Security

FSI scholars produce research aimed at creating a safer world and examing the consequences of security policies on institutions and society. They look at longstanding issues including nuclear nonproliferation and the conflicts between countries like North and South Korea. But their research also examines new and emerging areas that transcend traditional borders – the drug war in Mexico and expanding terrorism networks. FSI researchers look at the changing methods of warfare with a focus on biosecurity and nuclear risk. They tackle cybersecurity with an eye toward privacy concerns and explore the implications of new actors like hackers.

Along with the changing face of conflict, terrorism and crime, FSI researchers study food security. They tackle the global problems of hunger, poverty and environmental degradation by generating knowledge and policy-relevant solutions. 

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As Russia’s military faltered and lost ground in its conventional war against Ukraine, concern grew in the West that Vladimir Putin might resort to nuclear weapons.  The Kremlin, however, has real reasons not to cross the nuclear threshold, and its hints of nuclear use have not brought Kyiv’s capitulation or an end to Western support for Ukraine any closer.  In recent weeks, Moscow has seemed to deescalate the nuclear rhetoric.

Russia’s military campaign in Donbas stalled over the summer, and Ukrainian counteroffensives in the Kharkiv and Kherson regions subsequently have liberated substantial tracts of territory.  As the Ukrainian army pressed forward, the Kremlin began to grow desperate, with Putin ordering mobilization of 300,000 men.  Many in the West began to fear that the Russian leader, facing an increasingly difficult situation, might play the nuclear card against Ukraine.

Putin set the stage for this early on. In February, just three days after the Russian army invaded Ukraine from the north, south and east, he ordered a “special combat readiness” for Russian nuclear forces.  In September, the situation deteriorated for Russia, and Putin set in motion his desired annexation of four Ukrainian oblasts (regions), none of which his military fully controlled.  His language, and that of other Russian officials, hinted at nuclear use.

Announcing the mobilization on September 21, Putin stated “In the event of a threat to the territorial integrity to our country and to defend Russia and our people, we will certainly make use of all weapon systems available to us.  This is not a bluff.”  Many observers read “all weapons systems” as including nuclear arms.  Russian Security Council Deputy Chairman Dmitry Medvedev on September 27 said that it certainly “was not a bluff” and went on to “imagine” a Russian nuclear strike on Ukraine.

In a September 30 speech, Putin proclaimed Ukraine’s Luhansk, Donetsk, Zaporizhzhia and Kherson oblasts to be part of Russia and asserted “We will defend our land with all the forces and resources we have.”  In case anyone missed the point, he cited the U.S. nuclear attacks on Hiroshima and Nagasaki in 1945 as having set a “precedent.”

Those remarks got attention.  On October 7, President Joe Biden commented in a private setting that he saw a direct threat of nuclear use for the first time since the Cuban missile crisis in 1962.  Shortly thereafter, Secretary of Defense Lloyd Austin and Chairman of the Joint Chiefs of Staff Mark Milley had conversations with their Russian counterparts.

The Kremlin may want Ukraine and the West to believe that Russia is prepared to escalate to the nuclear level, but it does not want a nuclear war.  Moscow has real reasons not to cross the nuclear threshold.

First, Ukraine does not mass its forces in a way that would create a tempting target for nuclear attack.  More importantly, a nuclear strike is unlikely to achieve the political objective of intimidating Kyiv into capitulation.  The Ukrainians understand all too well what Russian occupation means.  For them, this is an existential fight, and nothing suggests that the Russian threats have undercut their resolve.

Second, the same is true for the resolve of Ukraine’s Western supporters.  The flow of arms and other support for Ukraine continues, and Western officials have pushed back on the nuclear question.  Meeting on November 4, G7 foreign ministers stated “Russia’s irresponsible nuclear rhetoric is unacceptable.  Any use of chemical, biological or nuclear weapons by Russia would be met with severe consequences.”  That echoed the message following Biden’s October 7 phone conversation with German Chancellor Olaf Scholz that consequences would be “extremely serious” and NATO Secretary General Jens Stoltenberg’s October 13 warning that Moscow not cross the “very important [nuclear] line.”  Russian officials—the senior military leadership, in particular—likely understand that, if they open the nuclear Pandora’s Box, no one can tell what would happen.

Third, Russian officials have to consider the reaction of other countries.  Putin’s close friend President Xi Jinping of China has been very clear in recent meetings.  Xi and Scholz on November 4 “rejected” the threat of nuclear weapons, and Xi and Biden on November 14 condemned Moscow’s nuclear threats.  The G20 leaders’ declaration issued on November 16 said “The use or threat of use of nuclear weapons is inadmissible.”  Given his isolation from the West, Putin can hardly afford to alienate Xi or other countries in the Global South.  Few would like the precedent of Russia, a nuclear state, using nuclear arms against a smaller, non-nuclear neighbor after its conventional aggression had failed.

