U.S. Nuclear Weapons Modernization - Security and Policy Implications of Integrating Digital Technology - Nuclear Threat Initiative
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U.S. Nuclear Weapons Modernization Security and Policy Implications of Integrating Digital Technology ERIN D. DUMBACHER PAGE O. STOUTLAND, PH.D NOVE M B E R 2020
NTI is a nonprofit, nonpartisan global security organization focused on reducing nuclear and biological threats imperiling humanity. The views expressed in this publication do not necessarily reflect those of the NTI Board of Directors or institutions with which they are associated. © 2020 Nuclear Threat Initiative This work is licensed under a Creative Commons Attribution- NonCommercial-NoDerivatives 4.0 International License.
Contents Acknowledgments.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ii Executive Summary .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1 Recommendations.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2 About this Report.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 Policy Context for U.S. Nuclear Modernization.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 PART 1: Digital and Advanced Tools in U.S. Nuclear Modernization. . . . . . . . . . . . . . 7 A Digital, Partially Automated Triad.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8 Nuclear Command, Control, and Communications: Full-Scale Modernization. . . . . . . 12 Bringing in Advanced Tools: New Process Automation and Machine Learning Applications.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13 Examples of New Automation or Machine Learning Tools.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14 PART 2: Benefits and Risks to Digitizing and Automating.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 The Need to Modernize.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Track Record for Weapons System Cyber and Supply Chain Security Is Wanting.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20 Cybersecurity Initiatives Lag Modernization’s Acquisitions Progress. . . . . . . . . . . . . . . . . . . . . 21 Accountability and Oversight Challenges of a Digital Modernization.. . . . . . . . . . . . . . . . . . . 23 Machine Learning Applications Add Complexity to Nuclear Modernization. . . . . . . . . 24 Additional Challenges: Balancing Integration with Entanglement.. . . . . . . . . . . . . . . . . . . . . . . . . 27 RECOMMENDATIONS: Confidence through Managing Trade-offs.. . . . . . . . . . . . . . . 29 Recommendation 1: Prioritize Digital Security and Reliability alongside Cost, Schedule, and Performance.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 30 Recommendation 2: Establish Tailored Test and Evaluation Controls .. . . . . . . . . . . . . . . . . . . 31 Recommendation 3: Consider the Implications of Digitization for U.S. Nuclear Policy and Posture.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 32 About the Authors.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35 Appendix.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Methodology.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Sample of Nuclear Modernization Programs.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37 Endnotes. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 38
ii ∞ U.S. NUCLEAR WEAPONS MODERNIZATION Acknowledgments The authors are grateful to Nuclear Threat We also thank members of NTI’s commu- Initiative (NTI) Co-Chair and CEO Ernest J. nications team—Carmen MacDougall, Moniz, President and COO Joan Rohlfing, Mimi Hall, and Deepika Choudhary, as well and Executive Vice President Deborah as Hillary Coggeshall—for their support in Rosenblum for their leadership on the developing this report. We thank Catherine important security issues raised in this Crary for her diligent work, and we appreci- report, and we thank the Smith Richardson ate support from NTI’s development team. Foundation for its support of this analysis. In the spring and summer of 2020, a We acknowledge the important guidance number of U.S. nuclear, defense, and cyber we received from members of NTI’s policy expert interviewees participated Scientific and Technical Advisory Group; in our research and offered important members Jill Hruby and James Gosler insights. We are grateful for their involve- also served as special consultants on the ment, which was crucial to the success project, providing indispensable expertise of this project, and reinforce that they are and counsel throughout. At NTI, we thank not responsible for, nor do they necessarily experts Lynn Rusten, Mark Melamed, endorse, these recommendations. and James McKeon for their input on Finally, the authors acknowledge the nuclear policy matters. Research and essential support of their partners and communications support from NTI interns childcare providers, without whom this David Bernstein and Melissa Robbins was work would not have been possible. fundamental to and animated our findings. Erin D. Dumbacher Senior Program Officer, Scientific and Technical Affairs, NTI Page O. Stoutland, Ph.D. Vice President, Scientific and Technical Affairs, NTI
Executive Summary A n expansive, complex undertaking planning tools, this U.S. nuclear weapons to modernize the United States’ recapitalization, like past modernizations, nuclear bombs and warheads, will be a product of its time. their delivery systems, and the command, Once the process is complete, the mod- control, and communications infrastructure ernized U.S. nuclear triad will rely on more around them is underway. It is a project digital components and will include limited that carries the potential for great benefits automation. Machine learning applications through an increase in digital systems will provide some essential functions and automation, as well as the addition of relevant to nuclear decision-making, machine learning tools into the U.S. nuclear and analog systems at or beyond their triad and the supporting nuclear weapons expected end of life will largely be replaced. complex. But it also is one that carries significant risks, including some that are In the recent past, the Departments of not fully understood. If it does not take the Defense and Energy have struggled to time to protect the new systems integrated respond to cybersecurity and supply chain with some of the deadliest weapons on threats to major weapons development earth from cyberattack, the U.S. govern- programs. In many cases, efforts to ment will be dangerously outpaced in its address cybersecurity have lagged behind ability to deter aggressors. the acquisitions process, creating chal- lenges for protecting against vulnerabilities Given the stakes, why take on new risks at in new or modified weapons systems. In all? The reason to integrate digital technol- addition, outside pressures often place a ogies into U.S. nuclear weapons systems is premium on meeting ambitious cost and clear: this is the first significant upgrade of schedule commitments, sometimes at the U.S. nuclear weapons systems in nearly 40 expense of performance and reliability, years, and the old systems need replacing. even in the face of evolving cybersecurity The most efficient way to update the full risks and challenges presented by new nuclear triad of bombers, submarines, tools such as machine learning. Risks to all and ground-based missiles, as well as the digital and machine learning systems are bombs, warheads, and command, control, myriad: attacker intrusions, lack of access and communications network, is to use to critical systems amid a crisis, interfer- today’s technology, including digital tools. ence with physical security systems that From digital displays on bomber aircraft protect nuclear weapons, and inaccurate to advanced early-warning sensors and data and information, among others. All machine-learning-enabled nuclear options 1
