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2 Software Processes

2.1 Giving reasons for your answer based on the type of system being
developed, suggest the most appropriate generic software process model
that might be used as a basis for managing the development of the
following systems:

• A system to control anti-lock braking in a car

• A virtual reality system to support software maintenance
• A university accounting system that replaces an existing system
• An interactive travel planning system that helps users plan journeys
with the lowest environmental impact

1. Anti-lock braking system This is a safety-critical system so requires a lot of

up-front analysis before implementation. It certainly needs a plan-driven
approach to development with the requirements carefully analysed. A
waterfall model is therefore the most appropriate approach to use, perhaps
with formal transformations between the different development stages.
2. Virtual reality system This is a system where the requirements will change
and there will be an extensive user interface components. Incremental
development with, perhaps, some UI prototyping is the most appropriate
model. An agile process may be used.
3. University accounting system This is a system whose requirements are fairly
well-known and which will be used in an environment in conjunction with
lots of other systems such as a research grant management system.
Therefore, a reuse-based approach is likely to be appropriate for this.
4. Interactive travel planning system System with a complex user interface but
which must be stable and reliable. An incremental development approach is
the most appropriate as the system requirements will change as real user
experience with the system is gained.

2.3 Consider the integration and configuration process model shown in Figure
2.3. Explain why it is essential to repeat the requirements engineering
activity in the process.
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You need to repeat the requirements engineering activity because it is essential to

adapt the system requirements according to the capabilities of the
system/components to be reused. These activities are:
1. An initial activity where you understand the function of the system and set
out broad requirements for what the system should do. These should be
expressed in sufficient detail that you can use them as a basis for deciding of
a system/component satisfies some of the requirements and so can be
reused.
2. Once systems/components have been selected, you need a more detailed
requirements engineering activity to check that the features of the reused
software meet the business needs and to identify changes and additions that
are required.

2.4 Suggest why it is important to make a distinction between developing the

user requirements and developing system requirements in the requirements
engineering process.

There is a fundamental difference between the user and the system requirements
that mean they should be considered separately.
1. The user requirements are intended to describe the system’s functions and
features from a user perspective and it is essential that users understand
these requirements. They should be expressed in natural language and may
not be expressed in great detail, to allow some implementation flexibility.
The people involved in the process must be able to understand the user’s
environment and application domain.
2. The system requirements are much more detailed than the user requirements
and are intended to be a precise specification of the system that may be part
of a system contract. They may also be used in situations where
development is outsourced and the development team need a complete
specification of what should be developed. The system requirements are
developed after user requirements have been established.

2.6 Explain why change is inevitable in complex systems and give examples
(apart from prototyping and incremental delivery) of software process
activities that help predict changes and make the software being developed
more resilient to change.

Systems must change because as they are installed in an environment the

environment adapts to them and this adaptation naturally generates new/different

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system requirements. Furthermore, the system's environment is dynamic and

constantly generates new requirements as a consequence of changes to the business,
business goals and business policies. Unless the system is adapted to reflect these
requirements, its facilities will become out-of-step with the facilities needed to
support the business and, hence, it will become less useful.
Examples of process activities that support change are:
1. Recording of requirements rationale so that the reason why a requirement is
included is known. This helps with future change.
2. Requirements traceability that shows dependencies between requirements
and between the requirements and the design/code of the system.
3. Design modeling where the design model documents the structure of the
software.
4. Code refactoring that improves code quality and so makes it more amenable
to change.

2.9 Suggest two advantages and two disadvantages of the approach to process
maturity that is embodied in the SEI’s Capability Maturity Framework.

Advantages of process improvement frameworks

1. The approach provides a means of measuring the state of a process and a
structured approach to introducing process improvements.
2. It is useful as a way of building on the experience of others in process
improvement.
Disadvantages of process improvement frameworks
1. Like any measurement system, there is a tendency to introduce
improvements to improve the measured rating rather than concentrate on
improvements that meet real business goals.
2. The maturity model approach is expensive and bureaucratic to operate. It is
not really suitable for organisations that use agile development.

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3 Agile Software
Development

3.2 Explain how the principles underlying agile methods lead to the accelerated
development and deployment of software.

The principles underlying agile development are:

1. Individual and interactions over processes and tools. By taking advantages
of individual skills and ability and by ensuring that the development team
know what each other are doing, the overheads of formal communication
and process assurance are avoided. This means that the team can focus on
the development of working software.
2. Working software over comprehensive documentation. This contributes to
accelerated development because time is not spent developing, checking and
managing documentation. Rather, the programmer’s time is focused on the
development and testing of code.
3. Customer collaboration over contract negotiation. Rather than spending
time developing, analyzing and negotiating requirements to be included in a
system contract, agile developers argue that it is more effective to get
feedback from customer’s directly during the development about what is
required. This allows useful functionality to be developed and delivered
earlier than would be possible if contracts were required.
4. Responding to change over following a plan. Agile developers argue
(rightly) that being responsive to change is more effective than following a
plan-based process because change is inevitable whatever process is used.
There is significant overhead in changing plans to accommodate change and
the inflexibility of a plan means that work may be done that is later
discarded.

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3.3 Extreme programming expresses user requirements as stories, with each

story written on a card. Discuss the advantages and disadvantages of
this approach to requirements description.

