The Role of Contact in the Origins of the Japanese and Korean Languages 9780824891015

Table of contents :
Contents
Acknowledgments
Conventions
Introduction
1 Contact Hypotheses and Their Consequences
2 Critical Assessment of the pKJ Reconstruction
3 Convergence Theories
4 Japanese Borrowings from Old Korean 4 Japanese Borrowings from Old Korean
5 Syncretism in Japanese Mythology
6 The Korean Role in the Rise of Kofun Culture
7 Languages in Contact with Early Japanese
Works Cited
Indexes

Citation preview

The Role of Contact in the Origins of the Japanese and Korean Languages

The Role of Contact in the Origins of the Japanese and Korean Languages

J. Marshall Unger

University of Hawai'i Press Honolulu

© 2009 University of Hawai'i Press All rights reserved Printed in the United States of America 14 13 12 11 10 09

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Unger, J. Marshall. The role of contact in the origins of the Japanese and Korean languages / J. Marshall Unger. p. cm. Includes bibliographical references and index. ISBN 978-0-8248-3279-7 (hardcover : alk. paper) 1. Japanese language—Etymology. 2. Korean language—Etymology. 3. Japanese language—Grammar, Comparative—Korean. 4. Korean language—Grammar, Comparative—Japanese. I. Title. PL525.2.U54 2008 495.6'2—dc22 2008034066 Acknowledgments Jacket photo courtesy of John H. Bryant: a reconstructed Late Yayoi storehouse at the Toro archaeological site near Shizuoka Figure 1 reproduced from Christopher I. Beckwith, Koguryo: The language of Japan's continental relatives, 2004, with the permission of Koninklijke Brill NV Figure 2 courtesy of the Smithsonian Institution, Global Volcanism Program (www. volcano.si.edu)

University of Hawai'i Press books are printed on acid-free paper and meet the guidelines for permanence and durability of the Council on Library Resources. Camera-ready copy prepared by the author Printed by The Maple-Vail Book Manufacturing Group

Contents Acknowledgments

vii

Conventions

ix

Introduction

xi

1

Contact Hypotheses and Their Consequences

1

1.1 Operationalizing the proto-Korean-Japanese hypothesis

2

6

1.1.2 Post-migration convergence?

12

1.1.3 Divergence

17

1.2 Language contact as a supplementary hypothesis

21

1.3 Should the pKJ hypothesis be rejected?

29

Critical Assessment of the pKJ Reconstruction

39

2.1 Phonemic correspondences

41

2.1.1 Pre-OJ mid-vowel raising

3

.

45

2.1.2 Vowels

50

2.1.3 Some etymologies

53

2.2 Grammatical similarities

59

Convergence Theories

71

3.1 Beckwith's theory

71

3.1.1 What do we know of Koguryoan?

73

3.1.2 Who named the places?

80

3.1.3 Who were the Yemaek?

82

3.1.4 Were founding myths inherited?

87

3.2 Vovin's theory

90

3.2.1 Is the nasal-cluster theory valid?

90

3.2.2 How did Japanese spread?

94

4 Japanese Borrowings from Old Korean

5

2

1.1.1 Pre-migration convergence?

107

4.1 Synonyms of OJ words with para-Japanese cognates

107

4.2 Synonyms of OJ words with Korean cognates

113

4.3 Synonyms of OJ words of uncertain provenance

115

4.4 Innovative loans from Korean

121

Syncretism in Japanese Mythology

123

5.1 Volcano myths

128

5.2 Identification of chronological strata

135

V

vi 5.2.1 Confounding the moon with Susa-no-wo

136

5.2.2 Winning the bride from Susa-no-wo

139

5.3 Dating the syncretism 6

The Korean Role in the Rise of Kofun Culture

143

6.1 The Yayoi-Kofun transition

145

6.1.1 Mounted archery

7

141

146

6.1.2 Writing and speaking

150

6.1.3 Other elements

152

6.2 How many non-Japonic languages were there?

156

Languages in Contact with Early Japanese

161

7.1 Wet-field rice cultivation

163

7.2 Bronze

169

7.3 Languages of the trade network

172

Works Cited Indexes

177 197

Middle Korean

197

Modern Korean

198

Old Japanese

199

Modern and Middle Japanese

202

English glosses

203

Acknowledgments The time needed to research and produce this study was made possible by generous grants from the John Simon Guggenheim Memorial Foundation and the Japan Foundation. The encouragement needed to investigate new hypotheses and see the work through to publication came in large measure from my memories of conversatons with Robert Austerlitz in the decade before his death in 1994. He was inspiring as both a linguist and a friend, and I hope this small book reflects some of the adventurous spirit he conveyed, in so many ways, to his students and colleagues. My sincere thanks to Professor Nishimitsu Yoshihiro of Kobe University, who welcomed me as a visiting scholar in the Department of Linguistics in 2005, and to Professors Shibatani Masayoshi, formerly of Kobe University, Shoji Hiroshi of the National Museum for Ethnology, and Komatsu Hideo of the Iwate Prefectural University. Their help during the planning phase of this project was indispensable. My year in Japan gave me a chance to benefit from conversations with both new acquaintances and old friends: Christopher Beckwith, Hongo Tomiko, Mark Hudson, Fukui Rei, Charles Keally, Kiyose Gisaburo, Mabuchi Kazuo, Oyama Hajime ("Gen"), Pai Hyung-Il, Martine Robbeets, Sakiyama Osamu, and Yoshii Hideo, all of whom went out of their way to share their thoughts with me. I also wish to thank the many scholars working outside Japan who have graciously helped me at various stages of my research: Mary Beckman, Mark Bender, Elisabeth de Boer, Bjarke Frellesvig, Charlotte Horlyck, Richard Janda, Juha Janhunen, Brian Joseph, Ross King, Gari Ledyard, Gyoung-Ah Lee, Victor Mair, Marc Miyake, Robert Ramsey, Don Ringe, Laurent Sagart, Leon Serafim, Richard Torrance, Timothy Vance, Alexander Vovin, John Whitman, and the anonymous referees who read the manuscript for the University of Hawai'i Press. Whether in the form of challenging criticisms or encouraging advice, the stimulation and guidance I received from all these people have been invaluable. This is not to say we came to see eye to eye on every issue. I have not tried to hide the disagreements that remain, and I hope that none of the critical comments I make about some of their writings will be taken amiss. After all, I also criticize positions I vii

viii advanced in previous works myself, and expect there are a few in what follows that I will want to revise later as new data and better analyses of old data make their appearance. No progress on difficult problems, like the one addressed here, can be made without skepticism and a few false starts. The main thing is to learn from others when you can, argue in good spirit when you must, and never lose your sense of humor.

Conventions Following Martin 1987, I will call the inflectional paradigms (katsuyd) of Japanese verbs quadrigrade (yodan), monograde (ichidan), bigrade (nidan), and k-, n-, r-, and s-irregular (ka-gyo, na-gyo, ra-gyo, and sa-gyo henkaku), but instead of the Japanese terms kami 'upper' and simo 'lower', I will distinguish monograde and bigrade paradigms as i-type and e-type. Instead of calling the stems of these paradigms mizenkei, ren'yokei, shushikei, rentaikei, izenkei, and meireikei, I will use the more helpful terms pseudo-stem, infinitive, predicative, attributive, subjunctive, and imperative, respectively, as in Unger 2000a. Unless a form is preceded by an asterisk (*), indicating that it is hypothetical or unattested, non-English words are italicized, and emphasized words are therefore written in small capitals. When needed for clarity, phonemic notation is enclosed in slashes, phonetic notation in brackets. In linguistic examples, parentheses indicate optional presence, and hyphens mark morpheme boundaries; = means 'is realized as', f 'is distinct from'; > 'develops regularly into'; < 'arises regularly from'; —> 'is changed to', 'is replaced by', or 'is borrowed as'; B ^ C. But could one then not argue, as Beckwith (2004) does, that ALL apparent K-J cognates are the result of borrowing (or chance resemblance)? This amounts to rejecting the entire pKJ hypothesis, a step that, I hope it is now clear, raises more problems than it solves. Nevertheless, Vovin (forthcoming b) and Beckwith (2004) are proposing, for quite different reasons, to take it. Beckwith barely mentions the Martin-Whitman etymologies or Korean except when he claims a superior Koguryoan-Japanese etymology. His argument rests on a comparison of morphemes

35. Despite some finds of Yayoi pottery sherds and bronze objects in the Ryukyus, Hudson (1999: 136-37) describes the pottery as "imported," dates it to the Middle Yayoi, and concludes, "[T]he main defining elements of Yayoi culture are absent: there is no evidence of rice agriculture, of large moated villages, or of social stratification."

30

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

recovered from Hou Han shu, Wei zhi, and other Chinese texts as well as Samguk sagi. Certain place-names in these works, he believes, reflect Koguryoan, an actual language different from Korean but genetically related to Japanese. He also makes occasional reference to Japanese texts, such as Nihon shoki, when they contain words interpreted as fragments of Paekchean, which he also takes to have been an actual language different from Korean and related to both Japanese and Koguryoan. These ideas form the basis for the linguistic part of Beckwith's theory. He takes statements in Chinese historical and ethnographic documents as proving that the kingdoms of both Koguryo and Paekche were founded by people from the earlier kingdom of Puyo and that all these peoples, plus the founders of Yayoi culture in Japan, once belonged to a single group living in Liaoxl. They had migrated there, he thinks, sometime before 400 BCE by sea from an area in southern China, where they were in contact with speakers of both early Tibeto-Burman and Sinitic languages.36 In Liaoxl, [p]ressed by the Chinese on the one hand and Central Eurasian powers such as Xiongnu on the other, the Japanese-Koguryoic peoples came to be differentiated into farming and fishing Wa (or Yayoi) peoples and more warlike Puyo-Koguiyoic peoples. In both cases, though, those who wanted to survive evidently had little choice but to move somewhere else. Firstly, whether or not some of them, the ancestors of the Yemaek state of eastern Korea, moved by land to Liadong and Korea with Wiman Choson, it was at about the same time that some did move by sea to the southern tip of the Korean Peninsula and to northern Kyushu; these were the Yayoi or Wa, the ancestors of the Japanese. Others

36. For Beckwith, the Sinitic and Tibeto-Burman languages did not spring from a common source. "[l]t is certainly possible that Tibeto-Burman and Chinese are genetically related, but since the best-supported etymologies appear to be shared not only with Japanese-Koguryoic but also with Indo-European, it is likely that the relationship is either one of shared loan influence from the same donor or of common descent from the same intrusive ancestor" (Beckwith 2002: 154-55). The meaning of this passage is unclear to me, but it shows at least that Beckwith was treating his Japanese-Koguryoic family as an established fact, and making use of it in comparative studies of other languages of East Asia, as early as 2000, the year of the conference at which the papers in Beckwith 2002 were presented.

CONTACT HYPOTHESES AND T H O R CONSEQUENCES

31

eventually moved overland into southern Manchuria to found the Puyo kingdom. Still later, the Koguryo and other Puyo-Koguryoic peoples also moved by land into Liaodong, southern Manchuria, and Korea. The latest to move were a group of Wa, who migrated by sea to the Ryukyus at around that time, and the Puyo-Paekche, who conquered the Mahan area of Korea (the western south-central region, focused on the area of modern Soul) in the mid-fourth century. (Beckwith 2004:36-37)

In one passage, Beckwith puts the events reflected in the Wiman Choson legend at about 200 BCE (Beckwith 2004: 35), which would seem to place the Yayoi migration too late in the chronology (more so if new radiocarbon dates for Initial Yayoi are accepted), but in a later passage, he makes it clear that the Yayoi migration began around 400 BCE. In Japan, the technologically more advanced Yayoi farming people overwhelmed the relatively primitive hunter-gatherer J5mon, as expected on the basis of many other similar, historically attested encounters. Based on the archaeologically attested changes, we must assume that the same migratory people had a powerful impact on the inhabitants of southern Korea as well. The Han [i.e., Korean, i t ] languages must also have been under tremendous linguistic influence from the Japanese-Koguryoic-speaking Yayoi immigrants, and were undoubteldy changed radically in structure due to Japanese-Koguryoic linguistic influence. Among other things, they must have accepted many loanwords from the immigrants' language. It is even possible that some of the old toponyms in southern Korea date back to the Yayoirelated influx in the fourth century B.C.[E.]. However, Korea was then technologically more advanced than Jdmon Japan, and the Han languages did survive in what became the Silla and later Paekche kingdoms.37 (Beckwith 2004:243)

37. Beckwith did not always think that Korean was impinged upon by "JapaneseKoguryoic" speakers. In an earlier work, he wrote, "[S]ometimes even a small intrusive group can successfully maintain and eventually impose their language in the colonized territory. This happened in Turkey with the replacement of Greek by Turkish, in Egypt, with the replacement of Coptic by Arabic, in Hungary, with the replacement of German and other languages by Hungarian, and in Korea, with the replacement of Koguryo, Paekche, and other languages by Korean" (Beckwith 2002:152-53).

32

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

Although in accord with Beckwith's theory, this interpretation of the archaeological data is hardly objective. Jomon Japan, though neolithic, was by no means "primitive." As Lee (2003) showed, agriculture (though not wet-field rice techniques) began in southern Korea (and in Japan) much earlier than the latter half of the 1st millennium BCE. Thus, even if the languages of agriculturalists always prevail over the languages of hunter-gatherers upon whom they impinge,38 that fact is immaterial for the region we are studying. Furthermore, what technological advantage could Han people have had over Yayoi intruders that would have, on the one hand, guaranteed the survival of their language, yet, on the other, allowed it to be "changed radically in structure due to [contact]"? Since there is none, we would be wiser to question the timehonored but unproven assumption that "Han" and "Korean" are names for different stages of the same language(s). For reasons I present in later chapters, it is more likely that Han originally referred to the para-Japanese cultural remnant left behind by the Yayoi migrants than to speakers of Early Old Korean. Vovin, in contrast to Beckwith, delves deeply into Korean internal reconstruction and dialect comparison. His strategy in Koreo-Japonica (forthcoming b) is to refute as many individual pKJ etymologies as possible. (The echo of Gerhard Doerfer's 1985 Mongolo-Tungusica is no doubt intentional.) Often he questions the meaning or history of individual etyma in Korean, Japanese, or both, but repeatedly raises two general objections. One derives from a sweeping theory, adumbrated in Vovin 2001 and spelled out in Vovin 2004, concerning the Middle Korean voiced fricatives W (i.e., [|3]), G (i.e., [y]), and z, as well as certain instances of Z, all wordmedial. Martin (1996) argued that the segments in question were conditioned allophones of the obstruents p, k, s, and t countering the proposal of Ramsey (1986, 1991) that they reflected pre-MK phonemes *b, *g, *z, and *d, which had merged with p, k, s, and t in

38. This is a central theme of Diamond 1997 and is mentioned by Rozycki (2003) as a reason for thinking that proto-Japanese was not a Jomon language, but, as explained in §1.1.2, there are stronger ones. Diamond and Bellwood 2003, a world survey, attempts to show that farmers' speech always supplants huntergatherers' speech, but its treatment of Austronesian and Afroasiatic languages is controversial (Oppenheimer 2004; Ehret, Keita, and Newman 2004).

CONTACT HYPOTHESES AND THEIR CONSEQUENCES

33

initial and final position. Vovin (2004) agrees with Ramsey that the critical MK phonemes were not originally allophonic, but thinks that the critical MK W, G, z, and 1 came from pre-MK *p, *k, *s, and *t; MK p, k, s, and t, on Vovin's account, come from pre-MK *np, *nk, *ns, and *nt. If this is so, then, because premodern Japanese distinguished plain (seion) from prenasalized obstruents (dakuon), one expects that medial MK p, k, s, and t should correspond to OJ b, g, z, and d, and MK W, G, z, and 1 should correspond to OJ p, k, s, and t. But in many of the Martin-Whitman etymologies, medial MK p, k, s, and t correspond to OJ p, k, s, and t, which alone, in Vovin's eyes, casts doubt on them. In the end, he concludes that fewer than twenty etymologies pass muster. All the rest are wrong or, in about seventy instances, are due to borrowing. The other recurring theme, set forth in Vovin 2005a, is based on an idea similar to Serafim's 2003 criticism of Unger 2001. It envisages Japonic as a language family with two main branches: Ryukyuan and main-island Japanese. Western (Yamato) Old Japanese and Eastern (Azuma) Old Japanese were, in this view, already well differentiated by the beginning of the historical period. Therefore, if a Korean-like word appears in Western Old Japanese but in neither Eastern Old Japanese nor in Ryukyuan, the probability that it could be the Japanese reflex of an inherited pKJ word is discounted; Vovin takes it to have been a borrowing from Korean into Western Old Japanese of the mid 1st millennium CE. In my opinion, Vovin's assessment of the linguistic situation on the peninsula is superior to Beckwith's, though, as will become clear later on, Beckwith's idea of a role for the area south of the YangzT in the story of the Yayoi migration is not without merit.39 Certainly Vovin's frontal assault on the pKJ hypothesis, trying to strip it of as many supporting K-J etymologies as he can, is the correct procedure from a technical standpoint. Beckwith deals with K-J etymologies unsystematically, only when they conflict 39. Since Vovin has not published Koreo-Japonica yet, it is perhaps unfair to note that Beckwith has been severely criticized in Byington 2006 for his handling of historical and archaeological materials and in Pellard 2006 for his handling of Japanese linguistic materials and techniques of reconstruction. Still, as explained in §3.1, they have identified weaknesses in Beckwith's argument that cannot be ignored.

