Response Paper

The Prince

Niccolò Machiavelli

Summary - Chapters 9-18

Chapter IX: Concerning a Civil Principality

Princes are encouraged in their striving to imitate the examples of great rulers from times past, even if doing so will require them to set lofty goals. Doing this will mean that if the prince is not able to meet those higher goals, the actions he takes will still improve his reputation as a powerful and great ruler. 

One way by which a ruler can acquire a state is by way of their own abilities and prowess as opposed to good fortune (for example, inheritance or noble birth). While it is very difficult to acquire a state using one’s prowess, if the prince is successful in doing so he will find it easier to maintain his power. Moses, Cyrus, Theseus, and Romulus are examples of rulers who were able to triumph purely based on their own personal abilities.

Either the nobles or the people have the power to form a principality. If the nobles recognize that they are not able to dominate the people, they will attempt to strengthen their position by appointing one of the nobles as prince. They will then seek to achieve their own goals by way of the prince’s authority. The people are able to use the same approach. If they understand that they cannot resist the nobles, they may choose one of the people to be a prince and then hope the prince’s authority protects them.

A prince who is given his power by the nobles will have difficulty in keeping up his position as the people who surround him will think themselves to be his equal. They will believe that the fact that he occupies the position of prince is a matter of good fortune, good fortune given to him by them. However, when the people create a prince, he stands alone at the pinnacle of the society. People are easier to satisfy than nobles, as the latter hope to oppress the people and are dishonest in their motives. The people’s only wish is to be left alone. The worst that can happen to a prince is the people are hostile towards him is desertion. When nobles are hostile, however, there will be active opposition as well as desertion. Nobles are concerned with protecting their interests, and they are cunning and astute enough to do so.

Nobles can remain independent of the prince’s control, or they might be dependent. Princes should show love and honor to the nobles who are dependent on him. Nobles who maintain their sense of independence could possibly be timid but they might alternatively be ambitious. While timid nobles are not a threat, ambitious ones are as they can become adversaries in difficult times.

When a prince is created by the people, he must keep their friendship. This is generally an easy task. Princes created by nobles are still obliged to work to win the affection of the people, as they can protect him from nobles who may turn against him. The most effective way to keep the people’s mandate is to show benevolence. When people receive favors and kindness from a prince from whom they had expected hostility, they feel a strong senses of obligation.

There are usually difficulties when principalities change from having a government with only limited powers to one with more absolute power. The prince can rule through magistrates or directly in order to effect this transition. When the prince rules through magistrates, he is more vulnerable because he is dependent on their will. The magistrates have the ability to depose him if they wish, by way of disobeying his orders or direct action. When magistrates revolt, princes lack the ability to assume absolute power. This is because the people will be accustomed to showing obedience to the magistrates instead of the prince. Declarations of allegiance to the prince is fashionable during times of prosperity. However, trusted men are difficult to find in times of danger. If a prince is wise, he will ensure that his citizens must always be dependent on his specific authority. When this is the case, they will stay loyal.

Chapter X: How the Strength of All Principalities Should Be Measured

While a prince ought to always have the goal of maintaining an army that equals the size and strength of one belonging to an aggressor, it is also important to keep up fortifications and defenses. Such preparations are effective not only at securing the territory but also deterring potential enemies from trying to invade.

It might be argued that when an enemy overcomes the fortifications and lays siege to a city, the people will become hostile to their prince. This is would be a result of their witnessing their home and possessions being destroyed. However, if a prince has made the best possible effort in fortifying and defending the state, this can serve as an inspiration to the people. The prince needs to make the people believe that their suffering is only temporary, and he needs to inspire feelings of enthusiasm and patriotism. Using this strategy will ensure that the people will feel grateful and obliged and love the prince even more once peace is restored. 

Chapter XI: Concerning Ecclesiastical Principalities

Regions controlled by the Catholic Church, called ecclesiastical principalities, are different from principalities of other kinds. It is very difficult to gain control of these kinds of principalities. Prowess or unusually good fortune are usually required. Machiavelli is sarcastic when asserting that ecclesiastical principalities are not ruled by the principles of governments but rather of religion, and as a result the prince is not required to govern. He says there is no need to defend ecclesiastical principalities, and that it is not necessary to administer the subjects. Despite all of this, it seems that these states always enjoy happiness and security. Machiavelli explains that as ecclesiastical principalities are “sustained by higher powers which the human mind cannot comprehend,” it would be presumptuous to look further into why this is true.

