The Art of War, Chapter 11: 九地 (The Nine Situations)

The previous chapter looked at the nine variations (九變) a commander must be ready to make. Chapter 11 turns to the situation itself. It sorts the ground into nine kinds and argues that each kind changes how soldiers feel, how tightly they hold together and what a commander should do. It is the longest chapter in the book.

Like every chapter in this series, it has three parts: the reading, an analysis of what the chapter argues, and how finance professionals can interpret it in their own work. The original text follows the Chinese Wikisource edition of 《孫子兵法》. The Chinese and English explanations are Claude’s own paraphrase.

Reading the chapter

11.1

原文

孫子曰：凡用兵之法，有散地，有輕地，有爭地，有交地，有衢地，有重地，有圮地，有圍地，有死地。諸侯自戰其地者，為散地；入人之地而不深者，為輕地；我得則利，彼得亦利者，為爭地；我可以往，彼可以來者，為交地；諸侯之地三屬，先至而得天下之衆者，為衢地；入人之地深，背城邑多者，為重地；山林、險阻、沮澤，凡難行之道者，為圮地；所由入者隘，所從歸者迂，彼寡可以擊吾之衆者，為圍地；疾戰則存，不疾戰則亡者，為死地。

中文解說

孫子說：用兵的通則，地勢可分九種：散地、輕地、爭地、交地、衢地、重地、圮地、圍地、死地。諸侯在自己領地內作戰，叫散地；進入敵境不深，叫輕地；我方得到有利、敵方得到也有利的地方，叫爭地；我可以去、敵也可以來的地方，叫交地；與多個諸侯的領地相接，先到就能得到天下各方支持的地方，叫衢地；深入敵境、身後已越過許多城邑，叫重地；山林、險阻、沼澤等難以通行的道路，叫圮地；進入的路狹窄、退回的路迂遠，敵人以少數就能打擊我方多數的地方，叫圍地；迅速奮戰就能生存、不迅速奮戰就會滅亡的地方，叫死地。

English

Sun Tzu lists nine kinds of ground. Dispersive ground is a lord's own territory, where his troops fight close to home. Light ground is shallow entry into enemy land. Contentious ground benefits whoever holds it. Open ground can be crossed by either side. Intersecting ground touches several states, and whoever arrives first gains their support. Heavy ground is deep in enemy land with many towns left behind. Difficult ground is mountain, forest, marsh and other hard going. Encircled ground has a narrow way in and a long way out, so a small enemy force can hit a large one. Death ground is where fast fighting means survival and delay means destruction.

The names are often translated differently. What matters is that each type is defined by the soldier's position and options, not by the terrain alone.

11.2

原文

是故散地則無戰，輕地則無止，爭地則無攻，交地則無絕，衢地則合交，重地則掠，圮地則行，圍地則謀，死地則戰。

中文解說

因此：在散地不要作戰，在輕地不要停留，在爭地不要強攻，在交地不要斷了聯絡，在衢地要結交盟國，在重地要就地掠取糧食，在圮地要迅速通過，在圍地要出奇謀，在死地就要拚死一戰。

English

From this follow nine rules. Do not fight on dispersive ground. Do not halt on light ground. Do not attack on contentious ground. Do not break contact on open ground. Form alliances on intersecting ground. Forage on heavy ground. Keep moving on difficult ground. Plan cleverly on encircled ground. Fight on death ground.

Several of these rules look odd at first. The later passages in this chapter, especially 11.7, explain them by the state of the troops' minds.

11.3

原文

所謂古之善用兵者，能使敵人前後不相及，衆寡不相恃，貴賤不相救，上下不相收，卒離而不集，兵合而不齊。合於利而動，不合於利而止。敢問︰「敵衆整而將來，待之若何？」曰：「先奪其所愛，則聽矣。」故兵之情主速，乘人之不及，由不虞之道，攻其所不戒也。

