ABOUTTHEBOOK

The 36 Strategies of theMartial Arts is a classical collection of Chinesemaximsonunderstanding,engaging,anddefeatingyourenemy.Theoriginof the collection is unknown; however, the text is a synthesis of variousmilitary maxims, political expressions, and even folk sayings, some ofwhich are from sources that date back 1,500 years. Professor HiroshiMoriya, a Tokyo-based authority on Chinese culture and philosophy,suppliesclearandsuccinctexplanationsofeachmaximandillustratesthemwithexamplesnotonly fromChinese literature andhistorybut also fromeventsinEuropeandmodernbusinessaffairs.Thisbookwillresonatewithanyone interested in a classic approach to psyching out an opponent andemergingvictorious—inmartialarts,business,sports,orpolitics.

WILLIAM SCOTT WILSON is the foremost translator into English oftraditionalJapanesetextsonsamuraiculture.HereceivedBAdegreesfromDartmouthCollege and theMonterey InstituteofForeignStudies, andanMA in Japanese literary studies from the University ofWashington. Hisbest-sellingbooks includeTheBook of FiveRings,TheUnfetteredMind,andTheLoneSamurai,abiographyofMiyamotoMusashi.

SignuptoreceiveourMartialArtsnewsletter,whichincludesinformationaboutnewbooks,specialoffers,discounts,andmore.

Orvisitusonlinetosignupatshambhala.com/emartialarts.

ShambhalaPublications,Inc.HorticulturalHall300MassachusettsAvenueBoston,Massachusetts02115www.shambhala.com

©2008byWilliamScottWilsonBasedontherevisedJapaneseeditionofHeihosanjurokukei©2004byHiroshiMoriyaCoverart:Crouchingarcher,Terracotta,courtesyofQinShiHuangTerracottaWarriorsandHorsesMuseum.PhotographbyLeoHilber.Allrightsreserved.Nopartofthisbookmaybereproducedinanyformorbyanymeans,electronicormechanical,includingphotocopying,recording,orbyanyinformationstorageandretrievalsystem,withoutpermissioninwritingfromthepublisher.

LibraryofCongressCataloging-in-PublicationDataMoriya,Hiroshi,1932–[Heihosanjurokkei.English]

The36strategiesofthemartialarts:theclassicChineseguideforsuccessinwar,business,andlife/HiroshiMoriya;forewordandtranslationbyWilliamScottWilson.pagescmIncludesbibliographicalreferences.eISBN978-0-83482889-6ISBN978-1-59030-992-6(pbk.:alk.paper)1.Sanshiliuji.2.Militaryartandscience—China.I.Wilson,WilliamScott,1944–II.Title.III.Title:Thirty-sixstrategiesofthemartialarts.

U101.S19M67132013650.1—dc232012043443

CONTENTS

TRANSLATOR’SPREFACEWilliamScottWilsonINTRODUCTION

OPENINGREMARKS:ANCHORONREALITY

PARTISTRATEGIESFORVICTORYINBATTLE

Strategy1ObscureHeaven,CrosstheSeaStrategy2SurroundWei,HelpChaoStrategy3BorrowaSwordtoMakeYourKillStrategy4AwaitHisTiredStepsatYourLeisureStrategy5TakeAdvantageoftheFiretoPlundertheGoodsStrategy6BeHeardintheEast,AttackfromtheWest

PARTIISTRATEGIESFORENGAGINGTHEENEMY

Strategy7CreateExistencefromNonexistenceStrategy8CrossOvertoCh’enTs’angintheDarkStrategy9OntheDistantShore,WatchforFireStrategy10ConcealaSwordbehindaSmileStrategy11SacrificethePeachtoSecurethePlumStrategy12LeadAwaytheSheepWhenConditionsAreRight

PARTIIISTRATEGIESFORATTACK

Strategy13BeattheGrass,SurprisetheSnakeStrategy14BorrowtheCorpse,ReviveItsSoul

Strategy15PacifytheTiger,ThenLeadItfromtheMountainStrategy16IfYouCovetIt,LeaveItAloneStrategy17CastaBrick,PullInJadeStrategy18ToCatchaThief,CatchHisKing

PARTIVSTRATEGIESFORAMBIGUOUSSITUATIONS

Strategy19PulltheFirewoodfromundertheKettleStrategy20DisturbtheWater,GrabtheFishStrategy21TheGoldenCicadaShedsItsShellStrategy22BartheDoor,GrabtheThiefStrategy23BefriendThoseataDistance,AttackThoseNearbyStrategy24BorrowaRoad,AttackKuo

PARTVSTRATEGIESFORUNIFIEDBATTLE

Strategy25StealtheBeams,ReplacethePillarsStrategy26PointtotheMulberry,BeratethePagodaTreeStrategy27FeignStupidity,DoNotBeInjudiciousStrategy28SendThemtotheRoof,RemovetheLadderStrategy29MaketheFlowersBloomontheTreeStrategy30QuitasGuest,TakeOverasHost

PARTVISTRATEGIESFORALOSTBATTLE

Strategy31TheStrategyoftheBeautifulWomanStrategy32TheStrategyoftheEmptyFortressStrategy33CreateaRiftStrategy34TheStrategyofSelf-InjuryStrategy35TheStrategyofLinksStrategy36RetreatIsConsideredtheBest

NOTES

BIBLIOGRAPHYE-MAILSIGN-UP

TRANSLATOR’SPREFACE

Legendhas it thatwhenYamamotoKansuke1was toberetainedby theyoungwarlord Takeda Shingen,2 one of Shingen’s most important vassals, in thepresence of thewarlord and his retainers, suddenly challenged him to a duel.Kansuke,astrongswordsmanof theKyotostyle,hadonlyoneeye,was lame,andwasmissinga fewofhis fingers.Hewasalsoa roninnotoriginally fromShingen’sfief,andhisloyalty,intheeyesofthechallenger,wasdubious.This challenge was unexpected, but Kansuke readily accepted it, insisting,

however,thatitbecalleda“battle”ratherthanaduel.Kansukefurtherinsistedthat, in lightofhisphysicaldisabilities, thisbattleshouldbe fought inasmallboatthatwasanchoredoffshoreinanearbylake.Thiswouldbalancetheodds,sincebothmenwouldberestrictedintheirmovementsduringthefight.Despitesome consternation among the retainers, Shingen quickly agreed to theseconditions.KansukeandShingen’svassalweretakenouttotheanchoredboatinanother

smallcraft,andtheyclimbedin.Withoutwarning,Kansukesuddenlypiercedaholethroughthebottomoftheboatwiththescabbardofhissword, leaptbackinto the transport craft, and pushed it away.The vassal,who could not swim,nowfoundhimselfaloneinaslowlysinkingboatwithnowayofescape.Atthisjuncture,Kansukethrewthemanaropeandpulledhimtoshore,savinghislife.Watchingthisaffairintentlyfromshore,Shingenquicklyfathomedthedepth

ofKansuke’s strategyand immediately retainedhim,doubling the stipend thathadbeeninitiallyoffered.Inthisbattle,Kansukehadessentiallyemployedthreestrategies.First,hehad

wonthebattlewithoutfighting,thusprotectinghisownlife.Atthesametime,hehadnotinjuredhisopponent,whowouldnowlikelybecomehisally.Finally,beforeemployingthefirsttwostrategies,Kansukehadtakenintoaccountalloftheconditionsofthesituation:hisownphysicaldisabilities,thevassal’ssimplerelianceonhisswordsmanship,Shingen’sneedsandvalues,andtheenvironmentinwhich thebattlewould takeplace.Thus,nobloodwas shed, andShingen’shighly respected vassal lived to serve him. Kansuke henceforth served asShingen’s respectedstrategist,helpinghim to riseasoneof themostpowerful

andfearedwarlordsofhistime.ThesethreeconceptsarefundamentaltoChinese(andsubsequentlyJapanese)

military thought, and they run like currents through The 36 Strategies of theMartialArts.

This book consists of thirty-six strategies arranged under six headings, thusmirroringthehexagramsintheIChing,orBookofChanges.3Theoriginaltextisquite brief: each strategy is given a title, usually of four Chinese characters,providingthereaderwithamnemonicdeviceforthemeaningofthefollowingstrategy.Thestrategy itselfconsistsof several linesofclassicalChinese,oftencontaining a short phrase from the above-mentionedBook of Changes, whichmaybeconsideredtheshadowtextofthiswork.Thetranslationofthisstrategyappears here in italics at the head of each chapter and is followed by furtherexplanationbyProfessorHiroshiMoriya,firstamodernrendition,thenamoredetailedexplanation.Inthevariouseditionsofthisworkthathaveappearedovertime,eachchapter

has been expanded by one or more explanations or illustrations taken fromChinesehistory.ProfessorMoriyahas followed thisprecedent, supplyingclearand succinct explanations and examples not only from Chinese literature andhistorybutalsofromeventsinEuropeandmodernbusinessaffairs,coveringabroadspectrumofhumanactivityandconflicts.The origins of the original 36 Strategies are unclear: tradition has cited a

certainT’anTao-chiofthefifthcenturyA.D.astheauthor,butthetext ismorelikely a synthesis of various military maxims, political expressions, and evenfolksayingsfromoverathousandyearsbefore.ThesectionsfromtheBookofChangesdate fromat least fifteenhundredyearsbefore thecompilationof thetext.The36StrategiesoftheMartialArtsconsiderstheworldasadynamicfieldof

energy, constantlymoving and flowing, inwhich conditionsmay call for onestrategy now, and another depending upon the changes in the physical andpsychological environment. Indeed, an intended strategy may evoke changesitself, and a different strategy may be required as circumstances evolve.ProfessorMoriyaemphasizestimeandagainthatonemustavoidrigidityatallcostsandbetotallyawareofthegridofactivityanditspsychologicaleffectsonbothone’senemyandoneself.Ifonecannotmeettheserequirements,oneshouldleavethesestrategiesalone.Itmaybeappropriate, then, to thinkof thisbook in theway thatConfucius

describedtheBookofChangesinhisamendment,theTachuan:Ah,theBookofChanges!

Youshouldkeepitwithinreach.ItsWayisfrequentlyshifting,Changingandmovingwithoutstoppinganywhere,FlowingthroughthesixEmptinesses,

Whilerisingandsinkingwithoutconstancy.

Shiftingmutuallybetweenthehardandthesoft,Youcannotmakeitintofixedlaw;

Itonlymarchesontowardchange.Thereis,however,amethodtoitscomingandgoing;Insideandout,itwouldhaveyouknowapprehension.

Italsomakesclearsorrowandgriefandtheircauses;Andthoughyouhavenogreatteacher,

Youshouldfaceitasyouwouldyourfatherandmother.

Atfirst,followthewords,then,ifyoucanfathomtheirdirection,

Theconsistentruleswillbethere.

Butifyouarenotquitetheman[withdepthofmind],TheWaywillbeinvain,andgonowhere.

Ioweagreatdebtofappreciation toProfessorHiroshiMoriya foragreeing tomy translating his outstanding work; to Barry Lancet, my former editor atKodansha International, for originally suggesting this project; to Beth Frankl,JohnGolebiewski,andallthestaffatShambhalaPublicationsfortheirworkanddedicationinproducingthisnewedition;tomyfriendDr.DanielMedvedov,forfirst pointingout tome the inclusion in the textof the lines from theBook ofChanges; to mymentor, Ichikawa Takashi, for generously providingmewithChinese/Japanesedictionaries andother texts necessary for this project; tomywife Emily, for reading through the translation and rendering it far morereadable; and to my late professors Dr. Richard N. McKinnon and ProfessorHiraga Noburu, for initially setting my nose to this grindstone with suchintelligence,patience,andgrace.Anyandallmistakesaremyown.

WilliamScottWilson

INTRODUCTION

Chinesebooksonthemartialarts,whichareconsideredtobeginwithSunTzu’sTheArtofWar,regard“winningwithoutfighting”asthemostdesirablemethodofvictory.Inthe“AttackingbyStratagem”chapterofhiswork,forexample,awell-knownpassageperfectlycapturesthisidea:

Towinonehundredbattlesisnotthehighestgood.Thehighestgoodistohavetheenemysoldierssubmitwithoutfighting.

Whywouldwinningwithoutfightingbesodesirable?First,ifourforcesfight,our own troops will be unable to avoid injury. Second, there is always thepossibilitythattoday’senemymaybecometomorrow’sally.Sothen,howdoyouwinwithoutfighting?Twomethodscanbeconsidered:

Confiningyouropponent’sintentionsbymeansofdiplomaticnegotiations.Diminishingyouropponent’sstrengthbymeansofstrategyandleadinghimtointernalcollapse.

Thisisessentiallywinningwithstrategyratherthanbyforce,or,itmightbesaid,winningwithyour“head”ratherthanwithyour“strength.”TheChinesepeoplehave favored this method of victory for three thousand years, and they havestoredupextensiveknowledge in this regard.The36Strategiesof theMartialArtsis,inasense,acompilationofthesemethodsandteachings.Itisnotclearbywhomorinwhatagethisbookwaswritten.Thefirstsource

would seem to be theNan Ch’i Shu, a historical work written about fifteenhundred years ago, in which we find, “Of Lord T’an’s thirty-six strategies,runningawayisconsideredthehighest.”Thisphraseissaidtobeajudgmentuponanincidentthatoccurredwhenthe

Ch’i general T’an Tao-chi faced the armies of Wei, a mighty country to thenorth. He avoided entering into a decisive battle and instead single-mindedlyfled inanydirectionhecould.Within this judgment,however, there isavoicethathighlypraisesT’anTao-chi’smannerofbattle insofarashe returnedwithhistroopsentirelyintact.

At any rate, The 36 Strategies of the Martial Arts was put together bysomeoneofalateragewhotookthesewordsaboutT’anTao-chiasacue.Thefollowingarethedistinctivefeaturesconcerningitscontent:

1.Thereisanaturallawforbattle.Allstrategiesarebasedonthatnaturallawandmustbeinvestigatedthoroughlyandrationally.

2.Theknow-howofbattlehasbeencompiledinthehistoricalaccountsofthepast.Youmustapplytheselessonsaccordingtoyourstudyoftheseaccounts.

3. The thirty-six strategies compiled here are the essential themesresearched by leaders from the past. Itwould be unforgivable tomakelightofthem.

4. Before putting these strategies into actual practice, it is necessary toclearly diagnose the conditions of both your opponent and yourself. Ifyouapplythesestrategiesblindlywhileignoringconditions,youwillnotbeabletoavoidfailure.

5. When you do apply these strategies, do your best to encourage youropponent’s carelessness and to discourage him from wanting to takeaction. Think in terms of attacking hismind, usurping his energy, anderodinghisspirit.

6.Actonnaturallawtotheveryend;bearinmindapplicationsthatarenotunreasonable.Youmustavoidhit-or-missrisks.

7. When you ascertain that there is no prospect of victory, you shouldwithdrawwithouthesitation.Tobedraggedintoaquagmireandtosufferatotallossintheendisthemostunskillfulwayoffighting.

Isupposeitcanbeunderstoodthatthisisaflexibleandmodestwayofthinking.Therefore,itcanlikelybeappliednotonlytothestrategiesofwarbutalsoasacompass for battle strategies in economics, and even as wise guidance as weconduct ourselves through the passages of life. Indeed, that just may be thegreatestappealofThe36StrategiesoftheMartialArts.In thecreationof thisbook, Iconsulted the following twoworks:Sanshihlu

ChiHsinP’ien,editedbyLiPing-yenandpublishedbyChanShihPublishers,andSanshihluChi,translatedandannotatedbyWuKuandpublishedbyChiLinJenMinPublishers.One finalword.This book should not be consideredmerely information on

thewaysof thepast. Iwould request strongly that itbe readasabookwhosepracticescanenlivenourpresentworld.

HiroshiMoriya

Sixsixesarethirty-six.

Innumberstherearetechniques.Intechniquestherearenumbers.Functionresidesinthemidstoftheharmoniousprinciplesofyinandyang.Functionshouldnotbefixed.Ifitisfixed,itwillnothitthemark.

IntheGreatYinhexagramoftheIChing,sixmultipliedbysixbecomesthirty-six. In thesameway, themethodsemployedfor thestrategieswillbeofmanykinds and many styles. Strategies are contained within objective laws andtherefore must be exercised based on objective laws. If you can grasp thecontradictionswithinreality,youwillknowhowtohandlestrategiesaccordingtotheimmediatesituation.Ifyouactwhile ignoringreality,youwillsurelybeunabletoavoiddefeat.

InTheArtofWarthereisthephrase“Themartial[art]isbasedondeception.”Acommonsayingfurthermorestates,“Themartial[arts]donotabhordeception.”“Deception,”ofcourse,meanstodeceivepeople.Ortoputitanotherway,itisnothing other than to muddle the judgment of the enemy and to impair hisvision.Suchactsof“deception”aregenerallycalled“strategies,”“schemes,”or“plots.”Methodsofemployingthese thirty-sixstrategiesare innumerable.Everyone

of themisbasedonandmanifestedconclusivelyby theexperiencesofmenofformer times who were real, and who fought real battles. These are notmysteriousstrategiesinspiredbythegods.Whenputtingthesestrategiesintopractice,youcannotignoretherealworld.

When you apply them to the situation at hand, your success will be theirwarranty.

Evenwhenyourowncountryhassuperiorpower,youshouldnotgrowconfidentthatthechancesofvictoryresidewithyoursidealone.Amoment’snegligencecaninviteanirrevocabledefeat.Evenduringtimesofpeace,youmustprudentlythinkoveryourstrategiesandaimtowardasecurevictory.

Ifyourpreparationistooambitious,yourattentionwillbeslack.Ifyouarealwayslookingabout[andgrowcomplacent],youwillhavenodoubts[atpreciselythetimeyoushouldbehavingthem].

Yinresidesinsideofyang,notinitsopposition.GreatYangbecomesGreatYin.

When you think that yourmethod of defense is infallible, your vigilancewillinvariablygrowslack.Ifyouareusedtolookingatthefamiliar,youareliabletoharbor no skepticism at times when this is precisely what you should beharboring.Cleverstrategiesthatarelikelytotakepeoplebysurprisedonotnecessarily

need to be hidden from view.They can be hidden in plain sight.Quite often,secretstrategiesarehiddeninaplacewhereanyonemightseethemiftheyarevigilantenough.

“Obscure Heaven, Cross the Sea” is a strategy by which you show yourselfclearlybutcamouflageyourrealintentions.Youinviteyouropponenttolookon,andwhenhebecomescomplacentandthinksyouarenolongerathreat,youusethisadvantagetotakecontrolandsealyourvictory.Tobegin,youengage inanactivity thatmayormaynotbea threat toyour

opponent.Hewillnotneglecttobevigilant.Thenyourepeattheactivitywithoutinitiating any serious action. Again, your opponent will give you his fullattention.Butafteryourepeatyouractionanumberoftimes,youropponentwillgrow tired of watching and stop considering the activity a threat. With eachrepetition, he will simply think, “Again?” Then, when you are sure of youropponent’s negligence, strike hard and eliminate him. That is the essence of“ObscureHeaven,CrosstheSea.”Thisissimpleindeed;butitisastrategythatclearlyreliesonablindspotinhumanpsychology,andthepossibilityofsuccessishigh.

TheResourcefulnessofT’aiShih-tz’uDuring the period of The Romance of the Three Kingdoms,1 among the wisegeneralsintheemployofSunTs’eofWuwasamanbythenameofT’aiShih-tz’u.Thisstorytookplaceinhisyoungeryears.KungYung,theprimeministerof

PeiHai,wassurroundedbyalargearmyofYellowCapRebels2atTuCh’ang,where his own troops were quartered and now cornered. T’ai Shih-tz’u hadformerlyreceivedagreatfavorfromKungYung,andsoimmediatelyhurriedtoTuCh’angandmetwiththeprimeminister.

Intheirconversation,KungYungmentionedthathehadwantedtorequestaidfromthenearbycountryofP’ingYuan,butthesiegeofhisfortress3washeavy,andaspassagethroughenemylinesseemedimpossiblenoonewouldvolunteertoserveasamessenger.At that,T’aiShih-tz’u thought the timehadcomeforhimtorepayhisdebt,andsohevolunteeredforthejob.Thefirst thinghedidwas to fortifyhimselfwithamealandwait fordawn.

Then,grabbinghiswhipandhisbow,heleaptontohishorseand,accompaniedbytwelvemencarryingtargets,openedthefortressgateanddashedoutside.Therebelsoldierswhohadencircledthefortressweretakenbysurprise.Thrownintoconfusion, they brought out their horses and prepared to prevent the man’sescape.ButT’aiShih-tz’ucasuallygotdownfromhishorse,enteredthetrenchbeside

thefortress,setthetargetsup,andnonchalantlybegantopracticearchery.Then,whenhehadshotallhisarrows,hereturnedtothefortress.Thenextdayhewentoutagainforarcherypractice.Thistime,whilesomeof

the rebel soldiers stood up and remained vigilant, there were also somewho,convinced this time therewas no threat, laid down and ignored the spectacle.T’aiShih-tz’usetupthetargetsand,whenhewasfinishedshooting,withdrewtothefortress.Whenthishappenedathirdtime,therebelsoldiershadgrownsocomplacent

theysimplythought,“Again?”andnotoneofthemrosetostandvigil.T’aiShih-tz’uwaitedcarefullyforhismoment,thensuddenlywhippedhishorseandbrokethroughtheencirclingnet.Soonafterthat,reinforcementsarrivedfromP’ingYuan.

TheStrategyofHoJo-piTheSui-dynastygeneralHoJo-pialsoemployedavisualillusiontodeceivehisenemy. Itwas theendof theperiodof theNorthernandSouthernCourts (twoseparatedynastiesprecedingtheSui)whentheSuidynastydestroyedtheCh’en.TheSuimadetheircapitalatCh’ang-an,takingpossessionoftheterritorynorthoftheYangtzeRiver.Incontrast,theCh’enhadmadetheircapitalatChien-yehandhadpossessionofthelandssouthoftheriver.Therefore,iftheSuiweretoattacktheCh’en,theywouldhavetocrosstheYangtze.GeneralHoJo-pi’sproblemwashowtoputhisenemyofftheirgame,sohe

devisedaruse.First,whenthecorpsofSuitroopsthathadbeenplacedalongtheYangtzeon

thebankoppositetoChien-yehwereduetoreturnhome,thegeneralhadthemgatheron theoutskirtsof thevillageofLi-yang,hoista forestofbanners,and

give the appearance of a great concentrated army. Alarmed, the Ch’en troopsmobilizedandconsolidatedtheirdefenseontheothersideoftheriver.The Sui troops never crossed the river. Instead, the corps rotated out and

returnedhome.Thisactionwasrepeatedthreetimes.TheCh’ensoldierscametobelievethat

themassing of troops at that point of the riverwas not a threateningmilitarymaneuver. They stopped taking the event seriously and no longer made anyspecialpreparationsinresponse.Thedeceptionsucceededwonderfully.WhentheSuitroopsdidcrosstheriver

andattack,theyweremetwithalmostnoorganizedresistance,andtheycapturedChien-yehwithease.

RetreatSevenTimesDuring the Spring andAutumn period,King4 Chuang ofCh’u attackedYung.Hisadvance troopsmadean incursionclose to thecapitalofYung,but at thatjuncturetheenemymadeacounterattack,causingtheadvancetroopstofleeandreturnhome.SomeoneintheCh’ucamp,analyzingthesituation,said,“Yungnotonlyhas

greatmilitarystrengthbut theyareaddingvastnumbersofbarbarian troops totheirforce.Ifweweretoattackthemnow,therewouldbenochanceofvictory.Ithinkthatweshouldwaituntilourmainforcearrivesandthenattack.”Butthecommandingofficeroftheadvancetroopsreplied,“That’snogoodat

all.We’ll continue to fight just aswe are, but then purposelymake as thoughwe’re retreating.Nodoubtouropponentswillbe taken inby this andbecomenegligent.Thiswillgainussomeadvantage.”Thissaid,hecontinuedhisattacks.Seventimeshefoughtandseventimeshe

retreated. Seeing this, theYung generals said, “TheseCh’u troops!They havethenervetocontendwithus,buttheyareabsolutefools!”andmadenopropereffortstotightentheirsecurity.Atthatpoint,themainforceoftroopscommandedbyKingChuangarrived.

TheCh’u forces attacked for the eighth time, this timewithout retreating, anddestroyedtheYungwithease.HadthecommandingofficeroftheCh’unotchosentoattackandwithdrawas

manytimesashehad,theYungwouldhavemetthemainforceofKingChuangwiththeirownbesteffort.Asitwas,theynolongerbelievedinthefortitudeoftheCh’utroopsandwerecaughtcompletelyoffguard,thusensuringthebrilliantstrategicvictoryoftheCh’u.

Hitler’sLightningStrike“ObscureHeaven,CrosstheSea”wasnotjustappliedinthedistantpast.DuringWorldWarII,forexample,Hitler’slightningattackagainstFrancemadeuseofthestrategy.HitlersecretlyleakedhisscheduleddayofattacktotheAllies,andwhenhe

sawthattheywerealarmedandhadpreparedanopposingforce,theNazileadersimply changed the scheduled day. This he did repeatedly over the followingweeks. Each time the Allies prepared their defenses and each time Hitlerchangedthescheduleddayofattack.TheAlliesgrewwearyofHitler’sendlesschanges and decided that the German leader was simply waging “a war ofnerves.”Gradually,theAlliesallowedtheirvigilancetoslacken.Hitler broke through theMaginot Line and surged into French territory on

May 14, 1940. At the time, the intelligence corps of France and EnglandcorrectlyidentifiedthemovementoftheGermantroops,yetthegovernmentsofbothcountriesregardedthelatestpieceofintelligenceassimplyanotherstageinHitler’swarofnervesandpaidlittleattention.Thiswouldproveagraveerror:theirinactiongreatlyaidedthesuccessofHitler’slightningstrike.

Whenfacingyourenemies,thereisnothinglikedividingthem.Fortheyangofanenemy,thereisnothinglikehisyin.

Ratherthanlaunchanattackonapowerfulenemy,itisbetterfirsttodispersehismilitarystrengthandthatofhisallies,andthenattack.Ratherthanattacktheenemyfirst,itisbettertowaitforhimtomakeamove,

andthengaincontrol.

“Surround Wei, Help Chao” was a strategy employed during the period ofWarringStateswhenSunPin,atacticianforthestateofCh’i,cametotheaidofChao by attacking the army of Wei in a roundabout manner. From the verybeginning,andespeciallyinthecaseofanenemywithahugeforce,itisunwisetoconfronthimhead-on,sincetheprobabilityofavictorywouldbeextremelylow.Furthermore,even ifasmallerarmyweremomentarilyblessedwithgoodluckandmanagedtowin,thedamagetoitstroopswouldbesevere.Ifdirect confrontation isbest avoided, thenwhatkindof strategy shouldbe

usedagainstapowerfulenemy?“Controlling an army is like controlling water.” That is to say, the way of

engaginginbattleisbyandlargethesameasthewayofcontrollingaflood.Itis,forexample,difficulttogetclosetoaraging,roilingcurrent.Butifyoucandispersethecurrentandcauseittoflowintoanumberofdifferentchannels,youcanweakenitspoweruntilitbecomesmanageable.In the sameway,whenopposinganoverwhelmingopponent,youmust first

divide his forces andwear himdown. If youwere then to attack, itwould bemucheasiertodefeathim.To theveryend,youmustavoidconfrontinghimhead-on,but ratherdivide

andthenattack.Thisisessenceof“SurroundWei,HelpChao.”

SunPin’sTwofoldVictoryDuringtheperiodofWarringStates,WeimobilizeditsgreatarmyandlaidsiegetoHanTan,thecapitalofChao.Chaowasunabletoresisttheferociousattackofthe Wei army, and it asked for aid from the state of Ch’i. Ch’i sentreinforcements, appointing the chief vassal T’ien Chi as commanding generalandthemilitarystrategistSunPinastactician.AssoonasT’ienChi tookuphispost,he immediately led thearmy toward

HanTan,planningtoattack,arguablyaperfectlysensiblestrategy.However,thetacticianSunPinvoicedanobjection.“When you untangle a thread,” Sun Pin said, “you don’t pull at it

indiscriminately.Likewise,whenyouassistsomeoneinafight,ifyouexchange

blows indiscriminately you’ll be unable to control the situation. Rather, it isbetter to strike at your opponent’s weakness to gain an advantage over thesituation.Atthispointinthefight,WeihasthrownallofitsbesttroopsintothebattlewithChao,andonlyoldandweaksoldiersremaininthestateitself.Nowis the time to strike the weakened capital ofWei. If we do this,Wei will beforced to lift its siegeofHanTan and return its troops to its home state.Thisstrategykillstwobirdswithonestone:itwillnotonlycauseouropponenttolifthissiegebutwillalsoweakenhimonthehomefrontatthesametime.”T’ienChithoughtthestrategyreasonableandputitintoaction.Uponlearning

oftheimpendingattackontheircapital,theWeiarmyleftHanTanandhastilytooktheroadhomeinordertorepeltheCh’i.TheCh’iarmyattackedtheWeiatKueiLingandgainedagreatvictory.

HowMaoTse-tungHarassedtheJapaneseArmyHistorymayaccuseMaoTse-tungofanynumberof failures inhis lateryears,butwhen he led the EighthRouteArmy and fought the Japanese, he devisedsomemarvelousmilitarystrategiesandtacticsandharassedtheJapanesetroopsno end.Oneof his favorite strategieswas a variationof “SurroundWei,HelpChao.” In a document entitled Questions on Guerrilla Warfare in ResistingJapan,hestatedthefollowing:

Inaplanofmilitaryoperationsforresistingasiege,ourmajorstrengthisgenerallyplacedinaninteriorline.Nevertheless,onthebasisofconditionswherewehaveafullmarginofstrength,weshoulduseasecondaryforceinan exterior line, and there break the enemy’s line of communication andrestrainhisreinforcements.If theenemyremainsinhisheadquartersforalongtimeandshowsnoindicationofmoving,ourtroopsusethereverseoftheabove-mentionedmethod.Thatistosay,weleaveadivisionoftroopswithin thevicinityofhisheadquarters tosurroundhim,butwith themainforceattackanareawherehehastrespassed.Thiswillpushhimintogreatactivity, and the troops that had remained for a long time around theirheadquarterswillnow leave inorder toattackourmain force.This is themethodof“SurroundWei,HelpChao.”

TheJapanesearmydrankmanyabittercupfromthismobilemilitarytacticandeventuallylosttheupperhand.

EconomicStrategiesforMinorEnterprisesThatCanBeLearnedfromTheArtofWar

The concentration of allies and dispersion of the enemy is a military tacticstressedinSunTzu’sTheArtofWar.Inthisbookitsays:

While we temporarily concentrate our troops into one, the enemy isdispersedintoten.Inthiscase,thestrengthoftenseparateentitiesconfrontsthestrengthofone.Inotherwords,ourtroopshaveagreatforcewhiletheenemyhas none at all.When youmeet no forcewith a great force, youropponentwillbedisposedofeasily.Therefore, if theenemydefendswhatis infrontofhim,whatisbehind

himwillbeweak;ifhedefendswhatisbehindhim,whatisinfrontofhimwillbeweak.Ifhedefendshisleft,hisrightwillbeweak;ifhedefendshisright,hisleftwillbeweak.Ifhedefendshimselfineverydirection,everydirectionwillbeweak.

Themeasureofmilitary strengthnever exceeds relative conditions. If youcandividetheenemyandthenattack,youwillbeabletoadvanceinthebattlewiththeadvantage.This way of thinkingmay also be applicable to economic tactics for small

businesses.Theminorenterpriseof“lessermilitarystrength”willnotsurviveifittriestotakeonlargerenterprisesandattemptstomuscleinontheirterritory.Inordertosurviveitmustconcentrateitsmartialstrength,planthedevelopmentofitsownuniqueproduct,andstrikeatanopeningorgap inabusinessof largersize.

Whenyourenemyisalreadyknown,butyouralliesarestilluncertain,drawyouralliesintokillingyourenemy.

Donotbrandishaswordyourself.Drawyourconclusionbythedamagedone.

