Principles for Competition: Warfare & Business

THE ART OF WARBy

SUN TZU(c. 400-320 B.C.)

Summarized and Compiledby

Ike Sweesy

Commentary by

A. Brig.Gen. Samuel B. Griffith, USMCB. General Tao Hanzhang, Chinese PLA

_______________

Ref. A. Griffith, Samuel B. Brig. Gen., SUN TZU - The Art of War , Oxford: Oxford University Press, 1963.

Ref B. Hanzhang, Tao, General, SUN TZU'S ART OF WAR, A Modern Chinese Interpretation, New York: Sterling Publishing Co., Inc. 1987.

INTRODUCTORY, FUNDAMENTAL CONCEPTS - A rational basis for the planning and conduct of operations. Systematic and Objective (pg. 79B). Observe and infer (discern, judge) pg. 113B.

Applicable to all areas of human relationships: Business, leadership, government, interpersonal conflict, personal development, counseling, child-raising.

War is an integral part of power politics. pg25A 'purpose of stopping tyranny and getting rid of injury" pg. 16A

FIVE CAUSES OF WAR FIVE CATEGORIES PURPOSE, pg. 153AStruggle for fame Righteous war suppress violence, quell disorderStruggle for advantage Aggressive war dependence upon forceAnimosity Enraged war angerInternal Disorder Wanton war greedFamine Insurgent war stir up trouble

PREVENTION OR CORRECTIONproper governmenthumility reasondeception and treacheryauthority

ELEMENTS OF VICTORY pg. xiA ELEMENTS OF DEFEAT pg. 7AThe Spring and Autumn Armies were:

organization Corporate & Operational Structure inefficiently organizedmaneuver Innovation - ideas troops badly trained, plans Marketing plans poorly conceivedOperations - execution & poorly executedC3I Command, Control,

Communications, Intelligencegeography the industry & political terrainweather the business climate & changeslogistics equipment & systems poorly equipped, haphazardly suppliedLeadership - the General, and/or Lieutenants and Sergeants

Management Development, Recruiting, Training, Development

ineptly led

Five Circumstances Leading to Victory pg. 82A1. Knowing when he can fight and when he cannot2. Understanding how to use both large and small forces3. When the ranks are united in purpose (pg. 106A)4. He who is prudent and lies in wait for an enemy who is not5. He whose generals are able and not interfered with by the Sovereign

5 Taboos Do Not Fight: pg. 16B1. if the country is not powerful enough (manpower, financial, military strength)2. if situation is unfavorable (international climate, attitudes of neighboring countries.3. without domestic tranquillity.4. without domestic support for the war. (Vietnam)5. on two or more fronts. (Napoleon, Hitler)

PRINCIPLES AND ELEMENTS OF WAR

Know your purpose - "one who is confused in purpose cannot respond to his enemy." [Goals]

Find - the Key Elements or Key Difficulties in a problem and focus on the solution. [Objectives]

The 5 Fundamental Factors:pg. 63A pg. 13B/81B

1. Moral Influence (righteousness) 1. Politics (national unity)2. Weather, Climate, Seasons 2. Weather3. Terrain 3. Terrain4. Command (Commanders and C3) 4. Leadership5. Doctrine 5. Doctrine

Key Factors pg. 40AHuman (morale and generalship)Physical (terrain and weather)Doctrinal pg. 32A,3B,50B,85BThe InitiativeFlexibilityIntelligenceSurpriseSpeedConcentration of Forces

Four Indispensable FactorsGeographyEnemy SituationFriendly SituationTime

Analysis of the Situation pg. 19BAdvantagesDisadvantages - Sun Tzu originated SWOT analysis: Strengths, Weaknesses, Opportunities, ThreatsFavorable Factors Unfavorable Factors

Planning Factors The 7 Elements pg. 14B Calculations (planning) 1. which ruler is wisestQuantity not decisive, to Sun Tzu) 2. which commander is wiser/ablerQuality 3. Nature and Terrain advantageDiscipline 4. discipline

5. strongerTraining 6. better trained officers/menEquity of rewards and punishments 7. rewards and punishments

TYPES OF FORCES THE TWO FORCES pg. 42A/91A/35B

Cheng Ch'inormal, usual extraordinarydirect indirectfixing flanking, encirclingdecision distractionobvious unexpected, strange, unorthodox,

stealthy

NINE VARIETIES OF GROUND pg. A131ff/119BDispersive fighting in your own territory, the men want to return home

do not fight in dispersive groundunify the determination of the army

Frontier shallow penetration into enemy territorydo not stop in frontier borderlandskeep forces closely linked up

