The Special (Moral)
Circumstances of Preventive War
Stephen E. Lammers,
Ph.D
Preemptive and preventive wars
recently have come under a good deal of
scrutiny. One of the central
questions concerns when, if ever, it is justifiable to wage them. Few scholars have paid any attention to the
question of whether either type of war might have special moral
responsibilities associated with them assuming that it is justifiable to wage
such wars at all. That is the question
that concerns me in this paper. After
trying to get clear on the difference(s) between preventive and preemptive war,
I will spend the remainder of the paper discussing what I take to be the
special moral responsibilities associated with preventive war. I want to stress that the paper is a thought
experiment within the just war tradition, a thought experiment which might best
be understood as responding to the following question: Assuming that it is possible to distinguish
between preemptive and preventive war and assuming that it is justifiable to
wage preventive war, what might be the special moral requirements associated
with this type of war, requirements that may or may not be associated with the
usual requirements of waging a justifiable war?
I hasten to add that it is preventive war and not preventive attack that
is the subject of the thought experiment and it is war between states that is
the focus of my attention. I further
hasten to add that when I speak of preventive war, I will assume that if it is
justifiable, not only the
I. Any
discussion of “preventive” as opposed to preemptive war runs a not
inconsiderable risk. The discourse in
the larger society uses the term “preemptive war” to talk about a variety of
forms of warfare, often without any clear definitions or descriptions of what
is at stake.[1]
The consequence of this is that if one argues that preventive and preemptive
wars are different in important ways, one must articulate that difference. It may be the case that there are situations
when one type of warfare begins to shade over into another type; the world is a
lot messier and a lot more interesting than our categories. Yet if we begin with some clarity about what
it is that we think we are doing, we will be better prepared for those moments
when the world presents us with those occasions when reality is more complex
than our analysis of it. The question
remains however, where to begin in order to understand.
I am responsible for a course in
the New Testament so it is not surprising that I want to begin with two texts,
both of which are well known. The first
text is from the section entitled “Anticipations” in Michael Walzer’s Just
and Unjust Wars and the second is entitled, “The National Security Strategy
of the
Walzer distinguishes between
cases of preemption, which he thinks is sometimes justifiable, and prevention,
which he does not. He uses the
oft-quoted statement of Daniel Webster in the Caroline case to assist
him. Webster wrote that in order to
justify preemptive attack, one must show “…a necessity of self-defense…instant,
overwhelming, leaving no choice of means and no moment for deliberation.”[2] In the rest of discussion of these two
types of wars, Walzer contrasts the Six Day War with the war of the Spanish
Succession. He thinks that the first
fits under Webster’s description of preemptive war and the second, which was
waged in order to maintain the balance of power in
Presuming for the moment that
Walzer is correct in his moral assessment of the two types of war, we still
need to learn if either type of war is under consideration today. Thus the need to turn to the second text on
National Security. Before I turn to the
text, I would like to note the context of the statement as it is outlined in
the letter from the President accompanying it.
In that letter, the President indicates that it is part of the
responsibility welcomed by the
The text of the “The National
Security Strategy…” never formally speaks of “preventive warfare” but
uses the term “preemptive” any number of times, among them in a section
entitled (not without some irony for my purposes) “Prevent Our Enemies From Threatening
Us, Our Allies, and Our Friends with Weapons of Mass Destruction.” The text provides us with a puzzle in the way
in which it talks about preemptive warfare.
On the one hand, it reiterates that it is long standing American
doctrine that preemptive war is permissible and that
The central claims about a new
type of war come in Section V of the document, which takes up threats from
enemies with weapons of mass destruction.
