Hostname: page-component-8448b6f56d-gtxcr Total loading time: 0 Render date: 2024-04-19T10:19:16.669Z Has data issue: false hasContentIssue false

Rival principals and shrewd agents: Military assistance and the diffusion of warfare

Published online by Cambridge University Press:  03 February 2021

Alex Neads*
Affiliation:
Faculty of Humanities and Social Sciences, University of Bath, Claverton Down, Bath, United Kingdom
*
*Corresponding author. Email: a.s.neads@bath.ac.uk

Abstract

Military assistance is a perennial feature of international relations. Such programmes typically aim to improve the effectiveness of local partners, exporting the donor's way of war through the provision of training and equipment. By remaking indigenous armies in their own image, donors likewise hope to mitigate the profound agency costs associated with the transfer of military capability. But, while technical and organisational transformations can provide notable battlefield advantages, the philosophies underlying such innovations are not so easily propagated. Instead, new tactics, structures, and technologies typically intersect with pre-existing local schemata of war, producing novel if sometimes dysfunctional hybrid praxes. According to principal-agent theory, the application of greater conditionality in the provision of military assistance should improve the fidelity of military diffusion, aligning agents’ divergent interests with their principals’ goals. In practice, however, principal-agent exchanges rarely exist in isolation. Examining the modernisation of nineteenth-century Japan as a case study in military diffusion, this article argues that competition between rival patrons allows recipient states to play would-be principals off against each other, bypassing conditionality by replicating a marketplace for military assistance. In so doing, however, agents trade functionality for sovereignty in their military diffusion.

Type
Research Article
Copyright
Copyright © The Author(s), 2021. Published by Cambridge University Press on behalf of the British International Studies Association

Access options

Get access to the full version of this content by using one of the access options below. (Log in options will check for institutional or personal access. Content may require purchase if you do not have access.)

References

1 Sullivan, Patricia, Tessman, Brock, and Li, Xiaojun, ‘US military aid and recipient state cooperation’, Foreign Policy Analysis, 7:3 (2011), pp. 275–94CrossRefGoogle Scholar; Grissom, Adam, ‘Shoulder-to-shoulder fighting different wars: NATO advisors and military adaptation in the Afghan National Army, 2001–2011’, in Farrell, Theo, Osinga, Frans, and Russell, James (eds), Military Adaptation in Afghanistan (Stanford, CA: Stanford University Press, 2013), pp. 263–87Google Scholar.

2 Terriff, Terry, Osinga, Frans, and Farrell, Theo (eds), A Transformation Gap? American Innovations and European Military Change (Stanford, CA: Stanford University Press, 2010)Google Scholar; Galbreath, David, ‘Moving the techno-science gap in security force assistance’, Defence Studies, 19:1 (2019), pp. 4961CrossRefGoogle Scholar.

3 Biddle, Stephen, ‘Building security forces and stabilizing nations: The problem of agency’, Daedalus, 146:4 (2017), pp. 126–38CrossRefGoogle Scholar; Biddle, Stephen, Macdonald, Julia, and Baker, Ryan, ‘Small footprint, small payoff: The military effectiveness of security force assistance’, Journal of Strategic Studies, 41:1–2 (2018), pp. 89142CrossRefGoogle Scholar.

4 Leslie Eliason and Emily Goldman, ‘Introduction: Theoretical and comparative perspectives on innovation and diffusion’, in Emily Goldman and Leslie Eliason (eds), The Diffusion of Military Technology and Ideas (Stanford, CA: Stanford University Press, 2003), pp. 11–14.

5 Goldman, Emily and Andres, Richard, ‘Systemic effects of military innovation and diffusion’, Security Studies, 8:4 (1999), pp. 79125CrossRefGoogle Scholar.

6 Kenneth Waltz, Theory of International Politics (New York: McGraw-Hill, 1979), p. 127.

7 David Pretel and Lino Camprubí, ‘Technological encounters: Locating experts in the history of globalisation’, in David Pretel and Lino Camprubí (eds), Technology and Globalisation: Networks of Experts in World History (Basingstoke/Cham, Switzerland: Palgrave, 2018), p. 8; Michael Horowitz, The Diffusion of Military Power: Causes and Consequences for International Politics (Princeton, NJ: Princeton University Press, 2010), p. 19.

