Second, concepts and actual passages from the Wu-tzu are found in several Warring States military writings, including Sun Pin's Military Methods, the Wei Liao-tzu, and the Six Secret Teachings. This suggests it preexisted them, especially because Sun Pin's work had been lost for two thousand years and passages thus could not have been lifted from it to forge the Wu-tzu just prior to the T'ang dynasty. (Obviously, this does not preclude a Former Han dynasty forgery date, for which see Kuo Mo-jo's theory below.)
Third, the philosophical content reflects the integration of the Confucian and Legalist perspectives-the Confucian humanistic values and the Legalist emphasis on the unremitting, equitable implementation of rewards and punishments that developed in the Warring States period and found expression especially in the military writings.
Fourth, as noted in the translator's introduction, Wu Ch'i was both a civilian and military administrator, a historical figure who excelled brilliantly in both realms. This dual capability quickly vanished in the Warring States period with the necessarily increased specialization of military and civilian offices and officials. Thus his life and the book's approach reflect the earlier period.
Finally, Ch'ing scholastic criticisms of the text based on claims of historical anachronism, such as the playing of pipes in camp or the inclusion of terms whose origins presumably postdate Wu Ch'i's era, can be dismissed because evidence to the contrary is available. Moreover, recent archaeological discoveries have confirmed the early existence of items such as astrological banners, which the Ch'ing pedants could not have known about.
Li and Wang thus present a cogent argument, although they fail to resolve one particularly troubling criticism: The Wu-tzu prominently discusses employing the cavalry and refers to a cavalry force of three thousand. This indicates that one of the authors lived not only after the cavalry's appearance but also after it had become at least a supplementary force. The first mention of cavalry has previously been attributed to Sun Pin's book, and supposedly the cavalry did not become an active military element until near the end of the Warring States period. Therefore, if the authenticity of the Wu-tzu is accepted and its main authorship is attributed to Wu Ch'i-albeit revised by his disciples-use of the cavalry must have started in China much earlier than is now generally believed. If the cavalry dates to after 300 B.C., then at least parts of the Wu-tzu are later accretions or the entire text is a late Warring States or Han dynasty creation. Li and Wang do not address this problem satisfactorily. (See Appendix B for a discussion of the history of the cavalry in China. Some of the horse's equipment listed in the Wutzu, including the saddle, did not develop until the Later Han.)
The Han tomb, which contains so many other military works, does not include any portions of the Wu-tzu. This in itself is not fatal to claims of early origin because there are many possible explanations and other writings are also absent. However, on the basis of its absence from the tomb, the presence of references to the cavalry, and other anachronisms in terms-such as mentioned above-Kuo Mo-jo concludes that the original Wu-tzu has been lost and that the extant work is a later, probably Former Han forgery. (See Chung-kuo chun-shih-shih Pien-hsieh-tsu, Chung-kuo chun-shih shih, Vol. 4: Ping-fa, Chieh-fang-chun ch'u-pan-she, Peking, 1988, pp. 149ff.)
In view of the cavalry's significant appearance in the Wu-tzu, our own provisional conclusion is that contents of the work are substantially from Wu Ch'i himself but that in the course of transmission and revision, later Warring States strategists (and probably Han students)-perhaps in an effort to "update" the work-added passages on the cavalry and otherwise emended some of the terminology. Furthermore, it appears that a portion of the book has been lost or deliberately excised, but whether this loss is an extensive as claimed is somewhat doubtful, given that Wu Ch'i was clearly a man of action perhaps with little time for writing voluminously. (Cf. Wang Hsien-ch'en and Hsu Pao-lin, Chung-kuo ku-tai ping-shu tsa-t'an, Chieh-fang-chun ch'u-pan-she, Peking, 1983.)
5. Readers interested in another translation of this biography are encouraged to consult Chauncey S. Goodrich's article in Monumenta Serica (35 [1981-1983], pp. 197-233) entitled "Ssu-ma Ch'ien's Biography of Wu Ch'i," hereafter referred to as "Biography." Goodrich analyzes the text and provides extensive footnotes on critical references, figures, and historical questions. Kuo Mo-jo ("Shu Wu Ch'i," pp. 506533) has also extensively analyzed the various stories and legends surrounding Wu Ch'i and has critically dismissed many of them, including the reported killing of his wife. Although many of the accounts are obviously suspect, perhaps some truth underlies them.
