Narratives Of The Veracious Volume 1

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Narratives Of The Veracious Author:
Translator: Al-Ridha’ Hamidi
Publisher: Islamic Propagation Organization
Category: Various Books

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Narratives Of The Veracious

Narratives Of The Veracious Volume 1

Author:
Publisher: Islamic Propagation Organization
English

Story 22: At The Feast Of The Caliph

Al-Mutawakkil, a tyrannical and ruthless Caliph of the Abbasid dynasty, was fearful of the attention people were paying to Imam Al-Hadi (‘a). He worried that people were reluctant to obey his orders. Moreover, some backbiters told him that Ali ibn Muhammad (Imam Al-Hadi) (‘a) might secretly harbour a plan to overthrow him. It was possible that they might find weapons in his home, or at least some letters which indicated his plan. For this reason, one night, while everyone was fast asleep, Al-Mutawakkil secretly sent a number of his thugs and relatives to the Imam’s (‘a) house in order to inspect his residence and to summon him to the palace. Al-Mutawakkil took this decision while he was holding a feast and was busy drinking wine.

His agents broke into the Imam’s (‘a) house and crudely called out for him. They saw the Imam (‘a) had rolled up all his carpets, and was sitting all alone in his room on sand and pebbles, absorbed in supplication and prayers, and addressing the Essence of the Creator. They rushed from room to room, but could not find what they were after. Thus, empty-handed, they were compelled to take the Imam (‘a) to the palace of Al-Mutawakkil.

When the Imam (‘a) arrived, Al-Mutawakkil was sitting at the throne of the banquet table busy drinking wine. He ordered his men to make the Imam (‘a) sit beside him. The Imam (‘a) sat down. Al-Mutawakkil offered him (‘a) the glass of wine which was in his hand. The Imam (‘a) refused it and said,“I swear by Allah that wine has never penetrated my flesh and blood till now! Exempt me from this!”

Al-Mutawakkil agreed, then said,“Then recite poems in honour of our banquet with elegant and delightful lyrical verses.”

The Imam (‘a) replied,“I am not a poet nor do I recite poetry. I know only a few poems of the deceased.”

Al-Mutawakkil said,“It is unavoidable, you must surely recite a poem.”

Then Imam (‘a) began reciting the poems whose verses were as follows:

“Guarded and surrounded by armed men, they rested upon the high summits of castles

Yet none of them were able to stop death and to protect themselves from the decay of passing time

From the castles of these high summits and the heart of those solid and firm ramparts

They were pulled down deep into the abyss of the grave

How ill-fated they were to descend into the abyss

Whereas the herald's voice cried: ‘Where did the jewelry, the crowns, the extravagance, the glory and the magnificence depart to?’

So did those epicures (gluttons) who always escaped from people’s sight with a manner full of pride and haughtiness, hidden behind multi-coloured curtains.

The tomb finally disgraced them; those pampered figures became a field of worms crawling in them in the end

For a long time, they ate, drank and swallowed whatever they found; but those who had spent their lives consuming everything, today became the nourishment of the earth and the insects of soil!”

The Imam's (‘a) voice, with its peculiar timbre and intonation, penetrated into the depth of the spirit of all at the banquet, as well as Al-Mutawakkil himself. The poem came to an end. The fumes of wine evaporated from the drunkards’ minds. Al-Mutawakkil smashed his glass of wine violently on the ground, while tears were streaming down from his eyes like raindrops. Thus, for a short time, the banquet was disrupted and the light of reality shone onto a heart full of cruelty, the dust of arrogance and thoughtlessness.1

Note

1. Bihar ul-Anwar, v. 2, p. 149, The attitude of Imam Hadi (‘a).

Story 23: Festival Prayer

Ma’mun, the Abbasid Caliph, who was intelligent and shrewd, was still in Marw (a part of Khurasan) after defeating and killing his brother, Muhammad Amin. The vast territories of Caliphate at the time were brought under his influence, giving him total domination. He wrote a letter to Imam Al-Ridha’ (‘a) in Madinah and summoned him to Marw. Imam Al-Ridha’ (‘a) asked to be excused from going to Marw and gave certain reasons, but Ma’mun did not give up. He started writing letters one after the other until it became clear to the Imam (‘a) that the Caliph would not stand down.

Imam Al-Ridha’ (‘a) started out on his journey; he left Madinah and arrived in Marw. Ma’mun proposed to him to put him in charge of the affairs of the Caliphate. Realizing the character of Ma’mun, and knowing that this was a purely a political ploy, the Imam (‘a) utterly refused Ma’mun’s proposition. This affair continued for two months; on one hand, insistence from Ma’mun, and on the other, abstention and rejection from the Imam (‘a).

Finally, realizing that his proposal would not be accepted, Ma’mun proposed to make the Imam (‘a) his successor and appoint him as the Crown Prince. The Imam (‘a) accepted this proposal under the condition that the position would be merely ceremonial and he would not have any responsibilities, nor intervene in any government affairs. Ma’mun agreed to this. Ma’mun made people swear allegiance to this and sent letters to different cities, issuing an order to coin and preach in the Imam’s (‘a) name.

The day of the Festival (Eid ul-Qurban, Eid ul-Adha, Festival of Sacrifice) arrived. Ma’mun sent a message to the Imam (‘a) and appealed to him to lead the Eid prayer and pray with the people so that they would be reassured. The Imam (‘a) sent a message stating that it had been agreed that he would not be involved with any official affairs, so he sent his regrets. Ma’mun sent a message in reply,“It is advisable for you to say the Eid prayers so that the question of the status of the Crown Prince would be confirmed.” He insisted so much that the Imam (‘a) finally said,“It would better if you exempt me from this duty, but if I have to go for the Eid prayers, I will perform this Divine Command as the Messenger of Allah (S) and Ali ibn Abi Talib (‘a) performed it.” Ma’mun said in reply,“You have full authority. Do as you wish.”

The next morning, on the day of Eid, the army commanders, nobles and dignitaries, dressed in elegant clothes, mounted on adorned horses, and, in conformity with the customs of the Caliphs, attended the Imam’s (‘a) home to take part in the Eid prayer. People from different walks of life prepared themselves, awaiting the glorious entourage of the Crown Prince so as to join the procession and to proceed towards the public place of prayer. A large number of men and women went up on their roofs so that they could view the glory and magnificence of the procession of the Imam (‘a). All were waiting for the Imam (‘a); for the moment when his door would open and the imperial procession would begin.

However, according to the agreement made between his eminence Imam Al-Ridha’ (‘a) and Ma’mun, the Imam (‘a) would take part in the Eid prayer on the condition that he (‘a) would perform the prayer in the same manner as the Messenger of Allah (S) and the Imam Ali (‘a) did, and not as the Caliphs did.

Early in the morning, the Imam (‘a) performed the spiritual ablution (ghusl), dressed in a white turban whose edges lay on his chest on one side, and between his shoulders on the other. He was bare-footed and had rolled up the edge of his garment and told his friends and relatives to do the same. He took a walking stick, fixed a ferrule (metal cap) on its end, and he emerged from the house, with his friends and relatives.

In accordance with the Islamic tradition in those days, he proclaimed in a loud voice,“Allahu Akbar, Allahu Akbar (Allah is Great).” The multitudes recited with him the same words (zikr), proclaiming in such harmony, earnestness and emotion that one would have thought these words were coming from the heavens, the earth and everywhere in between. The Imam (‘a) stopped for a while in front of the door of his house, reciting in a loud voice this supplication:

لله اكبر، الله اكبر، الله اكبر على ما هدانا، الله اكبر على مارزقنا من بهيمه الانعم، الحمدلالله على مابلانا

The crowd in unison repeated this oration in a loud voice and in harmony. This impassioned their senses and they cried bitterly and shed tears.

The commanders of army and the officers in uniform, riding on their horses, boots on their feet, imagined that the Crown Prince would appear in accordance with the Monarchic protocol, dressed in luxurious clothes and riding a horse. When they saw the Imam (‘a) barefoot, in modest attire and with full attention towards Allah, they raised their voice and recited the oration of Allahu Akbar with such a degree of emotion, inundated with tears that they dismounted from their horses and took off their boots without any hesitation and joined the Imam (‘a) in his procession.

In a rush to take off their boots, whoever found a knife started cutting the bootlaces and not to delay to undo that deemed himself luckier than others.

No sooner did the news spread among the public, then the whole city of Marw was filled with wailing, lamentation, sensation, emotion and indictment. Imam Al-Ridha’ (‘a) made a salute after taking ten steps, proclaiming the greatness of Allah (Allahu Akbar) four times while the crowd joined him in a loud voice with lamentation and emotion. Joy and a manifestation of sense and reality had aroused peoples’ senses which made them so excited that all the artificial glories and material symbols they had expected disappeared from their thoughts. The crowd in unison moved towards the public place of prayer with fervour and enthusiasm.

The news reached Ma’mun. His advisers told him,“If this situation carries on any longer, and Imam Ali ibn Musa al-Al-Ridha’ (‘a) reaches the public place of prayer, there will be danger of a revolt.” Ma’mun became scared of this situation and began trembling. He sent a message promptly to the Imam (‘a) requesting him to come back, saying that he feared the Imam (‘a) might be injured or disturbed. The Imam (‘a) asked for his shoes and his clothes. Putting them on, he returned to Ma’mun and said,“I told you before not to insist and to excuse me from this act!” 1

Note

1. Bihar ul-Anwar, v. 12, p. 39. (Attitudes of Imam Al-Ridha’ (‘a)).

Story 24: Listening To A Mother’s Prayer

One night, he listened to the words of his mother while she was standing and facing the Ka'bah (Qibla) in a corner of the room. He watched his mother praying to Allah; prostrating, bowing, standing and sitting on that Friday night. He was still a child. He watched and heard his mother, as she prayed for all Muslims, men and women alike, mentioning them by name and beseeching Almighty Allah for their prosperity, felicity, and blessing. He was carefully listening to her to see whether or not she would ask Allah for something for herself.

That night Imam Hasan (‘a) stayed awake until the morning, never losing sight of his mother, Fatimah (‘a). He was wondering how his mother prays for herself and what favours she would ask of Almighty Allah. The dawn succeeded the night with his mother praying and supplicating for others, but Imam Hasan (‘a) did not hear her say a single word about herself.

In the morning he (‘a) asked his mother,“Mother, last night I listened to your prayers, and throughout your prayers you prayed for others and you did not pray for even a single thing for yourself?” The affectionate mother said in reply,“My beloved son, first your neighbour then yourself (your own house).” 1

Note

1. Bihar ul-Anwar, v. 10, p. 25.

Story 25: In The Presence Of The Judge

Once a plaintiff lodged a complaint before Umar ibn al-Khattab, the powerful Caliph of the time. Both parties of the litigation, the plaintiff and the defendant, must appear before the court and present their case. The one against whom the complaint was lodged was the Commander of the Faithful, Ali ibn Abi Talib (‘a). Summoning both parties, Umar sat on the judge’s bench.

