Against the Great Powers: Reflections on Balancing Nuclear and Conventional Power

Against the Great Powers: Reflections on Balancing Nuclear and Conventional Power

The toughest and most important challenge for U.S. defense strategy is how to defend vulnerable allies against a Chinese or Russian fait accompli strategy, particularly one backed by nuclear threats. Here's how the United States should think about how to…

It’s Time to Make a New Deal: Solving the INF Treaty’s Strategic Liabilities to Achieve U.S. Security Goals in Asia

It’s Time to Make a New Deal: Solving the INF Treaty’s Strategic Liabilities to Achieve U.S. Security Goals in Asia

The U.S. and its allies need a different approach to deter China in the Western Pacific. After building islands in the South China Sea’s disputed waters, claiming they were for peaceful purposes, China recently militarized them. Chinese military units then…

Xi’s Vision for Transforming Global Governance: A Strategic Challenge for Washington and Its Allies

Xi’s Vision for Transforming Global Governance: A Strategic Challenge for Washington and Its Allies

What does China's "community of common destiny," recently emphasized by Chinese President Xi Jinping, mean for the future of the international order? Liza Tobin unpacks what, precisely, this vision entails and what it might mean for the United States and its…

Military Exercises as Geopolitical Messaging in the NATO-Russia Dynamic: Reassurance, Deterrence, and (In)stability

Military Exercises as Geopolitical Messaging in the NATO-Russia Dynamic: Reassurance, Deterrence, and (In)stability

Military exercises are often viewed as geopolitical tools used to boost stability and enhance deterrence. However, they can sometimes have the exact opposite effect: increasing instability and contributing to dangerous levels of escalation. Nowhere is this…

Bill and Boris: A Window Into a Most Important Post-Cold War Relationship

Bill and Boris: A Window Into a Most Important Post-Cold War Relationship

Against the backdrop of an enormous power differential between their two countries, Clinton and Yeltsin established a close personal rapport. They used those positive feelings to interact effectively even when they were being frank in their disagreements, the…

From Engagement to Rivalry: Tools to Compete with China

From Engagement to Rivalry: Tools to Compete with China

To arrive at a new consensus, the United States needs to address the weaknesses in Americans’ knowledge of China while rethinking the connections between the ways China is analyzed and how policy is made.

America’s Relation to World Order: Two Indictments, Two Thought Experiments, and a Misquotation

America’s Relation to World Order: Two Indictments, Two Thought Experiments, and a Misquotation

The State is undergoing a crisis of legitimacy owing to its inability to cope with novel problems of weapons proliferation, transnational threats including climate change, a fragile global financial infrastructure, cultural influences carried by electronic…

Rediscovering Statecraft in a Changing Post-War Order

Rediscovering Statecraft in a Changing Post-War Order

If Washington doubles down on U.S. military and geopolitical predominance, it risks transforming the emerging competitive era into something far more confrontational and zero-sum than it needs to be. If it hopes to retain its position of leadership, the United…

Getting Out and About: Talking with Americans Beyond Washington About Their Place in the World

Getting Out and About: Talking with Americans Beyond Washington About Their Place in the World

A small team at CNAS is getting out of the Beltway “bubble” to talk to Americans about what role the United States should play on the international scene.

Marching Toward a U.S.-North Korea Summit: The Historical Case for Optimism, Pessimism, and Caution

Marching Toward a U.S.-North Korea Summit: The Historical Case for Optimism, Pessimism, and Caution

The history of denuclearization efforts on the Korean peninsula gives reason for pessimism, caution, and optimism. Attempting to critically engage that history can help the United States narrow uncertainty, prepare for a long diplomatic process should one…

Changing Course: Making the Case (Old and New) for American Seapower

Changing Course: Making the Case (Old and New) for American Seapower

In order to build the 355-ship Navy the United States needs, we will have to tell a new, and more compelling, story.

U.S. Engagement in the Western Hemisphere

U.S. Engagement in the Western Hemisphere

Secretary of State Rex Tillerson discusses the United States' enduring partnership with South America, Central America, North America, and the Caribbean.

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I.

The fundamental problem facing U.S. national security — and indeed grand — strategy is clear: The United States seeks to extend deterrence to dozens of allies in parts of the world that are increasingly shadowed by Russia and China, each of which fields survivable nuclear arsenals and conventional forces that are more and more formidable in their respective regions. An increasingly powerful China seeks ascendancy in Asia and ultimately beyond, while Russia has recovered some of its military potency and aspires to upend or at least substantially revise the post-Cold War European settlement.[1] Both China and Russia have developed strategies and forces designed to enable them to attack or suborn U.S. allies or partners and make such an effort potentially worth the risks and costs. Their aspirations place them at odds — or at least in tension — with U.S. interests in defending its alliance architecture, and their increased capability to pursue these aspirations makes them more dangerous and the possibility of war with them more likely.[2] In the face of these challenges, Washington wants to deter and, if necessary, defeat attacks on its allies by Russia or China. The problem is that these alliances are, while of course important, still fundamentally secondary interests for the United States. Yet Washington wisely seeks to defend them from states that have the assured ability to conduct nuclear strikes on the American homeland, which, naturally, represents the profoundest type of peril to the nation’s ultimate primary interest: its survival as a functioning society. In light of the mutual vulnerability of the United States on the one hand and Russia and China on the other, the disincentives to large-scale use of nuclear weapons are of the gravest and most direct sort. No one could rationally seek general nuclear war, which would be tantamount to suicide. In this context, the influence of nuclear weapons derives from the perception of a willingness to risk their use at scale — in effect, to be more willing to court destruction. Coercive leverage derives from establishing a superior position about which state is more resolute in risking nuclear Armageddon.[3] But such a competition is not only about resolve in some pure or abstract sense, disconnected from events or acts. Rather, resolve is not an immutable value, but is shaped and formed by a host of factors, and thus is itself subject to manipulation. A state’s willingness to fight is, in other words, not simply a product of an unchanging judgment of the import of a given stake. It is also formed by assessments about the difficulty of and degree of risk assumed by fighting, the connection of the equity at issue to other interests, the perceived nature of the opponent as well as the scale and ambition of its aims, judgments of justice and legitimacy, and so forth. The more these sorts of interests are — or can be — implicated in a given contest, the more likely a state will be willing to risk, fight, and endure, even if the contest is initially or nominally focused on a relatively peripheral interest. The Union fought more resolutely than it otherwise might have against a South that had attacked Fort Sumter first, and the United States fought much more ferociously against a Japan that had launched a dastardly surprise attack on Pearl Harbor and conducted its ensuing aggression with notorious brutality. In particular, the more aggressive, brazen, illegitimate, unjust, or inherently menacing one state’s behavior seems, the more likely it is that it will generate the willingness of the other state to assume some additional risk of nuclear Armageddon. Put another way, the more capable a state is of attaining its aims through means that appear less escalatory, the less it will need to rely on its resolve to risk general devastation. Conversely, the less capable a state is of pursuing its aims through less escalatory measures, the more it will need to rely on its willingness to court mutual suicide. Thus, the ability to fight successfully without having to seriously escalate is a great source of advantage because it permits one to prevail even with a deficit of resolve. This is crucial for the United States. In a pure contest of resolve against Russia over Eastern Europe or against China over Taiwan — or even against Pyongyang over the Korean Peninsula — it is not clear that the United States would prevail. But Washington need not and should not permit such a pure contest to appear plausible. Indeed, for many years after the end of the Cold War, Washington enjoyed a situation in which resolve was largely immaterial to plausible contingencies touching on threats to U.S. allies. While Russia had survivable nuclear forces and China a modest strategic deterrent, neither had the conventional forces to mount serious assaults on U.S. allies that would enable them to push the onus of escalation onto the United States, and thus to create a more favorable contest of resolve.[4] China might have reminded the United States that it could destroy Los Angeles in the pursuit of subordinating Taipei, but such a threat was not coercively useful without the conventional forces to sustain a blockade or an invasion of Taiwan. Few imagined that China would leap immediately to destroying Los Angeles when such an act, by its manifest disproportion and unreasonableness, would very likely have triggered the most fearsome sort of retaliation.

II.

The post-Cold War period, however, is over. The increased conventional military power of Russia and China, and China’s maturing nuclear deterrent, have changed the situation. Each is pursuing a variant of what is fundamentally a fait accompli strategy. In a situation of mutual vulnerability to large-scale nuclear attack, the fait accompli is the most attractive offensive strategy for a power that is weaker than its opponent, as China and Russia are relative to the United States and its allies. The fait accompli strategy works by moving or attacking in a way that forces the defender’s counterpunch to have to be so costly and risky as to seem not worth the benefit of reversing it. It is most insidious when the violence needed to succeed with the fait accompli is less grievous, making the very great response needed to eject the attacker seem not only too perilous but also unjust. As a consequence, in a nuclear world, advantage in the deadly competition in risk-taking between two states armed with survivable arsenals will thus accrue to the side that can take action and hold territory — and then push the onus of responding onto the other side in such a way that the sort of escalation required to remedy the situation is simply too costly and risky. [quote id="1"] In Europe, Russia’s conventional forces can now rapidly seize territory in places such as the Baltic states and eastern Poland, while Moscow’s large and variegated strategic and nuclear forces provide ample options for controlled strikes designed to “spook” NATO into terminating a war before the alliance could bring its greater strength to bear to reverse Russian gains.[5] In Asia, meanwhile, China is developing a conventional military that will be able to compete for — and could be able to establish — superiority over the United States and its allies in substantial areas of the Western Pacific, as well as a nuclear force that could increasingly be used in more limited, controlled ways to attempt to deter U.S. vertical or horizontal escalation.[6] The two cases are similar but differ in the greater Russian degree of reliance on nuclear weapons. The nub of the challenge from Russia lies in Moscow’s potential ability to transform its temporary and local conventional advantages with respect to the Baltic states and eastern Poland into permanent gains through the threat of a nuclear escalation that both sides fear but that, Moscow may reckon, the West would fear more. The challenge from China, meanwhile, appears likely to lie more in its potential ability to attain practical conventional superiority over the United States with respect to East Asia and to use its nuclear and strategic forces to dissuade Washington from meaningfully escalating, including to the nuclear level, in order to negate or reverse that superiority. Both, however, involve ways in which a potential U.S. adversary could use its military forces to create durable positions of advantage. Moscow or Beijing might plausibly calculate that such uses of military force would be exceptionally difficult and demanding to roll back or dislodge. This would shift the onus of escalation onto the United States and its allies and would allow for the use of nuclear and other strategic forces to deter the United States from taking the potentially escalatory and dramatic actions needed to achieve its more limited objectives, such as the restoration of an ally’s territorial integrity.

III.

If U.S. grand strategy is to remain predicated on the defense of its allies, the United States needs to deal promptly and resolutely with this thorny set of problems. While Chinese and Russian provocations against U.S. interests have mostly been confined to the “gray zone” thus far, a perception that strategies such as these could advantageously be pursued may lead to more direct and clearer challenges, especially if the relevant regional military balances shift away from Washington and its allies.[7] Sub-conventional “salami-slicing” is an attractive strategy when one fears the consequences of pushing much harder or further. If Beijing or Moscow judges it can push more ambitiously or assertively without risking a plausible and sufficiently painful U.S. response, then it is likely to do so. If the United States is resolute and clear enough, however, gray-zone problems will remain manageable — that is, if the United States retains a military advantage with respect to its allies and established partners (such as Taiwan) vis-à-vis Russia and China. If it loses that advantage, gray-zone provocations are likely to transform into far more direct and menacing assertions of power by Moscow and Beijing. To prevent this, the United States should want a defense posture that demonstrates to potential opponents that such challenges would not succeed or, failing that, would be too costly to be worth the candle. Ideally, this would entail a U.S. ability directly to defeat outright any aggression against its allies or interests, as essentially was the case during the unipolar period that followed the collapse of the Soviet Union. This standard may be difficult to achieve, however, given the dramatic growth of Chinese power and the more modest, but still significant, recovery of Russian military power, the proximity of plausible points of conflict to them and their distance from the United States, and the diffusion of U.S. military effort and focus across multiple theaters. It may be especially difficult to do so rapidly or without requiring significant forms of escalation that may seem a bridge too far for U.S. decision makers absent evidence of a much higher degree of Chinese or Russian malignity or ambition. The United States should therefore aim to field a military posture of conventional forces that makes attack against U.S. allies and territory at best futile and at minimum a necessarily very brazen, destructive, and aggressive act.[8] Compelling the adversary to conduct aggression in this way is far more likely to catalyze U.S. and allied resolve to pursue the kinds of military actions necessary to defeat such an assault, for instance through a much larger counteroffensive, including conventional strikes into an adversary’s territory. This conventional posture should be designed not only to achieve the important but limited aim of repelling an adversary’s attack and denying the fait accompli but also to shift onto the opponent the onus of more dramatic forms of escalation — above all to the nuclear level. That is, U.S. conventional military operations need to be ferocious enough to degrade a capable opponent’s ability to pursue and consummate its attack on U.S. allies, but they should also be framed and implemented in such a way as to compel the other side to have to face the choice of conceding or dramatically escalating. If China can take over Taiwan quickly, cleanly, and with relatively little damage, this is likely to make a large and ferocious U.S. counteroffensive seem disproportionate, thereby lessening the probability that it would happen and that other states would support it. Conversely, if Beijing can hope to conquer Taiwan only through a massive, bloody, and patently aggressive offensive — and might well fail at that — then the sorts of U.S. actions needed to help Taiwan are likely to seem much more reasonable and palatable, thereby increasing the likelihood that Washington would take such actions and that others would support those efforts.

IV.

This is primarily a challenge for U.S. and allied conventional forces. But U.S. (and allied) nuclear forces also play a central role. The U.S. nuclear arsenal should be designed to demonstrate to potential U.S. opponents — most importantly Russia and China — that dramatic forms of escalation against key U.S. interests, including but not exclusively nuclear escalation, would be too costly and risky to pursue and ultimately would be self-defeating. This involves demonstrating to potential foes that attempts to transgress core American interests, or to use nuclear weapons for military effect, or seeking to favorably manipulate the fear of escalation to Armageddon would not redound in their favor — and ideally against them. This should contribute both to deterring them from using nuclear weapons as a way to reverse a limited conventional defeat but also from crossing fundamental American and allied red lines short of employing nuclear weapons. This, of course, rules out the adoption by the United States of a “no first use” pledge, which would be especially inadvisable given the growth of Chinese conventional military power.[9] At the same time, however, U.S. nuclear strategy should seek to avoid unnecessarily or inadvertently triggering a large-scale nuclear war. That is, U.S. nuclear forces should both exercise significant and ideally decisive yet targeted coercive influence but avoid prompting escalation to broader strategic war. U.S. nuclear forces should deter (and, if pressed, coerce) while simultaneously promoting rather than detracting from a fundamental strategic stability — the understanding that U.S. actions are not intended to deny the other side a basic retaliatory capability.[10] Together, this means the United States should want a nuclear strategy, force, and posture focused on the ability and preparedness to use nuclear weapons in discriminate, tailored, and controlled ways. The logic of any such nuclear employment should focus on escalation advantage: to demonstrate Washington’s willingness to escalate to the nuclear level, and to continue escalating if grave provocations continue, but also its readiness to restrain further escalation and ultimately deescalate if the opponent is prepared to comply with reasonable demands. Accordingly, Washington should want a nuclear arsenal that can provide varying options for controlled, graduated forms of nuclear escalation in line with this basic logic that allow for different potential employment strategies (such as tit for tat or intensifying escalation), since the optimal targeting strategy is likely to vary based on the particular contingency. To be most coercively useful, such strikes should be designed to influence (or complement other efforts to influence) the sub-nuclear conflict in ways that shift the burden of escalation further onto the adversary and thus be advantageous to the United States. [quote id="2"] That is, the ideal nuclear employment strategy is one that not only demonstrates political will but also, along with U.S. and allied conventional efforts, affects the sub-strategic battle in ways that make an adversary’s counter- or further escalation less attractive. For instance, the United States would benefit from having nuclear options that could heavily damage a Chinese invasion flotilla designed to assault U.S. allies in the Western Pacific and that could exercise similar effects against Russian forces attacking or directly supporting an incursion into the Baltics.[11] Such capabilities would enable the United States not only to demonstrate its resolve to cross the nuclear threshold, but also markedly increase the degree of escalation the opponent would have to undertake to remedy the loss and continue the fundamentally offending action (such as the invasion of a U.S. ally in the Western Pacific or in Eastern Europe). This role would be especially important if the United States lacks plausible conventional options for exercising such an effect, especially without undertaking separate, dramatic forms of escalation (for instance by significantly expanding the scope of the battlefield or hitting new, especially sensitive classes of targets). The U.S. military fielded these types of capabilities during the Cold War but abandoned them in the post-Cold War era. This was defensible in an era of untrammeled U.S. conventional superiority; it is not in one in which the Russians and Chinese may have plausible theories of victory against U.S. allies and important partners. From a targeting perspective, this puts a premium on being able to strike at differing sorts of targets depending on the stage of escalation — to be able to strike effectively at what the opponent values but also to communicate at stages of escalation short of general war a meaningful degree of restraint. Accordingly, nuclear weapons that could significantly damage or impair such targets, but with lessened collateral damage, would be particularly attractive. Such weapons that would be especially useful in this context might include those with a lower yield, those that could be employed in ways that would create less radioactivity, and those that would travel on trajectories and from platforms that would be less likely to generate an opponent’s fear that they were part of or precursor to a general or attempted disarming attack. Furthermore, this nuclear strategy puts a high value on an exquisite, responsive, resilient, and supremely capable nuclear command, control, and communications (NC3) architecture.[12] At the same time, limited use would not substitute for the ability to conduct large-scale and general nuclear strikes. Rather, the effectiveness of discriminate options would in fact depend upon their connection to that possibility. Consequently, the United States would need to retain the capacity to destroy Russia and China’s most valued targets, including their industrial bases and national leadership in their protected redoubts. While attacks on leadership should, as a general principle, be withheld until the very last stages of escalation, it is crucial for the United States to be able to destroy an opponent no matter where he goes, especially at the end of a chain of deliberate escalation when an adversary has had the opportunity to hide and defend himself. Accordingly, the United States needs capabilities to assuredly — and, ideally, promptly and with reduced collateral damage — destroy even targets in hardened and deeply buried facilities. It is vital to underline that this is critical for retaliatory strikes — and thus for stability — and far less, actually, for more aggressive nuclear strategies, which can aspire to decapitating enemy leaderships before they have a chance to seek safety or concealment. Notably, this nuclear strategy does not emphasize or rely on the ability to attack an enemy’s strategic nuclear forces or command-and-control. While it does not exclude the potential value of having options to degrade an opponent’s strategic arsenal or command-and-control ability (for instance, to make an opponent’s counter-escalation options less attractive), it generally counsels restraint regarding pursuit of strategic counterforce capabilities, let alone their employment, particularly in light of the countering responses such pursuit is likely to engender. Communication with the adversary before and during a conflict is crucial to the effectiveness of such a strategy, since ultimately it is predicated on persuading — indeed, coercing — an adversary to agree to end a war on terms acceptable (and ideally favorable) to the United States without triggering escalation to a level of war beyond what anyone would want. Accordingly, Russia and China need to understand the logic of U.S. nuclear strategy. It is not about denying their retaliatory capability nor confined to large-scale options. Rather, it is about demonstrating to them in the most painful terms that the United States has the resolve and the ability to impose progressively greater — and ultimately the greatest — damage and risk on them if they transgress core American and allied interests, and that it has the capabilities to make such a strategy plausibly implementable on bases that will play to American, rather than their, advantages. U.S. declaratory policy should reflect this. Ambiguity about the precise conditions under which the United States would employ nuclear weapons and how it would do so are advisable for familiar reasons, but greater clarity about and emphasis on the options the United States possesses and will possess to pursue the strategy laid out here would be helpful. This may involve less changes in the wording of formal statements than shifts in how the United States exercises its forces, for instance, by building in contingencies involving deliberate escalation, and allowing the circulation of reports of such exercises.

V.

The basic point is to make clear to Moscow and Beijing that Washington is prepared to respond to dramatic escalation on their part with plausibly implementable strategies of its own. This is especially important because the stakes over cognizable contingencies today are lower than they were during the Cold War (primarily because neither China nor Russia poses the kind of totalistic threat that many viewed the Soviet Union as representing). More apocalyptic strategies are more credible when defeat itself would seem apocalyptic, as it did to many during the Cold War. When limited defeat over peripheral interests would not appear to constitute such a catastrophe, more credible strategies are needed. The 2018 Nuclear Posture Review represented an important and commendable starting point in this direction, especially with its decision to develop a low-yield warhead for U.S. submarine-launched ballistic missiles, but the U.S. military will need to go further. [quote id="3"] The premise for all this is that limited nuclear war is possible. Crossing the nuclear threshold would be staggeringly dangerous, as things always might get completely out of control, leading to an apocalyptic exchange. But this is not the same as saying that such escalation to total war would necessarily happen. This is fundamentally for two reasons: because combatants under the nuclear shadow would always have the strongest possible incentive to avoid triggering the apocalypse, since doing so would almost certainly result in their own destruction, but, at the same time, advantage at the nuclear level (the highest imaginable) would be dominating. Thus the side willing and able to escalate to the nuclear level and come out ahead would have a commanding edge. Accordingly, even as the United States should seek to minimize the degree to which it relies on nuclear weapons in its defense strategy — for both strategic and moral reasons — its defense strategy must nonetheless reckon with the reality that limited nuclear war is possible and, unless anticipated and provided for, could well be an attractive and even rational course of action for opportunistic or motivated opponents. In closing, it is worth emphasizing what the logic of this strategy would be. The United States is wisely committed to sustaining its grand strategy of alliances in key regions of the world, a strategy that is most conducive to preserving an enduringly favorable balance of power and thus international order for Americans. This is a fundamentally conservative approach, one that seeks to defend what is established rather than transform the world or upend regional orders. This requires a defense strategy and posture that will deter a rising and increasingly assertive China and an alienated and more capable Russia. That, in turn, requires that Beijing and Moscow believe the United States might realistically put its strategy into effect despite the attendant risks and the relatively lower stakes compared with those at issue in the Cold War. In a situation of substantial mutual vulnerability over stakes that are important but not truly central to the United States, the best strategy to serve U.S. political ends is one focused on advantageously managing escalation in a way that seeks to keep or shift the burden of dramatic escalation onto Moscow or Beijing. This is highly suited to a strategy focused on defense rather than expansion or transformation, and thus is the best way to achieve the goal Hans Morgenthau set out for a wise foreign policy, that “the task of armed diplomacy [should be] to convince the nations concerned that their legitimate interests have nothing to fear from a restrictive and rational foreign policy and that their illegitimate interests have nothing to gain in the face of armed might rationally employed.”[13]   Elbridge Colby is director of the Defense Program at the Center for a New American Security. He was deputy assistant secretary of defense for strategy and force development from 2017 to 2018.     Image: Ministry of Digital Development, Communications and Mass Media of the Russian Federation [post_title] => Against the Great Powers: Reflections on Balancing Nuclear and Conventional Power [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => against-the-great-powers-reflections-on-balancing-nuclear-and-conventional-power [to_ping] => [pinged] => [post_modified] => 2019-01-18 02:56:35 [post_modified_gmt] => 2019-01-18 07:56:35 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=780 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => The toughest and most important challenge for U.S. defense strategy is how to defend vulnerable allies against a Chinese or Russian fait accompli strategy, particularly one backed by nuclear threats. Here's how the United States should think about how to defeat such a strategy, and what it means for America's conventional and nuclear forces. [pubinfo] => [issue] => Vol 2, Iss 1 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => The increased conventional military power of Russia and China, and China’s maturing nuclear deterrent, have changed the situation. ) [1] => Array ( [author] => [style] => right [text] => Together, this means the United States should want a nuclear strategy, force, and posture focused on the ability and preparedness to use nuclear weapons in discriminate, tailored, and controlled ways. ) [2] => Array ( [author] => [style] => left [text] => The basic point is to make clear to Moscow and Beijing that Washington is prepared to respond to dramatic escalation on their part with plausibly implementable strategies of its own. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => ) [authors] => Array ( [0] => 228 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] For China, see, "'China Seeks Hegemony': America's Pacific Commander Offers a Military Warning," Wall Street Journal, Feb. 24, 2016, https://www.wsj.com/articles/china-seeks-hegemony-1456358971; Ely Ratner, "Rising to the China Challenge: Prepared Statement Before the House Committee on Armed Services," Feb. 15, 2018, https://docs.house.gov/meetings/AS/AS00/20180215/106848/HHRG-115-AS00-Wstate-RatnerE-20180215.pdf; for Russia, see, A. Wess Mitchell, "Remarks at the Atlantic Council," Oct. 18, 2018, https://www.state.gov/p/eur/rls/rm/2018/286787.htm; Christopher S. Chivvis, "Russia's Determination to Revise the Post-Cold War Order," RAND blog, Sept. 30, 2016, https://www.rand.org/blog/2016/09/russias-determination-to-revise-the-post-cold-war-order.html. [2] National Security Strategy of the United States, December 2017, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905.pdf; “Summary of the National Defense Strategy of the United States of America: Sharpening the American Military’s Competitive Edge,” January 2018, https://www.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf. [3] As classically laid out in Thomas C. Schelling’s Arms and Influence and Strategy of Conflict (Santa Barbara, CA: Praeger, 1977). [4] See RAND scorecard report on China, for instance: Eric Heginbotham et al., The U.S.-China Military Scorecard: Forces, Geography, and the Evolving Balance of Power, 1996–2017, (Santa Monica, CA: RAND Corporation, 2015), https://www.rand.org/pubs/research_reports/RR392.html. [5] Karl Mueller David A. Shlapak, Michael W. Johnson, and David Ochmanek, “In Defense of a Wargame: Bolstering Deterrence on NATO’s Eastern Flank,” War on the Rocks, June 14, 2016, https://warontherocks.com/2016/06/in-defense-of-a-wargame-bolstering-deterrence-on-natos-eastern-flank/ ; Nuclear Posture Review (Defense Department, February 2018), https://www.defense.gov/News/Special-Reports/0218_npr/. [6] “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2018,” Department of Defense, https://media.defense.gov/2018/Aug/16/2001955282/-1/-1/1/2018-CHINA-MILITARY-POWER-REPORT.PDF; Robert O. Work, “So, This Is What It Feels Like to Be Offset,” Speech at Center for a New American Security, June 21, 2018, https://www.youtube.com/watch?v=U9iZyDE2dZI. [7] Joseph L. Votel, Charles T. Cleveland, Charles T. Connett, and Will Irwin, “Unconventional Warfare in the Gray Zone,” Joint Force Quarterly, no. 80 (January 2016), https://ndupress.ndu.edu/JFQ/Joint-Force-Quarterly-80/Article/643108/unconventional-warfare-in-the-gray-zone/; Hal Brands, “Paradoxes of the Gray Zone,” Foreign Policy Research Institute, Feb. 5, 2016, https://www.fpri.org/article/2016/02/paradoxes-gray-zone/. [8] Jonathan F. Solomon, “Demystifying Conventional Deterrence: Great-Power Conflict and East Asian Peace,” Strategic Studies Quarterly 7, no. 4 (Winter 2013): 117–57, https://www.jstor.org/stable/26270780; Elbridge Colby and Jonathan Solomon, “Facing Russia: Conventional Defence and Deterrence in Europe,” Survival 57, no. 6 (2015): 21–50, https://www.tandfonline.com/doi/abs/10.1080/00396338.2015.1116146; Elbridge Colby and Jonathan F. Solomon, “Avoiding Becoming a Paper Tiger: Presence in a Warfighting Defense Strategy,” Joint Force Quarterly, no. 82 (July 2016), http://ndupress.ndu.edu/JFQ/Joint-Force-Quarterly-82/Article/793233/avoiding-becoming-a-paper-tiger-presence-in-a-warfighting-defense-strategy/. [9] Elbridge Colby, “Nuclear Weapons Aren’t Just for the Worst Case Scenario,” Foreign Policy, Aug. 4, 2016, https://foreignpolicy.com/2016/08/04/nuclear-weapons-arent-just-worst-case-scenario-first-use-china-obama-trump/. [10] For more on views on strategic stability, see Elbridge A. Colby and Michael S. Gerson, eds., Strategic Stability: Contending Interpretations (Carlisle Barracks, PA: U.S. Army War College Press, 2013), http://publications.armywarcollege.edu/pubs/2216.pdf. [11] For a recent treatment of the problem of limited nuclear war and potential scenarios involving it, see John K. Warden, “Limited Nuclear War: The 21st Century Challenge for the United States,” Livermore Papers on Global Security no. 4 (July 2018), https://cgsr.llnl.gov/content/assets/docs/CGSR_LP4-FINAL.pdf. [12] “Nuclear Matters Handbook 2016,” Office of the Deputy Assistant Secretary of Defense for Nuclear Matters, ch. 6, accessed Nov. 26, 2018, https://www.acq.osd.mil/ncbdp/nm/nmhb/chapters/chapter_6.htm. [13] Hans J. Morgenthau, “Another ‘Great Debate’: The National Interest of the United States,” American Political Science Review 46, no. 4 (December 1952): 978, https://www.jstor.org/stable/1952108. ) [contents] => Array ( [title] => [contents] => ) ) [1] => WP_Post Object ( [ID] => 745 [post_author] => 222 [post_date] => 2018-11-26 04:30:15 [post_date_gmt] => 2018-11-26 09:30:15 [post_content] => The Intermediate-Range Nuclear Forces (INF) Treaty is remembered as one of President Ronald Reagan’s most important strategic accomplishments. By deploying land-based intermediate-range cruise and ballistic missiles to Europe, Reagan was able to get Soviet Premier Mikhail Gorbachev to the negotiating table and eliminate that class of nuclear weapons, thereby making America’s European allies more secure as well as boosting comparative U.S. advantages in air and sea domains. And while the INF Treaty deserves its hallowed place in American Cold War history, “history” is the key word. Today, the treaty forces strategic liabilities on the United States that are increasingly unacceptable — especially given the rise of Chinese military power.[1] These liabilities seem to be understood in the White House. President Donald Trump has said that he intends to withdraw the United States from the treaty, citing Russian violations of the agreement dating to 2014.[2] How and whether this would occur is still unclear, but, crucially, the president also expressed a willingness to remain committed to an INF-type treaty, if Russia agrees to return to compliance and China finally becomes a signatory.[3] National Security Adviser John Bolton has reportedly expressed a similar sentiment.[4] The White House arrived at this position after Congress and military leaders publicly voiced concerns about the treaty. In light of Russian violations of its treaty obligations and China’s growing asymmetric advantage in land-based missiles threatening U.S. interests in Asia, the latest National Defense Authorization Act requires the president to determine if the “prohibitions set forth in Article VI of the INF Treaty remain binding on the United States as a matter of United States law.”[5] In April 2018, the incoming commander of U.S. Pacific Command (what soon became U.S. Indo-Pacific Command) told the Senate Armed Services Committee that “China is now capable of controlling the South China Sea in all scenarios short of war with the United States.”[6] A year earlier, his predecessor told the same committee that the INF Treaty, signed in 1987, was one of the primary reasons for Chinese dominance in the disputed waters.[7] Reagan and Gorbachev agreed in the treaty to prohibit their militaries from possessing, producing, and flight-testing ground-launched ballistic and cruise missiles that could hit targets at distances of 500 to 5,500 kilometers.[8] This prohibition applies to both nuclear and conventionally armed missiles. China possesses an arsenal of land-based conventional and nuclear intermediate-range missiles that threaten U.S. basing facilities and ships in the Western Pacific.[9] These missiles are also a threat to U.S. allies and partners in the region that allow American military forces to operate from their territory. If China were a signatory to the INF Treaty, approximately 95 percent of these missiles would be illegal as they fall within the range prohibition.[10] Beijing is not a signatory, however, and has made clear that it has no desire to be.[11] Hence, China has a strategic asymmetric advantage over the United States in the Western Pacific.  

Map 1: How China's Land Attack Capacity Has Grown Between 1996 and 2017 [12]

Many scholars and analysts of international security have joined the growing number of senior U.S. military leaders publicly acknowledging this Chinese threat.[13] Members of Congress have voiced concerns as well.[14] Before the president’s October comments about withdrawal, such discussions had not generated a sense of urgency to act. And even since President Trump’s intent to withdraw from the INF Treaty was reported, arms control advocates have continued to push for the United States to remain committed without adequately accounting for the treaty’s debilitating impact on U.S. security interests in Asia.[15] This must change if the United States is to regain its military dominance and associated deterrent capabilities in the Western Pacific. To be clear, China’s ground-launched ballistic and cruise missiles are among the U.S. military’s core conventional-warfighting challenges in Asia today. Beijing has exploited Washington’s compliance with the 31-year-old INF Treaty in three primary ways. First, it has fielded thousands of ground-launched ballistic and cruise missiles that put at risk the U.S. military’s forward-basing posture in the Western Pacific, along with American ships at sea in the region. These include around 2,000 conventionally armed, land-based short-range ballistic missiles (those with a range of 300 to 1,000 kilometers), medium-range ballistic missiles (1,000 to 3,000 kilometers), intermediate-range ballistic missiles (3,000 to 5,500 kilometers), and ground-launched cruise missiles (range of more than 1,500 kilometers).[16] Second, while China has fielded relatively inexpensive ground-launched missiles, the U.S. military has attempted to counter or offset them with exponentially more expensive missile-defense systems, as well as short-range, low observable tactical aircraft, ships, submarines, and long-range bomber delivery-based platforms. In other words, the United States is on the wrong side of an exponential cost-curve imbalance when it comes to trying to deter China conventionally. This approach would not have been as problematic in 1987, when the United States' gross domestic product was 18 times the size of China’s.[17] It is today though. The United States' gross domestic product is now only one and a half times the size of China’s. Worse, except for the option of limited-capacity long-range bombers, employing the other capabilities would require putting thousands of Americans in harm’s way well within range of China’s ground-launched missiles. [amcharts id="chart-12"]

(Data taken from the World Bank)

 

[amcharts id="chart-11"]

(Data taken from the World Bank)

Third, China is simultaneously leveraging its asymmetric advantage in ground-launched ballistic and cruise missiles to increasingly build and occupy key terrain within what Beijing considers its “blue soil” marked by the “nine-dash line” in the South China Sea. That includes emplacing advanced area-denial systems such as HQ-9 surface-to-air missiles and YJ-12 supersonic anti-ship cruise missiles. China views this terrain as vital to its interests for military and economic purposes and claims historical rights to it. These claims continue despite the Philippines — a U.S. mutual defense treaty ally for 67 years — and multiple U.S. partner nations doing the same, despite the U.N. Convention on the Law of the Sea, and despite the Permanent Court of Arbitration in The Hague ruling in Manila’s favor in Philippines v. China.[18] With Russia continually refusing to return to compliance and China unlikely to become a party to the INF Treaty, the Trump administration had four policy options. First, Washington could have continued to surrender U.S. conventional warfighting superiority in the Western Pacific and leaned ever more heavily on its nuclear deterrent. Second, the United States could have deepened and broadened investments in sea- and air-launched missile delivery platforms — which are not proscribed by the INF Treaty — in an attempt to regain conventional superiority. Third, Washington could have looked to emerging technologies, such as hypersonic weapons and artificial intelligence (AI)-enabled lethal autonomous weapons systems, as possible alternative solutions. Finally, the United States could have sought to somehow renegotiate the INF Treaty or, failing that, exercised its right to withdraw from the treaty in order to field ground-launched ballistic and cruise missiles. It seems that the Trump administration determined the fourth option was the soundest, including leaving the renegotiation option on the table.[19]

Map 2: China is increasingly militarizing artificial islands in the South China Sea.[20]

Given where things stand, U.S. policy responses going forward should be anchored in three main goals: First, seek to maximize America’s alliances and security partnerships in Asia, which represent asymmetric advantages.[21] Second, when doing so, appreciate that for the $13 billion cost of a single new U.S. Gerald Ford-class aircraft carrier, China can field an estimated 1,227 DF-21D “carrier killer” medium-range ballistic missiles.[22] By shifting U.S. military acquisition priorities away from “few and exquisite” to “small, many, and smart” systems,[23] America could complicate Chinese targeting processes and political leaders’ calculus of risk escalation as well as increase interoperability opportunities with allies. Third, as part of the shift in acquisition strategy, prioritize relatively low-cost and quickly fieldable long-range, conventionally-armed, ground-launched weapons systems, including ones capable of operating autonomously after a human “starts the loop.”[24] To achieve these goals, the United States should remain open to renegotiating the INF Treaty to account for an increasingly multipolar world. If such efforts prove untenable, the United States should finalize the president’s tentative decision to withdraw from the treaty. As President Trump has indicated,[25] this is certainly not the optimal course, but it is still a better option than the status quo. U.S. policymakers should also clarify the intent of Defense Department Directive 3000.09, “Autonomy in Weapons Systems.[26] Specifically, they should clearly define what is meant by “human judgment” when the policy says that “[a]utonomous and semi-autonomous weapon systems shall be designed to allow commanders and operators to exercise appropriate levels of human judgment over the use of force.”[27] Simultaneous with these efforts, the United States should work with treaty allies and potential partners in Asia to leverage these types of weapons to offset Chinese asymmetric advantages. Washington will also have to enhance its strategic communications and operational war plans to account for the increased capabilities. Some critics might argue that these suggestions merely replicate what China is doing to the United States and its allies. This is not the case. Instead, the proposed solutions are based on a multipolar international system in which the Western, rules-based international order that has existed since the end of World War II is in jeopardy. While appreciating these realities, the strategy seeks to ensure that the United States can maintain its mutual defense treaty obligations, assure regional partners, and deter further Chinese military aggression in the Western Pacific.[28] Simultaneously, the strategy seeks to provide increased escalation options for U.S. policymakers with the continued goal of securing American interests and maintaining peace in Asia. [quote id="1"] The remainder of this article proceeds in six parts. Before looking ahead, I begin with a history of how the United States arrived at its disadvantageous position. Only then can one fairly analyze possible options to enable the American military to restore full-spectrum conventional — in parallel with nuclear — warfighting dominance in the Western Pacific in accordance with the latest National Security Strategy.[29] Next, the four potential options discussed above must be weighed. Based on that analysis, I recommend a new strategic approach for the U.S. military in the Western Pacific rooted in renegotiating or exercising America’s right to withdraw from the INF Treaty. Then, I consider possible objections to the recommended strategic approach. Finally, this paper summarizes the recommended way forward to provide policymakers with the best chance for achieving America’s security interests in Asia.

Blunted Edge: How America Lost Its Conventional Dominance in the Western Pacific

To understand America’s perilous position in Asia, one has to wind back the clock 40 years to explore the INF Treaty, which was a product of strategic challenges in Europe. The late 1970s and early 1980s ushered in one of the tensest periods of the Cold War. Most Americans of a certain age and those who work in national security likely have seared in their minds images of U.S. helicopters lifting evacuees from a rooftop in Saigon in 1975. America’s defeat in Vietnam was followed a year later by the Soviet Union fielding the SS-20 “Saber” intermediate-range ballistic missile in Europe.[30] The Soviet military leadership believed that deploying this advanced missile system was essential to ensuring that the Warsaw Pact had equal or greater ability than the United States to deliver nuclear strikes in the European theater. This would enable the Soviet Union to undermine “the credibility of the U.S. nuclear guarantee to Western Europe.”[31] After extensive debates and deliberations, NATO’s leadership announced a dual-track decision on Dec. 12, 1979, in response to the Soviet SS-20 fielding: The United States would deploy 108 Pershing II intermediate-range ballistic missiles and 464 Tomahawk ground-launched cruise missiles in Britain, Italy, West Germany, Belgium, and the Netherlands, unless the SS-20s were removed.[32] Five weeks earlier, 52 U.S. diplomats and citizens were taken hostage in Tehran, starting their 444-day detention inside an Iran that had just transitioned from a strategic Western ally to a fierce opponent.[33] Twelve days after NATO’s announcement on the Pershing II and Tomahawks, Soviet troops invaded Afghanistan.[34] Cold War tensions were arguably higher than at any point since the Cuban missile crisis. After campaigning on increasing military might and statements such as “peace is not obtained or preserved by wishing and weakness,” Ronald Reagan was elected U.S. president on Nov. 4, 1980. He received 489 electoral votes, the highest number in history by a non-incumbent.[35] Between 1981 and 1987, the Pentagon’s budget increased in real terms by 45 percent.[36] On March 23, 1983, Reagan announced his Strategic Defense Initiative, the bold and controversial proposal often referred to as “Star Wars,” which he described as having the “ultimate goal of eliminating the threat posed by strategic nuclear missiles” by “means of rendering these nuclear weapons impotent and obsolete.”[37] On Sept. 1, 1983, Korean Air Lines Flight 007 departed New York en route to Seoul via Anchorage. The Korean flight veered 360 miles off course and into Soviet airspace,[38] where a Soviet Sukhoi-15 and MiG-23 intercepted it. Shortly thereafter, KE007 crashed into the Sea of Okhotsk, killing on impact all 269 passengers, including 61 Americans, one of whom was U.S. Rep. Larry P. McDonald.[39] Reagan described the incident as “an act of barbarism” and a “crime against nature.”[40] Soviet leaders suggested that the event was a “pre-planned American provocation” and that the United States was “on a collision course with the Soviet Union.”[41] Tensions escalated even higher later in 1983. NATO exercise Able Archer, executed Nov. 2 through Nov. 11,[42] focused on practicing the coordination requirements within the alliance’s command structure to authorize the use of nuclear weapons. In a key difference from previous exercises, this one involved actual U.S. and NATO leadership.[43] Soviet intelligence closely followed these leaders’ movements and assessed that they indicated a U.S. intent to “ensure a reliable first nuclear missile strike.”[44] Soviet leaders responded by ordering the forward-loading of tactical nuclear weapons onto aircraft in East Germany capable of striking into West Germany.[45] The situation escalated to the point where one analyst described the United States and Soviet Union as “apes on a treadmill,” inadvertently stumbling ever closer to nuclear war. Further intensifying matters, the first 16 Tomahawk missiles that were part of the 1979 dual-track decision arrived in England on Nov. 14.[46] Eight days later, the first Pershing II missiles arrived in West Germany. Soviet leaders responded by walking out of pre-scheduled INF talks and lifting a voluntary moratorium on their own intermediate-range nuclear weapon deployments.[47] Fortunately, the tensions never reached a boiling point. Reagan’s fervent beliefs that “no one can ‘win’ a nuclear war” and his desire to engage with Soviet leadership were the primary reasons.[48] From his initial days in office, Reagan wanted to reduce the risks of nuclear war, including by cutting U.S. and Soviet arsenals, eventually to zero. As early as November 1981, he offered Soviet leaders a zero-zero plan to eliminate all INF-range missiles in Europe.[49] When the Soviets continued to refuse these offers, however, Reagan, together with NATO leaders, shared that the alliance would proceed with the Tomahawk and Pershing II deployment. Reagan became increasingly convinced, as he explained to the British Parliament in June 1982, that “our military strength is a prerequisite to peace.”[50] In logic that is almost inconceivable more than three decades later, the tension-filled stumbling toward nuclear war in November 1983 helped provide for the United States what Reagan later described as “its strongest position in two decades to negotiate with the Russians from strength.”[51] This position of strength was soon reinforced by a key change within the Soviet Union. In March 1985, Mikhail Gorbachev became general secretary of the Communist Party.[52] Similarly to Reagan, Gorbachev believed that “nuclear war cannot be won and must never be fought.”[53] He also believed, perhaps in part due to the Soviet Union’s deep economic challenges, that these facts “made meaningless the arms race and the stockpiling and modernizing of nuclear weapons.”[54] When he made these comments, Washington and Moscow possessed the combined equivalent of “1.5 million Hiroshimas” worth of nuclear weapons.[55] And on the central front in Europe, roughly 975,000 Warsaw Pact troops stood opposite NATO’s 814,300 soldiers.[56] Something had to give. [quote id="2"] In April 1985, Gorbachev announced that he was suspending SS-20 missile deployments in Europe.[57] He met with Reagan for the first time at the Geneva summit in November.[58] Five months after this breakthrough summit, tragedy struck in the Soviet Union when a nuclear reactor exploded at the Chernobyl power plant.[59] The explosion caused more than 4,300 casualties.[60] The accident reinforced for Reagan and Gorbachev just how tenuous the proposition of mutually assured destruction really was and why it was so important to make serious progress on nuclear weapons reductions.[61] This belief served as the foundation for their signing the INF Treaty in December 1987.[62] Over the next four years, the Soviet Union and United States eliminated 1,800 and 800 ground-launched missiles, respectively, with ranges of 500 to 5,500 kilometers.[63] After the Soviet Union’s demise in 1991, the United States decided to maintain the treaty with the Russian Federation and the other Soviet successor states, and the compliance inspection regime continued until 2001.[64] Of note, due to concerns from Japan that the Soviet Union might remove missiles aimed toward Western Europe east of the Urals and turn them toward Tokyo, American negotiators insisted that the treaty ban both signatories from possessing a single missile within these ranges anywhere in the world.[65] Additionally, in the late 1980s, China’s emergence as a major world power — one that would eventually field around 2,000 missiles banned by the INF Treaty — was not anticipated.[66] Thus, China’s inclusion as a treaty signatory was never considered. Nearly 30 years after Reagan and Gorbachev signed the INF Treaty, the U.S. State Department determined in July 2014 that Russia had violated its commitment when developing the SSC-8 ground-launched, intermediate-range cruise missile.[67] Since then, Russia reportedly has deployed the illegal missile system on training exercises.[68] In March 2017, U.S. Air Force Gen. Paul Selva, the vice chairman of the Joint Chiefs of Staff, confirmed the violation and deployment in a House Armed Services Committee hearing.[69] He also explained that there is no reason to believe that Russia intends to resume compliance with the INF Treaty, which arguably should not have been a surprise given that as early as 2005, then-Russian Defense Minister Sergey Ivanov proposed to Defense Secretary Donald Rumsfeld that both countries should jointly withdraw from the treaty as it was no longer consistent with contemporary security conditions.[70] A month later, in a Senate Armed Services Committee hearing about Chinese ballistic and cruise-missile developments, the head of Pacific Command reconfirmed the Russian violation of the INF Treaty and agreed with Republican Sen. Tom Cotton of Arkansas when he stated, “that means the United States is the only country in the world — the only country in the world — that unilaterally refuses to build missiles that have a range of 500 to 5,500 kilometers.”[71] A year after this exchange, when commenting on the INF Treaty language in the 2019 National Defense Authorization Act, Republican Rep. Michael R. Turner of Ohio said that “you cannot have a treaty with oneself, and that’s the situation we’re in … we need to recognize reality.”[72] China’s Strategy Over the past two decades, China has aggressively pursued and heavily invested in land-based missiles as part of an anti-access/area-denial strategy.[73] This strategy has focused on countering U.S. military capabilities in the Western Pacific, including forward bases throughout Japan and Guam, as well as locations of frequent rotational positioning in the Philippines and Australia.[74] Pentagon estimates indicate that China possesses around 1,200 conventionally armed short-range ballistic missiles, 200 to 300 conventionally armed medium-range ballistic missiles, an unknown number of conventionally armed intermediate-range ballistic missiles, and 200 to 300 conventionally armed ground-launched cruise missiles.[75] In 2015, RAND estimated that China’s ballistic missiles have improved guidance systems that allow them to strike within minutes fixed targets accurate to within only a couple of meters.[76] These missiles are all part of China’s “projectile-centric strategy,” which includes close integration of cyber, counterspace, counter-air, and electronic warfare capabilities. It seeks to take advantage of China’s geographic “home turf” position relative to the United States, to exploit U.S. and allies’ lack of depth (particularly given the concentration of forces in Japan), and to leverage financial asymmetries such as the aforementioned “carrier killer” medium-range ballistic missile versus U.S. aircraft-carrier cost imbalance.[77] Notably, this strategy also seeks to exploit the United States’ obligation to abide by the INF Treaty, while China has no such hindrance. Put another way, China has successfully employed a relatively inexpensive “projectile-centric strategy” against America’s cost-prohibitive and transitory platform-based delivery (i.e., aircraft, ship, and submarine) alternative.[78] Additionally, China is executing this strategy with a PLA Rocket Force (PLARF), the strength of which is around 100,000 people, which is approximately 10 times the size of the U.S. 20th Air Force, America’s main ballistic-missile unit.[79] What does all this mean when it comes to potential conventional military conflict between the United States and China? In 2017, Thomas Shugart and Javier Gonzalez, two active-duty U.S. Navy fellows assigned to the Center for a New American Security and Johns Hopkins University Applied Physics Laboratory, respectively, conducted an extensive modeling and simulation effort to find out. The results showed the “potential for devastation of U.S. power projection forces and bases in Asia.”[80] While using only about 20 percent of the PLARF’s short-range ballistic missiles, 25 percent of its medium-range ballistic missiles, and 34 to 95 percent of its ground-launched cruise missiles (depending on source), the simulation demonstrated that within minutes after launch the following U.S. capabilities in Japan could be struck: all major command fixed headquarters, almost all U.S. ships in port, nearly every runway at all U.S. airbases, and more than 200 aircraft that were trapped due to runway cratering.[81] Shugart and Gonzalez’s realistic modeling and simulation effort confirmed this 2013 assessment of China scholar Ian Easton:
The Chinese military may achieve strategic effects that until recently were only achievable through the use of nuclear weapons . . . during the Cold War, both NATO and Warsaw Pact forces tasked nuclear missile units with the mission of destroying the other’s key air bases. The PLA plans to achieve the same effect with a relatively small number of ballistic missiles armed with conventional runway penetrating submunitions.[82]
Such dire predictions are likely why the incoming and outgoing heads of U.S. Pacific Command expressed in congressional testimony their serious concern with America’s continued commitment to the INF Treaty. In conjunction with implementing its “projectile-centric strategy,” China is steadily increasing its economic and military influence in the South China Sea and beyond. The most recent electronic warfare, HQ-9 surface-to-air missile, and YJ-12 supersonic anti-ship cruise-missile deployments in the Spratly Islands are just a few examples of the influence extension. A recent fleet naval exercise, including a Chinese aircraft carrier sailing near Taiwan, was another.[83] Beyond these military actions, China is leveraging its growing economy to buy influence in key locations in Asia as well. After U.S. special forces helped the Filipino Marine Corps destroy the Islamic State of the Levant (ISIL)/Islamic State Province in East Asia in Marawi last year, Chinese investors swooped in to help rebuild the town.[84] Further south, Chinese businesses are heavily investing in Darwin, Australia.[85] Darwin is home to a deep-water port and multiple nearby strategic airfields and bases that the U.S. military uses and that were used extensively in World War II. Additionally, in April 2018, Chinese investors bid to build an airfield and shopping mall complex on Guadalcanal in the Solomon Islands.[86] Between August 1942 and February 1943, in the first offensive U.S. land battle in the Pacific during World War II, 1,490 Americans were killed in action, with 4,804 others wounded, seizing Guadalcanal from the Japanese.[87] One of the mission’s main purposes was to establish an airfield to enable the Allied “island hopping” campaign to continue further to the west. Cumulatively, China’s steady pressure over multiple decades, steps often just short of instigating a war, have left U.S. policymakers in an extremely tenuous position. In response to China’s increasingly aggressive actions, they have had three options: They could begrudgingly accept Chinese gains; protest by means of increasingly less effective and more dangerous freedom-of-navigation exercises; or hope that America’s nuclear superiority alone will prevent China from ever attempting to seize Taiwan, disputed territory within the Senkaku Islands, or other claimed territories in the South China Sea.[88] Unipolar Moment, Counterterrorism, and U.S. Priorities, 1991 to 2017 After the collapse of the Soviet Union and the decisive U.S.-led military victory expelling Saddam Hussein’s army from Kuwait in 1991, numerous scholars and foreign policy analysts argued that the bipolar order of the Cold War had been replaced with America’s “unipolar moment.” In a Foreign Affairs article titled “The Unipolar Moment,” Charles Krauthammer wrote:
It has been assumed that the old bipolar world would beget a multipolar world with power dispersed to new centers in Japan, Germany (and/or “Europe”), China and a diminished Soviet Union/Russia. [This is] mistaken. The immediate post-Cold War world is not multipolar. It is unipolar. The center of world power is an unchallenged superpower, the United States, attended by its Western allies.[89]
Such unipolar euphoria continued throughout the 1990s and into the early 21st century. Part of this euphoria included U.S. officials’ desire to further integrate China into the global economy. At the time, China’s military expansion was not a major concern. Instead, further opening the Chinese economy to Western markets was a top priority.[90] For this reason, the U.S. encouraged and welcomed China’s entrance into the World Trade Organization in November 2001. In the winter of 2001, the United States was newly engaged in war in Afghanistan. After the Sept. 11, 2001 attacks, countering terrorism was America’s foremost national security priority. Terrorism remained the steady priority for nearly 17 years, consistently consuming a preponderance of U.S. policymakers’ attention and budgeting resources in campaigns that expanded from Afghanistan to Iraq, Syria, Libya, Yemen, Somalia, Pakistan, Niger, Mali, and other undisclosed locations. The U.S. Navy’s senior intelligence officer in the Pacific recently described the Defense Department’s priorities since 2001 in an article titled “How We Lost the Great Pacific War”:
Moving limited resources from the desert to the fleet was a challenge. Every year brought a new fight in the Mideast, which, while never an existential issue for the nation, carried the urgency of real-world operations. Saying no to U.S. Central Command for anything required steeling the soul for bureaucratic battle.[91]
Given the primary national security focus in U.S. Central Command and the Middle East since 2001, combined with enduring INF Treaty constraints on the United States and the overly lengthy celebration of America’s unipolar moment, China could not have picked a more appropriate strategy to deliberately and patiently reassert itself in the Western Pacific.

U.S. Goals in the Indo-Pacific in the Future

During a January 2018 speech at Johns Hopkins University’s Paul H. Nitze School of Advanced International Studies, U.S. Defense Secretary James Mattis announced, “Inter-state strategic competition, not terrorism, is now the primary concern in U.S. national security.”[92] Mattis’s remarks came on the heels of the National Security Strategy released in December 2017 that specifically calls out China (and Russia) for wanting to shape international affairs in ways that are antithetical to America’s values.[93] Additionally, the strategy explicitly states that “China seeks to displace the United States in the Indo-Pacific region … and reorder the region in its favor.”[94] The strategy also recognizes that those who believed that welcoming China’s rise and encouraging its integration into the global economy would lead to Beijing liberalizing and accepting the post-World War II international order have, unfortunately, been proven mistaken. After describing how China is openly challenging U.S. values and interests in Asia, the National Security Strategy describes multiple broad objectives for addressing the problem. First, the strategy directs that the United States must retain overmatch against potential great-power competitors. Overmatch is explained as a combination of “capabilities in sufficient scale to prevent enemy success and to ensure that America’s sons and daughters will never be in a fair fight.”[95] The United States has a clear overmatch against China in nuclear weapons capability; however, as Adm. Davidson, Thomas Shugart, and Javier Gonzalez have cautioned, this overmatch does not extend to the most important conventional warfighting capabilities in the Western Pacific. This is critical because the strategy further states that the United States “must convince adversaries that we can and will defeat them — not just punish them if they attack the United States.”[96] [quote id="3"] As things stand, however, it is highly unlikely, for all the reasons described in Shugart and Gonzalez’s “First Strike” report, that Chinese leaders fear the United States and its allies defeating them in a traditional conventional sense. Further, given the ongoing U.S. failure to stop Beijing’s expansionary efforts in the South China Sea — which since early 2017 have included building “about 72 acres, or 290,000 square meters, of new real estate at Fiery Cross, Subi, and Mischief Reefs in the Spratlys, and North, Tree, and Triton Islands in the Paracels” — along with not being willing to include Filipino claims in these disputed waters as part of the U.S.-Philippines mutual defense treaty, it is also likely that Chinese leaders do not believe American policymakers will resort to nuclear war to halt future expansion.[97]

Image 1: China's militarization of Fiery Cross Reef [98]

Options for Ensuring a Favorable U.S. Military Balance in Asia in the Future

The preceding sections’ analysis makes clear that the United States and its allies no longer have full-spectrum conventional overmatch in the Western Pacific. Additionally, the analysis describes how China maintains an increasingly dominant advantage in the conventional capabilities that arguably matter most in the region given geography: ground-launched short-range ballistic missiles, medium-range ballistic missiles, intermediate-range ballistic missiles, and ground-launched cruise missiles. The National Security Strategy directs that the Pentagon “will maintain a forward military presence capable of deterring and, if necessary, defeating any adversary, while strengthening our long-standing military relationships and encouraging the development of a strong defense network with our allies and partners.”[99] This section analyzes the four primary options available for achieving these goals: prioritizing a favorable nuclear warfighting capability balance without seeking to regain conventional overmatch against China; seeking to regain conventional warfighting overmatch under the current INF Treaty restrictions; seeking advantages in potential leap-ahead technologies, such as hypersonic weapons and AI-enabled lethal autonomous weapons systems, to offset inferiority in traditional conventional warfighting; and the United States renegotiating the INF Treaty or exercising its right to withdraw. Depend on Nuclear Superiority In his new book, The Logic of American Nuclear Strategy, Matthew Kroenig argues that states that possess nuclear superiority over others “are more likely to achieve their goals in international crises and less likely to be targeted with military challenges in the first place.”[100] This argument is the foundation of Kroenig’s “superiority-brinksmanship synthesis theory”:
A robust nuclear posture reduces a state’s expected cost of war, increasing its resolve in international political disputes, and thus providing it with a coercive advantage over states more vulnerable to a nuclear exchange. When political conflicts of interest emerge, nuclear inferior opponents are less likely to initiate a military challenge and more likely to back down if the crisis escalates.[101]
Kroenig’s book provides more than 70 years’ worth of insightful analysis to support his argument. This analysis includes comparisons between the impact of nuclear versus conventional warfighting superiority in determining outcomes of international crises. Kroenig concludes by explaining that “conventional military power matters in international politics, but not to the exclusion of the nuclear balance.”[102] Kroenig further emphasizes that in crises among nuclear-power states, “the nuclear balance was generally more central than the conventional balance.”[103] Beijing’s ongoing grab for power and influence in the South China Sea presents an interesting case study for Kroenig’s theory. It appears that China is consistently accomplishing its goals against the United States and its allies despite Washington having an advantage of approximately 2,000 nuclear warheads when it comes to either nation’s ability to strike the mainland of the other.[104] Why might this be the case? Five points can help explain why the ongoing China case might be an outlier to Kroenig’s theory. First, Chinese leaders appear to have mastered the concept of brinkmanship as explained by former U.S. Secretary of State John Foster Dulles: “The ability to get to the verge without getting into the war is the necessary art … If you try to run away from it, if you are scared to go to the brink, you are lost.”[105] This ties directly into the second matter: For the past 17 years, Chinese leaders have known that the U.S. military has been focused on the Middle East and that the South China Sea has not been a vital American security interest. Further, between 2008 and 2016, U.S. political leaders went out of their way not to identify China as a potential rival and great-power strategic competitor in the South China Sea, including when President Barack Obama refused Filipino requests to confirm that the bilateral mutual defense treaty between the United States and the Philippines applied to the Spratly Islands similarly to what Obama had agreed to do “for the U.S.-Japan Mutual Security Treaty and the disputed Senkaku Islands in the East China Sea.”[106] Third, given the analysis within Shugart and Gonzalez’s “First Strike” report, Chinese leaders know they can destroy the majority of U.S. power-projection capabilities in the Western Pacific within days, if not minutes, of a conflict breaking out, regardless of their nuclear inferiority. Fourth, Chinese leaders know that the United States has a limited capacity of long-range conventional bombers. While these bombers can be launched from outside the PLARF’s missile range and still reach the Chinese mainland, most are vulnerable to China’s increasingly advanced integrated air-defense systems. This assumes, of course, that U.S. policymakers believe the stakes involved in countering a given Chinese action are worth risking American lives. And thus far, they have not been.[107] Fifth, and specific to China’s nuclear inferiority relative to the United States, Chinese leaders have avoided crossing thresholds that they know are more likely to trigger nuclear retaliation, such as attempting to invade Taiwan. All five points have allowed China to methodically expand its military, economic, and even diplomatic influence in the Western Pacific. If the United States and its allies do not pursue a fundamentally different approach, there is no justifiable reason to believe Beijing will halt its aggressive expansionary actions in the South China Sea. Significant nuclear inferiority alone has yet to slow China’s actions. Seek Conventional Warfighting Overmatch Within INF Treaty Restrictions   In a recent article titled “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” T.X. Hammes describes a hypothetical scenario in 2020 that leaves the United States helpless, outside of employing nuclear weapons, to respond to a Chinese invasion of Taiwan.[108] Similar to Shugart and Gonzalez’s “First Strike” report, Hammes describes how easily U.S. forward bases and port facilities could be eliminated within the opening phase of a Chinese invasion of Taiwan. A graphic within his article illustrates China’s overwhelming long-range, ground-launched conventional strike advantage over the United States — even if U.S. aircraft carriers are already at sea. Beyond this range imbalance, Hammes focuses on the value of relatively inexpensive, ground-launched cruise missiles, of which China has approximately 200 to 300 with ranges in excess of 1,500 kilometers. He assesses that the ease in moving and hiding these missiles would make them “immune to most pre-emptive strikes.”[109] His article concludes with a disturbing warning:
By remaining focused on offensive operations employing air, land, and sea legacy systems that have been dominant in their domains for over 70 years, the Pentagon risks going the same way as the armored knights and battleships. Rather than continue to invest in systems which are already range obsolete, it is essential for defense analysts to rethink their current procurement strategy.[110]
While range obsolescence is a serious concern for these U.S. conventional capabilities, their cost perhaps provides reason to be even more worried. The Hammes graphic includes the approximately 625-mile range of the F-35 “A” and “C” variant jets. These aircraft cost around $95 million (F-35A) to $122 million (F-35C) per plane.[111] The Marines’ F-35B, not shown in the graphic likely due to range limitations, costs around $122 million each. The F-35As are intended to operate from air bases well within range of Chinese ballistic and cruise missiles. The F-35Cs are envisioned to operate from the Navy’s new $13 billion Gerald Ford-class aircraft carriers.[112] The Marines’ shorter-range F-35Bs are projected to operate from $3 billion amphibious assault ships and, assuming the aircraft’s high maintenance and sustainment costs can be greatly reduced, expeditionary advanced bases that will, in theory, be harder for China to target due to anticipated difficulty in locating the sites.[113] Each service’s F-35 operating concept briefs well until challenged with realistic assessments of Chinese ballistic- and cruise-missile capabilities. When these assessments are incorporated, it quickly becomes apparent how illogical the Pentagon’s F-35 procurement plans are. Moreover, given that the U.S. national debt recently eclipsed $21 trillion, the F-35’s range obsolescence and cost,[114] along with the even more expensive ships required to bring them to the fight (F-35B/C) and land- and sea-based missile-defense systems required in hopes of protecting the F-35s, one cannot help but wonder whether there are better options to counter China’s growing conventional warfighting superiority.[115] Potential Leap-Ahead Technologies In addition to describing the benefits of land-based missiles that are easy to disperse and hide, the Hammes article emphasized the importance of investing in autonomous systems and other emerging technologies, such as AI and additive manufacturing. “The convergence of advances in task-specific AI, advanced manufacturing, and drones,” Hammes wrote, “are creating a new generation of small, smart, and cheap weapons that have significant range advantage over America’s current arsenal of few but exquisite weapons.”[116] Other observers have come to similar conclusions when focused specifically on military operational challenges in the Western Pacific.[117] Semi-autonomous and autonomous systems, including AI-enabled lethal autonomous weapons systems, have great potential to help the United States and its allies regain their conventional military superiority in the South China Sea. This, of course, assumes that China does not gain overwhelming overmatch first, which could happen given reports suggesting Beijing has already fielded a reverse-engineered, 500-kilometer-range lethal autonomous weapons system to target adversary radars.[118] China has also already demonstrated a 56-unmanned boat swarm focused on targeting ships and has an exhibit at its military museum depicting “a UAV swarm combat system with swarms used for reconnaissance, jamming, and ‘swarm assault’ targeting an aircraft carrier.”[119] Hypersonic weapons are another promising innovation on the horizon. These weapons are envisioned to be able to reliably travel at speeds greater than five times that of sound.[120] The Defense Advanced Research Projects Agency is already working with the U.S. Air Force on multiple hypersonic weapons programs. Flight testing is expected to start in 2019, with initial prototypes built in 2022. If these weapons meet their potential, they will be able to defeat all current missile-defense systems while traveling at multi-thousand-mile ranges.[121] China claims to have successfully tested its first hypersonic weapon in August 2018.[122] A month earlier, Russia released a video purportedly showing its own hypersonic weapon test.[123] The potential upside of emerging technologies such as AI, AI-enabled lethal autonomous weapons systems, and hypersonic weapons is enormous. Successfully developing these capabilities is essential for future U.S. security interests, particularly given how heavily China and Russia are investing in them already. Specific to the ongoing problem in the South China Sea, though, it would be unwise to place in these new technologies all hopes of the United States regaining competitive conventional warfighting advantage in the near term. Most of the technologies are in their initial development phases. How they will perform in live combat conditions is far from certain. As has been described when discussing the potential of hypersonic weapons, “[I]t is nearly impossible to predict how a bunch of interconnected metal and electronics are going to behave moving at those speeds.”[124] In the case of AI-enabled lethal autonomous weapons systems, Defense Department Directive 3000.09 even appears to prohibit their development, as described earlier when highlighting the confusion over the “appropriate levels of human judgment over the use of force” criterion.[125] While some have suggested the directive could permit AI-enabled lethal autonomous weapons systems with approved waivers, the confusion alone has already delayed their development and is likely to continue to do so.[126] For this reason, it is essential to clarify Directive 3000.09 to ensure that the military services — particularly officials in requirements and acquisitions — understand that “human start the loop” lethal autonomous weapons systems are authorized. The potential for such systems to raise adversary escalation costs is immense, especially if fielded to the nation’s close-combat forces operating in thick vegetation and complex terrain within the “first island chain.”[127] [quote id="4"] Even if the U.S. military already had access to proven hypersonic weapons and AI-enabled lethal autonomous weapons systems, military innovation literature consistently highlights that technology alone is not sufficient to produce an increase in capability. How new technologies are integrated throughout military organizations, from doctrine development to employment concepts to manning and training, are ultimately what prove decisive.[128] For all of these reasons, the United States should continue to invest in developing these emerging capabilities, aggressively experiment with prototypes, war-game potential operational concepts, and seek to field the best technological innovations as quickly as possible. At the same time, however, U.S. policymakers should develop a plan that sets America and its allies on course to regain full-spectrum conventional warfighting dominance in the Western Pacific within the next few years. These emerging capabilities can then add to this dominance. Renegotiate or Exercise the Right to Withdraw from the INF Treaty The final option involves doing what the president recently ordered since Russia refuses to return to compliance with the treaty and China continues to express no interest in joining it: Make clear that America will exercise its legal right to withdraw while expressing a desire to renegotiate the treaty should Moscow and Beijing choose to be responsible members of the international community.[129] To be sure, the INF Treaty’s Euro-centric focus has had a net-positive impact in Europe over the past 31 years, and most NATO allies strongly support maintaining the INF regime in some form. It is past time to address the treaty’s debilitating impacts on U.S. security interests in the Western Pacific. As Adm. Harry B. Harris explained to the Senate Armed Services Committee in April 2017:
I think there’s goodness in the INF Treaty, anything you can do to limit nuclear weapons writ large is generally good … But the aspects of the INF Treaty that limit our ability to counter Chinese and other countries’ cruise missiles, land-based missiles, I think is problematic … I would never advocate unilateral withdrawing from the treaty because of the nuclear limitation part of it, but I do think we should look at renegotiating the treaty, we should consider it, because … there’s only two countries that signed on to it and one of them doesn’t follow it, so that becomes a unilateral limitation on us.[130]
What are the best ways to go about accomplishing Adm. Harris’s goals? Pursuing INF Treaty renegotiation would inevitably be a complex and multifaceted endeavor. Reaching a bilateral agreement on the treaty in 1987 took more than six years and involved inching ever closer to nuclear war, complex alliance negotiations with NATO, and a nuclear disaster at Chernobyl. Regardless of the likely challenges to renegotiation, continuing to express a willingness to pursue such an endeavor is worthwhile, if for no other reason than as a good-faith gesture by the United States to the rest of the world. In the long run, this endeavor might be the only way to save the spirit of the INF Treaty from meeting the same fate as the 1972 Anti-Ballistic Missile (ABM) Treaty. When exercising America’s legal right to withdraw from this treaty in 2002 for reasons of U.S. national security, President George W. Bush explained that “we no longer live in the Cold War world for which the ABM Treaty was designed.”[131] President Bush’s observation is similarly applicable today regarding the INF Treaty. We live in a multipolar world, and it includes two revisionist, strategic-power competitors that routinely challenge U.S. interests. One of these powers, Russia, has ignored its obligations under the INF Treaty for nearly four years.[132] The other power, China, refused U.S. and Russian offers in 2007 and 2008 to become a treaty member and has fielded around 2,000 missiles that are not compliant with the INF Treaty and are holding at risk U.S. and allied forces in the Western Pacific. These hard truths should form the foundation of renegotiation efforts. Specifically, U.S. policymakers should make clear these three points going into such talks: To address these points, the United States could initially request a trilateral summit on the future of the INF Treaty.[134] At such a summit, Washington should offer five potential paths forward:
  1. All three nations advocate a worldwide ban on the missiles and launchers currently prohibited by the INF Treaty. This would require Russia to return to compliance and China — as well as other countries, such as India, Pakistan, and South Korea — to eliminate its inventories of these systems.[135]
  2. A new INF Treaty with three signatories: the United States, Russia, and China. This treaty would maintain the 1987 restrictions, as well as requiring Russia to return to compliance within a period of six months. China would have to begin destruction of missiles and launchers immediately, with all non-compliant missiles eliminated within four years, similar to the timeframe for the United States and Soviet Union to destroy all of their systems. All signatories would also participate in regular compliance inspections for a period spanning no less than 15 years.
  3. A three-signatory treaty akin to the Strategic Arms Limitations Talks (SALT) focused on numerical limitations on missiles with a range of 500 to 5,500 kilometers, capping each nation’s inventory at no more than 100 weapon systems. This quantity would provide each nation a credible deterrent capability without giving any country an asymmetric offensive advantage.[136]
  4. A modified and re-ratified U.S.-Russian bilateral INF Treaty that permitted, as per Jim Thomas’s recommendations, relaxing limitations on land-based missile capabilities outside of Europe.[137] These modifications would also include permitting deployment of “forward-based, ground-launched systems (conventional weapons delivery only) outside that geographic area with ranges between 500 to 2,000 kilometers.”[138] These two steps would allow adequate targeting range to potentially counter the most pressing Chinese threats while still prohibiting land-based missiles with ranges of 2,000 to 5,500 kilometers. This latter constraint would likely address anticipated concerns of European allies by preventing Russian missile units from being permitted to move west of the Ural Mountains. Simultaneously, the constraint would likely allay Russian concerns that any future conventionally armed U.S. (or U.S. ally) ground-launched missile deployment would threaten Moscow.[139]
  5. If none of these pathways is deemed acceptable, an understanding that the United States will follow through on President Trump’s announcements and withdraw from the INF Treaty in 2019. Should this be the only pathway, the United States will then field ground-launched missile capabilities commensurate to those China currently employs. Additionally, the United States will be open to providing these weapons systems to mutual defense treaty allies and strategic partners in Asia. This path would also include a dual-track component similar to the one offered by NATO in 1979: If Russia and China ultimately agree to a new INF Treaty, then the United States would eliminate its newly fielded missiles while encouraging its treaty allies to do the same.
Unfortunately, it would not be a surprise if the proposed U.S. good-faith effort met outright resistance from Russia and China. Both nations’ actions over the past decade provide plentiful reasons to consider with skepticism the first four proposed pathways. Regardless of the low probability that Russia and China would agree with any of the four proposals, the United States would be well-served by one last good-faith attempt. U.S. allies and partners would likely welcome this approach as responsible and understandable. Additionally, achieving a decision on any of these five pathways would give the head of U.S. Indo-Pacific Command and policymakers in Washington the opportunity to enhance U.S. deterrence capabilities in the Western Pacific.[140] All of these pathways would also provide U.S. policymakers the ability to conduct diplomacy regarding Chinese economic and military expansion efforts from a position of conventional strength, which they do not possess today. And of the four potential options considered within this section — depend on nuclear superiority, seek conventional warfighting overmatch within INF Treaty restrictions, pursue potential leap-ahead technologies, and renegotiate or withdraw from the INF Treaty — to achieve the National Security Strategy’s goals, renegotiation or withdrawal is the only viable option in the near term. Adding a layer (or layers) to this option over the next five years with capabilities such as AI-enabled lethal autonomous weapons systems, focused specifically against potential adversary assault support platforms required to conduct a conventional military force invasion, should be a goal as well.

New U.S. Military Strategic Approach in the Western Pacific, 2018 and Beyond

While it would be ideal if Russia and China agreed to a three-party INF Treaty, or advocated a comprehensive worldwide INF Treaty or even a SALT-like one, this section proceeds with the assumption that both Russian and Chinese behavior over the past decade provide plenty of evidence to suggest that they would deem none of these pathways acceptable. This, then, leaves pathways four and five as the most likely probabilities. In either of these cases, the recommended military strategic approach for the United States in the Western Pacific would be similar. The overarching goal would be to increase U.S. conventional deterrence capabilities by drastically raising escalation costs should China contemplate attacking key American allies or continuing expansion efforts in the South China Sea.[141] Decreasing China’s probability for success calculus would be a concurrent goal. Simultaneously, the new strategy would make unmistakably clear to mutual defense treaty allies and regional partners that the United States has every intention of not merely maintaining but expanding its commitments in Asia. Further strengthening U.S. security relationships with treaty allies Japan and the Philippines would be central pillars of the strategy. For Japan, this would involve locating new ground-launched missiles within Okinawa Prefecture that could threaten Chinese military forces in the Western Pacific. Due to China’s ongoing military build-up and aggressive behavior, Japan’s Self-Defense Force is currently taking actions that would have been unthinkable to many only 10 to 15 years ago.[142] For example, the Japanese Self-Defense Force now has a surveillance radar site at Miyako, within Okinawa Prefecture; the Japanese are in the process of installing anti-ship missiles throughout their southwestern islands; and they are already working closely with U.S. units to ensure that these types of capabilities are interoperable between both nations’ militaries.[143] The new missile units would be in thickly vegetated areas or underground, and they would be road-mobile to complicate Chinese targeting efforts. Finding missile systems that routinely move within thickly vegetated areas would compel China to commit extensive intelligence, surveillance, and reconnaissance resources to the task. It would also incentivize China to invest in more missile-defense capabilities. Ultimately, for the U.S.-Japanese alliance, the long-term goal would be for these forces to be partnered and fully interoperable such that both nations’ military units possessed the capabilities and are able to deter and, if required, respond to Chinese aggression in the South China Sea as well as in the East China Sea.[144] Given recent tensions between the United States and the Philippines — which include President Rodrigo Duterte openly stating that America “cannot be trusted to fulfill its treaty commitments” — bolstering the U.S. security relationship with Manila would likely prove harder than doing so with Tokyo.[145] “Harder” is not hopeless, however. If new land-based missiles can provide U.S. policymakers with warfighting capability deemed strong enough to warrant granting the Philippines’ territorial claims in the Spratly Islands as part of the 1951 Mutual Defense Treaty, the Filipino president might welcome this type of cooperation. [quote id="5"] Assuming this enhanced capability, combined with America’s nuclear superiority relative to China, achieves this Duterte goal, then multiple options exist for how the land-based missiles could be employed. A permanently based U.S. missile unit in the Philippines is likely to be a non-starter for Manila. Rotating such units into the Philippines on training exercises as part of the 2014 U.S.-Philippines’ Enhanced Defense Cooperation Agreement could be welcomed in concert with other confidence-building steps.[146] After all, Article 1 of the agreement explains that the pact is intended to ensure that both countries can satisfy mutual defense treaty obligations to “maintain and develop their individual and collective capacity to resist armed attack,” and Duterte recently began allowing U.S. multi-domain task forces to conduct training exercises with the Filipino military toward this end.[147] He also approved further increasing exercises with U.S. military forces.[148] China is the only potential state-actor threat to the Philippines in the South China Sea. Perhaps even more welcome than only rotating U.S. land-based missile units through would be if Washington provided the capabilities for the Filipino military. On multiple occasions, Duterte has expressed displeasure with the quantity and quality of U.S. military aid to the Philippines.[149] Receiving new, conventionally-armed ground-launched missiles would almost certainly bolster Duterte’s confidence in the U.S. commitment to the Philippines. Once in the Philippines, missiles would ideally be deployed to Palawan Island, which ranges from approximately 333 to 750 kilometers from the Spratly Islands and is home to one of the agreed-upon coalition bases for the United States to use.[150] Deploying missiles underground or within Palawan’s thickly vegetated areas would, much like doing so in Okinawa Prefecture, greatly complicate Chinese targeting efforts. These missiles would also provide the Philippines an enduring ability to hold Chinese military forces in the South China Sea — such as the ones on Subi Reef — at risk. That is a significant capability gap typically only filled when a U.S. aircraft carrier is deployed in the region.[151] Even during these times, depending on U.S. aircraft carriers for support in or near the Spratly Islands is an increasingly risky proposition due to the PLARF’s increasing DF-21 capabilities.[152] Changing the INF Treaty would not require major modifications in relationships with U.S. allies and partners in Asia outside of Japan and the Philippines, although such changes could potentially create opportunities to strengthen those bonds. The new missile units could participate in routine joint exercises and coalition training. They would also reassure allies and partners of how seriously the United States is committed to maintaining peace and security in the Western Pacific.

