Lost In The Fog: Putting Warfighting Proficiency First in SWO Culture

By Themistocles

Current commentators consider the combination of collisions, groundings, and senior reviews of 2017 to be a watershed event for the Surface Warfare community. Rather than a wakeup call for the community, 2017 should be viewed as a culminating point for the Surface Warfare community overall and the Surface Warfare Officer (SWO) culture in particular. Just as Napoleon’s policy objectives failed to bring Europe under his rule, despite brilliant military victories,1 many post-Cold War policy decisions for the Surface Warfare community, as admitted by past and current leadership, were misinformed. In some cases, they appear to have done more harm than good to the Surface Warfare community. More importantly, those changes in policy drove changes in the SWO culture. And, while many people debate the merits of some of those earlier policy decisions, the debate is lost in the fog and the SWO community is missing the real opportunity to reclaim its warfighting excellence by recreating the culture which led to victories within the last century in the same waters in which sailors died in 2017.

By identifying the warfighting traits the community believes necessary to lead, fight, and win at sea, by developing a modern approach to promotions and assignment processes, and by leveraging readily available techniques and solutions in use by leading industrial sectors,2 the SWO community can return to a culture built on warfighting competence and professional proficiency – excellence – that it once exemplified as it stood as the premier community in the Navy. This is no small task. But it is readily doable and doable in short order.

Leveraging Modern Techniques And Solutions To Restore SWO Warfighting Excellence

The national and global competition for talent in business, industry, and academia has driven the development of a variety of techniques and solutions to help organizations win the competition. Current techniques and solutions include compliance with federal and state job application laws, tailored machine reading, and the ability to develop specific questions or processes in an effort to find the right talent. Applicants build their profile and post or submit their resume. Depending on the traits the customer is looking for, applicants are screened. If their profile and resume are assessed to not meet the desired factors, applicants are notified by email that they are no longer needed to participate in the screening process. Or, if they score high enough, applicants may be required to participate in another level of screening in the form of a battery of questions or other online exercises – all before a single human has reviewed their submission. Of course, articles abound about how inhuman and unfair the process has become. However, more and more talent is migrating to these online processes to find employment and more and more organizations are paying for these services in order to win the competition for talent. These existing techniques and solutions could be applied to improve and align warfighting skill sets and proficiency for the SWO community.

Developing the Warfighting Trait Model

For starters, past naval heroes were not rated by the same processes used today. However, unstructured data in the form of biographies, articles, battle reports, and other sources can be processed using current cognitive processing methods to glean or extract a set of character traits common to those past naval heroes deemed to have exhibited warfighting excellence. In parallel, a cadre of junior officers, with very few select retired flag officers as advisors, can separately develop a set of warfighting traits.3 It is essential that the ideal of warfighting excellence is captured by this group. Once both sets of warfighting traits are generated, they are then synthesized into a single warfighting trait model that would exemplify an individual with premier warfighting excellence. With the ideal trait model in hand, the Surface Warfare community can then embark on “scoring” individual warfighting proficiency reflective of its officers’ performance.

Scoring Individual Warfighting Capability

Returning to warfighting excellence to reinvigorate and restore the SWO culture may necessitate a reconsideration of not only the factors by which warfighting excellence is determined but also an expansion of the data set from which those factors are pulled. The existing performance evaluation system and its fitness reports, and how they are used, do not meet the need and do not drive warfighting excellence. Fitness reports serve a purpose and can continue to serve as one source of data for an officer’s performance. However, there are a myriad of unique and high performing skills demonstrated daily in the fleet. Yet, the proficiency with which those skills are performed is not assessed or recorded. Reportedly, every landing onboard an aircraft carrier is an opportunity to rigorously and objectively score the pilot’s performance, and provide critical feedback in the performance of this critical warfighting skill. The Surface Warfare community should immediately adopt an approach similar to that used by Naval Aviation.

For example, the shiphandling skills necessary to get a ship underway may be observed or scored during the Basic Phase or periodically in a simulator, but there are dozens more special details which are not required to be scored. Similarly, ships routinely go alongside for underway replenishment, but this opportunity is lost for assessing shiphandling proficiency.

In a healthy command, the plan-brief-execute-debrief (PBED) process is alive and well, but scoring against community-wide professional standards does not exist. Establishing such standards and scoring an officer’s performance to those standards would contribute to establishing officer’s warfighting capability and proficiency scores. Table 1 lists some of the means to establish an officer’s warfighting scores.

Some aspects of the warfighting scores would necessarily have a temporal component as proficiency degrades over time, especially time spent away from the waterfront. For example, an Executive Officer (XO) who last took a ship alongside for replenishment at sea four years ago would (and should) have their warfighting capability score appropriately degraded. All things being equal, the XO who went alongside yesterday is likely to be much more proficient at that skill than the XO who went alongside four years ago.

Consider other Navy communities such as Explosive Ordnance Disposal (EOD), Divers, and Aviators. They all have skills that have an “expiration date.” In order to maintain proficiency and prevent triggering a requalification requirement, the skill must be demonstrated at some objectively established periodicity. While the periodicity can be lengthened such that the importance of the qualification is diminished, it must be a consistent standard to restore the warfighting excellence of the SWO community. If maintaining proficiency in basic shiphandling evolutions really is important to the SWO profession and culture, then SWOs will necessarily spend some of their shore duty in shiphandling simulators for their periodic assessments and community leadership will resource the requirement. Going to the Joint Staff for a 22-month tour will not be an excuse for not maintaining proficiency in warfighting skills.

Also listed in Table 1 are those methods that are available to and fully within the purview of a ship’s Commanding Officer (CO). This should help alleviate any concern the community might have on eroding the CO’s ability to lead or develop their wardrooms. While most of the methods are self-explanatory, it should be noted that the scores achieved during the Basic Phase are absent. Fundamentally, the Basic Phase is a training event. As such, introducing those scores into an officer’s warfighting capability score could diminish the training opportunity. In other words, activities that are primarily for training must be treated as such allowing mistakes to be made and learning to occur without concern about an officer’s warfighting capability score. Additionally, a CO’s assessment averages, just as with fitness reports, would need to be tracked as a forcing function to prevent inflating scores.

