JOURNAL OF CHINESE LINGUISTICS
VOLtTh1E 24, NUMBER 2 JUNE 1996
EDITED BY WILLIAM S-Y. WANG
MATTHEW Y. CHEN TSU-LIN MEl CHIN-CHUAN CHENG ALAIN PEYRAUBE CHU-REN HUANG ZHONGWEI SHEN SHU-XIANG LYU JAMES H-Y. TAl OVID J.L. TZENG PALATALIZATION OF OLD CHINESE VELARS* Axel Schuessler Wartburg College
ABSTRACT Qicyun system (QYS) palatal initials which are suspected of an Old Chinese (OC) velar origin arc of two types: (1) Type I palatals occur in certain syllables with front vowels which are subject to the chongniu phenomenon: palatalized OC velars are in complemetary distribution with chongniu division ("grade") 4 syllables. Therefore, such palatals can be reconstructed as ordinary velars in OC, followed by whatever gave rise to QYS div. 4 chongniu medial and/or vocalism, e.g. 1i zhi. < OC *ke. (2) Type II is the QYS initial tshj which goes back to some initial cluster involving a velar and *I, with any vowel, e.g. Ill cbuiin < OC •k'lun (?).
I. INTRODUCTION Words which arc reconstructed in the Qieyun system (QYS) with initial palatals such as tSj, tshj and fj (Karlgrcn as amended by Li 1971) arc generally thought to derive from, or be phonetically close to, Old Chinese (OC) initial dental stop consonants because they alternate in phonetic series quite regularly with the QYS initial dentals t, th, d, and the supradcntals tj- \hj. 9j. For example, il!t QYS ZjWJ is used as a phonetic clement in the word tAl) 11', hence these two initials have at some time probably been close phonetically. Therefore, Karlgren reconstructed OC •d]ang for the fonner, and OC *tAng for the latter, while Li disregarded non-contrasting features and set up OC *djang and •tang respectively. 198 JOURNAL OF CHINESE LINGUISTICS, Vol. 24, No. 2
There arc two types of phonetic series, however, in which OYS palatals alternate not with dcntals, but with velar initials. (I) In Type I, QYS palatals mingle with velars, regardless of manner of articulation in a front vowel environment, e.g.
~ tSje vs. it gjeB 3 GSR 864 jlj tSjliu 'to sec' vs. kieu 'to cut'
~ lizje vs. @ giei GSR 873 The most conspicuous phonetic series of this Type I arc Gl (GSR no. 3771368), If; (GSR no. 552), :if- (553), ~ (864), .R (865), and .EE (867), ~ (873), ~ (1164), and it (330). This Type I will be discussed in section 2 of this paper. (2) In Type II palatalization, the palatal is only the surd aspirated QYS tshj alternating with velar initials and/or QYS ji and others which point to an OC *I in the initial; furthermore, this palatalization occurs with all vowels. This Type II will be discussed below in section 3 of this paper.
2. TYPE I PALATALIZATION The velar origin of QYS palatal initials in phonetic series in which one finds also items with initial velars is confirmed by the earliest layer in southern Chinese dialects where velars are preserved in such words as e.g. Min and Hakka
JtiA ~ 'branch' for QYS UjeA (Norman 1988: 211-212; Bodman 1980: 181-88).
