Sun Zi Paper ROCaise-1
Sun Zi Paper ROCaise-1
The romantic myth about Marco Polo bringing pasta to Italy from China is
simply that-a myth. As much as both countries love noodles, their countries’ histories
are also wrought with war and battles for political and geographical supremacy.
The Art of War by Sun Zi was estimated to have been made at the period
Qi, Qin, Chu, Han, Wei and Yan) seeking to control a vast expanse of fertile territory
in Eastern China1. The Prince by Niccolo Machiavelli was also created at a time
when Italy was constantly plagued by wars and in-fighting among its nobles. It was a
time when Catholic popes were waging wars and having their sons do battle and
conquer states. It was also the start of the Renaissance era where Man—as a
This paper will attempt to compare and contrast two specific works: Sun Zi’s
Art of War and Machiavelli’s The Prince, with focus on principles on leadership and
its application to management. This paper will attempt to show that despite the fact
that both works are of different cultural orientation, there are similarities in principle
and its application is subject to the conditions of the times of the reader. There is no
preference for either work; only a showing of a convergence of ideals that were
moved by the times of the authors’ lives and their personal goal of achieving peace
1
Wikipedia, retrieved March 2011
1
BACKGROUND OF SUNZI AND NICCOLO MACHIAVELLI
SUN ZI
Personal Life
Little is known about Sun ZI’s life or whether he is in fact a historical figure.
About 100 B.C., Su-ma Ch’ien , one of his chroniclers, gives little about him but more
“Sun Tzu, whose personal name was Wu, was a native of the Ch’i state. His Art of
War brought him to the notice of Ho Lu, King of Wu….”2
The King of Wu asked Sun Zi to test his theories on women, to which the
latter accepted and 180 concubines were sent to him to train. The women were
divided into two companies and each company is headed by one of the king’s
favourite concubines.
The women were first instructed to do the turns---left, right, front, and about.
The different commands were explained and the women assented to understanding
each command. On the first command of “right turn”, the women burst out of laughter.
To this, Sun Zi said, “If words of command are not clear and distinct, if orders are not
thoroughly understood, then the general is to blame.”3 The drills continued and when
on the second command the women again laughed, Sun Zi furthered his statement,
“If words of command are not clear and distinct, if orders are not thoroughly
understood, then the general is to blame. But if his orders are clear and the soldiers
nevertheless disobey, then it is the fault of their officers.”4 And he had the king’s two
2
“ The Art of War by Sun Tzu”, edited and with foreword by James Clavell, Dell Publishing Group, Inc., New
York, reprinted 1988, p.3
3
Op.cit., p.4
4
Ibid
2
favourite concubines beheaded. The king was unable to stop such order as he gave
After which, the concubines were disciplined and the training went on without
any more incidents. The women were able to perfect the drills and prepared them for
inspection of the king. However, the king did not bother to see the results, to the
Sun Zi commanded armies in the exploits in the west, defeating the Ch’u state
and captured Ying, its capital; in the north, he defeated the Ch’I and Chin states,
spreading his fame abroad the feudal princes. For almost two decades, the kingdom
of Wu was victorious over their perennial enemies, Yueh and Ch’u kingdoms.
Despite the deaths of Sun Zi and the King of Wu, their descendants followed their
precepts for a few years but failed to sustain it. In 473 B.C., Wu was defeated and
The Art of War (Bingfa兵法) is the oldest known Chinese military treatise. It is
about more than 2,000 years old and having influence some known leaders
throughout history. In 1972, copy of Sun Zi’s work was excavated from a Han
Dynasty tomb located in Shandong Province5 and reinforced historical records that
Sun Zi’s work actually comprised 82 p’ien (verses) and 9 chuan (diagrams)6. The
present 13 chapters was a result of the pruning of a Wei emperor Cao Cao (155-220
AD), each one focusing on a specific aspect of warfare, strategy and tactics.
5
Hee, Charles Chow Hoi and Gurd, Bruce, “Leadership Essentials from Sun Zi’s Art of War and The Bhagavad
Gita”, Journal of Management History, Vol. 16 No.3, 2010, pp.396-414, citing Wang (2007)
6
Ibid, citing Giles (1988)
3
Contrary to popular thought, The Art of War is not a “how-to” book. It is about
military philosophy, with emphasis on strategies and methods (cè lüè yŭ fāng fă 策
略与方法) 7 . The entirety of the work, if analysed deeply, does not push for the
conduct of war; rather it is the avoidance of war that is more desirable. This
Attacks”, to wit:
“Thus, the most supreme strategy is to attack the plans and strategies of the
enemy. The next best strategy is to attack his relationships and alliances with
other nations. The next best strategy is to attack his army. The worst strategy
of all is to attack walled cities. (Lines 3.8 to 3.11)8
Attack walled cities when there are no other alternatives.” (Line 3.12)9
marketplace like a battlefield10. The ultimate goal is to win; if not, avoid the conflict.
