Issues & Insights Vol. 22, SR8 – Next steps for the US-China strategic nuclear relationship

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About

Conducted with the generous support of the Carnegie Corporation of New York, this study seeks to provide an in-depth analysis of strategic nuclear issues of significance to the bilateral relationship to pinpoint the challenges to, and opportunities for, improving the current state of affairs between Washington and Beijing. The study, in other words, aims to propose an assessment of key issues and, insofar as possible, solutions or mitigation measures to address US-China strategic nuclear problems, including those that are seemingly intractable. It is motivated by the idea that even (or perhaps especially) when stark pessimism dominates, it is essential to be clear about what is in “the realm of the possible” to improve the situation, and to act on it.

Download the full volume here.

Table of Contents

Introduction
David Santoro

Chapter 1 | Intensifying US-China nuclear competition: The evolution of US and Chinese nuclear strategies
David C. Logan

Chapter 2 | Baby steps: Laying the groundwork for US-Chinese arms control and risk reduction
Gerald C. Brown

Chapter 3 | Five scenarios for the P5 process: Opportunities for Beijing and Washington
Heather Williams

Chapter 4 | A bridge too far: US-China cooperation on the Korean Peninsula
Duyeon Kim

Chapter 5 | US-China areas of cooperation: Nonproliferation and nuclear security
Miles A. Pomper and Sanjana Gogna

PacNet #48 – Are small modular reactors the solution to growing energy and climate problems?

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The increasingly dominant view in the energy expert community is that nuclear power has a role to play in achieving the 17 “sustainable development goals” identified by the United Nations General Assembly in 2015 (and intended to be reached by 2030). There has thus been rising interest in nuclear power development in several parts of the world, especially in the Indo-Pacific, where growth is the strongest.

This renewed interest comes not long after the failed “nuclear renaissance” of the 2000s. That renaissance never materialized primarily because the devastating accidents at Japan’s Fukushima Daiichi Nuclear Power Plant in 2011 led many countries to reconsider their nuclear power ambitions. Now, however, national energy and climate objectives are again driving these same countries to put the nuclear option back on the table. This interest has only grown in the wake of Russia’s invasion of Ukraine, the subsequent efforts to choke off Russian natural gas and oil exports, and the resulting increase in global prices for fossil fuels.

Many believe that “small modular reactors” (SMRs) and their companion “floating nuclear power plants” (FNPPs) hold considerable promise and that they may be “the next big thing” in the nuclear power market, even though they are not new concepts—they date back to the 1950s. To explore this further and, in particular, the implications for the Indo-Pacific, the Pacific Forum recently commissioned three papers: one by Victor Nian that unpacks SMR/FNPP technologies and discusses their applicability in the region; one by Jor-Shan Choi that examines the nuclear safety, security, and safeguards considerations associated with SMRs/FNPPs; and one by Miles Pomper, Ferenc Dalnoki Veress, Dan Zhukov, and Sanjana Gogna that addresses the potential geopolitical implications of SMR/FNPP deployments.

Seven key insights can be teased out from the papers, which are published in a just-released volume on “Small Modular Reactors: The Next Phase for Nuclear Power in the Indo-Pacific.” These insights include the following:

  1. SMR/FNPPs have appealing features

SMRs and FNPPs are popular because they are small, mobile, flexible, have user-centric characteristics, and are empowered by the advanced (and safer) Generation IV technologies. What’s more, the advantage of SMRs and FNPPs is that they have the potential to offer cost-competitive and clean energy without the shortcomings associated with traditional large-scale nuclear power plants. SMRs and FNPPs can be easily integrated into national energy planning, especially for newcomer countries with small grid sizes or off-grid/remote communities or for countries that are dependent heavily on energy imports.