According to Islamic law, both parties should stand next to each other and the principle of equality before the court should be respected. Accordingly, the Caliph called out to the plaintiff by name and beckoned him to stand before the judge. Then he turned to Ali (‘a) and said,“O Abul Hasan, place yourself next to the plaintiff.”

On hearing these words Ali (‘a) became angry and it was reflected in his face. The Caliph said,“O Ali, do you not want to stand next to your opponent?”

Ali (‘a) said, “No, the reason for my anger is not that I should stand next to my opponent. The reason for my anger is that you have not respected the norms of justice; for you have called me respectfully by my nickname, ‘Abul Hasan’, but you called the other person by his given name. That is the reason I was unhappy.1

Note

1. Bihar ul-Anwar, v. 10, p. 25.

Story 26: In The Land Of Mina

The pilgrims who had gone for Hajj assembled in the land of Mina. Imam Al-Sadiq (‘a) and his companions were resting for a while, eating some grapes which were before them. A beggar appeared and asked for aid. The Imam (‘a) picked up a few grapes and offered it to him. The beggar refused and said,“Give me money!”

The Imam (‘a) said,“Excuse me. I do not have any money.” The beggar was disappointed and left. After taking a few steps, the beggar regretted his decision and asked him for the grapes.

The Imam (‘a) replied,“I’m sorry.” , and he (‘a) did not give him any grapes.

Shortly thereafter another beggar appeared, asking for aid. The Imam (‘a) took a cluster of grapes and offered it to him. The beggar accepted it and said,“Praise be to the Lord of the all the Worlds, who granted me sustenance.” The Imam (‘a), on hearing these words, asked him to wait and gave him two handful of grapes. The beggar praised Allah a second time. The Imam (‘a) again told him,“Wait. Do not leave.”

Then he (‘a) turned towards one of his companions and asked him,“How much money do you have with you?” The man searched his pockets and found about 20 Dirhams. He gave it to the beggar by order of the Imam (‘a). For the third time the beggar thanked Allah and said,“Praise is due only to Allah. O Allah, thou art the Bestower of bounties and there is no partner for thee.”

The Imam (‘a), after hearing these words, took off his garment and gave it to the beggar. This time the beggar switched and uttered some thankful words to the Imam (‘a), but the Imam (‘a) did not give him anything more, and the beggar left.

His companions said, “We concluded that if the beggar had continued thanking and praising Allah in the same way as before, the Imam (‘a) would have assisted him more, but since he had started thanking and praising the Imam (‘a) himself, the help was stopped and granted no more.1

Note

1. Bihar ul-Anwar, v, 11, p. 116. (Attitudes of Imam Al-Sadiq (‘a)).

Story 27: The Weight-Lifters

A few young Muslim men were busy competing in weight-lifting. There was a heavy rock in that area and being able to move it, was considered a gauge of a person’s strength and manhood. Meanwhile the Holy Prophet (S) passed by and asked,“What are you doing?”

They replied,“We are competing to see which of us is strongest.”

The Holy Prophet (S) said,“Do you want me to pick the strongest among you?”

The youths said,“Of course! What would be better than the Messenger of Allah (S) being the judge of our competition and awarding the prize of honour?”

The onlookers and members of the assembly were anxiously waiting to see whom the Messenger of Allah (S) would choose. The participants began imagining the Messenger of Allah (S) would take their hand and introduce them as champion.

The Holy Prophet (S) said,“The strongest of all is the one who, if something pleases him, or he becomes attached to it, this attachment will not deviate him from carrying out justice and humanity, nor pollute him with vices; and the one who, if he becomes annoyed and a wave of rage overcomes his soul, he will maintain self-control and never utter anything but the truth, nor would he say a lie or insult others; and the one who, if he gains power and influence, and all obstacles are removed from before him, he will not go beyond the measures to which he is obligated.” 1

Note

1. Wasa’il, v. 2, p. 469.

Story 28: A Newly Converted Muslim

Two neighbours, a Muslim and a Christian, would, from time to time, exchange views about Islam. The Muslim, who was a religious and devout person, described Islam in such a way that the Christian neighbour was attracted to the faith and finally embraced it.

Night fell and it was nearing dawn when the Christian who had newly converted to Islam heard somebody knocking at his door.

Surprised, he asked,“Who is it?”

A voice from behind the door said,“It is me, so-and-so” , introducing himself. He was the same Muslim neighbour who had converted him to Islam.

“What do you want at this hour of night?”

“Quickly perform your ablution and put on your clothes, so that we would go to the mosque for prayers!”

For the first time in his life, the new convert performed ablutions and followed his Muslim friend to the Mosque. It was close enough to the break of dawn that they engaged in the mid-night prayers. They prayed until dawn, then came time for the morning prayer. They prayed the morning prayers and were busy in supplication and benediction until the day light became perfectly clear. As the new Muslim moved to return home, his friend said,“Where are you going?”

“I want to go home. Since we have performed our morning prayer, we have nothing else to do.”

“Wait for a while and recite the benediction prayers till the sun rises.”

“Alright.”

The newly converted Muslim sat down and recited the supplications until the sun rose. As he stood up to leave, his friend gave him the Holy Qur'an and said,“For the time being, occupy yourself by reciting the Qur’an until the sun rises a little higher. I also advise you to fast today. You do not know how much reward and virtue there is in fasting!”

It was almost noon. He said,“Wait, it is nearing noon. Let’s perform the noon-prayer in the Mosque.”

They then performed the noon-prayer. Then he said,“Wait a while until we can pray the afternoon prayer. It would be better to perform it at the proper time.”

After performing the afternoon prayer, the Muslim said,“It is almost evening now.” He kept him waiting till the evening prayer. After the prayer the new Muslim convert started to leave to break his fast.

His Muslim friend said:“There is only one more prayer remaining, that is night (Isha) prayer.”

Only one hour had passed since the night had fallen. He waited until the time of the night prayer. Then they performed that prayer too. The new Muslim stood up and left.

The second night, at the same time of dawn, he heard again the knock at the door.

He asked,“Who is it?”

“I am so-and-so, your neighbour. Quickly do your ablution and put on your clothes so that we can go together to the mosque.”

The new Muslim said,“As I came back home from the Mosque last night, I resign from your religion. Go away and find another person who is out of work so that he may spend all of his time at the Mosque. I am a poor man with a wife and children. I must work in order to gain a living.”

Relating this story to his companions, Imam Jafar Al-Sadiq (‘a) said,“The strict and devout man, in this manner after converting that poor person to Islam, had repelled him from Islam too. Taking into consideration the fact that you should compromise with people, it must be borne in mind that you must judge people by their strength and capacity and behave accordingly to attract them to religion, and not make them run away from it. Don’t you know the policy of Umayyads is based on violence, oppression and strictness? Whereas our conduct relies upon gentleness, moderation, brotherhood and the conquest of hearts.” 1

Note

1. Wasail, v. 2, p. 494 (Tradition No. 3 and 9).

Story 29: At The Dinner Table Of The Caliph

Sharik ibn Abdullah al-Nakhai, a renowned Islamic jurisprudent of the second century Hijrah, was well known for his knowledge and piety. Mahdi ibn al-Mansur, the Abbasid Caliph, was anxious to entrust the seat of Chief Justice to him, but in order to distance himself from the forces of oppression, Sharik ibn Abdullah did not consent to accept this responsibility. The Caliph also wished to appoint him as a tutor for his sons so that he would teach them the science of Prophetic traditions. Sharik rejected this proposal too, content with his own freedom and needs.

One day the Caliph summoned him and said,“Today you have to accept one of these three proposals: the seat of Chief Justice, tutorship of my sons, or sitting down and having a meal with me at my dinner table.”

Sharik thought for a moment and said,“Now that I am being compelled, of these three proposals, the third option is obviously the easiest.”

The Caliph ordered the cook to prepare the most delicious food for Sharik. They made a sumptuous dish from bone marrow mixed with sugar and honey, and laid it at the table. Sharik, who had never tasted nor seen such food before in his life, ate it wholeheartedly till he was full.

The butler whispered in the Caliph’s ear,“I swear by Allah, this man will never see salvation.”

Soon after this event, they saw Sharik becoming both the tutor of the Caliph's sons and accepting the seat of Chief Justice. A pension was also allocated to him from the public treasury.

One day he was speaking to the official responsible for the disbursement of salaries. He said to Sharik,“You have not sold us any wheat, why do you plead for money?”

Sharik said in reply,“I sold you something more valuable than wheat. That is, I sold my faith.” 1

Note

1. Murouj al-Zahab al-Mansur. v. 2. (Halat-e Mahdi al-Abbasi).

Story 30:The Complaint Of A Neighbour

A peasant came to the Holy Messenger (S) who harboured a grievance against his neighbour, saying that his neighbour kept pestering him and deprived him of rest. The Holy Prophet (S) said,“Be patient, and don't create trouble for your neighbour! He may change his behaviour.”

After some time, the man came again and repeated his complaint. The Holy Prophet (S) said to him,“Be patient!” It was not long before the man appeared for the third time and said,“O Messenger of Allah (S) my neighbour did not abandon his behaviour and has greatly disturbed me and my family.”

This time, the Holy Prophet (S) said,“Next Friday, take out all of your furniture and household belongings and leave them in front of your house where people pass. They will ask you why you have scattered your household belongings in the street. Tell them it is because of a bad neighbour, then lay your complaint before everyone.”

The plaintiff did as he was told. Imagining that the Prophet (S) would just tell the man to be patient forever, the harmful neighbour ignored him, until that point. When it is a question of opposing oppression and defending one’s rights, Islam does not have any respect for the transgressor. As a result, when he understood the seriousness of the matter, he apologized profusely, implored his neighbour, and requested him to return his possessions to his house. At the same time, he pledged not to cause any more trouble for his neighbours.1

Note

1. Usul al-Kafi, v. 2, p. 668 (The Neighbour's Rights).

Story 31: The Date Palm

Samarah ibn Jandab owned a date palm tree in one of the Ansar’s gardens (Ansar: helpers of the Prophet). The Ansar’s dwelling was located in the garden where his wife and children were living. Samarah frequently visited the Ansar’s garden in order to inspect his date palm or to pick the dates. It was obvious that, according to Islamic law, he had the ‘right’ to visit the garden to look after his palm tree. However, whenever he wanted to enter the garden, he did so without prior notice, while prying on the owner and his family.

The owner of the garden requested him not to enter the garden without prior permission, but he refused. Thus, the owner was obliged to complain about this matter to the Holy Prophet (S) and said,“This man comes to us without warning. Ask him not to enter the garden in an unlawful way. He must inform us before entering so that my family can protect their privacy from his prying eyes.”

