Running head: FORECASTING THE PROBABILITY OF WAR Forecasting the Probability of War between Russia and Georgia Edward R. Raupp Caucasus University, Tbilisi, Georgia Author Note Edward R. Raupp, Caucasus University, Tbilisi, Georgia Correspondence concerning this article should be addressed to Edward R. Raupp, Ph.D., Caucasus University, 77 Kostava Street, Tbilisi 0175, Georgia (Republic). Contact: [email protected] 1 FORECASTING THE PROBABILITY OF WAR 2 Abstract In August 2008, military forces of the Russian Federation and separatist paramilitary groups of South Ossetia invaded the sovereign territory of Georgia. A ceasefire was facilitated by French President Nicolas Sarkozy after a week of fighting. In the following spring, speculation raged in Georgia about whether Russia would conduct another invasion in August of 2009. Little or no evidence was presented to support the speculation, but fears persisted. This study attempts to develop an evidence-based model to forecast the probability of another war between the two nations. Recognizing the difficulty of forecasting under conditions of such a high degree of uncertainty, the model combines multiple methods. Delphi uses a panel of foreign policy experts to assess monthly the probability of war, with statistics producing a time series. A second method selects relevant Russian press articles and assigns ratings based on a scoring rubric. The third method, scenario scripting, envisions possible situations affecting the probability of war. This is a long-term study, results of which will be of interest to and followed by government agencies, non-government organizations, academics, and others. Keywords: Russia, Georgia, judgmental forecasting, probability, war FORECASTING THE PROBABILITY OF WAR 3 Forecasting the Probability of War between Russia and Georgia This study addresses the following primary research question: What is the feasibility of forecasting the probability of the outbreak of armed warfare between the neighboring states of the Russian Federation and the independent nation of Georgia? Secondary research questions include the following: What models might be adapted or created to address the primary question? And what data are available or may be collected for use in the forecasting problem? Background The nations of Russia and Georgia are connected geographically, historically, and culturally. The northern border of Georgia is the Greater Caucasus Mountain Range, which is the southern border of the Russian Federation between the Black Sea and the Caspian Sea. Tsarist Russia (Paul I) annexed Georgia in 1801, and again, under the flag of the Soviet Union, Russian Bolshevik forces invaded and annexed Georgia in 1921 (Gvosdev, 2000). The dominant religion in both nations is Orthodox Christianity, and family ties have crossed borders for centuries. Russia and Georgia are also divided by geographic, historical, and cultural factors. The Caucasus range separates the two nations, with only a few passable routes. On April 3, 2008, in its Bucharest Summit Declaration, the North Atlantic Treaty Organization (NATO) announced, “NATO welcomes Ukraine’s and Georgia’s Euro-Atlantic aspirations for membership in NATO. We agreed today that these countries will become members of NATO” (NATO, 2008). On August 7, just four months after the NATO declaration, military forces of the Russian Federation and separatist paramilitary groups of South Ossetia invaded the territory of Georgia. A ceasefire was facilitated by French President Nicolas Sarkozy after a week of fighting. In the process, Russian President Vladimir Putin remarked to Sarkozy, FORECASTING THE PROBABILITY OF WAR 4 “I am going to hang Saakashvili by the balls” (Bremner, 2008). In the following spring, speculation raged in Georgia about whether Russia would conduct another invasion in August of 2009. Little or no evidence was presented to support the speculation, but fears persisted and continue to persist (Messenger Staff, 2012). This study attempts to develop an evidence-based model to forecast the probability of another war between the two nations. Recognizing the difficulty of forecasting under conditions of such a high degree of uncertainty, the model combines multiple methods. Delphi uses a panel of foreign policy experts to assess monthly the probability of war, with statistics producing a time series. A second method selects relevant Russian press articles and assigns ratings based on a scoring rubric. Other methods, including scenario scripting, will be added. This is a long-term study, results of which will be of interest to and followed by government agencies, non-government organizations, academics, and others. Literature review Following Wilson (1975), Thrane (2009) equates war with aggression: “Warfare is the execution of collective, organized violence or aggression on a certain scale.” Wilson (p. 242) states that, “Aggression entails exerting pressure on an individual to force him to surrender something in his possession or to which he might have access, either by physical action or by the threat of its use.” In April, 2010, at the United States Army War College at Carlisle