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More Than 36 Stratagems: A Systematic Classification Based On Basic Behaviours
by Douglas S. Tung and Kenneth Tung
234 pages; quality trade paperback (softcover); catalogue #03-1044; ISBN 1-4120-0674-0; US$20.25, C$25.33, EUR16.45, £12.00
A concise and thought-provoking look at the replaying of ancient Chinese stratagems in recent military and political occurrences and anecdotes.
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about the book about the authors sample excerpts catalogue info
About the Book
A stratagem is a strategic plan that contains a trap or a ruse for the enemy.The Thirty-six Stratagems was a unique collection of the most cunning and subtle stratagems in the Chinese culture. Since there are hundreds of philosophical aphorisms and heroic exploits in Chinese history, and many of them have heavy content of strategic measures, obviously the number of stratagems is more than thirty-six.
A systematic classification of these stratagems based on basic behaviors can give more perspective to these strategic acts. The authors have identified twenty-eight basic behaviors in these stratagems, and forty-two stratagems to illustrate these behaviors as a way of thinking. For each stratagem, its theme, its source, a few illustrations from stories or events of Chinese origin or from other countries, and comments are presented. In the last chapter, the Sun Tze's teachings in The Art of War that might have indirectly influenced the stratagems are summarized.
About the Authors
Douglas S. Tung, BS(Oregon State), MBA(Sask) PhD(Brunel) worked as academic and business executive.
Kenneth Tung, BASc(Toronto) is working for Primerica Financial Services in Toronto, Canada.
Excerpts
Preface
The Thirty-Six Stratagems is a unique collection of ancient Chinese sayings that describe some of the most cunning and subtle stratagems. The origins of the book are unknown. Probably an unknown scholar compiled these stratagems in the late Ming or early Qing Dynasties (around the Fifteenth Century). It was called The Secret Art of War:The Thirty-six Stratagems. All modern versions of the Thirty-six Stratagems are derived from a tattered book discovered at a roadside vendor's stall in Szechwan in 1941. It turned out to be a reprint of the book dating back to the Fifteenth Century.
Many of these stratagems had their origins in events that occured during the Warring States Period (475-221 BC) and the Three Kingdoms Period (220-280) in China. These 36 stratagems were divided into six categories, depending on situation. They are: Stratagems for the stronger force; Stratagems for two equal forces; Stratagems for direct attack; Stratagems to confuse the enemy; Stratagems to gain ground; and Stratagems for desperate situations. This division is based on the hexagrams of the I-Ching (A hexagram being a grouping of six broken or unbroken lines). The I-Ching or "Book of Change" is an ancient Chinese divination manual and book of wisdom. However, this structure had a lot of flaws. Apparently the elements of I-Ching numerology were added at some time merely to create an aura of mystery and antiquity.
This book has four new features to retell these stratagems.
(1) So far all books whether written in Chinese or in translated versions of other languages follow this format. However, this structure does not provide a guide to the user when a stratagem is most appropriate, especially when a sequence of ploys has to be formulated as the scenario develops. In fact, a systematic approach to classify these stratagems according to the basic actions or behaviors of each stratagem can enable the readers to acquire a better perspective, especially in determining the right time to do the right things.
(2) For most of the stratagems, we can trace their sources which are usually the exploits of some of the Chinese famous generals, kings, emperors, philosophers, merchants and oridinary people. In addition, anecdotes of notable Chinese people in modern times, such as Empress Dowager Cixi, Generals Cao E, Chiang Kaishek, and Zhang Xueliang are included to both explain and offer examples of each stratagem's application. Further, for many of these stratagems, it is possible to relate the teachings of Sun Tze, author of The Art of War to them. As these stratagems offer timeless insights and without borders into the workings of human nature to maximise gain and to minimise loss, the exploits of famous strategists in the West, such as Napolean Bonaparte, Otto von Bismarck, Josef Stalin, Adolf Hitler, the Desert Fox and the Desert Rat are used to illustrate these stratagems. Further, recent anecdotes or events such as the accident at Chappaquiddick, the adventures of Ian Robert Maxwell, the presidential election of Corazon Aquino, Osama bin Ladin's video tapes in 2002 and the "Shock and Awe" air campaign in the War in Iraq 2003 are included.
(3) The number "36" denotes numerous was a practice in the Chinese olden time. Another meaning is that six multiplied by six equals thirty-six. Calculations produce tactics which in turn produce calculations. Each side is mutually dependent on the other. In fact, there are more than thirty-six stratagems that can be found from popular Chinese folklore, myths, stories and war strategy books. After careful investigations of the other stratagems, we have chosen six stratagems to add to the traditional thirty-six stratagems, making altogether forty-two stratagems in this presentation. The rationale for our choice is to find the best stratagems in illustrating the basic actions in the systematic framework depicting the process of formulating strategies as the scenario develops.
