In the first part of this essay, I gave my interpretation of the background of the current confrontation in Korea. I argued that, while the past is the mother of the present, it has several fathers. What I remember is not necessarily what you remember; so, in this sense, the present also shapes or reshapes the past.
A nuclear test detonation carried out in Nevada on April 18, 1953.
In my experience as a policy planner, I found that only by taking note of the perception of events as they are differently held by the participants could one understand or deal with present actions and ideas. I have tried to sketch out views of the past as we, the North Koreans and the South Koreans, differently view them in Part 1 of this essay.
Now I want to undertake a refinement of the record I have laid out. I want first to show how our perception, the interpretation we place on the events that swirl past us, adds a new and formative element to them. Whether consciously or not, we tend to put events into a pattern. So the pattern itself becomes part of the problem we face in trying to understand events. Staking out a path – an interpretation or a theory of what random bits and pieces mean or how they will be interpreted and acted upon by others — is a complex and contentious task.
Getting it wrong can lead us astray or even be very dangerous. So the interpreter, the strategist, must always be tested to see if his interpretation makes sense and the path he lays out is the one we want to travel. I will make this explicit below.
My experience in what was certainly the most dangerous situation America ever experienced, the Cuban Missile Crisis, led me to believe that at least in a crisis how we think about events and what we remember of the past often determines our actions and may be the deciding difference between life and death. So here I will begin with the mindset that underlay American policy for the last half century.
Anyone who reads the press or watches TV is beset with countless scraps of information. In my experience in government service, the deluge of information was almost paralyzing. Some of my colleagues joked that the way to defeat our adversaries was to give them access to what passed over our desks every day. It would immobilize them as it sometimes immobilized us.
How to separate from the flow the merely interesting from the important and how to relate one event to others were demanding tasks. Making them useful has been undertaken by strategists time after time over the last several thousand years. Machiavelli is the best known among us, but he was far from the first. [I have dealt with these issues in detail in Neighbors and Strangers: The Fundamentals of Foreign Affairs (Chicago: University of Chicago Press, 1997).]
Theory of Deterrence
The latest and arguably the most persuasive recent attempt to develop a sort of framework or matrix to bring some sense of order and some ability to understand events has been the theory of deterrence. While “just a theory,” it set American policy toward the Soviet Union in the Cold War. It was developed to understand and deal with the Soviet Union in the Cold War, but it will determine much of what America tries to do with North Korea today.
President John F. Kennedy addressing the nation regarding the October 1962 Cuban Missile Crisis.
To simplify and summarize, Cold War strategists led by such men as Henry Kissinger, Thomas Schelling and Bernard Brodie believed that ultimately relationships among nations were mathematical. Deterrence thus meant gathering the elements that could be added up by both sides. If country “A” had overwhelming power, country “B” would be deterred in its own interest from actions that were detrimental to them. Failure to “do the sums” correctly in the “game of nations” was to “misplay.”
Emotion and even politics had no role; in the real world. It was realpolitik that governed. Put another way, the weak would add up their capabilities and would necessarily give way to the strong to avoid being destroyed.
The great Greek historian Thucydides long ago set the tone: “Right, as the world goes,” he wrote, “is only in question between equals in power; the strong do what they can and the weak suffer what they must.” Only by acting in this mindset would the national interests, the real interests, of each country be preserved and peace among nations be achieved.
Deterrence worked reasonably well up to and including the Cuban Missile Crisis. But during that crisis, as some of the theory’s critics had long held, a potentially fatal flaw became evident.
The flaw is that “national interest” – what can be added up or quantified as the assets and what gives it its strength — is not necessarily always coincident with “interest of government.” That is, governments may not always be guided by a rational calculation of national interest. There are times when leaders cannot afford, even if they precisely add up the figures, to act according to such slow-moving impulses as national interest. They may be subject to quite different and more urgent impulses. They may be emotional or otherwise be irrational, fearful of their lives or worried that they would lose their positions, or they may be driven by public opinion or by the different calculations of such other centers of power as the military. Being guided by the abstract calculation of national interest may then be impossible.
Let me illustrate this from my experience in the Cuban Missile Crisis, then in a war game the Department of Defense (DOD) organized to reexamine the Missile Crisis and finally in a meeting in Moscow with my Russian counterparts.
In the Missile Crisis, both President Kennedy (certainly) and Chairman Khrushchev (probably) were under almost unbearable pressure not only in trying to figure out how to deal with the events but also from the warnings, importuning and urging of their colleagues, rivals, supporters and from their military commanders. Whether either leader was in danger of overthrow of his regime or assassination is still unknown, but both were at least potentially at risk because the stakes were, literally, the fate of the world and opinions on how to deal with the possibility of ruinous war were strongly held.
Obviously, the loss to both of their nations in the event of a nuclear exchange would have been catastrophic so the national interest of both was clear: it was to avoid war. But how to avoid it was disputatious. And it was not nations that were making decisions; it was the leaders, and their interests were only in part coincident with national interest.
We were lucky that at least Kennedy realized this dilemma and took steps to protect himself. What he did is not well understood so I will briefly summarize the main points. First, he identified General Lyman Lemnitzer, then chairman of the Joint Chiefs of Staff (JCS), as the main hawk. Lemnitzer was pushing him toward a nuclear war and had shown his hand by presenting a “black” plan (“Operation Northwoods”) to be carried out by the JCS to trigger war with Cuba.
[Curiously, “Operation Northwoods” is hardly known even today. It was described by the eminent scholar on intelligence James Bamford in Body of Secrets (New York: Doubleday, 2001), 82 ff, as the “launching [of] a secret and bloody war of terrorism against their own country in order to trick the American public into supporting an-ill-conceived war they intended to launch against Cuba.” Provocations were to be manufactured: hijacking of aircraft, murders and the explosion of the rocket that was carrying astronaut John Glenn into space. Lemnitzer lied to Congress, denying the plan’s existence, and had many of documents destroyed. Although he was dismissed as chairman of the JCS by Kennedy, the organization he formed within the JCS continued to plan covert actions. It would have been surprising if Kennedy did not worry about a possible attempt on his government.]
Fearing a Coup d’Etat
Apparently realizing that the plan could easily have been turned into a coup d’état, Kennedy removed Lemnitzer as far from Washington as he could (to Europe to be the NATO commander). Kennedy also assembled a group of elder statesmen, most of whom had served under the Eisenhower and Truman administrations in positions senior to the current military commanders and were identified as conservatives — far from Kennedy’s image as a liberal.
President John F. Kennedy meeting with Soviet premier Nikita Khrushchev on June 3, 1961, in Vienna. (State Department photo)
Ostensibly, he sought their advice, but in practice what he sought was their approval of his decisions. He also was careful to instruct the public in his speech on the Monday, the first public acknowledgement of the crisis, that he was firmly in control and was determined to protect American interests.
Then, in the solution to the crisis, removing the American missiles from Turkey, he pretended that their removal was not a price he had to pay to end the crisis. Thus, in several ways, he neutralized potential critics, at least during the crucial time of the Crisis. But, not long afterwards, he was assassinated by persons, forces, or interests about whom and whose motivation there is still much controversy. At minimum, we know that powerful people, including Lemnitzer, thought Kennedy had sold out national interest in pursuit of the interest of his administration.
At the same time in Moscow, Mr. Khrushchev probably risked his life by accepting the humiliation imposed on his regime by the forced withdrawal of Russian missiles from Cuba. Apparently, for of course we do not know, he felt less immediate danger than Kennedy because the Soviet system had always distrusted and guarded against its military commanders. A Lemnitzer there would probably have been “disappeared,” not just sent into a polite exile. And hovering beside each of the senior officers of the Soviet army was a political commissar who was responsible to the civilian administration – that is, to the Communist Party leadership – for the officer’s every move, every contact, almost every thought. The military did what the civil leadership told it to do.
I presume Khrushchev believed that he had his colleagues with him, but that cannot have been very reassuring given the record of the Politburo. And, when he died, Khrushchev or at least his reputation paid a price: he was refused the supreme accolade of Soviet leadership; he was not buried with other Soviet heroes in the Kremlin Wall. That we know; what we cannot know is whether or not he thought he was, or actually was, in danger of being overthrown.
What is clear is that he was strong enough – and faced with no blatant or destructive action by America – that he was able to surmount the “interest of government” to protect “national interest.” In short, he was not backed into a corner.
Were it not for the strength and bravery of both men, we might not have survived the Missile Crisis. Obviously, we cannot always be so served. Sometimes, we are apt to be dependent on weaker, more timorous and less steady men. This is not an abstract issue, and it has come back to haunt us in the Korean confrontation as it surely will in other confrontations. Understanding it may be a matter of our survival. That was not just my view but was also was even then the nagging worry of the DOD.
Thus, in the aftermath of the crisis, the DOD sought reassurance that deterrence had worked and would continue to work. That is, it sought to test the theory that leaders would add up the sums and be governed by what they found rather than by political, emotional or other criteria.
A Nuclear War Game
To this end, the DOD commissioned the conflict strategist Thomas Schelling to design and run a politico-military war game to push the experience of the Missile Crisis to the extreme, that is to find out what the Russians would they do if they were dealt a severe, painful and humiliating nuclear blow?
A scene from “Dr. Strangelove,” in which the bomber pilot (played by actor Slim Pickens) rides a nuclear bomb to its target in the Soviet Union.
Schelling’s game pitted two small teams of senior, fully-briefed U.S. government officers against one another in the Pentagon. Red Team represented the USSR and Blue Team the U.S. Each was provided with all the information Khrushchev would have had. Shortly after assembling, we were told that Blue team destroyed a Red Team city with a nuclear weapon. What would Red Team do?
Since it was far weaker than the United States, by the deterrence theory it would cave in and not retaliate.
To Schelling’s exasperation, the game proved the opposite. It showed that action only in part depended on a rational calculation of national interest but rather in circumstances of crisis, would be governed by the political imperatives faced by the government. I have discussed this in detail elsewhere, but in brief, the members of Red Team, who were among the most experienced and gifted men from the State Department, the White House, the CIA and the DOD, chaired by the very conservative admiral who was Chief of Naval Operations, decided unanimously that Red Team had no option but to go to general war as fast and as powerfully as it could.
Shelling stopped the game, saying that we had “misplayed” and that if we were right he would have to give up the theory of deterrence. We laid out the reasons for our decision.
That decision was taken on two grounds: the first was that acquiescence was not politically possible. No government, Russian or American or other, could accept the humiliation of the loss of a city and survive the fury of those who felt betrayed. Even if at ruinous cost, it would strike back. This is a lesson apparently still unlearned.
Indeed, it could cause the death of each person reading this essay if applied in real life in a nuclear first strike as I will shortly make clear in discussing the Korean crisis.
The second basis for the decision was that, despite Kissinger, Schelling and other “limited nuclear war” advocates, there is no such thing as limited nuclear war in the real world. A nuclear strike would inevitably lead to retaliation, nuclear if possible, and that retaliation would lead to counter-retaliation.
In the war game, Red Team realized that if Mr. Khrushchev were to retaliate for America’s destruction of Baku by incinerating St. Louis, it would have posed a challenge, regardless of who was at fault or what the odds of success were, that Kennedy could not have ducked. He would certainly have been overthrown and almost certainly assassinated if he had not responded. He almost certainly would have destroyed a second Russian city.
Tit-for-tat had no stopping point. Each response would lead to the next and quickly to general war. So Red Team went immediately to the best of its bad options: hitting back immediately with everything it had: in short, we opted for general war.
Fortunately that scenario was not tested. In the real Cuban Missile Crisis, no city was incinerated. Neither Kennedy nor Khrushchev was pushed beyond “calculation.” But it was a very close call. My own hunch, from having been one of the 25 or so civilians closely involved in the real-life crisis, is that Kennedy and his team could not have held firm much longer than the Thursday or Friday of that terrible week.
The implications are clear – and terrifying – but neither Shelling nor other Cold Warriors have accepted them. We are still today approaching the conflict in Korea with the mindset that our war game showed was fatally flawed.
The last test of the result of the war game came when I lectured on strategic planning and participated in a seminar on the Missile Crisis with the members of the then principal advisory group to the Politburo, the Institute of World Economy and International Affairs of the Soviet Academy of Sciences. In a word, my opposite numbers there agreed with the analysis I have just laid out: Khrushchev could not have accepted an American nuclear attack. He would have responded even though he realized that the overwhelming advantage – the “numbers” – were against him.
They also agreed that in practical terms there was no such thing as limited nuclear war. A “limited” nuclear strike would be, inevitably, the first step in a general war.
