi ' nw& jh < * % j&( t! < (% j&( p!). The Yin-sheng (glide) and yang-sheng (nasal) codas

developed regularly as their counterparts without a suffixal*-!. As for the suffix * -) , Pulleyblank says:

“The internal Chinese evidence for a final glottal stop on the rising tone has been discussed rather thoroughly by Mei Tsu-lin (1970 [Tones and Prosody in Middle Chinese and the Origin of the Rising Tone. Harvard Journal of Asiatic Studies 30: 86-100]). He mentions in particular the survival of a final glottal stop in this tone in some modern dialects, including Wen-zhou and some outlying Min dialects, and the evidence from the Tang period that the rising tone was considered most appropriate to represent vowel shortness in transcribing Sanskrit into Chinese characters” (1978: 174).

85

Chinese, however reconstruction of this is still in its elementary stages. Even in PTB

where the role of affixation is much more apparent, Matisoff (2003: 93-96) lists eight

different evolutionary courses for prefixes to take, often with little predictability.134

At the current stage of knowledge, it is very difficult to assign any precise

morphological function to OC affixes and the grounds for positing them are usually

based on xiesheng evidence within the parameters of normal phonological change.135

134 The eight listed are: prefix preservation; prefix loss or absence; prefix substitution or prefix alternation; prefix fusion; prefix preemption (“whereby the prefix drives out the original root initial” ); reprefixation; metanalysis of an original cluster with loss of initial consonant (“a true consonant cluster consisting of root-initial consonant plus glide gets metanalyzed as a prefix plus root-initial glide, with subsequent loss of the ‘prefixal’ element” ); metanalysis of compound > prefixation (the end of the first syllable of an original compound has been incorporated into the onset of the second syllable, so that the first syllable has essentially been ‘prefixized’ , or treated as prefix” ) (ibid.: 93-96). 135 Sagart (1999: 63-135) provides a good analysis of the principle arguments for the variety of prefixes, suffixes and initial clusters that have been posited for Old Chinese.

86

Appendix 2 Comparative Table of Old and Middle Chinese Rhyme Groups

The following charts show a comparison of the reconstruction of Old Chinese rhymes

and their Middle Chinese reflexes according to Karlgren (1954), Li Fang-Kuei (1971),

Baxter (1992; 1995) and Pulleyblank (1984; 1991b).

The following points may be noted:

• The numbers assigned to the groups correspond to the table on p.82.

• The initial * w- in the lower sections of the OC rhyme groups is used to represent

all types of labial and labialized initials

• In Pulleyblank’s system only EMC, and not LMC, reconstructions are given. The

systems of Karlgren, Li and Baxter do not explicitly make a distinction between

the two.

• In Li’s system no Middle Chinese reflexes are given as they are identical to

Karlgren’s, bar a few notational distinctions.136

• All reconstructions are given in the International Phonetic Alphabet, adopted

throughout this paper, rather than in any other systems of transcription that may

have been used by the respective authors.

• Pulleyblank’s * -a� glide reconstructed after the open vowel * -a as a syllable

closure in EMC, is included in the table for reference. However following the

practice in his lexicon (1991b), they are not included in the EMC transcriptions

used in the body of this thesis.

136 Li Fang-kuei changes the Middle Chinese -i reflex, of the

� group, to -ï as a functional notation

to distinguish it from -(j)i derived from the � group. He does the same to -ai and -wai of the � /� group changing them to -aï and -waï to distinguish them from -ai and -wai of the� group. He also makes a notational distinction between the chongniu (see the discussion on p.79), which Karlgren did not recognize in his system, by reconstructing a contrast between medial -i- and -ji-. See Li (1974: 224-227) for an English summary of these changes.

87

Karlgren Li Baxter Pulleyblank

Ib. �

� m>�� m � m � �m/u�m>� m �� m>� m � m>a�m r� m r� �m/ri �m/ru�m>� m r�� m/(r)j �� m>� �m

j � m>j � m [j� m>j � m] (r)j(i)� m (r)� m/(r)im/(r)um>(j)im (r)�� m/(r)j �� m>(j)im

i � m>iem i � m i �m>em j � m>� m

(j)u�m>(j)u w(j)� m w(r)� m/w(r)um>juw w�� m>uw

Ic.