It is clear that we need to consider how the Church gained the tremendous temporal power it holds. At one time, Italy was divided between the pope and the city-states of Florence, Milan, Naples, and Venice. Each power needed to be wary of the others, and they helped to prevent any intervention from foreign powers. At this time, papal power was quite weak as a result of the short duration of papacies and disagreements among Roman barons. However, Popes Julius II and Alexander VI significantly increased the Church’s power through the use of armed force in order to weaken other factions, strengthening the Church’s position by accumulating great wealth, and fostering factionalism.  As a result, the contemporary Church during the time of Machiavelli, which was under Pope Leo X’s leadership, was strong as a result of force of arms. It was now hoped that the pope would maintain his power through virtue and goodness.

Chapter XII: Concerning Various Kinds of Troops, and Especially Mercenaries

It is essential that princes build on strong foundations. Strong armies and good laws are the two most important components of a strong state. Strong armies are necessary for the existence of good laws. The existence of good laws is indicated by the presence of a good army.

Machiavelli sets out the three different kinds of army: prince’s army, mercenary troops, and auxiliary troops. We learn that auxiliary and mercenary troops are dangerous and useless. Mercenaries have the weaknesses of being “disunited, undisciplined, ambitious, and faithless.” Having monetary rewards as their sole motivation makes mercenaries ineffective in battle and causes them to have low morale. Mercenary commanders may be skilled or unskilled: both are problematic. While unskilled commanders are useless, skilled commanders can never be trusted to resist the call of their own ambition. It is much better for the prince to have and command his own army.

Historically, being dependent on mercenary armies has caused significant problems for Italy. Numerous townships hired mercenaries during the breakup of Italy. The Church encouraged the breakup, hoping that it would result in an increase in its own power. Unfortunately, the mercenaries’ main objective turned out to be much more increasing their own status and prestige rather than achieving military objectives. As a result, the mercenary forces fought with one another and things degenerated into ineffective battles that led to the degradation of the political and military significance of the entire country.

Chapter XIII: Concerning Auxiliary, Mixed, and Native Forces

Auxiliary troops are armies that are borrowed from more powerful states. They are deemed to be as useless as mercenaries. While they frequently fight effectively, princes put themselves in potentially damaging and never beneficial situations by using auxiliary armies. He will find himself defenseless if the auxiliaries fail, while he will owe his success to an outside power if they are successful. The auxiliary troops’ loyalty will always be to another ruler, and they are usually organized and skilled. This combination of attributes means that they might be dangerous to the prince.

The principality will never be secure if the prince fails to command troops that are native to his own territory. The choice to depend on outside armies is just as foolish as depending solely on good fortune. During times of prosperity, it might be effective to use auxiliaries and mercenaries. However, it is always perilous to rely on mercenaries and auxiliaries during times of adversity.

Chapter XIV: A Prince’s Concern in Military Matters

The art of war is the only subject that a prince must study. It is always a ruler’s most important discipline. A great ruler can be made out of even a common citizen through mastery of this subject. Neglect of the art of the war is the most certain way of losing power over a state. Skill in the art of war is the most important quality to help ensure success in gaining and keeping power.

The author sets out an analogy; he asks the reader to picture an armed man and an unarmed man. It would clearly be unreasonable to think that the armed man would obey the unarmed one. It would also be unreasonable to think that the unarmed man would feel secure and safe if his servants had arms. Suspicion will be the overwhelming emotion the unarmed man feels toward the armed one. The armed man will likely feel contemptuous towards the unarmed man. As a result, it will be impossible for the two men to cooperate. Princes who lack a strong understanding of warfare and tries to lead an army can be compared to an unarmed man attempting to lead the armed.

Princes must devote all of their time in deep study of the art of war. Such study is both mental and physical. The prince’s body must be trained to endure hardships. He must also learn how to hunt wildlife. He is required to study geography and understand how it effects the strategy of battle. Princes must study history and understand the actions and lives of great leaders. During peacetime, princes must spend their time intensely preparing for future possible times of war.

Chapter XV: Concerning Things for Which Men, and Princes Especially, Are Praised or Censured

Machiavelli transitions from discussing state or principality strength to the correct way a prince should behave. While he concedes that others have addressed this subject, Machiavelli contends that it is necessary to have an original (as opposed to theoretical) set of rules. Other philosophers have written on their ideas of what an idealized notion of how people should live (rather than how they actually live) is. However, the truth is far different than the ideals that philosophers imagine. It is argued that men’s lives are never lived in ideal way in every area. The author believes that princes ought to act in a way that will achieve the greatest amount of practical benefit rather than preoccupy himself with the issue of living virtuously.

While possessing certain person characteristics will gain praise, others will earn condemnation. Praise is generally earned by qualities such as faith, compassion, courage, generosity, and craftiness. Condemnation usually meets characteristics such as miserliness, stubbornness, cowardice, and cruelty. Princes should ideally have all the qualities that are generally deemed to be “good.” Yet this expectation can be unrealistic. It is important to understand that the prince’s most important job is to safeguard his state. It is possible that some “bad” qualities might be necessary to achieve this goal. It is only when these vices endanger the state that they are truly evil and a prince should not possess them. We must not condemn princes that have vices that are employed to protect the well-being of the state.