2 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION these risks, if not addressed, could under- as the United States has nuclear weapons, mine confidence in a nuclear weapon or they continue to be safe, secure, and related system. effective, it is important that as U.S. nuclear policies evolve, they take into account the Integrating new technologies with old is benefits and risks of digital and advanced a perpetual engineering challenge, but tools to the modernized nuclear deterrent. for the U.S. nuclear deterrent, it is one with implications that go far beyond the Recommendations significant risks posed by cyber threats This report provides three and digital malfunctions. Effective recommendations: nuclear deterrence requires confidence that nuclear forces will always be ready if 1. Prioritize digital security and needed but never be used without proper reliability alongside cost, schedule, authorization. and performance. In addition to these essential, traditional objectives If the new digital systems integrated into for developing weapons, program U.S. nuclear weapons are not protected managers must focus on ensuring that from escalating cyber threats, or if added digital systems perform as needed, automation cannot be trusted, the high including in the presence of a deter- confidence U.S. leaders (as well as adver- mined adversary, enabling confidence saries) place in nuclear weapons systems in the deterrent. Digital systems should will erode, undermining nuclear deterrence meet clearly established security and and, potentially, strategic stability. reliability thresholds before joining the nuclear enterprise. Given the multiple risks associated with today’s nuclear modernization program, NTI drew on open-source information, including budget requests, official state- R E C O M M E N D AT I O N S ments, and press reports, to determine Prioritize digital security how digital systems and automation are 1 and reliability alongside included in the nuclear weapons enterprise cost, schedule, and modernization and to develop recommen- performance. dations for military and civilian leaders in the Departments of Defense and Energy, Establish tailored as well as those in oversight roles in the 2 test and evaluation executive branch and Congress. controls. It is crucial—now, before it becomes an even more difficult task to secure the Consider the implications modern systems, and before they are 3 of digitization for U.S. deployed or operational—that the technical nuclear policy and risks posed by new technologies be recog- posture. nized and mitigated. To ensure that as long
NUCLEAR THREAT INITIATIVE ∞ 3 2. Establish tailored test and evaluation 3. Consider the implications of digi- controls. Digital systems present new tization for U.S. nuclear policy and testing and evaluation challenges, and posture. U.S. nuclear deterrence policies procedures must be in place to confirm are updated on a regular basis1 to that a system is ready for operational accommodate the current geopolitical use. This is especially critical for situation and other factors. As modern- high-consequence systems, first and ization proceeds in the coming decades, foremost the nuclear deterrent. U.S. nuclear policies, strategy, and force posture must take into account the implications of a digitized deterrent. About this Report This report explores the risks and benefits related to the modernization of U.S. nuclear weapons systems and addresses implications for the national security community to consider as the process moves forward. The report is divided into three parts: Part 1, drawing only on publicly available information, explores the scale and scope of the digitization and automation of the U.S. nuclear modern- ization drive. Part 2 addresses the need to balance the new technology’s risks against its benefits. Part 3 offers recommendations for managing the implications of adding digital, automation, or machine learning tools to U.S. nuclear weapons and related systems. This report does not comment on specific systems or the technical merits or limitations of bringing these new tools into the nuclear weapons complex. It is clear that modernizing nuclear weapons brings new burdens and opportunities related to maintaining the “always/never” commitment to launch only on a president’s legal order.2 Only through ongoing management of trade-offs—including cost, schedule, and cybersecurity concerns, among others—can a modern U.S. nuclear weapons system be safe, secure, and effective in the 21st century.
4 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION Policy Context for U.S. Nuclear Modernization Since developing nuclear weapons in floppy disks to networked systems.4 the 1940s, the United States has twice Modernization of delivery vehicles will upgraded its nuclear capabilities, first include the following upgrades in the 1960s and then in the 1980s, at or replacements: the height of the Cold War. Many of the The current sea-based leg of the nuclear weapons and related systems put into triad entered service between 1984 service in the 1980s are still in service. and 1997 and consists of 14 Ohio-class U.S. nuclear deterrence policy seeks to submarines carrying Trident D5 ballistic prevent a nuclear attack on the United missiles.5 At least 12 new Columbia-class States or its allies by ensuring that an submarines are expected to enter into adversary could not confidently destroy all service beginning in 2031 to replace the U.S. nuclear weapons in a first strike, and Ohio-class submarines.6 would therefore be subject to retaliation. The ground-based leg of the nuclear This policy is enabled by a diverse nuclear triad, the Minuteman family of ICBMs, force consisting of land-, air-, and sea- has been in service since 1962; the based delivery platforms. Submarines and 440 Minuteman III missiles currently the nuclear ballistic missiles they carry in service were first deployed in 1970.7 are recognized as the most survivable The Ground Based Strategic Deterrent leg of the triad, unlikely to be destroyed (GBSD) is expected to replace the in a first-strike attack. Ground-based Minuteman missiles beginning in 2028 intercontinental with a deployed force of 400. 8 The U.S. nuclear deterrent ballistic missiles Nuclear-capable bombers have been is in the process of a (ICBMs) are the in operation for over 50 years: the most responsive leg recapitalization effort that B-52H Stratofortress was first deployed of the triad—able to would take the strategic force in the 1960s, and the B-2A Spirit was be launched within deployed in 1994.9 The B-21 Raider is from an era of floppy disks to minutes—but also expected to replace those bombers; at the most vulnerable networked systems. least 100 new B-21s are slated to enter to a first strike. 3 service beginning in the late 2020s.10 Finally, nuclear-capable bombers are visible and flexible, enabling their use as signals to Additional modernization programs allies and adversaries. include a replacement for the air- launched cruise missile (the long-range The U.S. nuclear deterrent is in the process standoff weapon, slated for production of a recapitalization effort that would of roughly 1,000 missiles beginning take the strategic force from an era of