Loans also reflect vclars, e.g. the Sino-Japanese reading ki for ~ tsje 'branch' (Pulleyblank 1962: 105-107). Hence most investigators, except Karlgrcn, have assumed in these cases an OC velar source for these QYS palatals. Dong Tonghe ( 1948: I 5-17) has reconstructed here OC palatalized velars *k etc., parallel to the palatalized dental stops •f. etc. of Karlgren. Pulleyblank has explained the palatalization as resulting from a "close y" medial while the "more open i" prevented palatalization of velars, but not of dcntals (1962: lOO). He therefore eliminated Dong's set of palato-velars by reconstructing OC simple velar stops: *ky· > ts-. Li Fang-kuei (1976), amending his earlier reconstructions (1971), believed that an OC medial configuration •-rj- was responsible for the later palatalization: ~ tsje < •krji. However. Baxter has pointed out a serious problem PALATALIZATION OF OLD CHINESE VELARS 199 with Li's hypothesis: elsewhere, his medial •-r- causes retroflection rather than palatalization, e.g. •trj- > ti·· Thus, according to Baxter, •-rj- prevented palatalization, whereas velars palatalized before -j- and front vowels "under conditions that remain to be fully investigated" (1980: 5, and similarly 1992: 210- 213). This tentative explanation for velar palatalization is the exact opposite of Li's. Pulleyblank has made the insightful observation that "cases of palatalization of velars are abundant in just those rhymes where there is the distinction between Division m and Division IV, i.e. where the head vowel is c or i" (1962: 98}. Regarding the distinction between Div. Ill and Div. IV (or simply div. 3 and div. 4}, he refers to the chongniu doublets in the rime tables. In a number of rimes some otherwise homophonous words are placed into div. 3, others into div. 4, e.g. '-f bjlln8 3 (Karlgren MC bilin:} and if bjiltnc 4 (Karlgren billn-). In his rendition of MC, Li distinguished between a div. 3 medial -j- which, in the case of chongniu doublets, I will refer to as "div. 3/3" (i.e. div. 3 contrasting with div. 3/4) and a div. 3/4 medial -ji-, i.e. a syllable that looks like a div. 3 one, but is placed in div. 4 -- the latter being different in tum from "pure Div. IV" or "div. 4" medial -i-). Li, however, did not project this distinct.ion back into OC; thus his OC reconstruction is similar to Karlgren's in this respect. Baxter (1992: 213) believes, on the other band, that the origin of the QYS chongniu distinctions is the result of an OC medial •-rj· > div. 313 -j-, vs. •-ji- > div. 3/4 -ji- (OC •-j- >simple div. 3 -j-). As a working hypothesis and point of departure for the present investiga tion we shall use Pulleyblank's observation (above) that palatalization occurs in syllables with 0C front vowels and which are of the same type that make the chongniu distinctions. The conditions under which OC velars palatalized become apparent when we look at words from these palatalizing phonetic series, but limit ourselves at first to open syllable ones, which happen to be the most numerous. The examples in the table on the next page are taken from GSR. A complete inventory of graphs of the various syllable types can easily be looked up in Sisheng yunpu (SSYP). I will son the words by initial, tone. and QYS division (313 vs. 3/4), as well as palatalization. The QYS tones are: pingsheng or even tone (or tone A, 200 JOURNAL OF CHINESE LINGUISTICS, Vol. 24, No. 2 unmarked), shnngsheng or rising tone (marked as II), and qusbeng or falling /depaning tone (marked as c). lnitiaUtone Div. 3/3 Div. 3/4 Palatalized k- ping kji 3 fJt Ill tSje 1l 4:t tlf tSjliu flj
8 8 k- shang kji 3 J1." tsi ~ •
t$jeB f{ j'! fJl flEtJi (t$jeB, kjieB 4 tJl) tSjell ,kjieB 4 tR k- qu kjiC 3 •• t$jeC 1:t s,;ecm sjeC, kjiec 4 K (irreg.) g- shang gjcB3 a:~ fiBtJl
ijcB ~ g- qu gjcC 3 3l zic~~&m dfiC }f. g- ping gji3~·· gjie 4 tt ~ IX flf t1£ kh- ping kh- shang khjie11 4~IX kh- _q_u khjjeC4~lX
1)- l}jeC 3 ll ... com- nfje~~ < oc•-e mon in all tones ntjllu 1! tli JA tiM < OC •-ai nzjiiu8JJ! qjiaic 4 ~ ii IJ < OC •-ets PAI...ATAL.IZATION Or OLD CHINESE VELARS 201
The table shows that div. 3/4 syllables and palatalized syllables arc ·in complementary distribution. The more complete SSYP (p. 312;339) confinns this: we find empty boxes exactly where this pattern of palatalization suggested by our table predicts them. We can therefore conclude that OC velar initial stops and nllSIII of QYS div. 3/4 syllables palatalized when they were immediately followed by the vowel i (either descended from an original OC •i, or an i in a secondary configuration such as ·ie from OC •-c). Palatalization did not occur, however, (a) with initiaiJc.h.; (b) with initial g· in open syllables with the even tone (pingsheng); div. 3/3 syllables do not palatalize anyway. The situation is irregular after initial velar nasal + rime -jillic < ·(t)s.
