The Seven Military Classics of Ancient China

by Ralph D Sawyer

  "The state of a [true] king enriches the people; the state of a hegemon enriches the officers. A state that merely survives enriches the high officials, and a state that is about to perish enriches its own granaries and storehouses. This is termed `the top being full while the bottom leaks.' When disaster comes there will be no means to effect a rescue.

  "Thus I say that if you raise the Worthy and give responsibility to the capable, [even] without the time being propitious affairs will still be advantageous. If you make the laws clear and are cautious in issuing orders, then without performing divination with the tortoise shell or milfoil you will obtain good fortune. If you esteem achievement and nurture effort, without praying you will attain blessings. Moreover it is said, `The seasons of Heaven are not as good as the advantages of Earth. Advantages of Earth are not as good as harmony among men.' What Sages esteem is human effort, that is all!

  "Now when the army is toiling on the march, the general must establish himself [as an example]. In the heat he does not set up an umbrella; in the cold he does not wear heavier clothes. On difficult terrain he must dismount and walk. Only after the army's well is finished does he drink. Only after the army's food is cooked does he eat. Only after the army's ramparts are complete does he rest. He must personally experience the same toil and respite. In this fashion even though the army is in the field for a long time, it will be neither old nor exhausted."53

  "The military is victorious through being quiet; a state is victorious through being united.54 One whose strength is divided will be weak; one whose mind has doubts will be turned against.55 Now when one's strength is weak, advancing and retreating will not be bold, and pursuing an enemy will not result in capturing anyone. Generals, commanders, officers, and troops should be a single body both in action and at rest. But if the commander's mind is already doubtful and the troops inclined to rebellion, then even though a plan has been decided on they will not move, or if movement has been initiated they cannot be controlled. When different mouths speak empty words, the general lacks the proper demeanor, and the troops have not had constant tests [during training], if they set out to attack they will inevitably be defeated. This is what is referred to as a `hasty, belligerent army.' It is inadequate for engaging in warfare.

  "Now the general is the mind of the army, while all those below are the limbs and joints. When the mind moves in complete sincerity, then the limbs and joints are invariably strong. When the mind moves in doubt, then the limbs and joints are invariably contrary. Now if the general does not govern his mind, the troops will not move as his limbs. Then even though the army might be victorious, it will be a lucky victory, not [the result of] the tactical imbalance of power in the attack.s6

  "Now the people do not have two things they fear equally. If they fear us then they will despise the enemy; if they fear the enemy they will despise us. The one who is despised will be defeated; the one who establishes his awesomeness will be victorious. In general, when the general is able to implement the Way [to awesomeness],57 his commanders will fear him. When the commanders fear their general, the people will fear their commanders. When the people fear their commanders, then the enemy will fear the people. For this reason those who would know the Tao of victory and defeat must first know about the balance of power of `fearing' and `despising.'

  "Now one who is not loved and cherished in the minds [of his men] cannot be employed by me; one who is not respected and feared in the minds [of his men] cannot be appointed by me." Love follows from below, awesomeness is established from above. If they love [their general] they will not have divided minds; if they are awestruck [by their general] they will not be rebellious. Thus excelling at generalship is merely a question of love and awesomeness.

  "One who engages in battle but does not invariably win cannot be said to `do battle.' One who attacks an enemy but does not invariably seize them cannot be said to have 'attacked.'59 If it were otherwise, their punishments and rewards were not sufficiently trusted. Credibility [must be established] before the moment of need; affairs [must be managed] before the first signs appear. Thus the masses, when once assembled, should not be fruitlessly dispersed. When the army goes forth it should not return empty-handed. They will seek the enemy as if searching for a lost son; they will attack the enemy as if rescuing a drowning man.

  "One who occupies ravines lacks the mind to do battle.60 One who lightly provokes a battle lacks fullness of ch'i. One who is belligerent in battle lacks soldiers capable of victory.

