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Theory of Agents SUN-TZU'S BRIEF CHAPTER " Employing Spies, " being

fundamental to all subsequent military thought about covert agents and their activities, merits presentation in itself before we dissect it and note a few historical commentaries and

explications. The initial paragraphs presenting his justification for employing spies having just been cited, only the remaining two-thirds, which immediately analyze the types of agents, need be arrayed:

There are five types of spies to be employed: local spies,

internal spies, turned spies [double agents], dead [expendable]

spies, and living spies. When all five are employed together and no one knows their Tao, this is termed "spiritual methodology."

They are a ruler's treasures.

Local spies--employ people from the local district.

Internal spies--employ their people who hold government positions.

Double agents--employ the enemy's spies.

Expendable spies--are employed to spread disinformation outside the state. Provide our [expendable] spies [with false information] and have them leak it to enemy agents.

Living spies--return with their reports.

Thus of all the Three Armies' affairs no relationship is closer than with spies; no rewards are more generous than those

given to spies; no affairs are more secret than those pertaining to spies.

Unless someone has the wisdom of a Sage, he cannot use

spies; unless he is benevolent and righteous, he cannot employ spies; unless he is subtle and perspicacious, he cannot

perceive the sub

-133-stance in intelligence reports. It is subtle, subtle! There are no areas in which one does not employ spies.

If before the mission has begun it has already been exposed, the spy and those he informed should all be put to death.

In general, as for the armies you want to strike, the cities you want to attack, and the men you want to assassinate, you must first know the names of the defensive commander, his assistants, staff, door guards, and attendants. You must have our spies search out and learn them all.

You must search for enemy agents who have come to spy on us. Tempt them with profits, instruct and retain them. Thus double agents can be obtained and employed. Through

knowledge gained from them you can recruit both local and internal spies. Through knowledge gained from them the expendable spy can spread his falsehoods, can be used to misinform the enemy. Through knowledge gained from them our living spies can be employed as times require.

The ruler must know these five aspects of espionage work. This knowledge inevitably depends on turned spies; therefore, you must be generous to double agents.

In antiquity, when the Yin [Shang] arose, they had Yi Chih [Yi Yin] in the Hsia. When the Chou arose, they had Lü Ya [the T'ai Kung] in the Yin. Thus enlightened rulers and sagacious

generals who are able to get intelligent spies will invariably attain great achievements. This is the essence of the military, what the Three Armies rely on to move.

In his penultimate chapter Sun-tzu thus delineated the characteristics and functions of five categories of spies that founded all future theorizing. Even though the categories were

gradually expanded over the years, essentially being

subdivided, refined, and redefined until numbering some thirty-two in the Ming dynasty, the basic types remained unchanged. Even though Sun-tzu's definitions are generally clear, it should be noted that "local spies" refers not just to agents recruited in specific areas, but may also include anyone who temporarily resides outside their native habitant, such as emigrants, experienced travelers, and peripatetic "persuaders"

who readily provide information about other states as an

integral part of their persuasive efforts. Thus, as discussed in the section on early history, China's first spies--Yi Yin and the T'ai Kung--did not actually engage in clandestine spy work within a foreign state (a function performed by internal spies or living spies), but were essentially defectors. In this role,

essentially in exile, they provided valuable general information about gov

-134-ernment officials and local configurations of terrain, thereby meriting the designation of "local spies" or "local guides."

Living spies were often talented individuals of exceptional perspicacity who could be dispatched to foreign states, sometimes in diplomatic guise, to observe and then report back. They normally comprised the greatest number of agents so as to provide the state with multiple means for acquiring data.

