Diplomacy

Department of Political Science
Stanford University
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Stanford, CA 94305-6044

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CISAC Core Faculty Member
schultz.jpg PhD

Kenneth A. Schultz is professor of political science and a CISAC core faculty member at Stanford University. His research examines international conflict and conflict resolution, with a particular focus on the domestic political influences on foreign policy choices.  He is the author of Democracy and Coercive Diplomacy and World Politics: Interests, Interactions, and Institutions (with David Lake and Jeffry Frieden), as well as numerous articles in peer-reviewed scholarly journals. He was the recipient the 2003 Karl Deutsch Award, given by the International Studies Association, and a 2011 Dean’s Award for Distinguished Teaching, awarded by Stanford’s School of Humanities and Sciences. He received his PhD in political science from Stanford University.

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Scott D. Sagan
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When Professor Scott D. Sagan, co-director of CISAC, leads students on a journey through arms control talks-- a three-day simulation that is part of his "International Security in a Changing World" course --they experience first-hand the reality of international negotiations. Sagan teaches the course with SIIS Director Coit D. Blacker and SIIS Senior Fellow William J. Perry. The class, which attracts up to 200 students, includes sections on "Weapons of Mass Destruction," "Terrorism, "Civil Wars" and "U.S. Foreign Policy." Before the simulation exercise takes place, students research and write memoranda outlining the goals that should guide their assigned country's behavior, and what strategies their delegation should adopt to achieve its goals.
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John W. Lewis is professor emeritus of Chinese politics at Stanford University's Center for International Security and Cooperation and a frequent visitor to China and North Korea. He wrote this for the Mercury News.

Beijing tries to read mixed U.S. signals in Korea diplomacy By John W. Lewis

For the past year China has led the quest for a negotiated solution to the Korean nuclear crisis. It facilitated and hosted three-way talks with the United States and North Korea a year ago this week and two sessions of the six-party talks (adding South Korea, Japan and Russia) in August and February. Its officials crisscrossed the globe to explore potential areas of common interest and compromise and this week hosted North Korean leader Kim Jong Il to explore options for the beleaguered Korean Peninsula. Yet, in each of the formal talks, the Chinese have been discouraged by the minimal results. They are now questioning U.S. intentions toward Korea and, in the longer term, toward China.

Beijing considers the unchecked expansion of North Korea's nuclear weapons to be a real possibility, and its reasoning starts with the record of U.S. policies toward nuclear proliferation. That record, the Chinese argue, is mixed and often contradictory. As a result, China worries that Washington might continue to tolerate the program so long as Pyongyang did not cross key red lines, such as the transfer of nuclear materials to terrorists.

Whatever Beijing's past position on nuclear matters, many senior Chinese now regard nuclear weapons on their border to be a direct threat to their national security and suspect Washington of downplaying that danger. For them, it is no great leap to the conclusion that the unfettered growth of the Korean program might embolden others in Asia, including Taiwan, to acquire nuclear weapons despite verbal opposition from Washington. Beijing's leaders can easily imagine how that nightmarish turn of events would undermine the nation's drive toward modernization and end strategic cooperation with the United States.

Despite the fact that all parties at the six-party meeting in February endorsed the dismantling of the North's nuclear weapons program, the Chinese fear that the talks may be dead in the water. Following that meeting, they began to debate other ways to resolve the crisis. They had already reorganized the leadership team responsible for North Korean affairs, and that team had begun acting to prevent the worst case, including offering further inducements to Kim Jong Il this week. Whereas last fall the talk of deepening U.S.-China cooperation on Korea pervaded the news, now, especially after Vice President Dick Cheney's uncompromising stand on Korea and Taiwan last week, the reverse is occurring.

What China can do in these circumstances is quite limited. Its influence on North Korea is largely determined by what the United States does or doesn't do. By refusing to negotiate on a staged process leading to the eventual dismantlement of Pyongyang's nuclear weapons, Washington has tacitly allowed the North's program to proceed. It has rejected proposals for a temporary freeze, technical talks and any interim steps short of the unconditional and complete ending of the program. The result is virtual paralysis.

