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ОглавлениеThe Art of War
1: Planning
Sun Tzu wrote:
The art of war is vitally important to the interests and existence of the State. In fact, it is the very basis of life and death and the way to survival or extinction. For these reasons, is necessary to comprehensively analyze and consider it.
Key Factors
To this end, the art of war should be evaluated and structured in terms of the following five factors:
1. Legal and moral standards (according to the Tao)
The ruler’s subjects should follow his authority, by which they willingly live and die for him without fear.
2. Nature (weather and related conditions)
Heaven and Earth contain yin and yang such as night and day, hot and cold, and seasonal variations.
3. Earth (terrain)
Terrain refers to near and far, hard and easy, and various shades of safe and unsafe.
4. Leadership
A good general (leader) possesses the qualities of wisdom, credibility, consideration, courage and discipline.
5. Organization and discipline
Organization and discipline are essential elements in leading people and managing logistics.
Every general (leader) should be familiar with these basic elements. Those who are will be successful; those who aren’t are destined to fail.
Comparisons
When seeking to determine military conditions, use the following issues as your basis of comparison:
1. Which of the two rulers (ours or theirs) best complies with legal and moral standards?
2. Which leader appears to be more capable?
3. Which group holds the greatest advantages in natural conditions and terrain?
4. Which side is better disciplined?
5. Whose resources are stronger?
6. Which side is better trained?
7. Which side is more consistent and fair in giving out rewards and punishment?
This evaluation will enable me to predict victory or defeat. The general who follows and acts upon this advice will win and should be kept in charge. The one who neither pays attention to my counsel nor acts upon it will lose, for which reason you should replace him.
Taking all of this into consideration, seek any additional advantages that may be available. Mold your tactics to the existing external factors and follow a flexible strategy that compensates for any tactical imbalances.
Deception
Sun Tzu tells us here (and continuously throughout The Art of War) that warfare is based upon deception. Thus he advises us to appear (to the enemy) weak when we are strongest and:
1. Pretend to be resting while you advance;
2. When you are far away, create the appearance of being near, and when you’re close, feign being far;
3. Use bait (e.g., the illusion of a weakness) to tempt the opposition;
4. Confuse the enemy with false signs and information;
5. Prepare for a substantial enemy but avoid them if they are very strong;
6. If they appear flustered or anger, try to irritate them;
7. If they’re resting, force them to use their energy;
8. If they are cohesive, introduce conflict into their midst;
9. Attach where they are least prepared;
10. Move forward when they don’t expect it.
These are the strategies that lead to success. They should not be divulged in advance even to your own side, and must be designed as opportunities present themselves.
The general who wins a battle will have meticulously calculated his plans beforehand. Thorough preparations promote victory, whereas indifferent calculations increase the likelihood of defeat.
2: Waging War
Sun Tzu wrote:
In order to field a thousand swift chariots, an equal number of heavy chariots, and a hundred thousand mail-clad soldiers, with enough armor and other items (such as glue and paint) to carry them a thousand li1, the total expenditure will amount to a thousand ounces of silver per day.
Seek a Timely Victory
“I have heard of awkward haste, but have never observed skill in overlong campaigns.”—Sun Tzu
When you engage such a large force in battle, a prolonged campaign will dull their weapons, dampen their enthusiasm and deplete your funds. If you attack cities, the men’s strength will be exhausted. Then the enemy will rise to take advantage of your weakened forces, and even the wisest leader will be unable to control the consequences. Only those who are well acquainted with the dangers inherent in employing a major force are capable of truly understanding how to engage a military action to advantage.
Provisions
A skillful leader does not conscript the same people more than once or transport provisions more than twice. At first, bring your equipment from home, and then forage upon the enemy. This should be enough to feed your army. Continuing to transport food and other provisions from home will impoverish the state.
Those who are in close proximity to the army will raise their prices, causing the people’s substance to be drained away. This further leads to strains upon the rich (who are supporting the army) and the poor, who will not be able to afford adequate food and living necessities. The expenses of the rich will amount to seven-tenths of their wealth, and the ruler’s unrecoverable expenses for ruined chariots, broken-down horses, damaged breast-plates, helmets, bows and arrows, spears and protective shields, sturdy oxen and heavy wagons, will expend six-tenths of his total resources.
Thus the wise general will forage on the enemy. A single bushel of the enemy’s food is worth twenty of his own, and the same applies to a picul2 of fodder.
Motivation
Anger is what motivates soldiers to slay the enemy, and material rewards encourage them to seize the enemy’s property. In a fight where ten or more chariots have been captured, give a reward to the first man who captured one. Then remove the enemy’s flags and insignias from the captured chariots, replace them with your own, and use them alongside ours.
Treat the captured soldiers well, and reorient those you can to fight on your side. This is known as conquering the enemy to strengthen your own side.
To summarize, focus your objective on victory, not a prolonged siege. The general who understands warfare is thus the master of the people’s fate, and is responsible for the safety or endangerment of the nation.
3: Attack Strategically
Sun Tzu wrote:
Overall, the best way to defeat your enemy is to take their state undamaged. This is highly preferable to destroying it. It follows that capturing their forces is better than annihilating them, all the way from the entire army down to its battalions, companies and squads.
Thus winning a hundred victories is not the height of excellence; breaking their resistance without fighting is the true height of excellence.
Strategy
The most efficient and effective warfare policy is to neutralize the enemy’s plans; next to block their alliances; then to attack their army; and last (worst) to siege their fortified cities.