Lacking Wise Leaders
I will speculate below on how the actual events of the Cuban Missile Crisis and the result of the war game might apply to the current conflict in Korea. Here let me anticipate by saying that we have no reason to believe that the men who will decide the issue are of the caliber of Kennedy and Khrushchev.
President Donald Trump, speaking in Warsaw, Poland, on July 6, 2017. (Screen shot from Whitehouse.gov)
Both Kennedy and Khrushchev were strong, pragmatic, experienced and well supported men. In today’s conflict between the United States and North Korea, neither Donald Trump nor Kim Jong Un evince similar attributes. Some critics even question their sanity. But, they will make the decisions, so I focus on them, their motivations and their capacities. I begin with Mr. Trump.
I have never met Mr. Trump and our backgrounds are very different so I am driven to two, admittedly incomplete and questionable, ways of understanding him. The first of these is his own description of his thought process and way of acting. The three characteristics that seem to me most germane to foreign affairs and particularly to the confrontation in Korea are these:
–On November 12, 2015, Mr. Trump declared, “I love war.” In fact, as the record showed, he went to considerable trouble to deny himself the pleasures of going into harm’s way during the Vietnam War. And, now, should he decide to take America to war, he would not put his own life in danger.
In my time in Washington, such “war-lovers from afar“ were often referred to as “chicken-hawks.” They loved to talk about war and to urge others to get into it, but, like Mr. Trump, they never volunteered for action and never, in their pronouncements, dwelt on the horror of actual combat. For them war was another TV episode where the good guys got a bit dusted up but always won.
Mr. Trump presumably meant by the word “war” something very different from real war since he explained, “I’m good at war. I’ve had a lot of wars on my own. I’m really good at war. I love war, in a certain way but only when we win.”
For Mr. Trump, as his actions show, every business deal was a sort of war. He conducted it as what military strategists call a zero-sum game: the winner took all and the loser got nothing. There was little or no negotiation. “Attack” was the operational mode and his opponent would be driven to defeat by the threat of financial ruin. This was the “certain way” he called his many “wars on my own.”
The record bears him out. He overwhelmed rivals with lawsuits against which they had to defend themselves at ruinous cost, convinced them that if they did not acquiesce he would destroy them and was unrelenting. He was very good at it. He made his fortune in this form of “war.” He seems to believe that he can apply his experience in business to international affairs. But nations are not so likely to go out of business as the rivals he met in real estate transactions and some of them are armed with nuclear weapons.
–On several occasions, Mr. Trump set out his understanding of the role of nuclear weapons. In 2015, as a candidate, he was quoted as saying, “For me, nuclear is just the power, the devastation is very important to me.” But I find no evidence that he realizes what “devastation” really means. It is one thing to drive a business rival into bankruptcy and quite another to oversee the burning to death of hundreds of thousands or millions of people and relegating still more to homelessness and starvation in a ruined environment.
One supposes that he is aware of what happened in Hiroshima and Nagasaki, but they are misleading. Modern nuclear weapons are far more powerful: a one megaton weapon, for example, is about 50 times as powerful as the weapon that destroyed Hiroshima. Those of us who dealt with the threat of nuclear war in the Cuban Missile Crisis were aware of the effects of such “standard” weapons.
I see no evidence that Mr. Trump knows what a nuclear war would actually do. Indeed, he is quoted as saying, “what is the point of having nuclear weapons if you don’t use them?” He will find advisers who will tell him that they must be used. The ghost of General Lemnitzer hovers near the Oval Office.
Proud of Unpredictability
–Mr. Trump prides himself on unpredictability. Unpredictability was his business strategy. As he told an interviewer from CBS on January 1, 2016, “You want to be unpredictable … And somebody recently said — I made a great business deal. And the person on the other side was interviewed by a newspaper. And how did Trump do this? And they said, he`s so unpredictable. And I didn`t know if he meant it positively or negative. It turned out he meant it positively.”
Graphic for “The Celebrity Apprentice” when it was starring Donald Trump.
Another time Trump said on TV “I want to be unpredictable.” The record shows his use of the ploy, but perhaps it is more than just a ploy. Perhaps it is a manifestation of his personality, so I want to probe its meaning.
Years ago, I was informed that the CIA maintained a staff of psychoanalysts to profile foreign leaders. If the office still exists, the doctors presumably do not practice their arts on American officials, and certainly not on the President. As part of their professional code, psychiatrists are not supposed to diagnose anyone they have not personally examined, and I doubt that anyone will be able to get Mr. Trump to lie down on the coach.
But, as psychiatrists Peter Kramer and Sally Satel have pointed out, Mr. Trump has shown himself to be “impulsive, erratic, belligerent and vengeful” so “many experts believe that Mr. Trump has a narcissistic personality disorder.” Reacting to having such a leader with his hand on the nuclear trigger, Maryland Congressman Jamie Raskin introduced a bill to establish an “Oversight Commission on Presidential Capacity” (H.R. 1987) as authorized by the 25th Amendment to the Constitution. It has not been acted upon and it allows the President latitude to “pardon” himself.
Since his actions and the efforts of others do not offer much insight, I suggest his actions lend themselves to a perhaps instructive analogy, the game of “chicken.”
–In “chicken,” two drivers aim their speeding cars at one another. The one who flinches, turns aside, or (as Secretary of State Dean Rusk put it to me during the Cuban Missile Crisis) “blinks,” is the chicken. The winner is the driver who convinces the loser that he is irrational, deaf to all appeals and blind to danger. He cannot get out of the way.
In Mr. Trump’s strategy of war, the irrational man wins because he cannot be reached with any warning, argument or advice. Knowing this, the other man loses precisely because he is rational. Three things follow from this analogy. They seem evident in Mr. Trump’s approach to the issues or war or peace:
The first is that irrationality, ironically becomes a rational strategy. If one can convince his opponents that he is cannot be reasoned with, he wins. This has worked for years in business for Mr. Trump. I see no reason to believe that he will give it up.
The second is that the driver of the car does not need information or advice. They are irrelevant or even detrimental to his strategy. So, we see that Mr. Trump pays no attention to the professionals who man the 16 agencies set up by previous administrations to provide information or intelligence.
One example where his professed plan of action flies in the face of the intelligence appreciation is Iran. As the former deputy director of the CIA David Cohen found “disconcerting,” Mr. Trump has repeatedly said that Iran was not abiding by the terms of the Iranian-American deal on nuclear weapons before “finding the intelligence to back it up.” But that is inherent in Trump’s strategy of confrontation. He surely knows – but does not care — that the entire intelligence community holds that Iran has abided by the deal.
In Trump’s mind, intelligence analysts are “back seat drivers” and should keep quiet. By questioning his blindness, they suggest to the driver of the other car that Mr. Trump might swerve aside. Thus, they threaten to destroy the irrationality that is the essence of his strategy.
And, third, what Mr. Trump, the “driver” of the car in the “chicken” confrontation, does need is absolute loyalty. Those who sit beside him must never question how he is driving. Any hint of their trying to dissuade his actions threatens to destroy his strategy. So, as we see almost daily, at any hint of disagreement, he pushes his copilots out of the car. Indeed, at least one hardly even got into the “car” before being pushed out the door.
His actions both in business and in the presidency illustrate these points. He takes pride in irrational actions, shifting from one position to another, even its opposite, on what appears to be a whim. He disdains advice even from the intelligence services and also from presumably loyal members of his inner circle. What he demands is absolute loyalty.
Finally, it seems to me that Mr. Trump has understood, far better than most of us, that the public likes to be entertained. It is bored by consistency. It doesn’t pay much attention to explanation or analysis. And as the financially successful record of the TV industry and the sorry record of the book publishing industry show, the public wants entertainment. Mr. Trump caters to popular taste: every episode is new; every remark, simple; every threat, dramatic; and, perhaps most powerfully of all, he echoes angers, disappointments, hurts, desires that many of his supporters also feel.
This mode of operation worked for Trump in the business world. His image of ruthlessness, determination and even irrationality caused some of the biggest potential rivals to get out of his way and many others to accept his terms rather than risk a collision. It is not Trump or his mode of operation that has changed but the context in which he operates. Citibank with which he clashed did not have nuclear weapons; North Korea does. So how does Kim Jong Un measure up?
Measuring Kim Jong Un
Kim Jong Un is the third generation of the North Korean leadership. That position is almost beyond the comprehension of modern Westerners. Ruling dynasties went out of fashion in the First World War. But perhaps consideration of “dynasty” can be made to yield useful insights. One who tried to learn what dynastic succession could tell us was the great medieval North African philosopher of history, Ibn Khaldun.
North Korean leader Kim Jong Un.
Observing Berber and Arab societies, Ibn Khaldun found that the first dynasty, sweeping in from the desert, was made up of men who were rough and vigorous; their sons still remembered times of struggle and retained their hardihood, but the third generation grew use to ease and settled into luxury. Its leaders kept power by relying on outside forces. The fourth generation lost it all.
The fit to Korea is far from exact, but it is provocative. Kim Il-sung was a guerrilla warrior, not unlike the warring tribal leaders with whom Ibn Khaldun dealt. Sweeping in from Siberia he took power (admittedly with Soviet help), ruled for nearly half a century and established the dynasty; in the second generation, his son Kim Jong-Il came seamlessly to power on his death in 1994. While he shared little of his father’s war-like experiences, he seems to have been a hard man, as Ibn Khaldun expected. But he gives just a hint of the growth of the enjoyment of the new environment. The luxury he enjoyed was exactly what Ibn Khaldun would have predicted. He took as his mistress a beautiful dancer. From this union came Kim Jong Un, the personification of the third dynasty.
Young Kim Jong Un grew up in what was, in Korean terms, the lap of luxury and as a child was allowed to play the child’s game of soldiers. His soldiers, however, were not toys; they were real. There is no certain information, but it is believed that he was made a senior officer in the North Korean army when he was just a child. When he was 12 years old, his father sent him to a private school in Switzerland. Being provided with a personal chef to cook Korean dishes as well as a tutor and a driver/bodyguard, he does not seem to have really been “in” Europe.
He was taken out of the Swiss school when he was 15 and put into a public school in Korea. Those few who knew him have commented that he was intensely patriotic. At his father’s choice, although he was not the elder son, he was singled out as the successor, the man of the third generation.
Despite this unusual background he seems remarkably like an ordinary American schoolboy: he loved sports, particularly basketball, spent a lot of time watching movies and was an indifferent student. This is just about all know about his background. He did not emerge in public until about the time his father was dying.
In 2009, he is thought to have married a beautiful young women who has been variously described as a singer in a popular music group, a cheerleader in a sports event and a doctoral candidate in a Korean university. When his father finally died in 2011, the 32-year-old Kim Jong-un became North Korea’s leader. But on assuming power, he showed himself a more ruthless, determined and absolute ruler than Ibn Khaldun would have predicted.
Almost immediately, he purged his father’s top general among other senior officials, and allegedly he ordered or tolerated the murder of his elder brother whom he must have seen as a potential rival. More generally, he proved himself skillful in organizing the bitter memories of the Korean War among his people to support his regime.
To explain in part the inconsistency of what he did and what was expected of the third generation, I suggest that that he must have constantly had before him lesson of Saddam Husain who lacked nuclear weapons, could not defend himself and was hanged. Watching these events as a young man, Kim Jong Un must have been convinced that he could not afford to give himself up to luxury. As his opponents charge, he may have many vices but sloth is not one of them.
Policy Options
From this sketchy background of the two men whose hands are on the nuclear trigger, I turn to what their choices are. That is, what is the range of policies they must be considering or enacting to accomplish what they say are their objectives.
A map of the Korean Peninsula showing the 38th Parallel where the DMZ was established in 1953. (Wikipedia)
As I understand his objectives, the ruler of North Korea is determined to protect his regime (and of course his own life) and believes he can do so only if he has the capacity to deliver a blow sufficiently painful to any attacker that would deter him.
As Siegfried Hecker, the former director of the Los Alamos National Laboratory who has visited North Korea seven times and toured its nuclear facilities, has written (Bulletin of the Atomic Scientists, 7 August 2017), Kim Jong Un “is determined to develop an effective deterrent to keep the United States out.” His answer is a missile-carried nuclear weapon.
Contrariwise, President Trump’s announced objective (which in general echoes that of previous administrations) is to get the North Korean government to stop its development of both nuclear weapons and missiles. He has, theoretically, a range of policies to effect his objective.
Taking back my former role as a policy planner, I would divide the possible courses of American action, the cost of each and its likelihood of being accomplished as follows:
–The first possible policy is what could be called “bluster and threat without armed action.” This is what President Trump is doing today. His outbursts apparently go over well with his loyal supporters but his words have not apparently at least so far affected Kim Jong Un.