  1. SMR/FNPP technology is not yet ready, and its prospects are unclear

Most SMR and FNPP designs are still in the research phase or under development. Few are deployed. In the Indo-Pacific, the land- or marine-based reactor types of interest are water-cooled, high-temperature gas, molten salt, or aqueous-fueled. Two reactors are currently deployed in the region: the KLT40S, a pressurized water reactor FNPP developed by OKBM (Russia) and commissioned in Pevek in the Russian far east that is designed to generate 70 megawatts of energy; and the HTR-PM, a high-temperature gas reactor developed by the China Nuclear Engineering Corporation and Institute of Nuclear New Energy Technology that is designed to generate 210 megawatts of energy.

According to the International Atomic Energy Agency (IAEA), SMR and FNPP technologies are unlikely to contribute significantly to the expansion of nuclear power in the next decade. If adoption of such technologies matches the current level of interest, reactor development and deployment will take time to materialize.

  1. There is a pathway to the successful utilization of SMRs/FNPPs

There are several factors associated with the successful utilization of SMRs and FNPPs. Advancing them as early as possible in the industrial supply chain is important for proper integration into energy production. Developing industry standards, to ensure compatibility and interoperability with other systems, and adopting and scaling up SMR/FNPP technologies adequately to enjoy the economies of the multiples are also essential. Finally, ensuring “green passage” for transportable SMRs/FNPPs is a key factor in facilitating safe and efficient mobilization of these technologies for nearshore, offshore, and maritime applications.

  1. Safety, security, and safeguards considerations are a challenge for SMRs/FNPPs

One problem with SMR/FNPP technologies is that they are not devoid of safety, security, and safeguards challenges. SMRs and FNPPs, notably “first-of-a-kind” reactors, have unique features, specific systems, and novel operating conditions, introducing challenges to the established regulatory bodies, potentially leading to safety concerns. The special features of SMRs and FNPPs, notably their transportability, more flexible siting options to include remote or urban locations, and new fuel designs also present new nuclear security challenges, some possibly more serious than those of large reactors. Moreover, because they use different types of fuel that require new technologies in manufacturing and handling of nuclear materials, some SMRs and FNPPs present unique challenges to IAEA safeguards.

The best way to address these safety, security, and safeguards challenges is to adopt a holistic approach. Such a “3S” approach helps better understand the challenges (and opportunities) associated with SMR and FNPP deployments.

  1. SMR/FNPP deployment will happen in a competitive security environment

Nuclear power development has always been intimately linked to geopolitics. There is no reason to think that it will be different this time around, especially given that the security environment is becoming increasingly competitive.

Because Russia has been relentless in its intended nuclear energy (traditional and SMR/FNPP) exports, notably in the Indo-Pacific, and because China looms large over the horizon as a major nuclear exporter in the context of its Belt-and-Road Initiative, there are fears in Washington that the United States might lag behind (because it has a limited nuclear export industry) and lose potential markets or surrender influence in the region to either Moscow or Beijing, or both. Significantly, a few other regional countries are entering the nuclear export business as well.

  1. It isn’t clear (yet) if SMRs/FNPPs will have far-reaching geopolitical implications

Caution is in order, however. The current renewed interest in nuclear power may, as its predecessors, dissipate. Even if it materializes, it will be a very slow process. The United States, then, should keep an eye on key developments and dynamics but not rush into anything.

If Washington wants to help US manufacturers of SMRs and FNPPs gain new markets in the Indo-Pacific, the priority should be Indonesia given Jakarta’s urgent (and massive) need for new power sources. Doing so in the Philippines, Thailand, or Vietnam would only be judicious if these three countries confirm their intentions to pursue nuclear power. Either way, selling (or failing to sell) US manufactured of SMR and FNPP technologies is unlikely to change radically the recipients’ approach to Washington as a trade or security partner.

  1. The United States should ask itself if it benefits from expanding or limiting the nuclear export market

It is an open question whether the United States should focus on competing aggressively to expand the traditional and emerging SMR and FNPP export market (and shape it to its advantage) or if, instead, it should focus on limiting such expansion. Conducting a thorough study on the benefits, costs, and risks of each option would be useful and timely.