Barracks, Pennsylvania, a group of experts acknowledged the need to consider new realities in a conference called “Defining War for the 21st Century” (Army War College, 2010). One legal definition of war is, “A contention by force; or the art of paralyzing the forces of an enemy” (Lectric Law Library, 2011). Clausewitz (1832) defined war as FORECASTING THE PROBABILITY OF WAR 5 …an act of force to compel our enemy to do our will…a continuation of policy by other means; the political intentions are the objects, and the war is the means. The nature of war is therefore determined by political objects…It is, therefore, a political act. (p. 3) The record shows that Vladimir Putin, Russia’s would-be dictator-for-life, considers Georgia, in general, and Georgia’s President, in particular, to be his enemies (Bremner, 2008). For his part, Saakashvili has said “that Georgia has no enemy like Russia’s Prime Minister, Vladimir Putin, for centuries.” In a televised interview, the President of Georgia said, ““Georgia has not had enemy like Putin after Shah Abbas,” he said, referring to Abbas I, the Shah of Persia notorious in Georgia for his invasion of Georgia's eastern region of Kakheti in the early 17th century” (Civil Georgia, 2009). Why do nations go to war? The causes of war are many and complex (Levy, 1989; Blainey, 1988). Geopolitical factors are paramount. Russia has no warm water ports, so Georgia is an enticing target, with its Black Sea ports of Batumi and Poti – and Sokhumi, in Georgia’s breakaway province of Abkhazia. Georgia also represents an alternative route for Caspian Sea Basin oil and gas to the West. Putin is notoriously connected to the Russian oil and gas sector (Gessen, 2012) and resents the fact that Azerbaijan’s oil and gas is increasingly flowing through pipelines in Georgia rather than through Russia. Resources are common causes of war, as with Japan in the first part of the 20th century. This would not seem to be relevant, as Russia has no need of Georgia’s natural resources. Aristotle writes, “We make war that we may live in peace” (Bartlett & Collins, 2011). This, however, sounds eerily like Orwell’s 1984: “War is peace.” Even earlier, the Latin admonition, Si vis pacem, para bellum. “If you wish for peace, prepare for war.” The relevance here is that Georgia, aspiring to full NATO membership, has been arming and training for war. FORECASTING THE PROBABILITY OF WAR 6 Georgia’s participation with NATO forces in Iraq and Afghanistan is intended to demonstrate to NATO its commitment to being a good partner for the alliance. More to the point, Thucydides (431 B.C.E.) concludes that small states must align with one or the other when big states are at war. Georgia, long allied – unwillingly – with Russia, has determined to ally with the West. This determination, and its manifestation in Georgia’s intense and urgent desire to become a full member of NATO, has enraged Vladimir Putin and may in large part – or entirely – have been the reason for his attack on Georgia in August, 2008. Putin’s message to NATO: If you allow Georgia to become a member of NATO, then you will have to go to war against Russia. (Larison, 2012). This message has apparently cowed German Chancellor Angela Merkel into submission. Merkel, in any event, was born and raised in Russian dominated East Germany and leans heavily toward the Russian position. It is no surprise, then, that Merkel is the strongest opponent to Georgia’s membership in NATO. A perhaps less rational, but historically no less important, cause of war is what the Greeks called pleonexia, an insatiable desire for more, for what belongs to others, or, approximately, greed or covetousness. In his annual speech on April 25, 2005, Vladimir Putin lamented “that the collapse of the Soviet empire ‘was the greatest geopolitical catastrophe of the century’” (Associated Press, 2005). Putin imagined himself as the upcoming leader of the Soviet Union, the new Tsar of all the Russias. But when his came time, there was no more Soviet Union. While the former states of the Soviet Union quickly asserted their independence from Russian dominance, Putin has repeatedly attempted to reassert that dominance politically, economically, and militarily. His formation of the Commonwealth of Independent States in 1991 (CIS, 1991) was a transparent attempt to reestablish Russia as the overriding power in the sphere of influence formerly occupied by the Soviet Union; he would thus achieve his ambition of FORECASTING THE PROBABILITY OF WAR 7 becoming Tsar of all the Russias (Rowley, 2012; United Nations, 1994). Only 10 of the 15 former states of the Soviet Union are members of the Russian dominated CIS, Georgia having withdrawn after being invaded by Russia in August, 2008 (Pravda, 2008). Aslund (2012), writes, “Putin's record is all too evident. He has systematically transformed Russia from a semidemocracy to an authoritarian state. Tales of his gross personal corruption are abundant.” Other examples of pleonexia might be Hitler’s invasion of Poland in 1939 and Bush’s invasion of Iraq in 2003. In both cases, there was a buildup of propaganda preceding the invasion designed to rally