The Holy Prophet (S) summoned Samarah and said,“So-and-so complained about you saying that you enter his garden without warning and you see his family in a state that he does not like. From now on, take prior permission and do not enter their home without informing them.”

Samarah refused. The Prophet (S) said,“Then sell the palm tree.” Samarah refused again. The Holy Prophet (S) doubled the price, and then increased the price more and more, but Samarah persisted in refusing. At last, the Holy Prophet (S) said,“If you sell it, you will have a tree in heaven.” Samarah still did not give up and remained stubborn in his position of not disposing of the tree, and not taking permission of the owner before entering the garden.

Then the Holy Prophet (S) said,“You are a harmful and rigid person. In Islam there is no place for prejudice nor obstinacy.”

The Holy Prophet (S) turned towards the Ansari man and said,“Go uproot the date palm and throw it before Samarah!” He did as the Holy Prophet (S) had ordered. The Holy Prophet (S) looked at Samarah and said,“Now go and plant your tree wherever you like.” 1

Note

1. Wasa’il, v. 3, p. 329 (Tradition No. 1, 3 and 4).

Story 32: In Umm Salamah’s Home

One night, the Holy Prophet (S) stayed at Umm Salamah’s home. It was midnight. Umm Salamah woke up and noticed that the Holy Prophet (S) was not in his bed. She was worried about what had happened to him. Her instinctive jealousy made her investigate. She got up and began to search for the Prophet (S).

She found the Holy Prophet (S) standing in a dark corner, raising his hands towards the sky, shedding tears and saying,“My Allah! The blessings that you have granted me, do not take them from me. My God, do not let the enemy and the envious accuse me. My Lord, do not let me return to evils from which you have saved me! My Allah, do not leave me alone for as much as the twinkling of an eye.”

Hearing these words spoken in such a state made Umm Salamah shudder. She went and sat in a corner and started crying. Her cries were so bitter and loud that the Holy Prophet (S) came over and asked her,“Why are you crying?”

She said,“Why should I not cry? You, who have such a high rank and position with Allah, are afraid of Him to such an extent that you ask Him not to leave you alone for a single moment! So, woe to me and others like me!”

The Holy Prophet (S) said,“How could I be certain and not fear my own fate? Yunus, the prophet, was awarded a moment of his life for himself and what might befall him.” 1

Note

1. Bihar, v. 6 (Chapter: His ethical virtues, conduct and tradition).

Story 33: The Black Market

The family of Imam Al-Sadiq (‘a) was steadily growing, as were their expenses. The Imam (‘a) decided to invest some capital in order to increase his income and thus meet his family’s expenses. He gathered an amount of one thousand Dinars and told his servant Mussadif to take the money and prepare for a journey to Egypt in order to do business there.

With that money, Mussadif purchased the type of goods usually exported to Egypt. He joined a caravan of traders who were taking the same type of merchandise to Egypt and set out with them. When the caravan was near Egypt, they met another caravan of traders who were leaving Egypt. They enquired about the state of business in Egypt and discovered that the merchandise which Mussadif and his companions had, were not available in Egypt, and thus was in great demand.

The merchants, upon hearing this good news, decided to sell their goods at no less than one hundred percent profit. When they arrived in Egypt, the situation was as they had been informed. As previously agreed, they created a black market by initially not selling the goods. They then doubled the price and sold the goods.

Mussadif returned to Madinah with a net profit of one thousand Dinars. He joyfully went to Imam Al-Sadiq (‘a) and put before him two bags, each containing one thousand Dinars.

Imam Al-Sadiq (‘a) asked,“What is this?”

He said,“One of the two bags is the capital which you gave me, and the other is the net profit which has been gained, which is equal to the capital.”

The Imam (‘a) said,“The profit is too high. Tell me how did you gain so much profit?”

The servant said,“When we came to understand that the goods were scarce there, we pledged not to sell our goods at anything less than hundred percent profit, and that is what we did!”

Imam Al-Sadiq (‘a),“Glory be to Allah! Did you do such a thing? Did you plot in order to create a black market among Muslims? Did you collude to sell the goods at a profit equal to the capital? No, no! I do not want any part of a business with such a gain!”

The Imam (‘a) picked up one of the bags and said,“This is my capital.” He left the other bag and said,“I will have nothing to do with the other one.”

Then he (‘a) added,“O Mussadif! To do battle is easier than to do business lawfully.” 1

Note

1. Bihar ul-Anwar, v. 11, p. 121.

Story 34: The Late-Comer Of The Caravan

In the dark of night, from a great distance, they heard a voice of a young man screaming. He was pleading for help. His weak and scrawny camel had remained behind the caravan and lagged far behind. Finally, completely exhausted, he stretched out and slept. He tried to move his camel again, but it was in vain. Standing helplessly beside the camel, he called for help.

The Holy Prophet (S) usually travelled at the back of the caravan, so that anyone who was weak or helpless and became separated from the caravan, would not remain alone.

He (S) heard the call of the young man and, as he approached him, he asked,“Who are you?”

“I am Jabir.”

“Why were you left alone and wandering in the desert?”

“O Messenger of Allah (S), the reason was that my camel became exhausted.”

“Do you have a walking stick?”

“Yes.”

“Give it to me.”

The Holy Prophet (S) took the stick and used it to move the camel forward and make it kneel. He (S) then made his hands into the shape of a stirrup and told Jabir to mount his camel. Jabir mounted the camel and then they made their way back together, as Jabir’s camel moved faster.

Throughout the way the Holy Prophet (S) did not cease to show kindness towards Jabir. Jabir had counted and found that the Holy Prophet (S) had prayed twenty-five times for the forgiveness of his sins.

On the way, the Holy Prophet (S) asked Jabir,“How many children remain from your father, Abdullah?”

“Seven girls and a boy, myself.”

“Has your father left any debts?”

“Yes.”

“Well, when you return to Madinah, make an arrangement with your creditors, and at the time of the date harvest, call on me.”

“Alright.”

“Are you married?”

“Yes.”

“To whom?”

“To Mrs so-and-so, daughter of so-and-so, one of the widows of Madinah.”

“Why didn't you marry to a young girl of your own age?”

“O Messenger of Allah (S), having so many young and inexperienced sisters, I didn't want to marry a young and inexperienced woman. I preferred to choose a mature woman.”

“You chose well. How much did you pay for this camel?”

“Five ounces of gold.”

“I will purchase it from you at the same price. When you arrive in Madinah, come and collect the money from me.”

The journey came to an end and they arrived in Madinah. Jabir brought his camel to the Holy Prophet (S). The Holy Prophet (S) ordered Bilal to give Jabir five ounces of gold for his camel, and in addition three more ounces so that he may pay off his father Abdullah’s debts. He then returned his camel to him.

The Prophet (S) asked Jabir,“Did you made a contract with the creditors?”

Jabir said,“No, O Messenger of Allah (S).”

“What your father has left you, is it enough to pay his debts?”

“No, O Messenger of Allah”

“Then, call on me at the time of the date harvest.”

The time of the harvest arrived. He called on the Messenger of Allah (S). The Holy Prophet (S) then settled all of his debts and left enough for Jabir's family to live on.1

Note

1. Bihar, v. 6, (Chapter: Makaram Akhlaq).

Story 35: The Shoelace

Imam Al-Sadiq (‘a), accompanied by some friends, visited one of his relatives to offer him their condolences. On the way, his shoelace was torn in such a manner that his shoe was no longer held to his foot. The Imam (‘a) took off his shoes, held them in his hand and began to walk barefoot.

Abdullah ibn Abi Ya’fur, one of his close companions quickly took off his own shoes, untied the laces and offered it to the Imam (‘a) so that he could use them while he walked barefoot.

Upset and determined, the Imam (‘a) did not accept. Turning away from Abdullah he (‘a) said,“If someone has a problem, they should be the one to endure it. There is no sense, if an incident occurs, to one person that another suffers for his pain.” 1

Note

1. Bihar ul-Anwar, v. 11, p. 117.

Story 36: Hisham And Farazdaq

Although Hisham ibn Abdul Malik held the position of Crown Prince at the time (the first decade of the second century of Hijrah), when the Umayyad government had reached the zenith of its power, after the ritual circumambulation of the Ka’bah, he tried his best to reach the Black Stone and touch it. The other pilgrims were all dressed in their plain garments, all uttering the same supplications to Allah, and performing the Hajj rituals.

They were engrossed in the fulfillment of their rituals and did not think about the worldly personality of Hisham or his social position. The individuals, who accompanied him from Syria, to enhance his honour and prestige, appeared insignificant before the spiritual majesty and grandeur of the performance of the Hajj pilgrimage.

In accordance with the rites of pilgrimage, Hisham tried his best to reach the Black Stone and touch it, but he could not due to the sheer multitude and density of the crowd. He was obliged to return. He was given a chair to sit on, and the chair was placed in a high position so that he could watch over the crowd. The Syrians accompanying him, stood around him, and watched the crowd with him.

At this moment, a man appeared with a pious face. He was dressed in plain garments like the other pilgrims. The marks of worship and submission to Allah were visible on his face. He went directly to circumambulate the Ka’bah and made his way towards the Black Stone, firmly but gently. On seeing him, the crowd abated and made way for him, and he was able to approach the Black Stone without any difficulty.

Having witnessed earlier that the Crown Prince did not succeed in approaching the Black Stone in spite of his status, the Syrians were astonished, their eyes dazzled.

One of them asked Hisham,“Who is this person?”

Although Hisham knew perfectly well that he was Ali ibn al-Husayn Zain ul-Abidin (‘a), he pretended not to recognize him and said,“I do not know him.”

Fearing Hisham's blood-soaked sword, who would dare admit to knowing him?

Meanwhile, Hammam ibn Ghalib, a renowned and skilled Arabian poet (known as Farazdaq), who should have respected the position of Hisham more than anyone else, to protect his own career and particular art, was so struck by his conscience that he immediately said,“But I do know him!”

He did not settle for a plain introduction. Standing on a high step, he improvised an eloquent poem which is counted among the masterpieces of Arabic literature, for such words could only be composed when the spirit of a poet flows like the waves of the sea.

Among the verses of his poem were:

“This person is one whom the rocks of the earth know well,

as does the Haram of the Ka’bah and its surroundings,

The land of the Ka’bah and the land outside the Ka’bah knows him,

He is the son of the best servants of Allah,

the purest of the pure, the virtuous, the pious and the prominent,

That you say you do not know him, will cause him no harm

and there is no question of prejudice,

Supposing you do not know him yourself,

but what of the Arabs and non-Arab communities who all know him?”