Our current situation is contrasted with that of the Cold War, where, it
is argued, deterrence and the doctrine of mutual assured destruction served to
protect the
The Statement goes on to make its
major claim. It notes that preemption is
legitimate under international law but that the concept of “imminent threat”,
the type of threat whose existence justified the preemptive response, that
concept needs to adapted to our new circumstances. Here the ambiguity that underlies the text is
displayed. Let me quote again from the Statement itself. ”Legal scholars and international jurists
often conditioned the legitimacy of preemption on the existence of an imminent
threat—most often a visible mobilization of armies, names, and air forces
preparing to attack. We must adapt the
concept of imminent threat to the capabilities and objectives of today’s
adversaries.”[7]
Note that beyond the usual considerations, we have to consider the capabilities
and, this is important, our estimate of their intentions with respect to those
capabilities.[8] A little later on the same page we read:
“The
The
usual understanding of preemptive war against an imminent attack is not denied
but, the National Security Statement argues, it is not sufficient for our new
circumstances. It does not appear that
the threat(s) to the
This
second text interests me for any number of reasons. As a theologian I am intrigued by the context
within which these quotes are set and by the hubris displayed throughout the
document. Quite candidly, the claims
make the
Third, I am intrigued that this new
doctrine is announced, without debate and without consultation with the
To the
point under discussion, all one can ascertain is that the
II. It
is the concept of preventive war that intrigues me. Wars of prevention, undertaken to prevent a
threat not realized from ever becoming a realized threat, open up the
possibility of many more wars.
Commentators within the just war tradition generally are worried when
countries announce doctrines that would increase the possibility of more
war. More worrisome still is the fact
that preventive war, as understood in the document, is not recognized under
international law, except, it would appear, to be forsworn.
Even if one
could overcome these kinds of worries, we need to know if there might be, and
if so, what might be the special moral responsibilities that one would have if
one were to wage a preventive war? Or
does preventive war proceed under the same moral limitations as preemptive war
and not entail any more moral responsibilities?
It appears that this is the case for the authors of this document since
they focus on when war might be undertaken.
There is no reflection on whether something else might be required of
the
This
entire discussion assumes of course, that it is possible, at least
theoretically, to make an argument for the justifiability of preventive war as
it is described in this document. For
the remainder of this paper, I am going to assume the opposite of Walzer’s
conclusion given above. Namely, I shall
now assume that preventive war is justifiable and I will make the assumption
within the context of the just war tradition.
What follows then is a thought experiment. What I am going to attempt to do in the
remainder of this paper is to argue that preventive war involves special
responsibilities that, up until now, have not been discussed under just war
criteria as these criteria are usually put forward. The practical implication of this is
direct. Those who argue that what is in
effect preventive war is now permitted and/or required given the kind of
threat(s) to the
III In
order to answer the first question, I want to focus on a feature of preventive
war that is assumed but not generally taken into account in a systematic
way. That feature is time.
When one
wages a preventive war, the necessity for going to war is of a different kind
than when one usually speaks of war.
Especially within the tradition of justifiable war discourse, war, if it
is to be morally permissible, must have a characteristic of necessity about it,
there must be, realistically, no other choice.
There must be no other way to solve the problem. The injustice which is being confronted is so
serious and life-denying that one cannot wait or the threat to the nation is so
imminent that to wait is to give a perhaps fatal advantage to the enemy. One can identify the threat, it is real and
it is imminent or it already has manifested itself in attack or occupation. [12]
Not
so in preventive war. Not only is a
particular threat not present; one has the luxury of time. As opposed to the
usual descriptions of defensive war, preventive war gives one time to
plan. Further, the maker of war has aims
with this type of war that are not usually part of the discussion of war
against acts or threats of aggression.
Consider again Walzer’s discussion of the balance of power and
preventive war. The statesmen of
To
begin: I do not think that any of the usual criteria for a justifiable war
being mitigated or lessened. Taking the
list of criteria from Walzer, the requirements of jus ad bellum and jus
in
I
want to use the term “war” to apply to a contest of arms between nation
states. To put this colloquially, there
may be threats of conflict from actors not associated with particular nation
states but one uses the term “war” one confronts persons who have an address
and all the other paraphernalia of the modern nation state. If we are speaking about confronting persons
who kill civilians and terrorize them with their attacks, but who are not
responsible to a usual command structure nor to a sovereign authority, we are
speaking about criminals, serious criminals to be sure. But attacking them does not constitute war
and attacking them before they carry out the crimes they are planning does not
require the constraints that would be applied should one be making a war
against another nation state. Thus what
I am speaking about is the activity of war between or among nation states. It certainly may be the case that this is
considered because the nation state is not doing what it might in order to
constrain the evildoers that are on its territory or is complicit with
them. That activity is one different
from attacking the criminals directly in order to prevent them from carrying
out their crimes.