There are indications the Kremlin understands that it has overplayed its hand and in recent weeks has sought to tone down the nuclear rhetoric.

Speaking to the Valdai Discussion Club on October 27, Putin raised the question “that Russia might theoretically use nuclear weapons,” called “the current fuss” a “very primitive” attempt to turn countries against Moscow, and commented that “we have never said anything proactively about Russia potentially using nuclear weapons.”  While not exactly true, it was very different from the Russian leader’s September pronouncements.  A November 2 Russian Foreign Ministry statement said Russia is guided by the principle that “a nuclear war cannot be won and must never be fought,” reiterated commitment to the January 3, 2022 statement by the U.S., Russian, Chinese, British and French leaders on preventing a nuclear war, and noted that provocations with nuclear weapons could entail “catastrophic consequences.”

Chinese Foreign Minister Wang Yi reported that, in their November 16 meeting, Russian Foreign Minister Sergey Lavrov had stated that nuclear use was “impossible and inadmissible.”  Representing Russia at the G20 summit, Lavrov agreed to the leaders’ declaration that included the language about the inadmissibility of the use or threat of use of nuclear arms.

Russian officials have backed away from the nuclear hints and threats of September and sought to tone down the rhetoric.  This does not mean they might not reemerge, but it does suggest that the Kremlin understands that the use of nuclear weapons would have significant consequences for Russia, and that its nuclear threats failed to achieve their desired political objectives while proving counterproductive for Russia’s image abroad.

* * * * *

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As Russia’s military faltered and lost ground in its conventional war against Ukraine, concern grew in the West that Vladimir Putin might resort to nuclear weapons.

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Co-sponsored with Stanford University Libraries

About the Event: Join us for an engaging conversation with the Ambassador of Estonia to the U.S. Kristjan Prikk, Rose Gottemoeller, and Steven Pifer, who will discuss Russia's war in Ukraine - what's at stake and what we should do about it.
Russia's unprovoked war against Ukraine has brought about the most serious reassessment of the European security realities since the end of the Cold War. The epic clash of political wills, the magnitude of military operations, and the scale of atrocities against the Ukrainian people are beyond anything Europe has seen since World War II. The past nine months have forced many to reassess what is possible and impossible in international security A.D. 2022. What is this war about, after all? What's at stake in this – to paraphrase former British PM Chamberlain – "quarrel in a faraway country, between people of whom most Americans know nothing?" What should be the lessons for U.S. strategists and policymakers? What are the wider implications for U.S. national security interests, particularly those related to the Indo-Pacific? How has the Alliance supported Ukraine since the war started? What should the end of this war look like and how to get there?

All these questions are relevant and should be carefully weighed with current information from the war as well as historic perspective and regional knowledge in mind.

About the Speakers: 

Estonia's Ambassador to the U.S. Mr. Kristjan Prikk started his mission in Washington, D.C. in May 2021. He is a graduate of the USA Army War College and has served as the National Security Coordinator to the Prime Minister. Prior to arriving in D.C., he was the Permanent Secretary of the Estonian Ministry of Defense. Among his previous assignments are two other tours in Washington as an Estonian diplomat and work on NATO-Russia and NATO-Ukraine topics at a time when these relationships were considerably less charged than today.

Rose Gottemoeller is the Steven C. Házy Lecturer at Stanford University's Freeman Spogli Institute for International Studies and its Center for International Security and Cooperation. Before joining Stanford, Gottemoeller was the Deputy Secretary General of NATO from 2016 to 2019, where she helped to drive forward NATO's adaptation to new security challenges in Europe and in the fight against terrorism.  Prior to NATO, she served for nearly five years as the Under Secretary for Arms Control and International Security at the U.S. Department of State, advising the Secretary of State on arms control, nonproliferation and political-military affairs. 

Steven Pifer is an affiliate of the Center for International Security and Cooperation as well as a non-resident senior fellow with the Brookings Institution. He was a William J. Perry Fellow at the center from 2018-2022 and a fellow at the Robert Bosch Academy in Berlin from January-May 2021. Pifer's research focuses on nuclear arms control, Ukraine, Russia, and European security. A retired Foreign Service officer, Pifer's more than 25 years with the State Department focused on U.S. relations with the former Soviet Union and Europe, as well as arms control and security issues, and included service as the third US ambassador to Ukraine.

 All CISAC events are scheduled using the Pacific Time Zone.