8 Michael Eisenstadt and Kenneth Pollack, ‘Armies of snow and armies of sand: The impact of Soviet military doctrine on Arab militaries’, in Goldman and Eliason (eds), The Diffusion of Military Technology and Ideas, pp. 63–92.

9 Geoffrey Herrera and Thomas Mahnken, ‘Military diffusion in nineteenth-century Europe: The Napoleonic and Prussian military systems’, in Goldman and Eliason (eds), The Diffusion of Military Technology and Ideas pp. 205–42.

10 Christopher Jones, ‘Reflections on mirror images: Politics and technology in the arsenals of the Warsaw Pact’, in Goldman and Eliason (eds), The Diffusion of Military Technology and Ideas, p. 119.

11 Chris Demchack, ‘Creating the enemy: Global diffusion of the information technology-based military model’, in Goldman and Eliason (eds), The Diffusion of Military Technology and Ideas, pp. 307–47; Farrell, Theo, ‘Transnational norms and military development: Constructing Ireland's professional army’, European Journal of International Relations, 7:1 (2001), pp. 63102CrossRefGoogle Scholar.

12 Pretel and Camprubí, ‘Technological encounters’, p. 8.

13 Goldman, Emily, ‘Cultural foundations of military diffusion’, Review of International Studies, 32:1 (2006), pp. 6991CrossRefGoogle Scholar; Kadercan, Burak, ‘Strong armies, slow adaptation: Civil-military relations and the diffusion of military power’, International Security, 38:3 (2014), pp. 117–52CrossRefGoogle Scholar.

14 Horowitz, Diffusion of Military Power.

15 Posen, Barry, ‘Nationalism, the mass army, and military power’, International Security, 18:2 (1993), pp. 80124CrossRefGoogle Scholar; Theo Farrell, ‘Military adaptation and organisational convergence in war: Insurgents and international forces in Afghanistan’, Journal of Strategic Studies, Online First (2020), pp. 1–24.

16 Tarak Barkawi, ‘“Defence diplomacy” in North-South relations’, International Journal: Canada's Journal of Global Policy Analysis, 66:3 (2011), pp. 597–612.

17 Donald Stoker (ed.), Military Advising and Assistance: From Mercenaries to Privatization, 1815–2007 (Abingdon: Routledge, 2008).

18 Thomas Mahnken, ‘Uncovering foreign military innovation’, Journal of Strategic Studies, 22:4 (1999), pp. 26–54; Thomas Mahnken, Uncovering Ways of War: U.S. Intelligence and Foreign Military Innovation, 1918–1941 (Ithaca, NY: Cornell University Press, 2002). See also George Hofmann, ‘The tactical and strategic use of attaché intelligence: The Spanish Civil War and the US Army's misguided quest for a modern tank doctrine’, Journal of Military History, 62:2 (1998), pp. 101–33; Olivier Schmitt, ‘French military adaptation in the Afghan War: Looking inward or outward?’, Journal of Strategic Studies, 40:4 (2017), pp. 577–99.

19 Joâo Resende-Santos, ‘Anarchy and the emulation of military systems: Military organization and technology in South America, 1870–1930’, Security Studies, 5:3 (1996), pp. 193–260; Ryan Grauer, ‘Moderating diffusion: Military bureaucratic politics and the implementation of German doctrine in South America, 1885–1914’, World Politics, 67:2 (2015), pp. 268–312.

20 Eli Berman and David Lake (eds), Proxy Wars: Suppressing Violence through Local Agents (Ithaca, NY: Cornell University Press, 2019); Biddle, ‘Problem of agency’, pp. 126–38.

21 Eric Rittinger, ‘Arming the other: American small wars, local proxies, and the social construction of the principal-agent problem’, International Studies Quarterly, 61:2 (2017), pp. 396–409.