� p>�� p � p � �p/u�p>� p �� p>� p � p>a�p r� p r� �p/ri �p/ru�p>� p r�� p>a�p

j � p>j � p [j� p>j � p] (r)j(i)� p (r)� p/(r)ip/(r)up>(j)ip (r)�� p/(r)j �� p>(j)ip

i � p>iep i � p i �p>ep j �� p>� p

IIb. �

� m>� m am a�m/o�m>am/� m a�m>am

am>am ram ra�m>� m ra�m>a�m

a�m>a

�m riam re�m/ro�m>� m rja

�m>� �m

ja�m>j� m jam am/(r)om>j� m a

�m>�am

jam>j � m (r)j(i)am (r)am/(r)em/(r)om>j(i)em (r)a

�m/(r)ja

�m>(j)iam

iam>iem iam e�m>em ja�m>� m

jwa�m>jw� m wjam wam/(r)om>j� m wa

�m>uam

IIc. � /

� p>� p ap a�p/o�p>ap/� p a�p>ap

ap>ap rap ra�p>� p ra�p>a�p

a�p>a

�p riap re�p/ro�p>� p rja

�p>� �p

ja�p>j� p jap

ap/(r)op>j� p a�p>�ap

jap>j � p (r)j(i)ap (r)ap/(r)ep/(r)op>j(i)ep (r)a�p/(r)ja

�p>(j)iap

iap>iep iap e�p>ep ja�p>� p

jwa�p>jw� p wjap wap/(r)op>j� p wa

�p>uap

88

III a. �

� d/r>�� i � d � � j>� j �� l>� j � d/r>a�i r� d r� � j>� j r�� l>� � j

j � d/r>je�i/ji j � d/(r)ji � d � j/(r)� j>j � j/ij �� l/(r)�� l>� j/(j)i

i � d/r>iei ied � � j>ej �� l>� j

w� d/r>w�� i w� d w� � j/uj>w� j w�� l>w� j

w� d/r>wa�i wr� d wr� � j/ruj>w� j wr�� l/rw�� l>w� � j

jw� d/r>jwe�i/jwi wj � d/wji � d~w(r)j � d w� j~uj/wr� j~(r)uj>jw� j/wij w�� l/wr�� l~(r)w�� l>uj/(j)wi

III b. �

� n>� n � n � �n>� n �� n>� n � n>a�n r� n r� �n>� n r�� n>� �n

j � n>j � n/je�n j � n/(r)ji � n � n/(r)� n>j � n/in �� n/(r)�� n>�n/(j)in

i � n>ien ien � �n>en j �� n>� n

w� n>u� n w� n w� �n/u�n>w� n w�� n>w� n

w� n>wa�n wr� n wr� �n/ru�n>w� n wr�� n/rw�� n>w� �n

jw� n>ju� n/jue�n wj � n/wji � n~w(r)ji � n w� n~un/wr� n~(r)un>jun/win w�� n/wr�� n~(r)w�� n>un/(j)win

III c. � /�

� t>� t � t � �t>� t �� t>� t � t>a�t r� t r� �t>� t r�� t>� � t

j � t>j � t/je�t j � t/(r)ji � t � t/(r)� t>j � t/it �� t/(r)�� t>� t/(j)it

i � t>iet i � t � �t>et j �� t> � t

w� t>u� t w� t w� �t/u�t>w� t w�� t>w� t

w� t>wa�t r(i)� t wr� �t/ru�t>w� t wr�� t/rw�� t>w� � t

jw� t>jw� t/jwe�t wj � t/wji � t~w(r)j � t w� t~ut/wr� t~(r)ut>jut/wit w�� t/wr� t~(r)w� t>ut/(j)wit