What
I am trying to get at is that even if the criminals are simply being shielded
by a nation state unwilling to follow international norms and turn the
criminals over to the proper authorities, there is a difference between
rounding up the criminals and attacking the state that is shielding them. I realize that in the real world, one might
well have to attack a particular nation state in order to “get at” the
criminals that it is shielding. The
central point is this. When one does
this, one has to take responsibility for what happens during and after the war
and this responsibility is greater than when one is immediately threatened with
war and one responds to that threat.
Keep in mind that time is the important variable here. What should be considered in that time under jus
ad bellum?
The
first thing that must be considered, developing the criterion of last resort,
is what else might be done to solve this matter short of war. I want to avoid the trap of thinking that
there is always one more thing to do.
Yet even in avoiding that trap we have to face the fact that we have
options, given the reality of more time, which would not be available in the
usual situation of preemption. There can
be more attention to the other forms of power that are wielded by
nation-states. This is especially true
when one is dealing with states as powerful as the
Second,
and this is a jus ad bellum consideration, one has to ask what one holds
out as a proposed resolution to the current circumstances, a resolution that
would justify going to war in the first place.
That proposed resolution will of course have to be tested and there will
be disagreements about whether the resolution is either possible or
desirable. Yet that proposed resolution
should be part of the pre-war discussion insofar as time permits.
Third,
prior to the conflict, there has to be a great deal of attention to the
immediate postwar situation as opposed to the long term political
resolution. One who is attacked and is
defending oneself can be forgiven if little time or energy is spent in keeping
order in the enemy’s state while the war continues. So too in the case when one is coming to the
aid of parties being unjustly attacked by others. Such cannot be the case for preventive
war. The reality of time increases one’s
responsibility for what occurs immediately after the war since the war is not
due to some kind of necessity growing out of defense but grows out of a choice
to act now so as to forestall having to act defensively later.
A
good place to begin is with the responsibilities of occupying powers under the
Geneva Convention.[15] Again, the fundamental point is what is possible,
given the constraints that one is operating under when one goes to war and one
is in war. The important point here is
in a war of prevention, one cannot excuse one’s failure to meet one’s
responsibilities as an occupying power because one did not have time to plan
for what was going to happen after the war.
Wars of prevention are different precisely because they permit one to
plan more extensively than wars undertaken to immediately defend against
attacks. Lack of time to prepare for the
postwar situation is not an excuse in circumstances such as this.
Note
here that the matter of excuses also becomes important in another way. In the usual scenario of going to war, one
might be excused if one does not have the forces necessary for both fighting the
war and keeping the peace while the war fighting continues. One might well imagine that after the war,
those forces that fought the war would turn to the task of rebuilding the order
that has been destroyed or interrupted.
My claim here is that these excuses have less force in a war in which
one has a choice about when and where one goes to war. Why?
Let
us assume for the moment that in order to remove the future threat, one must
overturn the present order in a country.
In the process of doing this, one must recognize that one of the burdens
of war is the chaos that results in war and the chaos that often follows upon
war. This chaos falls particularly hard
upon civilians who are caught up in the confusion of war. Recent news reports
have made this clear to all of us once again, if we needed to be reminded. War too often means that one order is in the
process of being overturned and another order is not yet in place. Again, it may be excusable that the new order
to be established cannot yet be established when one is fighting a war of
defense. Such an excuse is not plausible
when one had a choice about going to war in order to prevent a threat from
taking form. One has, and by now you
should recognize this as a theme of this paper, one has time. That time should be spent both planning for
what should happen and making sure that the resources are in place so that the
plans can be realized.
At
a minimum, this planning and resource allocation should take two forms. First, one has to restore order so that
civilians are safe. The usual functions
of government, including some minimal protections of the law, must be taken up
by the forces who began the preventive war.
Second,
there must be a planning for the restoration of economic and social life as
soon as possible. What I mean by this is
that the usual structural circumstances of civilian life for this country
should be returned to normal as rapidly as possible. In particular, it is important to restore the
necessities of life in a particular place.