The added stratagems are:
(a) Avoid the important and dwell on the trivial.
(b) Beat somebody at his own game.
(c) Find the way in the dark by throwing a stone.
(d) Gain the initiative by striking first.
(e) Prod somebody into action.
(f) Shift the misfortune to somebody else by moving the corpse to his place.(4) Another feature of this book is the exercises provided, and they serve the purpose to enhance the conceptual understanding of these stratagems. Answers to odd-numbered exercises are provided. As an academic, Douglas thinks this feature is welcome by his colleagues who have included The Thirty-six Stratagems in the teaching materials for courses in Business Strategies or Military/Public Administrative Strategies.
Sample Sections
8.5 Action 22: To strike.
(I) To be effective to bring the opponent under control, the strategist, after having waited for the right moment, and prepared for action, he should launch the strike first in order to get control.
8.5.1 The stratagem is: Gain the initiative by striking first.* (Not explicitly included in the 36 Chinese stratagems.)
8.5.1.1 Theme.
Sun Tze said, "If one is on the offensive, he finds his forces sufficient all the time." (Chapter VI) To strike first is to offend. Being offensive, one has the advantage to make the enemy feel at loss as to where to put up defense. As he knows the place and time of a coming battle, he can make good preparations, even though his troops are currently miles away. He should plan the attacks against the enemy's weakest points to make them irresistible.
8.5.1.2 Source.
Xiang Liang practiced what he preached. In around 207 BC, when the Qin Dynasty was disintegrating, Chen Sheng and Wu Guang rose in revolt against the imperial rule. Yin Tong, Prefect of Guiji who would like to fish in the troubled waters sought the advice of Xiang Liang, a general of the former state of Chu (in the Warring States Period).
Xiang said, "There have been some armed anti-Qin uprisings in many locations. This is the best chance to overthrow the Qin Dynasty. I've been told that he who strikes first will be the winner, while the late comers will be the loser."
Yin said, "You're descendant of the famous military clan in the Chu State. Only you can lead the insurgent troops."
Xiang was ambitious to seize some territories and to become king himself. He took an opportunity to kill Yin, so as to take over all the counties in Guiji Prefecture. He announced to revolt against the Qin Dynasty.
This story is from Records of the Historian by Sima Qian (144-86 BC).
8.5.1.3 Illustrations.
(1) Empress Dowager Cixi determined to ban reforms. Emperor Guang Xu of the Qing Dynasty ruled during the period 1875-1908. During his reign, Empress Dowager Cixi (1835-1908) totally dominated the government and thereby prevented the young emperor from modernizing and reforming the deteriorating imperial system. As the nephew of Cixi, at the age of 4, he was chosen as the Emperor after the previous Emperor's death. Cixi adopted the boy as her son so that she could act as regent and dominate the government as she had done since 1861. Despite the opposition to breaking the sacred dynastic law of succession, Cixi managed to do it. In February 1875, the young prince ascended the throne, taking the reign name of Guang Xu.
Although the Emperor came of age in 1887, he had to wait two more years before taking over the government from Cixi, who continued to influence policies. In 1898, at the age of 27, he finally tried to assert himself. During what has come to be known as the "Hundred Days of Reform," he collected a group of progressively oriented officials around him and issued a broad series of reform edicts. Cixi was outraged and with the support of the conservative officials and the opportunist General Yuan Shikai, she carried out a coup d'etat on September 21, 1898, and deposed Guang Xu, placing him under house arrest for about 10 years. His supporters, for example, Kang Youwei and Liang Qichao left China and founded the group called the "Protect the Emperor Society" to work for a constitutional monarchy in China.
On November 14, 1908, Guang Xu died secretly, perhaps due to poisoning and Empress Dowager Cixi also died the next day. Before Cixi's death, she passed the throne to the emperor's three-year-old nephew, Henry Puyi who reigned as the Emperor Xuan Tong. This was Cixi's plot to prevent Guang Xu from retaking the throne and carrying out his reformation plans.
(2) The Munich Beer Hall Putsch in 1923. In 1918, the Armistice was signed which brought an end to the WWI and Germany surrendered unconditionally to the Allies. In the following year the leaders of the Allies met at Versailles to decide how Germany was to be treated. When the terms of the Treaty of Versailles were published in June most Germans were angry. When the war ended Adolf Hitler got a job working as a spy for the German Army. He was sent to a meeting of the German Workers Party in September 1919, which was led by Anton Drexler, who was very anti-Semitic. Hitler joined the party and became its leader in 1921.
