Liu Ji said:
The reasonable course of action in any use of arms starts with calculation. Before fighting, first assess the relative sagacity of the military leadership, the relative strength of the enemy, the sizes of the armies, the lay of the land, and the adequacy of provisions. If you send troops out only after making these calculations, you will never fail to win.
The rule is “Sizing up opponents to determine victory, assessing dangers and distances, is the proper course of action for military leaders” (Sun Tzu, The Art of War, “Terrain”).
Liu Bei (161–223) was one of the warrior giants of Three Kingdoms fame. He established the kingdom of Shu, or Shu Han, envisioned as a continuation of the Han dynasty in the western part of the Chinese heartland, the ancient region of Shu.
In the last days of the Han dynasty, Liu Bei went three times to ask Zhuge Liang for advice on strategy. Zhuge Liang was to become one of the most famous strategists in history.
Zhuge Liang told Liu Bei, “Ever since the beginning of the current power struggle for what is left of the Han empire, many mettlesome men have arisen. Countless prefectures and districts have been taken over by such men. If you compare current contenders for national power, one of them—the notorious Cao Cao—was once an unknown with a small force, yet he was able to overcome another warlord with a much larger following. The reason the weaker was able to prevail over the stronger is not simply a matter of celestial timing, but also of human planning. Cao Cao now has a million followers; he controls the emperor and gives orders to the lords—he cannot really be opposed.
“Another warlord, in control of the area east of the river, is already the third generation hegemon there. The territory is rugged and the people are loyal to him; the intelligent and capable serve in his employ. He would be a suitable ally, but he cannot be counted on.
“Here there is ease of communication and transport. It is a land suitable for military operations. If its ruler cannot keep it, this would seem to be a boon to the general. Do you have any interest in it? To the southwest are precipitous natural barriers, beyond which lie vast fertile plains. That land is called the heavenly precinct, and it is where the Han dynasty really began.
“Now the governor of that region is ignorant and weak. To the north is the stronghold of the independent Taoist cult of the Celestial Masters. The people are robust and the land is rich, but they do not know how to take care of it. Men of knowledge and ability want to find an enlightened leader.
“General, you are a descendant of the imperial family, and are known everywhere for integrity and justice. You gather heroic men and eagerly seek the wise. If you occupy this whole region, guard the crags and defiles, establish good relations with the foreign tribes to the west and south, make friends with the warlord east of the river, and work to perfect internal organization, then when there is an upheaval in the total political situation and you mobilize your armies, the common people will surely welcome you with food and drink. If you can really do this, hegemony can be established, and the house of Han can be revived.”
Liu Bei agreed, and it turned out as planned.
Liu Ji said:
Whenever opponents begin to scheme, attack accordingly, foiling their plans so that they give up.
The rule is “The superior military artist strikes while schemes are being laid” (Sun Tzu, The Art of War, “Planning a Siege”).
Around 500 B.C.E., in the Spring and Autumn era, the lord of Jin wanted to attack the state of Qi. He sent an emissary to Qi to observe the government there.
The lord of Qi wined and dined the emissary. The wine flowed freely, and the emissary asked to drink from the lord’s cup. This is a gesture of familiarity, and such a request under such circumstances is an insult.
The lord said, “I offer my cup to my guest.”
After the emissary of Jin had drunk from the lord’s cup, one of the eminent nobles of the Qi court came forward, removed it, and personally continued to serve wine to the emissary in another cup.
Now the emissary, feigning inebriation, stood up in displeasure and said to the highest cabinet official at the court of Qi, “I desire the music of the duke of Zhou. If you can play it, I will dance it for you.”
The duke of Zhou was the founder of the Zhou dynasty, which was beginning to disintegrate in the Spring and Autumn era.
The high official of Qi said, “I have not practiced it.”
The emissary of Jin left.
The Lord of Qi said to the noble and the official, “Jin is a big state. Now you have angered the emissary of that great state, who came to observe our government. What shall we do?”
The eminent noble said, “I could see the emissary was not ignorant of etiquette, so I would not go along with him when he tried to shame our state.”
The cabinet official said, “The music of the duke of Zhou is the music of the national leader. Only a ruler dances it. That emissary is the servant of another, yet he wanted to dance the music of leaders—that is why I didn’t perform.”
As for the emissary, he went back and reported to the lord of Jin. He said, “Qi cannot be attacked at this time. I tried to insult their lord, and a court noble knew it; I tried to violate their etiquette, and the highest official perceived it.”
Confucius said of the court noble who took the lord’s cup from the emissary that he “could stop a thrust from a thousand miles away without leaving the table.”
Liu Ji said:
Whenever you move against anyone, before mobilizing the army first use spies to see whether the opponents are many or few, empty or full, active or quiet. Then you can be very successful and never fail to win in battle.
The rule is “Spies are useful everywhere” (Sun Tzu, The Art of War, “On the Use of Spies”).
In the sixth century C.E., during the era of the Northern and Southern dynasties, General Wei of the court of Zhou was the military governor of Jade Wall City. General Wei was known for his exemplary behavior in his official capacity. He was skilled at management and able to win people’s hearts. All of the spies he sent into the territory of the Qi court did their utmost for him, and certain people of Qi whom Wei had bribed sent him reports by letter. Therefore the Zhou court knew all about the movements of Qi.
Now the prime minister of Qi was a man of sagacity and courage. General Wei loathed him. One of Wei’s officers, who knew quite a bit about divination, said, “Next year there will be slaughter in the east.” The kingdom of Qi was to the east of Zhou. Wei had this officer compose a song with a double entendre suggesting that the prime minister of Qi was plotting a coup d’état; then he had his secret agents plant this song in the main city of Qi.
Subsequently there developed a rift between the prime minister of Qi and a certain general. When Wei heard of this, he further exacerbated it. The prime minister was eventually executed.
When the ruler of Zhou heard that the prime minister of Qi was dead, he issued an amnesty for that territory, then mobilized a large army to attack, ultimately destroying the kingdom of Qi.
Liu Ji said:
Whenever you do battle with opponents, it is imperative to select brave leaders and crack troops to be your vanguard. One purpose of this is to strengthen your own will; another is to break down the opponent’s force.
The rule is “Those who do not sort out the levels of skill among their own troops are the ones who get beaten” (Sun Tzu, The Art of War, “Terrain”).
In the year 207, two sons of a major warlord of the Three Kingdoms era fled to the north. There they joined forces with a northern tribal people, the Wuheng, who raided Chinese territory from time to time. Cao Cao set out on an expedition north to stop the tribal incursions, intending to strike down the sons of the Chinese warlord as well.
That autumn, with the roads north made impassable by heavy rains, Cao Cao’s troops made their way two hundred miles through the hinterland, tunneling through mountains and filling in ravines. They reached north to the territory of the Turanian Xianbei tribes, then headed for the homeland of the Wuheng.
Before Cao Cao’s army had gone much more than a hundred miles, they were discovered by the enemy. The brothers, together with several tribal chieftains, led a large force of mounted fighters against them.
Now Cao Cao’s equipment was in transport behind him, and few of his soldiers were wearing armor. Everyone was worried.
Cao Cao climbed high up a mountainside to survey the situation. Seeing that their opponents’ battle lines were disorderly, he allowed his soldiers to attack, appointing one of his best commanders to lead the vanguard.
The enemy troops were routed. A number of tribal leaders were killed, and many thousand mounted warriors surrendered to the Han Chinese.
Liu Ji said:
In any battle with an opponent, when soldiers face almost certain death without regret or fear, it is trust that makes them that way. When the leadership is trustworthy and honest, followers are earnest and free from doubt; so there is certain victory in battle.
The rule is “The trustworthy do not cheat” (“Six Secrets,” “On Generalship”).
During the Three Kingdoms era, the king of Wei personally directed an expedition against the kingdom of Shu. He sent a huge force of light troops under cover to proceed in stealth toward Shu.
Now Zhuge Liang, minister and general of Shu, had taken up a position in the mountains, guarding the passes with well-equipped troops. He had the troops replaced regularly, keeping a contingent of about one-half to one-third the size of the strike force now advancing from Wei to Shu.
The Wei army arrived and set up battle lines just as the Shu guard was in the process of changing. Zhuge’s aides urged him to keep the departing troops there for another month to add their strength to the replacements in face of such a powerful enemy force.
Zhuge said, “My command of the military is based on trust and good faith. To lose trust by trying to gain an advantage is a mistake made by men of old. Those who are due to leave pack their gear quickly, waiting for their time to come, while their wives and children stand in their doorways back home, counting the days. Although we are facing a crisis, it will not do to abandon what is right and just.”
Thus General Zhuge Liang urged all those whose tour of duty was done to leave the front and return home.
Now those who were scheduled to leave were all so pleased by this announcement that they asked to be allowed to stay for one more battle. They stirred up their courage, determined to fight to the death, saying to each other, “Even if we die, that is still not enough to repay the kindness of Master Zhuge.”
On the day of battle, everyone in Zhuge’s army rushed forward with drawn sword, each soldier taking on ten of the enemy. They killed one of the Wei leaders, drove off another, and won a great victory in a single battle. This was because of trust and good faith.
Liu Ji said:
Whenever you want to raise an army, it is necessary first to instruct it in warfare. When the soldiers are trained in ways of scattering and massing, and are thoroughly familiar with the signals for passivity and action, advance and retreat, then when they meet opponents they respond to direction by signals. Then you can do battle without failing to win.
The rule is “To have uninstructed people go into battle is tantamount to abandoning them” (Confucius, Analects).
In the Warring States era, the notorious martialist Wu Qi (d. 381 B.C.E.), general of the warring state of Wei, spoke in these terms: “People always die at what they cannot do and are defeated by what is not advantageous to them. The rule for military operations is to start with instruction and training. One person who learns to fight can teach ten people, ten people who learn to fight can teach a hundred people, a hundred can teach a thousand, a thousand can teach ten thousand, ten thousand can teach enough people for three armies.
“Let them learn all the adaptations: maximizing the distance traveled by opponents while minimizing your own, wearing opponents down while staying rested yourselves, starving opponents out while keeping yourselves well fed, knowing when to form a circle and when to form a square, when to sit and when to rise, when to move and when to stop, when to go right and when to go left, when to go ahead and when to fall back, when to split up and when to join, when to band together and when to spread out.
“When they have practiced all of this, then give the fighters weapons. To make them expert in this is called the business of a military leader.”
Liu Ji said:
What makes soldiers in battle perfer to charge ahead rather than retreat even for survival is the benevolence of the military leadership. When the soldiers know their leaders care for them as they care for their own children, then the soldiers love their leaders as they do their own fathers. This makes them willing to die in battle, to requite the benevolence of their leaders.
The rule is “Look upon your soldiers as beloved children, and they willingly die with you” (Sun Tzu, The Art of War, “Terrain”).
During the Warring States era, when the Wei general Wu Qi was military governor of West River, he wore the same clothes and ate the same food as the lowest of his soldiers. He did not use a mat to sit on, and he did not ride when traveling. He personally carried his own bundle of provisions and shared the toil and hardships of the soldiers.
Once, when one of the soldiers was suffering from a festering wound on his arm, the general himself sucked out the pus.
When that soldier’s mother heard about this, she began to mourn.
Someone said to her, “Your son is a soldier, yet the general himself sucked the pus from his wound—what is there to mourn about?”
The woman said, “Last year General Wu did the same thing for my husband, and as a result my husband fought in battle without taking a backward step, finally dying at the hands of an enemy. Now that the general has treated my son in this way too, I have no idea where he will die. This is why I mourn him.”
It was because Wu Qi was strict with himself while impartial toward others, and had won the hearts of his soldiers, that a Lord of Wei had made him military governor of West River. Wu Qi fought seventy-six major battles with lords of the other warring states, and gained complete victory sixty-four times.
