Foreword by George P. Shultz

At the dawn of the nuclear age, Albert Einstein remarked, "Everything has changed but our way of thinking." 

He was right for a time, but the devastating consequences of the use of a nuclear weapon did create a pattern of thinking that, with whatever flaws, served us well for
half a century or so. Containment through deterrent capability worked. But the Cold War powers also realized that prevention was essential and that energetic efforts should
be made to arrest the proliferation of nuclear weapons. I well remember preparations for my first meeting as secretary of state with Soviet foreign minister Gromyko in September 1982. I had assumed office in July. The temperature of the Cold War was frigid, the atmosphere confrontational, and I was counseled to act accordingly. I said,
"OK, but there must be something we can do to identify a mutual interest."

There were to be two meetings, held about a week apart. I got the president's authorization to suggest, at the end of the first meeting, a few topics on which we might
try to work collaboratively. Nuclear nonproliferation was one of them. Toward the end of the second meeting, Gromyko replied to my suggestions, expressing a willingness
to make open and joint efforts to avoid the proliferation of nuclear weapons. So, even at the height of the Cold War, we were hard at work on our way of thinking.

The subject took high priority on Ronald Reagan's agenda. He thought that "mutual assured destruction" was not only MAD but also was an essentially immoral way to keep the peace. He said repeatedly, "A nuclear war cannot be won and must never be fought." His aim was to abolish nuclear weapons. However elusive that goal may have been, he did start the ball rolling toward reduction in the Soviet and U.S. arsenals. But he worried, prophetically, about rogue states obtaining even one of these awesome weapons. 

Clearly, the end of the Cold War has drastically reduced the threat of nuclear holocaust. But the world remains a dangerous place in different ways. In a world of terrorist threats and rogues that call themselves states yet behave outside the bounds of civilized norms, we are once again called upon to examine our concepts. That is what this
book is about, and no intellectual task is more urgent or more relevant to current operational issues.

Sid Drell and Jim Goodby have between them vast experience in the area of nuclear weapons and have long been active voices in the nuclear debate. In this volume, they put their key recommendations right up front, in their introduction. That is appropriate. The reader knows at the outset where the authors are going. All of their conclusions have deep merit and the weight of careful argument and factual development. Some will be the subject of debate. That debate, in turn, is one of the important purposes of this book.

Having had the privilege of reading this work in earlier manuscript form and discussing its subject at length with the authors, I value this book because of its essence: the careful development of a framework for thinking about nuclear weapons in times punctuated by terrorist threats. 

All the elements are here: a relevant history, including an illuminating chart on page 6 on the time pattern of state acquisition of nuclear weapons; a virtual inventory of pre-
ventive actions; a searching examination of the circumstances when preemptive military action may be necessary; the problems of intelligence and monitoring; a new look at ballistic missile defenses; the importance of the U.S. example (as in testing); and ideas about what Russia and the United States can do with their special responsibilities. The authors develop the necessary interplay of strength and diplomacy as they address current problems. Work your way through the issues that are presented in settings in various countries. You will find, as I have, that the analytic framework will help you develop your own ideas of how to address critical problems.

Now is a time that cries out for new concepts, often using old principles, about how the world works. If he were still around, Einstein might well be challenging us once again to examine "our way of thinking." And in doing so, he would surely find in Drell and Goodby worthy partners as they address the gravest danger.

George P. Shultz September 2003

Table of Contents

Preface

Acknowledgments

Introduction: The Nuclear Danger

Chapter I: From the Past to the Present

Chapter II: Looking Forward

Chapter III: Denial Policies

Chapter IV: Defining Diplomacy's Task

Chapter V: Achieving Rollback: The Instruments of Diplomacy

Chapter VI: Applying Recommended Policies to Specific Cases

Chapter VII: Conclusion

About the Authors

Fifty years ago this month, President Dwight D. Eisenhower gave his "Atoms for Peace" address to the UN General Assembly. He proposed to share nuclear materials and information for peaceful purposes with other countries through a new international agency. That speech led to negotiations which, several years later, created the International Atomic Energy Agency (IAEA). In the nuclear Non-Proliferation Treaty (NPT) of 1968, the IAEA gained authority for policing the nuclear activities of member countries to ensure that those without nuclear weapons did not acquire them. The worldwide treaty bans all members except the United Kingdom, China, France, Russia, and the United States from having nuclear weapons and commits those five states to eventually eliminating their atomic arsenals. The treaty provides the norm and the foundation for an international regime to prevent the spread of nuclear weapons around the world. Yet, many believe that the NPT regime is battered and in need of strengthening. Given the more difficult nonproliferation and security challenges of today, it is vital that U.S. leadership be used to strengthen, not to weaken or abandon, the nuclear nonproliferation regime.

