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Home , Classical Chinese, Grave and acute, Hashimoto Mantaro, Middle Chinese, Old Chinese, Old Mandarin

This dissertation has been microfilmed exactly as received ® 6 —6 265

HASHIMOTO, Mantaro Joseph, 1932- OF ANCIENT CHINESE. (VOLUMES I AND II).

The State , Ph.D., 1965 Laj'guage and ,

University Microfilms, Inc., Ann Arbor, Michigan Copyright by

Hantaro Joseph Hashimoto

1966 PHONOLOGY OF ANCIENT CHINESE

Volume 1

DISSERTATION

Presented in Partial Fulfillment of the Requirements

for the Degree Doctor of

in the Graduate School of

The

By

Mantaro Joseph Hashimoto, B. Litt., M. Litt,

******»%

The Ohio State University

1965

Approved by

AÂ Adviser

Division of Linguistics ACKNOWLEDGMENTS

I want to express my respectful gratitude to Professor

William S-. for his support and guidance, 1 am also indebted to Professors Charles . Fillmore and D. Terrence

Langendoen of the Division of Linguistics, and Professor

Robert M. Estrich of the Department of English for their help in the correction and improvement of this study.

Besides the professors of my committee, five distinguished scholars in the field. Professors Nicholas

C. Bodman, Paul B. Denlinger, Fang-kuei , Edwin , Pul- leyblank and Paul L-M. Serruys, kindly read the whole or a part of the draft of this study. Professor Morris Halle has been kind enough to give prompt and pertinent answer to me whenever 1 raise any question, I deeply profited from the comments and suggestions given by these scholars.

My heartfelt thanks are also due to my wife, without whose patient help this study would not have been completed.

This work was supported by funds from the Office of

Naval Research, Grant . Nonr 495(27).

11 VITA

November 26, 1932 Born - Ota, Gumma-ken,

1955 ...... B, Litt., University of , Tokyo, Japan

1957 ...... M. Litt., , Tokyo, Japan

1957-1965 ...... D. Litt. Candidate, University of Tokyo, Tokyo, Japan

1959-1962 ...... Lecturer in Japanese, Asia University, Tokyo, Japan

1962-1963 ...... Research Associate in Linguistics, University of Illinois, Urbana, Illinois

1963-1965 ...... Instructor in Chinese linguistics and Japanese, The Ohio State University, Columbus, Ohio

1963-1965 ...... Research Associate in linguistics. The Ohio State University, Columbus, Ohio

PUBLICATIONS

In English:

"Hakka Phonemics: the of Moi- and its phonemic system," Genao Kenkvuu (Journal of the Linguistic Society of Japan), XXXV (1959), 52-85.

"A contribution to the study of Chinese phonology," Transactions of the International Conference of Orientalists in Japan. V (1960). 25-32.

"The Bon-shio dialect of Hainan: a historical and compara­ tive study of its phonological structure," Genao Ken­ kvuu (Journal of the Linguistic Society of Japan), XXXVIII (I960), 106-35.

iii "The phonemic structure of the Bon-shio dialect of Hainan," Gengo Kenkvuu (Journal of the Linguistic Society of Japan;, XXXVIII (1960), 154-57.

"Bilabial and alveolar implosives in a south Chinese dia­ lect," Onseino Kenkvuu (Study of Sounds; Proceedings of the First World Congress of Phoneticians), IX (1961), 255-63.

Chinese Studies in Soviet . ( on Teaching, No. 1) New Haven, Conn.; Institute of Far Eastern , Yale University. Trans, into English by . I. Chao.

In Japanese;

"Jun'yango to sono moji (The Dunganese language and its system)," Chuugokusogaku (Bulletin of the Chinese Language Society of Japan), LVIII (1957), IS­ IS; LXVII (1957), 193-99; LXVIII (1957), 220-32.

"Hakkago Kairiku Hoogen; sono onsono bunseki (The Hoi-liuk dialect of Hakka; an analysis of its phonemic system)," ChuugokugQgaku (Bulletin of the Chinese Language Society of Japan), LXXXIII (1959), 3-10, 18.

"Annan kanjionno ichitokushitsu (A characteristic of the phonological system of Sino-Vietnamese)," Chuugokugo- gaku (Studies Commemorating the 100th Issue of the Bulletin of the Chinese Language Society of Japan), C (1960), 21-33.

"Kainangono seichootaikei (The tonal system of the Bon- shio dialect of Hainan)," Tokyo Shinagakuhoo (Bulle­ tin of the Tokyo Sinological Society), VII (1961), 35-52.

"Etsugono sokumen masatsuon (Voiceless lateral in a dialect)," Chuugokugogaku (Bulletin of the Chinese Language Society of Japan), CVII (1961), 10-13.

"Shoochuujuno Tanguuto-Kan taion kenkyuuno hoohoo (A method of the reconstruction of the Tangut language)," Chuugokugogaku (Bulletin of the Chinese Language Society of Japan), CIX (1961), 13-16.

"Shingono shinshi hasatsu-masatsuon (Labiodental and fricatives in the Chin dialect of Chinese)," Toohoogaku (Eastern Studies), XXII (1961), 131-44.

iv "Daku saiseishionno tooko: nitoo zembono kasetsu (Position of voiced palatal initial in rime tables: a hypothesis of the voiced retroflex fricative initial in Ancient Chinese)," Chuugokugogaku (Bulletin of the Chinese Language Society of Japan), CXIV (1961), IS­ IS.

"Harukanaru (A love far-off by Yu)," Kuraishi Haku- Kanreki Kinen Chuugokuno Meicho (Studies Presented to Dr, Takeshiroo Kuraishi on His Sixtieth Birthday) (Tokyo: Keisoo Shoboo, 1961; 4th ed,, 1962), 352-58,

"Chuugokugono sokumen masatsuon (Voiceless lateral frica­ tive in Chinese)," Onseino Kenkvuu (Study of Sounds: Special Issue Congratulating the Eightieth Birthday of Dr, Daniel Jones), X (1962), 319-36,

"Jun'yango kenkyuushomoku kaidai (A bibliographical study of the Zhunyanese language)," Gengo Kenkvuu (Journal of the Linguistic Society of Japan), XLI (1962), 66- 81,

"Tanguutogono inno soshikini tsuite (On the rime system of the Tangut language: Tangut phonology I)," Toohoogaku (Eastern Studies), XXV (1962), 83-105,

"Seika kokusho jiten Doo'onno dookyoin (On the co-occur- ring rimes of Wen-hai in T'ung-yin: Tangut phonology II)," Gengo Kenkvuu (Journal of the Linguistic Society of Japan), XLIII (1963), 34-49,

"Bunkaino inno on'insoshikini tsuite (On the phonological system of the Tangut language: Tangut phonology III)," Toohoogaku (Eastern Studies), XXX (1965), 117-58,

FIELDS OF STUDY

Major Field: Linguistics

Studies in General Phonetics and Descriptive Linguistics, Professor Shiroo Hattori

Studies in Generative Grammar, Professor Robert B, Lees

Studies in Chinese Linguistics, Professor William S-Y, Wang

Studies in Historical and Anthropological Linguistics, Professors Shiroo Hattori and Terrence S, Kaufman Studies in . Professor Charles J. FilLmore

Studies in Mathematical Linguistics. Professor D. Terrence Langendoen

Studies in Philology. Professor Takeshiroo Kuraishi

Studies in Modern Chinese Philology. Professor Akiyasu Toodoo

V i CONTENTS

Page

ACKNOWLEDGMENTS ...... il

VITA, PUBLICATIONS AND FIELDS OF STUDY ...... iii

LIST OF TABLES ...... xii

LIST OF ILLUSTRATIONS ...... xv

CHAPTER I INTRODUCTION ...... 1

1.1 Studies of pre-modern periods ...... 2

1.2 Studies of the modern period ...... 4

1.3 Three criticisms ...... 5

1.4 The task of present-day Chinese historical phonology ...... 7

1.5 Aim and range of the present s t u d y ...... 12

1.6 Terminology regarding the major periods of Chinese historical phonology...... 15

1.7 Phonetic-phonological notations and abbrevia­ tions ...... 19

CHAPTER II DISTINCTIONS OF SOUND CLASSES WITHIN ANCIENT CHINESE ...... 22

2.1 Initial classes -- Ancient system and d ia-sy s t m...... 24

2.2 Rimes and final classes ...... ». 29

2.3 Five types of finals and the sixteen (or four­ teen) rime groups (shè's) ...... 37

2.4 The of Ancient Chinese ...... 44

2.4.1 and 68

vii 2.4.2 # and 'j ...... 71

2.4.3 ^ 1 , ^(l\ and \k- ...... 74

2.4.4 ^ and ...... 75

2.4.5 ■ and ...... 76

2.4.6 and ...... 77

2.4.7 The relationship between the Yân ) rime and the Fân ( ) rime ...... ‘...... 78

CHAPTER III THREE TRANSCRIPTIONS OF IN FOREIGN ...... 83

3.1 transcription...... 90

3.2 hP'ags-pa transcription ...... 94

3.2.1 A critical survey of the study of the hP'ags-pa ...... 95

3.2.2 Initial ...... 106

3.2.2.1 Voiceless unaspirated initials ...... 109

3.2.2.2 Voiceless aspirated labial stop ...... 128

3.2.2.3 Labiodentals ...... 129

3.2.2.4 Palatal nasal •T'. ;...... 135

3.2.2.5 Dental fricatives ...... 136

3.2.2.6 ...... 136

3.2.2.7 ...... 138

3.2.2.8 fricatives...... 139

3.2.2.9 Zero initial ...... 141

3.2.2.10 Epilogue ...... 142

3.2.3 Finals ...... 143

3.2.3.1 The Dong rime ...... 150

3.2.3.2 The Gëng rim e ...... 150

viii 3.2.3.3 The Y^ng rime ...... 155

3.2.3.4 The rime ...... 157

3.2.3.5 The Yu rime ...... 160

3.2.3.6 The rime ...... 160

3.2.3.7 The rime ...... 162

3.2.3.8 The ^n rime ...... »...... 162

3.2.3.9 The rime ...... 165

3.2.3.10 The rime ...... 169

3.2.3.11 The Ydu rime ...... 169

3.2.3.12 The Tin rime ...... 170

3.2.3.13 The rime ...... 170

3.2.3.14 The Gê rime ...... 172

3.2.3.15 The Mi rime ...... 172

3.3 Trigault's ...... 173

3.4 The correspondences of the initial system .... 173

3.5 The correspondences of the final system ...... 180

CHAPTER IV RECONSTRUCTION OF ANCIENT CHINESE SOUNDS ...... 198

4.1 Reconstruction by Karlgren ...... 199

4.1.1 The initials ..... 199

4.1.2 The finals ...... 201

4.2 Problems of reconstruction of Ancient Chinese initials ...... 206

4.2.1 Ching-niu pairs of initials ...... 207

4.2.2 The assumption of a voiced retroflex fri­ cative initial 220

XX 4.2.2.1 Historical evidence ...... 221

4.2.2.2 Evidence in modern ...... 226

4.2.3 The aspiration of voiced stops and affri­ cates 233

4.2.4 The problems of voiced chx-yxn ...... 237

4.2.5 Retroflexes and palatals ...... 247

4.2.5.1 The distinction between chx-shang-yxn and zh&ng-chx-yxn ...... 247

4.2.5.2 The reconstruction of shé-shàng-yxn .. 250

4.2.6 Rx- (palatal nasal) and £ng-mii (pala­ talized dental nasal) 253

4.2.7 Glottal stops ...... 256

4.2.8 Guttural fricatives ...... 258

4.2.9 Table of Ancient Chinese initials ...... 259

4.3 Problems of reconstruction of Ancient Chinese finals...... 262

4.3.1 Consonant endings in Ancient Chinese .... 262

4.3.1.1 The hypothesis of a palatal ending ... 266

4.3.1.2 Ancient back consonant endings in Sino-Vietnamese ...... 274

4.3.1.3 Evidence from Kan-on ...... 276

4.3.1.4 Evidence from Sino-Korean ...... 280

4.3.1.5 Evidence from Tibetan transcription 283

4.3.1.6 Evidence from the Uighur transcrip­ tions ...... 291

4.3.1.7 Tangut-Chinese and Chinese-Tangut pro­ nunciation equations ...... 294

4.3.1.8 Discussions ...... 299

4.3.1.9 Ancient palatal ending in a modern dialect ...... 308 X 4.3.1.10 Epilogue ...... 312

4.3.2 The distinction "inner" versus "outer" ... 318

4.3.2.1 The distinction "inner" versus "outer" in rime tables ...... 323

4.3.2.2 The distinction "inner" versus "outer" in M a n d a i n ...... 329

4.3.2.3 Traditional definition of the distinc­ tion "inner" versus "outer" ...... 333

4.3.2.4 Ancient distinction tense versus lax . 335

4.3.3 The phonological characterization of five types of finals ...... 345

4.3.3.1 Distinction between Division I and II Finals ...... 346

4.3.3.2 The characterization of Division III Finals ...... 355

4.3.3.3 The characterization of Paired Divi­ sion IlI/IV Finals ...... 359

4.3.3.4 The characterization of Single Divi­ sion III/IV Finals ...... 377

4.3.3.5 The characterization of Division IV Finals ...... 378

4.3.4 Tones in Ancient C h i n e s e ..... 380

4.3.4.1 Difficulties of reconstructing Ancient Chinese v a l u e ...... 380

4.3.4.2 Kan-on tones ...... 383

4.3.4.3 Go-on tones ...... 389

4.3.4.4 Some proleptical remarks ...... 390

4.3.5 Conclusion: Table of Ancient Chinese finals ...... ;...... 392

xi LIST OF TABLES

Table Page

1. Dia-system of Initial Consonants ...... 26

2. Distributional Pattern of Ancient Chinese Ini­ tials in YJ ...... 26

3. The Final System of Ancient Chinese ...... 33

4. Distributional Pattern of Ancient Chinese Finals in YJ ...... 38

5. Distributional Pattern of Exceptional Finals in Y J ...... 40

6. The Syllabary of Ancient Chinese ...... 45

7. hP'ags-pa Characters for the 36 zi-mi ...... 107

8. Yudn-mfng Zl-ltSn Yx-wén-biâo ...... 120

9. Gen-ben-zx Yx-w4n-biMo ...... 121

10. Chinese Transcription of Nasal ..... 123

11. hP'ags-pa Transcription of Finals ...... 145

12. Correspondences of Initials ...... 175

13. Correspondences of Finals ...... 180

14. Karlgren*s Reconstruction of Ancient Initials 199

15. Karlgren*s Reconstruction of Ancient Finals .. 201

16. Paired Division III/IV Finals in hP'ags-pa Transcription...... 209

17. Division IV Finals in hP'ags-pa Transcription 212

18. Relationship between Division III/IV and Divi­ sion IV Finals ...... 214

xii 19, Ancient Chï-yïn in Kâi- ...... 229

20, Qîng-Zhu6 Distinction in Modem Dialects ..... 234

21, Voiced Chï-yîn in Mandarin ...... 240

22, Changes of Voiced Chï-yîn in Mandarin ...... 243

23, Ancient Chinese Initials ...... 259

24, Finals with Labial or Dental Ending ...... 267

25, Finals with Velar Ending ...... 268

26, Karlgren's Reconstruction of Velar Ending Rimes ..... 270

27, Alternative Reconstructions of Velar Ending Rimes ...... 273

28, The G^ng and the Dàng-Jiang Rime Groups in Sino-Vietnamese ..... 275

29, The Zing and the Dàng-Jiang Rime Groups in Sino-Vietnamese...... 276

30, Finals with Back Consonant Ending in Kan-on .. 278

31, Finals with Back Consonant Ending in Sino- Korean ...... 281

32, Finals with Back Ending in Tibetan Transcrip­ tions ...... 285

33, Finals with Back Ending in Uighur Transcrip­ tions ..... 292

34, Correspondents of Ancient Finals with Back Consonant Ending ...... 300

35, Ancient Finals with Consonantal Ending ...... 303

36, Finals with Back Ending in the Fd-zh5u Dialect 309

37, Finals with Back Ending in the Win- Dia­ lect 311

38, Phonetic Correlates of the Inner-Outer Dis­ tinction in Modern Dialects...... 325

xiii 39. Inner-Outer Distinction in Mandarin ...... 329

40. Tense-Lax Group of Division I and Division II Finals ...... 337

41. Tense-Lax Group of the Remaining Division II Finals ...... 339

42. Tense-Lax Group of Division III and Division III/IV Finals ...... 339

43. Tense-Lax Group of the Remaining Division III and Division III/IV Finals ...... 345

44. Reconstruction of Ancient Division I and Divi­ sion II Finals ...... 354

45. Reconstruction of the Remaining Division I Finals ...... 355

46. Reconstruction of Division III and Single Division III/IV Finals ...... 355

47. Change of the Xiân Rime Group...... 365

48. Occurrence of Paired Division III/IV Finals in Rime Tables ...... 371

49. hP'ags-pa Transcription of Paired Division III/IV Finals ...... 372

50. Reconstruction of Division III Finals and Division III/IV Finals, Single and Paired .... 376

51. Reconstruction of the Remaining Single Divi­ sion III/IV Finals ...... 378

52. Reconstruction of Division IV Finals ...... 379

53. Kan-on Tones ...... 385

54. Reconstruction of Ancient Chinese Finals ..... 393

55. Proto-Kan-on Tones ..... 397

xiv LIST OF ILLUSTRATIONS

Figure ' Page

1. Qlng-Zhu($ Distinction (I) ...... 114

2. Qxng-Zhu6 Distinction (2) ...... 114

3. Classificatory Feature Tree of Proto-Kan-on Tones ...... 388

XV CHAPTER I

INTRODUCTION

Although there were several earlier rime dictionaries of the Chinese language compiled during the (220-265) . 1 and Jxn (265-420) dynasties, the oldest extant document which systematically presents a classification of sounds of Chinese is the rime dictionary called Qie-yun ( 4/^; hereafter QY) in its various versions, which appeared in an enlarged and revised version called -yun ( > ^ ^ ^ ; hereafter GY) during the (960-1279) dynasty. The language reflected in the phonological system of QY is usually called Ancient Chinese; QY has always been the starting point of any serious study of the historical phonology of Chinese, from Archaic Chinese through modern

Mandarin, Most of the rime dictionaries of the later periods were presented always as reformulations or sim­ plifications of the QY system; various rime tables of the deng-yùn-xuë ( ^ ^ K ^ ) school of traditional phonology are usually regarded as summaries and systematizations of the rimes of these rime dictionaries, reflecting in some ways in the construction of these tables the current stage of the language. Modern Chinese dialects, including the 3 so-called "foreign dialects" (the "Sino-Xenic" ) -- Sino- 2

Korean, Sino-Japanese and Sino-Vietnamese -- in general correspond fairly well to the QY system and none of them shows a richer system than that of QY. The phonological system of Archaic Chinese as reconstructed by modern linguists is based, for the most part, on a projection of the rimes of the QY system onto the sets of riming sylla­ bles observed in the Shx-jxng .<6: ), Chu-c£ ( &L ' ) anthologies, etc., and through the construction of charac­ ters consisting of radical-plus-phonetic, the so-called xié-shêng characters.

1.1 Studies of pre-modern periods

Various descendants of QY were primarily concerned with the practical use of rime for poetics and thus do not constitute the main stream of traditional phonological study. The pure study of Chinese phonology of the pre­ modem periods in and of its "epigon's" in Japan and

Korea is found in two main schools, the so-called deng-yun> xué among Buddhist monks dating from the Tdng (618-907) and Song dynasties, and the xiao-xué ) of the late

Mxng (1368-1643) and Qxng (1644-1911) dynasties. It is usually believed that the first school exclusively con­ cerned itself with the interpretation of the terminology and organization of the rime tables, producing new sys­ tematizations of QY rimes and revising the rime tables to 4 reflect the later stages of the language. The scholars of the latter school were thoroughly conversant with the 3

QY system, utilizing the results and achievements of the deng-yun-xuë phenologists, and, taking the QY system as the "contemporary pronunciation" (jîn-yîn), they devoted themselves to the study of the "older pronunciation" (- yîn), Archaic phonology as it is now termed. Phenologists of this school concerned themselves with the exact phono­ logical distinctions of Ancient Chinese, the system of QY, as the basis for the study of Archaic Chinese, Such con­ cern led to Li Chén's (1810-1882) exhaustive study of the -qiè (^ "W ) in GY. The accuracy of L. Chén's study was such that modern scholarship has improved his achieve­ ment in only a few minor details. Of these modifications, we may mention two. One is the discovery and study of the pairs of distinct usually termed chdng-niu

("double initial"; a confusing term) syllables by Hideyo

Arisaka in 1935^ and, independently of Arisaka, by Zhi- wëi LÙ in 1939. Another is the additional initial dis-

\/ covered by Rong Li in a version of QY which had not been 8 available to L. Chén.

As for the distinct sound classes, initials and finals, of Archaic Chinese, phenologists of the Qing dynasty settled, through their study and discussions, almost all our present knowledge, so that we can mention only one significant addition from the present century; the distinction, independently discovered by Li W^ng 9 10 (1937) and Tooru Goya (1914), between the Zhi (/jg ) and the W4l Archaic rime categories (bu's).

As a result, by the end of the pre-modern period,

the classes of distinct initials and finals of Ancient

and (more roughly) Archaic Chinese and their mutual rela­

tionships were fairly well established,

1,2 Studies of the modern period

The above summary of the achievements of traditional

phonologists, however, does not imply that there was nothing left for modern phenologists to do. The number

and mutual relationships of sound classes were firmly

established, especially in the case of Ancient Chinese,

but the findings of phonologists of the pre-modern periods

were rarely stated in exact phonetic terms. Thus tradi­

tional scholarship never led to the establishment of a

general theory of phonological description.

Aware of this, modern phenologists have primarily

devoted themselves to the reconstruction of the detailed

phonetic value of the distinct sound classes established

by their predecessors. This has led, on the one hand, to

descriptive studies of modern dialects as well as the

Sino-Xenic -- regarded as “foreign dialects" of Chinese -- of Korean, Japanese and Vietnamese, and, on

the other hand, to an investigation of various old tran­

scriptions of Chinese sounds by foreign alphabetic writing

systems as well as,the Chinese transcription of foreign words. The comparison of these dialects with Ancient 5

Chinese and the reconstruction of the sound values of

Ancient sound classes have been the main concern of modern phonologists. There have also been various successful efforts to establish some of the intermediate stages of

Chinese connecting Archaic Chinese with Ancient Chinese and Ancient Chinese with modem Mandarin.

1.3 Three criticisms

Three significant criticisms have been made of the main stream of Chinese phonological study just summarized.

One is made by dialectologists of the French tradi­

tion, who argue, roughly speaking, that Chinese phenolo­

gists were too much concerned with the "Lautgesetze" of

the neogrammarian tradition and failed to study the living 11 language itself, especially its modern dialects.

The second comes from the so-called descriptive

linguists, who argue that traditional phenologists of the modern period have lost themselves in the triviality of

reconstructing phonetic details of old Chinese and paid 12 too little attention to the phonemic system.

The third criticism is that most of the work done in

the field is historical rather than comparative; tradi­

tional works make use of the only when

a key to the phonetic value of the sound classes is - 13 sired. Such a view argues that a complete comparative

study of dialects based on systematic correspondences is needed to reconstruct the parent dialect. 6

The first claim apparently has to do only with the goals of study and the interests of linguists, and it was thus reacted to by the phenologists under attack with no 14 more attention than the claim deserves.

The descriptive linguists insisted on the distinction between the recovery of phonetic details and the reconstruc­ tion of phonemic systems, A typical contribution from this point of view is Yuen Chao's reserved but deci- 15 sive revision of B, Karlgren's reconstruction. However, due to the lack of interest in phonological theory, the studies in this tradition sought simplicity of description in the reduction of the size of " inventory" of a language or dialect and, consequently, ended in the in­ evitable segmentation of single sounds into a great number of "segments," 16 The third is a very reasonable claim. However, so much time-consuming investigation of modern dialects is indispensable before any extensive comparative study can be undertaken that it is not very practical to expect a firm establishment of some parent dialect comparable to

Ancient Chinese through this method in the near future.

Also it is not likely that the study in this direction could be rated much higher than historical study with its abundance of evidence. In general, there are many dis­ tinctions of sound classes in Ancient Chinese for which there are no modern correspondents. However, there is virtually no phonological distinction in any modern dia- 17 lect for which there is no Ancient correspondent.

The third claim is concerned with the difference of method; it is not a direct criticism of the achievements or the defects of traditional phonological study, but a suggestion of an alternative approach to the common goal, the reconstruction of old Chinese and the description of the entire history of the Chinese language,

1,4 The task of present-day Chinese histprical phonology

The criticisms outlined in the preceding section are mainly suggestions of new directions for the study of

Chinese phonology. What is needed, however, is a re­ analysis of traditional interpretations themselves in terms of the search for a simple, accurate account of the phonological system of various historical stages of the

Chinese language, especially Ancient Chinese, From this point of view, the following three points can be made on the traditional study of Chinese historical phonology.

First, it is easily noticed that underlying the former reconstructions and descriptions of old Chinese — espe­ cially in its system of finals -- there is no theoretically grounded body of assumptions about the phonological dis­ tinctions possible and universal to human speech sounds.

Consequently, what has been done hitherto is, in short, to establish sound classes of various stages of old Chinese 8 through the study of genuine Chinese historical materials such as the fan-qiè of various rime dictionaries with the aid of from rime tables on the one hand, and to list the sounds of Chinese dialects, modern and "foreign," that correspond to these sound classes in old Chinese on the other. Further study beyond these two manipulations yields as many reconstructions as the number of linguists involved (this is true even in the case of

Ancient Chinese which is the most extensively studied).

The lack of a theoretical framework permitted two extreme positions, Karlgren sought as many as the number of sound classes of Ancient Chinese finals require. The result is that phonological distinction has to be made among a kind of higher-low unrounded central **6, a mean-mid un­ rounded a lower-mid unrounded front 18 vowel *6, a lower-mid rounded *d , etc. The other extreme includes various attempts at "phonemic in­ terpretation" by the challengers of Karlgren, which con­ sist primarily in treating many of these vowels as vowel sequences, thus reducing the number of vowel "" in the inventory.

Neither extreme is satisfactory. With the former, we want to point out that it has become more and more apparent that the speech segments of natural languages are con­ trastive with respect to a fairly restricted number of 9 acoustic attributes, and that the vowel distinctions men­ tioned above are beyond the scope of description in terms of the acoustic-articulatory attributes deduced from 19 natural languages. In terms of the distinctive feature system (whose small set of attributes presumably suffice to describe and characterize all the phonologically dis­ tinct speech segments in any natural language of the world), there is no way of characterizing the system of vowel distinctions proposed by Karlgren. Consequently, it is doubtful whether such fine distinctions in articu­ latory positions alone are maintained in any human ­ guage. Once the distinctive sound classes of Ancient

Chinese are determined in terms of distinctive features, not only can an elegant description of the given data be obtained, but it also becomes possible to reveal some genuine insights in the description of the old Chinese phonological system by the phenologists of the pre-modern 20 period.

The other extreme mentioned above has direct bearing on the second point to be presented here. In former studies the results are not presented in such a way that each solution can be evaluated with certain formalized measure. We want to require a given framework for phono­ logical description and reconstruction to contain in it­ self an evaluation measure which may lead linguists to choose one solution over another. This is another moti­ 10 vation for adopting the distinctive feature system for the reconstruction and phonological characterization of old

Chinese, As for the second extreme solution, since there is obviously no absolute procedure for segmenting speech sounds of natural languages, a solution must be evaluated from the viewpoint of its simplicity in describing the relevant data. It goes without saying that reduction of the number of phonemes of a given language at the expense of segmenting single sounds into many "segmental phonemes" does not necessarily mean simplification of a description.

It is rather the contrary, for in addition to the increased number of segments, the solution needs a greater number of rules for specifying the phonetic configuration of ­ quences of these segments. Furthermore, it often hinders the discovery of the hidden truth. The problem of the palatal nasal to be discussed below illustrates this 21 point. To assume a single "phoneme" as an ending of Ancient Chinese finals, is not only simpler than to assume a combination of two segments such as *jg, but it also reveals the related change of the same phoneme occurring as the initial segment in Ancient Chinese, and leads to a well-balanced final system of Ancient Chinese.

The third point is that a strictly formalized charac­ terization of the phonological system of old Chinese is necessary. Many occasional, fragmentary revisions or proposals have been made by various linguists concerning 11

the reconstruction of old Chinese, especially Ancient

Chinese, although they remain fragmentary mainly because

these linguists are too reserved to expand their ideas into a complete reorganization of the former proposed system.

However, since no framework has been established for the formal characterization of phonological systems, these individual achievements or insights could not be incor­ porated into a formalized system for further improvement and extension. By "strictly formalized framework for characterizing a phonological system" is meant --

1) A set of phonological rules by means of which all the phonologically redundant information of the recon­ struction can be predicted, and the sound system under investigation uniquely characterized;

2) The presentation of the underlying form of all the reconstructed in terms of acoustic-articula­ tory features, which makes possible the formulation of the phonological rules mentioned above.

The point to be emphasized in this connection is that two different levels of reconstruction have often been mixed: one being the inference of the actual acoustic events which constituted the phonological system of the old language under investigation through various kinds of evidence found in historical documents as well as in m o d e m dialects; another being the abstract phonological system which underlies these phonetic facts. In the case of 12 22 Ancient Chinese, Karlgren aimed purely at the former whereas many of the later challengers are concerned prima­ rily with the "phonemic organization" of the sounds in the reconstructed dialects. Given these differences in goal, what Karlgren*s challengers should have done is not only to discuss the details of Ancient Chinese phonetics and to criticize his notations from the point of view of phonemic theory, but also to consider what is implicit in

Karlgren*s reconstruction as the phonological system 23 underlying the phonetic details proposed.

1.5 Aim and range of the present study

This study is primarily devoted to the reconstruction of the phonological system of Ancient Chinese within a

formalized framework and consequently, to the establish­ ment of the simplest underlying abstract system of Ancient

Chinese phonology. Through the establishment of the system

some light will be shed on certain historical developments

of the system, which have not been well understood,

Chinese historical phonology offers to a theory of

general phonology an ideal cage with which the plausibili­

ty of such a theory can be tested. As already summarized,

there are on the one hand, the fairly well established

sound classes of Ancient Chinese due to the efforts of phenologists since the Qxng dynasty; and on the other, a huge amount of evidence, old and modern, showing various 13 historical and regional variations of the Chinese lan­ guage, accumulated by the phenologists in the modern period.

The of new data or evidence on specific details of Ancient Chinese phonology is not of chief concern here.

However, before beginning discussion on the phono­ logical system of Ancient Chinese, the study of three systematic transcriptions of old Chinese sounds by phonetic will be presented. These three transcrip­ tions include --

1) The Tibetan transcription of the 8th and 9th ­ turies ;

2) The hP'ags-pa transcription of the 14th century;

3) The sounds by Nicholas

Trigault in the Xx-xrvî Er-mù-zî , hereafter

XREMZ) of the 17th century.

The study of these three transcriptions is motivated by the following two purposes:

1) By studying and summarizing these three transcrip­ tions, we can follow the changes which took place during the period represented by these transcriptions, and deter­ mine the system nearest to what had been the starting point of the historical process thus established. The system of

Ancient Chinese is to be assumed as the starting point.

It should be consistent on the one hand with the later changes in the simplest and most plausible way and, on the other, with the phonological distinctions suggested by the 14 sound classes established through the study of fan-^ spelling of QY. In short, the study of these three tran­ scriptions serves as a check on our discussion of Ancient

Chinese,

2) Of these three transcriptions, the second one has never been systematically investigated, and it is hoped that our examination of it may contribute some important data to the study of old Chinese, The first and the last have been studied by others, but their results will be reorganized here in order to show some implications of these studies, which have not necessarily been fully noticed.

After the summary and discussion of the sound classes of Ancient Chinese in Chapter II, the study of these three transcriptions will be taken up in Chapter III, On the basis of the Ancient Chinese sound classes and the tran­ scriptions of their correspondents (in a later variant of

Chinese), the reconstruction of the phonological system of Ancient Chinese will be given in Chapter IV, It will be restated in a linguistically formalized way in Chapter

V; and in Chapter VI it will be checked as the starting point of the changes of the phonological system of Chinese established through the study of the three transcriptions.

Chapter VII will include the concluding discussion as well as the summary of phonological redundancy rules discussed in this study. 15

1,6 Terminology regarding the major periods of Chinese historical phonology

Karlgren proposed the following periodization of the 24 Chinese language on the basis of major sound changes:

1) Le Proto-Chinois: the oldest stage of the Chinese

language reconstructible in some form;

2) Le Chinois Archaïque: the stage reflected in the riming system of Shï-jïng, Chü-c£, etc. and also in a slightly older form, in the construction of the xié-shêng characters ;

3) L'Ancien Chinois: the dialect of Chinese reflected in QY, according to Karlgren, "essentially" the Châng-an dialect of the Shan-xl province;

4) Le Chinois Moyen: the language of various rime tables such as, according to Karlgren, Qiè-ybn Zhi-- tu ( ^ G 'ë' M ; hereafter QYZZT), Jîng-shi Zhèng-yîn

Qi^-yùn Zhï-nan ( "a ), etc., which are rather recent variants of Yun-jing hereafter

YJ), Qî-yîn-lü^ iI hereafter QYL), etc.

5) Le Vieux Mandarin: the variant of Chinese reflect­ ed in Hdng- -ybn ( ; hereafter HWZY);

6) Le Haut Chinois: a standardized language existing in modern China to the north of the Yâng-zi River; also called Le Chinois Moderne, when it does not refer to the dialect of Peking.

If we accept the assumption that a language is 16 exposed to continual changes, there is no absolute justi­

fication for any periodization of the changes of a natural

language. Also periodization is very much dependent on historical-documents showing various stages of the change.

What is of interest to linguists is certainly not the periodization itself, but what kind of change took place

in what order and around what time and how to formulate

the simplest set of rules underlying these changes, etc.

If periodization is of any interest, then it is in the convenience it provides for reference to the different

stages of change marked by, for example, the greatest number of change rules, or the transformation of certain

features most intrinsic to the system. In this study,

Karlgren's periodization is adopted on the whole, with necessary discussion and revision as follows:

1) Proto-Chinese: The oldest stage of the Chinese I ' language, as yet little studied; a thorough study of the

Min dialects as well as a comparative study of Chinese with other Sino-Tibetan languages, especially , will contribute much to the reconstruction of the proto­

system of Chinese;

2) Archaic Chinese: Yu-c^i Dukn's (1735-1815) assump­

tion that characters with the same phonetic necessarily belong to the same rime category in Archaic Chinese still 26 holds in general. The discrepancy between the system inferred from the rimes of Shî-jxng, -c£, etc,, and 17 that determined through the construction of xié-shêng characters, does not appear very great, so that separate treatment of these two main sources for the study of

Archaic Chinese may not be necessary,

3) Ancient Chinese; Although the language reflected in QY is taken here as "Ancient Chinese" as Karlgren and later phenologists did, it is not likely that QY reflects any single homogeneous dialect at the beginning of the 27 7th century.

4) Middle Chinese: Although variants of Chinese of different periods underlie indirectly what is presented in the rime tables of the sàng-Yuén (960-1276; 1277-1368) dynasties, these rime tables are primarily not for the description of the language of the time, "Middle Chinese" is here taken to be the language reflected in the fan-qiè spelling of such rime dictionaries as the Gu-jxn Yun-hux

Ju- ( ^ ; hereafter GJYHJY), HWZY, etc., and the in the Méng-gu Zi-yun (

; hereafter MGZY), Bai-jiS Xxng ( ; here­ after BJX), etc.

5) : The oldest but not necessarily the 28 direct ancestor of Mandarin; its phonological system can be traced in Zhông-yuén Yxn-yun ( ''t J f j i 'y‘ ; hereafter

ZYYY). It is doubtful whether Karlgren had actual know­ ledge of the phonological system of HWZY when he identi­ fied its language as "Old Mandarin," implying that its 18

system reflects the direct ancestor of modern Mandarin or northern Chinese, Old Mandarin is here taken to be rather the northern Chinese variant reflected in ZYYY.

6) Mandarin; In general the standardized variant of the Peking dialect. In a narrower sense, it may also refer to the genuine dialect of Peking. The difference between the two consists in and style rather than phonology.

The term "old Chinese" is used to denote any old variant (in the broad sense) of the Chinese language, with no reference to any single period mentioned above.

Concerning 4) and 5), the difference between these two stages does not necessarily reflect historical changes which have taken place in the mean time, but rather the regional or dialectal divergence between the south (around

the lower part of the Yâng-zi River) and the north (around

Peking). The chronological discrepancy (rime dictionary of the 16th century, HWZY, for Middle Chinese, and rime dictionary of the 14th century, ZYYY, for Old Mandarin) could be understood only with this interpretation. As was properly pointed out by R. A. D. Forrest,

there are fundamental differences in the Chinese language before and after the beginning of the Tâng dynasty. These may be interpreted primarily as the differences between

the northern and the northwestern regional variants of

Chinese of the period. The latter is reflected in the 19 30 Tibetan, the Uighur and the Tangut transcriptions as well

as in some features of Kan-on and Sino-Vietnamese. Mainly

due to these dialectal differences, greater departure

from the QY system is found in these transcriptions and

"foreign dialects" than in Middle Chinese. The Tibetan

(and as reference the Uighur) and the hP'ags-pa transcrip­

tions are chosen here as materials showing not only dif­

ferent stages of Chinese but also two major regional vari­

ants, northwestern and southern (in the sense explained above).

1,7 Phonetic-phonological notations and abbreviations

In this study any speech segment is conceived in principle as a feature complex, specified in part or in

totality, and is always presented between square brackets,

[ ]. However, partly due to the limit of space and partly

in order to preserve intelligibility with those who prefer different frameworks to the distinctive feature system for

the description of the phonetic facts of language, the corresponding IPA notation is adopted as an informal abbreviation whenever there is no danger of misunderstand­

ing. Also, the corresponding articulatory phonetic termi­ nology will be given to some distinctive feature terms under the same condition. Except in tables and charts, these alphabetic representations are given between double brackets, (( )), when they represent morphophonemic 20 segments, and between square brackets, [ ], when they re­ present the phonetic sequences.

The reconstructed sounds of Ancient Chinese will be given with an *, those of Archaic Chinese with double All others will be given without asterisk, even though some of them are actually theoret­ ical constructs. Transliteration of various phonetic transcriptions of old Chinese sounds will be given between quotation marks, " ", except in tables and charts. Among the three types of transliteration to be discussed in

Chapter III, Type I and Type II will be given between quotation marks; but Type III between double brackets, because it is actually literal transliteration plus a certain amount of interpretation.

Chinese words are primarily given in their modern pronunciation by means of the pîn-yxn ) romaniza­ tion, with or without the corresponding Chinese character(s) or English translation in brackets following, for example;

ch6ng-niu ("double initials")

xié- shêng ( )

These Chinese words are given always with tone mark, ",

'' and , for the Mandarin level tone, rising tone, dipping tone and falling tone respectively. Tones in Ancient

Chinese, as well as in various dialects, modern and foreign, will be denoted by numerals at the end of each . The numerals 1, 2, 3 and 4 represent the "even- 21 tone" (pxng-shêng), the "rising-tone" (shang-shing), the

"departing-tone" (-) and the "entering-tone" (ru-

sheng) respectively in Ancient Chinese; numerical notation for the tones of dialects is primarily determined by their correspondence to this Ancient system. Suppose in a dia­

lect the Ancient even-tone (1 in Ancient Chinese) split

into two, yin ) and y^ng ), and the rest remained unchanged, then numeral 1 represents the yin even-tone

correspondent, 2 the yâng even-tone correspondent, 3 the

Ancient rising-tone correspondent in this dialect, and so

on.

Various terms from traditional phonology are substi­

tuted by those of modern phonology whenever possible. /f: The Divisions ( ) of rime tables are denoted ex­

clusively by Roman numerals.

Titles of in Chinese are referred to exclusive­

ly in the abbreviated form except when they first appear

in the text. Personal names are all given with family

name last. In the case of Buddhist monks, only their

monastic name will be given.

In quoting the traditional names for Ancient sound

classes of rimes and finals, are given in every instance of their occurrence in order to avoid

ambiguity. CHAPTER II

DISTINCTIONS OF SOUND CLASSES WITHIN ANCIENT CHINESE

By "Ancient Chinese" is meant a variant of the ­ nese language, the phonological system of which is re­ flected, directly or indirectly, in a revised of the QY of Fa-yân , the Kan-miu Bu-que Qi^-yun ("^'j 1 1 / ; hereafter KMBQ), This rime dictionary, with its fan-qi^ spelling for each homophonie group of Chinese characters, is probably intended not to give a synchronic description of the phonological system of any single dia- 2 lect of the period, but rather to show the norm of the pronunciation of characters, the norm which was determined by the eight (nine, including F. Lu) scholars who joined the discussion at F. Lu*s house, and which was supposed to underlie the riming system proposed as one of the con- 3 elusions of the discussion. The phonological system which these scholars accepted as the most authentic was taken as the basis of the organization of the rime dic­ tionary. However, it should not be forgotten that the author of the original edition of QY made good use of 4 various predecessor rime dictionaries. As a result, the dictionary turned out to be a record of the phonological system of the formal reading of Chinese characters of the

22 23

time, which is probably not very divergent from some kind

of common dialect of the time in Northern China, Since it

is the record of a standardized pronunciation, the system very possibly contains certain archaisms. Moreover, since

classifications found in various earlier rime dictionaries

are incorporated, certain parts of the system might actual­

ly be a reconstructed dia-system.

The reason for choosing KMBQ instead of the more com­

plete GY as the basis for this study, is because the form­

er is closer to the original QY, As is widely known,

successive revisions of the original edition of the QY of

601 through the GY of 1008 did not amount to revisions of

the phonological system itself, but consisted mostly in

changes of the inventory of rime indices and their arrange­ ment or the addition of characters. Nevertheless, some discrepancies of system are found between QY and GY, for example, the lack of the voiced retroflex fricative ini­

tial in GY, the difference of inventory of syllables with­

in each rime group, etc. The oldest and most complete

edition of QY available is the one revised by Rén-»i W5ng,

namely KMBQ-III, Therefore, the present discussion will

begin with the system found in KMBQ-III, although, when­

ever necessary or desirable, other versions of QY, espe­

cially GY, will be referred to, . 6 The complete edition of KMBQ was studied by R, Li, and the phonologically distinct sound classes were fairly 24 well established, although a thorough check and further discussion are necessary. Thus, in the following section, V/ we mainly follow R. Li and summarize the inventory of sound classes, with some discussion on individual items.

2,1 Initial consonant classes -- Ancient system and dia-system

Through the study of the upper characters of the fan- qi& given to each homophonie group of characters of KMBQ-

III, 35 (including zero initial, 36) initial consonants can be established. We name them mainly according to the nomenclature of the traditional "36 zi-niu" ) as 7 follows :

Bang (Fëi) Ping (FÜ) () Mfng (Wéi)

I ( -rn ( â (f-) ( M - ' > Duan Tou N£ (Niing) Lâi Ü

Zhî Chéng Ri 0

Jing Qing Cdng Xxn Xië # >>] w Chû ' Chuing \ Shin Si # 1

) Zhaolà Chuin r

Ying Xiao X i â (YÙ 111) YÙ

LüL III) ^ ('^lïiv)

Since the traditional 36 zx-mu reflects later change and reformulation of the initial system, it is convenient to have a dia-system of initial consonants based on the

Ancient initials and the 36 zi-mu for the description of subsequent sound change. The dia-inventory with all the relevant information contained in the rime tables of the deng-yîin-xué tradition is given in Table 1. 26 Table I

Dia-system of Initial Consonants

"""^.^^J^nner of Artic- \ ## qîng-zhué zhué cx-qxng qxng Point ulation of Articulation^^^^^ ci-zhué quén-zhué ci-qxng quén-qïng

zhong-chiîn 0^1 ■ â . chi3n i 1 qxng-chdn K shé-tdu i  ^ i t % shé shë-shàng : ^(2 -s hé

chi-téu R # s V xi-chi-tou 1 c (chi-shang) Irl R > > \J chi (xi-chï-shàng) >n R il, 3 zhèng-chi t f / X \ \ xi-zhèng-chx

bkn-chi

y â R # $ ■IL M ü d h hdu

'’i t TV 27 The distributional pattern of these initials in the rime tables gives much information concerning the phonetic or phonological features of each initial sound class. The dia-initials set up above occur in YJ as shown in Table 2, Table 2

Distributional Pattern of Ancient Chinese Initials in Yun-jlng

(The circled initials do not show distinction in Ancient Chinese)

o f i i 1 ^ ^ -t & i ' k? 3 '4 it 'K >1 it 1$ if if :# it 4 3- A A 3- Î I i "0 1- -# t t i 3 t -t t 0 t % "A "A /X è: :X 3* '>1 t|? 4 it Î * Æ- 3- §■ TK 1 TV >1, if V*;. lÀ (D 11 I; ff 'W -4 # M. If 4 IL Æ 4 VjL B to 00 29

The circled initials represent morphemes for which no regular correspondents are found in KMBQ. Therefore, for the purpose of studying the Ancient system, they should be neglected,

2.2 Rimes and final classes

According to the note by the revisor R. Wâng, in the original edition of QY there were in all 193 rimes; R. WAng added two and we find nowadays in KMBQ-III 195 rimes in total. Some of these were subdivided by the editor of GY, yielding 206 rimes.

A typical case of the "subdivision” of rimes was carried out as follows. According to the rule of the original QY, any syllable consisting of one consonantal segment, the final *-on or *-uon and the even-tone could be rimed, and the character representing this rime cate­ gory is ^ , which is called the rime index. By the time of GY (strictly speaking, since TAng-yun ; hereafter

TY) characters (syllables) with *-on and the even-tone were still grouped together, but separated from those finals with *-&an and the even-tone. The latter consti­ tuted another rime category, called HuAn in GY. In other words, in grouping into rimes characters with a final *-an or *-uan and the even-tone, QY did not take into account whether the given syllable contained a medial -u-.

Consequently only one index is needed for this rime, name­ ly (^ ) for both *-an and *-uan. By the time of GY, 30 the presence versus absence of the medial -u- was taken into consideration in the grouping of the characters in question. Consequently, in order to distinguish these two categories, two indices are needed, namely H^n ( ^ ) and ^n ). However, by this subdivision the under­ lying phonological system is not affected; the difference is just whether the presence and absence of a medial is taken into account. This is one of the reasons why it was claimed above that "successive revisions of the original edition of the QY ... did not amount to revisions of the phonological system itself, but consisted mostly 10 in changes of the inventory of rime indices ..."

Hereafter, the term "final" (yun-mu) will be used for the sum of all the phonological constituents of a syllable except the initial consonant, for example *-an or *-uan with its respective tone; as distinct from

"rime" (yùn), which stands for the constituents of a final regardless of its medial, for example the syllable constituents *-( )an and its tone only. This is the usual distinction of "rime" and "final." In this study, the term "rime" will be used in instances where the medial is not taken into consideration, and "final" will be used if the medial is distinctive. In cases where all the finals of a rime share the same medial, "final" and "rime" have the same reference.

The reason that the presence and absence of the medial 31

in question was treated differently in QY and GY, may

involve extra-linguistic problems. However, the main

reason consists in the fact that the pronunciation of the

same "phoneme" ((a)) varied according to different phono­

logical environments, for example:

*-an [an]

*-uan -* [uon]

so that even though [a] and [d ] could be interpreted as

one and the same "phoneme," phonetically they did not rime

any more. In this respect, the reformulation of the rimes

of QY in GY could be regarded as reflecting certain phonet­

ic changes, though there remains the question how faith­

fully it reflects the exact phonetic change which tooH

place in the colloquial language of the time. Anyway,

the information of whether two finals, for example *-an

and *-uan, share a common rime index is of certain ­

guistic relevance.

It is controversial whether the so-called "entering-

tones" should be included as one of the tone classes of

Ancient Chinese. Any solution should be evaluated from

the viewpoint of the overall simplicity of the descrip­ tion. For the moment, we follow the practice of tradi­

tional phonologists which counts the entering-tone as one 12 of the four tones.

Through the study of the lower characters of the fan-qie's, one or more contrastive finals can be recog­ 32 nized within one rime. And if tonal distinctions are put aside, 105 distinct segmental finals can be established.

For convenience of discussion, syllables will hereafter be said to have the same final whether or not they have the same tone. Consequently, although there are separate rime indices for the tonal variants of one and the same succession of segments, such as:

Hân (1^ ) for *-an with even-tone;

Hàn ( 'I' ) for *-an with rising-tone;

Han for *-an with departing-tone; these variants will be referred to as "the even-tone counterpart of the H4n ( ^ ) final," "the rising-tone counterpart of the H4n ( ^ ) final," etc. if necessary.

The above, the QY rime indices, the GY rime indices and the inventory of all the distinct segmental finals are tabulated in Table 3. 33 Table 3

The Final System of Ancient Chinese

Rime Indices Contrastive Finals

Qiè-yùn Guang-ybn of Ancient Chinese II II II II 1. i t 2. ^ I I I

2. II II II II 3. ^

3. II II II II 4. #

4. ii~ II II II II 5. II II II II 5. 6. ^ O I I I 7. ^ C I I I

8. ^ O I V

9. ^ C I V II II II II 6- i ' ê ' à ' ^ O 10. jflU 0111 11. c m

12. fl'ê OIV

13. ^0 CIV

7. i_ik-â'0 II II II II 14. ^ 8. II II II II 15. & . 0

16. WL c

9. II II II II 17.

10. II II II II 18.

11. II II II II 19. f K II II II II 20. ^ 0 12- 0 0 ^ 0 21. & C

13. II II II II 22. # III 34

23. ^ OIV

24. ^ C

14. o o t o II II II II 25. ^ OIII 26. "?frcill

27. ^ O I V

28. ^ C I V

15. II II II II 29. it~0

30. C

16. II II M II 31. % O

32. ^ C

17. 0 0 ^ 0 II II II II 33. ^ 0 34.

18. II II II II 35. f K 19. II II II II 36. I

37. %d:IIl

II II II II 20. o o t o 38. 4 ^ 0 39. 21. W f f 40. 41. 22. K ) o # J .0 1 V 42. % c m 43. ^ C IV

23. II II II II 44. 24. II II II II 45. 25. M m II II II II 46. o 47. iLc

26. K II II II II 48. % 35 27. 49. YKO & 28. 50. ^ 0 % f a 51. % c

29. II II n II 52. # J o

53.

30. II II n II 54. l U 0

55. iL) c

31. n II n II 56. 4 c o

57. - L e

32. II M Il II 58. 0 1 1 1

59. ill' 0 1 1 1

60. {Ùa o i v

61. ^d-) c i v

33. II II Il II 62. 1 & # o II II Il II 34. 63. f I I I

64. % I V

II II Il II 35. 4 ^ 5 K O 65. 36. II II Il II 66.

37. 67. ÎI* 68. 69. I ^ C I

70. ^Xcill 3^ W k W Ü Il M II II 71. # . 0 1 1 72. # L C 1 1

73. # v l l l 39. n II n II 7 * 7? ® 36 40. n Il II II 75. K 41. II Il II II 76. f /|o 77. f / |c 42. n H II II 78. /# 0 79. /% C 43. #s fg 80. ^ 011 81. ^ Cil 82. ^0111 83. c m

44. n Il II II 84. ^ 0 85. M C 45. II Il II II 86. 0 87. C 46. II Il II II 88. fl 0 f. 89. c 47. $' O II Il II II 90. 48. % & f # 0 II Il II II 91. 49. II Il II II 92. A 50. II Il II II 93. i^lll 94. l'^lV

51. II Il II II 95. ^ 111 96. JfZ- IV 52. 97.

II Il II n 53. i . m r m 98. (0) 99. (C) 54. n n n M 1 0 0 .'^ 0 37

101. ■'ire

55. M II II II 102.

56. II II II II 103. 57. m D o t & $ 104. 58. II II II II 105.

193 Rimes 206 Rimes 105 Finals

In order to distinguish the distinct finals within one rime, certain markers are added to the characters repre­

senting rime indices to show necessary information from

the rime tables. 0 stands for "kai-k6u" (open-mouth),

C for "hë-kou" (closed-mouth). Roman numerals stand for

the Division to which these finals belong in Y J • The

index character for the even-tone rime stands for four

tone variants: thus Dong ( !^ ) 1 for Dong (^ ) 1, Dong

(^ ) I » Song ( ) 1 and Wu ( ) 1.

2,3 Five types of finals and the sixteen (or fourteen) rime groups (she's)

According to their distributional pattern in rime

tables which characterizes the phonological features of

the respective finals, the 105 finals of Ancient Chinese

are grouped as follows. A name is suggested for each 13 group, mainly following Arisaka. 38 Table 4

Distributional Pattern of Ancient Chinese Finals in YJ

Division I Finals:

# o / $ c . |c. ^o//|c, II,

I

II # dt) III

IV

Division II Finals: 15Tli^ô7î%^c7^Wo7W"cr~^"ô7^rG7ïTo7#îc7'tÀcî75rc7 -# . OII/^CII, Wl I

II 0 ^ 1 III

IV

Division III Finals:

l^o/^o, 4^o//^o, ^ 0 / 7 i c , , ^ 0 1 1 1 /

i ^ Clll

1

11

111 o o & 0 # o o o o o W # 1 o o o o IV 39

Single Division 111/lV Finals:

I

II III 0^ ÉCÉ.I4 IV 'È OOÜO Paired Division III/IV Finals

^ OI I I / ^ c m , rflu oiii/fl^ c m , f ^ o m r ^ c m ,

^ OIV/^ CIV 1^0 OIV/ ^0 CIV OIV/CIV oiii/j& cm , om/ifii cm, r'^ m , M ^m ,

^ OIV/ ^ CIV ( OIV/ CIV IV IV r ® III

IV

I II Oà^mn%- III 0^1 èctl^ IV 0 ^0 4 Division IV Finals:

I

II

III IV o i0 É # 40

The distributional pattern of Qlng ) O, Qxng (>^ ) C

and constitutes three exceptional types as

follows:

Table 5

Distributional Pattern of Exceptional Finals in YJ

_ _ —

I

II

III IV o m i

I II OiJiOOO III ooooo oooo IV 0 # L ÔÔ#oooo#

The final Qlng (/^ ) OIV/CIV (except when following chi-

yxn and shé-yin) occurs in complementary distribution with

Gêng (/^ ) OIll/CIIl, and together with the latter, appar­

ently has a similar distributional pattern in YJ (Table

No. 33) to that of Paired Division III/IV Finals. However,

since Qlng (/^) and Gêng ( ^ ) constitute two different

rimes and since the f#n-qi& of the characters with the

final Qing ( ^ ) is different from that attached to the

characters of Division IV Finals, Qing ( ^ ) should be 41 14 included in the Single Division III/IV Final group.

As can be seen in the above table, it is not true that You (\él^) together with Y<5u i Ju ) constitutes one 15 Paired Division III/IV Final. The characters with the former final do not occur in complementary distribution with those with the latter. Judging from the fan-qi^ attached to the characters of this rime. You (\^^) should also be included in the Single Division III/IV Final 16 group.

Actually the last three types correspond primarily 17 to the three groups, alpha, beta and of Karlgren, with the exception that both Karlgren and Arisaka did not 18 divide the Division III/IV group into Single and Paired.

Arisaka's grouping is, in principle, the same as that of

Karlgren*s. However, Arisaka*s Santoo Senzoku-in (Karl­ gren' s beta) should contain two more rimes, YuAn ) and gP 19 Ydn (^^), and his Yontoo Senzoku-in should not include

You ( A ) / °

Next, traditional phonologists grouped the rimes of

Ancient Chinese into sixteen or fourteen (or even thir­ teen) rime groups. The grouping summarizes and formulates ingeniously the historical reorganization of the final system, mainly the coalescence of Ancient finals in northern

Chinese. Each of these rime groups is called sh!b ( ^ ^ ) , and it is labelled as either "inner" (n^i) or "outer" 21 (wai). Among the three groupings: the Sixteen grouping. 42

the Fourteen grouping and the Thirteen grouping, the second, namely the Fourteen grouping, shows most clearly the corresponding pairs of the "inner series" and the

"outer series" of the rime groups. The grouping covers the 105 finals as follows:

The Outer Group The Inner Group

I. Gu%-%: #67-#73 2. Yu: #17-#19

3. Xi&: #20-#39 4. Zhi: #6-#16

5. Xi^o: #62-#66 6. Lid: #90-#92

7. Xidn: #74-#75, #95-#97, 8. Shin: #93-#94

#102.#105

9. Shan: y/46-//47, //50-//61 10. Zhin: #40-#45, #48-#49

II. Dkng.Jiang: #5, #76-#79 12. Ting: #l-#4

13. : #80-#89 14. Zing: #98-#10l

The above list is based on the Fourteen grouping.

In the Sixteen grouping, and Jia, and okng and Jiang are separated into four distinct rime groups. In the

Thirteen grouping, the Geng and the Zing rime groups are combined together.

In this study, the Fourteen grouping is exclusively used. Thus Guo and Jia, and D^ng and Jiang are referred to with the understanding that each pair constitutes a single rime group, but for convenience of reference, separate indices are used for the rimes included in these rime groups: for example, Guo-Jia rime group, Dang-Jiang rime group, etc. 43

In general, whenever deng-y^n-xuë information is made use of, it should be taken into consideration that this could be used only as evidence of later change, unless a

clear corresponding fact can be found in the fan-qiè sys-

tern. Thus in the case of Qing (/# ) OIV /CIV and Gêng ( ^ ) OIII /cm, the fact that they are complementary in

the third and fourth Divisions and the fact that every

chdng-niu rime occurs in the third and the fourth Divi­

sions in the rime tables, should be taken separately. The

former merely means that by the time of the rime tables,

Qing ) OIV/CIV and Gêng ( ^ ) OIII/CIII happened to

have undergone certain transformations so that they are

arranged parallel to the so-called ch6ng-niu finals, with

respect to the Divisions of the rime tables. However,

this does not mean that Qlng OIV, for example, bears

the same relationship to Gêng ) OIII, as for example

Xian ) OIV to Xian ({ill ) OIII. In the case of the

latter pair, they not only occur in complementary distri- .

bution in the rime tables, but also share the same rime

index and, for corresponding syllables, the same initial

consonant; whereas in the case of the fomer pair, they

were completely independent in Ancient Chinese. It is of

course necessary to assume certain factors which later

caused the complementary distribution of Qlng ( ^ ) IV

and Gêng (/^ ) OIII, but this should not be confused with

the case of ch6ng-ni&. 44

2,4 The syllabary of Ancient Chinese

The initials and finals listed in the two preceding sections together with tonal distinctions constitute the

following 3612 distinct syllables of Ancient Chinese.

This tabulation provides a good chart for the basis of

formulating redundancy rules. Table 6

The Syllabary of Ancient Chinese

45 46

# 0 1 # c i $ > 0 1 1 1 #0111 ^011 4^0 j&OIIl

1 2 3 1 2 3 12 3 12 3 12 3 12 3 1 2 3

Bang + + + + + + pang + + + + + Bing + + + + + Mfng + + + + + +

Duan + + + + + + + T6u + + + + + Ding + + + + + + + N£ + + + + + + + + + L i L + + + + + +

Z h l + + + + Ch& + + Chëng +

Jîng + + + + + + Qlng + + + + + + + + Cong + + + + + + + + + + + + + + + Xié + + +

Zhuang + + + + + Chû + + Chu^ng + + + Shan + + + sl

Zh&o + + + Chuan + + + Shën + + Shën + + + Chân + + r 1 + +

Jiïin + + + + + + + + + + + + + Xi + + + + + + + + + + + + + QtSn + Y£ + + + + + + + + + + +

Yïng + + + + + + + + + + Xi^o + + + + + + + + + + + Xii + + + + + + + + + + + + + Yîi + + + + 47

4 4 ° ^ 0 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 Bang + + + + + + + Pang + + + + + + + Bing + + + + + + + + Mfng + + + + + + + +

Duan + + + + + + Tèu + + + + + Ding + + + + + Nf + + + .+ + + + W i + + + + + + + + + + +

Zhl + + + + + Ch& + + + + + Chéng + + + + + +

Jîng + + + + + + + + Qlng + + + + + + + + + + + C(5ng + + + + + + + Xin + + + + + + + + X±é + +

Zhuang + + + Chû + + + + + + Chuâng + + + + Shin + + + + + + + Sl

Zhlo + + + + + + Chuan + + + Shén + Sh&n + + + + + Chin + + + + + + r1 + + + + + +

Jian + + + + + + + + + + + + + XÎ + + + + + + + + + + + + Qdn + + + + + + YÎ + + + + + + + + + + +

Ylng + + + + + + + + + + + + Xiao + + + + + + + + + + + + Xil + + + + + + + + + YÎI + + + + + + 48

A o ^ 0 ^^III 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3

III IV III IV

Bang + + Pang + Bing + + + Du3n Tàu Ding Nf L â i +

Zhl + + Ch& + Chéng +

Jîng + + Qxng + C6ng Xîn + Xlé +

Zhuang Chû + Chudng Shan + + sl

Zhko + + Chuan + Shén Shën + + Ch6n + + + r 1 + +

Jiàn + + XI + + QrSn + + Yf + + +

YÏng + + Xi%o + X13 + YÛ + + 49

ÿvOIV Dé'-[ O&III t o 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3 1 2 3

Bang + + + + + + Pang + + + + + + + + Bing + + + + + + + + + + Mfng + + + + + + + + + +

Duan + + + + + + + + + + T h x i + + + + + + + + Ding + + + + + + + + + Nf + + + + + + + + + + + Lii + + + + + + + +

Z h l + Ch& Chëng

Jîng + + + + + + + + + Qing + + + + + + + + + Céng + + + + + + + + xîn + + + + + + + + Xië •

Zhuang + + Chu + + Chuâng + Shan + si

Zhko Chuân + Shën Shën C h & x i Ri

JiXn + + + + + + + + + + + + + + XI + + + + + + + + + + + + + + + Qdn Yf + + + + + + + + + + +

Yxng + + + + + + + + + + + + + Xiëo + + + + + + + + + + + + Xi4 + + + + + + + + + + + + + + + + Yîi 50

# 0 m o 1 2 3 1 2 3 1 2 3

III IV III IV III IV

Bang + + + + + + + + Pang + + + + + + + + Bing + + + + + + + + + Mfng + + + + + + +

Duin + + TÔU Ding + Nf + + + l A i + + +

Z h l + Ch& + + + Chëng + + +

Jing + + + Qing + + C«5ng + + Xîn + + + Xié +

Zhuang Chû + Chu^ng Shin + sl

Zhio + + + Chuan + + Shën + Shën + + + Chën + + r1 +

Jiin + + + + + + + + + XÎ + + + + + + QiSn + + + + Yf + + + + + + +

Y?.ng + + + + + + + + + Xiëo + + + + + + + Xlë + + + + Y6 + 51

m e XÊO i: ; I 2 î 1 2 3 1 2 3 I 2 3

111 IV 111 IV 111 IV

Bing + + Ping + Bing + + + Mfng + + +

Duin Tèu Ding Nf + + L d i + + + + + +

Zhl + + + + + Chè + + + + Chëng + + + + + +

Jîng + + + + + Qîng + + + Cdng + + + + Xîn + + + + + Xié + + + +

Zhuing + + + + + Chû + + + + + Chuâng + + + + + Shin + + + + + + Sl + +

Zhèo + ' + + + Chuin + + + + + Shën Shën + + + + Chën + + + + Ri + + + + +

Ji^n + + + + + + + + + + + + + + Xi + + + + + + + + Qën + + + + + + + + Yf + + + + + +

Yïng + + + + + + + Xiëo + + + + + + + + + + + Xië + + + + + + + + Yû + + + + + + 52

1 2 3 1 2 3

III IV III IV III IV III IV III IV III IV ___ Bang + + + + + + Pang + + + + + Bing + + + + + + Mfng + + + + + Duan Tàu Ding Nf + + L â i + + + + + +

Zhl + + + + + Chè + + Chéng + + + +

Jîng + + + + + Qing + + + C6ng + + + Xîn + + + + + + X i é + + Zhuang + Chû + + + Chuâng Shân + + + + si Zh&o + + + + + Chuân + + + + + Shën + + Shën + + + Chën + + + + + Ri + + + + +

Jiân + + + + + + + + XÎ + + + + + + + + Qdn + + + + + Yf + + + + + +

Yïng + + + + + + + + Xiëo + + + + + + + Xlë + + + Yû + + + + + 53 # % g 1 2 3 1 2 3 1 2 3 1 2 3

111 IV 111 IV 111 IV

Bing + + + + + + + + + + + + Pang + + + + + Bing + + + + + + + + + + Mfng + + + + + + + + + + +

Duin + + + + + + + Tàu + + + + + + Ding + + + + + + Nf + + + + + + + + W i + + + + + + + + +

Zhl + + Chfe + + + Chéng + + + +

Jîng + + + + + + + Qîng + + + + + + C6ng + + + + + Xîn + + + + + + + + + Xlë

Zhuang + + + • Chû + + + Chuëng + + Shin + + + si Zhko + + + ChuSn + + + Shën Shën + + + Chën + + + r 1 + + +

Jiën + + + + + + + + + + + XÎ + + + + + + + + + + + + Qën + + + + + Yf + + + + + + + + +

Yïng + + + + + + + + + + + + + + Xiëo + + + + + + + + + Xlë + + + + + + + + Y û + + + 54

£ A 1 2 3 1 2 3 1 2 3 1 2 3 4 1 2 3 4 1 2 3 4 ' Bang + + + + + Ping + + + + + Bing + + + + + + + + Mfng + + + + + + +

Duan + + + + + + + T6u + + + + + + + Ding + + + + + + + Nf + + + + + L4i + + + + + + + + + + +

Zhl + + + Ch& + + + Chëng + + + +

Jîng + + + + + + + + + + + Qing + + + + + + + Cdng + + + + + + + + + Xin + + + + + + + + Xié + +

Zhuing + + + Chû + + + + + + Chuing + + + + + + + Shân + + + + + + + + Sl

Zhko + + + Chuin + + + Shén Shën + + + Chin + + + r 1 + + +

Jiin + + + + + + + + + + + + + + + + XÎ + + + + + + + + + + + + + + Qdn + + + + + + Yf + + + + + + + + + + + +

Yïng + + + + + + + + + + + + + + + X iio + + + + + + + + + + + + + + + + + Xii + + + + + + + + + + + + + YÛ + + + 55 fi m 5^1 12 3 4 1 2 3 4 12 3 4 III IV III IV III IV III IV Bing + + + + Ping + + Bing + + + + Mfng + + + Duin + + + + T b u + + + + Ding + + + + Nf + + + + + + L â i + + + + + + + +

Zhi + + Ch& + + + + Chéng + Jing + + + + + + Qing + + + + C6ng + + + + + Xin + + + Xié +

Zhuing Chû Chuéng Shân + si Zhio + + + Chuin + + + Shén Shën + + + + Chén + + + Ri + + + +

Jiin + + + •f + + + XÎ + + + + + + + + + + Qén + + + Yf + + +

YÏng + 4- + + + + + + + + + Xiëo + + + Xié + + + + + Yîi + + + + 56 f ëk 12 3 4 12 3 4 1 2 3 4 III IV III IV III IV III IV Bang + Pang + Bing + Mfng

Duin + + + + + Tbu + + + + Ding + + + + + Nf + + + + + + + + + + + + U i + + + + + + + + + Zhl + + + + + + Chb + + + + + Chéng + + + + Jing + + + + + + + + Qxng + + + + + + + + C6ng + + + + + + Xxn + + + + *■ + + + Xié + + Zhuing + + + + + + Chû + + + + + + Chuing + + + + + + Shin + + + + + + + si Zhio + + + + Chuin + + Shén + + Shén + + + Chén + + + Ri + + + +

Jiin + + + + + + + + + + + + XI + + + + + + + + + + + Qén + + + + Yf + + + + + + + + + Yïng + + + + + + + + + + + + + Xiéo + + + + + + + + + + + Xié + + + + + + + + • + Yb + 57

# 0 #J0 ^ 0 7C.C 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Bang + + + + + + + + + + + Pang + + + + + + + + + Bing + + + + + + + + + Mfng + + + + + + ++ + ++

Duin + + + + + + + + + T6u + + + + + + + + Ding + + + + + + + + Nf + + + + + + + + + + + Lii + + + + + + + +

Zhl C h h + Chéng

Jing + + + + + + Qing + + + + + Cdng + + + + + + Xîn + + + + + + + Xié

Zhuang + Chû + + + + 4- Chuéng . + + Shân + + + + Si Zhào Chuin Shén Shën Chén Ri

Jiàn + + + + + + + + + + + + + + + + + + + + XÎ + + + + + + + + + + + + + + Qdn + + + + + + + Yf + + + + + + + + + + + + + + + + + + + +

Yïng + + + + + + + + + + + + + + + + + + + Xiao + + + + + + + + + + + + + + + + + Xié + + + + + + + + + + + + + + + + + + + Yh 58

a 0 1 2 3 4 1 2 III IV III IV III IV III IV III IV III IV Bang + + + + + + Pang + + + Bing + + + + + + + Mfng + + + + + Duin Tbu Ding Nf + + Lii + + + + +

Zhl + + + + + Chb + + + + Chéng + + + +

Jing + + + + + + Qing + + + C6ng + + + + + Xîn + + + + + + X ± 4 + + + +

Zhuing + Chû + Chuâng + + Shin + + sl

Zhbo + + + + + + Chuin + + + + Shén + + Shén + + + + Chén + + + + + Ri + + + + +

Jibn f + + + + + XÎ + + + + + Qdn + + + + + + Yf + + +

Yïng + + + + + + Xl&o + + + + Xié + Yb + + + + + 59

/Ü4 c ^ 0 A 3 4 I 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

i n IV III IV

Bang + + + + + + Pang + + + + Bing + + + + + + + Mfng + + + + + + + +

Duan + + + + + + + TÔU + + + + + + + + Ding + + + + + + + + Nf + + + + + + + + W l + + + + + + + + +

ZhI + + Ch& + + Chéng +

Jing + + + + + + + Qing + + + + + + + + + Cdng + + + + + + + + Xin + + + + + + + + + + Xié + +

Zhuing + Chu Chuâng + Shan + + si Zhio + + Chuan + + Shén ShBn + Chdn + + Rl + +

Jlin + + + + + + + + + + + + + + + + + + XÎ + + + + + + + + + + + + + QiSn + Yf + + + + + + + +

YÏng + + + + + + + + + + + + + X1&0 + + + + + + + + + + Xld + + + + + + + + + + + + + + + + + Yh + + ■ 60 d)o ziic X 12 3 4 12 3 4 12 3 4 12 3 4

III IV III IV

Bang + + + + + Pâng + + + + + + Bing + + + + + + + + Ming + + + + + + + + +

Duan Tbu Ding N£ + Ldi. + ZhI Chè + Chéng +

Jîng + Qîng + Céng Xin Xié

Zhuâng + + Chû + + + Chuéng + + Shin + + + + Si Zhio + Chuin + Shén + Shén + + Chén + + Rl + +

Jiin + + + + + + + + + + + + + XÎ + + + + + + + + Qun + + + + + + + + Y£ + + + + + + + + +

Yïng + + + + + + + + + + + + Xi%o + + + + + + + + + Xié + + + + + + + + + + + + Y& 61

# #0 A c 3 4 1 2 3 4

III IV III IV III IV III ;IV III IV III IV Bang + + + Pang + + Bing + + Mfng + +

Duan T6u Ding Nf + L4l + + + + +

ZhI + + + Cht + + + + Chéng + + + +

Jing + + + + + Qing + + + + C6ng + + + Xin + + + + + + Xié + + +

Zhuing + Chû + + Chuéng + + Shin + + Si

Zh&o + + + + + Chuin + + + + Shén + + + + + Shén + + + + + Chén + + Rl + + + + +

Jiin + + + + + + + XÎ + + + + Qûn + + + + Yf + + +

YÏng + ‘ + + + Xi%o + + + + Xié + + + + Yîi + + + + + 62

0 M e

1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Bing + + + + + + + + + Ping + + + + + + + + + Bing + + + + + + + + + Mfng + + + + + + + + + +

Duin + + + + + + TÔU + + + + Ding + + + + Nf + + + + + + + + L & i + + + + + + + + + +

ZhI + + + + Ch& + + + + + Chéng + + + + + + +

Jing + + + + + + + + Qîng + + + + + Cdng + + + + + + + Xin + + + + + + + + Xié + +

Zhuing + + + + Chû + + + + + + Chuéng + + + + Shin + + + + Si

Zh&o + + + + ChuSn + + + + Shén Shén + + + + Chén + + + + Rl + + + +

Jian + + + + + + + + + + + + + + + + XÎ + + + + + + + + + + + + Qén + + + + + + + + Y£ + + + + + + +

YÏng + + + + + + + + + + + + + + + + Xiao + + + + + + + + + + + + + + + Xié + + + + + + + + + + + + + + + + • Y h + + + + 63 ÿ o ^ O I I ^ 0 / » 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Bang + + + + + + + + Ping + + + + sing + + + + + + + + + + Mfng + + + + + + +

Duin + + + + + T6u + + Ding + + + + N£ + + + + + l A i + + + + + + +

ZhI + + + + + + Chfe + + + + + Chéng + + + + + +

Jîng + + + + + Qing + Cdng + + + + + Xin + + + + Xié

Zhuing + + Chû + + + + Chuéng + + + Shin + + + + + + sl

Zhào + + 4- + Chuin + + Shén + + + Shén + + + Chén + + + Rl + +

Jiàn + + + + + + + + + + XÎ + + + + + + Qén + + Y£ + + + +

Yïng + + + + + Xiâo + + + + + + + + + Xié + + + + + + + + Yîi + + + 64

^ C I I ^ o i n

12 3 4 12 3 4 12 3 4 12 3 4 12 3 4

Bang + + + + + + Pang + + + Bing + + + + + + Mfng + + + + + + +

Duin + + + + Tbu + + + + Ding + + + + Nf + + + + Lii + + + +

Zhi Ch& Chéng

Jîng + Qîng + + + Céng + + Xîn + + + + Xié

Zhuing Chû Chuéng Shân Si

Zhio Chuin Shén Shén Chén Rl

Jiin + + + + + + + + + + + + + XÎ + + + + + + + + Qdn + + + Yf + + +

Ylng + + + + + + + Xiao + + + + + Xié + + + + + + + + + + + + + + Y h . 65

12 3 4 12 3 4 12 3 4 12 3 4

Bang + + + + + + + Pang + + + + + Bing + + + + + + Mfng + + + + + + Duin T h u Ding Nf Lii + + +

Zhi + + + Ch& + + + + Chéng + + + + +

Jing + + + + Qing + + + + C6ng + + + + Xin + + + + Xié + +

Zhuing + + + Chû + + Chuéng + + Shin + Sl

Zhio + + + + Chuin + Shén + Shén + + + Chén + + + Rl

Jiin + + + + + XÎ + + + + + Qén + + + Yf +

Yïng + + + + + Xiio + + + Xié + + + + +■ Yii + + 66

t L #3111 1 2 3 4 1 2 3 4 1 2 3 4 1 2 3 4

Bang + + + + + + + + + Ping + + + + + + Bing + + + + + + + + + + + Mfng + + + + + + + + + +

Duin + + + + + + + T6u + + + + + + Ding + + + + + + Nf + + + + + + Lii + + + + + + + + + + +

Zhi + + + + + + Ch& + + + + + + Chéng + + + + + + +

Jing + + + + + + + + + + + + Qing + + + + + + + + Cdng + + + + + Xin + + + + + + + + + + + Xié + + +

Zhuing Chû + Chuéng + + Shin + sl

Zh^o + + + + + + + Chuin + + + + + + Shén + Shén + + + Chén + + + + Rl + + + + + +

Jiin + + + + + + + + + + + XI + + + + + + + + + + + Qdn + + + + + + Yf + +

Yïng + + + + + + + + + Xiao + + + + + + + + Xié + + + + + + + + + Yîi + + + + + + 67

Actually it is not easy to answer the question exact­ ly how many syllables were distinctive in Ancient Chi- 22 nese. This is due partly to the fact that there are several different editions of QY with successive addition of characters, and partly to the several ambiguous f&n- qie's in QY. However, we have already defined Ancient

Chinese as the language reflected in KMBQ; therefore at least the first cause can be eliminated.

As for the second, some discussion of the problems involved in the individual ambiguous fkn-qiè's is neces­ sary. "Ambiguous fan-qi&'s" refer to those cases of two homophonie groups with the same initial and final. Of course the 73 pairs of homophonie groups usually called the ch6ng-ni# syllables are not included. Their occur­ rence in rime tables is regular enough to demand some kind of phonological explanation: for example, they con­ stitute exact pairs, and they occur only with certain groups of finals (the Paired Division lll/lV Finals).

The cases to be discussed are more sporadic, totalling seven as follows: 1. syllables with *p*- and and .

2. syllables with *ts- and ^CIV^ : and

3. syllables with *x- and CIV^ : ^^,â/^and .

4. syllables with *k*- and : ^and .

5. syllables with *x- and :/^^nd .

6. syllables with *k- and and . 68

The problem of the identification of the finals Æ C and

^ should be discussed here in connection with the pro­ blem of ambiguous fkn-qi&.

2.4.1 and

The fan-qie of these two characters given in various editions of QY is as follows:

QY-I QY-III KMBQ. I KMBQ-III ZGY GGY it 7 # 0 ^ 1 ^ 5 ^ $ r ^ t v î f î ' f l A gkiftio

The treatment given by dWng-y{in-xué phenologists is most divergent. In YJ, and are arranged in the same table such that the former had the initial conso­ nant *p-, the latter *p'-. QYZZT lists in the kii- kou part, and in the h^-kou part, in the same table; both characters are assigned the same initial consonant

*p*-. Deng-y&n Qià-yîn Zhi-ndn ^ ; hereafter DYQYZN) lists only, and zl-nm Qie-yun Yào-fa

( ; hereafter ZMQYYF) only; in both rime tables, the same initial consonant *p*- is assigned to these two characters.

The treatment in YJ is hardly credible. 7 e could be a misprint for , which is provided with the f#n-qi&

^ in Ji-yun ( » hereafter JY). DYQYZN and

ZMQYYF do not give any useful hint, A very important fact is suggested by the treatment in QYZZT: namely in the rime tables, the distinction between the two charac- 69 ters under consideration is kai-kou versus hë-kou. In connection with this, however, we have to keep in mind the fact that in JY the two characters are put in the

same hë-kou homophonie group together with others(^^

). This exactly corresponds to another important

Ia suggestion by R. Li that in the Hii ) rime are found mainly the descendants of the Archaic Zhi ( ^ ) rime category, whereas in the Hui ) rime are found the descendants of the Archaic Wëi rime category. Both of these points seem to suggest that / |b should be in­

cluded in the Hii final group, and in the Hui

(AK. ) final group.

However, the information obtained from the fan-qi^'s

listed above suggests the opposite treatment. No trace

of rounding of finals is found in the fan-qiè of

could be counted as a hë-kSu character, but this is of

course not completely credible. Thus in short, in the

fan-qi&'s we cannot find any source suggesting the two

characters to be phono logically distinct. So we have to

conclude that in Proto-Chinese these may have constituted

the pair with rounded versus unrounded distinction. This

was kept in the language spoken by the author of YJ or

QYZZT, but was lost in the language reflected in QY,

Thus, it is to be taken as a kind of reconstruction that

the author lists the two characters in separate homophonie

groups. However, since the two coalesced in actual speech. 70

the author of QY gave the same fan-ql& to these two char­ acters.

The long-pending problem of the contrast rounded versus unrounded of labials, is, in this connection, now very easy to resolve. The distinction of rounded versus unrounded syllables with labial initial in the Hii ) and the Hul(/Y\ ) groups is a kind of reconstruction.

Having a kind of norm in mind, inevitably an archaism or

learned pronunciation, the author of QY had to assign mutually different origins to the characters with the

Hii ) rime and the Hui (/X,) rime, but since their actual pronunciation is the same, the explanation of these characters as included in these rimes is extremely vague. It rather leads to the dismissal of the contrast.

R. LÏ is correct in denying the contrast although he misses the point. The loss of contrast of the two rimes may be explained as the result of dissimilation between two grave or flat segments, medial -u- and ending **-g in

Archaic Chinese. It is quite possible that the distinc­ tion kai-kou versus hé-kou did not exist any more in the language reflected in QY by which time it is supposed that the voiced consonant ending of the so-called yln- sheng ( 'iT ) finals were completely lost.

R. Lx*s tabulation is inconsistent in that he lists those rounded and unrounded syllables with labial initials separately, though he doubts their distinction, whereas he 71 does not give even a tentative position for or as distinct syllables.

In conclusion. It Is proposed here that and represent mutually distinct syllables: rounded finals with labial Initial versus unrounded final with labial

Initial In Ancient Chinese.

2.4.2 # andt'fU

The fan-qle attached to these characters Is fairly consistent In various editions of QY:

^ QY-II QY-III KMBQ-I KMBQ-II ZGY GGY „ .. „ “

"

The fan-ql& attached to the former In the two editions of

GY Is rightly corrected by -m<5 Zhou as with- out his correction will not be distinct from which

Is given the fan-ql& In both GY and QY. Through these fan-ql&'s no significant difference of pronunciation of these characters can be found.

The treatment of these characters In rime tables Is very divergent :

1) In both YJ and QYL Is arranged under the Ini­ tial *ts- In the fourth Division, and In the third Division there appears a new characterwhose fan-qlè Is

In QY-II, QY-III, KMBQ-II, ZGY and GGY, but which does not appear In KMBQ-III.

2) In DYQYZN Is placed under the Initial *dz- In 72 i'î' the fourth Division and under the initial *ts- in the second Division, The latter shares the same pronunciation as that of in QY, However, this with the initial

*dz- should be distinguished from the under considera­

tion, In JY /^Ji is given the fan-qiè and is

separated from both with the fan-qiè and with the fan-qiè • Anyway, DYQYZN suggests a possibility of distinguishing and ' ^ p ] by placing the

latter in any Division other than the fourth,

3) sl-shêng-pîi ( ; hereafter SSP) follows what is suggested in^DYQYZN: , and not , is put in

the fourth Division; and, interpreting the fan-qiè

(which is of obscure origin) as the so-called "lèi-gé"

fan-qiè, the author put in the second Divi­

sion under the initial *tg-.

Summarizing the treatment in various rime tables,

the deng-ybn-xuë phenologists tried to interpret the

distinction between the two characters in question as

having nonretroflex versus retroflex initial consonant.

This treatment is justified by no other evidence, includ­

ing the fan-qiè*s of QY, On the other hand, evidence

justifying the QY fan-qiè*s is available.

In the M'ags-pa transcription in MGZY, which shows

a very clear distinction of retroflex versus nonretroflex

dental , the pronunciation of is given as

"dzul," As t o r , although the character is not listed 73 in the rime dictionary, another character which had the same combination of segmental sounds with only tonal difference in QY, is given the pronunciation "dzul" in

MGZY also. Judging from these transcriptions, the inter­ pretation given by the author of SSP cannot be accepted.

The distinction of these two characters in QY may be interpreted as follows : the Archaic origin of these two is quite different; J ^ - is from the Archaic ) rime category with the initial **ts-, whereas ifio] which shares the same phonetic part ' 0 ^ with the characters and ArK)(all belonging to the same homophonie group with

^ 1^]) is from the Archaic Jia (i^L) rime category. The difference of fh!n-qi& reflects a consideration of the different origin of these characters, and although their pronunciation may have coalesced by the time, the author prepared two separate homophonie groups for them. There­ fore, these f^n-qi^'s may be taken as an example of ar­ chaism of fan-qiè spelling in QY or dialectal diversity reflecting the difference of archaic origin mentioned above.

Thus in conclusion, we follow R. LÏ's solution of

identifying these two groups, because archaism in this case does not lead to any systematic recovery of the older

system. 74 2.4.3 rj't, Ai] and

The fWn-qi& of these three is:

KMBQ-I KMBQ-II KMBQ-III ZGY GGY ifiik. iifiîi-t'û M ] ^ffr^ “ ”

^ II II II II

YJ, QYZZT and DYQYZN list only in the fourth

Division. QYL lists in the fourth Division and , which is a variant of according to JY, in the third

Division of the same table.

SSP, based on the revision of the f^n-qiè in JY, moves (with the fan-qiè according to JY) to the kai-kou part of the rime table (Division IV), and assigns to the third Division, to the fourth

Division under the same initial consonant in the corres­ ponding hé-kou table.

SSP's solution, though apparently based on the revi­ sion of the fan-qiè of , is nevertheless revealing, because it puts the rounding of the final of in doubt.

The lower fan-qiè character of is either or though probably by mistake. Both of these are included among the seven characters to which a very special type of fkn-qiè is attached in QY: namely the lower character has unrounded final although the final of these characters is rounded. This means that in serving as the fan-qiè spelling for , the syllable of or is divided 75 into two parts. The second part does not contain rounding, vy /-L \Jr a as can be seen from the fan-qi& for \ ÿ - ~ or 1^^ 'fl ^ or respectively). However, it is impossible to regard as having a kai-kMu final owing to the fact that if this were the case, the only reasonable position for placing in the rime table would be in Division III

(kai-kou), which was already occupied by another character.

• On the other hand, it is not likely that could contain a Division IV Final, although it might be doubt­ ful whether the found in QYL is actually the in question or the found in JY as one of the member char-

p-li acters of the homophonie group to which belongs.

In conclusion, since no strong evidence is available for the placement of these three characters, R. L’Ïs ' assumption is temporarily adopted: has hë-k^u Division

III Final, while and i s i l Z belong to the same homophonie group with hé-kou Division IV Final.

2 . 4 . 4 j H and

The fan-qi^ is very consistent:

QY-III KMBQ-I KMBQ-II KMBQ-III ZGY GGY jc. ,, „ „ n

"

YJ places JjL in the third Division, treating it as a Yéu ( ^ ) rime character; and ‘f/i] in the fourth Division, treating it as one of the You rime characters. This agrees with the conclusion of Téng-hé D%ng's study that 76 2 5 can be regarded as having the You (t^y) final, JY shows great confusion: and are included within one homophonie group with the fan-qiè (another is different; it has the fan-qiè ^ & A ) on the one hand, while together with , is found once more in one of the homophonie groups of the You ( \ ^ ^ ) rime, T,

Dong's conclusion is imperative,

2,4,5 Ife.and'l^

The fan-qiè is very consistent:

. QY-III KMBQ-II KMBQ-III ZGY GGY

i î - ^ y ^ n II 'I II II .. 1 This should also be treated as one of the problems related

to the confusion of the Ydu i i C u ) and the You ( i ^ ) rimes.

This confusion is evident from the notes found in the various editions of QY and GY, was originally placed

in the Y<5u ( '/Li ) rime, and r j } j ^ in the You ( 1 0 ^ ) rime,

Possibly there was a variant of Chinese, dialectal or

historical, in which could be pronounced the same as

order to distinguish, or rather in order to

denote this coalescence, there were several ways of writing

this coalesced by adding a point, a bar, etc. In

KMBQ-III a kind of dia-system is found, so that these ^

three, namely of the Y6u ( ^Ui) rime, and and

of the You (j^iîî/) rime appear as if all of them were dis­

tinct, GY and YJ give a decisive settlement: the latter 77 two belong to the same homophonie group in these rime dictionaries.