Advantages of stories:
1. They represent real situations that commonly arise so the system will
support the most common user operations.
2. It is easy for users to understand and critique the stories.
3. They represent increments of functionality – implementing a story delivers
some value to the user.
Disadvantages of stories
1. They are liable to be incomplete and their informal nature makes this
incompleteness difficult to detect.
2. They focus on functional requirements rather than non-functional
requirements.
3. Representing cross-cutting system requirements such as performance and
reliability is impossible when stories are used.
4. The relationship between the system architecture and the user stories is
unclear so architectural design is difficult.

3.6 Compare and contrast the Scrum approach to project management with
conventional plan-based approaches as discussed in Chapter 23. Your
comparison should be based on the effectiveness of each approach for
planning the allocation of people to projects, estimating the cost of projects,
maintaining team cohesion and managing changes in project team
membership.

Planning allocation of people to projects

Scrum
Scrum handles people allocation informally. Team members ‘bid’ for features from
the product backlog to implement if they think that their expertise is appropriate.
Alternatively, the tasks can be allocated by the Scrum master.
There is no formal mechanism in Scrum for planning for project members
with very specific expertise to be temporarily allocated to a team. This need must
be identified by the Scrum master and he or she has to discuss how the expertise
can be made available.

Plan-based development

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A project plan is used to identify the parts of the system to be delivered and these
are specified in the requirements document. The expertise required for each part
can then be identified and the allocation of people to projects planned on that basis.

Estimating project costs

Scrum
Project costs are estimated based on the required delivery date for the software and
people working in the Scrum team. The functionality of the system is adjusted so
that some working system will always be delivered for the original cost estimation.
Of course, this may not be adequate for the customer and they have to become
involved in rescheduling the delivery of the system.
Plan-based development
Project costs are based on an analysis of the functionality specified in the
requirements document as well as the non-functional requirements of the system.
They may be adjusted to reflect team size and delivery schedule. It is normal for
costs to be underestimated and the final project to cost much more than originally
estimated. An average cost for team members is assumed.
Maintaining team cohesion
Scrum
Team member meet daily either face to face or electronically. Extensive informal
discussions and communications are encouraged. Team members negotiate work to
be done from the project backlog. This all leads to a shared feeling of product
ownership and a very cohesive team.

Plan-based development

Team cohesion is the responsibility of the project manager and he or she has to
take explicit actions to encourage this. The general approach relies on formal
meetings that are relatively infrequent and this does not lead to the development of
a cohesive team.

Managing changes in project team membership

Scrum
This is a topic that is rarely discussed in Scrum but is a fundamental problem because
so much information is informal and reliant on people remembering what has been
agreed. When someone leaves, it can be very difficult to bring a replacement team
member up to speed, especially if very little project documentation is available.

Plan-based development

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The project management plan is based around expertise rather than individuals and
project documents should be available. Therefore, if a team member leaves, then a
new team member with comparable expertise can read what has been done and, after
understanding this, should be able to serve as a replacement.

3.8 Why is it necessary to introduce some methods and documentation from

plan-based approaches when scaling agile methods to larger projects that
are developed by distributed development teams.

1. Project planning is often essential when developing software with larger

teams to (a) ensure that the right people are available when they are needed
to be involved in the development process and (b) ensure that the delivery
schedules of different parts of the system developed by different teams are
aligned. This means that if Part A depends on Part B, the schedule should
ensure that Part B is developed before Part A.
2. Requirements analysis and documentation is important to decide how to
distribute the work across teams and to ensure that each team has some
understanding of what other teams are doing.
3. Design documentation especially interface specifications are important so
that teams can develop independently without having access to software that
is under development.
4. Risk management may be required to ensure that all of the teams understand
the risks faced and can organize their work to minimize these risks. Risk
management may also be useful to cope with different delivery schedules
used by different teams.

3.10 It has been suggested that one of the problems of having a user closely
involved with a software development team is that they ‘go native’. That is,
they adopt the outlook of the development team and lose sight of the needs
of their user colleagues. Suggest three ways how you might avoid this
problem and discuss the advantages and disadvantages of each approach.

1. Involve multiple users in the development team. Advantages are you get
multiple perspectives on the problem, better coverage of user tasks and
hence requirements and less likelihood of having an atypical user.
Disadvantages are cost, difficulties of getting user engagement and possible
user conflicts.

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2. Change the user who is involved with the team. Advantages are, again,
multiple perspectives. Disadvantages are each user takes time to be
productive and possible conflicting requirements from different users.
3. Validate user suggestions with other user representatives. Advantages are
independent check on suggestions; disadvantage is that this slows down the
development process as it takes time to do the checks.

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4 Requirements
Engineering

4.2 Discover ambiguities or omissions in the following statement of

requirements for part of a ticket-issuing system:

An automated ticket machine sells rail tickets. Users select their destination
and input a credit card and a personal identification number. The rail ticket
is issued and their credit card account charged. When the user presses the
start button, a menu display of potential destinations is activated, along with
a message to the user to select a destination and the type of ticket required.
Once a destination has been selected, the ticket price is displayed and
customers are asked to input their credit card. Its validity is checked and the
user is then asked to input their personal identifier (PIN). When the credit
transaction has been validated, the ticket is issued.

