Empty Fort Strategy
Encyclopedia
The Empty Fort Strategy is the 32nd of the Chinese Thirty-Six Stratagems. The strategy involves using reverse psychology
(and luck) to deceive the enemy into thinking that an empty fort is full of traps and ambushes, and therefore retreat. This tactic is best known for being used by the Three Kingdoms
period strategist Zhuge Liang
in a fictitious account in Luo Guanzhong
's historical novel Romance of the Three Kingdoms
.
There are two actual recorded battles employing such strategy during the Three Kingdom period. The first one, recorded in Yu Huan
's A Brief History of Wei
, was employed by Wen Ping in 226 at Jiangxia during an invasion led by Sun Quan
. The other and the more well known example was from Pei Songzhi
's annotations in Records of Three Kingdoms
, which was later romanticized by Luo Guanzhong in Romance of the Three Kingdoms (see the Hanzhong Campaign section below for more details).
by Luo Guanzhong
is a romanticization of the events in the prelude, and during the Three Kingdoms
era of Chinese history
. In the novel, chancellor Zhuge Liang
of the state of Shu
led six military expeditions to attack Chang'an
, a city controlled by the rival state of Wei
.
In the first expedition, Zhuge Liang's efforts were undermined by the loss of Jieting
, a strategic passageway into Zhuge's base at Hanzhong
. The defeat was due to the defiance of Ma Su
, who had refused to follow Zhuge Liang's orders to barricade the pathway. With the loss of Jieting, Zhuge Liang's current location, Xicheng (西城), was exposed and in peril of being attacked by the Wei army. As Zhuge Liang had deployed all his troops and was only left with a handful of civil officials with him in Xicheng, he decided to use a ploy to ward off the approaching enemy.
Zhuge Liang ordered all the city gates to be opened and had soldiers disguised as civilians sweeping the roads, while he personally sat on a platform on top of the gates, calmly playing the zither
with two boys flanking him. When the Wei army reached Xicheng, its commander Sima Yi
was baffled by the scene before him, and eventually ordered his troops to retreat.
Zhuge Liang later explained to his bewildered men that his strategy worked only because Sima Yi was a suspicious man, and had personally witnessed the success of Zhuge's effective ambuscade and misdirection tactics for many times. Besides, Zhuge Liang had a reputation for being a keen and extremely careful military strategist who rarely took risks. Zhuge Liang's well-known cautious attitude, coupled with Sima Yi's suspicions, led the latter to the conclusion that there was an ambush inside Xicheng. It was unlikely that the same strategy would have worked on someone else. Indeed, Sima Yi's son Sima Zhao
saw through the ruse immediately and advised his father against retreat, but Sima Yi ignored his son.
Due to the lack of historical evidence, historians generally consider this account to be purely fiction and part of common folklore on Zhuge Liang.
and Cao Cao were battling over the control of Hanzhong
. Cao Cao had huge supplies of rice stocked up near the North Mountain. Zhao Yun sent his soldiers with Huang Zhong
to attack Cao Cao's army and to capture the provisions. Huang Zhong did not return on time. Along with dozens of men, Zhao Yun went out of his camp to look for Huang. Cao Cao's main force was marching at that time, so Zhao Yun ran into Cao's vanguards. Not soon after the two sides commenced to engage in battle, Cao Cao's main force arrived. Zhao Yun fought his way out toward his own camp. When he found out his lieutenant general Zhang Zhu (張著) was wounded and fell behind, he went back to rescue him.
Cao Cao's army pursued Zhao Yun to his camp. At that time, the Administrator of Mianyang (沔陽), Zhang Yi
, was at Zhao Yun’s camp. Zhang thought it best to have all the gates closed in order to defend the camp. However, upon entering the camp, Zhao Yun ordered all banners to be dropped and hidden, all drums to be silenced, and the gates to be left completely open. Suspicious of an ambush, Cao Cao's army hastily retreated. Then Zhao Yun ordered his drummers to beat drums as loudly as they could, while his archers rain arrows down on the enemy. Cao Cao's stunned army was completely routed, and some soldiers rushed toward the Han River in an attempt to escape, but in confusion and panic many were pushed into the river and drowned.
in Japan
, Tokugawa Ieyasu
used the tactic during his retreat in the Battle of Mikatagahara
. He commanded that the fortress gates remain open, and that braziers be lit to guide his retreating army back to safety. One officer beat a large war drum, seeking to add encouragement to the returning men of a noble, courageous retreat. When the enemy forces, led by Baba Nobuharu
and Yamagata Masakage
heard the drums, and saw the braziers and open gates, they assumed that Tokugawa was planning a trap, and so they stopped and made camp for the night.