34

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

with his own Koguryoan-Japanese etymologies. Furthermore, Beckwith's attempt to get around what Hudson (1999: 97) calls the "geographical inversion" problem40 requires too much speculation, and he never provides independent grounds for accepting the Samguk sagi ascription of place-names to Koguryoan or Paekchean (as opposed to para-Japanese).41 It must also be remembered that 40. The problem is that Koguryo and Silla are at the wrong ends of the peninsula given the similarities between Yayoi culture and that of the contemporary southern peninsula. If Koguryoan and proto-Japanese were genetically related languages, why do we not find evidence, in or near the ancient northern homeland of Koguryo, of a Yayoi-like culture? 41. The closest Beckwith comes to this is a passage (2004: 14-15) in which he criticizes Lee Ki-moon for claiming that a word mil 'three' occurred in a Kara place-name. Lee pointed out that the character 'push' is used interchangeably twice with K mil in a Silla place-name, which in the post-unification doublewritings typically correponds to H 'three'—the very reason that Beckwith is confident there was a Koguryoan word *mir 'three' cognate with OJ mi id. Since K mil-ta means 'push', Lee concluded, in effect, that f t in the Kara place-name stood for this same *mir. Beckwith argues Lee is wrong for three reasons. First, unless Sillan and Karan were the same language, a Sillan gloss on fft should not have been functional in Karan. Second, given the rising pitch of MK "mil 'push', one can reconstruct an earlier *mi'Cil with two syllables, hence different from *mir. Third, the similar-looking character M 'repress' could be interpreted as "a phonetic rendering of a Kara word for 'three', *soi, related to the Middle Korean word for 'three'" (Beckwith 2004: 15). But this assumes that f t was used mistakenly for # 1 in three separate loci; moreover, if f t were a mistake for M, then the substitution of f t for (N.B. not for H ) means that the scribes thought that (a phonogram for *mir!) should be read *soi or the like, which is absurd. It is also strange that W-, rather than a character for a syllable of the kind MCh *sVk, would have been chosen to transcribe the antecedent of MK "se(k) ~ "sey(h) 'three', since the y was likely a by-product of the lenition of *k to h; cf. OJ saki'three' in sakikusa even if only a loanword. The change OK *mi'Cil > "mil 'push' (if there really was one) could have preceded the time of the gloss, and Beckwith ends up concluding that Karan and Sillan were not distinct languages, which was his reason for doubting the functionality of a Sillan gloss on f t in a Karan place-name in the first place. Perhaps Lee Ki-moon was mistaken on that score; nevertheless, the essential fact, which Beckwith does not deny, is that f t and $5 were used interchangeably. Beckwith remains adamant (2005: 39 nl2) that his "philological" winnowing of the place-name data is correct and that all theories other than his about their

CONTACT HYPOTHESES AND THEIR CONSEQUENCES 35

the total number of so-called Koguryoan words is small, and that the ones best attested are geographical designators—words meaning 'mountain', 'valley', 'river', and the like. Words that modify these designators are, as one might expect, rarely found more than once or twice. The number of so-called Paekchean words is even smaller. For all these reasons, Vovin's approach seems sounder than Beckwith's. But if one abandons the K-J hypothesis altogether, as Vovin thinks we must, then contact would seem to be the only way to account for those similarities we observe, and something like Beckwith's theory of a long-term pre-Yayoi intrusion into the southern peninsula becomes unavoidable. It is not impossible that advances in archaeology and physical anthropology might yield results that radically alter our present understanding of the Korean Mumun period and thus increase the plausibility of preJapanese impinging on but not obliterating pre-Korean in the manner Beckwith suggests. Moreover, though I cannot agree that Koguryoan and Japanese were related languages distinct from Korean, Beckwith's ideas about the later Yayoi-Kofun cultural transition in Japan are worthwhile (see §§3.1 and 6.1). Conversely, though Vovin's focus on linguistic data and his methodological rigorousness are admirable, his unremitting negativism causes concern. The objections he raises to one etymology often have little to do with his objections to another. Indeed, since his ultimate conclusion is that there is no reliable evidence that Korean and Japanese are related languages, there seems to be little point in distinguishing possible borrowings from rejected etymologies. No alternative theory is offered to explain when or how contact between Korean and Japanese could have resulted in the great degree of syntactic parallelism found in the two languages. Most troubling, Vovin (2005a) relies heavily on the significance of missing data, the absence of reflexes of various (Western) Old Japanese words in Eastern Old Japanese or Ryukyuan dialects. Considering how much more material of Yamato provenance survives from the 8th century compared with Azuma texts, and the much

significance are therefore invalid, but the initial premise in this line of reasoning would seem to be overly optimistic.

36

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

later date of our earliest Ryukyuan sources, such gaps may be purely fortuitous.42 I think it would be rash to abandon the pKJ hypothesis, though we certainly need to take a hard look at the reconstruction it implies. This I do in chapter 2, where I argue that grammatical similarities, though tangential to orthodox comparative practice, nevertheless favor the proto-Korean-Japanese hypothesis. Although the evidence assembled so far in support of the pKJ hypothesis is problematic from an orthodox perspective, it remains more attractive than these alternatives. To show this, I turn in chapter 3 to the latest alternative proposals, Beckwith's and Vovin's competing theories, which purport to explain lexical and grammatical similarities between Korean and Japanese through contact. I then reinterpret the triad evidence discussed in Unger 2001 and 2003 in chapter 4, showing how borrowings from Korean to Japanese ought to be identified, and arguing that they came into Japanese during the 1st millennium CE. The features that distinguish these loanwords leave a residue of unmarked lexical resemblances that, like grammatical similarities, are best explained by genetic relationship. I next turn to the analysis of some Japanese myths (chapter 5) and other pertinent non-linguistic facts (chapters 6 and 7) that point toward a theory of early Japa-

42. A good example of the sort of mistake that can result from relying too heavily on negative evidence is seen in Vovin's (2005a: 54) argument against W250 MK mali 'head': OJ me < *mai 'eye'. According to Vovin, the correct etymology is MK mali id. < EMK *mati —• OJ mata 'head', a form that occurs in neither Azuma nor Ryukyuan materials, and so, Vovin believes, must be a borrowing from Old Korean. While EMK *mati is probably a valid reconstruction (see §2.1.3 below), OJ mata 'head', which Vovin (2000:142-43) deduces from yamata no woroti, the name of the eight-headed/eight-tailed serpent in the myth of Susa-no-wo (see §5.l), is not. Vovin reasons that yamata EMJ (kau)kuri, contaiy to Beckwith (2004: 31-32), who claims that the strings M^JM, MM, MM, and fig® (which he says is the oldest form) all represented the same name (roughly *koklay). The anachronistic link between *kure and Wu which denoted a kingdom absorbed by the Han iH in 473 BCE, came about because peninsula dwellers who knew Chinese had already adopted S I for themselves. The emblematic value of this character was more important, in this context, than its reading; in fact, the Japanese glossed it Aya, which is phonetically unrelated to the Chinese name (see §6.1.l). In the same way, it was logical to let ^ stand for the name the impinging Koreans used for themselves. Many passages in the early Japanese histories make better sense if one takes ^ and i l R a s different names for the same state. 4. Though [u], [i], and [i] can be heard in various Ryukyu dialects, Thorpe (1983) reconstructed just five vowels /a, i, u, e, o/ for his proto-Ryukyuan. Lange reconstructs OJ /u/ simply as a "high back vowel" (1973: 117). The principal allophones of /u/ in most dialects today are [i] after [s, z, n, y] and [IU] elsewhere. Both, like /o/, are unrounded, though [IU] may be accompanied by "lip compression in careful speech" (Vance 1987:10-11; see also Martin 1959:373-74). Martin

44

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

Azuma dialect have mid vowels where high vowels are expected (Hino 2003). Frellesvig and Whitman's seventh pj vowel, /i/, on the other hand, is not needed for any of the foregoing reasons but rather to provide two sources for the vocalic part of OJ Co syllables—socalled "B-type o"—which is widely believed to have been [a] phonetically. It also turns out to be useful in K-J comparisons. Though I think this theory has merit, it seems to me that there are at least two problems with it as presented by Frellesvig and Whitman. One is that, while pj *e and *o raised, *i would have LOWERED. The other is that the rules governing the development of pj *e and *o were almost certainly more complicated than Frellesvig and Whitman allow. I will therefore argue that if more than six vowels (/a, i, u, e, o, a/) are needed for proto-Korean-Japanese, they should be treated as glide-vowel combinations like MK [u] and [o], which Martin (1992,1996) phonemicizes as /wu/ and /wo/.

(1987: 7) thinks that pj *u was originally [u], implicitly because few if any languages other than modern Japanese have [IU] or [i] but lack [uj; on the basis of han'gul transcriptions, he thinks Japanese /u/ was unrounded just before 1700 (18). But if so, one wonders how the unrounding spread to such a wide range of dialects at a late date so quickly. Another weakness of this theory is that Koreans today regularly render J [IU], which they hear as farther back than K /u/ = [i], as K /wu/ = [u], saving K /u/ for the J [i] allophone. (Cho 1970:1.153 makes a similar point.) For example, English flash becomes K /phullaysi/, but the Japanese version of the same word yields K /hwulasi/ (iverson & Lee 2006: 71). The Korean Irop'a of 1492 (discussed also in Lange 1973: 34-37) uses MK /wu/ for all LMJ trending syllables. This implies that /u/ then had only one realization, but not necessarily that it was [u] rather than [ui]. Miyake (2003a: 207-11) goes a step beyond Martin, arguing that OJ /Cu/ # /Cwi/ was [Cu] 4- [Ci] (see n. 2, p. 42), that is, that OJ /u/ was DISTINCTIVELY rounded. I suspect Miyake has given too much sway to the phonetics of the MCh syllables corresponding to ongana, for the change of both pre-OJ [Cai] and [Cui] to OJ /Cwi/ and the subsequent collapse of OJ /Cwi/ ^ /Ci/ to EMJ /Ci/, soon followed by the merger of the SYLLABLE /wi/ into the SYLLABLE /i/, are both more understandable phonetically if [Cwi] rather than [Ci] were the realization of OJ /Cwi/.

CRITICAL ASSESSMENT OF THE P K J RECONSTRUCTION

2.1.1

45

Pre-OJ mid-vowel raising

On the basis of dialect comparisons and internal reconstruction within Japanese itself, six vowels suffice. This is seen in the derivation of the roots of bigrade verbs from the roots of quadrigrade verbs with the addition of *i. It is immaterial whether this *i comes from an earlier *gi, as proposed in Unger 2000a, or is identical to the infinitive-forming *i, or has some other morphemic status. What is important is that all five observed syllabic alternations OJ Cu ~ Cwi, Cwo ~ Cwi, Co ~ Cm, Co ~ Ce, and Ca ~ Ce can be understood as *CV ~ CVi (V ^ *i) as follows: *sabu *sugo *ipi *kama *aka

> sabu- 'lonely' ~ sabwi- sugu-s- 'pass' ~ sugwi- < *sugo-i 'exceed' > opo- 'big' ~ opwi- < *ipi-i 'grow big' > komo-r- 'hide' ~ kome- < *kama-i 'hide, enclose' > aka(-) 'red' ~ ake- < *aka-i 'redden, get light'

Notice that pj *sugo must be the root of OJ sugu because, despite OJ sugusu, we have Azuma dialect sugwosu; indeed sugosu is the modern standard form of this verb. (Note also that *kama and *ipi could theoretically be *kima and *api.) A similar reconstruction can be used for OJ apophonic nouns (Unger 1977 [1993]), where again the exact status of the *i morpheme is not immediately relevant. *tuku *ki *sa *ta

> tuku- 'moon' > ko- 'tree' > so- 'back' > ta- 'hand'

~ tukwi ~ kwi ~se ~ te

< *tuku-i < *ki-i < *sa-i < *ta-i

(Theoretically, the first root could have been *tuko since non-final *o would surface as OJ u.) The difficulty here lies in the fact that there are cases in which the OJ syllables Ce and Cwi alternate separately not only with Co but also with each other. These include ke 'tree' (e.g., Man'yoshu 20 matu no ke 'pine trees') ~ kwi id.; mwi- 'turn' ~ me-gur- 'turn, revolve' (cf. kur- 'reel', kiiru-ma 'wheel'); nobwi- 'extend, lengthen (intrans.)' ~ nobe- 'extend (trans.); state'; komwi- 'put in (a container)' ~ komeid.; and ke- 'melt away, vanish' ~ kwi-ri 'fog, mist'. Contrast these,

46

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

respectively, with ko-dati 'stand of trees', mo-topo-r- 'turn around', nobo-r- 'climb', komo-r- 'surround, hide away', and ko-s-ame 'drizzle'. Note also se 'back' ~ si-ri 'buttocks' (cf. so-muk- 'turn away from'), where, however, there are no A-B distinctions for the syllables ending in front vowels. In each of these cases, we have a three-way alternation. Under Frellesvig and Whitman's theory, the C(w)i and Ce alternants must be derived, respectively, from *Cii and *Cai; therefore, one must reconstruct final *Ci and argue that the high and mid alternants were formed, respectively, before and after *Ci lowered to and coalesced with *Ca. But to reconstruct, for example, *kami instead of *kam9 defeats the whole purpose of introducing two sources for OJ "B-type o" in the first place! The only way out of this predicament, as long as we accept *i as the seventh pj vowel, is to reconstruct (continuing the same example) *kama and argue that *a raised to *i in some dialects before *i lowered to *a more generally. Later dialect mixture would then account for the threeway alternations.5 This is not an impossible explanation, but if dialect mixture must be invoked, there is a way to explain the three-way alternations without introducing a pj distinction. Assuming, as before, that OJ /Co/ was [Ca], one need only say that pre-OJ *Cai developed into an intermediate stage *Cwe, which, in some dialects, delabialized to OJ Ce, and, in others, raised to Cwi. The threeway alternations are, in this view, due to a mixture of forms that regularly developed in these two dialectal varieties. This solution was proposed in Unger 1977 [1993], building on the observation that the Okinawan reflex of OJ i-bigrade oku 'arise' okwi-) has

5. Exactly when under the Frellesvig-Whitman theory the changes *Cai > Ce and *Cii > Cwi happened with respect to the lowering of *i to is unclear. "Among polysyllabic stems we only find the three alternations OJ CVCu- ~ CVC(w)i, CVCo- ~ CVC(w)i and CVCa- ~ CVCe; but not CVCo- ~ CVCe (the alternation which supports our proposal of two pj sources for OJ o). This indicates that the distinction between pre-OJ *i and *a was maintained longer in monosyllabic stems than in polysyllabic, or, more likely perhaps, that contraction in final position was completed earlier (before the merger of *i and *a) in monosyllabic than in polysyllabic stems" (Frellesvig and Whitman 2004: 292). But since the Cwi ~ Ce alternations for the SAME words include both mono- and polysyllabic stems, there will be disconfirming cases whichever explanation one picks.

CRITICAL ASSESSMENT OF THE P K J RECONSTRUCTION

4 7

unpalatalized [k], like the Okinawan reflex of OJ e-bigrade uku 'receive' uke-) and unlike the Okinawan reflex of OJ i-bigrade sugu 'exceed' (~ sugwi-) or tuku 'exhaust' (~ tukwi-), which show the effects of palatalization. Velar palatalization in Okinawan was triggered by an adjacent / i / , yet only Okinawan ki that correspond to OJ ki or km < *kui (not kwi < *koi) were affected. Like Okinawan syllables corresponding to EMJ ke, which was pronounced [ki] when palatalization occurred,6 the syllables corresponding to OJ *koi must also have been distinct from / k i / . (The well-known French change [oi] > [we] > [wa] shows that pre-OJ *ai > *we is phonetically plausible.) Notice also that the eventual change of Cwi to Ci (i.e., the collapse of the A-B distinctions for i-ending syllables) involves the same kind of change as *Cwe > Ce. This is supported by the observation that OJ e-bigrade kuu 'kick' (infinitive kuwe, attributive kuuru) became EMJ e-monograde kern id. (infinitive ke, attributive kern). It can hardly be doubted that this verb stem was singled out for special treatment because of the word-specific change kuwe —• *kwe > ke, leading to the suppletions kuu, kuuru —> keru. We know these suppletions occurred at the same time as or soon after the loss of the last remaining A-B distinctions for i-ending syllables. To repeat, if we look exclusively at Japanese-internal evidence, six pj vowels suffice. A seventh or eighth vowel may facilitate reconstructing proto-Korean-Japanese, but before considering that possibility, we need to discuss the claims of Miyake (2003b: 103-26) to have found textual evidence supporting a theory of pj midvowel raising more elaborate than Frellesvig and Whitman's. Miyake's version of mid-vowel raising obscures Frellesvig and Whitman's etymologies (presented in the following section) and 6. Okinawan words transcribed in han'gul in the Oumbon'yak of 1501 show that OJ e had become [i] by then, and that palatalization of / k i / had not yet occurred (Hagers 1997). Serafim (2003) claims the facts concerning palatalized verb forms show that the Ryukyus were settled by Japanese from the eastern side of Kyushu, but in the dialect of Oita located there, ALL i-bigrade verbs have merged with ebigrade verbs; moreover, the change must have followed the well-known suppletions whereby all bigrade paradigms became monograde in Late Middle Japanese—far too late to have any significance for the spread of Japanese into the Ryukyus. Note also that Oita is a Tokyd-type gairin accent dialect (see §3.2.2).

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

the question of loans from Korean into Japanese in the Kofun and Asuka periods (discussed in chapter 4). Miyake argues that pj mid-vowel raising proceeded in two stages (a pull chain): using his notation here and in the following paragraphs, first pj *e > OJ i, *o > u, and *ai > t. Afterwards the lacunae created by those shifts were filled by *ia > e, *ua and *au > o, and *ai > ay (89-91).7 Miyake also claims that *o > u affected and therefore must have followed the date of the earliest go-on borrowings, which he places in the early 5th century (101-2, 126), whereas *e > i did not affect and hence must have preceded them (131). Textual doublets showing OJ Ci ~ Cye alternations were previously discussed in Miller 1971: 79-80 (following Wenck 1954-1959); cases of OJ Cu ~ Cwo were discussed in Miller 1968: 755-56 and Ono Toru 1962: 865-67. Miller interpreted them all as the product of sporadic lowering of high vowels, but Ono insisted they were raisings. In Unger 1977 [1993], I did not consider dialect evidence of mid-vowel raising and sided with Miller because the mi in the name of the deity Izanami, the female counterpart of Izanagi, appears to be older than the common OJ noun mye 'woman'.8 Likewise, in the Wei zhi, , which as ongana imply OJ *piku, appear to transcribe OJ pikwo 'prince, august male' (Tsunoda 1951: 8, 17 n7). But the earlier dates of mi and *piku versus mye and pikwo is not conclusive because in Frellesvig and Whitman's theory (discussed in the next section), whether mid-vowel raising was blocked in final position varied dialectally. For Miyake (2003b: 114-16), on the other hand, the Wei zhi transcription of pikwo is a major problem because he believes that LHan *pie ¿P- and *ko? > *kau? should have transcribed pre-OJ *peko. The Ryukyu evidence nevertheless points to pj *pi, not *pe, 7. Miyake's OJ Ci, Ce, Co, and Cay represent, respectively, what I have been phonemicizing as Cwi, Cye, Cwo, and Ce. 8. It is commonly said that both deities' names involve the same root as the OJ verb izanapu 'invite' because of the myth about their mating, in which success depends on the male inviting the female, not vice versa. The morpheme *gi or *ki is unattested except for kamuroki, an honorific name for male deities in general (cf. kamuromi for female deities; both words are discussed in Karow 1943: 162).