However his words have delivered the worst possible result: it has increased North Korean fear of U.S. invasion, has increased Kim Jong Un’s determination to develop a deliverable nuclear weapons capability and has probably stoked the war fever of the Koreans.
Thomas Schelling, with whom I disagreed on other issues, got this one right. As he wrote in The Strategy of Conflict, “madmen, like small children, can often not be controlled by threats” and “if he is not to react like a trapped lion, [an opponent] must be left some tolerable recourse. We have come to realize that a threat of all-out retaliation gives the enemy every incentive, in the event he should choose not to heed the threat, to initiate his transgression with an all-out strike on us; it eliminates lesser courses of action and forces him to choose between extremes.”
In making that choice, Kim Jong Un hears President Trump. threatening “fire and fury, the likes of which this world has never seen before.” (Kim responded with the threat to bomb America’s air base on Guam island “to teach the U.S. a severe lesson.”)
Mr. Trump said America was “locked and loaded” and its “patience is over.” And, in addition to remarks on the internet and to audiences all over America, he authorized a simulated war exercise (known as Foal Eagle 2017) by some 300,000 troops armed with live ammunition in and around South Korea which, of course, the government of the North regarded as provocative. But the U.S. did not alert its troops in South Korea nor its aircraft on Guam nor its ships at sea that an outbreak of hostilities was imminent. In short, the threat appeared all talk but no action.
Sen. John McCain, a man with some experience in combat, commented that President Trump’s recent fiery rhetoric on North Korea would only ratchet up the heat for a possible confrontation but nothing else.
As the conservative political commentator Anthony Cordesman wrote on August 5, 2017, “One would hope that the North Korean ‘crisis’ is moving away from bluster and counter bluster … [since] gross overreaction and issuing empty threats discredits the U.S. in terms of allies support and is not a meaningful bargaining tool in dealing with fellow blusterers like Kim Jong Un.”
Conclusion: the likelihood of this line of action accomplishing the stated objective of American policy is near zero, but the costs are twofold: first, the threat of intervention forces the North Korean government to accelerate its acquisition of the very weapons America wishes it to relinquish and serves to keep its armed forces on alert lest the Americans convert threat to attack or stumble into war; the second cost is that such a policy undercuts the image Americans wish to project as the upholders of peace and stability even if not always of democracy and independence.
The Limited Strike Option
–The second possible policy would be to attack selected targets, including members of North Korea’s government, with Special Forces and/or drones. Employment of such tactics even in less organized societies, such as Somalia, Libya, Iraq and Afghanistan, have created chaos but have not produced what their advocates predicted.
Near the ceasefire line between North and South Korea, President Barack Obama uses binoculars to view the DMZ from Camp Bonifas, March 25, 2012. (Official White House Photo by Pete Souza)
North Korea is a regimented state with a high level of “security” comparable to China. In the 1960s, I once was ordered to find out what the CIA might be able to do with this or a similar option to slow down Chinese nuclear development. The CIA was then sending agents into China from secret bases on Quemoy and Matsu. I asked what they found out. The responsible CIA officer replied that he did not know because none ever returned. That experience would probably be repeated in Korea.
Conclusion: the likelihood of such action accomplishing the stated objective of American policy is near zero, but the cost could be catastrophic: An American attack, even if denied and covert, almost certainly would trigger a North Korean response that might provoke an American counterstroke that could escalate to nuclear war.
–The third possible policy would be to encourage North Korea’s neighbors to attempt to coerce it to disarm and/or to scale back its military policy. Such a policy could aim to get China to control the North Koreans and possibly then encourage or allow Japan and/or South Korea to acquire nuclear weapons and so, themselves, pose a threat to North Korea and indirectly to Chinese interests.
Mr. Trump has several times called on the Chinese to effect the American policy on North Korea and has expressed his disappointment that they have not done so. When their own interests were at stake, the Chinese did impose sanctions and cut back on the import of Korean coal, iron ore and seafood. But China can hardly be expected to lend itself to be a tool of American policy. It too has memories of the Korean War and of attempts to weaken or overthrow it. Today, it also sees the U.S. as its rival in the Pacific. So, it is unlikely that Mr. Trump’s saying that “they do Nothing for us with North Korea, just talk. We will no longer allow this to continue” — will win Chinese support.
If not the Chinese, what about the Japanese? As I have pointed out in Part 1 of this essay, Japan is tarred by the nearly half century of its brutal regime in Korea. Korean “comfort women,” sexual slaves, are still seeking compensation for the misery inflicted on them and their plight is standard fare in Korean media.
Prime Minister Shinzo Abe, who has been pushing for Japanese rearmament and is known for his hard line on North Korea, is not a good choice to convince North Korea to cooperate with America. Encouraging militarism in Japan will raise bitter memories all over East Asia.
Moreover, were Japan to rearm itself with nuclear weapons or were South Korea to be given them, as Mr. Cordesman thinks Mr. Trump may feel forced to do, the overall and long-range objectives of the United States would be severely damaged: the “cure would be worse than the malady.”
We don’t need more nuclear weapons powers; the political history of South Korea gives little assurance of a “responsible” nuclear policy; and there is no reason to believe that a nuclear-armed South Korea or a nuclear-armed Japan would be more successful than a nuclear-armed America.
Worse, if South Korea and Japan were to develop or acquire nuclear weapons, such action might set off a scramble by other nations to acquire them. The world was already deadly dangerous when only two states had nuclear weapons; the danger of use by design or accident was multiplied when five more states acquired them and if the number keeps on growing accidental or deliberate use will become almost inevitable.
To spread weapons further is against America’s national interest although some of President Trump’s advisers apparently discount the danger and believe enhanced nuclear power at home and selective spread aboard is to the interest both of the nation and of his administration.
Conclusion: the likelihood of getting others to successfully accomplish American objectives vis-à-vis North Korea is near zero. Faced with nuclear-armed South Korea and Japan, North Korea would logically accelerate rather than cut back its weapons program. China has its own policies and is unlikely to serve as an American proxy. Moreover, the costs of giving South Korea and Japan nuclear weapons is potentially enormous.
The Nuclear Option
–The fourth theoretical policy option would be an American or American-led “coalition” attack on North Korea similar to our two attacks on Iraq and our attack on Afghanistan. America could hit the country with almost any level of destruction it chose from total annihilation to targeted demolition. Knowing that they could not prevent attacks, the North Koreans have adopted a policy that sounds very like America’s Cold War strategy against the Soviet Union, mutual assured destruction or MAD. What would this amount to in the Korean conflict?
North Korean missile launch on March 6, 2017.
The cost of war to North Korea would be almost unimaginable. If nuclear weapons were used, much of North Korea would be rendered unlivable for a generation or more. General Douglas MacArthur had wanted to use the nuclear bomb during the first Korean War in the early 1950s, but even with only conventional weapons used in that conflict, the Koreans suffered casualties, reportedly, of about one in each three persons.
If the U.S. used nuclear weapons this time, millions, perhaps as many as 8 million to 12 million, would be killed and many of the rest of the 26 million inhabitants would be wounded or afflicted with radiation sickness. Once initiated, the attack would have done this damage in minutes or hours. So how would the North Koreans respond?
Their government would order them to retaliate. That is what they are constantly being trained to do. As the Korean War demonstrated, the North Koreans are determined fighters. It would be foolish to expect them to surrender.
The North Korean army is said to be the fourth largest in the world, roughly 1 million men, and is backed up by an active reserve about 5-6 times that many from a potential enrollment of about 10 million. This force is equipped with perhaps 10,000 tanks and self-propelled cannon.
The numbers are impressive but, as in chess, it is position that counts in war. The North is believed to have about 12,000 cannon and roughly 2,300 rockets within range of Seoul, the capital of South Korea. Seoul has a population of somewhat more than 10 million people and, in the event of an American attack on North Korea, the North Koreans have said they would obliterate it.
As David Wood wrote on April 18, 2017, “In a matter of minutes, these heavy, low-tech weapons could begin the destruction of the South Korean capital with blizzards of glass shards, collapsed buildings and massive casualties that would decimate this vibrant U.S. ally and send shock waves through the global economy.”
In addition to the South Koreans who would suffer and die, there are about 30,000 US troops in the armistice zone. They, and the hundreds of thousands of dependents, supporters and families of the troops living in Seoul, are hostages to U.S. policy. They also would suffer terrible casualties.
Could the North Koreans carry out such massive counterstrikes? There seems little or no doubt that they could, even if they were subjected to massive first strikes even with nuclear weapons. The North Koreans learned from the first Korean War to use mobile, hard to detect or target, launchers and to go underground to prepared firing points.
Probably many of the North Korean weapons would be destroyed, but there are so many that the surviving pieces could inflict massive casualties. Almost incredible photos, from North Korean television, published in The Sun on April 26, 2017, showed demonstration by hundreds of North Korean artillery pieces and rocket launchers firing into the sea. In the event of war, they would be firing into Seoul.
Then there are the missiles. Japan generally and U.S. bases in Japan and on the island of Guam are within the range of North Korean mid-range rockets. And Alaska and the U.S. West Coast are either already or soon will be within range. Would North Korea use them as a counterstrike? On August 7, as Business Insider reported, “North Korea issued a stark warning to the US: If you attack us, we will retaliate with nuclear weapons.”
Judging from my experience in the Cuban Missile Crisis, I am sure that we would have done so. It is unlikely that Kim Jong Un would do less than John F. Kennedy.
Losing Los Angeles
If in reply to an American attack, the North Koreans struck the United States what would be the result? Loren Thompson speculated in the August 30, 2017 issue of Forbes on “What a Single North Korean Nuclear Warhead Could Do To Los Angeles.” He picked Los Angeles because it is or soon will be in range of North Korean missiles and would be an obvious choice against which to threaten retaliation. With a population of more than 13 million, it is the second largest city in America.
Illustration by Chesley Bonestell of nuclear bombs detonating over New York City, entitled “Hiroshima U.S.A.” Colliers, Aug. 5, 1950.
As I write this, North Korea appears to have demonstrated a somewhat less powerful thermonuclear weapon, about seven times the power of the bomb that obliterated Hiroshima, but Thompson speculates on the result of Los Angeles being hit by a bomb that North Korea presumably will soon have, about 33 times as powerful as the Hiroshima bomb.
Hit by it, all structures, no matter how securely built with reinforced concrete, within a radius of half a mile from ground zero “would be either totally destroyed or rendered permanently unusable.” The enormous pressure created by the fireball would heavily damage the adjoining circle of 2½ to 3 miles. Virtually all civic facilities (electrical grids, water mains, transport facilities, etc.) would be rendered inoperative and civil services (fire departments, police, hospitals, schools) would be destroyed or severely damaged.
A cloud of radioactive materials would be spread over a far larger area. And perhaps as many as a million people would have been burned to death immediately with many more grievously wounded and unable to get help. And that would be only in the first hours or days. In the following days, the wounded, often suffering from burns, hungry, thirsty, terrified and desperate, would limp out of the core area into the suburbs and surrounding towns, overwhelming their facilities.
Los Angeles would be only one target. North Korea would have nothing to lose by using all of its missiles and bombs. Some might go astray or malfunction, but some might hit San Francisco, Seattle, perhaps Denver and more remotely St. Louis, Dallas and perhaps Chicago. If one reached New York, the damage would be far greater than in Los Angeles.
Conclusion: As Steven Bannon, President Trump’s former “Chief Strategist” is quoted as saying, “There’s no military solution [to North Korea’s nuclear threats], forget it. Until somebody solves the part of the equation that shows me that ten million people in Seoul don’t die in the first 30 minutes from conventional weapons, I don’t know what you’re talking about, there’s no military solution here, they got us.”
That may explain why he was fired. And retired Lt. General James Clapper, who as the former Director of National Intelligence was not in danger of losing his job, told CNN, we must “accept the fact that they are a nuclear power.”
An attack on North Korea, while almost certainly devastating to North Korea, would be prohibitively expensive for America. Moreover, while it would temporarily prevent North Korea from posing a nuclear threat, it would create another area of chaos, like those created in Iraq, Libya, Somalia and Afghanistan. Attacking North Korea is not a rational policy choice.
Trying to Talk
–The remaining policy option is negotiation. What would be negotiable and what not? What would be the modalities? What would constitute success and what would be the result of failure? How could a result be made believable and how could it be enforced?