As an officer approaches a career milestone, such as a selection board or a slate, their warfighting capability score firms up and is then compared to the warfighting trait model. It is this comparison that determines their ranking within their respective cohort. For a selection board, this rank determines whether or not they are selected. Gone are the days where careers are determined by a system which is “as fair and unfair to everyone equally.” A bad briefer will not send the community’s best to “the crunch.” The Board members will know the warfighting trait model and they will be able to see the officer’s score against that model. They will see the score trends over a specific assignment and throughout the officer’s career. This way, warfighting competence and professional proficiency become the primary determinants for selection and assignment.

While most of the discussion has been focused on the determination of an individual’s warfighting capability score and proficiency, similar approaches can be used to assess shipboard teams and the ship as a whole fighting unit.

Slating For Unit Warfighting Excellence

Another benefit of knowing an individual’s warfighting capability score is developing slates which better support the fleet’s warfighting readiness needs by ensuring a ship’s overall warfighting capability score remains above a minimum level through slating officers to that ship using their warfighting capability scores.4 Consider that when a group of individuals come into their slating window, their warfighting capability score is again determined. The group is then ranked and divided into top, middle, and bottom thirds (or quarters). For example, a prospective Department Head who ranks in the top quarter will get slated to a ship where the current Wardroom’s overall warfighting capability score indicates they could use some talent. Of course, there is risk that an officers’ duty preferences will not align with the fleet’s needs, but that issue exists today and will continue to require the same quality engagement by community leaders. Detailers will still need to understand factors listed in Table 2. While Table 2’s factors are important to an officer’s quality of service, they are not factors for determining warfighting excellence. By grouping a slate by quarters or thirds, flexibility is created which allows accommodating factors in Table 2. But, the entering argument for the entire officer slating process is warfighting capability and professional proficiency.

The existence of a strong, objective warfighting excellence scoring system would allow the Surface Warfare community to manage warfighting capability within individual ships and across the fleet. It will provide a means by which the performance of individual ships and the fleet can be improved.

Things to Guard Against

The process of driving the SWO culture back to warfighting excellence and professional proficiency will be challenging and there are those who will fight the change tooth-and-nail. Senior officers will see this as an attack on “their Navy.” Detailers will see this as a challenge to their primary activities. Senior mentors and advocates will see this as an affront to their mentoring and their confederation of mentees. Some will see this approach as a challenge to various support organizations external to DON, such as the Surface Navy Association. Many will immediately start looking for ways to game or manipulate the system, eroding its effectiveness. These things must be anticipated and guarded against as a new process that attempts to change culture will have to face friction posed by existing culture.

Conclusion

If SWO warfighting excellence is the reason that the Surface Warfare Community exists, and if warfighting competence and professional proficiency is the critical need for the current and future maritime warfighting environment, the SWOs must rise to the challenge. By leveraging modern techniques and solutions to develop an objective and rigorous system of assessing warfighting capability for SWOs throughout their career, and by using the warfighting capability scores to make warfighting competence and professional proficiency the centerpiece of promotion and assignment, the SWO community will realize its greatest potential and return to a level of professionalism not seen since the end of World War II.

Themistocles is a pseudonym whose choice is intentional in order to focus on the subject of the article rather than the author. There is also the parallel in the choice of Themistocles that, while some of the ideas presented may not be popular with the establishment, the discussion and discourse prompted by these ideas may again assist in establishing the preeminence of the naval power of the world’s greatest democracy. Statements and opinions expressed in this article represent personal views and not that of the DoD or DoN.

Bibliography

Weldman, Thomas. War, Clausewitz and the Trinity. New York:  Routledge, 2013.

[1] Weldman, War, Clausewitz and the Trinity, 79.

[2] While there is a vibrant debate about what is and what is not ‘artificial intelligence’, ‘machine learning’, and other relatively new terms, this paper focuses on the fact that there are modern techniques and solutions available rather than attempting to define terms which are new, changing and not yet agreed upon by the wealth of experts debating them.

[3] The involvement of and control by current flag and senior naval officers in articulating this set of warfighting traits must be purposefully limited so that an independently developed set of traits can be achieved. The concern is that traits which may have contributed to the current culture will be captured inadvertently. Additionally, the flag officer advisors’ role is to guide the junior officers and constructively challenge their ideas to strengthen their product. The flag officer advisors to have no veto over or approval authority regarding the junior officers’ results.

[4] A unit’s overall warfighting excellence score has further implications in how and when they are employed by operational commanders. However, those possibilities are not discussed here in order to keep the discussion focused on improving the SWO culture.

Featured Image: Pacific Ocean (April 21, 2018) USS Stockdale (DDG 106) fires its Mark 45 Mod 4 5-inch gun during a live fire exercise as part of a Cruiser-Destroyer (CRUDES) Surface Warfare Advanced Tactical Training (SWATT) exercise. (U.S. Navy photo by Mass Communication Specialist 2nd Class Amanda A. Hayes/released)

The Nazi’s U-Boat Ace

By Christopher Nelson

Author Larry Paterson joins us to discuss his new book, Otto Kretschmer: The Life of the Third Reich’s Highest Scoring U-Boat Commander

Nelson: Let’s start with you. You live in Italy, you’re a SCUBA instructor, a drummer for a heavy metal band, and you write books about naval history. I’ll admit, it is one of the more interesting author bios I’ve read on a book flap. So how did you end up writing books on naval history?

Paterson: It does seem to surprise people sometimes! Growing up in New Zealand, a lot of people we knew had served in Second World War and even the previous war. One of my grandfathers had gone ashore on the first day of Gallipoli in 1915 and then gone through the Somme, Passchendaele, and so on, while the other was ex-Royal Navy and Royal New Zealand Navy, and fought in the Mediterranean Sea, Atlantic, and Indian Oceans. So, the subject of military history was always around, and both of them taught me that it was never as simple as black and white, good and bad, when it came to warfare. Most people hated Germans, while both my grandfathers respected them. I suppose that my interest in the German side of Second World War stems from that.