22 Julia Macdonald, ‘South Korea, 1950–53: Exogenous realignment of preferences’, in Berman and Lake (eds), Proxy Wars, pp. 28–52; David Lake, ‘Iraq, 2003–11: Principal failure’, in Berman and Lake (eds), Proxy Wars, pp. 238–63.

23 Biddle, Macdonald, and Baker, ‘Small footprint, small payoff’, pp. 128–31.

24 Bruce Bueno de Mesquita and Alastair Smith, ‘Competition and collaboration in aid-for-policy deals’, International Studies Quarterly, 60:3 (2016), pp. 413–26.

25 Stephen Biddle, ‘Evaluating U.S. Options for Iraq’, Statement to the US House of Representatives Committee on Armed Services (29 July 2014).

26 Eli Berman, David Lake, Gerard Padró i Miquel, and Pierre Yared, ‘Introduction: Principals, agents, and indirect foreign policies’, in Berman and Lake (eds), Proxy Wars, pp. 1–27.

27 Biddle, ‘Problem of agency’, pp. 127–8.

28 Grissom, ‘Fighting different wars’, pp. 263–87.

29 Biddle, Macdonald, and Baker, ‘Small footprint, small payoff’, p. 128.

30 Berman et al., ‘Introduction’, pp. 11–23.

31 Susan Shapiro, ‘Agency theory’, Annual Review of Sociology, 31 (2005), p. 265.

32 Eli Berman and David Lake, ‘Conclusion’, in Berman and Lake (eds), Proxy Wars, p. 297.

33 John Dunn, ‘Missions or mercenaries? European military advisors in Mehmed Ali's Egypt, 1815–1848’, in Stoker (ed.), Military Advising and Assistance, pp. 11–25; Donald Stoker, ‘Buying influence, selling arms, undermining a friend: The French naval mission to Poland and the development of the Polish Navy, 1923–1932’, in Stoker (ed.), Military Advising and Assistance, pp. 42–60.

34 B. Bernheim and Michael Whinston, ‘Common agency’, Econometrica, 54:4 (1986), pp. 923–42.

35 Michael Young, Mike Peng, David Ahlstrom, Garry Bruton, and Yi Jiang, ‘Corporate governance in emerging economies: A review of the principal–principal perspective’, Journal of Management Studies, 45:1 (2008), pp. 196–220.

36 Bernheim and Whinston, ‘Common agency’, p. 924.

37 In political lobbying, for example, competition between principals can produce something akin to a prisoner's dilemma. See Avinash Dixit, Gene Grossman, and Elhanan Helpman, ‘Common agency and coordination: General theory and application to government policy making’, Journal of Political Economy, 105:4 (1997), pp. 752–69.

38 Biddle, ‘Evaluating U.S. Options for Iraq’, pp. 8–9; Stephen Biddle, ‘Policy implications for the United States’, in Berman and Lake (eds), Proxy Wars, p. 277.

39 W. Beasley, ‘The foreign threat and the opening of the ports’, in Marius B. Jansen, The Cambridge History of Japan, Volume 5: The Nineteenth Century (Cambridge: Cambridge University Press, 1989), pp. 259–307.

40 Ernst Presseisen, Before Aggression: Europeans Prepare the Japanese Army (Tuscon: University of Arizona Press, 1965).

41 Richard Samuels, ‘Rich Nation, Strong Army’: National Security and the Technological Transformation of Japan (Ithaca, NY: Cornell University Press, 1994), p. 87.

42 Michael Auslin, Negotiating with Imperialism: The Unequal Treaties and the Culture of Japanese Diplomacy (Harvard, MA: Harvard University Press, 2006), pp. 194–200.

43 Emily Goldman, ‘The spread of Western military models to Ottoman Turkey and Meiji Japan’, in Theo Farrell and Terry Terriff (eds), The Sources of Military Change: Culture, Politics, Technology (Boulder, CO: Lynne Rienner, 2002), pp. 60–1; D. Eleanor Westney, Imitation and Innovation: The Transfer of Western Organizational Practices to Meiji Japan (Cambridge, MA: Harvard University Press, 1987), p. 19.