Green Library, East Wing 

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Rose Gottemoeller
Steven Pifer
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US defense strategy has long been predicated on the view that military activities, maneuvers, and deployments are credible conveyers of information to both adversaries and partners about US willingness to fight in specific circumstances. Brian Blankenship and Erik Lin-Greenberg’s article, “Trivial Tripwires? Military Capabilities and Alliance Reassurance,” makes an important contribution by demonstrating that not all military activities are created equal when it comes to reassuring allies and partners. Blankenship and Lin-Greenberg rightfully capture reassurance as a product of resolve and capability—thus a “reassuring” state can provide differing acts of reassurance depending on the degree of resolve it wishes to demonstrate and the capabilities it possesses. The authors evaluate four types of reassurance, which vary according to their strength of signaling resolve and capability: (1) tripwires; (2) fighting forces; (3) transient demonstrations; and (4) offshore presences. Relying largely on surveys of defense experts in the Baltics and Central Europe, they argue that a commitment of fighting forces—such as a permanent overseas base or a large in-country ground deployment—makes countries feel safest.

The big question that comes to mind is whether these findings are valid in other theaters, such as the Indo-Pacific. The rise of China presents the greatest challenge to the security and interests of the United States and its allies since the Cold War. As China’s military capabilities have grown, so too has its aggressiveness in pushing territorial issues in the South China Sea, East China Sea, along the Sino-Indian border, and regarding Taiwan. In response, the United States has undertaken numerous military efforts designed to enhance deterrence and reassure allies, including freedom-of-navigation operations (FONOPS), a continuous presence of strategic bombers at Andersen Air Force Base in Guam, and an expanded Marine Air Ground Task Force deployed to Darwin, Australia. America’s behavior reflects an ingrained conventional wisdom: increased military presence and activities will signal US resolve, thereby will enhancing deterrence against an adversary and reassuring allies.

Whether these policy decisions in Asia will indeed contribute to a peaceful and stable Asia directly concern the central claims made in Blankenship and Lin-Greenberg’s study. In this response, Mastro argues that although their research is a step in the right direction, their conclusions do not tell us much about how the United States can reassure Asian allies and partners. Indeed, the article is one more example of the broader problematic tendency to overly rely on Europe to build understanding in the security-studies field.

Mastro makes three main points in this response. First, whether a force deployment serves as a tripwire depends on the risk to forces, not the number of forces deployed (as Blankenship and Lin-Greenberg argue). Second, how capable a country’s deployment is cannot be evaluated in isolation; the enemy’s military capabilities greatly determine the relative capabilities of different posture decisions. Third, Blankenship and Lin-Greenberg’s assumption that transient military operations are low risk (and thus signal lower resolve) is not valid in the Asian theater.

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In October 2022, the Chinese Communist Party elected Xi Jinping for a third term as general secretary, setting Xi on a path to be the longest-serving leader since Mao Zedong’s rule ended in 1976.

The extension of Xi’s rule carries significant implications not only for China, but for the broader Indo-Pacific region and global geopolitical order. No country is more aware of this than Taiwan, which has carefully walked the line between its own autonomy and Beijing’s desire for reunification since the 1940s.

After a summer of rising tensions, many experts believe that Beijing’s timeline for an attempt at reunification is much shorter than conventional thinking has assumed. On the World Class podcast, Michael McFaul, director of the Freeman Spogli Institute for International Studies, discusses the prognosis for Taiwan with Oriana Skylar Mastro, an expert on the Chinese military and security, and Larry Diamond, a scholar of China’s sharp power and the role of Taiwan in the Indo-Pacific region.

Listen to the full episode and read highlights from their conversation below.

Click the link for a full transcript of “What We Need To Talk About When We Talk About Taiwan.“

The Likelihood of Invasion


In stark terms, Oriana Skylar Mastro, a center fellow at the Freeman Spogli Institute for International Studies, believes there’s a 100% chance China will use some sort of force against Taiwan in the next five years. For the last twenty years, China has been making concerted efforts to modernize its military and increase its capabilities not only to assert force against Taiwan, but to deter intervention from the United States.

In the majority of scenarios, the United States wins in a conflict with China over Taiwan. But the United States also carries a distinct geographic disadvantage. The distance across the Taiwan Strait between the island and mainland China is approximately 100 miles, which is roughly the distance between Richmond, Virginia and Washington D.C. If China moves quickly, PRC forces could take Taiwan before U.S. forces have time to move into position.

When considering possible outcomes in Taiwan, it is equally important to consider the motivations driving Beijing’s ambitions. The leadership on the mainland has been planning and thinking about how to retake Taiwan since 1949. With the modernized capabilities coming online, the balance of power has shifted in China’s military favor, and the cost-benefit calculus favors Beijing’s ambitions. The long-term planning stage is now reaching its end, and the prospects of direct action are increasing.

The clock is ticking. The problem is we don’t know how fast it’s ticking. But we need to move faster than we're moving.
Larry Diamond
Mosbacher Senior Fellow in Global Democracy at FSI

The View from Taipei


Political leaders in Taiwan recognize the growing danger they face across the Strait. In Larry Diamond’s assessment, the end of Hong Kong's autonomy and the suppression of the “one country, two systems” model, the rising military incursions into Taiwan's air defense identification zone and coastal waters, and the whole rising pace of Chinese military intimidation has sobered Taiwan and visibly impacted Taiwanese public opinion.

