Art of War (Barnes & Noble Classics Series)

by Sunzi

  Burton Watson, Early Chinese Literature (1962)

  I came, I saw, I conquered.

  Julius Caesar, quoted in Plutarch’s Lives (A.D. 75)

  III. ATTACK BY STRATAGEM

  The general himself ought to be such a one as can at the same time see both forward and backward.

  Plutarch, Moralia (A.D. 75)

  1. Sun Tzu said: In the practical art of war, the best thing of all is to take the enemy’s country whole and intact; to shatter and destroy it is not so good. So, too, it is better to capture an army entire than to destroy it, to capture a regiment, a detachment or a company entire than to destroy them.

  The Denma Translation is worth comparing here (see “For Further Reading”). Closer to the astringent sound and pared rhythms of the Classical Chinese text, it reads: “In sum, the method of employing the military—Taking a state whole is superior. Destroying it is inferior to this. Taking an army whole is superior. Destroying it is inferior to this. Taking a battalion whole is superior. Destroying it is inferior to this. Taking a company whole is superior. Destroying it is inferior to this. Taking a squad whole is superior. Destroying it is inferior to this.” DG

  2. Hence to fight and conquer in all your battles is not supreme excellence; supreme excellence consists in breaking the enemy’s resistance without fighting.

  Here again, no modern strategist but will approve the words of [Sun Tzu]. Moltke’s greatest triumph, the capitulation of the huge French army at Sedan, was won practically without bloodshed.

  3. Thus the highest form of generalship is to baulk the enemy’s plans;

  I.e., as Li Ch’üan says, in their very inception. Perhaps the word “baulk” falls short of expressing the full force of [the Chinese term], which implies not an attitude of defence, whereby one might be content to foil the enemy’s stratagems one after another, but an active policy of counter-attack. Ho Shih put this very clearly in his note: “When the enemy has made a plan of attack against us, we must anticipate him by delivering our own attack first.”

  the next best is to prevent the junction of the enemy’s forces;

  Isolating him from his allies. We must not forget that Sun Tzu, in speaking of hostilities, always has in mind the numerous states or principalities into which the China of his day was split up.

  the next in order is to attack the enemy’s army in the field;

  When he is already in full strength.

  and the worst policy of all is to besiege walled cities.

  4. The rule is, not to besiege walled cities if it can possibly be avoided.

  Another sound piece of military theory. Had the Boers acted upon it in 1899, and refrained from dissipating their strength before Kimberley, Mafeking, or even Ladysmith, it is more than probable that they would have been masters of the situation before the British were ready seriously to oppose them.

  Kimberley, Mafeking, and Ladysmith were all important early defeats for the British against the Boer insurgency. The British regulars badly underestimated their colonial foes in what was essentially a war for independence: the South African War. The details of the siege, the battles, and the final British response are worth examining in greater detail both to capture Giles’s full meaning here and also because they read like a petri dish exemplar of Sun Tzu’s admonitions on tactics. Turn to the early writings of Winston Churchill for a pithy examination of the war from the perspective of a participant whose life was deeply affected by it.

  The gist of Giles’s comment, however, is that the Boers (Dutch South Africans) initially had the jump on the British. They dissipated their military energies, however, in “small,” brutal engagements, such as the siege at Ladysmith, which they besieged from October 1899 through February 1900, causing the deaths of several thousand citizens. This gave the British time to dispatch formidable regiments from England. Because of its strategic geography, South Africa was important to the British Empire both for its considerable natural resources and also as a protection for their colonial properties, especially India. Ladysmith, for example, is in the Natal region, which had long served as a gateway to the Indian Ocean. DG

  The preparation of mantlets, movable shelters, and various implements of war, will take up three whole months;

  It is not quite clear what mantlets were. Ts’ao Kung simply defines them as “large shields,” but we get a better idea of them from Li Ch’üan, who says they were to protect the heads of those who were assaulting the city walls at close quarters. This seems to suggest a sort of Roman testudo, ready made. Tu Mu says they were … (wheeled vehicles used in repelling attacks, according to K’ang Hsi)… . The name is also applied to turrets on city walls.