Ambiguities and omissions include:

1. Can a customer buy several tickets for the same destination together or must
they be bought one at a time?
2. Can customers cancel a request if a mistake has been made?
3. How should the system respond if an invalid card is input?
4. What happens if customers try to put their card in before selecting a
destination (as they would in ATM machines)?
5. Must the user press the start button again if they wish to buy another ticket
to a different destination?
6. Should the system only sell tickets between the station where the machine is
situated and direct connections or should it include all possible destinations?

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4.4 Write a set of non-functional requirements for the ticket-issuing system,

setting out its expected reliability and response time.

Possible non-functional requirements for the ticket issuing system include:

1. Between 0600 and 2300 in any one day, the total system down time should
not exceed 5 minutes.
2. Between 0600 and 2300 in any one day, the recovery time after a system
failure should not exceed 2 minutes.
3. Between 2300 and 0600 in any one day, the total system down time should
not exceed 20 minutes.
All these are availability requirements – note that these vary according to the time
of day. Failures when most people are traveling are less acceptable than failures
when there are few customers.
4. After the customer presses a button on the machine, the display should be
updated within 0.5 seconds.
5. The ticket issuing time after credit card validation has been received should
not exceed 10 seconds.
6. When validating credit cards, the display should provide a status message
for customers indicating that activity is taking place.
This tells the customer that the potentially time consuming activity of
validation is still in progress and that the system has not simply failed.
7. The maximum acceptable failure rate for ticket issue requests is 1: 10000.
Note that this is really ROCOF. I have not specified the acceptable number of
incorrect tickets as this depends on whether or not the system includes trace
facilities that allow customer requests to be logged. If so, a relatively high failure
rate is acceptable as customers can complain and get refunds. If not, only a very
low failure rate is acceptable.
Obviously, these requirements are arbitrary and there are many other
possible answers. You simply have to examine their credibility.

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4.6 Suggest how an engineer responsible for drawing up a system requirements

specification might keep track of the relationships between functional and
non-functional requirements.

Keeping track of the relationships between functional and non-functional

requirements is difficult because non-functional requirements are sometimes
system level requirements rather than requirements which are specific to a single
function or group of functions.
One approach that can be used is to explicitly identify system-level non-
functional requirements that are associated with a functional requirement and list
them separately. All system requirements that are relevant for each functional
requirement should be listed. They can be related by including them in a table as
shown below.
Related non-functional Non-functional
Functional requirement system requirements requirements
The system shall provide Safety requirement: No Timing requirement: The
an operation which allows release of steam shall be valve must open
operators to open the permitted if maintenance completely within 2
release valve to vent work is being carried out seconds of the operator
steam into the on any steam generation initiating the action.
atmosphere. plant.

Notice that in this example, the system non-functional requirement would normally
take precedence over the timing requirement, which applied to the specific
operation.

Obviously, any sensible answer that provides a way of linking functional and non-
functional requirements is acceptable here.

4.7 Using your knowledge of how an ATM is used, develop a set of use cases
that could serve as a basis for understanding the requirements for an ATM
system.

There are a variety of different types of ATM so, obviously, there is not a definitive
set of use cases that could be produced. However, I would expect to see use cases
covering the principal functions such as withdraw cash, display balance, print
statement, change PIN and deposit cash. The use case description should describe
the actors involved, the inputs and outputs, normal operation and exceptions.

Withdraw cash:

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Actors: Customer, ATM, Accounting system

Inputs: Customer’s card, PIN, Bank Account details
Outputs: Customer’s card, Receipt, Bank account details
Normal operation: The customer inputs his/her card into the machine.
He/she s promoted for a PIN which is entered on the keypad. If correct,
he/she is presented with a menu of options. The Withdraw cash option is
selected. The customer is promoted with a request for the amount of cash
required and inputs the amount. If there are sufficient funds in his/her
account, the cash is dispensed, a receipt if printed and the account
balance is updated. Before the cash is dispensed, the card is returned to
the customer who is prompted by the machine to take their card.
Exception: Invalid card. Card is retained by machine; Customer advised to
seek advice.
Incorrect PIN. Customer is request to rekey PIN. If incorrect after 3
attempts, card is retained by machine and customer advised to seek
advice.
Insufficient balance Transaction terminated. Card returned to customer.

Display balance:
Actors: Customer, ATM, Accounting system
Inputs: Customer’s card, PIN, Bank Account details
Outputs: Customer’s card
Normal operation: The customer authenticates using card and PIN as in
Withdraw cash and selects the Display Balance option. The current
balance of their account is displayed on the screen. The card is returned
to the customer.
Exception: Invalid card. As in Withdraw cash
Incorrect PIN. As in Withdraw cash

Print statement:
Actors: Customer, ATM, Accounting system
Inputs: Customer’s card, PIN, Bank Account details
Outputs: Customer’s card, Printed statement
Normal operation: The customer authenticates using card and PIN as in
Withdraw cash and selects the Print statement option. The last five
transactions on their account is printed. The card is returned to the
customer.
Exception: Invalid card. As in Withdraw cash
Incorrect PIN. As in Withdraw cash

Change PIN:
Actors: Customer, ATM
Inputs: Customer’s card, PIN
Outputs: Customer’s card

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Normal operation: The customer authenticates as in Withdraw cash and

selects the Change PIN option. He/she is prompted twice to input the
new PIN. The PINS input should be the same. The customer’s PIN is
encrypted and stored on the card. Card returned to customer.
Exception: Invalid card. As in Withdraw cash.
Incorrect PIN. As in Withdraw cash.
PINS do not match. The customer is invited to repeat the process to reset
his/her PIN.