Concerningly though, while the political elite recognize the real and present danger of the situation, polling of the general Taiwan public suggests that the vast majority of citizens still feel like an attack or an invasion by China is unlikely. Similar majorities suggest that they would be willing to fight in Taiwan’s defense, but volunteering for military service remains at a minimum.

To maximize safety, Taiwan needs to find ways to strengthen itself in its ability to defend, resist, and deter China, while still avoiding any appearance of moving toward permanent independence or any other action that could be deemed by Beijing as a provocation, says Diamond.

There are things that can completely change Beijing's calculus, but it takes a lot of work, and I just don't see us doing the work yet.
Oriana Skylar Mastro
FSI Center Fellow

What the United States Can Do


When it comes to the defense of Taiwan, the strategic crutch hobbling the United States is geography. Most of the U.S. Pacific forces are not in Asia. The majority are in Hawaii and California, as well as a few bases and airfields in Japan. To be able to effectively deter China, the U.S. needs far greater forward deployed military capability in order to be able to either stop or stall the movement of Chinese troops into Taiwan, says Mastro.

Taiwan needs greater onshore military deterrence capabilities as well. One such strategy is the “porcupine approach,” which increases the number of smaller mobile lethal weapons. By Larry Diamond’s assessment, increased citizen participation in military training is also crucial, with an emphasis on weapons training and urban defense tactics. The U.S. could support these aims by overhauling the current system for weapons procurement to speed up the production and delivery of weapons systems not just for Taiwan, but to the benefit of U.S. defense and other contingencies as well. Working with leadership to create strategic stockpiles of food, and energy should also be a priority, says Diamond.

The U.S. also needs to put much more effort into its diplomatic efforts on behalf of Taiwan. Many U.S. allies and partners are reluctant to ostracize China because of economic ties and concerns over sparking their own conflict with China in the future. A key ally in all of this is Japan. If Japan fights with the United States on behalf of Taiwan, it is a guaranteed win and enough to effectively deter China. But much more needs to be done much more quickly in order to secure those guarantees and present them in a convincing way to Beijing.

“The clock is ticking,” Larry Diamond says. “And the problem is we don’t know how fast it’s ticking. “Taiwan is moving in the right direction. But we need to move faster than we're moving.”

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A Taiwanese F-5 fighter jet is seen after taking off from Chihhang Air Base on August 06, 2022 in Taitung, Taiwan.
Commentary

China’s Huge Exercises Around Taiwan Were a Rehearsal, Not a Signal, Says Oriana Skylar Mastro

Nancy Pelosi’s visit was more pretext than provocation.
China’s Huge Exercises Around Taiwan Were a Rehearsal, Not a Signal, Says Oriana Skylar Mastro
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Larry Diamond and Oriana Skylar Mastro join Michael McFaul on the World Class podcast to discuss China’s ambitions against Taiwan, and how the U.S. and its allies can deter Beijing.

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On 24 October, 30 members of the House Democratic Progressive Caucus released a letter to President Biden calling for a “proactive diplomatic push” on Kyiv to work toward a ceasefire and “direct [US] engagement” with Moscow to end the Russia-Ukraine war. One week earlier, Republican House leader Kevin McCarthy’s no “blank check” for Ukraine comment raised questions about future congressional support for US assistance to that embattled country.

The letter, even though it has now been withdrawn, and McCarthy’s comment are unfortunate. Vladimir Putin will take encouragement from both as Russia wages its war. The suggestion of cracks in US backing for Ukraine will increase his incentives to continue fighting.

Continue reading at theguardian.com

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Kevin McCarthy’s warning of no ‘blank check’ and progressive Democrats’ premature call for negotiations were unfortunate

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Arzan Tarapore is the co-editor of the Asia Policy roundtable 'Minilateral Deterrence in the Indo-Pacific' and the co-author of its introductory essay, "Minilaterals and Deterrence: A Critical New Nexus." Oriana Skylar Mastro is the author of the first essay in the roundtable, "Deterrence in the Indo-Pacific." Excerpts from both essays are included below.


Excerpt from "Minilaterals and Deterrence: A Critical New Nexus," by Arzan Tarapore and Brendan Taylor:

As countries around the Indo-Pacific strive to manage the challenges of China’s growing power and assertiveness, they have emphasized two concepts. First, they have increasingly embraced “minilateral” groupings—small, issue-based, informal, and uninstitutionalized partnerships — as a way of coordinating international policy action.

Second, the United States and its allies, such as Australia and Japan, have renewed their commitment to deterrence to maintain regional stability. Rather than relying on institutions to deepen regional integration, which was their preferred option after the end of the Cold War, they are designing defense policies to dissuade potential adversaries, especially China, from revisionist behavior.

