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Pugwash Meeting no. 279 "No First Use of Nuclear Weapons" London, UK, 15-17 November 2002 PAPERS Implementation of No First Use
of Nuclear Weapons Examples of NFU declaration A number of examples come to mind. The Soviet Union, at the height of the Cold War, claimed adherence to a policy of NFU at a time when its preponderance of conventional forces on the ground made it plausible to believe that any attack launched by the Warsaw Pact against the West could succeed by the use of conventional forces only. The Soviet Unions very substantial nuclear armoury was, on this supposition, being held back for use in retaliation only, if the West should initiate a nuclear exchange, as was indeed NATOs policy under the doctrine of flexible response. (This is not, however, to beg two obvious questions. First: did the Soviet Union in fact ever countenance a policy of attacking the West in this way? It is no longer in doubt that military plans of this kind existed, but ample reason to suppose that NATOs forces on the ground, backed by the equally vast armoury of US tactical and strategic weapons, must have sufficed to deter such an adventure in any remotely plausible circumstances. Secondly: if the Soviet Union nevertheless had felt compelled to attack, is there any good reason to suppose that it would have adhered to its own declared policy of NFU? The answer is plainly no. Indeed the military plans just referred to implied an all-out assault accompanied by nuclear tactical bombardment from the outset). The point is that the massive overhang of conventional force made a declaratory policy of NFU plausible, rather than that the forces were configured on the basis of an a priori decision by the Politburo to adhere to such a doctrine. Whether this declaration scored any points for the Soviet Union in the ideological struggle is very doubtful. When that struggle had plainly been lost, as a result of the collapse of the Warsaw Pact and of the Soviet Union itself, and the ratio of forces between Russia and the West in Europe had thus been reversed by force majeure, Russia duly abandoned its declared NFU policy. A second example is India. Because her conventional forces outnumber those of Pakistan by a factor of some three to one (very similar, as it happens to the original Warsaw pact preponderance against NATO) she has seen fit to announce since becoming an overt possessor of nuclear weapons that she would never be the first to use them. In her battle for the favours of the west generally and the US in particular, this is no doubt seen as politically useful. The point is, once again, that the preponderance of conventional force, which has been in place for as long as the two countries have existed, is what makes NFU plausible as declaratory posture. It is not the case that Indian force planners have been obliged to go for such large forces in response to a political decision to adopt NFU as a practical war plan. Nor, once again, is there any good reason to suppose that a policy of NFU would be adhered to if against all the odds Pakistan was seen to be prevailing dangerously in an all-conventional conflict. China is a third example. Against her traditional adversary India she possess more than sufficient conventional force to prevail, if she were determined to, in any border conflict and has demonstrated as much. (Against Taiwan she cannot at present field enough conventional forces, - air power, assault shipping - to mount a successful invasion. But any suggestion of using or threatening to use nuclear weapons to coerce Taiwan, even if that country were to go for a unilateral declaration of independence, would be rendered quite unreal by the near-certainty of a massive American response. American strategic nuclear forces outnumber Chinas by at least a hundred to one). Here again it is the correlation of forces that enables a policy of NFU to be declared rather than Chinese purity of intention governing the way the Chinese armed forces are built up. Similar considerations apply to the so-called Negative Security Assurances (NSAs) given by the United States, Russia, France and the UK in connection with the Nuclear Non-Proliferation Treaty (NPT). These amount to an undertaking not to use nuclear weapons against non-nuclear weapons states parties to the Treaty. Similar undertakings have been given to states parties to treaties establishing various Nuclear Weapon Free Zones (NWFZs). These assurances are purely declaratory and are hedged about in various ways. But the essential point is that they were given to states most unlikely to intend an attack or to find the means to carry one out successfully by conventional means against the states giving the Assurances. In no case can it be shown that the giving states have in any sense reconfigured their conventional or nuclear forces to match their NSA undertakings. The reverse is again the case. Because they have in the past had more than sufficient conventional forces to overwhelm any potential opponent among those to whom they were giving these guarantees they were able to give them essentially cost-free. NFU in various shapes and sizes Since real examples are lacking it is worth exploring some theoretical alternatives. At one extreme one might postulate a condition of existential or virtual NFU. In such a case a state would be self-deterred from using nuclear weapons, by simple fear of the consequences, whether or not it had made any such declaration, adopted such a policy, or even recognised doctrinally that this was in fact the case. The late Lord Carver, one-time British Chief of the Defence Staff and for long a proponent of a NFU posture for NATO, believed that whatever the policy of flexible response might prescribe, in the event