This list of key insights is not comprehensive. There is much left to unpack to understand fully the renewed interest in nuclear power and the seemingly high enthusiasm for SMRs and FNPPs, plus the implications for the Indo-Pacific specifically. Our volume’s papers provide preliminary analyses to help jumpstart this research.

David Santoro ([email protected]) and Carl Baker ([email protected]) are respectively President/CEO and Senior Advisor at the Pacific Forum. Follow David Santoro on Twitter @DavidSantoro1.

PacNet commentaries and responses represent the views of the respective authors. Alternative viewpoints are always welcomed and encouraged.

Issues & Insights Vol. 22, SR4 – Small Modular Reactors: The Next Phase for Nuclear Power in the Indo-Pacific?

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About

In an effort to understand the rising interest worldwide in so-called “small modular reactors” (SMRs) and their companion “floating nuclear power plants” (FNPPs), the Pacific Forum commissioned three papers on this topic. Written by Victor Nian, the first paper unpacks SMR/FNPP technologies and discusses their applicability in the Indo-Pacific. The second paper, authored by Jor-Shan Choi, examines the safety, security, and safeguards (i.e., the “3S”) considerations associated with SMRs/FNPPs. Finally, penned by Miles Pomper, Ferenc Dalnoki Veress, Dan Zhukov, and Sanjana Gogna, the third paper addresses the potential geopolitical implications of SMR/FNPP deployments in the Indo-Pacific. By looking at these three areas – the technology, the 3S considerations, and geopolitics – the papers seek to provide a comprehensive, albeit preliminary, analysis of the SMR/FNPP question in the Indo-Pacific.

Download the full volume here.

Table of Contents

Executive Summary
David Santoro & Carl Baker

Chapter 1: Small Modular Reactor Technologies and Floating Nuclear Power Plants in the Indo-Pacific
Victor Nian

Chapter 2: A 3S Analysis of Small Modular Reactors and Floating Nuclear Power Plants
Jor-Shan Choi

Chapter 3: Geopolitics and the Deployment of Small Modular Reactors in South and Southeast Asia
Miles Pomper, Ferenc Dalnoki Veress, Dan Zhukov & Sanjana Gogna

PacNet #29 – Hints of a new North Korea nuclear strategy

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An earlier version of this article appeared in The Japan Times.

For more from this author, visit his recent chapter of Comparative Connections.

Make no mistake: North Korea leader Kim Jong Un truly believes he needs nuclear weapons.

For years, that need reflected a single objective: the protection and maintenance of his regime. A nuclear arsenal was a defensive tool—a deterrent—to ensure that no foreign power would attack his country and end the Cold War division of the Korean Peninsula. Kim’s rationale for possessing nuclear weapons seems to be shifting and his rhetoric and accompanying military developments indicate a new focus—the acquisition of a war-fighting capability.

In the May 9 Japan Times, Gabriel Dominguez argued that North Korea wants nuclear weapons to “offset its weaknesses against the superior conventional military capabilities of the United States and regional allies Japan and South Korea.” I’m inclined to a more ominous explanation. Kim wants nuclear weapons for coercion. It looks as though Kim has resurrected his grandfather’s dream of unifying the whole of Korea under Pyongyang’s flag—and nuclear weapons will assist him in that quest.

Since they began in 2003, an uncomfortable fact has clouded negotiations to get North Korea to give up its nuclear capability: Pyongyang’s commitment to the development and acquisition of a nuclear weapon is absolute, a requisite for regime survival that cannot be bargained away. For all the talk of complete, verifiable, and irreversible denuclearization or its subsequent variants, that wasn’t a real option.

Negotiations had two unspoken goals for the United States and like-minded governments. First, talks would buy time so pressures would build and force the collapse of North Korea. Second, they would reveal Pyongyang as unreasonable and intransigent and rally other governments behind a policy that would pressure the North to give up its weapons or collapse.

