Although most writers in the period adhere to such doctrines, the Methods identifies two special situations. In the first, because of the magnitude of the victory or defeat, the sheer numbers of those involved preclude using the normal approach:
Do not reward great victories, for then neither the upper nor lower ranks will boast of their achievements. If the upper ranks cannot boast they will not seem arrogant, while if the lower ranks cannot boast no distinctions will be established among the men. When neither of them boasts this is the pinnacle of deference.
In cases of great defeat do not punish anyone, for then both the upper and lower ranks will assume the disgrace falls on them. If the upper ranks reproach themselves they will certainly regret their errors, while if the lower ranks feel the same they will certainly try to avoid repeating the offense. When all the ranks divide [the responsibility for] the detestable among themselves, this is the pinnacle of yielding. (2)
In the second unusual case, the soldiers are so terrified of the enemy that neither the incentives of large rewards nor the threat of capital punishment can affect them. A radically different approach, which focuses on gaining control of their emotions through gathering the soldiers together and executing a series of set patterns or drills before swearing an oath,40 becomes vital:
If they are terrified, then do not threaten them with execution and severe punishments but display a magnaminous countenance. Speak to them about what they have to live for, and go about supervising them in their duties. (2)
Such physical actions as crouching and sitting in a tight formation will presumably break the individual's isolation and end his continued immersion into the fear dominating his mind, permitting the commander to turn the soldier's attention outward with an inspirational harangue focusing on the righteousness of their cause, the rewards that can be attained, and the objectives of living.41 As the Ssu-ma Fa notes elsewhere, it is only through being endangered that men will truly exhaust their spirit and energies. Doubt and fear are the greatest enemies; but if plans have been well made, the righteousness of the cause thoroughly proclaimed, and the men well trained, the army should emerge triumphant.
Concept of Battle Management
A number of principles briefly raised by the text are worthy of notice, but they are self-explanatory and need not be discussed here. However, concepts related to engaging the enemy that appear throughout the last three chapters merit brief consideration. Those of particular importance are outlining the qualities required for leadership; the necessity for thoroughly analyzing the enemy, weighing the balance of forces, and employing those forces appropriately; avoiding being misled by minor advantages; concentrating force at the critical moment after moving forward in a more dispersed fashion; and ensuring harmony among the men. The advantages of terrain should be fully utilized, whereas the tactical deployment of forces depends on their relative strength and character-including training, armament, and spirit. Even though an army's numbers may be few, tactics can be fashioned to preserve those numbers and even wrest a victory. The Ssu-ma Fa does not discuss these principles beyond the briefest indication of method, even though they are found more extensively in the other military writings. Measure and deliberate control-perhaps evidence of the antiquity of much of the material-are stressed throughout as the basis of both survival and victory. Applying psychological principles is also important; these principles include enervating the enemy's will to fight by leaving an escape path, never forcing him into the desperate circumstances that compel fighting to the death, and sowing doubt in the enemy's mind.
In antiquity, taking benevolence as the foundation and employing righteousness to govern constituted "uprightness." However, when uprightness failed to attain the desired [moral and political objectives, [they resorted to] authority [ch'iian]. Authority comes from warfare, not from harmony among men. For this reason if one must kill men to give peace to the people, then killing is permissible. If one must attack a state out of love for their people, then attacking it is permissible. If one must stop war with war, although it is war it is permissible. Thus benevolence is loved; righteousness is willingly submitted to; wisdom is relied on; courage is embraced; and credibility is trusted. Within, [the government] gains the love of the people, the means by which it can be preserved. Outside, it acquires awesomeness, the means by which it can wage war.'
The Tao of Warfare: Neither contravening the seasons2 nor working the people to exhaustion is the means by which to love our people. Neither attacking a state in national mourning nor taking advantage of natural disaster is the means by which to love their people. Not mobilizing the army in either winter or summer is the means by which to love both your own people and the enemy's people. Thus even though a state may be vast, those who love warfare will inevitably perish. Even though calm may prevail under Heaven, those who forget warfare will certainly be endangered!
When the world had attained peace the Son of Heaven had the "Ta K'ai" [Great Peace] music performed [in celebration]. Then in the spring he held the Sou hunt, and in the fall he held the Hsien hunt. In the spring the feudal lords returned their brigades in good order, while in the fall they trained their soldiers. In this way they did not forget warfare.3
In antiquity they did not pursue a fleeing enemy more than one hundred paces or follow a retreating enemy more than three days, thereby making clear their observance of the forms of proper conduct [li].4 They did not ex haust the incapable and had sympathy for the wounded and sick, thereby making evident their benevolence. They awaited the completion of the enemy's formation and then drummed the attack, thereby making clear their good faith. They contended for righteousness, not profit, thereby manifesting their righteousness. Moreover, they were able to pardon those who submitted,' thereby making evident their courage. They knew the end, they knew the beginning, thereby making clear their wisdom. These six virtues were taught together at appropriate times, being taken as the Tao of the people's guidelines. This was the rule from antiquity.