Va. �

� (r)>� ar a� j>a a�l>aa

a(r)/[a�r]>a/[ai] rar ra� j>� ra

�l>a�

jar/ia/[ja�r]>ie

� (r)j(i)ar (r)aj>je (r)a

�l>ia

ja>ja jar Aj>j� a� � l>iaa

w� (r)>u� war/uar wa� j/oj>wa wa�l>waa

wa(r)>wa wrar/ruar wra� j/roj>w� wra( �)l/rwa�( �)l>wa�

89

jwar/wia/[jwa�r]>wie

� wj(i)ar/(r)juar w(r)aj/(r)oj>jwe w(r)a

�l/(r)wa

�l>(j)wia

IVb. �

� n>� n wan a�n>an a�n>an

an>an ran ra�n>� n ra

�n>a�n

a�n>a

�n rian re�n>� n rja

�n>� �n

ja�n>j� n jan an>j� n a

�n>�an

jan>j � n (r)j(i)an (r)an/(r)en>jen (r)a�n/(r)ja

�n>(j)ian

ian>ien ian e�n>en ja�n>� n

w� n>u� n wan/uan wa�n/on>wan wa�n>wan

wan>wan wran/ruan wra�n/wre�n/ro�n>w� n wra

�n/wrja

�n/rwa

�n>wa�n

jwa�n>jw� n wjan/juan wan/on>w� n wa

�n>uan

jwan>jw� n wj(i)an/(r)juan wran/w(r)en/(r)on>jw(i)en wra�n/w(r)ja

�n/(r)wa

�n>(j)wian

iwan>iwen wian we�n>wen wja�n>w� n

IVc(i). �

� t>� t at a�t>at a�t>at

at>at rat ra�t>� t ra�t>a� t

a�t>a

�t riat re�t>� t rja

�t>� �t

ja�t>j� t jat at>j� t

a�t>�at

jat>j � t (r)j(i)at (r)at/(r)et>j(i)et (r)a�t/(r)ja

�t>(j)iat

iat>iet wiat e�t>et ja�t>� t

w� t>u� t wat/uat wa�t/o�t>wat wa�t>wat

wat>wat wrat

wra�t/wre�t>w� t wra

�t/wrja

�t>wa� t

wa�t>wa

�t ruat ro�t>w� t rwa

�t>w� � t

jwa�t>jw� t wjat/juat

wat/ot>jw� t wa�t>uat

jwat>jw� t wj(i)at/(r)juat wrat/w(r)et/(r)ot>jw(i)et wra�t/w(r)ja

�t/(r)wa

�t>(j)wiat

iwat>iwet wiat we�t>wet wja�t>w� t

IVc(ii ). �

� d>� i adh a�ts>ajH a�t�>ajh

ad>ai radh ra�ts>� jH ra�t�>a� jh

a�d>a

�i riadh re�ts>� jH rja

�t�>� � jh

ja�d>j� i

jadh ats>j� jH a�t�>�ajh

jad>j � I (r)j(i)adh (r)ats/(r)ets>j(i)ejH (r)a�t�/(r)ja

�t�>(j)iajh

90

iad>iei iadh e�ts>ejH ja�t�>� jh

w� d>w� i wadh/uadh wa�ts/o�ts>wajH wa�t�>wajh

wad>wai wradh wra�ts/wre�ts>w� jH wra�t�/wrja

�t�>wa� jh

wa�d>wa

�i ruadh ro�ts>w� jH rwa

�t�>w� � jh

jwa�d>jw� i wjad/juadh wats/ots>jw� jH wa

�t�>uajh

jwad>jw� i w(r)j(i)adh/(r)juadh wrats/w(r)ets/(r)ots>jw(i)ejH wra�t�/w(r)ja

�t�/(r)wa

�t�>(j)wiajh

iwad>iwei wiadh we�ts>wejH wja�t�>w� jh

Va. �

(� d>a�i) rid ri � j>� j r�� j>� � j

je�d>(j)i (r)jid (r)ij>(j)ij (r)�� j>(j)i

ied>iei id i � j>ej �� j>� j

(w� d>wa�i) wrid wri � j>w� j wr�� j>w� � j