Chapter XVI: Liberality and Parsimony

Many men admire liberality, also known as generosity. However, it can ruin the state when a prince has a reputation for generosity. This is because such a reputation can require displays of lavishness, and these displays can lead to depletion of resources. If the prince feels obliged to be lavish in his generosity, he might be compelled to burden the people of his state with excessive taxes so that he can cover the costs. This means that the prince’s generosity could ultimately cause his people to hate and resent him. Additionally, if a prince who already has a reputation for generosity tries to change that, people will think he is a miser.

While an ungenerous or parsimonious prince may be seen as miserly at the start, he can eventually gain a reputation for being generous. Additionally, princes who are frugal and thrifty are better able to save the funds needed to effectively defend the state against aggression as well as properly fund necessary projects without excessive taxes.

Machiavelli points out that in history, the actions of Pope Julius II and their results demonstrated how useful parsimony can be. He also points to the kings of France and Spain as being examples of effective parsimony, as they have great accomplishments. It is possible that some could argue that successful leaders have achieved power and kept up their rule through their generosity. Caesar could be an example. However, it is known that is Caesar had not met an early death, he would have been forced to moderate his spending in order to maintain his rule.   It seems clear that generosity can be self-defeating. It can use up current resources, thus possibly preventing future generosity. While parsimony can lead to ignominy, generosity is likely to lead to hatred.

Similar to generosity, compassion is usually seen as an admirable characteristic. However, princes need to show discretion to ensure that he refrains from showing compassion unwisely. When princes are too compassionate and they fail to mete out adequate punishment, it is possible that an atmosphere of disorder will result. This is because his subjects might think they have the liberty to do whatever they please, even perhaps going to the extremes of theft and murder. The entire community is harmed by crime. On the other hand, executions harm only the people who have committed the crimes. In order to maintain order, a measure of cruelty is necessary. However, it is important that the prince temper the exercise of cruelty with prudence and humanity.

Chapter XVII: Concerning Cruelty and Clemency and Whether it is Better to be Loved Than Feared

Machiavelli then poses the question of whether it is preferable to be loved or feared. While the ideal would be for the prince to be both loved and feared, it is difficult to achieve this state of affairs. If compelled to choose between the two, the author believes that being feared is better than being loved. He reasons that this is the case because by nature men are “ungrateful, fickle, dissembling, anxious to flee danger, and covetous of gain.”  In times when danger is only a remote possibility, men show willingness to undertake risks for the sake of their prince. However, if there is real danger, they will turn against their ruler. Bonds of love are easy to break when a dangerous situation arises. The fear of being punished, however, never loses its effectiveness.

It is important that the prince avoid inducing hatred when inducing fear. He needs to ensure that there is proper justification for all executions. Most importantly, princes ought never to confiscate his subjects’ property or abuse their women, as such actions will lead to hatred. If the confiscation of property becomes necessary, the prince must ensure that he has a compelling reason. When it comes to disciplining one’s army, however, the prince will need to use more cruelty. The discipline of an army and the need to keep the men united requires cruelty, including even cruelty that could be considered inhuman.

Chapter XVIII: In What Way Princes Should Keep Their Word

The author acknowledges that people generally praise a prince who honors his promises. However, it is shown that history demonstrates that princes can be most successful when they trick others and are cunning and crafty. It is clear that there are two methods for fighting: fighting by law or fighting by force. Force is natural for beasts, while laws come naturally to men. The prince needs to know how to fight using both force and laws. In this way, he needs to learn to be partly man and partly beast.

Princes behave like beasts when they use force. Princes need to know how to act like two kinds of beast: foxes and lions. A fox cannot defend itself against wolves, while a lion is unable to defend itself against traps. Princes must have the skills of both animals. He must be like a fox in that he can frighten away wolves, and he must be like a lion in being able to recognize and avoid traps. When dealing with people, princes must know to break promises when keeping them would put him in a disadvantageous position and when the reasons that were the premise for the promise have ceased to exist. It must be recognized that princes can never rely on promises. This is because men are naturally deceitful and wretched. Princes must be masters of deception.

It is also necessary, however, for princes to create an aura of virtue that hides the deceit that hides in his mind. This art was mastered by Pope Alexander VI. It is best for princes to give the impression of being pious, kind, trustworthy, compassionate, and even guileless. Obviously, possession of all these virtues is impossible. It’s not even desirable. It is just important that princes appear to be virtuous. It will help him more effectively maintain his state. Additionally, it is the prince’s appearance and results that he will be judged upon. Therefore, if the prince occasionally resorts to evil to accomplish his goal, it will not matter to the people. The appearance of virtue is all that is important. And if the prince is successful in running the state, he will be seen as being virtuous.

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