  "Now in general, one who presumes upon righteousness to engage in warfare values initiating the conflict. One who contends out of personal animosity responds only when it is unavoidable. Even though hatreds have formed and troops have been mobilized, await them and value acting after them.61 During the conflict you must await their advance.62 When there is a lull you must prepare [against sudden attacks].

  "There are armies that are victorious in the court; those that achieve victory in the plains and fields; and those that attain victory in the marketplace. There are those who fight and gain victory; those that submit and are lost; and those that are fortunate not to be defeated, as in cases where the enemy is unexpectedly frightened and victory is gained by a turn of events. This sort of victory `by turn of events' is said not to be a complete victory. What is not a complete victory lacks any claim to having effected a tactical imbalance in power. Thus the enlightened ruler, on the day for the attack, will [concentrate on] having the drums and horns sound in unison and regulating their armed might. Without seeking victory he will then be victorious.

  "Among armies there are those who abandon their defenses, abolish their awesomeness, and are yet victorious because they have methods. There are those who have early established the use of their weapons so that their response to the enemy is all-encompassing and their general leadership is perfected.

  "Thus for five men there is a squad leader, for ten men a lieutenant, for one hundred men a company captain, for one thousand men a battalion commander, and for ten thousand men a general. [This organization] is already all-encompassing, already perfected. If a man dies in the morning, another will replace him that morning; if a man dies in the evening, another will replace him that evening. [The wise ruler] weighs the tactical balance of power with the enemy, evaluates the generals, and only thereafter mobilizes the army.

  "Thus in general, when assembling an army a thousand li away, ten days are required and when a hundred li, one day, while the assembly point should be the enemy's border.63 When the troops have assembled and the general has arrived, the army should penetrate deeply into their territory, sever their roads, and occupy their large cities and large towns. Have the troops ascend the walls and press the enemy into endangered positions. Have the several units of men and women each press the enemy in accord with the configuration of the terrain and attack any strategic barriers. If you occupy the terrain around] a city or town and sever the various roads about it, follow up by attacking the city itself. If the enemy's generals and armies are unable to believe in each other, the officers and troops unable to be in harmony, and there are those unaffected by punishments, we will defeat them. Before the rescue party has arrived a city will have already surrendered.

  "If fords and bridges have not yet been constructed,64 strategic barriers not yet repaired, dangerous points in the city walls not yet fortified, and the iron caltrops not yet set out, then even though they have a fortified city, they do not have any defense!

  "If the troops from distant forts have not yet entered [the city], the border guards and forces in other states65 not yet returned, then even though they have men, they do not have any men! If the six domesticated animals have not yet been herded in, the five grains not yet harvested, the wealth and materials for use not yet collected, then even though they have resources they do not have any resources!

  "Now when a city is empty and void and its resources are exhausted, we should take advantage of this vacuity to attack them. The Art [of War]66 says, `They go
out alone, they come in alone. Even before the enemy's men can cross blades with them, they have attained [victory].' This is what is meant."

  "In general, when the defenders go forth, if they do not [occupy] the outer walls of the cities nor the borderlands67 and when they retreat do not [establish] watchtowers and barricades for the purpose of defensive warfare, they do not excel [at defense]. The valiant heroes and brave stalwarts, sturdy armor and sharp weapons, powerful crossbows and strong arrows should all be within the outer walls, and then all [the grain stored outside] in the earthen cellars and granaries collected, and the buildings [outside the outer walls] broken down and brought into the fortifications. This will force the attackers to expend ten or one hundred times the energy, while the defenders will not expend half of theirs.68 The enemy aggressors will be harmed greatly, yet generals through the ages have not known this.

  "Now the defenders should not neglect their strategic points. The rule for defending a city wall is that for every chang [ten feet], you should employ ten men to defend it-artisans and cooks not being included. Those who go out [to fight] do not defend the city; those that defend the city do not go out [to fight]. One man [on defense] can oppose ten men [besieging them]; ten men can oppose one hundred men; one hundred men can oppose one thousand men; one thousand men can oppose ten thousand men. Thus constructing [a city's] interior and exterior walls by accumulating loose soil [and tamping it down]" does not wantonly expend the strength of the people for it is truly for defense.