The administrative measures of the Former Kings: They accorded with the Tao of Heaven; they established what was appropriate to Earth. They put the virtuous among the people into office, rectified names, and governed things.' They established the states, defined the hierarchy of feudal positions, and apportioned emoluments according to rank. The feudal lords were pleased and embraced them. Those beyond the seas came to submit. Punishments were eliminated and the army rested. These were the attainments of Sagely Virtue.
Next came the Worthy Kings: They ordered the rites [li], music, laws, and measures and then created the five punishments, raising armored troops to chastise the unrighteous. They made inspection tours [of the feudal lands], investigated [the customs] of the four quarters, assembled the feudal lords, and investigated differences.' If any [of the feudal lords] had disobeyed orders, disordered the constant,' turned his back on Virtue, or contravened the seasons of Heaven'-endangering meritorious rulers-they would publicize it among all the feudal lords, making it evident that he had committed an offense. They then inounced it to August Heaven and to the sun, moon, planets, and constellations. They prayed to the Gods of Earth, the spirits of the Four Seasons, mountains, and rivers and at the Great Altar [of state]. Then they offered sacrifice to the Former Kings.10 Only thereafter would the Prime Minister charge the army before the feudal lords, saying, "A certain state has acted contrary to the Tao. You will participate in the rectification campaign on such a year, month, and day. On that date the army will reach the [offending] state and assemble with the Son of Heaven to apply the punishment of rectification."
The Prime Minister and other high officials would issue the following orders to the army:
When you enter the offender's territory, do not do violence to his gods; do not hunt his wild animals; do not destroy earthworks;'' do not set fire to buildings; do not cut down forests; do not take the six domesticated animals, grains, or implements. When you see their elderly or very young, return them without harming them. Even if you e
ncounter adults, unless they engage you in combat, do not treat them as enemies. If an enemy has been wounded, provide medical attention and return him.
When they had executed the guilty, the king, together with the feudal lords, corrected and rectified [the government and customs] of the state. They raised up the Worthy, established an enlightened ruler, and corrected and restored their feudal position and obligations.
The Ways by which the kings and hegemons governed the feudal lords were six:
With territory they gave shape to the feudal lords.'2
With government directives they pacified the feudal lords.
With the rites and good faith they drew the feudal lords close to them.
With men of wisdom and strength they pleased the feudal lords.
Through strategists they constrained the feudal lords. With weapons and armor they forced the submission of the feudal lords.
By sharing misfortune with them, by sharing benefits'; with them, they united the feudal lords. They had the smaller states serve the larger ones in order to bring the feudal lords into harmony.
They assembled them in order to announce nine prohibitions:
Those who take advantage of weak [states] or encroach on sparsely populated ones will have their borders reduced on all sides.
Those who murder the Worthy or harm the people will be attacked [and deposed].
Those who are brutal within their state and encroach on others outside it will be purged.
Those whose fields turn wild and whose people scatter will be reduced.
Those who rely on the fastness [of natural advantages] to disobey orders will be invaded.
Those who harm or kill their relatives will be rectified.
Those who depose or slay their ruler will be exterminated.
Those who oppose orders and resist the government will be isolated.
Those who are chaotic and rebellious both within and without their borders, who act like animals, will be extinguished.14
The duty of the Son of Heaven must be to concentrate on modeling on Heaven and Earth and observing [the measures] of the Former Sages.15 The duty of officers and common men must be to respectfully serve their parents and to be upright with their ruler and superiors. Even though there is an enlightened ruler, if the officers are not first instructed, they cannot be used.
When the ancients instructed the people they would invariably establish the relationships and fixed distinctions of noble and common-causing them not to encroach on each other; the virtuous and righteous not to exceed each other; the talented and technically skilled not to occlude each other; and the courageous and strong not to clash with each other. Thus their strength was united and their thoughts were in harmony.
In antiquity the form and spirit governing civilian affairs would not be found in the military realm; those appropriate to the military realm would not be found in the civilian sphere.16 Thus virtue and righteousness did not transgress inappropriate realms.
Superiors valued officers who were not boastful for officers who do not boast are the greatest talents." If they do not boast they are not self-seeking, and if they are not self-seeking they will not be contentious. When listening to affairs of state" superiors want to seek out their true nature, but when listening to affairs within the military they must discuss the appropriateness of matters.19 Therefore the talented and skillful cannot conceal each other. When officers follow orders they should receive the highest rewards, when they disobey orders the most severe form of execution.20 Then the courageous and strong will not contend with each other.
Only after effective instructions have been provided to the people can [the state] carefully select and employ them. Only after government affairs have been thoroughly ordered can the hundred offices be sufficiently provided. When instructions are thoroughly examined the people will manifest goodness. When practice becomes habit the people will embody the customs. This is the pinnacle of transformation through education.
