'Promoting Action in Warring States Political Philosophy: A First Look at the Chu Manuscript Cao Mie's Battle Array' Early China 37 (2014): 259-289.

'Promoting Action in Warring States Political Philosophy: A First Look at the Chu Manuscript Cao Mie's Battle Array' Early China 37 (2014): 259-289.
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  PROMOTING ACTION IN WARRING STATESPOLITICAL PHILOSOPHY: A FIRST LOOK AT THECHU MANUSCRIPT  CAO MIE ’ S BATTLE ARRAYS Ernest Caldwell* Abstract Recent excavations of Chinese bamboo manuscripts have so faryielded a wealth of information about classical philosophicaldebates, but conspicuously absent have been contemporary manu-script copies of texts on the most prevalent socio-political issue of theaptly named Warring States Period, namely warfare. Recently,however, the Shanghai Museum began publishing several WarringStates bamboo manuscripts from the kingdom of Chu, which itacquired in   . Among them is the manuscript of a previouslyunknown Warring States text titled  Cao Mie ’ s Battle Arrays . Througha lengthy dialogue between Duke Zhuang of Lu and his advisor CaoMie, this manuscript offers new insight into statecraft methodsdesigned to ensure the viability of a small kingdom surrounded bylarger bellicose neighbors. While many contemporary philosophicalschools considered the welfare of a kingdom or army to be linked tothe power of both virtue and the will of Heaven, Cao Mie gives prece-dence to the real-world efficacy of the ruler ’ s actions and the subse-quent response of the populace and soldiers. In this paper I offer anintroductory codicological analysis of the manuscript, followed by astudy of Cao Mie ’ s central theme of personal action —  which requiresthe ruler to be a visible, decisive, and active participant in handlingmundane affairs of the kingdom and in commanding the military. Introduction In recent years, the discovery and subsequent publication of numerousWarring States Period manuscripts 戰 國 (c.   –   B . C . E .) has signifi-cantly added to the corpus of materials available for the study of the * Ernest Caldwell, 康 佩 理 , Lecturer in Chinese Law at the School of Oriental andAfrican Studies (School of Law), University of London; email: ec  author would like to thank Sarah Allan, Chen Jian, David Graff, Eric Hutton,Donald Harper, Leigh Jenco, Li Ling, Michael Nylan, Yuri Pines, EdwardShaughnessy, Robin Yates and the two  Early China  reviewers for all their helpful com-ments on earlier drafts of this article. Early China  (2014) vol 37 pp 259 – 289doi:10.1017/eac.2013.4 First published online 11 June 2014© The Society for the Study of Early China and Cambridge University Press 2014  intellectualandsocialhistoryofthisera. 1 Thetext ofmanyofthese  ‘ new ’ manuscripts correspond to the contents of several received texts pur-portedly composed during the pre-Qin era, for which Song dynasty 宋 (  –   C . E .) woodblock print editions previously represented theearliest extant copies available for study. These discoveries have stimu-lated numerous debates not only over the relationship between thesenewly acquired manuscripts and the corpus of received texts, but alsoover the development of early Chinese intellectual traditions.Surprisingly few of these remarkable finds, however, have yielded con-temporary copies of Warring States Period manuscripts treating one of the most prevalent topics of the era, namely warfare. 2 This changed in   when the Shanghai Museum purchased a large collection of Warring States period bamboo manuscripts on the Hong Kong anti-quities market. 3 Among the many texts in the collection was a here-tofore unknown treatise, self-titled  Cao Mie ’ s Battle Arrays  曹 蔑 之 陳 . 4  . Unless otherwise mentioned, all dates in this Article are  B . C . E .  . This is not to say that manuscripts bearing military texts have not been previous-ly discovered in China. The truly remarkable find of a tomb at Yinque shan 銀 雀 山 yielded Han dynasty manuscript editions of the  Sunzi bingfa 孫子 兵 法 ,  Wei liao zi 尉 繚 子 ,  Liu Tao 六 韜 , and the long lost  Sun Bin bingfa 孫 臏 兵 法 . For an overview of thediscovery of these texts and some initial observations see Luo Fuyi,  “ Linyi Hanjiangaishu ”  臨 沂 漢 簡 概 述 ,  Wenwu   .  ,   –  ,   –  ,   –  ; Xu Di,  “ Luetan LinyiYinque shan Han mu chutu de bingshu canjian ”  略 談 臨 沂 銀 雀 山 漢 墓 出 土 的 兵 書 殘 簡 ,  Wenwu   .  ; and Yinqueshan Han mu zhujian zhengli xiaozu, ed.  Yinqueshan Han mu zhujian  銀 雀 山 漢 墓 竹 簡  (Beijing: Wenwu,   ). More recently, in   .,another military text, the  He Lü 闔閭 , was discovered in a Han dynasty tomb no.   at Zhangjiashan  張 家 山 , Hubei  湖 北 . See Zhangjiashan    hao Han mu zhujianzhengli xiaozu, ed.  Zhangjiashan Hanmu zhujian  張 家 山 漢 墓 竹 簡  (Beijing: Wenwu,  ).  . Because the manuscripts in the Shanghai collection were purchased on the HongKong antiquities market, there was little physical evidence to date the manuscriptsother than calligraphic similarity to other Warring States manuscripts with a knownprovenance. C-   dating of the Shanghai manuscripts resulted in a   ±   BP(  ±   B . C . E .) date for the manuscripts which makes them likely contemporaries of manuscripts discovered at sites such as Baoshan  包 山  and Guodian  郭 店 . See MaChengyuan 馬 承 源 ,  “ Ma Chengyuan xiansheng tan Shangbo jian ” 馬 承 源 先 生 談 上 博 簡  in  Shang boguan cang Zhanguo Chu zhushu yanjiu  上 海 博 物 館 藏 戰 國 楚 竹 書 研 究 ,ed. Liao Mingchun 廖 名 春 and Zhu Yuanqing 朱 淵 清 (Shanghai: Shanghai shudian,  ),   .  . Thetitleofthemanuscriptiswritteninblackinkonthebackofslip  .Citationstothis manuscript and all others in the Shanghai corpus are based on the slip numbersfound in  Shanghai bowuguan cang Zhanguo Chu zhushu  上 海 博 物 館 藏 戰 國 楚 竹 書 .   vols. (Shanghai: Shanghai guji chubanshe,   – ). Unless otherwise stated, all citationsof traditional Chinese works will be based on  Wen Yuan ge si ku quan shu 文 淵 閣 四 庫 全 書 (Taipei: Taiwan shangwu,   –  ) and citations to dynastic histories will followthe Zhonghua shuju 中 華 書 局 editions (Beijing: Zhonghua,   ). ERNEST CALDWELL 260  Currently, the oldest extant Chinese politico-military 5 manuscript, thetext records two separate conversations between Duke Zhuang of Lu 魯 莊 公  (r.   –  ) and Cao Mie  曹 蔑  on issues of statecraft andwarfare. 6 The topics covered range from methods for preservingharmony among the populace and selecting capable officials, to waysof regrouping after a defeat and capitalizing on the vulnerabilities of an enemy force. In these conversations Duke Zhuang is primarily inter-ested to learn of methods that could be used to protect the borders of thesmall kingdom of Lu from foreign incursion by its larger neighbors,while still projecting some show of political and military power. Anovert emphasis on defining the attributes of a good leader permeatesCao Mie ’ s responses. In each section, he analyzes the various types of actions that leaders (good and bad) often take, and then illustrates thepotential consequences of such actions. In so doing, he articulates atheory of action wherein the survival of a small kingdom is not necessar-ily connected to its military power or to its territorial range, but insteadis causally linked to the appropriateness of actions taken by a ruler.Remarkably, despite the fact that this is both the  ‘ newest ’  and earliestextant Chinese politico-military manuscript, after an initial flurry of arti-cles related to the paleography and arrangement of the manuscript, the  . Throughout this article I will refer to  Cao Mie ’ s Battle Arrays  as a politico-militarytexttoemphasizethefactthatitscontentsarenotsolelyrestrictedtodiscussionsofstra-tegic or tactical issues, but also include extensive analysis of issues related to domesticpolicies and other internal dimensions of statecraft. In fact, many other  ‘ military ’  textswithin the traditional received military canon, such as the  Sunzi bingfa  and  Wuzi 吳 子 ,could also be labeled politico-military texts. Li Xunxiang argues that such phenomenaare not surprising considering the fact that many military leaders in pre-Qin Chinawere not only generals, but also served as policy advisors to the government. See LiXunxiang 李 訓詳 ,  Xian Qin de bingjia 先 秦 的 兵 家 (Taipei: Guoli Taiwan daxue,   ),  –  .  . The name Cao Mie 曹 蔑 refers to a historical figure known in the received litera-ture by the names Cao Gui 曹 劌 , Cao Hui 曹 翽 , Cao Mo 曹 沫 , or Cao Mei 曹昧 . Anexamination of the Old Chinese reconstructions for these words reveals the potentialfor phonetic loaning, for example — 劌 gui<* kwats, 翽 hui<* hwâts, 蔑 mie<*mêt, 昧 mei<*mats, 沫 mo<*mât. Most scholars, including the modern editor of the manu-script, choose to  read  the graph [ 蔑 ] as  mo  [ 沫 ]; however the use of [ 沫 ] as Cao Mie ’ spersonal name occurs only in Han dynasty texts, and therefore, seems to represent alater orthography. As such, I choose to retain the integrity of the manuscript orthog-raphy and use the srcinal 蔑 graph as the personal name. For more on the textual con-nection between Cao Gui, Cao Hui, Cao Mo, and Cao Mei, see Li Ling,  “ Wei shenmashuo CaoGui heCao Mo shi tong yi ren ” 為 甚 麽 說 曹 劌 和 曹 沫 是 同 一 人 ,  Du shu   .  ,  –  . All phonological reconstructions of Old Chinese will be based on AxelSchuessler ’ s  Minimal Old Chinese . See Axel Schuessler,  Minimal Old Chinese and Later Han Chinese [:] A Companion to Grammata Serica Recensa  (Honolulu: University of Hawai ’ i Press,   ). PROMOTING ACTION IN WARRING STATES POLITICAL PHILOSOPHY  261  text has been largely neglected. Few attempts have been made to fullyanalyze its contents or compare it to other pre-Qin texts. 7 Such neglectmay be, in part, due to Li Ling ’ s 李 零 classification of this manuscriptas a  ‘ military ’  text ( bingshu 兵 書 ). 8 In his study of the text, Li Ling deter-mined that the textual content could be divided into two main parts based upon the two different conversations recorded. The initial conver-sation pertains to issues of statecraft and good governance, while themuch longer second section pertains to military affairs. His initial ana-lysis emphasizes the military portions of the text at the expense of those portions on statecraft, and may have, along with the military con-notations of the title of the manuscript, discouraged some authors fromengaging the text with the same zeal as other manuscripts. Indeed,research on excavated manuscripts has focused greater attention onthose manuscripts containing textual content similar to traditional ‘ schools ’  of thought such as Daoism and Confucianism. Comparativelyless attention has been paid to those manuscripts dealing with adminis-trative, legal, occult, or military matters. These latter manuscript genresare certainly replete with specialized interpretive problems, such asobscure and at times indecipherable terminology and grammar as wellas complex layout and design. Yet, I believe the potential insight intoearly Chinese intellectual life to be gained by trying to answer such pro- blems makes these texts deserving of study.In this article, I clear preliminary ground to bring  Cao Mie ’ s Battle Arrays  into modern intellectual debates concerning both excavatedChinese manuscripts and Warring States intellectual history. To dothis, I first briefly introduce the manuscript, focusing on various paleo-graphic and codicological issues. I then offer an overview of the individ-ual sections of the text. Finally, through an analysis of the text ’ s centraltheme of proper action, I show that the contents of the manuscriptcontain a wealth of information capable of broadening our understand-ing of the development of early Chinese theories of statecraft. The Manuscript According to the initial study of the manuscript, found in volume    of the Shanghai Chu manuscript series, it consists of     bamboo slips — including    unbroken slips,    rejoined slips, and    un-rejoined  . The one exception would be the initial study by Asano Yu   ̄ ichi  淺 野 裕 一 , “ << ’ Cao Mo zhi chen>> ’  de bingxue sixiang ”  《 曹 沫 之 陳 》 的 兵 學 思想 , BSM(  ), accessed October   ,   .  . See Ma Chengyuan 馬 承 源 , ed.  Shanghai bowuguan cang Zhanguo Chu zhushu (si) 上 海 博 物 館 藏 戰 國 楚 竹 書 ( 四 ) (Shanghai: Shanghai guji,   ),   –  . ERNEST CALDWELL 262  fragments — making it one of the longest excavated texts to date. 9 The bamboo slips average   .   cm in length and   .   cm in width. Theywere srcinally bound together by three binding cords, likely made of hemp or silk, which have since deteriorated. Each complete slip typical-ly contains between   –   graphs written in black ink in a calligraphicstyle similar to that found on Warring States Period Chu manuscriptsdiscovered at archaeological sites such as Baoshan 包 山 and Guodian 郭 店 . 10 Due to the remarkable preservation of the manuscript and thequality of the calligraphy, we are able to distinguish a total of    ,   indi-vidual graphs. 11 In addition to these graphs the manuscript containsseveral  “ diacritics ”  ( biaodian fuhao 標 點 符 號 ) dispersed throughout thetext, also in black ink, which may serve as a range of possible readingaids, from marking a change in speaker to noting the duplication of agraph. 12 At some point in time the majority of the slips were broken inhalf about one graph length below the central binding marker. Thus,the deterioration of the binding cords and this large break running thefull length of the manuscript left the modern editor with an immensetask of rejoining the broken slips and then reordering the entire manu-script. 13 Li Ling, perhaps the foremost expert on Chinese military texts,  . The introduction and annotation accompanying this publication are somewhatmisleading, in that most of the    slips which Li Ling refers to as  ‘ complete ’  (  zheng jian 整 簡 ) are in fact broken slips that have been rejoined. The numbers given abovereflect the proper number of complete/unbroken and rejoined slips as given byChen Jian  陳 劍 . See Ma Chengyuan,  Shanghai bowuguan cang Zhanguo Chu zhushu(si) ; Chen Jian,  “ Shanghai zhushu <Cao Mo zhi Chen> xinbian shiwen (gao) ” 上 海 竹 書 《 曹 沫 之 陳 》 新 編 釋 文 , (  /  /chenjian  .htm), accessedOctober   ,   .  . See Hubei sheng Jing-Sha tielu kaogu du, ed.,  Baoshan Chu jian  包 山 楚 簡 .(Beijing: Wenwu,   ) and Jingmen shi bowuguan, ed.,  Guodian Chu mu zhujian 郭 店 楚 墓 竹 簡 . (Beijing: Wenwu,   ).  . Ifoneweretoaccountalsoforthemissingsegmentsofsurvivingfragments,thisnumber could possibly be increased to roughly   ,   graphs.  . This manuscript contains two types of diacritic marker, the graph duplicationmarker  “ = ”  and the  “ L ” -shaped marker. The latter is fairly consistently used through-out the manuscript to signify either the conclusion of a topic of discussion, or to indi-cate a shift in speaker during a dialogue. For more on the various types of ancientdiacritics used in excavated manuscripts, see Gao Dalun 高 大 倫 ,  “ Shi jiandu wenzizhong de jizhong fuhao ” 釋 簡 牘 文 字 的 幾 種 符 號 , in  Qin Han jian du lun wen ji 漢 簡 牘 論 文 集 , ed. Gansu Sheng wenwu kaogu yan jiu suo  甘 肃 省 文 物 考 古 研 究 所 .(Lanzhou: Gansu ren min,   ),   –  ; Guan Xihua 管 錫 華 ,  Zhongguo gu dai biaodian fu hao fa zhan shi 中 國 古 代 標 點 符 號 發 展 史 (Chengdu: Ba-Shu,   ).  . Relatively little is published regarding the physical condition of the Shanghaicorpus when the bamboo slips arrived at the Shanghai Museum, so it is difficult toassess when, where, and why so many slips of this manuscript were damaged inthis particular pattern. PROMOTING ACTION IN WARRING STATES POLITICAL PHILOSOPHY  263
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