What is the international system? (War and Peace in East Asia, Lecture 2)

So, I’m back to blogging my undergrad class this semester. (Let’s hope I can keep it going this time.) Today is the second session of “War and Peace in East Asia,” which is basically a semester long exercise of using the history of a specific region to sneak in discussions of the modern theory of war and international politics. Tuesday, I compared colloquial understandings of war and its causes to pre-germ theory understandings of disease—basically superstitious and callously self-serving—and promised to overturn how the class thinks about war with a barrage of theories rooted in war as a political phenomenon. Today is a bit more table setting, but we get down to our first bit of substantive international relations theory.

Today’s goal is to lay some groundwork for the course by placing the region in the context of the broader international system. That means that we have to start big—identifying the relevant actors, ordering principles, and modes of change to the big, nasty network of bargains that defines international politics. That’s important, I think, not just because this is an IR class, but because it can be too tempting to dive into the region in isolation, which creates a kind of geo-historical small-sample problem: if we isolate the set of countries whose interactions we’re studying from the rest of the system, then we run the risk of over-attributing the effects of the local, or the idiosyncratic, at the expense of the global, or the structural. (King, Keohane, and Verba (1994) have something on this, talking about small-sample attenuations of regression lines, right?) As we’ll see later in the semester, viewing the current incarnation of the Sino-Japanese rivalry or Cross-Strait relations without the context of the broader world of great power politics would lead to some profoundly biased inferences about what makes these rivalries look the way they do.

So, before we get to the regional, we’ve got to start with the global—and in today’s reading (Chapter 1 of this) Paine even argues that the existence of this global system came into existence in the aftermath of the Sino-Japanese War (which we’ll talk about a few lectures hence). That might be a bit late, given the fact that British intervention in the Taiping Civil War was touched off by opening of American Civil War (how cool is that? – the interconnection, of course, not the fact that some Americans tried to fight a war for the right to own other people), but it’s undeniable that two new non-European great powers emerged on the world stage, and in the Pacific, in the last years of the 19th Century. By 1894, the international politics of East Asia aren’t just regional; they’re global. What, then, is this international system of which all the protagonists in our semester-long story—Chinese, Japanese, Korean, Russian, American—are a part?

For the purposes of the course, I decided to focus on three things: the political units making up the system, its ordering principles, and the agents of change in units and ordering principles. For the most part, we’re talking about territorial states with at least nominal sovereignty, but there’s obviously a lot of variation in what those states look like, from ideal-typical national states to age-old empires masquerading as states to this day. But, generally, territorial states are the dominant actors in the stories we’ll be telling. Next, there are two, not always consistent, ordering principles: formal, legal anarchy but informal, de facto hierarchy. All states have a similar legal existence and set of rights and privileges, but hierarchies of wealth, power, and influence lead to a lot of variation in the extent states can (and choose to) act on their own. Finally, what drives change in either the units or the principles by which they’re ordered? The answer is simple: war…or its threat when states manage to accept the likely outcome of a war without having to fight it. Mao wasn’t wrong when he said that political power grows out of the barrel of a gun, and nowhere is this more often acknowledged than in international relations: rights, privileges, even the location of borders and the autonomy of ruling elites are the results of bargains that generally fall along lines of the likely outcome of wars that could be fought to determine them. War destroys and creates states, hierarchies, borders, elites—it periodically recreates the international system along new lines, and we’ll be tracing these effects in East Asia throughout the semester.

A system organized in this way—territorial states in a decentralized legal environment—is also going to be prone to specific types of disagreements and conflicts. States will tend to dispute the placement of borders and who governs particular territories, and the latter—since controlling the state is inherently valuable—will also provoke wars within the states themselves. States will also fight in order to reorder their places in the hierarchy, to gain control over the behavior of other states or to prevent or reverse the rise of some others to great power status. So this isn’t just an exercise in definition and semantics, because a decentralized territorial order based on legally sovereign states will be prone to certain types of disagreements and certain types of wars as a consequence. As we’ll note next week, however, wars aren’t the inevitable consequence of demands for change to the terms of the global settlement: more often than not, states find diplomatic solutions to their problems without having to fight a war first…and figuring out why war sometimes precedes diplomacy and why states sometimes get straight to the diplomacy will be one of the dominant puzzles that we address in this course.