As a rule, attacking fortified cities should be avoided whenever possible and undertaken only as a last resort. Building massive protective shields capable of being moved forward, not to mention armored assault vehicles and a host of additional materials, will take three whole months; and building mounds of earth against the walls will take another three months to finish.
Meanwhile, the general may not be able to control his impatience and may launch his men into the assault like swarming ants. In such a case he will lose one-third of his force, and the city will remain untaken. Such are the disastrous effects of a siege.
The skillful leader subdues the enemy’s troops without fighting; he captures their cities without laying siege to them, and overthrows their realms without a prolonged battle. His objective is to exercise his mastery while preserving his forces intact, leaving his weapons sharp and enabling him to preserve his military gains. Such is the strategy of a successful campaign.
Following the Odds
In most cases, the best strategy for deploying troops is the following:
1. If your strength equates to ten to the enemy’s one, surround them;
2. If five to one, attack them;
3. If two to one, divide your army into two separate forces;
4. If your strength is equal to theirs, attack when other circumstances favor you;
5. If you are slightly inferior in numbers, protect yourself and seek to circumvent the enemy;
6. If you are overmatched, avoid them.
Although a small force may fight well, a lack of flexibility will result in its being captured by the larger force.
The Wrong Stuff
The general is the pillar of the state. If he is strong and competent in all regards, the state will be likewise strong; if the pillar is defective, the state will weaken. Either way, the ruler of the state can create difficulties for the military in three specific manners:
1. By commanding the army to advance or retreat without understanding their position and circumstances. This is called hobbling the army.
2. By attempting to govern an army in the same way as he administers a kingdom, with no knowledge of the conditions that affect the army. This confuses and unsettles the officers.
3. By issuing commands to the army despite ignorance of military principles and tactical circumstances. This makes the officers doubtful.
Confusion and doubt are destined to invite trouble from neighboring rulers. Such anarchy will open the door to an opponent’s victory.
The Right Stuff
These five essential factors will assure victory to the side whose general:
1. knows when to fight and when not to fight;
2. knows how to deploy both superior and inferior forces;
3. whose army is animated by the same spirit throughout all its ranks;
4. has prepared himself and waits to take the enemy unprepared;
5. is capable and is not interfered with by the ruler.
Thus it is said that if you know:
1. The enemy and yourself, you need not fear the result of a hundred battles;
2. Yourself but not the enemy, for every victory you will also suffer a defeat;
3. Neither the enemy nor yourself, you will be defeated in every battle.
4: Military Disposition
Sun Tzu wrote:
In ancient times, the skilled warriors protected themselves—indeed, made themselves invulnerable—while awaiting an opportunity to defeat the enemy.
Securing yourself against defeat lies in your own hands; the opportunity to defeat the enemy is provided by the enemy himself. Thus the able fighter can secure himself against defeat, but cannot be certain of defeating the enemy.
Hence the saying: You may know how to conquer the enemy, but the time may not be ripe to implement your plan.
Defense/Offense
If conditions do not favor an attack, you must set up your defense; when you can defeat the enemy, then go on the offensive. A defensive posture implies insufficient strength; attacking suggests abundant strength.
The general who is skilled in defense hides in the most secret recesses of the earth; he who is skilled in attack strikes forth from the upper heights of heaven. Thus on the one hand they protect themselves, and on the other, achieve a complete victory.
Excellence
To view a victory only when it lies within the image of the masses is not the height of excellence. Nor is a victory for which the entire empire expresses its admiration and approval.
Similarly, lifting an autumn hair is hardly a sign of great strength; observing sun and moon no sign of sharp vision; and hearing the clash of thunder no sign of acute hearing. When the ancients called a fighter clever, he not only won, but did so with ease because he only conquered opponents who were easy to defeat.
For this reason, his victories did not cause celebration of his reputation for wisdom or courage. He won his battles by making no mistakes, for avoiding errors is what establishes the certainty of victory. This means conquering an opponent who is already defeated.
In other words, one who excels at warfare first establishes a position from which he cannot be defeated and does not miss an opportunity to defeat the enemy. In this sense, the winning strategist seeks battle only after establishing the conditions for victory, whereas the losing army fights first, before seeking to assure success.
A leader of excellence cultivates the Law (Tao) and strictly adheres to method and discipline; thus it is in his power to control success.
Method
Military methodology consists of:
1. Measurement of terrain (derived from space);
2. Estimation of forces (derived from measurement of terrain);
3. Calculation of manpower (derived from estimation of forces);
4. Balancing of strength (derived from calculation of manpower); and
5. Victory, (derived from all of the above).
Thus the victorious army is like a ton measured against an ounce, whereas the defeated force is like the ounce that is overwhelmed by the ton. And so the conquering force resembles the bursting of a mountain of restrained water into a thousand-fathom valley.
5: Energy
Sun Tzu wrote:
Commanding a large force is basically the same as commanding but a few. It is merely a matter of configuration, assignment and signals.
Direct (Orthodox) and Indirect (Unorthodox)
The way to ensure that your entire army can withstand the brunt of the enemy’s attack unbeaten is through unorthodox and orthodox maneuvers.
Attacking the enemy like a grindstone wedged into an egg is an example of strong against weak, substantial vs. vacuous.
The usual way to engage a battle is by direct attack, although indirect tactics will also be needed in order to win. The resources of a commander gifted in applying the indirect are as infinite as Heaven and Earth and unlimited as the flowing rivers. Similar to the movement of the moon and sun, they end and then begin again, reborn like the four seasons.