Eventhoughtheenemyhassethisbattleplansinmotion,youmaynotyethavedeterminedtheattitudeofyourownallies.Atsuchatime,temptyouralliestoattacktheenemy,butkeepyourowntroopsinreserve.Thisisnothingotherthanthe practical application of the forty-first chapter of the I Ching, “Damage”:“Theinferiorsuffersdamage;thesuperiorincreases.”

Therearetwosidesto“BorrowaSwordtoMakeYourKill.”Onecallsforyoutocurbyourownactivitywhileconvincingathirdpartytodestroyyourenemy.To use a common Japanese saying, you could “win at sumo with the otherperson’sloincloth.”Thisallowsyoutodefeattheenemyandstillpreserveyourownforcewithoutchange.Yet this is just the beginning.At a higher level, you do not rely on a third

party toattackyourenemybut rathercausehimto turnhisownstrengthuponhimself.Thisstrategycreatesasplittingmaneuverthatcleverlyusestheenemy’sownpower toweakenhisposition, eventuallydrivinghim to collapse.This istheverycoreof“BorrowaSwordtoMakeYourKill.”

HowTs’aoTs’aoUsedSunCh’uan’sSwordTheRomanceoftheThreeKingdomstookplaceduringatimewhenTs’aoTs’aoofWei,LiuPeiofShu,andSunCh’uanofWu1wereconfrontingeachotherforthecontrolofChina.Withthreepowerfulrivalsvyingforhegemony,thestrategyof “Borrow a Sword toMakeYourKill” often came into play.The followingepisodeisbutoneexample:KuanYu,2oneofLiuPei’scommanders,mobilizedalargearmy,attackedthe

territory of the Wei, and laid siege to the fortress at Fan. Ts’ao Ts’ao sentreinforcements, but theywere utterly annihilated byKuanYu’s counterattack.Now,ifFanfelltoKuanYu,Wei’scapitalHsuwouldbeingreatdanger.Infearof Kuan Yu’s forces, Ts’ao Ts’ao seemed flustered and ready to relocate hiscapitaltoasaferterritoryfartheraway.Atthispoint,thestrategistandcounselorSzeMaChung-taapproachedTs’aoTs’aowiththesewords:“WeshouldbringSunCh’uanintoactionhere,ashealsohasgoodreasonto

feartheswellingofKuanYu’sforces.DivideKuanYu’sterritoryandofferthe

landsouthof theYangtze toSunCh’uan.Under thatcondition, requesthimtodispatch troops and strike at KuanYu’s rear. If he does this, the siege of thefortresswillnotbeworthKuanYu’seffort,andhewillwithdraw.”Convinced of the soundness of this strategy, Ts’ao Ts’ao immediately

dispatchedamessengertoSunCh’uanproposinghiscooperation.SunCh’uanembracedtheideaofstrikingatKuanYuandextendinghislands.

Hemobilizedhis troopsandcapturedChiangLu,KuanYu’shomebase.KuanYuwascompelledtoendhissiegeofthefortressatFan,butwithhishomebaselosthewaseasilycapturedandkilled.Forhispart,Ts’aoTs’aohadsuccessfullyemployedthestrategyof“Borrowa

Sword to Make Your Kill.” With little expenditure, he gained territory andvanquishedanenemy,usinganalliancewithSunCh’uan to forceKuanYu todestroyhimself.

BorrowingfromtheEnemyThisstoryappearsintheHanFeiTzu:3During the Spring andAutumnperiod,HuaiKung, the ruler of the state of

Cheng,wanted to invade the state ofKuai andmake it his own.Even thoughKuaiwasasmallstateandwouldnotbeabletoresistafrontalassaultforlong,thepeopleofKuaiwouldprobablydefend theirhomeforall theywereworth,whichwouldresultinaconsiderablelossofbloodonbothsides.Knowingthis,HuaiKungsearchedforaplantounderminehisopponent’sresistance.First,Kungdrewupa listofKuai’sstrongestwarriorsandleaders.Next,he

wrote letters toeachof thempromisingmore landandappealingnewposts inreturn for their support. Then one night, Kung constructed an altar near thefortressgateofKuai,buriedthelettersandlist,andpouredthebloodofroostersand pigs over the spotwhen he had buried them. (In those days,when eitherstatesorindividualsenteredintoapledge,traditioncalledforthemtoslaughterpigsandroostersandthenmutuallysipthesacrificialblood.)The following morning the ruler of Kuai discovered this “evidence.”

Believinghe hadbeenbetrayed, he ordered the execution of everyvassal thatappearedonthelist.WithKuai’smostablemeneliminated,HuaiKungpromptlyinvadedandconqueredthestateofKuaiwithoutdifficulty.

Hitler’sPloyRecent times have produced good examples of this strategy, even though you

might think that such a transparent, wedge-driving ploy would no longer beeffective.BeforeWorldWar II, therewas a very able Soviet general by the name of

Marshal Tohachevski. In 1938, when Stalin set a purge in motion, rumorsuggested that Tohachevski, too,might be caught up in the sweep. If an ablegenerallikeTohachevskiwerepurged,itwouldbeofgreatbenefittoGermany.Therefore,Hitlertooktheopportunitytoburytheman.CallingintheheadoftheGermanintelligenceagency,hesecretlyorderedthemantofabricatetreasonousdocumentsincriminatingTohachevski.The officer created a packet of documents that included private messages

passed between Tohachevski’s group and German generals. The pack alsoincludedlistsofthecircumstancesunderwhichTohachevskiandhisfriendshadsold information to the Germans, along with the amounts of money theyreceived in return, andcopiesof replies sent toTohachevski from theGermanintelligenceagency.Inanadditionalstrokeofbrilliance,theGermanintelligenceofficermadethe

informationextremelyhardtoprocure.TheSovietUnioneventuallyboughtthephonydocumentpacketfortheenormoussumofthreemillionrubles,andbasedonitsdisclosuresarrestedeightgenerals,includingTohachevski.IntheeyesofStalin’sinquisitioners,thesheervolumeoftheso-calledevidencemadeitnearlyimpossibleforthegeneralstorefute,and,afterjustafewminutesofquestioning,Tohachevskiandtheothersweresentencedtodeath.Withintwelvehours,everyoneofthemhadbeenexecuted.Hitler’sborrowedswordwasaspectacularsuccess.

TheSovietUnion’sDiplomaticStrategyAt a roundtable discussion, Kase Shun’ichi, a commentator on internationalrelations,toldthefollowingstoryaboutSovietdiplomaticstrategy:“I sometimes read Chinese poetry, and think that this ‘Borrow a Sword to

MakeYourKill’ strategy is a ‘shop specialty’ of the Soviet Union. ThemosttypicalexampleofthiswastheGerman-Sovietnon-aggressionpact.HitlerwasmadetothinkthatRussia,whichwasathisback,wassecure,andsoheturnedhis attention toward France and England. He then invaded Poland, whichtouchedoffthewarinEurope.Afterthat,StalinconcludedaneutralitypactwithJapan, thereby encouraging Japan to march south, and this eventually led tofightingbetweenJapanandtheUnitedStates,commencingofcoursewithPearlHarbor.Iimaginethiswasalsoacleveruseofthestrategy.’’Inotherwords,bytakingthemselvesoutofthefray,theSovietsforcedothers

totackleHitler’sgrowingmilitarymachine.Ofcourse,thestrategymaynotbean exclusive specialty of Soviet diplomacy, for surely we can see that thediplomaticmachinationsofmanycountriescontainaspectsofthisstrategy.Itissimplyamatterofhowaudaciouslyacountry’sleaderschoosetouseit.Inanycase,letoverlyoptimisticleadersignorethestrategyattheirownperil.Onelastnote.Thisstratagemisnotconfinedtodiplomaticcirclesandwarring

states. It has found an equally comfortable home in the relations betweenindividualsaswell.

Toafflictdamageontheenemy’sforces,donotrelyonbattle;decreasethehard,increasethesoft.1

To pursue your enemy successfully, it is not absolutely necessary to intensifyyourattack.Ifyouconsolidateyourdefenseandencouragetheenemy’sfatigue,youcantransformyourownstancefromoneofinferioritytosuperiority.

Thestrategyof“AwaitHisTiredStepsatYourLeisure”seekstoincreaseyourtroops’ leisure (and thus refresh them),allowing themtokeep theircomposurewhileawaitingtheenemy’sfatigue.Inthe“TheHollowandtheReal”chapterofSunTzu’sTheArtofWar,itsays:

Ifyouproceed to thebattlefieldbefore theenemyand intercepthim,youwillbeable tofightwithcomposure.If,onthecontrary,youarriveat thebattlefieldaftertheenemy,youwillbeforcedintoadifficultfight.Thus,ifyou are skillful in battle, you will not be drawn into the strategies andmaneuversoftheenemy.

Inthe“Maneuvering”chapter,itcontinues:

Takeupapositioninabeneficial location,andawait theenemy’scomingfromafar.Befullyrested,andawaittheenemy’sfatigue;eattosatiety,andawaittheenemy’sstarvation.

Although theword “await” suggests a certain passiveness, this does notmeanthat you should await good fortune or a fortuitous act ofHeaven.Rather, thisstrategyrequirestheactivenourishingofanardortostrikeattheenemywithoutremiss,topreserveandprotectone’sstrength,andtoawaittheenemy’sfatiguewhilefortifyingyourownreserves.Then,graspingthemomentwhentheenemyappearstobeexhausted,pressforwardwithsingularresolveandtakethevictory.“AwaitHisTiredStepsatYourLeisure”isessentiallyastrategyforgrasping

theinitiativeinbattlebywearingdownyouropponentinasubtlemanner.

SunPinDefeatstheWeiTroopsaSecondTimeThirteenyearsafter theCh’i tacticianSunPindefeated the troopsofWeiwiththestrategyof“SurroundWei,HelpChao,”heagaindemolishedtheWeiarmy,thistimewiththestrategyof“AwaitHisTiredStepsatYourLeisure.”Theyearwas341BCEbytheWesterncalendar,andWeihadmobilizedalarge

army toattack thestateofHan.Receivinganurgent request tocome toHan’s

aid, Ch’i once again appointed T’ien Chi as commanding general, and onceagainhehadhistroopsattacktheWeicapitalatTaLiang.TheWeigeneral,P’angChuan,wasdeterminednottofallintothesametrap

twice.Turninghisarmyaround,thistimehetookupapositiontoattacktheCh’iarmyfromtherear.Atthispoint,thetacticianSunPinsuggestedthefollowingtoT’ienChi:“TheWeisoldiersarerecklessatheartandbelieveourtroopstobecowardly.

Thepersonwho fightswell is onewho canmakeuse of his enemy’s spirit inreverse.Andinthemartialartsitissaidthatwhenyouareenticedbygainandchase the enemy too far, youwill loseyourgeneral in ahundred leagues, andhalfyoursoldiersinfifty.Letusgraduallydecreasethenumberofourcampfireswhenwe billet from one hundred thousand today to fifty thousand tomorrow,andthentothirtythousandthedayafter.”P’angChuansawthatthecampfiresoftheCh’iarmyweredecreasing,andon

the third day of the pursuit he rejoiced. “I’ve heard that theCh’i troopswerecowards,but they’vebeen inour territorybarely threedays, andalreadymorethanhalfofthemhavedeserted.Thisisincredible!”So saying, he left his foot soldiers behind and, leadingonly a light cavalry,

beganwhatheexpectedwouldbeaquickandsuredefeat.Meanwhile, Sun Pin had estimated that the approachingWei troops would

reachMaLingaround theevening.MaLingwas ina ravine.Theroad inwasnarrow,andsteepslopesboundedbothsides.Thusitwastheperfectplaceforanambush.P’angChuan’scavalryapproachedMaLing.Allofasudden,thecrossbowsof

theCh’itroopssangoutwithonevoice.Asdarknessdescended,theWeitroopsfellintogreatdisorderandweredestroyed.Inthemidstofthebattle,P’angChuanissaidtohavecommittedsuicide.Sun

Pinhadconsolidatedhisdefenseandchosenthebattlefieldwell.Ininvitinghisenemy’sapproachhehadabandonedthehardforthesoft,andwasabletostrikewithasingleblowathisfullyextendedopponent,makingforanoverwhelmingvictory.

LuSun’sManipulationofTroopsDuringtheperiodoftheThreeKingdoms,Wu’scommandinggeneral,LuSun,wonaresoundingvictorybyusingthisstrategyattheBattleofI-lingagainstthegreatarmyofLiuPei.UponhearingofLiuPei’sdispatchoftroops,allofthecommandersoftheWu

armygrewagitatedandprepared forbattle.Thesupremecommander,LuSun,

calmed his generals and said, “Liu Pei hasmobilized his entire army and hasmade an incursion into our territory.Moreover, as he has camped in a naturalstronghold, we cannot attack and defeat him. And even if we attacked himsuccessfully,wewouldbeunabletodestroyhisentirearmy.Ifwelost,wewouldbe invitingan irrevocablesituation.On theotherhand,our troops’moralewillnotweaken ifwewait here for a littlewhile.We can assess the situation andmaybe change it, making arrangements to our advantage. The enemy isadvancing through the mountains, so their troops will arrive fatigued. We,meanwhile,cansitherehappilyandawaittheexhaustionoftheirtroops.”LuSun’sthinkingalignedperfectlywiththestrategy“AwaitHisTiredSteps

at Your Leisure,” but the other generals could not understand his suggestion.TheywhisperedamongthemselvesthatLuSunwaslosinghisnerve.ButthefactwasthatLiuPei’sexhaustedarmywasinnoconditiontofight.In

adrawn-outbattle,hisroad-wearytroopswouldbeatagreatdisadvantage.Thiswas unavoidable. Aware of the problem, Liu Pei added several thousandadditional troops and had themencampon level ground, thus inviting theWuarmy tomake its attack.TheWugenerals thought that now, indeed,was theirchance,andscrambledtogetherinaunifiedforce.LuSun,however,heldthembackyetagain,saying,“Waitawhile.Theyareundoubtedlysettingatrap.”In this way, both armies patiently stood their ground for over half a year.

Finally,itwasapparentthatLiuPei’sside,whichwasunabletoinitiateastrikeagainsttheWutroopsonhigherground,wasgrowingfatigued.Atlast,frustratedwiththestalemate,LuSungatheredhisgeneralstogetherandcommandedthemtomakepreparationsfortheattack.Thegeneralsdisagreed.“Weshouldhavestrucktheirvanguardearlier.Now,

overhalfayearhaselapsed,andduringthattimetheenemyhascapturedagreatnumberofpositionsthatheguardsforcefully.Evenifweweretoattacknow,wewouldhavenochanceofvictory.”LuSun,however,saidthatthiswasnotthecase.“Don’tyouseethatLiuPei

is an old campaigner of many battles? When he first approached, he had adetailedplan,sohadwefoughtthen,wewouldhavehadnochanceofvictory.Butnow,hislineofbattleisatastandstill,histroops’fatigueisatitsheight,andthey are demoralized. Even more importantly, he has no plan to resolve hisproblem.Now,indeed,isourbestchancetosurroundandannihilatehim.”Sosaying,hemadeanall-outattackand,aftermuchfiercefighting,destroyed

LiuPei’sgreatarmy.

MasterKimura

ShogiMasterKimuraYoshio,who raised an entire generation on the gameofshogi,used“AwaitHisTiredStepsatYourLeisure”asaweaponinhisarsenalof tactics. Generally speaking, long periods of thought in shogi competitionindicate an unfavorable turn of events. However, Master Kimura turned thistechnique on its head. Rather than dropping into deep thought when his ownsituationgrewprecarious,hewouldsinkintodeepperiodsofthoughtwheneverhiscompetitors’circumstancesgrewunfavorable.Manyofthemwereunabletoendure this Kimura’s “long thinking.” They grew impatient and their spiritssank,whichwasofcourseMasterKimura’sintention.Forallweknow,hecouldhavebeenthinkingaboutwhathewasgoingtohavefordinnerashewatchedhisopponent’sexpressionwithafarawaylook.Buthistacticsweresuccessful.Asaresult, half of his opponentswould resign in defeat rather than continue in anattempttodrawvictoryfromaweakerbutnotinsurmountableposition.

Iftheenemy’sinjuryisgreat,attackwithforce,andprofit.Thehardwillscatterthesoft.1

Whenyoudrive theenemy intodesperatecircumstances,youmust attackhimoverwhelmingly and bring thematter to an endwith a single blow. This is astrategyinwhichthestrongtakesadvantageofhisownpowerandvanquishesaweakenemy.

“TakeAdvantageoftheFiretoPlundertheGoods”isfundamentallyastrategyinwhichyoutakeadvantageofaperson’sweakerpositiontoforceyourself inand commit larceny. That is to say, you take advantage of your opponent’sweaknesstoattackhimmercilessly.Ifyouropponent’sforcesarefirmlyunitedandhaveprepared foran invasion,yourattackwillnoteasily succeed.On theother hand, if your opponent is hamstrung by factional strife, or the commonpeoplearebeatendownbydissatisfactionwiththeirlives,orheisdistressedbypressurefromtheoutside,youhaveanunparalleledopportunity.Atsuchtimes,you should strike unhesitatingly and finish him off completely. This is thestrategyof“TakeAdvantageoftheFiretoPlundertheGoods.”Butwhatdoyoudoinsituationswhenyouareunabletodiscoveranopening

withwhich to take advantageof youropponent?Twocountermeasures canbeconsidered. The first is to wait patiently until your opponent exposes a weakside.Theotheristoinduceyouropponenttoexposehisvulnerablespot.

LiuPangDefeatsHsiangYuWiththedeathoftheFirstEmperor,2theCh’indynastyfell,andtwooutstandingmen,LiuPang3andHsiangYu,4tooktheopportunitytofightforthehegemonyofChina.TheclashbetweenthesetwoheroeshasbeencalledtheBattleofCh’uandHan. The battle continued for over three years. In the beginning, HsiangYu’s superior military force held sway. Liu Pang fought and was defeated,regroupedandfoughtandlostagain,andwascontinuallychasedawayeachtimeheregrouped.Throughoutallofthis,however,LiuPangfoughtwithtenacityandgradually

gainedground.Bythethirdyearofbattle,LiuPang’sstrategicascendancywasbeginning to take hold, and Hsiang Yu grew increasingly more isolated.However, after three years of intense fighting, Liu Pang’s forces were alsoburdenedwithfatigue.In this stateofaffairs, consequent toanoffermadebyLiuPang,both sides

agreedtoanarmistice.HsiangYuimmediatelyheadedhome,andLiuPangalsopreparedtocollectandwithdrawhistroops.

Atthispoint,thetacticiansChangLiangandCh’enP’ingadvancedandspoketoLiuPangoneaftertheother.“Notonlydowepossessone-halfoftheempire,butthelocallordshavealso

becomeyourallies.HsiangYu’smilitarystrength is spentandhis suppliesarelow.ThisindeedisproofthatHeavenhasforsakenHsiangYu.Ifyoudonottakethisopportunitytoattackhim,itwillbenothingotherthan‘nurturingatigerandplantingtheseedsofdisaster.’”Therootofthisideawas,ofcourse,to“TakeAdvantageoftheFiretoPlunder

theGoods.”ThetacticiansreasonedthatifLiuPangdidnotfinishoffhisenemynow,itwouldbeimpossibletoknowwhenhewouldhaveanotheropportunity.Inshort,LiuPangshouldtakeadvantageofhisopponent’sweaknessandstrikehimdown.LiuPangagreed,preparedacarefullyarrangedincursion,movedhistroopsin

pursuit,andfinallydestroyedHsiangYu.

The“Human-heartedness”ofSungHuaiIncontrasttoLiuPang’sdecisiveaction,HuaiKung,therulerofSung,tookpityon his enemy and let a perfect opportunity pass. He showed jin, or “human-heartedness.”During the Spring and Autumn period, Ch’u mobilized a large army with

plans to attack Sung. The Sung troops prepared tomeet the enemy along thebanksoftheHungRiver.Onthatday,theSungwerereadyforbattle,hadtakenuptheirpositions,andwereawaitingtheCh’uarmy.TheCh’utroops,however,hadnotevenfinishedcrossingtheriver,letalonetakenupaposition.Seeingthis,thearmycommander,MuI,advancedandspoketoHuaiKung:“The enemy has a greater force, and our allies are few. They have not yet

crossedtheriver.Let’sattackthembeforetheyarefullyprepared.”ButHuaiKungsaid,“No,no.I’mnotcapableofsuchcowardice,”andturned

adeafeartoMuI’sadvice.Notlongafter,theCh’uarmycrossedtheriverandbegantosetuptheirbattle

formation.Mu I again recommended an attack, but againHuaiKung refused,saying,“No,onlyafterthey’vepreparedtheirbattleformation.”Theoutcomewaspredictable.Oncebotharmieswerefullyprepared,theSung

armywasunsparinglyrouted.HuaiKunghimselfreceivedalegwound,andintheendhisforcescollapsedandtookflight.ItissaidthatpeopleofthetimederisivelyreferredtoHuaiKung’ssympathy

andconsiderationfortheenemyas“SungHuai’s‘human-heartedness.’”

GivetheEnemyanOpeningandHeWillTakeAdvantageofItThereisapassageinTheBookofPoetry5thatgoes,“Brothersmayfightinsidethe wall but will guard against their enemy outside.” That is, even thoughbrothermay fight brother inside the house, theywill rally to a unified line ofdefensewhenattackedfromtheoutside.Thisistheideal,tobesure,butitisoftennotthereality.Howmanytimeshas

afamilycometocompleteruinasaresultofbrotherfightingbrother?Thesameis true of nations and businesses. Internal antagonisms, internal disputes—allsuch things weaken organizational strength and invite a reduction ofachievement.But even thatwouldbe tolerable if thereweren’t opponents in the shadows

just waiting for an opening. Should there be such an opponent, he will takeadvantageofasituationwithouthesitation.The SovietUnion’s invasion ofAfghanistan in 1979 is a prime example of

this.Regardlessof theoutcomeof theconflictoryourpersonalopiniononthesubject,clearlyonereasontheSovietsinvadedinthefirstplacewasbecausetheAfghansleftthemanopeningtootemptingtoignore.If anopening is given, itwill be taken advantageof.Therefore, one should

protectone’spositionbynot showinganyvulnerability, especiallywhenone’spositionisnotentirelysecure.

Disturbtheenemy’sfocus.

Ifheisunabletothinkstraight,youwillhavetheimageofthehexagram,Ts’ui,theEarthbelow,theLakeabove[thebreakthroughofrisingwater].Takeadvantageofhisbeingunabletomanageonhisownandseizecontrol.1

When the enemy’s line of command is in confusion due to an attack, hemaybecome distracted and be unable to respond properly to changes incircumstances. This is similar to the situation of an imminent break in anembankmentwhen thewater rises to a threatening level.At such a time, youmusttakeadvantageoftheenemy’sconfusionandannihilatehimwithasingleblow.

“BeHeardintheEast,AttackfromtheWest”comprisesthefollowingsteps:

First,developafeintoperationbyappearingtostrikefromadirectionotherthanyourintendedgoal.Theenemywillbe forced to shifthis troops to strengthenhisdefenses intheareaoftheattack,leavingotherareasmorevulnerable.Strikeimmediatelyattheweakenedarea.

Thesourceof this strategymaybe theninth-centuryencyclopediaT’ungTien,whichsays,“Raiseyourvoiceasthoughstrikingintheeast,butinreality,strikeinthewest.”Thisstrategyreliesonillusiontoconfuseortricktheenemy.Thekeyistopull

theenemyintoafeintoperationandhavehimcommitaconsiderablesizeofhisarmysoastoweakenhisforceattherealpointofattack.However,iftheenemycommanderretainshiscomposureandjudgment,orclearlyreadswhatyouhaveinstoreforhim,hewillmostlikelysetupacountertactic.Thisstrategymustbeemployed convincingly and with the cunning of your adversary foremost inmind. If you fail in this and are outmaneuvered, you will surely suffer asignificant defeat. Therefore, employ this tactic when you find a level ofincompetence in the enemy’s commander and/or confusion in his line ofcommand.

Ts’aoTs’aoCountersYuanShaoThe climax of the first half ofThe Romance of the Three Kingdoms was the

BattleofKuanTu,whenTs’aoTs’aoandYuanShaoclashedoverthehegemonyof northernChina.Yuan Shao, leading a large army of one hundred thousandmen, attackedTs’aoTs’ao’s headquarters atHsu, first dispatchinghis advancetroopstosurroundTs’aoTs’ao’sadvancebaseatBaiMa.Thattheywereabletoenvelope BaiMa so easily affected the morale of all the troops. Ts’ao Ts’aohimself led hismain force, intending to hasten to the relief of the surroundedtown.Justthen,astaffofficerbythenameofHsunYuadvancedandsaid:“Thereisnowaywecandefeathimwithsheermilitaryforce.Wemustfinda

meanstobreakuptheenemy’smilitarystrength.Weneedatwo-stepplan.First,sendapartofourarmytowardYenChin,crosstheYellowRiver,andmakethepretense of circling around to the enemy’s rear. Thiswill causeYuanShao tomoveapartofhislargearmytothewestinordertomeetourattack.Withthisopening, lead a light cavalry to BaiMa and quickly strike at the enemy in asurpriseattack.Ifyoudothis,youcandestroyhim.”Ts’aoTs’aochosetofollowtheadvice.AssoonasYuanShaoheardthatTs’ao

Ts’ao’s troops had crossed the river at Yen Chin and were closing in for anattack,he immediatelydividedhisarmyinhalfandledoneof thedivisions tomeettheattack.WhenTs’aoTs’aoascertainedthesplit,heswiftlywithdrewhisentirearmyandhurriedtoBaiMa,whereheutterlydestroyedtheotherdivisionofYuanShao’sarmyandeliminatedthethreattohisadvancebase.

GuerrillaWarfareand“BeHeardintheEast,AttackfromtheWest”

The guerrilla tactics of the Eighth Route Army led by Mao Tse-tung oftenemployed this strategy. In his famousComments on ProtractedWarfare,MaoTse-tungstatedthefollowing:

Superior forceand leadershipmayfalldue to illusionand inattentiveness.Therefore,creatinganillusiontofooltheenemyandtakehimbysurpriseistheway to overcome superior forces and take the lead.What is illusion?“Tofeintstrikingintheeastwhiletrulystrikinginthewest”isonewayofcreatingillusion.Insituationswherethereisanexcellentpopularbasethatwill protect information leaks, and one can take various methods fordeceivingtheenemy,youcanoftentricktheenemyintomakingmistakesinbothjudgmentandaction.Ifso,youmaybeabletorobyourenemyofhissuperiorforceandleadershipposition.

ItiscommonknowledgethattheJapanesearmyfellvictimtoMao’sfeintsand

founditselffrustratedanditspositionweakened.“BeHeardintheEast,AttackfromtheWest”isaclassictechnique,andone

should fullyunderstand that it is readilyavailable tobothenemyandally.Buteventhen,ifitsexecutionisskillful,theresultswillbeastonishing.Tothisday,thistechniquehasnotlostitseffectiveness.

Napoleon’sStrategyforEmbarkationtoEgyptIn 1798, when the French fleet led by Napoleon wanted to leave the port ofToulon and embark to Egypt, it faced a major hurdle: the formidable Britishfleet,ledbyAdmiralNelson,controlledtheMediterraneanSea.Inordertomakehisway,Napoleonneededtoforcehisopponenttomove.Todoso,heemployed“BeHeardintheEast,AttackfromtheWest.”WhenNapoleonhadmadeallhispreparations todepartToulon,hesentout

information that the object of his campaignwould be Ireland, in the oppositedirectionbeyond theStraitsofGibraltar.Thinking theplanperfectlyplausible,NelsonfellfortheruseandgatheredtheBritishfleetclosetoGibraltar,waitingforaconfrontation.Napoleon’sployhadworked,andhewasabletoswiftlytakeadvantageofthe

openingcreatedbytheredeploymentoftheBritishfleet,andembarkforEgypt.Iftheexecutionisskillful,evenagreatadmirallikeNelsoncanbedrawnin.

Whenyouengageinhostilitiesagainsttheenemy,youmustnotshowanyweakness.Whileyourtroopsdisplaytheirstrength,takeadvantageoftheenemy’sweaknessandplantheextensionofyourbase.Youmustintendtoengageyourenemyinafightinwhichyouattackhisweaknesswithyourstrength.Lethimcutyourskin,whileyoucutthroughhisflesh.

Thereisdeception.Thereisotherthandeception.Placeyourstrengthindeception.Smallyingrowstogreatyin,andinturntogreatyang.

You confound the enemy’s vision by making it appear as though somethingexists,eventhoughitdoesnot.However,itisdifficulttopassthisdeceptionofftotheveryend,soyoumustfinallyswitchoverandmakesuresomethingdoescomefromnothing.Inshort,youconcealthetrueforminaprovisionaloneandensnaretheenemyinanillusion.

“Create Existence from Nonexistence” is a strategy in which you create anillusionofexistence,andsoconfuseyouropponent’s judgment.The followingtwoconditionsareprerequisitesformakingthisstrategyasuccess:

Theenemycommandermustbethetypeofpersonwhowilleasilyfallforthestrategyyouhavedevised,whetherhebesimple-mindedorsuspicious.Ifyourillusionconfusestheenemy’sjudgment,inthenextstepyouchangeto“existence,”thenfollowupwitharainofblowsinonesingleeffort.

Thechangefromnonexistencetoexistence,orfrom“emptiness”to“reality,”isthesecrettosuccess.

ChangHsun’sStrawMannequinsDuringtheT’angperiod,AnLu-shanroseinrebellionandorderedhisgeneral,LingKu-ch’ao,tosurroundthefortressatYungCh’in.Atthistime,amanbythenameofChangHsunwasgiventheresponsibilityofcommandingthegarrison.Therebelforceswerestrong,andthegarrisonwasquicklyisolatedandcutofffromallrelief.Atthatpoint,ChangHsundevisedatactictobreakthroughtheirpredicament.

Heorderedhissoldierstomakeathousandmannequinsofstraw,dresstheminblackclothing,securethemwithrope,andlowerthemdownthefortresswallsatnight. Seeing the mannequins, the rebel soldiers thought that men weredescendingthewalls,andsorushedto theforefrontandunleasheda torrentofarrows.ChangHsun’smenraisedthestrawdummiesandsuccessfullyharvested

thousandsofarrows,thusrefreshingtheirsupply.ThenextnightChangHsunonceagainordered thedummies tobe lowered.

Thistimetherebelforcesunleashedonlyafewarrowsbeforetheydrewback.On the third night, Chang Hsun lowered his soldiers down the walls. The

enemy forces refused to be fooled a third time and simply laughed as theywatchedthedescentfromadistance,makingnopreparationsforbattle.InthiswayChangHsunsuccessfullyloweredfivehundredsoldiersdownthe

fortresswalls,caughttheenemybysurprisewiththissuicidecorps,andstrucktheenemydownwithoutmercy.

HowFuChienBroughtAboutHisOwnDefeatTheendofthefourthcenturywastheeraoftheEasternTsincourt,whichhaditscapital in Nan Ching. Fu Chien of the Former Ch’in held sway over all ofnorthern China, and in order to destroy the Eastern Tsin and unite the entirecountry, he mobilized a great army of one million men and advanced for anattack. The Eastern Tsin army that came tomeet the attackwas composed offewerthaneightythousandmen,lessthanone-tenththesizeofitsopponent.The two armies clashed along the banks of the Fei River, and the result,

contrarytothegeneralexpectation,endedinahugevictoryforthesmallerarmy.Whywasthisoverwhelminglysuperiorforcedefeatedandputtoflight?ThekeyisintheterrorthatwasinducedfromanillusionperpetratedbytheEasternTsinonFuChien.The inferior forceof theEasternTsinarmy took the initiativeandopeneda

concertedattack.From theveryoutset,FuChienmade littleofhisopponent’smilitary strength. However, when he took a closer look, his opponent wasapproachinginabattleformationso tight,so impressive, that itappearedevenwatercouldnothavepassedthrough.Frightened,FuChiendidnotstoptothink,and fell under the mistaken perception that the troops of the Eastern Tsinstretched far into the distance, all theway to the foot ofMount PaKung.Heturned tohis staffofficers andmuttered, “This is incredible!Theenemyhasamuchlargerarmythanwethought!”FuChien’sshockandlossofconfidencecommunicateditselfquicklytothose

underhiscommandandresultedingreatconfusion.Thisledtoadefeatthathecouldnothaveimagined.Intheend,theEasternTsin’stacticalillusion,inwhichtheycreatedmorefromless,hadcausedFuChientomakesomethingofnothing,andhismisjudgmentbroughtabouthisowndownfall.