Liu Ji said:
When soldiers in battle forge ahead and do not dare to fall back, this means they fear their own leaders more than they fear the enemy. If they dare to fall back and dare not forge ahead this means they fear the enemy more than they fear their own leaders. When a general can get his troops to plunge right into the thick of raging combat, it is his authority and sternness that brings this about.
The rule is “To be awesome and yet caring makes a good balance” (“Dialogues of Li, Lord of Wei”).
During the Spring and Autumn era, the state of Qi was invaded by the states of Jin and Yan. At first the invaders overcame the military forces of Qi.
One of the eminent nobles of the court of Qi recommended the martialist Tian Rangju to the lord of Qi. To this man, later called Sima Rangju, is attributed the famous military handbook “Sima’s Art of War,” or “Sima’s Rules.”
In recommending Rangju, the court noble said to the lord of Qi, “Although Rangju is an illegitimate descendant of a noble family of another state, his culture is attractive to people and his military prowess is awesome to opponents. Please try him.”
The lord of Qi then summoned Rangju to discuss military matters with him. The lord was very pleased with what Rangju had to say, and he made him a general, appointing him to lead an army to resist the aggression of the forces of Yan and Jin.
Rangju said, “I am lowly in social status, yet the lord has promoted me from the ranks and placed me above even the grandees. The soldiers are not yet loyal to me, and the common people are not familiar with me; as a man of little account, my authority is slight. I request one of your favorite ministers, someone honored by the state, to be overseer of the army.”
The lord acceded to this request and appointed a nobleman to be the overseer. Rangju took his leave, arranging to meet the nobleman at the military headquarters at noon the following day. Then Rangju hastened back to set up a sundial and a waterclock to await the new overseer.
Now this new overseer was a proud and haughty aristocrat, and he imagined that as overseer he was leading his own army. Because of his pride and arrogance, he did not see any need to hurry, in spite of his promise with Rangju the martial master. His relatives and close associates gave him a farewell party, and he stayed to drink with them.
At noon the next day, the new overseer had not arrived at headquarters. Rangju took down the sundial and emptied the waterclock. He assembled the troops and informed them of the agreement with the new overseer.
That evening the nobleman finally arrived. Rangju said to him, “Why are you late?”
He said, “My relatives, who are grandees, gave me a farewell party, so I stayed for that.”
Rangju said, “On the day a military leader receives his orders, he forgets about his home; when a promise is made in face of battle, one forgets his family; when the war drums sound, one forgets his own body. Now hostile states have invaded our territory; the state is in an uproar; the soldiers are exposed at the borders; the lord cannot rest easy or enjoy his food; the lives of the common people all depend on you—how can you talk about farewell parties?”
Rangju then summoned the officer in charge of military discipline and asked him, “According to military law, what happens to someone who arrives later than an appointed time?”
The officer replied, “He is supposed to be decapitated.”
Terrified, the aristocrat had a messenger rush back to report this to the lord and beseech him for help. But the haughty nobleman was executed before the messenger even returned, and his execution was announced to the army. The soldiers all shook with fear.
Eventually the lord sent an emissary with a letter pardoning the nobleman, who was, after all, the new overseer of the army. The emissary galloped right into camp on horseback with the lord’s message.
Rangju said, “‘When a general is in the field, there are orders he doesn’t take from the ruler.”’
He also said to the disciplinary officer, “It is a rule that there shall be no galloping through camp, yet now the emissary has done just that. What should be done with him?”
The officer said, “He should be executed.”
The emissary was petrified, but Rangju said, “It is not proper to kill an emissary of the lord,” and had two of the emissary’s attendants executed in his stead. This too was announced to the army.
Rangju sent the emissary back to report to the lord, and then he set out with the army. When the soldiers made camp, Rangju personally oversaw the digging of wells, construction of stoves, preparation of food and drink, and care of the sick. He shared all of the supplies of the leadership with the soldiers, personally eating the same rations as they. He was especially kind to the weary and weakened.
After three days, Rangju called the troops to order. Even those who were ill wanted to go along, eager to go into battle for Rangju. When the armies of Jin and Yan heard about this, they withdrew from the state of Qi. Now Rangju led his troops to chase them down and strike them. Eventually he recovered lost territory and returned with the army victorious.
Liu Ji said:
For soldiers to strive to scale high walls in spite of deep moats and showers of arrows and rocks, or for soldiers to plunge eagerly into the fray of battle, they must be induced by serious rewards; then they will prevail over an enemy.
The rule is “Where there are serious rewards, there will be valiant men” (“Three Strategies,” also in “Six Secrets”).
At the end of the Han dynasty, whenever Cao Cao plundered a city and obtained rare and beautiful objects, he would always use them to reward achievement. To people who had worked hard and were worthy of reward, he would not begrudge even a thousand pieces of gold, while to those without merit he would give nothing. Therefore he was able to win battle after battle.
Liu Ji said:
What will make soldiers in battle dare to go forward and not dare to retreat is a strict penalty for anyone who retreats even an inch. Thus it is possible to gain victory by this means.
The rule is “Punishment should be immediate” (“Sima’s Rules,” “Duties of the Emperor”).
Yang Su (d. 606) was a great general of the brief but momentous Sui dynasty (589–617). His command was strict and orderly; anyone who violated military orders was immediately executed, with no exceptions.
Whenever General Yang was about to face an opponent, he would look for people to make mistakes so he could execute them. Sometimes over a hundred men would be killed; it was never less than several dozen. He himself would talk and laugh casually as the flowing blood flooded the ground before him.
Then when he faced the enemy on the battle line, he would first command three hundred men to attack. If they were able to break the opponent’s battle line, they were all right; if they returned without being able to strike through enemy lines, they would all be executed, regardless of their number.
Then General Yang would send ahead another two or three hundred men, and again killed any who returned. As a result, the commanders and soldiers trembled in fear and were determined to fight to the death. Therefore they consistently won in battle.
Liu Ji said:
In any battle, if another is the aggressor and you are the defender, you should not be too quick to fight. If your army is at rest and the soldiers are watching over their homes, you should gather people to guard the cities and fortify the mountain passes, cutting off the aggressors’ supply routes. When they do not succeed in drawing you into battle, and their supplies do not reach them, wait until they are worn out and then strike them. If you do this you will always win.
The rule is “Fighting on your own territory is called a ground of dissolution” (Sun Tzu, The Art of War, “Nine Grounds”).
Wu Di (371–409) was the Martial Emperor of the Later Wei dynasty, a foreign regime in northern China under the rule of the Toba people. He personally led an expedition against the Later Yan dynasty, another foreign regime in northern China, this one under the rule of the Xianbei people, who had invaded Toba territory.
The Wei army failed in its action against Yan, and the Yan emperor wanted to strike back. A military aide came forth, however, and said, “The ancients would first be sure of victory in the planning before going on the offensive. Now there are four reasons why Wei cannot be attacked, and three reasons why Yan should not act.”
The emperor of Yan said, “What are these reasons?”
The aide said, “The Wei army is deep inside our territory, and its advantage lies in battle on the open fields; this is one reason why it cannot be attacked. Indeed, it has penetrated so far that it is near our capital, so it is on deadly ground, where the invading soldiers know they have no choice but to fight to the death; this is the second reason they cannot be attacked. Furthermore, the vanguard has already been defeated, so the rear lines must have been tightened up; this is the third reason not to attack. Finally, they are many while we are few; this is the fourth reason they cannot be attacked.
“As for the reasons why Yan should refrain from action: first of all, a government army is fighting on its own territory; so we should not act. Second, if it acts and does not prevail, it will be hard to make the hearts of the people resolute; so we should not act. Third, our defenses are not yet ready, and we are not prepared for the coming of an enemy; again, we should not act. These situations are all avoided by warriors.
“It would be best to secure our defenses and wait in ease for the enemy to tire. They have to transport grain over hundreds of miles, and there is nothing in the open fields to take. Eventually they will wear down, so that if they attack, many of their soldiers will die. When their army grows stale and discords develop, then rise up against them and you can overcome them.”
The Yan emperor praised the strategic thinking of the military aide.
Liu Ji said:
In battle, if the adversary is the defender and you are the invader, just try to penetrate deeply. If you penetrate deeply into their territory, defenders cannot win. This is because of what is called the invader being on heavy ground while the defender is on light ground.
The rule is “Invaders become more intense the further they enter alien territory” (Sun Tzu, The Art of War, “Nine Grounds”).
In the early Han dynasty, Han Xin (d. 196 B.C.E.) and Zhang Er (d. 202 B.C.E.) mobilized an army of several tens of thousands to attack the state of Zhao. Han Xin was an outstanding militarist involved in the wars waged to establish the Han dynasty. Zhang Er was one of a number of local feudal kings whose states were allowed to exist within the structure of the early Han empire.
Now the king of Zhao and the lord of Cheng-an massed an army of two hundred thousand men at a strategic pass, to defend against the invaders. One of the councillors of Zhao, however, said to the lord of Cheng-an, “I hear that Han Xin’s army has been campaigning successfully, and now, reinforced by Zhang Er’s army, he wants to descend on Zhao. His string of victories has taken him from his own land to fight far abroad; news of his power robs people of their courage, and it is impossible to stand up to him directly.
“I hear that Han Xin is transporting supplies from a great distance. The soldiers have the look of hunger; they eat irregularly and never sleep on full stomachs. Now the road through the pass is too narrow for two cars to travel abreast, or for a group of horsemen to ride in formation; so their supplies must be behind them.
“Please let me take a special force of thirty thousand to cut their supply lines off from the byways. You secure your fortifications and don’t fight with them. They cannot go forward; they cannot return; they cannot plunder anything from the field. Before ten days are up, the heads of both leaders, Han Xin and Zhang Er, can be hanging from your flagpole. Please pay heed; otherwise you will be captured.”
But the lord of Cheng-an was self-righteous and did not listen to this strategy. Eventually he was killed.
Liu Ji said:
Whenever you fight with opponents, if you are numerous and strong, you can feign weakness to entice opponents who will think little of coming to fight with you. Strike them with your best soldiers, and their forces will be defeated.
The rule is “Though effective, appear to be ineffective” (Sun Tzu, The Art of War, “Strategic Assessments”).
Late in the era of the Warring States, a general of the state of Zhao named Li Mu (d. 228 B.C.E.) was permanently stationed on the northwest frontier to defend Chinese territory against incursions by the Huns. For convenience, he set up an office to collect taxes and forward them to his headquarters at the front, where he spent them on the soldiers. Every day he had cattle slaughtered to feed the troops well.
General Li had the soldiers practice mounted archery and watch over their signal fires, and he employed many spies and informants. Afterward he made his commanders and soldiers promise to pull back into a closed defense and not to fight whenever the Huns came. Anyone who dared to take a Hun captive was to be executed.
They did this for several years, and although nothing was lost to the Huns, they considered Li Mu a coward. Even the Zhao frontier troops thought their leader was timid. The king of Zhao remonstrated with General Li, but the general continued to do as before.
Finally, the king recalled General Li and replaced him with someone else. Now, under their new leader, the Chinese garrison soldiers went out and fought whenever the Huns showed up. After little more than a year the Chinese had taken several beatings from the Huns and had suffered considerable loss. As a result, it was impossible to farm or raise animals in the frontier region.
Now Li Mu was asked to take over once again, but he claimed to be ill and refused to leave home. The king pressed him to lead the army, so Li finally agreed on the condition that he be allowed to pursue his former policy. The king accepted this provision, so General Li went back and followed his original plan. The Huns came again, but though they didn’t get anything, they thought General Li was a weakling.
The frontier soldiers won prizes every day, but prizes were not what they wanted. What all of them wanted was a fight. Now General Li had thirteen hundred specially selected chariots outfitted and picked out thirteen thousand horsemen, fifty thousand seasoned soldiers, and a hundred thousand archers. All of them drilled and practiced combat.