The basic sounds number no more than five, and yet their combinations can produce more music than can ever be heard. Likewise, there are only five primary colors (blue, yellow, red, white, and black), but their blends create more hues than can be seen. And there are but five cardinal tastes (sour, acrid, salt, sweet, bitter), whose mixtures yield more flavors than can be tasted.
In battle, there are only two methods of attack: direct and indirect; yet in combination they enable an inexhaustible series of maneuvers. Direct and indirect flow in harmony within an endless cycle. Who could exhaust the possibilities of their union?
Force and Timing
The configuration of force (or power) is like a torrent of water pushing stones along its course.
The quality of timing (constraint) is reflected by the well-timed swoop of a falcon, which enables it to strike and overwhelm its prey. Therefore the good fighter will be focused in his attack and constrained in his timing. This configuration can be compared to releasing the trigger of a drawn crossbow.
The appearance of disorder may be simulated where there is really no disorder. In the midst of battle, your forces may appear confused and yet remain impregnable to defeat. As simulated chaos derives from control, so is (pretended) fear from courage and (feigned) weakness from strength. Order and disorder are based on numbers; courage and fear depend upon the configuration of force; and strength and weakness rely upon deployment.
Thus one who is skilled at keeping the enemy on the move forces the enemy to react to the impressions he creates. He offers something (perhaps a chariot or a few horses) that the enemy is compelled to take, keeps them moving, and then sets up an ambush.
The clever warrior relies upon the strategic effect of force without relying on his troops. This enables him to select the right men and to apply his strategy.
He utilizes strategic force to command his men like rolling logs or stones downhill. Note that wood and stone are motionless when stable, but capable of movement on a slope. Depending on their shape, it is the nature of a log or stone to remain motionless on level ground and to move when on a slope. Square-shaped forms will stop, but round ones are capable of rolling.
Thus the strategic force of a good leader is like rolling rounded boulders down a tall mountain slope. Such is the strategic configuration of force.
6: Weakness and Strength
Sun Tzu wrote:
In most cases, the one who occupies the field first and awaits the enemy will be prepared for battle; he who arrives later and must rush to get there will arrive exhausted. Thus does the one who is skilled at warfare impose his will upon the enemy without allowing the enemy’s will to be imposed on him.
Offer the enemy the appearance of some benefit to entice him to approach of his own accord; or inflict damage to prevent the enemy to from approaching.
In this manner you can tire a rested enemy, hunger him when he is well-provisioned, or force him to move when he is at rest. Take positions to which the enemy must rush to defend, and move swiftly to places where he does not expect you.
You can march a thousand li3 through unoccupied terrain without getting tired. To assure success, attack only positions that are undefended; to make certain your defense, secure positions that the enemy cannot attack.
Deception
Thus the skillful general attacks in such a manner that his opponent knows not where to defend; and defends in a manner that his opponent knows not where to attack. The arts of subtlety and secrecy allow us to become unseen and unheard; thus can we grasp the enemy’s fate within our hands.
You may advance without resistance if you attack the enemy’s weaknesses; and you can withdraw safely from pursuit if you move more quickly than the enemy. So if I choose to fight even an enemy protected behind high ramparts and deep moats, he is forced to fight because I attack targets he must save.
If I do not wish to fight, even if the lines of our encampment are only traced out on the ground, I can prevent the enemy from attacking. All I need to do is to divert his direction and confuse his movements.
Thus I learn the enemy’s distribution of forces while disguising my own, enabling me to concentrate my forces where the enemy is divided. I can form a single force to attack his separated forces; if he is divided into ten groups, I attack with ten times his strength. Thus we are many where he is few. And if I am able thus to attack his small force with a superior one, he will be in dire straits.
The place where we plan to engage the enemy must not be made known. This way he must prepare to defend against a possible attack at several different points; with his forces thus distributed in several directions, the forces we will face at any given point will be proportionately few.
If the enemy strengthens his front, he will weaken his rear; should he strengthen his rear, he weakens his front; if he fortifies his left, he weakens his right; and if he defends his right, he weakens the left. If he sends his men everywhere, then every side will be weak.
Numbers
Numerical weakness comes from having to prepare against possible attacks; numerical strength, from compelling our adversary to make these preparations against us.
It follows that knowing the place and the time of the coming battle enables one to cover a thousand li and concentrate to engage in battle. But if one knows neither the time nor place of battle, then the left flank will be unable to help the right, the right equally unable to support the left, the front unable to relieve the rear, nor the rear to support the front. How much more so when the most distant are separated by some tens of li and even the nearest by several li!
According to my estimate, the soldiers of Yueh exceed our own in number, but what advantage will that bring them in attaining victory? Thus I say that victory can be achieved. For although the enemy be stronger in numbers, we can prevent them from fighting.
Study the enemy to discover their plans and the likelihood of their success. Stimulate them to identify the pattern of their movement and inactivity. Force them to reveal themselves to uncover their vulnerabilities. Carefully compare their army with your own to learn where they are strong or weak.
The ultimate of military deployment is to conceal your troops without a visible form. This will keep even the most clever spy from observing and making plans against you.
Tactics
The manner of producing victory from the enemy’s own tactics, this is what the masses cannot understand. All men can see the tactics by which I conquer, but none can see the strategy from which my victory is gained.
Do not repeat the tactics which have gained a victory, but let your methods be influenced by the infinite variety of circumstances.