Bydisplayingsomething,therewillbemotion.Takeadvantageofthisbasicstillnessandplaceyourfoundationinit.

Increasemovesandthenfollowthrough.1

This is a strategy inwhich you utilize a series ofmaneuvers.Develop a feintoperation, and if the enemy is taken in by your activity and strengthens hisdefense at the focus of your feint, then secretly marshal your forces andcommenceasurpriseattackfromadifferentdirection.

“CrossOvertoCh’enTs’angintheDark”isastrategyinwhichyoupretendtostrikepointA,butinfactstrikepointB.Inconception,itissimilartoStrategy6,“BeHeard in theEast, Strike in theWest.”Needless to say, the real object ispoint B. You hide that aim, first striking point A and drawing the enemy’sattention there.Havingdone this, younowstrike at pointB.Becauseyoucanstrikeatthepointoftheenemy’sinattentivenessandweakness,yourchanceofvictoryisextremelyhigh.The success or failure of this strategy, however, depends entirely on the

successorfailureofthefeinttactic.Inordertomakeyourfeinttacticasuccess,youmustproceed carefullywith thepreparation for themaneuver todraw theenemyin.If this is not accomplished, the feint tactic will not be a success and your

strategywillfail.

HanHsinOutflanksHisOpponentThisstrategytookitspresentformfromthesaying,“Constructtheplankroadinthelightofday,crossovertoCh’enTs’anginthedark,”andisbasedonatacticoftheHan-periodgeneralHanHsin.After thedestructionof theCh’indynasty,HsiangYuawardedLiuPangthe

position of ruler of Han. Liu Pang took up his post and stationed troopsthroughoutHan.In travelingfromtheLandwithin thePasses[Shensi] toHan,LiuPanghad tocrossover theCh’inLingmountainrangeand traversearoadthatborethroughthemountainsandcontinuedoveraprecipiceviaasuspensionbridge. Thiswas called the PlankRoad of Shu.On hisway to occupying thestateofHan,LiuPangpassedoverthePlankRoadandreducedittoashes.This deedwas done to indicate that he had no intention of returning to the

Land within the Passes and thus to assuage the vigilance of Hsiang Yu andunderscore that in his new, more powerful position he, Liu Pang, posed no

threat.HsiangYuacknowledgedthisaction,entrustedtheruleoftheLandwithinthePassestoothergenerals,andthenwithdrewtohisownhomebaseintheeast.After a year Liu Pang decided to challenge Hsiang Yu’s hegemony and,

entrustingHanHsin to thepositionofcommandinggeneral,heonceagain setouttostrikeattheLandwithinthePasses.Atthispoint,HanHsinsentlaborersouttodealwiththereconstructionofthe

PlankRoad.Signalingthathewouldtakeupastrongoffensivepositiontostrikeaftercrossingthebridge,hedrewtheenemy’sattentiontothereconstructionofthePlankRoad.Theenemyrespondedbystrengtheningitsdefensesinthatarea.Meanwhile,HanHsinsecretlyadvancedhisarmyalonganancient,roundaboutroad anddefeated the enemygarrison atCh’enTs’ang, a decisive victory thatensuredhehadtheLandwithinthePassesinthepalmofhishand.

ChiangWei’sUnconvincingStrategyAs mentioned previously, the success or failure of this strategy relies on thestrength of the feint tactic. If the feint fails to convince the enemy, or theirleaderssimplyseethroughit,thenallwillcometonaught.During theperiodof theThreeKingdoms, theeccentricShugeneralChiang

Wei led his army to invade the state ofWei. Themanwhowent tomeet theattackwastheWeigovernorgeneralofNan-an,TengAi.TengAisuccessfullystoppedtheShuarmy,buthenotedthat“theenemyhas

notretreatedfar,sothereisapossibilitythathewillattackagain.Wemuststayhereandstrengthenourguard.”Sosaying,hebivouackedonthenorthernbankof thePaiRiverandkeptan

eye on the enemy’s moves. On the fourth day, Chiang Wei dispatched asubordinate,LiaoHua,tothesouthernbankofthePaiRiverandhadhimtakeupapositionofattackwitharmytroops.TengAiobservedtheproceedingsbutwasunconvincedofthesincerityofthe

maneuver. He gathered his subordinate generals together and said, “ChiangWei’sarmydoubledbackquiteabruptly to thesouthbank.Ourownforcesareinferior tohis,soit’snatural thatheshouldcrosstheriverandattack.Andyetfromwhatwecansee,thereisnoindicationofhisdoingso.ItseemstomethatLiaoHua’sroleistotieusdownhereanddistractus,whileChiangWeihimselfleadsanarmytoinvadeourfortressatT’ao.”Thatnight,TengAigatheredhis troops,wentdirectlytothefortressatT’ao

along a secret path, and strengthened its defenses.AsTengAi had suspected,ChiangWeicrossedtheT’aoRiverandadvancedtoattack,butasTengAihadalready strengthened his defenses, nothing was gained and Chiang Wei was

forcedtowithdraw.ChiangWei employed the strategy of “Cross Over to Ch’en Ts’ang in the

Dark,”buthisopponentTengAisawthroughhisplot,andChiangWei’sstrategyultimatelybackfired.

TheStrategybehindtheLandingatNormandyManyreadersmightbesurprised to learn that“CrossOver toCh’enTs’ang intheDark”was used successfully by theAllies in one of the landmark battlestowardtheendofWorldWarII—thelandingatNormandy.Lookingatthemap,itisclearthatincrossingthechannelfromthesoutheast

partofEnglandtothecoastofFrance,landingintheprovinceofPasdeCalais—ratherthanNormandy—istheclosestintermsofdistanceandprovidesthebestconditionsforboththetransportofmaterialandairsupport.Inshort,itwastheobviousandmostadvantageouschoicefortheAllies.TheGermanarmyjudgedthis themost suitable location for a counteroffensive to begin andwatched itcarefully.TheAlliesspreadfalseinformationthroughagentsanddoubleagentsthat indeed Pas de Calais was their objective. They sent out incessantinformationconfirmingtheplanandflewconcentratedbombingsortiesoverthearea, giving the impression that the landing would be nearby. The Germanspreparedforanattackbybuildingupahugedefensivepositionthere.WiththeGermanarmy’sattentionfocusedonPasdeCalais,theAlliesbegan

theirinvasionatNormandyandwereabletosucceedduetotheirfeintoperationandmeticulouspreparation.

Whendiscordisapparentandheraldschaos,waitintheshadowsfordissentfromwithin.

Violentobstinacyandselfishactionwillofitsownforceself-destruct.“Withorder,motionisenthusiastic.Enthusiasmwithordermoves.”1

Iftheenemy’sinternalcontradictionsdeepen,andtheirinternalregulationsfallapart,watchsteadilyandquietly,andwaitforaneruptionofsomethingirregular.Fromenmityandantagonism,theirkillingofeachotherbegins—theirinevitabledemisewindingalongtheroadofself-destruction.You,however,shouldassumeapositionoflookingonwithfoldedarms.Goodfortunewaitsandsleeps.

“On the Distant Shore,Watch for Fire” assumes an attitude of watching andwaiting.ThefollowingisfoundinTheArtofWar:

Wiserulersandgeneralsalwaysstrivetoattaintheirpurposeinwarwithanattitude of caution. If they do not have favorable conditions and aninvincible force, theydonotcommencewithstrategiesandmobilizations;and unless absolutely unavoidable, they do not embark on any militaryactivitiesatall.

Evenifyourmilitaryforceissuperior,tosetoutonanattackblindlyisunwise.And, even if you win a temporary victory, your side will be unable to avoidconsiderablebloodshed.Soeven ifyouconsider thisavictory,youcannotsaythatitisalaudablewayofwinning;itisnothingmorethanaPyrrhicvictory.Whenthereisevidenceofinternaldiscordwithinyouropponent’sranks,itis

advisable to watch steadily and quietly and to wait for your opponent’s self-destruction.Totakeadvantageofthesituationandattackwhenyouropponentsare beginning to suffer internal discord is one method, but doing so may,contrarytowhatyoudesire,servetounitethem.Thusattackingwhenyounoticethe first strainsofdiscordcannotbe calledanexpedientplan.At sucha time,you should assume a watchful attitude and wait for your opponents to self-destruct.Thisisthestrategyknownas“OntheDistantShore,WatchforFire.”Acorollarytacticissummedupinthephrase,“Afisherman’sbenefit.”2This

strategy involves creating a situation that encourages your opponents to fighteachother, thusdissipating theirownforces,whileyouyourselfpreserveyourstrengthandwaitforyouropponentstodestroythemselvesfromwithin.Puttingthis second tactic towork is easiestwhenyounotice internal dissention.BothstrategiesconformwithSunTzu’stenetof“winningwithoutfighting.”

AttackversusWatchfulPatience—Strategy5VersusStrategy9Theinternalstrifeorcontradictionsofanopponentprovideachanceforyoutotake advantage of him.To attack your opponentwithout hesitation and defeathim utterly is the fifth strategy, “Take Advantage of the Fire to Plunder theGoods.”Theninthstrategy,“OntheDistantShore,WatchforFire,”alsohastheopponent’sinternalstrifeandcontradictionsasprerequisites.However,thisployinvolveswaitingforyouropponent’sinternalcollapsetotheveryend.Fromthepointofaimingforasituationof“Awethandeasilygrabsbubbles,”3thismaybefarandawaymorecunningthanthefifthstrategy.Evenifanopponentmakesnoattempttohidehisinternaldiscordfromyou,

there is a possibility that an unskillful demonstration of aggressionmay onlyservetounifyhim.Watchsteadilyandquietlyandwaitforhisinternalcollapse,byfarthewiserofthetwopolicies.Decidingwhichstrategytousedemandscarefulconsideration:itisdifficultto

judgewhether one should strike forcefully or simplywatch quietly. There aremany cases of leaders waiting patiently on the sidelines for signs of internalstrifeintheenemy’sranks,onlytoseetheirchanceforattackevaporatebeforetheir eyes. If you do decide to attack, strike as swiftly as lightning, move asquicklyasasparkflyingoffastone.In either case, penetrating vision is essential.When youwatch quietly, you

mustdosothoroughly.

Ts’aoTs’ao’s“OntheDistantShore,WatchforFire”InTheRomanceoftheThreeKingdoms,Ts’aoTs’aodefeatedYuanShaoattheBattleofKuanTuandgainedcontroloverallofnorthernChina.YuanShao’ssons,YuanShangandYuanHsi,escaped,makingtheirwaytosafetyamongtheWu-wan, a non-Chinese people in northChina,with the intention of resistingTs’aoTs’ao.Toeliminatethethreatinthenorth,itwouldbenecessaryforTs’aoTs’aotostriketheWu-wan.Therefore, in the year 207of theWestern calendar,Ts’aoTs’ao set forth to

subjugate theWu-wan,andannihilated themwith littleeffort.YuanShangandYuan Hsi fled and took refuge with Sun K’ang, the duke of Liao Tung.Previously, the duke had successfully defended himself in Liao Tung againstTs’ao Ts’ao.With a common enemy, theYuan brothers felt assured of a safehaven. Furthermore, they secretly reasoned that if the chance presented itself,theywouldusurpSunK’ang’sposition,entrenchthemselvesatLiaoTung,andfromtheirnewbaseresistTs’aoTs’ao.

At this point, the officers of Ts’ao Ts’ao’s staff recommended immediatelyadvancing their army to Liao Tung, subjugating Duke Sun K’ang, and at thesametimeannihilatingYuanShangandhisbrother.ButTs’aoTs’aovehementlyrefused,saying,“No,no.I’mthinkingthatYuan

Shang andYuanHsi will be finished off by SunK’ang.We needn’t take thetroubleofmobilizingthearmynow.”Sosaying,hewithdrewtohiscapital.Sureenough,thewordswerebarelyout

ofhismouthwhentheheadsofYuanShangandYuanHsiweredeliveredtohimfromSunK’ang.The staff officers could not understandwhy this had happened.When they

inquiredabouttheapparentbetrayal,Ts’aoTs’aoreplied,“Thedukefearedtheinfluence of Yuan Shang and his followers from the very beginning. If I hadmobilizedmyarmyand attacked, I suppose theywouldhave combined forcesagainstus,butbyleavingthemalone, itwasonlyamatterof timebeforetheybeganfightingamongthemselves.Thisisjustthenaturalcourseofevents.”It is in situations like this, when internal conflict is probable, that “On the

DistantShore,WatchforFire”shouldbeapplied.

Withaneasymanner,putyourenemyatease.

Inobscurity,makeyourplans.Makepreparations,thenmove.Donotletyourplanschange.Thisisbeingstrongwithinandsoftwithout.

Demonstrate a friendly sincerity and dissolve the enemy’s sense of vigilance;secretly devise a strategy to knock him down. Only act after you have fullyarranged your preparations. Moreover, at that time, you must hide your trueintentionsuntiltheverylastmoment.Thisisastrategyinwhichyouconcealadaggerinyourbreast,whileonthesurfaceyouconductyourselfwithasmile.

“Conceal a Sword behind a Smile” is, as the words imply, a tactic ofapproaching your opponent with a friendly demeanor, then attacking with asingleblowwhenhedropshisvigilance.Needlesstosay,remainingcheerfultothe very end is a prerequisite to softening his defenses. The chances of yoursuccessriseaccordingtothedegreethatyoucantrulyaccomplishthisstrategy.On the other hand, if you suspect that you are on the receiving end of thisstrategy,youmustquicklyconfirmthefactanddeviseacounterstrategy.Ifyouneglect to follow upwith a defense, youwill fall helplessly into the enemy’strap.

SunTzusaid:

Whiletheenemy’smessengerhumblyoffersatruce,theenemyhimselfwillbesteadilystrengtheninghisdefensesandinfactwillbepreparingplansforanattack....Whenwordsofpeacesuddenlyappearintheopposingcamp,therewillbesomesortofstrategyafloat.

In short, when the enemy approaches with endearing words, you must besuspiciousandassumeheishidingsomeotheraim.

TheEmperor’sHumiliatingLessonOntheeveof theFirstEmperor’sunificationofChina in the finaldaysof theWarringStatesperiod,an incidentoccurred that taught theemperorahardandhumblinglesson.

ChingK’o received a secret order fromPrinceTanof the state ofYen and,writing the following poem acknowledging his resolve and preparedness fordeath,madehiswaytothecapitalofCh’in:

Thewindblowslonely,lonely,ThewatersoftheYiRiverruncold.Oncethebravesoldiersdepart,Theydonotcomehomeagain.

Prince Tan had ordered his retainer to assassinate the emperor, a task that,whethersuccessfullycarriedoutornot,meantChingK’owouldneverseeYenagain.WhenChingK’osetout,hebroughtwithhimtwogiftstoswaytheFirstEmperor.OnewastheheadofGeneralFanYu-chih,whohadfledfromCh’intoYen and was considered by the First Emperor to be a traitor. Ching K’o hadcarefullyweighedFan’sstandingandthenconvincedtheexiledgeneralthatbycommitting suicide and allowing his head to be delivered to the emperor as agift,theemperorcouldbebroughtdown.Thegeneralcomplied.The second gift was a map of Tu-k’ang, the most fertile region in Yen.

PresentingthismaptotheemperorsignaledPrinceTan’sintentionofgivingTu-k’angtotheemperorastribute.But as attractive as these gifts were, they did not secure Ching K’o an

audience with the First Emperor. Next, Ching K’o offered a gift of over athousandpiecesofgoldtoMeng-chia,theFirstEmperor’sfavoriteretainer,andaskedhimtointercede.Thelureofathousandpiecesofgoldsoonensnaredtheretainer.Meng-chia went to the First Emperor and said, “The ruler of Yen fully

respectsyourhighness’sauthorityandhasendedresistancetoyourrule.Allofhis nobles are at your service and one of them has brought an exceedinglygeneroustribute.Hehashesitatedtocomeandspeakthesewordstoyouhimselfbuthas,outofgreat respect toyourhighness,cutoff theheadofFanYu-chihand sent it along with a map of Tu-k’ang to be presented to you by hismessenger.Whatdoyouthink?ShallItakecareofthis?”ThisappearedtopersuadetheFirstEmperor,andhelethisguarddown.Grantedanaudience,ChingK’omettheemperorandpulledahiddendagger.

The emperor was swift and dodged the blow. Ching K’o was restrained andpromptly executed. The emperor had survived the attempt on his life but hadlearnedahumiliatinglessonintheartof“ConcealaSwordbehindaSmile.”

AHumbleRetainerOutwitsaMoreExperiencedLeaderDuringtheperiodoftheThreeKingdoms,KuanYuofShuwasresponsibleforthe province of Ching and, while occupying Chiang-ling, mobilized andadvanced toward the north, surrounding the fortress at Fan in the territory ofWei.At the time, theman responsible for the state ofWu, awisegeneral by the

nameofLuMeng,was stationedatLu-k’ouandcarefullywatchedKuanYu’smoves.WithKuanYu’sarmymarchingnorth,Chiang-lingwasmorevulnerablethanbefore.ButKuanYukeptaclosewatchonLuMengaswell,andindeeditwould have been foolish of him to overlookLuMeng’s proximity. Leaving arespectablemilitaryforceinChiang-ling,KuanYuguardedhimselfagainstanymoveLuMengmightmake.Thus,inordertoseizeChiang-ling,LuMengwouldfirsthavetodisarmKuan

Yu’ssuspicions.LuMengpleadedillnessandwithdrewtohiscapital,appointinganunknowncommissionedofficerby thenameofLuSuntooverseeLu-k’ou.LuSun1wasanuntestedleader.WhenKuanYuheardthatayoungsterlikeLuSunhadbeenappointedinplaceoftheexperiencedLuMeng,hewasoverjoyed.However, although Lu Sun was young in years, he was the possessor of

extraordinaryartifice.AssoonasheproceededtoLu-k’ou,heimmediatelysenta letter to Kuan Yu, praising him as a man of valor and professing his ownhumble inability. This was an effort to assume a humble attitude in order toslackenKuanYu’svigilance.Convincedby thiscommuniquéof the ineffectivenessof thenewappointee,

KuanYudroppedhisguardandwithdrewtheentireforcethathadbeenpostedatChiang-ling,andthrewthemintohisambitiousattackofthefortressatFan.LuMengseizedthemomentandsecretlyledhisarmytoChiang-ling,capturingitwithoutafight.Having fallen for the “Conceal a Sword Behind a Smile” strategy, the

humiliatedKuanYutragicallycommittedsuicide.

TheTwo-facedCharacterof“ConcealaSwordbehindaSmile”During theT’angdynasty therewasamanby thenameofLi I-fu.To lookathim,hewouldseemtohaveagentlecharacter.Whentalkingtopeople,heneverstoppedsmiling.However,assoonashewasappointedcouncilorandbegantowield authority, anyone who disagreed with him in the least was put downmercilessly.Thepeopleofthattimethusfearedhimandwouldoftensay,“I-fuhasaswordinhissmile.”Thisphrasemeant thatapersonwashidingtrickery

behinda“smilingface,”andinLiI-fu’scase,itwashisfellowhighofficialsinthe government that were the objects of his strategy. In the end, however, heincurredtheirenmityandwasoverthrown.Nevertheless, if theobjectof the“sword” thatyouemploy is anenemy, the

storyisquitedifferent.DuringtheSungdynasty,thegovernoroftheprovinceofWei,amanbythe

name of Ts’aoWei, was keeping the activities of the Tangut (a non-Chinesepeoplelivinginthewest)incheck.Hecommandedastrictmilitarypresenceandwasgreatlyfearedbythesepeople.Oneday,hegatheredallthegeneralsunderhiscommandandheldadrinkingpartyforthem.Suddenly,areportcameinthatseveral thousandofhis soldiershad risen in revoltanddeserted to theTangut.Thegeneralsalllookedateachotherindismay,butTs’aoWeialonechattedon,unruffled by the news. Nonchalantly he said, “They’re only acting under myorders.Calmdown.”When thiswas repeated to theTangut, they felt certain that they had fallen

into a trap set by theSung soldiers that haddefected to them, and inorder toeliminatetheperceivedthreatkilledthemall.Whenaman ishard-pressed, ifhe isable to remain totallyunperturbedand

carry off the strategy of “Conceal a Sword behind a Smile,” his ability as aleadercannotbequestioned.

Forceabsolutelyincursdamage.Bydecreasingyin,oneincreasesyang.

Depending on how the tide ofwar develops, therewill be situations inwhichyoumustberesolvedtosufferdamage.Insuchcases,youmustsecureageneral

victoryinexchangeforlimiteddamage.

“Sacrifice the Peach to Secure the Plum” is a strategy inwhich you sacrificesomethingoflesservalue(thepeach)toobtainanobjectorgoalofgreatervalue(theplum).The same idea isbehind“Lethimcutyour skinwhileyoucuthisflesh;lethimcutyourfleshwhileyoucuthisbones.”Thisisamatterofbattle,soyoumustberesolvedtosuffersomedamage.At

suchatime,itisagiventhatonewouldseektolimittheamountofdamageonesustains. At the same time, you must compensate by obtaining a benefit thatexceedsthedamage.Inthegamesofgoorchess,piecesareoftensacrificedwiththegoalofgraspingthegreatervictory.

SunPin’sTechniqueforAbsoluteVictorySunPinwasinvitedtobeaguestoftheCh’igeneralT’ienChi,whoatthetimewasaddictedtogambling.ThegeneralenjoyedbettingwiththevariousdukesofCh’ionchariotraces.SunPinobservedtheracescarefullyandcouldseethat,atthestartinggate,thethreepairsofchariotsweredividedintoupper,middle,andlowerclasses;butwithin the sameclass, thecompetinghorseswere similar instrength.After considerable thought, he approachedT’ienChi and said, “I can show

youafoolproofwaytowinyournextbet.”T’ienChigotveryexcitedandwentaround,notonlytothedukesbuttothe

rulerhimself,andchallengedthemalltoagreatmatchwithathousandpiecesofgold.Accordingly,on thedayof the race,SunPinwhispered toT’ienChi,“Take

your slowest chariot and pair it upwith the fastest of the other party’s. Then,takeyour fastest horse andpair it against their second fastest.Then takeyoursecondfastestandpairitagainsttheirthirdfastest.”As a result, he suffered only one loss but gained two victories, and

successfullyputawayagreatdealofmoney.This isacleverapplicationof“Sacrifice thePeach toSecure thePlum”and

typicalofthestrategy.

BattleoftheDnieperRiverOneof thegreatest battles ofWorldWar II tookplacewhen theSovietswere

attackedbytheGermanarmy,andthenopenedupageneralcounteroffensive.Inthemiddleofthiscounteroffensive,intheautumnof1943,abattlewasfoughtcrossingtheDnieperRiverwiththeaimofrecapturingKiev.Atthistime,twoseparatebattalionsfromthe381starmydivision,whichwere

theSovietvanguard,splitoff fromthemainforce,crossed theDnieper fromapointwheretheyhadbrokenthroughanorthernsectionofKiev,andestablishedabeachhead.TheGermanarmylauncheda largenumberof tanksandbeganaferociouscounteroffensive.TheSovietmilitaryheadquartersorderedastubborndefense of the beachhead, the strategy of which was to draw in the Germanarmy.As expected, the German army focused its attention on recapturing the

beachhead and launched a largemilitary force to dislodge the Soviets. In theopeningthatwasthuscreated,the381stdivision’smainforceturnedtothesouthandeasilysucceededincrossingtheriver.However,thetwobattalionsthathadbeenordered tostubbornlydefend thebeachheadwereattacked ferociouslybytheGermantroopsandwerealmostentirelyannihilated.This is“killing thesmall tosave the large.” In real-lifebattlesuch inhuman

decisionsareoftenforcefullyemployed.

InBusinessandWar,SowLossandReapGainAleader lacking talentmaybeeasilydistractedbya limited loss.Both inwarandinbusiness,lossissomethingonewantstoavoid.Whenlossisunavoidable,thequestionthenbecomes,inwhatwaycanthelossbelinkedtofuturegain?Donotbecomeflusteredinthefaceofloss,butseektocalmlydiscernwhatbenefitcanbedrawnfromit.SunTzusaidthefollowing:

Thewisepersonwillinevitablythinkofthingsfromthetwoaspectsoflossandgain.Ifhewilldoso,eventswillprogresssmoothly.Conversely,whenonesuffersaloss,heshouldconsideritfromtheaspectofreceivingsomegain from that loss. If hewill do this, hewill easily bring the event to aconclusionwithoutbeingtroubled.

Alwaystakeadvantageofaminuteopening;alwaystakeaminutegain.Smallyinbecomessmallyang.

If you discover an opening, you must take advantage of it without delay, nomatterhowsmallanopeningitmaybe.Ifthereisbenefittobegained,youmusttakepossessionofitwithouthesitation,nomatterhowsmallthatbenefitmaybe.Nomatterhowminoryourenemy’sineptitude,ifyouareabletotakeadvantageofit,thatinitselfapproachesvictory.

“LeadAwaytheSheepWhenConditionsAreRight”originallymeanttobehaveunscrupulously ifcircumstancesputsomethingwithinreach.However,whenitconcerns battle tactics and techniques, it is nothing more than a strategy oftaking advantage of an enemy’s opening and amplifying war results in acalculatingway.Theconditionsthatwillrealizethisstrategyarethefollowing:

Theoriginalgoalmustremaintheforemosttarget.The tangential goal must be an easily obtained benefit that tumbles intoone’slap.Whenreachingforthetangentialgoal,theremustbenoobstaclecreatedtopursuingtheoriginalgoal.

TheCalculatingMethodsofOverseasChineseMerchantsManyChinesemerchantsrushoverseaswithoutapennyintheirpockets.Theircapitalisnothingmorethantheirownbodies.Theyoftenstartwithjustpennies,yetaccomplishgreat things.InChinese, thisphenomenonissummedupinthephrase“Toraiseahousewithemptyhands.”Insuchcircumstances,thereisnoleisureforcuttingaselegantafigureasyou

might like, and you must put your hand to anything, even those things thatpeoplefinddistasteful.Abusinessthatrequiresneithercuttinganelegantfigurenor capital, but which includes good remuneration into the bargain, is notsomethingcommonlyencountered.Iftheprofitofasinglepennyistobegained,it is not uncommon for the overseas Chinese merchant to make it his own,withoutregardforhowhelooks.In a book entitled The Methods of the Overseas Chinese Merchant, the

followingstoryisintroduced:Along timeago,anoverseasChinesewatchman,past theageof thirty,sold

beertostudentsinhissparetime.Thebeerwasincrediblyinexpensive.Whenacustomeraskedifhehadadirectconnectiontothetopwholesalersincehesold

thebeeratsuchlowprices,heresponded,“No,Isellthebeeratcost.”TheChinesemerchantseemedtobehidingsomething.Hetookgreatcareof

theboxesthatcontainedadozenofthebeerbottles,andhemadehisprofitonlyontheboxesthemselves,takingasmallfeewhenacustomerboughtinquantity.Donotconsiderthemanfoolish.Thisisacaseofdustpilingupuntilitfinally

becomes a mountain. The merchant may well have put away enough capitalfromhisstreamlinedbeerbusinesstostartamoreprofitablebusiness.

ALeader’sCapacityforCircumstantialJudgmentThereareleaderswho,onceagoalisset,takenonoticeofanythingelsebutonlyadvanceheadlongtowardthatgoal.Whilethereisnothinginherentlywrongwiththatstrategy,itdoesappeardogmaticandstubborn.When the tide of war progresses in an advantageous way, this unyielding

method is fine.But if their positionweakens, then such single-minded leaderslose the capacity for strategic leadership. Another type of leader is easilydistracted by the smallest gains and loses sight of their original goal. Bothcoursesarewrong.Thepursuitofthegoalmustbesustained,notdiluted.Atthesametime,one

must possess the flexibility to recognize conditions inwhich one can increaseone’smilitaryachievementsorcapacitybyabsorbingsmallerbenefitsalongtheway.Inordertocorrectlyweightheoptionsandthebenefits,itisessentialtobeabletoviewemergingcircumstanceswithacalmjudgment.

Insituationswhenabattleinvolvesfacinganopponentwithsuperiornumbers,youshouldavoidfightinghimheadon.Thereisnotonesingleadvantageinengaginginafutilewarofattrition.Atsuchtimes,youmustactivelyemploysomestrategyandaimatsomeefficientwayofvictory.

Bymeansofdoubt,soundoutthetruth.Lookclearly,thenmove.“Return”isthedarknessofyin.1

If you have not grasped the enemy’s movements, you must do somereconnaissanceandascertainthetruth.Youmustsetoutwithyourstrategyandactonlyafteryouhaveacommandofconditions.

“BeattheGrass,SurprisetheSnake”hastwomeanings.Thefirstisastrategyofsoundingoutthesituationandinferringyouropponent’smoves.TheArtofWarsays, “If you know the enemy and know yourself, you may fight a hundredbattles without danger.” It also continually stresses the importance ofintelligenceactivity.Butwhatyouareabletoascertainbyintelligenceactivityisinitselflimited,andit isdifficulttoobtainintelligenceconcerningthedetaileddisposition of units. Thus, what becomes essential is understanding youropponent’smovements as they relate to his strategic activities. For such, youmustfirstsoundoutthesituationwithreconnaissanceactivities,andthenwatchyouropponent’sresponse.Secondly, you beat the grass in order tomore fully understand the snake’s

circumstance;youdonotbeatthesnake.Thistacticincludestheideaofsmokingout information. Inotherwords,yougraduallyestablishevidencefromsmallerelementsinyourenvironmentinordertograspsomethinglarge.Regardless of the approach, however, this strategy targets the surrounding

grasstotakethemeasureofthesnake’stendenciesandmovements.

England’sStrategyintheSuezWarIn1956,theSuezWarerupted,aconflictinvolvingEgypt,England,France,andIsrael.EgyptboldlyannouncedthatitwasnationalizingtheSuezCanal.Englandand France then embarked on an action of armed intervention and landedairbornetroopsontheportsideofthecanal’sentryway.Whilethismaneuverappearedtobeanattack,inrealityitwasnothingmore

thanastagedpuppetshowofmenandguns,motivated,ofcourse,bytheneedtouncoverthestrengthofEgypt’sdefense.Notperceivingthisfortheploythatitwas, the Egyptian army rained a concentrated bombardment on the puppets,exposingthestrengthsandweaknessesoftheirmilitary.Withthisnewinformation,EnglishandFrenchforcesgraspedtheplacement

oftheiropponent’sfirepowerandtroopsandimmediatelyattackedtheEgyptiandefensive positions, destroying them entirely. After that, they were able todeployaneffectivestrategyoflandinganddisembarkation.

SoundOuttheSituationandWatchtheReaction“BeattheGrass,SurprisetheSnake”isanefficaciousweaponwhennegotiationandpersuasionistheorderoftheday.Insuchsituations, it isnotdesirableforyoutorattleoffunilaterallyeverythingyouhavetoofferorwanttosayallinonego. In order to negotiate effectively and achieve your end, you must firstunderstandyouropponent’strueintentionsandthemeanshehasathand.Tothatendyoucanemploythisstrategytosoundhimoutandgatherinformationbasedonhisresponse.Onceyouhavegatheredyourinformation,youthenformulateyourowncounterstrategy.

Youshouldnothiresomeonewhoisuseful.

Youshouldseekapersonwhoisincompetentanduseless.Hiretheincompetentanduseless,andusehim.Donotseekafoolishyouth,forhewillseekyouout.1

For this strategy, the independent person will be difficult to manage andimpossible to put to use. However, the person who exists by relying on thestrengthofotherswillseekyourassistance.Takeadvantageofsuchapersonandseize your opportunity. This is nothing more than a strategy to manage youropponent,ratherthanlettinghimcontrolyou.

“Borrow theCorpse,Revive ItsSoul” is the important strategyof using thoseyoucantakeadvantageoftoincreaseyourownpower.Ofcourse,thereismorethanonewaytotakeadvantageofpeopleorsituations.Herearethreeexamples:

Youusethemasabreakwaterforyourownself-defense.Youusethemasacloakofinvisibilityasyouincreaseyourownpower.Youusethemassteppingstonesforenlargingyourownfoothold.