Beijing has been able to work with North Korea only when it could find areas of potential compromise between Washington and Pyongyang. It cannot or will not act

alone to exert pressure because this would jeopardize its influence on the North. Contrary to a widely circulated story, Beijing did not cut off energy shipments to North Korea for three days in 2003. Beijing would not take such a counterproductive action when its main influence with the North lies in the kind of quiet diplomacy being practiced this week with Kim Jong Il.

Many in Beijing are beginning to question whether there might be a more promising approach with Pyongyang. Should the Chinese, South Koreans and Russians conclude that making progress toward the common goal of the North's complete nuclear disarmament is out of reach, for example, they reluctantly might translate their joint offer of aid in February into a quid pro quo for a partial agreement, such as a limited freeze, that would allow the situation to stabilize. China could worry that such an independent action could endanger the common front with Washington. At the same time, it could calculate that the United States would be sufficiently pleased with any solution that halted the North Korean nuclear program.

None of these developments may come to pass, of course, but who could have imagined a year ago that Washington would have permitted the situation to deteriorate to the present point?

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John W. Lewis, director of the CISAC Project on Peace and Cooperation in the Asian-Pacific Region, led a private delegation of American experts and officials to North Korea and the country's nuclear weapons facility in Yongbyon. The visit took place January 6-10, 2004, and was the first visit by outsiders to that country's nuclear facilities since North Korea expelled international inspectors a year ago.

Accompanying Lewis were the former director of Los Alamos National Laboratory Sigfried Hecker, former State Department official Jack Pritchard, and two staffers from the Senate Foreign Relations Committee, Frank Jannuzi and Keith Luse.

Lewis and the others briefed U.S. government officials upon their return. Hecker, a nuclear weapons expert, testified before the Senate Foreign Relations Committee on January 21 and 22 about their visit to the Nuclear Scientific Research Center in Yongbyon.

The visit generated intensive interest from the media.

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In the recent past the issue of covert trade in nuclear material gained public prominence when it was erroneously claimed by British intelligence sources that the former Government of Iraq under Saddam Hussein had tried to obtain uranium from Niger. The far reaching consequences of such assessments for society were clearly demonstrated by U.S. President George W. Bush in his speech on January 28, 2003, using this incorrect information as one of the reasons why terrorists and countries belonging to the "Axis of Evil" posed a potential nuclear threat. In view of the occurrence of such significant errors even in the intelligence community, it is not surprising that information in the media on the topic of illicit trafficking of nuclear material is frequently flawed by errors.

In order to avoid the pitfalls of evaluating important security-related decisions from questionable sources of information, this paper discusses only the most reliable currently available data on illicit trafficking of weapons-usable nuclear material, contained in the Database on Nuclear Smuggling, Theft, and Orphan Radiation Sources.

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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

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Stephen J. Stedman
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On November 4, 2003, %people1%, CISAC Senior fellow, was appointed research director for the United Nations' new High-level Panel on Threats, Challenges, and Change. The panel is charged with examining current global threats and analyzing future challenges to international peace and security.

Stephen Stedman, senior fellow at the Stanford Institute for International Studies (SIIS), has been appointed research director for the United Nations' new High-Level Panel on Threats, Challenges and Change. Stedman will leave for New York City next month for the remainder of the academic year.

On Nov. 4, U.N. Secretary General Kofi Annan appointed Stedman and 16 members of the blue-ribbon commission, which is chaired by Thailand's former Prime Minister Anand Panyarachun. The panel is charged with examining current global threats and analyzing future challenges to international peace and security. The group will not formulate policies on specific issues or on the United Nations' role in specific places, but it will advise the organization on reforms necessary to cope with emerging challenges. The panel will complete a 10,000- to 15,000-word report by late next year.

