A STUDY OF THE WARRING STATES GRAPHS: STRUCTURAL DISCREPANCIES BETWEEN THE CHU AREA AND QIN STATE by YUKIKO NAGAKURA B.A., University of Alberta, 1995 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF ARTS in THE FACULTY OF GRADUATE STUDIES (Department of Asian Studies) We accept this thesis as conforming to the required standard THE UNIVERSITY OF BRITISH COLUMBIA October 2000 © Yukiko Nagakura, 2000 In presenting this thesis in partial fulfilment of the requirements for an advanced degree at the University of British Columbia, I agree that the Library shall make it freely available for reference and study. I further agree that permission for extensive copying of this thesis for scholarly purposes may be granted by the head of my department or by his or her representatives. It is understood that copying or publication of this thesis for financial gain shall not be allowed without my written permission. The University of British Columbia Vancouver, Canada Date /OsJ. J.0 ^OnS) DE-6 (2/88) Abstract Chinese graphical forms of the Warring States period have traditionally been characterized as varying by region. This thesis investigates discrepancies observable in the scripts of the Warring States Chu and Qin regions, as extant in inscriptions and epigraphy on a variety of media. With the postulate that the Warring States graphical forms were part of a continuous evolution of guwen from the Shang period to the Script Reform that followed the Qin Unification, these discrepancies are treated as the accumulations of a common diachronic process. To define this process, the two-step formation of semanto-phonetic graphs is adopted as jiajie augmented with semantic determiners, and evolutionary modifications tending to induce graphical divergence are classified for simple and multi-element graphs, based on the work of Boodberg, Boltz, Chen, Qiu, He, Gao and others. A table of graphs is constructed to allow for diachronic evaluation of the process of formation and evolutionary modification, and for synchronic comparison of Chu and Qin forms, using the Baoshan bamboo slips as the primary source, supplemented with material from the Shuihudi bamboo slips, the antecedent Shang oracle bones and Western Zhou bronzes, and other sources. Discrepancies observable in simple and multi-element graphs are discussed in detail, placed in the appropriate category of formation or evolutionary modification, and, if possible, assigned the period of genesis (Shang, Western Zhou, or Warring States). The 12,472 total Baoshan bamboo-slip graphs are placed into the 1,473 entries in this table. 154 cases of discrepancies are discussed, of which the genesis of 33 can be dated, with 7 originating in the Warring States period and 26 in the Shang and Western Zhou periods. A high degree of homogeneity in the Chu and Qin Warring States script is thus confirmed. Notwithstanding that the scarcity of source material precludes definite conclusions, it is suggested as a possibility for further study that graphical discrepancies were not at all a feature of the Warring States period exclusively, but should be traced to earlier times as accumulating throughout entire period when guwen were used. TABLE OF CONTENTS Abstract ii Table of contents iii List of Tables vi List of abbreviations and notational conventions viii Acknowledgment ix INTRODUCTION 1 CHAPTER ONE Terminology and Literature Review 4 1.1. Terminology 5 1.1.1 Liushu 7\ • 'the six types of script' 5 1.1.2 Terms used in this thesis 6 1. 2. The earliest process for formation of the Chinese script 8 1.2.1 The three stages of the early graphical development (Boodberg and Boltz) 8 1.2.2 The three stages of the early graphical development (Chen and Qiu) 11 1. 2. 3 The features of HY graph or "ideographic" compound graph 15 1.2.3. 1. The existence of HY as a multi-element graph formation principle 15 1.2.3.2. The principles of the HY graph formation 17 1. 2. 4 The features of xingsheng (SP) graphs 18 1. 2. 4. 1. Thejiajie and yinshen" 18 1. 2. 4. 2. The principles of the SP graph formation 19 1. 2. 4. 3. The alternate readings of graphs 20 1. 2. 4. 4. PEs and SEs consisting of multiple elements 21 1. 2. 4. 5. The relative positions of a PE and an SE within a single graph 22 1.3. The old script (guwen i?X)'- From the Shang to the Warring States period 23 1.3.1 The chronological division of the Pre-Qin writing (guwen jr_) 23 1.3.2 The Shang writing 24 iii 1.3.3 The Western Zhou writing 26 1.3.4 Writing of the Spring and Autumn period 27 1.3.5 Writing of the Warring States period 27 1.3.6. The graphical evolution of guwen 30 1.3.6. 