中文解說

古時善於用兵的人，能使敵人前後軍不能相接應，大部隊和小部隊不能相依靠，官和兵不能相救助，上下不能相聯繫，士卒離散而無法集結，即使集合起來也不整齊。對我有利就行動，對我不利就停止。有人問：「敵人人多而整齊，將要前來，該怎麼對付？」回答是：「先奪取他最珍視的東西，他就會聽從擺佈了。」用兵的實情貴在迅速，要趁敵人來不及反應，走他意料不到的路，攻擊他沒有戒備的地方。

English

Skilled commanders of the past kept the enemy divided. The front and rear could not reach each other, large and small units could not rely on each other, officers and men could not help each other, and scattered troops could not regroup or fight in order. They moved when it served their interest and stopped when it did not. Asked how to meet a large, orderly enemy about to attack, the text answers: first seize something he values, and he will follow your lead. Speed is the essence of war. Use the enemy's unpreparedness, take the route he did not expect and strike where he is not on guard.

The point is about breaking an opponent's coordination. It is an observation about armies, not about people dealing with each other in good faith.

11.4

原文

凡為客之道，深入則專，主人不克。掠于饒野，三軍足食。謹養而勿勞，併氣積力，運兵計謀，為不可測。投之無所往，死且不北。死焉不得，士人盡力。兵士甚陷則不懼，無所往則固，深入則拘，不得已則鬥。是故其兵不修而戒，不求而得，不約而親，不令而信。禁祥去疑，至死無所之。吾士無餘財，非惡貨也；無餘命，非惡壽也。令發之日，士卒坐者涕沾襟，偃臥者淚交頤。投之無所往者，則諸、劌之勇也。

中文解說

凡是進入敵境作戰的原則：越深入，士兵越專心一致，守方就難以戰勝他們。在富饒的原野上掠取糧食，全軍就有足夠的給養。要謹慎休養而不要使士兵勞累，集聚士氣、積蓄力量，部署兵力、運用計謀，讓敵人無法捉摸。把士兵放到無路可走的地方，他們寧死也不會敗退。既然連死都不怕，哪有得不到的力量，官兵都會盡力。士兵陷入危境，反而不害怕；無路可退，意志就堅定；深入敵境，就會團結；到了不得已，就會拚鬥。所以這樣的軍隊不用整訓就知戒備，不用要求就能盡力，不用約束就能親近，不用號令就能守信。禁止迷信、消除疑慮，直到戰死也不會逃離。我們的士兵沒有多餘的財物，不是厭惡財貨；不顧惜生命，不是不想長壽。出征命令下達之日，坐著的士兵淚濕衣襟，躺著的士兵淚流滿面。把他們放到無路可走的地方，他們就會有專諸、曹劌那樣的勇氣。

English

For an invading army, the deeper it goes, the more united it becomes, and the defenders cannot overcome it. Forage in rich country to feed the army. Keep the troops rested, gather their spirit and build their strength, and plan so that the enemy cannot read your moves. Put them where there is nowhere to go, and they will die rather than run. When death is no longer feared, what is there that they cannot do? Soldiers in desperate danger lose their fear. With no way out they hold firm, deep in enemy land they stay together, and when there is no choice they fight. Such troops need no drilling to be alert, no urging to deliver, no pledge to be loyal and no orders to be trustworthy. Ban omens and doubt, and they will not leave even at the risk of death. They carry no spare wealth, but not because they dislike money. They do not spare their lives, but not because they dislike long life. On the day orders are given, those sitting weep into their sleeves and those lying down weep onto their cheeks. Yet put them where there is no escape, and they show the courage of Zhuan Zhu and Cao Gui.

This is the core of the chapter. Commitment comes from the removal of alternatives. Note the second half, though: the passage also says to feed and rest the troops. The text is not praising neglect.