Reverse psychology
Reverse psychology is a technique involving the advocacy of a belief or behavior that is opposite to the one desired, with the expectation that this approach will encourage the subject of the persuasion to do what actually is desired: the opposite of what is suggested...
(and luck) to deceive the enemy into thinking that an empty fort is full of traps and ambushes, and therefore retreat. This tactic is best known for being used by the Three Kingdoms
Three Kingdoms
The Three Kingdoms period was a period in Chinese history, part of an era of disunity called the "Six Dynasties" following immediately the loss of de facto power of the Han Dynasty rulers. In a strict academic sense it refers to the period between the foundation of the state of Wei in 220 and the...
period strategist Zhuge Liang
Zhuge Liang
Zhuge Liang was a chancellor of the state of Shu Han during the Three Kingdoms period of Chinese history. He is often recognised as the greatest and most accomplished strategist of his era....
in a fictitious account in Luo Guanzhong
Luo Guanzhong
Luo Ben , better known by his style name Luo Guanzhong , was a Chinese writer of the early Ming Dynasty period of Chinese history. He was also known as Huhai Sanren...
's historical novel Romance of the Three Kingdoms
Romance of the Three Kingdoms
Romance of the Three Kingdoms, written by Luo Guanzhong in the 14th century, is a Chinese historical novel based on the events in the turbulent years near the end of the Han Dynasty and the Three Kingdoms era of Chinese history, starting in 169 and ending with the reunification of the land in...
.
There are two actual recorded battles employing such strategy during the Three Kingdom period. The first one, recorded in Yu Huan
Yu Huan
Yu Huan was a scholar and writer of the state of Cao Wei during the Three Kingdoms period of Chinese history.-Works:Yu was a native of present-day Xi'an, Shaanxi, and most notable for two works of his, the Weilue , and Dianlue, which are listed in the Book of Sui as volumes 33 and 89 respectively...
's A Brief History of Wei
Weilüe
The Weilüe written by Yu Huan between CE 239, the end of Emperor Ming’s reign, and 265 CE, the end of the Cao Wei . Although not an "official historian," Yu Huan has always been held in high regard amongst Chinese scholars....
, was employed by Wen Ping in 226 at Jiangxia during an invasion led by Sun Quan
Sun Quan
Sun Quan , son of Sun Jian, formally Emperor Da of Wu, was the founder of Eastern Wu during the Three Kingdoms period of Chinese history. He ruled from 222 to 229 as King of Wu and from 229 to 252 as Emperor of Wu....
. The other and the more well known example was from Pei Songzhi
Pei Songzhi
Pei Songzhi was commissioned by Emperor Wen of Liu Song to write a commentary on Chen Shou's Records of Three Kingdoms, providing additional detail omitted from the original work. His commentary, completed in 429, became integral to later editions of the Records, making the joint work three times...
's annotations in Records of Three Kingdoms
Records of Three Kingdoms
Records of Three Kingdoms , is regarded as the official and authoritative historical text on the Three Kingdoms period of Chinese history covering the years 184-280 CE. Written by Chen Shou in the 3rd century, the work combines the smaller histories of the rival states of Cao Wei , Shu Han and...
, which was later romanticized by Luo Guanzhong in Romance of the Three Kingdoms (see the Hanzhong Campaign section below for more details).
Zhuge Liang's Empty Fort Strategy
The historical novel Romance of the Three KingdomsRomance of the Three Kingdoms
Romance of the Three Kingdoms, written by Luo Guanzhong in the 14th century, is a Chinese historical novel based on the events in the turbulent years near the end of the Han Dynasty and the Three Kingdoms era of Chinese history, starting in 169 and ending with the reunification of the land in...
by Luo Guanzhong
Luo Guanzhong
Luo Ben , better known by his style name Luo Guanzhong , was a Chinese writer of the early Ming Dynasty period of Chinese history. He was also known as Huhai Sanren...
is a romanticization of the events in the prelude, and during the Three Kingdoms
Three Kingdoms
The Three Kingdoms period was a period in Chinese history, part of an era of disunity called the "Six Dynasties" following immediately the loss of de facto power of the Han Dynasty rulers. In a strict academic sense it refers to the period between the foundation of the state of Wei in 220 and the...
era of Chinese history
History of China
Chinese civilization originated in various regional centers along both the Yellow River and the Yangtze River valleys in the Neolithic era, but the Yellow River is said to be the Cradle of Chinese Civilization. With thousands of years of continuous history, China is one of the world's oldest...