U.N. Secretary-General António Guterres (left) addresses the Security Council ministerial-level meeting on the nuclear weapon and ballistic missile programs of North Korea. At right is U.S. Secretary of State Rex W. Tillerson, Behind Tillerson is U.S. Ambassador to the U.N. Nikki Haley. (UN Photo/Eskinder Debebe)
I think we must begin by recognizing that it would be irrational for North Korea to give up missiles and nuclear weapons. Despite the horror with which I view nuclear weapons, they are very attractive to small nations. They level the playing field. A Texas saying from my youth sums it up: Mr. Colt’s invention of the cowboy’s pistol “made all men equal.” The nuclear weapon is pistol writ large. It is the ultimate defense.
For Kim Yong Un to give up his nuclear weapons, while we keep ours and have announced that we intend to overthrow his regime, would be tantamount to his committing suicide. He may be evil, as many believe, but there is no reason to believe that he is a fool.
Could not America offer in the course of negotiations a series of graduated steps in which over time a slow-down and ultimate elimination of missiles and nuclear weapons could be traded for ending of sanctions and increased aid? The answer, I think, is “yes, but.” The “but” is that Kim Yong Un would almost certainly insist on three things: the first is that he would not give up all his weapons and so would insist that North Korea be recognized as a nuclear power; the second is that he not be humiliated in the negotiated cut; and the third is that some formula be worked out to guarantee the deal. I have dealt with the first two issues above; I turn now to the third, how to guarantee the agreement.
The Bush administration invasion of Iraq in 2001 showed that America could create excuses to void any commitment it might make and provide excuses for any action it wished to take. The current push by the Trump administration to renege on the treaty made with Iran and written into American law by the Senate must convince the North Koreans that a treaty with America is just a scrap of paper. He must be convinced that America cannot be trusted.
But, if China and Russia were prepared to guarantee the deal and Japan and South Korea acquiesced to it and also gave up their option to manufacture or otherwise acquire nuclear weapons, that could be the first step in a phased series of steps that might be productive. At the same time, America would have to give up its ineffective sanctions, stop such provocative acts as the massive war game on the frontier and the barrage of threats and undertake a sort of Marshall Plan to lift North Korea out of poverty and hunger.
Conclusion: I am convinced that it will not be possible in the foreseeable future to get Kim Jong Un or any conceivable successor to give up deliverable nuclear weapons. Thus, there can be no “success,” as described in current policy statements by the Trump administration. But, arrangements can be created – by enlisting China and Russia as partners in negotiations and by renouncing threats and such damaging (and ineffective) policies as sanctions – to gradually create an atmosphere in which North Korea can be accepted as a partner in the nuclear “club.”
Failure to move in this direction will leave us, at best, in the limbo of fear and the possibility of stumbling into war. This is obviously a gambit that may fail. What is clear, however, is that none of the alternatives has worked or is likely to work. To embark on this path will require a degree of statesmanship, which we may not have.
How to Do It
If the United States government should decide to try this option, I think the following steps will have to be taken to start negotiations:
First, the U.S. government must accept the fact that North Korea is a nuclear power;
Second, it must commit itself formally and irrevocably to a no-first-strike policy. That was the policy envisaged by the Founding Fathers when they denied the chief executive the power to initiate aggressive war;
Third, it must remove sanctions on North Korea and begin to offer in a phased pattern aid to mitigate the current (and potentially future) famines caused by droughts and crop failures; helping North Korea to move toward prosperity, and reducing fear; and
Fourth, stop issuing threats and drop the unproductive and provocative war games on the DMZ.
Will, or even can, any American administration move in this direction? I think the answer will depend in large part on the education of the government leaders and the public among both of whom the level of ignorance of the real costs of war, especially nuclear war, is politically crippling.
As I have suggested, Mr. Trump has shown no comprehension of the costs of war in a nuclear context. Nor has the general public. The pictures of children on Guam being told not to look at the flash of the fireball reminds one of the ridiculous advice to school children in America in the Cold War to take refuge under their desks.
The reality of a modern war must be explained and taught. I do not know if Korean children are so taught, but their parents or grandparents knew it firsthand. This generation of Americans has never seen war up-close in America although some of their fathers saw it in Korea, Vietnam, Iraq and Afghanistan. Unfortunately, memories fade and Americans today do not want to be informed of the danger of a new war. Escapism is one of the great dangers we face.
In the American tradition, the President is the nation’s teacher. We must insist he perform that task or we could pay the supreme price of falling off the edge into the dark void of nuclear war.
William R. Polk is a veteran foreign policy consultant, author and professor who taught Middle Eastern studies at Harvard. President John F. Kennedy appointed Polk to the State Department’s Policy Planning Council where he served during the Cuban Missile Crisis. His books include: Violent Politics: Insurgency and Terrorism; Understanding Iraq; Understanding Iran; Personal History: Living in Interesting Times; Distant Thunder: Reflections on the Dangers of Our Times; and Humpty Dumpty: The Fate of Regime Change.
The U.S. and North Korea are on the brink of hostilities that if begun would almost certainly lead to a nuclear exchange. This is the expressed judgment of most competent observers. They differ over the causes of this confrontation and over the size, range and impact of the weapons that would be fired, but no one can doubt that even a “limited” nuclear exchange would have horrifying effects throughout much of the world including North America.
A Korean girl carries her brother on her back, trudging past a stalled M-26 tank, at Haengju, Korea., June 9, 1951. (U.S. military photo)
So how did we get to this point, what are we now doing and what could be done to avoid what would almost certainly be the disastrous consequences of even a “limited” nuclear war?
The media is replete with accounts of the latest pronouncements and events, but both in my personal experience in the closest we ever came to a nuclear disaster, the Cuban Missile Crisis, and from studying many other “flash points,” I have learned that failure to appreciate the background and sequence of events makes one incapable of understanding the present and so is apt to lead to self-defeating actions. With this warning in mind, I will recount in Part 1 how we and the Koreans got to where we are. Then in Part 2, I will address how we might go to war, what that would mean and what we can do to stay alive.
Throughout most of its history, Korea regarded China as its teacher. It borrowed from China Confucianism, its concepts of law, its canons of art and its method of writing. For these, it usually paid tribute to the Chinese emperor.
With Japan, relations were different. Armed with the then weapon of mass destruction, the musket, Japan invaded Korea in 1592 and occupied it with more than a quarter of a million soldiers. The Koreans, armed only with bows and arrows, were beaten into submission. But, because of events in Japan, and particularly the decision to give up the gun, the Japanese withdrew in less than a decade and left Korea on its own.
Nominally unified under one kingdom, Korean society was already divided between the Puk-in or “people of the North” and the Nam-in or “people of the South.” How significant this division was in practical politics is unclear, but apparently it played a role in thwarting attempts at reform and in keeping the country isolated from outside influences. It also weakened the country and facilitated the second intrusion of the Japanese. In search of iron ore for their nascent industry, they “opened” the country in 1876. Hot on the Japanese trail came the Americans who established diplomatic relations with the Korean court in 1882.
American missionaries, most of whom doubled as merchants, followed the flag. Christianity often came in the guise of commerce. Missionary-merchants lived apart from Koreans in segregated American-style towns, much as the British had done in India earlier in the century. They seldom met with the natives except to trade. Unlike their counterparts in the Middle East, the Americans were not noted for “good works.” They spent more time selling goods than teaching English, repairing bodies or proselytizing; so while Koreans admired their wares all but a few clung to Confucian ways.
China’s Protection
It was to China rather than to America that Koreans turned for protection against the Japanese “rising sun.” As they grew more powerful and began their outward thrust, the Japanese moved to end the Korean relationship to China. In 1894, the Japanese invaded Korea, captured its king and installed a “friendly” government. Then, as a sort of byproduct of their 1904-1905 war with Russia, the Japanese seized control, and, in accord with the policies of all Western governments, they took up “the White Man’s burden.” American politicians and statesmen, led by Theodore Roosevelt, found it both inevitable and beneficial that Japan turned Korea into a colony. For the next 35 years, the Japanese ruled Korea much as the British ruled India and the French ruled Algeria.
A map of the Korean Peninsula showing the 38th Parallel where the DMZ was established in 1953. (Wikipedia)
If the Japanese were brutal, as they certainly were, and exploitive, as they also were, so were the other colonial powers. And, like other colonial peoples, as they gradually became politically sensitive, the Koreans began to react. Over time, they saw the Japanese intruders not as the carriers of the “white man’s burden” but as themselves the burden. Some Koreans reacted by fleeing.
Best known among them was Syngman Rhee. Converted to Christianity by American missionaries, he went to the West. After a torturous career as an exile, he was allowed by the American military authorities at the end of the Second World War to become (South) Korea’s first president.
But most of those who fled the Japanese found havens in Russian-influenced Manchuria. The best known of these “Eastern” exiles, Kim Il-sung, became an anti-Japanese guerrilla and joined the Communist Party. At the same time Syngman Rhee arrived in the American-controlled South, Kim Il-sung became the leader of the Soviet-supported North. There he founded the ruling “dynasty” of which his grandson Kim Jong-un is the current leader.
During the 35 years of Japanese occupation, no one in the West paid much attention to Syngman Rhee or his hopes for the future of Korea, but the Soviet government was more attentive to Kim Il-Sung. While distant Britain, France and America played no active role, the near-by Soviet Union, with a long frontier with Japanese-held territory, had to concern itself with Korea.
It was not so much from strategy or the perception of danger that Western policy (and Soviet acquiescence to it) evolved. Driven in part by sentiment, America forced a change in the tone of relations with the colonial world during the Second World War and, driven by the need to appease America, Britain and France acquiesced. It was the tide of war, rather than any preconceived plan, that swept Korea into the widely scattered and ill-defined group of “emerging” nations.
As heir to the dreams of Woodrow Wilson, Franklin Roosevelt proclaimed that colonial peoples deserved to be free. Korea was to benefit from the great liberation of the Second World War. So it was that on December 1, 1943, the United States, Britain and (then Nationalist) China agreed at the Cairo Conference to apply the revolutionary words of the 1941 Atlantic Charter: “Mindful of the enslavement of the people of Korea,” Roosevelt and a reluctant Churchill proclaimed, they “are determined that in due course Korea shall become free and independent.”
At the April-June 1945 San Francisco conference, where the United Nations was founded, Korea got little attention, but a vague arrangement was envisaged in which Korea would be put under a four-power (American, British, Chinese and Soviet) trusteeship. This policy was later affirmed at the Potsdam Conference on July 26, 1945, and was agreed to by the Soviet Union on August 8 when it declared war on Japan. Two days later Russian troops fanned out over the northern area. It was not until almost a month later, on September 8, that the first contingents of the U.S. Army arrived.
Aftermath of War
Up to that point, most Koreans could do little to effect their own liberation: those inside Korea were either in prison, lived in terror that they soon would be arrested or collaborated with the Japanese. The few who had reached havens in the West, like Syngman Rhee, found that while they were allowed to speak, no one with the power to help them listened to their voices. They were to be liberated but not helped to liberate themselves. It was only the small groups of Korean exiles in Soviet-controlled areas who actually fought their Japanese tormentors. Thus it was that the Communist-led Korean guerrilla movement began to play a role similar to insurgencies in Indochina, the Philippines and Indonesia.
As they prepared to invade Korea, neither the Americans nor the Russians evinced any notion of the difference between the Puk-in or “people of the North” and the Nam-in or “people of the South.” They were initially concerned, as least in their agreements with one another as they had been in Germany, by the need to prevent the collision of their advancing armed forces. The Japanese, however, treated the two zones that had been created by this ad hoc military decision separately.
As a Soviet army advanced, the Japanese realized that they could not resist, but they destroyed as much of the infrastructure of the north as they could while fleeing to the south. On reaching the south, both the soldiers and the civil servants cooperated at least initially with the incoming American forces. Their divergent actions suited both the Russians and the Americans — the Russians were intent on driving out the Japanese while the Americans were already beginning the process of forgiving them. What happened in this confused period set much of the shape of Korea down to the present day.
The Russians appear to have had a long-range policy toward Korea and the Communist-led insurgent force to implement it, but it was only slowly, and reluctantly, that the Americans developed a coherent plan for “their” Korea and found natives who could implement it. What happened was partly ideological and partly circumstantial. It is useful and perhaps important to emphasize the main points:
The first point is that the initial steps of what became the Cold War had already been taken and were quickly reinforced. Although the Yalta Conference included the agreement that Japan would be forced to surrender to all the allies, not just to the United States and China, President Truman set out a different American policy without consulting Stalin.
