The Initiative

In judging a position, we have to inspect its tactical and strategical factors. The second
step is to determine and analyze the prospects and plans for both sides. In a balanced
position, we try to realize our ideas and plans but in the same time we have to prevent
opponent’s plans.

The initiative means that we improve our position step-by-step while the opponent
cannot put problems, his actions are reduced to parry our continuous threats and,
consequently, his moves do not improve his position.

We need to make an observation: the initiative is not the same thing with the attack.
Of course, in some cases, a strong attack determines the opponent to take only defensive
measures, so in this case we have the initiative. However, we don’t have the initiative if
our attack makes the opponent to take just some few preventive measures and then he can
continue his plans (counter-attack). Also, by no means any attack is correct so the
initiative is just ephemeral. For example pushing the pawns on some flank can bring
nothing but weaknesses in the own position. Or if you play 1.e4 e5 2.Bc4 Nc6 3.Qh5 we
surely didn’t seize the initiative.

In this lesson we will also continue to discuss about the dynamic of the pieces, which is
tightly connected with the subject at hand.

Unzicker - Fischer, 1962 XHGFEDCBAY

At first sight White seems to have an excellent
position because of his total control over d5 and 1K+R+-+-tR!
Black’s “bad” bishop. This would be true if Black 2zPP+-+PzP-"
plays passive ceding the control of the a-file (the a8- 3-+-+-+N+#
rook is under attack).
However, after a deeper examination we notice that 4+-+P+-+-$
Black CAN improve his position (starting with the 5-+PzpQ+p+%
uniquely good move Ra8-a4):
- his rooks can become active using the a- and c- 6+-+-zp-wq-&
files and the fourth rank (Ra4, Rc4); 7pzppvl-+-+'
- the black queen is not worse than the white queen;
she can put pressure on the a-file after Ra4 and Qa6;
8+ktr-+-+r(
- the bishop can improve his position by Bg5; xhgfedcbay
- Black can attack various weak points in White’s Black is to move
position: a1 (Ra4, Qa6), c2 (Rc8), e4 (Ra4, Rc4).
So, Black can get a good piece dynamic.
In exchange, White CANNOT improve his position, there are no better squares for his
knight (which does not do anything on b3) and there are no points in Black’s position that
White can effectively attack.
19…Ra4! 20.c3 This is a forced move especially because it defends the d4-square if the
b3-knight will have to leave.

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20…Qa6 21.h3
The back rank threats must be prevented. Black will do the same in 2 moves.
21…Rc8 22.Rfe1 h6 23.Kh2 Bg5
Because of the pressure Black exerts, the d6-pawn doesn’t represent a real problem. The
evaluation of the position changed drastically without any error from White’s side.
24.g3?
White wants to defend the dark-squares but it weakens the king’s position. Anyway his
position was already very hard.
24…Qa7 25.Kg2 Ra2 26.Kf1 Rxc3 0–1

In most of the cases, after a correct opening (12-20 moves), an equilibrium is established.
Then, both players try to carry on their plans while repelling opponent’s ones. This clash
of ideas creates tensioned situations and raising different problems that the chess players
try to solve. Even after a correct play, the equilibrium of the position starts to be affected
and one of the players takes the initiative.

Pure Initiative

Let’s see first an example of pure and lasting initiative.

XABCDEFGHY
Rubinstein - Cohn, 1911
The position resulted after the opening is quite calm. 8r+lwq-trk+(
However, White has a small advantage that he tends 7zpp+-+-zpp'
to increase systematically. The first phase of the 6-+p+p+-+&
plan is to get more space on the queenside:
13.b4! Bb6 14.Qc2 Bd7 15.a4 Rc8 16.a5 Bc7 5+-vlpzP-+-%
As a result of the space gained, White can improve 4-+P+pzP-+$
the status of his worst piece, the dark-square bishop,
that will come now on d6: 3+-+-zP-+-#
17.Bc3! Qh4 18.Bd4 a6 19.Qb3 Bd8 20.Bc5 Rf7 2PzP-vLL+PzP"
21.Rf2 Be7 22.g3 Qh6 23.Bd6 g6 24.c5
White’s plans worked without any problem and his
1tR-+Q+RmK-!
position improved a lot. After placing the bishop on xabcdefghy
d6, Black’s forces are paralyzed. Now, White White is to move
prepares the attack on the kingside:
24…Qf8 25.Raf1 Qg7 26.Bg4 Rcf8 27.Qd1 Qh6 28.Kh1 Kh8 29.Rg1 Rg8 30.Qf1
Rgf8 31.h4
White is threatening Qh3 with attack on e6 and then, at the proper moment, h4-h5. Black
doesn’t resist White continuous pressure and try to complicate the struggle, though
without success: 31…Bxd6 32.cxd6 g5 33.fxg5 Rxf2 34.Qxf2 Qxh4+ 35.gxh4 Rxf2
36.Rd1 Kg7 37.Kg1 1–0
In this game, White improved his position by every move while Black was just a
spectator, not being able to create anything.