Now tactics are like water; for water’s natural course flows away from high places and rushes downward. Thus in war, the way is to avoid what is strong and to strike at what is weak. As water configures its course according to the terrain over which it flows, the army controls the course of victory in accordance with the opposition. Just as water keeps no constant shape, in warfare there are no constant conditions.
One who is able to modify his tactics in relation to his opponent, and thereby succeed in winning, is known as a spiritual leader.
So it is that no one of the five elements (water, fire, wood, metal, earth) will dominate; nor do the four seasons resist their transitions into one another. Days grow long and short, and the moon continues to wax and wane.
7: Maneuvering
Sun Tzu wrote:
In war, the general commonly receives his commands from the ruler. He begins by assembling the army and organizing the masses4, then goes on to confront the enemy and set up his forces. Next comes the most difficult step, that of tactical maneuvering, which is the process of turning the devious route into a direct path, and adversity into gain.
The art of deviation here is to entice the enemy (with the illusion of gain) into taking a long and circuitous route, so that even though starting after them, you manage to arrive before them. This maneuver is accomplished through the tactics of the circuitous and the direct.
Logistics
Combat with an army is advantageous; with undisciplined masses it is dangerous. If you march a fully equipped army ordered to seize an advantage, you will arrive too late. But if you send forth a smaller force, you will lose your baggage and equipment.
If you march a hundred li by setting aside your armor and rushing forward, day and night without stopping, advancing twice the usual distance at a stretch, covering a hundred li in order to gain an advantage, the leaders of all your (three) divisions will be captured: the stronger men will arrive first, the exhausted ones will fall behind, and only one in ten of your army will reach its destination.
If you march fifty li in order to outmaneuver the enemy, you will lose the leader of your first division, and only half your force will reach the goal.
If you march thirty li in the same manner, two-thirds of your army will arrive.
Clearly, an army without its baggage and heavy equipment is lost; without provisions it is lost; without supply stores it is lost.
Familiarity
We cannot enter into alliances until we are acquainted with the designs of our neighbors.
We cannot lead an army unless we are familiar with the lay of the land—its mountains and forests, its gorges and precipices, its marshes and swamps. We cannot turn profit from advantages of terrain without making use of local guides.
In war we need to practice deceit, advantageous maneuvers and flexibility. Your decision to concentrate or divide your troops must be decided by circumstances.
Let your speed be that of the wind, your order that of the forest; your raids and plundering like fire; your defense as immovable as a mountain. Let your plans be as dark and impenetrable as the night; your movement like a thunderbolt.
When you plunder, divide the wealth amongst your men; when you capture new territory, divide the profits among the soldiers.
When you move, control the strategic balance of power. He who first masters the tactics of the circuitous and the direct will win. Such is the art and strategy of military combat.
The Book of Army Management states:
On the field of battle, the spoken word does not carry far enough, for which reason gongs and drums were created. Nor can they clearly see one another, for which reason they made banners and flags. Gongs and drums, banners and flags are the means by which to focus men’s ears and eyes. In forming a single united body, brave men will not have to advance alone, nor will cowards be able to retreat alone. This is the art of handling large masses of men.
In night fighting, then, use signal fires and drums, and when fighting by day, use flags and banners to influence the ears and eyes of your army.
Mental Discipline
An entire army may be robbed of its spirit, the commander’s mind overtaken. The soldier’s spirit is strongest in the morning; by noon it has begun to weaken; and in the evening his mind turns toward returning to camp. A clever general therefore avoids an enemy whose spirit is strong, but instead attacks when the opposition is sluggish and longs to regain its campgrounds. This is the way to manipulate the enemy’s spirits.
Disciplined and calm, he awaits disorder amongst the enemy: this is how to remain self-possessed.
To be near while awaiting those who are distant; to be rested while awaiting the fatigued; to be well-fed while the enemy is hungry: this is how to manipulate strength.
To refrain from intercepting an enemy whose flags are in perfect order; to refrain from attacking a confident and well-ordered army: this is how to manipulate circumstances.
Military wisdom dictates against advancing uphill against the enemy, or to oppose him when he descends. Do not pursue an enemy who pretends to flee; do not attack animated and well-ordered troops; so do not swallow bait offered by the enemy; and do not interfere with an army that is returning home.
When you surround an army, always leave them a way out.
1. Do not press a desperate foe with too much force.
2. Such is the art of warfare.
8: Tactical Variations
Sun Tzu wrote:
Here is the normal procedure for conducting military matters: the general receives his commands from the ruler, unifies the army, and concentrates his forces.
His criteria is:
1. Do not encamp on dangerous (entrapping) terrain.
2. On terrain where major roads intersect, unite with your allies.
3. Do not linger on isolated terrain.
4. Use strategic planning for encircled terrain.
5. On fatal (desperate) terrain you must fight.
6. There are roads that must not be followed.
7. There are armies that must be not attacked
8. There are fortified cities that must not be sieged.
9. There is terrain that must not be contested.
10. There are commands from the ruler that must not be followed.
Thus the general who thoroughly understands the advantages of tactical variations knows how to use his troops. Whereas the general who does not understand these, even if familiar with the configuration of terrain, will not be able to profit from his knowledge.
It follows that one who is well-versed in the art of varying his plans, and is acquainted with the Five Advantages [but does not know the techniques of the nine changes5], will be unable to lead and control his men.
The wise leader calculates the sum of gain and loss. If he perceives an advantage in the midst of difficulty, or a potential downside within an apparent advantage, their judgment can be trusted.
To subdue the enemy (feudal lords), inflict damage on them, keep them constantly engaged by making trouble for them, and lure them here and there any number of imaginary profits.