I left New Zealand in 1988 to be a drummer in the UK (and to see Iron Maiden live because they kept canceling New Zealand tours), so found myself near most of the battlefields I had read about. I’ve been diving since I was a teenager, and I became an instructor, eventually running my own little operation in Brittany, France, which is littered with Kriegsmarine wrecks. The U-boat bunkers and Atlantic Wall are all still there and a friend of mine called Jon Gawne sent me a copy of the First U-Boat Flotilla’s War Diary, who were based in my area. The rest just seemed to come together after that really.   

Nelson: Your newest book is about one of the Nazi’s most successful U-Boat commanders. U-boats, I believe, are a subject in some of your other work. What is it about the German Navy of World War II, particularly U-boats, that fascinates you?

Paterson: I have studied – and continue to study –  all aspects of the Third Reich’s military machine, and specializing in the Kriegsmarine kind of came around by accident after receiving the War Diary and diving on a lot of Kriegsmarine wrecks. Of course, you can’t study one side of a military and political conflict in isolation, so Second World War warfare, in general, is fascinating. I’m glad I was able to know so many people that were actually there, because most are gone now.

Why am I fascinated with U-boats? I don’t honestly know. It’s an intensely interesting subject, as is the whole of the Wehrmacht. What motivated people to fight against such odds? I do not for one minute subscribe to the ‘all Germans were Nazis’ idea that people keep saying, as that provides purely political motivation as a driving factor. There were undoubtedly some like that, as there are now in overly nationalistic people, but in general, the Wehrmacht was made up of ordinary working people. Even the Waffen SS can’t be explained by running home to the ‘Nazi’ label. It was an extraordinary phenomenon, the military services of the Third Reich.

One of my all-time favorite historians Max Hastings writes very lucidly about it and claims, with (I believe) great validity, that the German forces were probably, as a whole and in general terms, the most militarily adept of the war. It’s hard to deny the fact though they were frequently led by chaotic orders, and with such finite resources and a regime despicable in its treatment of subjugated people (even their own) they were always bound to fail. This in no way denigrates other nations’ military. For example, I now live in Italy, a nation whose efforts in the Second World War are roundly mocked, and yet who had superb Special Forces, paratroopers, and torpedo bomber pilots. So…going back to your original question before I got sidetracked into the complexities of it all…why am I fascinated? I have no idea!      

Nelson: Who was Otto Kretschmer? Where does he sit in the ranking of other U-boat commanders when you refer to “scoring” in the subtitle of your book?

Paterson: Kretschmer was the most successful U-boat captain of the Second World War, and the term ‘scoring’ relates to the total tonnage of shipping that he sank while commander of both U23 and U99. It’s terminology that is frequently used in military books dealing with all branches of service, be it tank commanders, fighter pilots or U-boat skippers, but in reality, it is a rather glib way of putting it. Counting tonnage sunk was at the heart of Dönitz’s entire U-boat campaign which, in effect, was designed to sink more merchant shipping carrying capacity tonnage than could be replaced, thereby reducing the cargo carrying potential to Great Britain and correspondingly succeed in enforcing a blockade that could starve Britain into submission.

U-52, A Type VIIB German Submarine (Wikimedia Commons)

However, it has probably become a term that is used too freely in books that deal with the U-boat war. Every ship that was sunk was the home of those crewmen, and even those that went down with no casualties frequently involved a lot of fear, panic, the loss of belongings and even the stoppage of wages for many merchant seamen! Then there are the other ships that sank in flames with men killed and injured and frequently left to die. The other side of the coin is identical: U-boats being sunk with men trapped inside the hull and crushed by extreme pressure or dying through air starvation or the myriad other ways that killed three-quarters of the men of the U-boat service. As always, that is the reality of such a war, which can be somewhat ‘anesthetized’ by talking about a U-boat commander’s ‘score.’ Nevertheless, it is a quantifiable measure of military success, and Kretschmer ranks at the very top of that ‘league table.’ 

Having dived on many wrecks which are war graves, that moment gives you a sense of humility and gravity that I think is very important to remember. The same as standing at the cemetery near Omaha Beach. Truly sobering, and an important feeling for anybody who studies and writes about war to be aware of.

Nelson: What was the standard path for a German submariner to become a captain of their own boat? Did it differ greatly from the allies?

Paterson: Not particularly, though it accelerated greatly as the war dragged on and the ‘old guard’ were either posted ashore or lost in action. In the early stages, men enlisted as officer cadets, served as midshipmen, then junior officers before — if judged competent — given their own command. Often a training boat at first, though that morphed into a combat boat involved in training and trials before heading to the front. Kretschmer was amongst the ‘first wave’ of young captains, the men that served as his First Watch Officer amongst the ‘second wave’ and beyond that the entire process got quicker and quicker. Men were sometimes going to sea with little command experience, and with crews that had been drafted into the U-boats. The mythology of a force of volunteers is just that, a myth.     

Nelson: Did the Germans have better submarines than the allies? How quickly were the German’s able to innovate and field new submarines, and what types of submarines did Kretschmer serve on?

Paterson: Perhaps the Germans possessed better submarines in the early stages of the war. Certainly, the Type VIIB (like Kretschmer’s U99) was a finely-honed weapon, and the larger Type IX cruiser submarines well-suited to more distant operations. However, there hadn’t really been that much development between the wars and the types were reminiscent of those that served in the First World War. The Type II that Kretschmer started on a was a good coastal boat, but of limited endurance and weapon load. The Type VII was the backbone, particularly the later Type VIIC. These had excellent seakeeping qualities and a well-designed hull that gave it quite an extreme depth capability for a boat of its time. Creature comforts were few, but then that can be the story of the Wehrmacht. Conditions aboard a combat boat were difficult, particularly on a long voyage where living and working space was sacrificed for supplies, and yet people just dealt with it.

