On May 1 CIMSEC will host the third annual CIMSEC Forum for Authors and Readers (CFAR), an event for our readers and the public to engage our contributors on their work and topics of interest. Thanks to the generous support of CNA and the U.S. Naval Institute we are pleased to offer a professional workshop on a range of maritime security issues.
The evening will provide a chance to engage your favorite CIMSEC contributors on their work over the preceding year, hear their thoughts on how their pieces have held up, and explore predictions for the coming year. For the first time CNA will also participate in the proceedings (more on that coming soon).
Are there connected Chinese strategic themes that cut across the contested and interlinked global commons (domains) of maritime, space, and cyberspace? If so, what are they and what could the United States do about them?
By Tuan N. Pham
Part 1 of this two part series explored the cross-domain nexus between the maritime, space, and cyberspace global commons by examining the latest Chinese white paper and strategies. Repeated refrains included the Chinese Dream (national rejuvenation); global interests, peace and development, security, and the development of national laws to advance China’s national interests in the three contested battlespaces. Special emphasis was given to the contentious concept of cyberspace sovereignty in support of national security and social stability. With this backdrop, Part 2 will now derive possibly connected strategic themes that cut across the interlinked global commons and discuss how the United States could best respond.
The Chinese Dream
Chinese Manifest Destiny. Chinese strategists have long called for a comprehensive and enduring set of strategies to better integrate and synchronize the multiple strategic lines of effort in furtherance of national goals (ambitions) and as part of a grand strategy for regional preeminence, and perhaps ultimately global preeminence. China’s dream of national rejuvenation may be the answer to their calling. The prevailing leadership’s sentiment appears now expansionist and revisionist. The time has come for Beijing to finally abandon the long-standing state policy of “hide capabilities and bide time” championed by the iconic former President Deng Xiaoping; right a perceived historical wrong; put behind the painful humiliation of the past; and assume its rightful place on the world stage as a destined global power. China is unquestionably a confident economic juggernaut and rising global power, able to manifest its own national destiny – the Chinese Dream – and dictate increasing power and influence across the contested and interlinked global commons in support of national rejuvenation.
Global Commons Sovereignty (Economic Prosperity vs National Security). Beijing’s maritime activities are driven by its strategic vision of the ocean as “blue economic space and blue territory” crucial for its national development, security, and status. China seems to regard space and cyberspace very much in the same manner in terms of economic potential (value) and sovereign territory that requires developing and defending respectively. For now, there appears more policy clarity, guidance, and direction for sovereignty in cyberspace, while space sovereignty seems more fluid and may still be evolving policy-wise. Nevertheless, Beijing still needs to balance two competing national priorities – developing the domain economy (economic prosperity) and defending domain rights and interests (national security) – in all three contested and interlinked global commons. Many anticipate the initial emphasis will be on the economy since it is an enduring asymmetric counterbalance to the preeminent United States. The rationale calculus is simple for Beijing. Why would China opt to directly confront a militarily and economically stronger United States now when it can subtly and quietly undermine American preeminence through lasting economic partnerships and enduring political agreements (bilateral preferably and multilateral when necessary)? Beijing can always recalibrate later based on the fluid strategic conditions and confront Washington more directly and forcibly when opportunities arise, or if and when the balance of power shifts more in its favor.
Shaping Law to Support Strategy. Last year, China announced its intent to create new domestic maritime laws in support of its evolving maritime strategy. These developing domestic maritime laws bear watching as a possible harbinger for the other contested and interlinked global commons of space and cyberspace and as an attempt to right a perceived historical wrong. The former is part of a continuing effort to set the terms for international legal disputes that Beijing expects will grow as its domain reach expands; the latter reflects China feeling disadvantaged (and taken advantage of) by a Western-dominated system of international laws established when it was weak as a nation and had little say in its formulation. In general, the broad legal approach makes a lot of legal, political, and military sense from Beijing’s perspective. China wants to set the enabling conditions for its future strategies across the contested and interlinked global commons in terms of implementation and sustainment. Beijing seeks to expand its domain borders through buffer zones. It will buttress and justify with legal underpinnings its growing domain presence and operations and also exert greater control within those buffer zones. China seeks to eventually shape international laws and norms (and develop accompanying domestic laws) to be more equitable and complementary to its national interests.
