The Seven Military Classics of Ancient China

by Ralph D Sawyer

  We have sought to employ judiciously contemporary scholarship irrespective of its political perspective and to integrate insights provided by archaeological discoveries. The discovery of early versions, although dramatic and invaluable, precipitates the problem about which text to translate: the "original" versions, which entail numerous problems of their own, or the Sung Seven Military Classics edition, which has been historically available and influential for nine centuries. Because most of the Seven Military Classics have not previously been translated, we have chosen to make the traditional edition available first. Accordingly, we have used the newly recovered textual materials to make emendations only where they resolve highly problematic or completely incomprehensible passages, always annotating appropriately. Although we have refrained from indiscriminately revising the traditional text, significant differences between the newly recovered fragments and the historically transmitted edition are generally recorded in the notes.

  In providing a translation for a general readership, rather than a somewhat more literal (and some would claim precise) version for sinologists, we hope to emulate the vibrant translations of Professor Burton Watson and thereby make these amazing texts accessible to the widest possible audience. We have thus avoided military jargon because, apart from the thorny question about each term's appropriateness, such terms would render the translation less comprehensible to anyone lacking military experience or unacquainted with military history.

  Unfortunately, neither of the two commonly employed orthographies makes the pronunciation of romanized Chinese characters easy. Each system has its stumbling blocks and we remain unconvinced that the Pinyin qi is inherently more comprehensible than the Wade-Giles ch'i, although it is certainly no less comprehensible than j for r in Wade-Giles. However, as many of the important terms may already be familiar to Western readers and previous translations have employed Wade-Giles, we have opted to use that system throughout our work. Well-known cities, names, and books-such as Peking-are retained in their common form, and books and articles published with romanized names and titles also appear in their original form.

  As a guide to pronunciation, we offer the following notes on the significant exceptions to normally expected sounds:

  Thus, the name of the famous Chou dynasty is pronounced as if written "jou" and sounds just like the English name "Joe."

  MILITARY THOUGHT, the complex product of both violent war and intellectual analysis, suffered from disparagement and disrepute during almost all the past two millennia in Imperial China. Ignoring the original teachings of Confucius, self-styled Confucians eschewed-whether sincerely or hypocritically-the profession of arms and all aspects of military involvement from the Han dynasty on, growing more vociferous in their condemnation with the passing of centuries.' However, regardless of these people's civilized and cultured self-perception, the nation could not be without armies or generals, particularly in the face of constant "barbarian" threats and ongoing conflicts with volatile nomadic peoples. Accordingly, a number of early military treatises continued to be valued and studied and thereby managed to survive, while the turmoil of frequent crises inevitably fostered generations of professional military figures and additional strategic studies. Yet compared to the Confucian classics and various other orthodox writings, the military corpus remained minuscule, numbering at most a few hundred works.

  Individual chapters of several writings by influential philosophers of the Warring States period (403-221 B.c.),2 such as Lord Shang, also focused upon military matters, often with radical impact.3 Many famous thinkers, including Hsun-tzu and Han Fei-tzu,4 pondered the major questions of government administration and military organization; motivation and training; the nature of courage; and the establishment of policies to stimulate the state's material prosperity. The Tso chuan and other historical writings similarly record the thoughts of many key administrators and preserve the outlines of famous strategies, although their presentation of battlefield tactics is minimal.

  A number of the ancient strategic monographs became relatively famous, and scholars in the Sung period (circa A.D. 1078) collected, edited, and assembled the six important survivors, augmenting them with a T'ang dynasty book; the final product was the Seven Military Classics. Thus codified, the seven works thereafter furnished the official textual foundation for government examinations in military affairs and concurrently provided a common ground for tactical and strategic conceptualization.

  Despite incessant barbarian incursions and major military threats throughout its history, Imperial China was little inclined to pursue military solutions to aggression-except during the ill-fated expansionistic policies of the Former Han dynasty, or under dynamic young rulers, such as T'ang T'ai-tsung, during the founding years of a dynasty. Rulers and ministers preferred to believe in the myth of cultural attraction whereby their vastly superior Chinese civilization, founded upon Virtues and reinforced by opulent material achievements, would simply overwhelm the hostile tendencies of the uncultured. Frequent gifts of the embellishments of civilized life, coupled with music and women, it was felt, would distract and enervate even the most warlike peoples. If they could not be either overawed into submission or bribed into compliance, other mounted nomadic tribes could be employed against the troublemakers, following the time-honored tradition of "using barbarian against barbarian.""

  According to Confucian thought, which became the orthodox philosophy and prescribed state view in the Former Han, the ruler need only cultivate his Virtue, accord with the seasons, and implement benevolent policies in order to be successful in attracting universal support and fostering stability. Naturally, there were dissenting views, and even Mencius (371-289 B.c.), the second great Confucian, advocated punitive military expeditions to chastise evil rulers and relieve the people's suffering. However, except under rulers such as Sui Yang-ti (reigned A.D. 605-617), who sought to impose Chinese suzerainty on external regions-and thereby impoverished the nation-military affairs were pressed unwillingly; most of the bureaucracy tended to disdain anything associated with the military and the profession of arms.

