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The Thirteen Factors of Strategy Generation According to Sun-zi
by Alexander Goldstein   
Rated "G" by the Author.
     
Last edited: Monday, March 14, 2016
Posted: Monday, January 26, 2015

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There are 13 integrated factors of a strategy generation and implementation composed by Sun-zi (540-485 BCE) in his famous "The Art of War" consisted of 13 chapters.

There are 13 integrated factors of a strategy generation and implementation composed by Sun-zi (540-485 BCE) in his famous “The Art of War”consisted of 13 chapters. All represented below 13 items are united into one logic thread associated with ‘li’ (力) translated as ‘strength,’ ‘power,’ ‘energy’ and ‘force.’ He who knows these items and in fighting (competition) puts his knowledge into practice will win his battles. He who knows them not, nor exercises them, will surely be defeated. These 13 items are:

(1) Victory (sheng; 勝), which is a strategy ultimate aim. To attain the aim, you need to have an appropriate material basis. The material basis is expressed through the idea of ‘li,’ strength, the quantity and/or quality of forces. As is said, “Success is never blamed,” meaning that the victors are not judged and the real power is at their hand. If fighting is sure to bring you a victory, then you must fight, even though the ruler (superior) forbids it; if fighting will not result in victory, then you must not fight even at the ruler's pragmatic sanction. However, it is that in a war the victorious fighter first works out his strategy of gaining a victory and only then seeks battle, whereas the defeatist fighter first fights and only afterwards looks for the way to win. Therefore, he, who first cares of his protection, gains final triumph indeed. On the contrary, he who adheres not to this order of thing nor acts upon it, will suffer defeat.

(2) Strength (li; 力), which is the earnest of winning; it is the material basis of achieving success. A worthy strategist never parts himself with this fundamental aspect, around which all activities take place. Since it is the central factor of strategy generation and its implementation, it can be considered as an absolute reference for all other components, which are divided into internal aspects and external. The internal ones concern profit (li) and regularity (dao), whereas the external include formation (xing) and capability (shi), which speak of quantity and quality of forces respectively. To carry out a strategy one has to rely on the commander-in-chief’s capacity and regularity of forces that can be realised only through adopting and following the natural ways of Heaven (timing) and Earth (terrain). As is said, “A military leader who makes one with Heaven’s will and Earth’s resources will surely succeed.” This is the way of economising one's strength.

(3) Profit (li; 利), which is the ulterior motive and driving force of one’s strengthening. A combination of power and profit leads to setting all forces in motion. On the other part, by holding out baits, a clever combatant keeps the enemy busy and on constant move; then with his vanguard he lies in ambush, waiting for his ‘prey’ to trap him. Hence, in the wise leader's plan, considerations of advantage and of disadvantage must be closely interwoven with each other in one single tangle. The whole tangle will show you what to do: when it is to your profit and advantage, move forward; when otherwise, halt still. As a superior, confront your men with a highly profitable objective to obtain but tell them nothing about all perils and difficulties on the way to it. Thus, you are only one who is thoroughly acquainted with the evils of war (tough competition) and who can profoundly understand the profitable way of carrying it on.

(4) Regularity (dao; 道), which is the orderliness and consolidation of one’s position from within. Any Classics on warfare have been composed in the context of five constant segments to be taken into account in one's strategic deliberations when seeking to determine the conditions obtaining in the field. These are: 1) regularity; 2) timing; 3) sorts of terrain; 4) generals; 5) warfare norms and discipline. What is called ‘regularity’ makes the people be in full accord with their superior’s intents so that they will follow him regardless of their lives and have no second thought. Sun-zi says: “Warfare is of vital importance to the state. It is a matter of life and death, a road either to safety or to ruin. Hence, it is a subject of inquiry which can on no account be neglected.”