. In the novel, chancellor Zhuge Liang
Zhuge Liang
Zhuge Liang was a chancellor of the state of Shu Han during the Three Kingdoms period of Chinese history. He is often recognised as the greatest and most accomplished strategist of his era....
of the state of Shu
Shu Han
Shu Han was one of the three states competing for control of China during the Three Kingdoms period, after the fall of the Han Dynasty. The state was based on areas around Sichuan, which was then known as Shu...
led six military expeditions to attack Chang'an
Chang'an
Chang'an is an ancient capital of more than ten dynasties in Chinese history, today known as Xi'an. Chang'an literally means "Perpetual Peace" in Classical Chinese. During the short-lived Xin Dynasty, the city was renamed "Constant Peace" ; yet after its fall in AD 23, the old name was restored...
, a city controlled by the rival state of Wei
Cao Wei
Cao Wei was one of the states that competed for control of China during the Three Kingdoms period. With the capital at Luoyang, the state was established by Cao Pi in 220, based upon the foundations that his father Cao Cao laid...
.
In the first expedition, Zhuge Liang's efforts were undermined by the loss of Jieting
Battle of Jieting
The Battle of Jieting was fought between the states of Cao Wei and Shu Han in 228 during the Three Kingdoms period of Chinese history. The battle was part of the first Northern Expedition led by Shu's chancellor Zhuge Liang to attack Wei...
, a strategic passageway into Zhuge's base at Hanzhong
Hanzhong
Hanzhong is a municipality in southwest Shaanxi Province, China, occupying a historically significant valley in the mountains between the Xi'an area, home to many Chinese capitals, and the fertile but isolated Sichuan Basin...
. The defeat was due to the defiance of Ma Su
Ma Su
Ma Su was a military general and strategist of the state of Shu Han during the Three Kingdoms era of Chinese history. He was the younger brother of Ma Liang. Ma Su had conspicuous talent in military theories and was admired by the Shu chancellor Zhuge Liang...
, who had refused to follow Zhuge Liang's orders to barricade the pathway. With the loss of Jieting, Zhuge Liang's current location, Xicheng (西城), was exposed and in peril of being attacked by the Wei army. As Zhuge Liang had deployed all his troops and was only left with a handful of civil officials with him in Xicheng, he decided to use a ploy to ward off the approaching enemy.
Zhuge Liang ordered all the city gates to be opened and had soldiers disguised as civilians sweeping the roads, while he personally sat on a platform on top of the gates, calmly playing the zither
Zither
The zither is a musical string instrument, most commonly found in Slovenia, Austria, Hungary citera, northwestern Croatia, the southern regions of Germany, alpine Europe and East Asian cultures, including China...
with two boys flanking him. When the Wei army reached Xicheng, its commander Sima Yi
Sima Yi
Sima Yi was a general and politician of the state of Cao Wei during the Three Kingdoms era of Chinese history. He is perhaps best known for defending Wei from Zhuge Liang's Northern Expeditions...
was baffled by the scene before him, and eventually ordered his troops to retreat.
Zhuge Liang later explained to his bewildered men that his strategy worked only because Sima Yi was a suspicious man, and had personally witnessed the success of Zhuge's effective ambuscade and misdirection tactics for many times. Besides, Zhuge Liang had a reputation for being a keen and extremely careful military strategist who rarely took risks. Zhuge Liang's well-known cautious attitude, coupled with Sima Yi's suspicions, led the latter to the conclusion that there was an ambush inside Xicheng. It was unlikely that the same strategy would have worked on someone else. Indeed, Sima Yi's son Sima Zhao
Sima Zhao
Sima Zhao was a military general, politician and regent of the state of Cao Wei during the Three Kingdoms period of Chinese history...
saw through the ruse immediately and advised his father against retreat, but Sima Yi ignored his son.
Due to the lack of historical evidence, historians generally consider this account to be purely fiction and part of common folklore on Zhuge Liang.
Hanzhong Campaign
In 219, Liu BeiLiu Bei
Liu Bei , also known as Liu Xuande, was a warlord, military general and later the founding emperor of the state of Shu Han during the Three Kingdoms era of Chinese history...
and Cao Cao were battling over the control of Hanzhong
Hanzhong
Hanzhong is a municipality in southwest Shaanxi Province, China, occupying a historically significant valley in the mountains between the Xi'an area, home to many Chinese capitals, and the fertile but isolated Sichuan Basin...