Image 2: China's Militarization of Subi Reef [153]

This reassurance applies to potential U.S. missile units positioned in American territories in the Pacific as well. Moreover, this reassurance would apply for easily maneuverable U.S. close-combat units that are hard to track and locate and that are equipped with AI-enabled lethal autonomous weapons systems designed to destroy adversary landing craft and other platforms required to conduct an invasion.[154]

Possible Objections

Before considering likely objections from critics, it is important to emphasize — again — that the strategic approach proposed in this article assumes China will continue to refuse, at least initially, any effort to globalize the INF Treaty and that Russia will not resume compliance.[155] Since the 2007 and 2008 offers to China to join the INF Treaty, Beijing has expanded the PLARF’s land-based missile capabilities.[156] Further, this article assumes that China will not unilaterally decide to eliminate its thousands of ground-launched missile capabilities. These baseline assumptions are important when considering possible objections. Some will argue that modifying the INF Treaty as described in the fourth pathway or withdrawing from it altogether would lead to an arms race in Asia. But China has already decided to pursue this option and was not satisfied with a missile advantage in the tens or even hundreds. Beijing has obtained an estimated 2,000 missiles — the clear majority of which fall within the parameters banned by the INF Treaty. If China continues to refuse to globalize the treaty or to unilaterally and voluntarily eliminate its 2,000 missiles, then the United States has no choice but to pursue withdrawal from the treaty. Others are likely to argue that U.S. allies will not welcome Washington renegotiating, or worst case, withdrawing from the treaty, nor will they allow American ground-launched ballistic or cruise missiles to be forward-based in their countries. In the case of Europe, NATO’s Secretary General, Jens Stoltenberg has supported the United States’ decision, stating, “[T]he treaty is not working if it’s only being respected by one side. The problem, the threat, the challenge is Russian behavior, which has been ongoing for a long time.”[157] Such an argument may have merit in South Korea amid ongoing “de-nuclearization” talks.[158]  However, given all that Japan is investing in its military, including for missile-defense systems, F-35As, long-range surveillance aircraft, land-based anti-ship missiles, naval combatant vessels, amphibious ships, and even creating an “Amphibious Rapid Deployment Brigade,”[159] it is  unlikely that Tokyo would deny such a request.[160] While Japan’s Chief Cabinet Secretary, Yoshihide Saga, recently described potential U.S. withdrawal from the INF Treaty as “undesirable,” he also said, “[C]hanges in the global security environment, such as Russia’s significant violation … are serious issues in light of our country’s peace and stability.”[161] It is more likely that Japan would eventually ask to partner with the United States, having their own interoperable systems. As previously mentioned, the government in Manila might request an interoperable capability for the Filipino army, while possibly allowing new U.S. systems to participate in training exercises such as the recently completed Balikatan or KAMANDAG.[162] Australia, like Japan, has heavily invested in new advanced capabilities to help counter China’s aggressive actions. These capabilities, including an amphibious brigade, ships for this force, F-35As, and long-range surveillance aircraft, were carefully chosen to ensure maximum interoperability with the U.S. military.[163] Additionally, Australia has welcomed a semi-permanent, multi-thousand-personnel U.S. Marine force operating out of Darwin.[164] The proposed land-based missile units could become part of this semi-permanent force in the future, operated by the United States alone, in partnership with the Australian Defense Force, or possibly by only the Australian force. The U.S. military could also forward-base new capabilities in Guam, as it already does with long-range bombers, surveillance aircraft, submarines, and a variety of other capabilities, or position them in other U.S. territories in the Pacific.[165] Other critics might argue that renegotiating or following through and withdrawing from the INF Treaty in 2019 would risk stalling or even derailing “de-nuclearization” efforts with North Korea. In fact, the world will know in the coming months how committed Kim Jong-un is to dismantling his nuclear weapons program. If it is clear that he is serious and that the United States renegotiating or withdrawing from the INF Treaty could cause him to change course, then perhaps the United States might want to delay such efforts by a few months, while prioritizing elimination of nuclear weapons on the Korean Peninsula first. Even if this path is pursued, initial development efforts for a new Pershing II or similar missile should commence in 2019. After all, the United States is the only major power abiding by the INF Treaty. Simultaneously, the United States should set concrete timelines with North Korea on dismantling its nuclear program. If, within a year, Kim Jong-un has not demonstrated major dismantlement on the path toward complete elimination, and allowed international inspectors to confirm this, the United States should proceed with INF Treaty renegotiation or withdrawal efforts. [quote id="6"] Another potential objection is that renegotiating or withdrawing from the INF Treaty and creating new integrated ground-launched cruise- and ballistic-missile concepts of employment are not necessary to accomplish U.S. security objectives in the Western Pacific. Instead, those holding this belief might argue that all that is necessary to stop Chinese aggression and expansionary efforts is for the United States to confirm publicly that Filipino territorial claims within the Spratly Islands are part of the 1951 U.S.-Philippines Mutual Defense Treaty.[166] As such, if China were to violate Filipino sovereignty, it would automatically be declaring war on the United States (and its superior nuclear arsenal). In other words, those making this argument would say that the United States simply needs to make clear to Beijing that Filipino claims in the Spratly Islands are the equivalent of American claims. And if these claims are violated, Matthew Kroenig’s “superiority-brinksmanship synthesis theory” directly applies, which China likely does not account for absent this public commitment from Washington.[167] Of the four possible objections, this one is the most interesting because it is all but impossible to know whether it would work. Kroenig’s historical analysis suggests that it would. Yet if public recognition by the United States of Filipino claims in the South China Sea were all that is needed to halt China’s expansion and militarization efforts in the disputed waters, then why hasn’t Washington already done so? It is likely that growing gaps in U.S. conventional warfighting capability relative to China are the primary reason this has not happened. U.S. policymakers likely believe, given the geography and relative differences in conventional combat power in the South China Sea, that depending on nuclear superiority alone is too risky.

Peace Through Strength

So where does the United States go from here on the INF Treaty? This article argued that the United States should continue to try to make a deal on a renegotiated INF Treaty while also making clear that if Moscow and Beijing do not both commit to doing so then Washington will, as the least preferred option, exercise its right to withdraw from the treaty in 2019. Simultaneously, the United States should field AI-enabled lethal autonomous weapons systems to its military forces. These capabilities are critical to restoring America’s full-spectrum conventional military warfighting dominance in the Western Pacific. I also reviewed how the United States and its treaty allies lost this dominance over the past few decades — how China took advantage of U.S. overconfidence in its unipolar moment and, since 2001, the overwhelming U.S. focus on counterterrorism operations in the Middle East to exploit gaps in the INF Treaty. China has fielded around 2,000 ground-launched ballistic and cruise missiles — around 95 percent of which would violate the INF Treaty if China were a signatory — that hold at risk all U.S. bases, ports, and even deployed ships in the Western Pacific. China has also fielded a 500-kilometer range lethal autonomous weapon system. With this overwhelming advantage in conventional-strike capability, China subsequently embarked on an aggressive campaign to build and occupy islands in the South China Sea to expand its economic and military influence. Next, I described the National Security Strategy’s intent to restore American dominance in the Western Pacific. The article considered four potential options for the United States to regain its conventional warfighting advantage, alongside its nuclear superiority, in the region. I ultimately recommended the path that America is headed down, a dual-track withdrawal from the INF Treaty as the only viable near-term path to achieve the National Security Strategy intent, while encouraging fielding specifically focused AI-enabled lethal autonomous weapons systems to U.S. close-combat units as quickly as possible. Finally, the article considered the most likely objections to this recommendation. To be sure, it is unfortunate that China’s pursuit of a “projectile-centric” anti-access/area-denial strategy, in conjunction with Beijing’s increasingly aggressive economic and military expansion efforts in the South China Sea, has forced the United States into a position requiring INF Treaty renegotiation or withdrawal, as well as embracing AI-enabled lethal autonomous weapons systems. After welcoming and even encouraging China’s acceptance into the global economy shortly after the Sept. 11, 2001, attacks and later offering to “globalize” the INF Treaty, one might have hoped that Beijing would have taken a different path. But China did not. It is also increasingly clear that China seeks to dominate the South China Sea, erode U.S. military alliances in Asia, and threaten the post-World War II rules-based international order, including with autonomous weapons. For the United States to achieve the objectives described in the National Security Strategy, thereby stopping China from achieving its goals, it must renegotiate or exercise its right to withdraw from the INF Treaty immediately. Simultaneously, the Pentagon should move as quickly as possible to equip close-combat units with AI-enabled lethal autonomous weapons systems to add another key layer to its deterrent capabilities. These actions are essential to future U.S. security interests in the Pacific. Acknowledgements: For helpful discussions and suggestions, the author would like to thank Michael Albertson, Elizabeth Charles, T.X. Hammes, Frank Hoffman, Ben Jensen, Matthew Kroenig, James Graham Wilson, Ryan Evans, an anonymous reviewer, and the Texas National Security Review editing team. Any remaining shortcomings are solely the author’s responsibility. Scott A. Cuomo is a Marine infantry officer and operational planner currently participating in the Commandant of the Marine Corps Strategist Program at Georgetown University. Image: Department of Defense [post_title] => It's Time to Make a New Deal: Solving the INF Treaty's Strategic Liabilities to Achieve U.S. Security Goals in Asia [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => its-time-to-make-a-new-deal-solving-the-inf-treatys-strategic-liabilities-to-achieve-u-s-security-goals-in-asia [to_ping] => [pinged] => [post_modified] => 2019-01-14 18:11:01 [post_modified_gmt] => 2019-01-14 23:11:01 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=745 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => The U.S. and its allies need a different approach to deter China in the Western Pacific. After building islands in the South China Sea’s disputed waters, claiming they were for peaceful purposes, China recently militarized them. Chinese military units then threatened U.S., allied, and civilian ships and aircraft operating in the region. These Chinese forces are backed by the world’s best conventionally-armed, land-based missile force. U.S. Intermediate-Range Nuclear Forces Treaty compliance and reluctance to field autonomous weapons has limited the Pentagon’s ability to counter Chinese actions. This article describes a new approach that enables achieving U.S. security goals in Asia. [pubinfo] => [issue] => Vol 2, Iss 1 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => [A]ppreciate that for the $13 billion cost of a single new U.S. Gerald Ford-class aircraft carrier, China can field an estimated 1,227 DF-21D “carrier killer” medium-range ballistic missiles. ) [1] => Array ( [author] => [style] => right [text] => Fortunately, the tensions never reached a boiling point. Reagan’s fervent beliefs that “no one can ‘win’ a nuclear war” and his desire to engage with Soviet leadership were the primary reasons. ) [2] => Array ( [author] => [style] => left [text] => The U.S. has a clear overmatch against China in nuclear weapons capability; however...this overmatch does not extend to the most important conventional warfighting capabilities in the Western Pacific. ) [3] => Array ( [author] => [style] => right [text] => Specific to the ongoing problem in the South China Sea, though, it would be unwise to place in these new technologies all hopes of the U.S. regaining competitive conventional warfighting advantage in the near term. ) [4] => Array ( [author] => [style] => left [text] => Ultimately, for the U.S.-Japanese alliance, the long-term goal would be for these forces to be partnered and fully interoperable... ) [5] => Array ( [author] => [style] => right [text] => For the United States to achieve the objectives described in the National Security Strategy, thereby stopping China from achieving its goals, it must renegotiate or exercise its right to withdraw from the INF Treaty immediately. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => ) [authors] => Array ( [0] => 222 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] Evan Braden Montgomery, “Contested Primacy in the Western Pacific: China’s Rise and the Future of U.S. Power Projection,” International Security 38, no. 4 (Spring 2014): 115-49 and James Holmes, “Visualize Chinese Sea Power,” Proceedings, June 2018, 27-31. [2] David E. Sanger and William J. Broad, “U.S. to Tell Russia It Is Leaving Landmark I.N.F. Treaty," New York Times, Oct. 19, 2018, https://www.nytimes.com/2018/10/19/us/politics/russia-nuclear-arms-treaty-trump-administration.html. [3] Radio Free Europe/Radio Liberty, “U.S. to Terminate Arms-Control Treaty Over Russia’s ‘Violations,’” Oct. 21, 2018, https://www.youtube.com/watch?v=vbwHLdHIMeA. [4] John Hudson and Paul Sonne, “Bolton Pushes Trump Administration to Withdraw from Landmark Arms Treaty,” Washington Post, Oct. 19, 2018, https://www.washingtonpost.com/world/national-security/bolton-pushes-trump-administration-to-withdraw-from-landmark-arms-treaty/2018/10/19/f0bb8531-e7ce-4a34-b7ba-558f8b068dc5_story.html. [5] “Adherence to and Compliance with Arms Control, Nonproliferation, and Disarmament Agreements and Commitments,” State Department, July 2014, https://www.state.gov/documents/organization/230108.pdf; Thomas Shugart and Javier Gonzalez, First Strike: China’s Missile Threat to U.S. Bases in Asia (Washington, DC: Center for a New American Security, June 2017); Karoun Demirjian, “Lawmakers Take Steps Toward Nullifying Nuclear Arms Treaty with Russia,” Washington Post, May 10, 2018, https://www.washingtonpost.com/powerpost/lawmakers-seek-to-void-nuclear-arms-treaty-with-russia/2018/05/10/a3f07d70-545d-11e8-9c91-7dab596e8252_story.html; H.R. 5515, “John S. McCain National Defense Authorization Act for Fiscal Year 2019,” July 2018, 1029–34, https://docs.house.gov/billsthisweek/20180723/CRPT-115hrpt863.pdf. [6] “Advance Policy Questions for Admiral Philip Davidson, USN, Expected Nominee for Commander, U.S. Pacific Command,” April 17, 2018, https://www.armed-services.senate.gov/imo/media/doc/Davidson_APQs_04-17-18.pdf. [7] “Hearing to Receive Testimony on United States Pacific Command and United States Forces Korea,” Senate Armed Services Committee, April 27, 2017, https://www.armed-services.senate.gov/imo/media/doc/17-36_04-27-17.pdf. [8] “Treaty Between the United States of America and the Union of Soviet Socialist Republics on the Elimination of Their Intermediate-Range and Shorter-Range Missiles (INF Treaty),” State Department, Dec. 8, 1987, https://www.state.gov/t/avc/trty/102360.htm. [9] Shugart and Gonzalez, First Strike, 4. [10] Eric Sayers, “The Intermediate-Range Nuclear Forces Treaty and the Future of the Indo-Pacific Military Balance,” War on the Rocks, Feb. 13, 2018, https://warontherocks.com/2018/02/asia-inf/. [11] Ankit Panda, “The Uncertain Future of the INF Treaty,” Council on Foreign Relations, Oct. 22, 2018, https://www.cfr.org/backgrounder/uncertain-future-inf-treaty. [12] This map has been reprinted here with permission from the RAND Corporation. The original can be found in Eric Heginbotham et al., The U.S.-China Military Scorecard: Forces, Geography, and the Evolving Balance of Power, 1996–2017, RR-393-AF, (RAND Corporation, September 2015), https://www.rand.org/pubs/research_reports/RR392.html. [13] See, for example, Jim Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty,” July 17, 2014, https://csbaonline.org/research/publications/future-of-the-intermediate-range-nuclear-forces-inf-treaty/publication; Sayers, “The Intermediate-Range Nuclear Forces Treaty and the Future of the Indo-Pacific Military Balance”; Patrick M. Cronin and Hunter Stires, “China Is Waging a Maritime Insurgency in the South China Sea. It’s Time for the United States to Counter It,” National Interest, Aug. 6, 2018, https://nationalinterest.org/feature/china-waging-maritime-insurgency-south-china-sea-its-time-united-states-counter-it-28062; Elbridge Colby and Jonathan F. Solomon, “Avoiding Becoming a Paper Tiger: Presence in a Warfighting Defense Strategy,” Joint Force Quarterly 82, no. 3 (2016), 24-32, http://ndupress.ndu.edu/Portals/68/Documents/jfq/jfq-82/jfq-82_24-32_Colby-Solomon.pdf; and  David Ochmanek et al., U.S. Military Capabilities and Forces for a Dangerous World: Rethinking the U.S. Approach to Force Planning (RAND Corporation, 2017), xii and 10-11, ttps://www.rand.org/pubs/research_reports/RR1782.html. [14] As one example, see the dialogue between Sen. Tom Cotton and Adm. Harry B. Harris Jr. in “Hearing to Receive Testimony on United States Pacific Command and United States Forces Korea,” Senate Armed Services Committee, April 27, 2017, https://www.armed-services.senate.gov/imo/media/doc/17-36_04-27-17.pdf. [15] See, for example, Steven Pifer, “The Trump Administration Is Preparing a Major Mistake on the INF Treaty,” Brookings Institution, Oct. 19, 2018, https://www.brookings.edu/blog/order-from-chaos/2018/10/19/the-trump-administration-is-preparing-a-major-mistake-on-the-inf-treaty/. [16] Defense Department, “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2017,” 57, https://www.defense.gov/Portals/1/Documents/pubs/2017_China_Military_Power_Report.PDF. [17] The gross domestic product comparative data are from the World Bank, https://data.worldbank.org/indicator/NY.GDP.MKTP.CD?locations=CN. [18] Gregory B. Poling and Conor Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish,” War on the Rocks, May 17, 2018, https://warontherocks.com/2018/05/the-dangers-of-allowing-u-s-philippine-defense-cooperation-to-languish/; and Cronin and Stires, “China Is Waging a Maritime Insurgency in the South China Sea.” [19] Radio Free Europe/Radio Liberty, “U.S. to Terminate Arms-Control Treaty Over Russia’s ‘Violations.’” [20] The image source is the Defense Department’s “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2017,” 11, https://www.defense.gov/Portals/1/Documents/pubs/2017_China_Military_Power_Report.PDF. [21] Michael J. Green, By More Than Providence: Grand Strategy and American Power in the Asia Pacific Since 1783 (New York: Columbia University Press, 2017), 543. [22] Henry J. (Jerry) Hendrix, “At What Cost a Carrier,” Center for a New American Security, March 2013, 8, https://s3.amazonaws.com/files.cnas.org/documents/CNAS-Carrier_Hendrix_FINAL.pdf?mtime=20160906080533. [23] T.X. Hammes, “The Future of Warfare: Small, Many, Smart Vs. Few & Exquisite?” War on the Rocks, July 16, 2014, https://warontherocks.com/2014/07/the-future-of-warfare-small-many-smart-vs-few-exquisite/. [24] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty”; Jeff Cummings, Scott Cuomo, Olivia Garard, and Noah Spataro, “Marine Warbot Companies: Where Naval Warfare, the U.S. National Defense Strategy, and Close Combat Lethality Task Force Intersect,” War on the Rocks, June 28, 2018, https://warontherocks.com/2018/06/marine-warbot-companies-where-naval-warfare-the-u-s-national-defense-strategy-and-close-combat-lethality-task-force-intersect/. Additionally, for more information on lethal autonomous weapons, including those reported in China’s inventory, see Paul Scharre, The Army of None: Autonomous Weapons and the Future of War (New York: W.W. Norton, 2018), 47–50. [25] Radio Free Europe/Radio Liberty, “U.S. to Terminate Arms-Control Treaty Over Russia’s ‘Violations.’” [26] Department of Defense Policy Directive 3000.09, “Autonomy in Weapon Systems,” May 8, 2017, http://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/300009p.pdf. [27] “Autonomy in Weapon Systems.” [28] Michael J. Mazarr, “The Real History of the Liberal Order: Neither Myth Nor Accident,” Foreign Affairs, Aug. 7, 2018, https://www.foreignaffairs.com/articles/2018-08-07/real-history-liberal-order. [29] National Security Strategy of the United States of America, White House, December 2017, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905-2.pdf. [30] David Holloway, “The Dynamics of the Euromissile Crisis, 1977–1983” in The Euromissile Crisis and the End of the Cold War, ed. Leopoldo Nuti, Frederic Bozo, Marie-Pierre Rey, and Bernd Rother (Washington, DC: Woodrow Wilson Center Press, 2015), 11–12; and Richard Rhodes, Arsenals of Folly: The Making of the Nuclear Arms Race (New York: Alfred A. Knopf, 2007), 134–35. [31] Holloway, “The Dynamics of the Euromissile Crisis, 1977–1983,” 12–13. [32] Holloway, “The Dynamics of the Euromissile Crisis, 1977–1983,” 16–17. [33] Martin Walker, The Cold War: A History (New York: Henry Holt, 1993), 246–48. [34] Rhodes, Arsenals of Folly, 60–61. [35] Andrew Axelrod, “Hours After Assassin’s Release Ronald Reagan’s Family Publish Controversial Statement,” Life Aspire, Aug. 10, 2016, http://www.lifeaspire.com/6613/man-who-attempted-to-kill-reagan-released-from-psychiatric-hospital/. [36] Rhodes, Arsenals of Folly, 149. [37] Rhodes, Arsenals of Folly, 175. [38] Rhodes, Arsenals of Folly, 160–63. [39] Rhodes, Arsenals of Folly. [40] Rhodes, Arsenals of Folly, 162; and Ronald Reagan, An American Life (New York: Simon and Schuster, 1990), 582–86. [41] Dmitry Adamsky, “‘Not Crying Wolf’: Soviet Intelligence and the 1983 Scare,” in The Euromissile Crisis and the End of the Cold War, ed. Leopoldo Nuti, Frederic Bozo, Marie-Pierre Rey, and Bernd Rother (Washington, DC: Woodrow Wilson Center Press, 2015), 56-57. [42] Adamsky, “‘Not Crying Wolf.’” [43] Rhodes, Arsenals of Folly, 164. [44] Adamsky, “‘Not Crying Wolf,’” 56-57. [45] Rhodes, Arsenals of Folly, 165. [46] Rhodes, Arsenals of Folly, 166. [47] Rhodes, Arsenals of Folly, 166. [48] Reagan, An American Life, 550; and Melvyn P. Leffler, “Ronald Reagan and the Cold War: What Mattered Most,” Texas National Security Review 1, no. 3 (May 2018): 77–89, http://hdl.handle.net/2152/65636. [49] Reagan, An American Life, 550; and Marilena Gala, “The Euromissile Crisis and the Centrality of the ‘Zero Option,’” in The Euromissile Crisis and the End of the Cold War, ed. Leopoldo Nuti, Frederic Bozo, Marie-Pierre Rey, and Bernd Rother (Washington, DC: Woodrow Wilson Center Press, 2015), 161–62. [50] Reagan, An American Life, 554. [51] Reagan, An American Life, 586–87. [52] Reagan, An American Life, 11–13. [53] Rhodes, Arsenals of Folly, 212; Elizabeth C. Charles, “Gorbachev and the Decision to Decouple the Arms Control Package,” in The Euromissile Crisis and the End of the Cold War, ed. Leopoldo Nuti, Frederic Bozo, Marie-Pierre Rey, and Bernd Rother (Washington, DC: Woodrow Wilson Center Press, 2015), 66–84; and James Graham Wilson, “The Nuclear and Space Talks, George Shultz, and the End of the Cold War,” in New Perspectives on the End of the Cold War: Unexpected Transformations? ed. Bernhard Blumenau, Jussi M. Hanhimaki, and Barbara Zanchetta (New York: Routledge, 2018), 35. [54] Rhodes, Arsenals of Folly, 212. [55] Rhodes, Arsenals of Folly, 69. [56] Rhodes, Arsenals of Folly, 219. [57] Howard A. Tyner, “Gorbachev Offers Gesture on Missiles,” Chicago Tribune, April 8, 1985, http://articles.chicagotribune.com/1985-04-08/news/8501200149_1_gorbachev-plan-soviet-leader-soviet-american-relations. [58] Reagan, An American Life, 11–16. [59] Rhodes, Arsenals of Folly, 3–26 and 227–28. [60] Rhodes, Arsenals of Folly, 21. [61] Reagan, An American Life, 676, 685, and 710; Charles, “Gorbachev and the Decision to Decouple the Arms Control Package,” 81; and Svetlana Savranskaya, “Learning to Disarm: Mikhail Gorbachev’s Interactive Learning and Changes in the Soviet Negotiating Positions Leading to the INF Treaty,” in The Euromissile Crisis and the End of the Cold War, ed. Leopoldo Nuti, Frederic Bozo, Marie-Pierre Rey, and Bernd Rother (Washington, DC: Woodrow Wilson Center Press, 2015), 90–91. [62] INF Treaty, https://www.state.gov/t/avc/trty/102360.htm. [63] INF Treaty, https://www.state.gov/t/avc/trty/102360.htm. [64] Panda, “The Uncertain Future of the INF Treaty.” [65] Sayers, “The Intermediate-Range Nuclear Forces Treaty and the Future of the Indo-Pacific Military Balance”; and David T. Jones, “Asian Arms Control Attitudes Post-INF,” in The Reagan-Gorbachev Arms Control Breakthrough: The Treaty Eliminating Intermediate-Range Nuclear Force Missiles, ed. David T. Jones (Vellum, 2012), 263–76. [66] Jones, “Asian Arms Control Attitudes Post-INF,” 272–76. [67] “Adherence to and Compliance with Arms Control, Nonproliferation, and Disarmament Agreements and Commitments,” State Department, 2018,  https://www.state.gov/t/avc/rls/rpt/2018/280532.htm; and Nuclear Posture Review, Defense Department (February 2018), 10, https://media.defense.gov/2018/Feb/02/2001872886/-1/-1/1/2018-NUCLEAR-POSTURE-REVIEW-FINAL-REPORT.PDF. [68] Matthew Kroenig, “Washington Must Respond to Russia’s New Nuclear Missile,” Atlantic Council, Feb. 14, 2017, http://www.atlanticcouncil.org/blogs/new-atlanticist/trump-must-respond-to-russia-s-new-nuclear-missile. [69] John M. Donnelly, “Hill Wants Answers on Russia’s Fielding of New Missiles,” Roll Call, March 8, 2017, https://www.rollcall.com/news/hill-wants-answers-russias-fielding-new-missiles. [70] “Consequences and Context for Russia’s Violations of the INF Treaty,” House Armed Services Committee, March 30, 2017, https://armedservices.house.gov/legislation/hearings/consequences-and-context-russias-violations-inf-treaty; and Jeffrey Lewis, “So Long, INF?” March 10, 2005, Arms Control Wonk, https://www.armscontrolwonk.com/archive/200470/so-long-inf/. [71] “Hearing to Receive Testimony on United States Pacific Command and United States Forces Korea,” https://www.armed-services.senate.gov/imo/media/doc/17-36_04-27-17.pdf. [72] Demirjian, “Lawmakers Take Steps Toward Nullifying Nuclear Arms Treaty with Russia.” [73] Stephen Biddle and Ivan Oelrich, “Future Warfare in the Western Pacific: Chinese Antiaccess/Area Denial, U.S. AirSea Battle, and Command of the Commons in East Asia,” International Security 41, no. 1 (Summer 2016): 7–48, https://dx.doi.org/10.1162/ISEC_a_00249; and Sayers, “The Intermediate-Range Nuclear Forces Treaty and the Future of the Indo-Pacific Military Balance.” [74] Montgomery, “Contested Primacy in the Western Pacific”; Shugart and Gonzalez, First Strike; and Defense Department, “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2017,” 57, https://www.defense.gov/Portals/1/Documents/pubs/2017_China_Military_Power_Report.PDF?ver=2017-06-06-141328-770. [75] Shugart and Gonzalez, First Strike, 4. [76] Eric Heginbotham et al., The U.S.-China Military Scorecard: Forces, Geography, and the Evolving Balance of Power 19962017 (RAND Corporation, September 2015), 47–54, https://www.rand.org/content/dam/rand/pubs/research_reports/RR300/RR392/RAND_RR392.pdf. [77] Heginbotham et al., The U.S.-China Military Scorecard. [78] Hendrix, “At What Cost a Carrier.” [79] Shugart and Gonzalez, First Strike, 2. [80] Shugart and Gonzalez, First Strike, 1. [81] Shugart and Gonzalez, First Strike, 13; T.X. Hammes, “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” War on the Rocks, March 12, 2018, https://warontherocks.com/2018/03/america-is-well-within-range-of-a-big-surprise-so-why-cant-it-see/. For more on the increasing lethality of such weapons, see Keir A. Lieber and Daryl G. Press, “Technological Change and the Future of Nuclear Deterrence,” International Security 41, no. 4 (Spring 2017): 9-49. [82] Ian Easton, “China’s Military Strategy in the Asia-Pacific: Implications for Regional Stability,” Project 2049 Institute, Sept. 26, 2013, 13–14, https://project2049.net/2013/09/27/chinas-military-strategy-in-the-asia-pacific-implications-for-regional-stability/. [83] James Pearson and Greg Torode, “Exclusive: Satellite Images Reveal Show of Force by Chinese Navy in South China Sea,” Reuters, March 27, 2018, https://www.reuters.com/article/us-china-defence/exclusive-satellite-images-reveal-show-of-force-by-chinese-navy-in-south-china-sea-idUSKBN1H3135. [84] Ben C. Solomon and Felipe Villamor, “Filipinos Get a Glimpse of Their Ruined City. The Chinese Get the Contract,” New York Times, April 10, 2018, https://www.nytimes.com/2018/04/10/world/asia/marawi-duterte-china-rebuilding.html. [85] Helen Davidson, “Chinese Company Secures 99-Year Lease of Darwin Port in $506M Deal,” Guardian, Oct. 13, 2015, https://www.theguardian.com/australia-news/2015/oct/13/chinese-company-secures-99-year-lease-of-darwin-port-in-506m-deal. [86] Bernard Lagan, “Australia Fears China’s Military Might on Pacific Isle,” Times (London), May 1, 2018, https://www.thetimes.co.uk/article/australia-fears-china-s-military-might-on-pacific-isle-cdh36vl9z. [87] Aaron B. O’Connell, Underdogs: The Making of the Modern Marine Corps (Cambridge, MA: Harvard University Press, 2012), 46–48; and Edwin Howard Simmons, The United States Marines: A History (Annapolis, MD: Naval Institute Press, 1974), 136–37. [88] Cronin and Stires, “China Is Waging a Maritime Insurgency in the South China Sea. It’s Time for the United States to Counter It.” [89] Charles Krauthammer, “The Unipolar Moment,” Foreign Affairs 70, no. 1 (1990/1991), 23, https://www.foreignaffairs.com/articles/1991-02-01/unipolar-moment. [90] “China Officially Joins WTO,” CNN, Nov. 11, 2001, http://www.cnn.com/2001/WORLD/asiapcf/central/11/10/china.WTO/index.html. [91] Dale Rielage, “How We Lost the Great Pacific War,” Proceedings 144, no. 5 (May 2018), https://www.usni.org/magazines/proceedings/2018-05/how-we-lost-great-pacific-war. [92] William Braniff and Alex Gallo, “New Defense Strategy Requires Paradigm Shift in US Counterterrorism,” Hill, Jan. 27, 2018, http://thehill.com/opinion/national-security/370748-new-defense-strategy-requires-paradigm-shift-in-us-counterterrorism. [93] National Security Strategy. [94] National Security Strategy, 25. [95] National Security Strategy, 28. [96] National Security Strategy, 28. [97] “A Constructive Year for Chinese Base Building,” Asia Maritime Transparency Initiative and the Center for Strategic and International Studies, Dec. 14, 2017, https://amti.csis.org/constructive-year-chinese-building/; Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [98] This image can be found at the Asia Maritime Transparency Initiative: https://amti.csis.org/fiery-cross-reef/. [99] National Security Strategy, 45. [100] Matthew Kroenig, The Logic of American Nuclear Strategy (New York: Oxford University Press, 2018), 189. [101] Kroenig, Logic of American Nuclear Strategy, 3–4. [102] Kroenig, Logic of American Nuclear Strategy, 192. [103] Kroenig, Logic of American Nuclear Strategy, 192. [104] Kroenig, Logic of American Nuclear Strategy, 154. [105] Kroenig, Logic of American Nuclear Strategy, 154. [106] Bill Hayton, “Is Tillerson Willing to Go to War Over the South China Sea?” Foreign Policy, Jan. 13, 2017, http://foreignpolicy.com/2017/01/13/is-tillerson-willing-to-go-to-war-over-the-south-china-sea/; Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [107] Ross Babbage, “It Is High Time to Outmaneuver Beijing in the South China Sea,” War on the Rocks, Dec. 28, 2016, https://warontherocks.com/2016/12/it-is-high-time-to-outmaneuver-beijing-in-the-south-china-sea/. [108] Hammes, “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” [109] Hammes, “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” [110] Hammes, “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” [111] Jeff Daniels, “Lockheed’s F-35 Deal Ratchets Up Pressure to Slash Production Costs,” CNBC, Feb. 3, 2017, https://www.cnbc.com/2017/02/03/lockheeds-f-35-deal-ratchets-up-pressure-to-slash-production-costs.html. [112] Sydney J. Freedberg Jr., “F-35C & Ford Carriers — A Wrong Turn for Navy: CNAS,” Breaking Defense, Oct. 19, 2015, https://breakingdefense.com/2015/10/f-35c-a-wrong-turn-for-navy-cnas/. [113] Sam LaGrone, “Keel Laid for Amphibious Warship Tripoli,” USNI News, June 20, 2014, https://news.usni.org/2014/06/20/keel-laid-amphibious-warship-tripoli; Robert C. Owen, “Distributed STOVL Operations and Air-Mobility Support: Addressing the Mismatch Between Requirements and Capabilities,” Naval War College Review 69, no. 4 (2016): 30–48, https://digital-commons.usnwc.edu/nwc-review/vol69/iss4/6/. [114] Aaron Mehta, “Pentagon ‘Can’t Afford the Sustainment Costs’ on F-35, Lord Says,” Defense News, Feb. 1, 2018, https://www.defensenews.com/air/2018/02/01/pentagon-cant-afford-the-sustainment-costs-on-f-35-lord-says/. [115] Robert Schroeder, “U.S. National Debt Exceeds $21 Trillion for First Time,” MarketWatch, March 16, 2018, https://www.marketwatch.com/story/us-national-debt-exceeds-21-trillion-for-first-time-2018-03-16. [116] Hammes, “America Is Well Within Range of a Big Surprise, So Why Can’t It See?” [117] David Ignatius, “The Chinese Threat that an Aircraft Carrier Can’t Stop,” Washington Post, Aug. 7, 2018, https://www.washingtonpost.com/opinions/the-chinese-threat-that-an-aircraft-carrier-cant-stop/2018/08/07/0d3426d4-9a58-11e8-b60b-1c897f17e185_story.html; and Jeff Cummings, Scott Cuomo, Olivia Garard, and Noah Spataro, “Marines, Algorithms, and Ammo: Taking ‘Team of Teams’ to the Contested Littorals,” War on the Rocks, Dec. 14, 2017, https://warontherocks.com/2017/12/marines-algorithms-ammo-taking-team-teams-contested-littorals/. [118] Scharre, The Army of None, 47–50. [119] Kelsey Atherton, “See China’s Massive Robot Boat Swarm in Action,” C4ISRNET, June 1, 2018, https://www.c4isrnet.com/unmanned/2018/06/01/see-chinas-massive-robot-boat-swarm-in-action/; and Elsa B. Kania, “Battlefield Singularity: Artificial Intelligence, Military Revolution, and China’s Future Military Power,” Center for a New American Security, November 2017, 23, https://s3.amazonaws.com/files.cnas.org/documents/Battlefield-Singularity-November-2017.pdf?mtime=20171129235805. [120] Patrick Tucker, “The US Is Accelerating Development of Its Own ‘Invincible’ Hypersonic Weapons,” Defense One, March 2, 2018, https://www.defenseone.com/technology/2018/03/united-states-accelerating-development-its-own-invincible-hypersonic-weapons/146355/. [121] Tucker, “The US Is Accelerating Development of Its Own ‘Invincible’ Hypersonic Weapons.” [122] Jessie Yeung, “China Claims to Have Successfully Tested Its First Hypersonic Aircraft,” CNN, Aug. 7, 2018, https://www.cnn.com/2018/08/07/china/china-hypersonic-aircraft-intl/index.html. [123] Yeung, “China Claims to Have Successfully Tested Its First Hypersonic Aircraft.” [124] Tucker, “The US Is Accelerating Development of Its Own ‘Invincible’ Hypersonic Weapons.” [125] “Autonomy in Weapon Systems,” http://www.esd.whs.mil/Portals/54/Documents/DD/issuances/dodd/300009p.pdf. [126] Scharre, Army of None, 88–89. [127] Cummings, Cuomo, Garard, and Spataro, “Marine Warbot Companies”; and Jeff Cummings, Scott Cuomo, Olivia Garard, and Noah Spataro, “How the Marines Will Help the U.S. Navy and America’s Allies Win the Great Indo-Pacific War of 2025,” War on the Rocks, Sept. 26, 2018, https://warontherocks.com/2018/09/how-the-marines-will-help-the-u-s-navy-and-americas-allies-win-the-great-indo-pacific-war-of-2025/. [128] Michael C. Horowitz, The Diffusion of Military Power: Causes and Consequences for International Politics (Princeton, NJ: Princeton University Press, 2010), 5. [129] Radio Free Europe/Radio Liberty, “U.S. to Terminate Arms-Control Treaty Over Russia’s ‘Violations.’” [130] Megan Eckstein, “PACOM: U.S. Should Renegotiate INF Missile Treaty to Better Compete with China,” USNI News, April 27, 2017, https://news.usni.org/2017/04/27/pacom-u-s-should-renegotiate-inf-treaty-that-limits-conventional-mid-range-missiles. [131] Wade Boese, “U.S. Withdraws from ABM Treaty; Global Response Muted,” Arms Control Association, July/August 2002, https://www.armscontrol.org/act/2002_07-08/abmjul_aug02. [132] “Trump Administration INF Treaty Integrated Strategy,” State Department, Dec. 8, 2017, https://www.state.gov/r/pa/prs/ps/2017/12/276363.htm; and Michael R. Gordon, “Russia Deploys Missile, Violating Treaty and Challenging Trump,” New York Times, Feb. 14, 2017, https://www.nytimes.com/2017/02/14/world/europe/russia-cruise-missile-arms-control-treaty.html. [133] H.R. 5515, “John S. McCain National Defense Authorization Act for Fiscal Year 2019,” 1029–34, https://docs.house.gov/billsthisweek/20180723/CRPT-115hrpt863.pdf. [134] Assuming such a summit achieved positive progress with the three nations agreeing to one of the first three subsequently described pathways, or just the United States and Russia agreeing to the fourth pathway, then a subsequent summit would be held that includes Belarus, Ukraine, and Kazakhstan. As former Soviet states, these are the only other three nations that are both legally bound by the treaty and that have participated in discussions associated with the treaty’s future. [135] Kelsey Davenport, “India Tests Long-Range Missile,” Arms Control Association (January/February 2017), https://www.armscontrol.org/ACT/2017_01/News-Briefs/India-Tests-Long-Range-Missile. [136] “Strategic Arms Limitation Talks (SALT I) (narrative),” State Department Bureau of Arms Control, Verification and Compliance, https://www.state.gov/t/isn/5191.htm. [137] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty.” [138] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty.” [139] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty.” [140] Sayers, “The Intermediate-Range Nuclear Forces Treaty and the Future of the Indo-Pacific Military Balance.” [141] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty.” [142] Tim Kelly, “Japan Eyes Defense Budget Hike to Fortify Island Chain Facing China,” Reuters, Aug. 31, 2015, https://www.reuters.com/article/us-japan-defense-budget/japan-eyes-defense-budget-hike-to-fortify-island-chain-facing-china-idUSKCN0R00HX20150831. [143] Steven Stashwick, “Japan Considering New Anti-Ship Missiles for Its Southwestern Islands,” Diplomat, March 1, 2018, https://thediplomat.com/2018/03/japan-considering-new-anti-ship-missiles-for-its-southwestern-islands/; and William Cole, “US and Japan Fire Missiles to Sink Ship During RIMPAC,” Military.com, July 15, 2018, https://www.military.com/daily-news/2018/07/14/us-and-japan-fire-missiles-sink-ship-during-rimpac.html. [144] For an explanation of the differences between compellence and deterrence, see Thomas C. Schelling, Arms and Influence (New Haven: Yale University Press, 2008). [145] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [146] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [147] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish”; Alyssa Morales, “U.S., Philippines and Japan Conduct Amphibious Landing in the Philippines,” Marines.mil, Oct. 8, 2018, https://www.marines.mil/News/News-Display/Article/1657152/us-philippines-and-japan-conduct-amphibious-landing-in-the-philippines/; and Ben Werner, “U.S. and Philippine Militaries Will Increase Security Cooperation in 2019,” USNI News, Oct. 3, 2018, https://news.usni.org/2018/10/03/37054. [148] Werner, “U.S. and Philippine Militaries Will Increase Security Cooperation in 2019.” [149] Nick Penzenstadler, “Philippines’ Duterte to U.S. over aid: ‘Bye-bye America,’” USA Today, Dec. 17, 2016, https://www.usatoday.com/story/news/world/2016/12/17/philippines-duterte-us-over-aid-bye-bye-america/95557384/. [150] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [151] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [152] Hendrix, “At What Cost a Carrier,” 8. [153] This image can be found at the Asia Maritime Transparency Initiative: https://amti.csis.org/subi-reef/. [154] Cummings, Cuomo, Garard, and Spataro, “Marine Warbot Companies”; and “How the Marines Will Help the U.S. Navy and America’s Allies Win the Great Indo-Pacific War of 2025.” [155] Thomas, “Statement Before the House Armed Services Subcommittee on Strategic Forces on the Future of the INF Treaty”; and Panda, “The Uncertain Future of the INF Treaty.” [156] Defense Department, “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2017,” 57. [157] “NATO Chief Backs Trump, Says Russia Violating Nuke Treaty,” CBS News, Oct. 24, 2018, https://www.cbsnews.com/news/nato-jens-stoltenberg-donald-trump-russia-violating-inf-nuclear-arms-treaty/. [158] While South Korea might not welcome new U.S. missile systems on the peninsula, the Republic of Korea Army already fields non-compliant INF systems. [159] Grant Newsham, “Japan Activates Amphibious Rapid Deployment Brigade: What Now?” Japan Forward, April 9, 2018, https://japan-forward.com/japan-activates-amphibious-rapid-deployment-brigade-what-now/. [160] “Japan’s 2017 Defense Spending to Hit $43.6Bn; Interceptor Missile System Procurement Likely,” DefenseWorld.net, Dec. 23, 2016, http://www.defenseworld.net/news/18045/Japan_s_2017_Defense_Spending_To_Hit__43_6Bn__Interceptor_Missile_System_Procurement_Likely. [161] “Japan to Urge U.S. not to Leave Nuke Pact, Citing Possible Arms Race, North Korea Denuclearization,” Japan Times, Oct. 23, 2018, https://www.japantimes.co.jp/news/2018/10/23/national/politics-diplomacy/japan-wants-u-s-rethink-withdrawal-nuke-pact-russia/#.W9IggskpCgF. [162] Prashanth Parameswaran, “What Does a Bigger 2018 Balikatan Military Exercise Say About US-Philippines Alliance Under Duterte?” Diplomat, May 8, 2018, https://thediplomat.com/2018/05/what-does-a-bigger-2018-balikatan-military-exercise-say-about-us-philippines-alliance-under-duterte/; and Morales, “U.S., Philippines and Japan Conduct Amphibious Landing in the Philippines.” KAMANDAG is an acronym for the Filipino phrase Kaagapay Ng Mga Mandirigma Ng Dagat, or cooperation of warriors of the sea. [163] Murielle Delaporte, “Aussie F-35A Drives Historic Shift to USAF Focus from USN,” Breaking Defense, April 3, 2018, https://breakingdefense.com/2018/04/aussie-f-35a-drives-historic-shift-to-usaf-focus-from-usn/. [164] “Record Numbers of US Marines Arrive in Darwin for Six Months of Joint Training,” ABC News (Australia), April 24, 2018, http://www.abc.net.au/news/2018-04-23/largest-ever-contingent-of-us-marines-arrive-in-darwin/9689326. [165] Adam Ashton, “Quietly, Guam Is Slated to Become Massive New U.S. Military Base,” McClatchy, Nov. 22, 2015, http://www.mcclatchydc.com/news/nation-world/world/article45241053.html. [166] Poling and Cronin, “The Dangers of Allowing U.S.-Philippine Defense Cooperation to Languish.” [167] Kroenig, Logic of American Nuclear Strategy, 3–4. ) [contents] => Array ( [title] => [contents] => ) ) [2] => WP_Post Object ( [ID] => 810 [post_author] => 242 [post_date] => 2018-11-12 05:00:26 [post_date_gmt] => 2018-11-12 10:00:26 [post_content] => The Communist Party of China announced in October that it had published a new book by Xi Jinping on his concept for a “community of common destiny for mankind” (人类命运共同体).[1] In its official English translation — a “community of shared future for mankind” — the phrase lands with a soft thud. It sounds equally fuzzy — if more grandiose — when translated more literally from Chinese. But China watchers would be wrong to dismiss the concept as vague or empty propaganda. As one of the party’s banner terms, it sheds light on Beijing’s strategic intentions and plays an important role in China’s approach to foreign policy issues as diverse as trade, climate change, cyber operations, and security cooperation. What, then, do Xi and other Chinese leaders mean when they call for building a community of common destiny? And why should anyone outside Beijing care? The phrase expresses in a nutshell Beijing’s long-term vision for transforming the international environment to make it compatible with China’s governance model and emergence as a global leader. Chinese officials make clear that the concept has become central in Beijing’s foreign policy framework and overall national strategy. China’s top diplomat, Yang Jiechi, wrote in August 2018, “Building a community of common destiny for mankind is the overall goal of China’s foreign affairs work in the new era.” A prerequisite or pathway for building the community, he noted, is the establishment of a “new type of international relations” that supports, rather than threatens, China’s national rejuvenation.[2] Xi has highlighted the community’s crucial place in the party’s renewal strategy. In June, for instance, he exhorted Chinese diplomats to “continuously facilitate a favorable external environment for realizing the Chinese Dream of national rejuvenation and promote the building of a community of common destiny.”[3] Although Xi has made “community of common destiny” a hallmark of his diplomacy, he did not coin the phrase, nor did he generate its core tenets. Xi’s predecessor, Hu Jintao, used the terminology in 2007 to describe cross-Strait ties and in later discussions of China’s neighborhood diplomacy and peaceful development.[4] Chinese state media credit Xi with introducing it as a global concept in 2013 in Moscow, during his first international trip as president.[5] The aspirations it expresses echo and expand upon themes voiced by Chinese leaders since the early days of the People’s Republic. In 1954, Premier Zhou Enlai proposed in meetings with India the “Five Principles of Peaceful Coexistence”: mutual respect for territorial integrity and sovereignty, mutual non-aggression, mutual non-interference in internal affairs, equality and cooperation, and peaceful coexistence. Subsequent Chinese leaders, including Xi, have reaffirmed these principles as key tenets of Chinese foreign policy.[6] President Jiang Zemin’s “new security concept” in the late 1990s echoed the Five Principles and rejected the “old security concept based on military alliances and build-up of armaments.”[7] In a similar vein, President Hu proposed building a “harmonious world” in a 2005 speech to the United Nations. Hu affirmed his predecessors’ concepts and called for reforms to give developing countries a greater voice in global governance.[8] Each of these proposals reflects long-standing Chinese objections to features of the current international order, including U.S.-led security alliances, military superpower, and democratic norms. Xi, however, has gone much further than his predecessors to promote his vision for transforming global governance (全球治理变革). For Xi, China’s growing comprehensive national power (综合国力) means that Beijing has greater ability — and faces a greater urgency — to achieve its long-held aspirations.[9] In June 2018, at a Central Foreign Affairs Work Conference (a rarely convened forum in Beijing that issues seminal guidance to China’s diplomatic establishment), Xi made a crucial progression from his predecessors’ rhetoric. He called for China to “take an active part in leading the reform of the global governance system” (积极参与引领全球治理体系改革).[10] Previously, he and his forebears had more modestly called for China to “actively participate” in global governance reforms.[11] Xi linked his exhortation to his vision of building a community of common destiny. Xi’s signature Belt and Road Initiative, also launched in 2013, is the most visible means by which Beijing is executing his vision. In August, diplomat Yang Jiechi called Belt and Road an “important practical platform” for making the community of common destiny a reality.15 The multibillion-dollar plan aims to build physical and virtual connectivity between China and other countries, originally in Asia and now throughout the world.[12] At the 19th Party Congress in October 2017, the party amended its constitution to add two phrases: “pursue the Belt and Road Initiative” and “build a community of common destiny”[13] — elevating both the initiative and its underlying vision within the party’s long-term strategy. China’s success or failure in achieving its vision will depend in large part on how its proposals are received in other countries. Regardless of the ultimate outcome, Beijing’s pursuit of its goals has already had repercussions, as evidenced by the growing international attention toward the Belt and Road Initiative, both its failures and achievements.[14] Policymakers in the United States and like-minded countries seeking to defend and strengthen the principles of what they now refer to as the “free and open Indo-Pacific”[15] need to look carefully at China’s goals for reforming global governance as Beijing itself expresses them. [quote id="1"] Xi’s description of his concept in two speeches to the United Nations, at the General Assembly in September 2015 and in Geneva in January 2017, is a good place to start.[16] In the 2017 speech, Xi likened the community of common destiny to a Swiss army knife — a Chinese-designed multifunctional tool for solving the world’s problems. On both occasions, he proposed the concept as a better model for global governance in five dimensions: politics, security, development (economic, social, technological, etc.), culture, and the environment. In sum, the five dimensions reflect the extraordinarily wide range of arenas in which Beijing believes it must restructure global governance to enable China to integrate with the world while at the same time achieving global leadership. If Beijing succeeds in realizing this ambitious vision, the implication for the United States and like-minded nations is a global environment with striking differences from the current order: A global network of partnerships centered on China would replace the U.S. system of treaty alliances, the international community would regard Beijing’s authoritarian governance model as a superior alternative to Western electoral democracy, and the world would credit the Communist Party of China for developing a new path to peace, prosperity, and modernity that other countries can follow.

Politics

Xi’s description of the political dimension of the community includes emphasis on two terms that are worth examining closely: democracy and partnerships. Both highlight the link between China’s domestic political requirements and its push to reform the international system. “Democracy” is a core principle to which Beijing officially ascribes, both in international relations and domestic governance. In his 2015 speech to the United Nations, Xi said, “Consultation is an important form of democracy, and it should also become an important means of exercising international governance.” So what do the leaders of the world’s largest authoritarian regime mean when they advocate “consultative” democracy? In international relations, it means equality among sovereign nations regardless of regime type (i.e., authoritarian or democratic); a growing voice for developing countries (including China); and an absence of “dominance by just one or several countries,” as Xi put it in 2017. This reflects Beijing’s objections to Washington’s dominant international influence, along with its like-minded allies. For Beijing, democracy in international relations means shifting global influence away from Washington and U.S. allies and toward China and other countries that accede to its concepts. Chinese leaders advocate “consultative” democracy not only in state-to-state relations but also within states, arguing that it is a valid and even superior model. Chinese official media disparage Western democratic regimes as chaotic, confrontational, competitive, inefficient, and oligarchic.[17]  They assert that China has developed a more enlightened form of democracy in its “new type of party system” (新型政党制度).[18] In this system, the Communist Party is the sole political authority, but minority parties and nonaffiliated groups participate in parts of the decision-making process as outside consultants via the Chinese People’s Political Consultative Conference.[19] They argue that other features of China’s political system, such as people’s congresses and consensus-building “inner-party democracy,” purportedly make China’s “democracy” more effective than Western electoral democracy.[20] There is, however, a clear contradiction between China’s articulation of “democracy” in international relations, which argues that all countries are equal regardless of size or political regime, and its approach in domestic politics, where a single party rules, minority parties serve as outside consultants, and dissenting voices are silenced. Nonetheless, the Communist Party is taking practical steps to disseminate its ideas abroad by providing political training to African leaders and young elites in topics such as party structure, propaganda work, and managing center-local relations.[21] Partnerships are another foundational element in Xi’s community of common destiny. They are key vehicles by which Beijing promotes international acceptance of its concepts. At the United Nations in 2017, Xi called for international partnerships based on “dialogue, non-confrontation, and non-alliance” and asserted that “China is the first country to make partnership-building a principle guiding state-to-state relations.” Partnerships are China’s alternative to U.S.-style alliances. Beijing prefers them because they do not confer treaty obligations and they allow the partners to cooperate despite differences in ideologies and social systems.[22] According to Xi, China had 90 such partnerships with countries and regional organizations around the world as of 2017,[23] and Beijing intends to continue expanding its “global network of partnerships.”[24] China and its partner often designate a name for the relationship, setting a positive tone and a basis for cooperation. A frequently used moniker is “comprehensive strategic partnership.” This has been applied to China’s relations with Australia, Egypt, the European Union, Indonesia, Iran, and many others.[25] Importantly, China and Russia have gone a step further, naming their ties a “comprehensive strategic partnership of coordination.” The title reflects both the wide scope of the relationship (“comprehensive”) and agreement to collaborate on development strategies and international affairs (“coordination”).[26] China and the United States established a lesser constructive strategic partnership in the late 1990s.[27] However, successive U.S. administrations dropped the term, and the two countries no longer have a named partnership. That is probably just as well for the United States, because China often invokes the partnership to threaten retaliation when it perceives that its partner has violated “mutual trust.” In January 2018, on the eve of British Prime Minister Theresa May’s first visit to China, Beijing’s ambassador to the United Kingdom, Liu Xiaoming, wrote in glowing terms of the “China-UK ‘Golden Era,’” which he called “the strategic definition of China-UK relations.”[28] But in September, Britain tarnished the golden glow by sailing the HMS Albion near the Paracel Islands, disputed features that China occupies in the South China Sea. China’s Foreign Ministry spokesperson warned that the action would harm bilateral ties. State-controlled China Daily filled in the details, admonishing London to “refrain from being Washington’s sharksucker in the South China Sea” if it hoped to make progress with China on a post-Brexit trade deal.[29] As others have documented, the U.K. experience is far from unique. A number of countries in recent years have experienced China’s economic coercion.[30] This phenomenon highlights the pretense in Beijing’s promises to offer its partners cooperation with “no strings attached” and its refrain that “major powers should treat small countries as equals.” If Beijing wishes to generate greater global acceptance of its model over the long term, it may need to adjust its narratives or its behavior to address, or at least distract from, these contradictions.

Security

The solutions Xi proposes for the world’s urgent security crises can be summarized in two words that feature prominently in his speeches at the United Nations, as well as in other Chinese leaders’ statements: dialogue and development. Xi advocates resolving crises via dialogue between the parties directly involved. The United Nations, according to Xi, should mediate when necessary and, through its  Security Council, should play the central role in ending conflicts and keeping peace. For example, for Syria’s civil war, China consistently advocates political settlement as the only legitimate path to a solution.[31] The unstated alternative — Western powers intervening militarily in a dictatorship on humanitarian grounds — is highly worrisome to Beijing. Chinese leaders also argue that development is key to addressing the root causes of international problems such as terrorism and refugee crises. The notion that Chinese development assistance could bring renewal and stability to regions plagued by terrorism and refugee crises has appeal, especially in an era of stretched budgets in Western countries. Yet, China’s draconian crackdowns on what it calls “terrorism, separatism, and extremism”[32] within its borders are reasons to be circumspect about Beijing’s claims that it has developed better solutions for mankind’s problems. [quote id="2"] Furthermore, the United States and its allies should be clear on the significant change from the status quo that China’s proposals would impart. Beijing opposes “interventionism” and, as noted above, calls frequently for “partnerships based on dialogue, non-confrontation, and non-alliance.”[33] Beijing views U.S.-style alliances as outdated relics of the Cold War, overly antagonistic and out of step with contemporary international conditions. It is logical to infer that Beijing’s opposition to U.S. security alliances is also due to the coercive potential that coalitions of democracies represent. Xi’s speeches to the United Nations do not acknowledge any contribution of the United States and its allies to keeping the peace and enhancing global prosperity since World War II. Rather, he credits the United Nations and the global community writ large and proposes his community of common destiny as the framework for future success. Beijing’s objections to U.S. alliances reflect a deep-seated belief that the U.S.-led security architecture in Asia is a structural impediment to China’s development and security.[34] Chinese leaders’ strong aversion to chaos that could put China’s strategic interests at risk suggests that Beijing will not seek to overturn U.S. alliances suddenly. But over the long term, Beijing’s community of common destiny implies a future in which U.S. alliances are absent. Given Xi’s track record for moving more assertively than his predecessors to implement foreign policy preferences, the United States and its allies should be vigilant about Chinese attempts to discredit or meddle in their ties.

Development

Xi claims that his community provides a better path for countries to achieve development and modernity than what the West offers. For Chinese leaders, development includes and goes beyond economics to encompass social development, technology, and innovation, and it can serve as a point of connection between countries to keep conflict at bay. According to Xi, two concepts crucial to the success of the Chinese development model are openness and markets. Ironically, these were precisely the terms Washington used earlier this year to criticize China’s economic practices. According to the Office of the United States Trade Representative, since joining the World Trade Organization in 2001 China has failed to adopt “open, market-oriented policies” in line with its accession commitments.[35] Clearly, there is a discrepancy in how Washington and Beijing are using the same terms. Chinese leaders continue to affirm their decision to join the World Trade Organization as the right strategic choice. And when they defend China’s commitment to openness, measures such as lowering barriers to China’s domestic markets and easing foreign equity restrictions are among the things they point to. For Beijing, “opening” does not mean what it means to Washington, which envisions a largely one-way process of China opening its doors to the world and progressively adapting to international norms. Rather, Beijing sees opening as a two-way process of integration with the global economy that is necessary for China’s rise — initially to acquire advanced technology and expertise and, later, to shape global norms, standards, and institutions in line with Chinese strategic requirements. China’s frequent calls to make globalization more “open, inclusive, and balanced” appear to be rooted in a belief that connectivity between China and the world will require the world to adapt to Beijing’s preferences as much as — or perhaps more than — the other way around. How does Beijing define “markets”? Chinese development is not premised on capitalism, either of the free-market or state capitalist sort. In Beijing’s telling, its success lies in its socialist market economy.[36] Deng Xiaoping pioneered the concept, arguing in 1985 that “there is no fundamental contradiction between socialism and a market economy” and that combining planning and market economics would “liberate the productive forces and speed up economic growth.”[37] Chinese leaders have made many adjustments to the balance between planning and markets, but the basic principle of combining the two still applies. In development, as in politics, Chinese state media express increasing confidence that China provides a path superior to what the West offers. These sources argue that “socialism with Chinese characteristics, compared with capitalism, is yielding better results.” [38] In his 2015 speech to the United Nations, Xi listed capitalism’s pitfalls: proneness to crises, a lack of moral constraints, and yawning wealth gaps. (Unsurprisingly, he did not mention China’s own struggles with these issues.) Countries can avoid capitalism’s snares by relying on, in Xi’s words, “both the invisible hand and the visible hand.” China’s “better way” combines markets’ ability to allocate resources efficiently with a strong role for the state in controlling key sectors, ensuring equitable social and economic outcomes, stabilizing markets, and solving large-scale problems.[39] Beijing goes further than touting its model as worthy of others’ emulation. Like in the political dimension, it proposes its concepts as a framework to reform global economic governance. China claims to speak on behalf of developing countries as a group, calling for reform of “unfair and unreasonable aspects of the current global governance system.”[40] In part, this means reforming institutions such as the International Monetary Fund and the World Bank and bolstering organizations with a larger voice for developing countries and emerging markets, such as the Group of 20, the BRICS emerging economies, and the Asia-Pacific Economic Cooperation forum. Over the long term, Beijing would like to diminish the U.S. dollar’s role in global finance and the leverage this gives Washington to squeeze other countries with sanctions and monetary policy.[41] China also seeks a larger role for itself and other developing countries in setting global rules, including in emerging domains such as cyberspace, deep seas, polar regions, and outer space.[42] There is certainly a need for a greater voice for developing countries in economic governance given their growing share in global GDP. Outside observers should be vigilant, however, about Beijing’s tendency to conflate its priorities and values with those of the entire community of developing nations. China’s professed commitment to respect each country’s individual choice of a development path and social system rings hollow when juxtaposed with its claims to speak for the majority of the globe. Its partners should insist that the “extensive consultation” China says is foundational in its external initiatives is truly two-way.

Culture

Outside observers tend to focus on the triumvirate of political, security, and economic drivers of China’s global engagement, glossing over a fourth arena that Beijing views as vital to its national rejuvenation strategy and global governance vision: culture. This is unfortunate, because culture is arguably the most far-reaching and, at least among China watchers in the United States, the least understood element of China’s foreign policy framework. China’s solution for achieving legitimacy at home and influence abroad hinges on more than economics backstopped by hard power and political maneuvering. Developing an “advanced culture” has long been a core element in the national rejuvenation strategy, and Xi has called for “more energy and concrete measures” to achieve this. In his words, China must do more to “develop a great socialist culture” and “cultivate and observe core socialist values” in order to build itself into a “great modern socialist country” by midcentury.[43] While Beijing’s primary focus is on China’s domestic population, the outside world is not exempt. Yang Jiechi wrote in August, “The culture of socialism with Chinese characteristics has contributed to the solution of the problems of mankind China’s wisdom and China’s proposals.”[44] According to Xinhua, the community of common destiny, manifested most visibly in the Belt and Road Initiative, “connects the Chinese dream with the aspirations of the whole world for peace and development.”[45] The implication is that China’s socialist culture has something to offer not only in China but globally. What does Beijing mean by its “culture of socialism with Chinese characteristics,” and how does that fit into its foreign policy? For external audiences, Xi frames the cultural component of the community of common destiny in terms of cross-cultural exchanges and respect for diversity. In his 2015 speech, Xi called for an increase in “inter-civilization exchanges to promote harmony, inclusiveness, and respect for differences” because “the world is more colorful as a result of its cultural diversity.” In 2017, he echoed those themes and added, “There is no such thing as a superior or inferior civilization.” (Xi did not pioneer these concepts; Jiang Zemin, for example, expressed similar ideas at the United Nations in 2000.[46]) At face value, these are pleasant-sounding, pluralistic sentiments that bring to mind exchanges of language, art, philosophy, and so forth to foster mutual understanding. [quote id="3"] But moments after denying the superiority of any culture, Xi suggested that China’s history and culture uniquely qualify it to propose a better model for global governance: “For several millennia, peace has been in the blood of us Chinese and part of our DNA,” Xi told the United Nations. According to Xi, China, throughout its history, has been committed to not only its own peaceful development but also the greater good of the world at large. The party’s claim that its community of common destiny will benefit the entire world is rooted in this depiction of China as an extraordinarily peaceful country. However, the party’s heavy-handed domestic policies, calibrated to ensure political allegiance in all forms of cultural expression, cast shadows on Xi’s claim to promote “harmony, inclusiveness, and respect for differences.” The party has made clear that its “culture of socialism with Chinese characteristics” and “socialist core values” must be the prime object of allegiance for all Chinese people, above any other religious, moral, artistic, or intellectual beliefs or loyalties. A recent example is Beijing’s restructuring of the “ideological sector” in mid-April to strengthen the party’s ability to ensure political allegiance. The film and press industries, formerly governed by the State Council, would henceforth report to the party’s Propaganda Department. Politburo member and department chief Huang Kunming, in explaining the change, cited the need to “enhance cultural confidence” and strengthen party leadership over filmmaking, screening, content enforcement, and international exchanges.[47]  Similarly, in 2015, the Politburo issued a statement that called on professionals in the arts and literature to focus on promoting “core socialist values” and noted that “strength of ideology and high moral standards” were “absolute requirements.”[48] Those examples pale in comparison to the ongoing efforts to ensure that all religions in China answer first and foremost to the party. At a conference on religious work in late April 2018, Xi exhorted fellow cadres to “guide religious believers to ardently love the motherland and the people.” Religious adherents must “subordinate themselves to, and serve, the highest interests of the country,” he said, and “actively practice socialist core values.”[49] The widely noted extrajudicial detention of as many as a million Muslim Uighurs in “vocational education and training” centers in Xinjiang,[50] where detainees reportedly endure political indoctrination and torture, show the extreme measures the party will take to enforce its conceptions of civilization.[51] While the Uighurs’ case stands out in sheer scope and brutality, none of China’s five legal religions (Buddhism, Daoism, Islam, and the Protestant and Catholic branches of Christianity) are exempt from the Communist Party’s systematic attempts to compel allegiance. Chinese authorities reportedly are burning Bibles and crosses, shutting down and bulldozing churches,[52] drafting regulations to further restrict religious content online,[53] and instructing clergy from all five denominations to align their religious beliefs with socialist core values.[54] The requirement for party cadres to generate “ardent love” for the motherland is reminiscent of George Orwell’s 1949 dystopian novel 1984. In it, dissident Winston Smith succumbs to torture in the Ministry of Love and renounces his personal and political loyalty. As the book ends, Smith finally realizes that he loves Big Brother. Orwell’s 1984 is, of course, fiction. But China watchers should bear in mind that repression of religious, artistic, and intellectual expression is not merely a product of local authorities reacting to events and desperately attempting to maintain control. Rather, it is also a product of the party’s top-down strategy to instill adherence to its view of civilization and root out disloyalty to the cause of Chinese socialism. Culture — including the “great socialist culture” Beijing is trying to build — is an integral part of Xi’s community of common destiny. Much about how Beijing will seek to implement its views of culture into its foreign policy remains to be determined. Beijing’s record of crushing dissent at home could be a harbinger of its behavior overseas — or the Achilles’ heel in its attempts to build cultural “soft power.”

Environment

The final dimension of Xi’s community of common destiny focuses on the environment and, more specifically, on reforming global governance to promote “the building of sound ecosystems.” In his speech to the United Nations in 2017, Xi called on the global community to pursue a “green, low-carbon, circular, and sustainable way of life and work.” Further, he endorsed the United Nations’ 2030 Agenda for Sustainable Development, a plan to eradicate poverty; protect the environment; and foster peaceful, just, and inclusive societies.[55] Of the five dimensions, this is arguably where China’s long-term goals align most closely with near-universal aspirations for sustainable development. In a speech at the United Nations Climate Change Conference in Paris in 2015, Xi acknowledged that China’s decades of rapid economic growth have “taken a toll on the environment and resources.”[56] Although understated, this was nonetheless an admission of China’s shortcomings. Xi went on to enumerate steps China was taking to address environmental problems, such as increasing renewable energy capacity, and future benchmarks it had set, such as reaching peak CO2 emissions by 2030 or earlier. “This will require strenuous efforts, but we have the confidence and the resolve to fulfill our commitments,” Xi said in Paris. China’s abysmal track record of environmental management and immense difficulties transitioning to a more sustainable path are reasons to be skeptical. But Chinese leaders have made environmental progress a higher political priority in recent years. Since the 18th Party Congress in 2012, when Hu Jintao elevated “ecological progress” to a prominent position in China’s overall development plan (placing it alongside economic, political, cultural, and social progress),[57] leaders have taken more serious steps to limit pollution and protect the environment.  These include imposing tougher penalties on local officials who fail to meet pollution targets and establishing a system to hold individuals and companies that pollute the soil accountable for life.[58] Chinese leaders have made clear that building a “Beautiful China” is one of their midcentury goals for national rejuvenation, so the environment is likely to remain a political priority for years to come. In the political, security, development, and cultural dimensions, Beijing argues that its historical experience and remarkable modern track record of peaceful development qualify it to take a leading role in reforming the global governance system to make it more peaceful, equitable, and prosperous. But Xi’s claims in the environmental dimension are much more modest. The implication is that China has learned the hard way the importance of protecting the environment and that it must strive to work with the world for a cleaner future, albeit on China’s timetable. Certainly, some of Xi’s proposals in Paris appear designed to promote his community of common destiny, such as his call for a global governance mechanism on climate change and for developed countries to provide funding and technology to enable developing countries to fulfill environmental commitments. These are resonant with the community of common destiny’s emphasis on striving for a more fair and equitable international order that provides a greater voice for developing countries. Countries’ differing approaches to prioritization and speed of implementation will continue to create massive hurdles to progress, as the U.S. withdrawal from the Paris Climate Accords attests. But there is a kernel of hope in the fact that China’s end goal for the environment — as Xi puts it, to “make our world clean and beautiful by pursuing green and low-carbon development” — expresses a universal hope rather than a claim that China offers a unique and superior path to a better world. It leaves open a greater possibility of flexibility in China’s approach. In the environmental dimension, the United States and other countries can persevere in cooperation with China, highlighting long-term alignment in strategic interests despite important differences in timelines, approach, and priorities. As friction grows between Washington and Beijing on trade and many other issues, an area for cooperation could provide a valuable source for interaction that is genuinely win-win.