The translation is based on Takigawa Kametaro's widely acclaimed Shiki kaichu kaosho, I-wen yin-shu-kuan, Taipei, 1972 (1-vol. reprint; original edition, 10 vols., Tokyo, 1932-1934), pp. 845-847.
6. Or "loved weapons."
7. Because Confucius died about 479 B.C. and Tseng-tzu (505-436 B.C.) was one of his original disciples, it is generally assumed that Wu Ch'i studied with Tseng-tzu's son, Tseng Shen, about seventy years thereafter. For further discussion, see Goodrich, "Biography," note 6, p. 218; Lu-shih ch'un-ch'iu (hereafter LSCC), 2:16b; and WT CCCY, pp. 10-11, where Fu Shao-chieh suggests that Wu Ch'i, Marquis Wen, and Li K'o all studied with Tzu Hsia-one of the original disciples known coincidentally for great longevity. (Kuo Mo-jo similarly concludes that it was Tseng-tzu's son and that Wu Ch'i may have studied with Tzu Hsia. See "Shu Wu Ch'i," pp. 506-509.)
8. A Ch'i high official had arranged for Wu Ch'i to marry his daughter after meeting him in Lu and being strongly impressed. Cf. Chung-kuo li-tai ming-chiang, p. 28.
9. Although this incident is also cited in Chapter 34 of the Han Fei-tzu (Han Fei-tzu chi-chieh [hereafter HFTCC], Shih-chieh shu-chu, Taipei, 1969, p. 232) as an illustration of action "against emotions," its veracity has long been questioned, as is discussed below. Cf. also Goodrich, "Biography," pp. 203-204, for his view that the story was fabricated by Wu Ch'i's detractors. (Goodrich concurs with Kuo Mo-jo. See "Shu Wu Ch'i," pp. 511-515.)
10. Tseng-tzu was identified particularly with the development of theories about filial obligations and their emotional expression in the li, the forms of propriety. Authorship of the Classic of Filial Piety was frequently attributed to him as well, a view that is no longer accepted. For further discussion, refer to Goodrich, "Biography," note 9, p. 219; and some of Tseng-tzu's pronouncements in the Analects: 1:9, XIX:17, and XIX:18.
11. Marquis Wen typified the strong rulers who forged powerful states through the implementation of enlightened policies and the active solicitation of knowledgeable advisers. He governed at Wei's inception when the great state of Chin fragmented into Han, Wei, and Chao-also termed the Three Chin. Cf. also Goodrich's note 12, "Biography," pp. 219-220.
12. Li K'o and Hsi-men Pao were two famous Worthies who assisted Marquis Wen in reforming the state and formulating new policies. Their actual scholarly affiliations and political orientations-nominally Confucian but visibly activist-are the subjects of considerable speculation.
13. The famous general Ssu-ma Jang-chu is discussed in the translator's introduction to the Ssu-ma Fa.
14. This reference to Wu Ch'i riding a horse is cited as perhaps indicating an earlier mastery and use of horses than the dramatic introduction by the state of Chao later in the fourth century. Cf. Goodrich, "Biography," note 16, p. 220.
15. This story also appears in the Han Fei-tzu, HFTCC, p. 206; and Shuo yiian, 6:19b.
16. The West River is actually a portion of the Yellow River that happens to run north and south. Cf. Goodrich, "Biography," note 19, p. 221.
17. This incident is also recorded in the Shuo yuan, 5:3b-4a; and Chan-kuo ts'e, 22:2b.
18. Literally, the "hundred surnames"-members of the original nobility, as opposed to the serfs and mean people.
19. As scholars have long noted, this statement is problematic. If it really refers to the proponents of the "horizontal and vertical alliances," it is anachronistic because they did not appear for another fifty years (cf. Goodrich, "Biography," no
te 36, p. 224). This passage is frequently cited as evidence of the Wu-tzu's late composition.