NUCLEAR THREAT INITIATIVE ∞ 5 in 2026), the dual-capable F-35A Joint detect and manage alerts of incoming Strike Fighter, and a guided tail kit for attacks.13 The systems include four airborne the B61 nuclear bomb to increase the command centers built in the 1980s, com- weapon’s accuracy. 11 munications satellites of varying vintage The communications systems within in orbit, ground-based sensors to gather new or refurbished delivery vehicles are and process incoming satellite data, and slated to be upgraded, along with the an Advanced Extremely High Frequency nuclear command, control, and communi- satellite communications system that cations systems. permits the National Security Council and the president to communicate with forces The National Nuclear Security “up to and through nuclear war.”14 Plans Administration (NNSA) within the U.S. for modernizing the command, control, Department of Energy is refurbishing aging and communications, and early-warning nuclear bombs and warheads: the B61 first system—collectively known as NC3—have entered service in 1968 and the W78 and yet to be finalized, but many of the existing W80 warheads were first deployed in 1979 systems date to 1970s designs and 1980s and 1981, respectively. Table 1 outlines 12 development.15 U.S. Strategic Command current U.S. nuclear forces and the mod- serves as the “enterprise lead” for the ernizations planned. modernization, filling a coordination gap among the military services responsible A complex system of command, control, for the air, space, and ground systems that communications, and early-warning keep all aspects of the triad connected to technologies permits operators to com- one another and to the president.16 municate with commanding officers and TABLE 1 Current U.S. Nuclear Forces and Planned Modernizations REPLACEMENT OR AGING SYSTEM(S) RE-FURBISHED SYSTEM(S) At sea Ohio-class submarines Columbia-class submarines On ground Minuteman III Ground Based Strategic Deterrent In the air B52 and B2 bombers; Air- B21 bombers; Long-Range launched cruise missile Standoff cruise missile Bombs & warheads B-61, W-76, W-78, W-80 B61 tail kit and refurbishment; warhead life extension programs Command, control, e.g., Advanced Extremely e.g., Evolved Strategic SATCOM communications High Frequency satellites
PART 1 Digital and Advanced Tools in U.S. Nuclear Modernization
8 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION A n extensive drive to modernize that the deterrent “must be modernized to the nuclear weapons enterprise remain credible.”19 Without an increase in is now underway in the United the size of the nuclear stockpile and with States. It is a decades-long process that plans to maintain levels of strategic forces includes refurbishments to bombs and compliant with the 2011 New Strategic Arms warheads, replacement delivery systems, Reduction Treaty (New START), leaders at and a new command and control infra- the Departments of Defense and Energy structure to permit enhanced communica- aim to modernize in such a way that the tion with decision-makers. Whereas these effort is a “largely one-for-one replacement upgrades—the first major nuclear system of the Cold War-era triad and stockpile.”20 upgrades undertaken since the 1980s—are New weapon delivery vehicles such as the intended to ensure a safer, more secure, Columbia-class ballistic missile submarine, and more effective deterrent, the modern the B-21 strategic bomber, and the GBSD process of digitizing and automating the are the centerpieces of this round of U.S. nuclear triad and command, control, and nuclear modernization, yet the broader communications systems also brings risks. effort will include upgrades to associated systems. Many of these systems are still in Nuclear systems long have included research and development phases and will some digital and semi-autonomous require extensive testing before they are systems, but the current round of mod- deployed. Public sources and unclassified ernization expands the use of digital and interviews with experts reveal that an automation components into the U.S. active, broad, and significant series of nuclear deterrence architecture. Nuclear software, hardware, and systems engineer- delivery vehicles, planning systems, and ing development efforts is underway.21 early-warning sensors all will receive new digital and automated tools.17 As the United A Digital, Partially States develops, procures, and transitions Automated Triad to new fleets of ballistic missile submarines, strategic bombers, With the incorporation of digital compo- Once this effort is completed, and ICBMs, it is nents into new systems and in upgrades to “embarking on existing systems, modernization will result the U.S. nuclear triad will rely the largest, most in a different nuclear triad and command on digital tools and include complex nuclear and control system from that of the Cold War era. Among a sample of 46 Air Force, limited automation. modernization effort in its history.”18 Navy, Space Force, and Department of Once this effort is completed, the U.S. Energy initiatives included in or related to nuclear triad will rely on digital tools and the nuclear modernization drive,22 41 are include limited automation. incorporating new or upgraded digital components (Table 2).23 Notably, almost 9 Senior Department of Defense officials out of 10 planned nuclear modernization state that the modernization plans are programs involve at least some new digital “sensible … reasonable and affordable” and components or upgrades, and nearly