2,4,6 and

KMBQ-I KMBQ-II KMBQ-III TY ZGY GGY

^ 'è (/??•-) " " “ ^ It

Before these characters were put together within a homophonie group and given the fKn-qiè vj in JY, they have clearly distinct fan-qi^ in all the predecessor rime dictionaries. The important fact is that the occur­ rence of as the upper fan-qi^ character of consti­ tutes one of the four occurrences of the so-called "yodized" upper characters for all Division IV Finals with velar initials. Among those with "yodized" upper fan-qiè char- acters, two with *k- occur in the Tiân ) rime, to which

and belong, and the remaining two (with *k'-) in

i fi the Qing ( ) rime. The usage of these "yodized" upper fan-qiè characters suggests the beginning of a sound change affecting all syllables with Division IV Final: the "Brech- 26 ung" of the main vowel of Division IV Finals, It does not seem very likely that there was a systematic phonologi­ cal distinction in Ancient Chinese between the two homo- phonic groups represented by and ^ , and thus they should be identified. 78

2 . 4 . 7 The relationship between the Yân (y^5c) rime and the F^n ( /L ) rime

The discussion of the problem of the identification of the finals of the Yin (y^yC) and the Fin ( ) rimes would be most appropriate here, because if they are to be identified as rimes with the same main vowel and ending, then the following interpretation must be justified; namely, the members of two pairs of homophonie groups,

9^ (from the Yin rime) and M (from the Fin f i t rime) of the rising-tone, and (from the Yin rime) and (from the Fin rime) of the entering- tone were not distinctive within each pair. However, the members of these pairs seem to be mutually distinct in

QY. In KMBQ-1, the members of another pair of homophonie ' Yr; groups with the departing-tone, namely r ,(from the Yin

rime) and (from the Fin ^ rime) are mutual­ ly contrastive, although this is somewhat doubtful because in the list of the rime indices attached to the beginning of KMBQ-I, it is noted that the original QY did not have the rime index Yin (^^ ) for the departing-tone, and also because the fan-qi^ given to the index character is

6 L (the lower character being from the departing- tone counterpart of the Fin rime, not from that of the Yin rime) in KMBQ-1; in KMBQ-III, however, the fan-qiè is given as ^ «

Now, the placement of the homophonie groups of these 79 two rimes under consideration in various editions of QY gives some interesting information:

In the case of rising-tone counterparts, the homo- phonic groups of the Y^n ( / ^ ) rime are found together with those of the Y^n ( s ê ~ ) rime in KMBQ-II. Consequently, although all the other editions of QY, KMBQ-1, KMBQ-111 27 and GY show a different placement by separating the homophonie groups of the rising-tone counterpart of the

Y^n rime from those of both the Yân C ^ ) and the

F^n ( ) rimes, it must be assumed that in the original

QY the homophonie groups of the rising-tone counterpart of of the Y^n rime were put together with those of the

Y^n ) rime under the same rime index (very probably j|L). This is confirmed by a note given in the list of rime indices of QY revised by R. W^ng.

One may consider it more natural to assume that the situation in KMBQ-11 (where the homophonie groups of the 0? rising-tone counterpart of the Y^n rime are put together with those of the Y4n jzz. rime) is the result of a change from the situation in KMBQ-1, because two homophonie groups: of the rising-tone counterpart of the Y4n i ) rime and J of the rising-tone counterpart of the Y^n rime, and probably two more pairs of homophonie groups: ^ of the rising-tone counterpart of the Y^n ( iiZZ- ) rime and of the rising-tone counterpart of the Y^n (>fj^) rime, also of the rising-tone coun­ 80 terpart of the Y5n ) rime and of the rising-tone sl", counterpart of the Y^n (1C.) rime, seem to have coalesced in KMBQ-II, However, judging from the note by R. W6ng, this may not be t m e , because in any case it is clear that in the original version of the QY there were neither rime index nor homophonie group of characters for the rising-tone counterpart of the Y & n rime.

As for the homophonie groups of the departing-tone counterpart of the Yân ) rime and those of the Y^n

) rime, there is no justification for regarding them as grouped together in the original QY, Rather the former might have been grouped together with the homophonie groups of characters with the departing-tone counterpart of the Fân ( A ) rime, both under the rime index for the departing-tone counterpart of the F â n ( A ) rime. The placement would have been something like what is now found in TY, Although it is contrary to the chronological order of the revision of QY (original QY -* KMBQ TY),

R, W^ng who is the revisor of KMBQ (including of course

KMBQ-III) has set up the index for the departing-tone counterpart of the Yân (^j^ ) rime, separating the homo- phonic groups for the departing-tone counterpart of the

F^n ( A ) rime from those with velar or guttural initial

(the latter being the genuine homophonie groups for the departing-tone counterpart of the Y â n rime). The 81 placement of homophonie groups in TY might be the re­ covery of the arrangement in the original QY.

Now, we are faced with the question why we find only

the homophonie groups of the rising-tone and the departing-

tone counterparts of the Y^n (/^5 C) rime put together with

the homophonie groups of some other rimes. This cannot be explained by extra-linguistic factors such as the small number of Chinese characters included in these homophonie

groups, because more or less the same number of Chinese characters is found in the homophonie groups with the even-tone and entering-tone counterparts of the Y4n (/|‘3C) rime. There is virtually no obvious linguistic factor which caused the above mentioned special placement of homophonie groups. However, one quite certain fact is that even though the homophonie groups with the rising-

tone counterpart of the Y^n (Jj^) rime were put together with those of the Y^n ( nîZ.) rime in KMBQ-II, there were at

least three (or four) distinct finals with the same ini­

tial *k'-;

of the Division III rising-tone counterpart of

the Y^n ( 0322. ) rime ;

of the Division IV rising-tone counterpart of

the Y^n ( jjâ- ) rime ;

of the rising-tone counterpart of the Yân rime; 82

W of the rising-tone counterpart of the Fin (^ )

rime.

More importantly, among the homophonie groups of Chinese characters with finals of either the Yin ( ^ 5 C ) , the Yin

) or the Fin ( ft. ) rime but with the same initial, only those with the final of the Fin ( ^ ) rime have the lower f^n-qiè character with a labial initial. This im­ plies that one can expect some kind of rounded vowel in the final of the Fin ( ft ) rime. Thus the different placement of the homophonie groups of the Yin ) rime may have something to do with the change of structural balance caused by dissimilation between the labial ending and the rounded vowel mentioned above in the homophonie groups of the Fin ( A j ) rime.

To sum up, at the time of the compilation of QY, there was undoubtedly a distinction between the Yin C ^ l ) and the Fin ( Æ ) rimes, though later there may have occurred various coalescence of former contrastive pairs as a result of dissimilation.

In concluding this section we can ascertain that

3612 syllables (instead of 3617, which is the total num­ ber of homophonie groups in KMBQ-III) could be recognized in Ancient Chinese. CHAPTER 111

THREE TRANSCRIPTIONS OF OLD CHINESE

IN FOREIGN ALPHABETS

What is established and summarized in the preceding chapter is primarily the classes of sounds in Ancient

Chinese and certain phonological information concerning the description of these sound classes in the framework of the traditional phonology of the pre-modern period. The second step of the present study is to see how the sounds of later variants of the Chinese language transcribed in certain phonetic writing systems correspond to these sound classes of Ancient Chinese. The final aim is of course to determine the possible phonetic-phonological correlates that constituted these sound classes through the corre­ spondences on the one hand, and to describe in a linguis­ tically formalized way the process and principles of the sound changes of this language. Before proceeding to such studies, which will be presented in later chapters, our immediate concern is to look for and define the pho­ netic information of old Chinese sounds obtainable from various alphabetic transcriptions. For this, the Ti­ betan and hP'ags-pa transcriptions and Trigault's roman- ization are chosen.

83 84

The motivation in choosing alphabetic transcrip­ tions consists in the fact that, while it is not very difficult to follow the transformation of sound classes of old Chinese from Ancient through modem Mandarin, it is not so clear what kinds of phonetic-phonological attri­ butes constituted these classes.

There are many sources for this type of transcrip­ tions other than the three chosen here. For example, Hud- y£ -yu ; hereafter HYYY) in its various editions should be mentioned as one of the most extensive sources. However, the three sources chosen here are clear­ ly distinguished from all the others of this type of materials in that all of them are uniquely oriented; name­ ly they are intended to give the Chinese pronunciation of a certain time and place in the form of an alphabetic transcription as faithfully and accurately as possible.

We are restricting our materials to those transcrip­ tions intended for transcribing the pronunciation of given Chinese characters by means of certain phonetic but not vice versa (namely Chinese characters intended for showing the pronunciation of certain words which are spelled by certain phonetic writing system).

Therefore, such materials as Fan-H&n-yu Hé-sh£ Zhang-zhong- zhu ( ^ ^ ; hereafter ZZZ) is also excluded; since neither the Chinese nor the Tangut writing systems are purely phonetic or morphophonemic, they may 85

lead to a vicious circle if they are used for the study of old Chinese sounds in the same way as the three transcrip­

tions mentioned above. In the case of HYYY, it is always uncertain which dialect of Chinese is reflected in the

Chinese transcriptions of foreign words and which dialect of the foreign language these words belong to. For exam­ ple, Man-lâ-jiâ (Mallacca)-guan Yi-yu seems to give very reliable material because of the unusual uniformity of the 3 phonological system of the Malayan languages. However, certain parts of the vocabulary recorded in the is close to the vocabulary of the Cham language (or those

languages represented by Cham) rather than to that of

Malacca Malay. In addition, the transcription is not quite faithful and accurate, and the text contains many mistakes made by the copyists. It is concluded that the book is of some use for the study of the initial conso­ nants, but of little use for the study of the vowel sys- 4 tern.

Also the value and scope of the three chosen transrip-

tions should clearly be distinguished from, for example,

the Uighur transcription, which has been studied rather

thoroughly by B. Csongor. First, although Csongor ex­ plains the nature and value of the Uighur transcription by such typical cases as the combination of "taw" and "sem- kath" (which is invented for rendering Chinese aspirated and unaspirated affricates and therefore is an unknown 86 6 combination of letters in Uighur ), it is hardly believ­ able that these transcribed Chinese words cannot be taken as real loan-words at all. The nature of the transcription is completely different from that of the Tibetan transcrip­ tion. Its purpose is not to render the Chinese sounds as faithfully as possible.

If the problem involved were only the faithfulness of the transcription, then there might not be much differ­ ence in the value of transcriptions as the source for the study of old Chinese sounds. As a matter of fact, the reader is referred to Csongor 1952 for his elegant justi­ fication of using these foreign transcriptions for the study of Chinese phonology and for his retort to the com­ mon notion of the "deformed nature" of foreign transcrip­ tion. However, there are certain crucial weaknesses of the Uighur transcription as a source for Chinese study.

A few points will suffice to justify this remark. Due to the ambiguous notation-function of Uighur characters, the contrast aspirated versus unaspirated of Chinese initial consonants cannot be rendered at all. Also "hSth," "kaph,"

"beth," or even "sSdhi," and in later documents, "taw" and

"daleth," cannot be taken as material giving any informa­ tion about the voicing or tenseness of the Chinese sounds transcribed. In the case of the transcription of vowels, in general, reliable information on the gravity of the

Chinese vowel cannot be expected, since gravity is entire­ 87 ly to the morphophonemic rules of Uighur itself.

In this respect, Csongor should not call his translitera­ tion of Uighur transcription a "transcription." The original is undoubtedly a "transcription," but his trans­ literation has an entirely different value and cannot be considered as a real "transcription." As Csongor himself explains, when he transliterates the Uighur transcription for a certain Chinese word, for example, into "gu," the transcription could also be transcribed into "kou," "kuo,"

"kü," "ku," "guu," "gou," "guo," "go" or "gu" according to his scheme. As already mentioned, the Uighur transcrip­ tion does not give any information about the voicing of the initial consonant. Thus the transcription "g" is

Csongor's reconstruction, not a Uighur transcription at all. The Uighur transcription for a certain Chinese word could be, for example, either "sangun" or "sangun." When

Csongor "transcribes" the word as "sangun," he is follow­ ing the morphophonemic rules of Uighur. Since the word is followed by "-qa," one cannot expect any nongrave vowel in

"sangun"; consequently the right transcription is "sangun," not "sangun." His solution is quite correct. However, this does not have anything to do with the gravity of the

Chinese vowels transcribed by these Uighur characters.

In short, the "transcriptions" by Csongor in his three papers are really an important contribution, and they will be quoted for reference in this study, but they should 88 remain as a reconstruction by Csongor for the most part, not a transcription which may be expected to give us objective information about the transcribed sounds. In the case of the hf'ags-pa transcription too, a certain amount of "reconstruction" in this sense is necessary.

However, each character is in general unambiguously con­ nected with a particular Chinese sound; so for example,

^'ags-pa "d" could be old Chinese ((t)), but never Chinese

((d)) nor ((t*)). ^

As a general remark, we agree with Shiroo Hattori and 8 J. C. Street in insisting that with such kind of study, that is, the study of the transcription of the sounds of one language by the script of another, more than two different kinds of transcription should be prepared; for example, one transcribing the exact information, no more, no less, the original provides for us. Thus in the case of the Uighur transcription above, "g" should be replaced by a which is neither voiced nor voiceless. In practice, this is impossible, so far as an alphabetic notation is used. However, the distinctive feature system makes this possible, because all other possible properties of the symbol except voicing can be specified. Here is another advantage of using the distinctive feature system.

The two vowels of "sangun" should be compact, nondiffuse and noncompact, diffuse respectively, and should not con­ tain any information on the feature gravity. 89

With the above consideration in mind, the Uighur

"transcription" will be used for reference. Certain

information, such as the dropping of final nasal, will be

referred to as given by the Uighur transcription itself,

but such information as the gravity of vowels, voicing of

certain initial consonants, will be referred to as re­

constructions by Csongor.

Questions concerning effectiveness of conveying

Chinese sounds by these scripts, the limit of the phonetic

training or ability of transcribers, etc. will not be

pursued here. This is partly because Csongor*s paper has already given an excellent answer, but mainly because the value and accuracy of such transcriptions will reveal

themselves in the course of subsequent discussions.

It goes without saying that there are certain defi­

ciencies with each of the three transcriptions of Chinese

sounds to be studied here. They are restricted in accuracy not only by the knowledge or training of the transcribers,

but also by the nature and system of the respective

scripts. The hP'ags-pa transcription is intended to be a kind of orthographical transcription; whereas the Tibetan

transcription consists of individual notes on the pronun­ ciation of Chinese characters by means of the Tibetan

script. Therefore, it is natural that the former should be consistent throughout almost all the materials, but the

latter could not be consistent unless the transcriber has 90

decided on a certain scheme of transcription. However,

this inconsistency will not disturb us very much, because we are concentrating on the study of Chinese sounds given

in these transcriptions. Consequently, if the informa­

tion obtained from these transcriptions is systematized,

the of certain transcriptions can be determined.

Since both the Tibetan and the hf'ags-pa scripts used for

the transcription of old Chinese sounds were primarily

designed for and Medieval Mongolian

respectively, and since the exact phonetic features of

these old languages are not well understood, the first

half of this chapter will be devoted to discussing the

interpretation of the transcription. The second half

will give tables showing the correspondence between An­ cient Chinese sound classes established in the preceding

chapter and the transcribed forms.

3.1 Tibetan transcription

In a published in 1933, Ch&ng-p4i Lu6 made

the first complete and systematic study of the Tibetan

transcriptions which show the pronunciation of the Chinese

characters of the found in the famous

Hidden of Dun-huAng, summarizing the points and

problems of preceding rather fragmentary studies by other

scholars on the same materials. Later in 1960, Csongor

made a thorough check of the transcription with the micro­ film of the original manuscripts, which had not been 91 available to C. Lu6, and corrected some of his translitera- 10 tions. Also, he was able to study a version of a Bud­ dhist text (E-m£-tud-jing) which had not been accessible

to C. Lud. He also prepared a list of Chinese characters and their transcription ordered according to the Ancient

Chinese system, whereas C. Lu6 arranged them according

to the Tibetan transcriptions, grouping regard­

less of their differences in Ancient Chinese. Since this

tra&scription is not an orthographic transcription (such

as the case of hf'ags-pa transcription), C. Lud's method

is apparently less advantageous. Csongor*s refinement is

not simply a rearrangement. He made notice of the fre­

quency of the given transcriptions so that the reader can

judge if certain discrepancies are significant or merely

due to accident.

It is regrettable, however, that although Csongor

made such a thorough check, he committed a serious mis­

take in arranging the glossary. Although he gave informa­

tion on Ancient tones whenever necessary to distinguish

homonyms, he did not incorporate tonal distinctions in his

table, whereas C. Lud gave thorough notes on the tone of

each character. T h u s in the Tibetan transcription of Qiân-

zl-wdn and Dà-shèng Zhông-zông Jiàn-ji¥, one of

the most interesting instances of the behavior of initial

consonants reflecting the change of the contrast voiced

versus voiceless, could not be shown clearly in his table. 92

Another change for the worse is that Csongor put together transcriptions from different sources though a note of their origin is given, whereas C. Lu6 set up a separate column for transcriptions from other sources. Thus, the very contrastive nature of the transcriptions found in the two texts, C and T, on the one hand and the rest on the other, does not present itself until one makes tables distinguishing the different sources by separate columns.

However, the above problems are more or less techni­ cal. The most crucial weakness is that Csongor strictly follows the Ancient system established by Karlgren and completely neglects such important distinction of sound classes as the ch6ng-ni# pairs of syllables. There is no excuse for his failure, because it is almost more than 11 a decade ago that this distinction was first noticed, and since then so many imperative conclusions have been drawn about the exact phonological distinction of these chdng-niu syllables.

The glossaries by C. Lud and Csongor are reorganized such that the tables show the correspondence between all the possible distinctions in Ancient Chinese and the Ti­ betan transcription, and separate tables are provided for each of the five different sources of Tibetan transcrip­ tion.

The sound value assigned to these Tibetan characters may evoke discussion. There is no sound justification for 93 taking the modern Lhasa pronunciation of each character as the sound value. However, there is no better choice, so we follow the widely accepted inference of sound value of these characters based mainly on the Lhasa pronunciation, but with the distinction, suggested by the pairs of sym­ bols, of voiced versus voiceless which is actually assured by the correspondence of the Lhasa pronunciation to other dialectal system. The transliteration of the , which is at the same time the assumed sound value of these symbols is as follows:

ka k'a ga C*

t^a tW'a dMa j.a

ta t*a S' da S' na rj* pa p*a ba tsa ts'a dza Ü' %a 3* za eg* ja

ra la Ka sa

ha 2a

e i k o

u j <1 w

For convenience of comparison and reference, Csongor's 94 abbreviations of the texts of transcription are used, but the order reflects the mutual resemblance of the phonolog­ ical systems of Chinese transcribed by Tibetan script in these texts:

C: QiSn-zl-wén ^ ), Fragments of Chinese text

with interlinear Tibetan transcription of Chinese

pronunciation ;

T: bb-sh&ng Zhông-zông Jiàn-jie ( ^ ^ ),

Fragments of the Chinese Translation of Mahâyina-

Mâdhyamika-Darlana with interlinear Tibetan tran­

scription of Chinese pronunciation;

K: JÏn-gâng-jing Fragments of a Chinese

translation of Vajracchedlka in Tibetan writing;

0: Fô-shuô i-mf-tu<5-jlng ( Frag­

ments of a Chinese translation of Smaller Sukhava-

tl-Vyuha in Tibetan writing ;

OA: Fragments of another version of the preceding

title.

The correspondences of the Chinese dialects reflected

in Tibetan transcriptions with Ancient Chinese will be

tabulated in sections 3.4 and 3.5.

3.2 hP'ags-pa transcription

Contrary to the case of the Tibetan transcription,

there remain many problems to be discussed with the |iP*ags*

pa script itself before we can begin the discussion of the 95 problems of the phonological systan of old Chinese tran­

scribed in the script.

3,2,1 A critical survey of the study of the hP'ags-pa script

Although with the increased interest of Western

scholars in Oriental , the study of the hP'ags-pa

script already began around the middle of the last cen- 13 tury, many of the studies are devoted to particular pro­

blems of individual topics on the script, and the sys­

tematic study of the variant of old Chinese transcribed

in the script, which is the direct concern here, has just

begun. With the photographic publication of MGZY in both 14 15 16 Japan and mainland China and of BJX in both 17 and mainland China, the research on these materials is

extremely facilitated, and certain systematic studies are 18 19 available in published form or manuscript form. How­

ever, these studies are still far from complete.

From a linguistic point of view, the procedure of

using the transcription for the study of old Chinese of

the time must be clarified. Summarizing the controversy

of predecessors, P. Denlinger drew the attention of scholars

to a very important point: "Unfortunately, however, espe­

cially in the earlier studies, the reading of the script

(transliteration) was not rigorously separated from the 20 phonemic interpretation of the script." This may be in­

terpreted as follows: the transliteration of the hP'ags-pa 96

script into Roman and the interpretation of the

sound of Chinese transcribed by the given hf'ags-pa char­

acter should not be confused. However, concerning this

point, Hattori had already made a far more sophisticated

and thorough discussion, though his study is not exclusive­

ly directed to the hf'ags-pa script. He pointed out that

for a thorough study of old Mongolian phonology through

Chinese transcription of the Mongol text of The Secret

History of the , the following three types of tran- 21 scriptions are necessary:

1) Type I Transcription: transcription of the pronun­ ciation of the Chinese character (of the time when the

transcription in question was made) used to transcribe the

given Mongol word;

2) Type II Transcription: transcription of the Mongol

sounds inferred by the pronunciation of the Chinese char­ acter used to represent the Mongol pronunciation;

3) Type III Transcription: a transcription by means of phonemic symbols set up through the comparison of the

Chinese and the Mongolian sounds; for any occurrence of one and the same Chinese character, one and the same phonemic

symbol should be used.

In principle, the same is necessary in the case of

the study of old Chinese sounds through the hf^ags-pa tran­ scription. However, the nature of the hf'ags-pa script is very different from that of Chinese characters used to 97

indicate Mongolian sounds in The Secret History of the

Mongols. and so there must be some different consideration

for establishing the three types of transcription.

1) Our Type I Transcription should be the translitera­

tion of the hP'ags-pa script according to what the Tibetan 2? or Sanskrit prototype of each hf'ags-pa character suggests.

This is necessary because our modern knowledge of the

phonetics of Medieval Mongolian is not complete and also

because regarding some of the combinations of hf'ags-pa

characters or even some of the hf'ags-pa characters them­

selves there is no way of assuming the Mongolian corres­

pondents. The ^'ags-pa script was devised not only for

Mongolian but also other languages in the Great Mongolian

Empire.

2) Our Type II Transcription should be the transcrip­

tion of the possible Mongolian sounds inferred by our Type

I Transcription; in case no corresponding Mongolian sounds

are found the transcription should remain the same as in

Type I.

3) Our Type III Transcription should be the transcrip­

tion by means of "phonemic" symbols set up through the

comparison of the Mongolian sound (or strictly speaking,

the system of sounds assumed as Type II Transcription)

and the possible Chinese sounds of the time. This should be so established that it could be taken as the underlying phonological representation of the Chinese sounds. 98 As a matter of fact, the symbols used in Type I through Type III Transcriptions are abbreviations of the simultaneous actualization of distinctive features.

From the above viewpoint, certain points in earlier studies must be revised and corrected.

Another point is that earlier studies did not make any detailed and systematic comparison of the phonological system of the variant of old Chinese transcribed in the hf'ags-pa script with that of the earlier stage and the 23 later stage, except for one paper by G. Lud which is, however, far from exhaustive. His "Contrastive Table of

Finals of Old Mandarin, hf'ags-pa Transcription, Old Chi­ nese (Ancient Chinese?), Zhong-yudn Yïn-yùn" is hardly 24 reliable. The following basic studies will be carried out here:

1) exhaustive tables showing the occurrence of Ancient

Chinese syllables (xi^o-yim ) within each of the homophonie groups of the hf'ags-pa transcription of MGZY;

2) tables of Ancient Chinese syllabary with each

syllable given in hf'ags-pa transcription wherever availa­

ble.

These correspondences will be summarized later in

tables together with those of the Tibetan transcription,

the romanization by Trigault and Mandarin.

Thirdly, the hf'ags-pa transcription from a single

source, especially MGZY, is i^^ot sufficient for our study. 99 unless it is extensively compared with some other hP'ags- pa transcriptions. As was already pointed out by Den- 25 linger the transcription found in the rime dictionary is somewhat different from that of other sources, though it is open to question whether these differences are

"errors" of the compiler or publisher of the rime diction­ ary, as Denlinger implies. However, the "difference" of the transcription does not consist in the different "spell­ ing" of the same Chinese syllable into hf'ags-pa characters or in the different "usage" of certain characters, but simply in the difference of "shape" of certain hf'ags-pa characters. The situation in MGZY may be understood main­ ly as follows: certain hf'ags-pa characters were drawn in

MGZY in a shape different from those found in some other materials. As a result, they cannot be distinguished by their shape alone from some other characters, so that at first glance, the situation gives the impression that they are misused in MGZY. This is not true apparently, al­ though there is no sufficient information to judge if this

"deformation" of certain characters bears any linguistic significance or is just a mistake of the copyists. In connection with the above point, there is a philo­ logical problem. If the comparison with other ^'ags-pa transcriptions is indispensable for the study of MGZY, before this task we must have critical and reliable edi­ tion of the second biggest source of &f'ags-pa transcrip- 100 26 tions, namely BJX. Since the edition of BJX previously 27 available was such a bad one and since at that time probably other editions were not available, A. A. Dragunov primarily excluded materials from BJX. The first step of

the present task is therefore to decide on a critical edition of BJX, comparing one by one the hf'ags-pa tran­

scription of each Chinese character in the three available 28 editions because each of them contains certain mistakes probably of copyists or printers. In the process of com­ parison the correct transcription can be discovered or at

least inferred in most cases, of course with certain in­ formation on the changes in the phonological system of old Chinese. Thus many sporadic mistakes of the copyists of the hf'ags-pa characters can be corrected.

Besides these more or less technical problems, there

is a most fundamental one: namely whether the transcrip­

tion reflects the exact living language of the period.

This question is reasonable, because a strikingly differ­ ent (simpler) system is found in the variant of Chinese reflected in ZYYY, which came from the same geographical 29 area at approximately the same time (sixteen years later).

The answer to this well discussed question lies in the conjecture that the transcription primarily reflects the formal speech of Chinese of the period. This conclu­ sion is arrived at on the following basis:

1) It would have been desperately hard to give any 101 consistent transcription in the hP'ags-pa script of each

Chinese character in the various edicts and official pro­ clamations without knowing the real pronunciation of these characters and we do find fairly consistent transcription in many of the specimens of these proclamations available nowadays ;

2) It would have been also almost impossible to give any phonetic (or phonemic) transcription to certain non- phonetic characters without being able actually to pro- 30 nounce them. On the contrary it is very easy to spell the "pronunciation" of Chinese characters by means of the fan-qie spelling. A scholar need not know the exact pro­ nunciation of a given character in, for example, GY. He could simply copy the upper and the lower characters of each fan-qi& from any "authoritative" rime dictionary.

This is exactly \diat the "compilers" of various versions of QY did.

From these two points, it is gathered that the

Chinese characters were actually pronounced in more or less the same way as they are spelled by ^'ags-pa script.

Now if these characters were somehow really pronounced, who would want to spell the pronunciation in these offi­ cial proclamations in such a way that no one could under­ stand? Of course these proclamations were probably not addressed to illiterate people; but at least to those who were literate. Then the phonological system inferred from I

102

these transcriptions should reflect some formal speech which the great majority of the intellectuals of the period

spoke or at least understood. It is unlikely that these proclamations were addressed to those Mongolians who under­

stood Chinese but not Chinese characters because many of

the proclamations are engraved in stone tablets in two writing systems -- Chinese in Chinese characters and Chinese

in hf'ags-pa script. The hf'ags-pa script was invented with 's dream of giving one uniform script to

all the five races in the vast Empire the Mongols created.

And those proclamations were written down by the uniform

script of the Mongolian Empire.

In this connection we cannot agree with R. H. van

Gulik's recent explanation. He thinks that "when the

Chinese officials were transcribing Chinese characters

phonetically with the new script, they had to refer to old

Chinese rhyming dictionaries to be able to determine which

hf'ags-pa initials and finals corresponded to the Chinese

m&-zi ^ ) of the fan-qi^ system." However, this is

exactly opposite to what is found in the MGZY. Although

for example the transcription of the traditional 36 z\-mu

attached to the beginning of MGZY identifies the pronun­

ciation of Fei-mu and Feng-mu in contrast to that of Fu-mu,

in the text of this rime dictionary, the transcriber actual­

ly identifies the pronunciation of Fei-mu and FQ-xnu in con­

trast to that of Feng-imi. Needless to say, that this is 103

the actual sound change of northern Chinese is confirmed

by all other evidence in the history of Chinese phonology.

If the transcription of old Chinese initials given at the

beginning of this dictionary is not an error, this means

that the transcriber did not rely on the fan-qiè spelling

or zx-mu reading when he transcribed the pronunciation.

It would not be a great digression on this occasion

to comment on the opinion held for a long time among certain Sinologists concerning the value and nature of written documents for Chinese phonology. Here is a set of questions concerning the problem: Was the language of GY ever a spoken language? Were the individual morphemes of GY ever pronounced as indicated? What is the relationship between the written language and the spoken language? etc.

Underlying these questions is the opinion championed by

W. A. Grootaers that in dealing with the historical mate­ rials of Chinese, there are two completely different types of "language"; one is the "standard" language such as that reflected in various rime dictionaries or rime tables originated from QY or YJ respectively; the other is the 32 actual living language, such as the modern dialects.

The former is not a natural language, but a kind of theo­ retical construct; consequently it must not be studied in the same way as a natural dialect.

If this opinion holds, the present study tries to 104 connect different portions of different threads, not to 33 describe a single continuous historical development.

However, the difference between the written and the colloquial language has often been exaggerated. First, the overall scope and eligibility of a theoretical frame­ work for the description of natural languages should be re-examined, because the discrepancy between two languages, in the present case the language reflected in QY or YJ and the colloquial language of the 7th or 14th century, differs according to the outlook of the linguist who deals with it. In traditional linguistics, a kind of behavioristic or mechanistic approach to language compelled a linguist to collect, classify and list the difference of the surface structure of a given language. It is M. Halle who showed that with the generative approach to the grammars of dia­ lects, the great superficial difference between the phono­ logical structure of General American and Pig can be 34 described in terms of only one morphophonemic rule.

Now, let us examine the actual difference between the phonological structure of the variant of Chinese found in hP^ags-pa transcriptions and that found in ZYYY. The

"strikingly different" structure between these two was the beginning of the present topic of discussion. It turns out to be surprisingly little if the difference in phonology of these two is strictly formalized. What gives one an impression of "striking difference" is mainly the contrast 105 of voiced versus voiceless in stops, affricates and fri­ catives, which was lost in the variant reflected in ZYYY.

However, this is only a matter of whether the variant of

Chinese has the following one rule switching a single

feature :

[+voic] [-voie] if : +cons L-sonqJ

In some other parts of the phonological system, the lan­

guage reflected in the hf'ags-pa transcription shows a

simpler system than that found in ZYYY. The Ancient dis- ■j. tinction grave versus nongrave of the H^o ('^ ) and the

Yio ) rimes is still kept after labial initials in

the variant of Chinese reflected in ZYYY, whereas in the

variant of Chinese transcribed by hP'ags-pa script it was 35 completely lost. Looking at the overall simplification

of the Ancient system in these two variants of Chinese

around the 14th century, the general characterization of

the phonological system of hf'ags-pa Chinese as "slightly 36 more complicated" than that of ZYYY is preferred to the

characterization that these two are "strikingly different."

In conclusion of the issue under consideration, the

language reflected in the hf'ags-pa transcriptions is very

likely a natural variant of Chinese of the time though it

may not be a stage in the linear development from Ancient

Chinese to Mandarin. In the study of the history of natural 106 languages, it is rare that one can find materials repre­ senting a single linear development.

3.2.2 Initial consonants

The initial consonants listed at the beginning of

MGZY as "tshi-muw" (zx-mu) are primarily the 36 zl-mu es­ tablished by deng-ybn-xu4 phenologists and their hP'ags-pa transcription. The following is an inventory of these initials. The scheme of the table is:

1 ) hf'ags-pa character

2 ) variants in calligraphic style ("tSwen-tshi-muw")

3) Type II Transcription

4) 36 z\-mu

5) corresponding Tibetan character ("gsal-byed") or, where there is no corresponding Tibetan character, San­ skrit character

6 ) Transliteration of the Tibetan or Sanskrit char­

acter

7) Type 111 Transcription 107 Table 7 V hf'ags-pa Characters for the 36 zi-mu

1 2 3 4 5 6 7

b ba d J g ) K O' P

P* P* a g 3 ÊJ 3# P pa b a ÉÈ z:j" a m 8A ma m SO0) hw f

liw S' hwa f a m $ V a w # y wa w a d S' da t t* t'a t' a i # 3' (sIN t 5' da d a a mia n >/2j 3^' na n fr] 1^ P ilt jia P E l dz t7 tja ts a ts ' d3a ts * ts jia dz 3 1

s sa s a m / 1 1 ' z za z 3 3 * d& d%a tÿ E* i w t^» t&'a t^» a m Ë 3 W 3 5 " t^ t^a d^ a s

% ^a a m l #-

% àf a . HI #

g r q » ga k a 5 ^ ÊJ

k» k*a k* 1 5 0 IM r "

k 7T | » ka g m m 9 E» 5 a 9 a < K E Inn 2 q " b a 2 a g o h 8 È ha X S'wa Y r a * Y a a 1 3 l ^ 0 ?a 0 IfU m m 0 # g ^ * îj ja ?j I À 1 1 ^ ÜCJ' \

109 E h 1 ^ Y

ja u u 15H)lEli o à LXI*

1 5g. la 1 [ a El lEl R Z Q Xa

3.2.2.1 Voiceless unaspirated initials

It can be easily observed that for all the Chinese initial consonants which are characterized by deng-yùn-xué phenologists as the qu£n-qlng-yln group and which must have been voiceless unaspirated (voiceless nontense) stops or affricates, the hf'ags-pa transcription gives the voiced correspondents; and for all those characterized as the quân-zhu6 -yln group and which must have been voiced stops or affricates, it gives the voiceless correspondents.

Several linguists have struggled to solve this mys- 38 tery. Karlgren explained as follows: if old Chinese voiced initials are taken as [b], [d], [g], etc., then it is incomprehensible that the Mongolian heard old Chinese

[b] as [p], old Chinese [p] as [b]. However, if these initials are assumed as [b'], [d'], [g'], etc., and if the aspiration of Mongolian "p," "t," "k" was stronger than that of Mongolian "b," "d," ”g" -- as in the case of Ger­ man — then old Chinese [b'] was regarded as [p*] by Mon­ golian because of its aspiration; and old Chinese lenis 110

voiceless [p] was heard as [b] because of its absence of

aspiration. 39 Among the 27 consonants listed by Nicholas Poppe

if the 9 consonants which are found only in a few words

of foreign origin (mainly from Chinese) are erased, the

fundamental distinctive feature of stops and affricates in

old Mongolian is tense versus lax (aspirated versus un­

aspirated) rather than voiceless versus voiced. From the

full inventory of hP'ags-pa script consonants --

(p) (t) / (^) (k)

/ t' (C) k*

b d (j) Y S

m n / / 9

w 1 r y q // s ï h

/ / (z) (3() (y )

if those! given in brackets are removed, the1 in­

genuine Mongolian phonemes can be obtained as :

/ t* . k'

b d y S

m n y 9

w 1 r q / s h The result is very close to the inventory of phonemes of

Mongolian of The Secret History of the Mongols, which was 40 established by Street. 111

It is all right to assume a connection between old

Chinese voiced stops and old Mongolian voiceless stops on account of their aspiration. What is contradictory in

Karlgren's discussion is --

1) Although he mentions labial, dental and velar stops of old Chinese and Mongolian in this connection, he illustrates his idea only with labials. As can be seen in the above inventory of old Mongolian consonants, the dis­ tinction tense versus lax is lacking in the labial series.

Consequently, the Mongolian had only one hP'ags-pa char­ acter for the labial stop. Therefore, Karlgren's connec­ tion of old Chinese voiced stops with old Mongolian ­

less stops may not be an outright error in this case

(though there is no example of the transcription of old

Chinese [b'] by the hP'ags-pa character for [p']). How­ ever, this is certainly not true in the case of dental and velar stops, where hP'ags-pa characters for old Mongolian

[t'] and [k'] are used for transcribing old Chinese [t*] and [k*], not [d'] and [g'], respectively.

Old Chinese Old Mongolian

P ^ (P')

b'^' 112

Old Chinese Old Mongolian

t*

k

k*

s' ^ 6

2 ) If his assumption is correct, there should have

been one more set of hf'ags-pa characters for voiceless

aspirated stops and affricates for transcribing old Chinese

voiceless aspirated initials:

Old Chinese Old Mongolian

then:

Old Chinese Old Mongolian

t« ------^ Î

3) If his assertion of aspiration as the basis for

the connection is right, then it would be more reasonable

and natural that the Mongolian would rather use hP'ags-pa

characters for their voiceless aspirated stops and affri­

cates in transcribing old Chinese voiceless instead of voiced aspirates; namely not — 113

Old Chinese Old Mongolian

t'

Old Chinese Old Mongolian

t*

This is exactly what the Mongolian did.

Dragunov was of course not satisfied with Karlgren's explanation. He paid special attention to the sonority of old Chinese voiced initials. He assumed that the old

Chinese voiced stops and affricates were like those of the

Wd or of the Xiang dialects, not fully voiced — inter­ mediate between completely unvoiced but with voiced aspira­ tion, and English or German voiced consonant — so to 41 speak "half voiced aspirates." Consequently, Mongolian identified naturally their voiced (unaspirated) species with old Chinese unaspirated voiceless lenis species, their voiceless aspirated fortis with old Chinese voice­ less aspirated fortis, and their "slightly aspirated voice­ less" stops and affricates with old Chinese "half voiced aspirates." 114

Old Chinese Old Mongolian

Dragunov*3 assertion is unsatisfactory in that his discussion is possible only when one neglects the basic contrastive features of phonemes and loses oneself in phonetic trivialism. If his characterization of old

Chinese initials is accepted, then the contrast of qu&n- qlng-yxn versus c\-qïng-yîn versus qu6 n-zhud-yin is —

quân-qing-yln cx-qing-yin qu6 n-zhu6 -yln

lenis fortis fortis

(unaspirated) aspirated aspirated

(voiceless) voiceless voiced

Namely, instead of --

voxc

quân-qxng c^qxng qu^-zhuô

Fig, 1.--Qing-Zhu6 Distinction (1) we have —

l e n i s ^ \ fortis

VO ice les s2>vyo iced

qu^n-qîng cl-qing qu^ns-zhud

Fig, 2,--Qxng-Zhud Distinction (2)

Moreover, according to him^ the Mongolian did not pay 115

attention to the conspicuous "voiced aspiration" when they

identified their "slightly aspirated voiceless" consonants

with the old Chinese sounds under consideration (qu6 n-

zhud-yxn). Since he conceives the qudn-zhud-yin as a

fortis stop or with voiced aspiration, this means that the Mongolian neglected the aspiration alto­

gether. It seems that vdien one has to assume the "slight"

existence of a given feature at issue one has already

given up recognizing the feature as distinctive. There­

fore, there is no point in mentioning the "slight" occur­ rence of aspiration in the Mongolian sounds at all. Dra­

gunov 's explanation is possible only on the assumption

that the Mongolian completely ignored the "voiced aspira­

tion" of the old Chinese initials which correspond to the

Ancient Chinese qu6 n-zhu6 -yin.

Poppe did not try to solve the mystery. He just pointed out that as a peculiarity of the consonantism of

Mongolian written in the hP'ags-pa script, there is a con- 42 fusion between fortis and lenis, especially initially.

As already pointed out, van Gulik mentioned the archaisms in the variant of Chinese transcribed in the hP'ags-pa 43 script. As he sees it, Chinese officials who were com­ pelled to use this script for transcribing Chinese char­ acters, thought that the hP'ags-pa script was a kind of archaic , and, in addition, they had to refer to old Chinese riming dictionaries in order to decide on 116 the correct transcription; therefore it was "only natural" that they used the archaic types (phonological system),

"especially since these seemed to accord well with the archaic appearance of the hP'ags-pa script," However, it seems that he did not notice the "mystery." 44 In 1946 Hattori gave the solution to this mystery.

As clearly pointed out by him and later explicitly clari- 45 fied by M. Lewicki, since at that time in northern

Chinese there were only two sets of stops and affricates, namely tense (aspirated) versus nontense (unaspirated), it was "almost a matter of common knowledge" that when

Mongolian or Chinese people compare the sounds of Mongo­ lian and Chinese they identified the Mongolian voiced or semi-voiced sounds with the Chinese voiceless unaspirated,

Mongolian voiceless aspirates with Chinese voiceless aspirates. There is clear evidence that in the northern

Chinese around the 14th centuiry the former three-way con­ trast of stops and affricates (voiceless unaspirated : voiceless aspirated : voiced) was reduced to two (voice­ less unaspirated : voiceless aspirated). As mentioned above, in ZYYY there is a two-way distinction only. The identification of Chinese voiceless nonaspirates with foreign voiced and Chinese voiceless aspirates with foreign voiceless, can also be found in the Persian transcription of Chinese texts dated 1313, which was studied by Dragunov 46 himself. Therefore, there was established a convention 117 of transcribing Chinese voiceless nonaspirates by the hP'ags-pa character for Chinese zhud-yin (Mongolian voiced sounds), and Chinese voiceless aspirates by the hp*ags-pa character for Chinese c\-qïng-yîn (Mongolian aspirates).

Consequently, in order to transcribe Chinese zhu6 -yîn

(voiced or semi-voiced aspirates) which were lacking in

Mongolian, they used a set of hP'ags-pa characters made from Tibetan characters for qîng-yîn (voiceless unaspi- 47 rated). Later in 1951, R. Lx also mentioned the iden­ tification of close sounds between Mongolian and Chinese, quoting Lewicki's study, though he did not try to solve 48 the mystery in question directly.

However, there is one point which both Hattori and

R. Lx did not notice: it is the hP'ags-pa transcription of old Chinese dental affricates. Since the Tibetan al­ phabet ("gsal-byed") lacks genuine symbols for dental affricates of their language, hP'ags-pa, the inventor of the hP'ags-pa script, made use of a certain alphabet of languages other than Tibetan. This is confirmed by the fact that the Tibetan prototype of almost all of the hP'ags- pa characters can be identified except for the dental affricates. Two linguists noticed this point. C. Lu6 made a very important note in his review of Dragunov 1930 concerning Dragunov's interpretation of the sound value 49 of the hf'ags-pa script symbol 3 0 as "dz," -34 as "ts,” 118

He made the following remark in Lu6 1963 (not in Lu6 1959);

The actual^hP'ags-pa transcription is "ts" for the Jîng-miT’KMiddle Chinese ((ts)); Dragunov "dz"3 and "dz" for the C 6 ng-mu KMiddle Chinese ((dz)); Dragunov "ts"3; Dragunov committed a mis­ take by the of the h P ’ags-pa transcription of the initials Duan-mu ^Middle Chinese ((t)); Dragunov "d"2, Dxng-mu [(Middle Chinese ((d)); Dragunov "t"2, Zhào-mÜ ^Middle Chinese ((t&)); Dragunov "3"3, Chu6 ng-mu (Middle Chinese ((d%)); Dragunov "%"3, e t c , "50

Although it is important that he noted the special hP'ags-pa transcription of the dental affricates, the 51 note itself is a mistake, and does not contribute any­ thing to the study of the mystery of hP'ags-pa transcrip­ tion in question. It should be found out which character of what kind of alphabet is chosen as the prototype of of which hP'ags-pa character.

In the spring of 1964, M. J. Hashimoto tried, in­ dependently of C. Lu6 , to solve the mysteiry, examining the prototype of these three hP'ags-pa characters for den- 52 tal affricates in the Sanskrit alphabet. The Sanskrit prototype of the hP*ags-pa characters for the Chinese ini­ tials Jxng (Middle Chinese ((ts)); Dragunov "dz"), Qxng

(Middle Chinese ((ts*)); Dragunov "ts"'), and C<5ng (Middle

Chinese ((dz)); Dragunov "ts") can be identified as fol­ lows :

Sanskrit Skt. sound value hP'ags-pa Mid. Chin. EJ :)(») 3 ] « d3(a) '

^ 119

The identification of Sanskrit "tja" with hP'ags-pa

could be doubted at first glance. However when one looks at the modification of the Sanskrit prototype in another Mongolian alphabet, the Sojombo script, the case 53 becomes clear:

Sanskrit Skt. sound value Sojombo sound value

"51 \y| ts

d3(a) y y l dz

^ J>(a) : ^ ] f Now, it will be noticed immediately that the usage of the Sanskrit ->3^ ("jia") for the old Chinese ((dz)) and the Sanskrit ("dza") for the old Chinese ((ts')) seems odd. However, this seeming deviation can be explained by a in Chinese, namely the denasaliza­ tion of Chinese nasal initials since the 7th or 8 cen- 54 tury. As was tabulated exhaustively by C. Lu6 , Chinese transcription for Sanskrit voiced alphabets changed strik­ ingly around the 8 th century; for these Sanskrit voiced stop and affricate characters Chinese transcribers used

Chinese characters with nasal initial; as shown in Tables

8 and 9. /

120

Table 8

Yuân-mfng Zi-ldn Yi-wén-biao

Sanskrit

of ChiSS" nese Tran&\ scription \ da ba d3a

286 AD

291 AD

404 AD

402-405 AD

418-420 AD

660-663 AD

685 AD

695-699 AD

771 AD

771 AD

798 AD

788-810 AD 121 Table 9

Gên-ben-zi Yx-wén-bi^o ( . C h a r - D at& ^^acters of n S' Z: T ranscript^ s a d 3 a d a b a

417 AD m M « FÈ 5#

414-421 AD II II II II

424-432? AD II II II II

518 AD II II II

587-591 AD II II $ % II

649 AD II II II II

683 AD II « II II

690-692 AD II II II 724 AD ¥ 771 AD II II II /f

771 AD M II II II II 780-804? AD W m « PÈ 788-810 AD m ¥ & ■k ? II II _ y o ' ¥ « \

122

The Chinese transcribers began assigning Chinese

characters with stop initial for even some of the Sanskrit

characters with nasal initial around the same period, while formerly they assigned to them Chinese characters with nasal initial. /

123

Table 10

Chinese Transcription of Sanskrit Nasal

Yu^n-mfng-z\-liSn Yx-wén-bi^o Gên-ben-zi Yi-wën-bi&o \ ^ t . Char- Dat%^^^ters n u Sanskrit of G h i n > ^ ma ma Transcript^

286 AD 417 AD

291 AD II 414-21 AD II

404 AD 424-432? AD II

402-425 AD II 518 AD

418-420 AD 4 - 587-591 AD 660-663 AD 649 AD II

685 AD 683 AD II 695-699 AD /# 690-692 AD 771 AD 724 AD

771 AD II 771 AD II

798 AD II 771 AD II 780-804? AD M

788-810 AD II 788-810 AD II

? 124

In the case of other Sanskrit characters with nasal initial, there is no such neat change of transcription, but around the same period and later only those Chinese characters with nasal initial were used in order to transcribe San­ skrit characters with nasal initial. This does not neces­ sarily argue against the sound change of Chinese in ques­ tion; namely from the above materials the following change of nasal initials of Chinese (not Sanskrit) can be in- 55 ferred:

m m if followed by a nasal ending

-t. mb b otherwise

n - n if followed by a nasal ending -» nd -* d otherwise —f P P if followed by a nasal ending - pd3 - d3 otherwise

9 9 if followed by a nasal ending

- 5i 8 otherwise Around the same time, the Chinese language lost phonological distinction voiced versus voiceless in con- 56 sonants :

f p' if : even-tone b p otherwise if: even-tone d r ' 1 1 otherwise ■ ts' if : even-tone dz . ts otherwise 125 57 if ; even-tone d , . r ^ ' '■ tg otherwise

k' if: even-tone fk otherwise As a result, the Chinese characters used formerly for Sanskrit nasals now assumed the value of homorganic voiced stops or affricates in Chinese. This fact gives the answer to the "seemingly odd" transcription of choosing

Sanskrit nasal symbol for Chinese voiced affricate. (San­ skrit "jia," hf'ags-pa -\ÿj for Chinese ((dz))). Also the loss of the contrast voiced versus voiceless explains the fact that Sanskrit "d3a," hf'ags-pa , is used for transcribing Chinese ((ts*))> because the initial consonant of those Chinese characters for transcribing

Sanskrit voiced stops or affricates have changed by this time into either aspirated (if the tone of the character 58 was even-tone ) or unaspirated (other tones) voiceless.

Although these three Sanskrit characters represent palatals in Sanskrit, Tibetan scholars transcribed these sounds with Tibetan characters for dental sibilants (even though Tibetan has a set of characters for palatal conso­ nants) when they translated Buddhist classics. Chinese transcriptions sometimes also adopt the characters with dental (chï-téu-yîn) as well as those with pala- 59 tal initial (zh^ng-chï-yïn). According to C. Lud's study, this is mainly due to the dialect of Sanskrit used 126

in these classics, as well as to the phonological change

not reflected in the . Therefore this apparent

discrepancy (namely the fact that the Sanskrit prototypes

are signs for palatals in Sanskrit, whereas the hf'ags-pa

characters derived from them are for dental sibilants in

Chinese) does not weaken the present assumption. Probably

the inventor of these three hP'ags-pa characters was a

Tibetan with a knowledge of Sanskrit, or at least had

learned Sanskrit through Tibetan scholars.

The above explanation is possible only with the assumption that the inventor of hP'ags-pa characters for

the Chinese zhud-yin series of initial consonants, or at

least the transcriber of the pronunciation of Chinese characters by hP'ags-pa script, was armed with full know­

ledge of Chinese phonetics of the time. If this assumption

is accepted, then our inquiry into the puzzle of the hP'ags-pa transcription supports the explanation by Hatto­ ri, mentioned at the beginning of this section. Namely,

in the case of other initials, as pointed out by him,

Lewicki and R, LÏ, since it was common practice to iden­

tify Mongolian voiced consonants with Chinese voiceless nonaspirates and Mongolian voiceless consonants with

Chinese voiceless aspirates, the transcriber assigned those hP'ags-pa characters for Mongolian voiced consonants to Chinese voiceless nonaspirates and those for Mongolian voiceless consonants to Chinese voiceless aspirates; but 127 in the case of dental affricates, for which the Tibetan prototype of the hf'ags-pa script lacks genuine symbols, and which were not genuine Mongolian sounds, the tran­ scribers created hf'ags-pa characters from Sanskrit proto­ types and made a reasonable transcription: for Chinese voiceless nonaspirates they used the Sanskrit character for a voiceless unaspirated palatal affricate, for Chinese voiceless aspirates they picked a Sanskrit character for

Sanskrit voiced nonaspirate (which was in the Chinese tradition of transcription, connected with the Chinese voiceless aspirates or nonaspirates in accordance with the tone of the syllable), and finally for Chinese voiced affricate they used Sanskrit characters for Sanskrit nasal (which was in the Chinese tradition of transcription connected with Chinese voiced initial). In other words, the transcribers were free from the usual practice of identifying Mongolian and Chinese sounds in the case of dental affricates, which the Mongolian lacked in their language and for which Tibetan lacked genuine characters.

Also judging from the way of coinage of hP'ags-pa characters from Sanskrit prototypes it is obvious that on the one hand there was already a set of sound changes in the phonological system of northern Chinese and the funda­ mental contrast among stops or affricates had become aspi­ rated versus unaspirated instead of the former voiced versus voiceless, but on the other hand, the older contrast 128 voiced versus voiceless was still preserved in some varia­

tion, for example in the formal speech which had originated

from the southern dialects of Chinese of the period.

It should also be noticed that in the treatment of

these Chinese dental affricates under consideration the

transcribers restricted their consideration only to the

Chinese usage of Sanskrit characters. It is not impossible

to conclude from this fact that the transcribers were very

possibly Chinese, or at least, Mongolians with a full knowledge of Chinese phonology. This inference is reason­

able in that we can find quite detailed transcription in

MGZY, such as the distinction of the so-called chdng-niu

syllables in the transcription in some cases (not all!);

this cannot be expected of the work of non-native linguists 60 or foreigners without a thorough knowledge of Chinese.

3.2.2.2 Voiceless aspirated labial stop

The hf'ags-pa characters for Chinese voiceless un­

aspirated and voiceless aspirated labials are hardly dis­

tinct except in the table of initials attached at the

beginning of the MGZY, where the hf'ags-pa character for

the Chinese voiceless unaspirated labial (Dragunov's "b")

is slightly modified in order to represent the Chinese

voiceless aspirated labial. It is apparent that the modi­

fied character is not made directly from the Tibetan char­

acter for its voiceless aspirated labial. Consequent­ 129

ly, it must be a coinage of the transcriber of MGZY, and as a matter of fact, this distinction of the form of hf'ags-pa characters for the two sounds under consideration is not kept anywhere else; even in the text of MGZY they are sometimes hardly distinguishable. This special usage of the hf'ags-pa characters is of course due to the lack of the distinction of voiced versus voiceless in Mongolian labial stop. In this study, the distinction of these

Chinese sound is kept in accordance with the coinage of the transcriber of MGZY but mainly on the basis of the

Chinese distinction of aspirated versus unaspirated,

3,2,2,3 Labiodentals

In the table of initials of MGZY, the hf'ags-pa transcription distinguishes Fii-mu (from Ancient Chinese

*p) and Feng-mu (from Ancient Chinese *b) from Fû-miu (from

Ancient Chinese *p') using a combination of the Tibetan plus for the former two, and a combination of a variation of the Tibetan voiceless glottal fricative plus for the latter, Denlinger transliterated the latter by (a combination of) the IfA 61 (and a glide -u-), Hattori, how­ ever, tried to be consistent, transcribing the former by a combination of the IfA symbol for voiced glottal fricative and a glide -ü-, the latter by a combination of the IfA symbol for voiceless glottal fricative plus a glide -u-, because the hf'ags-pa character for the former is also 130 used, without "w," in order to transcribe some of the descendants of the Ancient Chinese voiced guttural frica- 62 tive. However, this is decided not through the sound value of the Tibetan prototype, but with the considera­ tion of Chinese phonology. In the text, different from the table of initials, the distinction is kept between

Fii-mu and Fü-mu on the one hand and Feng-mu on the other.

Now, if Hattori's interpretation of the sound value of the hP'ags-pa character for both Fii-mu and Fü-mu and that for F^ng-mu is based not on the Tibetan prototype but on the consideration of the heritage of the variant of Chinese under consideration from Ancient Chinese, then the interpretation of the sound value of these two charac­ ters should be the opposite, namely the hf'ags-pa charac­ ter for Fii-mu and Fû-mu should be voiceless and that for

Fing-mu should be voiced. Therefore it is apparent that

Hattori's decision is not based on consideration of the heritage of the variant of Chinese from Ancient Chinese, but on the principle of consistency in the usage of the same character for other initials. However, in actual practice, the character for Fei-mu and F^ng-mu in the table of initials is used for the transcription of what we assume as voiced and the character for Fü-mu in the table is used for what we assume as voiceless initial, al­ though sometimes these characters are misused. In other words, in the text of MGZY, Hattori's interpretation match­ es quite well the Chinese distinction between these two 131 initials. Consequently, the error must be due to the author of the table of the initials of MGZY. In the BJX transcription, these two are often confused, so after all the distinction must be based on the material of the Chi­ nese side.

As already mentioned, these characters for labio­ dentals are coined from the combination of two characters, one for the velar fricative and the other for "w»“ This coinage is quite reasonable, even from the viewpoint of modern acoustic phonetics. Usually, labiodental frica­

tives are characterized as diffuse, grave besides other

features, and velar fricatives as nondiffuse, grave and

other features. The aim of the combination of characters under consideration is to change the feature nondiffuse-

ness of the velar into diffuseness of the labiodental by

adding another character for "w" which is of course

[+diff]:

-diff y— ■+diff +grav +grav < d r ^ [+diff] added to ' +cont +cont "x" -voie II f II ,-voic.

-diff +diff +grav +grav .

Now what will happen if these initial consonants are

followed by a diffuse vowel or glide? Curiously enough,

the transcriber of the MGZY does not always distinguish 132 labiodental fricatives from velar fricatives in these en­ vironments;

^ I j ((fug)) is transcribed as "hVug," whereas

((xug)) is as "hug" ; but both ((fun)) and

(()) are transcribed as "hun."

There are two approaches to this problem. One is to regard the confusion as just accidental mistakes, because quite a few mistakes can be found in the usage of these two characters in other places:

1) Before "ug," "u," "aw" and "am," the labiodentals and velars are transcribed as distinct;

2) Before "i" and "un," both of them are transcribed by the hf'ags-pa character usually assigned to velars

(namely, without "w");

3) Before "ag," the hf'ags-pa character for voiced labiodental fricative (actually this should be voiceless) is with "w," but the character for the voiceless (actually this should be voiced) one is without "w," which clearly indicates a mis-writing.

However, in section 10 of MGZY two Chinese charac­ ters, one with an initial from Ancient Chinese *b, and another with an initial from Ancient Chinese are put together within one homophonie group with the hf'ags-pa transcription "hwaw." This reminds us of the neutraliza­ tion of the contrast of labiodental and velar fricatives 133 in various modem dialects such as northwestern Mandarin 63 (the Fën-y^ng dialect for example), Hakka, Cantonese,

etc. In the Fén-y^ng dialect of the Shanxi province, for

example, the neutralization takes place in such a way that

the following six syllables appear with the same pronun­ ciation [fu*.]:

((*bïu)), ((*xüan)). ((*Y%an))

Since this neutralization of labiodental and velar frica­

tives can be found not only in the south but also in the north, it is natural that one expects to be treating the same thing in the case of the confusion of the hf'ags-pa transcription under consideration.

The first interpretation is preferred with the fol­

lowing justification:

1) The confusion of hP'ags-pa transcription can be found before not only "u" but also "i"; consequently we should expect something other than the neutralization of

labiodental and velar fricatives found in modem dialects

(where the neutralization takes place only before a flat diffuse vowel or glide);

2) Although the Ancient origins of the vowels of "ug" and "un" are not the same and in some cases distinct in

Ancient Chinese, there is no evidence showing that this was also true in Middle Chinese. Consequently, if the confusion of transcription under consideration were due to 134 the neutralization of two different initials in certain environments, it should occur before "ug" too. However, this is not the actual situation,

3) The Chinese character in section 10 of MGZY, which was identified above as with an initial from the Ancient velar fricative, must have undergone some exceptional change from Ancient Chinese to Middle Chinese; otherwise, we cannot explain the exceptional fact that Chinese charac­ ters with two different initials, one voiced (from Ancient

Chinese *b) the other voiceless (from Ancient Chinese *x), are put together within the same homophonie group in MGZY,

The interpretation of Fei-mu and Fu-mu as having coalesced in the variant of Chinese reflected in hP*ags-pa transcriptions is firmly proved from, for example, the fact that Chinese characters with Fei-mu and Fu-m# occur quite at random within the same group of homophonie characters (for instance the homophonie group for "fan"),

On the other hand, although there are quite a few mis­ transcriptions (hP'ags-pa character hw- for old Chinese

((v)), and hw- for ((f))) with respect to the distinction of voiceless versus voiced labiodental fricatives, this cannot be evidence of coalescence of these two initial consonants; because, although these mis-transcriptions are not rare, the arrangement and order of the homophonie groups of Chinese characters are never at random. 135 3,2,2,4 Palatal nasal

As in the case of the 36 zl-mu of d&ng-yùn-xué phonology, the two characters for the dental and the pala­

tal nasals do not usually represent phonological contrast.

However, in some restricted instances, these two are 64 phonologically distinct. The fact that these are not mere transcriptions of Nf-mu (from Ancient Chinese *n) and

Ni^ng-mu (from Ancient Chinese *n but phonetically probably

[n,]) of the 36 zx-mu, can be judged from their actual

usage. The character for the dental nasal is used in sec­

tions 7, 9 and 10 of MGZY before the finals "in," "Sn,"

and "waw" respectively. If the transcription merely repre­

sents Ni-mu and Ni^ng-mu of the 36 zx-mu and is not the

transcription of the real pronunciation of the given

Chinese characters of the time, one would expect to see

the hP'ags-pa character for the palatal nasal used in front

of the above mentioned finals. Consequently, these tran­

scriptions probably reflect faithfully the phonetic pro­

perties of these two nasals under consideration. Inci­

dentally, the "point of articulation" of the palatal nasal

in the hP'ags-pa transcription could be far back in the

vocal tract, because by the time the transcription was

made the Ancient Chinese palatal nasal (which was dis­

tinct from the dental nasal) had already been denasalized

and had disappeared from the nasal series of initial conso­

nants . 136

3.2.2.5 Dental fricatives

As in the case of labiodental fricatives, the Ti­ betan prototypes are in harmonic relationship with the

Chinese consonants with respect to voicing. If the J^'ags- pa character for Middle Chinese voiceless unaspirated dental affricate (from Ancient Chinese voiceless nonaspi­ rate) is considered as a modified variation of the hP'ags- pa character for Middle Chinese voiced ,

Dragunov’s transcription will be justified against C, Lu6's 65 remark mentioned above. However, this is not very likely, in spite of the fact that the Sanskrit prototype does not resemble the hP'ags-pa character for Middle Chinese voice­ less unaspirated dental affricate very much. The calli­ graphic variant of the two hP'ags-pa characters, one for the voiceless dental affricate and the other for the voiced one, suggests that they are of different origin,

3.2.2.6 Palatal fricative

In the case of dental fricatives, there are two different hP'ags-pa characters for the voiced and the voiceless sounds, and the sound value of the Tibetan proto­ types agrees with the possible sound value of the initial consonants of Chinese transcribed by these characters.

However, this is not so in the case of palatal fricatives.

Although the Tibetan alphabet has two distinct symboIs for the voiceless and the voiced palatal fricatives, the tran­ scriber did not make use of them for the distinction be­ 137

tween the voiceless and voiced palatal fricatives in old

Chinese where three characters were chosen from Sanskrit prototypes (unlike the case of dental affricates), but used the character in Mongolian and modified it for re­ presenting the Chinese . Does this adherence to the Mongolian usage of the hP'ags-pa script under consideration mean that the Chinese distinc­

tion voiceless versus voiced kept by the hP*ags-pa tran­ scription is artificial? It seems unlikely. The reason

that the transcriber did not give any original solution for the distinction of these two sounds but just modified the symbol of one for the other, should be looked for in

the fact of practical necessity. Since there was no voiced palatal fricative in old Mongolian, and conse­ quently no hP'ags-pa character for the sound in Mongolian, the transcriber probably looked for a prototype in the

Tibetan alphabet for transcribing the Chinese sound in question. However, the Tibetan character for the Tibetan voiced palatal fricative has already been used to transcribe the descendant of Ancient Chinese palatal nasal in Middle

Chinese (in the northern colloquial speech very possibly a voiced palatal fricative but in the formal speech a nasalized fricative [r^]), so that the character was not available as a prototype for the hP'ags-pa character for the above purpose. Consequently, when the transcriber tried to keep the distinction between voiceless and voiced 138 palatal fricatives, he had to invent a hP'ags-pa character for the voiced one by modifying the character for the voiceless one, Denlinger tried to interpret the distinc­ tion by transcribing 3 as a voiced retroflex fricative ^ 66 and as a voiced palatal fricative or affricate.

However, in Middle Chinese the two palatals, sharp palatal

("palatalized" palatal) and nonsharp palatal ("nonpala­ talized" palatal) were probably not contrastive, but occurred in complementary distribution.

Incidentally, if there is anything doubtful about the nature of the variant of Chinese transcribed in hP'ags- pa script as a natural language, then it might be the above point; namely, the distinction of the descendant of An­ cient Chinese palatal nasal (Ri-mu) on the one hand and that of the Ancient Chinese voiced palatal as well as retroflex fricatives (Chân-mu and sl-mu) on the other.

The distinct transcription of these two descendants gives an impression of "artificial distinction,"

3,2,2,7 Glottal stop

Two hP'ags-pa characters listed in the table of the initials at the beginning of MGZY occur in complementary distribution; the hP'ags-pa character originating proba­ bly from the Tibetan character "j" occurs only before the old Chinese medial glide -ï-, and elsewhere the hf'ags-pa character originating from the Tibetan character for the voiced "h" occurs. The former resembles so much one 139 variant of hP'ags-pa character for the descendant of the

Ancient Chinese Yu-mu (reconstructed as zero initial in

Ancient Chinese), that in the text of MGZY and in some other texts of hP'ags-pa transcription, they are hardly distinguishable. However, since it is apparent that the transcriber of MGZY tries to differentiate them, and since on the Chinese side, the distinction between the initials from Ancient Chinese -mu (reconstructed as glottal stop in Ancient Chinese) and those from Yu-mu is so clear that there must have existed a phonological distinction in some form between them even at the time of these transcrip­ tions, The most likely phonetic correlate of this dis­ tinction is of course a glottal stop for the descendant of

Yxng-mu, and zero for that of Yh-mu, as in the case of

Ancient Chinese, Consequently, apart from the sound value of the Tibetan prototype, the first is interpreted as ?j- and the second j-,

3,2,2,8 Guttural fricatives

The voiceless velar (or guttural) fricative is tran­

scribed by a character based on the Tibetan character for

the Tibetan voiceless guttural fricative. The voiced

counterpart, however, is transcribed by two variants, one

of which is a slight modification of the hP'ags-pa charac­

ter for the Chinese voiceless guttural fricative. This

variant is used only before the old Chinese medial glide 140

-1 -. The other variant occurs everywhere except before the medial glide -x-,

Concerning the construction of this hP'ags-pa charac­ ter for the Chinese voiced guttural fricative, Poppe inter­ preted it as a combination of the hP'ags-pa character for 67 the Mongolian "q" and another character for "w”. The

Mongolian sound value he assumes for this character is voiced velar fricative. If this is the case, then the origin of this character is beyond understanding, because the combination of "k"' (Tibetan prototype) or "q" (Mongo­ lian sound value) and "w" could not be related directly to the voiced fricative variant of either "k"' or "q," In

Mongolian, the combination of these two characters may designate a voiced velar fricative, and this is probably true with the hP'ags-pa transcription of Chinese, However the origin of the character must be understood differently; it is not a combination of the two signs at all. When hP'ags-pa invented the script named after him, he chose a

Sanskrit character for the Sanskrit voiced aspirated "g"' for the Mongolian voiced velar fricative, the sound for which he found no equivalent in either Tibetan or Sanskrit, He had thus chosen the next-to-the-closest sound.

The invention of the hP'ags-pa character for the Mon­ golian "q" is based more or less on the same principle.

The prototype is apparently the Tibetan character for the 141

Tibetan "k'*'; modification was made so that the two h P ’ags- pa characters for Mongolian "k"' and "q" may not be con­ fused.

With this understanding of the origin of these hP'ags- pa characters, the hP'ags-pa character for the Chinese voiced guttural fricative will be transcribed as "gin

Type I Transcription, and as "y" in both Type II and III

Transcriptions.

3,2.2,9 Zero initial

Two hP'ags-pa characters are used in order to tran­ scribe the Middle Chinese descendant of the Ancient Chinese

Yu-mu (reconstructed as zero initial in Ancient Chinese).

One, which always occurs before a medial glide -i-, as mentioned above, is hardly distinguishable from one of the hP'ags-pa characters for the descendants of the Ancient

Chinese Ying-mu, As a matter of fact, this sign just stands for the glide -ï-. Consequently if -x- is interpreted as a medial, the sign represents only the medial and there is no sign for the initial (just blank). If the glide is interpreted as an initial, we are in agreement with the d&ng-y6n-xuë phenologists.

The other sign for the descendant of the Ancient

Chinese Yu-mu (zero or -i- glide initial in Ancient Chinese) can be interpreted simply as a character showing the ab­ sence of initial consonant. The role of the Tibetan proto­ type of this hP'ags-pa character is also the same, though 142 vowels are denoted in a different way in the hP'ags-pa writing system,

3,2,2.10 Epilogue

The above discussion is based implicitly on the

assumption that when hP'ags-pa coined some characters with

no equivalents in the Tibetan alphabet, he made use of the

Dêvanâgarx,

The origin of the Tibetan script is an unsolved pro- 68 blem, Kuo H^n traced the development of the Indian writ- 69 ing system as follows:

1) The oldest: Brâhmî (and KharSSthî) during the

peiord of the Buddhist king Aloka around the 3rd century

B,C,%

2) Siddham from the 4th through the 6th centuries,

which was brought to China and later Japan;

3) Lanca: around the 11th century the old Siddham

began its transformation and around the 12th century, Lanca

became popular in ; and many Buddhist classics were

translated from Sanskrit into Tibetan;

4) Dêvanâgarx is the later variation of Lanca,

Now, since the Tibetan alphabet was made by the famous

scholar Thon-mi sam-bho-ta around the 7th century, K, Hân

concludes that the origin of the Tibetan script could not

be Lanca as often assumed, but Siddham, which was most

popular around the 7th century in India,

Actually most of the characters of the Tibetan script 143 . 70 remind us of Siddham rather than Dëvanâgarï, However,

the hP'ags-pa characters which lack Tibetan prototypes and which are therefore identified here as directly from San­

skrit characters, resemble so much the identified Divana- garï that the relationship cannot be accidental. Thus here the relationship of these writing systems is assumed as follows;

(Brâhmî -*) Siddham -» Tibetan (dbu-c'an) -* hP'ags-pa for \ Mongolian L a n c a _

Dëvanâgarï

hP'ags-pa for Chinese instead of linear relationship such as: Brâhmî -* Siddham -*

Tibetan -* hP'ags-pa for Mongolian -* hP'ags-pa for Chinese,

Therefore, if it is proved that by the time of the M'ags- pa transcription of Chinese sounds (14th century) both hP'ags-pa and the transcriber of Chinese sounds did not know Dëvanâgarï, this assumption will collapse, though this is not very likely, because it does not contradict

K, Hân's study. However, to account for the appearance of these three hP'ags-pa characters (derived from Dëvanâ­ garï) a knowledge of Dëvanâgarï on the part of the inventor 71 of these characters must be assumed,

3,2,3 Finals

In the case of finals, we are involved in the problem of how to interpret the sound value of a combination of 144 vowel signs and nasal signs as a whole, rather than that of how to interpret the sound value of inidividual signs for vowels and nasal consonants. As for the sound value of individual hP'ags-pa characters used as signs for tran- 72 scribing Chinese vowels, the samll table of Poppe will give all the necessary information. A more controversial and important problem is to see what is actually meant by the combination of these signs as a whole. We shall first list all the finals found in MGZY and BJX and discuss the problem final by final according to their order of appear­ ance in MGZY, without restricting the discussion to the hP'ags-pa transcription found in MGZY because as mentioned before, important discrepancies in the use of certain hP*ags-pa characters are found in MGZY on the one hand and in BJX and many other official proclamations on the other.

Throughout the discussion, unless stated especially, the hP'ags-pa transcription of BJX refers to the critical edition of the three versions already mentioned. 145 Table II

hP'ags-pa Transcription of Middle Chinese Finals

hP •ags-pa Type I Type II Type III

No. Transcription Tran­ Tran­ Tran­ Notes

MGZY Others scription scription scription

I The Dong ) Rime

1 UI) ug uag

2 eug üag

II The Geng ) Rime

hig hig

eug liag

eig eig

vmg wug =s No

eig

III The Y6ng ( ^ ) Rime

9 (a)g ag ag

10 eg, j(a)g jag lag (j^ag lag

11 w(a)g wag uag 146

S/ II 12 h(a)g hag îag -* uag

13 II 09 üag = N o .11

y. 14 II weg weg ua^

IV The Zhî ( 3 ^ ) Rime

15 W II 1 1 i

16 5 3 II hi hi à

II 17 ei ei ( j ) i \y w 18 Q S j ul ul uaï W xV 19 jul, eul uï uaï §

20 II wi wi Saï = No, 19

V The Yu (>.^») Rime

21 - o i II u u u

22 II eu u u

VI The Jiâ Rime

23 II l A I (a)j aj aï

24 II w(a)j waj uaxV V

25 j(a )j jaj ( j) a ï % 147

26 II hij hij 31

27 II 3 ij ij

VII The Zhên ( ) Rime

28 in in

un un

30 eun un uan

31

ein ein

33 win win = No.30

VIII The M n ( ^ ) Rime

(a)n34 an an

35 on on on

w(a)n uan

j(a)n, en (j)anjan

IX The Xian ( ^ ) Rime

V/ 38 <7^ I(a)n En ]_an

V 39 § II en en xen 148

40 wen wen uen

V 41 eon on ion

42 el(a)n jEn (j)ïan

X The Xiao ) Rime

43 (a)w aw au

I(a)w44 Sw

45 ew ew

46 w(a)w waw

ew, j(a)w47 jaw

48 wew wew ueu

49 b(a)2o

XI The Y6u Rime

50 iw iw

51 uw uw au = No.52

hiw hiw

53 eiw eiw

54 ow ow = No.52 149

XII The Tin ( % ) Rime

55 II (a)m am am

V 56 S I(a)m Em lam

II V/ 57 em em lem

58 II j(a)m jam (j)am

\J 59 g el(a)m jEm (j)iam

XIII The Qîn (/(g) Rime

V 60 II im im x9m

61 II Ë him him a m

62 II aim aim (j)iam

XIV The Gê ( ^ ) Rime

63 II o o o

64 II wo wo uo

XV The MÜ Rime

65 II a a xa

66 II wa wa ua

67 c ja ja (j)a 150

68 we we ue

69 wl(a) ua

(70) 1(a)

(71)

3.2.3.1 The Dong rime

There are two distinct finals under the Dong rime.

The way of representing the nongrave variants ((u)) and

((o)) of the grave vowels ((u)) and ((o)) respectively in 73 Mongolian (as well as in Turkish) was made clear by Poppe.

The hP'ags-pa character ~ is used here for rendering a nongrave variant of the grave vowel ((u)) and the sign itself does not stand for any independent vowel by itself.

It seems that the distinction between the finals of the

Tong rime group (from Ancient Chinese *ug, *og) on the one hand and the hé-kou variants of the finals of the Geng and the ZBng rime groups on the other have already been 74 lost by this time.

3.2.3.2 The Geng rime

The same transcription is used for Final No. 5 as well as for Final No. 2 of the Dong rime. There is no reason to establish a distinction between these two.

Final No. 7 should be identified as Final No. 1. Conse- 151

quently, this homophonie group should be put together with

the corresponding homophonie group of the Dong rime.

Final No. 8 is transcribed in MGZY in the same way as

Final No. 6; however, in BJX some of the characters are

similarly transcribed, but some are distinct. Synchroni-

cally, this is primarily the problem of how to interpret

the two vowel characters i ~ and ; but diachronically only the final of the characters of Final No. 6 (whose

transcription is the same as that of Final No. 8 in MGZY)

is from the Ancient Chinese hé-kou final. Consequently, presumably before the character under consideration lost the rounded (flat) medial, there might have been complemen­ tary distribution between the homophonie groups of Final

No. 6 and of Final No. 8;

Final No. 6 -ji3g (no homophonie group with initial

"h" )

Final No. 8 -jïag (homophonie group with initial "h"

only)

Later the character under consideration lost the rounded

(flat) medial:

hwii) - hig and the initial was palatalized:

hig - hjig This filled up the blank of the homophonie groups of Final

No. 6, Consequently, Finals No. 6 and 8 no longer occur in complementary distribution and these two homophonie 152 groups (both with a voiced velar fricative initial) coalesced. This is why not only in MGZY, but also in BJX, the hP'ags-pa transcription for these two are hardly dis­ tinguishable, Since the great majority of Final No, 8 is from Ancient Chinese Division II Finals, it is expected here, as in the case of Finals No, 10, 25, 47, 58, 67, etc,, that we would find the sign instead of C— , in

BJX and some other materials other than MGZY, However, as a matter of fact both of these signs are found in Final

No, 8 as well as Finals No, 19, 37, This may be taken as an evidence of the coalescence of ^5=^ and i in these finals, In conclusion, three finals are recognized (No, 3, 4 and 6) in this rime. The role of the sign CHIT in Final

No, 6 "is probably to show that the preceding initial con­ sonant is palatalized within this rime, and the sign it­ self does not designate any independent vowel segment.

As for the distinction between Final No, 3 and Final

No, 6, there could be another interpretation; namely judging from the use of the hP'ags-pa character for ((e)) before other vowel characters, one would assume a narrower high for the main vowel of Final No, 6 and a wider one for that of Final No, 3, However, to our knowledge of the distinctive features of natural languages, if these two finals were phonologically distinct, it could not be the distinction of "the height of the ," though, 153 alternatively, it could be tense versus lax or sharp versus nonsharp. Thus, the "role" of C ] before "i" is probably to denote the sharp feature of the initial consonant.

In connection with the transcription of Final No, 4

(as well as Finals No, 16, 26, 31, 52, 61), there has been no reasonable phonetic explanation of why the signs for

((h)) and ((i)) are used for transcribing shwa or "barred i." With our knowledge of modern acoustic phonetics and distinctive feature analysis, we are rather surprised at

the reasonable transcription of the vowel of the finals under consideration by the transcriber of MGZY, etd. In

the transcription, the symbol for ((h)) is adopted as a kind of sign for a feature of the vowel under considera­

tion, or at least a glide which is expected to modify

automatically the timbre of the following vowel; and

adding this sign to the sign for the vowel ((i)), the

transcriber intended to give as a whole a vowel with the

feature grave and nonflat. The process is as follows:

"h" r+grav-i added to "i" r-gravi -* r+grav-i L-flat-* '--flat-^ ‘--flat-’

The sound obtained is nothing but a shwa or a "barred i,"

The given combination of signs thus serve as the symbol

for these central vowels.

Incidentally, one may propose an alternative inter­

pretation of Final No, 6 in connection with the reconstruc­

tion of palatal nasal and stop endings in Ancient Chinese 154

to be presented later; namely, as Type I Transcription of

Final No. 6 literally shows, the final consists of two vowels, ((e)) and ((i)), the latter being a trace of the

Ancient palatal ending (as in the case of Sino-Korean).

This assumption is very likely because many of the sylla­ bles listed under Finals No. 6 and 8, are from Ancient

Chinese Division II Finals (though the rest are from An­ cient Chinese Division IV Finals), and so a main vowel of the final much lower than the one given earlier is expect- 75 ed. This proposal is not followed because;

1) It is against the general principle of hP'ags-pa transcription (as well as the tendency of Mongolian) that more than one sign for a vowel is given within a syllable

(or final);

2) Consequently, if the sign for "e" of the final under consideration should be interpreted as a vowel, the sign for "i" should probably be u J ;

3) As can be seen in the Tibetan transcription, the said Ancient Chinese Division II Finals are supposed to have developed a fairly narrow main vowel because of the 76 palatal ending. The finals under consideration are all with guttural initials, which are most easily exposed to palatalization in the history of the Chinese language from Ancient Chinese through Mandarin,

4) Judging from the correspondents of Ancient

Chinese palatal endings in the Tibetan transcription, the 155 endings were lost very soon after Ancient Chinese; and such a significant trace as mentioned above is not to be ex­ pected in the variant of Chinese of the 14th century.

3,2,3.3 The Y^ng rime

There is one difference between the hf'ags-pa tran­ scription in MGZY and in other documents (BJX, official proclamations, etc.) with respect to Final No, 10. In cases where there is contrast between those finals from Ancient

Chinese Division II, III and IV within one rime group,

is used to represent the medial of those finals from An­ cient Chinese Division II Finals, \ I for the medial of those from Ancient Chinese Division III Finals, and final­

ly I for the medial of those from Ancient Chinese Divi­ sion IV Finals. Such is thecase of finals of the Xian rime, the Xiao rime, the T^n rime, etc. In the case of

Final No. 10, there are no distinctive finals correspond­ ing to different Divisions of Ancient Chinese. Moreover, the Ancient origin of these finals transcribed as of Final

No. 10 is either from Ancient Chinese Division II or III.

Consequently, in the case of the Yâng rime, the Ancient distinction of Division II and III must have been lost completely. As for the transcription of hP'ags-pa charac­ ters of Final No, 10, we follow what is found in materials other then MGZY, because anyway there is no final from

Ancient Chinese Division IV Finals and so the transcrip­ tion of MGZY should be corrected. 156

As in the case of Final No. 4 of the Ging rime,

special use of hP'ags-pa character for ((h)) is found in

the hP'ags-pa transcription of Final No, 12, Here the character is used to show a certain phonetic property of

the medial of the final which is a descendant of Ancient

Chinese unrounded Y^ng rime preceded by retroflex initials,

C, Lu6 interprets this as representing an open variation of

the medial -Y- (which he gives by -e-). His interpreta­

tion is based very probably on the fact that the given

final occurs in complementary distribution with the great majority of the descendants of Ancient Chinese Y^ng final not only in Ancient Chinese but also in the system of MGZY.

However, this is rather an intermediate stage of the follow­

ing change (from Ancient Chinese unrounded Y^ng final to

the Mandarin ((uang)) final):

Anc. Chin, hP'ags-pa XREMZ Mandarin

^ ^ -tag if: retroflex -► "oanaf* ((uag)) -* -uag

^ -rag otherwise -* "iaraf ((lag)) -* -lag

In terms of distinctive features, this process can be

interpreted as —

V V s/ —X— —i— —U—

r-gravi r+grav-i F-diff] r+grav-i -flat^ -* L-flat^ if: -grav -* ‘-+flat-‘ \ L + f l a t J r-grav-j otherwise — r-grav-i -flat-' I—flat-J

Since the final under consideration was clearly distinguish­ ed phonetically from ((lag)), the author of MGZY set up one 157 separate homophonie group of characters for the ((tag)) final, and arranged it to follow ((uag)), not immediately

following ((lag)), in the text. This order of arrange­ ment of finals may not be accidental; it indirectly re­

flects some mutual phonetic relationship of the finals.

The use of the hP'ags-pa character for ((h)) for giving

the grave variant of a sound is the same as in the case of

Final No. 4, and this is a highly reasonable treatment,

even from the viewpoint of modern acoustic phonetics.

Final No, 13 occurs only in one homophonie group and

shows complementary distribution with Final No, 11 with

respect to initial consonants.

In Final No. 14 is found only one instance of remi­

niscence of the rounded Yâng final of Ancient Chinese,

It should also be noticed that in the case of guttural

fricatives, contrastive pairs with palatalized versus non­

palatalized distinction are found systematically,

3,2.3.4 The Zhi rime

As in the case of Final No. 4, the hP'ags-pa charac­

ter for ((h)) in the transcription of Final No, 16 is

meant to represent a grave variant of the vowel represented

by the sign following "h," As in the case of Mandarin

"barred i," the final probably consists of an unrounded

high central (grave diffuse nonflat) vowel. In Sino-

Korean, the vowel corresponding to this unrounded high 158 central vowel is transcribed by a vowel sign N , which is distinct from both — | (” i") and j ("i"):

■ ^ a x \ ,

' i Z > > t X I

± z - - ' # / | Arisaka assumes a kind of high central vowel close to the 78 Mandarin high central vowel for this Sino-Korean vowel.

It is common practice in the hP'ags-pa script of MGZY that I and > which are distinguished in documents other than MGZY, are unified into one, ; consequently it is not superficially distinct from the hP*ags-pa charac­ ter for the medial -u-. For both Finals No. 18 and 19, the transcription in BJX gives the sign j instead of as the character for the final segment.

Now, Hattori transcribed the sign under considera- 79 tion as "g," However, judging from its usage in the transcription of Chinese sounds, this is not very credible:

1) The Tibetan prototype suggests that the sign 1 is a character for the syllabic "u";

2) Also, since there is a genuine sign for the glide

- U - , the sign ~ n D 1 should be a character for nothing but a syllabic "u." The hP'ags-pa transcription of Final

No. 69 shows a good contrast to that of Final No. 18. In the former we apparently find a sign for the glide -u-.

Judging from the fact that the final (No. 69) is listed as one of the finals of the M^ rime, we should expect a 159

vowel "a" understood after the sign for "I." In the case

of Final No. 18, however, since the sign for "u" is already

that of a vowel, no more implied vowel can be expected,

3) Then, judging from the strong tendency of avoiding

a succession of more than one sign for syllabic vowels

within a syllable, the sign T — i in Finals No. 18, 19, etc.

(where it follows the character for syllabic "u") is used

apparently as a character for a descending glide;

4) If the sign I were for a glide, it could not be used as the character for a syllabic vowel in Finals No. 38,

44, 56, etc.;

5) Since there is already a genuine character for the

front unrounded high (nongrave, nonflat, and diffuse) glide

ULj > the sign — | could not be for -r- ;

6) Although the identification is not very definite,

the Tibetan prototype suggests the sound value of the

sign ^— I as front unrounded either high or higher mid

(either diffuse, or at least noncompact; Cf. Tibetan tran­

scription of the corresponding finals).

What can be concluded from the above information is

that the sign must be a symbol for a front, unrounded glide closer than [e]. This primarily coincides with Poppe's 80 reconstruction. Also it does not contradict what can be inferred from the evidence of the sound changes of Chinese, and from evidence other than the hP'ags-pa transcription

(the finals of the Zhî rime are from Ancient Chinese 160 finals which are later combined into the Zhx rime group).

The sign in question is here transcribed as "I," This may represent what the transcriber heard. As a matter of fact, the exact sound transcribed by this character in Finals

No, 18 and 19 was presumably the combination of a front, unrounded, high glide and a parasitic neutral vowel between

this glide and the preceding vowel.

As in the case of Final No. 8, there is no contrastive

pair of finals with and respectively, regarding

Final No. 19. Since the Ancient origin of these finals are

Division lll/lV Finals, we interpret the final as ((usï)).

Final No. 20 occurs in complementary distribution with

Final No. 19.

3.2.3.5 The Yu rime

Finals of this rime are exactly parallel to those of

the Dong rime.

3.2.3.6 The Jia rime

In this rime, for the first time in MGZY the sign for

a variant of the descendants of the Ancient Chinese ini­

tial Yu is used to indicate a descending glide -i-.

Following the transcriptions found in documents other

than MGZY, and also considering the fact that all the

Chinese finals included under Final No. 25 are from Ancient

Chinese Division II Finals, we correct the transcription of

the medial of Final No. 25 found in MGZY. Undoubtedly the 161 hP'ags-pa character can be identified with the Tibetan character which is in Tibetan a variant of

(the former being used for a medial; the latter for either an initial or an ending); and so it is also certain that some kind of front, unrounded and high glide (non­ grave, nonflat and diffuse glide) can be assumed as the

Mongolian and Chinese sound designated by the hP'ags-pa character. The problem is to see if there is any phono­ logical contrast between the sound under consideration and the sound designated by 's I on the one hand, and between the former and the sound designated by t- on the other; the latter contrast is especially doubtful. In the hP'ags- pa transcriptions found in materials other than MGZY, the latter contrast is sometimes absent. As mentioned in section 3,2,3,2 both and I ^ are found as the tran­ scription of the Chinese characters of the same homophonie group in the case of certain homophonie groups; however, in the case of other homophonie groups, the usage of these two characters is strictly distinguished. Consequently, the distinction was probably lost in the case of certain groups of finals, but was kept in other groups: for exam­ ple, Final No, 25,

Concerning Final No, 26, see Final No, 4,

The interpretation (not transcription) is based main­ ly on information from the Chinese side. It is unlikely 162 that the phoneme ((a)) was expected between the signs for

"i" and for "j."

3,2,3.7 The Zhin rime Final 33 is preceded only by guttural initials; and the homophonie groups of this rime and those of Final No,

30 show complementary distribution with respect to initials.

The hP'ags-pa "spelling" reminds us of the corrrespondents 81 of this rime found nowadays in Sino-Vietnamese and some 82 Hakka dialects:

^ viem^

t van^

In these syllables, the original feature gravity or flat­ ness is realized in the segment preceding the medial (where we found gravity or flatness in Ancient Chinese), If this is the case, Finals No, 7, 14 and 20 should be treated as parallel cases,

3,2,3,8 The H^n rime One of the few traces of Ancient distinction of grave

*a versus nongrave *a is found in the distinction between

Finals No, 35 and 36, The symbol for the last segment of

Final No, 35 reminds us of the Tibetan prototype of the hP'ags-pa character for the bilabial nasal ((m)). In materials other than MGZY, both this symbol 'and the usual 163 symbol for the dental (or alveolar) nasal ((n)) occur at

random as the transcription of the last segment of the characters with Final No. 35, The sign in question could not be a calligraphic variant of the usual sign for a

dental nasal, because if the transcriber intended to tran­

scribe a variant of dental nasal he would have added at

least one vertical to the right side of the sign.

The conspicuous point about the use of the sign in

question is that it occurs only after the vowel "o" in

which position the bilabial and the dental nasals do not

contrast. Consequently, it is easily inferred that since

the preceding vowel was labialized back (flat and grave) and since, the following nasal could be labialized (flat)

by assimilation to the preceding vowel, the transcriber

preferred a sign for bilabial nasal to that for dental nasal, both of which were not contrastive anyway in the

environment under consideration. Alternatively, the

difference between the nasals indicated by the sign under

consideration and the usual sign for dental nasal, might

be something like a dental nasal for the latter and a

neutral nasal (or just the of the preceding vowel) for the former. In any way, unfortunately, there

is no positive evidence for assuming any definite sound

for the ending.

It is not important to discuss the phonetic details of the vowel of Final No. 35. Judging from the sound value 164 of the Tibetan prototype on the one hand and the romaniza- tion in XREKiZ and modem Chinese correspondents in north­ western Mandarin, Hakka, etc. on the other, the vowel might have been just [o] (nondiffuse, noncompact). Also, it is not surprising that L. Ligeti observed two variants of the hP'ags-pa character under consideration, only 83 for the medial "o," for other instances of "o."

As was pointed out by Poppe, it is just for the convenience of calligraphy (if the first variant does not have the vertical stroke mentioned above, it will give the impression of word-boundary when some other sound follows the sign for "o" as segment of the same or syllable). It

is common practice that all the single syllables are tran­

scribed with no gap between two signs for segments within one syllable.