The regime proved more durable—and lucky—than many anticipated. It survived the negotiations and kept the other five parties in the Six Party Talks from uniting against it and forcing it to make concessions. It exploded its first nuclear device in October 2006, while the talks continued and has conducted five tests since—the last in September 2017. There are reports that a seventh test may occur sometime soon, perhaps in days.

Equally important has been Pyongyang’s determination to hone its delivery systems. It has steadily developed its missiles, lengthening their range, increasing throw weight, and improving mobility, which requires greater accuracy in targeting. Most recently, it is thought to be miniaturizing components, allowing it to send more payloads farther.

This year, North Korea has conducted a record 16 missile tests as of mid-May, including the testing of two intercontinental ballistic missiles capable of hitting the US homeland and a guided missile that can reportedly deliver a tactical nuclear weapon. A May 7 test-launch featured a submarine-launched ballistic missile; such missiles are harder to detect, and better-suited to a surprise attack.

The focus on smaller nuclear weapons is particularly worrisome, because it suggests that Kim now thinks he can fight a war with a tactical nuclear weapon.

Andrei Lankov, a Russian expert on the North who teaches at Kookmin University in Seoul, has been sounding the alarm. He told the Financial Times that North Korea’s strategy has changed. A program that was initially “purely defensive”—a product of fears that “without nuclear weapons they would be invaded”—is now “clearly overkill from a defensive point of view.” The new capabilities make Lankov “strongly suspect that their ultimate dream is to assert their control over South Korea.”

That was his grandfather’s dream, one that he tried to make real in 1950 with a bloody, ill-fated invasion of the South. Later, Kim Il Sung appears to have accepted co-existence with South Korea after the Cold War, although we’ll never know his actual intent in agreeing to a nuclear deal with Jimmy Carter, a proxy for President Bill Clinton, in 1994. Kim Il Sung died soon after. I’m inclined to believe that his son, Kim Jong Il, knew that reunification was impossible given the balance of forces he inherited and the appalling shape of his country.

Recent statements by Kim Jong Un and other senior officials suggest those grand ambitions have been revived. Kim last month spoke of a “secondary mission” for the country’s nuclear forces, adding that “our nuclear (arsenal) cannot be tied to this one mission of war prevention.”

Gibum Kim, a researcher at the Korea Institute for Defense Analyses, a government-funded think tank, emailed that development of nonstrategic, low-yield nuclear weapons is consistent with statements from Kim and other officials “that they are working toward ‘diversification,’ ‘miniaturization,’ and ‘lightening.’” He also said that ambition is much longer lived, pointing to a 2016 order of Kim’s to the North Korean military to “convert (their) mode of military counteraction toward the enemies into a pre-emptive attack one in every aspect.”

Paul Choi, a military expert in Seoul, agrees with Gibum and Lankov. “North Korea’s advancing military capabilities and changing nuclear doctrine reflect Kim’s pursuit of a more coercive strategy and posture,” he explained in an email. Pyongyang “seeks to control escalation, if not dictate the terms of conflict (including its termination), and be the dominant force (the product of capabilities, commitment, and threshold of risk).” Especially worrying is Choi’s assessment that tactical nuclear weapons are aimed at being able to prevail in a fight that may include territorial expansion.

External developments have no doubt reinforced Pyongyang’s thinking. Western governments’ concern about Russian nuclear escalation to break the stalemate in Ukraine makes the North Korean pulse quicken. Western restraint and refusal to put boots on the ground as it supports Kyiv seems to underscore the deterrent effect of nuclear threats. But, Choi cautioned, North Korea is also learning “about the formidable challenge of controlling any territory with a resisting population.”

A second external development is the return to power of a conservative president in Seoul. New President Yoon Suk-yeol has promised to prioritize the alliance with the US over inter-Korean relations, which will deprive Pyongyang of a vocal advocate in otherwise skeptical capitals.