Further, changes in the number and identity of great powers—those states that sit collectively at the top of the power hierarchy, basically acknowledge each other as such, and muck around in the affairs of other states the most often—tends to be fairly dangerous, and the historical period we’ll cover (from 1894 to the present) is rife with such changes: we’ll begin with a region dominated by Imperial China, then by a Japan that vaults into the rank of great powers in the historical blink of an eye, then one in which numerous great powers—including a post-Civil War China, Soviet Russia, and the United States—interact, all in the shadow of a united China recovering its wealth and military power in more recent decades. Viewed in that light, any course about war and peace in East Asia has to begin with an appreciation of the broader system in which it exists and whose ebbs and flows buffet the powerful and weak alike in East Asia.

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How should we judge the Iran deal?

Before we get going, a disclaimer. I’m going to lay out a reasonable way to judge the deal struck this week between the P5+1 and Iran over its nuclear ambitions. I’ll get to my own tentative assessment later (maybe in another post), but for now it’s worth noting that the process I use to evaluate an international bargain is not guided by the answer I want to end up with.

(Isn’t it said that I have to clarify this? But with the state of discourse being what it is…

AmbJohnBolton
The #IranDeal is a diplomatic Waterloo, it will pave the way for a #NuclearIran
7/14/15, 6:33 AM

…I feel like this bit of information is critical. Waterloo?

LawDavF
Didn’t we win Waterloo? So must be good. https://t.co/LMCylUqeph
7/14/15, 7:03 AM

My thoughts exactly.)

So, as always when a political scientist talks about politics, this post will probably be as notable for what it doesn’t mention as for what it does.

I got an email from my mother today: “What do you think of the Iran deal?”

Before I answered, I had to sit down and think about how to judge the deal right now, and I came up with three requisites—three questions one needs to address in order to really have a good answer to the question. (And by “good” I mean something intellectually useful, coherent, sound, and, well, responsible. And not partisan.) So here are those three questions that, it seems to me, any good judgment of the Iran deal has to have answers for:

  1. What’s the likely consequence of the current deal at some arbitrary time point in the future? (In other words, with the phased easing of sanctions tied to verified compliance, what do we expect to see vis-a-vis Iran’s weapons program in the next five years? How easy will it be to catch noncompliance, then rally support for punishment? Will it be easier than in the absence of an agreement?)
  2. Where are we likely to be (say, in five years) if, as sometimes suggested, the United States tries to solve this problem by launching a war? (What outcome would it take to end nuclear ambitions in Iran? Would the public be in for that kind of campaign? And would it even work—i.e., what if getting attacked when one doesn’t have nukes really makes one want nukes? What’s the risk of starting a bigger regional or global war? Would the P5+1 coalition stay together? How would it affect our ability to fry bigger fish, like the looming Russian threat to Eastern Europe and a potential arms race in East Asia?)
  3. What’s the likely scenario (in five years, say) if we do nothing and maintain the status quo? (Would the coalition behind the sanctions regime hold together despite the cracks already beginning to show? How easy would it be for Iran to take the final step to weaponization? If Iran got too close, how easy would it be to rally the required support, compared to under the new agreement? And let’s just say, for the sake of everyone’s sanity, that we don’t trust elected officials or their appointees to tell us what the timeline for breakout is, okay?)

The key is that we need to compare the deal just struck not to an “optimal” deal (whatever that is), not to a best-case war that magically eliminates both a nuclear program and the desire to carry it out successfully, but to the most realistic alternatives—and their likely consequences. Here, that means (a) the war that hawks have been clamoring for and (b) the continuation (and likely degradation) of the status quo sanctions regime.