NUCLEAR THREAT INITIATIVE ∞ 9 TABLE 2 Digital and Automation Elements Planned in U.S. Nuclear Modernization TOTAL NUCLEAR DIGITAL COMPONENTS AUTOMATION OR MACHINE MODERNIZATION PROGRAMS OR UPGRADES LEARNING ADDITIONS Air Force 25 23 (92%) 4 (16%) Space Force 6 6 (100%) 2 (33%) Navy 8 8 (100%) 5 (63%) Dept. of Energy 7 4 (57%) 0 (0%) Total 46 41 (89%) 11 (24%) NOTES: (1) Estimates are based upon publicly available information, primarily budget requests, for fiscal years 2020 and 2021. (2) Many of the nuclear command and control modernization systems are not included as distinct programs in the data reviewed for this study. (3) Given the distinctions between the development processes between DOD and DOE and the practice of sourcing to the national laboratories, the availability of DOE documents is more limited. These factors may affect the quantitative findings. one-quarter involve automated or machine Stand Off Weapon all will complete the learning systems. 24 Advanced Component Development and Prototype phase (Milestone B in the Such refurbishments or upgrades are Defense Department acquisitions frame- being introduced to already deployed work) by the end of 2020 and will undergo and operational systems, while other operational testing before eventually elements of the modernization program transitioning to full-rate production. 26 are in earlier stages of the acquisition The major modernization initiatives are process. Of the 38 Department of Defense progressing, but many designs are not programs reviewed still in research and yet final. development, the majority are in or nearing operational system development Of the nuclear modernization programs (Figure 1). Department of Defense nuclear reviewed for this report—including but modernization programs are in the not limited to command and control “Advanced Component Development and systems—nearly half will be dual-capable Prototypes” phase or beyond, indicating (supporting both nuclear and conventional that component technologies are being or weapons) systems or capabilities.27 For have been tested prior to their integration example, new ground components for into nuclear weapons systems. This phase early-warning systems will process data will end with the “decision point to enter from sensors and satellites that were not development of a specific product with exclusively designed for detecting nuclear an associated budget, suppliers, contract launches.28 Strategic air-delivery platforms, terms, and schedule” and is “generally such as the legacy B-52 and developing B-21 considered the start of the program of bombers, as well as in-theater dual-capable record.”25 The Columbia-class submarine, aircraft, will have the potential to carry both GBSD ICBM, B-21 bomber, and Long Range conventional and nuclear payloads.
10 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION FIGURE 1 Department of Defense Nuclear Modernization Programs and Progress, n=38 Research and Development Phases 1–7 1: Basic Research 0 2: Applied Research 0 3: Advanced Technology Development 0 4: Advanced Component Development and Prototypes 8 5: System Development and Demonstration 9 6: Research, Development, Test & Evaluation 2 Management Support 7: Operational System Development 19 Digital Upgrades to art communications and information Delivery Vehicles transfer techniques” for command and control applications.31 The Columbia-class The strategic bombers, submarines, and submarines will share software with the intercontinental ballistic and cruise missile Virginia-class nuclear-powered attack sub- fleets will incorporate a host of digital com- marines, but it is not clear which upgrades ponents in the modernization effort. The are planned for the Columbia program. Air Force plans to add operator-facing and The Virginia-class submarines expect to design improvements to the B-52, B-2, and gain defenses for sonar and combat control B-1B bombers to upgrade monitors, replace programs, a forward compartment with a missile warning systems, gain a multi-data- secret-level local area network, new displays link capability for in-flight retargeting with and a fiber optic backbone in the command an automated system to avoid fratricide, and control systems, and automated and replace navigation and targeting sensors to integrate with the navigation and pod functions. These improvements will non-propulsion electronics systems.32 result in “enhanced targeting capability through weapon hand-off navigational Digital Upgrades to updates for guided nuclear weapons” the B61-12 Bomb even when Global Positioning Service data are unavailable as well as a “digital, The B61-12 nuclear bomb is replacing four high-definition video-streaming targeting older variants of the B61 bomb and includes pod” on new, multifunction display units. 29 significant digital upgrades. The B61-12 The air-launched cruise missile will gain includes a new tail kit assembly that “is software upgrades and perform analysis designed to be mechanically mated” and to “pro-actively identify components connected.33 Some of the delivery vehicles which will degrade system reliability.”30 The carrying the B61-12 “will have an analog replacement system for the Minuteman III interface with the B61-12 that is designed ICBMs, the GBSD, will “exploit state-of-the to deliver the weapon in a ballistic mode,
NUCLEAR THREAT INITIATIVE ∞ 11 with the tail kit in a fixed position,” whereas Department of Energy officials, however, others “will have a digital interface with have been explicit that they intend to use the B61-12,” which will permit use of the lessons learned to improve supply chain new guidance system the tail kit assembly management in the future and, ultimately, offers. This is the “first-ever digital 34 to reduce spending on nuclear weapons.42 interface to the B61 family of weapons,” The B61-12 weapon is expected to be deliv- according to one of project leaders.35 ered in fiscal year 2022.43 The tail kit has undergone rigorous testing Digital Upgrades to Strategic since 2016 and has “demonstrated high Satellite Systems degrees of accuracy and reliability in testing to date with no reliability failures.”36 Satellite modernization is underway with Testing found that “[o]ne system compo- efforts to upgrade and eventually replace nent presents a cybersecurity vulnerability, the aging MILSATCOM, Space Based but mitigation or elimination of the vul- Overhead Persistent Infrared System, and nerability appears feasible without a major Advanced Extremely High Frequency investment of time or money.”37 Yet the system as well as the ground systems to Government Accountability Office (GAO) receive and analyze data. Satellites and found that in non-nuclear assemblies their ground stations will see improved there were “problems with an electrical transmission speeds, upgrades to connec- part” incorporated in both the B61-12 and tivity, better image quality, and wider fields the modified W88 warhead that led to an of view. Cryptography upgrades for many almost two-year delay and cost increases of systems will enhance their security while up to $700 million for the B61-12 program user interfaces also will improve, allowing alone.38 According to congressional testi- for more complete or custom views mony from the NNSA, “[w]hile the problem- of data. Some of these improvements atic components have worked during all will accelerate the use of algorithms, system tests,” concerns remained that the electrical parts would not function reliably 20 to 30 years from now.”39 This situation demonstrates the potential supply chain risks of relying on commercial off-the-shelf technologies, especially given their quality control in comparison with the rigorous review for all microelectronic systems that are developed at national laboratories.40 SOURCE: United States Air Force The failure of even minor parts, such as a $5 capacitor, to perform at the same rigorous standard of review or variations in quality from different producers can lead to nearly $1 billion cost overruns. Some experts have criticized the cost of the B61-12.41 Advanced Extremely High Frequency System