Now the military authorities allowed the local people to let their flocks and herds out. People filled the fields. When the Huns showed up, General Li pretended to be at a loss and even let them take several thousand captives.
When the Hun chieftain heard about this, he led a huge crowd on a mass raid into Chinese territory.
General Li set up many surprise battle lines and had his army fan out on both sides to attack. In this way the Chinese routed the Huns. They killed over a hundred thousand horsemen and put the tribal chieftain to flight.
For more than ten years after that the Huns did not dare to cross the border of Zhao.
Liu Ji said:
Whenever you do battle with opponents who outnumber you and are stronger than you, you should set up many banners and increase the number of stoves you build, giving the appearance of strength to prevent opponents from figuring out your numbers and power. Then adversaries will not be quick to fight with you. If you can leave quickly, then your whole army can escape harm.
The rule is “Strength and weakness are a matter of formation” (Sun Tzu, The Art of War, “Force”).
During the Later Han dynasty (25–219), a group of the seminomadic Qiang people of Central Asia, who were ancestors of the modern Tibetans, revolted against the Han Chinese empire. The Han empress dowager appointed a leading strategist to be the military governor of that area, but a horde of several thousand Qiang cut off the new governor’s march.
The governor stopped his troops immediately and announced that he was going to send to the imperial court for reinforcements. Learning of this, the Qiang divided up to comb the surrounding countryside, looking for the Chinese messengers who had been sent to the Han court for help.
Now that the Qiang militia was scattered, the Chinese governor proceeded by forced marches night and day, covering over thirty miles a day. He had each mess sergeant make two stoves at first, and then increase the number of stoves each day. The Qiang did not dare to attack.
Someone said to the governor, “The famous martialist Sun Bin decreased his campfires, while you increased them. Also, you went more than three times the maximum daily march recommended in military classics. Why is this?”
The governor said, “The enemy had many soldiers, I had few. I increased the fire stoves to make them think the local militia was coming to welcome us. Thinking we are many and traveling fast, they hesitate to pursue us. Sun Bin saw weakness; I give the appearance of strength. The situations are not the same.”
Liu Ji said:
When your opponents are strong and outnumber you, so that you cannot be sure of prevailing, you should use humility and courtesy to make them haughty, then wait for an opening that offers an opportunity of which you can take advantage, and you can beat them.
The rule is “Use humility to make them haughty” (Sun Tzu, The Art of War, “Strategic Assessments”).
During the era of the Three Kingdoms, warlords of Wei in the north, Wu in the south, and Shu in the west struggled among one another for hegemony over the remains of the Chinese empire. At one point a leading general of Shu made a foray north, where he captured one Wei general and surrounded another.
Now the general of Wu who was stationed at the border with Wei and Shu left his post on account of illness. He was visited by another Wu general, who said to him, “The Shu general is right on the border—why did you leave? There will be trouble if no one stands in his way.”
The retired Wu general said, “You are right, but I am very ill.”
The other Wu general said, “The Shu general is proud of his achievements, and his hauteur is overbearing. He has also heard of your illness, and is surely that more the lax in his precautions. If you attack now, when he isn’t expecting it, you can capture or restrain him. This would be a good strategy to present to the king.”
The retired Wu general said, “The Shu general is a brave and mettlesome man. He is already hard to oppose on this account. Furthermore, he has taken control of strategic territory, where he has won great prestige. With his recent successes and his growing boldness, it is not easy to plot against him.”
When the retired Wu general got to the capital city, the king of Wu asked him, “If you are ill, who can replace you?”
The retired general recommended the other Wu general, with whom he had had the foregoing conversation, saying, “He is a deep thinker and has the ability to bear responsibility. Considering his orderly thinking, I regard him as suitable for this important post. Furthermore, he is not yet well known, so the general of Shu doesn’t hate him. No one could be better. If you give him the job, have him conceal his actions outwardly while inwardly looking for opportunities to take advantage; then he can overcome the general of Shu.”
So the king of Wu summoned the other general and promoted him. When this new Wu general of the border guard arrived at the frontier region, he sent a letter to the Shu general. The letter was fawning and obsequious, flattering the Shu general. The Wu general also wrote to the Shu general of his concern about the leading warlord of Wei and expressed hope that the general of Shu would contain this menace.
When the Shu general read this letter, he noted the humility expressed by the general of Wu and his desire for the good will of Shu. As a result, the general of Shu relaxed and was no longer hostile. Now the general of Wu reported this to the king of Wu, and explained how the Shu general could be captured.
So the king of Wu sent an undercover force up north, appointing two generals to lead the vanguard. In this way, the kingdom of Wu was able to wrest important territory from the grip of the warrior general of Shu.
Liu Ji said:
Whenever you go to war, establish cordial relations with neighboring countries. Form alliances to draw them into helping you. If you attack your enemies from the front while your allies attack from behind, your enemies will surely be vanquished.
The rule is “On intersecting ground, form communications” (Sun Tzu, The Art of War, “Nine Grounds”).
During the era of the Three Kingdoms, at one point the top general of Shu had one of the Wei generals surrounded. The high command of Wei sent another general to the rescue. As it happened, the waters of the Han River rose violently, enabling the Shu general to capture the leader of the Wei reinforcements, with a large contingent of infantry and cavalry. The Shu general sent his own troops shooting down the swollen river in boats to strike the Wei forces.
Now at this time the puppet emperor of the dissolving Han dynasty had his temporary capital not far from the war zone. Cao Cao, the Wei warlord general who manipulated the puppet emperor, thought the capital was too close to enemy lines, and he wanted to move it out of reach.
One of the great ministers of Wei, however, objected to Cao Cao’s plan. He said, “The reinforcements we sent were overcome by the river—it is not that they failed in defensive battle. As far as the overall policy of the state is concerned, nothing is lost; so if we move the capital now, this will come across to the enemy as a sign of weakness, and it will also make the local populace uneasy.
“The king of Wu and the king of Shu are outwardly close but inwardly distant; now that the top general of Shu is getting his way, the king of Wu is no doubt displeased. We should induce the king of Wu to stop the Shu general from behind—then the siege surrounding our Wei general will automatically be lifted.”
Cao Cao followed this suggestion and sent an emissary to establish an alliance with the king of Wu. Subsequently the king of Wu sent one of his generals to attack the territory of the Shu warlord general, and the Wu general was able to wrest two districts from the grip of Shu. As a result, the general of Shu finally abandoned his siege of the Wei army and left the region.
Liu Ji said:
Whenever you do battle, if the enemy army is very large, then set up false formations as feints to divert and divide the enemy forces by inducing them to believe they have to divide their troops to defend against you. Once the enemy forces are divided, there will be relatively few troops in each contingent. You can concentrate your forces into one, so as to outnumber each group of enemy soldiers. Strike few with many, and you will not fail to win.
The rule is “Induce others to construct a formation while you yourself are formless” (Sun Tzu, The Art of War, “Emptiness and Fullness”).
In the year 200, near the end of the moribund Han dynasty, the warlord Cao Cao faced off with one of his main competitors. His opponent sent two strategists with a top commander to lead an attack on an army led by one of Cao Cao’s men, while he himself led another force to follow up.
As for Cao Cao, he went to rescue his men, who were now under siege. One of his advisors, however, warned him that he had too few troops with him to do battle, and that it would be necessary to divide the enemy’s forces. Consequently, following the plan outlined by his advisor, Cao Cao led a contingent up behind his adversary, who thus had to send part of his own force back to deal with Cao Cao.
Now Cao Cao led his army on a forced march toward the position being held by his other troops under siege. When they were nearly there, the opposing commander took fright and turned around to fight Cao Cao’s newly arrived reinforcements.
Now that the opponents’ forces were divided, Cao Cao had two top generals launch a devastating attack, killing the enemy commander and lifting the siege.
Liu Ji said:
In battle, momentum means riding on the force of the tide of events. If enemies are on the way to destruction, then you follow up and press them; their armies will surely collapse.
The rule is “Use the force of momentum to defeat them” (“Three Strategies”).
In 265, the Martial Emperor of Jin founded the Jin dynasty, heralding the end of the era of the Three Kingdoms. Establishing himself by overthrowing the dynasty set up by Cao Cao in the northern kingdom of Wei, the Martial Emperor of Jin also had a secret plan to destroy the southern kingdom of Wu. Many of his courtiers, however, were opposed to the idea of attacking Wu.
Only three of the Martial Emperor’s ministers were in favor of his plan to destroy Wu. One of them was ultimately appointed military director of the border region.
When the new military director of the border region reached his command outpost, he had the soldiers’ armor and equipment repaired, and polished up their martial skills. Finally he selected a special force of elite troops, who then launched a successful assault against the army of one of the leading generals of Wu.
Now the military director petitioned the Jin emperor for permission to make a full-scale attack on the kingdom of Wu. The emperor sent back a message telling the director to wait until the following year for such a massive undertaking.
But the military director wrote a letter back to the emperor, explaining the situation in these terms:
“In any affair, it is imperative to compare gain and loss. With this invasion, the prospects of gain are 80 to 90 percent, while the prospects of loss are 10 to 20 percent. If we stop, nothing will be accomplished. The courtiers say we can be beat, but they cannot tell. It is just that they are not the strategists, so they get no credit for our military successes. The are all embarrassed at having spoken in error before, so they oppose this undertaking.
“Since autumn our movements against the enemy have become obvious; if we stop now, they might develop a scheme in fear—they may move the capital, increase fortifications, and relocate the populace. If their citadels cannot be attacked and there is no plunder in the countryside, next year may be too late to carry out our plans.”
When this letter from the military director of the border region arrived at the capital, the emperor happened to be playing chess with one of the ministers who did approve of the emperor’s plan to destroy the kingdom of Wu. The minister said, “Your Majesty is highly intelligent and has great military acumen. Your nation is rich and your armies are strong. The king of Wu is decadent and vicious, killing off the worthy and able. If you attack him now, the matter can be settled without much effort.”
The emperor then gave his permission to move against the kingdom of Wu. Now the military director of the border region launched his campaign, scoring successive military victories and winning over the provinces of Wu as the provincial authorities defected from Wu and switched their allegiance to Jin.
That summer there was heavy flooding, and the commanders of the Jin army suggested to the military director that they wait until winter to go on the move again, as floods always brought epidemics. The director, however, said that a long entrenched enemy cannot easily be overcome, and insisted on riding the momentum of their victories all the way to the final overthrow of the king of Wu.
Pursuing this course of action, the Jin army encountered little further resistance. Finally, in the year 280, the Jin dynasty annexed the former kingdom of Wu.
Liu Ji said:
Whenever you mobilize an army to attack an enemy, it is imperative to know the location of battle. When your army gets there, if you can induce the enemy forces to come when you expect them, you will win in battle. If you know the place and time of battle, then your preparations will be concentrated and your defenses will be firm.
The rule is “When you know the place and time of battle, then you can join the fight from a thousand miles away” (Sun Tzu, The Art of War, “Emptiness and Fullness”).
During the Warring States era, the states of Wei and Zhao attacked the state of Han, which appealed to the state of Qi for help in this emergency.
The government of Qi sent one of its generals with an army, which marched directly for the capital of Wei, the aggressor. When the invading Wei general heard of this, he left the state of Han and returned to Wei.
Now the Qi general received some advice from Sun Bin, a noted strategist and descendant of the famous Sun Wu (Sun Tzu), legendary author of The Art of War. Master Sun said, “The armies of Wei, Zhao, and Han are fierce and think little of Qi, which they regard as cowardly. A good warrior would take advantage of this tendency and ‘lead them on with prospects of gain.’
“According to The Art of War, struggling for an advantage fifty miles away will thwart the forward leadership, and only half of those who chase prospects of gain twenty-five miles away will actually get there. Have the army of Qi enter Wei territory and make thousands of campfires; on the next day have them make half that number of campfires, and on the next day have them make half again that number.”