Hisham, on hearing this candid poem, was filled with rage, and immediately ordered Farazdaq to be deprived of funds from the public treasury and to be imprisoned in Assfan (a place between Makkah and Madinah).

Farazdaq cared little about these orders. Due to his courage in expressing his convictions, he did not mind the loss of salary nor imprisonment. He did not stop criticizing and satirizing Hisham with his delightful poems, even when in prison.

Ali ibn al-Husayn (‘a) sent a sum of money to him in prison, as his revenue had been cut off, but Farazdaq refused it and said,“I recited that poem based on my faith and only for the sake of Allah, so I do not wish to receive any money in return.”

Ali ibn al-Husayn (‘a) sent the money a second time to Farazdaq, along with the following message,“Allah is aware of your intentions. May He reward you on the same terms as your intentions. If you accept this help, it will not detract your reward from Allah.”

Then he (‘a) made a pact with Farazdaq to accept this help and Farazdaq accepted it.1

Note

1. Bihar, v. 11, p. 36.

Story 37: Bizanti

Ahmad ibn Muhammad ibn Abi Nasr Bizanti, who was counted among the scholars and the learned of his time, came to believe in the Imamat (leadership) of Imam Al-Ridha’ (‘a), after exchanging numerous correspondences with him (‘a). One day he asked the Imam (‘a),“I wish to come to your house and benefit from your presence. Would there be any problem with my coming and going from the point of view of government?”

One evening, Imam Al-Ridha’ (‘a) sent him his personal messenger and invited him to come to his house. The evening passed, and they engaged in the discussion of scientific matters until midnight. Bizanti was repeatedly asking questions in matters in which he found difficulty and the Imam (‘a) provided the answers. Bizanti felt proud to have the opportunity of being with the Imam (‘a) for such a long time and was very happy.

The night passed and it was time to sleep. The Imam (‘a) called his servant and said,“Bring my personal cot in which I sleep every night, and prepare it for Bizanti.” This kindness and compassion appealed to Bizanti and his joy soared like an eagle. He thought that no one was more fortunate than him in the entire world.

The Imam (‘a) had sent his personal messenger to escort him, and had spent the whole night answering his questions. In addition to all this, the Imam (‘a) had allowed him to sleep in his bed. Thus, who could be more fortunate than him in the whole world? Bizanti was busy enjoying sweet delicacies, imagining the entire world was at his feet.

Suddenly Imam Al-Ridha’ (‘a), leaning on his hands, stood up and addressed him, which interrupted his train of thought, and said,“O Ahmad. Whatever you experienced this evening is not a reason for you to show pride over others. Once Sa’sat ibn Suhan, a great companion of Ali ibn Abi Talib (‘a), became ill. Imam Ali (‘a) went to visit him and showed him much affection and kindness, stroking his hands gently on Sa’sah’s forehead; but when Imam Ali (‘a) was about to stand up and leave, the Imam (‘a) addressed him and said, “Do not take this act as a source of pride and consider yourself to be above others. Whatever I have done, it was my duty and responsibility. These things are of no meaning or value to you.” 1

Note

1. Bihar, v. 12, p. 14.

III. Psychological Challenges to Deterrence

A. Deterrence

The dominant paradigm. Whereas neorealism has been the most influential theory in the academic study of world politics, deterrence has been the most influential theory among the policy elites responsible for statecraft in the second half of the twentieth century (Achen & Snidal, 1989; Jervis, 1978). And, just as it is misleading to place neorealism in conceptual opposition to psychology, it is misleading to do so for deterrence as well. Like neorealism, deterrence theory is best viewed as a particular kind of psychological theory--one that places a premium on conceptual parsimony and that emphasizes the amoral rationality of foreign policy actors. Although deterrence theory comes in many forms (from thoughtful prose to game theoretic models), there are certain recurring themes that justify the common label:

1) the world is a dangerous place. One is confronted by a power-maximizing rational opponent who will capitalize on every opportunity to expand its influence at one's expense. Whenever the option to attack becomes sufficiently attractive (i.e., has greater expected utility than other available options), the likelihood of attack rises to an unacceptably high level;

2) to deter aggression, one should issue retaliatory threats that lead one's opponent to conclude that the expected utility of aggression is lower than the expected utility of the status quo and its projected value into the foreseeable future;

3) to succeed, deterrent threats must be sufficiently potent and credible to overcome an adversary's motivation to attack. Potential aggressors must believe that the defender possesses the resolve and capability to implement the threat. Deterrence will fail if either of these conditions is not met.

Although most deterrence theorists accepted these principles or variants of these principles in the abstract (Kaufman, 1956; Kissinger, 1957; Wohlstetter, 1958), they often disagreed vigorously over how to operationalize them in policy, especially in a nuclear-armed world in which, for the first time in history, the “loser” in war retained the capacity to destroy the “winner”. Consider a classic debate within the deterrence camp during the Cold War. Some theorists argued that, in a MAD world (of mutually assured destruction), nuclear weapons could only deter attacks on one's own territory (Type I or basic deterrence); others argued that nuclear threats could also deter attacks on allies (Type II or extended deterrence) (Kahn, 1965). For the former camp, nuclear threats were of limited utilitybecause , in McNamara’s words, “one cannot fashion a credible deterrent from an incredible action” (quoted in Freedman, 1981, p. 298). Why would a sane American leadership value the political independence of its allies over its own physical survival? This argument highlighted the need for a massive strengthening of conventional deterrence.

The NATO nations balked, however, at matching what they perceived to be massive Soviet spending on conventional forces (Thies, 1991). Deterrence theorists were then assigned the task of infusing credibility into the seemingly suicidal threat of nuclear retaliation. One strategy was the rationality of irrationality. Nuclear threats may gain credibility if one can convince one's opponent that one is crazy enough to follow through on them (Schelling, 1966; Mandel, 1987). Used judiciously, "irrational" threats are effective because "a bluff taken seriously is more useful than a serious threat taken as a bluff" (Kissinger, quoted in Gaddis, 1982, p. 300). One danger is, of course, that if the threatener does not appear crazy enough, the bluff will be called. The strategy can also be dangerous by working too well. For example, during the border skirmishes of the late 1960s, Soviet leaders concluded that Mao was so irrational that he might use nuclear weapons. To preclude this possibility, the Soviets seriously considered a pre-emptive attack against Chinese nuclear facilities (Whiting, 1991).

A second strategy--the threat that leaves something to chance--emphasizes the uncertainties inherent in military confrontations (the fog of war). Even if both sides want to limit a conflict, once hostilities begin, the conflict can escalate far beyond the worst case expectations of the antagonists. Threats that appear incredible become plausible when the two sides find themselves on the slippery slope of military engagements in which neither side completely controls the escalation process (Schelling, 1966). From this perspective, American forces in Europe did not need to be sufficient to halt a Soviet invasion; they functioned as a tripwire that raised the likelihood of eventual American nuclear involvement to an unacceptable level. The essence of this strategy is that potential aggressors will be induced to behave cautiously by the non-zero probability that conflicts, once initiated, will lead to mutual assured destruction (MAD).

Other deterrence theorists denounced the MAD strategy as morally and intellectually bankrupt. They advocated a war-fighting or "countervailing" strategy. Even defensive states need to develop conventional and nuclear capabilities that will give them a wide array of options when confronted by a challenger. The stated goal was to "prevail" in war with any potential aggressor at any step in the ladder of escalation (Kahn, 1965). The reasoning was straightforward. If the aggressors know they have nothing to gain by initiating a conflict or moving up the ladder of escalation, they will refrain from doing so (see Jervis, 1984, for a critique of this strategy).

In brief, MAD theorists emphasized the existence of secure second-strike forces as the best guarantee of peace in a world with two or more nuclear powers. The goal was to prevent war by stressing the risk of mutual annihilation. By contrast, war-fighting theorists were more concerned with what happens should deterrence fail. When challenged, states need the capability to respond in a controlled manner to contain the damage and yet force opponents to back down (Gray and Payne, 1980).

Critics of deterrence theory and its diverse doctrinal offshoots have raised numerous objections. George and Smoke (1974) noted that deterrence theory lacks motivational diagnostics (cf. Herrmann, 1988; Jervis, 1979; Mercer, 1996). It assumes an expansionist adversary, takes conflict for granted, and underestimates the variety of interpretations that can be placed on supposedly unambiguous, reputation-building acts. It also says little about: (1) how risk-seeking oraverse one's opponent might be in sizing up options (joining deterrence theory to prospect theory can be helpful here--Huth and Russett, 1993); (2) how one might change an opponent's motives and transform a competitive into a cooperative relationship (cf. Lindskold 1978). Critics have also complained about the emphasis of deterrence theory on threats and its concomitant neglect of the role that rewards, concessions and integrative problem-solving can play in mitigating conflicts (Jervis, 1979). Threats are not only sometimes ineffective; they sometimes backfire (Lebow, 1981). Finally, critics have objected to the notion that decision-makers in highly stressful crises are as coolly rational as many deterrence theorists, especially the "war fighters", imply (Jervis, Lebow, & Stein, 1985; Holsti, 1989). From the critics’ perspective, it is necessary to replace a narrow focus on deterrence with a broader focus on international influence by building psychological and political moderators into our analysis of when, where, and how threats -- alone or in combination with other tactics -- work.

B. Testing, Clarifying and Qualifying Deterrence

Theory. Any serious evaluation of deterrence theory must grapple with the methodological problems of determining whether deterrence worked or failed from the historical record. To be sure, dramatic failures of deterrence as policy are easy to identify. Country x wanted to stop country y from attacking it or a third country, but failed to do so. The historical data are, however, sufficiently ambiguous to allow seemingly endless arguments on whether individual cases also represent failures of deterrence theory (see Orme, 1987; Lebow & Stein, 1987). An equally imposing obstacle is presented by cases of deterrence success; no one knows how to identify them (George and Smoke, 1974; Achen and Snidal, 1989). When crises do not occur, is it due to the credibility of threats (successes for deterrence theory) or to the fact that the other states never intended to attack? Causal inference requires assumptions about what would have happened in the missing counterfactual cells in the contingency table in which the defender issued no threats.

These issues are not just of academic interest. The events that transpired between 1945 and 1991 in American-Soviet relations underscore both the logical problems in determining who is right and the magnitude of the political stakes in such debates. Although very few predicted when, how, and why the Cold War would come to an end (Gaddis, 1993), neither conservative deterrence theorists nor their liberal conflict spiral opponents were at a loss for retrospective explanations. Conservative observers argued that the collapse of the Soviet Union vindicated the policies of containment and deterrence that the United States pursued, in one form or another, since World War II. Partisans of the Reagan administration argued, more specifically, that the new Soviet thinking was a direct response to the hard-line initiatives of the 1980s and to the technological threat posed by the Strategic Defense Initiative. By contrast, liberal critics of deterrence argued that the policies of the 1980s (and, for many, earlier policies as well) were a massive exercise in overkill, with much blood spilled in unnecessary Third World wars and much treasure wasted in defense expenditures. The Cold War ended as a result of the internal failures of communist societies. If anything, Gorbachev and his policies emerged despite, not because of, the Reagan administration (Lebow and Stein, 1994).

