Daniel Morgan

Rongcheng Shi 容成氏

Tzjza-B For

Tianzi Jian Zhou 天子建州 A-B

Zzjsa-B For

Zheng Zi Jia

A-B 鄭子家喪

Jrza-B For

Junren Zhe

Positive Case for the Visuality of Text in Warring States Manuscript Culture‖ (24 April, 2010) 2 variants are phonetic, and this is best explained by the role of orality and memory, i.e. the transmission of texts as sound independent of writing. 2 In response, Edward Shaughnessy and William Baxter each offered their own explanations for these phonetic variants: respectively, that scribes may have simply had a habit of phonetic loaning, and that regional languages and scripts might be responsible. A consensus was not met.

At the time, my own work with the two copies of the Shanghai Museum Tianzi jian zhou 天子建 州 (TZJZ) in 2007 had led me to the conclusion that texts were copied visually. 3 However, this conversation reminded me that my own conclusions rested on a number of untested assumptions and a sample that was at once too small and too incomparable with Kern's Shijing quotations to claim broader representativeness.

In 2007, when TZJZ was essentially the only Warring States text to have been recovered in two editions from the same tomb, I submitted its duplicates to rigorous comparison, figuring that their relative proximity in time and space would make them better controls in assessing the features of textual transmission. Their proximity promised to eliminate the unknowable vagaries lurking between the hundreds of years and kilometers separating editions of other, more studied texts. 4 Reading the two editions side-by-side, I compiled a list of every single divergence, down even to the difference of a single decorative stroke, lest I be criticized for not being thorough. These -textual variants‖ I then divided among five categories:

 Stylistic: variants at the level of base components or 文, i.e. the omission, abbreviation or decorative addition of strokes ( vs.

for 可 ), the different execution of same component ( , , , , and for 豕) and the rearrangement of components in composite graphs ( , , ). Except for superficial visual differences, such variants do not reflect any difference in the triumvirate of form 形, sound 音 or meaning 義; they are, for all intents and purposes, exactly the same.  Graphic: variants at the level of composite graphs or 字 in the typical addition, omission or exchange of semantic classifiers in phonograms 形聲字 or semantographs 表義字 2 See

expressing the same word, e.g. 青 vs. 情 for -inner state‖ or vs.

for 樂 -music.‖ In this category I also include allographs 異體字-distinct graphs used to express the same word, i.e. sound and meaning-such as and for dao 道 -Way‖.  Phonetic: the loan of a semantically unrelated graph to stand in for the phonophoric of a graph or the graph itself to express the same word, e.g.: 童 (*doŋ) for 重 (*drjoŋ) in 勭/ 動 -to move‖ (*doŋʔ) or 要 (*ʔjew) for 謠 (*ljaw) -ditty‖. 5  Lexical: variants expressing graphically, sonically and semantically distinct words, e.g.

-night‖ and -day‖.  Omissions/additions: where one edition has text the other does not, e.g. -you look good‖ and -you look good for someone your age‖.

Naturally, such categories are somewhat arbitrary and imperfect, but they adequately serve my purpose: to illustrate clearly how and how much Chu editions of the same text differ. I have listed all textual variants in the Appendix and invite the reader to audit my findings.

When compared, manuscripts A and B are starkly identical. Of 344 overlapping graphs, only 9

(2.6%) vary at the structural or phonetic level, and even then only prosaically so. Even starker is the coincidence of form in ways that can only be explained by visual copying. First, there are a number of orthographies peculiar to TZJZ that are reproduced exactly in both MSs, e.g. A4 and B3 for 孽 -calamity,‖ A6 and B5 for (斗) -Centroseptentriones.‖ Second, there are peculiarities that occur alongside common orthographies, the pattern of which is identical in both MSs, e.g. the particle 也 appears first as A3 and B2 , and subsequently in the common form A3 /B2 ; 凡 occurs both as A1 /B1 and the peculiar A8 /B7 in exactly the same places in the text; likewise for 義, which is written peculiarly as A6 /B6 and A8 /B7 . Furthermore, in both MSs 語 -to speak of‖ is used at the head of eight formulaic admonitions, the first two of which give the full form and the last six of which are abbreviated to . 6 Third, even non-linguistic information coincides with startling fidelity, e.g. the decoration of basic graphs like 不 (A2 /B2

) is identical, as is the pattern of alternation, such that (度) is written in the first instance with a decorative horizontal line (A7 /B7

), then without (A8 /B7

). Even the size, shape and distribution of punctuation and reader's marks is identical. 7 One cannot be certain of the exact circumstances, but it appears that the one was 5 All phonological reconstructions are those of William Baxter's Old Chinese from A Handbook of Old Chinese Phonology (Berlin: Mouton de Gruyter, 1992). 6 The graph is found nowhere else outside of TZJZ. The logic behind simplifying the phonophoric 吾 (*ŋra) to its phonophoric 五 (*ŋaʔ), however, is quite obvious.

7 Both manuscripts feature an assortment of markings typical of the Shanghai corpus and Chu manuscripts in general. First in apparent importance are L-or hook-shaped punctuation marks that appear twice, once at the very end and once near the middle of the text, appearing to mark the end of textual sections. This usage is common within the Shanghai corpus and seems to coincide with a change of topic in the text itself. Both manuscripts are consistent in their use of this mark. Second are the short, bold lines appearing at the right edge of the strip after the last in a line of repetitive statements as caesura, as well as between densely packed graphs apparently to facilitate disambiguation. This later usage can be seen in strip 8 of Manuscript B where two such marks fall between three densely packed graphs. Because this usage is determined by unique conditions of legibility and spacing one does not expect nor see consistent use between manuscripts. Both MSs are consistent except in cases of disambiguation peculiar to each. Of course both manuscripts also feature ligature marks 合文號. copied from the other or from some hypothetical antecedent or line of antecedents. What is certain, is that there can be no other explanation for these coincidences than the two MSs are connected through unbroken visual copying. 8 To argue the representativeness of such a small sample would be foolhardy. Conveniently, the latest volume (VII) of the Shanghai Museum corpus has furnished an additional three duplicate MSs to submit to such analysis: Zheng zi Jia sang 鄭子家喪 (ZZJS), Junren zhe he bi an zai 君人者何必安哉 (JRZ) and Fan wu liu xing 凡物流型 (FWLX). Like the TZJZ, the differences between these MSs are minimal. 9 Aside from their mechanical similarity, each manuscript provides other, unequivocal evidence of visual copying between editions. Throughout both MSs ZZJSa and ZZJSb consistently render the particle 而 as A1 and B1 , however, ZZJSa slips once into the orthography of ZZJSb-A4 . Both MSs also read 炎 -inflammation‖ (A2 /B2 ) where context suggests the graphically similar 光 -glory‖ (usually written like BS261 )-an obvious clerical error. 10 The two editions of JRZ feature orthographies seen nowhere else in pre-Qin writing, such as A2 and B2 for 飤 (c.f. BS202 ),

A3

and B3 for 貞 (c.f. GD.LZa13 and SB.Zhouyi15 ), A4 and B4 for 十 (c.f.

BS137 and SB.RCS14

). The case for copying in FWLX is the most evident. In the first instance of the graph 骨, both MSs produce the same common orthography-A5 /B4 -yet one slip later -show no immediately apparent phonological connection.‖ He concludes that the necessary explanation for these statistics is the transmission of the text of the Shijing through memory and oration-as sounds outside of the written word. This does not need to be the sole, or even the primary mode of transmission, but it must have happened occasionally, and so long as it did, it would randomize the linguistic information of a text, thwarting a stemma codicum model predicated upon the assumption of faithful copying:

Comparing two manuscripts, or a manuscript and a received text, the evidence from textual variants therefore poses the following two alternatives to decide upon: either there is a direct act or an uninterrupted sequence of copying from the first to the second manuscript, or the transmission processes included at least one interruption of such a sequence (or was perhaps entirely based on memory or oral transmission). 12 Here two points require attention in the context of the present discussion. First, his comparisons of excavated and received quotes are against the Mao recension, not against each other. This helps quantify the sort of changes the Odes underwent in the Han to become the text it is today, as is the purport of Kern ( 2005), but cannot tell us much about the features of its transmission in the Warring States.

Second, his emphasis that 86% of variants are phonologically related is to draw a distinction with lexical variants and scribal errors-the sort of variants more typical of stemma codicum analysis. 13 In actuality, this 86% is predominately composed of what I have classified as -graphic variants‖ (e.g. 共、龔=恭)

with only a very small percentage of phonetic loans.

If, for example, one compares all the overlapping Shijing quotations between the Guodian and Shanghai Museum versions of the Zi yi 緇衣 (ZY) as I have done in the Appendix, one finds that they differ considerably more than our duplicates overall, but not in ratio. Even before the important manuscript finds of the recent decades Li Xueqin 李學勤, He Linyi 何 林儀, Qiu Xigui 裘錫圭 and the like had already laid out fairly comprehensive frameworks of diachronic and synchronic development of Warring States script, nuanced by choice of medium and levels of formality, that helped make sense of the seemingly endless graphic variability and phonetic loaning. 15 From this we know that, for many words, some semantic classifiers and even phonophorics are either optional or interchangeable. 16 Some words are even written with wholly independent graphs, e.g. Chu -circumspect‖ and -to lose‖ vs. Qin (慎) and (失). 17 Qiu Xigui's argument for the parallel development of -standard‖ 正 and -vulgar‖ 俗 scripts also helped explain intra-regional variation. 18

In the last few years, the excellent work of a new generation of scholars has contributed to an even more nuanced picture of Warring States script and textual transmission. Imre Galambos, Haeree

Park and Fan Limei 范麗梅 are each compiling statistics on actual usages in early scripts to uncover the patterns behind which graphs were chosen to write which words. 19 This is vital considering Chu and other regional scripts are often treated as nothing more than a bastardized version of the modern standard-that is, modified Qin regional script. 20 These scholars all set out to problematize the idea of a standard for this reason; Galambos, for example, likens pre-Qin script to the orthographic chaos of Middle English.

However, their aim is not to undermine the concept of standard but to retrace those that actually governed Chu script as an entity in itself. (Chicago, Sep. 12-13, 2009) and speaking to her personally. In her work she is compiling 異文組群 -lexeme variant clusters‖ (?), that is clusters of graphs that are used to express the same root meaning across xiesheng series, e.g. graphs from 分、奔、弁、番、扁 phonophorics that carry the sense of -flying‖, -bellicosity‖ and -mottled‖, then isolating the patterns of phonophorics and significs used for a particular sense in a particular corpus. The idea behind this is that as semantically and etymologically self-contained as xiesheng series and semantic elements may have been in some hypothetical past state, there was a significant amount of semantic bleed between them. This fact, then, requires us to look beyond such constructs to truly understand the script of any one time or place, especially for the purposes of assessing issues of textual transmission and variation.