The Qi army did as Sun Bin had advised. The Wei general was delighted to hear that the number of campfires was dwindling day by day, thinking that the men of Qi were defecting. He said, “I knew the soldiers of Qi were cowards—they’ve been in our territory for only three days now, and more than half the army has run away.”
Consequently, the Wei general left his infantry behind and hastened in pursuit of the Qi army with only a personal force of crack troops. Calculating the speed of their pursuit, Sun Bin concluded that by nightfall the Wei force would reach an area of narrow roads and difficult passage, a place suitable for ambush.
Now Sun Bin had a large tree cut down and stripped of its bark. On the bare log he wrote, “The general Wei will die at this tree,” and had it placed on the road where the Wei troops would pass that night. Then he had several thousand expert archers conceal themselves near the road.
When the Wei general came to the place where the stripped log had been set across the road, he lit a torch to read what had been written on it. Before he finished reading, the archers of Qi, for whom the kindling of the torch became a signal to fire, loosed their arrows all at once, throwing the Wei troops into a panic. Realizing he had been outwitted and his men were beaten, the Wei general killed himself.
Liu Ji said:
The first rule of maneuvering an army is to send out scouts for reconnaissance. Small brigades of scouts, keeping a fixed distance from the moving army, reconnoiter in all directions. If they see a hostile army, they relay this information back to the commander, who then directs the soldiers to prepare.
The rule is “Those who face the unprepared with preparation are victorious” (Sun Tzu, The Art of War, “Planning a Seige”).
In the first century B.C.E., during the Han dynasty, one of the tribes of the ancient Qiang people rebelled against the Chinese empire. They broke into frontier fortifications, attacked cities, and killed officials.
At that time a certain Rear General Zhao (137–52 B.C.E.) was over seventy years old; the emperor considered him too old for warfare, and sent a message to ask the general to nominate a replacement.
The general said, “Hearing about something a hundred times is not as good as seeing it once. It is hard to predict the course of a military operation, so let me ride out to see conditions for myself so that I can present a plan.”
He added, “The Qiang rebels are a small minority tribe and cannot last long in defiance of a major power. Please leave this up to me, old as I am, and don’t worry about it.
The emperor smiled and gave him permission.
When the Chinese general reached the disturbed area, he commandeered a cavalry of ten thousand mounted warriors. To move against the Qiang they had to cross a river, but the general feared that the Qiang might cut them off, so he first sent three groups to cross by night. When they reached the other side, they set up a battle line, and the rest of the cavalry crossed over the next morning.
Hundreds of Qiang riders appeared, watching the Chinese cavalry from the side. The Chinese general said to his troops, “Our warriors and horses have just arrived and are tired out, so do not give chase to the Qiang. They are all expert horsemen, difficult to stop, and our soldiers might be tempted to pursue them. Our aim in striking this rebellious tribe is to exterminate them, so let us not be eager for small gains.”
Thus commanding his men not to attack the Qiang, the general sent riders out to reconnoiter the mountain ahead. The scouts did not find any of the Qiang tribesmen, and the cavalry crossed the mountain in the middle of the night.
The general called his officers together for a conference and said, “I know the Qiang rebels cannot do anything. If they had sent several thousand men to guard the mountain, how could our troops have penetrated this far?”
So the general saw to it that there was constant reconnaissance, sending scouts out to considerable distances. Whenever he moved his troops he made preparations for battle, and when they stopped they built fortified camps. The old general was well able to bear this heavy responsibility, and he looked after his warriors very well. He never fought without strategic planning and eventually succeeded in pacifying the region.
Liu Ji said:
Whenever you engage in warfare with enemies, you should strive to be the first to occupy advantageous terrain, so that you can win in battle. If the enemy gets there first, do not attack; wait for a change such that you can strike advantageously.
The rule is “Let there be no attack on a ground of contention” (Sun Tzu, The Art of War, “Nine Grounds”).
In the year 234, during the era of the Three Kingdoms, the kingdom of Shu sent an army out on the road north, toward the kingdom of Wei. One of the military leaders of Wei warned his people that the Shu army was intending to occupy the northern plain, but there were those who disagreed.
One of the great generals of Wei, however, thought that this advisor was correct, and he stationed a garrison in the northern plain before the Shu forces arrived. The Wei garrison had not yet finished building fortifications when a huge army from Shu showed up.
The Wei forces struck back, and after a few days the Shu general led his army west. Most of the Wei commanders thought the Shu army was going to attack the western provinces of Wei; one of them, however, disagreed, saying that the Shu general was just making things look that way as a strategic ruse to lure the Wei forces west, whereas the real intention of the Shu general was to attack the east.
That night the Shu army did in fact attack in the east. Because of the warning of the perceptive commander, however, the Wei army was prepared and did not suffer a loss.
Liu Ji said:
In warfare, attack is a matter of knowing the adversary. If you send out troops only when you know that the adversary is vulnerable for some reason and can be defeated, then you will not fail to win.
The rule is “Vulnerability is a matter of attack” (Sun Tzu, The Art of War, “Formation”).
During the era of the Three Kingdoms, the warlord general Cao Cao of Wei sent one of his generals to be the military governor of a border area. This Wei general garrisoned his troops there, making many rice fields. He also sent secret agents into the kingdom of Wu to the south, to invite the cooperation of a group of dissidents within that kingdom.
One of the leading generals of Wu said, “The land where the Wei army is garrisoned is very fertile. Once they harvest a crop of rice there, their numbers will surely increase. If this goes on for a few years, Cao Cao will be hard to stop. We should get rid of them as soon as possible.”
So the Wu general made a report on these conditions to the king of Wu, who then personally went on the expedition against Cao Cao’s garrison. The Wu forces got there in a day and a night. The king asked his generals about strategy, and they all suggested making a high fortification, which they said could with effort be built rapidly.
But the leading Wu general said, “They have already fortified the city they occupy, and reinforcements are sure to be arriving, making it impossible to get at them. Now the rains are starting, and we should take this opportunity to attack; for if we stay a few days we will surely return exhausted, and the roads back will be difficult. I think that would be dangerous.
“Now as I see this city, it is not all that secure. If we attack it on four sides while our armed forces are at their keenest, the Wei occupation army can be thrown out in a short time, and we can get back home before the rivers swell. This is the way to complete victory.”
The king of Wu followed this advice. The Wu forces staged an all-out attack on the city and very soon overthrew the Wei occupation. The leader of the Wei reinforcements was on the road when he heard the news that the city had fallen, and he promptly withdrew on learning of Wei’s defeat.
As for the Wu general who had recommended this successful course of action, the king of Wu rewarded him for his achievement, making him military governor of the area.
Liu Ji said:
In warfare, the defender is the one who knows himself. If you know you have no reasonable chance of winning, then for the time being stay firmly on the defensive, waiting for a time when the adversary can be beaten. If you wait for the right time to attack, you will always win.
The rule is “Invincibility is a matter of defense” (Sun Tzu, The Art of War, “Formation”).
Around the middle of the second century B.C.E., during the reign of the fourth-generation emperor of the Han dynasty, seven states—Wu, Chu, and five others—rebelled against imperial authority and tried to secede from the empire. The emperor appointed one of his distinguished generals to lead the reprisals against the rebellious eastern states.
The general made a petition to the emperor, stating, “The armed forces of Chu are highly mobile and hard to fight. Let us cede the state of Liang to them and then cut off their supply routes. If we do this, we can stop them.”
The emperor agreed to this, and the general went out to join the army.
Right at that time, the Wu army was attacking the state of Liang, and the local government of Liang, in desperation, asked the imperial Han general for help.
But the general led his troops northeast to a walled city and took up a defensive position there. The king of Liang sent an emissary to plead with the imperial general, but the general kept to his ploy and did not go to the rescue.
Now the king of Liang sent an appeal to the emperor himself. The emperor ordered his general to rescue Liang, but the general did not obey the command; instead he fortified the city walls and refused to come out. In the meanwhile, he sent mounted commanders out to cut off the supply routes behind the armies of Wu and Chu.
When the armies of Wu and Chu ran low on supplies and were getting so hungry they wanted to go home, they tried to provoke the imperial general into a fight several times. The general, however, never came out.
One night there was a fearful commotion in the camp of the imperial general, as fighting started. The fighting spread to the skirts of the general’s tent, but he lay there stoically and would not get up. After a while the disturbance died down.
The Wu army rushed the southeast corner of the city, so the imperial general had defenses built up on the northwest perimeter. Before long the Wu army did in fact rush the northwest wall, but they could not get in.
Now the armies of Wu and Chu were starving, so they withdrew and started back to their homelands. At this point the imperial general sent his best soldiers out to run them down, and his men routed the troops of Wu and Chu.
The king of Chu abandoned his armed forces and ran away with a few thousand bodyguards to hole up south of the Long River. The army of the Han empire now took advantage of this victory to chase the Chu armies down and catch them all, conquering the territories of Chu.
The imperial general of the Han sent out an order, saying, “Anyone who gets the king of Wu will be given a reward of a thousand pieces of gold.”
In little more than a month, a man of Yue, a state neighboring Wu, showed up with the head of the king of Wu.
The whole civil war had taken seven months; Wu and Chu were completely pacified.
Liu Ji said:
In war, when adversaries are orderly in their movements and are at their sharpest, it is not yet time to fight with them; it is best to fortify your position and wait. Watch for their energy to wane after being on alert for a long time; then rise and strike them. You will not fail to win.
The rule is “Delay until others wane” (“Zuo Family Tradition on the Spring and Autumn Annals”).
In the early days of the Tang dynasty (618–905), the founder of the dynasty campaigned against a warlord who had taken over territorial rule at the end of the preceding Sui dynasty (588–618). When the Tang founder surrounded the warlord in the ancient eastern capital, the leader of a concurrent peasant rebellion brought his whole following to rescue the Sui warlord. The Tang founder, however, blocked the peasant army at an outlying mountain pass called “Military Fastness.”
When the peasant army massed east of the river, stretching over miles, all the commanders in the Tang founder’s army looked frightened. The founder himself rode high up the mountain with a few horsemen to view the peasant army.
Seeing the masses, the founder of the Tang dynasty said, “This mob has never seen a major adversary, and now it is going through a narrow defile in a chaotic condition, without order in the army. The fact that they are massing near the city means they think lightly of us. I think that if our forces do not move, but wait for their spirits to wind down, after they have been in the field for a long time the fighters will get hungry and will surely withdraw on their own. If we then strike them as they are pulling out, we can surely overcome them.”
The peasant army stayed in battle formation from before dawn until after noon. The fighters got hungry and tired, and began looking around and fighting over food and drink.
Now the Tang founder had one of his commanders lead three hundred mounted warriors south to gallop past the western flank of the mob, giving these instructions: “If the mob doesn’t stir when you charge past, stop and come back. If you sense them stirring, turn and charge east.”
When the horsemen galloped past, the peasants did stir, and the Tang founder gave the word to attack. They charged down the mountainside into the valley, following the valley east and attacking the insurgents from behind.
The leader of the peasants, once a military officer, led his fighters away, but before they could regroup, the Tang founder struck them with light mounted troops, mowing them down wherever they went. The mob scattered to the four winds, and their leader was captured alive, only to be killed later in the capital city of the new Tang empire, in the year 621.
Liu Ji said:
In warfare, if you are void of power, you feign the appearance of fullness in such a way the enemies cannot tell how empty or powerful you really are. Then they will be hesitant to engage you in battle, and you can keep your forces intact.
The rule is “When opponents are unwilling to fight with you, it is because they think it is contrary to their interests, or because you have misled them into thinking so” (Sun Tzu, The Art of War, “Emptiness and Fullness,” Liu Ji’s own paraphrase).
During the era of the Three Kingdoms, when Zhuge Liang, general of the kingdom of Shu, was stationed at one of the most critical strategic passes on the border of the kingdom of Wei, he was left alone to guard the fortress with ten thousand troops when the other Shu generals went south with their armies.