Key ground equally advantageous to occupydo not attack an enemy who is in key groundset out after the enemy but arrive before him -Chang Yu

Communicating equally accessible, level and extensive, sufficient (open) in extent for battle to erect opposing fortificationsdon't allow formations to become separated, close 'em uppay strict attention to defenses

Focal a state enclosed by three other states. He who gains control will gain the support of the empireally with neighboring statesreward allies, abide firmly by treatiesexamples are Straits of Gibraltar, Bosphorus, Malacca; Suez and Panama Canals; the three passages in the Med; Persian Gulf and Gulf of Mexico

Serious deep penetration into hostile territory. Difficult to return from. {Russia, Stalingrad}(one says 'plunder', another 'don't plunder')ensure continuous supply of provisions

Difficult any place where the going is hard. Mountains, forests, defiles, marshlands, swampspress on, don't delayuse roads if possible

Encircled access is constricted, the way out is tortuous, where a small enemy can ambush my larger one.devise stratagemsif the enemy opens a road, I close it to force my troops to fight with desperation to the deathif I am encircling an army, I open a road of escape to avoid their fighting to the death

Death (Desperate, see above)

where the army must fight with the courage of desperation. (see above).

fighttroops will follow orders implicitly if the situation is known & understood

SIX TYPES OF GROUND pg. 124A/116BAccessible ground which both we and the enemy can traverse with easeEntrapping easy to leave but difficult to return toIndecisive equally disadvantageous to both armiesConstricted do not follow the enemy into these passes or defilesPrecipitous take the sunny heights but don't attack into them, lure him away firstDistant it's difficult to provoke battle at a distance from an enemy

TYPES OF GROUND pg. 111ALow-lying ground don't encampCommunicating unite with alliesDesolate don't delay hereEnclosed ground be resourcefulDeath Ground fight

PRINCIPLES OF LEADERSHIPPersonal, Direct Leadership, understand the soldier's psychological states. pg. 121B [Management by Wandering Around

Characteristics of a Commander pg. 65A pg. 14Bwise wisdomsincere sincerityhumane benevolencecourageous couragestrict (disciplined) Tenacity, strictness (discipline )

The Excellent General pg. 162AMajesty - He awes his enemy, none dare disobey him, no rebel opposes him Virtue-Humanity-Courage-

The Ruler pg. 83BHumanity-Justice-Virtue-Civility-Strength-

Some General Principles of Leadership

- generally, Management of Many is the same as management of Few. It is a matter of Organization and effective Communication. pg. 90A/106A (See also, “Management Principles of Attila the Hun”)- be of high character and intelligence- know the right man, place the responsibility on him, expect results pg. 83A; then reward him for it. pg. 35A - do not give responsibility to one who cannot fulfill it. pg. 94A/56B- you can make use of all men wise or stupid, brave or cowardly, by giving responsibility to each in situations that suit him. pg. 94A/49B- It is proper discipline that enables them to win victories. pg. 158A

- Know others (the enemy) and Know Yourself pg. 84A/42B/100B

Requirements of Generalship pg. 87 - 89Aclear perception [observation and inference, See Sherlock Holmes]harmony profound strategyfar-reaching plans (depth, breadth, contingencies) understanding of seasons (climate, moods, cyclical factors) [both physical and psychological]

Leader’s Ability to estimate strengths and capabilities Measurements yield Figures which yield Comparisons which yield increased chances of Victory

The Leader:comprehends expediency and flexibilitynot credulous of unreliable intelligencenot timorouslaw abiding

The Victorious General possesses: pg. 92A/103BMomentumControl (regulation)Potential (strength)Timing

The General must be: pg. 136Aserene if serene, he is not vexed;inscrutable if inscrutable, unfathomable;upright if upright, not improper;impartialself-controlled self-controlled, not confused

The Foolish General pg. 162,3A,57B,112B Examples:

Stupid places his confidence in others (deceive him and lure him into traps)Covetous careless of his reputation (you can bribe him)Changeable lacks plans, [or objectives, or goals] (tire him and wear him down)Opulent superiors are rich and arrogant, subordinates poor and resentful

(you can divide and separate them)Bill Agee, MK

Hesitant in advancing or retiring then his troops will have no confidence (he can be stampeded and put to flight)

Unrespected Officers are contemptuous of him. Careless (of routing/encampment topography)

take the advantage he leaves. block the easy routes, open the difficult ones then intercept and capture them.