NICCOLO MACHIAVELLI
Personal Life
humanist, and diplomat. His family is believed to be descended from the old
7
Wee, Chow Hou, “Sun Zi Art of War: An Illustrated Translation with Asian Perspectives and Insights”,
Prentice Hall, Singapore,2003, p.5
8
Ibid.
9
Ibid
10
Hee, Charles Chow Hoi and Gurd, Bruce, “Leadership Essentials from Sun Zi’s Art of War and The Bhagavad
Gita”, Journal of Management History, Vol. 16 No.3, 2010, pp.396-414, citing Wang (2007)
4
government, producing 13 Gonfalonieres of Justice, one of the offices of nine
the age of 29, was elected as head of the second chancery and later appointed the
secretary of the Dieci di Libertà e Pace. Being a diplomat, he was responsible for
negotiation and military affairs, carried out between 1499 and 1512. He led
diplomatic missions to the court of Louis XII in France, that of Ferdinand II of Aragón,
in Spain, in Germany, the Papacy in Rome, and in other Italian states. Moreover,
Borgia (1475–1507), son of Pope Alexander VI, who was then enlarging his central
Italian territories.11
Between 1503 and 1506, Machiavelli was responsible for the formation of the
Florentine militia and the city’s defenses. He distrusted mercenaries and preferred a
politically invested citizen-militia – a preference that helped the city in its battles. His
the Medici family, helped by Pope Julius II, used Spanish troops to defeat the
Florentines at Prato. The city-state and Republic were dissolved. Machiavelli was
removed from office in 1512 and, in 1513, was accused of conspiracy, and arrested
and imprisoned for a time. Despite torture, he denied involvement and was released.
He remained a prolific writer during his lifetime, involving himself even to the
arts by writing plays. But studying and writing political treatises were the things he
11
From Wikipedia, retrieved 06 March 2011
5
loved the most. He later participated in intellectual groups and to continue his
passion, he writes his commentaries and sends them to friends with better political
Hence, the birth of his little book, The Prince. Machiavelli died in 1527 at the age of
58.
The Prince
earlier version (around 1513) appears to have been circulated, using a Latin title, De
death (1532) that a printed version published. The publication became a reality with
the permission of the Medici pope Clement VII. The Catholic Church later proscribed
the book and even registered it to the Index Librorum Prohibitorum (Index of
Prohibited Books).
The book was an innovation back then as it was written in the vernacular
(Italian) rather than Latin, which was a popular style during the Renaissance
literature. It is reputed to be one of the foundations for modern political thought and
was said to be in direct conflict with the Catholic Church and scholastic doctrines of
the era as religion and politics move in the same realm. The Prince separated, in a
sense, espoused for the separation of the Church and state, a principle basic in
The work, although relatively short, is the most remembered of his writings
and the one most responsible for bringing "Machiavellian" into wide usage as a
12
From Wikipedia, retrieved 06 March 2011
6
pejorative term; and even contributed to the modern negative connotations of the
words "politics" and "politician" in western countries. The descriptions within The
Prince have the general theme of accepting that ends of princes, such as glory, and
indeed survival, can justify the use of immoral means to achieve those ends.13
The Art of War dates back between 400 BC and 320 BC. It was first translated
by Frenchman Jean Joseph Marie Amiot in 1772. Despite the title, it is a military
For Sun Zi, in case there is a decision to fight, strategies should be formulated
to engage the enemy, leaving him no choice but to fight. If direct confrontation is not
an option, then the commander must formulate strategies to avoid war. Sun Zi
the right soldiers (talents) need to be selected and trusted to exploit circumstances.
Everyone has a role to play and those roles must be played well according to the
commander’s plans.
One of the most famous lines from Art of War is “Know your enemy and know
yourself, find naught in fear for 100 battles” (Chapter 3, Line 31). Wee (2003)
translates this line as: “He who knows the other side and knows himself will not be
defeated in a hundred battles”. Griffith (2005), on the other hand states this as:
“Know your enemy, know yourself; in hundred battles you will never be in peril”.
Chow and Gurd (2010) further propose that this line be read as: “Know yourself,
13
Ibid.