Buoyed by the success of the test of the atomic bomb on July 16, 1945, he decided that America would set the terms of the Pacific war unilaterally; Stalin reacted by speeding up his army’s attack on Japanese-held Korea and Manchuria. He was intent on creating “facts on the ground.” Thus it was that the events of July and August 1945 anchored the policies – and the interpretations of the war – of each great power. They shaped today’s Korea.
Arguments ever since have focused on the justifications for the policies of each Power. For many years, Americans have argued that it was the atomic bomb attack on Hiroshima and Nagasaki on August 6 and 9, not the threat or actuality of the Soviet invasion, that forced the Japanese to surrender.
Spoils of War
In the official American view, it was America that won the war in the Pacific. Island by island from Guadalcanal, American soldiers had marched, sailed and flown toward the final island, Japan. From nearby islands and from aircraft carriers, American planes bombed and burned its cities and factories. Hiroshima and Nagasaki were the final blows in a long, painful and costly process.
The mushroom cloud from the atomic bomb dropped on Hiroshima, Japan, on Aug. 6, 1945.
Truman held that the Russians appeared only after the Japanese were defeated. Thus, he felt justified – and empowered – to act alone on Japan. So when General Douglas MacArthur arranged the ceremony of surrender on September 2, he sidelined the Russians. The procedure took place on an American battleship under an American flag. A decade was to pass before the USSR formally ended its war with Japan.
The second crucial point is what was happening on the peninsula of Korea. There a powerful Russian army was present in the North and an American army was in control of the South. The decisions of Cairo, San Francisco and Potsdam were as far from Korea as the high-flown sentiments of the statesmen were from the realities, dangers and opportunities on the scene. What America and the Soviet Union did on the ground was crucial for an understanding of Korea today.
As the Dutch set about doing in Indonesia, the French were doing in Indochina and the Americans were doing in the Philippines, the American military authorities in their part of Korea pushed aside the nationalist leaders (whom the Japanese had just released from prison) and insisted on retaining all power in their own (military) government. They knew almost nothing about (but were inherently suspicious of) the anti-Japanese Koreans who set themselves up as the “People’s Republic.” On behalf of the U.S., General John Hodge rejected the self-proclaimed national government and declared that the military government was the only authority in the American-controlled zone.
Hodge also announced that the “existing Japanese administration would continue in office temporarily to facilitate the occupation” just as the Dutch in Indonesia continued to use Japanese troops to control the Indonesian public. But the Americans quickly realized how unpopular this arrangement was and by January 1946 they had dismantled the Japanese regime.
In the ensuing chaos dozens of groups with real but often vague differences formed themselves into parties and began to demand a role in Korean affairs. This development alarmed the American military governor. Hodge’s objective, understandably, was order and security. The local politicians appeared unable to offer either, and in those years, the American military government imprisoned tens of thousands of political activists.
Cold War in Vitro
Although not so evident in the public announcements, the Americans were already motivated by fear of the Russians and their actual or possible local sympathizers and Communists. Here again, Korea reminds one of Indochina, the Philippines and Indonesia. Wartime allies became peacetime enemies. At least in vitro, the Cold War had already begun.
At just the right moment, virtually as a deux ex machina, Syngman Rhee appeared on the scene. Reliably and vocally anti-Communist, American-oriented, and, although far out of touch with Korean affairs, ethnically Korean, he was just what the American authorities wanted. He gathered the rightist groups into a virtual government that was to grow into an actual government under the U.S. aegis.
Meanwhile, the Soviet authorities faced no similar political or administrative problems. They had available the prototype of a Korean government. This government-to-become already had a history: thousands of Koreans had fled to Manchuria to escape Japanese rule and, when Japan carried the war to them by forming the puppet state they called Manchukuo in 1932, some of the refugees banded together to launch a guerrilla war. The Communist Party inspired and assumed leadership of this insurgency. Then as all insurgents – from Tito to Ho Chi-minh to Sukarno – did, they proclaimed themselves a government-in-exile.
The Korean group was ready, when the Soviet invasion made it possible, to become the nucleus of the Democratic People’s Republic of Korea (DPRK). The USSR recognized it as the sole government of (all) Korea in September 1948. And, despite its crude and often brutal method of rule, it acquired a patina of legitimacy by its years of armed struggle against the Japanese.
Both the USSR and the U.S. viewed Korea as their outposts. They first tried to work out a deal to divide authority among themselves. But they admitted failure on December 2, 1945. The Russians appeared to expect the failure and hardly reacted, but the Americans sought the help of the United Nations in formalizing their position in Korea. At their behest, the U.N. formed the “Temporary Commission on Korea.” It was supposed to operate in all of Korea, but the Russians regarded it as an American operation and excluded it from the North. After a laborious campaign, it managed to supervise elections but only in the south, in May 1948.
The elections resulted in the formation on August 15 of a government led by Syngman Rhee. In response, a month later on September 9, the former guerrilla leader, Communist and Soviet ally Kim Il-sung, proclaimed the state of North Korea. Thus, the ad hoc arrangement to prevent the collision of two armies morphed into two states.
The USSR had a long history with Kim Il-sung and the leadership of the North. It had discreetly supported the guerrilla movement in Manchukuo (aka Manchuria) and presumably had vetted the Communist leadership through the purges of the 1930s and closely observed them during the war. The survivors were, by Soviet criteria, reliable men. So it was possible for the Russians to take a low profile in North Korean affairs. Unlike the Americans, they felt able to withdraw their army in 1946. Meanwhile, of course, their attention was focused on the much more massive tide of the revolution in China. Korea must have seemed something of a sideshow.
The position of the United States was different in almost every aspect. First, there was no long-standing, pro-American or ideologically democratic cadre in the South.
The Rise of Rhee
The leading figure, as I have mentioned, was Syngman Rhee. While Kim Il-sung was a dedicated Communist, Rhee was certainly not a believer in democracy. But ideology aside, Rhee was deeply influenced by contacts with Americans. Missionaries saved his eyesight (after smallpox), gave him a basic Western-style education, employed him and converted him to Christianity. Probably also influenced by them, as a young man he had involved himself in protests against Korean backwardness, corruption and failure to resist Japanese colonialism. His activities landed him in prison when he was 22 years of age. After four years of what appears to have been a severe regime, he was released and in 1904 made his way into exile in America.
South Korean leader Syngman Rhee
Remarkably for a young man of no particular distinction – although he was proud of a distant relationship to the Korean royal family – he was at least received if not listened to by President Theodore Roosevelt. Ceremonial or perfunctory meetings with other American leaders followed over the years. The American leaders with whom he met did not consider Korea of much importance and even if they had so considered it, Rhee had nothing to offer them. So I infer that his 40-year wanderings from one university to the next (BA in George Washington University, MA in Harvard and PhD in Princeton) and work in the YMCA and other organizations were a litany of frustrations.
It was America’s entry into the war in 1941 that gave Rhee the opportunity he had long sought: he convinced President Franklin Roosevelt to espouse at least nominally the cause of Korean independence. Roosevelt’s kind words probably would have little effect — as Rhee apparently realized. To give them substance, he worked closely with the OSS (the ancestor of the CIA) and developed contacts with the American military chiefs. Two months after the Japanese surrender in 1945, he was flown back to Korea at the order of General Douglas MacArthur.
Establishing himself in Seoul, he led groups of right-wing Koreans to oppose every attempt at cooperation with the Soviet Union and particularly focused on opposition to the creation of a state of North Korea. For those more familiar with European history, he might be considered to have aspired to the role played in Germany by Konrad Adenauer. To play a similar role, Rhee made himself “America’s man.” But he was not able to do what Adenauer could do in Germany nor could he provide for America: an ideologically controlled society and the makings of a unified state like Kim Il-sung was able to give the Soviet Union. But, backed by the American military government and overtly using democratic forms, Rhee was elected on a suspicious return of 92.3 percent of the vote to be president of the newly proclaimed Republic of Korea.
Rhee’s weakness relative to Kim had two effects: the first was that while Soviet forces could be withdrawn from the North in 1946, America felt unable to withdraw its forces from the South. They have remained ever since. And the second effect was that while Rhee tried to impose upon his society an authoritarian regime, similar to the one imposed on the North, he was unable to do so effectively and at acceptable cost.
The administration he partly inherited was largely dependent upon men who had served the Japanese as soldiers and police. He was tarred with their brush. It put aside the positive call of nationalism for the negative warning of anti-Communism. Instead of leadership, it relied on repression. Indeed, it engaged in a brutal repression, which resembled that of North Korea but which, unlike the North Korean tyranny, was widely publicized. Resentment in South Korea against Rhee and his regime soon grew to the level of a virtual insurgency. Rhee may have been the darling of America but he was unloved in Korea. That was the situation when the Korean War began.
Resumption of War
The Korean War technically began on June 25, 1950, but of course the process began before the first shots were fired. Both Syngman Rhee and Kim Il-sung were determined to reunite Korea, each on his own terms. Rhee had publicly spoken on the “need” to invade the North to reunify the peninsula; the Communist government didn’t need to make public pronouncements, but events on the ground must have convinced Kim Il-sung that the war had already begun. Along the dividing line, according to one American scholar of Korea, Professor John Merrill, large numbers of Koreans had already been wounded or killed before the “war” began.
In this July 1950 U.S. Army file photograph once classified “top secret,” South Korean soldiers walk among some of the thousands of South Korean political prisoners shot at Taejon, South Korea, early in the Korean War. (AP Photo/National Archives, Major Abbott/U.S. Army, File)
The event that appears to have precipitated the full-scale war was the declaration by Syngman Rhee’s government of the independence of the South. If allowed to stand, that action as Kim Il-sung clearly understood, would have prevented unification. He regarded it as an act of war. He was ready for war. He had used his years in power to build one of the largest armies in the world whereas the army of the South had been bled by the Southern rulers.
Kim Il-sung must have known in detail the corruption, disorganization and weakness of Rhee’s administration. As the English journalist and commentator on Korea Max Hastings reported, Rhee’s entourage was engaged in a massive theft of public resources and revenues. Money intended by the foreign donors to build a modern state was siphoned off to foreign bank accounts; “ghost soldiers,” the military equivalent of Gogol’s Dead Souls, who existed only on army records, were paid salaries which the senior officers pocketed while the relatively few actual soldiers went unpaid and even unclothed, unarmed and unfed. Bluntly put, Rhee offered Kim an opportunity he could not refuse.
We now know, but then did not, that Stalin was not in favor of the attack by the North and agreed to it only if China, by then a fellow Communist-led state, took responsibility. What “responsibility” really meant was not clear, but it proved sufficient to tip Kim Il-sung into action. He ordered his army to invade the South. Quickly crossing the demarcation line, his soldiers pushed south. Far better disciplined and motivated, they took Seoul within three days, on June 28.
Syngman Rhee proclaimed a fight to the death but, in fact, he and his inner circle had already fled. They were quickly followed by thousands of soldiers of the Southern army. Many of those who did not flee, defected to the North.
Organized by the United States, the United Nations Security Council – taking advantage of the absence of the Soviet delegation – voted on June 27, just before the fall of Seoul, to create a force to protect the South. Some 21 countries led by the United States furnished about three million soldiers to defend the South. They were countries like Thailand, South Vietnam and Turkey with their own problems of insurgency, but most of the fighting was done by American forces. They were driven south and nearly off the Korean peninsula by Kim Il-sung’s army. The American troops were ill-equipped and nearly always outnumbered. The fighting was bitter and casualties were high. By late August, they held only a tenth of what had been the Republic of Korea, just the southern province around the city of Pusan.
The Chinese Prepare
Wisely analyzing the actual imbalance of the American-backed southern forces and the apparently victorious forces commanded by Kim Il-sung, the Chinese statesman Zhou Enlai ordered his military staff to guess what the Americans could be expected to do: negotiate, withdraw or try to break out of their foothold at Pusan. The staff reported that the Americans would certainly mobilize their superior potential power to counterattack.
Seriously wounded North Korean soldiers lie where they fell and wait for medical attention by Navy hospital corpsmen accompanying the Marines in their advance. September 15, 1950. (Photo by Sgt. Frank Kerr, USMC)
To guard against intrusion into China, Zhou convinced his colleagues to move military forces up to the Chinese-Korean frontier and convinced the Soviet government to give the North Koreans air support. What was remarkable was that Zhou’s staff exactly predicted what the Americans would do and where they would do it. Led by General Douglas MacArthur, the Americans made a skillful and bold counterattack. Landing at Inchon on September 15, they cut the bulk of the Northern army off from their bases. The operation was a brilliant military success.