Reasonable people can answer each of these responsibly and come to different conclusions—though of course I’d defend mine as more reasonable—but it seems to me that a serious debate about the merits of the deal has to begin with answers to these questions before we get to any others.

German aims in the July Crisis (WWI in Real Time, Lecture 5)

After a week that saw us talk about prewar crises and military planning for the big one, should it ever break out, today we dived directly into the strategy of the July Crisis following the assassination of Franz Ferdinand. Rather than follow the crisis in a linear fashion, though, we tried to tackle a part of the story: German preferences over the many possible outcomes of the crisis. German goals in the war and the preceding crisis have long been a subject of debate—beginning almost as soon as the war broke out—and our goal was to use the weight of available evidence to figure out how Germany might’ve ranked the possible outcomes of its choice over backing Austria in its proposed war on Serbia; doing so will give us some tools to think about the preferences and choices of the other great powers (particularly France and Russia) when we pick up the other part of the narrative—or, more properly, flesh out the other side of the game—on Thursday.

Without rehashing the historiography, here’s what we settled on. Given Austria’s desire to crush Serbia—either dismembering it or forcing it into an alliance with the Dual Monarchy—Germany’s options were to support its ally or not, and the likely outcomes all involved some form of Russian involvement. However, contrary to some accounts, it doesn’t look like Germany was bent on provoking a war with Russia; to be sure, its leaders had been wondering whether preventive war was attractive since Russian rearmament began in 1905, but it had always used Russian assertiveness as the indicator of whether the time had come to attack before the Great Program of rearmament would be complete. In 1905, 1908, 1911, and 1913, the indicator never appeared, and preventive war was never attractive. In short, Germany would fight a preventive war when Russian assertiveness indicated that the time was right, but it was hardly bent on it from the start. As such, we came up with the following ranking, from best to worst:

  1. Austria attacks Serbia, Russia doesn’t intervene (Serbian power eliminated, Dual Monarchy secured, Russia pushed out of the Balkans, and costs of war saved, Entente might fall apart)
  2. Austria attacks Serbia, Russia intervenes, Germany fights (Russian assertiveness reveals preventive war’s time has come)
  3. Austria attacks Serbia, Russia intervenes, Germany doesn’t fight (closest ally defeated, Russian interests ascendant in Balkans, and Russian growth continues unchecked)

Why specify these preferences? Two reasons. First, it lets us see how they “add up” and interact with Russian and French preferences to get us the World War that we had emerging from the July Crisis. (Hint: the revelation of Russian assertiveness turns out to be key in convincing Germany that it’s time to preventive war.)

Second, and more important for today, it’s a useful exercise in thinking hard about how we explain political phenomena. If Germany’s best possible outcome was “localization,” as contemporaries called it, where the threat to support Austria kept the Russians on the sidelines and ensured that the Triple Alliance would dominate the Balkans in the future, then it’s hard to assert—as a few still do—that Germany wanted a preventive war, pursued and then got its preferred outcome. It’s an easy argument to make, but it’s probably also fallacious: Germany seemed to have gotten its second best outcome, and we can’t infer from what did happen that this is what Germany wanted to happen. This means that, to understand why the July Crisis turned into the Great War, we need to know something about why localization failed—why the German threat to support Austria-Hungary was insufficient to deter Russia from mobilizing and continuing the Continent’s slide into war. If, on the other hand, we assume that what happens is exactly what people want to happen, then we can tell a nice linear story—but we also run a serious risk of mis-explaining one of the key events in world history.

Here’s a brief example: after the British indicated that they would have trouble remaining neutral, Chancellor Bethmann Hollweg actually tried to convince Austria to “halt in Belgrade,” limiting its own preventive war to a punitive raid, and while this is consistent with the idea that localization was the goal (British support would certainly embolden the Russians and the French), it’s an anomaly for the idea that Germany was bent on war. Thinking hard about preferences, choice, and strategic behavior, then, can clearly improve our understanding of even the biggest, most complex of events.

Just how German preferences interacted with Russian and French preferences to produce the War, though, will be the subject of the next lecture.