Policy Implications

Beijing’s attempt to build a community of common destiny presents a challenge for the United States and like-minded nations committed to the free and open international order.[59] What options do policymakers have to respond? An effective U.S. strategy would account for the comprehensive character of China’s aspirations. Washington is starting to move in this direction and broaden its focus beyond trade. At this juncture, several steps could help policymakers build a broader strategy on the foundation of a correct understanding of how Beijing operates and a fuller appreciation of the advantages that the United States and like-minded nations can bring to the competition. To begin with, China watchers have the opportunity to broaden how they inform policymakers and the public about Beijing’s own articulation of its global ambitions. U.S. observers frequently use the trinity of economic, political, and security factors to explain China’s motives, but this well-worn framework misses the full scope of Beijing’s aspirations for global leadership. By Xi’s own account, Beijing intends to realign global governance across at least five major dimensions: politics, development (to include economics, society, and technology), security, culture, and the environment. Early identification of emerging Chinese banner terms offers U.S. policymakers a greater chance to influence these concepts before repetition in Chinese leaders’ speeches, official documents, and laws cement their place in Chinese strategy. Awareness of these concepts would also help policymakers anticipate their Chinese counterparts’ talking points and avoid carelessly repeating them — and unintentionally signaling acceptance of Beijing’s proposals. To accomplish all this, governments and scholars can consider devoting more resources to monitoring and analyzing Beijing’s publicly available, high-level documents and authoritative media. Deeper understanding of the party’s rhetoric and use of information as a tool of statecraft can be incorporated into U.S. policymaking processes. [quote id="4"] Bolstering China-related expertise is only part of the solution, however. As has been argued in this journal, the United States lacks a sufficiently robust “team to take the field” — a cadre of individuals with the right combination of expertise on China, policy tools, and competitive strategy.[60] Beijing’s systematic fusing of categories that in the West are generally considered distinct has created strategic dilemmas for Washington and its allies. Examples of these blurred lines include Beijing’s effort to “fuse” its military and civil industrial bases,[61] the party’s intrusions into private and foreign firms,[62] and its growing use of political influence activities overseas.[63] These conditions are forcing Washington to reevaluate how it weighs the costs and benefits of engagement with China. Questions such as “Will it boost quarterly earnings?” and “Does it break any laws?” or “Is it state-owned or private?” produce answers that fail to account for hidden economic costs and national security risks. The U.S. government needs rigorous, cross-disciplinary frameworks to conduct this type of cost-benefit analysis. The creative thinking required to develop them is unlikely to emerge from government alone. As U.S. policymakers broaden the focus of competition with China beyond trade issues, engaging with innovative thinkers with diverse perspectives on competition in business, marketing, economics, science and technology, history, entertainment, and other fields can help them conceptualize the challenge, set priorities for addressing it, and devise effective strategies for competing with China. Finally, the United States has an opportunity to use public affairs and diplomacy to counter problematic elements of Beijing’s governance proposals. Many in Washington are reluctant to publicly dispute Beijing’s ideas, for fear of provoking China. But challenging Beijing’s proposals is not the same as merely “poking” China. Xi’s bid to build a community of common destiny is an invitation to a debate over the best approach to global governance and the validity of competing governance models. The United States brings significant advantages to the debate — including a competitive marketplace of ideas, a strong capacity for clear-eyed self-reflection, and a willingness to acknowledge its own shortfalls. Media rancor, political chaos, and foreign policy stumbles have understandably prompted many in the United States and other developed democracies to compare their systems unfavorably to Beijing’s. But this is shortsighted. Beijing’s need to exert rigid control over its media, corporations, officials, and citizens reveals vulnerability rather than strength. Its highly orchestrated, ostentatious campaigns to trumpet its vision are nothing to envy. In its public affairs and exchanges with Chinese interlocutors in bilateral and multilateral settings, the United States has an opportunity to listen carefully to China’s proposals — and clearly reject the ideas that are incompatible with the principles of a free and open order. Washington can argue vigorously for the order’s principles even while admitting that its stewardship of these principles is imperfect. Finally, Washington and others can consistently make clear that the free and open order is also open to China. Indeed, the order would be stronger — as would China itself — if Beijing chose to accept the invitation.   Liza Tobin has worked for twelve years in various capacities as a China specialist for the United States government. Currently she is part of a team that provides assessments of China’s strategy for the U.S. Indo-Pacific Command Headquarters. She has published recently on China’s maritime strategy in Naval War College Review and War on the Rocks. The views expressed here are her own and do not necessarily reflect the policies of U.S. Indo-Pacific Command or the U.S. government. [post_title] => Xi's Vision for Transforming Global Governance: A Strategic Challenge for Washington and Its Allies [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => xis-vision-for-transforming-global-governance-a-strategic-challenge-for-washington-and-its-allies [to_ping] => [pinged] => [post_modified] => 2019-01-14 18:09:40 [post_modified_gmt] => 2019-01-14 23:09:40 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=810 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => What does China's "community of common destiny," recently emphasized by Chinese President Xi Jinping, mean for the future of the international order? Liza Tobin unpacks what, precisely, this vision entails and what it might mean for the United States and its allies. [pubinfo] => [issue] => Vol 2, Iss 1 [quotes] => Array ( [0] => Array ( [author] => [style] => right [text] => China’s success or failure in achieving its vision will depend in large part on how its proposals are received in other countries. ) [1] => Array ( [author] => [style] => left [text] => [T]he United States and its allies should be clear on the significant change from the status quo that China’s proposals would impart. ) [2] => Array ( [author] => [style] => right [text] => The party has made clear that its “culture of socialism with Chinese characteristics” and “socialist core values” must be the prime object of allegiance for all Chinese people, above any other religious, moral, artistic, or intellectual beliefs or loyalties. ) [3] => Array ( [author] => [style] => left [text] => An effective U.S. strategy would account for the comprehensive character of China’s aspirations. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => ) [authors] => Array ( [0] => 242 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] Cao Desheng, “Xi’s Discourses on Mankind’s Shared Future Published,” China Daily, Oct. 15, 2018, http://www.chinadaily.com.cn/a/201810/15/WS5bc38adca310eff303282392.html. [2] Yang Jiechi, 求是 [“Seeking truth”], Aug. 1, 2018, http://www.qstheory.cn/dukan/qs/2018-08/01/c_1123209510.htm. For more on the origins of China’s “new type international relations” and its related concept, “new type great power relations,” see Peter Mattis, “Nothing New, Nothing Great: Exploring ‘New Type Great Power Relations,’” Washington Journal of Modern China 11, no. 1 (2013): 17–38. Mattis shows that despite its “new” label, China’s “new type” proposals repackaged long-standing Chinese concepts of mutually beneficial cooperation, mutual equality, and demands for the United States to respect Chinese core interests. [3] “Xi Urges Breaking New Ground in Major Country Diplomacy with Chinese Characteristics,” Xinhua, June 24, 2018, http://www.xinhuanet.com/english/2018-06/24/c_137276269.htm. [4] Jin Kai, “Can China Build a Community of Common Destiny?” Diplomat, Nov. 28, 2013, https://thediplomat.com/2013/11/can-china-build-a-community-of-common-destiny/; Nadège Rolland, “Examining China’s ‘Community of Common Destiny,’” Power 3.0, Jan. 23, 2018, https://www.power3point0.org/2018/01/23/examining-chinas-community-of-destiny/. [5] Zhou Xin, ed., “China Focus: China Pursues World Peace, Common Development in International Agenda,” Xinhua, March 2, 2018, http://www.xinhuanet.com/english/2018-03/02/c_137011860.htm. [6] Xi Jinping, The Governance of China (Beijing: Foreign Languages Press, 2014). See his Dec. 26, 2013, speech, “Carry on the Enduring Spirit of Mao Zedong Thought,” 32–33. [7] Jiang Zemin, “Promote Disarmament Process and Safeguard World Security,” speech at U.N. Conference on Disarmament, March 26, 1999, http://www.china-un.org/eng/chinaandun/disarmament_armscontrol/unga/t29298.htm. [8] “Hu Makes 4-Point Proposal for Building Harmonious World,” Xinhua, Sept. 16, 2005, http://www.china.org.cn/english/features/UN/142408.htm. [9] I benefited from Dan Tobin’s insights placing the Xi Jinping era in the context of Communist Party history. [10]Xi Urges Breaking New Ground in Major Country Diplomacy with Chinese Characteristics,” Xinhua. [11] “Xi: China to Contribute Wisdom to Global Governance,” Xinhua, July 1, 2016,  http://www.xinhuanet.com/english/2016-07/01/c_135481408.htm. [12] Xi Jinping, The Governance of China, vol. 2 (Beijing: Foreign Languages Press, 2017). See speeches on the Belt and Road Initiative, 543–53. Earlier speeches emphasize the Belt and Road Initiative in Asia, whereas more recent speeches emphasize its global scope. [13] “Full text of Resolution on Amendment to CPC Constitution,” Xinhua, Oct. 24, 2017, http://www.xinhuanet.com/english/2017-10/24/c_136702726.htm. [14] For example, see “China’s Belt and Road Initiative: Debt Trap or Hope?” Straits Times, Oct. 20, 2018, https://www.straitstimes.com/asia/east-asia/chinas-belt-and-road-initiative-debt-trap-or-hope. [15] “American Leadership in the Asia Pacific, Part 5”: Hearing Before the Senate Foreign Relations Committee Subcommittee on East Asia, the Pacific, and International Cybersecurity Policy, 115th Cong. (May 15, 2018) (statement of Alex Wong, Deputy Assistant Secretary of State, Bureau of East Asian and Pacific Affairs), https://www.foreign.senate.gov/imo/media/doc/051518_Wong_Testimony.pdf. [16] Both speeches are found in Xi, The Governance of China, vol. 2, 569–75 and 588–601. [17] Li Laifang, “Enlightened Chinese Democracy Puts the West in the Shade,” Xinhua, Oct. 17, 2017, http://www.chinadaily.com.cn/china/19thcpcnationalcongress/2017-10/17/content_33364425.htm. [18] Zhong Sheng [Voice of China], “Op-ed: China’s New Type of Party System Enlightens World,” People’s Daily, March 12, 2018, http://en.people.cn/n3/2018/0312/c90000-9435991.html. [19] “Chinese People’s Political Consultative Conference,” PRC National People’s Congress, http://www.china.org.cn/english/archiveen/27750.htm. [20] Zhou Xin, ed., “China Focus: Chinese Democracy: How It Boosts Growth and Prosperity?” Xinhua, March 16, 2018, http://www.xinhuanet.com/english/2018-03/16/c_137043686.htm. [21]William Gumede, “China Impact on African Democracy,” Namibian, Aug. 28, 2018, https://www.namibian.com.na/70804/read/China-Impact-on-African-Democracy. Also see Yun Sun, “Political Party Training: China’s Ideological Push in Africa?” Brookings Institution’s Africa in Focus blog, July 5, 2016, https://www.brookings.edu/blog/africa-in-focus/2016/07/05/political-party-training-chinas-ideological-push-in-africa/. [22] Wang Yi, “Work Together to Build Partnerships and Pursue Peace and Development,” speech at China Development Forum luncheon, March 20, 2017, https://www.fmprc.gov.cn/mfa_eng/wjb_663304/wjbz_663308/2461_663310/t1448155.shtml. [23] Xi, The Governance of China, vol. 2, 588–601. [24] Wang Yi, “Forge Ahead Under the Guidance of General Secretary Xi Jinping’s Thought on Diplomacy,” Sept. 1, 2017, https://www.fmprc.gov.cn/mfa_eng/wjdt_665385/zyjh_665391/t1489143.shtml. [25] China’s Ministry of Foreign Affairs frequently references its named partnerships in official readouts of engagements with foreign leaders, posted on its website: https://www.fmprc.gov.cn/mfa_eng/. For an example of another country referring to its named partnership with China, see “China country brief,” Australia Department of Foreign Affairs and Trade, https://dfat.gov.au/geo/china/Pages/china-country-brief.aspx. [26] “Russia-China Partnership at Best Level in History: Putin,” Xinhua, May 26, 2018, http://www.xinhuanet.com/english/2018-05/26/c_137208088.htm. Also see “Interview: Chinese Ambassador Expects China-Russia Partnership to See Wider, Deeper Future Development,” Xinhua, July 12, 2018, http://www.xinhuanet.com/english/2018-07/12/c_137320337.htm; and “China and Russia: Partnership of Strategic Coordination,” PRC Ministry of Foreign Affairs, https://www.fmprc.gov.cn/mfa_eng/ziliao_665539/3602_665543/3604_665547/t18028.shtml. [27] “China, U.S. Pledge to Build Constructive Strategic Partnership,” PRC Embassy in the United States of America, http://www.china-embassy.org/eng/zmgx/zysj/zrjfm/t36212.htm. [28] Liu Xiaoming, “The UK-China ‘Golden Era’ Can Bear New Fruit,” (London) Telegraph, Jan. 29, 2018, https://www.telegraph.co.uk/news/2018/01/29/uk-china-golden-era-can-bear-new-fruit/. The op-ed was also posted on the PRC Ministry of Foreign Affairs website. [29] “UK Should Try to Have More Than One Friend,” China Daily, Sept. 6, 2018, http://www.chinadaily.com.cn/a/201809/06/WS5b911253a31033b4f4654a8e.html. [30] Peter Harrell, Elizabeth Rosenberg, and Edoardo Saravalle, “China’s Use of Coercive Economic Measures,” Center for a New American Security, June 11, 2018, https://www.cnas.org/publications/reports/chinas-use-of-coercive-economic-measures. [31] “Wang Yi Meets with Deputy Prime Minister and Foreign Minister Walid Muallem of Syria,” PRC Ministry of Foreign Affairs, Sept. 28, 2018, https://www.fmprc.gov.cn/mfa_eng/zxxx_662805/t1601120.shtml. [32] “Full Transcript: Interview with Xinjiang Government Chief on Counterterrorism, Vocational Education and Training in Xinjiang,” Xinhua, Oct. 16, 2018, http://www.xinhuanet.com/english/2018-10/16/c_137535720.htm. [33] Both speeches are found in Xi, The Governance of China, vol. 2, 569–75 and 588–601. [34] Timothy R. Heath, “China and the U.S. Alliance System,” Diplomat, June 11, 2014, https://thediplomat.com/2014/06/china-and-the-u-s-alliance-system/. [35] “2017 Report to Congress on China’s WTO Compliance,” United States Trade Representative, January 2018, https://ustr.gov/sites/default/files/files/Press/Reports/China%202017%20WTO%20Report.pdf. [36] Qui Shi, “The West Once Again Gets It Wrong on China,” China Daily, Sept. 7, 2018, http://www.chinadaily.com.cn/a/201809/07/WS5b925c35a31033b4f4654e4f_4.html. [37] Deng Xiaoping, Selected Works, vol. 3 (1982–1992) (Beijing: Foreign Languages Press, 1994), 151–53. The 1985 selection can be found online at http://en.people.cn/dengxp/vol3/text/c1480.html. [38] Shi, “The West Once Again Gets It Wrong on China.” See also “China Focus: Socialism with Chinese Characteristics: 10 Ideas to Share with World,” Xinhua, Oct. 8, 2017, http://www.xinhuanet.com/english/2017-10/08/c_136665156.htm. [39] Shi, “The West Once Again Gets It Wrong on China.” [40] “Xi Jinping: Strengthen Cooperation for Advancing the Transformation of the Global Governance System and Jointly Promote the Lofty Task of Peace and Development for Mankind” (习近平:加强合作推动全球治理体系变革 共同促进人类和平与发展崇高事业), Xinhua, Sept. 28, 2016, http://www.xinhuanet.com/politics/2016-09/28/c_1119641652.htm. [41] Li Wen, “An International Strategy of Seeking One’s Own Self-Interests” (谋一己之私的国际战略), People.com, Sept. 18, 2016, http://world.people.com.cn/n1/2016/0918/c1002-28719418.html. [42] Yang Jiechi, “Working Together to Build a World of Lasting Peace and Universal Security and a Community with a Shared Future for Mankind,” speech at World Peace Forum at Tsinghua University, July 14, 2018, https://www.fmprc.gov.cn/mfa_eng/zxxx_662805/t1577242.shtml. [43] “Xi Urges Efforts in Building China into a Great Modern Socialist Country,” Xinhua, March 20, 2018, http://www.xinhuanet.com/english/2018-03/20/c_137052370.htm. [44] Yang Jiechi, 求是 [“Seeking truth”]. [45] “Spotlight: Chinese Dream Connects Aspirations of the Whole World for Peace, Development,” Xinhua, Nov. 29, 2017, http://www.xinhuanet.com/english/2017-11/29/c_136788472.htm. [46] Jiang Zemin, “Speech at the Millennium Summit of the United Nations,” Sept. 6, 2000, https://www.fmprc.gov.cn/mfa_eng/wjdt_665385/zyjh_665391/t24962.shtml. [47] “China Unveils Three State Administrations on Film, Press, Television,” Xinhua, April 16, 2018, http://www.xinhuanet.com/english/2018-04/16/c_137115379.htm. [48] “CPC Leadership: Carry Forward Chinese Values Through Art,” Xinhua, Sept. 11, 2015, http://www.xinhuanet.com//english/2015-09/11/c_134615838.htm. [49] “China Focus: Xi Calls for Improved Religious Work,” Xinhua, April 23, 2016, http://www.xinhuanet.com//english/2016-04/23/c_135306131.htm. [50]Full Transcript: Interview with Xinjiang Government Chief on Counterterrorism, Vocational Education and Training in Xinjiang,” Xinhua. [51] Anna Fifield, “With Wider Crackdowns on Religion, Xi’s China Seeks to Put State Stamp on Faith,” Washington Post, Sept. 16, 2018, https://www.washingtonpost.com/world/asia_pacific/with-wider-crackdowns-on-religion-xis-china-seeks-to-put-state-stamp-on-faith/2018/09/15/b035e704-b7f0-11e8-b79f-f6e31e555258_story.html. [52] Fifield, “With Wider Crackdowns on Religion, Xi’s China Seeks to Put State Stamp on Faith.” [53] “China Mulls Censoring Online Religious Content in New Draft Regulations,” Hong Kong Free Press, Sept. 11, 2018, https://www.hongkongfp.com/2018/09/11/china-mulls-censoring-online-religious-content-new-draft-regulations/. [54] Zhang Yu, “Priests Search for Patriotic Elements in Scripts as China Promotes Religious Localization,” Global Times, May 31, 2018, http://www.globaltimes.cn/content/1104987.shtml. [55] “Transforming Our World: The 2030 Agenda for Sustainable Development,” United Nations, https://sustainabledevelopment.un.org/post2015/transformingourworld. [56] Xi Jinping, “Build a Win-Win, Equitable and Balanced Governance Mechanism on Climate Change,” speech at United Nations Climate Change Conference, Nov. 30, 2015, https://unfccc.int/sites/default/files/cop21cmp11_leaders_event_china.pdf. [57] “CPC Advocates Building ‘Beautiful’ China,” 18th National Congress of the Communist Party of China, Nov. 8, 2012, http://www.china.org.cn/china/18th_cpc_congress/2012-11/08/content_27051794.htm. [58] “China Fines for Environmental Violations Up 48 Percent from Jan–Oct: Ministry,” Reuters, Dec. 5, 2017, https://www.reuters.com/article/us-china-environment/china-fines-for-environmental-violations-up-48-percent-from-jan-oct-ministry-idUSKBN1E0089; “China Sets Up Lifelong Accountability System to Control Soil Pollution,” China Daily, Jan. 18, 2017, http://www.chinadaily.com.cn/china/2017-01/18/content_27992959.htm. [59] Statement of Alex Wong, deputy assistant secretary of state, in Hearing Before the Senate Foreign Relations Committee Subcommittee on East Asia, the Pacific, and International Cybersecurity Policy, 115th Cong. (May 15, 2018). [60] Peter Mattis, “From Engagement to Rivalry: Tools to Compete with China,” Texas National Security Review 1, no. 4 (August 2018), https://tnsr.org/2018/08/from-engagement-to-rivalry-tools-to-compete-with-china/. [61] China’s plan to break down barriers between the defense and civilian industrial bases involves “military-civil fusion,” which aims to promote the free flow of technology, intellectual property, talent, and expertise between civilian and defense entities and to ensure that China develops a “strong army.” For more on this and the challenge it poses to the United States, see remarks by Christopher A. Ford, “Chinese Technology Transfer Challenges to U.S. Export Control Policy,” CSIS Project on Nuclear Issues, July 11, 2018, https://www.state.gov/t/isn/rls/rm/2018/284106.htm. [62] See, for example, Simon Denyer, “Command and Control: China’s Communist Party Extends Reach into Foreign Companies,” Washington Post, Jan. 28, 2018, https://www.washingtonpost.com/world/asia_pacific/command-and-control-chinas-communist-party-extends-reach-into-foreign-companies/2018/01/28/cd49ffa6-fc57-11e7-9b5d-bbf0da31214d_story.html. [63] For a thorough assessment of the party’s “united front” work to influence domestic audiences, see Anne-Marie Brady, “Magic Weapons: China’s Political Influence Activities Under Xi Jinping,” conference paper, Sept. 16–17, 2017, https://www.wilsoncenter.org/sites/default/files/magicweaponsanne-mariebradyseptember162017.pdf. ) [contents] => Array ( [title] => [contents] => ) ) [3] => WP_Post Object ( [ID] => 763 [post_author] => 223 [post_date] => 2018-11-06 04:00:36 [post_date_gmt] => 2018-11-06 09:00:36 [post_content] =>

Those people — the map people, the logistics people, the intelligence people — have always been accused, by operational commanders, of thinking more than is good for them, but this time they’ve got it right.”

– Alan Furst, Kingdom of Shadows

  In 2018, both the Russian Federation and the North Atlantic Treaty Organization (NATO) conducted their largest military exercises since the end of the Cold War. The role of such maneuvers in the larger geostrategic context has been brought to the fore by these activities and President Donald Trump’s decision, announced at his summit in Singapore with North Korea’s Kim Jong-un, to suspend the U.S.-South Korea Ulchi Freedom Guardian military exercise.[1] Official statements about these military exercises typically stress their specified purpose of improving training, readiness, and interoperability among services and multinational forces.[2] But military exercises also convey powerful geopolitical messages intended to demonstrate how the capabilities on display enhance regional stability, deter aggression, and reinforce foreign policy goals.[3] However, I argue in this essay that they can instead do the opposite, in the sense of the classic security dilemma, as real or potentially adversarial states ratchet up the size and scope of their exercises and push exercise venues into militarily problematic areas. In other words, the risk of geopolitical instability that such exercises imply may not bring a corresponding deterrence reward. This is especially true across the increasingly tense NATO-Russia divide in the wake of the Russian annexation of Crimea in 2014, which is the focus of this paper. The elusive line between deterrence and provoking aggression has been explored in depth in analyses of tabletop war games or simulations in the German kriegsspiel style. The most notable are those conducted by the RAND Corporation involving a hypothetical Russian invasion of the NATO-member Baltic states. The results provided the impetus for a more robust alliance military presence in that region and in Poland.[4] Michael Kofman has discussed at length whether this shift from “reassurance” to “deterrence” makes sense and, importantly, posits that a critical variable in this calculation is the perception of the Russian threat. He also questioned whether “conventional deterrence by denial is possible on NATO’s eastern flank.”[5] Through my experience as an intelligence officer at the tactical and national levels, I became — and remain — acutely aware of the role that the threat, or at least the United States military’s assessment of the threat, plays in both planning and executing military operations. That includes exercises, a number of which I participated in. Later, as an academic researcher in geopolitics, I came to appreciate the influence of what Gerard Toal refers to as “thick geopolitics,” a concept that “strives to describe the geopolitical forces, networks, and interactions that configure places and states.”[6] Combining these two perspectives, in this paper I examine the strategic implications of NATO’s ongoing efforts to extend its reach eastward and, in some cases, northward,[7] by shifting its military exercise venues forward and including non-NATO “partners” in the alliance’s military operations and exercise agenda. The symbolism of these highly visible activities — which precede the Crimean crisis — is difficult to ignore, especially as they contribute to Russia’s geopolitical angst as regards its immediate neighborhood. Certainly, as Toal avers, the many multi-layered influences of location, distance, and place come into play here, especially given that some of these NATO-sponsored and member-state exercises take place along the Russian land frontier or its adjacent maritime zone and airspace. The reverse is also true, as Russia conducts large-scale exercises and other military demonstrations — what Mark Galeotti terms “heavy metal diplomacy”[8] — in that same contact zone. These exercises are viewed as threatening by many NATO states, some of which harbor unhappy memories of when this “thick geopolitical” landscape was dominated by Russia in its imperial or Soviet form.

Military Exercises as Geopolitical Messaging

Military exercises do not take place on tabletops. Instead, warships, troops, aircraft, armored vehicles, and logistical and engineer support units maneuver across land, sea, and airspace overseen by headquarters staffs practicing command, control, and communications. A combination of live firing of weapons; cyber activities; collection, processing, and dissemination of target information and intelligence data; and after-action assessments all make for a complex and demanding undertaking, often at considerable expense and some element of danger to the participants. These exercises also involve considerable fanfare in the host countries and, especially, strong visualization elements. As Roland Bleiker notes, “Images shape international events and our understanding of them.”[9] Certainly, images of warships, tanks, and live firing make for dramatic coverage, especially as they have become more incorporated in and widely disseminated via social media. These messages and images complement official foreign and security policy narratives and those of nongovernmental groups (e.g., think tanks and human rights organizations), and they should be seen as part and parcel of the larger geopolitical discourse. The Exercise Is the Message The annual Foal Eagle joint and combined forces maneuvers,[10] conducted by the United States and the Republic of Korea, are an excellent example of how military exercises can be used to message strategic posture. In addition to the complexity and scope of these maneuvers, conducting them on and around the Korean Peninsula has become a highly contentious element in relations between these two allies and the Democratic People’s Republic of Korea.[11] In its press release announcing the 2017 iteration, the Defense Department stated that Foal Eagle “is designed to increase readiness to defend South Korea, to protect the region, and to maintain stability on the Korean Peninsula.”[12] This is the template for the manner in which militaries typically describe their exercises and signal their import. And that language is understood to mean that readiness involves training, that protecting the region implies a specific geographical focus, and that stability (or, frequently, deterrence) is a desired strategic outcome. Geopolitical messaging is conveyed via military exercises through several means by the exercise planners and their superiors. First, is the decision of whether to hold exercises. That means that starting, suspending, or terminating them is a foreign policy and security policy statement in and of itself. This is certainly true in long-standing military relationships such as that between the United States and the Republic of Korea, wherein the form and scale of exercises have evolved since their inception shortly after the end of the Korean War. In fact, the major U.S.-South Korea exercise, Team Spirit, was canceled four times in the 1990s to facilitate negotiations to limit North Korea’s nuclear program.[13] Notably, the Bright Star exercises co-sponsored by the United States and Egypt since 1980 were suspended by President Barack Obama in 2013 in the wake of the military takeover of the elected Egyptian government. They have, however, since been reinstated.[14] The U.S. Central Command press release for Bright Star 2017 made no mention of the hiatus.[15] The Malabar naval exercises initiated by the United States and India in 1992 (and joined by Japan in 2015) presaged increased American interest in the Indian Ocean and Indian concerns regarding China’s growing presence in South Asia. Although these exercises have recently expanded significantly, they were suspended for a period after India tested nuclear weapons.[16] [quote id="1"] The same cyclical pattern of scaling down and ramping up military exercises as political circumstances change is evident in the U.S.-Philippines Balikatan exercise, which recently concluded its 34th iteration.[17] Disinviting the People’s Liberation Army Navy from the U.S.-sponsored 2018 Rim of the Pacific (RIMPAC) naval exercise was intended to signal U.S. displeasure at China’s increasing militarization of islands in the South China Sea. (The Chinese navy had participated in RIMPAC in 2014 and 2016.)[18] Meanwhile, Russia and China announced that their two navies would conduct a second round of joint exercises in the Yellow Sea, and the huge Vostok 2018 exercises involved Chinese troops for the first time as part of a long-term plan of greater military cooperation between the two countries.[19] Once it has been decided that exercises are to take place, geopolitical messaging is conveyed in several ways in their actual execution: Where the exercises are conducted, how many personnel are involved, what countries they are drawn from, and the types of weaponry employed are all key elements in strategic positioning or, one might say, posturing. Further complicating matters, the number, size, and scope of military exercises are growing — in some regions dramatically so — and at a time of heightened stress in the international system.[20]

The NATO-Russia Military Exercise Dynamic

Nowhere is this expansion of military exercises more evident and potentially de-stabilizing than in the NATO-Russia arena. Since Russia’s seizure of the Crimean peninsula from Ukraine in early 2014, tensions have risen steadily between Moscow and the West, with economic sanctions, mutual expulsions of diplomats and the closure of legations, and a barrage of mutual recriminations not seen since the darkest days of the Cold War. Russia’s interference in the Donbas region in eastern Ukraine, including the insertion of regular units of the Russian army into the fighting there,[21] and at least one major cyberattack on the Ukrainian power grid, banks, and government agencies, has exacerbated what was already a full-blown international crisis and catalyzed fears in the West — warranted or not — of a new and more capable Russian threat. Russia, meanwhile, harbors long-standing grievances concerning NATO’s expansion into the former Soviet states (the Baltic countries: Estonia, Latvia, and Lithuania) and former members of the Soviet-led Warsaw Pact in Central and Eastern Europe, which acceded to NATO from 1990 to 2004. Actions by NATO in the Balkan conflicts, especially the bombing campaign against Serbia, also invoked Russian fears of Western encroachment into what Moscow considers its sphere of influence. [22] These increasingly contentious relations have resulted in a significant expansion of military operations on both sides. Russian forces continuously operate close to NATO forces in and around Europe as well as in the Middle East, especially Syria. Partly, this is because the NATO alliance now adjoins Russia along a longer frontier. Four of the newer NATO member states have land borders with Russia proper (Estonia and Latvia) or its Kaliningrad Oblast exclave (Poland and Lithuania), whereas previously only Norway directly bordered Russia, and that was in the very remote far north. All of these new eastern frontiers have become increasingly militarized. For example, almost from the moment of their accession to NATO, the three Baltic countries — with no combat aircraft of their own — received air defense cover from their NATO allies, a continuing mission that involves frequent intercepts of Russian military aircraft transiting Baltic Sea airspace.[23] The alliance also agreed at its Warsaw summit in 2016 to rotate “battalion-sized battlegroups” into Poland, Estonia, Latvia, and Lithuania in what it termed an “enhanced forward presence.”[24] Samuel Charap argues that Russia has likewise raised the ante in its standoff with NATO by using “its military beyond its borders with unprecedented frequency since the invasion of Crimea in February 2014,” referring to Russia’s intervention in Ukraine and Syria, and by its “brinksmanship in the skies and sea with NATO and other Western militaries.”[25] Finally, Russia’s extensive buildup of forces in Kaliningrad has significantly altered the military landscape in the Baltic Sea region.[26] As Dmitry Gorenburg has noted, the Russian Black Sea Fleet and its Crimea bases have been significantly upgraded, with more resources expected in the coming years. [27] Closing the Exercise Gap The upshot of this heightened military activity is that deconfliction and avoidance of the kinds of catastrophic accident that could lead to hostilities has become an increasingly serious matter. As will be discussed below, military exercises involving these forward-deployed units are an inevitable consequence of their placement.[28] That is to say, if one forward-deploys or bases forces in a given region, exercising them in these locations is imperative — and the chances of miscalculation or accidents rise commensurately. These exercises have generated considerable attention in both the mainstream media and in the national security and geopolitics commentariat. The Russian Federation and its allies have undertaken a number of large-scale military maneuvers designed to test their troops and weapons, demonstrate their ability to defend the homeland, and convey a message of resoluteness in so doing. Russia’s large Zapad (“West”) 2017 maneuvers generated unprecedented coverage in Western media, think tank analyses, and official sources. They provided a prime example of how these events shape the national security discourse between Moscow and NATO.[29] In keeping with the universal exercise rationale template, the Russian Ministry of Defense described Zapad 2017 as “a final stage of joint training of the Russian and Belarusian Armed Forces [involving] interoperability of staffs [in the defense of] territories of the Republic of Belarus and the Kaliningrad region of the Russian Federation [to prevent] their destabilization.”[30] Both in terms of its regional scope (the Baltic Sea region, western Russia, and Belarus) and the number of personnel and different weapons systems involved, Zapad 2017 certainly deserved the attention it received. But the ensuing frenzy, including concern that the exercise was intended to mask an actual invasion of the Baltics and Poland, exacerbated tensions throughout Europe even though that exercise occurs every four years.[31] Even before Zapad 2017, at least one American national security think tank raised the specter of an “exercise gap” between Russia and NATO, arguing that the former enjoyed a significant advantage.[32] Vostok (“East”) 2018, another quadrennial Russian capstone military exercise, has likewise received extensive coverage in Russia and in Western media, mainly, but not exclusively, because the numbers of troops and equipment engaged may have exceeded Zapad 2017 (there is some dispute about the numbers directly involved[33]), which would make it the largest since the end of the Cold War. But it also involved an “interstate-conflict scenario” with coalition adversaries,[34] closely resembling what Russia would face should it wind up in a fight with NATO, though the maneuvers took place at a far remove from NATO territory. As such, the geopolitical message conveyed by the exercises, in particular the added element of participation by Chinese military units, was more subtle, involving what could be characterized as an in-house assessment of how well Russian armed forces could generate and manage a large-scale conflict from the command-and-control perspective. [quote id="2"] Not to be outdone, NATO and its member states and partners likewise sponsor an expanding series of large and complex military exercises in close proximity to Russia’s western border and its adjacent seas and airspace.[35] Not surprisingly, this has provoked a negative reaction from Moscow. Indeed, since the annexation of Crimea, the schedule of military training events involving NATO and its member states, as well as non-NATO partners, has become increasingly ambitious.[36] As a consequence, the “exercise gap” has narrowed.[37] This was underscored by the alliance’s top leadership at the NATO summit in Wales in 2014,[38] reemphasized at the Warsaw summit in 2016,[39] and reaffirmed at the 2018 Brussels summit: “We continue to ensure the Alliance’s political and military responsiveness, including through more regular exercises.”[40] As is true in general of military exercises, these recent NATO exercises are intended to act as both training events and indicators of security policy and posture. That is, they signal the alliance’s determination to defend its member states. Thus, several major exercises were conducted in 2017 with the aim of “assuring” NATO states bordering or near Russia (especially strategically vulnerable Estonia, Latvia, Lithuania, and Poland) and thereby “deterring” Russian aggression. The evolution of the annual Saber Strike exercise series is a good example. Initially, from 2011, this exercise involved about 2,000 personnel, with a focus on training troops from the Baltic countries to NATO standards as a means of integrating them into the alliance’s operations in Afghanistan and elsewhere.[41] By 2018, Saber Strike had grown to 18,000 participants, with a clear focus on “validating our [NATO’s] collective capability to rapidly respond to and reinforce Allies in a time of crisis.”[42] From whence that crisis might emerge is not stated, but reference is made to the fact that the exercise is “not a provocation of Russia,” leaving one to imagine another major external threat to the alliance. In the same vein, the biannual Anakonda exercises organized by Poland have grown enormously since their inception in 2006. The 2016 edition numbered 31,000 troops from 23 countries with the intent “to check the ability of NATO to defend the territory of the eastern flank of the Alliance.”[43] Again, absent an attack from Belarus or Ukraine, the obvious aggressor state would be Russia. But the clearest message yet that NATO intends to push the geopolitical envelope by means of military exercises came via Trident Juncture 2018, the alliance’s premier format. Not only is this the largest post-Cold War NATO exercise, with some 50,000 participants, but the venue, mainly in Norway, further extends the field of play. Hitherto, Norway, a founding NATO member state, had been careful to avoid antagonizing Moscow by allowing maneuvers in its far northern region, but, as Azita Raji notes, the mood in Oslo has clearly shifted toward taking a much stronger stance against what is perceived as an increasingly serious Russian threat.[44] Thus, Trident Juncture 2018 sends three geopolitical messages: that Norway takes its NATO commitment very seriously, that it will push back hard against Russian pressure, and that the alliance supports both of those positions. [45]

Can Anybody Play?

Significantly, over the past decade NATO has sought to integrate some non-NATO partners into operations and exercises, and in certain cases it has conducted large-scale NATO-, U.S.-, or European-sponsored events (including live-fire practice) on the territory of those non-member states, with resultant geopolitical implications. In the Nordic region, for example, Swedish and Finnish forces have participated in exercises with NATO, and NATO ground forces and aircraft have operated in Sweden and Finland proper in the two countries’ respective maneuvers.[46] Finnish and Swedish ground, naval, and air-force units participated in Trident Juncture 2018, with some NATO events taking place in both countries.[47] Such exercises and other steps that the two countries have taken to bolster their militaries have significantly altered the strategic situation in NATO’s favor vis-à-vis Russia in the Baltic Sea area while, predictably, provoking a negative response from Moscow.[48] Likewise, NATO has dramatically strengthened its military relationship with the Republic of Georgia through training assistance programs and major exercises. The highlight of these is the Noble Partner series, wherein U.S. Army forces (including tanks and other armored vehicles) recently deployed to Georgia from bases in Germany. Through participation in such exercises, some units of the Georgian army have met NATO operational standards and are included in NATO’s Response Force, a readily available and deployable contingency command for insertion in emerging-crisis situations.[49] Previously, Georgian troops had been involved in a number of NATO operations. With 32 of its soldiers killed in support of NATO’s mission in Afghanistan, Georgia’s casualty rate in that conflict is higher than that of any NATO country.[50] In the Black Sea region, the U.S. Navy has bolstered its presence both in exercises with Ukraine and NATO allies Romania and Bulgaria and through freedom-of-navigation visits. This was particularly evident in the Sea Breeze 2017 exercise, during which two advanced U.S. warships participated and also conducted a port call in the Ukrainian port city of Odesa. Russian news sources have featured prominent coverage of these NATO-Ukraine military maneuvers in the Black Sea. For example, Sea Breeze 2017 was not covered in the mainstream U.S. media (although it did appear in defense-related news outlets and on social media), whereas both Sputnik and RT (formerly Russia Today) had features on the maneuvers. Sputnik posted eight features on another U.S.-Ukraine exercise, Rapid Trident 2017, including articles in its German, Polish, Lithuanian, and Moldovan outlets. One can reasonably conclude that the signaling of military partnership, if not treaty obligation, is being received by Russia, and not favorably.

(In)stability: One Is Easy; the Other, Not So Much

If geopolitical “stability” is a stated goal of most military exercises, a working description of how such stability might be measured in the NATO-Russia context is necessary. Although there is no universally accepted definition to reference, the specifics of where the exercise takes place, how many personnel are engaged, which countries participate, and how certain types of weapons are involved can be used to make at least a rough assessment of the extent to which these events might be de-stabilizing. Using military exercises to advance the forward deployment of troops, naval vessels, and aircraft has been a feature of both NATO and Russian military planning and posturing since the Crimean crisis unfolded, and it show no signs of abating.  Incorporating more advanced weaponry in maneuvers in forward areas is especially destabilizing as it alters the military status quo ante. For example, NATO used the Tobruk Legacy exercise in July 2017 to deploy the Patriot anti-aircraft and anti-missile system to Lithuania, the first time that such an advanced system had been positioned in the Baltic region.[51] Not surprisingly, Russia viewed that move as provocative.[52] The missiles were withdrawn after the exercise concluded, but the idea of permanently basing them in the region remains very much alive. During a state visit to the White House on April 3, 2018, Estonian President Kersti Kaljulaid advocated placing Patriots in her country.[53] On the other hand, since 2014, Russia has periodically moved its Iskander tactical ballistic missiles forward to Kaliningrad during exercises, prompting a warning from NATO that this presented a serious threat to the alliance and constituted a “pattern of continuing behavior to coerce [Russia’s] neighbors in Central and Eastern Europe.”[54] As it developed, these exercise deployments were, in fact, the prelude to the permanent basing of an Iskander brigade in Kaliningrad, a move that the chairman of the Russian Duma’s defense committee called “the answer to the deployment of military assets in neighboring territories.”[55] U.S. Navy vessels equipped with the Aegis Ballistic Missile Defense System have participated in the Sea Breeze exercise in the Black Sea to which, according to one U.S. Defense Department official, “the Russians are particularly sensitive.” That same official stated that the Russians must be “desensitized.”[56] For years, Russia has expressed this “sensitivity” by conducting low-level passes over NATO warships operating on the Black Sea, often dangerously close to the vessels, and by intercepting and approaching NATO maritime patrol and intelligence collection aircraft. Obviously, these incidents carry a very high risk of collision or might provoke hostilities. On April 19, 2018, NATO’s Supreme Allied Commander Europe and the chief of the Russian general staff held a rare face-to-face meeting to discuss “issues related to military posture and exercises … to foster predictability and transparency.”[57] Yet, despite previous such meetings, these encounters continued. Fight Where You Train? By pushing military exercise venues further forward, is NATO signaling that it is prepared to fight early in a conflict with Russia in exposed regions such as the Baltic countries? The viability of changing the NATO/U.S. imperative from “reassurance to deterrence” in that context has been extensively critiqued as problematic at best.[58] Yet, this has not forestalled the view among exercise planners and think tank analysts that it makes good sense to demonstrate at least some capability to engage the threat far forward (e.g., Saber Strike) despite the realities of military geography.[59] As I have written apropos the challenges of a high-end fight with Russia from an airpower perspective, conducting military exercises close to Russia’s heavily defended territory where NATO forces are at a serious disadvantage is a singularly bad idea: Airfields are static targets, and most of those closest to the eastern borders of NATO countries do not possess facilities hardened to withstand the inevitable attacks against them. They are also within easy range of any number of Russian offensive threats.[60] Moreover, because Russia has put in place the much-discussed anti-access/area-denial “bubbles” of sophisticated defenses around its western perimeter and extending well into NATO’s eastern flank, the alliance must confront a difficult question:[61] Is the geopolitical message that these exercises send essentially a bluff easily recognized by Russia as such and, therefore, unnecessarily provocative? Along these same lines, what is the point of conducting military exercises with non-NATO countries if the alliance is not treaty-bound to assist them in the event that they are attacked by Russia? One could argue that the increasingly tight bonds between NATO and Sweden and Finland bolster the alliance’s Baltic Sea flank and that both of those countries have capable militaries and long-standing cultural, political, and economic ties with many NATO states by virtue of their membership in the European Union.[62] To some extent, Russia facilitates this drawing together for common defense by sending mixed military-exercise messages of its own: In the Zapad 2013 exercise, Russian aircraft simulated what appeared to be an attack on military targets in Sweden, a charge denied by Russia’s Ministry of Defense. More recently, a Russian special forces operation on an island 24 miles from the Finnish coast signaled to Moscow’s neighbor that the threat is close by, a point about which the Finns hardly need to be reminded. [quote id="3"] Ukraine and Georgia present an altogether different geopolitical and strategic agenda that NATO and the United States seem determined to advance by, among other means, carrying out increasingly more complex military exercises in those countries. Certainly, the exercises and the official statements made about them also form an integral part of the messaging from NATO and its member states to Russia. NATO places a high premium on supporting these two partner states and is determined to assist them in deterring Russian aggression. The exercise messaging would suggest that the maneuvers are for training (especially interoperability), defense, and promoting stability. But is that how it is interpreted in Moscow? Do the exercises in Ukraine and Georgia suggest that NATO or the United States is prepared to fight there? Does that make any sense from a military perspective? Finally, does conducting such exercises promote regional stability? Interoperability between NATO and non-NATO members (in this case, Ukraine and Georgia) is a consistent element of messaging, appearing in the mission statement for Sea Breeze, Rapid Trident, Noble Partner, and other exercises conducted in the Black Sea region. Promoting interoperability with partner militaries such as those of Ukraine and Georgia makes a significant statement that the alliance is extending its remit and creating, de facto, an expanded military frontier into an unstable area with thick geopolitics. Simply put, why work toward greater interoperability unless the intent is to interoperate? The suggestion that these partners already operate with NATO outside the area and therefore should be able to operate by NATO standards makes sense. But when exercises are conducted in areas bordering Russia, that distinction will not be appreciated in Moscow. Among other things, such exercises involve actual combat units of participating NATO countries, bringing with them heavy and sophisticated weaponry. Sea Breeze 2017, for example, included a Ticonderoga-class guided-missile cruiser and an Arleigh Burke-class guided-missile destroyer, among the most powerful warships afloat. These provided an opportunity for Ukrainian President Petro Poroshenko to visit (and be photographed on) one of the ships at port in Odesa, where he could “emphasize … that this joint training is our response to ideologists, organizers and sponsors of hybrid wars” and that the “Head of State [Poroshenko] is confident that the training will become another resolute step towards achieving stability in the region.”[63] The parties fomenting hybrid wars and instability were not named, but, from where Poroshenko stood, the air distance to the Russian naval base at Sevastopol is only about 200 miles and is easily within the Crimean anti-access/area-denial zone that the Russians have since put in place.[64] Again, citing Dmitry Gorenburg, Russia is “mak[ing] it clear that the modernization of the Black Sea Fleet and the concurrent strengthening of Russian military presence in the Black Sea region [is] a priority to counter the threat it sees emanating from NATO and its partners in the region, including Ukraine.”[65] In a similar fashion, U.S. Vice President Mike Pence noted during the opening ceremony of Noble Partner 2017 in Georgia that “The strategic partnership between the United States and Georgia is stronger now than ever, and this joint exercise is a tangible sign of our commitment to each other to make it stronger still.”[66] Georgian President Giorgi Margvelashvili used the occasion of the Noble Partner 2018 kickoff to denounce Moscow for its role in the 2008 conflict that resulted in the secession of the Georgian regions of Abkhazia and South Ossetia, saying that the participating troops “are standing on the territory of a country, 20 percent of which is absolutely occupied by our neighbor Russia.”[67] After Noble Partner began, perhaps responding to Margvelashvili’s statement (although he did not refer specifically to the exercise), Russian Prime Minister Dmitry Medvedev warned that admitting Georgia to NATO could trigger a “terrible conflict,” suggesting, at the least, that the presence of combat troops, including tanks and other armored vehicles from NATO countries, in a “frozen conflict” zone is viewed by Moscow as unacceptable and highly destabilizing.[68]

Conclusion: Is Exercise Always Good?

Despite the vast increase in the number and scope of NATO and associated exercises, in Western think tanks some still advocate “more big exercises.”[69] There is a strong contingent of exercise advocates within the U.S. national security establishment and among many allied governments.[70] Yet, as Michael O’Hanlon suggested in regard to the Korean theater, cutting back or even eliminating large-scale exercises can be offset by conducting more frequent training at the tactical level, using “state-of-the-art simulations,” or by conducting exercises outside the immediate vicinity, including in the United States.[71] The U.S. Air Force’s Red Flag exercises in Nevada and Alaska, which usually include units from other countries, are a good example of the latter. Although the lower visibility involved in small-scale exercises or those remote from geopolitically fraught regions reduces the demonstration effect in deterring an aggressor, they are also much less de-stabilizing, precisely because they lack the hyperbolic rhetoric surrounding highly publicized exercises such as Zapad 2017 and Trident Juncture 2018. Military exercises in Europe since early 2014 have frequently involved bringing troops, naval vessels, and aircraft from opposing sides within increasingly closer proximity to one another, and have introduced newer and more capable weaponry as part of the fielded forces. The official messaging behind these maneuvers usually makes reference to the need to train in real-world conditions and ensure that units from different militaries can operate efficiently with one another. Moreover, the defensive nature of the exercise is stressed, often with the claim that greater capability will promote geopolitical stability and deter aggression. But by incorporating non-member militaries in its exercises and other missions, NATO has ratcheted up the operational tempo of its forces in areas that Russia views as buffer zones and that are too close for its strategic comfort. Not surprisingly, Russia responds in kind and raises anxiety levels among NATO members and key non-NATO partners and, in some cases, increases the likelihood of inadvertent actions that could escalate into hostilities. Explaining the Russian rationale behind the huge Vostok 2018 exercise and other Russian maneuvers, Kremlin spokesman Dmitry Peskov stated, “The country’s ability to defend itself in the current international situation, which is frequently quite aggressive and unfriendly toward us, is absolutely justified and has no alternative.”[72] Not surprisingly, U.S. Navy Adm. James G. Foggo, who commanded NATO’s Trident Juncture 2018, said that the rationale from his perspective is much the same: “NATO is a defensive Alliance. We’re not looking for a fight, but we are committed to defense and deterrence. That’s what this exercise is all about: training to defend, and providing a deterrent effect, ready to respond to any threat from any direction at any time.”[73] Certainly, both NATO and Russia have legitimate interests in maintaining readiness, exercising command and control of complex military operations, and assuring both their citizens and allies that they are capable of defending against external aggression. But the danger here is that the two sides are caught in an increasingly complex and dynamic upward spiral of military brinkmanship that will be difficult to manage if present trends continue. If there is a way out of this dangerous course of events it might lie within the framework of the Vienna Document 2011, the latest version of the Organization for Security and Cooperation in Europe (OSCE) agreement to which the United States, other NATO countries, and Russia (among others) are signatories. The document is “composed of politically binding confidence and security-building measures designed to increase openness and transparency concerning military activities conducted inside the OSCE's zone of application,”[74] which is essentially all of Europe (including Russia as far east as the Ural Mountains). It requires all participating states to notify other parties of military events above a certain threshold and to invite observers to these events. The central problem here, as articulated by Olivier Schmitt, is that the heightened level of geopolitical tension in Europe effectively precludes the necessary updates and modifications to the OSCE document that would make it a more effective instrument for containing, among other things, the unbridled growth of military exercises.[75] In Europe, a region with very thick geopolitics, the messaging incorporated into both NATO and Russian military exercises “risk[s] inducing a self-righteous bubble of understanding that is too far removed from the ground-level actualities in [the] post-Soviet space.”[76] NATO, in response to the entreaties of its eastern allied states and even non-member states, and at times because of ill-advised moves by Russia, has leveraged itself into territory that it would be hard-pressed to defend against a large, conventional Russian attack. Using their military exercises to message their interest in bolstering defenses in this inherently unstable geopolitical zone is a risky proposition, at best, for both NATO and Russia.   Acknowledgements: The author wishes to thank Gerard Toal for reading an earlier version of this paper, and Ryan Evans and an anonymous reviewer for their comments on the draft. Megan Oprea and Autumn Brewington provided much-needed editorial advice. Any shortcomings remaining are solely the author’s responsibility.   Ralph Clem is emeritus professor of geography and senior fellow at the Steven J. Green School of Public and International Affairs at Florida International University. He also served as an intelligence officer in the U.S. Air Force Reserve, retiring as a major general.   Image: North Carolina National Guard [post_title] => Military Exercises as Geopolitical Messaging in the NATO-Russia Dynamic: Reassurance, Deterrence, and (In)stability [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => military-exercises-as-geopolitical-messaging-in-the-nato-russia-dynamic-reassurance-deterrence-and-instability [to_ping] => [pinged] => [post_modified] => 2019-02-14 12:13:41 [post_modified_gmt] => 2019-02-14 17:13:41 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=763 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => Military exercises are often viewed as geopolitical tools used to boost stability and enhance deterrence. However, they can sometimes have the exact opposite effect: increasing instability and contributing to dangerous levels of escalation. Nowhere is this more true than in the case of NATO and Russia. [pubinfo] => [issue] => Vol 2, Iss 1 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => Once it has been decided that exercises are to take place, geopolitical messaging is conveyed in several ways in their actual execution. ) [1] => Array ( [author] => [style] => right [text] => [S]ince the annexation of Crimea, the schedule of military training events involving NATO and its member states, as well as non-NATO partners, has become increasingly ambitious. ) [2] => Array ( [author] => [style] => left [text] => [W]hat is the point of conducting military exercises with non-NATO countries if the alliance is not treaty-bound to assist them in the event that they are attacked by Russia? ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => ) [authors] => Array ( [0] => 223 ) [endnotes] => Array ( [title] => Endnotes [endnotes] =>

[1] This decision seemed to catch the Pentagon and Seoul off guard. See: Helene Cooper and Mark Landler, “Trump’s Promises to Kim Jong-un Leave U.S. and Allies Scrambling,” New York Times, June 15, 2018, https://www.nytimes.com/2018/06/15/world/asia/us-trump-north-korea-credible-military-exercises.html. [2] For an excellent overview, see: Beatrice Heuser, “Reflections on the Purposes, Benefits and Pitfalls of Military Exercises,” in Military Exercises: Political Messaging and Strategic Impact, ed. Beatrice Heuser, Tormod Heier, and Guillaume Lasconjarias (Rome: NATO Defense College Forum Paper 26, February 2018), 9–25. [3] This paper concerns only major scheduled military exercises. Most militaries also conduct tactical training exercises and “snap” or “operational readiness” inspections, but these are difficult to enumerate and even more difficult to analyze. In the case of Russia, for example, see: Alexander Golts, “Rehearsals for War,” European Council on Foreign Relations, July 5, 2016,  https://www.ecfr.eu/article/commentary_rehearsals_for_war. [4] David A. Shlapak and Michael Johnson, “Reinforcing Deterrence on NATO’s Eastern Flank: Wargaming the Defense of the Baltics,” RAND Corp., 2016, https://www.rand.org/pubs/research_reports/RR1253.html. For a broader discussion of war gaming, see: Jeffrey Appleget, Jeffrey Kline, and James J. Wirtz, “Do Wargames Impact Deterrence?” in Heuser, Heier, and Lasconjarias, Military Exercises: Political Messaging and Strategic Impact, 27–44. As war games relate to escalation dynamics, see: Jacquelyn G. Schneider, “What War Games Tell Us About the Use of Cyber Weapons in a Crisis,” Defense One, June 22, 2018, https://www.defenseone.com/ideas/2018/06/what-war-games-tell-us-about-use-cyber-weapons-crisis/149206/. [5] Michael Kofman, “Fixing NATO Deterrence in the East Or: How I Learned to Stop Worrying and Love NATO’s Crushing Defeat by Russia,” War on the Rocks, May 12, 2016, https://warontherocks.com/2016/05/fixing-nato-deterrence-in-the-east-or-how-i-learned-to-stop-worrying-and-love-natos-crushing-defeat-by-russia/. [6] Gerard Toal, Near Abroad: Putin, the West, and the Contest Over Ukraine and the Caucasus (New York: Oxford University Press, 2017). [7] As this involves Norway’s decision to push its defense perimeter farther north, see: Tormod Heier, “Towards a New Robust Defence? Norway’s Exercises on NATO’s Northern Flank, 2008–2017,” in Heuser, Heier, and Lasconjarias, Military Exercises: Political Messaging and Strategic Impact, 163–85. [8] Mark Galeotti, “Heavy Metal Diplomacy: Russia’s Political Use of Its Military in Europe Since 2014,” European Council on Foreign Relations Policy Brief, Dec. 19, 2016, https://www.ecfr.eu/page/-/Heavy_Metal_Diplomacy_Final_2.pdf. [9] Roland Bleiker, “Mapping Visual Global Politics,” in Visual Global Politics, ed. Roland Bleiker (New York: Routledge, 2018), 1. [10] Joint exercises involve two or more service components (air, ground, or naval), and combined exercises involve forces from two or more countries. [11] Herb Lin, “The U.S. and South Korea Should Conditionally End Large Joint Military Exercises,” Lawfare, Aug. 30, 2017, https://lawfareblog.com/us-and-south-korea-should-conditionally-end-large-joint-military-exercises; Helene Cooper and Choe Sang-Hun, “U.S. and South Korea to Resume Joint Military Exercises,” New York Times, March 19, 2018, https://www.nytimes.com/2018/03/19/us/politics/us-south-korea-joint-military-exercises.html [12] Emphasis added in excerpt from “U.S., South Korea Launch Annual Foal Eagle Exercise,” Department of Defense News, March 3, 2017, https://www.defense.gov/News/Article/Article/1102331/us-south-korea-launch-annual-foal-eagle-exercise/. [13] Robert Collins, “A Brief History of the US-ROK Combined Military Exercises,” 38 North, Feb. 26, 2014, https://www.38north.org/2014/02/rcollins022714/. [14] Michael R. Gordon and Declan Walsh, “General Says U.S. Wants to Resume Major Military Exercise With Egypt,” New York Times, Feb. 26, 2017, https://www.nytimes.com/2017/02/26/world/middleeast/trump-al-sisi-egypt-military-exercise.html. [15] “U.S., Egypt Kick Off Exercise Bright Star 2017,” U.S. Air Forces Central Command Public Affairs, Sept. 13, 2017, http://www.centcom.mil/MEDIA/NEWS-ARTICLES/News-Article-View/Article/1308877/us-egypt-kick-off-exercise-bright-star-2017/. [16] Adarsha Verma, “The Malabar Exercises: An Appraisal,” Institute for Defence Studies and Analyses, July 18, 2017, https://idsa.in/idsacomments/the-malabar-exercises_averma_180717. [17] Prashanth Parameswaran, “What Does a Bigger 2018 Balikatan Military Exercise Say About US-Philippines Alliance Under Duterte?” Diplomat, May 8, 2018, https://thediplomat.com/2018/05/what-does-a-bigger-2018-balikatan-military-exercise-say-about-us-philippines-alliance-under-duterte/. [18] Megan Eckstein, “China Disinvited from Participating in 2018 RIMPAC Exercise,” USNI News, May 23, 2018, https://news.usni.org/2018/05/23/china-disinvited-participating-2018-rimpac-exercise. [19] Tom O’Connor, “Russia and China Will Hold War Games in Asia, Checking U.S. Military Power in Pacific,” Newsweek, April 26, 2018, https://www.newsweek.com/russia-china-hold-war-games-asia-taking-us-military-power-pacfic-903251. [20] Michael J. Mazarr and Michael Kofman, “Rediscovering Statecraft in a Changing Post-War Order,” Texas National Security Review 1, no. 3 (May 2018), http://hdl.handle.net/2152/65634. [21] Ralph S. Clem, “Clearing the Fog of War: Public Versus Official Sources and Geopolitical Storylines in the Russia-Ukraine Conflict,” Eurasian Geography and Economics 58, no. 6 (2018), https://doi.org/10.1080/15387216.2018.1424006. [22] There is a vast literature on this subject. For an overview, see: Andrew Monaghan, “The Ukraine Crisis and NATO-Russia Relations,” NATO Review (2014), https://www.nato.int/docu/review/2014/russia-ukraine-nato-crisis/Ukraine-crisis-NATO-Russia-relations/EN/index.htm; Kimberly Marten, “Reconsidering NATO Expansion: A Counterfactual Analysis of Russia and the West in the 1990s,” European Journal of International Security 3, no. 2 (June 2018), https://doi.org/10.1017/eis.2017.16; Michael McFaul, “Russia As It Is: A Grand Strategy for Confronting Putin,” Foreign Affairs 97, no. 4 (July/August 2018), https://www.foreignaffairs.com/articles/russia-fsu/2018-06-14/russia-it. [23] The Baltic Air Policing mission involves heel-to-toe rotations of fighter aircraft to bases in Lithuania and Estonia. See: “NATO Air Policing,” Allied Air Command, accessed Oct. 30, 2018, https://ac.nato.int/page5931922/-nato-air-policing. [24] “Boosting NATO’s presence in the east and southeast,” NATO (North Atlantic Treaty Organization), Aug. 14, 2018, https://www.nato.int/cps/en/natohq/topics_136388.htm. [25] Samuel Charap, “Russia’s Use of Military Force as a Foreign Policy Tool: Is There a Logic?” PONARS Policy Memo 443, October 2016, http://www.ponarseurasia.org/memo/russias-use-military-force-foreign-policy-tool-there-logic. [26] Fredrik Westerlund, “Russia’s Military Strategy and Force Structure in Kaliningrad,” Swedish Defence Research Agency (FOI), FOI Memo 6060, May 2017, https://www.foi.se/download/18.bc6b81b15be852194d71d/1494413062692/RUFS Briefing No 40 Kaliningrad by Fredrik Westerlund.pdf. [27] Dmitry Gorenburg, “Is a New Russian Black Sea Fleet Coming? Or Is It Here?” War on the Rocks, July 31, 2018, https://warontherocks.com/2018/07/is-a-new-russian-black-sea-fleet-coming-or-is-it-here/. [28] Thomas Frear, Łukasz Kulesa, and Ian Kearns, “Dangerous Brinkmanship: Close Military Encounters Between Russia and the West in 2014,” European Leadership Network Policy Brief, November 2014, https://www.europeanleadershipnetwork.org/wp-content/uploads/2017/10/Dangerous-Brinkmanship.pdf. [29] Keir Giles, “Russia Hit Multiple Targets With Zapad-2017,” Carnegie Endowment for International Peace, Jan. 25, 2018, http://carnegieendowment.org/2018/01/25/russia-hit-multiple-targets-with-zapad-2017-pub-75278. [30] Emphasis added to this undated Russian Ministry of Defense press release on the Zapad 2017 Joint Strategic Exercisehttp://eng.mil.ru/en/mission/practice/more.htm?id=12140115@egNews. [31] Andrew Higgins, “Russia’s War Games with Fake Enemies Cause Real Alarm,” New York Times, Sept. 13, 2017, https://www.nytimes.com/2017/09/13/world/europe/russia-baltics-belarus.html. [32] Ian J. Brzezinski and Nicholas Varangis, “The NATO-Russia Exercise Gap,” Atlantic Council’s NATOSource, Feb. 23, 2015, http://www.atlanticcouncil.org/blogs/natosource/the-nato-russia-exercise-gap. [33] Michael Kofman questions the manner in which the much larger numbers were generated, but the publicity from the Russian Ministry of Defense stresses the record size. See his article “Assessing Vostok-2018,” Changing Character of War Centre, Russia Brief no. 3, September 2018, https://static1.squarespace.com/static/55faab67e4b0914105347194/t/5bae3876ec212d07ae601d68/1538144376047/Russia+Brief+3.pdf. [34] Dmitry Gorenburg, “5 Things to Know About Russia’s Vostok-2018 Military Exercises,” Washington Post’s Monkey Cage Blog, Sept. 13, 2018, https://www.washingtonpost.com/news/monkey-cage/wp/2018/09/13/5-things-to-know-about-russias-vostok-2018-military-exercises/. [35] NATO sponsors a set of exercises annually, and some of its member states or groupings of members do likewise. For an in-depth look at a NATO exercise and a Russian exercise, see: Thomas Frear, Ian Kearns, and Łukasz Kulesa, “Preparing for the Worst: Are Russian and NATO Military Exercises Making War in Europe More Likely?” European Leadership Network Policy Brief, August 2015, https://www.europeanleadershipnetwork.org/wp-content/uploads/2017/10/Preparing-for-the-Worst.pdf. [36] Ralph S. Clem, “NATO’s Expanding Military Exercises Are Sending Risky Mixed Messages,” War on the Rocks, Oct. 10, 2017, https://warontherocks.com/2017/10/natos-expanding-military-exercises-are-sending-risky-mixed-messages/. [37] Ian Brzezinski and Nicholas Varangis, “The NATO-Russia Exercise Gap: Then, Now, and 2017,” Atlantic Council’s NATOSource, Oct. 25, 2016, http://www.atlanticcouncil.org/blogs/natosource/the-nato-russia-exercise-gap-then-now-2017. [38] NATO, “Wales Summit Declaration,” news release (2014) 120, Sept. 5, 2014, https://www.nato.int/cps/ic/natohq/official_texts_112964.htm - top. [39] NATO, “Warsaw Summit Communiqué,” news release (2016) 100, July 9, 2016, https://www.nato.int/cps/en/natohq/official_texts_133169.htm. [40] Emphasis added to official alliance statement on the Brussels summit. See: NATO, “Brussels Summit Declaration,” news release (2018) 74, July 11, 2018, https://www.nato.int/cps/en/natohq/official_texts_156624.htm. [41] “During Saber Strike, Baltic Countries Train with U.S., U.K., Canada,” Army News Service, June 13, 2012, https://www.army.mil/article/81683/during_saber_strike_baltic_countries_train_with_us_uk_canada. [42] Undated U.S. Army (Europe) webpage on “Saber Strike 2018” exercise, http://www.eur.army.mil/SaberStrike/. [43] “The Anaconda-16 Exercises Begin,” Polish Ministry of National Defence, June 7, 2016, http://en.mon.gov.pl/news/article/important/the-anaconda-16-exercises-begin-n2016-06-07/. [44] Azita Raji, “The Perils of Playing Footsie in Military Boots: Trident Juncture and NATO’s Nordic Front,” War on the Rocks, Aug. 20, 2018, https://warontherocks.com/2018/08/the-perils-of-playing-footsie-in-military-boots-trident-juncture-and-natos-nordic-front/. See also: Heier, “Towards a New Robust Defence?” [45] Ralph Clem, “Today, NATO Begins a Huge Military Exercise. Here’s What You Need to Know,” Washington Post’s Monkey Cage Blog, October 25, 2018. https://www.washingtonpost.com/news/monkey-cage/wp/2018/10/25/today-nato-begins-a-huge-military-exercise-heres-what-you-need-to-know/?utm_term=.aa2fb879a091 [46] Richard Milne, “Sweden Gears Up for Biggest Military Exercise in Decades,” Financial Times, Sept. 7, 2017, https://www.ft.com/content/11e9a55c-93b3-11e7-a9e6-11d2f0ebb7f0; Brad Lendon and Zachary Cohen, “U.S. Air Force to Send F-15 Jets to Finland,” CNN.com, Feb. 15, 2016, https://www.cnn.com/2016/02/15/politics/u-s-f-15-finland-training-exercise/index.html. [47] Finnish Defence Forces, “Trident Juncture 2018 to Be Organized in October-November in Norway, Sweden and Finland,” news release, April 27, 2018, https://puolustusvoimat.fi/en/article/-/asset_publisher/trident-juncture-2018-harjoitus-jarjestetaan-loka-marraskuussa-norjassa-ruotsissa-ja-suomessa; Undated Swedish Armed Forces webpage on “Trident Juncture 2018,” https://www.forsvarsmakten.se/en/activities/exercises/trident-juncture-18/. [48] Sweden brought back military conscription in 2017 and is set to make major increases in its defense spending that will add significant troop strength, aircraft, and enhanced cyber capabilities. See: Gerard O’Dwyer, “New Swedish Government Advocates for Greater Defense Spending,” Defense News, Sept. 12, 2018. https://www.defensenews.com/global/europe/2018/09/12/new-swedish-government-advocates-for-greater-defense-spending/. Finland, which already has compulsory service, likewise plans to increase its defense spending and add manpower. See: “Finland to Increase Troop Levels, Defence Spending Amid Heightened Tensions,” Reuters, Feb. 16, 2017, https://www.reuters.com/article/uk-finland-government-military/finland-to-increase-troop-levels-defence-spending-amid-heightened-tensions-idUKKBN15V25C. [49] “NATO Response Force,” NATO website, Jan. 16, 2017, https://www.nato.int/cps/ua/natohq/topics_49755.htm. [50] Denmark has the highest casualty rate of any NATO member state. [51] “U.S. Deploys Advanced Anti-Aircraft Missiles in Baltics for First Time,” Reuters, July 10, 2017, https://www.reuters.com/article/us-usa-baltics-patriot/u-s-deploys-advanced-anti-aircraft-missiles-in-baltics-for-first-time-idUSKBN19V28A. [52] “US Moves Patriot Missiles near Russian Border in 1st Baltic Deployment,” RT, July 11, 2017, https://www.rt.com/news/396028-us-patriot-missiles-baltics/. [53] “Estonia Calls for Deployment of US Troops, Patriot Missiles,” Euractiv, April 5, 2018, https://www.euractiv.com/section/defence-and-security/news/estonia-calls-for-deployment-of-us-troops-patriot-missiles/. [54] Vladimir Isachenkov, “Russia Is Putting State-of-the-Art Missile in Its Westernmost Baltic Exclave,” Business Insider, March 18, 2015, http://www.businessinsider.com/russia-placing-state-of-the-art-missiles-in-kaliningrad-2015-3. [55] Richard Milne and Kathrin Hille, “Baltic Concern Rises at Russian Missiles in Kaliningrad,” Financial Times, Feb. 5, 2018, https://www.ft.com/content/ef93af1e-0a8d-11e8-8eb7-42f857ea9f09. [56] Victoria Leoni, “Navy Sends Destroyers to Black Sea to ‘Desensitize’ Russia,” Navy Times, Feb. 20, 2018, https://www.navytimes.com/news/your-navy/2018/02/20/navy-sends-destroyers-to-black-sea-to-desensitize-russia/. [57] “NATO Supreme Allied Commander Europe Meets with Russian Chief of General Staff,” Supreme Headquarters Allied Powers Europe Public Affairs Office, April 19, 2018, https://shape.nato.int/news-archive/2018/nato-supreme-allied-commander-europe--general-scaparrotti-meets-with-russian-chief-of-general-staff--general-gerasimov. [58] Kofman, “Fixing NATO Deterrence in the East”; Ulrich Kühn, Preventing Escalation in the Baltics: A NATO Playbook (Washington, DC: Carnegie Endowment for International Peace, March 2018), https://carnegieendowment.org/2018/03/28/preventing-escalation-in-baltics-nato-playbook-pub-75878. [59] Clem, “NATO’s Expanding Military Exercises Are Sending Risky Mixed Messages.” [60] Ralph S. Clem, “Forward Basing NATO Airpower in the Baltics Is a Bad Idea,” War on the Rocks, April 18, 2016, https://warontherocks.com/2016/04/forward-basing-nato-airpower-in-the-baltics-is-a-bad-idea/; Ralph S. Clem, “Geopolitics and Planning for a High-End Fight: NATO and the Baltic Region,” Air and Space Power Journal 30, no. 1 (Spring 2016): 74–85, https://www.airuniversity.af.mil/Portals/10/ASPJ/journals/Volume-30_Issue-1/V-Clem.pdf. For a contrary view, see: Luke Coffey and Daniel Kochis, “Time for the Baltic Air Policing Mission to Become the Baltic Air Defense Mission,” Heritage Foundation, Oct. 2, 2017, https://www.heritage.org/defense/report/time-the-baltic-air-policing-mission-become-the-baltic-air-defense-mission. [61] Luis Simon, “Demystifying the A2/AD Buzz,” War on the Rocks, Jan. 4, 2017, https://warontherocks.com/2017/01/demystifying-the-a2ad-buzz/. [62] Coffey and Kochis, “Time for the Baltic Air Policing Mission to Become the Baltic Air Defense Mission.” [63] Petro Poroshenko, “President on Sea Breeze 2017 Training,” July 17, 2017, https://www.president.gov.ua/en/news/prezident-pro-navchannya-sea-breeze-2017-ce-nasha-vidpovid-i-42442. [64] Loic Burton, “Bubble Trouble: Russia’s A2/AD Capabilities,” Foreign Policy Association, Oct. 25, 2016, https://foreignpolicyblogs.com/2016/10/25/bubble-trouble-russia-a2-ad/. [65] Gorenburg, “Is a New Russian Black Sea Fleet Coming? Or Is It Here?” [66] Author’s emphasis added to the statement. “Remarks by the Vice President to Noble Partner Participants,” U.S. Embassy in Georgia, Aug. 1, 2017, https://ge.usembassy.gov/remarks-vp-noble-partner-participants/. [67] “Georgia Slams Russia ‘Occupation’ Ahead of NATO War Games,” DW.com, Aug. 1, 2018, https://www.dw.com/en/georgia-slams-russia-occupation-ahead-of-nato-war-games/a-44916562. [68] Andrew Osborn, “Russian PM Warns NATO Admission of Georgia Could Trigger ‘Terrible Conflict,’” Reuters, Aug. 6, 2018, https://www.reuters.com/article/us-russia-nato-georgia/russian-pm-warns-nato-admission-of-georgia-could-trigger-terrible-conflict-idUSKBN1KR1UQ. [69] Elisabeth Braw, “NATO Needs More Big Exercises, Too,” Defense One, June 14, 2018, https://www.defenseone.com/ideas/2018/06/nato-needs-more-big-exercises-too/148980/. [70] Lara Seligman, “Experts Question Wisdom of Canceling U.S. Exercises with South Korea, as Mattis Makes It Official,” Foreign Policy, June 26, 2018, https://foreignpolicy.com/2018/06/26/experts-question-wisdom-of-canceling-u-s-exercises-with-south-korea-as-mattis-makes-it-official/. [71] Michael E. O’Hanlon, “It’s Finally Time to Deal With North Korea,” New York Times, July 5, 2017, https://www.nytimes.com/2017/07/05/opinion/north-korea-military-sanctions.html. [72] Andrew Higgins, “300,000 Troops and 900 Tanks: Russia’s Biggest Military Drills Since Cold War,” New York Times, Aug, 28, 2018, https://www.nytimes.com/2018/08/28/world/europe/russia-military-drills.html. Jack Watling correctly points out that the exercise also serves a domestic political purpose: highlighting Russia’s growing military might as a distraction from the country’s social and economic problems. “Russia’s Vostok-2018 Exercise Is About a Lot More Than War With NATO,” RUSI Commentary, Sept. 7, 2018, https://rusi.org/commentary/russia’s-vostok-2018-exercise-about-lot-more-war-nato. [73] NATO, “Exercise Trident Juncture 18 to Demonstrate NATO’s ability to Defend Itself,” news release, June 11, 2018, https://www.nato.int/cps/en/natohq/news_155866.htm. [74] State Department, “Overview of Vienna Document 2011,”   https://www.state.gov/t/avc/cca/c43837.htm. [75] Olivier Schmitt, “The Vienna Document and the Russian Challenge to the European Security Architecture,” in Heuser, Heier, Lasconjarias, Military Exercises: Political Messaging and Strategic Impact, 269–84. [76] Toal, Near Abroad, 298.

) [contents] => Array ( [title] => [contents] => ) ) [4] => WP_Post Object ( [ID] => 696 [post_author] => 60 [post_date] => 2018-08-28 05:00:23 [post_date_gmt] => 2018-08-28 09:00:23 [post_content] => Editor's Note: In light of the public interest in U.S.-Russian relations, especially in the aftermath of President Donald Trump’s meeting with President Vladimir Putin in Helskinki this summer, the Texas National Security Review will be publishing a series of essays in our “Strategist” section on past U.S. presidents and their engagements with Soviet and Russian leaders. As many were decrying the lack of any formal record of the one-on-one meeting between President Donald Trump and Russian President Vladimir Putin in Helsinki, the Clinton Presidential Library in July posted online nearly all of the declassified memoranda of conversation (“memcons”) from the in-person meetings and telephone conversations (“telcons”) between President Bill Clinton and Russian President Boris Yeltsin from Jan. 23, 1993, to Dec. 31, 1999, when Yeltsin abruptly resigned from office and made way for Putin. With 18 memcons and 56 telcons available through the library’s website, it is possible to view directly the key discussions between these two leaders over time, from the early days when Clinton publicly backed Yeltsin in his bloody political standoff with the Russian parliament to their later disagreements over NATO enlargement and Kosovo, along with numerous conversations about arms control, Chechnya, Iran, and other global issues.[1] As someone who worked in the Clinton administration and has written about U.S.-Russian relations in this period,[2] I found that the documents allow a much deeper and broader understanding of three core features of the Clinton-Yeltsin interactions. First, the two leaders established a close personal rapport and used those positive feelings to interact effectively even when they were being frank in their disagreements, the most serious of which were over NATO enlargement and the Kosovo War. Throughout, from the 1993 political turmoil in Russia through the 1998 Russian financial crisis and beyond, Clinton offered Yeltsin his full personal support. Second, the two men used their meetings and phone calls to build trust in one another by explicitly referring to delivering on promises made in their prior conversations. This proved particularly important in their discussions of NATO enlargement. Clinton was trying to thread a needle: He sought to keep the issue from harming Yeltsin’s reelection bid in the summer of 1996 while ensuring that the United States responded to Central and Eastern European desires to join the Western alliance. Because Clinton believed the issue would affect his own reelection bid, he wanted to make clear to voters of Central and Eastern European descent in the Midwest before November 1996 that he was moving forward with enlargement. From 1994 to 1996, Clinton reminded Yeltsin often of his assurances about the timing. Third, and perhaps most important when their interactions are compared with those of other U.S. and Soviet (and later Russian) heads of state during the Cold War and after, an enormous power differential existed between the two countries in this period and was the backdrop to their conversations. Yeltsin’s Russia was extremely weak, a country in economic free-fall and strategic decline. Clinton’s America was enjoying its unipolar moment.[3] In no other era before or since has the Russian president been in such a weak position when meeting with his American counterpart, and the declassified memcons and telcons from this period show how that imbalance of power permeates the discussions. The meetings largely consist of Yeltsin agreeing to Clinton’s requests after some back and forth. But also clear is Yeltsin’s desire for Russia to be seen as an equal to the United States, something that was important for his predecessors and successors alike and a factor in U.S.-Russian relations often underappreciated by many in the West.

Clinton’s Support for Yeltsin and the Building of a Personal Rapport

In his first term, Boris Yeltsin needed Bill Clinton’s support as he battled domestic Russian opposition to his policies. It was not just financial support for Russia that was critical, although that assistance was important, including when Clinton publicly endorsed what became a $10.2 billion loan from the International Monetary Fund announced in the midst of the 1996 Russian presidential campaign.[4] Clinton also offered Yeltsin complete public support when the latter used military force in a standoff with the Russian parliament in the fall of 1993. Clinton did so because he believed he needed Yeltsin — a Russian president committed to good relations with the West who could thereby enable the American president to shrink the U.S. defense budget to pay for cherished domestic programs. One of the first big moments in their relationship came in April 1993, when Yeltsin held a referendum that asked voters whether they trusted him, approved of his socioeconomic policies, and believed new presidential and parliamentary elections should be conducted ahead of schedule. Russia experts in the U.S. government thought that Yeltsin would lose overwhelmingly, and Clinton’s top Russia adviser, Strobe Talbott, wrote later that the president “followed the referendum as though it were an American election.” Remarkably, given the state of the Russian economy, 58.7 percent of voters affirmed their trust in Yeltsin and 53 percent approved his socioeconomic policies. Clinton happily threw his support behind the Russian president.[5] In a call the next day, Clinton told Yeltsin, “I’m about to issue a statement in support of your policies. I want you to know that we’re in this with you for the long haul.” Yeltsin closed the call by saying, “I hug you from the bottom of my heart.”[6] By September, however, parliamentary opposition to Yeltsin grew stronger. Clinton called Yeltsin early that month to convey his continued support amid the standoff in Moscow. In a follow-up call on Sept. 21, Yeltsin told him, “Bill, the Supreme Soviet [the Russian parliament] has totally gone out of control. It no longer supports the reform process. They have become communist. We can no longer put up with that.” He added, “I think there will be no bloodshed,”[7] which turned out to be mistaken. The battle between Yeltsin and the opposition legislators came to a head on Oct. 3, when Yeltsin ordered his military to shell the parliament building. A bloody clash between the executive and legislative branches was not exactly a sign of a healthy democracy, but Clinton phoned two days later to tell Yeltsin, “I wanted to call you and express my support.” Yeltsin responded, “Now that these events are over, we have no more obstacles to Russia’s democratic elections and our transition to democracy and market economy.” Yeltsin even mused that he might hold elections for president at the same time as parliamentary elections in December and told Clinton that he “might end up in the Guinness Book of World Records for standing for election three times in three years.” (He did not carry out this plan.) Yeltsin closed by telling Clinton once again, “I embrace you with all my heart.”[8] [quote id="1"] Clinton continued to emphasize his personal support for Yeltsin over the course of their terms in office. In late 1994, Russia invaded the breakaway province of Chechnya. Clinton expressed concern about the impact of this war on Yeltsin’s image. Referring to an upcoming speech by the Russian president to parliament, Clinton told him, referring to Yeltsin’s pivotal role during the August 1991 coup against Soviet leader Mikhail Gorbachev, “It is also an opportunity to remind the world of why you are the best hope for continued reform in Russia. I want everyone to see you as the person who stood on the tank and stood up for freedom.”[9] In the run-up to the first round of the Russian presidential election in June 1996, Yeltsin was growing desperate for financial assistance. He told the U.S. president, “Bill, for my election campaign, I urgently need for Russia a loan of $2.5 billion.” Yeltsin explained that he was not seeing results yet from the rescheduling of Russia’s debt by the group of major creditor countries known as the Paris Club, and the bulk of the recently announced IMF loan would not arrive until later in the year. “But the problem,” said Yeltsin, “is I need money to pay pensions and wages.” Clinton assured him, “I’ll check on this with the IMF and some of our friends and see what can be done.”[10] No matter what challenges they faced, domestically or in their relationship, they maintained a strong personal bond. In a telephone exchange in late October 1997, months after the two had met in Denver in June, Yeltsin told Clinton, “You know, I started missing your voice.” Clinton replied, “I miss you too.” (They had a similar exchange in February 1998 only three weeks after their previous call!)[11] Clinton saw Yeltsin as a significant figure in Russian history, and he tried to convey that at various points. At a meeting in May 1998, Clinton said, “You know, Boris, we really are working with the stuff of history here. I’m convinced that 20 years from now, when the Russian economy is booming, people will look back and say we were right; we did the right things. I just hope you get all the credit you deserve while you’re still around, because you’ve done a terrific job of leading your country during one of the two or three most important moments in Russian history.”[12] The greatest test of their personal relationship came during the Kosovo bombing campaign in March 1999. Clinton and his European counterparts believed that NATO needed to carry out airstrikes against Serbia to bring its leader, Slobodan Milosevic, to the bargaining table. Yeltsin was stridently opposed to any use of force, not just because of the close ties between Russia and Serbia but partly because, unlike the situation in Bosnia a few years earlier, this would mean military intervention in the internal affairs of a sovereign country. Russia’s ability to wield a veto in the U.N. Security Council meant that authorization for the war from that body would not be forthcoming.[13] In a phone conversation between the two men as NATO was about to launch airstrikes, Clinton, after rehashing all that Milosevic had done, told Yeltsin bluntly, “Basically, it will be your decision if you decide to let this bully destroy the relationship we worked hard for over six and a half years to build up.” He reminded Yeltsin of all his public and private support over the years, including providing economic assistance to Russia and his multiple visits to Moscow. “You may decide to let this get in the way of our relationship, but I’m not going to because I do not think he’s that important. I’m sorry he is a Serb. I wish he were Irish or something else, but he is not.” Clinton tried telling Yeltsin that maybe after a few strikes, Milosevic would seek diplomacy; after all, he had come to the table in 1995 to end the earlier Balkan war. Yeltsin would have none of it: “[O]ur people will certainly from now have a bad attitude with regard to America and with NATO. I remember how difficult it was for me to try and turn the heads of our people, the heads of the politicians towards the West, towards the United States, but I succeeded in doing that, and now to lose all that. Well, since I failed to convince the President, that means there is in store for us a very difficult, difficult road of contacts, if they prove to be possible.” He signed off with “Goodbye,” with no added embrace.[14] The latter part of the war led to quite an up-and-down in their conversations. In early May 1999, as they were coming to agreement on what needed to be done, Yeltsin told Clinton, “I owe you a bear hug.” Clinton replied, “Yes, I want a bear hug.”[15] Clinton called Yeltsin on June 10, after discussions between Russian Prime Minister Viktor Chernomyrdin, Finnish President Martti Ahtisaari, and Milosevic appeared to end the conflict, and Yeltsin told him, “I would like to hug and kiss you, and I am sincerely glad that in such a difficult situation our friendship wasn’t broken.”[16] [quote id="2"] Alas, in the next few days, Russian forces occupied the airport in Pristina, and it looked like NATO and Russian forces might come into conflict. Clinton and Yeltsin spoke multiple times by phone. Clinton made clear that a failure to resolve the conflict would harm the upcoming Group of Eight meeting in Germany: “We were about to have in Cologne a celebration of Russia in the peace operation,” an angry Clinton remarked. “Instead, we face day after day, international embarrassment that Kosovo will be wrecked.”[17] Russia’s weakness and Yeltsin’s desire to be feted by his G-8 colleagues in Cologne were key factors in the ultimate resolution of the conflict but so, too, was the importance of the relationship the two presidents had built, a relationship that was tested over the years by the U.S. decision to expand NATO eastward.