The Cold War produced a distinguished body of scholarship addressing the concept of deterrence.3 There is also a burgeoning literature on minilateral security cooperation in the Indo-Pacific.4 Yet little, if any, work has thus far addressed the potential convergence between these two increasingly dominant trends in the region’s security politics. By bringing together six leading security experts to explore the nexus between deterrence and minilateralism, this roundtable constitutes a first attempt to fill this gap. 


Excerpt from "Deterrence in the Indo-Pacific," by Oriana Skylar Mastro:

As China’s military might and tendency toward regional aggression grow, the United States and its allies are increasingly concerned with deterrence. Their strategies seek to prevent Beijing from disrupting the rules-based order in the Indo-Pacific by, for example, invading Taiwan or conducting gray-zone operations in the South China Sea.

Yet deterring China with minilateral groupings of states is more complex and difficult than traditional deterrence theory might suggest. This essay lays out some of the unique characteristics of the China challenge before considering how minilaterals can best enhance deterrence in these circumstances. 

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An Asia Policy roundtable co-edited by Arzan Tarapore, including an essay by Oriana Skylar Mastro.

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Oriana Skylar Mastro
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About the Event: A panel discussion convened in partnership with the Institute for Nonviolence and Social Justice, University of San Francisco, the Center for International Security and Cooperation, Stanford University, and the World House Project, Center for Democracy, Development and Rule of Law, Stanford University.

About the Speakers:

Scott D. Sagan is the Caroline S.G. Munro Professor of Political Science, the Mimi and Peter Haas University Fellow in Undergraduate Education, and Senior Fellow at the Center for International Security and Cooperation and the Freeman Spogli Institute at Stanford University. He also serves as Chairman of the American Academy of Arts and Sciences’ Committee on International Security Studies. Before joining the Stanford faculty, Sagan was a lecturer in the Department of Government at Harvard University and served as special assistant to the director of the Organization of the Joint Chiefs of Staff in the Pentagon.

Clayborne Carson, the Martin Luther King, Jr., Centennial Professor of History, emeritus, at Stanford University, has devoted his professional life to the study of Martin Luther King, Jr., and the human rights movements inspired by King, Mohandas K. Gandhi, and other visionaries. His award-winning first book, In Struggle: SNCC and the Black Awakening of the 1960s, was published in 1981 and remains the definitive study of the courageous activists and organizers who challenged the strongholds of segregation. In 1985, Mrs. Coretta Scott King chose Dr. Carson to edit and publish a definitive, multi-volume edition of her late husband’s speeches, sermons, correspondence, publications, and unpublished writings. In addition to publishing numerous other books and scholarly articles, Carson has also reached broader audiences as a senior advisor to the Eyes on the Prize series and his contributions to more than two dozen subsequent documentaries. After launching the online Liberation Curriculum for K-12 students, Carson founded Stanford's Martin Luther King, Jr., Research and Education Institute in 2005 to disseminate King-related educational resources to a global audience. After retiring as the King Institute’s Director, Carson has continued his online educational efforts by establishing The World House Project to collaborate with other human rights advocates to realize King's vision of a global community in which all people can "learn somehow to live with each other in peace.”

Rose Gottemoeller is the Steven C. Házy Lecturer at Stanford University's Freeman Spogli Institute for International Studies and its Center for International Security and Cooperation. Before joining Stanford Gottemoeller was the Deputy Secretary General of NATO from 2016 to 2019, where she helped to drive forward NATO’s adaptation to new security challenges in Europe and in the fight against terrorism.  Prior to NATO, she served for nearly five years as the Under Secretary for Arms Control and International Security at the U.S. Department of State, advising the Secretary of State on arms control, nonproliferation and political-military affairs. While Assistant Secretary of State for Arms Control, Verification and Compliance in 2009 and 2010, she was the chief U.S. negotiator of the New Strategic Arms Reduction Treaty (New START) with the Russian Federation.

David Holloway is the Raymond A. Spruance Professor of International History, a professor of political science, and an FSI senior fellow. He was co-director of CISAC from 1991 to 1997, and director of FSI from 1998 to 2003. His research focuses on the international history of nuclear weapons, on science and technology in the Soviet Union, and on the relationship between international history and international relations theory. His book Stalin and the Bomb: The Soviet Union and Atomic Energy, 1939-1956 (Yale University Press, 1994) was chosen by the New York Times Book Review as one of the 11 best books of 1994, and it won the Vucinich and Shulman prizes of the American Association for the Advancement of Slavic Studies. It has been translated into seven languages, most recently into Chinese. The Chinese translation is due to be published later in 2018. Holloway also wrote The Soviet Union and the Arms Race (1983) and co-authored The Reagan Strategic Defense Initiative: Technical, Political and Arms Control Assessment (1984). He has contributed to the Bulletin of the Atomic Scientists, Foreign Affairs, and other scholarly journals.