Now Sima Yi, general of the kingdom of Wei, led twenty thousand troops to attack Zhuge Liang. When they reached a point some twenty miles from the Shu outpost, Sima Yi sent scouts to reconnoiter. When the scouts returned, they reported that Zhuge Liang had little manpower in the citadel.
Meanwhile, Zhuge Liang also knew of the imminent arrival of the Wei army; he feared he might be hard pressed and wanted to recall one of the other Shu generals, who had left earlier with his troops. They were already too far away, however, and there was nothing they could do to help.
Now the defending Shu commanders and officers paled in fear, for none of them knew what to do. Zhuge Liang, however, remained composed. He ordered his soldiers to take down the banners, put away the war drums, and stay inside as much as possible. He also had all the gates of the walled city opened and the streets cleaned.
Sima Yi, the Wei general, had thought that Zhuge Liang was being cautious; and now that he saw this apparent weakness, he suspected that there were ambushers lying in wait. So he led his troops back up into the mountains to the north.
The next day at mealtime, Zhuge Liang was laughing with his assistants, saying, “No doubt Sima Yi thought I was only feigning weakness and must have had ambushers hidden, so he ran off through the mountains!”
Liu Ji said:
In warfare, if your opponents are full of power, be well prepared and they will not readily make any moves.
The rule is “When they are fulfilled, be prepared against them” (Sun Tzu, The Art of War, “Strategic Assessments”).
In the early days of the era of the Three Kingdoms, when the first ruler of the kingdom of Shu originally established himself as a local king of a part of the region of Shu, he appointed a formidable warrior as forward general, handing him a ceremonial axe of authority. The same year the forward general garrisoned an army on the border of the kingdom of Wu; he also led a siege against the army of one of the generals of the kingdom of Wei.
Cao Cao, one of the leading warriors of Wei, sent a commander with some troops to rescue his brother general, now being besieged by the forward general of Shu. That autumn there were heavy rains, however, causing the Han River to flood, thus drowning the troops sent by Cao Cao. The chief commander of these troops surrendered to the forward general of Shu, and another of the Wei commanders was also captured.
Some dissident factions within the kingdom of Wei also accepted orders from the forward general of Shu and became his supporters. As a result, the power of the warrior of Shu shook all of China.
Liu Ji said:
Whenever you are going to fight with an enemy, you must measure the adversary carefully before you send out armed forces. If you sally forth recklessly and fight without a plan, you will surely be defeated by the enemy.
The rule is “The bold will readily clash, readily clash without knowing what is to their advantage” (Wu Qi, “On Generalship”).
During the Spring and Autumn era, the state of Jin fought a war with the state of Chu. The lord of Jin knew that the Chu general was short-tempered and impulsive; so he seized the Chu ambassador to anger the general.
Enraged, the Chu general did in fact attack the Jin army, and his forces were routed.
Liu Ji said:
Whenever you are at war, if the opponent’s general is stupid and inflexible, he can be lured with the prospect of gain. When the opponent is so greedy to get something that he is not mindful of danger, you can overcome him by ambush.
The rule is “Draw them in with the prospect of gain” (Sun Tzu, The Art of War, “Strategic Assessments”).
During the Spring and Autumn era, the state of Chu attacked the state of Jiao. One of the officials of Chu said, “Jiao is small but volatile. Being volatile, it is no doubt lacking in planning. Let us use unarmed men disguised as woodcutters for bait.”
This plan was followed, and the Jiao side captured thirty men. The next day men of Jiao came out to fight and chased the men of Chu into the mountains.
Now there were Chu people sitting on the northern perimeter of the citadel of Jiao, and others lying in wait in the mountains; so when the men of Jiao chased the Chu agents into the mountains, they ran into the ambush and suffered a heavy defeat.
Liu Ji said:
When you and your rivals are keeping to your respective borders, if rivals plunder your territory and thus disturb the populace in the outlying areas, you could set up ambushes at natural barriers, or you can construct artificial barriers against them, so that enemies will not readily try to invade.
The rule is “What discourages opponents from coming is the prospect of harm” (Sun Tzu, The Art of War, “Emptiness and Fullness”).
Around the beginning of the eighth century, when the illustrious Tang dynasty (618–905) was nearly a hundred years old, there was a problem between the Chinese empire and a Turkic people known in Chinese as the Tuque. At one point the general overseer of the north, an officer of the imperial Chinese organization, was beaten in a battle with the Turks. He then summoned a high minister of the Tang court to lead an attack against the Turks.
The marauding Turks had already left the immediate vicinity when the imperial minister arrived. He led his troops after them, and attacked their camp that very night, routing them.
At first the Turks and the North Army of Tang China had recognized the Yellow River as the boundary between their territories. On the north bank there was a place where the Turks would go to pray at their shrine each time they were going to raid Chinese territory to the south.
Now at this time one of the Turkic khans, who was eventually to be khan of all the Turks, made a sudden all-out attack on the western Turks. The Chinese minister-general who had come from court to lead the punitive expedition took advantage of this drain on the Turks to seize territory north of the river to build a defensive fortress. The Chinese called this fortress “Citadel of Accepting Surrender,” after the fortress built eight centuries earlier by the Han dynasty Chinese to stop the incursions of the Huns. This was the way the minister-general intended to stop the Turks from raiding Chinese territory to the south.
One of the Tang grandees objected that the line of defense against northern tribes was traditionally set south of the river, and if this citadel were built on the rangeland of the Turks, it would inevitably wind up in their hands. The minister-general, who had, after all, gone at the request of the general overseer of the north, insisted on having the fortress built, and the emperor of China finally gave his permission.
The minister-general proposed to keep the garrison troops there for a year to help with the work. Two hundred men ran away to go home, but the minister-general had them caught and killed at the wall of the fortress. The whole army shook in fear, and the draftees worked as hard as they could. As a result, three fortresses were built in sixty days.
The fortresses were over a hundred miles apart and bordered on the northern desert. The Chinese army opened up a hundred miles of territory and set up a watch post with eighteen hundred troops on a mountain further north.
From then on the Turks did not dare to come over the mountains to graze their horses, and there were no more yearly raids on the northern territories of Tang-dynasty China. Enormous expenditures were thus eliminated, and the garrison army was greatly reduced.
Liu Ji said:
When you battle with opponents, if you fall into a situation where there is danger of destruction, you should inspire your soldiers to fight to the death, for they will win if they forget about surviving.
The rule is “When warriors are in great danger, then they have no fear” (Sun Tzu, The Art of War, “Nine Grounds”).
The monumental Han dynasty of China lasted for more than four hundred years, with but a brief interruption in the middle, about two thousand years ago. During this hiatus after two centuries of the dynasty, a certain military commander set himself up as king of Shu in western China.
Now one of the loyalist generals of the Han dynasty invaded Shu to attack the warlord king. The Han loyalist overthrew a district of Shu, and all the fortresses in the area surrendered.
The emperor of China, however, warned the general, “There are over a hundred thousand troops in the capital of Shu, so it will not do to take them lightly. Just occupy the position you have taken; if they come to attack you, don’t fight with them. If they don’t come after you, then move your encampments up to pressure them. When they grow weary, then you may attack them.”
But the loyalist general didn’t listen to the emperor’s advice. Taking advantage of the gains he had already made, he personally led a cavalry over two hundred thousand strong to ride against the capital city of Shu.
When he came within a few miles of the walled city, the general set up camp on the north bank of the river. Then he had pontoon bridges made and sent another general to garrison about seven miles away, south of the river.
Now the emperor was alarmed. He upbraided the loyalist general in a letter, saying, “After all my instructions, how can you disobey me? Now you have entered deeply into enemy territory, and you have set up separate camps. Your two camps won’t be able to reach each other in an emergency. If the enemy sends a brigade to pin you down and attacks the other camp in force, once the others are defeated you will be beaten. Please take your army back to your stronghold.”
But before the imperial message had reached his general, the self-proclaimed king of Shu actually did send a hundred thousand soldiers to attack one camp of Han loyalists, and another hundred thousand soldiers to block the other camp, preventing the two generals of the Han dynasty from helping each other.
The forces of the first loyalist general staged a tremendous battle that lasted all day, but they got the worst of it and ran inside the walls of the city they had occupied. Now the army of the king of Shu surrounded them.
At this point the Han general called his commanders together and tried to rouse their spirits, speaking to them in these terms: “We have crossed the most rugged territory together and have fought our way over hundreds of miles, winning everywhere. Now we have penetrated deeply into enemy territory and are near the capital city. But we and our ally camp are both under siege, and we can’t join forces. It is hard to tell what might happen. I want to send an undercover force to join up with our ally camp south of the river. If we can cooperate with like minds, people will fight of their own accord, and much can be accomplished. Otherwise we will suffer a total loss. The chance to win or lose is in this one operation.”
The commanders agreed.
So they closed the camp and stayed inside for three days while they feasted the soldiers and fed the horses. Then they set up a lot of banners and flags, and kept the fires burning constantly, leading the horses out by night to join up with the other camp of Han dynasty loyalists.
Unaware of this, the Shu general led an attack south of the river the day after the two camps of Han loyalists had secretly joined together. The loyalists fought back with their whole force. The fighting continued from morning until evening, but the loyalists finally routed the Shu army and killed its two generals.
Now the imperial Han general led his troops back to his base of operations and left the other camp of loyalists there to oppose the self-proclaimed king of Shu himself. The general reported everything to the emperor, severely blaming himself for not having followed the emperor’s directions from the start.
The emperor replied, “You were quite right to return to your base of operations in Shu. The king of Shu will surely not dare to attack both you and the other loyalist army. If he attacks the others first, you send your whole infantry and cavalry at him from your base within Shu. When he finds he is in danger and at an impasse, you will surely beat him.”
Now the Han loyalist general did battle with the king of Shu on the ground between the Han outpost and the capital of Shu. They fought eight times, with the imperial Han loyalists winning all eight battles, finally driving the Shu army back behind the walls of the capital city.
At this point, the king of Shu himself led ten thousand men out of the city for an all-out battle. The Han general sent two huge contingents of elite troops to attack the Shu forces. The army of the king of Shu took a thrashing and ran away. One of the Han commanders, charging right into the fray, stabbed the king of Shu to death.
The next day the city capitulated. The head of the self-proclaimed king of Shu was chopped off and sent to the imperial capital of China. Thus ended the civil war in the region of Shu in the early days of the renewed Han dynasty, the so-called eastern or latter Han, which lasted for another two hundred years.
Liu Ji said:
Whenever you mobilize an army on a punitive expedition and penetrate deep into enemy territory, if you lack for provisions you will need to send troops out to plunder. If you take over enemy storehouses and stockpiles, using their supplies to feed your army, then you will win.
The rule is “By feeding off the enemy, you can be sufficient in both arms and provisions” (Sun Tzu, The Art of War, “Doing Battle”).
During the period of the Northern and Southern dynasties, a general of the northern Zhou dynasty led an army across the river to take the territory of the Chen dynasty in the south. One of the generals of the Chen dynasty led an army to strike the Zhou invaders.
It was autumn, and the rains caused the river to flood, cutting off supply routes. The men of Zhou were worried, but their general sent out troops to plunder what they needed for the army.
Now the Zhou general was afraid that the Chen general would realize he was short of supplies, so he had a large mound of earth raised in his camp and had the mound covered with grain, to make it look like a huge pile of grain. He then invited people from the local villages on the pretext of asking after their welfare; he let the villagers see the artificial grain pile and then sent them away.
As a result, the Chen general heard about the great heap of grain and thought it was real. The Zhou general also built more fortifications and set up barracks, showing that he was ready for a protracted campaign.