11.5

原文

故善用兵者，譬如率然。率然者，常山之蛇也。擊其首則尾至，擊其尾則首至，擊其中則首尾俱至。敢問︰「兵可使如率然乎？」曰︰「可。夫吳人與越人相惡也，當其同舟而濟。遇風，其相救也，如左右手。」是故方馬埋輪，未足恃也；齊勇如一，政之道也；剛柔皆得，地之理也。故善用兵者，攜手若使一人，不得已也。

中文解說

善於用兵的人，就像率然。率然是常山的一種蛇，打牠的頭，尾巴就來救；打牠的尾巴，頭就來救；打牠的腰，頭和尾巴一起來救。有人問：「軍隊可以像率然那樣嗎？」回答是：「可以。吳國人和越國人互相仇視，但當他們同船渡河時遇上大風，彼此相救就像左右手一樣。」所以，把馬拴在一起、把車輪埋起來，並不足以靠它來穩固軍隊；要使全軍勇敢如一人，靠的是治軍之道；要使強者弱者都能發揮作用，靠的是對地形的運用。所以善於用兵的人，能使全軍手拉手像一個人一樣，是因為形勢使他們不得不如此。

English

A skilled commander makes the army like the shuairan, a snake of Mount Chang. Strike its head and the tail comes. Strike its tail and the head comes. Strike its middle and both come. Can an army be made like that? The text says yes. The people of Wu and Yue hate each other, but if they share a boat in a storm, they help each other like left and right hands. Tethering horses and burying wheels is not enough to hold a force in place. Courage that is uniform comes from sound management, and getting the best from both strong and weak comes from the use of ground. So a skilled commander leads the whole army by the hand as if it were one man, because the situation leaves no other choice.

The boat story is the key image. Shared risk can unite people who have no goodwill for each other. The last line puts the cause in the situation, not in the commander's charm.

11.6

原文

將軍之事，靜以幽，正以治。能愚士卒之耳目，使之無知；易其事，革其謀，使人無識；易其居，迂其途，使人不得慮。帥與之期，如登高而去其梯；帥與之深入諸侯之地，而發其機，焚舟破釜，若驅群羊。驅而往，驅而來，莫知所之。聚三軍之衆，投之於險，此謂將軍之事也。九地之變，屈伸之利，人情之理，不可不察也。

中文解說

主將處事，要沉著安靜而深不可測，公正嚴明而有條理。他能夠使士兵的耳目受到蒙蔽，不讓他們知道全部計劃；改變做法、更換謀略，使人無法識破；變換駐地、繞道行軍，使人無法推測意圖。主帥給士兵下達任務，就像登高之後抽掉梯子；主帥率領士兵深入諸侯之地，就像扣動弩機射出箭一樣一往無前；燒掉船隻、砸破鍋釜，像驅趕羊群一樣，趕過去、趕回來，士兵不知道要去哪裡。集合全軍，把他們投入險地，這就是主將要做的事。九種地形的應變、進退伸縮的利害、人的心理常情，不可不仔細考察。

English

The general's work is to be calm and unfathomable, upright and orderly. He can keep the troops' eyes and ears uninformed, change his methods and plans so that no one can read them, and shift camp and take roundabout routes so that no one can guess his purpose. He gives the army its task like a man who climbs high and removes the ladder. He takes it deep into other states and releases the trigger, burning the boats and smashing the cooking pots, driving the men like a flock of sheep. They go and come back, and none know where they are headed. Gathering the whole force and casting it into danger is the general's business. The changes across the nine kinds of ground, the gain from advancing or holding back, and the principles of human feeling must all be examined (察).

This passage is the hardest to read today. The phrase 愚士卒之耳目 is usually taken as a literal instruction to keep the troops ignorant of the plan, mainly for security. Some commentators read it more softly, as not burdening them with detail. Either way, it describes a general who withholds information from his own side, and Claude does not treat that as a model for modern work.

11.7

原文

凡為客之道，深則專，淺則散。去國越境而師者，絕地也；四達者，衢地也；入深者，重地也；入淺者，輕地也；背固前隘者，圍地也；無所往者，死地也。是故散地，吾將一其志；輕地，吾將使之屬；爭地，吾將趨其後；交地，吾將謹其守；衢地，吾將固其結；重地，吾將繼其食；圮地，吾將進其途；圍地，吾將塞其闕；死地，吾將示之以不活。故兵之情：圍則禦，不得已則鬥，過則從。