(5) Formation (xing; 形), which is the external expression of strengthening, its quantity. A combination of strength and formation gives us a show of forces, which can be real and false, as Chinese stratagems no. 13, 15, 16, 24, 25, 29, 30, 32 suggest. Victorious advance of a multitude host is like the bursting of a thousand feet waterfall—this is how the army formation may be represented clearly. Each and every army has to simulate the image of water, the nature of which is to run its course away from high places and hasten downwards. Thus, in war, an army’s way is to avoid what is strong and strike at what is weak. Water threads its course according to the nature of a particular terrain over which it flows; armies work out their victory in regard to the enemies whom they are facing with. Therefore, just as water retains no constant shape and force, so in warfare there are no constant templates of capability (as there are different terms and conditions in every particular case). Thus, ability to discriminate between strength and weakness is designated by quantity of forces and army formation. All can see the visible forces which bring an army to having a victory. However, what none can see is the invisible strategy from which one’s victory is actually derived. He who is skilful at keeping the enemy constantly busy and always on move resorts to the quantity of forces, making the enemy follow his intents and act obediently. On the other hand, by learning to be invisible, we can hold the enemy’s fate in hand. By discovering the enemy's dispositions and remaining invisible ourselves, we can keep our forces concentrated while the enemy's must be dispersed. Upon reaching perfection of its formation, an army becomes invulnerable (‘invisible’). This means that it can be protected from penetration of the subtlest spies and from the crafty designs of the wisest strategists from the other rivals.

(6) Capability (shi; 勢), which is the external factor of strengthening expressed in some favourable conditions. It can be ‘a capability on move,’ ‘a capability at standing,’ as well as ‘the degree of potential’; capability for seizing the chance and, what’s more, a capability created by oneself that consists of one’s own strength plus the advantage of positioning; hence a high efficiency of one’s action that derives from individual approach. In other words, when able to attack, you must seem unable; when using your forces, you must seem inactive; when you are near, you must make the enemy believe you are far away; when far away, you must make him believe you are near. Hu Xue-yan, the second canonized entrepreneur in the whole history of China said: “Position defines profitability but not the other way round.” Then he added: “Fist and foremost one has to take a proper position, and a profit will come its way.” Therefore, avail yourself in any helpful circumstances around by taking a proper position for realising your capability. Showing off your alleged weakness, you thus give the enemy a bone and the latter has nothing to do, but pick it up, pursuing his profitable advantage. This is a chance for you to consolidate significantly your position, gaining the upper hand. It is the qualitative leap of forces by taking advantage of your powerful momentum and strength multiplication. As to capability, its advantages are ensured by pursuing resolutely your profitable aim, your final victory. In battle, the army capability cannot be taken more than by two ways of action—the direct and indirect; yet these two in combination give rise to an endless series of victorious moves. Due to the fact that all advantages derive from disadvantages and vice versa, we tend to believe that despite all difficulties the advantageous part of the tangle mentioned earlier will assist us in the accomplishment of our mission. Hence, ability to discriminate between fear and courage is defined by quality of forces and capability. As to the other part of the tangle, we always strive to seize an advantage in order to extricate ourselves from the death-trap of calamities. Capability of army is like the rush of a torrent which rolls huge stones along in its course. Capability may be likened to a pedestal on a lofty cliff for all to see or the bending of a crossbow whereas striking to the pulling of a trigger. Therefore, a good fighter takes into consideration all possible risks of his forces capability and promptness at striking for dividing the enemy formation into separate portions. A clever military leader, first of all, seeks the effect of his army’s capability by taking a proper disposition and does not require too much from his men’s capability. Hence, it gives him an opportunity to pick out the right men and proper disposition as he sees fit to particular circumstances. When he takes a proper disposition to realise his army capacity, his soldiers resemble the rolling logs or round stones. For it is the nature of a log or stone to remain motionless on level ground and to move when on a slope; therefore, positioning is the key word here. A capability taken by a clever troop leader is as the momentum of a round boulder rolled down a mountain thousands of feet in height, so clearly depicted in the graph ‘gui’ 詭. So much is on the subject of taking a capability as embodiment of the qualitative upgrading of one’s forces.