Clinton’s Promises on Enlargement

Perhaps no issue provides a greater window into the nature of the relationship between the two presidents than their lengthy discussions from 1994 to 1997 about NATO enlargement. An undercurrent of their exchanges involved Clinton’s efforts to ensure that he did not harm Yeltsin politically while giving him a very bitter pill to swallow. Another recurrence was Yeltsin’s explanation of the damage this issue was doing to him while ultimately going along with Clinton’s various proposals. There was a brief moment in the fall of 1994 when Yeltsin believed that Clinton was reneging on a commitment not to rush the process and exploded at a Conference on Security and Co-operation in Europe (CSCE) summit. The huge power imbalance between the two countries hung over the relationship and punctuated the presidents’ interactions.[18] In their meetings and phone calls, Clinton drove the agenda, as he did for nearly all of the issues they discussed over seven years. The two men genuinely got along, partly because they were similar political animals. But at the end of the day, the United States called the shots in the relationship. Clinton was always trying to make sure that Yeltsin knew he was giving him what he could, and Clinton expected Yeltsin to go along with his proposals. Generally, Yeltsin did. Throughout their conversations on enlargement, Clinton was eager for Yeltsin to know that the United States was keeping a promise Clinton made in September 1994 in one of their discussions in Washington (the declassified memcon of this exchange is not among the cache of documents recently released): namely, that he and his NATO colleagues would go slowly on expanding the alliance given Clinton’s (publicly unstated but understood) desire to see Yeltsin safely reelected in 1996. Meanwhile, Yeltsin focused Clinton’s attention on the domestic political ramifications of NATO enlargement. Interestingly, he did not raise the issue (as others later would) that the United States and its Western European allies had assured Soviet leader Mikhail Gorbachev during the 1990 negotiations over German unification that NATO would not expand eastward.[19] In October 1993, when discussions first began in earnest about NATO’s future, the possibility of enlargement seemed quite distant. Secretary of State Warren Christopher explained to Yeltsin at the latter’s country dacha that the United States planned to pursue the “Partnership for Peace,” which would include all members of the former Warsaw Pact, and NATO enlargement would be considered only as a “longer-term eventuality.”[20] Christopher told Yeltsin, “There could be no recommendation to ignore or exclude Russia from full participation in the future security of Europe. As a result of our study, a ‘Partnership for Peace’ would be recommended to the [January 1994] NATO summit which would be open to all members of the [North Atlantic Cooperation Council] including all European and [former Soviet] states. There would be no effort to exclude anyone and there would be no step taken at this time to push anyone ahead of others.” Yeltsin was obviously relieved. “This is a brilliant idea, it is a stroke of genius,” he said. “It is important that there is an idea of partnership for all and not new membership for some.” Yeltsin exclaimed, “It really is a great idea, really great,” adding, “Tell Bill I am thrilled by this brilliant stroke.”[21] In late December, a few weeks before Clinton was to meet Yeltsin in Moscow after the NATO summit, the two men spoke by phone. The primary purpose was to discuss the recent Russian parliamentary elections and for Clinton to remind Yeltsin of how the United States had delivered on the economic assistance announced at their first meeting, in Vancouver, the previous April. Clinton stated simply, “I will be in Brussels for the NATO summit and in Prague before I see you and will want to discuss Russian participation in NATO’s Partnership for Peace proposal.” Yeltsin responded that he had recently met with NATO Secretary General Manfred Woerner: “We discussed a plan of action for the countries of Eastern Europe to cooperate with NATO in a way that would not be at the expense of Russia and also a plan of action for Russia to join NATO.” While Clinton did not respond to Yeltsin’s comment, their discussion was quite cordial; after all, as far as Yeltsin understood, NATO enlargement was not on the table in a serious way.[22] While the Clinton Library collection does not contain the declassified memcon from the presidents’ January 1994 summit in Moscow, nor the specific discussion they had regarding NATO that September in Washington, Clinton’s top Russia adviser, Strobe Talbott, has written that in the latter meeting Clinton told Yeltsin that NATO was going to expand but tried to reassure him that he had no timetable yet. “We’re going to move forward on this, but I’d never spring it on you.” Clinton said there would be “no surprises, no rush, and no exclusion.” He then added, “As I see it, NATO expansion is not anti-Russia. … I don’t want you to believe that I wake up every morning thinking only about how to make the Warsaw Pact countries a part of NATO — that’s not the way I look at it. What I do think about is how to use NATO expansion to advance the broader, higher goal of European security, unity and integration — a goal I know you share.”[23] Clinton knew Yeltsin was not going to be happy, so he kept emphasizing that he was promising not to spring anything on Yeltsin and that “no exclusion” meant that Russia would be eligible to join someday. In reality, it was no exclusion in theory but not in practice. Russia was not going to become a NATO member. Even so, Clinton had reason to believe he was managing the process well; after all, Yeltsin told him in a phone call on Oct. 5, 1994, that “the Washington Summit proved a success.”[24] At their September meeting, Yeltsin asked Clinton to come to the CSCE summit in Budapest that December. The CSCE was being upgraded to the OSCE (Organization for Security and Cooperation in Europe), and Yeltsin wanted to signal that perhaps there could be alternatives to NATO in addressing European security. Clinton agreed to go. He kept that promise even after the 1994 midterm elections resulted in a Republican takeover of both houses of Congress for the first time in four decades. His White House team scheduled a congressional reception the night of the Budapest summit precisely to try to keep the president from leaving town. But Clinton’s foreign policy team said he had to go, and he did.[25] It turned out to be the most disastrous public encounter the two presidents would have. On Dec. 1, the NATO foreign ministers announced that they would complete a study by the end of 1995 (i.e., a half-year before the 1996 Russian presidential election) on how NATO would enlarge. Russian Foreign Minister Andrei Kozyrev, who had gone to Brussels to sign Russia’s Partnership for Peace program document and a document on a NATO-Russia dialogue, was ordered by a furious Yeltsin not to sign. At the Budapest summit a few days later, Clinton gave what his deputy secretary of state, Talbott, described later as the “most in your face” manifestation of the U.S. position on NATO enlargement. In remarks Talbott said were drafted not in his office but within the National Security Council (where National Security Adviser Anthony Lake had been pushing NATO enlargement for more than a year), Clinton declared, “We must not allow the Iron Curtain to be replaced by a veil of indifference. We must not consign new democracies to a gray zone.” He added that “no country outside will be allowed to veto expansion.”[26] Yeltsin publicly responded, “Europe, not having yet freed itself from the heritage of the Cold War, is in danger of plunging into a cold peace.”[27] Clinton was stunned and angered by the tone of Yeltsin’s remarks. Talbott, who was not on the trip, thought he might be fired for not having adequately prepared his boss for what would occur.[28] Soon, however, Clinton had things seemingly back on track thanks in part to visits by others in his administration, including Vice President Al Gore, to see Yeltsin. In advance of his own trip to Moscow in May 1995, Clinton called Yeltsin to discuss NATO. “We recognize how sensitive this issue is for you. That is why I want to assure you that this process is proceeding along a path that is consistent with what you and I agreed upon last September and that Vice President Gore reiterated to you when he saw you in December.” Yeltsin responded, “I fully agree with you on that.” Clinton added, “For the future stability of Europe, it is important that Russia is a vital part of the new security structures that are emerging. That means OSCE, the post-COCOM [the Coordinating Committee for Multilateral Export Controls established by the West after World War II] regime, the new NATO—all of them. None of this can develop normally unless Russia is involved in the process.” Yeltsin stated, “We’ll both have difficult discussions with regards to NATO, but I’m confident we’ll be able to find an acceptable solution for this issue.” Clinton then reported that Secretary of State Christopher and Russian Foreign Minister Andrei Kozyrev had just described to him a proposal for the upcoming NATO foreign ministers’ meeting that would again affirm that there would be no acceleration of the enlargement process, announce a strengthening of the Partnership for Peace, and begin discussions about a NATO-Russia special relationship.[29] [quote id="3"] Nevertheless, the issue remained an enormous sore spot for Yeltsin and a domestic political problem. In a three-hour meeting at the Kremlin on May 10, 1995, Yeltsin asked for a better understanding of what Clinton was doing on NATO enlargement “because now I see nothing but humiliation for Russia if you proceed. How do you think it looks to us if one bloc continues to exist while the Warsaw Pact has been abolished?” He called it a “new form of encirclement” and repeated his plea to develop a new pan-European security architecture. “You and I are heading for elections,” Yeltsin said. “The extremists and hardliners are exploiting this issue for their own purposes — on both sides. I am being attacked from both the right and the left on this. We need a common European space that provides for overall security. So let’s postpone any change in NATO until 1999 or 2000. … But for me to agree to the borders of NATO expanding toward those of Russia — that would constitute a betrayal on my part of the Russian people.” Instead, Yeltsin said in desperation, “Let’s say that Russia will give every state that wants to join NATO a guarantee that we won’t infringe on its security.” When Clinton asked rhetorically whether the United States still needed to maintain a security relationship with Europe, Yeltsin fired back, “I’m not so sure you do.” Clinton tied his approach to the Victory Day ceremony for which he had come to Moscow and the lessons of history. “Our goal is for the U.S. to stay in Europe and promote a unified, integrated Europe.” He was doing that, he said, by trying to make the Partnership for Peace important, keeping open the door to Russian NATO membership, creating a special NATO-Russia relationship, and ensuring that the NATO membership review process was a deliberate one. Clinton reminded Yeltsin of how this process had unfolded, that he had told Yeltsin in January 1994 that NATO was open to taking in new members, and that in December NATO had agreed to study how to do it. Responding to that study would take the first half of 1996, said Clinton. For Yeltsin, this time frame was vital, because, the Russian leader noted, “my position heading into the 1996 elections is not exactly brilliant.” Clinton, however, had his own political concerns. He explained to Yeltsin that the Republicans were using NATO expansion in their effort to win over voters of Central European descent in Wisconsin, Illinois, and Ohio. He suggested to Yeltsin that they accept what each other needed to do politically. Yeltsin would not have to embrace expansion. Clinton would not say he was slowing down the process. And meanwhile Yeltsin should sign the documents for Russia to join the Partnership for Peace and to establish a NATO-Russian dialogue:
So here is what I want to do. I’ve made it clear I’ll do nothing to accelerate NATO. I’m trying to give you now, in this conversation, the reassurance you need. But we need to be careful that neither of us appears to capitulate. For you, that means you’re not going to embrace expansion; for me, it means no talk about slowing the process down or putting it on hold or anything like that.
Then Clinton told Yeltsin to sign the two documents. Yeltsin asked again that NATO move forward only after his election. Clinton reiterated the timetable, trying to reassure Yeltsin that nothing concrete would happen until after the summer of 1996. Yeltsin said they should publicly say they discussed the issue, understood each other, and would discuss the issue further at their next meeting. Clinton responded, “Good. So join PFP.” Yeltsin agreed.[30] A few months before the NATO leaders’ 1997 announcement in Madrid that the alliance was inviting Poland, Hungary, and the Czech Republic to join, Yeltsin made one last effort to shape the future at a small meeting with Clinton in Helsinki on March 21. He opened by acknowledging the inevitable. “Our position has not changed,” Yeltsin said. “It remains a mistake for NATO to move eastward. But I need to take steps to alleviate the negative consequences of this for Russia. I am prepared to enter into an agreement with NATO not because I want to but because it is a forced step. There is no other solution for today.” Yeltsin sought a legally binding accord, signed by all 16 NATO members, that would make clear that NATO decisions would not be made “without taking into account the concerns or opinions of Russia.” He also wanted assurance that no nuclear or conventional arms would move into the new members’ territory, “thus creating a new cordon sanitaire aimed at Russia.” Then he put on the table what he most wanted. “[O]ne thing is very important: enlargement should also not embrace the former Soviet republics. I cannot sign any agreement without such language. Especially Ukraine.” Recognizing he was unlikely to receive this, he changed tack slightly,
I propose that in the statement we could accept the fact that Russia has no claims on other countries. In fact, regarding the countries of the former Soviet Union, let us have a verbal, gentlemen’s agreement — we would not write it down in the statement — that no former Soviet republics would enter NATO. This gentlemen’s agreement would not be made public.
Clinton responded that he was “trying to change NATO.” He had language in the proposed agreement between NATO and Russia on nuclear and conventional forces. And he wanted to make sure they signed something before the NATO summit “so we can say to the world that there is a new NATO and a new Russia and that’s the right spirit,” to which Yeltsin agreed. But Clinton added that he couldn’t make an agreement on former Soviet republics: “it would be a bad thing for our attempt to build a new NATO, but it would also be a bad thing for your attempt to build a new Russia.” NATO was assisting the process of building an “integrated, undivided Europe,” Clinton argued what Yeltsin was proposing would mean “Russia would be saying, ‘we have still got an empire, but it just can’t reach as far West.’” Clinton didn’t want to come out of the meeting having discussed new lines being drawn in Europe, and he wouldn’t be able to go forward with a treaty because of Senate opposition. Yeltsin tried again, saying that the Duma would likely make this a condition of its ratification of a NATO-Russia charter. He asked Clinton to tell him what he wanted to hear “one-on-one — without even our closest aides present — that you won’t take new republics in the near future; I need to hear that. I understand that maybe in ten years or something, the situation might change, but not now.” Clinton shot back,
If I went into a closet with you and told you that, the Congress would find out and pass a resolution invalidating the NATO-Russia charter. I’d rather frankly that the Duma pass a resolution conditioning its adherence on this point. I just can’t do it. A private commitment would be the same as a public one. … I know what a terrible problem this is for you, but I can’t make the specific commitment you are asking for. It would violate the whole spirit of NATO.
Yeltsin tried one last time to get what he wanted, but to no avail, and so they moved on to other items. [31] At their last meeting, in Istanbul in November 1999, Yeltsin said to Clinton, “I ask you one thing. Just give Europe to Russia. The U.S. is not in Europe. Europe should be the business of Europeans. Russia is half European and half Asian. … Bill, I’m serious. Give Europe to Europe itself. We have the power in Russia to protect all of Europe, including those with missiles.”[32] This was, of course, not a statement the United States would take seriously, and it was hard enough for Russia to be taken seriously by the United States as an equal.

The Imbalance of Power and Russia’s Drive for Equal Status

Yeltsin’s desire to be seen as an equal, and Clinton’s efforts to provide window dressing to help with appearances, permeated their conversations throughout the two presidents’ time in office, and not only during their conversations over NATO enlargement. During the September 1994 Washington summit, Yeltsin said, “[T]here are some people in the White House and Congress who believe that Russia has lost its superpower status. Of course, not you personally, Bill.” Clinton responded, “I have tried in every way to relate to Russia and to you as a great power and to enhance your role, whether in the G-7 or bilaterally.”[33] Still, neither could escape the fact that the two countries occupied completely different status levels in the international system. At their May 1995 meeting in Moscow, Clinton said to Yeltsin, “You have to walk through the doors that we open for you.”[34] The Russians wanted to be treated as equals, and the idea of walking through doors the United States was opening for them made clear that they were not. The dynamic was such, however, that when Yeltsin got spun up on these issues, Clinton would soothe him. In a one-on-one meeting (with Talbott and Yeltsin’s assistant Dmitry Ryurikov as notetakers) in Moscow in April 1996, Yeltsin came into the meeting clearly angry because Foreign Minister Yevgeny Primakov had told him that the United States was trying to sideline Russia in the Middle East. Clinton said, “That’s not correct. No one’s sidelining anybody.” When Yeltsin said he was not convinced, Clinton reminded him of all they had done together since their first meeting three years earlier: “We’ve done a remarkable job in getting a lot done and also in being honest about our differences. My objectives are first, an integrated, undivided Europe; and second, a cooperative equal partnership with a democratic, economically successful Russia which is influential in the world.” He added, “I want historians fifty years from now to look back on this period and say you and I took full advantage of the opportunity we had. We made maximum use of the extraordinary moment that came with the end of the Cold War.” Yeltsin zeroed in on the one word that mattered to him: “The key word you just used was ‘equal’ partnership. This will restore trust and confidence.” Clinton explained how Russia could play an important role in the Middle East due to its influence with Syria and Hezbollah. Yeltsin appeared mollified.[35] One of the major issues in their relationship was Russia’s ascension to the group of advanced industrialized democracies. The G-7 was to become the G-8. Clinton faced significant opposition to this move from his own Treasury Department, which was concerned about diluting a body of the world’s leading market economies with membership for a country that did not yet have a market economy and whose gross domestic product was quite small.[36] At a larger meeting of the two leaders and their teams in April 1996 at the Kremlin, Clinton explained that the G-7’s work coordinating fiscal policy “among the world’s richest countries” was important and that if Russia were included, countries such as Mexico, South Korea, and Brazil would ask to join as well. Yeltsin argued, “Russia will be on the rise. I cannot agree to the ‘7 plus 1’ formula; I also understand that we cannot reach the level of a full G-8. You have to keep in mind that we are a great power, which affects how people think about this.”[37] A year later, at their March 1997 meeting in Helsinki, Clinton publicly stated:
We will work with Russia to advance its membership in key international economic institutions like the W.T.O., the Paris Club, and the O.E.C.D. And I am pleased to announce, with the approval of the other G-7 nations, that we will substantially increase Russia’s role in our annual meeting, now to be called the Summit of the Eight, in Denver this June.[38]
At a bilateral meeting of the two presidents and a small group of advisers in Paris in advance of the “Summit of the Eight,” Yeltsin raised the issue of how Russia’s economy was labeled. National Security Adviser Samuel R. Berger explained that by law, Russia would be far worse off in terms of trade preferences being labeled a market economy than if it were designated a non-market economy or a transition economy. Yeltsin did not care for the designation, seeing it as an insult: “Russia is not a transition economy. We have transformed. It is a market economy.” Labels mattered to him; Yeltsin wanted Russia to be seen as a great power on par with the other leading world powers.[39]

Conclusions

These records are an important reminder that notes of presidential meetings and phone calls are not simply documents for scholars trying to make sense of history. They are critical in real time for officials who need to follow up on what their bosses have discussed. The recently released Clinton White House records show the distribution of these conversations, typically to the secretary of state, Deputy Secretary of State Talbott (who often was with the president for the meetings and phone calls), and the U.S. ambassador to Moscow. The role these documents play in developing policy is a major reason why there was so much concern when Donald Trump met with Vladimir Putin one-on-one for more than two hours in Helsinki in July 2018 with no notetakers present.[40] [quote id="4"] Reading these memcons and telcons as a narrative record of the seven years of interactions between Clinton and Yeltsin left me feeling rather sad. The two leaders certainly accomplished a great deal: Yeltsin ensured that Russian troops left the Baltic countries, worked to keep Russian entities from transferring missile technologies to Iran, and participated in the Implementation Force in Bosnia alongside NATO and under American command. The two presidents worked with their counterparts in Belarus, Kazakhstan, and Ukraine to transfer to Russia the strategic nuclear weapons those countries inherited upon the collapse of the Soviet Union. It is notable that many of their accomplishments occurred during their first terms and were largely issues related to the collapse of the Soviet Union such as the removal of Russian troops from the Baltics and the stationing of strategic nuclear weapons. They had big plans throughout their two terms for new arms-control agreements, but domestic political constraints got in the way. Ultimately, neither the United States nor Russia found a place for Russia in the basic architecture of European security. Meanwhile, Georgia, Moldova, and Ukraine ended up in a zone of insecurity, not able to join NATO and each with Russian military forces on its territory. A conversation at the end of their time together regarding Yeltsin’s successor was more hopeful than was warranted. In September 1999, Yeltsin informed Clinton by phone,
It took me a lot of time to think who might be the next Russian president in the year 2000. Unfortunately, at that time, I could not find any sitting candidate. Finally, I came across him, that is, Putin, and I explored his bio, his interests, his acquaintances, and so on and so forth. I found out he is a solid man who is kept well abreast of various subjects under his purview. At the same time, he is thorough and strong, very sociable. And he can easily have good relations and contact with people who are his partners. I am sure you will find him to be a highly qualified partner. I am very much convinced that he will be supported as a candidate in the year 2000.[41]
In their in-person conversation in Istanbul in November 1999, Clinton asked who was going to win the Russian presidential election the next year, and Yeltsin did not hesitate: “Putin, of course. He will be the successor to Boris Yeltsin. He’s a democrat, and he knows the West.” He added, “He’s tough. He has an internal ramrod. He’s tough internally, and I will do everything possible for him to win — legally, of course. And he will win. You’ll do business together. He will continue the Yeltsin line on democracy and economics and widen Russia’s contacts. He has the energy and the brains to succeed.”[42] On Dec. 31, 1999, Clinton called Yeltsin just after Yeltsin’s announcement that he was stepping down in favor of Putin, who of course went on to win the presidential election a few months later. In that final call, Clinton said, “You have guided your country through a historic time and you are leaving a legacy that will leave Russians better off for years to come. … Boris, I believe that historians will say you were the father of Russian democracy…” After telling Clinton once again that Putin would win and that he was a strong, intelligent democrat, Yeltsin ended their call as he had done so often over the previous seven years: “I would like from the bottom of my heart to embrace you.”[43]   James Goldgeier is a professor of international relations at American University, visiting senior fellow at the Council on Foreign Relations, and the 2018-19 Library of Congress chair in U.S.-Russia relations at the John W. Kluge Center. You can follow him on Twitter: @JimGoldgeier. Image: FDR Presidential Library [post_title] => Bill and Boris: A Window Into a Most Important Post-Cold War Relationship [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => bill-and-boris-a-window-into-a-most-important-post-cold-war-relationship [to_ping] => [pinged] => [post_modified] => 2019-01-17 13:05:13 [post_modified_gmt] => 2019-01-17 18:05:13 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=696 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => Against the backdrop of an enormous power differential between their two countries, Clinton and Yeltsin established a close personal rapport. They used those positive feelings to interact effectively even when they were being frank in their disagreements, the most serious of which were over NATO enlargement — a major sore spot for Yeltsin — and the Kosovo War, the greatest test of the two leaders' personal relationship. [pubinfo] => [issue] => Vol 1, Iss 4 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => In no other era before or since has the Russian president been in such a weak position when meeting with his American counterpart. ) [1] => Array ( [author] => [style] => right [text] => No matter what challenges they faced, domestically or in their relationship, they maintained a strong personal bond. ) [2] => Array ( [author] => [style] => left [text] => Perhaps no issue provides a greater window into the nature of the relationship between the two presidents than their lengthy discussions from 1994 to 1997 about NATO enlargement. ) [3] => Array ( [author] => [style] => right [text] => [N]otes of presidential meetings and phone calls are not simply documents for scholars trying to make sense of history. They are critical in real time for officials who need to follow up on what their bosses have discussed. ) [4] => Array ( [author] => [style] => left [text] => ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 836 ) [authors] => Array ( [0] => 60 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] The documents are in two files labeled “Declassified Documents Concerning Russian President Boris Yeltsin.” The first covers the period from Jan. 23, 1993, to April 21, 1996, and can be found at https://clinton.presidentiallibraries.us/items/show/57568. The second covers the period from April 21, 1996, to Dec. 31, 1999, and can be found at https://clinton.presidentiallibraries.us/items/show/57569. The letters they sent one another have not been declassified. [2] James M. Goldgeier and Michael McFaul, Power and Purpose: U.S. Policy Toward Russia After the Cold War (Washington, DC: Brookings Institution Press, 2003). [3] Charles Krauthammer, “The Unipolar Moment,” Foreign Affairs 70, no. 1 (1990/1991), https://www.foreignaffairs.com/articles/1991-02-01/unipolar-moment. [4] Paul Quinn-Judge, “Clinton Gives Yeltsin a Vote of Confidence; Declares Support for $9 Billion Loan,” Boston Globe, Jan. 31, 1996. The agreed-upon loan amount ended up being $10.2 billion. See Michael Gordon, “Russia and I.M.F. Agree on a Loan for $10.2 Billion,” New York Times, Feb. 23, 1996, https://www.nytimes.com/1996/02/23/world/russia-and-imf-agree-on-a-loan-for-10.2-billion.html. See also the Clinton-Yeltsin discussion of the loan in Memorandum of Telephone Conversation, “The President’s Discussion with President Yeltsin on the Russian Election, Bilateral Relations, START II Ratification and NATO,” Feb. 21, 1996, https://clinton.presidentiallibraries.us/items/show/57568, 357. [5] Goldgeier and McFaul, Power and Purpose, 125; Strobe Talbott, The Russia Hand: A Memoir of Presidential Diplomacy (New York: Random House, 2002), 70. [6] Memorandum of Telephone Conversation, “Telcon with President Yeltsin of Russia,” April 26, 1993, https://clinton.presidentiallibraries.us/items/show/57568, 51–52. [7] Memorandum of Telephone Conversation, “Telcon with President Boris Yeltsin of the Russian Federation,” Sept. 7, 1993; Memorandum of Telephone Conversation, “Telcon with President Boris Yeltsin of Russian Federation,” Sept. 21, 1993, https://clinton.presidentiallibraries.us/items/show/57568, 95, 107. [8] Memorandum of Telephone Conversation, “Telcon with President Boris Yeltsin of Russian Federation,” Oct. 5, 1993, https://clinton.presidentiallibraries.us/items/show/57568, 119–21. [9] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin: Chechnya, START II,” Feb. 13, 1995, https://clinton.presidentiallibraries.us/items/show/57568, 269. [10] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin on CTBT, Chechnya, Economics, CFE and Russian Election,” May 7, 1996, https://clinton.presidentiallibraries.us/items/show/57569, 26–27. [11] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” Oct. 30, 1997; Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Boris Yeltsin, Feb. 23, 1998, https://clinton.presidentiallibraries.us/items/show/57569, 183, 253. [12] Memorandum of Conversation, “President Boris Yeltsin of Russia,” Birmingham, England, May 17, 1998, https://clinton.presidentiallibraries.us/items/show/57569, 316. [13] John Norris, Collision Course: NATO, Russia, and Kosovo (New York: Praeger, 2005). [14] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” March 24, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 432–36. Note that the document is dated 1998, but given the content and the placement in the records, it is clear the call was from 1999. [15] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” May 2, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 472. [16] Memorandum of Telephone Conversation, “Telcon with President Yeltsin of Russia,” June 10, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 488. [17] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” June 13, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 535. [18] For more on the impact of NATO enlargement on their relationship, see Goldgeier and McFaul, Power and Purpose. [19] See Mary Elise Sarotte, “Perpetuating U.S. Preeminence: The 1990 Deals to ‘Bribe the Soviets Out’ and Move NATO In,” International Security 35, no. 1 (Summer 2010): 110–37, https://doi.org/10.1162/ISEC_a_00005; Mary Elise Sarotte, “Not One Inch Eastward? Bush, Baker, Kohl, Genscher, Gorbachev, and the Origin of Russian Resentment toward NATO Enlargement in February 1990,” Diplomatic History 34, no. 1 (January 2010): 119–40, https://doi.org/10.1111/j.1467-7709.2009.00835.x; Joshua R. Itzkowitz Shifrinson, “Deal or No Deal? The End of the Cold War and the U.S. Offer to Limit NATO Expansion,” International Security 40, no. 4 (Spring 2016): 7–44, https://www.mitpressjournals.org/doi/pdf/10.1162/ISEC_a_00236. For arguments that the notion of promises or assurances are mistaken, see, for example, Mark Kramer, “The Myth of a No-NATO-Enlargement Pledge to Russia,” Washington Quarterly 32, no. 2 (2009): 39–61, https://doi.org/10.1080/01636600902773248; James M. Goldgeier, Not Whether But When: The U.S. Decision to Enlarge NATO (Washington, DC: Brookings Institution Press, 1999); Steven Pifer, “Did NATO Promise Not to Enlarge? Gorbachev Says ‘No,’” Brookings Institution, Nov. 6, 2014, https://www.brookings.edu/blog/up-front/2014/11/06/did-nato-promise-not-to-enlarge-gorbachev-says-no/. [20] “Secretary Christopher’s Meeting with President Yeltsin,” Moscow, Oct. 22, 1993, https://nsarchive2.gwu.edu/dc.html?doc=4390822-Document-08-Secretary-Christopher-s-meeting-with. This document was posted by the National Security Archive at George Washington University earlier this year and was declassified through a Freedom of Information Act request I made many years ago. [21] For a discussion of this meeting’s importance for future developments, see James Goldgeier, “Promises Made, Promises Broken? What Yeltsin Was Told About NATO in 1993 and Why It Matters,” War on the Rocks, July 12, 2016, https://warontherocks.com/2016/07/promises-made-promises-broken-what-yeltsin-was-told-about-nato-in-1993-and-why-it-matters/. [22] Memorandum of Telephone Conversation, “Telcon with President Boris Yeltsin of the Russian Federation,” Dec. 22, 1993, https://clinton.presidentiallibraries.us/items/show/57568, 144–45. Unfortunately, the declassified memcon from their meeting in Moscow in January 1994 is not included in the cache of documents recently made available by the Clinton Library. [23] Talbott, The Russia Hand, 136; Ronald D. Asmus, Opening NATO’s Door: How the Alliance Remade Itself for a New Era (New York: Columbia University Press, 2004), 90. For an explanation of how U.S. policy developed from January to September 1994, see Goldgeier, Not Whether But When. [24] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” Oct. 5, 1994, https://clinton.presidentiallibraries.us/items/show/57568, 227. Note that the document itself is dated 1993, but the content and the date on the transmittal memorandum make clear that it is from 1994. [25] Goldgeier and McFaul, Power and Purpose, 189–90. [26] Talbott, The Russia Hand, 141; “Remarks by the President at Plenary Session of 1994 Summit of the Council on Security and Cooperation in Europe,” White House Office of the Press Secretary, Dec. 5, 1994, https://clintonwhitehouse6.archives.gov/1994/12/1994-12-05-president-remarks-at-csce-summit-in-budapest.html. [27] Daniel Williams, “Yeltsin, Clinton Clash over NATO’s Role,” Washington Post, Dec. 6, 1994, https://www.washingtonpost.com/archive/politics/1994/12/06/yeltsin-clinton-clash-over-natos-role/19b7b3a1-abd1-4b1e-b4b2-362f1a236ce9/. [28] Goldgeier and McFaul, Power and Purpose, 192. [29] Memorandum of Telephone Conversation, “Presidential Telephone Call,” April 27, 1995, https://clinton.presidentiallibraries.us/items/show/57568, 281–82. [30] “Summary report on One-On-One Meeting Between Presidents Clinton and Yeltsin,” St. Catherine’s Hall, The Kremlin, May 10, 1995, https://clinton.presidentiallibraries.us/items/show/57568, 290–96. [31] Memorandum of Conversation, “Morning Meeting with Russian President Yeltsin: NATO-Russia, START, ABM/TMD,” Helsinki, March 21, 1997, https://clinton.presidentiallibraries.us/items/show/57569, 106–10. [32] Memorandum of Conversation, “Meeting with Russian President Yeltsin,” Istanbul, Nov. 19, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 562–63. [33] Memorandum of Conversation, “Meeting with President Boris Yeltsin,” Sept. 27, 1994, https://clinton.presidentiallibraries.us/items/show/57568, 214–15. [34] “Summary report on One-On-One Meeting Between Presidents Clinton and Yeltsin,” St. Catherine’s Hall, The Kremlin, May 10, 1995, https://clinton.presidentiallibraries.us/items/show/57568, 293. [35] “POTUS-Yeltsin One-on-One,” Presidential Ceremonial Office, The Kremlin, April 21, 1996, https://clinton.presidentiallibraries.us/items/show/57568, 381–85. [36] Goldgeier and McFaul, Power and Purpose, 207. [37] Memorandum of Conversation, “Luncheon Meeting with Russian President Boris Yeltsin,” The Kremlin, April 21, 1996, https://clinton.presidentiallibraries.us/items/show/57569, 11–12. [38] “The President’s News Conference with President Boris Yeltsin of Russia in Helsinki,” March 21, 1997, http://www.presidency.ucsb.edu/ws/index.php?pid=53904. [39] Memorandum of Conversation, “Meeting with Russian President Yeltsin: NATO-Russia, Arms Control, Economics, Denver Summit of the Eight, Afghanistan, Iran,” Paris, May 27, 1997, https://clinton.presidentiallibraries.us/items/show/57569, 148–49. [40] James Goldgeier, "Trump and Putin one-on-one is not a good idea. Here’s why." Monkey Cage blog, July 19, 2017 (revised and republished July 13, 2018), https://www.washingtonpost.com/news/monkey-cage/wp/2017/07/19/there-are-no-notes-on-trumps-meeting-with-putin-thats-a-big-deal/. [41] Memorandum of Telephone Conversation, “Telephone Conversation with Russian President Yeltsin,” Sept. 8, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 548. [42] Memorandum of Conversation, “Meeting with Russian President Yeltsin,” Istanbul, Nov. 19, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 565–66. [43] Memorandum of Telephone Conversation, “Telcon with Russian President Boris Yeltsin,” Dec. 31, 1999, https://clinton.presidentiallibraries.us/items/show/57569, 582–84. ) [contents] => Array ( [title] => [contents] => ) ) [5] => WP_Post Object ( [ID] => 677 [post_author] => 194 [post_date] => 2018-08-21 12:21:32 [post_date_gmt] => 2018-08-21 16:21:32 [post_content] => The U.S. National Security Strategy, published in December 2017, marked a historic break in U.S. policy toward China. The White House explicitly judged the policies of previous administrations to be a failure and closed the door on engagement as the primary mode of U.S.-Chinese relations. Before the Trump administration, U.S. policy was based on the assumption that a China governed by the Chinese Communist Party could be socialized within the international institutions of the West. Engagement at all levels — commercial, scientific, military, diplomatic, educational, and people-to-people — was expected to convince Chinese leaders of the benefits of accepting a liberal international order and persuade them to become, in the words of then-U.S. Deputy Secretary of State Robert Zoellick, a “responsible stakeholder” in that order.[1] This assumption had endured through seven U.S. presidencies, but the National Security Strategy explicitly judged, “This premise turned out to be false.”[2] The Trump administration’s new, more confrontational direction has generated more controversy than consensus. The emerging contours of the “Free and Open Indo-Pacific” strategy reflect a muscular commitment to enduring U.S. interests in a stable Asia-Pacific and to pushing back against Beijing’s revisionism. The statements Defense Secretary James Mattis made at the Shang-ri La Dialogue in June appear to be coming to fruition as Secretary of State Mike Pompeo recently announced $300 million for security assistance on top of $113 million for technology, energy, and infrastructure initiatives.[3] Many observers would support such measures, but other aspects of the administration’s policies have caused unease among some even as they achieved results. To begin with, the United States has withdrawn from the Trans-Pacific Partnership, which the Obama administration had made the signature economic initiative of its Asia-Pacific rebalance. Meanwhile, the Trump administration successfully pressured China to enforce sanctions on North Korea but also generated fears of war. The administration’s trade actions and tariffs may not resolve the U.S.-China trade imbalances, but they appear to be pressuring China’s leaders, particularly Xi Jinping, in novel ways.[4] The strategic shift, however, has not yet addressed the first-order questions that have dogged U.S. policy in Asia under past administrations: Is the United States willing to use force in the region, and how feasible are U.S. objectives while the Communist Party governs China? The strategic shift in U.S. policy toward China has not been locked in either bureaucratically or politically. Although the Trump administration has reopened an important conversation that had been closed for decades, it ultimately may not be the one to build a new policy consensus on China. Washington’s friends in Asia worry that American partisanship may prevent future policymakers from recognizing the Trump administration’s achievements in the region.[5] Nevertheless, Washington and Beijing will not return to the old status quo. This moment in time marks a transition from seven administrations’ policy of engagement to a nascent, emerging position. Because the United States is not yet ready to resolve first-order questions about its policy aims, any strategy is transitory. For now, the best answers can only describe the tools and considerations that must be a part of the U.S. recalibration. To arrive at a new consensus, the United States needs to address the weaknesses in Americans’ knowledge of China while rethinking the connections between the ways China is analyzed and how policy is made. Chinese power is an issue the United States will grapple with for years to come, and the relative difference in power between the two countries is shrinking, especially along China’s periphery. Washington needs to be able to maximize its leverage and make the most of opportunities to affect the Chinese Communist Party-state. Taking advantage of political leverage will require affecting party leaders at a personal level. The vicious politics of the Chinese Communist Party opens up fissures among the leadership at least once every political generation. Such openings can and should be exploited to advance U.S. interests. Improving U.S. understanding of China and orienting the U.S. government toward identifying and exploiting opportunities will require paying greater attention to the ways the Communist Party seeks to shape foreigners’ understanding of China. Washington needs to be prepared to act and must reengage in a discussion of values that has been left on the sidelines for too long. Even if the Trump administration’s more competitive course of action is not maintained by subsequent administrations, an engagement-oriented approach will still require adjustments to better protect U.S. interests.

An Inevitable Break

A dramatic shift in U.S.-Chinese relations was on the horizon no matter who won the U.S. presidential election in 2016. The assumptions underpinning bilateral relations had long strained against day-to-day realities. The two most important assumptions were that U.S. engagement would lead to a more liberal China (if not the demise of the Chinese Communist Party) and that shared long-term interests would lead to cooperation.[6] The 2017 National Security Strategy was explicit about the failures of this approach. Most notably, American aspirations for a more liberal — even if not democratic — China collided with the hard facts of what the Chinese Communist Party was willing to do to survive. The National Security Strategy stated, “For decades, U.S. policy was rooted in the belief that support for China’s rise and for its integration into the post-war international order would liberalize China.” Even Richard Nixon justified engaging the Chinese Communist Party on the basis of hoped-for, long-term political change.[7] This hope became entrenched after the end of the Cold War removed the strategic logic of using U.S.-China relations as a counterweight to the Soviet Union. Commercial, rather than strategic, engagement would supposedly moderate and ultimately liberalize China’s politics and economy.[8] Signs that the Chinese Communist Party was resisting the direction U.S. policymakers had envisioned arose early in the post-Cold War era, but the rise of Xi Jinping has brought American hopes of political reform crashing down. Early on, the party relentlessly shut down discussion of the Tiananmen Square demonstrations of 1989 and jailed the movement’s student leaders. Chinese leaders also studied how best to use and shape market forces for the benefit of the Communist Party, giving the impression of regulatory liberalization while some in the business community became party members.[9] Signs of retrogression soon became unmistakable under Xi. The playbook for Xi’s leadership leaked out in what is known as Document No. 9 in the spring of 2013. The document identified perceived threats to the regime from, among other sources, universities, civil society, and the news media. Each has received special attention from the Xi government, and new regulations or legislation have expanded on the activities that must receive prior approval. The creation of concentration camps for Uighurs, the arrest of relatives of journalists who reported the story for a U.S.-government-funded news outlet, and the detention of Uighurs who are in contact with people outside China mark the extreme end of the party’s internal repression.[10] Lest readers think the Uighurs suffer from oppression by the Han Chinese majority rather than that of the party specifically, it should be noted that Beijing’s repression is broad. The party has cracked down on Chinese Christians while pressuring the Vatican to cede its authority to appoint church leaders in China.[11] Moreover, all Chinese citizens are subject to the ever-more invasive and comprehensive electronic surveillance slowly being integrated into a policy framework for inducing and coercing behavior the party wants.[12] Critics of the Trump administration’s aggressive approach argue that U.S.-Chinese relations after the Cold War were driven primarily by U.S. interests rather than a naïve hope that the Chinese Communist Party would liberalize. There was nothing wrong with past policy, these critics say, and U.S. presidential and policy statements about political liberalization did not represent what policymakers were actually thinking. As former U.S. ambassador to China J. Stapleton Roy observed about today’s debate, “Such critiques often fail to distinguish between the way Washington publicly justifies its policies, by referring to values, and the way it actually formulates them, by putting national interests first.”[13] Those interests, however, seemingly became formulaic assumptions that went untested as China evolved. U.S. policymakers and analysts had assumed or hoped that if the two countries shared long-term policy interests, cooperation would eventually result. For years, they proclaimed the same areas of overlapping interest: maintaining a non-nuclear Korean Peninsula, arresting climate change, working for non-proliferation, and building commercial ties. National Security Adviser Sandy Berger highlighted these points in a 1997 speech entitled “Building a New Consensus on China.” Engagement, he argued, was needed to maintain cooperation on “the spread of weapons of mass destruction; our increasingly complex commercial ties; stability on the Korean peninsula; and the health of the global environment.”[14] More than 20 years have passed since Berger’s speech at the Council on Foreign Relations, yet the same areas remain singled out for cooperation despite Beijing’s changing behavior, growing military power, and increasing internal political repression.[15] And among those cited interests, the record is mixed. [quote id="1"] Cooperation on stopping the spread of weapons of mass destruction yielded uneven results, but key takeaways from U.S.-Chinese agreements never materialized. As Berger said in 1997, “China is neither as bad as some portray — [n]or as good as we would like.”[16] In 1985, Beijing and Washington signed a Civilian Nuclear Cooperation Agreement — a so-called 1-2-3 Agreement — to facilitate the transfer of U.S. civilian nuclear expertise and equipment to China to help modernize its nuclear industry. The agreement included a Chinese commitment to build an export control system to monitor and certify the export of sensitive and dual-use technologies. That system remains unbuilt more than 30 years later. Instead, U.S. officials work through a Ministry of Foreign Affairs that often is outranked and outgunned politically by the companies it must regulate, and that is assuming the ministry is even prepared and able to act on a U.S. request. Commercial ties between American and Chinese firms have grown increasingly complex. Both sides have benefited from continued expansion, but Chinese political pressure has also mounted on U.S. companies. Surveys of foreign multinational companies in China have found growing pessimism regarding the regulatory and policy environment despite confidence in the country’s economic future.[17] Robert Lighthizer, the U.S. trade representative in the Trump administration who was also deputy trade representative during the Reagan administration, argued nearly a decade ago that many of the promised benefits of China’s accession to the World Trade Organization (WTO) had failed to materialize. Proponents had argued that the trade deficit would shrink, that U.S. companies’ market access would improve, and that there would be no downside for the United States. Instead, the trade deficit grew. And while U.S. companies did get more access to Chinese markets, they continued to pay for that access through joint ventures and technology transfers. Between 2000 and 2009, the United States lost a third of its manufacturing jobs in a sharp decline that began after China joined the WTO.[18] One of the most significant failures following in the wake of China’s incorporation into the WTO has been the persistence of intellectual property theft and its movement up the value chain from cultural products, such as movies, to telecommunications and semiconductors.[19] When Robert Kapp, then president of the U.S.-China Business Council, testified before Congress in support of granting China permanent normal trade relations and supporting its WTO ascension, he argued that leverage would be gained rather than lost by integrating China. Beijing’s participation in the WTO, he said, would give companies recourse to “such offensive habits as the requirement that foreign companies transfer technology in order to do business in China.”[20] Today, however, forced transfer remains a key element of Beijing’s strategy to acquire foreign technology, and the scale of China’s intellectual property theft arguably has increased.[21] Sustained Chinese cooperation on North Korea, meanwhile, has been at least as much a product of U.S. pressure as solicitation and persuasion. Since the 1990s, the Chinese Communist Party leadership has consistently prioritized North Korea’s stability over preventing its nuclearization. The U.S. sanctions on Macao-based Banco Delta Asia, in late 2005, put pressure on Beijing and Chinese banks even as the equivalent of $24 million to $25 million of North Korean money — a small sum in the context of international relations — was frozen. The sanctions implicitly threatened Chinese banks doing business with North Korea and significantly restricted North Korea’s access to the international financial system, despite its access to China.[22] This pressure helped bring about another round of six-party talks. As pressure and scrutiny eventually lifted, Chinese companies renewed their efforts to skirt and undermine the sanctions regime.[23] The latest round of official Chinese cooperation began in April 2017 with the presidents’ meeting at Mar-a-Lago, during which Xi pledged to work with the Trump administration on North Korea. Beginning in June 2017, Beijing supported stronger sanctions in the U.N. Security Council five times, most notably in September and December.[24] As further cooperation failed to materialize, the Trump administration imposed sanctions on Chinese companies, linked possible U.S. trade actions against China to outcomes on the Korean Peninsula, and implied that Chinese banks that continue to do business in North Korea also would be sanctioned.[25] Chinese cooperation on climate change has also been less than forthcoming. Although a number of agreements have been signed, rarely have funding commitments to back U.S.-Chinese initiatives for climate change and energy cooperatives been present.[26] The much-heralded 2016 climate agreement with the Obama administration committed Beijing to meeting benchmarks that it had already established domestically.[27] This has left cooperation mostly to the private sector, with mixed results, both because of Beijing’s industrial policies and its condoning of intellectual property theft. For example, in 2005, the Chinese state-owned company Sinovel began working with the American company American Superconductor (AMSC) on wind turbines and electricity distribution. The relationship fell apart in 2011, however, when Sinovel paid a former AMSC employee to steal the U.S. company’s source code and Sinovel then reneged on $800 million in contracts with that same company.[28] Taken together, what does all this mean? It is not that U.S.-Chinese cooperation was a fiction but, rather, that the areas of cooperation were intrinsically problematic. Pretending that these joint efforts were genuine or were anything other than a U.S. vision of China’s interests resulted in a frail superstructure. U.S. policymakers and commentators had to overlook Beijing’s failure to honor its commitments and pretend that the absence of Chinese actions was not a deliberate choice but, instead, a sign that decisions had not been made.

Obstacles to a New Approach

Locking in a new approach to U.S. policy toward China will be more difficult than many critics of the past engagement policy seem to think. Americans disagree about not only the degree to which the policy must change but also the degree of competitiveness that will be required. Former State Department officials Kurt Campbell and Ely Ratner have suggested that the way forward begins simply: “The first step is relatively straightforward: acknowledging just how much our policy has fallen short of our aspirations.”[29] Many old hands, however, dispute the assertion that U.S. policy toward China has fallen short or failed to deliver on its promises. The policy basically worked, in their view, and few adjustments are necessary.[30] Even supposing, however, that U.S. experts on China and U.S.-Chinese relations agreed on the need for new policy initiatives or even a fundamentally different approach, more significant barriers must be overcome to move forward with new plans. The first such barrier is the relatively low degree of knowledge about China and the Chinese Communist Party at senior levels of the U.S. government and among American society in general. Ratner noted in a podcast interview this year that while senior U.S. officials seem to understand Ukraine and Syria in fairly granular detail, they repeatedly need to be reminded about basic geography and policy regarding China. The constant need for education wastes time and energy, and it inhibits a more far-reaching discussion about how to address the illiberal challenges of a China led by its Communist Party.[31] Such limited knowledge also makes it difficult for the president and others to appreciate the quality (or lack thereof) of China-related materials. They would have to rely almost entirely on instinct to evaluate the arguments presented to them. [quote id="2"] The low level of knowledge also leads to analogizing about China rather than assessing China for what it is. Analogies are unavoidable in the absence of direct knowledge. But the carefulness required in structuring useful comparisons has not been employed when China is likened to Weimar Germany or Xi Jinping to Charles de Gaulle.[32] The late Ernest May and Richard Neustadt argued that historical analogies had limited value unless they were structured deliberately. Because historical analogies rip events out of their context, such analogies may mislead more than they inform.[33] Americans’ relatively low level of knowledge about China leads to a second barrier: the Chinese Communist Party’s messaging about U.S. policy toward China. The party presents the policy options for dealing with China as a binary choice. Yet, only occasionally are such decisions truly so limited. Even the most glaring choice, recognizing the People’s Republic of China or Taiwan (Republic of China), is not so clear-cut, in part because many countries maintain ostensibly informal, but robust, diplomatic ties with Taiwan. As Singapore’s former senior-most diplomat, Ambassador Bilahari Kausikan, described in a recent speech, “This technique of forcing false choices on you and making you choose between false choices is deployed within a framework of either overarching narratives or specific narratives. … The purpose is to narrow the scope of choices.”[34] One of the most notable false choices reinforced by Beijing’s messaging remains that between engagement and containment. Chinese Communist Party mouthpieces and propagandists regularly accuse the United States of containing China, employing a “Cold War mentality,” and stirring up the “China threat theory” to encourage other countries to demonize China. A final barrier to reaching a new policy position is that the United States — and presumably other countries that do not have as substantial a China-watching community — does not have a team to take the field. This is not so much a question of China-specific knowledge on the part of policy practitioners but, rather, the marriage of knowledge about China, policy tools, and competitive strategy. Too much of the existing talent has been conditioned by the long-held engagement policy. Engagement and competition require fundamentally different mind-sets and thinking through a different set of questions. Engagement as a policy direction presupposes that interaction is fundamentally good and that opening China to academic, business, and civil-society ventures is beneficial to U.S. interests. Competition, by contrast, raises first-order questions, such as whether there are long-term benefits to U.S. businesses operating in China or whether Beijing’s policies are incompatible with U.S. long-term interests. Building this team while transcending partisanship will not be easy. Americans inside and outside government have knowledge about China, policy, or strategic competition, but there are very few with expertise in all three. Ensuring that people with expertise in one or two of these areas gain the necessary additional knowledge requires not only time but also taking such individuals out of active roles while they focus on acquiring additional expertise.

A Toolkit for the Transitional Phase

Until a new China policy is more firmly locked in bureaucratically and a new consensus about China is reached, proposing an overarching strategy and set of objectives is premature. The U.S. discussion may be more open than it has been in years, but first-order questions about the ultimate objectives of China policy have not yet been reassessed and answered. The United States sits in a transitional phase, at least until the Trump administration solidifies bureaucratic policy guidance and a subsequent administration builds from its foundation. What directions succeeding administrations take, of course, may vary, regardless of whether they are Democratic or Republican. For the near future, it is more appropriate to assess U.S. policy tools and how to maximize leverage rather than trying to pin down an overall strategy. Washington needs to expand its toolkit beyond the military dimension, regardless of what the future holds for U.S. policy and U.S.-Chinese relations. U.S. economic and military predominance has maintained stability in East Asia for decades. In recent years, Beijing has undermined and challenged the credibility of U.S. power — or at least Washington’s willingness to use it. Beijing’s steady expansion and consolidation in the South China Sea from 2012 onward exposed the gaps in U.S. military power in the region and Washington’s policy of deterrence. The Chinese seizure of Scarborough Shoal and subsequent island construction showed that Washington was not prepared to use military force or to place U.S. sailors and pilots in harm’s way to push back against China. These dilemmas also highlight the necessity of strengthening Americans’ psychological willingness to use leverage wherever it might be found. Refrains about the limitations of U.S. influence have more to do with a lack of conviction than a lack of ability. Sens. Ben Cardin of Maryland and Marco Rubio of Florida put forward at least one alternative to using military force in China’s maritime periphery, but their bipartisan legislation to sanction Chinese firms engaged in island-building never went anywhere.[35]  Building U.S. capacity to compete with China more comprehensively and effectively will require a political-power-centric and opportunity-oriented research agenda, a concentrated effort to build leverage, and counterintelligence and counter-interference efforts to preserve the integrity of U.S. policymaking. A power-centric research agenda would evaluate the Chinese Communist Party’s susceptibility to pressure. Opportunities are fleeting, and attitudes change. One day, the general secretary of the Chinese Communist Party may not have the loyalty of the People’s Liberation Army. Another day, he may have installed loyalists at the upper ranks. Leverage should be built over time and prepared for the moment when it can have the most impact. To make use of leverage at the point Chinese leaders are most vulnerable, the integrity of the U.S. policymaking system must be secure so that Washington can be ready to act when opportunity knocks. Each of these points is outlined more fully below.  A New Analytical Approach  First, U.S. policymakers need a different way of ordering their knowledge and thinking about China issues. Opportunities to influence the Chinese Communist Party in a significant way come along only once or twice in a political generation. The vicious “you die, I live” (你死我活) kind of politics that is practiced in China inevitably opens up leadership fissures. U.S. policymakers need to better understand how political power is wielded within the Communist Party. Shaping and responding to Beijing’s behavior requires influencing the individuals who decide policy. U.S. policymakers must understand the sources of Chinese political power to understand which ones Chinese leaders must control or neutralize in order to succeed and how, exactly, they do so. Understanding these leadership dynamics will facilitate Washington’s efforts to cajole or coerce Beijing by seeing opportunities as they arise. Most U.S. analysts examine the Chinese Communist Party through an institutional lens that largely excludes the human element of politics from the equation. The amount of rumor-mongering and deliberate disinformation fed to journalists makes it difficult to evaluate that human component of Chinese politics. Rather than try to sift the wheat from the chaff, those practicing the institutional approach focus on authoritative sources and the kinds of information that can be tracked through official media.[36] For example, in the discussion of Xi Jinping’s political power in 2014, one institutionalist narrowly evaluated Xi’s power according to how he had changed (or not changed) party slogans about the leadership core and collective leadership, concluding that Xi’s power was simply gifted to him by the party.[37] This approach ignored many of the reasons other analysts considered Xi powerful, because they related to subjective measures about elite networks, purges, and symbolic politics. It is critical to understand party institutions, but analysts cannot stop there on the assumption that Chinese politics has become institutionalized. The basic structure and guidelines within which the Communist Party operates are merely a starting point. The Chinese Communist Party is still ruling a country, and politics cannot be avoided. Resources — such as time, attention, and money — are limited, and they must be allocated according to political considerations. Wherever humans operate, there will be personal politics. The robust academic literature of organizational studies expresses the truism that no matter how meritocratic or rules-based an organization becomes, decisions about personnel at the leadership level will always be political. A healthy organization produces more potential leaders than it has positions to fill. Institutions, training, and promotion guidelines ensure a minimum level of competency and open the opportunity for promotion. Deciding who gets what position necessarily depends on personality, power, and networking.[38] The Chinese political landscape cannot be understood without reference to power. The age-old questions of “who decides?” and “who benefits?” are as important as the party lines in official propaganda and the content of party documents. Party leaders have empowered and undermined different party and state institutions, depending on the needs of the moment and their competitors’ strengths. Institutional arrangements to control state power, such as the Central State Security Commission, have also been created when organizational and technological change has given the party-state new capabilities to monitor, influence, or hurt the leadership. The institutions of the Chinese party-state need to be evaluated as more than mere technocratic expressions of rational governance.[39] [quote id="3"] Power also cannot be separated from individual politicians. Some Chinese leaders possess an intuitive sense of political symbolism and propaganda. Others know how to work the party bureaucracy. Still others carry meetings with the force of their personality. Human virtues and frailties are as much a part of the Chinese system as any other. Although no approach will describe a leader’s political instincts accurately and authoritatively every time, this human element cannot be dismissed. At the very least, important questions about how leaders exercise influence must be part of the discussion of contemporary China. Building Leverage Second, if political power is as personal as it is institutional within the Chinese Communist Party, then building leverage means focusing on what matters to individual leaders and the institutions that support them. The U.S. government has not pursued this path with any sort of regularity. The most obvious target is the vast wealth of Chinese party leaders. Not all of this wealth is tied up inside China. Some of it is entwined with China’s most significant multi-national companies or hidden in foreign banks, making the party leaders vulnerable to financial sanctions. The Global Magnitsky Human Rights Accountability Act, passed in 2016, provides legal authority to target Chinese Communist Party leaders and their agents. The act allows Washington to block or revoke visas as well as to sanction the property of those who are responsible for, or acted as an agent of someone responsible for, “extrajudicial killings, torture, or other gross violations of internationally recognized human rights.” Individuals can also be targeted if they are government officials or senior associates of government officials complicit in “acts of significant corruption.” Chinese abuses that qualify as gross violations and significant corruption have grown rapidly in the past several years, with examples including the detention and torture of the “709” rights lawyers — so named for the July 9, 2015, crackdown on lawyers and activists — as well as the detention of several hundred thousand Uighurs in concentration camps. Given the kind of direct pressure that could be brought to bear on Chinese leaders, such leverage must be used judiciously, if at all, on a day-to-day basis. Whether the stakes are sufficiently high depends on how clearly the administration outlines its objectives. Even within the previous engagement framework, a genuine opportunity to pressure the Chinese system toward liberalization — such as might have appeared in the early days of Deng Xiaoping and Hu Yaobang — could have constituted worthwhile use of such direct means to discredit opponents of political liberalization. Ultimately, the United States must build the knowledge and capacity to influence individual Chinese leaders knowing that such information could work under multiple policy frameworks, not simply the Trump administration’s strategic shift. The usefulness of such leverage also depends on what actions China may take in response. The same vulnerability of the Chinese system that creates opportunities for U.S. influence also creates risk. Communist Party leaders’ paranoia and self-awareness are filters for their perceptions: They see the United States as their principal foreign adversary and they know when they are exposed. They will act to shore up their position as Mao Zedong did with the Taiwan crisis in 1958 and by exploiting the Nixon-Kissinger gambit in 1971 and 1972, or as Deng Xiaoping did with Vietnam and the United States in 1978 and 1979 and in rebuffing American pressure after the June 4 incident at Tiananmen in 1989. Counterintelligence and Counter-Interference Third, any long-term strategy — especially one built around the idea of exploiting opportunities when they arise — must ensure the integrity of U.S. policymaking. This requires effective counterintelligence to prevent the penetration of U.S. policy circles for intelligence collection and building influence. The public record suggests that the state of U.S. counterintelligence — or that of other allied states — on China leaves much to be desired. Effective counterintelligence is not merely a question of capability but also one of integration with national strategy. As I and others in the U.S. intelligence community saw firsthand, counterintelligence functions are almost entirely separate from the rest of intelligence and policymaking.[40] Engagement as the dominant strain of China policy played down the need for counterintelligence — if interaction is good, the thinking went, then risk assessment of U.S.-China engagement is mostly unnecessary except in rare cases where U.S. laws were broken. The absence of a counterintelligence perspective meant that the Chinese Communist Party’s robust and comprehensive system for shaping foreigners’ perceptions went largely unnoticed, despite its demonstrable importance to party leaders.[41] The U.S. government has failed to prosecute or has bungled investigations into Chinese espionage often enough to warrant concern. The failures of counter-espionage may not, at first glance, appear relevant to the issue of Chinese Communist Party interference. Yet, the elements of the U.S. intelligence community and the Justice Department that perform counterespionage are the same ones that will take the lead on countering Chinese interference. If they have difficulty prosecuting (relatively-speaking) straightforward Chinese espionage cases, then countering Chinese Communist Party interference is likely to be too complicated for them.[42] Successful espionage prosecutions are the analytical, investigative, and legal training ground for the capabilities the U.S. government needs to deploy in order to counter the party’s covert, corrupting, and coercive interference. Failure to handle possible espionage cases well alienates many Chinese-Americans, who have reasonable concerns about rushes to judgment but whose cooperation is essential when Beijing tries to exploit the Chinese diaspora. Moreover, such weaknesses let those breaking the law in support of Communist Party interests know that the risk of consequences for their behavior is low. The U.S. government cannot be the only actor countering Chinese Communist Party interference. A democratic government’s resources focus on purely illegal activity. This means that academics, think tank researchers, and journalists have a significant role when it comes to exposing these operations and informing public debate.[43] In Australia, a handful of journalists reporting steadily since 2014 brought the issue of Chinese Communist Party interference in domestic politics to light and pushed it into the public discussion.[44] In New Zealand, one scholar cracked the news threshold by releasing a paper on the Communist Party’s united front work on the eve of last year’s election.[45] In the United States, a smaller number of people — primarily reporters for Foreign Policy (now at the Daily Beast) and the Washington Post[46] — helped put the party’s interference operations into public consideration. Without this attention, Australia arguably could not have overhauled its counter-espionage laws and passed legislation this summer aimed at transparency for elections and consequences for acting as a foreign agent.[47]

A New Starting Point

The toolkit outlined above reflects the requirements of crafting a long-term, competitive strategy. But rethinking the toolkit is only a beginning. A larger conversation is needed about this new period in U.S.-China relations. The past policy of engagement promoted ties of all kinds and at all levels, with only a few restrictions legislated by Congress or treaty commitments. Moving away from this approach will require new modes of thinking as well as reapplying American values to the question of how to engage with the Chinese party-state. First, recalibrating engagement with China requires a deliberate discussion of U.S. values, what those values mean, and how Washington should be prepared to act based on them. There is no substitute for this conversation. Vague assertions of supporting a liberal international order have proven insufficient as a lodestone for action. The absence of a U.S. response to Chinese aggression — not merely in the South China Sea but also with regard to intellectual property theft and coercion against U.S. citizens in the United States — emboldens the Chinese Communist Party. These issues demonstrate Beijing’s rejection of core democratic and capitalist values, suggesting the basic incompatibility of the two systems. Even if it were desirable to regulate all aspects of American interactions with the People’s Republic of China, public discussion would still be necessary. As noted above, government resources will focus on the illegal side of Chinese Communist Party activities, rarely if ever monitoring the broader scope of interaction. In a democratic state, there is no justification for sweeping government surveillance. This means that what is appropriate — rather than what is illegal — should be a matter of public debate. Is academic freedom in U.S. universities compatible with the values of the Confucius Institutes?[48] Should U.S. research labs collaborate with Chinese companies that work with the Chinese military? What degree of distance should Chinese organizations have from the party-state to be considered potential partners for U.S. organizations? These and similar questions cannot be divorced from American political and civic values. Second, the United States needs to hold up the standards that flow from U.S. values and policies. Far too often in this bilateral relationship, agreements and commitments have been allowed to slide. Statements of what cannot be are forgotten in the face of Beijing’s willingness to act, while U.S. leverage has been undermined by an unwillingness to act. Deputy Assistant Secretary of State Alex Wong eloquently made this argument about the trade regime:
[Y]ou have to enforce the rules of free trade. You have to ensure that nations cannot abuse the rules, cannot force technology transfer, cannot prize their national champions, can’t steal intellectual property. If you don’t do this, if you don’t enforce the rules of free trade, what ends up happening is that over time, the free, fair, and reciprocal trading regime is weakened, and that’s to the detriment not just of the United States’s prosperity but to the prosperity of the region and the world as a whole.[49]
The most egregious example of not upholding standards is the lack of response to intimidation and coercion against U.S. citizens and residents on U.S. soil. During the Olympic torch relay ahead of the Summer Games in Beijing in 2008, Chinese security officials orchestrated violence against protesters and coordinated efforts to divert or block demonstrators in San Francisco. The U.S. government passed the identity of some of these Chinese officers to Australia so that Canberra could deny entry visas to them. But that appears to be the end of the U.S. response.[50] Rumors and reports of violence against practitioners of Falun Gong surface periodically, including at the Xi-Trump meeting at Mar-a-Lago in 2017. Education counselors from Chinese diplomatic missions visit Chinese students at U.S. universities or contact family members to intimidate them or request that they tell their child to take down social media posts. Yet, the full scale of the situation is difficult to ascertain. Many of the stories that come to journalists, scholars, and officials cannot be publicized, partly because the people involved fear retribution and it is often impossible to scrub identifying details while retaining the sense of injustice. Third, U.S. policymakers — as well as international affairs analysts and commentators — will need to become accustomed to the idea of asymmetric or sometimes disproportionate responses to Beijing. Reciprocity has gained traction, but the concept has little applicability beyond trade disputes.[51] The most contentious areas of U.S.-Chinese relations do not feature proportionate or reciprocal responses because the U.S. government and American society do not have a parallel structure to the Chinese party-state. For right and proper reasons, the U.S. government will not compete with the Chinese Communist Party in coercing overseas Chinese to adopt pro-U.S. behaviors. Unlike Beijing, Washington will not arbitrarily detain family members or seize business assets. Beijing’s denial of visas for foreign journalists does not lend itself to a tit-for-tat response. There are far fewer American journalists in China than Chinese journalists working for official media outlets in the United States. To create corresponding effects when an American journalist faces visa trouble would require alternative and probably disproportionate responses. [quote id="4"] Fourth, recalibrating U.S. policy toward China will entail costs. Individual, corporate, and even government interests almost certainly will be affected. The Chinese Communist Party was born out of a struggle, and its leaders fought their way up competitive ranks. Close to a million people enter the party each year after an arduous testing and interviewing regimen, and they continue to be evaluated throughout their careers.[52] Those who make it to the Central Committee are the .01 percent of party cadre. Beyond the rigorous evaluation and performance requirements, officials also need to worry about ambitious colleagues and blackmailers who seek to discredit them as they climb the greasy pole.[53] They and their willingness to compete should not be taken lightly. Already, in what appear to be the opening stages of a trade war, Beijing’s response to Trump administration actions has targeted U.S. farmers in areas supportive of Trump.[54] Simply put, competing effectively with China requires serious consideration; in particular, identifying America’s ultimate objectives in order to assess whether the sacrifices necessary to attain those goals are warranted.

Conclusion

Whatever the future holds for U.S.-Chinese relations, the status quo has been broken. The unaddressed inadequacies of engagement eroded the policy consensus around bilateral relations to such an extent that, even without a clear policy alternative, engagement has ended. Henry Kissinger, one of the original architects of the U.S. policy toward China that persisted through seven administrations, aptly described the current moment: “I think Trump may be one of those figures in history who appears from time to time to mark the end of an era and to force it to give up its old pretenses.”[55] Although it would be useful to begin building a new consensus, the partisan climate of U.S. politics seems to preclude the sort of meaningful discussion that would lock in a sustainable bipartisan consensus, even though the next generation of policy hands in both parties think a new China policy is needed. Americans can discuss the tools and animating ideas that are needed to manage U.S.-Chinese relations and protect U.S. interests from a “revisionist China.” The conversation has moved to the point where concrete ideas of how to better understand the Chinese Communist Party and China, and how to be more competitive, must be fleshed out and debated. For many years, the critiques of U.S.-Chinese relations may have been on point, but the recommendations fell short of offering something distinct from U.S. policy at the time.[56] The approach outlined above is simple. Opportunities should be sought to apply effective leverage on Communist Party officials leading China. The barometer for these opportunities measures the ebb and flow of power across party leaders and institutions. When these opportunities arrive, Washington needs to be prepared to act and to do so in ways that go beyond reciprocity as a guiding principle. Ensuring that everything is prepared for these moments is a job for counterintelligence. Without secrecy to preserve U.S. leverage and the psychological willingness to use it, no one will be prepared to pull the trigger on pressuring China. If any particular theme runs through the failure of U.S. policy toward China, it is the U.S. government’s unwillingness to act to uphold American values and Chinese commitments. The stakes and interests involved in resolving this problem surely outweigh partisan considerations.   Peter Mattis is a research fellow in China Studies at the Victims of Communism Memorial Foundation and a contributing editor to War on the Rocks. Mr. Mattis previously worked as a counterintelligence analyst at the Central Intelligence Agency before leaving government service to work as editor of the China Brief and to be a fellow at the Jamestown Foundation. Image: U.S. Indo-Pacific Command [post_title] => From Engagement to Rivalry: Tools to Compete with China [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => from-engagement-to-rivalry-tools-to-compete-with-china [to_ping] => [pinged] => [post_modified] => 2019-01-17 13:05:49 [post_modified_gmt] => 2019-01-17 18:05:49 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=677 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => To arrive at a new consensus, the United States needs to address the weaknesses in Americans’ knowledge of China while rethinking the connections between the ways China is analyzed and how policy is made. [pubinfo] => [issue] => Vol 1, Iss 4 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => U.S. policymakers and analysts had assumed or hoped that if the two countries shared long-term policy interests, cooperation would eventually result. ) [1] => Array ( [author] => [style] => right [text] => One of the most notable false choices reinforced by Beijing’s messaging remains that between engagement and containment. ) [2] => Array ( [author] => [style] => left [text] => The Chinese political landscape cannot be understood without reference to power. ) [3] => Array ( [author] => [style] => right [text] => [T]he United States needs to hold up the standards that flow from U.S. values and policies. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 837 ) [authors] => Array ( [0] => 194 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] For a comprehensive summary of these views, see, James Mann, The China Fantasy: Why Capitalism Will Not Bring Democracy to China (New York: Penguin Books, 2008), especially 1–28. [2] National Security Strategy of the United States of America, The White House, December 2017, 3, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905-2.pdf. [3] “U.S. Pledges Nearly $300 Million Security Funding for Indo-Pacific Region,” Reuters, Aug. 3, 2018, https://www.reuters.com/article/us-asean-singapore-usa-security/u-s-pledges-nearly-300-million-security-funding-for-southeast-asia-idUSKBN1KP022. [4] Mark Leonard, “The Chinese Are Wary of Donald Trump’s Creative Destruction,” Financial Times, July 24, 2018, https://www.ft.com/content/f83b20e4-8e67-11e8-9609-3d3b945e78cf; Xu Yimiao, “China Should Cut Its Losses in the Trade War by Conceding Defeat to Donald Trump,” South China Morning Post, Aug. 10, 2018, https://www.scmp.com/comment/insight-opinion/united-states/article/2158963/china-should-cut-its-losses-trade-war. [5] For example, Bilahari Kausikan, “Trump’s Global Retreat Is an Illusion,” Nikkei Asian Review, Jan. 31, 2018, https://asia.nikkei.com/Politics/Trump-s-global-retreat-is-an-illusion. [6] Other lesser, but nonetheless important, assumptions included that the Chinese Communist Party could accept the U.S.-led international liberal order, that a more prosperous China would be a more peaceful China, that Chinese Communist Party leaders are persuadable and could put down their Leninist view of world politics, and that the party’s propaganda apparatus would remain a domestic actor, not an international subversive threat. [7] Richard M. Nixon, “Asia After Viet Nam,” Foreign Affairs, October 1967, https://www.foreignaffairs.com/articles/asia/1967-10-01/asia-after-viet-nam. [8] Mann, The China Fantasy, 101–12. [9] Yasheng Huang, “How Did China Take Off?” Journal of Economic Perspectives 26, no. 4 (Fall 2012): 147–70, http://dx.doi.org/10.1257/jep.26.4.147; Kellee S. Tsai, Capitalism Without Democracy: The Private Sector in Contemporary China (Ithaca, NY: Cornell University Press, 2007); and David Shambaugh, China’s Communist Party: Atrophy and Adaptation (Oakland, CA: University of California Press, 2008). [10] Adrian Zenz, “New Evidence for China’s Political Re-Education Campaign in Xinjiang,” Jamestown Foundation China Brief, May 15, 2018, https://jamestown.org/program/evidence-for-chinas-political-re-education-campaign-in-xinjiang; Simon Denyer, “China Detains Relatives of U.S. Reporters in Apparent Punishment for Xinjiang Coverage,” Washington Post, Feb. 28, 2018, https://www.washingtonpost.com/world/china-detains-relatives-of-us-reporters-in-apparent-punishment-for-xinjiang-coverage/2018/02/27/4e8d84ae-1b8c-11e8-8a2c-1a6665f59e95_story.html. [11] Wesley Rahn, “In Xi We Trust — Is China Cracking Down on Christianity?” Deutsche Welle, Jan. 19, 2018, https://www.dw.com/en/in-xi-we-trust-is-china-cracking-down-on-christianity/a-42224752 ; Eva Dou and Francis Rocca, “Abide in Darkness: China’s War on Religion Stalls Vatican Deal,” Wall Street Journal, May 9, 2018, https://www.wsj.com/articles/abide-in-darkness-chinas-war-on-religion-puts-vatican-deal-in-doubt-1525858496. [12] Samantha Hoffman, “Social Credit: Technology-Enhanced Authoritarian Control with Global Consequences,” Australian Strategic Policy Institute, June 28, 2018, https://www.aspi.org.au/report/social-credit. [13] J. Stapleton Roy, “Engagement Works,” Foreign Affairs 97, no. 4 (July/August 2018): 185. [14] “Remarks by Samuel R. Berger, Assistant to the President for National Security Affairs, Before the Council on Foreign Relations,” White House Office of the Press Secretary, June 6, 1997. [15] For example, Roy, “Engagement Works,” 185; Thomas J. Christensen, “The Need to Pursue Mutual Interests in U.S.-China Relations,” U.S. Institute of Peace, Special Report no. 269, April 2011, https://www.usip.org/sites/default/files/SR269.pdf; Nina Hachigian, Michael Schiffer, and Winny Chen, “A Global Imperative: A Progressive Approach to U.S.-China Relations in the 21st Century,” Center for American Progress, Aug. 13, 2008, https://www.americanprogress.org/issues/security/reports/2008/08/13/4817/a-global-imperative/. [16] Berger, “Remarks.” [17] Yoko Kubota, “U.S. Firms Say China’s Business Climate Is Warming, Survey Finds,” Wall Street Journal, Jan. 29, 2018, https://www.wsj.com/articles/u-s-firms-say-chinas-business-climate-is-warming-survey-finds-1517274000; “USCBC 2017 China Business Environment Member Survey,” U.S.-China Business Council, 2017, https://www.uschina.org/reports/uscbc-2017-china-business-environment-member-survey. [18] Robert E. Lighthizer, “Evaluating China’s Role in the World Trade Organization Over the Past Decade,” testimony before the U.S.-China Security and Economic Review Commission, June 9, 2010, https://www.uscc.gov/sites/default/files/6.9.10Lighthizer.pdf. [19] Derek Scissors, “Sino-American Trade: We Know Where This Is Headed,” War on the Rocks, April 18, 2018, https://warontherocks.com/2018/04/sino-american-trade-we-know-where-this-is-headed/. [20] “Accession of China to the WTO,” hearing before the House Ways and Means Committee, May 3, 2000. [21] “Report of the Commission on the Theft of American Intellectual Property,” National Bureau of Asian Research, May 2013, http://ipcommission.org/report/IP_Commission_Report_052213.pdf. [22] Josh Meyer, “Squeeze on North Korea’s Money Supply Yields Results,” Los Angeles Times, Nov. 2, 2006, http://www.latimes.com/world/la-fg-macao2nov02-story.html; Jay Solomon and Neil King Jr., “How U.S. Used a Bank to Punish North Korea,” Wall Street Journal, April 12, 2007, https://www.wsj.com/articles/SB117627790709466173. [23] Report of the Panel of Experts Established Pursuant to Resolution 1874, U.N. Security Council Report No. S/2016/157, Feb. 24, 2016, http://www.un.org/ga/search/view_doc.asp?symbol=s/2016/157. [24] Laura Zhou, “United Nations Agrees More Sanctions on North Korea, But Is the World Running Out of Options?” South China Morning Post, Dec. 23, 2017, https://www.scmp.com/news/china/diplomacy-defence/article/2125548/united-nations-agrees-more-sanctions-north-korea-world; “China to Enforce UN Sanctions Against North Korea,” Guardian, Sept. 23, 2017, https://www.theguardian.com/world/2017/sep/23/china-to-enforce-un-sanctions-against-north-korea. [25] David Brunnstrom and Susan Heavey, “Trump Says China’s Stance on North Korea Influences His Trade Policy,” Reuters, Dec. 28, 2017, https://www.reuters.com/article/us-northkorea-missiles-china-trump/trump-says-chinas-stance-on-north-korea-influences-his-trade-policy-idUSKBN1EM1IY. [26] Joanna I. Lewis, “The State of U.S.-China Relations on Climate Change: Examining the Bilateral and Multilateral Relationship,” Woodrow Wilson International Center for Scholars, China Environment Series (2010/2011), 7, https://www.wilsoncenter.org/sites/default/files/Feature Article The State of U.S.-China Relations on Climate Change.pdf. [27] Mark Landler and Jane Perlez, “Rare Harmony as China and U.S. Commit to Climate Deal,” New York Times, Sept. 3, 2016, https://www.nytimes.com/2016/09/04/world/asia/obama-xi-jinping-china-climate-accord.html. [28] Janan Hanna, Christie Smythe, and Chris Martin, “China’s Sinovel Convicted in U.S. of Stealing Trade Secrets,” Bloomberg, Jan. 24, 2018, https://www.bloomberg.com/news/articles/2018-01-24/chinese-firm-sinovel-convicted-in-u-s-of-trade-secret-theft. [29] Kurt Campbell and Ely Ratner, “The China Reckoning: How Beijing Defied American Expectations,” Foreign Affairs (March/April 2018), https://www.foreignaffairs.com/articles/united-states/2018-02-13/china-reckoning. [30] For example, Jeffrey A. Bader and Ryan Hass, “Was Pre-Trump U.S. Policy Towards China Based on ‘False’ Premises?” Brookings Institution, Dec. 22, 2017, https://www.brookings.edu/blog/order-from-chaos/2017/12/22/was-pre-trump-u-s-policy-towards-china-based-on-false-premises; Wang Jisi, J. Stapleton Roy, Aaron Friedberg, Thomas Christensen and Patricia Kim, Joseph S. Nye Jr., Eric Li, and Kurt M. Campbell and Ely Ratner, “Did America Get China Wrong? The Engagement Debate,” Foreign Affairs (July/August 2018) https://www.foreignaffairs.com/articles/china/2018-06-14/did-america-get-china-wrong. [31] Kelly Magsamen, Ely Ratner, and Ryan Evans, “To Compete with China, Can America Get Out of Its Own Way?” War on the Rocks, podcast, Feb. 7, 2018, https://warontherocks.com/2018/02/war-rocks-compete-china-can-america-get-way/. [32] Rana Mitter, “Forget Mao Zedong, Xi Jinping Is More Charles de Gaulle,” South China Morning Post, Oct. 28, 2017, https://www.scmp.com/week-asia/opinion/article/2117364/opinion-forget-mao-xi-jinping-more-charles-de-gaulle. [33] Richard E. Neustadt and Ernest R. May, Thinking in Time: The Uses of History for Decision Makers (New York: Free Press, 1988). [34] Albert Wai, “S’pore Should Guard Against False Binary Choices in Chinese Public Diplomacy: Bilahari Kausikan,” Today [Singapore], June 27, 2018, https://www.todayonline.com/singapore/spore-should-guard-against-false-binary-choices-chinese-public-diplomacy-bilahari-kausikan. [35] “Rubio, Cardin Introduce Bill Targeting Chinese Aggression in South China Sea,” Office of Marco Rubio, March 15, 2017, https://www.rubio.senate.gov/public/index.cfm/press-releases?ID=643BAF13-9F8D-470D-BB66-86057B828A80. [36] For a practical discussion of authority in Chinese sourcing, see Paul H.B. Godwin and Alice L. Miller, “China’s Forbearance Has Limits: Chinese Threat and Retaliation Signaling and Its Implications for a Sino-American Military Confrontation,” China Strategic Perspectives, no. 6 (Washington: National Defense University Institute for National Strategic Studies, 2013): 29–37, http://ndupress.ndu.edu/Media/News/Article/717729/chinas-forbearance-has-limits-chinese-threat-and-retaliation-signaling-and-its/. [37] Alice L. Miller, “How Strong Is Xi Jinping?” China Leadership Monitor, no. 43 (Spring 2014), https://www.hoover.org/research/how-strong-xi-jinping. [38] For a general reference, see, Charles Perrow, Complex Organizations: A Critical Essay (New York: McGraw-Hill, 1986), 14–20. For a Chinese Communist Party-specific reference, see Victor Shih, Christopher Adolph, and Mingxing Liu, “Getting Ahead in the Communist Party: Explaining the Advancement of Central Committee Members in China,” American Political Science Review 106, no. 1 (February 2012): 166–87, https://doi.org/10.1017/S0003055411000566. [39] Samantha Hoffman and Peter Mattis, “Managing the Power Within: China’s State Security Commission,” War on the Rocks, July 18, 2016, https://warontherocks.com/2016/07/managing-the-power-within-chinas-state-security-commission. [40] For example, Michelle Van Cleave, “The Question of Strategic Counterintelligence: What Is It and What Should We Do About It?” Studies in Intelligence 51, no. 2 (2007): 1–14, https://www.cia.gov/library/center-for-the-study-of-intelligence/csi-publications/csi-studies/studies/vol51no2/strategic-counterintelligence.html. [41] Peter Mattis, “An American Lens on China’s Interference and Influence-Building Abroad,” Asan Forum, April 30, 2018, http://www.theasanforum.org/an-american-lens-on-chinas-interference-and-influence-building-abroad/; Anne-Marie Brady, Making the Foreign Serve China: Managing Foreigners in the People’s Republic (Lanham, MD: Rowman & Littlefield, 2003). [42] Examples of potential failures to prosecute successfully include incidents involving former FBI informant Katrina Leung and University of Management and Technology President Yanping Chen. Examples of apparent rushes to judgment include allegations involving Los Alamos nuclear scientist Wen Ho Lee, Temple University physics professor Xiaoxing Xi, and National Weather Service hydrologist Sherry Chen. [43] As a matter of disclosure, I should note that I have played a small, but long-standing, role in public conversations related to the Chinese Communist Party’s interference efforts, especially in Australia and the United States, since 2014. I have spoken with reporters and been cited in numerous related articles published by, among others, the Sydney Morning Herald, Australian Broadcast Corp., the Washington Post, Foreign Policy, the Economist, and Financial Times. [44] Kelsey Munro, “A Free Press Is a Magic Weapon Against China’s Influence Peddling,” Lowy Institute Interpreter, Dec. 18, 2017, https://www.lowyinstitute.org/the-interpreter/free-press-magic-weapon-against-china-influence-peddling. [45] Matt Nippert and David Fisher, “Revealed: China’s Network of Influence in New Zealand,” New Zealand Herald, Sept. 20, 2017, https://www.nzherald.co.nz/business/news/article.cfm?c_id=3&objectid=11924546. [46] Respectively, Bethany Allen-Ebrahimian and Josh Rogin. [47] Matt Coughlan, “Parliament Passes Sweeping New Foreign Influence Laws,” Sydney Morning Herald, June 29, 2018, https://www.smh.com.au/politics/federal/parliament-passes-sweeping-new-foreign-influence-laws-20180628-p4zofb.html; John Garnaut, “Australia’s China Reset,” Monthly (August 2018), https://www.themonthly.com.au/issue/2018/august/1533045600/john-garnaut/australia-s-china-reset. [48] Ethan Epstein, “How China Infiltrated U.S. Classrooms,” Politico, Jan. 16, 2018, https://www.politico.com/magazine/story/2018/01/16/how-china-infiltrated-us-classrooms-216327. [49] “Briefing on the Indo-Pacific Strategy,” State Department, April 2, 2018, https://www.state.gov/r/pa/prs/ps/2018/04/280134.htm. [50] Zach Dorfman, “How Silicon Valley Became a Den of Spies,” Politico, July 27, 2018, https://www.politico.com/magazine/story/2018/07/27/silicon-valley-spies-china-russia-219071. [51] Task Force on U.S.-China Policy, “U.S. Policy Toward China: Recommendations for a New Administration,” Asia Society and University of California San Diego, March 9, 2017, https://asiasociety.org/center-us-china-relations/us-policy-toward-china-recommendations-new-administration. [52] Jun Mai, “The Long, Arduous Process to Joining China’s Communist Party,” South China Morning Post, July 1, 2016, https://www.scmp.com/news/china/policies-politics/article/1984044/long-arduous-process-joining-chinas-communist-party. [53] Dan Levin and Amy Qin, “True or Faked, Dirt on Chinese Fuels Blackmail,” New York Times, June 17, 2013, https://www.nytimes.com/2013/06/18/world/asia/true-or-faked-dirt-on-chinese-fuels-blackmail.html. [54] Alexander Kwiatkowski, “Trade War Hits Trump Heartland, With Mines, Farms as Targets,” Bloomberg, June 15, 2018, https://www.bloomberg.com/news/articles/2018-06-15/u-s-commodities-in-china-s-crosshairs-as-trade-war-escalates. [55] Edward Luce, “Henry Kissinger: ‘We Are in a Very, Very Grave Period,’” Financial Times, July 20, 2018, https://www.ft.com/content/926a66b0-8b49-11e8-bf9e-8771d5404543. [56] Peter Mattis, “A Shaky Case for Chinese Deception,” War on the Rocks, Feb. 19, 2015, https://warontherocks.com/2015/02/a-shaky-case-for-chinese-deception-a-review-of-the-hundred-year-marathon/. ) [contents] => Array ( [title] => [contents] => ) ) [6] => WP_Post Object ( [ID] => 676 [post_author] => 144 [post_date] => 2018-08-21 12:13:58 [post_date_gmt] => 2018-08-21 16:13:58 [post_content] => Within states, the rise of populist, illiberal movements in the democracies of the West[1] and the increasing authoritarianism of China[2] at first appear to be unrelated developments. In the West, governments are losing their prestige, while the stature of China’s government has never been higher. The condition of Russia’s autocracy, meanwhile, continues to plunge. Its economy is growing weakly, and for the fourth year in a row life expectancy has declined. Yet the self-confidence and public approval of the Russian regime appear high. Surely these developments are so various that they could not be related to one another. Internationally, too, things seem to be moving in different directions. For the first time since the founding of the institutions of the current, post-World War II order, a European state has invaded a member of the United Nations and annexed its territory.[3] An East Asian state has relentlessly developed nuclear weapons in defiance of U.N. Security Council resolutions[4] and has successfully tested an intercontinental ballistic missile[5] in a campaign to expand its territory through the reunification of the Korean Peninsula. In contrast to these centralizing acts of aggression, a leading state has defected from the European Union[6] and secessionist movements are active in several other E.U. member states.[7] To complicate matters, the unity and cohesion of the North Atlantic Alliance is in crisis.[8] Surely these upheavals are so contradictory that their causes could not be similar. Many thoughtful commentators have observed that the apparent retrenchment of the liberal world order is a consequence of developments in the international system: the end of bipolarity,[9] the abandonment of Bretton Woods,[10] the weakening of U.N. Charter rules against intervention,[11] the rise of global terror groups,[12] the upsurge in the number of economic and political refugees,[13] and the novel policies of the Trump administration.[14] These writers are not wrong, exactly, but they have gotten the origins and dynamics of the breakdown of the liberal world order wrong: It’s not that these changes in the international order have prompted reactions in the countries that have commenced trade wars, weakened security alliances, and the rest. Rather, it’s that changes in the constitutional order of the constituent states of the international system have led to decisions and actions that are dismantling the world order that has been in place since 1949.[15] All these developments are, in fact, related to the deep change in the State that is underway. Nowhere is this more evident than in the United States, the leading industrial nation-state and the chief architect and defender of the current world order. It is no coincidence that the United States is not alone in experiencing the traumatic unsettling of its constitutional order, but it is difficult to understand the steady weakening of the international order without grasping first what is happening within America.