20 This is, of course, why it is the first ritual duty of the paleographer to -fix the text into the clerical script‖ 隸定, or to be less anachronistic, the -correct‖ 正書 or -standard script‖ 楷書--fix‖ being the operative word both etymologically (定 and 正) and conceptually. That all Chinese scripts are essentially the same, and all the paleographer needs to unlock their secrets is, basically, a pianpang decoder ring is a very old and ingrained idea. For a classic response, see Chen Mengjia's 陳夢家 methodological manifesto and criticism of Tang Lan's 唐蘭 pianpang analysis method in Yinxu buci zongshu 殷墟卜辭綜述 (1956; rpt. Beijing: Zhonghua, 2004), 67-73. 21 Chu example is from GD.LZb13; Qin is example from Shuihudi 23.13. Note that 過 does appear written from a 咼 phonophoric in Guodian Yucong san, slip 52 ( ). However, this is one of the texts identified by Feng Shengjun 馮勝君 as containing undigested Qi script (Guodian jian yu Shangbo jian duibi yanjiu 郭店簡與上博簡對比研究 [Beijing: Xianzhuang shuju, 2007], 250-319).

22 Chu example from Shanghai Peng zu 彭祖, slip 6; Qin example from Shuihudi 32.5.

Zhou orthography ( and , respectively), and, in a sense, Chu script is making phonological loans. 23 However, these -loans‖ are clearly regional conventions, not the choices of individual scribes.

Some graphs function differently in the Chu and Qin scripts: Chu , for example, is used consistently to write both -nature‖ 性 (*sjeŋs) and -surname‖ 姓 (*sjeŋs), while is used in the sense of -to be born‖ (*sreŋ) 生 and -surname‖ 姓 (*sjeŋs), but never for "nature" 性 (*sjeŋs). 24 This is a pun in Chu script, where 耳 (*njəʔ) is used to write both -ear‖ as well as -parhelia‖ (*njəs), and 軍 (*kjun) is used to write -army‖ as well as -halo‖ (*wjuns)-both important astrological omens. Now these lexical loads are now distributed between 耳 and 珥, 軍 and 暈, respectively. Thus, this Chu phrase is actually impossible to convey in our -Correct Script‖ (zheng shu 正書).

Warring States script existed as the network of family relationships binding conventions of overlapping social communities at the regional and local levels, the most salient unit of which was likely the school or scribal lineage. 26 As irreconcilable as the writing of craftsmen on pottery and weapons between two neighboring states might seem, the whole family of myriad and volatile conventions was predicated on a common lexicon and meta-language inherited from the Zhou. 27 The boundaries between scripts would have been fuzzy and permeable, allowing written texts to travel fluidly through them as 23 Western Zhou examples from Guo Bo gui 過伯簋 (JC 03907) and Qin gui 禽簋 (JC 04041), in Yin Zhou jinwen jicheng 殷周金文集成 (JC), ed. Zhongguo shehui kexue yuan kaogu yanjiusuo 中國社會科學院考古研究所 (Beijing: Zhonghua, 1984-1994). 24 Feng Shengjun, Guodian jian yu Shangbo jian duibi yanjiu, 209-210. Bai Yulan 白於藍 does list some apparent crossovers in his Jian du bo shu tongjiazi zidian 簡牘帛書通假字字典 (Fuzhou: Fujian renmin, 2008), 293-296. None of these are unequivocal. Chu example orthographies are from Guodian Cheng zhi wen zhi 成之聞之, slip 28 and GD.LZa21.

25 Gao Heng 高亨, ed., Guzi tongjia huidian 古字通假會典 (Jinan: Qi Lu shushe, 1989), 64. Throughout this study I use the terms -Standard Script,‖ -modern script‖ and -Correct Script‖ to refer to kaishu 楷書 or zhengshu 正書, the standard script adopted in the third century C.E. by the Cao Wei and used until modern times. For the evolution of Chinese scripts, see Qiu Xigui, Chinese Writing, 59-150. 26 against the modern script of the Mao recension, etc. In each case it would be impossible to isolate hypothetical traces of orality from all the other factors at hand when a text is essentially translated from one script to another to another. Ironically, the presence of half-digested Qi script in these very texts is, instead, unequivocal evidence for visual copying.

To be fair, one might argue that duplicate texts from the same site and Shijing quotes from the Guodian and Shanghi Zi yi MSs are, respectively, too controlled and too small a sample to reflect how texts may have been transmitted over longer periods of time. For this reason I also submitted to 28 Feng Shengjun devotes several hundreds of pages to such analysis, from which my table draws only several examples, see his Guodian jian yu Shangbo jian duibi yanjiu, esp. 250-506. Feng's research and the term -domestication‖ is inspired by the tentative observations of Zhou Fengwu 周鳳伍, -Chu jian wenzi de shufa shi yiyi‖ 楚簡文字的書法史意義, delivered at Guwenzi yu Shang Zhou wenming-di san jie guoji hanxue huiyi lunwenji wenzixue zu 古文字與上周文明-第三屆國際漢學會 議論文集文字學組 (Taibei, 2002) and Lin Suqing 林素清, -Guodian, Shangbo Zi yi jian zhi bijiao-jian lun Zhanguo wenzi de guobie wenti‖, in Xin chutu wenxian yu gudai wenming yanjiu 新出土文獻與古代文明研究, ed. Xie Weiyang 謝維揚 and Zhu Yuanqing 朱淵清 (Shanghai: Shanghai daxue, 2004), 83-96.

comparison the Guodian Xing zi ming chu 性自命出 (XZMC) and Shanghai Xing qing lun 性情論 (XQL)-two versions of the same text with at least some history in between them: 29 Like the Shijing quotes, it is not surprising that these two texts vary at a higher rate than texts presumably copied one from the other, but the similar ratio of typologies is, again, suggestive.

Meaningless stylistic variants aside, of the six sets of texts surveyed herein, the bulk of their differences come down to little more than the act of abbreviation. Abbreviation is perhaps one of the most salient features of Warring States script as a whole-so much so that William Boltz imagines that if the Qin and Han were not to have put an end to it, the Chinese language may very well have developed into a syllabary. 30 TZJZ's abbreviation of 語 to is a perfect example of how texts tend to begin with full forms, then abbreviate in the face of incessant repetition. 31 Furthermore, some hands simply exhibit stronger and weaker propensities to abbreviate, such as the XQL, which consistently writes 情, 恔, 節 and 與 where XZMC has 青, 交, 即 and 与. Closely related is the addition or interchange of seemingly superfluous semantic classifiers. There could be any number of reasons for this-different conventions, mistakes, creative alteration, etc.-but it is important to remember that in most cases this is not random.

There are clear patterns of graphic variability throughout the current Chu MS corpus: qing -inner state‖ (情), for example, is almost always written as 情 or the apparently abbreviated form 青, but never from the semantic classifier 言-which in other graphs is completely interchangeable with 心-let alone from

馬, 人, 食, 水, 火, 日, 鳥, etc. 32
Of course, the fact of abbreviation implies an opposite process of elaboration. When two MSs differ between full and abbreviated forms, it could just as easily be the case that the hand behind the one 29 Unfortunately, because the Shanghai Museum corpus was pilfered from an undisclosed location, we cannot know exactly how far apart it was from the Guodian corpus in time and space. 30 William Boltz, The Origin and Early Development of the Chinese Writing System (New Haven: American Oriental Society, 1994), 129-77, esp. 169.

31 Park, -The Shanghai Museum Zhouyi Manuscript and the Warring States Writing System,‖ 104-110. 32 In kaishu goggles, the Chu scribe's cavalier employment of semantic classifiers would seem to mire the language in irresolvable ambiguity; however, in most cases context plays the role of classifier just as well as it does in the modern script, in which, for example, the words -law,‖ -method,‖ -France,‖ and -dharma‖ are written with the same graph (法) but rarely confused.

had made an editorial decision to fill out the abbreviated forms of the other rather than vice versa. 33 Personal editorial decision is probably also the main factor behind the occasional lexical variant and omission/addition, as well as such outlandish orthographies as FWLX's consistent addition of a 鼠 -rodent‖ signific to yi 一 -unity‖ ( A17). 34 Actual phonetic loaning is so rare as to be statistically insignificant-14 out of 2,669, or 0.5% of my entire sample-and when it does occur, it often involves an obvious etymological or allographic relationship that confounds neat classification.

All of this could be taken one step further. The duplicate manuscripts of the Shanghai Museum corpus show unequivocal evidence of unbroken lines of visual copying, as do those with elements of foreign scripts. Furthermore, because the ratio of variants between the XQL and XZMC is similar, it might seem reasonable to suppose that they were products of the same mode of textual transmission. And because, thus far, almost every text in multiple Warring States editions that we have discovered so far fits this pattern, one might claim that this mode-unbroken visual copying-was the norm. But I suspect that things were not so simple.

The Visuality of Orality

It is my hope that the discussion so far has not appeared unduly critical towards Martin Kern's 2002 and 2005 articles; it is actually my intent argue for a similar theses by reframing the issue at hand. Common sense, cultural comparison and the occasional contemporary testimony tell us that memory and orality must have played a role in Warring States textual transmission. 35 Unfortunately, searching for evidence of orality in written texts is ultimately like -climbing a tree to look for fish‖ 緣木求魚 (Mencius: 1A.7).

For reconstructing modes of textual transmission from manuscripts, Kern's distinction of -texts with a history‖ and occasional texts (e.g. legal documents, divination records, tomb inventories) is an 33 Richter, for example, argues that the scribe of TZJZa has filled out the abbreviations of TZJZb in this manner (see below). 34 Naturally, not all omissions/additions are conscious decisions. Sometimes the scribe appears to have accidentally copied the same line of text twice or skipped over a word or line (see Appendix). Naturally, some lexical variants and omissions could also be construed as the unconscious results of storage in fallible human memory.

35 Sima Qian's 司馬遷 commonly quoted account of the history of the Zuozhuan 左傳 only four centuries after the fact, for example:

七十子之徒口受其傳指。為有所刺譏襃諱挹損之文辭,不可以書見也。魯君子左丘明懼弟子人人異端。 各安其意。失其真。故因孔子史記。具論其語。成左氏春秋。
The students of the seventy disciples orally received the intent of the tradition. Because it contained text that poked fun, satirized, commended and euphemized, they could not be made seen in writing. The gentleman of Lu, Zuoqiu Ming, was afraid that all the disciples had different biases and that, each being content in his own idea, they would lose the truth of it. Laozi that we find the highest density of overall and phonetic variants-it is precisely this sort of text that is both easy to commit to memory, and easy to commit to memory incorrectly. 38 It is in this category of 36 Feng Shengjun, Guodian jian yu Shangbo jian duibi yanjiu, 251-2. 37 My translation the following passage relies on the readings of Li Tianhong 李天虹 and Feng Shengjun in Li, Guodian zhujian Xing zi ming chu yanjiu 郭店竹簡《性自命出》研究 (Wuhan: Hubei jiaoyu, 2003), 178-80 and Feng, Guodian jian yu Shangbo jian duibi yanjiu, 232-5. 38 A contemporary example might be the child reciting the Pledge of Allegiance: I pledge allegiance to the flag, text that we are most likely to isolate traces of memory and orality. However, this task first requires a significantly larger and more controlled sample-that is, a sample that is demonstrably free of contamination from diachronic and synchronic (inter-regional, intra-regional and personal) discrepancies between orthographic standards. 39 Due to the limitations of the current MS corpus, the primary focus of my comparative work has been prose ideological tracts. These texts tend to be repetitive and vernacular, with clear structural logic-features that we might expect to invite a different variety and rate of variation than misheard lyrics.