jwe�d>(j)wi w(r)jid w(r)ij>(j)wij w(r)�� j>(j)wi

iwed>iwei wid wi � j>wej w�� j>w� j

Vb. �

[� n]>a�n rin ri �n>� n r�� j � >� �n

je�n>j(i)e

�n/j� n jin/(r)jin in/rin>(j)in/in �� j � /r�� j � >(j)in/(j)ian

ien>ien in i �n>en ��� j � >� n

[w� n]>wa�n wrin wri �n>w� n wr�� j � >w� �n

jwe�n>jue

�n/jw� n wjin win/wrin>(j)win/win w�� j � /wr�� j � >(j)win/(j)wian

iwen>iwen win wi �n>wen w��� j � >w� n

Vc. �

[� t]>a�t rit ri �t>� t r�� jk>� � t

je�t>j(i)e

�t/j� t jit/(r)jit it/rit>(j)it/it �� jk/r�� jk>(j)it/(j)iat

iet>iet it i �t>et ��� jk>� t

[w� t]>wa�t writ wri �t>w� t wr�� jk>w� � t

jwe�t>jue

�t/jw� t wjit wit/writ>(j)wit/wit w�� jk/wr�� j � >(j)wit/(j)wiat

iwet>iwet wit wi �t>wet w��� jk>w� t

VIa. � /�

e�g>ai rig re�>� � ra

�j>a� j

91

je�g>j(i)e

� (r)jig (r)e>j(i)e (r)a

�j>(j)ia

ieg>iei ig e�>ej a�j>� j

we�g>wai wrig wre�>w� � wra

�j>wa� j

jwe�g>jw(i)e

� w(r)jig w(r)e>jw(i)e w(r)a

�j>(j)wia

iweg>iwei wig we�>wej wa�j>w� j

VIb. �

e� >� � ri � re� � >� � ra�j � >� � j �

je� � >j � � (r)ji � (r)e� /re� >j(i)e� /j� � (r)a

�j � /ra

� �j � >(j)iaj �

ie� >ie� i � e� � >e� a�j � >� j�

we� >w� � wri � wre� � >w� � wra�j � >w� � j �

jwe� � >jw� � wji � we� /wre� >jwie� /jw� � wa

�j � /wra

�j � >(j)wiaj �

iwe� >iwe� wi � we� � >we� wa�j � >w� j �

VIc. �

ek>� k rik re�k>� k ra�jk>� � jk

je�k>j � k (r)jik (r)ek/rek>j(i)ek/j� k (r)a

�jk/ra

� �jk>(j)iajk

iek>iek ik e�k>ek a�jk>� jk

wek>w� k wrik wre�k>w� k wra�jk>w� � jk

jwe�k>jw� k wjik wek/wrek>jwiek/jw� k wa

�jk/wra

�jk>(j)wiajk

iwek>iwek wik we�k>wek wa�jk>w� jk

VIIa. �

� g>�� i � g � �> � j �� � >� j � g>a�i r� g r� �> j r� � >� � j

j � g>i (r)j(i)� g (r)� >i (r)�� � >�

(w)� g>�� u/u � i w� g w� �/(r)o�>w� j/uw w� � >� w/w� j

w� g>wa�i wr� g wr� �>w j rw� � >w� � j

ju�g/j(w)� g>j �� u/jwi wj � g/wji � g w� /wr� >juw/wij (r)w�� � >uw/(j)wi

VIIb. �

� � >� � � � � � � >� � � � >� � � � >� � r� � r� � � > � r� � >� � j �

j � � >j � � (r)j(i)� � (r)� � >i � (r)�� � >(j)i �

92

w� � >w� � w� � w� � � >� � w� � >w� �

w� � >� � wr� � wr� � � > � wr� � >w� � j �

ju� � /wj � � >ju� /wj � � wj � � /wji � � w� � /wr� � >juw� /wi � w�� � /wr�� � >uw� /wi �

VIIc. �

� k>� k � k � �k>� k � k>� k � k>� k r� k r� �k> k r� k>� � jk

j � k>j � k (r)j(i)� k (r)� k>ik (r)�� k>(j)ik

w� k>w� k w� k w� �k>� k w� k>w� k

w� k>� k wr� k wr� �k> k wr� k>w� � jk

ju�k/wj � k>juk/wj � k wj � k/wji � k w� k/wr� k>juwk/wik w�� k/wr�� k>uwk/wik

VIII a. �

� / g>u� ag a�>u a �

>� � /a�g>a rag ra�>� ra

�>a�

j � /jag>jw� (r)jag (r)a>j� (r)a� �

>�a� j� /ja

�g>ja jiag A>j� a

� � � >iaa�

w� /w g>u� wag wa�>u wa �

>� w� /wa

�g>wa wrag wra�>w� wra

�>wa�

jw� /jwag>ju w(r)jag w(r)a>ju w(r)a� �

>ua�

VIII b. �

� > � a� a� � >a� a � >aa� �

a� � >� � ra� ra� � >� � ra

� >a� j �

ja� � /ja� >j� � /ja� (r)jia� /(r)ja� ra� /(r)a� >j� � /ja� ra

� � /(r)a� � >iaj � / �aa� �

w � >w � wa� wa� � >wa� wa � >waa� �

wa� � >w� � wra� wra� � >w� � wra

� >wa� j �

jwa� � /jwa� >jw� � /jwa� wjia� /wja� wra� /wa� >jw� � /jwa� wra

� � /wa� � >wiaj � /uaa� �

VIII c. �

k> k ak a�k>ak ak>aa� k

a�k>� k rak ra�k>� k ra

k>a� jk

jak>jak (r)jiak/(r)jak rak/(r)ak>j� k/jak ra�k/(r)a

�k>iajk/ �aa� k

93

ja�k>j� k/j k jiak Ak>jek (acute) a

�� �k>(j)iajk

w k>w k wak wa�k>wak wak>waa� k

wa�k>w� k wrak wra�k>w� k wrak>wa� jk

jwak>jwak wjiak/wjak wrak/wak>jw� k/jwak wra�k/wa

�k>wiajk/uaa� k

IXa. �

og/[ug]> u/�� u � gw u�/U�>aw/uw � w>aw/� w

o�g>au r� gw ru�/ri �w>� w r� w>a�w

jog/[j �� g]>j(i)e�u (r)j(i)� gw (r)u/(r)iw>juw/jiw (r)�� w/(r)j �� w>uw/jiw

iog>ieu i � gw i �w>ew j � w> w

[jw� g]>jwi wji � gw wru>wij wr�� w>(j)wi

IXb. � /�

o� >u� � � � w u� � >� w� � w� >aw�

o� � >� � r� � w ru� � >� w� r� w� >a�w� (� �w� )

jo� >ju� (r)j � � w (r)u� >juw� (r)�� w� >uw�

IXc. � /�

ok>u� k � kw u�k>� wk � wk>awk

o�k>� k r� kw ru�k/ri �wk>� wk r� wk>a�wk (� �wk)

jok>juk (r)j � kw (r)uk/(r)iwk >juwk (r)�� wk>uwk

iok>iek i � kw i �wk>ek j � wk> jk

Xa. �

u(g)>e�u ug (r)o�>uw a

�>� w

ju(g)>ju (r)jug (r)o>ju(w)137 (r)a� �

>ua�

Xb. �

u� >u� u� o� � >uw� a � � >� w�

u� � >� � ru� ro� � >� w� ra

� � >a�w� (� �w� )

137 Baxter (1992: 502) comments “We often find M[iddle]C[hinese] TSrjuw < TSrjo instead of the expected TSrju” . It seems more likely that such words were derived from proto-OC *- � (corresponding to a reconstruction of the� group as * -a

�) which in turn gave * - w > uw. This would

explain variations li ke q� tshua� ’ < *kkja �

and z(h)òu � d� uwh < *a� kjr � � .

94

ju� >jw� � (r)ju� (r)o� >j� w� (r)a� � � >uaw�

Xc. �

uk>uk uk o�k>uwk a �

k>� wk

u�k>� k ruk ro�k>� wk ra

�k>a�wk (� �wk)

juk>jw� k (r)juk (r)ok>j� wk (r)a� �

k>uawk

XIa. �

� g> u agw a�w>aw aw>aw �� g>au ragw ra�w/re�w>� w raw>a�w

j � g>j u [j �� g>je�u] (r)j(i)agw (r)aw/(r)ew>j(i)ew (r)a

�w/(r)ja

�w>(j)iaw

i � g>ieu iagw e�w>ew jaw> w

XIc. � /�

� k/[� k]/[uk]>u� k/ k/uk akw a�wk>� wk/ak/uwk awk>awk/aa� k/� wk �� k>� k rakw ra�wk/re�wk>� wk rawk>a�wk

j � k>jak (r)jakw (r)awk/(r)ewk>jak (r)a�wk>�aa� k

i � k>iek iakw e�wk>ek jawk> jk

95

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