The Impact of Artificial Intelligence on Strategic Stability and Nuclear Risk Volume I Euro-Atlantic Perspectives Edited by Vincent Boulanin
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SIPRI THE IMPACT OF Policy Paper ARTIFICIAL INTELLIGENCE ON STRATEGIC STABILITY AND NUCLEAR RISK Volume I Euro-Atlantic Perspectives edited by vincent boulanin May 2019 STOCKHOLM INTERNATIONAL PEACE RESEARCH INSTITUTE SIPRI is an independent international institute dedicated to research into conflict, armaments, arms control and disarmament. Established in 1966, SIPRI provides data, analysis and recommendations, based on open sources, to policymakers, researchers, media and the interested public. The Governing Board is not responsible for the views expressed in the publications of the Institute. GOVERNING BOARD Ambassador Jan Eliasson, Chair (Sweden) Dr Dewi Fortuna Anwar (Indonesia) Dr Vladimir Baranovsky (Russia) Espen Barth Eide (Norway) Jean-Marie Guéhenno (France) Dr Radha Kumar (India) Dr Patricia Lewis (Ireland/United Kingdom) Dr Jessica Tuchman Mathews (United States) DIRECTOR Dan Smith (United Kingdom) Signalistgatan 9 SE-169 72 Solna, Sweden Telephone: + 46 8 655 9700 Email: [email protected] Internet: www.sipri.org The Impact of Artificial Intelligence on Strategic Stability and Nuclear Risk Volume I Euro-Atlantic Perspectives edited by vincent boulanin May 2019 Contents Preface vii Acknowledgements viii Abbreviations ix Executive Summary xi Introduction 1. Introduction 3 Box 1.1. Key definitions 4 Part I. Demystifying artificial intelligence and its military implications 11 2. Artificial intelligence: A primer 13 I. What is AI? 13 II. Machine learning: A key enabler of the AI renaissance 15 III. Autonomy: A key by-product of the AI renaissance 21 IV. Conclusions 25 Box 2.1. Deep learning 16 Box 2.2. Generative adversarial networks 18 Box 2.3. Automatic, automated, autonomous 23 Figure 2.1. Approaches to the definition and categorization of autonomous 22 systems 3. The state of artificial intelligence: An engineer’s perspective on 26 autonomous systems I. Autonomy: A primer 26 II. Applications 27 III. Challenges 28 IV. Conclusions 31 4. Military applications of machine learning and autonomous systems 32 I. Autonomy in military systems 32 II. Military applications of machine learning 35 III. Conclusions 38 Figure 4.1. A schematic description of a generic autonomous system 33 Part II. Artificial intelligence and nuclear weapons and doctrines: 39 Past, present and future 5. Cold war lessons for automation in nuclear weapon systems 41 I. Soviet and US use of automation in nuclear early warning and 43 command and control II. Automation and the Dead Hand 46 III. Where could autonomy be taking nuclear early warning and 48 command and control? IV. Conclusions 50 6. The future of machine learning and autonomy in 53 nuclear weapon systems I. Early warning and intelligence, surveillance and reconnaissance 53 II. Command and control 55 III. Nuclear weapon delivery 56 IV. Non-nuclear operations 58 V. Conclusions 61 7. Artificial intelligence and the modernization of US nuclear forces 63 I. US nuclear forces and modernization 63 II. Machine learning in nuclear weapons and related systems 64 III. Conclusions 66 8. Autonomy in Russian nuclear forces 68 I. Nuclear weapon developments during the cold war 68 II. Post-cold war developments in Russia 72 III. Conclusions 75 Box 8.1. Computers in missile defence and early warning 69 Box 8.2. The 1983 Petrov incident 70 Part III. Artificial intelligence, strategic stability and nuclear risk: 77 Euro-Atlantic perspectives 9. Artificial intelligence and nuclear stability 79 I. AI and nuclear command and control 80 II. AI and nuclear delivery platforms 81 III. Conventional military uses of AI and nuclear escalation 82 IV. Conclusions 83 10. Military applications of artificial intelligence: Nuclear risk redux 84 I. AI and machine learning 84 II. AI, machine learning and autonomy in weapon systems 86 III. AI, machine learning and nuclear risk 88 IV. Conclusions 90 11. The destabilizing prospects of artificial intelligence for 91 nuclear strategy, deterrence and stability I. How AI could threaten nuclear stability 91 II. How AI could have an impact on nuclear deterrence 94 III. Conclusions 97 12. The impact of unmanned combat aerial vehicles on strategic stability 99 I. The comparative advantage of UCAVs 99 II. The state of UCAV technology and its adoption 101 III. The need for UCAVs to be autonomous 102 13. Autonomy and machine learning at the interface of 105 nuclear weapons, computers and people I. New technology brings new threats 105 II. New threats require new policy responses 111 III. Conclusions 117 Table 13.1. Unilateral policy responses to reduce nuclear risks 114 from cyber threats 14. Mitigating the challenges of nuclear risk while 119 ensuring the benefits of technology