20. Capital political offenses inevitably entangled entire families, with the most serious resulting in the extermination of all family members through the third degree of relationship. These policies reflected Chinese conceptions of the extended family and mutual responsibility.
21. Sun Pin-a descendant of Sun-tzu-was a famous strategist, military adviser, and the author of the recently discovered work, Military Methods. He suffered severe, mutilating punishment as the victim of an intrigue spawned by jealousy.
22. Cf. Goodrich, "Biography," pp. 203,214-217; Kuo Mo-jo, "Shu Wu Ch'i," pp. 511-515.
23. HFTCC, p. 214.
24. Ibid., p. 246.
25. Ibid., p. 246.
26. This phrase is not found in all the editions. The to-fu would be a member of the nobility who was holding a high government rank.
27. HFTCC, p. 171. There is a similar story about moving a post in LSCC, 25:15.
28. As discussed in note 7.
29. The mass mobilization of farmers to serve as combat infantrymen rather than simply as support troops meant their volitional consent had to be sought as well as coerced. They could easily flee to other states, most of which were beginning to welcome people to bring new lands under cultivation and increase the state's agricultural wealth.
30. Shuo yiian, 3:1.
31. LSCC, 11:15b-16a; repeated, with slight character variations, in LSCC, 20:30b-31a.
32. HFTCC, p. 67.
33. LSCC, 21:14b-15.
34. The clearest expression in the Tao Te Ching is found in Chapter 31: "Now weapons are inauspicious implements. There are things that abhor them." The first part is subsequently repeated. Please refer to the discussion in the introductory material for Sun-tzu's Art of War and also note the last passage of Questions and Replies. 35. Shuo yuan, 15:2.
36. The brush was already being used to write characters on bamboo and other wooden slips, whereas the knife was used to excise errors (by scraping them off).
37. Huai-nan tzu chu, Shih-chieh shu-chu, Taipei, 1969, p. 366.
38. For a general discussion of the limitations of chariots, please see the general introduction.
Notes to the Text
1. The chariots are so numerous that they even block the palace doors. An alternative reading would be that their doors as well as the hubs, are protected. The wheels were probably covered to prevent enemy soldiers from inserting a pole between the spokes or otherwise seizing them, whereas the hubs had to be protected from being forced off. Impressions of wooden chariots with such protective coverings have been discovered in recent tomb excavations. These measures indicate how vulnerable chariots were to infantrymen except on the most level ground, where their speed would exceed that of swift runners.
2. Another version of this passage, but with only three disharmonies, is found in TPYL, 272:2B.
3. The psychological and ritual importance of seeking the sanction of departed ancestors by formally announcing the planned commencement of military activities to them in the temple is reiterated in other military texts. Resorting to divination, however, is clearly opposed by some texts, and this passage seems to express the beliefs of a previous age, possibly suggesting an earlier date for the composition.
4. Confucius observed the importance and the role of shame in human behavior (Analects, 11:3, XIII:20, IV:22, and V. 25), and the Confucian school turned the development of a sense of shame into the foundation of the philosophy and psychology of the li-the forms of propriety-in such works as Li chi. The military strategists also seized on its catalytic power, playing on a man's fear of disgracing himself before his comrades. Wu-tzu clearly felt rewards and punishments alone would be inadequate to ensure the requisite battlefield performance. (For a discussion of the role of shame in the Greek phalanx, compare Chapter 10 in Victor Hanson, The Western Way of War, Alfred A. Knopf, New York, 1989.)
5. An alternative but nontraditional reading of the first sentence would be "Being victorious in battle is easy, but being victorious through defensive [nonaggressive] measures is difficult." Although the passage continues by focusing on the number of battles, thereby supporting the traditional interpretation, gaining the world through a single victory would be the conquest of Virtue over the unopposed. It could only be accomplished through preserving one's stance rather than by waging external, violent warfare.
6. Or possibly "warfare." However, from the view of the virtuous, fighting against a "contrary army" is still a righteous cause.
7. Not just a simple enumeration of men or a discrete population count but rather the classification and numbering of men according to their abilities, such as great strength or speed. Their selection and employment is discussed below and in the next chapter.