Deposit cash:
Actors: Customer, ATM, Accounting system
Inputs: Customer’s card, PIN, Bank Account details, Cash to be
deposited
Outputs: Customer’s card, Receipt
Normal operation: The customer authenticates as in Withdraw cash and
selects the Deposit option. The customer is promoted with a request for
the amount of cash to be deposited and inputs the amount. He or she is
then issued with a deposit envelope in which they should put the cash
then return it to the machine. The customer’s account balance is updated
with the amount deposited but this is marked as uncleared funds and is
not cleared until checked. A receipt is issued and the customer’s card is
returned.
Exception: Invalid card. As in Withdraw cash.
Incorrect PIN. As in Withdraw cash.
No cash deposited within 1 minute of envelope being issued. Transaction
terminated. Card returned to customer.

4.9 When emergency changes have to be made to systems, the system

software may have to be modified before changes to the requirements have
been approved. Suggest a model of a process for making these
modifications that will ensure that the requirements document and the
system implementation do not become inconsistent.

The following diagram shows a change process that may be used to maintain
consistency between the requirements document and the system. The process
should assign a priority to changes so that emergency changes are made but these
changes should then be given priority when it comes to making modifications to the
system requirements. The changed code should be an input to the final change
process but it may be the case that a better way of making the change can be found
when more time is available for analysis.
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©Ian Sommerville 2014

Discovering Diverse Content Through
Random Scribd Documents
As has been said aforetime, the able warrior gains the victory
without desperate and bloody engagements, and wins thereby no
reputation for wisdom or brave deeds. To fight is to win, for he
attacks only when the enemy has sown the seeds of defeat.
Moreover, the skilful soldier in a secure position does not let pass the
moment when the enemy should be attacked.
The army that conquers makes certain of victory, and then seeks
battle.
The army destined to defeat, fights, trusting that chance may bring
success to its arms.
The skilful leader is steadfast in the “Way”; upholds the Law, and
thereby controls the issue.
Touching the laws of war, it is said: first, the rule; second, the
measure; third, the tables; fourth, the scales; fifth, the foretelling of
victory.
For the rule is the survey of land; the measure tells the amount of
that land’s produce; the tables its population; from the scales their
weight or quality is made known; and then can we calculate victory
or defeat.
The army that conquers as against the army destined to defeat, is as
a beam against a feather in the scales. The attack of conquering
forces is as the outburst of long-pent-up waters into sunken valleys.
Such are the orders of battle.
 V
THE SPIRIT OF THE TROOPS
Sun the Master said:—
The control of large numbers is possible, and like unto that of small
numbers, if we subdivide them.

By means of drum, bell and flag,[7] the direction of large forces in

battle is possible, and like unto the direction of small forces.
By the skilful interchange of normal and abnormal manœuvres are
the armies certainly preserved from defeat.
The enemy is crushed, like the fall of a grindstone upon an egg, by
knowledge of his strength and weakness, and by the employment of
truth and artifice.
Moreover, in battle the enemy is engaged with the normal and
defeated by the abnormal force.[8]
The abnormal force, skilfully handled, is like the heaven and earth,
eternal; as the tides and the flow of rivers, unceasing; like the sun
and moon, for ever interchanging; coming and passing, as the
seasons.
There are five notes; but by combinations, innumerable harmonies
are produced. There are but five colours; but if we mix them, the
shades are infinite. There are five tastes, but if we mix them there
are more flavours than the palate can distinguish.[9]
In war there are but two forces, the normal and the abnormal; but
they are capable of infinite variation. Their mutual interchange is like
a wheel, having neither beginning or end. They are a mystery that
none can penetrate.
As the rush of rock-shouldering torrents, so is the spirit of the
troops.
Like the well-judged flight of the falcon, in a flash crushing its
quarry, so should the stroke be timed.
Wherefore the spirit of the good fighter is terrifying, his occasions
sudden; like the stretched cross-bow, whose string is released at the
touch of the trigger.
In the maze and tumult of the battle, there is no confusion; in the
thick of action the battle array is impenetrable.
If discipline be perfect, disorder can be simulated; if truly bold, we
can feign fear; if really strong, we can feign weakness.
We simulate disorder by subdivision; fear, by spirit; weakness, by
battle formation.
We set the enemy in motion by adopting different formations to
which he must conform.
If we offer the enemy a point of advantage, he will certainly take it:
we give him an advantage, set him in motion and then fall upon him.
Wherefore the good fighter seeks victory from spirit, and does not
depend entirely upon the skill of his men. He is careful in his choice,
and leaves the rest to battle force; yet, when an opening or
advantage shows, he pushes it to its limits.
As a log or rock which, motionless on flat ground, yet moves with
ever-increasing force when set on an incline, so await the
opportunity, and so act when the opportunity arrives.
If the general be skilful, the spirit of his troops is as the impetus of a
round stone rolled from the top of a high mountain.
 VI
EMPTINESS AND STRENGTH
Sun the Master said:—
To be the first in the field, and there to await the enemy, is to
husband strength.
To be late, and hurrying to advance to meet the foe, is exhausting.
The good fighter contrives to make the enemy approach; he does
not allow himself to be beguiled by the enemy.
By offering an apparent advantage, he induces the enemy to take up
a position that will cause his defeat; he plants obstructions to
dissuade him from acting in such a way as to threaten his own
dispositions.
If the enemy be at rest in comfortable quarters, harass him; if he be
living in plenty, cut off his supplies; if sitting composedly awaiting
attack, cause him to move.
This may be done by appearing where the enemy is not, and
assaulting unexpected points.
If we go where the enemy is not, we may go a thousand leagues
without exhaustion.
If we attack those positions which the enemy has not defended, we
invariably take them: but on the defence we must be strong, even
where we are not likely to be attacked.
Against those skilful in attack, the enemy does not know where to
defend: against those skilful in defence, the enemy does not know
where to attack.
Now the secrets of the art of offence are not to be easily
apprehended, as a certain shape or noise can be understood, of the
senses; but when these secrets are once learnt, the enemy is
mastered.
We attack, and the enemy cannot resist, because we attack his
insufficiency; we retire, and the enemy cannot pursue, because we
retire too quickly.
Again, when we are anxious to fight, but the enemy is serenely
secure behind high walls and deep moats; we attack some such
other place that he must certainly come out to relieve.
When we do not want to fight, we occupy an unfortified line; and
prevent the enemy from attacking by keeping him in suspense.
By making feints, and causing the enemy to be uncertain as to our
movements, we unite, whilst he must divide.
We become one body; the enemy being separated into ten parts. We
attack the divided ten with the united one. We are many, the enemy
is few, and in superiority of numbers there is economy of strength.
The place selected for attack must be kept secret. If the enemy
know not where he will be attacked, he must prepare in every
quarter, and so be everywhere weak.
If the enemy strengthen his front, he must weaken his rear; if he
strengthen his right, his left is weakened; and if he strengthen his
left, his right is weakened.
Everywhere to make preparations, is to be everywhere weak. The
enemy is weakened by his extended preparations, and we gain in
strength.
Having decided on the place and day of attack, though the enemy
be a hundred leagues away, we can defeat him.
If the ground and occasion be not known, the front cannot help the
rear; the left cannot support the right, nor the right the left, nor the
rear the front. For on occasion, the parts of the army are two score
leagues apart, while a distance of four or five leagues is
comparatively close.