CRITICAL ASSESSMENT OF THE PKJ RECONSTRUCTION

49

and pj *ko should raise to OJ ku. Miyake therefore concludes that the Chinese writers were either incapable of devising a more accurate transcription or else sacrificed accuracy for the sake of a graphic pejorative ('base cur'). A simpler conclusion is that Miyake is just reading too much into his Chinese reconstructions. Likewise, Miyake thinks that two Suishu transcriptions ca. 600 of OJ kimi 'lord' as S t M EMCh *key myia (118) ought to stand for pre-OJ *keme or *kemi. But OJ kimi goes back to pj *kimi, since there is no Ryukyu evidence of *e in either syllable (118); and an obscure Tang book preserved only in Japan transcribes it as EMCh *kit myih (101, 118). So Miyake concludes that Chinese writers chose the phonetically inaccurate H 'chicken' for pre-OJ *ki just to be snide. Again, a simpler explanation is that Chinese transcriptions ought not be interpreted in this way. There have always been many more phonemically distinct syllables in all stages of Chinese than phonemically distinct Japanese syllables of similar shape, even if we limit ourselves to just those with similar initials in each language. Not all the phonemic differences among the Chinese syllables could possibly have been exploited, by Chinese, Koreans, or Japanese themselves for the transcription of Japanese. It's simply not true that Wei zhi NECESSARILY implied *peko as phonemically distinct from *piko in the Japanese of the time; in fact, it would be surprising if Chinese writers took the trouble to do more than roughly approximate foreign words by means of Chinese syllables. Chronological contradictions also cast doubt on Miyake's version of the raising theory. In the Inariyama sword inscription of 471 (or 531), the OJ name Waka takeru is written W ) P ^ - ^ l S . Murayama and Miller (1979) interpreted the ^ here as *ki, but according to Miyake, since stood for LHan *kie, it must have represented pre-OJ *ke < *kia, not the pj *ke that raised to OJ ki. He complains that Murayama and Miller's *ki imposes a reading on ^ anachronistically. "I do not believe this usage goes back to the fifth or sixth century," says Miyake (122), adding that "early writings such as the EF [Eta Funayama] and IY [inariyama] inscriptions . . . predated the raising of POJ [pre-OJ] *e to *i." But the pull-chain account requires that the change *ia > e followed *e > i. A better explanation, which doesn't let Miller and Murayama off the hook but does avoid the problem of reversed dates, is that the peculiar use of in the Inariyama inscription just shows that it was writ-

50

CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

ten by a non-Japanese, which the provenance of the sword implies anyway (Okimori 2003: 23-24). This explanation is supported by the observation that all early Japanese texts regardless of period, except the Japanese songs in Nihon shoki and Hizen no kuni no fiidoki itsubun, tend to use the same subset of common ongana consistently (Case 2000: 134-204, 2005). For whatever reasons Japanese first selected those ongana, they tended to stick with them. A reverse-date problem also weakens Miyake's claim that M in the same inscription represented *ro, for pli here obviously stands for the attributive ending that surfaces as OJ ru, which Miyake believes goes back to pj *ra-u (84, 123). But the pull-chain explanation requires that *au > *o followed *o > u. If the sword itself predated the *e > i raising, as Miyake thinks, then it certainly predated *o > u and hence *au > o as well. Passing over several other problems in Miyake's analysis, of which the foregoing examples are representative, I think it best to uncouple the pj mid-vowel raising hypothesis from his subsidiary claims, each of which deserves a careful reexamination. In particular, I don't think the evidence can bear the weight of his pullchain theory. 2.1.2 Vowels Let us now return to Frellesvig and Whitman's theory and see how it applies to proto-Korean-Japanese. In their 2005 paper, they propose the following phonemic correspondences: 1 2 3

4 5

6 7

8

MK i u wu #e- else ye e wo 0 a

[i] BÜ [u] [ya] [a] [o] [A]

[a]

OJ i 0 u -ye else i o, a -wo else u o, a a

pKJ nak-am—» naka-m-), which led to the use of the pseudostem in the formation of certain siicu adjectives (e.g., nozoma-si 'desirable'), must have occurred before the emergence of the bigrade paradigms. This dating makes it possible to treat bigrade negatives as stems + n- instead of *an- (and similarly for other forms), thus removing a major objection to reconstructing *an- in the first place.

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

from the comparative problem. There is also the comparison (not counted in the foregoing table) of MK pwo 'look, see' with OJ wo < *bo '(accusative)' (cf. Ma be id.) in Martin 1991: 284 nlO. On the other hand, such etymologies suggest that Korean and Japanese must have separated in the remote past, and are hardly the kind of matching of paradigmatically irregular forms (e.g., certain allomorphs of the personal pronouns and the verb 'be') that give us so much confidence in the phoneme correspondences reconstructed for proto-Indo-European. In light of such mixed results, it is perhaps not surprising that some scholars take it as a self-evident fact that Japanese and Korean are "startlingly DIFFERENT from each other (e.g., in morphology)" (Serafim 2003: 469; emphasis JMU). Nevertheless, in the absence of a theory that can explain through contact-induced change or TRANSFER (Heine & Kuteva 2005: 4) those etymologies of grammatical morphemes that appear to be valid, such dismissive judgments seem hasty. Could all the morphological matches and syntactic similarities observed be due to chance or universal traits common to all SOV languages? The comparative method begins with lexical comparisons because the lexicon is the primary locus of arbitrary relations between form and meaning in any language. Regular phoneme correspondences among the forms of many words of identical or close meaning commonly used in two languages are not likely to be due to chance or dominance-driven borrowing, so a small, coherent body of lexical matches will inevitably be of greater probative value than a much larger set of other kinds of resemblances. Under certain circumstances, however, structural similarities beyond the lexicon may also be important for establishing genetic relationships, as argued, for instance, by Lehmann (2005). If two such languages occupy adjacent ranges, and largescale interactions among their speakers could have occurred only in remote antiquity, then a hypothesis of common origin is certainly no worse than a hypothesis of structural convergence due to contact. In the case ofJapanese and Korean, the longest interaction in historical times occurred between 1910 and 1945, when Japan colonized Korea. Significant contact on a smaller scale occurred in the 1590s, when Hideyoshi's armies invaded Korea. A large number of refugees fled from the newly unified Silla kingdom in the last third of the 7th century, but these émigrés had been largely assimi-

CRITICAL ASSESSMENT OF THE PKJ RECONSTRUCTION

63

lated into Japanese society by the end of the 8TH (Kiley 1 9 6 9 : 1 7 7 - 7 8 ) . It is unlikely that they were sufficiently numerous or distributed widely enough, by class or place of settlement, to have made a major linguistic contribution to Japanese speech. There is no marked change in the texts of the 8th century showing such an impact.20 Likewise, while immigrants came to Japan during the Kofun period (see §6.1), it was the skills they brought with them, not overwhelming numbers, that made them important; moreover, they were probably speakers of para-Japanese, Chinese, or both who had learned Korean as a second or third language. Significant K-J contact can only have been prehistoric. It is theoretically possible that Korean and Japanese could be genetically unrelated and both accidentally of the SOV type, sharing grammatical features for that reason alone. But if so, where did they come from? All the languages currently or formerly spoken in nearby East Asia with SOV typology belong to the Tungusic, Mongolic, or Turkic families. 21 If one could prove that Korean were, say,

20. Indeed, the sorts of changes in Old Japanese we do find are unlike what we would expect if they had been motivated by contact with Korean, unless Old Korean had features lost in the later stages of the language with which we are familiar. For example, Korean lacks distinctive adjectival paradigms, which we can see taking final form in 8th-centuiy Japanese texts. 21. The next nearest languages that qualify belong to the Tibeto-Burman and Dravidian families. Clippinger (1984) and Ono (1980,1994, 2000, 2004) have tried to relate Korean and Japanese, respectively, to (Macro-)Dravidian. Though Ono's early efforts attracted some favorable attention (e.g., Zvelebil 1985), they were criticized severely by Murayama (1986) and Miller (1986), who dismissed a genetic link between Japanese and Tamil in light of the then favored Altaic theory and seized upon every liberty Ono had taken with the data. Though he still speaks of sound correspondences and grammatical similarities, Ono has now retreated to claiming only that there were contacts between speakers of Dravidian and East Asians, Korean as well as Japanese (2000: 7). Sohn (1999: 29) cautions against dismissing this hypothesis casually. On the non-linguistic side, it is known that there was trade between Pumpuhar in the Pandhya kingdom of southern India and ports in China no later than the 3rd century BCE. Some beads found in Yayoi sites are believed to have been manufactured in southern India (see n. 23, p. 17), and a Samgukyusa story speaks of visitors to Kara from India (see n. 10, p. 173).

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

Macro-Mongolic and Japanese Macro-Tungusic, those who support the Altaic hypothesis would argue that they are genetically related, just at a higher level than Martin's putative proto-KoreanJapanese; those skeptical of Altaic would interpret the same evidence as just pushing the problem of when contact occurred further back into the past, for Tungusic and Mongolic certainly occupy adjacent ranges now. In fact, no one seems to think that the grammatical similarities of Korean and Japanese are purely fortuitous, though Beckwith comes close to saying so at one point. He argues that "there is no good linguistic, historical or cultural reason for retaining the name 'Altaic' as a field of scientific linguistic scholarship," denying not only "the divergence, or 'genetic', theory of Altaic relationship" but also "the current Altaic convergence theory" (2004: 194). This total rejection of the Altaic hypothesis implies that any K-J grammatical similarities must, in the absence of superseding historical evidence, be due to universals of grammar. No doubt this is why, as we saw earlier, Beckwith (2004: 243) hastens to add that Korean "must. . . have been under tremendous linguistic influence from the . . . Yayoi immigrants." The two most promiment syntactic features shared by Korean and Japanese are the following:

Japanese has been compared with both Tibetan (Nishida 1980) and TibetoBurman languages more generally (Parker 1939). Beckwith does not believe his "Japanese-Koguryoic" was a member of the Tibeto-Burman family (2004: 160, 162), but thinks "Japanese . . . shares specific phonological, lexical, and typological grammatical features with Tibeto-Burman languages" because the Urheimat of "Japanese-Koguryoic" in southern China put it in contact with early varieties of Chinese and the Lolo-Burmese and/or Qiangic branches of Tibeto-Burman (161). Tibeto-Burman and Sinitic are generally thought to have been first-order daughters of a Sino-Tibetan (Matisoff 1991), although van Driem (1997, 2005) believes the subgrouping relationships within this phylum are more complex and that it would be better designated as Tibeto-Burman. Beckwith rejects both these views, claiming instead that similarities between Tibeto-Burman and Sinitic are due to contact (2002), though he does not express himself clearly on this point in his 2004 study.

CRITICAL ASSESSMENT OF THE PKJ RECONSTRUCTION

65

• highly developed systems of honorific verb morphology, including the use of auxiliary verbs of giving and receiving; and • the heavy use of focus-marking postpositions of specific function (K (n)un, J wa; K to, J mo), which are distributed in the same way with respect to case markers in both languages. They also share at least six other syntactic features, which, however, are also found in some nearby SOV languages, namely, • distinct attributive and predicative verb and adjective forms (though the former has now almost entirely suppleted the latter in Japanese); • heavy reliance on abstract nouns for clause nominalization, specification of spatial positions, and points or durations of time; • predominance of aspect over tense in the interpretation of predicates; • zero pronominalization; • infrequent use of overt plural or class marking; and • verb forms indicating degree of certainty or probability. A seventh feature, which also occurs in Chinese (not an SOV language) but is worth mentioning, is • the use of final particles to mark different main-clause types (questions, emphatic statements, etc.). At least three points of resemblance—passive/causative polarity in marked verbs, the use of double negative periphrastics to express obligation or necessity, and the inflection of adjectives in the manner of verbs rather than nouns—appear to be the result of innovations within Korean or Japanese (or both) in historical times. Other shared features—three-place deictic systems, no special numerals for '11' or '12', obvious decadal compounds for numbers such as 30 and 40, use of existential verbs to express possessionoccur even in non-SOV languages and have hardly any probative value.

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

Nevertheless, the co-occurrence of the first nine shared features just mentioned calls out for some sort of explanation. If Korean and Japanese are unrelated languages, one or two might be purely fortuitous, but could all nine be? If any of them are not purely coincidental, then they must be explained in terms of contact. On the other hand, if Korean and Japanese are genetically related, then some of these features might be taken as common innovations showing that proto-Korean-Japanese broke off from a larger family, such as Macro-Tungusic. Indeed, the focus particles of Korean and Japanese seem to be prime candidates for being the products of such a shared innovation.22 Thanks to many recent studies of different language contact situations (e.g., Hook 1987, Thomason & Kaufman 1988, Sankoff 2001, Aikhenvald & Dixon 2001, Heine & Kuteva 2005), we can compare the K-J case with a whole range of better-documented cases. The typology of contact-induced language changes proposed by Ross (2001) is particularly useful in this regard. Key to Ross's theory is a phenomenon he calls METATYPY, which he carefully differentiates from CREOLIZATION, the rise of "CREOLOIDS," and IMPERFECT LANGUAGE SHIFT. Ross (1999: 7-8; 2001: 151) mentions eighteen reports of metatypy, to which he adds his own observations of Takia, an Oceanic language that has been "papuanized" on the model of Waskia, a language of New Guinea. Perhaps the best-known case of metatypy is the variety of Kannada, a Dravidian language, spoken in Kupwar, India, where it coexists with Marathi, an IndoEuropean language; as documented in Gumperz and Wilson 1971, there is essentially just one grammar for the genetically unrelated languages used by natives of Kupwar, who are effectively free to choose whichever lexicon they prefer depending on the circumstances of particular interactions. Ross (1999) discusses more than

22. According to Comrie's summary of the syntax of what he aptly names the "Micro-Altaic" languages (1981:77-85), none has paired focus particles like those of Korean and Japanese. In fact, the only language of Northeast Asia he reports on with overt morphology for marking subduing focus is Yukaghir, which is thought to be either an isolate or a remote Uralic outlier. Moreover, in Yukaghir, subduing focus is indicated by a complex system of prefixes and suffixes (270-71), not single postpositions, and there is no counterpart apparatus for highlighting focus.

CRITICAL ASSESSMENT OF THE P K J RECONSTRUCTION

67

a dozen other cases from around the world, and although there are disputes as to whether or not the changes in some of them are contact induced,23 it is clear that a pair of geographically adjacent languges as similar to one another as Korean and Japanese could, in principle, come into being as a result of contact. But as Ross observes, a language—or, to emphasize its sociolinguistic basis, a "lect"—that undergoes metatypy first (l) innovates lexical caiques (loan translations) from the model language and then (2) develops grammatical caiques through the borrowing of discourse markers and conjunctions before entering upon (3) a change in fundamental syntactic type. That is, in the set of case studies just referred to, one can find instances of (l) without (2) or (3), and of (l) and (2) without (3), but not of (3) in the absence of both (l) and (2). Ross later built on this finding, noting

23. The contentious point is whether languages can borrow entire structural SYSTEMS (e.g., inflectional morphology). Three cases claimed to show such borrowing (Thomason & Kaufman 1988)—from Ma'a (a Cushitic language) into Mbugu (a Bantu language), from Turkish into Anatolian Greek, and from Norse into Middle English—have been called into question (Ringe & Warnow 2004; King 2000: 44-47, 2003). Ma'a speakers did not borrow Mbugu grammar; rather, Mbugu speakers developed an in-group register that uses Ma'a lexical material (Mous 1996, 1997, 2003). Greek Anatolians did not borrow Turkish grammar; rather, their communities retained some Greek words as Turkish became their home language. Anglo-Saxons did not borrow grammar from Norse; rather, Norse speakers living in northern England learned English imperfectly. Their children did better, but retained Norse words (including the pronoun they), which later propagated throughout the English range (Kroch, Taylor, & Ringe 2000, Morse-Gagne 2003). Labov (2007) argues that structural borrowing is rare because diffusion, as opposed to the "unbroken sequence of parent-to-child transmission" (383) that underlies gradual, internal changes, arises through the interaction of adults beyond their prime language-learning years. Ironically, Beckwith (2004: 196-97) cites Mous 1996 and 1997 to impugn Murayama's theory of Japanese as a Mischsprache, but Murayama did NOT think of Japanese as simply an Austronesian substrate that borrowed an Altaic grammar. The real problem with Murayama's theory is the poverty of evidence for a connection between Ainu and Austronesian, despite Murayama's efforts to demonstrate one (1992, 1993). Hudson (1999) supports the idea of a southern origin for the Ainu, but, as previously remarked (n. 13, p. 10), craniometric data at least do not support that aspect of Hanihara's (1992) Dual Structure model.

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

that, when the genetic affiliations of the languages involved are clear, [t]here is . . . no point in examining inherited features if we wish to diagnose what kind of contact-induced change has occurred. Instead, we need to identify the features which show a mismatch with genetic inheritance, asking whether there has been semantic reorganization, syntactic restructuring, phonological modification, and/or simplification" (2001:160).

Depending on the answers to these questions, one can distinguish at least four situations,24 which Ross tabulates as follows (ibid.): Semantic

Syntactic

Phonological

Simplification

reorganization

restructuring

modification

and regularization

metatypy

yes

yes

not necessarily

no

creolization

yes

yes

yes

yes

creoloid

yes

yes

yes

some

imperfect shift

no

not necessarily

yes

not necessarily

How do Korean and Japanese fare in terms of this model? If they are not first-order daughters of proto-Korean-Japanese, one of them must be a Macro-Tungusic (or Macro-Mongolic or MacroTurkic) language, and the other must have changed its basic syntactic type because of contact with it.25 Tungusic-Korean ety-

24. By "creoloid," Ross (2001: 159-60) means languages such as Singaporean English, Taiwanese Mandarin, and South African Dutch. Imperfect shift arises when "a group is

OPEN

[in its external relations] and becomes

LOOSE-KNIT.

. . . Of-

ten, I assume, no trace of the ingroup lect remains, and so the shift evades detection by historical linguists. Sometimes, a few lexical items survive which retain some emblematic signifiance.... If the outgroup lect becomes inaccessible to the shifting group before they have acquired native-like mastery, then at least the ingroup 'accent' survives, reshaping the phonology of the outgroup lect on the ingroup model" (156). 25. Ross observes that "[i]f 'converge' means 'change to become more like each other,' then languages do not usually converge. Instead, one language becomes more like a second, while the second may be relatively unaffected by the contact" (2001: 139). He later adds, "This is not, of course, to say that metatypy is

CRITICAL ASSESSMENT OF THE PKJ RECONSTRUCTION

69

mologies proposed to date (e.g., Kim 1981) outstrip TungusicJapanese etymologies (e.g., Fukuda 1989) in number and quality, so presumably Korean would be the Macro-Tungusic language in this scenario, and Japanese would be the language that underwent metatypic change as a result of contact. But Japanese clearly has not undergone phonological modifications that have made it more Korean-like, nor is its system of bound morphemes a simplifcation or regularization of the corresponding Korean system. The lexical and grammatical caiques that Ross believes precede metatypy are also lacking, or are at least so obscured by sound changes as to invite more doubt than belief. Consider, for example, J namida 'tear'. K nwunmul 'tear' has a clear internal structure (nwun 'eye' + mul 'water'), but namida can be analyzed similarly only with strained derivations such as namida ? MK Nimna. Furthermore, the Koguryoan morpheme (with *-n-, not *-m-) ought to be compared with K senul ha- < MK senol ho- 'cool, refreshing' (Robbeets 2007:121-22).

CONVERGENCE THEORIES

77

There are, it is true, some disagreements among specialists as to the phonetic basis for the contrasts among certain OJ syllables and their exact number in the 8th century (we encountered some in the discussion of Miyake's work in §2.1.1), but most of the controversial issues, rather understandably, center on pre-OJ stages for which we have little or no direct evidence. For the purposes of comparing Old Japanese with other languages, such as Koguryoan, what is crucial are the phonemic contrasts among OJ syllables, not the precise phonetic differences among the segments responsible for those oppositions. An example of how Beckwith's failure to adopt a system of OJ phonemics compromises his comparisons is seen in the syllable "OKog ^tawg which he compares with syllables in the following Japanese words (137-38).