Britain, France and the US would never have been the first to use nuclear weapons against any invasion by the Warsaw Pact. The policy in fact required NATO forces to meet a conventional attack with conventional defence until such time as it was in imminent danger of being overwhelmed. At this stage it was envisaged that NATO would attempt to retrieve the military situation on the ground by using nuclear weapons in a measured and tactical manner in the first place, moving up to an all-out assault on key aspects of Soviet state power only when all else had failed. Substantial tactical or theatre nuclear forces were provided for this purpose. Lord Carver believed that any such use on NATOs part would in reality be self-deterred by fear of escalation. Confronted by the prospect of massive devastation of their countries, European leaders would seek an accommodation with the invader, preferring in the last resort to be red rather than dead. Of course NATO could never admit this or its whole deterrent posture would have been undermined. But this, Carver believed, was the underlying truth. His argument has great force and he may well have been right. The same may, of course, have been true of the Russian leaders, in which case a genuine state of mutual existential NFU existed in those years. The point can never be proved one way or the other. It is clear, however, that such a condition of NFU could never be implemented in the sense of force levels and readiness being adjusted in the light of it, since it could never be admitted to exist, let alone declared. At the other extreme one can imagine a situation in which two adversaries, both in possession of nuclear weapons, were both prepared to adopt a policy of NFU, seriously intending to implement it, and to conclude a formal legally binding treaty to that effect. If for the moment we disregard the position of any third parties, then so long as the two parties stand by their word, no nuclear war could ever take place between them. This would indeed have consequences for force structures and planning. One of these would be that, since their nuclear weapons could never be used, it would be logical to dispose of them. In this case what we are really talking about is an agreement to do away with nuclear weapons altogether. This might well be desirable, but it would be better to address the goal directly rather than by stealth, using an NFU declaration as the Trojan Horse. As a middle case one could imagine a nuclear weapon state, confronting a power of roughly equal size and also in possession of nuclear weapons, deciding as a deliberate act of policy to adopt a policy of NFU. It might hope that its adversary might reciprocate, in which case a formal treaty could be concluded with results along the lines just discussed. But it might also decide to go ahead on its own if necessary, perhaps for ethical reasons, or as a confidence building measure to foster a better atmosphere (a sunshine policy), or on a simple calculation that it would make the world a safer place. Such a country would then indeed have to set about implementing the measures it judged necessary to make up for the loss of a nuclear first-use option. There are two obvious moves it would have to consider. One would be to increase the size of its conventional forces to the point where its potential enemy could no longer overwhelm it by conventional means. It is impossible to give any general indication of the size of increase that would be needed or its political implications, including the extra financial costs, and whether of not such a change would be generally beneficial. But an interesting instance of this process in reverse was provided by the build-up of NATO in the early years of the Cold War. In 1952 the North Atlantic Council at its meeting in Lisbon authorised a force goal of ninety six divisions. Of these some thirty five to forty were to be in the line and ready at all times, the rest were to be reservists. But the countries concerned could not afford to provide forces on this scale. From December 1954, accordingly, the North Atlantic Council authorised the Supreme Allied Commander Europe to base his plans on the use of atomic weapons from the outset. This was followed by a revision of the Lisbon goal to a figure of thirty divisions for the Central Front. There was no longer any idea that there could be a non-nuclear war in Europe. As Fred Mulley said: (The Politics of Western Defence, Thames and Hudson, London 1962, page 123): A characteristic feature of the development of nuclear weapons, no doubt influenced to a considerable extent by the mounting cost of defence budgets was the reduction in the size of standing armies. In logic, therefore, one consequence of foregoing a nuclear first-use option would be to increase the size and/or technical sophistication of conventional forces, biting on the bullet of possibly much higher costs, with consequent penalties to spending on social goals and the greater militarisation of society (for example conscription). This might be a very bad bargain. The other obvious way of setting oneself up for a NFU policy would be to adjust the status of ones nuclear forces into a survivable second-strike mode. This might well involve increasing their numbers. It is no surprise that the nuclear weapons states at present professing a NFU policy are those that are actively increasing the size of their nuclear forces. American intelligence believes that the Chinese force of some 20 intercontinental missiles is to be tripled over the next decade or so. China will no doubt claim that this is being done in response to the American development of anti-ballistic missile defences. More probably China, despite the priority given to economic development, would have gone ahead with this