Stedman, a senior fellow at the Center for International Security and Cooperation (CISAC) at SIIS, has served as a consultant to the United Nations on issues of peacekeeping in civil war, light weapons proliferation and conflict in Africa, and preventive diplomacy. His most recent co-authored publications include Ending Civil Wars: The Implementation of Peace Agreements (2002) and Refugee Manipulation: War, Politics and the Abuse of Human Suffering (2003).

Asked about the genesis of his new appointment, Stedman said he has developed relations with a set of people at the United Nations during the last six years. "A lot of the work I've done has had resonance in the U.N.," he said. "Policymakers read it and they understand I have sympathy for people who have to make tough decisions."

CISAC co-director Scott Sagan said the appointment is a "great tribute to the quality and policy relevance of the work that Steve has done over his career."

Stedman said his biggest challenge will be producing a report "that is both hard-hitting and has the potential for leading to change. There is a general sense within the U.N. that, basically, the effectiveness and legitimacy of the organization has been called into account. When Kofi Annan announced his intention to create the panel, he declared that the U.N. was at a crossroads where it needed to rethink how it can effectively provide collective security in today's world."

In addition to Panyarachun, the panel members include such international policy figures as former Norwegian Prime Minister Gro Harlem Brundtland; former Australian Minister of Foreign Affairs Gareth Evans; former U.N. High Commissioner for Refugees Sadako Ogata of Japan; former Russian Prime Minister Yevgeny Primakov; and retired U.S. Lt. Gen. Brent Scowcroft, former national security adviser.

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A panel of five foreign policy experts, including CISAC Co-director %people1% and SIIS Senior Fellow %people2%, debated issues of North Korea and nuclear weapons on October 17, 2003 in a discussion titled "It's a Mad, Mad World: Prospects for Security, Diplomacy, and Peace on the Korean Peninsula." Moderated by %people3%, of SIIS and an associate professor of law and former State Department lawyer, the panelists examined the implications to U.S.-South Korea relations in light of continuing hostilities between North Korea and the United States.

There are "no good options" for the United States to confront or contain North Korea's nuclear weapons proliferation, according to political science Professor Scott Sagan.

Sagan, who is also a senior fellow at the Stanford Institute for International Studies, was one of five foreign policy experts who joined a panel discussion Friday titled "It's a Mad, Mad World: Prospects for Security, Diplomacy and Peace on the Korean Peninsula." Presented by the Law School, the event took place in Dinkelspiel Auditorium as part of Reunion Homecoming Weekend.

Panelists Mi-Hyung Kim, Bernard S. Black, Gi-Wook Shin and Scott D. Sagan took turns weighing in on the difficulties of U.S. diplomatic relations with North Korea during a law school-sponsored discussion. Photo: L.A. Cicero

What makes the situation even more vexing is that the objectives of neither North Korea nor the United States are entirely clear, said law Associate Professor Allen Weiner, a former State Department lawyer and diplomat who moderated the panel.

"Is the United States intent on a regime change? Or putting the nuclear genie back in the bottle?" Weiner asked.

"North Korea feels threatened by the United States and believes nuclear weapons are the only way to protect its national sovereignty," said sociology Associate Professor Gi-Wook Shin, director of the Korean Studies Program in the Asia/Pacific Research Center.

The talk came one day after North Korea announced that it is prepared to "physically unveil" its nuclear program. By Sunday, President George W. Bush announced that he would provide written assurances not to attack North Korea if the country takes steps to halt its proliferation and if other Asian leaders signed, too. Bush, who counted North Korea as part of an "axis of evil," stopped short of offering a formal, Senate-approved nonaggression treaty.