OJ

J to- 'to pass through' td(r-) 'to pass through, open' tochi 'horse chestnut' tsuzumi 'drum'

to(r)- 'to take'

*tawr)pu^tagpu OJ saki(kusa) id. > J saigusa i- OJ mi id. Whitman (W222) reconstructs pre-MK *sai < *sagi and matches it with the first part of OJ sakikusa '(plant)' > saigusa '(personal name)'. The phrase sakikusa no, a makura-kotoba in classical 107

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Japanese poetry, is written THREE + BRANCH; but H is not read saki, nor is ££ read kusa (see next item), in any other context. Para-J mil 'three' is one of the most-often cited Japanese-like numerals found in Samguk sagi place-names. 2. K kaci 'branch' < OK ?*kwac —> pre-OJ *kosa > OJ kusa id. i OJ ye(da) id. > J eda OJ kusa 'branch' lacks a para-J reflex but we discuss it here because it occurs only in the just-mentioned sakikusa. K kkoc < MK kwoc 'flower' has been compared with OJ kusa 'grass' (M286), sometimes with reluctance—Martin remarks, "I have never been happy with this well-known comparison, but the forms fit despite the semantic disparity"—but often. To account for the low pitch of the MK monosyllable, Martin (1996: 45) provisionally reconstructed pre-MK *kwo'co; though this amendment may improve M286 formally, the semantic distance from 'grass' to 'branch' is, if anything, wider than from 'flower' to 'grass'. Rare OJ kusa 'branch' is almost certainly a borrowing. 3. MK "kwol 'valley, deep hole' < OK *kola —>• pre-OJ *kora > OJ kura 'valley' # OJ tani 'valley' The use of OJ kura to mean 'valley' (W133, following M248) is inferred from the occurrence of kura in two places in Kojiki and Man'yoshu. This paucity of uses alone suggests it is a borrowing. One should be wary of the common comparison of this kura with OJ kura 'saddle' or kura 'storehouse'. These are perhaps different senses of a single noun denoting any place of importance (cf. OJ kura-wi 'rank', with wi 'sitting'), but kura 'storehouse' is arguably cognate with para-J *hol, *kuar, or the like (it?.) 'fortress, walled city' (see §1.2 above), while kura 'saddle' may be related to K kilma 'pack saddle'. OJ tani 'valley' has a well-known para-J cognate, *tan id., reflected in the Samguk sagi place-names. 1

1. J ya, EMJ yato ~ yatu 'valley' is an eastern dialect word almost certainly borrowed from Ainuyaci 'bog, swamp' (Karow 1943:162-63).

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4. MK cas 'fortress' < OK *casi —> OJ sasi id. ^ OJ siro id., OJ kura 'storehouse' OJ sasi appears only in Nihon shoki, where it is used in the names of fortresses in the Chinhan area of the peninsula, and has therefore long been suspected of being borrowed from Korean. Furthermore, as remarked in §1.2, the gloss on the second character in the OJ place-name Musasi clearly shows that OJ kura and sasi were understood to be translation equivalents. 5. MK ip 'mouth' OJ ip- 'say' i OJ kuti 'mouth' This noun-verb match is better than Whitman's (W315) comparison of OJ ip- with MK iph- 'sing, recite' because, as Martin points out (M298), K uIph- id. has medial I. The MK form may be misleading; indeed, MK iph- may be related to niph 'leaf (counter for songs)' rather than to ulph-. Whitman's effort to find a K verb root to match a J verb root shows his uneasiness with deriving a noun and a verb, both semantically unmarked, from the same morpheme, but interpreting the obvious formal fit as the result of borrowing is a better alternative. OJ kuti 'mouth' ~ kutu- (in kutu-wa 'horse's bit', with wa 'ring') has been compared with MK 'kwut 'hollow pit, cave' (W170; M150), but Beckwith (2004: 252) reconstructs Kg *kuartsi 'mouth', which, taken simply as an approximation of a para-Japanese word, has a better fit. Additional evidence that OJ kuti had a para-Japanese cognate may perhaps be found in a passage in Nihongi (Aston [1896] 1956:1.294) mentioning that kuti is the Paekchean word for OJ taka 'hawk, falcon'. Korean has may 'hawk'; the Paekchean word may have been a use of para-Japanese kuti 'mouth, beak' as a synecdoche for a bird of prey.2

2. J kutibasi 'beak' combines kuti with pasi, now 'chopsticks' but EMJ 'beak' by itself. For 'hawk', Japanese has both taka, which Aston thinks was the goshawk, and hayabusa, a smaller bird that Aston sensibly thinks was the peregrine falcon. Peregrine falcons are among the swiftest of all birds, and one sense of paya is 'fast'. In flight, they spread their tail feathers in a distinctive fan, much wider than that of eagles and other raptors, such as goshawks—hence pusa 'bunch (of grapes, etc.); tassels', a metonym ('bunch' for 'tail') and synecdoche ('tail' for the whole bird) bundled together.

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6. MK a'lay ~ oloy 'below' —> pj *oro- 'descend' ^ OJ simo 'below' For Martin, this is a cognate set (M68); if so, it contradicts W323 MK "al 'before, below': J asi 'leg, foot'. Bentley (1998) reconstructs P *alusi 'below, lower', which is apparently closer to the proto-K than the MK forms. The pj root *oro- is the result of internal reconstruction from J ori-ru 'go down' and oro-s-u 'take down, lower'. The fact that a K nominal functions in J as a verb root suggests borrowing. Beckwith (2004) compares OJ simo 'lower part' with Kg *tsiam 'root', and we may take this as evidence of the para-J reflex of OJ simo. Martin (M290) compares OJ sita 'down, under' with MK 'stah 'ground', and the common first syllables of simo and sita may be fortuitous. 7. K mul 'water' —> pre-OJ *mora- 'leak, slip out' > OJ mor- id. ^ OJ midu 'water' < pj *me-na-tu On the reconstruction of pj *me 'water', it should be noted, first, that OJ midu has the variants mina-, in such words as minatwo 'harbor' (with two 'gate') and minamoto 'spring' (with moto 'source, root'), and mi, in idumi 'spring' (with idu 'go out', assuming this shows a pre-OJ form of the expected attributive iduru).3 Para-J *mey M 'water, river' is a frequent element in Samguk sagi placenames, and midu < pj *medu follows from the theory of pre-OJ midvowel raising because of Ryukyuan forms. Vovin (2005b: 102-7) has

Miller (1979b: 36-42) thinks P kuti "is clearly of Altaic origin" (he reconstructs *kul2), and, though borrowed into Old Japanese, was never nativized. Yet he notes that it is listed in Wamyosho (compiled 931-938) as an "archaic term" and appears in a poem from around the same time and a "few . . . similar texts." Vovin (2005c: 128) says "it is ONLY attested in Wamyosho," but does not seem to have looked into the matter as carefully as Miller, who would hardly have mentioned the poem and other texts if he hadn't felt obligated to do so. Also, Vovin's criticism of Bentley's (2000: 426) comparison of P kuti with Ma heturhen rather misses the point, which is that Bentley and Miller cannot BOTH be right even though Manchu is supposed to be an Altaic language. 3. Frellesvig (2008ab) thinks that the -ru attributives of bigrade verbs were a historically late pre-OJ development. For a summary of supporting evidence, see Martin 1987:807.

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suggested that the na in mina- is a pluralizer even though words for water are not usually count-nouns—perhaps he was thinking of the formally plural Hebrew mayyim 'water(s)'—but in view of ta-nagokoro 'palm of the hand' (with ta- ~ te 'hand' and kokoro 'heart') and the like, it seems better to set up na 'middle', which takes care of na-ka 'middle' (with ka 'place', as in sumi-ka 'residence', with sumi 'living', etc.) as well as the OJ forms Vovin lists. Indeed Beckwith (2004: 53-54, 132-33, 252) reconstructs para-J *na ¡®j\ 'in, inside'. Finally, J tu, now 'harbor', seems to have originally meant 'river, mouth of a river'. Most Japanese harbors are at the mouths of rivers, and it is this, I think, that explains the compound tu-nami 'tsunami', literally 'harbor' + 'wave': just as a water flows continuously into the ocean at a river's mouth, a tsunami, unlike an ordinary wave, has no trough behind it—it is like a river flowing out of the ocean. Another reason for thinking that tu originally meant 'river' has to do with the kana o and V, which are graphically derived from J l | 'river'; J l | could serve as a man'yogana but since its on reading is / s e n / , it was evidently a kungana for / t u / . Martin (M257) and Whitman (W266) compare K mul to OJ midu, but the final 1 in Korean is a problem (rather overlooked by Beckwith [2004: 177], who pounces on the difference in vowel qualities as the main reason for denying any connection between Japonic, Korean, and so-called Altaic words for 'water'). On the other hand, *mora- (inferred from J more-ru 'leak', mora-s-u 'let slip out') is sufficiently close to the Korean form to be a borrowing. If so, this is another case of a borrowed K noun functioning as a J verb root. 8.

MK 'kyel 'wave' —>• OJ kiyoru '(epithet)' f OJ nami 'wave' W153 compares 'kyel with OJ kisa 'wood grain', but the MK word meant simply 'wave' according to Vovin (forthcoming b). OJ kiyoru, though written jfeiir EMJ kure 'board, measured piece of wood' ^ OJ kwi ~ ko- 'tree; wood' < pKJ *kale This pKJ etymology was mentioned in §2.1.3, but EMJ kure 'cut wood', though well attested, has gone unnoticed. MK kuluh is probably < *kuleih < *kulehi < *kule-ki, with a suffix. The phonemic representation here somewhat obscures the phonetics of the vowel change: EMK [si] > MK [i]. The raising pj *re > *ri in final position is also seen in triad 13. It is exceptional from Frellesvig and Whitman's perspective, but these two cases suggest that pj *e > *i did occur when preceded by *r. Likewise, the change pj *r > 0 was evidently conditioned by the preceding pKJ vowel. 15. K kkun 'cord' < MK 'kinh ~ skin < OK *skiOJ suki 'babycarrying sling' ^ wo 'cord' The Korean term is general in meaning, whereas OJ suki (found in Shinsenjikyo, ca. 900) is highly specific: a long piece of cloth for holding a baby on a person's back. This morpheme is also seen in

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ta-suki, with ta- 'arm(s)', a long, narrow strip of cloth, tied over the shoulders and around the body, making X-shaped crosses front and back, that keeps dangling kimono sleeves out of the way while the wearer is cooking or doing other work. The ubiquity, if not also the antiquity, of tasuki is suggested by the Japanese invention of the character HI for this word, for which there is no Korean translation equivalent—sulci itself is written either with ^ or the authentic Chinese character US, otherwise glossed himo 'string' or tuna 'rope'. Martin (M186) goes too far, I think, in taking K kkun to be a shortening of K kku-nap-ul and comparing the -nap- with OJ napa 'rope'. On the other hand, there is no strong reason to object to the comparison (M51, W52) of the pa in K cham-pa '(true) rope' and paccwul 'rope (line)' with OJ wo 'cord'. Japanese words with Korean matches due to mutual inheritance from the proto-Korean-Japanese can be distinguished from matches due to borrowing from Old Korean by paying careful attention to the meanings involved. A case in point is J nira 'garlic chive' OJ mira (Whitman 1990: 522), with assimilation of mi- to m- conditioned by the following r (Martin 1987: 42—the opposite change sometimes occurs when a labial or velar follows). Whitman (W263) compared this word both with MK "myel 'greenbrier'4 and (1990: 522) with para-J If *meyr (Beckwith's reconstruction), a gloss on mf, 'garlic'. Here we find a preservation of pKJ *mera '(garlic)' in para-Japanese (developing regularly into OJ mira) and a change in meaning in Korean (pKJ *mera > OK *myela > MK "myel with compensatory lengthening), showing that OJ mira was NOT borrowed. Matches of this kind are easily explained under the theory presented here, but can only be understood as borrowings

4. In Unger 2000a: 660-61, I followed Whitman, who gives " 'lizard-tail'

(simi-

lax)" and says that this word "appears in the names of a number of plants used for medicinal purposes" (1985: 238). But lizard's tail is the common name for

Saururus cernuus, which is not eaten. Incidentally, the spelling of the genus Smilax is preferred. The vine Smilax rotundifolia, or common greenbrier, does have edible shoots, and Smilax regelii is the source of sarsaparilla. MK "myel probably referred to a plant of this kind.

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into Korean from a linguistically unrelated Koguryoan or from Japanese under Beckwith's or Vovin's theory. 4.3

Synonyms of OJ words of uncertain provenance

Triads in the following set also contain candidates for Kofun period borrowings (A —• B), but the C word has not been definitely identified in para-Japanese or Korean. Nevertheless, the narrowed meaning, rarity, or limited distributions of B compared with C in these cases make it hard to accept them as cognates of A. 16. MK "twolh 'stone' < *two'kol —> OJ toko(name) 'stone slime' ^ OJ isi 'stone', ipa 'rock, crag' Martin (M224) and Whitman (W94) compare "twolh with isi, and this match has been repeatedly cited (e.g., in Miller 1971 and Vovin 2000: 153) in relation to proto-Altaic */ 2 , which is supposed to have developed into s in Turkic but I in Chuvash, Mongolic, and Tungusic languages. Another (the only other?) case is MK "pyel 'star': OJ posi id. if such eytmologies could be multiplied and made more secure, they would testify to a common innovation in Turkic and Japanese, which would greatly strengthen the Macro-Altaic theory. Unfortunately, the vowel correspondences are not supported by other comparisons (not to mention the front/back mismatch in both cases), and "twolh has a final h that needs to be explained.5 For that purpose, *twokol is an acceptable reconstruc-

5. Assuming that all 349 Japanese etymologies proposed by Robbeets (2003), who believes that Korean and Japanese are members of a Macro-Altaic phylum, are correct, their distribution clearly does not show a center-periphery pattern of the kind Miller (e.g., 1980) has claimed. There are 111 Korean-only etymologies (32%), followed by 54 Tungusic-only (15%), 28 Turkic-only (8%), and 24 Mongolic-only (7%). There are some matches involving two, three, or all four of these groups, but in no case are more than 24 Japanese words involved. Note also that the HLA-DRB1 study of Sanchez-Mazas et al. 2005 (mentioned in n. 15, p. 10) produced the "remarkable result" of " a very high level of internal diversity . . . within Altaic (mainly Altaic-proper)

genetic

[intensive contacts among

populations a n d / o r with external groups played a significant role in the evolution of this family" (285). A Macro-Altaic linguistic phylum thus skepticism.

invites

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tion, for it is widely believed that all aspirated Korean obstruents derive historically from *kC or *Ck clusters created by syncope. (That aspiration ought to be phonemicized segmentally in Korean is shown by the rule of metathesis / h - C / > / C h / , which we may assume has been part of the morphophonemics of the language ever since / h / became a phoneme.) Besides the formal fit with *twokol, the toko of OJ tokoname, which refers to the growth on submerged stones that makes t h e m slippery (name-raka 'smooth, slick'), is also a good candidate for a loan morpheme because of its highly limited distribution. Probably the only other instance is the use of toko as a gloss on M 'earth, land' in the name Opo-toko-nusi, an alias of the deity Opo-kuninusi. One could argue that this toko was a different noun—the shortened form of tokoro 'place', which Martin (M167) compared with MK 'the id—since kuni means 'land' in the sense of 'country, state'. But if so, it becomes hard to explain the choice of the character M rather than pjf, HI, or some other more denotative of 'place', 'location', or 'country'. The much more common nouns isi and ipa must have been close in meaning for a long time. Though the former is the usual gloss on i f 'stone' and the latter on 'crag', ipa glosses i f in, for example, JH Iwami, the old provincial name for Shimane (where, coincidentally, Opo-toko-nusi is enshrined). 17. K ciña- 'pass through, pass over' —> OJ sina- 'slope' i- OJ saka id. OJ sina- occurs only in makura-kotoba such as sina-zakaru, which links to kwosi 'pass' (also the old name for the Hokuriku region) and is supposed to mean 'far from the capital'. There is no *sakar'be separated from' attested, but it is the expected derived intransitive root corresponding to sake- 'avoid' (cf. saka 'border'). The homophony of saka 'slope' and 'border' may have been consciously used in forming this epithet, but the key linguistic fact is that the common Japanese t e r m for 'slope' lacks a Korean match. 18. MK wuh 'top, above' —> pj *oko- 'arise' í OJ kami 'top, above', OJ upe ~ upa- id. Martin (M266) and Whitman (W327) compare MK wuh directly with the u- of J ue < uwe < OJ upe ~ upa-, implying *uk(V) + *pe or the like, but OJ pye 'side' is an A-type syllable, which rules it out as the second element. Whitman suggests OJ pa 'place', evidently with

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J ba id. in mind, but OJ pa, is part of a group of internally related words, including pasi 'edge', pata id., pasita 'half. Whitman either didn't notice the similarities here or tacitly rejected them when (W6) he compared pasi with MK pask 'outside', in conflict with Martin (M159), who compares MK pask with OJ poka 'other'. In any case, M266 is a supplementary class-II match, and Martin later (1996: 45) reconstructed pre-MK *wu'hu to account for the Korean accent. All things considered, this match probably reflects a borrowing. Note that pj *oko- 'rise' is an internal reconstruction based on J oki-ru 'awake', oko-r-u 'happen', et cetera. Murayama (1986: 122) mentions Tg uyi: 'up' ~ uyi:r- 'raise, make high', and Bentley (1998) reconstructs P *okosi 'above, north'. These forms may indicate a second consonant in the pK form. Vovin (2005c: 126-27) in fact thinks that OJ kwosi 'north country', not *oko-, is the borrowed OJ word, but this is doubtful. Besides the semantic difficulty (we Mercator-projection users casually associate 'up' with 'north', but why would ancient East Asian preliterates?), the total absence of a Japanese word-initial vowel is a serious problem. Also, if we accept the mid-vowel raising hypothesis, we need to reconstruct OJ kwosi < *kuCasi, since the Atype kwo in this word is non-final. Vovin cites two textual examples of kwosi, but neither requires taking it to mean 'north' as a direction; in both, we just have the proper noun Kwosi, the old name for the Hokuriku region. The mere fact that this name is linked to 0c, which looks like an ateji (Vovin 2005c: 126 n26), is an insufficient reason for concluding that it necessarily derives from a noun meaning 'north' in general; after all, the Azuma region, on the Pacific side of Honshu, was also north of Yamato. 19. MK 'kwoh 'nose' —• OJ kag-u 'smell' ^ OJ pana 'nose' Martin (M204) compares the J verb to MK 'kwoh 'nose', but Whitman (W130) compares it to OJ kuki 'peak, outcropping'. Obviously, both cannot be correct, and this is another case of a K noun functioning as a J verb root, suggesting it was borrowed. 20. MK kye'zulh 'winter' —> OJ kisaragi 'second lunar month' ^ OJ puyu 'winter' Whitman (W156) treats the K and J forms as cognates, but the vowels other than the first are problematic. On the other hand, MK z < *s and Ih < *lg < *lVkV are plausible, making this an extraordi-

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narily long match with a clear narrowing of meaning. It must be a borrowing from Korean. 21. MK 'pal 'leg, foot' OJ pagi 'shin't J asi 'leg, foot' Martin (M87) tried comparing K pal directly with J asi, but was thereby forced to reconstruct an otherwise unsupported pKJ *v-. A better match is OJ pagi 'shin' in view of Evenki halgan 'leg' and similar Tg forms (Ramstedt 1949; W4; Lee 1986). If this is a borrowing from Korean, it could mean that Japanese was spread to the Ryukyu islands by a group where people familiar with Korean had settled. The reflex of OJ pagi in Ryukyu dialects is the common word for 'leg, foot', but elsewhere it is asi, which Whitman (W323) compares with MK "al 'before, below'. This is in conflict with M68 and semantically dubious. 22. MK 'sal 'arrow' OJ sa ~ sati ~ satu- 'arrow, spear' ^ J ya 'arrow' Perhaps the homophony of OJ sati 'arrow' and sati 'luck, happiness' has something to do with the use of arrows as symbols of good luck at New Year. However, though it has been suggested that 'luck' could be a semantic extension from 'arrow', considered as a magical object, these two sati clearly had different origins. Sati 'luck' originally meant 'hunt; spoils of the hunt'. It appears in the paired names of the rival brothers Yama-sati-hiko and Umi-satihiko in the Kojiki myth of the lost fishhook (Karow 1943: 164), and still occurs in expressions such as syati-dama '(bullet)'.6 Clearly, sati in the ancient context meant 'hunt', not yet 'luck', and certainly not 'arrow'. Ya is by far the most common Japanese word for 'arrow', suggesting that OJ sati was, contrary to Whitman (W204), borrowed from Korean. A derivational link with i-monograde (y)iru 'shoot' and yumi 'bow' seems likely.