U.S. Strategic Opportunities
Maintain Preeminence. Just as maritime preeminence is necessary to guarantee the freedom of the seas, so too are space and cyberspace preeminence needed to guarantee the freedoms of space and cyberspace. By committing to preeminence in all three contested and interlinked global commons, the United States will better protect its critical strengths; enhance its deterrence posture by being able to impose larger costs, deny greater benefits, and encourage more restraint, and reverse the growing perception of American decline. Having complementary domain policies and strategies fosters unity of effort, optimizes resource allocation, sends a strong deterrent message to potential adversaries, and reassures allies and partners. To do otherwise invites strategic misalignment and miscommunication and encourages potential competitors like China to further advance their counter-balancing efforts in the maritime, space, and cyberspace global commons.
Protect the Global Commons. Now is not the time to cede territory in the contested and interlinked global commons of maritime, space, and cyberspace. China pursues very broad, long-term, and synchronized domain policies and strategies, and may view any perceived U.S. force posture reduction as another opportunity to reset the international accepted 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 domain concessions in return for vague and passing promises of restraint while it quietly and steadily expands and strengthens its positions in the global commons.
Dominate the Narrative. To compete with Beijing short of conflict, Washington needs to reframe the narrative that China dominates with accusations of containment. The United States could be more proactive and seize the messaging initiative like it does in the maritime domain. Former Secretary of Defense Carter hit the right resonance notes during the Shangri La Dialogue in June and in the November/December 2016 edition of Foreign Affairs with his gentle reminders to the region of America’s traditional role as the principal underwriter of maritime security, political stability, and economic prosperity in the Indo-Asia-Pacific; warning China not to build a “Great Wall of self-isolation”; and using the catchall concept of “principled security network of alliances and partnerships” to outline a vision that the United States has long sought to describe. The same needs to be done in the contested and interlinked global commons of space and cyberspace. The “balancing” message needs to be reiterated at every opportunity and at the highest level, and synchronized throughout the whole-of-government and with allies and partners. There can be no U.S. policy seams or diplomatic space for Beijing to exploit. In short, acknowledge that both countries have competing visions and encourage China to act as (or become) a more responsible global stakeholder that contributes positively to the international system.
Seize the Initiative. The maritime strategy and accompanying domestic maritime laws are coming, but China has not said when. The same can be largely said in the space and cyberspace global commons. Hence, Washington could privately and publicly ask Beijing now for discussions and briefings on its developing domain strategies and laws; challenge vague or problematic content and context, such as how the security and economic pieces fit together, and inquire how they comport with international law and rule of law, and if they do not, why not. Otherwise, silence concedes the strategic initiative to Beijing and allows it to control the strategic narrative.
At the end of the day, the strategic window of opportunity to shape and influence Beijing’s developing domain strategies may soon close for Washington. To China, U.S. inaction implies tacit acknowledgement and consent to execute its domain strategies and strategic ambitions unhindered and unchallenged. At stake is nothing less than U.S. preeminence in the contested and interlinked global commons of maritime, space, and cyberspace, and ultimately as a global power. For decline is a deliberate choice, not an imposed reality.
Tuan Pham has extensive experience in the Indo-Asia-Pacific, and is published in national security affairs. The views expressed therein are his own and do not reflect the official policy or position of the U.S. Government.
Featured Image: The Tianhe-2 Chinese supercomputer at the National University of Defense Technology in Changsha. (Zhao Zilong/Imaginechina, via Associated Press)
Part I and II of this conclusion to our series on Hainan’s maritime militia discussed the Hainan Provincial Military District (MD) leadership’s approach to constructing maritime militia forces in response to national militia guidelines and how they address challenges during construction efforts. This final installment in our series offers a glimpse into what the Hainan MD’s efforts have yielded in force scale. It also examines the incentivizes motivating the builders of this force, such as political drivers and pressures confronting local officials. The conclusion also outlines issues meriting further observation and analysis, such as the significance of the Sansha Maritime Militia force for China’s third sea force more broadly, and the degree to which Chinese officials frame related efforts as part of a “People’s War.”
