The Seven Military Classics of Ancient China

by Ralph D Sawyer

  Wu Ch'i addressed the King of Ch'u: "What Ch'u has a surplus of is land, but what is insufficient is people. Now if your lordship takes what is insufficient to increase what is in surplus, then I cannot do anything." Thereupon the king ordered the nobles to go out and fill the vast, empty lands. They all found this to be extremely bitter. When the king of Ch'u died, the nobles all came [to the capital]. The king's corpse was lying in the upper hall. The nobles, acting together, shot arrows at Wu Ch'i. Wu Ch'i yelled: "I will show you how I use weapons." He pulled out an arrow and ran. Prostrating himself over the corpse, he stuck the arrow in and yelled out: "The ministers are revolting against the king!" Then Wu Ch'i died. However, according to Ching law anyone who exposed a weapon before the king's body should be subject to the severest penalty, with the extirpation of their families to three degrees. Wu Ch'i's wisdom can certainly be said to have been acute.33

  Chinese tradition has long held that the military arts belong to the category "contrary Virtue," a concept perhaps originally espoused by the mythical Lao-tzu and later expounded in many of the military writings, including the Wu-tzu.34 Consequently, the longer one's involvement and the more extensive one's experience, the more likely it becomes that disaster will befall the individual. This is made clear in two fictional interviews found in the Shuo yuan:

  When Wu Ch'i was serving as Protector of Yuan, during his tour of inspection of the commandery he reached Hsi where he asked Ch'u I-chiu: "The king, not knowing that I am a petty man, has made me Protector of Yuan. Sir, how would you instruct me?" Duke Ch'u did not reply.

  After a year the king made him Director of Ordinances. During his tour of inspection of the commandery he reached Hsi. He asked Ch'u I-chiu: "I inquired of you, but you did not instruct me. Now the king, not knowing I am a petty man, has made me Director of Ordinances. Sir, would you examine how I am acting?" Duke Ch'u said: "What are you going to do?" Wu Ch'i said: "I am going to level the ranks of nobility in Ch'u and even their emoluments; reduce what is in excess and continue what is insufficient; and polish the armor and weapons in order to contend for All under Heaven at the appropriate time." Duke Ch'u said: "I have heard that in the past, those that excelled at governing states did not change the old nor alter the usual. Now you are about to level the ranks of Ch'u's nobility and even their emoluments, reduce what is surplus and continue what is insufficient. This is changing the old and altering the usual. Moreover I have heard that weapons are inauspicious implements and that conflict is a contrary Virtue. Now you secretly plot the contrary Virtue and love to employ inauspicious implements. Reaching out for what men abandon is the extreme of contrariness; implementing licentious and dissolute affairs is not advantageous. Moreover when you employed the troops of Lu, you should not have gained your intentions in Ch'i, but you realized them. When you employed the troops of Wei, you should not have been able to realize your intentions against Ch'in, but you gained them. I have heard it said, `If one is not the man for disaster, he cannot complete disaster.' I formerly found it strange that my ruler had frequently acted contrary to the Way [Tao] of Heaven but up to now not met with any misfortune. Alas, it was probably waiting for you."Wu Ch'i fearfully said: "Can it still be altered?" Duke Ch'u said: "It cannot." Wu Ch'i said: "I plan on behalf of others." Duke Ch'u said: "A prisoner whose punishment has been determined cannot change himself. You would best be honest and sincerely implement [the affairs of government] for the state of Ch'u has nothing more valued than raising up the worthy." 35

  From a historical perspective that had witnessed Ch'in's slow evolution to power and subsequent meteoric collapse, the milieu that saw the rise of state Confucianism and the pervasive expression of Taoism in such syncretic texts as the Huai-nan tzu gave voice to a condemnatory view:

  On behalf of Ch'in, Lord Shang instituted the mutual guarantee laws, and the hundred surnames were resentful. On behalf of Ch'u, Wu Ch'i issued orders to reduce the nobility and their emoluments, and the meritorious ministers revolted. Lord Shang, in establishing laws, and Wu Ch'i, in employing the army, were the best in the world. But Lord Shang's laws [eventually] caused the loss of Ch'in for he was perspicacious about the traces of the brush and knife,36 but did not know the foundation of order and disorder. Wu Ch'i, on account of the military, weakened Ch'u. He was well practiced in such military affairs as deploying formations, but did not know the balance of authority [ch'uan] involved in court warfare.37

  From such passages it appears that Wu Ch'i actually wielded significant political power and tried to implement typically Legalist reforms. Determining whether he enjoyed such influence in Wei's central government is more problematic because although Li K'o and other ministers apparently embarked on similar programs, Wu Ch'i's administrative impact and power were prob ably confined to the West River region, where he may have been virtual dictator.

  Fundamental Concepts and Strategies

  The present text of the Wu-tzu consists of six chapters focusing on topics critical to military affairs: Planning for the State; Evaluating the Enemy; Controlling the Army; the Tao of the General; Responding to Change; and Stimulating the Officers. Although none of the sections concentrates solely on a single topic because strategic considerations are interspersed throughout, these traditional chapter headings essentially depict the scope of the respective subject matter.

  Need for Military Forces

  Wu Ch'i lived during the period in which warfare was becoming increasingly specialized, bronze weapons had attained the peak of their development, and bronze swords and numerous iron weapons had begun to appear. Chariots-which were still manned by three men (driver, bowman, and spearman) and drawn by four horses-theoretically continued to provide the fundamental offensive weapon, although they were diminishing in effectiveness and were perhaps being relegated to functioning as transport and as a command platform.3S Use of crossbows had just become widespread, and armies were now composed of conscripted commoners and the ship (knights, who were now officers), who had previously shouldered the burden of fighting.

  However brief the time of Wu Ch'i's devotion to formal Confucian studies, it apparently constituted a formative period during which he absorbed the fundamental beliefs he later propounded as essential to good government. However, although he was a strong proponent of benevolence and righteousness, Wu-tzu equally stressed military strength and preparation. Without an effective fighting force, the Confucian virtues would become hollow mockeries and evil would dominate the world:

  In antiquity the ruler of the Ch'eng Sang clan cultivated Virtue but neglected military affairs, thereby leading to the extinction of his state. The ruler of the Yu Hu clan relied on his masses and loved courage and thus lost his ancestral altars. The enlightened ruler, observing this, will certainly nourish culture and Virtue within the domestic sphere while, in response to external situations, putting his military preparations in order. Thus when opposing an enemy if you do not advance, you have not attained righteousness. When the dead lie stiff and you grieve for them, you have not attained benevolence. ["Planning for the State"]

  Accordingly, the commanding general must be selected carefully and must be a man of complete and diverse talents who is capable of effectively directing both military and civilian administrations. Naturally, courage is basic, but other characteristics-such as wisdom and self-control-are emphatically required.

  Measure in All Matters

  In Wu-tzu's era the army depended heavily on the horse for its overall mobility and for powering its focal assault weapon, the chariot. Consequently, Wu Ch'i stressed that the enlightened management of horses was primary and that men were secondary. However, certain vital principles apply to both, such as ensuring proper nourishment and appropriate eating times, adequate rest periods, the erection of temporary shelters, and the implementation of extensive, ongoing training. All the equipment for the army, and especially that for the horses, must be of good quality and kept in proper repair. Only then would the army be adequately prepared for its mission and the me
n given the means to execute their orders without the distraction and hindrance of material failure.

  People as the Basis

  Because of the shift from warfare fought by the nobility to mass mobilization and reliance on a basically civilian army, the strong support and willing allegiance of the people became essential. Wu Ch'i therefore advocated enlightened Confucian policies that would provide the people with adequate material welfare, gain their emotional support, and inculcate the basic virtues. When impositions are light and the government visibly expresses its concern for the people, the populace will respond and the state can withstand external challenges. Harmony-which can then be forged-must be present in the state, the army, the formations, and among the men themselves.