  Evolution of Conflict and Weapons in China

  The Shang

  Over the centuries Chinese military thought mirrored the evolution in weapons, economic conditions, and political power while creating the framework for strategic conceptualization and stimulating the development of battlefield methods. Tactics appropriate to the dawn of the historical Shang period changed in response to increased manpower, greater speed and mobility, and the invention of more-powerful shock and missile weapons. However, a critical kernel of thought that focused on basic questions, including organization, discipline, evaluation, objectives, and fundamental principles, retained its validity and continued to be applied until the Ch'in eventually conquered and unified the empire, thereby signifying the end of the Warring States period.

  The Shang dynasty was a theocratic state whose power arose. initially from, and continued to depend upon, the military skills of the nobility, in conjunction with its religious beliefs and institutions.' The populace was effectively divided into four classes: ruling families; royal clan members, many of whom were enfeoffed or served as officials, and other members of the nobility; common people, who were essentially serfs; and slaves.' The king exercised great power over a central area and enjoyed the allegiance of various lords in the peripheral territory. The nobility, which was educated and cultured, lived in well-organized cities marked by massive complex buildings, such as palaces and temples." The common people, who dwelled in semiearthen huts, farmed or practiced various specialized crafts during most of the year, although they were also required to provide conscript labor and even to mobilize to assist military campaigns.

  Bronze technology advanced rapidly from the official inception of the Shang (traditionally dated as 1766 B.C., when T'ang I mounted his victorious campaign over the Hsia) until its collapse at the hands of the Chou, about 1045 B.C.10 Intricately detailed ritual vessels, essential to the ance
stor worship that underlay the king's power, provide dramatic evidence of the technological achievements and the government's effective management and monopoly of productive resources.11 Although the weapons for the nobility were fashioned primarily from bronze, the raw materials for agricultural implements and the arms carried by the commoners were largely confined to stone, wood, and animal bones.12 Millet and, later, wheat, were the staple crops, and they were stored in centralized granaries after harvesting. Rice was known, but it remained an expensive luxury even for the ruler because it was cultivated mainly in the south.13 The level of material culture had progressed sufficiently to sustain cities with large populations based upon organized farming and systematic exploitation of the hunt. Some animals-such as sheep, oxen, pigs, and dogs-had been domesticated, 14 and both silk and hemp were produced. Vessels for ordinary use were made of pottery, which was marked by intricate designs.

  Prior to the Shang dynasty, armed conflict essentially consisted of raids by and engagements between neolithic villages, although certain clan chiefs ap- patently developed local power bases and some regional strongmen emerged, such as those who founded the Hsia dynasty. However, with the rise of the Shang and the imposition of significant central authority (although not administration), a royal standing army of about a thousand was maintained. The number could be expanded as needed: The subservient lineage chiefs and state rulers would be ordered to furnish supporting armies. Although the king normally commanded in person, a rudimentary military bureaucracy with specialized officials already existed.15 A royal campaign against border enemies might require three to five thousand men, and a campaign directed toward an insolent state as many as thirteen thousand.16 Military actions required from a few days to perhaps three months; the actual battles generally were settled in a single confrontation, although engagements lasting several days have also been recorded.17 The army was divided into three sections-left, right, and middle18-formed from two types of units: loosely organized infantry, conscripted from the privileged popu- lace,19 which acted in a supporting role; and chariots, manned by the nobles fulfilling their martial responsibilities as warriors and sustainers of the state.

  Shang warfare objectives included the imposition or reinforcement of royal suzerainty, the mass capture of prisoners, and the seizure of riches.20 Control over areas outside the central core continued to be imposed through a vassal-like network, rather than through integration under a centrally administered bureaucracy. Plunder increased the wealth of the royal house and also furnished the means to reward loyal service. Some prisoners were enslaved and forced to work in either agricultural or domestic tasks, but large 2 numbers were sacrificed as part of Shang religious ceremonies.1

  During the several hundred years of Shang rule, bronze weapons formed an integral part of every Shang warrior's arsenal.22 The preferred weapon was the ko (halberd, or dagger-ax),23 supplemented by spears24 and the compound bow.25 Bronze-tipped arrows, propelled by reflex bows whose pull may have reached 160 pounds, provided effective action at a distance. Daggers and hatchets were available for close fighting; leather armor and large shields-the latter used in coordinated fighting tactics-offered considerable protection against shock weapons and projectiles.26 Bronze helmets were fabricated to deflect missiles and glancing blows, and thin bronze plates were affixed as outer protection on both armor and shields. According to Warring States theory, weapons were usually of mixed type, providing the means for both aggressive and defensive action at close and long ranges. However, the sword evolved slowly, apparently from daggers or perhaps the dagger-ax, and true swords did not become common until the middle of the Warring States period.27

  The chariot functioned as the basic fighting unit during the late Shang, Western Chou, and Spring and Autumn (722-481 B.C.) periods; it remained important until well into the Warring States (403-221), when it was gradually supplanted by large infantry masses and eventually, during the third century B.C., began to be supplemented by the cavalry. Chinese tradition portrays the Shang as having employed seventy chariots during the campaign of rectification to oust the evil Hsia dynasty.28 However, twentieth-century archaeological discoveries, supplemented by textual research, indicate that the chariot, rather than being an indigenous development, did not reach China from Central Asia until the middle of the Shang dynasty-approximately 1300 to 1200 B.C.29 Initially, the use of chariot was probably confined to ceremonies and transportation and only gradually was expanded to the hunt and eventually to warfare. Epigraphic materials provide evidence that the Shang relied upon infantry units of nobility to confront their enemies even after the integration of the chariot into their military organization. In fact, throughout the Shang, the chariot may have remained a prestige symbol; its function during military engagements was restricted to providing transport mobility and serving as a command platform rather than constituting a significant military weapon.