I. American Exceptionalism

American exceptionalism is usually defined as the rather preening claim that the United States is uniquely virtuous or wise. This is the inference doubtless intended by Ronald Reagan's speechwriter who bowdlerized John Winthrop’s address to his fellow pilgrims about “a shining city on a hill.”[16] This is also probably what President Barack Obama had in mind when he stated that all countries are exceptional[17] — that is, he didn’t mean that they are all paragons but, rather, he wanted to avoid offense by giving out a trophy to every team member who showed up. If the United States is exceptional, what is it an exception to? “The exception provides the rule” because it delimits the boundaries of the rule’s application. To what rule does America’s exception then provide a boundary?[18] The most famous remark in the study of the State and the exceptions to its rules was made by Carl Schmitt, who wrote, “Sovereign is he who decides on the exception.”[19] That, presumably, is because determining the exception provides the limit of the application of the rule and determining rules and their application is the prerogative of the sovereign. That brings us to the first step in the analysis of “American exceptionalism.” By this hackneyed phrase I do not mean what makes the United States so much better than other states but rather what makes America so American, as opposed to Japanese or South African, and thus the answer must be a cultural, contingent one. If it is true that he who is sovereign determines what is exceptional, then it is striking that it is the United States’ innovative ideas about sovereignty that define the American state and what makes the United States a constitutional outlier among states. The U.S. Constitution reflects the idea that the State is a limited sovereign: There are certain inalienable powers that are reserved to the People and cannot be delegated to the State. Therefore, the State’s power rests on a compact with the empowering people, a contract whose terms limit the scope of the state’s potential as well as its actual authority. As a rule of sovereignty, it might be thought oxymoronic to proclaim a limited sovereign that cannot determine the extent of its own powers. Yet this is precisely what makes the government of the United States exceptional: It cannot determine the boundaries of its authority — these are set by the U.S. Constitution — beyond recognizing that there are some boundaries it cannot cross. This explains the unusual powers given to lawyers and courts in the American system: The rule of law is not merely an instrument of the State but the basis for determining its scope. It is all too common to neglect this remarkably innovative feature of the American state. Louis Hartz, among others, once argued that American constitutional ideas derived from those of John Locke.[20] For Locke,
equality is natural to human beings because at a minimum all people own the same property: their labor. Freedom is preferable to authoritarianism because the best governments are those that win the consent of the people. Religious toleration is a good idea because faiths that are free will be stronger than those that are coerced. [21]
Well, not exactly. Precisely because all people do not own the same property, or rather the property they do own, their labor, has value that varies enormously from person to person, from time to time, from place to place, it is hard to ground equality in the material endowments of human beings. Rather, what made equality seem “natural” in the Western liberal tradition is that all peoples’ natures were held equally subject to divine judgment, redemption, and salvation, a concept that would be nonsensical if every person were not endowed with the freedom of conscience, on the basis of which he or she is to be judged. One might say “all men are created equal because they are endowed by their Creator with certain inalienable rights.” The equality enshrined in the Declaration of Independence — a document that provides the basis for the U.S. Constitution — is said to be “self-evident,”[22] the Creator of mankind having determined that it is to be so. [quote id="1"] Freedom is not preferable to authoritarianism because the “best” governments win the consent of the people. The term “best” is too vague to support this assertion and can be easily manipulated to prove the opposite proposition (as it often has been). Rather, freedom is preferable to authoritarianism because coercion is incompatible with the exercise of the conscience, which is the ultimate basis for constitutional decision-making in America. Religious toleration is a good idea not because faiths that are free will be stronger than those that are coerced. Much of the history of Christianity and Islam seems to prove just the opposite. Rather, religious toleration is preferable to intolerance because intolerance suppresses the ability to determine facts and also suppresses the faculties of reflection and reconsideration, all of which are essential attributes of the individual conscience if it must make judgments for which it will be held accountable. A recent essay on the U.S. Constitution concluded,
Far from [being] a blueprint for democracy, the Constitution kept real power away from ordinary people while protecting wealthy investors and slave-owners. It had nothing to do with human rights or social equality.[23]
In reality, the U.S. Constitution explicitly provides a blueprint for democracy by creating republican structures far more democratic than anything else at the time and that were designed to protect democracy by enabling it to defend itself against imperial opponents and to keep it from decaying into license and anarchy. Unlike the laws in other states of the late 18th century, the U.S. Constitution does not exempt aristocrats from taxation. To observe that it has “nothing to do with human rights” or equality reveals how little the writer understands the complexity of his subject, in which rights are often inferred from affirmative grants of power — that is, when the rule provides its exception. Such assertions as the one I have quoted, which would have been trite in Charles Beard’s day, are today part of a more general war on the legacy of America’s constitutional history. That war — and that legacy — will be discussed presently. For now, I will take up briefly just why the Constitution, in fact, has everything to do with human rights and equality. To do this will require going beyond the customary claims that the historiography of America’s founding pits liberalism and human rights against republicanism and state power. As I have suggested, the liberal, human rights consensus in America regarding the constitutional status of property rights, social mobility, individual freedom, and popular democracy arose from shared commitments to the decisive role of the conscience in determining the individual’s fate. This might more aptly be called the “Protestant ethic,”[24] which is incompatible with insecure property rights and promises, rigid and inherited class boundaries, and coercive rules that suppress individual expression. It is similarly incompatible with the derivation of legitimate governmental authority from traditions and processes that privilege the few while denying the many equality before the law. In a review tracing the historiography of America’s founding, Michael Millerman described this founding as “Lockean Liberalism versus Republicanism.” According to Millerman, Lockean liberalism
insists that America was founded on principles that recognize an abstract, natural right to life, liberty, property, and the pursuit of one’s private happiness. These natural rights are liberties that define a private sphere, to be protected from government interference. By contrast, [some argue that] Republicanism informed the Founders’ vision of what America is and should be. Republicanism elevates such notions as, ‘the common good,’ and ‘the public sphere’ above those of, ‘individual liberties’ and, ‘private happiness.’ Indeed, it can justify infringing on the latter for the sake of the former. Hence it is in conflict with Lockean liberalism.[25]
To anchor this in sacred American texts, it is often claimed that the liberal (Lockean) Declaration of Independence conflicts with the Republican (Machiavellian) Constitution.[26] This antinomy between liberalism and republicanism may indeed be relevant to British thought, where popular sovereignty is fully vested in the State and human rights are expressly granted, as in Magna Carta. But it gets wrong the American constitutional settlement and its most important element: that the purpose of putting the State under law is to protect human rights, and that the protection of human rights requires that the State treat its citizens equally. America’s peculiar constitutional innovation is to create a partial sovereign, removing from the State and irrevocably vesting in the People the power to determine the exception to the rules that govern the State. This constitutional structure implies an infinite list of human rights — actions that cannot be taken by the State — that can be inferred from the limited grant of governmental powers. A structure of enumerated powers, where any power not permitted is prohibited, necessarily implies a complement of unenumerated rights. This means the republic enlists Americans’ energies and its collective efforts and mutual obligations on behalf of individual rights. America is neither a conservative nor a liberal state but a state that seeks to conserve a liberal tradition. This is the American constitutional ethos. To understand this, we must see the Constitution as the embodiment, the instantiation, of the Declaration of Independence. Like most law students of my generation, I used to think that the Declaration of Independence had no legal status because it was not ratified like the Constitution. On this, as in so many things, the late Charles Black turned me around. I came to realize that the 1787 Constitution sought to create a state that was based on the Declaration, a state structure that could more perfectly execute the ideas of the Declaration than could the Articles of Confederation. Thus, the ratification of the Constitution also amounted to the ratification of the Declaration, nunc pro tunc. Indeed, this is why Abraham Lincoln alludes to the Declaration of Independence (“Four score and seven years ago”) when he makes the constitutional argument to refute secession. This also explains why the Declaration is a rich source for ethical argument — one of the six fundamental modalities of constitutional argument that collectively form the standard model taught today in first-year law classes[27] — just as the Federalist Papers are an abundant source for historical argument or the U.S. Reports for doctrinal argument. Ethical argument — the argument from the American constitutional ethos — is sometimes called “the argument from tradition.” This fits with my thesis that it is a liberal, human rights tradition that is conserved by the bulwarks and bastions, the watchtowers, moats, and high walls of America’s constitutional architecture. Indeed, you might say that the oath “to preserve, protect, and defend” is a pretty good metonym for “to fortify.” The American constitutional ethos is the United States’ unique paradigm of the liberal tradition that flows from the Reformation and the decisive role the liberal tradition gives to the individual conscience. If this tradition is prefigured in the late Renaissance[28] and the early Reformation,[29] then one might say that communism, with its focus on scientific orthodoxy and prediction, is a child of the Enlightenment two centuries later and that fascism, with its focus on the genetic basis for nationalism and collective behavior, is a child (if an illegitimate one) of Darwinian biology a century after that. The materialism of both these legacies is fundamentally incompatible with human consciousness (as Thomas Nagel has recently argued[30]) and thus with the role assigned to the conscience by parliamentarianism. The imperial state nations[31] that dominated the 19th century were the first modern states to unite the State and the nation. The industrial nation-states that came to dominate the 20th century also fused the constitutional order with nationalism. Thus, Americans whose state descends from a late-18th-century founding tend to forget that what is meant by a nation is a cultural, linguistic, ethnic, religious, and historic group — not a state. Indeed, there are some nations — like the Kurds, the Palestinians, or the Cherokee — that don’t have states. In the Bible, when Jonah’s fellow seafarers asked him, “Of what nation are you?” they were not inquiring about his citizenship.[32] Americans forget this because, in the United States, we make precisely this inquiry. In America, it is citizenship and not national origin that forms the basis for the nation. This is one important divergence from the constitutional traditions of Europe and one reason why fascism has never had much of a toehold in America. [quote id="2"] Marxism and fascism embrace progress, whether it be the progress of science or the steady winnowing of the survival of the best adapted. Both ideologies claim to rely on science and the social sciences, which are themselves thought to be indicia and drivers of progress. The Anglo-American liberal tradition, by contrast, embraces pluralism, the idea that we can never be too sure of any orthodoxy and must perforce tolerate dissent. It is skeptical of progress but always open to incremental change. This ideology has its roots in tolerance — that we conserve competing values over time by giving them a chance at their turn of Fortuna’s wheel. The liberal tradition assumes that, at any one moment, one not only can be wrong but, to some degree, almost certainly is. Certain progress, however, demands certainty. Thus, Marxism and fascism were illiberal in the sense that they wished to destroy the impediments to progress, which, it was said, included dissent and free debate. The liberal tradition not only had different sources than its enemies in the Long War that began in 1914 and ended in 1990 — it had different constitutional methods and assumptions as well.

II. The Outer Critique

This description of the American constitutional ethos has lately been under attack, both as to its outer manifestations abroad and its inner legacy for the American people. These critics deny that America’s values, political system, and history — the American constitutional ethos — are really unique and worthy of admiration. While conceding that the United States possesses certain exceptional traits — some dubious, it is said, like gun ownership; some mystifying and inexplicable (to their critics), like high levels of religiosity — this critique asserts that U.S. action abroad has nothing to do with this ethos. Instead, America’s international history, like that of every other state, has been determined primarily by power and the competitive context of the international system. This is the “outer” assault. (The “inner” assault will be dealt with in the next section.) The indictment has six counts. First, it is said that while Americans claim they are exceptional and indispensable — two different points, by the way — many states and many nations have made this claim. In fact, according to one such critic, “Among great powers, thinking you’re special is the norm, not the exception,”[33] and it is true that American “exceptionalism” is rarely carefully defined beyond the most general and anodyne terms. Second, although Americans like to think their country behaves better than other states, and certainly better than other great powers, this is false. The United States has an expansionist history that began with its conquest of the North American continent. The Allied strategic bombing campaigns in World War II killed 353,000 Germans,[34] and approximately 330,000 Japanese civilians were killed by American bombs.[35] The United States dropped more than seven million tons of explosives during the war in Indochina[36] and should be held responsible for the more than 600,000 civilian deaths in that war.[37] In the past three decades, U.S. military action has been directly or indirectly responsible for the deaths of 250,000 Muslims in Iraq, Afghanistan, and the Balkans.[38] U.S. drones tracking terrorists in at least five countries have killed an unknown number of innocent civilians. Third, while the United States proclaims its devotion to human rights and international law, it has refused to sign most human rights treaties, including the Ottawa Landmines Treaty,[39] and is not a party to the International Criminal Court.[40] Nor has the United States energetically moved in the direction of decommissioning its vast nuclear arsenal, as it committed to do, in principle, when it acceded to the Nonproliferation Treaty (NPT). In the face of such facts, how dare the United States claim to be devoted to the rule of law. Fourth, the United States has often made common cause with some of the worst dictators and human-rights-abusing regimes. Nor has its own record been without blemish: The abuse of prisoners at Abu Ghraib and the Bush administration’s reliance on torture and preventive detention are well-known. President Obama’s decision to conduct drone warfare without judicial warrants and even to wage war with questionable congressional authority suggests that such abuses are not a partisan or unusual matter. How dare the United States claim to be committed to human rights and due process. Fifth, U.S. claims to have defeated aggression in the 20th century ring hollow when the history of 20th-century conflicts is actually consulted. Although Americans tend to congratulate themselves for winning World War I, there are scholars who think the U.S. entry into the war only once the great European empires were thoroughly depleted was really aimed at succeeding those empires as the master of the international scene.[41] Woodrow Wilson may have proclaimed the war a fight to make the world “safe for democracy,”[42] but anyone can see in retrospect — it is asserted — that it was really the opening salvo in an effort to build an American empire in Europe. Critics also argue that, although Americans similarly congratulate themselves for having won World War II, most of the fighting was done in Eastern Europe and the main burden of defeating Hitler’s war machine was borne by the Soviet Union.[43] And while Americans also tend to think they won the Cold War all by themselves, they ignore the contributions of the courageous dissidents whose resistance to communist rule produced the “velvet revolutions” of 1989.[44] Sixth, although President Bill Clinton said that the United States was “indispensable to the forging of stable political relations,”[45] and his secretary of state, Madeleine Albright, even referred to the United States as “the indispensable nation,”[46] we will soon find out whether this is really true. Like the little boy who finds himself at the head of a marching band and thinks he is leading it through the streets, should the little boy turn down an alleyway, the band will go on without him. What states look to the United States for moral and political leadership today, critics ask? As Donald Tusk, the president of the European Council, remarked, today America doesn’t have “that many” friends.[47] Thus runs what one may call the “outer critique”: the exposé of the true history (it is said) of America’s interaction with the international system. Now let us engage these critiques, seriatim. It may be best to concede that every society and every state not only claims to be exceptional but is, in fact, exceptional. However, they are exceptional not in the way that Obama proclaimed: that every state, like every child, is “exceptional.”[48] Instead, what makes a society exceptional is simply what defines it in contrast to other societies. What makes a Japanese or an Australian not a Frenchman or a Ugandan is a function of his or her country and its culture and history. What makes a state exceptional is its unique constitutional ethos — the way it deploys its sovereignty to achieve legitimacy in the eyes of its people and territorial integrity in the face of its adversaries. This account of exceptionalism does not make the United States or any other state uniquely virtuous or successful, although the constitutional institutions that each state creates will channel the virtue of its citizens and martyrs and can accelerate its successes. It really does not say much at all except that it is important to determine the “nature of the exception” — how the state determines who will decide the ambit of law. In the case of the United States, this is its greatest legacy — not the hamburger, not the Corvette, not jazz or baseball — but the daring constitutional innovation by which the State was put under law. That America has sometimes failed to live up to that legacy only means that it is fallible. Indeed, the self-criticism that points out these flaws is actually a necessary part of such a pluralist, yet individualist, system. Now let us try a thought experiment as we work our way through the various charges of the “outer” indictment against the United States. Let us imagine the present as if the past simply omitted the role of the United States in world affairs. Such a thought experiment is merely a heuristic device to overcome the Anachronistic Fallacy that underlies so much of both the outer and inner critiques of American behavior. That Fallacy occurs when we transport our current context — not just its technology and wealth but its attitudes and mores — to earlier periods. Why, for example, didn’t earlier societies treat infectious diseases more successfully? Koch’s postulates weren’t “discovered”; they were formulated using ideas that had been present in many cultures for centuries. Should we reproach our ancestors for not having figured this out earlier? Or must we concede that without something like these postulates, the causal connection between disease and germs isn’t apparent? The Anachronistic Fallacy enshrines itself in an attitude that everything about the present can be held fixed and imported into the past even though the present is a result of the past.[49] [quote id="3"] It is true that by purchasing the Louisiana Territory from France and by pacifying lands through countless aggressions and defensive battles against the native population of the continent, the United States created an empire on our island continent. It is also true that along with these strategic accessions, including those of the Mexican War, the United States brought the American political culture westward. Would the West and Southwest have been better off today if California and Texas had remained under a European emperor like Napoleon or the Mexican dictator Santa Ana, even if we assume that his attitude toward slavery was preferable? Even if we concede that the life of the Native Americans was better before their defeat, despite their own internecine campaigns of ethnic cleansing against each other,[50] would this way of life have prevailed against the Spanish conquistadors? It didn’t in South America, where the native populations were better armed and organized to resist invasion than their northern counterparts. Have those states fared better with the legacy of Iberian colonial culture? Has the rule of law prospered as a guiding principle in politics even at the hortatory level? I am aware of the critique that American meddling and exploitation in Latin America have given rise to a structure of plunder that is responsible for the chronic poverty and underdevelopment there. Without addressing the economic merits of this description — which is sometimes reduced to “We’re poor; it’s their fault”[51] — does it lead to the conclusion that the U.S. presence in the hemisphere prevented its liberal practices and traditions from flourishing in Latin America? Those revolutionary leaders who expelled the European colonialists in the early 19th century felt otherwise.[52] The strategic bombing campaigns against Germany and Japan had elements that today one might think of as war crimes — the pitiless attacks against urban populations, for example. But those campaigns, fought with less precision and with cruder aerial weapons than are now deployed, played a crucial role in the defeat of the fascist dictatorships. Would those wars have been won without the Americans (and without their sometimes ruthless tactics)? If it is true, as I believe, that the atomic weapons used against Japan discredited Japanese fascism in the eyes of its own people, what would have been the outcome had there been no Manhattan Project? Besides the United States, only Germany had the technology, organized technocracy, and wealth to create nuclear weapons during World War II — suppose it had? If the Americans had not fought in the Pacific, would China and Korea have been liberated? If so, by whom? It is worth recalling that the Soviet Union did not even declare war against Japan until the Americans had used the atomic bomb against Hiroshima.[53] The U.S. mission in Vietnam did not achieve its war aim of preserving the South Vietnamese regime, but it did buy time for the other states in the region. No less an authority than Lee Kuan Yew[54] stated many times that without the U.S. effort in Vietnam, Singapore, Malaysia, Indonesia, Thailand, and perhaps even the Philippines would have become communist states.[55] His point is that the widely assumed discrediting of the “domino theory” only possesses a superficial credence because the United States did in fact intervene in Southeast Asia. The American occupation of Iraq was a fiasco, but can it really be assumed that the world would be safer today if Saddam Hussein and his psychopathic dynasty were still in power in Baghdad? Based on the testimony of his own scientists, Saddam planned to seek nuclear weapons at the earliest possible moment after sanctions were loosened[56] — sanctions that were themselves unraveling before the U.S. invasion.[57] Is it even conceivable that there would have been an agreement with Iran to cease production of nuclear weapons if Saddam were still in power? With respect to the suffering of the Iraqi people that the invasion and its aftermath brought, it seems highly relevant that, however much they rightly condemn the U.S.-led coalition’s failures during the occupation, a large majority of Iraqis, when polled in the early months of the occupation, supported the coalition’s invasion and removal of Saddam, saying it was “worth it.”[58] U.S. drones and special operations forces do inadvertently kill civilians. But are the number of civilian casualties not dramatically reduced by using drones and special forces instead of high-altitude bombing?[59] Is it true that countries that suffer from terrorist attacks, countries that implore the United States to aid their armed struggles, would be better off if America ceased trying to cripple those malevolent and savage terror networks? Would there be fewer Muslim deaths if the Islamic State still reigned over much of Iraq and Syria? Is Syria today better off because the United States chose not to intervene in force? What about the claim that the United States is hypocritical in its promotion of human rights and international law? It is true that America, along with other democracies, has refused to sign a number of human rights treaties that have been signed by dictators. However, scholars have persuasively argued that this is because the United States actually enforces those treaties in its domestic courts and therefore has to be very careful about its commitments.[60] Dictators, on the other hand, can sign whatever they please, knowing that such treaties amount to nothing but scraps of paper in their judicial systems. Is it really the case that the cause of human rights around the world would be further advanced today without the American efforts that fostered these rights? Without the Helsinki Accords?[61] Without the Universal Declaration of Human Rights? Landmines are useful in military defense because they persist — that is, they do not fail when a tactical position is lost, and they do not require the presence of troops to maintain a position in order to give fire. This is also why landmines pose a humanitarian problem. Long after the battle is over, they continue to explode when innocent civilians set them off. As a matter of technology, however, this does not have to be the case. Timing mechanisms can be used that cause landmines to deactivate within as little as a few hours or as long as 30 days, which is the maximum allowed under the Convention on Certain Conventional Weapons, to which the United States is a party.[62] By contrast, the Ottawa Convention of 1997, the Landmines Treaty, to which the United States is not a party, bans only anti-personnel mines and freely permits all types of anti-vehicular mines.[63] Yet few members of the public seem to realize that anti-vehicular mines can be every bit as dangerous to civilians as anti-personnel mines. Indeed, persistent anti-vehicular mines kill innocent civilians trying to use roads, thus preventing refugees from returning to their homes and keeping humanitarian assistance from reaching them. The public seems to be generally unaware that this treaty bans only one class of explosives or that the U.S. policy of deploying time-sensitive mines — mines that effectively turn themselves off — would do far more to reduce civilian casualties if it were universally adopted. In any case, it has been U.S. policy not to use any persistent landmines since 2010 and this policy covers all mines, those that target persons and as well as vehicles.[64] But why doesn’t the United States simply cease using landmines? To do so would mean removing mines from the 38th parallel that separates North from South Korea — virtually the only place where the United States currently deploys mines. It is a no man’s land where a highly dangerous and unpredictable regime has more than one million active soldiers in its military, with 70 percent of its ground forces positioned south of the Pyongyang-Wonsan line, most less than 100 miles from Seoul.[65] Without mines, no realistic conventional force could protect South Korea’s capital — which is less than 35 miles from the Demilitarized Zone — from a surprise attack by North Korean forces. Would it really be a step toward peace on the peninsula to remove this barrier? Suppose the United States stopped trying to defend South Korea. Would the Canadians and Swedes, who have been the most critical of the American deployment of landmines, be willing to take up these responsibilities with their own forces? Would South Korea long be content to remain a nonnuclear power when it becomes clear, as it will, that North Korea’s acquisition of nuclear weapons has been in service of that state’s aggrandizement? Would Japan? Surely the resulting nuclear proliferation to these states would not bring about a safer and more humane world. [quote id="4"] What about the International Criminal Court? What is America afraid of? That it would lose its impunity to commit war crimes? In the first place, it is important to remember that even if the United States were a party to the treaty that created the International Criminal Court, the jurisdiction of that tribunal would engage only when the United States fails to prosecute its war criminals. Yet, in 2005, U.S. military tribunals handed down stiff sentences to prison guards who abused Iraqi prisoners.[66] Of course, there is more to it than that. In fact, the U.S. government fears prosecutions by the court — unlike those prosecutions that are authorized and instructed by the U.N. Security Council, whose tribunals the United States supports — because it fears these would tip the balance against American intervention in marginal theaters, eroding the already vanishing public support in America for humanitarian intervention. Today, the world order depends upon American soldiers to protect human rights in Kosovo, Bosnia, Somalia, Haiti, and many other places. The spectacle of U.S. soldiers being tried before a foreign tribunal for acts committed while in the service of such interventions should give pause to anyone who wishes to persuade Washington to undertake those missions. It is difficult enough to muster public and congressional support for such deployments. The tragedies in Somalia, for example, led directly to the horrors in Rwanda because once American soldiers had been murdered and mutilated in Mogadishu there was no political will to engage them again in an African humanitarian mission. U.S. missions only make things worse, it is often said. So, suppose the Americans didn’t go abroad. Consider what life would be like now in the Balkans. When President Lyndon B. Johnson overruled the unanimous opinion of his advisers to press for the creation of the NPT regime, he may well have hoped that someday the world would be rid of nuclear weapons. This hope is enshrined in the treaty. But would the world be safer — would there be fewer states with nuclear weapons — if the American nuclear deterrent that protects so many other states was withdrawn? For technological and economic reasons, the United States may be the one nuclear power that could dispense with its nuclear arsenal. If it did, would the net number of nuclear powers actually decrease in the frenzy of rearmament that would ensue? The fourth charge of this “outer” indictment implies that war crimes, torture, and extrajudicial killings are as American as apple pie. Many states have resorted to torture — Britain in Ireland, France in Algeria, Israel in Palestine — and often on a scale considerably greater than the American abuses. It seems worth noting that the U.S. abuses, at Abu Ghraib and Guantanamo for example, were not exposed simply by intrepid journalists and litigators but by the U.S. Armed Forces themselves. The point isn’t that the American constitutional ethos ensures that the United States will not commit terrible wrongs but that it makes it possible — indeed depends upon — the United States owning up to its errors and attempting to avoid their repetition. In fact, a nuanced and accurate assessment of American action, when it succeeds in upholding the professed values of its ethos as well as when it fails, is both consistent with our constitutional principles and a necessary guide to a stronger footing in establishing a global order that reflects those values. The charge that drone warfare amounts to extrajudicial killing not only misunderstands changes underway in the nature of warfare,[67] it also fails to comprehend the constitutional system by which actors other than courts play a role in waging wars and in ensuring their lawfulness. Addressing the fifth charge that the United States entered World War I to further its economic interests and to provide the basis for an American imperial role in Europe, it is hard to credit that anyone familiar with Wilson’s policies truly believes him to have been seeking such a role in Europe (or anywhere else). The suggestion is not only ahistorical, it is laughable. The principle of self-determination with which Wilson is most prominently associated is anathema to the very concept of empire, as the empires that began World War I discovered for themselves. Nor is it germane to the question of the American contribution to the defeat of the Nazis in World War II to observe that the great sufferings and sacrifices of the Soviet Union are also responsible for the defeat of Germany. Again, consider a counterfactual: Is there a military strategist or historian alive who believes the Soviet Union could have successfully resisted Germany without American aid, without a second front, and without American strategic bombing? Aerial bombing of German cities forced Germany to move its fighter aircraft away from the Russian front, giving Soviet arms air superiority. Perhaps equally important, Germany was compelled to move its 88mm anti-aircraft guns back to Germany when these were the most effective anti-tank weapons against Russian forces.[68] As for the Cold War, the United States, of course, did not win it alone. Far from it. Indeed, U.S. strategy was to build alliances so that it could win with the help of others. But rather than solicit the opinion of critics who decried the American policy of containment at the time, why not ask the dissidents themselves in the states that were liberated? Do they believe that without the American presence in Germany the Berlin Wall would have come crashing down? Why not ask Angela Merkel, who grew up in East Germany?[69] Finally, although it may seem hubristic to cast the United States as “the indispensable nation,”[70] to use this claim as a slur raises many questions. For example, indispensable to what? I’ve tried to give a number of examples in which American participation abroad, often in the face of powerful domestic opposition, has proved a decisive force for good. But perhaps the more important question today is, if not the United States — if not U.S. leadership of the world order that was established with America’s allies after World War II — then to which state should that leadership be committed? To the European Union? To China? To Russia and Iran? To a deadlocked U.N. Security Council? Perhaps the proffered answer is that there should be no leader, that the world we seek should be multipolar. Well, that has been tried. The multipolar world brought us both World War I and World War II. No single state was powerful enough to prevent either of those conflicts. Is it just a coincidence that the number of wars in the world, and the number of deaths both of soldiers and civilians, has dramatically declined since America took up its role as leader of the Alliance?

III. The Inner Critique

This essay began by discussing the subject of constitutional law and now has strayed into strategy. Such is the stuff of the “outer critique” because it claims that America’s diplomatic and strategic initiatives have been a sham, that it’s just old-fashioned rent-seeking, in contrast to the inspiring claims made by the architects of the current world order. Thus, it should not surprise anyone that the “inner critique” focuses on discrediting the heroic myths of America’s own history. For law, strategy, and history are intertwined in a way that the separated academic disciplines tend to obscure. As disciplines, each has its own understanding of causal dynamics, and practitioners are loath to increase, rather than reduce, the multiplicity of causal accounts by suggesting that some factor outside their own field is at work. Within each subject — law, strategy, and history — academics and analysts expect economic or political or perhaps sociological causes to account for developments. They are unlikely to see any necessary relations among these three classical ideas themselves. They do not appear to depend upon each other. Historians record how events in one arena can affect events in another. A war is won, and the peace conference that ends the war writes the ensuing international law in the victor’s terms. Or a war is lost, and a new constitutional structure is imposed. The first happened after World War II in San Francisco;[71] the second, at about the same time, in Tokyo.[72] Thus, the outcomes of strategy change law — and it becomes history. Or, a revolution changes the constitutional order of a state, replacing the aristocratic armies of the 18th-century territorial state with the mass armies of conscripts of the imperial state nation, enabling Napoleon to conquer Europe. Thus, constitutional law shapes strategy, and this too is called history. Or, new developments come into play — a new religion drives migration across a continent or technological innovation creates a mobile cannon — and an empire falls, and with its strategic collapse, its laws also die. While such examples are familiar, we are inclined to see their inter-relationship — the relationship among law, strategy, and history — as the byproduct of cause and effect, the result of developments of which history is simply the record. But history is not brought into being by context, whether strategic or legal. History brings context into being. And as this context unfolds, strategy and law are made manifest in events. It is therefore hardly surprising that the “inner critique” would be an attack on the American perception of its own history.
For law and strategy are not merely made in history — a sequence of events and culminating effects — they are made of history. It is the self-portrayal of a society that enables it to have an identity. Without this self-portrayal, this identity, a society cannot establish its rule by law because every system of laws depends upon the continuity of legitimacy, which is an attribute of identity. Furthermore, without such a self-portrayal, no society can pursue a rational strategy because it is the identity of the society that strategy seeks to promote, protect, and preserve. One might say that without its own history, its self-understanding, no society can have either law or strategy, because it cannot be constituted as an independent political entity.[73]
The view of American history that forms the basis for the “inner critique” claims that the U.S. national narrative is born in original sin, three sins, actually: slavery, the theft of land, and genocide. On this telling of the American story, the United States has grown powerful owing to monstrous crimes. That history cannot provide Americans with a common morality, or common heroes, or a common etiquette where national symbols, like the American flag or an unsingable national anthem, are concerned because to make common cause with these cultural artifacts is to drink the draughts that have poisoned U.S. history from the founding. This account has significant implications for world order and for the U.S. defense of that order. Indeed, the connection between the inner and outer critiques now becomes clear: They are a combined effort to dismantle the foundation of America’s international behavior, which is America’s confidence in the constitutional ethos that makes the United States exceptional. As the writer I quoted at the outset of this essay put it,
The American myth is at a crossroads. Our old stories will not save us. We need a new way to understand ourselves … Our new story would admit that much of our democracy has grown despite the rules and myths of the Founders and the frontier, not because of them. Freed of those rules and myths … we would be less eager to use our war machine and to spend so much of our wealth upon it. More aware of our own sins, we would feel less driven to avenge them abroad.[74]
One seldom sees such a frank admission of the synergy of outer and inner critique. And it’s not hard to see the sort of constitutional rules the author has in mind. At one point in his essay, he complains that the Constitution forbids legislatures from abrogating private contracts as if this was a telling exposé of the class bias of the Constitution’s ratifiers (very few of whom were creditors) and not in fact a rule that actually protects the availability and lowers the costs of credit in a developing economy. In any case, this is hardly what is exceptional about the U.S. Constitution. What made the Constitution unique among modern states is the decisive role it gives to law and, in constitutional law, to the individual conscience. It is true that the Constitution forbids the federal and state governments from coercing the press or establishing religious orthodoxy, including requiring a religious test for office; that it protects free speech and requires the equal protection of the laws for all persons — not just citizens — and insists on due process in the application of its rules. The constitutions of many countries do these things. More importantly, America’s Constitution limits the scope as well as the application of state power. It does not allow the State to determine where its citizens shall live, whom they shall marry, how many children a family can have, or what profession or trade to pursue not through the granting of rights but through the withholding of power. It does not define the “nation” as an ethnic or religious or racial group but as a body of citizens. It does not enshrine a popular democracy with the power to oppress by means of the law but, instead, aims to protect democracy with complicated structures — like the protection of civil contracts, including marriage[75] — that safeguard human rights. By these means it seeks to transmute deadly political questions into legal ones. [quote id="5"] The original, unamended Constitution was written in the context of a particular way of life that was shared by the European societies that had colonized the Americas. That worldview was patriarchal, racist, and imperialistic, and America lives with its consequences and, for some few, even its ideology — although that worldview is no longer widely held in those countries. The Three-Fifths Compromise, for example, is often cited as a constitutional concession to the Southern states that allowed for counting slaves in determining the census, which was the basis for representation in the House of Representatives.[76] But it is also true that this provision, similar to the decision to count children and women in the census, aligns with the idea that a male head of family represents the household — including any slaves who lived there. That slaves were counted only as three-fifths of a person was resented and objected to by white Southerners,[77] only 5 percent of whom ever owned a slave. Indeed, this figure underscores the conclusion that racism and patriarchy, rather than mere slavery, were at the heart of the dispute that divided the Union: Perhaps as many as a third of white Southerners were members of households that owned slaves and thus subordinated them regardless of ownership.[78] This does not exonerate that generation but simply gives a clearer description of the cultural basis for American constitutional practices. A Constitution cannot be better than its people, but it can provide for the ways in which the People can change because their values are not only reflected in law, they are shaped by it. Bear in mind that, in the 18th century, when the original constitution was drafted, most of the world’s slaves were owned by Europeans, Africans, and Ottoman Muslims. Many more slaves were brought through the trans-Atlantic slave trade to European colonies elsewhere (especially Brazil) than to North America.[79] Slavery itself — the conquest of captives who were sold into bondage and traded like chattel — was an ancient practice that thrived in many countries and in the empires of native peoples in the Americas. American and British opinion that despised slavery was a notable advance. What made American slavery both so odious, however, and has left such a pernicious legacy was the racial element in American slavery, a result of 18th-century globalization and the slave trade with Africa, something that was deplored in the Declaration of Independence. There was no room in such an institution for an Epictetus. Thus, even freedmen were held by the U.S. Supreme Court to be ineligible for citizenship because race came to determine rights.[80] Yet in other ways, the United States appeared more progressive than its peer countries at the time, for instance, in imposing no property ownership requirement to vote in federal elections.[81] It required an internal war, the most costly in American lives of all U.S. wars combined, to correct this terrible and degrading defilement, but correct it the Americans did. Would the American continent have remained unsettled by Europeans if the Anglo-Dutch colonies had never been established? Even assuming harmony among Native American tribes, such an assumption seems uninformed. Is it reasonable to suppose that the other powers that coveted an American empire for themselves would have forborne the conquest of land from the Native Americans they found here? Or that slavery would not have come to the continent when those powers arrived with their own customs and practices? Were those countries less patriarchal, racist, and imperialist than Britain and the Netherlands? Was that the lesson of the French in Haiti or the Spanish in Latin America? And what exactly does “land theft” mean for states for whom conquest was legitimate under the law of nations, and for those native tribes whose nomadic practices defied the conventional concept of land ownership? Let me be clear: My plea for historical realism cannot excuse slavery or genocide, acts that have been condemned for millennia. It cannot condone Gen. Nathan Bedford Forrest’s or President Andrew Jackson’s racist policies. But it might give us a fuller picture of the intentions of Gen. Robert E. Lee, who detested slavery but shrank from the civil war he believed would attend immediate abolition,[82] and President Sam Houston, who was a protégé and supporter of Jackson’s but who was adopted by the Cherokee and fought to expose the behavior of government agents against them.[83] For the purposes of this essay, the question is not whether America’s history is pristine but whether that history would have been better in some other country’s hands and, given how history unfolded, what efforts America has made to overcome its negative legacies because that overcoming is an essential element in the ethos I have described above. If a people lose confidence in or despise or become disgusted by their history, it will result in their national enervation. It is evident that that is what the writer quoted above and many other critics of U.S. national security policy want. Perhaps this might be wise in some instances. You may want an aggressive society enervated, as the Germans and Japanese were after World War II. But a world order cannot be led or protected by a psychologically enfeebled society. With its allies, the United States created the current world order — the Charter of the United Nations, the Bretton Woods international financial system, the International Monetary Fund and World Bank, the North Atlantic Treaty Organization. The United States did not act alone and could never have succeeded by trying to impose a post-war order. The United States sought, by benefiting others, to secure itself. Thus, the enervation of the United States can be costly to many states and is not just a matter of one actor sitting out the dance. That is why the criticism that U.S. policy has been self-serving is so beside the point. Of course U.S. policy was self-serving; it would have been unsustainable otherwise. U.S. leadership attempted to serve American interests, however, by embedding the interests of other states in the United States’ calculus of costs and benefits. Such leadership imposes costs that will not be willingly borne by a society that believes its principal legacy is shame. In fact, such a society will turn inward toward the accumulation of material advantage because this is the surest means by which it can reassert its self-respect. Because of its pessimism and self-loathing, it will come to resent other states and hold them in contempt as the only way of salvaging its own history. With its allies, America has created and led the current world order because it has been strategically successful — it is rich and powerful — and because it has put that leadership in service of democratic and humane principles — the source of its reliance on law. To give an unrealistic and fanciful account of America’s history — for the fancy of some of its critics reflects their resentments and obsessions as fancies do — is to deny the true sources of that order to undermine it. And because strategy and law are made of history, this process works both ways: If the critiques are historically uninformed and naïve, then the defenses must take care not to degenerate into cheerleading,[84] but must be historically well-formed and sophisticated enough to avoid anachronism. This is not simply a matter of research; it also requires imagination, for most peoples in the late 20th and early 21st centuries have been spared and can scarcely imagine the atrocities that would have befallen them without U.S. leadership.[85] This is not to say — I emphasize — that American history is unblemished, or a more morally admirable one than that of other societies. Far from airbrushing the past, America must take its historic wrongs — for example, against African Americans and Native Americans at home and against Southeast Asians and Filipinos abroad — and study them to create a future that is more humane and more inclusive. When it functions as it was designed to work, the operation of the American constitutional ethos requires criticism, debate, and decisions according to conscience.

IV. Disillusion Leads to Dissolution

Unfortunately, the loss of common ground — even the willingness to engage in debate and discussion with those with whom one disagrees — can be facilitated by the decentralized U.S. constitutional system with as-yet uncalculated consequences. Thoughtful analysts such as the liberal James Fallows[86] and the conservative David Brooks[87] have celebrated the regeneration of the United States through the renewal of localities. While there are many inspiring stories — and not just in the United States,[88] because the devolutionary change in the constitutional order I have described elsewhere[89] is not limited to America — there are also grounds for concern about the “new localism.”[90] Fission is what happens when the nucleus of a large atom splits into smaller nuclei. When an atom undergoes nuclear fission, a few neutrons are ejected from the reaction. These free neutrons then react with other isotopes, like uranium 235, and cause more fissions. This is the phenomenon known as a chain reaction. This “fissioning” is what is happening, at a varying but often accelerating pace, within the political society of the United States. In 2004, the writer Bill Bishop described a development he called “the Big Sort,”[91] which traced the self-segregation of Americans into like-minded, evermore ideologically polarized communities. At the regional level, the sorting has been distinctly bicoastal, with New England, the mid-Atlantic, and Pacific regions growing more Democratic, while the West, Texas, and the South grew more Republican. At the same time, America’s coastal cities are becoming better educated, wealthier, and more cohesive while much of the center of the country is hollowing out. In most states, this trend has picked up momentum in the last 25 years. Just three states had less political polarization in 2012 than in 1992.[92] Like-minded people are clustering together, and clustering together seems to make people even more like-minded. Data from the 2016 presidential election show that this sorting is actually increasing: Although the Democratic candidate decisively won the popular vote, she carried only 487 of the 3,141 counties.[93] Four years before, Barack Obama won 689.[94] In 20 years, one-half the population will live in eight states; the 16 most populous states will have about 70 percent of the population. This means that 34 states will have about 30 percent of America’s people. [quote id="6"] This raises concerns that the people in two-thirds of the states (34) — the number required to call a constitutional convention or propose constitutional amendments — could amount to far less than two-thirds of the population and, similarly, that the population of three-quarters of the states — 38 states — could ratify the results even though they contain far less than three-quarters of the population. Whatever the formal consequences of this demographic and political sorting, there is a real threat to America’s common tradition when states that have become overwhelmingly representative of particular minorities — and I include white Anglo-Saxon Protestants — achieve overwhelming political power in the various states. For one thing, this could bring about a reversal of the constitutional dynamic of the last century and a half by which human rights were made uniform across all the states. Right now, a shoplifter or a bank robber arrested in Wyoming is read the same Miranda rights as one arrested in Florida. The same standards are applied banning prayer in schools, or forbidding the criminalization of abortion, or prohibiting the use of narcotics. This could change. Already, some states practice capital punishment while others do not — even though in most foreign states there is a uniform rule with respect to this question. In some instances, this fissioning of the national project might encourage welcome reform — I am thinking of the decriminalization of certain drug use. But there is also deadly risk to the American constitutional project in such market-driven variation, which treats the citizen more like a consumer than a member of the national polity. For example, I need hardly observe that racializing discourse would add an accelerant to this fissioning that could prove fatal to the American project.

V. Overcoming

Reflecting on the effort to create a world order after World War II, Dean Acheson wrote that his task was “just a bit less formidable than that described in the first chapter of Genesis. That was to create a world out of chaos; ours, to create half a world, a free half, out of the same material without blowing the whole [thing up] in the process.”[95] Acheson’s hope was to craft political and economic arrangements that would bind the anti-communist world through the benefits conferred by free trade, stable currencies, and the example of liberal democracies that flourished in the atmosphere of tolerance and open debate. Since the end of World War II, this world order has achieved more, perhaps, than Acheson could have hoped for. The United States has contributed money and ideas to expand trade, fight disease, encourage the development of new technologies, and increase the scope and lower the cost of global transport. Most importantly, America has risked its own safety to guarantee the safety of other states. It was American leadership of that world order that ended the Cold War, that reversed the Iraqi annexation of Kuwait, that finally halted the ethnic cleansing in the Balkans, and that brought peace between Israel and Egypt. It is hardly implausible to say that had the American state not developed as it has, the world would be poorer, less free, and, above all, less hopeful. America can vindicate its role in defending the world order if it can maintain confidence in its constitutional and strategic values. Those values reflect the American assumptions that alliances are a strategic asset (America’s first foray into world affairs was the Monroe Doctrine, guaranteed by the British Royal Navy[96]); that public policy abroad, like policy at home, must reflect America’s values, because the assertion of U.S. interests is the assertion of U.S. values; that security, wealth, and freedom flourish in environments that aim to nurture them and therefore are not the result of a mercantile competition that assumes that one person’s gain is another’s loss. America will succeed because constitutional innovation and free markets and ingenious technology are endeavors America is good at. But if America betrays its constitutional ethos — what makes it exceptional but cannot by itself make it exceptionally virtuous or good — it will lose confidence and won’t even try. The weakest link in U.S. national strategy is a growing lack of confidence in America’s institutions, its heritage, and its goals. When America has succeeded as a country, it is because it has relied on a sense of purpose and a shared belief that it can and will do the right thing because — not in every case and every time — it has subscribed to the ideals of the American constitutional ethos, and it has taken pains to convince others that it would act in accordance with that ethos. Without this sense of past achievements and of struggles overcome, America will necessarily fail, because it will have defeated itself. Other states, motivated by different principles, will take up this role. As William Burns, former deputy secretary of state, put it, “We can shape things or wait to get shaped by China and everybody else.”[97] Indeed, one can already see in the backlash that triumphed in the 2016 presidential election, the disabling of those steps — like the Trans-Pacific Partnership trade agreement— that would have been positive steps in countering the de-stabilizing rise of China.

•          •          •

The rise of populist movements in the West, the rise of China in the East, and the growth of social media all have converged to undermine America’s commitment to democratic republics, which are the structural form of the U.S. constitutional ethos, an ethos of liberal values that the United States has championed in the international system. The rise of these movements is widely taken to be an implicit criticism of that system. As has been observed earlier in this paper, it is an illiberal reaction to the unresponsiveness of the democratic political process. This reaction is supercharged by the growth of social media that bypasses the traditional processes of party politics and representative government. Perhaps equally important, social media platforms also bypass the intellectual gatekeepers of the mainstream media, upon which Americans have relied for a factual consensus to ground political debate. Champions of this development claim to be disenchanted with the corruption of the republican structure of representation. Thus, both populism and its developmental companion, social media, are fueled by disgust. As Jack Balkin has put it, populists are angry about the democratic shortfall of government,[98] and social media reflects anger about the unrepublican shortcomings of representation. The evidence, however, might be characterized differently. One might say that only a few political scientists care about democracy per se — or republicanism for that matter — and, while they obsess about the unrepresentative nature of the Senate and the loss of civic virtue in politicians, the public is not similarly preoccupied. Rather, what motivates contemporary populists and social media movements are the expectations that their members should be treated like customers and consumers rather than citizens, and thus that they bear no responsibility for reforming the system through their own participation, other than simply going on to another carrier or vendor to satisfy their needs. This attitude, reflected in various surveys, is especially worrying among the young.[99] Not only is there an illiberal “cohort shift,” with young citizens today being more skeptical about democracy than their parents were at the same age, but Millennials are also more likely to denigrate democratic institutions and to express a preference for a shift — to the right in some places, to the left in others — away from their liberal democratic heritage. In such a situation, the legitimacy of the State is put into play. It is a commonplace to say that the governments of the West are dysfunctional, but are there agreed-upon ends they are not functioning to achieve? A debate between Sanford Levinson and Balkin on this subject quickly revealed that “dysfunctional” was largely a label for “unable to pass the legislation I favor and that, I concede, is widely opposed.”[100] The admiration and confidence accorded the governing operating systems of the democratic republics are waning, but it is not their functionality as operating systems so much as their legitimacy — the relationship of the State to the People — that is responsible for this. The industrial nation-state is increasingly unable to make the claim that it will improve the material well-being of its people, and this claim has been the basis of the legitimacy of this constitutional order for more than a century. In fact, with regard to the spread of nuclear and chemical weapons; the growth of global terror networks, international criminal conspiracies, and hacking threats; the frequency and virulence of epidemics; climate change; the fragility of national financial institutions; the protection of national morals and culture; and the use of law to enforce moral codes, the State seems increasingly to be at a loss. [quote id="7"] This is why the rise of China is salient for the constitutional order of democratic republics. China provides an alternative, undemocratic, unrepublican form of government that does seem to be able to affirm its basis for legitimacy. The Chinese regime appears capable of increasing the total wealth of society steadily, consistently, even dramatically, while increasing the economic opportunities available to its people. As such, it is a harbinger of the new constitutional order of states that tends to treat its citizens as consumers.[101] Globally, Millennials are much more positive about President Xi Jinping and his ability to invest in the future, and they appear less troubled by his repression of political opposition and debate.[102] China’s rise in the international order is directly proportional to its success domestically, a success that depends upon jettisoning the basis for legitimacy that undergirds the other great states of the world. By contrast, in the United States the increase in racial antagonism and alienation, increasing income inequality and hostility to leading elites, considerable illegal immigration and the largest levels of legal immigration since 1890, and the executive’s increasing reliance on discretionary law enforcement all testify to an unraveling of the compact that forms the basis of democratic republics, the triumphant variant of the constitutional order of industrial nation-states. Calling this “dysfunction” is a misnomer. It is instead the transition from one constitutional order to another. One dreadful consequence of these developments is the growing, concomitant hatred of various groups within society. The white supremacists at Charlottesville are indeed more vile than the antifa mob at Berkeley, because racial and religious prejudice is uniquely odious, but both are marinated in hatred for the other. The threat to the rest of society arises, as Machiavelli observed, from the fact that tyranny comes to power by promising to crush the elements that the people hate. So what is to be done? The first step is to recognize that what is happening in the United States is happening everywhere and that it is a fundamental, not a transient, development. That development is the challenge to the current constitutional order of the United States and other dominant states by a new form of the State.[103] Absent this recognition, America is condemned to dealing with its problems piecemeal and ineffectively. But armed with this awareness, America can instead craft its own version of the coming constitutional order, just as it did with its predecessor within which we now live. Second, America must recognize those common threats that beset the world order: climate change, networked terror, an increasingly febrile and fragile international financial system, and the proliferation of technologies of mass destruction that could lead to the use of nuclear and biological weapons. Failure to deal with all of these matters is destroying the legitimacy of the industrial nation-state. Third, the United States must use those techniques it is best at: assimilation and tolerance against terror; the ingenuity of markets and innovative technology to manage climate change and global financial connectedness; deterrence and — if necessary — intervention by an alliance against the proliferation of weapons of mass destruction. America knows that it knows how to do these things because it has done them successfully in the past. If it is true that the international order is shaped by the most successful and dynamic constitutional order, then America must look to its domestic polity to begin these initiatives. As much as such efforts may cause unease, America must find a way to bring together the concerns of protesting students, grieving and outraged African-Americans who are victims of state violence, marginalized sexual groups of varying self-identification, working-class persons frustrated by apparently unstoppable immigration and evaporating economic opportunity, families discouraged by the coarsening of American life, and religious communities that feel themselves at war with the larger culture, along with the currently dispirited liberal advocates of tolerance, dispassion, and debate. That will mean inventing a constitutional order based on the traditional values of America’s democratic republic and legitimating its structure through an equal responsiveness to the concerns of those currently alienated from that structure and to those who are alienated from the apparent shifts in that structure. In this task, the sheer bloody-mindedness of the current administration may be a solvent, dissipating the hardening molds of distrust and making possible a new era of faith in the American enterprise. As a start, the United States should consider some regime of reparations for African-Americans — who regardless of their relationship to the practice of racial slavery still labor under its legacy — and Native Americans whose treaties with the United States remain to be honored. It is not simply a matter of obligation to these groups so much as it is a matter of self-respect. The way to redress foreign wrongs is to recover American self-confidence so that the United States can lead the international order to a prosperity and security that embraces all states that wish to participate in that order. Although it has been routinely misinterpreted by American politicians — or perhaps because it has been so misinterpreted — I want to close with a reflection on John Winthrop’s famous speech charting a vision for the American colonists in 1630. He said to the passengers of the Arbella, “We shall be as a city upon a hill, the eyes of all people are upon us.”[104] By this Winthrop emphatically did not mean that the excellence of America’s example would be the marvel of the age or that the virtue of the immigrants he addressed would make their enterprise a success. On the contrary, he knew that Europeans expected this experiment to fail. This is what Winthrop meant when he warned that “the eyes of all people are upon us.” His words were a caution to the new Americans to behave themselves, to take up their grave responsibilities and face their equally grave challenges with a decent respect for the opinions of mankind. An elected legislature was established. Ministers were prohibited from holding political office. Harvard College was founded six years later.[105] All this was done without a formal charter from the British government. No one can say where the American experiment is headed. Its strife and failures have also been a part, perhaps an indispensable part, of its triumphs. Its legacy — the American constitutional ethos — has redeemed its history. Now that ethos must create history anew.

Conclusion

In this essay I have argued that what makes the United States exceptional is also what makes it indispensable going forward as the states of the world adapt a new constitutional order to cope with the challenges that are overwhelming the industrial nation-state. The alternative is not a return to the halcyon days of national identity secured by laws that privileged a dominant ethnic or national group’s values in the governance of the State, not because these laws were morally wrong, though in some places and at some times they certainly were by the contemporary standards of today (for what other moral standards can we authentically apply?), but because such constitutional regimes cannot manage the challenges of the 21st century. The alternative is an illiberalism of both the left and the right that will infect the emerging market-states of the world just as fascism and communism infected the industrial nation-states of the last century. American exceptionalism does not make the United States uniquely virtuous or especially virtuous, for that matter; it merely makes the American state capable of adaptation according to rules that rely on the conscience. The constitutional challenges that currently beset states are responsible for the various, seemingly contradictory, crises that are occurring globally; these challenges can be resolved favorably to the values of the liberal tradition that ground the American constitutional ethos. Only a recognition of that ethos and its reinvigoration will enable the United States to play a positive role in leading the world to that resolution.   Acknowledgements: I should like to thank two remarkable research assistants, Andrew Elliott and Philippe Schiff, for their outstanding efforts on this essay; and I would also like to thank Megan Oprea, Autumn Brewington, and Ryan Evans for their editorial assistance at the Texas National Security Review. Of course, any errors of fact or judgment that remain, despite their help, are mine alone. Philip Bobbitt is Herbert Wechsler Professor of Federal Jurisprudence and Director of the Center on National Security, Columbia Law School and Distinguished Senior Lecturer at the University of Texas. Image: Wikipedia Commons [post_title] => America’s Relation to World Order: Two Indictments, Two Thought Experiments, and a Misquotation [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => americas-relation-to-world-order-two-indictments-two-thought-experiments-and-a-misquotation [to_ping] => [pinged] => [post_modified] => 2019-01-17 13:06:24 [post_modified_gmt] => 2019-01-17 18:06:24 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=676 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => The State is undergoing a crisis of legitimacy owing to its inability to cope with novel problems of weapons proliferation, transnational threats including climate change, a fragile global financial infrastructure, cultural influences carried by electronic communications, and an undemocratic regime of human rights law. These fatal inadequacies are summoning forth a new constitutional order, the latest in a series of century-spanning archetypal regimes that have arisen since the Renaissance and the collapse of feudalism. A backlash against the harbingers of this new order, however, is crippling the development of those modes of action that are required to deal with the underlying crisis. In the United States, this crippling reaction has operated in tandem with a formidable critique of America’s right to lead an international order that has brought unprecedented prosperity and low levels of warfare to the world. This backlash is as much a reaction to the critique of the United States’ political and cultural heritage as it is to the governing techniques that are harbingers of this new constitutional order. Only a restoration of faith in America’s constitutional and strategic heritage — its exceptional ethos — will make possible the preservation of liberal traditions of governing in the new world that is being born. To accomplish this, we must answer the critiques by identifying what is the animating American quality that entitles the United States to compete for leadership. [pubinfo] => [issue] => Vol 1, Iss 4 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => [F]reedom is preferable to authoritarianism because coercion is incompatible with the exercise of the conscience... ) [1] => Array ( [author] => [style] => right [text] => The liberal tradition assumes that, at any one moment, one not only can be wrong but, to some degree, almost certainly is. ) [2] => Array ( [author] => [style] => left [text] => [W]hat makes a society exceptional is simply what defines it in contrast to other societies. ) [3] => Array ( [author] => [style] => right [text] => The principle of self-determination with which Wilson is most prominently associated is anathema to the very concept of empire... ) [4] => Array ( [author] => [style] => left [text] => If a people lose confidence in or despise or become disgusted by their history, it will result in their national enervation. ) [5] => Array ( [author] => [style] => right [text] => Like-minded people are clustering together, and clustering together seems to make people even more like-minded. ) [6] => Array ( [author] => [style] => left [text] => The industrial nation state is increasingly unable to make the claim that it will improve the material well-being of its people... ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 838 ) [authors] => Array ( [0] => 144 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] E.g. the Front National in France (see James McAuley, "As France's Far-Right National Front Rises, Memory of Its Past Fades," Washington Post, Jan. 26, 2017, https://www.washingtonpost.com/world/as-frances-far-right-national-front-rises-memory-of-its-past-fades/2017/01/26/dfeb0d42-e1ac-11e6-a419-eefe8eff0835_story.html), the M5S in Italy, the ÖVP and FPÖ in Austria (see Jon Henley, "Rise of Far-Right in Italy and Austria Gives Putin Some Friends in the West," Guardian, June 7, 2018, https://www.theguardian.com/world/2018/jun/07/rise-of-far-right-in-italy-and-austria-gives-putin-some-friends-in-the-west), and the U.K. Independence Party (UKIP) in Britain (see Alex Hunt, "UKIP: The Story of the UK Independence Party's Rise," BBC.com, Nov. 21, 2014, https://www.bbc.com/news/uk-politics-21614073). [2] See Xi Jinping’s removal of presidential term limits (Steven Lee Myers, "With Xi's Power Grab, China Joins New Era of Strongmen," New York Times, Feb. 26, 2018, https://www.nytimes.com/2018/02/26/world/asia/china-xi-jinping-authoritarianism.html) and China’s massive and invasive domestic surveillance program (James A. Millward, "What It's Like to Live in a Surveillance State," New York Times, Feb. 3, 2017, https://www.nytimes.com/2018/02/03/opinion/sunday/china-surveillance-state-uighurs.html). [3] Steven Lee Myers and Ellen Barry, “Putin Reclaims Crimea for Russia and Bitterly Denounces the West,” New York Times, March 18, 2014, https://www.nytimes.com/2014/03/19/world/europe/ukraine.html. [4]Alex Beuge et al., “A Guide to North Korea’s Advance Towards Nuclear Weapons,” Guardian, Nov. 29, 2017, https://www.theguardian.com/world/2017/sep/11/how-has-north-koreas-nuclear-programme-advanced-in-2017. [5] Josh Smith, “How North Korea’s Latest ICBM Test Stacks Up,” Reuters, Nov. 28, 2017, https://www.reuters.com/article/us-northkorea-missiles-technology-factbo/how-north-koreas-latest-icbm-test-stacks-up-idUSKBN1DT0IF. [6] Letter from U.K. Prime Minister Theresa May to E.U. President Donald Tusk, March 29, 2017, https://assets.publishing.service.gov.uk/government/uploads/system/uploads/attachment_data/file/604079/Prime_Ministers_letter_to_European_Council_President_Donald_Tusk.pdf [7] Will Martin, “This Map Shows the European Regions Fighting to Achieve Independence,” Independent, Oct. 2, 2017, https://www.independent.co.uk/news/world/politics/map-european-regions-fighting-for-independence-vote-europe-countries-state-a7979051.html. [8] See, among many commentators, Robert Kagan, “Things Will Not Be Okay,” Washington Post, July 12, 2018, https://www.washingtonpost.com/opinions/everything-will-not-be-okay/2018/07/12/c5900550-85e9-11e8-9e80-403a221946a7_story.html. [9] Alan S. Alexandroff and Andrew F. Cooper, eds., Rising States, Rising Institutions: Challenges for Global Governance (Brookings Institution Press, 2010). [10] Richard Hurowtiz, “What We Can Learn From Bretton Woods,” Weekly Standard, July 1, 2017, https://www.weeklystandard.com/richard-hurowitz/what-we-can-learn-from-bretton-woods. See also G. John Ikenberry, “The End of Liberal International Order?” International Affairs 94, no. 1 (January 2018): 7–23, https://doi.org/10.1093/ia/iix241. [11] Jayshree Bajoria and Robert McMahon, “The Dilemma of Humanitarian Intervention,” Council on Foreign Relations, June 12, 2013, https://www.cfr.org/backgrounder/dilemma-humanitarian-intervention. [12] See, e.g., Janet Daley, “Islamic Terror Could Kill Off the West’s Liberal Values,” Telegraph, July 30, 2016, https://www.telegraph.co.uk/news/2016/07/30/islamist-terror-could-kill-off-the-liberal-values-of-the-liberal/. [13] “Figures at a Glance,” U.N. High Commissioner for Refugees, June 19, 2017, http://www.unhcr.org/en-us/figures-at-a-glance.html. [14] Kori Schake, “The Trump Doctrine Is Winning, and the World Is Losing,” New York Times, June 16, 2018, https://www.nytimes.com/2018/06/15/opinion/sunday/trump-china-america-first.html. [15] For a history of the constitutional orders of the modern state, see Philip Bobbitt, The Shield of Achilles: War, Peace and the Course of History (New York: Knopf, 2001). Industrial nation-states first appeared in the last third of the 19th century and by the end of World War I had largely supplanted the imperial state nations of the great powers that dominated the 19th century. We still live within this constitutional order, but elements of its challenger, the informational market state, are already evident — for examples, see Philip Bobbitt, Terror and Consent: The Wars for the Twenty-First Century (New York: Knopf, 2008) — and have provoked the backlash to which I refer. This essay is not about a new constitutional order, nor is it principally about the backlash that is taking place in many societies. Rather it is about the role of the United States in managing this transition in the face of powerful critiques of its past actions. [16] Ronald Reagan’s election-eve address, “A Vision for America,” Nov. 3, 1980, http://www.presidency.ucsb.edu/ws/?pid=85199. [17] “I believe in American exceptionalism, just as I suspect that the Brits believe in British exceptionalism and the Greeks believe in Greek exceptionalism,” Obama said in an April 4, 2009, news conference. White House transcript is available at: https://obamawhitehouse.archives.gov/the-press-office/news-conference-president-obama-4042009. [18] All persons born in the United States are eligible to serve as president, except those who would be younger than age 35 when inaugurated. The exception provides the rule that one must be 35 years of age to be president. [19] Carl Schmitt, Politische Theologie, 8th ed. (1934), ch. 113 (“Souverän ist, wer über den Ausnahmezustand entscheidet”). [20] See, generally, Louis Hartz, The Liberal Tradition in America 2nd ed. (Wilmington, MA: Mariner Books, 1991). [21] Alan Wolfe, “Nobody Here but Us Liberals,” New York Times, July 3, 2005, https://www.nytimes.com/2005/07/03/books/review/nobody-here-but-us-liberals.html. [22] Declaration of Independence, 1776, para. 2. [23] J.M. Opal, “America Should Never Be ‘Great Again,’” Time, April 5, 2017, http://time.com/4726868/donald-trump-america-great-again-myth/. [24] Max Weber, Die protestantische Ethik und der Geist des Kapitalismus [The Protestant Ethic and the Spirit of Capitalism] (1905). [25] Michael Millerman, “The Historiography of America’s Founding: Lockean Liberalism versus Republicanism,” Telos, July 16, 2013, http://www.telospress.com/the-historiography-of-americas-founding-lockean-liberalism-versus-republicanism/. [26] See, e.g., Luigi Marco Bassani, “The Bankruptcy of the Republican School,” Telos 124 (Summer 2002): 131–57. [27] See generally Philip Bobbitt, Constitutional Fate: Theory of the Constitution (New York: Oxford University Press, 1982), and Philip Bobbitt, Constitutional Interpretation (Hoboken, NJ: Blackwell, 1992). The six fundamental forms of constitutional argument — or “modalities” of argument, as they are sometimes called — are: historical, textual, doctrinal, structural, prudential, and ethical. [28] Niccolo Machiavelli, The Prince, ed. and trans. Peter Bondanella (New York: Oxford University Press, 2005); Philip Bobbitt, The Garments of Court and Palace: Machiavelli and the World that He Made (New York: Atlantic Monthly Press, 2013), 10, 16. [29] Martin Luther, Martin Luther’s 95 Theses (2008), ebook available at http://www.gutenberg.org/cache/epub/274/pg274-images.html. [30] Thomas Nagel, Mind and Cosmos: Why the Materialist Neo-Darwinian Conception of Nature Is Almost Certainly False (New York: Oxford University Press, 2012), 8, 13–16, 127–28. [31] My terminology for the constitutional order that achieved dominance in the 19th century; it sought popular allegiance on the grounds that the State would exalt the nation by fusing it with the State. See Bobbitt, Shield of Achilles, 144–204; also Philip Bobbitt, Terror and Consent: The Wars for the Twentieth Century (New York: Knopf, 2008), 26 et seq. [32] Jonah 1:8. [33] Stephen M. Walt, “The Myth of American Exceptionalism,” Foreign Policy, Oct. 11, 2011, http://foreignpolicy.com/2011/10/11/the-myth-of-american-exceptionalism/. [34] Richard Overy, The Bombers and the Bombed: Allied Air War Over Europe, 1940–1945 (New York: Viking, 2014), 304–7. [35] Michael Tillman, Whirlwind: The Air War Against Japan 1942–1945 (New York: Simon & Schuster, 2010), 256. [36] Michael Clodfelter, Vietnam in Military Statistics: A History of the Indochina Wars, 17921991 (Jefferson, NC: McFarland, 1995), 225. [37] Guenter Lewy, America in Vietnam (New York: Oxford University Press, 1978), 442–53. [38] I am by no means convinced of these figures, to say nothing of the blithe assumptions of “direct or indirect responsibility,” but they are a customary feature of the critique and it would not change minds if the numbers were significantly less (even if more accurate). [39] Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction; see treaty status information at http://www.icbl.org/en-gb/the-treaty/treaty-status.aspx. [40] For a summary of the U.S. policy toward the court per an Obama administration National Security Strategy, see: https://www.state.gov/j/gcj/icc/. [41] See Howard Zinn, A People’s History of the United States (New York: Harper, 1980), 362; Richard Hofstadter, The American Political Tradition and the Men Who Made It (New York: Knopf, 1948), 266; and “Trials of the Great War 1914–2014: War and the American Century,” https://www.youtube.com/watch?v=E_hNqxTp3UI; Craig Calhoun, Frederick Cooper, and Kevin W. Moore, eds., Lessons of Empire: Imperial Histories and American Power (New York: New Press, 2006); Michael Mann, Incoherent Empire (London: Verso, 2003). [42] 55 Cong. Rec. 1, 120 (1917). [43] Walt, "Myth of American Exceptionalism." See also Ishaan Tharoor, “Don’t Forget How the Soviet Union Saved the World From Hitler,” Washington Post, May 8, 2015, https://www.washingtonpost.com/news/worldviews/wp/2015/05/08/dont-forget-how-the-soviet-union-saved-the-world-from-hitler/. [44] Walt, "Myth of American Exceptionalism." [45] A National Security Strategy of Engagement and Enlargement, White House (July 1994), 5, http://nssarchive.us/NSSR/1994.pdf. [46] Interview by Matt Lauer with Secretary of State Madeleine K. Albright, “Today Show,” Feb. 19, 1998, https://1997-2001.state.gov/statements/1998/980219a.html. [47]Remarks by President Donald Tusk on E.U.-NATO cooperation, European Council, July 10, 2018, http://www.consilium.europa.eu/en/press/press-releases/2018/07/10/remarks-by-president-donald-tusk-on-eu-nato-cooperation/. [48] Schake, "Trump Doctrine Is Winning." [49] Note, this is not the same as saying we must not judge an earlier society by our current moral, political, and aesthetic values; as I remark later in the essay, “Who else’s judgments would we apply,” the consciousnesses of earlier cultures being so inaccessible to us. [50] See Jeffrey P. Blick, “The Iroquois Practice of Genocidal Warfare (1534–1787),” Journal of Genocide Research 3, no. 3 (2001): 405–29, https://doi.org/10.1080/14623520120097215. [51] “Author Changes His Mind on ’70s Manifesto,” New York Times, May 23, 2014, https://www.nytimes.com/2014/05/24/books/eduardo-galeano-disavows-his-book-the-open-veins.html. [52] See Simón Bolívar’s Letter from Jamaica, Sept. 6, 1815. “As long as our countrymen do not acquire the abilities and political virtues that distinguish our brothers of the north, wholly popular systems, far from working to our advantage, will, I greatly fear, bring about our downfall. … Although I seek perfection for the government of my country, I cannot persuade myself that the New World can, at the moment, be organized as a great republic. Since it is impossible, I dare not desire it; yet much less do I desire to have all America a monarchy because this plan is not only impracticable but also impossible. Wrongs now existing could not be righted, and our emancipation would be fruitless. The American states need the care of paternal governments to heal the sores and wounds of despotism and war.” Selected Writings of Bolivar, trans. Lewis Bertrand (New York: Colonial Press, 1951). Accessed via Brown University Center for Digital Scholarship: https://library.brown.edu/create/modernlatinamerica/chapters/chapter-2-the-colonial-foundations/primary-documents-with-accompanying-discussion-questions/document-2-simon-bolivar-letter-from-jamaica-september-6-1815/. [53] Though violent clashes had occurred in 1939 between the two powers. [54] First prime minister of Singapore and leader of the People’s Action Party that campaigned for Singapore’s independence from Britain. [55] See, e.g., Lee Kuan Yew, From Third World to First: The Singapore Story, 19652000 (New York: HarperCollins, 2000), 467, 573. [56] See statement by David Kay on the interim progress report on the activities of the Iraq Survey Group, hearing before the House Permanent Select Committee on Intelligence, House Appropriations Committee’s subcommittee on defense, and the Senate Select Committee on Intelligence, Oct. 2, 2003, https://www.cia.gov/news-information/speeches-testimony/2003/david_kay_10022003.html. [57] David Rieff, “Were Sanctions Right?” New York Times, https://www.nytimes.com/2003/07/27/magazine/were-sanctions-right.html. [58] Richard Burkholder, “Gallup Poll of Iraq: Liberated, Occupied, or in Limbo?” Gallup, April 28, 2004, https://news.gallup.com/poll/11527/gallup-poll-iraq-liberated-occupied-limbo.aspx. [59] Daniel L. Byman, “Why Drones Work: The Case for Washington’s Weapon of Choice,” Brookings Institution, June 17, 2013, https://www.brookings.edu/articles/why-drones-work-the-case-for-washingtons-weapon-of-choice/. [60] See Oona A. Hathaway, “Between Power and Principle: An Integrated Theory of International Law,” University of Chicago Law Review 72 (2005): 469, 499. “States that are more likely to engage in domestic enforcement of the terms of international legal agreements are therefore less likely to commit to them in the first place, all other things held equal.” [61] See Michael Cotey Morgan, The Final Act (Princeton, NJ: Princeton University Press, 2018). [62] Convention on Prohibitions or Restrictions on the Use of Certain Conventional Weapons; see Protocol on Prohibitions or Restrictions on the Use of Mines, Booby-Traps and Other Devices, Technical Annex 3(a). [63] See Convention on the Prohibition of the Use, Stockpiling, Production and Transfer of Anti-Personnel Mines and on Their Destruction, Art. 1, § 1(a). [64] For more on U.S. policy on landmines, see: https://2001-2009.state.gov/t/pm/wra/c11735.htm. [65] Dave Majumdar, “North Korea’s Army by the Numbers: 4,300 Tanks and 200,000 Lethal Special Forces,” National Interest, Feb. 1, 2018, http://nationalinterest.org/blog/the-buzz/north-koreas-army-by-the-numbers-4300-tanks-200000-lethal-24301. [66] See, for example, “Graner Gets 10 Years for Abu Ghraib Abuse,” Associated Press, Jan. 16, 2005, https://web.archive.org/web/20121231082819/http://www.msnbc.msn.com/id/6795956; “Harman Found Guilty for Abu Ghraib,” Army News Service, May 19, 2005, https://web.archive.org/web/20071123112051/http://www4.army.mil/news/article.php?story=7348; “Two More Soldiers Sentenced for Abu Ghraib Abuse,” Army News Service, Feb. 10, 2005, https://web.archive.org/web/20050915220948/http://www4.army.mil/ocpa/read.php?story_id_key=6843. [67] See Philip Bobbitt, “The ACLU Goes to War,” Just Security, Nov. 25, 2016, https://www.justsecurity.org/34885/aclu-war/. [68] See Antony Beevor, “Freedom Sweeps Europe — But at What Cost?” Guardian, Sept. 10, 2009, https://www.theguardian.com/world/2009/sep/10/second-world-war-liberation-europe; see also Antony Beevor: “Hitler’s anger with Goering over the Luftwaffe’s inability to stop Allied bombers getting through, forced Nazi Germany to withdraw the bulk of its fighter squadrons and its 88mm anti-aircraft guns from the eastern front to defend the Reich. By 1944, there were just 1,200 heavy anti-aircraft guns left for the whole of the eastern front, yet more than 7,000 back in Germany. And if these 88mm anti-aircraft guns, which were also the most devastating anti-tank weapons of the whole war, had not been withdrawn from the eastern front, even more Soviet soldiers would have died. But the most decisive contribution to the outcome of the war was the withdrawal of Luftwaffe fighter formations from the eastern front to defend German cities. This gradually tipped the balance of air superiority on the eastern front away from the Luftwaffe, to such a degree that by 1944, it could hardly send any reconnaissance flights over Soviet lines. This allowed the Red Army to prepare the huge deceptions which culminated in Operation Bagration, the destruction of Army Group Centre in Belorussia, the most devastating victory of the whole war.” Antony Beevor, email message to author. [69] Werner Reutter, “Who’s Afraid of Angela Merkel? The Life, Political Career, and Future of the New German Chancellor,” International Journal 61, no. 1 (2005/2006): 214, 216, https://www.jstor.org/stable/40204139. [70] See footnote 31. [71] Multilateral Treaty of Peace with Japan, Sept. 8, 1951, 3 U.S.T. 3169. [72] Surrender by Japan, Terms Between the United States of America and the Other Allied Powers and Japan, Sept. 2, 1945, U.S.–Japan, 59 Stat. 1733. [73] See Bobbitt, Shield of Achilles, 5–6. [74] Schmitt, Politische Theologie (emphasis added). [75] Brief for the United States on the Merits Question, United States v. Windsor, 570 U.S. 744 (2013) (No. 12-307), https://www.justice.gov/sites/default/files/osg/briefs/2012/01/01/2012-0307.mer.aa.pdf. [76] See Paul Finkelman, “How the Proslavery Constitution Led to the Civil War,” Rutgers Law Journal 43, no. 3 (2013): 405, https://papers.ssrn.com/sol3/papers.cfm?abstract_id=2243060. [77] South Carolina and Georgia both voted for a proposal to count slaves “as equal to Whites in the apportionment of Representation.” See Madison Debates, “Wednesday, July 11, 1787,” Yale Law School Avalon Project, http://avalon.law.yale.edu/18th_century/debates_711.asp. [78] Information from the 1860 Census is available at http://www.civil-war.net/pages/1860_census.html. [79] See Trans-Atlantic Slave Trade Database estimates here: http://www.slavevoyages.org/assessment/estimates. [80] Dred Scott v. Sandford, 60 U.S. 393 (1857). [81] Akhil Amar, America’s Constitution: A Biography (New York: Random House, 2012), 66–67. [82] “In this enlightened age, there a few I believe, but what will acknowledge that slavery as an institution, is a moral & political evil in any Country.” Robert E. Lee, Dec. 27, 1856. See: http://fair-use.org/robert-e-lee/letter-to-his-wife-on-slavery. [83] In 1830, Houston began representing the Cherokee nation and other Native American tribes in Washington. See his absorbing series of articles for the Arkansas Gazette defending Native American rights and exposing the exploitation of Native Americans by U.S. officials. Jack Gregory and Rennard Strickland, Sam Houston with the Cherokee, 18291833 (Austin: University of Texas Press, 1967); Amelia Williams and Eugene C. Barker, The Writings of Sam Houston, 18131863 (Austin: University of Texas Press, 1938). [84] An observation urged on me by my research assistant Andrew Elliott. [85] I am indebted to my research assistant Philippe Schiff for this point. [86] James Fallows and Deborah Fallows, Our Towns: A 100,000-Mile Journey into the Heart of America (New York: Pantheon, 2018). [87] David Brooks, “The American Renaissance Is Already Happening,” New York Times, May 14, 2018, https://www.nytimes.com/2018/05/14/opinion/the-american-renaissance-is-already-happening.html. [88] “This trend is accelerating and moving outside the U.S. … Copenhagen, Hamburg and Kings Cross in London are held up as good examples. … [M]illennials are more collaborative … and want to create a new narrative from what they see at the national level.” “The Untold Good News Story of America Today,” BBC News, June 18, 2018, https://www.bbc.co.uk/news/world-us-canada-44349211. [89] Philip Bobbitt, “The Decay and Renewal of the American Constitutional Order,” in Nation, State and Empire (Engelsberg Seminar, 2017). [90] Bruce Katz and Jeremy Nowak, The New Localism: How Cities Can Thrive in the Age of Populism (Brookings Institution Press, 2018). [91] Bill Bishop, The Big Sort: Why the Clustering of Like-Minded America Is Tearing Us Apart (Wilmington, MA: Mariner Books, 2008). [92] Ron Johnston, David Manley, and Kelvyn Jones, “Spatial Polarization of Presidential Voting in the United States, 1992–2012,” Annals of the American Association of Geographers 106, no. 5: 1047, https://doi.org/10.1080/24694452.2016.1191991. [93] “Thanks to a Bad Map and Bizarre Math, Breitbart Can Report That Trump Won the REAL Popular Vote,” Washington Post, Nov. 15, 2016, https://www.washingtonpost.com/news/the-fix/wp/2016/11/15/thanks-to-a-bad-map-and-bizarre-math-breitbart-can-report-that-trump-won-the-real-popular-vote/. [94] “Obama Won a Record-Low Share of U.S. Counties — But He Won Them Big,” NBC News, Dec. 4, 2012, http://www.nbcnews.com/id/50073771/t/obama-won-record-low-share-us-counties-he-won-them-big/. [95] Dean Acheson, Present at the Creation: My Years in the State Department (New York: W.W. Norton, 1969), "Apologia Pro Libre Hoc" (1987). [96] See Jay Sexton, The Monroe Doctrine: Empire and Nation in Nineteenth-Century America (New York: Hill and Wang, 2011). [97] Dexter Filkins, “Rex Tillerson at the Breaking Point,” New Yorker, Oct. 16, 2017, https://www.newyorker.com/magazine/2017/10/16/rex-tillerson-at-the-breaking-point. [98] Jack M. Balkin, “Constitutional Rot” in Can It Happen Here? Authoritarianism in America, ed. Cass R. Sunstein (New York: Dey Street Books, 2018). Also published by Yale Law School as Public Law Research Paper no. 604, https://ssrn.com/abstract=2992961. [99] See Roberto Stefan Foa and Yascha Mounk, “The Danger of Deconsolidation,” Journal of Democracy 27, no. 3 (July 2016): 5, https://www.journalofdemocracy.org/article/danger-deconsolidation-democratic-disconnect. [100] Sanford Levinson and Jack M. Balkin, “Democracy and Dysfunction: An Exchange,” Indiana Law Review 50 (posted online Aug. 8, 2016). Also published by Yale Law School as Public Law Research Paper no. 579, https://ssrn.com/abstract=2820202. [101] Charles Rollet, “The Odd Reality of Life Under China’s All-Seeing Credit Score System” Wired, June 5, 2018, https://www.wired.co.uk/article/china-social- credit. [102] Richard Wike, Jacob Poushter, and Hani Zainulbhai, “China and the Global Balance of Power,” Pew Research Center, June 29, 2016, http://www.pewglobal.org/2016/06/29/3-china-and-the-global-balance-of-power/. [103] For a discussion of market-states in the context of contemporary international politics, see Philip Bobbitt, “States of Disorder,” New Statesman, March 1, 2016, https://www.newstatesman.com/politics/uk/2016/03/states-disorder. As constitutional orders are differentiated by their claims to legitimacy, one way to understand the industrial nation-state and its competitor the informational market-state is to specify their respective bases for legitimacy. Very roughly, the nation-states say, “Give us power and we will improve your well-being by using law to tame the operations of the market,” while market-states say, “Give us power and we will maximize your opportunities by using the market to make the society richer and more spacious.” [104] Winthrop’s speech can be read at http://www.digitalhistory.uh.edu/disp_textbook.cfm?smtID=3&psid=3918. [105] Harvard College was founded in 1636: https://college.harvard.edu/about/mission-and-vision. ) [contents] => Array ( [title] => [contents] => ) ) [7] => WP_Post Object ( [ID] => 583 [post_author] => 171 [post_date] => 2018-05-15 04:35:01 [post_date_gmt] => 2018-05-15 08:35:01 [post_content] =>

Politics is the art of the possible.

