Chapter 11

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 analysis of the natural mental processes employed in meeting the problems of human life. This analysis 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 assistance 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 circumstances, 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, constitutes 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.

The Fundamental Principle for the Attainment of an End. Here, then, are the broad fundamental considerations which affect the solution of every human problem. In a narrower field, the considerations may fall within more specific limits, but a principle sufficiently broad to be applicable to all cases appears to comprehend those inclusive factors mentioned in the preceding paragraphs.

A review of these paragraphs will disclose that the factors pertaining to the several requirements may be so grouped as to constitute a single fundamental principle governing the attainment of an end in human affairs,--as follows:

In any human activity, the attainment of a correct end in view depends on fulfillment of the requirements of

Suitability of the end in view, as determined by the factor of the appropriate effect desired,

Feasibility of the effort required, on the basis of comparative resources, as determined by the means available and opposed, influenced by the factor of the physical conditions prevailing in the field of action, and

Acceptability of the results of the effort involved, as determined by the factor of the consequences as to costs,

which factors are in turn dependent on each other.

The Interdependency of the Factors. As previously observed (page 28), the factors cited in the foregoing principle are themselves interdependent. This fact results from working of natural law (page 22), for it is a recognized phenomenon that every effect is the result of certain causes, and that every effect is itself, in turn, the cause of further effects (page 19).

Accordingly, when the evaluation of any factor is under consideration, its value as an unknown quantity can be determined to the extent that the values of the other pertinent factors are known. (See page 23, as to the discussion of the quantities in an equation.) The significance of each, in any situation, is therefore determined by the influence of the other factors. The relationships existing among them can best be expressed in the terms of four corollary principles (page 27), next to be discussed.

* * * * *

For example, questions frequently arise as to what is the appropriate effect to be desired in a particular situation. Whether a desired effect is feasible of attainment, and whether certain consequences, though undesirable, will be acceptable, in view of the gains, can be determined by evaluation of the means available and opposed, influenced by the physical conditions prevailing in the field of action, and of the consequences as to costs. If a desired effect is thereby found to be not feasible of attainment, or to be unacceptable as to consequences, deferment of such effort is indicated. A proper solution in such case would adopt some lesser effect, in conformity with the further aim, feasible of accomplishment, and acceptable as to its consequences.

If (with respect to the further aim, mentioned above) the person concerned is acting under the instructions of another, there will frequently be injected into the equation, in addition to the factors already noted, a further effect desired, indicated by higher authority. Such an indication will often operate to narrow the limits of the problem. This is true even if the person concerned is acting wholly on his own initiative and responsibility (pages 29-30).

These considerations lead to the formulation of what may be called the corollary principle for determination of the appropriate effect to be desired in human affairs,--as follows:

In any human activity, the appropriate effect to be desired (i.e., an end in view, a result to be accomplished) depends on fulfillment of the requirements of

Suitability of the end in view, as determined by the factor of the further effect desired (if such further effect is indicated),

Feasibility of the effort to attain the end in view, on the basis of comparative resources, as determined by the factors of the means available and opposed, influenced by the factor of the physical conditions prevailing in the field of action, and

Acceptability of the results of the effort involved, as determined by the factor of the consequences as to costs.

* * * * *

If, to take a further example, the known factors include the appropriate effect desired, the means opposed, the physical conditions prevailing in the field of action, and the consequences as to costs, the only unknown remains the means available. The question then is, what means need be made available for the accomplishment of the contemplated effort? The answer to this question may be found in the application of what may be called the principle for the determination of the proper means to be made available in human affairs,--as follows:

In any human activity, the proper means to be made available depend on fulfillment of the requirements of

Suitability of the means (in kind and amount) to accomplish the end in view, as determined by the factor of the appropriate effect desired,

Feasibility of the effort to make such means available on the basis of comparative resources as determined by the factor of the means opposed, influenced by the factor of the physical conditions prevailing in the field of action, and

Acceptability of the results of the effort involved, as determined by the factor of the consequences as to costs.