6. After bringing down an animal with a bullet, the hunter retrieves the bullet, melts it down with some new lead, and casts another. According to superstition, this assures another kill.

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23. MK hon(ah) 'one' —• pj *kana(-) id. # OJ pito id. Whitman (W4l), following Martin (M157), proposes K pilus 'first, beginning' : OJ pito 'one', which may be correct though the final s is troubling. At any rate, K han(a) < MK hon(ah) 'one' has always been the usual K word, and may be compared with J kane-ru 'bundle together; make one', kazu < *kana-su 'number < unit, one' (cf. OJ wo-su 'male', mye-su 'female'), and the common gloss kazu on — in names (Unger 1980). Murayama's (1986: 131) hypothesis that pj *kana- comes from an Austronesian root is less likely than that pre-OJ *kana was borrowed from Korean.7 24. MK mosi '(plant)' —> OJ (kara)musi id. f OJ wo 'hemp' This plant, Boehmeria nipononivea or ramie, is the main constituent of a light cloth made from ancient times in the Niigata area. The kind of hemp denoted by J asa (compared to K sam in M104 and W205) and OJ wo belongs to genus Cannabis. 25. MK ilang 'ridge between furrows' < OK *ilang —> OJ iraka 'roof tile' 4- OJ une 'ridge between furrows' Of iraka, Miller (1979b: 64) wrote rather condescendingly, "The word has no etymology within Japanese itself; from this, and also at the same time because of the simple facts of its meaning and its material-culture history in Japan, it is quite as unlikely to be a Japanese word as are, at a later period, such similarly imported lexical items as rajio 'radio' and bohemian 'a Bohemian'." Indeed, it seems there were no iraka in Japan until Buddhism was introduced. As anyone who has seen a tiled temple roof and a rice paddy easily understands, the jump from a corrugated expanse of field to roof tiles (especially for speakers of languages with no overt plural markers) is small. Though the Korean word might have something to do with the several "Altaic" words Miller cites (65), he exaggerates in claiming that, without them, "it would be impossible, on semantic grounds, to associate iraka with iray." OJ une ~ una- 'ridge between furrows' lacks a Korean match, but certainly was used metaphorically in Old Japanese. Women

The OK *hoton ?'one' reconstructed for — ^ in one of the hyangga (Vovin 2000: 152) may not be the immediate source of MK hon(ah).

7

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sent by clans (OJ udi) as pawns to Yamato, where they served in court as maids-cum-concubines, were called unemye, probably from *une 'clan' + mye 'woman' (see Kadowaki 1965: 135-36 for other etymologies). Indeed, udi < *unti may have originally been a compound built on the same *une. Unemye wore scarves (OJ pire, also 'fin') around their necks (OJ unazi 'nape of the neck') as badges of their station, showing that OJ speakers made use of the homophony of une in their title and une 'ridge'; on scarves as fetish objects in ancient Japan, see the Additional Notes in Philippi 1969. 26. MK 'hoy 'sun' < OK *koy —• J ka in hatuka 'twentieth day', ko in koyomi 'calendar' i- OJ pi 'sun, day' Whitman (W177) suggested MK nal 'day': J ka 'day', but as Vovin (1993: 339) notes, MK 'hoy 'sun' is a formally superior match. The restricted distribution of the J forms suggests that they were borrowed from Korean, not inherited. Murayama (1986: 121) proposed K pich 'light; beam, ray' : OJ pi, but there are obvious problems with this etymology. 27. MK "man'ho- 'many' < OK *mane—• OJ ((s)a)mane-si 'many; widespread' ^ OJ opo 'big; many' The accent of the MK form suggests it is a combination ho- 'do, make' with something like the proposed OK form, with compensatory lengthening of the remaining vowel after syncope. Martin (M296) treats this as a cognate set, but opo-si 'many' is by far the more frequent OJ form; the specialized meaning of mane-si is also indicated by the optional qualifying sa- prefix, which sometimes loses its s-. OJ opo has no good Korean cognate. 28. MK polk 'dawn, shine' —> EMJ (asa)borake 'dawn' 4- ake- 'get light' Martin compares MK polk 'bright' both with OJ ake- 'dawn' (M26) and with OJ pare- '[weather] clears' (M27), and the homophonous MK polk 'red' with OJ aka id. (M178), which Whitman compares with OJ beni '(red plant dye)' and pani 'red dye; clay' (W16). All these are formally problematic and cannot all be correct. There is no OJ or EMJ verb *poraku, but the b of borake could be the product of rendaku, and its use is highly limited. It therefore seems best explained as just a borrowed form of OK *polk with epenthetic OJ a. None of the morphemes in the family aka 'red', ake- 'get light,

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dawn', aka-ru- 'bright, cheerful', and aki-ra-ka 'bright, clear' seems to have a pKJ source. There are no doubt also some borrowings that competed with a native word or collocation for which a definite KOREAN reflex has yet to be identified. An example of such a word is OJ masura 'valiant, worthy'. Miller (1979b: 9-17) argues it is a borrowing from Paekchean, and notes that Japanese scholars disagree on whether to read as masura-wo ?'brave man' or mononopu 'warrior'. In light of mononobye, the name of a famous military clan, evidently from mono 'thing, affair' + no '(genitive)' + bye 'guild', the pu of mononopu is a separable noun, perhaps Sino-Japanese OJ pu 'adult, worker'. Though a good Korean match for masura has yet to be proposed, we should not be surprised if one is eventually identified. 4.4

Innovative loans from Korean

Finally, we should take note of OJ words that are probably Kofun- or Asuka-period borrowings from Korean but are unlikely to have competed with native words. Their meanings distinguish them from cognates, which would have belonged to Japanese from much earlier times. OJ kinu 'silk' (cf. Sino-Japanese ken), mentioned in §2.1.3, is a likely example. Another, not mentioned by Frellesvig and Whitman, though it also shows mid-vowel raising, is J kugutu 'puppet' patori, along with patori-bye and the modern name Hattori, are all readings of the family name HR 'dress' + '(guild)'. In the case of Aya, a connection with OJ aya 'pattern' is sometimes suggested, but if there is any evidence of Aya being involved in dyeing of the kind that links the Hata with weaving, Hesselink didn't find it. The best explanation for this gloss (Mabuchi 1999: 413-30) is that aya is the Japanized version of the name K Alia (/an-la/) a village in Kaya to which people fled from the areas around the Chinese commanderies when they succumbed to Koguryo.3 Like H?, the character Wk was evidently selected as a label by a group of non-Chinese people living near the Chinese commanderies and was retained by them after they moved to the south. Later still, some of their descendants went to Japan, where the characters got new glosses. This fits well with Hesselink's scenario,4 and archaeological evidence (Barnes 2004: 34) indeed suggests that horseriding equipment from Kaya was part of the modest, gradual process of importation that he so carefully documents. In this connection, note also the key sentence in Karitamaro's story in his memorial of 785. It says that Achi's relatives now live BETWEEN Kwoma and Kudara, which is contradicted by a statement in Sakanoue keizu saying that they are now dispersed AMONG Kwoma, Kudara, AND SIRAGI, that is, Koguryo, Paekche, and Silla (Hesselink 1991: 39 n54, 44 n70). Though Tsuda Sokichi doubted that anything in the Sakanoue keizu could be trusted because of the obviously false statements about the Chinese origins of Achi (44 n72), Hesselink himself notes that 3. According to Mabuchi, this place-name is also written ISJii / a l a / and [HIP / a y a / in Samgukyusa and P S J P & H /alia kwuk/ and N l R A n f i /ana kaya/ in

Samguksagi. 4. Note also the statement about and Hon Han shu): gggfttit

Chinhan in Wei zhi (repeated later in Liang shu B £ A M ® * ® ® ® 'When their elders recount the generations, they say their ancestors escaped M corvee and came to the land of If this H refers to the place from which the ancestors moved to Chinhan, and one does not invest $$ with the connotation 'Korean', this sentence can be taken to mean that people who later identified themselves as ^ in Japan were para-Japanese speakers who embarked from Chinhan.

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because the Sakanoue family must have been literate from the time of their arrival in Japan, we may assume a fair degree of truth in their family tradition. Also, the very fact that we find this house tradition of the.Sakanoue family in the national history of Japan indicates that, at least by the contemporary compilers, all of this was generally considered to be true. (44)

In addition, he cites a notice of Karitamaro's famous son Tamuramaro (757-811) from Nihon koki that repeats some of the story of Achi, though not, unfortunately, the part about the dispersal of the Aya prior to their coming to Japan (39 n55). 6.1.2 Writing and speaking That the Aya, Hata, and other immigrants of the Kofun period were predominantly para-Japanese, rather than Korean or Chinese, speakers may also be inferred from what limited knowledge we have of how they communicated. It is well known that Chinese characters in Old Japanese writing are used both in cipher-like and code-like ways. This is often expressed (e.g., as in Miller 1967) by saying that sometimes characters are phonograms and sometimes semantograms, but as the foregoing examples of Aya and Hata show, the chain binding a gloss to the meaning of the Chinese word represented by the glossed character sometimes contained more than one link. Mabuchi thinks that the Aya chose i l because it was the character (K Han) used to name the river through Soul near Daifang; others say it is because Aya families claimed Chinese ancestry. We may never know the true reason, but we can be sure it is not because OJ aya has something to do DIRECTLY with the meaning of the Chinese word represented by ?H. From this perspective, it seems that many of the old placenames in Samguk sagi and the Japanese man'yogana tradition are similar and can be traced back to the rise of writing among paraJapanese speakers.5 The complementary kind of usage, of which 5. Vovin's (2007) interpretation of Chinese remarks on certain Chinhan words as attempts at transcribing para-Japanese also suggests that the phonographic use

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aya fH, pata M, and kure are exemplars, now survives in Japan, but it must be a later practice. Indeed, it seems to have been a practice favored by the pre-Korean speakers who overwhelmed the older para-Japanese and Chinese speech communities of the peninsula, perhaps because of the greater direct acquaintance of pre-Korean speakers with actual Chinese. If this is correct, then we should reconsider, as Mabuchi suggested, the meaning of the terms kan'on tH H1 and go'on The former refers to an important stratum of Sino-Japanese pronunciations that entered Old Japanese in the 8th century. The latter refers to the accumulated layers of Sino-Japanese pronunciations they largely superseded.6 The usual interpretation of the term go'on (e.g., as in Miller 1967) is that go ^ refers literally to the postHan kingdom of Wu, but though that part of China certainly played an important role in the transmission of Buddhism to Paekche (Holcombe 1999), go ^ in this context may mean Koguryo, the first of the Three Kingdoms to accept Buddhism. Turning from writing to speaking, it is perhaps worth repeating that Aya and Hata seem to have had no difficulty communicating with people in Yamato. Hong (2006a: 214-15) goes further, calling attention to the absence of interpreters in descriptions of communication in Samguk sagi between peoples from various parts of the peninsula, in Nihon shoki between all of them and the rulers of Yamato, and in Shoku Nihongi between envoys from Parhae to Yamato. This contrasts with the mention of interpreters (OJ wosa) in Nihon shoki, especially in the case of Japanese embassies to China. Hong interprets non-mentions of interpreters as evidence of easy translatability between varieties of Korean and Japanese in the 1st millennium CE, but the languages were surely of characters is the older technique. If Vovin is correct, these transcriptions are similar to those implied by Kiley's (1969) analysis of 8th-century immigrant names. Kiley notes, for instance, that though now read Sasanami, must originally have transcribed a name similar in sound to Takawoka (changed in writing to fSi .E); and indeed LOCh ^ *lakpai would be close to pj *tak(a)ba(ka). 6. It has been argued that there were even a few earlier borrowings from Chinese—so old that all consciousness of their Chinese origins was forgotten (see n. 1, p. 40)—but they are irrelevant to the present discussion.

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quite different by then judging from the borrowings discussed in chapter 4. Furthermore, caution is needed in interpreting such negative evidence because written Chinese was certainly a vehicle of communication in foreign relations (Verschuer 1999, Ueda & Son 1990). To the extent it is significant that people assigned the task of interpreting are sometimes not mentioned, a better explanation of their absence could be the use of para-Japanese speakers as messengers in appropriate circumstances. Indeed, paraJapanese may have lingered on in various parts of Korea for some time after Unified Silla.7 6.1.3

Other elements

Having examined some evidence of the way refugees from the Chinese commanderies, including para-Japanese speakers who had been in contact with them, functioned as carriers of Kofun culture to Japan, let us return to the people who were applying the pressure that set everything in motion. Even one of the severest critics of the Egami Namio's horserider theory of Japanese ethnogenesis, recognizing their role, has written: [l]n Japan, one does not see a hiatus in the burial record with new tomb constructions accompanying the postulated invaders. Instead, there is continuity in tomb structure despite changing artifact repertoires, including introduced horse-riding equipment from Kaya, which demonstrates a close interaction with the peninsula. In contrast, in both the Silla and Kaya areas, foreign artifacts are associated with what some archaeologists assess as foreign styles of burial—arguing forcefully for the presence of foreign peoples, not just exotic items. (Barnes 2004:34)

7. Lee (1983: 120-21) notes a comment in the Hyangyak kukup-p'ang of 1250 noting that lead was popularly called namul (cf. J namari 'lead') and an early-15thcentury entry in the Chinese Hua-Yiyiyu giving # as the "Korean" translation of 'village' t t . This # presumably stood for a (Sino-)Korean syllable similar to para-Japanese *tan 'valley' (cf. J tani id.), though perhaps confusion of 'valley' with or hypercorrection to # played a role too. Lee, of course, thinks both words are relics of Koguryoan, not para-Japanese.

THE KOREAN ROLE IN THE RISE OF KOFUN CULTURE

153

These people were evidently not just Chinese left over from the commanderies. Nor could they have been the descendants of the para-Japanese speakers left behind centuries before by the Yayoi migrants. Their "foreign" language was most likely Early Old Korean itself. From this perspective, the problem with Egami's horserider theory is not the horseriders per se but the assumption that things happened so quickly that members of different linguistic groups did not have a chance to learn from the horseriders and make use of their knowledge for their own ends. It is therefore worth reexamining Edwards's 1983 critique of Egami's theory, as revised in Ledyard 1975, to see whether some aspects of it can be salvaged if we remove the unnecessary assumption of abrupt intrusion. Ledyard's revised theory may be summarized as follows: • The Wei zhl provides reliable accounts showing that "the Wa, and Yayoi culture in general, extended from the southern coast of Korean through Kyushu and eastward to the Kinai r e g i o n . . . . It was esentially an area connected by water, not by land" (231). It is appropriate to call this a thalassocracy, borrowing a term first applied to Minoan civilization. • The kingdom of Paekche was founded by Puyo. The Samguk sagi notice of the subjugation of Mahan by Paekche in the years 6-9 should be transposed forward six calendrical cycles to 366-369; it refers to the subjugation of Mahan by Puyo. •Japanese accounts of Mimaki ("Emperor Sujin," d. 318) and Yamato Takeru reflect the experiences of Wajin living in the southern peninsula who moved to the islands as Puyo approached the continental edge of the thalassocracy. The kings from Mimaki to Tarashi Nakatsuhiko ("Emperor Chuai," d. 362) formed a line. • The next ruler, Okinaga Tarashi ("Empress Jingu") is a fictitious character created to provide a female ancestor for the founder of a new line, Homuda ("Emperor Ojin") and to represent the Queen Pimiha mentioned in Wei zhi. The end of her regency, 269, must be transposed forward two cycles to 389. • The story of the invasion of Silla by Okinaga Tarashi in 249 is a distortion of a real event that occurred in 369 (again, two cycles later). This event was the completion of the subjugation of Mahan and Mimana by Puyo between 366 and 369.

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CONTACT IN T H E ORIGINS OF J A P A N E S E AND KOREAN

• The story of Iwarebiko ("Emperor Jinmu") refers to a successful military campaign of Puyo accompanied by subjugated Han (i.e., Koreans) and Wajin. This campaign progressed from Tsukushi (northwestern Kyushu) through Kibi (Okayama) to Yamato (the Kinai region) during the latter half of the 4th century. Edwards does not criticize these claims directly. Instead, he uses archaeological data to dispute the dating of the Yayoi-Kofun transition. Specifically, he tabulates forty-three "variables" or features (some mutually exclusive) in 137 Japanese tombs of the 4th through 7th centuries located in four regions: the Northeast, Kinai, Okayama, and Kyushu-Yamaguchi areas. Ten of these forty-three variables, he contends, indicate "continental influx" of culture. They are a horizontal burial chamber, decorations and swords of continental design, rivetted cuirasses, visored helmets, lamellar armor, gold jewelry and earrings, equestrian gear, and sueki pottery. On the basis of the geographical and temporal distribution of these features, Edwards makes the following three points: • Evidence of continental influx starts to appear in tombs of the 5th century, not tombs of the 4th. • There are continuities running throughout the sequence, from the 4th to 7th centuries, before and after continental influx begins. For example, from the Late Yayoi period on, swords, mirrors, and magatama are found together in burials, and keyhole-shaped tombs predominate. • Not all elements of continental culture appear at the same time in all parts of Japan or in the same order in different parts ofJapan. Edwards then interprets these findings under three assumptions. The first, which is implicit in the whole argument, is that military conquerors would have more or less immediately started including "continental influx" indicators in their burials. Second—Edwards mentions this so casually that it is easy to overlook—if there were a military invasion, his ten continental influx features would be its best indicators. Finally, if a military invasion were the cause of continental influx features in tombs, then all tombs in all the conquered parts of Japan would show the same combinations of

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features at the same times following the conquest. There should be no regional preference for certain features over others. None of these assumptions is unreasonable, and Edwards's conclusions follow logically from their application to his three key observations. However, his criticisms are more relevant to Egami's version of the horserider theory than to Ledyard's. For example, Edwards admits, It is still possible, of course, to pursue the basic outlines of the horserider

thesis

by simply

allowing for

some

degree

of

indigenous

unification before the continental influx, while maintaining that this influx resulted from conquest by an outside group nonetheless. After all, the initial reason for suspecting an invasion remains: the discontinuity in the archaeological record which the influx represents. (1993:286)

But Ledyard provides for just such a period of local political unification prior to the invasion: in his view, there were TWO waves of contact. The first, associated with Mimaki Iribiko, involved Wajin from the continent seeking refuge among Wajin in the islands. The continental Wajin had been in closer contact with Samhan and Chinese peoples than with their island cousins. The second wave of contact—the "invasion"—is associated with the fictitious Okinaga Tarashi (jingu) and the probably real Homuda (Ojin). In short, Ledyard did not repeat Egami's mistake of making Mimaki out to be a horserider. Again, Edwards notes that tombs of the Korean kingdoms are round or square, unlike the predominant keyhole shape found from the Late Yayoi period in Japan. This is certainly a failing in Egami's version of the theory, but Edwards goes a bit too far when he says that regional differences in the selection and order of continental influx features makes it "difficult for ANY theory to link the presence of all elements of continental culture to a single event such as an invasion" (287; emphasis JMU). Given that the keyhole shape was a Japanese innovation, one can imagine many reasons why invaders might want to retain it—particularly if they weren't really invaders. As for other continuities, such as the sword-mirror-bead complex, Edwards himself says, "This set is first encoutered as a standard item in burials of the Yayoi period in northern Kyushu; by the beginning of the Kofun period this practice had spread to the Kinai region" (286). Ledyard's theory

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accommodates just such a spread at just that time. In the same way, Edwards's observation that horizontal burial chambers in Kyushu antedate other features of continental influx fits Ledyard's model, for orientation of the burial chamber is the one continental feature Wajin could have adopted prior to the invasion that does NOT require particular objects manufactured on the continent or copies of them. Clearly, Edwards's real objection to the horserider theory is not that an incursion was impossible but that it could have introduced a completely new culture or new language to Japan ABRUPTLY. But as I have argued above, there is at least no linguistic reason to associate the founders of Paekche (whether or not they were refugees from a defeated Puyo kingdom), of Silla, or of Koguryo with the Yayoi-Kofun transition. It is enough to acknowledge that paraJapanese speakers once lived on the peninsula. There is no reason to doubt that Ledyard was right in identifying Sujin as a paraJapanese leader even if we agree with Edwards that Ledyard was wrong to drag invasive Puyo into the picture. Para-Japanese Wajin, though not native speakers of Old Korean or Chinese, brought important elements of Sinitic and Three Kingdoms culture (including new words) with them to the islands. 6.2

How many non-Japonic languages were there?