I. Potential impacts of technological innovation on nuclear risk 120 II. Governing the risks posed by technological innovation 123 III. Using machine learning and distributed ledger technologies to support 125 compliance and verification regimes IV. Conclusions 127 Conclusions 15. Promises and perils of artificial intelligence for strategic stability 131 and nuclear risk management: Euro-Atlantic perspectives I. The promises and perils of the current AI renaissance 131 II. The impact of AI on nuclear weapons and doctrines: 135 What can be said so far III. Options for dealing with the risks 137 About the authors 139 Preface The post-cold war global strategic landscape is currently in an extended process of being redrawn as a result of a number of different trends. Most importantly, the underlying dynamics of world power are shifting with the economic, political and strategic rise of China, the reassertion under President Vladimir Putin of a great power role for Russia, and the disenchantment expressed by the current United States’ administration with the international institutions and arrangements the USA had a big hand in creating. As a result, a binary Russian– US nuclear rivalry, legacy of the old Russian–US confrontation, is being gradually replaced by regional nuclear rivalries and strategic triangles. As the arms control framework that the Soviet Union and the USA created at the end of the cold war disintegrates, the commitment of the states with the largest nuclear arsenals to pursue stability through arms control and potentially disarmament is in doubt to an unprecedented degree. On top of this comes the impact of new technological developments on armament dynamics. The world is undergoing a ‘fourth industrial’ revolution, characterized by rapid and converging advances in multiple technologies including artificial intelligence (AI), robotics, quantum technology, nanotechnology, biotechnology and digital fabrication. How these technologies will be utilized remains a question that has not yet been fully answered. It is beyond dispute, however, that nuclear-armed states will seek to leverage these technologies for their national security. The potential impact of these developments on strategic stability and nuclear risk has not yet been systematically documented and analyzed. AI is deemed by many to be potentially the most transformative technology of the fourth industrial revolution. The SIPRI project, ‘Mapping the impact of machine learning and autonomy on strategic stability,’ is a first attempt to present a nuanced analysis of what impact the exploitation of AI could have global strategic landscape and whether and how it might undermine international security. This edited volume is the first major publication of this two-year research project; it will be followed by two more. The authors of this first volume are experts from Europe, Russia and the USA; the two succeeding volumes will bring together contributions from South Asian and East Asian experts. The result will be a wide-ranging compilation of regional perspectives on the impact that recent advances in AI could have on nuclear weapons and doctrines, strategic stability and nuclear risk. SIPRI commends this study to decision makers in the realms of arms control, defense and foreign affairs, to researchers and students in departments of Politics, International Relations and Computer Science as well as members of the general public who have a professional and personal interest in the subject. Dan Smith Director, SIPRI Stockholm, May 2019 Acknowledgements I would like to express my sincere gratitude to the Carnegie Corporation of New York for its generous financial support of the project. I am also indebted to all the experts who participated in the workshop that SIPRI organized on the topic on 22–23 May 2018 and who agreed to contribute to this volume. The essays that follow are, by and large, more developed versions of the presentations delivered at the workshop, taking into account the points made in subsequent discussions. The mix of perspectives achieved at this workshop is reflected in the different styles and substance of the chapters. The views expressed by the various authors are their own and should not be taken to reflect the views of either SIPRI or the Carnegie Corporation of New York. I wish to thank SIPRI colleagues Lora Saalman, Su Fei, Tytti Erästö and Sibylle Bauer for their comprehensive and constructive feedback. Finally, I would like to acknowledge the invaluable editorial work of David Cruickshank and the SIPRI Editorial Department. Vincent Boulanin Abbreviations A2/AD Anti-access/area-denial AAV Autonomous aerial vehicle AGI Artificial general intelligence AI Artificial intelligence ASV Autonomous surface vehicle ATR Automatic target recognition BMD Ballistic missile defence C3I Command, control, communications and intelligence