 All CISAC events are scheduled using the Pacific Time Zone.

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Scott Sagan Stanford Center for International Security and Cooperation
Clayborne Carson Stanford Department of History
Rose Gottemoeller Stanford Center for International Security and Cooperation
David Holloway Stanford Center for International Security and Cooperation
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Following Russian President Vladimir Putin’s bogus September 30 annexation of four partially-occupied Ukrainian regions, Ukrainian President Volodymyr Zelenskyy officially applied for fast-track NATO membership. The Ukrainian leader’s desire is understandable, but his timing is questionable. Zelenskyy should instead continue to press NATO members to provide Ukraine with the weapons it needs to defeat Russia’s invasion, while also seeking firm commitments to help Ukraine build a modern military capable of deterring a future Russian attack.

On September 23-27, Russia conducted sham referendums on joining Russia in the Luhansk, Donetsk, Zaporizhzhia and Kherson oblasts of Ukraine. These fake votes were illegal according to international law. No credible observers viewed the voting or counting process, while anecdotal reports indicated numerous instances of people forced to vote at gunpoint.

At a September 30 Kremlin ceremony, Putin signed agreements incorporating the four regions into Russia. He asserted that Russia would “defend our land with all the forces and resources we have.” However, Russia does not even control all of the territory it claims to be annexing. Meanwhile, the Russian leader’s declaration has not stopped the Ukrainian military from pressing forward with counteroffensives in the Kherson, Donetsk and Luhansk regions.

While Ukrainian forces have surprised the world, and especially the Russian General Staff, with their capabilities and tenacity, Ukraine has paid a heavy price in terms of military and civilian losses.

Immediately following Putin’s signature of the incorporation agreements, Zelenskyy responded by stating that his country was seeking “accelerated accession” into NATO. This riposte again made clear that an earlier Ukrainian offer to accept neutrality was no longer on the table.

Zelenskyy’s rare misstep in appealing for fast-track NATO membership is understandable. His country has doggedly fought the Russians for nearly eight months. While Ukrainian forces have surprised the world, and especially the Russian General Staff, with their capabilities and tenacity, Ukraine has paid a heavy price in terms of military and civilian losses.

Ukrainians believe their fight has earned them the right to membership in the alliance. They see their forces defending not just Ukraine but also NATO members from a revanchist Kremlin that aims to overturn the post-Cold War order in Europe and whose ambitions extend beyond Ukraine.

However, it is often prudent in diplomacy to know the answer before asking the question, particularly before making a public ask. Kyiv cannot be happy with the responses to Zelenskyy’s September 30 appeal, but these responses should not have come as a surprise.

To be sure, on October 2, the leaders of nine Central and East European NATO members (the Czech Republic, Estonia, Latvia, Lithuania, North Macedonia, Montenegro, Poland, Romania, and Slovakia) issued a joint statement endorsing a membership path for Ukraine. Canada separately expressed support for Ukraine’s membership in the alliance.

That makes for only ten of NATO’s 30 members. The Bulgarian president declined to join the statement of his nine fellow regional leaders because he disagreed with the language on Ukraine’s membership in NATO. Others took a cautious approach. NATO Secretary General Jens Stoltenberg side-stepped the membership question, while US National Security Advisor Jake Sullivan said the membership process “should be taken up at a different time.” Many other NATO allies responded with silence.

Under NATO rules, approval for Ukrainian membership would require a consensus of all 30 members (32 once all current allies ratify the accessions of Finland and Sweden). The reality is that Ukraine does not currently have the votes it needs to get on a membership track.

The reason is clear. Article 5 of the NATO Treaty commits allies to treat an attack against one as an attack against all. If Ukraine, now under attack by Russia, became a member, other allies would be obligated to come to its defense, the assumption being with their own armed forces.

Many NATO countries are providing arms and other military assistance to help Ukraine defend itself against Russia. But they have drawn a red line against offering their forces for Ukraine’s defense and have made clear that they wish to avoid a direct NATO-Russia clash.

There is a logic to that. A Russian defeat against Ukraine would not be existential for Russia, although it certainly might not benefit Putin’s longevity in the Kremlin. However, were US and NATO military forces to enter the war on Ukraine’s behalf, that could well change how the conflict is viewed in Moscow, where many would regard US and NATO entry as aimed not just at defending Ukraine but at destroying Russia. They could then see the war as existential. Things could soon become unpredictable and very dicey.

Rather than seeking a NATO membership track that Kyiv cannot currently get, Zelenskyy should continue to focus on securing immediate help in the form of more arms and military assistance. This will be far easier for NATO allies to agree to provide. It took just a few months for military assistance for Ukraine to move from Javelin man-portable anti-armor weapons and Stinger shoulder-fired anti-aircraft missiles to Guided Multiple Launch Rocket Systems with a range of 50 miles and NASAMS short- and medium-range air defense systems.