U-37, A type IXA U-Boat in Lorient (Wikimedia Commons)

As far as development after the war had begun, that proved a major stumbling block. Rather than create a completely new design, modifications to the existing frames were made so that by 1943 the boats were virtually obsolete. The Germans failed in the cypher war most spectacularly when they refused to concede the possibility of compromised codes and were frequently one step behind Allied countermeasures such as radar, the Leigh Light, and air superiority.

The finite resources that Germany waged war with sealed the fate of the entire Wehrmacht; the Luftwaffe declining quickly and unable to counterbalance Allied material and tactical strength. Things like the snorkel helped briefly but were never going to swing the tide of war, much as the German attack that became the Battle of the Bulge was never going to alter the outcome of the war but gave the Allies a momentary fright. The development of the Walther propulsion system never came to fruition and the Type XXI electro-boats would have had to come into service in early 1944 to make any appreciable difference, and even then it would be doubtful. They too were deeply flawed in their construction, due to the dislocation caused by Allied bombing. The Type XXIII electro-boat saw service and was an effective machine, but carried only two torpedoes! The same loadout as a Seehund midget submarine — and not really of much greater endurance. 

So, before the war had gone past 1941, the Germans were reacting to Allied technological and tactical advances rather than leading the field. Dönitz never had enough boats in action during the early years when they could have made a difference. He wanted 300 before war was declared — he started with 57. By the time he had the numbers, the U-boat war was already lost and the ‘greats’ who had captained the ‘Ace’ boats were gone.    

Nelson: I was fascinated to learn in your book that the Germans had their own problems with torpedoes. I’ve read about our own challenges with U.S. torpedoes in the early part of the war, but I wasn’t aware of the Kriegsmarine’s troubles. What exactly was the problem with German torpedo performance? Kretschmer experienced some of this, did he not?

Paterson: German torpedo performance was abysmal. It wasn’t just the Kriegsmarine that suffered this problem, it was the same with aerial torpedoes for the short-lived naval air arm and the Luftwaffe. A lack of rigorous testing and technological development rendered them next to useless. It was really a combination of things that damned the German torpedoes.

First, while the contact detonator that had been used during the First World War was simple and reliable, it had been redesigned between the wars to an overly complex series of levers that were supposed to provide a wider angle in which the trigger would fire, but in effect did not work. It was tested only twice before being issued, and even those tests did not go well.

So, U-boat skippers were advised to use magnetic pistols. However, not only did Allied degaussing provide a problem for them but geographical variations in the earth’s magnetic fields rendered them inoperable — as in Norwegian waters during 1940.

However, even if they had worked, the triggering of a magnetic detonator required the torpedo to pass beneath a ship’s keel at a set depth and German torpedo depth keeping was compromised by a leaking balance chamber. Original tests of the torpedo’s depth keeping had been done at ordinary atmospheric pressure, but the internal pressure of a U-boat differed, and this differential leaked into the chamber and caused torpedoes to run deeper than set and thereby not triggering. This problem wasn’t remedied until the end of 1942! Instead, commanders began to rely on pattern running and, later, acoustic-homing torpedoes that could be countered.      

Nelson: Another thing I read with fascination – again, because it is something that can plague any Joint Force today – and that’s Germany’s challenge of coordination between the navy and the air force. You write that on one deployment, the Luftwaffe attacks Kretschmer’s boat. What happened? And was this a problem throughout the entire war?

Paterson: Yes, indeed…For an effective military, they were extremely ineffective sometimes! The relationship between the Luftwaffe and Kriegsmarine was frequently strained; a situation that stemmed from the very top as Göring was vainglorious and boastful and despised the ‘cold’ and aristocratic Raeder. It is true that Raeder did not really value the U-boat service as much as his ‘big ships’ but he also failed to understand the potential of aircraft as an offensive maritime weapon, soon demonstrated by most other countries’ navies. Göring, on the other hand, wanted tight control of everything that flew in Germany and frequently engaged in the kind of petty political maneuvering that was rife within the upper echelons of the Wehrmacht and Third Reich as a whole, often at the expense of operational necessity.

Kretschmer’s U-boat was actually attacked by a floatplane from the Scharnhorst after it strayed unintentionally into a prescribed search and attack radius given by the battleship’s reconnaissance aircraft who were guarding against British submarines. But there were more deadly examples of the lack of cooperation between the two services such as when two destroyers were sunk as a result of a German bomber attack. That example was a combination of faulty Luftwaffe navigation — most of their crews not properly trained in nautical navigation — and lack of communication between Luftwaffe and Kriegsmarine commands as neither was made fully aware of the other’s movements in time to brief operational crews.   

It’s an interesting topic in itself and I’m actually working on a book about Luftwaffe maritime forces, a long and complicated story! The reality is that although aircraft like the Focke Wulf 200 Condor are (in)famous for their role in the Battle of the Atlantic, they were woefully unprepared, unsuitable, undertrained and underequipped. Thankfully, for the Allies! Proper air and sea coordination between better led, better equipped, and better-supplied forces could have been devastating.   

Nelson: How good was Kretschmer as a tactician? Did he prefer the surfaced night attack? If so, why?

Paterson: He was very good. He was unwilling to follow the norm and obey whatever operational protocol was being promoted. Like many of his generation of U-boat commanders, he thought outside the box and always had two overriding motivating factors: combat effectiveness (i.e. results) and crew welfare. He would not jeopardize his boat or crew without a good chance of survival and success.

His preference was to penetrate the convoy body itself, at night and on the surface. Once submerged, the U-boat was slow, detectable, and unwieldy. On the surface it was fast, well-armed, maneuverable and hard to see as he would sail with the hull trimmed as low as feasible providing very little silhouette. It took great concentration, quick thinking, efficient lookouts, and a good torpedo officer as the First Watch Officer actually aimed and fired while surfaced as the captain maintained the ‘overall look.’