As in the case of Finals. No. 8 and 19, the charac­

ters and r are not clearly distinguished with

respect to Final No. 37 even in materials other than MGZY.

It is expected that the sign for the medial of this final

is for the palatalization of either the preceding conso­

nant or the following vowel. However, since there are the

contrastive finals ^— | and , it is imperative to

interpret the sign under consideration as indicating the

palatalization of the preceding consonants. In addition,

the fact that all the finals included under Final No. 37 165 in MGZY are from Ancient Chinese Division II Finals strong­ ly confirms this assumption.

3.2,3,9 The Xian rime

According to Poppe, [ , represents the vowel ((e)), _ 84 whereas ^ represents ((ê)), .a vowel closer than ((e)).

If this is accepted without any implied nuclear vowel ((a)), the interpretation strongly contradicts what can be assumed as Chinese sounds from evidence of the Chinese side. For instance, under Final No. 6 8 (where we find the hP'ags-pa character for ((e))) are found the descendants of Ancient

Chinese *yat (entering-tone counterpart of hë-kou Xian (/flü ) rime) and *yet (entering-tone counterpart of hë-kou Xian

( 7 ^ ) rime), whereas under Final No. 69 (where we find the hP'ags-pa character for the closed ((e))) are found the descendants of Ancient Chinese * ^ t (entering-tone counter­ part of hé-kou Yu^n (-/O) rime) and *-ya (the hé-kou Divi­ sion III of the Ge ( ^ ^ ) rime). With the knowledge of the correspondents of these finals in modern dialects, a

"closer" vowel is expected in Final No. 6 8 than in Final 85 No. 69; opposite to what Poppe asserts. Even if the two hP'ags-pa characters under consideration are interpreted as signs for glides (with the understanding that the nucle­ ar vowel ((a)) is implied after these signs), there is still a mystery. Even if C-Zj is interpreted as "xa," T;— ( 86 as "”a" (as Denlinger did), still we cannot explain why in Mongolian the former combination represents a relatively 166 wider "e," the latter a relatively closer "e," because if

Denlinger's is understood as a glide and "Y" as a vowel, the opposite correspondents are expected, namely

"ra" for a closer "e," and "^a" for a wider "e," The only reasonable solution is to follow Dragunov or Hattori who transcribed the two signs under consideration as "ê" ( t ) 87 8 8 and "e" I) or "e" ( ) and —I) respective­ ly. However, this must be accepted with the understanding that with the latter sign for a wider "e," a following nuclear vowel "a" is implied, so that when the same sign is not followed by this "understood" nuclear vowel (as in >■/ the case of Finals No, 18 and 19), it just represents "I,"

In this way, not only can the apparently opposite inter­ pretation by Poppe and Hattori be combined but the apparent contradiction can also be resolved, because the former transcribes only the assumed sound value of the sign it­ self, whereas the latter transcribes the sign together with the following "understood" nuclear vowel "a,"

One doubtful point concerning the above interpreta­ tion stems from the problem of the prototypes of these two signs under consideration. It is conspicuous that none of the earlier studies discussed the present problem in con­ nection with the sound value of the Tibetan (or Sanskrit) prototypes. To our knowledge, the only symbol which can be related to the hf'ags-pa r ^ is the Tibetan writing for 167 Sanskrit long diphthong "ai" (or "ê"); hP'ags-pa — I must be from the Tibetan vowel symbol for "e." Tibetan hP'ags-pa Sojombo

1^ "ai" "e" "ê"

"e" '■n—I "I" "e"

If the connection is correct, the result would be against the above assumption. For the time being, there is no definite evidence in favor of or against this con­ nection. In the Sojombo alphabet, however, entirely dif­ ferent symbols are used for distinguishing short "e" and long "e,"

The above is a preliminary discussion of the tran­ scription of Finals No, 38 and 39 of the Xian rime. As

Type I Transcription, No, 38 is transcribed as "I(a)n";

No, 39 as "en," At this stage, the transcription seems to be against the general principle of arranging finals with­ in one rime (finals with lower, more grave vowel preceding finals with higher, more acute vowel; finals without medial preceding finals with medial). However, if the above discussion is followed and the Type II Transcription is given as --

Final No, 38; gn

Final No, 39: en which could be interpreted as Chinese sounds as -- 168 Final No. 38: xan

Final No, 39; xen the order is fully harmonious with the general principle.

One may question the claim that it is not reasonable

to assume finals with nuclear vowel "a" as the finals of

this rime because there is another rime exclusively con­

sisting of finals with the vowel "a" (namely the H^n rime).

To this, it can be pointed out that Final No. 41 of the present rime is just an acute variant of Final No. 35 of

the H^n rime.

Another possible doubt is that in Final No. 42,

there are two successive signs for medials. The answer

is that the first of them is primarily for the feature

sharpness of the initial consonants (palatalization or the

feature sharpness). As often pointed out above, it is

generally observed that have contrastive pala­

talized versus nonpalatalized (sharp versus nonsharp) pairs.

Final No. 42 occurs in complementary distribution with

Final No. 38.

Concerning the interpretation and segmentation of

Finals No. 38 and 39, the following points must be recog­

nized :

1 ) In terms of the information on their correspondents

in Ancient Chinese, the contrast between Finals No. 38 and

39 is between Division IIl/IV Finals and Division IV Finals, 169

though this is clear only in cases with velar stop ini­

tials ;

2) After labial initials both Division III/IV Finals and Division IV Finals are found systematically in Finals

No. 38 as well as 39.

Consequently the vowels of Finals No. 38 and 39 are considered as consisting of two segments, a medial glide and a nuclear vowel.

3.2.3.10 The Xiao rime

In this rime there is a full set of contrastive descendants of Ancient distinction which was described in terms of Divisions by d^ng-yiin-xué phonologists. Finals

No. 43, 47, 44 and 45 correspond to Ancient finals of Divi­

sions I, II, III and IV respectively. The order of these

finals in this rime is not sporadic. The same order is

found in the T^n rime where the hP'ags-pa transcription of

Final No. 58 justifies our correction of the transcription of

Final No. 47 in MGZY. Final No. 49 is presumably not Chinese.

3.2.3.11 The Y 6 u rime

Final No. 54 shows complementary distribution with

Final No. 51 with respect to initials; and this whole group occurs in complementary distribution with Final No. 52 with respect to initial consonants. The main vowels of

Finals No. 51 and 54 appear as grave under the influence of the initial consonant which is grave. The distinction 170 between Finals No, 50 and 53 is parallelled in such pairs as - -

Final No,6 : No, 3 ------the Ging rime

Final No, 17 : No, 15 ------the Zhî rime

Final No, 32 : No, 28 ------the H^n rime

Final No, 62 : No, 60 ------the Qîn rime

3.2.3.12 The T^n rime

The distinction between Finals No, 56 and 59 primari­ ly lies in the initials, the sign f ~ of the latter repre­ senting the palatalization of the initial consonant. The

Ancient Chinese origin of these finals is the same. As for the hP'ags-pa transcription of Final No, 56, those found in MGZY should be corrected,

3.2.3.13 The Qîn rime

As in the case of the T â n rime. Final No, 62 with

(indicating palatalization of the initial consonant) occurs only after guttural fricative initials in complementary distribution with Final No, 60, This palatalization of guttural fricative initial can be seen systematically in other rimes. The Ancient origin of the finals of the following pairs is as follows; the first of each pair occurs only after guttural fricative initials;

Final No, 14 (after x-) : Final No, 11 (the Yâng rime)

Final No, 27 (after x- : Final No, 26 (the Zhen rime) and Y")

Final No, 42 (after y-) : Final No, 38 (the Xian rime) 171

Final No. 50 (after x- : Final No. 52 (the Y6 u rime) and Y“ )

Final No. 62 (after x-) : Final No. 60 (the Qîn rime)

In the Persian translation of Shü-hé Wing's Mb-jui (^1^^^; hereafter MJ) dated 1313, Dragunov found the initial con­ sonants of old Chinese ((ts)), ((ts')), ((s)), ((k)) and

((k')) transcribed into the same characters respectively disregarding whether they occur before a front vowel:

[ts-] : a - 6

[ts'-] ; ?

[s-] : p s Lîl» /vr

[k-] : a t ' /

[k'-] : 6 1 / c r , / whereas in the case of velar fricative initials two differ­ ent characters are used for those occurring before a front vowel and those before other vowels, which undoubtedly indicates that the palatalization of these initials before 89 a front vowel took place first in velar fricatives:

Before front vowel Before others

0 ^ I

OÔ- -S> - 172

i 1/1 /():

3.2.3.14 The Gê rime

As mentioned in section 3.2.2.8 , the Chinese vowel represented by the hf^ags-pa character V\. is taken simply as ((o)) (grave nondiffuse, noncompact vowel), judging from the Tibetan prototype. Synchronically, this can be interpreted as the grave counterpart of ((e)) or ((a))^ though the finals with these two vowels do not always contrast. The only clear case where they contrast is —

Final No. 35 on versus Final No. 31 @n

Final No. 41 ion versus Final No. 39 len

In this respect, it is very natural that in Mandarin the vowels "o, '*3 " and "e" lost contrast completely.

3.2.3.15 The M â rime

The hP'ags-pa transcription is to be corrected accord­ ing to the transcription found in materials other than

MGZY. Editions of MGZY available nowadays lack the part for Finals No. 70 and 71. Although the existence of Final

No. 70 is indubitable, it is open to question whether this final was really contrastive with Final No. 65. Many hP'ags-pa transcriptions are so heterogeneous with respect to this distinction that if any distinction is to be esta­ blished, information from the Chinese side must be relied on. In connection with this problem, it is interesting to notice that in Mandarin only the descendants of Final No. 173

67 remained as finals with the main vowel ((a)), while those of Finals No. 65 and 70 (if established) merged with finals with the main vowel ((a)).

The correspondences of the Chinese dialect reflected in the hP'ags-pa transcriptions with Ancient Chinese will be tabulated in sections 3.4 and 3.5 together with those reflected in the Tibetan transcriptions and Trigault's romanization.

3.3 Trigault's romanization

The phonological system of the variant of Chinese reflected in Trigault's romanization was fairly well studied 90 ^91 92 by C. Lu6 , Z. Lu and Toodoo, from the synchronic as well as the diachronic point of view. The result of these studies will simply be tabulated to show the correspondence of the variant of Chinese with Ancient Chinese in the fol­ lowing two sections.

3.4 The correspondences of the initial system

In the following table, segments given in brackets are more or less exceptional correspondents; those given in square brackets do not necessarily constitute morphopho- nemes. Arabic numerals denote the Ancient tones; thus --

1/4 means the given segment corresponds to the given An­ cient sound class only when it is contained in a syllable with either the even-tone or the entering-tone. "N" repre­ 174 sents any kind of nasal ending. Dubious correspondents are marked with a following question mark. For conven­ ience of presentation, six initial sound classes of the

36 zi-mu -- Fêi, Fü, F^ng, Wéi, Ni^ng and Yu III — are separated from Bang, Pang, Bing, Ming, N£ and Xiâ respec­ tively. Table 12

Correspondences of Initials

Tibetan Transcription hP'ags- Trigault Mandarin

0 T K 0 OA pa

Bang PP P P P b p, C p ) P

P __1/4 P __1/4

b ___2/3 b __2/3

Fêi P* P' P' P* P' îîw f f

Pang P' P P' P* 'p> (p) P*

FÛ P' P' P' P* hw f f

Bing b P' b b b P •p _ 1 P' __1 p __others p __others

F&ng p', b p', b hb, b hb, b hb, b hw f f

Mfng m __N m N m __N m N m N m m m

hb hb hb hb hb

Wëi hb hb, b hb hb hb [w] [v], (m), (0) [u], (m)

Duin t t t t t d t, (n), (c'h) t

Ln t __l/4 t_l/4

d __2/3 d __2/3

Tbu t' t', (d) c',(d: t' t' t' •t, (c'h) t'

Ding d f , d d d,(hd) d,(hd) t •t __1 t ’ _ _ 1 t __others t others

N£ n __N n __N n __N n __N n __N n, j i n, (j) n

hd hd, (hn) hd hd hd

Ni^ng (hn) (hn) (hn) n, p n, (j) n (hdS)

L â t 1 I 1 1 1 1 1 1

Zhî Z l tl t^ t^ d% ch, (k), (t)

t%? __1/4 __1/4 tW__1/4 t ï __1/4

d% __2/3 d&? __2/3 d%__3/4 d%__3/4

Chè tS' t%' tM' c'h, ch tg*

Chéng d& tS', d% d% d% d% t% c'h, C ç ) _ _ 1 tg' __i

ch, (ç)_others tg __others

JÎng ts, (t&) ts ts ts ts dz Ç ts o\ ts __1/4 ts __l/4 (tS) (t%) ■ =(tp ( 'ç) ts

à z _ 2 / 3 dz __2/3

Qîng ts * ts ' ts* ts ' ts ' ts ' *ç, M ts ' =Cd3f) C<5ng dz, (d%) ts ' dz dz dz ts •ç __i ts' __1

(hdz) (hdz) < s O ç,(ch)__others ts __others

Xîn s s s s s s s s

Xié s s s z s ts, s

Zhuâng (t%') ts ts ts dï ç, ch ts, tg dï _ 2 / 3

Chû t%' ts', tM' tg' 'ç, c'h ts', tg'

Chu^ng t%', % % ï tg X e

‘ç, c'h _ _ 1 ts', tg' _ _ 1

ç, ch others ts, tg __others

Shân & g &,(%) s ï S s, X s, g Sx tï s s

Zhào tï tM t% tï tg dï ch te ■Vi t%;tS_l/4 (ts) (tS') (t%') ch

__2/3

Chuân tS', (g) t^' t&' tM' tM' t W c 'h ce' (tS) (t%) (tS)

Shén %K l S M t^ X cg', g

c'h 1

c h __others

Shën ï M ï %,(s) (s) : X g

Chân l M, (%) i M,(%) (%) % c'h, X cg, tg', g

Rx t % X % z j, (0 ), (n)

Jiàn k k k k k g k, (h), ('k) k

k ___l/4 k __l/4

6 __2/3 g __2/3 xï k' k* k' k* k* k* 'k k'

(hk) (hk)

Qdn S k* g g g k •k _ _ 1 k' ___!

k others k others "V j 00 Yf hg hg hg hg hg g, M g, 0, [v], 0 , n [j] (n), (j)

(0 )

YÏng 2 2 2 2 2 2 , 2 j 0 , (h), (g) 0

[v]

Xiao h h h h h h h X

Xi^ h h h h h Y» h h, (k), C k ) X

YÙ III h, 0 h, 0 h, h h, h h, h h 0, (h), C k ) 0

Yu( IV) 0 , h 0 , h 0 0 0 0 0 , (g), (j) 0 , ^ (h)

•vl vO 180

3.5 The correspondences of the final system

In the following table, brackets designate that the expected correspondent is unknown, or that the correspond­ ent given between them is optional.

Table 13

Correspondences of Finals

(M : Mandarin : morphophonemic presentation

P : hP'ags-pa Type II Transcription

R : Trigault's romanization)

Ancient Tibetan Transcription P R M Ancient

Final C TK 0 OA Initial ,#Koi a, ah a a, ah a a o o 9 a / l c i wa wa wa wo o,uo u3

a a a a a wo o a labial liiC o iii ie

# l c i i i w 8 iue ya

a,ah a a a a a a a

ja ia la velar

wa wa wa wa wa ua ua

oa

A III ja ja ja ja ja ie ïa a a a a e e d retroflex palatal

o,oho o o o o u u u 181

u u u u u u u u/a labial K & u u u u u ü lu y u u u retroflex labial

u palatal

i, i 1 i, i i» & i, i u lu y u u u u u

uh

e e e

ehi

a

u u palatal

u u,o u,üa retroflex

4 01 ahi ehi aj ai aï e e e w & CI wahi we wehi we we ul ui uax

u( ) uai üax velar

oei

oei labial

ui

A 0 aj ai aï jaj ve lar k. c waj uai üaï oai

ua ua ^ 0 i i i 182

9Ï labial

\J / à c ul uei uaï

^ O U I i i i

^ OIV ehi ehi ji i i ehi ehi

e e e e

[i] palatal cm ul ui üax

uei üax velar

V ^ CIV wehi ul ui üax

uei üaî velar i i

jahi i i i jehi

ehi ehi ehi

ehi

je je

e, i e e e

ji ve lar

G ( )e we Oeh i liï uei üax jwe

I ahi ehi ehi aj ai ax ahi ehi

e e e e

W wahi we wehi wa we ul ui üax ehi eu 183 S/ ahi e ul uei 31 labial

uei üax velar

III aj,i ai,i ax,

[i]

$ 0 ehi ehi aj ai ai ehi e, je e e

jaj iai ïa velar

ax % C we( ) we waj uai üax

1 i i i i i

(ji)

ji ji ji ji ji i i;Ui @ 1 labial i, e

i w V V uhi u u ul ui uax uhi

we

OIII i 1 i i i

ji ul oei 9x,i labial

i

i i hi Û [i] retroflex fti OIV i,i i i i,i i,i i i,ul i,ar

ji ji i i velar

4,e ji ji ji i i i,3i labial i 1 i hi Ù [i] dental • sibilant fle c m uhi ul uei uax u 184

uhu waj oai uai retroflex Aq civ wi,u u UÏ ui uai we

ju ÜÏ uei i ve lar

U 3 L V aj ai ai

ah ya,e ehi jaj iai ve lar

a ax

it wa waj ua ua V V uai uai

i ehi i i,i i i i

ih ihi,i

i,e,i i i i,e i,e i i [i] palatal ihi

i,e i i i,e i,e hi i,u [i] retroflex

4 i i,e i,e i,4 hi Û [i] dental e sibilant L OIII i,4 i i,4 i i i i i V e,i i e,i e,i ul oei 31,i labial

i ui

hi i,u ax retroflex

ai

1 OIV ihi i i,i i i i i,i e e e 185

ji ji ji i i i,3X labial

ji i ji i i velar

i,i 1 i,i hi Û [i] dental sibilant ^ cm ul uei uax

oei

\J V waj ui uax retroflex

J L c i v uhi,u ul ui uax

u u u u ÜÏ uei uax ve lar

oei

ahu aw aS

aho

ehu ehu ehu ehu ehu

eu

V 4 aho aw ao au ehu ehu jaw iao xau ve lar

\y ao au retroflex

iao t III ahu jehu Sw iao xau

% X V jahu ehu ihu ew iao xau

few

jehu jehu jehu jehu

ahu ehu ehu ihu £ W ao au palatal

' ew iao xau velar > 1 jahu ew iao xau

e w

ehu ehu ehu eao 186 ehu hiw eu 9 U ahu ihu ihu hiw eu ve lar iw

uw u.eu labial ihuihu ihu ihu ihu iw leu

( jiw ihu ehu

ehu uhu

ehu ihu ihu ihu ihu xw eu 9 U palatal uh

eu retroflex

uw eu au labial

ow

iw ieu xau

eu 3 U

xeu ve lar am am am am am am an an

ve lar am am an an

jam xan

ab xa

em em em ien xan 187

eb eb ab 13

am am am am an an

ab ab ab ab ab cL III gm len

IV jamem jam jam em len

g m

am en an palatal

jab 1 3

eb ab palatal

jam em em em

jam em velar

le 1 3

am am am am an an

wam am an an velar am

ab ab ab ab ab

wab velar

am an an

am jam lan velar

la velar

im im im in

im im

him en an retroflex

in 188

eb ib ib ib ib i iê i

hi e a retrofle> J /) •=ih V im im im im im im in l a n

jim jim

jim in Vxan ve lar

an palatal

4b ib ib i iê i

jib

ji iê i velar

ê [i] palatal

0 an an an an an an an an

on uon an labial

ar ar ar ar ar a a a

ar ad wo o a labial o o a ve lar c wan wan wan wan wan on uon uan

wen oan

ar wo o u3

war wo uo ua velar -#]o an an an

jan ien Vxan velar

a a a

ja ia xa velar c wan wan uan uan oan wa ua ua fC 0 en en en en en ien xan 189

en

an an an an an an an labial

(e) ie ïa e

a(r) ar ad ad a a a labial

er O / u C wan wan wan wan bn iuen yan

wen wen wen wen wen

war war war we iua ya

WE iue

OUI jan en sn ien

jen jen en

an an an retroflex

ien

ar e ie 13

yar V 'IlU oiv jan jan en ien lan jen en

an an an an an en en an palatal

en en ien V jar jer jer e ie 13

ar ar ar ar e e 9 pa latal ir

Xil) c m wen won won on iuen yanV

wen

wan uen %an retroflex 190 iue ya wa ue ua retrofle) iue

CIV wan jwan jwan jwan on iuen yan

wen ■

wen wan wan wen uen uan

jwar we iue ÿa war

war war war war war we ue ua

0 jan jan jan jan jan gn ien xan

jen jen jen jen en

en en en en jen

jar je ie xa

er er e

% c wen iuen $^an

jar we iue ya m in in hxn en an

on, un on,un un an in

u(?) e,o a uo

on on on un un uan

uon un uen uan velar oen

or u u,ô u

u uô,ô u velar 191

l U an an an an an

an jan jan ien wlan ve lar

jen

en en an en

en

ar ar ar ar a a a

ja ia Ya ve lar

l U c wan wan uan uan

oan

wa ua ua

&n in in lan

()

i ié i

5L un un un un un un uen an

win uan

un iun yan ve lar

win

ur ur ur ur ur u ô,oe U

Ü iu y ve lar en, in in in Yan t OIII (jin) hin en an retroflex

in

ien

i iê i

ul i ê i labial 192

hi e 3 retroflex

[i] I OIV in, in in in in in in in xan en in

jin in xan velar

an palatal

ir ,ir ir,i ir,i ir,i ir,i i ié i

i i

jir

ji • • ji xe i velar

ê [i] palatal c m un iun yan in

Ü iy y , u o,ue uax retroflex

ua 4 r. y_ %CIV un un un iun yan

un

win in

un uan palatal ur ur ur u iy y iu ÜI iu y velar jwi

u u pa latal 193

/% O o,ag aq aq aq aq am aq oq

as as as as as aw 0 au

u@

au, labial, velar a k waq waq waq waq uam uaq o wog woq woq oam

waw uo ua

ue t s - aq am aq

\J waq waq waq oam uaq retroflex w aq eq jaq iam laq velar

as as aw 0 au, 3

jas jas jas jas lo es

wag wag waw 0 üa retroflex

jaw lo ïau velar ya

0 jo oq jaq jaq jaq jaq iam ïaq joho joq eam

jaq

aq aq haq oam uaq retroflex

OjOhu oq ^9 ag aq aq am aq palatal 09 oho oq waq waq aq am aq labial

(waq) (warn) 194

jag jag sw io lau

ag ew ya

aw o ua labial

(u)

as ag ag ag ag Sw o au palatal

ua

ag wag uam uag

weg oam

wew io ys waw t o 4 ig ®9 hig em ag 4 4 (ig) 4 eg ig ig ig ig hij e 31,9

(ij)

us ug ug ul e aï, a labial

- f c ug um uag

uem V weg og og og og U l uo ua

ue

oa } k o eg.ig 4 4 4 4 im ïag (jig)

im ag pa latal

em

ig ig ig ig 1 ie i 1 195

ig ig i,â a a i é [I] palatal eg ak(?) ak(?)

eg ig eg hij e a retroflex J,*' C ul lu yï"Cn'\ y /X oil e,eg eh eg e,i e,i iTig em 9g

eg ag jig em 9g velar (im) ïag

eg (e)g ig,ig aj e aï , 3 jaj e ïa,B velar /Kcii wehe ug um uag ag

weg waj ue ü a

uô OB

^ OUI e, je e,je Ig im Ï9g eg eg eg ' eg eg ig ig i i ê i \V ul iê i labial

c m üg ium ÿag wig im L 14 0 je,e jeg jag ji ji Ig im lag

( )g eg jeg jig im Vlag velar

ig ig 1 iê i

i(ji) iê i velar 196

vig ium yag

ÜÏ iu y ^ ' 0 eg hig em ag,ag

jig em eg velar lag

eg aj e aï, 8

jaj e ïa,a ve lar

M e ug um uag

uem

waj ue U 0

UÔ ua

oe

'A 0 je,e je je ji e,i ig im ïag ji ji,j* ji

ei} eg eg eg

ig jeg jig jeg jig im ïag velar

ag palatal

is is jiS jiS 1 iê i

jig jiS

ji iê i ve lar

ê [i] palatal C xæ üg ium yag

(jüg- im lag

jwi ig i Ki og og og og og ug um uag 197

9 9 labial os og og u ô,uô u ÿ^iii ^9 ^9 ug ug üg ium yag um uag

ug um üag retroflex

ug um üag palatal

üg

ug um ag labial ug ug ug ug ug" ü io,ô y,u

ïaü

og og u ô,o u retroflex

u ô u labial

u palatal i> 0 9 ug um üag

og u ô,uô u ^9 ug ug üg ium gag w um uag og

ug um üag palatal üg

ug um ag labial

• • A wag wog ü 10,0 y,u

ug og

jog jog jog

u ô u labial CHAPTER IV

RECONSTRUCTION OF ANCIENT CHINESE SOUNDS

Given the sound classes of Ancient Chinese summarized in Chapter II and given the three alphabetical transcrip­ tions of the descendants of these sound classes by Tibetan and hP'ags-pa scripts and Trigault's romanization, we are now in a position to reconstruct the Ancient Chinese sounds, covering all the information available for An­ cient Chinese, nevertheless giving the simplest account of the changes from Ancient Chinese through Mandarin.

For the convenience of reference and discussion, two tables will be given showing how our predecessors recon­ structed certain sounds for each of the sound classes of

Ancient Chinese summarized in Chapter 11, and the reader will be constantly referred to these tables in order to make clear the similarity and dissimilarity of the pre­ sented reconstruction to Karlgren's, It would be accepted as reasonable to choose the reconstruction by Karlgren summarized in Karlgren 1954 as the representative of these former studies, because his career in the field is longest and he has established many monumental works but never­ theless has the most recent summary of researches as well as up-to-date modifications carried out by himself.

198 199

4.1 Reconstruction by Karlgren

In order to avoid unnecessary confusion and mis­ understanding, the reconstructed forms by Karlgren is

tabulated, and his notation "translated" into the corre*

spending International Phonetic Alphabet, just as the

Chinese translators of Karlgren 1915-26 did with the

author's permission.

4.1.1 The initials

Table 14

Karlgren's Reconstruction of Ancient Initials

Initial Karlgren's Notation

Sound Class Chinese Characters Reconstruction

Bang P

Pang P' Bing I b' Ming m

Duan t

Thu t'

Ding d'

N£ n

L^i 1

Zhi

Ch& JG' 200 Chéng

(Niâng) Niâng 9, Ri 0 9%

Jîng ts

Qîng ts '

C6ng dz*

XÎn s

X i ê z

Zhuang Zhào (II)

Chû Chuân (II) tg'

Chuing Zhuàng j f v K , (II) d2j^'

Shân i h (II) ë Si

Zhào Zhko (III) 'J Chuân f Chuan (III) Shén Zhuàng (III) d3'

Shen $ Sh^n ' (III) ; Ch^n # 3

Jiàn k

Qi k'

Q\Sn Jùn êf 8 *

Yf 9 201

Ying II ?

Xiao II X II X i â It Y II YÙ "A (j)

4.1.2 The finals

In the following table, the serial number represents

the serial number of final sound classes given in Table 3, which strictly reflects the order of rimes in QY. Karl-

gran' s serial number is that given in Karlgren 1954,

pp. 232-234; Roman numerals are included in order to show

the Divisions of rime tables in which the finals occur.

Table 15

Karlgren's Reconstruction of Ancient Finals

Serial Final Sound Karlgren's Notation

No, Classes Serial No. and Recons truc-

Characters tion

Guo-Jia rime group G & H Tables

67 1 61 gfl a

68 i t OIII /'

69 Cl I 64 ^ ua

70 S i H c m / /'

71 o n II 62 ^ a

73 0111 III 63 ïa

72 4 ^ 0 11 65 ^ wa 202

YÙ rime group X Table

19 I 131 UO

17 III 132 K xwo

18 III 133 ïu à 1

Xiè rime group E 6c F Tables

36 I I 46 V p “i 37 III / /

20 & 0 I 45 & ai

31 ^ 0 II48 $ ai

29 i i ~ 0 II 47 ai 4 33 ^ 0 II 49 k ai(î)

25 ^ O U I III 50 %: ÏEi 5 5 27 ^ OIV / / 38 yg^o III 51 xïi %6 6 22 III / /

23 ^ OIV IV 52 iei sy . 35 / k . I 54 /K uax

21 &C I 53 é r wai

32 Jfcf c II 56 *■# wax 30 0 II 55 1 1 wai 4 II 57 wai(î) 34 k ^ 26 OUI III 58 e xw£i 5 5 28 # OIV / /

39 III 59 & xwtïi 24 IV 60 iwei 203

Zhi rime group U & V Tables 6 jLOIII III 126 j L (j)ie 5 5 8 OIV / / 7 10 ^5 OIII III 124 /iQ (j)i 5 5 12 OIV / /

14 III 125 i L (j)l^ 15 # 0 III 127 ffe. (j)ei

7 ^ G U I Ill 129 ^ (j)wie 5 5 9 ^ CIV / /

11 ,4 CIII III 128 lia (g)wi

13 /îü CIV / /

16 K c III 130 (j)wei

Xiao rime group D Table

66 I 41 au 'K ' K - 65 II 42 au

63 'W III III 43 ÏSU Î 5 64 % IV / / 62 IV 44 ieu 1 $1

Lid rime group Y Table

91 I 134 au

90 V w III 135 Ï 3 U

92 A III 136 A xeu

Xi^n rime group C Table

V/ w 74 I 27 28 'o am, ap 204

75 m I 25-^, 26 È l om. ap V 102 II 3i/^k, 32;^> am. ap

103 II 29'ilj, 30 am. ap

95 & III , III 33 Î K . 34.$ ism, lep

96 IV /S 104 é i III 3S,f|., 3 5 $ it>m, ÏT?p 97 IV 37 38 iem, iep

105 III 39 <1, 40 iw^m , iw%p

Shën rime group P Table

93 % III III 105 (&., 106^ ïam, ïap / r. 5 .5 94 l'K. IV / /

Shin rime group A 6c B Tables

50 0 I 1 2 an, at

54 itl 0 II 5 an. at

52 # 1 0 II an. at

58 \ i U OUI III 7^iA, 8#4" i£n. Ï£t:

60 ^ ] ' M OIV

46 7 0 0 III l'&n. ï'pt 56 0 IV 11 12/% ien. iet 51 & c I 13 41, 14 uan. uat

55 d i c II 17 l U , 18,tü wan. wat

53 c II 15#],16&$ wan. wat

59 cm III 1 9 % , 2 0 # iw&n , xwgt

61 CIV /

47 TU c III 21 t-, 22 ïw^n , xwt>t 205

57 ÿ ü c IV 23 ^Sl, 24/% iwen, iwet

Zhën rime group N & 0 Tables ,8 49 & I 9 1 : / K , an / V V'^ 40 &ROIII III 96, 92 læn, xen V V'^ 97, 9 3 ^ ^ læt, xet 41 il, OIV 'K 45 K III 94 if/v, 95iL ïan, xat

48 I 98 9 9 : ^ uan, uat fi 42 j l c m III 100, 1 0 4 ^ ' | | xuën

101 xuet

43 /ê \ CIV 44 5 C III 102 5 C , 103 xuan, xuat % Dkng-Jiâng rime group J, K & T Tables

78 4 ' 0 I 66 67 ag, ak

V V/ . 76 F'$ 0 III 68|^ÿ, 69&& xag, xak

79 /S c I 70^, 71^^ wag, wak

77 # c III 72|%%, 73^ÿ: xwag, xwak

5 II 122 ;'X, 123,% og, ok /"U

ZSng rime group Q 6e R Tables

100 ■fr° I 107 loaffs ag, ak

> >./ V • 98 0 III 109 #-, 1 1 0 . xag, xak 7<"' . r 101 - ^ c I III %. , IlZj^, wag, wak

99 i c III 113 xwak K'S 206

Geng rime group L & M Tables

80 K on II 76 77f^a t*!}» '&k 84 0 II 74 75=$> asg, æk 82 f K OIII III 80/^, Slfg xpi), i^k 86 'r\ 0 III 78>ff, 7 9 # i] leq, lEk 88 'rl 0 IV 82 # , 83 leg, iek > 81 & CII II 86 ^ , 87 weg, wpk 4L 85 in C II 84 rf;f, 85 w æ g , w æ k ,9 83 ifL CIII III 89 i k , t iwpg, / 'i. 10 ,10 87 c III 88 , / o-wgg, / 89 "fe c IV 90 ^ , 9 0 a $ ^ iweg, iwek

Tong rime group S Table

1 ' I 114 ^ , 115/f. ug, uk

3 I 116 117;VL uog, uok A . V V/ , 2 ''h III III 118 , i i y xug, xuk

4 III 1 2 0 # . 1 2 j g xwog, xwok

4,2 Problems of reconstruction of Ancient Chinese initials

Karlgren made good use of three main sources for the

study of Ancient Chinese, namely the fan-qiè spelling of

Ancient pronunciation of each character, the achievements of the d^ng-yîin-xué phenologists, and modern Chinese dia­ 11 lects as well as foreign dialects in his monumental work.

So far as the reconstruction of Ancient initials is con­ cerned, the main part of his study still holds on the 207 whole, even after checking with the materials of the

Tibetan and the hP'ags-pa transcriptions as well as Tri­ gault's romanization. This is because his study is based on his firm and profound knowledge of the achievements of

Chinese traditional phonologists. Therefore, the follow­ ing will be minor modifications of his achievements with the new light of modern phonology, except for two points: the problems of chdng-niu pairs of initials and one addi­ tional initial (voiced retroflex fricative), for which 12 there is no excuse for his failure of recognizing them,

4.2.1 Ch<5ng-niu pairs of initials

As summarized in section 2.3, finals defined as

"Paired Division III/IV Finals" occur in two Divisions of a rime table: Divisions III and IV at the same time after only ten initial consonants: *p, *p', *b', *m, *k, *k',

*g', * 1 and *x in the reconstructed form by Karlgren (chi5n-yln, y^-yxn and a part of the hôu-yïn group of ini­ tial consonants in the d&ig-yiin-^ terminology). There 13 are in all 75 pairs of this type of syllables in QY.

Arisaka did not miss the fact that each of these characters occurring in these two Divisions stands for a homophonie group of characters in GY with respective fan-qi^ spelling.

He connected the distinction of these syllables neglected by Karlgren with the distinction of some sound classes in 14 Archaic Chinese on the one hand and with the different 208 borrowings into Sino-Vietnamese and Sino-Korean on the 1-5 16 other. Both Arisaka and Rokuroo Koono interpreted the distinction primarily as between a front medial -'i- and a central medial (the hë-k%u counterpart being

-ÿ- versus -u-). Z. Lu interpreted it as a distinction V 17 between high -x- and lower -I-, Tooru Mineya ascribed the distinction to the initial consonants and inter­ preted the distinction as palatalized versus nonpalatal- 18 ized initial. 19 Now, as pointed out briefly by Toodoo and Xué- ^ 20 li^ng Ma and Jx-guang Lu<5, the hP'ags-pa transcription presents very interesting information concerning this distinction. Although the great majority of the chdng- niu pairs of the Xian (>(lU ) rime merged and although the distribution of the chdng-niu pairs of the Jx ) rime is almost complementary, thus rendering the distinction unclear, there is clearcut distinction between the mem­ bers of the chdng-niu pairs of all the remaining Paired

Division Ili/IV Finals. 209

Tab Le 16

Paired Division III/IV Finals

in hP'ags-pa Transcription Initial Groups Labials Velars Gutturals Finals j 1 G U I ^ i i j 1 OIV ^ i (j)i

Jl ciii uaY j 1 c i v ^

Zhx G U I jL tlaï i i

Zhî G IV i ' (j)i (j)i

Zhî CIII ^ U 0 X uax

ZhI CIV ^ U 9 X uax

v/ ZhI GIIl/ uax i i

Zhî GIV i (j)i (j)i

Zhi ciii/lg \!i3x

Zhi CIV u9x

Xiao III (Ïaïi) lau Yau

Xiao IV (laÜ, ïeu) Vleu ^ leu

Y é n III %_ xam xam xam \w/ V Y â n IV ^ xem xem, xe

Qîn III xam Yam, i Yam, i

Qîn IV (j)Yam, (j)i

Xian Glll^tl) Yen, xan Yen

Y a n 210 V Xian OIV xen. xe xan

xan

Xian xon xlen

uen

Xian CIV ^ d - j lien lien

Zhen "fen, uax xan (j)xan, i

Zhen OIV xan. i (j)x9n, (j)i (j)xan, (j)i

Zhen C I I I & uan, Ü Uan % Zhen CIV ^ uan, uax

Looking at the distinct transcription of the members of ch6ng-niu pairs of finals listed above, the distinc­ tion seems to be the contrast compact versus noncompact of the main vowel of a final as in the case of the XiSo

), the Yân and the Xiân (/lH ) rimes, or the con­ trast sharp (Division IV counterpart) versus nonsharp

(Division III counterpart) of initial consonants as in the case of the kSi-kou variants of the rest of the finals, or the contrast grave (Division III counterpart) versus non­ grave (Division IV counterpart) of mediaIs as in the case of the hé-kou variants of these finals. However, the over­ all tendency of the distinction is primarily the distinc­ tion sharp versus nonsharp or grave versus nongrave, no matter which of the syllable constituents (initials or medials) one ascribes the feature to. As for the three pairs where the distinction compact versus noncompact is 211 found, the possible corresponding distinction in Ancient

Chinese should be taken into consideration.

Now, there is one point which has been neglected; that is, the fact that the above mentioned phonetic corre­ lates of the distinction of the two members of chdng-niu pairs, the Division III counterpart and the Division IV counterpart, in the hP'ags-pa transcriptions are not in­ trinsic only to these chdng-niu pairs. In cases where the descendants of the Ancient Division IV Finals and those of the Paired Division III/IV Finals belong to the same rime group, the same transcription is given to both the former and the Division IV counterpart of these chdng-nüü pairs, as can be seen in Table 17.

What is listed as the correlates of the distinction between the descendants of the Division III counterpart and those of the Division IV counterpart of Ancient Paired

Division IIl/lV Finals, are actually the correlates of the distinction between those finals (of the variant of Chinese transcribed into j^*ags-pa script) arranged in Division

III and those in Division IV of the rime tables by the d^ng-yiln-xué* phenologists in general. Therefore, the correlates may not be the exact correlates of the distinc­ tion between the Division III counterpart and the Division

IV counterpart of Paired Division III/IV Finals in Ancient

Chinese, and so the Ancient correlates intrinsic to the 212 said distinction only have to be inferred from the descend­ ant correlates.

Table 17

Division IV Finals in hP'ags-pa Transcription

-v^itials Labials Finals'"^^^ Velars Gutturals j1 OIV ^ i (j)i q £ oivfij^ i (j)i (j)l j1 c i v ^ q £ c fij- liai liai

Xiao IV ^^4 lau, leu leu leu

leu, lau leu

Yân IV & lem lem, le

Tiin lem, le

Xian OIvffA len, le Ian

Ian

Xian 0 t len, le Ian len, le

Ian len, le X « Xian CIV/)J4 uen uen

Xian C uen, ue auen, nue

Now, since there is no direct clue for the inference of the original correlates in these descendants of An­ cient Paired Ill/lV Finals, let us consider the problem in the light of the change of the Ancient Division IV

Finals. 213

There is a very conspicuous change of the syllables with the Ancient Division IV Finals, The upper f^n-qie characters for these syllables constitute a group with those for the syllables with Ancient Divisions I and II

Finals, and consequently, it is inferred that the initial consonants followed by Ancient Division IV Finals were not palatalized ("not yodized" according to Karlgren). On the other hand, the upper fan-qiè characters for the syllables with Ancient Paired Division III/IV Finals constitute a separate group with those for the syllables with Ancient

Division III and Single Division III/IV Finals, Conse­ quently it is inferred that, judging from the correspondents in modern dialects as well as foreign dialects, the initial consonants followed by the Ancient Paired Division III/IV

Finals (as well as Single Division III/IV and Division III

Finals) were palatalized ("yodized" according to Karlgren),

This is one of the most significant difference found in the f%n-qi& spelling of the syllables with Ancient Division IV

Finals and those with Ancient Division III/IV Finals, Single and Paired,

Now, hP'ags-pa transcriptions given earlier show that the initials before Division IV Finals were all exposed to palatalization. If the relationship of these finals and the hP'ags-pa transcription of their descendants is tabu­ lated, the correspondence would be as in Table 18. 214

Table 18

Relationship between Paired Division IIl/lV

and Division IV Finals

Initial hP*ags-pa Ancient Chinese Final Transcription

Div. Ill Xj- X- Paired Counterpart Div. Ill/ IV Finals Div. IV Xj- Xj. Counterpart

Division IV Finals X Xj-

In the above table, "X" stands for one of the initials which constitutes ch<5ng-niu pairs when it is followed by one of the Paired Division III/IV Finals, and "j" for palatalization of the preceding consonants. Looking at

this table, it would easily be found that the distinction

"yodized" versus "nonyodized" of the group of the upper

fan-qi& characters (according to Karlgren) was phonological-

ly not significant, for all through Ancient Chinese and

the variant of Chinese transcribed with h?'ags-pa script,

the Paired Division IIl/lV Finals and their descendants are supposed to have maintained a certain kind of high front medial (which conditioned the palatalization of the ini­ tials), whereas in Ancient Chinese, the Division IV Finals probably did not contain any high front medial. As Chao 21 pointed out, the distinction between these "yodized" and

"nonyodized" initials was, if there were any* not "phone- 215 mic," because if Karlgren's distinction is accepted, the

following process of change must be assumed:

Anc, Chin. Stage I Stage II hP'ags-pa

Paired III: Xj- - Xj'- ^ Xj'- X-

Paired IV: Xj- - Xj- -* Xj- - Xj-

Div. IV: X- -* X- Xj- - Xj-

The initials preceding the Division III counterpart of the

Ancient Paired Division III/IV Finals had to interchange

with those preceding the Ancient Division IV Finals, This

change may not be impossible under certain conditions.

However, there is no positive evidence of the change,

which requires the initials followed by the Division III

counterpart of the Paired Division III/IV Finals to change

from Ancient palatalized to hP'ags-pa nonpalatalized, while

during this whole process these initials were always fol­

lowed by at least some kind of high front vowel or glide.

If Karlgren's "yodized" versus "nonyodized" distinc­

tion was phonologically nondistinctive, what does this

clear distinction (in general) of the two groups of upper

fXn-qi& characters denote? Suppose we accept Chao's ex­

planation that this distinction is concommitant with the

absence of the high front medial in Divisions I, II and

IV Finals, and its presence in the rest. Then, the dis­

tinction between syllables with Division IV Finals and

those with Paired Division III/IV Finals at least would

not lie in the features of the preceding initial consonants. 216

Now, if the distinction of the groups of upper fan- qi& characters stands subsidiarily for the presence versus absence of the medial, then:

1) Judging from the hP'ags-pa transcription of the initials and also taking into consideration the fact that

Ancient Paired III/IV Finals have always included a high front medial, the initials before the Division III counteir— part of these finals were presumably phonologically non­ palatalized;

2) Initials preceding the Division IV counterpart of these finals may or may not be palatalized (namely so far there is no significant evidence or logical consequence with respect to the feature sharpness of these initials);

3) There is no strong motivation to assume a medial for Ancient Division IV Finals.

4) On the other hand, no Division IV Finals share the same rime index with any of the Division III Finals, whereas the latter and the Single Division III/IV Finals sometimes share the same rime index with either Division

I or Division II Final with the same ending. Consequent­ ly, the distinction between Division IV Finals and Single

Division III/IV Finals with the same ending lies naturally with the main vowel of these finals;

5) Since it is not credible that Single Division III/

IV Finals and Paired Division III/IV Finals with the same ending contained mutually contrastive medials, the dis- 217

tinction between these two groups of finals must have been kept by the main vowel.

6) Then the difference between Division IV Finals and

Paired Division III/IV Finals with the same ending lies in one of the following two cases:

a) these two groups of finals shared the same main vowel; but were distinguished by the absence versus pre­ sence of the medial;

b) they did not share the same main vowel.

The first case is not likely, because as listed above, some of the descendants of the Division III counter­ part of Paired Division III/IV Finals and those of Division

IV Finals are transcribed with the same medial but differ­ ent main vowel in hP'ags-pa transcriptions, for example:

Division III Counterpart of Paired Division III/ Division IV Finals IV Finals

Xiao ( ) III lau Xiao ) reu, 'lau

Y4n ( Î É . ) III lam TiSn ) lem, le though the descendants of the Division IV counterpart of

Paired Division III/IV Finals and those of Division IV

Finals are transcribed the same, for example:

Division IV Counterpart of Paired Division III/ Division IV Finals IV Finals

Xiao ( f ) ) IV leu, lau Xiao ( ^ f \ ) leu, lau

Y^n (^-) IV lem, le " Tiâh lem, le

7) In addition, since in hP*ags-pa transcriptions it 218

is clearly suggested that by the time of the transcrip­

tions the descendants of Single Division III/IV Finals and

those of the Division III counterpart of Paired Division

III/IV Finals coalesced, whereas the former and those of

Division IV Finals did not, the main vowel of Paired

Division IIl/lV Finals probably shared more common features with that of Single Division III/IV Finals (just as the distributional pattern of these finals in rime tables

suggests) than with that of Division IV Finals,

Now, concerning the distinction between the Division

III counterpart and the Division IV counterpart of the same Paired Division III/IV Finals, since they are listed

in rime dictionaries under the same rime index, the main vowel and ending of each of these pairs should be the

same. What could have distinguished them in Ancient Chinese

is either some feature of initial consonants or the medial.

Suppose it lies with the medial (as Arisaka and Koono assumed); then the distinction of the kSi-k#u variant of

these pairs would have been as follows:

Div. Ill Counterpart : -Ï- ([+grav])

Div. IV Counterpart : -Y- ([-grav])

Since the feature flatness distinguishes -ï- from and

since the feature diffuseness could not be applied here, the only possible distinction is gravity. However, this reconstruction causes much trouble for the distinction of the hë-k^u counterpart. It does not seem reasonable to 219 reconstruct as natural speech sound a medial vowel with the following properties: 1) palatalized (sharp); 2) dis­ tinct from -Ï- and -y- (i.e. grave); 3) distinct from -u-

(i.e. nongrave); 4) flat. The only solution that comprises conditions 1) and 2) above on the one hand, and the in­ formation suggested by the hP*ags-pa transcriptions on the other is to assume the distinction as a feature of the initial consonants. This exactly coincides with Mineya's 22 conclusion. If the distinction is ascribed to the ini­ tials, the most possible correlates would be palataliza­ tion (sharpness). Thus in the present reconstruction of

Ancient Chinese initials, the distinction palatalized versus nonpalatalized (sharp versus plain) applies not only to palatals (chi-shàng-yîn and zh&ng-chY-yIn) but also to labials, velars and gutturals.

As for the distinction of syllables treated by the d^ng-yùn-xué phenologists in terms of Divisions, it was a six-way distinction with respect to the same ending in

Ancient Chinese:

1) Division I Finals

2) Division II Finals

3) Division III Finals or Single Division III/IV

Finals

4) Division III counterpart of Paired Division III/

IV Finals 220

5) Division IV counterpart of Paired Division III/IV

Finals

6) Division IV Finals

Among these six, the distinction between 4) and 3) lies with the initial consonants. Therefore, in the present reconstruction, the distinction of finals within one rime group is five-way, which is, however, arranged into six if the idea of rime tables is faithfully projected into

Ancient Chinese. By the time of hP*ags-pa transcription, the distinction between 2) and 3) was still preserved

(though very soon finals 3) and some of 2), or finals of

1) and some of 2) coalesced) but the distinctions between

5) and 6), and 3) and 4) were lost. Consequently, there must have been a situation which exactly coincides with the construction of rime tables with four Divisions. Now­ adays, conversely, we talk about the distinction of An­ cient Chinese in terms of this four-way distinction scheme.

4.2.2 The assumption of a voiced retroflex g* fricative initial

The initial consonants reconstructed by Karlgren constitute a fairly symmetrical system, as can be seen in the table of section 4.1.1. The occurrence of the so- called chï-yln initials in various rime tables of the is also very symmetrical. The chï-t<5u-yîn sub­ group occurs only in the first and the fourth Divisions of 221 each rime cable, the chï-shàng-yîn subgroup in the second

Division, and the zh^ng-chi-yln subgroup in the third

Division.

Now, if the distribution of these initials is ob­ served, only the chï-shàng-yîn subgroup lacks a voiced fricative initial: chï-tdu-yîn group *ts- *ts'- *dz'- *s- *z- chï-shàng-yîn group *tg- *tg'- *d^’- *g- zhàng-chï-yîn group *tj- *tf'- *d3'- *J- *3-

Thus the possibility of the co-occurrence of a voiced, retroflex fricative initial in the position is naturally expected. Or at least, this asymmetry arouses suspicion of whether there was an initial that was a voiced and retro­ flex fricative in Ancient Chinese.

4.2.2.1 Historical evidence

Although no evidence of the existence of this type of initial is found in GY, there are various other kinds of evidence in old documents.

The preliminary clue can be obtained from the rime tables of the S&ng-Yuàn dynasty. In Division II of the chï-yîn of the rising-tone counterpart of the Zhî (-^ ) rime in YJ, we find a character showing the occur­ rence of this voiced fricative, along with other affri­ cates and fricatives , ^'] , -ir and ^ • Although the character is the only one which occurs in that position 2 4 throughout YJ, it cannot be a misprint. 222

In QYL the following two characters are found in 25 table No. 8 of the "inner" series: ^ o f the even-tone counterpart 1 of the Zhi (-^ )

of the rising-tone counterpart] rime 25 In table No. 38 of the "outer" series we also find:

of the even-tone counterpart 'j Æ o f the Qing of the departing-tone counterpart V ^ ( : f ) rime of the entering-tone counterpart J

There are far more characters occurring in that posi­ tion in QYZZT as follows :

o f the rising-tone counterpart of the Yd-Yd (

) rime (table No. 3)

o f the departing-tone counterpart of the Xidn-

Xidn rime (table No. 5)

of the entering-tone counterpart of the Gêng-Geng

( ) rime (table No. 16)

of the even-tone counterpart of the Zhi-Zhi-Zhi

) rime (table No. 18)

o f the rising-tone counterpart of the Zhi-Zhi-Zhi

( X, ^ ) rime (table No. 18)

of the departing-tone counterpart of the Zhi-Zhi

( ^ ) rime (table No. 19)

Since the language reflected in QYZZT has a phono­

logical system very much different from that of Ancient

Chinese, the occurrence of the expected initial in the rime table will not be discussed. Also the three charac- 223 ters of No, 38 of the "outer" series of QYL actually do not suggest the existence of the voiced fricative under consideration, because the same members are found in the corresponding table of YJ No. 35 of the "outer" series, where three rimes are located in Divisions II, III and IV in each of the four tones and where no rime occurs in Divi­ sion I. In QYL, however, the same three rimes are arranged in the same order as that of YJ, in Division I, II and III.

In other words, the compiler of QYL raised the location of these three rimes one Division higher than that found in

YJ. It is not clear why the compiler of QYL raised YJ's location of these three rimes only, and not any other.

Probably, at the time when QYL was compiled, the language the compiler spoke or the norm of the formal speech of that period, had vowels in these three rimes which were much more open than the corresponding vowels of the YJ period.

It was then more appropriate to classify the former Divi­ sion II vowels as Division I vowels, the former Division

III vowels as Division II vowels. In many southern Chinese dialects, there are two layers of pronunciation of which narrower vowels occur in the literary layer and more open vowels in the colloquial layer in the rimes corresponding 26 to these three. In Cantonese:

Division II literary: tsTjg^

colloquial: tsa:g^

Division III ^ literary: slq^ 2 colloquial: se:g 224 # literary: slgZ colloquial: se:g^

Division IV literary: slg^

colloquial: ss:g^

literary: ts'Igl

colloquial: ts 'e:g^ 27 In the Moi-yan (Mei-xikn) dialect of Hakka ^ 1 Division II literary word: ^ tsen

colloquial word:

Division III literary word: jan^-tsin^

colloquial word: jE:. ^ tsag^-jiiæt?

Division IV literary word: lin^-jiiam^

colloquial word: ) lag^-jii^

The different treatment of theAncient rimes under consideration in YJ and QYL may be the difference of dia­ lects reflected in the two systematically distinct layers in the modern dialects mentioned above.

An alternative interpretation, though less probable, would be that the compiler of QYL had an interpretation of the Ancient Chinese phonological system different from that of the compiler of YJ.

Even if we exclude the above mentioned suspicious occurrences, there is indubitable evidence of the sound in question at least at the time when these rime tables were compiled, although there are only two distinct syllables with the sound, namely and 1/^ . 225 The result of the examination of the fKn-qiè in various editions of QY gives further support. The fWn-

qi&'s of GY and KMBQ-II for these two characters are as

follows :

GY:

KMBQ-II:

’

They have the upper characters that belong to the group of upper f&n-qi& characters for *d^* (Chu4ng-mu). In GY and

KMBQ-II, the system of f^n-qiè no longer keeps the dis­

tinction between the expected initial and the voiced affri­ cate initial *d^. However, there is a set of fan-qi^ clearly distinct from that of the voiced affricate as well as others, in at least four variants of QY:

^ (KMBQ-III and QY-II)

1 ^ ^ / ^ (QY-III)

t (KMBQ-III, QY-III and DE)

[J (KMBQ-I)

This is the strongest evidence for the existence of the ^28 expected voiced retroflex fricative. Thus R. Li and 29 T. Dong, studying the system of fan-qi^ spelling of the

KMBQ-III, set up a new initial *2^ (by R. l1) or * 3 (by T.

Dong). 226

4.2.2.2 Evidence in modern dialects

Since the occurrence of the initial under considera­ tion, which should be named as the "Division II counter­ part of Ch^n-mü" according to the deng-yùn-xué tradition but which we prefer to call voiced retroflex fricative, is so restricted (actually in only two characters or words in the whole book of QY) that some doubt is aroused as to the existence of the initial in Ancient Chinese. Al­ though he followed the distinction of QY for the sake of providing possible corroboration for the special value of two Turkish titles of the TAng period, E. G. PuIIeyblank 30 presented the reconstruction of the initial in brackets.

Now the present task would naturally be to clarify whether the fricative can be verified through the compari­ son of evidence in the Tibetan and hP'ags-pa transcriptions,

Trigault's romanization and the modem dialects of Chinese.

The two characters with Ancient voiced retroflex

fricative initial do not occur in the five texts of the

Tibetan transcription studied in Chapter II. hP'ags-pa

transcriptions distinguish the syllables with the descend­

ants of the initial in question from those with the descend­

ants of Ancient Chdn-mu as follows:

Ancient t*A, tshi

Ancient * 3 : &i, rf îÉi

However, the former group is not distinct from those with 227 the descendants of Ancient Chu^ng-mu as in the case of the fan-qie spelling of QY:

Ancient *d^' : tShi, ^ tShi

The distinction of these syllables is the same in

Trigault's romanization:

Ancient *2^ 'I SÛ, x l Ancient xf Ancient *d^' ^ stS, x:f

The distinction between the Ancient chï-yîn initials that occur in Divisions II and III in the rime tables of the S&ng dynasty, was as a general rule still kept in ZYYY of the 14th century. However, in the case of the Zhx rime group (where the two examples of the occurrence of voiced retroflex fricative can be found), the distinction was exceptionally lost in ZYYY. Moreover, the Ancient affricate *d^' (Division II) and fricative * 3 (Division

III) share most of their corresponding initials in Old

Mandarin as follows:

Ancient Chinese Old Mandarin

Chuâng-mu *dz^' * ë *tg' if: even-tone_

*tg otherwise

Ch^n-mu *3 *tg'

*g Thus they do not show evidence for an Ancient voiced

retroflex fricative. 228

The distinction between the descendants of these two Ancient initials is not clear, even in HWZY (where the old contrast voiced versus voiceless is well pre­ served) . Thus the distinction seems to be lost quite early in the history of northern Chinese.

Now among modern dialects, quite a few still preserve the distinction between the descendants of Ancient chï- yîn that occurred in Division II and Division III. Accord- 31 ing to the investigation by Karlgren;

In the Sn-qiu dialect of the Shan-dong province:

Division II : §2^9^

Division III : fl^^^

In the Dk-tdng and the Xl-an dialects of the Shin-xl and Shan-xl provinces respectively:

Division II : !£

Division III

In the Nanking dialect: 1 Division II : I t sag Division III = # f 1

There is such a contrast as --

Division II : f/îL fu^

Division III ' $ 33 in a Shân-dông dialect of Dé-hdng LÏ, which is quite un­ usual in northern Chinese dialects.

However, in the case of the Chu^ng-m^ and Chân-mu, 229 they always share many of their descendants in almost all of the modern dialects:

Division II Division III

Chuing-mu *d^' Shën-mu *d3' Ch^n-mÜ *3

Peking tg, tg', g tg', g tg, tg', g ts, ts '

Sü-zhôu ts, ts', z ts, ts', z

Gu^ng-zhSu ts, ts', s ts, ts', s ts, ts', s

Méi-xi&n ts', s ts', s ts

Amoy ts, ts', s t , ts, s ts, ts', s

So the existence of a voiced retroflex fricative in An­ cient Chinese cannot be testified by these descendants in the modern dialects.

It is only in some of the s l-y i ("Seiyap") dialects of Cantonese that the relic of the expected initial can be found, though the evidence is somewhat complicated and obscure. 34 Let us take the example from the Kai-pfng dialect.

Ancient Chinese initial chï-yîn correspond to Kai-pfng initials as follows:

Table 19

Ancient Chï-yîn in Kai-pfng

Ancient Chinese Kâi-oïns Chï-tdu-yîn Initials Examples

*ts- t- fîia^-t«aï^ ( K ^ ) *ts'- t'- t'%a%l (#; )

h- hu^ ( ^ ) 230

*dz'- (tone 1/2) t'- t'uai^ sam^ ( ^ ) h- ?

(tone 2/3/4) t- tia* ( p ^ )

* s - gguaï^-è^üal^ 0 ^ ^

*z- t'en^-i^ol^

(tone 1/2) t'- t'ïa^ (“^'"f)

h- ?

tone 2/3/4) t- 2u^-tia^ ( ÿ )

Chi-sh^ng-yin

*tg- t- tu^-ggnai*^ ( ïM.^-K%)

t j - fim^-tjai^ ( /^ ) t' t'en^-t'u^ ( '-'I'ft )

t f - . tj 'u^-31t^ ( — )

*d^*- (tone 1/2) t'- t'u^-hau^ ( ^ ^ &^)

tf.- tf'ai^-lO^^ (^^ )

(tone 2/3/4) t- vjg^-tu^ ( $^ )

san^-tjai^ ( Ja )

s- ^ (\i')L)

Zh&ng-chi-y In

*tj- t f - tfi^ ( $ \ ) *tj •- t f - tj *d3'- s- Su^ (tt)

s- lO^-Ji^ (* ^ ^ \ j )

* 3 - s - vak^-Ji® ( ^ ^ ) vit^-dr^oï^ (»] & ) 231

There are two groups of the Kal-pfng correspondents of Ancient retroflex sibilant initials, namely a group and an affricate-fricative group, or acoustically, a nonstrident group and a strident group. The assumption of regarding KSi-pfng initial as a sound reflecting an intermediate stage of the plosivization of Ancient 35 Chinese fricative *s, is supported by this correspondence.

Through the above table of correspondence the follow­ ing regular tendency of correspondence is found:

1) Ancient chi-tdu-yin occurring in Division I or IV in the rime tables correspond to homorganic nonstrident sound (or [h]) in Kai-pfng;

2) Ancient zh&ng-chi-yin occurring in Division III correspond to homorganic strident sounds (affricates and fricatives) in Kii-p£ng;

3) The correspondence between Ancient chi-shkng-yîn occurring in Division II and the Kai-pfng correspondents is, just as its location in the rime tables, intermediate between the above two types of correspondence; to one half of the Ancient chï-shhng-yïn corresponds the Kii- p£ng nonstrident group, and to the other half the Kii- p£ng strident group.

Now the only exception to the above formula of corre­ spondence is the case of the Ancient Ch^n-mW *!£-. If all the correspondents of the sound in Kai-p£ng were the fricative [s], the correspondence of Ancient voiceless 232 and voiced fricatives would be formulated as follows:

Anc, Chin, K-p. Anc, Chin. K-p.

Div, I 6c IV Xin-mu * s - 4^ Xié-mu *z - t»/t, «4^

(chx-t<5u-yin)

Division II Shan-mu

(chï-shkng-yîn)

Division III Shën-mü *J -* s Ch^n-mu *3 -* s

(zhkng-chx-yîn)

Then the correspondence of Ancient Chân-mtl cannot be ex­ ceptional to the tendencies mentioned above. In fact, however, there are more than a few occurrences of the

Chân-mîl corresponding to the Kai-pfng [4^]. Therefore,

Chin-mu corresponds not only to the "strident group" but also to the "nonstrident group" in Kai-pfng,

The only reasonable explanation for this irregularity would be to assume a voiced retroflex fricative in An­ cient Chinese, in other words, to set up a voiced fricative initial in the chï-shkng-yxn group that would have occurred in Division II in the rime tables, and to which corre­ spond these "exceptional" voiceless lateral fricatives of

Kai-pfng, So far this retroflex initial has not been assumed, so that these "exceptional" lateral fricatives have to be regarded as Kai-pfng initials corresponding to the Ch^n-nm. 233 Now the following formula can be drawn for the corre­ spondences between Ancient chï-yîn and Kai-pfng initials;

Anc, Chin. K-p, Anc, Chin, K-p,

Div, I & IV Xin-mu *s -* Xi^-mu * z t'/t,

Div. II Shan-mu *s X-mu *z

Div, III Shën-mu "* s Chdn-mu *3 -♦ s

Examples of Ancient Ch^n-mu *5 that corresponds to

Kai-pfng [i^ include the following:

4r^in^-?ok^ (4" ) vit^-i^ol^ ( F/j )

■i^uk^ ( §/ )

Possible doubt may be aroused due to the fact that in the present assumption, the assumed voiced retroflex fricative merged with the descendant of Ancient Chân-n^, while in the above mentioned variations of QY the same initial is found in words whose initial merged later with

Chu^ng-mu, However, concerning this, see section 4,2,4,

4,2,3 The aspiration of voiced stops and affricates

Since the publication of Karlgren's reconstruction it has long been at issue among linguists whether the

Ancient Chinese voiced stops and affricates were aspi- 36 rated. To the present viewpoint, the problem is quite marginal and has very little theoretical interest. These voiced initials may or may not have been aspirated, or 234 the aspiration may have been "much weaker than" that of the Indian languages. The presence or absence of aspira­ tion in Ancient Chinese voiced stops and affricates does not have much to do with the study of Chinese phonology after the Ancient period, because these voiced stops and affricates occur --

1) in some modern dialects either all as voiceless aspirates, such as in Hakka and Lfn-chuan or voiced ones such as in the WiS dialects;

2) in some others, all as nonaspirates, either _ 37 voiceless such as in Tong-shSn (HiSbei), or voiced such 38 as in the Xiang dialects.

In other words, in the terminology of traditional phonology, the qu4n-zhu<5-yln group of initial consonants coalesced completely with the cl-qîng-yïn group in Hakka,

Lfn-chuan, or with the quân-qîng-yln group in Tông-shân:

Table 20

Qing-Zhu6 Distinction in Modern Dialects

^'■^''^^Dialects Hakka & Tông-shân Others

QÎng- zh u O \ ^ Lfn-chuân 6c pA-zhou (incl. Mand.) qu^n-qîng-yîn voiceless voiceless unaspirated voiceless unaspirated unaspirated qu^n-zhu<5-yîn voiceless voiceless cx-qing-yïn aspirated voiceless aspirated aspirated

Therefore, Karlgren is not quite fair in insisting on the aspiration of the Ancient initials of the qu6n-zhu6-yin 235 group, by only out the situation of coalescence of the qu4n-zhu6-ytn group with others in Mandarin dia­ lects and Hakka and neglecting the opposite case, namely the coalescence of this group with the qu^n-qîng-yïn group / _ 39 in Tông-shân and Fu-zhou. If as he insists, the change

*[ban] -* [] [p'an] is impossible and the change

*[ban] [p'an] is phonetically exceedingly improbable with Hakka dialects, why is the change *[b*an] -* [p'an] -»

[pan] not impossible and the change *[b'an] -* [pan] not phonetically exceedingly improbable with the Tông-shân dialect?

Now, if the aspiration is regarded merely as one of the concommitant features of the distinction between the initial consonants under consideration, then in either case, namely in the case of Hakka and of Tông-shân, one feature of the quân-zhu<5-yîn group has to be switched, and there could be no theoretical difference in the nature of the change between the case of Ancient to Hakka and of

Ancient to Tông-shân:

Ancient to Hakka

r-VOiC-i r-voicn |-(-voic)-| *p 1— tens-* -* p '--tens-' ”* p L -tens J

r+VOiC-| r(-VOic) *b [+voic] b'L+tens^ -» p ' *- +tens ] 1

r-VOiC-| r-VOiCn r(-VOic) *p*'-+tens-* p'L+tens-' -* p' L +tens ] 236

Ancient to T5ng-shân

|--voic-j p-voic-j4 « p(-voic)( 4 ^ ^ ^ *p L-tens-l p L-tens-l "• P L -tens

r + V O i C - i r(-voic) *b [+voic] “• b L-tens-l -* P L -tens ’]

r-VOiC-| r-voic-i r(-voic) *p 'L+tens-* - L+tens-* P' L +tens '] In both cases, the feature tenseness must be specified

with the value either plus or minus with respect to the voiced series of stops and affricates of Ancient Chinese.

Although in the distinctive feature system "aspiration”

is described in terms of a feature of single segments,

when these sounds are given in alphabetical notation, it

gives an illusion that aspiration is an additional segment

to the unaspirated sound, (One of the advantages of the

distinctive feature system is absence of this type of illu­

sion). If there is no such type of illusion, Karlgren

would probably not have declared the change *[ban] -*

[p'an] as "phonetically exceedingly improbable," because

his discussion is implicitly based on the understanding

of aspirated sounds as the homorganic unaspirated sounds

plus aspiration. If he did not have this type of implica­

tion, he would have thought about the following possible

process :

*ban -* b'an -* p'an

and would not have rejected the possibility of the change

*[ban] [p'an] so easily as he did. From now on, simply for convenience of presentation, 237

a set of voiced letters: b, d, dz, etc. will be used to

represent the Ancient Chinese voiced stop and affricate

initials. Let us emphasize in order to avoid unnecessary misunderstanding, that by the "unofficially abbreviated" alphabetical notation nothing is implied about the pre­

sence or absence (though irrelevant) of the aspiration

of these initials. These letters simply stand for the

segments with respect to which the feature tenseness has

not yet been specified.

4.2.4 The problems of voiced chï-yin

Looking at the irregular correspondents in modern

dialects, supported by certain historical evidence in the

fWn-qi& of YÎl-piân ( ) and Jlng-dian Shi- ^ *7î- ^ 40 wén / N ^ ; hereafter JDSW), Karlgren*s reconstruc- 41 tion of *d3 and *3 was recently keenly challenged.

One of the mysteries of the behavior of Ancient ini­

tials is the change of voiced initials of the chï-yîn

group. The bifurcation rule of Ancient voiced stops into

voiceless aspirated (if it co-occurred with the even-tone)

and unaspirated (with other tones) applied quite regular­

ly to other initials. Only the case of chï-yîn group con­

stitutes an exception to this general rule. It is said

that Chao has a paper especially dealing with this pro­

blem, which seems to have been read orally on some occa- 42 sion but which has never been published. Since then 238

this irregular change of voiced chi-yin has often been

quoted as an only exception to the said general rule.

There are even some who doubt the Ancient sound value of

these voiced initials under consideration, for this ex-

, ception has not been given any satisfactory explanation.

Pulleyblank, for example, reconstructs a fricative for 43 Shén-mu, and an affricate for Ch^n-ntu.

The main point of this problem is a consideration of

the overall simplicity of the description of the change

of sounds. The phonological system reflected in the fan-

qiè spelling of Yîi-piin and JDSW might have a voiced

initial so that Sh^n-mu and Ch^n-irifcf were not distinct 44 from each other, as was pointed out by Z. Zhou's study.

The voiced retroflex fricative might not be distinct from

the corresponding affricate in the phonological system

reflected in the fMn-qi& spelling of GY. Some dialectal

variants indirectly reflected in the Chinese transcrip­

tion of Sanskrit proper terms in the Chinese translation

of Buddhist classics, might have, as Pulleyblank thinks,

a fricative for what the d^ng-yîin-xué phenologists con­

sidered as an affricate, and an affricate for what they 45 considered as a fricative. However, all of these facts

do not necessarily justify the various attempts to re­

construct something else for the two initials under con­

sideration, i.e. other than a voiced affricate for Shén-

mb( and a voiced fricative for Ch^n-imi. This is because 239 the sound classes of initial consonants of chY-yTn in QY

are primarily the same as those given by the deng-yun-

xué phenologists, with only the further distinction of

chï-shàng-yîn group and zh&ng-chi-yin group and, in KMBQ-

III, an additional voiced retroflex fricative. The char­

acterization of sound value of these initials by the

d^ng-yùn-xuë phenologists will turn out to be the simplest

solution, given the following discussion. The important

points are --

1) There is no simpler substitute of reconstruction

of Ancient initials under consideration which is differ­

ent from that suggested by the characterization given by

the dWng-y&n-xuë phenologists;

2) Consequently, the irregularity of the change of

the Ancient initials under consideration should be better

explained not by reconstructing something different, but

by assuming a later factor which affected the peculiar

change of these initials.

For convenience's sake, point 2) will be discussed

first, and by clarifying the mystery, the simplicity of

the solution suggested by the dëng-yîin-xué phenologists may be justified.

The key-point of the problem of irregular change

of these initials under consideration is the fact that we find irregularity with those Mandarin initials origi­ nated from the chï-yin initials only, not from the shë- 240 shang-yîn group though in modem Mandarin they coalesced with those from the ch%-shkng-yin and the zhèng-ch'i-yîn groups, such as --

Table 21

Voiced Chx-yln in Mandarin Ancient Finals ZhI ( ± ) ZhI ( ± ) ZhI ( 8 ^ ) Qing ( 5 # )

Rising- Departing- Departing- Entering- Initia ls\. tone tone tone tone

Chéng dxa - tsi^ dÏ0 tsi^ ^xeï -* tsi^ dïgc -* tsi e è

V 4 Chu^ng *d2|^ dzxa si dzxa

Shén *d3 dSxgx gi^ dSxÇc -* si^

m

Ch6n * 5 5x3 - s4^ 3xeï - gi^ 3xgc — si^

. ,

The above fact is by no means missed by our prede­ cessors; such description as "a confusion of Anc. d3' and

3 into a system which for both presented an aspirated affricate or a fricative in even tone, a fricative in 46 oblique tones" is a clear account of what happened as a whole to these initials. However, it is by no means sufficient as a linguistic description of a change of the phonological system of Chinese from Ancient to modern time, in the sense that without a consideration of the 241 order of change it does not explain what exactly happened in what order and why the given result. With the con­ sideration of order, new light may be shed on the problem.

First, the fact that the same irregularity is not found with those initials originated from the shë-shkng- yin group suggests that the irregular change must have occurred before the merger of shé-shkng-yln (Ancient re­ troflex stops) on the one hand and chi-sh^ng-yln (Ancient retroflex sibilants) and zh^ng-chY-yin (Ancient palatal sibilants) on the other.

Next, in order to be sure about the exact situation, a table will be given showing how these exceptional corre­

spondences occur and how many of the Ancient initials under consideration correspond to what kind of Mandarin

initials. Among the characters listed in the Questionnaire

for the Investigation of Dialectal Pronunciation of Chinese

Characters those with the initials under consideration

correspond to Mandarin initials as follows (the numerals

indicate the number of correspondence of the kind):

Initial Xië: ts' (even-tone) 4

s (even-tone) 12

s (oblique tone) 29

Initial Chu^ng: tg' (even) 9

ts' (even) 1

tg (oblique) 10

ts' (oblique) 1 242

s (oblique) 5

Initial Shén; tg (even) 3

g (even) 3

g (oblique) 13

Initial Ch4n; t^' (even) 19

tg (oblique) 2

g (even) 10 48 g (oblique) 48

Now the simplest way to explain this correspondence will be to assume two different layers of origin for

Mandarin; in layer one (a variant of Ancient Chinese) all

the Ancient voiced fricatives under consideration coa­

lesced with the corresponding voiced affricate, and after

that these initials underwent the surdization rule as

shown in Table 22. 243

Table 22

Changes of Voiced Chï-yîn in Mandarin

Initials Layer one Layer two

.a Cdng *dz- ts*- (even-tone ts'- (even-tone)

ts- (oblique)^ ts- (oblique)^

Xié *z- ts'- (even-tone) 4 > s- (even-tone) 12 (ts- oblique) 0 s- (oblique) 29

Chudng ts'-/ts'- (even-tone) (g-/s- even-tone) 0 m 9/1 tg/ts- (oblique) 10/1 g-/s- (oblique) 5(/0)i^

(Si *zj-) (ts-/ts*- even-tone)A (g-/s- even-tone) (tg-/ts- oblique) ilr M g-/s- oblique (0/) 1

Shén *d3- tg'- (even-tone) 3 g- (even-tone) 3

(tg- oblique) 0 g- (oblique) 13 ^

Chëtn *3- tg'- (even-tone) 19 > g- (even-tone) 10 tg- (oblique) 2 1 g- (oblique) 48

*ToCal no. of correspondences in both layers is 35.

^Total no. of correspondences in both layers is 38. 244 The arrows given in Table 22 show the direction of coa­

lescence. It may be that the absence of Mandarin corre­

spondents, indicated by the brackets in the same table, merely means accidental gaps. However, it could also be nonaccidental that usually more examples of correspondents are found with the even-tone than with the oblique tones in layer one, whereas in layer two there are always many more examples with the oblique tones. If this situation

is not accidental, it can be assumed that in layer one, among the voiced fricative initials of Ancient Chinese under consideration, only those with the even-tone coa­

lesced with the respective affricates. Consequently,

some of the Mandarin fricatives given as the correspondent of layer two may be those of layer one, as follows:

Cdng *dz -* dz -* ts ' if: even- tone

^ ts otherwise

Xié *z

Chuitng *d2^ -* d ^ -+ tg ' if: even- tone tg '

^ tg otherwise y tg

si Shén *dS -► d3 -► tf' if: even-tone \ / tj" otherwise Ch6n *3

In layer two, only the voiced nondiffuse, nongrave affricate initials of Ancient Chinese coalesced with the 245 respective fricative initials, and after that they under­ went the surdization rule as follows:

f ts' if: even-tone Cdng *dz -» I ts otherwise

Xid * z -* s (both even- and oblique tones)

Chudng *d%l si JV -* z -► s (both even- and oblique tones) - g Shdn *d3| f -* 3 -► I (both even- and oblique tones) j Chdn *3 J The list of correspondence of the initials under con­ sideration given above can be re-arranged as follows, according to the assumption of the two underlying layers of Mandarin:

ts ' if : even f ts otherwise Xié *z -* z if: oblique -* s

" tg ' if: even__ Chudng *dz|^ -* dz^ / tg otherwise sl *2^ \ If : oblique — g (oblique)

'tj*' if: even_ Shdn *d3 -* d3 -* ^ tJ otherwise

Chdn *3 -* 3 If: oblique - f (oblique)

This alternative is not preferred because there is no clear evidence of the existence of such a dialect, modem or foreign, of Chinese. 246

The above is a pure theoretical construct or assump­ tion, which is necessary for explaining the irregularity of the correspondents of initials under consideration.

What is striking is that the theoretical construct is almost the same as the variant of Chinese reflected in the Tibetan transcription, where Chëng-mu is apparently transcribed with a Tibetan character denoting an affri­ cate, while Chuing-n^ and Shén-rau are transcribed with a

Tibetan character exactly the same as that used to tran­ scribe the sound of a fricative initial. The latter fact is confirmed by the fact that in these Tibetan transcrip­ tions the distinction voiced versus voiceless was lost in the case of fricative initials (all the Ancient voiced fricatives emerged as voiceless), but not in the case of affricates. And Chëng-mu is transcribed by a voiced symbol, whereas both Chu^ng-md and Shén-md are transcribed by a voiceless symbol.

The loss of the feature interruptedness of Ancient voiced affricate initials is very common among the Wu dialects. In the -dong dialect, for example, even Chéng- mu, which originates from a chx-shang-yin, turns out to 49 be a fricative. This clearly shows a different order of change from that in Mandarin and the variant of Chinese reflected in the Tibetan transcription.

On the other hand, the dialects which underwent the same change as layer one, namely those dialects where 247

Ancient voiced fricatives emerged as the respective affricates, are not very many; but in Cantonese all the descendants of Xië-mu are affricates, though those of

Chân-mu appear to be all fricatives.

Now if the above holds, a clearcut answer has been given to point 2) mentioned above; therefore what the deng-yùn-xuë phenologists reconstructed implicitly still holds, and there is no strong justification for deviation from the direction.

4,2,5 Retroflexes and palatals

The problems of distinction between retroflexes and palatals and of how to describe the contrast, could be an issue with deep theoretical implications. In one sense this could be a real test for the effectiveness or scope of a chosen framework for phonological description. The 50 challenge by C, Lu6 has direct concern with the scope of phonological framework, although it is restricted to the discussion of reconstruction,

4,2,5,1 The distinction between chi-shàng-yïn and zhèng-chx-yîn

The d&ng-yùn-xuë phonolegists are usually blamed for their apparent failure in distinguishing the palatal series of initial consonants (i,e, the zh^ng-chi-yin sub­ group of the chY-yin initial consonant group of Ancient

Chinese) from the retroflex series (i,e, chï-shàng-yîn 248 51 subgroup of uhe chi-yin group). It is often thought that this "failure" stems from the deng-yùn-xué phenol­ ogists' blind adherence to the Tibetan alphabet, which does not have a set of genuine symbols for retroflex 52 consonants. The merger of these two sets of initial consonants in old Chinese is regarded as a very recent 53 change, i.e. at the earliest, in the 15th century, or 54 even after the beginning of the Qing dynasty. Even yln-tdng Zh&o's reconstruction of retroflex initials of 55 ZYYY is attacked for its "adherence " to deng-yùn-xué tradition.

However, this blame is nothing but the expression of poor understanding of the deng-yùn-xué phenologists' tactics for the description of the consonantal system of old Chinese. In the distinctive feature system, retro­ flexes and palatals are characterized as [+flat] and 56 [-flat], or [-shar] and [+shar] respectively, both distinguished from other initials as nondiffuse, nongrave

segments. This is primarily what the Chinese phenologists

of the deng-yùn-xué tradition since the Song dynasty aimed

at. Although they have only one set of characters represents

ing a set of initial consonants for both retroflexes and

palatals (namely both *tg and *tj are represented by the

same character), they never failed to distinguish retro­

flexes from palatals. As phonologically distinct initials,

they set up five nondiffuse, nongrave initial consonants. 249

Zhao, Chuân, Chu^ng, ShSn and Ch^n (which are supposed to be voiceless unaspirated, and aspirated affricates; voiced affricate; voiceless and voiced fricatives respectively), and distinguished the retroflexes and palatals in terms of the notion of Divisions; namely they arranged the retroflex series always in the second Division and the palatal series in the third Division, just as we subdivide

the nondiffuse, nongrave segments into two subgroups and characterize them as [+flat] or [-shar] (corresponding

to those zh&ng-chi-yin in their broader sense which are arranged in the second Division) and [-flat] or [+shar]

(those arranged in the third Division). In other words,

they ascribed this distinction flat versus nonflat or

nonsharp versus sharp to the finals following these

initials, very probably as a feature of the medial seg­ ment of the syllable.

This distinction is one of the most consistent through­

out all the rime tables of the d^ng-yîin-xué tradition from

the sbng through the Qing dynasties. No one will nowadays

doubt that the mediaIs of the finals arranged in the

second Division are, if any, nonpalatalized and those

arranged in the third Division are palatalized. It can

thus be easily understood that the deng-y^n-xuë phenolo­

gists "specified" the feature [+flat] or [-shar] of the

retroflex series as a feature of the medial following the

initial, arranging the syllable in the second Division of 250 a rime table; and the feature [-flat] or [+shar] of the palatal series as a feature of the medial following the initial, arranging the syllable in the third Division,

Thus, although there is a slight discrepancy between the analysis of retroflexes and palatals given here and that of the traditional phenologists, the latter analysis should be highly valued. Obviously the grammatical theory of Ancient India underlies this d^g-yîin-xué analysis.

Nevertheless, it should not be neglected that with this treatment of retroflex and palatal (or "nonpalatalized" palatal and "palatalized" palatal in the present treat­ ment), the deng-yiin-xué phono legists succeeded in giving a highly consistent and simple characterization of the old Chinese sounds and syllables,

4,2,5,2 The reconstruction of shé-shàng-yîn

In the controversy over the sound value of shé-shàng- 57 yin initials, Karlgren*s answer is based mainly on evidence from the Chinese side, and in the discussion he is more logical than his challengers, Karlgren*s points are ——

1) Although these initials occur in both the second and the third Divisions of the rime tables, the great majority occur in the third Division;

2) The same set of upper fan-qie characters is used for the fan-qiè spelling of the characters with Division 251 II and Division III Finals (chough there are some ex­ ceptional cases in the fan-qiè spelling of KMBQ-III),

Apparently Karlgren is right in that his discussion is based on the most reliable material (fan-qiè spelling) whereas C. Lu6's challenge is based on the transcription 38 of Sanskrit sounds. What annoyed these scholars is the apparent contradiction of the from two dif­ ferent sources: namely according to the evidence of fan- qiè spelling, even the initials of Division II should be

"palatals," whereas looking at the transcription of San­ skrit sounds, even the initials of Division III should be retroflexes. It is a pity that Karlgren had to say:

"the initials Kof Division II3 probably -- were less 59 frankly palatal Kthan those of Division III]. When the point at issue is whether the given sounds are pala­ tal or retroflex (in terms of traditional phonetics), it is off the mark to say something like "less frankly" such and such or "slightly" such and such.

The distinctive feature analysis gives to this issue a most elegant solution. What is phonologically spelled by the set of upper fan-qiè characters for shé-shàng-yîn ini­ tials is the feature complex nondiffuse, nongrave, leaving aside the specification of the feature sharpness or flat­ ness of these initials ; whereas the other set of upper fan- qiè characters for shé-téu-yîn (those of Division I and IV) stands for the feature complex diffuse, nongrave. That is. 252 shé-shkng-yïn initials stand for palatal with the feature sharpness or flatness as yet unspecified.

The feature sharpness or flatness was predictable in

terms of the finals following them, even if there was an actual phonetic distinction sharp versus plain or flat versus plain between those sh6-shkng-yin occurring in the

second Division and those occurring in the third Divi­

sion, In other words, the speller of fan-qiè or the com­

piler of rime tables gave the most effective description,

effective in the sense that the spelling or description

did not include any redundant information with respect to

the distinction between palatals and retroflexes on the

one hand and other consonants on the other. Therefore,

nothing is myterious that the compiler of rime dictiona­

ries used the same set of fèh-qiè upper characters for

syllables of both Division II and Division III, Also it

is a reasonable approximation that transcribers used

Chinese characters with nondiffuse, nongrave initials in

order to transcribe the Sanskrit retroflexes. Even if

there was a systematic difference of "palatalized"

(sharp) versus "nonpalatalized" (plain) palatals between

Chinese sounds and Sanskrit sounds, it is a matter of

switching just one feature, either sharpness or flatness.

Hereafter, these nondiffuse, nongrave stops will be

represented by a set of IPA symbols for retroflexes, fol­

lowing the conventional notation. It must be emphasized 253 that by these symbols nothing is implied about the fea­ ture sharpness or flatness unless something is stated explicitly about these features.

Incidentally, Pulleyblank is not quite right in saying that Karlgren does not represent C. Lud's view correctly by saying that the latter proposed to recon­ struct retroflex stops in Division II and palatal stops 60 in Division III, because it is obvious that the latter held this view if one reads any of his writings published later than the paper under consideration.

4.2.6 Rx-mu (palatal nasal) and Nidng-mu (palatalized dental nasal)

The problems of the Rx-mil, by Karlgren, and the

Nidng-mu, *n,by Karlgren, are closely related to each ^ 61 other. As pointed out by Chao, there is no minimal contrast between Ni-mu, by Karlgren, and Nidng-mu by Karlgren. There could not be any phonological contrast 62 between the two, because, as clarified by C, Lu6, the materials of the Chinese transcription of the Sanskrit alphabet clearly show that the Rx-mÜ was simply a palatal, strictly speaking, a "palatalized palatal" (sharp palatal) nasal, and so Nidng-mü could only be a palatalized dental or alveolar [i^] (sharp dental or alveolar) or at most a nonsharp palatal [ijJ. Consequently, judging from the fact that Ancient Chinese dentals or alveolars were not con­ trasted by the feature sharpness, it is natural that there 254 was no contrast between the plain dental or alveolar nasal and the above assumed palatalized dental or alveolar

nasal. This concerns the problem of generality of phono­

logical redundancy rule. The feature sharpness is redun­ dant (or predictable) with respect to nongrave, diffuse

segments. If there is any distinction between the above mentioned plain dental or alveolar nasal and the pala­

talized dental or alveolar nasal, the redundancy rule which predicts the feature sharpness of nongrave, diffuse

segments will be far less general. As will be discussed

later, a phonological rule tends to be as general as possible. During the process of sound change from Ar­ chaic Chinese through Ancient Chinese, the rule in ques­ tion has already become maximally general. Consequently, there "could" not be any phonological contrast between the plain and the palatalized dental or alveolar nasal

in question.

In the treatment of Niàng-mü, Karlgren seems to adhere too much to the scheme of the deng-ybn-xué phenol­ ogists, because apparently only for the reason that they did not set up two distinct zi-mu, he did not set up two

laterals, *1 and If this is not his motivation, it is incomprehensible why in the case of Lài-mu (a lateral

*1 by Karlgren) he neglected the distinct usage of the upper fan-qi& characters for the lateral initial with finals of Division I, II and IV (plain *1), and for the 255

Lateral initial with finals of Division 111 ("yodized *1"), whereas in the case of the Nf-mu and the Ni^ng-mu he recog­ nized the distinction.

Then how about the deng-yîin-xué phenologists' scheme of setting up two distinct initials, the Nf-mu and the

Niâng-muî In the variant of Chinese transcribed in the hP'ags-pa script, although there is some irregular use of the two different characters for dental and palatal nasals

(palatal is transcribed by the character for dental):

"n" for the descendants of Ancient Chinese Zhen )

01V even-tone (but "ji" for the same final with the enter­ ing-tone), and Xian ) CIV departing-tone; the two nasals are definitely distinctive:

1) jiug even-tone: , etc.

nug even-tone: , etc, (^ )

2) pul departing-tone: (jL_CIIl)

nul departing-tone: ( ^^ )

3) pi even-tone: , etc, (/|^ 01V)

rising-tone: ^/f\ , etc. ()]q OIV, ^ OIV, )

departing-tone: (/la OIV) entering-tone: 0, OIV)

ni even-tone: (’]^ O)

rising-tone: ('j^0)

departing-tone: O)

entering-tone; ("^ 0)

gi even-tone: ^ , etc. ( j^OIII, 0) 256

rising-tone; etc, ^ ,f^JCo)

departing-tone: , etc. (j^OIlI, , ^tX.0, 4"^ C)

entering-tone: igi_ , etc. (J^O, /f:\ 0, 0111)

4) pern even-tone: ^(2 , etc. ( lillV)

nem even-tone: ^iz, etc.

gem even-tone: etc. (/0L)

In the above examples, although "jiug" and "jiul" could also be interpreted as "nug" ((nuag)) and "nüï" ((nUai)) respectively, the rest could not be treated in the same way. Therefore, although the rime tables might primarily be for the interpretation of the phonological system of the variants of Chinese reflected in rime dictionaries such as QY, GY, etc., the authors of these rime tables would have needed two distinct initials, dental and palatal, if they had based themselves on the language of the period and made these tables. However, this is certainly not the case of Ancient Chinese nasals.

4.2.7 Glottal stops

The glottal stop initial was reconstructed primarily

in order to explain the behavior of tone split which occurred with the tone of the syllables with this initial.

Maspéro-Karlgren's immediate motivation of reconstructing a glottal stop consists in an attempt to be consistent 63 with the treatment of d^ng-y6n-xuë phenologists. How­

ever, the d^ng-yîin-xué treatment of this initial itself 257 is motivated by the behavior of tone carried by the sylla­ bles with this initial.