Given that para-Japanese and Korean once coexisted on the peninsula, it is natural to ask how many other languages may have been spoken there in ancient times. In chapters 1 and 3,1 argued that the languages of the elites of the Three Kingdoms were all varieties of Korean, but were there other languages? Certainly Chinese was used in the commanderies, and speakers of Tungusic languages no doubt ventured into the region occasionally. Nevertheless, on the basis of Korean dialect comparisons and the comparison of Korean with Japanese, Kono Rokuro (1945) found evidence for just two major language inputs, which he calls (Macro-)Tungusic and Japonic. In his view, Korean is the product of a mixture of these two linguistic strains, but his model can be reinterpreted in terms of Korean and para-Japanese as daughters of proto-Korean-Japanese. In Figure 3,1 reproduce Kono's summary diagram with translated labels and some graphic editing.

T H E KOREAN ROLE IN THE RISE OF KOFUN CULTURE

Japonic

Macro-Tungusic

REMOTE

157

PAST Tungusic

SAMHAN

Yemaekan Ökchöan

PERIOD

Chinhan

Puyöan

Pyönhan

THREE KINGDOMS

V

PERIOD

Karan Koguryöan

SILLA PERIOD Tallan

Parhaean

KORYO PERIOD

V Jurchen

Kyöngju

YI PERIOD PRESENT DAY

Northwestern

Northeastern

Central

Chejudo

Southern

dialects

dialects

dialects

dialect

dialects

Figure 3. Kono's model

I have retained Kono's plain and dotted arrows to indicate likely versus tentative connections but use straight and curved lines to distinguish genetic links from contact influences. The left and right sides of the diagram (the bottom and top in Kono's original) correspond to geographical north and south, respectively; I have used tinting to indicate northern, central, and southern regions, which Kono labels but otherwise does not indicate. This aspect of the diagram was important to him (it forces

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

some otherwise avoidable crossing of arrows), and I have therefore also added a link from Paekchean to Tallan (a hypothetical preKorean language of Chejudo) and two arrows leading from the node labeled Tungusic to bring out connections that Kono merely implied. Kono's theory can be described by saying that all the languages of the peninsula originated in one of two early groups. The split of Macro-Tungusic into Puyoic and the rest of Tungusic occurred at roughly the same time as the split of Japonic into Japanese and Korean, hence no later than the Yayoi migrations. At the next stage, Korean split into the languages of the Three Han (Mahan, Chinhan, and Pyonhan), which Kono calls dialects (hogen), while Puyoic split into Yemaekan, Okchoan, and Puyoan, three distinct languages (go). Nevertheless, all three were sources of Koguryoan. Early Paekchean and Early Sillan, which Kono labels f ^ ID and f f M f p , respectively, to keep them distinct from later Paekchean and Sillan fflMan, were, for him, amalgams: Paekchean and Sillan are taken to be Mahan and Chinhan speech under the influence of Puyoan and Yemaekan, respectively. Unlike the languages of the other two Han, the speech of Pyonhan, which became the language of Kara/Kaya, was unaffected by an intruding northern language. Thus there were, in Kono's view, four distinct languages spoken on the peninsula just before Silla unified it politically in the 7th century. Karan and Paekchean were completely lost, although they contributed material to Sillan; Koguryoan survived in Parhaean, which also absorbed elements of early Tungusic Malgal speech. All later Korean dialects developed from Sillan, with contributions from Parhaean, the later Tungusic language Jurchen, and perhaps the hypothetical Tallan. Although the pre-Sillan part of Kono's model is mostly an embodiment of statements in early Chinese sources, such as Wei zhi, as to which languages were similar to which others, the Silla period and later parts of the model reflect the extensive knowledge of Korean dialectology accumulated by him and his teacher, Ogura Shinpei. Note carefully that Kono adopts a two-group approach in which Japanese and Korean are NOT Macro-Tungusic languages. Kono's Japonic is thus essentially what Martin later called protoKorean-Japanese, and the label "Korean" for one of its branches is clearly a geographical, not an ethnic, reference.

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159

In light of the extensive evidence for the Yayoi migration theory, we can therefore use Kono's model as a starting point, modify its Japonic part, and produce a revised diagram (Figure 4). The conventions in this diagram are the same as in Figure 3, with the addition of triangles indicating later, unspecified divergence of dialects or languages. To keep things simple, I also take the liberty of using the label "para-Japanese" to cover the stage immediately prior to the Yayoi migrations as well as thereafter.

Figure 4. Revised model

It seems to me that this slimmed-down version of Kono's 1945 model is as good a picture as any of the linguistic relationships on the peninsula prior to Unified Silla. It retains the basic concept of two principal linguistic inputs, yet leaves open the possibility that proto-Korean-Japanese is but one branch of a Macro-Tungusic family, and is even agnostic with respect to (Macro-)Altaic (though

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

some may not see that as a virtue.) I have purposely not given a linguistic name to the " 'Mumun' input" on para-Japanese, but will review the possible candidates for this third language in the next chapter.

7

Languages in Contact with Early Japanese

Although what we might call transfluvial pre-Korean no doubt picked up some lexical material from neighboring languages of southern Manchuria, the fact that elements of Mumun culture spread across the peninsula from the south as well as from the north forces one to conclude that at least some of the lexical differences between Korean and Japanese, if related, arose from contact between pre-Japanese speakers at the southern end of the pKJ range and people who spoke a third language or languages and reached the southern coast by sea. One obvious candidate for such people would be the Dong Yi of Chinese history. The Yi and later Yue peoples of coastal China might well have played a role in bringing knowledge of wet-field rice to southern Korea in the 2nd millennium BCE. But what sort of language did they speak? Some scholars have argued that they were Tungusic, an idea that harmonizes with the Macro-Tungusic and Macro-Altaic theories, but often seems less motivated by facts than by present-day rivalries akin to Chinese claims and Korean counterclaims about the cultural affiliation of Koguryo. Some sinologists believe that the names Yi and Yue originally denoted speakers of Austroasiatic languages. According to Schuessler, The ancient Yi M people, who lived in the east from the Shandong peninsula south to the Yangzl, were probably AA [Austroasiatic] (Pulleyblank 1983: 440ff). The ancient Yue ® people in Zhejiang were certainly AA; the place Langy£ in Shand5ng was their traditional cultural center (Eberhard 1968:414ff). (Schuessler 2007:4)

But since there seem to be few if any links between Austroasiatic languages and Japanese (see again n. 17, p. 12 and n. 24, p. 19)—or, for that matter, Korean—it is unlikely that early wet-field rice cultivators of the southern peninsula could have borrowed words from seafarers who spoke an early Austroasiatic language. In real-

161

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

ity, the evidence is more equivocal than Schuessler suggests. Starosta too (2005: 189) cites Pulleyblank 1983, but, as we shall see presently, reaches very different conclusions about Austroasiatic languages within the present borders of China. For his part, Pulleyblank relied heavily on the seminal article of Norman and Mei (1976), who are a good deal more reserved than either he or Schuessler: The supposition that the Yue people were Austronesian or AA is highly attractive, but no convincing proof has yet been offered [A] number of Yue words were preserved in ancient texts. In what follows, we will show that two items represent AA words for "die" and "dog." (Norman &Mei 1976: 277)

Norman and Mei later discuss five Chinese words that seem to be borrowed from Austroasiatic, but their lengthy remarks show how hard it is to determine when or from what source each of them entered Chinese. Nine Min words that seem to lack cognates in other Sinitic languages—more than half of all the words treated— are, Norman and Mei argue, borrowings from an Austroasiatic substratum. Although the simplest way to account for all fifteen words (Schuessler adds more) is "to suppose that all the various Yue people of southeastern China were AA speaking" (295), we do not know whether Yue, much less Yi, was a linguistic, geographical, or cultural designation. Both names could have referred to several related groups at different times and in different places. Chinese tradition, inasmuch as it uses different names for them, appears to regard them as different groups; and the Min evidence does not preclude the possibility of people who spoke neither Austroasiatic nor Sino-Tibetan in southeastern China during the 2nd millennium BCE.1 Sagart (forthcoming) offers additional reasons for doubting that the non-Sinitic languages of ancient southeastern China were Austroasiatic.

1. Beckwith (2004), in fact, argues that the Urheimat of both Koguryoan and Japanese speakers was southeastern Chinese, where the proto-language was in contact with Tibeto-Burman speakers.

LANGUAGES IN CONTACT WITH EARLY JAPANESE

7.1

163

Wet-field rice cultivation

Since the linguistic evidence is sparse, it seems best to look first at archaeological evidence of trade and communication in the East China Sea during the period in which we are interested. With regard to the Chulmun-Mumun transition and the Yayoi migration theory, the salient feature is the technique of wet-field rice farming. There are three well-known theories concerning its introduction to the region. According to the "Ocean Road" hypothesis of Yanagita Kunio, rice came to Japan in steps up the Ryukyu island chain; according to another, rice entered Korea from the north by a land route around the Bay of Bohai; the third hypothesis suggests a sea passage to southern Korea, northern Kyushu, or both (Barnes 1999:168-70). The southern-route view is no longer viable in light of recent research.2 Archaeologically, the distribution of stone tools and rice grains seems to favor the northern-route view, but the evidence is equivocal (tools can be put to different purposes, and rice is an ideal trade good): "what is needed is clear evidence of both rice production and processing" (Barnes 1999: 170). In its absence, other archaeological material should be given consideration. Tubular beads and magatama made of hard jade were produced almost exclusively in the Noto peninsula of northern Japan during most of the Jomon period and were traded over a large area (Mori 2005). That we do not find evidence of permanent settlements of Jomon-type people outside Japan implies that the circulation of these items involved trade chains composed of several shortdistance links. Contact of this kind is also suggested by the appearance in Late-Final Jomon period Japan of upper incisor tooth ablation, which originated two millennia earlier in the southern Shandong-northern Jiangsu area (Nakahashi 1999). Multilink trade

2. Takamiya (2001) presents direct evidence that refutes not only Yanagita's "Ocean Road" hypothesis of Yayoi wet-field rice but also raises strong doubts about the "New Ocean Road" hypothesis (e.g., Satoh 1999:149-50), according to which Jomon dry-field rice entered Japan from the Ryukyus. Sagart (forthcoming) adds that the earliest Austronesian settlers in Formosa did not bring rice with them.

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chains probably existed in all neolithic culture areas, and some may have involved long-distance trade as well. Wilhelm Solheim (2000 and many previous papers) has described a trade network in the East China Sea, for which he has coined the Austronesian name Nusantao. Although originally proposed in the context of competing theories about the origins and subgrouping of the Austronesian languages, the Nusantao trade network hypothesis can be uncoupled from Solheim's theory of Austronesian ethnogenesis, which has fallen into disfavor.3 Indeed, Solheim himself imagined that a minority of varying size that did speak a language or languages unrelated to Austronesian must have played a role in the network (2000: 274). His case for the hypothesis rests primarily on archaeological data. Within Southeast Asia itself I feel the most compelling evidence for a widespread maritime trading network during the first millennium B.C.[E.] is the distribution of jade earrings, called Ungling-o [in languages of Northern Luzon], and much rarer, but related, a probable earring or pendant two-headed animal made in jade. These jade objects are distinctive and have been found in Botel Tobago off southern Taiwan, the northern Philippines, Palawan in west central Philippines, Sarawak, coastal central and peninsular Thailand, but most commonly in coastal Viet Nam. (Solheim 2000:275)

Strong support for Solheim's interpretation emerged recently from an electron probe microanalysis of the nephrite in widely distributed lingling-o and bicephalous pendants; this finding established that almost all the raw material studied came from a single

3. Such scholars as Meacham (1985), and Oppenheimer (2004) contend that Austronesian cultures spread from insular Southeast Asia starting in the 6th or 5th millennium BCE, but linguists such as Blust (1985) stress that all but one of the first-order subgroups of Austronesian, namely, Malayo-Polynesian, are found on Formosa. They argue that proto-Austronesian was spoken there from the 4th millennium. The linguistic evidence is compelling, and recent genetic research (Trejaut et al. 2005, Kayser et al. 2006) favors this view. Estimated times of separation of the populations studied antedate the first appearance of Austronesian habitation in Formosa, but are calculated on the assumption that molecular mutations occur at a constant rate, which is now known to be incorrect (Penny 2005).

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site in eastern Formosa. From there it was distributed between ca. 500 BCE and 500 CE "through the Philippines, East Malaysia, southern Vietnam, and peninsular Thailand, forming a 3,000-kmdiameter halo around the southern and eastern coastlines of the South China Sea" (Hung et al. 2007: 19745a). "The research has revealed the existence of one of the most extensive sea-based trade networks of a single geological material in the prehistoric world" (ibid.) The centuries during which this trade network distributed goods throughout the South China Sea area coincide with the final and most critical thousand-year span of Japanese prehistory, but they were preceded by a period of development spanning "the Neolithic in Taiwan (3000-500 B.C.[E.]) and the Philippines (2000500 B.C.[E.])" (Hung et al. 2007:19746b). Thus, it is not unreasonable to think that contact between traders of the network included points to the north as well as the south of Formosa prior to the Yayoi migrations." I will adopt Solheim's term Nusantao as a handy name for the expert prehistoric sailors who transported Formosan jade and other materials, joining him in the hypothesis that some of them were the first to negotiate the middle route from the Chinese coast between Shandong and the Yangzi delta to southern Korea. Since wet-field rice appears to have spread from south to north on the Korean peninsula, sea links between coastal Jiangsu and the southern Korea-northern Kyushu region are more likely than an overland route (Solheim 2000: 4-5). This middle-route theory bears a superficial resemblance to Beckwith's idea that his Liaoxl group originated in an area where Tibeto-Burman languages were anciently spoken, but differs significantly on matters of geography and chronology. The Nusantao network theory, as developed here, is more in keeping with the gradual nature and 4. Other evidence pointing in this direction remains to be explored. For example, there are similarities between the teeth of Yayoi migrants and the Dong Scfn people of northern Vietnam, whose advanced bronzes spread throughout Southeast Asia during the 1st millennium BCE (Matsumura & Hudson 2005). This finding was incidental to a much broader survey—Matsumura and Hudson do not comment on it—but may turn out to be significant in light of the Nusantao hypothesis.

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multiple inputs to Mumun Korea emphasized in §1.1.1. Although areas as far north as Shandong may have played a role in the network, the closest match for Yayoi bones found on the Chinese coast so far is not bones from Shandong (much less Liaoxl) but from southern Jiangsu (Nakahashi 2005), which in any case seems to have been a center of diffusion of wet-field rice cultivation (Fuminori 1998, Satoh 1999). Links to the southern kingdoms of Wu and Yue may also be inferred from the inclusion of two or three dozen mirrors in Japanese burials starting with the Mikumo Minami Koji Tomb near Fukuoka (1st century BCE). This practice was thought to be unique to Japan until the 1983 discovery of thirtyeight mirrors in the tomb of the second king of Nan Yue in Guangzhou (Mori 1993: 88,91; 2005:146).5 What languages were spoken by these peoples of the Chinese coast? Abandoning any preconceptions about the speech of the Yi and Yue, let us take a broad view of the typological features of all the languages of East Asia excluding Korean, Japanese, and other languages of what could loosely be called the "Altaic" type. Almost every conceivable subgrouping of Sino-Tibetan, Austroasiatic, Austronesian, Tai-Kadai, and Hmong-Mien languages has been ventured at one time or another, including the hypothesis that all these families might have sprung from a common source. This view is embodied in the East Asian macrophylum (Figure 5) proposed by Starosta (2005). Whether or not one accepts his hypothesis of a proto-East Asian language, Starosta's comments on the more immediate relationships among the groups subsumed within this macrophylum integrate a large number of findings in linguistics, archaeology, and genetics and therefore deserve careful attention. In particular, they suggest what languages might have influenced peninsular pre-Japanese. In Starosta's view, the first group of people that can properly be identified as speakers of pre-Austronesian languages were associated with the Longshan culture living ca. 5000 BCE at the mouth of the Huanghe: "Riverine navigation techniques developed into

5. Allard (2006: 24l) discusses this site but does not specifically mention mirrors. However, as "a total of over 1,000 objects" were found in the tomb, this omission may well be fortuitous.