Although this series has discussed in depth four key locations for maritime militia development, they are part of a far broader effort by the entire Hainan MD. The maritime militia units of Sanya, Danzhou, Tanmen, and Sansha should not be seen in isolation, but rather as elements of the Hainan MD militia force system. Directed by national militia construction guidelines and a highly publicized visit by paramount leader Xi Jinping to the Tanmen Maritime Militia, every other county in Hainan Province has established singular or multiple maritime militia units. These include districts of the provincial capitalHaikou and many other directly administered and autonomous counties. Additional noteworthy maritime militia units are located in Lingshui County, Chengmai County, Changjiang Li Autonomous County, Wanning City, and Dongfang City. While our research to date has not revealed them to be on the same level of the four leading units in the totality of their documented capabilities or achievements, they nonetheless merit further examination. Dongfang and Wanning Cities’ maritime militia, for example, participated in defense of China’s HYSY-981 oil rig alongside the better-known Sanya and Tanmen maritime militia units.
Below is a map depicting all of the 31 maritime militia units under the Hainan MD jurisdiction identified as we conducted research for this series.
While local conditions produce considerable variety in unit scale and type, one can notionally estimate the total number of personnel and vessels in Hainan’s maritime militia force by assuming that the 31 units displayed are the rough median size of a militia company. Most maritime militia units, often referred to using tactical-level unit organization terms such as “fendui” (分队) or “company” (连), may comprise around 120 personnel and 10 vessels. This would yield a hypothetical total of 3,720 personnel and 310 vessels in Hainan’s maritime militia force. Such estimation is admittedly imprecise: Chinese organizational terms often lack both alignment with Western equivalents and consistency with regard to precise status and numerical size. As Kenneth Allen and Jana Allen explain, “Different Chinese and English dictionaries translate fendui (分队) as subunit, detachment, element, or battery…Although fendui refers specifically to battalions, companies, platoons, and sometimes squads, which together comprise the grassroots level (基层), a fendui can also refer to an ad hoc grouping of personnel organized for a particular function.” Moreover, characteristics specific to China’s maritime militia may accentuate organizational and numerical variation: some units lack vessels organic to the unit and rely on the requisitioning of civilian vessels for training and missions. Other detachments vary in size from 70 to over 300 personnel. Units also vary considerably in capability. Sansha City’s new maritime militia fleet, for instance, is vastly superior to the Chengmai County Maritime Militia Company.
The overall distribution of Hainan’s maritime militia force reflects the militia-building responsibility given to each locality as contained in the commonly invoked guidance that “provinces build battalions, cities build fendui, and counties build companies” (省建大队、市建分队、县建中队). While Hainan Province lacks a battalion-level unit and adherence to this formulation is less than exact, its various cities and counties have all established maritime militia fendui or companies. Required by the Hainan MD, every single Hainanese coastal city and county with a harbor has established its own maritime militia force.
As documented throughout this series, China’s civilian and military leaders find strategic and operational advantages in the maritime militia, and have made use of these forces at sea. While key cities and counties with marine economies are sufficiently robust to support capable maritime militia forces, other localities with far less potential to form an elite maritime militia are nevertheless developing their own units. Other factors may also be driving this buildup. While this series has already surveyed the carefully-calibrated incentives available to maritime militia personnel for their services, it has not yet directly addressed the motivation of local officials involved in building the militia. This is ever-more critical: local civilian and military officials represent the key force in building the militia, which do not organize autonomously. This section will therefore consider the role of provincial politics and bureaucrats’ incentives in maritime militia building.
