COERCION OR PERSUASION?

Abstract

From 1961 to 1963, an interagency debate took place within the Kennedy administration as to whether to use persuasion or more coercive means in order to multilateralize nuclear safeguards, that is, to make the International Atomic Energy Agency (IAEA) the administrator of safeguards on bilateral nuclear exports from the United States. Persuasion as a general rule was deemed preferable, in order to make the many states that had misgivings about IAEA safeguards accept multilateralization. The coercion-persuasion debate followed years of trying to establish a "common front" among Western nuclear suppliers with regard to nuclear safeguards. Disagreement about the intrusiveness of the system proved a major obstacle, but eventually a common position reflecting the need to take international opinion into consideration was agreed. The adoption of the first IAEA safeguards document in 1961 created for the first time a common standard for the application of safeguards. This was a prerequisite to the U.S. policy of transferring to the IAEA the administration of safeguards on bilateral nuclear agreements. The resulting multilateralization of safeguards laid the groundwork for the IAEA to become the universal safeguarder in connection with the Treaty on the Non-Proliferation of Nuclear Weapons-an unforeseen outcome, since at the outset, IAEA safeguards were perceived as a "holding operation" while waiting for a disarmament agreement.

Keywords:

• Nuclear safeguards
• multilateralization
• IAEA
• United States

Notes

1. Lawrence Scheinman, The International Atomic Energy Agency and World Nuclear Order (Washington, DC: Resources for the Future, 1987), p. 36.

2. David Fischer, History of the International Atomic Energy Agency: The First Forty Years (Vienna: IAEA, 1997), p. 251.

3. For a discussion of what motivated the change in Soviet safeguards policy, see ibid., pp. 251-52.

4. Scheinman, The International Atomic Energy Agency, p. 267.

5. See Fischer, History of the International Atomic Energy Agency, especially ch. 8; Scheinman, The International Atomic Energy Agency and World Nuclear Order, especially ch. 4; A. McKnight, Atomic Safeguards: A Study in International Verification (New York: UN Institute for Training and Research, 1966); P.C. Szasz, The Law and Practices of the International Atomic Energy Agency (Vienna: Legal Series No. 7, IAEA, 1970), especially ch. 21; Astrid Forland, "Negotiating Supranational Rules: The Genesis of the International Atomic Energy Agency Safeguards System," Ph.D. diss., University of Bergen, 1997; Mason Willrich, ed., International Safeguards and Nuclear Industry (Baltimore: Johns Hopkins University Press, 1973).

6. Article XII of the statute contains the principal safeguards provisions. These include review of design, operating records to account for the use of nuclear fuel and fissile materials, inspections, and sanctions in the event of noncompliance.

7. Atomic Energy Act of 1954, Public Law 703, 83rd Congress. See Corbin Allardice and Edward R. Trapnell, The Atomic Energy Commission (New York: Praeger Publishers, 1974), p. 44; William Walker and Mns Lnnroth, Nuclear Power Struggles: Industrial Competition and Proliferation Control (London: George Allen & Unwin, 1982), pp. 9-10.

8. Scheinman, The International Atomic Energy Agency and World Nuclear Order, p. 22; "Minutes of Meeting on Atomic Energy," September 22, 1955, Lot-files, Bureau of European Affairs, Office of Atlantic Political and Economic Affairs: Records relating to atomic energy matters, 1956-1963, box 4, folder "Background Data," National Archives, College Park, Maryland, United States (hereafter NA).

9. George T. Mazuzan and J. Samuel Walker, Controlling the Atom: The Beginnings of Nuclear Regulation 1946-1962 (Berkeley: University of California Press, 1984), p. 59.

10. This was a key point in India's criticism of IAEA safeguards. See George Perkovich, India's Nuclear Bomb: The Impact on Global Proliferation (Berkeley, California University Press, 1999), p. 29.