–Otto von Bismarck, 1867

  The furor over Russia’s poisoning of a former spy in Britain reflects a worrying, and accelerating, trend: America’s relations with its primary rivals appear to be entering a period of lasting crisis. With new U.S. tariffs, trade disputes, clashes over international rules and norms in the South China Sea, and growing reports of Chinese influence-seeking, the competition with China is intensifying. Meanwhile, the Russian poisoning case and dozens of other provocations from Moscow have produced a situation of deep hostility that has been described as “even more unpredictable” than the Cold War.[1] The new U.S. National Security Strategy and National Defense Strategy fittingly reflect this emerging strategic moment, offering a narrative of bellicose great powers that seek to expand their influence, shape the world according to their interests, and gain greater sway over the international order. Both strategies anticipate precisely the sort of aggressive rivalries we are seeing today. The National Security Strategy paints a dire picture of China and Russia challenging “American power, influence, and interests, attempting to erode American security and prosperity” while being “determined to make economies less free and less fair, to grow their militaries, and to control information and data to repress their societies and expand their influence.”[2] The National Defense Strategy warns of the “reemergence of long-term, strategic competition” with “revisionist powers.”[3] Some great power relationships are indeed reverting to a more tooth-and-nail kind of competition. China and Russia are ever more determined to claim the status and influence they believe is their due. But the response likely to emerge from these strategies, a reaction with deeper roots in U.S. foreign policy than the views of any one administration, deserves a more significant debate. That rejoinder calls for a reaffirmation of U.S. military and geopolitical predominance, accompanied by a defense build-up to empower a direct and ongoing confrontation with Russia and China in their own backyards — all in the name of a sprawling and uncompromising interpretation of the rules and norms of the post-World War II order. Unfortunately, such an approach is likely to fail, transforming the emerging competitive era into something far more confrontational and zero-sum than it needs to be. The National Security Strategy's renewed reference to “peace through strength”[4] and the National Defense Strategy's attendant focus on restoring military supremacy reflect a habitual and ongoing American post-Cold War quest for predominance.[5] Yet, while military strength is important to deter hostile powers, trends in key regions and challenges to U.S. power projection make it virtually impossible to recapture the level of military superiority the United States enjoyed for the last three decades. Nor is it capable of stemming the tide of change: American primacy is visibly eroding,[6] world politics are increasingly multilateral,[7] and other major powers are noticeably less willing to accept American dictates. Paradoxically, too, America’s military strength and martial tradition have, in some ways, contributed to the growth of these emerging challenges by displacing America's ability to effectively engage in the nuanced balancing of interests that are so central to international politics. In the post-9/11 era of persistent counterterrorism operations, the United States has tended to view every challenge as an outright threat, every problem as subject to the application of military power, and every contest as something to win rather than to manage.[8] This is not to say that American leadership is doomed, or that the post-war international order the United States worked so hard to build — the set of institutions, rules, and norms that have helped provide a stabilizing force in world politics since 1945[9] — is destined to come to an end. In that regard, the call by the authors of these strategy documents for continued U.S. leadership is welcome and reassuring, and many of their specific policy prescriptions would help reaffirm that leadership. But clinging to visions of predominance and absolutist conceptions of U.S. goals poses great dangers to global stability during a time of turbulent transition that will only be survived through more flexible and pragmatic leadership. During our years of exposure to U.S. national security processes, policies, and officials, we have watched as U.S. economic, military, and political dominance has underwritten a missionary approach to the international system. That approach is not only unsustainable given the shifting balance of power, but it ultimately represents one of the dominant fault lines between the United States and other major powers. We are not proposing anything close to retrenchment. American leadership, a rules-based international order, and an extended network of alliances and partnerships that help keep the peace, remain valuable not just to the United States but also to small and middle powers alike. The heart of the American strategic challenge is how to reset the balance between ideology and pragmatism in foreign policy without killing off the key norms of conduct or the essential foundations of U.S. global engagement. The United States will have to make the present order truly multilateral in order to retain its leadership, keep dissent within the international system rather than forcing it outside, and accommodate competition. More than at any time in the last 70 years, dogmatism will be the enemy of strategy. The resulting challenge constitutes what is arguably the most difficult balancing act that U.S. foreign policy has confronted since 1945 — and perhaps, at any time in the country’s history.

The Church of American Foreign Policy: Overdue for a Reformation?

Today, the malign intentions of states that wish to challenge the status quo are not the only factors increasing instability and raising the risk of conflict. After more than two decades of an ideological, values-driven approach to international affairs, the tone and tenor of American foreign policy can seem to have more in common with theology than statecraft. In approaching countries like Iraq, Afghanistan, or Libya and issues ranging from human rights to nonproliferation to the promotion of democracy, difficult choices of balance and priority are presented as normative absolutes. Increasingly after 1989, the imperative to forcibly extend the liberalism of the Western order has been viewed as self-evident. As that order became more institutionalized and rule-based, and as American leadership of it became — for a time — more unquestioned, Washington (and other ambitious advocates of a more fully liberal order, particularly European nations and NATO members) has come to equate strategic judgments with moral imperatives. One risk of confounding strategy with morality is that the architect and enforcer of such an order loses the ability to compromise. Absent any meaningful checks on American power, forcible democracy promotion, humanitarian intervention, the unbridled extension of alliances, and global campaigns against extremism came to dominate U.S. foreign policy. Critics of the ambitions of an ideology-driven U.S. foreign policy, from George Kennan to Andrew Bacevich, warned for decades about the hubristic missionary spirit at the core of U.S. global strategy.[10] “We seem to be in one of those periodic revivals of the American missionary spirit,” New York Times editor Bill Keller argued as recently as 2011, “which manifests itself in everything from quiet kindness to patronizing advice to armored divisions.”[11] This trend helps explain the marriage of neoconservatives and liberal interventionists, which played a major role in justifying the Iraq War. Despite their differences, these two groups agreed on the most elaborate vision of rule enforcement and value promotion. [quote id="1"] The story of the liberal turn of the post-war order in the 1990s was thus, at least partly, one of mission creep and of the gradual acquisition of a far more uncompromising, indeed pious, tone and tenor.[12] These changes to the post-war order eventually found expression in the enlargement of NATO, which was justified as a right rather than a strategic judgment; humanitarian intervention in Kosovo; the emergence of a doctrine of a Responsibility to Protect (R2P), interpreted to overrule the sovereignty of other countries;[13] rhetorical support for the Arab spring, leading to intervention in Libya;[14] political backing for the Eastern European color revolutions;[15] and material support for pro-democracy nongovernmental organizations (NGOs) in dozens of other states.[16] The post-9/11 embrace of a “global war on terror,” the plunge into nation-building in Afghanistan, and the choice to invade Iraq all flowed from the same maximalist instinct. One depressing sign that this kind of missionary overreach continues today is the fact that the United States will spend, in 2018 alone, $45 billion in Afghanistan[17] — more than the 2017 budget of the Department of Homeland Security, $10 billion more than the budgets of either the Department of Housing and Urban Development or the Department of Justice, and nearly twice the budget of the Department of Energy. Unlike the post-World War II order, which was principally underwritten by great powers and, eventually, by middle powers, this vision of foreign policy activism was one held primarily by the United States and a handful of its allies. Over time, the demand for purity in rule-making and enforcement has achieved a sort of religious fervor. Allowing such an uncompromising and moralizing vision to take the wheel of the post-war order was a strategic mistake, sparking the widespread perception that the United States was ideologically driven to advance regime change abroad, including the unilateral employment of force, whether permissible by international law or not. It signaled to some rivals that the United States reserved the right to challenge the survival of their regimes at any moment, and thus tempted them to believe that their security was only guaranteed by military power, in particular nuclear weapons. The National Security Strategy and National Defense Strategy offer sensible warnings about the dangerous implications of this dynamic, implications such as Russian efforts to disrupt Western democracies and North Korean nuclear ambitions. But as we consider means of addressing these risks, it is worth keeping in mind that the seeds of that harvest were sown in part by America’s own post-Cold War missionary tendencies. The stability of any international order ultimately depends on the leading powers seeing one another as abiding by shared and predictable rules of the game. These powers must also believe that the international order is willing to recognize their interests on some level.[18] With the unipolar moment over, the system cannot be considered legitimate if the rules are interpreted by one power as it sees fit, even if the underlying intent is to promote what that power views as the greater good. This fundamental objection to the conventional American mindset is held most passionately, of course, in Moscow and Beijing, but varying degrees of the same frustration are evident in the statements and policies of a host of other countries, such as India, Brazil, South Africa, Germany, and France.[19] It is a false assumption that the middle powers, which are important to the order's endurance, underwrite, or subscribe to, American unilateralism in action and in interpretation of the rules. What we are seeing today, therefore, is not only the rise of militaristic predator states, but also the insistence of other self-defined great powers that the United States both restrain its missionary impulses and interpret the rules of the post-war order in a way that does the least possible damage to their interests. The great danger of the post-Cold War American mindset is that the United States has lost the ability to take seriously or grant any legitimacy to these types of strategic objections. After all, one must grant adversaries some degree of legitimacy even to engage in basic diplomacy, let alone to create the foundations for stable strategic relationships. Yet Washington only seems capable of detecting normative wrongs and decrying them as sinful. If the United States responds to demands by other major powers for an independent voice by doubling down on a moralistic and uncompromising vision, then this emerging era of competition will become more perilous than it already is.

Misreading History: Pragmatism, Absolutism, and Order

Part of the irony of the U.S. mindset is that it harkens back to a conception of the post-war order that never really existed, mistaking it for something far more uncompromising than it ever was and drawing the wrong lessons from history. American discourse on the international order conflates three very distinct phases: the post-World War II period, the post-Cold War period,[20] and the present, yet-to-be defined phase. During the Cold War, while Washington’s policy outlook certainly began to acquire a more missionary character, the prevailing order was principally underwritten by the great powers left standing amid the ashes of World War II. The system prized sovereignty, spheres of influence, deterrence, and a balance of terror between the leading superpowers.[21] To be sure, the United States led in the creation of the institutions and norms of the post-war order, and has labored diligently to preserve them, for both self-interested and altruistic reasons.[22] The resulting institutions — the U.N. system; the General Agreement on Tariffs and Trade/World Trade Organization structures; international economic institutions like the International Monetary Fund, World Bank, and G-20; and hundreds of smaller and more discrete organizations, treaties, and conventions — bolstered U.S. strategy over the decades. Associated norms, rules, and conventions began to build a sense of quasi-legalistic obligation at the foundations of world politics. But it remained a Westphalian order first and foremost, one built on the rule of sovereignty, a live-and-let-live spirit of mutual accommodation, and some degree of collective attention to shared problems.[23] It quite consciously attempted to balance great power interests with universal and nondiscriminatory rules, rather than simply enforcing such rules without regard to those interests.[24] That order was founded with World War II as its backdrop, and thus had the management of great power competition in mind. At its inception, therefore, and for much of its history, the post-war order never was conceived of as constitutional, absolute, or without exceptions. Balancing where its dictates would be enforced — and when they would be intentionally overlooked — was a central preoccupation of U.S. foreign policy. The emphasis on human rights provides a leading example. The managers of U.S. foreign policy have upheld this ideal, but they also have set it aside at various times for different reasons: a sense that long-term democratization demanded compromise, as in South Korea or Taiwan; a conviction that worse rights violations would occur without U.S. support, as was the case in Vietnam and Central America; or the demands of short-term national interests, admittedly sometimes craven, as in U.S. policy toward Iran and Chile.[25] Washington’s emphasis on creating a post-war order that is based on institutions, rules, and norms was therefore balanced with a recognition that these aspirations had to be aligned with a real world that would only imperfectly reflect them. In the gap would go statecraft, an effort to herd key members of the international community toward those important normative goals — but always with the recognition that the allowance for exceptions would be as important as the rules themselves.[26] Push too hard, hold too inflexibly to the ideals, and the whole thing would collapse. The statesmanship required to balance these multiple considerations — that is to say, the acceptance of inconsistencies in the rules and norms of the order — was not limited to achieving liberal goals like human rights. The global trade regime reflects the same pattern, having developed amid traditions of industry-protecting, quasi-mercantilist behavior, and occasional bouts of protectionist fervor.[27] In regard to the norm against interstate aggression, the United States and its friends offered clever legal justifications (and sometimes not even those) for what looked like outright aggression in Iraq, Libya, and elsewhere. The presence of American forces in Syria, to take the leading current example, has involved sustained combat operations on the territory of another state outside any discernible national or international legal basis.[28] [quote id="2"] During the Cold War, Washington was forced to live with uncomfortable strategic half-measures. The military balance as well as the risks of nuclear war, escalation, and miscalculation, imposed a sober approach and restraint in the face of Soviet and, later, Chinese vital interests. There was no way to stop Soviet intervention in Hungary in 1956 or in Czechoslovakia in 1968. It may not be how we remember it, but the Cold War’s lasting accomplishment was maintaining a time of peace between adversarial superpowers that possessed the ability to destroy the world. Despite the global competition, collaboration took place to resolve disputes, manage conflicts among allies or client states, and avoid dangerous gambits like the Cuban Missile Crisis. There was no need to refer to “spheres of influence” to recognize the simple reality that the closer one gets to the borders of a rival, or the more vital their interests at stake, the more one has to treat with care whatever rules or norms are at play.[29] The imperative not to normalize an undesirable reality in international politics was always there, but policy and strategy recognized objective realities. Like any set of rules, therefore, the post-World War II order has endured, and in some ways, flourished as much through its exceptions as its uncompromising enforcement. That flexibility allowed the United States to avoid fundamental breaks with key states. It overlooked human rights violations, the stretching of nonproliferation norms, and occasionally bellicose behavior even by the Soviet Union as part of this careful balancing act. This approach recognized that for any order to endure, all the leading powers must endorse it to some degree — and they will never do so if the application of its norms proves fundamentally inimical to their vital interests.

The Russia Problem

Gradually during the Cold War and then with much more energy after 1989, this pragmatic tenor of American leadership — a willingness to compromise on the road to greater order and community — transformed into a much more uncompromising mindset of missionary zeal. This shift has helped produce some real dangers, one of which was the failure to secure the post-Cold War peace with Russia. That failure resulted in a cycle of engagement and disappointment that eventually helped drive U.S.-Russian relations into their present abyss. Undoubtedly, a large share of the blame can be placed squarely on the shoulders of the Russian elite. However, it was the United States’ decision to take a decidedly missionary, rather than strategic, approach to Russia that played an important role in the current breakdown in U.S.-Russia relations. Arguably, the United States should not be blamed for taking advantage of the Soviet Union’s collapse in seeking to advance a Europe that is whole, free, and at peace.[30] However, this was meant to be a slogan — not an ideology that led to perpetual NATO expansion, democracy promotion, and half-hearted bids for the former Soviet sphere. Nor was it ever consciously defined as a strategic concept. Taken too far and too quickly, some of these policies have resulted in negative-sum gains for all concerned. The United States never made a serious effort to establish a security framework in Europe in which Russia had a stake. Washington vacillated between ignoring Moscow as a defunct great power and naively seeking to convert Russian elites to Western values, rather than securing post-Cold War peace via structured settlement, negotiation on issues in dispute, and a strategy that planned for its inevitable return as a power in Europe. In any scenario, Russia would have taken decades to complete a successful transition from being an imperial power to a constructive participant in a collective regional order, as did Britain and France at one point in their own histories. And yet, the United States took little notice of the long-running determinants of Russian strategy or foreign policy that would come into play in that transition. Russia had always sought buffer states in Europe to accommodate for its lack of depth and history of costly wars fought on Russian territory.[31] This history, together with a natural inclination to establish regional hegemony, predictably yielded a zero-sum outlook in Moscow when it came to the expansion of military or political blocs. A national security elite rooted in the Soviet experience would have always proven resistant to liberal democracy, and struggled to respect the independence of former Soviet republics. These convictions did not need to be indulged by the United States — but they did need to be understood, planned for, and accommodated in a strategy designed both to advance liberal values and acknowledge Russian imperatives. It was precisely this sort of nuanced approach that a post-Cold War United States, certain of its values and fueled by a unipolar moment, never managed to acquire. Instead, a host of well-meaning policy elites accepted Russian absence from European politics as a green light to engage in what Timothy Snyder terms the “politics of inevitability,” believing that the cycle of history was somehow stopped, and that Russian weakness could be taken as a license for strategic malpractice.[32] NATO intervention in Kosovo demonstrated that the alliance now saw itself as able to dictate security terms in Europe unconstrained by international institutions in which Russia had an equal voice.[33] The long-term consequences of the unilateral use of force in Europe at a time of Russian weakness and insecurity would only be realized years later. Tearing up the Anti-Ballistic Missile Treaty destroyed what Moscow thought was a pillar of strategic stability at a time when the conventional military balance was entirely in America’s favor.[34] Reframing NATO as a mechanism for out-of-area operations in support of American-led interventions made an equally powerful impression on Russia. A hodgepodge of efforts to promote democracy, political meddling, and NATO expansion ever further despite Russian warnings contributed to an elite consensus in Moscow that the West would only stop when faced with use of force. This is not a myopic argument about blowback from NATO expansion alone, but the inherent cumulative effect of American policies, many of which were uncoordinated, on U.S.-Russian relations.[35] Russian President Vladimir Putin signaled the upshot of this cumulative effect in his 2007 address at the Munich Security Conference.[36] Years of efforts to engage Russia and lectures on the benefits of Western integration, Putin’s broadside made clear, had in no way caused Russian leadership to redefine its fundamental national security assumptions, its outlook on the former Soviet space, or its enduring suspicion of Western intent. Simply put, more than 10 years ago, Russia’s obvious frustrations and public warnings should have made it clear to Western officials that American foreign policy, together with European desires to expand their own supranational political institutions, would lead to conflict in Europe. This was evident to leading Cold War strategists in the 1990s, well before Putin took power or anyone in the West even knew his name.[37] After many years of failure to get its interests taken seriously by Washington, Moscow thought the Russia-Georgia War made its concerns and outlook clear. Yet after 2008, a different group of American policy elites took the helm, still missionary in outlook, and holding on to the belief that with a few transactions in areas of mutual interest, Russian elites somehow could be convinced to abandon longstanding precepts of Russian strategic culture. Washington was then once again caught flatfooted over the Russian invasion of Ukraine in 2014. The architects of these post-Cold War U.S. policies will insist that their intentions were good, that each of these actions was aimed at upholding some rule or norm of the international order, that Russia need not have been offended, and that it all would have been different if Moscow had made different choices. Some will admit that mistakes were made. But even those who do still cast Russia as the essential problem. They use renewed confrontation with Russia as a strange kind of retroactive justification for the policies that played a hand in creating that confrontation in the first place. It goes without saying — and we must stress this point — that Russia’s historic strategy for attaining security at the expense of others, its paranoid and narrow strategic culture, and its elite-driven decision-making process all constitute the real nub of the problem. But it is precisely because of those realities that almost every aspect of this conflict was predictable. Russia’s spate of aggressive assaults on the post-war order do not exculpate U.S. policymakers for not only failing to secure the post-Cold War peace, but also for failing to prepare for Russia’s inevitable return as a major power in the international system, and in particular a military power in Europe. The harsh realities of Russian interests and intentions only reinforce the dangers of a post-Cold War policy toward Russia fueled by hegemonic overreach and missionary absolutism, rather than by an effort to deal with Russia as it is. Many of Moscow’s demands need not threaten the security of the West and those that do must be vigorously countered. But America’s approach to Russia in the wake of the Cold War looks like an almost willful 30-year effort to ignore Russian prerogatives, threats, and internal mobilization in the name of the rules and norms of the post-World War II order — an order that, as Moscow is busily reminding us (and as Beijing is likely to do as well), simply cannot endure if other powers don’t subscribe to it. The only reason Russia has not left this order entirely — as an aggrieved Japan once withdrew from the League of Nations in the 1930s[38] — is that it has few options in the way of allies today, remains dependent on the global financial system, and appears still to crave some degree of international legitimacy.[39] While Russia has not taken such fundamental steps as abandoning the United Nations or even many international treaties, there is growing evidence that Moscow perceives itself to be unconstrained by existing rules and norms. If anything, Russia seems increasingly unconcerned about its reputation, credibility, and legitimacy in the West. This is likely due not simply to desperation, but to the perception that there is little the West can do to impose its will. Russia has become unbridled in its use of political and cyber-enabled information warfare against the United States and its allies. Its military campaign in Syria has demonstrated that Russia is able to independently and effectively project power in another region, reaffirming that Moscow is still a great power in the international system and that it was underestimated in 2015. [quote id="3"] One of the barriers to the necessary course correction in U.S. strategy is that the missionary sensibility now guiding much of America’s foreign policy is grounded in some very real — but also very qualified — truths. America’s role is different from that of other great powers.[40] American values do travel. Soft power, a network of allies and partners, and a leading role in the order's governing institutions do constitute some of America's greatest advantages. Many other countries, perhaps most, do believe that their interests are better served with Washington at the helm than Beijing or Moscow — or no one at all. Equally important is that, despite the preponderance of American power in the post-Cold War period, small and middle powers do not see the United States as a threat.[41] The post-war order has strongly benefited U.S. interests, in ways ranging from the creation of institutions that help stabilize the global economy to wrapping U.S. power and purpose in legitimizing multilateral context.[42] Such realities account for why so many other countries are willing to overlook the occasional hypocrisy, give the United States credit for good intentions, and remain firmly wedded to the order Washington cobbled together in the aftermath of World War II. They are also a major reason why Russian and Chinese calls to balance American power have long gone unheeded, and why, despite the inherently unstable nature of a unilateral system, it has continued for over 25 years. Yet how to maintain the current order, and American leadership, after the demise of unipolarity could prove the most vexing question of this looming transition. Continuing this post-Cold War pattern of standing too straight-backed at the altar of the shared order, holding too inflexibly to its rule set, will at best produce a brittle and unsustainable system — and at worst, magnify the dangers of unfathomably destructive wars.

Rebuilding the City on a Hill

Part of the danger of a missionary attitude, then, is that it damages America’s ability to take the interests of other major powers into consideration and encourages the adventurist promotion of Western values and the enforcement of rules in ways guaranteed to manufacture continual disputes and crises. A theological approach to foreign policy has warped Washington’s judgment and, combined with the immense power at its disposal, impelled the United States to take more risks than its interests would dictate.[43] Ask a typical group of U.S. national security hands behind closed doors whether Washington should go to war over Ukraine, Georgia, or Syria, or to ensure free navigation in the South China Sea — as both of us have done on numerous occasions — and they are likely to laugh uncomfortably and shake their heads. And yet the inherent value of defending the norms established by the post-war order imbues each of these things with a supposed precedential value that supersedes the strict national interests involved. This is not the first time that secondary issues have taken on primary importance because of their symbolic value. The Cold War was full of such examples. But there is a perilous difference between fighting off a global ideological menace in far-flung places with little inherent significance and defending abstract global norms along the borders of other great powers. The nature of the credibility imperative has changed, and yet the United States is sliding quickly back into Cold War thinking that, because general principles matter, everywhere and everything matters — even issues and places of far more intrinsic importance to our competitors than to us.[44] Jack Snyder argues that the myth of “cumulative losses,” which often appear in the form of unsubstantiated domino theories (i.e., that any setbacks in international affairs will necessarily escalate into a cascade of defeats) is a recurring theme among policy establishments heading towards over-extension and strategic insolvency.[45] It is, of course, true that some of the states testing the boundaries today do have malign, or at least aggressive, intentions. The United States cannot simply disregard Russian aggression in Ukraine or meddling in Western political processes, or declare itself unconcerned with the potential for Chinese aggression against Taiwan. Our recommendations are designed to sustain, not abandon, a broadly shared, rules-based order. Even without the prompting of exaggerated domino theories, some rules must be enforced if and when the violations are profound enough. But an approach guided by statecraft rather than theology urges the United States to ask critical discriminating questions in the process of making such judgments. Which are the rules that must be rigidly enforced? What norms must be forcibly advanced? How, precisely, should the United States go about both of those tasks? There is a good reason why some form of compromise and respect for mutual interests has been part of every successful program to manage rivalry. Merely saying some things matter less than others is not tantamount to saying nothing matters. If Washington is not careful, a refusal to temper U.S. ambitions will produce a series of unnecessary and exhausting wars that, in the most tragic of ironies, end up generating the only scenarios likely to pose a truly existential threat to the U.S. homeland. It is time to finally abandon the crude, unqualified domino theories and credibility obsessions that plague our policy establishment. Russian annexation of Crimea is not a prelude to an invasion of NATO. Lithuania is not Ukraine. And none of them is Germany. In order to deter other powers and make room for compromise, the United States should stop lecturing these nations about what their interests ought to be and instead determine which of those interests America can live with and be willing to grant those interests some measure of political legitimacy. To refuse to admit the legitimacy of a rival’s core interests is to make the conflict total, rendering it impossible to offer them assurances that if they refrain from undesired actions, we will forgo punishment. There is a profound difference between delegitimizing enemies when at war, which is commonplace, and delegitimizing countries with whom you wish to avert war, thus reducing your own space for compromise, settlement, and any incentive they might have to negotiate. Without such assurances, effective deterrence becomes both difficult and expensive. As Thomas Schelling has argued, the “pain and suffering” embodied in deterrent threats “have to appear contingent on” a potential aggressor’s behavior.[46] Adversaries who assume that the United States will punish them no matter what they do have no incentive for restraint. Ideological purity also limits America’s options for resolving disputes by making it difficult to compromise or broker imperfect deals out of fear of political backlash at home. The missionary mindset makes the United States unwilling to surrender one iota of freedom of action (by constraining missile defense deployments, for example), or institutionalize anything but the purest enforcement of rules. This makes most treaties or compacts impossible to pass and creates a host of constraints that result in Washington only having the “big stick” to use as its principal means of management. This pattern has accelerated since 1989: The United States has become constitutionally incapable of signing, ratifying, or upholding limited deals to manage complex problems — whether that’s the Agreed Framework with North Korea, a series of climate accords, or the nuclear deal with Iran. But dismissing diplomatic half-measures in favor of the big stick is a strategy with little coercive value against powers with similarly sized sticks and a growing allergy to American dictates. If something like the entirely sensible post-Cold War U.S.-Russian arms agreements were to give way to a world without any arms control, for example, U.S. interests would only suffer.

The International Order: Back to the Old Testament

What, then, is the alternative? The answer does not lie in one of the variants of retrenchment on offer today.[47] The U.S. role as the leader and hub of a flexible but still meaningful rule-based world order — including the deterrent power of a potent and globally-postured U.S. military — underwrites peace and stability. The general U.S. strategy of “deep engagement” has benefited both U.S. interests and global economic and political security,[48] and the commitments to such engagement found in the National Security Strategy and the National Defense Strategy are heartening indeed. But there is a readily-available middle ground between retrenchment and predominance: The United States should remain internationally engaged while abandoning the dangerous implications of the missionary mindset that has prevailed for more than three decades. A more humble and restrained version of U.S. engagement would have several basic characteristics. First, it would require greater power-sharing in setting and enforcing rules in the international order, ranging from trade and finance to regional security.[49] As more states become determined to have a voice in the setting and enforcement of rules in the post-war international order, and as they acquire the power to make their voices heard, that order will have to become more legitimately multilateral if it is going to survive.[50] Keeping the other major powers vested in the system is an essential component of any strategy to constrain them and contain the competition; the lower their stake in the current order, the shorter its lifespan will be. There is some evidence that a shared order, with leadership coming from more corners of the world, could work. Consider Europe’s drive to save the Paris climate deal absent America,[51] Japan’s leadership of a rump Trans-Pacific Partnership,[52] or China’s desire to lead and change, rather than destroy, established international institutions.[53] [quote id="4"] A more multilateral order can work, but Washington must find a way to make it work, because an order based solely on American unipolarity is not sustainable. Simply put, American power, both relative and absolute, is insufficient to underwrite the order as it is currently conceived and being enforced by its own policy community. The more stakeholders and centers of leadership, the more resilient the current order actually will become, but this of course means the United States will have to learn to share the steering wheel. Otherwise the United States risks discrediting its leadership and surrendering even more influence to others. It is Beijing’s quest to take charge of the current order, rather than destroy it and make enemies of its beneficiaries. That is what ought to worry Washington the most. Second, a revised approach would counsel patience rather than urgency in the promotion of key norms and values. The great insight of U.S. Cold War strategy was that America’s job was not to force a value change on the Soviet Union. It was instead to establish and safeguard an international system that ultimately would outlast and envelop the Soviet Union. The United States channeled conflict with the Soviet Union to distant proxy wars, where escalation dynamics could be controlled and the stakes to both parties were far from existential. In the process, beginning with Dwight Eisenhower’s rejection of an outright “rollback” strategy,[54] successive U.S. administrations displayed a recognition of Soviet core interests, and a realization that the United States could not prevail if it competed so hard that it provoked the other side into a cataclysmic war. In the end, the Soviet Union’s own internal contradictions caught up with it, as cynicism and dysfunction consumed the system from the inside. Over time, it voluntarily signed up for the institutions of a system that would contain the competition, such as the Helsinki Final Act of 1975. Arms control, transparency, and confidence building treaties followed. In the end, the Soviet Union ceased being a revolutionary power and became a satisfied power in Europe. The same concept — taking steps to gradually and inexorably create a context that produces desired changes rather than dispatching military forces or implementing economic sanctions to force those changes overnight — can and should be the starting point for a revised conception of the international order. With properly employed statecraft, values that Americans believe to be self-selling goods, from free markets to human rights to democracy, ought to prove attractive of their own accord. U.S. policy can sponsor and support these outcomes with a continuing and powerful strategy for liberal value promotion. But the primary goal of such a strategy would be to encourage established and emerging trends toward liberal values rather than force them into infertile soil. In the process of executing this strategy, the United States should eschew military intervention for humanitarian purposes except in select cases. Those would include situations in which the United States can obtain fairly universal endorsement in the form of such signs as U.N. Security Council support. This rule would generally avoid throwing American weight behind region-wide revolutions, especially those that are likely to wash up on the doorsteps of other great powers. Washington should not cease being a beacon for democracy, but it also should think carefully about where democracy promotion is liable to engender political crises that could translate into security contests. The United States can amply fulfill its commitment to liberal values without disregarding the sovereignty or interests of other major powers. It can craft closer and more overtly supportive partnerships with rising democracies, boost foreign aid to developing countries that are building nascent democratic systems, expand humanitarian assistance missions and programs, and advance technical assistance and human capital development programs around the world. Third, the revised approach to U.S. engagement would prioritize diplomacy and statecraft over military power. Secretary of Defense James Mattis — like many recent secretaries of defense — has spoken repeatedly and passionately about the importance of placing diplomacy at the forefront of U.S. national security strategy, and the need to invest in the tools required for such an emphasis.[55] Multiple diplomatic initiatives are now underway, from the Indo-Pacific-inspired engagement of India and Japan to negotiations with North Korea to close cooperation with NATO on enhancing deterrence. Read in isolation, however, and considered alongside recent boosts in defense spending,[56] the new strategy documents seem to convey a vision in which the United States amasses military might to reaffirm U.S. dominance while avoiding hard political choices, essentially doubling down on raw power to compensate for loss of influence. In an era when leading competitors are discovering effective means of bolstering their influence outside the military lane and below the threshold of conflict, while also investing heavily in the capacity to offset U.S. power projection in their regions, this approach seems destined to disappoint. Despite some emerging concepts such as “multi-domain operations,” “dynamic force employment,” and “joint lethality,” there is little in the new National Security Strategy or National Defense Strategy to suggest a rethinking of how the United States integrates the military with other instruments of national power. Direct competition, contesting regional balances of power with Russia and China, and a capability-centric approach continue to dominate the national security mindset. In these documents, Washington recognizes the rise of great power competition, and the erosion of America’s military power, but not the need to change its strategy or outlook on the international order. As a consequence, the “whole of government” approach we so often hear espoused often turns out to be little more than a whole of Pentagon approach: The military toolkit is not used in integrated combination with non-military approaches, but as a substitute for them. Placing statecraft before military power would amount to a tacit acknowledgement that the United States is overburdened by an expansive alliance network in which the credibility of extended deterrence is every day more difficult. Arming the regional adversaries of powers like Russia and China, or further expanding existing alliances, will have profound consequences, as these great powers have both the will and the power to enact stronger and destabilizing countermeasures. This requires exercising judgment in the choice of weapon systems and forces deployed on Russian or Chinese borders. It demands choosing deterrence over dominance in such theaters as the South China Sea, aiming to block potential Chinese aggression with far less expectation of power projection.[57] It also means indefinitely deferring NATO membership for some countries, a proposition many in Western circles find uncomfortable. However, it does not preclude creating other forms of affiliation, cooperation, and partnership beyond what has become a myopic fixation on NATO expansion. As this last example suggests, the fourth and final characteristic of implementing a revised approach in U.S. strategy will be to confront hard choices and make painful compromises in dealing with Russia and China. These are major, resilient, and nuclear-armed adversaries, and there is no getting around the fact that these illiberal states will have a say in the order, just as the Soviet Union did before them, and just as the great powers did in the eras prior to the Cold War. Absolutists will respond that any compromise on the order’s rules and norms is tantamount to surrender.[58] In some of the more pitiless conceptions of a global order, that is certainly true: An unapologetic great power-centric order would embrace value-free spheres of influence. Some believe that this is the Manichean choice that confronts the United States in Europe and Asia and that no acceptable middle ground exists on which Russia and the West, or China and the United States, can each see their vital interests upheld while the rules and institutions of a shared order persist. There is now a tragic degree to which this has become a reality. For the foreseeable future, the U.S.-Russian relationship will be adversarial and the potential for cooperation or engagement extremely small. In order for relations to stabilize, some form of settlement must come into place concerning Ukraine. And that may take a while. The current confrontation is not only likely to be the new normal, it is also certain to continue as long as Putin is in power. There is no deal to be made with him for two reasons. First, there is a broad political consensus in Washington that, after interference in the 2016 elections, Putin is de facto beyond the pale, and any condominium with him would be tantamount to betrayal. The second is more practical: Congressional sanctions passed in July 2017 make the confrontation structural, and it is rather difficult to see any scenario in which these sanctions are lifted absent Putin’s departure. Even if the executive branch were so inclined, Congress has dramatically curtailed its ability to make any deals with Russia. For much of the policy establishment, the confrontation with Russia is, if not personal, highly personalized when it comes to Vladimir Putin. However, Washington can begin thinking about how to position itself in such a way as to avoid repeating this same tragic cycle after Putin’s departure. Were he to stay, the problem would remain much the same. U.S. policymakers need to take heed not to indulge in some fantasy that a new Russian leader, or elite power structure, will be willing to redefine how Russia conceives of its security. Russia not only should be constrained, but also dealt with — and the only effective way to strike the necessary balances will be through statecraft rather than missionary confrontation. Absent a change in approach, the same fate will befall U.S.-Chinese relations, as many in Washington prepare for a confrontation with Beijing over its regional and global ambitions. From the perspective of the missionary mindset, China too has sinned, by failing to liberalize as its economic power grew and refusing to behave “responsibly” in the international system — code for not behaving like a classical great power.[59] The real complaint is that American missionary expectations have been unfulfilled: China is not simply “joining” the U.S.-led order as it stands, subordinating its own objectives, and interpretations of its interests, to American and Western models. Such an outcome should never have been expected. China’s history, size, and self-conception mean that it ultimately wants no one but itself to determine at least the Asian regional order. This is not, again, to suggest that the United States must accede to China’s view of the regional order, and quietly accept any behaviors Beijing undertakes. Some Chinese provocations would be incompatible with central rules and norms of any meaningful international order: paramilitary aggression against the Senkaku Islands, military adventurism to claim sovereignty in the South China Sea, an unprovoked attack against Taiwan, or accelerated economic espionage and coercive industrial policies against outside companies. The United States should lead multilateral processes to deter such actions (though not always with military threats, even in the case of military aggression). But such negotiations can unfold in a mutually respectful dialogue between two great powers who retain fundamental respect for each other’s prerogatives. The risk today is that the U.S. national security dialogue on China is becoming increasingly overheated and theological, nominating China for the role of ideologically motivated militarist. The new National Defense Strategy already paints China as having a sinister, shared vision with Russia, to “shape a world consistent with their authoritarian model.”[60] If the result is a replay, in different terms, of the refusal to take Russian interests seriously that unfolded after 1991, then China, like Russia, will be likely to break with the rules of the post-war order in a more overt manner. The conflict will then become total and ideological, just as it has with Russia. Yet, if the United States has failed to cow or isolate Russia, the prospects for doing so with China are virtually nonexistent. [quote id="5"] The truly dangerous dynamic here does not reflect the cliché of the Thucydides trap — the idea of an explosive relationship between a rising and an established power.[61] It is rather the reality of transforming any broad and nuanced strategy into a religion. When a predominant power, convinced of its indispensability, and viewing the world through the lens of moralism rather than statesmanship, holds so tightly to an immovable reading of shared rules and norms, it can provoke unnecessary opposition and perhaps even trigger a disaster.[62] Correcting America’s approach to these two rivals would require seeking a serious, renewed dialogue with Moscow and Beijing about what a stable regional order would look like. It would also mean taking seriously each country’s interests and ambitions rather than dismissing their legitimacy under the shadow of global rights and wrongs. This new approach would lay down a few hard and fast rules designed to sustain the fundamentals of a rule-based order — prohibitions on outright territorial aggression, destructively predatory economic policies, and actions taken to disrupt and fracture the politics and societies of other states — but otherwise it would be open to compromise and half-measures. At the same time, it would work even more energetically to gain truly multilateral support for that narrower set of rules. America would need to acknowledge that arguments about how to achieve a shared goal (such as Iranian or North Korean denuclearization) are not tantamount to norm violations, and cease, for the most part, trying to coerce others into favored American tactics through such tools as “secondary sanctions.”[63] This fresh approach to U.S. engagement would require admitting that, increasingly, the United States will have to compromise on some of its own favored policies to get the deals it wants. A new consensus limiting Russian-style political interference, for example, is likely to require painful concessions on U.S. efforts to promote democracy abroad. A revised strategic mindset would redouble efforts, and offer bold compromises, in order to achieve or renew bilateral arms agreements with both Russia and China. The changing military balances in Europe and Asia-Pacific call for regional security arrangements, treaties, and political agreements on behavior in global domains, such as cyber or space. A more robust American military presence should be coupled with stabilizing initiatives in conventional arms control and measures to drive the competition into stable deterrence rather than security dilemmas and spiral decision-making models, which Washington can doubtfully afford to sustain. Russia’s break with the Intermediate-Range Nuclear Forces Treaty may mean that this agreement will not survive, but Washington can only gain by looking for new ways to restrain Russian force modernization and expanded force posture in Europe. As the single superpower with both global responsibilities and burdens and a normative vision for the international order, the United States has everything to defend, and only stands to lose from an uncontrolled competition. History offers valuable lessons here. Although the period of détente (1969–1979) failed to stop the Cold War, in part because of unrealistic expectations that it would do exactly that, it had a profoundly stabilizing effect at a time of transition in the global balance of power. This period led to formal arms control agreements, recognition of political borders, military confidence-building measures, and economic and cultural exchange along with an acknowledgment of the importance of human rights.[64] The Soviet Union sought to reduce tension on its Western borders at the same time as the United States was dealing with an objective loss of global superiority. Then, as now, the policy establishment was looking to find its footing in the face of American decline in its predominance in both military and political spheres. Détente didn’t last, but it was profoundly beneficial for Washington, and by engaging Moscow, it set in motion a host of processes that would ultimately lead to the Soviet Union’s demise. Today, similar forms of political, economic, and military agreements can be part of the recipe for reducing tensions with Russia and structuring the competition such that the United States retains leadership without eroding the order — that is, if the settlements become a way of reestablishing the order rather than forsaking it.[65] The challenge with this time period, unlike 1980, which saw the end of détente and a reinvigorated Cold War competition at a time of Soviet stagnation, is that history seems unlikely to repeat itself. Setting aside Washington’s problems with Russia, rogue states, and international terrorism, China alone has the range of power and ambitions to confront the United States with a competition it would struggle to resource and sustain. Hence the United States should revisit stabilizing periods like détente, when deals and compromises were made with adversaries, and restore that element of pragmatism to its strategic outlook. In sum, then, a new U.S. approach to international affairs would include treating Russia and China with a degree of political respect and legitimacy, rather than as miscreants opposed to the true and right vision of the future. This does not mean that the United States should abandon its efforts to hold them to some standard. Quite the contrary. It is only by reining in its absolutism and behaving in a more multilateral and flexible fashion that the United States is likely to gain the global support it needs to sustain the most essential rules of the post-war order. And it is only by addressing the rising grievances of these two potentially dangerous revisionist powers — rather than simply declaring those grievances illegitimate — that the United States will begin to create the basis on which China and Russia themselves feel able to compromise. At the same time, to succeed in the intensifying competition now underway, the United States will have to face the reality that if it does not get its own economic, political, and social house in order, it will be increasingly weak and vulnerable regardless of its military prowess. Americans have now elected four presidents in a row who claimed that making America strong internationally meant, first and foremost, attending to the domestic sources of national power. Yet pressing issues like exploding debt, entitlement reform, a crumbling infrastructure, criminal justice reform, climate change, political polarization, and information security, to name a few, continue to beg for solutions. But that will require the political will to conceive of bold answers. Major progress on several of these issues would do more to set back the ideological challenge of China and Russia and reaffirm the American model as the one to emulate, than any conceivable addition to the defense budget. The strategic moment, in other words, demands a lighter and more flexible touch abroad combined with bold action at home. Left unattended, however, the missionary mindset of U.S. foreign policy is likely to drive the nation in precisely the opposite direction. America’s experience in creating and then managing the post-World War II international order has repeatedly disproven the idea that it must choose between appeasement and war, or between value promotion and compromise. In his seminal 1961 speech, John F. Kennedy rejected these rigid formulations, arguing that
each of these extreme opposites resembles the other. Each believes that we have only two choices: appeasement or war, suicide or surrender, humiliation or holocaust, to be either Red or dead. Each side sees only ‘hard’ and ‘soft’ nations, hard and soft policies, hard and soft men.
Instead, he believed that “diplomacy and defense are not substitutes for one another” and that “as long as we know what comprises our vital interests and our long-range goals, we have nothing to fear from negotiations at the appropriate time, and nothing to gain by refusing to take part in them.”[66] This is the vision that America must rekindle, and it is this kind of America that is missing from the world stage.   Michael Mazarr is a senior political scientist at the RAND Corporation. He also serves as an adjunct professor in the Security Studies Program at Georgetown University’s School of Foreign Service. He holds A.B. and M.A. degrees from Georgetown University and a doctorate from the University of Maryland School of Public Affairs. He has been a faculty member and associate dean at the U.S. National War College, president of the Henry L. Stimson Center, senior vice president for strategic planning at the Electronic Industries Alliance, senior fellow and journal editor at the Center for Strategic and International Studies, legislative assistant for foreign affairs and chief writer in the office of Representative Dave McCurdy, and special assistant to the Chairman of the Joint Chiefs of Staff. He served seven years in the U.S. Navy Reserve, in both enlisted and commissioned ranks, as an intelligence specialist. He has authored over a dozen books, including North Korea and the Bomb (1995) and Unmodern Men in the Modern World: Radical Islam, Terrorism, and the War on Modernity (2007). The views expressed here are his own. Michael Kofman is Director of the Russia Studies Program at CNA Corporation and a Fellow at the Kennan Institute, Woodrow Wilson International Center in Washington, D.C. Mr. Kofman directs the Russia Studies Program at CNA, where he specializes in the Russian armed forces and security issues in the former Soviet Union. Mr. Kofman is also a fellow at the Modern War Institute at West Point, and a Senior Editor at War on the Rocks. Previously he served at National Defense University as a Program Manager and subject matter expert, advising senior military and government officials on issues in Russia/Eurasia. He has published numerous articles on security issues in Russia/Eurasia, along with analyses for the U.S. government. Mr. Kofman holds a M.A. in International Security from the Edmund A. Walsh School of Foreign Service, Georgetown University, and a B.A. in Political Science from Northeastern University. ISSN (Print): 2576-1021 ISSN(Online): 2576-1153 Image: Wikimedia Commons [post_title] => Rediscovering Statecraft in a Changing Post-War Order [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => rediscovering-statecraft-in-a-changing-post-war-order [to_ping] => [pinged] => [post_modified] => 2019-01-17 14:16:57 [post_modified_gmt] => 2019-01-17 19:16:57 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=583 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => If Washington doubles down on U.S. military and geopolitical predominance, it risks transforming the emerging competitive era into something far more confrontational and zero-sum than it needs to be. If it hopes to retain its position of leadership, the United States will have to make the present international order truly multilateral. [pubinfo] => [issue] => Vol 1, Iss 3 [quotes] => Array ( [0] => Array ( [author] => [style] => right [text] => Over time, the demand for purity in rule-making and enforcement has achieved a sort of religious fervor. ) [1] => Array ( [author] => [style] => left [text] => [T]he post-war order never was conceived of as constitutional, absolute, or without exceptions. ) [2] => Array ( [author] => [style] => right [text] => [I]t was the United States’ decision to take a decidedly missionary, rather than strategic, approach to Russia that played an important role in the current breakdown in U.S.-Russia relations. ) [3] => Array ( [author] => [style] => left [text] => Adversaries who assume that the United States will punish them no matter what they do have no incentive for restraint. ) [4] => Array ( [author] => [style] => right [text] => Simply put, American power, both relative and absolute, is insufficient to underwrite the order as it is currently conceived. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 641 ) [authors] => Array ( [0] => 171 [1] => 121 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] Andrew Higgins, “It’s No Cold War, But Relations with Russia Turn Volatile,” New York Times, Mar. 26, 2018, https://www.nytimes.com/2018/03/26/world/europe/russia-expulsions-cold-war.html. [2] The White House, National Security Strategy of the United States of America,  December 2017, 2, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905.pdf. [3] The Department of Defense, Summary of the 2018 National Defense Strategy of the United States of America: Sharpening America's Competitive Edge, January 2018, 2, https://www.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf. [4] National Security Strategy, 2017. [5] Hal Brands, “Choosing Primacy: U.S. Strategy and Global Order at the Dawn of the Post-Cold War Era,” Texas National Security Review 1, no. 2 (February 2018), https://tnsr.org/2018/02/choosing-primacy-u-s-strategy-global-order-dawn-post-cold-war-era-2/. See also Eric S. Edelman, “The Broken Consensus: America's Contested Primacy,” World Affairs 173, no. 4 (December 2010), http://www.worldaffairsjournal.org/article/broken-consensus-americas-contested-primacy. Van Jackson argues in a thoughtful essay that America never sought primacy, at least in Asia; see “American Military Superiority and the Pacific-Primacy Myth,” Survival 60, no. 2 (March 2018). We would suggest he has defined the required elements of a strategy of primacy too narrowly. [6] Charles A. Kupchan, “The Decline of the West: Why America Must Prepare for the End of Dominance,” Atlantic, Mar. 20, 2012, https://www.theatlantic.com/international/archive/2012/03/the-decline-of-the-west-why-america-must-prepare-for-the-end-of-dominance/254779/. For a more extended argument, see Charles A. Kupchan, No One’s World: The West, the Rising Rest, and the Coming Global Turn (New York: Oxford University Press, 2012), https://doi.org/10.1080/09700161.2014.895245. [7] This was the conclusion of the National Intelligence Council’s Global Trends report from 2008; see Global Trends 2025: A Transformed World (Washington, DC: U.S. Government Printing Office, 2008), https://www.dni.gov/files/documents/Newsroom/Reports%20and%20Pubs/2025_Global_Trends_Final_Report.pdf. See also Matthew Burrows and Roger George, “Is America Ready for a Multipolar World?” National Interest, Jan. 20, 2016, http://nationalinterest.org/feature/america-ready-multipolar-world-14964. [8] Andrew J. Bacevich, The New American Militarism: How Americans are Seduced by War (New York: Oxford University Press, 2013). See also Daryl Press and Benjamin Valentino, “A Balanced Foreign Policy,” in How to Make America Safe: New Policies for National Security, ed. Stephen Van Evera, (Cambridge, MA: The Tobin Project, 2006). [9] For a description of the current order, see Michael J. Mazarr, Miranda Priebe, Andrew Radin, and Astrid Stuth Cevallos, Understanding the Current International Order (Santa Monica, CA: RAND Corporation, 2016). See also the analysis of John Bew, “World Order: Many-Headed Monster or Noble Pursuit?” Texas National Security Review 1, no. 1 (Dec. 2017). [10] See John Lewis Gaddis, George F. Kennan: An American Life (New York: Penguin, 2009) and Andrew J. Bacevich, The Limits of Power: The End of American Exceptionalism (New York: Holt, 2009). [11] Bill Keller, “The Return of America’s Missionary Impulse,” New York Times Magazine, Apr. 15, 2011, https://www.nytimes.com/2011/04/17/magazine/mag-17Lede-t.html. [12] Mark Kersten, “The Responsibility to Protect Doctrine is Faltering. Here’s Why,” Washington Post, Dec. 8, 2015, https://www.washingtonpost.com/news/monkey-cage/wp/2015/12/08/the-responsibility-to-protect-doctrine-is-failing-heres-why/?utm_term=.1ec01eb7adb1; Edward Rhodes, “The Imperial Logic of Bush's Liberal Agenda,” Survival 45, no. 1 (2007), https://doi.org/10.1080/00396330312331343356; Michael C. Desch, “The Liberal Complex,” American Conservative, Jan. 10, 2011, http://www.theamericanconservative.com/articles/the-liberal-complex/. [13] Anthony C. Zinni, “The ‘Responsibility to Protect’ and the Dangers of Military Intervention in Fragile States,” in Secular Nationalism and Citizenship in Muslim Countries, ed. Kail C. Ellis, (New York: Palgrave Macmillan, 2018), 171-177. See also Mohammed Ayoob, “Humanitarian Intervention and State Sovereignty,” The International Journal of Human Rights 6, no. 1 (September 2010), https://doi.org/10.1080/714003751. [14] Henry Kissinger, “A New Doctrine of Intervention?” Washington Post, Mar. 30, 2012, https://www.washingtonpost.com/opinions/a-new-doctrine-of-intervention/2012/03/30/gIQAcZL6lS_story.html?utm_term=.041085544113. [15] Russian views of this process are described in Andrew Radin and Clinton Bruce Reach, Russian Views of the International Order (Santa Monica, CA: RAND Corporation, 2017). [16] A sympathetic account of such activities which nonetheless describes their risks is Thomas Carothers, “Responding to the Democracy Promotion Backlash,” Carnegie Endowment for International Peace, June 8, 2006, http://carnegieendowment.org/2006/06/08/responding-to-democracy-promotion-backlash-pub-18416. [17] Ellen Mitchell, “Pentagon: War in Afghanistan Will Cost $45 Billion in 2018,” Hill, Feb. 6, 2018, http://thehill.com/policy/defense/372641-pentagon-war-in-afghanistan-will-cost-45-billion-in-2018. [18] This is a major theme of Henry Kissinger, World Order (New York: Penguin Books, 2014). [19] An excellent source on these trends is Oliver Steunkel, Post-Western World: How Emerging Powers Are Remaking Global Order (London: Polity, 2016). [20] For a fine survey of U.S. strategy in the post-Cold War period, see Hal Brands, Making the Unipolar Moment: U.S. Foreign Policy and the Rise of the Post-Cold War Order (Ithaca, NY: Cornell University Press, 2016). [21] This distinction is made in Mazarr, Priebe, Radin, and Cevallos, Understanding the Current International Order. [22] See, for example, Stewart Patrick, The Best Laid Plans: The Origins of American Multilateralism and the Dawn of the Cold War (Rowman and Littlefield, 2008). [23] An excellent recent survey of the evolution of thinking on sovereignty in the modern international order is Stewart Patrick, The Sovereignty Wars: Reconciling America with the World (Washington, DC: The Brookings Institution Press, 2017). See also Richard N. Haass, “World Order 2.0: The Case for Sovereign Obligation,” Foreign Affairs 96, no. 1 (January/February 2017), https://www.foreignaffairs.com/articles/2016-12-12/world-order-20. [24] The story of the origins of the United Nations is told in Mark Mazower, Governing the World: The History of an Idea, 1815 to the Present (New York: The Penguin Press, 2012), 191-213. He concludes that the framers of the system “ended up creating an organization that combined the scientific technocracy of the New Deal with the flexibility and power-political reach of the nineteenth-century European alliance system.” [25] The literature on the inconsistencies of U.S. human rights policy, especially during the Cold War, is immense. For a brief survey, see Mark P. Lagon, “Promoting Human Rights: Is U.S. Consistency Desirable or Possible?” Council on Foreign Relations, Oct. 19, 2011, https://www.cfr.org/expert-brief/promoting-human-rights-us-consistency-desirable-or-possible. See also David Carleton and Michael Stohl, “The Foreign Policy of Human Rights: Rhetoric and Reality from Jimmy Carter to Ronald Reagan,” Human Rights Quarterly 7, no. 2 (May 1985), http://www.jstor.org/stable/762080; Ted Galen Carpenter, “The Hypocritical Strain in U.S. Foreign Policy,” National Interest, May 4, 2011, https://www.cato.org/publications/commentary/hypocritical-strain-us-foreign-policy; and Kathryn Sikkink, Mixed Signals: U.S. Human Rights Policy and Latin America (Ithaca, New York: Cornell University Press, 2004). [26] The concept of balance and flexibility is a major theme in Dennis Ross, Statecraft: And How to Restore America's Standing in the World (New York: Farrar, Straus and Giroux, 2008). [27] Indeed, this concept was given a theoretical foundation with John Gerard Ruggie’s notion of “embedded liberalism,” the idea that the post-war socioeconomic order gained strength through the flexibility to allow a certain amount of domestic variations from the liberalizing norms of the system. John Gerard Ruggie, “International Regimes, Transactions, and Change: Embedded Liberalism in the Postwar Economic Order,” International Organization 36, no. 2 (Spring 1982), https://doi.org/10.1017/S0020818300018993. [28] For arguments on this score, see Craig Martin, “International Law and U.S. Military Strikes on Syria,” Huffington Post, Aug. 31, 2013,  https://www.huffingtonpost.com/craig-martin/international-law-and-the_b_3849593.html; Sharmine Narwani, “Is the Expanding U.S. Military Presence in Syria Legal?” American Conservative, Aug. 4, 2017, http://www.theamericanconservative.com/articles/is-the-expanding-u-s-military-presence-in-syria-legal/; and Laurie Blank, “Syria Strikes: Legitimacy and Lawfulness,” Lawfare, Apr. 16, 2018, https://lawfareblog.com/syria-strikes-legitimacy-and-lawfulness. The international reaction to the legality of the latest round of U.S. and allied strikes has been mixed, with most states declining to take a formal position one way or the other. See Alonso Gurmendi Dunkelberg, Rebecca Ingber, Priya Pillai, and Elvina Pothelet, “Mapping States’ Reactions to the Syria Strikes of April 2018,” Just Security, Apr. 22, 2018, https://www.justsecurity.org/55157/mapping-states-reactions-syria-strikes-april-2018/. [29] Edward A. Kolodziej laid out an especially ambitious conceptualization of this de-facto mutual agreement in “The Cold War as Cooperation,” Bulletin of the American Academy of Arts and Sciences 44, no. 7, (April 1991), http://www.jstor.org/stable/3824660. [30] James Goldgeier has argued that a series of U.S.-Russian meetings in the early years of the post-Cold War period “symbolize the narrative of the entire decade: While desirous of a new relationship with Russia, the United States saw itself as the Cold War victor and had the power to shape the security dynamic across Europe.” The result, he argues, is that “while NATO enlargement spread security across a region more accustomed to insecurity or unwelcome domination, the failure to provide a place for Russia in the European security framework (for which Russia is responsible as well) left a zone of insecurity between NATO and Russia that continues to bedevil policymakers.” See James Goldgeier, “Promises Made, Promises Broken? What Yeltsin Was Told about NATO in 1993 and Why It Matters,” War on the Rocks, July 12, 2016, https://warontherocks.com/2016/07/promises-made-promises-broken-what-yeltsin-was-told-about-nato-in-1993-and-why-it-matters/. He is less critical of the post-Cold War U.S. strategy than our analysis; see also Goldgeier, “Less Whole, Less Free, Less at Peace: Whither America’s Strategy for a Post-Cold War Europe?” War on the Rocks, Feb. 12, 2018, https://warontherocks.com/2018/02/less-whole-less-free-less-peace-whither-americas-strategy-post-cold-war-europe/. [31] For historical surveys of Russian foreign policy that touch on this perennial imperative in Russian strategic culture, see for example Robert Legvold, ed., Russian Foreign Policy in the Twenty-First Century and the Legacy of the Past (New York: Columbia University Press, 2007) and Stephen Kotkin’s “Russia’s Perpetual Geopolitics, Foreign Affairs 95, no. 3 (May/June 2016), https://www.foreignaffairs.com/articles/ukraine/2016-04-18/russias-perpetual-geopolitics. For a general discussion, see Dmitry Trenin, “Russia’s Spheres of Interest, Not Influence,” The Washington Quarterly 32, no. 4 (October 2009), https://doi.org/10.1080/01636600903231089. [32] Timothy Snyder, On Tyranny: Twenty Lessons from the Twentieth Century (New York: Tim Duggan Books, 2017). [33] For the role of resentment over Kosovo in sparking recent Russian actions, see Masha Gessen, “Crimea is Putin’s Revenge,” Slate, Mar. 21, 2014, http://www.slate.com/articles/news_and_politics/foreigners/2014/03/putin_s_crimea_revenge_ever_since_the_u_s_bombed_kosovo_in_1999_putin_has.html. See also Ted Galen Carpenter, “How Kosovo Poisoned America’s Relationship with Russia,” National Interest, May 19, 2017, http://nationalinterest.org/feature/how-kosovo-poisoned-americas-relationship-russia-20755; and Stephen J. Blank, Threats to Russian Security: The View from Moscow (Carlisle, PA: U.S. Army Strategic Studies Institute, 2000). [34] Tom Z. Collina, “Dumping the ABM Treaty: Was It Worth It?” Arms Control Now, June 12, 2012. [35] For a general review of events, see Jeffrey Tayler, “The Seething Anger of Putin’s Russia,” Atlantic, Sept. 22, 2014, https://www.theatlantic.com/international/archive/2014/09/russia-west-united-states-past-future-conflict/380533/; and Radin and Reach, Russian Views, 23-29. [36] See “Putin's Prepared Remarks at 43rd Munich Conference on Security Policy,” Washington Post, Feb. 12, 2007, http://www.washingtonpost.com/wp-dyn/content/article/2007/02/12/AR2007021200555.html. [37] See Thomas Friedman, “Foreign Affairs; Now a Word From X,” New York Times, May 2, 1998, https://www.nytimes.com/1998/05/02/opinion/foreign-affairs-now-a-word-from-x.html; and Kenneth N. Waltz, “Structural Realism after the Cold War,” International Security 24, no. 1 (Summer 2000), http://www.columbia.edu/itc/sipa/U6800/readings-sm/Waltz_Structural%20Realism.pdf. [38] Eri Hotta, Japan 1941: Countdown to Infamy (New York: Alfred A. Knopf, 2013). [39] Radin and Reach, Russian Views. [40] One recent argument on this score is James Traub, “America Can’t Win Great-Power Hardball,” Foreign Policy, Nov. 16, 2017, http://foreignpolicy.com/2017/11/16/america-cant-win-great-power-hardball/. [41] Keir A. Lieber and Gerard Alexander, “Waiting for Balancing: Why the World is Not Pushing Back,” International Security 30, no. 1 (Summer 2005), https://doi.org/10.1162/0162288054894580. [42] Michael J. Mazarr and Ashley L. Rhoades, Testing the Value of the Postwar International Order (Santa Monica, CA: RAND Corporation, 2018). [43] A number of analysts have written about the tendency of modern American predominance to generate expanding ambitions. See, for example, Christopher Preble, The Power Problem: How American Military Dominance Makes Us Less Safe, Less Prosperous, and Less Free (Ithaca, NY: Cornell University Press, 2009), especially 87-115. Our own recommendations are less comprehensive than Preble’s, and we do not agree with every aspect of his portrait of U.S. military power. [44] Stephen M. Walt, “Why Are U.S. Leaders So Obsessed with Credibility?” Foreign Policy, Sept. 11, 2012, http://foreignpolicy.com/2012/09/11/why-are-u-s-leaders-so-obsessed-with-credibility/; and Christopher Fettweis, “Credibility and the War on Terror,” Political Science Quarterly 122, no. 4 (Winter 2007), http://www.jstor.org/stable/20202929. [45] Jack Snyder, Myths of Empire: Domestic Politics and International Ambition (Ithaca, NY: Cornell University Press, 1991). [46] Thomas Schelling, Arms and Influence (New Haven: Yale University Press, 1966), 4. [47] For one recent example see Eugene Gholz, Daryl G. Press, and Harvey M. Sapolsky, “Come Home America: The Strategy of Restraint in the Face of Temptation,” International Security 21, no. 4 (Spring 1997). [48] Stephen G. Brooks, G. John Ikenberry, and William C. Wohlforth, "Don't Come Home, America: The Case against Retrenchment," International Security 37, no. 3 (Winter 2011/2012): 7-51, https://doi.org/10.1162/ISEC_a_00107. [49] See for example Amitav Acharya, The End of American World Order (New York: Polity, 2014). [50] A good recent statement of the need for a multilateral conception of a shifting order is Trine Flockart, Charles A. Kupchan, Christina Lin, Bartlomiej E. Nowak, Patrick W. Quirk, and Lanxin Xiang, Liberal Order in a Post-Western World (Washington, DC: Transatlantic Academy, 2014). [51] Alison Smale, “Angela Merkel and Emmanuel Macron Unite Behind Paris Accord,” New York Times, June 2, 2017, https://www.nytimes.com/2017/06/02/world/europe/paris-agreement-merkel-trump-macron.html. [52] Shawn Donnan, “Globalization Marches On Without Trump,” Financial Times, Nov. 6, 2017, https://www.ft.com/content/d81ca8cc-bfdd-11e7-b8a3-38a6e068f464; Koichi Hamada, “The Rebirth of the TPP,” Project Syndicate, June 29, 2017, https://www.project-syndicate.org/commentary/tpp-revival-japan-us-by-koichi-hamada-2017-06?barrier=accessreg. [53] Besma Momani, “Xi Jinping’s Speech at Davos Showed the World Has Turned Upside Down,” Newsweek, Jan. 18, 2017, http://www.newsweek.com/davos-2017-xi-jinping-economy-globalization-protectionism-donald-trump-543993. [54] Robert R. Bowie and Richard H. Immerman, Waging Peace: How Eisenhower Shaped an Enduring Cold War Strategy (New York: Oxford University Press, 1998), 158-177. [55] Robert F. Worth, “Can Jim Mattis Hold the Line in Trump’s ‘War Cabinet’?” New York Times, Mar. 26, 2018, https://www.nytimes.com/2018/03/26/magazine/can-jim-mattis-hold-the-line-in-trumps-war-cabinet.html. [56] Greg Jaffe and Damian Paletta, “Trump Plans to Ask for $719 Billion for National Defense in 2019 — A Major Increase,” Washington Post, Jan. 26, 2018, https://www.washingtonpost.com/world/national-security/trump-plans-to-ask-for-716-billion-for-national-defense-in-2019--a-major-increase/2018/01/26/9d0e30e4-02a8-11e8-bb03-722769454f82_story.html?utm_term=.aff638a5bce1. [57] See Terrence Kelly, David C. Gompert, and Duncan Long, Smarter Power, Stronger Partners, Volume I: Exploiting U.S. Advantages to Prevent Aggression (Santa Monica, CA: RAND Corporation, 2016). [58] For an interesting perspective on spheres of influence and balance of power, see Robert Kagan, “The United States Must Resist a Return to Spheres of Interest in the International System,” Brookings Institution, Feb. 19, 2015, https://www.brookings.edu/blog/order-from-chaos/2015/02/19/the-united-states-must-resist-a-return-to-spheres-of-interest-in-the-international-system/. For a similar argument on realism, see Roger Cohen, “The Limits of American Realism,” New York Times, Jan. 11, 2016, https://www.nytimes.com/2016/01/12/opinion/the-limits-of-american-realism.html. [59] For two powerful recent arguments to this effect, see Kurt M. Campbell and Ely Ratner, “The China Reckoning: How Beijing Defied American Expectations,” Foreign Affairs 97, no. 2 (March/April 2018), http://heinonline.org/HOL/LandingPage?handle=hein.journals/fora97&div=37&id=&page=; and Hal Brands, “The Chinese Century?” National Interest, Feb. 19, 2018, http://nationalinterest.org/feature/the-chinese-century-24557. [60] National Defense Strategy, 2018. [61] Graham Allison, Destined for War: Can America and China Escape Thucydides’ Trap? (New York: Houghton Mifflin, 2017). For good critiques, see Rosemary Foot, “Two Differing Views on U.S.-China Conflict Find Common Ground in Their Solutions,” and Neville Morley, “History Can’t Always Help to Make Sense of the Future,” both in “Book Review Roundtable: Is War with China Coming? Contrasting Views,” Texas National Security Review, Nov. 1, 2017, https://tnsr.org/roundtable/war-with-china-contrasting-visions/. [62] That model reflects a more accurate reading of the cause of war in Thucydides anyway — with the United States playing the role of the hubristic, overconfident Athens, gathering distant allies and goading Sparta into a war it neither desired nor sought. For a critique of the notion as applied to China, see Arthur Waldron, “There Is No Thucydides Trap,” Straits Times, June 18, 2017, http://www.straitstimes.com/opinion/there-is-no-thucydides-trap. [63] Yeganeh Torbati, “Sanctions ’Overreach’ Risks Driving Business from U.S.: Treasury’s Lew,” Reuters, Mar. 30, 2016, https://www.reuters.com/article/us-usa-sanctions-jacklew/sanctions-overreach-risks-driving-business-from-u-s-treasurys-lew-idUSKCN0WW1VM; and Aaron Arnold, “Watch Out for the Blowback of Secondary Sanctions on North Korea,” Diplomat, Apr. 28, 2017, https://thediplomat.com/2017/04/watch-out-for-the-blowback-of-secondary-sanctions-on-north-korea/. [64] Robert G. Kaiser, “U.S.-Soviet Relations: Goodbye to Détente,” Foreign Policy 59, no. 3 (America and the World 1980), https://www.foreignaffairs.com/articles/russian-federation/1981-02-01/us-soviet-relations-goodbye-d-tente. [65] Steven Pifer, “Arms Control, Security Cooperation, and U.S.-Russian Relations,” Brookings Institution, Nov. 17, 2017, https://www.brookings.edu/research/arms-control-security-cooperation-and-u-s-russian-relations/; and Strobe Talbott, “U.S.-Russian Arms Control Was Possible Once — Is It Possible Still?” Brookings Institution, Dec. 12, 2017, https://www.brookings.edu/blog/order-from-chaos/2017/12/12/u-s-russia-arms-control-was-possible-once-is-it-possible-still/. [66] John F. Kennedy, “Address in Seattle at the University of Washington's 100th Anniversary Program,” Nov. 16, 1961, available at http://www.presidency.ucsb.edu/ws/?pid=8448. ) [contents] => Array ( [title] => [contents] => ) ) [8] => WP_Post Object ( [ID] => 569 [post_author] => 170 [post_date] => 2018-05-08 05:00:56 [post_date_gmt] => 2018-05-08 09:00:56 [post_content] => On any given day in Washington, dozens of think tanks that work on national security issues are busy drafting policy memos, meeting with embassy staff and foreign visitors, testifying before Congress, conducting press interviews, raising funds for their research, and hosting events, all in an effort to shape U.S. foreign policy. But in the weeks and months following the 2016 election, the normal rhythm of think tank work slowed considerably. The election of Donald Trump as America’s 45th president raised some fundamental, and at times, paralyzing questions for Washington’s think tank community. How did so many wonks both on the left and the right miss America’s growing disaffection with globalization, a phenomenon that helped bring Trump to power? It is incumbent upon everyone who works in national security to ask ourselves what that fact says about the disconnect between Washington and the rest of the country. With an administration that prides itself on disregarding conventional expertise, we must also pose the question: What role should think tanks play moving forward? Many of us in Washington are still mulling over those questions. But at the think tank where I work, the bipartisan Center for a New American Security (CNAS), my small team working on transatlantic security issues quickly came to the conclusion that it was time to try something different. Instead of spending most of our time interacting with other national security experts in Washington (both in and out of government) and meeting with allies and partners abroad, we needed to engage new audiences across the United States. We needed to escape the proverbial Beltway bubble. And because my program’s mandate is to focus on transatlantic relations, my team knew that whatever initiative we were going to develop would need to include European national security experts as well. In the spring of 2017, CNAS formally launched “Across the Pond, in the Field.”[1] Over the course of three years, the project will take teams made up of two Americans and two Europeans to 12 cities across the United States. The two American envoys come from CNAS, while the Europeans we’ve selected have been former ministers, current ambassadors, and think tank scholars. The project has multiple objectives. We want to expose Washingtonians and Europeans to a diverse range of American perspectives on transatlantic relations and U.S. foreign policy, something they don’t necessarily get in national capitals. We also want to create opportunities for the Europeans on these trips to develop lasting relationships with cities outside of Washington and New York. Finally, our aim is to engage in a series of debates on U.S. global engagement with “grass-top” leaders — local individuals in industry and the public sector who serve as opinion leaders in their communities. Our goal has never been to lecture or teach Americans what they ought to think. Instead, we try to foster a genuine exchange of ideas that will allow the Americans we meet to ask us hard questions and challenge some of our longstanding, core assumptions about the transatlantic relationship and broader U.S. foreign policy. Each trip that our teams go on follows the same general template. Over the course of two days, our small delegation hosts at least one large public event, speaks with members of the local press (which usually includes an editorial board meeting and AM talk radio), meets with business and political leaders, and visits a high school and/or a university. To date, we have visited Pittsburgh, Salt Lake City, and Tampa. As one might expect, these trips have taught us a lot so far, both about how to conduct programming “outside the Beltway” and about how Americans today are thinking about the world more broadly. Of course, a three-city tour doesn’t lend itself to any conclusive generalizations, particularly because we aren’t hearing from a full cross section of America in terms of race, ethnicity, and socio-economic status. But we believe that some of the early lessons from those three trips are worth sharing. Americans are generally eager to interact and engage about their country’s role in the world, but some remain skeptical. The first question we asked ourselves when we started this program was whether anyone would show up. Do Americans outside of Washington want to hear from and engage in debates with the foreign policy elites who are popularly portrayed by the media as out of touch and irrelevant? To our great relief, especially after our well-attended public event in our first stop in Pittsburgh, we have found that people do indeed show up. Sometimes they turn out in stunningly large numbers. Our public events regularly draw audiences between 100 and 200 people, and I’ve personally spoken to audiences across the country that range in size from 300 to 700 people. Between CNAS’ “Across the Pond” trips, my own personal invitations to speak to audiences in places like Ohio and New Hampshire, and anecdotes from colleagues running similar programs, there is no question that Americans are hungry to engage with policymakers and experts on foreign policy. That said, not everyone has welcomed us with open arms. In advance of our trip to Pittsburgh, I placed an op-ed in the Pittsburgh Post-Gazette explaining the goals of our project and why it was important for folks like myself to get outside of Washington. The day that piece ran, CNAS received seven or eight phone calls — some profanity-laden — telling us to stay home. Because some of the calls included thinly veiled threats, we asked for police presence at our public event. Fortunately, we haven’t ever encountered that sentiment in person. But the fact that a program designed to seek and listen to alternative viewpoints can create such a visceral reaction has taught us a thing or two about just how deep the mistrust and animosity towards Washington really runs. Those phone calls reminded me of some of the reactions I encountered when I walked around the Washington monuments last summer with a video camera to ask American tourists what they thought about NATO. Most of the folks I approached were happy to offer a few comments. On a few occasions, however, parents held their children close and told me to back away, noting that they never talk to the “lamestream media.” My efforts to reassure them by stating calmly that I did not work for a TV or radio station failed. What has become clear to me both through that experience and our city visits is that we may never find ways to engage certain sectors of the population, particularly those that reject the premise that dialogue in itself is a useful exercise. Working for a think tank in Washington means I come from a different tribe and for some people, that’s enough reason to keep me at arm’s length. [quote id="1"] Finding a willing conservative, public audience in a large American city is difficult. Many U.S. cities are home to nonprofits such as the World Affairs Councils of America or the American Committees on Foreign Relations. The mission of these organizations is to create opportunities for dialogue with global leaders and policymakers. They play a critical role in educating both their members and the general public about pressing national security challenges. However, because many U.S. cities (even in red states) tilt blue, the audiences that those organizations draw tend to be heavy on the Democrats’ side. One of the major challenges we face in working with people outside of the Beltway has been identifying partner organizations that can help us reach a more politically diverse set of Americans. In the case of Pittsburgh, that meant leaving the downtown area and driving an hour to a neighboring red county to hold an event at a public library. In the case of Tampa, it meant spending hours on the phone finding libertarian and conservative groups and asking to help publicize our public event downtown. Those calls aren’t always easy to make. You spend an enormous amount of time explaining who you are, what you do, who funds your work, why you’re coming to town, and why they should care. In most cases, after a couple of calls, people offer to help. Occasionally, though, Washington’s image as an elitist, out-of-touch, and globalist hub fuels skepticism about the motives behind our project and ends the conversation. Form and format matter and can easily make or break efforts to engage Americans in an honest and civil debate. Americans might be interested in engaging on foreign policy, but they aren’t in the mood for a lecture, especially from a bunch of elitist wonks from the coast. That’s why we have very deliberately banned speeches at every event we attend or host. For large public forums, our moderator starts with one or two questions for our panelists and then immediately goes to the audience, often collecting four or five questions at a time in order to maximize the number of people that we can hear from. Audiences have reacted positively to that format, often noting that they were surprised and relieved that we didn’t open with a long lecture. We also try to host a reception after our public events where people can approach our delegation one-on-one. With an audience of 100 to 200 people or more, it’s impossible to engage in an ideal dialogue. However, using some of these formats has helped us hear from as many people as possible. Another important lesson from this project is the importance of humility and a willingness to admit your mistakes, especially regarding policies that your audience might oppose. It is impossible to foster a genuine exchange of ideas if you start in a defensive crouch. In some of the events we’ve hosted, I have intentionally outlined some of the policies that I believe we got wrong during the Obama administration in which I served. Our European guests also have been refreshingly honest about some of their own policy errors or miscalculations. This kind of openness and honesty can help disarm an American audience that is regularly bombarded with accusatory and divisive stories about folks on the other side of the aisle. No single foreign policy issue occupies the minds of Americans today — their questions vary by the hour. Looking at polling data on American threat perceptions, it is easy to get the impression that Americans are singularly worried about terrorism.[2] In the three cities we visited, however, we did not encounter many questions about terrorism or the Islamic State. Instead, we heard a wide array of questions and opinions on everything from NATO to North Korea to NAFTA. Unsurprisingly, the headlines shape the questions people ask, as do the backgrounds and expertise of our European guests. For example, the British Labor Party politician we took to Salt Lake City was peppered with questions about Brexit. The current Swedish ambassador to the United States was asked about her country’s efforts to be fossil-free by 2050. The former German defense minister took some pointed questions on defense spending. Some conspiracy theories and misleading narratives have taken root. Broadly speaking, the Americans we’ve met both at public events and in one-on-one meetings have been very well-informed. But in the age of disinformation[3] and with a president who has openly admitted to creating facts out of whole cloth,[4] it is not uncommon to stumble upon sometimes disturbing myths, conspiracy theories, or falsehoods. This is especially true on the issues of immigration and refugees. The Swedish ambassador was asked by an audience member if Muslims living in her country were taking over Swedish culture or outproducing Swedes. On another trip, a local resident asked the current Danish ambassador to the United States if it was safe to travel to Europe because he had heard “there is a terrorist attack every single day and that people are getting robbed by gangs of refugees.” In Pittsburgh, I recorded a podcast with the former president of the Pittsburgh Rotary Club, who, in a discussion about U.S. and European immigration policies, claimed —  falsely —  that some predominantly Muslim cities in both Michigan and North Carolina have fully implemented Sharia.[5] While this project isn’t about lecturing the Americans we meet, we have seized on opportunities to engage in myth busting where appropriate. The issue of Russia has become so politicized that it’s dangerous to raise. Of all the issues we’ve debated to date, none is as politically charged as Russia, specifically Russian meddling in the 2016 election. Recent polling data has shown the emergence of a noticeable split among Democrats and Republicans on their views towards Russia, attempts to engage the Russians, and the president’s own relationship with Russia.[6] For nearly two decades, Americans on both sides of the aisle have held similarly negative views toward Russia. But that ended after the 2016 election. Democrats now hold a far less positive view towards Russia than Republicans do[7] — only 15 percent of Democrats have a favorable view of Russia, while 30 percent of Republicans do. Like domestic issues such as gun violence and the Second Amendment, one’s views on Russia now can easily reveal political party affiliation. We have felt that partisan divide on Russia in every city we have visited. Merely mentioning Russia quickly morphs into a scathing discussion about U.S. politics. Democrats are accused of conducting a “witch hunt.” Republicans are accused of being AWOL on Russian election meddling. There are also some fascinating twists and turns in all the Russia-related finger-pointing. Republicans who have attended our events like to remind Democrats that they once mocked presidential candidate Mitt Romney for stating that Russia was America’s greatest threat. Democrats at our events like to remind Republicans that they still mock former President Barack Obama for his Russian “reset” policy, even though many Republicans now support Trump’s effort to do something similar. In our discussions, we try our best to get away from Russian interference in our election and ask some of our European guests to describe their country’s experiences with Russian aggression and what they’re doing about it. Europeans have been dealing with Russian acts of intimidation, energy coercion, and disinformation campaigns far longer than the United States. Sharing those experiences helps our audiences appreciate the scope of the problem. It also serves as a useful reminder that the transatlantic relationship isn’t always about America teaching or lecturing Europe. In many cases, such as how to grapple with Russian disinformation, we Americans can learn a lot from our European allies. U.S. mayors and other local politicians don’t feel hindered by today’s hyper-partisanship and are making up for the paralysis across Washington. After visits to only three cities, it’s hard to offer generalizable findings about anything that we’ve observed. We have found it refreshing, however, to hear so many stories from local politicians in the cities we have visited about their efforts to rise above the party politics currently paralyzing the nation’s capital. Unlike their counterparts in Congress, the mayors and county executives we’ve met are extending hands across the aisle, developing new relationships at home and abroad, and forming alliances across state lines to advance common agendas on everything from climate change to the opioid crisis.  Americans of all political stripes are tired of carrying the proverbial burden of the West. Irrespective of party affiliation, hometown, or age, many of the Americans we have met have expressed some level of frustration with burden-sharing in international matters. That sentiment takes different forms: America does too much for European defense, America is the world’s policeman, or America provides too much aid to other countries. The basic message is that America is unfairly doing too much of something. What that means for the future of U.S. foreign policy, though, is far from clear. For some, Trump’s “America First” slogan and his accompanying policies on everything from trade to Syrian refugees are the answer. For others, however, the feeling that America is doing or has done too much in the world doesn’t necessarily translate into opposition to free trade or a desire to leave the NATO alliance. In fact, a higher percentage of Americans in 2017 believed that global trade was good for the U.S. economy and consumers than in 2016.[8] American support for the NATO alliance is also on the rise.[9] But there is a palpable sentiment that America needs to encourage others to share a greater portion of the burden when it comes to global challenges. No future U.S. president can afford to ignore this. Even in cases where they support global engagement, Americans express a clear desire for more “leadership” from our partners and allies. CNAS’ “Across the Pond” project isn’t a scientific study about American attitudes, nor is it an attempt for policy elites to teach Americans in faraway places how to think about transatlantic relations and U.S. foreign policy. What it is at its core is a much-needed attempt at civil discourse and debate, free of insults and partisan attacks. But what about its impact, a term deeply familiar to those of us working in think tanks. In other words, what’s the point? [quote id="2"] We don’t survey the people we meet through this project, so it is hard to know, short of a lot of positive feedback, whether our events are breaking through the partisan noise and helping folks learn from each other. There are, however, a few concrete ways to measure change. The CNAS intern pool, often dominated by applicants from the East Coast, has become more geographically diverse. We are now receiving applications from every city we’ve visited, and we hope that will continue as we visit another nine cities. The Transatlantic Security Program also produces a weekly podcast and puts out a weekly newsletter, via email, on transatlantic issues. We have seen an increase in the number of subscribers to those two products, which helps CNAS with national outreach. Perhaps the biggest impact, though, has been in regards to my own personal views about transatlantic relations. I have spent more than 20 years working on Europe and advocating for a strong partnership with European allies. Over the course of the last year, I have worried that Trump’s sometimes benign, sometimes antagonistic views towards Europe were moving the two sides of the Atlantic away from their shared history and shared values. I have warned that making the transatlantic relationship more transactional would spell disaster. But as some of the people we’ve engaged outside of Washington have reminded me in recent months, it seems Europe has adjusted quite well to this new era. Contrary to my warnings, our European allies haven’t abandoned us just because we have a president who questions the utility of NATO and supports Brexit. Are these relationships more durable than I realized? Is the values aspect of the transatlantic relationship overstated? These are the questions my colleagues and I don’t necessarily encounter in the near constant cycle of meetings and conferences across Washington. Many of us, myself included, can find ourselves trapped in defending the status quo. For example, U.S. presidents always reiterate America’s unwavering commitment to NATO’s Article 5 clause on their first trip to Brussels. When Trump failed to do this last summer, Washington pundits, scholars, and journalists spent weeks warning about the consequences of departing from that tradition. This project gives us an opportunity to interact with people who don’t necessarily react the same way to a president that regularly challenges the bipartisan consensus on U.S. foreign policy. Finally, “Across the Pond” is an attempt to mine the country for fresh ideas. Not all of the answers for addressing Chinese cyber-attacks, Russian disinformation campaigns, or a brewing trade war with Europe — to name just a few of today’s challenges — can be found in the White House Situation Room or large conference tables at Washington think tanks. Policymakers on both sides of the Atlantic must engage chambers of commerce, trade associations, and the private sector where one finds a greater degree of agility and innovation. Former policymakers on these trips also need to signal to universities what kind of skill sets governments will need in the future. For example, with so many U.S. adversaries relying on asymmetric tactics designed to undermine America’s technological edge, the U.S. government will need more graduates with backgrounds in both policy and technology. These are some of the conversations we’re having on these trips. On their letterhead, program materials, and websites, think tanks often make oversized claims about their impact. They are either solving intractable problems or charting a course towards a better world. Or both. We certainly aren’t prepared to argue that our “Across the Pond, in the Field” project is going to change the world. We do believe, however, that it is a much-needed attempt to break out of the conventional think tank model. That doesn’t mean we’ll stop researching and working on those tough policy dilemmas in Syria and North Korea. All of that important work will continue. But we will continue to implement this project in parallel to give us (and our European guests) the chance to pause, get outside the Beltway, question our core assumptions, and hear from folks that look at the world differently. Our next stop will be Grand Rapids, Michigan, in June. Julie Smith directs the Transatlantic Security Program at the Center for a New American Security (CNAS) and is the former deputy national security advisor to former Vice President Joseph Biden. ISSN (Print): 2576-1021 ISSN(Online): 2576-1153 [post_title] => Getting Out and About: Talking with Americans Beyond Washington About Their Place in the World [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => getting-out-and-about-talking-with-americans-beyond-washington-about-their-place-in-the-world [to_ping] => [pinged] => [post_modified] => 2019-01-17 14:16:02 [post_modified_gmt] => 2019-01-17 19:16:02 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=569 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => A small team at CNAS is getting out of the Beltway “bubble” to talk to Americans about what role the United States should play on the international scene. [pubinfo] => [issue] => Vol 1, Iss 3 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => We want to expose Washingtonians and Europeans to a diverse range of American perspectives on transatlantic relations and U.S. foreign policy. ) [1] => Array ( [author] => [style] => right [text] => “Across the Pond” is an attempt to mine the country for fresh ideas. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 643 ) [authors] => Array ( [0] => 170 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] This project is made possible through the government of the Federal Republic of Germany through funds of the European Recovery Program (ERP) of the Federal Ministry for Economic Affairs and Energy. Additional funds provided by the Robert Bosch Stiftung. [2] In a 2018 Pew Research Center poll, “defending against terrorism” ranked among the public’s leading priorities for the president and Congress, with nearly three-quarters (73 percent) saying it is a top priority. See Kristin Bialik, “State of the Union 2018: Americans’ Views on Key Issues Facing the Nation,” Pew Research Center, Jan. 18, 2018, http://www.pewresearch.org/fact-tank/2018/01/29/state-of-the-union-2018-americans-views-on-key-issues-facing-the-nation/. [3] Darrell M. West, “How to Combat Fake News and Disinformation,” Brookings Institution, Dec. 18, 2017, https://www.brookings.edu/research/how-to-combat-fake-news-and-disinformation/. [4] Josh Dawsey, Damian Paletta, and Erica Werner, “In Fundraising Speech, Trump Says He Made Up Trade Claim in Meeting with Justin Trudeau,” Mar. 15, 2018, Washington Post, https://www.washingtonpost.com/news/post-politics/wp/2018/03/14/in-fundraising-speech-trump-says-he-made-up-facts-in-meeting-with-justin-trudeau/?utm_term=.a91a8dea0453. [5] Julianne Smith and Andy Dlinn, “Andy Dlinn Talks Transatlantic Relations, Meaning Behind ‘America First,’" Center for a New American Security, Nov. 3, 2017, https://www.cnas.org/publications/podcast/andy-dlinn-talks-transatlantic-relations-meaning-behind-america-first. [6] According to YouGov polling, in July of 2014 just 10 percent of Democrats and nine percent of Republicans considered Russia “an ally” or “friendly” to U.S. interests. Three years later, in July of 2017, those numbers were 11 percent and 30 percent, respectively. Recently, in light of the Mueller probe, that gap has started to close. See Dylan Matthews, “Trump has Changed How Americans Think About Politics,” Vox, Jan. 30, 2018, https://www.vox.com/policy-and-politics/2018/1/30/16943786/trump-changed-public-opinion-russia-immigration-trade. [7] See the second chart, “Americans’ Opinions of Russia, By Party,” in Megan Brenan, “Americans, Particularly Democrats, Dislike Russia,” Gallup, Mar. 5, 2018, http://news.gallup.com/poll/228479/americans-particularly-democrats-dislike-russia.aspx?g_source=link_NEWSV9&g_medium=tile_1&g_campaign=item_1642&g_content=Americans%2c%2520Particularly%2520Democrats%2c%2520Dislike%2520Russia. [8] “Munich Security Report 2018: To the Brink – and Back,” Munich Security Conference Foundation, Nov. 28, 2017, 22, https://www.securityconference.de/en/discussion/munich-security-report/munich-security-report-2018/. [9] “Pew: NATO Approval on the Rise,” American Interest, May 24, 2017, https://www.the-american-interest.com/2017/05/24/pew-nato-approval-on-the-rise/. ) [contents] => Array ( [title] => [contents] => ) ) [9] => WP_Post Object ( [ID] => 606 [post_author] => 180 [post_date] => 2018-05-05 14:26:43 [post_date_gmt] => 2018-05-05 18:26:43 [post_content] =>