He was not the only commander to adhere to the ‘one torpedo, one ship’ mantra, as Erich Topp and Günther Prien did, to name but two. But their methods were far more successful than the prevailing operational advice of firing a spread of torpedoes from outside the convoy escort screen and hoping for one or two hits.   

Nelson: He’s eventually captured and taken into captivity in Canada. Yet he almost escaped. Can you briefly tell us about that episode?

Paterson: He was captured and did end up in Canada. The escape attempt was relatively far-fetched as it required traversing a great distance to be picked up by a U-boat off the Canadian coast. Not impossible, though as it transpired, not workable either. The tunnel was discovered, although one man did make it over the wire in a separate attempt and managed to reach the area of the rendezvous. Of course, the Allies had discovered the entire plan, and were waiting to trap the U-boat, U536, that had been sent to rescue them. The U-boat skipper sensed the trap and retreated, and the single escaped prisoner was caught. In fact, U536 was soon sunk thereafter as well.  

Nelson: Kretschmer was never a fervid Nazi, was he? What did he do after the war?

Paterson: He wasn’t a particularly politically motivated man, though he was undoubtedly nationalistic. His roots were in Silesia so he would have felt the fractious relationship with Poland resulting from the previous war and was probably in favor of the Third Reich’s stated ambition of reuniting and reinvigorating Germany. But, I don’t want to guess at his thoughts on the matter, as it is indeed a complex area which is also, of course, very sensitive for people. After the war he returned to Germany, studied maritime law, and then joined the navy once more. That in itself would have been a difficult time for such veterans as the Germans attempted to distance themselves from militarism, and yet some of their senior officers were ex-Wehrmacht and extremely militaristic. Tricky.    

Nelson: Das Boot (the film) – underrated or overrated?

Paterson: Brilliant. I actually prefer it to the book. One of my stock questions for U-boat veterans was what they thought of the film. In general, they were all very positive, give or take a few scenes. Many did not like the bar scene and said they would have little respect for officers who passed out and vomited on themselves. Others said there was too much noise from the crew during depth charging, but in general, the consensus was that it is as close to reality as any film has been. Personally, I think it is a superb film in every way. I was lucky enough to get a private tour of the film sets that are at the Bavarian Film Studios and open to the public, and it is remarkably like being inside U995 at Kiel. On the other hand, the movie U571 is junk of the worst kind, in every possible way, apart from a great U-boat model!

U995 in Kiel (Wikimedia Commons)

Nelson: Das Boot (the book) – underrated or overrated?

Paterson: Great book but prefer the film. More U-boat men that I spoke to don’t like the book so much. Sometimes that is because they could not stand the author Buchheim, an ex-propaganda reporter during Second World War. A man that certainly divided opinion amongst the veterans I have spoken to!

Nelson: Who, in your opinion, are some of the other naval historians writing about the German Navy during World War II whose work you admire?

Paterson: There are a lot, I’m not really sure who to name. As I’ve said before, I really like the work done by Max Hastings, though his books are not specifically naval at all. But his studies of aspects of the entire war are truly excellent. He has a refreshing ability to apply clarity and reasoned argument to subjects that are often considered done and unalterable. His views are forthright, accurate, and well presented and I find his books inspirational as he is not afraid to approach subjects as they actually are, rather than repeating the ‘party line.’ It’s hard to make a voluminous study of the war so readable, but he does it. In a similar way that Cornelius Ryan used to with such great books as A Bridge Too Far and so on. Also, Chester Wilmot’s The Struggle For Europe takes some beating. My favorite authors about U-boats? Very hard to say…maybe Jak Mallmann Showell’s older books, Jordan Vause, Eberhard Rössler… I would find it easier to say which books I don’t like…but I’m not going to! 

Nelson: This is great. Thank you.

New Zealander Lawrence Paterson has written fifteen books related to the Wehrmacht during the Second World War – predominantly concerning German naval operations – and one about his time on the road as part of the Blaze Bayley band. He is working on two more books which mark something of a new direction; the first being a history of Luftwaffe maritime operations, and the other detailing Operation Colossus, the first British parachute drop of the war. He is also a scuba diving instructor after having first learnt to dive in New Zealand in 1984, and a touring heavy metal drummer, a career that he started at about the same time! He now lives in Puglia, Italy, with his wife, three cats, two drum kits and a library of books.

Christopher Nelson is a U.S. naval officer stationed at the U.S. Pacific Fleet Headquarters in Pearl Harbor, Hawaii. He is a graduate of the U.S. Naval War College and the Maritime Advanced Warfighting School in Newport, RI. He is a regular contributor to CIMSEC. The questions above are his own and do not reflect those of the U.S. Department of Defense or the U.S. Navy.

Featured Image: German U-boat attack, World War II. Artwork of German sailors on the conning tower of a U-boat (submarine) that has surfaced after sinking a British cargo ship during World War II (1939-1945). This 1941 painting is by German artist Adolf Bock (1890-1968).

The Great Game in the Indian Ocean: Strategic Partnership Opportunities for the U.S.

By Chad Pillai

There is a growing strategic competition underway in the Indian Ocean and Arabian Sea between India and China focused on acquiring commercial ports and military facilities. It is a race for strategic access, leverage, and influence for energy resources, markets, and national security. This competition between two relative new naval powers in the region will directly influence the U.S. and its regional partners in the U.S. Central Command (USCENTCOM) and U.S. Africa Command (USAFRICOM) Area of Responsibilities (AORs), beyond the usual purview of Pacific Command (USPACOM) whose AOR India lies within. For the U.S., this represents a strategic opportunity to compete against China’s growing influence by expanding its relationship with India in the CENTCOM and AFRICOM AORs.