7
know the other side, every battle, victory possible.” But however translated, the
advice is not to predict victory but the ability to gain insight into intentions. The ability
to have such insight involves exploiting terrain advantages, weather conditions, and
most important, exploit (enemy) information relayed thru reliable sources (spies).
foresight that integrates people with terrain and method. It is important to integrate
intentions and actions. The illustration below amplifies the blending of insight and
The Art of War may be divided to three categories, to wit: the Commander
Engagement).Speed may be the essence of war (chapter 11, line 29), however Sun
combination of the two would require prompt intelligence. Hence, effective leadership
exploits the enemy’s unpreparedness (chapter 1, line 26); takes unexpected routes
14
Chow, Charles Hoi Hee and Gurd, Bruce, “Leadership Essentials from Sun Zi’s Art of War and the Bhagavad
Gita”, JOURNAL OF MANAGEMENT HISTORY, Vol. 16 No. 3 2010, pp.393-414, Emerald Group Publishing
8
(chapter 11, line 29); and, attacks the enemy when least expected (chapter 11,
line29). The best option still is to win without fighting (chapter 3, line 2).
As much as winning the war is the ultimate goal (chapter 2, line 3), for Sun Zi,
the war expert is subtle and secretive. He remains anonymous, faceless, traceless
and mysterious (chapter 6, line 9). In the end, it is the commander’s skill to be
insightful of his opponent’s motives yet himself secretive of his own that allows
For some writers, the principles set forth by Sun Zi in his military treatise have
some business applications. McNeilly (1996) put forward these principles in essence,
to wit: capturing market without destroying it (win without fighting); maximizing the
overcome competition (speed and preparation); striking the least expected (avoid
leadership).16 Wang (2007) used the Art of War to summarize business case studies,
15
Ibid
16
Ibid
9
geared towards the adoption of or adaptation to winning mentality, winning by
(1993) wrote about classifying Sun Zi’s spies in the present context of the business
environment. Sun Zi’s spies are considered ‘coordinators” in business because they
are linked to the competitor directly or indirectly. The “co-operators” like logistics and
financial service providers and Sun Zi’s “other side” would include competitors,
coordinators and co-operators because the last group can turn into spies although
once neutral.18 The following chart shows us the classification made by Chalak about
For Sun Zi, the commander (leader) must exhibit five key character traits:
benevolence, courage and discipline” (Chapter 1, Line 12).19 The diagram below
17
Ibid
18
Ibid
19
Wee, Chow Hou, “Sun Zi Art of War: An Illustrated Translation with Asian Perspectives and Insights”,
Prentice Hall, Singapore,2003, p.14
10
STRICTNESS
WISDOM (DISCIPLINE)
(INTELLIGENCE)
LEADERSHIP
COURAGE
BENEVOLENCE
(HUMANENESS)
SINCERITY
(CREDIBILITY)
Wisdom (Intelligence)- For Sun Zi, for leaders to succeed, their competence
must spread through every aspect of their work. They must be technically proficient
comprehend and understand the needs and challenges of their colleagues. They
must have the ability to assess their organization’s position in relation to their
competitors and the environment they are working on. Yet they must be able to take
caution on how they let their intelligence or wisdom is perceived. Leaders should not
flaunt their intelligence or make boastful shows aas this may be may be perceived as
arrogance.
Discipline- For the entirety of The Art of War, Sun Zi puts emphasis on the
job. The leader must be able to bring his forces to battle and prepared for any
11
scenario. This is applicable to building an effective program of succession for the
next leaders of the organization. Leaders are tasked to evaluate the training needs of
the team and make sure proper training is done to address those needs. Training,
however, does not stimulate discipline20. The consistent enforcement of orders, rules
and law, and proper reward system stimulates discipline. Sun Zi says:
“When orders are regularly enforced and used to train soldiers, they
will be obedient. When orders are not regularly enforced nor used to
train the soldiers, they will not be obedient.” (Chapter 9, Lines 75-76)
recognize the opportunities inherent in all risks. This lends credibility to his actions
and decisions. It allows the leader to move his team towards the direction of
integral part of its success. Therefore, it must take into consideration all
20
Fox, Steven , “The Anatomy of Leadership - A Sun Tzu Perspective”, Security Paradigms,
http://blogs.csoonline.com/blog/steven_fox, March 22, 2010, retrieved March 2011
12
Sincerity (Credibility/Trustworthiness)- It emerges from a reputation of
trustworthiness and competence.21 A leader must be able to show his ability to use
Armed with this trait and the skill of adaptation, a leader’s time and energy can be
particularly in the leading a nation state. He wanted to create a new (modern political
order) with a new view of what is public, and introducing a new mode of governance-
- the executive. Machiavelli was a renaissance man and like many of his kind during
that period, he presented a modern view of the world. He asserted that human
beings are at the centre of the universe; and, everything is measured and evaluated
relative to them.