  Of movable shelters, we get a fairly clear description from several commentators. They were wooden missile-proof structures on four wheels, propelled from within, covered over with raw hides, and used in sieges to convey parties of men to and from the walls, for the purpose of filling up the encircling moat with earth. Tu Mu adds that they are now called “wooden donkeys.”

  and the piling up of mounds over against the walls will take three months more.

  These were great mounds or ramparts of earth heaped up to the level of the enemy’s walls in order to discover the weak points in the defence, and also to destroy the fortified turrets mentioned in the preceding note.

  5. The general, unable to control his irritation, will launch his men to the assault like swarming ants,

  This vivid simile … is taken from the spectacle of an army of ants climbing a wall. The meaning is that the general, losing patience at the long delay, may make a premature attempt to storm the place before his engines of war are ready.

  with the result that one-third of his men are slain, while the town still remains untaken. Such are the disastrous effects of a siege.

  6. Therefore the skilful leader subdues the enemy’s troops without any fighting; he captures their cities without laying siege to them; he overthrows their kingdom without lengthy operations in the field.

  Chia Lin notes that he only overthrows the … Government, but does no harm to individuals. The classical instance is Wu Wang, who after having put an end to the Yin dynasty was acclaimed “Father and mother of the people.”

  7. With his forces intact he will dispute the mastery of the Empire, and thus, without losing a man, his triumph will be complete.

  Owing to … double meanings … , the latter part of the sentence is susceptible of quite a different meaning: “And thus, the weapon, not being blunted by use, its keenness remains perfect.”

  The 101st has no history, but it has a rendezvous with destiny.

  Maj. Gen. William C. Lee, rallying the men of the nascent 101st

  Airborne Division (1942)

  This is the method of attacking by stratagem.

  8. It is the rule in war, if our forces are ten to the enemy’s one, to surround him; if five to one, to attack him;

  Straightaway, without waiting for any further advantage.

  if twice as numerous, to divide our army into two.

  The saying … at first sight … appears to violate a fundamental principle of war. Ts’ao Kung, however, gives a clue to Sun Tzu’s meaning: “Being two to the enemy’s one, we may use one part of our army in the regular way, and the other for some special diversion.” Chang Yü thus further elucidates the point: “If our force is twice as numerous as that of the enemy, it should be split up into two divisions, one to meet the enemy in front, and one to fall upon his rear; if he replies to the frontal attack, he may be crushed from behind; if to the rearward attack, he may be crushed in front.”

  9. If equally matched, we can offer battle;

  Li Ch’üan, followed by Ho Shih, gives the following paraphrase: “If attackers and attacked are equally matched in strength, only the able general will fight.”

  When the enemy is equal in the number of its forces, there should be an immediate retreat, and then the enemy should be ambushed or eliminated by means of sharp-shooters.

&
nbsp; U.S. Dept. of the Army, Handbook on Aggressor Insurgent Warfare (1962 edition)

  if slightly inferior in numbers, we can avoid the enemy;

  Chang Yü reminds us that the saying only applies if the other factors are equal; a small difference in numbers is often more than counterbalanced by superior energy and discipline.

  if quite unequal in every way, we can flee from him.

  10. Hence, though an obstinate fight may be made by a small force, in the end it must be captured by the larger force.

  11. Now the general is the bulwark of the State: if the bulwark is complete at all points, the State will be strong; if the bulwark is defective, the State will be weak.

  As Li Ch’üan tersely puts it: “… If the general’s ability is not perfect (i.e., if he is not thoroughly versed in his profession), his army will lack strength.”

  12. There are three ways in which a ruler can bring misfortune upon his army:—

  13. (1) By commanding the army to advance or to retreat, being ignorant of the fact that it cannot obey. This is called hobbling the army.

