Subject to variations of phraseology, the old adage "circ.u.mstances alter cases" is the sole reliable and fundamental rule of action. A corresponding maxim of the military profession, "It depends on the situation", has its root in recognition of the same fact, i.e., that the action taken in any situation depends, properly, on the circ.u.mstances of the case, and that the relationship between cause and effect (page 22) is always the governing consideration. The principles deduced hereafter (Chapter III) have these irrefutable findings as their foundation.

Factors. A situation is by definition (page 20) a combination of circ.u.mstances, which are the effects of certain causes. To these causes, the term "factors", long in use in the military profession, is customarily applied in many other activities. Through their influence as causes, these factors operate to produce, as their effects, the circ.u.mstances which, in combination, const.i.tute the situation. A combination of factors, therefore, gives to each situation its distinctive character, differentiating it from other situations.

To maintain an existing situation, it is necessary to preserve, in total effect, the influence of factors already present, or to introduce new factors to offset the influence of any which tend to cause a change. To change the situation, it is necessary to introduce factors which will exert the desired influence; or, change may be effected by altering the influence of factors already present. To say, therefore, that "It depends on the situation", as in the maxim cited (above), is to state that under all circ.u.mstances, the proper action depends on, or is determined by, the influence of the factors involved. Any valid rule, or principle, will accordingly take into account the factors applicable to the case.

The application of any rule will similarly take into account the influence of the particular factors involved. The danger of the application of such factors to all circ.u.mstances, without due circ.u.mspection as to their value in the existing situation, lies in the fact that, in any particular combination of circ.u.mstances, they do not necessarily carry equal weight.

If this view be accepted, it follows that in many situations certain factors may, after mature deliberation, be rejected, or relegated to a relatively inferior status, without detracting from their potential value as fundamental considerations (page 1) in all situations.

Value and Limitations of Lists of Principles of War. The human preference for catchwords has, by many writers on the science and art of war, been extended to the attempted condensation of a principle or of several principles into a single all-inclusive word or phrase. As a result, varying lists of abstract nouns and phrases have been advanced to const.i.tute epitomes of the principles of war. Subject to minor differences in number and in designation, the list most frequently encountered comprises The Objective, Superiority, The Offensive, Economy of Force, Movement, Cooperation, Surprise, Security, and Simplicity.

To rely on a list of this nature, as a condensation of the fundamentals of war, has been known to cause confusion and to result in failure to recognize the principles which are intended to be brought to mind.

For example, misunderstanding has resulted from the designation of the single word, surprise, as a "principle of war". On the one hand, it has been denied that surprise embodies a principle, the reason being advanced that it is neither always necessary, nor feasible, nor even desirable to attempt to obtain surprise. On the other hand, the acceptance of the word surprise (see page 73), as itself expressing a universal truth (which it of course does not except by inference), has been known to result in the incorrect belief that surprise is always essential to success. Action based on such a viewpoint is the equivalent of applying general treatment to specific cases, regardless of circ.u.mstances.

Thus there have resulted distortions of the simple fact that a relationship exists between the employment of the unexpected, and the creation of a disadvantage which will hamper an opponent. The correct formulation of a principle, or of several principles, governing the employment of surprise, will result in a definite statement that its appropriate employment is dependent upon the various factors (page 25) that make up the situation, the influence of each of which requires evaluation in each separate situation.

a.n.a.lysis, in like manner, of the so-called "principle of the objective" as a "principle of war" will show that the objective of a military force is, in itself, no more a principle of war than the direction of a physical force is, in itself, a principle of mechanics.

Both concepts, however, involve certain matters of fact which can best be explained by principles. Such principles take note of the factors pertaining to the subjects, and indicate the underlying relationships in a manner to be later shown herein.

Certainly the preceding list (above) of isolated expressions includes no item which, in the abstract, may not properly be considered as possibly vital from the strategical and tactical standpoints. But that these expressions are always vital, and that there are no other considerations, can scarcely be accepted as final. Even if this objection could be removed by the inclusion of all factors well known to be vital, the fact would still remain that these expressions, standing alone, fail to satisfy the real need; i.e., they fail to indicate any practical application of the concepts which they are intended to imply. They do no more than provide a useful point of origin for further inquiry. When understood on this basis, they possess a certain value.