Battle Plans, Strategy, and Equilibrium (WWI in Real Time, Lecture 4)

It’s hard to talk about the First World War without at least a nod towards the war plans and strategies that the belligerents carried into the war—and that subsequently went pretty poorly for nearly all of them. Today, following Tuesday’s discussion of the crises that made a general war feel inevitable, we spent some time in the heads of the generals and civilians that would plot out how such a war would be fought. However, rather than look at France’s embarrassment in the Battle of the Frontiers, Germany’s disaster on the Marne, or Austria’s failure to crush Serbia to judge war plans, we looked at the strategic environment in which the plans were made—which makes even the Schlieffen/Moltke plan look a lot less crazy than folks often think it is.

To illustrate the problem today—that of planning a battle when you’d like to meet an opponent’s attack, while she would like to attack around your defenses—we rely on the Colonel Blotto game, which looks something like this:

blotto

The first thing we establish is that, if we’re looking at pure strategies (that is, choosing one with probability one given some action of the other player), there’s no obvious way to play the game: 1 wants to attack the right (left) if 2 defends the left (right), while 2 wants to defend where 1 attacks. As a result, each possible pair of choices has a profitable deviation; one player wants to change her action at any possible equilibrium.

How, then, should players (read: military planners) approach this problem? Technically, we say that players solve the problem by playing mixed strategies—that is, randomizing over their actions at a specific rate—but the essential idea behind it is being unpredictable: by making it difficult to guess where I’ll defend or attack, I can blunt any advantage my opponent would have by knowing the placement of my army, and vice versa. Since one’s opponent isn’t sure of where the attack will come from, she assigns probabilities to each one, which is what gives the “mixing” part of the strategies their substantive bite. This, of course, is why planners try to keep their strategies secret, why states work so hard to uncover one another’s plans, and why successfully learning another side’s battle plan can play such a critical role in the outcome of battles.

So what’s the relevance of the Blotto game for military planning ahead of World War I? I’d say it boils down to a few things:

  • since each side can try to blunt the other’s advantage, no one is going to do as well as possible in expectation
  • in fact, every possible outcome (1 running into 2’s defenses and 1 running successfully around them) occurs with some chance
  • these two facts make it very difficult to judge the wisdom of a military strategy ex post, because being unpredictable, being secretive, etc. opens up a range of possible outcomes
  • the best way to judge a strategy, then, is to look at the strategic environment in which it was formed.

This, I think, is pretty instructive, especially in the complex environment of strategizing before World War I. After walking through the solution to the Blotto game, we took each of the principal belligerents in turn—France, Germany, Austria-Hungary, Russia, and Britain—and assessed the extent to which their plans aimed at (a) blunting potential opponents’ advantages and (b) overcoming opponents’ attempts to blunt their own, and it turned out to be pretty fruitful. When we see battle plans—even the Schlieffen/Moltke plan—as compromises among what are often a lot of bad options…we see them a bit more accurately than we do when judging them only on their outcomes.

Next week, though, we get to see these plans put into action—Germany’s attempted envelopment of Paris, France’s attack into western Germany, the Dual Monarchy’s decision to prioritize Serbia over Russia, and the latter’s attempts to shore up Poland by engaging in both East Prussia and Galicia—as the July Crisis erupts and ultimately turns into the Great War. I, for one, can’t wait.

Leaping into the dark, Bethmann-style (Teaching WWI in Real Time)

As the realization of what I committed to with my World War I In Real Time fall course starts to dawn on me—centennials will do that to you, I suppose—I figured the anniversary of the Sarajevo assassinations would be an opportune time to share what I’ve been doing in preparation for the course, as well as what I’ve learned, not so much about the War but about prepping a new, and highly specific, course.