The art of war teaches us to rely not on the enemy’s not coming, but on our readiness to meet him; not on the chance that he will not attack, but on the fact that we have made our position unassailable.
There are five dangerous (character) faults which may affect a general:
1. Recklessness, which leads to destruction;
2. Cowardice, which leads to capture;
3. A quick temper, which can be provoked by insults;
4. Obsession with honor, which is sensitive to shame;
5. Over-solicitude for his men, which exposes him to worry and trouble.
These are the five dangerous traits that can lead to disaster in a war. The destruction of an army and the leader’s death invariably stems from these faults, and so one must be wary of them.
9: On the March
Sun Tzu wrote:
We come now to the question of encamping the army, and observing signs of the enemy.
Terrain
To cross mountains, seek valleys facing the sun and pass quickly. Camp in high places. If the enemy is encamped in the heights, do not climb up to battle them. This is mountain warfare.
After crossing a river, move far away from it. If the enemy is crossing a river in your direction, do not attack them in mid-stream. First let half the army cross, then attack.
If you want to engage in battle, do not approach the enemy near a river which he has to cross. Rather, seek higher ground than that of the enemy facing the sun. Do not move against the current to meet the enemy. This is river warfare.
When crossing salt marshes and wetlands, focus on getting across as quickly as possible, and then moving away from them without lingering. If you must fight in a salt marsh, seek an area close to water and grass, with trees to your back. This is wetlands warfare.
On dry and level terrain, take an easily accessible position with elevated ground to your right and rear, so that the danger lies ahead and safety to the rear. This is flat terrain warfare.
These advantageous forms of military deployment enabled the Yellow Emperor to vanquish the four emperors.
Yin and Yang
All armies prefer high ground to low and sunny (yang) places to the dark (yin). Camp close to grass and water to avoid the hundred illnesses, and you will be assured of victory.
Where there are hills and embankments, occupy the sunny side with the slope to your right rear. This will benefit your soldiers and exploit the natural assistance of the ground.
When heavy rains occur upstream, foam appears upon the water. If you wish to cross the river, wait until it subsides.
Move quickly away from terrain with such deadly configurations as precipitous cliffs separated by swift torrents, deep gorges, confined areas, tangled thickets, quagmires and crevasses. These should not be approached.
By avoiding such places, we may cause the enemy to approach them. Thus when we face the enemy, these terrains will be at his rear.
Signs
If within the neighborhood of your camp there are any hills, wetlands with tall reeds and grass, forests with thick undergrowth, you should carefully search them, for these are places where ambushes and spies may be hiding.
1. If an enemy is nearby and remains quiet, he is relying on the natural strength of his position.
2. If he stays away and tries to provoke you into battle, he wants you to advance because he holds an advantage of terrain.
3. If his position offers easy access, he is tendering a bait. Movement in the trees shows that the enemy is advancing. The appearance of obstacles in the thick grass means that the enemy wants to make us suspicious. If birds take flight, the enemy is setting an ambush. If the animals display fear, a sudden attack is on the way.
4. When dust rises in a high column, chariots are advancing; when the dust is low and spread over a wide area, the infantry approaches. If the dust branches out in different directions, they have gone to gather firewood. Smaller clouds of dust that come and go are signs that the enemy’s army is encamping.
5. They who speak softly but increase their preparations are about to advance. They who speak with belligerence while advancing quickly will retreat.
6. When their light chariots deploy to the sides, they are preparing for battle.
7. When they offer proposals without prior conditions, expect a devious plot.
8. When there is much running about and the soldiers are formed into rank, the critical moment has come.
9. When some enemy forces are seen advancing and some retreating, it is a lure.
10. If they stand about leaning on their spears, they are hungry.
11. If those who draw water are the first to drink, then they are thirsty.
12. If they see an advantage to be gained and make no effort to secure it, they are exhausted.
13. Wherever birds may gather is an empty place.
14. If the enemy cries out at night, they are afraid.
15. If there is a disturbance in the camp, their leader is weak.
16. If their flags and pennants are moved at random, they are confused.
17. If the officers are angry, then the men are weary.
18. If they kill their horses for food, they lack grain.
19. If they hang up their cooking-pots over the campfires and do not return to camp, it means that they are desperate and determined to fight to the death.
20. When the men whisper together in small groups, the leader has lost the masses.
21. When he rewards his men too frequently, the enemy is at the end of his resources; too many punishments betray a dire distress. When he begins with bluster and then becomes fearful, he shows a supreme lack of intelligence.
22. When envoys are sent with offerings, the enemy wishes for a truce.
23. If the enemy’s troops march up angrily and remain facing yours for a prolonged time without either joining battle or taking themselves off again, you should investigate the reason very carefully.
Leadership
Even if your troops are numbered no more than the enemy’s, that is sufficient, for he cannot advance. It is enough to concentrate your available strength, keep a close watch on the enemy, and wait for the right moment to attack.
Only if you exercise no forethought and underestimate your opponent are you likely to be captured by them.
If you punish soldiers before they have grown attached to you, they will not be submissive; in this case, they will be difficult to assign. If you fail to enforce punishments after the soldiers have become attached to you, they will still be useless.
Therefore, soldiers must be treated first with humanity, but kept under control with iron discipline. This is a certain road to victory.
If commands are consistently enforced, the army will be well-disciplined; if not, its discipline will be poor.
A general who shows confidence in his men but always insists on his orders being obeyed will establish an advantageous mutual relationship.