Perhaps historians will someday adjudicate this dispute--although the lack of success on the abundantly documented origins of World War I should constrain optimism here. What is most remarkable for current purposes is how easily the disputants could have explained the opposite outcome. If the Soviet Union had moved in a neo-Stalinist direction in the mid-1980s (massive internal repression and confrontational policies abroad), conservative deterrence theorists could have argued and were indeed prepared to argue that the adversary had merely revealed its true nature (Pipes, 1986), and liberal spiral theorists could have argued and were indeed prepared to argue that "hard-liners beget hard-liners" in the escalatory dynamic (White, 1984). In short, we find ourselves in an epistemological quagmire--an example of what Einhorn and Hogarth (1981) aptly termed an "outcome-irrelevant learning situation."

Assessing the efficacy of deterrence is obviously deeply problematic (indeed, the game theorist Barry Weingast (1996) has shown that if deterrence does indeed work, then there will be many contexts in which the correlation between implementing deterrence and war or peace will be zero). Suffice it to say here that, contrary to White (1984), there is no evidentiary warrant for concluding that deterrence theory is wrong in general or even most of the time. The literature does, however, highlight important gaps in deterrence theory. From a social psychological standpoint, deterrence is but one of many instruments of social influence and the analytic task is to clarify the conditions under which these diverse strategies elicit desired responses from other states (George and Smoke, 1974, 1989; Jervis, Lebow, & Stein, 1985). Excellent reviews of work on bargaining and negotiation exist elsewhere (Druckman and Hopman, 1990; Pruitt, Handbook Chapter). This chapter offers a condensed summary of research that bears most directly on international influence, with special attention to hypotheses that have passed multi-method tests.

C. Influence Strategies

(1) Pure threat strategies. Threats sometimes work (McClintock et al., 1987; Patchen, 1987). Laboratory studies of bargaining have shown, for example, that: (a) threats of defection can lead to beneficial joint outcomes when interests do not conflict (Stech et al., 1984); (b) the mere possession of threat capabilities can reduce defection and increase mutual outcomes in games that prevent communication between the parties (Smith and Anderson, 1975). The evidence is, however, mixed. Other studies have found that threats impede cooperation and lower joint outcomes (Deutsch and Krauss, 1960; Kelley, 1965). Threats have also interfered with cooperation when interests were in conflict (Friedland, 1976) and when communication between bargainers was possible (Smith and Anderson, 1975). Brehm's (1972) reactance theory suggests that threats may backfire by provoking counter-efforts to assert one's freedom to do what was forbidden.

Evidence on international conflict is equally mixed. Although threats may be essential against some opponents, this strategy is counterproductive when directed at nations with limited goals (Kaplowitz, 1984). Several studies of interstate disputes have discovered that even though threats occasionally yield diplomatic victories, they can also lead to unwanted escalation of severe crises (Leng, 1988; Leng and Wheeler, 1979; Leng and Gochman, 1982). Case studies of American foreign policy have drawn a similar conclusion. A strategy of coercive diplomacy emphasizing military threats is appropriate only when restrictive preconditions are met; for example, when the coercing power is perceived to be more motivated than the target of coercion to achieve its objectives, when adequate domestic support can be generated for the policy, when there are usable military options, and when the opponent fears escalation more than the consequences of appearing to back down (George et al., 1971).

(2) Positive inducements. Since Munich gave appeasement a bad name, international relations scholars have largely neglected the role of positive inducements in foreign affairs (for exceptions, see Baldwin, 1971; Milburn and Christie, 1989). The primary advocates of positive inducements have been conflict-spiral theorists who emphasize the debilitating consequences of action-reaction cycles in international conflict (Deutsch, 1983; White, 1984). Although these theorists stress conciliatory gestures, few advocate total unilateral disarmament. And, for good reason: experimental evidence indicates in mixed-motive games, such as Prisoner's Dilemma, unconditional cooperators are ruthlessly exploited (e.g., Stech et al., 1984). In their study of international disputes, Leng and Wheeler (1979) found that nations adopting an appeasement strategy manage to avoid war but almost always suffered a diplomatic defeat. Positive inducements such as financial rewards for compliance can also be very expensive if the other side complies (particularly if it quickly becomes satiated and ups its demands for compensation), and they can foster unwanted dependency and sense of entitlement (Leng, 1993). Finally, just as deterrence theorists face difficulties in operationalizing threats, so reward theorists encounter problems in operationalizing positive inducements, which may be perceived as overbearing, presumptuous, manipulative, or insultingly small or large (Milburn and Christie, 1989).

The picture is not, however, uniformly bleak. Komorita (1973), for example, showed that unilateral conciliatory acts by one party in experimental bargaining games resulted in increased communication, perceptions of cooperative intent, and mutually beneficial outcomes. In reviewing studies of America-Soviet arms control negotiations, Druckman and Hopmann (1989) found that concessions by one side were generally met by counter-concessions by the opponent, whereas retractions provoked counter-retractions.

For the most part, conflict-spiral theorists have advocated combining conciliatory policy initiatives with adequate military strength and nonprovocative threats. The next section turns to these "mixed" strategies.

(3) Mixed-influence strategies. Spurred by Robert Axelrod's (1984) "the evolution of cooperation," a great deal of attention has been directed to firm-but-fair approaches to resolving conflict. This chapter focuses on Axelrod's (1984) tit-for-tat strategy (TFT), Osgood's (1961) strategy of "graduated and reciprocated initiatives in tension reduction" (GRIT) and the Nixon-Kissinger strategy of detente (George, 1983).

(I) Tit-for-tat. TFT is straightforward. One begins by cooperating and thereafter simply repeats one's opponent's previous move. Considerable research demonstrates that TFT is as effective as it is simple. In Axelrod's (1984) round robin PD computer tournaments in which expert-nominated strategies were pitted against one another, TFT--the simplest entrant--earned the highest average number of points. Axelrod (1984) argued that TFT works because it is nice (never defects first), perceptive (quickly discerns the other's intent), clear (easy to recognize), provocable (quickly retaliates), forgiving (willing to abandon defection immediately after the other side's first cooperative act), and patient (willing to persevere).

Although numerous experiments (Pilisuk & Skolnick, 1968), case studies (Snyder & Diesing, 1977) and event-analytic studies (Leng, 1993) have shown TFT-like strategies to be more effective than either pure threat or appeasement strategies in averting both war and diplomatic defeat, an equally sizable body of work has highlighted serious drawbacks to TFT in the international arena:

(1) Two parties can easily get caught up in a never-ending series of mutual defections. One solution is to be less provocable and more forgiving: to respond to defection with a smaller defection or to refrain altogether from retaliating to the first defection and respond in kind only to the second defection. These kinder, gentler variants of TFT outperform simple TFT in computer simulations that permit even low levels of “noise” in which players occasionally misclassify cooperation as defection and defection as cooperation (Bendor, Kramer, & Stout, 1991; Downs, 1991; Molander, 1985; Signorini, 1996). But the price of preventing conflict spirals from escalating out of control may be steep in environments in which predatory powers stand ready to exploit signs of weakness or generosity. A possible corrective here is to couple a slow-to-retaliate rule with a slow-to-forgive rule, thereby perhaps simultaneously averting spirals and deterring opportunists (Pruitt, Handbook Chapter).

(2) TFT applies primarily to Prisoner's Dilemma games in which both sides prefer mutual cooperation to mutual defection. Many conflicts, however, may best be described as games of "Deadlock" in which at least one party prefers unilateral defection or mutual defection to cooperation (Oye, 1985). In such games, TFT will not induce an opponent to cooperate. In arms races, for example, one or both nations might prefer a mutual build-up to an arms control treaty, especially if trust is low or if there is an opportunity to benefit from the race (a charge often leveled at the "military-industrial complexes" within major powers that are an important part of two-level games).

(3) TFT implies perfect perception and control--the ability to identify cooperation and defection correctly and to respond to an opponent in ways that will not be misconstrued. In PD games, moves are unambiguous and this condition can be satisfied; in international politics, policy makers must interpret actions that are ambiguous and, therefore, often controversial. Ambiguity may arise, in part, because there are both temptations and opportunities for nations to disguise defection as cooperation (e.g., by secretly developing chemical weapons or by surreptitiously deploying new missiles or by turning a blind eye to patent pirates). Ambiguity may also arise because nations are complex stimuli that lend themselves to multiple conflicting interpretations. It is often difficult to say whether a given foreign policy act merits a direct dispositional attribution or should be written off as domestic political posturing in a two-level game or perhaps even as a “normal accident” of complex institutional functioning. Arguments of this sort are common place in foreign policy. In the mid 1980's, American observers were deeply divided over the significance of the unilateral suspension of nuclear testing by the Soviet Union. Some treated it as sincere, others dismissed it as a propaganda ploy, and still others took it as a sign of weakness. In October, 1962, Soviet leaders confronted some puzzling mixed signals from the United States, including back-channel diplomatic assurances that the U. S. Navy would avoid provocative confrontations with Soviet vessels in the course of implementing the blockade of Cuba and reports from the Soviet Navy that Soviet submarines were being compelled to surface by aggressive interdiction tactics of which the White House was not fully aware but that were part of standard operating procedure for the U. S. Navy. Whatever the diverse causes of misperception, mistakes can be consequential. Even low levels of “noise” (random misperception) can affect the relative performance of influence strategies in simulations. And misperception with a consistent bias toward encoding cooperative and ambiguous acts as defections can prove devastating to TFT. The literature on cognitive biases warns us to expect exactly this latter form of misperception whenever mutual suspicion has hardened into hostile stereotypes.

(ii) GRIT. Like TFT, GRIT is designed both to resist exploitation and to shift the interaction onto a mutually beneficial, cooperative plane. Unlike TFT, however, GRIT does not assume that the game has yet to begin. Rather, GRIT assumes that the parties are already trapped in a costly conflict spiral. To unwind the spiral, Osgood proposed that one side should announce its intention to reduce tensions and then back up its talk with unilateral conciliatory gestures such as troop reductions and dismantling missiles. These actions are designed to convince the opponent of the initiator's peaceful intentions, but not to weaken the military position of the initiator. The opponent is then invited to respond with conciliatory gestures, but warned that attempts to exploit the situation will force the initiator to return to a hard-line posture. In contrast to TFT, GRIT is nicer (it cooperates in the face of defection) and less provocable (it continues to cooperate even when the opponent ignores what one has done).