Now agriculture was ruined in that area, and the Chen general was at a loss. At first local people rode fast boats with supplies of grain for the Chen army, but the Zhou general devised a scheme to put a stop to this. He sent boats to the Chen army, boats that had been disguised to look like the supply boats of the local people, but which in reality concealed ambushers.
The Chen soldiers, seeing the boats coming down the river and thinking they carried food, plunged into the current in their eagerness. Instead the ambushers hidden in the boats captured them.
There were some dissidents in the Zhou army who defected to the Chen side, and the Chen general took them all in. The general of Zhou took a horse to a boat, then had someone in the boat whip it; he repeated this several times, until the horse learned to fear boats and would not board. Then he stationed some ambushers along the river bank, and sent a pretended defector to the Chen general, mounted on the horse that feared boats.
When the Chen general sent some men to greet the defector, they vied with each other to get the horse. But the horse took fright and wouldn’t board the boat with the soldiers; and in the commotion the Zhou ambushers rose from their hiding places along the riverbank and killed every one of the men sent by the Chen general.
Later, when real supply boats or real defectors came along, the Chen general feared it was another Zhou ambush and wouldn’t take them in. Thus there was a standoff for more than a year, and the Chen army was ultimately unable to stop the Zhou invaders.
Liu Ji said:
When enemies come from far away and their supplies do not last, then they are hungry while you are well fed. In such a situation you should strengthen your defenses and not engage in battle. Hold them at a standoff so long that they wear out. Cut off their supply routes. If they retreat, send bushwhackers after them under cover to attack them by surprise on their way home; then you will not fail to beat them.
The rule is “Standing your ground awaiting those far away, awaiting the weary in comfort, awaiting the hungry on full stomachs, is mastering strength” (Sun Tzu, The Art of War, “Armed Struggle”).
The Tang dynasty, during which China was a leader of world civilizations in the arts and sciences, lasted nearly three hundred years. It was formally established in the year 618, supplanting the Sui dynasty.
The Sui dynasty is distinguished for having unified China after the protracted civil wars of the era of the Northern and Southern dynasties. The heir of the founder of Sui, however, used his inherited power to undertake aggressive imperialist campaigns that alienated the people and brought the dynasty to a swift destruction. After the Sui collapsed, the warlord-administrators of the new empire, which had never been fully demilitarized, were foremost among those who scrambled for the power relinquished by the house of the Sui.
One of the Sui warlords continued to occupy a certain area even after the founding of the Tang dynasty had been formally proclaimed elsewhere. With the help of Central Asian Turks, the Sui warlord inflicted a series of defeats on the Tang armies. The warlord was so successful that he even sent one of his generals into Tang territory to expand his own bailiwick.
As a result, the founder of the Tang dynasty led an expedition against the Sui warlord in the year 619. The Tang warrior-prince, who established the dynasty and set his father on the throne, told his own generals, “The Sui warlord’s general is deep in our territory, along with all their elite troops and best commanders. It seems to me, however, that while their army is large, they must really be short of supplies, seeing as how they are plundering to sustain themselves. Their intention is to do battle quickly. We should strengthen our fortifications and wait for them to starve. We shouldn’t rush into a fight.”
The Tang forces followed the reasoning of their leader, strengthening their defenses while cutting off enemy supply lines. Eventually they starved out the Sui army.
Liu Ji said:
In warfare, if there is an advantageous position but the enemy has already occupied it, if you then head into battle there you will be fatigued and therefore suffer defeat at the hands of the enemy.
The rule is “Those who are first on the battlefield and await opponents are at ease; those who are last on the battlefield and head into battle get worn out” (Sun Tzu, The Art of War, “Emptiness and Fullness”).
After the civil wars of the Three Kingdoms period, the Jin dynasty was established, supplanting the victorious kingdom of Wei. The Jin dynasty lasted from 265 to 420, but it was challenged by a series of kingdoms ruled by non-Chinese peoples. These latter were called the Sixteen Kingdoms, and they were established by warlord-kings from among five Central Asian minorities who adopted elements of the cultures of East and South Asia in their rise to nationhood.
In the early fourth century, a high minister of the Jin dynasty sent an army of more than one hundred thousand troops to attack one of these kingdoms, which was ruled by a race of people known in Chinese as Jie, descendants of the ancient Xiongnu Huns.
The leader of the Jie intended to resist aggressively, but someone warned him, “The Chinese army is well trained and powerful; it is impossible to stand up to it. For now let us strengthen our defensive positions and thus ‘break their edge.’ There is a difference in the power of attack and the power of defense; if we remain on the defensive for now we will gain complete victory.”
But the Jie leader said, “The Chinese army has come from afar; the soldiers are physically exhausted and in a ragged and disorderly condition. We can beat them in one battle—how strong can they be? How can we let them go, when we have the opportunity to attack them before reinforcements arrive? If we draw back now and the Chinese take advantage of our withdrawal to attack us once our army is in motion, it will be every man for himself—then how can we fortify our defensive position? What you are recommending is a way to self-destruction without even a fight.”
And in the end the leader of the Jie killed the man who objected to aggressive defense against the Chinese.
Now the Jie warrior-king appointed a vanguard commander and ordered that any laggards be executed. He set up a dummy force on top of a hill, then stationed two ambush forces on either side. The warrior-king personally led a brigade to meet the Chinese in battle, and then pretended to flee.
The Chinese commander sent his men to chase the Jie warriors as they fled. Now hidden Jie ambushers rose up and attacked the pursuers. The Chinese were routed and had to retreat.
Liu Ji said:
When you defeat enemies in battle, it will not do to become haughty and rest on your laurels; you should be strictly prepared for adversaries at all times. Then even if enemies do attack, you will be ready and will not suffer harm.
The rule is “Once you have prevailed, be as if you had not” (“Sima’s Art of War”).
The brief but momentous Qin dynasty (246–207 B.C.E.) put an end to centuries of civil war and unified China for the first time in more than five hundred years. The founder of Qin supplanted the self-cannibalizing feudalism of ancient China with civil bureaucracy and rule of law, unifying both material and intellectual culture in China to an unprecedented degree. The Qin also expanded its influence beyond the realm of ancient China and established the first Chinese empire.
The second emperor, who did not have all of his father’s qualities, exhausted the new empire very rapidly with his imperial schemes. Thus there was intense discontent in many parts of China, and the Qin dynasty was overthrown in its second generation by widespread rebellions.
One of the leaders of a major peasant uprising sent two of his most powerful allies against strategic Qin positions, and they scored a series of victories over the imperial armies. As a result, the rebel leader began to take the Qin armies lightly, and he became somewhat haughty.
Someone advised the rebel leader, “Having prevailed in battle, if the commanders become haughty and the soldiers become lax, they will inevitably suffer defeat. Now your soldiers are getting a bit lazy, while the Qin forces grow by the day. I fear them for your sake.”
The rebel leader, however, would not listen. He sent this advisor as an emissary to another state. On the way, this emissary met an ambassador from that very state, and asked him if he were going to see the rebel leader.
When the ambassador replied in the affirmative, the emissary of the rebel leader said, “Our leader’s army is now headed for certain defeat; if you go slowly you will escape death, but if you go quickly you will meet disaster.”
As it turned out, the imperial Qin forces launched a total assault on the peasant army, inflicting a crushing defeat on the rebels. The leader of the uprising lost his life.
Liu Ji said:
When you are defeated by enemies in battle, do not fear. You should think of how to find benefit in having suffered harm: service your equipment, rouse your soldiers, and watch for the enemy to slack off so that you can attack. Then you will prevail.
The rule is “Through injury trouble can be resolved” (Sun Tzu, The Art of War, “Adaptations,” Liu Ji’s own paraphrase).
In the early fourth century, there took place the infamous “Riots of the Eight Kings,” civil wars among feudal kings of the Chinese empire under the Jin dynasty.
At one point, the king of Hojian sent one of his generals to attack the king of Changsha. The emperor of the Jin dynasty personally sent a force to oppose the Hojian army, but a division of Hojian guerrilla fighters broke through the imperial army. Then the Hojian army entered the ancient capital of China.
Now the emperor’s general, following orders, went after the Hojian army in the capital city. When the Hojian soldiers saw the imperial cavalcade in the distance, they began to have fears, and their commander could not stop them. Ultimately the demoralized Hojian forces suffered a crushing defeat, with the dead and wounded filling the streets.
The Hojian general retreated to an outlying position. Everyone was broken in spirit and had no more will to fight. Many of them urged the Hojian general to flee by night.
The general, however, responded, “It is a matter of course for there to be victory and defeat in a military action. What is important is to use failure to achieve success. We will press further forward and construct fortifications, then attack them when they least expect it. This is how to use surprise tactics in a military operation.”
So that very night the remaining Hojian forces advanced under cover to a position very near to the capital city. The leader of the imperial army, meanwhile, having just won a resounding victory, didn’t pay much attention to these maneuvers. But then when he suddenly heard that siege fortifications had been built outside the city, he led his troops out to fight. In the end, the imperial army was soundly beaten and had to retreat.
Liu Ji said:
In war, when you perceive a reasonable possibility of conquering the enemy, then it is appropriate to strike quickly. Then you can win every time.
The rule is “Proceed when you see it to be appropriate” (Wu Qi, “Assessing the Enemy”).
In the early days of the Tang dynasty, one of the leading Tang generals dealt a telling blow to the Turks. The Turkish khan fled to safety in the mountains, then sent an ambassador to the Tang court to apologize and request that the Chinese empire accept the fealty of the Turks.
The Tang court sent the same general to welcome the Turks. But while the khan outwardly sought to have his allegiance accepted, he still had doubts in his mind, and the Chinese general sensed this. Meanwhile, the Tang court also sent an ambassador to the Turks to reassure them.
Now the Chinese general said to one of his chief assistant commanders, “When our ambassador arrives, the Turks will surely feel secure. If we send out a cavalry to attack them now, we will surely gain our desire.”
The assistant commander said, “But the emperor has already accepted the Turks’ surrender, and our own ambassador will be among them—what about that?”
The general said, “This is an opportunity not to be lost—why hold back just to spare the ambassador’s life?”
Then the Chinese general quickly mobilized his troops and set out to ride on the Turks. They encountered over a thousand Turkish scouts on the way and took them all captive.
When the Turkish khan saw the ambassador of the imperial Tang court, he was very happy and did not worry about the Chinese army. The Chinese vanguard, meanwhile, took advantage of fog to advance, and the khan was not aware of their imminent attack until they were just a few miles away.
The Turks had not even had enough time to array their battle lines when the Chinese army struck them. The Chinese beheaded over ten thousand Turks and took more than a hundred thousand men and women captive, including the son of the khan himself.
The Chinese also caught and killed one of the princesses of the Sui dynasty, which had preceded the Tang as the ruling house of China. This princess had been actively encouraging the Turks to attack the Tang Chinese, hoping thereby to reestablish the Sui dynasty.
The Turkish khan fled, but he was subsequently captured and presented to the Tang court. Now Chinese territory was expanded all the way to the great desert.
Liu Ji said:
In warfare, when your encampments and those of your enemies are far apart and your forces are of equal strength, you may send out light cavalry to provoke them, waiting in ambush for them to respond. By these tactics, their armies can be beaten. If enemies try the same strategy on you, don’t attack them with your whole army.
The rule is “When the enemy is far away but tries to provoke hostilities, he wants you to move forward” (Sun Tzu, The Art of War, “Maneuvering Armies”).
Concurrent with the Chinese Jin dynasty (third to fifth centuries) were sixteen kingdoms ruled by five different Central Asian peoples. These kingdoms included former Chinese territory within their domains and adopted certain elements of Chinese culture. This story concerns a conflict between two of these kingdoms, one under the leadership of the Qiang, ancient relatives of the modern Tibetans, and the Di, another ancient people who became increasingly Sinicized during the Jin dynasty.