NATO allies can and should provide more arms. ATACMS missiles with a range of some 200 miles come to mind. This should currently be Ukraine’s top priority. Moreover, this war will end at some point. Kyiv should consider what it will need to build a military capable of deterring a future Russian attack. Indeed, a modernized Ukrainian military would provide the country’s best security guarantee.

The Ukrainian shopping list could include weapons such as US M-1 and German Leopard main battle tanks, Western air defense missiles and aircraft, and perhaps US A-10 ground attack planes. While NATO membership for Ukraine would require a consensus decision by all alliance members, countries make decisions on providing arms and other military assistance to Ukraine on an individual basis. Many allies likely would prefer to commit to arming Ukraine than to taking on a commitment to defend the country.

After the war, Kyiv could still pursue the question of ultimate membership. NATO leaders at their July 2022 summit reiterated that the alliance’s open door policy remains in effect, including for Ukraine. In a post-war world, Kyiv might find that circumstances change sufficiently to make possible what is now not doable. For the present, however, Ukraine should concentrate on what it can get.

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Following Russian President Vladimir Putin’s bogus September 30 annexation of four partially-occupied Ukrainian regions, Ukrainian President Volodymyr Zelenskyy officially applied for fast-track NATO membership.

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Seminar Recording

About the Speaker: Professor Carter Malkasian is the Chair of the Defense Analysis Department at the Naval Postgraduate School.
 
He was the senior civilian advisor to the Chairman of the Joint Chiefs of Staff, General Joseph Dunford from 2015 to 2019. He has extensive experience working in conflict zones, especially Afghanistan and Iraq, and has published several books.
 
The highlight of his work in conflict zones was nearly two years in Garmser district, Helmand province, Afghanistan, as a State Department political officer from from 2009 to 2011. Before that, he was a civilian advisor to the I Marine Expeditionary Force in al-Anbar for one year in 2004–2005 and six months in 2006. He also worked Kunar in 2007 and Honduras in 2012; and was General Dunford’s senior advisor in Afghanistan from March 2013 to August 2014.
 
His newest book is The American War in Afghanistan: A History. The New York Times rated it as one of the top 100 books of 2021.
 
His 2013 book, War Comes to Garmser: Thirty Years of Conflict on the Afghan Frontier (Oxford University Press), won the 2014 silver medal for the Council on Foreign Relations’ Arthur Ross Book Award.
 
Other books include Illusions of Victory: The Anbar Awakening and the Islamic State, A History of Modern Wars of Attrition (2002), and The Korean War, 1950-1953.
 
He received his undergraduate degree from the University of California, Berkeley and completed his doctorate in history at Oxford University. He speaks Pashto.

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On September 30, 2022, Russian President Vladimir Putin signed agreements illegally incorporating the Ukrainian oblasts of Luhansk, Donetsk, Zaporizhzhia, and Kherson into Russia. He said Moscow would “defend our land with all the forces and resources we have.” He previously hinted this could include nuclear arms. Nuclear threats are no trivial matter, but Ukraine and the world should not be intimidated. The West should respond with political and military signals of its own.

BOGUS REFERENDA

The annexation of the four oblasts came 31 weeks after Putin’s disastrous decision to invade Ukraine and four days after Russian occupiers concluded so-called “referenda” on joining Russia. Those “referenda” were illegal under international law, had no credible independent observers, and, in some cases, required people to vote literally at gunpoint. No account was taken of the views of the millions of Ukrainian citizens who earlier had fled Russian occupation.

On that flimsy basis, Putin declared Luhansk, Donetsk, Zaporizhzhia, and Kherson to be parts of Russia, even though the Russian military does not control all those territories. Indeed, the Russian army finds itself on the defensive and retreating as Ukraine presses counter-attacks. Nevertheless, on October 3 and 4, Russia’s rubber-stamp legislative bodies, the Federal Assembly and Federal Council, each unanimously approved the annexations.

Putin’s territorial grab has two apparent motives. First, he seeks to divert domestic attention from the war’s costs (including tens of thousands of dead and wounded Russian soldiers), recent battlefield reverses and a chaotic mass mobilization. He wants to sell the Russian public on the idea that Russia has gained territory, so it must be winning.

Second, he hopes to dissuade Ukraine from continuing its counteroffensive and the West from supporting Kyiv. On September 30, Putin said the four Ukrainian oblasts would be Russian “forever” and would be defended “by all the means we possess.” Kremlin spokesperson Dmitry Peskov said that attacks on the four oblasts would be considered attacks on Russia itself.

Putin has hinted at a nuclear threat, seeking to intimidate Ukraine and the West. Russian declaratory policy envisages the possible use of nuclear weapons in the event of a conventional attack on Russia “when the very existence of the state is in jeopardy.” Putin seeks to put a nuclear umbrella over the territories that Russia has seized.