中文解說

凡是進入敵境作戰的原則：深入就專一，淺入就容易渙散。離開本國、越過邊境而出兵的地方，叫絕地；四通八達的地方，叫衢地；深入敵境的，叫重地；進入不深的，叫輕地；背後險固、前面狹隘的，叫圍地；無路可走的，叫死地。因此，在散地，要統一士兵的意志；在輕地，要使部隊緊密連接；在爭地，要迂迴到敵人後方；在交地，要謹慎防守；在衢地，要鞏固與諸侯的結盟；在重地，要保證糧食接濟；在圮地，要迅速通過；在圍地，要堵住缺口；在死地，要向士兵表明只有拚死才能活命。士兵的心理是：被包圍就會抵抗，迫不得已就會拚鬥，陷入極端危險就會服從。

English

Again the text says that deep invasion produces focus and shallow invasion produces scattering. It restates several types and then gives a second set of instructions, this time about what the commander does. On dispersive ground, unify the troops' will. On light ground, keep units closely linked. On contentious ground, hurry up behind the enemy. On open ground, guard carefully. On intersecting ground, strengthen the alliances. On heavy ground, keep food coming. On difficult ground, push through. On encircled ground, close the gap. On death ground, show the men that survival lies only in fighting. The summary is about human nature: surrounded men resist, men with no choice fight, and men in extreme danger obey.

This passage disagrees with 11.2 in places, for example on contentious ground, and on encircled ground (close the gap here, plan cleverly there). Commentators have long debated the original wording, and some see textual corruption. Claude does not try to settle that. The common thread is that the commander shapes the soldier's sense of the situation.

11.8

原文

是故不知諸侯之謀者，不能豫交；不知山林、險阻、沮澤之形者，不能行軍；不用鄉導者，不能得地利。四五者，不知一，非霸王之兵也。夫霸王之兵，伐大國，則其衆不得聚；威加於敵，則其交不得合。是故不爭天下之交，不養天下之權，信己之私，威加於敵，則其城可拔，其國可隳。

中文解說

所以，不了解諸侯的圖謀，就不能預先結交；不了解山林、險阻、沼澤的地形，就不能行軍；不用嚮導，就得不到地形的好處。這幾方面中只要有一項不了解，就不是霸王的軍隊。霸王的軍隊攻打大國，能使敵國的民眾來不及集結；兵威加於敵國，能使它的盟國不能與它聯合。所以不必爭著與天下各國結交，也不必在天下培植權勢，只要相信自己的實力，把威勢加在敵人身上，就能攻下敵人的城池，摧毀敵人的國家。

English

A commander who does not know the intentions of the other states cannot form alliances in advance. One who does not know the mountains, forests, defiles and marshes cannot march. One who does not use local guides cannot gain the benefit of the ground. A force that is ignorant of even one of these is not a force fit for a leading power. A leading power attacking a large state keeps its people from gathering and keeps its allies from joining it. So it does not need to compete for alliances everywhere or build up power abroad. It relies on its own strength, and pressure on the enemy can then take its cities and bring down its state.

The first sentence repeats a line from the chapter on manoeuvre. The point here is that knowledge of the surroundings comes before any commitment of force. The last sentence is read in two ways: as confidence in one's own strength, or as a warning about overreach. The text does not say.

11.9

原文

施無法之賞，懸無政之令。犯三軍之衆，若使一人。犯之以事，勿告以言；犯之以利，勿告以害。投之亡地然後存，陷之死地然後生。夫衆陷於害，然後能為勝敗。故為兵之事，在於佯順敵之意，併敵一向，千里殺將，是謂巧能成事者也。

中文解說

頒發超出常規的獎賞，懸掛不拘慣例的號令。指揮全軍的眾人，就像指揮一個人。使用他們去做事，不要告訴其中的用意；使用他們去爭利，不要告訴其中的危害。把他們投入絕境，才能保存；陷入死地，才能求生。軍隊陷入危險境地，才能掌握勝敗。所以用兵的事，在於假裝順從敵人的意圖，集中兵力攻擊敵人一處，千里奔襲而殺死敵將，這叫做巧妙地完成大事。

English

Give rewards that go beyond the usual rules and issue orders that go beyond the usual regulations. Direct the whole army as if it were one man. Assign them tasks without explaining the purpose, and offer them gain without mentioning the danger. Cast them into a place of ruin and they survive, put them on death ground and they live. A force that has fallen into danger is the one that can turn the result. So the business of war is to seem to go along with the enemy's wishes, concentrate on one point, and kill the enemy's general a thousand li away. This is called accomplishing a task through skill.