1. The orthodox and vulgar forms of the script 30 1. 3. 6. 2. Simplification and elaboration 31 1.3.7. The graphical features of the Warring States graphs 33 1.3.8. The Script Reform at the Qin Unification 40 1. 4. Formulation of the development of guwen adopted in this thesis 41 CHAPTER TWO Material and Methodology 43 2. 0. Introduction 43 2.1. The table 43 2.1.1 The arrangement of the horizontal line of the table 43 2.1.2. The vertical order of the table 48 2. 1. 3. The design of the table 48 2. 2. The main material: the Baoshan bamboo-slip graphs 48 2. 3. Procedures for analysis of structural discrepancies 49 2. 3. 1. Transcription into modern forms and treatment of variants 49 2. 3. 2. Principles for analysis of the structural discrepancies 51 CHAPTER THREE Simple Graphs 54 3. 0. Introduction 54 3.1. Definition of simple and multi-element graphs 54 3. 2. Types of discrepancies between the Chu and Qin simple graphs 56 3.3. Tables of simple graphs 57 3. 4. Commentaries on discrepancies between the Chu and Qin simple graphs... 68 CHAPTER FOUR Multi-element Graphs 70 4. 0. Introduction 70 4. 1. Types of discrepancies between the Chu and Qin multi-element graphs 70 4. 2. Structural discrepancies present during the process of formation 72 4.2.1. SP graphs 72 4. 2. 1. 1. Divergent usage of jiajie graphs 72 4.2. 1. 2. Divergent usage of semantic determiners 73 iv 4. 2. 1.3. Chu augmentation of jiajie with semantic determiners 76 4. 2. 1. 4. Different graphemes used at SP formation 78 4. 2. 1. 5. Different usage of semantographs 79 4. 2. 1. 6. Different usage of semantographs and PEs 80 4. 2. 2. HY graphs 80 4. 3. Divergent structural modifications of SP graphs 81 4. 3. 1. Omission of SP grapheme 81 4. 3. 2. Replacement of SP grapheme 82 4.3.3. Augmentation of SP with extra PE 88 4.3.4. Augmentation of SP with extra SE 90 4. 3. 5. Augmentation of SP with grapheme of unknown function 93 4. 4. Different structural modifications of HY graphs 94 4. 4. 1. Omission of HY grapheme 94 4. 4. 2. Replacement of HY grapheme 95 4. 4. 3. Transformation of HY to SP 97 4.4.4. Augmentation of HY with extra SE 100 4. 4. 5. Augmentation of HY with grapheme of unknown function 104 4. 5. Divergent evolutionary changes from and misrecognition of earlier forms 106 4. 6. Unclassifiable structural discrepancies 114 4.6. 1. Cases in which ancestors cannot be determined 114 4.6.2. Cases of unclassifiable graphs and modifications 118 4. 7. Discrepancies existing in the earlier times 119 4. 8. Summary of modifications discussed 122 4. 9. Tables of multi-element graphs 127 CHAPTER FIVE Conclusion and Implication 144 Bibliography 146 Appendix I Table: The Comparison of the Chu and Qin WS Graphs 160 Appendix II List of Graphs from the Western Zhou Bronze Vessels 227 Appendix III List of the Western Zhou Bronze Vessels 232 Appendix IV List of the Chu Bronze Vessels 234 Appendix V List of the Qin Bronze Vessels 240 v List of Tables Table 1. 1 25 Table 1.2 33 Table 3. 3. 1. 1. Omission of strokes 58 Table 3. 3. 1. 2. Addition of strokes 58 Table 3. 3. 1.3. Executional discrepancies 60 Table 3. 3. 2. Simple graphs with structural discrepancies 61 Table 3.3.3. Unclassifiable discrepancies 61 Table 3.3.4. Adoption of different oracle-bone variants 61 Table 3.3.5. Simple graphs exhibiting no divergence 62 Table 3.3.6. Graphs which do not have the Qin counterpart graphs 67 Table 4. 1. 1. Graphs discussed in Chapter 4 123 Table 4. 1.2. Graphs which underwent multiple divergent processes 124 Table 4. 2. 1. 1. Divergent usage ofjiajie graphs 127 Table 4. 2. 1. 2. Divergent usage of semantic determiners 127 Table 4. 2. 1.3. Chu augmentation of jiajie with semantic determiners 128 Table 4. 2. 1. 4. Different graphemes used at SP formation 129 Table 4. 2. 1. 5. Different usage of semantographs 129 Table 4. 2. 1. 6. Different usage of semantographs and PEs 129 Table 4. 2. 2. HY graphs 129 Table 4. 3. 1. Omission of SP grapheme (A) Chu graphs 130 Table 4. 3. 2. Replacement of SP grapheme (O) Both Chu and Qin graphs 130 (A) Chu graphs 130 (B) Qin graphs 131 Table 4. 3. 3. Augmentation of SP with extra PE (A) Chu graphs 132 (B) Qin graphs 132 Table 4. 3. 4. Augmentation of SP with extra SE (A) Chu graphs 132 (B) Qin graphs 133 vi Table 4.