new ideas of on to improve the stability of a nation. His take on modernity is shown
understands it, it has appeared to me more fitting to go directly to the effectual truth
of the thing than to the imagination. And many have imagined republics and
principalities that have never been seen or known to exist in truth “(The Prince,
Chapter 15). For Machiavelli, following traditions has brought his contemporaries to
great ruin. Leaders should not stick to traditions in governance; the propensity to
stay “good and doing good”, whether in the context of religion or being virtuous or
21
Ibid
13
excellent is not sustainable; if ruthlessness by some individuals (historical leaders)
and families works across history, then it is advised to adopt similar practices
order. Simply put, a modern enterprise is humankind taking care of itself as best it
can in an otherwise lonely universe22. He also added that innovations in science and
technology must be adopted to bring about better lives, and better lives bring stability.
Ruthlessness has greater impact with the use of modern technologies (physically
and politically oriented) as people’s lives are simplified and can be justified as being
elected. The right to rule (lead) appears to involve demonstrated capacity to retain or
gain a ruling position. The Prince was written at a time when Italy was facing external
and internal threats, hence, political instability was then imminent. Machiavelli posits
that the problem of political instability arise from members of society losing the fears
that they had at the founding or beginning of political orders—loss of life, family or
valued possessions. Due to such fear of loss, people accept the need for leaders.
whenever useful. For him, the creation of fears prevents people from harming
themselves or another and the strict enforcement of laws and punishment for law-
22
Swain, John W., “Machiavelli and Modern Management”, University of Alabama, Tuscaloosa,
Alabama, USA, MANAGEMENT DECISION 40/3 (2002), pp.281-87
14
breakers mitigates the desire and necessity of private parties to seek revenge. This
way the dissolution of public order due to in-fighting then common in Italy at that time,
is prevented.
keep the public loyal to the leader. To foster loyalty, one must be either be feared or
loved; and being feared is better for leading. Being loved is ideal and beneficial but
harder to accomplish and less reliable than striking fear in others: people love at their
discretion but fear those who act in particular ways. Being feared and loved are
preferable than being hated, because being hated can involve people striking at
maintain their people’s lives, loved ones and possessions, as they are his firmest
preparing for and engaging in war with external and internal forces. By instilling fear,
Machiavelli is seeking to increase the efficacy of leaders by limiting the scope of their
stability which is less broad in scope than in earlier traditions, in order that they can
corporate governance and inculcates this culture to make the organization more
efficient, at the same time, takes into consideration the concerns of the stakeholders.
Machiavelli also tells leaders to be flexibility. Success awaits the man whose
actions are in accordance with the times and failure the man whose actions are out
of harmony with them. The same also applies to morality. As a general rule, a prince
(leader) should seem to be merciful, true to his word, humane, honest, and religious,
23
Ibid
15
and he really should have those qualities24 . However if a conflict arose between
public and private morality/ethics, whichever would produce the most practical result
should take precedence (citing Wolin, 1960) 25 , taking action which was publicly
moral and designed to secure the liberty of the state but in the short term at the
adroit and successful business leaders had to be deft at politics and be an active
tackles and while other people can cope with the waves. For him, it is the leader’s
job to hold things steady and maintain a watching brief on the tide. The policy of
responsibility and delaying decision-making which all too often leads to failure.
everything and things that needs decisive action must be done by the leader of the
organization.
make one an effective leader. Since a business executive may be, in some ways, an
business executive takes in some of the traits of a public officer to the organization.
16
2) Recognize the importance of lobbying, influencing and networking, political
methods;
the importance of the ability to manage political process both in one’s firm and
organization and in being able to predict election results and to exert influence
Both authors advised that leaders should be attuned with their environment and be
“Thus, analyse and study the five factors carefully. Compare them with those
of the enemy to understand the changing conditions and circumstances (during
war) and to assess the chances of victory.
These five actors are moral influence, the weather, terrain, generalship, and
doctrine and law.” (Chapter 1, Lines 1.5-1.7)
17
Indirectly, Sun Zi laid down the foundations for the SWOT analysis. By doing so, the
CEO can determine the ways of making the company sustainable by environment
to traditions that will cause them ruin. Due to the necessity of the times and
environment, leaders must learn to adapt to the changing environment to keep their
necessity; do good when he can but if it is necessary to refrain from doing good then
must be prepared to act the opposite way be able to do it; to maintain stability and
new methods of doing business and new thinking or processes. An example of this
business that could not achieve market leadership. Even if it meant massive lay-offs,
he carried on with such directive and by the end of 1982, 35,000 employees were let
go. These lay-offs saved the company around USD$900 million in pre-tax expenses.
