Edward L. Shaughnessy Chinese Annals in the Western Observatory Library of Sinology Editors Zhi Chen, Dirk Meyer Executive Editor Adam C. Schwartz Editorial Board Wolfgang Behr, Marc Kalinowski, Hans van Ess, Bernhard Fuehrer, Anke Hein, Clara Wing-chung Ho, Maria Khayutina, Michael Lackner, Yuri Pines, Alain Thote, Nicholas Morrow Williams Volume 4 Edward L. Shaughnessy Chinese Annals in the Western Observatory An Outline of Western Studies of Chinese Unearthed Documents The publication of the series has been supported by the HKBU Jao Tsung-I Academy of Sinology — Amway Development Fund. ISBN 978-1-5015-1693-1 e-ISBN [PDF] 978-1-5015-1694-8 e-ISBN [EPUB] 978-1-5015-1710-5 ISSN 2625-0616 This work is licensed under the Creatice Commons Attribution-NonCommercial-NoDerivs 4.0 License. For details go to https://creativecommons.org/licenses/by-nc-nd/4.0/. Library of Congress Control Number: 2019953355 Bibliographic information published by the Deutsche Nationalbibliothek The Deutsche Nationalbibliothek lists this publication in the Deutsche Nationalbibliografie; detailed bibliographic data are available on the Internet at http://dnb.dnb.de. © 2019 Shaughnessy/JAS, published by Walter de Gruyter Inc., Boston/Berlin Printing and binding: CPI books GmbH, Leck www.degruyter.com Dedicated to the memory of LI Xueqin 李學勤 (1933-2019) 南山有杞，北山有李。 樂只君子，德音不已。 On South Mountain is a willow, On North Mountain is a plum tree. Such joy has the noble-man brought, Sounds of virtue never ending. CONTENTS LIST OF FIGURES | XI PREFACE TO THE CHINESE EDITION | XIII PREFACE TO THE ENGLISH EDITION | XV CONVENTIONS | XVII INTRODUCTION | 1 1 AN OUTLINE OF WESTERN STUDIES OF CHINESE PALEOGRAPHY | 9 1.1 General Discussions of Chinese Paleography and/or Unearthed Documents | 10 1.2 The Origin of Chinese Writing and Its Social Functions | 17 1.3 The Nature of Chinese Writing | 23 1.4 Paleographic Method | 35 1.5 Paleographic Reference Works Produced by Western Scholars | 42 1.6 Conclusion | 46 AN OUTLINE OF WESTERN STUDIES OF CHINESE PALEOGRAPHY: BIOGRAPHIES | 48 Émmanuel-Édouard CHAVANNES (1865–1918) | 48 Lionel Charles HOPKINS (1854-1952) | 52 Bernhard KARLGREN (1889-1978) | 55 Tsuen-hsuin TSIEN 錢存訓 (1909-2015) | 58 BIBLIOGRAPHY OF WESTERN SCHOLARSHIP ON CHINESE PALEOGRAPHY | 61 2 ENGRAVED IN SHELL AND BONE: NARRATIVE | 76 2.1 Frank H. CHALFANT | 77 2.2 James Mellon MENZIES | 79 2.3 Lionel Charles HOPKINS | 80 2.4 Édouard CHAVANNES and Henri MASPERO | 82 2.5 Homer H. DUBS | 84 2.6 Tsung-tung CHANG | 86 2.7 Paul L-M SERRUYS, C.I.C.M. | 89 VIII | CONTENTS 2.8 Ken-ichi TAKASHIMA | 93 2.9 David N. KEIGHTLEY | 95 2.10 Oracle Bone Editorial and Publishing Work of the 1970s and 1980s | 100 2.11 Research Results of the 1980s | 104 2.12 Scholarly Achievements in France during the 1990s | 113 2.13 Research Published Since 2000 | 117 ENGRAVED IN SHELL AND BONE: BIOGRAPHIES | 119 James Mellon MENZIES (1885-1957) | 119 Paul L-M SERRUYS, C.I.C.M. (1912-1999) | 124 David N. KEIGHTLEY (1932-2017) | 127 Ken-ichi TAKASHIMA 髙嶋謙一 | 131 ENGRAVED IN SHELL AND BONE: BIBLIOGRAPHY | 135 3 CAST IN BRONZE AND STONE: NARRATIVE | 164 3.1 Studies of Bronze Inscriptions before 2000 | 164 3.2 Studies of Stone Inscriptions | 200 3.3 Studies of Bronze Inscriptions