12 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION leveraging “large data sets generated by The SACCS, first fielded in 1963, permits emerging large format focal planes” and decision-makers to communicate with will “expand technical intelligence and nuclear forces and transmits Emergency battlespace awareness processing and Action Messages to commanders in the data dissemination tools.” 44 field.48 The system is currently undergoing a series of upgrades, but it was recently Nuclear Command, Control, ”running on an IBM Series/1 Computer, and Communications: which is a 1970s computing system,” according to the GAO.49 Recently, the Full-Scale Modernization SACCS finally stopped using 1970s-era It is estimated that the more than 150 floppy disks; the system now uses a ”highly existing nuclear command, control, and secure solid state digital storage solution.”50 communications systems (NC3) will need either significant modernization or For example, the Integrated Broadcast integration with new assets and delivery Service, which provides integrated intel- vehicles. 45 The Strategic Automated ligence, surveillance, and reconnaissance Command and Control System (SACCS), information to operators, will become a necessary to maintain communication and scalable system to “accommodate growth execute nuclear launch orders in a crisis, as the virtual world grows and cyber opera- was still using floppy disks until late 2019; it tions change.”51 The modernized system will now has new hardware and software. 46 increase output to 100 million messages per day, as well as increase the flow, searchabil- The age of the existing system necessitates ity, and storage of information. replacement, but replacement introduces important cybersecurity questions. The The new Joint All Domain Command and NC3 architecture must maintain uninter- Control (JADC2) system will integrate rupted communica- conventional and nuclear information “in Modernization efforts also tion with all relevant an attempt to move data at machine speed members of the and execute joint all domain operations.”52 will need to prioritize the nuclear mission General Hyten, vice chair of the Joint Chiefs resiliency and survivability when needed. of Staff and former commander of U.S. of all NC3 systems. Legacy systems Strategic Command, has noted that JADC2 must be upgraded and NC3 “are intertwined because, well, to connect with new delivery vehicles, NC3 will operate in elements of JADC2.”53 sometimes even if the legacy system will Modernization efforts also will need to prior- be retired before the new delivery vehicles itize the resiliency and survivability of all NC3 are fully operational. New NC3 systems systems, including U.S. space-based NC3 must reliably connect to both legacy and systems, which face growing threats from modernized delivery capabilities. 47 counterspace weaponry and an increasingly congested orbital environment.54
NUCLEAR THREAT INITIATIVE ∞ 13 requests cross-referenced with open-source literature reflect SOURCE: Robert Gauthier/Los Angeles Times via Getty Images decisions and processes from nearly a decade of planning and initiatives to advance the military’s use of modern tools, including artificial intelligence (AI).56 Targeted applications of auto- mation should be distinguished from lethal autonomous Missile combat crew member at Malmstrom Air Force Base inside the launch control center in 2014 weapons and automation of nuclear launch decisions without human decision-mak- Bringing in Advanced Tools: ing. Today, nuclear launch decisions in New Process Automation the United States require presidential and Machine Learning approval, and this research did not identify Applications any consideration of the U.S. adopting a Some automation additions to nuclear “Dead Hand,” or removing humans from systems incorporate conventional process the decision-making loop for launching automation approaches; other investments nuclear weapons. take advantage of the gains machine learning techniques have made in recent It is noteworthy that current plans for years, for example, to analyze early-warning, nuclear modernization do not include ballistic missile sensor data rapidly. systems with the highest degrees of machine control—which are more akin In recent budget requests, just over 20 to general AI or autonomy—in which percent of a sample of nuclear moderniza- computers make decisions without human tion programs have included automation or intervention. This machine learning efforts. Of the surveyed 55 choice is consistent It is noteworthy that nuclear modernization programs, 11 antici- with the Defense current plans for nuclear pate incorporating automated components Department’s AI modernization do not include that will process high volumes and sources ethical principles, of data or improve security (see Table 1). which recommend systems with the highest Automation or machine learning features that human beings degrees of machine control. will automate backup power switches, “exercise appropri- streamline acquisition and maintenance ate levels of judgment and remain respon- efforts, rapidly identify and patch cyber sible for the development, deployment, vulnerabilities, advance the speed of use, and outcomes of DoD AI systems,” in planning systems, analyze sensor data for addition to calling for the department’s use early-warning systems, or improve the tar- of AI systems to be equitable, traceable, geting accuracy of a gravity bomb. Budget reliable, and governable. 57
14 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION Examples of New Automation States to accurately locate adversary ballis- or Machine Learning Tools tic missile submarines in crises.62 Another effort devised a “digital twin” of ship power Automated Power plants to record all relevant data on power Backups plant performance.63 Another project Automated components are replacing enabled the use of sensor data to order outdated capabilities in legacy systems for necessary F/A-18 Super Hornet parts pro- targeted purposes. The aging Minuteman actively and predictively for maintenance, III ICBM squadrons, for example, will reducing repair time by 45 percent and the have an automated switching unit that number of parts ordered per repair by 40 will replace “software and electronics to percent.64 This project parallels efforts to measure incoming and standby power use data analytics and develop algorithms characteristics.” 58 The current system has to streamline maintenance operations.65 become outdated, leading Minuteman III Such work demonstrates the targeted missiles to inadvertently switch between role for machine learning and advanced the primary and backup power sources; data science and the potential impact on these incidents “have increased the military operations. use and accelerated the wear on” these The Joint Artificial Intelligence Center components. 