expansion anyway. India also has plans to increase her nuclear missile force, perhaps putting them in submarines, a wholly logical implementation of a second-strike posture. Other possible responses are to disperse the missile sites, to go for mobile missiles or provide anti-ballistic missiles to defend them. (The ABM Treaty now defunct allowed for this. The US briefly possessed such a system and Russia still does). Another likely corollary of adopting a survivable second-strike posture would be to raise the alert status of nuclear forces. If the assumption is that these forces will be used at the time and place of a countrys own choosing then in normal circumstances a relatively relaxed posture can be adopted and the notice to fire reduced in a measured manner, when needed. If, on the other hand, nuclear weapons can be used only in retaliation for a nuclear strike on oneself then this is to give control of the timetable to the enemy. In logic a much shorter period of notice would have to be routinely observed and possibly authority to fire in the last resort permanently decentralised to individual missile force commanders. Worse still, such a country might feel compelled to adopt a policy of launch on warning - the most unstable posture of all. NFU of Weapons of Mass Destruction (WMD) A variant of great topical relevance is NFU related to weapons of mass destruction (WMD). The idea is that a country might give an undertaking never to use any weapon of mass destruction save in response to such a use against itself. In practice, since the nuclear weapons states have already forsworn any use of biological or chemical weapons, this would amount to a threat to use their own nuclear weapons in response not only to a nuclear, but also to a chemical or biological attack. There are a number of difficulties over this suggestion. For example, it would at first sight conflict directly with the Negative Security Assurances by the USA, Russia, France and Britain (and the blanket NFU policy of China) given to all non-nuclear weapons parties to the NPT. This is not an open and shut issue however. The Axis-of-Evil states (North Korea, Iran and Iraq), while all being parties to the NPT, could be regarded as not in good standing on the grounds of having attempted to circumvent the Treaty. It is certain that North Korea and Iraq have been in violation of the treaty as a result of concealing their illicit production of fissile material. The US intelligence services insist that they have good evidence of a secret nuclear weapons programme in Iran. But these states remain parties to the Treaty. Since they have not been shown to be in material breach of the treaty (i.e. by the actual production of nuclear weapons) it cannot be legally claimed that they have forfeited their immune status under the NSA guarantees. A related argument derives from the doctrine of belligerent reprisal. Traditionally an important mechanism that can be brought to bear is an act of retaliation, otherwise in itself illegal, carried out by one party to a conflict in response to an illegal attack upon itself and intended to cause the attacker to comply with the law. It is easy to see how the United States, for example, could seek to justify under this rubric a nuclear strike on Iraq if the latter attacked US troops with chemicals. The 1977 Geneva Protocol I prohibits certain types of reprisal (for example against civilians). But the US is not a party and the UK made an interpretative declaration when ratifying clearly intended to maintain a right of reprisal. Against this it is argued that Protocol I now has the status of customary international law and the UK reservation is of no effect. These matters are highly controversial and it would be unwise to draw conclusions from them. More substantial difficulties are of a practical nature. A ballistic missile can easily be traced back to its source. (American satellites were able to track in real time all the Iraqi SCUDS fired in the 1991 Gulf war). And the explosion of a nuclear warhead is unambiguous. But the same is far from true of a biological or chemical attack. As the British House of Commons Defence Committee has pointed out in a recent report:
Later the Defence Secretary
widened the scope of this reply to bring in the possibility of retaliating
against attacks on British forces as well as territory :
Most recently he has seemed
slightly to resile from this position:
There is indeed a pragmatic
case to be made for a policy of constructive ambiguity regarding the
circumstances in which a country would use its nuclear arsenal. Arguably,
as Geoff Hoon implies, this maximises its deterrent effect. But it is
slightly out of kilter with his other principle of adherence to International
Law. Given these doubts, what can be said about the military implementation
of such an NFU? It is much less a promise not to use nuclear weapons
save in retaliation as it is a warning that in certain other circumstances,
deliberately left vague, they might be used. One possible implication
could be to emphasise the need for sub-strategic nuclear
weapons in that countrys armoury. This idea, originating in France,
has been recently adopted by the British. Their Strategic Defence Review
defined the sub-strategic concept as providing an option for a
limited strike that would not automatically lead to a full scale nuclear
exchange (The Strategic Defence Review, The Stationery
Office London, Cm 3999, July 1998, page 18, paragraph 63). This option
is being provided for, within the total of 48 warheads to be carried
by each Trident submarine, presumably by loading some missiles with
single warheads, and possibly with reduced yields produced by detonating
only the warhead primary - boosted or un-boosted as the circumstances
may require. |