There is an obvious political dynamic involved in militia building, harking back to China’s radical past when revolutionary zeal constituted a criterion for cadres’ selection or promotion. To further their Party careers, local officials naturally embrace and support major political campaigns and policies. As China pursues regional predominance in maritime power militarily and economically, major national resources are being lavished on coastal provinces and their maritime forces. China is also actively working to boost the population’s maritime consciousness through a variety of measures, including by cultivating and publicly praising maritime militia leaders and their units. Hainan MD Commander Zhang Jian and Political Commissar Liu Xin wrote that leaders of People’s Armed Forces Departments (PAFD) should strive to be “rights protection commanders and political commissars,” and government leaders should serve as “rights protection secretaries or mayors.” Cadre evaluation, according to Zhang, rewards those who take the initiative in upholding China’s claimed maritime rights, suggesting increased opportunities for career advancement by local officials thus dedicated. Such grassroots forces are also intended to spread maritime awareness and consciousness among the masses, forming a component of national defense education on maritime affairs conducted by local People’s Liberation Army (PLA) Commands.
Success in maritime militia work can help local officials impress their superiors, potentially facilitating advancement. Numerous accolades are accorded governments, institutions, enterprises, units and individuals that contribute exceptionally to national defense efforts. Sansha City recently garnered national attention when it was designated a “National Double-Support Model City” in recognition of its exceptional assistance to the military, with which the Sansha Maritime Militia cooperates. The famous Tanmen Maritime Militia Company, which received a visit from President Xi Jinping in 2013 on the first anniversary of the Scarborough Shoal Incident, had previously earned numerous plaudits from the PLA for its persistent sea service. Having recently garnered multiple awards for its armed forces work, Lingshui County has made major progress in developing its maritime militia force. Reflecting such success, nine civilian armed forces cadres who worked with the militia have since risen to township deputy mayor and deputy party secretary positions, suggesting opportunities for career mobility through militia work.
Numerous reports celebrate the diligence of the Lingshui County PAFD Political Commissar Colonel Xing Jincheng on building up the maritime militia under his authority. After transferring to the Lingshui PAFD from his position as deputy political commissar of a PLA regiment, Colonel Xing expressed an unwillingness to relax in an easy “reserves” job. Dismissing suggestions that he rest after a long career, and ride out his final posting on Hainan’s scenic southern coast, Xing is lionized for instead devoting great energy to enforcing strict discipline in the PAFD staff and in building the Lingshui Maritime Militia. Extensive media coverage of Xing puts his efforts in the context of the latest PLA reforms; and the growing mission role of maritime rights protection, extending down to even grassroots PAFDs.
Other reports indicate that local government officials must fulfill their responsibilities in supporting national defense mobilization work as a key function of their position or else risk losing their jobs. For example, an article in the November 2016 issue of China’s Militia featuring Guangxi Autonomous Region’s efforts in this respect included an unattributed quote referencing military work by local civilian government and Party leaders: “[those] who don’t stress the importance of and cannot grasp armed forces work are incompetent and derelict in their duties.” The article then explains how Guangxi Party and government officials have increased their maritime militia force in response to the growing mission of rights protection in the South China Sea. China has raised Military-Civilian Fusion to the level of national strategy, as documented in the 2013 doctrinal volume Science of Military Strategy. As a result, officials in coastal provinces can be subject to performance metrics in construction of “maritime mobilization forces” (such as maritime militia) when considered for career advancement.
A Patriotic Employment Release Valve
The reduction in PLA Army personnel by 300,000 announced in September 2015 will likely exacerbate the growing number of PLA veterans who feel neglected by China’s government and society. Recent protests in Beijing by veterans groups highlight the fact that provincial MDs and governments are ill-prepared to deal with the newly demobilized troops that are currently or will soon be deprived of their previous employment. PAFDs are the front-line military departments that handle veteran’s affairs and work to reintegrate veterans into society. Responsible for organizing and managing local militia units, the thousands of county PAFDs across China can easily funnel these veterans into various militia units, affording these former soldiers a new chance to serve in leadership positions among the militia force. Indeed, news coverage of Lingshui County states more and more demobilized veterans are entering the maritime militia, becoming “the ‘vanguard’ in maritime rights protection.” The Hainan MD thus occupies advantageous terrain for converting demobilized PLA troops into a new grassroots force for furthering Chinese maritime claims in the South China Sea.