  Training and Unification

  Harmony and organization are counterparts: Without harmony the organization will not be cohesive, but without organization harmony is ineffectual. Wu Ch'i only briefly touched on the civilian hierarchy necessary to provide this basic organization; he mainly emphasized the need for order and distinctions and urged the selection and appointment of worthy men. Self-reliance on the part of those at the pinnacle of government can only lead to disaster, whereas accepting wise counsel results in victory.

  The means required to attain a disciplined, effective fighting force are quite simple: Organize properly, train extensively, and motivate thoroughly. Thereafter it becomes a question of strategy and tactics, and most of Wu Ch'i's book is devoted to military matters such as the composition of units, methods of control, formations, and the selection of men. He also focuses on general questions of training based on the traditional composition of the Three Armies and their employment in normal formations. Repetitive training furnishes the means for coordinated, articulated movement on the battlefield. Solidarity provides the possibility of effecting strategy, whereas disorder dooms one's tactics and turns the conflict into a shambles. A small, welldisciplined force can usually defeat a numerically superior one if the latter lacks cohesion and direction. All the forces should be completely integrated and immediately responsive to the commands of one man. Then the army will not succumb to battle pressure but will emerge victorious.

  Selection, Evaluation, and Motivation of Men

  Men should be selected, evaluated, and assigned duties including both combat specialties and administrative positions, that are appropriate to their individual talents and expertise. Because attitude and motivation are critical, Wu-tzu suggested policies that would consciously employ his psychological insights to forge a spirited fighting force. Given a settled, well-treated populace, the essential catalyst would be shame because men striving to avoid shame would prefer death in battle to living ignominiously. On the positive side, being committed to fighting and to dying in battle would ensure the survival not only of the individual soldier but of the entire army.

  In contrast to the famous Legalist thinkers of the Warring States period, Wu-tzu felt that by themselves, rewards and punishments would be unreliable and inadequate to guarantee discipline and elicit the desired forms of behavior. Excessive rewards could easily prove counterproductive, encouraging individual rather than coherent unit action, stimulating the soldiers to break ranks in their personal quests for glory and profit. The imposition of extremely strict punishments to constrain discontent would ultimately prove similarly ineffective because the offenders would simply flee rather than face the painful consequences of failure or defeat. Only when all measures were properly implemented-including honoring and sustaining the families of those who died in combat-would a disciplined, spirited, strongly motivated force result.

  Waging War and Engaging in Battle

  The key to victory is impartially assessing the situation, including relative strength, to discern and develop potential tactical advantages. Wu Ch'i provides extensive instructions and techniques for evaluating the enemy and its commander and correlates national character with fighting qualities. He also analyzes general classes of battlefield situations in terms of their potential, elucidating a series in which superiority dictates attacking and another in which withdrawing and defending are advisable. Finally, he considers a number of circumstances in which the enemy either enjoys a significant advantage or encounters difficulty due to terrain, weather, or other adverse conditions; and he recommends countermeasures.

  Deviations from the standards of good order, training, material supply, and similar factors create the requisite opening for attack. Any sign of internal disorder or disaffection, any character flaw or excessive strength in an enemy commander promises an exploitable opportunity. Spies should ferret out vital information, and probing attacks should be undertaken to discover the enemy's tactics and degree of integrity. Probable combat behavior can be extrapolated from national character and regional differences, and tactics can be developed for predictable responses.

  Some circumstances-such as confronting an exhausted enemy-are remarkably clear and require that the commander initiate aggressive movements without hesitation, whereas others indicate that engaging the enemy would be folly. The well-ordered, rested, integrated, entrenched, and properly commanded forces of an enemy state are to be avoided until feints, deception, and other techniques can be brought to bear. Certain types of terrain and disadvantageous circumstances should also be treated with caution unless they can be turned to advantage. Armies that are outnumbered or in difficulty must make every effort to utilize the natural advantages of confined terrain, inclement weather, and water.