Moreover,asaprerequisitefortakingadvantageofsomeone,itisessentialthatthe other person’s power be weak but still worth using. If the other person’spowerisinsubstantialandnotworthexploiting,discardhimoutright.

EvenaShepherdIsWorthTakingAdvantageOfAssoonastheFirstEmperorofCh’indied,rebellionsbrokeoutalloverChinain resistance to Ch’in’s oppression. Those who spearheaded these rebellionsweremen from the farming class, such as Ch’en Sheng andWuK’uang; butHsiangLiangandHsiangYuofCh’uandLiangPangfromP’eialsopromptlyjoinedtheuprisings.After Ch’en Sheng and Wu K’uang were killed in the revolts against the

Ch’in,theformationoftheanti-Ch’inalliancecontinuedunderthedrumbeatofHsiangLiang.Atthattime,thestrategistFanTsengspokethefollowingwordstoHsiangLiang:“It isnatural thatCh’enShengwasdefeated.This isbecauseamong thesix

statesthatbroughtdowntheCh’in,thosewhoresentedtheCh’inthemostwerethe people of Ch’u. Ch’en Sheng, however, did not understand this fact and,

while he took the lead and raised an army, he ignored the descendants of theruler of Ch’u, and became king himself. Thus it is not unreasonable that hisstruggleendedwithhis losinghis life.On theotherhand,whenyou raisedanarmyinChiangTung,thegeneralswhosprangtotheirfeeteverywhereinCh’uhurried to join you.This is because—alongwith your being from a family ofmilitary leaders for the Ch’u for generations—they expect you to restore theroyalhouse.Ihopeyouwillnotforgetthisfact.”HsiangLiangsawtheforesightbehindFanTseng’swords.Hequicklysought

outadescendantoftheformerkingofCh’u—amanbythenameofHsien,whowasnowemployedasashepherd—andestablishedhimasthesuccessoroftheformer ruler, giving him the name Huai. Eventually, this man became thenominalleaderoftheanti-Ch’inalliance.ThearmiesoftheallianceralliedaroundthenameofKingHuaiandadvanced

to attack the Ch’in capital at Hsien-yang. However, once the Ch’in weredefeated,KingHuai’susefulnesshadbeenspentandhewasfinallydisposedofatthehandofHsiangYu,whohadrisentobecomethemostpowerfulmanofthealliancearmies.

HowTs’aoTs’aoTookAdvantageoftheEmperorDuringthechaoticperiodofTheRomanceoftheThreeKingdoms,Ts’aoTs’aoraisedanarmy,gatheringittogetherfromamilitaryforceofjustafewthousandsoldiers.Afteranumberofyears,hebuiltupanindependentpowerbaseintheprovinceofYen, located in thebasinof theYellowRiver.However,hispowerwas still not great enough to supplant that of his rivals. In order to furtherincreasehisbase,heplayedseveralstrategiccardstoprepareforthefuture.OneofthesecardswasreceivingthecurrentemperoratTs’aoTs’ao’sownhomebaseinHsu.EmperorHsien,whowasthelastemperoratthecourtoftheLaterHan,was

strugglingwithhisownravagedcapital,attimesfacingstarvation.Ts’aoTs’ao’srivals,whohadheldtheirgroundintheirvariousstates,hadopeneduptheirownpunitiveexpeditions.Notoneofthemwouldextendahandtohelptheemperor.ToTs’aoTs’ao, thesignificanceof theemperor’svisitwas invaluable.Even

thoughhisauthorityhadwaned,theemperorwasstill theemperor.Whetherinmovingtroopsorissuingorderstorivals,therewasagreatdifferenceinpoliticalcapital if the emperor headed one’s forces. Thus, from a political standpoint,onceTs’aoTs’aodecidedtosupporttheemperorheroseaheadabovetheotherchieftains.Ts’aoTs’aomanipulatedEmperorHsienlikeapuppet,takingadvantageofthe

man’sauthoritywhile increasinghisownstrength. Indoing so,hebecame themostpowerfulmanoftheperiod.Yethedidnotseektoraisehimselfabovetheemperorinname.Instead,heheldthepowerandlettheemperorkeephisthrone.

LiuPeiTakesShuLiuPei, one ofTs’aoTs’ao’s rivals, also foundhimself suddenly thrust into apositionwherehecouldprofitbyemployingthestrategyof“BorrowtheCorpse,ReviveItsSoul.”Liu Pei had been eager to accomplish something in Shu, but aman by the

nameofLiuChanghadpreviouslyestablishedhimself thereandgoverned theregionskillfullyandwithoutincurringtheangerofanyrivals.Thus,LiuPeihadnorealpretextwithwhichtomobilizeanarmy.LiuChang,however,feltsomeunease about the defense of Shu’s north, and he sought Liu Pei’s help on thebasisoftheirsharedfamilyname.LiuPei, spottinganopportunity, thought,“Anyboat togetacross the river”

and,leadinganarmy,headedoutforShu.Profitingfromsomepretense,hethenattackedLiuChangand,intheend,tookpossessionofShu.Beckonedasanally,hefoundfaultwiththeotherpartyandtookoverwhathe

sawasthe“corpse”ofLiuChangtopavehisrisetopower.

WaitforHeaven,andthusbringdistress.Employsomeoneelse,andthusentice.Goingout,thereisobstruction;remaininghome,thereisreturn.1

When blessed with beneficial natural conditions, take advantage of them toantagonizetheenemy;further,enticehimbyscatteringbaitheisliabletotake.When danger can be forecast, even though you make the attack, deliberatelyshowyouropponentanopeningyouwishhimtostrike.

The“tiger”of this strategymeansa formidableenemy; the“mountain”meanshis stronghold. The tiger that lives in a mountain blessed by advantageousnatural conditions is difficult to defeat. The idea is that, in order to subdue awell-entrenchedtiger,youmustfirstlurehimfromthemountain.Speakingfromthepointofbattlestrategiesandtactics,thisstrategyincludesthefollowingtwomethods:

Whentheenemyisentrenchedinastaunchlydefendedcastleorstronghold,thisstrategyrequirestheabandonmentofthefortress.Inthecaseofdirectconfrontation,takethedirectionoftheenemy’sattacktoanotherplaceandmitigatethepressureatthefront.

Ineithercase,tomakeasuccessofthisstrategy,itisessentialtodeviseatricktoluretheenemyout.Theskillwithwhichthistrickisconceivedandcarriedoutisthekey.

YuHsuLurestheTigerToward the end of the period of the court of the Later Han, a tribe of non-Chinese people in western China called the Ch’iang rose in rebellion andinvadedWuTu.Aftertheinvasion,amanbythenameofYuHsuwasappointedthegovernorofWuTuandorderedtosubjugatethetribe.Leadinghistroopstotakeupthisnewappointment,YuHsu’sprocessionwasblockedbyanarmyofthe Ch’iang as it approachedChen Ts’ang, and it was unable to advance anyfurther.After some thought, Yu Hsu sent out an official notice requesting

reinforcementsfromtheimperialcourt,statingthathewouldawaittheirarrivalbefore moving forward. The Ch’iang tribe heard of Yu Hsu’s decision andjudged that his army would remain stationary for the near future. With thisinformation in hand, theCh’iang tribe decided to take advantage ofYuHsu’smisfortune.Theydividedtheir troops,thenattackedtheneighboringprovinces,goingontopillagepropertyandgoods.

As soon as Yu Hsu confirmed that the Ch’iang had split their forces, hemarchedswiftlyalongtheroaddayandnighttowardthefortressatWuTu.Furthermore, each time his army stopped to rest, he ordered the soldiers to

buildandlightmoredisposableclaycookingovens,andtomultiplythenumberof ovens every day. When the remaining Ch’iang forces saw the number ofovens, theywere certain that the reinforcements had arrived and did not dareattack. In thisway,YuHsubroke through theblockade,entered the fortressatWu Tu, and having an overwhelming advantage now that the Ch’iang forcesweredivided,wasabletodestroytheCh’iangarmy.YuHsu’sfalsemessagetotheimperialcourtdrewthetigerofCh’iangfrom

themountain.

HanHsinEncampswithHisBacktoaStreamThis event occurred when Han Hsin of the Han dynasty attacked Chao. ThetroopsthatHanHsinlednumberedlessthantenthousand,whilehisopponents’ran to two hundred thousand andwere,moreover, entrenched in a secure andfirmfortress.Clearly,hehadnochanceofvictorywithadirectattack,soHanHsindevised

aplantochangetheodds.First,heselectedtwothousandsoldiers,suppliedeachwith a red Han flag, and ordered them to prepare to hide in a recess of themountainthatlookeddownupontheChaoarmy’sfortress.Hethenrevealedhisplan:“In tomorrow’sbattle, themainforcewillattackandthenpretend toretreat.

Wewillsetupcampsotheythinkusfoolish.Seeingourfoolishness,theenemywillleavehisfortressandchaseusdowninhopesoffinishingusoff.Theywillbelieveuseasyprey.Oncetheyleavethefort,thetwothousandwillrushintothefortressfromtheirhidingplace in themountains, takedownthewhiteflagsoftheChao,andhoistalltwothousandredflags.”Withthat,HanHsinorderedtheremainderofthemaintroopstomobilizeand

thentoencampwiththeirbackstotheriverthatflowedinfrontofChao’sarmy.Whenmorningcame, theChaoarmy tooknoteof the situationand laughed

scornfully, deridingHanHsin as a fool who knew nothing about themilitaryarts.Surely,nomatterwhichmilitarybooksonestudies,fromTheArtofWarondown,itwasnowherewrittenthatyoushouldencampwithyourbacktoariverandcutoffyourrouteofescape.Accordingtoplan,aftertheenemyhadseenhisencampment,HanHsinleda

battalionandattackedthefortress.TheChaoarmynowregardedtheiropponentswith such disdain that without further thought they left the fortress in a

counterattack.HanHsinabandonedhisinsignias,immediatelyretreated,andfledtotheencampmentalongthebanksoftheriver,drawingtheChaoarmyfurtherandfurtherfromthefortress.Inevitablyhis army ranup against the river, andwithnoplace to flee, they

turnedtofight.EveryoneofHanHsin’stroopsfoughtdesperately,andtheChaoarmy—whichdespitebeingsosuperior innumbers—hadmorethantheycoulddealwith.Meanwhile, thedetached force that hadhidden in themountain entered and

occupied the abandoned fortress. Seeing the fortress “captured” and so manyenemyflagswaving,theChaotroops’moralebegantowaver.Next,HanHsin’stroopsattackedfromtherear.Thismaneuverprovedtobedeadly,anditutterlydestroyedthespiritsoftheChaotroops,whowereannihilatedwithoutmercy.Withhis“laststand,”2HanHsindrewouthistroops’besteffortsandluredout

his opponents with the strategy of “Pacify the Tiger, Then Lead It from theMountain.”

Pressthemseverelyandenemysoldierswillturnonyou.Letthemrun,andtheirpowerwilldecrease.Donotpressthemtoohard.Lettheirvigortire;lettheirwilltofightextinguishitself.Ifyoutaketheenemyafterhisforcesscatter,yoursoldierswillhavenobloodontheirblades.Inwaiting1issincerityandlight.

Ifyouattack,cuttingofftheroadofretreat,youropponentwillcounterattackindesperation.Ifyouletyouropponentretreat,hisenergywillnaturallydissipate.Inyourpursuit,youmustnotcornerhimorpresshimtooclosely.Ifyouwaittoapprehend him until after his physical strengthweakens, hiswill to fightwillwane. The victory will be yours without bloodshed. If you wait for the rightmoment,youcanexpectagoodresult.

“IfYouCovet It,Leave ItAlone”advocatesallowing theenemyanavenueofescape.Ifyousurroundhimcompletelyandthenpressinonhim,hemayresolvetomake a last stand and launch a furious counterattack, as in the saying, “Acornered ratwill bite a cat.”Pittedagainst anopponent fueledbydesperation,thereis thepossibilitythatyourownforceswillsufferconsiderabledamageaswell.Toavoid sucha situation,you shouldnot attack impetuouslyand shouldalwaysallowanescaperouteforyourenemytoretreat.Leavingopentheoptionofescapeisattheheartofthisstrategy.InTheArtofWar thereis thephrase,“WuandYuehinthesameboat.”The

people of Wu and the people of Yueh had not gotten along for many years.Nevertheless,whenridingtogetherinaboatthatisinimminentdanger,theywilluniteandcooperatetosavethemselvesdespitetheirlongstandingenmity.Whenanarmyfindsitselfcornered,agoodleaderwillusetheopportunitytorallythesoldierstofightwithalltheirmight.SuchphilosophyisexpoundedinTheArtofWar.This strategy contends that forcing the enemy into such a corner must be

avoidedatallcosts.Inattackingaweakerenemyfuriouslywithoutallowinghimaroutetoretreat—whichisanadmissionofdefeat—youputhiminasituationof“WuandYueh in the sameboat,”and suddenly there is thepossibilityof aspiritedcounterattackthatcouldturnthetideofthebattleagainstyou.Therefore,Sun Tzu spoke of “not pressing a cornered enemy,” warning against the

foolishnessofprecipitousattacks.

SevenReleases,SevenCapturesInTheRomanceoftheThreeKingdoms,whenChuKoK’ung-mingpacifiedtherebellionofthenon-Chinesepeopleinthesouth,heusedthistacticasapoliticalstrategy.TheleaderoftherebellionwasamanbythenameofMengHuo,andwhenK’ung-mingwas about to advancehis army south, henotified all of histroopsthattheywerenottokillMengHuo,buttotakehimalive.After a violent battle,Meng Huo was captured and brought before K’ung-

ming. K’ung-ming gave him a tour of his troops, revealing his strength andposition.“Whatdoyouthink?”heasked.“IsufferedadefeatbecauseIdidn’tunderstandyourbattlearraybeforenow,”

MengHuoreplied.“Butnowthatyou’vebeenkindenoughtoshowittome,I’llbeatyouforsurethenexttimewefight.”K’ung-ming laughed and said, “That’s interesting. Good enough, let this

fellowgo.”In thisway,MengHuowas seven times captured and seven times released

(andthuswasbornthephrase,“Sevenreleases,sevencaptures”).Theseventhtimehewascaught,eventheintrepidMengHuomusthavefeltat

thebottomofhisheartthathe’dlost.WhenK’ung-mingonceagainwasabouttoloosenhisbondsandforgivehim,MengHuosaid,“Yourlordshipistrulylikeagod.Iwillnotturnagainstyouagain,”anditissaidthatheneveragainlefttheman’sside.K’ung-mingcomplementedhismilitarysubjugationwiththeskillfulpolitical

strategyof“IfYouCovetIt,LeaveItAlone,”andintheendcompletelycapturedtheheartsofthesoutherntribes.

ACorneredRatBitestheCatDuring the reign ofKingMang ofHsin, therewere insurrections of outragedfarmers’armiesineverydistrict,andoneofthosearmieswasledbyK’unYang.KingMangputWangIinchargeofanarmyofonehundredthousandmenandordered him to subjugateK’unYang’s army.Wang I completely surrounded arebel fortress andmade plans to attack.Thereuponhis lieutenant-general,YenYu,advancedandadvocatedthefollowing:“Although K’un Yang has a small fortress, it has a stout defense and we

cannot easily attack it and bring it down.Right now themain strength of the

rebelsisholedupinYuan.IfwefirstsettlethesituationinYuan,IsuspectthatK’unYang’srebelswillscatterlikethewindandshowustheirheels.”ButWangIdidnotheedthisadvice;heinsteadstrengthenedtheencirclement

ofthefortressandmadearecklessattack.Thearmyoffarmersinthefortressallbeggedtosurrender,butWangIwouldnotlisten.Atthispoint,YenYuagaincameforwardandspoke:“Inthemilitaryartsitis

said that ‘Ifyou surroundyourenemy,you shouldalways leavehimawayofretreat.’Woulditnotbewisetoletsomeoftherebelsescape,andthuslettheminformtheothersofourstrength?”Butyetagain,WangIignoredhislieutenant-general.Sincethefarmers’armyinthefortresshadnotbeenallowedtosurrender,and

everywayofescapehadbeenclosedoff,therewasnothingleftforthembuttomakeadesperatelaststand.Whiletheyheldtheirgroundinthisfashion,rebelreinforcements finally arrived. Suddenly Wang I’s troops found themselvesattacked from both inside and outside the fortress, and they were annihilatedwithoutmercy.ThecauseofWangI’sdestructionrestswithhisignoringYenYu’ssuggested

application of “If You Covet It, Leave It Alone.” In attacking his opponentwithoutprovidingaloopholeforhimtoescape,WangIopenedthedoortohisowndefeat,inadvertentlydemonstratingtheaxiomthat“acorneredratwillbiteacat.”

DoNotDriveYourOpponentintoaCorner—FurtherExamples“If You Covet It, Leave It Alone” can also be instructive in the support ofharmonioushumanrelations.TheT’saiKenTan,2abookthatadvocatesamorehumanistic approach to life, discusses this fact from various angles: Humanfailingsmustbeglossedoverasmuchaspossible.Toblindlyexposeanotheristoactinablameworthywayyourself,andwillcometonogoodend.Even if yououst a badman, you should leave him awayof retreat. If you

tormenthimallthewaytohisshelter,hewillfeellikearattrappedinablockedholewith the path of retreat cut off. Hewill then have to fasten his teeth onsomethingofconsequence.When you employ a person, there may be times when you are unable to

handle thesituation.Atsucha time, it isbest to let itgo fora littlewhileandwait for theotherperson tochangeofhisownaccord. It isnotgood tobusilyinterfereandmakehimintractable.

Lurehimwithshams;strikethefoolishyouth.1

Usethemisleadingandmuddletheenemy’sjudgment; throwhis thoughts intochaos.

The strategy “Cast a Brick, Pull In Jade” is expressed in Japanese with thephrase, “Fish for a sea bream with a shrimp.” In other words, the idea is toscatterbaittoattracttheenemy,thenannihilatehimwhenhearrives.Inthiscase,themoreseeminglydeliciousthebait,themoreefficaciousthestrategywillbe.However, the bait must be disguised, otherwise the enemy will not bite.Therefore, a contrivance is necessary tomask the true purpose of the bait. Inshort, the point of this strategy is to create a contrivance that will lure andcapturetheenemy.

LuringtheEnemywithaDecoyThis isanevent thatoccurredduring theSpringandAutumnperiod,whenthestate ofCh’u attacked the small state ofChiao.The armies of theCh’umadetheir camp on the south face of Chiao’s castle, and the general Ch’u HsiaapproachedtherulerofCh’uandsaid:“Chiaoisasmallstate,andwhat’smore,theylackdiscretion.Whydon’twe

send some firewood porters into the mountains without a guard and lure theenemyout?”In those days, firewood was a military necessity. Without firewood, the

soldierscouldnotcooktheirfoodandwouldnotbeabletoeat.Bysendingoutporters to collect wood, the Ch’u were alerting the enemy to a supposedweakness.Intruth,theCh’uarmyalreadyhadsufficientsuppliesofwood,sothefirewoodporterswereinfactactingasbait.TherulerofCh’uputthissuggestionintooperation.Agroupofthirtyporters

were sent into the mountains without a guard. The Chiao saw this as anopportunityandsentoutacompanyofsoldiersandcapturedtheenemy’swoodgatherers.Thenextday,theCh’uarmyonceagainsentoutunarmedportersintothemountainsforwood.TheChiao,thinkingtheenemywassufferingashortageof hotmeals and hoping to prolong their anguish, once again sent out a largecompanyofsoldierstochasedowntheporters.Meanwhile,theCh’uarmy,takingadvantageoftheoverconfidentChiao,were

lying in ambush near the northern gate of the fortress. When the gates wereopenedtosnapupmoreofthebait,theCh’uswarmedintothecastleandforcedtheChiaotosurrender.

LiuPang’sBlunder

AboutthetimethatLiuPang,thefounderoftheHandynasty,defeatedhisrivalHsiangYuandestablishedtheHanEmpire,anoutstandingleaderbythenameofMao-tunTan-kanappearedamongtheHsiung-nu,2atribeofnon-Chinesepeopleinthenorth,andraisedapowerfulforceofsoldiers.Oneyear,Mao-tunledalargearmyandinvadedChineseterritory.LiuPang

himselforganizedapunitiveforceandstartedoffforthefront.Itwaswinter,andthe battlefield was visited by a severe cold wave with unending snow. ThesoldiersoftheHanarmywerestrickenbythecoldoneafteranother,andtwoorthreeoutoftenlostfingers.Mao-tunwasawareofthisand,feigningflight,devisedastrategyofluringthe

Han army even farther north into snow country. Liu Pang took the bait, andthinkingMao-tunhadfledattheprospectoffacingalargerforce,followedhimnorth in pursuit. Mao-tun hid forty thousand elite troops to the rear, led hisweaker troops on, then directed them to turn and attack the enemy.Liu Pang,whowasconfidentofvictory,haddispatchedhisentiremountedforceinhastetothefrontlinestoattack,leavinghisfootsoldiersfarbehind.Withoutamoment’sdelay,Mao-tunsentoutthefortythousandmountedsoldiers,andsurroundedLiuPang’sdividedforceatMountPaiTeng.At this point, Liu Pang realized his mistake and was barely able to break

throughtheencirclementandflee,nodoubtberatinghimselfathiscarelessnessinfallingforaclassic“CastaBrick,PullInJade”strategy.

GainandLossAreNeighborsWecannot simply ridicule the failuresofLiuPang.Howmany timeshaveweourselvesrunaftersomesweetbait,andthenreproachedourselvesforbeingsogullible? From the Chinese point of view, on such occasions the largerresponsibilityfortheoutcomelieswiththepersonwhotookthebaitratherthanwithhewhotemptedhisadversary.In abookcalled theHuaiNanTzu,3 it says, “Gain and loss areneighbors.”

AndintheHsunTzu4wearewarned,“Donotlookatgainwithoutreflectingonits concomitant loss. You should maintain a cool judgment that will bethoughtfulenoughtouncoverahiddenlossbehindthedazzleofgain.”

Crushhisarmor,takehishead;thusyoudismantlehisbody.Whenadragonfightsonaplain,heishemmedin.1

Ifyouannihilateanarmy’smainstrengthandseizeitsleader,youcanannihilatetheentirearmy.Thiskindofopponentislikeadragonthathascomeuponland;youcandefeathiminanywayyoulike.2

Theconceptbehind“ToCatchaThief,CatchHisKing”isthatyoumustdestroythe enemy’s main strength, or his very center, to attain a lasting victory. Nomatterhowmanysmall,localvictoriesyouachieve,afinalvictoryisnotassureduntil the sustaining source of your opponent is destroyed. If you become laxbeforethen,thereisthepossibilitythatyouropponentmayrecover,turnonyouwith a ferocious counterattack, and give you a taste of defeat. To avoid thisoutcome,youmustcrushyouropponentthoroughly.What,then,istherightwaytoproceed?Youmustnotbesatisfiedwithsmall

victories;youmustpulverize theenemy’smain strengthand smashhiswill toresist.Thisisthestrategyof“ToCatchaThief,CatchHisKing.”

Ts’aoTs’ao’sReadyWitTs’ao Ts’aowas called a crafty hero in theworld of chaos chronicled inTheRomance of the ThreeKingdoms, but during his life he tasted any number ofseriousdefeats.ThefollowingeventoccurredwhenheattackedLuPu,whowasensconcedatPu-yang.Fromtimetotime,atraitorwouldsneakoutfromthecastle,offeringtolead

in a secret attack. Ts’ao Ts’ao decided to take oneman up on his offer, and,leadingthearmyhimself,approachedtheeasterngateundercoverofnight.But just at that moment, huge flames rose up from inside the castle,

illuminating thescene.LuPu’sarmyrushedforth forasurpriseattack.By thetimeTs’aoTs’ao realized thathehadbeenbetrayed, itwas too late.His armywasonitswaytobeingcompletelyrouted.AlthoughTs’aoTs’aohadbeentricked,hewasacunningleaderandwasable

tokeephiswitsabouthim.It wasn’t long before enemy horsemen rushed in, thrust their spears in his

face,andshouted,“WhereisTs’aoTs’ao?”“O...overthere!”yelledTs’aoTs’ao,pointingatoneofhisgenerals.“The

manridingthatbrownhorse!”As soon as they heard this, the enemy horsemen galloped after the general

ridingthebrownhorse.Withhisquickthinking,Ts’aoTs’aohimselfescapeddangerfromhisenemy,

whoseintent,ofcourse,wastocrushtheleaderandtheheartofthearmy.Buttheyfailed,andLuPufailedtofollowuponhisinitialvictory.Theresult

of this was that four years later, when Ts’ao Ts’ao had reestablished hisoffensive,hedestroyedLuPualtogether.

StriketheWeakSpotEverythinghasitsweakspot.Therearesomethingssocomplexthatyouhardlyknow how to approach them. But if you can find the weak spot and applypressure,yoursolutionwillbesimplerthanyoumightthink.Likewise,everyonehashisAchilles’heel.Ifyouattackthat,yournegotiationorpersuasionshouldgo smoothly. This could also be said to be a variation of “To Catch a Thief,CatchHisKing.”

IfYouWouldShootaGeneral,ShootHisHorseThephrase,“ToCatchaThief,CatchHisKing”comesfromBeforeLeavingfortheFront,apoembyTuFu,theT’ang-dynastypoet:

Ifyouwouldshootaman,firstshoothishorse.

Ifyouwouldcatchathief,firstcatchhisking.

Also most likely drawn from the same poem is the common saying “If youwouldshootageneral,shoothishorse,”whichisaninterestingvariationonthesametheme.Thephrase isoftenmentioned inconjunctionwithaman’seffort towin the

heart of a young lady, suggesting that to gain the attention of your love, firstmakeanallyofhermother.Itgoeswithoutsaying,however,thatinourmodernage,whenyoungladiesarelessattentivetotheirmothers’commands,thistacticlosesmuchofitsrelevance.Nevertheless,whentryingtowinoveranotherperson,ratherthan“attacking”

that person directly, taking the back door and approaching someone who hasinfluenceoverthatpersoncanbeanefficaciousstrategyeventoday.Whenplanningtoapproachacompanypresident,forexample,therearetimes

when approaching his wife can work wonders. This method is all the moreeffectiveinsituationswherethewifehasherhusbandunderherthumb.Youcouldsaythesamethingwhenitcomestomorecommercialendeavors.

When attracting customers, whom do you target? The person holding thepurse strings. In Japan, this person is more often the wife than the husband.Therefore,ratherthanaimingforthehusband(thegeneral),mostcompaniesaimatthewife(thehorse).Theprobabilityofsuccessishigher.Asamatteroffact,marketing surveys have confirmed that aiming at the purchasing desires ofhousewivesandmobilizingthesewomenleadstogreaterprofits.Inbroader terms,you shouldnotbedeceivedbyoutwardappearances.Yes,

the general looks splendid on his steed, but if youwish to approach or attackhim,seekoutthetruesupport(thehorse)andaimyourblowsinthatdirection.

Whenoffenseanddefensecontinueinaone-step-forward-one-step-backrhythm,andthetideofwarbecomesunpredictable,youmustdevisesomenewstrategyortactictoattainvictory.Insuchsituations,astrategyofthesoftovercomingthehardmaybethebestwaytooverturntheenemy’sforces.

Donotusestrengthagainst[astronger]enemy,butratherwearawayhisvigorasintheimageofHeavenoverthelake.1

Whentheenemy’spowerisgreat,andyoucannotresistwithyourownstrength,wearawayhisspiritandstealthevenomfromhisfangs.Thisisanexampleofforcinghimtosurrenderbymeansof“thesoftovercomingthehard.”

The concept of “Pull the Firewood from under the Kettle” should be appliedwhenhandlingaproblembyconfrontingthemaincausedoesnotwork.Butthekettleisboilingrapidlyandhasbecomeunsteady,sosomethingmustbedone.Itis toohot tohandle.Ifyoucanmanagetopull thefirewoodoutfromunder it,theboilingwaterwillcoolonitsown,andyoucaneasilymanagethesituationfromthenon.Inthesameway,whenyouropponentisstrong,ifyoufacehimhead-on,you

havenochanceofwinning.Todestroysuchanenemy,youwillhavetotakeaimataweakpointthatwillsealhisfate.However,itisdesirablethatthisactionberelativelyeasytoexecuteandthatitsresultbeeffectiveonalargescale.Therealproblem,then,isthatoffindinganefficaciousmethod.Twoplacesof

attackareasfollows:

Cuttingofftheenemy’ssupplies.Nomatterhowgreatanarmymaybe,ifitssupplylineissevered,itwillbeunabletomaintainitsfightingstrength.Crippling the enemy’smorale. If soldiers have lost theirwill to act, theywill not be able to function as an organization, no matter how large theforce.

AttackagainsttheCrow’sNestThe very first scene in The Romance of the Three Kingdoms is the Battle ofKuan Tu, in which Ts’ao Ts’ao and Yuan Shao fought for the hegemony ofnorthernChina.AsTs’aoTs’aogainedaneasyvictoryinthisbattle,hebroughtallofnorthernChinaunderhiscontrol,andhebecamethemainsubjectof theperiodascoveredinthefirsthalfofthisgreatepicnovel.However, the story goes thatYuanShao’s forceswere far superior—twenty

thousand onTs’aoTs’ao’s side versus one hundred thousand onYuan Shao’s.With a situation like this, Ts’ao Ts’ao was at a huge disadvantage from theoutset,regardlessofhowreveredageneralhewas.Ts’aoTs’aohadrepeatedlywonvictoriesinsmallerskirmishes,butintheface

of this largearmyhewasnowcompelled to retreat littleby little.His soldierswerebarelyabletostandtheirgroundatKuanTu.ItwasclearthatTs’aoTs’ao’s

inferiorforcefacedanuphillstruggle.The turning point came when Ts’ao Ts’ao received a piece of information

from enemy soldiers who had surrendered. According to them, Yuan Shao’smilitary provisions were being stored in a place called Wu Ch’ao (literally,Crow’sNest),anditsdefenseswereinadequate.Assoonasheheardthis,Ts’aoTs’ao handpicked a group of highly trained troops, staged a night attack, andburnedtheplacetotheground.With thisoneblow, the tideofbattle turned.YuanShao’s army found itself

without supplies. Suddenly, their resolve began to waver. Internal divisionsbrokeout.The army fell into confusion and soonwas incapableoforganizingitself andpreparing for battle.WhenTs’aoTs’ao’s troops next attacked,KuanShao’sarmywasoverrunandputtoflight.

BreakingtheMoraleoftheRebelsDuring the Sung period, a man by the name of Hsieh Ch’ang-ju became thesuperintendentofHanChou.Not long thereafter, theprovincialarmyrebelled,tookupapositioninfrontoftheofficialresidence,andwasofamindtokilltheprovincialgovernorandthearmycommander.Whenwordofthisreachedthesetwomen,theybegantoshakewithfearandwouldnotsetafootoutside.Atthispoint,HsiehCh’ang-juvolunteeredtointercede.Steppingoutside,he

addressed the rebel soldiers thus: “I’msure that everyoneofyouhasa fatherandmother,andawifeandchildren.Whyhaveyoudonesomething like this?Youknowourleadersarelikefatherstous.Allofyouotherthantheringleaders,getout!”2Asaresultofthisharangue,allofthosewhohadsimplybeenfollowingthe

ringleadershad second thoughtsand,onebyone,departed, asmeek as lambs.Next, the eight ringleaders fled and hid, but each one of them was soonapprehended. Everyone in the region realized that Ch’ang-ju had averted adisaster.And how?He broke the rebel’smorale by pulling the firewood fromunderthekettle.

TheEnglishIntelligenceCorpsDousesaGermanFireAtthebeginningofWorldWarII,theGermans’newestweapon,theU-boat,wasalmost completed. Such was the reputation of the new submarine that evenbefore constructionwas finished on the first group of boats, several thousandGerman youths had enlisted as crewmembers. These youngmen admired the

submarinesandvolunteeredindroves.TheBritishwerealarmed,andtheBritishnavalintelligencecorps,whichhad

obtained information about this new threat, quickly commenced a counter-propaganda campaign. They printed a great number of handbills stating howdangerous it was to serve on a submarine and scattered them throughoutGermany. They supported this effort by filling the German airwaves withbroadcastsonhowtoavoidserviceinsubmarinesbyfeigningillness.TheresultwasthatenthusiasmfortheU-boatswaned,andageneralaversion

tothesubmarinesbecamethenorm.Thus,deploymentwasdelayedforseveralmonthsbeyondexpectations.