44 Edward Drea, Japan's Imperial Army: Its Rise and Fall, 1853–1945 (Lawrence, KS: University Press of Kansas, 2009), pp. 24, 73–4; David Wittner, Technology and the Culture of Progress in Meiji Japan (London: Routledge, 2008), p. 103.

45 Presseisen, Before Aggression, p. 67.

46 Wittner, Culture of Progress, p. 103.

47 Ibid., p. 7.

48 Umetani Noboru, The Role of Foreign Employees in the Meiji Era in Japan (Tokyo: Institute of Developing Economies, 1971), p. 89.

49 Samuels, ‘Rich Nation, Strong Army’, p. 36; Westney, Imitation and Innovation, p. 91.

50 Westney, Imitation and Innovation, p. 24.

51 Richard Sims, French Policy Towards the Bakufu and Meiji Japan, 1854–95 (Richmond: Japan Library, 1998), p. 105.

52 John Gallagher and Ronald Robinson, ‘The imperialism of free trade’, Economic History Review, 6:1 (1953), pp. 1–15.

53 Auslin, Negotiating with Imperialism, pp. 65–6.

54 Tomoko Akami, ‘Meiji diplomacy (1868–1912)’, in Gordon Martel (ed.), The Encyclopaedia of Diplomacy (Oxford: Wiley, 2018), pp. 1–3; Matthew Craven, ‘What happened to unequal treaties? The continuities of informal empire’, Nordic Journal of International Law, 74:3–4 (2005), pp. 342–51.

55 Auslin, Negotiating with Imperialism, p. 4.

56 Goldman, ‘Western military models’, pp. 60–1.

57 Westney, Imitation and Innovation, pp. 18–30.

58 Tessa Morris-Suzuki, The Technological Transformation of Japan: From the Seventeenth to the Twenty-First Century (Cambridge: Cambridge University Press, 1994), pp. 1–10, 71–104.

59 Horowitz, Diffusion of Military Power, pp. 58–9.

60 Auslin, Negotiating with Imperialism, p. 30.

61 Gordon Daniels, ‘The British role in the Meiji Restoration: A re-interpretive note’, Modern Asian Studies, 2:4 (1968), p. 293.

62 Sims, French Policy, p. 53.

63 Fukushima Shingo, ‘The building of a national army’, in Tōbata Seiichi (ed.), The Modernization of Japan (Tokyo: Institute of Asian Economic Affairs, 1966), p. 189.

64 Umetani, Foreign Employees, p. 8; Samuels, ‘Rich Nation, Strong Army’, pp. 35–6.

65 Auslin, Negotiating with Imperialism, p. 95.

66 Ernest Satow, A Diplomat in Japan: An Inner History of the Critical Years in the Evolution of Japan (Rutland, VT: Tuttle, 1983), p. 47.

67 Auslin, Negotiating with Imperialism, p. 32.

68 Ibid., pp. 9–10.

69 Ibid., pp. 28–9.

70 Ibid., p. 26, p. 21.

71 Ibid., pp. 69–76.

72 Ibid., p. 81, pp. 77–82.

73 Umetani, Foreign Employees, pp. 17–20; D. Eleanor Westney, ‘The military’, in Marius Jansen and Gilbert Rozman, Japan in Transition: From Tokugawa to Meiji (Princeton, NJ: Princeton University Press, 2014), p. 172.

74 Samuels, ‘Rich Nation, Strong Army’, pp. 82–3.

75 Fukushima, ‘Building of a national army’, p. 190.

76 E. Norman, Soldier and Peasant in Japan: The Origins of Conscription (Vancouver: University of British Colombia Publications Centre, 1965), pp. 27–30; Wittner, Culture of Progress, p. 4.

77 Auslin, Negotiating with Imperialism, pp. 96–8; Satow, Diplomat in Japan, pp. 73–5.

78 Satow, Diplomat in Japan, pp. 80–2.

79 Ibid., pp. 92–115.

80 Drea, Japan's Imperial Army, pp. 3–5.

81 D. Colin Jaundrill, Samurai to Soldier: Remaking Military Service in Nineteenth-Century Japan (Ithaca, NY: Cornell University Press, 2016), p. 56.