Hitler wanted to attract as many people as possible to the party, so he changed the Party's name to the National Socialist German Workers Party. He hoped that the word "National" would attract nationalists who wanted to rebuild Germany after the WWI and the word "Socialist" would attract socialists who wanted to improve the lives of working people in Germany. In 1922-23, Germany had the hyperinflation problem, and many Germans found that their life-savings were lost. People who lived on pensions were in misery.
In 1922, Germany stopped paying reparations and the French and Belgian Armies invaded the Ruhr, the main industrial area of Germany. When the German workers went on strike they brought in their own workers and cut the area off from the rest of Germany. Hitler's party benefited by the reaction to this development, and exploited it by holding mass protest rallies despite a ban on such rallies by the local police.
The Bavarian government defied the Weimar Republic, accusing it of being too far left. Hitler endorsed the fall of the Weimar Republic, and declared at a public rally on October 30, 1923 that he was prepared to march on Berlin to rid the government of the Communists and the Jews. On November 8, 1923 Hitler led an attempt to take over the local Bavarian Government in Munich in an action that became known as the "Beer Hall Putsch." It began with kidnapping the Bavarian officials in the Buergerbraukeller beer hall in Munich and proclaiming a new regime using their names. The following day, he led 2000-armed brown shirts in an attempt to take over the Bavarian government. This putsch was resisted and put down by the police, after more than a dozen were killed in the fighting. Hitler was arrested, sentenced to five years in prison. He was released after obtaining a pardon in December 1924.
8.5.1.4 Comments.
When one is well prepared to seize favorable opportunities to initiate attack by striking first, he is sure to win. Xiang Liang practiced what he preached with Yin Tong. Empress Dowager Cixi determined to ban all political reform; therefore she initiated the coup d'etat that was a surprise to the Guang Xu and his reform supporters. When she knew that she was to die, she passed the throne to Guang Xu's three-year-old nephew, and poisoned Guang Xu to make a last blow to the reformers. She gained the initiative by striking first.
Up to November 1923, Hitler continued to build up the strength of the Nazi Party. During this time he planned to overthrow the German Weimer Republic by force. Therefore he led the attempt to take over the local Bavarian officials, known as the "Beer Hall Putsch". Though he failed in this act, yet he gathered much support for his future endeavor.
In early 2003, President George W. Bush of the U.S. determined to remove Saddam Hussein's regime in Iraq, so as to gain the initiative by striking first, instead of waiting for the terrorists to launch their attacks on U.S. interests round the world.
(II) When the opponent has a lot of supporters, it is best to capture their leader so as to facilitate the conquest.
8.5.2 The stratagem is: Defeat the enemy by capturing their chief.
8.5.2.1 Theme.
The most thorough way to dissolve the fighting capabilities of the enemy is to destroy the main force of its army, and to capture the commander. Even though there are brave soldiers still fighting in the fields, sooner or later, they will be vanquished. This theme comes from I-Ching that is the origin of Chinese thought. Growing out of early Chinese divination, it instructed emperors, priests and scholars on the advisability of anything from waging war to harvesting. It is a book in which divination and common wisdom is put together. The teachings of I-Ching spread to diverse arts such as face-reading, palmistry, fortune-telling and feng shui.
By winning battles, but without capturing the commander, complete victory cannot be proclaimed. When the chief is at large, possibly he is back to his hiding places. It is likely that he is coming back for revenge in the future. Thus, it is important that the chief of the enemy is also taken in captivity.
8.5.2.2 Source.
General Xhang Zin attempted to catch the rebel army's leader. It happened in the Tang Dynasty, when General An Lushan rebelled against the Emperor of Tang, Xuanzong (reigned 712-755) in 755. General Xhang Zin confronted with An's subordinate General Wan Ziki. Xhang led his army to break into Wan's camps. Wan's soldiers fled from the fields. The banners and flags were laid down on the ground. General Xhang had not seen Wan before, but he would like to capture the latter.
Xhang thought of a plan. He ordered his archers to use straws as arrows. Wan's soldiers thought that Xhang's archers ran out of arrows, and they ran to report this to Wan. Now Xhang discovered where Wan was. Xhang's assistant shot an arrow and blinded Wan's left eye. But Wan managed to slip away. General Xhang won the battle only.
The story is from Sin Tang Shu (New Standard History of the Tang Dynasty) compiled by Ouyang Xiu (1007-1072) and Xong Qi (998-1061) of Song Dynasty during the period (1044-1060).
8.5.2.3 Illustrations.
(1) The Germans rescued Mussolini for setting up a new Italian Socialist Republic. The landing of Allied forces in Sicily in July 1943 prompted the downfall of the Fascist Italian leader and Hitler's ally, Benito Mussolini. On July 24, 1943, the Italian Fascist Grand Council, which had not met since the war began, summoned Mussolini to a meeting at which King Victor Emmanuel was appointed in his stead as commander-in-chief of the Italian armed forces. The next day, the King dismissed Mussolini from all of his functions, had him arrested, and sent him to prison in an ambulance. Mussolini was imprisoned in the Grand Sasso Hotel on the Grand Sasso Plateau in the Abruzzi Mountains.