10: Terrain
Sun Tzu wrote:
Different Terrains
There are six major kinds (configurations) of terrain:
1. Accessible: This is terrain into which our forces and those of the enemy can both advance. We occupy the high ground and sunny side, and maintain our supply routes in order to battle with advantage.
2. Entangled: This is terrain that is easy to enter but from which it will be difficult to withdraw. If the enemy is unprepared here, we may be able to go forth and defeat them. But if the enemy is prepared and you advance without winning, we will be unable to withdraw and may suffer disadvantages.
3. Temporizing: This is terrain where it is disadvantageous for us or the enemy to advance. So even if the enemy tries to bait us with the appearance of some sort of gain, instead of advancing we retreat. If part of their army comes forth, we may strike at them with advantage.
4. Constricted: This is terrain with narrow passageways. If we occupy it before the enemy we must establish strongholds throughout to await them. If they occupy it before us and are thoroughly deployed, we will not follow them inside. But if the enemy positions are not well manned, we may follow them.
5. Precipitous: This is terrain where we need to occupy the sunlit heights to await the enemy. But if they occupy these positions first, withdraw and do not follow.
6. Distant: This is terrain that lies at a great distance from the enemy. Given equal strategic force, it will be difficult to provoke conflict or to gain an advantage.
Conditions for Failure
There are six conditions that can cause an army to fail. They arise not from natural causes (Heaven and Earth), but from the general’s mistakes.
1. Flight: All other conditions being equal, attacking a force ten times your size will result in flight.
2. Insubordination: If the soldiers are strong and their officers weak, this will result in their disobeying orders.
3. Collapse: If the officers are strong and their troops weak, this will result in their collapse.
4. Ruin: If the higher officers are angry and insubordinate, and engage the enemy out of resentment before the commander-in-chief has assessed their capability, the result is ruin.
5. Chaos: If the general is weak and lacks authority, unclear in his commands and leadership, fails to assign clear responsibilities to his officers and men, and deployment is handled in a haphazard manner, the result is utter chaos.
6. Rout: If a general, unable to estimate the enemy’s strength, allows a small force to engage a larger one, or launches a weak detachment against a powerful one, and neglects to place picked soldiers in the front rank, the result will be a rout.
These six ways of courting defeat6 must be carefully examined by the general in charge.
Generalship
The natural configurations of terrain are the soldier’s ally; ability to assess the adversary, control the forces of victory, and shrewdly calculate the difficulties, dangers and distances of terrain are the test of a great general.
The one who knows these things and applies them to battle will surely be victorious. The one who does not know or practice them will surely be defeated.
If victory is assured, you must engage even if the ruler has forbidden it; if victory is unlikely, you may avoid fighting even if the ruler has told you to engage.
So it is that the general who advances without seeking fame and retreats without fearing disgrace, whose only thought is to protect his country and do good service for his sovereign, is the jewel of the kingdom.
If you regard your soldiers as your children, they will follow you into the deepest valleys; look upon them as your own beloved sons, and they will stand by you even unto death.
If, however, you are indulgent but unable to exercise your authority; kind-hearted but unable to enforce your commands; and incapable of quelling disorder, then your soldiers are like spoiled children and are useless.
If you know that your own men are in a condition to attack, but are unaware that the enemy is not vulnerable to attack, you have gone only halfway to victory. If you know that the enemy is vulnerable to attack, but are unaware that your own men are unable to attack, you have gone only halfway towards victory.
If you know that the enemy is vulnerable to attack, and also know that your men are able to attack, but are unaware that the terrain is unsuitable for attack, you have still gone only halfway towards victory.
Thus the one who is experienced in these matters will never be bewildered when he goes forth, never at a loss when he initiates an action.
So it is said: If you know the enemy and know yourself, your victory will not be in doubt; if you know Heaven and Earth, your victory can be complete.
11: The Nine Varieties of Terrain
Sun Tzu wrote:
The art of war recognizes nine varieties of terrain: dispersive, facile, contentious, open, focal, serious, difficult, encircled, and desperate.
1. Dispersive: This is where a chief is fighting within his own territory.
2. Light (frontier): This is where one enters hostile territory, but not very deeply.
3. Contentious: This is where it would be advantageous for either side to occupy.
4. Open: This is where either side can go.
5. Focal: This is contiguous to three other states, such that the first to control it may gain the support of these neighboring states.
6. Serious: This is where one has penetrated deeply into enemy territory having left many fortified cities to the rear.
7. Difficult: This is where there are mountain forests, rugged steeps, wetlands, and terrain that is difficult to navigate.
8. Encircled: This is where access is restricted and from where return is difficult and indirect, enabling the enemy to strike with a small body of men.
9. Desperate (fatal): This is where one must fight with desperation to avoid being destroyed.
For these reasons:
1. On dispersive ground, do not engage the enemy;
2. On light ground, do not stop;
3. On contentious ground, do not attack;
4. On open ground, do not permit your men to get isolated from one another;
5. On focal ground, unite with the nearby rulers;
6. On serious ground, plunder for supplies;
7. On difficult ground, move quickly through;
8. On encircled ground, resort to strategy;
9. On desperate ground, fight with all your strength.
Old Lessons
Back in ancient times, those who were called skillful leaders knew how to drive a wedge between the enemy’s front and rear; to prevent trust and co-operation between his large and small divisions; to keep the better troops from rescuing the lesser, the officers from rallying their men.
When the enemy’s men were united, they knew how to sow disorder amongst them. They moved when it was to their advantage and stopped when not to their advantage.