But, like many brilliant military actions, it developed a life of its own. MacArthur, backed by American Secretary of State Dean Acheson and General George Marshall — and ordered by President Truman — decided to move north to implement Syngman Rhee’s program to unify Korea. Beginning on September 25, American forces recaptured Seoul, virtually destroyed the surrounded North Korean army and on October 1 crossed the 38th parallel. With little to stop them, they then pushed ahead toward the Yalu river on the Chinese frontier. That move frightened both the Soviet and Chinese governments which feared that the wave of victory would carry the American into their territories. Stalin held back, refusing to commit Soviet forces, but he reminded the Chinese of their “responsibility” for Korea.
In response, the Chinese hit on a novel ploy. They sent a huge armed force, some 300,000 men to stop the Americans but, to avoid at least formally and directly a clash with America, they categorized it as an irregular group of volunteers — the “Chinese People’s Volunteer Army.” Beginning on October 25. the lightly armed Chinese virtually annihilated what remained of the South Korean army and drove the Americans out of North Korea.
Astonished by the collapse of what had seemed a definitive victory, President Truman declared a national emergency, and General MacArthur urged the use of 50 nuclear bombs to stop the Chinese. What would have happened then is a matter of speculation, but what did happen was that MacArthur was replaced by General Matthew Ridgeway who restored the balance of conventional forces. Drearily, the war rolled on.
During this period and for the next two years, the American air force carried out massive bombing sorties. Some of the bombing was meant to destroy the Chinese and North Korean ability to keep fighting, but Korea is a small territory and what began as “surgical strikes” grew into carpet-bombing. (Such bombing would be considered a war crime as of the 1977 Protocol I of the Geneva Conventions).
The attacks were enormous. About 635,000 tons of high explosives and chemical weapons were dropped – that was far more than was used against the Japanese in the Second World War. As historian Bruce Cumings has pointed out, the U.S. Air Force found that “three years of ‘rain and ruin’” had inflicted greater damage on Korean cities “than German and Japanese cities firebombed during World War II.” The North Korean capital Pyongyang was razed and General Curtis LeMay thought American bombings caused the deaths of about 20 percent — one in five — North Koreans.
Carpet-Bombing the North
LeMay’s figure, horrifying as it is, needs to be borne in mind today. Start with the probability that it is understated. Canadian economist Michel Chossudovsky has written that LeMay’s estimate of 20 percent should be revised to nearly 33 percent or roughly one Korean in three killed. He goes on to point to a remarkable comparison: in the Second World War, the British had lost less than 1 percent of their population, France lost 1.35 percent, China lost 1.89 percent and the U.S. only a third of 1 percent. Put another way, Korea proportionally suffered roughly 30 times as many people killed in 37 months of American carpet-bombing as these other countries lost in all the years of the Second World War.
U.S. Air Force Gen. Curtis LeMay
In all, 8 million to 9 million Koreans were killed. Whole families were wiped out and practically no families alive in Korea today are without close relatives who perished. Virtually every building in the North was destroyed. What General LeMay said in another context – “bombing them back to the Stone Age” – was literally effected in Korea. The only survivors were those who holed up in caves and tunnels.
Memories of those horrible days, weeks and months of fear, pain and death seared the memories of the survivors, and according to most observers they constitute the underlying mindset of hatred and fear so evident among North Koreans today. They will condition whatever negotiations America attempts with the North.
Finally, after protracted battles on the ground and daily or hourly assaults from the sky, the North Koreans agreed to negotiate a ceasefire. Actually achieving it took two years.
The most significant points in the agreement were that (first) there would be two Koreas divided by a demilitarized zone essentially on what had been the line drawn along the 38th parallel to keep the invading Soviet and American armies from colliding and (second) article 13(d) of the agreement specified that no new weapons other than replacements would be introduced on the peninsula. That meant that all parties agreed not to introduce nuclear and other “advanced” weapons.
What needs to be remembered in order to understand future events is that, in effect, the ceasefire created not two but three Koreas: North, South, and the American military bases.
The North set about recovering from devastation. It had to dig out from under the rubble and it chose to continue to be a garrison state. It was certainly a dictatorship, like the Soviet Union, China, North Vietnam and Indonesia, but close observers thought that the regime was supported by the people. Most observers found that the memory of the war, and particularly of the constant bombing, created a sense of embattlement that unified the country against the Americans and the regime of the South. Kim Il-sung was able to stifle such dissent as arose. He did so brutally. No one can judge for certain, but there is reason to believe that a sense of embattled patriotism remains alive today.
South’s Military Dictatorships
The South was much less harmed by the war than the North and, with large injections of aid and investment from Japan and America, it started on the road to a remarkable prosperity. Perhaps in part because of these two factors – relatively little damage from the war and growing prosperity – its politics was volatile.
To contain it and stay in power, Syngman Rhee’s government imposed martial law, altered the constitution, rigged elections, opened fire on demonstrators and even executed leaders of the opposing party. We rightly deplore the oppression of the North, but humanitarian rights investigations showed little difference between the Communist/Confucian North and the Capitalist/Christian South. Syngman Rhee’s tactics were not less brutal than those of Kim Il-sung.
Employing them, Rhee managed another electoral victory in 1952 and a third in 1960. He won the 1960 election with a favorable vote officially registered to be 90 percent. Not surprisingly, he was accused of fraud. The student organizations regarded his manipulation as the “last straw” and, having no other recourse, took to the streets. Just ahead of a mob converging on his palace — much like the last day of the government of South Vietnam a few years later — he was hustled out of Seoul by the CIA to an exile in Honolulu.
The third Korea, the American “Korea,” would have been only notional except for the facts that it occupied a part of the South (the southern perimeter of the demilitarized zone and various bases elsewhere), had ultimate control of the military forces of the South (it was authorized to take command of them in the event of war) and, as the British had done in Egypt, Iraq and India, it “guided” the native government it had fostered. Its military forces guaranteed the independence of the South and at least initially, the United States paid about half the costs of the government and sustained its economy.
At the same time, the United States sought to weaken the North by imposing embargos. It kept the North on edge by carrying what the North regarded as threatening maneuvers on its frontier and, from time to time, as President Bill Clinton did in 1994 (and President Donald Trump is now doing), threatened a devastating preemptive strike. The Defense Department and the Joint Chiefs of Staff also developed OPLN 5015, one of a succession of secret plans whose intent, in the words of commentator Michael Peck, was “to destroy North Korea.”
And, in light of America’s worry about nuclear weapons in Korea, we have to confront the fact that it was America that introduced them. In June 1957, the U.S. informed the North Koreans that it would no longer abide by Paragraph 13(d) of the armistice agreement that forbade the introduction of new weapons. A few months later, in January 1958, it set up nuclear-tipped missiles capable of reaching Moscow and Peking. The U.S. kept them there until 1991. It wanted to reintroduce them in 2013 but the then South Korean Prime Minister Chung Hong-won refused.
As I will later mention, South Korea joined the Nuclear Non-Proliferation Treaty in 1975, and North Korea joined in 1985. But South Korea covertly violated it from 1982 to 2000 and North Korea first violated the provisions in 1993 and then withdrew from it in 2003. North Korea conducted its first underground nuclear test in 2006.
There is little moral high ground for any one of the “three Koreas.”
South Korean leader Park Chung-hee
South Korean leader Park Chung Hee
New elections were held in the South and what was known as the Second Republic was created in 1960 under what had been the opposition party. It let loose the pent-up anger over the tyranny and corruption of Syngman Rhee’s government and moved to purge the army and security forces. Some 4,000 men lost their jobs and many were indicted for crimes. Fearing for their jobs and their lives, they found a savior in General Park Chung-hee who led the military to a coup d’état on May 16, 1961.
General Park was best known for having fought the guerrillas led by Kim Il-sung as an officer in the Japanese “pacification force” in Manchukuo. During that period of his life, he even replaced his Korean name with a Japanese name. As president, he courted Japan. Restoring diplomatic relations, he also promoted the massive Japanese investment that jump-started Korean economic development. With America he was even more forthcoming. In return for aid, and possibly because of his close involvement with the American military – he studied at the Command and General Staff school at Fort Sill – he sent a quarter of a million South Korean troops to fight under American command in Vietnam.
Not less oppressive than Rhee’s government, Park’s government was a dictatorship. To protect his rule, he replaced civilian officials by military officers. Additionally, he formed a secret government within the formal government; known as the Korean Central Intelligence Agency, it operated like the Gestapo. It routinely arrested, imprisoned and tortured Koreans suspected of opposition. And, in October 1972, Park rewrote the constitution to give himself virtual perpetual power. He remained in office for 16 years. In response to oppression and despite the atmosphere of fear, large-scale protests broke out against his rule. It was not, however, a public uprising that ended his rule: his chief of intelligence assassinated him in 1979.
An attempt to return to civilian rule was blocked within a week by a new military coup d’état. The protests that followed were quickly put down and thousands more were arrested. A confused scramble for power then ensued out of which in 1987 a Sixth Republic was announced and one of the members of the previous military junta became president.
The new president Roh Tae-woo undertook a policy of conciliation with the North and under the warming of relations both North and South joined the U.N. in September 1991. They also agreed to denuclearization of the peninsula. But, as often happens, the easing of suppressive rule caused the “reformer” to fall. Roh and another former president were arrested, tried and sentenced to prison for a variety of crimes — but not for their role in anti-democratic politics. Koreans remained little motivated by more than the overt forms of democracy.
Relations between the North and the South over the next few years bounced from finger on the trigger to hand outstretched. The final attempt to bring order to the South came when Park Geun-hye was elected in 2013, She was the daughter of General Park Chung-hee who, as we have seen, had seized power in a coup d’état 1963 and was president of South Korea for 16 years. Park Geun-hye, was the first women to become head of a state in east Asia. A true daughter of her father, she ruled with an iron hand, but like other members of the ruling group, she far overplayed her hand and was convicted of malfeasance and forced out of office in March 2017.
The Kim Dynasty
Meanwhile in the North, as Communist Party head, Prime Minister from 1948 to 1972 and president from 1972 to his death in 1994, Kim Il-sung ruled North Korea for nearly half a century. His policy for his nation was a sort of throw-back to the ancient Korean ideal of isolation. Known as juche, it emphasized self-reliance. The North was essentially an agrarian society and, unlike the South, which from the 1980s welcomed foreign investment and aid, it remained closed. Initially, this policy worked well: up to the end of the 1970s, North Korea was relatively richer than the South, but then the South raced ahead with what amounted to an industrial revolution.
North Korean leader Kim Il-sung
Surprisingly, Kim Il-sung shared with Syngman Rhee a Protestant Christian youth; indeed, Kim said that his grandfather was a Presbyterian minister. But the more important influence on his life was the brutal Japanese occupation. Such information as we have is shaped by official pronouncements and amount to a paean. But, probably, like many of the Asian nationalists, as a very young man he took part in demonstrations against the occupying power. According to the official account, by the time he was 17, he had spent time in a Japanese prison.
At 19, in 1931, he joined the Chinese Communist Party and a few years later became a member of its Manchurian fighting group. Hunted down by the Japanese and such of their Korean collaborators as Park Chung-hee, Kim crossed into Russian territory and was inducted into the Soviet army in which he served until the end of the Second World War. Then, as the Americans did with Syngman Rhee, the Russians installed him as head of the provisional government.
From the first days of his coming to power, Kim Il-sung focused on the acquisition of military power. Understandably from his own experience, he emphasized training it in informal tactics, but as the Soviet Union began to provide heavy equipment, he pushed his officers into conventional military training under Russian drillmasters. By the time he had decided to invade South Korea, the army was massive, armed on a European standard and well organized. Almost every adult Korean man was or had been serving in it.
The army had virtually become the state. This allocation of resources, as the Korean War made clear, resulted in a powerful striking force but a weakened economy. It also caused Kim’s Chinese supporters to decide to push him aside. How he survived his temporary demotion is not known, but in the aftermath of the ceasefire, he was again seen to be firmly in control of the Communist Party and the North Korean state.
The North Korean state, as we have seen, had virtually ceased to exist under the bombing attack. Kim could hope for little help to rebuild it from abroad and sought even less. His policy of self-reliance and militarization were imposed on the country. On the Soviet model of the 1930s, he launched a draconian five-year plan in which virtually all economic resources were nationalized. In the much-publicized Sino-Soviet split, he first sided with the Chinese but, disturbed by the Chinese Cultural Revolution, he swung back to closer relations with the Soviet Union.
In effect, the two neighboring powers had to be his poles. His policy of independence was influential but could not be decisive. To underpin his rule and presumably in part to build the sense of independence of his people, he developed an elaborate personality cult. That propaganda cult survived him. When he died in 1994 at 82 years of age, his body was preserved in a glass case where it became the object of something like a pilgrimage.