  1. This is going to be a lot of work. (Shocking, right?) I suppose this dawning realization is also apropos, at least with respect to the war itself; committing to this course was a leap in the dark, so to speak, one taken with no small amount of blind enthusiasm, but I don’t think I’ll be quite so regretful as Bethmann Hollweg was after his. <fingers crossed>
  2. I’m almost relieved that, on the first day of class (28 August), we’ll be past the July Crisis. Sure, the immediate sparks of the war can be found there, and I won’t be able to make proper use of “Take me Out” by Franz Ferdinand (h/t YL), but I have a sense that I’d be as impatient as Germany waiting for Austria to get off the blocks—and spending too much lecture time on pre-war crises than I really want.
  3. It’s too bad that the Battle of the Frontiers will have just ended, but the day of the 28th is fraught with contingency, choice, and uncertainty—-the perfect stuff, I think, of a first lecture. German armies have crashed through neutral Belgium, hoping to achieve a modern-day Cannae on a massive scale, only to be lured into turning south too soon, foregoing the envelopment of Paris while chasing the possibility of eliminating the French now in the field. General Joffre, on the other hand, has come to the conclusion that attrition might be the only way to win the war, and his famous General Instruction No. 2 will have just gone out, precipitating a massive retreat and repositioning Allied forces so as to set up what would become known as the Battle of the Marne—the moment(s) when Moltke’s version of the Schlieffen plan would be dashed for good, and when the Western Front would begin to settle into what we all know it, now, to look like. 28 August also sees Joffre meeting with Sir John French, trying to keep the British Expeditionary Force in the line, setting the stage for years of (what I, at least, think are) fascinating intra-coalitional politics. With plans wrecked, opponents adjusting, and the strategic picture in remarkable flux, what will the generals, the soldiers, the statesmen, and the home fronts do in response? Forgive me if that’s a goosebump moment for me; I can’t wait to give this lecture.
  4. Lengthy geek-out aside, I’m assigning Max Hastings’ Catastrophe,  which pretty much covers the war from August to the end of the semester—and which I hope my undergrads find to be sufficiently readable. (Well, those that read enough to judge readability, I should say.) As for the other readings…well, up in the air at this point, apart from this (which, if you’ve not read it, is excellent). Had thought about Herwig’s book on The Marne, which I’m finishing now, but the timing is all off. At any rate, you’ll hear more about this decision shortly.
  5. And, finally, I think I’ll be able to sketch out some simple game-theoretic models for many of the topics we’ll consider, from the high politics of diplomacy, statecraft, and intrawar bargaining, to military strategy, to labor-management tensions at home, and to the dynamics of resistance and reprisals behind the front, etc., which should lend some unity to the whole thing. Let’s hope so, at least. Again, fingers crossed.

Broadly, I think that we can learn a lot from the war—sure, maybe not much about some things on which it’s an outlier—but specific instances of general trends can be awfully illuminating when we place them in theoretical context, and my hope is that the anniversary fever for the seminal tragedy in modern history can be put to good use (translation: my students are going to get ambushed with more science than they expect). Keep an eye on this space in the coming weeks and months as I try to figure out how to do just that.

 

When class meets current events, Causes of War edition

With the university closed Tuesday morning due to weather (which is becoming something like a routine around here), I was granted a couple of more days to think about just how I’d address the crisis in Ukraine in my Causes of War class. In the intervening time, I was fortunate enough to see Jay Ulfelder’s post, “This Is Not a Drill,” and to have some lengthy discussions with colleagues about what, if anything, to say responsibly during a highly fluid—and potentially high-stakes—situation that bears pretty directly on the topic of my class. (And not only the class, as I’ll mention below: the very unit we’re in the middle of.)

One option in situations like this is, of course, to say nothing. “Folks, the schedule says we’re going to talk about Japan’s decision to attack Pearl Harbor in 1941, so, by damn, that’s what we’re going to do.” There’s a lot to be said for that approach, to be frank: this early in any crisis, we know so very little about what’s actually happening on the ground, much less why these things are happening. Speculation is always in tremendous supply, and, entertainingly, often preceded by “I don’t want to speculate, but…”

However, I decided today while crafting a response to an email from a student asking about the crisis that, even in a tide of speculation, there’s still something to be said for analysis, or at least rigorous thinking, in light of the few things we do know. If nothing else, it gives us a guide for understanding subsequent events and a few things to look for.