No man ever steps in the same river twice, for it’s not the same river and he’s not the same man. –Heraclitus

  "Here we go again." "It’s Groundhog Day with North Korea." "We’ve seen this script before." These sorts of refrains have been common among North Korea watchers — and those who play them on TV — ahead of the summit slated for June 12 in Singapore between North Korea’s leader, Kim Jong Un, and President Donald Trump. After significant brinkmanship over whether the meeting would take place, the on-again, off-again summit looks likely to be held as originally planned. The United States has engaged North Korea in two major denuclearization processes, not to mention separate inter-Korean and multilateral efforts, over the past quarter-century. All have failed to produce the complete, verifiable, irreversible denuclearization that the United States has sought on the Korean Peninsula.[1] Some skeptical of the bilateral summit charge that this history of failure is likely to repeat itself. Meanwhile, optimists suggest that something new in the upcoming process has opened the possibility of a different outcome.[2] History can be a useful guide to avoid repeating mistakes, but events are rarely as neat and tidy as a sound bite seems to suggest. The history of nuclear negotiations between Washington and Pyongyang, as well as multilateral discussions such as the six-party talks, is far more complex than most voices in the media and policy circles acknowledge. This history offers cause for pessimism, optimism, and caution about current prospects for denuclearization.[3]

Pessimism: Denuclearization Is Harder Now Than During Past Efforts

Many of those who are pessimistic about the Trump-Kim summit point to failed efforts to achieve complete, verifiable, irreversible denuclearization and ask why this time should be any different. In one sense, the pessimists are not pessimistic enough. North Korea’s nuclear program has advanced significantly since the last major diplomatic efforts at denuclearization. In the intervening years, the possibility of denuclearization has become even more distant. This section contrasts the situation today with the state of the North Korean nuclear threat when the 1994 Agreed Framework and the joint statement of the 2005 six-party talks were reached. Seen through that lens, contentions that history may repeat itself underestimate the current challenge. In Brief: The Agreed Framework and Six-Party Talks There have been two major diplomatic efforts to eliminate North Korea’s nuclear program. In the early 1990s, North Korea initiated an international crisis by taking provocative steps toward developing a nuclear bomb: removing fuel rods from its five-megawatt plutonium reactor at Yongbyon and initiating its withdrawal from the nuclear Non-Proliferation Treaty, in which North Korea had legally pledged to forego nuclear weapons. The United States engaged Pyongyang in an effort to resolve the crisis, and the two sides signed the Agreed Framework in 1994. In short, North Korea agreed to freeze its nuclear program in exchange for energy and economic assistance, security guarantees, and political promises, including specific efforts toward the normalization of bilateral relations.[4] The Agreed Framework faced challenges in implementation, however, and collapsed in late 2002 and early 2003. The United States, North Korea, South Korea, Japan, China, and Russia initiated the six-party talks later in 2003.[5] Seeking to distinguish between the 1994 framework’s temporary freeze on nuclear production and a more comprehensive and lasting goal, the six countries announced, after two years and four rounds of negotiations, that they “unanimously reaffirmed that the goal of the Six-Party Talks is the verifiable denuclearization of the Korean Peninsula in a peaceful manner.”[6] The 2005 joint statement of those talks laid out the basic principles of a nuclear deal that would be refined more specifically in a pair of implementation agreements two years later. In late 2008, however, the participating countries reached an impasse over important technical verification issues. Whereas in 1994 North Korea had pledged to freeze its nuclear program, in 2005 Pyongyang promised to abandon all nuclear weapons and programs in exchange for energy and economic assistance, security guarantees, normalized diplomatic relations, and negotiations toward a “permanent peace regime.”[7] Although the two sets of negotiations were different in important ways, the broad structure was consistent: North Korea promised to move away from nuclear weapons in exchange for a similar basket of incentives. Denuclearization Today The North Korean nuclear program of 2018 is not the nuclear program of 1994, when Washington and Pyongyang negotiated the Agreed Framework. It is not even the nuclear program of 2005, when the six-party talks produced its joint statement. Since these diplomatic milestones, Pyongyang’s nuclear development and long-range missiles have advanced in major ways, crossing a series of critical technical barriers. These programs have grown significantly more difficult to reverse since earlier denuclearization efforts were underway. Since the 1990s, North Korea’s nuclear weapons program has grown from a theoretical capability to an actual one. North Korea’s first nuclear test occurred in 2006, a year after the joint statement of the six-party talks was released. Before this, the North Korean leadership could not be confident that their efforts to build a nuclear bomb would actually work. Indeed, the North’s first nuclear test produced more of a whimper than a bang. The explosion yielded less than one kiloton, prompting a variety of theories about why it had been a low-yield test. As such, the fundamental challenge for these earlier negotiations was to prevent North Korea from building a nuclear weapon and to persuade Pyongyang to roll back its attendant programs. These efforts resembled something like the more recent nuclear negotiations between Iran and the five permanent members of the U.N. Security Council and Germany in the sense that American negotiators and their allies could capitalize on North Korea’s uncertainty about whether it could succeed in building a bomb and crossing the nuclear-weapons threshold. Today, by contrast, North Korean leader Kim Jong Un controls a nuclear arsenal that has benefited from six tests. His is not a start-up business seeking proof of concept but, rather, an established enterprise with a demonstrated ability to detonate increasingly powerful nuclear weapons. After the 2006 nuclear test produced a lower-than-expected yield, then-leader Kim Jong Il ordered a second test, in 2009, that erased any doubt about North Korea’s basic ability to build and detonate a nuclear weapon.[8] North Korea’s third nuclear test, in 2013, came amid Pyongyang’s pronouncements that the test provided critical information that would help the regime’s effort to miniaturize a nuclear weapon in order to mount it on a missile. The third test may also have utilized uranium in its bomb design. The regime’s previous tests used plutonium, thus, testing weapons using this second path to the bomb expanded its capabilities. North Korea’s fourth test, in 2016, demonstrated the country’s thermonuclear capability for the first time.[9] The fifth and sixth tests, in 2016 and 2017 respectively, sought bigger yields still.[10] Rather than preventing North Korea from crossing the nuclear-weapons threshold, the denuclearization challenge has become much harder: Somehow, the genie must be put back in the bottle. [quote id="1"] Meanwhile, North Korea has steadily advanced its ability to develop, test, and field operational ballistic missiles that can deliver nuclear weapons. Critically, the regime has diversified its ballistic missile force to create a survivable second-strike capability, thereby securing an essential element to deter its primary adversary, the United States.[11] In 1994, North Korea was capable of striking some American bases and allies but not the U.S. homeland. That year — the same year Washington and Pyongyang signed the Agreed Framework — North Korea began producing its Nodong medium-range ballistic missile and fielded the missile the following year. The Nodong could strike South Korea and most of Japan but still not the United States.[12] In 1998, North Korea flight-tested its Taepo Dong-1 prototype, which flew over Japan, rattling the Japanese government in particular and accelerating Tokyo’s cooperation with Washington on missile defense. The flight test ushered in a new round of missile diplomacy between the United States and North Korea. Pyongyang maintained a unilateral moratorium on long-range-missile flight tests for six years, refraining from launching another Taepo Dong rocket until 2006.[13] As the two sides negotiated the Agreed Framework and, later, the joint statement of the six-party talks, North Korea did not have the capability to hit the United States with its missiles. Today, however, North Korea is perilously close to having a demonstrated delivery vehicle to strike the continental United States with nuclear weapons. Since coming to power in December 2011, Kim Jong Un has ordered scores of missile launches, including long- and short-range ballistic missiles. Both long- and short-range ballistic missiles can test technologies used in the development of intercontinental ballistic missiles (ICBMs).[14] In 2017, North Korea conducted three ICBM flight tests. After the third test, Kim Jong Un declared his nuclear deterrent complete.[15] While this claim was probably premature,[16] Kim expressed confidence that his country had attained a complete package of miniaturized nuclear weapons and survivable delivery vehicles that could reach the continental United States.[17] The main components of North Korea’s fissile material production have also shifted significantly. In the leadup to the 1994 Agreed Framework, North Korea had only one fissile material production site: the plutonium program at Yongbyon. The site was known, surveilled, and, in theory, could have been verifiably frozen with reasonable confidence. By the time of the six-party talks, the United States was aware of a nascent and covert North Korean uranium enrichment program that violated its Agreed Framework pledges. The CIA publicly disclosed to Congress its judgment that North Korea had started this program in 2000.[18] Other assessments date the origins of Pyongyang’s uranium enrichment as early as 1996.[19] Regardless of whether Pyongyang started its uranium enrichment program then or in 2000, plutonium production was North Korea’s sole route to the bomb in 1994 and its primary but not exclusive nuclear production capability in 2005. Today, North Korea acquires substantially more fissile material for weapons from its well-established uranium enrichment facilities than it does from its plutonium program. Pyongyang’s uranium program also has more growth potential than its plutonium program in absolute terms. One unclassified research project estimated that by 2020, North Korea’s only five-megawatt reactor at Yongbyon could produce 14 nuclear weapons from plutonium, while two centrifuge plants could produce about 56 weapons from uranium.[20] Put another way, the North Korean uranium enrichment program produces far more fissile material for nuclear weapons today, and its higher annual output is central to the growth of Pyongyang’s arsenal over time. When it comes to trying to negotiate verifiable denuclearization, the distinction between the plutonium and uranium routes to the bomb is critical. In 2010, North Korean officials showed the uranium enrichment facility at Yongbyon to a prominent U.S. nongovernmental delegation. The manner and speed of the facility’s construction suggested strongly that this was not the country’s first enrichment facility.[21] Commercial satellite imagery and other publicly available sources offer no proof of a third enrichment facility, but that should not provide much comfort. It is not clear how many uranium enrichment sites North Korea has because they are easier to hide than their plutonium counterparts. [quote id="2"] This should concern American policymakers as verification was the shoal upon which the six-party talks foundered.[22] During those talks, Washington wanted to conduct soil and nuclear waste samples to verify North Korea’s claims; Pyongyang refused. The “Second Phase Actions for the Implementation of the September 2005 Joint Statement,” agreed to on Oct. 3, 2007, outlined what would be required of North Korea to disable its five-megawatt reactor. The agreement did not explicitly require North Korea to allow these samples to be taken but stipulated that disablement would proceed in a “verifiable” manner.[23] Washington interpreted this to mean it could use sampling to verify Pyongyang’s actions under the second-phase agreement before it proceeded. Pyongyang, however, saw things differently: It wanted to save the issue of sampling for a “third phase” agreement, at which point it could either demand additional concessions and use the sampling issue as a bargaining chip, or not agree to sampling at all.[24] Verification is, of course, central to any sustainable agreement. And the devil is in the details. These kinds of technocratic aspects, which political leaders tend not to ponder, have derailed high-level, multiyear diplomatic initiatives. Diplomatic efforts could again sink over critical technical details if negotiators do not learn from the past. While Kim Jong Il may have hoped during negotiations in the 1990s and again during the six-party talks that his and his father’s decades-long efforts to develop nuclear weapons would someday provide a deterrent against U.S. invasion, his son, Kim Jong Un, has this capability. In the past, North Korea’s nuclear program was aspirational. Today, it is an active part of the country’s national defense. Before, verifying a deal focused primarily on a plutonium program was difficult. Now, the prominence of the uranium program in addition to the plutonium program makes the challenge even greater. It is not the same river.

Caution: New Leaders on Both Sides

In addition to the technical advancements in Pyongyang’s nuclear program since the last two major diplomatic efforts, important political changes have taken place in North Korea and the United States. During the Agreed Framework negotiations and the six-party talks, Kim Jong Il was effectively at the helm. Although North Korea’s founder and charismatic leader, Kim Il Sung, was in power until his death in 1994, and famously held important roles such as receiving former President Jimmy Carter in Pyongyang amid the crisis, Kim Il Sung told a Western reporter that by 1992 his son was running the country.[25] Kim Il Sung tapped his son as his successor in 1980 and gradually shifted power to him. As such, the Agreed Framework and six-party talks were, for North Korea, essentially a Kim Jong Il production. Today, Kim Jong Un is in charge and his personal stamp can be seen on nuclear diplomacy. Kim the youngest differs substantially in ruling style and approach from his father, something that matters greatly for the current round of summits. Kim Jong Il was an introverted micro-manager. Living in the shadow of his larger-than-life father, North Korean founder Kim Il Sung, Kim Jong Il closely controlled process and avoided public appearances. While Kim Il Sung was known for his charisma, Kim Jong Il could not even manage to give the annual new year’s day address. Instead, he instituted a policy of publishing the annual statement as an editorial in three newspapers.[26] Imagine if an American president decided to forego the annual State of the Union address and instead published his views on the White House website. That would be less of a break from past precedent than Kim Jong Il’s decision. Kim Jong Il gave one — or possibly two — extremely short speeches in his entire tenure. He was also absent from public view during the first three years of his formal reign, citing the traditional mourning period after his father’s death. Kim Jong Un is a different kind of leader. He has explicitly modeled himself after his still-revered grandfather rather than his relatively unpopular father.[27] He has brought back the annual new year’s day address. He appears in public with his wife, Ri Sol Ju, something Kim Jong Il had avoided. Kim Jong Un has also resurrected the Korean Workers’ Party, restarting the long-defunct party congresses. Tapes smuggled out of North Korea in the 1980s showed Kim Jong Il privately expressing insecure views of his personal stature that are consistent with his psychological profile.[28] In contrast, Kim Jong Un exudes confidence and has shown himself ready to personally lead the current round of nuclear diplomacy through a series of summits with South Korea, China, and the United States. It is natural and appropriate to look to the history of U.S.-North Korean and multilateral denuclearization efforts for insights into the upcoming talks. First, however, one must consider whether Kim Jong Un is following his father’s playbook. On the critical issue of his ruling style, Kim Jong Un has parted ways with his father. It stands to reason, then,[29] that his priorities and methods concerning nuclear diplomacy may not be a carbon copy of his father’s approach. Kim Jong Un proposed summit diplomacy with Trump, rather than having lower-level officials work toward a possible capstone summit by hashing out the details first. The younger Kim has taken the political risk upon himself and made it more difficult to blame subordinates for possible diplomatic failure. Leaders are always important in high-stakes diplomacy, but the summit approach makes their personality and predilections even more central to the outcome. The United States is only at the head of a long trail of diplomacy, and it is not at all clear that previous journeys foreshadow the current one. On the American side, there is also a new sheriff in town. The United States negotiated the Agreed Framework and the joint statement of the six-party talks under Presidents Bill Clinton and George W. Bush, respectively. Their administrations had different views on diplomacy with North Korea. Senior members of the Bush administration criticized the Agreed Framework negotiated under Clinton, which suffered a number of implementation challenges, including — but not limited to — the revelation of North Korea’s nascent uranium enrichment program.[30] The differences between the two U.S. administrations were stark enough that some insiders dubbed the Bush administration’s approach “ABC — Anything But Clinton.”[31] The Bush administration, however, quickly shifted to its own diplomatic effort with the North Koreans after the final collapse of the Agreed Framework. This time around, there were more seats at the table, different areas of emphasis, and intra-government intrigue,[32] but two things remained constant: the basic parameters of seeking a complete and permanent denuclearization of North Korea, and recognition that this would require some reciprocal and unpopular concessions. With a few notable exceptions, the two U.S. administrations operated — at the most general level — alike. [quote id="3"] Donald Trump fashions himself a new kind of political leader. His engagement in tit-for-tat rhetorical barbs in 2017 — such as when he threatened to bring down “fire and fury”[33] on North Korea, or when he called Kim Jong Un “little rocket man”[34] — marked an outlier for American presidential behavior. Trump’s public comments about military options — including limited military strikes that could not denuclearize North Korea by force but, it was hoped, would push Kim Jong Un back to the negotiating table — prompted substantial criticism about the wisdom of such an approach.[35] Trump quickly shifted gears in 2018, however, by accepting Kim Jong Un’s summit invitation, conveyed through the South Korean president. He has sent Mike Pompeo to Pyongyang twice — first as director of the CIA and secretary of state-designate and then as secretary of state — to advance the summit and secure the release of three unjustly imprisoned Americans.[36] Trump’s policy tools, including carrots, such as peace regime negotiations and sanctions relief, and sticks, including renewed sanctions and military moves, remain roughly the same as those available to his predecessors. But his willingness to meet Kim Jong Un early, to call off the summit, and to recommit to it within days demonstrates the greater element of uncertainty as to how the United States will begin and sustain a diplomatic process with the North Koreans. The men entering the river are different.

Optimism: Allies, Peace Regime, and Learning

Achieving complete, verifiable, and irreversible denuclearization of the Korean Peninsula is a tall order. Getting it on the cheap or for free is taller still. If success is framed in these terms alone, there is little room for optimism. If, however, progress is defined as concretely minimizing the North Korean nuclear threat and moving toward an ultimate goal of denuclearization in such a way that the benefits to national interests outweigh the costs of concessions, then there is room to be optimistic. In short, optimists can argue that a successful agreement is one that leaves the United States and its allies better off than they are in the current situation and on the current trajectory. The U.S.-South Korean combined approach, serious consideration of creating a peace regime, and the real possibility of learning from past agreements together provide reason to be cautiously optimistic about the way forward in U.S.-North Korean diplomacy. The U.S.-South Korean Combined Approach North Korea gains tactical advantage when it can split the United States from its Northeast Asian allies, specifically South Korea. The United States, South Korea, and Japan have many more shared interests and values than differences, but North Korea knows where to find natural cleavages and has traditionally sought to exploit them. North Korea has long favored bilateral diplomacy with the United States in hopes of sidelining South Korea and Japan. Tensions in the U.S.-South Korean alliance have also challenged previous efforts to maintain a united front against North Korea. Han Sung-joo, who served as South Korea’s foreign minister during the Agreed Framework negotiations, noted that then-South Korean President Kim Young-sam wanted to ensure the Americans were not “too soft” on the North Koreans. At the same time, the South Korean president did not want to raise the risk of military conflict that threatened to destroy his capital. The conservative South Korean president, worried about his domestic political support, also needed to assure his people that the United States was closely consulting him at every turn.[37] He wanted to make sure the American approach was neither too hot nor too cold at each stage of negotiations and sought to communicate this to South Koreans. The United States and South Korea were not in lockstep during the Agreed Framework, and Seoul worried about not having direct access to the North Koreans on a matter central to its national security. Kim Young-sam’s successor, Kim Dae-jung, came from the opposite end of the South Korean political spectrum and wholeheartedly endorsed engaging North Korea. Kim Dae-jung made history with the first inter-Korean summit in 2000 — just five months before the election of George W. Bush. Kim Dae-jung’s “Sunshine Policy” sought to change North Korean behavior through unconditional engagement, while Bush settled on a more confrontational approach to North Korea’s objectionable actions. Alliance managers sought to keep the two sides linked, but it remained an ongoing challenge.[38] Differences among allies are inevitable, but the combined approach provides reasons for optimism that this time may be different. Never before has an inter-Korean summit, let alone two, been explicitly set up ahead of a U.S.-North Korea summit. The South Korean presidential office recognizes that it cannot push North Korean denuclearization alone and has sought to influence U.S. engagement with the North Koreans as well as its own. South Korean President Moon Jae-in has met early success with balancing his policy of engaging North Korea while keeping the United States firmly invested in the process. The road is long, and it will become even more difficult. The two sides will face tough choices and trade-offs as the North Koreans begin to articulate their core demands. Nevertheless, Washington and Seoul have gotten off to a solid start. Peace Regime In contrast to previous diplomatic rounds, North Korea’s long-held demand to negotiate a peace treaty to replace the armistice and formally end the Korean War seems to be on the table. The Agreed Framework did not mention a peace regime or peace-treaty negotiations, but it opened the door to four-party talks —among the United States, North Korea, South Korea, and China — on these topics.[39] The Agreed Framework contained U.S. security guarantees to Pyongyang but lacked a specific and concrete quid pro quo on denuclearization and a peace regime. The 2005 joint statement promised to “negotiate a permanent peace regime on the Korean Peninsula at an appropriate separate forum.”[40] The Russians convened the Northeast Asia Peace and Security Mechanism Working Group in Moscow three times. It was one of the five working groups of the six-party talks, but it did not produce concrete outcomes. The United States favored discussing a peace regime after North Korea denuclearized, and Pyongyang did not want to wait.[41] The six-party talks, in practice, produced an agreement for denuclearization in exchange for sanctions relief and aid. Demanding that North Korea denuclearize amounts to asking it to voluntarily relinquish the world’s most powerful weapons. And reminders that its nuclear development violates international law do not move Pyongyang. Likewise, sanctions relief and aid can contribute to North Korea’s economy but would not supplant the security that it believes nuclear weapons provide. Declassified documents from Pyongyang’s socialist-bloc allies demonstrate that, in the 1970s, North Korean leader Kim Il Sung saw peace-treaty negotiations as a means to try to reduce and ultimately end the U.S. military presence on the Korean Peninsula. One of his senior party officials told a friendly foreign delegation in 1972,
The international public sees as just and honest our proposal to conclude a peace treaty between the two Koreas, to withdraw American forces and to reduce the militaries. If we conclude a peace treaty, the Americans would have no reason to stay there.[42]
The intervening four decades have produced varying assessments of North Korea’s intentions and objectives regarding peace regime negotiations. The United States will have to wait for Kim Jong Un’s articulation of his specific demands to adjudicate between competing assessments. One thing, however, is fairly certain: North Korea will seek to supplant its perceived security losses from denuclearization with phased and reciprocal adjustments to the U.S. military presence on and around the Korean Peninsula. How is this good news? Most analysts say that North Korean denuclearization is simply impossible.[43] Kim Jong Un does not want to go the way of Saddam Hussein or Muammar Gaddafi, who, lacking a nuclear deterrent, met their violent deaths after U.S.-led or -supported military operations. The peace regime issue brings to the fore difficult trade-offs and options for the highest-level decisions by elected U.S. leaders and American allies. After hearing the North Korean demands, seeking to negotiate them down, and considering the verifiable implementation measures, the United States and its allies will face a basic decision: Is the trade-off worth it at any stage? Elected leaders may have to consider difficult adjustments to the U.S. military presence on the peninsula, such as the size and scope of military exercises, strategic asset deployment, and the nature of the permanent presence in exchange for verified, late-stage steps toward denuclearization. They may decide that whatever deal is on the table with North Korea is not worth the cost, but an acceptable deal might be laid out as well. Having North Korea’s demands communicated directly from its leader to America’s is superior to wading through the many contrasting assessments of what North Korea really wants. Learning The Trump administration has the benefit of being able to learn from the past. Secretary of State Pompeo has noted repeatedly that he has read the CIA’s history of negotiations with North Korea and vowed not to repeat past mistakes. Unlike the Agreed Framework negotiators, Pompeo has historical points of reference on negotiating with North Korea about its nuclear program. One lesson is the importance of blocking North Korea from pocketing concessions. If Pyongyang can reverse its concessions, the United States and its allies must be able to do the same. This simple lesson has not been followed in earlier negotiations. In 2007, the six parties agreed to “Initial Actions for the Implementation of the Joint Statement,” which laid out in specific terms the first round of reciprocal steps to implement the 2005 agreement. North Korea pledged to disable its Yongbyon reactor, allow International Atomic Energy Agency (IAEA) inspectors to monitor the disablement, and issue a “list of all of its nuclear programs as described in the Joint Statement.” The “parallel” action from the United States included removing North Korea from its list of state sponsors of terrorism, lifting sanctions imposed through the Trading with the Enemy Act, and providing an initial tranche of heavy fuel oil as energy assistance.[44] North Korea’s disablement procedures were temporary, reversible, and intended to elicit further implementation protocols that did indeed come. When the six-party talks failed in 2008 over verification issues, North Korea was in a position to expel IAEA inspectors and move to restart the Yongbyon reactor immediately, though it delayed the restart for several years. After North Korea expelled the inspectors, the United States quickly reimposed by executive order the same authorities found in the Trading with the Enemy Act,[45] and North Korea lost out on deliveries of heavy fuel oil. The United States could not, however, reinstate North Korea on the terrorism list immediately. Once removed, relisting legally required North Korea to commit another terrorist act, and the United States did not reimpose this designation until 2017.[46] While some have argued that the United States could have relisted North Korea earlier under certain legal interpretations, the sort of “snapback” sanctions like those embedded in the Iran nuclear agreement did not exist to discourage North Korea from trying to pocket concessions in the first place. In the absence of an external enforcement mechanism or a broader relationship that keeps other international agreements on track, carefully crafted quid pro quos that have equal degrees of reversibility and importance can help sustain lasting agreements by maintaining the same incentive structure for both sides to continue abiding by the terms. [quote id="4"] Learning from history also requires a balanced understanding of past events. Since writing history is the practice of selecting which past events are significant enough to merit recording, there is always room for author bias. A one-sentence history of North Korea-related nuclear negotiations could simply note that no effort has achieved North Korea’s complete denuclearization. At this most basic level, American and allied negotiators failed to meet their core objective. If one delves more deeply, however, the history quickly becomes more complex. Both nuclear agreements delayed and degraded North Korea’s nuclear program — and a reciprocal price was paid for these concessions. The Agreed Framework verifiably froze for eight years North Korea’s plutonium program, which was its only fissile material production facility at the time of the negotiations. North Korea had three plutonium reactors under construction ahead of the Agreed Framework — one five megawatts, one 50 megawatts, and one 200 megawatts. The smallest of the three was the most developed, but the Agreed Framework effectively put the nail in the coffin of the other two.[47] Some point to a counterfactual to highlight the value of this nuclear agreement: “Experts estimate that without the Agreed Framework, North Korea could have hundreds of nuclear weapons at this point.”[48] But the Agreed Framework was a nuclear agreement, not a plutonium agreement, and North Korea cheated by initiating a uranium enrichment path to the bomb during the framework’s shaky years of implementation. The United States provided North Korea with more than $400 million in energy assistance. South Korea and Japan contributed additional significant sums through the Korean Peninsula Energy Development Organization (KEDO).[49] Concurrently, the United States and its international partners provided humanitarian assistance to North Korea during its late 1990s famine, which was never explicitly linked to the nuclear agreement. Critics charged that the aid propped up the regime amid its greatest existential crisis since the Korean War.[50] Likewise, the six-party talks verifiably shut down North Korea’s plutonium reactor for six years. It did not concretely address, however, the nascent but growing uranium enrichment threat. North Korea also received sanctions relief, some of which was not reversed until last year. Pyongyang was returned its unfrozen assets from a Macau bank and, more significantly, changed its banking practices to limit America’s ability to impose the same type of financial pain using the same tool.[51] Proponents and opponents of engagement argue about what would have happened without these agreements. But counterfactuals are a dangerous analytical tool. It is impossible to know what would have happened if one historical variable had shifted. Would North Korea have more than 100 nuclear weapons today with three functioning plutonium reactors had there been no Agreed Framework? Or would the regime have collapsed under its own weight without the Western aid? It is impossible to say. Everyone has preconceived ideas and biases, but critical readers of this history who seek to genuinely learn from the past should be equally wary of counterfactuals that support or oppose preconceived ideas.

Conclusion

History is messy. Neither proponents nor opponents of the Trump-Kim summit should feel confident that history is on their side. History reveals reasons for pessimism, optimism, and caution. Attempting to critically engage the history of these nuclear negotiations can help the United States narrow uncertainty, prepare for a long diplomatic process should one transpire, and perhaps learn some tactical lessons. Given the paucity of concrete data on Kim Jong Un and his decision-making, humility in analysis is warranted. Confident statements about what the North Korean leader seeks before he tells us are misplaced. North Korea’s nuclear program has advanced significantly since the last nuclear deals, but the two sides seem to be getting closer to a formula for a possible deal. Any deal — if one is indeed possible — is likely to involve difficult trade-offs for both sides. Experts can help illuminate public debate on the merits of these trade-offs, but elected leaders will ultimately need wisdom for the hard decisions ahead. Patrick McEachern is an international affairs fellow with the Council on Foreign Relations and a public policy fellow at the Woodrow Wilson International Center for Scholars. He is co-author of North Korea, Iran, and the Challenge to International Order (Routledge: 2018). The views expressed in this essay do not necessarily reflect those of the Department of State or the U.S. government. ISSN (Print): 2576-1021 ISSN(Online): 2576-1153 Image: Roman Harak [post_title] => Marching Toward a U.S.-North Korea Summit: The Historical Case for Optimism, Pessimism, and Caution [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => marching-toward-a-u-s-north-korea-summit-the-historical-case-for-optimism-pessimism-and-caution [to_ping] => [pinged] => [post_modified] => 2019-01-17 14:17:49 [post_modified_gmt] => 2019-01-17 19:17:49 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=606 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => The history of denuclearization efforts on the Korean peninsula gives reason for pessimism, caution, and optimism. Attempting to critically engage that history can help the United States narrow uncertainty, prepare for a long diplomatic process should one transpire, and perhaps learn some tactical lessons. [pubinfo] => [issue] => Vol 1, Iss 3 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => His is not a start-up business seeking proof of concept but, rather, an established enterprise with a demonstrated ability to detonate increasingly powerful nuclear weapons. ) [1] => Array ( [author] => [style] => right [text] => It is not clear how many uranium enrichment sites North Korea has because they are easier to hide than their plutonium counterparts. ) [2] => Array ( [author] => [style] => left [text] => It is natural and appropriate to look to the history of U.S.-North Korean and multilateral denuclearization efforts for insights into the upcoming talks. First, however, one must consider whether Kim Jong Un is following his father’s playbook. ) [3] => Array ( [author] => [style] => right [text] => The United States, South Korea, and Japan have many more shared interests and values than differences, but North Korea knows where to find natural cleavages and has traditionally sought to exploit them. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 639 ) [authors] => Array ( [0] => 180 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] The effort toward complete, verifiable, irreversible denuclearization is known as CVID. [2] The South Korean government has been at the forefront of the optimists, arguing that this round of summits could portend a different outcome than past attempts. See its website dedicated to the series of summits — called Peace, A New Start — and articles such as that by Xu Aiying and Sohn JiAe, “Inter-Korean Summit Makes Headlines Around the World,” Peace, A New Start: 2018 Inter-Korean Summit, May 1, 2018, http://www.korea.net/Government/Current-Affairs/National-Affairs/view?affairId=656&subId=640&articleId=158382. For a critique arguing that history suggests greater pessimism around the summits, see Bruce Klingner, “Nice Try, North Korea and South Korea, But Your Pledges Are Airy, Empty Confections,” Los Angeles Times, May 1, 2018, http://www.latimes.com/opinion/op-ed/la-oe-klingner-north-korea-declaration-is-mostly-empty-promises-20180501-story.html. [3] “Denuclearization of the Korean Peninsula” is standard language that has been used throughout post-Cold War diplomacy with North Korea on its nuclear program. It is in the 1992 “Joint Declaration of South And North Korea on the Denuclearization of the Korean Peninsula,” the 1994 Agreed Framework, the 2005 “Joint Statement of the Fourth Round of the Six-Party Talks,” and the 2018 Panmunjom Declaration, among other agreements. As operationalized in these agreements and pursued in practice, the phrase refers to the elimination of North Korean facilities that can produce fissile materials for nuclear weapons and verified removal of any nuclear weapons on the peninsula. [4] For a more thorough overview of the 1994 Agreed Framework, see Kelsey Davenport, “The U.S.-North Korean Agreed Framework at a Glance,” Arms Control Association, August 2017, https://www.armscontrol.org/factsheets/agreedframework. [5] For an overview of the six-party talks, see Kelsey Davenport, “The Six-Party Talks at a Glance,” Arms Control Association, July 2017, https://www.armscontrol.org/factsheets/6partytalks. [6] Department of State, “Joint Statement of the Fourth Round of the Six-Party Talks,” Sept. 19, 2005, https://www.state.gov/p/eap/regional/c15455.htm. [7] “Joint Statement of the Fourth Round of the Six-Party Talks.” [8] For more on North Korea’s first nuclear test, see Emma Chanlett-Avery and Sharon Squassoni, North Korea’s Nuclear Test: Motivations, Implications, and U.S. Options (Washington: Congressional Research Service, Oct. 24, 2006), https://fas.org/sgp/crs/nuke/RL33709.pdf. [9] Thermonuclear weapons, also known as hydrogen bombs, utilize fusion and can produce a more powerful blast, while atomic weapons utilize fission. For a short and readable article on the difference and its application to North Korea, see Stephanie Pappas, “Hydrogen Bomb vs. Atomic Bomb: What’s the Difference?” Live Science, Sept. 22, 2017, https://www.livescience.com/53280-hydrogen-bomb-vs-atomic-bomb.html. [10] “North Korea Nuclear Tests: What Did They Achieve?” BBC, Sept. 3, 2017, http://www.bbc.com/news/world-asia-17823706. [11] Patrick McEachern, “North Korea’s Nuclear Doctrine Under Kim Jong Un,” APLN Policy Brief, Dec. 21, 2017, http://www.a-pln.org/_mobile/briefings/briefings_view.html?seq=1030. [12] “No Dong 1,” Center for Strategic and International Studies Missile Defense Project, accessed June 1, 2018, https://missilethreat.csis.org/missile/no-dong/. [13] Alex Wagner, “Albright Visits North Korea; Progress Made on Missile Front,” Arms Control Association, November 2000, https://www.armscontrol.org/act/2000_11/albrighttalks. “North Korea Test-Fires Several Missiles,” New York Times, July 4, 2006, https://www.nytimes.com/2006/07/04/world/asia/04cnd-korea.html. [14] The U.N. Security Council has criticized North Korea’s ballistic missile development and demanded the suspension of “all ballistic missile related activity” in a series of resolutions since North Korea’s 2006 Taepo Dong-2 launch. U.N. Security Council Resolution 1695, adopted in 2006, demands that North Korea suspend “all ballistic missile related activity.” The Security Council’s demand is not limited to missiles of a certain range given the ability to test components of long-range missiles using short-range launches. Likewise, the resolutions’ wording effectively demands the cessation of rocket launches configured as a space launch for satellites as these launches also can be used to test and refine technologies for long-range ballistic missiles. [15] Korean Central News Agency, “Kim Jong Un Guides Test Fire of ICBM Hwasong 15,” Nov. 29, 2017. [16] Kim’s claim is probably premature given some additional technical hurdles and unfinished business on some systems such as the GORAE-class ballistic missile submarine. [17] Korean Central News Agency, “Kim Jong Un Guides Test Fire of ICBM Hwasong 15,” Nov. 29, 2017. [18] CIA, Untitled Unclassified Estimate, Nov. 19, 2002, GALE Document Number KQUSOP990053924. Former Pakistani President Pervez Musharraf later noted that Pakistani nuclear scientist A. Q. Khan delivered centrifuges to North Korea in 2000, as recounted by Sigfried Hecker, former director of the Los Alamos National Laboratory. Siegfried S. Hecker, “What I Found in North Korea: Pyongyang’s Plutonium Is No Longer the Only Problem,” Foreign Affairs, Dec. 9, 2010, https://www.foreignaffairs.com/articles/northeast-asia/2010-12-09/what-i-found-north-korea?page=show. [19] A prominent North Korean defector claimed that a decision to enrich may have been made as early as 1996, and the South Korean foreign minister asserted the same. North Korean imports of the critical components followed in subsequent years. Kim Yong Hun, “North Korea Obtained HEU from Pakistan,” DailyNK, Aug. 11, 2010, http://english.dailynk.com/english/read.php?cataId=nk02200&num=6680. Choe Sang-hun, “North Korea Started Uranium Program in 1990s, South Says,” New York Times, Jan. 6, 2010, https://www.nytimes.com/2010/01/07/world/asia/07korea.html. [20] For an excellent technical discussion, see David Albright, “North Korea’s Nuclear Capabilities: A Fresh Look,” Aug. 9, 2017, http://isis-online.org/isis-reports/detail/north-koreas-nuclear-capabilities-a-fresh-look-power-point-slides/10. Albright cautions that these estimates are “rough” and require a variety of informed assumptions about North Korea’s nuclear operations, bomb design, and other variables. Numbers cited here are rounded to the nearest whole nuclear weapon and reflect median estimates for “weapons equivalents.” [21] Siegfried S. Hecker, “Nuclear Developments in North Korea,” (Stanford University: Center for International Security and Cooperation, Mar. 20, 2012), https://cisac.fsi.stanford.edu/sites/default/files/HeckerPBNCfinal.pdf. [22] Condoleezza Rice, No Higher Honor (New York: Crown Publishers, 2011). [23] Department of State, “Second-Phase Actions for the Implementation of the September 2005 Joint Statement,” Oct. 3, 2007, https://2001-2009.state.gov/r/pa/prs/ps/2007/oct/93217.htm. [24] Choe Sang-hun, “North Korea Limits Tests of Nuclear Site,” New York Times, Nov. 12, 2008, https://www.nytimes.com/2008/11/13/world/asia/13korea.html. [25] Kim Hakjoon, Dynasty: The Hereditary Succession Politics of North Korea (Stanford, CA: Walter Shorenstein Asia-Pacific Research Center, 2015), 101. [26] Patrick McEachern, Inside the Red Box: North Korea’s Post-Totalitarian Politics (New York: Columbia University Press, 2010), 43–44. [27] Andrei Lankov, “NK’s Founding Father, Kim Il-Sung,” Korea Times, Apr. 17, 2016, http://www.koreatimes.co.kr/www/news/opinon/2016/04/638_202760.html. [28] Barbara Demick, “Secret Tape Recordings of Kim Jong Il Provide Rare Insight into the Psyche of his North Korean Regime,” Los Angeles Times, Oct. 27, 2016, http://www.latimes.com/world/asia/la-fg-kimtapes-snap-20161026-story.html. [29] For a more in-depth discussion of differences in ruling style and approach between Kim Jong Il and Kim Jong Un, see Patrick McEachern, “Centralizing North Korean Policymaking Under Kim Jong Un,” Asian Perspective (forthcoming). [30] Charles Kartman, Robert Carlin, and Joel Wit, “Policy in Context: A History of KEDO, 1994–2006” (Stanford, CA: Center for International Security Cooperation and Freeman Spogli Institute for International Studies, June 2012), https://cisac.fsi.stanford.edu/sites/default/files/A_History_of_KEDO-1.pdf. [31] James B. Steinberg, “The Bush Foreign Policy Revolution,” Brookings Institution, June 1, 2003, https://www.brookings.edu/articles/the-bush-foreign-policy-revolution/. [32] Mike Chinoy, Meltdown: The Inside Story of the North Korean Nuclear Crisis (New York: St. Martin’s Press, 2008). [33] Noah Bierman, “Trump Warns North Korea of ‘Fire and Fury,’” Los Angeles Times, Aug. 8, 2017, http://www.latimes.com/politics/washington/la-na-essential-washington-updates-trump-warns-north-korea-of-fire-and-1502220642-htmlstory.html. [34] “Trump Calls Kim Jong Un ‘Little Rocket Man’ on Twitter,” Los Angeles Times, Nov. 30, 2017, http://www.latimes.com/politics/la-pol-updates-everything-president-trump-calls-kim-jong-un-little-rocket-1512093131-htmlstory.html. [35] For the most comprehensive and succinct criticism of the idea of limited military strikes, see Abraham M. Denmark, “The Myth of the Limited Strike on North Korea,” Foreign Affairs, Jan. 9, 2018, https://www.foreignaffairs.com/articles/north-korea/2018-01-09/myth-limited-strike-north-korea. [36] Carol Morello, Anna Fifield, and David Nakamura, “North Korea Frees 3 American Prisoners Ahead of a Planned Trump-Kim Summit,” Washington Post, May 9, 2018, https://www.washingtonpost.com/world/asia_pacific/pompeo-north-korea-can-haverichly-deserved-opportunities-in-return-for-peace/2018/05/09/b51febfa-51a4-11e8-b00a-17f9fda3859b_story.html. [37] “Living History with Former ROK Foreign Minister Han Sung-joo,” Beyond Parallel, Dec. 5, 2016, https://beyondparallel.csis.org/living-history-han-sung-joo/. Choe Sang-hun, “Korean Crisis Is Different This Time,” New York Times, Aug. 3, 2009, https://www.nytimes.com/2009/08/04/world/asia/04iht-letter.html. [38] Charles L. Pritchard, Failed Diplomacy: The Tragic Story of How North Korea Got the Bomb (Washington: Brookings Institution Press, 2007). [39] James L. Schoff and Yaron Eisenberg, Peace Regime Building on the Korean Peninsula: What’s Next? (Cambridge, MA: Institute for Foreign Policy Analysis, May 2009), 3, http://www.ifpa.org/pdf/PeaceRegimeInterimMay09.pdf. [40] “Joint Statement of the Fourth Round of the Six-Party Talks,” https://www.state.gov/p/eap/regional/c15455.htm. [41] R. Michael Schiffer, “Envisioning a Northeast Asian Peace and Security Mechanism,” in Understanding New Political Realities in Seoul, ed. L. Gordon Flake and Park Ro-byug (Washington: Maureen and Mike Mansfield Foundation, 2008), 59–78. [42] P. Urjinlhundev, “Protocols of the Talks between Mongolian and North Korean Government Delegations,” Mar. 17, 1972. [43] For a sophisticated statement of this position and its implications for policy, see Sung Chull Kim and Michael D. Cohen, eds., North Korea and Nuclear Weapons: Entering the New Era of Deterrence (Washington: Georgetown University Press, 2017). [44] Ministry of Foreign Affairs of Japan, “Initial Actions for the Implementation of the Joint Statement,” Feb. 13, 2007, http://www.mofa.go.jp/region/asia-paci/n_korea/6party/action0702.html. [45] The White House, “Letter – Imposing Additional Sanctions with Respect to North Korea,” Jan. 2, 2015, https://obamawhitehouse.archives.gov/the-press-office/2015/01/02/letter-imposing-additional-sanctions-respect-north-korea. [46] Michael D. Shear and David E. Sanger, “Trump Returns North Korea to List of State Sponsors of Terrorism,” New York Times, Nov. 20, 2017, https://www.nytimes.com/2017/11/20/us/politics/north-korea-trump-terror.html. [47] Federation of American Scientists, “Yongbyon,” Mar. 4, 2000, https://fas.org/nuke/guide/dprk/facility/yongbyon.htm. [48] Davenport, “The U.S.-North Korean Agreed Framework at a Glance.” [49] Mark E. Manyin and Mary Beth D. Nikitin, Foreign Assistance to North Korea (Washington: Congressional Research Service, April 2014), https://fas.org/sgp/crs/row/R40095.pdf. [50] For a succinct and contemporary review of competing arguments for and against aid, among other considerations, see Robert A. Manning and James Przystup, “Starve North Korea — Or Save It? Right Now We’re Doing Both,” Washington Post, June 23, 1996, https://www.washingtonpost.com/archive/opinions/1996/06/23/starve-north-korea-or-save-it-right-now-were-doing-both/97ea3f5d-511b-4286-b743-be7e6ef1efa9/. [51] John Park and Jim Walsh, Stopping North Korea, Inc.: Sanctions Effectiveness and Unintended Consequences (Cambridge, MA: MIT Security Studies Program, August 2016), 16, https://www.belfercenter.org/sites/default/files/legacy/files/Stopping%20North%20Korea%20Inc%20Park%20and%20Walsh%20.pdf. ) [contents] => Array ( [title] => [contents] => ) ) [10] => WP_Post Object ( [ID] => 464 [post_author] => 136 [post_date] => 2018-02-13 04:00:34 [post_date_gmt] => 2018-02-13 09:00:34 [post_content] => There is a moment in the 2001 comedy Zoolander when the villain Mugatu, portrayed by a white-haired Will Ferrell, screams as his plan disintegrates: “I feel like I’m taking crazy pills!” One year into my first term in Congress, this captures the mood of defense hawks in general and advocates of seapower in particular. On the one hand, this country has a president who campaigned on expanding the Navy and who signed a National Defense Authorization Act making it U.S. policy to build a 355-ship Navy “as soon as practicable.”[1] Multiple independent reviews commissioned by Congress and the Navy leadership have reaffirmed the strategic necessity of getting to 355 in due haste.[2] But the promised military rebuild has yet to materialize, notwithstanding the Trump administration’s premature claims of “making historic investments in the United States military.”[3] Indeed, Trump’s initial budget request called for a modest 3 percent increase over the wholly inadequate plan of his predecessor.[4] The Pentagon still does not have a 30-year shipbuilding plan that charts a specific course to 355. And given funding challenges and the defense industry’s limited surge capacity, some question whether industry could rapidly deliver the ships.[5] Meanwhile, Congress remains mired in the defense cuts of the Budget Control Act of 2011 and uncertainties over continuing resolutions and long-term spending. The gap between promises and appropriations continues even though the Budget Control Act experiment has clearly failed to force politicians to reach agreement on limiting long-term mandatory spending and has — as Defense Secretary Jim Mattis testified before the House Armed Services Committee in June 2017 — done more to harm the U.S. military’s combat readiness than any enemy in the field.[6] Disturbing trends such as the one-third increase in deaths from aviation mishaps in the Marine Corps over the past six years[7] and the fatal collisions of the USS Fitzgerald and USS John S. McCain illustrate what increased risks associated with degraded readiness can mean for our men and women in uniform.[8] In other words, despite the stated desire of the president, the Navy, and Congress to get to 355 ships, and mounting evidence of the damage done by the recent defense drawdown, the United States is struggling to change course. Even if Congress manages to pass a two-year deal to lift the caps imposed by the Budget Control Act and raise defense spending, the increase is still likely to fall short of what the Pentagon needs to fulfill global requirements,[9] or the increase will rely excessively on Overseas Contingency Operations funding.[10] Even in the best-case scenario, the Pentagon would get a short-term infusion of cash and then muddle along until the Budget Control Act’s defense caps expire in 2021. Put differently, the U.S. is having its Mugatu moment. Policymakers across Washington must be ingesting crazy pills. We are failing in our fundamental constitutional duty to provide for the common defense and maintain the U.S. Navy.[11] Those of us who advocate for a 355-ship Navy have been banging our heads against the wall for more than a year with no end in sight. During posture hearings and the budget cycle, we hear about the threats facing our nation. These hearings do not change much, except that they grow progressively bleaker. It is time to recognize that our arguments are not resonating and to try a different approach. This is my attempt to do just that. As great-power competition returns, both old and new cases for seapower must be made. First, the United States must rediscover and reinforce the geopolitical (i.e., geographic) case for why seapower matters and why it is uniquely important for this country. Second, in support of this effort, the Navy cannot remain silent for the sake of “strategic ambiguity.” Rather, it must develop a new story about what the future fleet will do and how it will differ from today’s fleet, and tell that story loudly and directly to the American people, thereby imposing pressure on Congress and the White House to act.

Great-Power Challenges and Self-Inflicted Wounds

As the Trump administration’s National Security Strategy outlines, the United States is in the midst of long-term strategic competitions with great-power adversaries. Not tomorrow, not in five years, but today. Departing from past policies “based on the assumption that engagement with rivals and their inclusion in international institutions and global commerce would turn them into benign actors and trustworthy partners,” the new strategy warns that “China and Russia challenge American power, influence, and interests, attempting to erode American security and prosperity. They are determined to make economies less free and less fair, to grow their militaries, and to control information and data to repress their societies and expand their influence.”[12] As a book often cited by National Security Adviser H.R. McMaster argues: “the United States is in the midst of a robust competition with its rivals, spread in three key regions of Eurasia. Russia, Iran, and China are eager to revise the order established over the past six decades on the basis of Western political and economic principles and supported by American power.”[13] If these competitors and adversaries perceive weakness or opportunity, they will seek to exploit openings, perhaps even through armed conflict. The Marine Corps commandant, Gen. Robert B. Neller, recently went so far as to say, “I hope I'm wrong, but there's a war coming.”[14] Consider trends in the military balance between the United States and China. The official Chinese military budget expanded on average by about 10 percent in real terms from 2006 through 2015.[15] Over the same period, U.S. defense spending averaged negative real growth of about 0.1 percent.[16] So while U.S. defense spending was about seven times greater than China’s in 2006, by 2015 it was only about three times greater, and this was in the face of more global commitments, less purchasing power parity, and less military concentration near potential hotspots.[17] The People’s Liberation Army-Navy has more than 300 ships — the largest fleet in Asia.[18] In 2016 alone, China commissioned 18 ships, including a guided missile destroyer, three guided missile frigates, and six corvettes.[19] These 18 ships have a displacement of 150,000 tons, or about half that of Britain’s Royal Navy.[20] Growth in the Chinese fleet is not just a numbers game: Beijing is retiring older ships to make room for modern ones as its maritime strategy transitions from “near sea” defense to “far seas” power projection.[21] Meanwhile, as China’s navy grows in capacity and capability, the U.S. fleet is struggling. In the aftermath of last year’s collisions, a series of internal and external reviews have sought to examine their root causes. Even if a line cannot be traced directly from inadequate and unpredictable Navy budgets to these tragedies, the incidents cannot be understood apart from their operational contexts. Adm. Philip Davidson’s Comprehensive Review found that “risks that were taken in the Western Pacific accumulated over time, and did so insidiously.”[22] [quote id="1"] The Navy secretary’s separate review methodically tracked how, in recent decades, the Navy contracted, budgets shrank, and responsibilities grew. Secretary Richard Spencer testified in January 2018 to the House Armed Services Committee, on which I sit, that: “The Strategic Review team concluded that Navy leaders gradually accepted greater risk to accomplish assigned missions. Standards designed for safe and effective operations were relaxed to meet operational and fiscal demands, which led to continuous accumulation of risk.”[23] In the immediate aftermath of the Cold War, the “Base Force” proposed a 25 percent reduction in personnel from the 1989 baseline while shifting the Navy’s primary focus from peer-on-peer conflict to contingencies with mid-tier regional powers.[24] The result was a planned fleet of more than 451 ships.[25] Only a few years later, the 1993 Bottom-Up Review reaffirmed a shift away from peer-on-peer conflict and called for a reduced fleet size of 346 ships to focus on power projection, presence, and crisis response.[26] While Congress authorized about 17 ships per year throughout the 1980s, it authorized only five per year on average from 1993 to 2000.[27] This reduction in shipbuilding stressed a smaller fleet at the same time the fleet’s missions were growing.[28] The Navy conducted 49 named operations in the 1980s and 85 in the 1990s, a 73 percent operational increase amid a 25 percent funding cut.[29] This naturally produced maintenance backlogs, manning shortfalls, reduced part availability, and diminished training.[30] Then, as the United States scrambled to respond to the 9/11 attacks, the Navy continued its shift away from peer conflict while operating a shrinking fleet at full tilt. In 2001, the U.S. Navy was 316 ships strong. Although defense budgets grew, driven by war-related spending, the Navy continued scaling down and, by 2009, had only 285 ships.[31] The 2010 Balisle Report found that the wear and tear of a decade of war had taxed this declining fleet to its breaking point, requiring the Navy to retire many ships after 20 or 25 years — well short of their expected 35-year lifespan.[32] In July 2011, then-Vice Chief of Naval Operations Jonathan Greenert warned, “I can’t tell you for sure…if we are at an inflection point or a tipping point, but I don’t see how we can sustain this pace of operations indefinitely and meet the readiness standards.”[33] One month later, Congress passed the Budget Control Act and took close to a trillion dollars out of the bipartisan budget path identified by then-Secretary of Defense Robert Gates just seven months prior.[34] Since then, the Navy alone has accumulated more than $100 billion in shortfalls between enacted budgets and the Gates plan, generating a readiness crisis throughout the fleet.[35] Compounding the problem, the Defense Department has operated under continuing resolutions for 33 of the past 42 years.[36] Over the past decade alone, it has operated under continuing resolutions an average of 106 days per year — almost 30 percent of that time.[37] In practical terms, this means almost a third of each year has been lost or renegotiated for more than 100,000 contracts across the Department of the Navy.[38] Because contractors factor this uncertainty into their pricing, the cost to taxpayers has gone up. The Navy estimates that inefficiencies associated with continuing resolutions have cost the service $4 billion over the past decade.[39] As Navy Secretary Spencer put it, due to inefficiencies from continuing resolutions, the Navy essentially “put $4 billion in a trash can, poured lighter fluid on it, and burned it.”[40] This is where we defense hawks usually stop. We paint a scary picture of the world, remind everyone of the original sin of the post-Cold War peace dividend, and inveigh against the Budget Control Act while throwing around numbers. At that point, we essentially tell the public that if only the corpse of Ronald Reagan could be reanimated, none of this would be happening. This argument is not working. As the Budget Control Act enters its seventh year, the proof is in the pudding. Our warnings, speeches, and reviews have fallen flat. I suspect this is partly because many who campaign on (or vote for) a strong national defense secretly harbor doubts about how much money the Pentagon really needs. After all, the Pentagon wastes a lot of money and the United States is 17 years into the longest and most costly wars in its history with no end in sight. Yes, there are obvious rejoinders to these concerns: One of the biggest sources of waste is stop-start budgetary dysfunction that creates uncertainty and precludes planning. But more significant is that reflexive criticism of past mistakes has made defense hawks lazy. Put another way, it is easy but ineffective to point to fleet failures and scream for more defense dollars. It is much harder to make a positive and strategic case for seapower. As Seth Cropsey writes in his new book, Seablindness: How Political Neglect Is Choking American Seapower and What to Do, “American seapower needs more than funding. It needs articulate, strategic-minded leadership that can connect national seapower goals with persuasive arguments to achieve them.”[41]

It’s the Geography, Stupid

Making this kind of strategically minded case for seapower begins with an old case: geography. North America remains functionally a continent-size island, one “abundant in natural resources and lacking the competitive political environment of Europe and Asia.”[42] There is no conceivable challenger to American hegemony in the Western Hemisphere. This means that despite the real dangers of domestic terrorism or cyber warfare, any existential threat to the U.S. homeland will come from across the seas.[43] Rear Adm. Alfred Thayer Mahan illustrated this point in his seminal work, The Influence of Sea Power Upon History. Mahan argued that the “geographical position” and “physical conformation” of nations comes with strengths and vulnerabilities. Compared with a nation that has continental boundaries, there is a natural advantage for a nation that is “so situated that it is neither forced to defend itself by land nor induced to seek extension of its territory by way of the land.” In peacetime, this is a blessing for the United States because “[i]ts contour is such as to present few points specially weak from their saliency, and all important parts of the frontiers can be readily attained — cheaply by water, rapidly by rail. The weakest frontier, the Pacific, is far removed from the most dangerous of possible enemies. The internal resources are boundless as compared with present needs.”[44] On the other hand, during wartime American coastlines are vulnerable targets, particularly on the Pacific side, where harbors and port cities (in Mahan’s time) were widely dispersed and lacked adequate fortifications. Mahan feared that if adversaries were able to operate from Pacific island bases they could strike the U.S. coast at will while disrupting U.S. trade routes to Asia.[45] The inevitable conclusion, even for a country as geographically blessed as the United States, is to eschew isolationism and the temptations of hemispheric defense.[46] As Michael Green shows in his review of Mahan’s work, in the Pacific this started with controlling Hawaii and thereby giving the U.S. Navy
flexible internal lines to shift its fleets from one flank to the other for decisive engagements against enemy fleets. In contrast, control of Hawaii by a hostile power would provide a secure coaling station from which to mount attacks on American trade routes to Asia, the vulnerable West Coast, and the canal route to the Gulf Coast and East Coast. As naval officers had begun to appreciate in the Gilded Age, the combination of geography and technology (steam power and steel) meant that forward presence in the Pacific was necessary not only for access to China but now also for defense of the homeland.[47]
Green contends that “Mahan was one of the first strategic thinkers to identify America’s realpolitik interest in preventing the rise of any rival hegemonic power from within continental Asia.”[48] Adm. James Stavridis argues that the strategic concept underlying Mahan’s work is
the ability of a nation to use sea power to ultimately contain powerful nations that have concentrated their use of forces ashore, ignoring the sea out of lack of interest, or an inability to see the force of the sea power argument, or simply because they lack the geography, character, and political will to exploit the oceans.[49]
Owing in part to Mahan’s influence, America’s core geostrategic goal has stayed remarkably consistent since World War II: The United States has forward-deployed forces to deter potential aggressors from attempting hegemony in Europe or Northeast Asia. As the 20th-century American strategist Nicholas Spykman wrote, “our constant concern in peace time must be to see that no nation or alliance of nations is allowed to emerge as a dominating power in either of the two regions of the Old World from which our security could be threatened.”[50] To this end, America has defended forward, manning a series of ramparts along the Eurasian littoral from Western Europe, through the Middle East, to East Asia. America’s core strategic positioning along the Eurasian littoral follows Spykman’s logic of the “Rimland.” Spykman took the maritime strategic worldview of Mahan and paired it with Mackinder to develop his analysis of the centrality of the Rimland, which he viewed as the crucial “zone of conflict between sea power and land power.”[51] The Rimland encompasses what are now viewed as critical strategic locations: Western Europe, the Middle East, South Asia, and East Asia.[52] Spykman summarized his views by saying “Who controls the Rimland, rules Eurasia; who rules Eurasia controls the destinies of the world.”[53] Spykman’s writings on the centrality of the Rimland to world politics are often paired with those of Halford Mackinder, a British strategist prominent around the turn of the 20th century. Mackinder also conceived of grand strategy through geographic terms, but he favored land power. He described how the Eurasian “Heartland” of Russia, Eastern Europe, and Central Asia — part of a broader “World Island” containing more than half of the planet’s natural resources — was the “pivot” around which global power turned. Thus Mackinder’s alternative formulation: “Who rules East Europe commands the Heartland; who rules the Heartland commands the World-Island; who rules the World-Island commands the world.”[54] [quote id="2"] The Cold War, in a sense, was the ultimate showdown between Spykman and Mackinder. The United States and the free-world coalition enjoyed a considerable advantage along the Eurasian Rimland. The Soviet Union, on the other hand, tightly controlled the Eurasian Heartland. Cold War strategists conceived of Europe as a peninsula, surrounded by the Baltic and North Seas on one flank and the Mediterranean on the other. This quintessential Rimland strategy meant that the United States and its NATO allies counted on a decisive advantage in the maritime domain. While the NATO allies could afford rough parity — and even conventional inferiority — with the Soviets on land, as long as NATO maintained maritime superiority it could threaten the Soviets on their vulnerable flanks.[55] Since the United States was physically separated from its allies, as well as the most likely theater of battle, supplies and reinforcements would have to travel over the high seas.[56] Mere naval parity, therefore, would not mean stalemate but slaughter for allied forces in Europe.[57] Seapower was not a sideshow to the battle on the central front because only a decisive advantage at sea could guarantee the safe and timely arrival of American military might to defend Europe. Throughout the Cold War, command of the seas provided administrations of both parties options to reassure allies, deter aggression, and take action without resorting to kinetic force. When mainland Chinese Communist forces began shelling Chinese Nationalist forces on Quemoy in 1954, President Dwight Eisenhower was able to reject the Joint Chiefs of Staff’s recommendation to use tactical nuclear weapons against China and, instead, sent the Seventh Fleet to evacuate 15,000 of Chiang Kai-shek’s Nationalist forces and 20,000 civilians from the Tachens island chain while securing a congressional authorization to use force in defense of Formosa (Taiwan).[58] When U.S. reconnaissance confirmed that the Soviets were deploying medium-range nuclear missiles to Cuba in 1962, President John F. Kennedy chose a naval “quarantine” and bought time to negotiate, rejecting the preference of his national security adviser and the chairman of the Joint Chiefs for airstrikes.[59] And when an Arab coalition attacked Israel in 1973, President Richard Nixon and Secretary of State Henry Kissinger not only put the United States on global military alert but also surged a third carrier task force to reinforce the Sixth Fleet in its dangerous confrontation with the Soviet Mediterranean Squadron, thereby deterring Leonid Brezhnev from more aggressive action.[60]

Back to the Future

Some might suggest that this geopolitical case for seapower is obsolete. As President Obama quipped when debating Republican presidential nominee Mitt Romney in 2012: “The 1980s are now calling to ask for their foreign policy back because the Cold War’s been over for 20 years.”[61] Implicit in Obama’s retort was a sense that the complexities of the present day and advances in technology obviate the lessons of geography and make Cold War instruments of national power less relevant.[62] Yet even in the Internet age, 90 percent of global trade travels by sea, and American goods and services trade with Asia-Pacific Economic Cooperation member economies totaled almost $3 trillion in 2016.[63] Furthermore, 40 percent of the world’s population lives within 62 miles of a coast,[64] the Pacific Ocean alone is bigger than all of the combined land on Earth,[65] and almost all of the world’s transoceanic data traffic is dependent on fiber-optic cables at the bottom of the ocean.[66] As Robert Kaplan argues, while technology may have neutralized America’s geographic position to some extent, this diffusion of technology creates even greater vulnerabilities than those identified by Mahan. Technological advances have
only deepened American involvement and influence around the globe. We remain an immense continent but in an increasingly smaller and interconnected world, so that we are, more and more, vulnerable to everything from global financial disruptions to violent ideological movements…it is simply impossible for us to escape from the geopolitical intimacy of the twenty-first -century world. What all of this amounts to is something stark: America is fated to lead. That is the judgment of geography as it has played out over the past two and a half centuries.[67]
In such an environment the U.S. Navy plays a unique role sustaining maritime order, providing the world with the “primary geopolitical good” of securing the global commons. As Kaplan puts it: “While our land forces are for unpredictable contingencies, our sea and air forces secure the global commons. The navy is our away team: its operations tempo around the world is the same, whether in peacetime or wartime.”[68] Thus, Mahan’s logic is still relevant and the geographical case for seapower endures. As it did during the Cold War, the United States depends on command of the seas to facilitate its transoceanic alliances. Furthermore, the theories of Spykman and Mackinder are again playing out on the world stage. The United States and its allies lead a Rimland coalition against autocratic aggressors. Today, however, our most difficult challenger is not a Heartland power but a Rimland state. The sea-facing geography of Chinese power compounds the challenge to our transoceanic alliance and makes command of the seas more difficult than when we faced the Soviets. While maritime superiority was the implicit foundation of U.S. defense strategy during the Cold War, on the operational level the U.S. Navy focused on power projection and hitting the vulnerable Soviet flanks. Today, while power projection would be critical in a war against China, the growing capability of China’s navy means the United States would have to establish sea control in the Indo-Asia-Pacific before the hammer of American power projection could be brought to bear. This shifting operational focus — from power projection to sea control — makes a balanced and powerful naval force structure more important than ever. If the Navy is not able to establish sea control where and when it is needed, U.S. power projection forces would face difficulties even entering the fight. After all, U.S. allies and forward-deployed assets are still oceans away from reinforcement. In a future conflict, forces based in the continental United States would not be able to swiftly arrive in theater without decisive maritime superiority. And time will not be on our side: Global pressure to end the conflict before it escalates further would be intense — even if doing so meant locking in Chinese gains.[69] The longer it takes for decisive American forces to fight their way across the Pacific, the more likely it is that a conflict could be settled on unfavorable terms. As Spykman warned more than 70 years ago, advances in technology and communication mean that the oceans buffering the United States
are not barriers but highways. [A] balance of power in the transatlantic and transpacific zones is an absolute prerequisite for the independence of the New World and the preservation of the power position of the United States. There is no safe defensive position on this side of the oceans. Hemispheric defense is no defense at all.[70]
Spykman’s fundamental insight — that if unified under a single hegemon or an unfriendly alliance of great powers, the Eurasian landmass would effectively encircle North America — becomes more relevant each day as China continues its naval modernization and island construction campaign, as Russia continues its aggression against the United States and our allies, and as rogue actors such as Iran and North Korea threaten regional security. And his fundamental challenge — that America must have unquestioned command of the seas to vigorously defend interests and allies in the Eurasian Rimland — becomes more difficult each day the rebuilding of the U.S. naval fleet is delayed. Mere parity in the maritime domain is a recipe for wartime defeat. Maritime dominance — a navy capable of decisive fleet action near the enemy’s home waters that can win quickly — is essential not just for winning future wars but also for preventing them in the first place.