. Cao Cao had huge supplies of rice stocked up near the North Mountain. Zhao Yun sent his soldiers with Huang Zhong
Huang Zhong
Huang Zhong was a military general serving under the warlord Liu Bei during the late Han Dynasty period of Chinese history. He was most noted for his victory in the Battle of Mount Dingjun, in which his force routed that of Xiahou Yuan, who was slain during battle...
to attack Cao Cao's army and to capture the provisions. Huang Zhong did not return on time. Along with dozens of men, Zhao Yun went out of his camp to look for Huang. Cao Cao's main force was marching at that time, so Zhao Yun ran into Cao's vanguards. Not soon after the two sides commenced to engage in battle, Cao Cao's main force arrived. Zhao Yun fought his way out toward his own camp. When he found out his lieutenant general Zhang Zhu (張著) was wounded and fell behind, he went back to rescue him.
Cao Cao's army pursued Zhao Yun to his camp. At that time, the Administrator of Mianyang (沔陽), Zhang Yi
Zhang Yi (Bogong)
Zhang Yi , style name Bogong, was a general of Shu Han during the Three Kingdoms era of Chinese history. Originally from Wuyang and a descendant of Zhang Liang, he became Liu Bei's commander after Liu Bei had captured Yizhou...
, was at Zhao Yun’s camp. Zhang thought it best to have all the gates closed in order to defend the camp. However, upon entering the camp, Zhao Yun ordered all banners to be dropped and hidden, all drums to be silenced, and the gates to be left completely open. Suspicious of an ambush, Cao Cao's army hastily retreated. Then Zhao Yun ordered his drummers to beat drums as loudly as they could, while his archers rain arrows down on the enemy. Cao Cao's stunned army was completely routed, and some soldiers rushed toward the Han River in an attempt to escape, but in confusion and panic many were pushed into the river and drowned.
Battle of Mikatagahara
In 1572 during the Sengoku PeriodSengoku period
The or Warring States period in Japanese history was a time of social upheaval, political intrigue, and nearly constant military conflict that lasted roughly from the middle of the 15th century to the beginning of the 17th century. The name "Sengoku" was adopted by Japanese historians in reference...
in Japan
Japan
Japan is an island nation in East Asia. Located in the Pacific Ocean, it lies to the east of the Sea of Japan, China, North Korea, South Korea and Russia, stretching from the Sea of Okhotsk in the north to the East China Sea and Taiwan in the south...
, Tokugawa Ieyasu
Tokugawa Ieyasu
was the founder and first shogun of the Tokugawa shogunate of Japan , which ruled from the Battle of Sekigahara in 1600 until the Meiji Restoration in 1868. Ieyasu seized power in 1600, received appointment as shogun in 1603, abdicated from office in 1605, but...
used the tactic during his retreat in the Battle of Mikatagahara
Battle of Mikatagahara
The ' was one of the most famous battles of Takeda Shingen's campaigns, and one of the best demonstrations of his cavalry-based tactics.-Background:...
. He commanded that the fortress gates remain open, and that braziers be lit to guide his retreating army back to safety. One officer beat a large war drum, seeking to add encouragement to the returning men of a noble, courageous retreat. When the enemy forces, led by Baba Nobuharu
Baba Nobuharu
, also known as ', was a samurai of Japan's Sengoku period and one of Takeda Shingen's so-called "Twenty-Four Generals"; they were his most trusted commanders. Baba fought at the battles of Mikatagahara and Nagashino, where he led the vanguard of Takeda Katsuyori's right-wing.When Takeda Shingen...
and Yamagata Masakage
Yamagata Masakage
was one of the 24 generals of the Takeda clan. He was famous for his red armour and skill in battlefield, and was a personal friend of Takeda Shingen. He was the younger brother of Obu Toramasa who was also a retainer of Shingen leading the famous "red fire unit"...
heard the drums, and saw the braziers and open gates, they assumed that Tokugawa was planning a trap, and so they stopped and made camp for the night.
Cultural references
- In Chinese culture, the act of leaving one's house doors unlocked is sometimes called "setting up an empty fort strategy" (擺空城計).
- The Portal Three KingdomsPortal Three KingdomsPortal Three Kingdoms is the third Magic: The Gathering expansion of the Portal block, and the third starter level set. Like the other expansions in the Portal block, Portal: Three Kingdoms is designed for beginners to Magic. The setting is heavily based on the Chinese historical novel Romance of...
expansion set of the Magic: The GatheringMagic: The GatheringMagic: The Gathering , also known as Magic, is the first collectible trading card game created by mathematics professor Richard Garfield and introduced in 1993 by Wizards of the Coast. Magic continues to thrive, with approximately twelve million players as of 2011...
collectible card game include a card named "Empty City Ruse".