  "If a wall is one thousand chang, then ten thousand men should defend70 it. The moats should be deep and wide, the walls solid and thick, the soldiers and people prepared," firewood and foodstuffs provided, the crossbows stout and arrows strong, the spears and halberds well suited. This is the method for making defense solid.

  "If the attackers are not less than a mass of at least a hundred thousand72 while [the defenders] have an army outside that will certainly come to the rescue, it is a city that must be defended. If there is no external army to inevitably rescue them, then it is not a city that must be defended.

  "Now if the walls are solid and rescue certain, then even stupid men and ignorant women will all-without exception-protect the walls,73 exhausting their resources and blood for them. For a city to withstand a siege for one year, the [strength of]" the defenders should exceed that of the attackers and the [strength of] the rescue force exceed that of the defenders.

  "Now if the walls are solid but rescue uncertain, then the stupid men and ignorant women-all without exception-will defend the parapets, but they will weep. This is normal human emotion. Even if you thereupon open the grain reserves in order to relieve and pacify them, you cannot stop it. You must incite the valiant heroes and brave stalwarts with their sturdy armor, sharp weapons, strong crossbows, and stout arrows to exert their strength together in the front and the young, weak, crippled, and ill to exert their strength together in the rear.75

  "If an army of a hundred thousand is encamped beneath the city walls, the rescue force must break open [the siege], and the city's defenders must go out to attack. When they sally forth they must secure the critical positions [along the way]. But the rescue forces to the rear [of the besiegers] should not sever their supply lines, and the forces within and without should respond to each other.76

  "In this sort of rescue display a half-hearted commitment. If you display a half-hearted commitment, it will overturn" the enemy and we can await them. They will put their stalwarts in the rear, and place the old in the forefront. Then the enemy will not be able to advance, nor be able to stop the defenders [from breaking out]. This is what is meant by the `tactical balance of power in defense.'

  "Awesomeness lies in79 not making changes. Beneficence lies in according with the seasons.80 PerceptivityS1 lies in [promptly] responding to affairs. [Success in] warfare lies in controlling ch'i. [Skill in] attacks lies in fathoming externals.82 Defense lies in manipulating external appearance. Not being excessive lies in measuring and counting. Not encountering difficulty lies in foresight and preparation. Being cautious lies in respecting the small. Wisdom lies in controlling the large. Eliminating harm lies in being decisive. Gaining the masses lies in deferring to other men.

  "Regret arises from relying on what is doubtful. Evil lies in excessive executions. Prejudiced views come from frequently following one's own desires. Inauspicious events arise from detesting to hear about one's errors. Extravagance lies in exhausting the people's resources. Unenlightenment consists in accepting advice [which] separates you [from reality]. Being insubstantial stems from lightly initiating movements. Stubbornness and ignorance lie in separating yourself from the Worthy. Misfortune lies in loving profits. Harm lies in drawing common men near. Disaster lies in lacking any place to defend. Danger lies in lacking [clear] commands and orders."

  "In general, [when employing] the military do not attack cities that have not committed transgressions or slay men who have not committed offenses.83 Whoever kills people's fathers and elder brothers; whoever profits himself with the riches and goods of other men; whoever makes slaves of the sons and daughters of other men is in all cases a brigand. For this reason the military provides the means to execute the brutal and chaotic and to stop the un- righteous.84 Whenever the army is applied the farmers do not leave their occupations in the fields, the merchants do not depart from their shops, and the officials do not leave their offices, due to the martial plans 85 all proceed ing from one man.86 Thus even without the forces bloodying their blades, All under Heaven give their allegiance.