  The chariots of the late Shang and subsequent Chou periods normally carried three men: the driver in the center, the archer on the left, and a warrior with a dagger-ax on the right. Five chariots constituted a squad, the basic functional unit, and five squads composed a brigade. Each chariot had a complement of 10 to 25 close-supporting infantry, with an additional vanguard of perhaps 125 men in later times.30 A Shang team consisted of two horses, and the rectangular chariot rode on two sturdy, multispoked wheels. Training for warfare included large-scale royal hunts that utilized chariots, although given the difficulty of developing driving skills and the fighting expertise appropriate to a racing chariot, far more practice must have been nec- essary.31 It was an expensive weapon that required craftsmen to build and maintain; thus its use was confined to the nobility, minimally supported by conscripted commoners. Battles accordingly resolved into a number of individual clashes, with personal combat supposedly governed by appropriate ceremonial constraints (probably a later romanticization). A few scholars have seen references to hunting on horseback in certain sentences, but these claims are generally discounted: The horse was employed only in conjunction with the chariot. However, lacking stirrups and a saddle and hampered by his long robes, the mounted rider could not become an effective military element until the third century B.C.

  The Chou

  The Chou came to power by overthrowing the Shang in a decisive battle at Mu-yeh after many years of stealthy preparation and the gradual expansion of their power base through carefully wrought alliances, the submission of some smaller states, and the subjugation of other clans and peoples. Possibly descendants of the Hsia,32 the Chou originally dwelled to the north but had been forced south into the Wei River valley by more-aggressive peoples.33 As the Chou were situated on the periphery of Shang culture, they were able to assimilate many of the material and cultural achievements of Shang civilization in relative freedom while successfully developing a strong agricultural base, indigenous technology, and their own cultural identity. External barbarian pressures stimulated their military skills, organizational abilities, and tactical thought simultaneously, and the Shang even entrusted them with the task of subjugating rebellious peoples in the west, which allowed the Chou to increase their military prowess.34 When they mounted their final campaign against the debauched, enervated Shang, the Chou's weapons and implements were similar to the Shang's. Perhaps the only Chou innovation was the extensive employment of chariots, facilitating more-rapid movement and the conveying of greater quantities of weapons and supplies. 3' The Chou's victory probably stemmed in large part not only from the Shang's disorganization but also from the exhaustion suffered by the Shang in fighting off hostile nomadic peoples to the north and east and from their large-scale commitment to a southern military expedition at the moment of attack .3' The Chou's overall campaign and tactics (particularly if the Book of Documents and the Six Secret Teachings preserve any reliable material) approached the conflict from a new perspective-abandoning ritualistic, formal combat for effective revolutionary activity.37

  The Chou kings were confronted with the im
mediate problem of ruling an empire of disparate peoples and far-flung territories with only a small Chou population. Although the Chou had apparently enjoyed the allegiance of roughly eight hundred states in the final campaign against the Shang, many had also opposed them. These enemy peoples, the tens of thousands of Shang nobility, and even the populace of their own allies all had to be effectively controlled, and smoldering rebellions quenched. Immediately after the famous battle at Mu-yeh, King Wu had the T'ai Kung secure the Chou hold over the surrounding area. Next, when returning to the capital, the Chou vanquished a number of recalcitrant states lying along the corridor of their march.3S Finally, the Western Chou consolidated their rule through several political and military measures, the most important of which was the en feoffment of powerful clan members among both allied and dissident states. Each person so enfeoffed would establish a collateral family line and would emigrate with his family members, retainers, and military forces. They would constitute a Chou enclave among the local people and would immediately construct a walled town, which would function as the Chou military, political, economic, administrative, and cultural center.39

  The Chou also forced thousands of Shang noble families to emigrate to the eastern capital region, where they could be adequately supervised and controlled, although they were allowed to retain most of their own officials, customs, and laws.40 Thereafter, the early Chou kings imposed their rule and consolidated their power through close connections with all the vassals thus established. The obedience of these feudal lords was ensured by their participation in clan activities and power, was reinforced by their military and political inferiority, and was emphasized by their relative isolation-all of which necessitated mutual cooperation under the king's directives. The Shang's theocratic character was displaced by a more worldly approach, although the Chou king preserved and emphasized his right to sacrifice to the ancestors, whose intimate involvement in state affairs remained necessary, and to Heaven, which had sanctified Chou's revolutionary activity.