A senior member of the presidential transition committee, who worked on foreign affairs and national security, agreed that Kim Jong Un shares his grandfather’s dream of unifying the Peninsula under the North. “Diplomacy and negotiation for denuclearization have always been tools to earn more time and political space to continuously develop nuclear weapons,” the committee member says. “For Pyongyang, military threat is leverage to force the US and the ROK to accept nuclear arms reduction negotiations, a peace treaty, withdrawal of (US forces in Korea) and eventually a socialized Korean peninsula.”

Note, however, that those developments reinforce North Korean thinking. Pyongyang has its own logic and central to that thinking is the necessity of a nuclear capability; recent developments confirm existing beliefs. Or to put it differently, the outside world has limited ability to redirect North Korean policy.

There is no need to hyperventilate, however. Coercion and expansion may be the goals, but they both remain beyond Kim’s grasp. South Korea is not Ukraine. It’s a treaty ally and US commitments, conventional and nuclear, are steadfast. I’ve heard North Korean officials talk about a relationship with the US akin to that of the Soviet Union, which was characterized by nuclear parity. That’s a fantasy. A nuclear threat is not the equivalent of mutually assured destruction.

The North has a long way to go to turn its ambitions into reality. Gibum Kim explained that a test or two (or 16) isn’t enough. North Korea would have to spend lots of money to build the logistical infrastructure for nuclear use and maintenance, train for nuclear use and, “most unimaginable of all,” prepare to delegate authority to field commanders for nuclear use in wartime.

Still, the US, South Korea, and Japan must plan on continued acquisition and sharpening of North Korean nuclear capabilities and prepare to better deter and defend. Yoon has said that he wants to work more closely with Washington and Tokyo to do that, and President Joe Biden is reportedly going to reiterate nuclear assurances to US allies during his trip to the region beginning this week.

The signals must be clear to discourage Kim Jong Un from reviving those dangerous dreams of unification or miscalculating his way into a nuclear conflict.

Brad Glosserman ([email protected]) is deputy director of and visiting professor at the Center for Rule-Making Strategies at Tama University as well as senior adviser (nonresident) at Pacific Forum. He is the author of “Peak Japan: The End of Great Ambitions” (Georgetown University Press, 2019).

PacNet commentaries and responses represent the views of the respective authors. Alternative viewpoints are always welcomed and encouraged.

Issues & Insights Vol. 22, SR2 – US-China Mutual Vulnerability: Perspectives on the Debate

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About

The study US-China Mutual Vulnerability: Perspectives on the Debate analyzes the mutual vulnerability question in US-China strategic nuclear relations. It asks whether the United States should acknowledge mutual vulnerability with China and, if so, how and under what conditions it should do so. The goal is not to give a yes-or-no answer but to provide a comprehensive examination of the issue to better understand the benefits, costs, and risks associated with various options. The study includes chapters by US, Japanese, South Korean, Australian, and Chinese scholars.

Download the full volume here.

Table of Contents

Introduction: The Mutual Vulnerability Question in US-China Strategic Nuclear Relations
David Santoro

Chapter 1 | Ambiguous Acknowledgement: Mutual Vulnerability during the Cold War and Options for US-China Relations
Heather Williams

Chapter 2 | Rethinking Mutual Vulnerability in an Era of US-China Strategic Competition
Brad Roberts

Chapter 3 | Questioning the Assumptions of Declaring Mutual Vulnerability with China
Matthew R. Costlow

Chapter 4 | If the United States Acknowledges Mutual Vulnerability with China, How Does it Do It–and Get Something?
Lewis A. Dunn

Chapter 5: US-China Mutual Vulnerability: A Japanese Perspective
Masashi Murano

Chapter 6: US-China Mutual Vulnerability: A South Korean Perspective
Seong-ho Sheen

Chapter 7: Actors, Orders, and Outcomes: Distilling an Australian Perspective on a US-China Acknowledgement of Mutual Vulnerability
Rod Lyon

Chapter 8: Why the United States Should Discuss Mutual Nuclear Vulnerability with China
Tong Zhao

Conclusions: The Future of Mutual Vulnerability in US-China Strategic Nuclear Relations
David Santoro

Issues & Insights Vol. 20, WP 2 – Preparing for the worst: Was North Korea’s decision to develop nuclear weapons rational?