Takeadvantageofyourenemy’sinternalchaos.Benefitfromtheirweaknessandlackofcentralcontrol.Byfollowing,youfacetheeveningandrestwithease.1

Profitfromtheenemy’sinternalconfusion,adeclineinhisfightingstrength,andanychaosinthelineofcommand;manipulatethesetoyourownadvantage.Thisstrategyisasnaturalasrestinginone’shomeafteraday’swork.

“Disturb theWater,Grab theFish” isastrategy inwhichyougraspvictorybycapitalizing on your opponent’s internal disorder. If you can find no disorder,youmustacttocauseconfusion,thentakeadvantageofthesituation.Theessenceofthisstrategyliesinthefollowingtwopoints:

You cause some disturbance to confuse the judgment of your opponent,thenexploithisdisorientation.Ofthevariousforcesandfactionswithinyouropponent’sorganization,youmusttargetthesectionthatiswaveringthemost.

TheStrategyofWangYang-mingItiswellknownthatWangYang-ming,wholivedduringtheMingdynasty,wastheprogenitorofthephilosophynamedafterhimandwasalsooneofthefinestbattlestrategistsofhistime.ThefollowingoccurredwhenheservedasanarmycommanderandsuppressedtherebellionofKingNing:Ning’s forces had alreadyopenedup an assault, butYang-minghadnot yet

madepreparations forcountering that attack, ashe sawnochanceofwinning.Ratherthanfightahopelessbattle,hecameupwithacunningcounterstrategy.InsecrethewrotethefollowinglettertoLiShih-shihandLiuYang-cheng,thetrustedretainersofKingNing:“You have kindly taken the trouble to informus of your internal condition,

andIamimpressedwithyourloyaltytoourcourt.Beyondthat,Iwouldlikeyouto suggest to King Ning that hemove to attack the enemy forces as soon aspossible. If youdetachyourselves fromhisbastionatNanCh’ang, everythingshouldturnoutexactlyaswehaveplanned.”Thisdone,hedraggedoneofhisopponent’scapturedspiesfromconfinement

and,choosingaspotwherehecouldbeeasilyseen,loudlygaveanorderforthemantobedecapitated.Yang-mingthensecretlyinstructedthejailortogivethespy the following message: “A fellow who admires King Ning gave me thissecretletterandwantstopassitontohim.”ThejailorwastopassoverYang-ming’sletterandsetthespyfree.Once released, the loyal spy took the letter toKingNing.After reading the

letter,thekingwasplungedintoturmoil.Hadtwoofhistopmenbetrayedhim?Was this a trick?KingNing pondered these possibilities as he considered theplan for theupcomingbattle.LiShi-shih andLiuYang-cheng,whoadvocatedcapturing Nan Ch’ang as quickly as possible and establishing King Ning asemperor,hadearlierproposed thisbattle.ButYang-ming’s letterhadsown theseedsofdoubt.Wastheretrickeryintheirplanornot?Burdenedwiththeweightofuncertainty,thekingsuccumbedtodoubtandmisery.Inthisway,morethantendayspassedwithoutactiononKingNing’spart.His

advantageslippedaway.Finally,KingNingdiscoveredthathisopponent’sarmyhadnotyetbeenassembledandYang-minghadcreatedaclever subterfuge toplayfortime.Butbythenitwastoolate.WangYang-minghadconfusedhisopponent’s judgment,preparedhisarmy,

andsecuredavictory.

Hitler’sCounterattackTowardthe latterpartofWorldWarII,Hitlersawstrongomensofdefeat,andhis decisive action for reversing this decline was the Battle of Ardennes. InDecember of 1944, he positioned several hundred thousand men and twothousand tanks in thehillsofArdennes,near theborderofFrance, then set toworkonageneralcounteroffensive.The Germans selected two thousand officers and men who were skilled at

English,dressedtheminAmericanuniforms,andgavethemcapturedtanksandjeeps.Underthisdisguise,theyeasilyinfiltratedtherear linesof theAmericanarmy. The disguised Germans mingled in with the American troops, then setaboutdisruptinglinesoftransportation,disablingtransitvehicles,cuttinglinesofcommunication,andcausinggeneralconfusion.Oneof theirunitsadvancedasfarasthebanksoftheMeuseRiver,securedthebridge,andmadepreparationsto receive theirmain forces.With the stealth activityof this special corps, theline of command of the American army was temporarily thrown into greatdisorder.Intheend,theadvanceofthemainGermanforceswaskeptincheck,andthe

behind-the-linesactivitiesthesemenwentthroughsuchgreateffortstoachievecame tonothing.Hitler’smovewasa failure,but itneverthelesswasaclassicexampleof“DisturbtheWater,GrabtheFish.”

Ifyoupreservetheformandkeeptheposture,yourallieswillhavenodoubtsandyourenemieswillnotmove.Itfollowsthat“stopping”means,“Fromstagnationcomesthenew.”1

Maintainthepositionofyourcampformation,andtotheenddonoteaseyourstance.In thisway,yourallieswill remainsteadfastandyourenemieswillnotadvanceandattack.Whilesustainingyourpose,secretlymoveyourmainforce.

“TheGoldenCicadaShedsItsShell”isastrategyinwhichyoumakeyourmovewhile giving the appearance of remaining steadfast. This strategy is highlyeffective if you need to retreat in the face of a great enemy force. If you areunable to continue the fight and believe that themore you hold out themoredamage you will sustain, then the best plan is most likely one of temporaryretreat.However,itispossiblethatacarelessretreatwillprovokeyourenemytogive chase and your forces could quickly be destroyed. In order to protectyourselfinretreat,itiswisetogivetheappearanceofimmobilityasyoumove.Thiswill tie the enemydown andbuy time to complete awithdrawalwithoutincident.Propuptheshellwhileyouemptyoutthecenter.Thisisthestrategyof“TheGoldenCicadaShedsItsShell.”It is worth noting that this strategy is not simply one of retreat; it is also

effectivewhenyouwanttomovewithouttheenemynoticing.

LiuPang’sNarrowEscapesLiuPangchallengedHsiangYuforhegemony,butatfirsthefoundhimselfinaseriesofcrises.OneexampleisthetimehewassurroundedatYingYang.Notonlywas he completely surrounded byHsiangYu’s army but he had also runthrough his provisions and was facing desperate circumstances. Even theresourcefulLiuPangcouldseenowayout.Atthispoint,ageneralbythenameofChiHsiuspokeup:“Ifwedon’tmove,

we’llbedoingnothingmorethansittingandwaitingforourdeaths.I’mgoingtodistract the enemy, and while I do so, you should seize the opportunity toescape.”HethenpresentedLiuPangwithhisplan.ThatnightChiHsiudressedtwothousandwomeninhelmetsandarmor,and

leftthroughtheeasterngate.Believingthistobeasuddencounterattack,HsiangYu’sarmygatheredattheeasterngateandpreparedtoadvance.Next,ChiHsiustepped intoLiuPang’schariot,pushed forward through the

eastern gate, and yelled, “Our provisions are exhausted! We surrender!” Theenemygeneralsandsoldiers,fooledintothinkingthiswasagenuinesurrender,cheeredandlettheirguarddown.Withthatopening,LiuPangandanumberof

mountedmenescapedthroughthewesterngate.WhenthegeneralscapturedChiHsiuinhismaster’schariot,hewasbrought

toHsiangYu,whoaskedpointedly,“WhereisLiuPang?”“Bythistimeheshouldbegone,”wasthereply.In a fit of anger, Hsiang Yu had Chi Hsiu burned alive, but Chi Hsiu’s

sacrificeandhisartfuluseof“TheGoldenCicadaShedsItsShell”hadallowedLiuPangtoescapeunharmed.

TheSungArmy’sMasterlyRetreatDuring the Sung period, the Sung army intercepted the superior forces of theChinbutjudgedthatiftheyengagedtheminbattletheywouldhavenochanceofvictory.Theythusdecidedtoretreat,eventhoughtheywerepainfullyawarethatdoingsomightdrawtheenemyintopursuit.TheSungfoundacleversolutiontotheirpredicament.Theylefttheirbanners

standingoverthecampground,suspendedanumberofsheepbyropesintheair,andplacedlargedrumsbytheirhooves.Whenthesheepstruggledintheirropeharnesses, their hooves pounded against the drums and created a great noise.Hearing the cacophony, the Chin army believed that the Sung forces weremobilizingtodefendtheirposition,andtheybegantoreadythemselvesoverthenextseveraldays.TheymarchedinfullforcetowardtheSungarmy,butwhenthey finally reached the encampment they found nothingmore than an emptyshell.By the time theChin had realized their blunder, theSung armywas farbeyondstrikingdistance.

TheTimelyEvacuationofKiskaIn the latterpartof thePacificWar, Japanwasbeginning to sensedefeat.Thefierce battleswith theAmerican armyon thePacific islandswere taking theirtoll, and their forceswerebeingwipedoutoneafter another.Oneof themostsignificantbattleswasthefighttothedeathonAttuIslandintheAleutianchain.The2,576menandofficersunderthecommandofYamazakiOsatookaheroicstandagainst the landingpartyof11,000American troops,but their tragicendwasinevitable.ThisoccurredinMayof1943.At the timeof theAmericanattack, theJapanesearmyalsooccupiedKiska,

another island in theAleutianchain. IfAttu succumbed,Kiskawouldbenext.Kiskawasofmeagervaluestrategically,sotheJapaneseFifthFleetwassenttothe island to assist in an immediate evacuation of Kiska’s 5,639 soldiers.

Unfortunately,theevacuationwouldhavetotakeplacerightunderthenosesoftheAmericanairandseaforces.TheFifthFleetwantedtoevacuatetheislandwithoutalertingtheAmericans,

buttheywerethwartedbyathickfogandtwicefailedintheirrescue.Thethirdtime,however,theyfoundaspellofclearweatherandsucceededinenteringtheport. A further stroke of luck came when the American vessels unexpectedlydepartedfromtheareaforrefueling.Blessedwithtwostrokesofgoodfortune,theKiskagarrisonwasrescuedwithoutincidenttotheverylastman.TheAmericans,however,believedtheJapanesestilloccupiedtheisland,and

theillusionheld.Twoweekslater,anAmericanforceof35,000meninvadedthesmallislandwithadecisivelandingstrategy.Theylandedinthemidstofafog,andintheabsolutebeliefthattheJapanesearmywasstilloccupyingtheisland,theAmericansengagedinaferociousfirefightwiththeirownforces,mistakingthem for the enemy.This fatalmistakewasborn inpart from their fearof theJapanese,andinpartfromthegeneralconfusioncausedbytheextremeweatherconditions.Needless tosay, this tragic friendly fire incident resulted ina largenumberofdeathsandcasualties.What the soldiers eventually discovered in the midst of the carnage were

emptybarracksandthreelonepuppies.

Intimidateasmallenemy.Splittingapart;thereisnoadvantageingivingchase.1

Youcansurroundandannihilateasmall,weakenemy.Butanenemyyouhave

chaseddownmay resist and fight desperately to the end, soyou should avoidchasinghimtoofar.

“BartheDoor,GrabtheThief”isastrategyinwhichyoudestroyanenemyyouhave surrounded. It can alsobephrased as “catch a largehaulwith the singlethrowofanet.”ThisstrategyistheexactoppositeoftheoneintroducedearlierinStrategy16,“IfYouCovetIt,LeaveItAlone.”Wherethepreviousstrategywasindirect,thisoneisstraightforwardandconfrontational.Therearetwosituationsinwhichthepresentstrategycanbeputintoeffect:

The enemy is either few in number orweak.This strategy should not bebroughtagainstapowerfulopponentoronethatiswellpreparedtofight.Ifitisusedagainststrongopponents,itwillfail.Theenemyhasthepotentialtocauseyouharminthefutureifheescapes.Insuchasituation,youmustdestroytheenemycompletely.

Whenyouhavesurroundedaweakerenemy,youarefacedwithachoice:shouldyou crush him entirely, or should you allow him to escape temporarily in themannerof“IfYouCovetIt,LeaveItAlone”?Itisimperativethat,inselectingastrategy,youconsider thespecificconditionsof thecasebeforeyou.Eachandeverycaseisdifferent.However,besuretoapplythestrategyof“BartheDoor,GrabtheThief”onlywhentherathasnofightleftandwillnotturnandbitethecat.ThefollowingisnotedinthemartialstrategiesoftheWuTzu2:

Considera singledesperate thiefwhohas fled toanopen field. If evenathousandpursuersaresentoutafterhim,itwillbethosepursuerswhowilltremblewithfear.Thereasonforthisisthatthetrappedthiefmaysuddenlyappear and rush inwith an attack. In thisway, if even a solitary thief isresolvedtogiveuphislife,hecanmakeathousandmentrembleandshake.

Inorder toapply this strategywithoutdanger,youmust stifleyouropponent’swill to mount a desperate counterattack. You must make him think thatresistanceisfutile,nomatterwhat.

PaiCh’iDestroysEvilattheRoot

Inthecaseof“IfYouCovetIt,LeaveItAlone,”youjudgethatthereisnoharminlettingyouropponentescapetemporarily,andinfactthatdoingsowillsavefurtherbloodshedonyoursidetosecureavictory.Onthecontrary,theconceptof“BartheDoor,GrabtheThief”shouldbeappliedwhenitisclearthatlettingyourenemygowillonlybecomealiability.Inthiscase,youshouldnothesitate;youmuststriketheopponenthardandeliminatehim.The Battle of Chang P’ing—said to be the decisive battle of the Warring

Statesperiod—wasthefirstinwhichthisstrategywasapplied.In theyear260B.C.,PaiCh’i led the500,000-strongCh’inarmyagainst the

400,000-strong Chao army led by Chao Kua. The two armies met at ChangP’ing.Atfirst,PaiCh’ifeignedflightandenticedtheChaoarmytofollowafterhim. He then skillfully intercepted their supply route. The result was that theChaoarmywasnowsplitintwo,andtheysoonranoutofprovisions.ChaoKua,knowingthathewouldhavetoescape,ledalast,desperatecharge

inapitchedbattle.TheCh’inarmyshotdownhis troupsandKuahimselfwaskilled.TheremainingseveralhundredthousandChaotroopslostthewilltofightandsurrendered.After the battle, Pai Ch’i deliberated on the problem of the captured Chao

soldiers.“Previously,whenwe capturedShangTang,” he said, “the people ofShang

Tangwerereluctanttobecomesubjectsofourstate,andtheyfledtoChao.Now,althoughtheymaybeChaosoldiers,we’llneverknowwhentheymightbetrayus.Wemustcutthisfutureevilattheroot;wecandonothingotherthantokillthemall.”Sosaying,hehadthemallburiedalive.AmongthecapturedChao,only240

children were pardoned and allowed to return home. In a single, devastatingstroke,PaiCh’ieliminatedasizableportionofChao’sable-bodiedyoungmenandthusprecipitatedtherapiddeclineoftheirstate’sstrength.

FuCh’a’sFatalBlunderAdecisive,unhesitatingstrike is thekey tosuccess in thestrategyof“Bar theDoor,Grab theThief.”The following isanexampleofhowbyfaltering,evenslightly,youinviteyourowndownfall.DuringtheSpringandAutumnperiod,ChuChien,therulerofYueh,attacked

FuCh’a,therulerofWu.WhenthetwoengagedinabattleintheregionofFuChiao,thelatterwonagreatvictory.Sufferingdefeat,ChuChienorganizedfivethousand of his remaining soldiers andmade a last stand onMount Hui Chi.However,theareawascompletelysurroundedbyWusoldiersandtherewasno

prospect of escape. With no other recourse, Chu Chien dispatched his chiefvassalWenChungtosueforpeace.FuCh’arefused,however,andChuChienhardenedhisresolveandpreparedforhisfinalbattleagainstgreatoddsandlittlehopeofsuccess.ItwasatthistimeofdesperationthatWenChungadvocatedthefollowing:“Weshouldn’tbetoohasty.Wu’schiefvassal,PaiPu,isanextremelygreedy

man,andifwebribehim,hemaybeabletoconvincehislordnottoattack.Letusdeviseaplaninsecret.”Thereupon,ChuChiendispatchedWenChungonemore time, sendingwith

himabeautifulwomanandtreasuretopassontoPaiPu.PaiPuwasecstaticandquicklyarrangedaninterviewwithFuCh’a.Throughhisvassal’sintervention,FuCh’awasenticed;hechangedhismind,

but just as he was about to accept a peace treaty a man namedWu Tzu-hsusteppeduptoobject:“Ifyoudonotdeliverthefinalblownow,thedaywillsurelycomewhenyou

willregretit.ChuChienisawiseruler,andwhat’smore,amonghisvassalsaresome remarkablemen. By letting them live, youwill inevitably bring troubleuponourstate.”ButFuCh’adismissedWuTzu-hsu’sopinion, agreed to apeace treaty, and

withdrew his army. Narrowly escaping death, Chu Chien thereafter made anoutwardshowofservingasavassaltoFuCh’a.Inthemeantime,henursedhiswounds and planned his revenge. Twenty years later, he rose up against anddestroyedFuCh’a,finallyavenginghimselfforthebattleatFuChiao.

Whencircumstancesareprohibitiveandforcesareatcross-purposes,profitbytakingwhatisnearby,andkeepharmremote.Fireoverthepool.1

Whenyouhave fallen intoa stalematealongbattle lines, it isadvantageous toattack an enemy that is in closeproximity.You shouldnot leapover anearbyenemy and attack a distant one. A distant enemy’s political goals may bedifferent,butyoucantemporarilyjoinhandsandaccomplishyourtask.

“BefriendThoseataDistance,AttackThoseNearby”is,asthephrasesuggests,astrategyofformingallianceswithdistantstateswhileattackingenemiesinthenearbyvicinity.Ifyoufaceanumberofstateseitherresistingorconfrontationaltowardyou, thechoiceofwhomtoattackandwhomtoallyyourselfwithcanmake the difference between victory or defeat. At such a time, following thestrategyof“BefriendThoseataDistance,AttackThoseNearby”canbehighlyeffective.TheChinesebooksonmilitarystrategies—includingTheArtofWar—warn against the foolishness of sending an army to a distant location. This isbecause such amove raisesyour costs, stations aportionof your forces awayfrom your closer enemies, and has few merits. Taking the opposite approachallows one to increase his sphere of influence, expend less effort, and obtainresultssooner.

HowtheFirstEmperorUnitedtheEmpireTheFirstEmperoroftheCh’inusedthisstrategyindefeatingthesixstatesthatopposedhimandtherebywasabletounifytheempire.Thestorybeginsearlier,with the ruler Chao, three generations before the First Emperor.At that time,Chao was considering bypassing the two nearby states of Han and Wei andattackingthedistantstateofCh’i.Whenheheardthis,amanbythenameofFanSui came forward and advocated the policy of “BefriendThose at aDistance,AttackThoseNearby,”saying:“Previously,duringthetimeoftherulerMing,Ch’iattackedthesouthernstate

of Ch’u, defeated the Ch’u army with a merciless attack, and extended itsterritoryathousandleaguesinalldirections.Butintheendtheywereforcedtoletgoofall the territory theyhadobtainedwithsuchpains.Thiswasbecause,whileattackingdistantCh’u,theyallowedthenearbystatesofHanandWeitobuild their war capabilities, thus finding themselves forced to withdraw fromCh’uanddefendthemselvesfromtheirneighbors.“Surely through this example your highness can see that itwould bemuch

better toallyyourselfwithdistantstatesandattackthoseinthevicinity.Every

inchobtained is onemore inch, an extensionof the territoryyou already rule.Everyfootisonemorefoot.ToignorethisfactandattackdistantCh’iwouldbeagraveerror.”Intheend,ChaoadoptedFanSui’sadviceasstatepolicyandsetouttorule

theeast.Later, theFirstEmperordestroyed theHanandconquered thenearbystatesone after another:Chao, thenWei,Ch’u, andYen.Finally, hedestroyedCh’iandsucceededintheunificationoftheempire.

DiplomaticStrategyinModernTimes“Befriend Those at a Distance, Attack Those Nearby” is also employed as amoderndiplomaticstrategy.Vietnam,forexample,alliedwiththeSovietUnion,bothmilitarilyand ideologically,and receivedaid fromthem.Theplanbehindthat,needless to say,was thedominationof the Indo-Chinesepeninsula,whileresistingheavypressurefromChina.ThefactthattheSovietUniongaveaidtofaraway Vietnam became a powerful impediment for China, which shared aborderwithVietnam.China in turn soughtdistant allies. Inorder to exert pressureonVietnam, it

begantosupportCambodiaand,inordertochecktheSovietUnion,ChinawasevenwillingtoapproachtheUnitedStates.Castro’sCubaallieditselfwiththeSovietUnioninordertoresistAmerica’s

influence;andtheSovietUnionhadnoqualmsaboutsupportingCubainordertoopposetheUnitedStates.Of course, in diplomacy, the opposite approach is often employed. Allying

oneself with a neighboring country in order to confront a powerful distantcountryhasbeenacommontacticalapproachforcenturies.

Ifacountryliesbetweentwolargerones,andtheenemytriestosubordinateitbythreats,useforceprovisionally[toprotectthesmallercountry].

Ifyoudeliveronlywords,theywillnotbeheeded.1

Shouldasmall,weakercountrybesandwichedbetweenyourowncountryandthatofyourenemy,andtheenemyshowssignsofmilitaryhostilitytowardthatsmallcountry,thenyourowncountrymustsetoutmilitarilyandcometoitsaid,andlateryoucanbringitunderyourcontrol.Ifyoumakeverbalpromisesbutdonotfollowthroughwithaid,youwillbeunabletogaintheirtrust.

“BorrowaRoad,AttackKuo”isastrategybywhichyoutakeadvantageofthedistress of a small country and conquer it under the pretext of coming to itsassistance. However, in mobilizing your army, you must justify your actions.The best opportunity for applying this strategy is when a weaker party isattacked,orthereisaperceived,imminentattackbyastrongerparty.Atsuchatime, youmust swiftly send troops to help and thereby increase the sphere ofyour influence. Wait patiently for the right moment and finally conquer theweaker party. Under the guise of ostensible altruism, this strategy helps youincreaseyoursphereofinfluence,whileatthesametimeavoidinginternationalcriticism.

BreakingtheWheelsofaCart“BorrowaRoad,AttackKuo” is taken fromaneventnarrated in theHanFeiTzu, abookby the famousLegalistphilosopherof thesamename.During theSpringandAutumnperiod,therewasalargestatebythenameofChin.NearbywerethetwosmallstatesofYuandKuo.DukeHsien,therulerofChin,wantedtoattackthestateofKuo.Hearing this, one of his vassals, Hsun Hsi, suggested the following plan:

“OfferthebowlofCh’ui-chiandthehorsesofCh’uasgiftandrequestthatYugrantyoupassageon their road toKuo.With the temptationofsuch treasures,theyaresuretoagree.”“Bothofthesearevaluedtreasures,”repliedtheduke.“ThebowlofCh’ui-chi

ismadefromjadeandhasbeenhandeddownbyformerprincesforgenerations,andthehorsesofCh’uareamongmymostcherishedpossessions—swifthorsesforwhichIwouldgamblenothing!WhatwillwedoifYuacceptsthegiftsbutdoesnotlendustheroad?”“Thereisnodangerofthat.Iftheydonotwanttograntuspassage,theywill

notaccept thegifts,”HsunHsi replied.“If theyaccept thegiftsandgrantyoupassage,thegiftswillbeyoursanyway.Thinkofitthisway:Itwillbethesameastransferringthejadebowlfromtheinnertreasurytotheoutertreasury.Asforthehorses,itwillbethesameastetheringthemintheouterstablesratherthantheinnerones.Thisisnotamatterofconcern.”Consenting to the plan, Duke Hsien sent Hsun Hsi as a messenger. Hsi

presented the jade and horses to the duke of Yu and requested him to grantpassage.ThedukeofYuwasexhilaratedbythesightofsuchcourtlygifts,andwassettoaccepttherequest.Seeingthis,KungChih-chi,avassaltothedukeofYu,admonishedhim.“You

mustnotacceptthisrequest.OurcountryandKuoaretwowheelsonthesamecart, joinedbyanaxis.Aslongas thewheelsare joined, thecartrollson.Thecartdependsonthewheelsandthewheelsrollonbecausetheyarejoined.Inthesameway,YuandKuodependoneachother.IfyougrantChinpassage,onthesamedayKuofalls,Yuwillfall.Itwouldbewisetorejectthisrequest.”ThedukeofYuconsideredtheadvicebutchose,intheend,todisregardit.Traveling throughYu,HsunHsi attackedKuoand returnedhome,but three

yearslateragainraisedanarmy,struckYu,anddestroyedit.HsunHsiretrievedthehorsesandthejadebowlandpresentedthemtoDukeHsien.“Thegiftsnevertrulyleftyourpossession,lord,butseehowthehorseshave

grown—theyarenowevenstrongerthanwhenyouofferedthem!”Hearing this,DukeHsienwas overjoyed—the strategy of “Borrow aRoad,

AttackKuo,”recommendedbyhisvassal,hadbeenanimmensesuccess.

TheSovietDispatchofTroopstoCzechoslovakiaIn1968, theSovietUniondeployedtroops toCzechoslovakia,whichhadbeenpursuingliberalization,andinaflasharequiemwassaidforthePragueSpring,thetermforCzechoslovakia’sshortperiodofpoliticalliberation.It all began when the Soviets staged a combined military exercise in the

forestedareaofBohemiainsideCzechterritory.UnitsfromfivecountriesundertheSovietUniongatheredfortheexercise,includingthosefromEastGermany,Poland,andHungary.Threemonths later, the Soviets, together with a vanguard consisting of the

unitsthathadparticipatedintheexercises,invadedCzechoslovakiausingaroutethroughtheBohemiaregion.Bohemiawasthefirst“borrowedroad,”andthePragueInternationalAirport

wasthesecond.ASoviettransportplaneenteredtheairport’sairspace,thensenta bogus distress call, citing engine trouble, and requested permission for an

emergencylanding.Followinginternationalpractice,thelandingwaspermitted.As soonas theplane landed, a seventy-manarmedvanguard jumped from theplaneand inan instanthad takencontrolof theairport.They thenordered theairportemployees todischarge theirdutiesandclear theway for thearrivalofsucceedingtroops,thussecuringaswiftinvasion.

HowtheUnderdogCanSurvive“BorrowaRoad,AttackKuo”allowsthestrongtoconquertheweak,and—allthings being equal—it should not be difficult as long as there is the will toproceed.Successreliesongivingtheappearanceofajustcause.Conversely, a person or country in a weak position will find it difficult to

carryoutthisstrategy.Inordertoavoidbecomingavictimofthisstrategy,thefollowingconditionsmustbemet:

One’s interior organization must be in agreement. Internal discord anddivisiongiveastrongopponentanopeninghecantakeadvantageof.Avoidprovocativebehavior.Ifsuchbehaviorisengagedin,itwillprovidethestrongwiththewilltoact.Bediscerningaboutstrength.Inappropriatewordsandactionswillonlybuythehatredandangerofthestrong.Dressyourintentionsindiplomaticterms.Inthesettlementofdisputes,oneusuallydrawsuponextensivediplomacy.

Whenalliedcountriesunifyandfight,oneshouldnotrelytooheavilyonone’snewpartnersjustbecausetheyareallies.Youmustfirmlymaintainleadershipandmanifestastrongcommand.Youmustnevershowanopeningtoeitheranenemyoranally.

Forceyourenemytochangehisformationfrequently,removehisstrongesttroops,waitforhimtoself-destruct,thentakeadvantageofthis.

Brakethewheels.1

Enervateyouropponentso thathemust frequentlychangehisbattle formationand move his main force, then take advantage of his self-destruction. If yourestrainthewheels,youarebetterabletocontrolthedirectionofthevehicle.

“StealtheBeams,ReplacethePillars”isastrategyinwhichyoucompletelysapyouropponent’sstrength.Beamsandpillarssupportthestructureofahouse.Ifyoutaketheseawayoralterthem,theformremainsinplace,buttheinterior,orsubstance,willbeweakened.In thesameway, ifyoucanalter thestructureofyouropponent’sforces,hisfightingabilitywillbelessenedandhewilllosethewilltoresist.This strategy can be used against enemies and allies alike. It goes without

saying that when this method is used against an ally, it is used in order tomanipulatetheotherpartytoone’swill.

TheFirstEmperor’sStrategyThe First Emperor of theCh’in knocked down opposing states like dominoeswithStrategy23,“BefriendThoseataDistance,AttackThoseNearby,”andintheyear221BCEhedestroyed the last remainingstate,Chi, finallycompletingthe unification of the empire. During this campaign, the First Emperor usedsubjugation by armed strength combined with a range of strategies, whichincludedtacticstoweakenhisopponents’militarystrengthandtheirwilltofight.Heemployed“StealtheBeams,ReplacethePillars”againstthestateofChi.Aboutthistime,amanbythenameofHouShengwasappointedastheprime

minister of Chi and consolidated the administrative power of the state.Determined not to allow his own hegemony to be compromised, the FirstEmperor set his sights onHouSheng.He sent him a large number of articlesmadeofgoldand succeeded finally inbribinghim.HouSheng thencompliedwiththeFirstEmperor’sdemandstosendhisownsubordinatesandfollowerstoCh’in,ostensiblytolearnmoreofthesituationthere.TheFirstEmperor’speoplecultivatedthetrustofthesevisitors,rewardedthemwithmanyarticlesofgold,and sent themback toChi as intelligenceofficers. In compliancewithCh’in’swishes,thesemenreturnedhome,enthusiasticallypraisedthegreatnessofCh’in,andunanimouslyencouragedtherulerofChitoceasehispreparationsforwar.

Later,whentheCh’inarmypressedinontheChicapitalatLinTzu,itissaidthat not one of Chi’s subjects resisted. The entire state was completelysubjugatedwithoutbloodshedbytheactivitiesoftheintelligenceagents.

TheSovietUnion’sInvasionofAfghanistanFormanyyearstheSovietforeignstrategistshadsoughtamuch-desiredroutetotheIndianOcean,andtothisenditcanbearguedthattheSovietUnionhadbeenpreparing for the invasion of Afghanistan since the 1950s. In order to enticemembers from theupperechelonsofAfghansociety, theSoviets sentover sixthousand advisors and specialists on military and governmental mattersostensiblytoassisttheAfghans.Atthesametime,theysuppressedordroveoutdissident factions and urged the appointment of agents friendly to the SovietUnion.The result was that, over time, the important Afghan military and

governmental agencies were almost all dominated by agents friendly to theSoviet Union. Hostile beams were replaced with friendly pillars. When theSovietsfinallyinvaded,theinitialsurgewaseasilyaccomplished.

Thegreatsurpassesthesmallandleadsbymeansofadmonishment.Tostrengththerewillberesponse;actwithseverityandtherewillbeorder.1

Attimesapersoninastrongpositionmustbeseveretowardaweakpersontobringdisciplineandsubmission.If thestrongerpartyconfronts theweakeronedominantly and powerfully, he will be able to make the latter submit;approaching matters with a resolute attitude will cause your opponent to beobedient.

“Point to the Mulberry, Berate the Pagoda Tree” is fundamentally a methodwherebyyouwanttocriticizeA(thePagodaTree),butyouhesitatetofacehimdirectly and so rebuke B (the Mulberry Tree). In this way, you criticize Aindirectly. This strategy has been frequently used since ancient times. Someyearsago,forexample,therewasamovementknownas“StrikeLinPiao,StrikeConfucius.”WhilethismovementoutwardlycriticizedLinPiaoandConfucius,itwasreallyaimedatcriticizingthepoliticianChouEn-lai.Thisstrategycanalsobeusedtobringaroundafriendlystateorsubordinate.

That is to say,at timeswhen itwouldnotbeefficacious tocriticizea friendlystate directly, or a subordinate unsparingly, “Point to theMulberry,Berate thePagodaTree”couldbeausefulalternative.