This is the second passage that tells the commander to keep the troops uninformed, and it goes further by saying not to mention the danger. Claude reads it as a description of ancient command, not as advice. The word 犯 is also read as 用 (use), and the exact meaning of the first sentence is disputed.

11.10

原文

是故政舉之日，夷關折符，無通其使；厲於廊廟之上，以誅其事。敵人開闔，必亟入之，先其所愛，微與之期，踐墨隨敵，以決戰事。是故始如處女，敵人開戶；後如脫兔，敵不及拒。

中文解說

所以，決定開戰的那一天，要封鎖關口、廢除通行憑證，不許敵國使者往來；在朝廷上反覆砥礪謀劃，決定此事。敵人一旦露出破綻，必須迅速乘虛而入，先奪取他最珍視的東西，不與敵人約定交戰的時間，遵守規矩而隨敵情變化，以決定作戰。所以開始時像處女一樣安靜，使敵人放鬆戒備、打開門戶；之後像脫逃的兔子一樣迅猛，使敵人來不及抵抗。

English

On the day the decision to fight is made, close the borders, void the passes and let no envoys through. Debate the plan hard in the council hall until it is settled. When the enemy leaves a door open, enter at once. Take what he values first, keep to the plan without fixing the date of battle for him, and adapt to the enemy to decide the engagement. Be like a young woman at first, so that the enemy opens his door. Then be like a hare on the run, so that he cannot stop you.

The closing image is about posture. A quiet start invites the other side to relax, and a fast finish leaves it no time to respond. The line 微與之期 is read two ways: as setting no fixed time with the enemy, or as agreeing the timing only with a few of one's own people.

Analysis: what the chapter argues

Situation shapes the soldier. 11.1 sorts the ground by the soldier’s position and options. 11.2 and 11.7 then give a rule for each type. The chapter’s claim is that the same men behave differently depending on where they stand. Near home they scatter, deep in enemy land they hold together, and with no way out they fight.

Commitment comes from fewer options. 11.4 states it most directly: when there is nowhere to go, men do not run. They hold firm, stay together and fight as a matter of course. 11.7 repeats it as a rule of feeling: surrounded men resist, men with no choice fight, and men in extreme danger obey. The text presents this as an observation about people under pressure.

It is not a licence to neglect. The same passage in 11.4 tells the commander to keep the troops fed and rested and to gather their strength. The desperate unity depends on the army being in good condition before it is committed. Sources of strength, supplies and clear goals matter as much as the lack of an exit.

Shared risk unites people. 11.5 gives the Wu and Yue boat. People who dislike each other help each other when they share the same danger. The text says the cause is the situation, not the leader’s persuasion. 11.5 also warns that physical restraint such as tethering horses does not hold an army together.

The general controls information, and this is contested. 11.6 and 11.9 describe a commander who keeps troops uninformed about plans, risks and purposes. The usual reading is literal and rooted in secrecy in a world without secure communication. Some read it more mildly as not overloading soldiers. Claude reads it as a description of the ancient setting, and the finance section below treats it with caution.

Know the ground before moving. 11.6 and 11.8 both stress knowing the surroundings: other states’ intentions, terrain and local guides. The first of these lines also appears in the chapter on manoeuvre. Knowledge comes first, and commitment follows it.

Keep the opponent divided. 11.3 describes a commander who prevents the enemy from coordinating, and who acts when it serves his interest and stops when it does not. 11.10 adds speed and surprise: quiet at first, then fast.

The text is not fully consistent. 11.2 and 11.7 do not always give the same rule for the same ground, and the translation of several names is uncertain. Readers should treat the nine rules as a set of cases to think with, not as a table to apply mechanically.