The soldiers of Wu[10] are less than the soldiers of Yueh; but as
superiority in numbers does not of necessity bring victory, I say,
then, that we may obtain the victory.
If the enemy be many in number, prevent him from taking
advantage of his superiority, and ascertain his plan of operations.
Provoke the enemy and discover the state of his troops; feint and
discover the strength of his position. Flap the wings, and unmask his
sufficiency or insufficiency. By constant feints and excursions, we
may produce on the enemy an impression of intangibility, which
neither spies nor art can dispel.
The general makes his plans in accordance with the dispositions of
the enemy, and puts his hosts in motion; but the multitude cannot
appreciate the general’s intention; they see the signs of victory, but
they cannot discover the means.
If a victory be gained by a certain stratagem, do not repeat it. Vary
the stratagem according to circumstances.
An army may be likened to water.
Water leaves dry the high places, and seeks the hollows. An army
turns from strength and attacks emptiness.
The flow of water is regulated by the shape of the ground; victory is
gained by acting in accordance with the state of the enemy.
The shape of water is indeterminate; likewise the spirit of war is not
fixed.
The leader who changes his tactics in accordance with his adversary,
and thereby controls the issue, may be called the God of war.
Among the five elements[11] there is no settled precedence; the four
seasons come and go; the days are long and short; and the moon
waxes and wanes. So in war there is no fixity.
 VII
BATTLE TACTICS
Sun the Master said:—
For the most part, military procedure is as follows:—
The general receives orders from his lord; assembles and settles
harmony among the forces, and takes the field.
There is nothing more difficult than Battle Tactics. Their difficulty lies
in the calculation of time and distance, and the reversal of
misfortune.
To make the enemy take a circuitous route by a show of gain, and
then, whilst starting after him, to arrive before him, is to be a master
of the art of manœuvre.
The operations of an army may reap advantage; the wrangles of a
multitude are fraught with peril.
Employing our whole force at one time in order to gain advantage
over the enemy, we may not have time enough to gain our object. If
we push on with a portion of the force only, the transport is lost.
Discarding helmet and armour; stopping neither day nor night;
marching double distance; doing double work; and finally contending
with the enemy at a distance of a hundred leagues: results in the
loss of the general. Since the strong men arrive first, and the tired
drop in rear, only one-tenth of the forces is available.
A forced march of fifty leagues to secure an advantage may result in
failure to the leader of the vanguard, for only half his men will
arrive.
After a forced march of thirty leagues to secure an advantage, only
two-thirds of the army will be available.
Further, a lack of ammunition, of supplies, or of stores, may lead to
disaster.
The ruler who is ignorant of the designs of neighbouring princes,
cannot treat with them.
He who is ignorant of mountain and forest, defile and marsh, cannot
lead an army.
He who does not employ a guide, cannot gain advantage from the
ground.
Disguise your movements; await a favourable opportunity; divide or
unite according to circumstance.
Let your attack be swift as the wind; your march calm like the forest;
[12] your occupation devastating as fire. In defence, as a mountain
rest firm; like darkness impenetrable to the enemy. Let your
movements be swift as the lightning.
Let as many as possible take part in the plunder: distribute the profit
from the captured territory.
So he who understands the crooked and the straight way conquers.
These are the methods of Battle Tactics.
According to the ancient books on war, the drum and bell are used,
because the voice does not carry; the flag is used to assist the sight.
The use of bell, drum, banner and flag is to attract the united
attention of eye and ear.
When all are united, the strong are not left to go forward alone, the
cowardly are not free to retreat unrestricted. In this way can a
multitude be used.
Therefore in night fighting, beacons and drums are largely used; in
day fighting, a great number of banners and flags and the enemy’s
eyes and ears are confounded.
We thus awe his army, and defeat his general’s ambition.
In the morning the spirits are keen; at midday there is a laziness; in
the evening a desire to return. Wherefore, he who uses his soldiers
well, avoids the time when the spirits are keen; but attacks the
enemy when he is languid or seeking his camp.
Thus should the nature of energy be turned to account.
To oppose confusion with order, clamour with quiet, is to have the
heart under control.
To await an enemy from a distance, to oppose hunger with satiety,
rest with fatigue, is the way to husband strength.
Do not attack where lines of banners wave, nor the serried ranks of
battle spread, but patiently await your time.
Do not attack an enemy on high ground, nor one who has high
ground at his back. Do not pursue an enemy who is imitating flight;
do not attack a spirited enemy.
If the enemy offer an allurement, do not take it.
Do not interfere with an enemy who has struck camp, and is about
to retire. When surrounding an enemy, allow him an outlet. Do not
press a desperate enemy.
These are the methods of employing troops.
 VIII
THE NINE CHANGES
Sun the Master said:—
In general, the procedure of war is:—the Leader, having received
orders from his lord, assembles the armies.
