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Arms Transfers,Military Balances,and
InterstateRelations
MODELING POWER BALANCE VERSUS
POWER TRANSITION LINKAGES
GREGORYS. SANJIAN
Departmentof Political Science
BucknellUniversity
This study extends recent researchon the impact of arms transferson subsystem
political relationships.One of its aims is to determinewhether arms transfersthat
widen or narrowthe gap in militarycapabilitiesbetween rivalimporterslead to coop-
erationor conflict. It is the linkage between these variablesthat separatesthis work
from otherempiricalinquirieson the armstradesubject.Researchinto the effects of
arms transferson subsystem political or militaryrelationshipshas been conducted
before (cf. Kinsella 1995; Sanjian1999, 2001); whathas not been exploredis whether
and how the political, military,and armstradeelements interact.Also lacking within
recentstudiesis a thoroughassessmentof the role of armsexporters.The workto date
(cf. Sanjian 1999, 2001) identifies the exporters that contribute to balanced or
imbalancedmilitaryrelations and cooperativeor conflictual political relations, but
connectionsbetween the political and militaryoutcomes and armstransfershave not
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712 JOURNALOF CONFLICTRESOLUTION
SYSTEMS ANALYSIS,
FUZZY SETS, AND ARMS TRANSFERS
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 713
Appreciationof the arms tradesystem representedby (1) and (2) depends on the
furtherdevelopmentof its variables.Recall thatthe system was characterizedas fuzzy.
Thatis because the variablesin (1) and (2) (i.e., x,, u,, andy) areactuallyplace holders
for fuzzy sets. The concept of a fuzzy set was devised by Zadeh (1965, 1968) and is
essentiallya generalizationof an ordinaryset. LetA representan ordinaryset of N ele-
ments,al, a2, ..., an,takenfrom a universeof discourse,D. The membershipfunction,
gA, covering all of the elements in A is 1, and the set is normallywrittenas A = {a,,
a2, ..., an}. Assume now thatfrom the same universeof discourse,D, the fuzzy set Af
has been defined.The membershipfunction,gA,for this set assigns to each element,ai,
in D a numberin the closed interval[0,1] representingthe degreeto which the element
possibly belongs in the fuzzy set. Formally,gA:D -> [0,1], and the fuzzy set is often
writtenas Af= {(4A(ai), ai)}, where (A(ai)is usuallyreferredto as thegrade ofmember-
1. The simple mathematicalsystem definedhere has its originsin the physical sciences. The earliest,
thoughnonmathematical,extensionof these ideas to political science is reflectedin the workof Easton(cf.
Easton 1965), and early mathematicalapproachesand applications appear in Cortes, Przeworski,and
Sprague(1974) and Gillespie and Zinnes (1977).
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714 JOURNALOF CONFLICTRESOLUTION
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 715
The fuzzy sets depicting both x, and u, consist of two elements with membership
gradesthat are inverselyrelated:as the value of the membershipgrade for one of the
elements in a set increases, the grade for the other element decreases. Consider,for
example, variablex,. As a fuzzy set, x, is defined as X, = the political relationship
betweenimportersI andII at t = {(gx(xl),x ), (gx(x2),x2)}, wherex, = cooperativerela-
tions, x2 = conflictual relations, and gx.(x,) and gx(x2) are the membershipgrades
describingthe extentto which relationsbetweenI andII are,respectively,cooperative
and conflictual.Because X, is a summaryof the politicalrelationshipbetween I and II
at t, as the value of ,x(xl) increases,the value of ,x(x2) decreases.Similarly,the vari-
able u, is denotedby the fuzzy set U, = the armsimportsof I and II at t = {(gu(u1),ul),
([u(u2), u2)}, where u, = widens the gap in I's and II's militarycapabilities, u2= nar-
rowsthe gap in capabilities,andgu(u() andgtu(u2)arethe membershipgradesdescrib-
ing the extent to which arms importswiden and narrowthe gap, respectively.Here,
too, as above, gu(u2) = 1 - (Ul).4
The armstransferoutputsare also designatedas fuzzy. The variablerepresenting
this aspectof the model is definedas Y,= responsiblearmsexportersat t = {(Ly(yl),Yl),
(ir(Y2), Y2), (r(Y3), Y3) , where yl, Y2, and y3 are the United States, the USSR, and ATP,
respectively, and uy(yi) is the membership grade describing the extent to which
exporterYiis responsible for the observed outcomes in political relations (i.e., the
degreeto which relationsarecooperativeor conflictual)andmilitarycapabilities(i.e.,
the degreeto which the capabilitygap widens or narrows).TreatingY,as a fuzzy vari-
able is consistentwith BellmanandZadeh's(1970, B 141) argumentthatfuzzy sets are
a propermeans of dealing with phenomena"characterizedby such commonly used
adjectives as large, small, substantial,significant, important,etc." Under consider-
ationhereis not whetherthe UnitedStates,the USSR, andATParearmsexportersbut
ratherthe extent to which each of those actorsis responsiblefor certainpolitical and
militaryoutcomes.Thatis indisputablya fuzzy question.One countrymay be deemed
particularlyresponsible,a second somewhatless so, and the like.