Of course, this is all purely hypothetical; so far, the differences between these texts are too few and too difficult to isolate from personal editorial decisions. 40 There is a third category of -texts with a history‖ that should not be neglected: almanacs, recipe books, incantations, do-it-yourself guides to healing, exorcism, sex and fortunetelling-the real texts of everyday life. 41 These texts are often laconic, technical and modular, with illustrations and information arrayed in lists, tables and diagrams for easy reference-features better suited for written transmission and storage. Oral transmission seems unlikely for hemerological tables and diagrams or a text like the Mawangdui Tianwen qixiang za zhan 天文氣象雜占, which is little more than a list of captioned illustrations: 42

Dangerous comets, Tianwen qixiang za zhan of the United States of America, and to the republic for witches dance, one nation underdog, invisible, with liberty and just us for all. 39 Another possible avenue for the exploration of the role of orality in textual transmission could be the occurrence of sandhi between compounds and binomes explored in Lai Guolong 來國龍, -Shuo ‗sha'/'san', jian tan guwenzi shidu zhong de tongjiazi wenti‖ 說"殺"•"散",兼談古文字釋讀中的通假字問題, Jianbo 4, 367-84. But much more urgent than such categorization is the reappraisal of how memory and orality potentially functioned. We will never know, to be sure, but it begs to ask: texts (words) surely could have existed outside the confines of the written document, but did they exist only as sounds, disassociated from the script? Or to rephrase the question, is it unreasonable to expect that someone who could commit the words of such an important text as the Shijing to memory might also know, or at least be willing and able to memorize, the graphs used to write them? The answer is obvious.

甬 成 蓋 坐 空 寧 平 彼 陷 建 贏 濡 亥 戌 酉 申 未 午 巳 辰 卯 寅 丑 子 十一月斗 子 亥 戌 酉 申 未 午 巳 辰 卯 寅 丑 十二月須 丑 子 亥 戌 酉 申 未 午 巳 辰 卯 寅 正月營 寅 丑 子 亥 戌 酉 申 未 午 巳 辰 卯 二月奎 卯 寅 丑 子 亥 戌 酉 申 未 午 巳 辰 三月胃 辰 卯 寅 丑 子 亥 戌 酉 申 未 午 巳 四月畢 巳 辰 卯 寅 丑 子 亥 戌 酉 申 未 午 五月東 午 巳 辰 卯 寅 丑 子 亥 戌 酉 申 未 六月柳 未 午 巳 辰 卯 寅 丑 子 亥 戌 酉 申 七月張 申 未 午 巳 辰 卯 寅 丑 子 亥 戌 酉 八月角 酉 申 未 午 巳 辰 卯 寅 丑 子 亥 戌 九月氐 戌 酉 申 未 午 巳 辰 卯 寅 丑 子 亥 十月心 -Chu‖ 除,
The Warring States undeniably had its share of illiterates for whom language (words) functioned only at the level sound; however, script was central to the identity, way of life and even the cosmology of the literate elite. The Xici zhuan 繋 辭傳 tells us that human civilization began with Fuxi's 伏羲 transcription of the patterns of nature into the trigrams, after which, the Shuo wen jie zi 說文解字 adds some centuries later, Cangjie 倉頡 creates the first true script -upon looking at the tracks of the birds and beasts and realizing that their distinct patterns could be discriminated‖ 見鳥獸蹄迒之跡,知分理可相別 異也. 44 By at least the Warring States period, the Chinese graph is considered the language of nature. This is why, in His solemn communications with mankind, Heaven does not dictate: He sends animals to vomit up scrolls to read and commits His directives to -skywriting‖ 天文. 45 Likewise, the living do not speak but write to their deceased ancestors, who respond with trigrams and crack-patterns on tortoise plastrons. 46 This entire worldview is no doubt why, considerably later, when from the very beginnings of 44 Zhouyi zhu 周易註 (Siku quanshu 四庫全書 (SKQS) electronic ed.), 8.2a-b; Shuowen jiezi zhu 說文解字注 (Shanghai: Shanghai guji, 2003), 15A.1a-b. 45 This was how the Zhou Dynasty was thought to have begun, for example:

遝至乎商王紂,天不序其德,祀用失時。兼夜中,十日雨土于薄,九鼎遷止,婦妖宵出,有鬼宵吟, 有女為男,天雨肉,棘生乎國道,王兄自縱也。赤鳥銜珪,降周之岐社,曰:「天命周文王伐殷有國 。」泰顛來賓,河出綠圖,地出乘黃。武王踐功,夢見三神曰:「予既沈漬殷紂于酒德矣,往攻之,予 必使汝大堪之。」武王乃攻狂夫,反商之周,天賜武王黃鳥之旗。
In the case of King Zhou of Shang, Heaven took umbrage at his virtue, and sacrifices were not held according to the seasons. For ten days and ten nights it rained earth at Bo, and the nine cauldrons moved about. Female goblins came out after dark and there were ghosts wailing at night. Women turned into men, flesh rained down from Heaven, and brambles grew on the national highways. And yet the king grew even more dissolute. A red bird holding in its beak a jade tablet alighted at the Qi earth altar of Zhou, [the tablet reading]: -Heaven orders King Wen of Zhou to attack the ruler of Yin.‖ Taidian came as a guest, the River revealed records and charts, and the land disgorged the -riding-yellow‖ [beast]. King Wu ascended the throne and dreamt of three spirits who said to him: -We have already drowned Zhou of Yin in the power of wine. Go and attack him, and we will assuredly cause you to win great victory over him.‖ King Wu thereupon attacked the deranged man and overturned the Shang for the Zhou, [whereupon] Heaven bestowed a yellow bird pennant to King Wu. (Mozi 墨子 [SKQS ed.], 5.10a; tr. modified from Burton Watson, Mo tzu: Basic Writings [New York: Columbia, 1963], 57-58) Here spirits do talk to King Wu in a dream, but later versions tend to focus solely on the procurement of physical texts from the mouths and stomachs of animals-the details of which are progressively elaborated-e.g.: Lü shi chunqiu 呂氏春秋 (SKQS ed.), 13.5a, Shuo yuan 說苑 as cited by Zhang Shoujie 張守節 in Shiji zhengyi 史記正義 (SKQS ed.), 23.1b, and Lunheng 論衡 (SKQS ed.), 22.14b. By early imperial times, this trope is so fixed in the popular imagination that it becomes the frequent subject of political hoaxes: e.g. Chen She's 陳涉 rebellion against the Qin begins with a piece of silk declaring his future kingship planted in the belly of a fish (Shiji 48.3a) and General Wencheng's 文成將軍 feeding a prophetic document to an ox after failing to ingratiate himself with Han Emperor Wu by invoking the spirit of Taiyi (Han shu 漢書 [Zhonghua shuju ed.], 458-59).

46 On the communication with ancestors through texts, see for example Lothar von Falkenhausen, -Issues in Western Zhou Studies: A Review Article,‖ Early China 18 (1993), 146-56. As the earliest systematic treatise on the topic, the -Gui ce liezhuan‖ 龜策列傳 (Shiji 68) describes divination by yarrow and tortoise shell as a communication with the -spirits‖ (shen 神). Both are -numinous‖ (ling 靈) materials conducive to possession: in the case of the former, spiritually possessed yarrow wands lead one to the hexagram appropriate to one's current situation; in the case of the latter, the spiritually possessed tortoise shell produces cracks, which are interpreted as images. The interpretation of the crack-as-image also appears in pre-Qin literature, e.g. Guoyu 國 語 (SKQS ed.), 7.2a-b: humble servant says that we must for now fear that there is a ‗mouth' that will sow discord in the populace and to which the hearts and minds of the nation will move.‖ The Duke said, -What ‗mouth' could there be?

獻公卜伐驪戎,史蘇占之,曰:「勝而不吉。」公曰:「何謂也?」對曰:「遇兆,挾以銜骨,齒牙 為猾,戎、夏交捽。交捽,是交勝也,臣故云,且懼有口,攜民,國移心焉。」公曰:「何口之有! 口在寡人,寡人弗受,誰敢興之?」對曰:「苟可以攜,其入也甘受,逞而不知
The ‗mouth' is here with me, the solitary one, and if I do not admit it, who would dare promote it?‖ [Su] responded, saying -If discord can be sown its entry will be gladly admitted, content and unknowing, and how can it be stopped?‖ time and space, the rarified, supernatural language of the immortals was revealed to Daoists, it was not as sounds, as with Indian dhāraṇī, but as graphs. 47 Even before the Shuo wen jie zi, a similar brand of graphic etymology captivated the imagination of the literate elite. In received literature this is portrayed as a common and effective rhetorical device. 48 Here Du Yu 杜預 glosses gu as -dementia caused by matters of excess‖ 惑以淫事 (Chunqiu Zuo zhuan zhushu 春秋左傳 注疏 [SKQS ed.], 9.21a). However, gu is usually a poison made by trapping a collection of nasty, poisonous creatures in a container until there is only one left. There is definitely a metaphorical connection between these two senses here. 49 In pre-Qin scripts 厶 is written as a circle. According to the Shuo wen jie zi, -八 is ‗to separate. It looks like separating

[two] things with their backs to each other' 別也。象分別相背之 (Shuowen jiezi zhu, 2A.1b). This invokes the imagery of 北, which it describes as -from two 人 with their backs to each other‖ 从二人相背 (Shuowen jiezi zhu, 8A.44a).

50 Zhou li zhu shu 周禮注疏 (SKQS ed.), 10.35a. The -six arts‖ are: rites, music, archery, chariot driving, writing and math. Curiously, oration is not one of the six arts.

Talisman, Shangqing huoluo qiyuan fu 上 清豁落七元符 (CT392)

[試]史學童以十五篇,能諷書五千字以上,乃得為史。又以八體試之。 The clerical students shall be tested on the Fifteen Chapters , and only when they can read and write more than five thousand graphs are they eligible to become clerks. Furthermore, they shall be tested on the eight scripts. (s476) 51 All of this tells us that the educated Warring States man probably had writing on the mind. And if so, this leads me to believe that when texts were stored in memory and transmitted in speech, these texts may have been every bit as -visual‖ or visualized as their written counterparts.