Do not camp on marshy or low-lying ground; enter into friendly
relations with neighbouring states; do not linger in a far country; use
stratagem in mountainous and wooded country; on death ground,
fight.
There are always roads that must be avoided; forces that must not
be attacked; castles that must not be besieged; ground that must
not be chosen for encounter; orders from the lord that must not be
obeyed.
The general who knows the Nine Changes understands the use of
troops; on the contrary, he who does not understand them, can
make no use of his topographical knowledge.
In the management of armies, if the art of the Nine Changes be
understood, a knowledge of the Five Advantages is of no avail.
The wise man considers well both advantage and disadvantage. He
sees a way out of adversity, and on the day of victory to danger is
not blind.
In reducing an enemy to submission, inflict all possible damage upon
him; make him undertake useless adventures; also make
neighbouring rulers move as you would desire them by tempting
them with gain.
Wherefore in the conduct of war do not depend on the enemy’s not
coming, but rely on your own preparations; do not count on the
enemy not attacking your fortress, but leave nothing undefended.
Generals must be on their guard against these five dangerous faults:
—
Blind impetuosity, which leads to death.
Over-cautiousness, which leads to capture.
Quick temper, which brings insult.
A too rigid propriety, which invites disgrace.
Over-regard for the troops, which causes inconvenience.
These five faults in the leader are disastrous in war. The overthrow
of the army and the slaughter of the general arise from them.
Therefore they must be carefully considered.
 IX
MOVEMENT OF TROOPS
Sun the Master said:—
Touching the disposal of troops and observation of the enemy in
relation to mountain warfare:—
Cross mountains and camp in valleys, selecting positions of safety.
Place the army on high ground, and avoid an enemy in high places.
In relation to water:—
After crossing waters, pass on immediately to a distance. When the
enemy is crossing a stream, do not meet and engage him in the
waters, but strike when half his force has passed over. Do not
advance on an enemy near water, but place the army on high
ground, and in safety.
Do not fight when the enemy is between the army and the source of
the river.
With regard to marshes:—
Cross salty marshes quickly; do not linger near them.
If by chance compelled to fight in the neighbourhood of a marsh,
seek a place where there is water and grass, and trees in plenty in
the rear.
In open country place the army in a convenient place with rising
ground in the right rear; so that while in front lies death, behind
there is safety.
Such is war in flat country.
Huangti, by observing these things, gained the victory over four
Princes.
As a rule, the soldiers prefer high ground to low. They prefer sunny
places to those the sun does not reach.
If the health of the troops be considered, and they are encamped on
high and sunny ground, diseases will be avoided, and victory made
certain.
If there be rising ground, encamp on its sunny side and in front of it;
for thereby the soldiers are benefited, and the ground used to our
advantage.
If, owing to rains in the upper reaches, the river become turbulent,
do not cross until the waters have quieted.
Steep and impassable valleys; well-like places; confined places;
tangled impenetrable ground; swamps and bogs; narrow passages
with pitfalls:—quickly pass from these, and approach them not.
Cause the enemy to approach near to them, but keep yourself from
these places; face them, so that the enemy has them in his rear.
If there be near to the army, precipices, ponds, meres, reeds and
rushes, or thick forests and trees, search them thoroughly. These are
places where the enemy is likely to be in ambush.
When the enemy is close, but quiet, he is strong in reliance on
natural defences.
If the enemy challenge to fight from afar, he wishes you to advance.
If the enemy be encamped in open country, it is with some special
object in view.
Movement among the trees shows that the enemy is advancing.
Broken branches and trodden grass, as of the passing of a large
host, must be regarded with suspicion.
The rising of birds shows an ambush.
Startled beasts show that the enemy is stealthily approaching from
several sides.
High, straight spurts of dust betoken that chariots are coming.
Long, low masses of dust show the coming of infantry.
Here and there, thin and high columns of dust are signs that
firewood and fodder are being collected.
Small clouds of dust moving to and fro are signs that the enemy is
preparing to encamp for a short time.
Busy preparations and smooth words show that the enemy is about
to advance to attack.
Big words, and the spurring forward of horsemen, are signs that the
enemy is about to retire.
An advance of the light chariots to the flanks of the camp is a sign
that the enemy is coming forth to fight.
Without consultation, suddenly to desire an armistice, is a mark of
ulterior design.
The passing to and fro of messengers, and the forming up of troops,
show that the enemy has some movement on foot.
An advance, followed by sudden retirement, is a lure to attack.
When the enemy use their weapons to rest upon, they are hungry.
If the drawers of water drink at the river, the enemy is suffering
from thirst.
Disregard of booty that lies ready at hand is a sign of exhaustion.
The clustering of birds round a position shows that it is unoccupied.
Voices calling in the night betoken alarm.
Disorder in the army is a sign that the general is disregarded.
A changing about of flags and banners is a sign that the army is
unsettled.