59 The upgraded automatic (JAIC) “is a focal point of the DoD AI switching unit is intended to reduce stress Strategy.”66 The JAIC coordinates predictive on these critical systems and help maintain maintenance efforts given that “commer- reliability should the primary power source cially developed AI-based applications have be cut. The Defense Department estimates the potential to predict more accurately that “all Launch Facilities and Missile Alert maintenance needs on equipment.” 67 The Facilities will be impacted by this program Air Force has recently increased coordi- at all missile wings.”60 These automated nation with the JAIC on condition-based components will process data and perform maintenance and enhanced reliability a single function; failures in these compo- centered maintenance operations.68 nents could stress systems but would not Lt. General John N.T. “Jack” Shanahan affect launch controls for the missiles. (ret.), the first director of the JAIC, called integrating AI into the Department of Acquisition Systems and Defense “a multi-generational problem Problem-Solving requiring a multi-generational solution To improve integration of data science [that] demands the right combination of across the Navy, the Digital Warfare Office tactical urgency and strategic patience.”69 was established in December 2016 and Shanahan has stated that AI will not be drives “the push to apply AI and machine incorporated into the NC3 architecture: learning to operations.”61 Projects include “You will find no stronger proponent of an effort to incorporate machine learning integration of AI capabilities writ large into to analyze acoustics in the undersea the Department of Defense...but there is domain, which could allow the United one area where I pause, and it has to do
NUCLEAR THREAT INITIATIVE ∞ 15 with nuclear command and control.”70 information from all sources, Navy attack General Shanahan’s comments reaffirm surfaces and network operations” to that the United States does not intend to improve “network and operational system adopt a ”Dead Hand” launch system con- hardening and remediation efforts,” trolled by AI; however, budget requests do according to the former commander of the include targeted roles for machine learning U.S. Fleet Cyber Command, current Chief of applications and other automated systems Naval Operations Admiral Michael Gilday.75 for NC3 systems. The program looks at “ways to utilize data analytics, machine learning, and other Cyber Defense and automation technologies” for enhancing Situational Awareness cybersecurity defenses.76 Rear Admiral Cybersecurity upgrades in military systems Danelle Barrett (ret.), who served as the will incorporate machine learning and Navy Cyber Security Division director until automation to rapidly detect and patch November 2019, found that, consistent cyber vulnerabilities.71 To address emerging with many private sector cyber defense cybersecurity vulnerabilities, unclassified practices, “[a]nything that we can do to documents propose using automated tools automate the cybersecurity protection of for red-teaming, both to identify vulnera- our network at Internet speed—lightning bilities and to teach personnel about the speed—is what we’re interested in.”77 variety of vulnerabilities a cyber system may encounter.72 Nuclear Planning U.S. Navy documents outline automation Systems efforts to enhance the cyber resiliency of U.S. Strategic Command operates the NC3 systems. Defensive cyber operations Integrated Strategic Planning and Analysis missions will “incorporate Nuclear Network (ISPAN) to design comprehensive Command, Control, and Communications nuclear attack plans.78 Automated infor- Navy (NC3) missions” within environments mation system technologies allow ISPAN that allow “for better overall situational to develop, process, and display a variety awareness and improved speed of response of nuclear targeting plans in regional and to the most dangerous malicious activity by global contexts. Public details on the system leveraging the power of machine learning remain scant, because “[i]t is one of DoD’s and artificial intelligence to harness most complex classified computer systems existing knowledge more rapidly.” 73 Budget and the only national force level planning documents outline how these efforts will system.”79 Humans seem to remain in the enhance the Navy’s nuclear command, loop, but this semi-automated tool is “right control, and communications as well as in the decision-making process.”80 ballistic missile defense cybersecurity.74 ISPAN is composed of a digital planning Another Navy program, the Continuous system that allows for leaders at the com- Hardening and Monitoring Program batant command and strategic levels to “brings together current and historical jointly coordinate and execute battle plans
16 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION and a second system that uses “Machine- Early Warning to-Machine collaboration” to speed up Next Generation Overhead Persistent the joint planning process and to create a Infrared (Next-Gen OPIR) early-warning comprehensive digital interface displaying satellites are rapidly being developed all relevant information to execute those and acquired to replace the legacy plans. 81 The second system also offers Space-Based Infrared System satellite “rapid distributed Course of Action (COA) architecture. Next-Gen OPIR satellites development and global situational will occupy positions in geosynchronous awareness supporting both contingency and polar orbits, which will allow them to and crisis planners.”82 Initial contract persistently monitor the earth for signs of opportunity language called for creation of ballistic missile launches. The program is “an automated ‘Courses of Action’ suite.”83 fully funded in FY2021 and being rapidly However, contracts to automate COAs prototyped, with the goal of launching were never awarded, and efforts have been Next-Gen OPIR satellites by 2025 and the delayed to January 2021. 84 complete constellation by 2029. 89 The second system within the ISPAN is Automation and machine learning are the Mission Planning and Analysis System planned for incorporation into the Future (MPAS), “an automated information Operationally Resilient Ground Evolution system to support Global Strike nuclear (FORGE) ground system for the program. and conventional target development and FORGE “is being designed as an open weaponeering.”85 Through recent digitiza- architecture, meaning it will be able to tion of 1980s technologies, MPAS processes incorporate data from other sensors” to data on strategic effects of various nuclear amplify missile launch detection capabil- systems and rapidly outputs an even wider ities.90 “Essentially, this is a smartphone variety of targeting recommendations. 86 model,” said Dave Wajsgras, president of The Air Force says these modernization Raytheon ISS: “We’ve built an operating efforts will assist leaders in making system that everyone can build applica- informed, decisive, and efficient decisions tions for—from Raytheon to the Air Force during crises by displaying the effects to universities to small companies. These of both conventional and nuclear strike applications allow the system to process options. 87 Meanwhile, the Air Force is specific types of data.”91 rapidly developing ISPAN Increment 5, which will primarily include extensive, To handle data analysis, FORGE will use ongoing software upgrades to the MPAS machine learning and algorithm devel- nuclear planning system until fiscal year opment to rapidly process and transmit 2024, after which a decision to transition to early-warning information to relevant full deployment must be made. 88 parties as well as rely on cloud storage.92 The Defense Department reports that the automated capability will process data