(7) Yielding (rou; 柔), which is the core of strategic thinking how to get power and gain final victory by means of ‘avoiding the opponent’s strong points and attacking on him at his weaknesses.’ How to make the best of both strong and weak? That is a question of involving the usage of surroundings. Whom the ancients named “the best fighter” is one who not only wins, but excels in winning at high yields: at minimal cost when one’s strength of only four ounces deflects a thousand pounds of the opponent’s efforts. Chinese way of yielding supposes that “sharp needle is wrapped with cotton.” Thus, one can pursue one’s direct aim by going a detour route. It proclaims the nature of water as an exemplary pattern of the successful strategy, putting the idea that ‘the soft and weak get over the hard and strong’ in the core of Chinese strategic way of thinking. According to Lao-zi, “the Dao’s using method consists in yielding while its driving motive consists in returning to inverse.” This means that a combination of one’s strength and ability to preserve it within leads to appropriate usage of all things under heaven. It can be likened to the image of a spring as an example of Chinese defensive-offensive transition. There are two functions at receiving the opponent’s attack: 1) to dissolve the enemy’s force; 2) to concentrate one’s own forces. Therefore, the yielding has a spring fighting effect. The archaic graph ‘rou’ (yielding) consists of three main parts: an arrow that crosses a curved stream canal and fire below it. (According to another version, there is an image of the tree (wood) instead of fire, the output of the water element.) That directed upwards arrow means ‘a direct target,’ which is a victory, while the image of the curved river canal denotes the using method of pursuing the ultimate aim by taking detour, which is the shortest out in practice. The fire/wood below intimates an initiative, that is, to stimulate one’s activity from within. There are also three points placed along the stream canal (two on the right side of the arrow and one on the self) to mark the main turns and curves as the phases of one’s progress in accord with the formula ‘victory – defeat – victory.’

(8) Measuring (du; 度), which is the central factor of strengthening, in respect of time (speed and duration), space (distances and territories), and human emotions. Let your rapidity be that of the wind, but your slowness as though you are in the very midst of the thick forest. In raiding and plundering be ruthless like fire but at stoppage like a mountain. Let your intents remain in the dark and impenetrable as though in the dead of night, and when you move be sudden like a thunderbolt to knock your opponent out. This is about a relative balance of forces and sense of measure and proportion and centeredness indeed: only from the central place you can measure precisely. Difficulties regarding precise correlation of forces consist in attaining the direct aim through a circuitous route and reaping a maximum profit by minimum costs. Precise correlation of forces is what can bring you super profit and, therefore, it is the most dangerous thing once you miscalculate it. For this simple reason, deliberate on a correlation of forces before you make a move. This is the way of taking the central position of the master of a situation. Hence, he will triumph who has first learnt the art of turning the indirect and lengthy into the direct and short. Such is the way of measuring or correlation of forces.

(9) Concentration (zhuan; 專), which is the way to mobilise one’s forces and, at the same time, disperse the enemy’s. This is also the way of unification of forces and taking leadership at the formed alliances. According to the military doctrine, ‘the strong conquers the weak.’ So, how can we put Lao-zi’s teaching that ‘the soft and weak get over the hard and strong’ into practice? The proper answer could be found out in ‘keeping our forces concentrated while the enemy's must be dispersed.’ To disperse the enemy, you must force him take up a defensive position and spend all his strengths at many spots. Let him be prepared in all respects to reach then the ground level. If he sends reinforcements everywhere, it means that everywhere he will be weak. But once you concentrate your efforts on one particular strong point of yours, you come to be able, as though by lever, to overturn the whole situation in your favour. This is how Lao-zi’s teaching works. It does not actually matter whether your troops are in numbers with the enemy’s or not; if not, it only means that no direct confrontation can be committed, nothing else. The real matter is your capability to concentrate all your available strength and disperse that of the enemy’s, keeping a close watch on him and estimating his real situation, as well as making recruits and obtaining reinforcements. Concentrate your energy and hoard your strength. Keep your army continually on the move and devise unfathomable clusters of stratagems. By discovering the enemy's dispositions and remaining invisible yourself, you can keep your forces concentrated while the enemy's must be dispersed. At that very moment, you have created conditions for effective attack. Don’t hesitate it, smash the opponent’s brains down! Striking to split the enemy formation is like the well-timed swoop of a falcon which enables it to seize its prey. You have to form a single united body while the enemy must be split up into many pieces. There will be wholly pitted against many separate parts of a whole, which means that you will be many to the enemy's few. The further you intrude into a country the greater will be the concentration of your troops, and thus the defenders will be in trouble to prevail against you.