82 Umetani, Foreign Employees, p. 25; Presseisen, Before Aggression, p. 3.

83 Robert Morton (ed.), Private Correspondence between Sir Harry Parkes and Edmund Hammond, 1865–1868 (Abingdon: Routledge, 2018), p. 13; Daniels, ‘British role’, p. 298.

84 Jaundrill, Samurai to Soldier, p. 58.

85 Satow, Diplomat in Japan, pp. 158–9.

86 Jaundrill, Samurai to Soldier, pp. 66–80.

87 Sims, French Policy, pp. 60–1.

88 Lehmann, ‘Léon Roches’, p. 274.

89 Hugh Cortazzi, Dr Willis in Japan: 1862–1877 – British Medical Pioneer (London: Bloomsbury, 2012), pp. 77–8.

90 Sims, French Policy, p. 53.

91 Presseisen, Before Aggression, pp. 10–11.

92 Jaundrill, Samurai to Soldier, pp. 80–5.

93 Presseisen, Before Aggression, pp. 11–12; Arima, Seiho, ‘The Western influence on Japanese military science, shipbuilding, and navigation’, Monumenta Nipponica, 19:3–4 (1964), p. 375CrossRefGoogle Scholar.

94 Sims, French Policy, p. 314.

95 Lehmann, ‘Léon Roches’, pp. 285–8.

96 Sims, French Policy, p. 52.

97 Lehmann, ‘Léon Roches’, p. 297, p. 289.

98 Sims, French Policy, pp. 65–6.

99 Lehmann, ‘Léon Roches’, p. 291.

100 Sims, French Policy, pp. 53–6.

101 Morton (ed.), Private Correspondence, pp. 74–5; Fauziah Fathil, ‘British Diplomatic Perceptions of Modernisation and Change in Early Meiji Japan, 1868–90 (PhD dissertation, SOAS University of London, 2006), pp. 160–1.

102 Morton (ed.), Private Correspondence, p. 70.

103 Ibid., p. 88; Sims, French Policy, pp. 62–3.

104 Morton (ed.), Private Correspondence, p. 156, pp. 70–1.

105 Ibid., pp. 13–14; p. 73.

106 Lehmann, ‘Léon Roches’, p. 289.

107 Sims, French Policy, pp. 49–50.

108 Lehmann, ‘Léon Roches’, pp. 294–300.

109 Sims, French Policy, p. 66.

110 Satow, Diplomat in Japan, p. 231.

111 Morton (ed.), Private Correspondence, p. 62, p. 71.

112 Lehmann, ‘Léon Roches’, p. 299.

113 Ibid., p. 292; Sims, French Policy, pp. 70–1.

114 Drea, Japan's Imperial Army, pp. 7–21.

115 Sims, French Policy, p. 71.

116 Lehmann, ‘Léon Roches’, p. 303.

117 Daniels, ‘British role’, pp. 293, 304–05, 313.

118 Satow, Diplomat in Japan, pp. 299–300.

119 Cortazzi, Dr Willis, pp. 74, 77.

120 Daniels, ‘British role’, pp. 301–02.

121 Satow, Diplomat in Japan, pp. 253–5; Morton (ed.), Private Correspondence, pp. 9–12.

122 Cortazzi, Dr Willis, p. 76.

123 Morton (ed.), Private Correspondence, pp. 80, 123.

124 Satow, Diplomat in Japan, p. 173.

125 Sims, French Policy, pp. 78–9.

126 Ibid., p. 80.

127 Ibid., p. 81.

128 Ibid., pp. 81–2.

129 Auslin, Negotiating with Imperialism, pp. 156–7.

130 Satow, Diplomat in Japan, p. 320.

131 Auslin, Negotiating with Imperialism, pp. 149–52.

132 Tomoko, ‘Meiji diplomacy’, p. 6.

133 Auslin, Negotiating with Imperialism, pp. 154–62.

134 Presseisen, Before Aggression, pp. 15–18.

135 Morton (ed.), Private Correspondence, p. 168; Auslin, Negotiating with Imperialism, pp. 150–1.

136 Jones, H., Live Machines: Hired Foreigners and Meiji Japan (Vancouver, University of British Colombia Press, 1980), p. 30Google Scholar; Morton (ed.), Private Correspondence, pp. 157–8.