2.1 Exceptions The exceptions to this pattern tum out to be mostly doublets of dictionary readings, e.g. a rare Jiyun reading ltji 4 is given for. li and ~ whose regular QYS fonns are kiei; a Jiyun doublet
l)jie 4 is given for~ J]iei. That such doublets might be due to dialect influence is illustrated by the readings for the graph tR , QYS both t§je8 and lc.jieB 4. South Coblin (p.c.) kindly supplies the following discussion on the readings of tR in early documents: The QYS lexica give for tR (Poncirus lrifoliata, a type of common Chi nese citrus) an irregular reading lc.jic8 4 alongside the regular reading t§jeB, with no indication of differences in use or meaning. However, in medieval northwest dialect materials the situation is clearer and easier to interpret. In the Yiqiejing yinyi - 1JJ it ir II of Huilin 8 * the QYS reading dje8 for tR occurs exclusively in the sense Poncirus trifoliata. Both examples of this use there arc toponyms, i.e. Zhiyuan tRIll and Zhiyuansi ~ Ill~ . On the other hand, the reading kjie8 4 has two different functions in Huilin's work. First, it appears once in the rare, literary plant name jiju tR tA (Hovenia dulcis). All remaining examples are in transcriptions of Sanskrit words, where in most cases it renders the syllables lc.i or ke. An 202 JOURNAL OF CHINESE LINGUISTICS, VoL 24, No. 2
exception is the compound .tR til (kjie8 4 ~jal)), which represents Sanskrit -jiiyai;J . In Huilin' s own transcriptions of Sanskrit, found in his Chinese translations of lndic works, .fR renders Sanskrit ki and ki. The fonn .fR. also occurs in Huilin's transcriptional corpus. Moving backward in time, we encounter .fR three times in the Hanshu commentary of Yan Shigu ft!Uili i!i (581-645). All three cases (occurring on pp. 23. 294, and 1603 of the Beijing Zhunghua shuju edition of Hanshu) involve native Chinese to ponyms, i.e. Zhi m (name of a xian • ) and Zhidao mJl (name of a ling ~ ). It seems possible that in these place names m has the sense Poncirus trifoliata. The word tR does occur independently a number of times in the Hanshu in this ordinary botanical sense, but these cases are never glossed by Yan Shigu, probably because he felt that readers would automatically recognize them and know the correct reading without prompting. Moving back even earlier, we find .fR in the transcriptions of Jd anagupta 11111a "'~ (late sixth century), where it stands for Sanskrit ki. In the even earlier transcriptional corpus of Kumiirajiva AI lli!E II {t (ca. 400) foreign -ke and -kf(r)- are represented by tf! . Summarizing. we find that in early nonhwest usage there is a clear distinction between the QYS readings tsje11 and kjie8 for the character tR. The former reading, representing the ordinary colloquial pronunciation for Poncirus trifoliata. shows the predicted palatalization. The special Buddhist transcriptional reading, also found in one literary plant name, is irregular in not having undergone this change. It seems not un-likely that this special and primarily Buddhist reading was of non-northwestern provenance and had in fact been imponed from some other dialect region. Now it is known, for example, that the reading QYS kjie8 for .tR was current in Buddhist tran scriptions from the Jiankang Jl l1 (i.e. Nanking) area in Six Dynasties times (Coblin 1990:207-208). And in this period there were many ties
between the sas;ngha of Guanzhong IJ ~ and such southern Buddhist centers as Lushan 1il t1J and Jiankang (see ZUrcher 1959, especially Chapter Four). It is thus conceivable that the irregular reading of tf! in PALATALIZATION OF OLD CHINESE VELARS 203
northwestern Buddhist sources had 11 southern origin. In ooy case, in dialects such as those of the early northwest the existence of the double reading for tR does not constitute an obstacle to the velar palatalization theory proposed here. On the contrary, it may ultimately be a clue to the history of dialect interaction in early times.