  “Hobbling the army” is one of those graphic metaphors which from time to time illuminate Sun Tzu’s work… . Li Ch’üan … adds the comment, “It is like tying together the legs of a thoroughbred, so that it is unable to gallop.” One would naturally think of “the ruler” in this passage as being at home, and trying to direct the movements of his army from a distance. But the commentators understand just the reverse, and quote the saying of T’ai Kung: “A kingdom should not be governed from without, an army should not be directed from within.” Of course it is true that, during an engagement, or when in close touch with the enemy, the general should not be in the thick of his own troops, but a little distance apart. Otherwise, he will be liable to misjudge the position as a whole, and give wrong orders.

  14. (2) By attempting to govern an army in the same way as he administers a kingdom, being ignorant of the conditions which obtain in an army. This causes restlessness in the soldiers’ minds.

  Ts’ao Kung’s note is … : “The military sphere and the civil sphere are wholly distinct; you can’t handle an army in kid gloves.” And Chang Yü says: “Humanity and justice are the principles on which to govern a state, but not an army; opportunism and flexibility, on the other hand, are military rather than civic virtues.”

  15. (3) By employing the officers of his army without discrimination, through ignorance of the military principle of adaptation to circumstances. This shakes the confidence of the soldiers.

  Tu Mu [quotes another commentator]: “The skilful employer of men will employ the wise man, the brave man, the covetous man, and the stupid man. For the wise man delights in establishing his merit, the brave man likes to show his courage in action, the covetous man is quick at seizing advantages, and the stupid man has no fear of death.”

  16. But when the army is restless and distrustful, trouble is sure to come from the other feudal princes. This is simply bringing anarchy into the army, and flinging victory away.

  17. Thus we may know that there are five essentials for victory:(1) He will win who knows when to fight and when not to fight.

  Chang Yü says: “If he can fight, he advances and takes the offensive; if he cannot fight, he retreats and remains on the defensive. He will invariably conquer who knows whether it is right to take the offensive or the defensive.”

  (2) He will win who knows how to handle both superior and inferior forces.

  This is not merely the general’s ability to estimate numbers correctly… . Chang Yü expounds the saying more satisfactorily: “By applying the art of war, it is possible with a lesser force to defeat a greater, and vice versa. The secret lies in an eye for locality, and in not letting the right moment slip. Thus Wu Tzu says: ‘With a superior force, make for easy ground; with an inferior one, make for difficult ground.’ ”

  After The Art of War, the treatise referred to as Wu Tzu (written by Wu Ch’i, who died in 381 B.C.) is probably the oldest military work in Chinese history and the one cited most often. DG

  (3) He will win whose army is animated by the same spirit throughout all its ranks.

  (4) He will win who, prepared himself, waits to take the enemy unprepared.

  (5) He will win who has military capacity and is not interfered with by the sovereign.

  Tu Yu quotes [another commentator] as saying: “It is the sovereign’s function to give broad instructions, but to decide on battle is the function of the general.” It is needless to dilate on the military disasters which have been caused by undue interference with operations in the field on the part of the home government. Napoleon undoubtedly owed much of his extraordinary success to the fact that he was not hampered by any central authority.

  Victory lies in the knowledge of these five points.

  Literally, “These five things are knowledge of the principle of victory.”

  18. Hence the saying: If you know the enemy and know yourself, you need not fear the result of a hundred battles. If you know yourself but not the enemy, for every victory gained you will also suffer a defeat.

  Li Ch’üan cites the case of Fu Chien, prince of Ch’in, who in 383 A.D. marched with a vast army against the Chin Emperor. When warned not to despise an enemy who could command the services of such men as Hsieh An and Huan Ch’ung, he boastfully replied: “I have the population of eight provinces at my back, infantry and horsemen to the number of one million; why, they could dam up the Yangtsze River itself by merely throwing their whips into the stream. What danger have I to fear?” Nevertheless, his forces were soon after disastrously routed at the Fei River, and he was obliged to beat a hasty retreat.