Speak Loudly in Order to Carry a Big Stick

Even if defense hawks in Congress start making such a strategic case for seapower, we will need the help of the Navy and the president. This is true in part because the Navy has much higher approval ratings and trust among the public than Congress does, and because none of us can match the president’s megaphone.[71] In some respects, the right notes are being sounded. There is talk of expanding the fleet and of restoring readiness.[72] The new National Defense Strategy discusses “emerging from a period of strategic atrophy” and re-orienting the military around the primary concern of “[i]nter-state strategic competition, not terrorism.”[73] Yet the tragedies of the past year, and our collective response, suggest that something is still wrong.[74] I am reminded of Andrew Gordon’s masterful book The Rules of the Game, about the decline of the Royal Navy before the Battle of Jutland.[75] As technology advanced in the century between the Battle of Trafalgar and World War I, the Royal Navy seemed to be adapting. It converted from sail to steam and constructed a fleet that captured public imagination. New classes such as dreadnoughts and battlecruisers stood ready to defend the empire should the German High Seas Fleet sally forth. Yet out of public view, something was wrong. Officers of the Royal Navy had failed to appreciate the ways in which their doctrines of war at sea needed to change because of technological innovations. They failed to appreciate the ways that their adversary’s capabilities had caught up to their own. And, most dangerous of all, some viewed their tradition as part of their armor, succumbing to the illusion that generations of British mastery of the seas guaranteed future British mastery of the seas. As Gordon put it, “They thought they were good, but in ways that mattered, they were not. They thought they were ready for war, but they were not.”[76] The Royal Navy paid for this with about 6,000 British lives at Jutland. It lost eight destroyers, three cruisers, and three battlecruisers that just hours before had been the pride of the fleet.[77] One of those battlecruisers, HMS Invincible, sank after just 90 seconds of fire from German ships.[78] To avoid a similar fate, and to complement the geopolitical case for seapower in general, the U.S. Navy needs to tell a new story about what it will do with 355 ships and how this future fleet will differ from today’s. Strategy is, after all, a type of script, or a “story told in the future tense.”[79] It is not enough to talk vaguely about overall numbers and new technologies. The usual talking points and generic warnings of risk have left the Navy seven years into the Budget Control Act and more than three decades removed from the last major naval recapitalization. What’s needed is a specific and compelling sense of how the Navy would operate in the Eurasian Rimland, how its warfighting doctrines would change, how its culture is likely to evolve, and how it can ensure that technology would not become a crutch.[80] Without proper funding, no amount of introspection will heal the Navy. But the Navy needs to do more than craft a new case for seapower in the 21st century; it also needs to tell that story directly to the American people. I worry that the Navy is headed in the wrong direction in this regard. I read with great concern public reporting of a memo from last March that focused on a “less is more” approach to strategic communications.[81] This would be a catastrophic mistake. While it might have been true once that “loose lips sink ships,” nonexistent strategic communications today can sink entire navies.[82] If the bias is toward silence to prevent adversaries from finding out about unique capabilities or potential weaknesses, then there will never be a public constituency for acquiring those capabilities or mitigating those weaknesses. (And U.S. adversaries already have a decent idea of what our Navy is up to.)[83] The Navy has done public diplomacy well in the past. During the height of the Cold War, the Navy’s nuclear missile submarine program adopted the slogan “41 for Freedom,” and each of the 41 ballistic missile submarines commissioned from 1959 to 1967 was named after a historical figure who had contributed to our nation. The Navy invested in videos, posters, and media relations to publicize the missions and importance of the ships throughout their service lives. These ships captured popular imagination in a visceral way. Proud veterans groups still celebrate the 41 for Freedom.[84] [quote id="3"] The Navy again needs to tell its story in a new way that inspires popular action. The Navy has advocates and allies across the country, from Congress to newspaper editorial pages to Legion and VFW halls. This coalition needs to be mobilized to create a groundswell of public support and political pressure. Members of Congress need to hear from their constituents about key Navy priorities the same way we hear about domestic issues such as the Deferred Action for Childhood Arrivals (DACA) program or health-care reform. More people need to be part of the conversation about the future U.S. fleet and how it will keep this country safe and prosperous. This will not be easy. I am new to elected office, and I still hear daily from my constituents about what is on their minds. Although they would rather talk about Aaron Rodgers than Nicholas Spykman, I believe they would be open to a strategic case for seapower — and higher defense budgets — if that case were made powerfully. Recent Chicago Council polling on “What Americans Think About America First” found some interesting attitudes among core Trump voters, who are often perceived as being outside the post-World War II consensus.[85] While core Trump supporters profess skepticism that the U.S. benefits from its alliance system, they are more supportive than other subgroups about increasing the U.S. military footprint abroad in defense of those alliances.[86] For example, 21 percent of core Trump supporters favor increasing America’s military presence in the Asia-Pacific compared with 13 percent of all  respondents. This is not a segment espousing only isolationism, and the reaction seems more proactive than a reflexive Jacksonian response to foreign aggression.[87] To the extent that Trump supporters want a larger military presence in that region, it is for extended deterrence. This suggests a broader awareness of America’s responsibility to maintain stability on foreign shores in order to protect our continental island. Yet even if this instinctive awareness exists, only strategic-minded leadership can translate it into 355 ships. Advocates for American seapower have effectively skipped that step. We have long assumed that our audience shares our understanding of why an unquestioned Navy is critical. Rather than trying to scare the public into accepting certain fleet numbers (and implicitly taking others’ word for it), we need to focus more on explaining why getting to 355 ships is so important and what strategic and operational risks our nation runs if it fails to do so. After all, budgets are tight, our country’s debt is out of control, and 355 might seem like an arbitrary number. Yet as this analysis shows, there is nothing arbitrary about the Navy’s requirement for more ships, nor optional about America’s role in the world and on the seas. History offers a sobering lesson: When hostile nations have threatened U.S. interests and allies, they often did so by projecting power across the seas. Today, it might be easy to think, “Well of course Hitler lost. Of course the U.S. defeated Japan. Of course the Berlin Wall fell.” But the totalitarians of the 20th century were not destined to lose. Freedom’s triumph was not preordained. It took men and women of good faith and courage to win the peace. And it took a lot of strong ships manned by brave sailors and Marines. We who have inherited that legacy cannot fail in our duty. Every day sailors around the world are carrying out their missions, deterring conflict and enforcing the rules the United States created to our benefit. And too often, that service is taken for granted. Americans fly flags and thank veterans for their service, but it takes tragedy to remind us of the cost of liberty. Getting to a 355-ship Navy is about giving U.S. warfighters the best tools they can possibly have to accomplish the mission and come home safe. To this end, the strategic case must be made for seapower, both old and new; building a fleet strong enough to secure the peace; and passing the torch of maritime superiority to the next generation.  Mike Gallagher represents Wisconsin’s 8th District in the U.S. House of Representatives and serves on the House Armed Services Committee, where he is a member of the Seapower and Projection Forces Subcommittee. Prior to Congress, Mike served in the Marine Corps for seven years as a Counterintelligence/Human Intelligence Officer and Regional Affairs Officer for the Middle East/North Africa, earning the rank of Captain. He deployed twice to Al Anbar Province, Iraq and worked for three years in the intelligence community, including tours at the National Counterterrorism Center and the Drug Enforcement Agency. Mike also served as the lead Republican staffer for Middle East, North Africa and Counterterrorism on the Senate Foreign Relations Committee. After earning his bachelor’s degree from Princeton University, Mike went on to earn a master’s degree in Security Studies from Georgetown University, a second in Strategic Intelligence from National Intelligence University, and his PhD in International Relations from Georgetown. ISSN (Print): 2576-1021 ISSN(Online): 2576-1153 Image: U.S. Navy [post_title] => Changing Course: Making the Case (Old and New) for American Seapower [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => changing-course-making-case-old-new-american-seapower [to_ping] => [pinged] => [post_modified] => 2019-01-17 14:08:09 [post_modified_gmt] => 2019-01-17 19:08:09 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=464 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => In order to build the 355-ship Navy the United States needs, we will have to tell a new, and more compelling, story. [pubinfo] => [issue] => Vol 1, Iss 2 [quotes] => Array ( [0] => Array ( [author] => [style] => right [text] => While U.S. defense spending was about seven times greater than China’s in 2006, by 2015 it was only about three times greater. ) [1] => Array ( [author] => [style] => left [text] => Mere naval parity, therefore, would not mean stalemate but slaughter for allied forces in Europe. ) [2] => Array ( [author] => [style] => right [text] => It is not enough to talk vaguely about overall numbers and new technologies. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 560 ) [authors] => Array ( [0] => 136 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] “National Defense Authorization Act for Fiscal Year 2018,” U.S. Congress, https://www.congress.gov/bill/115th-congress/house-bill/2810/text. Mark Cancian, “Trump Proffers Pentagon Specifics: $60B More to Boost Troops, Ships,” Breaking Defense, Sept. 8, 2016, https://breakingdefense.com/2016/09/trump-proffers-pentagon-specifics-60b-more-to-boost-troops-ships/. [2] Sam LaGrone and Megan Eckstein, “Navy Wants to Grow Fleet to 355 Ships; 47 Hull Increase Adds Destroyers, Attack Subs,” USNI News, Dec. 19, 2016, https://news.usni.org/2016/12/16/navy-wants-grow-fleet-355-ships-47-hull-increase-previous-goal. Adm. John Richardson, “The Future Navy,” May 17, 2017, https://news.usni.org/2017/05/17/document-chief-of-naval-operations-white-paper-the-future-navy. See also the congressional-directed outside reviews: Bryan Clark, et al., Restoring American Seapower: A New Fleet Architecture for the United States Navy (Washington: Center for Strategic and Budgetary Assessments, 2017), http://csbaonline.org/uploads/documents/CSBA6292-Fleet_Architecture_Study_REPRINT_web.pdf. Mitre Corporation, Navy Future Fleet Platform Architecture Study (McLean: Mitre Corporation, July 1, 2016), https://www.mccain.senate.gov/public/_cache/files/1a3e3a4e-6c97-42fb-bec5-a482cf4d4d85/mintre-navy-future-fleet-platform-architecture-study.pdf. [3] National Security Strategy of the United States of America, December 2017, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905.pdf [hereafter: Trump National Security Strategy]. [4] Travis J. Tritten, “Mac Thornberry: Trump Defense Budget Follows ‘Obama Approach,’” Washington Examiner, May 22, 2017, http://www.washingtonexaminer.com/mac-thornberry-trump-defense-budget-follows-obama-approach/article/2623812. [5] Sydney J. Freedberg Jr., “Trump’s 355-Ship Fleet Will Take Til 2050s,” Breaking Defense, Oct. 26, 2017, https://breakingdefense.com/2017/10/trumps-355-ship-fleet-will-take-til-2050s/. The Congressional Budget Office estimates that the fastest 355 ships can be achieved is by 2032. See Sydney J. Freedberg Jr., “355-Ship Navy Take At least 18 Years: CBO,” Breaking Defense, April 25, 2017, https://breakingdefense.com/2017/04/355-ship-navy-takes-at-least-18-years-cbo/. Navy Secretary Richard Spencer testified to the House Armed Services Committee in January 2018 that the Navy would submit a 30-year shipbuilding plan along with the Fiscal 2019 budget. But as of this writing, more than one year into the Trump administration, there is still no specific vision from the administration of how it proposes to grow the fleet to 355 ships. Megan Eckstein, “Navy FY 2019 Budget Request Will Include a 30-Year Shipbuilding Plan,” U.S. Naval Institute, Jan. 18, 2018, https://news.usni.org/2018/01/18/navy-fy-2019-budget-request-will-include-30-year-shipbuilding-plan. [6] “Secretary of Defense Jim Mattis House Armed Services Committee Written Statement for the Record,” House of Representatives, June 12, 2017, http://docs.house.gov/meetings/AS/AS00/20170612/106090/HHRG-115-AS00-Bio-MattisJ-20170612.pdf. [7] Sydney J. Freedberg Jr., “Marine Aviation Deaths Are Six Times Navy’s,” Breaking Defense, Sept. 25, 2017, https://breakingdefense.com/2017/09/marine-aviation-deaths-are-six-times-navys/. [8] Mackenzie Eaglen, “America’s New Deadliest War Is Hiding in Plain Sight,” Real Clear Defense, Sept. 7, 2017, https://www.realcleardefense.com/articles/2017/09/07/americas_new_deadliest_war_is_hiding_in_plain_sight_112244.html. [9] Mackenzie Eaglen, “How to Repair and Rebuild America’s Military,” National Interest, Oct. 24, 2017, http://nationalinterest.org/feature/how-repair-rebuild-americas-military-22889. [10] Mackenzie Eaglen, “Budget Deal: It’s Beginning to Look a Lot Like Christmas (…2013),” Breaking Defense, Dec. 19, 2017, https://breakingdefense.com/2017/12/budget-deal-its-beginning-to-look-a-lot-like-christmas-2013/. [11] Mackubin Owens, “Navy Clause,” in Heritage Guide to the Constitution, accessed January 16, 2018, https://www.heritage.org/constitution/articles/1/essays/53/navy-clause. [12] Trump National Security Strategy, 2-3. [13] Jakub J. Grygiel and A. Wess Mitchell, The Unquiet Frontier: Rising Rivals, Vulnerable Allies, and the Crisis of American Power (Princeton: Princeton University Press, 2016), 188. On McMaster’s use of the book see Uri Friedman, “The World According to H.R. McMaster,” Atlantic, Jan. 9, 2018, https://www.theatlantic.com/international/archive/2018/01/hr-mcmaster-trump-north-korea/549341/. [14] Bradford Betz, “’There’s a War Coming,’ Marine Corps General Warns US Troops,” Fox News, Dec. 23, 2017, http://www.foxnews.com/us/2017/12/23/theres-war-coming-marine-corps-general-warns-us-troops.html. [15] Terri Moon Cronk, “DoD Report: China’s Military Investments Continue,” DoD News, Defense Media Activity, May 13, 2016, https://www.defense.gov/News/Article/Article/759522/dod-report-chinas-military-investments-continue/. [16] Office of the Under Secretary of Defense (Comptroller), National Defense Budget Estimates for FY 2018 (August 2017), 140-41, http://comptroller.defense.gov/Portals/45/Documents/defbudget/fy2018/FY18_Green_Book.pdf [hereafter: OUSD(C) Budget Estimates FY18]. [17] Moon Cronk, “China’s Military Investments Continue.” See also OUSD(C) Budget Estimates FY18, 140-41, and “Military expenditure by country,” Stockholm International Peace Research Institute, 2017, 11, https://sipri.org/sites/default/files/Milex-constant-2015-USD.pdf. [18] Office of the Secretary of Defense, Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2016 (Washington: Department of Defense, April 26, 2016), 25, https://www.defense.gov/Portals/1/Documents/pubs/2016 China Military Power Report.pdf. [19] Ronald O’Rourke, China Naval Modernization: Implications for U.S. Navy Capabilities — Background and Issues for Congress (Washington: Congressional Research Service, Dec. 13, 2017), 3, https://fas.org/sgp/crs/row/RL33153.pdf. [20] O’Rourke, China Naval Modernization. [21] Rear Adm. Michael McDevitt (Ret.), Becoming a Great “Maritime Power”: A Chinese Dream (Arlington: Center for Naval Analysis, June 2016), v, https://www.cna.org/cna_files/pdf/IRM-2016-U-013646.pdf. David A. Shlapak, et al., A Question of Balance: Political Context and Military Aspects of the China-Taiwan Dispute (Santa Monica: RAND Corporation, 2009), 89, https://www.rand.org/content/dam/rand/pubs/monographs/2009/RAND_MG888.pdf. Ministry of National Defense, 2017 Quadrennial Defense Review (Taipei City: Republic of China, March 2017), 22, http://www.ustaiwandefense.com/tdnswp/wp-content/uploads/2000/01/2017-Taiwan-Quadrennial-Defense-Review-QDR.pdf. [22]Adm. P.S. Davidson, Comprehensive Review of Recent Surface Force Incidents (Norfolk: U.S. Fleet Forces Command, 2017), 9, https://news.usni.org/2017/11/02/document-navy-comprehensive-review-surface-forces. [23] Navy Secretary Richard V. Spencer, statement to U.S. House Armed Services Subcommittee on Readiness and Subcommittee on Seapower and Projection Forces, Jan. 18, 2018, http://docs.house.gov/meetings/AS/AS03/20180118/106784/HHRG-115-AS03-Wstate-SpencerR-20180118.pdf. [24] Hon. Michael Bayer, Adm. Gary Roughead (Ret.), et al., Strategic Readiness Review 2017 (Washington: Department of the Navy, Dec. 3, 2017), 10, http://s3.amazonaws.com/CHINFO/SRR+Final+12112017.pdf. [25] Strategic Readiness Review, 10. [26] Strategic Readiness Review, 11. [27] Strategic Readiness Review, 12. [28] Strategic Readiness Review, 12. [29] Strategic Readiness Review, 11-12. [30] Strategic Readiness Review, 12. [31] Ronald O'Rourke, “Navy Force Structure and Shipbuilding Plans: Background and Issues for Congress,” Congressional Research Service, Dec. 22, 2017, 130, https://fas.org/sgp/crs/weapons/RL32665.pdf. [32] Strategic Readiness Review, 14. [33] U.S. Congress, House Committee on Armed Services, “Total Force Readiness: Hearing Before the Subcommittee on Readiness,” July 26, 2011, 7, https://www.gpo.gov/fdsys/pkg/CHRG-112hhrg68163/pdf/CHRG-112hhrg68163.pdf. [34] The Fiscal 2012 Gates budget, in the words of the Strategic Readiness Review, was “the last time the Navy had sufficient resources to operate at its present levels without having to markedly decrease funding for ships, weapons and aircraft procurement, equipment modernization, shore infrastructure, and the maintenance backlog.” Strategic Readiness Review, 55. [35] Strategic Readiness Review, 55. [36] Strategic Readiness Review, 58. [37] O’Rourke, Navy Force Structure and Shipbuilding Plans, 44. [38] O’Rourke, Navy Force Structure and Shipbuilding Plans, 44. [39] O’Rourke, Navy Force Structure and Shipbuilding Plans, 44. [40] Katherine Blakeley, “It’s Time for a Grand Budget Bargain to Save the Pentagon,” War on the Rocks, Dec. 21, 2017, https://warontherocks.com/2017/12/time-grand-budget-bargain-save-pentagon/ [41] Seth Cropsey, Seablindness: How Political Neglect Is Choking American Seapower and What to Do (New York: Encounter Books, 2017), 270. John Lehman highlights this same point in his memoirs. To build Reagan’s 600-ship Navy it was necessary to make a strategy-first argument from which requirements and fleet size naturally flowed. John F. Lehman, Command of the Seas (Annapolis: Naval Institute Press, 1988), 121, 115-60. [42] Grygiel and Mitchell, Unquiet Frontier, 18. [43] See Lehman, Command of the Seas, 119. “The free world is an oceanic coalition. It follows, therefore, that the free world coalition must have unquestioned superiority on the seas if overall strategic parity is to exist — parity at the nuclear level, and inferiority in the size of land force balanced by superiority at sea. We must be sure we can use the oceans in peace and in war if we are to survive.” [44] Alfred Thayer Mahan, The Influence of Sea Power Upon History, 1660-1783 (New York: Barnes and Noble, 2004), 30, 43. [45] Michael J. Green, By More Than Providence: Grand Strategy and American Power in the Asia Pacific Since 1783 (New York: Columbia University Press, 2017), 80-81. [46] Grygiel and Mitchell, Unquiet Frontier, 17-20. [47] Green, More Than Providence, 80-81. [48] Green, More Than Providence, 81. [49] Mahan, Influence of Sea Power Upon History, 432-33. [50] Nicholas J. Spykman, The Geography of the Peace (New York: Harcourt, Brace, 1944), 34. [51] Spykman, Geography of the Peace, 41. [52] “The importance of these states is not measured in their physical size, power, or wealth but in the real estate that they occupy. Roughly speaking, they compose a narrow belt that runs from the Baltic Sea to the Black Sea in Europe, through the Levant and Persian Gulf to the Indian Ocean and up through littoral Asia to the Sea of Japan. What happens to these states in coming years will have a disproportionate impact on the shape of the twenty-first century.” Grygiel and Mitchell, Unquiet Frontier, 163. [53] Spykman, Geography of the Peace, 43. Bryan McGrath recently argued in these pages that “no other aspect of military power is as closely connected with prosperity [as seapower]. This symbiotic relationship between seapower and prosperity was bluntly stated centuries ago by Sir Walter Raleigh: ‘[W]hosoever commands the sea commands the trade; whosoever commands the trade of the world commands the riches of the world, and consequently the world itself.’ American seapower apostle Alfred Thayer Mahan packaged this view more diplomatically for statesmen in the late 19th and early 20th centuries, though no less emphatically.” Bryan McGrath, “The National Security Strategy’s Implications for Seapower,” Texas National Security Review 1, no. 1, (2017), https://tnsr.org/roundtable/policy-roundtable-make-trumps-national-security-strategy/ - essay8. [54] Halford Mackinder, Democratic Ideals and Reality: A Study in the Politics of Reconstruction (National Defense University Press, 1996), 106. [55] Cropsey, Seablindness, 72. [56] Lehman, Command of the Seas, 119. [57] Lehman, Command of the Seas, 119. [58] The authorization also explicitly included the Pescadores islands but left the fate of Quemoy and Matsu ambiguous. Jean Edward Smith, Eisenhower in War and Peace (New York: Random House, 2012), 655-59. [59] Gordon M. Goldstein, Lessons in Disaster: McGeorge Bundy and the Path to War in Vietnam (New York: Henry Holt, 2008), 72-5. See also “The Cuban Missile Crisis, October 1962,” State Department Office of the Historian, accessed January 16, 2018, https://history.state.gov/milestones/1961-1968/cuban-missile-crisis. [60] John Lewis Gaddis, Strategies of Containment: A Critical Appraisal of American National Security Policy During the Cold War (New York: Oxford University Press, 1982), 311; Henry Kissinger, Years of Upheaval (Boston: Little, Brown, 1982), 575-91. [61] Glenn Kessler, “Flashback: Obama’s Debate Zinger on Romney’s ‘1980s’ Foreign Policy (Video),” Washington Post, March 20, 2014, https://www.washingtonpost.com/news/fact-checker/wp/2014/03/20/flashback-obamas-debate-zinger-on-romneys-1980s-foreign-policy/. [62] On the “temptation of technology,” see Grygiel and Mitchell, Unquiet Frontier, 20-5. [63] Office of the U.S. Trade Representative, “U.S.-APEC Bilateral Trade and Investment,” accessed Jan. 24, 2018, https://ustr.gov/countries-regions/japan-korea-apec/apec/us-apec-trade-facts# [64] United Nations Department of Economic and Social Affairs, “Percentage of Total Population Living in Coastal Areas,” accessed Jan. 16, 2018, http://www.un.org/esa/sustdev/natlinfo/indicators/methodology_sheets/oceans_seas_coasts/pop_coastal_areas.pdf. [65] Adm. James Stavridis, Sea Power: The History and Geopolitics of the World’s Oceans (New York: Penguin, 2017), 15. [66] Nicole Starosielski, “In Our Wi-Fi World, the Internet Still Depends on Undersea Cables,” The Conversation, Nov. 3, 2015, https://theconversation.com/in-our-wi-fi-world-the-internet-still-depends-on-undersea-cables-49936. See also Magnus Nordenman, “Russian Subs Are Sniffing Around Transatlantic Cables. Here’s What to Do About It,” Defense One, Jan. 17, 2018, http://www.defenseone.com/ideas/2018/01/russian-subs-are-sniffing-around-transatlantic-cables-heres-what-do-about-it/145241/. [67] Robert D. Kaplan, Earning the Rockies: How Geography Shapes America’s Role in the World (New York: Random House, 2017), 138. [68] Kaplan, Earning the Rockies, 131. [69] Jan Van Tol, et al., AirSea Battle: A Point-of-Departure Operational Concept (Washington: Center for Strategic and Budgetary Assessments, 2010), xii, http://csbaonline.org/research/publications/airsea-battle-concept/publication. [70] Spykman, Geography of the Peace, 457. [71]  Domenico Montanaro, “Here’s Just How Little Confidence Americans Have in Political Institutions,” National Public Radio, Jan. 17, 2018, https://www.npr.org/2018/01/17/578422668/heres-just-how-little-confidence-americans-have-in-political-institutions. [72] “Prepared Remarks of the Honorable Thomas Modly, Undersecretary of the Navy: Formal Swearing in Ceremony,” U.S. Navy, Jan. 5, 2018, http://navylive.dodlive.mil/2018/01/11/swearing-in-of-thomas-modly-under-secretary-of-the-navy/. [73] Summary of the 2018 National Defense Strategy of the United States of America (Washington: Department of Defense, January 2018), 1, https://www.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf. [74] The Strategic Readiness Review did identify, as one of its four broad recommendations, the need for the Navy to become a true learning organization. “Navy history is replete with reports and investigations that contain like findings regarding past collisions, groundings, and other operational incidents. The repeated recommendations and calls for changes belie the belief that the Navy always learns from its mistakes. Navy leadership at all levels must foster a culture of learning and create the structures and processes that fully embrace this commitment.” Strategic Readiness Review, 5. [75] Andrew Gordon, The Rules of the Game: Jutland and British Naval Command (Annapolis: Naval Institute Press, 1996). [76] Gordon, Rules of the Game, 594. [77] United Kingdom Ministry of Defence, “Battle of Jutland Centenary,” accessed Jan. 23, 2018, https://www.royalnavy.mod.uk/news-and-latest-activity/features/jutland-100. [78] Adm. Sir Philip Jones, “First Sea Lord’s Remarks Ahead of the Centenary of the Battle of Jutland,” United Kingdom Ministry of Defence, May 19, 2016, https://www.gov.uk/government/speeches/first-sea-lords-remarks-ahead-of-the-centenary-of-the-battle-of-jutland. [79] Lawrence Freedman, Strategy: A History (New York: Oxford University Press, 2013), xiv, 607-29. [80] In fact, it is possible that due to enemy disruptions in communications, electronics, and connectivity, parts of the wars of tomorrow may be fought with less technology than the wars of the recent past. For a non-naval analysis of overreliance on revolutions in military affairs, see the transcript “Harbingers of Future War: Implications for the Army With Lieutenant General H.R. McMaster,” Center for Strategic and International Studies, May 4, 2016, https://www.csis.org/analysis/harbingers-future-war-implications-army-lieutenant-general-hr-mcmaster. [81] Barbara Starr, “Admiral Warns Staff Against Talking Too Freely,” CNN, March 8, 2017, https://www.cnn.com/2017/03/08/politics/admiral-warns-navy-of-speaking-freely/index.html. See also Christopher P. Cavas, “Does the US Navy Have a Strategy Beyond Hope?” Defense News, Jan. 4, 2018, https://www.defensenews.com/digital-show-dailies/surface-navy-association/2018/01/04/does-the-us-navy-have-a-strategy-beyond-hope/. [82] Also, there is no single individual in charge of unified communications across the Navy and Marine Corps. See Bryan McGrath, “Reforming the Navy Secretariat: Bureaucratic Requirements to Achieve a Vision of American Seapower,” Information Dissemination, Jan. 26, 2016, http://www.informationdissemination.net/2016/01/reforming-navy-secretariat-bureaucratic.html. [83] On the other hand, it’s also possible that the Navy is too open in discussion of some programs and initiatives. As Bryan McGrath put it, “There is no doubt in my mind that the Navy is ‘oversharing’. There is also no doubt in my mind that it is ‘undersharing’. There is furthermore, no doubt in my mind that the Navy is ‘inefficiently-sharing’. The plain truth is that the Navy is incapable of figuring this out because it is not organized to address it.” Bryan McGrath, “On the Navy and Oversharing,” Information Dissemination, April 6, 2017, http://www.informationdissemination.net/2017/04/on-navy-and-oversharing.html. [84] Erica Buell, “41 for Freedom,” Submarine Force Library and Museum Association, Aug. 11, 2017, http://ussnautilus.org/blog/41-for-freedom/. See also “41 for Freedom: Polaris Submarines 2088,” YouTube video published Oct. 22, 2014, https://www.youtube.com/watch?v=4PAmEFrzQdk&t=931s. [85] Dina Smeltz, et al., “What Americans Think About America First,” Chicago Council on Global Affairs, 2017, https://www.thechicagocouncil.org/sites/default/files/ccgasurvey2017_what_americans_think_about_america_first.pdf. [86] Smeltz, “What Americans Think About America First,” 12, 33. [87] Walter Russell Mead, “The Jacksonian Revolt,” Hudson Institute, Jan. 20, 2017, https://www.hudson.org/research/13258-the-jacksonian-revolt. ) [contents] => Array ( [title] => [contents] => ) ) [11] => WP_Post Object ( [ID] => 439 [post_author] => 128 [post_date] => 2018-02-06 04:00:24 [post_date_gmt] => 2018-02-06 09:00:24 [post_content] => Secretary of State Rex Tillerson delivered the following remarks at the University of Texas at Austin, on February 1, 2018, ahead of his first trip as secretary of state to South America. This trip comes at an important time for the Western Hemisphere. This diverse region — which includes Canada, Mexico, South America, and the Caribbean — is a priority for the United States for reasons other than simply our geographic proximity. We share an interwoven history and chronology. Our nations still reflect the New World optimism of limitless discovery. And importantly, we share democratic values — values that are at the core of what we believe, regardless of the color of our passport. And for generations, U.S. leaders have understood that building relationships with Latin American and Caribbean partners is integral to the success and prosperity of our region. In 1889, at the urging of then-Secretary of State James Blaine, the United States hosted the First International Conference of American States — the precursor to today’s OAS, or Organization of American States. At the beginning of the 20th century, President Teddy Roosevelt visited Panama — the first foreign visit of a U.S. sitting president in our history. And during the 1960s, President Kennedy established the Alliance for Progress — his ambitious plan to strengthen economic cooperation among the United States and the hemisphere, and to, in his words, “eliminate tyranny from a hemisphere in which it has no rightful place.” Today, we share these same goals as the visionary leaders before us: to eliminate tyranny and to further the cause of economic and political freedom throughout our hemisphere. As 2018 begins, we have an historic opportunity to do just that. A few weeks ago, the United States cohosted a ministerial with our counterparts in Canada in Vancouver. Twenty countries joined us to discuss the global threat posed by North Korea. In April, Peru will host the Summit of the Americas to highlight our region’s commitment to fighting corruption. Two months later, Canada will host the 44th G7 Summit. And at the end of this year, the G20 states will convene in Buenos Aires, the first South American city ever to host. So in many ways, 2018 marks the year of the Americas. Many of the world’s leaders will be in this hemisphere, and as such, the eyes of the world will turn to the Americas. So today I want to focus on three pillars of engagement to further the cause of freedom throughout our region in 2018 and beyond: economic growth, security, and democratic governance. The hemisphere has significant potential for greater economic growth and prosperity. We will build upon the solid foundation of economic cooperation with our Latin American and Caribbean partners. Brazil, for instance, is the region’s largest economy and the ninth largest in the world. The United States is Brazil’s second-largest trading partner, with two-way trade at record highs in recent years totaling more than $95 billion in 2015. The United States has free trade agreements with 20 countries; 12 of those countries are in the Western Hemisphere. And every year, the United States trades almost $2 trillion worth of goods and services with Latin America and Caribbean nations, supporting more than 2.5 million jobs here at home. Instead of a trade deficit, we actually have a $14 billion trade surplus with the hemisphere. But today we have an opportunity to further our economic partnership and the prosperity of the peoples in this hemisphere. An important step to strengthen North American economic prosperity and integration is to modernize the North American Free Trade Agreement, or NAFTA. I’m a Texan, former energy executive, and I’m also a rancher. I understand how important NAFTA is for our economy and that of the continent. But it should come as no surprise that an agreement put into place 30 years ago, before the advent of the digital age and the digital economy, before China’s rise as the world’s second-largest economy — that NAFTA would need to be modernized. [quote id="1"] Our aim is simple: to strengthen our economy and that of all of North America, to remain the most competitive, economically vibrant region in the world. We appreciate the hard work of our Mexican and Canadian counterparts throughout these negotiations. Last week, we concluded round six, and we will continue to work toward a modernized agreement with another round scheduled next month. Building greater prosperity by integrating the wealth of energy resources within the hemisphere is an opportunity that is unique in the world to the Americas. Over the past decade, North America has been leading an energy renaissance. By 2040, North America is expected to add more oil production to the global markets than the entire rest of the world combined and more gas production than any other single region. The flow of crude oil, natural gas, refined products, and electricity already crosses our borders in both directions, leading to greater reliability, more efficiency, and lower costs to consumers. Our continent has become the energy force for this century, thanks in large part to rapid expansion in natural gas and tight oil production, and, of course, thanks to some great engineers, many produced right here at UT. The rest of the hemisphere can use the North American experience as a model. We see a future where energy connectivity from Canada to Chile can build out and seize upon energy integration throughout the Americas, delivering greater energy security to the hemisphere and stability to growing economies. South America is blessed with abundant energy resources. Colombia, Peru, Brazil, Guyana, and Argentina all have significant undeveloped oil and natural gas. The United States is eager to help our partners develop their own resources safely, responsibly, as energy demand continues to grow. Our hemispheric energy trade is already beginning to meet these needs: 36 percent of U.S. liquefied natural gas exports since 2016 have landed in Latin America. That’s more than any other region in the world. Between now and 2030, Latin America is expected to spend at least $70 billion on new electric power generation plants to fuel economic growth. Many of those plants will be powered by natural gas. The United States should be a substantive and reliable supplier. By building out a more flexible and robust energy system in our hemisphere, we can power our economies with affordable energy. We can lift more people out of poverty. And we can make our hemisphere the undisputed seat of global energy supply. To support and capture this opportunity requires the opening of more market economies. The opening of energy markets in Mexico, for example, has led to greater private investment, more competition, and more energy trade with the United States than ever before. Truly, a win-win. [quote id="2"] Further south, we are partnering with Central America to strengthen its regional electricity market and modernize its grid. Creating stronger Central American economies by lowering energy cost is critical to building a more secure Central America. We have the chance to develop an energy partnership that spans the Western Hemisphere, to the benefit of all of our citizens. We cannot afford to squander this moment. A transition to more market-based economic reforms are not limited to the energy sector. Argentina, under President [Mauricio] Macri’s leadership, has made monumental strides in delivering reforms to open the Argentine economy and pursue growth for all Argentinians. Its historically high inflation rate is finally decreasing. GDP is going up, spurred on by investment and soaring consumer confidence. And one week after the U.S. Congress passed landmark tax reform policy, Argentina’s legislature took action to overhaul their tax system as well. All of these efforts are making the second-largest economy in South America ripe for more investment and growth. We hope more countries take a similar path — to help the entire hemisphere grow in prosperity. But for prosperity to take root, we must create the conditions for regional stability. Economic development and security reinforce each other. When individuals are living in poverty, a life of crime can look like the only opportunity available to make a living. Legal and illegal immigration increases as people look for more opportunity elsewhere. And innocent people are more likely to become victims of drug cartels, human traffickers, and corrupt law enforcement authorities. The United States approach is holistic — we must address security and development issues side by side. You cannot expect to have one without the other. The most immediate threat to our hemisphere are transnational criminal organizations, or TCOs. In their pursuit of money and power, TCOs leave death and destruction in their wake. As humans, weapons, opioids, and other drugs are smuggled, law enforcement and civilians become the targets. Here at home, Americans do not necessarily see the day-to-day violence that is so common in other parts of our hemisphere. But U.S. demand for drugs drives this violence and this lawlessness. We acknowledge our role as the major market for illicit drug consumption and the need for shared approaches to address these challenges. The opioid epidemic we are facing in this country is a clear, tragic representation of how interconnected our hemisphere truly is. Violence and drugs do not stop at our southern border. That is why we continue to employ a coordinated, multilateral approach to diminish the influence of these groups. It is time we rid our hemisphere of the violence and devastation that they promote. I co-chair a high-level dialogue with Foreign Secretary [Luis] Videgaray of Mexico to discuss new and strategic ways to disrupt TCOs. We must take new approaches to disrupt their business models — models of cartels which operate much like any other business organization that maximizes their value chain from feedstock to manufacturing to distribution to marketing and sales. The second meeting of our dialogue was held in Washington this past December, which included Secretary [Kristjen] Nielsen of the Department of Homeland Security and Attorney General Jeff Sessions, as well as our Mexican counterparts. We also had with us law enforcement representatives from both countries. [quote id="3"] Dismantling TCOs is not just a diplomatic issue. Obviously, it requires integrating the skills and expertise of law enforcement to interdict shipments of illegal drugs, attack the revenue streams and the weapons feeding TCOs, and to track down and prosecute the middlemen who enable them. Close collaboration among multiple agencies — within our own government, and with our international partners — is essential. The way we combat threats to our southern border security is to work collaboratively with Mexico to strengthen Mexico’s southern border. Through the Merida Initiative — a partnership between the United States and Mexico focused on improving security and the rule of law — the United States is providing assistance to build the capacity of Mexican law enforcement and judicial institutions. By providing inspection equipment, canine units, and training, we equip law enforcement officers with tools to eradicate opium poppy production, tighten border security, and disrupt trafficking activities — not just in drugs but in trafficking of humans. By improving cross-border communications, we make both sides of the border safer. And our security partnerships extend beyond just our southern border or Mexico’s southern border. Colombia has been one of our strongest partners in the region.  Following decades of long internal battle with Revolutionary Forces of the FARC, Colombia has charted a pathway to peace. We continue to support this sustainable peace, but challenges do remain. Colombia is the world’s largest producer of cocaine — the source of 92 percent of the cocaine seized in the United States. Last year, and with U.S. support, Colombian police and military forces eradicated 130,000 acres of coca fields — the highest number since 2010. The same year, Colombian forces seized nearly 500 metric tons of cocaine. There is more work ahead. Regrettably, coca cultivation has skyrocketed in recent years. In 2016, more than 460,000 acres in Colombia were used for coca cultivation — a record. We keep a very open and frank dialogue with the Government of Colombia to address the eradication of this very large feedstock for cocaine and to identify alternative cash crops to support rural Colombian farmers. In Central America, through the Alliance for Prosperity, we support countries as they address security and economic development in tandem. Last June in Miami, the State Department and the Department of Homeland Security, along with our Mexican counterparts, cohosted the Conference on Prosperity and Security in Central America. Through many productive conversations with public and private sector leaders across the region, opportunities were identified to help Central American countries grow their economies, strengthen their institutions, and better protect their people. More opportunities for Central Americans will weaken the hold of transnational criminal organizations, address the underlying causes of legal and illegal immigration, and result in less violence. That makes their nations stronger, and it makes ours safer. And through the Caribbean Basin Security Initiative, partners along our third border, the Gulf of Mexico, are increasing their ability to perform maritime interdictions, rein in illegal firearms, counter corruption, and prosecute criminals. Over the summer, we submitted our Caribbean 2020 Plans. This comprehensive strategy fosters closer security cooperation and reaffirms our commitment to encourage private sector growth and diversification of energy resources, creating energy security in the Caribbean. We also maintain our partnerships in education and health initiatives, including PEPFAR, the President’s Emergency Plan for AIDS Relief. The United States knows that our country — and the rest of the region — benefits from greater regional stability and the prospect of a growing economy throughout the hemisphere. The United States’ partnership with nations in the hemisphere is founded on shared values and democratic governance, but we cannot take it for granted. Many still live under the oppression of tyranny. The corrupt and hostile regime of Nicolas Maduro in Venezuela clings to a false dream and antiquated vision for the region that has already failed its citizens. It does not represent the vision of millions of Venezuelans — or in any way comport with the norms of our Latin American, Canadian, or Caribbean partners. [quote id="5"] Our position has not changed. We urge Venezuela to return to its constitution — to return to free, open, and democratic elections — and to allow the people of Venezuela a voice in their government. We will continue to pressure the regime to return to the democratic process that made Venezuela a great country in the past. Venezuela stands in stark contrast to the future of stability pursued by so many others in the hemisphere. The great tragedy is that, although Venezuela could be one of the most prosperous countries in the region, it is one of the poorest in the world. Venezuela GDP growth in 2004 was as high as 18 percent. Ten years later, it is nearly a negative 4 percent — all the result of man-made collapse. Venezuela boasts the world’s largest proven oil reserves, but riches are reserved only for the ruling elites. As a consequence, the people suffer. Venezuelans are starving, looting is common, and the sick do not receive the medical attention they desperately need. Venezuelans are dying of malnutrition and disease. There has been no natural disaster — nothing like that earthquake that took me to Peru. The Venezuelan people suffer because of a corrupt regime that steals from its own people. The Maduro regime is squarely to blame and must be held to account. The United States has imposed sanctions on more than 40 current or former Venezuelan government officials — individuals who support Maduro and his efforts to undermine democracy. Over the past year, we have worked with many of our Latin American partners — through the Lima Group and the Organization of American States in particular — to build support for coordinated action to counter the country’s slide into dictatorship. We appreciate the Lima Group of major regional leaders who have met regularly to support the Venezuelan people’s quest to regain their country. Canada too has sanctioned dozens of Venezuelan leaders, including Maduro himself. And recently, the European Union joined the growing global chorus to sanction leaders in the regime for human rights abuses. The world is waking to the plight of the Venezuelan people. We encourage all nations to support the Venezuelan people. The time has come to stand with freedom-loving nations, those that support the Venezuelan people, or choose to stand with the Maduro dictatorship, if that is your choice. Elsewhere we will continue to encourage others in the region, like Cuba, who disregard their people and ignore this democratic moment in Latin America, to give their people the freedom that they deserve. Cuba has an opportunity in their own transfer of power from decades of the Castro regime to take a new direction. In June, President Trump laid out a new vision for our approach to Cuba — one that supports the Cuban people by steering economic activity away from the military, intelligence, and security service which disregard their freedom. [quote id="4"] The administration’s policy — as written in the National Security Presidential Memorandum — also seeks to, quote, “ensure that the engagement between the United States and Cuba advances the interests of the United States and that of the Cuban people.” It includes advancing human rights and encouraging the nascent private sector in Cuba. The future of our relationship is up to Cuba — the United States will continue to support the Cuban people in their struggle for freedom. Venezuela and Cuba remind us that, for our hemisphere to grow and thrive, we must prioritize and promote democratic values. We must root out corruption in all of its forms. Ineffective, corrupt governance damages countries. The economy suffers. People lose faith in institutions. And crime increases. Recent steps taken against corruption in Guatemala, Peru, the Dominican Republic, and Brazil underscore the importance of directly addressing it. In Guatemala, we continue to support the CICIG — a U.N. body created in 2006 — to uphold the rule of law, strengthen accountability, and independently investigate illegal, corrupt activity affecting government institutions. 2018 should be the year countries in the Western Hemisphere restore their trust with their people, the people they represent, and take serious anti-corruption action. As I mentioned, the Summit of the Americas will be hosted by Peru in April. We wholeheartedly support this year’s theme: “Democratic Governance Against Corruption.” And we encourage every nation in the region to fully embrace it. Encouraging transparency, increasing accountability, rooting out corruption — all of these are essential to creating a sound economy for the region, promoting security, and protecting our values. Strong institutions and governments that are accountable to their people also secure their sovereignty against potential predatory actors that are now showing up in our hemisphere. China — as it does in emerging markets throughout the world — offers the appearance of an attractive path to development. But in reality, this often involves trading short-term gains for long-term dependency. Just think about the difference between the China model of economic development and the United States version. China’s offer always come at a price — usually in the form of state-led investments, carried out by imported Chinese labor, onerous loans, and unsustainable debt. The China model extracts precious resources to feed its own economy, often with disregard for the laws of the land or human rights. Today, China is gaining a foothold in Latin America. It is using economic statecraft to pull the region into its orbit. The question is: at what price? China is now the largest trading partner of Chile, Argentina, Brazil, and Peru. While this trade has brought benefits, the unfair trading practices used by many Chinese have also harmed these countries’ manufacturing sectors, generating unemployment and lowering wages for workers. Latin America does not need new imperial powers that seek only to benefit their own people. China’s state-led model of development is reminiscent of the past. It doesn’t have to be this hemisphere’s future. Russia’s growing presence in the region is alarming as well, as it continues to sell arms and military equipment to unfriendly regimes who do not share or respect democratic values. Our region must be diligent to guard against faraway powers who do not reflect the fundamental values shared in this region. The United States stands in vivid contrast. We do not seek short-term deals with lopsided returns. We seek partners with shared values and visions to create a safe, secure, and prosperous hemisphere. The U.S. approach is based on mutually beneficial goals to help both sides grow, develop and become more prosperous, and do so by respecting international law, prioritizing the interests of our partners, and protecting our values. With the United States, you have a multidimensional partner — one that benefits both sides with engagement to support economic growth, education, innovation, and security. This year the United States is eager to create even deeper relationships with Latin America and Caribbean partners, with the aim of expanding freedom to more people. We have a tremendous opportunity to build upon our shared history, culture, and values to generate more opportunity, more stability, more prosperity, and more resilient governance in South America, Central America, North America, and the Caribbean. In this year of the Americas, the United States will continue to be the Western Hemisphere’s steadiest, strongest, and most enduring partner. Rex Tillerson is the secretary of state. ISSN (Print): 2576-1021 ISSN(Online): 2576-1153 Image: U.S. Department of State [post_title] => U.S. Engagement in the Western Hemisphere [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => u-s-engagement-western-hemisphere [to_ping] => [pinged] => [post_modified] => 2019-01-17 14:07:08 [post_modified_gmt] => 2019-01-17 19:07:08 [post_content_filtered] => [post_parent] => 0 [guid] => https://tnsr.org/?p=439 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => Secretary of State Rex Tillerson discusses the United States' enduring partnership with South America, Central America, North America, and the Caribbean. [pubinfo] => [issue] => Vol 1, Iss 2 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => We have an opportunity to further our economic partnership and the prosperity of the peoples in this hemisphere. ) [1] => Array ( [author] => [style] => right [text] => We have the chance to develop an energy partnership that spans the Western Hemisphere, to the benefit of all of our citizens. ) [2] => Array ( [author] => [style] => left [text] => Close collaboration among multiple agencies is essential. ) [3] => Array ( [author] => [style] => right [text] => Venezuela and Cuba remind us that, for our hemisphere to grow and thrive, we must prioritize and promote democratic values. ) [4] => Array ( [author] => [style] => left [text] => Venezuela stands in stark contrast to the future of stability pursued by so many others in the hemisphere. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => 557 ) [authors] => Array ( [0] => 128 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => ) [contents] => Array ( [title] => [contents] => ) ) ) [post_count] => 12 [current_post] => -1 [in_the_loop] => [post] => WP_Post Object ( [ID] => 780 [post_author] => 228 [post_date] => 2018-11-27 10:08:15 [post_date_gmt] => 2018-11-27 15:08:15 [post_content] =>

I.

The fundamental problem facing U.S. national security — and indeed grand — strategy is clear: The United States seeks to extend deterrence to dozens of allies in parts of the world that are increasingly shadowed by Russia and China, each of which fields survivable nuclear arsenals and conventional forces that are more and more formidable in their respective regions. An increasingly powerful China seeks ascendancy in Asia and ultimately beyond, while Russia has recovered some of its military potency and aspires to upend or at least substantially revise the post-Cold War European settlement.[1] Both China and Russia have developed strategies and forces designed to enable them to attack or suborn U.S. allies or partners and make such an effort potentially worth the risks and costs. Their aspirations place them at odds — or at least in tension — with U.S. interests in defending its alliance architecture, and their increased capability to pursue these aspirations makes them more dangerous and the possibility of war with them more likely.[2] In the face of these challenges, Washington wants to deter and, if necessary, defeat attacks on its allies by Russia or China. The problem is that these alliances are, while of course important, still fundamentally secondary interests for the United States. Yet Washington wisely seeks to defend them from states that have the assured ability to conduct nuclear strikes on the American homeland, which, naturally, represents the profoundest type of peril to the nation’s ultimate primary interest: its survival as a functioning society. In light of the mutual vulnerability of the United States on the one hand and Russia and China on the other, the disincentives to large-scale use of nuclear weapons are of the gravest and most direct sort. No one could rationally seek general nuclear war, which would be tantamount to suicide. In this context, the influence of nuclear weapons derives from the perception of a willingness to risk their use at scale — in effect, to be more willing to court destruction. Coercive leverage derives from establishing a superior position about which state is more resolute in risking nuclear Armageddon.[3] But such a competition is not only about resolve in some pure or abstract sense, disconnected from events or acts. Rather, resolve is not an immutable value, but is shaped and formed by a host of factors, and thus is itself subject to manipulation. A state’s willingness to fight is, in other words, not simply a product of an unchanging judgment of the import of a given stake. It is also formed by assessments about the difficulty of and degree of risk assumed by fighting, the connection of the equity at issue to other interests, the perceived nature of the opponent as well as the scale and ambition of its aims, judgments of justice and legitimacy, and so forth. The more these sorts of interests are — or can be — implicated in a given contest, the more likely a state will be willing to risk, fight, and endure, even if the contest is initially or nominally focused on a relatively peripheral interest. The Union fought more resolutely than it otherwise might have against a South that had attacked Fort Sumter first, and the United States fought much more ferociously against a Japan that had launched a dastardly surprise attack on Pearl Harbor and conducted its ensuing aggression with notorious brutality. In particular, the more aggressive, brazen, illegitimate, unjust, or inherently menacing one state’s behavior seems, the more likely it is that it will generate the willingness of the other state to assume some additional risk of nuclear Armageddon. Put another way, the more capable a state is of attaining its aims through means that appear less escalatory, the less it will need to rely on its resolve to risk general devastation. Conversely, the less capable a state is of pursuing its aims through less escalatory measures, the more it will need to rely on its willingness to court mutual suicide. Thus, the ability to fight successfully without having to seriously escalate is a great source of advantage because it permits one to prevail even with a deficit of resolve. This is crucial for the United States. In a pure contest of resolve against Russia over Eastern Europe or against China over Taiwan — or even against Pyongyang over the Korean Peninsula — it is not clear that the United States would prevail. But Washington need not and should not permit such a pure contest to appear plausible. Indeed, for many years after the end of the Cold War, Washington enjoyed a situation in which resolve was largely immaterial to plausible contingencies touching on threats to U.S. allies. While Russia had survivable nuclear forces and China a modest strategic deterrent, neither had the conventional forces to mount serious assaults on U.S. allies that would enable them to push the onus of escalation onto the United States, and thus to create a more favorable contest of resolve.[4] China might have reminded the United States that it could destroy Los Angeles in the pursuit of subordinating Taipei, but such a threat was not coercively useful without the conventional forces to sustain a blockade or an invasion of Taiwan. Few imagined that China would leap immediately to destroying Los Angeles when such an act, by its manifest disproportion and unreasonableness, would very likely have triggered the most fearsome sort of retaliation.

II.

The post-Cold War period, however, is over. The increased conventional military power of Russia and China, and China’s maturing nuclear deterrent, have changed the situation. Each is pursuing a variant of what is fundamentally a fait accompli strategy. In a situation of mutual vulnerability to large-scale nuclear attack, the fait accompli is the most attractive offensive strategy for a power that is weaker than its opponent, as China and Russia are relative to the United States and its allies. The fait accompli strategy works by moving or attacking in a way that forces the defender’s counterpunch to have to be so costly and risky as to seem not worth the benefit of reversing it. It is most insidious when the violence needed to succeed with the fait accompli is less grievous, making the very great response needed to eject the attacker seem not only too perilous but also unjust. As a consequence, in a nuclear world, advantage in the deadly competition in risk-taking between two states armed with survivable arsenals will thus accrue to the side that can take action and hold territory — and then push the onus of responding onto the other side in such a way that the sort of escalation required to remedy the situation is simply too costly and risky. [quote id="1"] In Europe, Russia’s conventional forces can now rapidly seize territory in places such as the Baltic states and eastern Poland, while Moscow’s large and variegated strategic and nuclear forces provide ample options for controlled strikes designed to “spook” NATO into terminating a war before the alliance could bring its greater strength to bear to reverse Russian gains.[5] In Asia, meanwhile, China is developing a conventional military that will be able to compete for — and could be able to establish — superiority over the United States and its allies in substantial areas of the Western Pacific, as well as a nuclear force that could increasingly be used in more limited, controlled ways to attempt to deter U.S. vertical or horizontal escalation.[6] The two cases are similar but differ in the greater Russian degree of reliance on nuclear weapons. The nub of the challenge from Russia lies in Moscow’s potential ability to transform its temporary and local conventional advantages with respect to the Baltic states and eastern Poland into permanent gains through the threat of a nuclear escalation that both sides fear but that, Moscow may reckon, the West would fear more. The challenge from China, meanwhile, appears likely to lie more in its potential ability to attain practical conventional superiority over the United States with respect to East Asia and to use its nuclear and strategic forces to dissuade Washington from meaningfully escalating, including to the nuclear level, in order to negate or reverse that superiority. Both, however, involve ways in which a potential U.S. adversary could use its military forces to create durable positions of advantage. Moscow or Beijing might plausibly calculate that such uses of military force would be exceptionally difficult and demanding to roll back or dislodge. This would shift the onus of escalation onto the United States and its allies and would allow for the use of nuclear and other strategic forces to deter the United States from taking the potentially escalatory and dramatic actions needed to achieve its more limited objectives, such as the restoration of an ally’s territorial integrity.

III.

If U.S. grand strategy is to remain predicated on the defense of its allies, the United States needs to deal promptly and resolutely with this thorny set of problems. While Chinese and Russian provocations against U.S. interests have mostly been confined to the “gray zone” thus far, a perception that strategies such as these could advantageously be pursued may lead to more direct and clearer challenges, especially if the relevant regional military balances shift away from Washington and its allies.[7] Sub-conventional “salami-slicing” is an attractive strategy when one fears the consequences of pushing much harder or further. If Beijing or Moscow judges it can push more ambitiously or assertively without risking a plausible and sufficiently painful U.S. response, then it is likely to do so. If the United States is resolute and clear enough, however, gray-zone problems will remain manageable — that is, if the United States retains a military advantage with respect to its allies and established partners (such as Taiwan) vis-à-vis Russia and China. If it loses that advantage, gray-zone provocations are likely to transform into far more direct and menacing assertions of power by Moscow and Beijing. To prevent this, the United States should want a defense posture that demonstrates to potential opponents that such challenges would not succeed or, failing that, would be too costly to be worth the candle. Ideally, this would entail a U.S. ability directly to defeat outright any aggression against its allies or interests, as essentially was the case during the unipolar period that followed the collapse of the Soviet Union. This standard may be difficult to achieve, however, given the dramatic growth of Chinese power and the more modest, but still significant, recovery of Russian military power, the proximity of plausible points of conflict to them and their distance from the United States, and the diffusion of U.S. military effort and focus across multiple theaters. It may be especially difficult to do so rapidly or without requiring significant forms of escalation that may seem a bridge too far for U.S. decision makers absent evidence of a much higher degree of Chinese or Russian malignity or ambition. The United States should therefore aim to field a military posture of conventional forces that makes attack against U.S. allies and territory at best futile and at minimum a necessarily very brazen, destructive, and aggressive act.[8] Compelling the adversary to conduct aggression in this way is far more likely to catalyze U.S. and allied resolve to pursue the kinds of military actions necessary to defeat such an assault, for instance through a much larger counteroffensive, including conventional strikes into an adversary’s territory. This conventional posture should be designed not only to achieve the important but limited aim of repelling an adversary’s attack and denying the fait accompli but also to shift onto the opponent the onus of more dramatic forms of escalation — above all to the nuclear level. That is, U.S. conventional military operations need to be ferocious enough to degrade a capable opponent’s ability to pursue and consummate its attack on U.S. allies, but they should also be framed and implemented in such a way as to compel the other side to have to face the choice of conceding or dramatically escalating. If China can take over Taiwan quickly, cleanly, and with relatively little damage, this is likely to make a large and ferocious U.S. counteroffensive seem disproportionate, thereby lessening the probability that it would happen and that other states would support it. Conversely, if Beijing can hope to conquer Taiwan only through a massive, bloody, and patently aggressive offensive — and might well fail at that — then the sorts of U.S. actions needed to help Taiwan are likely to seem much more reasonable and palatable, thereby increasing the likelihood that Washington would take such actions and that others would support those efforts.

IV.

This is primarily a challenge for U.S. and allied conventional forces. But U.S. (and allied) nuclear forces also play a central role. The U.S. nuclear arsenal should be designed to demonstrate to potential U.S. opponents — most importantly Russia and China — that dramatic forms of escalation against key U.S. interests, including but not exclusively nuclear escalation, would be too costly and risky to pursue and ultimately would be self-defeating. This involves demonstrating to potential foes that attempts to transgress core American interests, or to use nuclear weapons for military effect, or seeking to favorably manipulate the fear of escalation to Armageddon would not redound in their favor — and ideally against them. This should contribute both to deterring them from using nuclear weapons as a way to reverse a limited conventional defeat but also from crossing fundamental American and allied red lines short of employing nuclear weapons. This, of course, rules out the adoption by the United States of a “no first use” pledge, which would be especially inadvisable given the growth of Chinese conventional military power.[9] At the same time, however, U.S. nuclear strategy should seek to avoid unnecessarily or inadvertently triggering a large-scale nuclear war. That is, U.S. nuclear forces should both exercise significant and ideally decisive yet targeted coercive influence but avoid prompting escalation to broader strategic war. U.S. nuclear forces should deter (and, if pressed, coerce) while simultaneously promoting rather than detracting from a fundamental strategic stability — the understanding that U.S. actions are not intended to deny the other side a basic retaliatory capability.[10] Together, this means the United States should want a nuclear strategy, force, and posture focused on the ability and preparedness to use nuclear weapons in discriminate, tailored, and controlled ways. The logic of any such nuclear employment should focus on escalation advantage: to demonstrate Washington’s willingness to escalate to the nuclear level, and to continue escalating if grave provocations continue, but also its readiness to restrain further escalation and ultimately deescalate if the opponent is prepared to comply with reasonable demands. Accordingly, Washington should want a nuclear arsenal that can provide varying options for controlled, graduated forms of nuclear escalation in line with this basic logic that allow for different potential employment strategies (such as tit for tat or intensifying escalation), since the optimal targeting strategy is likely to vary based on the particular contingency. To be most coercively useful, such strikes should be designed to influence (or complement other efforts to influence) the sub-nuclear conflict in ways that shift the burden of escalation further onto the adversary and thus be advantageous to the United States. [quote id="2"] That is, the ideal nuclear employment strategy is one that not only demonstrates political will but also, along with U.S. and allied conventional efforts, affects the sub-strategic battle in ways that make an adversary’s counter- or further escalation less attractive. For instance, the United States would benefit from having nuclear options that could heavily damage a Chinese invasion flotilla designed to assault U.S. allies in the Western Pacific and that could exercise similar effects against Russian forces attacking or directly supporting an incursion into the Baltics.[11] Such capabilities would enable the United States not only to demonstrate its resolve to cross the nuclear threshold, but also markedly increase the degree of escalation the opponent would have to undertake to remedy the loss and continue the fundamentally offending action (such as the invasion of a U.S. ally in the Western Pacific or in Eastern Europe). This role would be especially important if the United States lacks plausible conventional options for exercising such an effect, especially without undertaking separate, dramatic forms of escalation (for instance by significantly expanding the scope of the battlefield or hitting new, especially sensitive classes of targets). The U.S. military fielded these types of capabilities during the Cold War but abandoned them in the post-Cold War era. This was defensible in an era of untrammeled U.S. conventional superiority; it is not in one in which the Russians and Chinese may have plausible theories of victory against U.S. allies and important partners. From a targeting perspective, this puts a premium on being able to strike at differing sorts of targets depending on the stage of escalation — to be able to strike effectively at what the opponent values but also to communicate at stages of escalation short of general war a meaningful degree of restraint. Accordingly, nuclear weapons that could significantly damage or impair such targets, but with lessened collateral damage, would be particularly attractive. Such weapons that would be especially useful in this context might include those with a lower yield, those that could be employed in ways that would create less radioactivity, and those that would travel on trajectories and from platforms that would be less likely to generate an opponent’s fear that they were part of or precursor to a general or attempted disarming attack. Furthermore, this nuclear strategy puts a high value on an exquisite, responsive, resilient, and supremely capable nuclear command, control, and communications (NC3) architecture.[12] At the same time, limited use would not substitute for the ability to conduct large-scale and general nuclear strikes. Rather, the effectiveness of discriminate options would in fact depend upon their connection to that possibility. Consequently, the United States would need to retain the capacity to destroy Russia and China’s most valued targets, including their industrial bases and national leadership in their protected redoubts. While attacks on leadership should, as a general principle, be withheld until the very last stages of escalation, it is crucial for the United States to be able to destroy an opponent no matter where he goes, especially at the end of a chain of deliberate escalation when an adversary has had the opportunity to hide and defend himself. Accordingly, the United States needs capabilities to assuredly — and, ideally, promptly and with reduced collateral damage — destroy even targets in hardened and deeply buried facilities. It is vital to underline that this is critical for retaliatory strikes — and thus for stability — and far less, actually, for more aggressive nuclear strategies, which can aspire to decapitating enemy leaderships before they have a chance to seek safety or concealment. Notably, this nuclear strategy does not emphasize or rely on the ability to attack an enemy’s strategic nuclear forces or command-and-control. While it does not exclude the potential value of having options to degrade an opponent’s strategic arsenal or command-and-control ability (for instance, to make an opponent’s counter-escalation options less attractive), it generally counsels restraint regarding pursuit of strategic counterforce capabilities, let alone their employment, particularly in light of the countering responses such pursuit is likely to engender. Communication with the adversary before and during a conflict is crucial to the effectiveness of such a strategy, since ultimately it is predicated on persuading — indeed, coercing — an adversary to agree to end a war on terms acceptable (and ideally favorable) to the United States without triggering escalation to a level of war beyond what anyone would want. Accordingly, Russia and China need to understand the logic of U.S. nuclear strategy. It is not about denying their retaliatory capability nor confined to large-scale options. Rather, it is about demonstrating to them in the most painful terms that the United States has the resolve and the ability to impose progressively greater — and ultimately the greatest — damage and risk on them if they transgress core American and allied interests, and that it has the capabilities to make such a strategy plausibly implementable on bases that will play to American, rather than their, advantages. U.S. declaratory policy should reflect this. Ambiguity about the precise conditions under which the United States would employ nuclear weapons and how it would do so are advisable for familiar reasons, but greater clarity about and emphasis on the options the United States possesses and will possess to pursue the strategy laid out here would be helpful. This may involve less changes in the wording of formal statements than shifts in how the United States exercises its forces, for instance, by building in contingencies involving deliberate escalation, and allowing the circulation of reports of such exercises.

V.

The basic point is to make clear to Moscow and Beijing that Washington is prepared to respond to dramatic escalation on their part with plausibly implementable strategies of its own. This is especially important because the stakes over cognizable contingencies today are lower than they were during the Cold War (primarily because neither China nor Russia poses the kind of totalistic threat that many viewed the Soviet Union as representing). More apocalyptic strategies are more credible when defeat itself would seem apocalyptic, as it did to many during the Cold War. When limited defeat over peripheral interests would not appear to constitute such a catastrophe, more credible strategies are needed. The 2018 Nuclear Posture Review represented an important and commendable starting point in this direction, especially with its decision to develop a low-yield warhead for U.S. submarine-launched ballistic missiles, but the U.S. military will need to go further. [quote id="3"] The premise for all this is that limited nuclear war is possible. Crossing the nuclear threshold would be staggeringly dangerous, as things always might get completely out of control, leading to an apocalyptic exchange. But this is not the same as saying that such escalation to total war would necessarily happen. This is fundamentally for two reasons: because combatants under the nuclear shadow would always have the strongest possible incentive to avoid triggering the apocalypse, since doing so would almost certainly result in their own destruction, but, at the same time, advantage at the nuclear level (the highest imaginable) would be dominating. Thus the side willing and able to escalate to the nuclear level and come out ahead would have a commanding edge. Accordingly, even as the United States should seek to minimize the degree to which it relies on nuclear weapons in its defense strategy — for both strategic and moral reasons — its defense strategy must nonetheless reckon with the reality that limited nuclear war is possible and, unless anticipated and provided for, could well be an attractive and even rational course of action for opportunistic or motivated opponents. In closing, it is worth emphasizing what the logic of this strategy would be. The United States is wisely committed to sustaining its grand strategy of alliances in key regions of the world, a strategy that is most conducive to preserving an enduringly favorable balance of power and thus international order for Americans. This is a fundamentally conservative approach, one that seeks to defend what is established rather than transform the world or upend regional orders. This requires a defense strategy and posture that will deter a rising and increasingly assertive China and an alienated and more capable Russia. That, in turn, requires that Beijing and Moscow believe the United States might realistically put its strategy into effect despite the attendant risks and the relatively lower stakes compared with those at issue in the Cold War. In a situation of substantial mutual vulnerability over stakes that are important but not truly central to the United States, the best strategy to serve U.S. political ends is one focused on advantageously managing escalation in a way that seeks to keep or shift the burden of dramatic escalation onto Moscow or Beijing. This is highly suited to a strategy focused on defense rather than expansion or transformation, and thus is the best way to achieve the goal Hans Morgenthau set out for a wise foreign policy, that “the task of armed diplomacy [should be] to convince the nations concerned that their legitimate interests have nothing to fear from a restrictive and rational foreign policy and that their illegitimate interests have nothing to gain in the face of armed might rationally employed.”[13]   Elbridge Colby is director of the Defense Program at the Center for a New American Security. He was deputy assistant secretary of defense for strategy and force development from 2017 to 2018.     Image: Ministry of Digital Development, Communications and Mass Media of the Russian Federation [post_title] => Against the Great Powers: Reflections on Balancing Nuclear and Conventional Power [post_excerpt] => [post_status] => publish [comment_status] => open [ping_status] => closed [post_password] => [post_name] => against-the-great-powers-reflections-on-balancing-nuclear-and-conventional-power [to_ping] => [pinged] => [post_modified] => 2019-01-18 02:56:35 [post_modified_gmt] => 2019-01-18 07:56:35 [post_content_filtered] => [post_parent] => 0 [guid] => http://tnsr.org/?p=780 [menu_order] => 0 [post_type] => post [post_mime_type] => [comment_count] => 0 [filter] => raw [lead] => The toughest and most important challenge for U.S. defense strategy is how to defend vulnerable allies against a Chinese or Russian fait accompli strategy, particularly one backed by nuclear threats. Here's how the United States should think about how to defeat such a strategy, and what it means for America's conventional and nuclear forces. [pubinfo] => [issue] => Vol 2, Iss 1 [quotes] => Array ( [0] => Array ( [author] => [style] => left [text] => The increased conventional military power of Russia and China, and China’s maturing nuclear deterrent, have changed the situation. ) [1] => Array ( [author] => [style] => right [text] => Together, this means the United States should want a nuclear strategy, force, and posture focused on the ability and preparedness to use nuclear weapons in discriminate, tailored, and controlled ways. ) [2] => Array ( [author] => [style] => left [text] => The basic point is to make clear to Moscow and Beijing that Washington is prepared to respond to dramatic escalation on their part with plausibly implementable strategies of its own. ) ) [style] => strategist [type] => Strategist [style_label] => The Strategist [download] => Array ( [title] => PDF Download [file] => ) [authors] => Array ( [0] => 228 ) [endnotes] => Array ( [title] => Endnotes [endnotes] => [1] For China, see, "'China Seeks Hegemony': America's Pacific Commander Offers a Military Warning," Wall Street Journal, Feb. 24, 2016, https://www.wsj.com/articles/china-seeks-hegemony-1456358971; Ely Ratner, "Rising to the China Challenge: Prepared Statement Before the House Committee on Armed Services," Feb. 15, 2018, https://docs.house.gov/meetings/AS/AS00/20180215/106848/HHRG-115-AS00-Wstate-RatnerE-20180215.pdf; for Russia, see, A. Wess Mitchell, "Remarks at the Atlantic Council," Oct. 18, 2018, https://www.state.gov/p/eur/rls/rm/2018/286787.htm; Christopher S. Chivvis, "Russia's Determination to Revise the Post-Cold War Order," RAND blog, Sept. 30, 2016, https://www.rand.org/blog/2016/09/russias-determination-to-revise-the-post-cold-war-order.html. [2] National Security Strategy of the United States, December 2017, https://www.whitehouse.gov/wp-content/uploads/2017/12/NSS-Final-12-18-2017-0905.pdf; “Summary of the National Defense Strategy of the United States of America: Sharpening the American Military’s Competitive Edge,” January 2018, https://www.defense.gov/Portals/1/Documents/pubs/2018-National-Defense-Strategy-Summary.pdf. [3] As classically laid out in Thomas C. Schelling’s Arms and Influence and Strategy of Conflict (Santa Barbara, CA: Praeger, 1977). [4] See RAND scorecard report on China, for instance: Eric Heginbotham et al., The U.S.-China Military Scorecard: Forces, Geography, and the Evolving Balance of Power, 1996–2017, (Santa Monica, CA: RAND Corporation, 2015), https://www.rand.org/pubs/research_reports/RR392.html. [5] Karl Mueller David A. Shlapak, Michael W. Johnson, and David Ochmanek, “In Defense of a Wargame: Bolstering Deterrence on NATO’s Eastern Flank,” War on the Rocks, June 14, 2016, https://warontherocks.com/2016/06/in-defense-of-a-wargame-bolstering-deterrence-on-natos-eastern-flank/ ; Nuclear Posture Review (Defense Department, February 2018), https://www.defense.gov/News/Special-Reports/0218_npr/. [6] “Annual Report to Congress: Military and Security Developments Involving the People’s Republic of China 2018,” Department of Defense, https://media.defense.gov/2018/Aug/16/2001955282/-1/-1/1/2018-CHINA-MILITARY-POWER-REPORT.PDF; Robert O. Work, “So, This Is What It Feels Like to Be Offset,” Speech at Center for a New American Security, June 21, 2018, https://www.youtube.com/watch?v=U9iZyDE2dZI. [7] Joseph L. Votel, Charles T. Cleveland, Charles T. Connett, and Will Irwin, “Unconventional Warfare in the Gray Zone,” Joint Force Quarterly, no. 80 (January 2016), https://ndupress.ndu.edu/JFQ/Joint-Force-Quarterly-80/Article/643108/unconventional-warfare-in-the-gray-zone/; Hal Brands, “Paradoxes of the Gray Zone,” Foreign Policy Research Institute, Feb. 5, 2016, https://www.fpri.org/article/2016/02/paradoxes-gray-zone/. [8] Jonathan F. Solomon, “Demystifying Conventional Deterrence: Great-Power Conflict and East Asian Peace,” Strategic Studies Quarterly 7, no. 4 (Winter 2013): 117–57, https://www.jstor.org/stable/26270780; Elbridge Colby and Jonathan Solomon, “Facing Russia: Conventional Defence and Deterrence in Europe,” Survival 57, no. 6 (2015): 21–50, https://www.tandfonline.com/doi/abs/10.1080/00396338.2015.1116146; Elbridge Colby and Jonathan F. Solomon, “Avoiding Becoming a Paper Tiger: Presence in a Warfighting Defense Strategy,” Joint Force Quarterly, no. 82 (July 2016), http://ndupress.ndu.edu/JFQ/Joint-Force-Quarterly-82/Article/793233/avoiding-becoming-a-paper-tiger-presence-in-a-warfighting-defense-strategy/. [9] Elbridge Colby, “Nuclear Weapons Aren’t Just for the Worst Case Scenario,” Foreign Policy, Aug. 4, 2016, https://foreignpolicy.com/2016/08/04/nuclear-weapons-arent-just-worst-case-scenario-first-use-china-obama-trump/. [10] For more on views on strategic stability, see Elbridge A. Colby and Michael S. Gerson, eds., Strategic Stability: Contending Interpretations (Carlisle Barracks, PA: U.S. Army War College Press, 2013), http://publications.armywarcollege.edu/pubs/2216.pdf. [11] For a recent treatment of the problem of limited nuclear war and potential scenarios involving it, see John K. Warden, “Limited Nuclear War: The 21st Century Challenge for the United States,” Livermore Papers on Global Security no. 4 (July 2018), https://cgsr.llnl.gov/content/assets/docs/CGSR_LP4-FINAL.pdf. [12] “Nuclear Matters Handbook 2016,” Office of the Deputy Assistant Secretary of Defense for Nuclear Matters, ch. 6, accessed Nov. 26, 2018, https://www.acq.osd.mil/ncbdp/nm/nmhb/chapters/chapter_6.htm. [13] Hans J. Morgenthau, “Another ‘Great Debate’: The National Interest of the United States,” American Political Science Review 46, no. 4 (December 1952): 978, https://www.jstor.org/stable/1952108. ) [contents] => Array ( [title] => [contents] => ) ) [comment_count] => 0 [current_comment] => -1 [found_posts] => 16 [max_num_pages] => 2 [max_num_comment_pages] => 0 [is_single] => [is_preview] => [is_page] => [is_archive] => 1 [is_date] => [is_year] => [is_month] => [is_day] => [is_time] => [is_author] => [is_category] => [is_tag] => [is_tax] => 1 [is_search] => [is_feed] => [is_comment_feed] => [is_trackback] => [is_home] => [is_404] => [is_embed] => [is_paged] => [is_admin] => [is_attachment] => [is_singular] => [is_robots] => [is_posts_page] => [is_post_type_archive] => [query_vars_hash:WP_Query:private] => ccdf98ae58e1da85add364b25b6e7e2f [query_vars_changed:WP_Query:private] => [thumbnails_cached] => [stopwords:WP_Query:private] => [compat_fields:WP_Query:private] => Array ( [0] => query_vars_hash [1] => query_vars_changed ) [compat_methods:WP_Query:private] => Array ( [0] => init_query_flags [1] => parse_tax_query ) )