Double agents were spies dispatched by the enemy who had been detected and subsequently either converted to the state's cause or bribed. ( Sun-tzu's definition eventually evolved to include enemy agents who were being unconsciously

manipulated. Although such manipulation certainly was not unique to China, most traditions would not term such

individuals "double agents" or "turned agents" given the absence of any volitional component. However, throughout Chinese history the process of converting or turning them to one's own use was the defining factor, not whether they were knowledgeable or participants.) Sun-tzu highly esteemed true double agents because they might provide extensive, detailed information about the enemy's internal situation:

You must search for enemy agents who have come to spy on us. Tempt them with profits, instruct and retain them. Thus double agents can be obtained and employed. Through

knowledge gained from them you can recruit both local and internal spies. Through knowledge gained from them the expendable spy can spread his falsehoods, can be used to misinform the enemy. Through knowledge gained from them our living spies can be employed as times require.

The ruler must know these five aspects of espionage work. This knowledge inevitably depends on turned spies; therefore, you must be generous to double agents.

The prolific Li Ching also pondered the nature of spycraft at the start of the T'ang dynasty, concluding:

Can victory in warfare be sought in Heaven or Earth, or must it be accomplished through men? When we examine the ways the ancients historically employed spies, we find that their subtle techniques were not singular. Some spied on rulers, the ruler's close associates, capable officials, assistants, close neighbors, associates, and allies. Tzu Kung, Shih Liao, Ch'en, Chen, Su Ch'in, Chang Yi, Fan Sui, and others all relied upon these techniques to achieve results.

-135-There are five categories in the Tao of spycraft: Those who rely on local connections to submerge themselves, observe and investigate, and then report on everything they have learned.

Those who take advantage of the enemy's closely trusted people to deliberately leak false information for transmission to them.

Those who rely upon their emissaries to twist affairs about and then return. Those worthy and talented individuals who are dispatched to discover the enemy's inclinations and vacuities and return to discuss them. And those who are accused of fabricated offenses so that they might subtly leak out false reports and specious plans, who then perish because of their reports to the enemy. Now these five categories of spies all must be kept hidden and secret. Treat them generously with rewards and keep them more than secret, for then they can be employed. ¹

Obviously Li Ching's categories are closely based upon Sun-tzu, although with slight twists, such as the nature of so-called local spies or connections--Sun-tzu's local guides; trusted

personnel--internal spies; emissaries--turned or double agents;

selected worthies and talents--living spies; and entangled in offenses--dead agents.

The Ch'ang-tuan Ching's military section, dating from roughly the first quarter of the eighth century, also discusses Sun-tzu's five agents in a chapter that heavily quotes "Employing Spies"

but illustrates the categories with interesting historical examples:

The Chou Li states, "The one who circulates among the feudal states and reports back on their spies is a 'turned agent.'"² The T'ai Kung said, "When an agent snares words flying about, they can be accumulated to compose a company of troops." From this we know that the Tao for employing agents is not a

momentary affair. Thus there are five types of agents: local spies, internal spies, double agents, living spies, and

expendable spies. These five types of agents all originated together, no one knows their Tao.

Local spies--employ people from the local district.

Internal spies--employ their people who hold government positions.

Double agents--employ the enemy's agents.

Living spies--return with their reports.

Expendable spies--reemployed to spread disinformation outside the state. Provide our [expendable] spies [with false

information] and have them leak to enemy agents.

In the Han dynasty when Pan Chao, Protector for the Western regions, was first appointed as chief of the regional generals, he

-136-mobilized all the infantry and cavalry from the areas under his control--some twenty-five thousand--to attack the minor border state of Sha-ch'e. Sha-ch'e sought aid from the state of Kuei-tzu. The king of Kuei-tzu dispatched his General of the Left to

mobilize troops from the states of Wen-su, Ku-mo, and Wei-t'ou, assembling some fifty thousand men to assist him. Pan Chao then summoned his subordinate commanders and the kings of Yü-t'ien and Su-leh and informed them: "Our troops are too few to be a match for the enemy, so it would be best to separate and disperse. The troops from Yü-t'ien should go east from here, I will return west. When you hear the sound of the drums in the middle of the night, have your troops set out."