If asked how to cope with a great host of the enemy in orderly array and on the point of marching to the attack, I would say: “Begin by seizing something your opponent values, for he will then listen to you.”
Speed is the essence of war, for it enables you to take advantage of the enemy’s absence, travel unexpected routes, and attack unguarded positions.
General Principles
These are the principles to be observed by an invading force:
The further you penetrate into foreign territory, the greater the solidarity of your troops, and thus the defenders will not be able to stand against you.
Make forays in fertile terrain to feed your army. Attend to the well-being of your men and do not over-exert them. Concentrate your energy and maintain your strength. Keep your army continually on the move, and devise unfathomable plans.
Put your soldiers into positions from which there is no escape, and they will fight to the death without retreating. Facing death, officers and men will give all their strength. Soldiers in desperate straits will lose their sense of fear and will stand firm. When they have no alternative they will fight hard.
Thus, even without instruction they will be ready; without waiting to be asked they will cooperate; without restrictions they will be loyal; without orders they can be trusted. Prohibit superstition, and eliminate rumors and doubt, so that nothing but death itself be feared.
If our soldiers have little material wealth, it is not because they disdain riches; if their lives are not very long, it is not because they dislike longevity.
On the day they are ordered out to battle, your soldiers tears will soak their sleeves and roll down their cheeks. But once they face a hopeless fight they will display the courage of the immortals Zhuan Zhu and Cao Kuei.
The skillful tactician may be compared to the shuai-jan, a snake that is found on Mount Ch’ang. Strike at its head and the tail will respond; strike at the tail and the head will respond; strike at its middle and both head and tail will attack.
Asked if an army can be made to imitate the shuai-jan, I would answer that it can. Consider that the men of Wu and those of Yueh are enemies; but if they were crossing a river in the same boat and were caught in a storm, they support each other’s just as the left hand helps the right.
Thus tethering the horses and burying the chariot wheels are not enough to keep the soldiers from fleeing. The principle of army management is to set up a standard of courage that applies to all. This is done through the appropriate use of hard and soft patterns of terrain. Thus the skillful general leads his army in the same way as leading a single man by the hand.
A general needs to be calm and quiet to ensure secrecy, upright and disciplined to maintain order while keeping officers and soldiers ignorant of his plans. He varies his direction and changes his strategies to avoid their being perceived. He modifies his position and takes indirect routes to prevent the enemy from anticipating his plans.
At the critical moment, it will seem to the troops as if they had climbed up a height and then kicked away the ladder. The general accompanies his men deep into hostile territory before he shows his hand. He burns his boats and breaks his cooking-pots; like a shepherd driving a flock of sheep, he pushes his men this way and that without any of them knowing their destination.
Assembling his forces and putting them in danger. This is the general’s responsibility.
Invasion Principles
The different measures suited to the nine varieties of ground; the expediency of aggressive or defensive tactics; and the fundamental laws of human nature: these are things that must certainly be studied.
In hostile territory, the general principle is that penetrating deeply brings cohesion among your troops, but shallow penetration inclines them to disperse.
1. When you leave your country behind and take your army into enemy territory, you are on critical terrain.
2. When all four sides are open, this is focal terrain.
3. When you penetrate deeply into a country, it is serious terrain.
4. When you penetrate only a little way, it is light terrain.
5. When you have enemy strongholds behind you and narrow ways in front, it is encircled terrain.
6. When there is nowhere else to go, it is desperate terrain.
Therefore:
1. On dispersive terrain I inspire my men with unity of purpose.
2. On light terrain I keep them close together.
3. On contentious terrain I speed up the rear.
4. On open terrain I see to my defense.
5. On focal terrain I consolidate alliances.
6. On serious terrain I ensure a continuous stream of supplies.
7. On difficult terrain I advance quickly.
8. On encircled terrain I block any openings.
9. On desperate terrain I let them know that our lives cannot be saved.
For it is the nature of a soldier to defend when surrounded, to fight with passion when there is no alternative, and to follow orders when the situation dictates.
One cannot enter into alliances with neighboring princes until he knows their plans. One who is unfamiliar with the lay of the land: the mountains and forests, pitfalls and precipices, wetlands and marshes. One cannot profit from natural advantages without the use of local guides. One who is unaware of any one of these principles cannot command the army of a true ruler.
When a true leader attacks a powerful state, the enemy’s forces are unable to assemble. His generalship shows itself in preventing the concentration of the enemy’s forces. He overawes his opponents, keeping their allies from joining against him.
For this reason he does not seek just any and all available alliances or support the power of other states. He carries out his own designs, leaving his antagonists in awe. Thus he is able to capture their cities and overthrow their rulers.
Bestow rewards without regard to rules of law, and impose orders beyond previous arrangements. Command your forces as if commanding but a single man. Issue orders without explaining their purpose, and offer the possibility of profit without telling them of the dangers.
Put your army into deadly situations and it will survive; lead them into desperate terrain and they will endure. For it is only after they have been exposed to danger that they will be capable of snatching victory from defeat.
The key to successful military operations is in learning and accommodating oneself to their intentions. If you concentrate your efforts toward the enemy, you can strike from a distance of a thousand li and kill their general. This is called “being skillful in a clever and creative manner.”
This is why, on the very first day of your command, you block the frontier passes, destroy official tallies, and stop the passage of all emissaries. Address the members of the council firmly to control the situation and gain their support.
If the enemy opens a door, you must rush in.