Lazy remains long in one place, indolent, remiss, unprepared (approach secretly and strike) [Business: relying upon old, traditional products]pg. 57B

Arrogant you can lure himGrandiose predictableShowy desiring acclaim

pg. 112BReckless he can be killedCowardly he can be capturedQuick-Tempered provoked to rage (and not think straight)FoolishHigh Minded too delicate a sense of honor, he can be easily insultedSoft Hearted he can be harassed

Character Traits to Avoid pg. 114A/112BRecklessCowardly (fearful of consequences)Quick-tempered Rage and resentment lead to rash action. pg. 143AConscious of ReputationSoft Hearted

Points of ObservationObservation: Condition:an army that sees an advantage but doesn't take it Fatigueif troops are clamorous Fearfulif they are disorderly Loss of Prestige of the generalif they are short-tempered Exhaustedwith whispered conversation the General has lost the confidence of the

men

The Wise General, pg. 43A - weighs the situations before he moves."With many calculations, one can win; with few one cannot." pg. 71A/8B

Be Discerning. There are: pg. 43A/111A/111Bsome roads not to followsome armies not to be attackedsome cities not to be besiegedsome positions not to be contestedsome commands of the sovereign not to obey (cf. 92B, this can be dangerous to your head)

Don't try to defend every square foot. pg. 177A/32B

THE WISE GENERAL -takes calculated risks but not needless oneswhen he sees an opportunity he acts swiftly and decisivelyhe is Adaptive and Flexible - Partial Modifications or even Complete Change in Plan (pg. 53A)

avoid absolutes and not rigidly adhere to principles or articles in military books, 43B

he bases his plan upon Reality not Wishful Thinking, (pg. 54A/9,28B)he reads what the enemy says about his own objectives and methods pg. 55A

(we should have read Hitler's and Mao's works)

he is Observant of Details pg. 60A (see also Sherlock Holmes)

Matters a wise General pays strict attention to: pg. 161AAdministration control of many same as the control a few (organization)Preparedness confident knowledge and readiness for the enemyDetermination worried about life, placing purpose above lifePrudence not relaxing or getting over confidentEconomy sparing in laws and orders so that they are not vexatious.

see also pg. 168A, a prevalent problem of the modern military

Diplomats must be: pg. 23B- eloquent- courageous- resourceful

APPLICATION TO TROOPS (subordinates) pg. 121-123AAdministration of punishments and rewards must be reliable. pg. 158AToo frequent rewards indicate desperation by the parent If punishments are not enforced, you cannot have obedienceCommand with civility and imbue them with consistent disciplineTrustworthy rules and requirements lead to obedience

If troops are punished before their loyalty is secured, they will be disobedient. If not obedient, it will be difficult to employ them. Command them with civility but keep them under control by iron discipline. pg. 115B

When the general is morally weak and his discipline not strict, when his instructions and guidance are not enlightened, when there are no consistent rules to guide the officers and men and when the formations are slovenly, the army is in disorder. pg. 126A/7A/117B

"The general must be the first in the toils and fatigues of the army. In the heat of summer he does not spread his parasol nor in the cold of winter don thick clothing. In dangerous places he must dismount and walk. He waits until the army's wells have been dug and only then drinks; until the army's food is cooked before he eats; until the army's fortifications have been completed, to shelter himself." pg. 129A

Chang Yu: If one uses kindness exclusively, the troops become like arrogant children and cannot be employed. Good commanders are both loved and feared. That is all there is to it. pg. 129A

The general lays his own plans with no help (other than information) from the men or officers pg. 136A Rewards and punishments clearly fixed and equitably administered. Arbitrary terrorism could not be relied upon to produce the will to fight. pg. 35A Mao outlawed physical brutality. pg. 47A

Anticipate problems and prevent them. pg. 77Adon't be impatient pg. 78A

If a general indulges his troops but is unable to employ them; if he loves them but cannot enforce his commands; if the troops are disorderly and he is unable to control them, they may be compared to spoiled children and are useless. pg. 117B

Exterminate superstitions and all talk of luck. pg. 137A/61B/121B

MORALESharp VS SluggishSingle-Minded VS HomesickDisciplined VS DisorderlySerene VS ClamorousAt Rest VS TiredFed VS Hungry

VALUABLE CONCEPTS IN WARNational unity was deemed by Sun Tzu to be an essential requirement of victorious war. This could be attained only under a government which was devoted to the people's welfare and did not oppress them. Sun Tzu's theories were based upon benevolence and righteousness. pg. 39A This is applicable to Business and the family also!!!