PUTIN’S NUCLEAR GAMBIT

One cannot ignore Putin’s ploy: after all, a nuclear threat is involved. But one should also understand that he has made a serious overreach.

Russia could lose this war — that is, its military could be pushed back to the lines before Russia’s February 24 invasion or even before Russia seized Crimea — and Russia’s existence would not be in jeopardy. Ukraine’s goal is to drive the Russians out of Ukraine. The Ukrainian army will not march on Moscow; indeed, the Ukrainians have been extremely judicious in conducting only a small number of attacks against targets on Russian territory (that is, Russian territory as agreed by the post-Soviet states in 1991 following the Soviet Union’s collapse).

Moscow pundits try to portray the war as a conflict with the West, which they claim aims to destroy Russia. Perhaps it feels better to be losing to the West, not just Ukraine. Still, Western leaders have made clear that, while they will support Kyiv with arms and other assistance, they will not send troops to defend Ukraine. They do not seek Russia’s demise or dismemberment; they want to see Russia out of Ukraine.

Losing the war thus would not be existential for Russia. It could well prove so for Putin, or at least for his political future. The nuclear fear arises because Putin, as he grows more desperate, may see Russia’s fate and his own as one and the same.

However, Putin likely understands that, were Russia to use nuclear weapons, it would open a Pandora’s box full of unpredictable and potentially catastrophic consequences, including for Russia. Moreover, more sober-minded Russian political and military officials understand those risks. Would they allow Putin to put Russia in such peril? The decision to go to war was Putin’s; losing may be existential for him, but it need not be for others in Moscow.

While minimizing nuclear risks is an understandable concern, the West also must weigh the price of acceding to Putin’s gambit. If he can use vague nuclear threats to persuade the West to accept illegal annexations following sham “referenda,” what next? Putin himself has suggested Narva, a city in NATO-member Estonia, is “historically Russian” land. If his ploy succeeds in Ukraine, might he be tempted to seize portions of the Baltic states, annex them, and declare a nuclear threat to try to secure his ill-gotten gains?

WESTERN MESSAGING

Putin seeks to create a new geopolitical reality in Europe, one that few, if any, others will accept. The West should respond with pointed messaging of its own, some of which has begun.

First, Washington has set the right tone. On September 18, U.S. President Joe Biden warned Putin against using nuclear weapons, saying the U.S. response would be “consequential.” U.S. National Security Advisor Jake Sullivan reiterated the point on September 25, noting “that any use of nuclear weapons will be met with catastrophic consequences for Russia, that the U.S. and our allies will respond decisively.” Both correctly left the specific nature of the U.S. and allied response ambiguous. Strategic ambiguity lets Russians worry about what might happen.

Washington has sent private messages to Moscow warning against nuclear use. U.S. Secretary of Defense Lloyd Austin and Chairman of the Joint Chiefs of Staff Mark Milley have periodically talked with their Russian counterparts and should now speak to Russian Defense Minister Sergei Shoigu and to the Chief of the General Staff of the Russian Armed Forces Valery Gerasimov. Shoigu and Gerasimov would be closely involved in any consideration of using nuclear arms. They may well have a more serious understanding of what nuclear use could entail for Russia than does Putin, and what is existential for Putin need not be existential for them.

Second, Washington and Kyiv’s other friends in the West should communicate their position to the Russian people, perhaps in a joint public statement. Such a statement should underscore that the West’s goal is not Russia’s destruction but withdrawal of the Russian army from Ukrainian territory or, at a minimum, a negotiated settlement on terms acceptable to Kyiv.

Third, Western diplomats should engage their counterparts in Beijing, Delhi, and other Global South capitals about Russia’s threat. Moscow needs to understand that any resort to nuclear weapons in a failing war against Ukraine would make Russia an international pariah.

Fourth, the West should increase military assistance so the Ukrainians can press forward and liberate more territory from Russian occupation. In particular, Washington should provide ATACMS — surface-to-surface missiles with a range of 200 miles — with the proviso, as currently applies to shorter-range U.S-supplied rockets, that they not target Russia (in its 1991 borders). But the door should be left ajar for ending that restriction should Russia escalate.

As the Kremlin continues to prosecute a war of aggression and tries to persuade the world that its annexations are legitimate, Putin has chosen to play a risky game. Western messaging should ensure that Russian political and military elites understand that the game poses serious risks as well for Russia and for them personally.

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On September 30, 2022, Russian President Vladimir Putin signed agreements illegally incorporating the Ukrainian oblasts of Luhansk, Donetsk, Zaporizhzhia, and Kherson into Russia. He said Moscow would “defend our land with all the forces and resources we have.” He previously hinted this could include nuclear arms. Nuclear threats are no trivial matter, but Ukraine and the world should not be intimidated. The West should respond with political and military signals of its own.

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