The Sansha Maritime Militia fleet exemplifies this new trend. Our installment on this unit documented how this new “state-run militia fishing fleet” functions primarily as a force for maritime rights protection. A break from the more traditional mode of maritime militia construction, as exemplified by the Tanmen Maritime Militia, this new fleet is manned by professional mariners, law enforcement, and PLA veterans who earn substantial salaries regardless of fishing catch performance. Chinese sources anticipated correctly that most of this fleet’s 84 vessels would be delivered by the end of 2016. In December 2015, the Guangzhou Taicheng Shipbuilding Industry Co. Ltd. featured one such vessel on its website, whose interior it furnished as a subcontractor following its construction by Xijiang Shipyard. The accompanying description stated that the vessel had a “weapons and equipment room” (武备库) and an “ammunition store” (弹药库). Open sources reveal this vessel, Qiongsanshayu 000212, to be part of the new fleet of Sansha Maritime Militia vessels delivered to the state-run Sansha City Fisheries Development Company, which operate under the guise of fishing. Details available in other open sources, some of which show the Sansha Maritime Militia training to load “light weapons” onto the deck of these new vessels, help confirm the intended roles and identities of this new militia fleet.
Openly available AIS data has identified all of the 84 Sansha Maritime Militia vessels operating in the South China Sea. Intermittent AIS transmissions (available via the website Marine Traffic) indicate that at least seven different Sansha Maritime Militia vessels were present at Scarborough Shoal at varying times, and 17 more vessels observed at Mischief Reef. While vessels may transmit AIS signals when operating singularly or in small groups, maritime militia vessels most likely move in larger groups: the Sansha Maritime Militia fleet comprises six companies, which generally operate as units. Openly available satellite imagery (e.g., from Google) also shows such vessel groups moored at Mischief and Subi reefs. In September 2016, the Philippine Ministry of Defense released photos of Sansha’s maritime militia vessels at Scarborough Shoal. Despite Philippine statements in October 2016 that PRC ships had left the shoal, AIS data reveal that Sansha Maritime Militia and CCG vessels were present there as recently as February to mid-April 2017. As this report went to press, AIS data and satellite images confirmed the presence of Sansha Maritime Militia vessels at Scarborough Shoal, Fiery Cross Reef, Mischief Reef, and Subi Reef.
Sansha City Fisheries Development Company, the commercial name for its state-run militia fleet, was established quietly with little mention in the PRC press. This contrasted markedly with the often widespread fanfare and in-depth reporting on even minor economic achievements by Sansha City and Hainan’s marine economy. After all, local officials have every incentive to promote their advancement by trumpeting economic development, a key performance metric—unless instructed otherwise for information security reasons. The rapid construction of this militia fleet since its establishment in February 2015 raises the prospect of China replicating this new model of maritime militia building elsewhere, perhaps in the East China Sea. As part of any Chinese effort to prepare for East China Sea operations, one might imagine an analog to the Sansha Maritime Militia in another archipelagic municipality, such as Zhejiang Province’s Zhoushan City. It is clear that China has not abandoned the standard model of building the maritime militia out of existing commercial fishing and shipping fleets. However, the combined pressures of a commercial shipbuilding slump, large numbers of unemployed veterans reentering civil society, and benefits to political and military careers in local officials may make the Sansha Maritime Militia model attractive to other provinces.
With numerous projects and investments, Hainan Province is striving to become a global tourism destination. Major influxes of Chinese and foreign tourists toting smartphones and digital cameras make the Hainan MD’s task of ensuring security and secrecy in its military facilities increasingly arduous. Sanya City, for instance, is not only a popular vacation destination but also contains the Yulin Naval Base, a leading home for China’s secretive ballistic-missile submarine force. One of the militia’s missions is the security of important infrastructure and operations such as key ports or coastal patrols. Militia personnel also reportedly perform security functions to protect military facilities and national defense construction projects.