Nyshka Chandran reported on CNBC in February 2018 that “China and India are competing for regional supremacy in the Indian Ocean as they look establish a stronger military and economic presence in bordering countries.” China’s move into the Indian Ocean, as part of its “String of Pearls” approach to expand its strategic reach, is well documented. The formal establishment of China’s first overseas military base in Djibouti serves as its first military marker on the global map. Recently, China has been in negotiations with Pakistan to expand its access to the port of Gwadar and open its second overseas naval base in Jiwani, Pakistan which is about 80 km from Gwadar. These two locations would provide China the means and proximity to militarily influence two of the world’s eight strategic chokepoints, the Bab el-Mandeb straits along at the mouth of the Red Sea and the Strait of Hormuz. Additionally, China has been expanding its economic presence in the Seychelles, Maldives, and in Oman.

While China expands its presence, India has not remained idle. It has invested in the commercial port of Chabahar, Iran to give it greater access to Afghanistan, circumventing Pakistan. However, questions arise on whether India can use the port to effectively compete against China and its One Belt and One Road (OBOR) strategy. In addition to the port in Iran, India is competing for access to the Seychelles, Maldives, and Oman. The recent tensions between China and India, after China deployed 11 warships to the Maldives in February illustrates this growing rivalry. In the Seychelles, India is spending $46 million dollars in foreign aid to improve costal defense and airstrips; however, that has run into recent issues with the president of the Seychelles. While India doesn’t lack in its ambition to compete with China, it lacks a cohesive political and economic decisionmaking body like China to invest and outcompete, and lacks in its naval capabilities to effectively challenge the Chinese. According to the International Institute for Strategic Studies (IISS), China’s naval surface combatants dwarfs India (83 Chinese combatants vs. 27 Indian Combatants; 57 Chinese attack submarines vs. 15 Indian attack submarines; and 4 Chinese ballistic submarines vs. 1 Indian in development). Of course, the naval disparity between the two nations is spread out across the Indian and Pacific Oceans, and China must overcome its “Malacca Straits Dilemma” to surge forces into the Indian Ocean.

This growing competition between China and India present a strategic opportunity for the U.S. to offset China’s growing presence in the region. While the U.S. has generally viewed India as a strategic partner in the U.S. Pacific Command (USPACOM) AOR to offset China, it represents an opportunity to counter-balance China in the USCENTCOM and AFRICOM AOR as well. In concerted effort by USCENTCOM, in partnership with PACOM, can find ways to enhance the Indian Navy’s force projection capabilities in the Indian Ocean and Arabian Sea to challenge China’s small, but growing, military presence in the region. U.S. Navy Central Command (USNAVCENT) can spearhead this effort on behalf of CENTCOM by encouraging India to more fully participate in the Combined Maritime Forces (CMF) that focuses on Counter-Piracy operations.  NAVCENT could consider future joint naval exercises focusing on combined naval operations, Anti-Submarine Warfare (ASW), and carrier-based operations. Such combined exercises can assist India in expanding its capabilities and capacity to exert greater influence, in concert with U.S. interests, in the region as a means to counter-balance China’s presence. Additionally, as Harry Halem recently noted, the U.S. can encourage greater cooperation between its allies and partners in the region, to include Israel, to cooperate with India. This also includes expanding ongoing Indian-French naval cooperation in the Indian Ocean as seen by France’s deployment of its Charles De Gaulle strike group to exercise with the Indian Navy. For the U.S., these efforts will have to be delicately balanced with the U.S. relationship with Pakistan and it may raise concerns on the Pakistani Navy’s ability to counter-balance India as well.

Increased ties between the U.S. and India will also support increased foreign military sales of U.S. capabilities. Recently, the U.S. has become one of India’s primary weapons exporters with sales of “Boeing P-8I Neptune — a version of the U.S. Navy’s P-8 Poseidon anti-submarine warfare (ASW) aircraft.” Additionally, the U.S. offered to sell its Harpoon missile to India. The recent cancellation of the Indian-Russian Stealth Fighter presents an opportunity for the U.S. to offer its platforms to include the F/A-18 Super Hornet. An area of future opportunity may lie in a combined shipbuilding program to assist the Indian Navy in its modernization efforts. These sales will contribute towards developing increased interoperability between the U.S. and Indian Navies, along with allied and partner navies in the region.

While China is attempting to build upon the legacy of Zheng He (Ming Dynasty), India must learn to use its geographic positional advantage in the Indian Ocean that dominates east to west maritime traffic. The key to leveraging its geographic positional advantage in the Great Game of the Indian Ocean will be based on a mutual desire by India to expand its military, primarily naval, capabilities to compete with China and, a mutual desire by the U.S. and India to expand their military cooperation. For the U.S., India can no longer be viewed simply as a PACOM partner. Instead, it must be viewed as a trans-regional partner who has the ability to influence both the CENTCOM and AFRICOM AORs as a counter-balance to China’s growing global ambition. As Robert Kaplan, author of Monsoon, has noted, the Indian Ocean represents the fulcrum between American Power in the Middle East and the Asia-Pacific, and its growing relationship with India will shape its desire to remain atop the global order against a rising China.

Chad M. Pillai is an experienced Army strategist and is a member of the Military Writers’ Guild, Army Strategy Association, and contributes to the U.S. Naval Institute. He has operational experience in the CENTCOM AOR and has traveled to India, to include 1998 during the Indian and Pakistani nuclear tests of 1998. He received a Masters in International Public Policy from the Johns Hopkins University School of Advanced International Studies (SAIS). The article reflects the opinion of the author and do not reflect the official position of the U.S. Government and the U.S. Department of Defense.

Featured Image: SASEBO, Japan (June 10, 2016) – Rear Adm. Brian Hurley, center, deputy commander, U.S. 7th Fleet, tours the Indian navy Kora-class corvette INS Kirch (P62) during Malabar 2016. (U.S. Navy photo by Mass Communication Specialist 2nd Class Ryan J. Batchelder/Released)

A Sign of the Times: China’s Recent Actions and the Undermining of Global Rules, Pt. 3

By Tuan N. Pham

Last March, CIMSEC published an article titled “A Sign of the Times: China’s Recent Actions and the Undermining of Global Rules, Part 1” highlighting three troubling developments that oblige the United States to further encourage and challenge China to become a more responsible global stakeholder that contributes positively to the international system. The article noted Beijing is trying to convince others to accept the self-aggrandizing and self-serving term of “near-arctic state”; to fulfill its nationalistic promise to the Chinese people and reclaim the disputed and contested South China Sea (SCS) from ancient times; and to expand its “sharp power” activities across the globe.