If this is the only motivation, there is no compel­ ling necessity of setting up a glottal stop for the ini­ tial. Suppose the tonal split is explained as follows; if the initial "consonant" or "semiconsonant," not "vowel," is voiced, then the tone carried by the syllable goes to the y^ng group, and if the initial consonant is voiceless or if the initial segment is a vowel, then the tone goes to the yxn group; then the lack of initial "consonant" can be assumed for the Ying-mu, and some other glide for the Yu-mu. This does not bring about any difficulty in explaining the tonal split.

However, the above is not the main point involved.

The problem is: all the finals preceded by the Ying-mu behave, in the process of later change, as if they were preceded by some kind of nondiffuse, grave consonant.

This is exactly the motivation of the d^ng-yhn-xué phenologists' treatment. From the present point of view, it is interesting to note that the alternative solution suggested above can be formulated only at the cost of a very expensive rule:

j-+cons -1 L+voicJ ‘[-high] if: [ ] - r-cons-l L-VOicJ /

[+high] otherwise 258

[+highj if : -cons -+voic-

[-hlgh] otherwise because vowels and voiceless consonants have to be singled out together in contrast to voiced consonants and

"semi-consonantsThis kind of rule is not only expen­ sive, but also counter-intuitive. Also, the solution is possible at the expense of losing a simple regular con­ dition for the change of finals usually conditioned by the occurrence of a preceding nondiffuse, grave segment,

4,2,8 Guttural fricatives ^ ^ 64 65 We follow Yi-Qïng G ê and Chao and interpret the initial consonant identified as the Yu-mi of Division III by the deng-ybn-xué phonolegists as the descendants of the Ancient voiced velar fricative which was followed by

Ancient Division III Finals, Single Division Ill/lV Finals, or the Division III counterpart of Paired Division Ill/IV

Finals, As for the initial identified as the Y^-mu of

Division IV by the d^ng-yîin-xué phonologists, we follow

Y, Gé and Chao and simply regard it as the descendant of Ancient zero initial.

To our understanding of the acoustic and phonologi­ cal nature of speech sounds, it makes a great difference if one reconstructs glottal fricatives instead of Karl- 259 gren's velar fricatives for Xiao-mu and Xi^-mu. There is no justification for rejecting Karlgren's velars. Glot­

tal fricatives found in the southern Chinese dialects as the descendants of the Ancient initials under considera­

tion, behave much more like consonants (as reflected in

such phonological rule as ((h)) + ((u)) -» [f] in Cantonese) 66 rather than glides.

4.2.9 Conclusion: Table of Ancient Chinese initials

As a result of the above discussion, the following

45 initial consonants to be given in alphabetical nota­

tion can be reconstructed. Attention should be drawn

again to the point that some of these letters do not

represent all the features indivisibly associated with

them in traditional phonetics.

Table 23

Ancient Chinese Initials

Zi-mu Our Reconstruction KarIgren * s Recons truet ion

P Bang P 1 PJ

P* Pang P* f y b Bing 3Ë- b* bj

m m Ming a M m j 260

Duân % t t T&u i l . t« t* Ding d d* ' f L

Nf -'/L n n W l 1 1

Jing ts ts

QÏng % ts ' ts ' C6ng dz dz ’

Xïn s s

Xié i f z z

Zhl ' r - f l t % Ch& f yG' Chéng :-Sr 4, 4>' Ri |3 f 9»

^1" Zhuang tg Chu tg* tf«

Chu^ng d2L'

Shin ll-l ! g Sx 261

0g Z h k o / \ tj tf Chuân $ 4 ' Shén d3 d5' Shen |ô J f Ch^n g; 5 3

k Jl&n 1 k 0 k' Qî k' 4 kj' g Qun g* 4 ë 3

9 Y£ 9 9J

2 YÏng 2 2j X Xiao X Xj

X x â ' â L ■Y Y

Y k 0 0(j) 262

4.3 Problems of reconstruction of Ancient Chinese finals

Contrary to the reconstruction of Ancient Chinese

initials, we have to depart drastically from Karlgren's system in reconstructing Ancient Chinese finals. The departure stems mainly from the different understanding of the number and nature of the universally recognized phonological distinctions of speech segments in natural

languages.

4.3.1 Consonant endings in Ancient Chinese®7

In the history of the study of Ancient Chinese phonology, the problem of positioning the Jiang ) rime in the phonological system and reconstructing its actual sound value has always remained controversial. In the 68 69 system reconstructed by KarIgren and revised by Chao, the Jiang rime is an isolated final that contains a rounded higher-low back vowel *o(or by Karlgren's notation). In order to reduce the number of main vowels of Ancient Chinese to six, S. £. Martin had to identify

the main vowel of the Jiang rime with that of the 70 Qîng (>|^i ) rime. Fumio Kusakabe simply failed to set up distinction between the Jiang ) rime and the Geng 71 ^ ) rime. Forrest's solution^of assigning a (pro­ bably descending) diphthong *au, though fascinating at that time in comparison with his predecessors' reconstruc­ tion, led to Mineya's proposal of assuming a series of 263

(probably descending) diphthongs for the finals of the

Tong rime group and the Jiang (✓i- ) rime in order to avoid setting up an isolated combination of a low vowel 73 and *u before a consonantal ending, Pulleyblank expands the idea of assuming descending diphthongs before con- sonantal endings to the Geng rime, the Xiân ) rime and the Shan ( J4 ) rime. Although it is not very difficult to find modern Chinese dialects or "foreign dialects" with descending diphthongs occurring before a 75 consonantal ending, most of the historical evidence as well as modern correspondents of the Ancient Chinese

finals under consideration do not suggest the possibility of having had any diphthong before a consonantal ending

in Ancient Chinese,

One possibility of avoiding the reconstruction of a set of descending diphthongs occurring before a conso­ nantal ending is --

1 ) to regard the actual distinction found in the

spoken language of the time of QY as existing only be­

tween those finals later forming the Dang-JiSng rime group and the Zeng rime group ;

2) and to regard those Ancient finals later forming

the Geng rime group as the result of reconstructing an

older Chinese system by the compiler of QY (or by the participants of the discussion at F, Lu's house).

In support of this interpretation, there are two 264 different types of modem dialects. One is represented by the Mandarin dialects, where the correspondents of the

Ancient Geng rime group coalesced mainly with those of

the Zeng rime group. This is also the situation in the variant of Chinese transcribed in Tibetan and, when these

finals carried a tone other than the entering-tone, in hP'ags-pa script. The other is the type of dialects where the descendants of the Ancient Geng rime group coalesced not with those of the Ancient Zeng rime group but with those of the. Ancient Dang-Jiang rime group,

A typical case is the colloquial layer of the Moi-yan 76 (Méi-xian) dialect of Hakka.

Cantonese presents a more interesting case in this

respect. The distinction of the so-called "long ((a))" and "short ((a))" is one of the most basic distinctions among Cantonese vowels. However, the correspondents of

the Ancient Geng and Zeng rime groups in Cantonese show

great irregularity. One can find both the long ((a))

and the short ((a)) in the descendants of these two rime

groups. The important point is; the colloquial pronun­

ciation of words of the G^ng rime group gives in general

a long ((a)), whereas in the case of the Zing rime group, not only the literary layer but also the colloquial

layer carry the short ((a)) pronunciation in most cases.

This clearly suggests that originally in Cantonese, the 265

Geng rime group coalesced with the Dang-Jiang and not the Zeng rime group.

Now, some of the finals of the Ancient Geng rime group are from the Archaic correspondents of the Ancient

Dkng rime group and others are from those of the Ancient

Zeng rime group. Then, why do we not assume the same situation at the time of the compilation of QY? Namely, at the beginning of the 7th century, some dialects had the same system as that found in the modern Mandarin dialects, and others had the same system as that found in the colloquial layer of m o d e m Hakka or Cantonese. In order to establish a norm for the riming system, the only fair and reasonable solution was to reconstruct the Geng rime group as a separate group of finals; whereas what really existed as distinctive in the actual dialects of the time were either the Dang-Jiang rime group (including also those nowadays called the Geng rime group) and the

Zing rime group (as in the case of the colloquial layyr of Hakka), or the Zing rime group (including also those nowadays called the Geng rime group) and the Dàng-Jiang rime group.

The attempt to decide which rime groups are histori­ cal reconstructions in QY, however, is beyond the goal of the present study. The goal here is the reconstruc­ tion of the phonological system reflected in the sound classes of QY, not that of any individual dialect which 266 may have existed at the beginning of the 7th century.

Now, returning to the original point of discussion, all of the studies mentioned above presupposed an old idea of Karlgren that Ancient Chinese had only three consonan- 77 tal endings, *m, *n and and were thus forced to seek the distinction among rimes in various combinations of vowels or semi-vowels available, in order particularly to place the Jiang 0 ^ ) rime in a reasonable position in the final system.

4.3.1.1 The hypothesis of a palatal ending

A very symmetrical relationship can be found between the finals with the labial ending and the dental (or alveolar) ending (namely diffuse endings). With Division

I Finals, the labial ending group includes the Tân (w^/'L) and the T^n ('Iji ) rimes, the dental ending group the H^n

C ^ ' ) and the Hén-Hdn ( Vfi_7v^) rimes. With Division II

Finals the former group includes the Xidn (i-JT) and the

Xidn ( > ^ ) rimes, whereas the latter group contains the

Shin (-^Dl'J ) and the Shin ( ili ) rimes. With Division III

Finals, the former includes the Yin-Fin ( y | ^ ^ ) rimes, the latter the Yuin-Yxn-Wén ( )^) rimes. The Yin

( ^ ) and the Qin ( 1'^) rimes of the former group corre­ sponds to the Xian ('ilii ) and the Zhen (-^^ _^ ) rimes of the latter group. The Division IV Final of the former group, the Tiin ( ^ ^ ) rime, corresponds to the Division IV 267 Final of the latter group, the Xian (f U ) rime. These

interrelationships of the finals ending with labial nasals and those ending with dental nasals are tabulated in Table

24, with the information on the traditional phonological

treatment of these finals showing their location in the

rime tables of the Sbng-Yu^n dynasties in the leftmost

CO lumn :

Table 24

Finals with Labial or Dental Ending

(Diffuse Ending)

Labial Ending Group Dental Ending Group

Div. I T^n ( 1 ^ 0 Tân ( f ) Hin (4^L) 0 Hën T Finals Hin (%K) C Hun (%/2s)

Div. II Xi&n (fSf) Xi&n Shan ) 0 Shin ( iIa ) 0

Finals Shan (#'J) C Shin ( lI) ) C

Div. Ill Y4n Yuân ( ^ ) 0 Yin (%%l)

Finals F^n ( A , ) Yuân i ÿ i i ) C Wén ( S C )

Paired Y4n ( ) Xian (XJk) 0 Zhen

Div.Ill/ Zhin ) 0

IV Finals Xian (iJj) C Zhen ( i l ) C

Div. IV Tiân (/^) Xian ("^ ) 0

Finals Xian ( ) C

Now, comparing the finals which were assigned the 268 velar ending (nondiffuse ending) by Karlgren, with the above tabulated groups of finals with the labial or the dental ending, one finds the former comprising almost twice as many finals as either the labial ending or the dental ending group.

Table 25

Finals with Velar Ending (Nondiffuse Ending)

T^ng 0 Dong I Div. I (;#) (T) (#_) Finals Tâng C

(/&) ' Jiang Geng Oil Gëng 0 Div. II (;Z_) ) ($%') Finals Geng ClI Gëng C ( y ^ ) (#) Geng G U I Div. Ill

Finals Geng c m

Single Yâng 0 Zheng 0 Dong III (T%) ( ^ ) Div. Ill/ Y i n s 0 Zheng C IV Finals (%) (&)

Div. IV

Finals ^^ng^C

There are two ways of characterizing the distinction of finals of the velar group; namely either to assume a few more vowels for this group than those set up for the 269 finals with the labial or the dental ending, or to assume two contrastive endings for the group. The first choice led to Karlgren's setting up of ten vowels for the ending group, namely : * 3 , *a, *a, *ji, *æ, *e, * 0 and *u; the first vowel being the one with which the pre­ sent discussion began. Few linguists have ever pursued 78 the latter solution.

Since all the other finals of Ancient Chinese can be contrasted in terms of eight main vowels with the help of three medial glides - 1 -, -u- and -ÿ-, and two con­ sonantal endings *m and *n, it is difficult to believe that it takes ten mutually contrastive vowel segments to constitute the distinction of the finals with the velar nasal ending as shown in Table 26, 270 Table 26

Karlgren's Reconstruction of Velar Ending Rimes

Rime Ancient Final Karlgren's

Group (simplified) Reconstruction

T^ng (/% ) *ai) Dang-Jiing Yâng ( P%) *iag

Jiang *3 g

Ding ( %_ ) *3 g Zeng Zheng (ll'h) *Ï3g

Gëng (7yl ) *(ï)eg Geng ( ) G^ng Qing ( )

Qing ( ^ ) *ieg

Ding ( ) *(ï)ug

Tong Ding ( *uog

Zhing (.2^) *ïwog

Concerning the Jiang (--^) rime, the following in­ formation shows the various aspects of the change of the final from Archaic to modern Chinese:

1) The Jiang ) rime corresponds to the "yâng- shing" counterpart of the Archaic H6u ) and You (lAMV) 79 rime categories. This means that the correspondents 271 in Archaic Chinese are supposed to have had a rounded 80 back high or lower-high main vowel,

2) In the mannyoogana reading, the main vowels of the Jiang rime are transcribed as Archaic Japanese

((o)) or ((b)).

3) The Go-on reading of Chinese characters is "ou," while the Kan-on reading is "au,"

4) In those poems written at the beginning of the

South-North dynasties (396-588), the characters of the

Jiang (CZZl) rime were occasionally rimed with those of

the Division I Finals of the Tong rime group, while in

those written at the end of the dynasties, they were 81 rimed with those of the rimes of the Dkng rime group.

This incidentally corresponds exactly to the different

of the Jiang (-^) rime characters in Go-on and

Kan-on,

5) In various rime dictionaries originated from QY,

the Jiang (-^ ) rime is located together with the rimes

of the Tong rime group, apart from the rimes of the okng 82 rime group. However, in only one known variant of QY,

the Jiang ('^ ) rime is arranged in a position preceded

by the rimes of the Tong rime group but followed immediate­

ly by the rimes of the D^ng rime group,

6 ) In the Yf-qi^ Jxng YÏn-yl ( ^ ; here­

after YQJYY) by Hux-lfn, although the Jiang ( :^ ) rime

is separated from the rimes of the oàng rime group, the 272 upper fan-qi^ characters attached to the characters of

this rime are assumed to have had finals containing the 83 vowel *a,

7) In the rime tables of the Sbng-Yuân dynasties, the Jiang ( ) rime is located in the second Division, and the table for this rime is defined as of the "outer"

series, not the "inner" series,

8) In Middle Chinese and Old Mandarin, the Jiang

rime coalesced with the rimes of the Dkng rime 84 group, and the velar and guttural initials followed by this rime were palatalized, as now found in modern Man- 85 darin.

9) In the modern dialects of Chinese, the Jiang (: J- ) rime coalesced exclusively with the rimes of the Dàng rime group.

All of the above observations strongly support the suggestion made more than twenty years ago by Chao that the main vowel of the Jiang ( " ^ ) rime may be regarded 86 as a member of the "/a/-phoneme." However, the problem

is that if this suggestion is accepted, it is difficult to maintain contrast between the Jiang ) rime and the

Gëng ) rime. Various linguists' reconstruction of

the finals with the velar nasal ending given below shows

their struggle with this difficulty. 273 Table 27

Alternative Reconstructions of Velar Ending Rimes

Rime Anc. Finals Martin Mineya Pulleyblank Group (simplified)

Ting (/^ ) Dkng- (l)ag (i)ag (I)ag Ying ( Jiang Jiang (:J-) EI) aug aug

Deng ( ' ^ ) ZSng (i)ag (i)sg (1 ) 3 9 Zheng ( ^ )

Gëng ( / ^ ) (i)ag (i)ag (%)ag

Geng ( ) ei) •fei) aag Geng V Qing ( 'Jp\ ) ieg ieg leg

Qing ( ^ ) ierj ei} eg

Dong ( ^ ) (i)*g (i)Aug (i)ug Tong Dong ( ^ ) (i)u*i) (i)auij (%)og ZhSng ( # ^ )

Now if for Ancient Chinese two distinct back endings are posited, a palatal ending and a velar ending

(namely two nondiffuse nasal endings distinguished from the diffuse nasals *m and *n), all of these problems can easily be solved. Furthermore, there is additional strong evidence to support this assumption.

Before we proceed to the evidence, one point should 274

be especially emphasized here. That is, there is de­

finitely no counter-evidence for assuming these two back

(nondiffuse) endings in Ancient Chinese. The Mandarin

ending ((n)) corresponds to ((n)) and ((m)) in various modern dialects of Chinese and in the loan words into non-

Chinese languages, which maintain phonological distinction

between these two endings. It is on the basis of such

evidence that two Ancient front (diffuse) endings *n and

*m are reconstructed. Then why do we not reconstruct two

contrastive Ancient back endings, which correspond to [%)]

in Mandarin, Cantonese, etc., since the same type of corre­

spondence as Mandarin ((n)) versus Cantonese ((n)) and

((m)) is found between Mandarin and several variants of

old Chinese transcribed or borrowed into various languages,

or between Mandarin and some modern dialects of Chinese?

For some reason, no other back ending except has hither­

to been posited in Ancient Chinese.

4.3.1.2 Ancient back consonant endings in Sino- Vietnamese

The clearest evidence for the proposed two back

consonant endings can be found in Sino-Vietnamese, which

has been assumed to be the loan-pronunciation of the

Chinese characters based on the Ch^ng-an dialect of the 87 Ting dynasty. 88 As is well-known in Sino-Vietnamese, the Ancient

Division I or II Finals of the Geng rime group on the one 275 hand and of the Dang-JiSng rime group on the other, share

the same vowel, and the distinction between these two groups of finals is kept by two different endings, namely palatal ending for the former group and velar for the

latter:

Table 28

The Geng and the Dàng-Jiang Rime Groups

in Sino-Vietnamese

S ino-Vietnamese Ancient Finals Entering-tone Other Tones

Gêng ( / % ) o n ac aja

Geng (/^) Cl I Î uap

Gêng (-^ ) 0 ac a p

Geng ( ) C uac u a p s-

T â n s (/a ) 0 ak ar)

T i n s ( / § ) C uak ua^

Jiang (:^ ) ak ai)

On the other hand, the Division I Finals of the Zeng

rime group are in contrast with the Division I or II

Finals of the D&ng-Jiang rime group by a difference in

vowel (lax vowel for the former and tense vowel for the

latter), but they all share the same ending. 276

Table 29

The Zêng and the D&ng-Jiâng Rime Groups

in Sino-Vietnamese

S ino-Vietnamese Ancient Finals Entering-tone Other Tones

Deng ( ^ “) 0 V k t>9

Ding ( ^^) C utk U^l}

Ting ( # ) 0 ak ai)

Ting (/% ) C uak uai}

Jiang (:^) ak ar)

As will be discussed in section 4.3.2, the distinc­ tion between ((a)) and (('&)) of the above examples is one of the direct and typical reflection of tense versus lax distinction of Ancient vowels.

4.3.1.3 Evidence from Kan-on

Two more items of evidence can be added from well- known ancient loan-pronunciations of Chinese characters, namely Kan-on and Sino-Korean.

The ending of Ancient Chinese corresponds to two endings "u" and "i" in the finals of the Kan-on reading.

The condition for the occurrence of the two endings of

Kan-on has direct bearing on the present assumption.

In order to show the original loan form, we tabulate the finals of the transcription of Kan-on given in 277

89 Moogyuu (Méng-qld) preserved in the Shoosooin at Nara in Table 30. 278 Table 30

Finals with Back Consonant Ending in Kan-on

Kan- on Ancient Finals Entering-tone Other Tones

T^ng 0 aku au Ting /t C uwaku uwau

Ying \% 0 iyaku (iy)au

Ying C ? (uwiy)au

Jiang C'i ) aku au Deng 0 Oku ou

Deng C Oku ou

Zheng ) 0 (iy)oku (i)you

Zhing (/¥■ ) c ? Geng ou aku au, ei

Geng i k cil î uwau Geng à OUI eki ei Geng c m ? î

Gêng N 0 aku au Gêng # c î uwau

QÎng 0 eki ei QÎng ■'ti c î ei Qîng # 0 eki ei QÎng 1 ' c î ei Dông $- I Oku ou DÔng >K III iku, uku iu; (iy)uu Dông Oku ou

Zhông C ^ . ) (i)yoku (uwiy)ou 279

For the characters that belong to the Dàng-Jiang,

the Zêng and the Tong rime groups, the Kan-on pronuncia­

tion has "u" ending, and for those belonging to the Geng rime group it has "i" ending in general and sometimes "u" ending. Exactly as in Sino-Vietnamese, the finals of the

Zêng rime group has the same ending as that of the finals of the Dàng-Jiâng rime group. The difference is that in

the Kan-on reading most of the Division II Finals of the

Geng rime group are identified with those of the D&ng-

Jiang rime group. Judging from the distinction of rimes

in the Kan-on reading, however, in comparison with the materials to be discussed below the coalescence of the

Division II Finals of the G&ng rime group with those of

the Dkng-Jiang rime group in Kan-on can be regarded as exceptional. As was correctly pointed out by Pulley- 90 blank, the occurrence of the "i" ending in some of the

Gêng (./^ ) Oil final is confirmed in ancient sources and could never be regarded as a mere theoretical construct

from the fan-qiê.

In favor of our assumption, the Kan-on pronunciation of the Division II Finals of the Geng rime group is iden­ tical not with that of the Division I Finals of the Zêng rime group but with that of the Division I or II Finals of the Dang-Jiang rime group. This suggests that in the

Chinese dialect boxrrowed into Japanese as Kan-on reading, the main vowels of the Division II Finals of the Gêng 280 rime group were either identical with those of the Dàng-

Jiâng rime group or at least closer to them than to those of the Zeng rime group. This fact should be especially emphasized.

4.3.1.4 Evidence from Sino-Korean

As was once pointed out by Arisaka, Sino-Korean pro- 91 vides further revealing evidence. 281 Table 31

Finals with Back Consonant Ending in Sino-Korean

Ancient Finals Sino-Korean Entering-tone Other Tones

Ting /I 0 ak Ting C uak uaq

Ying 0 (i)ak (i)ag

Ying C (u)ak (u)ag

Jiang ( ' i ) ak

Deng 0 uik IU.I)

Dêng t - C uk, ok î

Zheng ) 0 ik, iuk ig, uig Zheng Ck ) c iak Gêng A 0 1 1 •&ik, iak Gêng CII ? oig Gêng K OUI iak iag Gêng G U I î iag

Gêng 0 eik, (i)ak tig, isg Gêng C uak, 'bik oig

Qing 0 (i)ak iag

QÎng :A- c î iag QÏng i 0 (i)ak iag QÏng i c î iag Dông I ok og

Dông III (i)uk (i)ug

Dông ok og

ZhSn* (i)ok . ... (iJon. . _ 282

Although some of the Division III and Division IV

Finals of the Zeng and the Geng rime groups coalesced, others remain distinct enough to show the former contrast between these two groups of Ancient finals.

Most interesting is the fact that the vowel "i" is found between the main vowel and the consonantal ending of the Division II Finals of the Geng rime group. Ari- 's interpretation of the high vowel "i" as a mere transcription of a glide between the (lower) main vowel and a palatalized ending, seems to be a reasonable assump­ tion. However, it is also quite possible to assume that since Korean lacked a nasal ending farther back than den­ tal or alveolar (nondiffuse) but farther forward than velar or uvular (nongrave), the original Chinese sound was represented in Korean by a combination of a lower vowel, a high vowel and a , thus yielding an approximation of the original Chinese combination of the main vowel and a probably palatal ending.

Although it is the only instance, the Chinese charac­ ter has the reading "hbg" which shares the same main vowel as that of the Division II Finals of the G^ng rime group but lacks the "i" following the main vowel. It is also very suggestive that some finals of the Gëng (^ ) rime have the main vowel "a" when they occur with velar or labial initials, thus coalescing with the Division III

Finals of the Geng rime group and the Zêng rime group. 283 while no similar instance is found in the Gëng ) II rime. This suggests that the main vowel of the Gêng ) rime was more central (or lax) than that of the Gêng (/)\ )

II rime in Ancient Chinese.

The evidence given in the preceding three sections has been restricted to loan-pronunciations of old Chinese sound, namely Sino-Vietnamese, Kan-on and Sino-Korean; so it is not unreasonable to question the value of these materials since it is natural to assume some deformation of the original pronunciation when words are borrowed into a language which has a different sound system. So, next, other types of evidence will be given for the present assumption.

4.3.1.5 Evidence from Tibetan transcription

What we naturally recall here is the peculiar tran­ scriptions of the endings of the finals of the non-enter-

ing-tone counterpart of the Gëng rime group by Tibetan

script tabulated in Chapter III. In the Chinese dialects

reflected in the transcription of C (and T), there is a clear-cut distinction between the finals of the Dkng-

JiSng rime group and those of the Geng rime group, and between the latter group and the finals of the Zeng rime group, though this is restricted to finals with tone other than the entering-tone. Table 32 shows the Tibetan transcription of the above mentioned finals found in C; 284 for comparison, C. Lu6 's reconstruction of the rimes in

Kâi-méng Yao-xun ; hereafter KMYX) is given on the extreme right of each corresponding Ancient final. 285 Table 32

Finals with Back Ending in Tibetan Transcriptions

Ancient Finals Tibetan Transcriptions Entering-tone Other Tones KMYX Tâng % 0 ag o ag *o Ting /# c o *o Ying 0 (j)ag (j)o(ho), ojiu og *jo

Ying % c *o

Jiang ( : i ) (j)ag ag *ag

Deng 0 eg, ug *eg Ding c weg r* Zheng ) 0 ig e^, ig *eg Zheng (& ) C Ging K on eg e eg *e Geng CII weg wehe *we Ging & OIIl (j)e eg *e Ging /K c m *we Ging 0 eg *e Ging c *we

Qîng 0 (j)ig (j)e eg *e Qing c we *we

QÎng 0 ig ( j)e ( >9 *e Qing t c *we Ding K I og og *og Ding K III ug ug *ug Ding og *og *ug ZhinR ) ug. wag -----m ------286

Hereafter, in this section, finals with the entering- tone will be excluded. Although the finals of the Geng and the Zeng rime groups share the same vowel, they are clearly distinguished by the lack of nasal endings in the former group. And although the lack of nasal endings can also be found in the finals of the Dang rime group, the distinction between the finals of the Geng and the Zeng rime groups on the one hand and those of the Dàng-Jiing rime group on the other, is kept by the occurrence of front vowels in the former group and lower and more re­ tracted vowels in the latter group.

The following correspondences cannot be satisfacto­ rily explained by the former reconsturction of the An­ cient Chinese system:

Mandarin Tibetan Transcription

( p*e héng ( 01) hwehe zeng ( #@) tseg

Zheng ( ,4^) t&eg

Since his reconstruction of Ancient Chinese is on the whole based on that of Karlgren's with slight revi­ sion, C. Lu<5 failed to interpret such materials satis­ factorily. His interpretation contains serious contra­ dictions. According to him, "the velar nasal was almost entirely lost after Ancient Chinese open vowels *a, *a,

*œand *e, but preserved after slightly rounded vowels 287 93 * 0 and *o, or after the neutral vowel *a." So far as his reconstruction is followed, it is difficult, though not impossible, to explain the different change that occurred in the Ding ( )-Zhing ( ) and the Ging ( ) rimes, because, according to him, the former two rimes contained a central *a, the latter Later this dif­ ference of vowel led to the different change of the final consonant in the two groups of finals.

A greater difficulty lies in the interpretation that "in the Yâng (f%)-T^ng ( ^ ) rimes, after g not

"before" 3 *g disappeared, the vowel that occurred before this former *g, regardless of the presence or absence of the preceding medial vowel *u, became [o] under the in­ fluence of the loss of this is the result of assimi­ lation to gsic!]. On the other hand, since their points of articulation are front, vowels like *^, * æ , *e, etc. ïnotice that he regards as farther forward than 94 *a!j were not exposed to this influence."

The above scheme is hardly credible.

Let us begin with the following Ancient finals (C.

Lud's reconstruction; for convenience of presentation, the hé-kou counterpart of each rime is not listed below):

*aq T4ng (/ft )

*iag Yâng ( 1% )

*og Jiang (

Ging II ) 288

*ïh9 Geng III ( / ^ )

* æ 9 Ging )

*%E9 Qing ( ' f ] )

*ie9 Qing ( % )

* 9 9 Ding ( )

*'Ï39 Zhing ( )

* 0 9 Ding ( ^ ) I

* ^ 0 9 Ding ( '$L) III

*uo9 Ding < ^ )

*xwo9 Zhing ( 3 ^ )

If C. Lu6 's assumption of "assimilation to is followed, then first, there occurred the following changes in the finals of the Dang rime group (though contradic­ tory to his assumption of the order of the disappearance of *g):

*ai} -*013 -» 0 T^ng )

*iag — 1 0 9 xo Y6 ng (p-'fi)

* 3 9 — 0 9 Jiang ("-Î- )

*^9 ------P9 Ging )

------Ging ( / k )

* 3 5 9 ---— ------æ 9 Ging ( 0 1 )

V * % 9 ------XE9 Qxng )

*ie9 ------ie9 Qxng ( “f )

* 9 9 ------—- 99 Ding ( ^ )

*Ï99 ------Zhing (%\ )

*2 9 . ------0 ^ Dong ( i ^ ) 289

-— ------ïog Dons III *uog ------uog Dong (

*xwog ------Iwog Zhong

The loss of the final nasal and the assimilation of vowels must be so ordered that first, the preceding vowels were assimilated to the following nasal and after that the nasal disappeared (otherwise, the presence of the "og" final of the Y6 ng ^0 rime cannot be explained), although this ordering is impossible in C. Luo’s scheme, because he reconstructs the finals of the Dong (^ ) rime as *og. However, let us ignore this difficulty of his scheme for the time being.

Together with the loss of *g after [o], *g after some other vowels was also) lost. The process may as follows ;

o M n g (/f )

ÏO ------xo Ying ( 1%)

Dg ag Jiang )

"eg -» e G5ng ( , K )

xpg xt -* e Geng ilfL)

aeg - æ -* e Geng ( 1 ^ )

leg le e Qing ( > ^ ) ieg ie — e Qing ( i=l )

9g Deng ( ^ )

lag eg Zheng ( ^ )

og ------og Dong < ^ ) I 290

Ï0 9 ug Dong ( ^ - ) III

uog 0 9 Dong ( ^ )

ïwo^ ug Zhong )

3 follows:

0 0 Tâng (/# )

1 0 xo Yâng ( j%)

09 ag ag Jiang ('-^)

•&9 —» e Geng (/K ) 1^9 eg ** e Geng ( / ^ )

æx) eg e Ging ( ^ ' )

1E9 —» eg e Qing ( - fq )

ie9 —» eg e Qing )

39 eg eg Deng ( ' è )

Ï9 9 eg Zhing ( ^ )

0 9 og Dong ( '^ ) I

I 0 9 ug Ding ( 'f.) Ill

U 0 9 —» 0 9 Dong (

iwog —» ug Zhing ( $ ^ )

The first formulation of the above two alternatives does not explain the merger of *€ and into "e," nor does the second. Moreover, according to the latter, "g" after the "e" derived from *g, *ae and *e was lost, while

"g" after the "e" derived from * 9 was preserved! 291

4.3.1.6 Evidence from the Uighur transcriptions

More or less the same system is found in the Chinese dialect or dialects reflected in the Uighur transcrip­ tions. The Uighur transcriptions studied by Csongor show a surprising similarity between the Chinese dialect or dialects reflected in these transcriptions and that re­ flected in the Tibetan transcription mentioned in the 95 preceding section. Although as discussed in section 3,

Csongor's "transcription" is partly his "reconstruction," it conveys objective information concerning the absence and presence of the endings in question. 292 Table 33

Finals with Back Ending in Uighur Transcriptions

Ancient Finals Uighur Transcriptions Entering-tone Other Tones

Ting # ) o ay o ag

Ting / # ) C oo

Ying 0 jay (j)oo, (j)o ( j)ag

Ying 1% ) G ag, og

Jiang (Ü) Oy, 5y og

Ding ST) 0 as, iy at), o g Ding # " ) G ug (?)

Zhing < ) ig iQ Zhing (&)

Ging ifO 0 " i Ging /R ) CII

Ging fil) o i i i (i)i

Ging ) c m jo

Ging # 0 Ging G

Qing 0 ir (i)i in

Qing ) 0 Qing # ) 0 eg i

Qing # ) C Dong >lt) 1 uy ug Dong $ - ) 111 ug, uy ug Dong uy ug

Zhong < 4 t ) Ü, u, ug 293 A similar drop of the final nasals is found in the finals of the Dkng and the G^ng rime groups only when they co-occurred with a tone other than the entering-tone.

There are only two exceptions: one in the Qîng ) 0 final — "in" instead of the majority type "i" or "ii," and the other in the Zhong ) final — "u" instead of the regular "ug." Although the exception in the QÎng )

0 final keeps the nasal ending, the ending is distinct from the velar nasal of the finals of both the Dkng-Jiang and the Zeng as well as the Tong rime groups.

The most significant feature of the phonological system of the dialects reflected in the Uighur transcrip­ tions is that although there is the same clear-cut dis­ tinction between the finals of the G^ng and the Zeng rime groups as found in the Tibetan transcription, the Divi­ sion I Final of the latter group (namely the Dëng 0 final), partly coalesced not with the Division II Finals of the G^ng rime group but with the Division I and Divi­ sion II Finals of the Dàng-Jiang rime group. And the

Division III Finals of the Zeng rime group shares the same vowel "i" with most of the Division III and Division

IV Finals of the Geng rime group, keeping contrast by the velar nasal ending. This situation is opposite to what is found in a modern dialect of Chinese which still pre­ serves the older distinction between the finals of the 96 Zeng and the Geng rime groups. 294

What can be assumed from these transcriptions is;

first, the main distinction between the finals of the

Zeng and the Geng rime groups was originally carried by

the different ending of these two groups of finals, not

by their different main vowels, and the distinction be­

tween the finals of the former group and those of the Dang-

JiSng rime group was originally kept by their slightly

different main vowels, and not by their endings.

4.3.1.7 Tangut - Chinese and Chinese- Tangut pro­ nunciation equations

The same clear-cut distinction of the finals of the

Zeng and the Geng rime groups is present in a Chinese dialect reflected in the Tangut-Chinese and Chinese-Tangut pronunciation equations.

Tangut is supposed to have had 97 even-tone rimes and

8 6 rising-tone rimes. As a result of identification of

the even-tone rime and rising-tone rime which share the

same sequence of segmental sounds, there are found 103

contrastive combinations of segments, called "rimes," in 97 Tangut. The Chinese equation of Tangut pronunciation

and the Tangut equation of Chinese pronunciation which 98 are found in ZZZ and some other documents (the equation

form of the latter sources will be given with an asterisk)

provide interesting evidence for the present assumption.

In the following list, dubious equations are underlined.

Capital M represents the Tangut "rimes" including the 295

"even-tone" counterpart and the "rising-tone" counterpart

if any. The numerals following is the serial number of

these 105 "rimes," Chinese characters given after the

Ancient Chinese finals represent Tangut syllables belong­

ing to the Tangut "rime" listed at the extreme left. A, Ml Dong ( >^ ) I 'ME Dong ('|L) III Dong ( ^ ) 1 M15 Deng ( ^ )

Dong ( ) I i i Zhong

M16 Zheng < )

Dong ('K) III Zhong ( )

m 2 8 Deng (&) Dong ( $ . ) III f M34 Geng (/^ ) III

QÎng ( i ) î f

M35 Geng (/K) II

Geng (#) M36 Ging (/#i) III

Qîng (:#)

M3 7 Geng ( â ) III =f #3

QÎng (:#)

Qing )

M38 Geng ( ^ ) III: 296 Ging

Y4ng M40 Geng /fi) 111 % Qing ) Qing #)

M43 Ging II k - Ging / ^ ) III A

Qing ■'I') Zhing (#\) îiâ'É Qing i ) T # M51 Ting # ) # #'&/%1 ^4 M * li

( £ i £ l .

Jiang

Ying

M53 Ting m ) :'à

Ying 1%) Zhong (#) M56 Ting /# )

Ying #) ■n. Dong fC) I M57 Jiang

Zhing M58 Ting /#) Ying

U Zhing ( ,^) ; 297 .è ) I Dong ( ''i

Dong ( 'K) III Zhong ( $ t )

■ A \ M63 Geng (rfs^) II ' %. Ging ( K M64 Geng (>jfi) III Qxng ( ) Qîng ( #) M75 Y^ng (

Zhong (#) 'Xx M77 Geng ( Ü ) II /X Qing ( -#) ?: M79 Qing ( :-A) Qxng ( I f ) M96 TÆng ( t ) Yâng ( r#) The important information these equations reveal is —

I) The Chinese characters with the final of the Zing, the Dkng-Jiang and the Tong rime groups are often quite freely used together to show the pronunciatinn of the

Tangut characters of the same Tangut rime, as in the case of:

M15: Ding (^^)/Dong ( ifl ) I, Zhong )

M16: Zhing (^^)/Dông C^^T) III, Zhong ( ^ )

M28: Ding )/Dong ( ^ ) III

M53: Tdng (/§ ), Yâng ( f:^)/Zh6 ng ( 4 ^ ) 298

M56: Tâng (/'J ), Ying (^^7 )/DÔng ('^) I

M57: Jiâng (^'X)/Zhông ($f)

M58; Tâng ( /g ), Yâng ( r^)/Zhëng (,"^^)/Dông ( ^ ) 1,

Dông III, Zhông ($$)

M75: Ying ( j%)/Zhông ($^)

2) On the other hand, the Chinese characters with the

final of the Geng fime group are never used together with

those of the Zeng rime group in order to show the pronun­ ciation of the Tangut characters of the same Tangut rime, except for three examples which all contain a lateral 99 initial.

3) Also the Chinese characters with the final of the

Geng rime group are never used together with those of the

Dàng-Jiâng rime group to show the pronunciation of the

Tangut characters of the same Tangut rime, except for only one example: niing ( .

Taking into consideration the phonological system of the Chinese dialects reflected in the rime system of KMYX and MGZY, it is very difficult to regard the distinction between the finals of the Zing and the Geng rime groups

found in the Tangut-Chinese pronunciation equation to have been carried by mutually contrastive vowels. Also

judging from the fact that characters with the finals of

the Zing, the Tong and the Dang-Jiâng rime groups are often used for equating the pronunciation of the same

Tangut characters, such clear-cut distinction between 299 the Chinese characters with the finals of the Zeng and the

Geng rime groups in the Tangut-Chinese and Chinese-Tangut pronunciation equation can never be expected, if there was no significant difference of endings perceivable even by foreigners.

At the present stage of the study of Tangut, further discussion on the above matter in the light of the re­ constructed rimes of Tangut would not be convincing since it involves vicious circle. Thus, the present discussion is restricted to emphasizing the above clear-cut distinc­ tion between the characters with the finals of the Zeng and the Geng rime groups,

4.3.1.8 Discussions

The correspondents of the two Ancient Chinese back

(nondiffuse) endings are summarized as followsj in order to contract all the information into one table, the corre­ spondents of the entering-tone counterpart of the Ancient

Chinese finals under consideration are omitted. Also for convenience of later discussion, the correspondents of these finals in the Wên-zhôu dialect are added. Table 34

Correspondents of Ancient Finals with Back Consonant Ending

Sino-Viet. Kan-on Sino-Kor. Tibetan Uighur wên-zhôu

ag/uag/uog au/wau ag/uag ag/o ag/o(o) 3 r # ) ag/e&g/uog/etg au/yau/wiyau (i)ag/uag og/jo(o) (j)ag/og/jb/(j)o(o) W ( g ) o ( t ) Jiâng ag/og au ag ag/? og O/ïe/^D

aji/uaji/ ip/igi au/wau/ei tig/oig/iag e/ je/eg i(i)/i/jo g/üe/ïag/ïug/ig we aji/uaji au/wau T2 ig/iag/oig ? ? E/ue/ig/ug (#) iji/iip ei (i)ag e/je/eg i(i)/in %ag/ig/iug we ip/üji el (i)9g e/ je/eg 1 ïag/ig f # ) eg/ueg ou lug eg ag/og/ug(?) ag C#) *9 you/wiyou lug/ig eg/ig ^9 ïag/ig ( t !

Dong og/ug ou/iu/yu og/(i)ug og/ug ug ug/ïug/ig ( ^ ) og ou og og ug ug ( ^ ) Zhong ou/you/wiyou (i)og/(i)ug ug ug/u ïug/go/xe ^ o o 301

It is almost of no controversy that the finals of the

Tong rime group had in Ancient Chinese a series of back rounded high vowels and that these finals are reconstruct 100 ted roughly as follows :

Dông ( yC ) I ; *ug

Dong ( ) 111 *iug

Dong ( ^ ) *og

*iog

Also it is obvious that the above group of finals does not have direct bearing to the present discussion. So for convenience of presentation, the group is excluded from

the discussion below.

All the correspondents tabulated above suggest that

the distinction among these rimes under consideration in

Ancient Chinese should be made, first, between the finals

of the Dkng-Jiang and the Zeng rime groups on the one hand

and those of the Geng rime group on the other, on the basis of their ending; next, between the finals of the

Dhng-Jiang and the Zing rime groups on the basis of their main vowel.

Now, Sino-Vietnamese, Kan-on and Sino-Korean mate­

rials clearly show that there was some kind of ending which was 1 ) palatal, 2 ) not so far back as velar (non­

grave), but 3) not so far forward as alveolar (nondiffuse),

in the finals of the Geng rime group in Ancient Chinese, and that the ending of the finals of the Dkng-Jiang and 302 the Zêng rime groups was 1) not palatal (grave) and 2) back (nondiffuse). In connection with the Tibetan tran­ scription, Kan-on "o" is the grave (and flat) variant of

"e," and "e" the acute (and nonflat) variant of "o,"

For this between-velar-and-alveolar ending, it is reasonable to reconstruct a palatal * p in Ancient Chinese.

By this reconstruction, well-paired finals of Ancient

Chinese are obtained as in Table 35. In the table, each final "sound class" is assigned not only its reconstructed ending, but also, for convenience of understanding of the mutual relationship of finals, the vowel symbols showing very roughly what kind of vowels could be reconstructed as preceding these endings. Detailed discussion on these vowels will be given later. Table 35

Ancient Finals with Consonantal Ending

Velar Ending Palatal Ending Labial Ending Dental Ending

Div. I T ^ g *ag Ding *an T^n, *am T^n *am H^n *an H4n *an ( $ ) ('^Lo) Finals Ding *üan H^n *uan Hvîn *u0 n (/# c) (1 Ë:c) ( K O Div. 11 Jiang *an Ging *an Xi^n *am Xi^n *em Shan *an Shan *en ( K o ) / ( l ? o î ^ ( ^ ) (Wi 0) ( l U 0) Finals GSng *uan Ging *uen Shin *uan Shan *uEn (/%LC) ' ( # 0) (■/Hf'JC) ( C)

Div. Ill Ging *lan Y^n *ïam Yuin *xan Yxn *xan

( _ Finals Ging *yan Fan *yom Yuin *yan win *yan (/KO ( ^ O (K) Single Y^ng *ian Zhing *ieg (F#>0 ) (sKO) Div.Ill/ Y^ng *yan Zhfng *ygg IV Finals (;g\C)

Double Y^n *ïam Qîn *Ï6 m Xian *xan Zhin *xSn ( m ) ( f il) ( 0) (^'^ -^^0) Div.Ill/ Xian *yan Zhin *yen IV Finals (

Div. IV QÎpg * e p Tiin *em Xian *en ( -M- ) (%.o)_ ^Ing^^ueji Finals Xian *uen w o ( # c) ( ^ c ) w 304

In 1955, Koono published a short but highly important 1 0 1 study on the fân-qiè of YQJYY. In the study he found that the upper characters of many fan-qie's indicate not only the initial consonant of the character they repre­ sent, but also some information on the medial and main vowel (sometimes, even the ending) of the characters. Through this type of fan-qi^ spelling, he found that not only the Jiâng ( — ) rime but also, among others, the

Geng ) II rime shared (possibly) the same main vowel, very probably ((a)) in the Chinese dialect reflected in the fan-qie*s. Here Koono faces the following dilemma:

1) If with the above evidence he as sûmes one and the same main vowel for both the Jiâng (-^ ) rime and the

GSng (/ykL ) rime, he is unable to set up distinction be­ tween these two rimes (since at this stage he assumes the same ending *g for both rimes); whereas there is no evi­ dence to show the merger of these two.

2) Consequently, the only reasonable reconstruction in his scheme is to assume two "(mutually) veru close 102 vowels but different in either quantity or quality"

for these two rimes.

3) If this is the case, then his finding cannot be wholly accepted.

The present reconstruction resolves his dilemma, assuming the same main vowel but different ending for the

Jiâng (;JL ) rime and the Geng ( ^ ) rime. The GSng (/^) 305 rime had the same or at least a closely related vowel as that of the Md 0 ^ ) rime not only at the time of YQJYY but also during the Su£ dynasty (581-618), when QY was N - 103 compiled. This was confirmed by the study of Hou .

Also by this reconstruction we can account for the fact that there are no Division 1 rimes in the G^ng rime group, because the absence of such contrasts as aji:aji and

may be due to the influence of the palatal ending.

For the explanation of the different behavior of the JiSng

and the GSng (/^ ) rimes in later change, we have to 104 differ from Pulleyblank. Also the problems found with

G. Lud's interpretation above have to be solved in a dif­ ferent way.

Under the influence of the velar nasal (or pressure of *a), *o changed into ((u)) and *a into ((o)). Since the proposed *ji is palatal, all the preceding vowels be­ came narrower and merged with ((e)), while *a before did not change. Since *e before *ji became ((e)), * a before also became ((e)) (otherwise this would be the isolated instance of the occurrence of in the whole phonological system of the dialect), these vowels fell together with *e, but the contrast was maintained in the nasal ending.

*a%) o^ Tdng (/% )

-* log Ydng ( )

*ag ————— ag Jiang (:^ ) 306

Ging )

Ging ( /^ )

(ï)eji Ging (ffl)

Qîng ( :^ )

Qîng ( Tf )

Ding Clil) ( ï ) e g Zheng

Ding ( ^ ) I UI3 Ding ( ^ )

Ding ( III

* Zhing

After the above process took place, the velar nasal ((g))

after ((o)) and the palatal nasal ((ji)) were lost; or, as

C. Lu6 assumes, preserved as [y] or nasalization of the

preceding vowels, ((ug)) split into ((ug)) (narrower, if

it occurred after the medial -x-) and ((on)) (wider, else- 105 where),

og -* Tâng (^g )

iog xo Yâng ( 1 % )

a g a g Jiâng ( ^ )

eji Ging ( ^\ ), Ging ( ),

Qxng (>r=j ), Qxng (-fSf )

e g eg Dëng ( &_), Zhing ( )

og([ug]î) Dông ( ), Dong ( ^ )

x u g i t t ) ([9 9 ] 4 Ding ( '^), Zhong It is possible that *ji after ((e)) became [I] or [T], 307 which justifies the correspondents in Kan-on. The assumed

Ancient Chinese vowels of the finals of the Geng rime group probably became farther forward and higher as a result of assimilation to the palatal nasal ending and were borrowed into Japanese as a front nonlabialized vowel ”e," and those of the Zêng rime group became farther back as a re­ sult of assimilation to the back ending and were borrowed as a back, flat and grave variant of "e," namely "o."

The Kan-on "i" ending and the Sino-Vietnamese "ji" ending could never be satisfactorily explained by C. Lud's

In the dialect reflected in the Tibetan transcrip­ tion (as well as in many modern Northwestern dialects), since the main vowel of the finals of the Geng rime group and that of the Zing rime group are nondistinctive, the distinction between the above two groups of finals in the dialect should be kept by the difference in ending: namely, no ending (or nasalization of the main vowel) in the former group and a velar nasal in the latter. In those dialects which lost the distinction between these two final groups, as in Mandarin, the two final endings,

and *^, simply coalesced (as *m and *n coalesced into

((n)), very probably after the coalescence of the main vowels. If the order of these two changes, the coales­ cence of the main vowels and that of the final endings, is reversed, then the coalescence of the finals of the

Geng rime group with those of the Zêng rime group, not 308 with those of the Dkng-JiSng rime group in these dialects cannot be explained.

4.3.1.9 Ancient palatal ending in a modern dialect

Unfortunately, very few modern dialects of Chinese show evidence of the Ancient distinction of palatal ver­ sus velar endings. Although the Fd-zhou (Foochow) dia­

lect has more or less the same type of finals as Sino-

Korean: the type which contains a high vowel or glide between lower vowels and the consonant ending in the 107 finals corresponding to those of the G^ng rime group,

it does not serve as evidence of our assumption. 309 Table 36

Finals with Back Ending in the Fd-zhou Dialect

Ancient Finals FtS-zhôu Finals Entering-tone Other Tones

T i n g (y# ) 0 ouk/ cXxik oug/aug

T4ng (^ ) C uok uog, oug/(aug)

Y4ng ( 1 % ) 0 iok iog, oug/(aug)

Y â n g ( p % ) C uok uog

Jiang (: * ) ouk/cLuk iog, oug/aug

Dêng 0 eik/aik Eig/aig

Dëng ( C uok

Zheng ( ^ ) 0 ik/eik ig/Eig

Zheng C ik/(eik)

Gëng C J ^ ) Oil Eik/aik Eig/aig

Gëng ( ^ ) CII uag

Gëng (/K) OIII ik/(Eik) ig/eig

Gëng (/^) GUI ig/Eig

Gëng ( # ) 0 Eik/aik Eig/aig

Gëng ( ^ ) C (ik)/sik gig/(aig)

Qing ( ;^ ) 0 ik/sik ig/gig

Qxng ( ^'^ ) C ig/(sig)

Qing ) 0 ik/sik ig/sig

Qing (-^ ) C

DSng C ^ ) I uk/ouk ug/oug

Dong ( $L) III yk/oeyk yg/œyg

Dong ( ^ ) uk/ouk ug/(oug)

Zhông ( 4 â ) uk/œyk yg/osyg 310

In this dialect, the Ancient finals of the Zeng and the Geng rime groups entirely coalesced, and the occurrence of the intervening vowel [i] is predictable by the preceding vowel.

One of the very few modern dialects which provide evidence or rather a trace for the present assumption is 108 the Wên-zhôu dialect; its finals with the descendants of Ancient back endings are given in Table 37. 311 Table 37

Finals with Back Ending in the Wên-zhôu Dialect

Ancient Finals WSn-zhiu Finals Entering-tone Other Tones

Tâng (/§ ) 0 o D

Ting ( % ) C (u)o 3

Ying (1%) 0 ia ie, (y)3

Ying ( P f y ) C (y)o (y)3

Jiang ( - (y)o ie, (y)3 Ding ( ^ ) 0 ai, e ag

Ding ( C ua(i) uq

Zheng ( ^ \ ) 0 iai, i(e), e ii), iarj

Zheng ( Mrj C Geng ( ^ ) on a e

Ging ( r ^ ) CII U 6

Geng C/^) OIII iai ia^

Ging ( ^ ) GUI ii}, iux)

Ging ( ) 0 a €, iq

Ging ( J^ ) C (u)a us, un

Qxng ( ) 0 iai, i(e) iq, iaq

Qing (^A) C iuq

Qing ( ^ f ) 0 iai, i(e) iq, iaq

Qing ( ^ ) C iuq

Ding ( I u uq

Ding ( ^ ) III (i)u iq, iuq

Dong ( ) u uq

Zhine ) (y)o ie, no, iun 312

In this dialect, those Geng rime group finals occur­ ring in the third or the fourth Division of rime tables entirely coalesced with those of the Zeng rime group; even the condition for the occurrence of the two different variants of these rimes is exactly the same. However, the finals of these two rime groups occurring in the first or the second Division share in many cases, especially in the entering-tone finals, the same main vowel ((a)), and keep distinction by their different endings. It is not difficult to assume that the vowel [e] of the Gêng ( / ^ )

II (0 & G) and the Ging ( ^ ) (0 & C) finals comes from

((a%)). This, together with the corresponding entering- tone finals, clearly shows a trace of the Ancient palatal ending.

4.3.1.10 Epilogue

It should be emphasized that the idea of reconstruc­ ting a palatal ending in Ancient Chinese was, in its primitive form, first suggested by Arisaka. He noticed the "i" endings found in Sino-Korean, Tendai Kan-on and modern Pekinese pronunciation of Chinese characters of the Gêng (^ ) and the Geng ) rimes, and assumed that in northern Chinese of the late Tdng or early S&ng period, the nasal and its entering-tone equivalent [k(g)] of the 109 above mentioned rime group were "fairly” palatalized.

However, it is obvious that he did not regard this feature 313 of palatalization as a phonologically distinct feature of the endings, nor did he on this basis reconstruct two distinctive back consonant endings in Ancient Chinese.

Moreover, he was inclined to expect the same feature in the endings of the finals of the Zeng rime group. In his reconstruction, which can be found only fragmentarily in his various writings, the distinction between the finals of the former group is clearly ascribed to the main vowels.

A more refined idea was proposed by Tsutomu Rai, who assigned a palatalized velar ending to both the ZSng and the Geng rime groups, and a velar ending to the D&ng- 110 Jiang and the Tong rime groups only. Although he had 111 another motivation based on the Archaic Chinese system, the main basis for his assumption of the Ancient palata­ lized velar ending is the correspondences between Pekinese and modern dialects. In the latter group of Mandarin variants, however, the distribution of the endings, alveolar and velar, which correspond to Rai's

and respectively, is entirely predictable by the preceding vowel.

In both the H&n-k#u and the Chéng-dû dialects, the ending is a back (velar) nasal if preceded by a back vowel, or a front (dental or alveolar) nasal if preceded by any vowel other than a back vowel. In the ChAng- dialect, the ending is a back (velar) nasal only when 314 preceded by a back and rounded vowel; otherwise it is a dental nasal. Only one nasal ending need be posited for each of the dialects on the phonological level.

Hàn-kÜu Chéng-dû Châng-shâ ft mag mag man p'ag p'ag p'an fa j5jS'iag fe'iag jgg'ian % SSin kan kan kan J&5S*in ae'in ts'in & gin gin sin A nan nan nan

tsan tsan tsan K tog tog tog JL tog tog tog

;S7og

Therefore this evidence cannot serve at all as the basis for setting up two phonologically distinct back consonant endings in Ancient Chinese. His profound insight stems from his interpretation of the Archaic system.

Although the basic idea suggested by these two is accepted here, the present discussion began with a very different motivation, and arrived at a different recon- struction The present reconstruction is motivated by the simplicity criterion of phonological description. 315 Referring the reader to the tables of Chinese transcrip- 112 tion of Sanskrit alphabet compiled by C. Lud, the

Ancient Chinese initial Ri-mu, reconstructed as by

Karlgren, was undoubtedly a pure palatal nasal during the 113 pre-Tdng and early Tdng periods. Now, since there are four nasals, *m, *n, *ji and in the initial position anyway, it is obvious that to mark the distinction with different endings between the two groups of finals dis­ cussed earlier is simpler than to set up an additional medial (thus assuming a "phoneme cluster" like *jg for the present or more main vowels than necessary in the present solution. Without this motivation, the main point of the present discussion will be missed.

It is not useless for the justification of our moti­ vation to point out the fact that the disappearance of the proposed palatal ending is closely connected with the denasalization of the initial *ji. Among the four variants of old Chinese originated at approximately the same period, those which lost the ending ^ (i.e. the variants reflected in the Tibetan and the Uighur transcriptions or in Kan-on) also lost the nasal feature of the correspondents of the

Ancient Chinese initialwhile Sino-Vietnamese which still keeps the palatal ending retains a pure palatal nasal as the correspondent of the Ancient initial 316

Ancient Chinese Kan-on Tibetan Uighur Sino-Viet.

p y zyo &i/#u/%e &y p »

plan Sen jfan pien

(3 pist zitu Sir Sir piat

What is important here is that the assumption of a palatal

nasal ending motivated on quite independent grounds re­ veals the related change of the palatal nasal occurring

as the initial segment of Ancient Chinese, the reconstruc­

tion of which is also independently motivated. Although

these two segments are reconstructed on different grounds,

the simplest solution (namely the assumption of a palatal

nasal ending) leads to the identification of the two. The

present solution also reveals further changes of the end- 114 ing system from old Chinese to modern Mandarin.

Lastly, a possible question concerning the present

reconstruction may be raised in regard to the fact that in

Sino-Japanese a palatal ending ((ti)) (the modern pronun­

ciation of the syllable being [t{i]) occurs as the enter­

ing- tone counterpart of the Ancient Chinese ending *n,

not as that of *p. This can be resolved very easily.

It is the Go-on reading, not the Kan-on reading, that has

the ending ((ti)) as the entering-tone counterpart of *n.

The Kan-on pronunciation has exclusively the ending ((tu))

as the counterpart (the modem pronunciation of the sylla­ ble being [ts&]). However, it can be further explained as follows why ((ki)) instead of ((ti)) occurs in Kan-on 317 as the entering-tone counterpart of *ji. The evidence dated earliest for the palatalized affricate variant £tj] of

((t)) before ((i)), as well as for the nonpalatalized affricate [ts] of the same consonant before ((u)) in

Japanese is found in a Japanese translation of Doctrina

Christan, published in 1592 A.D., where syllables ((ti)) and ((tu)) are spelled in as "chi" and 115 "tçu" respectively. It is generally accepted that before this period, probably up to the end of the 13th centuiry. Ancient Japanese ((t)^^^efore ((i)) and ((u)) still remained as a pure stop. Ok-jlng Lu6 of the

Southern S&ng dynasty, in his Hdo-lfn Yu-lii , Vol. IV, transcribed the Japanese Buddhist monk An-kaku's pronunciation of the Japanese word "kuti" ( ^ ) as "kû- dï" ('^ ) with Chinese characters, and Z5ng-y£ T&o described, in his -shi Yul-yao ( ^ ^ )» Vol.

VIII, the pronunciation of the Japanese kana letter "ti" learned from the Japanese Buddhist monk Kokuzen Taiyoo as follows: "Kthe pronunciation is equal to the pronunciation of the Chinese character Î t£ (*^^), or close to g the Chi­ nese pronunciation of the character^ dl (u^)," in the

14th century. Even in modern Japanese, the initial con­ sonant of the syllable ((ti)) is not so palatalized as the Pekinese palatal [jgp]. The former is merely a palato- alveolar affricate. Thus, as the equivalent of the enter- ing-tone counterpart of *jfi, the Japanese syllable ((ki)) 318 was far more appropriate than ((ti)) when the Chinese pronunciation was borrowed into Japanese as the Kan-on pronunciation around the 9th century. The occurrence of nonpalatalized [ t ] ,before ((i)) in Japanese before the

14th century also justifies the Go-on ending ((ti)) as a plausible rendering of the entering-tone equivalent of the ending *n.

Concerning the problem why in modern Mandarin "ai" or "ei" type of final is found not only in the descendants of the G^ng rime group but also in those of the Zeng rime group, see section 6.3.1.5.

4.3.2 The distinction "inner" versus "outer"

In reconstructing the vowels of Ancient Chinese,

Karlgren strictly adheres to the grouping of Ancient

Chinese rimes by the d%ng-yhn-xué phenologists into six­ teen or fourteen (or thirteen) rime groups. This means that when he infers certain sound value of a given final, consideration of the rime group to which the given final belongs, plays a great part in his decision on the re­ construction. In one sense, this is a very clever way of reconstruction, because the grouping of Ancient rimes into rime groups primarily reflects the process and re­ sults of coalescence of Ancient finals in the history of

later change. What he used as the correspondents of

Ancient Chinese sound classes in mo d e m dialects, is 319 primarily the "literary pronunciation" of Chinese charac­ ters in these dialects. This literary pronunciation

(according to Karlgren, this should be the pronunciation of "modern dialects") "spread as a Koine to all important centers throughout most of the Chinese realm during the 117 T6ng dynasty." Then it is self-evident that the dis­ tinctions of finals (especially the distinction of main vowels) in the literary pronunciation of Chinese charac­ ters in these dialects for the most part well coincide with the grouping of rime groups and subgrouping of each rime group in terms of the Divisions of rime tables. As can be seen in the Tibetan transcriptions of the Tdng dynasty the distinction of main vowels of finals in the variant of Chinese transcribed does not in general differ too much from the grouping and subdivision of Ancient

Chinese finals in terms of rime groups and Divisions of rime tables. Then, even if information from two apparent­ ly very different sources (the system in rime tables and the system of modern dialects) agrees, it may prove some­ thing about the Koine of the , but has very

little to do directly with the Ancient Chinese phonologi­ cal distinctions which are richer than those found both in rime tables and modern dialects. Consequently, Karl­ gren had to struggle to look for some logical phonetic properties when he could not find any clue to certain An­ cient distinctions of sound classes in modem, as well as 320 foreign dialects. One will find it obviously ad hoc that he had to set up the distinction of length of vowels in

Ancient Chinese only because he stuck to the grouping of sixteen rime groups and tried to find a certain phonetic property of the distinction of, for example, the Tân ( ) 118 "T rime and the Tân ( ) rime •

A very different direction was suggested by Dragunov 119 in 1928-1929 for the study of Ancient Chinese phonology, focusing exactly on the ad hoc solution by Karlgren men­ tioned above (namely introduction of the difference of

"vowel quantity" as the distinction of Ancient Chinese vowels). For the most part of his discussion Dragunov corrected Karlgren*s conclusion using the same materials as those of Karlgren (namely, information from rime tables, modern as well as foreign dialects). This made his correction convincing. But what was remarkably new in

Dragunov*8 discussion is that he had in mind certain per­ spective on the phonological system older than Ancient

Chinese as background. Therefore, he could extend the notion of "Final " (pairs of finals with the main vowel *a on the one hand and *@/a on the other by his notation) not only to the finals of the Xiè rime group

(which he began the discussion with) but also to the

Xiin, the Shan, the Dàng, the Zing and the G^ng rime groups, although, contrary to the case of the Xii rime group, there is no positive evidence for the presence of 321 these pairs in these latter rime groups (only in the case of the Xi6n rime group certain Wd dialects keep the dis- 120 tinction of the "Division I Final Doublets"), Anyway, the approach was quite new, and the perspective allowed him to grasp the points which Karlgren missed in the same materials.

The present discussion on the nature and characteri­ zation of Ancient Chinese vowels will begin with the same problem, but with different motivation. Looking at the rime indices of Ancient Chinese in QY or a further sub­ division of rimes as seen in the rime indices in GY, and also looking at how the various distinct finals are grouped together under certain single rime indices, a very conspicuous fact is observable. That is --

1) Some of the Division I Finals and the Single Divi­ sion Ill/IV Finals could be grouped under a single rime index such as :

The Dong ( *^ ) Rime: including the Dong ( '^ ) 1 final and the Dong ( ^ ) III final.

2) Some of the Division II Finals and the Division

III Finals or the Single Division III/IV Finals could also be grouped under a single rime index, such as:

The Mé ) Rime: Including the Md II final and the Mâ III final.

3) However, no Division I and Division II Finals share the same rime index. 322

The above fact could not be merely an accidental one.

Between the Division I Finals and the corresponding Divi­ sion II Finals there must have been some very fundamental distinction of vowel.

Now, returning to the problem raised by Dragunov, what was not quite thoroughly pursued in his study is the discussion on the phonetic correlates of the distinction between his *a and *a/a (and /or between *a and *a), especially in connection with the information relevant to

the distinction in the of the deng-y&n-xu4

phenologists. He simply treated the distinction of the

finals under consideration as the intermediate stage of

coalescence of an older **a and **B as follows. Let us ^ 121 take example of the Tân ('^ ) and the Tân (,vX) rimes.

According to Dragunov*s reformulation of Maspâro's idea,

the Archaic, Ancient and Middle Chinese forms of these two 122 rimes are as follows:

Archaic Chinese Ancient Chinese Middle Chinese

Tân (^ ) **am *a/am 1 >!)> r am Tân ) **am *om J

Such combination of vowels as in the recent recon­

struction by Pulleyblank for a set of the Division II

Finals:

^ *ai *am #'] *an ^ *aq

^ *aai ^ *aam lU *ain ^

is in principle the extension of this idea of Dragunov, 323 though it is conceived as a cluster in Pulleyblank's reconstruction with *a as the first segment, because the second member of the above pairs should also satisfy the characteristic of the vowel of the Division II Finals in general; and so far as the discussion on the phonetic correlates of the distinction between *a and *ah is con- 123 cerned, Pulleyblank is also not thorough.

The distinction in question is primarily (not exactly) what the d&ng-ybn-xuë phenologists tried to describe in terms of the "n^i" (inner) series and the "wki" (outer) series of tables or rimes in the rime tables. Once the problems concerning the exact phonological correlates of the distinction described as "inner" and "outer" are clarified, a neat solution is available for the problem which Dragunov struggled to solve.

4.3.2.1 The distinction "inner" versus "outer" in rime tables

Since the exact phonological nature of the distinc­ tion between the "inner" rimes and the corresponding

"outer" rimes has always been a mystery not only to the phenologists of the modern period but also to the later successors of deng-ytm-xu4 in the pre-modem period, and since, in addition, the information concerning this "inner- outer" classification of rimes in various rime tables does not completely coincide, there has even been disagreement of modern scholars concerning the grouping of rimes into 324 124 the "Inner" or the "outer" series. The different classi­ fication of the "inner" and the "outer" series of rimes in various rime tables reflects primarily the difference

(or the changes) of the phonological system of the vari­ ant of Chinese on which the author of each rime table based himself. However, on the other hand, the difference of the "variants" of Chinese was not so drastic as to obscure the primary phonetic correlates of the "inner" and "outer" distinction.

Since the time of "classical" interpretation by C.

Lu6 of the phonetic correlates of the "inner" versus

"outer" distinction in terms of vowel^^imbre or the point and of vowels, the study of this long-time mystery was considerably advanced by modern linguists in China through their descriptive and compara­ tive studies of modern dialects, which were carried out primarily by the scholars of the Academia Sinica. By the time of the World War II, linguists in China had already come to the conclusion which could be tabulated as fol­ lows: that the classification of "inner" versus "outer" rimes in rime tables is the characterization of finals in terms of the relative quantity between the main vowels 126 and the endings. 325 Table 38

Phonetic Correlates of the Inner-Outer

Distinction in Modern Dialects

Main Vowels Endings

shorter longer "Inner" Finals "weaker" "stronger"

longer shorter "Outer" Finals "stronger" "weaker"

Rai extended this to the notion of "inner" and "outer"

in general and tried to explain various actualization of

this distinction in various historical as well as geogra- 127 phical variants of Chinese. Looking at the above tabu­

lation, however, it is observable that there is a kind of complementary relationship between the main vowel and the ending of either type ("inner" or "outer") of finals; namely when the main vowel of a final is shorter the ending is longer (in the "inner" finals), and when the main vowel is longer the ending is shorter (in the "outer"

finals). Consequently, this relationship can be charac­

terized in terms of the property of either the main vowels or the endings. Since under "ending" are included

not only vocalic but also consonantal segments, it is

obvious that this relationship can be more efficiently

characterized in terms of certain properties of the main vowels.

The phonological characterization of the distinction 326 between "inner" and "outer" series of finals consists in the opposition tense (vowels of the "outer" finals) ver­ sus lax (vowels of the "inner" finals). It is widely accepted that the distinction of the "high entering-tone" and the "middle entering-tone" in Cantonese is one of the most conspicuous actualizations of the "inner" versus

"outer" distinction. It is Chao who recognized this distinction as a part of the more general actualization of the Ancient "inner" versus "outer" distinction in modern 128 Cantonese, at a time when it was common practice to ignore the mutual relationship between the said tonal distinction and the distinction of certain properties of vowels in Cantonese. In short, the distinction of tonal

feature high versus middle is predictable by means of the

"length" of the vowel of the syllables which carry the

tones in question. What systematically corresponds to

the Ancient "inner" versus "outer" distinction of finals

is the "length" of vowels in general in Cantonese.

The phonetic properties of the vowels usually des­

cribed as either "long" or "short" include not only the

said feature but also some other. There is certain

relationship between the quantity and the timbre of vowels

as follows :

1) Between "long" [a;] and "short [t]: the latter is,

in terms of , more central and

higher; according to Jii-hui Yudn, the former is a "central 327 variant of front [a], whereas the latter is "slightly 130 higher central and a little farther back."

2) Between "long" [d :] and "short [o]: the latter is more closed and higher than the former ;

3) "Long" [oe:] and "short" [e]: the latter is higher and more central; 4) "Long" [s:] and "short" [e]: the latter is higher;

5) "Long" [uQ and "short" (jm] : the latter is lower, more open and lax;

6) "Long" [ii] and "short" [l]; the latter is lower, more open and lax.

The phonetic correlates of the distinction in ques­ tion exactly remind us of the tense versus lax distinc- 131 tion in English, French, etc. In fact, these various phonetic properties of Cantonese "long" and "short" vowels listed above could be best described in terms of the distinctive feature tense versus lax.

As was mentioned above, according to Yudn, there is "certain natural relationship" between the "length" and the "timbre" (or the aperture of vocal tract): the "long" vowels are lower than the corresponding "short" vowels.

The crucial point is that the above definition of the relationship between the "length" and the "timbre" holds with respect to the points of articulation of "open vowels," but certainly not with respect to the point of articulation of "high vowels," ((i)) and C(u)). In the 328 case of the Cantonese high vowel under consideration, the

"long" vowels are higher than the corresponding "short" vowels; whereas it is generally observed that "the more diffused"higher"3 vowels are, ceteris paribus. shorter 132 than the more compact K"lower"J." So, contrary

to Yu4n*s explanation, there is no definite relationship between the "length" and the "timbre". What is essential among these concomitant features of the phonological dis­ tinction of Cantonese vowels which has hitherto been des­ cribed as the distinction "long" versus "short," is the deviation of the vocal tract from the natural position.

With the above understanding of the essential acoustic correlates of the phonological distinction tense versus

lax, the "natural relationship" between the "length" and the "timbre" of Cantonese high vowels is most reasonably explained. It is also reasonably explained that the "long"

[a:] is, according to Yuin, more advanced (farther front)

than the "short" [t]. In the case of both high and low vowels, the "long" vowels are produced with the greater deviation of the vocal tract from the natural position than the corresponding "short" vowels. What is observed with the "long" [o:], [œQ and (s:] and the corresponding

"short" [o], [e] and [e] is the greater shift from the middle of the vocalic triangle for the former series, and the lesser shift for the latter series. As for the "length" of these Cantonese vowels under consideration, it is 329 natural that the vowels produced with the greater devia­ tion of the vocal tract from the natural position, have a longer duration than the corresponding vowels produced with the lesser deviation.

4.3.2.2 The distinction "inner" versus "outer" in Mandarin

The above interpretation of the Ancient distinction

"inner" versus "outer" series of rimes gives a new in­ sight into the corresponding distinction in Mandarin, in­ cluding its historical as well as regional variants.

Table 39

Inner-Outer Distinction in Mandarin

Mandarin Rime Groups Mandarin Rime Groups Mandarin with with Endings Inner Rimes Main Vowels Outer Rimes Main Vowels

-0 YÙ y» « Gu#-Jia a, a -Ï Zhï i, (4) Xi& a, d 9 i -u LitS a Xiào a

-n Shen @ Xiân a

-n Zhen 3 Shan a

Zing 9 G%ng a

-9 Tong a Dàng-Jiang a

The famous "inner-outer" grouping of the fourteen rime groups established by the d^ng-yèin-xué phenologists primarily reflects the distinction in Mandarin as the 330 difference of main vowels, compact ((a)) for the latter series and noncompact vowels ((a)), ((i)), ((y)) and ((u)) for the former. (Three exceptional rime groups, the Guo-

Jia, the Xi& and the Geng rime groups, are due to further change evoked by the balance of system newer than Ancient

Chinese.) What is conspicuous about the distinction be­ tween finals with the ((a)) main vowel and those with other main vowels in Mandarin is that there is clear actualization of the main vowel ((a)) in a series of finals with this main compact vowel:

((ïavi)), ((Ian)), ((lag)), ((üal)),

[laü] [Isn] [lag] [üal]

((uan)), ((tiag)), ((yan)), [((ÿag))]- ((%ag))

[] [Bag] [yan] [&ag] whereas in those finals with noncompact main vowels, conspicuous reduction of the vowel is often found:

((ïaS)), ((ïan)), «ïag)), ((Sal)).

[l°u] [in] [i*g] [u®i]

[ïoS] [Seï]

((Üsn)), ((Sag)), ((yan)), ((ÿag))

[u’n] [mg] [y^n] [ÿog]

[üen] [ü»g]

Also in finals with compact vowel (descendants of the

"outer" finals), the main vowels receive lesser modifi­ cation by the preceding or following segments than those in finals with noncompact vowel. 331

((a)), ((al)), ((an)), ((aïi)), ((ag)), ((la)), ((üa))

[a] [al] [an] [aü] [ag] [la] [Üa]

((a)), ((al)), ((an)), ((aÜ)), ((ag)), ((la)), ((üa)), ((ÿa))

[î5] [el] [en] [oÜ] [«g] [Ig] [Üa] [ye]

This different behavior of main vowels reflects the former distinction tense versus lax.

Now, it would be usual practice for modern phenolo­ gists to describe the distinction between ((a)) and ((a)) and their respective various actualizations in terms of an acoustic feature, such as compactness. However, looking at the fact that if we take some examples of finals with

"compact" and "noncompact" main vowels, the distinction between these pairs is as a matter fact not predominantly actualized as compact versus noncompact, but for the most part as long, conspicuous occurrence of the main vowel versus "quantitatively and qualitatively reduced, obscured, defected" occurrence of the main vowel; especially in such cases as follows:

[laü]l/2((laü)) versus [i®u]^/^((lau))

[lag] ((lag)) versus [i*g] ((lag))

[ual]^^^((üal)) versus [u®i]^^^((üal))

[uan] ((üan)) versus [u®n] ((uan))

[yan] ((yan)) versus [y%n] ((yan))

It is also highly doubtful whether the distinction could be regarded as compact versus noncompact vowels in 332 the following cases, if it is not morphophonemically motivated:

[ % n ] ((ïan)) versus [in] ((%an))

[uag] ((uag)) versus [ag] ((üag))

There is a great gap between the "linguistic characteri­ zation" and the "acoustic actualization" in the above instances, because it is virtually nonsense from the purely acoustic point of view to talk about the distinc­ tion compact versus noncompact with the above cases. It has been proved with various cases of the description of natural languages that the bi-unique relationship between the phonetic and phonemic transcriptions could not be 1 3 3 strictly kept. Therefore, the above examples could by no means be the imperative evidence for interpreting the distinction of Mandarin vowels, hitherto interpreted as compact versus noncompact, as tense versus lax. However, taking into consideration the historical origin of this distinction on the one hand, and the fact that the dis­ tinction tense versus lax of main vowels is found in modern dialects, the proposed interpretation is certainly to be preferred. By this interpretation, incidently, the feature compactness can be eliminated completely from the 1 3 4 classificatory features of the Mandarin morphophonanes. 333

4.3.2.3 Traditional definition o f the distinction "inner" versus "outer"

Before the linguists of the modern period began speculation about the "meaning" of the distinction defined as "inner" versus "outer" in the d^ng-yîin-xué literatures, there is a very famous traditional annotation on the

"meaning" of "inner" series and "outer" series which 135 could be summarized as follows:

The rimeswhich belong to the inner series do not occur in the second Division (of rime tables) after four groups of initials gthe labial, the linguals, the molars and the gutturals); they occur in the second Division only after the incisoral initial. The rimes which belong to the outer series occur in four Divisions after all the initials.

It can be restated in the following terms:

The Division II Finals never belong to the "inner" series; they always belong to the "outer" series.

The above annotation was often quoted as vacuous by 136 later successors of the d^ng-ytin-xué. However, this

provides a great hint to the problem which Karlgren 137 struggled with.

Suppose Ancient Chinese had well paired finals of

the "inner" and the "outer" series. Then it is unnatural

that the "inner" series does not have any Division II

Final. Therefore, there must have been a change so that

all the Ancient Division II Finals which later formed the

"inner" series, merged with the respective Division II

Finals which later formed the "outer" series. Now, 334 . taking into consideration their Archaic origin, one will see the Ancient Division II Finals constitute the follow­ ing pairs:

k . ! #S'i : Although the Archaic origin of these finals is not neces­ sarily homogeneous, it is apparent that the first member of each pair belongs primarily to the Archaic rime cate­ gories for which many linguists assume a kind of ((a)) as main vowel, whereas the second member belongs to those for which linguists assume a non-((a)), or more specifical­ ly, ((9 )) or ((e)) main vowel. Thus, although the dis­ tinction of finals which the deng-y6n-xu4 phenologists termed "inner" versus "outer" is based not exactly on the phonological system of Ancient Chinese but on the system which has already undergone certain transformations^ the

Ancient origin of this distinction can be traced, and the distinction may be interpreted as due to the opposition tense versus lax ("outer" versus "inner") of the main 138 vowel of finals.

Concerning the relationship between the "outer" versus "inner" distinction of rime tables and the tense versus lax distinction assumed in Ancient Chinese, the following point should not be neglected. Although the

"outer" versus "inner" distinction of finals in rime tables reflects certain transforms of the original Ancient distinction, so that no Division II Finals are found in 335 the "inner" series of rime tables, for the most part the dëng-yùn-xuë phenologists did not fail to identify the correct Division I counterpart of Division II rimes within each rime group:

1) The Jie ( ) rime is placed in a position in rime tables showing that this rime, not the Guai ( ^ ) rime, is the Division II counterpart of the Hâi ) rime.

2) Not the Shin ( l L) ) rime, but the Shin rime is put in the same table as that of the Hën (^ ) rime.

3) The. combination of the Tin ( '^ ) and the Xiin

( J ^ ) rimes on the one hand and that of the Tin (r ^ ) and the Xiin rimes on the other, is exactly what can be deduced from the mutual relationship of the ancestors of these four rimes in Archaic Chinese.

Presumably the above insightful solution by deng-ybn- xui phonologists stems from the goal of their study: name­ ly they tried not only to "systematize" the riming formula of Ancient Chinese, but also to determine an older rime system (perhaps of Archaic Chinese) of the Chinese lan- 139 guage.

4.3.2.4 Ancient distinction tense versus lax

Now, we can re-examine what Dragunov proposed almost 140 forty years ago. Judging from the balance of system, it is incredible that during the process of merger of the

"inner" and "outer" Division 1 Finals, for example — 336

Archaic Chinese Ancient Chinese Middle Chinese

- * 9/am _ am **am -* *am the intermediate stage (which Dragunov designated as

*a/a; PuIIeyblank modified as *aa) could be distinct from both the and the "a" groups. In other words, there was no evidence which suggests such a situation as —

am versus a/am versus am or —

am versus aam versus ? (-* aam) each distinct from the other. Then both Dragunov*s *a/a and Pulleyblank*s *aa could not be anything more than a convenience for explaining the later coalescence and the order of the arrangement of rimes in QY.

It is unlikely that the so-called "Division II Rime

Doublets (chdng-yïin — pairs of the tense and the lax

Division II Finals --) existed as distinct systematically in all the dialects of Chinese the eight participants of the discussion at F. I^*s house knew or spoke. Since the merger of these two groups was diverse, the main point of their discussion was probably how to provide a uniform norm for the difference of riming due to the difference of merger of these finals in the different dialects. Also the discussion might have been devoted to determining the phonological system which should underlie the riming system.

Anyway, since QY is probably not a complete descrip- 337 cion of a single homogeneous dialect or idiolect, we leave aside the problem of whether the distinction under con­ sideration existed in one of the dialects of the partici­ pants of the discussion. From the fan-qi& system of KMBQ-

1 1 1 the following distinctive pairs can be established:

Table 40

Tense-Lax Group of Division 1 and Division 11 Finals

Rime Group Divis ion Tense Group Lax Group

1 Tii ( # ) Hii (^ 6 ) Xi& 1 1 Guai ) Jii )

1 Tin i p i i ) Tin ( Ç ) Xi4n 1 1 Xiin (fi'T) Xiin ( ^ )

1 Hin ( ^ ) Hin (;/^) Shin 1 1 Shan ( # ! | ) Shin ( J-\ )

Ding I Ting (/# ) Deng C ' ê ~ ) Zeng 1 1 Geng (/^ )1I Ging (4^ ) Geng

Another Division 11 rime, JiS (idc.), should obvious­ ly be paired with the remaining Division 11 Final, the Mâ

11, judging from its close relationship to the ZhI

) rime in Archaic period and also from its behavior in 141 riming during the Six Dynasties as made clear by L. W6 ng.

R. LÏ worries about the fact that by his solution only two finals in the Xi^ rime group, the Jia ) 0 & C, do not 142 have an ((%)) ending. However, he need not worry about 338

this, because the grouping of Ancient finals into rime

groups does not necessarily reflect the phonological sys­

tem of Ancient Chinese itself. He should rather have

worried about the fact that the Jia ) rime under con­

sideration occurs between the q £ (^j ) rime and the Jie

. (13 ) rime in all but one of the known variants of QY, V. 143 namely KMBQ-II.

The exceptional placement of the Jia (fè. ) rime in this

only one variant of QY clearly suggests that this rime was

closer to the GS , the ( / ^ ) rimes (later consti­

tute the Gu#-Ji& rime group) rather than the Q£ ( ^ ), the

Jii ( ^ ), etc. (which constitute later the Xii rime group):

1) The even-tone rimes: No. 14 the q £ (^^ ) rime. No.

15 the Jie ( ^ ) rime ... No. 39 the Gi ( ^ A ) rime. No. 40

the Jia (^^^) rime. No, 41 the MA ( / ^ ) rime ...

2) The rising-tone rimes: No. 13 the Qi ( ) rime.

No. 14 the Xii ( , % ^ ) rime, ... No. 37 the Ge ( % ) rime.

No. 38 the Jie (|#zj: ) rime. No. 39 the Ma (,(% ) rime, ...

3) The departing-tone rimes: No. 14 the ji rime,

... No. 17 the Jie ( ) rime, ... No. 42 the Gi ( ^ )

rime. No. 43 the Xii (ifM^) rime. No. 44 the Ma rime.

Shinjoo Mizutani points out also, in this connection, that the Jia (fÉ. ) rime was rimed together with the Md >> 144 ( ^ ^ ) rime in JDSW.

It is preferable to interpret positively the Jii 339

(f^ ) rime as the lax counterpart of the tense M â rime:

Table 41

Tense-Lax Group of the Remaining

Division II Finals

Rime Group Division Tense Group Lax Group

Jia II H â ( / ^ ) II J1Î ( < â ) Xie

This tense versus lax distinction can be extended to the finals of other Divisions:

Table 42

Tense-Lax Group of Division III and

Division III/IV Finals

Rime Group Divis ion Tense Group Lax Group

X i à n III/IV Y4n (^ê.) Qîn (f'^) Shên

Shân Zhên ( ) III/IV Xiân ( i l U ) Zhên Zhên ( ^ )

Shân Yln IIK/IV) Yuân ( ^ ) Zhên W6n (<&)

Dâng III/IV Y6ng ( Zhêng ( ^ ) Zêng

Gêng IIK/IV) Gâng ( ^ ) III QÎns )

As for the rimes later included in the Gu#-Ji& rime 340 group, it is apparent that they belong to the tense group.

However, the identification of the lax counterpart of these finals need much discussion.

Judging from the notes found nowadays attached to the table of rime indices of KMBQ-I, KMBQ-II and KMBQ-III it is unlikely that all of the four rimes later grouped into the Zhï rime group were systematically distinct in all the dialects of the time of QY. Then the establish­ ment of these four rimes is again the result of a kind of reconstruction by the author or the participants of the discussion for QY. If this is the case, obviously those rimes which could be the lax counterparts of the

Division 111, the Single Division IIl/lV and the Paired

Division III/IV Finals of the Gu^-Jià and the Xi^ rime groups are those of the Zb^ rime group.

However, there is a great difficulty with the treatment.

If the contrast between the four rimes of the Zh^ rime group is interpreted as a kind of reconstruction and the reconstructed forms are assumed as —

The Zhî ( - ^ ) rime : **ïec xeï *ïe

The Zhî 0 ) rime : **iet 'ïet * Î £ Ï

The Zhî ( ) rime : * * Î 9 c * Ï9

The Wéi rime ; * * î a t ist then there is great difficulty in distinguishing some of them from the Division 111 Finals of the Qf ( ) and the 341 Hii ) rimes. However, the very exceptional and

restricted occurrence of these finals (namely only two

for the Qf ^ rime and only one for the Hii X ) ^ rime,

each of them containing only one morpheme) in the third

Division suggests certain special problems.

The fan-qi&'s of and in various variants of

QY and GY are —

QY-III KAN KMBQ-III ZGY GGY jA 6. êL

lii „ ) (5?.-R^A) (51%-;A)

The initial consonants of these two words were un­

doubtedly palatals. Since is placed in the 13th table 145 of YJ, Yu-chxSn L<5ng wonders if these two were the even-

tone counterpart of the finals of the ji ( 4 ^ ) rime.

(Actually 7 ^ is placed in Table 17 in QYZZT so that it

could easily be mistaken as the even-tone counterpart of

the finals of the Jl rime.) His conjecture is, how­

ever, far from the truth. If there were no fan-qiè spell­

ing for these characters, one might think that since the

rime dictionaries lacked rime indices for the even-tone

counterpart of the Jx ( ^ ) rime, the author put the

counterpart for convenience in the Qf ( ' ^ * ‘ ) rime. How­

ever, the fkn-qi&'s clearly show that the final of these

two characters should be the same as that of Qf (^^) 342 rime characters. In the original version of QY, these two syllables seem to have been included in the q £ rime. Liao-weng W&i's Postscript to TY copied by -ludn 146 Wd confirms this:

In this book £TY3, two characters .and are separated Efrom those of the Qf rime3 and each of them constitutes one ^independent^ homophonie group. Note: In ÎFâ-ydnJ Lù*s book, Kthese characters3-were grouped together with those of the Qf ) rime; in the present book ÎTYÎ Kthese) are separated.

The difficulty with the above interpretation consists in the widely accepted interpretation of finals that the

Division IV Finals never occur in any other Division except

Division IV and those finals that occur in Division III should always contain a medial -Ï- or -ÿ-. This under­ standing must be reconsidered. There is no definite justification for the assumption that the Division IV

Finals could never occur after palatal initials. Even if we accept this type of exceptional occurrence of Division

IV Finals, it does not spoil any generalization about the features that characterize the phonological behavior of the finals. Then why do we not accept such combination as palatal *3 or *j:i plus a Division IV Final such as *eï, which is not against the information given by the rime dictionaries, and which is actually justified by the descendant form of in MGZY does not occur in 147 MGZY). If this is accepted, the exceptional occurrence of the Division III counterpart of the Qf rime does 343 not constitute any trouble for the reconstruction of the four finals of the Zhï rime group.

The same could be said about the case of the one exceptional occurrence of the Hâi ( ) final after a palatal initial. Although this is its only occurrence in

QY, two more characters occur in the corresponding third

Division of the same table of YJ: in the even-tone part,

, and in the rising-tone part, . QYL lacks the second one. In QYZZT, occurs in the third Division, and and in the second Division. The occurrence of these characters is very possible and reasonable, because anyway there are systematic gaps for the occur­ rence of the even-tone and the rising-tone counterparts of the ji (' / ^ ) rime in these rime tables. Thus in the rime dictionaries, too, occurs for the first time in

GY as one of the homophonie groups of the Hâi ( ) rime with the fMn-qi& ^ Î occurs for the first time in GY as one of the homophonie groups of the rising-tone counterpart of the Jii ( i Û . ) rime with the fan-qiè

Since there is no corresponding character in the table of YJ for the rising-tone counterpart of the Jii

(1È. ) rime, the found in the Division III of the Hii

) rime should be some kind of descendant of the homo- phonic group of the rising-tone counterpart of the Jii

) rime. 344

had a palatal initial too. The f&n-qie's are --

QY-III KMBQ-I KMBQ-II KMBQ-III ZGY GGY JY

T. Dong doubts the origin of as distinct from the same character which occurs as a homophonie group of the

Zhî (^ ) rime (rising-tone, kai-kou Division III, Zhho- mu initial). The behavior of in the history of Chinese is somewhat mysterious. Mandarin has regular corre­ spondents, chai for the under consideration and zhî for the originated from Archaic Zhx ( ^ ) rime cate­ gory. All the older information obtained from Chinese native documents confirms the regularity of these Man­ darin forms. However, both the hP*ags-pa transcription

and the romanization by Trigault give the regular form

for the first one, "tî'aj (rising-tone) in MGZY, "*chai"

in XREMZ, but for the latter, "tS'i" (rising-tone) in MGZY,

'"chi" in XREMZ. In any event, "t^'aj" or "'chki" is the

correct descendant of the under consideration. If this

is true, then since both the JiS ( YÊ- ) and the Jie ( ^ )

rimes could not in general have Division III variants,

the under consideration should be regarded as an

innovation in Ancient Chinese or some irregular change

from Archaic Chinese. In any case, since the Jl (^T )

rime occurs only with the departing-tone and lacks the

even-tone and rising-tone counterparts, it is very possi­

ble that some descendants of Ancient Chinese had such 345 innovation or irregular change. However, since in KMBQ-

III and QY the characters under consideration are included in the Hii ) rime, the combination of a palatal ini­ tial plus a Division 1 Final must be assumed. Thus, in the present case too, the Division 1 Final occurs after the Division 111 initial.