2.2 Aspiratin as block to palatalization? The connection between tone and palatalization in words with initial *g· is quite puzzling, yet is not without parallel in Chinese. An interrelationship between palatalization and tone can be observed in the following development from QYS to modem Mandarin (S. Coblin, p.c.; see SSYP p.53): l~ 2 gjwol) > Mand. qiong [tchiul)lSJ, 8 gjul) > Mand. qiong (palatalized) :It gjwol)c > Mand. gbng [kul)51] (not palatalized). As to the QYS, I suggest that aspiration was perhaps responsible for blocking palatalization, because all words in *k-, yet none in *kh-, do undergo this change. Accordingly, words with initial •g- in even tone might also have been aspirated. It is perhaps no coincidence that in Mandarin OC words in voiced stops and affricates are now aspirated when derived from the MC pingsheng tone, but are unaspirated when derived from MC oblique tone syllables: ft gje > qf [tchil'J 'to ride', but gjec > jl [tci'11'a rider'. The aspiration in pingsheng must already have been present when palatalization occurred; this presupposes, of course, tones for pre-QYS, perhaps even Hoo or pre Han Chinese. Zee (1991) bas proposed an explanation for the aspiration: that originally the pingsheng was low ood that a low tone produced a concomitant aspiration after voiced initial stops. The palatalization of the hypothetical OC velar nasal initial *I)· fits this pattern as well, for this initial is presumed to have been unaspiratcd. The absence of palatalization in connection with the QYS rime -jillic is unexpected. However, 204 JOURNAL OF CHINESE LINGUISTICS, Vol. 2-l, No. 2 the explanation may be found in the history of the final -jiuiC which is derived from an OC closed syllable with final •-(t)s.
2.3 Palatalization in closed syllables Closed syllables (ending in QYS final stop or nasal consonants) do not agree exactly with the pattern of open syllable words. All initial •k-, *I}· and •g-, even in ping tone, seem to palatalize, e.g. (throughout this paper, the feature which resulted in QYS medial j is disregarded in the OC transcriptions): ffi zjen < *gin 'servant', fJ ijenB < *gin8 'kidney', P,'A flzjlit < *l)et (or •net?) 'hot' . + i.pp < •gip 'ten' •• tSpm < •kim 'needle' . rr tsjClp < *kip or *ti~p 'juice' (? there is no independent confirmation for an initial velar; to the contrary, note WT chab 'water') ; It tsjak < •ki:>k (GSR 1258e): phonetic is GSR 1162 ldcuB. f! kuok, tsjuk < *bk?, •ki:>k is rather odd because of the alternate reading in div. I, not 4. Aspirated initial •kh- does not palatalize, as expected, in il k~jilin 8 4, and all words in this phonetic series (GSR no. 196). In SSYP p. 302 we find the predicted empty boxes where syllables of the type kjian 4 and gjiiin 4 ought to be listed, except for the character Ill kjilln 4 (and two additional rare ones); this reading is, however. a doublet of a palatalized form tsjen. fJi , like ~ kjienB 4 (see below), transcribes the lndic syllable kin in Buddhist texts (Coblin 1983: p.244 no. 86; p. 251 no. 238). Palatals and velars do not co-occur in phonetic series in this rime. This may mean that the palatalized forms are hidden in series with dental initials, and this circumstance seems to suggest that palatalization might already have been under way quite early when the phonetic series took shape. The case of ~ kjienB illustrates this:
The exceptional word~ kjien 8 4 'twist tight' (we should expect tsjcn8 ) is a late word, attested first in the Han pecriod text Chuci mM where it occurs in the poem Jisllif!k i!t by Wang Yi i.li (0. ca. 114-120 A.D), in the sense of 'my heart is (twisted, constricted:) strangled by pain' (Hawkes 1959: 174). Wang Yi was a native of a place in the ancient state of Chu which is now in Huhei (Hawkes
1959: 170). The word~ kjien8 4 is also listed in Slwmve11 (vol. 4, p. 1283) where a commentary quotes the Yupian stating that it is a variant of~ zlin < tsjen8 , which pALATALIZATION OF OLD CHINESE VELARS 205 is found first in Mengzi meaning 'to twist' (some one's ann).~ kjienB 4 should derive from an OC *kin8 ; this, however, is eltpected to yield, according to our hypothesis, Ujen8 , which is exactly the older form in Mengzi. 11lerefore, ~ kjien8 4 looks very much like an unpalalnlizc:d dialect variant of~ t$jen8 . For this etymon we have also a good WT cognate: 'khyil-ba 'to wind, twist',< ST *kit.~ tsjcnB is buried in a phonetic series (GSR 453) which includes words with initial d- ~ ). This seems to indi-cate to some Zhou date for palalnlization; but this requires more investigation. Words in QYS -jieu 4 do not palalalize: tJ kjieu 4, &lf kjieuB 4 , etc. (SSYP p. 507). nor apparently do words in •-it: W kjiet 4 'auspicious' and a few others (sec SSYP p. 211), other words written with this phonetic element (GSR no. 393) arc placed in div. 3 and therefore arc not palatalized anyway. Also strange is the distribution of words in OC •-au in the phonetic series GSR 1138 W where all syllables starting with k· and g- are in div. 3 (and hence don't palalalize), while those with the aspirated initial kh- arc in div. 3/4 and don't palatalize because of aspiration. The miJting of div. 3 and div. 3/4 words here is also unusual.