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more sophisticated littoral seafaring technology, and some began moving south down the east coast of China, alternating periods of fishing, trading and raiding with periods of farming in river deltas between flood stages" (2005: 184). The Yi whom the Chinese assimilated during the Zhou dynasty were the remanent of this preAustronesian group, whose "main settlement south of Shandong was the area on the south side of Hangzhou Bay, including Hemudu" (ibid.). Most important for our purposes, "Knowledge of rice agriculture and some other cultural characteristics now thought of as AN [Austronesian] were acquired in this region from the HM [Hmong-Mien] Majiabang culture on the north side of the bay" (ibid.). (Both the Hemudu and Majiabang cultures were roughly contemporaneous, ca. 5000-3000 BCE.)

proto-East Asian

Sino-Tibetan-Yangzian

pre-Sino-Tibetan

proto-Austronesian

proto-Yangzian

Sino-

proto-Himalayo-

proto-

proto-Extra

Bodic

Burman

Austroasiatic

Formosan

Tangut-Bodic

Sinitic

TangutHimalayan

Tibetan

Mui

proto-HmonglgMien

MonKhmer

Figure 5. Starosta's model

MalayoPolynesian

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How was it that Hmong-Mien culture was already in place there, waiting to meet the pre-Austronesians in their southward journey? Starosta thinks that, as pre-Austronesians moved down the Huanghe to the Bay of Bohai, the remainder of the orginal pEA speech community split: pre-Sino-Tibetan speakers spread out along the Huanghe while the ancestors of Hmong-Mien and Austroasiatic speakers spread out along the Yangzi. This group "took rice rather than millet as its agricultural staple" and their agricultural success "culminated politically in the emergence of the powerful state of Chu (770-223 BC[E]; cf. Pulleyblank 1983)" (Starosta 2005: 190). As the increasingly sinified Chu expanded, Hmong-Mien groups at its periphery moved outward. "On the east coast, the rise of the states of Wu and Yue followed the evolution of Chu. The Majiabang sites north of the Hangzhou Bay were early HM sites. The Bai Yue . . . of Chinese history were primarily HM speakers" (Starosta 2005:191). Three features of this view of Yue should be noted. First, in relation to the evidence adduced by Norman and Mei, Pulleyblank, and Schuessler regarding Austroasiatic, the crucial question is whether or not Austroasiatic and Hmong-Mien languages can be related. In fact, a connection between these two widely dispersed families has long been suspected.6 Second, certain ethnological data hint at connections between early Japan and southeastern China. Suwa (2005) has called attention to similar features of certain Japanese and Hmong-Mien myths, and Kudo (1999) has pointed out quite specific similarities between pre-Buddhist Japanese culture and the cultures of various minority populations in southern China.7 Finally, in Starosta's model, proto-Yangzian would have been in contact with proto-Austronesian for a consid-

6. Sagart (Sagart, Blench, & Mazas 2005: 5) cites works as early as 1909; see Parkin 1991: 7 - 8 for a summary. Meacham (1985:100) takes the relationship for granted, writing simply "Austroasiatic (Mon-Khmer and Miao-Yao [i.e., HmongMien])." 7. Obayashi's ideas about similarities between Japanese and Austronesian culture (Obayashi 1974, 1991; Murayama & Obayashi 1976) seem at the same time both too vague and too bold to be of much use.

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erable period of time whether or not they had an older, common source. Japanese has been compared with Austronesian languages repeatedly, though often on the chronologically improbable assumption of a Jomon-period connection of some kind. It is possible that matches between words in Japanese that lack Korean etymologies but are close in form and meaning to words found in Formosan languages or reconstructed proto-Austronesian may in fact be relics of what Starosta calls proto-Yangzian, preserved both in early stages of Austronesian and in pre-Japanese. Candidate etymologies might be salvaged from studies such as Benedict 1990.8Although Benedict occasionally invokes his Austro-Tai hypothesis, which in its original form has been largely discredited (Starosta 2005: 186), his comparisons seldom make use of reconstructed nodes higher than proto-Austronesian (Solnit 1992: 19091), and there "is a sizable number o f . . . etyma that have only Formosan cognates in Austronesian" (194). I will not reexamine them in this study, but they should not be forgotten. 7.2

Bronze

Evidence of a connection between Yayoi Japan and the nonSinitic kingdoms of Wú and Yué may also be found in the use of bronze. Though bronze culture seems to have been introduced to Mumun Korea from northern sources, it is by no means certain that bronze technology originated only once or in only one place in East Asia, and it is possible that Japanese bronze had more than one source. There are, in any case, features of bronze use in Japan that suggest connections with the Chinese coast.

8. For an overview of the extensive literature on Japanese-Austronesian comparisons, see Shibatani 1990: 103-9. Solnit's (1992) balanced review of Benedict 1990 is a better guide to it than Vovin's 1994 critique. One should carefully distinguish claims that Japanese is a (Macro-)Austronesian language (e.g., Kawamoto 1986), claims that some early Austronesian language(s) provided loanwords to Japanese and Korean (Lewin 1976: 408-9; Kumar & Rose 2000), and the hypothesis that insular Japanese overlies an Austronesian substrate (Murayama 1976,1986, and many other works).

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Wagner (1993), though interested primarily in the rise of iron in China, takes time to mention "[a]n interesting text of the Warring States period, the Kao gong ji ('Artificers' record'), [which,] together with its Han commentaries, indicates that in the Warring States and Han periods bronze had a special place in the culture of the Wu-Yue region" (109). He goes on to say, There is a remarkable amount of folklore concerning the metallurgy of bronze and iron, more specifically the art of the swordsmith, in the Wu

Yue chunqiu

and the

Yuejue shu.

This material is very interesting in its

own right, but it has a special significance because there is almost nothing in the way of metallurgical mythology in the rest of the extant Han and pre-Han literature. Even books like the and the

Zhan-guo ce, which

Zuo zhuan,

the

Cuoyu,

are primarily devoted to "war stories", say

very little about swords or swordsmiths. A passage in the

Zhan-guo ce

describes a fine sword in a simile, but this is specifically a sword from Wu. It seems that swords, swordsmiths, and metallurgy had a much more important place in the folklore of Wu and Yue than in that of the northern states or of Chu. ( i l l )

Indeed, after reviewing these texts, Wagner sums up by saying, "The sources quoted in this section indicate that the Wu-Yue region was famous for its bronze metallurgy, especially in connection with agricultural implements and swords; and that in the folklore of the region, unlike that of the north, metallurgy and sword-making had a central place" (114). The importance of these facts for Yayoi Japan was made clear in an unpublished paper by Hesselink (1990) on the motifs of the Dojoji story, best known from the eponymous no play of Kanze Kojiro Nobumitsu (1435-1516), but earlier recorded in Konjaku monogatari, Dojoji engi maki, and other sources, of which the earliest is Dai Nihon-koku hokke genki (1040). By comparing the Konjaku and Engi maki versions and taking note of "current folktales of Wakayama prefecture" (where Dojoji is located), Hesselink demonstrates that a simple pre-Buddhist story, which can be reduced to five motifs, underlies both versions. The motifs are as follows (Hesselink 1990: 8): • A holy man is tempted by a woman. • The woman takes the shape of a serpent. • The holy man hides under a temple bell.

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• The serpent heats up the bell until it is red hot. • When the bell has cooled off, there is nothing left of the man. The first two motifs are also found in stories in Kojiki, Hitachi fudoki, Nihon shoki, and Nihon ryoiki, but usually with a woman wedding a snake-man, specifically a thunder god. What all these stories have in common is a chain of associations (Hesselink 1990:10): marriage of human and snake —* snake and thunder —• thunder and water —• water and ponds —• ponds and metal —• metal and snake.

The last three motifs, Hesselink believes, form a separate cluster and were fused with the first two only in the Dojoji story. "More clearly than in the two tales we have previously analyzed, the no play has preserved the connection of the motifs with metalwork (i.e., bronze casting) and its traditions" (13). This connection is also seen in another no drama, Mii-dera. "This play is more properly a Buddhist play, but the pagan elements are still there. For our second set of motifs we may now propose the following associations" (14): woman and dragon —> dragon and fire —» fire and casting —* casting and bell —• bell and its inside —• inside and transformation.

Hesselink then notes that these two chains of associations appear in tales of southeastern China from the cultural area of Yue as described in Eberhard 1968. 9 "Following Eberhard's lead, I

9. In this and other works, Eberhard originated the chains (Ketten) of motifs and concepts that Hesselink employs in his study of the Dojoji story.

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

translated the tales for which he gave references and which turned out [to be] amazingly similar to the cluster of motifs we found in Japan" ( 1 4 - 1 5 ) . The Japanese stories have been overlaid with Buddhist imagery, the Chinese stories with Daoist, but all originated as traditional stories of bronze casting and extensively share motifs (a shaman under a bell; external fire heating the bell; testing the shaman's powers). Consequently, Hesselink points out, if the stories have a common origin, it "must go back to remote antiquity.. . . [l]t is highly unlikely that the similarities should be explained as borrowings from the time after Buddhism was brought to Japan" (18). Indeed, the very fact that there are many differing Japanese versions of the Dojoji story strongly suggests the existence of a "living oral tradition around the Ki peninsula until at least the late Middle Ages, which was noted down from time to time by monks who gave it a Buddhist interpretation" (ibid.).

7.3

Languages of the trade network

I am unhappy that I cannot at this time point to a specific language or group of languages and show that it contains lexical material with regular correspondences in Japanese, but at least I can say that the Nusantao trade network hypothesis is no worse than competing theories frequently discussed in the literature. To underscore this point, I conclude by briefly comparing two betterknown hypotheses about Japanese and other languages of the region. Each, in its own way, is sweeping in its scope. One is the Japanese-Dravidian theory of Ono Susumu, the other, the MacroAltaic theory of Roy Andrew Miller. Miller ( 1 9 8 6 ) and others have roundly criticized Ono, while anthropologists such as Hudson ( 1 9 9 9 ) have been willing to accept the general outlines of Miller's theory even though they have not investigated Miller's arguments for it in any detail. In fact, both hypotheses are linguistically problematic. Ono's etymologies suffer from, among other things, the fact that he was initially aiming to prove a genetic relationship. As a result, he focused on look-alike words for which he could set up uncomplicated sound correspondences, and included as many as he could. He did not hesitate to note parallels in grammar and even claimed that similarities in Japanese and Tamil poetic prosody were not accidental. More recently, he has traveled to India

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and collected ethnographic data in an attempt to demonstrate similarities between cultural practices there and in Japan, where they presumably originated in the Yayoi period. Yet despite all his efforts, many common Japanese words (and no doubt many Tamil ones as well) remain unmatched; the sound correspondences are altogether too neat to be credible; and the semantics of many etymologies are tenuous. Even Ono now senses that he cannot weather the storm of criticism his comparisons have whipped up, writing of contact rather than genetic relationship, but he is reluctant to jettison the freight that is making his ship founder. If, however, there was a Nusantao network, as now seems undeniable, it is reasonable to suppose that, like all large, successful trade networks, it made use of a lingua franca of some kind. The core of that lingua franca may have been the sister of protoAustronesian Starosta conjectured, but its lexicon would certainly have included words from the languages of those network participants who played leading roles in the manufacture of prestige goods, even if they did not personally transport them. Material evidence amply points to speakers of Dravidian languages playing such a role in the network (Oga & Gupta 2000, Gupta 2005).10 It would therefore not be surprising to find reflexes of Dravidian

10. Note also t h e story in Samgukyusa (13th century; translated in Ha & Mintz [l97l] 2006: 138-44) according t o which Ho Hwang-ok, t h e consort of Suro, first king of Kara, miraculously came to Korea by boat f r o m India. Her point of origin is given as Ayoda P"! Ed PI: US, t h a t is, (land of) Ayodhya, t h e most famous ancient city of t h e subcontinent. (Ha and Mintz mention t h e eponymous Thai kingdom and city Ayutthaya, but it did not rise to prominence until t h e 14th century.) Though perhaps just a Jataka tale piously recast by t h e Buddhist monk Iiyon, compiler of Samgukyusa, it is not impossible that this story began as a local m y t h memorializing early landfalls of traders on t h e southern peninsula. "Iryon . . . was indiscriminate in collecting material a n d included stories even if he doubted their veracity" (Vermeersch 2004:237). Is it strictly a coincidence t h a t t h e Paekchean word IfifH '(administrative unit)', recorded in Liang shu, which would be MK tamlwo, and t h e Japanese island now read Awaji but, if Sino-Japanese, OJ *tamro, both resemble Skt tamra 'copper'? Like Skt suvarna 'gold', tamra often occurred in t h e names of foreign places visited by Indian m e r c h a n t s in t h e 1st millennium CE (Ostler 2005: 199201).

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CONTACT IN THE ORIGINS OF JAPANESE AND KOREAN

words in the Nusantao lingua franca pertaining to beads, metal objects and tools, or textiles—perhaps even navigation. Such words might have found their way to southern Korea when it was a preJapane'se linguistic zone even if no Dravidian speaker ever set foot there. Regarded from this perspective, Ono's comparisons of Tamil tampal 'waterlogged paddy' and kan 'copper, copperwork; workmanship' with J ta(nbo) 'rice paddy' and OJ kane 'metal, bronze; bell' (neither of which has a promising Korean match) are not quite as far-fetched as they seem in the doubtful "genetic relationship" context in which he originally placed them. By way of contrast, consider the way Miller (1971: 85) compared OJ tabi 'bifurcated sock' with Mongolian, Manchu, and Evenki words that Poppe had glossed (unfortunately, for Miller, in German) as 'Boot'. There is no mention of Celtic coracles in Miller 1971; he clearly had socks and boots in mind. In a chapter in a multiauthored collection fifteen years later (Pearson 1986: 106b), he quietly revised the Japanese etymon to OJ tabi 'journey', but clung to the formal comparison, though in fact the two tabi are not quite the same in form: tabi 'sock' is a pj 2.5 accent-class noun whereas tabi 'journey' is 2.2b (Martin 1987: 536). (The importance of this detail will become apparent in a moment.) Furthermore, though tabi today refers to (a long, possibly one-way) journey, Ono (2000: 297-98) observes that, in Early Middle Japanese, it more typically referred to a temporary stay away from home.11 He cites relevant passages from Genji monogatari and Kagero nikki that imply a closed circuit rather than an open-ended path, and notes that tabi no onsha denotes the place where festival participants temporarily put down the mikoshi (litter) bearing a kami (deity) away from and back to its shrine. In such uses, tabi can be taken to mean 'temporary' instead of 'travel'. Ono might also have noted that tabi 'time, occasion', typically found in compounds such as hutatabi 'twice', likely comes from the same root—both words have pj 2.2b accent, according to Martin. At any rate, he compares tabi with Tamil tavir 'abstain; cease; abide' and tavircci 'abiding; interruption, break'.

11. Miller (in Pearson 1986:106b) says the word means "leaving one's permanent residence for a longer or shorter period, regardless of distance," which fits Ono's definition but gratuitously tacks on the idea that distance did not matter.

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Whatever the semantic defects of this etymology may be, Miller's etymology, which derives 'journey' from 'boat' is surely no better. Whether Dravidian roots were part of the Nusantao lingua franca associated with the spread of Mumun and Yayoi culture or not, we know enough already, I think, to be confident that linguistic contacts must have played a role in changing the lexicon of preJapanese and obscuring its genetic connection with pre-Korean.

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Daniel. 1993. Review of Vovin 1993. BSOAS 60(l):190-92. Alexandra Y., and R. M. W. DIXON, eds. 2001. AreaI diffusion and genetic inheritance: Problems in comparative linguistics. Oxford: Oxford University Press. AKIMA, Toshio. 1993. The myth of the goddess of the undersea world and the tale of the Empress Jingu's subjugation of Silla.JpJRS 20(2-3):95-185. ALLARD, Francis. 2006. Frontiers and boundaries: The Han Empire and its southern periphery. Stark 2006, pp. 233-54. ALLEN, Chizuko T. 2004. Prince Misahun: Silla's hostage to Wa from the late fourth century. KS 27:1-15. ANSELMO, Valerio. 1974. Una ricerca sul nome Kudara. Gururajamanjarika—studi in onore di Giuseppe Tucci. Napoli: Istituto Universitario Orientale. English translation accessible at www-corea-it/kudara_l.htm. ANTHONY, David W. 2007. The horse, the wheel and language: How bronze-age riders from the Eurasian steppes shaped the modern world. Princeton: Princeton University Press. AOKI, Michiko Y. 1 9 9 7 . Records of wind and earth: A translation of Fudoki with introduction and commentaries. Ann Arbor: Association for Asian Studies. ABONDOLO,

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Indexes Middle Korean moncye 'first of all', 59,92 mosi '(plant)', 119 mot 'eldest, chief (of kin)', 54,59 mulu- 'withdraw', 54 mulut 'all', 54 musu- 'what', 54 mwoh 'corner', 55 mwosi 'ramie', 55 mwoyh 'mountain', 54 "myel 'greenbrier', 114 myenuli 'wife', 55 nal 'day', 120 nimna 'Imna', 76 niph 'leaf (counter for songs)', 109 nol 'fly', 54 nyey- 'go', 55 'pal 'leg, foot', 118 palol 'sea', 112 pask 'outside', 117 peli 'bee, wasp', 55 po'li- 'spread it', 56 'poli- 'split open', 56 poy 'boat', 54 poyam 'snake', 4,54 psi 'seed', 59 pul 'fire', 54 pyeiwok'flea', 5,55,122,126 "pyel 'star', 115 'sal 'arrow', 118 'se(k) ~ "sey(h) 'three', 35,107 'senol 'cool', 76 'spul 'horn', 122,124 'stah 'ground', 110 sumuy- 'permeate, sink in', 51 suso-lwo 'on one's own', 122 syem 'island', 55,113 syey- 'whiten', 55

achom 'morning', 58 "al 'before, below', 110,118 a'lay ~ oloy 'below', 110 'cas 'fortress', 23,109 cul- 'soft; slushy', 51 cyec 'breasts', 55 e- 'which', 55 hon(ah) 'one', 119 'hoy 'sun', 120 ilhi 'wolf, 57 ip 'mouth', 109 iph- 'sing, recite', 109 "kel 'fat, thick, fertile', 56,93 ket- ~ kel- 'walk', 55 kokwulye 'Koguryo', 55 koth- 'alike', 54 koWor 'county', 54 ku 'that', 54 kuluh 'stump (tree counter)', 54,113 Jcus'line', 51 kwoc 'flower', 108 'kwoh 'nose', 117 kwokwoli 'stem', 54,56 "kwol 'valley, deep hole', 108 kwom 'bear', 54 kwop-, kwoW- 'beautiful', 55 kwut 'hollow pit, cave', 109 kye'zulh 'winter', 117 'kyel 'wave', 111-12 kyen 'silk', 55 mali 'head', 56 mali 'head', 36 me'li 'head', 56 met- 'far', 112 mo"toy 'knot', 59 mol 'seaweed', 54 mom 'body', 54

197

198

KOREAN

'tay 'bamboo', 56

"twolh 'stone', 5 7 , 1 1 5

the 'place', 116

"twon 'money', 40

'to/ 'moon, month', 56

twulwomi 'crane', 4

tolk 'chicken', 54

tyel 'temple', 40

tul- 'enter', 51

('u)7wo '(case particle)', 61

tul- 'hold, lift', 54

woy 'melon', 54

tumul- 'rare', 54

wuh 'top, above', 116

two '(focus particle)', 55

'wulh 'clan', 74

twok 'jug', 54

Modern Korean achim 'morning', 58

mith 'bottom', 59

capsu- 'eat', 40

mul 'water', 6 9 , 1 1 0

eel 'temple', 40

nampi 'pan', 92

celm- 'young', 96

(n)un '(focus particle)', 60, 65

chilk 'kudzu', 58

nwun 'eye', 6 9 , 9 5

dp 'house', 95

nwun 'snow', 69

han(a) 'one', 119

nmmmul

huntulli- 'shake', 92

pal 'leg, foot', 118

i '(case particle)', 61

pata 'sea', 1 1 2 - 1 3

ill 'wolf, 57

pich 'light; beam, ray', 120

imna 'Imna', 76

pilus 'first, beginning', 119

'tear', 69

kaci 'branch', 108

polk- 'red', 59

kes 'thing', 5

puthye 'Buddha', 122

kilma 'pack saddle', 108

pwo- 'look, see', 62

kiph- 'deep', 112

pyelwuk 'flea', 126

kkoc 'flower', 108

sam 'hemp', 119

kkoktwu 'puppet', 121

sem 'island', 14

koktwu 'mirage', 121

senul 'cool', 76

kokwulye 'Koguiyo', 113

sey 'three', 107

komiphangi)