A month later, CIMSEC published a follow-on article underscoring that these undertakings continue to mature and advance apace. The article featured China possibly considering legislation to seemingly protect the fragile environment in Antarctica, but really to safeguard its growing interests in the southernmost continent; taking more active measures to reassert and preserve respectively its perceived sovereignty and territorial integrity in the SCS; and restructuring its public diplomacy (and influence operations) apparatuses to better convey Beijing’s strategic message and to better shape public opinion abroad. At the end of the article, the author commented that although the United States made progress last year calling out wayward and untoward Chinese behavior by pushing back on Chinese unilateralism and assertiveness, strengthening regional alliances and partnerships, increasing regional presence, reasserting regional influence, and most importantly, incrementally reversing years of ill-advised accommodation; there is still more America can do.

The following article lays out previously recommended ways and means that Washington can impose strategic costs to Beijing and regain and maintain the strategic initiative. Providentially, the Trump Administration has implemented many of them, but the real challenge remains in sustaining the efforts and making the costs enduring. Otherwise, Beijing will just wait out the current administration in the hopes that the next one will advance more favorable foreign policies. Alternatively, they could also step up their “sharp power” activities to influence extant U.S. foreign policies and/or undermine the current U.S. administration’s political agenda and diminish its re-election prospect in 2020.         

What America Can Do in the Indo-Pacific

 The new National Security Strategy and National Defense Strategy call for embracing strategic great powers competition with rising China. They both make the case that when two powers, one dominant (United States) and one rising (China), with competing regional and global strategies extend into one’s another security and economic spheres, the geopolitical landscape is ripe for friction. However, this competition is not to be feared but to be expected and embraced. America must challenge China’s rise if it continues to not be peaceful and undermines the global rules that provide global peace and prosperity for all.  

China will likely remain the economic partner of choice for the Indo-Pacific, while the United States will likely remain the security partner of choice. As this China-U.S. competition grows and intensifies, balancing these complex and dynamic relationships will become increasingly challenging as regional countries feel greater pressures to choose sides. The U.S. should continue to pursue stronger regional security ties and strive to be a more dependable and enduring partner in terms of policy constancy, resolve, and commitment. Strengthening old alliances and partnerships, and forging new ones with Hanoi, New Delhi, and others will be beneficial.  

The “most effective counterbalance” to China’s campaign of tailored coercion against its weaker neighbors will still be U.S. persistent presence and attention (and focus) in the form of integrated and calibrated soft and hard deterrent powers – multilateral diplomacy, information dominance, military presence, and economic integration. 

The “most promising and enduring check” to China’s expansive regional and global ambitions will still be economic integration. The U.S. should move forward on more bilateral trade agreements; support the emerging Trans-Pacific Partnership-11 (TPP-11) initiative; and/or reconsider bringing back the TPP itself to bind the United States to the other regional economies, guarantee an international trading system with higher standards, and complement the other instruments of national power. Otherwise, Washington may inadvertently drive the Indo-Pacific nations toward other economic alternatives like the China-led Regional Comprehensive Economic Partnership, Asian Infrastructure Investment Bank, and Belt and Road Initiative

China is a signatory of the United Nations Convention on the Law of the Sea (UNCLOS) but often violates its provisions, whereas the United States has not ratified UNCLOS but has been its foremost champion on behalf of freedom of navigation, global commerce, and international rule of law. The U.S. should consider ratifying UNCLOS if challenges are going to have more gravitas and be taken more seriously by the international community, otherwise, the status quo simply strengthens Beijing’s ability to call into question Washington’s sincerity to international norms.

The U.S. must keep reframing and countering when appropriate the narratives that China pushes with accusations of American containment and hypocrisy while promoting a perception of  China’s global benevolence and benign rise. Washington’s message is more often than not reactive and defensive, not synchronized, or sometimes nothing at all. The U.S. can seize the messaging initiative like during the 2017 Shangri La Dialogue with the keynote speech by Australian Prime Minister Turnbullremarks by American Secretary of Defense Mattis during the first plenary session (United States and Asia-Pacific Security), and comments by former Japanese Minister of Defense Inada during the second plenary session (Upholding the Rules-based Regional Order). The U.S. can continue to acknowledge that both countries have competing visions, highlight the flawed thinking of Beijing’s approach, champion its own approach as the better choice, and call out wayward and untoward Chinese behavior when warranted. This can include China’s expansive polar ambitions, intrusive sharp power activities, and destabilizing SCS militarization, but the U.S. should also give credit or commend when appropriate, such as China’s economic sanctions against North Korea. The U.S. cannot euphemize in its messaging, and whenever possible, should synchronize communication throughout the whole-of-government and international partners while reiterating at every opportunity. There can be no U.S. policy seams or diplomatic space for China to exploit.

The U.S. must take each opportunity to counter China’s public diplomacy point-for-point, and keep repeating stated U.S. diplomatic positions to unambiguously convey U.S. national interests and values such as:

  • The United States supports the principle that disputes between countries, including disputes in the ECS and SCS, should be resolved peacefully, without coercion, intimidation, threats, or the use of force, and in a manner consistent with international law.
  • The United States supports the principle of freedom of navigation, meaning the rights, freedoms, and uses of the sea and airspace guaranteed to all nations in international law. United States opposes claims that impinge on the rights, freedoms, and lawful uses of the sea that belong to all nations. United States takes no position on competing claims to sovereignty over disputed land features in the East China Sea (ECS) and SCS.
  • Claims of territorial waters and economic exclusive zones (EEZ) should be consistent with customary international law of the sea and must therefore, among other things, derive from land features. Claims that are not derived from land features are fundamentally flawed.
  • Parties should avoid taking provocative or unilateral actions that disrupt the status quo or jeopardize peace and security. United States does not believe that large-scale land reclamation with the intent to militarize outposts on disputed land features is consistent with the region’s desire for peace and stability.
  • United States, like most other countries, believes that coastal states under UNCLOS have the right to regulate economic activities in their EEZ, but do not have the right to regulate foreign military activities in their EEZ.
  • Military surveillance flights in international airspace above another country’s EEZ are lawful under international law, and the United States plans to continue conducting these flights as it has in the past. Other countries are free to do the same.