In conclusion, the tense and lax pairs of finals in question can now be established as follows:

Table 43

Tense-Lax Group of the Remaining Division 111

and Division 111/IV Finals

Rime Group Division Tense Group Lax Group 111/lV Gê ( 1 ^ ) III Zhî ( ^ ) Guo-Jia 111/lV Mi III ZhI (A.) IIK/IV) m (/&) wéi Xi&, Zh% 111/lV Jl ( ' & ) ZhI ( . A e )

It is counted as one of the most significant charac­

teristics that noncompact vowels are neutral to this

tense-lax distinction.

4,3.3 The phonological charac­ terization of five types of finals

In section 2.3 the distributional pattern of Ancient

Chinese finals (strictly speaking, of the descendants of

these finals) in rime tables is summarized. Through the

correspondents in modem dialects as well as foreign loan 346 words of old Chinese, it can be gathered that these patterns reflect certain intrinsic features of the consti­

tuents of the different types of finals during the time of

Ancient Chinese. If the distinction of tense versus lax gives one dimension for the characterization of Ancient

Chinese vowels (and finals), the phonological feature to be discussed below will give another dimension. Most of

the knowledge of these correspondents is due to the works of the early pioneers of this field. However, the phono­

logical characterization of the distinctive features that

constitute the difference of distributional pattern of

Ancient Chinese finals in rime tables needs further study,

4.3.3.1 Distinction between Divisions I and II Finals

Karlgren's idea concerning the distinction of Divi- 149 sion I and Division II Finals still holds. The dis­

tinction between grave and acute main vowels distinguishes

Division I Finals from Division II Finals. Although a

very revealing study concerning the Archaic origin of

Division LI Finals and their characterization from that

point of view has recently been carried on by S, E. Yakhon- 150 tov and PuIIeyblank, and although the only difference

between the modern correspondents of most of the Ancient

Division I Finals and the corresponding Division II Finals

(the palatalization of the velar and guttural initials

before only Division II Finals as seen in the Tibetan and 347 hP'ags-pa transcriptions) may be due to certain initial clusters in Archaic Chinese, Karlgren's characterization holds with respect to almost all of the relevant evidence

in modern dialects as well as foreign loan words. Southern

Min dialects and Go-on provide interesting information concerning the distinction of Division I and Division II

Finals with the same ending. In these dialects, the dis­

tinction is mainly due to the feature gravity of the vowels; a grave vowel for Division I Finals and an acute vowel for the corresponding Division II Finals. It is

interesting to find that in ZYYY, which reflects the phonological system of the colloquial northern Chinese of

the 14th century, some of the Division I versus Division 151 II distinctions are kept only after labial initials.

Judging from the evidence of the time, the distinction

grave versus nongrave of the main vowel may be assumed as 152 follows :

pou (ij^) versus pau ( f i k . ) -- even-tone

pou ) versus pau ( ^ t L > ) -- rising-tone

pou versus pau — departing-tone

Consequently, in the case of certain finals, although

the feature grave versus acute originally may be due to

some kind of Archaic medial segments, the most reasonable

Ancient distinction as such is grave versus acute vowel.

It is unlikely that some segment or feature other

than the feature gravity of the main vowels will serve as 348 the distinction in question. A s seen in the discussion of 153 the so-called ch6 ng-niu pairs of initials, the use of the upper fan-qiè characters in rime dictionaries is

"sensitive" to the difference of medials. Since there is no systematic difference of the use of the upper f&n-qiè characters for the syllables with Division I or Division II

(as well as IV) Finals, except for the cases of shé-yîn and chï-yîn, the only possible distinction for these finals

is the feature of the main vowels.

Four Division I Finals, the Dong (^ ) I, the Dong

( 'dr ), the Hdu ( ) and the M<5 do not pair with

Division II Finals. As mentioned briefly in section 4.3.1.8

the Tibetan and the hP'ags-pa transcriptions of the de­

scendants of these finals show that the main vowels of

these rimes in Ancient Chinese might be some kind of

back (grave), rounded (flat), high (noncompact) vowels.

The only source which provides some reliable information > on the Ancient distinction between the Dong ( '^ ) rime on ijj the one hand and the Dong ( -^ ) and the ZhSng ( ^ Ü ) rimes

on the other is Sino-Korean and Sino-Japanese. Although

the distinction between the Dong ( ^ ) I final and the

Dong (/^) final is not clear in Sino-Japanese, it could

be sought through their Division III counterparts. Since

the Division III counterpart of the Dong ( ’^) I final

is boirrowed into Japanese chiefly with the main vowel

((u)), whereas the Division III counterpart of the Dong 349 A 154 ( ) final is with the main vowel ((c)), the same distinction of main vowels can be assumed between the

Dong ( ) I and the Dong ( ^ ) finals. As was elaborate­ ly clarified by R. LÏ, the same distinction can be extend­ ed to the Hdu (fK ) and the M<5 finals, and also to their respective Division III counterparts, the Ydu (^ ) and the Yd ( Æ ) finals, although the Chinese transcrip- - / x tion of the Sanskrit alphabet on which R. L'l relied so much is not very certain in the sense that the exact phonetic value of the Sanskrit characters may not be the 155 same as what is assumed today. According to R. L%*s reconstruction, not the characters of the Y<5u i i u ) rime, but those of the Hdu (/^) rime should be used for the transcription of the Sanskrit character for ((u)). Never­ theless, the recent study of the riming of the poems of 156 the Su£ dynasty by H. Chang elegantly supports R. Li's conclusion. But the expected direct descendants of the

Archaic correspondents of these rimes are not the above pairs, but the following:

Division 1 Single Division 111/IV

The H(5u Rime The Yd ) Rime

The Md (^1^) Rime The Yd ( ,^\) Rime and Sino-Japanese suggests the same combination. In 350 order to solve the mystery, PuIIeyblank had the follow­

ing idea:

*ou for the M<5 (/|^ ) rime; and *ïou for the Yd (>^ ) rime;

*u for the Hdu ( ) rime; and *iu for the Ydu ( ^ ) rime.

By this reconstruction, he neatly excludes the Yd

()^\ ) rime (*xo) from the Md )-Yd ( ^ ) pair.

The weak point of R, Li's reconstruction of *u for the Hdu ( I ) rime and iu for the Ydu ( iLJ ) rime is

that judging from the Archaic origin and the later descend­ ants of the Ydu i ' K j ) rime, it is not possible to relate these two rimes without assuming a certain vowel segment 159 preceding the *u reconstructed by R. LÏ. The weak point of PuIIeyblank's reconstruction (which is a purely

logical reconstruction) is that if the reconstruction is correct, the Md )-Yd (/^ ) pair turns out to be more appropriately the ancestor of those finals in Middle

Chinese and Modern Mandarin which are actually the descend­ ants of the Hdu (f^)-Ydu pair, rather than the ancestor of those which are their own descendants.

The only reasonable solution is to assume that for some reason the main vowel of the Yd ( rime lost the phonological feature or features common to the main vowels of both the Md ) rime and the Yd (/^ ) rime; consequently the characters with the Yd ( f ^ \ ) rime were 351 all excluded from the Md )-YxS (/^ ) group. Concerning this interpretation, there is some strong evidence:

1) Tibetan transcriptions provide the clearest evidence. The descendants of the YiS ( Æ ) rime are all transcribed with the vowel "u", whereas those of the Yd

(,'^x) rime are transcribed with either ”i" ("a") or "u."

This suggests the acuteness of the vowel of the descend­ ants of the Yd ( i’^\ ) rime at that time, as Fang-kuei Li 160 correctly inferred.

2) The acuteness of the descendants of the Yd ( ^ \ ) rime in Tibetan transcriptions is by no means isolated.

Although the descendants of the Yd ( rime and the Yd

(/^) rime are not distinct any more, we find an unround­ ed front vowel [i] in the finals of the descendants of the Yd ()^\) rime in various dialects of Hakka.

The most reasonable reconstruction would indubitably be a front (acute) main vowel for the Yd ( ^ \ ) rime in contrast with a back (grave) vowel for the Yd (/^ ) rime.

In this study, the vowel for the former will be repre­ sented in the alphabetical form as *y. The discrepancy between the information on the distinction between these two rimes from two sources of approximately the same time,

Kan-on and Tibetan transcriptions (the former suggests rather a connection between the Md and the Yd rimes, whereas the latter suggests the connection between 352 the m 6 and the Yd rimes) is open to further inquiry.

As pointed out above, the Chinese transcription of the Sanskrit "u" quoted by R, LÏ is a puzzle, if the

Ancient sound value of the Hdu (/^) rime was really as he reconstructed. Actually we find those Chinese charac­ ters used for transcribing the Sanskrit "u" almost exclu­ sively with the Ydu ) rime, none with the Hdu ( ) 161 rime. This could very possibly be due to the fact that either the actual pronunciation of the Sanskrit charac­ ter was different from that of a genuine [u], or R. Li's reconstruction of the vowel of the Hdu (f^) rime is wrong.

There was probably some kind of vowel segment preceding

R. Li's *u in the Hdu rime. So that the transcribers of the Sanskrit "u" hesitated to use Chinese characters y ^ with the Hdu (/^ ) rime; they rather used Chinese charac­ ters with the Ydu ( ^ ) rime. Discussion on the exact properties of the "vowel segment" belongs rather to the study of Archaic Chinese. Also there was no rime with only the vowel "u," other than the Hdu ( ) rime. Con­ sequently, R. Li's reconstruction is accepted as one way of phonological characterization of the exact sound value of this rime. This reconstruction serves only as the underlying representation of the rime, and there should be a set of phonological rules which will specify the exact phonetic properties of the vowel. 353

Now, if a vowel segment with grave and compact

features is denoted by the letter "a," that with nongrave and compact features by "a," both of them being tense vowels, and if the lax counterpart of the former is designated by "a,” and the lax counterpart of the latter by "Ethe finals under consideration can be recons true ted as given in Table 44. Table 44

Reconstruction of Ancient Division I and Division II Finals

Tense Group:

Tài 0: aï Hâu: au Tân; am Hân 0 : an Ilng 0 :an (#K)' (&) ('&) ( ^ ) (g' ) Div. I Ge Cl: ua Tài C: üaï Hân C: üan Tâng C;üan ( $ 1 ) (&) (!*-) (/#) Mâ OII:a Guai 0:aï Yâo :au Xiâo: am Shân 0:an Jiâng: an Gëng 011:an ( ^ ) (*) m T ) (*'j) Div. II Mâ, CII:üa Guai G:üaï Shân C:Üân Ging CII:üan (#) ( ^ ) (#'j) (K) Lax Group:

Hii: aï Tân; am Hân: an Dëng 0: an ( * ë ) ( $ ) (ÿpc) ( ^ ) i^ X V # X Hui : Hân: üan Ding C:üag ( ^ ) (%) Jiâ 0: g Jii 0: ex Xiân:gm Shân:0:gn a ± ) ( ^ ) (#.) ( ) Div. II Jii C: ûs Jii C:uex Shân C:Ü£n Ging C: üen a ± ) (#) ( d ^ ) (&fr) 355

As mentioned in section 4.3.2.4, the noncompact vowels are neutral to the tense versus lax distinction. The reconstruction of the four Division I Finals with noncom­ pact main vowels, together with their Division III counter­ parts are given as follows :

Table 45

Reconstruction of the Remaining Division I Finals

Division I Hdu *u Dong I *un Dong *on (M) (#_) ( ^ ) ^ Single Ydu *iu Dong III *lun Zhong *lon (?C) ( $ . ) ( # ) ^ Divis ion ( ¥ ) “

III/IV

Since they share the same rime index, the reconstruc­

tion o f the following two Division III Finals and three

Single Division III/IV Finals is mechanically decided:

Table 46

Reconstruction of Division III and

Single Division III/IV Finals

Geng ( ^ ) OIII Division III Geng ( ^ ) c m *yaji

Single Division Gê (S%) OIII * x a Md (>^) OIII *ïa

III/IV Gê (#/C) CIII *ya

4.3.3.2 The characterization of Division III Finals

The characteristic of the Division III Finals is:

1) In the process of later change or in the riming 356 systems of poems of the time of QY, Division 111 Finals were related rather to Division 1 Finals, whereas Paired 162 Division 111/lV Finals are related to Division IV Finals;

2) Also what is exclusively characteristic of these finals, is that the spirantization of Ancient bilabials

(which will later be called "labiodentalization") took place without exception before these finals (as seen in the table of hP'ags-pa transcription; Modern Mandarin is in this respect a little heterogeneous). As can be seen in Chao's elaborate discussion, the change is regarded as due to the two features of the following segments, namely sharpness (palatalization due to the medial and gravi- 163 ty ( due to the back or central main vowel);

3) Whenever there is a Single Division III/IV Final in a rime group, there is no distinct Paired Division III/

IV Final; and wherever there is a Paired Division III/IV

Final, there is no distinct Single Division III/IV Final,

In other words. Single and Paired Division III/IV Finals occur in complementary distribution within one rime group.

4) Finally, Division III Finals usually co-occur with a Paired Division III/IV Final within one rime group ; thus

Division III and Paired Division III/IV Finals on the one hand and Single Division III/IV Finals on the other, occur

in complementary distribution with respect to one rime group.

With these facts about the phonological nature of 357

Division III Finals and others, the following points may

be inferred;

1) The distinction between Division III Finals and the

corresponding Paired Division III/IV Finals consists in

the grave vowels of the former and the nongrave vowel of

the latter;

2) Single Division III/IV Finals are neutral to the

grave versus nongrave distinction: some of them are with a

grave vowel and some with a nongrave vowel on the phonetic

level. Thus some of the Single Division III/IV Finals can

share the same rime index with the corresponding Division

I Finals, and some can share the same rime index with the

corresponding Division II Finals as mentioned before;

3) The Gëng ) III Finals are exceptional in the

following respects: first, they are the only Division III

Finals before which Ancient bilabial initials did not undergo labiodentalization; and secondly, they are the

only finals that share the same rime index with Division

II Finals, Also judging from their behavior in the pro­

cess of later history and judging from the Tibetan and

hP'ags-pa transcriptions, they do not behave like Division

III Finals at all. Finally, the placement of the Geng

(/^) III finals has something to do with the unusual

axrrangemant of the Qing ( ' 1 ^ ) rime in the rime tables.

The finals of the Qing ( ) rime with shë-sh&ng-yin,

zhëng-chi-yln and bkn-shé-yin are put in a table together 358 with the descendants of the corresponding "lax" series of finals (i.e. the Gêng ^/j rime) ; whereas the finals of the Qing (;>] ) rime with initials other than shé-shàng-yïn, zhhng-chi-yin and bàn-shé-yin are placed together with the descendants of the corresponding "tense" series (i.e. within one table, the Gëng II finals in the second

Division , the Geng III finals in the third Division, and the Qing '-fll finals in the fourth Division). This means that either the Gêng { f Ê ) III finals underwent a special change so that they constitute the Division III counterpart of the Qing ) final occurring in the fourth

Division (this pairing being more suitable than the com- bination of the original Qing finals occurring in the third and the fourth Divisions), or the Qing (: (^ ) finals underwent a certain change so that those Qing (:^ ) finals \ - in the fourth Division pair with the Gêng (/y*^ ) III, rather than the original Qing ( : ^ ) finals in the third Division.

The characteristics of the Ging (/^ ) III finals can be explained as the result of assimilation to the palatal 164 ending or of changes due to the palatal ending. Inci- dentally, this is why Toodoo regarded the Ging (r^) III and those Qing ('■fcj ) finals which were put together with the 165 former in one table as constituting chdng-niu pairs.

However, this combination of "seeming chdng-niu" pair is the result of a change from Ancient Chinese; and what is to be 359 found out is the Ancient distinction between the ancestors of these two finals in question in rime tables.

To regard the pair under consideration as one of the

"ch6 ng-niu" pairs is completely unmotivated. It is very easy to notice that the Paired Division III/IV Finals in YJ are divided into two separate tables; for example: those finals of the Xian ({J-) ) rime which occur in the third Division are put together with the Hân ( ) (in the first Division), the Shan (iff!'']) (in the second Divi­ sion), and the Xian ( -^ ) (in the fourth Division) rimes; whereas those in the fourth Division are put together with

the Shin (li-l ) (in the second Division) and the Yuin (7u )

(in the third Division) rimes. The same situation occurs with the j1 ( ^^ ) , the Xiao ('/^ ) and the Yin ( ^ ^ ) rimes.

Consequently, if there is any reasonable treatment which

counts those finals of the Qing ) rime as constituting

chdng-niü pairs, then the pair should be those finals of

the Qing ('^ ) rime occurring in the third and the fourth

Divisions, not the combination of the finals of the Qing

( ~ (Q ) rime in the fourth Division and those of the Ging

^ ) rime in the third Division.

4.3.3.3 The characterization of Paired Division III/IV Finals

If the main vowel of Division III Finals is grave,

then the main vowels of Paired Division III/IV Finals

should be nongrave. The main point of issue in this 360 section is rather the characterization of the main vowel of Paired Division III/IV Finals in contrast to that of

Division IV Finals (as mentioned in the preceding section.

Paired Division III/IV Finals do not contrast with Single

Division III/IV Finals within one rime group).

Karlgren strongly rejected the reconstructions by his predecessors such as S. H. Schaank, P. Pelliot and H.

Maspëro who somehow identified the main vowels of Division

II Finals and of those finals occurring in the third or 166 fourth Division. He proposed that if the main vowel of a Division II Final of a rime group is a "back vowel a" then the main vowel of Division III/IV Finals should be 167 the "front vowel g." However, his argument against

Maspéro's assumption of ((a)) as main vowel for those finals occurring in the third or fourth Division is hardly convincing. He argues that although Division II Finals contain the medial -x- in many Mandarin dialects, they are nevertheless strictly distinguished from Division III/

IV Finals in some dialects. For example in the Gul-huk dialect, they are mutually distinct as follows:

JEjjiasY -- Shan ( ) 0

JEjSiey — Xian (IlXi ) OIII

He is not satisfied with these examples of modem dialects only. The difference in modern dialects could be inter­ preted as the absence versus presence of the medial 361 in Division II Finals and Division III/IV Finals respec­

tively;

Ancient *an -* Gui-hua iaey

Ancient *ian -* Gux-huk iey

In order to reject this, he quoted the correspondents in

Sino-Japanese (Kan-on) and Sino-Korean:

Sino-Japanese Sino-Korean

Division II : an an

Division III/IV Î en an

Without finding any "medial” in the pronunciation, he is satisfied and concludes definitely that if the main vowel of the Division II Final of the abdve case is a "back vowel a," then the main vowel of the Division III/IV Final of the above example should be a "front vowel s."

Unfortunately, however, it is a famous fact that many of the has or had a tendency of avoiding diphthong within a syllable, and that is exactly the case of Japanese too. So it is very possible that Japanese heard [xæn] as "en," Moreover, it seems that Maspéro's discussion is underlied implicitly by the understanding that the phonologically distinct possible vowel in the finals under consideration should be either ((a)) or ((e))

(in other words, the only possible distinction in terms of tongue height is either ((a)) or ((e)); that is, either compact, nondiffuse or noncompact, nondiffuse). In this respect, Karlgren not only failed to prove his point, but 362 also discussed the problem in terms of a different vowel parameter; namely what he proposed is neither ((a)) nor

((e)), but *g. Thus, Karlgren's discussion contributes very little to the reconstruction of the main vowel of

Paired Division III/lV Finals.

Another characterization of the main vowels of Paired

Division IIl/lV Finals is due to Pulleyblank, He also restricts the possible "tongue height" distinction to either ((a)) or ((e)); and he systematically identified the main vowel of Division IV rimes and the corresponding

Paired Division III/IV rimes within each rime group (in- eluding the Qing J N rime contrastive with the Division

IV Final of the Qing 7^ rime) as both being ((e)).

These pairs of finals "are associated in the QY and the rime tables as closely as of ag, and 9 g, ïgg, etc., and

they have largely fallen together in modern dialects, a

process initiated by the breaking of -e-to -ye- in the 8 th 168 century Tdng dialect."

Maspéro's position has to be justified here against

the above two challengers. In the hP'ags-pa transcription

of the syllables with the descendants of Ancient Paired

Division III/IV Finals, although there is irregular coa­

lescence in some rime groups, the distinction between

finals with palatalized and nonpalatalized initial is fair­

ly well preserved. The general tendency of coalescence of

Ancient finals is -- 363

1) Division I and Division II Finals are distinct only after velar and guttural initials; elsewhere they coalesced.

2) In the case of Paired Division lll/lV Finals: those with nonpalatalized initials coalesced with Division

111 Finals; whereas those with palatalized initials systema­ tically merged with Division IV Finals,

Thus, in the case of the Xi^n rime group, for example, the finals changed in the following way:

Division 1 Tén am Finals T^n •r Division 11 fXién (^?'D\^jam (after velar or guttural initials) Finals ( Xictn am (otherwise)

Division 111 Yân ( & )

Finals Fin ( ^ ) sm Paired Division ^Yin ( & ) 111

111/lV Finals Y i n ( i E ) IV

Division IV em Tiân ( ) Finals

Concerning the exact sound value of the hP'ags-pa tran­

scription "S" above, there could be much controversy. How­ ever, it is indubitable that the Division 111 counterpart of Paired Division lll/lV Finals coalesced with Division

111 Finals, As mentioned above, the distinction between

the vowels of Division 111 and Paired Division 111/lV

Finals is grave versus nongrave. Now, the distinction between the vowels of Division 1 and Division 11 Finals 364 and, in the case of the Xiiin rime group in particular, the distinction between tense and lax vowels are lost by the time of the hP*ags-pa transcriptions. Thus the following scheme of coalescence of Ancient Chinese finals is assumed. Table 47

Change of the Xiin Rime Group

(0) (I) (2)______(3) (4) (5) (6 ) (7) (8 ) Tense Div. I T^n *om -* oun ^ < $ % )

Lax Div. I Tin -* am ( $ ) am :"am"

Tense Div.II Xi6 n *am -* am -* am"" (#) ^ (j ) a m /

Lax Div.II Xiin *em -* ^ ( j)am ------(j)am -— (j)am :"( j)am" ( ^ ) ^ (j)Em \ ïam

Div.Ill Yân *iam --- xam --- ï o m ------^ïam — ïam :"Em" ( m )

J , V V V V Double Yân *iam ——— ïam ——— iam —————— iam Vlam III/IV ( M ) ïem —- lem (j)iem:"em" Div.IV Tiân *em -* (j)em — (j)em ------(j)em ___

w O' Ln 366 (0) is the situation of distinction in Ancient

Chinese.

(1) Initials before a final with a front vowel (non­ grave) are palatalized; this applies only to velars and gutturals before a compact vowel ((a)) or ((E)) and any initial before a noncompact vowel ((e)). The exact cause of the palatalization (especially before Division II

Finals) may not be homogeneous. In any event, the change of initials before Division II and Division IV Finals can be characterized by one rule.

(2) The Ancient distinction tense versus lax is lost at this stage; this may precede (1). Order is not signi­ ficant with respect to ( 1 ) and (2 ).

(3) Since ((a)) and ((a)) become complementary after velar and guttural initials (namely only ((am)) after nonpalatalized velars and gutturals and only ((am)) after palatalized velars and gutturals), they tend to merge. Next, the same((a)) and ((a)) in ((lam)) and

((xam)) are also influenced; and due to structural pressure, ((xam)) after palatalized initials are differen­ tiated from those after nonpalatalized ones.

(4) The contrast grave versus nongrave is lost. By the time of ZYYY only one trace of this distinction was 169 left.

(5) The "Brechung" of ((e)) after palatalized initials caused the merger of the descendants of Ancient Division 367 IV Finals and the Division IV counterpart of Paired Divi­ sion III/IV Finals (this is why both of them occur in the

fourth Division in rime tables).

The result of changes (1) through (5) can be ob­ served in the hP'ags-pa transcription. The corresponding

transcription is given under the numeral heading (6 ),

After this, the same type of "Brechung" of ((a)) after palatalized initials caused the coalescence of the descendants of Division II Finals preceded by velar or guttural initials on the one hand, and the descendants of

Division III Finals and the Division III counterpart of

Paired Division III/IV Finals on the other. This is

stage (7). Finally, at stage (8 ), ((ïam)) and ((ïem))

lost contrast. In the romanization of XREMZ, already 170 these two cannot be distinguished.

However, the last change mentioned above is as a matter of fact not the change of the vowel ((e)) into ((a)) on the phonetic level; ((a)) actualized as a front vowel

(very probably as [e], although Trigault spelled it as

((e)), and this is also the situation in modern Mandarin) and so it became difficult to maintain contrast between

the original ((ïem)) and this [ïsm], so that they coa­

lesced. In the formula (on the phonological level), this

is a change of ((e)) into ((a)), but it is true only as one way of characterizing the underlying system minimally required to uphold phonological distinctions, or just as 368

one way of formulating what happened in terms of the

changes of the abstract presentation of the actual events.

This is the point on the basis of which we have to

differ from Pulleyblank. The reconstruction of *iem for

the above mentioned Paired Division III/IV Finals by

Pulleyblank, does not differ very much in its appearance

from what we are going to propose below. However, there

is no evidence that on the one hand *iem preceded by

palatalized initials (in Pulleyblank's reconstruction,

genuine *xem, distinguished from *xem) coalesced with

the descendants of Division IV Finals, and on the other

hand the main vowel of *xem preceded by nonpalatalized

(in Pulleyblank's term, *iem) initials had to change

from ((e)) to either ((a)) or even ((a)), not only in its underlying form but also in its actualization. Further-

more, by this scheme, the main vowel of the Y^n (_uZL )

rime seems to wander in the history of the Chinese lan­

guage so that it started as some kind of ((a)) in Archaic

Chinese (the finals with it were rimed with the ancestor

of the Tân rime *om, the Xiân rime *am, etc.),

became ((e)) in Ancient Chinese, coalesced with the main

vowel of the descendant of *xam (which was distinct from

the descendant of *iem), and finally in XREMZ and modern

Mandarin coalesced with the descendants of Ancient *e

and *a. 369

Archaic Ancient hf'ags-pa XREMZ Mandarin

**Xam -* -* (X)am -* (x)em [isn] -* (x)am [ten]

As a matter of fact, the main vowel ((a)) is found already in the Tibetan transcription of the descendants of the tense series of Paired Division III/IV Finals preceded by retroflex initials. Then, let us reconstruct the main vowel in its underlying form as compact (*a) and --

1) As in the case of the descendants of the Division

III Finals preceded by labial initials, the original

(Ancient) main vowel *a was preserved in the process of later change when it was preceded by retroflex initials

(because as in the case of labials followed by the descendants of the Division III Finals, the medial -x- was lost very soon after the Ancient period), even in its phonetic actualization;

2) If the main vowel was in other environments actualized as a front vowel such as [s] as is suggested by the hP'ags-pa transcription, let us assume a phonolo­ gical rule which specifies this phonetic feature, assuming still ((a)) as the underlying form of the main vowel.

Even if this phonetic specification rule is necessary for actualizing the vowel as [s], the underlying characteri­ zation of the vowel as ((a)) still holds, because the actualization of the vowel preceded by nonpalatalized initials was transcribed in the hf'ags-pa transcription clearly distinct from the descendants of Division IV 370

Finals and the Division IV counterparts of Paired Divi­ sion III/IV Finals.

The reconstruction of the main vowel *a explains the behavior of the syllables with Paired Division III/IV

Finals in the riming of the poems of the Suf dynasty 171 pointed out by H. Chang. These syllables with the

Paired Division III/IV Finals and the corresponding Divi­ sion IV Finals often rimed within each rime group in An­ cient Chinese; nevertheless they did not share a common

rime index. Judging from the special note on the dis­

tinction between these two types of finals in the preface

of QY, undoubtedly they coalesced in some dialects already

at the time when QY was compiled. However, this fact

could not necessarily be the definite evidence that these

two types of finals shared the same main vowel in the

variant of Chinese reflected in QY. Recently it has been

reported that in one of the modern Wu dialects, distinc­

tion is still preserved between the descendants of these

two types of finals in certain phonological environments ;

and the distinction is due to the difference of main

vowels, though the value of these vowels is the opposite 172 of what is here assumed as of Ancient Chinese.

Concerning the relationship between these two types

of finals in rime tables, we notice the conspicuous fact

mentioned above. Namely, all of the tense series of Paired

Division III/IV Finals are divided into two groups: the 371

Division III counterpart and the Division IV counterpart, and it is the former that is put together with the corre­ sponding Division IV Finals, For example, in the case of the ) rime, the Division III counterpart is in

Tables No. 13 and 14, together with the Q£ ( ^ p ) rime; whereas the Division IV counterpart is in Tables No. 15 and 16.

Table 48

Occurrence of Paired Division III/IV Finals in Rime Tables

Table Division I Division II Division III Division IV

13 0 HSi ) Jii ) Jl III Ql ( # ) Guai ( ;^ )

14 C HUÎ ) Jie ( H s ) Jx ( # T ) III QÏ ( # )

Guai ( 9 ^ )

15 0 Tài ) ■ Ji5 ( f ^ ) Jl ( # ) IV

16 C Tài ( $ r ) Jia (fl) Jl ( ' % % ) I V

2 1 0 Shan ( i-i-' ) Yuln ( ) Xian C i i h )

22 C Shan ( i-i-l ) Yuln ( ^ ) Xian (^iLi-l )

23 0 E â n ( ^ ) Shan W ' j ) Xian ( ' l l h ) III Xian ( ^ )

24 C H i n (Pf-) Shin ( M ) Xian (ich) III Xian (-7^)

25 H^u ( r ^ ) Y i o (-f ) Xiao ( ) III Xiao )

26 XiioC*^’ )IV

39 T i n ( ^ ) Xi^n ( ) Y^n (ik) III Tiân

40 T i n (1^1) Xi4n (#J) Yin (^) Y i n ( ^ ) I V 372

If we put the hP'ags-pa transcription in Table 48, we will obtain Table 49,

Table 49

hP'ags-pa Transcription of

Paired Division III/IV Finals

Table Division I Division II Division III Division IV

13 aj (j)aj i (j)i V 14 ul waj ul ÜI

15 aj (j)aj (j)i 16 ul waj liï(î)

2 1 (j)an; (j)a sn; e en; e

2 2 wan; wa on; WE wen; we

23 an; a (j)an; (j)a sn; e en; e

24 on; wo wan; wa on; (wE?) wen; we

25 aw ( j)aw ew ew

26 ew

39 am; o (j)am; (j)a sm; (e?) em; e

40 am; o (j)am; (j)a sm; e em; e

It can be inferred from Table 49 that --

1) By the time of the rime tables of the S&ng dynas­ ty, the distinction between Ancient Division IV Finals and the Division IV counterpart of Paired Division III/IV

Finals was completely lost in the living language. This is why the author of these rime tables put these two groups of finals in the fourth Division. 373 2) Since the descendants of these two types of finals coalesced in actual pronunciation, they cannot be put together within one table because these rime tables are supposed to show the older system in terms of the arrange­ ment and placement of Ancient rimes,

3) Now that these two should be put in separate tables, why did tho author of rime tables not put the

Division IV counterpart of the Ancient Paired Division

III/IV Finals in the same table where we find the Divi­ sion III counterpart of the same finals? Namely instead of —

Table Division I Division II Division III Division IV

13 Hal Jiê ) jl ("%") III Qf (1^'^)

1 5 H i ( ^ ) J i i (ii) Jl IV why did the author not make the following arrangement?

Table Division I Division II Division III Division IV

13 Hâi Jiê C ë ) Jl ( # ) III Jx ( # ) IV

15 Tài (ij>) Jia i i i ) Qi c f i t )

Now, it was T. Dong who noticed the Archaic rela- 173 tionship of the ch6 ng-niU finals with other rimes.

Many of the characters with the Yàn ( ) III final share the same phonetic (xié-shêng-fû) with those characters with the Tàn ( ), the Xiàn ) and the Tiân ( ' 4 ^ ) rimes; whereas those Chinese characters with the Yân

) IV share the same phonetic with those containing the Tin and the Xiin (4$]") rimes. The relationship 374 of the ch<5ng-niu pair Yân III and Y^n ( ^ ) IV with other rimes of the Xi^n rime group is exactly what is

found in tables 39 and 40 of YJ. The Xian ('{d-) ) III final

is related to the Shan (/i^'] ) IV, whereas the Xian ('{ilj ) IV

final is related to the finals of the ShSn ( ) rime.

The Jx ( '^~) III final is close to the finals of the Guai

( ^ ) rime, whereas the Jx IV final is similar to

the finals of the Qf rime (the latter two could not

be in the same table), though it is also close to the Jiê ^4^ V ( fe? ) rime. In the case of the Xiao rime group, it is the

Xiao ) IV that is close to the Xiao ) rime. Again,

by the same principle these two could not be put within

one table.

Now judging from these facts, what is intended in

the rime tables of the deng-yxin-xué tradition of the Sbng

dynasty is to show, through the rearrangement of rimes of

QY or GY, what the deng-y^n-xué phenologists reconstructed

as the phonological system of not only Ancient Chinese,

but also a much older stage of the Chinese language.

Through the placement of the two counterparts of the

Ancient Paired Division III/IV Finals, this hitherto

ignored aspect of the rime tables can be seen. As already

mentioned in section 4,3,2,3, the arrangement of rimes in­

directly shows the existence of two generally distinct

groups of Division II Finals which are interpreted here as

the tense and the lax groups, (This may also be counted 375

as one of the hidden aspects of the rime tables.) In this respect, to say that the deng-yun-xué phonologists simply

rearranged the Ancient rimes is a devaluation of their achievements.

The placement of the two counterparts of the Ancient

Paired Division III/IV Finals into two different tables may primarily reflect the attempt of the reconstruction of an older system of Chinese, not the actual difference

of these two counterparts at the time. However, it is apparent that the difference between the descendants of

the two counterparts of the same Ancient Paired Division

III/IV Finals is implicitly emphasized by the placement of

the two counterparts of one Paired Division III/IV Final

into two different tables. Consequently, there is no

strong motivation to assume the same main vowel for both

the Ancient Division IV Finals and the corresponding Paired 174 Division III/IV Finals,

To sum up, the distinction between Division III

Finals and Paired Division III/IV Finals is due to the

distinctive feature of the main vowel of these two groups

of finals, the former being grave, the latter nongrave.

Using the conventional letters for these vowels, the pre­

sent reconstruction can be presented in Table 50. 376 Table 50

Reconstruction of Division III Finals and

Division III/IV Finals, Single and Paired

Tense Series ;

Xi^ Xiao Xiân Shân

0 Y/ ât? n ^ V V Yuân 0 Div. Ill ( : lom ( / j) : ï a n

Finals Fèi C Fén Y u é n C :yai ( Æ ):yasn ( ÿLi):ÿan

Paired Xiao III/IV Y â n 1 1 1 / l V Xiân 0 ;V“ssi;r ( % ) :îaü ):%am ( ) : lan Div.III/IV Xiân C Finals ({uU ) :ÿan

Lax Series :

Zhï Zhî Liiî (XiârJ-Shën (Shât)-Zhên

Zhî Wéi Yîn ^ Div.III ( ^ ) : ï a (#):W (^^L):îan

Finals W é i Wén :y3Ï (:%_):ÿan

Paired Zhî 0 Zhî 0 Yôu Qïn Zhên 0 III/IV^ III/IV^ III/IV Div. ( :î^u ( ) : ism ( % . % ):îsn III/IV Zhî C Zhî C Zhên C III/IV III/IV^ . III/IV, Finals ( ^ ) : y e (/Ig ):yex ( JJ. ):ygn

The You ( \ ^ ) rime shows some irregularity, ^ In the process of later history, this rime behaves as if it had been the Division IV counterpart of a Paired Division III/ 175 IV Final, as was pointed out by Toodoo. Another 377 peculiarity of this rime is that the labial initials before this final did not undergo labiodentalization. All of these peculiarities will be explained by the recon­ struction of a nontense, nongrave main vowel for the rime.

4.3.3.4 The characterization of Single Division III/IV Finals

There remain three pairs of Single Division III/IV

Finals to be discussed; the Yâng (P/^) 0 and the Ying ( P ^ )

C finals, the Zheng ( ) 0 and the Zheng ( ) C finals, and the Qing ( ^'[i] ) 0 and the Qing (✓p] ) C finals. All of

them do not have any contrastive Division III or Paired

Division III/IV Finals within the same rime group to which

they belong. Consequently according to the present scheme,

the distinction grave versus nongrave is redundant for

their main vowel.

However, among these three pairs, the Yâng ( 1/^ ) pair

is distinguished from the Zheng ( ) O-Zheng ( ) C and

the Qing (:,% ) 0-Qïng (7^ ) C pairs, in that the labial

initials before the former underwent labiodentalization,

whereas those preceding the latter did not. The striking

point is that this distinction corresponds exactly to the

different behavior of these pairs of finals in the riming 176 of the poems of the Su£ dynasty made clear by H. Chang.

According to him, the Yâng (p^) 0-Yâng (P%) C pair and

the Qing ) 0-Qing (^1^ ) C pair are rimed with the

T6 ng (/^ ) 0-Ting ( /^ ) C pair and the Geng ( t j f ) O-Geng 378

(-lj| ) C pair respectively, whereas the Zheng ( ;^\ ) 0-

ZhSng ( ) C pair is seldom rimed with the Dêng O-

Deng ( %_') C pair.

The phonologically distinctive feature (strictly speaking, the "classificatory feature") of the vowels of the above six finals need not be specified with respect to the feature gravity. Taking into consideration the above facts, however, the alphabetic presentation of the reconstructed forms is given below with this redundant information:

Table 51

Reconstruction of the Remaining

Single Division III/IV Finals

Y i n s ( 1% ) 0 lag Zheng ( ) 0 Qing (:fi ) 0 iSJi

Yâng (p.%) 0 yag Zheng ( ) C Qing ( ) C yep

4.3.3.5 The characterization of Division IV Finals

A very ambitious and new reconstruction of the main vowel of Division IV Finals was proposed recently by two linguists in Peking who seem to have profound knowledge not only of Chinese but also of many Sino-Tibetan languages in

China proper. Their proposal is to reconstruct a long 177 [i:] as the main vowel of these finals. However, the discussion lacks convincing evidence to support the assumption. 379

Crucial evidence for reconstructing a vowel *e

(without medial) for these finals includes the follow­ ing:

1) The upper f^n-qi^ characters given to those homo- phonic groups with Division IV Finals belong to the same group as those for syllables with Division I or Division

II Finals; 178 2) With only two exceptions, these finals never occur after palatal initials; their characteristic of combination with initials is the same as Division I Finals,

In this respect, Arisaka's proposal of 1939 is pre- 179 ferred, and Division IV Finals are reconstructed as given in Table 52,

Table 52

Reconstruction of Division IV Finals

Qf^O: ei Xiao : eu Tiân: em Xian 0 : en Qing 0: (#) ( # ) ( ; ) ( ~f 1 ) gf^C:uei Xiân C:uen ueji (#) fwr-

As mentioned before, the noncompact vowels are neutral to the tense versus lax distinction. Concerning the detail of justification of the main vowel and related problems 180 181 the reader is referred to Z, Lfci 1947 and R, LÏ 1957, 380 4,3.4 Tones in Ancient Chinese

It goes without saying that in the study of tones the problems of “tone classes" (&o-l&i) and “tone value" or

“pitch contour" (di&o-zhf) of each tone should be strictly distinguished. Roughly speaking, the former is a problem of the phonology of tones and the latter the phonetics of tones. Thanks to the clear descriptions of tone classes of not only Ancient Chinese but also of various later variants of the Chinese language found in the rime dic­

tionaries of various periods, there is not much difficulty

in tracing the correspondence between the tonal classes 182 of these variants of the Chinese language. This is also true with the m o d e m regional variants of Chinese,

4,3,4,1 Difficulties of recon­ structing Ancient Chi­ nese tone value

However, the situation is completely different with

the phonetic value of each tone. It seems that it is

relatively late when the Chinese people noticed the exact 183 acoustic properties of the tones in their language.

Traditional description on tones is exclusively in terms

of either mysterious or completely "perceptual" state­ ments whose exact meaning is beyond our understanding.

Many modern Chinese phenologists pointed out the extreme

obscurity of the traditional description of the phonetic 184 properties of Chinese tones, for example, Chù-zhông's 185 description of the Tdng dynasty. 381

Le ping-shêng exprime un sentiment grave, mais avec aisance; le shang-shëng est un son vigoureux qui monte; le qù-shëng est un son clair et ëloignë; le rb-shëng est un son uni et bref.

Most of the historical descriptions are, according to

C. Lu<5's expression, "either a mere speculation on the 186 tone names or a description by futile ." We are not pointing put the inconsistency of the description of pitch contours in these historical documents. It is quite possible that all the descriptions differ from one

another so far as they deal with different regional or

historical variants of the Chinese language. The point

here is the obscurity of these descriptions. Even in one

of the clearest, An-nen's description of the tones of the

dialect of Mr. Hyoo, there is such statement as "slightly 187 pulled (or prolonged?)" for the departing-tone. It is

Fxi Lid who made an experimental study of Chinese tones

and described the phonetic correlates, the -con­

tour of Chinese tones, though not very successfully, due

to bad informants. His study is regarded as the first

scientific study of Chinese tones by the Chinese linguists.

Consequently it is obvious that these historical des­

criptions are not reliable in the study of pitch contour

of old Chinese tones.

Another point which should not be neglected is that

the number of distinctive tones is rather restricted in

comparison with the number of distinctive segmental 382 sounds. Consequently, when a certain part or a certain unit of a given tonal system is exposed to change, it causes drastic change in the others in order to keep the balance of the whole system. This can be seen in the great diversity of the tone value of each corresponding tone in modern Chinese dialects. The chart by F^-shl

W^ng can be mentioned as one of the extensive tables of 188 tone correspondence in modern Chinese dialects. Look­

ing at the diversity of pitch contour of the corresponding

tones in each dialect one will certainly realize that it

is very difficult to reconstruct any proto-form through

the comparison of these tones.

One of the most general tonal changes of not only

Chinese dialects but also many Sino-Tibetan languages,

is the tone split traditionally termed as "yîn-ying"

split or bifurcation. It is observed in Sino-Ti­ betan languages that an earlier single tone splits into

two in accordance with the voicing of the initial seg­ ment of the syllable carrying the tone: namely the tone

changed into the y^ng variant if the initial segment is voiced and the yîn variant if voiceless, Cantonese tones

present a typical example. It is also universally ob­

served in Sino-Tibetan languages that the yîn variant of

a tone is usually higher in pitch than that of the ydng variant, for which certain physiological justifications 189 can be provided. Even this general principle is not 383 always applicable. One would surely be puzzled at the fact that in the Tiân-jîn dialect, the yîn variant of the former even-tone and rising-tone is lower in pitch than the respective yâng variant. This is also the case of the dialects of Ji-n^n, Fiî-zhôu, etc. Unless the compli­ cated history of the tonal change of these dialects can be traced with reliable historical documents, it is a despe­ rate task to attempt to solve the process of these drastic changes in an objective way.

The above three points force us to conclude that at the present stage of the historical study of Chinese it is very difficult to reconstruct a tonal value for each tone class of Ancient Chinese through the comparative study of the tones of modern dialects.

4,3,4.2 Kan-on tones

The second choice would be to study the tones of the so-called "foreign dialects," especially those which are closely related in time to Ancient Chinese, It is by no means sure that the tones of these "dialects" are closely related to those of Ancient Chinese, However, it is indubitable that the tones of these foreign dialects described around the time of their borrowing or preserved

"articially" as certain professional techniques of recita­ tion are closer to the Ancient tones than those of any modern dialect. Luckily, Japanese Buddhist monks have preserved some traditional ways of the recitation of I 384 Buddhist holy books, "shoo-yomi" or "chigo-yomi" of Go-on reading and "shoo-myoo" of Kan-on reading, which are very possibly learned directly from Chinese monks from China,

Again it is by no means sure that these monks preserve the original reading with the original intonation. However, since these recitations, including apparently the syllabic and sentence intonation, have been handed down from teachers to students generation by generation by word of mouth and by a kind of musical notation ("hakase"), and since, above all, the style of recitation has been kept as a practice on holy books, the degree of the possible deformation of intonation due to successive transmission would be less than in the case of natural languages, 190 Among the works on Sino-Japanese tones so far, the study of Kan-on tones (preserved by the monks of the

Tendai denomination) by Rai is the most systematic and exhaustive. According to Rai, the tones of Kan-on have 191 the classes and pitch contours given in Table 53, Table 53

Kan-on Tones

Even Pj^ ) Rising ( Jl ) Departing (%C ) Entering (^ )

"Complete Clear" high falling low rising high (level) ( ^ # ) (yin-even) high rising short "Second Clear" (departing and (-'X ) ) (yin-rising) (yin-entering)

"Second Turbid" ( f$ - t ) low falling y^ng-rising)

(yâng-even) "Complete Turbid" low (rising) short ( 1# - ^ ) (ying-entering)

Co 00 Ln 386

It is open to question whether the contour features of the two entering tones, level and rising, were recog­ nized consistently in the Chinese dialect borrowed into

Japanese as Kan-on, Anyway, there are very interesting contrasts of tonal features in the Kan-on tones, because the general principle of tone split described earlier can be ideally applied here; and with this general principle the proto-form of the tonal system can be inferred quite consistently.

First, the original even-tone with high falling pitch contour split into two, one high ("yin" even-tone) as the original, the other low ("yâng" even-tone). Due to the voicing of the initial segment of the syllable, the beginning part of the contour of the y^ng even-tone

(originally high falling) became lower, and consequently the whole register became lower in order to keep the original "falling" contour as contrast with other tones.

The feature high may not be distinctive in the proto- even-tone, However, unless there is evidence for the exact register of the proto-even-tone, it is natural to assume a high falling contour for this tone.

The problem of register is the same in the case of the rising-tone split. In this case too, the same explana­ tion based on the voicing of the initial segment of the syllable carrying the tone under consideration can be applied. The pitch contour of the y^ng rising-tone 387 yielded by the split turned out to be the same as that of

the departing-tone (low rising). This exactly explains

the tonal coalescence of the two tones which is observed most extensively in modern Chinese dialects as well as the 192 system found in various historical documents dated from

the 9th century: namely, the y^ng variant of the former rising-tone coalesced with the descendant of the Ancient departing-tone. The yin-y^ng split of the entering-tone

is the same. Only in the case of the departing-tone,

there could not be bifurcation conditioned by the voicing

of the initial segment of the syllable carrying the

tone. Since the pitch contour of the original departing-

tone was low rising, it is logically impossible to have a high versus low split. Consequently, the proto-system o f

the Kan-on tones may be determined as follows:

even-tone long, high falling

rising-tone long, high rising

departing-tone long, low rising

enter ing-tone short

These four tones can be characterized by three features :

length, falling and high. 388

entering rising level

long - + + +

falling (-) - - + high ( + ) -■ + ( + )

Fig, 3,— Classificatory Feature Tree of Proto-Kan-on Tones

The feature long may be acoustically termed legato, name­

ly the distinction between legato sound ([+legato]) and 193 staccato sound ([-legato]). If the so-called "entering-

tone finals" are characterized as with stop ending, only

two features are needed to characterize all the tonal

distinction in Kan-on,

Throughout this study the tonal system characterized

above wi,ll be referred to, whenever it is necessary to

mention the tones or tonal features of Ancient Chinese,

In order to avoid possible misunderstanding, it must be

emphasized here that we are not identifying the Kan-on

tones as those of Ancient Chinese by this treatment. It

is purely for the convenience of description, because

sometimes not only the tone classes but also certain

tonal features of Ancient Chinese have to be mentioned;

and since it is impossible for the time being to recon­

struct any phonetic features which characterize the tonal 389 system of Ancient Chinese, this temporary use of the tonal features of Kan-on tones as those of Ancient Chinese is nothing but choosing the closest system to that of An­ cient Chinese as is possible.

4.3.4.3 Go-on tones

Exactly as there is great diversity of the pitch contour of the corresponding tones in modern Chinese dialects, the same situation is found in the tonal system of Go-on, different from that of Kan-on. Although the

Go-on tones cannot be used here as one of the materials for the study of Ancient Chinese tones, it is not useless to know the tonal value of the Go-on tones, because it confirms the fact that the great diversity of pitch con­ tour in the corresponding modern dialects is not accidental at all. In this connection it is interesting to observe that the tonal value of the Kan-on tones is essentially harmonious with that ascribed to the Chinese loan words by Vietnamese. However, this cannot be over-evaluated, because no one can assure that Vietnamese had not changed the tonal system and value since they borrowed the 194 vocabulary items from Chinese. According to Haruhiko

Kindaichi, in Go-on the pitch contour of the even-tone is, contrary to that of Kan-on, rising instead of falling, and both the rising and departing tones are, also con­ trary to those of Kan-on, falling. The study of Go-on 390

tones is so far not systematic and complete enough for

phonological analysis,

4.3.4.4 Some proleptical remarks

We do not want to follow the practice of our pre­

decessors of regarding the traditional nomenclature of

Chinese tones: pfng, shang, qu and ru, as based on the 195 actual acoustic properties of these tones. One hardly

needs justification for this. Even if these four tone

names stand for certain acoustic properties, such as pfng

"flat, level" for a tone with level pitch contour, and

even if these names originate from the practice of refer­ ring to a certain tone by the most familiar or typical character that carries the given tone, such as the charac­

ter -^1 ' "pfng" for the even-tone (because this character

is one of the most familiar ones that carry the even-

tone), it is highly doubtful that these names stand for

the pitch contour of tones of Ancient Chinese, because

the nomenclature dates much older than the compilation 196 of KMBQ-III and it is hardly believable that there had not been any change or regional difference of pitch contour of the Chinese tones since these tone names were established.

By choosing the Kan-on tones for the convenience of discussion of the Ancient Chinese phonological rules, it by no means implies anything about the relationship of 391

Kan-on and Ancient Chinese, Also there is no definite justification for preferring Kan-on tones to modern Sino-

Vietnamese tones. In certain respects, the latter may keep.the original tonal features of Ancient Chinese more faithfully, because Vietnamese is one of the languages which count tonal features as primary phonological fea­ tures , and therefore is believed to have accepted the original tonal features of Ancient Chinese by identifying certain Vietnamese tones with certain Ancient Chinese tones. However, so far there is no convincing study testifying the above inference. Kan-on tones are pre­ ferred only because they are preserved, in a sense, arti­ ficially and so it is inferred that they have been exposed to later changes to a lesser degree than in the case of natural languages. This preference is also motivated by the assumption that contrary to what Maspéro insisted, the main layer or layers of Sino-Vietnamese may not be the loan form directly from the Ch^ng-an dialects of the 197 T d n g dynasty.

In any event, the problem of exact pitch contour of

Ancient Chinese tones is by no means crucial for the present study, because it is hardly believable that a different characterization of Ancient Chinese tones would cause different change of segmental sounds, the descrip­ tion of which is the main task of this study. 392

4,3,5 Conclusion » Table of Ancient Chinese finals

The discussions of section 4,3 are summarized in the form of a table of Ancient Chinese finals (Table 54) and a table of Kan-on tones (Table 55), Relevant informa­ tion on the characterization of these finals by deng-yun- xué phenologists are included in the former table. Table 54

Reconstruction of Ancient Chinese Finals

"Outer" Finals

Div. I Tai: aï Hiu: au Tin; am Hin: an Ting: an (#k) (&) ('&) ($A) (!gL) (/# ) Div. II ; a Guai:ax Yio: au Xiin: am Shan: an Jiang:an Gang: ap (#) ( ^ ) ) afi) UI'J) (.--£-) (gi ) y >0 Div. Ill F&i: ïaï Yir\: lam Yuin:ian (/#:) cm) (75) 1 Single Gê: ïa III/IV «ri (%) 1* Single Mi : ïa laji hi III/IV Paired Xiap: lau Yin; lam Xiin: lan III/IV W"' vn ) (&) ( f Ü A ) Div. IV Xi#o: eu Tiân: em Xiin: en ep ( # ) ( 4 b )

w \o w Div. I Gi: ua Tài; üaï H^n: uan T^ng: uan c e ) (K) (#)

Div. II ua Guai: uai Shan: uan Gêng: uan (#) ( ^ ) <#'j) a >o Div. Ill F^n: yam Yu£n: van il

Div. IV Xian: uen üeji ( f c )

w vO ■P* "Inner" Finals

Div. I Hâi; aï T^n: am Hëp: an (*&) ( g ) (#_) 3 Div. Il Jië: eï Xiip: sm Shân: £n 5 0 ("#) (&) ( lL\) (W Div. III Wëi: ïaï Yîn: ïan 1 Single Zhï; ïa •H III/IV ( : ^ ) l«Ü Single Yôu: ïeÜ .III/IV (A) Paired Zhï: ïe Zhï; ïsï QÏn: ïsm Zh|n:.ÏEn III/IV ( ^ ) ( i H ) ( % i ) Div. I Huî: üaï Hdn: Üan Dëng: üan ( ^ ) (%) (#) Div. II Jiâ: ue Jië: Üsï Shân: üsn 3 (/â) ( i M ) ( I f 5 3 0 U ê n X Div. III Wéi: ÿaï : yan ( ^ ) 1 Single III/IV Nfl) X Single Z ^ | n ^ ! ÿ s o III/IV Paired Zhï: y e Zhï: yeï Zhën: yen III/IV ( ^ ) w (71^) < Â > vO Ln H<5u; u Dong: ug M 6 : o Dong : og Division I * (t~) (#) ( ^ )

Division II

- Division III

Single Y<5u: lu Dong : lug Y x S : Ï O Yu: y Zhong: log Division III/IV (.it) ('^) (,k) (#)

Single

Division III/IV

Paired

Division III/IV

w VO O' 397

Table 55

Proto-Kan-on Tones

Tones Description

I (even-tone) long, high falling

2 (rising-tone) long, high rising

3 (departing-tone) long, low rising

4 (entering-tone) short PHONOLOGY OF ANCIENT CHINESE

Volume II

DISSERTATION

Presented in Partial Fulfillment of the Requirements

for the Degree Doctor of Philosophy

in the Graduate School of

The Ohio State University

By

Mantaro Joseph Hashimoto, B. Litt., M. Litt.

*******

The Ohio State University 1965

Approved by

Ad vis

Division of Linguistics CONTENTS

Page

LIST OF TABLES ...... xx

LIST OF ILLUSTRATIONS...... xxi

CHAPTER V THE PHONOLOGICAL SYSTEM OF ANCIENT CHINESE ...... 398

5.1 Dictionary forms and phonological redundancy rules ...... 410

5.2 The formal requirements of redundancy rules ... 418

5.3 General restriction on the co-occurrence of syllable constituents ...... 431

5.3.1 Treatment of glides ...... 432

5.3.2 The feature nonconsonantality of medials and vowels ...... 432

5.4 Restrictions on the occurrence of initial groups ...... 438

5.4.1 Before Division I and Division IV Finals .. 438

5.4.2 Before Division II Finals ...... 440

5.4.3 Before Division III Finals ...... 450

5.4.4 Before Single Division III/IV Finals ..... 454

5.4.5 Before Paired Division III/lV Finals ..... 461

5.5 Restrictions on the occurrence of individual initials ...... 461

5.6 Restrictions on the occurrence of main vowels . 464

5.7 Restrictions on the occurrence of glides ..... 466

xvii 5.8 Restrictions on the occurrence of endings .... 469

5.8.1 Interpretation of stop endings ...... 470

5.8.2 Phonological redundancy rules for endings . 483

5.9 Restrictions on the co-occurrence of initials and finals in g e n e r a l ...... 484

5.9.1 Co-occurrence of hé-kou finals and initials 485

5.9.2 Co-occurrence of grave initials and finals 489

5.9.3 Some minor restrictions ...... 491

5.9.4 Regularities of the co-occurrence of tones and finals or segments ...... 496

CHAPTER VI CHANGES OF THE PHONOLOGICAL SYSTEM FROM ANCIENT CHINESE THROUGH MODERN MANDARIN 499

6.1 Motivation for the discussion...... 499

6.2 Changes of the initial system ...... 504

6.2.1 Informal discussion on change rules ..... 504

6.2.2 The simplest formulation of the change rules ...... 515

6.2.3 Tibetan transcription...... 530

6.2.4 hP'ags-pa transcription ...... 535

6.2.5 Trigault's romanization ...... 536

6.3 Changes of the final s y s t e m ...... 538

6.3.1 Informal discussion on the change rules ... 539

6.3.1.1 The "Brechung" of nongrave vowels ..... 548

6.3.1.2 The coalescence of the inner-outer series ...... 557

6 .3.1.3 The coalescence of the grave-nongrave series ...... 573

6.3.1.4 The loss of palatalization after retro- flexes ...... 582

xviii 6 .3.1.5 Changes of entering-tone endings ..... 604

6.3.2 The simplest formulation of change rules ,. 613

6.3.3 Tibetan transcription ...... 626

6.3.4 hP'ags-pa transcription ...... 631

6.3.5 Trigault's romanization ...... 639

CHAPTER VII CONCLUSION ...... 641

7.1 Phonological system of Ancient Chinese ...... 643

7.1.1 The simplified classif icatory t r e e ...... 643

7.1.2 Ordering of phonological redundancy rules , 646

7.2 Historical phonology of Ancient Chinese ...... 651

NOTES ...... 657

APPENDIX: ABBREVIATIONS AND TRANSLITERATIONS 689

BIBLIOGRAPHY ...... 694

xix LIST OF TABLES

Table Page

56, Exceptional Initials Before Division 11 and Division lll/lV Finals ...... 445

57, Interpretation of Exceptional Dental and Palatal Stops ...... 446

58, Relationship Between Division 111 and Division lll/lV Finals, Single and Paired ...... 456

59, Structural Pressure on Paired Division lll/lV Finals ...... 459

60. Moi-y an Tones ...... 473

61. Vietnamese Initials and Ending Consonants 478

62. Finals Preceded by Velars/Gutturals ...... 487

63. Finals Preceded by Labials/Velars/Gutturals .. 490

XX LIST OF ILLUSTRATIONS

Figure Page

4. Class ificatory Feature Tree of Ancient Con­ sonantal Segments ...... 403

5. Classificatory Feature Tree of Ancient Non- cons onantal Segments ...... 404

6 . Feature Specification of Vowels ...... 408

7. Characterization of Stops ...... 428

8 . Characterization of Vowels ...... 428

9. Example of Spurious Simplicity...... 429

10. Characterization of Glides ...... 432

11. Characterization of Endings ...... 469

12. Three-Tone Distinctions ...... 472

13. Four-Tone Distinctions ...... 472

14. Four-Way Distinction of Moi-yan Tones ...... 473

15. Six-Way Distinction of Moi-yan Tones ...... 474

16. Four-Way Distinction of Kan-on Tones ...... 476

17. Six-Way Distinction of Kan-on Tones ...... 476

18. Characterization of Proto-Kan-on Tones ...... 477

19. Six-Way Distinction of Ancient Endings ...... 482

20. Changes of Initials...... 508

21. Alternative Change of Initials ...... 323

22. Changes of Finals ...... 341

23. Simplified Classificatory Feature Tree ...... 643 xxi CHAPTER V

THE PHONOLOGICAL SYSTEM OF ANCIENT CHINESE

Summarizing the discussion in the preceding chapter, the following entities can be recognized in Ancient

Chinese:

1) A set of prosodic features, whose exact acoustic properties are hard to establish but which constitute syllabic intonations (or tones), producing a four-way

(or at least three-way) distinction of the syllables;

2) Fifty-six segments, which constitute the forty- five initials and, together with the prosodic features, the two hundred and ninety finals of Ancient Chinese.

In this chapter, reconstructions given in the pre­ ceding chapter will be presented in a linguistically strictly formalized way.

According to the adopted framework for the full 1 synchronic description of natural languages, a grammar of a language must have at least the following three components: the syntactic, the semantic, and the phono­ logical components. In the syntactic component, a set of context-free phrase structure rules generates the basic sentence structures of the language, which consist of

398 399

strings of formatives with Labeled constituent structure,

A set of combination rules combine the morphemes of the

language (stored in the lexicon with all the necessary

idiosyncratic information) or other basic sentence struc­

tures with these formatives* The semantic component

assigns semantic interpretations to the sentence struc­

tures thus generated. The structures (the "deep struc­

tures") undergo another set of rules called transformation

rules, by means of which they are transformed into the

superficial structures of sentences of the language (the

"surface structures") with principally two kinds of opera­

tion, adjunction and deletion, of the deep structures.

The third component of the grammar, the phonological com­

ponent, associates the surface structures with the phone­

tic shapes of the sentences. With this framework in

mind, it is to be understood that the surface structures

of Ancient Chinese sentences consisted exclusively of com­

binations of these fifty-six segments (and prosodic fea­

tures ),

It is assumed that all natural languages are designed

in such a way that among the physical signals which con­

stitute the speech segments, those which the role of

distinguishing segments from one another are consistently 2 kept at a minimum. Consequently, the following require­

ment will be reasonably imposed on the phonological repre­

sentation of the segments of any natural language: the 400 phonological representation should not include any re­ dundant information. As discussed in the introductory chapter, segments in the present treatment are conceived as bundles of acoustic-articulatory features which unique­ ly characterize each segment. Then, if the above require­ ment is acceptable, the aim of this chapter is to esta­ blish ——

1) the scheme of presenting the Ancient Chinese speech segments in terms of phonological feature specification;

2 ) a set of phonological rules which presents the reconstructions in the simplest way and which, at the same time, will be the unique phonological characterization of the sound system of Ancient Chinese.

As we have the "minimal feature specification require­ ment" in the phonological level of language description, the phonological features of each segment of Ancient Chi­ nese should be specified so that each is just distinct from the other. These features for distinguishing all the morphophonemes of a language are called the "classifica­ tory features" of the (morphophonemes of the) language; and the segments given in terms of these classificatory features are in their "base form." Later, a set of phono­ logical rules will project the abstract segments into actual phonetic realizations in terms of phonetic features.

In the feature specification of speech segments, a value of either plus or minus is assigned to a given seg- 401 ment with respect to a set of distinctive features. In order to obtain the simplest representation of a given set of segments in terms of this value, the coding of the 3 feature specification of each segment must be maximal; in other words, no segment in the set should be formed by re­ placing some of the feature values of any other segment of the set. The feature specification of a set of seg­ ments is required to be decodable into a binary tree representation, in order to assure that the segments of the set are necessarily distinct from one another.

The classificatory features, with respect to which the Ancient Chinese speech segments are specified in their base forms either as plus or minus, are as follows. The function of each feature is briefly described in articu­ latory phonetic terms :

1) Consonantal, which contrasts consonants and liquids with vowels and glides,

2) Voiced, which contrasts voiced consonants, nasals and liquids with voiceless consonants,

3) , which contrasts; a) nasals and liquids with nonnasal voiced consonants, and b) vowels with glides,

4) Grave, which contrasts: a) labial, velar and guttural consonants with dental and palatal consonants, and b) back vowels with front vowels,

3) Diffuse, which contrasts: a) labial and dental con- 402 sonants with palatal, velar and guttural consonants, and b) high vowels with nonhigh vowels.

6 ) Strident, which contrasts affricate and frica­ tive consonants with stops.

7) Interrupted, which contrasts stop and affricate consonants with fricative consonants.

8 ) Tense, which contrasts: a) aspirated stops and affricates with unaspirated stops and affricates, and b) "long" and "strong" vowels with "short" and "weak" vowels.

9) Sharp, which contrasts palatalized sounds with nonpalatalized sounds.

10) Flat, which contrasts rounded vowels with un­ rounded vowels.

11) Nasal, which contrasts nasals with liquids.

12) Compact, which contrasts low vowels with nonlow vowels.

The classificatory features of the fifty-six phono-

logically distinct segments of Ancient Chinese are pre­

sented in a tree form (Figures 4 and 5). cons

diff diff

intr

tens tens /tens tens tens intr A s / A / \ A ten sha sha sha sha sha aha sha sha sha sha sha shaA. shaA ^ S t t^s ts ts‘ 2 g k \ p^j p ^ j ‘ d^d^ d z d'z iî g gj b ^ Jl 1 n ^ m

cons + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + sono ------+ + + + + + + voie - + + + + + + + + + + + + '++ + + + + + + comp gray ------+ + + + + + + + + + + + + + + + + - -- + + + + diff ------+ + + + + ------+ + + + ----- + + + - - - + + - + + - - + + stri - - + + + + + + -- + + + -- + + - + + + + - + + intr -- + + + + - + + -- - - + + + + - - + + - + - + + tens - + -- + + - + - + -- + + - - + + shar - + - + — + - + - + - + - + - + - + - + - + - + - + - + - + nasi - + flat

Fig. 4--Classificatory Feature Tree of Ancient Consonantal Segments cons sono

grav comp

diff tens

flat grav grav grav grav

cons sono + voie comp +. + + grav + + + diff + stri intr tens shar nasi flat

Fig. 5— Classificatory Feature Tree of Ancient Nonconsonantal Segments ê 405

The initials reconstructed as glottal stops, sharp and nonsharp, are treated here as uninterrupted, nonstri­ dent, consonantal segments.

As pointed out in section 4.2,7, the motivation for

this treatment consists in the synchronic as well as dia­ chronic behavior of the initials under consideration,

Synchronically --

1) They constitute a sharp-nonsharp pair of initials

— one of the chdng-niu pairs of initials;

2) The distributional pattern in rime tables is

exactly the same as that of other velar-guttural initials,

Diachronically --

1) Exactly as in the case of the other velar-guttural

initials, the main vowel of Division II Finals underwent

the "Brechung" after the initials under consideration;

2) Finals after the initials under consideration show

the same change as in the case when they are preceded by

any other velar-guttural initial. For example. Ancient

changed into Mandarin ((s)) after the initials under

consideration; the same final changed into Mandarin ( (s))

after velar-guttural (as well as labial) initials, but

changed into Mandarin (()) after other initials.

Thus, in order to formulate neat phonological re­

dundancy rules of Ancient Chinese and a simple set of historical change rules, it is imperative to characterize

the initials under consideration as velar-guttural conso- 406 nants, which must be voiceless, judging from their role

in later tonal change, and which must be unaspirated

stops, if the deng-ytin-xu4 phenologists' characterization

is accepted. The crucial problem here is: there are al­ ready a "maximal" set of velar-guttural initials, *k, ,

*k', *1^ ' , *g, ’^gj, *1), , *x, *3^ and *y» and so, unless

some radical measure is taken for characterizing the four major groups of consonants -- labials, dentals, palatals

and velars -- in terms of two distinctive features, dif­

fuseness and gravity, it seems that the distinctive feature

system cannot reasonably describe the sounds.

So far as the present scheme of characterizing major

consonants of natural languages is followed, there are two 4 possible ways of describing the sounds under consideration:

one is to regard these sounds as velar opposed

to *x and *xj respectively by the feature of stridency;

another possibility is to regard them as velar affricates.

The latter reconstruction is not very reasonable, judging

from their Archaic and Middle Chinese correspondents. How­

ever, it is striking that the first alternative exactly

coincides with Hattori's reconstruction which was made on

independent ground. Hattori recognizes the "strain" of

larynx as the common characteristic feature of Chinese un­

aspirated stops and affricates in contrast to the aspira- 5 tion of the aspirated stops and affricates and he recon­

structs "a glottal stop or the strain of larynx" for the 407 initials consonant (in the present treatment, two conso­ nants) given as Ying-mh in the fKn-qife spelling of QY and 6 GY, We interpret his idea as follows; since the sounds in question are characterized as uninterrupted, nonstrident, voiceless consonants, the main phonetic correlate is the

"strain" of larynx (thus the sounds are characterized as nondiffuse, grave) and the glottal stops so universally accepted by linguists in the field constitute rather one of the concomitant features of these consonants. Since the initial consonants under consideration are neither stops nor affricates nor fricative, the sounds neccesitate, in order to be produced as voiceless sounds,the concomi­ tant glottal stops, or at least the presence of the glottal stops assures the devoicing of the nondiffuse, grave con­ sonants. For convenience of presentation, hereafter the initials under consideration are given as and *fj in alphabetic notation and are regarded as belonging to the "guttural" group of initials.

As emphasized before, the alphabetic symbols at the end of each branch are just informal abbreviations of a column of feature matrices given under the tree, no more, no less. Vowels (nonconsonantal, sonorant segments) are specified only with respect to the features in Figure 6 . 408

•H [-grav] [+grav] lL/ [-flat]

*u

I_I *o

I—I I___ I

*a I_I I_I

Fig. 6 — Feature Specification of Vowels

All the [-comp] vowels (*y, *u, *e and *o) are neutral to the distinction tense versus lax at this stage of specifi­ cation.

Also, the nongrave, nondiffuse, nonstrident series of initial consonants (in traditional terminology, shé-shàng- yxn) are not specified with respect to the feature sharp­ ness, although for the convenience of presentation, a set of symbols used in articulatory phonetics usually for re­ presenting retroflexes are given at the end of the branch­ es for these segments. The said feature is not specified because it is predictable in terms of the finals (or rather, the features of the vowels) following these ini­ tials.

Prosodic features will be marked as the features of syllables. In later discussion of the sequential con- 409 straints on the co-occurrence of segments within a sylla­ ble, syllable boundary must be marked. If the prosodic features of a syllable are marked at the beginning of the succession of segments constituting that syllable, the occurrence of syllable boundaries is predictable by means of the presence of the prosodic feature specification of each syllable, except in the case of a syllable occurring at the end of a sentence. In other words, whenever there is a specification of the prosodic features of a syllable, there is always a syllable boundary preceding it. There­ fore, a syllable boundary (hereafter represented by the marker #) in the phonological rules, refers to the sylla­ ble boundary marker, the occurrence of which could be pre­ dicted by means of the existence of prosodic feature spe­ cifications, Thus in the present treatment, the prosodic features are specified at the beginning of syllables.

However, for convenience of presentation, these features are mentioned in phonological rules hereafter as if they occur simultaneously with any segmental feature complex of the syllables.

If one identifies a stop ending as the tonal variant of the corresponding homorganic nasal ending (as tradi­ tional phenologists of the pre-modern periods did), and if one excludes the tonal distinctions from consideration, the number of the distinct finals of Ancient Chinese can be reduced to just ninety. For convenience, we follow 410 this treatment. Thus, it should be understood that a nasal ending includes its corresponding homorganic stop ending in subsequent discussions, unless especially stated.

5,1 Dictionary forms and phono­ logical redundancy rules

In the description of the phonological system of a language, if no sequential constraint on the occurrence of segments within the terminal strings of the language is taken into account, the classificatory feature specifi­ cation will be minimal for distinguishing all the segments, and the simplest presentation of the morphemes of the lan­ guage will be the coding of each segment in terms of classificatory features. However, there is no natural lan­ guage in which the occurrence of speech segments is com­ pletely free from sequential constraint. In the case of

Ancient Chinese, * s and *y are, for example, two distinct segments. However, it is unnecessary to code *y as [-cons] in contrast to the [+cons] segment *s in its underlying form, because these two never occur in the same environ­ ment.

Since sequential constraints on the occurrence of speech segments are universally recognized in natural lan­ guages, a general framework for the description of the phonological system of natural languages should take ad­ vantage of this characteristic of natural languages to simplify the description. In the framework adopted here, 411 those classificatory features which are redundant due to the sequential constraints on the occurrence of the speech segments of a language ("redundant classificatory features") are to be predicted by rules ("phonological redundancy rules"). Segments given without this type of redundant classificatory features are in their "dictionary form."

The phonological redundancy rules of a language re­ flect the phonological structure of that language. Unless there is regularity in the occurrence of segments, there need not be any general redundancy rule. Consequently, these rules uniquely characterize the phonological struc­ ture of a given language in a formalized way. The omission of redundant classificatory features cannot be carried out by simply removing some features from the feature specification of the inventory of speech segments, be­ cause certain features are redundant only in terms of their phonological environments. In other words, certain features are distinctive only in particular environments.

For example, in Ancient Chinese, the distinction sharp versus nonsharp of the grave initials (labials, velars and gutturals) is relevant only when these initials occur before the Paired Division III/IV Finals (the so-called ch6 ng-niu finals). There is no way of showing this situa­ tion in the classificatory feature specification tree. It is not the inventory of segments, but the inventory of phonological redundancy rules which can formulate the 412 omission of redundant classificatory features in terms of sequential constraints. The structural characteristic of grave initials in Ancient Chinese with respect to the feature sharpness mentioned above can be formalized in terms of the following phonological redundancy rule;

|-+cons-] [([-grav][-grav])[-diff]l L+erav-l-+grav-> -*-* f-aharl[-shar] if: > ([-grav])[tgrav] [ where:

P icons-. L+grav-i = labial, velar or guttural initial

The constraint of the above rule states that only finals other than the Paired Division III/IV Finals can follow the initials under consideration. According to the present reconstruction, this means that the main vowel of the finals should not be a compact, nongrave segment

(namely *a or *e), preceded by a [-grav] segment (namely medial or *-ÿ-) and followed by a [idiff] segment

(namely , *u, *m or *n) or a syllable boundary. If stated in a negative form, this constraint can be formal­ ized as : 4 p+comp-| if not: [-grav]L_gravJ([+diff])#

If stated in a positive form as given in the above rule, the constraint requires: first, the rule can be applied to any final without a diffuse, nongrave medial. Using

De Morgan's law, this is formulated as — 413

[+grav] ]

[-diff]/

Next, in case the medial is a diffuse, nongrave segment, the main vowel should be a [+grav] segment (namely, either

*a, * 3 , *o or * u ) ; and in case the medial is a diffuse, nongrave segment and the main vowel is a [-grav] segment

(namely, either *a or *g), the ending should be a [-diff] segment (namely, either *ij or *jn):

[ [+grav] if: ____ [-grav] ] l[-!■grav][-diff], What is of paramount interest is the fact pointed out by Halle that if an independently motivated evalua­ tion measure -- simplicity criterion -- is applied to a set of phonological redundancy rules, a highly formal definition of the accidental and systematic gaps of the phonological system can be obtained. In the case of An­ cient Chinese, the final III: *ia is, in various respects, exceptional: contrary to other finals with the same type of main vowel, it does not have any hé-kou counterpart; it occurs by itself or only with a dental sibilant or sharp palatal initial, etc. The interesting point is that the phonological redundancy rule discussed above does not apply to this exceptional final. As de- fined in Chapter II, the (if/f^ ) III final is as a matter of fact one of the Single Division III/IV Finals, not the

Paired Division IIl/IV Finals. Consequently, the phono- 414 logical rule discussed above should be so formulated that it can apply to this final. However, in order to do so, the constraint of the rule in question has to be reformu­

lated into the following form at the expense of three features and a syllable boundary marker;

^([-grav]) [+grav]

if:____ -\ ([-grav][-grav])[-diff]

[-grav]p-grav-|# L+tens-J

As a matter of fact, this revision is unnecessary, because

neither the labial nor the velar nor the guttural initial

occurs before this final. This peculiar characteristic of

the Mâ III final may be interpreted as follows:

Since the final in question is of exceptional type

and thus requires very expensive revision of the above

phonological redundancy rule, the occurrence of labial or

velar before this final in Ancient Chinese was "carefully"

avoided.

Or:

Since there is a phonological redundancy rule which

would be simpler if it did not apply to the final in ques­

tion, the final had to occur in a very exceptional way.

The above fact can be taken as a structural confirma­

tion of the reconstruction of the Ancient Chinese vowel *a

(for the III final as well as a set of Paired

Division III/IV Finals) and the establishment of the phono- 415 logical redundancy rule given above. It may sound un­ reasonable if these are confirmed only on the basis of the exceptional occurrence of the ) III final. How­ ever, in this connection, there is another interesting case. As a matter of fact, the phonological redundancy rule in question should also apply to the You (uiÜ’/ ) final, since the feature sharpness of grave initials is not dis­ tinctive before this final too. Once again, this final is exceptional:

1) Although there is reason enough to regard this as 8 one of the Single Division III/IV Finals, it cannot be ignored that it occurs almost only after grave initials

— labials, velars and gutturals.

2) Although it is one of the Single Division III/IV

Finals, labials before this final later did not undergo the so-called "labiodentalization." This is the motiva­ tion for identifying the main vowel of this final as non­ grave.

3) As pointed out in section 2.4.5, notes found in the various editions of QY and GY suggest the very early coalescence or confusion of the You (lüi/) final with the

Y 6 u ( /L ) final.

If the phonological redundancy rule in question were to apply to the grave initials before this final, an ex­ pensive revision of the constraint of the rule would be necessary. The coalescence of the two finals mentioned 416 above may be interpreted as mainly due to the preservation of the simplicity of the phonological redundancy rule.

In the description of the phonological system of natural languages, two types of rules are needed in the phonological component of a generative grammar: namely, phonological rules which may involve more than one morpheme 9 at one time (Halle's P Rule c) and phonological redundancy rules (Halle's P Rule a) as well as those phonological rules which continue the specification of features which do not play any distinctive role in a language but are not randomly distributed (Halle's P Rule b). Phonological rules take the form of:

[A] - [B] if: [C]___ [D] which means that in any segment, the feature [A] is re­ written as [B] if the feature [A] or the segment contain­

ing the feature [A] occurs between the segment containing

the feature [C] and the segment containing the feature

[D]. However, the second type of phonological rules men­

tioned above are always feature specification rules or

feature addition rules. Consequently, the rules always

take the form of

[X] -* [B] if: [C] [D] A where [X] represents any arbitrary feature complex. In

order to shorten the formulaic representation, it has 10 been proposed to contract the above formula into —

[A] - [B] if: [C] ___ [D] 417

There is fundamental difference of linguistic signifi­ cance between the first type and the second type of phono­ logical rule. Therefore, in order to avoid unnecessary confusion, it is here proposed to present the first type, or rather the Phonological Transformation Rules, in the form of --

[A] - [B] if: [C] ___ [D] but the second type in the form of :

[A] — [B] if: [C] ___ [D] distinguishing the two types by the arrow.

Partly for convenience of presentation and partly in order to avoid circularity, the phonological redundancy rules will be discussed separately in two groups: those which specify the redundant features of initial consonants,

and those which specify the features of the finals.

In accordance with the aim of the present study, the

features of segments are seldom specified further than

what is listed in the classificatory feature tree of An­

cient Chinese segments, unless a given feature is rele­

vant to some later sound change, or unless certain phono­

logical regularities could not be explained without men­

tioning the feature not listed in the tree. The acoustic-

articulatory features are adopted here for the phonological

description of natural languages in the narrow sense (in

contrast to phonetic description). In a complete phono­

logical description in the broad sense, the exact acoustic 418 properties of the speech sounds of individual natural

languages will be specified by a set of Feature Interpre­

tation Rules, which convert the acoustic-articulatory fea­

ture specification into ranges of physical variables.

This will not be pursued in the present study,

5,2 The formal requirements of redundancy rules

Certain basic theoretical discussions on the formal

requirements of the phonological redundancy rules are

necessary before we proceed to the study of those rules

in Ancient Chinese,

The present discussion will begin with some examples

of phonological redundancy rules in Ancient Chinese, One

of the clearest constraints on the occurrence of morpho-

phonemes of Ancient Chinese is the following:

A nongrave, flat glide can occur only before, never

after, a syllabic vowel; hence any segment that precedes

a nongrave, flat glide should be a consonantal segment.

This can be formulated into the following rule:

Rule A:

[ ] -^ [+cons] if:___ ^-gr^v^

There are regular restrictions for the co-occurrence

of noncompact vowels and medial glides:

1 ) before a nongrave vowel, grave medial only;

2 ) before a grave vowel, nongrave medial only. 419

In the second case, the feature flatness of the medial is redundant, namely only the nonflat medial can occur in the environment. Therefore, the feature flatness need not be mentioned in the case under consideration. Thus, we can have the following rule:

Rule B:

[ ] — * [+cons] if:___ ([agrav])[]^%^]

The following convention is adopted here: if there are optional elements in the constraint of a rule, the rule

is applied first to the longest choice of these optional

elements, next to the second longest, etc. Thus, the

constraint of the above rule should be chosen in the fol­

lowing way and the following order:

i a ) ----- [+grav][]Comp-j

b) [-grav][;g°gP]

•grav- -comp- ■+grav'

i) and ii) are ordered, but not a) and b) of these two.

And the rule is always applied first to the constraint ' *1 ia) and last to iib). Therefore, to a syllable like *kei

'chicken,' namely -- 420

+cons -voie "- cons' -cons' +grav +sono -sono -diff -comp -grav +intr -diff -flat -tens -gray, the rule will not apply with respect to constraints ia) and ib), but will apply with respect to constraint iia), where the first segment of the syllable is provided with the feature consonantality. On the other hand, such a syllable O as *küeï 'Judas tree,' namely --

“+cons" -voie -cons -cons' -cons +grav -sono +sono -sono -diff +grav -comp -grav +intr -diff -flat -tens_ -gray could not by mistake be covered by, for example, con­ straint iia) and have its second segment receive the speci­ fication of the feature consonantality, because before constraint iia) is considered, it is "screened out" by the preceding constraints; namely the rule will have already applied to the first segment of the syllable with respect to constraint ia).

If the choice of optional elements of the constraint is not ordered, one more element has to be added to the constraint as follows;

if! # --- ([agrav])[]=°™P^] which is understood as follows, but without ordering:

i) #_['*'Srav][:=°“P] 421 II) #_[-grav][;|%]

III ) # _ [ : = % ]

iv) #_[;g?a?]

Since the boundary marker shows that the segment which is supposed to receive the feature specification must be the first segment of the given syllable, even such a syllable V 3 as *ktiei would not be covered by constraint iii), and the second segment of the syllable would never receive the feature specification under consideration. So the rule is satisfactorily formulated.

The simplicity criterion clearly suggests the prefer­ ence of the first solution.

Evidently, there is a fundamental formal difference between the usual phonological redundancy rules on the one hand, and rules like A and B on the other. The esta­ blishment of the latter type of rule involves important

theoretical issue: whether a phonological redundancy rule could be set up or applied with a structural analysis before specifying the features of the segments of the

given language which are relevant to the structural anal­ ysis. In the case of the present example, the feature

compactness which appears in the constraint of Rule B is

specified only with nonconsonantal, sonorant segments.

The row for specifying the feature compactness for con­

sonantal or nonconsonantal, nonsonorant segments is left 422 blank. As a matter of fact, these consonantal and non­ consonantal, nonsonorant segments are all noncompact.

So, if the specification of the feature noncompactness of these segments precedes Rule B, Rule B does not hold at all, because [agrav][[^g^^y] could now be *am or *au

( [-grav][!J.g°^^]) and the segment preceding *am or *au is not necessarily a [+cons] segment (c.f. *iam, * ï a u , etc.).

In other words. Rule B holds only before the feature non­ compactness of consonants and glides is specified. In principle, this is also true with Rule A, although except

*y, there is no segment which is characterized as nongrave, flat and which occurs after another segment within a syllable in Ancient Chinese, even if all the phonetic properties of the speech segments of Ancient Chinese are specified; and thus the rule holds.

The issue was summarized and discussed in McCawley

1965, section 1.3.2, according to which Chomsky and Halle's position is to impose constraints on the rules such that the constraints would preclude the possibility of dis­ tinguishing three situations with respect to a feature

(namely, the plus, the minus and blank, of the given fea­ ture), and McCawley's position is to restrict the diction­ ary forms and phonological redundancy rules in such a way that it becomes unnecessary to have any such applicability criterion of rules at all. McCawley regards the issue as the problem of the understanding of blanks in acoustic- 423 articulatory feature matrices. However, the basic issue seems to consist in or at least stem from the point summarized above. Then the problem involves the under­ standing of not only the blanks but also the nature or character of classificatory features and phonetic features.

The relevant points are as follows;

1) "In using the distinctive feature system one com­ mits oneself to the view that all features are of a simple, binary type; i.e,, one restricts oneself to asking about the phonetic features of a language only questions 12 that can be answered by yes or no," A logical consequence of this premise is that any speech segment of a given lan­ guage could only be either plus or minus with respect to a given feature in the description; there could never be a case that a segment be neither plus nor minus in the phonetic characterization of speech segments,

2) In the phonological description of a natural lan­ guage, certain features of segments are omitted only be­ cause they are redundant with respect to the phonological contrasts in the language, and only with the understanding that they are to be specified by a set of phonological redundancy rules. To accept this statement is to admit the fact that the representation of segment in terms of

"classificatory features" is merely an omission of re­ dundant information in the phonological description.

Therefore, phonological redundancy rules never rewrite 424 certain features into certain other features, or the values of certain features into certain other values. On the other hand, the case of phonological transformational rules is very different. The segments in the input to these rules do not necessarily correspond to the same acoustic correlates in the output of the rule. Therefore, before the application of the phonological transformation rules, certain features specified in the input segments could be fictitious constructs, and so it is not always implied that any segment could only be either plus or 13 minus with respect to these fictitious features,

3) If the above two points are accepted, then it is self-evident that such a proposition as; "whether it is legitimate to set up and apply a phonological redundancy rule with respect to a structural analysis before specify­ ing the features of the segments of the given language which are relevant to the structural analysis" does not come into question at all. It does not matter whether a phonological redundancy rule is set up before or after the relevant features are specified. In the latter case, there is no problem. In the former case, we have to keep in mind that there would be segments with certain rele­ vant (but as yet unspecified) features relevant to the rules to be set up. These segments should of course be covered by the rules, after they are specified with respect to the features in question. Consequently, Rule B 425 is not we 1 1 -formed■as a phonological redundancy rule of

Ancient Chinese.

4) It seems that the attempt at spurious simplicity

-- arranging the redundancy rules so that they apply only

to segments specified so far with respect to the relevant

features and not to others which would have been also

eligible for the rule, were their relevant features speci­

fied at that point -- stems from the vague explanation of

the procedure of omitting redundant features in the Appen- 14 dix of Jakobson, Fant and Halle 1951, There, the re­

dundant classificatory features of English (Received Pro­

nunciation) phonemes seem to be determined by their co­

occurrence with certain other classificatory features.

Therefore, the prediction of the features given between

brackets in the table is carried out not in terms of the

restriction on the co-occurrence of segments in terminal

strings but in terms of that of features within a segment.

This treatment regards feature specification or its

value as a kind of absolute entity, or rather as an "alpha­

betic symbol." Thus, certain specifications of feature are

regarded as unique absolute attributes of the segment.

Hence it is possible to have such a rule as --

[ ] - [-nasi] if:

and omit the feature nonnasality of stops and fricatives 15 of English, However, the same is not true with the case 426

of predicting the feature noncompactness of /m/, /f/, etc., using a rule of the following type;

[ ] [-comp] if: {± ^ grav fiinas a because, by this rule, /g/, /&/, etc. and /o/, /e/, etc. will also receive the above specification of compactness, which is of course undesirable. The above rule works only with the premise that the two features with the two values

given as the constraint represent by themselves certain unique, absolute attributes of the segments to be covered

by the constraint. This is completely against the defini­

tion of the distinctive feature system. If by specifying

/m/, /f/, /p/, /v/ and /b/ with respect to the feature

gravity is intended the exclusion of /n/, /s/, / 8 /, /t/,

/z/, /5/, /d/, as well as /g/, /k/ and /g/, it will be an

illusion, because no one is sure that there is no grave

segment besides /n/ through /d/ (some of the consonants,

/g/ through /g/, are not specified with respect to this

feature). As a matter of fact, there are other grave

segments not included in the above list, namely /g/, /k/,

and /g/. In other words, when a certain group of segments

is to be singled out by a certain feature or certain

features, inevitably all the segments of the discourse

universe are divided into two groups, either the plus

group or the minus group with respect to the given fea-

ture(s). Consequently, the only way to single out a cer- 427 tain group of segments is to mention the combination of features unique to the group. Consequently, in general there would be no phonological redundancy rule of the fol­ lowing type:

C-i-F],] — [+F2 ] if: [îilFj] because by the above constraint all the segments of the discourse universe are included, and so this constraint is not necessary at all,

5) If the simplicity of description is to be obtained by the establishment of the convention that when a feature in question is not specified with respect to a certain segment, the rule does not apply to the segment, we have to reconsider the motivation for setting up phonological redundancy rules.