One possible difficulty this supposition faces is the work of scholars like Matsumaru Michio 松丸 道雄, Li Feng 李峰, Matthias Richter, and Li Songru 李松儒 in identifying traces of illiteracy in excavated pre-Qin texts. Matsumaru and Li Feng both examine duplicate Western Zhou bronze inscriptions in which one inscription is textually and calligraphically inferior to another as evidence of local copying by illiterate or semi-literate craftsmen. 52 Richter and Li Songru, on the other hand, apply a similar methodology to Chu MSs. 53 Richter, for example, argues that ○ 1 the scribe responsible for TZJZb was less experienced than that of TZJZa because his calligraphy is not as neat, he tends to add decorative brushstrokes to graphs, he often fails to produce -correct graphs‖ 正字, and he uses less reader's marks; and that ○ 2 because TZJZa has fewer -mistakes‖ and a more controlled calligraphy but at the same time shares the more peculiar forms of TZJZb, it must represent a fair copy of TZJZb, done by a more competent individual due to dissatisfaction with the latter.

Such analysis must necessarily rely on a number of problematic assumptions. First, quality of penmanship is subjective and cannot be equated with literacy-otherwise, we might as well dismiss Hanfeizi's philosophical credentials on account of his stuttering. Second, we do not know who was copying what: in the conceivable situation where students or cheap labor could have been employed to mechanically copy large amounts of texts, the manuscript itself could be a misleading indicator of the literacy of both the author and the end-user. 54 51 Zhangjiashan ersiqi hao Han mu zhujian zhengli xiaozu 張家山二四七號漢墓竹簡整理小組, ed., Zhangjiashan Han mu zhujian (ersiqi hao mu) 張家山漢墓竹簡(二四七號墓)(Beijing: Wenwu, 2001). The -Fifteen Chapters‖ are usually identified with the Shi Zhou pian 史籀篇, which the Han shu -Yi wen zhi‖ 藝文志 records as being in 15 chapters (Han shu, 1719).

52 Matsumaru Michio, -Sei-shū seidōki seisaku no haikei‖ 西周青銅器製作の背景, Tōkyō daigaku tōyō bunka kenkyūjo kiyō 東京大學東洋文化研究所紀要 72 (1977), 1-128; Li Feng, -Ancient Reproductions and Calligraphic Variations: Studies of Western Zhou Bronzes with ‗Identical' Inscriptions,‖ Early China 22 (1997), 1-41. 53 Richter, -Shi tan shuxiezhe de shizi nengli ji qi dui liuchuan wenben de yingxiang‖ and -Faithful Transmission or Creative Change: Tracing Modes of Manuscript Production from the Material Evidence;‖ Li Songru, -Zheng zi Jia sang jia yi ben ziji yanjiu‖ and -Fan wu liu xing jia yi ben ziji yanjiu.‖ 54 While it is not my intent to dwell on -what ifs,‖ it should also be noted that any -poorly written‖ MS may well be writing practice, in which case it might be a similarly misleading indicator of literacy ultimately attained by the student, let alone of a text's author or broader audience. For a study of clear cases of Han writing practice on wood, see Xing Yitian 邢義田, -Handai biansai lizu de junzhong jiaoyu‖ 漢代邊塞吏卒的軍中教育, in Jianbo yanjiu 簡帛研究, vol. 2, ed. Li Xueqin (Beijing: Falü, 1996), 273-78.

Third, and most importantly, while I agree with Richter's insistence of standards at the level of scribal lineage, I do not share his confidence that we possess sufficient evidence to determine what those standards were. For example, Richter (2009: 904) gives the graph 臨 (below) as one of the examples where TZJZa has corrected the wrong orthography of TZJZb. It is true that TZJZb's orthography is currently unprecedented, but at the same time, pre-Qin scripts frequently duplicate single components and vice versa without affecting the meaning of a graph. 55 The Baoshan materials feature a different and similarly unprecedented abbreviation (BS185) alongside the full form of TZJZa (BS33 and BS53) in the same place name-Linyang 臨陽. So, in this situation how do we judge which is -correct,‖ which is a -mistake,‖ and which is simply an abbreviation? 56 Variant forms of 臨

TZJZa TZJZb BS33 BS53 BS79 BS185
From all of this, the concession that the educated Warring States man would have been capable of memorizing and conveying the graphs of a given text viva voce seems simple. However, this simple concession turns the entire written/oral debate on its head. On the one hand, because this mode of transmission would be functionally equivalent to copying, one could no longer argue that two texts are necessarily connected through an unbroken line of copying because they are near identical. Rather, stylistic variation, errors, abbreviation patterns, and non-linguistic information would become the only effective standards of visual copying-unfortunately, all idiosyncrasies easily effaced through the repetition of that very process. On the other hand, because of its functional equivalency with copying, this -visualized‖ orality would for its part leave behind no distinct trace in written texts.

Let us return to the XQL and XZMC. Both feature typical Chu orthography, allowing us to eliminate the influences of translation across scripts. Recovered from different tombs, they are likely several steps removed from each other in a line of transmission. While still essentially identical, they do feature more of each category of variant-facts that could be attributed to the compounding of variation through the repeated processes of largely faithful copying and/or -visualized‖ oral transmission.

Indicators of unbroken copying are few and equivocal: both texts end with a punctuation hook and share 55 See He Linyi, Zhanguo wenzi tonglun (ding bu), 213-15.

56 Given these sorts of problems and the fact that the illegibly bizarre graphs are faithfully reproduced in both manuscripts, it seems just as easy to argue that TZJZb is instead an abbreviated copy of TZJZa.

the relatively rare orthography 寈 (XQL27/XZMC62) for 靜 -still.‖57 Evidence is similarly bleak for memory and orality, where the only promising lead is phonetic variation-an exceedingly rare phenomenon currently impossible to untangle from complex issues of script and personal choice.

Therefore, that the XQL and XZMC are connected by copying, oral transmission, or some combination of the two is all equally likely, and all equally indemonstrable.

Summary

In this paper I have submitted seven sets of duplicate Warring States texts to graph-by-graph, stroke-by-stroke comparison. This comparison shows that the texts recovered from the same tombpresumably close in time and space-exhibit remarkable fidelity in terms of overall variance (av. 6.7%) and the reproduction of visual idiosyncrasies, the latter of which is unmistakable evidence of visual copying. The texts recovered from different tombs-presumably further removed-exhibit a higher rate of overall variance (av. 31%); however, in both cases the majority of differences boil down to the mundane abbreviation and elaboration of graphic forms, the simple products of different orthographic conventions and personal choice. When conscious, the rare lexical variant and omission/addition is probably also attributable to editorial decision. At the bottom of the list, phonetic variants are as statistically insignificant (av. 0.5%) as they are difficult to accredit decisively to personal editorial decision, differing orthographic conventions, or the effects of memory and orality-especially when such variants frequently involve ambiguous etymological and allographic relationships, and when we know next to nothing about the standards of different intra-regional orthographies.

In as much as these fourteen texts are representative of Warring States practices, they either demand that visual copying was the norm or they call for a new theory of orality: that the educated Warring States man was capable of remembering and communicating the sonic, semantic and graphic facets of a text's language (words). When resulting in a written text preserved for us to examine, this literate or -visualized‖ theory of orality would function similarly to copying-reproducing the graphs of a text-and would thus blur the distinction between oral and written transmission in all but clear and proximate cases of copying, relegating arguments for or against one mode of transmission in other instances to the realm of pure speculation.

Appendix: Textual Variants between Editions of Texts in Chu Script

My intent is to illustrate both how and how much different Chu editions of the same text vary. When using this appendix, I urge the reader to keep the following caveats in mind. First, the appendix only compares texts where they overlap and are clear enough to make out, not where they would overlap if not for some defect of the physical bookmat. Second, the appendix deals with orthographic variation only in as it informs the issue of textual variation. This is to say that my goal is not to explore how the graphic forms of a script vary in a time, place, or a single person"s handwriting, but how texts vary between editions. Lastly, I have undoubtedly made a number of mistakes, omissions and arbitrary decisions in the process of collating this data from such a large sample, but the overall results speak for themselves. I welcome emendations and suggestions.

In terms of sources, I rely heavily on the analysis of Feng Shengjun 馮盛君 and Li Songru 李松儒 on three texts and will frequently refer the reader to their works with the following abbreviations:

 FSJ ( 2007

  these findings in a paper entitled -The Son of Heaven Builds in the Realm: A Material and Textual Study‖ delivered for the University of Chicago's China Before PrintWorkshop (Dec. 9, 2007) and submitted for part of my M.A. thesis, a portion of which can be found in Mo Zihan 墨子涵 (Daniel Morgan), -Tianzi jian zhou zhong suo jian fanyinwen, weishizi ji ji dian yiduan‖ 《天子建州》中所見反印文、未釋字及幾點臆斷, BSM <http://www.bsm.org.cn/show_article.php?id=764>, postedDec. 25, 2007. 9 For all subsequent analysis, please consult the appendix.10 These examples are from Li Songru 李松儒, -Zheng zi Jia sang jia yi ben ziji yanjiu‖ 《鄭子家喪》甲乙本字跡研究, BSM < http://www.bsm.org.cn/show_article.php?id=1062>, posted Jun. 2, 2009. Li argues that ZZJSa is a fair copy of ZZJSb.both feature an irregularly thick inkblot of a line in the exact same place-A6 /B5 . Furthermore, not only is the distribution of reader's marks identical, they undergo the same general evolution in shape from line to hook over the course of both manuscripts: none of this disproves the influences of orality, scribal creativity or regional languages on Warring States textual transmission. Rather, it merely proves what most had assumed in the first place: that exact copying was indeed one mode of textual transmission practiced at the time. Now I would like to return to Martin Kern's argument for orality in his -Methodological Reflections on the Analysis of Textual Variants and the Modes of Manuscript Production in Early China‖ (2002) and -The Odes in Excavated Manuscripts‖ (2005). The goal of Kern's 2002 article, as I understand it, is to problematize William Boltz' application of the neat stemma codicum model of text criticism to what is a rather linguistically erratic corpus of manuscripts. For his sample, Kern (2005) compares the Mao recension of the Shijing against quotations found in ○ 1 the Ziyi 緇衣 of the Guodian and Shanghai Museum corpora and the received Liji 禮記, ○ 2 the Shanghai Museum Kongzi Shi lun 孔子詩論, and ○ 3 the Guodian and Mawangdui Wu xing 五行. From this Kern (2002: 161-2) produces some weighty statistics: textual variants occur in about one of every three graphs, and only 24 out of 171 (i.e. 14%)