If the officers be angry, it is because the soldiers are tired, and slow
to obey.
The killing of horses for food shows that the enemy is short of
provisions.
When the cooking-pots are hung up on the wall and the soldiers turn
not in again, the enemy is at an end of his resources.
Exceeding graciousness and familiarity on the part of the general
show that he has lost the confidence of the soldiers.
Frequent rewards show that discipline is at an end.
Frequent punishments are a sign that the general is in difficulties.
The general who first blusters, and then is obsequious, is without
perception.
He who offers apologies and hostages is anxious for a truce.
When both sides, eager for a fight, face each other for a
considerable time, neither advancing nor retiring, the occasion
requires the utmost vigilance and circumspection.
Numbers are no certain mark of strength.
Even if incapable of a headlong assault, if the forces be united, and
the enemy’s condition ascertained, victory is possible.
He who without taking thought makes light of the enemy is certain
to be captured.
If a general who is strange to the troops punish them, they cease to
obey him. If they are not obedient, they cannot be usefully
employed.
If the troops know the general, but are not affected by his
punishments, they are useless.
By humane treatment we obtain obedience; authority brings
uniformity. Thus we obtain victory.
If the people have been trained in obedience from the beginning,
they respect their leader’s commands.
If the people be not early trained to obedience, they do not respect
their leader’s commands.
Orders are always obeyed, if general and soldiers are in sympathy.
 X
GROUND
Sun the Master said:—
With regard to the different natures of ground there are:—
Open ground; broken ground; suspended ground; defiles;
precipices; far countries.
Open ground is that where either side has liberty of movement: be
quick to occupy any high ground in the neighbourhood and consider
well the line of supplies.
Broken ground. Advance is easy, but retreat from it is difficult. Here,
if the enemy be not prepared, we may win: but should he be
prepared, and defeat us, and retreat be impossible, then there is
disaster.
Suspended ground. The side that takes the initiative is under a
disadvantage. Here, if the enemy offer some allurement, we should
not advance: but rather, by feigning retreat, wait until he has put
forth half his force. Then we may attack him with advantage.
Defiles, make haste to occupy; garrison strongly and await the
enemy. Should the enemy be before you, and in strength, do not
engage him; but if there be unoccupied points, attack him.
In precipitous ground quickly occupy a position on a sunny height,
and await the enemy. If the enemy be before you, withdraw and do
not attack him.
If distant from the enemy, and the forces be equal, to take the
initiative is disadvantageous.
Now, these are the six kinds of ground. It is the duty of generals to
study them.
Again, there are six calamities among the troops, arising, not from
defect of ground, or lack of opportunity, but from the general’s
incapacity.
These are: repulse, relaxation, distress, disorganisation, confusion
and rout.
If troops be sent to attack an enemy of equal quality, but ten times
their number, they retire discomfited.
Strong soldiers with weak officers cause relaxation.
Able officers with feeble soldiers cause distress.
Enraged senior officers, who fall upon the enemy without orders,
and obey not the general because he does not recognise their
abilities, produce disorganisation.
Weak and amiable generals, whose directions and leadership are
vague, whose officers’ and men’s duties are not fixed, and whose
dispositions are contradictory, produce confusion.
Generals, who are unable to estimate the enemy, who oppose small
numbers to large, weakness to strength, and who do not put picked
men in the van of the army, cause it to be routed.
These six things lead to defeat. It is the duty of the general to study
them carefully.
Ground is the handmaid of victory.
Ability to estimate the enemy, and plan the victory; an eye for
steepness, command and distances: these are the qualities of the
good general.
Whosoever knows these things, conquers; he who understands them
not, is defeated.
If victory be certain from the military standpoint, fight, even if the
lord forbid.
If defeat be certain from the military standpoint, do not fight, even
though the lord commands it.
The general who advances, from no thought of his own glory, or
retires, regardless of punishment; but only strives for the people’s
welfare, and his lord’s advantage, is a treasure to the state.
The good general cares for his soldiers, and lovingly treats them as
his children; as a consequence they follow him through deep valleys,
and are beside him in death.
Nevertheless, over-care for the soldiers may cause disobedience;
over-attention may make them unserviceable; over-indulgence may
produce disorder: they become like spoilt children, and cannot be
used.
He who is confident of his own men, but is ignorant that the enemy
should not be attacked, has no certainty of victory.
He who knows that the enemy may be attacked with advantage, but
knows not his own men, has no certainty of victory.
Confidence in the troops, right judgment when to attack the enemy,
but ignorance of the ground, bring uncertain victory.
The wise soldier, once in motion, does not waver, and is never at a
loss.
As has been said: “Know thyself; know the enemy; fear not for
victory.”
Also, if the season and the opportunity be realised, and the ground
known, complete victory is certain.
 XI
THE NINE GROUNDS
Sun the Master said:—