(10) Knowledge/Foreknowledge (zhi/xian-zhi; 知/先知), which is the earnest of further successful operations. What enables the enlightened superior and skilful general to strike and conquer, achieving things beyond the reach of ordinary men, is foreknowledge. Hence Sun-zi’s famous saying: “If you know the enemy’s military devices and know those of yourself, you will be out of calamity in all your battles. If you think through your own strategy but not the enemy’s, for every gained victory you will also suffer a defeat. If you know neither the enemy’s capacity nor that of yourself, you will lose every single battle.” Hence, you cannot enter into alliances until you are acquainted with the designs of your neighbouring rulers; you are not fit to lead an army on the march unless you are familiar with the face of the country; you will be unable to turn natural advantage to account unless you make use of local guides. As is said, “A victory is so near and yet so far.” This means that knowing your way of gaining a victory does not ensure you superiority over the enemy. A leader who knows well the principles of warfare, once he puts his men in motion, they are never bewildered; once he hurls them into action, their morale is not exhausted to the bitter end. What’s more, a competent leader is the arbiter of the people's fate, the man on whom it depends on whether the nation shall be in peace or in peril. Therefore, there is no room for any cardinal (strategic) mistake. Another saying goes like this: “If you know the enemy and know yourself, your victory will not go away from you; if you know the natural ways of Heaven (correlation of timing) and Earth (correlation of terrain), you may make your victory complete at all points.”

(11) Innovation (qi; 奇), which is the most creative aspect of one’s strengthening. This is the way to appear where your opponent does not expect you and attack by surprise where he is not prepared. As it has been mentioned earlier, the norms of warfare suppose two main methods, yet these two in combination give rise to an endless series of victorious moves. These two are ‘zheng’ (the direct, straight and normal) and ‘qi’ (the indirect, strange and abnormal), which makes the spiritual segment of strengthening, bringing into play the effect of unexpectedness and surprise. In all combats, the direct manoeuvring may be used for deploying of the line, whereas indirect manoeuvring is needed in securing a victory; so, put dissimulation into your practice and you will succeed. Whether to concentrate or to divide your troops it must be decided according to constantly changeable circumstances. Taking a lengthy and circuitous route, you attain the direct and profitable aim; and though starting after the enemy, you contrive to reach the result before him, displaying your strategic knowledge of turning the indirect and lengthy into the direct and short. Offensive by surprise can be likened to a grindstone dashed against an egg—this is effected by the general’s skill in handling the ‘xu-shi’ doctrine, or ‘putting out one’s strong points against the enemy’s weak’ in full accord with the Mortar-pestle modelling (MPM). Therefore, a clever troop leader resorts to indirect tactics, the efficient application of which is inexhaustible, like Heaven-and-Earth, and unending as if the flow of the rivers into the ocean. That’s how the principle of ‘direct-indirect’ works for your success. The direct and indirect manoeuvres lead on to each other in turn like the sun and moon’s alternation, meaning the end of one and beginning of another phase. In the same manner, the four seasons come to change each other, passing away now to return then, describing a yearly circle. Who can exhaust the variation of their combinations? Only the changing itself.

(12) Changing (bian; 變), which is the motion of one’s strengthening. Ability to follow the enemy’s transformation is known as ‘the divine art of warfare,’ and which consists in one’s ability to remain unchangeable. This is the way to respond to a myriad changes around, it is the vital aspect of any progress. According to warfare norms, there are roads which must not be trodden; there are armies which must be not attacked; there are towns and walled cities which must not be besieged; there are regions and lands which must not be contested; there are commands of the superior which must not be obeyed. Therefore, the general, who can modify his victorious strategies with regard to his opponent's conditions and thereby succeed in winning, may be fairly named “a heaven-born captain” indeed.

(13) Initiative (zhi; 致), which is the motive of strengthening to bring the leading power back by gaining final winning. A clever combatant shows initiative and imposes his will on the enemy, but does not allow the enemy to take an initiative and impose his will back. In this regard, take an initiative and reduce ambitions of the hostile rulers from the neighbouring states by inflicting damage on them; make trouble for them and keep them constantly engaged. Hold out specious allurements and make them rush towards any given point you see fit. To do this, you should have your own course of running the civil and/or military affairs. This is about having the last word and return to the initial point to launch a new coil of progress.

As we can see, all the mentioned above items tell us about strengthening, which is the material base of each and every strategy generation and its implementation.


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Reviewed by Ronald Hull
Reviewed on January 27, 2015
Intense insight for so long ago, but I, "Ain't gonna study war no more."

Ron

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