support for the invasion based on falsehoods. In the case of the Bush invasion, the falsehood was that Iraq had “weapons of mass destruction” and was preparing to use them against the United States and its allies. Richelson (2004) writes, In addition, members of Congress and Parliament, as well as potential political opponents and outside observers have criticized the use of intelligence by the Bush and Blair administrations. Charges have included outright distortion, selective use of intelligence, and exertion of political pressure to influence the content of intelligence estimates in order to provide support to the decision to go to war with Iraq.” As to Putin’s invasion of Georgia, Halper (2011) quotes Condoleezza Rice, criticizing a story in the Atlantic attributing blame to Georgia for the August 2008 war, “It’s outrageous. The idea that I would blame the Georgians couldn’t be further from the truth.” Putin’s anti-Caucasian propaganda has taken the position that Russia is the only provider for peace in the region, lest it become another Gaza or Afghanistan (Pozhidaev, 2011). Predicting the outcome of war has been treated extensively (Dupuy, 1979; Economist, 2005; Erwin, 2009). Predicting the outbreak of war, however, has been less often studied. Olbrich and Hergovich (2001) use a neural network for such predictions. Understating the FORECASTING THE PROBABILITY OF WAR 8 problem, they note, “The prediction of conflicts and also the resolution of disputes are difficult in a complex world.” Their model uses three psychological theories: Integrative Complexity, Social Identity Theory, and Groupthink. They conclude that, “The application of neural nets and the three theories of Social Psychology yield a good basis for political psychological consulting in international relations and conflict prediction.” Rummel (2005), commenting on the approach by Olbrich and Hergovich, writes, I’ve seen so much of this kind of psychological reductionism over the years when all one has to do is look at the type of government a country has –but, this is too simple. Yet, what personalities become rulers or leaders depends on the political system, and its culture, and history, and what they can do with the power they have also depends on these variables. For his part, Rummel (1991) offers an interesting construct for understanding the processes involved in arriving at war and arriving at peace. The construct may be a useful theoretical guide to developing more specific forecasting models. Erwin (2009) reports that the United States Department of Defense was planning to spend some $2 billion on new models and simulations in light of the new realities of asymmetric warfare. It is not clear how much of this amount has been allocated to predicting the onset of war and how much to the outcome of a war once started. In the absence of rigorously scientific methods of forecasting, the field is left to those who predict based on such variables as stock market prices (Harrison, 2011) or fear (Messenger Staff, 2012). FORECASTING THE PROBABILITY OF WAR 9 Methods The current investigation is an application of forecasting under a high degree of uncertainty. In such a study, it is more appropriate to use a combination of forecasting techniques than to rely on a single method. Timmermann (2006) notes, “Forecast combinations have frequently been found in empirical studies to produce better forecasts on average than methods based on the ex-ante best individual forecasting model.” Goodwin (2009) concludes, “One of the major findings of forecasting research over the last quarter century has been that greater predictive accuracy can often be achieved by combining forecasts from different methods or sources” (p. 33). Armstrong (2001) advises, based on 30 empirical comparisons, to improve forecasts, “When feasible, use five or more methods” (p. 417). This study, in its early stages, uses three methods: Delphi, review of the Russian press, and scenario scripting. As a continuing study, with the objective of creating one or more time series, there may be additional methods, including quantitative data and prediction markets, a method gaining in popularity among scholars for forecasting under conditions of a high degree of uncertainty (see, e.g., Wolfers & Zitzewitz. 2004, 2006). When sufficient data are collected, over a sufficiently long period of months, the study will use a statistical forecasting system such as Forecast Pro to create forecasts. Until then, the study will examine the use of short-term trends, in the horizon of six-to-twelve months. Delphi. One of the methods used in this study is the Delphi technique. The theory is that a panel of informed participants can produce better results than the individuals alone. FORECASTING THE PROBABILITY OF WAR 10 Rowe & Wright (2001) note that, Expert opinion is often necessary in forecasting tasks because of a lack of appropriate or available information for using statistical procedures (p. 125). …Since its design at the RAND Corporation during the 1950s, the Delphi technique has been widely used for aiding judgmental forecasting and decision making in a variety of domains and disciplines (p. 126). Over a number of months and years, the monthly results will be used to create a time series. The study will watch for trends and establish thresholds. An inflection point, a change in direction or a marked change in the rate of change, will bear closer examination. Review of the Russian press. A review of articles in the Russian press may reveal the early onset of a build-up in antiGeorgia propaganda. Three analogs suggest the kinds of propaganda that have preceded invasions: Hitler invades Poland on September 1, 1939; Bush invades Iraq on March 20, 2003; and Putin invades Georgia on August 8, 2008. A main criterion for the selection of articles to be captured in the study is mention of Putin and Saakashvili. The Putin remark to Sarkozy (Bremner, 2008) is an example of the kind of heightened rhetoric that might signal an attack on Georgia. On the other hand, a report of a trade deal between Russia and Georgia (Barry, 2011) may signal a lessening of the likelihood of war in the near-term. A scoring rubric will score an article on a scale of 1 to 5, with 1 or 2 indicating a lessening of tension and 4 or 5 indicating an increase of tension and a higher probability of war in the coming months. FORECASTING THE PROBABILITY OF WAR 11 Scenario Scripting. Taleb (2007) asserts that one cannot forecast because of the sudden and unexpected arrival of a “black swan,” an event that cannot be anticipated and that will have a major impact. Recent examples might be the collapse of the American housing market during the Bush administration or the calamitous failure of the Greek financial system and its impact on the Eurozone. If one cannot predict, then what is left is to envision and prepare for what might happen. This is the role of scenario scripting, and the current study – forecasting the probability of war between two states – would seem a likely candidate for this approach. van der Heijden (1996) notes three forms of uncertainty (pp. 83-84): 1. Risks, where there is enough historical precedent, in the form of similar events, to enable us to estimate probabilities (even if only judgmentally) for various possible outcomes. 2. Structural uncertainties, where we are looking at the possibility of an event which is unique enough not to provide us with an indication of likelihood… 3. Unknowables, where we cannot even imagine the event… Donald Rumsfeld put it another way: There are known knowns. These are things we know that we know. There are known unknowns. That is to say, there are things that we know we don't know. But there are also unknown unknowns. There are things we don't know we don't know. (Brainyquote, 2012). In that context, Rumsfeld famously (or infamously) said at the outset of the Iraq war in 2003, “It is unknowable how long that conflict [the war in Iraq] will last. It could last six days, FORECASTING THE PROBABILITY OF WAR 12 six weeks. I doubt six months.” What is clear is that Rumsfeld had scripted no scenario that would have that war drag on for a decade. Quantitative measures. Although difficult to determine, a valuable indicator of Russian intentions toward Georgia is the area in square kilometers of the sovereign territory of Georgia occupied by Russia. Abkhazia and South Ossetia are fully occupied by Russian military forces and are under the control of Vladimir Putin. These are breakaway provinces of Georgia that have undergone ethnic cleansing since the end of the Soviet Union. Ethnic majorities in those provinces have forced out the minority ethnic Georgians, creating a population of internally displaced persons (IDPs) in other parts of Georgia. Another quantitative measure, equally difficult to keep track of, is the number of Russian troops on Georgian soil, including Abkhazia and South Ossetia, and in other areas along the Russia-Georgia border. Attempts to ascertain these numbers from the European Union Monitoring Mission, NATO, Ministry of Defense, and others have been fruitless. The study, however, will continue to press for transparency in order to collect and maintain relevant data. Results Delphi. Question 1. In your judgment, what is the probability of a war between Russia and Georgia in the next six (6) months? Choose a number between zero (no possibility of a war) and 100 (absolute certainty of war). Results are shown in Table 1. FORECASTING THE PROBABILITY OF WAR 13 Table 1 Delphi results for Question 1 Round N Mean s.d. Median 1 14 19 23.4 20 2 13 18 16.8 25 3 14 16 17.2 40 4 6 22 11.0 20 5 6 17 12.0 20 Note. Rounds 1 and 2 were conducted in November, 2011. Subsequent rounds were done monthly. Question 2. In your judgment, what is the probability of a war between Russia and Georgia in the next twelve (12) months? Choose a number between zero (no possibility of a war) and 100 (absolute certainty of war). Results are shown in Table 2. Table 2 Delphi results for Question 2 Round N Mean s.d. Median 1 13 25 25.5 20 2 13 25 19.7 40 3 13 27 21.7 40 4 6 26 11.0 30 5 6 21 11.9 25 Note. Rounds 1 and 2 were conducted in November, 2011. Subsequent rounds were done monthly. Review of the Russian press. Review of Russian press articles has been inconclusive. During the course