Finally, an additional security function of Hainan’s advanced maritime militia units is escorting China’s growing fleet of research vessels that perform hydrographic and geologic surveys. We introduced one example in our installment on Sanya’s maritime militia: the Sanya Fugang Fisheries Co. Ltd.’s 30-day escort mission for China National Offshore Oil Corporation’s April 2013 exploration in the Zhongjiannan basin south of Triton Island. This was the location of the HYSY-981 oil rig incident a year later. In another example, the Guangzhou Marine Geological Survey Office stated on its website in an undated article that “for years, our office has hired fishing vessels as escorts during every seismic and drilling operation for the protection of underwater cables and to ensure the smooth and safe progress of operations.” U.S. Naval War College professor Ryan Martinson has made public some of the most recent escort operations conducted by fishing vessels for PRC survey vessels. While the extent of the Hainan Maritime Militia’s continued involvement in these escort operations remains unclear, it appears to be a growing mission for China’s maritime militia overall and worthy of additional research.
Conclusion: People’s War Turns Seaward
This series has surveyed only a small portion of China’s total maritime militia force, the world’s largest. Part 1 examined national militia development guidelines and how they were translated by Hainan Province during its recent spate of maritime militia construction. Part 2 explored challenges confronting Hainan Province in its development of maritime militia forces and some of the solutions introduced to address them. Hainan Province is a key maritime frontier province, charged with administering all of Beijing’s expansive South China Sea claims. Yet Hainan as a province and military district does not build its maritime militia in isolation. It is, rather, one of many coastal provinces that raise such forces. In fact, other more economically and technologically advanced provinces—such as Guangdong and Zhejiang—possess greater socioeconomic bases on which to develop larger-scale, more technically sophisticated maritime militia units. Provinces construct militia forces in response to national militia guidelines under a dual-responsibility system between government/Party and PLA leaders. The resulting maritime militia fleets are thus made available to operate alongside the PLA Navy (PLAN), China Coast Guard, as well as other provinces’ maritime militia forces. Case in point: China’s defense of its HYSY-981 oil rig in 2014. PLA senior colonel and Professor Jiao Zhili of the Nanjing Army Command College’s National Defense Mobilization Department described the event as mobilization for military struggle: “during the ‘981’ offshore platform’s struggle with Vietnam in the South China Sea, the emergency mobilization of militia from Hainan, Guangdong, and Guangxi to the front lines on the perimeter was a major strategic deterrent for Vietnam.” The mobilization orders for this event originated in the former Guangzhou Military Region, now the Southern Theater Command. While maritime militia units are raised and directed by individual provinces, they fulfill roles within a grander regional military structure.
These forces are often discussed by outside observers in reference to China’s gray zone operations, while Chinese authors often invoke the tradition of People’s War when discussing the militia. The study of these irregular maritime forces begs the question of whether we are witnessing a form of “Maritime People’s War.” In Chinese strategic thought, People’s War is regarded as the mixed use of regular and irregular forces in peacetime (and wartime if necessary) to overcome a superior adversary (or multiple adversaries) through the adroit use of various tactics, deceit, and protraction. The PLA continues to uphold the core concept of People’s War, adapting and evolving specific elements of the strategy to suit modern strategic and operational needs. China’s 2006 Defense White Paper, for instance, states that the PLAN is “exploring the strategy and tactics of maritime people’s war under modern conditions.” As current strategic considerations call for prioritizing the enhancement of China’s maritime defenses, the PLA is likely expanding the operational space of People’s War to cover Chinese maritime claims to the maximum extent feasible.
For China’s provinces, the MD system is described as the “practical application of people’s war thought in the military system” and an important channel through which civilian-military integration efforts are implemented. Hainan MD Commander Zhang Jian also describes the missions of the Hainan MD’s maritime militia in terms of a Maritime People’s War. He advocates “us[ing] maritime people’s war as a means to declare sovereignty, participate in development, cooperate with law enforcement, and support combat operations.” Zhang outlined how the maritime militia will conduct missions within joint military-law enforcement-civilian defense operations, essentially making combined use of the main forces of the PLA services and the local forces of the provinces. Such amalgamation is a defining feature of People’s War. The incidents this series has explored illustrate the multifarious tools that China utilizes in order to seize tactical advantages envisioned in traditional concepts of People’s War. Provinces and their local forces undoubtedly comprise the fundamental elements of People’s War, and remarks by Chinese officials like State Councilor and Defense Minister General Chang Wanquan’s in August 2016 suggest official endorsement of such strategies. This raises questions beyond the scope of this series that require further research, particularly in reconciling China’s continued national tradition of militia building with the realities of modern warfare. This topic is certainly not absent from debate in China, as analysts wrestle with the adaptation and evolution of People’s War to suit supporting roles for the PLA of today. As China adapts a time-honored concept to serve growing maritime security interests, the maritime militia is proving critical to its operationalization.