The Di ruler sent two of his generals with infantry and cavalry to attack the Qiang, who were occupying a walled city in northern China. The Qiang, however, responded to this provocation by simply strengthening the city’s fortifications, refusing to come out and fight.
One of the Qiang generals said, “The Di commander is a stubborn and inflexible man, easy to annoy. If we send a long line of troops to apply direct pressure to his defensive position, he will surely get angry and come out to oppose us. We can take him in one battle.”
The other generals agreed, so they sent three thousand Qiang horsemen and soldiers to the very threshold of the Di encampment. The leader of the Di was infuriated and sent all of his best troops out to fight.
The Qiang brigade pretended to be overwhelmed and withdrew, with the Di in hot pursuit. Just as the Di overtook the Qiang, the Qiang turned around and lashed back. Now the main Qiang force also arrived, and there was a tremendous battle. The Qiang killed the Di commander and took all of his troops prisoner.
Liu Ji said:
The general rule for besieging walled cities is that it is to be considered the tactic of last resort, to be done only when there is no other choice. Even if the city walls are high and the moats are deep, if there are many men defending it but few supplies and no reinforcements from outside, then it can be taken by stranglehold.
The rule is “Move slowly as a forest” (Sun Tzu, The Art of War, “Armed Struggle”).
During the era of the Sixteen Kingdoms, the Early Yan dynasty was established by a leader of the Xianbei people in the year 337. At one point in this turbulent period, the king of Yan found it necessary to fight the self-proclaimed king of Qi, a warlord who had inherited his father’s army and pledged fealty to Jindynasty China to the east. After proclaiming himself king of Qi, as a vassal of China the warlord-king made war on the Xianbei kingdom of Early Yan.
The Yan forces surrounded the king of Qi in a walled city in northern China. The Yan commanders wanted to attack the city as soon as possible, but their general said, “There are times when it is best to go slowly. If we are equal in power, but they have strong reinforcements outside, there is the possibility that we may get pinned between them, having trouble in front of us and behind us. In that case, if we were going to attack it would have to be done quickly.
“On the other hand, if we are stronger than they are, and they have no outside reinforcements, we should keep a stranglehold on them until they cave in. This is what The Art of War means when it says, ‘Surround them if you have ten times their number, attack if you have five.’
“Now the army of the king of Qi is large, morale is still good, and they are occupying a secure citadel. If we all put forth every last bit of strength and attacked them with the greatest possible intensity, we could take the city in a month or two; but we would surely lose many of our soldiers.
“The essential thing is to be able to adapt.”
So saying, the Yan general had a wall of bunkers built to keep watch over the city, until the Yan army finally strangled the stronghold and took it.
Liu Ji said:
When you besiege a city, if the enemy has abundant supplies, few men, and outside reinforcements, it is imperative to attack quickly in order to win.
The rule is “In a military operation, extraordinary speed is valuable” (Records of the Three Kingdoms).
During the era of the Three Kingdoms, when factions of the regions of Wei, Shu, and Wu competed for hegemony over the remains of the Chinese empire after the fall of the Han dynasty, at one point a general of Shu defected to Wei and was subsequently made military governor of an area called “New City.” Before long, however, the new governor established relations with the kingdom of Wu and transferred his allegiance back to Shu, rebelling against Wei.
Now Sima Yi, a leading general of Wei, sent a secret military force to strike the traitor. His commanders said, “Now that he is connected with Shu, we should observe from a distance before making our move.” But the Wei general replied, “He is unreliable and lacks a sense of duty. This is a time when loyalties are in doubt, and we should hasten to resolve matters before he has settled down.”
So the Wei troops traveled by forced marches day and night to arrive at the outskirts of New City. Both Wu and Shu sent reinforcements to help the defector, so the Wei general divided his forces to resist them.
At the outset of these events, the defector had written to the chief strategist of Shu, “New City is so far away from the center of Wei that I will have my fortifications all ready by the time the emperor in Wei is informed of my actions. My commanders are well prepared, and my location is protected by natural barriers. The great general of Wei will surely not come himself, and even if his commanders come they cannot trouble me.”
But then when the Wei force arrived, the defector informed the Shu strategist, expressing his surprise: “It has only been eight days since I made my move, and the Wei army is already at the city wall. How extraordinarily swift they are!”
There was an outlying citadel surrounded on three sides by water, and the defector had a wooden barricade built outside for extra protection. The Wei troops, however, crossed the water and smashed the barricade, pressing right up to the city walls.
On the tenth day, several of the defector’s own men assassinated him and opened the gates of the city, surrendering to the kingdom of Wei.
Liu Ji said:
In warfare, if the enemy’s ranks are orderly on the move and the soldiers are calm, it will not do to enter into battle with them too readily. It is better to wait for a change or stir within them to strike; then you can win.
The rule is “Avoiding confrontation with orderly ranks and not attacking great formations is mastering adaptation” (Sun Tzu, The Art of War, “Armed Struggle”).
This story is related to the preceding story, about the general of the Three Kingdoms era who defected from Shu to Wei, became a military governor in outlying territory, then defected back to Shu but also had ties with Wu. At one point he even declared independence, with the diplomatic recognition of the king of Wu.
According to this story, the great Wei general Sima Yi launched his expedition against the seceding defector when this took place. His forces came in secret across the river and surrounded the citadel of the traitor, but then they left that city and headed for the heartland of the region.
The Wei commanders said, “Surrounding the citadel without laying siege to it was not a good example to show the warriors.”
The Wei general said, “The rebels are securely entrenched and want to take advantage of that to tire our army. If we besiege the city, we will be falling right into their trap. The rebels are massed here, so their homes are empty; if we head right for the local heartland, the people will be afraid. If they come to fight in fear, we are sure to beat them.”
So the Wei army marched through in orderly ranks. When the secessionists saw the army, they came out after it and did actually try to face it. Then the Wei general had its own soldiers strike back at them, routing the rebels.
Liu Ji said:
Generals wage war through the armed forces, the armed forces fight by energy. Energy prevails when it is drummed up. If you can energize your troops, don’t do it too frequently, otherwise their energy will easily wane. Don’t do it at too great a distance either, otherwise their energy will be easily exhausted. You should drum up the energy of your soldiers when enemies are within a calculated critical distance, having your troops fight at close range. When enemies wane and you prevail, victory over them is assured.
The rule is “Fight when full of energy, flee when drained of energy” (Wei Liaozi, “Rigor of War”).
During the Spring and Autumn era, the state of Qi attacked the state of Lu. The lord of Lu was about to go to battle when one of his warriors asked to accompany him. So the lord and the warrior rode to the battlefield in the same chariot.
Now the lord of Lu was about to give the signal for the war drums to stir up the soldiers, but the warrior said, “Not yet.” Then when the men of Qi had drummed three times, the warrior told the lord of Lu, “Now!”
The Qi army was defeated, and the lord of Lu asked the warrior how this had come about. The warrior replied, “Bravery in battle is a matter of energy. Once energy is drummed up, a second try makes it wane, and it disappears at the third. They were exhausted while we were full, so we overcame them.”
This story was later told as a classic case of the weaker successfully opposing the stronger through mastery of energy.
Liu Ji said:
When you clash with enemies, if they withdraw and head home for no apparent reason, it is imperative to observe them carefully. If they are in fact exhausted and out of supplies, you can send commandos after them; but if they are an expedition on the way home, you cannot stand in their way.
The rule is “Do not stop an army on its way home” (Sun Tzu, The Art of War, “Armed Struggle”).
In the year 198, near the end of the Han dynasty, the warlord Cao Cao, who was to become one of the most powerful competitors for the remains of the Han empire, had one of his rivals surrounded when another rival sent reinforcements to oppose him. The reinforcements took up a position behind Cao Cao, guarding the passes through the mountains to cut off his way back.
Cao Cao’s army couldn’t go forward, and now it had enemies before and behind it. That night Cao Cao’s men tunneled through the defiles to give the appearance that they were trying to get away. In reality they lay in ambush, waiting for the enemies to come in pursuit.
Cao Cao’s rival came after him with his entire army, and Cao Cao’s soldiers destroyed it in a surprise attack. Later Cao Cao told one of his advisors, “The enemy tried to ‘stop an army on its way home,’ and also fought with us on ‘deadly ground,’ so I knew we would win.”
Liu Ji said:
Whenever you pursue people on the run, chasing beaten soldiers, you must make sure whether they are really fleeing or just feigning. If their signals are coordinated and their orders are uniformly carried out, even if they are running away in apparent confusion and chaos they are not defeated. They surely have plans for surprise attacks, so you must take this into consideration.
If, on the other hand, their signals are disorderly and uncoordinated, if all sorts of different orders and directives are hollered and shouted, then this is the real fearfulness that is felt in defeat. In such a case you may pursue them vigorously.
The rule is “When you pursue people on the run, do not desist; but if the enemy stops on the road, then think twice” (“Sima’s Art of War,” “Deploying Groups”).
In the year 618, the founder of the newly declared Tang dynasty moved against one of the last warlords of the preceding Sui dynasty. One of the Sui warlord’s generals, opposing the Tang founder, was severely beaten and put to flight.
The Tang founder chased down the Sui survivors and surrounded them. Many of the Sui commanders surrendered right then and there on the battlefield. The Tang founder gave them back their horses and let them go.
Moments later, each of the Sui commanders came riding back. Now the Tang founder knew the real condition of the Sui warlord. As the leader of the new dynasty advanced his troops to close in, he sent a diplomat to the warlord to explain the advantages of capitulation and the risks of resistance. The warlord finally surrendered.
The generals of the young Tang founder congratulated him, and took the opportunity to ask, “When you had the enemy on the run, you left your infantry and rode right up to the city ramparts without even taking any siege equipment. We were all in doubt as to whether we could take the city, yet you did—how?”
The Tang founder said, “The men under the command of the Sui warlord’s general are all outsiders, people from a completely different region. Although our army beat them, we didn’t kill or capture too many. If we gave them time, they would all go into the city, where the warlord would take them in and treat them as his own—then they would not be easy to overcome. I knew that if we pressured them, the soldiers would all run away back to their homeland, leaving no one here to fight for the warlord.
“The warlord’s spirit is broken with mortal terror; that is why he surrendered, out of fear.”
Liu Ji said:
When opponents in warfare outnumber you, or they are more powerful than you are, or when you are at a tactical disadvantage, or when they have come from far away but still have supplies, in any of these cases it will not do to fight with them. It is best to fortify your defenses and hold them off long enough to wear them down to the point of vulnerability.
The rule is “It is up to you not to fight” (“Dialogues of Li, Lord of Wei”).
In the early years of the Tang dynasty, the founder of the new regime led an army against one of the warlords of the defunct Sui dynasty, a warlord who had joined forces with the Turks against the Tang armies.
One of the founder’s cousins, a young man of seventeen who was later to be a minister of state, went with the Tang army. The two young men—the founder himself being only slightly older than his cousin—climbed the citadel of Gem Wall City, overlooking a deep valley, to observe the battle lines of the rebels.
The Tang founder looked at his cousin and said, “The rebels are coming to face me in battle counting on their numbers. What do you think?”
The younger warrior replied, “The thrust of this band of rebels is not to be met directly. They will be easy to foil by strategy, hard to contend with by strength. Let us secure our position so as to blunt their edge. They are a rag-tag mob and cannot last long. When their supplies start to run out, they will disperse by themselves. We can capture them without even fighting.”
The Tang founder said, “Your perception accords with mine.”
As it turned out, the Sui fighters fled by night when their food ran out. The Tang army chased them into the next country and put them to flight in one skirmish.
Liu Ji said:
When you are at war with strong enemies, at first their energy is keen, while your momentum is weak, so it is hard to hold them off. Avoid them for the time being, and you can prevail.
The rule is “Avoid the keen energy, strike the slumping and receding” (Sun Tzu, The Art of War, “Armed Struggle”).