of the study, there have been no significant events reported in the Russian press regarding Georgia. The study FORECASTING THE PROBABILITY OF WAR 14 will, however, continue to monitor the Russian press for any signs of lessening or raising tensions. Scenario Scripting. While the current base of data for Russian press articles is lean, one can envision a set of scenarios. Three such scenarios are depicted in Figure 1. The scale used here is from 0 to 10, 0 indicating no signs of any tension between the two countries and, indeed, a détente similar to that that prevailed between France and Germany after World War II, a détente that eventually resulted in the European Union. A downward trend would indicate a movement in such a direction. On the other end, 10 portends an imminent invasion by Russia, as was the case in August, 2008. An upward trend would indicate a build-up in anti-Georgian rhetoric on the part of Kremlin officials of the sort seen prior to Hitler’s invasion of Poland on September 1, 1939, Bush’s invasion of Iraq on March 20, 2003, and Putin’s invasion of Georgia on August 8, 2008. a. Low-level scenario b. Medium-level scenario c. High-level scenario Press Low Press Medium Press High 6.0 10.0 5.0 5.0 8.0 4.0 4.0 3.0 3.0 2.0 2.0 1.0 1.0 2.0 0.0 0.0 0.0 6.0 1 16 31 46 61 76 91 4.0 1 14 27 40 53 66 79 92 1 14 27 40 53 66 79 92 6.0 Figure 1. Scenarios for possible outcomes of reviews of Russian press articles. Figure 1a illustrates a scenario in which the Russian press reports stories of reconciliation between Russia and Georgia. So long as Vladimir Putin remains in power as de facto autocrat, this scenario is highly unlikely. It is possible, however, that some lowering of the index could be FORECASTING THE PROBABILITY OF WAR 15 seen following the transition of the Georgian presidency, as Putin’s hatred of the current president is palpable. The implication of Scenario 1a is that Georgia should initiate actions to achieve reconciliation with Russia and long-term détente, short of jeopardizing its security and abandoning its aspirations for territorial integrity. This might mean talks to increase cross-border trade, invitations to Russian tourists, teaching Russian language in schools, and hosting international scholarly, trade, and cultural conferences and trade shows. Figure 1b illustrates a long-term status quo. The level is arbitrarily set at 5, but the important aspect of the scenario is that there is no change. This is the most likely scenario, or “base case.” Georgia welcomes Russian visitors, but Russia does not welcome Georgian visitors. Georgians are free to import goods from Russia, but Putin bans imports of Georgian goods into Russia. The implication of this scenario for Georgian policy makers is that, in the absence of a “black swan,” such as an international incident precipitated by Vladimir Putin, the modus vivendi, while not ideal, is, at least, not traumatic for the Georgian people. If Putin can be made to restrain his erratic behavior, Russian and Georgian leaders can agree to disagree on a range of policies without resorting to armed conflict. And there may, in time, be some rapprochement. Figure 1c illustrates a deterioration in relations between Russia and Georgia. More precisely, it signals a build-up in negative rhetoric – propaganda – on the part of the Putin regime. Remarks of the type Putin notoriously made to Sarkozy as he invaded Georgia (Bremner, 2008) would elevate the level. This scenario may be seen in the analogs of Hitler in 1939, Bush in 2003, and Putin in 2008. As Taleb suggests, one cannot predict the events that might lead to this unhappy development, but Georgia could prepare. Georgia, in fact, is preparing. It is on track to become a member of NATO, having complied with the letter and spirit of NATO’s requirements. FORECASTING THE PROBABILITY OF WAR 16 Conclusion In an interview on D-Day, June 6, 2012, United States Secretary of State Hilary Rodham Clinton was asked, “And what should be expected in terms of Georgia-NATO integration [in] the next two years? And can Georgia become a member with Russian troops on [its] soil? Because we all remember President Medvedev saying that with the war of 2008, Russia stopped Georgia’s NATO integration process.” Secretary Clinton replied, in part, “Obviously, from our perspective, we think it’s a bedrock principle that any country should have the right to choose its own alliances, including security alliances.” At the same time, Clinton noted that entry into NATO must be unanimous on the parts of the current members (Clinton, 2012). Those members will have to gauge the risk to themselves should Georgia become a member and Russia once again attacks Georgia, for under Article 5 of the Washington treaty, an attack on one NATO member is considered an attack on all (NATO, 2012). NATO membership may be Georgia’s best insurance against such an attack; in other words, a significantly reduced probability of another war between Russia and Georgia in the coming years. FORECASTING THE PROBABILITY OF WAR 17 References Armstrong, J.S. (2001). Combining forecasts. In J.S. 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