At the very least, this series demonstrates the widespread local mandate for maritime militia building in Chinese provinces such as Hainan. Maritime militia building is directed by official policy in China’s coastal provinces. Most coastal counties and cities raise and sustain their own maritime militia units according to the scale of their respective marine economies. While the Chinese government may not often admit openly and outwardly to using its maritime militia forces to support its objectives at sea, the voices of key stakeholders inside China and the central guidance passed down to the provinces reveal much about plans to construct and use these forces. Regardless of how these forces are characterized, provinces use them to protect China’s claimed maritime rights and interests and to support an increasingly blue-water-capable PLAN by dispatching greater numbers of militia personnel away from their shorelines to increase China’s strategic depth at sea.
Numerous PLA authorities, including Commander Zhang Jian, articulate the value the presence of fishing vessels has in all of waters claimed by China to demonstrate sovereignty and protect maritime rights and interests. Deputy Director Xu Kui of the National Defense University’s National Defense Mobilization Research Department explains how the maritime militia is a key force under China’s new “military strategic guideline” of preparing for maritime military struggle, and that it must “maintain a regular presence in disputed waters.” Echoing others, Xu cites the longstanding success of the Tanmen Maritime Militia in preserving Chinese presence in the Spratlys. The Tanmen Maritime Militia offers living testimony to how even a single township or county can impact the status quo in maritime East Asia. This consideration is not lost on China’s leaders, and Hainan’s leading maritime militia units represent prime examples of the diverse avenues of force that Chinese provinces can develop and contribute in the service of overall national maritime ambitions.
For all these reasons, Hainan’s maritime militia—both the bulk of its forces overall and the elite vanguard units probed deeply in this series—will remain a key component of China’s statecraft and security efforts the South China Sea: as a standing, front-line force, with its leading units celebrated as models for others to emulate.
Conor Kennedy is a research associate in the China Maritime Studies Institute at the U.S. Naval War College in Newport, Rhode Island. He received his MA at the Johns Hopkins University – Nanjing University Center for Chinese and American Studies.
Dr. Andrew S. Erickson is a Professor of Strategy in, and a core founding member of, the U.S. Naval War College’s China Maritime Studies Institute. He serves on the Naval War College Review’s Editorial Board. He is an Associate in Research at Harvard University’s John King Fairbank Center for Chinese Studies and an expert contributor to the Wall Street Journal’s China Real Time Report. In 2013, while deployed in the Pacific as a Regional Security Education Program scholar aboard USS Nimitz, he delivered twenty-five hours of presentations. Erickson is the author of Chinese Anti-Ship Ballistic Missile Development (Jamestown Foundation, 2013). He received his Ph.D. from Princeton University. Erickson blogs at www.andrewerickson.comand www.chinasignpost.com. The views expressed here are Erickson’s alone and do not represent the policies or estimates of the U.S. Navy or any other organization of the U.S. government.
Featured Image: February 2017: Head of the Lingshui County PAFD Colonel Xing Jincheng, in plain clothes, speaks to the maritime militia under his command (CCTV News).
In an era where the Navy is facing contested seas from challenges posed by China and Russia, history can unlock potential advantages with which to meet current and future threats. Gathering and preserving its operational records, in essence data, is critical. Unfortunately, in terms of such historical records, the Navy is in the Digital Dark Age. It retains only limited data and is losing access to its recent history – knowledge purchased at considerable cost. The Department of Defense and the Navy must consider a cultural and institutional revival to collect and leverage their data for potential catalytic effects on innovation, strategic planning, and warfighting advantages. This cultural transformation of collecting and preserving historical data within the Navy will be a long process, but leveraging its history to meet current and future problems will aid in maintaining global maritime superiority.