In respect to the conduct of war there are:—
Distracting ground; disturbing ground; ground of contention;
intersecting ground; path-ridden ground; deeply-involved ground;
difficult ground; enclosed ground; death ground.
At all times, when the prince fights in his own territory, it is called
distracting[13] ground.
That ground a short way inside the enemy’s border is called
disturbing ground.
Ground giving advantage to whichever side is in possession, is called
ground of contention.
Ground to which either side has access, is called intersecting ground.
Ground between three provinces first possession of which enables
the peoples of the earth to be controlled, is called path-ridden
ground.
The interior of the enemy’s country with many of his fortified towns
in rear, is called deeply-involved ground.
Mountain and forest, precipices, ravines, marsh and swamp, all
places where passage is hard, are called difficult ground.
A narrow entrance and winding outlet, where a small number can
oppose a large force, is called enclosed ground.
That ground where delay means disaster, is called death ground.
Wherefore, do not fight on distracting ground; do not linger on
disturbing ground.
If the enemy be in possession of disputed ground, do not attack.
In intersecting ground, do not interrupt the highways.
At the crossing of highways, cultivate intercourse.
When deeply involved, levy and store up the enemy’s property.
Quickly depart from difficult ground.
On enclosed ground, use stratagem.
On death ground, fight.
The skilful fighters of old were at pains to disconnect the enemy’s
front and rear; they cut asunder small and large forces of the
enemy; prevented mutual help between his officers and men; spread
mistrust between high and low. They scattered the enemy, and
prevented him from concentrating; if his soldiers were assembled,
they were without unity.
If there be a chance of victory, move; if there be no chance of
success, stand fast.
If I were asked how a powerful and united force of the enemy
should be met, I would say: lay hands on what the enemy cherishes
and he will conform to our desires.
In war, above all, speed sustains the spirit of the troops. Strike
before the enemy is ready; and attack his unpreparedness from an
unexpected quarter.
With regard to war in foreign lands. When strangers in a far country
the soldiers are united and are proof against defeat. Plunder fertile
plains so that the army is fed; be careful of the health of the
soldiers; do not tire them uselessly; unite their minds; store up
strength; plan well and secretly. If there be no refuge the soldiers
will not fly from death.
If there be no alternative but death, the soldiers exert themselves to
the utmost.
In desperate places, soldiers lose the sense of fear.
If there be no place of refuge, there will be no wavering.
If deeply involved in the enemy’s country, there is unity.
If it be unavoidable, the soldiers will fight their hardest. Even
without warnings they are vigilant; they comply without insistence;
without stipulations they are tractable; without explicit instructions
they will trust the general and obey him.
Prohibit the discussion of signs and omens, and remove the soldiers’
doubts; then to the moment of death they will be undistracted.
Riches are denied the soldiers, not because money is a bad thing;
old age is forbidden them, but not because long life is evil.
Hardships and danger are the proper lot of the soldier.
When the order for attack is given, the collars of those who are
sitting may be wet with tears; tears may roll down the cheeks of
those reclining; yet these men, in a desperate place, will fight with
the courage of Chu and Kuei.
Soldiers should be used like the snakes on Mt. Chang; which, if you
hit on the head, the tail will strike you; if you hit the tail, the head
will strike you; if you strike its middle, head and tail will strike you
together.
Should any one ask me whether men can be made to move like
these snakes, I say, yes. The men of Wu and Yueh hate each other;
yet, if they cross a river in the same boat and a storm overtake
them, they help each other like the two hands.
The horses may be tied, and the chariot wheels sunk in the mud;
but that does not prevent flight.
Universal courage and unity depend on good management.
The best results from both the weak and strong are obtained by a
proper use of the ground.
The skilful warrior can lead his army, as a man leads another by the
hand, because he places it in a desperate position.
The general should be calm, inscrutable, just and prudent. He
should keep his officers and men in ignorance of his plans, and
inform no one of any changes or fresh departures. By changing his
camps, and taking devious and unexpected routes, his plans cannot
be guessed.
As one taking away the ladder from under those mounted upon the
roof, so acts the general when his men are assembled to fight. He
penetrates into the heart of the enemy’s country and then divulges
his plans. He drives the army hither and thither like a flock of sheep,
knowing not whither they go.
Therefore the general should assemble the armies, and place them
in a desperate position.
The different natures of the Nine Grounds; the suiting of the means
to the occasion; the hearts of men: these are things that must be
studied.
When deep in the interior of a hostile country, there is cohesion; if
only on the borders, there is distraction. To leave home and cross
the borders is to be free from interference.
On distracting ground, unite the soldiers’ minds.
On disturbing ground, keep together.
On disputed ground, try to take the enemy in rear.
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