Several experiments suggest that GRIT stimulates cooperation. The most impressively cumulative evidence comes from Lindskold’s (1978) research program. The paradigm involves a PD game in which subjects face an opponent (actually a preprogrammed strategy) who is initially competitive (to produce a climate of hostility) but then practices GRIT. In the final phase, the simulated other returns to a neutral strategy to test the persistence of GRIT's effects. Key findings include: a) GRIT leads to more integrative agreements than do competitive and no-message strategies; b) GRIT elicits more cooperation when initiated from a position of strength than weakness (a finding that could be invoked as support for major defense build-ups as a necessary prelude to GRIT); c) GRIT's general statement of cooperative intent is more effective than both promises of conditional cooperation and no statements at all, and GRIT statements are particularly effective when repeated and rephrased; d) GRIT elicits more cooperation than TFT and 50% cooperative strategies; e) GRIT produces more cooperation than a 50%-cooperative strategy, regardless of whether the subject responds before, after, or during the simulated other's response.

Some historical evidence can also be interpreted as consistent with GRIT. In the previous Handbook chapter on international relations, Etzioni argued that a quasi-GRIT strategy adopted by President Kennedy in 1963 promoted a short-lived period of cooperation between the United States and Soviet Union. Larson (1987) credited GRIT with producing the Austrian State Treaty of 1955. And some Sovietologists believe that Western thinking about conflict management influenced the policy strategies of Gorbachev in the late 1980s (Legvold, 1991). Gorbachevian initiatives such as the withdrawal from Afghanistan, the nuclear test moratorium, and unilateral troop reductions were all in the spirit of GRIT. Indeed, Gorbachev responded to American claims that the Soviet initiatives were merely "propaganda" by demonstrating an intuitive awareness of the logic of GRIT:

If all that we are doing is indeed viewed as mere propaganda, why not respond to it according to the principle of "an eye for an eye, and a tooth for a tooth"? We have stopped nuclear explosions. Then you Americans could take revenge by doing likewise. You could deal us another propaganda blow, say, by suspending the development of one of your strategic missiles. And we would respond with the same kind of "propaganda." And so forth and so on. Would anyone be harmed by competition in such propaganda? (Time, September 9, 1985, p. 23).

GRIT can be criticized for being too soft ("surrender on the installment plan") or as too tough (insufficiently sensitive to the psychological obstacles to resolving protracted and bitter conflicts). In the spirit of toughening GRIT, some researchers have argued that a combination of TFT and GRIT is the best strategy of conflict management in many contexts (Downs, 1991). Initial use of a TFT strategy would demonstrate one's willingness to endure a painful stalemate. Conciliatory offers could then be extended with a diminished fear that they will be interpreted as a sign of weakness (Snyder and Diesing, 1977). Others, however, argue that early competitiveness can too easily escalate into all-out war or poison the atmosphere so that later conciliatory initiatives will be ignored or discounted (Kelman & Bloom, 1973; Kriesberg & Thorson, 1991). Indeed, the now extensive literature on conflict resolution workshops suggests that, in emotionally and politically polarized disputes with long histories of violence (northern Ireland, Cypus, Israelis-Palestinians,... ) even GRIT is too insensitive to the difficulties of breaking down psychological barriers to peace (Azar, 1990; Burton, 1987; Fisher, 1990; Kelman, 1993; Rouhana & Kelman, 1994). It may be necessary to bring high-ranking disputants together in nonofficial workshops in which they are encouraged to understand each other’s needs and to engage in joint problem-solving exercises that gradually build up trust as each side acquires the ability to state the other’s position to the other’s satisfaction and acquires the willingness to consider and even generate integrative proposals that concede some legitimacy to the other’s concerns (Kelman & Cohen, 1976). Third-party mediation can also prove helpful in encouraging disputants: (a) to see the conflict as a disinterested but thoughtful and fair observer might; (b) to consider compromise packages that they would have categorically rejected if simply proposed by the adversary (Rubin, 1981). But the moderators of mediational success appear to be numerous and subtle, including the "ripeness" of the conflict (the parties perceive a mutually debilitating stalemate to exist), the types of issues (the conflict does not focus on territory or rights that the parties endow with sacred or transcendental significance) and the perceived impartiality of the mediator and of the mediation process (Kleiboer, 1996; Vasquez, 1993; Zartman & Touval, 1985).

Evaluating the efficacy of both workshop and third-party interventions raises unsolved methodological issues (from selection biases to the counterfactual vagaries of inferring what would have happened absent any intervention). And all of these approaches assume that there is hidden integrative potential and that both sides can be induced to prefer "jawing" to "warring" -- assumptions that do not hold when one side has so completely dehumanized the other that a dialogue of equals is impossible (e.g., Nazi attitudes toward Jews; Khymer Rouge attitudes toward class enemies).

(iii) The Nixon-Kissinger strategy of detente. Shifting from unofficial to official diplomacy, some scholars argue that the Nixon-Kissinger policies of detente in the early 1970s constituted a carefully crafted mixed-influence strategy, albeit with more emphasis on deterrence that in either GRIT or TFT (George, 1983). In this view, Nixon and Kissinger sought to shift the superpower relationship from “confrontational competition” to “collaborative competition” in which the United States and Soviet Union would both show restraint in the Third World and in weapons programs. The American strategy relied on both carrots (enhanced trade and credits, reduced military competition, and access to advanced technology) and sticks (a renewed arms race that would strain the Soviet economy and a suspension of trade that would deny access to American goods). For reasons still vigorously debated, the Nixon-Kissinger policy failed, competition in the Third World heated up, and arms control sputtered and eventually stalled with the SALT II treaty (Gaddis, 1982). Some suggest that the Nixon-Kissinger policy was ill-conceived, poorly implemented, or undermined by Congressional opponents who insisted on linking improved relations to human rights issues. Others blame the Soviet Union for exploiting détente by intervening in Angola, Ethiopia, and Afghanistan. As usual, we discover conflicting policy postmortems, each resting on distinctive counterfactual claims and each linked to different assessments of the adversary.

D. Reprise

Research on social influence points to a number of policy-relevant conclusions. At a minimum, the findings demonstrate that the simplistic remedies for complex conflicts are untenable. An exclusive emphasis on threats can provoke otherwise avoidable conflicts (Leng, 1993); so can calls for unilateral disarmament, albeit via a different mechanism -- by tempting aggressors. Encouraging, though, is the multi-method convergence suggesting that in many situations a firm-but-fair reciprocating bargaining strategy works reasonably well by both protecting vital interests and preventing conflicts from getting out of control. On a more pessimistic note, current findings are incomplete and poorly integrated. Although we know more than we once did about when alternative strategies are likely to be successful, our contingent generalizations are still crude (George, 1993). The more specific the policy question -- for example, will economic sanctions work against this adversary in this time frame? -- the more equivocal the answer we can justifiably derive from the literature. There remains a yawning gap between the idiographic and nomothetic -- the particular concerns of the policy community and the theoretical abstractions of academia.

III. Psychological Challenges to Deterrence

A. Deterrence

The dominant paradigm. Whereas neorealism has been the most influential theory in the academic study of world politics, deterrence has been the most influential theory among the policy elites responsible for statecraft in the second half of the twentieth century (Achen & Snidal, 1989; Jervis, 1978). And, just as it is misleading to place neorealism in conceptual opposition to psychology, it is misleading to do so for deterrence as well. Like neorealism, deterrence theory is best viewed as a particular kind of psychological theory--one that places a premium on conceptual parsimony and that emphasizes the amoral rationality of foreign policy actors. Although deterrence theory comes in many forms (from thoughtful prose to game theoretic models), there are certain recurring themes that justify the common label:

1) the world is a dangerous place. One is confronted by a power-maximizing rational opponent who will capitalize on every opportunity to expand its influence at one's expense. Whenever the option to attack becomes sufficiently attractive (i.e., has greater expected utility than other available options), the likelihood of attack rises to an unacceptably high level;

2) to deter aggression, one should issue retaliatory threats that lead one's opponent to conclude that the expected utility of aggression is lower than the expected utility of the status quo and its projected value into the foreseeable future;

3) to succeed, deterrent threats must be sufficiently potent and credible to overcome an adversary's motivation to attack. Potential aggressors must believe that the defender possesses the resolve and capability to implement the threat. Deterrence will fail if either of these conditions is not met.

Although most deterrence theorists accepted these principles or variants of these principles in the abstract (Kaufman, 1956; Kissinger, 1957; Wohlstetter, 1958), they often disagreed vigorously over how to operationalize them in policy, especially in a nuclear-armed world in which, for the first time in history, the “loser” in war retained the capacity to destroy the “winner”. Consider a classic debate within the deterrence camp during the Cold War. Some theorists argued that, in a MAD world (of mutually assured destruction), nuclear weapons could only deter attacks on one's own territory (Type I or basic deterrence); others argued that nuclear threats could also deter attacks on allies (Type II or extended deterrence) (Kahn, 1965). For the former camp, nuclear threats were of limited utilitybecause , in McNamara’s words, “one cannot fashion a credible deterrent from an incredible action” (quoted in Freedman, 1981, p. 298). Why would a sane American leadership value the political independence of its allies over its own physical survival? This argument highlighted the need for a massive strengthening of conventional deterrence.

The NATO nations balked, however, at matching what they perceived to be massive Soviet spending on conventional forces (Thies, 1991). Deterrence theorists were then assigned the task of infusing credibility into the seemingly suicidal threat of nuclear retaliation. One strategy was the rationality of irrationality. Nuclear threats may gain credibility if one can convince one's opponent that one is crazy enough to follow through on them (Schelling, 1966; Mandel, 1987). Used judiciously, "irrational" threats are effective because "a bluff taken seriously is more useful than a serious threat taken as a bluff" (Kissinger, quoted in Gaddis, 1982, p. 300). One danger is, of course, that if the threatener does not appear crazy enough, the bluff will be called. The strategy can also be dangerous by working too well. For example, during the border skirmishes of the late 1960s, Soviet leaders concluded that Mao was so irrational that he might use nuclear weapons. To preclude this possibility, the Soviets seriously considered a pre-emptive attack against Chinese nuclear facilities (Whiting, 1991).

A second strategy--the threat that leaves something to chance--emphasizes the uncertainties inherent in military confrontations (the fog of war). Even if both sides want to limit a conflict, once hostilities begin, the conflict can escalate far beyond the worst case expectations of the antagonists. Threats that appear incredible become plausible when the two sides find themselves on the slippery slope of military engagements in which neither side completely controls the escalation process (Schelling, 1966). From this perspective, American forces in Europe did not need to be sufficient to halt a Soviet invasion; they functioned as a tripwire that raised the likelihood of eventual American nuclear involvement to an unacceptable level. The essence of this strategy is that potential aggressors will be induced to behave cautiously by the non-zero probability that conflicts, once initiated, will lead to mutual assured destruction (MAD).