Phonological redundancy rules are set up in the des­ cription of a language, because these rules not only simpli­ fy the description, but also reflect or characterize the structure of the language. The regularity and irregulari­ ty of the structure of the language is reflected in the inventory or the order of these redundancy rules. The feature tenseness need not be specified with respect to the voiced initial consonants of Ancient Chinese, and a re­ dundancy rule will predict the nontenseness of these voiced initials;

[ ] -*-* [-tens] if: [Tv o Ic I 428 voie

voie + tens - + (-) Fig. 7--Characterization of Stops

This reflects the structure of the initial system of An­ cient Chinese, which is different from that of, for example,

Sanskrit, These characteristics of the phonological struc­ tures of Ancient Chinese and Sanskrit, are reflected in the presence of the said redundancy rule in the former and its absence in the latter.

However, the following rule not only ignores signi­ ficant characteristics of the phonological structure of

Ancient Chinese, and lacks the generality found in the rule for the prediction of the feature tenseness mentioned above, but also is a false statement, [ ] [-di££] if • • [ , ± 1 tens] [+tens] if:[[ijdiff]. comp

di?f"^ " ' ' ~ ^ n s

comp - --- + + + grav — + - + - + - + tens (+) (+) (+) (+) —— + + diff + + (-) (“ ) (-) (-) Fig, 8--Characterization of Vowels 429 In other words, in the case of the prediction of

tenseness of consonants, there is linguistic motivation justifying the presence of the rule, whereas in the case

of the prediction of the nondiffuseness and tenseness of

vowels mentioned above, there is no linguistic motivation for the rule.

If we miss this point, and only want to regard the

counting of the number of feature specifications as a measure for simplicity, we might as well adopt as many

features in the description as the number of mo rphophonemes of the language so that a different feature is assigned to

each of these morphophonemes, thus predicting the feature specifications of each segment except the one uniquely

assigned to the individual segment; for example --

F.

Fig. 9--Example of Spurious Simplicity 430

One can set up a rule to "predict" redundant features as follows :

if:

[-F3] if: if: [ ] 1 [+F2] [-Fg] if: [+F^] if:

IC-Fl] if:

By this solution, the "simplest solution" in terms of the number of specified features is obtained; namely, it needs only one feature for specifying each segment. This is of course undesirable. Not only does the solution need almost as many features as the number of morphophonemes, not only are these rules far from general (although the rule looks like a single rule, it is as a matter of fact 16 equal to six rules), and not only can one rule be applied to only two kinds of segments (those with [“+p— ] i and those with [“^f— ]), but the constraints of the rule(s) are also formulated in a way contradictory to the defini­ tion of feature specification. Therefore, the first essential of a phonological description is the precise and accurate characterization of the phonological system of a language. The simplicity criterion is an objective measure for accomplishing this goal, because the most precise des­ cription is often the simplest description of the given data. 431

6) The adoption of the solution of single-feature specification for each segment will entail undesirable results which clearly demonstrate the absurdity of this type of spurious simplification. It leads to the nonrecog­ nition of the phonological regularities and irregularities of a given language in the description of the structure of that language; in other words, it leads to the negation of raison d'être of phonological study. In addition, it leads to the following contradiction: namely on the one hand we define a binary distinctive feature system and characterize each segment asking whether a given segment possesses the property, but on the other hand we restrict this question to only two segments with respect to one feature. This completely nullifies the distinctive fea­ ture coding, because if the question whether a given seg­ ment possesses a certain property can be asked only with respect to a restricted number of segments, we are actual­ ly setting up alphabetic symbols, written in the form as either "plus something" or "minus something," one for each segment,

5,3 General restriction on the co-occurrence of syllable constituents The most generally predictable features of segments in terms of the restriction on the occurrence of segments within a syllable are consonantality and sonorance in An- 432 d e n t Chinese, which are not restricted to certain groups of initials, mediaIs, etc. These will be discussed first. Less general rules for the prediction of features restrict­ ed to certain groups of segments will be discussed sepa­ rately,

5,3,1 Treatment of glides

It is apparent that the glides are best characterized as nonconsonantal, nonsonorant segments in Ancient Chinese,

Since a glide is always followed or preceded by a vowel in

Ancient Chinese, the feature nonsonorance is completely predictable, and we need specify only the features in

Figure 10 and, in some cases (to be discussed in the next section), the feature nonconsonantality with the dictionary form of these glides; grav flat y u grav -- +

flat - +

Fig, 10--Characterization of Glides

5,3,2 The feature noncon­ sonantality of mediaIs and vowels Before the main discussion, it is desirable to pre­

sent the kinds of combination of consonantal and nonconso­

nantal segments admissible in Ancient Chinese, 433

Let C stand for a consonantal segment, V for a non­ consonantal segment. Glides and vowels (nonsonorant and sonorant segments respectively) are not distinguished among the nonconsonantal segments, because the feature non­ sonorance of the glides can be predicted by a set of phonological redundancy rules in this section.

Looking at the list of Ancient Chinese finals, the following general formula can be construed for the ad­ missible combination of C's and V s within a syllable in

Ancient Chinese: 1, VV 2, VVV 3, VVC 4, CV 5, CVV 6 , CVVV 7, CVC 8 , CVVC

Judging from the tables showing the distributional 17 pattern of finals and initials in rime tables, the so- called Yu-mu (reconstructed as zero initial) can co-occur only with the Single and Paired Division III/IV Finals, which always occur with a medial. Therefore in Ancient

Chinese there is no syllable consisting of just one vowel or consonant.

From the list of possible combination of consonantal and nonconsonantal segments, the following regularity may be observed:

1) Any segment preceded or followed by a consonantal segment is a nonconsonantal segment;

2) Since there is no succession of more than one 434

consonantal segment, any segment preceded and followed by

one or two other segments, is nonconsonantal. These regularities can be formulated into the follow­ ing redundancy rule:

Rule 1

(---)[+cons](--- ) [ 1 [-cons] if: l[ ] [ ]i The first constraint could also be --

i f: ___[+cons]___ However, since a consonantal segment is never preceded and

followed by nonconsonantal segments, the above form does

not actually occur. One of the brackets in this first constraint must be chosen, however; so that the condition

of the constraint covers either of the following two cases :

1) if: [+cons]___

2) if: __[+cons]

In the list of syllabletypes given above, the feature nonconsonantality of the underlined segments below can be

predicted by Rule 1 (numeral 1 or 2 means that the seg­ ment is covered by the first or the second part of the

constraint of Rule 1 respectively; in case both are pre­

sent, it means that the segment is covered by both parts);

1, W 2, VVV 3, VVC 4, CV 2 1 1 2

5, CVV 6, CVVV 7, CVC 8, CVVC 1 T Ï T 1 1 2 2 2 22 435

The feature consonantality or nonconsonantality of the

segments not underlined above must be specified in their

dictionary form.

Next,

1) If there is only one nonconsonantal segment occur­

ring within a syllable, regardless of the presence or ab­

sence of co-occurring consonantal segment(s), it is always

a syllabic vowel; hence the nonconsonantal segment should

. be sonorant;

2) A glide cannot be followed by a consonantal seg­

ment in Ancient Chinese; thus any segment followed by a

consonantal segment is sonorant;

3) If a syllable consists of four segments, the third

segment is always a syllabic vowel;

4) The second segment of a syllable consisting only

of two nonconsonantal segments, is always sonorant. Since

four types of finals, the Division 1, Division II, Divi­

sion III and Division IV Finals cannot co-occur with the

so-called zero initial, the construction of the syllables

with any of these finals is either CV(V)(C) or CVV([^|);

and the Division III/IV Finals, both Single and Paired,

cannot occur without a medial, hence syllables with this

type of finals could only be the (C)VV([^|) type. There­

fore, syllables consisting of only two nonconsonantal seg­

ments must be Division IIl/IV Finals without any conso­

nantal initial and ending. Consequently, the second seg- 436 ment of these syllables could be nothing but a sonorant

segment.

5) If a syllable consists of three nonconsonantal

segments, the second segment is always sonorant.

The possible combinations of C and V of case 1) are:

CV, VC and CVC. Among them, VC is impossible, because of

the restriction on the occurrence of the so-called zero

initial in Ancient Chinese (see 4 above). Consequently,

for the syllables listed above, only the following con­

straints are necessary in order to predict the feature

sonorance of a syllabic vowel:

if: [+cons] #

if: [+cons]

The possible combinations of case 2) are: VC, CVC,

VVC and CVVC. Among them, again, VC is impossible. Only

one constraint, already listed under case 1 ), is needed;

if: [+cons]

The possible combinations of C and V of case 3) are --

CVVV and CVVC. For the second type, the following con­

straint is necessary:

if: [+cons]

which is already set up for case 1) and 2), For the first

type, a different constraint is required:

if: [ ][ ] _ [ ] The constraint for case 4) is very simple:

if: #[-cons] # 437

In case a syllable has the construction of VVV, the con­ straint is --

if: -consl r-consl#

This seems to be combinable with the constraint discussed in the preceding paragraph:

if: (#)[-cons]___ ([-cons])#

The constraints listed individually above, can be grouped into the following rule:

Rule 2

(__ )[+cons](____#)

[-cons] [+sono] if: " #[-cons] ([-cons])# r X ][ ]__[ ] . The feature sonorance of the segments marked by numeraIs (which correspond to the respective four cases mentioned above) below, is predicted by Rule 2:

1. VV 2. VVV 3. VVC 4. CV 4 5 2 1

5. CVV 6 . CWV 7. CVC 8 . CVVC 3 1 2 2 3

The feature sonorance of all the other syllabic vowels should be specified in their dictionary form.

Now, the feature nonsonorance of glides can easily be predicted:

Rule 3

[-cons] — [-sono] if: ( >C+sono^^ ^

Namely, any nonconsonantal segment, preceded or followed 438 by a nonconsonantal, sonorant segment is nonsonorant,

5.4 Restrictions on the occur­ rence of initial groups As summarized in section 2,3, finals in Ancient

Chinese constitute six groups, each showing a unique dis­ tributional pattern of occurrence in the rime tables.

The initials that occur before these finals also show a regular distributional pattern, which can be used to pre­ dict some of the classificatory features of certain groups of these initial consonants. Hereafter in the discussion of redundant features of initial consonants, the reader will be constantly referred to the tables of the distribu­ tional pattern of initials and finals given in section 2,3,

5,4,1 Before Division I and Division IV Finals

Before both Division I and Division IV Finals, dental stops (shé-t6 u-yîn) and sibilants (chi-t<5u-yxn) need not be distinguished from retroflex stops (shé-shàng-yîn) and palata1 /retroflex sibilants (chï-shkng-yîn and zh&ng-chi- yîn) respectively in their dictionary form, because the latter two groups of initials in general do not occur before the mentioned groups of finals. Hence the following rule:

Rule 4

+sono [Igrav] - if :_([+srav]) [+grav]

r - comp-I L-diffJ 439

where; [+grav] (together with [+sono] within the same seg­

ment) represents any of the following four vowels:

*a, *3, ^o and *u;

^"di^f^ represents the vowel *e or *o. The feature [-cons] need not be specified in the constraint because even if the constraint applies to some [+cons] segments (such as *m, etc.), the only [+grav] segment that can precede them is *a, *a, * o or *u. A [+cons] segment cannot be noncompact, nondiffuse.

Traditional phonologists of the pre-modern periods made the same type of description, arranging dental stops and sibilants only in the first and the fourth Divisions of the rime tables, retroflex stops in the second and the third Divisions, and retroflex and palatal sibilants in the second and the third Divisions respectively.

However, whether in Ancient Chinese retroflex stops need be distinguished from dental stops before finals other than the Division I and Division IV Finals, requires fur- 18 ther discussion.

Other minor regularities of the occurrence of this group of initials are the following:

1 ) * g , *gj and * z never occur before the finals under consideration. Consequently, *k, *kj and *s need not be marked as [-voie] before these finals.

2 ) * p never occurs before the finals under considéra- 440 tion. Therefore, the feature diffuseness of * 1 and *n is 19 redundant before these finals.

5.4,2 Before Division II Finals

It is true that Division I and Division IV Finals do not usually co-occur with retroflex stops and retroflex and palatal sibilants, though in the characters belonging to the following three homophonie groups. Division I Finals are preceded by retroflex or palatal sibilants;

1) *tgua3 Gë (:?/.) CI

2) *t['aï^ ( A ) ------Hâi ) O U I

3) * d ^ u ^ ( , # ( W - ...... - ...... — H 6 u ( ) and though, also, in the following two homophonie groups.

Division IV Finals occur after palatal initials:

1 ) ( ^ ) ...... Qf C j f ) 0

2 ) "Jlei'' — ------QÎ 0

Moreover, there is no contrastive pair of dental and retro­ flex stops, dental and retroflex sibilants, and dental and palatal sibilants with respect to Division I or Division

IV Finals.

However, the two groups of initial consonants, dental stops and sibilants on the one hand and retroflex stops as well as retroflex/palata1 sibilants on the other, do not show such clear complementary distribution before other finals. Even in rime tables, where the descendants of

Ancient Chinese dental and retroflex stops show consistent 441 complementary distribution (the former occurring with Divi­ sion I and Division IV Finals and the latter with other finals), there are dental stops occurring before some

Single as well as Paired Division III/IV Finals, In the case of Division II Finals, although the exceptional occur­ rence of nonretroflex sibilants can be found only in the following three homophonie groups :

1) *sua^ ( & ) ...... ( M ^ ) Cl I

2) *tsam^ ( % ) ...... Xi^n ( # f )

3) *dzEn^ (/% -----Shin ( J-J ) O and although there are no contrastive syllables with the same finals but with retroflex sibilant initials, the fan- qi& spelling for the initials before Division II Finals in

KMBQ-III shows that retroflexes as well as dental stops consistently occur before Division II Finals,

The problem is whether these phonetically clearly distinguished initials are phonologically distinct. Most of these dental and retroflex stops occur in complementary distribution, but not all. In other words, the distribu­ tion of shé-shàng-yïn (retroflex stops) and shé-t6 u-yîn

(dental stops) is not completely complementary with respect to Division II Finals, Even in the case of Division III/

IV Finals, although dental stops do not occur consistently before these finals, these two groups of initials do not show complementary distribution. This is the reason for setting up two distinct sets of nongrave stop initials, 442 diffuse versus nondiffuse (dental and retroflex stops), in Ancient Chinese in Chapter IV.

There are two alternative interpretations concerning this situation. One is to regard it as the problem of a sound change which took place between the Chinese language reflected in QY and the Chinese language the d^ng-yùn-xué phonolegists based their studies on (or at least the lan­ guage they construed as the norm or standard form of Chi­ nese). Judging from later changes, it seems that there was a historical change rule by which all the dental stops and sibilants were changed into the corresponding retro­ flexes in the relevant environments :

Historical Change Rule 1

-cons [+dif f] -* [-diff] if: +consl([+grav]) +sono L-gravJ +comp L-gravj

This process was not yet complete when QY was compiled, so that both retroflex and nonretroflex dental stops (and a few sibilants) are found before Division II Finals (but not before Division 1 Finals). The information that retro­ flex and nonretroflex dental stops and sibilants show com­ plementary distribution before Division I and Division II

Finals, is obtained from the literatures of the d^ng-yun- xué tradition, which reflect the situation created by the complete application of the above historical change rule.

However, this interpretation does not explain why 443 some of the Division II Finals occur with dental stops, some with retroflex stops, and in addition, why this con­ sistent occurrence of dental stops is not found before

Division 111 or Division lll/lV Finals in Ancient Chinese. 20 Pulleyblank gave an excellent answer to this question, assuming a medial -r- for those syllables with retroflex stops and Division II Final. This assumption solves the mystery that although their distribution with respect to

Division II Finals is almost complementary, the dental and retroflex stops nevertheless are clearly distinguished by the upper fân-qiè characters from two different groups.

F . LÏ pointed out, however, the weak point of this assump­ tion; namely although the following pair of syllables, for example, are distinct on account of the postvocalic -r for the first one and the medial -r- for the second: 21 *targ^ ( t ' T ) Gêng (/^ ) Oil *trag^ T ) all the known versions of QY and GY use the characters

from the same lower fan-qiè character group for both of

these two characters; and no known rime dictionary sets up different rimes for those Division II Finals with the post- 22 vocalic -r and those with the medial -r-. This forced

Pulleyblank to abandon the idea of medial -r- and post­ vocalic -r.

The alternative interpretation is to exclude excep­

tions from the general picture. Only four pairs of dental 444 and retroflex stops are found contrastive in KMBQ-III; 23 three being those quoted in Chao's paper:

^ u .... 2 Mâ c ; f f ) o n : 1^-^/ f pT-èL *ta

■ ■ ^ fr f Zhï ( jig ) O : *dïsï^

li'l ^ * # 1 ^ Gang ( ^ ) Oil: ^'T *taq^ sliPlêL *1 ^ 24 one being very doubtful:

Zhong *t ' log^ A: * t 'W Although it is quite right that Chao drew attention to these "minimal contrasting pairs," in formulating the phonological redundancy rules of the initials under con­ sideration, however, these four (very probably three) may be marked as exceptions to the redundancy rule to be pre­ sented here. The majority of dental stops occurring before finals other than Division I and Division IV Finals, actually occur before Division II Finals as shown in Table

56 (including the above four examples). 445 Table 56

Exceptional Initials Before Division II

and Division III/IV Finals

even-tone rising-tone departing- entering- tone tone

t 2 2 3 3 Div. II t' 1 Finals d 2 2

Div, t 1 2

III/IV t* 1

Finals d 1

Therefore, this usage of characters with as

the upper fMn-qie character for characters with Division II

Final, is probably an expression of the hesitation of the

speller (of the f^n-qi^ of QY) in spelling the upper cha­ racters, Suppose nonsharp palatals ("nonpalatalized" palatal) are assumed for shé-shàng-yïn occurring in the second Division, and sharp palatals ("palatalized" pala­ tal) for those occurring in the third Division, for example:

Division I *dag^ Tâng ( ) 0

Division II r}^ *<^ag^ --- Jiang

Division III --- Ying (!•%) 0

If those characters belonging to the fifteen homophonie groups tabulated above are marked as exceptions, the dis­ tinction dental versus retroflex versus palatal of the 446

initial consonants listed above is phonologically redundant

because it is predictable in terms of the features of the

final segments. Then, there could be various ways of

characterizing these initials on the phonetic level. One

possibility is to pay attention to the feature sharpness,

and combine dentals and retroflexes (nonsharp) in contrast

to palatals (sharp). Another alternative is to give weight to the feature diffuseness, and group the retro­

flexes and palatals together (nondiffuse) in contrast to

the dentals (diffuse):

Table 57

Interpretation of Exceptional

Dental and Palatal Stops

Alternative I Alternative II

^ 1 dag^ dag 1 ^ 1 *c^ag'- dag lag

<^xag1

The latter characterization is what the d^ng-ybn-

phonologists did consistently. The speller of the fan-

qiè of QY seems to be indecisive on these alternatives.

The use of characters with dentals as the upper fan-qiè

characters for characters with Division II Finals, is apparently based on the first alternative, whereas the use of characters with retroflex initial is based on the other alternative. Since the distinction is not phono­ 447 logical, both alternatives were probably rather freely adopted in the "spelling,"

Now, if the first interpretation is accepted and two sets of initial consonants are set up, the dental stops and the palatal stops, a great regularity is missed; name­ ly, except two pairs of syllable with Division II Final and two (very possibly one) pairs with Division 111/IV

Final, the feature diffuseness is redundant with respect to these two sets of initial consonants under considera­ tion. Suppose those upper fan-qiè characters indicating the occurrence of dental stops before Division II Finals, are considered as due to the archaism of fan-qiè spelling 25 in KMBQ-III and by the time of Ancient Chinese these initials were actually retroflexes. Suppose it is formu­ lated in the following phonological redundancy rule that before Division II Finals, all nongrave, nonstrident con­ sonants are nondiffuse:

Rule 5

~+cons' “-cons' -grav -»-► [-diff] if:___ C[+grav]) +sono _-stri. +comp -gray where:

[+grav] represents the optional medial -u-

-cons +sono represents the vowel *a or *E +comp L-grav.

We have to have this rule, in addition to the phono- 448

Logical redundancy rule of the preceding section. Thus, in conclusion, the first alternative is very unreasonable.

By the second solution suggested above, further generalization of the redundancy rule is obtainable. The rule predicting the feature nondiffuseness of dental and retroflex stops can be combined with Rule 4 discussed in the preceding section:

Rule 6

-grav P+cons-| r[-diff] if:___ adif f L-grav-I _-acomp. I [+diff] otherwise where the segment specified in the constraint represents either one of the following four vowels or glides:

-grav = -diff +comp _( +tens )_

-grav X = (+diff) (-comp) (-flat^

-grav = -diff +comp (-tens )_

-grav *y = (-t-dif f ) (-comp) (+flat)

Rule 6 uses less features than both Rules 4 and 5, and is more general.

What is more revealing is that although retroflex and 449

palatal sibilants have been supposed to be mutually dis- 26 tinct, these nondiffuse, nongrave initials themselves

are not distinctive from diffuse, nongrave initials (den­

tal sibilants) with respect to finals. The above rule

exactly specifies this redundant feature diffuseness.

Consequently, in the case of the sibilant initials under

consideration, only the feature sharpness need be speci­

fied in their dictionary form, namely [-shar] for the

retroflex sibilants and [+sharp] for the palatal sibilants.

The feature sharpness plays no distinctive role in Ancient

Chinese with respect to retroflex stops, though very

possibly those followed by Division II Finals were phoneti­

cally nonsharp and those followed by Division III, Single

Division IIl/lV or Paired Division III/IV Finals were 27 sharp.

The implication of the above redundancy rule is of

paramount interest. The initial system of Ancient Chinese

thus simplified reminds us of the initial system of Ar­

chaic Chinese reconstructed on a very different basis.

First of all, the system exactly coincides with what Dk- xïn Qian (1727-86) said two hundred years ago concerning

the Archaic correspondents of Ancient retroflex stops:

"shé-shkng-yîn Kfor which we reconstruct retroflex stops except nasal in Ancient Chinese^ did not exist in old 28 pronunciation [(Archaic Chinese^." The fact that only the feature sharpness has to be specified with respect to 450 retroflex as well as palatal sibilants (disregarding the feature diffuseness which distinguishes dental sibilants from both retroflex and palatal sibilants) points to the V 29 30 finding by T. Dong and Arisaka that Ancient retroflexes

(nonsharp palatals) originate from Archaic dental sibilants, whereas Ancient palatals (sharp palatals) from either palatalized dental stops or palatalized velar stops, D.

Qian's statement that "|(Ancient]l chi-yxn |[in this case mainly refer to Ancient "palatalized" palatal sibilants3 were mostly she-yin ([dental stops3 in old pronunciation

[Archaic Chinese^" should also be mentioned in this con- 31 nection,

A minor regularity of the occurrence of this group of initials is seen in the redundancy of the feature

[-voie] for *k and , and the feature [+diff] for * 1 and

^‘‘n. In addition, since *z never occurs before Division II

Finals (although it occurs before Division III/IV Finals,

Single and Double, which are as a matter of fact arranged in the second Division only when they are preceded by re­ troflex affricates and fricatives), the feature [-voie] of 32 *s can be predicted by a redundancy rule.

5,4,3 Before Division III Finals

Since the distributional pattern of initials before

Division III Finals is so unique that it is quite likely the feature gravity of these initials is predictable in 451 terms of some remarkable features or characteristics of the finals, if there are any. Karlgren characterized these finals by means of the common main vowel, which he reconstructed as a kind of "higher-low unrounded central" vowel phonologically distinct in his scheme of Ancient

Chinese vowel system from at least; 33 1 ) the "lower-mid unrounded front" vowel * e ; 34 2 ) the "mean-mid unrounded central" vowel 35 3) the "lower-mid rounded back" vowel * d ; 36 4) the "low unrounded back" vowel *a; 37 5) the "higher-low unrounded front" vowel *æ;

However, in spite of Karlgren's effort, it is not

likely that the main vowel of all the Division III Finals

is uniquely characterized by certain features. The problem whether the distinctions conceived by Karlgren with respect

to Division III Finals are reasonable in human speech

sounds has already been discussed. In addition, there are many other defects of system if a common vowel is assumed

for all Division III Finals.

The most probable distinction between the vowels of

Division III and Division III/IV Finals, is gravity; name­

ly the former grave, the latter nongrave. If this is

accepted, there are difficulties in characterizing the

main vowel of some of the Division III Finals;

1) The main vowel of Geng ) III, which is a mem­

ber of Division III Finals, could not be grave; if it were 452 grave, its Division II counterpart must necessarily be grave too, and this will violate all the regularities of

Division 11 Finals.

2) The main vowel of the Y^ng ( finals could either be grave or nongrave; if it is nongrave, the condi­ tion for the change of bilabials into labiodentals ("labio- dentalization") will be violated. This is actually not very crucial, because there is no definite justification for claiming any condition for the change of bilabials in

Ancient Chinese itself only. Maybe some later change created a new condition for the labiodentalization. This is strongly suggested from the fact that the range and scope of the change is not unique in later variations of

Chinese, such as Chinese transcribed in hP'ags-pa script and modern Mandarin,

3) Although the Gi ) 111 finals do not belong to

Division III Finals, the syllabic vowel of these finals cannot be nongrave, because they should be distinct from the

Mi (/ri'') 111 final. Actually, this case is not crucial either, because the morphemes with Gë (p/X) 111 final are very probably loan words from some foreign language and it is not unreasonable to exclude them from consideration here,

4) The greatest difficulty consists in the treatment of two Single Division III/IV Finals, Zhï ( ) and Y6u

( XL ), which constitute exceptions. Especially in the case 453 of the Zhi (-^ ) final, there is no justification for regarding the main vowel as nongrave. Karlgren had to add a diacritic mark to the shwa of the Y<5u ( ^ ) final. Al­ though his solution is motivated by evidence irrelevant to the problem of unique characterization of Division III

Finals, the use of diacritic mark (showing that the shwa is nonsyllabic) virtually contributes to his characteriza­ tion of the vowel of these finals.

5) Furthermore, the feature gravity is not sufficient for characterizing uniquely the main vowel of Division III

Finals. In order to distinguish these finals from Dong

('^ ) III, Zhong and Yu (/^), which are not members of Division III Finals, another feature, noncompactness, is needed.

All of these difficulties clearly suggest that it is not feasible to characterize Division III Finals by means of certain common features of the main vowel. Except for the Geng ( / | ^ ) III final whose main vowel is nongrave.

Division III Finals are marked by the following proper­ ties :

1 ) the main vowels are compact and grave;

2 ) the endings are diffuse.

Consequently, the following rule can be set up:

Rule 7

[+grav][+diff] I ] - [•«*.] 454

Features in the constraint refer to the following:

[-grav] = either -i- or -y-

[+grav] = either *a or * a (neither *o nor *u can be

included here because they never occur be­

fore a diffuse segment)

[+diff] = either -i, -n or -m (-u never occurs after

[-grav][tgrav])

[+tens^ ~ ([+tens] is specified in order to ex­ clude *g)

[-diff] = - p (-g never occurs in the given environ­

ment)

5.4.4 Before Single Division III/IV Finals

Before the discussion of redundancy rule, let us con­ sider the mutual relationships of the distributional pattern of Division 111, Single Division III/IV and Paired Division

III/IV Finals in rime tables, which give hints to some phonetic details of the initials in question. All the grave initials that precede Paired Division III/IV Finals 38 (except *y) constitute contrastive pairs, palatalized

(sharp) versus nonpalatalized (nonsharp), the latter always occurring in the third Division, whereas the former always in the fourth Division. The relationships of the distri­ butional patterns of the finals of the three final groups under consideration can be defined as follows:

1) Division III Finals occur in rime tables in exact- 455 ly the same way as the Division III counterpart of the

Paired Division III/IV Finals,

2) Paired Division III/IV Finals minus its Division

III counterpart have the same distributional pattern as

Single Division III/IV Finals, though when the latter are preceded by grave initials they are placed in the third 39 Division instead of the fourth Division, as shown in

Table 58. 456

Table 58

Relationship Between Division III and

Division III/IV Final, Single and Paired

1 1 I »-4 I M U 11 C r-l •H Ç W rl III

a ! IV / A A •h . s IN

c I O (0 m «0 1 * •H> -HC II I 1 •H U-t > X3 M <1)'^ III U *-< 9^ M m •H 1-4 nj •-» cu IV ; 'jrP0 j

c I f O (0 1 •r4 *-4 1 V V ¥ V (/} (0 I I c II > *H m - u i •rt “ >

The relationships of the initials of the three final groups under consideration suggest that the grave initials 457 of the Division III counterpart of Paired Division IIl/lV

Finals and those of Single Division III/IV Finals might have shared some phonetic feature(s). The same is true with the Division IV counterpart of Paired Division III/IV

Finals and those of Division III Finals. However, there is counterevidence,

R. Lx gave a very interesting comment on the nature 40 of these initials. He noticed the relationship between

Division III and the Division IV counterpart of Paired

Division III/IV Finals preceded by a grave initial, through the polyphony of the Chinese characters of chdng-niu sylla­ bles :

1) Some of the characters for the Division III counter­ part of Paired Division III/IV Finals could also be pro­ nounced the same as those for Division III Finals;

2) The characters for the Division IV counterpart could also be pronounced the same as those for Division IV

Finals.

R. Lx made this observation through the notes on the pronunciation of certain characters in QY and the occur­ rence of these characters in YJ. Important is the fact that, as can be seen from the discussion in section 4.3.3.3, our study of MGZY exactly confirms this observation. This coincidence cannot be regarded as accidental. Consequent­ ly, from a historical point of view, the following con­ clusion may be drawn; although the distributional pattern 458 of the initial consonants before Single Division III/IV

Finals is parallel to that before Paired Division III/IV Finals minus its Division III counterpart, the behavior of these two groups of initials in the process of later change is very different. Now, if the initials occurring before the Division IV counterpart of Paired Division III/IV

Finals are identified with the corresponding initials occurring before Division IV Finals, then it seems im­ possible that the former could also be identical with those occurring before Single Division IIl/lV Finals, although their distributional pattern is exactly the same. However, this hypothesis is misleading. The problem here involves a sound change from QY Chinese to the variant of Chinese reflected in rime tables. As is well-known, the upper fan- qi^ characters attached to characters with Division IV

Finals, are strictly distinguished in QY from those attached to characters with Division III/IV Finals, Consequently, the identification of the initials of the Division IV counterpart of Paired Division III/IV Finals and of Divi­ sion IV Finals, is either the result of some change of

Ancient Chinese initials, or the reflection of dialectal pronunciation in those polyphonous characters of Paired -

Division III/IV Finals remarked by R, Lr, The coalescence of the initials preceding Division IV Finals and those preceding the Division IV counterpart of Paired Division

III/IV Finals can be interpreted as the result of a struc- 459

Curai pressure; namely whenever there is a Paired Division

III/IV Final, there are also a parallel Division IV Final and a Division III Final within the same "outer" rime group (except in only one case — the Xiào rime group, where no parallel Division III Final is found) as follows ;

Table 59

Structural Pressure on Paired Division III/IV Finals

Div. Ill A A Jt, Paired Div. ^ (G)Iai li '[i\ (C)iau liil C)ram Û (G)ran É

III/IV (Cj)iai^ % (Cj)laïijl j^(Cj)ram^ Div. IV ^ e n

He-kou

Div. Ill Xljyctm A A Paired Div. # (C)yal'r (G)yan §

III/IV (Cj)ya% ill] (Cj)yaxi^ Div. IV Üeï V

Under this situation, it is natural that the Division III counterpart of Paired Division III/IV Finals coalesced with Division III Finals and the Division IV counterpart of Paired Division III/IV Finals coalesced with Division IV Finals, when the distinction grave versus nongrave of com­ pact vowels was lost.

On the other hand, in the case of Single Division III/IV Finals, there was no such type of structural 460 pressure, since there was no contrastive Division IV

Finals, nor Division III Finals within each rime group.

The change of grave initials between Ancient Chinese and hP'ags-pa Chinese is formulated into the following 41 historical change rule: Historical Change Rule 2 r-cons-j’

[+shar] |--grav-| *- +grav-* tens-* r+cons-i IL-diffJJ [+grav] - if :___[-grav] -cons [-shar] +sono _+grav. where : [-grav] refers to -i- or -y-

tllenP refers to refers to -a

Cdiff] refers to -ji -cons -i-sono refers to *a, , *o, *u . -*-gravJ In MGZY, sharp, grave initials occur before the descendants of the You (di3j ) and the Qrng ( ) finals, and nonsharp ones before other Single Division III/IV Finals, so that these two groups of initials occur in complemen­ tary distribution with respect to these finals. Thus, it is pointless to talk about the possibility of identifica­ tion of the corresponding grave initials of Single Division

•III/IV Finals and of the Division IV counterpart of Paired

Division III/IV Finals, As for the nongrave stops before 461 the above mentioned finals, Rule 6 will specify them as nondiffuse. There are some homophonie groups with non- 42 grave but diffuse stops; this should be marked as ex­ ception to Rule 6 ,

5.4.5 Before Paired Division III/IV Finals

Rule 6 could also be formulated so as to predict the feature nondiffuseness of nongrave, nonstrident initials, except for a few cases.

The opposition sharp versus nonsharp of grave ini­ tials is phonologically distinct only before Paired Divi­ sion III/IV Finals, Before all other finals, the feature nonsharpness of these initials need not be specified. The rule for predicting the nonsharpness of grave initials was already discussed in section 5,1:

Rule 8

I ([-grav][-grav])[-diff]

5.5 Restrictions on the occurrence of in­ dividual initials

Very few of those finals with diffuse, grave conso­ nant as their ending can in general occur after diffuse, grave initials. This is of course due to the dissimila­ tion between initials and endings sharing common features The striking fact is that the "outer" series of finals with diffuse, grave consonant ending occur sporadically 462 after diffuse, grave initials as follows (numerals denote the number of distinct homophonie groups): Tin : 2

Xiin (j#T) : 1

Yin (^&L) : 9 Yin (i&_) : 3

Tiin ( ) : 1

However, very few finals with the same ending occur in the same environment if their main vowel is nontense (i.e. the said finals occur in only three homophonie groups of the

Qîn I'x rime). Presumably in the latter case, since the main vowel is nontense, dissimilation worked more effectively than in the former case where the finals have tense main vowels.

The above restriction can be formulated in the follow­ ing phonological redundancy rule, if the exceptional 19 homophonie groups listed above are excluded (see Rule 32):

Rule 9 +cons [%=%] -[-diff] if:_([ ])[ ] +dif f _+grav where :

+cons +diff = -m L+gravJ

A voiced velar stop never occurs before Division I,

Division II and Division IV Finals. Therefore the feature 463 of voiceless velar stops need not be speci­ fied before these finals:

Rule 10

[+voic] [-intr] +cons if: +grav [+stri] [-voie] _-diff where:

[+grav] = optional medial -u-

[+sono3 ” vowel, but actually *a, *a, *a, *E, *e, *o or *u

Nongrave, nondiffuse nasals occur only before Single and Paired Division III/IV Finals. Thus the feature diffuseness of *1 and *n and the feature [-sono] of *c^, and ’M.j need not be specified in the environments;

Rule 11 r([+grav])[;:2S:] [+sono] [+diff] +cons if: +voic i _ r[+grav][+diff] [-diff] [-sono] -grav [[.grav]j^_ +tens

The first constraint of the above rule is the same as that of Rule 10. It happened that the initial in question does not occur before Division III Finals either. The second constraint covers Division III Finals. Consequently, it is the same as that of Rule 7.

The *z occurs in exactly the same environment as above. Thus the feature [+intrj of

*ix and the feature [-voicj of * s need not be specified in their dictionary form. 464

Rule 12

+cons f([+grav])[;:%] [tvoic] [+intr] -grav if: +diff [+grav][+diff]l [-intr] [-voie] _+stri [-grav]

The voiced retroflex fricative occurs in only one homophonie group. If it is marked as exceptional, the feature sharpness of this sound need not be specified.

However, in this study, it is specified for the convenience of the description of sound change. See the discussion in section 6 .2.2.

5.6 Restrictions on the occur­ rence of main vowels Main vowels can co-occur relatively freely with other segments, so that there are not very many rules predicting the redundant features of these vowels. Never­ theless, there are the following two general constraints on the occurrence of main vowels. First, when the medial of a syllable is a nongrave, flat glide (-y-), the main vowel of the syllable could neither be *e nor *o nor *u. Therefore, the main vowel should always be a compact segment:

Rule 13 -cons' [-cons] [+comp] if : -grav +f lat where -- 465

■-cons' -grav -y-V _+f Lat_

[-cons] must be specified in the constraint, otherwise it might apply to a retroflex initial.

Next, if the medial of a syllable is a grave glide, the following main vowel can neither be *u nor *o:

Rule 14 -cons (-—cons -| r—aixr-diff -i » ^. -sono L(-comp)J L(_grav)Jg] _+gravJ where : -cons -sono = s'fu L+grav

[-cons] = any vowel I cons^ _ or *e (actually *e) '— compJ If the medial of a syllable is a nongrave, nonflat glide, the main vowel of the syllable cannot be *e:

Rule 15

"-cons" ~-cons -comp -*-* [+grav] if: -grav _-diffJ _-flat_ where : -cons -grav = - 1- _-f lat_

• cons' • comp = *o or *e (actually * o ) •diffJ 466

Rule 14 and Rule 15 can be reformulated as follows: Rule 16 -cons [-cons] [-diff] if: 1-grav j-f lat. Rule 17

■-cons" “-cons “ -diff [agrav] if: -agrav _-comp_ .-aflat.

Namely, when the medial is nongrave, nonflat (a = +), the following nondiffuse, noncompact vowel can only be *o; and when the medial is grave, flat (namely a = -), it can only be *e.

5,7 Restrictions on the occurrence of glides Since there is no succession of more than one vowel within a syllable in Ancient Chinese, the feature that characterizes glides in contrast to vowels is easily pre­ dicted. The rule is already set up in section 5,3,2.

Except for the Fdn ( ) final only, a medial glide can only be -i- when the ending of the syllable is either

-m or -u (namely a grave, diffuse segment):

Rule 18

C-con=] - [ ; f - ] i £ : _ [ where :

l^+diff^ is either *m ([+cons]) or *u ([-cons]) 467

The only glide that can precede a noncompact, grave vowel is the medial -Ï-;

Rule 19

-cons [-cons] - [ : * ï % ] l f : _ -comp +grav. where: -cons' -comp = either *o or *u L+grav

The only glide that can occur before noncompact, non­ grave vowel is the medial -u-:

Rule 20

-cons [-cons] -*-* [+grav] if:___ -comp _-grav. where:

-cons -comp = -gray. Now, it can easily be noticed that Rules 19 and 20 are dissimilation rules between mediais and main vowels, and it is also obvious that they can be combined into a single rule, using one variable;

Rule 21 ^

agrav-, -cons [-cons] [ -comp aflat-l L-agravj

An interesting point is that in order to set up the above more general rule, one more feature has to be specified in

Rule 20, namely the feature flatness; this exactly reflects 468 the phonetic property of Ancient Chinese *u (though the feature plays no role in phonological distinctions).

It has been one of the controversial topics whether kai-kou finals were distinct from the corresponding hé-kou 44 finals after labial initials. The system of finals in

Ancient Chinese consistently shows that they were not dis­ tinct except for the five pairs of syllables with the Hâi

C'^t2 ) and the Hux ) finals and the two pairs of syllables with the Yàn ) and the F^n ( ^L» ) finals. As concluded in section 2.4.7, the problem is very simple.

If the system deduced from the fan-qie spelling of KMBQ-

III is accepted, it must be definitely recognized that there was distinction. Hov^ver, this does not necessarily mean that this distinction must be recognized in the ab­ stract representation of the phonological system of Ancient

Chinese. If the distinction between the members of each of these seven pairs is considered as exceptional and is specially marked, then the following phonological redun­ dancy rule can predict some features of the medial occur­ ring after labial initials :

Rule 22

[-cons] - [;i-p if: where :

= labial initials '-+grav-' t^+sono^ = main vowel of a syllable r-gravn = the medial -x- L-zlatr 469 5,8 Restrictions on the occurrence of endings

Those segments that can occur as the ending of an

Ancient Chinese syllable are fairly restricted. Virtually they are confined to the following ten segments:

* 1 , *u, *m, >'fn, *p, *t, *c and and they constitute the following classificatory feature tree: grav

diff diff diff diff

grav - -- - - + + + + + cons: - + + - + + + + sono - - + + - - 1- + diff - + - i- - + - -t-

Fig, 11— Characterization of Endings

As already remarked, consonantal endings are restrict­ ed to nasals and the corresponding homorganic stops; and the between nasals and stops is consistent not only in Ancient Chinese but also throughout modern Chinese dialects as well as,in many Sino-Tibetan languages and

Vietnamese, Since the parallelism is so consistent and since the distributional pattern of the nasals and their homorganic stops coincides, these postvocalic stops can be assumed as the tonal variants of their homorganic nasals. 470 46 This analysis can be applied to various dialects. This is exactly what the Chinese traditional phenologists of the pre-modern periods did in compiling rime dictionaries and tables. However, t)ie solution recently received challenge from the viewpoint of simplicity of phonological descrip­ tion, so that it is necessary to clarify the points at issue,

5,8.1 Interpretation of stop endings

If the stop endings are regarded as the tonal variants of the corresponding homorganic nasals, at least one more

feature has to be specified for some of, or all of, the 47 tones (four in all in Ancient Chinese), though it is un­

necessary to specify the feature sonorance which distin­

guishes nasals from the corresponding homorganic stops, A

phonological rule will predict the feature [-sono] of an

ending consonant when the syllable carries a certain tone

(the "entering-tone" in traditional terminology), and the

feature [+sono] when the syllable carries other tones;

•t-cons" +cons +cons +cons *m = +diff *n = +diff *ji = -diff *ij = -diff _+grav. .-gray. .-gray _+gray

Rule 23

[+cons]# [asono] if: [along]

Now, if the four consonantal endings are treated as dis­

tinct from the homorganic nasals in their dictionary form,

one more feature must be specified for each of the nasals

as well as the four stops. 471

+cons Tcons +cons +cons *m = +sono *n = -fsono *ji = +sono *9 = +sono ■fdiff t-diff -diff -diff tgrav -grav -grav +grav

+cons ^cons +cons +cons *p = -sono = -sono Vcc = -sono *k = -sono +diff fdiff -diff -diff +grav -grav -grav +grav

Instead, one tonal feature can be reduced.

It is not easy to judge which of the above two alter­ native solutions is simpler. The first solution requires one more tonal feature, while the second one requires one more feature for the segments involved. If only this point is considered, then the second alternative is simpler, because there are many morphemes without any consonantal ending. On the other hand, every morpheme is specified with respect to tonal features. Therefore, in the first alternative, even if the syllable does not have any con­ sonantal ending, the tone still bears the "additional" feature which distinguishes it from the "entering-tone,"

Although this additional feature is predictable, when the syllable does not have any consonantal ending, still it requires a rule to predict it.

However, an important point is that the first treat­ ment does not necessarily need one more feature to dis­ tinguish all other tones from the "entering-tone," Suppose there are three non-entering-tones and two features suffice to distinguish all of them from each other as illustrated in Figure 12, 472

- - + ^1

- + (-) Xig» l2--Three-Tone Distinctions

Suppose it happened that the feature of the entering- tone could be characterized as then incorporating the entering-tone into the above tree, no additional fea­ ture is required for distinguishing Tl, T2 and T3 from T4.

F,

Tl T2 T3

- - + + ^ 1

- + - ^2 ! Fig, 13— Four-Tone Distinctions

It is also difficult to choose one solution over the other in the case of modern dialects which have the so- called entering-tone. The tonal system of the Moi-yan

(Méi-xikn) dialect of Hakka is described as in Table 60, 473

Table 60

Moi-yan Tones

Tone Traditional Name Description

Tl yin-even middle level

T2 -even low falling

T3 rising-tone high falling

T4 departing-tone high level

T5 yin-entering low short

T6 yang-entering high short

Two features suffice to codify these six tones, if syllables with consonantal ending (nasals and homorganic stops) are distinguished by their segmental feature:

High

FaJJAng^ Falling

Tl T2 T4 T3

High - - + +

Falling - + - +

Fig. l4--Four-Way Distinction of Moi-yan Tones 48 T5 is identified with T2, T6 with T4,

Now, if T5 and T6 are to be distinguished from others by tonal feature, one more feature, probably length, is needed for distinguishing the six tones. In order to be 49 consistent with morphophonemic regularity, the following characterization of tonal contrast, illustrated in Figure 50 15, is necessary. 474

High

Falling Falling

Tl T5 T2

High 1 - - - + +

Falling + - - +

Long (+) - +; - ' +' (+) 1 Fig. 15— Six-Way Distinction of Moi-yan Tones

Consequently, in this solution, T2 and T4 must be marked as [+long]; but when they are carried by a syllable without any consonantal ending, this is needless, A phonological rule predicts the feature when the syllable does not have any consonantal ending;

Rule 24

[ ] [+long] if: L-cons] #

Moreover, Tl and T3 need not be marked [+long], because

the feature is predictable by the following rule:

Rule 25

C ] [• •long] if: ahigh Lafall_

Namely two tonal features suffice to specify those morphemes

with either Tl or T3 in their dictionary form. Then, in

order to compare the simplicity of two alternative solu­

tions under consideration, one must count the number of

morphemes in this dialect with Tl or T3, and the frequency

of the occurrence of these morphemes in colloquial speech. 475 etc, (for the first solution), and the number of morphemes without consonantal ending, the frequency of these mor­ phemes , etc, (for the second solution). In short, there is no definite way of,measuring the simplicity of the two alternative solutions.

The situation in Cantonese is in principle the same.

The "upper entering-tone" (shkng-rb) and the "middle entering-tone" (zhong-rb) can be identified with the yin even-tone (yin-pfng), the "lower entering-tone" (xik-rb) with the "ykng departing-tone" (yang-qb). An alternative solution is to identify the upper entering-tone with the yin even-tone, the middle entering-tone with the yin departing-tone (yin-qb), and the lower entering-tone with the yang departing-tone. In either solution, if the dis­ tinction between the entering-tone and other tones is described in terms of tonal feature, one additional feature must be specified not only for the three entering-tones, but also for the other six tones (at least those non-enter-

ing-tones which are identified with the respective enter-

ing-tones except when the syllables carrying these tones have no [+cons] ending).

It is interesting to see that this kind of situation

is not restricted to modern dialects. The tones of Kan-on,

the proto-system of which is temporarily used in this study to formulate certain phonological rules of Ancient Chinese involving tonal features, show the same type of problem. 476

Again, all of them can be distinguished by two features, if the two entering-tones are identified with some of the other tones, and entering-tone syllables are distinguished from others by segmental feature:

Falling

High High

T4 T2 ^ ^ T l

To T5

Falling - - +

High - -

Fig, 16--Four-Way Distinction of Kan-on Tones

So, if the two entering-tones are distinguished by tonal feature as follows:

Falling

L o ^

High High

Falling - - - - -*■

Long -- {’**} (+) (+) High -- + -

Fig. 17— Six-Way Distinction of Kan-on Tones

It is necessary to specify one additional feature for each tone. Apparently, the additional feature length is redundant for Tl and T2, and occasionally for T3 and T4,

The same can be said with the proto-tonal system 51 reconstructed from the Kan-on system above. 477

Falling high

entering Departing Rising Even

f , \ Long - 1

Falling (-) - -

High (-0 - T Fig. 18— Characterization of Proto-Kan-on Tones

Consequently, if this is the case of Ancient Chinese (though there is no clear evidence that this is true), the second solution is not necessarily simpler than the first.

So we have to conclude that the simplicity of description cannot be the correct measure for the plausibility of the phonological characterization of Chinese tones with respect to the preference for any of the above two alternative solutions. Therefore, the justification for the choice of any one of these two must rely on a different basis.

Actually the present inquiry into the problem of the interpretation of stop endings was evoked by Hattori's proposal that in case there are far less ending consonants than initial consonants in a language, for example, Korean, southern Chinese dialects, Vietnamese, Japanese, etc., different phonemes should be set up for the ending conso­ nants and the corresponding initial consonants, though 52 this is against his "principle of economy." The Viet­ namese example he used in his study may give a hint, though 478 very weak, for the preference of one solution to another in the case of Ancient Chinese. In Vietnamese there is the following defective occurrence of consonants in the initial and the final positions of a syllable; Table 61 Vietnamese Initial and Ending Consonants Initial Ending

b, (m) p, (m)

(p) t

t*

c, (p) c, (p)

k, Cl}) k, (g)

8 If the ending stops are "identified" with the corre­ sponding initial voiceless stops, then it is difficult to explain why nongrave, diffuse stops are dental in the initial position but alveolar in the ending position, and why diffuse, grave stops are voiced in the initial posi­ tion (voiceless labial is restricted to loan words only) but voiceless in the ending position. If the ending stops are to be identified with the corresponding voiced initials, then it is difficult to explain why there is no initial counterpart of the nondiffuse, nongrave ending. 479 The above is presented as the problem of identifica­ tion of the initial and the ending segments. Actually these segments need not be identified in their dictionary

form. In the case of the initial stops, there is a three-

way distinction, whereas in the case of the ending stops,

the distinction is one-way. Therefore in the dictionary

form, these ending stops may be unspecified with respect

to those features which characterize the three-way dis­

tinction of initial stops.

However, the problem involves the generality of the phonological rules specifying the phonetic features of

these stops. With the first solution mentioned earlier, the rule for specifying the phonetic details of diffuse, nongrave stops is more complicated than the rule for

specifying the same phonetic details in the second solu­ tion. For example, in order to specify the given diffuse,

nongrave stop as alveolar, not dental (though this dis­

tinction is not phonological), the first solution needs

the following rule:

Tdif f' "alveolar" if: | -grav Ltintr. "dental" otherwise

or :

“-i-diff ["dental" #[:voic]) -grav .Tintr. / "alveolar" Otherwise whereas the second solution needs the following simpler 480 rule, since the ending stop is interpreted as the tonal variation of the ending nasal in this treatment:

■-i-diff "alveolar" if; ^voic 11 -grav ji-intr. "dental" otherwise or:

+diff] r "dental" if: [3 ^ ^ ] 1 -grav ) f J-intrJ (_ "alveolar" otherwise j The above problem concerns only the simplicity of phonetic feature specification or feature interpretation and has nothing to do with the phonological characteriza­ tion of initials and endings of Vietnamese. Furthermore, it is a problem of phonetic regularity in Vietnamese in particular. However, exactly the same "defective" occur­ rence of dental and alveolar consonants in the initial and the final positions of a syllable is found in the Bon-shio

(Wén-châng) dialect of Chinese, and more or less the same type of occurrence of dental and alveolar is found in the

Seiyap (sl-yl) dialects. Thus, if there is no criterion for the preference of one of the alternative treatments of ending stops to another in Ancient Chinese, the second solution mentioned above is to be preferred.

Another justification for the choice of the treat­ ment of regarding ending stops as the tonal variant of the corresponding nasals consists in the problem of choosing a feature for distinguishing stop endings from the corre­ sponding homorganic nasals in their dictionary form. This 481 will also affect the description of Later changes of these stop endings.

In the case of Ancient Chinese, Karlgren reconstruct­ ed a voiceless unaspirated (voiceless lax) series for the ending stops, leaving the voiced series for the endings of

Archaic "yin-sheng" finals (which were completely lost or replaced by the ending glides -x or -u in Ancient Chinese),

On the other hand, historical evidence from, for example, the Tibetan transcription, suggests the voicing of these stop endings shortly after Ancient Chinese, If this evi­ dence is taken as it is, we have to assume that before these Ancient Chinese stop endings were lost, they changed into voiced stops from Karlgren*s voiceless correspondents.

If this change rule is necessary anyway in the history, there is no reason that it could not exist before the An­ cient system: namely at the time when or shortly after the voiced stop endings were lost, by this rule all the former voiceless stops became voiced,. This is quite all right with Ancient Chinese, which had a set of voiced initials.

However, in such modern dialects as Cantonese or Hakka where the distinction voiced versus voiceless is foreign

to their initial system, we have to assume that the ending

stops which were once voiceless became voiceless again after they became voiced, because according to Karlgren,

the majority of the modern dialects (except the Mfn dia­

lects) spread to all the important centers throughout most 482 53 of the Chinese realm during the T â t i g dynasty. The scheme of the sound change has to be so set up that Ar­ chaic voiceless stops became voiced shortly after Ancient

Chinese, but later became voiceless again in, for example,

Cantonese.

The above problem concerns only with the phonetics of ending stops and thus has nothing to do with the phonologi­ cal characterization of these stops. Nevertheless, all of these difficulties mentioned above in connection with the first alternative solution can be avoided if the ending stops are interpreted as the tonal variants of the homor­ ganic nasals. In this treatment, only six segments occur

in the ending position:

gray

cons cons

diff diff V I

grav +

cons diff (+) Fig, 19— Six-Way Distinction of Ancient Endings and the following phonological rule will specify the re­ dundant classificatory features if necessary:

Rule 26

avoxc [+cons] asono if: anasl [along] -shar 483

5,8.2 Phonological redundancy rules for endings

The redundant classificatory features of ending seg­ ments are predicted by Rules 3 and 26,

Due to the dissimilation between the medial and the ending, when a medial glide is flat, the ending could not be *u or *m.

Rule 27

[-cons] '[:#%%] j-+cons-| — [-diff] L+gravJ if: ]— r+cons-| [-grav] Jr+diffJ where:

t+flat^ ” either *u or * y (*o cannot be followed by

two segments; so although it may also be

flat, it need not be taken into considera­

tion)

= -9

When an ending consonant is a nondiffuse segment, the preceding vowel is restricted. If the former is nongrave, the latter is also nongrave; and if the former is grave, the latter is also grave if it is a noncompact vowel.

Rule 28

r - d i f f - i r-COmp-1 *- + grav^ L+gravJ ——

[+cons] 1 [-grav] if. r-compn ^ -

Cantonese and those Hakka dialects for which two sets of velar initials can be established, the distinction between those initials which correspond to dental sibilants of other Chinese dialects and those which correspond to pala­ tal sibilants of other Chinese dialects is not phonologi- 54 cal. Consequently, the "plain" velar initials can be characterized as nondiffuse, nongrave and the "labialized" ones as nondiffuse, grave. In these dialects under con­ sideration, the latter set corresponds to the combination of the Ancient Chinese grave, nondiffuse initial and the grave medial.

Now, those finals circled in Table 62 occur exclusive­ ly after a grave, nondiffuse initial. 487 Table 62 Finals Preceded by Velars/Gutturals

The Outer Series

• V/ V Div. I I ua uax % üan Div. II üan ^ ) u a j a

Div. Ill V & Single (0 )ya III/IV

Paired III/IV

Div. IV @ ü e ï )üen ( J ) ü e p .(g

The Inner Series

Div. I üaï üan

Div. II (JE)"!: ^ U £ ï l L) ü e n Div. III & Single ( $ [ ) ÿ a n ( ^ y s D III/IV

Paired ys !•]. y e n III/IV -/N

As already mentioned, in case the initial of a sylla­ ble is diffuse and grave,there is usually no contrast of 55 kai-kou versus hé-k6 u in the finals following it. Since

Karlgren considered palatalization and simultaneous labial­ ization of the initials as the condition for the labio- dentalization of initials, it was found convenient to hypothesize those syllables whose labial initials under­ went labiodentalization as having he-k&u finals, and those 488 whose labial initials did not as having kai-kou finals.

In the present treatment, since the condition for labio­ dentalization of initial consonants is quite differently formulated, this hypothesis need not be followed. Conse­ quently, those finals listed above with diffuse, grave initial are regarded as kai-kou finals. This solution makes it possible for us to set up a phonological redun­ dancy rule far more general than Karlgren*s. Further­ more, it is strongly supported by another quite independ- 56 ent motivation.

Judging from the distributional pattern of finals in rime tables in general, it is very easy to see that al­ though the five finals listed below co-occur with initials other than grave, nondiffuse ones, these occurrences are very sporadic and should be treated as exceptional cases:

1 ) H â (yff) Oil 5

2 ) Guai ( K ) 0 1

3) Jie ( C 1

4) Shan (Hi ) c 8 5) Shan (lLi ) c 3

The numerals denote the number of homophonie groups with initials other than grave, nondiffuse ones. If these cases are excluded from consideration, the following general rule can be set up for the prediction of the features which dis­ tinguish velars and gutturals from other consonants. 489 Rule 29 f[+flat][ ][-dlff]

[+cons] — [-iiff] if:___ , where:

[+flat] = -Ü- or -ÿ-

[-diffJ = -g or - p

[JfJ|^J[-sravJ = *ua, *ue or *ue

[:;! j^|^][+SravJ = *ya or *ya

5,9,2 Co-occurrence of grave initials and finals

Another conspicuous regularity is found between grave

initials and the following finals. In tabulating the hé-

k 8 u finals in the preceding section, those with diffuse,

grave initials are regarded as kai-kou finals. By so doing,

it is found out that the kai-k&u variant of all the Divi­

sion III Finals can occur only after grave initials (la­

bials, velars and gutturals), as circled in Table 63, 490

Table 63

Finals Preceded by Labials/Velars/Gutturals

The Outer Series ■ " ;

Div. I t r ^ a a X % an

Div. II /i|. a -/?!'] an ai} f j l ^ p Div.Ill & Single ( ^ l a n z a z } III/IV Paired ^ ï a m ^J.| Ian ( g ) V III/IV

Div. IV »2 f-aï

The Inner Series ^3 Div. I V am 1 '/k 3 n Div. II ti- £ >-i £i ^ Em lU En

Div. Ill 6c Single (0 )lan III/IV

Paired ^ Ï £ fis isï \^) leu xem È Isn lS9 III/IV

Hence the following rule:

Rule 30

[ ] —* [tgrav] if:____ [-flat][+grav][+diff]

It will easily be noticed that the above rule is

actually a more strictly formulated version of Rule 7.

In the discussion of Rule 7, the different distributional

pattern before the kai-kou counterpart and the hé-kou counterpart was not taken into account. Although the 491

Gêng (/-^ ) O U I shows the same pattern of occurrence as those under consideration, it is to be excluded as excep­ tion. For, if it is taken into consideration, the con­ straint of Rule 30 will become the same as that of Rule 7:

r[-grav][+diff]l if: — j

The exceptional behavior of the Gêng ) GUI final as a

Division III Final has already been pointed out earlier.

The resemblance of the pattern of occurrence has been re­ garded as merely accidental. Although there is a very doubtful exception *t*an^ ('^ ) (the hë-kÜu counterpart of the Hen final does not occur after *t'), the Hén

) final also shows the same distributional pattern, if those preceded by diffuse, grave initials are regarded as belonging to this final, not the Hun (3\%) final. This

is also to be regarded as accidental coincidence.

5,9.3 Some minor restrictions

There are some other minor restrictions on the co­ occurrence of certain initials and finals.

Retroflex sibilants do not occur before the follow­ ing finals;

Xiao ('r4 ) : *xau

Y^n ( : *iam

Geng (/fv) 01II : *xaji

Qxng 0 ; *xep 492 Zhông : *lor}

Hence the feature [+shar] of these initials need not be specified in the dictionary form before the above listed finals :

Rule 31

[+#%i] [+shar] if; [-grav][-grav]gdiff] where :

the first [-grav] of the constraint = medial -i- (the

feature [-flat] of this medial need not be specified

because no hé-kou variants of the five finals listed

above occur after nongrave initials)

the second [-grav] = *a or * 2 (no further specifica­

tion is required, because *e cannot occur after the

medial -i-)

Clgriv] =

If the ZhOng ) final is included in the rule, the

following features have to be added in the constraint:

if: [-grav][+grav][2 gfff]

Consequently, the whole constraint should be:

Labial initials do not occur before the following

finals:

Yu : * y 493

Xiao ( %;,'; ) : *eü

Xian i t i f ) : *am and if the isolated occurrence of only one homophonie

group is excluded, the TiSn final *em can be included here. Hence the following rule (see also Rule 9);

Rule 32

r+cons-j [-diff] if:. graV L +gravJ +diff comp [+gravJ Ediff. where:

C-iïlv] = -Ï- or -ÿ- or

C+grSv] = *0 or *3 (although the first constraint can cover combination

of segments like *ia, and * y d ^ all of them actual­

ly occur only after velars, or do not occur in this

environment)

-comp -grav L-diffJ

Cîgrlv] = -m 1.1''■ If the Xiân (vî] ) final is included, the following con­

straint is needed: ( r +dif f-i f r +compi \ L - g-ravJgrav- ^ L +grav-+5ïira.V-^ -grav r+diff -comp 1 if: < L+gravJ ,-diffJ -diff +cons +comp +diff L-gravj L+gravJ 494

Finally, we find a very interesting fact concerning the survival of some loan forms in Ancient Chinese, Gë

OIII and Gi ( 0 ^ ) G U I and K â ( J 0 ' ) III occur in complementary distribution. The former two occur only after grave, nondiffuse initials, and the latter after non­ grave, diffuse (strident) initials. Hence the following rule:

Rule 33

-cons +sono [+cons] [agrav] if: [-Kravl agrav +comp +tens where:

[-grav] = - 1 - or -ÿ-

-cons +sono +grav a +comp +tens

-cons +sono -grav = *e (the specification of [-cons] and +comp +tensj [+sono] is necessary, otherwise the

constraint will cover finals like

*ag, *Eg, etc,)

However, the above rule is not satisfactory, because only dental and palatal sibilants occur before the Mâ > 1. Ill final and so some more features are predictable in the following way. 495 Rule 34

-cons [+cons] — [+|5 riJ [-grav] +sono # +comp +tens

Now, morphemes with the Ge ( A. ) OIII and the Ge ) G U I finals occur in a very restricted way (namely only with the even-tone), and they clearly show that they are not genuine Chinese morphemes. They include: the name of

Buddha ), onomatopæic word ( ), a loan word proba- ^ \ J" bly from some Altaic language ( ) , etc. Apparently, they can be excluded as exceptions. The borrowing of these morphemes is very interesting: the occurrence of these morphemes filled some accidental gaps in the Ancient

Chinese phonological system (there was no genuine Chinese word with the two finals in question), and consequently did not bring about drastic reformulation of the phono­ logical redundancy rules of Ancient Chinese. Nevertheless, if they are excluded from consideration, the rule can be simplified. There might have been many more loan words in

Ancient Chinese from the languages spoken around Ancient

China. Among them, only those mentioned here could sur­ vive. This could not be accidental; and a reasonable condition for their survival has already been discussed above. 496

5,9,4 Regularities of the co­ occurrence of tones and finals or segments

Except for a few cases, three tones, the even-tone, the rising-tone and the entering-tone, do not co-occur with the following eight finals:

Thi (f'^) 0 . *ax

Tài ( & ) C *uax

Guai ( ) 0 *ax

Guai ( ) C *uax

F&i ( A & ) 0 *xax

F&a (/Kl) C *yax

j \ C^iT) 0 *xax

ji G *yax

This systematic gap can be uniquely conditioned in terms of the features that characterize these eight finals:

Rule 35

+ long' -cons [ ] -fall -sono # Lrhigh L-gravj

Part of the motivation for reconstructing the main

vowel of the Jia (f^) rime as *s, instead of Karlgren's

’'a, and treating the rime as belonging not to the -x end­

ing group but to the zero ending group (namely instead

of Karlgren*s *ai) consists in the simplicity of Rule 35,

If Karlgren's reconstruction is followed, only *ax and

ï^iiax constitute exception, and the rule has to be reformu­

lated as follows -- 497

+long” f “+comp“ [ ] - -fall if: +tens --high. _+grav_ "icons' { ~+comp” -sono r-COns -1 L-grav-* +tens _-grav_ _-g:av 58 for which we need six more features.

The following five finals, all of which are hé-kou finals, never occur in syllables with the rising-tone:

QI ( C *üeï

Jie ) C *usi

Shin (, i U ) C *usn

Gêng ( ) C *uEj%

Dong ( vC) III *iug

Hence the following rule;

Rule 36

'r-grav-I L-tensJ [-fall] - [-high] if: [-agrav]

It is rather accidental that the hé-kou counterpart of the Ding— - 7 ' ^ ) 0 final occurs with only the even-tone y if and the entering-tone; and that of the Zheng ( ) 0 final occurs only with the entering-tone:

Rule 37

[+long] [+grav] +comp [+fall] +cons if: [ ] +grav r-grav-, [+grav ] [ ]_ [-long] L+flatJ IftensJ

A very consistent restriction on the co-occurrence of tones and segments can be found in the following case. 498

When the ending segment of a syllable is nonconsonantal, the syllable can never carry nonlong tone. In other words, the tonal feature length is predictable in case the ending segment is nonconsonantal:

Rule 38

[ ] [+long] if: L-cons] # CHAPTER VI

CHANGES OF THE PHONOLOGICAL SYSTEM FROM ANCIENT

CHINESE THROUGH MODERN MANDARIN

This chapter will be devoted to the discussion of how the phonological system of Ancient Chinese reconstructed in Chapter IV and formalized in terms of phonological re­ dundancy rules and further simplified in Chapter V, changed into the system found in the variants of Chinese transcribed by Tibetan and hP'ags-pa scripts, romanized by Trigault, and modern Mandarin.

6,1 Motivation for the discussion

The purpose of our discussion in this chapter is two­ fold. One is to give a general description of the phono­ logical change of the Chinese language from the Ancient period through modern Mandarin. In the description, the following procedure is followed. First we set up the simplest set of historical change rules which show the general process of sound change in the simplest way. Next, we check what this set of rules describes with the actual events of change reflected in the three historical mate­ rials mentioned above and in Mandarin. Following this procedure of study, we hope to shed some light on the

499 500 general principle of sound change of natural languages, and to give certain insights into the phonological changes of Chinese in particular.

When we observe a certain change of the phonological system of a natural language, it often happens that given necessary and sufficient information on the detail of the process of the change, the rule for the change can often be so set up that it involves the switching of only one feature at a time. To illustrate this, suppose there is a phonological change rule of the following form;

Rule i

r-Fii if: A.___ -+F2_ --F2- where the switching of the value of two features is in­ volved. The rule may be considered to be a simplification 1 or "abbreviation" of the following two phonological rules:

Rule i'

a) [i-Fj] - [-Fi] if: A

b) [i-F^ - [-f J if: A

It is difficult to decide which of the two alterna­

tive ways of description given above is better: Rule i or

Rule i*. Simplicity, or rather, "the number of features

specified in these rules," is entirely spurious in this

case, because Rule i' is the simplest formulation of what

exactly happened in the phonological system of the Ian- 501 guage and Rule 1 is the "abbreviation" of Rule i', though two more features have to be specified in Rule i'.

It is very likely that we could further assume: if a rule involves the switching of more than one feature, it means that we are not given further information on the detail of the change, or we have failed to analyse the change into a succession of the simplest possible pro- 2 cesses.

The above is by no means any attested thesis, and there will be no attempt to prove it in this study. It is presented here rather as a possible perspective which may eventually shed some light on the understanding of the change of the phonological system of natural languages.

In this section, the change of the Ancient Chinese phono­ logical system into modern Mandarin will be discussed with respect to the above thesis, and the implications of the discussion will be shown.

Another purpose of our discussion in this chapter is to check, through the study of sound changes, if the pre­ sented reconstruction of the phonological system of An­ cient Chinese is satisfactory or unsatisfactory as the ancestor of the later variants, or rather as the starting point of the process of later changes. The reconstruction in this case should be evaluated from the following points of view.

Firstly, whether the reconstruction organizes various 502 relevant information directly or indirectly concerning An­ cient Chinese phonological as well as phonetic characteris­ tics into a simple system and characterizes the Ancient system in a way which makes possible the simplest descrip­

tion of later changes. For example, although various con­ comitant phonetic attributes as well as phonological characteristics were pointed out concerning the distinc­ tion between the "outer" and the "inner" series of finals,

the simplest characterization of this distinction in An­ cient Chinese is to regard the distinction as due to the distinctive feature tense versus lax of the main vowel of a syllable. This characterization of phonological distinc­

tion justifies our considering various phonetic attributes

in different dialects and later descendants of the Chinese

language to be the reasonable concomitant phonetic corre­

lates of the distinction.

Secondly, but more importantly, whether the recon­

struction characterizes the phonological system of Ancient

Chinese in a way which makes possible the simplest descrip­

tion of later changes. For example, from various histori- 3 cal evidence and documents, two distinct Ancient initials,

the Shén-mÜ *d3 and the Chin-mu *3, undoubtedly became

nondistinct in some dialectal variants of the Chinese lan­

guage around the time of Ancient Chinese, However, this

does not necessarily lead to the conclusion that in Ancient

Chinese these two were not distinct, or that the Shen-mu 503 was fricative and the Chân-mu was affricate (instead of the present reconstruction of affricate for the Shén-mu 4 and fricative for the Ch^n-mu). The first alternative solution is against the premise of the present study, which accepts the system of sound classes established through the study of the fan-qie spelling as representing the phonologically distinct sounds in Ancient Chinese, Con­ sequently, unless crucial defects are found with the fan- qi^ spelling system, some dialectal evidence is not suffi­ cient to negate the distinction of sound classes obtained through the fan-qi^ system. Concerning the second alter­ native solution, it does not make possible the simplest account of the process of later changes. If the tran­ scription of Sanskrit sounds is taken seriously, it may not be impossible to assume that there had been some dia­ lect where the Ancient Shén-mu corresponds to fricative and Chan-mu to affricate. However, this is all that can be explained by the assumption. It is true that in Man­ darin mostly fricatives are found as the descendant of the Ancient Shén-mü. This is compatible with the assump­ tion under consideration. However, the assumption cannot explain why on the other hand, fricatives (together with affricates) are found consistently as the descendant of 5 the Ancient Chan-mu. Consequently, the assumption under consideration does not give any hint for the overall sim- 504 plicity of uhe description of the process of change of the two initials in question.

Since systematic evidence on the change of tones in

Chinese is lacking, and since therefore our study can hardly be extended further than the change of tone classes, the change of tones will not be discussed in this chapter.

Unless systematic evidence can be found in some historical documents, the study of tonal changes is not likely to be advanced. Findings of this sort can scarcely be expected either, because as already mentioned in section 4,3,4,1, it was not until after they have accepted modern phonetic method that Chinese linguists noticed the acoustic nature of tones in their language,

6,2 Changes of the initial system

As usual, the traditional dichotomy of the syllable constituents of Chinese is followed; and the changes of the initial system and those of the final system from

Ancient Chinese through modem Mandarin will be separate­

ly discussed,

6,2,1 Informal discussion on change rules

In this section, the changes of initials will be

formulated in the simplest way, without taking into con­

sideration any of the information from various historical documents on the chronological order of the changes, inter­ 505 pretation or descriptions by traditional phonologists, etc.

In the next section, the results will be checked with the three transcriptions as well as with all other possible information on what actually happened in the process of the history of the change under consideration, and the implication of the "simplest formulation" of sound change rules will be studied.

The following are some of the most conspicuous changes of the initial system from Ancient Chinese through modern Mandarin:

1 ) the loss of the contrast voiced versus voiceless of nonsonorant consonants in connection with the bifurca­ tion of the Ancient four tones; hereafter this change will be referred to as "surdization" (following Karlgren's terminology);

2 ) the split of bilabials into the same bilabials and

labiodentals; this change will be referred to as "labio- dentalization";

3) the loss of the contrast sharp versus nonsharp of

labials and velar-gutturals (the loss of the contrast of the so-called chdng-niu pairs), and also the loss of the contrast between retroflexes and palatals (in other words, the loss of the contrast between chx-shang-yxn and zheng- chx-yxn); the former change will be referred to as "the

loss of ch6 ng-niu distinction or the loss of the contrast 506 sharp versus nonsharp of grave segments," the latter as

"retroflexion";

4) the neutralization of the contrast dental sibilants versus velars (in traditional terms, the loss of the dis­ tinction between jian-yin versus tuan-yin); this may be referred to simply as "palatalization" (of dental sibilants and velars).

The simplest process of these changes of the initial system is reconstructed as illustrated by Figure 20, How­ ever, it should be clearly kept in mind that Figure 20 is nothing but an illustration for convenience, and the alpha­ betic notation should never be taken as more than what is specified in the respective rules. For example, the labio- dentalization of certain bilabial initials of Ancient

Chinese must be given, in alphabetic notation, as follows; p _ _ f

However, in the present treatment, the second stage of the above change is by no means a combination of two segments; the above simply stands for the following process of change of features of one segment:

r+i n t r -1 _ r+intr-i _ r-intri L-striJ L+striJ L+striJ Moreover, each step is actually a rewriting of the value of a single feature: nonstrident goes to strident in the first

Step, and interrupted goes to noninterrupted in the second step. The distinctive feature system not only gives a

Simpler description of the historical facts, but also a 507 deeper insight into the mechanism of the change. The pro­ cess described by the above formulation is merely the

change of single features. Fig. 20--Changes of Initials

508 509

Rule (1 ) (2) (3) (5) (6 ) (7) (8 ) p — p p -— p P

?j - pj' pf — f f / b — .b / bj - % < : 'bl • p* - P» -- p' — p ' P' p1 ' -- p'j* " p f m ------T- m - - - m -■ m mj - " m v --- V (u) r - (:)

4. -

(^) r'...... *^r’ - ' (;') ...... p ...... a V ' ^ ^ ...... -- tg t g ------

\ ^ ------: ? --- 1----dki'

/h : I tg* •T1 — tg* -^tg* - tg' ts •

I 4 ' I I I " ! e ------I j - " 1 1 I ■ > V .il'-

.il" 510

Rule ( 9 ) ( 1 ) (2) (3) (5) (6 ) (7) (8 ) (10)(I1)(I2)

t ' C .d'- d ' dL t' n ' n

k - k --- k

• ■ S S "g'■g' I gj • I ^gj ' ^ ^ I k ‘ . k* -- k' .1 . iTj' kj'

9

ts ' ts t s ,dz- dz ■ "TK ■-dz ' ts ' ts t s '

s - s

Z * “ ■

2 —

2 j'

X -• 1 ---' ^

Y - I (0) .ÿ. 0 511

A few comments on the conventions of Figure 20 may be necessary before we begin the discussion.

1) The solid vertical line (Rule 1) indicates an alternative change which took place in some dialects. In other dialects (such as those reflected in the Tibetan transcriptions, Sino-Vietnamese, etc., as will be discussed in section 6.2.3) the change represented by a dotted verti­ cal line (Rule 2) took place instead.

2) The series did not, as mentioned be­ fore, contrast phono logically with respective­ ly, However, phonetically, very probably there existed two series of palatal stops, sharp versus nonsharp, the former occurring only in the third Division, the latter in the second Division. Therefore the sharp series is given in brackets, just in order to show that they too could not be exceptions of the rule.

Now, in constructing the process of change of these

initials, we first notice that some of the changes need not be ordered with respect to other changes, but others must definitely be ordered. The rule for surdization con­

stitutes a conspicuous point in the sense that some of the rules should precede it and others follow it. There are

three rules which are ordered arbitrarily with respect to

each other but which should be so ordered that they apply

before the surdization rule:

1) The coalescence of voiced fricatives with the 512 respective affricates ("affrication of fricatives"):

z dz

3 - dS or the coalescence of voiced palatal (both sharp and non­ sharp) affricates with the respective fricatives ("spi- rantization of palatals"):

d3 - 3

The problem of the ordering of these rules with respect to the surdization rule was already discussed in section 4.2.4. .

2) The bifurcation of tones conditioned by the feature voicing of the initial consonant of the syllable carrying the tone.

3) The split of voiced stop or affricate (interrupted) initials into tense and lax variants according to whether tHey occurred in a syllable with even-tone or oblique tone.

By this rule, nothing is implied about the well-known issue of the aspiration of voiced stops and affricates of

Ancient Chinese, As mentioned in section 4.2.3, the pro­ blem whether the voiced initials were phonetically aspi­ rated is quite marginal and lacks theoretical interest.

Since the dictionary presentation of morphemes is to be given in the simplest way and since all redundant informa­ tion is to be excluded from the presentation, phonetic 513

features need not be specified for the dictionary repre­

sentation of morphemes.

Now, returning to the problem of the ordering of the changes with respect to surdization, there is another rule, which could be ordered arbitrarily with respect to

the surdization as well as those three rules mentioned above. This is the loss of the contrast sharp versus non­

sharp. It is interesting to notice the fact that this rule could be ordered arbitrarily correlates with the fact that we find on the one hand a dialect as the one reflected in the Tibetan transcription where the distinction sharp ver­ sus nonsharp is lost but the Ancient distinction voiced versus voiceless has just begun to lose contrast; while on the other hand we find the dialect borrowed by Vietnamese as "Sino-Vietnamese" where the distinction voiced versus voiceless was lost but the distinction sharp versus non- 6 sharp is in general preserved. The arbitrariness of the ordering in question is thus reflected in these variants of Ancient Chinese,

After surdization, the following changes occurred:

labiodentalization, affrication, the coalescence of jiSn- yln and tuân-yîn, and other minor changes such as the appearance of a voiced retroflex fricative, the loss of the velar nasal, the loss of the voiced labiodental frica­ tive, etc. Although they are usually listed as mutually independent changes, upon close observation, many similar 514 processes (acoustically speaking) are going on under these divergent labels.

First of all, if it is assumed that any sound change can be reduced to the switching of single features at a

time, given enough detail of the change (see section 6 ,1 ),

the so-called labiodentalization and the appearance of a voiced retroflex fricative can be analysed as follows;

p “*f = p — ^f-*f

J i - 2^ = p ( - I^) - - 2^

These changes involve --

1 ) rewriting of the value of the feature stridency

from minus into plus;

2 ) rewriting the value of the feature interruptedness

from plus into minus (in the case of the appearance of

the voiced retroflex fricative, elimination of the feature

nasality in addition). Actually the first process is

exactly what is termed affrication for the coalescence of

shé-shàng-yin and zh&ng-chi-yin in its broader sense

(namely, chi-shàng-yîn and zhèng-chi-yïn):

r " r' - tg' where the feature [-stri] is rewritten as [+stri]. The

second process is exactly what is termed the loss of the

velar nasal where [+intr] is rewritten as [-intr].

The loss of the contrast jiân-yîn versus tuân-yîn is 515

fundamentally a problem of neutralization of certain distinctive features within certain environments.

6,2,2 The simplest formulation of the change rules

The above is nothing but a rough sketch of the changes

in words. Let us now formulate these changes into a set

of phonological change rules with strict specification of

constraints and ordering, 7 1) Affrication of fricatives:

Rule 1

Tcons +voic [ ] - [+intr] if: -sono -grav +stri

By this rule, there occurred the following change:

z "* dz

dzL 3 d3

As mentioned before, this change took place only in the

dialect(s) constituting one of the two layers of the an­

cestor of Mandarin, In the dialect constituting the other

layer of Mandarin, the following change took place:

Rule 2

+cons +voic [ J [-intr] if: -sono -grav -diff +s tri 516

By the above rule, there occurred the following change;

- 2^

d3 - 3

The scope of the rule is not exactly the same as that which took place in the other layer. Consequently, an additional feature has to be specified in the constraint of the rule, namely the feature nondiffuseness.

As mentioned in section 5,5, it seems doubtful that there was a voiced retroflex fricative in Ancient Chinese

— an initial in the second Division which is parallel to both Chan-mu and Xié-mü, because of the scarcity of actual morphemes which carry the initial, and because of the irregularities shown by these very scarce examples:

sl (or qx)

The morpheme represented by the second character is appar­ ently "dead" in modern Mandarin, However, if the above rules and hypothesis of two different layers are accepted,

the first example cannot be an exception but clearly shows

the existence of the voiced retroflex initial under con­

sideration in Ancient Chinese. As for the fact that the

Mandarin correspondent is the dental sibilant (not the retroflex sibilant), it should be remembered that one of

the conspicuous differences between Mandarin and the dia­

lect reflected in ZYYY is the occurrence of some dental 517 sibilants in Mandarin which correspond to the Ancient chi- 8 shàng-yîn group,

2) Bifurcation of voiced stops and affricates con­ ditioned by the tone of the syllable carrying the initial. Rule 3

+cons tvoic -sono [-tens] otherwise +intr

By this rule, all the voiced stops and affricates of An­ cient Chinese are specified either as plus or minus with respect to the feature tenseness. Thus the rule may not exactly be a change rule; it could be a phonetic specifica­ tion rule:

b' if: [tfall]___

b otherwise

b l ’ if: [+fall]___ bj - bl otherwise

d' if: [+fall]___

d otherwise

4,' if: r-rfalll 4, 4. otherwise

4,' if: [tfall]___ otherwise

dz^' if: [tfall]___ - otherwise

d3' if: r +falll dS d3 otherwise 518 g' if; [+fall]___ g g otherwise

SJ' if: C+falI]___ SJ SJ otherwise dz' if: [+fall] dz •* dz otherwise

3) Bifurcation of tones conditioned by the voicing of

the initial consonant in the same syllable.

Rule 4

[ ] -* [-high] if: [+voic] After specifying the redundant feature of the tones, the rule applies and yields the yin-ydng bifurcation of An­

cient tones.

, r + fall -, even-tone ^L(+high)J - )

|- + fall-| yïn-even r+fall L+highJ L+high ] r+fall-, yâng-even L-high-l

yîn-rising r —f all-] r-falli L+hi+high J rising-tone , . . r-fall-, L+highJ yang.rising C.highJ

r-fall_ r-fall-, departing-tone; [.highJ L-highJ entering-tone ; [(+high)]

f yîn-entering [+high] [+high] I yang-entering[-high]

Since the departing-tone is specified as nonhigh, the rule does not affect it, and consequently it merges with the yang rising-tone. 519

The uninterrupted, nonstrident velars became redundant after the bifurcation of tones took place. In the present treatment, this means that any feature of the segment need not be specified any more. Consequently, the change appears as an elimination rule of the initials; Rule 5 +cons +grav -diff 0 -intr -stri

Constraint of the rule need not be specified.

As reflected in Trigault's romanization already, the descendants of Ancient uninterrupted, nonstrident velar initials in many m o d e m Northwestern Mandarin dialects appear as velar nasal. Apparently this change is due to analogy. Thus, we may assume that a change involving the switching of more than one feature at a time (even if the detail of the change is given), may be considered as an unusual change due to analogy, etc. 4) Surdization

Rule 6

[ ] - [-voie] if: +cons .-sono. By this rule, the following pairs of initial consonants merge: 520

tg

dzL

X d3

tg’

d2 ^'

The order of this rule with respect to the rules following it is crucial, because this rule should not apply to [vj 521 which is the product of labiodentalization and [z^] which is the ancestor of the modern retroflex "r," Anyway, as a result of the application of the above rule, the Chinese language, except for the modern Wta and Xiang dialects, lost the contrast voiced versus voiceless of initial consonants, which was once one of the most wide-spread distinctions. 5) Loss of ch5ng-niu pairs and retroflexion. Initials which were contrastive with respect to the feature sharp­ ness became complementary; in certain environments all of them became [+shar] as the result of a sound change, while in other environments all became [-shar]. The result of this sound change is a redundancy rule, by means of which the feature sharpness is predicted. Consequently, the description of this change should be just an addition of a redundancy rule which predicts the feature sharpness of any segment concerned. However, for convenience of reference, the change rule is listed here:

Rule 7

[a shar] - 0 by means of which all the specification of the feature in 9 the dictionary entry is erased.

As already mentioned, the loss of the contrast sharp versus nonsharp can be ordered arbitrarily with respect to the other change rules. Figure 21 given below is made with the assumption that the loss of this contrast took place earlier than any other change; whereas Figure 20 522 is organized with the assumption that these changes under consideration took place in the order of the present des­ cription. Figure 20 may represent the change which took place between Ancient Chinese and the Chinese dialect re­ flected in the hP’ags-pa transcription; while Figure 21 reflects some aspects of change which took place between

Ancient Chinese and the Chinese dialects transcribed by the Tibetan script. Fig, 2L--Alternative Change of Initials

523 524

Rule (3) (10) (7) (1) (2) (6) (5) (8) (9 ) (11) (12)

P p

PJ' pf — f f A b -

bl- I

?' ■ P' P* pi - p' I p1 *' F f - f m -■ m m ------m i mj- ?ffv - - V • (u) r — I \ I \ I \ H \

I '\ ( ^ - I r' r: p n,' t l ;^tg

A. — " ” 7 r I i d3 - I I I t s * --- .a. I i . 4 ' tj .

g ----- g I I I I 525 Rule (3) (10) (7) (1) (2) (6 ) (5) (8 ) ( 9 ) (11) (12)

t ' f I ^ j I

h n -- n

1 1 k k ■ k A I I 0 " I I .J g g I I SJ" i I k' . k* k* k* kj*'

9 ts . ts ts i dz <

ts* à * " 1- ts* I s — s -• .J. s z -•

? — fj"

X — X X A Xj"

Y — 0 .. 0 526

Although Figure 21 contains less alphabetic symbols than Figure 20, comparison in this case is meaningless, for what is compared is not two different descriptions of the same fact, but of two different facts (processes of change). The simplicity criterion applies only if there are more than one description of the same fact,

5) Affrication, and the first half of labiodentaliza­ tion as well as the appearance of the voiced retroflex fricative:

Rule 8

+cons # -grav -diff [ ] ■* [+stri] if:. { r— — 1 "-cons' +grav [-grav] +sono _+dif f_ _+grav_

By its first constraint the rule covers the following changes : r - r’ - ^0* n, % No additional constraint is necessary for incorporating the appearance of the voiced retroflex fricative into the above change.

The second constraint of the rule covers the change of some bilabials into affricates (and later, into frica­ tives) as follows:

p - pf 527

p ' - '

m -* mv

7) Loss of the feature interruptedness and of sonor-

ance in only strident nasals and labials generated by the preceding rule:

Rule 9

+diff +grav +stri [ ] - [-intr] if : i +cons -diff -grav +sono

By the first constraint, the rule describes the following changes :

pf - f

pf* f

mV — (m)v

By the second constraint, the following change takes place:

- ( a H The nasal segment in brackets indicates an intermediate

stage of the loss of this segment (see the next rule).

As already mentioned, the two voiced fricatives generated

by the preceding rule are not influenced by the surdiza­

tion mle; and consequently they remain as voiced non­

sonorant initials in many of the modern northern Mandarin dialects, including Mandarin where there is only one voiced 528

nonsonorant initial [zj, since [v] has already merged with

-u- in the dialect.

8 ) The loss of nasals

Rule 10

[ ] - [-sono] if:

By this rule the following changes take place:

(m)v V (ss Ü)

9) The loss of velar nasal is also involved with the problem of two different layers for the ancestor of Man­ darin. In one of them, the nasal was completely lost:

Rule 12

+cons +voic +sono -* 0 if: +grav -diff so that nowadays there is no trace of the former nasal initial in —

y£ — ZhI ( ~ ) rime, even-tone

gg yi — Q£ ) rime, departing-tone

ÎC6 . y£ng — Geng ) III rime, even-tone

yang — Y^ng ) rime, rising-tone

However, it is apparent that in the other layer, the

former velar nasal initial is preserved as a dental (or phonetically, palatal) nasal. Thus we have a nasal ini­ tial for all of the following:

n£ -- ZhI ( "^ ) rime, rising-tone 529

1%, n£ -- q£ (^f ) rime, even-tone

ï î c _ -- Geng (/^ ) III rime, entering-tone

nü& -- Ying ( j^-,% ) rime, entering-tone

It is obvious that this layer contains the following rule, which should precede the above rule, and which consequent­ ly protects those nasals from the application of Rule 12, changing the former velar nasal before certain vowels

(diffuse) into a diffuse nasal:

Rule 11

+cons [ ] -* [-grav] if : +sono [+diff] -diff

By this rule, some of the formerly velar nasals became dental (phonetically palatal). After this, the preceding rule applies. Therefore, the difference of the two layers under consideration is the absence of Rule 11 in the former, and the presence of it (which is ordered as stated above) in the latter layer.

It should be noticed that the nonvelar nasal initial mentioned above is found in some basic vocabulary items such as: nid 'cow,* n£ng 'to solidify,' etc. Also many

Mandarin speakers have two readings for such characters as: ni/yi

ni/y£ 530 6,2,3 Tibetan transcription

In this section, we shall examine how the dialects reflected in the Tibetan transcriptions can be character­ ized as one stage of the phonological change abstractly assumed in the preceding section.

In short, the dialects under consideration represent the stage around Rule 8 or at the very beginning of Rule

9, This does not mean that all the details of the phono­ logical system of the initials of these dialects can be described in terms of Rules 1 through 8 or 9; rather it means that the primary shape of the phonological system can be characterized by these change rules, excluding some details which suggest departure from the main stream of change from Ancient Chinese to modern Mandarin,

Rules 1-2: In the initial system reflected in the

Tibetan transcriptions, it is very conspicuous that the changes covered by Rule 1 or Rule 2 are homogeneous, name­ ly, Rule 2 applies exclusively. Since the same change did not apply to those initials from Ancient or the change took place definitely before Rule 8 ,

Rule 3: Only in T, can this change be observed sys­ tematically; others have not yet completely undergone this rule.