Earlier this month, North Korea claimed to have finished reprocessing 8,000 spent fuel rods to produce enough weapons-grade plutonium to build a half-dozen nuclear bombs. Faced with a collapsed economy and the legacy of 1.5 million deaths from starvation in the late 1990s, the North Korean government, led by Kim Jong Il, has overtly threatened to use its small arsenal as deterrence against U.S. aggression. Although it has been difficult to verify North Korea's capabilities, international experts have asserted that its main nuclear facility in Yongbyon could produce one or two bombs a year.

Tension first heated up last October when North Korea admitted to having abandoned the 1994 Framework Agreement brokered by the Clinton administration to shut down its nuclear reprocessing facilities.

Confirming U.S. intelligence reports that North Korea possesses nuclear weapons capabilities, the former director of the CIA under the Clinton administration, Jim Woolsey, said from the audience that in 1994 the CIA was confident North Korea had enough plutonium to make one or two bombs. Estimating that its current capabilities hover somewhere around six bombs, Woolsey explained North Korea doesn't have good delivery technology. The greater concern, he said, is that it would produce enough plutonium to sell to al-Qaida.

The amount of plutonium it takes to build a bomb is the "size of a grapefruit" -- making it difficult to monitor and stop weapons material shipments, Sagan said.

Believing North Korea is posturing for economic aid and bilateral security guarantees, the United States has sidestepped direct talks and instead joined South Korea, China, Japan and Russia in a round of six-party talks with North Korea last August. Bush's announcement is seen as an effort to jump-start the next round of regional talks that were expected by the end of the year.

The crisis has taken its toll on the longstanding alliance between the United States and South Korea. Panelist Mi-Hyung Kim, a founding member of South Korea's Millennium Democratic Party and general counsel and executive vice president of the Kumho Business Group, the ninth largest Korean conglomerate, said the relationship between the United States and South Korea is the "rockiest" it has ever been because of "Bush's hard-line policy on North Korea" and the fact that wartime control of the South Korean military reverts to U.S. hands. Bilateral talks would further alienate South Korea, which fears that Seoul will become a "sea of fire," she said.

"South Korea thinks Bush is a bigger threat than nuclear weapons 35 miles to the north," Kim explained, pointing out that South Korea will bear the brunt of a military conflict. "South Korea wants to avoid war and economic burdens it can't afford," she said.

Part of the problem has been the failure of the United States to explain its policy to the South Korean people. "The United States is bad at selling its policies to publics abroad," Weiner noted. We're used to dealing bilaterally with government officials; public diplomacy is a skill we've had to learn over the past 15 years."

"A PR campaign by the United States is not going to solve this," Kim countered.

"If North Korea collapses, how will South Korea survive?" asked law Professor Bernard Black, a panelist who served as an economic policy adviser to the South Korean government. "South Korea would have to devote 30 percent of its GDP to bring North Korea up to its standard of living and that's not sustainable.

"South Korea has lived under North Korean guns for the last 50 years. North Korea can destroy Seoul at any time. South Koreans are saying, 'What's changed?' The last thing South Korea wants is to provoke North Korea to attack."

China, North Korea's closest ally, may have the most leverage through trade sanctions and has a vested interest in halting regional proliferation, Kim said. "China does not need another nuclear neighbor. ... It has enough problems with India and Pakistan." North Korea's proliferation could lead to a nuclear Japan, South Korea and "its worst fear, a nuclear Taiwan."

Predicting that nothing would come of the next round of talks until after the next U.S. presidential election, Kim said ironically, "North Korea is expecting a regime change in the United States to an administration that is more reasonable."

"North Korea is not a crazy rogue state but a dangerously desperate state," said Sagan. "When you play poker with someone who's cheated in the past, you can expect them to cheat again."

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Retaliation and decaptitation of a terrorist organization's leadership is a form of coercive diplomacy; after all, both are designed to get the terrorist organization to stop its terrorist attacks.  Judging the efficacy of coercive diplomacy against terrorists is exceedingly difficult, as Martha Crenshaw explains, but she concludes that overall this technique has not worked well.

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The United States and Coercive Diplomacy
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Martha Crenshaw
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978-1929223442
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