Those features of chaos that lead to disease such as failing water and
sewage systems and food distribution systems must be restored as soon as
possible. Note that the responsibility
for this does not devolve upon civilians in the conquered country, but with the
occupying power. They are the ones who
have destroyed whatever order that there was prior to the war and it is their
responsibility to do what they can to return that order to those who are most
harmed by its interruption. To repeat
the point above: There are two ways one
can fail in this task, first in not planning for it and secondly, in not
providing the resources for it. None of
this excuses, incidentally, those among the enemy who would sabotage the
structures of civilian life, either before, during, or after the war. They are making war against their own people
and their perfidy should be recognized for what it is. Their moral wrongs should not, however, act
as an excuse for failures on the part of those who initiated the preventive
war, failures either in planning or in resource allocation. Indeed, it would not be unreasonable to plan
for acts of perfidy after war.
Here a
methodological skepticism is in order, the same type of skepticism that gives
rise to preventive war in the first place.
Those who propose preventive war argue that the future will bring worse
circumstances, and that these circumstances will threaten the being or
well-being of the state. That same
skepticism needs to be applied to thinking about the post-war situation. One cannot assume that things will go well
after the war of prevention. They may,
but one cannot plan on it.
But
claiming that there are additional ad bellum constraints on the waging
of preventive war does not capture the full moral responsibility of those who
would undertake such wars. Michael
Schuck has argued that any just war needs to attend to three principles of jus
post bellum. In addition, Brian
Orend has written about jus post bellum constraints from the Kantian
perspective. Michael Walzer recently has
written about this as well. I will use
these thinkers to explore what would be required in a preventive war.[16]
When Schuck
wrote his paper, he was referring to any war that claimed to be justifiable and
was not thinking of preventive war in particular. I want to use the three principles given by
Schuck as a starting point and will amend them for preventive war.[17] The first two apply to any war according to
Schuck. It is the third requirement that
is especially important for preventive war.
Schuck
calls first for a principle of repentance.
What he means by this is that victors conduct themselves humbly. What Schuck wishes to constrain are
celebrations of victory that do not acknowledge the losses on both sides of a
conflict.[18]
What he finds abhorrent are celebrations at the “end” of conflict that
trivialize war itself. He uses the
example of General Schwarzkopf parading in
Schuck’s
second principle calls for an honorable surrender. Here he wishes to guard against forms of
surrender that refuse to recognize the fundamental human rights of the
vanquished. Schuck had in mind the
Schuck’s
third principle is one to which I have already alluded. He calls it the principle of
restoration. He has in mind not simply
repairing the social infrastructure but eliminating the continuing scars of war
from the place of war. Of particular
interest to Schuck are the presence of landmines throughout the world, which he
reports kill 800 people a month and the presence of which inhibits the
restoration of the use of the land upon which and sometimes over which the war
has been fought. In my own view, what
would count as restoration would be dependent upon what was destroyed in the
making of war and what was left behind as a result of war. This is a place where one cannot necessarily
plan everything in advance because one cannot know what will be required. What can be planned is that one will have to
plan and one has to have the resources in place for the planning and some
realistic recognition of what might be required. Two things are not permitted by this constraint. First, it would not be permitted to proceed
without any planning and resources to assist reconstruction. Second, what would be impossible would be a
situation in which resources were made available and for one reason or another,
not used for the purposes of restoration.
Again, civilians would be bearing the burden of war here, a burden that
it was not necessary to impose upon them for purposes of immediately defending
one’s own nation.
A
simple example might help in understanding what I have in mind here. If the attack on the enemy in a preventive
war involves the destruction of electricity substations, so called dual use
targets, then the attacking power must be prepared to repair them. If this is not done, civilians will bear the
brunt of war when there were no threats active from their nation. The burden of reconstruction should fall upon
the power that makes the war when the war is one of prevention.
For Schuck,
as for myself, discussions of jus post bellum are good ways into the
discussion of motivations of those who go to war. Displaying inappropriate sentiments after a
war is a sign that one’s motivation for entering into war is itself
suspect. Acting appropriately after a
war is a good test of whether other conditions for a justifiable war,
conditions that should have been met prior to the entry into war, have in fact
been met.