2.4 Scenario for Type I development Whatever may eventually turn out to have been the reason for these irregularities, palatalized syllables and those in div. 3/4 arc in complementary distribution so that we can simplify the reconstruction of OC by postulating one source for both. A possible scenario of the development from OC to QYS might look like this:
Palatalized ~ OC*ke> kie> QYS tsjie > Mand. zhf a oc *kim> ki~m > QYS t§pm > Mand. zh!n flj OC *kiau > kiau> QYS Ujliu, kieu > Mand. zhilo, jiilo li 0C *ki8 > JciB> QYS t§iB > Mand. zhr !!; OC *geB> gie8 > QYS tjie8 > Mand. shl m oc *gic> giC> QYS tiC> Mand. sbl ~ OC*J)e > l]iC> QYSntje> Mand.er
til OC *l)iauB > J]iau 0 QYS nijllu0 > Mand. r~o :we, JOURNAL OF CHINESE LINGUISTICS, Vol. 24, No. 2
Not palat. ~ OC •khin > khien > QYS khjien 4 > Mand. qian :6?: OC •khch > khiec > QYS khiec 4 > Mnnd. ql
~ oc•ge> ghie> QYS g11jie 4 > Mand. qf fi 0C *l)ets > I]CS?> QYS l}jiaic 4 > Mand. yi !q OC •keuB? > keuB? > QYS lcjciuB 4 > Mand. jiao
3. TYPE II PALATALIZATION In several papers (e.g. 1981), Mei has proposed to take virtually all MC palatal initials in the OC zhi 2 rime group (Li OC •-:~g) back to velars. This rime is not front vowel, not a chongniu final, hence is not expected to palatalize initial velars. Indeed, Mei's near across the board reconstruction of vclars in this rime leaves hardly any palatals derived from OC •t which is statistically improbable. Also, the pronouns 2 •tj;,g and ;l't •kpg (in Li's OC system) need not be cognates, as he proposes, especially since TB also has two corresponding etyma with initial dental and velar respectively. Nevertheless, for the word 'tooth' we seem to have persuasive support in favor of velar palatalization inspite of the non-front vowel rime group, because 8 tshi 8 , though having 11: tsiB 'foot' as phonetic, is to be reconstructed as khi8 in Proto-Min (Norman 1988: 211). In the Shang dynasty oracle bone and Western Zhou bronze inscriptions, however, 8 'tooth' is never encountered with the phonetic element 11: , this may very well have been added much later after 'tooth' had palatalized; therefore, the Proto-Min reconstruction of this word's initial has no bearing on the OC initial consonant in 'foot' and the other graphs which share this phonetic (all •t-... ). According to our Type I palatalization hypothesis, 'tooth' not only belongs to the wrong rime class, but has also an aspirated surd initial which never palatalizes anyhow, i.e. OC •lch- > QYS lch- in all cases. The reason for the palatalization of ttl tshi 8 , I believe, is of a different nature which I will call Type ll palatalization. To repeat: Type II is distinct from Type I in two significant ways: (I) it occurs with all vowels, not just front vowels (chongniu type); (2) only one palatal, the surd aspirated QYS tshj, is involved; circumstantial evidence points to PALATALIZATION OF OLD CHINESE VELARS 207 original velar plus •1. Baxter (1992: 213-214) has drawn attention to these kinds of cases. but has not proposed an explanation. Note the following cases, sUU'ting with the ucm under discussion: 8 GSR 961 1: QYS tsbiB 'tooth' c11n be connected with TB: Bahini khlt'