What America Can Do in the SCS

Since the start of 2018, China appears embarked on a calculated campaign to determinedly reassert and preserve its perceived sovereignty and territorial integrity in the SCS through words and deeds. Beijing believes that sharp and emphatic “grey zone” operations and activities will once again compel Washington to back down in the SCS. Washington did little when Beijing illegally seized Scarborough Shoal in 2012; brazenly reclaimed over 3200 acres of land over the next five years despite a 2002 agreement with the ASEAN not to change any geographic features in the SCS; barefacedly broke the 2015 agreement between Xi Jinping and Barack Obama to not militarize these Chinese-occupied geographic features; and blatantly disregarded the landmark 2016 Arbitral Tribunal ruling.          

The U.S. can continue to reframe the SCS as a strategic problem (and not a regional issue) that directly involves the United States and obliges China to act accordingly. Explicitly conveying to Beijing that the SCS is a U.S. national interest and making the SCS a “bilateral” U.S.-China issue may induce Beijing to rethink and recalibrate its revisionist strategy. The U.S. can turn the tables and make Beijing decides which is more important to its national interests – the SCS or its strategic relationship with Washington (trade, military-military, etc.). Stay firm and consistent to stated SCS positions :

  • No additional island-building and no further militarization
  • No use of force or coercion by any of the claimants to resolve sovereignty disputes or change the status-quo of disputed SCS features
  • Substantive and legally binding Code of Conduct that would promote a rules-based framework for managing and regulating the behavior of relevant countries in the SCS and permissibility of military activities in the EEZ in accordance with UNCLOS.

Otherwise, deferring to Beijing on aforesaid issues will only reinforce the perception in Beijing that Washington can be influenced and maneuvered with little effort.

Beijing undermined the International Tribunal for the Law of the Sea by drawing red lines around the reclaimed and disputed geographic features. Washington and the international community must therefore buttress the Tribunal’s authority and legitimacy through words and deeds. There is value in continuing to challenge Beijing’s excessive and contested maritime claims in the SCS through a deliberate, calibrated, and enhanced campaign of presence operations – transits, exercises, and freedom of navigation operations (FONOP). Otherwise, failing to conduct these routine operations in the aftermath of the landmark 2016 ruling, particularly FONOPs, sends the wrong strategic signal and further emboldens Beijing to continue its brazen and destabilizing militarization of the SCS. Combined, multi-national exercises can underscore the universal maritime right of all nations to fly, sail, and operate wherever international law permits.

China pursues a very broad, long-term maritime strategy and will view any perceived U.S. force posture reduction as a reward (tacit acknowledgement and consent) for its unilateral rejection of the Tribunal ruling, a win for its strategy and preferred security framework, and another opportunity to reset the regional norms in its favor. Reduction may also increase Beijing’s confidence in its ability to shape and influence Washington’s decisions and encourage China to press the United States for additional concessions, in return for vague and passing promises of “restraint.”

Although Manila and Washington did not capitalize on the hard-fought legal victory over China’s excessive and contested maritime claims in the SCS, it is still not too late to do so. The U.S. can encourage and support Hanoi, Kuala Lumpur, and other Association of Southeast Asian Nations (ASEAN) countries to put additional pressures such as legal challenges, public diplomacy, and collective maritime activities on Beijing to curb its assertiveness and unilateralism, stop its land reclamation and militarization activities, and come in good faith to the multilateral (not bilateral) negotiating table for a peaceful and enduring resolution of the competing and contested maritime claims.

Now is Not the Time to Back Down in the SCS

All told, years of American acquiescence and accommodation may have “unintentionally and transitorily” eroded international rule of law and global norms while diminishing the regional trust and confidence in U.S. preeminence. Furthermore, this accommodation may have weakened some of the U.S. regional alliances and partnerships, undermined Washington’s traditional role as the guarantor of the global economy and provider of regional security. These accommodations have accelerated the pace of China’s deliberate march toward regional preeminence and ultimately global preeminence.

So, as to not further give ground to Beijing in the strategic waterway, Washington cannot back down now in the SCS. To do so would further embolden Beijing to expand and accelerate its deliberate campaign to control the disputed and contested strategic waterway through which trillions of dollars of global trade flows each year and reinforce Beijing’s growing belief in itself as an unstoppable rising power and Washington as an inevitable declining power that can be intimidated out of the SCS and perhaps eventually the greater Indo-Pacific in accordance with its grand strategic design for national rejuvenation (the Chinese Dream). For Beijing, controlling the SCS is a step toward regional preeminence and eventually global preeminence.      

Conclusion

Beijing’s strategic actions and activities are unwisely and dangerously undermining the current global order that it itself has benefited from. Hence, Washington has a moral and global  obligation of leadership to further encourage and challenge China to become a more responsible global stakeholder that contributes positively to the international system. Otherwise, Beijing will continue to view U.S. acquiescence and accommodation as tacit acknowledgement and consent to execute its strategic ambitions and strategies unhindered and unchallenged. The U.S. window of opportunity to regain and maintain the strategic high ground and initiative will not remain open forever.

Tuan Pham serves on the executive committee of the Yokosuka Council on Asia-Pacific Studies and is widely published in national security affairs and international relations. The views expressed therein are his own and do not reflect the official policy or position of the U.S. Government.

Featured Image: Chinese dragon statute (Wikimedia Commons)

Fostering the Discussion on Securing the Seas.

Skip to toolbar