SzeMaJang-chu’sImpeccableOrganizationDuringtheSpringandAutumnperiod,therewasageneralinthestateofChibythenameofSzeMaJang-chu,wholeftforposteritythefamousbookTheArtofSzeMa,oneoftheSevenBooksonMartialStrategies.2WhenChiwasattackedbythestateofYen,Jang-chuwasappointedgeneral,andhistroopspreparedtodepartforthefront.Duringthistime,acourtfavoritebythenameofChuangKuwasappointedasanarmyinspector,andheperiodicallyaccompaniedthetroops.However, on the day the troops were due to leave for the front, Chuang Kushowedupextremelylate.“What kind of excuse do you have for being so late?” Jang-chu demanded

furiously.“I’msosorry!”wastheanswer.“Themajorvassalsandmyrelativescameto

bidmefarewell,andsoIwaslate.”Hearing this, Jang-chusent for theauthorityonmartial law inhisarmyand

askedhim,“Accordingtomartiallaw,whatkindofsentenceisgiventoapersonwhoislateforanappointmentofsuchimportance?”“Beheadingisappropriate,”themanreplied.ChuangKuwasstruckwithfear.Aftersendingarunnertoinformtherulerof

hisplightand request support,hebegged formercy.Butbeforehismessengercould return, Jang-chuexecutedChuangKuandannounced thepunishment totheentirearmy.Itissaidthat,intheshadowofthisincident,armydisciplineimprovedinan

instant.WhileitisuncertainexactlywhyJang-chumadesuchanexampleofChuang

Ku, in terms of efficacy he certainly achieved strict military discipline by“PointingtotheMulberry,BeratingthePagodaTree.”However,onecannotwinthemindsofsubordinateswithdisciplinealone,and

during the campaign, Jang-chuwas an exemplary leader.He assisted inmanychores most commanders would leave to underlings, helping with everythingfromtidying thesoldiers’quarters todrawingwellwaterandstackingcookingpots andprovisions.He ate the same rations as the lowliest soldier and in thesameamounts.Heevenattendedtoillsoldiers.Inthiswayheprovedhecouldshowakinder,moresympatheticsidetohismen.By being both strict and humble, Jang-chu made a reputation for himself.

After only three days, when it came time for roll call, even the sick soldiersaskedtogotothefrontandfacedbattleinhighspirits.

StrikingaBalancebetweenSeverityandSympathyWhiletheJapanesepossessastrongloyaltytothegroupethic,theChinesefocusmoreontheindividual.AChinesemanagerattachesimportancetodiscipline—thatis,showingtheirsubordinatesaseveredemeanor.Butyoucannotwinyoursubordinates’ hearts with severity alone. What is also necessary is jin, or“human-heartedness”—thatis,sympathyandunderstanding.Withoutexception,people who are called wise generals are those who strike a balance betweenseverityandhuman-heartedness.While the group ethic plays an important role in Japanese society, the

Japanese have an intense dislike of confrontation, and if this dislikemanifestsitself as avoidance of responsibility within an organization, management willfinditnecessarytointroduceacorrectivedoseofstrictnessintotheproceedings.Creative solutions have been found to overcome this aversion to

confrontation. When energizing a professional baseball team, for example, aJapanesemanagermightfirstobtainconsentfromoneplayerinprivateandthendeliberatelymake an example out of him by singling him out for a scolding,eveniftheblameliesmorewithothermembersoftheteam.Themanagerwillsingleout adesignated scapegoat to indirectly criticize the entire team. If thatplayeristhecaptainoftheteamoraveteran,thisplanworksallthebetter,andit

becomesacreativeversionof“PointtotheMulberry,BeratethePagodaTree.”

Feignalackofknowledgeanddonotact,ratherthandissemblingwithborrowedknowledgeandactingindiscriminately.

Beatpeace,anddonotmanifestyourintention.CloudsandthunderindicateBirth[ordifficultyatthebeginning].1

Rather than trying tobecleverandactingcarelesslyand indiscriminately, it isbetter to deliberately look foolish and refrain from action. While you hidecunning plans in your breast, do not manifest them on the exterior. This isexactlylikecloudsandthunderaccumulatingtheirstrengthandwaitingfortherightmomenttounleashthestorm.

“Feign Stupidity,DoNot Be Injudicious” is a strategy inwhich you give theappearance of being quite foolish, which disarms your opponent’s vigilance.“Stupidity” means “foolishness,” while “injudicious” means “to be mad.”Therefore,“not injudicious”means“havingnormal judgment.”Basedon thesenuances, “Feign Stupidity, Do Not Be Injudicious” is nothing less than astratageminwhichyoucloakyourselfinfoolishness,atacticoftenusedbythoseinaweakordesperateposition.Ifitisexecutedwellandsuccessfully,itcanbeahighlybeneficialstrategy,butthekeytomakingitasuccesshangsonthequalityofaperson’sperformancewhenfeigningstupidity.

SzeMaChung-ta’sMasterlyPerformanceInTheRomance of theThreeKingdoms, SzeMaChung-ta,whowasChuKoK’ung-ming’s worthy opponent, later became ameritorious retainer and elderstatesmantotherulerofWei,forwhomheplayedaleadingrole.During that time, the influence of Ts’ao Shuang, the scion of an illustrious

familyinthecourt,cametothefore;andChung-ta,whohadbeenpushedasideandheldno realpower, temporarilypleaded illness and shuthimselfup inhismansion. Nevertheless, Chung-ta remained an elder statesman of the ruler ofWei.Ts’ao Shuang and his coterieweremaking their influence felt, and to them

Chung-ta’s existence was threatening and thus intolerable. Ts’ao ShuangthereforesentanunderlingasamessengertoChung-ta,instructinghimtospyonChung-taundertheguiseofaskingafterChung-ta’shealth.When themessengerwas brought beforeChung-ta,what he saw astonished

him. Two young ladies stood at either side of Chung-ta, assisting him in thesimple act of dressing. When his clothing seemed about to fall from his

shoulders,theywouldquicklyadjusthisrobes.Chung-tapointedhisfingerathismouth and mumbled incoherently “Ah . . . oo . . .” to the young ladies,apparentlyaskingforadrink.When theyoung ladiesoffereda teabowl filledwithgruel,hetriedtotakeasipbutspilleditalloverhischest.Hewasunabletoansweranyquestionsatall.Themessenger returnedand reported toTs’aoShuang: “LordChung-tawas

totallyincoherent,andhewasunableeventosipgruel.Ithinkthatitwillsoonbetheendforhim.Youhavenothingtoworryabout.”Ts’aoShuangwasputcompletelyateaseandthoughtnomoreaboutChung-

ta.One month later, Chung-ta exacted his revenge, capitalizing on Ts’ao

Shuang’s negligence, to execute a coup d’état, destroying them and all otheropposition,andmakingacomebacktohisseatofpower.Hisstrategyof“FeignStupidity,DoNotBeInjudicious”wasaresoundingsuccess.

WhentheCharadeFailsThe third-generationMing-dynasty rulerwasEmperorYungLuan.Hewas thefourth son of the dynasty’s founder, Chu Yuan-chang, and was called “theepitome of wisdom and courage” from the time he was young. Among hisbrothers,heenjoyedareputationasthemostremarkable.Recognizedforhisabilitiesatanearlyage,YungLuanwasquicklygiventhe

positionoftherulerofYen,stationedinBeijing,andorderedtokeepaneyeonthemovements of theMongols. Soon afterward, ChuYuan-chang died in thecapital of Nanjing, and Emperor Chien Wen was enthroned as the second-generationruler.ThenewemperorwasnephewtoYungLuanofYen.Fromthestart,however,therelationshipbetweenthecourtofNanjingandthe

rulerofYeninBeijinglackedharmony,anditsoonbecameoneofopposition.Yung Luan was the emperor’s uncle, and this created tensions in theirrelationship.Furthermore,hecommandedamajormilitaryforce,wasstationedinBeijing, andwashugelypopular. If the emperor letmatters stand, he knewLuan would one day become a threat to the court in Nanjing. Thus, it wasdesirabletoeliminatehisuncleandcontainthispotentialdisasterbeforeitgrewworse.Asacountermeasure,theemperorsentatrustedretainerandhighofficialtoconsolidatehissurveillanceinBeijing.FortherulerofYen,suchamovebyhisopponentcouldnotbeignored.The

strategythathechosetocombat theemperor’smoveisechoedinapassageintheHistoryoftheMing:“Theruler,himselfawareoftheinternaldanger,feignedmadnessandpretendedtobeill.”Inotherwords,“FeignStupidity,DoNotBe

Injudicious.”Hesoonputthestrategytowork.Sometimeshewouldgointothestreetsof

Beijing,takefoodanddrinkawayfrompeople,shoutabsurditiesalongtheway,andactlikealunatic.Atothertimeshewouldstartupafireonahotmidsummerdayandbegintoshiver,mumbling,“Oh,it’scold,it’scold.”Allwillbe fine ifyouropponent is fooledbyyourperformance,but ifyour

charadeisuncovered,theconsequencescouldbedisastrous.InLuan’scase,hispretensewas less than convincing, and the emperor’s vigilance increased.Theresultwas that the internal feudbetweennephewanduncleproliferated into abattleofrelativesinwhichbloodwaswashedwithblood.Aswiseas themanwho laterbecameEmperorYungLuanwas,hewasnot

cunningenoughtomakethisstrategyasuccess.

TheCopperCoinsPlayingthefoolrequiresadetailedplan.Thisisattheheartofthistactic,andthefollowingstoryillustratesaclevervariation.ThiseventoccurredwhenTiCh’inghadembarkedonacampaigntodefeata

non-Chinese tribe in the south. At that time in that region, the practice ofdivinationwaspopularamongtheChineseandcarriedgreatsway.Recognizingthepowerofdivination,TiCh’ingdecidedtoexploitit.Hetook

outonehundredcoppercoinsand in frontofhis soldiers said,“In thecomingbattle,victoryordefeatiscompletelyunpredictable.SoIwillthrowthesecoinsintheair,andiftheyallcomeupheads,thatwillmeanthegodsarebehindusandwearesuretowin.”Everyoneknewtheoddsofsucha featoccurringnaturallywereso lowthat

onlydivineinterventioncouldmakethishappen.Astaffofficerathissidewhispered,“Iftheydon’tcomeupheads,itwillhave

a devastating effect on the morale of the troops,” and tried to dissuade him,reasoningthatthiswasahugelyfoolishact.TiCh’ing,however,couldnotbeswayed.Asalargecrowdofsoldierslooked

onapprehensively,hethrewallofthecoppercoinsintheair.Astheyfelltotheground, every last one of them turned up heads. Seeing this, the entire army,generalsincluded,burstoutinheartycheersofjoy.TiCh’ingnailedthecoppercoinsdownjustastheywereand,aftercovering

themwithacloth,saidinacommandingvoice,“Ifwemakeatriumphantreturn,we’llgivethankstothegods.”Histroopsimmediatelyturnedtothebattlelinesandannihilatedtherebels.After their triumphant return, thestaffofficers inspected thecollectedcoins,

only to find that each coin had heads on both sides. Behind their leader’sseeminglyrashpronouncementhadbeenacleverlydevisedstrategy.

Ifyoufoolyourenemywithdeceptions,enticehimtoadvance,andcutoffhisaccesstohelp,youwillputhiminafatalsituation.Heencounterspoison,his

positioncrumbles.1

Drawanopponentin,deliberatelyenticinghimwithanopeningandcuttingoffthe troops that follow. Then surround and annihilate him. The enemy bringsabouthisowndownfallbylungingatthebaityouleft.

“Send Them to the Roof, Remove the Ladder” is the strategy of sending anopponenttoapositionyoucancontrolandthenisolatinghim.Itcanalsobeusedtomotivateyourowntroops.Asamilitarystrategy,itcouldfollowoneoftwopatterns:

You throw out bait that the enemy is likely to take, let him rush inrecklessly,andcuthimofffromanyfurthertroopsorcollaborators.Makeyourtroopsstandwiththeirbackstoabodyofwatersothereisnopossibility of retreat, strengthen their resolve by showing them victory istheonlywayout,andsendthemtobattleinhighspirits.

Inbothcases,thisisastrategythatrequiresconsiderableresolvetosucceed.Itisessentialtohavedeepinsightandmakemeticulouspreparations.Oneother concernwith this strategy is theplan thatyouuse to entrapyour

rival.Makesureitisfoolproof.Eventoday,thisisavalidstrategy.

LiLin-fuEliminatesaPoliticalThreatDuring theT’angperiod, therewasaprimeministerby thenameofLiLin-fuwhoservedtheemperorHsuanTsung.Hewassaidtohave“amouthofhoney,butaswordinhisstomach.”Inotherwords,Lin-fuexcelledatintrigue.Amonghis political enemieswas amanby thenameofYenT’ing-tze,whohadbeendemotedtoservingintheprovinces.Once, during a conversationwithLin-fu, the emperor suddenly recalled the

talentedYenT’ing-tzeandinquiredafterhim.“Ah,yes.Therewasamanbythename ofYenT’ing-tze,wasn’t there?Hewas an able fellow, butwhere is henow?”Afterpromisingtomakeinquiries,LiLin-fuwithdrewandsummonedT’ing-

tze’s younger brother, hatching a plan that would eradicate any further threatfromhisrival.

“The emperor is keen to meet your brother again. I think that perhaps weshould bring him back from the provinces. What do you think? How aboutmakingarequest,sayingthathewouldliketoreturntothecapitaltorecuperateonthegroundsofhavingdevelopedpalsy?Ithinkyoushouldrecommendthistoyourbrother.”YenT’ing-tzewascontactedbyhisbrotherandhappilydrewupalettertothe

throneassuggestedbyLin-fu,requestinghisreturntothecapital.TheemperorconsultedLin-fuastowhatthiswasallabout.Lin-fureplied,“T’ing-tzeisnotgettinganyyoungerandhasdevelopedpalsy.

I think it would be best if you order him into retirement and have himconcentrateontakingcareofhimself.”In this way, Li Lin-fu successfully eliminated any political threat from his

rival, demonstrating an artful political use of the strategy “Send Them to theRoof,RemovetheLadder.”

“BreaktheOvens,SinktheBoats”In themilitary laws ofTheArt ofWar, the following tactic ismentioned as ameansformotivatingyoursoldierstofight:

Onceyouhavegivensoldiersamission,cutoffanyroadofretreatasifyouhad sent themup to the second floorof abuilding and then removed theladder. If you have penetrated enemy territory deeply, youmust advancelikeanarrowreleasedfromabow.Tourgeyoursoldiersonward,burntheboats,breakthecookingpots,andmakethesoldiersabandonanyhopeofreturninghomealive.

Hsiang Yu was among those generals who made a specialty of this way offighting.He followed this approachwhenhe came to the aidof his allies, theChuLu,whoweresurroundedbythearmiesoftheCh’in.Heledhisentirearmyto the front, then as soon as they had crossed theYellowRiver, he sank theirboats, destroyed their cooking ovens, burned their tents for bivouacking, andbrought along only three days’ worth of provisions. Taking such extrememeasures,hesoughttogivethegeneralsandsoldiersalikenohopeofreturninghome alive. Facing such nihilistic consequences, the soldiers would have nochoicebuttofightwithdesperateresolve.Intheend,HsiangYu’ssoldiershurriedtothesideoftheirally,andeachman

fought as though he would subdue ten of the enemy. They fought with suchfiercenessthatenemyandallyalikecouldbarelycatchtheirbreath.

ThisiscalledHsiangYu’sstrategyof“BreaktheOvens,SinktheBoats,”anditis,ofcourse,apracticalapplicationof“SendThemtotheRoof,RemovetheLadder.”

K’ung-ming’sSeveredSupplyLinesHsiang Yu’s strategy, developed by Hsiang Yu himself, realizes great powerwhen a decisive, short-term battle looms, but it is less effective in long-term,ongoingfights.TheformerJapaneseImperialarmyoftenemployedthesametactic.Itcanbe

said that from the outset, however, the Japanese army had a tendency tounderestimatetheimportanceofsupplycommunications.Furthermore,theydidnotmakeadistinctionbetweenashort-termandalong-termcampaigninmanyof their battle strategies. Employing strategies that often ignored supply linesduringthePacificWarledtotragediesliketheoneatImphal.2The crucial tactical distinction between short-and long-term campaigns, as

wellasthevitalroleofsupplylines,wasnotlostonChuKoK’ung-ming,astoldinTheRomanceoftheThreeKingdoms.WhenLiuPeidied,K’ung-mingreceivedhis lastblessing,executedaseries

offar-reachingcampaignsofgranddesign,andchallengedhisrival,thestateofWei,tobattle.Thisbattle,herealized,wouldbeahard,long-termstruggle.Thereasonsforthisweretwofold.First,WeiwasalargestatewithmanytimestheresourcesofK’ung-ming’sstateofShu.Second,tostrikeatWeiterritory,itwasnecessary to traverse highmountains called the Ch’in Ling Range. Naturally,securingsupplieswouldbeextraordinarilydifficult.K’ung-ming had the resources for an army and strategic leadership, but the

difficultiesofbuildingsustainablesupplylinesoveraforbiddingmountainrangein those days—even for a resourceful man like K’ung-ming—were hard tosurmount.ThisobstaclewouldprovetoogreatforevensuchanintelligentleaderasK’ung-mingtoovercome.Knowinghewasatadisadvantage,K’ung-mingproceededcautiously.Hedid

notattempttheimpossible.Wheneverhissupplylinesweredisrupted,hecalledfor a temporary retreat, recuperated his troops’ strength, and prepared for thenextbattle.Hewouldforgetaboutimplementinghisstrategyof“SendThemtothe Roof, Remove the Ladder,” and replace it with a tactic known as “Tap aStoneBridge,ThenCross.”3K’ung-mingwasultimatelyunabletoreachhisgoal.However,neitherwashe

defeated.ForafundamentallyinferiorforcesuchasK’ung-ming’s,itispossibletosaythattheveryfacttheysurvivedandputupsuchaspiritedfightisinitself

asmallvictory.ThisismorethancanbesaidfortheImperialJapanesearmyinthewakeofthePacificWar.

RemovetheLadder,LightaFireHondaPerformance andResearch, an arm of theHondaMotor group, iswellknownasa company that challenges itself to comeupwithnewproducts thatappeal to theyoungergeneration.Furthermore, it isknownforencouraging itsemployees tobe creative.Someyears ago, it developed the “City,” a “tall butshort car” that brokewith the conventionalwisdom about car design that hadprevaileduptothat time.Themanwhodevelopedthisconceptwasoneof theyoungestmenontheteam,whoseaverageagewastwenty-seven.Managementhadpromisednottointerferewiththisyoungprojectteam.Nevertheless,aswellas having a free hand to create, the designers had to assume variousresponsibilitiesfortheproject.Whenaskedabouttheirapproach,managementrepliedasfollows:“Whenyou

givework to researchers,youaregenerallysevere,but sometimesyouslackentherope.Whenyoudothis,therewillbeaconsiderablespikeinthenumberofideasthatcomeforth.Itisgoodtowatchthesethingscarefullyandtoletthemaccumulate.Thisshouldbedonehaphazardly,however,andincertainsituationsyoumustberesigned:assignstandardsandresponsibilities,andthensaynothingafterthat.Takethemtothesecondfloor,andthenremovetheladder;afterthat,theycannotjumpdown,evenifyoutellthemto.Isitnottruethatourcreativeideasflourishwhenforcedintoextremecircumstances?”Ifyoufollowthesamelineofthought,sothetheorygoes,youwillsurelybe

able to drawout onehundredpercent of the potential possessedby the younggeneration. There are those, however, who criticize Honda Performance andResearch’swayofdoing thingsas “taking them to the second floor, removingtheladder,andstartingafirebeneaththem.”

Takewhatyoucanfromthesituation,andpavethewayforyourinfluence;thoughyouhavebutlittlestrength,yourinfluencewillbegreat.

Thewildgoosegraduallyprogressesoverthebroadhighway;itsfeatherscanbeusedforceremonies.1

If you feign superiority, you can demonstrate great power, even if you areequippedwithbutasmallandweakmilitaryforce.Lookatthewildgoosethatfliesthroughthesky.Doesitnotspreaditswingswideandmanifestmagnificentspirit?

“Make theFlowersBloomon theTree” is a strategy inwhichyou feigngreatmilitarystrength.TheArtofWaradvocateswithdrawing ifyour force isweak.“Make the Flowers Bloom on the Tree” affirms that confrontation should beavoidedbutalsosuggeststhat,insomecases,youcouldstrikeaposeofmilitarysuperiority and trick your enemy into submission. But whether you retreat orfeignstrength,theunderlyingpointremainsthesame:avoidfightingforawhileandplayfortime.

TheCooking-OvenStrategyoftheEighthRouteArmyIn Strategy 15, “Pacify the Tiger, Then Lead It from the Mountain,” weintroducedanexampleinwhichaweakerarmynightlyincreasedthenumberofcooking ovens to make it appear as though reinforcements were arriving inpreparation for battle. In itswar of liberation, the EighthRouteArmy tried asimilar strategy against the army of the Kuomintang, the Chinese NationalistParty.In thewinterof1947, theCh’enKeng regimentof theEighthRouteArmy,

which was active in guerrilla warfare in the Fushan area of western HenanProvince,foundthemselvesfacingthesuperiorforceoftheKuomintang,andfora short time needed to avoid them.Rather than retreat, they formed a plan todistracttheenemy.TheycreatedadecoyunitwhosesolepurposewastodragtheKuomintangonawildgoosechase.This unit was under instructions to give the impression that they were the

EighthArmy’smainforce.Thedecoyunitfeignedasortieandthencommenceda cat-and-mouse strategy of dragging their opponents around. The decoy unitstartedsouthinfullviewoftheenemy,andassoonastheywereconvincedtheenemycouldnolongerseethem,theydoubledbackandmarchedsouthonthesameroad,creatingtheimpressionofalargerforce.Whencamped,theymadea

greatnumberofcampfirestogivetheappearanceofalargeregiment.Theenemywasnot soeasilydrawn in.Thedecoyunit thuschanged tactics

and attacked the prefectural garrison at Chen Pei, deliberately creating theimpressionthatthiswasasortieofthemainforce.Whenreportsofthescaleoftheattackreached theenemyforces, theysentout theirmainforceandmovedaggressivelytowardadecisivebattle.Thedecoyunitwithdrew,draggingtheenemyfartherandfartherawayfrom

themainforceoftheEighthArmy,andthenpulledawayfromthem.Eventhenthey did not let up. They marched along, creating billowing clouds of dustsuggestive of a much larger force; they left behind a disproportionately largenumberofrucksacks;andtheycarriedoutotheractionsthatgavetheimpressionof a large army on the move. Though initially skeptical, in the end theKuomintangweretakeninbythedeceptionsandbelievedthedecoyunit tobetheir opponent’smain force. They thus chased them for a number ofmonths.During that time, themain forceof theEighthArmywasable toenjoya longrestandprepareforthedecisivebattlethatwassoontocome.

TheSovietUnion’sStrategyofDeceptionIn his Battle Strategies of Modern Times, Nagai Yonosuke introduces thefollowingepisode:In the beginning of the 1970s, reconnaissance satellite cameras over Soviet

airspacediscoveredanincreaseinsubmarinescarryingintercontinentalmissiles.ThesesubmarineswerepartoftheSovietnorthernfleetstationedintheportofPolyarnyin thevicinityofMurmansk.Foranumberofdays,however,violentwindshadbeenblowingintheBarentsSea,andthesurveillancecamerashadnotbeen functioning well. Once the winds had passed and the cameras wereworkingagain,Westernoperatorsweresurprisedtoobservethathalfofthenewsubmarineshadbeendamagedinthewinds,theirhullstwistedorcapsized.Theoperators then deduced that the submarines could not be made of steel. Thestorm had exposed the submarines as dummies—the Soviets had beenemployingthestrategyof“MaketheFlowersBloomontheTree”tomagnifythestrengthoftheirfleet.Thiswas indeed thecase.Years later,a formerhigh-rankingengineer in the

Sovietwarplantexplainedthat itwashisresponsibility tomakefakeweaponsoutofwood.“Theylookedjust liketherealthingfromadistance,”herelated.“Aspecialbuildingwasconstructedfortheirmanufacture,andthesurroundingsof theplant installationswerecompletelycamouflaged.”On the islandbaseofSaaremaaopposite theportofRiga, therewasagreatnumberof realmissiles,

but thanksto thisengineer’sefforts, thenumberof imitationmissilesexceededthe number of real ones. The tactic’s two-pronged approach created falseimpressionsofthesizeofthefleetandofthelocationofitsmajorforce.After relating this episode,Mr. Nagai commented, “Of course, this sort of

deceptionhadonly the tactical intentionof deceiving and confusing theWest.However, even on a strategic level, this point can be considered: The SovietUnionhadhiddenitsrealstrengthforthepastthirtyyears,andinordertoinflatetheirrealstrengththeytookextrememeasures.”

Takeadvantageofanopening,insertyourfoot,andgraspthemainchance.Advanceisingradualprogress.1

Ifyouropponentgivesyouanopening,capitalizeon it immediatelyandgrasppower.Thismustnotbecarriedoutinanarbitraryfashion,however.Thecorrectproceduremustbefollowed,andyourgoalmustbeaccomplishedstepbystep.

“Quit as Guest, Take Over as Host” is a strategy in which a person in thepositionoffollower(guest)takesovertheseatofleader(host).Thatistosay,thepartythatwasinitiallyinapassiveroleseizescontrol.Intermsofbattle,TheArtofWar states that it is essential to secure leadership and to impose one’s ownpaceontheenemy.Ifoneremainsinthe“guest’s”position,hewillneverholdaposition of leadership. This is the meaning of “Quit as Guest, Take Over asHost.”Inordertorealizethisstrategy,thefollowingprocedureshouldbefollowed:

1.Securetheguest’sseat.2.Searchforthehost’sweakpoints.3.Initiateaction.4.Seizepower.5.Changepositionswiththehost.6.Solidifypower.

Whileone remainspassively in theguest’s seathemustnotbehave rashlybutrathermustbepatientandcircumspectandwaitfortherighttimetostrike.

LiuPang’sPatienceHsiangYuandLiuPangeachledtheirownarmycorpsasgeneralsaffiliatedinthe anti-Ch’in alliance, and each took his own route to the Ch’in capital atHsien-yang.Amongthearmiesofthealliance,HsiangYu’scorpswasthemainforce,andLiu’sPang’swasadetachedforce.Ironically,however,despitebeingtheweaker force,LiuPang’scorpswas the first toattackHsien-yang.GeneralHsiangYuwasfuriousatLiuPang’saudacity.Ventinghisanger,hedecidedtoattackLiuPang.At this time,LiuPang’s troops numbered one hundred thousandmenwhile

HsiangYu’s forces stood at four times that number.Clearly,LiuPang had nochanceofvictory.Seeing no alternative,LiuPang set off forHsiangYu’s camp, accompanied

only by an attendant, to apologize. This famous event in Chinese history is

known as “The Meeting at Wild Goose Gate.” Liu Pang’s servile act wascertainlyawisemove.HewouldnothavebeenabletoovercomeHsiangYubyforce,soheoptedforhumilityandlossofface.Not long thereafter, HsiangYu became the de facto leader. As the postwar

mapwasbeingdrawnandthelandbeingdivided,theinnercircleofthemilitaryalliance had decided that the general who first attackedHsien-yangwould beawardedtheLandwithinthePasses(Shensi).This,ofcourse,wasLiuPang.ButthealliancewithheldthisdesirableregionfromLiuPang,insteadawardinghima remote scrap of land calledHanChung.With this brazen insult, Liu Pang’spatience broke. Enraged at the blatant unfairness, he made ready to go intobattle. But his adviserswere adamant—nowwas the time for patience, as hisarmywasinnopositiontosecureavictory.LiuPangwasultimatelyswayedbytheircompellingargument,relinquishedhisplan,andheadedgrudginglytowardHanChung.LiuPangsecludedhimself in remoteHanChungandwaited.Eventuallyhis

patiencepaidoff,andanopeningpresented itself.HeswiftlyexploitedHsiangYu’s shortcomings, raisedanarmy, removedhimfrompower,andclaimed theempireforhisown.While in isolation, Liu Pang demonstrated a meticulous patience and

circumspection,qualitiesthatareessentialtosuccesswith“QuitasGuest,TakeOverasHost.”

CircumspectionandTenacityoverThreeGenerationsWhen Sze Ma Chung-ta was young, he was highly regarded as an able andintelligentman.OnemanheclearlymadeanimpressiononwasTs’aoTs’aoofWei,whowas rapidly rising through the ranks of power at that time. Indeed,after Chung-ta was discovered by Ts’ao Ts’ao, it was decided that he wouldserve in Wei. Even from the outset, however, it seems that the relationshipbetweenthetwodidnotgowell.WhenChung-tawasstillattachedtoPrinceTs’aoP’i,Ts’aoTs’aohadadream

thathebecameconvincedwassomesortofpremonition.Init,threehorseshadtheirheads thrust into thesamemanger.Shortlyafterhaving thisdream,Ts’aoTs’aosaidtoTs’aoP’i,“ThereisthepossibilitythatourclanwillbeusurpedbyChung-ta,sobeverycarefulofthatman.”Because this came from Ts’ao Ts’ao, his discomfort could have been

interpretedas“makesurethismandiessoon,”indicatingTs’aoTs’ao’strust inChung-tahadbeguntowane.Chung-ta, however,whileunder thewatchful eyeofTs’aoTs’ao,waitedon

Ts’ao P’i hand and foot and performed his duties diligently. Gradually, Ts’aoTs’ao’s vigilance began to fade, and over time Chung-ta’s stature rose.Eventually,with Ts’ao Ts’ao’s death, Ts’ao P’i took the throne, andChung-tawas satisfied to be his trusted retainer. After Ts’ao P’i’s death, he became ahighlyregarded,seniorvassaltotheWeikingdom’scourt.Chung-ta, however, began and ended his career as a vassal. The next

generation benefited from Chung-ta’s exalted position. But it was with hisgrandson, Sze Ma Yen, that the Sze Ma clan usurped the Wei court andestablishedtheChincourt.In the end, theSzeMa family realized the strategyof “Quit asGuest,Take

OverasHost”overthreegenerations.

Evenwhenyoufindyourselfinadesperatesituation,itisill-advisedtoresignyourselftofightingtothebitterend.Whereverthereisawill,thereisaway.Thereareanynumberofsecretstrategiesforretaliatoryvictories.Whenthesituationturnsdireanddefeatlooksmoreandmorelikely,itisbesttoflee.Today’sjudiciousretreatcanleadtotomorrow’svictory.

Whenanarmyisstrong,strikeatitsgeneral.Ifthegeneraliswise,attackhisspirit.Ifthegeneralisweakandthearmyiscomingapart,itspowerwillwitherofitself.Itisbeneficialtosuppresstheenemy;thisispliabilityandconcomitantprotection.1

Facinganenemyofgreatmilitarystrength,itisbesttocajoleitscommander.Iftheopposingcommanderiswise,deviseastrategythatwillweakenhiswill.Ifyou deprive both the commander and the soldiers of their will to act, youropponentwillcollapseinternally.Ifyoucantakeadvantageofyouropponent’sweaknessesandmanipulatehimfreely,youwillbeabletoturnthetablestoyourfavorandexploithimtoyourwill.

The“StrategyoftheBeautifulWoman,”asthetitlesuggests,originallyinvolvedtheuseofabeautifulwomantoluretheopponent’sthoughtsawayfrompoliticalormilitarybattles. In theLuT’ao, a bookon themartial arts, it states, “Bribehimwithanabundanceofjewels;amusehimwithbeautifulwomen.”And:“Byinserting the lasciviousvoiceof abeautifulwoman,youcan leadhimastray.”Essentially,thepointofthisstrategyistobeguileyouropponentandtoweakenhis drive, thereby depriving him of his will to act. Although this strategy islargelyemployedbyaweakpersonagainstastrongerfoe,itcan,ofcourse,beusedintheoppositesituationaswell.