'tooth'. .Jil GSR 74: QYS kjwo IIJid tsbjll 'chariot' (Li OC *kjag, khrjag). According to the Shiming, the doublet in k- represents an "old" reading (SW 14: 6399), it testifies to the velar origin of the pal11tal initial. If this item should indeed be a loan from Indo-European *kwekwlo- 'wheel' (sec Mair 1990: 45) the earlier *I in the cluster is accounted for. The different QY readings might h11ve resulted from a
*k'la vs. a dialectal (?) •ka. -- In his Jingdian shiw~n. Lu Deming gives also an aspirated fanqie form kbjwo (1. Norman, p. c.). II GSR 85 t~hjwo 8 'to dwell' (Li OC *khrjagx), phonetic is GSR 57 111: xuoB 'tiger' which had, I believe, also some sort of 0C guttural-plus-1 cluster, note the velar stop initiallt~j- in Min dialects (Bodman 1980: 183). 'Tiger' is a loan from Austroasiatic (Norman and Mei 1976): PMonic klaa? (Difnoth 1984), OKhmer kJaa 'tiger'. J1 'to dwell' is cognate to Wf gda'-ba 'to be at, be there', Mikir kedo 'to dwell', all from either a ST *k-la or *k-da. Perhaps the word QYS kjwo ,§ 'to dwell. sit' relates to ts~jwo 8 the same way as one reading of 1ll 'chariot' relates to the other (above). W GSR 496 tshjuet 'to go/come out'. OC velar initial is likely because many of the words in this phonetic series start with a velar. TB confirms the cluster: Trung klot 'come out' (Zheng-Zhang Shangfang 1987). Ill GSR 462 tshjulln 'river' (irregularly from OC rime •-un). The OC medial •t is suggested by the other initials in the phonetic series, the OC velar stop initial is confirmed in a Han period silk ms. of the Yijing where Ill tshjulin (OC •k'lun?) writes the word Jill khu:m (OC *k"lun ?) (Study Group 1984.3: 4). This Chinese word for 'river' appears to be related to wr klul) 'river' which looks like a variant of the common AA word krul}; this in tum had entered Chinese as ii OC *krol). -
Occasionally, QY final -n relates to Wf final -1), note 'goose': Wf IJaiJ, QY l)an Ill 2118 JOURNAL OF CHINESE LINGUISTICS. Vol. 24, No. 2
&; GSR 3 tsbjcB, ~jeB ' to separate' (OC rime •-aj) cog. to PL *C-klayAfC
'to separate'. It seems that the phonetic clement of this series ~ was the original graph for 'to separate'. showing two pieces of meat (?) next to each other. This was early borrowed to write the word 'all. many' (Mand. duo). However one wants to interpret the OC origin of these aspirated QYS
palatals. whether as OC k+l clusters or something else: this palatali~ation is an entirely different matter from the first type. Admittedly. my hypotheses still leave a small residue of suspected palatali~ation unac-counted for, such as Jll tsjaiJ vs. Amoy k.iuA , and 1! t~ic vs. Amoy kiC (Norman, p.c.). These require further study. However, I believe they do not detract from the ovcral pattern demonstrated in this paper.
NOTES • I am grateful for the suggestions and direct contributions to this paper by W. South Coblin and Jerry Norman.
ASBREVIA TIONS
AA Austroasiatic GSR Grammata Serica Recensa, sec Karlgren 1957 Mand. Mandarin Chinese MC Middle Chinese. ancient Chinese
QYS Qieyun system, i.e. Karlgren's "ancient Chinese", Li's "Middle Chinese~ 0 Old ... OC Old Chinese, archaic Chinese P Proto-... PL Proto-Lolo SSYP Si she11g ywrpu, sec Liang ST Sino-Tibetan S W Slmowen jiezi. sec Ding Fubao 1928 pALATALIZATION OF OLD CHINESE VELARS 209
TB Tibeto·Bunnan WT Written Tibetan
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Axel Sthuc:sslcr Wnrtburg College
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