11. The nuclear energy agreements of 1955 between Canada and the United States are illustrative. While Canada guaranteed that any U.S. supply would only be used for peaceful purposes, the United States was free to use Canadian supply for military purposes. In fact, the Canadians saw their assistance to the U.S. and U.K. weapons programs as a contribution to their own defense as well as that of their allies. See Brian Buckley, Canada's Early Nuclear Policy: Fate, Chance, and Character (Montreal and Kingston: McGill-Queen's University Press, 2000), pp. 125-28.

12. Philip J. Farley, "Safeguards," confidential paper, December 7, 1957, General Records (hereafter GR), Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

13. Philip J. Farley, "Safeguards," confidential paper, December 7, 1957, General Records (hereafter GR), Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

14. See, for instance, attachment to office memorandum of July 10, 1958, from J. Robert Schaetzel to Philip J. Farley, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

15. Fischer, History of the International Atomic Energy Agency, pp. 75-76.

16. Scheinman, The International Atomic Energy Agency and World Nuclear Order, pp. 34-35.

17. Fischer, History of the International Atomic Energy Agency, p. 76; Mark Imber, "Mitrany's Functionalism, the International Atomic Energy Agency, and the Development of Safeguards Against the Proliferation of Nuclear Weapons, 1945-1975," Ph.D. diss., Southampton University, ch. 5; Scheinman, The International Atomic Energy Agency and World Nuclear Order, p. 35. For a general analysis of the problems faced by the first IAEA director general, Sterling Cole, see Allardice and Trapnell, The Atomic Energy Commission, pp. 203-207.

18. Scheinman, The International Atomic Energy Agency and World Nuclear Order, p. 36.

19. Forland, "Negotiating Supranational Rules," pp. 58-60.

20. "Draft Statute of the International Atomic Energy Agency: Points at Issue," Foreign Office (FO) 371/123081, National Archives, Kew, United Kingdom; Szasz, The Law and Practices, p. 539.

21. "International Atomic Energy Agency: Brief for 12-Power Meeting," FO 371/123078, National Archives, Kew, United Kingdom; see also Forland, "Negotiating Supranational Rules," pp. 58-60.

22. Forland, "Negotiating Supranational Rules," pp. 58-59.

23. Office memorandum of August 16, 1956 from Helmut Sonnenfeldt to J. Robert Schaetzel; Memorandum of conversation of September 24, 1956, both in GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1956, part 1 of 2, NA.

24. Bertrand Goldschmidt, Le complexe atomique: Histoire politique de l'nergie nuclaire [The Atomic Complex: A Political History of Nuclear Energy] (Paris: Fayard, 1980), p. 123. Forland, "Negotiating Supranational Rules," p. 67.

25. When talks on a Canadian sale of natural uranium to France resumed in the spring of 1957, the French were willing to accept Canadian control if Canada would sell at a lower price than was asked for unsafeguarded uranium. The Canadians refused to sell to the French on these terms; see Goldschmidt, Le complexe atomique, pp. 299-300.

26. Memorandum of conversation of September 9, 1957, regarding "Approach to South Africans on Institution of Safeguards on Sale of Raw Materials," GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA. For an overview of South Africa's safeguards policy, including its opposition to safeguards on the exports of natural uranium, see Gabrielle Hecht, "Negotiating Global Nuclearities: Apartheid, Decolonization and the Cold War in the Making of the IAEA," Osiris 21 (2006), pp. 25-48.

27. Letter of October 1, 1957 from Robert M. Winfree to Richard C. Breithut; telegram of October 2, 1967 from Department of State to U.S. Embassy, Vienna; letter of October 15, 1957 with enclosure from Richard C. Breithut to Robert Winfree, all in GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

28. Memorandum of conversation, October 10, 1957, enclosed to letter of October 15, 1957 from Richard C. Breithut to Robert M. Winfree, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA. Memorandum of conversation, December 17, 1957, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, box no. 219, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

29. Quoted from letter of February 11, 1957, from Lewis Strauss to John Foster Dulles, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

30. Letter of February 20, 1957, from John Foster Dulles to Lewis Strauss, GR. Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

31. Susanna Schrafstetter and Stephen Twigge, Avoiding Armageddon: Europe, the United States, and the Struggle for Nuclear Nonproliferation, 1945-1970 (London: Praeger, 2004), pp. 75-76.