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Abstract

North Korea’s foreign policy decision-making procedure is highly centralized to a single leader or, at most, a few political/military elites. While democratic governments are restrained both horizontally and vertically, authoritarian regimes are relatively free of constraints from the public. This paper examines the motivations behind North Korea’s nuclear weapons development in light of the rational deterrence model, then discusses the strategic implications of a rational, or irrational, North Korea. It concludes that North Korea’s decision to develop nuclear weapons was rationally motivated by the deteriorating security environment surrounding the state, but that this will not guarantee deterrence.

Keywords: Deterrence, Irrationality, North Korea, Nuclear Weapons, Rationality

Introduction

North Korea is voluntarily walking down the road of isolation. The question is why? What led to North Korea’s obsession with nuclear weapons, despite the heavy economic sanctions and its resulting “axis of evil” reputation? Scott Sagan asked the same question and provided three models of explanation, only to conclude that “different historical cases are best explained by different causal models.”[1] The same logic applies to the North Korean case; what happened in other countries cannot explain North Korea’s motivations to develop nuclear weapons. Multiple dimensions must be dealt with, looking inside and outside the state, considering the systemic impact, and accounting for misperceptions or miscalculations by a political leader.

First, I will discuss the basic logic of rationality and irrationality under nuclear deterrence theory, then determine whether it may be applied to North Korea in evaluating the motivations of its nuclear program development, and finally will extract implications based on the results. This paper finds that North Korea’s decision to acquire nuclear weapons was rational considering the structural pressures of the Cold War and the dissolution of the Soviet Union. However, I argue that rational motivations in acquiring nuclear weapons do not automatically erase the possibility of irrationality in the future, nor ensure deterrence.

[1] Scott Sagan, “Why Do States Build Nuclear Weapons?: Three Models in Search of a Bomb,” International Security 21, no. 3 (Winter 1996/97), 85.

PacNet #11 – Two tasks for making US-ROK troop burden sharing sustainable

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Why have US-South Korean negotiations over a new military cost-sharing deal been so contentious? Yes, the size of the US “ask” is significantly larger than in the past. But negotiations also have been complicated by the fact that South Korea is nearing a legislative election on April 15. The latest meeting between US Secretary of Defense Mark T. Esper and South Korean Minister of Defense Jeong Kyeong-doo at the Pentagon on February 24 failed to yield a breakthrough.

The US position is that the cost of common defense cannot fall disproportionately to US taxpayers. Yet without taking into account the political necessity of persuading the Korean citizenry that any increase is reasonable and justifiable, a hefty increase in South Korea’s contribution risks fraying this crucial alliance.

The Trump administration is aggressively negotiating a new framework for the Special Measures Agreement (SMA) that governs how the two countries split costs for maintaining 28,500 US soldiers based on the Korean peninsula. Demanding that allies make higher contributions for mutual defense costs has been a priority for the US president since the 2016 campaign trail.

The US “ask” reportedly began at nearly $5 billion annually, a five-fold increase from South Korea’s current contribution of KRW 1.039 trillion ($875 million), a request that shocked both the Korean negotiators and the Korean public. The US seeks to broaden the scope of the agreement to include funds for rotational troops and other military assets—which is far more expansive than the current framework. Enhanced transparency is especially important with an upcoming election so the Korean public can better understand the U.S. position.

Negotiations are now in overtime. The 10th and most recent SMA expired December 31 and the two countries face their seventh round of negotiations with a wide gap remaining. The US has stated that it will start furloughing thousands of Korean workers paid under the SMA if a new agreement is not reached. Never before has the US gone that far.