How finance professionals can read it

This section is Claude’s interpretation. Sun Tzu wrote about armies, and none of the mappings below are his. It is also about lawful information gathering and posture only. Nothing here endorses using material non-public information, insider trading, misrepresentation, or breaching confidentiality or any law. Passages 11.6 and 11.9 describe a commander keeping his own troops uninformed. That is not an acceptable practice in finance. Duties of disclosure and honesty to clients, investors, counterparties and colleagues apply, and legal and compliance checks should be made before acting on any idea below.

Investing

• Know which situation the position is in. The chapter sorts ground by the options it leaves open. A position held with a clear exit is a different commitment from one that is illiquid, locked up or too large to sell without moving the price. Write down which one it is before sizing it.
• Distinguish a shallow entry from a deep one. 11.4 and 11.7 say that shallow entry scatters and deep entry focuses. A small trial position can be dropped easily, which is useful but weakly held. A large position needs conviction and a plan for the downside. Decide on purpose which one you are building.
• Be careful about burning the boats. 11.6 is about removing the way back. In investing, that analogy applies to leverage, lock-ups and concentration. These can force discipline, but they can also force a sale at the worst time. Treat the loss of options as a cost to be priced.
• Do the homework first. 11.8 says an army that does not know the surroundings cannot march. Before committing, use public information, filings, expert calls through proper channels and the company’s own disclosures.

Raising funds

• A company with no alternatives behaves differently. A business that must close a round or fail is in a death ground. It may be very focused, and it also negotiates from weakness. Investors will notice, and founders should know how they look from the other side.
• Align the people who share the risk. The Wu and Yue boat in 11.5 suggests that investors and management who face the same downside, such as through co-investment or meaningful ownership, tend to act more as one. Check the terms and any conflicts of interest.
• Do not hide risks from investors. The chapter describes offering gain without mentioning danger. In a raise, that would be a misleading offer. Disclose the material risks in the way securities law and the offering documents require.
• Know who else is in the room. 11.8 starts with knowing other states’ intentions. In a raise, that means understanding who else the investor is talking to, within the limits of what is lawful and public.

M&A

• Name the situation each side is in. A seller under time pressure, a buyer who has already told its board it will transact, and a target in distress are in different positions. Knowing which one applies helps set expectations about timing and price.
• Commitment cuts both ways. A buyer that has gone public with its interest has burned some boats. It may also be locked into a path that a rival can read. Think about what the announcement removes from your own options.
• Manage the team through the deal. The teams on a long transaction are under pressure and may feel they have nowhere to go. 11.4 says to keep them rested and supplied, not only committed. Give them clear information on their role, the timetable and what will happen to their jobs, to the extent confidentiality permits.
• Integration is a new situation. After closing, the acquirer is deep in new ground with many things left behind. 11.7 says to keep supplies flowing and keep the units linked. Cover retention, systems and customer continuity before day one.
• Respect confidentiality without deceiving your own people. Deal secrecy is legitimate and often required. Misleading colleagues, clients or counterparties about material facts is not. If information cannot be shared, say that it cannot be shared.

Leading a team through a deal

• Pressure can unite and it can also break. A shared deadline can bring a team together, as in the boat in 11.5. Too much pressure for too long wears people out. 11.4 asks for rest and supply as well as resolve.
• Be the calm one. 11.6 describes a general who is calm and orderly. A team under strain looks to its lead for a steady tone, even when the news is bad.
• Tell the team what you can. The chapter’s advice to withhold is the part Claude would not follow. Explain the purpose and the risks to the people doing the work, within confidentiality limits.

Across all three

• Ask how many ways out remain. Before a commitment, count the real options for reducing or reversing it, and what each would cost.
• Do not confuse a forced position with a strong one. Having no exit can create focus, but it is not a strategy. Make sure the position is sound before the exits close.
• Gather information lawfully, then move. Knowledge of the surroundings comes first in 11.8. Use public and properly obtained sources, and keep a record of them.

Questions to carry into the next chapter

Chapter 12 (火攻) is about the attack by fire, and it asks when to strike, when to hold off and why a leader should not act out of anger.

• Which of your current commitments have no easy exit, and did you choose that on purpose?
• Does your team know as much about the deal and its risks as confidentiality allows?
• When did a shared deadline last help your team, and when did it start to wear them down?