Unusual for a Communist regime, Kim Il-sung was followed by his son Kim Jong-Il. Kim Jong-Il continued most of his father’s policies, which toward the end of his life, had moved haltingly toward a partial accommodation with South Korea and the United States. He was faced with a devastating drought in 2001 and sequential famine that was said to have starved some 3 million people. Perhaps seeking to disguise the impact of this famine, he abrogated the armistice and sent troops into the demilitarized zone. However, intermittent moves including creating a partly extra-territorialized industrial enclave for foreign trade, were made to better relations with the South.
Then, in January 2002, President George Bush made his “Axis of Evil Speech” in which he demonized North Korea. Thereafter, North Korea withdrew from the 1992 agreement with the South to ban nuclear weapons and announced that it had enough weapons-grade plutonium to make about 5 or 6 nuclear weapons. Although he was probably incapacitated by a stroke in August 2008, his condition was hidden as long as possible while preparations were made for succession. He died in December 2011 and was followed by his son Kim Jong-un.
With this thumbnail sketch of events up to the coming to power of Kim Jong-un and Donald Trump, I will turn in Part 2 of this essay to the dangerous situation in which our governments – and all of us individually – find ourselves today.
William R. Polk is a veteran foreign policy consultant, author and professor who taught Middle Eastern studies at Harvard. President John F. Kennedy appointed Polk to the State Department’s Policy Planning Council where he served during the Cuban Missile Crisis. His books include: Violent Politics: Insurgency and Terrorism; Understanding Iraq; Understanding Iran; Personal History: Living in Interesting Times; Distant Thunder: Reflections on the Dangers of Our Times; and Humpty Dumpty: The Fate of Regime Change.
When Putin in his ideological salvo that preceded the actual war in Ukraine placed the blame for the existence of the Ukraine within its current borders on Lenin, Stalin and Khrushchev, he not only opened up the Pandora’s box of borders, but led to the renewed discussion of the creation of the Union of Soviet Socialist Republics in December 1922. (Putin’s blaming of the three Soviet leaders was as follows: Lenin for ignoring the Russian majority population in the Donbass and thus “giving” the Donbass to Ukraine; Stalin for “giving” the eastern part of Poland after World War II to Ukraine, and Khrushchev who “for whatever reasons” decided in 1954 to transfer the Crimea to the Ukraine.)
There is often very little understanding among many, especially young, people about the ideology behind the creation of the Soviet Union. In an otherwise good article recently published in the “National Interest”, Mark Katz rejects Putin’s critique of Lenin by arguing that “instead of blaming Lenin, Putin should draw lessons from Lenin’s realization that a more accommodative approach toward Ukrainian nationalism would better serve Russia’s long-term interests”.
This point however shows marked lack of understanding by Katz of the forces that led to the creation of the Soviet Union, in addition to imputing Lenin to have been concerned with “Russia’s [sic!] long-term interest” - a statement that only people unfamiliar with Lenin’s ideology and writings could make. But let us go back to the creation of the Soviet Union. The most important person behind the creation of the Union was Stalin, not Lenin. Stalin, as is well known was the People’s Commissar for Nationalities, and was, within the Bolshevik leadership the person in charge of nationality questions, including obviously the creation of a new Union composed of ethnically-based republics. (At the creation there were six republics: RSFSR, Ukraine, Byelorussia, and the Transcaucasian Federation composed of Georgia, Armenia and Azerbaijan.) Here is what Stalin said about the creation of the Union:
Finally, there is a third group of facts, which also call for union and which are associated with the structure of the Soviet regime, with the class nature of the Soviet regime. The Soviet regime is so constructed that, being international in its intrinsic nature, it in every way fosters the idea of union among the masses and itself impels them to take the path of union. Whereas capital, private property and exploitation disunite people, split them into mutually hostile camps, examples of which are provided by Great Britain, France and even small multi-national states like Poland and Yugoslavia with their irreconcilable internal national contradictions which corrode the very foundations of these states** whereas, I say, over there, in the West, where capitalist democracy reigns and where the states are based on private property, the very basis of the state fosters national bickering, conflicts and struggle, here, in the world of Soviets, where the regime is based not on capital but on labour, where the regime is based not on private property, but on collective property, where the regime is based not on the exploitation of man by man, but on the struggle against such exploitation, here, on the contrary, the very nature of the regime fosters among the laboring masses a natural striving towards union in a single socialist family. (my emphasis)
Very similar statements are repeated in several publications, speeches and interviews that Stalin gave at that time. The links are here and I would suggest that people read at least some of them. For my purpose here, the key thing to understand is that the ideology behind the creation of the Union was not whether that Union, with the Ukraine defined one way or another, would be more or less stable at Katz implies, but that the Union is simply the reflection of the end of national and class contradictions that come with the socialist revolution. It is thus a “natural” striving of peoples liberated from under the rule of capital, and the most important point it is therefore open for all other parts of the world that, sooner or later, may also become free. The USSR was envisaged not as a finished state, but as an open-ended state that would grow as socialism spreads to the extent of including within it all European, and perhaps even all countries in the world.
To make this union more attractive, the open-endedness was not only in accepting the new countries, but in allowing those that are included to leave. Thus “the character of the union should be voluntary, exclusively voluntary, and every national republic should retain the right to secede from the Union. Thus, the voluntary principle must be made the basis of the Treaty on the Formation of the Union of Soviet Socialist Republics”. Here the point is made by Stalin, but Lenin, as is well-known, insisted on that double open-endedness even more.
Consequently, it is not the political stability of what then constituted the USSR that was of paramount importance to its Bolshevik founding fathers but its openness. This is a point on which Lenin, Trotsky, Stalin and the entire leadership were in full agreement. The new federated Soviet Union was not the end- formation, but the beginning-formation. The Bolsheviks expected the success of the revolution in Germany, Austria and Hungary any time. Thus they expected that these new Soviet republics (as they indeed called themselves) would ultimately join them in a federated state even if they were defeated for now. It is notable that the USSR has no geographical denomination in its name. When the United States of America were created (in a somewhat similar fashion like the USSR) the founding fathers did include a geographical limit in its name. Not so the Union of Soviet Socialist Republics.
It is then fully understandable that Mao Zedong proposed in 1949 to Stalin that China join the USSR (Stalin, after some reflection, rejected the idea). It was a “normal” view entertained by many communists world-wide. When the communist revolution won in Yugoslavia, many people there thought that the next step would be the accession to the Soviet Union. I recall my father’s friends in 1960s in their conversations talking of believing in the 1940s that Yugoslavia would immediately apply to become another republic of the USSR.
Perhaps for today’s generations that know very little about the communist ideology and the forces that led to the creation of the USSR, this may be difficult to grasp, but it would help to think by analogy: if instead of the USSR they think of the European Union. The EU is a similar supra-national and ideological creation, and it is at present thought “natural” in many parts of Europe to believe that countries will ultimately “accede” to that Union. It was likewise thought “natural” among the communists that, as individual countries became free, they would “accede” to the Soviet Union.
One can think of at least two other historical precedents when ideological homogeneity was thought sufficient to trump over all other allegiances including national. The first precedent is the Christian empire that was thought indissoluble and one. The emperor in Constantinople was thus shocked when the Pope decided to bestow the crown on Charlemagne and create yet the second Christian emperor. It was thought inconceivable that Christians would have two different empires since they were all just that: Christians. Another example is Islam where too, at the origin, it was believed that all Muslims, anywhere in the world, would be united into a single political union, the khalifate. That too rather quickly evaporated. But as in the case of communism and the Soviet Union, it is important to understand the ideological motives of the founders and not to ascribe to them the goals that seem reasonable to us now, but that they simply did not have at the time.
There can be few leaders whose reputation at home differs so widely from his reputation abroad as the last leader of the Soviet Union, Mikhail Sergeevich Gorbachev, who died on Monday aged 91. Hailed as a hero in the West for ending the Cold War, liberating the people of Eastern Europe, and bringing democracy and freedom to the nations of the former Soviet Union, he is reviled in Russia as a man who inherited a superpower and then destroyed it, leaving it dismembered and impoverished.
Of peasant stock, Gorbachev grew up in the Stavropol region of Southern Russia and aged only 17 won the Order of the Red Banner of Labour for his success in harvesting grain with his father. A clever and hard working student, he won a place at Moscow State University where he studied law before taking up a career in the Communist Party of the Soviet Union (CPSU). He then rose rapidly up the party’s ranks until in 1985 he assumed the position of General Secretary and as such become the Soviet Union’s de facto leader.
In all these ways, he was a typical party functionary. He differed, though, from the generation of leaders who had gone before him, all of whom had had direct experience of the revolutions of 1917 and of the Second World War. Gorbachev was one of those who were called “Children of the Twentieth Party Congress”—that is to say, communists whose view of the world was shaped by the party congress of 1956 at which Nikita Khrushchev delivered his famous ‘Secret Speech’ denouncing Stalin.
The Children of the Twentieth Party Congress believed in communism—in state control of the means of production, in central economic planning, in the social guarantees granted by the Soviet constitution, in the Soviet Union as a genuine ‘brotherhood of nations,’ and so on. But at the same time, they felt that the system was not living up to its promise. They believed that Stalinism had over-centralized and over-bureaucratized Soviet society, stifling initiative, breeding corruption, and creating a severe disconnect between the claims of Soviet propaganda and the realities on the ground. The solution, they felt, was to return to “Leninist norms,” whatever those might be, and thereby put the USSR back on track to a bright communist future.
On reaching the pinnacle of Soviet power, Gorbachev thus sought not to dismantle the system but to make it function more efficiently. As he told the 27th Congress of the CPSU in 1986, “Our goal is to realize the full potential of socialism. Those in the West who expect us to renounce socialism will be disappointed. We’re not going to give up on socialism. On the contrary, we need more socialism.”
Gorbachev’s problem was that he had very little idea how to do this as well as a faulty understanding of the underlying causes of the USSR’s social and economic difficulties.
In particular, Gorbachev’s grasp of economics was sketchy. He firmly believed in the communist economic model, writing in his 1987 book Perestroika that “Socialism and public ownership, on which it is based, hold out virtually unlimited possibilities for progressive economic processes.” He was therefore unwilling to touch the fundamentals of the Soviet system – state ownership and central planning. Instead, he tinkered with the economy by attempting to meld state planning with certain attributes of free markets in accordance with the ideas of what was called “market socialism.” In this, state ownership and the plan were retained, but enterprises gained more autonomy to determine production and were allowed to keep and reinvest some of their profits.
Market socialism proved a disaster. Instead of making enterprises more efficient, the introduction of market elements simply undermined the few advantages that planning provided. Given the failure of this policy, there were two options left: give up and go back, or press on and move towards a free market economy, or at least some sort of mixed market system. Gorbachev did neither. Going backwards would have been an admission of failure. Moving forward was ideologically beyond him. Instead, he dithered while the economy gradually collapsed around him.
As this happened, Gorbachev looked for someone to blame and his gaze fell upon conservative members of the CPSU, who he believed were deliberately sabotaging his reforms. In typical Russian fashion, his solution to this was to centralize authority in his own hands. This he did by stripping the CPSU of its power and concentrating it in a newly created executive position, that of President of the USSR, a position that Gorbachev then occupied.
Arguably, Gorbachev’s attacks on the party made things worse rather than better, for the party was the primary mechanism that kept the Soviet system functioning more or less smoothly. The more Gorbachev bypassed and undermined the party, the more authority it lost, the less people did as the plan demanded, and the more the system unraveled into anarchy.
In all this, Gorbachev revealed a considerable naivety. To accompany political and economic reform, which went by the name perestroika, he declared a need for more openness (glasnost). Censorship was relaxed and eventually abolished. It would appear that Gorbachev sincerely believed that if given their freedom, the Soviet people would use it in a constructive way, helpfully pointing out problems so that they could be addressed, but not challenging the authorities in the process. This is not what happened. Instead of constructive suggestions, the Soviet people used their new found freedom to publish revelations of the past crimes of the communist state, to attack the country’s leaders, and to demand ever more radical change. The more people learnt about their country’s past and about enormous social problems it was experiencing in the present, the more the system lost its legitimacy. Rather than strengthening the state, glasnost fatally weakened it.