Often overlooked in discussions about these difficult talks is the need for broad South Korean political buy-in. Notably, a new SMA does not require US congressional approval, but it does require ratification by the democratically elected South Korean National Assembly, the members of which are highly attuned to public sentiment.

South Korean President Moon Jae-in is not up for re-election in April (presidents are limited to a single five-year term), but all 300 National Assembly seats are in play.

If the Trump administration wants a deal it faces two tasks. One is political, to win over both South Korean public sentiment and the National Assembly. For that to happen, greater transparency in the American ask is necessary, and greater emphasis in explaining its logic to the South Korean electorate.

The stakes are high. The South Korean press has provided blanket coverage of the SMA negotiations and the US demands. As a result, anti-American protesters have staged rallies and one group even broke into the grounds of the ambassador’s residence.

Recent polls have revealed some incipient fissures in South Korean public opinion. In early December, a Chicago Council on Global Affairs poll found an overwhelming majority (92%) of the Korean public supports the US alliance and three-quarters (74%) support the long-term stationing of American soldiers in South Korea. The poll also revealed that “a clear majority (68%) believe South Korea should negotiate a lower cost than America’s new proposal, but most are willing to pay more than the current amount. One-quarter (26%), however, said South Korea should refuse to pay. If the two countries fail to reach a deal, a majority would be willing to see US forces in South Korea reduced, a potentially dangerous development that would be welcomed by China and North Korea.

South Korea can afford to pay more, and it should: more strategic assets are now required to defend South Korea and the East Asia region from North Korea’s increasingly potent missile and nuclear threats. As a share of GDP, Korea pays more than Japan and Germany for its own defense, but a higher price tag for the US military presence may be justified based on these changing conditions.  The task yet to be taken up by US negotiators is to clearly explain the new formula.

The second task is strategic. The Trump administration should agree to allow the SMA to once again become a multiyear agreement and not continue the process of annual renewals that it instituted last year. This would minimize disruption—and tension—in this important alliance. Former US Forces Korea Commander Vincent Brooks has gone on record arguing that one-year renewals cause “structural instability” and should be replaced by three-to-five year deals.

The US-ROK alliance has successfully deterred aggression from North Korea as well as China for nearly seven decades. It has led to a flourishing of economic and cultural exchanges that has significantly benefited both countries. Failure to find common ground is counterproductive to a shared deterrence posture and faith that the US and its ally will credibly deter in crisis. That, in turn, has broader ramifications.

The time is now for the United States and South Korea to come to terms on a deal that works for both sides. The smooth functioning of the alliance should not be impaired by an accounting impasse that loses sight of the incalculable benefits from 70 years of partnership.

Kathleen Stephens ([email protected]) is the chair of the New York City-based Korea Society, the president of the Korea Economic Institute and a former ambassador to South Korea from 2008 to 2011.

Thomas Byrne ([email protected]) is the president of the Korea Society and was the Asia-Pacific regional manager for Moody’s Sovereign Risk Group.

PacNet commentaries and responses represent the views of the respective authors. Alternative viewpoints are always welcomed and encouraged. Click here to request a PacNet subscription.

YL Blog #21: Mitigating the Danger of Nuclear Escalation in a Western Pacific Crisis

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The potential of a crisis between the United States and the People’s Republic of China (PRC) is an inherently chilling proposition. Beyond the substantial loss of life that could be expected to accompany any conventional confrontation the existence of strategic nuclear forces on both sides raises the specter of inadvertent nuclear escalation. During the recently concluded 11th US-China Strategic Dialogue held in Maui US and PRC participants gathered to exchange views on the state of nuclear deterrence in the region. Participants identified a variety of potential drivers of inadvertent escalation, including practical difficulties involved in differentiating nuclear forces from conventional forces, the commingling of Nuclear Command, Control and Communications (N3) with conventional Command and Control (C2) capabilities, and a lack of mutual understanding regarding the scope of US policy under the 2018 Nuclear Posture Review.