ChuChienEnticesHisOpponentTowardtheendoftheSpringandAutumnperiod,ChuChien,therulerofYueh,was forced to sign a humiliating peace accord atMount Hui Chi after beingdefeatedbyFuCh’a, the rulerofWu.Hewaspardonedandallowed to returnhome,but his pridehad suffered ademoralizingblow, andhevowednever toallowhimselftoforgetthetasteofdefeatatMountHuiChi.Determined to redeem his honor, Chu Chien began a twofold plan in

preparationforrevenge.First, he revolutionized the government of his own state.Learning fromhis

formerinexperience,hereconstructedthestateadministrationandstrengthenedthe armed forces. He reorganized agricultural labor and invitedmen of talent

fromfarandwidetocometoYueh.Second, while strengthening his own state’s power, he sought means to

undermineFuCh’a’s.Hedevisedaplantouseabeautifulwomantoseduceandentraphisrival.Inorder to successfully lureFuCh’a, thewomanwouldneed tobeblessed

with a singular charm and exceptional beauty. Quickly issuing a noticethroughoutYueh,hewasabletofindabeautifulyoungwomanbythenameofHsiShih,thedaughterofawoodsellerwholivedatthefootofMountChuLo.Despiteherremarkablebeauty,however,HsiShihwasacountrygirlandlackedall themanners required of a lady of the court.ChuChien brought her to thecapital andhadher trained in all the arts of amodern lady, fromconduct andmanners tomakeup and style of walking. This rigorous curriculum lasted forthreeyears,suchwasChuChien’sinsidious,synchronizingneedforrevenge.Whenshehadmasteredall thedecorumandattainedthepolishedgraceofa

lady,HsiShihwassenttoWuandgivenanaudiencewithFuCh’a.Nosoonerhad Fu Ch’a set eyes on her than he became hopelessly infatuated, and heimmediately took her as a concubine.His infatuationwas to cost himgreatly.Blindedbythisfemininetreasure,FuCh’abegantolosehissenseofvigilanceand neglected the affairs ofChuChien. FuCh’a had become ensnared by the“Strategy of the Beautiful Woman,” and all the while Chu Chien had beenwaiting for his moment. When it arrived, Chu Chien exacted his revengemercilesslyanddestroyedhim.

FreedbyaBeautifulWomanDuringthereignofChouoftheYin,therewasamongthevariousminornobilityacharacterbythenameofHsiPai.WhileChouwasconsideredatyrant,HsiPairuledhisstateadmirablyandwaspopularamonghispeers.AwarethatHsiPai’spopularity might pose a threat, one of Chou’s advisers confided, “Hsi Paipractices good government and has won the hearts of his peers. If you don’tdisposeofhimsoon,itcouldspellbadtidingsforthefuture.”ChouthereuponseizedHsiPaiandplacedhimunderhousearrest.HsiPai’s

subordinates,seeingtheirmaster’slifewasindanger,quicklytookaction.Theyscouredthelandforbeautifulwomen,exceptionalhorses,andvariouspreciousarticles andgoods,which theypresented to the ruler throughoneofHsiPai’svassals.Upon receiving suchkingly gifts,Chouwas delighted and said, “With such

giftsasthese,thereisnoreasonnottopardonHsiPai.”HethereuponreleasedHsiPaiandallowedhimtoreturntohisformerland.

Though not an overt political or military victory, Hsi Pai’s freedom hadnonetheless been restored by his subordinates’ use of the “Strategy of theBeautifulWoman.”Interestingly, much later, Hsi Pai’s son, the rulerWu, destroyed Chou and

establishedtheChoucourt.2

ThePowerofaBeautifulWomanThe“StrategyoftheBeautifulWoman”hadmoreusesthansimplyseducinganenemy into carelessness. It could also be a useful tool for espionage andassassination.WhilesuchclandestineactivitiesarenotwellrecordedinChinesehistory books, beautiful women were often sent as spies or assassinsmasqueradingasconcubinestotheopponents.The story of the Fragrant Queen helps illustrate the effectiveness of this

strategy.At the timeof theCh’ingemperorKanLu, therewasaqueenby thenameofHsiangFei. She lived in a tribe ofMongols in the regions borderingwesternChina.Hernamemeant“FragrantQueen,”andashertitleimplied,shewasabeautywhoalwaysexudedawonderfulfragrance.WhentheemperorKanLu heard of her legendary beauty, he decided that he had to have her. Hethereuponsentapunitiveforcetothewesternregions,killedtheentiretribe,andtookHsiangFeicaptive.Winning her favor, however, proved a harder feat, and she would listen to

nothinghesaid.Atlengthshepulledanakedbladefromhersleeveandpointeditattheemperor.Unwillingtobeseenfightingawoman,KanLubackeddownandorderedtheoldercourtesanstodisarmher.Hsiang Fei laughed and remained defiant. “You’re wasting your time,” she

said.“Ihavetenmoreinsidemyrobes.”Her resolute will only fed the emperor’s lust, and he grew even more

infatuatedbyHsiangFei.Herdefiantnaturehadwontheemperor’slove,butitwastoproveadouble-edgedsword.Astimepassed,theemperor’smothergrewevermore concerned that she couldbecomea threat, until finally,without herson’sknowledge,shehadherassassinated.ThestoryoftheFragrantQueendemonstrateshowawoman’sbeautycanbe

morepowerfulthanthemightiestarmyandcangainaccesstoquarterseventhemostcunningoffoescannotenter.PerhapsHsiangFeididnotdesiretokilltheemperor,butshewouldlikelyhavehadanynumberofchancehadshewantedto.Her story is a fine reminder of how potent and lethal the “Strategy of theBeautifulWoman”canbe.

Theweakshowweaknessandcreateyetmoredoubtinanalreadydoubtingopponent.Whenthisisamatteroftheweakagainstthestrong,thisyieldswonderfulresults.

When your own defense is inadequate, if you give the appearance of beingcompletelydefenseless,youwillbeabletomuddletheenemy’sjudgment.Thisstrategy should be used when you are militarily inferior, and it can haveunexpectedresults.

Whenyourforcesareinferiorandyouhavenochanceofvictory,the“Strategyof theEmptyFortress” isapsychological tactic inwhichyoubrazenlydisplayyourdefenselessnesstosuchanextentastoconfusetheenemy’sjudgment.Theaimofthisstrategyisnottogainavictoryovertheenemybuttobuytimeandforestalltheenemy’sattack.Thisisoftenusedwhenyouarefacingalast-standsituation. That is, you are looking for a life-saving strategy in themidst of acrisisthatwillonlyleadtodeathifdrasticmeasuresarenottaken.The “Strategy of the Empty Fortress” comes from a famous episode

concerning thecommanderChuKoK’ung-ming inTheRomanceof theThreeKingdoms. Though this episode is fictitious, the strategy itselfwas sometimesusedinrealbattlewithsuccess.

K’ung-ming’s“StrategyoftheEmptyFortress”WhenheheardthathisadvanceguardledbyMaShuhadbeenutterlydefeatedbyChung-ta,K’ung-mingimmediatelycommandedhisentirearmytoretreat.Atthesametime,hehimselfretreatedtoHsiCh’engandbroughtalongprovisions.During that time, an uninterrupted flow ofmessengers on fast-moving horsestraveled between encampments asK’ung-ming nursed his army’swounds andtriedtoplanhisnextmove.K’ung-ming presently received information that the enemy commander,

Chung-ta,wasleadinganarmyof150,000menandadvancingonthegarrisonatHsiCh’eng.Unfortunately, any attempt to fight would mean an unmitigated rout for

K’ung-ming—hehadonlyameager2,500soldiersinsidethegarrison.Thestaffofficers all turned pale on hearing the news, but K’ung-ming immediatelyordered, “Lower the banners! Everyone go up into the watchtowers and manyour posts, but do not show yourself. I will cut down any man who drawsattentiontohimself!”With this command, he opened up the fortress gates on all four sides and

ordered twenty soldiers to dress as civilians and sweep the road around each

gate.Hethengavehisnextinstructionswithgreatcare:“Listenclosely!Evenifthe

Weisoldiersapproach,donotraiseanalarm.Nomatterwhat.”K’ung-minghimselfdiscardedhisarmoranddisguisedhimselfasaTaoist.He

took a five-string lute under his arm and, accompanied by two youngsters,ascendedthefortresstower.Hethenlitincenseandbegantoplaythelute.WhenChung-tareachedthefortresswalls, theeeriesilencethatgreetedhim

threwhimintoconfusion.Presently,heshouted,“Withdraw!Withdraw!”andorderedtheentirearmyto

retreat.Hisson,SzeMaChao,whowaitedathisside,said,“Father,theforcesinside

thecastle areclearly inadequate, so isn’tK’ung-mingdoing this intentionally?What are you thinking of, by withdrawing the army without going on theoffensive?”Chung-ta replied,“No,no. IknowK’ung-ming,andhe isadeeplycautious

character.Hewouldnotriskdangertothisextentevenonce.Histhrowingopenthefortressgateslikethisisathinlyveiledtrap,andIamconvincedthattherearesoldiers inside lying inambush. Ifweattacknow, itcouldbeourundoing.Wemustleaveasfastaswecan.”Chung-ta’s army withdrew like a receding tide. When K’ung-ming’s

astonishedgeneralsandsoldiers inside thecastleaskedhowhehad thoughtofthisstrategy,K’ung-mingreplied,“Chung-taknowsmewell,andbelievesmetobe amanwho does not take risks. Sowhen he saw the unguarded fortress, itwouldn’thaveenteredhiswildest thoughts that Iwouldhavegone intohidingandleftourgarrisonvulnerable.No,hehaddoubtsandfearedanambush,andsohewithdrewhissoldiers.Asforme,Iwasnothappytoputusatrisk,butIdidsobecauseitcouldnotbeavoided.”Thisstoryistheprototypeofthe“StrategyoftheEmptyFortress.”Wemust

treatthestrategywithsomehealthycaution,however,asthisepisodeis,afterall,fictitious.

ChangShou-kuei’sBluffThere are very few instances of a successful application of this strategy. Oneexample is the case of Chang Shou-kuei, whose story bears a strikingresemblancetothetaleofhisfictionalcounterpart.During the rule of the T’ang-period emperor Hsuan Tsung, a non-Chinese

tribe called theT’u-fan (Tibetans) invaded the province ofKua and killed thecommandingofficerofthegarrisonthere.TheT’angcourtthereuponappointed

amancalledChangShou-kueiasthenewcommander.Aftertakinguphisnewappointment,thefirstthingShou-kueididwastotake

chargeofthelocalsandcommencewiththerepairofthefortresswalls.Beforehewasabletocompletethistask,however,theT’u-fanreturnedinforce.Withrepairs and preparations incomplete, a successful defense was impossible.Knowingthis,thelocalswerethrownintoapanic.Chang Shou-kuei stepped forward and said, “Not only are we vastly

outnumberedbutwearealsounpreparedmilitarily.Thisisagravesituation—wedesperatelyneedastrategytomaketheenemyretreat.”Sosaying,heorderedadrinkingpartyonthefortresswalls,accompaniedbya

musicaltroupe,andhadeveryonejoininriotousmerrymaking.TheT’u-fan army encircled the fort, butwhen they saw the festivities they

grewsuspicious.Theybecameconvincedtheirattackhadbeenanticipatedandbelievedsoldierswerewaitinginambushinsidethefortress.Thebluffworked:the T’un-fan army soon withdrew, and Shou-Kuei’s people were spared amassacre.

Bringdoubtupondoubt.Knowyourownpeoplewellsoyouwillnotlosetothisploy.1

Create thedarkdemonofdoubtwithin theenemyandmuddlehis judgment totheveryend.Effectivelyuseyouropponent’sspiesandyouwillobtainvictorywithouteffort.

“CreateaRift”isatacticinwhichyoucirculatefalseinformationanddisrupttheenemy’sjudgment.Usingtheenemy’sspiesagainsthimisconsideredoneofthemosteffectivemeansofcirculatingmisinformation.According to The Art of War, there are two basic methods for using the

enemy’s spies: either buy them off so that they will disseminate your ownpropaganda,orsetoutfalseinformationforthemto“discover.”Bothoftheseareclassicmethodsforthisstrategy.

SowingtheSeedsofDoubtintheEnemy’sTopRanksLiuPang’s troopswere surrounded byHsiangYu’s superior army and thrownintosomebitterfighting.Facedwithmountingodds,hisstaffofficer,ChenPei,cameforwardwiththisadvice:“TheincorruptibleknightswhofollowHsiangYureallynumbernomorethan

severalcommandersunderhisstrategistFanTseng.Weshouldpreparegiftsoften thousand pieces of gold, send out some spies, break up the relationshipsbetween our opponent’s princes and vassals, and plant in them the seeds ofmutual doubt.HsiangYu is emotional and easily deceived, so thiswill surelycause some internaldiscord. Ifyou then takeadvantageof this rift andattack,youwillsurelybeabletodestroyhim.”LiuPangagreed toChenPei’splan, immediatelyprepared thegiftsofgold,

andhandedthemovertohisofficer.“Usethese,”hesaid.“Youhavebeenaloyaladviser,andsoIentrustthistaskentirelytoyou.”Chen Pei sent the money out, then dispatched his spies to spread various

rumorsamongtheupperranksofHsiangYu’smilitary.Acommondeceptionheinstructedhisspiestospreadwasthefollowing:“HsiangYu’scommandershaveperformedgreatandmeritoriousdeeds.However,becausehecannotawardthemfiefs to compensate for these deeds, they are ready to abandon him for LiuPang.”HsiangYu heard these rumors and began to harbor grave doubts about his

commanders.HesentamessengertoLiuPanginthehopeofuncoveringmore.Chen Pei prepared an elaborate banquet for themessenger, had princelymenservehim,andevenpreparedaceremonial tripodkettle,normallyreservedfor

only themost distinguished of guests. Just as theywere about to eat and themessenger had formally introduced himself, Chen Pei glanced up at themessenger’sfacewithwhatappearedtobesurprise.“What?You’vebeensentbyHsiangYu?IthoughtyouwereLordFanTseng’s

messenger.”This said, he quickly took away the elaboratemeal, dismissed the servants,

andinsteadofferedhimsomerathermeagerfood.AssoonasHsiangYu’smessengerreturnedtocamp,hereportedthedetailsof

hisreception.ThisaffronttohismessengerwasenoughtoprovokeHsiangYutoentertain doubts about Fan Tseng. These demonswould not leaveHsiangYu,andhisdoubtsbecamesounrelentingthathistrustinhischiefstrategistrapidlyeroded,tothepointwherehewouldnolongertakeanyadviceFanTsenggaveatall.Angeredandinsulted,FanTsengabandonedHsiangYuandwithdrewtohishometown.In thisway,ChenPei used the strategyof “Create aRift” tounderminehis

opponent’supperechelon,andHsiangYu’sarmywasgraduallydrivenoutbyaninferiorforce.

WhattheSpiesOverheardDuring theSungperiod, thegeneralYoFeiwasorderedby thecourt topacifytheLingPiaorebels.Therebelchief,Ts’aoCh’eng,however,wouldnoteasilysubmit,soYoFeiorderedamilitaryoffensive.WhenYoFei’sarmyhadadvancedasfarastheprovinceofHo,theycaptured

some rebel spies.YoFeihad thesemenboundand then thrown to thegroundnear his tent. He then emerged from his tent and, apparently unaware of thenearby prisoners, asked his subordinates for a report on his army’s remainingprovisions.Theofficialinchargeresponded,“Wearealmostoutofprovisions,sir.What

shallwedo?”YoFei’sfacewasresigned.“There’snothingwecando,”hesaid.“We’llhave

towithdrawasfarasCh’aLing.”As Yo Fei spoke these words, he suddenly glanced at the spies. Feigning

surpriseandunease thathis situationmayhavebeencompromised,hequicklyretreatedtohistent.Hethengavesecretinstructionstoallowthementoescape.When the spies returned, they reported the conversation to Ts’ao Ch’eng.Undoubtedlyrelievedtohear thisnews,Ts’aoCh’engrelaxedanddroppedhisguard.Meanwhile, after allowing enough time for this false news to penetrate the

enemy camp, Yo Fei quickly had provisions prepared, secretly ordered themobilizationofhistroops,andadvancedalongthevalleys.JustbeforedawnhelaunchedasuddenattackonTs’aoCh’eng’sunsuspectingtroopsandannihilatedthemwithoutmercy.

APortraitCondemnsItsSubjectThis event occurredwhen the founder of theSungdynasty,ChaoK’uang-yin,attacked the Southern T’ang. On the side of the Southern T’ang there was aformidable general by the name of Lin Jen-chao. He was a strong andresourceful leader, and the opponents of the Southern T’ang were unable todefeathistroops.Finally,ChaoK’uang-yinthoughtupastrategy.HefirstbribedoneofLinJen-

chao’sattendantsandhadhimsecretlyprocureLin’sportrait.Hethenseatedtheattendant inaspecial roomandconductedanaudiencewithamessenger fromtheSouthernT’ang.Showingthemessengertheportrait,heasked,“Isupposeyouknowwhothis

is?”Themessenger replied, “Is it not a portrait of our state’s general, Lin Jen-

chao?”Chao K’uang-yin nodded solemnly then said, “Jen-chao has petitioned for

surrender.Asatokenofhisintentions,hehassentthisportrait.”Ashespoke,hepointedtoadetachedmansiononthegrounds.“Wehavecometoanagreementonhistermsofsurrender.ThatistheplacewhereJen-chaowilllive.”Themessengerquicklyreportedthisincidenttotheruler.Completelytakenin

bytheploy,therulerbecameenragedandorderedLinJen-chaoassassinatedbypoison. K’uang-yin’s strategy of “Create a Rift” had successfully duped hisenemyandaffordedhimthesatisfactionofseeingoneofhisdeadliestmilitaryadversariesdestroyedfromwithin.

Ordinarily,youdonotinflictinjuryonyourself,butifyouplantodosoforstrategicpurposes,theinjurymustbereal.

Ifyoucandissembleandmakethatdissemblancebelievable,you’llbeabletocarryoffyourplan.Thegoodfortuneofthefoolishyouth:hefollowsorders,andthusisdocile.1

People do not normally invite harm on themselves or their allies. If harm isinflicted, it usually occurs due to the actions of a second party or due tocircumstancesbeyondtheircontrol.Butifinflictinganinjuryonyourselforoneinyourpartycarriesstrategicbenefits,itmustbedoneinaconvincingmannerinordertosucceed.Tomakeabelieveroutofyouropponent,youmustdeliveratrueperformance.

The“StrategyofSelf-Injury”isoneinwhichyouinflictpainuponyourselfinamanner that thoroughly convinces your enemy. It is essential that you areruthlessenoughtodeceiveevenyourownallies.ThestorybelowistakenfromTheRomanceof theThreeKingdoms,andin it theWucommanderHuangKaisupposedlyusedthisstrategyattheBattleoftheRedCliffs.Todaythisstoryisthought tobemore invention thanfact,but thestrategy itselfhasbeenused inrealbattlessinceancienttimes,oftenwithgreatsuccess.

HuangKai’sFalseSurrenderThiseventisallegedtohaveoccurredduringtheperiodoftheThreeKingdoms,whenthenavyledbyGeneralChouYuattackedTs’aoTs’ao’slargearmyintheareaoftheRedCliffs.Seeing Ts’ao Ts’ao’s large warships moored on the opposite shore, the

commanderHuangKaiapproachedChouYuandsaid,“Theenemyhasalargearmywhich our forces cannot repel. As things stand, we cannot hold out forlong.Theenemywarshipsanchoredontheoppositebank,however,areattachedtooneanotherbow to stern.Thismakes themvulnerable, so ifwe launchedafireattackatthoseships,wecouldcripplethem.”Chou Yu agreed enthusiastically, so Huang Kai immediately procured a

numberofshipsandmadepreparationsforafireattack.Atthesametime,theysecretlydevisedtwofurtherstrategiestoguaranteethesuccessoftheattack.First, theywouldsendamessenger toTs’aoTs’aosuingforsurrender.They

knew,however,theiropponentwouldnotbefullyconvincedbythisgesture,sotheydevisedasecondtactic.Inthisone, theywouldusethe“StrategyofSelf-

Injury.”Takinghisseatatthestrategyconference,HuangKaipassionatelyadvocated

surrender. Chou Yu vehemently protested, incurring the wrath of Huang Kai,whosentencedhissubordinatetobewhippedonehundredtimes.WhenChouYuwasdraggedbacktotheencampment, thefleshonhisbackwasrippedandhewas covered in blood. His injuries were so severe that it was said he lostconsciousness.Thisnews inevitably found itsway toTs’aoTs’ao, throughhisspies.Therusehadworked—initially,Ts’aoTs’aohadbeensuspiciousofHuangKai’sofferofsurrender,butnowhewasconvinced.WhenHuangKai’sflotillafinallydrewnearTs’aoTs’ao’sfleet,hisguardwas

down, believing they had come to surrender. The flotilla moved within easystriking range, then unleashed a deadly attack, utterly decimatingTs’aoTs’a’swarships.ChuoYu had paid for this victorywith his ownblood, but itwas amasterfuluseofthe“StrategyofSelf-Injury.”2

LiHsiung’sWillingVictimThefollowingevent transpiredduringtheperiodof theNorthernandSouthernCourts.WhenLiHsiungoftheLaterShuwasattackedbytheChinarmyledbyLoShang,Li’svassalP’oT’aiexpressedadifferentopinionandwaswhippedterribly. P’oT’ai then rushed toLoShang and, after showing himhis terriblewounds,madethisproposal:“NowIbearagrudgeagainstLiHsiungandwouldliketosecretlydefectand

joinhandswithyou.WhenI return to thefort, Iwillsendyouasignal.Whenyouseeaburstofflamesfrominsidethefort,itwillbetimetoattack.”P’oT’ai’swoundsweregrievousindeed,soLoShanghadnoreasontodoubt

P’oT’ai’s fallingoutwithLiHsiung.Believinghehad founda secretally,heinstructed his officers to ready the entire army for a general attack, then hadthemfollowafterP’oT’ai.Meanwhile, however, anticipating that Lo Shangwould fall for the trap, Li

Hsiunghadplacedanambushbythesideoftheroadthatleduptohisfortress.Li Hsiung’s soldiers hid and waited for Lo Shang’s attack. When P’o T’aiarrivedbackat the fortwithLoShang’s troopsnot farbehind,he climbed thefortwalls on a rope ladder and lit a blazing fire. Lo Shang’s troops promptlybegan to ascend the fortress wall in the samemanner, but P’o T’ai suddenlydrew up the rope ladders and cut downmore than a hundredmen. Lo ShangbarelyhadtimetorealizehehadbeendupedbeforeLiHsiungorderedhisentirearmy tobreak the ambushandattack.TheycaughtLoShang’s army from thefrontandrearandutterlyannihilatedthem.

DukeWu’sIll-FatedVassal“TheStrategyofSelf-Injury” involvessacrificingor injuringsomething that isimportant toyouinordertogainvictoryorstrategicadvantage.It isaruthlessstrategy, but precisely because of its cruel nature, it is highly effective, as thefollowingstoryillustrates:ThisoccurredwhenDukeWuofChengwasseeking toconquer theTartars.

He first sent his owndaughter to the kingof theTartars, offeringher hand inmarriage.Thekingaccepted,andanostensiblealliancewasformed.Later,duringameetingwithhisvassals,hedeclaredhis intention toexpand

his influence and asked them their opinions on which nation would be mostexpedient toattack first.Hismajorvassal,KuanCh’i-ssu, replied,“I think theTartarswouldbeagoodtarget.”DukeWuwas incensed.“Myowndaughter ismarried to theirking!Weare

allies!”heyelled.Inastarkexampleoftheduke’sunswervingruthlessness,hepromptlyhadKuanCh’i-ssuexecuted.When this incident was reported to the king of the Tartars, he was put

completelyoffguard,and,convincedhewouldnotbeattacked,abandonedallofhispreparednessagainstCheng.DukeWu’scold-bloodedsacrificehadachieveditspurpose,andinthatunguardedmoment,hemobilizedanarmyandtooktheTartarsbystorm.

Itisfoolhardytoattackanenemywhohasmanygeneralsandagreatnumberoftroops.

Getthemtiedupamongstthemselves,andyouwillweakentheirstrength.Thecommanderisthere,andinthecenter;goodfortune.HereceivesHeaven’sfavor.1

When the enemy has greatmilitary power, it is unwise to challenge him in afrontalattack.Inordertosecurevictory,first it isessentialtodeviseastrategythat will cause the enemy soldiers to hinder one another and thus weakenthemselves. If your own commanders use such a strategy, you can take thevictory.

“TheStrategyofLinks”isatacticinwhichyoucausetheenemytotripoverhisown feet and thusweaken him. It is an early strategy designed to irritate theenemypsychologically,thuspavingthewayforafollowingstrategyofattack.Inthisway,thisstrategycombinesseveraltacticsinsequence,firstcausinginternaldisruption,whichsetstheconditionsforexternalannihilation.Itisnotastrategythataimsatasingle,clearvictory;itsdistinctivefeaturesarethatitfirstconfinestheopponent’smovementsandthenmovesinforthekill.

P’angT’ung’s“StrategyofLinks”AccordingtoTheRomanceoftheThreeKingdoms,duringtheBattleoftheRedCliffs, amilitary strategist namedP’angT’ung,whowas fighting forLiuPei,approached the enemy, Ts’ao Ts’ao, under false pretenses to offer advice. AsizablepartofTs’aoTs’ao’snavywasinexperiencedandunaccustomedtolifeatsea.Manyofhismenweresufferingseasickness,andevenTs’aoTs’aohimselfwas experiencing headaches. P’ang T’ung sought to exploit this to Liu Pei’sgain.Actingasanimpartialadviser,hesuggestedtoTs’aoTs’aothathisflotillaofwarships be chained together, and that planks be fixed above the chains toalloweasyaccess fromship toship.This,heargued,mightgiveat least somesemblanceoflifeonland,andthusalleviatethecrew’ssicknesssomewhat.Ts’aoTs’aowassofrustratedwiththesituationthatheimmediatelyembraced

the ideaandhadhismenworkonattaching the ships frombow to stern.Thiswouldprove tobefatal,however,as theshipsbecamesittingducksforHuangKai’sdeadlyfireattack,asrecountedinStrategy34.Whilebindingthewarshipstogether may have provided temporary relief for the crew, the move hadeffectively shackled the fleet,practicallyofferingvictoryonaplate forHuang

Kai’ssubsequentsurpriseattack.Thus P’ang T’ung’s true intention was revealed: he had employed “The

Strategy ofLinks” to bind the enemy’smovement, create confusion, and helpsecureaneasyvictoryforHuangKai’sfleet.

DestroyingaSuperiorEnemyThe Sung court fell victim to numerous invasions by the powerful GoldenHordes,2 and in the various battles and skirmishes that ensued, the court wasoftenexposedas the inferiorforce.Nevertheless,anumberofnotablegeneralswithin the court employed some masterful strategies and eventually brokethroughthesuperiormightoftheirenemy.OnesuchgeneralwasPiTsai-yu.Tsai-yu’s basic battle strategy was simple in conception. If his opponent

advanced first, he would retreat; if he observed them retreating, he wouldadvance.Avoiding direct battle, hewould graduallywear his opponent down,thenemployguerrillawarfaretacticstostrikeatthem.Onesuchbattleoccurredwhen fighting theGoldenHorde.After a period of characteristic taunting, theenemyforceswerelosingpatience.Awarethatcrackswerebeginningtoshow,Tsai-yudevisedaplan to immobilizehis enemy’s forces, thusaffordinghimarelativelyeasycounterattack.Undercoverofnighthe tooka largequantityofbeans thathadbeenboiled

witharomaticingredientsandscatteredthemonthegroundsomedistancefromhis forces.With that, he embarkedonhis trademark carrot-and-stick tactics toenticetheenemytoattack,luringthemtowardtheareawherehehadscatteredthebeans.TheGoldenHordepromptlychasedafterhim.Bythetimethebattlecommencedatdawn,theirhorseswerefamished.Whentheysmelledthearomaof thebeans, theyproceeded todevour themandwouldnotbudgeevenwhenwhipped. With the enemy forces effectively paralyzed, Tsai-yu executed aviolentoffensiveandobliteratedtheGoldenHorde’sforceswithoutmercy.His“StrategyofLinks”hadcreatedinternalturmoil,incapacitatingtheenemy

troopsandthuspavingthewayforalethalcounterattack.

TheThreeArrowsIt is said that “To take initiative is to control others,” and this adage wascommonatthetimewhenHsiangLiangandHsiangYuraisedarmiesagainsttheCh’in.Indeed,thebenefitsoftakingtheleadandestablishingone’sdominancecannotbeunderestimated.Takinganearlyinitiativeputsoneinthebestpossible

positiontoachieveone’sgoals.Gettingaheadstart isnotenoughinitself,however.Whatfollowsis justas

important.Considerwhenone fires an arrowat an enemy.While the first candealaninitiallydevastatingblow,ifitisnotfollowedupswiftlybythesecondandthirdarrows,theenemymayonlystagger,andthefinal,lethalblowmaynotbe delivered. This is also true in boxing. The “one-two punch” maneuverrequires follow-up punches after the initial blows. Stopping with the initialcombinationisinsufficient;itisinthesubsequentfollow-upblowsthattherealdamageisinflicted.When you take the initiative in battle and attack first, it is desirable to be

preparedwithasecondandthirdstrategyupyoursleeve.Furthermore,inorderfor your strategies to be successful, it is essential that you remain adaptable.Flexibility and adaptability are the cornerstones of effective battle strategy;without these, it is impossible to react to unforeseen changes and youwill beunabletounleashyoursecondandthirdarrows.

Theentirearmyavoidstheenemy.Thereisnoblameinretreatingandtakingshelter.Doingso,onewillnotyethavelosthisordinarycondition.1

This strategy is about withdrawing the entire army and avoiding the enemy’sattack.Indesperatecircumstances,onemustalwaysbereadytoretreat—thisisanincontrovertiblelawofbattle.

Thistacticadvocatestheideathattheverybeststrategyistoavoidafight.IntheChinesebooksonthemartialarts,therewasfromthebeginningnosuchmilitaryconceptofan“honorabledeath”asintheimageofashatteredjewel.2Rather,asin “Retreat Is Considered theBest,” therewas a fundamental recognition thatyoumustnotfightifyouhavenochanceofwinning.Forexample,intheSunTzu itsays,“Ifyouhaveaninferiormilitarypower,

retreat;ifyouhavenochanceofwinning,donotfight.”AndintheWuTzuitsays,“Ifyouseethebenefit,attack;ifyouseenobenefit,

itisessentialtoretreat.”Thismaycomeacrossascommonsense,butthereareinnumerablehistorical

examplesinbothancientandmoderntimesofdefeatsfollowingabsurdbattles.Historyisrepletewithunremarkablecommanderswhoknewhowtoadvance

butconsistently failed to retreatevenagainst immeasurableodds.TheChinesecall such people “rank and file men” and have no respect for them.What isdesiredofcommandersandmenresponsiblefororganizationsisnotsimplythecouragetoadvance,butthecouragetorecognizewhenthetaskisoverwhelmingandtoretreatgraciously.Whatmerit, then, is there in retreating?First, thoughyoumaynotwin,you

certainlydonotlose.Putanotherway,youavoidunnecessarydamage.Second,youcanpreserveyourtroops’strengthandprepareforthenextbattle.

LiuPang’sFlightIt is said thatanymanwhohasaccomplishedgreat thingsdoesnothesitate totakeflight if thesituationdemandsit,andthathisflight isachievedgracefullyand with finesse. Liu Pang of the Han, who destroyed Hsiang Yu and tookcontroloftheempire,wasoneofthosemen.IntheearlyyearswhenLiuPangchallengedHsiangYu for hegemony, his forceswere constantly pummeled byHsiangYu’ssuperiorarmy,andhe sufferedmanyhumiliatingdefeats.ButLiuPangwasashrewdcommander,andheneveroncecommittedrashactsorforcedhis army into untenable situations.When he sawhe had no chance, hewouldretreatandavoidthebruntofHsiangYu’sonslaughts.Forthisreason,hisarmywasalwaysabletoreturntothebattleline.

LiuPang’s strategywas far fromoneofcowardice.Despitemilitarydefeatsandconstantretreats,hiscounterstrategywastwofold:inretreathewasabletoconcentrateonmaintaininghissuppliesandcreateanetofencirclementaroundHsiangYu’s troops.DespiteLiuPang’swithdrawals,his armywasnever trulydemoralized,norwasiteverruinedbeyondrepair.Bykeepinghisarmyafloat,whenthetidesofbattleeventuallyturnedtohisfavor,hewasabletocapitalizeonthisandgraspanunexpectedvictoryoverHsiangYu.Thiswouldneverhavebeenpossiblehadhenotmasterfullyexecutedhismanytimelyretreats.