In the year 189, one of the generals of the imperial armies of the Han dynasty was sent out to quell a group of dissidents who tried to secede from the empire. The secessionists had surrounded a walled city, and the general was appointed to put down their insurrection.
An imperial minister noted for his violent and cruel personality urged the general to proceed quickly, but the general said, “Even supposing victory in every battle, it is still better to win without fighting. Therefore Master Sun says in The Art of War, ‘Skillful warriors first make themselves invincible, then watch for vulnerability in their opponents.’
“Now the city that the rebels have surrounded may be small, but it is well fortified and not easily taken. The secessionists have been making a powerful attack, yet the city has not fallen; so they must be tired. To strike them when they are fatigued is the way to complete victory.”
The siege went on, but the city did not fall; completely worn out, at length the rebel army disbanded. Now the imperial forces went after them.
At this point, the imperial minister advised the general, “As Master Sun says in The Art of War, ‘Do not press a desperate enemy,’ and ‘do not stop an army on its way home.”’
The general refused to listen to the minister and went in pursuit of the rebels on his own initiative, delivering a crushing blow.
Liu Ji said:
Whenever you surround enemies, you should leave an opening to make it appear to them that there is a way to survive, thus causing them to relax their determination to fight. Thus can citadels be taken and armies be beaten.
The rule is “A surrounded army must be given a way out” (Sun Tzu, The Art of War, “Armed Struggle”).
In the last days of the Han dynasty, the warlord Cao Cao surrounded a certain city. Enraged when the city refused to capitulate, Cao Cao swore, “When the city falls, we will bury everyone in it alive!”
The siege went on for days, but the defenders of the city still did not give up. Now Cao Cao’s brother said to him, “A surrounded city must be shown a way out, a way to survival. Now that you have announced your intention to bury everyone alive, this has caused all the people to defend it for their own sakes. What is more, the city walls are strong and their supplies are abundant. As we besiege the city, our soldiers are being wounded; and time is dragging on as they hold out. Now we have stationed our troops outside a well-fortified city and are attacking enemies who will fight to the death—this is not good strategy.”
So Cao Cao followed his brother’s advice, and in this way he finally captured the city.
Liu Ji said:
In war, if enemies come to surrender, it is imperative to see whether or not their intention is genuine. Observe them and keep on guard at all times. Give your commanders strict directions to keep the troops in a state of readiness. Then you will prevail.
The rule is “Accept a surrender as you would take on an opponent” (“Book of the Latter Han Dynasty”).
In 197, the warlord Cao Cao attacked one of his rivals, who surrendered to him. After that, however, the conquered rival attacked Cao Cao out of spite, killing Cao Cao’s nephew and eldest son. Cao Cao himself was struck by a stray arrow during the assault.
Now Cao Cao moved his troops. His rival came with a cavalry to raid Cao Cao’s army, but Cao Cao beat him back. Finally this rival ran away to join another warlord.
Cao Cao said to his commanders, “When I overcame this rival of mine, my mistake was not to take hostages right away. See what has happened as a result and do not make the same mistake again.”
Liu Ji said:
Essential to generalship is to share the pleasures and pains of the troops. If you encounter danger, do not abandon the troops to save yourself, do not seek personal escape from difficulties confronting you. Rather, make every effort to protect the troops, sharing in their fate. If you do this, the soldiers will not forget you.
The rule is “When you see danger and difficulty, do not forget the troops” (“Sima’s Art of War”).
During the era of the Three Kingdoms, when the warlord Cao Cao of Wei returned from his expedition against the king of Wu, he left a garrison of about seven thousand troops under three of his commanders. Cao Cao himself now went on an expedition against the leader of a semireligious popular militia, leaving the garrison chief with sealed instructions. On the outside of the instructions was written, “Open this if the enemy comes.”
Before long, the king of Wu brought his troops to surround the Wei garrison. So the instructions of Cao Cao were opened and found to say, “If the king of Wu comes, let two of our commanders go out to engage him in battle; let one commander stay in the citadel to defend it. The garrison chief is not to fight.”
Most of the Wei troop leaders were in doubt about these instructions, but one of the top commanders said, “With Cao Cao away on an expedition, the enemy is certain to beat us. This is why Cao Cao left those instructions. If we strike back at the Wu troops before they close in on us, breaking the force of their momentum, then we can calm the minds of our troops. Once that is accomplished, we can hold the citadel. The potential for victory or defeat is in this one action—how can any of you doubt it?”
That night the Wei commander called for volunteers to go with him. Eight hundred soldiers came forward. He killed some cattle to provide them with a hearty feast, for the next day there would be a major battle.
At dawn, the Wei commander put on his armor and went out to fight. He plunged first into the enemy battle line, killing dozens of men and cutting down two of their leaders. Shouting his name, the Wei commander crashed into enemy lines, fighting his way to the king of Wu.
With the Wei commander cutting his way toward him through the warriors of Wu, the king was terrified. Not knowing what to do, he and his bodyguards ran to high ground, the king defending himself with a halberd. The warrior commander of Wei called to the king of Wu to come down, but the king did not dare to move. Then the king regrouped his soldiers and surrounded the Wei commander.
The Wei commander struck at the surrounding Wu soldiers left and right, then charged straight ahead and broke through, so that he and several dozen of his men were able to get out.
Now the rest of the surrounded Wei force shouted to their commander, “Are you going to abandon us?” The commander then broke back in through the surrounding Wu soldiers and got his men out. None of the Wu fighters could stand up to the warrior of Wei.
The battle went on from morning until midday, until the men of Wu lost their spirit. Then the Wei troops went back to the citadel to fortify their defenses. Now everyone calmed down and gladly obeyed the Wei command.
When the king of Wu besieged the citadel, he continued his attack for ten days without success. Finally he withdrew. The Wei commander gave chase and nearly captured the king of Wu himself.
Liu Ji said:
The rule of offensive warfare is that those who go the easy way prevail over their opponents. If your enemies are garrisoned in several places, there will inevitably be some places stronger and better manned than others. In that case, you should keep your distance from their strong points and attack their weak points; avoid places where they have many troops and strike where they have few—then you will not fail to win.
The rule is “Good warriors prevail when it is easy to prevail” (Sun Tzu, The Art of War, “Formation”).
In the latter part of the sixth century, northern China was under the rule of the Xianbei, a northern Asian people culturally and politically influenced by centuries of contact with Chinese civilization. Two kingdoms formed by Xianbei leaders, the Northern Zhou dynasty and the Northern Qi dynasty, fought with each other to expand their territories.
The Martial Emperor of Zhou attacked a certain province of Qi, but one of his ministers said, “That province is a critical strategic area, where elite troops are massed. Even if we besiege it with all of our might it may not be possible for us to get our way. Let us attack another area, where there are few warriors and gentle terrain, a place that will be easy to take over.”
The Martial Emperor refused to listen to this advice, and ultimately failed to succeed in his undertaking.
Liu Ji said:
In war, if you greatly outnumber your enemies, they will fear your military strength and flee without putting up a fight. In such an event, do not chase them, for people will fight back in extremity. You should follow them slowly with an orderly army; then you will win.
The rule is “Do not press a desperate enemy” (Sun Tzu, The Art of War, “Armed Struggle”).
In the first century B.C.E., during the Han dynasty, a Chinese imperial general moved against one of the tribes of the Qiang, an ancient relative of the modern Tibetan people. The Han general led his army up to the campgrounds of the Qiang, where they had been stationed for quite some time.
The tribal warriors, in fact, had been garrisoned there for so long that they had grown slack. Thus when they saw the huge Chinese army in the distance, they abandoned their equipment and ran away, intending to cross the river that formed a natural boundary to the area.
The road was narrow and cramped, and the Chinese general pursued the fleeing Qiang at a leisurely pace. Someone said to him, “We are going too slowly to follow up on our advantage.” But the general replied, “This is a case where ‘a desperate enemy is not to be pressed.’ If we go easy, they will run without looking back; but if we rush them, they will turn around and fight to the death.”
All of the officers of the imperial Chinese army agreed with the general.
When the Qiang tribesmen plunged into the river, hundreds of them drowned and the rest ran away.
Liu Ji said:
When you want to raise an army and mobilize it against criminals in order to give comfort to the people, it is imperative to do so according to natural timing. You will always win when you mobilize military forces against enemies under the following conditions: their leadership is benighted and their government policies are arbitrary; their armed forces are overbearing and their people are worn out; they drive out good and wise people; they judicially murder the innocent. Enemies like this can be beaten.
The rule is “You successfully carry out a punitive strike when you follow natural timing” (Sun Tzu, The Art of War, “Strategic Assessments,” commentaries; also in “Sima’s Art of War,” “Determining Ranks”).
The sixth-century Northern Qi dynasty was one of the short-lived reigns of the turbulent era of the Northern and Southern dynasties. It was founded by the younger brother of the assassinated king of Qi, a second-generation vassal of the Wei dynasty, which was a non-Chinese empire that included northern China in its territory. The Northern Qi dynasty lasted for only twenty-eight years, with six rulers of three generations.
The last emperor of Northern Qi was popularly called “The Sorrowless Emperor.” He appointed dishonest and treacherous people to administer the rule of government and to sit on the board of his advisory council. All of these people had their own personal cliques, whose members thereby were given promotions that were out of order. Official posts were obtained by bribery, and people were oppressed and persecuted by arbitrary policies. There was also internecine conflict among the vassals, resulting in the judicial murder of innocent ministers.
The Martial Emperor of Northern Zhou (543–578) was also non-Chinese, a chieftan of the North Asian Xianbei people. Gradually seeing the signs that the Northern Qi dynasty was collapsing and going under, as soon as he saw its basis crumble like a landslide he took this opportunity to destroy it. The last emperor of Northern Qi capitulated to Northern Zhou, and his whole clan was exterminated.
Liu Ji said:
When you are at war, if your army has suffered a setback, it is imperative to examine the physical and mental health of the soldiers. If they are healthy, then inspire them to fight; if they are run down and low in spirits, then nurture their health for the time being, until they are again fit for service.
The rule is “Take care of your health and avoid stress, consolidate your energy and build up your strength” (Sun Tzu, The Art of War, “Nine Grounds”).
The First Emperor of China, who united China in the third century B.C.E., was the founder of the imperial Qin dynasty. At one point in his conquests he planned to attack the ancient land of Chu and asked one of his commanders, a certain General Li, “I want to take Chu—how many troops will be needed?”
General Li replied, “No more than two hundred thousand.”
Then the emperor put the same question to another commander, General Wang. General Wang said, “There have to be at least six hundred thousand.”
The emperor said to General Wang, “You must be getting old! How can you be so timid?” And he appointed General Li to lead an army of two hundred thousand troops in an attack on Chu.
General Wang, not having gotten the job, announced that he was ailing and went into temporary retirement.
Now General Li attacked Chu and dealt the independent state a crushing blow. Then he withdrew his troops to take up a position to the west; but the men of Chu followed him, not pitching camp for three successive days, and finally routed the Qin army, killing seven captains and putting General Li to flight.
Hearing news of this, the emperor was wroth. He personally went to General Wang and insisted that he return to active duty. General Wang said, “I am a muddled old man; if you insist on employing me for this mission, I will need six hundred thousand men.” This time the emperor agreed.
When the men of Chu heard of this, they mobilized all of their armed forces to resist the Qin army under General Wang. General Wang, however, just strengthened his fortifications and did not do battle. He gave his soldiers plenty of rest every day, allowing them to bathe and wash their clothing. He also fed them well and generally provided for their comfort, sharing in their lot.
After quite a while of this, General Wang asked if the soldiers were playing sports in camp. When he heard that they were, he declared, “Now they are fit for action!”
The men of Chu, unable to oppose the Qin army in battle, withdrew to the east. General Wang pursued them and struck them down, killing their leader and putting the soldiers of Chu to flight, achieving a settlement by military means.
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