The Allied forces landed in Italy on September 2. Italy surrendered on September 8. From July 27 to September 12, the Italian Military Intelligence and German Intelligence Agents played cat and mouse in the German attempt to locate Mussolini. On September 12, Lt. Otto Skorzeny piloted a glider to Gran Sasso and rescued Mussolini. The latter was flown to Hitler's Headquarters in Rasterbury.
On September 23, Mussolini was then flown back to Northern Italy. He proclaimed Head of State of the new Italian Socialist Republic, with the capital at Salo. Mussolini would continue to promote his Fascist ideals and stated how he was let down by the Italian people. Mussolini ordered a revival of his military with a new uniformed military including the Republic National Guard, police and 10th Squadron naval commandos. This government had no real power, but the Germans invaded and occupied most of Italy. On April 27, 1944 the communist partisans captured Mussolini as he tried to flee to Switzerland, but just before the border, and shot him the next day.
(2) The "Shock and Awe" air campaign in the War in Iraq 2003. On March 19 2003, the coalition forces of the U.S. and U.K. launched the "Shock and Awe" air campaign in the first phase of the War in Iraq. They did this by bombing selected Iraqi military targets, followed by the (remarkably accurate) bombing of Saddam Hussein's presidential palace and several governmental ministries, all in downtown Baghdad. It was a decapitation attack on the Iraqi leadership. U.S. Defense Secretary Donald H. Rumsfeld declined to use the traditional war tactics of massive invasion force, and thought he could accomplish the same objective with a smaller force and therefore fewer casualties by this tactic.
General Tommy Franks, Commander of U.S. Central Command, said, "This will be a campaign unlike any other in history - a campaign characterized by shock, by surprise, by flexibility to make it so apparent and so overwhelming at the very outset of potential military operations that the adversary quickly realizes that there is no real alternative here other than to fight and die or to give up." Theoretically, the "Shock and Awe"functions as the non-nuclear equivalent of the impact that the atomic bombs dropped on Hiroshima and Nagasaki during the WWII. The Japanese were prepared for suicidal resistance until both bombs were used, because the Japanese leadership changed their outlook and the average citizen changed their mindset after that "Shock and Awe" experience.
However, for the few days of "Shock and Awe", and despite of the coalition's air power, precision weapons and speedy data link, the Iraqi leadership did not fold. The Iraqis had their own ploys, e.g. guerrilla militias, intimate knowledge of the terrain, the willingness to use their own civilians as cover and the deception to surrender while seeking the chances to shoot the coalition troops.
8.5.2.4 Comments.
General Xhang would like to capture General Wan, the head of the enemy's forces, so as to dissemble the latter's troops in the most throughout way. The Germans rescued Mussolini for establishing a new Italian Socialist Republic to ally with Germany despite Mussolini being ousted by the Italian Fascist Grand Council. It was because Mussolini still had some influences of his own on the Italian people.
The decapitation attack in the first phase of the War in Iraq 2003 did not attain its maximum results because the "Shock and Awe" raids were not as overwhelming as those experienced by the Japanese in 1945.
To be able to grasp the essentials of the matter can facilitate solving problems. By the same token, to be able to identify the key figures of the group can help communicating to the individuals of the group. If the enemy's army is strong but is affiliated to the commander only by money or threats, the best strategy is to capture the chief, and the rest of the army will be dispersed. But if the enemy's troops are affiliated to their commander through loyalty or religious fanaticism, this stratagem will not work, because the troops would continue the fighting after the capture or the death of their commanders. This accounts for the fact that the Iraqi Republican Guards continued their resistance after the coalition forces had seized Baghdad on April 9, 2003.
Exercise
1. In June 2002, President George W. Bush in a commencement address at West Point talked about pre-emptive attack. Surveying the post-September 11 scenario, Bush said that "If we wait for threats to fully materialize, we will have waited too long... We must take the battle to the enemy, disrupt his plans and confront the worst threats before they emerge."
Pre-emptive attack did happen at the start of the Six-Day War in 1967, when Israel, fearing that Egypt was aiming to destroy the Jewish state, devastated Egypt's air force before its pilots had scrambled their jets. In 1981, Israel bombed the Osirak nuclear reactor in Iraq without warning, an incident that provoked worldwide disapproval.
Which of the following stratagems best describes Bush's doctrine?
(a) Remove the ladder after the ascent.
(b) Gain the initiative by striking first.
(c) Defeat the enemy by capturing their chief.
(d) Shut the door to catch the thief.
Catalogue Information