Ts’aoTs’ao’sChicken’sRibIn The Romance of the Three Kingdoms Ts’ao Ts’ao is often depicted as amerciless,malevolent ruler, but in reality hewas one of themost remarkablemen of his age. He was an extremely effective operator on the battlefield,securingthevastmajorityofvictoriesinthemanybattleswithhisrivalLiuPei.His martial planning had a number of distinctive features. First, he intenselystudied such books on the martial arts as The Art of War, and mastered thefundamentalstrategiesandtacticstaughtthere.Moreover,eveniffacedwithanunforeseenloss,hewasskilledatadaptingquicklytothecircumstances.Next,ifhesufferedatemporarydefeat,hewouldlearnfromhislessonandavoidmakingthe same mistake twice. Furthermore, when he judged he could not securevictoryifheattacked,hewouldretreatquicklyandwithouthesitation.An example of one of Ts’ao Ts’ao’s timely retreats occurred when hewas

engagedinfiercefightingwithhisnemesis,LiuPei,atHanChung.LiuPeiwasencamped in a stronghold there and hadmounted a formidable defense.Ts’aoTs’ao’sforceswerehavingadesperatetimetryingtobreachtheirfoe’slines,buttheywouldn’tbreak.Ts’aoTs’aopresently judgedthesituation tobehopeless.Realizingfurtherfightingwouldonlydebilitatehisarmy’sstrength,hegatheredhis staff one evening and yelled at them “This is a chicken’s rib! Youunderstand?Achicken’srib!”3His staff at first had no ideawhat hemeant, and they thought hemight be

losing hismind.However, one of them, by the name ofYangHsiu, promptlybeganpreparationsforawithdrawal.Whentheothersaskedwhyhewasdoingthis, he replied, “Chicken’s ribs are things you hesitate to throw away, eventhough there’s barely any meat on them to eat. This battle at Han Chung isexactlythat,achicken’srib.Itisoflittlegaintous,yetwecannotseemtoendthisfolly.ItoccurredtomethatTs’aoTs’aowantsustoretreat.”Soonafter,Ts’aoTs’aoabandonedHanChungandreturnedtohiscapital.Far

fromregrettingthisdefeat,hewasrelievedhecouldreturnwithhisarmyintact.

WeighingupthevalueoftheterritoryofHanChungandthelosshewouldincurintryingtogainit,hechosewithdrawal,anaffirmationofthestrategy“RetreatIsConsideredtheBest.”

KnowWhenRetreatIstheBetterOptionFormerlyweJapanesewerebombardedwiththenotionthattoshowyourbackto theenemy iscowardice,or to retreat is to lackself-respect.Nowadayssuchviewsarenotsoprevalent,butneverthelesstheystillseemtobedeeplyrootedinthe Japanese psyche and are hard for us to ignore. In fact, the Japanese haveneverbeenmuchgoodatrunningawayatall.On this point, conversely, the Chinese are experts. When they see that

conditions are unfavorable, the first thing they do is consider flight. Theirphilosophy is that if one escapes temporarily, he can preserve his fightingstrengthandreturnwhenconditionsaremorepropitious.ItispossibletoseethisasaquintessentiallyChineseconcept.Where did this difference arise?One could doworse than consider that the

answerliesintheconceptofspace.Chinaisavastnation.Sovast,itisrelativelyeasy for tens of thousands—even hundreds of thousands—of soldiers to hidethemselvesin,makingtheprospectofasafeescapeallthemorelikely.Fromthispointofview,runningawayisaperfectstrategy;infact,itwouldbefoolishnottodosoiffacedwithoverwhelmingodds.A small, narrow country like Japan, on the other hand, is not conducive to

effectivemilitaryretreats,asthereislimitedspaceinwhichtorun.Evenasinglecriminalontherun,likeKunisadaChuji,4isunabletoevadethepoliceforlong.With the prospects for escape severely limited, a military philosophy thatadvocatesfightoverflightisalmostinevitable,hencethehighesteeminwhichconceptslike“Behitandshatteredlikeajewel”areheld.Thisisnottosaythatsuchconceptsarewithoutmerit.Standingyourground

canleadtoheroicandunexpectedvictories.Buttherearetimes,ofcourse,whenit can lead to a crushingdefeat and the entire army shatters like a jewel.Andwhenthejewelisshattered,itcannotbemended.Toremainaliveinthischaoticworld,onemustattackwhenitisbesttoattack

andmake a total withdrawal when it is best to retreat. The wisdom to knowwhichisbesttoapplyisthekeytoasuccessful,intelligentlife.

NOTES

IfyouencounterdifficultydisplayingChinesecharactersinthenotes,pleasesetyoure-readerdevicetopublisherdefaults(ifavailable)ortoanalternatefont.

TRANSLATOR’SPREFACE

1. Yamamoto Kansuke (?–1561) was the legendary strategist and castlearchitectforthewarlordTakedaShingen.ThehistoricalrecordofKansukeisalmost exclusively limited to Obata Kagenori’s Koyogunkan, and he isthoughtbysomehistorianstobeafictionalcharacter.Heissaidtohavediedat one of the battles at Kawanakajima. Kansuke later became a favoritesubjectofprofessionalstorytellersandpopularartandliterature.

2. Takeda Shingen (1521–73) was the great warlord of Kai province (nowYamanashi Prefecture) who, through strategic prowess and a disciplinedarmy,expandedhisholdingsandbeganacampaigntocontrolthecapitalatKyoto. He was considered by many the most likely warlord to unify thecountryandestablishanewshogunate,buthedied,eitherduetoadiseaseorbyanassassin’sbullet firedduring thesiegeofacastleheldbyTokugawaIeyasu. It is said that on hearing of his death, Uesugi Kenshin, Shingen’sperennialopponentonthebattlefield,lamentedthathehadlosttheverybestofhisenemies.

3. The I Ching is considered to be the world’s oldest book, having beencompiled some three thousandyears ago. It has been used variously as anoracle and as a practical guide for living in theworld, studied intently byTaoistsandConfuciansalike.EachchapteroftheIChingisbasedononeofsixty-fourhexagramsandcontainsaJudgment,anImage,andcommentsoneachofthesixlinesofthechapter’shexagram.ConfuciusandhisdisciplesappendedadditionalcommentariesaroundthefifthorsixthcenturiesBCE.

Strategy1:ObscureHeaven,CrosstheSea

1.“TheSankuochihyeni[RomanceoftheThreeKingdoms],attributedtoone

Lo Kuan-chung, is an historical novel based upon the wars of the ThreeKingdoms [220–265],which fought for supremacy at the beginning of thethirdcenturyCE. Itconsistsmainlyofstirringdeedsofwarfare,ofcunningplans by skillful generals, and of doughty deeds by bloodstainedwarriors.Armiesandfleetsarefromtimetotimeannihilatedbyonesideoranother—all this inaneasyandfascinatingstyle,whichmakesthebookajoytooldandyoungalike. Ifavotewere takenamong thepeopleofChinaas to thegreatestamongtheircountlessnovels, theRomanceof theThreeKingdomswould indubitably come out first.” From Herbert A. Giles, History ofChineseLiterature

2. TheYellowCapRebels,or theYellowTurbans,weresocalledbecauseoftheyellowheadclothswornbytheirmembers.Theirrebellionbrokeoutinthe province of Shantung in easternChina in 184CE and spread as far asHonan.Knownasthe“WayofGreatPeace”(T’aiP’ingTao),itwasledbyfaith-healingTaoistpriestsandcontinuedtocausegreatdevastationforthreedecades.

3.TheChinesecharacter城(ch’eng)isvariouslytranslatedasfortress,city,orcastle.Duringtheperiodscoveredbythisbook,itcouldhavemeanteitherawalledcityorafortress;itwouldnotlikelyhavebeenacastleasweenvisiontheminEuropeorJapan.Forconsistency’ssake,Ihavetranslatedthewordas“fortress”throughout.

4. TheChinesecharacter王(wang) isgenerally translatedas“king,”but thismaybemisleading toWestern readers.During its earlyhistory,Chinawasbroken up into a number of independent states, the rulers of which weretitledwang.But ifChina isconsideredasawhole, likeFranceorEngland,the term “king”may be confusing as therewas no king ofChina; unifiedChinawas ruledbyanemperor.For this reason, Ihave translatedwangas“ruler,”exceptinthecaseoftitles,suchas“KingChuang”or“KingNing.”

Strategy3:BorrowaSwordtoMakeYourKill

1.Ts’aoTs’aoofWei,LiuPeiofShu,andSunCh’uanofWu—thesewerethethreemainrivalsforhegemonyduring theThreeKingdoms.Afteryearsofhardships,LiuPeiprevailedandbecamethefounderoftheShuHandynasty.

2.OneofLiuPei’s“ThreePaladins”(theothersbeingChangFeiandChuKo-liang).KuanYuwaslaterapotheosizedasthegodofwar,andhis imageiscommonlyusedforstatues,netsuke,etc.,tothisday.

3.HanFeiTzuisabookbyanauthor(d.233BCE)ofthesamename,possiblythe prince of a royal family. His writings are described as “Legalist” or“Realist,”butheseems tohavebeensomewhat influencedbyTaoism.ThebookhasbeencomparedtoMachiavelli’sThePrince.

Strategy4:AwaitHisTiredStepsatYourLeisure

1.Fromtheforty-firsthexagram,Sun,oftheIChing,orBookofChanges. IntheCommentary,itstates:

Decrease.Decreasethatwhichisbelow,increasethatwhichisabove;thisis the way upward. Decrease with sincerity leads to fundamental goodfortunewithoutblame,butoneshouldbesincere.Thereisbenefitinhavingsomeplacetogo.Howcanthisbeputintouse?Twosmallbamboobowlsmaybeusedforconsecration,whichmeanstheymaybeusedappropriatetothemoment.Thereisatimetodecreasethehardandincreasethesoft.Increaseanddecrease, fullnessandemptiness—allof thesegoalongwiththemoment.

Strategy5:TakeAdvantageoftheFiretoPlundertheGoods

1.Fromtheforty-thirdhexagram,Kuai,fromtheIChing.IntheCommentary,itstates:

Resolutionistohavemadeyourdecision.Thehard[yang]willscatterthesoft[yin].Be vigorous and joyful, decisive and undisturbed.To proclaimthispubliclyisthesoft[yinline]ridingonthefivehard[yanglines].Thereismisfortuneinshoutingoutyoursinceritybecausewhendangercomes,itwill be clear andbright.Reveal this fromyourown territory.There isnobenefitinengaginginbattle;toomuchrespectforarmswillbringyoutoastandstill.Thereisbenefitinhavingsomeplacetogo;ifthehardcontinueslongenough,thematterwillcometoanend.

2.Ch’inShihHuangTi,referredtohereafterastheFirstEmperor,wasthemanwhounifiedChinaby conquering the statesofHan,Chao,Wei,Ch’u, andCh’i. He became emperor in 221 BCE, and applied the laws and domesticsystemsofhisstateofCh’inthroughoutChina.Consideringthewritingsofthephilosophers, includingConfuciusandLaoTzu,tobesubversive,heoroneofhisministersenactedagreat“BookBurning”in213;hebanishedorexecuted philosophers who would not recant. The First Emperor was anextremely severe ruler, and although he thought his empirewould last ten

thousand generations, the Ch’in dynasty survived only until 206 BCE, justfouryearsafterhisdeathin210.

3.AfterthefalloftheCh’indynasty,LiuPangwasoneofthecontendersfortheimperialthrone,despitehisless-than-aristocraticorigins.Althoughnotastrongforceatfirst,hewaspatientandcircumspect,andeventuallybecameemperor,foundingtheHandynasty.HeisgenerallyknownasKaoTsu(HighProgenitor); theChinese refer to themselvesas the“peopleofHan” to thisday.

4.HsiangYuwasthemaincontenderfortheimperialthroneafterthedeathoftheFirstEmperor.Hewassaidtobeoversixfeettall,charismatic,andquicktoeliminatehisalliesifhedeemeditexpedient.Afteralongseriesofbattles,hisonce-superior forcesspent,hewasdefeatedandkilledby thearmiesofLiuPang, and he famously cried out in death that itwasHeaven that haddefeatedhim.

5. TheBookofPoetry (Shih-ching) is one of theConfucian “FiveClassics.”TheBookofPoetry contains305poemsofvarying themes, collected fromthe tenth to the seventh centuries BCE. Confucius considered this book tocontainthebestofhumanemotionsandtheirexpressions,andhestatedthatitcouldbesummedupwiththephrase,“Notwistedthoughts.”

Strategy6:BeHeardintheEast,StrikefromtheWest

1. Indicates the forty-fifth hexagram,Ts’ui, of the I Ching. In the Image, itstates, “Earth below, the Lake above. The Gentleman will polish hisweapons,andtakecarenottobeconfused.”

Strategy8:CrossovertoCh’enTs’angintheDark

1.Fromtheforty-secondhexagram,Yi,oftheIChing.TheCommentarystates:

Increase lessens what is above and increases what is below. The peoplerejoicewithout limit. From above, it goes down below; itsway becomestremendouslybright. It isbeneficial tohavesomeplace togo.Hitting thetargetandcorrect, it is joyous.“There isbenefit incrossingagreat river”means that the boatwillmove along its course. Increasemoves and thenfollows through; it proceeds forward day-by-day without limit. HeavenadministersandEarthgivesbirth; thus themethodof increase[of theTenThousandThings].Generally, theWayofIncreaseproceedsinaccordance

withthemoment.

Strategy9:OntheDistantShore,WatchforFire

1.Fromthesixteenthhexagram,Yu,oftheIChing.TheCommentarystates:

As forEnthusiasm, the hard [yang] responds [to the numerous yin], andcarries out its will.With order, motion is enthusiastic. Enthusiasm withordermoves,and thusHeavenandEarthare like this.All themore, then,willsubordinatesbeestablishedandarmiesmoved.Withorder,HeavenandEarthmove;thusthemoonandthestarsmakenomistakes,nordothefourseasons go off course.With order, the holymanmoves; therefore crimesandpunishmentsareclear,andthepeoplesubmittothis.ThemomentandsignificanceofEnthusiasmaregreatindeed.

2.Afisherman’sbenefit.Thefullphraseis,“Birdandshellfishlockedinafightistothebenefitofafisherman.”

3.Nuretedeawa(濡れ手で泡).Thisisacommonsayingmeaningtobeabletodosomethingwellwithoutanygreateffort.

Strategy10:ConcealaSwordbehindaSmile

1.ThesevariousLu’sareallwrittenwithdifferentChinesecharacters.Thereisnorelationshipbetweeneitherofthemenorbetweenthemenandthecity.

Strategy13:BeattheGrass,SurprisetheSnake

1.Return,thetwenty-fourthhexagram,Fu,oftheIChing.Althoughthereisnodirectquotehere,theinclusionofthehexagram’stitlewouldseemtorequiresome note. Relevant sections might be as follows. In the Commentary itstates:

With Return, “understanding” means that the hard (yang) comes back.Moving,bymeansoforder,thingsareputintoaction.Withthis,goingoutand coming back in are performed faultlessly, and friends arrive withoutblame.

Inthefirstofthesixlines,whichrepresentthenuancesofthehexagrams,wefindthefollowing:“Returnwithoutgoingtoofar.Thiswillnotbringregret.Fundamental good fortune.” And in the sixth line, this cautionary noteappears: “To return in confusion is ill-omened.Therewill be calamity and

poorvision.If thearmyismovedin thisway, therewillbegreatfailure intheend.”

Strategy14:BorrowtheCorpse,ReviveItsSoul

1. Fromthefourthhexagram,Meng,fromtheIChing. In theCommentary itstates:“Youdonotseekafterafoolishyouth;afoolishyouthwillseekafteryou,andrespondtoyourwill.”Further, in the first line, we find this comment: “Develop the foolish

youth. It is beneficial to make an example of someone. If you loosen hisshacklesandgoforward,therewillberegret;”inthesecondline,“Embracethe foolish youth. Good fortune.” And a cautionary note in the third lineconcerningthecharacterofthefoolishyouthyoumaybeusing:“Donottakethiswoman towife. If she seesayoungmanwithmoney, shewillnot actproperly,andtherewillbenobenefit.”

Strategy15:PacifytheTiger,ThenLeadItfromtheMountain

1. From the thirty-ninthhexagram,Chien,of the IChing. It is takendirectlyfrom the third line: “If you go, therewill be obstruction; if he comes, theopposite.”IntheCommentary,itstatesthat“obstructionmeansdifficulty.Itis steep going ahead. Recognize the danger, and be able to stop. This iswisdom.”

2.BecauseofHanHsin’sstandagainsttheChao,“Toencampwithone’sbacktoariver”isnowtranslatedindictionariesas“tomakealaststand.”

Strategy16:IfYouCovetIt,LeaveItAlone

1.Fromthefifthhexagram,Hsu,oftheIChing.IntheCommentary,itstates:

Waitingmeanstobepatient.Thereissteepgoinginfrontofyou.Befirm(yang) and strong, do not fall down the slope; thus you will not be indistress.Ifinwaitingthereissincerity,light,andtruth,therewillbegoodfortune; youwill be in thepositiongiven toyoubyHeaven, thus correctandhittingthetarget.“Thereisbenefitincrossingagreatriver”meansthatthereismeritinmovingon.

2.T’saikentan(VegetableRootDiscourses).LateMing-periodbookwrittenbythehermit-scholarHungYing-ming. Its357verses inprose-poetryexpressthemeanings of Taoism, Confucianism, Zen, and Buddhism in general. It

advocateslivingwithtrulyhumanisticvaluesratherthanadheringtoformalideals that overlook the foibles and weakness of mankind. The authorbelievesinlivingwithourfellowhumanbeings’mistakes.

Strategy17:CastaBrick,PullInJade

1.Fromthefourthhexagram.Inthesixthline,itstatesthefollowing:“Strikethe foolish youth. But there is no benefit in making him an enemy. It isbeneficial to prevent future harm.”TheCommentary on that line says that“the benefit of preventing future harm is that upper and lower will be in(proper)order.”

2. Hsiung-nu. A Turkish-speaking people living inMongolia. The northerngroupofthistribewentwestward,wheretheybecameknownastheHuns.

3.HuaiNanTzu.Asecond-centuryBCEbookoftwenty-onechapterscontainingtheTaoistandsyncreticwritingsofLiuAn,princeofHuaiNan(d.122BCE).LiuAnwas thegrandsonofKaoTsu, the founderof theHandynasty,andsurroundedhimselfwithscholarsathiscourt.Privilegeandphilosophywereperhapsnotenough forhim,asheplotteda rebellionand,upon its failure,wasforcedtocommitsuicide.

4. HsunTzu.Abookbythethird-centuryBCEphilosopherof thesamename.Partly Taoist, partly authoritarian, it is said to have greatly influenced thedictatorialpoliciesoftheFirstEmperor.HsunTzubelievedstronglyinlogic,order,propereconomy,andprogress.Theabove-mentionedHanFeiTzuwasoneofhispupils.

Strategy18:ToCatchaThief,CatchHisKing

1.Fromthesecondhexagram,Kun,oftheIChing.

2.Thisisbecauseadragonisathomefightingineitherthewaterortheair.

Strategy19:PulltheFirewoodfromundertheKettle

1.Notingthetwotrigrams,HeavenandLake,thatmakeupthetenthhexagram,Lu, of the I Ching. In the Judgment, it makes the following statement:“Steppingonthetiger’stail.Itdoesnotbite.Penetratingunderstanding.”Inthefirstline,wefindthis:“Walkingonwithoutartifice.Headvanceswithoutblame.”TheCommentaryonthethirdlineiscautionary:“Theone-eyedmanisabletosee,butwithinsufficientclarity.Thelamemanisabletowalkon,

butcannotkeepupwithothers.(Steppingonthetiger’stailand)beingbittenisanillomen,astheyareinaninappropriatesituation.Thewarrior(inferior)actsforthegreatprince(superior),andhiswillisfirm.”Thefourthlineaddsthis note: “Stepping on the tiger’s tail with great apprehension ends withgoodfortune.”

2.ThiswasasortofConfucianharangueonfilialpiety,i.e.,thecommander’srelationship to the troops being one of parent to child, which the soldierswouldhavepresumablyunderstoodand taken toheart;orpossiblybecausetheywereneedlesslyendangeringthemselves.

Strategy20:DisturbtheWater,GrabtheFish

1.Fromtheseventeenthhexagram,Sui,oftheIChing.IntheImage,itstates:“ThunderinthemiddleoftheLakemeansFollowing.TheGentlemanfacestheeveningandrestswithease.”

In theCommentary, it states: “Following the hard (yang) comes and goesunder the soft (yin). Following moves with pleasure. There is greatpenetrationandtruth,andnoblame.AllunderHeavenfollowthemoment.ThetimingofFollowingissignificant,indeed.”

Strategy21:TheGoldenCicadaShedsItsShell

1. From theeighteenthhexagram,Ku, of the IChing. In theCommentary, itstates:

FromStagnationComestheNewisthehard(yang)aboveandthesoft(yin)below. It follows that stoppingmeans,“Fromstagnationcomes thenew.”FromStagnationComestheNewpenetrateseverywhereandadministersallunderHeaven.“Itisbeneficialtocrossagreatriver”meansthatonecangoforthwiththingstodo.Beforemobilization,threedays;aftermobilization,threedays.Ifthereisanend,therewillhavebeenabeginning:ThisisthewayHeavenproceeds.

Strategy22:BartheDoor,GrabtheThief

1. From the twenty-third hexagram,Po, of the I Ching. In the Judgment, itstates:“SplittingApart;thereisnoadvantageingivingchase.”

IntheCommentary,itstates:

SplittingApartistearingaway.Thesoft(yin)changesthehard(yang).Thatthere is no benefit in having some place to go means that men of littlecharacter may become influential. Follow order and come to a stop.Contemplate the image (a Mountain [crumbling?] over the Earth). TheGentleman respects the cycle of decrease and increase, of waxing andwaning,forthisisthewayHeavenproceeds.

2.WuTzu.AChineseclassiconwarfareinsixstrategies,writtenbyWuCh’i(d.381BCE).QuotedextensivelyintheLionelGilestranslationofSunTzu’sTheArtofWar.

Strategy23:BefriendThoseataDistance,AttackThoseNearby

1.Fromthethirty-eighthhexagram,K’uei,oftheIChing.IntheCommentary,it states: “Heaven andEarthconflict, but their achievements are the same;men andwomen conflict, but their emotions aremutually understood.TheTenThousandThingsconflict,buttheiraffairsareallakin.”IntheImage,ittellsusthat“Fireabove,theLakebelow.Bythis,theGentlemanknowstheirsimilaritiesanddifferences.”

Strategy24:BorrowaRoad,AttackKuo

1.Fromtheforty-seventhhexagram,K’un,oftheIChing.IntheJudgment,itstates: “Dilemma. Penetrating understanding. Correctness; the mature manhas good fortune without blame.When there are words, they will not bebelieved.”IntheCommentary,itstates:

Dilemma; the hard (yang) is covered over.With a steep road, be joyful.OnlytheGentlemandoesnotlosehispenetratingunderstandingwheninapainful situation. “Correctness; thematureman has good fortune”meansthatheisfirmandhittingthetarget.“Whentherearewords,theywillnotbe believed” means that too much respect for what is spoken bringsdistress.

Strategy25:StealtheBeams,ReplacethePillars

1. From the sixty-fourthhexagram,WeiChi, of the IChing. In the Image, itstates: “Fire over Water means Not Yet Finished. The Gentleman iscircumspect,differentiates things,andkeeps themin their [proper]places.”Inthesecondline,itstates:“Brakethewheels.Correctnesswillbringgoodfortune.”

Strategy26:PointtotheMulberry,BeratethePagodaTree

1. From the seventh hexagram,Shih, of the I Ching. In theCommentary, itstates:

AThrong is amass of people.Correctness is in being straightforward. Ifyouarestraightforwardinleadingthepeoplewell,youcanbecomearuler.Firmandunwavering, youobtain a response;actwith severity, and therewillbeorder.Thus,thoughtheworldbeinpain,thepeoplewillfollowyou.Goodfortune.Howcouldtherebeblame?

2.SevenBooksontheMartialArts(orMartialStrategies).Thesearedifficulttoidentify,butinthebibliographytoGiles’stranslationofTheArtofWar,helistseightof the“oldChinese treatisesofwar,” thefirstsixofwhich,plusThe Art of War, “were prescribed for military training” during the Sungdynasty.Theyarethefollowing,butthedatesnotedarequestionable:

1.WuTzu,byWuCh’i(d.381BCE).2.Ssu-maFa,possiblybySzeMaJang-chuofthesixthcenturyBCE.3.LiuT’ao,byLuWangofthetwelfthcenturyBCE.4.WeiLiaoTzu,byWeiLiaoofthefourthcenturyBCE.5.SanLueh,byHuang-shihKungofthesecondcenturyBCE.6.LiWeiKungWenTui,authoranddateunknown.

Strategy27:FeignStupidity,DoNotBeInjudicious

1. From the third hexagram,Chun, of the I Ching. In the Image, it states:“CloudsandthunderindicateBirth.Thus,theGentlemanbringsordertotheland,andsetsthingsaright.”AndintheCommentary,itstates:“Birth;inthebeginning, hard (yang) and soft (yin) mix together, and parturition isdifficult:movement in themidst of danger.Great penetratingwisdom andcorrectness; themovement of thunder and rain brings fulfillment.” “Birth”canalsobeunderstoodas“difficultyinthebeginning.”

Strategy28:SendThemtotheRoof,RemovetheLadder

1.Fromthetwenty-firsthexagram,ShihHo,oftheIChing.Inthethirdline,itstates: “Chewing dried meat, he encounters poison; slight regret, but noblame.”IntheCommentaryonthethirdline,wefind:“Encounteringpoison;hispositioncrumbles.”

2. Thecapitalof thestateofManipur innortheast India. Itwashere that the

Japanesearmy’splanfortheinvasionofIndiawasthwartedbyadisastrousdefeat in July 1944. The defeat was brought about partly by LieutenantGeneral Mutaguchi’s ill-advised strategy for the logistics of transportingrations.

3.Takeactiononlyafterlookingintothefinedetails.Exerciseextremecaution.Sometimesusedsarcasticallyascriticismofcowardice.

Strategy29:MaketheFlowersBloomontheTree

1. From the fifty-third hexagram,Chien, of the IChing. In the ninth line, itstates: “The wild goose gradually progresses over the broad highway. Itsfeatherscanbeusedforceremonies.Well-omened.”IntheCommentaryonthe ninth line, it states: “Its feathers may be used for ceremonies. Well-omened,butthiscannotbeinachaoticway.”

Strategy30:QuitasGuest,TakeOverasHost

1.Fromthefifty-thirdhexagramoftheIChing.IntheCommentary,itstates:

Advance is in gradual progress. A woman given in marriage is well-omened. She advances in position, and there is merit in going forward.Advancingwithcorrectness,youcanmakeyourownterritorycorrect.Yourpositionisfirm(yang),andyougainthecenter.Pauseandbedocile;movewithoutgoingtoextremes.

Strategy31:StrategyoftheBeautifulWoman

1.Fromthefifty-thirdhexagramoftheIChing.IntheCommentaryonthethirdline, it states: “The husband goes out to the front, but does not return; heseparatesfromhiscompatriots.Hiswifeconceives,butdoesnotdeliver:shehaslostherway.Itisbeneficialtosuppresstheenemy;thisispliabilityandconcomitantprotection.”

2. These “Chous” are homonyms; the Chinese characters andmeanings aredifferent.

Strategy33:CreateaRift

1. From the eighthhexagram,Pi, in the IChing. In theCommentary on thesecond line, it states: “If you can stayon familiar termswith thoseamong

yourown,youwillnotloseyourself.”

IntheCommentary,itstates:

Familiarityiswell-omened.Familiaritywillhelp.Thelowerfollowsproperorder. Looking for omens, if you are fundamentally and consistentlycorrect,therewillbenoblame.Forthisreason,youwillbestrongandwillhit the target.Those still uneasywill approach, andupper and lowerwillrespondmutually.Thelatecomerisill-omened;hiswaywillbecutoff.

Strategy34:TheStrategyofSelf-Injury

1.Fromthefifthhexagram.VerbatimintheCommentaryonthefifthline.

2. Whilethisstrategywasperhapsnotused,thebattleitselfhaslonggraspedthe imagination of the Chinese, and it has been celebrated in poetry andtraveldiariesforcenturies.

Strategy35:TheStrategyofLinks

1.Fromtheseventhhexagram,Shih,oftheIChing.Inthesecondline,itstates:“The commander is there and unwobbling; good fortune. He receivesHeaven’s favor. Three times the ruler bestows his orders.He cares for hisentirevastterritory.”ThetermShih(師)isexplainedinanumberofwaysbyscholarsoftheI

Ching. Itmeansvariouslymaster, teacher,army,battle,or throng;butwiththeIChing,ithasoftenbeeninterpretedas“army”and“throng.”Thefactisthat the Chinese characters that entitle the hexagrams are rather fluid inmeaning,andprobablyintentionallyso.InStrategies26,35,and36,theyaredefinedaccordingtocontext.

2.GoldenHorde.TheKhanateofKipchak,initiallyruledbyBatu(1227–55),agrandsonofGenghisKhan. Itwas centered in the areaof the lowerVolgaRiverandmoreorlessdominatedSouthRussiauntilthefifteenthcentury.

Strategy36:RetreatIsConsideredtheBest

1.Fromtheseventhhexagram,Shih,oftheIChing.IntheCommentaryonthefourth line, it states: “There is no blame in retreating and taking shelter;doingsoonewillnotyethavelosthisordinarycondition.”

2. The shattered jewel. The traditional image in Japan of an honorable or

gloriousdeathusesthemetaphorofshatteringajewel.Thiswasanidealofthe samurai, and most recently of the kamikaze and even the commonsoldiers in the army. A Japanese proverb has it that “It is better to beshatteredlikeajewelthantobewholelikeaclaytile.”

3. “Chickens’ ribs” (鶏肋) is a common expression in China and Japan forsomething that, in the end, is not worth fussing over: something of littlevaluethatonenonethelesshesitatestothrowaway.

4. Kunisada Chuji (1810–50). A famous Edo-period gambler and criminal.Obese, pasty, and given to extravagant language, hewas a cruelmurdererandfugitive.Hefinallycollapsedfromapoplexy,wascaptured,senttoEdo,andexecuted.HethereafterbecameapopularsubjectfortheKabukitheaterandprofessionalstorytellers.

BIBLIOGRAPHY

WORKSINORIENTALLANGUAGES

Ekkyo. Vols. 1 & 2. Translated by Takada Shinji and Goto Motomi. Tokyo:IwanamiBunsho,2004.

Koyogunkan, Gorinnosho, Hagakure. Translated and edited by Sagara Toru.Tokyo:ChikumaShobo,1964.

Moriya,Hiroshi.HeihoSanjurokkei.Tokyo:ChitekiShuppansha,1993.Moriya,Hiroshi.HeihoSanjurokkei.Tokyo:MikasaShobo,n.d.Sonshi-Goshi.EditedbyMiuraYoshiaki.Tokyo:MeijiShoin,2002.

WORKSINENGLISH

BasicWritings ofMoTzu,Hsun Tzu, andHanFei Tzu. Translated byBurtonWatson.NewYork:ColumbiaUniversityPress,1967.

Ch’ien Ssu-ma.Records of the Historian. Translated by BurtonWatson. NewYork:ColumbiaUniversityPress,1958.

Fairbank, John K., Edwin O. Reischauer, and Albert M. Craig. East Asia:TraditionandTransformation.Boston:HoughtonMifflinCo.,1973.

Giles, Herbert A.History of Chinese Literature. NewYork: D. Appleton andCompany,1923.

Hung,Ying-ming.MasteroftheThreeWays:ReflectionsofaChineseSageonLiving a Satisfying Life. Translated by William Scott Wilson. Boston:ShambhalaPublications,2012.

WORKSINCHINESEANDENGLISH

SunTzuontheArtofWar.TranslatedandannotatedbyLionelGiles.Shanghai:1910.

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