Another failing was that Gorbachev totally misread the mood of many of the minority nationalities within the Soviet Union. In a 1987 speech marking the 70th anniversary of the October Revolution, he declared the nationalities problem “solved.” Nothing was further from the truth. Soviet peoples used the freedom Gorbachev gave them to demand more national autonomy and in the case of the three Baltic states to demand independence. In other cases, minority nationalities sought to increase their own power and territory at the expense of other minorities. Visiting Armenia following a devastating earthquake in December 1988, Gorbachev was shocked to find that locals wanted to speak not about the earthquake but about the status of the disputed territory of Nagorno-Karabakh (under Azeri control, but claimed by the Armenians). By the time Gorbachev woke up to the seriousness of the Soviet Union’s ethno-national problems it was too late. As central authority collapsed, local elites decided that the best way of preserving their authority was to leap on the nationalist bandwagon. The rest, as they say, is history.
In the eyes of Westerners, Gorbachev’s greatest achievement was to bring an end to the Cold War. The Soviet leader believed that successful reform at home was impossible as long as the USSR was locked in an existential geopolitical struggle with the West. It was therefore necessary to make peace. To this end, he made it clear that the Soviet army would not intervene to prop up the communist regimes in Eastern Europe, each of which fell in turn in rapid succession in 1989. Beyond that, Gorbachev agreed to accept German reunification and to withdraw the Soviet army from Eastern Europe. With this, Soviet-Western relations quickly changed from mutual hostility to something akin to friendship.
More than anything else, this explains the adulation Gorbachev received in the West. Many Russians, though, view the matter very differently, asking themselves what Gorbachev got in exchange for surrendering the Soviet’s empire in Eastern Europe. Most importantly, they note that he failed to get a written guarantee that NATO would not expand eastwards. Historians disagree as to whether NATO leaders gave verbal promises in this regard, but it is certain that nothing was ever put on paper. Rarely has somebody given up so much and got so little in return. The sense of bitterness that resulted has soured Russian-Western relations ever since.
Here again, Gorbachev’s naivety reveals itself. Gorbachev spoke of “Europe from the Atlantic to the Urals,” and commented that “Europe is our common home.” But his vision was never that the Soviet Union, or later Russia, should be reduced to a subordinate status within a Europe dominated by NATO. Rather, he envisioned NATO and the Soviet-led Warsaw Pact disappearing and being replaced by a new security architecture in which the Soviet Union and Western states would be equal partners. Gorbachev seems to have imagined that if the Soviets dismantled their Cold War infrastructure, the West would do the same. But the West never had any intention of doing such a thing. In the eyes of Gorbachev’s Russian critics, he was, simply put, a dupe.
Mikhail Gorbachev meant well. An idealist, he believed in communism’s humanist potential. Realizing that communism’s practice fell short of its promise, he sought to do something about it. In the process, he unleashed hidden forces that destroyed the system he hoped to revive. For better or for worse, we are still living with the consequences today.
Paul Robinson is a professor in the Graduate School of Public and International Affairs at the University of Ottawa and a Senior Fellow at the Institute for Peace and Diplomacy. He is the author of numerous works on Russian and Soviet history, including Russian Conservatism, published by Northern Illinois University Press in 2019.
When I received a call this morning from Turkish public television TRT asking that I comment on the death of Mikhail Gorbachev in a live broadcast, the first thought which came to mind was the ironic remark of Soviet intellectuals on the place of leading personalities in history: “there is nothing as changeable and unpredictable as the past.”
Of course, this notion is applicable everywhere, not just to Soviet history and personalities. Indeed, history is always being reinterpreted in light of current developments. As I commented in my interview, the achievements and failures of Gorbachev in power must now be reevaluated in light of the ongoing Russia-Ukraine war, which is the largest and most dangerous military conflict on the European continent since 1945.
This war follows directly from the break-up of the Soviet Union, which Gorbachev failed to prevent, though he did his best. Indeed, in the spring of 1991 he oversaw a referendum on the issue and won support from the population for continuation of the USSR. However, his playing off the right and left forces within the Politburo and within the Party at large over a number of years, the deceptions he practiced to get his way, finally caught up with him and laid the way in the summer of 1991 for the Putsch by rightists intent on restoring Soviet orthodoxy, which in turn so weakened Gorbachev that he was easily pushed aside by Boris Yeltsin. Destruction of the Union was Yeltsin’s instrument for achieving the complete removal of Gorbachev from power and setting out on a course of economic reform and de-Communization that was anathema to the leaders of the more conservative Soviet republics.
As we now know, the break-up of the USSR released pent-up animosities within and between the successor states, which had in each substantial ethnic minorities, in particular Russian-speakers, who numbered more than 25 million outside the boundaries of the Russian Federation in 1991. This was the largest such dispossessed ethnic community from the disintegration of empire in history, and its existence did not augur well for tranquility in Eurasia, from the Baltics, to the Caucasus, to Central Asia.
The collapse of the Soviet Union also touched off a very unhealthy wave of national excitement in the United States. It was now the sole surviving superpower, unchecked by any rivals. Fueled by hubris, Washington elites set course on remaking the world through a succession of military interventions and full-fledged wars abroad that has gone on for close to 30 years. Failures in these military missions led to ever greater concern to “contain” any and all possible competitors on the world stage. In practice, this meant containment first and foremost of Russia as it recovered economically and politically in the first decade of the new millennium. And this, expressed in terms of NATO expansion, is what brought us to the present conflict over Ukraine.
In that regard, I direct attention to Gorbachev’s greatest failure which resulted not from the conspiracies of his compatriots but from his own peculiar naivete in his dealings with the United States, meaning with Reagan, with Bush and their minions. The man who had shown such cunning in outfoxing his Politburo colleagues was completely outfoxed by his American and European interlocutors. Had he been more cautious to protect Soviet-Russian interests, he would have demanded and likely received much better terms of compensation for the withdrawal of Soviet forces from all of Eastern Europe and disbanding the Warsaw Pact. Had he been less gullible and more realistic, he would have demanded written treaties setting in concrete the prohibition of NATO expansion to the East and, or, he would have left Soviet garrisons in each of these states to ensure compliance. As it was, the Americans who gave him verbal assurances knew full well that they were meaningless and were perplexed at the Kremlin’s failure to defend strategic national interests.
These are the sins which patriotic Russians hold against Gorbachev today, even as they acknowledge his astonishing feats in freeing Soviet citizens from the totalitarian yoke of the past through glasnost and perestroika.
Of course, it is an open question whether a democratic Soviet Union could have long survived. The economy was hopelessly mismanaged and the entire legacy of Soviet legislation rendered it virtually impossible to escape from violence or the threat of violence to make things work. This is a point over which historical debate will continue for many decades to come.
For today’s interview, see https://www.youtube.com/watch?v=NVz4QGouoFQ
One of the Soviet propaganda posters promoting the collectivization of agriculture in the 1930s. On the lower right, you can see a small man opposing the line of the marching peasants, He is recognizable as a "Kulak," one of the local independent farmers who were dispossessed and partly exterminated to leave space for collectivized farms, considered more efficient. There exist several similarities between the fall of the Kulaki and the current "Great Reset" that sees the destruction of a number of economic activities, such as retail commerce, seen as inefficient in comparison to modern electronic commerce.
In the 1930s, the Soviet Union carried out the "dekulakization" (раскулачивание) of Ukraine. It was the term given to the removal of the relatively wealthy, independent farmers ("kulaki"), to be replaced by collective farms. Their properties were confiscated, many of them were relocated to remote regions, and some were exterminated. We don't know the exact numbers, but surely we are in the range of a few million people. The transition to collectivized farms may have been one of the causes of the great Ukrainian famine of the early 1930s, known as the "Holodomor,"
The reasons for the dekulakization are several. In part, they were related to the belief that large-scale, centrally planned enterprises were the most efficient way to organize production. Then, the Kulaki were seen as a potential enemy for the Soviet Government, while the region they occupied was a strategic asset in terms of food production in an age when famines were an effective war weapon.
But these considerations are not enough to explain why the Kulaki were so ruthlessly destroyed in just a few years. It was, rather, just a simple power game: the Soviet Government aimed at controlling all the means of production of the state. It couldn't tolerate that an important section of the economy, food production in Ukraine, was independently managed. And so it intervened with all the might that the state apparatus could muster.
The most interesting part of this story is how the removal/extermination was not just a result of the military might of the Soviet Government. It was an early example of a successful propaganda-based demonization campaign. The Kulaki were consistently portrayed in the media as inefficient and unreliable "enemies of the people." Once it was established that an independent farmer was an enemy of the people, then any attempt to defend the Kulaki would automatically turn defenders into enemies of the people. So, the Kulaki were completely overwhelmed, unable to organize any kind of collective resistance. The best they could do was some degree of passive resistance, for instance by hiding food rather than delivering it to the Soviet authorities. Of course, propaganda exploited that to reinforce the message that they were, indeed, enemies of the people. This is the way propaganda works.
At this point, I guess you understand the point I am making: the similarity of the current situation with the dekulakization of nearly a century ago. Also this time, an entire sector of the economy (actually more than one) is being crushed to leave space for different economic entities, believed to be more efficient with providing the same services: mainly the "new economy" of the Silicon Valley companies. This shift is sometimes called "The Great Reset." An appropriate name that could also be applied to the dekulakization.
The first victim of the Great Reset has been retail commerce. Mom and pop shops everywhere are the modern Kulaki, replaced by the onward marching militias of virtual commerce under the Amazon banner. But also franchises and shopping malls have been badly hit. It is impressive how nobody in the field dared to oppose the destruction of the source of their livelihood -- they were overwhelmed just like the Kulaki.
Other victims are waiting for the axe: Universities and schools are going to be defunded, obsolete against the onrush of e-learning. Public transport has become nearly useless with the triumph of virtual work and the fear of boarding a crowded bus: it will be replaced by the smart cars and using AI software. Mass tourism and mass air travel are already relics of the past, resources that can be saved and used for other purposes. And the pervasive control of everyone is advancing: now just as at the time of the Soviet Union, those who control the message control everything. In comparison with Soviet times, the modern propaganda effort is similar. Most propaganda is based on demonizing someone and, today, the targets are labeled as "deniers" (once "enemies of the people").
All that doesn't mean that the Great Reset was planned in advance, nor that the virus was manufactured on purpose. It simply means that the various actors in the economic arena saw how they could gain an advantage by acting in a certain way, and they did. These large organizations do not really plan in advance, they have no "brain," but -- like amoebas -- they move in the direction of the food they need.
Of course, the Silicon Valley Companies of our times are not the same thing as the Soviet Government of the 1930s. But there are similarities. Those companies that dominate the management of information on the Web operate very much Soviet-style: they are large, pyramidal organizations, often dominated by a charismatic leader (Zuckerberg, Gates, Bezos, etc.). In terms of size and planning style, they are not different from the People's Commissariat for Agriculture (Народный комиссариат земледелия) (Narkomzem), established in 1917, the entity that carried out the dekulakization. And they reason mainly in terms of power balance: they don't like and they don't tolerate competition.
The difference is that the Narkomzem was part of the state, whereas the Silicon Valley companies are not. They do control large swats of the American government but, on the whole, they are best seen as feudal lords. You can call them "Web Barons."
The current situation looks not unlike when King John of England signed the Magna Carta at Runnymede in 1215, forced to do so by England's Barons. Right now, the US government seems to be overwhelmed by the Barons of the Web, not unlike King John of England was. At least, when you hear that Twitter can cancel the account of the President of the United States, then you understand who is the boss.
And here we stand: we are seeing a classic situation in history: a central government being challenged by feudal lords. It is typical of when a state starts its downward path toward collapse, it is what's happening with the Western Empire. So, what's going to happen, now? Can history serve as a guide for us?
History, we know, always rhymes, but never repeats itself. In the 1930s, the Kulaki were destroyed by superior powers and that was the end of the story. Today, the situation is much more fluid.
For one thing, there is not a single, monolithic entity involved. We have several Barons who temporarily found a common goal, but which are potentially in conflict with each other. Then, the US government is not so weak yet. It still controls (and is controlled by) the military, and that's the crucial element that may change many things.
It is not clear what the military think of the current situation. Probably they don't have special objections about the elimination of retail commerce and other obsolete economic activities. But they also understand who is paying them: they get their money not from the Web Barons, but from the Government. And they may decide to do something to avoid going the same way as mom and pop shops. A few tanks in front of the Capitol Building would send a much clearer message to the Web Barons than that conveyed by a half-naked, horned shaman.
If the government is backed by a credible military force, then it would be possible to reduce the power of the monopolies of the Web: Facebook, Google, Microsoft, and the others could be nationalized and/or broken down into less powerful entities. On the other hand, nothing prevents the Web Barons from building up their own military forces. Fluid situation, indeed.
The only sure thing is that the decline of the West is ongoing. There is little that can be done about that.