Early warfare was characterized by superstitious timing, head on attack, limited pursuit, spoils, withdrawal. Later this developed into standing armies, officered by professionals, manned by conscripts who were disciplined, well trained, and preceded by elite shock troops known for their courage, skill, discipline, and loyalty. (c.500 BC) p33A

Element of the new armies, capable of coordinated movement in accordance with detailed plans, were responsive to systematic signals. Tactics was born centered around the Normal Force and the Special Force. Enemy's communications became a primary target. pg. 34-35A

Technological improvements changed the character of war. The crossbow put the chariot out of business. pg. 36A

Make alliances in order to fight a common enemy. pg. 21B [Business Associations & Partnerships]Disrupt the other's alliances. pg. 22B/73B

Mao and Chu Teh realized the need for a literate and well-indoctrinated (trained) force. pg. 47A

Don't leave yourself without an alternative if your strategy fails. pg. 46B [Morrison-Knudsen]

Resolute. The half-hearted attempts of the Nationalist forces failed. pg. 47AThose deprived of the initiative generally lose. pg. 50A/85BDefend when your strength is inadequate - Attack when it is abundant

Constant Movement - avoid all passive and inflexible methods pg. 51A/96A {observed “Apple” vs “MS”}when the enemy advances, we retreat when the enemy halts, we harass when the enemy seeks to avoid battle, we attack; when the enemy retreats, we pursue In the art of war there are no fixed rules. These can only be worked out according to circumstances. pg. 93A

Some Important Principles:Overcome the enemy by wisdom and not force alone. pg. 13BDeception and Surprise- "All warfare is based on deception." pg. 66A

The worst policy is to attack cities. pg. 78A

If weaker numerically, be capable of withdrawing. pg. 80A

Create a situation to which he must conform or respond, entice him with something he is sure to take, lures of ostensible profit. pg. 93Athose skilled in war are able to bring the enemy to the field of battle and are not brought there by him. pg. 96A

If I concentrate while he divides, I can use my entire strength to attack a fraction of his.The enemy must not know where I intend to give battle.When he prepares everywhere he will be weak everywhere. pg. 98A

Do not repeat your tactics. No fixed formulae for employing troops. pg. 100A/42B/52B/107B [‘Formula war games’, RED FLAG]

Focus the attention of the troops pg. 106A

When you see the correct course ACT, don't wait for orders. pg. 112A; {This requires broad knowledge.}

The good general makes it impossible for the enemy to unite his van and rear; for varied elements to support each other pg. 133A

Speed is the essence of war, travel by unexpected routes, strike him where he has taken no precautions. Do not unnecessarily fatigue the troops (extensive travel or unnecessary work), conserve their strength, unite them in spirit, don't reveal your plans. pg. 134A/120B

When officers and men care only for worldly riches, they will cherish life at all costs. Put them in a situation with no escape and they will fight with great courage. pg. 135A

Concentrate your forces. pg. 139A Numbers alone confer no advantage. Moral, intellectual and circumstantial elements of war are more important.

The decisive influence of LOGISTICS

Principle of Void and Actuality pp. 44B ff/105B ff.

A ruler may bring misfortune upon the army by interfering with its operations and administration. pg. 8A/ 81A (demonstrated in Vietnam where the State Department chose the strategy, tactics and even the targets)

Eliminate government monopolies in salt, iron, and liquor. pg. 16AEver expanding bureaucracy leads to the science of organization. pg. 28A

EMPLOYMENT OF SECRET AGENTS Intelligence is worth paying for. pg. 145A

Analogy w/ past events (or tactics) is not sufficient, you must know the enemy’s current situation. pg. 145A

Look for worthy men who have been wronged or been denied office or rank, those who have committed error and have been punished, sycophants and minions who are covetous of wealth, two-faced, changeable, and deceitful fence sitters. Ask how they are doing, reward them.

We leak information which is actually false and allow our agents to learn it. pg. 146A

He who is not sage, wise, humane, and just cannot use secret agents. He who is not delicate and subtle cannot get the truth out of them. pg. 147A

You must get the names of commanders, staff officers, etc. You must know the men employed by the enemy, are they wise or stupid, clever or …

Those who do not use local guides (resident experts) are unable to obtain the advantage of the situation. pg. 104A

MISCELLANEOUS OBSERVATIONS

When aware of the danger, misfortune is kept at a distance. pg. 155A

Fundamental Occupations pg. 24AAgriculture and ManufacturingTrade and DistributionMiningTransportationServicesEducationWarGovernment

The Five Basic Elements- Earth, Wood, Fire, Metal, Water, (Air, Greek) pg. 10A