  For example, certain words are consistently written with orthographies featuring different semantic classifiers and/or phonophorics than their Qin counterparts: Chu -to pass‖ is always written from (cong 从) a 化 (*hŋʷrajs) phonophoric, c.f. Qin from 咼 (*khʷaj); 21 and Chu -scheme‖ is consistently written from a 母 (*məʔ) phonophoric and 心 semantic, c.f. Qin from a 某 (*mjəʔ) phonophoric and 言 semantic. 22 In both cases the Qin script has conserved the structure of the Western 17 Chu examples are from Guodian Laozi A, slip 11 and Guodian Yucong san 語叢三, slip 59; Qin are examples from Shuihudi 20.196, in Shuihudi Qin mu zhujian 睡虎地秦墓竹簡. Beijing: Wenwu, 1977. 18 Qiu Xigui, Chinese Writing, 88-9, 104-7. 19 See Imre Galambos, Orthography of early Chinese writing: evidence from newly excavated manuscripts. ( Budapest: Department of East Asian Studies , Eötvös Loránd University , 2006) and Park, -The Shanghai Museum Zhouyi Manuscript and the Warring States Writing System.‖ Unfortunately, at this date Fan Limei's dissertation at National Taiwan University does not yet appear to have been published. I know about her work I learned through her conference paper -Shijing wenben ‗ban ben' yiwen zuqun de kaocha-jian shi jianbo Wu xing ‗yanse rongmao wen fen ye'‖ 《詩經》文本-頒賁‖異文組群的考察-兼釋簡 帛《五行》-顏色容貌溫賁也‖delivered at the 2009 International Symposium of Excavated Manuscripts and the Interpretation of the Book of Odes

  Galambos, Orthography of early Chinese writing, 105-114; Li Mengtao 李孟濤 (Matthias Richter), -Shi tan shuxiezhe de shizi nengli ji qi dui liuchuan wenben de yingxiang‖ 試探書寫者的識字能力及其對流傳文本的影響, in Jianbo 簡帛 4 (Shanghai: Shanghai guji, 2009), 395-402; -Faithful Transmission or Creative Change: Tracing Modes of Manuscript Production from the Material Evidence,‖ Asiatische Studien/ Études Asiatiques LXXIII.4 (2009), 889-908. 27 Park, -The Shanghai Museum Zhouyi Manuscript and the Warring States Writing System,‖ 321-4. appears to have been the case with the penetration of Ruist ideological tracts into the Chu capital region. Feng Shengjun 馮盛君 has convincingly isolated elements of Northern, especially Qi, script at different stages of -domestication‖ 馴化 in several Chu manuscripts-the Guodian Wu xing, Tang Yu zhi dao 唐虞 之道, Zhong xin zhi dao 忠心之道, Yu cong 語叢 I-III, and the Shanghai Zi yi-reminding us to consider also the possibility of orthographic contamination in discussions of textual transmission and variation: 28 this picture is even more damning for the stemma codicum model than the case which Kern (2000) presents. At the same time, however, it also undermines the simple dichotomywritten/oral-that is the cornerstone of a positive argument for the very existence of orality and memory as modes of textual transmission in the Warring States. The Shijing quotations examined in Kern (2005), for example, are in every single case compared across scripts: the Chu script of the Guodian Zi yi against the half-Chu, half-Qi script of the Shanghai Zi yi against the modern script of the Mao recension, and the half-Chu, half-Qi script of the Guodian Wu xing against the Clerical Script of the Mawangdui Wu xing

  40 Lexical variants, for example, and the different ordering and insertion of passages between the XQL and XZMC. See Li Tianhong, Guodian zhujian Xing zi ming chu yanjiu, 6-13; Feng Shengjun, Guodian jian yu Shangbo jian duibi yanjiu, 200-204. 41 For an overview of this genre of texts-shushu 數術-see Donald Harper, -Warring States, Qin, and Han Manuscripts Related to Natural Philosophy and the Occult,‖ in New Sources of Early Chinese History, 223-252 and Liu Lexian 劉樂賢, Jian bo shushu wenxian tanlun 簡帛數術文獻探論 (Wuhan: Hubei jiaoyu, 2002). Because of significant overlaps in the growing number of excavated rishu 日書, there is excellent potential here to do the same sort of comparative analysis. 42 For a study of Tianwen qixiang za zhan, see Liu Lexian, Mawangdui tianwen shu kaoshi 馬王堆天文書考釋. (Guangzhou: Zhongshan daxue, 2003), 100-159; Donald Harper, -Communication by Design: Two Silk Manuscripts of Diagrams (tu) from Mawangdui Tomb Three,‖ in Graphics and Text in the Production of Technical Knowledge in China: The Warp and the Weft, ed. Francesca Bray, et al. (Leiden: Brill, 2007), 169-189. The following image is from Chen Songchang 陳松 長 and Fu Juyou 傅舉有, Mawangdui Hanmu wenwu 馬王堆漢墓文物 (Changsha: Hunan, 1992), p. 160. Daniel Morgan -A Positive Case for the Visuality of Text in Warring States Manuscript Culture‖ (24 April, 2010) 14

  Shuihudi Rishu 日書 (s1-13 upper register) Let us not forget that even Confucius, of all people, is on record as constantly reading from his favorite divination manual: 孔子晚而喜《易》、《序》、《彖》、《繫》、《象》、《說卦》、《文言》。讀 《易》韋編三絶。曰-假我數年,若是我扵《易》則彬彬矣‖。 In his later years, Confucius grew fond of the Changes and [its commentaries] -The Sequence [of the Hexagrams],‖ -Tuan,‖ -The Appended Statements,‖ -The Images,‖ -The Explanation of the Hexagrams‖ and -The Patterned Words.‖ He read the Changes [so often that] the binding broke three times. [Once] he said -Give me a couple more years such that I may be conversantly versed is the Changes!‖ 43

43

  Shiji 47.29a-b. Zhoujiatai 周家台 s156-81 Daniel Morgan -A Positive Case for the Visuality of Text in Warring States Manuscript Culture‖ (24 April, 2010) 15

  For example: 楚子曰:「夫文,止戈為武。」 The viscount of Chu said, -Now, in terms of the written graph, -stopping‖ 止 -dagger-axes‖ 戈 is what makes -militarism‖ 武. (Zuo zhuan 左傳, Xi 12) 天反時為災,地反物為妖,民反德為亂,亂則妖災生。故文反正為乏。 In Heaven, the inversion of the seasons makes natural disasters; on earth, the inversion (: perversion) of creatures makes goblins; amongst the populace, the inversion of virtue makes disorder-and with disorder is born natural disasters and goblins. Thus, in terms of the written graph, the inversion of -correctness‖ 正 makes -destitution‖ 乏. (Zuo zhuan, Xuan 15) 趙孟曰「何謂蠱?」對曰「淫溺惑亂之所生也。於文。皿蟲為蠱。」 Zhaomeng asked, -What is meant by gu 蠱?‖ [Doctor He] responded, -It is born from one's wanton abandon in delusion and bedlam. In terms of the written graph, -bugs‖ 蟲 in a -bowl‖ 皿 makes gu 蠱.‖ (Zuo zhuan, Zhao 1) 48 古者蒼頡之作書也,自環謂之「厶」,背厶謂之「公」。公私之相背也,乃蒼頡固以知 之矣。 In antiquity when Cangjie invented writing, circling (: looking out only for) oneself was called si 厶 and turning one's back to si 厶 (: selfish self-circlers) was called gong 公 -public spirit‖. (Hanfeizi 韓非子, -Wu du‖ 五蠹) 49The Zhou li 周禮 tells us that -writing‖ 書 was one of the -six arts‖ 六藝 comprising the Zhou aristocrat's basic education.50 One can imagine that at one time, this ability would have probably been a distinction central to the aristocrat's identity. However, by at least the time of the Zhangjiashan 張家山 Er nian lü ling 二年律令 (interred ca. 186 B.C.) the state demanded an impressive degree of literacy from even the lowliest of clerks: 47 For Daoist talismans, see Catherine Despeux, -Talismans and Sacred Diagrams,‖ in Livia Kohn, ed., Daoism Handbook (Leiden: Brill, 2000), 498-540. For dhāraṇī, see Paul Copp, -Voice, Dust, Shadow, Stone: The Makings of Spells in Medieval Chinese Buddhism,‖ Ph.D. diss., Princeton.

  phonophoric 龍 (*b-rjoŋ). Orthography same as 郭 店《老子》 parallels with received graph 寵 (*hrjoŋʔ). MSA phonophoric 龔 (*kjoŋ), though both essentially from 龍 phonophoric, thus I count as graphic variantDecorative dot difference, both attested. See LSR (A). A5/B5 命. Both MSs feature both forms and coincide in 2/3 cases. LSR (A) considers this evidence that MSA was copied from MSB. A5/B5 丁. LSR (A) shows that these are variations on the same orthography, e.gforms are rare (c.f. 《凡物流型》 甲) but clear mutations of the common orthography. It is easy to see how one might have been derived from the other, and this is strong Editors transcribe as 怲, however Chu 丙 is usually written , e.g. BS183 . Instead, MSA appears to be from 夻 and either 穴 or 丌. MSB appears to be from 侯 (e.g. 郭店《老子》甲 18 ) and 厶. Both forms are unprecedented, but clear mutations of the common orthography. It is easy to see how one might have been derived from the other, and this is strong evidence of copying between MSs. A4/B4 我. MSA features stylized vertical orthography of 我 typical of the graph 義. See LSR (A) A5/B5 執? Editors transcribe as 執, typically written , e.g. 上博 《周易》26 . This shape warrants further investigation. Both MSs differ in their rendering of top and bottom elements. A4/B4 愄• 思. Context demands 畏 "fear"-"鄭子家顚覆天下之禮, 弗 ~鬼神之不祥". MSA replaces 示 or 止 element of common orthography (e.g. 郭店《老子》 乙 5 , 上博《用曰》15 ) with 心. MSB reads 思, an apparent mistake. A5/B5 思• 囟. MSB gives 囟 throughout for "hope that" or "compel to", as does MSA except in this, its final instance. A Positive Case for the Visuality of Text in Warring States Manuscript Culture" (24 April 2010) 23 abbreviation merges top stroke of 壬 with bottom of 口. 軍. MSA inward stroke of top component curves inward, contrary to common MS orthography, e.g. 《語叢》三 2 . A18/B13 若. MSB appears to posses at least one extra stroke. A22/B15 勿. Both forms are well attested. First hand of MSA favors threestroke orthography of MSB, while second hand favors four-stroke. See LSR (B). Note that title of MSA features latter, suggesting it was added by second hand. A17/22 地.Both MSs feature bizarre variant of 地 (c.f. 郭店《老子》 甲 19 ), however MSB combines the three left hand components. This orthographic oddity is evidence of copying. Graphic variants A4/B4 既. Throughout the rest of the text, MSA and MSB 既 are structurally congruent, but executed quite differently, e.g.. MSA omits the bottom of the full form of 先, leaving 之.Context favors 先 (both "~智", "prescience"). LSR (B) suggests that this is a mistake, but one cannot ignore the possibility that it was a conscious emendation or abbreviation. Elsewhere MSA also features the full form, e.g.: is from 甘, while MSB is from 日. Furthermore, Both MSs are consistently from 谷 instead of 大, 去 or 矢. This orthography is not unattested (e.g. 《民之父母》 2 ), however, it is exceedingly rare. This contiguity is further evidence of copying. A18/B16 寡. MSA omits the four dots of the typical orthography, e.g. A Positive Case for the Visuality of Text in Warring States Manuscript Culture" (24 April 2010) 24 Shijing quotes from 郭店《緇衣》 & 上博《緇衣》 from 爭, GD from 心. (2007: 123-127) shows that these two graphs are both actually from 詹 phonophoric. GD17 Hong Kong strip from SB corpus here reads 容. Both are from 公 phonophoric and are interchangeable in Chu MSs. . 威 (*ʔjuj) "awe" and 畏 (*ʔjujs) "fear" are allographs. . 是 "truth" (*djeʔ) and 氏 "surname clan" (*tsjeŋ) are used interchangeably in Chu script as if they are phonologically viable loans in the Chu language.Daniel Morgan "A Positive Case for the Visuality of Text in Warring States Manuscript Culture" (24 April 2010幾 (*krjijʔ) vs. GD from 咠 (*tsjip). These do not appear to be phonologically viable loans, thus are likely lexical variants. . LZA uses 尃 (*phja) to stand for "assist" 㭪 (*bjaʔ). 是以" LZA inserts conjunction. LZC13: "聖人" LZC inserts topic.