137 Morton (ed.), Private Correspondence, pp. 155–8.

138 Satow, Diplomat in Japan, p. 326.

139 Xavier Bara, ‘The Kishū Army and the setting of the Prussian Model in feudal Japan, 1860–1871’, War in History, 19:2 (2012), pp. 153–71.

140 Drea, Japan's Imperial Army, pp. 23–4.

141 Jaundrill, Samurai to Soldier, pp. 94–104.

142 Sims, French Policy, pp. 88–9.

143 Presseisen, Before Aggression, pp. 33–41.

144 Umetani, Foreign Employees, pp. 43–5, 56.

145 Sims, French Policy, p. 99.

146 Fukushima, ‘Building of a national army’, p. 194; Jaundrill, Samurai to Soldier, pp. 128–30.

147 Presseisen, Before Aggression, pp. 43–53; Drea, Japan's Imperial Army, pp. 26–7.

148 Fathil, British Diplomatic Perceptions, pp. 160–2.

149 Presseisen, Before Aggression, pp. 41–2.

150 Sims, French Policy, pp. 149–56.

151 Ibid., p. 324; Presseisen, Before Aggression, pp. 50–3.

152 Jones, Live Machines, pp. 33, 112.

153 Presseisen, Before Aggression, pp. 112–25.

154 Jaundrill, Samurai to Soldier, p. 162; Hyman Kublin, ‘The “modern” army of early Meiji Japan’, Far Eastern Quarterly, 9:1 (1949), p. 39.

155 Presseisen, Before Aggression, pp. 59–67; D. Eleanor Westney, ‘The military’, in Jansen and Rozman, Japan in Transition, pp. 188–9.

156 Presseisen, Before Aggression, pp. 97–103.

157 Ibid., pp. 69–88; Jaundrill, Samurai to Soldier, p. 163.

158 Sims, French Policy, p. 100; Auslin, Negotiating with Imperialism, pp. 189–200.

159 Presseisen, Before Aggression, pp. 104–12.

160 Drea, Japan's Imperial Army, pp. 57–65; Presseisen, Before Aggression, pp. 125–35.

161 Fathil, British Diplomatic Perceptions, pp. 161–3.

162 Westney, ‘The military’, pp. 188–90; Jaundrill, Samurai to Soldier, p. 163; Drea, Japan's Imperial Army, pp. 64–5.

163 Jones, Live Machines, p. 91, p. 84, p. xv.

164 Sims, French Policy, pp. 94–6.

165 Ibid., p. 103.

166 Ibid., p. 108.

167 Drea, Japan's Imperial Army, pp. 28–39; Goldman, ‘Western military models’, p. 54; Presseisen, Before Aggression, pp. 31–2; Westney, ‘The military’, p. 179.

168 Auslin, Negotiating with Imperialism, p. 194.

169 Jaundrill, Samurai to Soldier, p. 111; Westney, ‘The military’, pp. 182–3.

170 Kublin, ‘“Modern” army’, p. 22; Jaundrill, Samurai to Soldier, pp. 161–2.

171 Wittner, Culture of Progress, pp. 4, 110–12.

172 Goldman, ‘Western military models’, pp. 41–68; Westney, Imitation and Innovation, pp. 18–30.

173 Horowitz, Diffusion of Military Power.

174 British Government, International Defence Engagement Strategy (London: HMSO, 2013), p. 1; British Government, International Defence Engagement Strategy (London: Ministry of Defence, 2017), p. 12.

175 Fergus Kelly, ‘Nigeria A-29 Super Tucano light attack aircraft contract finally lands’, The Defence Post (29 November 2018); Stockholm International Peace Research Institute, ‘SIPRI Arms Transfers Database’.