Other deterrence theorists denounced the MAD strategy as morally and intellectually bankrupt. They advocated a war-fighting or "countervailing" strategy. Even defensive states need to develop conventional and nuclear capabilities that will give them a wide array of options when confronted by a challenger. The stated goal was to "prevail" in war with any potential aggressor at any step in the ladder of escalation (Kahn, 1965). The reasoning was straightforward. If the aggressors know they have nothing to gain by initiating a conflict or moving up the ladder of escalation, they will refrain from doing so (see Jervis, 1984, for a critique of this strategy).

In brief, MAD theorists emphasized the existence of secure second-strike forces as the best guarantee of peace in a world with two or more nuclear powers. The goal was to prevent war by stressing the risk of mutual annihilation. By contrast, war-fighting theorists were more concerned with what happens should deterrence fail. When challenged, states need the capability to respond in a controlled manner to contain the damage and yet force opponents to back down (Gray and Payne, 1980).

Critics of deterrence theory and its diverse doctrinal offshoots have raised numerous objections. George and Smoke (1974) noted that deterrence theory lacks motivational diagnostics (cf. Herrmann, 1988; Jervis, 1979; Mercer, 1996). It assumes an expansionist adversary, takes conflict for granted, and underestimates the variety of interpretations that can be placed on supposedly unambiguous, reputation-building acts. It also says little about: (1) how risk-seeking oraverse one's opponent might be in sizing up options (joining deterrence theory to prospect theory can be helpful here--Huth and Russett, 1993); (2) how one might change an opponent's motives and transform a competitive into a cooperative relationship (cf. Lindskold 1978). Critics have also complained about the emphasis of deterrence theory on threats and its concomitant neglect of the role that rewards, concessions and integrative problem-solving can play in mitigating conflicts (Jervis, 1979). Threats are not only sometimes ineffective; they sometimes backfire (Lebow, 1981). Finally, critics have objected to the notion that decision-makers in highly stressful crises are as coolly rational as many deterrence theorists, especially the "war fighters", imply (Jervis, Lebow, & Stein, 1985; Holsti, 1989). From the critics’ perspective, it is necessary to replace a narrow focus on deterrence with a broader focus on international influence by building psychological and political moderators into our analysis of when, where, and how threats -- alone or in combination with other tactics -- work.

B. Testing, Clarifying and Qualifying Deterrence

Theory. Any serious evaluation of deterrence theory must grapple with the methodological problems of determining whether deterrence worked or failed from the historical record. To be sure, dramatic failures of deterrence as policy are easy to identify. Country x wanted to stop country y from attacking it or a third country, but failed to do so. The historical data are, however, sufficiently ambiguous to allow seemingly endless arguments on whether individual cases also represent failures of deterrence theory (see Orme, 1987; Lebow & Stein, 1987). An equally imposing obstacle is presented by cases of deterrence success; no one knows how to identify them (George and Smoke, 1974; Achen and Snidal, 1989). When crises do not occur, is it due to the credibility of threats (successes for deterrence theory) or to the fact that the other states never intended to attack? Causal inference requires assumptions about what would have happened in the missing counterfactual cells in the contingency table in which the defender issued no threats.

These issues are not just of academic interest. The events that transpired between 1945 and 1991 in American-Soviet relations underscore both the logical problems in determining who is right and the magnitude of the political stakes in such debates. Although very few predicted when, how, and why the Cold War would come to an end (Gaddis, 1993), neither conservative deterrence theorists nor their liberal conflict spiral opponents were at a loss for retrospective explanations. Conservative observers argued that the collapse of the Soviet Union vindicated the policies of containment and deterrence that the United States pursued, in one form or another, since World War II. Partisans of the Reagan administration argued, more specifically, that the new Soviet thinking was a direct response to the hard-line initiatives of the 1980s and to the technological threat posed by the Strategic Defense Initiative. By contrast, liberal critics of deterrence argued that the policies of the 1980s (and, for many, earlier policies as well) were a massive exercise in overkill, with much blood spilled in unnecessary Third World wars and much treasure wasted in defense expenditures. The Cold War ended as a result of the internal failures of communist societies. If anything, Gorbachev and his policies emerged despite, not because of, the Reagan administration (Lebow and Stein, 1994).

Perhaps historians will someday adjudicate this dispute--although the lack of success on the abundantly documented origins of World War I should constrain optimism here. What is most remarkable for current purposes is how easily the disputants could have explained the opposite outcome. If the Soviet Union had moved in a neo-Stalinist direction in the mid-1980s (massive internal repression and confrontational policies abroad), conservative deterrence theorists could have argued and were indeed prepared to argue that the adversary had merely revealed its true nature (Pipes, 1986), and liberal spiral theorists could have argued and were indeed prepared to argue that "hard-liners beget hard-liners" in the escalatory dynamic (White, 1984). In short, we find ourselves in an epistemological quagmire--an example of what Einhorn and Hogarth (1981) aptly termed an "outcome-irrelevant learning situation."

Assessing the efficacy of deterrence is obviously deeply problematic (indeed, the game theorist Barry Weingast (1996) has shown that if deterrence does indeed work, then there will be many contexts in which the correlation between implementing deterrence and war or peace will be zero). Suffice it to say here that, contrary to White (1984), there is no evidentiary warrant for concluding that deterrence theory is wrong in general or even most of the time. The literature does, however, highlight important gaps in deterrence theory. From a social psychological standpoint, deterrence is but one of many instruments of social influence and the analytic task is to clarify the conditions under which these diverse strategies elicit desired responses from other states (George and Smoke, 1974, 1989; Jervis, Lebow, & Stein, 1985). Excellent reviews of work on bargaining and negotiation exist elsewhere (Druckman and Hopman, 1990; Pruitt, Handbook Chapter). This chapter offers a condensed summary of research that bears most directly on international influence, with special attention to hypotheses that have passed multi-method tests.

C. Influence Strategies

(1) Pure threat strategies. Threats sometimes work (McClintock et al., 1987; Patchen, 1987). Laboratory studies of bargaining have shown, for example, that: (a) threats of defection can lead to beneficial joint outcomes when interests do not conflict (Stech et al., 1984); (b) the mere possession of threat capabilities can reduce defection and increase mutual outcomes in games that prevent communication between the parties (Smith and Anderson, 1975). The evidence is, however, mixed. Other studies have found that threats impede cooperation and lower joint outcomes (Deutsch and Krauss, 1960; Kelley, 1965). Threats have also interfered with cooperation when interests were in conflict (Friedland, 1976) and when communication between bargainers was possible (Smith and Anderson, 1975). Brehm's (1972) reactance theory suggests that threats may backfire by provoking counter-efforts to assert one's freedom to do what was forbidden.

Evidence on international conflict is equally mixed. Although threats may be essential against some opponents, this strategy is counterproductive when directed at nations with limited goals (Kaplowitz, 1984). Several studies of interstate disputes have discovered that even though threats occasionally yield diplomatic victories, they can also lead to unwanted escalation of severe crises (Leng, 1988; Leng and Wheeler, 1979; Leng and Gochman, 1982). Case studies of American foreign policy have drawn a similar conclusion. A strategy of coercive diplomacy emphasizing military threats is appropriate only when restrictive preconditions are met; for example, when the coercing power is perceived to be more motivated than the target of coercion to achieve its objectives, when adequate domestic support can be generated for the policy, when there are usable military options, and when the opponent fears escalation more than the consequences of appearing to back down (George et al., 1971).

(2) Positive inducements. Since Munich gave appeasement a bad name, international relations scholars have largely neglected the role of positive inducements in foreign affairs (for exceptions, see Baldwin, 1971; Milburn and Christie, 1989). The primary advocates of positive inducements have been conflict-spiral theorists who emphasize the debilitating consequences of action-reaction cycles in international conflict (Deutsch, 1983; White, 1984). Although these theorists stress conciliatory gestures, few advocate total unilateral disarmament. And, for good reason: experimental evidence indicates in mixed-motive games, such as Prisoner's Dilemma, unconditional cooperators are ruthlessly exploited (e.g., Stech et al., 1984). In their study of international disputes, Leng and Wheeler (1979) found that nations adopting an appeasement strategy manage to avoid war but almost always suffered a diplomatic defeat. Positive inducements such as financial rewards for compliance can also be very expensive if the other side complies (particularly if it quickly becomes satiated and ups its demands for compensation), and they can foster unwanted dependency and sense of entitlement (Leng, 1993). Finally, just as deterrence theorists face difficulties in operationalizing threats, so reward theorists encounter problems in operationalizing positive inducements, which may be perceived as overbearing, presumptuous, manipulative, or insultingly small or large (Milburn and Christie, 1989).

The picture is not, however, uniformly bleak. Komorita (1973), for example, showed that unilateral conciliatory acts by one party in experimental bargaining games resulted in increased communication, perceptions of cooperative intent, and mutually beneficial outcomes. In reviewing studies of America-Soviet arms control negotiations, Druckman and Hopmann (1989) found that concessions by one side were generally met by counter-concessions by the opponent, whereas retractions provoked counter-retractions.

For the most part, conflict-spiral theorists have advocated combining conciliatory policy initiatives with adequate military strength and nonprovocative threats. The next section turns to these "mixed" strategies.

(3) Mixed-influence strategies. Spurred by Robert Axelrod's (1984) "the evolution of cooperation," a great deal of attention has been directed to firm-but-fair approaches to resolving conflict. This chapter focuses on Axelrod's (1984) tit-for-tat strategy (TFT), Osgood's (1961) strategy of "graduated and reciprocated initiatives in tension reduction" (GRIT) and the Nixon-Kissinger strategy of detente (George, 1983).

(I) Tit-for-tat. TFT is straightforward. One begins by cooperating and thereafter simply repeats one's opponent's previous move. Considerable research demonstrates that TFT is as effective as it is simple. In Axelrod's (1984) round robin PD computer tournaments in which expert-nominated strategies were pitted against one another, TFT--the simplest entrant--earned the highest average number of points. Axelrod (1984) argued that TFT works because it is nice (never defects first), perceptive (quickly discerns the other's intent), clear (easy to recognize), provocable (quickly retaliates), forgiving (willing to abandon defection immediately after the other side's first cooperative act), and patient (willing to persevere).