On June 20 and 21, 2003, the Center for International Security and Cooperation (CISAC) at Stanford University hosted a workshop on intelligence problems facing the United States in the areas of terrorism and nuclear proliferation. The workshop, which brought together approximately 75 scholars, intelligence and policy practitioners, and scientists, was co-sponsored by the U.S. Army as part of the Eisenhower National Security Series.

The history of the October 1969 alert demonstrates that even in this high-politics arena of nuclear diplomacy, presidential orders were actively fought against, sometimes manipulated or ignored, and often honored only in part. Other orders were interpreted and implemented in a more vigorous manner that best suited the organizational interests of the military commanders doing the interpretation. The result was that many important details of the military activities undertaken in October 1969 reflected the operational interests of the military commanders and the goals of lower-level bureaucratic actors as much as the strategic objectives of the president. In this important sense, the nuclear alert was loosely coupled to the president´s orders.

Proponents of a new generation of low-yield nuclear earth-penetrating weapons (EPWs), such as modified versions of the B61-11 currently in the US stockpile, claim that such weapons could be used against deeply buried and hardened underground bunkers with "minimal collateral damage." Even a very low-yield nuclear EPW exploded in or near an urban environment will, however, cause radioactive dirt and debris and other radioactive material to fall out over several square kilometers. A nuclear EPW with a yield less than one-tenth of that of the nuclear weapon used on Hiroshima or Nagasaki could result in fatal doses of radiation to tens of thousands of victims. Biological and chemical agents stored in targeted bunkers may be dispersed into the atmosphere without being destroyed by an EPW, potentially injuring or killing unprotected civilians. The number of casualties from a nuclear EPW attack would depend on the location of the target, the density of the surrounding population, the extent of debris dispersal, and the possibility of escape or evacuation. In addition to the acute and long-term medical consequences, use of nuclear weapons would weaken existing restraints against further proliferation or use of nuclear weapons and would cross a threshold that has been maintained since 1945, when the United States detonated the first nuclear weapons over Hiroshima and Nagasaki.

What is the impact of the events of September 11 and the subsequent "war on terrorism" on nuclear issues? The "war on terrorism" is a handy political moniker for what the United States must learn to do in response to changes that have actually been taking place over several years. Some of the US responses to date have been wise. Some need a new look. Perhaps most important, in some areas, the United States and other countries have not responded and may be at a loss to respond, given the constraints on their policies. Some of these lacking responses provide the most important items on the post September 11 security agenda. In what follows, I will give one view of what these are and what to do about them.

I begin with nuclear terrorism, particularly the possibility of using nuclear weapons for terrorist purposes. The next section addresses the related issue of nuclear proliferation to state and non-state actors. The events of September 11 have given a new twist to that issue. There is a relationship between the possibility of nuclear weapons getting into terrorists' hands and the problems in Iraq, South and Central Asia, and North Korea. The following sections deals with an item that is no longer high on the US political agenda but which is tied to proliferation and terrorism and has a greater long-range potential for causing trouble, the incipient nuclear rivalries around the world. In closing, I suggest some elements of a desirable nuclear posture to deal with some of the problems outlined.

Since the Bush administration took office, and especially since excerpts of the Nuclear Posture Review were released, there have appeared in America some heated arguments about the Bush administration's changes to the Clinton administration's nuclear strategy, what consequences these changes would produce, and what influences they would exert on international and regional security. Different people have different views. The purpose of this working paper is to find solutions to these key issues. The effects of the Bush administration's nuclear strategy on China's security are also discussed.

The main viewpoint of the working paper is that the Bush administration has made the most fundamental adjustments to America's nuclear strategy since the end of the Cold War. These adjustments greatly modify U.S. nuclear deterrent strategy, the country's policy on using nuclear weapons, the triad of deterrent forces structure, and nuclear arms control policy. The new nuclear strategy would upset a balance of forces and stability regionally and around the globe. Moreover, the United States is shifting the focus of military strategy from Europe to Asia. This would exert significant influences on Asian-Pacific regional security and China's security.