  Comparison of Shijing quotations in Guodian and Shanghai Zi yi MSs 14

	Overlapping graphs	161
	Variants	44 27.3%
	Graphic	34 21.1%
	Phonetic	3	1.9%
	Lexical	6	3.7%
	Unknown	1	0.6%
	Omissions/additions	3

  After clericalizing (liding 隸定) these graphs into 性 and 生, respectively, these distinctions are easily lost, and the fact that 性 and 生 are frequent loans in the Standard Script (kaishu 楷書) can complicate our reading

	of a Chu text. 25
	Furthermore, because Chinese scripts are constantly redistributing lexical loads through graphic
	differentiation and consolidation, comparison across scripts and eras can be misleading. In FWLX (a9-10),
	for example, we have the following line:
	日之有耳,將何聽?The sun has ‗ears' but what does it hear? (*-ənʔ)
	月之有軍,將何征?The Moon an ‗army' but what does it conquer? (*-əʔ)

Overlapping graphs 61 Variants 26 42.6%

  It is this distinction, for example, that Feng Shengjun utilizes to isolate samples of pure, indigenous Chu script for comparison with contaminated script. 36 I suggest delineating within this rubric subcategories of texts based on their hypothetical conduciveness to oral vs. visual transmission.It is probably not a coincidence that it is in the singsongy and opaque text of the XQL/XZMC, Shijing and

	In my comparative work, I found most of the true phonetic variants clustered around only a few
	lines of the XQL and XZMC-all laconic and rhythmic aphorisms about judging personal character with
	a rather vague vocabulary, stilted syntax and a number of enigmatic binomes: 37
	XQL35-37	XZMC42-45
	凡甬心之䟁者思為甚	凡甬心之喿者思為甚
	甬智之疾者惓為甚	甬智之疾者患為甚
	甬情之至者哀樂為甚	甬青之至□□樂為甚
	甬身之弁者悅為甚	甬身之弁者兌為甚
	甬力之削者利為甚	甬力之削者利為甚
	目之好色	目之好色
	耳之樂聖	耳之樂聖
	淘之 也	之 也
	…	…
	又其為人之 = 如也 不又夫柬 = 之心則采	又其為人之 = 如也 不又夫柬 = 之心則悉
	…	…
		Stylistic	7 11.5%
		Graphic	9 14.8%
		Phonetic	1	1.6%
		Lexical	9 14.8%
		Omissions/additions	20

Thus, based on the scribal records of Confucius he assayed their sayings and made Mr. Zuo's Spring and Autumn Annals. (Shiji 史記 [Zhonghua shuju 中華書局 ed.], 509-10) excellent start. Now, contemplation comes first for he who employs his mind restlessly; worry comes first for he who employs his knowledge rashly; sorrow and joy come first for he who employs his emotional state to extremes; pleasure comes first for he who employs his body impetuously; and advantage comes first for he who employs his strength exhaustively. The eye's fondness for color and the ear's fondness for sound are due to built-up pneumas. … For he who is as though reservedly restrained as a personwithout a guileless heart, he becomes degenerate. … The one overlapping chapter of the A and C versions of the Guodian Laozi (ch. 64; LZa10-13, LZb11-15), furthermore, exhibits a total rate of variation far above that that of the duplicate Shanghai MSs and the XQL/XZMC: Comparison of Guodian Laozi A & C

  ,胡可壅也?」 Duke Xian of [Jin] performed crack-making on attacking the Lirong, and Scribe Su prognosticated [the crack], saying -Victorious but inauspicious.‖ The Duke asked, -What are you saying?‖ [Su] responded, saying -We have encountered a crack which is enveloped like a bone held in the mouth, infringed upon [on all sides] by teeth-the struggle between Rong and Xia. Struggle means the exchange of victories, thus your

  ): Feng Shengjun, Guodian jian yu Shangbo jian duibi yanjiu 郭店簡與上博簡對比研究. Beijing: Xianzhuang shuju, 2007.  LSR (A): Li Songru, "Fan wu liu xing jia yi ben ziji yanjiu" 《凡物流形》甲乙本字跡研究, BSM < http://www.bsm.org.cn/show_article.php?id=1066>, posted 6/5/2009.  LSR (B): Li Songru, "Zheng zi Jia sang jia yi ben ziji yanjiu" 《鄭子家喪》甲乙本字跡研究, BSM < http://www.bsm.org.cn/show_article.php?id=1062>, posted 6/2/2009.

	Overlapping graphs Overlapping graphs	344 216
	Variants Variants		25 29 13.4% 7.3%
		Stylistic Stylistic	16 17	4.7% 7.9%
		Graphic Graphic	8 12	2.3% 5.6%
		Phonetic Phonetic	1 0	0.3% 0%
		Lexical Lexical	0 0	0% 0%
	Omissions/additions Omissions/additions	0 1
	Stylistic variants 都. MSB prefers decoration. Stylistic variants 家. MSB 豕-component		坐. MSB identical but executed poorly.	余. MSB features 口 semantic.
	A1/B1 A3/B2 A1/ B1	者. Both MSs alternate between 口 and 甘 elements. consistently "simplified" as , the top stroke merging with into twice near the beginning (B1.2, B2.19). MSA begins with the more elaborate , an unprecedented variation on the other common orthographies , or , etc. The bottom of is simplified to from A5 to the end. Hand A appears to have	A6/B5 A7/B6	侯.MSB inverts graph in this one instance. 不. Near the beginning, MSB consistently uses the decorative orthography of MSA but begins to	A8/B8 A11/B10	臨. MSA orthography is consistent with most other MSs. MSB abbreviates by omitting one of the bottom elements. This is unattested, however, Baoshan does offer an even more radical abbreviation in several places:
		either begun to emulate Hand B,		abbreviate at B9. Total of 12
		or simply lapsed into a common	A10/B9	overlapping discrepancies.	A11/B10
	A7/B6	青. MSA variant unattested. Total abbreviated form.		為.	BS53
		of 6 overlapping discrepancies.
	A4/B3				A12/B11		A11/B11	BS79
		得.			Graphic variants	Phonetic Variants
	A5/B4
					A3/B2		A5/B5
	《君人者何必安哉》甲、乙 A5/B4
	Overlapping graphs	234		A5/B4
	Variants		7	3%
		Stylistic	5	2.1%
	A5/B4	Graphic	2	0.9%
		Phonetic Lexical	0 0 A9	0% 0% /B8	A5/B4
	Omissions/additions	0
	Stylistic variants	A10 /B9		必. MSB somewhat erratic.	誰.MSB adds 口.
		為. MSB prefers abbreviation,
		omitting =.
					A8/B8		A7/B7
	A6/B6
					A9/B9
	A7/B6
		Note MSB lapses into orthography	Graphic variants
		of MSA:			之• 先. This abbreviation occurs
						also in 《凡物流型》甲.
	A6/B6
			MSA6	A5/B5

* All percentages are rounded to the nearest tenth. Daniel Morgan "A Positive Case for the Visuality of Text in Warring States Manuscript Culture" (24 April 2010) 21 《天子建州》甲、乙 事. After first instance, both MSs follow MSB orthography. This is probably evidence of MSA having been copied from MSB. E.g.: 兄. MSB appears to have exchanged 人 for 壬. 直• 德. MSA abbreviates by omitting 心 semantic in first two cases, but provides full form later down: A8 A8/B7 聞. MSB has 田 for 日, an unattested variant. 直• 得. MSB uses 直 (*drjək) "straight" to represent the word * tək "obtain" (得). Of course, this is probably not a pure phonetic loan considering 直 could well be standing for 德 (*tək), which is etymologically related to 得.

《鄭子家桑》甲、乙

For additional evidence and analysis, see Li Songru, -Fan wu liu xing jia yi ben ziji yanjiu‖ 《凡物流形》甲乙本字跡研 究, BSM < http://www.bsm.org.cn/show_article.php?id=1066>, postedJun. 5, 2009.

Kern,‖ 172.

Kern is primarily reacting against the example set by William Boltz, -Manuscripts with Transmitted Counterparts,‖ in New Sources of Early Chinese History: An Introduction to the Reading of Inscriptions and Manuscripts, ed. Edward Shaughnessy (Berkeley: Society for the study of Early China and the Institute of East Asian Studies, 1997), 253-284.

Note that I have omitted the category of stylistic variant from this analysis because the history between these texts would make it time-consuming and irrelevant.

See Li Xueqin, -Zhanguo timing gaishu (shang)‖ 戰國題銘概述(上), Wenwu 文物 1959.7, 50-54; Li Xueqin, -Zhanguo timing gaishu (zhong)‖, Wenwu 1959.8, 60-63; Li Xueqin, -Zhanguo timing gaishu (xia)‖, Wenwu 1959.9, 58-61; He Linyi, Zhanguo wenzi tonglun (ding bu) 戰國文字通論(訂補)(Nanjing: Jiangsu jiaoyu, 2003); Qiu Xigui, Chinese Writing 文 字學概要, tr. Gilbert L. Mattos and Jerry Norman (Berkeley: University of California, 2000).