Although numerous experiments (Pilisuk & Skolnick, 1968), case studies (Snyder & Diesing, 1977) and event-analytic studies (Leng, 1993) have shown TFT-like strategies to be more effective than either pure threat or appeasement strategies in averting both war and diplomatic defeat, an equally sizable body of work has highlighted serious drawbacks to TFT in the international arena:

(1) Two parties can easily get caught up in a never-ending series of mutual defections. One solution is to be less provocable and more forgiving: to respond to defection with a smaller defection or to refrain altogether from retaliating to the first defection and respond in kind only to the second defection. These kinder, gentler variants of TFT outperform simple TFT in computer simulations that permit even low levels of “noise” in which players occasionally misclassify cooperation as defection and defection as cooperation (Bendor, Kramer, & Stout, 1991; Downs, 1991; Molander, 1985; Signorini, 1996). But the price of preventing conflict spirals from escalating out of control may be steep in environments in which predatory powers stand ready to exploit signs of weakness or generosity. A possible corrective here is to couple a slow-to-retaliate rule with a slow-to-forgive rule, thereby perhaps simultaneously averting spirals and deterring opportunists (Pruitt, Handbook Chapter).

(2) TFT applies primarily to Prisoner's Dilemma games in which both sides prefer mutual cooperation to mutual defection. Many conflicts, however, may best be described as games of "Deadlock" in which at least one party prefers unilateral defection or mutual defection to cooperation (Oye, 1985). In such games, TFT will not induce an opponent to cooperate. In arms races, for example, one or both nations might prefer a mutual build-up to an arms control treaty, especially if trust is low or if there is an opportunity to benefit from the race (a charge often leveled at the "military-industrial complexes" within major powers that are an important part of two-level games).

(3) TFT implies perfect perception and control--the ability to identify cooperation and defection correctly and to respond to an opponent in ways that will not be misconstrued. In PD games, moves are unambiguous and this condition can be satisfied; in international politics, policy makers must interpret actions that are ambiguous and, therefore, often controversial. Ambiguity may arise, in part, because there are both temptations and opportunities for nations to disguise defection as cooperation (e.g., by secretly developing chemical weapons or by surreptitiously deploying new missiles or by turning a blind eye to patent pirates). Ambiguity may also arise because nations are complex stimuli that lend themselves to multiple conflicting interpretations. It is often difficult to say whether a given foreign policy act merits a direct dispositional attribution or should be written off as domestic political posturing in a two-level game or perhaps even as a “normal accident” of complex institutional functioning. Arguments of this sort are common place in foreign policy. In the mid 1980's, American observers were deeply divided over the significance of the unilateral suspension of nuclear testing by the Soviet Union. Some treated it as sincere, others dismissed it as a propaganda ploy, and still others took it as a sign of weakness. In October, 1962, Soviet leaders confronted some puzzling mixed signals from the United States, including back-channel diplomatic assurances that the U. S. Navy would avoid provocative confrontations with Soviet vessels in the course of implementing the blockade of Cuba and reports from the Soviet Navy that Soviet submarines were being compelled to surface by aggressive interdiction tactics of which the White House was not fully aware but that were part of standard operating procedure for the U. S. Navy. Whatever the diverse causes of misperception, mistakes can be consequential. Even low levels of “noise” (random misperception) can affect the relative performance of influence strategies in simulations. And misperception with a consistent bias toward encoding cooperative and ambiguous acts as defections can prove devastating to TFT. The literature on cognitive biases warns us to expect exactly this latter form of misperception whenever mutual suspicion has hardened into hostile stereotypes.

(ii) GRIT. Like TFT, GRIT is designed both to resist exploitation and to shift the interaction onto a mutually beneficial, cooperative plane. Unlike TFT, however, GRIT does not assume that the game has yet to begin. Rather, GRIT assumes that the parties are already trapped in a costly conflict spiral. To unwind the spiral, Osgood proposed that one side should announce its intention to reduce tensions and then back up its talk with unilateral conciliatory gestures such as troop reductions and dismantling missiles. These actions are designed to convince the opponent of the initiator's peaceful intentions, but not to weaken the military position of the initiator. The opponent is then invited to respond with conciliatory gestures, but warned that attempts to exploit the situation will force the initiator to return to a hard-line posture. In contrast to TFT, GRIT is nicer (it cooperates in the face of defection) and less provocable (it continues to cooperate even when the opponent ignores what one has done).

Several experiments suggest that GRIT stimulates cooperation. The most impressively cumulative evidence comes from Lindskold’s (1978) research program. The paradigm involves a PD game in which subjects face an opponent (actually a preprogrammed strategy) who is initially competitive (to produce a climate of hostility) but then practices GRIT. In the final phase, the simulated other returns to a neutral strategy to test the persistence of GRIT's effects. Key findings include: a) GRIT leads to more integrative agreements than do competitive and no-message strategies; b) GRIT elicits more cooperation when initiated from a position of strength than weakness (a finding that could be invoked as support for major defense build-ups as a necessary prelude to GRIT); c) GRIT's general statement of cooperative intent is more effective than both promises of conditional cooperation and no statements at all, and GRIT statements are particularly effective when repeated and rephrased; d) GRIT elicits more cooperation than TFT and 50% cooperative strategies; e) GRIT produces more cooperation than a 50%-cooperative strategy, regardless of whether the subject responds before, after, or during the simulated other's response.

Some historical evidence can also be interpreted as consistent with GRIT. In the previous Handbook chapter on international relations, Etzioni argued that a quasi-GRIT strategy adopted by President Kennedy in 1963 promoted a short-lived period of cooperation between the United States and Soviet Union. Larson (1987) credited GRIT with producing the Austrian State Treaty of 1955. And some Sovietologists believe that Western thinking about conflict management influenced the policy strategies of Gorbachev in the late 1980s (Legvold, 1991). Gorbachevian initiatives such as the withdrawal from Afghanistan, the nuclear test moratorium, and unilateral troop reductions were all in the spirit of GRIT. Indeed, Gorbachev responded to American claims that the Soviet initiatives were merely "propaganda" by demonstrating an intuitive awareness of the logic of GRIT:

If all that we are doing is indeed viewed as mere propaganda, why not respond to it according to the principle of "an eye for an eye, and a tooth for a tooth"? We have stopped nuclear explosions. Then you Americans could take revenge by doing likewise. You could deal us another propaganda blow, say, by suspending the development of one of your strategic missiles. And we would respond with the same kind of "propaganda." And so forth and so on. Would anyone be harmed by competition in such propaganda? (Time, September 9, 1985, p. 23).

GRIT can be criticized for being too soft ("surrender on the installment plan") or as too tough (insufficiently sensitive to the psychological obstacles to resolving protracted and bitter conflicts). In the spirit of toughening GRIT, some researchers have argued that a combination of TFT and GRIT is the best strategy of conflict management in many contexts (Downs, 1991). Initial use of a TFT strategy would demonstrate one's willingness to endure a painful stalemate. Conciliatory offers could then be extended with a diminished fear that they will be interpreted as a sign of weakness (Snyder and Diesing, 1977). Others, however, argue that early competitiveness can too easily escalate into all-out war or poison the atmosphere so that later conciliatory initiatives will be ignored or discounted (Kelman & Bloom, 1973; Kriesberg & Thorson, 1991). Indeed, the now extensive literature on conflict resolution workshops suggests that, in emotionally and politically polarized disputes with long histories of violence (northern Ireland, Cypus, Israelis-Palestinians,... ) even GRIT is too insensitive to the difficulties of breaking down psychological barriers to peace (Azar, 1990; Burton, 1987; Fisher, 1990; Kelman, 1993; Rouhana & Kelman, 1994). It may be necessary to bring high-ranking disputants together in nonofficial workshops in which they are encouraged to understand each other’s needs and to engage in joint problem-solving exercises that gradually build up trust as each side acquires the ability to state the other’s position to the other’s satisfaction and acquires the willingness to consider and even generate integrative proposals that concede some legitimacy to the other’s concerns (Kelman & Cohen, 1976). Third-party mediation can also prove helpful in encouraging disputants: (a) to see the conflict as a disinterested but thoughtful and fair observer might; (b) to consider compromise packages that they would have categorically rejected if simply proposed by the adversary (Rubin, 1981). But the moderators of mediational success appear to be numerous and subtle, including the "ripeness" of the conflict (the parties perceive a mutually debilitating stalemate to exist), the types of issues (the conflict does not focus on territory or rights that the parties endow with sacred or transcendental significance) and the perceived impartiality of the mediator and of the mediation process (Kleiboer, 1996; Vasquez, 1993; Zartman & Touval, 1985).

Evaluating the efficacy of both workshop and third-party interventions raises unsolved methodological issues (from selection biases to the counterfactual vagaries of inferring what would have happened absent any intervention). And all of these approaches assume that there is hidden integrative potential and that both sides can be induced to prefer "jawing" to "warring" -- assumptions that do not hold when one side has so completely dehumanized the other that a dialogue of equals is impossible (e.g., Nazi attitudes toward Jews; Khymer Rouge attitudes toward class enemies).

(iii) The Nixon-Kissinger strategy of detente. Shifting from unofficial to official diplomacy, some scholars argue that the Nixon-Kissinger policies of detente in the early 1970s constituted a carefully crafted mixed-influence strategy, albeit with more emphasis on deterrence that in either GRIT or TFT (George, 1983). In this view, Nixon and Kissinger sought to shift the superpower relationship from “confrontational competition” to “collaborative competition” in which the United States and Soviet Union would both show restraint in the Third World and in weapons programs. The American strategy relied on both carrots (enhanced trade and credits, reduced military competition, and access to advanced technology) and sticks (a renewed arms race that would strain the Soviet economy and a suspension of trade that would deny access to American goods). For reasons still vigorously debated, the Nixon-Kissinger policy failed, competition in the Third World heated up, and arms control sputtered and eventually stalled with the SALT II treaty (Gaddis, 1982). Some suggest that the Nixon-Kissinger policy was ill-conceived, poorly implemented, or undermined by Congressional opponents who insisted on linking improved relations to human rights issues. Others blame the Soviet Union for exploiting détente by intervening in Angola, Ethiopia, and Afghanistan. As usual, we discover conflicting policy postmortems, each resting on distinctive counterfactual claims and each linked to different assessments of the adversary.

D. Reprise

Research on social influence points to a number of policy-relevant conclusions. At a minimum, the findings demonstrate that the simplistic remedies for complex conflicts are untenable. An exclusive emphasis on threats can provoke otherwise avoidable conflicts (Leng, 1993); so can calls for unilateral disarmament, albeit via a different mechanism -- by tempting aggressors. Encouraging, though, is the multi-method convergence suggesting that in many situations a firm-but-fair reciprocating bargaining strategy works reasonably well by both protecting vital interests and preventing conflicts from getting out of control. On a more pessimistic note, current findings are incomplete and poorly integrated. Although we know more than we once did about when alternative strategies are likely to be successful, our contingent generalizations are still crude (George, 1993). The more specific the policy question -- for example, will economic sanctions work against this adversary in this time frame? -- the more equivocal the answer we can justifiably derive from the literature. There remains a yawning gap between the idiographic and nomothetic -- the particular concerns of the policy community and the theoretical abstractions of academia.


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