In antiquity they did not pursue a fleeing enemy too far or follow a retreating army too closely. By not pursuing them too far, it was difficult to draw them into a trap; by not pursuing so closely as to catch up, it was hard to ambush them. They regarded the forms of propriety [li] as their basic strength and benevolence as [the foundation of] their victory. After they were victori ous their teachings could again be employed.21 For this reason the true gentleman values them.
Shun made the official announcement of their mission within the state [capital] because he wanted the people to first embrace his orders. The rulers of the Hsia dynasty administered their oaths amidst the army for they wanted the people to first complete their thoughts. The Shang rulers swore their oaths outside the gate to the encampment for they wanted the people to first fix their intentions and await the conflict. [King Wu] of the Chou waited until the weapons were about to clash and then swore his oath in order to stimulate the people's will [to fight].
The rulers of the Hsia rectified their Virtue and never employed the sharp blades of their weapons, so their weapons were not mixed together.22 The Shang relied on righteousness, so they first used the sharpness of weapons. The Chou relied on force, so they fully utilized the sharpness of their weap- ons.23
The Hsia bestowed rewards in court in order to make eminent the good. The Shang carried out executions in the marketplace to overawe the evil. The Chou granted rewards in court and carried out executions in the marketplace to encourage gentlemen and terrify the common man. Hence the kings of all three dynasties manifested Virtue in the same way.
When the [five types of] weapons are not intermixed, it will not be advantageous. Long weapons are for protection;24 short weapons are for defending. If the weapons are too long they will be difficult to wield against others; if they are too short they will not reach the enemy. If they are too light they will be adroitly brandished, but such facility will easily lead to chaos. If they are too heavy they will be too clumsy, and if too clumsy they will not attain their objectives.
As for their war chariots, those of the rulers of the Hsia were called "hook chariots" for they put uprightness first. Those of the Shang were called "chariots of the new moon" for they put speed first. Those of the Chou were called "the source of weapons" for they put excellence first.21
For flags, the Hsia had a black one at the head representing control of men. The Shang's was white for the righteousness of Heaven. The Chou used yellow for the Tao of Earth.
For insignia26 the Hsia used the sun and moon, valuing brightness. The Shang used the tiger, esteeming awesomeness. The Chou used the dragon, esteeming culture.
When the army concentrates excessively on its awesomeness the people will cower, but if it diminishes its awesomeness the people will not be victorious. When superiors cause the people to be unable to be righteous, the hundred surnames to be unable to achieve proper organization, the artisans to be unable to profit [from their work], oxen and horses to be unable to fulfill their functions while the officers insult [the people]-this is termed "excessive awesomeness," and the people will cower. When superiors do not respect Virtue but employ the deceptive and evil; when they do not honor the Tao but employ the courageous and strong; when they do not value those who obey commands but instead esteem those who contravene them; when they do not value good actions but esteem violent behavior so that [the people] insult the minor officials-this is termed "diminished awesomeness." If the conditions of diminished awesomeness prevail the people will not be victorious.
A campaign army27 takes measure as its prime concern so that the people's strength will be adequate. Then, even when the blades clash, the infantry will not run and the chariots will not gallop. When pursuing a fleeing enemy the troops will not break formation, thereby avoiding chaos. The solidarity of a campaign army derives from military discipline that maintains order in formation, does not exhaust the strength of men or horses, and-whether moving slowly or rapidly-does not exceed the measure of the commands.
In antiquity the form
and spirit governing civilian affairs would not be found in the military realm; those appropriate to the military realm would not be found in the civilian sphere.21 If the form and spirit [appropriate to the] military realm enter the civilian sphere, the Virtue of the people will decline. When the form and spirit [appropriate to the] civilian sphere enter the military realm, then the Virtue of the people will weaken.
In the civilian sphere words are cultivated and speech languid. In court one is respectful and courteous and cultivates himself to serve others. Unsummoned, he does not step forth; unquestioned, he does not speak. It is difficult to advance but easy to withdraw.
In the military realm one speaks directly and stands firm. When deployed in formation one focuses on duty and acts decisively. Those wearing battle armor do not bow; those in war chariots need not observe the forms of propriety [Ii]; those manning fortifications do not scurry. In times of danger one does not pay attention to seniority. Thus the civilian forms of behavior [Ii] and military standards [fa] are like inside and outside; the civil and the martial are like left and right.
In antiquity the Worthy Kings made manifest the Virtue of the people and fully [sought out]29 the goodness of the people. Thus they did not neglect the virtuous nor demean the people in any respect. Rewards were not granted, and punishments were never even tried.
Shun neither granted rewards nor imposed punishments, but the people could still be employed. This was the height of Virtue.
The Hsia granted rewards but did not impose punishments. This was the height of instruction.
The Shang imposed punishments but did not grant rewards. This was the height of awesomeness.
The Seven Military Classics of Ancient China Page 17