On the fluidity of semantic classifiers and phonophorics in Warring States script see especially He Linyi, Zhanguo wenzi tonglun (ding bu), 216-220, 229-241 and Haeree Park, -The Shanghai Museum Zhouyi Manuscript and the Warring States Writing System,‖ (Ph.D. diss., University of Washington, 2009), 221-317.

Other than concluding with a hook, which is quite common, the punctuation of both MSs does not exhibit compelling similarity. -Still‖ 靜 is from 爭 in all other occurrences in the Chu MS corpus except once in the Shanghai Museum Xiang bang zhi dao 相邦之道 (s1) where it is also written 寈.

《性情論》、《性自命出》


Popular Unity in

 Chile (1970Chile ( -1973) )Olivier COMPAGNON Institut des Hautes Etudes de l'Amérique latine (Université Paris 3 -Sorbonne Nouvelle) CREDAL -UMR 7169

Nearly eleven years after the Cuban Revolution, the socialist Salvador Allende was democratically elected as President of the Republic of Chile, heading a left-wing coalition called Popular Unity. His economic and social programme aimed to decrease Chile's dependence on other nations and the social inequality which was dominant in the country. Weakened by internal and external strife, by dissension within its own party ranks and also by popular demonstrations in the streets, the Popular Unity government faced a particularly adverse economic situation and had only carried out a part of its programme three years after its election. The government was ousted by a coup d'état on the 11 th of September 1973 which brought Pinochet to power and neo-liberalism to Chile.

The overthrow in June 1954 in Guatemala of the reform government of the socialist Arbenz was commandeered by the United States who felt its economic interests were threatened by the agricultural reform programme. It opened a new era in Latin-American leftwing history. All attempts to reform social conditions by legal means were apparently destined to failure and the only hope of introducing socialism was by revolutionary means. In January 1959 the Cuban Revolution seemed to many activists to confirm this hypothesis, all the more so since, shortly afterwards, the United States embarked on a "preventive coup-d'état" policy which aimed to crush any further left-wing victories in their Latin-American backyard. On the 4 th of September 1970 the electoral victory of Allende in Chili (with 36.3% of the votes, against 34.9% for the conservative right-wing candidate Alessandri and 27.8% for the Christian-Democrat Tomic) came therefore as a surprise. It illustrated the strategy of non-violent transition toward socialism as defined by the 20 th Congress of the Communist Party of the Soviet Union in 1956. In his victory speech the new President insisted on the fact that his victory was both democratic and revolutionary and was going to benefit the Chilean people: "I won't be just another president. I will be the first president of the first really democratic, popular, national and revolutionary government in the history of Chile".

After two months of political negotiation testifying to the anxiety which the Popular Unity inspired within Chile as well as abroad, Allende assumed his functions on the 4 th of November 1970. He announced the creation of a coalition government comprising four socialists, three communists, three radicals, two social-democrats, two independent members and one member of the Christian left. For the first time in Chile's history four ministers were former workers: the communist José Oyarce, Minister of Work and Social Planning, Américo Zarilla, Minister of Finance, Pascual Barraga, Minister of Public Works and Transport and Carlos Cortés, Minister of Housing and Urbanism. In his first public address, Allende aimed to reassure the industrial and financial sector as well as the country's economic partners and he expressed his commitment to using only legal measures in his bid to transform Chilean society even claiming that his reforms were a continuation of those of his predecessor, the Christian Democrat Eduardo Frei, who had, he argued, only gone part of the way. Popular Unity had presented its electoral platform in December 1969 and its most significant the social and economic measures included the continuation and acceleration of agricultural reform, the complete nationalisation of the copper-mining industry and of the banks and the strategic production sector, increased wages and broader social security coverage. These were to be the key features of "Chile's road to socialism" as presented by the new president in his first speech to Congress in May 1971.

However, when Allende came to power the economic and social situation was critical. A huge debt had been left by the Frei administration (a foreign debt of over 2 billion dollars, a budgetary deficit of 150 million dollars), the election period had been difficult, production was partially paralysed and a huge drain of capital out of the country exacerbated the symptoms of crisis in a country which already had galloping inflation and rising unemployment. In its first weeks in power the government implemented important measures to calm social unrest and to increase employment : in November 1970 political prisoners were granted an amnesty, diplomatic relations were restored with Cuba, a proposed electricity price increase was withdrawn, all part-time workers were granted rights to social security, an emergency plan providing for the construction of 120 thousand residential buildings was set in place, payment of pensions and grants resumed and three thousand scholarships were allocated to Mapuches children in a bid to integrate the Indian minority into the educational system. The following month, the government signed a protocol agreement with the United Centre of Workers granting workers representational rights on the funding board of the Social Planning Ministry, created a central commission to oversee a tri-partite payment plan in which equal place was given to government, employees and employers, sent 55 thousand volunteers to the south of the country to teach writing and reading skills and provide medical attention to a sector of the population hitherto ignored, and fixed bread prices.

Apart from these emergency measures aimed at the poorest section of the population, the government presented a broad outline for structural reform. The first element was a Keynesian-based economic recovery plan initiated by the Minister for the Economy Pedro Vuskovic, a sort of Chilean New Deal based on redistribution of wealth and an attempt to partially freeze rising commodity prices (the 1970 price increase stood at 35%). If one takes into account the salary increases introduced on January 1st 1971 and the bonuses and increases in welfare benefit, the salaries of the lowest-paid workers and peasants may have risen by as much as 100%. The consequences were immediate: a spending fever hit the lowest income groups and industrial production suddenly took off again (production increased by 10% a year in 1971 and 1972), commercial activity revived and unemployment dropped off. To boost the increase in production and avoid a commodity shortage which might have provoked escalating prices, the government provided various measures to help the small and medium sized industries: on the 3 rd of February 1971, for instance, the government lowered interest rates on loans to the productive sector from 24% to 18%. The results were rapid: within a few months, inflation dropped to 20% while unemployment dropped to below 4%.

The second element of Allende's social and economic policy was the furthering of agricultural reform. Using Frei's law of 1967, the new government appropriated and redistributed within six months nearly as many properties as the Christian democrat government had done in six years. Between 1970 and 1973 six million hectares were distributed among approximately 100 thousand peasant families who became property owners while the state took over control of larger holdings henceforth to be run on a cooperative basis. At the same time new peasant councils meant that the peasant population was to be integrated into the decision-making process on rural development. Participation in the political process was thereby opened up in a country where access to political power had been limited to a small elite.

The last facet of this ground-breaking policy was an ambitious programme of nationalisation along the lines sketched out in the Popular Unity's programme to eradicate monopoly capitalism at home and abroad. The programme began in December 1970 in the textile industry with the appropriation of Bellavista Tome, a company whose directors had almost ceased production when Allende's victory was announced in September. The following year it was the turn of the banking and chemical sector and the iron, steel and coal industries (sometimes encountering lock-ins by striking workers) and finally in July 1971 a constitutional amendment unanimously voted by the Congress provided a legal basis for the nationalisation of the copper industry. In October, Allende presented a bill on the Areas de la economia y participacion de los trabajadores which defined the three types of property (private, social or state and mixed) which would form the basis of Chile's socialism.

All of these reforms provoked dissent which slowed down the social reconstruction of the country. The United States felt that their interests in Chilean industry were threatened by the nationalisation policy and silently set in place an embargo on Chilean goods. In September 1971 Allende reneged on the principle of compensation for the appropriated foreign companies (such as Kennecott and Anaconda in the copper sector) on the grounds that they had made enormous profits previously, and thereby aggravated the economic war waged by the Nixon administration and decreased even further foreign investment. On the other hand the financial and industrial sectors teamed up with representatives of North American businesses such as Ford and ITT and formed a liberal right-wing, and sometimes extreme right-wing, nucleus of opposition to Popular Unity. Finally, a section of public opinion and some members of the coalition government remained convinced that only by armed means could the country be radically transformed and socialism introduced. This was the position of the Movimiento de Izquierda Revolucionaria (MIR) activists, whose charismatic Miguel Enriquez advocated physical elimination of the most hard-core opponents.

The increasing number of strikes organised either by employers opposed to nationalisation (notably the truck-drivers strike in October 1972 and then August 1973 led by Leon Vilarin) or by workers demanding that the socialisation of the economy be speeded up (that of the El Teniente miners in April 1973 insisting that the promised wage increases be introduced) slowed down economic recovery in the first year and helped bring back high inflation. On top of this the global market impeded recovery: the market price of copper dropped on the international market depriving Chile of essential financial resources and preventing Allende from furthering his socialist policies. The attempt to integrate military men such as General Prats into the government and to open the coalition up to the more progressive elements of the Chilean Church did not assuage tensions. In July-August 1973 the economy was so seriously paralysed that inflation reached 320% and the budget deficit amounted to 115% of the State's receipts. Any attempt on the part of the government to boost economic revival became illusory in the context of such hostility to the Popular Unity and of its inability to maintain public order: these were the grounds on which the armed forces would justify the coup d'état of September 11.

Popular Unity was a hybrid of ideological positions, an attempt to pursue the Marxist-Leninist tradition within constitutional norms combined with an ad-hoc Keynesianism and a mystique of revolution of the Castro/Guevara variety. Because it was of such short duration and because the regime which followed it undid all the structural changes it had made, it left hardly any trace in Chilean society. Nevertheless it continues to perpetuate a golden legend of popular government and peaceful transition toward socialism, an image of the hope it gave rise to in its own time not only in Latin America but also in Europe. In the late seventies, numerous left-wing leaders took inspiration from Popular Unity on how to get into power on the basis of a large left-wing coalition, from the Italian communist Berlinguer who pursued a historic compromise with the Christian Democrats to the French socialist Mitterrand who worked with the Communist Party on a joint programme. A political myth whose ramifications go far beyond the Chilean borders, Popular Unity still awaits from historians the unpartisan analysis and appraisal it could never aspire to in its own time and has rarely been granted since.


T Weier
email: t.weier@hzdr.de

V Galindo

C Kasprzyk

F Stefani

N Weber

Electrically driven flows and instabilities in liquid metal batteries

Keywords: Liquid metal batteries, Tayler Instability, Electro-vortex flows

Liquid metal batteries are currently discussed as a means to economic large scale energy storage. They consist of three fluid layers in stable density stratification. This fully liquid arrangement relies on the stable stratification to remain intact in order to function properly. Fluid motion has the potential to disrupt the molten salt layer sandwiched inbetween the upper and lower metal electrodes. A situation like this would result in an internal short-circuit and thus in a malfunction of the cell. We consider here two electromagnetic flow driving mechanisms: the Tayler instability and rotational Lorentz force distributions leading to electro-vortex flows. In a simplified setting, the stabilization of the electrolyte layer can be described fairly well by the ratio of potential to kinetic energy, i.e., the Richardson number.