8. The famous Duke Huan was the first of the hegemons-strongmen who ruled under the guise of supporting the Chou.
9. The Six Secret Strategies, Chapter 53, "Hand-Picked Warriors," proposes similar measures to attain dramatic results.
10. This well-known passage is also found in the Han Fei-tzu, HFTCC, p. 360.
11. Hsun-tzu similarly characterized these states and summarized their military tactics in the "Discussion of the Military," Chapter 15. Cf. Wang Hsien-ch'ien, Hsiintzu chi-chieh, Shih-chieh shu-chu, Taipei, pp. 180-181.
12. Some commentators understand this to mean "they will not run off."
13. Some commentators suggest this means "light troops" rather than as translated. However, it seems clear that the manner of provocation is being described because the enemy is being slighted, treated "disdainfully." "Lightly advancing" is also parallel to "quickly retreating."
14. The identification of the "five weapons" varies. Fu (WT CCCY, note 46, p. 75) suggests they may have been the bow and arrow, halberd, spear, fighting staff, and the spear-tipped halberd. (The identification of the "fighting staff" is a matter of some disagreement. According to the Chou li, it was a composite weapon made from bamboo and was octagonal in shape. However, this probably represents a later [Han dynasty] idealization because examples found in tombs are round and formed from a single wood.) For a detailed discussion, consult Hayashi Minao's extensive work, Chugoku In-Sha jidai no buki, Kyoto Daigaku Jimbun Kagaku Kenkyusho, Kyoto, 1972, pp. 237-241. Other lists include both offensive and defensive implements; the Huai-nan tzu mentions the knife (or dagger), sword, spear, spear-tipped halberd, and arrows. In the earliest periods the halberd and ax figured most prominently.
15. This and the following paragraph suggest an age when divination still had believers, but the rationality of military strategy should dominate battlefield decisions.
16. This sentence is somewhat problematic. It may also mean "They have arisen early and are still on the march late." Similarly, they may be deliberately breaking the ice to ford rivers or perhaps to use boats on a lake, as translated, or they may unwit tingly be breaking through the ice as they attempt to cross. The former seems more likely, given the apparently severe conditions of wind and cold.
17. Similar material is also found in the Six Secret Teachings.
18. Also found in the TPYL, 313:6.
19. Literally, "governing" or "administering"-here translated as "control" because for Wu-tzu it subsumes all aspects of organization, discipline, and training.
20. The troops and their commander (and ruler) are characterized by a relationship similar to the idealized one between father and son: it is characterized by benevolence, righteousness, beneficence, good faith, and love from the parent with the reciprocal virtues of trust, love, respect, and obedience from the son.
21. This passage, which closely echoes one in Sun-tzu's Chapter 6, "Vacuity and Substance," is evidently misplaced here.
22. Cf. TPYL, 297:4A.
23. Passages such as these are cited as evidence that the Wu-tzu must be a spurious work because cavalry-to the best of available evidence-had not yet been introduced in Wu Ch'i's era. However, cavalry tactics are not dis
cussed, only the use of horses for riding. As already noted, Wu Ch'i's biography preserves his reputation for walking rather than riding when the men are weary, providing further evidence that riding existed at the start of the fourth century.
24. Cf. TPYL, 270:8.
25. The character used is "to divine," but the subsequent discussion focuses solely on the rational evaluation of character and ability.
26. The use of pipes and whistles at night is cited by T'ao Nai as evidence that the text must have been composed in the Six Dynasties period because military music did not include this use until after the Wei-Chin period (Ch'U Wan-li, Hsien-Ch'in wenshih tzu-liao k'ao-pien, Lien-ching, Taipei, 1983, p. 480). This of course presumes their function was identical, rather than simply sounding as signals, and that someone revising an earlier text did not simply fill out a phrase to reflect contemporary practice. (However, note that Li and Wang deny the validity of this claim, asserting that evidence exists that these instruments were used in such fashion much earlier. See note 4 above to the introductory section and the citations contained therein.)
The Seven Military Classics of Ancient China Page 60