Rule 6 : Apparently, both K and O or OA have not yet undergone this change. Only the very beginning of this change is observable in G and T, The situation is of 531 paramount interest. In both C and T, voiceless nonaspi­ rates (voiceless, nontense) are transcribed by the Tibetan characters for Tibetan voiceless consonants when the sylla­ ble with the initial carries the even-tone or the entering- tone, whereas they are transcribed by the Tibetan charac­ ters for Tibetan voiced consonants when the syllable carries other tones. Very possibly, this usage of Tibetan characters suggests that the distinction voiced versus voiceless was rather taken as tonal difference -- probably the difference of register-contour. Maybe the register for both the even-tone and the entering-tone in the dia­ lects was high, and that for the others was low. If this is the case, the relationship of tonal distinction in these dialects was something like the present-day Wu dialects, where the yln-y^ng distinction (high tone versus low tone, in general) and the voiced versus voiceless distinction are complementary -- syllables with voiced initials carry low tone, whereas syllables with voiceless initials carry high tone. Thus as assumed in the preceding section, the loss of the distinction voiced versus voice­ less was initiated by the yîn-yâng split of tones.

What is of further interest with respect to the loss of the contrast under consideration is that the change first took place with fricatives. If the same change later spread to stops and affricates, this shows that Rule 6 532

should be divided into two parts, first with the restric­

tion;

+cons if: -sono -intr +stri and that later this constraint was generalized (namely with

fewer feature specifications) as follows:

if: +cons -sono:] This seems to suggest that sound change, in terms of a formalized description, means not only the addition of phonological rules, but also the increasing generalization of phonological rules.

It is suggested that this difference between the Tibet­ an transcription of fricatives on the one hand and stops and affricates on the other may be due to the failure to recognize the voiced versus voiceless distinction among 10 the fricatives of Chinese by the Tibetan speller. How­ ever, two facts may be brought to bear against this assump­ tion. The transcriber never fails to recognize the dis­ tinction between the descendants of the Ancient Chinese

Shan-mu, Shen-m6 , Chuâng-m^, Shén-mîd and Ch^n-mu on the one hand and those of the Ancient Rl-mu on the other -- the Tibetan character for voiceless sound is assigned to the former and the Tibetan character for voiced sound to the latter. It is ad hoc to assume that the latter con­ 533 tained "slight" nasalization, because in other cases where there is nasalization of a consonant, it is common practice that the speller adds the character "h" to the character in question.

Another fact counter to the assumption is that there is no justification for assuming failure to recognize the voiced versus voiceless distinction of fricatives only, for the speller gives fairly consistent, distinct transcrip­ tions for the voiced as well as the voiceless stops and affricates.

Rule 7 ; Since the transcription is not so systematic as the hP'ags-pa transcription, it is very difficult to pin down if there was any systematic distinction of pala­ talized versus nonpalatalized (sharp versus nonsharp) with the grave initial consonants. The following examples seem to show systematic distinction in K:

Division III Division IV

:R. hSih gji

hSi

" hgi

" hgih or in OA;

Division III Division IV

pi hbji

" pi mji

" be " hbji 534

Unfortunately, the evidence is too sporadic and it is very easy to find opposite cases, where those of Division III are spelled with the "j," whereas those of Division IV are without "j." Since there is no systematic distinction, it is concluded that the dialects had already undergone the change.

Rule 8 ; Since,the transcription by the Tibetan char­

acters for Tibetan voiceless aspirates is consistently used regardless of the Ancient distinction unaspirated ver­ sus aspirated, the labiodentalization of some bilabial initials had undoubtedly taken place. It is difficult to determine whether the transcription by means of the Tibetan character for voiceless aspirate is due to the lack of a character for labial fricatives in the Tibetan writing system, or whether, as suggested in section 6 .2 .1 , the characters reflect the intermediate stage of the following possible change:

Ancient Chinese Tibetan Transcription Middle Chinese r+intr-| _ r+intr-, _ r-intr-, L-stri-l L+scriJ ^+stri-' There is a possibility of assuming that the affrica- tion of palatal stops ("nonpalatalized" palatals or "pala­ talized" palatals) in the dialects under consideration had 11 not yet taken place. This is very likely, because the

Tibetan writing system lacks the characters for palatal

(both "palatalized" and "nonpalatalized") stops. Moreover, this assumption explains why the descendants of Ancient 535

and *d3 are transcribed exclusively by a Tibetan

character for fricative sound, whereas those of the Ancient

(or *

sound. However, if this assumption is set up just for

explaining the difference, it may not be necessary. The

discrepancy between the transcription of the descendants

of »'^d^ and *d3 on the one hand and of (or on the

other can be fully explained by the ordering of the change

rule discussed in section 4,2,4,

Rules 9 and 10: These apparently applied to the

descendants of the Ancient palatal nasal. This confirms

that the transcription of the descendants of the Ancient

palatal voiced fricatives by the Tibetan character for voiceless consonant is by no means foreign deformation of

the original Chinese sounds,

6,2,4 hf'ags-pa transcription

The hP'ags-pa transcription of the initials provides

little interesting information for the change of initials

of the Ancient system. As can be seen in the transcription,

the Ancient initial system is almost completely preserved.

However, there are still a few points worthy of discussion.

Rules 9 and 10: The dialect shows that it completely underwent the change formulated as Rule 9,

Rule 11: The loss of the velar nasal has just begun.

Although there is a tendency that the nasal was commonly 536 lost before the descendants of the Ancient Division II and

Division IV Finals, this is not totally systematic.

Thus, some re-ordering of the change rules is neces­ sary for generating the initial system of the dialect re­ flected in the hf'ags-pa transcriptions; however, there is no conspicuous departure from what has been assumed on the basis of simplicity.

6,2,5 Trigault's romanization

The initial system of the dialect transcribed as

Trigault's romanization does not differ from that of modern Mandarin systematically. The dialect completely underwent the changes listed above, except that Rule II has not yet completely applied and thus there remains the initial ((g)) which spread, by analogy, even to those syllables originally with uninterrupted, nonstrident velar initial. Such a controversial problem as the distinction between Ancient retroflexes ("nonpalatalized" palatals) and palatals ("palatalized" palatals) in this transcription is a very simple one on the phonological level. Since the syllables with these initials are distinguished by means of the medial -ï-, we can safely follow the d^ng-yhn-xué phenologists' analysis of setting up only the palatals and ascribing the distinction sharp versus nonsharp purely to the medials,

Although peculiar details of the phonological system 537 are riot of immediate interest in this study, the following point is relevant to later discussions. The Ancient dis­ tinction of the "nonpalatalized" palatals and "palatalized" palatals is reflected in modern Mandarin in some restricted cases as nonretrofLex versus retroflex, for examples: 'I j li' se but shi

(iL but shi

y! ze but '1 ^ zhi

This distinction is found in Trigault's romanization as some dialectal variant. Toodoo correctly connects this variation with some of the present-day northwestern Man- 12 darin dialects. The difference of finals can be explain­ ed in terms of the different ordering of change rules of finals to be discussed later.

In modern Mandarin Rule 12 applied completely in one layer; but as mentioned in section 6.2.2, Rule 11 applied in the other layer. Thus there are some morphemes with the nasal initial which corresponds to the Ancient velar initial

The "palatalization" of dental sibilants and velars

(the loss of the contrast between jiSn-yïn and tuân-yîn) in modern Mandarin is primarily the neutralization of the distinction under consideration. The change can be des­ cribed by the following rule:

[îagrL] - [:gr"] Although on the phonological level, we have to describe 538 the change by a rule involving the switching of two features at a time, it is very easy to see that, as discussed in section 3.2.3.13, what actually happened consists in the following two changes involving one feature switching at a time;

a) [+grav] - [-grav] if: [Vcons^ [+diff] Thus :

C;gr“ ] ([k]. [k']. etc.) " ([trf, [:*']. etc.)

b) [+diff] - [-diff] if: +consl [+diff] +strij Thus :

C!gr“ ]<[«3. [te'], etc.) - ([tp], [tg']. etc.)

6.3 Changes of the final system

Although three different types of constituents of

Ancient Chinese finals can be recognized -- the medial, the (main) vowel, and the ending (glides or consonants) — the changes of the first two constituents are closely re­ lated to each other, so the present discussion will be divided, for convenience, into two parts: the changes of medials and vowels on the one hand, and those of endings on the other. Relative chronology between the changes of the initials, the medial-vowels, and the endings will be touched upon briefly in this chapter whenever necessary. 539

6,3,1 Informal discussion on the change rules

Comparing the final system of Ancient Chinese with that of modern Mandarin, one will notice some of the most conspicuous changes listed as follows;

1) The "Brechung" of the main vowels of Ancient

Division II and Division IV vowels in connection with the palatalization of the preceding initials;

2) The coalescence of some of the finals of the outer and the inner series (or the coalescence of the finals with tense vowels and lax vowels) -- the appearance of the so- called Division I and Division II "double rimes" or "rime doublets";

3) The coalescence of finals with grave vowels and nongrave vowels (or the loss of the distinction of Divi­ sion I and Division II Finals);

4) The loss of the medial -i- after retroflex ini­ tials and labiodentals.

Concerning the changes of the endings --

5) The loss of the so-called "entering-tone endings";

6 ) The loss of the distinction between two ending con­ sonants, *m and *n, and between and * p . .

The changes of tones were already discussed in section

6 ,2 .

7) The yin-y^ng split of tones in connection with the loss of the voiced versus voiceless distinction of initial consonants ; 540

8 ) The coalescence of the yâng rising-tone with the depart ing-tone.

Changes of other individual segments or finals will be discussed in connection with the major changes listed above. Fig. 22--Changes of Finals

541 Buie (15) (1 8 ) (I5iii) (l6iv) (7 ) (1 0 )(1 1 ) (1 5 )(1 6 ) ii (10 )(1 9 )(2 0 ) (1 6 ) (1 9 )(16 )(15)(2 1 ) (1)(2)(5)(4)(5)(6)(8)(9) i (I2)(l5)(l4) i i (17 ) ii i i ii ii iii iv (20ii)

ua ÜO ue ua ua i a - a "Tir- a ïa xe xa xa I la .«J ya ye ya ya a •7T" a (j)a (j)a xa xa £ I (j)E ua ua ua us ^ O - u u 'T' 'T 'T I I 10 XU I I I - j _ ax ax ax * 'T I I ax I I ax (j)aï I (j)al xax xa - xa 'IT ^ EX -7 7 -^------' [ xa - xa Ln 4> (4â) & — ^ (j)Sx — -- * ro Rule (15 ) (18) (I5iii) (l6iv) (7) (10)(11) (15)(16) ii (10)(19)(20) (16) (I9)(l6)(l5) (21) (1)(2)(5)(4)(5)(6)(8)(9) i (12)(13)(14) i i (1?) ii i i ii ii iii iv (20ii)

V V U31 U31 U91

UOl u^ï uai uai "r t V V w UEI (/)!) ÜE

A lOl laiA " 1 I I J I I - y _ 6Ï - (j)el lex ■ 7 " ïa] ïe & k •"1I ai 31 I I m ÏSÏ .J l 181 -T- i A I I 13 —I I I I I : 131 t — I L (i) 'v uei — (j) uei ïüeï-yeï

V V T yoï yai "-r-" .J A yai uai uai

ys -J- 131 i à I ¥ I V V A# ysï U31 U31 I 4 K y9i Ln to Rule (15) (18) (15iii) (l6iv) (7) (10)(11) (15)(i 6) ii (10)(19)(20) (l6) (I9)(l6)(15) (21) (1)(2)(5)(4)(5)(6)(8)(9) i (I2)(l5)(l4) i i (17) ii i i ii ii iii iv (20ii)

au au -7K- au ♦I au I "-T-— - I au I (j)au (j) —II I lauV V lauV V -J-, lau

V V eu - (j)eu leu u •T— u @U au -/KT- au I ■ J I - k l ïu ■-T~" I I I I 13U 19U .J_ lau leu o a oia -7T _L_ an "%T- "X" an I I -J I -4- am I a am I (j)am .-I (j)an eni j T la hI (j)em I I lOm lan — — r- — i _ Ian /N I ïam I In -P- em - (j)em lem le la la Rule (15) (18) (15iii) (l6iv; (7) (10)(11) (15)(i6) ii (1 0 )(19)(20) (16) (I9)(l6)(l5) (21) (1)(2)(5)(4)(5)(6)(8)(9) i (12)(l3)(l4) i i (l?) ii i i ii ii iii iv (20ii)

3 9 A Î (i) it- i 1 i

isra len ■"I— “T" Ian i à an

uen — (j)uen ------luen—yen ————n ua I I I ya ya I ^it) yan ------jk. yan 7u yon .... j :------J

UJ uen i{ , uan 1| L ------5 an -n-"y uan ^ uon ...j{ ------i ua ua vV uo ue ua ua o - a a A

on T" - j r an - an 4 a 'T* "T I (j)anj^- (j)an la •7' la 6n I I l U I I li-- I (3 )5rr- 3 ^ 4 ---- * I xon i^n - .Ji. ïan -Hf T' I I -jüJ lan ■4- I I Ln V ■P* I On f u en — (j)en------len le la xa Rule (15) (18) (I5iii) (l6iv) (7) (lO)dl) (15)(16) ii (10)(19)(20) (16) (I9)(l6)(l5) (21) (1)(2)(5)(4)(5)(6)(8)(9) i (I2)(l3)(l4) i i (1?) ii i i ii ii iii iv (20ii) % ! an an an 'T 'T T' lan lan _j _L. ïan I it - i i (i) len a a ut - u u & uan uan ~r uan _L. X. yan yy „ r - yan I yt - y I I# yen __I U u ue ua ua

.J. uag ------g r — ^^9 " log -I* ïan h— 7? la g I 1 I I 1 V V IQU ■J——— lau 1 ii ______1______lau ______l ! ____ _ 1 ______± . ______'TP' ^ ag I Ir 1 1 I ______J_____ 3 ______I 1------® ----- a .J 0-u su ------!-- au I t ag -X— (j)ag (j )og ^-T" i*(j)ag------(j)o^ I I ua (j)ou L(j)au------j- I I Ln —J- 4> y^Y ------1“ ya ya O' Rule (15) (18) (I5iii) (l6iv) (7) (10)(11) (15)(16) ii (10)(19)(20) (16) (I9)(l6)(l5) (21) (1)(2)(3)(4)(5)(6)(8)(9) i (12)(15)(14) i i (1?) ii i i ii ii iii iv (20ii) dl ai A I a a I J. ag & @9 9 9 -T- ■Tf.----- I ik - i I A- I (i) Ï6 9 lag "IF" lag 3 a uag .-W. " v ” ' 5®9 ua ua I: y k - y y ye^ yag uai ual(?) uaji .Î. $ uag(?) UÇJ1 I 8J1 — la # I I (j)eji ---- (j)ag T|- I i-L. I I ( j ) a i ------( j) a i 4-[------l a i I iL la (j)aji —j——t———— - (j)ag Tf* lag r- iag(?) - i ------L-i'------an -iL. I.L. ag II ------a l " ai M ïaji "[ ïeji •Tf—.J l------lag- ejl — (j)ejl'j------lejl leg yajl —— — 4~"i ^eji ^------— yag- u - T f T u 'T' uejl — (j)ue;i------luejl-yejl-yeg .J I I ug -i- uag "T *T' I y k - y — u . Ï lug .j_. y@g V Ln ICI) ua ua 548

6,3.1,1 The "Brechung" of nongrave vowels

As in the case of initials, the simplest possible process of the changes of finals from Ancient Chinese

through Mandarin in terms of a set of phonological change

rules with necessary ordering will first be determined.

After that the ordered rules will be checked with what actually happened and reflected in the three transcriptions

studied in Chapter III, Since the changes of finals are

fairly complicated, a condensed Figure (Figure 22) outlining

the order and process of coalescence and split will be helpful. In addition, an informal discussion will be

given, formulating rules in terms of alphabetic symbols,

so that the general picture of the changes will be easily

grasped. The change rules in terms of distinctive features will be given later.

Since in modern Mandarin dialects two different

descendants of the Ancient Jia ( /A. ) finals -- one with

the ending -ï, the other without the ending -- are con­

sistently found, two different layers of Mandarin should

be assumed, in one of which the Ancient Jia ( ) coa­

lesced with Jie ( { ‘^ ) and thus obtained the ending -x, in

the other it coalesced with the Ancient Chinese M^ (/M^ )

finals and was thus without ending. From the historical

point of view, the consistent correspondence of two dif­

ferent types of finals in modern Mandarin dialects cannot 13 be regarded as accidental. In order to give the simplest 549 _ process of change, the coalescence of the Jia (i ) finals with the Jie ( ) finals should come first;

0 -* X if: C ( u ) e ______#

Thus :

Jia ( ) 0 £ -* El

Jia ) C us -* uei

The striking point is that on quite an independent basis this rule is needed in its more generalized form.

Although the great majority of the descendants of the finals of the Ancient Zhï rime group are with a nontense main vowel in modern Mandarin, some are found with tense main vowel only when they are preceded by initials which orig- 14 inated from the Ancient Chinese retroflex sibilant.

Thus :

(from *t§ys^) is chu^i, not chui; but (from

*tj'ye^) is chui, not chuai;

(from *gysi^) is shuai, not shui; but (from

*Jÿsï^) is shui, not shuai.

Since the descendants of the Ancient final *ya should be kept distinct from the ancestor of chuai, shuai, etc,, the rule yielding the ending -i of these morphemes should be applied before the main vowel of these morphemes changes

from nontense into tense and loses the distinction grave versus nongrave. The simplest way is to generalize Rule 1 as follows -- 550

Rule I

V 0 — 1 if:

Thus :

Jia 0 s -* fcl Jia (fÉ.) c us. - usi Zhi ( ) 0 -* xSx

Zhi ( t) c ys - yet

Zhi xe - Ï 9 Ï

The interesting fact in connection with the above rule is

that the Zhi ( ^ ) final did not have any hé-k^u counter­

part in Ancient Chinese and the hé-kou counterpart of the

/flJ\ ^ Wëi ( /:)() 0 final does not occur after retroflex sibilants,

though this peculiar distributional pattern of both the

Zhî ( ^ ) and the Wéi C finals may be accidental.

Next, the first stage of the "Brechung" of the main vowels of the Division II and Division IV Finals -- namely

the palatalization of the preceding velar and guttural

initials in the case of syllables with Division II Finals,

and the palatalization of all the initials in the case of

syllables with Division IV Finals -- took place rather

early. Both the vowels of Division II and Division IV

Finals are front and nonhigh (nongrave, nondiffuse), thus

it is reasonable that they should be responsible for the

palatalization of the preceding consonants, especially

the velars and gutturals. The second stage is the appear­

ance of a parasitic glide -"ï- between these vowels and the 551 palatalized initials. The "Brechung" has to be divided into the above two stages, because the descendants of the

Ancient Division II Finals on the one hand and those of

Division III and Division III/IV Finals (Single and Pair­ ed) on the other, underwent different changes even after the "Brechung" (See Rules 16i and lOii).

Rule 2 a - (j)al i) y if: velars/gutturals e - ( j ) E J

e - (j)e ii) ue - (j)ue where (j) represents the palatalization of the preceding consonant. The following finals underwent this change:

Mâ (y^) Oil a (j)a

Jia ('li ) 0 £ (j)E

Guai (i^ ) 0 aï (j)a%

Jii ) 0 1 (j)E% (Jia (li ) 0) Ji

u Yâu ( ' 0 ) au (j)au

Xi^n ( ) am (j)am

Xi 6 n ( ) em ( j)em

Shan (i^'j ) 0 an (j)an

Shan ( l1^ ) 0 en ( j)en Jiang ( ) (j)ag

q £ (’jlf) oc (ü)eï (j)(u)eï

Xiao ( ÿ;\j ) eu ( j)eu 552

w ' A Tiân em — (j)em

Xian ( / . ) OC (u)en -» (j)(u)en

Qing ( ÿ, ) OC (u)ep -* (j)(u)eji

The change to be discussed next is the loss of the rounding feature of medials between a few initials and finals. Apparently, this change took place only in one of the ancestor dialects which later constituted modern

Mandarin. 15 As was pointed out by Arisaka, one very conspicuous point about the condition of the loss of the rounding of the medial -y- (the feature flatness) is that the loss is mostly restricted to the medials of those finals which were arranged in the fourth Division in rime tables. The change is very reasonable from the viewpoint of the present reconstruction of Ancient Chinese, After Rule 2 applied, the primary distinction between those finals arranged in the thiird Division and the fourth Division is palatali­ zation of the initials. Thus such modern difference as --

wei - yyai^ - -- Ji ( ' ^ D CIII

xi *- Yjyel^ - Yuer^ — Qf ('^-D C

( kui kÿeï^ *- kyel^ — Zhî CIII

jï - kjysl^ - kjysl^ — Zhi (.'fg ) CIV

r<5ng - Yy&/i^ *- Yyaji^ — Geng CIII

( ^ y£ng - Yjyep^ - Yvieji^ — Qing ( ) C at one time consisted in the presence versus absence of the palatalization of initial consonants. Then it is reason­ 553 able to suppose that the distinction later transformed into the presence versus absence of the rounding of mediaIs due to dissimilation between each pair. There is another condition to which Arisaka did not pay attention; that is, the said type of pairs is restricted to those finals orig­ inally with either diffuse, nongrave ending or nondiffuse, nongrave ending. What is significant about this condition is of course the feature nongravity of the ending. Under this situation, the former distinction of the medial (of the pairs under consideration) -y- versus -(j)y- could very reasonably be changed into the distinction -h- versus

-1-. Thus we can construe the following rule;

Rule 3

u 9 palatalized velar] if: Lor guttural f f y - X

Thus :

Qf (i^T) c (j)uei - ( j)eï

zhi c;lti ) CIV yti -* l e ï

XiSn CIV ÿan - ïan

Xian ( ) C (j)uen - ( j)en V Zhen ( Ji ) CIV yen - len

QÎng ( ;-^ ) C y e p - ï e p

Apparently, as can be judged from the arrangement of the

' ^ syllables with the QÎng { ' " [ 4 ) rime in rime tables, the velar initials preceding these rimes had all been palatal­ ized by this time. 554

At the beginning of the "Brechung" of vowels of An­ cient Division II and Division IV Finals discussed in Rule

2, only in the case of the Geng ) II and Gêng (IVf) rimes, the change is a little more complicated. As men­

tioned in section 4.3.1, there are two groups of modern dialects. In one of them, the Geng rime group coalesced with the Dang rime group, whereas in the second group the

Geng rime group coalesced with the Zêng rime group. To describe what has happened in the former group of dia­

lects, the change rule should be so formulated that the Gêng ( I It ) rimes merged with the Geng ( / ^ ) II rime, as will be presented in the discussion of Rule 5.

9 - a

Thus :

Geng ( $1^ ) 0 eji - aji

Gêng ( ) C ueji - uajfi

The constraint of the above rule should be:

if: C(u) ([ ])# where [ ] cannot be ((g)).

On the other hand, in the other type of dialects, the

Geng (/K. ) II rime merged with the Gêng (^^ ) rime; thus the rule should be:

a -, E if; G(u) ([ ])# where: 16 [ ] cannot be -g or ~ j i . 555

Since the former rule can be incorporated into Rule 5 we set up Rule 4 only for changing ((a)) into ((e)) in the given environments :

Rule 4

a -♦ £ if ; ji

Now, in the second group of dialects mentioned above

(such as the Wd and the Mandarin dialects), two layers of correspondents of the Ancient G&ng rime group can clearly be recognized. In one layer. Division II Finals did not palatalize the preceding velar initials, in the other the finals in question palatalized the velar initials. Thus in Mandarin, for example, is found such polyphony of the same characters from the G^ng rime group, which is very probably the result of the mingling of different dialects:

The Gêng (//^ ) Oil:

^ rcolloquial Jing

I literary gêng

fcolloquial jing

1 1literary 1 gêng

The Gêng ( ) 0:

(colloquial : jing

literary : gêng

In Mandarin, the descendants of syllables originally with the entering-tone regularly belong to the second layer

(where neither velars nor gutturals underwent palatalize- 556 tion). Nevertheless, there is such an exceptional case as;

The Gins ( f" ) 0 :

, f colloquial : jii

i literary : gé

The cause of this difference may reasonably be assumed to be due to the different order of change rules applied to the finals under consideration from Ancient Chinese through the modern dialects. Suppose first the Geng (/^ )

Oil and Geng (^ ) Oil finals merged with the Ging (fff) O and Geng ) C finals respectively due to the change of the main vowel of the former brought about by the ending consonant; and next, before the front vowels (nongrave vowels) palatalized the initial consonants, another change

— the overall coalescence of grave vowels and the corre­ sponding nongrave vowels — took place. Then the process of the coalescence of the finals under consideration with other finals will be:

Geng ( ) Oil kap^ ^

Gêng ( f j ] ) 0 ^ kgp^ - kep^ - kap^ ^

Deng ( ) 0 kag^ - kag^ -* kag^ - kag^

Thus the pronunciation of these characters of the literary

layer is obtained. In this type of dialect. Rule 2 must have been: S - (j)s if: velar/guttural (f ])# where :

[ ] must not be a palatal nasal 557

If the order of the two changes mentioned above is reversed; namely first those finals with velar or guttural initials underwent palatalization, and after that the distinction of grave and nongrave main vowels was lost, then the Mandarin pronunciation of the colloquial layer is obtained :

Geng (/^ ) Oil; kap^ >

Gêng ( ^f| ) 0 keji^ -*

De^g ( ^ ) 0 kag^ - ksp^ - kag^ -* kag^ ka^^

In this respect, too, it can be seen that the origin of

Mandarin is not homogeneous.

6.3.1.2 The coalescence of the inner-outer series

After the above changes, the coalescence of some of the finals of the outer series and the inner series -- the coalescence of some of the nontense series of finals with the corresponding tense series -- took place under the following conditions:

Rule 5

i) a — a if: Cu i. where : C must not be velar or guttural

11) 8 - a If: j C(u) ([ ] ) # I I retroflex y 1 1 where:

[ ] must not be ((g)) 558 — a if; C B Thus :

j i l ( i i ) (u)£ (ü)a

Ji: ) • (ü)EÏ (ü)aï Jiâ ( f ji )

Zhi ( ) C ' [ yeï ÿax if: retroflex Zhi ( f l â ) C -

Xiân (M.) em am

Shan ( it) ) (u)sn —* (u)an

Geng ) (u)sji (u)a/i

Hâi ( f ^ ) aï aï

T4n ( ' ^ ) 9m am

Tài ( ^ ) C uax - Ü 3 Ï if not: I velar cguttural

The above change must have occurred earlier than any other change to be discussed below. Because, if this change occurred after the "Brechung" of the main vowels — at least its completion — of Division II Finals, we cannot explain why the same change did not take place with --

Zhi ( ^ ) 0 : ÏEî! (Jiâ O after velars and

gutturals should have been i£x

by this time)

Qin ( 1 ^ ) : ïem (Xi^n after velars and

gutturals : Ism) fi. Zhen ( 0) : ïsn(Shân J-1 0 should have been ïsn

in the same environment) 559

Qing (^pj ) 0 : ïsp (Gêng 0 should have been

leji in the same environment)

Also this ordering explains why the H<5u ( ) final did not undergo the same change. The motivation of excluding some kind of parasitic vowel segment which might have pre- ceded the main vowel *u of the H6 u ( I ) rime mentioned in section 4,3.3,1, consists in the simplicity of the above rule.

Although in most of the cases, there are well paired finals of the outer series and the inner series in Ancient

Chinese, only in the case of *au and *xau there is no inner series counterpart * 8 u and *xau respectively. This acci­ dental blank was occupied by the descendants of the An­ cient finals with the syllabic *u, the H<5u (f^) and Y<5u i i u ) finals after they obtained the parasitic nontense main vowel:

Rule 6

i) 0 9 if : u#

ii) u -* u if: ( )V( ■ ) where:

V stands for any vowel

Thus :

H 6u ) u -* 3Ü

Y<5u ( ^ ) Yu Yau

Apparently, this change did not take place in some dialects 560 when the final was preceded by a labial initial. Thus nowadays there are the following distinct paris:

7'fv mdu but mu v'; : ^ colloquial f<5u butliterary fu

After the vowel *u obtained the parasitic vowel, the former main vowel ((u)) became a glide, following the general pattern of syllable construction in this language.

However, this is the problem of phonological redundancy rule. The new blank thus created was occupied by the new

((u)) which appeared as the result of the loss of contrast between the high back ((u)) (diffuse, grave) and the lower- high back (nondiffuse, noncompact, grave) ((o)); consequent­ ly the distinction between *(i)og and *(l)ug was also lost:

Rule 7

o -* "a grave, noncompact vowel" (hereafter "u") u

Thus :

M 6 ( ) o u

Yu ( / ^ ) ïo -* iu(y)

Dong ( ^ ) og -* urj

Zhong (â^i!) log -* lug (yg)

The newly appeared [lu] did not contrast with [y]. Thus hereafter the former will be identified phonologically with the latter. 561

The actual process of this change should be either of the following:

1 ) [u] was first assimilated to the preceding front glide and changed into [y], and after that the preceding

[i] became irrelevant or disappeared as a result of dis­ similation; name ly :

XUV - V xy

X 0 if : V

2) The glide [ was assimilated to the following rounded vowel, and became rounded; after that [u] was fronted because of the preceding glide, and the redundant glide disappeared; namely;

V V XU ^ y u yuV _ V yy

y 0 if: y The second alternative is preferred here. The rule will be generalized later as Rule 11.

Before proceeding to the next change, one minor change should be mentioned. The main vowel ((a)) of the descendant of the Jiang final changed into a back

(grave) vowel before the back (grave) ending;

Rule 8

a -* a if: g

Next, the vowel ((a)) underwent a change, which at first glance shows great irregularity but which, upon 562 close observation, turns out to be a fairly systematic change. The condition for the change can be summarized as follows :

^ C #

k (u)a -* ua if:< labial velar guttural 1 V -Û- ^ In the constraint of the above rule, the symbols p, t and k stand for the endings ((m)), ((n)) and ((g)) respective­ ly in a syllable with the entering-tone. The third part of the constraint states that the preceding segment should be grave and the following segment diffuse.

After this change, the ((ua)) from Ancient *a, not the ((ua)) from Ancient *ua, lost the medial -u- after labials and velars (grave initials only) unless the medial was preceded by either another medial -àC- or a palatalized consonant. Thus the changes are —

Gë (IjA.) 01 a -* Ha

labial U3 — if :^velar t gutturalJ Ge ) Cl ua -* ua (note even after velar/guttural)

. u C( labial) Tân (6 y^ ^ ) ap -♦ usp if: i velar ^ [guttural

(labial) u@p - a(p) (if: velar guttural 563

rlabial I Hin ( ) 0 at -* u 9 t if ; velar guttural.

labial uat - a(t) (if velar (guttural

H â n ( ) C uat -* uat

uat a(t)

Tang (/0 ) 0 ak -* uak

("labial 1 f d ( k ) if:4velar V uak -*] (gutturalJ (ÜsKk) }

T&ng ) C uak -* uak

üak -* üa(k) Yâng ( ) 0 iak -* ïüaK

ïüak -# ÿa(k)

Y^ng ( ) C yak - ÿÜak

ÿiiak-* ÿa(k)

Apparently, the Jiâng (:3l) final with the entering- tone underwent the same change with exactly the same constraint, except in cases where the final had already undergone the change described as Rule 2 above. Conse­ quently, the change formulated as Rule 8 had already ap­ plied to the Jiang ( ) final and the change under con­ sideration should have taken place not earlier than the palatalization of the velar initials followed by Division

II Finals. 564

Jiâng ) (ag -* ag Rule 8 )

ok -» \4ak

uak -* a(k) ififlablal 1 _ _ l(velar)J

(j)ok - (j)uak

(j)uak -* ÿa(k)

Now, as a matter of fact, the rule under consideration does not hold at all, because once the ((a)) without the medial -u- became ((ua)) after labials, velars and guttu­ rals, it is impossible that only the ((a)) originally from

*a without the preceding medial -u- lost the medial later.

Also, if this rule applies to all the other instances of

((9)), such as those in the descendants of the Hun ( X ^ ) final, the Dëng ( il ) C final, etc., it is contrary to what happened in the actual history of this language. Even if some other sound, such as ((e)) is assumed, as the re­ sult of the above change, the rule still does not work.

The descendants of the Ancient Division IV Finals still preserve the main vowel ((e)).

In order to avoid this contradiction, the ((u)) which appeared in the descendants of Ancient *a must be distin­ guished from the Ancient *u that preceded *a. In alpha­ betic presentation, this is very difficult. If speech segments are considered as bundles of distinctive features, there is a possibility of regarding the first -u- mentioned above as a part of the features of (( a) ), but the latter 565

-u- as a genuine glide. Namely, the descendant of Ancient

* 0. in this case is ((a)) with an additional feature, gravi­ ty, namely ((o)), regardless of the preceding medial. Thus the rule should be formulated as follows:

Rule 9

C(%)___ #

k

a if: labial P velar guttural -u- > Thus :

Gi (|^) 01 a

labial 1 if: velar T u guttural) ua

Ge ( é f ^ ) C l ua -* uo -* Ü3

(labial) Tân op -* op if : velar guttural

( labial) op -• a(p) if velar guttural

labial Hàn ( ^ ) 0 at -* ot if: velar guttural

labial ot a(t) if: velar guttural,

Hân ( ) C uat -* uot

uot ua(t) 566

Ting (/% ) 0 ak -* ok

labial | a(k) if: velar r ok guttural) üa(k)

Ting (/^ ) C uak -* uok

uok -* ua(k)

Yang ( f ) O ïak “• lok

xok - ya(k)

Yâng ( F:%/ ) C yak -* yok yok ya(k) Jiang ("^ ) ak -» ok

labial ok — a(k) if:j(velar) (guttural)

(j)ak - (j)ok

(j)ok - (j)iok - ya(k)

((o)) lost the feature gravity in case it was preceded by another grave segment, such as labials, velars, gutturals or the medial -Ü-. Otherwise, it later split into two

segments in Mandarin: the medial ((u)) and ((a)). This

later change is of course related to the loss of the dis­

tinction grave versus nongrave of the nondiffuse vowel to be discussed later.

Two very important points should be noticed in con­ nection with Rule 9. One is the treatment of the labial

initials that occurred with the finals under considéra- 567 tion. In case there is the kai-k^u and he-k#u pair of finals within one rime, such as —

f kii-kou final : *an The H£n ( ) rime < " i hé-kou final : *uan the labial initials are assumed in section 5,9.1 as always occurring with the kSi-kou final. This reconstruction is contrary to the traditional treatment since Karlgren, Now we see the great advantage of the new treatment. If these labials are considered as occurring with the he-k#u finals the following process of the above change has to be assumed :

Ge ( ) 01 *a -* o

fa if:[velar 1 ___ o (guttural! (Ü3 otherwise

Gë ) Cl *üa -* uo

9 if: labial uo ua otherwise

Hin ) 0 *at ot

ot 8 (t) if: [velar 1 ___ /guttural!

Kân ( ) G *uat - uot

a(t) if: labial ~j tlot -» ua(t) otherwise J

By this treatment, not only the constraints: "if: velar/ guttural " and: "if: labial " have to be repeated for the kai-kou counterpart and the hë-k^u counterpart of the 568 same rime respectively, but the regularity of the con­ straint is also missed. The loss of the feature gravity of ((o)) is simply conditioned by the single feature

[^grav] of the preceding segment.

The other point to be noticed in connection with Rule

9 is that according to the present assumption for the pro­ cess of change formulated as Rule 9, the change under con­ sideration is conditioned partly by tones. This assumption may need justification. It is generally observed that in many "tone languages" of the Sino-Tibetan group, different tones modify the segments of the syllables which carry them in various ways. The modification remains, in most cases, as the phonetic variation of each segment. However,

in some languages or dialects, it is "phonemic," Thus as

listed in section 4,3,1,9, the following morphophonemic

alternations are found in the Fü-zhôu dialect:

fig(k) if: with tone 1 , 2, 3 or 7

I SigCk) if; with tone 4, 5 or 6

Eig(k) if: with tone 1, 2, 3 or 7

,aig(k) if: with tone 4, 5 or 6

ug^k) if: with tone 1 , 2, 3 or 7

oug(k) if: with tone 4, 5 or 6

ouq(k) if: with tone 1 , 2, 3 or 7

C.aug(k) if: with tone 4, 5 or 6 569

In Mandarin, the following regular phonetic realizations conditioned by tone exist:

|((la)) ((r)) I((i3n)) ((r)) i ■((i)) + ((r)) if: with tone I or 2 -- [irj ((ian)) T ((r))

r((ya)) T ((r)) [yerj l((yan)) ((r)) ]

r((y)) ((r)) if : with tone 1 or 2 -- [yr] .((l^n)) ir ((r))

If these morphophonemic alternations reflect in some way the historical changes, it may not be unreasonable to assume a change conditioned by tones.

As for the chronological order of the rules under cons ideration:

1) The change formulated as Rule 9 should precede the coalescence of the Ancient grave and nongrave vowels of the compact series, because the same change did not take place with Division II Finals except for the above mentioned

Jiâng (SX ) final (which had already undergone the change formulated as Rule 8 ).

2) Since an intermediate ((o)) has to be assumed as one of the descendants of Ancient *a> the change should come after Ancient * o became ((u)) (namely after Rule 7).

Concerning the change of Gi (Ifj^ ) OIII, Gê (^^ ) CIII, 570

Yâng ( r ^ ) 0 and Yâng (F% ) C, see the discussion of Rule

H i .

Incidentally, Ancient *a# preceded by the medial -x- or -y- did not undergo the change formulated as Rule 9.

Although ((@)) is found in modern Mandarin as the main vowel of the descendants of Ancient preceded by the medial -x- or -y-, such as

Gë (IÎa) o u i *xa Mandarin xa

Gë ( i j K ) CIII *ya Mandarin ya this is not the result of the same change, because in cases where there were the medial -x- or -y- in Ancient

Chinese, the same change into modern ((a)) took place not only with grave compact vowels but also with nongrave com­ pact vowels, such as :

Mâ III *xa : Mandarin xa

Consequently, it is obvious that a different process under­

lies those instances of Mandarin ((a)) from Ancient vowels preceded by the medial -x- or -y-.

Before the overall coalescence of grave vowels with the corresponding nongrave vowels to be discussed next, a high front glide was produced between the palatalized initials and the descendants of Ancient Chinese Division II and Division IV Finals :

V/ 0 - i 1 a if: Cj e o

The change apparently took place first in those 571

environments where a palatalized initial was followed by a nongrave, nondiffuse, noncompact vowel. Next, all compact vowels underwent a change formulated as Rule 13; and after

that Rule 10 applied to the environments where a palatalized

initial was followed by a compact vowel. The first part of Rule 10 is formulated as Rule lOi; and the second half

as Rule lOii. The following examples will illustrate why

this ordering is necessary:

Ancient Chinese Mandarin

Gê (0^ ) OIII la - la ] V > -► la -» le -* le -• la ( / ^ ) III l a -* xa J Mg ( # . ) o n (j)a - (j)a - (j)a -* (j)a - la - If Jiâ ) 0

Fèi ( / & ) 0 la l - la l — xal J l ( ^ ) 0 lai -xaxj lex - - i Q£ 0 (j)ex - lei - lex

Without assuming the above order, the contrast of the

finals ((la)) versus ((xa)) versus ((i)) in modern Mandarin

cannot be explained.

Now, if the rules for the subsequent changes following

Rule 7 are applied at the present stage, then —

1 ) The change yielding the high front glide mentioned

above is as a matter of fact, just the insertion of the

medial -x- after the palatalized initials and the following

segments, such as — 572

Rule 101

0 - if: Cj X u ) e ï Thus :

QÎ ) 0 Cjei C j ï e ï Q{ (iSf) c Cjüel C jiüeï Next, an assimilation rule covers those segments yielded by both Rules 7 and 10i (xu -* y; xu -► y).

2) The assimilation rule also explains the loss of distinction between ((xok)) and ((yok)) yielded by Rule 9, and thus turns out to be a very general rule. In this respect too, the simplification of Rule 10 discussed above is justified.

Thus by Rule lOi we obtain the following:

Qf (1 #") 0 (j)el (j)%e%

Qf (1@T) C (j)Üeï —* (j)ïüeï

Xiao (^ ) ( j)eu (j)ie%

Tiân ( " ^ ) ( j)em - (j)xem

Xian ( -fe ) 0 (j)en - (j)ien

Xian ( ) C (j)uen - (j)ïuen

Qing ( ^ ) 0 ( j)ep - (j)xeji

Qing (-#" ) C (j)uep ( j ) xueji

Jiâng (>X-) ( j)ok (j)%ok

After the above changes, the following rule is applied:

Rule 11

XU yu i) ïii l o _ f o 573

l U ÿuYu ( ) lU ÿuYu Xian ( ) C luen yuen DSns (|t) 1111^ Qing Cfq \ ) Cr y yyïüeji yuep

.hons ( # ) Y^ng (fy^) C lok -» yok V V V V V V Qi ( # ) C iuex -» yuei Jiâng (::Zl) "yu ii)

Thus ;

V V •v^V V YÜ (/| ) y u - 3ry q £ ( W ) G yuex -» yÿeï w WV Dong ) III Xian ( ^ ) C yuen yyen yuij - yyg — ^ Zhong ) Qing ( # ) C Syuep / V - yyep

yl iii) y -» 0 if; y Thus : Yu (/%$ ) y V/yyex W V yei Dong ( ) n i l (4L ) C yj^enXian yen ÿyg yi} V Zhong ( ) Qing (-^ ) C ^eji yeji

6,3.1,3 The coalescence of the grave-nongrave series

The overall coalescence of grave, nondiffuse vowels with the corresponding nongrave vowels, and grave ending consonants with the corresponding nongrave consonants occurred at this point. The following change took place first with nondiffuse, noncompact vowels :

Rule 12 rlabial if: Jvelar I guttural [-Ü-

ÜO otherwise 574

o Ge (i?pC^) 01 ÜO

ok Ting (/f ) 0 ok -* uokJ

ok Jiâng (3-2^ ) ok — uok)

After the above change, all the nondiffuse, grave vowels, and grave consonants in finals coalesced with the corresponding nongrave segments :

Rule 13

a ] ( m^ -* a y -* n .a) ( n o -» e

(3 ' f 9 ] -» 3 y £ . r . Thus :

Gâ OIII Id ’ -» xa Mi (yfr) III xa .

\J g I CIII ya -* ya

Mi (/^) Oil a -* a Jiâ (ii.) 0 (j)a -* ( j)a

Mi (/%) Oil V ua - ua Jia (I3-) C

Tki ( 4 b ) O ax ax Hii ( "è )

1^1 ( . & ) C uttx uax (after velar/guttural only) 575

Hul (6 ^ ) uaiV V Tai (/$r) C

Guai ( ) 0 ai aY Jie ( ^ ) 0 (j)aï ( j)aï (JiS là 0 ) J

Guai

\/ V V V Jie ( *^ ) C uai uai

(JiS C)

F^i C ^ ) 0 xar Yaï Ji ( ^ ) 0 xaï

Fèî (/^[) C W V yai A ( % - ) G yaï

H6o C'IÿL) oil au Y4o ) au

(j)aü - (j)aü V V/ Xiao ($f ) xau ïaü

Tan ( ; K ) ttm an ( ^ )

Xi^n

Xign ( A ) (j)an

Yan (,%_) ■V xam V F^n ( Ax ) lan

V Yin ( j i ) xam

Tiân ( : % ) .em Yen 576

Hân ( % ) 0 an ShSn ( ^ ' b 0 an , an

S hân ( iij ) 0 ( j)an ( j)an

Hân ( % ) C uan '

Shân (#1) C ■ uan uan Shân ( lI) ) C .

Yuân ( ^ ) 0 ïan lan Xiân (^lI) ) C lan ,

Yuân ( 70) 0 yan ] yanV Xiân ( { 0 ) 0 ÿan j Tâng ( % ) 0 j “5 *9 Jiâng (:J^)

(j)&q (j)ag V Yâng (f%) 0 larj Yag

Yang ( % ) C y&g yag

Zhi ( ^ ) C ïsl

Zhi (/l^) 0 ÏEl laï Zhi ( ^ ) C Ï 9 l

Wêi (%)L) 0 Ï9l Zhi ( ic ) C ÿex

Zhi (J^B ) C yal

Wêi ( f e ) C

HÔU au au

V >J YÔU ( ^ ) 13U lau You (liÉv) ïeti 577 V V Qln (1 #L) ism ign

Hén an an

Hun ( % ) Üan uan

r V Y in 07 X) îan îan Zhênën ( ï 4 | r )0 ) - Wén ( ^ ) yan yan Zhên (.^ ) C ygn J

Dëng ( ^ ) 0 99 9g Dëng ( ) C uag ■■4’. Zhëng ( ) 0 ïsg lag Zhëng ( ) C yeg yag

Gëng ( / ^ ) IIO ag Gëng ) 0 (j)sp (j)ag

Gëng ( / ^ ) GII ' w US.JI U9g Gëng ('|,;)|' ) C

Gëng ( / ^ ) Olir V ISJI lag QÎng ) 0

Gëng ( / ^ ) CII1| V y£? yag QÎng (^l| ) C J V __ Qing ) 0 lerj

QÎng ) C yeg

Gëng (/^) 011 *9 (j)ag ax Gëng 0 (j)ax - (j)aï 578

\ V Gëng O J i ) CIl uaji -* uag Gêng (/l^ ) C uaï - uaï

Gë 0 o - e u k. U O - lie

V Gë (%#:) c uo - ue

T4n (&^L) op —♦ et T4n ( 1 ^ )

Han ( -'&) 0 ot et

H^n ( • % ) C uot uet

Tang (/ÿ ) 0 1' ok - ek

1, uok - uek

Tang (/# ) C uok - uek

Jiang (::jl ) ^ ok ek

uok uek

(j)ok —♦ lok yok (Rule 111)

yek

Yang (rij) 0 lok —» yok (Rule 111)

yek

Yang (11%) C ÿok - yek

The following rule:

a a £

does not mean that, for example, a "higher low front un­ rounded vowel" [s] changed into a "central middle unround­ ed vowel" [a]. It simply means that the contrast grave 579 and nongrave of nontense compact vowels became redundant.

There is a minor change which took place with only a restricted number of finals. That is the "" of the Y^ng ( i ^ ) 0 final and the Jiang ( " X ) final, only when they were preceded by the descendants of the Ancient retroflex initials.

if : retroflex

Thus ;

Y^ng ( 0 rag uag

Jiang (;X) ag uag

Since more than a single feature is involved in the above change, we naturally suspect that the above formula does not represent the detailed process of the change. One possible process would be:

X -* y -* u Yâng ( Ÿ% ) 0

0 - y - u Jiâng ( ' X )

However, the crucial defect of the above assumption is

that it cannot explain why in the case of the Jiang (:^X )

final the change took place when the final was preceded

not only by the chx-shàng-yîn initials (retroflex sibi­

lants) but also by the shé-shang-y xn initials (retroflex/

palatal stops), whereas in the case of the Yâng ( F ^ ) 0

final the same change took place only when the final was

preceded by the chï-shàng-yin initials.

A plausible way to explain this discrepancy is to 580 assume that the change took place only when there was no medial -i- between the finals under consideration and the preceding retroflex initials; and by the time of this change the medial -ï- of the Ydng ( F ^ ) O final was lost after the retroflex initials. Thus the change rule is —

X -* 0 if; retroflex ___

0 -* u if: retroflex ____ a^

In support of this assumption, there are many other re­ lated changes to be covered by the same rule of the loss of the medial -Ï-. The change of the above two finals will be incorporated into these related changes to be discussed next. The change did not apply to the Ying

0 preceded by she-shkng-yln, \diereas it applied to the

Jiâng ) final preceded by shé-shâng-yîn. Here, it is clear that although the feature sharpness is redundant with respect to shé-shàng-yxn on the phonological level, it is relevant in the history of change. The presence of the medial -x- is irrelevant to the change of the same finals preceded by retroflex sibilants, because in the case of sibilants, the retroflex series is phonologically distinct from the palatal series. However, the presence and the absence of the medial -x- makes much difference in the change of the same finals preceded by retroflex stops.

Consequently, the simplest solution is to regard those retroflex stops before Division III or Single/Paired

Division III/IV Finals as sharp palatals, and those before 581

Division II Finals as nonsharp palatals. By this inter­ pretation the simplest constraint to the rule can be set up as listed above. In this respect, the reconstruction

by C, Lu6 and Pulleyblank, who believe the so-called shé-

shàng-yîn have remained as retroflexes from the time of

Ancient Chinese up to Mandarin turns out to be incredible.

As a result of the loss of the distinction grave ver­

sus nongrave, the vowel system of old Chinese is drastical­

ly simplified. Subsequently, the former three-way dis­

tinction of vowels :

[Icomp] versus versus was reduced into a two-way distinction:

[::Mp] versus and the phonologically relevant distinctive feature was reduced to only one: either diffuseness or compactness,

the other being predictable in terms of its co-occurrence with the first one. In accordance with the corresponding

feature for consonants, hereafter, diffuseness is chosen

as the phonologically distinctive feature. The change may also be interpreted as the result of structural

balance between consonants and vowels. By the above change,

the feature compactness, which was formerly distinctive only with vowels and predictable with consonants, has now become predictable with the vowels too. Consequently,

the feature is now erased from the system of classifica-

tory features. 582 The first step of the change from the three-way dis­ tinction of vowels into the two-way distinction, is the coalescence of nondiffuse, noncompact vowels with non- diffuse, compact vowels as follows:

Rule 14:

if not:

Thus :

V V/ V ^ ) xeu - xau V ) xem - xam V V ) 0 xen - xan

V s j £ ) c yen - yan

6,3.1,4 The loss of palataliza­ tion after retroflexes

Before the changes to be discussed next, the medial

-X- was lost and the medial -y- lost its palatalization feature after both retroflex and labiodental initials.

Since the Mandarin correspondent of the F&i ) 0 finals preceded by labiodental initials is not ((ax)) but ((ax)), the rule should be separated into two parts ; one should be applied before, and the other after. Rule 16,

Rule 15

i) Ï - 0 V \/ y -* u if: retroflex y -* u 583

ii) Ï - 0 labial (nonsharp) 0 V X 7 u if: labiodental 7 a As will be discussed later, the above are actually part of a rule with a much wider scope. However, Rule 15 must be separated from the latter, otherwise an unnatural con­ straint has to be imposed on Rule 16,

Rule 15 also covers the change of the Y&ng ((^) 0 final after retroflex initials;

Thus by Rule 15i --

Zhi ( J L ) C \/ V yax - uax\ / V ZhI (j1a ) C V Yang ( ) 0 la^ -* ag After the above change, tense compact vowels changed into nondiffuse, noncompact vowels in certain environ­ ments and ((n)) was lost following this nondiffuse, non­ compact vowel in syllables with the entering-tone:

Rule 16i

a) a -* if: [I I]) # 7. n) f V b) t - 0 if: e ______I f . Thus :

Gë (&C) 0111 la — ♦ le N/ Gë (#1) Gill 7a ye

Fei (/$:) 0 xa^ - ïeï 584

Fei 1vfk) < Jl ( c yaï \yei y V (Zhi c)

(Zhi ÜÏ 0 )

Y i n (&) Yan ' xat ïet le

TiSn

Yuân ( t v ) 0

Xian (I'd)) 0 xat xet xe

Xian ( ^ ) 0 Yuan ( t v ) c s/ _ Xian ( # ) c yat ÿet ÿe

Xian (&) c

The modern Mandarin correspondents of Zhi ( ) C; y a X and Zhî (4s ) C: ÿax are not ((uax)) but ((üax)). There­ fore, if Rule I5i did not apply before Rule 16i, the follow­ ing expensive constraint has to be set up for Rule 16i;

if; (Ï) # yV where:

C must not be the descendants of Ancient retroflex

sibilants.

After the above rule, Rule 15ii should apply, so that:

Yu (Æ ) y -* u

F^i ) 0 lei -* el 585

Zhx ( ^ ) O Ï 9 Ï ax Zhi ) 0

Wei (#jl) 0 ï a ï ax

Y6u ( ^ ) —» 9 u

XU U

Y:n (jgL) x a n a n ( Fan KL ) V Yuân ( ^ ) 0 x a n a n

Yin (A)L) x a n a n

Dons ( -I- ) III yi) u g Zhons ('%! ) The second step of the change of the Yâng (P^>) 0

and the Jiang ('i ) finals mentioned above should be

applied here;

Rule 17

0 -* u if: retroflex _____ ag

In connection with the above change, we should men­

tion the sporadic loss of the palatalization feature of

the medial -y- which took place only if the finals once

had a grave vowel and a grave ending, for examples:

kuang — *6 yag^ jf- l6 ng — *lIog^

gong - *klug^

Apparently, the same change did not systematically take

place with finals which originally had the entering-tone.

jué - *kyag^ 586

/ \ liù - aiïogf & Consequently, it is probable that when the change took place, the ending of these finals with the entering- tone had already disappeared, so that the rule applied only to those with back (grave) nasal endings. Also, since the" same change did not take place with finals with nontense compact vowels, probably in those dialects where the change under consideration took place the Ancient * a once became not only grave but also flat, so that what exactly con­ ditioned the change was the flat main vowel ([o], [o] ,

[u] or [y]) and the back ending [g ] . Thus Rule 15ii can be revised as follows;

labiodental ____

V u inonsharp labial _ U

r rounded vowell g ,

Now, Rule 10 can be applied to those finals with compact vowel:

Rule lOii

0 - X if: Cj a

Thus : ) Oil (j)a ïa Jia (i2 . ) 0

Guai ( - k ) 0

Jie ( ^ ) 0 (j)aï ïaï

(Jia fà 0) 587

>*✓ Yâo ) (j)aü - lau

Xlin (f&T) (j)an - xan Xian ( )

Shân (-/î/1'] ) O (j)an -* ïan Shân ( lI) ) O

Jiâng ('JL ) (j)aij la 9 (j)aü -» xau

Gêng (/H ) 011 (j)ag xsg (j)ag -* ïag

Geng (j)aï -* ïaï:

The contrast between ((yg)) (from *xug and *xog) and

((y9g)) (from *yeg, *yajx and *ysji) has been lost by this time. Consequently, both ((ug)) and ((yg)) obtained the main vowel ((a)), and both ((u)) and ((y)) became glides:

Rule 18 0 - * 8 if: y g

Thus :

Dong ( ^ ) 111 ' yg yag Zhong (%K.)

Rule 6 ii may be generalized in order to change ((y)) into ((y)). However, this rule as well as the rule

for predicting the [-sono] of these glides belong rather

to the domain of phonological redundancy rules.

By Rule ISii, the medial T»x- after nonpalatalized

labials was lost. The same loss of the medial -Y- ("de- 588 palatalization") occurred after retroflex initials; for example;

The Zhî ( % ) 0:

Ancient Chinese Mandarin

p i e i P90. tfïsï^ tg%4

However, when the final is preceded by a labial, "depala­ talization" took place before the change of the final -- so

Mandarin correspondents have the final ((aï)) — , whereas in the case where the final is preceded by palatal initials

(originally sharp, but which later became nonsharp) "de­ palatalization" took place after the final had changed

(thus the corresponding Mandarin final is phonetically

[i], phonologically zero). So it must be assumed that depalatalization after labials and after retroflexes occurred at different times, and the order of these two changes is as follows :

Anc. Chin. Mandarin

V V V V _v V/ V px£x — pxax -* pax -* pax -» pax

pjxsx -* pjlax -* pjxax - pji -* p(j)i

tjxSx t|x3x -» tgïax -* tgi -* tg%

After the medial -x- was lost after nonsharp labials, compact, nontense vowels and nondiffuse, noncompact vowels were assimilated to diffuse vowels when they occurred be­ tween diffuse glides or between diffuse glides and [t^ or

[k]. 589

' ï _ l - 0 if;

(y 1 __ ^ Thus ;

let [îiî] ^ 1

Qf ( W ) 0 Zhî ( t ) 0

Zhî ( ^ ) îaï [ïiï] Zhî (/la ) 0

wéi (i&l) 0

F&l C4 & ) c V V JÎ ( % ) c yei [ÿiï] - ui Qf c Zhî ( i- ) c

Zhî ( ) C yaî [yi%] -* ui Wéi (Si.) c

QÏn(f'l) 1

Y in (/üi) îat [îit] — it -*

Zhen ( O) ^

Wén ( iC ) V _ yat [ÿyt] ^ yt - Zhên ( ^ ) C

■VÎ’ Zhêng ( ) 0

Ging (/K ) OlIIt îak [ïik] ik -* QÎng ( i f ) 0

Qîng ( f ) 0 590

Zhêng ( ^ ) C

Gêng ( / f i ) c m > yak [ÿyk] yk -» QÎng ( ' } ] ) C

Qing ( f,j ) C

However, the rule just mentioned has to be split into two parts. Apparently, the first part of it took place before the depalatalization conditioned by retroflex ini­ tials :

Rule 19 i

Thus :

Zhi (A. ) 0

Zhi ( % ) 0 X3X [ Ï 1 Ï ] - i Zhi ( ^ )

Wéi ( # X ) 0

The resulting succession of -i- glides and [i] constituted a single vowel [i].

The distinction between nondiffuse, noncompact vowels and nontense, compact vowels was lost at this point:

Rule 20i

i:

Thus :

Ge ( é ] X ) C l \ie ua

Ge (UK) 0 1 e 591 IL,"' Gê ) O U I le la n i ( / ^ ) III V Gê ( 0 1 ) cm ye ya Fèi (/& ) 0 ïeï lal Jl 0 ei 81 Qf 0

Qf (à^^) C V V Fèi (/#:) G yei jI ( c

T â n ( K )

T4n (J^)

Yân )

Yân ( ^ ) le la

Tiân ( " ^ )

Xiân ( {il) ) C

Xiân (!%j) C ye ya

Yuân ( ^ ) G

Hân ( ' 0 ) G ue ua

Hân ( !K) 0

Yuan ( ^ ) 0

Xiân ( {d o 0 le la

Xiân (^ti) 0

Tâng C/l' ) G \y T&ng ( /% ) 0 ue Î18

Jiâng i ' y ^ ) 592

Tdng (/% ) 0

Jiâng ('i-)

Y£ng ( î% ) 0

Jiâng ( ) ÿe ÿa

Yâng ( ¥ ^ j ) C

After Rule 20i, Rules 15 and 16 apply again with a generalized constraint:

Rule 15iii

Ï - 0

ÿ u if: retroflex

y -* u

Rule 16ii

C t '1 -* 0 if: [retroflexj[a]

, k ] Thus :

Yis ( k s ) u YÙ ( ^ )

Y<5u ( ^ ) Ï3Ü 9 Ü You ( # / ) v_ Qin i9n {?]

Zhên ( ) 0 Ian \T]

V Zhên ( ^ ) G yan ilri Zhêng ( ^ ) 0 ii'> i Dông ( ^ ) III 1 ^ 4 593

Although in general modern Mandarin does not preserve any clear trace of the Ancient distinction retroflex ("non­ palatalized" palatal) versus palatal ("palatalized" pala­ tal), there is still evidence in this dialect suggesting this Ancient distinction. At least in three finals, the

Qin ( the Zhen ) 0 and the Zhêng ( ^ ) 0 finals, the loss of the medial -Y- and the depalatalization of -3r- took place before the coalescence of retroflexes and pala­ tals and before the loss of main vowels in these finals when they co-occurred with the descendants of the Ancient retroflex initials and the entering-tone. In case they co-occur with a non-entering-tone, those finals originally with the Ancient retroflex initials and those with the

Ancient palatal initials became identical in modern Man­ darin:

Ancient Chinese modern Mandarin

V 1 Qin d ' k ) : giem sen

j i E r n ^ shen

Zhên 0): tgien^ zhên zhên & tJiEn^ shêng Zheng (,:^\0) : f L giegl shêng 4 whereas if they co-occur with the entering-tone, there is consistent difference between these two groups of finals;

Ancient Chinese modern Mandarin

Qin (f'^) : sê 594

jïgm^ shî

Zhên ( 0) ^ 0) ; ^ sè

^ ^ïen^ shî

Zhêng 0) ; gïeg^ \ sê

l À {ïeg shî

The simplest explanation for this difference can be made in terms of the order of the change rules : before the change of vowels, if a syllable co-occurred with non-entering-tone the palatal initial coalesced with the retroflex initial and the final underwent depalatalization:

Anc. Chin. Mandarin

4 - gxsm^ -* gan^ ------* sên Jigm^ -* gîtm^ - gan^ - gan^ ---> shên - ■ t \ * gÏ2 m^ - gan^ - gan^ - se

|ïem^ -* 1 îem^ -* - jin^ shî

Those syllables originally with palatal initials and the entering-tone underwent the same change after the change of their finals.

This different order of the change of finals condition­ ed by the distinction of Ancient Chinese initials, did not take place with other finals with the medial -I- and a non­ tense vowel such as Y 6 u ( "^ ), You (\il^/), Gêng i M - ) 0111,

Qîng ( ' 1 ^ ) 0, Qîng (4^ ) 0, etc., only because they neither 19 co-occur with retroflex initials nor with the entering-tone.

By rules 15iii and 16ii the split of the following finals is also automatically described. 595

^ chû (form *t|'y€n^) but ^ shuo (from *gyen^)

shu (from *jiug^) but suo (from *glug^)

Another special change also occurred. Before apply­ ing Rule 15iii, three sets of affricates and fricatives were distinct before a vowel ((i)):

1 ) tgi, tg'i, gi

2 ) t{i, tj'i, |i

3) tsi,ts'i, si

This distinction reflects the Ancient distinction of chY- shàng-yîn versus zhbng-ch^-yln versus chi-tdu-yln. Now, by Rule I5iii, the retroflex series no longer occurred before ((i)). Next, before the palatal series coalesced with the retroflex series, the vowel of the dental sibilant series coalesced with that of the retroflex series by dissimilation. Thus the former three-way distinction due to the features of the initial consonants before the vowel

((i)) now constitutes the following opposition:

t ji t|i

tsi - tsÿ

A revision of Rule 15iii will cover this change as follows:

i retroflex V y U if; dental sibilant ___ # y ■* u

Now, returning to the rule for the loss of the main 596 vowels ((a)) and ((e)), the rule applies with a new con­

straint, namely:

Rule I9ii

r V r X 1 ' t if: lyJ k u ___ t

The resulting succession of the glide -y- and the vowel

[ij became [ui] (ÿi -• ui -► ui) by dissimilation between

two high vowels (diffuse, nongrave vowels).

Now, since the correspondents of the Ancient finals

Qin ( & ) , Yin (#^), Zhen ( ^ ^ 0), W4n ( jC), Zhên (^

C), Zhêng (%\ 0), Gêng (y^OIII), QÎng (:$ 0), QÏng ( ^ O),

Zhêng ( C), Gêng (/^ GUI), Qing ( C) and Qing ( ^ C) in modern Mandarin always (at least on the phonological

level) have a nontense, nondiffuse main vowel when they cazrry non-entering-tone, it would be more reasonable to assume that the loss of the nondiffuse, non tense vowels took place only in the following environments:

V. r 1 ' t if: y k ( u ___ t However, the phonological rule under consideration can simply be regarded as a phonetic specification rule of that time, just as nowadays in Mandarin, there are phonet­ ically such finals as :

in 597

u®n

Oij

y%n

yor) where scarcely any trace of the main vowel ((a)) is found as an acoustic event; nevertheless, it is undoubtedly sug­ gested by various evidence that a nondiffuse, nontense 20 main vowel can be set up for them on the phonological

level. And, since the nontense main vowel was lost on the phonetic level by the phonetic specification rule under consideration, the final had to remain as [i] or [y] when the ending was lost (as in the case of the Qin l'3<^ through the Qing C finals listed above). On the other hand, if the ending segment is preserved, the final could be interpreted as with a nontense main vowel, even though the vowel did not exist on the phonetic level.

Here is a typical example of sound change conditioned not by the difference of phonological environment, but by the 21 difference of phonetic realization.

There are some problems concerning the chronological order of the assimilation of nondiffuse, nontense vowels to the preceding and following diffuse sounds just dis­ cussed, with respect to some other changes. As was already 22 pointed out by L. W^ng, in modern Mandarin the syllabic dental (frictionless ) [y] occurs as the corre- 598 spondent of the Ancient finals Zhi ( ^ ) 0, Zhi ) 0 and Zhi ( -^ ) preceded by the Ancient dental sibilants; whereas not [:p] but [i] occurs as the correspondent of the finals Jl ) 0 and q £ (^|" ) 0 even though the finals occurred after dental sibilants in Ancient Chinese. On the other hand, the syllabic retroflex (frictionless con­ tinuant) in modern Mandarin occurs not only as the descendant of the Ancient finals Zhî ) 0, Zhi ( ^ 0 ) O and Zhi ( ^ ) preceded by retroflex initials, but also as the descendant of the Ji (^ ) O as well as of a series of finals originally with the entering-tone, such as the QÎn

the Zhên 0), etc. with Ancient retroflex or palatal initials.

From the above facts, the following conclusion may be drawn:

1) C(®)) from Ancient nontense vowels first underwent

assimilation only in the environment ï ____ Ï; this is

formulated as Rule 19i.

2) After that a set of finals with nontense vowels underwent "depalatalization," as formulated in Rule ISiii.

3) ((i)) yielded by Rule 19i underwent dissimilation,

as formulated in Rule 15iii, which applies to those in­

stances of ((i)) preceded by dental sibilants.

4) Now both ((a)) and ((e)) underwent assimilation in

general, as formulated in Rule 19ii.

3) By the time of the descendants of Ancient *îaî. 599

*iai and *eï were depalatalized, the descendants of those finals which originally carried the entering-tone and which later turned out to be syllabic retroflex (frictionless continuant) in modern Mandarin, had already coalesced with the descendants of the Ancient finals Zhi (^ ) O,

Zhi (/îg ) 0, etc, as well as jI 0, Also by this time, the two Ancient series of palatal initials — retroflexes

(nonsharp or "nonpalatalized" palatals) and palatals (sharp or "palatalized" palatals) — had completely coalesced.

At this point, the entering-tone endings were all lost, and there appeared the following finals without any consonantal ending:

Rule I6 iii

t - 0 k

Tin ( f X ) a

Tin (^^ ) a

Xiin (iff) a, la

Xiin (vWl) a, la

Yin (Fin) (0C_ ^ ) a

Qin ( f & ) i, a

Hin ( % ) 0 a

Shin (#] ) 0 a, la

Shin ( lU ) 0 a, la

Shin (*] ) C \ia 600

Shân ) C 6a Hén 9

Hun ) u

Yln C#<1) i

Wén ( iC ) y» u Zhên 0 ) i, 9

Zhên l< ) 0 y Deng & ) 0 9 Dêng c f ua

Zhêng ( ^ ) 0 i, 9 Zhêng (;#;) G y Geng / Ü ) 011 9 •

Gêng /11) c il U9 Gêng # ) 0 a

Gêng # ) c ua Gêng / K ) 0111 i Gêng /^ ) c m (?) Qing ''n ) G i Qîng 'lA )\ f, C y QÏng ) 0 i _ > X ^ Qing W ) c y DÔng I u DÔng u Dông $.') III y, u Zhông (#) y, n 601

Rule 15 again applies to those finals with high front vowels which are now preceded by retroflex initials which were originally "palatalized" palatals:

Rule 15iv

^ - 0 1 ' if: retroflex ____ y -* Ü y - u ;

O T " ) III ia a Yd ( & ) y u Yd ( / È ) y u

Jl ) 0 i 0

Zhi 0 i «*e 0

Zhi ) 0 i 0

Zhi (:%_) 0 i 0

Xiao ) lau au

Y<5u ( - f u ) lau au

Y i n xan an

q Ih (i'&.) lan e n

i 0

Xiân ('lih ) 0 lan an

xa d

V Xiân ( i i k ) yan uan

1 ÿa da

Zhen ( ^ ) 0 lan an

.i 0 602

\J Zhenen ) yan u9n

y u Yâng ( ) 0 lag ag

ya ua

Jiâng ) ua Zhêng ( ) O lag 9 9

i 0 V Qing ) 0 lag ag

i 0

Dông ( !^i ) III y a g uag y u

Zhông ) yag Üag

y u One of the puzzles of the phonological change of

Chinese from the Ancient period through modern Mandarin is that in case the syllables carry non-entering-tone, the descendants of the Ancient final Yâng (5^ ) 0 obtained the hê-kôu medial -^- only when preceded by the descendants of Ancient retroflex sibilant initials: A Zhang from

f zhang from ^tjlag^ ràng from *plag^ but: zhuâng from *tgïag^ é chuâng from *tp’Iag^ chuâng from * d ^ a g ^

shuâng from 603

On the other hand, in case the syllables carry the enter­ ing- tone, the descendants obtained the hë-kou medial -u- not only when preceded by the descendants of Ancient retro­ flex sibilant initials but also by the descendants of An­ cient palatal initials: k zhud from 4 zhu6 from *tj

ru6 from *pxarj^

zhu6 from *tgïag^

By ordering the change rules (such that Rule 9 applies first and changes the finals with the entering-tone, after that Rule 15 eliminates the medial -Ï- of, among others, the Yâng 0 final with non-entering-tone only when it occurs after retroflex initials, and finally Rules 17 and

15iv apply), this result can be described without adding extra rules.

There remains one more change to be discussed here;

that is, the rather recent change due to a kind of dis­

similation of the pre-vocalic glide -x- and the post­ vocalic glide - X . The change is one of the few changes

that contemporary people could observe by themselves.

Pekinese speakers b o m around the end of the Qing dynasty often pronounce as y6 i, whereas the great majority of the younger generation pronounce it as yâ. This is the last trace of the possible former form ((ïaï)) of the descendants of the Gu^i ) 0, the Jie ) 0 and the 604

Jiâ ( i Ê . ) 0 finals with velar or guttural initial. The tense vowel changed into nontense between two glides -Ï-, and afterwards, due to the identity of the two glides, the second one is dropped:

Rule 21

a a if; Ï ____ X

Ï - 0 if : Ï 3 ___

Thus:

Guai ( ^ ) 0 xaï — X d

Jie ( ^ ) 0 ^ax -* ^

Jiâ ) 0 xax -* x0

Gêng ) 0 ïaï -* ïa

In those layers where the finals under consideration did not undergo the said change, the ending -Ï was simply lost because of dissimilation.

Rule 22

X -* 0 if: ïa .

Thus :

Jia ) 0 xax %a

Geng (/It. ) Oil X a i ■* ïa

This rule can be combined with Rule 21.

6.3.1.5 Changes of entering- tone endings

Finally, the different changes of finals due to the different rules applied to their ending consonants will be discussed. 605

There are two types of Mandarin correspondents for the following Ancient finals with the entering-tone;

Tang (/# ) O literary b6 , colloquial bio

Y4ng (P§) 0 " que, " qiâo

Jiang (' -i- ) A " juë, " jiao

The colloquial type has the ending -u, such as ((au)),

((ïau)); the literary type does not have any ending. There are two types of Mandarin correspondents for the following

Ancient finals with the entering-tone also:

l iteral dé, colloq uial déiDeng (31 ) 0 literal dé, colloquial déiDeng

Zheng ( ) 0 " se, " shki

Geng (/^ ) Oil ^ " b6 , " bii

Geng ($^) 0 ^ " mo, " mai

The colloquial has the ending -Ï, such as ((ax)), ((aï)); the literary type does not have any ending. The occurrence of these two types is so consistent that it cannot be due to accidental change. Also the occurrence of these two different types of finals as the correspondents of each of the Ancient Chinese prototypes listed above, is restrict­ ed to those originally with the entering-tone, so that the change must have taken place only with those with the entering-tone.

The most reasonable assumption would be to set up two different layers of Mandarin, in each of which different changes took place. In one layer, which is regarded as the literary layer, the change in question did not take 606 place with those finals with the entering-tone. Thus in this layer, there are parallel modern correspondents of those originally with the entering-tone and those origin­ ally with other tones: Deng (^1 ) 0 : 9'% ding # dl (liff ) Zhing (^s) 0 shing se/shi ( )

Geng ( /R) Oil /Isj ping ^ bS bSbl)

Geng (1-4)0 Q/q ming

In the other layer, apparently the colloquial layer, the change in question took place in those finals originally with the entering-tone. Thus the following pairs of finals are found with very different shape:

Deng ( S- ) 0 : dêng 4 dëi )

Zheng ( ) 0 : shêng h shüi (4 # è v )

Gêng (/K ) o n : péng bâi (^fl ^ )

Geng (1^ ) 0 : méng mki ( /) \ ^ )

Suppose modern Mandarin was originally a dialect with the system reflected in theco1 loquia1 layer, and later accept­ ed vocabulary items and (to a certain extent) grammatical rules from another dialect which had cultural prestige and which did not undergo the change under consideration. Then two different types of correspondents to the same Ancient prototypes can be explained.

Part of the motivation for setting up a palatal nasal ending in Ancient Chinese consists in the above assump­

tion. Although the underlying form of the ending is a 607 nasal, it is actualized as a homorganic stop when it occurs with the entering-tone. The great majority of modern

Chinese dialects lost this stop ending while most of them keep the nasal ending in some form (sometimes just as

the nasalization of the preceding vowels). Now, while

the palatal nasal and the velar nasal were distinctive

between, for example, the Geng ) Oil final and the

Jiang ) final:

Geng (/^) Oil *aji

Jiang ( ) *ag

only those with the entering-tone lost their consonantal

features :

+cons -cons +voic +voic -sono -sono -grav -grav -diff -diff -stri -stri { if: +cons -cons [-long] +voic +voic -sono -sono +grav +grav -diff -diff -shar -shar / They became nothing but the corresponding glides, such as:

ax

au

if the feature [-diff] is not counted. Since the scale of

diffuseness for vowels and glides on the one hand, and

for consonants on the other, is different, and since the

degree of narrowing in the vocal tract for these two con- 608 sonantal endings ("contact" according to Halle) is greater than that for the two glides mentioned above (constric- 24 tion), the feature [-diff] of these consonantal endings may be rewritten as [+diff] for these two glides.

Suppose, on the other hand, the change did not take place in the other dialect, which later constituted the

literary layer of Mandarin; and suppose later the palatal nasal coalesced with the velar nasal and the ending was lost when the syllable occurred with the entering-tone, there would be well-paired finals in the literary layer of Mandarin.

As mentioned in section 4.3.1.8, the different changes the Ancient finals under consideration underwent can never be explained by Karlgren's idea of velar nasals

(and stops) for all of these finals.

There remains one point to be clarified. That is: why do the colloquial layer type finals occur as the correspondents for the Ancient Deng (^~~) 0 final with the entering-tone, whereas a velar ending (not palatal ending) is assumed for these finals. The modern correspondents for the Ancient Geng (/^ ) Oil and Geng ( ^ ) 0 finals originally with the entering-tone in the colloquial layer regularly have the shape of ((aï)), whereas the modern correspondents for the Ancient Deng (^~) 0 finals are

((aï)). The difference between the main vowels of the modern correspondents reflects the Ancient difference of 609 vowels; Gêng (/^) Oil and Geng ) 0 with tense vowel, and Deng ) 0 with nontense vowel. The reason that the descendants of the Ancient Dêng ( ^ ) 0 final with the entering-tone have -x ending is that after the dis­ tinction grave versus nongrave of vowels and ending con­ sonants was lost (Rule 13), the ending of the finals of the Dàng-Jiang, the Zeng and the G^ng rime groups became nondiffuse, but could be either grave or nongrave.

Now, since the main vowel of the nontense group was often actualized as less low and less farther back in comparison with those of the tense group, there appeared a new balance in the distribution of phonetic features; namely:

If the main vowel of the finals under consideration

is higher, and farther front, the nondiffuse ending is also farther front, for example: [gji] or [ec];

If the main vowel of the finals is lower and farther

back, the nondiffuse ending is also farther back, for

example: [ag] or [ok].

Under this situation the descendants of the above mentioned

finals with the entering-tone lost the ending; whereas

those with a non-entering-tone kept the ending as ((g )),

Thus in the vocabulary of the colloquial layer, the

descendants of the Ancient finals under consideration

have either the ending -Ï or -u, if they were originally

with the entering-tone. 610 ■f d^i te' bâi ^ mki b^o qiâo |^ jiâo whereas they have the same ending ((g)) regardless of their Ancient origin, if they were originally with a non­ entering- tone :

dêng péng ^ méng

^ bang ^ qiâng jiâng

The different changes of the endings of finals of the

G^ng and the Zeng rime groups with the entering-tone and non-entering-tone, can be described in terms of one zrule

(reformulation of Rule 9):

Rule 9i r+consl# [ 1 ■* [ttgrav] if : L-diffJ

[along]

The modern correspondent of the Zheng ( ) 0 final with the entering-tone and - 1 ending, sh^i ( 6 ), is

apparently exceptional. However, since the medial -x- was lost quite early when preceded by retroflex initials,

the present case could be treated in the same way as that

of the Deng ('^ ) 0 final. The difference between this

exceptional form and the possible regular form ((gaY))

consists in only one feature, tenseness, the former be­

ing exceptionally tense, the latter nontense. Since the

difference involves only one feature, the type of irregular

correspondence may not be very unnatural. The reason

that the change yielding an - 1 ending in the colloquial 611 layer took place with the Zheng ( ) 0 final whereas the same did not take place with the Gêng ( /^) OIII or

Qing (/M ) 0 final, is because the latter two finals did not occur after retroflex initials.

In conclusion, the following two different changes in the literary and the colloquial layers are assumed:

i) In the ancestor dialect of the Mandarin literary

layer, the entering-tone endings of the finals treated in Rule 9 merged; the resulting ending might have been a glottal stop as nowadays found in many of the Shan-xi 25 dialects, which appeared as the result of the following changes :

Rule 9

ii) (P)' flabial' -* k if : 1 velar t

This is apparently the assimilation of ending con­ sonants to the initial consonant and the main vowel of the syllable.

iii) k - Î if:a ___

iv) C(&) ___ # a o if :

2) On the other hand, in the ancestor dialect of the Mandarin colloquial layer, the endings were not assimilated nor dissimilated; instead, they were "vocal­ ized . " 612

Rule 9 (v)

a) k - g if : [vowel] ___ c - }

b) g - u

} - Ï With the above assumption, further insight into the change can be obtained. Namely, it is now apparent why the -X ending appeared in the descendants of the Gêng

( ) Oil and the Geng ( ) 0 finals, but not in those of the Geng (/^ ) OIII, the QÏng ) 0 and the Qing

( ^ ) 0 finals; and why in the case of the finals of the

Zeng rime group, the ending appears not only in Divi­ sion I Finals but also in Single Division III/IV Finals, though exceptionally. The -Ï ending might actually have appeared in the descendants of the Gêng ) OIII, the

Qxng ^ ) 0 and the Qxng ( ) 0 finals. However, these finals all have the medial -x-; the main vowels of these finals are assimilated to the medial and the ending and nowadays ((i)) occurs as the descendant of these finals.

Or, since there was the medial -1-, the application of

Rule 9 (v) might have been avoided. In favor of this assumption, in cases where the medial -ï- was lost very early, as in the Zhêng ( , ^ ) 0 final after retroflex initials, there was actually an instance with the -Ï ending, even though it is exceptional. 613

In the case of the Geng ) II and the Geng ) rimes, the descendants with the main vowel ((a)), which are regarded as belonging to the ancestor dialect of the

Mandarin colloquial layer, are usually restricted to those finals originally with the entering-tone. Very sporadical­ ly however, a trace of the descendants with the main vowel

((a)) originally with the non-entering-tone can be recog­ nized:

t ming from * m ^ ^ bang from

xih may be from xxaY - x(j)aY «- *xap^ (just

as;#_ Î is from [^)YaY) % jiémay be from kïal - k(j)a^ - (just as jiê is from kiax)

^ kulng is doubtful (as the regular descendant:

kuaji -» kua^ by Rule 13)

hua or huâ is also doubtful: xdaji^ x^aY xua(?)

Though some of the examples are doutful, on the whole they clearly point to the existence of an ancestor dia­

lect, where finals with both the entering-tone and non- entering- tones retained the old tense main vowel.

6,3.2 The simplest formulation of change rules The change rules discussed informally above are

formulated into rules in terms of distinctive features. 614

Rule 1

-cons 0 _ r-cons-1 I— grav J if: +sono +comp -tens

Rule 2 '

-cons r —dif f-j if: +comp L-grav L+gravJ [+shar] [ ] -cons if: ___ ([+grav]) -diff -comp -gravj

In terms of distinctive feature analysis. Rule 3 is reformulated as follows :

Rule 3

-diff [ ] ■* [-flat] if: +grav _+shar.

By this rule both the change of ((u)) and of ((y)) is described. When the segment in question is ((u)), the result of the application of the above rule will be —

-cons -sono +dif f +grav -flat

This segment will later be erased from the morphophonemic

representation of morphemes by Rule 23, The implication

of the solution will be discussed later.

Rule 4

+cons [ ] - [-cens] if! -diff L-gravj 615

Rule 5

i) +cons -diff r - grav-, +comp r- cons'] -grav L+f lat-J l_-gravj flat-* -shar

[ ] -* [+cens] If : r— 1 ([+grav]) +comp (j L-gravJ I[-grav] [+cons]

+gravj

ii)

— — '[fdiff]) |--cons-| if: y[+grav] +comp L-gravJ [-grav]] _+gray

For the ancestor of Mandarin the constraint of Rule

5 should be simplified so that from the structural analy­

sis :

([fdiff]) )# ([-grav]

[-grav] should be erased (see the discussion on Rule 3 in

section 6 .3.1.1). But for the ancestor of the literary

layer of Mandarin, we need the following rule;

-diff. -cons'] |[+diff] +comp (j )# [+grZv] ^ .-gravJ [[+grav]

Rule 6

i) "^cons -cons +sono +sono +comp if: ___ +diff +tens +grav •t-grav 616

[-diff] -cons or if: p+cons-, ([ ] ) _ +sono +diff L-gravJ +grav

ii) [ ] -

Rule 7

-cons [ ] -* [-diff] if; +sono -comp +grav

Rule 8 +cons* [ ] “• [+grav] if : r+compl +grav L+tensJ L-diff

Rule 9i

[ ] ■* [agrav] if : f e l l # [a long]]

Rule 9ii

a) +comp [ ] -* [+grav] if : [+grav] +tens [•+cons ^ L+gravJ [-long]

The specification of the feature [+diff] of the last segment in the constraint is not necessary, because the palatal ending does not occur after the given vowel,

b) +comp [ ] - [-diff] if: [+grav] +tens ^+cons^ L+gravJ [-long] 617

a) and b) of the above rule may be combined into one:

[+grav] 1 +comp~] r 1 [ ]- I if: [+grav] +tens *"+cons-’ [-diff]j L+gravJ [-long]

Rule 9iii

+comp [ ] [-cons] if: •♦■tens Lj-grav. [-long]

Rule 9 iv

-cons! [ ] -* [-comp] if : +tens -sono _+grav L-diffJ

The vowel thus generated may have had the feature flatness which did not play any role in distinguishing phonological segments but which conditioned later changes.

The said feature should be specified by a phonetic speci­ fication rule.

In the ancestor of the colloquial layer of Mandarin:

Rule 9v

-cons' J [ ] - +diff if: +voic [-long]

The above rule is an abbreviation of what actually happened, so that three features have to be switched.

Probably what had happened might be:

First, before the two consonantal endings lost their

consonantal feature, a glide occurred between them and

the preceding vowel; next, the endings were lost (V

stands for the main vowel):

Vk -* Vg -* V^g -• Vug -* VÜ 618

Vc - VJ - V-^î VÏJ -* Vi

Rule 10i

-cons -cons 0 -sonoIf: [+shar]_([;°°“ ]) +sono -grav -comp -flat _-diff_

The feature specification [+shar] in the constraint is necessary, otherwise such final as ((Üok)) will also be covered by the above rule.

Rule 11

i) -cons C ] "* [+flat] if; -compn +f lat

Apparently, the change is conditioned by the feature

[+flat] of the following segment, though the feature does not play any role in distinguishing sounds on the phono­

logical level. And this rule may be a very general phonetic specification rule,

ii) -cons [ ] -* [-grav] if: -sono [ ] Lr gravj +dif f

iii) -cons -sono -grav - 0 if: _ +f lat

In the general coalescence of grave and nongrave segments, if the segment in question is a nondiffuse, noncompact vowel, more than one feature has to be switched

(Rule 12). However, if sound change seldom involves the switching of more than one feature, given enough detail of the change, deeper insight into the change may be obtained. 619

Suppose the change was actually a set of rules switching only one feature at a time as follows:

Rule a)

[ ] -* [+flat] if: +cons [+flat] -grav

This rule could be a very general phonetic specifi­ cation rule.

After the above rule --

Rule b) (Rule 12)

-cons -cons -sono +sono +grav if: [+flat] ___ +f lat +diff -diff ^comp

Rule a) and b) do not apply to those segments with the feature [+grav], because it is universally observed that the feature [+grav] is often complementary with the feature [+flat]. Rule b) mentioned above should be Rule 12. The overall coalescence of grave, nondiffuse vowels with the corresponding nongrave vowels took place after the above process.

Rule 13

[agrav] - 0 if: -cons -diffI One of the advantages of the distinctive feature system is both consonantal segments and nonconsonantal segments can be referred to by means of the same feature. Appar- 620 ently, this should be taken advantage of in describing the change of consonantal endings by the above rule.

The coalescence of ((m)) and ((n)), and ((^)) and ((ji)) is at once the loss of the contrast between grave segments and the corresponding nongrave segments. Thus Rule 13 should be —

-cons [agrav] "• 0 if; L-diffJ ,

^+cons^ ^ Rule 14

r+cons1 L+diffJ [ ] - [+comp] if: -cons" -sono _+grav-

Rule 15

i) +cons‘ -cons] [ ] -* [+grav] if: -diff [+diff] +sono -gray. _+compJ

Concerning the resulting segment --

-cons -sono +diff +grav -flat see the later discussion.

Rule 16

ia) [ ] - C-comp] if! [ : g % ] -cons ([-grav])# _-diffJ

lb) 621

Rule 15ii

+cons +dlff •♦•grav +stri +diff- -shar

[ ] -* [•‘•gravj if : J +diffl

-cons tdiff V. Rule 17

-cons +cons -sono If: -diff .[+comp] [ % ^ ] +grav -grav +dlff -shar

Rule 1011

-cons “-cons" - -sono If : [•‘■shar] ___ +sono -grav _+comp_ -flat

Rule 18

-cons -cons” +sono •‘■sono r+cons^ 0 - •‘•comp If: •‘•diff 1— diffJ -tens -grav _+f lat

Rule 611 Is applied to the output of Rule 18 here.

Rule 191

-cons “-cons” r-cons-i +sono - 0 If : -grav •‘•comp _-f lat L-grav^ -tens

The coalescence of nondiffuse, noncompact vowels with compact, nontense vowels. Is primarily the loss of the 622 distinctive role of the feature compactness in the vowel system of old Chinese:

Rule 20i

i) -cons +sono [-tens] -diff -comp

ii) [acomp] "• 0

Rule I5i is re-applied here with a more general constraint:

Rule 15iii

+cons -diff -grav —— -shar [ ] - [+grav] if: < r +cons +diff -grav +stri y Rule 16ib) is then applied and it deletes the ending consonants :

Rule 16ii

-cons C Z l l - 0 if! +sono -diff [-long] -tens

By Rule 3, the feature [+flat] of ((ü)) is changed into [-flat], and by Rule 15i-iii (later 15iv) the feature

[-grav] of ((Ï)), as well as ((y)), is changed into [+grav]; 623 both of these rules yielded the same segment given as

follows :

-cons -sono +diff +grav -flat

What kind of sound is this resulting segment? The strik­

ing fact is that this is exactly what is transcribed with

the combination of two hP'ags-pa characters, one for "h" and the other for "i" in Mongolian, and interpreted as

[&] in section 3*2.3.3:

Ancient Chinese hP'ags-pa Mandarin

d&hag ^zhuing *tpïat) ^1 [ * *tjiag ^Rule 15i < tjïag d&ag ■ ' zhing *tsïai) ,j tsiag dzjai} jiing Also this is exactly what is found as the syllabic vowel

[^] or [%] in modern Mandarin:

Ancient Chinese Sino-Korean hP'ags-pa Mandarin

& *tsïa tsi 1 dzhi zl

*gÏ3 si Shi shl

ts *uii , < d&hi zi 15iii d&i zhl £ tsi si tSffi shl

*t(%9 tsi ; ^d%i zhi

This is the very sound predictable in modern Mandarin and need not be specified in the morphemes on the morpho- 26 phonemic level. In Mandarin, no consonants other than 624

11^ Il IIc," "s," "zh," "ch," "sh" and "r" can occur without a vowel, and the said sound can occur after no other con­

sonants than these seven. Thus the following rule cor­

rectly inserts the,correct sound:

-cons -sono +diff if: C +grav -flat

Consequently, Rule 17 should be the assimilation of

this [t] to the preceding flat sound (retroflex initial):

-cons [ ] [+flat] if: [+flat] -sono +diff +grav

As for the change of the Jiâng C ' i ) final, this [&]

should be inserted between this final and the preceding

retroflex initial before Rule 17 applies. Reflecting

this assumed order, the hP*ags-pa transcription gives a

"w" medial to those instances of the Jiâng (:^-) final

occurring after retroflex initials, but "hi" to those

instances of the Yang ( ) 0 final occurring after

retroflex initials.