* * * * *

The influence of physical conditions in the field of action may be illustrated by any case where ends otherwise feasible of attainment cannot be achieved without effecting changes in such conditions. The resolution of the uncertainty then requires study to determine what suitable changes can be made. Changes for such a purpose may take various forms, such as the construction of physical features in the area involved, or the destruction of such features already existing; or, again, both methods may be employed. Examples of such changes have existed and still exist in profusion, some of them, military and non-military, being on such a scale as radically to alter the previous status with respect to entire nations. The question as to what changes ought to be effected in the prevailing physical conditions, in order to attain a certain objective, can be answered by the application of what may be called the principle for the determination of the proper physical conditions to be established in the field of action,--as follows:

In any human activity, the proper physical conditions to be established in the field of action depend on fulfillment of the requirements of

Suitability of such conditions to the end in view, as determined by the factor of the appropriate effect desired,

Feasibility of effort to establish such conditions, on the basis of comparative resources, as determined by the factors of the means available and opposed, influenced by the factor of the physical conditions existing in the field of action, and

Acceptability of the results of the effort involved, as determined by the factor of the consequences as to costs.

* * * * *

The factor of consequences as to costs also calls for special notice. The influence of this factor frequently justifies abandonment of suitable ends in view, even though their attainment has been determined to be feasible, because the loss involved would out-weigh the gain. Immediate success may be attained at such cost as to prevent the attainment of larger ends (see the discussion, pages 9 and 10, of the relationship of strategy and tactics).

On the other hand, the circumstances of the case may well justify loss, however great, because the alternative is unacceptable, even though the consequences involve complete destruction. Moreover, the need for swift and aggressive action in many activities (notably in war), for resolute prosecution of the plan, for timely seizure of opportunity, and for acceptance of justified risks, requires that consideration of consequences as to costs never be emphasized beyond its proper weight. To determine such proper weight calls, frequently, for judgment of the highest order, and is, in the military profession, a direct responsibility of command. This responsibility can be discharged by the application of what may be called the corollary principle for the determination of acceptable consequences as to costs,--as follows:

In any human activity, the acceptable consequences as to costs depend on fulfillment of the requirements of

Suitability of the end in view, as determined by the factor of the appropriate effect desired, and

Feasibility of the effort to attain the end in view, on the basis of comparative resources, as determined by the factors of the means available and opposed, influenced by the factor of the physical conditions prevailing in the field of action.

Special Nature of War as a Human Activity. A principle found, by careful analysis, to be governing as to human activities of any nature, is also applicable to the problems of war. This is true because war is a human activity, differing from other human activities only in the specialized character of the factors that enter.

The effect desired in war has a character distinctly military and, ultimately, through the reestablishment of a favorable peace, a political character (see pages 7-9).

The means available (or opposed) in war are the human and material components of fighting strength (page 8). The physical conditions prevailing in the field of action are, in war, the characteristics of the theater of operations. Fighting strength is thus derived from the means available (or opposed) in war, as influenced by the characteristics of the theater. Relative fighting strength (comparative resources in war) involves a comparison of means available with means opposed, due account being taken of the influence exerted on both by the characteristics of the theater. In war, relatively large masses of human beings oppose each other with hostile intent, while the means available and opposed, and the physical conditions established by the operations of war in the theater of action, tend more and more to acquire a highly specialized character.

The consequences as to costs, in war, also assume a special significance, inasmuch as they may materially influence the development of entire nations or of the world situation.

Factors as Universal Determinants in War. Tabulated for convenient reference and expressed in terms in general use in the military profession, the factors governing the attainment of an end in war are therefore:

(a) The Nature of the appropriate Effect Desired, (b) The Means Available and Opposed, (c) The Characteristics of the Theater of Operations, and (d) The Consequences as to Costs.

These factors, thus expressed in abstract form, are the universal determinants of the nature of the objective and of the character of the action to attain it. Their further resolution into factors of more concrete form is indicated hereinafter (see Chapter VI, in the discussion of Section II of the Estimate Form).