The concept underlying the application of principles is correct with respect to military problems, as well as for all others (page 22).

This purpose, however, cannot be served by a mere collection of nouns or noun-phrases. Such expressions make no statements of cause and effect. Their meaning is therefore left to inference and to the idiosyncrasy of individual interpretation. The formulation, moreover, of useful principles cannot be satisfactorily established by the more-or-less random selection of matters, however important, pertaining to the subject at hand. What is required is a systematic a.n.a.lysis of the essentials of the subject, with resultant emphasis on the fundamental causes and effects whose relationships are to be expressed.

Formulation and Use of Principles. The formulation of a principle, referred to previously (page 24) as itself a difficult problem, requires a citation of the factors pertaining to the subject. On the basis of these factors as causes, the principles, when properly formulated, also state the effects which may properly be expected.

(See page 22.)

The relationship between causes and effects, or between effects and their causes, may be expressed in various ways. The requirement is that the expression be one of fact and that, if the principle purport to cover the entire subject, all of the pertinent facts (page 24) be stated, though not necessarily all the details involved.

In addition to the principles of general application (Chapter III), the later discussion herein includes numerous other principles, with reference to matters of detail (pages 22-23). To some of these principles the treatment invites special attention. All principles included have been phrased with due care, to ensure conformity with the requirements above stated. The preferred form, herein, for the usual statement of cause and effect is through the use of phraseology such as that certain effects "depend on" or are "dependent on" certain causes, or that certain causes "determine" certain effects, or that the latter "are determined by" certain causes.

From the standpoint of the exercise of judgment, it is a principle that the due determination of effects to be produced depends on the proper consideration of pertinent factors. Once the principles applicable to any subject have been formulated in necessary detail, the evaluation of the cited factors with respect to a particular situation becomes the vital procedure as to any problem where that subject is involved. In the course of this evaluation, corollary or subordinate principles may be of a.s.sistance (page 22). In military problems, however, the evaluation usually involves many factors not susceptible of reasonably exact determination by the use of formulae (see page 23). In such cases, experience, education, and training afford the only secure basis for judgment which will produce reliable conclusions. The principles, therefore, provide reliable guides by citing the factors to be evaluated in order to arrive at desired results, but the principles cannot replace logical thought in the evaluation of the factors.

In formulating principles (see also page 23) as practical guides for action, as well as in using them when formulated, failure to give consideration to all pertinent factors may result in vitiating the effort based on their application. Danger also lies in the fact that any particular factor will infrequently have the same value--the same influence on the situation--in any two problems (page 25). Therefore, in each situation, each factor requires to be weighed in connection with the others. The soundness of the resulting conclusion will depend on the extent of the knowledge available (page 2) and on its useful employment.

Summary of Fundamental Considerations. The factors (page 25) involved in determining the nature of an effect and of the action to attain it become fundamental considerations (page 25) when it is desired to arrive at such a result under a particular set of circ.u.mstances.

The relationships obtaining between the desired effect and the action to attain it, on the one hand, and the factors involved, on the other, are best expressed in the form of principles. The next chapter is therefore devoted to the development of basic principles applicable to military problems.

CHAPTER III

BASIC PRINCIPLES APPLICABLE TO MILITARY PROBLEMS

(The Fundamental Military Principle)

On the basis of the previous discussion as to the natural mental processes and as to principles useful in their employment, Chapter III discusses the requirements for the attainment of an end in human affairs.

The fundamental principle thus derived is then applied to the needs of the military profession, so as to develop the Fundamental Military Principle. This Principle indicates the requirements of a correct military objective and of the action for its attainment.

Review of Conclusions as to Principles. On the premise that all human activities and their environment are governed by natural laws (page 22), the preceding chapter has been devoted to an a.n.a.lysis of the natural mental processes employed in meeting the problems of human life. This a.n.a.lysis has stressed four fundamental truths:

(1) That a valid rule, or principle, when complete, embraces all known phenomena pertinent to the relationship established.

(2) That the logical application of principles to particular incidents will take account of all the factors of the principles, and of all known conditions of the incidents.

(3) That such principles afford great a.s.sistance in arriving at sound conclusions, and that the human mind, if without access to such valid guides, tends to adopt faulty rules in the effort to serve the same purpose.