But while adopting this seemingly "cruel" style of management, Welch didn't
forget to exercise liberality when the opportunity existed. He believed that the laid-off
27
Skinner, Quentin, Machiavelli A Very Short Introduction, Oxford University Press, NY, 2000,p.43
28
Majumdar, Shyamal, “Machiavelli & the Art of Management”, February 09, 2006,
http://www.rediff.com//money/2006/feb/09man.htm
18
settlements, but humane consideration of their feelings. He personally replied to
injustice that came to his attention. Executives who mismanaged the downsizing felt
his wrath.29
Both also put emphasis on discipline in the organization and that the leader
should demonstrate this trait to keep their subordinates trusting and loyal. Sun Zi
explains concisely the five pitfalls that a general should guard against, to wit:
Machiavelli says it another way. Although the use of fear is prevalent in The
Prince, its utilization must be justified by necessity and for reasons of keeping
Leaders should not be afraid of being labelled or perceived strict or mean so long as
he/she does not commit corruption and take advantage of his subordinates, and then
29
Ibid
30
Wee, Chow Hou, “Sun Zi Art of War: An Illustrated Translation with Asian Perspectives and Insights”,
Prentice Hall, Singapore,2003, p.226-228
19
For Sun Zi, the leader must exhibit five key character traits: wisdom, strictness,
sincerity, benevolence and courage. Machiavelli says that it is ideal for a prince to be
merciful, faithful, humane, religious, and upright; good traits that will endear the
prince to his people. However, ideal are the traits maybe, a reading of both works
does not say that these traits must be possessed at all times by the leader. In fact, in
the Art of War, Sun Zi articulates that a general’s actions and conduct really depends
on the circumstances. It must be remembered that the ultimate goal is to win the war
and preferably win it with the least confrontation. So a general must keep this in mind,
save his armies’ strength and resources and fight only when necessary. He even
espouses that the laws and rules must be strictly followed without regard of status
and rank as this is one way of instilling discipline and loyalty among the troops.
For Machiavelli, it is not possible to have all the “good” traits for a prince;
what is important is that the prince (leader) must appear to have the desired traits.
He must be mindful that when there is conflict between being “good” and doing the
right thing to maintain peace and order, the most expedient is the preferred choice.
To wit, he says:
“Therefore, it is unnecessary for a prince to have all the good qualities I have
enumerated, but it is very necessary to appear to have them. And I shall dare
to say this also, that to have them and always to observe them is injurious, and
that to appear to have them is useful; to appear merciful, faithful, humane,
religious, upright, and to be so, but with a mind so framed that should you require
not to be so, you may be able and know how to change to the opposite…it is
necessary for him to have a mind ready to turn itself accordingly as the
winds and variations of fortune force it, yet…not to diverge from good if he
can avoid doing so, but if compelled, then to know how to set about it.”
(Chapter 18)
This leadership style is best seen in the public sector. An example of such is the
imposition of the death penalty for the commission of heinous crimes. The taking of
20
the life of a person per se is morally wrong and for a government to institutionalize
such policy, makes it (the government) immoral. However, to maintain peace and
order, laws are necessary to keep people from taking revenge from each other.
Grave penalties are imposed to serve as a deterrent for the repetition of the offense.
Hence, a government that executes this penalty maybe morally wrong but due to
expediency, it is done to keep the stability of the society. For being too merciful and
keeping that trait is more injurious as people will take advantage of such
benevolence by breaching the peace and expect mercy. But if the leader from the
start makes clear this need for discipline and an example is made out of someone
who violates the rules, people will be more obedient. The injury suffered is inflicted
The two works, The Art of War and The Prince, are truly products of their
times. Borne out of a milieu of conflicts and war, Sun Zi and Machiavelli wrote these
treatises to serve the leaders of their time and resolve the challenges they were then
facing in order to build a better and peaceful society. Never have they realized that
these two little “books” have survived their generation and found application in
present times. It is not a matter of East meets West; but more of a convergence of
ideas that are similar yet flexible, that anyone, regardless of location, can apply.
21
REFERENCE LIST
Books
1. “The Art of War by Sun Tzu”, edited and with foreword by James Clavell,
Dell Publishing Group, Inc., New York, reprinted 1988
2. Skinner, Quentin, “Machiavelli A Very Short Introduction”, Oxford
University Press, NY, 2000
3. Wee, Chow Hou, “Sun Zi Art of War: An Illustrated Translation with Asian
Perspectives and Insights”, Prentice Hall, Singapore,2003
Journal Articles
Internet Sources
22