  Wu Ch'i, wearing the distinctive garb of a Confucian, had an audience with Marquis Wen of Wei to discuss the strategic crux of warfare. Marquis Wen said: "I do not like military affairs."

  Wu Ch'i replied: "From the visible I can fathom the concealed. From the past I can discern the future. How can your lordship say this topic does not accord with his thoughts? Right now, throughout the four seasons you have the skins of slaughtered animals covered with vermillion lacquer, painted with variegated colors, and embellished with glistening images of rhinoceroses and elephants. Wearing them in winter one would not be warm; wearing them in summer one would not be cool.

  "You make long spear-tipped halberds of twenty-four feet and short speartipped halberds of twelve feet. Your leather armored chariots block the doors; their wheels are covered and the hubs protected.' Looking at them they are certainly not beautiful to the eye; riding in them to hunt they are certainly not mobile. I do not know how you use them!

  "If you are preparing them to advance into battle or withdraw and protect [the state] without seeking men capable of employing them, the situation is comparable to a nesting hen rushing at a fox or a puppy attacking a tiger. Even though they have great fighting spirit, they will die!

  "In antiquity the ruler of the Ch'eng Sang clan cultivated Virtue but neglected military affairs, thereby leading to the extinction of his state. The ruler of the Yu Hu clan relied on his masses and loved courage and thus lost his ancestral altars. The enlightened ruler, observing this, will certainly nourish culture and Virtue within the domestic sphere while, in response to external situations, putting his military preparations in order. Thus when opposing an enemy force if you do not advance, you have not attained righteousness. When the dead lie stiff and you grieve for them, you have not attained benevolence."

  Thereupon Marquis Wen personally arranged a mat for Wu Ch'i, and his wife presented him with a goblet of wine. The duke then made a sacrifice in the ancestral temple, announcing his intended employment of Wu Ch'i, and posted him as general-in-chief to protect the West River commandery. While in command he fought seventy-six major battles with the other feudal lords, winning sweeping victories in sixty-four of them and faring no worse than a draw in the remainder. He expanded Wei's land in all four directions, broadening its territory some thousand Ii. All these were Wu Ch'i's accomplishments.

  Wu-tzu said: "In antiquity those who planned government affairs would invariably first instruct the hundred surnames and gain the affection of the common people.
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  "There are four disharmonies. If there is disharmony in the state, you cannot put the army into the field. If there is disharmony within the army, you cannot deploy into formations. If you lack harmony within the formations, you cannot advance into battle. If you lack cohesion during the conduct of the battle, you cannot score a decisive victory.2

  "For this reason when a ruler who has comprehended the Way [Tao] is about to employ his people, he will first bring them into harmony, and only thereafter embark on great affairs. He will not dare rely solely on his own plans, but will certainly announce them formally in the ancestral temple, divine their prospects by the great tortoise shell, and seek their confirmation in Heaven and the seasons. Only if they are all auspicious will he proceed to mobilize the army.3

  "Because the people know the ruler values their lives and is sorrowed by their deaths, when such circumstances arise and they must confront danger with him, the officers will consider death while advancing glorious, but life gained through retreating disgraceful."

  Wu-tzu said: "Now the Way [Tao] is the means by which one turns back to the foundation and returns to the beginning. Righteousness is the means by which to put affairs into action and realize accomplishments. Plans are the means by which to keep harm distant and gain profit. The essence [provides the constraints] by which to preserve duty and conserve achievements. Now if behavior does not accord with the Way [Tao], and actions do not accord with righteousness, but instead one dwells in magnificence and enjoys nobility, disaster will inevitably befall him.

  "For this reason the Sage rests the people in the Way [Tao], orders them with righteousness, moves them with the forms of propriety [li], and consoles them with benevolence. Cultivate these four virtues and you will flourish. Neglect them and you will decline.