They all concurred. Thereafter he secretly arranged to have some captured prisoners escape and report his words to the king of Kuei-tzu. Overjoyed, the king had his General of the Left, in command of ten thousand cavalry, set off to intercept Pan Chao at the western border and the king of Wen-su, in command of eight thousand cavalry, intercept Yü- t'ien's forces at the eastern border. However, after conspicuously assigning their missions, Pan Chao secretly ordered his colonels, in command of picked troops and elite warriors, to race to Sha- ch'e encampment at the first cock's crow, whereupon they assaulted and overcame them. Although the defenders were terrified into running off, Chao's troops still killed some five thousand Hu tribesmen and eventually forced Sha-ch'e to surrender.

Furthermore, there is the case of Keng Yen conducting a

punitive expedition against Chang Pu. ³ When Chang Pu, who had rebelled against the Han, heard about their approach, he had general Fei Yi deploy at Li-hsia and separately ordered troops to encamp at Chu-a. In addition, he established a line of several dozen fortified camps between T'ai-shan and Chung-ch'eng in preparation for Keng Yen.

Keng Yen crossed the Yellow River and advanced to attack Chu-a first. When seizing it, he deliberately left one corner of the encirclement open in order to allow some of their troops to flee back to their base at Chung-ch'eng. When the men there heard that Chu-a had already collapsed, they were terrified and fled, leaving behind a deserted shell. General Fei Yi split up his forces and dispatched his younger brother Fei Kan to defend Chü-li. When Keng Yen advanced, he first threatened Chü-li, loudly ordering the troops to cut down numerous trees to fill in the moat and build hillocks and thereby force its surrender within days. When Fe Yi learned that Keng Yen was about to

assault Chü-li, he laid plans to go and rescue the city. Keng Yen then ordered every

-137-one to repair their assault equipment, visibly planning to employ all their strength to assault Chü-li's fortifications in three days. However, he secretly left an opening in the siege so that a few soldiers from the city might escape, race back to Fei Yi, and report the time of Keng Yen's attack.

On the appointed day Fei Yi himself came forth to rescue Chü- li. Keng Yen happily addressed his staff generals: "The reason I had our assault equipment repaired was to entice Fei Yi to come here. His arrival is exactly what I wanted." Then, after splitting off three thousand men to maintain the effort at Chü-li, he personally led his elite units in ascending the

surrounding hills and ridges. Thus, they were able to exploit the heights when engaging Fei Yi in battle and managed to severely defeat his army, killing Fei Yi himself. These are examples of employing local spies.

During the Chin dynasty Luo Shang, regional governor for Yi- chou, dispatched Wei Po to assault Li Hsiung, who held the city of P'i. After several pitched battles Li Hsiung summoned P'u T'ai, a native of Wu-tu; whipped him until he bled; and then had him falsely report to Luo Shang that he wanted to mount a treacherous response within the city, and would mark its

initiation by setting a fire. Trusting him, Luo Shang sent forth all his elite soldiers and also dispatched Wei Po and other officers to follow to P'u T'ai's directions. Meanwhile, Li Hsiung had already dispatched Li Huan to establish an ambush along Luo Shang's route of approach. Pu T'ai then set some long ladders out against the walls and started a fire. When Wei Po saw the fire arise, his troops all competed with each other to climb their rungs. Pu T'ai also hauled up several hundred

soldiers with ropes and killed them all. Li Hsiung then released the troops both from within the city and held in ambush

outside to suddenly mount a two-pronged attack on the enemy.

Striking from within and without, they extensively destroyed Luo Shang's army. Such is the power of employing internal agents.

Duke Wu of the state of Cheng wanted to attack the nomadic Hu peoples, so he first had his son take a Hu woman as his wife and then queried his ministers, saying: "I want to employ our army, whom might we attack?" Kuan Ch'i-ssu, a high official, replied, "The Hu can be attacked." Duke Wu angrily slew him, exclaiming: "The Hu are a brother state. How can you say we should attack them?" When the Hu heard about it, their ruler assumed Cheng regarded them as relatives and thus made no preparations against them. Cheng then launched a sudden attack that seized them all. This is the power of

employing a dead agent.

