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Alliances Versus Federations: An Analysis with Military and Economic Capabilities Distinguished

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dc.contributor.author Niou, Emerson M. S.
dc.contributor.author Ordeshook, Peter C.
dc.date.accessioned 2010-06-21T19:44:54Z
dc.date.available 2010-06-21T19:44:54Z
dc.date.issued 1994 en_US
dc.identifier.uri https://hdl.handle.net/10535/5874
dc.description.abstract "This essay explores the distinction between federations and alliances and asks the question: When will states choose to federate rather than ally? William Riker (1964) argues that a necessary condition for a federal state's formation is that those offering the federal bargain must seek to 'expand their territorial control, usually either to meet an external military or diplomatic threat or to prepare for military or diplomatic aggression and aggrandizement.' This argument, though, fails to ask why states sometimes respond to threats by forming federations and at other times by forming alliances. Here, after assuming that states have initial endowments of military and economic resources, where economic resources enter utility functions directly and are what states maximize and where military capability influences preference only insofar as it determines a state's ability to counter threats, we offer a multi-stage game-theoretic model in which states may be compelled to divert economic resources to military spending. Alliances, in turn, are self-enforcing coalitions designed to augment a state's offensive or defensive capabilities. Federations, which serve the same ends as alliances, are coalitions that need to be enforced by the "higher authority" established when the federation is formed. Our operationg assumption is that states seek to form a federation in lieu of an alliance if and only if (1) a stable alliance partition does not exist or, if one exists, it is dominated by an unstable partition and (2) if the cost of the loss of sovereignty to each state in the ferderation is offset by the gains from joining it, relative to what that state secures as its security value." en_US
dc.language English en_US
dc.relation.ispartofseries Social Science Working Paper 894 en_US
dc.subject federalism en_US
dc.title Alliances Versus Federations: An Analysis with Military and Economic Capabilities Distinguished en_US
dc.type Working Paper en_US
dc.type.methodology Case Study en_US
dc.publisher.workingpaperseries Division of the Humanities and Social Sciences, California Institute of Technology, Pasadena, CA en_US
dc.subject.sector Social Organization en_US

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