Attack that which he values most. Maintain a flexible timetable for battles; assess and react to the enemy so as to plan your strategy.
At first, exhibit the coyness of a shy maiden, until the enemy provides an opening; then run as swiftly as a hare. The enemy will not be able to understand you or oppose you.
12: Attack by Fire
Sun Tzu wrote:
There are five ways to attack with fire. The first is to burn soldiers in their camp; the second is to burn the enemy’s provisions; the third is to burn their supply trains; the fourth is to burn their armories; and the fifth is to burn their transportation facilities.
Carrying out an incendiary attack necessitates the proper means and conditions. Incendiary materials should be prepared and kept in readiness.
Certain seasons are more opportune to initiate attack by fire, and certain days are ideal to ignite them. These are when the weather is driest, and the best days are when the moon is in the constellations of the Sieve (chi), Wall (pi), Wing (i) or Cross-bar (chen), for these four are the days of rising wind.
In attacking with fire, you must be prepared for five possible developments:
1. When a fire starts inside to enemy’s camp, respond at once with an attack from outside.
2. If a fire starts but the enemy’s soldiers remain quiet, wait without attacking.
3. When the flames have reached their highest point, attack if possible; otherwise remain where you are.
4. If it an assault with fire can be made from outside, do not wait for it to happen on the inside, but deliver your attack at the most favorable moment.
5. Start the fire from the upwind side; do not attack from downwind.
A wind that rises in the daytime will last, but a night breeze will soon fail.
An army should be aware of the five possible developments of fire so they can defend against them during the appropriate seasons and days. The ability to use fire as an aid to the attack is enlightened, and using water as an aid to the attack adds strength. Water can be used to isolate the enemy, but not to capture their supplies.
Winning battles and attacking successfully without exploiting gains is wasteful and stagnating. Thus it is said that the enlightened general lays his plans well ahead, and the good general cultivates his success.
Move only if you perceive an advantage; do not use your troops unless there is something to be gained; do not fight unless the position is critical. A ruler should not send forth his troops merely out of personal anger; and a general should not engage in battle out of frustration. If it is to your advantage, make a forward move; if not, stay where you are.
Anger can give way to joy, annoyance to contentment. But a kingdom once destroyed cannot be restored; nor can the dead be brought back to life.
Hence the enlightened ruler is cautious, and the good general respectful. This is the way to keep the state at peace and the army intact.
13: Using Spies
Sun Tzu wrote:
Raising an army of a hundred thousand men and sending them a thousand li will wreak a heavy toll upon the people and drain the resources of the State. The daily expense will run a thousand pieces of gold. Seven hundred thousand families will be interrupted from their farm work on both sides of the border, and men will fall exhausted along the road.
Hostile armies will confront one another for years, striving for a victory to be decided in a single day. If a general begrudges the expense of a hundred pieces of gold and thus remains in ignorance of the enemy’s condition, he is devoid of humanity. Such a man is not a general for the people, no help to his ruler, nor a master of victory.
Wise rulers and competent generals are able to strike, conquer, and achieve results beyond the ordinary due to advance knowledge. This cannot be gained from the supernatural, inferred from experience, nor deduced by calculation. Information on the enemy’s dispositions can only be obtained from men who have this knowledge.
Five different types of spies may be employed, including native, internal, converted, expendable, and surviving:
1. Native: people from among the enemy;
2. Internal: enemy officials;
3. Converted: double-agents converted from the enemy’s agents;
4. Expendable: one’s own agents who are fed false information to pass on to the enemy;
5. Surviving: those who return with their information.
Spying
When these spies are put to work at the same time, this “spiritual manipulation” is the ruler’s most precious resource. Thus it is that of all military affairs, no relationship is more intimate than that with spies; none more liberally rewarded, and no arrangements more secret.
Spies cannot be usefully employed without the wisdom of a sage, and cannot be managed without generosity benevolence and humanity. Without subtlety and perception, the validity of their reports cannot be properly evaluated and put to use.
This is subtle, subtle work; for spies are used in every kind of situation. If a secret piece of news becomes exposed before its time, the spy and all whom he informed must be put to death.
Whether your objective is to attack an army, storm a city, or assassinate individual people, you must first learn the names of the commander, his assistants, staff, bodyguards and sentries. You need to send your spies to obtain this information.
Enemy Spies
Seek out the opposition’s spies; tempt them with bribes, and then provide instruction and retraining. This is how double agents are obtained and employed. Through their information we can then recruit and employ both local and internal spies. And through the information they provide, our expendable spies can misinform the enemy with false details; and our surviving spies can also be employed as needed.
The purpose of spying in its five varieties is knowledge of the enemy, which can only be derived from converted spies. For this reason, these double agents must be treated with the greatest generosity.
In former times, the rise of the Yin dynasty was enabled by I Chih, who had served under the Hsia. Likewise, the rise of the Chou dynasty was due to Lu Ya, who served under the Yin.
Thus it is that the enlightened ruler and the wise general who employ highly intelligent spies are able to achieve great results. Spies are a vital element in warfare, because the military depends on them to make their moves.
Footnotes
1 Approximately 500 kilometers, or 310 miles today (a bit less in ancient times)
2 Slightly over 133 pounds (about 60 kilograms).
3 500 kilometers, or about 310 miles.
4 Sun Tzu is referring to the professional (trained) army and the masses of untrained conscripts.
5 This reference to “nine changes” has confused scholars and translators for centuries; we can only surmise that they refer to the (10) points listed on page 29.
6 The “Tao of defeat.”