-138-Through bribery Ch'en P'ing released double agents amid Ch'u's army and caused Fan Tseng's estrangement when Hsiang Yü, the king of Ch'u, doubted his loyalty. This is the power of employing double agents.

Thus we know that among the intimates of the Three Armies, none are closer than spies; no rewards are more generous than given to spies; no affairs more secret than those pertaining to spies. Unless someone has the wisdom of a Sage, he cannot use spies. Unless he is secret and subtle, he cannot perceive the substance in intelligence reports. ⁴ This is the essence of the Three Armies, emphasized only by the wise and

perspicacious. ⁵

Although the chapter is organized around what might be termed "orthodox" definitions of agent categories, the actual terminology and examples are hardly what one would expect from Sun-tzu's definitions or the commentaries that coalesced around the Art of War. Perhaps this reflects the ignorance of an amateur writing on military matters; perhaps he had simply developed different conceptions of covert intelligence gathering.

For example, the "local spies" found in his example are simply besieged soldiers who were tricked into becoming false

prophets, disseminating pre-scripted information that would prompt desired enemy action. Some theorists would in fact term them "double" or "turned" agents because they were

enemy personnel converted to one's own use, even though not originally spies. (In fact, the term "turned" agent in most of the historical works simply refers to such "others" being

consciously employed to further covert causes, whether

subversive or mere intelligence gathering.) Similarly, identifying P'u T'ai as an "internal agent" is rather skewed because he was clearly a counterfeit traitor or double agent who only appeared to be an internal agent from Luo Shang's perspective in the sense of already being present in Li Hsiung's camp and capable of undertaking a subversive, internal response coordinated with an external assault. ( P'u T'ai's feigned betrayal of course also excludes him from the traditional definition of a turned or double agent--even though he would be so described today--not having been tempted from his original loyalties and

assignment.) Kuan Ch'i-ssu in no way merits the designation of

"expendable agent" because he was simply a sacrificial lamb, an essential part of a disinformation ploy to allay Hu

suspicions. A foil for the duke's stratagem, he was never

employed to spread disinformation or act in any covert capacity beyond the state's borders. However, the reference to Ch'en P'ing's double agents follows the more colloquial approach of the historical writings, for they may have actually been

-139-double agents, but more likely were just agents sent in to spread disinformation, or perhaps local officials or staff

members bribed to create suspicion, and thus merely internal agents. Of all the theoretical writings based upon Sun-tzu

"Employing Spies," this chapter diverges the most radically.

Li Ch'uan, writing in his T'ai-pai Yin-ching perhaps a half century later, however, reverted to the old term of hsing-jen, which by this time had evolved with the language and lost the early connotations associated with the Chou dynasty official previously examined, coming to mean simply "traveler." He commences his chapter entitled "Hsing-jen," which might be translated "Roving Agents," in Sun-tzu's mode, condemning ignorance and any appeal to otherworldly sources, then

proceeds to examine what he considers the two fundamental types of agents:

If the ruler selects a day to ascend the altar and appoint a commanding general; has the weapons and armor put into good order; the troops venture forth to destroy the enemy's state, defeat the enemy's army, kill the enemy's general, and

take their people prisoner; transports provisions out ten

thousand kilometers; and penetrates the enemy's borders, yet does not know the enemy's true situation, this is the

commanding general's error.

The enemy's true situation cannot be discerned among the stars and constellations, or sought from ghosts and spirits, or acquired through divination or prognostication, but can be sought among men. ⁶ In antiquity when the Shang arose Yi Yin was a cook in the Hsia; when the Chou arose, the T'ai Kung

The enemy's true situation cannot be discerned among the stars and constellations, or sought from ghosts and spirits, or acquired through divination or prognostication, but can be sought among men. ⁶ In antiquity when the Shang arose Yi Yin was a cook in the Hsia; when the Chou arose, the T'ai Kung

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