Brian
Orend makes the same general point about jus post bellum
requirements. Orend is concerned to
insure that violators of international law be fairly tried by international
tribunals, including violators from the state that attacks. Further, he brings over some ad bellum
and some in
Walzer
focuses on occupations after war and he argues that these can be judged
somewhat independently of the justice of the war itself. His basic argument is that all processes
should be transparent and he is clear in arguing for democratic goals. His general perspective is that one should
not allow a return of those circumstances that gave rise to the reasons for war
in the first place.[22]
The
careful reader of Schuck and Orend will
note that I have, if anything, made their requirements stricter in the
circumstances of preventive war. Such is
fitting in wars that are not necessary in self-defense or in assisting those
who are under attack.
IV.
What I have tried to show?
My
conclusions are rather modest. If one
judges that in some cases preventive wars are permissible, there are special
moral requirements that grow out of the nature of war being preventive. These include a higher standard of the
criterion of last resort under the jus ad bellum as well as the issues
surrounding jus post bellum. The
two most important moral considerations for any discussion of the criteria are
time, which allows one to engage in far more planning than one might have in
the “ordinary” circumstances of defensive war.
The second important matter is the moral consideration surrounding who
is bearing the burden of the preventive war after the war is over. My judgment is that it is the civilians of
the attacked nation. My judgment is that
it is up to the attackers to plan to mitigate the effects of war and to bring
full civilian life back as soon as possible.
Finally,
there is what I call a “methodological skepticism” which pervades this
discussion of the responsibilities of preventive war. Given that waging preventive war means taking
a very bleak view of what might happen in the future that will lead to war, the
same bleak view should be taken with the planning for the post-war
situation. In brief, one cannot assume
that all will be well for civil and political life given the waging of this
war. Here, I simply ask those who would
wage preventive war to be consistent. If they have a bleak view of the world
with the enemy state fully functional, they should take a bleak view of the
immediate circumstances after the fall of the enemy state and plan and act
accordingly.
Of course,
I might be wrong. That is to say, it may
be the case that preventive war is itself never justifiable and thus what I
have suggested is and remains only a thought experiment.
Postscript: A Scenario
Imagine
a country, let us call it
Let
us further assume that it is decided that this threat to the
If
I am right, two things in general.
First, we need to marshal whatever resources we have to convince
Secondly,
and just as important, we need to be planning for what is going to happen after
the war in
There
should be one methodological proposal that is in place. Just as we are worried and must take a worst
case scenario approach to the developing situation in
Now
if I am correct in the scenario I have proposed, it should be clear that the
costs of waging preventive war are quite high.
They may not be as high in terms of risk; that after all, is what
preventive war is about. They may well
be higher in terms of post war reconstruction costs. But then we should not be surprised by
this. War is an expensive undertaking
and it is likely to remain so. We should
not, however, be shifting the burden of war, especially preventive war, to the
civilians of the state that we attack.
NOTES
[1] Those who are advantaged by this, I would
argue, are those who would, either accidentally or purposefully, keep us
unclear about the kind(s) of warfare the
[2] Michael Walzer, Just and Unjust Wars, (3rd
edition), (New York: Basic Books), 2000, p. 74, quoting D. W. Bowett, Self-Defense in
International Law, p. 50.
[3]
Michael Walzer, op. cit., pp. 74-85.
[4] The statement is an echo of the sense of
mission which has marked American exceptionalism in the past and the question
must be asked at the beginning of the inquiry, “Who gave the
[5]
The National Security Strategy of the
United States of America, (September, 2002) p. 6., http://www.whitehouse.gov/nsc/nss.html.
(viewed
[6]
Indeed, the claim implicitly has been
contested by George Kennan. Cf., Jane
Meyer, “A Doctrine Passes,” The New Yorker, Oct. 14 and 21, 2003. Available at http://www.mtholyoke.edu/acad/intrel/bush/mayer/htm. (Viewed
[7] National Security Strategy, op. cit., p. 15.