  If you know neither the enemy nor yourself, you will succumb in every battle.

  Chang Yü offers the best commentary… . He says that these words “have reference to attack and defence: knowing the enemy enables you to take the offensive, knowing yourself enables you to stand on the defensive.” He adds, “Attack is the secret of defence; defence is the planning of an attack.” It would be hard to find a better epitome of the root-principle of war.

  This man, I say, is most perfect who shall have understood everything for himself, after having devised what may be best afterward and unto the end.

  Hesiod, Works and Days (c.800 B.C.)

  IV. TACTICAL DISPOSITIONS

  Where force is necessary, there it must be applied boldly, decisively, and completely. But one must know the limitations of force; one must know when to blend force with a maneuver, a blow with an argument.

  Leon Trotsky (1932)

  The Chinese given as the heading here is a very comprehensive and somewhat vague term… . It is best taken as something between, or perhaps combining, “tactics” and “disposition of troops.” Ts’ao Kung explains it as “marching and countermarching on the part of the two armies with a view to discovering each other’s condition.” Tu Mu says: “It is through the dispositions of an army that its condition may be discovered. Conceal your dispositions, and your condition will remain secret, which leads to victory; show your dispositions, and your condition will become patent, which leads to defeat.” Wang Hsi remarks that the good general can “secure success by modifying his tactics to meet those of the enemy.”

  1. Sun Tzu said: The good fighters of old first put themselves beyond the possibility of defeat, and then waited for an opportunity of defeating the enemy.

  2. To secure ourselves against defeat lies in our own hands, but the opportunity of defeating the enemy is provided by the enemy himself.

  That is, of course, by a mistake on his part.

  3. Thus the good fighter is able to secure himself against defeat,

  Chang Yü says: “By concealing the disposition of his troops, covering up his tracks, and taking unremitting precautions.”

  but cannot make certain of defeating the enemy.

  4. Hence the saying: One may know how to conquer without being able to do it.

  5. Security against defeat implie
s defensive tactics; ability to defeat the enemy means taking the offensive.

  The commentators are all against me. The meaning they give, “He who cannot conquer takes the defensive,” is plausible enough, but … highly improbable.

  6. Standing on the defensive indicates insufficient strength; attacking, a superabundance of strength.

  7. The general who is skilled in defence hides in the most secret recesses of the earth;

  Literally, “hides under the ninth earth,” which is a metaphor indicating the utmost secrecy and concealment, so that the enemy may not know his whereabouts.

  Batista has 3,000 men in the field against us. It is a battle against time, and time is on our side. They never know where we are, but we always know where they are.

  Fidel Castro (February 24, 1957)

  he who is skilled in attack flashes forth from the topmost heights of heaven.

  Another metaphor, implying that he falls on his adversary like a thunderbolt, against which there is no time to prepare. This is the opinion of most of the commentators, though Ts’ao Kung, followed by Tu Yu, explains “secret recesses” as the hills, rivers, and other natural features which will afford shelter or protection to the attacked, and “topmost heights of heaven” as the phases of weather which may be turned to account by the attacking party.

  Thus on the one hand we have ability to protect ourselves; on the other, a victory that is complete.

  8. To see victory only when it is within the ken of the common herd is not the acme of excellence.

  As Ts’ao Kung remarks, “The thing is to see the plant before it has germinated,” to foresee the event before the action has begun. Li Ch’üan alludes to the story of Han Hsin who, when about to attack the vastly superior army of Chao, which was strongly entrenched in the city of Ch’êng-an, said to his officers, “Gentlemen, we are going to annihilate the enemy, and shall meet again at dinner.” The officers hardly took his words seriously, and gave a very dubious assent. But Han Hsin had already worked out in his mind the details of a clever stratagem, whereby, as he foresaw, he was able to capture the city and inflict a crushing defeat on his adversary.