  "A state of ten thousand chariots [concentrates on] both agriculture and warfare. A state of one thousand chariots [focuses] on rescuing [others] and on defending [itself].87 A state of one hundred chariots [commits itself] to serving and supporting [other states].88 Those engaged in agriculture and warfare do not seek any authority [ch'uan] outside themselves; those who rescue others and defend themselves do not seek aid outside themselves; and those who serve and support other states do not seek material resources outside themselves. Now if [one's resources] are neither sufficient to go forth to wage battle nor adequate to remain within the borders and defend the state, one must correct [the insufficiency] with markets. Markets are the means to provide for both offensive and defensive warfare. If a state of ten thousand chariots lacks states of one thousand chariots to assist it, it must have markets able to furnish one hundred chariots.

  "In general, executions provide the means to illuminate the martial. If by executing one man the entire army will quake, kill him. If by rewarding89 one man ten thousand men will rejoice, reward him. In executing, value the great; in rewarding, value the small. If someone should be killed, then even though he is honored and powerful, he must be executed, for this will be punishment that reaches the pinnacle. When rewards extend down to the cowherds andstable boys, this is rewards flowing down [to the lowest]. Now the ability to implement punishments that reach the pinnacle, and rewards that flow down; [to the lowest], is the general's martial charisma. Thus rulers value their generals.90

  "Now when the commanding general takes up the drum, brandishes the drumsticks, and approaches danger for a decisive battle so that the soldiers meet and the naked blades clash-if he drums the advance and they respond to wrest the victory, then he will be rewarded for his achievements and his fame will be established. If he drums the advance but they fail, then he himself will die and the state will perish. For this reason survival91 and extinction, security and danger all lie at the end of the drumstick! How can one not value the general?

  "Now taking up the drums and wielding the drumsticks, having the soldiers collide and the blades clash so that the ruler achieves great success through military affairs I do not find to be difficult. The ancients said, 'Attacking without chariots with protective covering,92 defending without equipment such as the caltrops, this is what is meant by an army that does not excel at anything!' Looking without seeing and listening without hearing stem from the state not having markets.r />
  "Now markets are offices for sundry goods.93 [The government should] buy items which are cheap in the market and sell those that have grown expensive in order to restrain the aristocrats and people. People [only] eat one tou94 of grain, and horses eat three tou of beans, so why is it the people have a famished look and the horses an emaciated appearance? The markets have goods to deliver, but the office lacks a controller. Now if you raise the besttrained army under Heaven but do not manage the sundry goods, this is not what is referred to as `being able to conduct warfare.'

  "[To retain men in service] straight from their mobilization to the time when their armor and helmets have become worm infested, they must be men whom we can employ. [This is like] a bird of prey pursuing a sparrow which flies into a man's arms or enters someone's dwelling. It is not that the bird is casting away its life, but that to the rear there is something to fear.

  "When T'ai Kung Wang was seventy, he butchered cows at Ch'ao Ko and sold food in Meng Chin. He was more than seventy years old, but the ruler did not listen to him, and people all referred to him as a mad fellow. Then when he met King Wen he commanded a mass of thirty thousand and with one battle All under Heaven was settled. Without his understanding or martial plans, how could they have achieved this unification? Thus it is said, `If a good horse has a whip, a distant road can be traversed; if Worthies and men of rank unite together, the Great Tao can be illuminated.'

  "When King Wu attacked King Chou, the army forded [the Yellow River] at Meng Chin. On the right was the king's pennant, on the left the ax of punishment, together with three hundred warriors committed to die and thirty thousand fighting men. King Chou's formation deployed several hundred thousand men, with [the infamous ministers] Fei Liao and 0 Lai personally leading the halberdiers and ax bearers. Their lines stretched across a hundred li. King Wu did not exhaust the warriors or people, the soldiers did not bloody their blades, but they conquered the Shang dynasty and executed King Chou. There was nothing auspicious nor abnormal; it was merely a case of perfecting oneself, or not perfecting oneself, in human affairs.