NUCLEAR THREAT INITIATIVE ∞ 17 from a wider variety of sources than legacy other significant technical risks.” Efforts to systems and allow for more rapid commu- upgrade the cybersecurity of the Next-Gen nication across the nuclear mission. 93 OPIR satellites are limited; program officials report “they plan to generally reuse The U.S. Space Force points to the software from the Space Based Infrared Next-Gen OPIR program as an example System (SBIRS) GEO programs, ground of successful rapid acquisition efforts.94 system, and other programs.” It is also However, recent GAO reports have possible that the “the future ground system “assessed the schedule as highly aggressive may not be ready when the first GEO satel- and high risk, given concurrent develop- lite is delivered.”95 Despite these warnings, ment efforts … and complex integration the first two Next-Gen OPIR payloads have that includes first-time integration of passed preliminary design review.96 a new payload and spacecraft, among
PART 2 Benefits and Risks to Digitizing and Automating
20 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION T he reason to integrate digital Although both the Obama and Donald technologies into U.S. nuclear Trump administrations supported mod- weapons systems is clear: the old ernization of the U.S. nuclear deterrent, systems are outdated or nearing end of life the scope of the program is a matter of and today’s replacements are likely to be ongoing debate within the nuclear policy digital. Through modernization, the U.S. community. Key issues include the expense nuclear weapons systems will benefit from of the effort, what sorts of upgrades are the addition of digital or automated com- required, whether the force structure ponents. At the same time, though, risks should be modified, and the international abound, and leaders must address them security implications of U.S. nuclear force in a timely way. Unfortunately, the cyber- policy and posture. The ramifications of security and supply chain security practices incorporating new digital systems during at the Departments of Defense and Energy the modernization process remain on the lag behind the acquisitions process. periphery of analysis and debate. The Need to Modernize Track Record for Weapons The Barack Obama administration System Cyber and Supply determined that a broad modernization of Chain Security Is Wanting nuclear weapons systems was necessary to Experts have documented the need for maintain a safe, secure, and effective deter- incorporating the best cybersecurity rent. In 2016, then–Secretary of Defense practices into weapons development; Ashton Carter reasoned that “it’s not a this report will not enumerate the full choice between replacing these platforms scope and series of risks, nor the relative or keeping, it’s really a choice between difficulty of mitigating and managing replacing them or losing them.”97 The need them across the defense industrial base.100 to modernize nuclear weapons systems It is important to note, however, that the that were last updated in the 1980s is well absence of consistent, well-implemented documented.98 While upgrades and life cybersecurity measures across all weapons extensions have occurred over the years, system research and development creates much of the U.S. nuclear deterrent—includ- acute challenges for the U.S. nuclear ing delivery vehicles, command, control, mission. Historically, cybersecurity has and communications, and the weapons been an add-on or an afterthought in themselves—dates to the 1970s and 1980s. major defense weapons system design. Some elements of U.S. nuclear forces, such Program management incentives have not as the B-52 bombers, date to the 1950s. been structured to encourage managers From delivery vehicles to command and to prioritize the need for mitigating cyber- control networks to early-warning satellites, security vulnerabilities over time. the platforms, as well as the technologies and systems upon which they rely, are The GAO has raised alarm regarding the increasingly difficult to reliably maintain. 99 Defense Department’s lack of focus on
NUCLEAR THREAT INITIATIVE ∞ 21 combating cyber threats to critical systems. Cybersecurity Initiatives Lag A 2018 GAO report found that the depart- Modernization’s Acquisitions ment’s weapons systems are increasingly Progress networked and more software reliant than Although the Defense Department in years past, creating an expansive attack has taken actions including revising surface.101 Operations testing revealed mis- cybersecurity policies and guidance and sion-critical cyber vulnerabilities even while has been directed by Congress to address Defense Department program officers cyber vulnerabilities, these actions are understood the systems to be secure. late, according to the GAO.106 The Air Force The GAO declared that the department is has requested nearly $70 million for cyber “just beginning to grapple with the scale” resiliency of weapon system programs in of the vulnerabilities to critical weapons FY2021, a roughly 80 percent increase from systems.102 Similar challenges appear at the the prior year, with funding for the Cyber Department of Energy/NNSA in securing Resiliency Office for Weapon Systems, the supply chain of critical components.103 which trains acquisitions workers and Until recently, there was no lead organi- provides system security engineering.107 zation within the Department of Defense Additional information system security responsible for defending the defense and information technology development industrial base against cyber threats; programs work toward protection and defense contractors and other firms were defense against cyber risks.108 The Navy trusted to manage their own cybersecurity has recently completed congressionally risks. The result was compromised systems mandated “cyber vulnerability assess- and military readiness at risk. 104 A 2018 ments of major Navy weapons systems MITRE study recommends that “[a]ccount- and cyber vulnerability assessments of ability for integrity and mission readiness critical shore infrastructure.”109 Roughly $42 […] be blended across the acquisition, million went toward vulnerability assess- operations, and sustainment communities, ments in fiscal year 2019. Then the secre- with a clear chain of command directly to tary of the Navy published the sobering the Secretary of Defense.”105 Accountability Cybersecurity Readiness Review summa- for ensuring that department-wide rizing various cybersecurity risk analyses cybersecurity procedures apply to nuclear and recognizing the extensive cultural and modernization programs or surfacing and institutional challenges to enhancing cyber managing AI safety issues is unclear. The resiliency in the Navy, particularly as there cross-cutting cybersecurity policies meant are “no uniform or effective cybersecurity to defend military assets and systems metrics to quantify the threat, influence against cyber or supply chain attacks at the resourcing, or operational planning.”110 Defense Department are still immature, The Navy is taking numerous steps, both presenting the possibility that the nuclear technical and organizational, to mitigate weapons modernization could outpace the cyber vulnerabilities but acknowledges its policy frameworks. efforts’ limitations.111