32. Letter of February 20, 1957, from John Foster Dulles to Lewis Strauss, NA.

33. "Draft Submission to Ministers: Safeguards against Diversion to Military Purposes of Nuclear Materials and Equipment Supplied to Overseas Countries for Peaceful Purposes," December 17, 1958, FO 371/140593, National Archives, Kew, United Kingdom.

34. "Proposed IAEA Program for Safeguards," January 31, 1957, enclosure to memorandum of January 31, 1957, from Gerard C. Smith to John A. Hall, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

35. "Proposed IAEA Program for Safeguards," January 31, 1957, enclosure to memorandum of January 31, 1957, from Gerard C. Smith to John A. Hall, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

36. R.G. Hewlett and J.M. Holl, Atoms for Peace and War: Eisenhower and the Atomic Energy Commission (Berkeley: University of California Press, 1989), p. 439.

37. Farley, "Safeguards," confidential paper, December 7, 1957, NA.

38. Bernhard G. Bechhoefer, Postwar Negotiations for Arms Control (Washington, DC: Brookings Institution, 1961), p. 587.

39. Bernhard G. Bechhoefer, Postwar Negotiations for Arms Control (Washington, DC: Brookings Institution, 1961), p. 587.

40. Bernhard G. Bechhoefer, Postwar Negotiations for Arms Control (Washington, DC: Brookings Institution, 1961), pp. 407, 65.

41. See Schrafstetter and Twigge, Avoiding Armageddon, pp. 89-91.

42. John Simpson, The Independent Nuclear State: The United States, Britain and the Military Atom (New York: St. Martin's Press, 1983), p. 128.

43. Quoted in Bechhoefer, Postwar Negotiations, p. 444.

44. Quoted in Bechhoefer, Postwar Negotiations, pp. 444-445.

45. Saki Dockrill, Eisenhower's New-Look National Security Policy, 1953-61 (New York: St Martin's Press, 1996), p. 216.

46. Quoted in J. Robert Schaetzel to Philip J. Farley, "Preliminary Analysis of the British Paper on Safeguards," attachment to office memorandum of July 10, 1958, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA; "Safeguards on Nuclear Exports: Five-Power Discussions, London," February 26, 1958, FO 371/140594, National Archives, Kew, United Kingdom.

47. See, for example, Schaetzel to Farley, "Preliminary Analysis of the British Paper on Safeguards," NA; see also Bernhard G. Bechhoefer, "Historical Evolution of International Safeguards," in Mason Willrich, ed., International Safeguards, pp. 33-34.

48. Gunnar Skogmar, The United States and the Nuclear Dimension of European Integration (Basingstoke: Palgrave Macmillan, 2004), p. 253.

49. For details, see ibid., pp 186-252.

50. For details, see ibid., p. 248.

51. Hewlett and Holl, Atoms for Peace, p. 441.

52. Hewlett and Holl, Atoms for Peace, p. 441.

53. Hewlett and Holl, Atoms for Peace, p. 441.

54. "Memorandum for the Acting Secretary," May 6, 1958, from Richard C. Breithut, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, Lot 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 3 of 3, NA.

55. Foreign Relations of the United States (FRUS), 1958-60, vol. VII, part 1, no. 22, see footnote; letter of May 9, 1958, from Michael I. Michaels to Donald S. Cape, FO 371/135517, National Archives, Kew, United Kingdom.

56. Letter of May 15, 1958 from Cole to Eisenhower, FRUS, 1958-60, vol. VII, part 1, no. 20; see also Hewlett and Holl, p. 442.