since 2000 | 207 CAST IN BRONZE AND STONE: BIOGRAPHIES | 215 Herrlee Glessner CREEL (1905-1994) | 215 Noel BARNARD (1922-2016) | 218 Ulrich UNGER (1930-2006) | 221 David S. NIVISON (1923-2014) | 226 CAST IN BRONZE AND STONE: BIBLIOGRAPHY | 229 4 WRITTEN ON BAMBOO AND SILK: NARRATIVE | 256 4.1 Western Scholarship on Bamboo and Silk Documents between 1900 and 1970 | 258 4.2 The Jizhong Bamboo Documents | 272 4.3 Western Sinology’s Contributions to Bamboo-and-Silk Studies after 1970 | 280 4.4 General Studies | 375 WRITTEN ON BAMBOOK AND SILK: BIOGRAPHIES | 405 Henri MASPERO (1882-1945) | 405 CONTENTS | IX A.F.P. HULSEWÉ (1910-1995) | 408 Michael A.N. LOEWE | 411 Sarah ALLAN | 414 WRITTEN ON BAMBOO AND SILK: BIBLIOGRAPHY | 417 BIBLIOGRAPHY OF CHINESE TRANSLATIONS OF WESTERN STUDIES OF CHINESE UNEARTHED DOCUMENTS | 460 INDEX OF AUTHORS | 471 LIST OF FIGURES Fig. 1: Photo of the Nestorian Stele (大秦景教流行中國碑), c. 1892 | 2 Fig. 2: L. The first mention of the Nestorian Stele in Europe; R. The first published version of the inscription in Europe | 4 Fig. 3: Paul PELLIOT (1878-1945) examining manuscripts in the cave at Dunhuang | 5 Fig. 4: Marc Aurel STEIN (1862-1943) in the course of his Third Expedition to Central Asia | 6 Fig. 5: Hand-copy, transcription and translation of the opening portion of the San shi pan 散氏 盤 inscription | 7 Fig. 6: Hand-copies, transcriptions and translations of oracle bones inscriptions in Chalfant’s personal collection | 8 Fig. 7: Rubbing of Yi Hou Ze gui 宜候夨簋 inscription and Noel Barnard’s transcription of it | 37 Fig. 8: Hand-drawings of the character zhui 隹 “it is” of the Mao Gong ding 毛公鼎 | 38 Fig. 9: Diagram comparing transcriptions of the Chu Silk Manuscript done by Noel BARNARD (to the right of each double column) and by JIANG Xuanyi 蔣玄佁 | 39 Fig. 10: Bernhard KARLGREN, Grammata Serica recensa | 43 Fig. 11: June, 1980 ZHANG Changshou 張長壽 (l.), MA Chengyuan 馬承源, ZHANG Zhenglang 張 政烺 and XIA Nai 夏鼐 visiting The Golden Gate Recreation Area in San Francisco | 107 Fig. 12: Left: Wedding picture of James Mellon MENZIES and Annie Belle MENZIES; Right: Arthur MENZIES (1916-2010) | 119 Fig. 13: David Keightley attending the 1984 “Yinxu bihui” at Anyang, flanked by the great oracle-bone scholars HU Houxuan 胡厚宣 (l.) and ZHANG Zhenglang 張政烺 (r.) | 129 Fig. 14a: Jin Hou pan 晉侯盤 Vessel | 165 Fig. 14b: Jin Hou pan 晉侯盤 Inscription | 165 Fig. 15: The first page of Lionel HOPKINS’s table comparing different script form of characters found in the Jin Hou pan 晉侯盤 inscription, the so-called Bushell Bowl | 168 Fig. 16: 1935-1936 Burlington House International Exhibition of Chinese Art and Some of Its Bronze Vessels | 174 Fig. 17: X-ray of the Ran fangding 冉方鼎 in the Asian Art Museum of San Francisco clearly showing spacers located around the inscription area | 184 Fig. 18: The Great Bronze Age of China catalog | 188 Fig. 19: ZHANG Zhenglang 張政烺 (l.), MA Chengyuan 馬承源, ZHANG Changshou 張長壽, Edward SHAUGHNESSY, and Rene Yvon Lefebvre d’ARGENCE inspecting bronze vessels in the museum’s storage area | 190 Fig. 20: Left: Jessica RAWSON, Western Zhou Ritual Bronzes from the Arthur M. Sackler Collections; Right: Edward L. SHAUGHNESSY, Sources of Western Zhou History: Inscribed Bronze Vessels | 194 Fig. 21: Left: Robert W. BAGLEY, Shang Ritual Bronzes from the Arthur M. Sackler Collections; Right: Jenny SO, Eastern Zhou Ritual Bronzes from the Arthur M. Sackler Collections | 199 Fig. 22: Left: Catalogue of Chinese Rubbings from Field Museum Rubbings; Right: Black Tigers: A Grammar of Chinese | 204 Fig. 23: Aurel STEIN (1862-1943) in Xinjiang | 258 Fig. 24: Sven HEDIN (1865-1952) in the Lop-nor Desert | 259 XII | LIST OF FIGURES Fig. 25: Édouard CHAVANNES, Les Documents chinois découverts par Aurel Stein dans les sables du Turkestan Oriental (400120) title page | 262 Fig. 26: A sample transcription of the Han-dynasty Jijiu pian 急就篇 from CHAVANNES’s Les Documents chinois découverts par Aurel Stein dans les sables du Turkestan Oriental | 263 Fig. 27: August Conrady, Die Chinesischen Handschriften und sonstigen Kleinfunde Sven Hedins in Lou-lan (400130) title page | 265 Fig. 28: Henri MASPERO, Les documents chinois de la troisième expedition de Sir Aurel Stein en Asie Centrale (400250) title page | 267 Fig. 29: Portion of Henri MASPERO, Les documents chinois de la troisième expedition de Sir Aurel Stein en Asie Centrale (400250) concerning the Han-dynasty manuscript of Jijiu pian 急就篇 | 268 Fig. 30: 39 wooden strips from tomb 364 at Chŏngbaek 貞柏, P’yŏngyang 平壤, North Korea | 287 Fig. 31: Photograph and Line-drawing of strips of Lunyu, from tomb 364 at Chŏngbaek 貞柏, P’yŏngyang 平壤, North Korea | 288 Fig. 32: Donald Harper, Early Chinese Medical Literature | 306 Fig. 33: A.F.P. Hulsewé: Remnants of Ch’in Law | 314 Fig. 34: Yuri PINES, Lothar von FALKENHAUSEN, Gideon SHELACH and Robin D.S. YATES ed., Birth of an Empire: The State of Qin Revisited | 323 Fig. 35: Ulrich LAU and Michael LÜDKE, Exemplarische Rechtsfälle vom Beginn der Han Dynastie: Eine kommentierte Übersetzung des Zouyanshu aus Zhangjiashan/Provinz Hubei | 329 Fig. 36: Robin D.S. YATES and Anthony BARBIERI- LOW, Law, State, and Society in Early Imperial China: A Study with Critical Edition and Translation of the Legal Texts from Zhangjiashan Tomb No. 247 | 330 Fig. 37: Matthias Richter,The Embodied Text | 365 Fig. 38: P.M. Thompson, "On the Formal Treatment of Textual Testimony": Collation of Zhang 2 | 395 PREFACE TO THE CHINESE EDITION This book was conceived in December, 2009, when Professor LIU Zhao 劉釗, di- rector of the Center for the Study of Unearthed Documents and Paleography (Chutu wenxian yu guwenzi yanjiu zhongxin 出土文獻與古文字研究中心) of Fu- dan University 復旦大學, invited me to that center to give a series of three lectures. According to the invitation, the topics of two of the lectures were to be of my own choosing, but one lecture should be an overview of western studies of Chinese unearthed documents or paleography. I resisted this suggestion, preferring to talk only about my own scholarship. However, Professor Liu was insistent, and in the end I had to acquiesce, presenting a lecture entitled “The History of West- ern Studies of Bronze Inscriptions” (Xifang jinwen xue shi 西方金文學史; 15 De- cember 2009). The lecture, delivered extemporaneously based on a PowerPoint presentation, received an unexpectedly warm response, with both Professor Liu and also Professor QIU Xigui 裘錫圭 suggesting that I turn the PowerPoint presentation into a formal publication.