22 ∞ U.S. NUCLEAR WEAPONS MODERNIZATION There now is a set of policies and guidelines free from compromise throughout the for managing cybersecurity risk in place development and operations life cycle.117 for major Defense Department weapons Existing approaches to securing weapons development programs. 112 These relatively systems amount to a set of “whack-a-mole” new structures include delineation of task efforts—as each vulnerability is revealed, ownership as well as checklists to be used it is patched, and so on.118 The approach before granting authorization to connect of chasing and reacting to vulnerabilities a digital tool to other weapons platforms has an impact on overall program cost and or systems. There also are necessary, schedule, and raises concerns about the cross-department initiatives to speed up system’s performance over time. software development and reform acqui- The retention of a highly skilled and sitions processes to accommodate the sought-after cybersecurity workforce realities of digital technologies.113 Experts also is affected by delayed or deficient interviewed by NTI describe the various cybersecurity practices. A 2019 RAND efforts underway as “necessary, but not Corporation study cited concerns that “the sufficient” in the face of cyber threats to Air Force simply is not structured in a way high-consequence systems.114 that allows for the flexibility that is ideal for The initiatives underway are important and cutting-edge cyber operations, or for being could aid the nuclear mission and modern- proactive (as opposed to reactive) in cyber ization efforts, but support and maintenance.”119 The approach of chasing and the GAO has noted Some experts have called management of that in the race to reacting to vulnerabilities has digital risks the “fourth pillar” of Defense develop and deploy an impact on overall program Department acquisitions, and initiatives digital technologies are underway to improve the defense cost and schedule, and raises (both software acquisitions workforces’ understanding and hardware) for concerns about the system’s prior, conventional of cybersecurity.120 In early 2020, the Defense Department announced the performance over time. military missions, Cybersecurity Maturity Model Certification key information, Initiative to encourage basic cyber hygiene planning, and decision-making steps throughout the department’s industrial were omitted, and the initiatives are not base. The department’s risk-management models for high-consequence strategic framework, based on National Institute technology and system developments.115 of Standards and Technology recommen- Cybersecurity and software development dations, is in place, and work has focused practices remain inconsistent, and critical on new training and integrating of cyber- assessments delay progress.116 security concerns early in the process.121 Vulnerability management is a central In just one recent example that demon- concern across weapons system develop- strates the severity of the risk, the Defense ment but is not sufficient to confirm that Department’s inspector general found critical systems and their components are that insufficient and inconsistent security
NUCLEAR THREAT INITIATIVE ∞ 23 practices have made ballistic missile responsibility—the enterprise lead—for defense installations vulnerable to physical nuclear command and control moderniza- and cyber threats, jeopardizing classified tion, but a number of Defense Department technical information. 122 The GAO also civilian leaders, as well as the Air Force and continues to find lackluster cyber hygiene Navy, remain responsible for the acquisi- practices at the department.123 As of June tion and sustainment of NC3 assets.127 2020, cybersecurity of major defense For delivery systems, individual program acquisitions still suffered from “inconsistent managers are responsible and report software development and practices.”124 through the Office of the Undersecretary of Defense for Acquisitions and Sustainment. Accountability and Oversight For warhead and bomb modernization, Challenges of a Digital the Office of Defense Programs at the Modernization Energy Department’s NNSA is responsible. Lack of accountability for meeting key The Nuclear Weapons Council, with milestones is an ongoing challenge for representatives from both Defense and major weapons development programs. Energy, “is the focal point for interagency Structural issues, including the number activities to sustain and modernize the U.S. of personnel involved in decisions with nuclear deterrent [and] endorses military distinct motivations or incentives—who can requirements, approves trade-offs, and slow or stymie programs (but not cancel ensures alignment between DoD delivery them)—have come to light as initiatives systems and National Nuclear Security to accelerate software development have Administration (NNSA) weapons,” according met resistance, according to the Defense to The Nuclear Matters Handbook 2020..128 Innovation Board: “These oversight actors often have overlapping or unclear roles and Requirements for cybersecurity practices authorities, as well as competing interests lagged behind some weapons system and incentives.”125 In the drive to bring inno- development, and today, assessments are vation to the nuclear weapons complex, not yet a permanent, institutionalized part accountability concerns are similar. of the acquisitions process.129 At least four of the 46 nuclear modernization programs NTI interviewees questioned the level reviewed in this study do not describe within the departments at which the explicit, unique cybersecurity protocols in strategic choices and trade-offs are being public documents; instead, they rely on made in the modernization effort. Some department-wide cybersecurity resources noted that the Office of the Secretary of for weapons systems. The National Defense and entities such as the Nuclear Institute of Standards and Technology, in its Weapons Council have recently provided update to the Department of Defense Risk more limited strategic guidance than Management Framework, advises that test in previous administrations. 126 Former and evaluation processes for information Secretary of Defense James Mattis system security occur prior to awarding assigned U.S. Strategic Command development contracts.130
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