Concerns over the distinguishability of nuclear forces were primarily raised by US participants. US participants noted that discriminating between nuclear and conventional PLA Rocket Force (PLARF) transporter-erector-launchers (TELs) would represent a particular challenge in a crisis situation. This raises the prospect of inadvertent destruction of PLARF nuclear missile systems, which would cause conventional forces to unknowingly degrade the PRC’s nuclear deterrent. In a similar vein, US participants also expressed concern over potential difficulties differentiating between PLA Navy ballistic missile submarines and attack submarines. During a conventional conflict any unintentional destruction of PLA nuclear-capable forces, to include SSBNs, would degrade the PLA’s nuclear deterrent, and potentially lead PRC policy makers to erroneously conclude that opposing forces were engaging in a deliberate effort to remove the PLA’s ability to deter an external nuclear attack. Such an assessment could drive an increase in PLA nuclear forces’ readiness posture, and thereby create an unintentional cycle of escalation.

US participants also raised questions regarding the dangers of comingling N3 and C2 functions. This largely reflects the fact that while US nuclear forces are organizationally and operationally distinct, falling under the aegis of US Strategic Command, PLA nuclear forces remain more closely tied to their individual branch of service. The most prominent concern on behalf of US participants was the dual-role of the PLARF, which provides both strategic (nuclear) deterrence and conventional medium and long-range precision fires (China Brief). The potential ability of the PLARF to degrade US power projection in the Western Pacific has been the topic of intense public discussion (RAND/USCC). To the extent that degradation of the PLARF’s C2 networks during a conventional conflict would adversely impact the responsiveness of its subordinate nuclear forces commingling N3 and C2 could create substantial risk of nuclear escalation. Inadvertent degradation of N3 systems could serve to drive an increase in PLA nuclear forces’ readiness posture, including the preemptive dispersal of TELs, leading to unintentional escalation. 

The potential danger inherent in lack of shared understanding regarding new language in the 2018 Nuclear Posture Review became apparent over the course of the conference. During one session a PRC participant raised the potential that US early warning satellites may be destroyed during a regional conflict. This prompted a visceral reaction from multiple US participants, who pointed to the importance that the US places on maintaining the integrity of its early warning systems. It was noted that under the 2018 Nuclear Posture Review “attacks on U.S. or allied nuclear forces, their command and control, or warning and attack assessment capabilities” were included as extreme circumstances under which the US may consider the employment of nuclear weapons. Clearly there is additional work needed to clarify the exact definition and delineation of key terms.

Despite all of the misunderstandings and misgivings that were identified over the course of the dialogue, there remain a number of options for policy-makers on both sides to improve mutual understanding and reduce the risk of nuclear escalation. The role of the Nuclear Risk Reduction Center (NRRC) as a durable channel of communications, for the transfer of relevant technical data and arms control notifications during pre-crisis situations, and for direct dialogue during periods of tensions, should be viewed as a model of effective bilateral confidence building measures. One avenue for increasing transparency and improving crisis communication would be to expand the mandate of the NRRC by concluding new bilateral agreements to allow data exchanges with the PRC. Alternatively, policy makers could establish a parallel set of institutions designed along the lines of the NRRC dedicated solely to data exchanges with the PRC. In the long term policy makers on both sides could also explore the possibility of selectively disclosing a portion of their N3 architecture, and pre-identifying potential operating areas for mobile nuclear forces, in order to begin establishing baseline expectations regarding which assets and areas would be considered most critical to maintaining strategic deterrence in a crisis scenario. These disclosures would create a level of mutual vulnerability but could also aid in crisis management by providing a more clearly defined set of expectations for decision-makers on both sides.

Disclaimer: All opinions in this article are solely those of the author and do not represent any organization.