(4) That rules of action, however, even though they be valid, cannot be depended upon to replace the employment of logical thought.

Procedure for Developing Military Principles. Logically, the next stage in the treatment of this subject is to develop certain basic principles applicable, more especially, to the solution of military problems.

The development of such principles starts, on the basis already established in this discussion, with a reference to the natural mental processes used by the normal mature human being before taking deliberate action (page 19). Under such circ.u.mstances, the person who is to solve the problem has first to establish a basis for his solution.

To arrive at this basis, which involves an understanding of the appropriate effect desired, the person concerned requires a grasp of the salient features of the situation, a recognition of the incentive, and an appreciation of the effect which he has been directed to produce or has adopted on his own initiative. To complete the basis for his solution, he also requires an understanding of comparative resources as influenced by the conditions obtaining at the time.

During the actual solution of the problem, the person concerned takes cognizance first, of the existing situation, picturing it in his mind.

Then, unless satisfied that he desires no change, he creates for himself mental images of future situations. The pictured condition decided upon after consideration of the pertinent factors involved, be it the situation to be maintained or a new situation to be created, const.i.tutes an effect he may produce for the further attainment of the appropriate effect desired, already established as an essential part of the basis of his problem. (See page 25.)

With the existing situation and a new situation now clear, what action is he to take to change the one into the other? Or, if no change is desired, what action is he to take to maintain the existing situation?

What acts or series of acts should he decide upon, plan in detail, inaugurate, and supervise (page 3), to attain the effect which he has envisaged for the further attainment of the appropriate effect desired?

The correct solution of problems therefore hinges on the requirements involved in the effects to be produced and in the action to produce them. If these requirements are ascertained, a principle can be formulated as a valid guide for the solution of human problems.

Requirements for the Attainment of an End. The discussion to this point has established the fact that an end in view, a result to be produced, an effect desired, is very closely connected with a further effect which the attainment of the former is intended to produce.

Human motives spring from deep-seated incentives often derived from distant sources, so that, even when the person concerned is acting wholly on his own initiative, he will rarely, if ever, be uninfluenced by some further effect desired, inherent in his situation (see page 19).

An end in view, therefore, from the viewpoint of the person who is endeavoring to visualize its accomplishment as a method for attainment of a further aim, will necessarily achieve such further aim, or at least contribute to its achievement. The first requirement, accordingly, of such an end in view is that it be suitable to any further aim, whatever that aim may be. It may be said, therefore, that a correct end in view satisfies the requirement of suitability as to the appropriate effect desired, whatever this further effect may be.

Important as suitability is, however, a reasonably responsible person will recognize that this consideration, alone, does not satisfy all requirements. An end in view remains a mere desire, without possibility of attainment, unless such a result is practicable of accomplishment. A correct end in view, therefore, satisfies also the requirements of feasibility.

Consideration of feasibility calls for a survey of comparative resources (page 30). Such a survey will cover the extent of the resources (means available) of those making the effort, as compared to the resources (means opposed) of those who may oppose it. Full account is also to be taken, as to feasibility, of the natural and artificial conditions which the effort will encounter before it can produce the contemplated result. The responsible person will ask himself where the effort is most likely to be successful, and what obstacles, in addition to those represented by opponents, he will be required to surmount. The effects of such conditions may alter the ratio otherwise presented by comparative resources.

Consideration of the characteristics of the field of action may thus disclose features which will greatly influence the possibility of accomplishment, as well as the character of the effort to be made, from the standpoint of feasibility. The second requirement, therefore, is that of feasibility with respect to comparative resources, i.e., the means available and opposed, as influenced by the physical conditions prevailing in the field of action.

Although believed to be both suitable and feasible, the requirements for the attainment of an end are not yet completely established. There is still required a reckoning of a profit-and-loss account of the whole undertaking, to estimate whether it will be advantageous. What will be the cost, and what will be the gain? Is the effort worth while? Or should one be content with venturing less and gaining less?

What is the bearing on possible future action? The consequences as to costs, always important considerations in dealing with human problems, are frequently the paramount determinant. The third requirement, therefore, is acceptability with respect to the consequences as to costs.

These requirements invite attention to the factors, already discussed, whose influence (see page 25 as to factors) determines the character of the effort required to attain an end.