[8]
Not unimportantly, all the “knowledge” we
might have of their capabilities could be no more than an estimate on our part.
[9] National Security Strategy, Op. cit.
[10] This entire discussion begs a very important point,
which is, what exactly is a terrorist?
It appears from this document that only non-state actors can be
terrorists and that, in addition, groups that target civilians are
terrorists. Are both conditions
necessary conditions or is only one sufficient?
We are not told. The document
leaves aside the important possibility of state sponsored and directed
terrorism which might have a variety of aims.
For more on this issue, cf. Wes Avram’s essay, “Getting Past the
Preamble: One Reading of The Strategy,” in Anxious About Empire,
(
[11]
The comments above do not consider the other
difficulty with the current discourse about preemptive or preventive war when
it is put in the context of a “war on terror.”
The idea of a war on terror is puzzling.
It reminds one of a war on evil.
Potentially it is never ending since presumably, terrorists will always
be with us. The open ended nature of the
commitment to the “war on terror” needs more attention than it can be given
here. Suffice it to say that “war” is a
limited and constrained human activity, that,
in principle has an end. The “war
on terror” does not appear to be so constrained. To put this another way, how will we know we
have won the war on terror?
[12] The medieval understanding of justifiable war was not
as constrained in my judgment. One could
make war in order to right wrongs that were completed, that were not in the
process of being done. Jus ad bellum
in the modern context is more constrained.
[13]
It is in this context, I suggest, that we
should take up the discussion of the matter of spreading freedom and democracy
as these goals are outlined in the document on National Security Strategy. It is not just that the threats are to be eliminated;
a new order is to be introduced.
[14]
This does leave open a number of questions I
leave to others to resolve. I will point
to two here. First, it would appear that
the greater the alternative forms of power at your disposal, the greater is
your responsibility to use them before undertaking war. Thus a stronger country would have to do more
before waging a preventive war than a country without as many kinds of power at
its disposal. Second pointing to the
fact that a judgment is required only ups the discussion of who has the authority
to make such a judgment and what criteria they might use. I will suggest a negative constraint
here. Any allocation of authority cannot
be simply a doctrine of executive discretion.
Just war thinkers need to reflect on the limits of the authority to make
war and on the framework of responsibility that should accompany this part of jus
ad bellum today.
[15] For some of the relevant texts, cf., W. Michael
Reisman and Chris T. Antoniou, The Laws of War: A comprehensive Collection
of Primary Documents on International Laws Governing Armed Conflict, (
[16] Michael Schuck, “When the Shooting Stops: Missing
Elements in Just War Theory,” The Christian Century, 111:982-983,
[17]
One thing that is helpful about using Schuck
and Orend is that both of them use the first Gulf War as their significant
example.
[18] I would make two points in addition
here. First, there is a difference
between acting humbly and repenting for wrongdoing. I would concede that they are often
intertwined but not always. In an
unpublished paper I take up the issue of repentance after war. The second point is that it is impossible to
acknowledge loss if one does not “count the cost” of war or one counts the cost
surreptitiously. In any event, the
current “practice” of the U.S. military not to count “enemy” losses or the
deaths of civilians who are not U.S. citizens would be problematic under
Schuck’s (and my) understanding of repentance.
Further, it may be asked how one can refuse to count the dead and claim
that one has made any attempt to “count the cost” of a particular war.
[19] Contrast, for example, the setting of
“Mission Accomplished” with the ancient Roman victory march. The Roman general was accompanied by a slave
whose task it was to state, “Remember man, thou are mortal.” (Respice post
tem, hominem te esse memento) Pliny
the Elder, Natural History 28:39.
I owe this reference to my colleague Howard Marblestone.
[20] This is not an argument for the moral equality of
terrorists and soldiers captured during a war.
It is an attempt to point to the humanity of the captives and the
development of procedures that recognize that humanity. Torture is not such a procedure. Nor is shipping captives to states where
torture is practiced nor is the practice of not registering persons with the
Red Cross who have been captured.
[21] Orend, War and International Justice, op.
cit., pp. 217-239.
[22] Walzer, Arguing About War, op. cit. pp.
162-68.