MEASURING VARIABLES
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716 JOURNALOF CONFLICTRESOLUTION
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 717
MEMBERSHIP FUNCTIONS
AND TEST PROCEDURES
Xt +i =(t, ), (3)
7. Membershipfunctionsof the type definedin (10) are basedon the Cartesianproductof fuzzy sets.
See Cioffi-Revilla(1981) for example computations.
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718 JOURNALOF CONFLICTRESOLUTION
TEST PROCEDURES
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 719
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720 JOURNALOF CONFLICTRESOLUTION
Threemodels are defined for each of equations(5) and (6), and each turnson the
study's centralissue: whetherarms transfersthat widen or narrowgaps in military
capabilitiescorrespondto cooperativeor conflictualrelations.The firstmodel is influ-
encedby the powertransitionperspective:wideninggaps areassociatedwith coopera-
tion, narrowing gaps with conflict. The second model reverses the relationship
between the variables and is therefore nearer to the balance-of-powerviewpoint,
whereasthe thirdmodel proposesmixed outcomes:armstransfersthatwiden or nar-
row gaps sometimes induce cooperationand at othertimes conflict. The mixed-out-
come model considers the possibility that the power balance or power transition
effects of armstransfersare linked to the natureof the political relationshipbetween
the importersat the time the transferstakeplace. Armsthatwiden gaps (at t) may have
powertransitioneffects (at t + 1) if the relationshipbetween the importersis coopera-
tive (at t) but power-balancingeffects (at t + 1) if relationsare conflictual (at t). The
threemodels are formallydefined in Table 1; the table gives the theoreticalvalues of
the conditionalmembershipfunctionsin (5) and (6).
PT and PB in Table 1 are, respectively,the power transitionand power balance
models, whereas the mixed-outcome model is PT/PB. Of obvious and immediate
interestis the link between the two conditionalmembershipfunctions, 1x(x,+Ilx,,u,)
and Ly(y|lX,u,). This means thatthe models coveringboth the changes in the political
relationshipbetween the importersand the roles of the exportersare the same. Con-
necting the models in this way correspondsto the substantivegoals of this study.
Defining and analyzing ix(xt+ |xt, ut) accordingto PT, PB, and PT/PB will reveal
whether arms transfers had power transition,power-balancing,or mixed effects.
When ty(yt|xt,ut)is defined and analyzedaccordingto the same models, information
will havebeen obtainedon the patterns-power transition,powerbalance,or mixed-
of U.S., USSR, and ATParmsexports(remember:each Yiis examinedindividually).
The roles of the exporters will have been determined; so, also, would be each
exporter's responsibility for the observed outcomes on political relations and the
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 721
TABLE 1
Definitions of MembershipFunctions,gx(x, + lxt, ut)and
gr(ytlxt,u)),for Power Transition(PT), Power Balance (PB),
and Mixed (PT/PB) Models of Arms Transfers
+ iXt, ut)
IXx(Xt gy(YtIXt,Ut) PT PB PT/PB
effects of armstransfersat t. Assume, for example,thatthe best model-that is, the one
yielding the largestr value-in the analysispertainingto the role of the United States
is PB. This wouldmeanthatthe UnitedStatesbehavedas a powerbalancer;it will have
been at least one of the exportersresponsiblefor armstransfersthatnarrowedthe gap
in militarycapabilitieswhen relationsbetweenIndiaandPakistanwere eithercooper-
ative or conflictual.