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Methods to affect the equilibrium and take the initiative

Especially between relative equal players, seizing the initiative is not so simple like in the
previous example. The premises are created by neat ideas that imply some risks and even
sacrifices.

Marshall – Bogoljubow, 1928 XHGFEDCBAY

The position seems perfectly equilibrated. The
queens cannot penetrate opponent’s camp and the 1-mK-+N+-+!
pawn formations are symmetrical. 2zPP+-+-wQ-"
Of course, Black would love to have the knight on 3-+-zP-+-+#
c4 but this is tight by defending the b5-pawn. The
maneuver Na7-c8-b6 meets Nd1-c3 and the black 4+-zPlzP-zP-$
queen cannot defend the b5-pawn in good 5-+p+-+psN%
conditions. However:
41…Nc8! 6+p+-zp-+-&
Black will bring the knight on c4 sacrificing the b5- 7pmk-zp-wq-sn'
pawn. The idea is that he evaluated that in the
resulting position, his queen and bishop will get a
8+-+-+-+-(
good dynamic: xhgfedcbay
42.Nc3 Nb6 43.Nxb5 Black is to move
It was better to refuse the pawn sacrifice but Black
had a better position anyway after 43.Nxe4 fxe4 44.Kf2 Nd5.
43...Qd7 44.Nc3 Na4 45.Nxa4 Qxa4
This is the position that Black had in mind when he started the knight’s maneuver. The
cooperation of queen and bishop is very strong now. The black queen is behind White’s
pawn shield, the white a5-knight is kept out-of-play, the white king’s position is
weakened and the e3-pawn is also weak; so the objectives of attack exist.
46.h3
White has to parry threats and has no time to bring his knight into play. For example after
46.Nc4 Qd1+ 47.Kf2 Qh1 48.Kg3 Qf1 followed by Qe1+-Qxe3
46...Bd5 47.Kh2 Qb5 48.Qd2 Kf8 49.Kg1 Ke8 50.Kf2 h5
Black is improving his position little by little while White cannot initiate any counter-
play. Black has a lasting initiative.
51.Qc3 Qa4 52.Nc4??
In hopeless positions, the mistake is at his home.
White could not save the game anyway. For example after 52.Qd2 h4, the white king
starts to lack space and Black is threatening to set the mating net by Qa1-h1.
52...Qc6 53.Nxd6+ Qxd6 and White resigned some moves later.

Many positions hide such resources that permit to the chess player to take the advantage
by brilliant moves or maneuvers.
The complicate middlegame struggle is a source of human errors and the chance to take
the initiative can easily move to one player to the other, sometimes unobserved:

3
Alekhine – Reshevsky, 1937 XABCDEFGHY
After 17.Qxf5 exf5 White is practically a pawn up
because of his pawn majority on the queenside 8-+ktr-vl-tr(
while black pawns are doubled on the f-file. 7+p+n+pzpp'
However, Alekhine considered that this endgame 6-+p+p+-+&
requires more patience than he had at that time, so
he preferred to keep the queens: 5+-+-+q+-%
17.Qg3 e5 18.Be3 Bb4 19.Na4 4-+PvL-+-+$
The knight is more active on a4 attacking the b6 and
c5 squares. The fight for the initiative began. 3+-sN-+Q+-#
19…Ba5! 2PzP-+-zPPzP"
Black defends the problematic dark-squares and is
threatening Bc7 and e5-e4, so White has to parry it:
1+-+R+RmK-!
20.f4! xabcdefghy
Beside reacting against Black’s idea of attacking on White is to move
b8-h2 diagonal, White activates his f1-rook.
20…Bc7 21.b3
Against Qf5-c2 with tempo.
21…f6 22.fxe5 Qe6 [22...Qxe5 23.Bf4] 23.h3!
A “small” move in a tensioned position. The idea is to control the g4-square and cut
Black’s possibility to exchange the queens with Nxe5 and Qg4.
23…Rhg8 24.Bd4
Puts the bishop in a safer position and makes room for the queen to come on c3.
24…Nxe5?!
24…fxe5! was better as the free e-pawn would have given Black good counter-play.
25.Qc3
White is threatening Nb6+ and Nc5. For example: 25…Kc8 26.Nc5 Qd6 27.Qb4 b6
28.Na6+ Kb7 29.c5. So Black’s next move is forced:
25…Nd7 26.c5 Rge8 27.b4?
White continues the attack sacrificing a pawn.
However, after 27…Qa2! 28.Ra1 Qd5 followed by Re2 it is Black who would have the
initiative.
27…Nb8?
With this passive move Black exhausted any chance to get counter-play.
28.Nb6+ Bxb6 29.cxb6
Now White keeps a lasting initiative. First of all his bishop is much stronger than the
black knight and secondly the black king is in danger.
The game continued:
29…Qxa2 30.Qg3 Rd7 31.Bc5 (31.Bxf6! was better.) 31…Qf7 32.Ra1 Qg6 33.Qh2
Re5 34.Ra8 Rd2 35.Rxb8+! Kxb8 36.Qxe5+ 1–0

Any chess player faces better quiet situation when the moves “come” after some logic.
The tensioned, maybe irrational, situations definitely create the premises of a positional
des-equilibrium that favors the player with better technique:

4
Fischer – Bertok, 1970 XABCDEFGHY
Fischer didn’t obtain any advantage after the
opening and he is taking a risky decision to attack 8-+-trr+k+(
on the kingside. 7+p+q+-zp-'
19.g4 6p+n+psn-zp&
This attack is not a logical continuation of some
advantage on the kingside, but a method to seize 5+-vlp+-+-%
the initiative. In general, such an attack where you 4-+-+-zP-+$
don’t have any clear advantage and weakening the
own king’s position is not advisable. However, 3zP-sNQ+-zPP#
Fischer, a player with an incommensurable 2-zPPvL-+L+"
understanding about chess, knew that in the
following complications he will outplay his
1+-+-tRR+K!
opponent. The game continued: xabcdefghy
19…Qf7 20.g5 Ne4 21.Nxe4 dxe4 22.Qc3 Bd4 White is to move
23.Qb3 Bxb2 24.Qxb2 Rxd2 25.gxh6 Re7?
Better would have been: 25...Qg6, but anyway White gets a better endgame with
26.Qxg7+ Qxg7 27.hxg7 Rxc2 28.Bxe4 Rc3 29.Rf3 Rxf3 30.Bxf3 Kxg7 31.Rb1
26.Bxe4 Qh5 27.Qc3! Red7 28.Qe3 Ne7 29.hxg7 Nf5 30.Qb3 Kxg7 31.Bxf5 exf5 After
31...Qxf5 White wins by 32.Re5 Qxc2 33.Rg1+ Kf8 34.Rg8+! Kxg8 35.Qxe6+
32.Rg1+ 1–0

The initiative as a salvation resource

When the opponent has an advantage, one of the best defensive measures is to try to take
the initiative in order to complicate the position.

Capablanca – Nimzowitsch, 1928 XABCDEFGHY

White is an exchange down. It is true that the d-
pawn can be easily blocked by Qd6, but 8-+-+-tr-mk(
Capablanca’s only chance to save the game is to put 7+-+-+-+p'
his hopes in this pawn advance: 6p+-+-wqr+&
30.Rd1 Kg8 31.d5 Qxc3?
Nimzowitsch took an optimistic decision. He has a 5+p+-+p+-%
great material advantage now, 3 free connected 4-+pzP-wQ-+$
pawns but White gets the initiative.
After 31...Qd6 White lacks any real chance. 3+-zP-+PsN-#
32.d6 2-+-+PmK-zP"
Black has to stop the d-pawn.
32…Qf6 33.d7 c3 34.Nxf5 c2 35.Rd6 Qd8
1+R+-+-+-!
After 35...Qxd6 36.Nxd6 Rxf4 37.d8Q+ Rf8 38.Qc7 xabcdefghy
Rxd6 39.Qxc2, the position is drawn. White is to move
36.Qe5!
Threatening Rxg6+ White forces the draw.
36…Rxf5 37.Rxg6+ hxg6 38.Qe8+ Rf8 39.Qxg6+ ½–½