'mildew', 92

ssi 'seed', 59

kulum 'cloud', 12

susulo 'on one's own', 122

(l)ul '(case particle)', 60

-ta '(verb particle)', 61

mali 'head', 95

tah- 'arrive', 59

mat 'eldest', 59

tal 'moon, month', 56

mati 'knot', 59

tempi- 'rush, jump; fly at', 92

may 'hawk', 109

to '(focus particle)', 5 , 6 0 , 6 5

mence 'first of all', 59

(u)Zo '(case particle)', 61

mencye 'first of all', 92

ulph- 'sing', 109

mil- 'push', 34

JAPANESE

Old Japanese akabosi 'morning star', 124 akasi 'red', 45 akatuki 'dawn', 59 aku 'dawn, get light', 45,59 asi 'leg, foot', 118 bye 'guild', 121 -do '(adversative ending)', 5 [' '(case particle)', 61 idu 'go out', 110 idumi 'spring', 110 idure 'which', 55 ikaduti 'thunderbolt', 129 ipa 'rock, crag', 115,116 ipu 'say', 109 ipye 'house', 95 iru 'enter', 51 iru 'shoot', 118 isi 'stone', 57,115,116 izanapu 'invite', 48 ka 'place', 111 kagu 'smell', 117 kami 'top, above', 116 kamuroki '(male deity)', 48 kane 'metal, bronze; bell', 174 kanu 'make one', 119 kara 'family, bloodline', 84,143 {kara)musi '(plant)', 119 karamusi '(Korean) ramie', 55 kasira 'head', 87 kati ~ kasi 'walk', 55 kaukuri' Koguiyo', 43,55-56,113 ke 'tree', 45 kimi 'lord', 49 kznu 'silk', 55, 56,121 kipa 'brink', 112 kisa 'wood grain', 51, 111 kisaragi '2nd lunar month', 117 kiyoru '(epithet)', 111-12 ko 'this', 54

kodati 'stand of trees', 46 kokoro 'heart', 111 komoru 'hide', 45 komoru 'surround, hide away', 46 komu, 45 komu 'hide, enclose', 45 komu 'put in', 45 kopori 'county', 54 koporu 'thicken, congeal', 56,93 kosame 'drizzle', 46 koti 'east wind', 78 koto 'word', 4 kotosi 'resemble', 54 hi 'vanish', 45 kuki 'peak, outcropping', 117 kukutu 'puppet', 121 kukwi 'stem', 54 kuma 'bear', 54 kuni 'country', 116 kupasi 'beautiful', 55 kura 'saddle', 108 kara 'storehouse', 23,108,109 kura 'valley', 108 kurawi 'rank', 108 kure 'board, measured piece of wood', 113 kure 'Koguryo', 43,113 kuru 'reel', 45 kuruma 'wheel', 45 kusa 'branch', 108 kusa 'grass', 108 kuti 'mouth', 109 kutuwa 'horse's bit', 109 kuu 'kick', 47 kwi 'fortress', 23 kwi 'tree', 45,54 kwiri 'fog, mist', 45 kwosi 'crossing, pass', 112,116 kwosi 'north country', 117

199

200

JAPANESE

madii

' f i r s t o f all', 5 9 , 9 2

' c o m m a - s h a p e d bead', 132

magatama

mora

nigu 'flee',

55

no '(case p a r t i c l e ) ' , 61

noboru 'climb', 46

'far', 112

marapito 'foreigner', 112

mare ' r a r e ' , 112 maru ' c i r c l e ; r o u n d ' , 75 masura ' v a l i a n t , w o r t h y ' , 121 mata ' c r o t c h , f o r k ' , 3 6 , 1 3 3 matu no ke ' p i n e t r e e s ' , 45

nobu ' e x t e n d , state', nomi 'flea', 126 noru ' r i d e ' , 54

45

oku 'arise', 4 6 , 1 1 6 opo- 'big', 45 opu ' g r o w b i g ' , 45

me 'eye', 3 6 , 5 6 , 1 3 7

oto ' s o u n d ' , 4

me ' s e a w e e d ' , 54

pa ' ( f o c u s p a r t i c l e ) ' , 60

meguru ' t u r n ,

pa 'place', 1 1 6 , 1 1 7

r e v o l v e ' , 45

mi ' t h r e e ' , 107

pagi "shin', 118

midu ' w a t e r ' , 110 mimana ' I m n a ' , 76

pamabye

minamoto 'spring', 110

minatwo ' h a r b o r ' , 110 mira ' g a r l i c c h i v e ' , 114 mo ' ( f o c u s p a r t i c l e ) ' , 60 mo ' d i r e c t i o n ' , 55 mo ' s e a w e e d ' , 54

mono

' t h i n g , a f f a i r ' , 121

mononopu 'warrior', 121 moro- 'all', 54

moro- 'far', 112 morokwosi 'China', 112

moru ' l e a k , s l i p o u t ' , 110 mosi 'if, 54 moto 'base, o r i g i n ' , 54 moto ' r o o t ' , 59 moto ' s o u r c e , r o o t ' , 110 motoporu

' t u r n around', 46

mure ' m o u n t a i n ' ,

54

mwi ' b o d y ' , 54

mwiru

' t u r n a b o u t ' , 54

m w i r u ' t u r n ' , 45 mye ' w o m a n ' , 4 8 , 5 5

myesu ' f e m a l e ' , 119 naka ' m i d d l e ' , 111 nameraka

'smooth, slick', 116

nami'wave',

nana

111-12

' s e v e n ' , 73

ni '(case p a r t i c l e ) ' , 61

pagu 'flay',

132

'beach', 111

pana ' n o s e ' , 117 paru ' s p r e a d it', 56 pasi ' b e a k ' , 109 pasi 'edge', 117 pasita 'half, 117

pata 'edge', 117 pati 'bee', 55 paya 'fast', 109 pe '(boat) p r o w ' , 54

perni ' s n a k e ' , 4 , 5 4 pi ' s u n , day', 126 pigasi 'east', 78 pikwo ' p r i n c e , a u g u s t m a l e ' , 48 pimoroki ' p l a c e t o w h i c h g o d s d e s c e n d ' , 75

pimye ' p r i n c e s s ' , 140 pirn ' l e e c h ' , 5, 5 5 , 1 2 2 , 1 2 6 , 1 2 7 pito ' o n e ' , 1 1 9 , 1 3 7 pito ' p e r s o n ' , 146 piziri ' t h e s o v e r e i g n ; h o l y m a n ' , poka ' o t h e r ' , 117 posi 'star', 115 poso ' n a v e l ' , 59 potoke ' B u d d h a ' , 122 pubito ' s c r i b e ' , 146 pude ' w r i t i n g b r u s h ' , 40 pukasi ' d e e p ' , 112 pumi ' l e t t e r ' , 146

75

JAPANESE

pusa 'bunch, tassels', 109 puyu 'winter', 117 pwi 'fire', 54,134 pwi 'winnowing fork', 135 pye 'layer', 73 pye 'side', 116 sa(ti) 'arrow', 118 sabu 'get desolate, fade', 45 sabusi 'lonely', 45 saigusa '(name)', 107 saka 'border', 116 saka 'reverse', 132 saka 'slope', 116 sakaki' (tree)', 133 saki 'three', 35 sakikusa '(epithet)', 107-8 saku 'avoid', 116 samu- 'cold', 76 sasi 'fortress', 23,109 sati 'luck, happiness', 118 se 'back', 45,46 sima 'island', 14, 55,113 simo 'below', 110 simu 'soak through', 51 sina 'slope', 116 sinazakaru '(epithet)', 116 siri 'buttocks', 46 siro 'fortress', 109 sirosi 'white', 55 siru 'juice, soup', 51 somu 'dye', 51 somuku 'turn away from', 46 subaru 'the Pleiades', 122,124 sugu 'exceed', 45,47 sugusu 'pass', 45 sumi 'living', 111 sumika 'residence', 111 susabu 'get violent, rain, storm, fall to ruin', 131 tabi 'bifurcated sock', 174 tabi 'journey', 174 tadu 'crane', 4 taka 'hawk', 109

take 'bamboo', 56 tanabata 'weaver', 124 tanagokoro 'palm of the hand', 111 tani 'valley', 108 -te '(verb particle)', 61 te'hand', 45, 111 titi 'breasts', 55 to '(case particle)', 61 tobu 'jump; fly', 92 tokoname 'slime', 115-16 tomosi 'scarce', 54 topo 'far', 75,112 tori 'bird', 54 toro 'pool', 4 torn 'take', 54 tu '(case particle)', 61 tu 'harbor', 75 tuki 'jug', 54 tuJcu 'arrive', 59 tuku 'exhaust', 47 tukwi 'moon, month', 45,56 turu 'crane', 4 tutomu 'strive, endeavor', 96 two 'gate', 110 two 'outside, other', 55 udì 'clan', 74 uku 'receive', 47 uma 'horse', 40 ume 'plum', 76 umi 'sea', 76 unabara 'surface of the ocean', 112 une 'ridges between furrows', 112 upe 'top', 116 uri 'melon', 54 wa 'ring', 109 warn 'break', 56 wata 'sea', 112-13 wi 'sitting', 108 wo '(case particle)', 60,62 wo 'hemp', 119 wo 'man', 121,140 woroti 'serpent', 4,36,133 wosu 'male', 119

201

202

JAPANESE

ya 'arrow', 118 ya 'eight', 36,130,133 ya 'house', 95 yamata 'eight-forked, manybranched', 36

ye{da) 'branch', 108 yodo 'estuary', 4 yorodu 'myriad, various', 130 yupudutu 'evening star', 124

Modern and Middle Japanese asa 'hemp', 119 asa 'morning', 59 asi 'leg, foot', 110,118 ba 'place', 117 eda 'branch', 108 gomi 'trash', 101 hatuka '20th day', 120 hayabusa 'hawk, peregrine falcon', 109 heso 'navel', 59 hutatabi 'twice', 174 ka 'day', 120 kabi 'mildew', 92 kaneru 'bundle together, make one', 119 katura '(deciduous tree)', 58 katura 'kudzu', 58 kazu 'number', 119 kazura 'kudzu', 58 keru 'kick', 47 kitune 'fox', 57 kiwamete 'extremely', 112 kookuri 'Koguiyo', 43 koori 'ice', 56 koto 'thing', 5 koyomi 'calendar', 120 kugutu 'puppet', 121 kurai 'dark', 12 kuroi 'black', 12 kutibasi 'beak', 109 kuzika 'roedeer', 78 kuzuru 'crumble', 92 kuzusu 'destroy', 92 me 'eye', 95 mo '(focus particle)', 60,65

morasu 'let slip out', 111 morenx 'leak', 111 nabe 'pan', 92 nadare 'avalanche', 69 namari 'lead', 152 namida 'tear', 69,95 niku 'flesh', 40,84 nira 'garlic chive', 114 o '(case particle)', 60 okiru 'awake', 117 okoru 'happen', 117 oriru 'go down', 110 orosu 'take down, lower', 110 pito'one', 119 sagi 'heron', 5 sara 'plate', 40 shachi-dama '(bullet)', 118 sima 'island', 14 simaru 'be secure, tight', 14 simeru 'occupy', 14 simo 'below', 110 sita 'down, under', 110 sozoro 'involuntarily', 122 sugosu 'pass', 45 susasmu 'get violent', 131 ta(nbo) 'rice paddy', 174 tabera 'eat', 40 tabi 'time, occasion', 174 tani 'valley', 152 tera 'Buddhist temple', 40 tobu 'fly', 79 tokoro 'place', 116 tooru 'pass through', 77,79 torn 'take', 77

ENGLISH GLOSSES

toti 'horse chestnut', 77 tuburi ~ tumuri 'head', 95 tana 'rope', 40 tutomete ~ tuto ni 'early morning', 96 tuzumi 'drum', 77

umi 'sea', 112 unazi 'nape of the neck', 112 wa '(focus particle)', 60,65 ya 'valley', 108 yumi 'bow', 118

English glosses above, 116 affair, 121 alike, 54 all, 54 arise, 46,116 arrive, 59 arrow, 118 arrowroot, 58 avalanche, 69 avoid, 116 awake, 117 back, 45,46 bamboo, 56 base, 54 beach, 111 bead, comma-shaped beak, 109 beam, ray, 120 bear, 43,54 beautiful, 55 bee, 55 before, 110,118 beginning, 119 bell, 174 below, 110,118 big, 45 bird, 54 bit, horse's, 109 black, 12 bloodline, 84 board, 113 boat, 54,175 body, 54 border, 116

132

bottom, 59 bow, 118 branch, 108 break it, 56 breasts, 55 brink, 112 bronze, 174 brush, 40 Buddha, 122 bullet, 118 bunch (of grapes, etc.), 109 bundle together, 119 buttocks, 46 calendar, 120 cave, 109 chicken, 54 chief (of kin), 54 China, 112 chive, 114 chopsticks, 109 circle, 75 clan, 74 climb, 46 cloud, 12 cold, 76 congeal, 56,93 cool, 76 corner, 55 country, 116 county, 54 crag, 115,116 crane, 4 crotch, 36,133 crumble, 92

203

204

ENGLISH GLOSSES

dark, 12 dawn, 59 day, 120 deep, 112 descend, 110 destroy, 92 direction, 55 dog, 43 down, 110 go 110 take 110 drizzle, 46 drum, 77 dye, 51 east, 78 eat, 40 edge, 117 eight, 36,130,133 eldest, 54,59 enclose, 45 enter, 51 estuary, 4 evening star, 124 exceed, 45,47 exhaust, 47 extend, 45 ~ to the limit, 112 extremely, 112 eye, 36, 69, 95,137 fade, get desolate, 45 falcon, 109 family, 84 far, 75,112 fast, 109 fat, 56,93 February, 117 female, 119 ~ deity, 48 fertile, 56,93 fire, 54,134 first, 119 first of all, 59,92 flay, 132

flea, 5,55,122,126 flesh, 40,84 flower, 108 fly, 54, 79, 92 fog, 45 foot, 110,118 foreigner, 112 fork, 36,133 winnowing 135 fortress, 23,109 fox, 57 garlic, 114 ~ chive, 114 gate, 110 go, 55 go out, 110 grass, 108 greenbrier, 114 ground, 110 grow big, 45 guild, 121 half, 117 hand, 45, 111 happen, 117 happiness, 118 harbor, 75,110 hawk, 109 head, 36, 56,87,95 heart, 111 held securely, 14 hemp, 119 heron, 5 hide, 45 hide away, 46 hold, 54 hole, 108 holy man, 75 horn, 122 horse, 40 horse chestnut, 77 house, 95 hunt, 118 ice, 56

ENGLISH GLOSSES

if, 54 Imna, 76 invite, 48 involuntarily, 122 island, 14,55,113 journey, 174,175 jug, 54 juice, 51 jump, 92 kick, 47 knot, 59 Koguryo, 43,55,113 Korea, 43 kudzu, 58 land, 116 layer, -fold, 73 lead (metal), 152 leak, 110, 111 leech, 5, 55,122,126,127 leg, 110,118 lengthen, 45 letter, 146 lift, 54 light, 120 get 45,59 line, 51 living, 111 lizard-tail, 114 lonely, 45 look, 62 lord, 49 lower, 110 luck, 118 male, 119 ~ deity, 48 man, 121,140 many, 133 melon, 54 melt away, 45 metal, 174 middle, 111 mildew, 92 mirage, 121

mist, 45 money, 40 moon; month, 56 morning, 58,59 early 96 morning star, 124 mountain, 54 mouth, 109 myriad, 130 nape (of neck), 112 navel, 59 north, 117 ~ country, 117 nose, 117 occasion, 174 occupy, 14 one, 119,137 origin, 54 other, 55,117 outcropping, 117 outside, 55,117 own, on one's 122 paddy, 174 palm (of hand), 111 pan, 92 pass, 45 ~ through, 77,79,116 let-, 112,116 peak, 117 peregrine falcon, 109 permeate, 51 person, 146 piece of wood, 113 pine (tree), 45 pit, 109 place, 111, 116-17 holy 75 plate, 40 Pleiades, 122,124 plum, 76 pool, 4 prince, august male, 48 prow, 54

205

206

ENGLISH GLOSSES

puppet, 121 push, 34 put in, 45 rain, 131 ramie, 55 rank, 108 rare, 54,112 ray, beam, 120 receive, 40,47 recite, 109 red, 45 redden, 45 reel, 45 resemble, 54 residence, 111 revolve, 45 ride, 54 ridges between furrows, 112 ring, 109 rock, 115 root, 59,110 rope, 40 round, 75 ruin, fall to 131 saddle, 108 say, 109 scarce, 54 scribe, 146 sea, 76,112-13 surface of 112 seaweed, 54 see, 62 seed, 59 serpent, 4,36,54,133 seven, 73 shake, 92 shin, 118 shoot, 118 side, 116 silk, 55,121 sing, 109 sink in, 51 sitting, 108

slick, 116 slime, 115 slip out, 110, 111 slope, 116 slushy, 51 smell, 117 smooth, 116 snake, 4,54,133 snow, 69 soak through, 51 sock, 174 soft, 51 sound, 4 soup, 51 source, 110 spear, 118 split open, 56 spoils, 118 spread it, 56 spring, 110 stand of trees, 46 star, 115 evening 124 morning 124 state, 45,116 stem, 54 stone, 57,115,116 storehouse, 23,108,109 storm, 131 strive, 96 stump, 54,113 sun, 120,126 surround, 46 take, 54,77 tassels, 109 tear, 69,95 temple, 40 that, 54 thick, 56, 93 thicken, 56,93 thing, 5,121 this, 54 three, 35,107

ENGLISH GLOSSES

thunderbolt, 129 time, 174 top, 116 trash, 101 tree, 45,54 (tree counter), 54 tsunami, 111 turn, 45, 54 twice, 174 unit, 119 valiant, 121 valley, 108,152 vanish, 45 various, 130 violent, get, 131 walk, 55 warrior, 121 wasp, 55

water, 69 wave, 111 weaver, 124 what, 54 wheel, 45 which, 55 white, 55 wife, 55 winnowing fork, 135 winter, 117 withdraw, 54 wolf, 57 woman, 48, 55 wood grain, 51, 111 word, 4 worthy, 121 young, 96

207

About the Author J. Marshall Unger is professor of Japanese in the Department of East Asian Languages and Literatures at the Ohio State University. He is the author of The Fifth Generation Fallacy (which correctly predicted that the Japanese Artificial Intelligence effort of the 1980s would not achieve its vaunted goals), Literacy and Script Reform in Occupation Japan (which showed that Americans did not impose unwanted or unneeded changes on Japan), and Ideogram (a round-robin attack on woolly thinking about Chinese characters), as well as dozens of scholarly works on the history of the Japanese language, its writing system, and how to teach it.