Of course, the othermodels suggest differentroles and types of responsibility.If,
say,the best modelfor ATPis PT/PB,thenthirdpartieswill haveactedaccordingto the
principlesof powertransitiontheorywhenrelationsbetweenthe importerswere coop-
erative(i.e., they will have suppliedarmsin ways thatwidenedthe capabilitygap) and
the balance-of-powertheorywhenrelationswere conflictual(i.e., theirarmsnarrowed
gaps). Thirdpartieswould thereforebe among the responsibleactorswheneverthose
political relationsand armstransferoutcomes occurred.Notice thatthe threemodels
use the same membershipgradevalues (.75, .67, .33, and .25); the conditionalmem-
bership functions differ, in other words, only in the way the values are mixed and
matched.This places the emphasiswhere it shouldbe-on the patternsthemselves-
ratherthanon the values. Appreciabledifferencesin the performancesof the models
will be due to how the values arearrangedratherthanto whatthey are.Notice also that
the gradesare slightly largerfor cooperationat t thanthey are for conflict at t (.75 vs.
.67 and .33 vs. .25). In the case of gx(x,l1x,,
+ u,),this meansthatarmsimportsthateither
widen or narrowgaps at t will lead to morecooperationat t + 1 when thereis coopera-
tion at t than when there is conflict at t, whereasfor gr(yO,x,,
u,), it suggests thateach
exporterwill find it easierto sustaincooperativerelationsthrougha certainarmstrade
strategythan to convertconflictualrelationsinto cooperativeones.
Finally, the values of the membershipgrades in Table 1 (i.e., the numbersthem-
selves) underscoreanotherimportantassumptionof this research:they emphasizethe
potentialpower balance or power transitionimpact of arms transferson futurerela-
tions over and above that of the importers'existing relationship.The grades for
gx(xilxl, u2)andCx(xlx2, ul) for PT (.33 and .67, respectively)indicate,for example,
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722 JOURNALOF CONFLICTRESOLUTION
All of the test results are presentedin Table2 and are, needless to say, intriguing.
Clearly,the best predictorof the impactof armstransferson the political relationship
betweenIndiaandPakistanis PT/PB.Powertransitioneffects seem to obtainwhen the
importers'relationshipis cooperative;when relations are conflictual, however, the
impact of armstransfersis nearerto the claims of the balance-of-powertheory.The
consequences of arms transferson future relations are thereforeinfluenced by the
natureof the political environmentinto which the weaponry arrives.Also, because
neitherthe powertransitionnor powerbalancemodel (PT andPB, respectively)takes
environmentalfactorsinto account(i.e., they do not differentiatebetweencooperative
and conflictual arenas),they both performpoorly. There is, in short, nothing at all
ambiguousaboutthe firsttest results.Arms transfersthatwidened the gap in military
capabilitiesbetween India and Pakistansustainedcooperativerelationsbetween the
importers;those thatnarrowedthe gap helped convertrelationsthat were conflictual
into ones that were cooperative.
Relationswere cooperative(or,at least, morecooperativethanconflictual)between
IndiaandPakistanin 18 of the 41 years of the empiricaltime frame,meaningthatPT/
PB has not been used to forecast broadlypredictableoutcomes. Indeed, the empiri-
cally diversenatureof the India-Pakistanpoliticalenvironmentis criticalto appreciat-
ing the strengthof PT/PB andthe weaknessesof the othermodels. PT performedwell
for the 18 cases in which relationswere cooperativebut very poorly for the 23 conflict
situations.The r value for PT is thus depressedby its inabilityto capturethe impactof
armstransfersin circumstancesof conflict. PB is, of course, similarlyencumbered.It
operatesslightly betterthanPT, but thatis because thereare 5 more cases of conflict
than cooperation.Note what this discussion implies: had the political environment
been less diverse-had the overwhelmingmajorityof the cases been morecooperative
than conflictual or vice versa-then either PT (for cooperation)or PB (for conflict)
would have generatedresultsequivalentto those of PT/PB.The effects of armstrans-
fers, in otherwords,would not have been unmaskedwere it not for the diversityof the
India-Pakistanpolitical environment.
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 723
TABLE2
The Impactof Arms Transferson India-Pakistan
Political Relations and the Roles of the Arms Exporters
Analysis PT PB PT/PB
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724 JOURNALOF CONFLICTRESOLUTION
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Sanjian/ARMS TRANSFERS,MILITARY
BALANCES,AND INTERSTATE
RELATIONS 725
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726 JOURNALOF CONFLICTRESOLUTION
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BALANCES,AND INTERSTATE
Sanjian/ARMS TRANSFERS,MILITARY RELATIONS 727
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