Introduction

Liquid metal batteries (LMBs) consist of two molten metals separated by a fused salt. The materials are selected to allow reversible energy transfer and a stable density stratification. A typical system consists of Na as anode layer on the top, Bi as cathode material on the bottom and NaI-NaCl-NaF as molten salt eutectic sandwiched in-between both metals. LMBs were intensively investigated in the 1960s [1] and found new interest only recently for large scale storage of electricity [2]. Major advantages are the low costs predicted for these systems, a simple cell construction suited for scale-up on the cell level, and the long cycle life due to the ever renewing electrodes. Drawbacks include the elevated operating temperatures and cell voltages typically below 1 V. Due to their completely liquid interior, fluid dynamics will play an important role for LMBs. There might be several sources of motion, including temperature gradients, concentration gradients and electromagnetic forces. The main heat release will take place in the electrolyte layer, (which has the by far lowest electrical conductivity) leading to a heat distribution susceptible to the Rayleigh-Bénard instability inside the electrolyte layer itself and in the anodic compartment. Temperature or concentration gradients in the salt layer may give rise to thermal or solutal Marangoni convection. Long wave instabilities comparable to those observed in aluminum reduction cells may occur in large cells and short wave instabilities were predicted for current carrying three layer systems [3]. Large enough velocities may disturb the stable density stratification and endanger the integrity of the electrolyte layer [4], but flows will not only have adverse effects: a mild motion in the cathodic compartment would be beneficial for mixing [5] and could prevent the formation of intermetallic phases [START_REF] Shimotake | Intersociety Energy Conversion Engineering Conf[END_REF]. In the following, we will concentrate on two electromagnetic flow driving mechanisms, namely the Tayler instability (TI) and rotational Lorentz force distributions resulting in electro-vortex flows (EVFs). The current density in LMBs is typically in the range of 4 to 100 kA/m 2 and quite high compared to other cell chemistries. This is due to the fast kinetics at the liquid-liquid interfaces and the good mass transfer conditions in liquids compared to solids. Together with the envisioned large cell diameters [START_REF] Bradwell | [END_REF], considerable total cell currents together with their accompanying magnetic fields will result.

The Tayler instability and its control

Instabilities caused by the interaction of a current passing through a conducting fluid with its own magnetic field are well known from plasma physics. Plasmas in Z-pinches and Tokamak geometries are prone to axisymmetric "sausage" and non-axisymmetric "kink" instabilities. In liquid metals, resistivity and viscosity exert a stabilizing influence, but an incompressible counterpart of the plasma instabilities, the TI, nevertheless exists. Stability conditions for the inviscid and ideally conducting case have been formulated by Tayler [START_REF] Tayler | [END_REF] and Vandakurov [9] recurring to the shape of the magnetic field distribution. For real fluids, the onset of the TI is described by a critical value of the Hartmann number Ha = B 0 R/(σ/ρν) 1/2 that describes the ratio of electromagnetic to viscous forces. For a cylindrical conductor, B 0 is the value of the azimuthal magnetic field at the cylinder radius R; σ, ρ, and ν denote the material parameters electrical conductivity, density, and kinematic viscosity, respectively. Rüdiger et al. [10] found a critical value of Ha crit ≈20 for the onset of a non-axisymmetric flow, a value that could recently be confirmed experimentally by Seilmayer et al. [11]. Since the TI originates due to specific properties of the magnetic field distributions inside the liquid conductor, there exists the possibility to overcome this type of instability by modifying this field distribution. That can be done by changing the shape of the conductor as explained in [13] or by the superposition of additional fields as investigated in [14]. The latter approach leaves much more freedom for cell design and is therefore probably the more appealing one. Depending on the field configurations, only a relatively small part (1/6 … 1/3) of the total cell current has to be used to generate the stabilizing field making autonomous operation possible. Energy consumption for stabilization can be kept low by using low resistivity coils for field generation.

Besides the aforementioned stabilization methods, the construction of battery cells may also profit from the dramatic increase of I crit with decreasing aspect ratio [12].

Electro-vortex flows

In the previous section, we assumed a purely axial current density distribution when discussing the features of the TI. In real settings, this condition will almost always be violated since current is fed through connectors with diameters d much smaller than those of the cells. Consequently, current collectors of height h have to be applied to distribute the current in the cell. This leads inevitably to radial components of the current density and therefore rotational Lorentz force distributions that cannot be balanced by pressure. The red graph in Fig. 1 shows the evolution of the flow for relatively high current collectors (h/D=3). The EVF starts immediately giving rise to a mild background flow which seems to trigger the TI earlier than it appears in the undisturbed case. The inserted vector plots in Fig. 1 show snapshots of the flow fields. Due to the symmetric arrangement of the current collectors, the initial flow state is symmetric around the middle cross section as well but soon becomes unstable. When the TI finally sets in, it generates the staked row of vortices characteristic for the dominant "kink" mode. Note that the mean velocity of the saturated state is slightly higher than without the initial EFV background. The situation changes drastically for thinner current collectors. If their aspect ratio is decreased to h/D=2, the EVF develops to a stronger saturated state on top of which no TI appears until the calculations were stopped. Interestingly, the mean velocity reached at the end is considerably smaller compared to the cases where the TI is present.

Figure 2 displays the mean velocity in the saturated state vs. the current collectors aspect ratio and vs. the total applied current. While the mean velocity increases almost exponentially with decreasing aspect ratio, it depends linearly on the total current for a fixed geometry.

Electrolyte layer rupture

As mentioned in the introduction, a major interest lies in the influence of the flow on the integrity of the electrolyte layer. For this discussion, we focus on the case of a pure EVF and consider a Na-Bi system with an eutectic NaF-NaCl-NaI electrolyte at an operating temperature of 580 °C. The sketch inserted in Fig. 3 gives an idea of the setup. The cell's aspect ratio is 1. The diameter of the connectors d and the height of the current collectors h is only 1/20 of the cell diameter D=100 mm. A volume-of-fluid method together with a predetermined Lorentz force distribution was used for the calculations. We did not account for modifications of the current distribution due to interface shape changes. The applied current as well as the initial height of the electrolyte layer h 0 was modified to obtain data of the minimal electrolyte height h min under different conditions. As can be expected from investigations on jets impinging on liquidliquid interfaces [15], and as was also discussed by Herreman et al. [16], it is mainly the ratio of the potential energy of the stratification to the kinetic energy of the fluid flow that determines the results in this setting. This ratio is commonly expressed in terms of the Richardson number Ri=g ρ h 0 /(ρ u 2 ), with the acceleration of gravity g, the density difference of molten salt and Na ρ, and the Na density ρ. We used the time and volume averaged values of u in the saturated state. The exponential expression given in Fig. 3 fits the points fairly well and results in a critical Ri for the rupture of the electrolyte layer (h min =0) of about 0.5, i.e., equilibrium of potential and kinetic energy. Knowing that for the saturated TI Re ~ Ha 2 holds, we can write a Richardson number for a TI driven flow in terms of the total current as Ri=g ρρ h 0 D 2 /( 0 4 σ 2 I 4 ). The assumption of a fixed current density distribution and a Lorentz force unaltered by local changes in the electrolyte layer thickness is, however, a considerable simplification. Calculations taking into account the variations of the fields are on the way.

Conclusions

Fluid flow is an important aspect for LMBs. Here, we concentrated on a small subset of the full and very complex problem. Flows due to the TI can be understood as an upper bound for electromagnetically excited flows in the ideal case of completely homogeneous current densities. The TI can readily be controlled, and its onset is shifted to very large currents in the case of shallow cells. For technical settings EVFs will always play a role. Already small gradients of the electric field distribution may result in non-vanishing velocities. Saturation of EVFs is due to wall friction and therefore depends strongly on the container shape. The equilibrium of potential and kinetic is a suitable criterion for the rupture of the electrolyte layer, at least in the simplified case of a fixed current density distribution.

Fig. 1 :

 1 Fig. 1: Evolution of the flow structures and the mean Reynolds number depending on the electric boundary conditions. The aspect ratio of the fluid column with a diameter of D=1m is H/D=2.4, the applied current corresponds to Ha=100. Conductivity of the current collectors σ CC is five times that of the fluid σ F . Numerical results by Weber et al. [12] based on an integro-differential equation approach implemented in the open source library OpenFOAM ® nicely fit the experimentally determined growth rates as well as the expected wave lengths. Modifications of this code were used for the calculations discussed in the following. Since for a cylindrical conductor, B 0 R is determined by the total current alone, one can use the material parameters to calculate critical currents I crit from Ha crit and finds that the typical anode materials like Na, Li and Mg require much lower I crit than the metal and half-metal candidates for the cathodes. Thus, TI will first occur in the anodic compartment. The evolution of the mean velocity value u due to the TI vs. time t normalized by a viscous time scale ν/D 2 is shown by the blue graph in Fig. 1 for an exemplary case of a relatively high fluid column of aspect ratio H/D=2.4. Instead of the velocity value itself, the corresponding Reynolds number Re=Ru/ν is displayed. As marked in the inserted sketch, D denotes the diameter of the fluid column. Unlike in the two other cases discussed below, in order to observe the TI in its pure form, a constant potential was applied over the total cross-section of the cylinder at the outer surfaces of the liquid column. After a relatively long time without any noticeable motion, the TI starts to grow exponentially until it reaches a saturated state corresponding to a Re of about 850. The structure of the saturated flow consists of three vortex roles stacked vertically like the ones shown in the rightmost insert of Fig. 1. It mirrors largely the fastest growing antisymmetric m=1-mode of the instability.Since the TI originates due to specific properties of the magnetic field distributions inside the liquid conductor, there exists the possibility to overcome this type of instability by modifying this field distribution. That can be done by changing the shape of the conductor as explained in[13] or by the superposition of additional fields as investigated in[14]. The latter approach leaves much more freedom for cell design and is therefore probably the more appealing one. Depending on the field configurations, only a relatively small part (1/6 … 1/3) of the total cell current has to be used to generate the stabilizing field making autonomous operation possible. Energy consumption for stabilization can be kept low by using low resistivity coils for field generation.Besides the aforementioned stabilization methods, the construction of battery cells may also profit from the dramatic increase of I crit with decreasing aspect ratio[12].

Fig. 3 :

 3 Fig. 3: Dependency of the normalized minimal electrolyte height on the Richardson number for different total currents.

Fig. 2 :

 2 Fig. 2: Mean velocity vs. aspect ratio of the current collectors (left) and mean velocity vs. applied current (right).

Acknowledgment

This work was supported by Helmholtz-Gemeinschaft Deutscher Forschungszentren (HGF) in frame of the Helmholtz Alliance LIMTECH, as well as by Deutsche Forschungsgemeinschaft in frame of the SPP 1488 ("PlanetMag"). Fruitful discussions with Wietze Herreman, Caroline Nore, and Jānis Priede are gratefully acknowledged.