So I’ve decided to talk about Ukraine. The next question, of course, is what to say. As it happens, the class is currently deep into thinking about the use of military force in response to commitment problems (e.g., here and here). We’ve been analyzing when countries will attack, invade, or occupy one another as a way to arrest or prevent a process of declining bargaining leverage that would invalidate deals that are otherwise perfectly acceptable in the present. The use of force may be costly up front, but states may nonetheless opt for it when those costs are are preferable to watching today’s bargain (the status quo) wither away in the future.

Part of our exercise will be to identify these motives in Japan’s decision to attack Pearl Harbor in 1941, when it calculated that its naval power would be as close to that of the United States’ as it ever would be. Then, the question will be whether Russia might be intervening in Ukraine’s messy domestic situation to arrest its own potentially declining bargaining leverage. If we look at the current situation, it’s possible (though, of course, not yet definitive) that we see another species of commitment problem (and, of course, not one producing an attack on another great power, as we saw in 1941). Here’s how:

  1. Ukraine’s domestic upheaval might herald a prolonged shift to the West.
  2. Russia has secured basing rights in the Crimea (which it ceded to Ukraine in 1954), most notably at the port of Sevastopol—rights it would like to protect. These rights aren’t under direct threat now, but…
  3. If a Westward tilt in Ukrainian politics would erode Ukraine’s commitment to honoring leasing agreements, then the current deal might be ever more difficult to keep in place.
  4. Alternatively, if a descent into deeper political chaos were to occur, the current deal might be ever more difficult to keep in place.
  5. If either or both of (3) and (4) would lead to an abrogation of Russian rights in Crimea, and if the consequences of losing of those rights would be greater than the costs of using force (roughly), then Russia’ decision to occupy the region could plausibly be read as a response to a basic commitment problem.

Does that mean Russian actions have derived entirely from the desire to prevent the loss of military privileges in Ukraine? Maybe not, but this is a plausible story consistent with the facts as we (think we) know them. At a minimum, thinking in these terms can tell us where to look if, indeed, this is a response Russia’s expected “loss” of Crimea; if we’re looking at a commitment problem, Russian actions would be designed to secure access to Sevastopol, etc., in the event of further domestic change in Ukraine. How might that be achieved? More autonomy for Crimea? Reversal of the current process of domestic change? A renegotiated treaty? It’s difficult to say at this point, but putting a little structure on otherwise confusing events can’t hurt—as long, of course, as we’re willing to adjust that little bit of structure as required by the emergence of new facts.

And I’m sure my students will make sure that I keep an eye out for just such an eventuality.

War and Peace in East Asia, Lecture 6

Today we covered the Russo-Japanese War, but I ended up spending most class time on two things: (a) the terms of the Anglo-Japanese Alliance and (b) Japan’s care to respect neutral ships at Inchon—foregoing opportunities to sink some Russian ones—even after nominally violating international law by initiating hostilities before a declaration of war. My thoughts on the latter are evolving, so I’m saving them, but the first point is, I think, fairly interesting.

The Anglo-Japanese treaty stipulated, according to Connaughton, that should one side become embroiled in a war in the region, the other would (a) act to keep the war from expanding but (b), if that failed and another party entered the fray, fight alongside its ally. It’s an interesting combination of a neutrality(ish) agreement and defense pact, and while it arguably helped keep the war limited—not many European powers would want to take on the Royal Navy far from the Continent, I suspect—it might well have emboldened Japan because of the assurance that its war with Russia would remain bilateral.

Entering the realm of speculation, I’m guessing that the British wouldn’t have been too broken up to see the war knock the Russians down a peg or two, so they wouldn’t have been terribly interested in restraining Japan. However, this does serve as a nice table setting for our discussion later of alliances, moral hazard, and strategic ambiguity across the Taiwan Strait later in the semester.

Oh, and I’m totally keeping this neutrality rights thing to myself for now. Totally.