The Objective in War. The objective (page 3), a term long in use in the military profession in connection with the "objective point", has acquired by extension the significance of something more than the physical object of action. The latter, as explained later (page 37), is properly denominated the "physical objective".

In the abstract, an "objective", in present general usage as well as in the military vocabulary, is an end toward which action is being directed, or is to be directed; in brief, an end in view, a result to be attained, an effect desired (pages 19 and 30). An objective is an effect to be produced for the attainment of a further objective, itself a further effect. As already demonstrated (page 30 and following), the attainment of an end, in any human activity, requires action to maintain the existing situation or to create a new one. Therefore, in war, a special form of human activity, the attainment of an objective requires that action be actual imposition of an outside agency. The attainment of a correct military objective (discussed in detail in Chapter IV) requires, accordingly, the creation or maintenance of a favorable military situation.

An objective, in the sense of an end in view, a result to be accomplished, is manifestly an objective in mind. As already indicated (page 36), however, military usage also assigns to the term "objective" an additional meaning, a meaning exclusively concrete. Results in war are attained through the actual or threatened use of physical force (pages 8 and 9) directed with relation to something tangible, such as, for example, some physical element of the enemy's strength.

Action as to this tangible feature (e.g., if it is destroyed, occupied, neutralized, or otherwise dealt with) will result in, or further the attainment of, an effect desired. Thus the physical objective occupies a sharply defined position in warfare, in that it establishes the physical basis of the objective and indicates the geographical direction of the effort. Since the physical objective is always an object--be it only a geographical point--, it is more than a mental concept; it is an objective in space.

For example, the objective being "the destruction of the enemy battleship", the physical objective is the enemy battleship.

As used herein the expression "the objective" or "the military objective" (page 55), when unqualified, ordinarily indicates the mental objective. The term is properly applicable to a physical objective when the context makes the meaning clear. Ordinarily, and always when clarity demands, a tangible focus of effort is herein denoted a "physical objective".

Military Operations. Appropriate action to create or maintain a situation will take the form of a military operation. An operation, in the basic sense, is merely an act, or a series of acts. The word is derived from the Latin opus, meaning "work". A military operation is therefore an act, or a series of included acts (i.e., work), of a military character. A military operation may consist of an entire campaign, or even of several such, constituting a clearly defined major stage in a war; or such an operation may consist of portions thereof. The term is also applied, properly, to entire series of acts on the part of successive commands, from the higher to the lower echelons, to and including distinctive military actions which relate to the merest routine.

A plan of action to attain a military objective is, therefore, a plan of military operations, including supporting measures (see page 167), considered or adopted as a method of procedure for the achievement of that end (see page 21). Such a plan or method of procedure requires action with relation to correct physical objectives in such a manner as to attain the objective, i.e., to maintain the existing situation or to create a new one, conformably to the appropriate effect desired.

A plan of military operations may be regarded as reasonably effective if the direction or geographical trend of the effort provides for proper action with relation to the correct physical objectives; if the force concerned utilizes positions advantageous in relation to those of the opponent; if the fighting strength is so apportioned as to provide for requisite power at points likely to be decisive, without undue weakening at other points; and if future actions, in seeking the effect desired, will be unhampered by obstacles with which the force cannot cope. These essentials apply to all of the various combinations of circumstances, i.e., situations (page 20), which may materialize as action progresses and the original situation unfolds.

A properly conceived plan of military operations therefore makes provision, necessarily, for certain salient features of such operations, as follows:

The physical objectives involved, The relative positions utilized, The apportionment of fighting strength, and The provisions for freedom of action.

As will later be observed (Chapters VII and VIII), the content of plans for naval operations may be classified under the headings listed above. In such plans the salient features noted will be observed, also, to occur, subject to certain exceptions, in the sequence above indicated. Similar observations are applicable as to plans systematically prepared for direction of forces operating on land and in the air.