Those [&] that do not undergo Rule 17 should be

deleted from the morphophonemic presentation (Rule 23).

However, on the phonetic level, the sound undoubtedly

exists before a syllable boundary. 625

Rule I9ii (Phonetic specification rule)

a) -cons r-cons-i r-cons-j +sono L-gravJ L-gravJ — +comp - 0 if: [+cons]. -tens p-cons-| -+consm ( L+gravJ — — --grav-l l_-longJ

b) [ ] - [+grav] if: -cons -cons- grav- -sono c: +diff

Rule 16iii

[+cons] — 0 if ]_-longJ

Rule 15iv

+cons [ ] - [+grav] if: -diff [' +diff ] L+grav_

The first half of Rule 21 is the re-application of

Rule 16i. The output will undergo the following rule:

Ryle 21

-cons”! r-cons. 0 if: •“-erav-igrav

Actually this is also exactly what is set up as Rule 22 earlier. To the output of Rule 21, Rule 20 is re-applied.

Rule 20ii

i) -cons +sono — * [-tens] -diff -comp

ii) [-comp] 0 626

Rule 23

-cons -sono +dif f +grav -flat

6.3.3 Tibetan transcription

In general it could be said that the Chinese dia­ lects reflected in the Tibetan transcription represent the stage of change around Rule 13. We want to check here how Rules 1 through 13 applied in these dialects.

In the following discussion, the table of correspondence of the transcribed sounds to Ancient Chinese initials and finals, drawn in Chapter III will be constantly referred to.

Rule 1; The Jiâ ( f ^ ) rime coalesced in C exclusively with the Mâ II rime, whereas in K is seen the mix­ ture of the two types of dialects reflected in the differ­ ent degree of generalization of the constraint of Rule 1 given earlier. This is the evidence which testifies to the assumption of Rule 1.

Rule 2: It seems that the change had just begun, possibly with Division IV Finals first. With Division II

Finals, evidence showing the palatalization of the pre­ ceding consonants can be seen very sporadically, with the Jiâ (f^ ) 0 (in T) and the entering-tone counterpart of the Jiâng ('ZC ) (in C, K, 0 and OA) finals. It is not 627 sure that the transcription "ew" really means the pala- talization of the preceding consonants for the Hâo ( ) y and the Y5o ( ) finals. Since we find the transcrip­ tion "jej," "jaj" or "je" for the Qf ( % ) O final, "jen" for the Xian ( ^ ) 0 and "jeg" for the Qing ( ^ ) 0 final only when they are preceded by guttural initials, the palatalization of initials before Division IV Finals may have begun, as in the case of Division II Finals, with the velar and guttural initials first. If it is the case, the change had stopped with Division II Finals at the first stage of the change only. Rule 2 can be reformulated such that in the first part only nondiffuse, grave con­ sonants were palatalized before nongrave vowels; and the palatalization of other initials before Division IV Finals is primarily a slight generalization of the constraint of the rule for the second stage.

Rule 3: Although very restricted, evidence for the

loss of the feature flatness is found with the Xian (^ )

C final in T.

Rule 4: The dialects under consideration exclusively underwent this change. This rule suggests that those

Chinese dialects reflected in the Tibetan transcription and Trigault's romanization share the same feature with respect to this change in contrast to those reflected in the hP'ags-pa transcription and the colloquial layer of modern Mandarin. In other words, modern Mandarin is 628 from two major sources with respect to this feature: one is of the type reflected in the Tibetan transcription and

Trigault's romanization, which constituted the literary layer, the other is of the type reflected in the ^ * a g s - pa transcription, which constitutes the colloquial layer of Mandarin.

Rule 5 : As in the case of the great majority of modem dialects, the dialects under consideration do not show any systematic evidence for the stage immediately preceding this rule. One interesting point is that not only the T^i ( ^ ) C but also the Hul (^ ) rime is tran­ scribed as "waj" in C. Possibly in other dialects, T through OA, these two finals were not distinct. This suggests that in these dialects under consideration

Rule 5 was very general, and both Hâi ) and Hul ) completely coalesced with TÀi (î^) 0 and Tiii C respectively. Namely, instead of —

X a - a if: c __ (m.

a -* 9 if : CÜ _____ 1

We simply have the following rule in C:

a -» a if: C(u) |

In this respect took m o d e m Mandarin again reveals itself

as a mixed type.

Rule 6 : This rule is not applied at all to those

finals preceded by labial initials. 629

Rule 7: It is somewhat difficult to tell what the transcription "o" intended to indicate. The usage of "o" for the m 6 ) final and "u" for the YtS ) final shows that "u" was actually intended for [y] or [ju], whereas "o" is just for a diffuse, grave vowel. This interpretation is supported also by the usage of the same

Tibetan characters "o" for D5ng (^ ) 1 and Dong ( ^ ) on the one hand and "u" for the Dong ( ) 111 and the

Zhong finals on the other (see also n. 105 of Chap­ ter IV).

Rule 8 : Since, the dialects in general show the stage of Rule 13, there is no evidence from these dialects for Rule 8 .

Elu le 9: Apparently we see the very beginning of the change of the vowel here. The Gë ( 1 ^ ) 1 and the Hin ( ^ ) rimes have not yet undergone this rule; the Tin ( ^ ) and the Tin rimes have just been exposed to the change of this rule in T; this is very reasonable, because there is no solid evidence for the loss of the entering-tone endings at this stage. Although the dialects have not yet lost any entering-tone endings, it is clear from the change of the preceding vowels that they typically repre­ sent the type of northern Chinese dialects which turned out to be the literary layer of modern Mandarin.

Rule lOi: Judging from the usage of the Tibetan 630 character for "j" in general the process described as

Rule 10 undoubtedly took place.

Rule II; As discussed in Chapter IV, a different change had occurred with the Yu (,'^v ) final in the dia= lects reflected in the Tibetan transcription, possibly the complete loss of the feature flatness of the main vowel, found nowadays in Hakka, etc.

Rules 12 and 13: Since the dialects reflected in the Tibetan transcription had hot yet completely under­ gone Rule 9, Rule 13 is less general than assumed earlier.

One point should be noticed: the loss of the contrast grave versus nongrave in the ending consonants had not taken place yet with respect to diffuse segments; only in the case of nondiffuse endings with the entering-tone the nongrave ending completely coalesced with the grave one. In this respect too, these dialects clearly pre­ sent themselves as belonging to the type of northern

Chinese dialects which later constituted the literary layer of Mandarin. As discussed in Chapter IV, in the case of nondiffuse consonantal endings, the Ancient nongrave versus grave distinction was in some form sys­ tematically preserved in these dialects, or at least a systematic trace of the Ancient distinction was preserved although the transcription by Tibetan characters was very possibly insufficient for transcribing the phonetic corre­ lates of the distinction or the trace of the distinction. 631

In this respect. Rule 13 was applied in these dialects to these endings with such a narrow restriction as:

+cons I if;X [_-diffJ [+long] and the change of diffuse endings was "postponed" to a later period.

Thus, although there are some discrepancies between the system abstractly assumed as the changed form of

Ancient Chinese and the system of Chinese dialects re­ flected in the Tibetan transcription, these discrepancies are generally accounted for by the suggested re-ordering of the change rules. The only discrepancy which cannot be explained by the rules is the distinction between the descendants of the Yd (/K ) and the Yd (,'^\) finals.

However, this distinction is> to be regarded rather as reflecting the Ancient distinction. So, with respect to this point, these dialects simply did not undergo any change at all.

6,3.4 hP'ags-pa transcription

If the dialects reflected in the Tibetan tran­ scription belong to the type of northern Chinese which later constituted the literary layer of modern Mandarin, the variant of Chinese on the basis of which the &P'ags- pa transcription was made clearly presents itself as 632 belonging to the other type, namely those which later turned out to be the source of the colloquial layer of modern Mandarin.

As already mentioned, the dialect reflected in the hP'ags-pa transcription is a regional rather than a chronological variant of those reflected in the Tibetan transcription. In the abstract scheme of sound change established above, the dialect is located shortly before

Rule 15iv.

The following are the contrastive characteristics of this dialect with those reflected in the Tibetan

transcription.

Rule 9 has already clearly applied to the Gê )

01 and the Gê (-^A) Cl finals, but, as correctly assumed

above, the descendants of these two finals have not yet

undergone Rule 13. The entering-tone counterpart of the

Tin and the Tin ( ^ ) finals is transcribed, though

only after velar initials, exactly as "o," and those of

the Hin (-^ ) 0 and the Hin ( ) C finals as "o" and "wo"

respectively. The entering-tone counterpart of the Ting

( % ) O* the Jiang (i^), the Ying 0, the Ding

0, the Zhing ( ^ ) O, the Gêng ) Oil and the Ging )

0 finals, typically shows that it belongs to the type of

dialect of the colloquial layer of Mandarin, all having

either -u or -Ï ending. Rule 11 applied and changed

the descendants of the Yd (/^ ) and the Yd ( )^n) finals 633 completely into the Mandarin type. Contrary to the dia­ lects of the Tibetan transcription, Tai ( ) C completely merged with Hul (//C ), not vice versa. In this respect, the dialect under consideration shows another extreme of coalescence in comparison with the situation in Mandarin,

The palatalization of the relevant preceding consonants before the descendants of the Ancient Division II and

Division IV Finals was complete. Rule 13 yielded in general the Mandarin type of distinction for consonantal ending, except the distinction between grave, diffuse and nongrave, diffuse nasals.

Now, new changes that took place in this dialect, include the following:

Rule 14: Although the Xiao ) final, the Xian ( Tw )

C final, the Tiân final after velar and guttural initial, and the X i a n ( ^ ) 0 final after velar and guttural initials still have nondiffuse, noncompact vowel, all other finals have already coalesced with those with com­ pact vowel.

Rule 13: As discussed in Chapter III, this dialect is the only one that shows any previous stage of the appearance of the medial -\j- after retroflex initials in the descendant of the Ydng 0 final. If the tran­ scription of "hi” represents a sound such as — 634

-cons -sono +diff tgrav -flat then what happened would not have been the same as earlier assumed in the informal discussion of Rules 15i and 17, but, as suggested in section 6.3.2, must have been —

Rule 15i

-cons -cons -sono -sono +diff +diff -grav +grav -flat -flat

After this, the output segment became flat by assimilation to the phonetic feature [+flat] of the retroflex initial and the probably flat main vowel of the final. Then

Rule 17 should be —

-diff C + C O m p - | p-ruwiio-j■+cons- [ ] -» [tflat] if: -grav +flat-l L-diffJ -shar +flat

The change of the ZhI (jL ) C and the ZhI ( ^ 6 ) C finals with retroflex initials clearly show that the same corre­ spondents in Mandarin are definitely not the result of any sporadic change.

Rule I6 i: The hP'ags-pa transcription completely confirms what is assumed in this rule, except for the descendants of Ge ( CIII which still retains the compact vowel. Apparently the same change took place with the descendants of the Fei ) and the j1 ( ) 635

rimes much earlier than others. In this respect, the ordering assumed above shows the latest limit of the change.

Rule 15ii: We see the complete application of this

rule, as well as of later rules such as 13iii, etc. One point should however be noticed. The descendants of

the F^i ( / j $ : ) 0, Zhl ( i . ) 0, ZhI (|§ ) 0 and Wéi 0

are transcribed just by the &P'ags-pa character for "i."

However, the existence of a nontense, nondiffuse vowel

preceding this "i" is implicit in the usage of the charac­

ter for "u" inserted between the initial consonant and

the character for "I." For example —

"bul” for

"bi" for ^ ^

In the case of the Chinese character Tfk , the transcrip­

tion is just "hi." However, there could be no confusion,

because there is no contrastive "hi" without the main

vowel "a."

Rule lOii: Since there is some systematic distinc­

tion between those finals from Ancient Division II and

those from Division III or Single Division III/IV Finals^

it is apparent that the change had not yet completed at

this stage. However, such difference of transcription as:

"ja" for ) o n

" e " for Md (yfr) 1 1 1

should not be taken as the case. In this pair, a further 636 change clearly occurred, namely the change of the main vowel following the coalescence of the medials.

Rule 18: There is no difference of transcription for those finals from the hë-k#u counterpart of the Zeng and the G^ng rime groups and those from the Tong rime group.

Rules 19i and 19ii: These two rules are applied except for Rule 19iib. The depalatalization of medials is blocked in case the initial consonant of a syllable is palatalized. This is why in the dialect systematic contrast (roughly speaking) is found between those sylla­ bles which occurred in the third Division and those in the fourth Division. Thus Rule 19iib is at this stage —

[-grav] -* [+grav] if: [-shar] F-sonol [[gî^v] L+diffJ Srav

Rule 20: Except for the "o" resulting from Change

Rule 9, there is no distinction between the descendants of the older nondiffuse, noncompact vowel and of the compact, nontense vowel. The different transcription of

"o" and "e" reflects not only the phonetic difference, but also phonological distinction. The two were not yet completely complementary.

Rule ISiii: Depalatalization took place primarily by means of Rule 15iii, and the distinction between those initials from Ancient retroflex and those from Ancient palatal is fairly well preserved. The descendants of the 637 finals under consideration with originally the entering- tone did not have the nontense, nondiffuse vowel yet.

However, this is due to the fact that the edition of

MGZY available nowadays lacks the part for finals with that vowel. Judging from the finals originally with non­ enter ing- tones, it is apparent that the dialect under­ went the change formulated by this rule.

Rules 16ii and 16iii: The hP'ags-pa transcription does not show any trace of the ending consonants of the entering-tone finals, though the entering-tone was apparent­ ly kept distinct from non-entering-tones. There is no positive evidence indicating^any phonologically signifi­ cant ending especially for the entering-tone finals.

Also the transcription does not provide, or cannot provide, any direct evidence for the fact that these rules under consideration were applied in the same chronological order as assumed.

In connection with Rules 16ii and 16iii, the rules and their ordering abstractly determined above exactly confirm what was assumed on entirely independent grounds.

Toodoo assumed that after Old Mandarin there were two types of northern Chinese dialects; in one type the entering-tone ending "changed" into glides "ï" and "u," in the other all the entering-tone endings became the glottal stop. In the former, the entëring-tone endings were lost very early, and the finals with the newly 638 appeared glide endings -ï and -u coalesced with those originally with -Ï or -\i, whereas in the latter, the glottal stop remained for a long time. Toodoo justified this argument on the chronological difference of the elimination of the entering-tone endings by means of the influence of these endings on the change of the tonal 27 system. A very important point is that in the abstract ordering of rules presented above, Rule 16i through 16iv had to be set up for those dialects which lost the entering- tone ending without leaving any trace; by means of these four rules later rules could be correctly arranged. On the other hand, the simplest ordering requires the ab­ sence of such rules for those dialects vdiich lost the entering-tone endings but which picked up the glide - 1 or -u in substitution for the former consonantal endings.

In short, the simplicity criterion of the change rules which clearly confirms what had assumed by Toodoo on an entirely independent basis, is in principle correct. It had to be assumed that the glottal stop ending remained for a long time; therefore in the successive rules 16i through 16iv they had to be erased so that the simplest description of the whole process of change can be formu­ lated. This successive erasure of the glottal stop ending cannot be an accidental coincidence.

In considering the changes which took place in the dialect reflected in the h?'ags-pa transcription, it is 639 clear that this dialect presents itself as one of the origins of Mandarin and thus the changes from an older stage to this dialect is closer to what has been deter­ mined abstractly than to the dialects reflected in the

Tibetan transcription.

6.3,5 Trigault's romanization

As mentioned above, the dialect reflected in Tri­ gault's romanization resembles rather the ones reflected in the Tibetan transcription, but the system is undoubted­ ly closer to modern Mandarin than the dialect reflected in the hf'ags-pa transcription. Thus Rules 9 and 13 applied even to the Gê ) rime and the distinction grave versus nongrave of diffuse consonantal endings was lost.

The changes which render the dialect in question closer to Mandarin than the dialect reflected in the hP'agS" pa transcription, include --

Rule 19ii: The dialect completely underwent this change.

Rule I5iv: The rule had just begun to apply. Thus, there was complete loss of the palatalization feature of the medials after the newly appeared retroflex initials and thus the complete coalescence of the old retroflexes and the retroflexes newly appeared in the descendants of the Ancient finals Dong ( ^ ) 111, Zhong ('^^), Yâo ), 640

Xiân ( i i l l ) C, etc. On the other hand, syllables origin­ ally with retroflex initial and those originally with palatal initial are still distinct in the descendants of the Ancient finals Yu ) , Yu (,'^%), Y6 u ( ^ ), etc.

In the descendants of the Ancient Xiân ({liv ) 0, Zhen (

^0), etc,, the medial is still present. It is ob­ vious that in this dialect the palatalization feature was first lost in case a rounded vowel followed the medial. Complete application of this rule yielded modern

Mandarin,

Rules 16iv and 21: Since the dialect belongs to the type of dialect of the literary layer of Mandarin, the descendants of the Gêng ) Oil final do not undergo the above rules at all. The descendants of the GuKi ( ^ )

0, the Jiê ( ^ 9 ) 0 and the Jia ) 0 finals are at the stage just before the application of these rules. Once again the complete application of this rule yielded modern Mandarin,

In short, the dialect(s) romanized by Trigault, at least one layer of the dialect(s), is the direct prede­ cessor of the literary layer of modern Mandarin, This can be shown by the fact that only three rules. Rule 15iv,

16iv and 2 1 , make up the systematic difference between the phonological system of the dialect reflected in Trigault's romanization (especially the layer closest to Mandarin) and modem Mandarin. CHAPTER VII

CONCLUSION

In this study, that which has been done in the field of Chinese historical phonology, especially the study of

Ancient Chinese, is first summarized, and three main unsatisfactory aspects of that work are pointed out.

In Chapter II the system of the sound classes of

Ancient Chinese is established; mainly it summarizes the achievements of our predecessors since the pre-modern period, but it also gives a thorough examination and discussion of these achievements.

In Chapter III three alphabetic transcriptions of old Chinese sounds chronologically scattered across rela­

tively even intervals are studied. As a result, what is exactly meant by these more or less obscure transcrip­ tions is established on the one hand, and how these sounds correspond to the sound classes of Ancient Chinese established in Chapter II is discussed on the other.

Both the Tibetan transcription and Trigault's romaniza­ tion are well studied and so their correspondence to the

Ancient system is simply summarized. However, in the study of the &P'ags-pa transcription, a creative study is

641 642 intended and various puzzling renderings in this unique transcription are solved. The exact sound value of each transcription is established and a thorough check is given to the detailed correspondence with the Ancient system. Several characteristic features of this tran­ scription and the dialect reflected therein give many hints for the reconstruction of the Ancient sound system and also shed much light on the sound changes from Ancient

Chinese through modern Mandarin, especially on the forma­ tion of the colloquial layer of modern Mandarin.

In Chapter IV a thorough study of the reconstruction of the Ancient Chinese phonological system is presented.

In the light of modern phonological theory, some new in­ sights are given for the various evidence and information

from historical as well as contemporary dialectal sources.

Also using certain new data found in the old transcrip­ tions studied in Chapter 111 as well as in modern dia­

lects, a fairly unique system of Ancient Chinese phonol­ ogy is arrived at. In this study, we show that the dis­

tinctive feature analysis, which has been applied to various natural languages of the world can not only very effectively apply to the study of Ancient Chinese phonol­ ogy, but also give much insight into the nature of the evidence itself, historical or modern (such as the various modern traces of the Ancient tense versus lax distinction of vowels which have hitherto remained as fragmentary 643 information about the Ancient distinction and have not been understood as representing the various concomitant features of a single systematic distinction) as well as into some traditional treatments of the pre-modern periods

(such as the treatment of the palatal initials by d&ng- yhn-xué phenologists, the implication of which has hither­ to been very poorly understood).

In this concluding chapter, the discussion and the resulting rules of the last two chapters will be summarized and various conclusions made in this study will be clari­ fied.

7.1 Phonological system of Ancient Chinese

In Chapter V, the phonological redundancy rules of

Ancient Chinese are discussed and the phonological system

is characterized in terms of these rules. The rules in

turn show how many and what kind of systematic gaps and

regularities exist in the system. However, two important

points have not yet been clarified.

7.1.1 The simplified classi- ficatory tree

One point is that in studying the phonological re­

dundancy rules, we not only characterize the phonological

system, but also through these studies (especially in

the effort of rendering the rules more general and simpler)

we are led to excluding certain exceptions and obtaining 644 greater generality of the xniles. As a result, we obtain a further simplification of the phonological system and come to an underlying abstract system of Ancient Chinese segments, which rather reminds us of certain characteris­ tics of Archaic Chinese. We come to the conclusion, for example, that the feature diffuseness of nongrave conso­ nants is redundant in the abstract system (see the dis­ cussion of section 5.4.2), though the feature sharpness is still not redundant with respect to the distinction of two sets of strident palatals. Consequently, only thirty-six initial consonants are distinctive in Ancient

Chinese (nine less distinct segments in the initial posi­ tion than what is set up in Chapter IV). The classifica- tory features of these distinct segments are represented

in the tree in Figure 23. cons

voiesono

grav comp

di^f^^^ens stri diff grav

flagraA gra gra A gra intr intr stri diff diff diff

tens tens stri tens tensintr nasi

sha sha sha sha sha sha sha

dz d' eons + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + + voie - - - + + + + + + + + + + + + + + + + sono • — — + + + + + + + + comp + + + + grav — + * + + + + + + + + + + + + + -•-■ — — + + + + + — — " + + + + diff — — + + • •• ++ * + + ••+ + stri • • + + + + + + — " + + - + + + intr • * + + + + *•«• + + + + — + + -» + + tens shar *+* + • + • + • + * + "• + •- + — + •* + ■• + »+ » + • + nasi - + flat - +

Fig. 23--SimpLified Glassificatory Feature Tree

G\ •o Ln 646

7.1.2 Ordering of phonological redundancy rules

Another point not yet touched upon is: taking into consideration in vdiat order the phonological rules esta­ blished in Chapter V specify the redundant classificatory features, further simplification and strict formalization of the inventory of phonological redundancy rules can be gained. These phonological redundancy rules will be summarized into twenty-six rules here with relevant dis­ cussion of their order of application. For convenience, a new series of numbering using Roman numerals will be given; in brackets the original number of rules using

Arabic numerals will be given.

Rules for specifying the features [-cons] and [+sono] of vowels :

Rule I (1)

( ) [+cons] ( _) [ ] -•“•[-cons] if: [ ] [ ] Rule II (2)

r (___ ) [+cons] (___ )

[-cons] --[+sono] if:' #[-cons] __ ([-cons])#

. [ ] [ ] _ [ ] . Rules for specifying the features of glides:

Rule III (3)

[-cons] ~»[-sono] if: ( ) [%g%] (--- ) 647 Rule IV (26)

a voie # [+cons] -*-» a sono if: anas I [along] -shar

Rule 23 is included in this rule.

Rule V (18)

[-con,] i f : _ [ ] C a

Also see Rules XVI (9) and XI (27).

Next, the features of the main vowels are specified.

Rule VI (13)

-consl -grav _____ [+flatJ This rule is actually not affected by the specification of the features of the medials, because the feature: r-grav-i L+flatJ can never be omitted from the dictionary form of the medial V -y-. Before proceeding to the other rules, the feature

[+flat] of ((u)) should be specified. For the sake of simplifying some rules below, this is included in the present series of rules, though this is not a rule for specifying redundant classificatory features:

Rule VII

[+grav] [+flat] if : -cons |_-compJ 648

Rule VIII (16)

-consl +grav [+flatj Rule IX (17)

-consl -cons 1 •diff -*-• [oigrav] -a grav E-compJ [rttflatj Rules 19 and 20 constitute a vicious circle with Rules

VIII (16) and IX (17). We discard the former two.

Rule X (22) — cons- c-cons] - [:!%:%] if: — [;%::]

Rule XIII (30) predicts later the feature [tgrav] of labial and velar initials, with the condition that the initials under consideration occur with Division III Finals. How^

ever, the feature [-flat] must be predicted by Rule X in order to characterize the medial of Division III Finals.

Both Rules X (22) and XIII (30) are very general rules,

so that in order to avoid the vicious circle, the specifi­

cation of the feature [-flat] of the medial of Division III

Finals must not be covered by Rule X. Consequently, Divi­

sion III Finals are not covered by Rule X (22).

Two more rules specify the features of the endings;

Rule XI (27) p-grav“ [-cons] L-flatJ r+cons-i [-diff] L+gravJ C « ï ï t 3 [ ] r+consT [-grav] L+diffJ 649 Rule XII (28)

r - d i f f n r-comp-j L+grav-i • L+gravJ

[+cons] — » i [-grav] [-diff] if* r-comp-, * L-gravJ [+diff] .L+gravJ / The next series of rules specifies the redundant classificatory features of the initial consonants:

Rule XIII (30)

[+grav][+diff] [ ] [+grav] if: , [-flat]

Rule XIV (29)

[+flat][ ][-diff] [+cons] — if: . [+fl2t][-G8rav] Rule XV (34)

-cons [+cons] — if: [-grav] +sono +comp +tens

Rule XVI (9 and 32)

+cons] \ ([ ])[ ] +diff _+gravj r+diff^.r'*'®o"‘Plia L-gravJ'L+gravJ If: lS] -diff] r + c o n s tcomp +diff _-gravJ Ltgrav. 650 Rule XVII (6)

r^grav 1 P+cons- [-diff] if: __ adiff L-acom&J L-grav^ [+diff] otherwise

Rule XVIII (il)

(C^sravj)[;=°“ ] [■t'sono] [+diff] +cons if: +voic [+grav][+diff] [-diff] [-sono] Lrgrav CSC-.".]

Rule XIX (8 )

([-grav])[+grav] t^grav3 C-shar] if: ([-grav][-grav])[-diff], Rule XX (31) '[-srav][adi«3 [%stri] ^ [+8 har] if: ___ [-grav]

Rule XXI (10)

[+voic] [-intr] +cons if: +grav ([tgrav]) [ ; : % ] [+intr] [-voie] -diff

Rule XXII (12)

f([+srav])[;|%] [+voic] [+intr] +eons if: -grav [+grav][+diff] [-intr] [-voie] +diff [-grav] tatri

Rules for specifying tonal features:

Rule XXIII (35) Elongl — -...... , Rule XXIV (36)

r - g r a v - i \ L-CensJ I [-fall] — * [-high] if; r-cons-i Lagrav-I

Rule XXV (38)

[ ] [+long] if : [-cons] #

Rule XXVI (37)

[+long] [+fall]hfflin [+grav] if:[ ] r-grav-, [-long] [ ] L+flatJ H t »

7.2 Historical phonology of Ancient Chinese

In Chapter VI we checked how the Ancient Chinese phono­ logical system reconstructed in Chapter IV changed into modem Mandarin through three major stages, reflected in the three phonetic transcriptions studied in Chapter III,

First, various diversities and irregularities of correspondence between Ancient Chinese and the later variants can be explained mainly in terms of the different ordering of these change rules or in terms of a very restricted number of additional mles (as in the case of the difference of endings resulting from the Ancient entering-tone consonantal endings). Thus in short, the present reconstruction of the Ancient Chinese phonologi­ cal system holds well as the ancestor of these later variants. 652

Next, the study sheds some light on the general principles of sound change of natural languages, and the way of describing them. Especially, the study provides an effective proof for the role of the simplicity criter­ ion in phonological descriptions. The set of change rules is obtained by primarily two types of manipulation: one is by adding change rules and the other is by generaliza­ tion of the existing rules. For example Rule 15 first applies with a very restricted constraint. Next the con­ straint is generalized a little more in Rule 15ii. Later the rule applies with a constraint having only one feature 1 specification. As in the case of the devoicing of frica­ tives only in the dialects reflected in the Tibetan tran­ scription and the complete devoicing of initial conso­ nants in the dialect reflected in Trigault's romaniza­ tion, the various degrees of generalization of these rules mark the difference of historical as well as regional variation of the language. It should also be emphasized that, as observed in the study of the loss of the enter­ ing-tone endings, the assumption that change is in the direction of increasing generalization exactly correlates with conclusions which had been drawn on a quite inde­ pendent basis.

Thirdly, we also testify to the assumption that any sound change is, except in the case of erasure of a seg­ ment or segments or special changes such as analogical 653 change, primarily the switching of one feature at a time, and rarely of more than one feature• Hence, if there is a rule switching more than one feature for explaining a change, it is likely to be actually the "contraction" of more than one rule describing some more complicated pro­ cess. This is shown quite effectively in the last chap­ ter. As in the case of Change Rules 8 and 9 for initials and Change Rule 17 for finals, for example, this assump­ tion leads to a further generalization of the original rule.

Fourthly, there is one more contribution to the study of the role of the simplicity criterion in phono­

logical description. The discovery of the detail of the sound change of one language may largely depend upon the amount of available evidence for these changes. The more evidence is given, the more clearly the detail of the process may be formulated. However, what is linguistical­

ly of interest is: as shown by the study of the three

intermediate stages between Ancient Chinese and modern

Mandarin, the individual stages can virtually be covered by the simplest set of change rxiles set up for the whole process of the change under consideration, with some re­ ordering and re-arrangement of the rules. Furthermore,

the inquiry into the simplest formulation of rules re­ veals some hidden truth; for example, in the case of

Change Rule 9 for finals, by the formulation of the rule, 6i4 the long hanging issue of the placement of finals with the labial initials was solved.

Fifthly, we can now give a new formal definition of the relationship between various stages of the sound change of a language. Given the starting point and the end-point of a change, the simplest set of change rules can be set up, accounting for the change. Those inter­ mediate stages for which generalization and re-ordering of rules suffice to account are the "direct" successor variants. The more additional rules are needed, the less closely the stages are related to the change in question.

Thus the additional set of rules provides a formal measure for the homogeneity or heterogeneity of these various stages and the information on the various stages in rela­ tion to the history of a language under consideration.

Lastly, in the case of modeim Mandarin, it is made clear that a language, or a dialect, is, from the histor­ ical point of view, not always homogeneous. Sometimes this may also be made clear in terms of a different set of synchronic phonological redundancy rules. However, the assumption of different layers generated by different sets of rules will uniquely characterize the difference.

The linguistic significance of our discussion on this point is that a formal justification is provided for the assumption of layers which have hitherto been intuitively set up. 655

Apart from Che light shed on the general principle of sound change of natural languages, what is clarified with respect to the history of Chinese phonology in parti­ cular is as follows:

1) The phonological system "described" or "recon­ structed" in QY is well-formed as the ancestor of Mandarin.

Concerning the formation of the direct origin of modern

Mandarin, there have been various speculations, not very objective though intuitively correct. The generally accepted view is that Mandarin originates from the Dh-

(former name of Peking) dialect of the Yudn dynasty, and in the course of development has accepted many vocabulary items, especially at the beginning of the m o d e m age,

from some southern dialects around the lower part of the

Y 6 ng-zY-jiâng, which had much cultural prestige. This may possibly be true with respect to the vocabulary, but

it does not explain anything about the formation of the phonological system of modem Mandarin. The present study clearly shows that the basic part, possibly the colloquial

layer of Mandarin phonology is of the southern type, or

at least from those dialects more closely related to the

southern type, rather than from those of the Ancient or

Archaic center of -- northwestern China.

The literary layer from the westem or northwestern variants overlaps with the colloquial layer.

2 ) In order to explain the distinction of layers in 656

Mandarin, not only different ordering of rules is needed, but also, as can be seen in the discussion of, for example.

Change Rule 9 for finals, different sets of rules (though only a few) are required. This suggests, according to

the formal measure just mentioned, that there had been

rather drastic intermingling of different dialects with possibly different degree of cultural and political pres­

tige. And since these different rules — such as Change

Rule 9ii through 9iv and Change Rule 9v -- are found around the time of Altaic invasion into the China main­

land, the colloquial layer of modern Mandarin can reason­ able be assumed to have been formed during the 13th-14th centuries, and since then the phonology has not received any drastic transformation beyond those described in the abstract formulation of the change rules. NOTES

CHAPTER I

1, See the Preface to Qiè-yîin by F^-yin Lù, dated 601 A.D. This preface is included in Gu&ng-ybn too,

2, The format of QY, which was followed by all the later rime dictionaries, is as follows: the whole dictionary consists of five volumes, each with characters pronounced in the same tone (syllabic intonation). There are in all four tones -- the "even-tone," the "rising-tone," the "departing-tone" and the "entering-tone," With the even- tone, are pronounced around twice as many characters as those pronounced with the rising-tone, departing-tone or entering-tone ; hence the volume devoted to the characters pronounced with the even-tone was divided into two volumes (thus in all five volumes). In each volume are listed characters grouped under different rime indices. There are 193 rime indices in QY, 206 in GY, These characters are separated into subgroups by small circles. There are in all 3612 (or 3617; see later discussion) subgroups in QY, 3890 in GY, The characters in each of these subgroups were homophonie with regard both to segmental and supra- segmental sounds; and under the first character of each homophonie group is given the so-called "f^n-qië" spelling (the spelling of the pronunciation of a given character by the use of two familiar ones) indicating the pronuncia­ tion of the characters in the same group,

3, According to Samuel E, Martin's nomenclature. See Martin 1953, p, 4,

4, However, see the discussion in section 4,3,3,3 on some hitherto unnoticed aspects of the works of this school,

5, L, Chén, Oi^-ybn K^o ( 6 vols.; 1842); Oi&-vbn Kko wki- pi5n (3 vols,; 18/9),

6 . Arisaka 1935a, 1937-39,

7. Z. Lh 1939a, 1939b, 1947a.

8 . R. LÏ 1951. 657 658

9, L. W^ng 1937, A recent discussion on the related pro­ blems: L, W^ng 1963,

10, Ooya 1914.

11, Grootaers 1943-45, 1948; Serruys 1943,

12, Chao 1941; Martin 1953; Toodoo 1957,

13, Martin 1953,

14, See Chao*s letter quoted in D&ng 1948b, p, 83; Chao 1951; Düng 1957,

15, Chao 1941.

16, One will actually find a section devoted to such study below (though the comparison is between the initial systems of Ancient Chinese and a modern dialect). See section 4 ,2 ,2 ,2 ,

17, The only exception is the case of the Mfn dialects. In this connection, Nicholas C, Bodman recently gave a very revealing lecture ("Hints from Fukienese on Old Chinese Phonology," CIC Far Eastern Language Institute Linguistics Lecture Series, July 15, 1965, Columbus, Ohio), He pointed out that the dialects provide the evidence for a four-way distinction of initial consonants of old Chinese; voiceless aspirated versus voiceless unaspirated versus voiced aspirated versus voiced unaspirated. To our knowledge, this is the first discovery of any systematic evidence of phonological distinction in modern Chinese dialects, richer than that of Ancient Chinese, The "archa­ ic" character of the Southern Min dialects has long been pointed out with, for example, the Amoy correspondents of the Ancient Zhï rime group, T3ng rime group, etc., or with those of the Ancient qlng-chdn-yin or shé-shàng-yin. How­ ever, these "archaic" features of the are more or less isolated, restricted features peculiar to the dialect; especially the Amoy correspondents of the Ancient qîng-chvîn-yin and shé-shàng-yîn may not necessarily suggest a system richer than that of Ancient Chinese. Cf. Y. wlng 1960, pp. 95-96,

18, See section 5,4.3,

19, Jakobson, Fant and Halle 1951; Jakobson and Halle 1956; Halle 1957; Halle 1959a; Halle 1959b; Fant 1960; Jakobson and Halle 1962; Jakobson 1938,

20, An example of such insightful treatment of the d^ng- yün-xué phonolegists is given in the treatment of retroflex 659 and palatal initial consonants in rime tables; see sec­ tion 4.2,5.

21. See section 4.3.1; especially section 4.3.1.10 Epi­ logue .

22. Karlgren 1954, pp. 366-67.

23. In Chao 1941, we find an excellent model of this type of study.

24. Karlgren 1915-26, pp. 20-21.

25. Concerning Karlgren's prejudice against Yun-jlng, see Karlgren 1915-26, pp. 22-23; T. Ding's preface to L(5ng 1959. Also see Arisaka 1955, pp. 205-07,

26. Y. Duan, Li^-shû Yln-vbn BiXo. Vol. I.

27. See n. 2 of Chapter II.

28. Rai 1955, pp. 27-28.

29. Forrest 1948, p. 49.

30. See Chapter III and section 4.3.1.7.

31. Due to the effort of leading linguists like Chao, Fang-kuei Li, etc. the phonetic symbols used in litera­ tures of Chinese linguistics of the modern period are almost exclusively those of the IPA. In the alphabetic notation of the present work, this tradition is followed. Consequently, attention is especially drawn to the fact that [y] is not for [j] but for [ü].

CHAPTER II

I. The abbreviation for various editions of QY and its later variants is as follows: QY-I : fragment of QY in Bibliothèque Nationale, Paris QY-II : do QY-IIl : do KMBQ-I : fragment of KMBQ in Bibliothèque Nationale, Paris KMBQ-II : fragment of KMBQ found in the Former Palace Museum of Peking KMBQ-III: complete manuscript of KMBQ found in the Former Palace Museum of Peking XI : fragment of QY discovered by the Ootani Mission 660

DE : fragment of QY in the Prussian Academy of Science KAN : fragment of QY published during the Five Dynasties TY : Ting-yhn GGY : an edition of GY discovered in Japan and reproduced as one title of the Series of Books Early Lost in China, ZGY : an edition of GY published by the Zé-ctîn- tâng,

2. Such as the Ching-an dialect at the beginning of the 7th century, as inferred by Karlgren. See Karlgren 1954, p. 212; also Arisaka 1936a, 1955, pp. 198-205; Mineya 1956.

3. See the preface of QY by F. Lù.

4. Ibid.

5. The text was discovered in the Museum of the Former Palace after World War II and was published in Peking in 1947 with a postscript by Lin Ting. The second edition was published in Taipei in 1964.

6 . R. Lx 1951.

7. These names are not based on the "30 zx-mû" by Shou-wen (though his zl-mü are closer to the finals of QY than the 36 zx-mïi are) due to the following reasons: first, the 36 zx-mu are far more popular than ShXu-wen's zl-miu, and hence, the proposed nomenclature will be most convenient for those who are familiar with the works of d&ng-ybn-xui phe­ nologists. The other reason is that it is doubtful if Sh&u-wen's zl-mu can be taken seriously. It is very interesting that Sh5u-wen did not distin­ guish zhbng-chdn-yxn and qxng-chiSn-yxn. Also it is very revealing that Rx-mü is grouped together with Zhx-mü, Che- mü and Chéng-mîl.^ However, Xxn-mîx and Xié-mK are grouped together with Xiao-mu as hdu-yxn. The treatment does not seem to be given, or at least written, by a person who really understood the table. Another important point is that judging from the "Examples of Pairs of Characters Whose Pronunciation Should be Decided by the F#n-qi& Upper Characters in Case the Pair Characters Share the Same F&n-qi& Lower Characters" of the second fragment of ShÜu-wên's A Study of Phonology. Chu6 ng-m& and Chin-mid were undoubtedly distinguished (Lud 1932). The "Examples of Pairs of Characters ..." presents the distinct pairs of characters with Chuing-md and Chin- md as parallel to the pairs of characters with other chx- shkng-yxn and zh^ng-chl-yîn initials. Consequently, it is 661

self-evident that when the distinction of Divisions II and III is not expressed in the (such as in Sh%u- wen's 30 zx-mïi) the distinction between Chudng-mK and Ch^n- is also hidden from the zx-mu. In this connection, Z. L^'s discussion on the same problem (Z, Lb 1947, p. 13) does not make sense at all (Shx 1964, p. 12), Chln-mb is not the only fricative initial grouped together with affri­ cate initials. Consequently, the only possible evidence^for reject­ ing the above doubt as to the value of ShÜu-wên's 30 zx-rantuV with respect to the problems of the distinction of Chuing- and Ch^n-mb would be the point claimed by Yxn-t^ng Zhbo^CZhào 1957, p, 46) that the first (where we find the 30 zx-mb) and the third fragments of Sh&u-wen's A Study of Phonology are apparently written by the same person, where­ as the second fragment (where we find the "Examples of Pairs of Characters ...") is by a different person. If this claim holds, the actual distinction of Chu^ng-mu and Chân-mb in the "Examples of Pairs of Characters may not necessarily be the case of Shbu-wen's 30 zx-mb. How­ ever, on the other hand, even though chx-shkng-yxn and zh&ng-chx-yxn might have coalesced by the time of Shbu- wen, there should have been phonological distinction between the syllables formerly with the chï-shàng-yxn initial and the zh&ng-chY-yxn initial (such as the distinction in terms of different medials or even vowels). What remains as mysterious is why the "Example of Pairs of Characters ,,," treats the distinction of Chu^ng-mü and Ch^n-mb as parallel to that of chx-shàng-yxn and zhbng-chï-yîn. As for the problem of grouping Xxn-mb and Xi^-mib with Xi^o-mb, Pulleyblank pointed out that the author of these tables of 30 zl-mb simply arranged these initials accord­ ing to the order of Sanskrit alphabet. Consequently, ((s)) was grouped together with ((h)). This is a very reasona­ ble explanation. However, since the author of the table grouped these initials as hdu-yln, the above question still remains -- whether the author really understood the table,

8 . The various rime tables such as YJ, QYL, etc., are in this sense, convenient and insightful for the study of sound change of the Chinese language, but certainly not very convenient for the study of the behavior of various final groups of Ancient Chinese in these rime tables. Con­ sequently, for the latter purpose, we need to select the characters in these rime tables which exactly represent the homophonie groups of characters in KMBQ, It would be more convenient if each character representing a homophonie group in these rime tables is changed into the first cha­ racter found in the homophonie groups of KMBQ, By so do­ ing, the exact occurrence of the homophonie groups of KMBQ in the rime tables presents itself readily. 662

9. We are not claiming that this was the actual riming distinction in the poetry of the period. The actual poems of the period did not follow the rime-norm found in GY. The above just explained the possible linguistic back­ ground for the mentioned revision of rime indices.

10. See the beginning of Chapter II.

11. M. J. Hashimoto 1959a, 1959b, I96Ib. Also see the discussion in section 5.8.1.

12. M. J. Hashimoto I96lb, p. 51, n. 9.

13. Arisaka 1937-39.

14. R. LÏ. 1951, p. 78; Toodoo 1957, p. 183.

15. Toodoo 1957, pp. 183-84.

16. R. Lx 1951, p. 78.

17. Karlgren 1915-26, pp. 625-26.

18. As mentioned in section 1.1, the distinction of these two groups of Division 1X1/IV Finals was first noticed by Arisaka.

19. As the editor of Arisaka 1957 pointed out in his notes, See Arisaka 1957, p. 692.

20. As R. Lx proposed. See the above tables showing the distributional pattern of Ancient Chinese finals in rime tables.

21. See section 4.3.2.

22. At the beginning of KMBQ-III, the number of homophonie groups is given as 3671. This is of course not reliable. See Y. Lx 1957, p. 33.

23. As pointed out by Yü-chun Ldng. See Ldng 1959, p. 95.

24. Although the f&n-qiè, very probably copied from GY, is wrong, the author gives a correct treatment by arrang­ ing the character in the hé-kÜu table under the initial *ts.

25. Di^ng 1948a, p. 17.

26. See section 4.3.3.3. 663

27. And, judging from the inventory of rime indices, very probably also QY-III, though this part is lacking in the edition available.

CHAPTER III

1. A series of contrastive lexicons of Chinese and foreign languages compiled at the "Chinese Oriental College" in China around the I4th-I7th centuries. These lexicons deal with thirteen different oriental languages. In them, the foreign words are transcribed by means of Chinese charac­ ters with approximately the same pronunciation. The most extensive bibliographical study of HYYY is Ishida 1931. Concerning the recent of the study of various editions of HYYY, see Chén 1953.

2. A Tangut-Chinese and Chinese-Tangut lexicon compiled by a Tangut called Gu-lè Mào-câi in 1190 A.D., in which the pronunciation of Tangut characters is given by means of one, or sometimes more than one Chinese character with approximately the same pronunciation, and the pronunciation of Chinese characters given as the semantic equivalent of the Tangut vocabulary is given by means of a Tangut (logo- graphic) character with approximately the same pronuncia­ tion. The lexicon was found by P. K. Kozlov during his expedition into the ruin of the ancient city Khara-Khoto in in 1908-09, and was studied for the first time by A. Ivanov. See Ivanov 1909,

3. Forrest 1948, pp. 190-91.

4. Izui 1949.

5. Csongor 1952, 1955, 1962,

6 . Csongor 1952, p. 76.

7. Hattori 1946, p. 27ff; Hattori 1958.

8 . Street 1957, p. 3ff.

9. Lud 1933.

10. Csongor 1960.

11. See section 4.2.1.

12. Lud 1933, p. 15.

13. Concerning the bibliography of these studies, see Lud 664

and Cai 1959, p. 184 and Poppe and Krueger 1957, pp. 134- 42; Ligeti 1956, pp. 1-4.

14. In 1956, from Kwansei Daigaku.

15. Peking, 1959.

16. Ligeti 1956, pp. 49-52.

17. Lud and Cai 1959, pp. 59-82.

18. Ozaki 1962, Nakano 1964.

19. Denlinger 1962; M, J. Hashimoto 1963.

20. Denlinger 1962.

21. Hattori 1946, p. 27ff.

22. See section 3.2.2.1.

23. Lud 1959.

24. Lud 1959, pp. 579-81 or Lud 1963, pp. 190-93.

25. Denlinger 1961, p. 3.

26. hP'ags-pa transcriptions of the Chinese family names which constitute one of the chapters of the Sbng encyclo­ paedia Shl-lfn GuSng-ix.

27. As described in Dragunov 1930, p. 3,

28. The Yudn edition kept in the Library of the Univer­ sity of Peking, the Genroku Japanese edition (both of which are reproduced in Lud and Cài 1959), and the Yudn edition recently found in the Cabinet Library of the Japan­ ese Emperor's Palace and reproduced in Ligeti 1956.

29. As P. Pelliot pointed out against Dragunov's argu­ ment; see his review of Dragunov's paper in T'oung Pao. Vol. XXIX, 1932, pp. 166-68.

30. We should not over-evaluate the understanding of phonology of the scholars of this time; they were not familiar with the use of any phonetic symbol except the ^'ags-pa script under consideration.

31. Gulik 1956, p. 99.

32. See n. 11 of Chapter I. 665

33. There is an elaborated study by DemiévilLe in this direction, which undoubtedly points out a very important aspect of the history of a language. See Demiéville 1950.

34. Halle 1962, pp. 62-63 or Fodor and Katz 1964, pp. 342- 43.

35. Toodoo 1959, pp. 127-28.

36. Toodoo 1957, p. 91.

37. Denlinger 1961, p. 3.

38. Karlgren 1915-26, pp. 253-54.

39. Poppe and Krueger 1957, p. 19.

40. Street 1957, pp. 6-7.

41. Dragunov 1930, p. 6 . But concerning the Xiang dia­ lects, see Xiàng 1960, Ting 1960.

42. Poppe and Krueger 1957, p. 33.

43. Gulik 1956, p. 99.

44. Hattori 1946, pp. 67-68,

45. Lewicki 1949, Poppe 1951, p. 188,

46. Dragunov 1931. A thorough study on this Persian transcription is now being undertaken by Denlinger and his colleagues.

47. Hattori 1946, p. 56.

48. R. Lx 1951, p. 117.

49. Lu6 1959. This note was probably written very early but published only in the autumn of 1963. See Lud 1963, pp. 184-94.

50. Lud 1963, p. 185. For some unknown reason, this important note was omitted when the review was first published in Zhong-gud Y^-wdn in 1959.

51. This may be the reason for the fact that when the review was first published in 1959 the note in question was omitted presumably by Z. Lîi, who was in charge of the posthumous publication of this paper and who signed as the corrector and one of the editors for the postscript of 666 this paper. Judging from the Sanskrit prototype there is no reason to assume, as C. Lud noted, that the hP'ags-pa transcription is ”ts" for Jxng-mK, "dz" for Cdnig-mu, etc.

52. M. J. Hashimoto 1964b, pp. 41-48.

53. Rintschen 1952. Although, incidentally, Rintschen considers these characters as directly based on the Tibetan characters, it is obvious that the direct prototype should be looked for in the Sanskrit alphabet.

54. Lud 1931a, see Lud 1963, p. 64. The same tables are included in both R, Li 1951, p. 164 and F. Zhdu 1963, p. 2 2 with some modification and correction.

55. Maspdro 1920, p. 32ff; Nomura 1951, 1955 p. 7ff.

56. See section 6.2.1 "surdization."

57. See section 4.2.4.

58. Strictly speaking: if the tone of the morpheme repre­ sented by the Chinese character was even-tone. For simpli­ city of statement, the phrasing given in brackets in the text will be dopted hereafter.

59. Concerning this problem, C. Lud has a special paper. See Lud 1931a.

60. It is interesting to notice in this connection that the linguistic study of Sanskrit in China in pre-modem periods declined after had been accepted and the main Buddhist classics translated.

61. Denlinger 1962.

62. Hattori 1946.

63. M. J. Hashimoto 1961c, p. 139, n. 21,

64. As for the exact contrastive pairs of syllables with the dental and the palatal (as well as the velar) nasals, see section 4.2.6.

65. See n. 50.

6 6 . Denlinger 1962.

67. Poppe and Krueger 1957, p. 22.

6 8 . Concerning the discussion on the origin of the Tibe­ 667

tan script, see Lu6 1931 (Lud 1963, pp. 60-63); Inaba 1954, pp. 1-3.

69. Hdn 1958.

70. See the good collection of Siddham writings Gulik 1956.

71. See section 3.2.2.2.

72. Poppe and Krueger 1957, p. 24.

73. Poppe and Krueger 1957, p. 25.

74. See next section.

75. See section 4.3.1.

76. See section 4.3.1.5.

77. Lud 1959, p. 580 or Lud 1963, p. 192.

78. Arisaka 1955, p. 250.

79. Hattori 1946.

80. Poppe and Krueger 1957, p. 25.

81. L. Wdng 1958, pp. 290-406.

82. P. Ydng 1961; M. J. Hashimoto 1961c, p. 140

83. Ligeti 1961, pp. 212-25.

84. Poppe and Krueger 1957, p. 25.

85. Ibid.

8 6 . Denlinger 1962, chart lb.

87. Dragunov 1930, p. 4.

8 8 . Hattori 1946, pp. 42-45.

89. Dragunov 1931.

90. Lud 1930b.

91. Z. Lii 1947b.

92. Toodoo 1952. 668

CHAPTER IV

1. Although Karlgren mentions various copies of frag­ ments of QY in Karlgren 1954 (pp. 212-13), he has not gone through them and has not noticed the presence of this additional initial. See sections 1.1 and 4.2.2 and M. J. Hashimoto 196 Id.

2. Since the time of Karlgren 1915-26 through Karlgren 1954, Karlgren has not noticed that the Gê ) rimeas well as the Gi ) rime in GY, in its kai-k&u as well as hé-k&u counterparts do not occur in complementary dis­ tribution with the M à (;{^) rime in QY or GY within the Gu#-Ji& rime group.

3. Karlgren does not notice the occurrence of the Hâi ) rime after a palatal sibilant initial not only in QY but also in GY.

4. Karlgren failed to assume some reasonable form for this rime. See Karlgren 1954, p. 243, n. 1.

5. Karlgren failed to establish the phonological dis­ tinction between the Division 111 counterpart and the Divi­ sion IV counterpart of all the Paired Division 111/IV Finals which undoubtedly exists in QY as well as GY. See the discussion in section 4.2.1.

6 . Karlgren failed to recognize that the Qf ) rime occurs after some palatal sibilant initials in both QY and GY.

7. Karlgren failed to reconstruct reasonably distinct finals for 10 (Karlgren 124) and 14 (Karlgren 125). See Karlgren 1954, p. 263.

8 . Karlgren did not realize that the entering-tone coun­ terpart of the Hén (:J^ ) rime is included in the homo- phonic groups of the hé-k&u counterpart of this ri#e — namely the entering-tone counterpart of the HtSn. ( ^ ^ ) rime,

9. Karlgren failed to recognize this final which is clearly present as distinctive not only in QY but also in GY.

10. Karlgren completely missed the occurrence of this final.

11. Karlgren 1915-26.

12. For his Compendium is dated 1954, whereas it was in 669

1937 that Arisaka gave an extensive answer to the mystery of the fân-qië doublets in GY in his review of Karlgren 1915-26 and it was in 1951 that R, Li published his study of KMBQ-III.

13. 69 pairs in GY according to Arisaka 1937. See Ari­ saka 1957, pp. 332-36.

14. Arisaka 1940a; Arisaka 1955, pp. 298-369.

15. Arisaka 1936b; 1937-39; 1955, pp. 241-69.

16. Koono 1955.

17. Z. LÙ 1947a.

18. Mineya 1953.

19. Toodoo 1957, p. 188.

20. M^ and Lu<5 1962, p. 536.

21. Chao 1941.

22. Mineya 1953.

23. M. J. Hashimoto 196Id.

24. See Kazuo Mabuchi's exhaustive critical text of YJ based on the comparison of various editions of YJ found in Japan. See Mabuchi 1954.

25. Concerning the terminology "inner" series or "outer" series of finals or rimes, see section 4.3.2.

26. Pronunciation of Anne Y. Hashimoto.

27. Pronunciation of Pin-fa Vong. See M. J. Hashimoto 1959b.

28. R. Lx 1951, p. 128.

29. D#ng 1954, p. 93.

30. Pulleyblank 1962, p. 6 6 .

31. Karlgren 1915-26.

32. Hemeling 1902, pp. 79, 81; the syllabary of the Nan­ king dialect of Chao 1929, p. 1014. 670

33. An informant of the Shln-dong dialect who is from LÏ-jii-zhuang, Hu^ng-n£-chuin, Péng-lâi-xiàn, and with whom the author investigated the Shin-dong dialect in 1957 in Tokyo.

34. In 1959 the author came into contact with four informants of the Tâi-shân dialect and three of the Kâi- p£ng dialect of Seiyap (Sl-yî), and discovered this inter­ esting trace. See M. J. Hashimoto 196le, 1962b.

35. M. J. Hashimoto 1962b, p. 330.

36. See R. Li 1951, pp. 116-24, Toodoo 1957, p. 1 and Pulleyblank 1962, pp. 66-67 for recent discussions on this problem.

37. M. J. Hashimoto 1960a, pp; 133-34; 1960c, pp. 30-32.

38. Dragunov and Dragunova 1932; Yu^n 1960, p. Ill; T^ng 1960; Xiàng 1960. Dragunov says in Dragunov 1959, p. 6 that these voiced initials in the Xiang dialects are the same as those of Wu, namely "not completely voiced," but in Dragunov 1932 he clearly describes them as follows : otsutstvie zvonkij aspiracii, zvonkij proiz- no^eniem v Anlaut'e.

39. Karlgren 1954, p. 220.

40. Z. Zhou 1957, pp. 141-53.

41. Pulleyblank 1962, pp. 67-68.

42. Chao, "The Irregular Correspondents of Ancient Ini­ tials Cdng, Xie, Chuàng and Chàn in Modern Chinese Dia­ lects." This title is listed as one of the publications of Chao in the Bulletin of the National Research Institute of Historv and Philology of Academia Sinica. in Tokio Hashikawa: IVho's Who of Chinese Intellectuals (Tokyo; 1940), p. 644. However, this article is not found in any issue of the Bulletin.

43. Pulleyblank 1962, pp. 65, 67-68. Also see Z. Lxi 1939a; 1940a; 1940b, p. 45; 1940c; 1947a, pp. 11-13; 1963, pp. 363, 373-74; Shx 1964, pp. 6-12. Concerning the treat­ ment of the initials under consideration by Sh&u-wen, see n. 7 of Chapter II.

44. Z. Zhou 1957, p. 146.

45. Pulleyblank 1962, pp. 67-68. Pulleyblank presents further evidence for his reconstruction (personal conver- 671 sation): Sino-Vietnamese [t'] for both Shén-mu and Ch^n- mu, like [ f ] for *J, and unlike [tf] for *tj, strongly indicates that both initials were fricative, not affri­ cate, at the relevant period. It is very important that Pulleyblank pointed out_the Ancient Shén-mÜ coalesced not with the Zhko-n^ or Chuan-m&, but with the Ch^n-mu in Sino- Vietnamese. However, it is also important to pay attention to the fact that three subgroups of Ancient Chinese chx- yîn appear in Sino-Vietnamese with the following regularity: Div, I and IV -- dental stops Div, II -- retroflexes Div, III -- aspirated dental stops or dental fricatives (with the only exception of [tj] for Ancient Chinese Zhko-mu) Certainly the fact that the Ancient Chinese Xié-mü appears as dental stop in Sino-Vietnamese cannot be presented as the evidence that the initial was affricate or stop at the relevant period, Cf, M, J, Hashimoto 1960a, pp, 125-29; 1960e, pp, 29-30; 1962a, pp. 329-30.

46, Karlgren 1940, pp, 46-47,

47, Institute of Linguistics 1955,

48, The reason we separate the number of correspondents with even-tone from those with oblique tones (even though the segmental constituents of these correspondents in Mandarin are the same) will become clear later.

49, Chao 1928, pp. 22-26, 82, 85-86,

50, Lu<5 1931b,

51, As is well known, this distinction between Ancient palatal and retroflex sibilants was discovered by L, Chén in the 19th century (Cf, n, 5 of Chapter I), It is often thought that until Chén's study was published, people did not notice the distinction between these two initial groups in Ancient Chinese. See Toodoo 1957, pp. 118, 168.

52, Toodoo 1952, p. 104.

53, L. Wing 1957, Vol. I, p. 113.

54, Toodoo 1952, p. 104.

55, Zhho 1936.

56, Jakobson, Fant and Halle 1951, p. 34; Halle 1957, pp, 67-68. 672

57. Karlgren 1954, p. 226,

58. Lu<5 1931b.

59. Karlgren 1954, p. 226.

60. Pulleyblank 1962, p. 69.

61. Chao 1941, p. 210.

62. Lu<5 1931a (See Lu6 1963, p. 64).

63. Maspéro 1920, p. 75; Karlgren 1915-26, pp. 271-72.

64. Ku 1932, pp. 100-03.

65. Chao 1941, p. 211ff.

6 6 . Although the Mandarin correspondent of Ancient "velar" fricative initials is often pronounced as uvular, the difference of the "point of articulation" of velars and uvulars has little phonological significance. However, in order to avoid confusion, we follow the d^ng-yün-xuë tradi­ tion and name Ancient initials *k, *kj, *k', *lO'» *5» *êJ» and "velars," and *î, and as "gutturals." In the present usage, the term "guttural" is the translation of the d^ng-yiin-xué term "Hdu-yin," and so it does not include velar sounds *k, *k', *g, and their palatalized variants.

67. M. J. Hashimoto 1965b.

6 8 . Karlgren 1915-26, 1954.

69. Chao 1941.

70. Martin 1953,

71. Kusakabe 1954.

72. Forrest 1948, p. 154.

73. Mineya 1956. For convenience of presentation, here­ after we refer the reader to rime groups instead of indivi­ dual rimes or finals of Ancient Chinese (though the notion of rime group is the product of the period far later than Ancient Chinese): namely instead of enumerating three rime indices, Dong (^^ ), Dong_( ^ ) and Zhong (^ÉL), we simply state "the rimes of the Tong rime group."

74. Pulleyblank 1962. 673

75. See sections 4.3.1,4 and 4.3.1.9.

76. M. J. Hashimoto 1959b.

77. Including their entering-tone counterparts: *p, *t and *k respectively; hereafter a nasal ending always in­ cludes its entering-tone counterpart, unless specified. See n. 11 and n, 12 of Chapter II.

78. See section 4.3.1.10.

79. Hereafter the Archaic rime category index stands for its "rù-shêng," "yîn-shSng" and "ydng-shêng" counterparts: for example the_H6 u rime category includes Hdu (yxn-shing counterpart), Wu (rù-shêng counterpart) and Dong (yâng- shêng counterpart).

80. Düng 1948c.

81. L. W^ng 1936; Chang 1962, p. 164,

82. KMBQ-II.

83. Koono 1955.

84. See the classification of rimes in MGZY and ZYYY.

85. See the Tibetan and hP'ags-pa transcriptions tabu­ lated in Chapter III.

8 6 . Chao 1941, pp. 229-30; Martin 1953, p. 29.

87. Maspéro 1920. Against such assumption, however, the present author has raised doubt. See M. J. Hashimoto 1960d.

8 8 . The sources of the cited materials are: 1) the author's survey on the Northern dialect^of Vietnamese with the co-operation of Mr. Quang -tuân Dam^, his informant, then at the University of Tokyo, carried out with a research grant of the Ministry of of Japan, 1958-59 (part of this survey was published in two articles: M. J. Hashimoto 1960c, 1960d); 2) Cadière 1902; Maspéro 1912, 1920; L. Wâng 1948; Mineya 1953b, 1955; Mxitarjan 1959; Henderson 1965.

89. Arisaka 1936c.

90. Pulleyblank 1962, pp. 74-75.

91. Arisaka 1936c. 674

92. Lud 1933. KMYX was written by a certain Zhang of DQn-hudng in 929 A.D., and the riming of the book undoubted­ ly reflects the Dun-hudng dialect of the Five Dynasties,

93. Lud 1933, p. 38.

94. Lud 1933, p. 41.

95. Csongor 1952, 1955, 1962; Féng 1953. We use [j] instead of Csongor's [yj.

96. See section 4.3.1.9.

97. M. J. Hashimoto 1961a, 1962b, 1963, 1965a; Sofronov and Kyéanov 1963. 98. See n. 2 of Chapter III.

99. The fact that the initial of these exceptions is restricted to a lateral unfolds some interesting implica­ tions. See Toodoo 1952, p. 112; 1957, pp. 197-98.

100. See section 4.3.3.1.

101. Koono 1955.

102. Koono 1955, p. 8 8 .

103. Chang 1962, p. 164.

104. Pulleyblank 1962, pp. 74-75.

105. It is very possible that the Tibetan character for this ((u)) before ((g)) represented actually a sound such as [y] or [iu]. In the Sojombo script, the Tibetan charac­ ter for the Tibetan vowel ((u)) is chosen in order to represent the Mongolian ((u))j Mongolian ((u)) is repre­ sented by Tibetan characters for Tibetan vowels ((ou)) (Rintchen 1952). Before the 7th century, Sanskrit ((u)) and ((Û)) were transcribed by Chinese characters with the Ydu ( jtl)') final or the entering-tone counterpart of the Dong ( 0 _ ) III final (R. Li 1951, pp. 145-46). The above information is too fragmentary to amount to anything signi­ ficant; nevertheless it suggests that the Tibetan charac­ ter for ((u)), which was derived from the Dëvanigarî cha­ racter for Sanskrit ((u)), and which became the prototype of the Sojombo character for the old Mongolian ((u))^ repre­ sented [g] rather than [u] at some relevant period. See section 4.3.3.1 and Rule 7 of section 6.3.3.

106. The process of the coalescence of and and 675 that of *n and *m is as a matter of fact, the same; name­ ly, the loss of the contrast grave versus nongrave in these endings,

107. Tio 1930; L&n 1953; Yuln 1960, pp. 290-314; Univer­ sity of Peking 1962.

108. Karlgren 1915-26. We find slightly different vari­ ants of this dialect in University of Peking 1962 and Zhèng 1964.

109. Arisaka 1936b, 1936d. The following extract from the first paper just cited, will help us to understand his idea: It seems to me that in northern Chinese around the end of the T^ng dynasty and the beginning of the S6 ng dynasty, the Kendings3 [ng] and [k(g)] of the Gëng rime group had a fairly palatalized feature (in Sino-Vietnamese this feature is well preserved even up to the present). The Tendai Kan-on reading of b^i-qian is "haki-sen," b£i- zhbng-d&hg is "haki-siu-tou," b^i-sè, bÉi-guâng is "hai-seki," "hai-kuwau," bâi-gii is "hai-kau." The ending ”i" of b â i . read as "hai" Kin the Tendai Kan-on reading^ would come from the glide between the main vowel and the ending [k(g)] which sounded Kto Japanese^ as [i]. In the Korean reading Rof the Chinese charactersJ, when the K^ainS vowel of the rimes of the Gëng rime group is or "o," "i" is always inserted between the Kmain3 vowel and the ending [ng] or [k(g)]. For exam­ ple, méng is "m&ing," gSng is "k^ing," b^i is "p^ik," c& is "chhâik," shëng is "s&ing," is "koing," héng is "hoing” and huà is "hoik." It seems to me that this Jending3 "i" too, merely stands for the glide between the main vowel and the ending [ng] or [k(g)] ... The same occur­ rence of "i" can sometimes be found in Kthe finals belonging t o l t h e Zing rime group. KIn Sino- Korean) se ( ^ ), së ( ) and sè ) are all pronounced as "sâik" ... The entering-tone finals of both the Gèhg and the Zeng rime groups often have the rime "ai" (bKi, pai, b^i, sh^i, etc.) or "ei" (hëi, lëi, lèi, dëi, zëi, bëi, etc.) in the Pekinese pronunciation. This ending "i" is originally a trace of the glide between the main vowel and the ending [k(g)]. That "i" is the trace proves that the (ending^ [k(g)] later dropped should rather have been a palatal." (Arisaka 1957, pp. 324-25) 676

110. Rai 1956.

111. Rai 1953.

112. Lu<5 1931a.

113. Maspéro 1920, p. 34; R. Lx 1951, pp. 125-26; Pulley­ blank 1962, p. 67.

114. See section 6 .3.1.3.

115. S. Hashimoto 1928 (1961, pp. 246-47); 1950. ((tu)) is also spelled as "ecu."

116. Arisaka 1935b, 1937, 1939.

117. Karlgren 1954, p. 216.

118. Mk and Lud 1962, p. 539.

119. Dragunov 1928-29.

120. Karlgren 1915-26, pp. 635-36.

121. Dragunov 1928-29, p. 306.

1-22, Kaspéro 1920, p. 116.

123. Pulleyblank 1962.

124. Concerning the difference of "inner" and "outer" classification of Ancient rimes in various rime tables, see Lud 1923 (Lud 1963, pp. 102-03).

125. Lud 1923.

126. Chao et al. 1948. The terms "strong" and "weak" are not necessarily phonetic terms. They rather refer to the behavior of certain segments in their phonetic actualiza­ tion or later sound change. Since the terms "strong"- "weak" are parallelled to the phonetic terms "long"- "short" we shall disregard the former two in the following discussion.

127. Rai 1958.

128. Chao 1947, 1948.

129. Jones and Woo 1912, Yudn 1960,

130. Yudn 1960, p. 185. 677

131. Jakobson, Fant and Halle 1951, pp. 36-39; Jakobson and Halle 1962.

132. Jakobson and Halle 1962.

133. Halle and Chomsky 1962, Chapter 3; Chomsky 1962, pp. 538-47; Chomsky and Miller 1963, pp. 310-13; M. J. Hashimoto 1964a.

134. Just as in the case of Mandarin consonants, we do not need the feature compactness for characterizing the degree of "aperture" in articulating Mandarin vowels.

135. See JiXn-li by Guang-zu Shko attached to QYZZT. The terms "linguaIs," "molars," and "incisorals" are literary translation of d¥ng-yhn-xué terminology; these three groups correspond roughly to alveolars and retroflexes (nonstri- dent), velars and laryngeals, and dental and palatal (both "palatalized" and "nonpalatalized") sibilants respectively in Ancient Chinese.

136. Rai 1958, p. 13.

137. As was summarized in section 4.3.2.

138. See the next section.

139. See section 4.3.3.3.

140. Dragunov 1928-29.

141. L. W£ng 1936, p. 790. Concerning another very in­ teresting motivation of the present treatment of the JiS ) rime, see section 5.9.4 and n, 58 of Chapter V.

142. R. LÏ 1951, p. 142.

143. But not in KMBQ-III.

144. Mizutani 1960, p. 49.

145. Ldng 1959, p. 95.

146. R. l l 1951, p. 102.

147. The pronunciation of the character is spelled as "&i" in MGZY.

148. Ddng 1948c, p. 125; 1948d.

149. Karlgren 1915-26, pp. 460-62, 477-78; 1954, p. 241. 678

150, Yakhontov I960; Pulleyblank (personal discussion, Aug, 1964, June-Aug, 1965), Also see section 5.4,2.

151, Stimson 1962, pp. 137-39.

152, Toodoo 1959, p. 127.

153, See section 4,2.1,

154, Toodoo 1957, p, 221,

155, R, Li 1951, pp, 145-49.

156, Chang 1962,

157, Pulleyblank 1962, p, 72,

158, Not his connection of the H<5u ) rime with the Y<5u (4c) ) rime, which is not his reconstruction but simply the fact,

159, For the moment we do not want to be involved in the problem whether this "vowel segment preceding the *u" is the result of the "Brechung" of the single main vowel or inherited from the Archaic form. Concerning another moti­ vation for excluding this vowel segment from the morpho- phonemes, see section 6.3.1.2.

160, F, LÏ 1956.

161, See n. 105.

162, See especially in this connection the table of Chang 1962, p, 163,

163, Chao 1941, pp. 223-27.

164, See the next section.

165, Toodoo 1957, p. 183.

166, Karlgren 1915-26, pp. 466-77.

167, Karlgren 1915-26, p. 468.

168, Pulleyblank 1962, p, 76.

169, See section 4.3.3.1.

170, For convenience of presentation, the change of the ending consonants of the finals mentioned above was omitted from the discussion. 679

171. Châng 1962, p. 165.

172. Jïn 1964.

173. D&ng 1948a.

174. Pulleyblank has a very uniaue interpretation of the placement of Paired Division 1X1/IV Finals in YJ. Accord­ ing to him, the Division III and the Division IV counter­ parts of a Paired Division III/IV Final are placed in two different successive tables just in order to interlink these tables. Thus, by the placement of the finals in question, the notion "rime group" (sh&) can be shown im­ plicitly in YJ (personal , Aug. 1965). I 175. Toodoo 1957, p. 183.

176. Châng 1962, p. 164.

177. and Lu<5 1962»

178. See section 4.3.2.4.

179. Arisaka 1937-39 (See Arisaka 1957, p. 354).

180. Z. LÙ 1947a, p. 6 .

181. R. Lx 1951, pp. 114-15.

182. Recent studies include Hirayama 1960, 1961; Stimson 1962.

183. Bradley 1914, Lid 1925.

184. 1925, p. 6 ff; Lu<5 1956, p. 77ff; Chao 1959a, p. 67.

185. Liu 1925, p. 7.

186. Lu<5 1956, p. 77; L. Wdng 1957b, p. 95,

187. Arisaka I936e.

188. F. Wdng 1956, p. 22; h K et al». 1956, p. 90.

189. Rai 1951a; Chao 1959a, p. 6 8 , 1959b.

190. Mizutani 1948; Kindaichi 1949, 1951; Rai 1959b.

191. Rai 1951b, 1955, p. 136. 680

192. Z. Zhou 1958.

193. M. J. Hashimoto 1959b, pp. 76-82; 1961b. See n, 44 of Chapter V.

194. Maspéro 1912, p. 11; L. V l â n g 1948, p. 298; Mineya 1953b.

195. Karlgren 1960, pp. 113-14.

196. The first clear instance of the usage of the present traditional nomenclature of Chinese tones is found in the History of the Southern Dynasty, which is supposed to be written by Yu^ Shën (44Ï-513 A.D.), Yâo Xiè, etc., the scholars or poets of the 5th and 6 th centuries.

197. M. J. Hashimoto 1960d.

CHAPTER V

1. Chomsky and Miller 1963, pp. 296-306; Chomsky 1965,

2. Halle 1959a, p. 511; 1959b, pp. 29-30, 3. Halle 1959a, p. 511; Halle and Chomsky 1962, section 4.4.7.

4. Halle's suggestion (personal correspondence).

5. Hattori 1955; 1960, p. 291.

6 . Hattori 1960, p. 299; 1961, pp. 17-18.

7. Halle 1959a, 1961, 1962; Halle and Chomsky 1962, sec­ tion 4.4.8 .2; Chomsky 1965, pp. 45, 169, 231.

8 . See section 2.3.

9. Halle 1959b, p. 63.

10. Halle 1962, pp. 59-60; Fodor and Katz 1964, p. 340.

11. This was proposed by James D. McCawley as a convention of formulating rules in a phonological description. Mc­ Cawley 1965, section 1.3.2.

12. Halle 1957, p. 6 6 .

13. See the classificatory feature of Finnish, virginity, set up by McCawley for distinguishing ((t)) from ((c)). McCawley 1964, pp. 5-6. 681

14, Jakobson, Fant and Halle 1951, 4th , pp. 43-45,

15, The first table of Jakobson, Fant and Halle 1951, p, 44,

16, The rule is the "abbreviation" of the following six rules: 1) [+F3].

2 ) ^ [-F3 ] 3) [r±iF5] — [+?%]

4) [f^F^] — [-F2 ]

5) [f±\F3] — [+FJ 6) C1±}F2J [-F]_J

17, See section 2,3,

18, See the next section, 19, See section 5,5,5,

20, Personal conversation, Aug, 1964, June-Aug, 1965, See section 4,3,3,1,

21, The reconstructed forms are Pulleyblank*s,

22, Personal conversation, June-Aug, 1965.

23, Chao 1941, pp, 208-09.

24, R. Li 1951, p, 8 ,

25, As implied by GY's^trpatment of these f#n-qie*s as the so-called lèi-gé # 9 ) fàfn-qi^,

26, See n, 51 of Chapter IV,

27, See section 4,2,5,2,

28, Da-xîn QiAn, Sh£-i ià-zhâ i Yans-xln-lu « Vol, V,

29, D&ng 1948c, pp, 15-17,

30, Arisaka 1955, pp. 315-18,

31, D, Qi5n, Shi-1iA- Y^ng-xln-lu, Vol. V; D^ng 1948c, p, 15, 682

32, See section 5,5,5.

33, Thf F^i ) rime and the (4 ^ ) rime;, the Yân C^S_ ) rime and the Y i n ( ) ; the Yuin ( :^ ) rime and the Xian ) rime; and the Gëng (/^ ) rime and the Qîng ( > % ) rime are contrasted respectively by the two distinct vowels and * s in Karlgren*s reconstruction,

34,, The Gëng (/^ ) rime and the Ding (^~) rime: the Yu^n ( ^ ) rime açd the Yin (4^ ) rime; and the Ging (/H ) and the Zhing ( ^ ) rime are contrasted respectively by the two distinct vowels and *9,

35, The Ging (/^ ) rime and the Jiang ) rime are contrasted by the two distinct vowels and

36, T3r^ Ging ( ) rime and the Tâng (/$" ) rime, and the Ging (/K ) rime and the Yâng ( ) rime are contrasted respectively by the two distinct v ^ e l s and *a/*a. The distinction between the Tâng (/g ) rime and the Ydng ( ) rime is due to the medial -I- in the latter, though Karlgren reconstructs two different vowels: *a for the former and *a for the latter,

37, The Ging (/^ ) rime and the Ging ) rime are con­ trasted by the two distinct vowels and *ae,

38, Except, of course, the voiced velar fricative ini­ tial,

39, Hence Toodoo*s v e ^ interesting but hardly accepta­ ble treatment of the Ging ) III ( 0 & C) and QÎng ('^ ) (0 & C) finals, and the Y 6 u and You ) finals as constituting single ch6 ng-niü pairs respectively. See Toodoo 1957, pp, 183-84,

40, R, LÏ. 1951, pp. 140-41,

41, The rule will be very complicated if it is so formu­ lated that it applies to the exceptional finals mentioned above. 683

ri--cons-|' ^ +gravJ p-grav-,

L-tensJ r +cons - 1 [+shar] L-diffJ

-cons +sono [+grav] if :___[-grav] _+gravJ

'+sono +cons“ -grav -agrav ljxtens_ L-diff J [-shar] -cons' +sono -grav +tens where: ~+sonol -gravl refers to *a (a = +), *G (a = -) jxtensJ

+cons -agrav " * j i (a = +), (a = -) L-diff J

-cons +sono " *a -grav +tens

42. See section 5.4.2,

43. Cantonese provides, in this connection, an interest­ ing example; although the Ancient diffuse, grave (labial) endings are generally preserved, those occurring in sylla­ bles with initials changed into dentals: Ancient Chinese Cantonese

’’

*kïem (#) ktnT but: *piam? (gi-) pin"

. V 2 *pxem ( $ ) Pl?n A more interesting case is the Moi-yan (Mëi-xikn) dialect of Hakka: in syllables where the original diffuse, grave (labial) initials underwent labiodentalization, the diffuse, grave ending occurring in the same syllable remains as 684 diffuse, grave; however, in syllables where the diffuse, grave initials did not undergo labiodentalization, the diffuse, grave endings all became diffuse, nongrave:

Ancient Chinese Moi-van bioLm^ ( ) fam^

pxam-— 4 ) fapS

""C: V 2 V 3 pxam ( px£n

p ' x£m^ ( ) * p ' in

44. R. Lx 1951, pp. 135-36.

45. See section 2.4.1.

46. M. J. Hashimoto 1959a, 1961b.

47. The feature which contrasts the entering-tones with others could either be length -- namely long (the tone that possesses this feature may have variants with differ­ ent pitch contour such as rising, falling, etc.) versus short (the tone that possesses this feature may have the variants of register only: high, low, etc.) -- or legato versus staccato. In M. J. Hashimoto 1959a, 1959b, the feature legato versus staccato was proposed because of the fact that if the feature long versus short was used it might be confused with the segmental feature of long versus short in such a dialect as Cantonese. Now that the so-called "long-short" distinction in Cantonese can be described as tense-lax (see section 4.3.2.1 ), the tonal feature long-short need not be confusing any more.

48. The following may confirm this identification of tones: o S S 3 ksm "to cover" kep (kep sE "to draw water in a bucket")

k'sm^ "to hide" )c'6 p^ "to cover with a lid" If T2 is identified with T5, the above derivations can be explained by the switching of one feature, [tnasl] into [-nasi]. Six years ago, the author published an article describing T2 as low level, because as can be seen in the pitch-graphs attached to the article the falling feature of T2 is not very conspicuous in comparison with, for example, that of T3. However, this description was wrong. By this solution, it is necessary to switch not only a segmental feature but also a tonal feature. In addition. 685 more importantly, tonal distinctions cannot be described by two features. (See M, J. Hashimoto 1959b.)

49. See n. 48.

50. By this characterization, the morphological deriva­ tion mentioned in n. 48 can be described in terms of the switching of only one tonal feature: [+lbng] -* [-long].

51. See section 4.3.4.2.

52. Hattori 1955; 1960, pp. 295-96.

53. Karlgren 1954, p. 216.

54. In the introduction to Jones and Woo 1912, D. Jones states that he "heard" those Cantonese sounds as something between [ts] and [tj], [ts*] and [tj'],etc. The present author observed both dental sibilants and palatal sibilants occur as free variants in two Hakka dialects, Moi-yan (Méi- xiàn; informant: Pin-fa Vong) and Shi-yen (Sl-xiàn; inform­ ant: Nyong-tsang Ng)

55. Concerning the only exception, Hai )-Huî (>6^1), see section 2.4,1. Also see n. 45,

56. See the next section as well as the discussion in section 6 .3.1 .2 .

57. See section 4.3.3.2.

58. See section 4.3.2.4. and n, 141 of Chapter IV.

CHAPTER VI

1. William S-Y. Wang's suggestion (personal discussion). However, Rule i'b will also apply to segments of the form:

which may exist independently of Rule i'. Thus Rule i is an abbreviation for Rule i* only if the language does not have any such segment.

2. This hypothesis can be deduced directly from Halle's thesis that "a sound change rarely affects more than one feature." See Halle 1959a, p. 507.

3. See n. 7 of Chapter I.

4. See section 4.2.4. 686

5. See Table 22 of section 4.2.4.

6 . See the difference of correspondents to chï-shàng-yïn and those to zh^ng-chx-yîn, and the famous distinction of ch6 ng-ni& pairs.

7. The rule could of course be formulated as follows: +cons +voic [-intr] -* [+intr] if; -sono -grav _+stri In effect, however, this rule affects only those segments marked as [-intr], not those marked as [+intr]. Conse­ quently, we can formulate the rule in a simpler way: +cons +voic -sono [+intr] -grav +stri or: +CO0S +V01C [ ] [+intr] if: -sono -grav +stri

8 . Rai 1955, p. 28. Concerning the hP'ags-pa transcrip­ tion and Trigault's romanization of these two characters, see section 4.2.2.2. Trigault's romanization shows the mixture of two types of dialects -- the Mandarin type and the ZYYY type.

9. The constraint of the above rule need not be speci­ fied, because there is no other specification of the fea­ ture sharpness in the classificatory feature presentation of Ancient Chinese morphemes.

10. By F. LÏ (personal conversation).

11. Suggested by Pulleyblank (personal discussion).

12. Toodoo 1952, pp. 104-07.

13. Pulleyblank 1962, p. 84.

14. Retroflex ("nonpalatalized" palatal) stops did not occur before the finals of the Zhx rime group.

15. Arisaka 1940b (Arisaka 1957, pp. 359-64).

16. However, in the distinctive feature system, one less feature specification is required for the latter type of change. For the former type of change, we need the follow­ ing rule. 687

r -|f[+diff] [-tens] -* [+tens] if: [+cons] ([+grav]) +comp |\ - # L-grav J ([-grav] whereas for the latter type of change, we need:

[+tens] [-tens] if: [+cons] ([+grav])r+consl ([+diff])# L-gravJ as will be formulated below,

17, In order to avoid misunderstanding, it should be noted here that by "literary layer" is not meant that the pronunciation exists only in the literary reading of the characters; but sifnply meant that judging from the contrast of two different ways of pronunciation of some of the cha­ racters of this group, the pronunciation under considera­ tion belongs to the literary layer rather than to the colloquial layer,

18, Lu6 1963, pp, 22-53; Pulleyblank 1962, p, 69 (see n, 59 of Chapter IV), Also see section 6,2,1,

19, Also, it may not be accidental that in modern Man­ darin, although the literary pronunciation of is zhi which is the regular correspondent, the colloquial pronun­ ciation of the same character is zhe. If z h ê is not an accidental correspondent, the contrast between the Ancient shé-shàng-yîn and chY-shang-yin was lost in the ancestor of Mandarin only in the case of the Qin ( ) final. This coalescence of shé-shàng-yîn and chi-shkng-yin might have been restricted to the Qin ( ) final, because in the case of the Zhen ( ]| ) 0 and the Zhing ( ,^, ) O finals, the zhî or chi type of syllable is always found as the descend­ ant of the Ancient shi-shÂng-yIn syllables,

20, See M, J, Hashimoto 1964a,

21, In other words, if the change is to be explained in the simplest manner, one has to admit that there can be a change on the phonetic level (which has no direct relation­ ship with the phonological level) which influences the phonological shape. Thus sound change should not be described as merely restricted to the phonological level,

22, L, W â n g 1957, p, 160.

23, See the discussion of endings in the next section,

24, Fodor and Katz 1964, p, 326,

25, The "Chin Dialect" by Forrest, See Forrest 1948, pp, 207-08, 688

26, M. J, Hashimoto 1964a.

27. Toodoo 1952, p. 103.

CHAPTER VII

1. Only one type of rule can be more general than this; namely, a rule without any constraint. APPENDIX

ABBREVIATIONS AND TRANSLITERATIONS

The following abbreviations are used in referring to the titles of earlier Chinese works:

BJX B&i-jiâ

C Qiân-zl-wén

DYQYZN D^ng-yvm Qi^-yin Zhï-nân

GGY An edition of GY discovered in Japan and re­

produced as one title of the "Series of Books

Early Lost in China

GJYHJY Gu-jin Yun-hul Ju-y&o

GY Guang-ybn

HWZY H6 ng-w& Zh&ng-ybn

HYYY Huâ-yi Yi-yu

JDSW Jing-diMn Shi-wén

JY Jf-ybn

K Jin-gang-jlng

KMBQ Kàn-mih Bü-quê Qi&-y&n

KMBQ-I Fragment of KMBQ in Bibliothèque Nationale,

Paris

KMBQ-11 Fragment of KMBQ found in the Former Palace

Museum of Peking

689 690

KMBQ-111 : Complete manuscript of KMBQ found in the

Former Palace Museum of Peking

KMYX ; Kai-méng Yào-x&n

MGZY : Méng-gü zl-y^n

MJ ; M&-

0 : F6-shu5 Ê-m£-tu6 -jîng

OA ; Fragments of a version of F6 -shuô Ê-m£-tu6 -jîng

QY ; Qi&-ybn

QY-1 : Fragment of QY in Bibliothèque Nationale,

Paris

QY-11 : Fragment of QY in Bibliothèque Nationale,

Paris

QY-111 : Fragment of QY in Bibliothèque Nationale,

Paris

QYL : Qî-yîn-lüè

QYZZT : Qiè-yiin Zhi-zh^ng-tu

SSP : Si-sheng-pu

T : Dè-shèng Zhông-zông Jikn-jie

TY : Tang-ytm

XREMZ : xl-ru Er-mu-zl

YJ ; Yun-jing

YP : Yè-piân

YQJYY : Yx-qiè-jîng Yin-yï

ZGY : An edition of GY published by Ze-cun-t£ng

ZMQYYF : Zl-mu Qiè-yîn Yao-fa 691

ZYYY : Zhông-yu^n Yln-yùn

ZZZ T. Fân-Han-yu Hé-sh£ Zhang-zhông-zhû

The following transliteration systems are used for

rendering special terminology and personal names, books,

etc. in foreign languages:

Chinese : The pin-yin romanization

Japanese : The Hepburn system, with one modification

for the convenience of typing; namely in­

stead of giving a diacritic mark ^ , the

vowel letter is repeated.

Russian : The ÂATSEEL (American Association of Teach­

ers of Slavic and East European Languages)

system

Works unpublished but reproduced for distribution in

some form are referred to in the text of this study by means of the following abbreviations:

Denlinger 1962 : Paul B. Denlinger. "Chinese in

hP'ags-pa script." Ann Arbor, Michigan: Department

of Far Eastern Languages and Literatures, The Univer­

sity of Michigan. (Ditto print.)

Halle and Chomsky 1962: Morris Halle and Noam A. Chomsky.

"The sound pattern of English." Cambridge, Massachu­

setts: Research Laboratory of Electronics, Massachu­

setts Institute of Technology. (Xeroxed.)

M. J. Hashimoto 1964a : Mantaro J. Hashimoto. "Phonolo­

gical rules in Mandarin." Paper read before the 26th 692

Summer Meeting of the Linguistic Society of America,

Bloomington, Indiana, July 31, 1964. (Ditto print.)

M. J. Hashimoto 1964b : Mantaro J. Hashimoto. "History

of Chinese I: Historical phonology of the Chinese

language." Columbus, Ohio: Division of East Asian

Languages and Literatures, The Ohio State University.

(Ditto print.)

M. J. Hashimoto 1965b : Mantaro J. Hashimoto. "Mandarin

and Kan-on: a hypothesis of the palatal nasal ending

in Ancient Chinese." CIC Far Eastern Language Insti­

tute Lecture, Bloomington, Indiana, August 3, 1964.

(Ditto print.)

Henderson 1965 : E. J. A, Henderson. "Towards a

prosodic statement of Vietnamese syllable structure."

London: School of Oriental and African Studies, Uni­

versity of London. (Xeroxed.)

McCawley 1964 : J. D. McCawley. "The morphophone­

mics of the Finnish noun." Cambridge, Massachusetts:

Research Laboratory of Electronics, Massachusetts

Institute of Technology. (Ditto print.)

McCawley 1965 : J. D. McCawley. "The accentual

system of standard Japanese." Unpublished Doctoral

dissertation. Department of Modern Languages and

Linguistics, Massachusetts Institute of Technology.

Rai 1955 : Tsutomu Rai. "An introduction to 693

Chinese phonology." Tokyo; Department of Chinese

Language and Literature, Ochanomizu Women's Univer­

sity. (Mimeographed.)

In tables and in square brackets, the following abbre­ viations are adopted for the distinctive features:

cons or con : consonantal

voie or voi : voiced

sono or son : sonorant

grav or gra : grave

diff or dif : diffuse

stri or str : strident

intr or int : interrupted

tens or ten : tense

shar or sha : sharp

flat or fla : flat

nasi or nas : nasal

comp or com 2 compact BIBLIOGRAPHY

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