57. Editorial note, FRUS, 1958-60, vol. VII, part 1, no. 24.

58. Editorial note, FRUS, 1958-60, vol. VII, part 1, no. 24.

59. Forland, "Negotiating Supranational Rules," pp. 86-89, 107-109; "Records Prepared by the Canadian Delegation of a Meeting ... to Discuss the Application of Safeguards to Nuclear Exports," GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

60. See Fischer, History of the International Atomic Energy Agency, p. 245; Scheinman, The International Atomic Energy Agency and World Nuclear Order, p. 75.

61. Skogmar, The United States and the Nuclear Dimension of European Integration, p. 256.

62. Telegram from U.S. Embassy, London, to State Department, October 4, 1957, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA.

63. See Fischer, History of the International Atomic Energy Agency, p. 246; McKnight, Atomic Safeguards, p. 46.

64. Telegram from U.S. Embassy, London, to State Department, October 4, 1957, NA; telegrams from U.S. Embassy, London, to State Department, November 20, 1957, and November 21, 1957, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1957, part 1 of 2, NA; see also Fischer, History of the International Atomic Energy Agency, p. 24.

65. "Records Prepared by the Canadian Delegation of a Meeting...," NA; Enclosure to office memorandum of November 14, 1958, from J. Robert Schaetzel to Mr. Cargo, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

66. "Records Prepared by the Canadian Delegation of a Meeting...," NA; Enclosure to office memorandum of November 14, 1958, from J. Robert Schaetzel to Mr. Cargo, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

67. "Records Prepared by the Canadian Delegation of a Meeting...," NA; Enclosure to office memorandum of November 14, 1958, from J. Robert Schaetzel to Mr. Cargo, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-1963, Lot no. 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

68. Memorandum from Philip Farley for Algie A. Wells, December 11, 1958, GR, Lot no. 57D688, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 12, Peaceful uses of atomic energy, H18 Safeguards, 1958, part 1 of 3, NA.

69. Memorandum of conversation February 17, 1959, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, Lot 57D68, 12, Peaceful uses of atomic energy, H18 Safeguards, January-March 1959, part 1 of 3, NA.

70. Records from Five-Power Discussions in London, February-March, 1959, FO 371/140594, National Archives, Kew, United Kingdom.

71. "Safeguards on Nuclear Exports," May 1959, FO 371/140596, National Archives, Kew, United Kingdom; see also "Safeguards on Nuclear Exports: Note of Meeting at Atomic Energy Office on February 20, 1959," FO 371/140595, National Archives, Kew, United Kingdom.

72. Records from Five-Power Discussions in London, February-March, 1959, National Archives, Kew.

73. Goldschmidt, Le complexe atomique, p. 302.

74. "Background Note," Henry DeWolf Smyth Papers: Collection Overview, American Philosophical Society.

75. Letter of September 5, 1961, with enclosures from Harlan Cleveland to Dean Rusk, see in particular the enclosed study by Henry D. Smyth, "Comments on the International Atomic Energy Agency," Central files, 398.1901-IAEA/9-561, NA; "Report of the Advisory Committee on U.S. Policy toward the International Atomic Energy Agency," May 19, 1962, enclosure to letter of July 5, 1962, from Woodruff Wallner to Dean Rusk, GR, Central files, 398.1901-IAEA/7-562, NA.

76. See Memorandum of conversation of May 1, 1962, Central files, 398.1901-IAEA/5-162, NA.

77. Perkovich, India's Nuclear Bomb, pp. 55-57.

78. Telegram of June 22, 1962, from State Department to Vienna, New Delhi, and Bombay, Central files, 398.1901-IAEA/6-2262, NA; telegram of August 23, 1962, from State Department to Vienna, Paris, London, New Delhi, and Bombay, Central files, 398.1901-IAEA/8-262, NA.