A military operation which is progressing favorably, whatever the medium of action, may therefore be justifiably stated to include provision for the following salient features:

Effective action with relation to correct physical objectives,

Projection of military action from advantageous relative positions,

Proper apportionment of fighting strength, and

Ensurance of adequate freedom of action.

Since, at any moment of its successful prosecution, a military operation presents, inherently (page 38), a favorable military situation, the salient features of such an operation constitute, also, the salient features of a favorable military situation. Manifestly, any deficiencies in these respects will indicate that in certain particulars the situation is not entirely favorable, if not actually unfavorable.

Determination of the Salient Features. Because the form which a military operation takes, in the effort to attain a military objective, depends upon the factors which are the universal determinants (page 36) of the character of the effort, the salient features of such an operation are determined by the same factors. A valid guide as to determination of the salient features of a favorably progressing military operation, seen (above) to be identical with those of a favorable military situation, may therefore be formulated as a principle for determining these salient features, as follows:

The determination of

} { Suitability, as determined by } { the factor of the appropriate Correct physical objectives, } { effect desired. } { Advantageous relative } { Feasibility, by reason of positions, } { relative fighting strength, } depends { as determined by the factors Proper apportionment of } on { of the means available and fighting strength, and } their { opposed, influenced by the } { factor of the characteristics Provision for adequate } { of the theater of operations, freedom of action } { and } { } { Acceptability, as determined } { by the factor of the } { consequences as to costs.

Since the particular character of each salient feature of a situation, or of an operation, is determined by the influence, exerted by the identical factors (as noted), there is a resulting interdependency, important though indirect, among the several features. This interdependency is explained hereafter. (Chapter IV).

The Fundamental Military Principle. The Fundamental Principle for the Attainment of an End in human affairs (page 32) has invited attention to the factors, pertinent to suitability, feasibility, and acceptability, seen to be applicable, as well, to any military effort (page 35). As also noted, a military effort will necessarily consist of military operations, whose salient features depend upon the same factors. The factors, in turn, have been observed (page 32 and following) to be interdependent.

These considerations lead to the formulation of a derivative of the Fundamental Principle for the Attainment of an End in human affairs, in the form of

The Fundamental Military Principle

The attainment of a military objective (the creation or maintenance of a favorable military situation) depends on effective operations involving the salient features of

Effective action with relation to correct physical objectives,

Projection of action from advantageous relative positions,

Proper apportionment of fighting strength, and

Ensurance of adequate freedom of action,

each fulfilling the requirements of

Suitability, as determined by the factor of the appropriate effect desired,

Feasibility, by reason of relative fighting strength as determined by the factors of the means available and opposed, influenced by the factor of the characteristics of the theater of operations, and

Acceptability, as determined by the factor of the consequences as to costs,

which factors are in turn dependent on each other.

* * * * *

The Fundamental Military Principle, as a valid guide, encounters no exception in the field it purports to cover. As a practical guide, it brings to attention, in broad outline, all the causes and effects which are involved. The principle affords a proper basis for the formulation of corollary principles for the determination, in any particular situation, of any element noted therein whose value may be unknown but may be ascertained by reference to other pertinent elements which constitute known quantities. (See pages 21-27.)

As later explained (Chapter IV), the two major applications of the Principle relate to the selection of a correct military objective and to the determination of effective military operations to attain an objective (see page 28).

A corollary Principle of the Correct Military Objective will accordingly state that the selection of a correct military objective depends on the due consideration of the salient features and the factors cited in the Fundamental Military Principle. The application of this corollary is discussed in Section II of Chapter IV.

A corollary Principle of Effective Military Operations will similarly state that the determination of effective operations for the attainment of a military objective depends on the due consideration of the salient features and the factors cited in the Fundamental Military Principle. The application of this corollary is explained in Section III of Chapter IV.

These principles can be used as a basis for formulating the plans of the commander concerned, and, accordingly, for determining his own action. They can also be used as a basis for rendering sound opinions, when requested of the commander, as to plans and actions contemplated by higher authority. The principles are in like manner applicable for purposes of historical study involving analysis of operations of the past.