79. Telegram of June 22, 1962, from State Department, NA.

80. Memorandum for the secretary from Cleveland and Whitman regarding "U.S. Policy toward the International Atomic Energy Agency," GR, Lot-files, Bureau of European Affairs, Office of Atlantic Political and Economic Affairs: Records relating to atomic energy matters, 1956-1963, Box 3 /IAEA, NA.

81. Memorandum for the secretary from Cleveland and Whitman regarding "U.S. Policy toward the International Atomic Energy Agency," GR, Lot-files, Bureau of European Affairs, Office of Atlantic Political and Economic Affairs: Records relating to atomic energy matters, 1956-1963, Box 3 /IAEA, NA; telegram of October 31, 1962, from State Department to U.S. Embassy, Pretoria, Central files, 398.1901-IAEA/10-3162, NA.

82. Memorandum for the secretary from Cleveland and Whitman regarding "U.S. Policy toward the International Atomic Energy Agency," NA.

83. Memorandum for the secretary from Cleveland and Whitman regarding "U.S. Policy toward the International Atomic Energy Agency," NA.; Letter of May 1, 1962, from Deputy Undersecretary Alexis Johnson to Glenn T. Seaborg, GR, Special Assistant to the Secretary for Energy and Outer Space: Records relating to atomic energy matters, 1944-62, Lot 57D688, 12, Peaceful uses of atomic energy, H18 Safeguards, 1962-63, NA.

84. Memorandum of conversation of March 29, 1962, regarding discussions with the director general of the IAEA, Central files, 398.1901-IAEA/3-2962, NA.

85. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," Central files, 398.1901-IAEA/11-1362, NA.

86. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," Central files, 398.1901-IAEA/11-1362, NA.

87. Memorandum of October 25, 1962, Central files, 398.1901-IAEA/10-2562, NA.

88. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," NA.

89. Telegram of October 31, 1962 from State Department to U.S. Embassy, Pretoria, Central files, 398.1901-IAEA/10-3162, NA.

90. See also Scheinman, The International Atomic Energy Agency and World Nuclear Order, pp. 36-37.

91. Memorandum from Smyth to Cleveland, Rollefson, and Seaborg regarding "US Policy towards Safeguards Administered by the International Atomic Energy Agency," Central files, 398.1901-IAEA/11-1662, NA.

92. Memorandum from Smyth to Cleveland, Rollefson, and Seaborg regarding "US Policy towards Safeguards Administered by the International Atomic Energy Agency," Central files, 398.1901-IAEA/11-1662, NA.

93. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," NA.

94. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," NA.

95. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," NA.

96. Memorandum of November 13, 1962, from Charles W. Thomas to Dr. Rollefson regarding "Proposed Decision on United States Safeguards Policy," NA.

97. Letter of December 21, 1962, from Glenn T. Seaborg to Dean Rusk, Central files, 398.1901-IAEA/12-2162, NA.

98. Action memorandum of January 16, 1963, from Cleveland and Rollefson to Johnson regarding "US Policy on Safeguards to Prevent the Diversion of Nuclear Materials and Equipment from Peaceful to Military Uses," Central files, 398.1901-IAEA/1-1663, NA.

99. Action memorandum of January 16, 1963, from Cleveland and Rollefson to Johnson regarding "US Policy on Safeguards to Prevent the Diversion of Nuclear Materials and Equipment from Peaceful to Military Uses," Central files, 398.1901-IAEA/1-1663, NA.

100. Letter of December 21, 1962 from Glenn T. Seaborg to Dean Rusk, NA.

101. Brahma Chellaney, Nuclear Proliferation: The US-Indian Conflict (New Delhi: Orient Longman, 1993), p. 26.

102. Background paper No. 14, "Application of IAEA Safeguards to Transfer of Fissionable Material for Peaceful Purposes," Central files, 398.1901-IAEA/11-1661, NA.

103. See Memorandum for the Secretary from Cleveland and Whitman regarding "U.S. Policy toward the International Atomic Energy Agency," NA.