On 25 May 2006, Navy Expeditionary Combat Command (NECC) formally established Riverine Group 1 and Riverine Squadron 1 to safeguard the inland waterways of Iraq. These lethal, agile forces executed over 2,000 missions and trained their Iraqi River Police successors to carry on after the withdrawal of major American forces. The experiences of the Navy’s Coastal Surveillance Group (TF-115), River Patrol Force (TF-116), and Mobile Riverine Force (TF-116) which operated in the Republic of Vietnam in the 1960s, facilitated the establishment of these forces. The records collected, organized, and preserved by Naval History and Heritage Command (NHHC) and command-published histories of the brown- and green-water force enabled NECC to expedite the efficient launch of a riverine force for the 21st-century Navy.1
History is one of the fundamental sinews of the American military establishment. Training is informed by “lessons learned” from prior experiences—historical data by another name—and every organization has senior members who contribute decades of institutional memory to solve contemporary problems. Synthesized into history monographs, these publications equip warfighters with insight and perspective to better guide their actions and decisions. Avid history reader and retired Marine General James Mattis acknowledges, “I have never been caught flat-footed by any situation, never at a loss for how any problem has been addressed (successfully or unsuccessfully) before.”2History’s importance to the present Navy is also reflected in Chief of Naval Operations (CNO) Admiral John M. Richardson’s Design for Maintaining Maritime Superiority, which states “we must first understand our history – how we got to where we are.”3 The CNO’s recently released professional reading program buttresses his statement with a rich and varied roadmap of texts which have influenced his leadership development.4
Today, the Navy finds itself returning to an era of contested seas with contemporary challenges posed by China and Russia. Throughout the Cold War, the Navy possessed a large body of veteran Sailors holding vast reserves of institutional memory, often stretching back to World War II, in all aspects of naval operations. Deployments from Korea to Vietnam and from the Mediterranean to the Arctic Ocean honed the Navy’s capabilities. The subsequent collapse of the Soviet Union provided the Navy with a period of uncontested naval supremacy, but also led to force reductions and a gradual loss of institutional experience with missions like hunter-killer groups, offensive mining, and large surface action groups. A dwindling number of active duty Sailors have operational Cold War experience, and they mostly occupy senior leadership positions.
The records needed to fill that gap must be preserved. Through the Vietnam War, the Navy’s historical data principally took the form of written correspondence in varied formats. The advent of digital computing has vastly transformed record generation and retention, both of which pose notable challenges to records management.5In a period of important fiscal and strategic decisions, the Department of Defense and the Navy must consider a cultural and institutional revival to collect and leverage data for potential catalytic effects on innovation, strategic planning, and warfighting advantages.
Gathering the Data
Several efforts currently exist to capture the Navy’s data. The lifecycle of records is governed by the Department of the Navy Records Management Program, which establishes all policies and procedures for records management. Under the Director of Navy Staff is NHHC, whose mission is to “collect, preserve, protect, present, and make relevant the artifacts, art, and documents that best capture the Navy’s history and heritage.”6 Naval Reserve Combat Documentation Detachment (NR NCDD) 206, established following Operation Desert Storm, assists NHHC personnel by providing uniformed teams for deployment to fleet units and other Navy commands to document and preserve the history of current naval operations during crisis response, wartime, and declared national emergencies. They are actively engaged in supporting NHHC’s mission objectives.7 Lastly, an essential tool for collecting the Navy’s historical data is Office of Chief of Naval Operations (OPNAV) Instruction 5750.12K governing the production of the annual Command Operations Report (COR).
First published on 8 November 1966, OPNAVINST 5750.12 governs creation of the COR, intended to ensure historical records are available for future analysis.8 As stated in the current version, the COR “is the only overall record of a command’s operations and achievements that is permanently retained” and provides “the raw material upon which future analysis of naval operations or individual unit operations will be based.”9The document primarily consists of a chronology, narrative, and supporting documentation. As OPNAVINST 5750.12 evolved, emphasis shifted from gathering information on specific subjects relevant to warfighters and combat operations to becoming a tool to gather specific types of documents.10
Unfortunately, compliance is erratic and the instruction’s importance was ignored (or unknown) by commands. From 1966 to the present, the submission rate of CORs for units and commands has never reached 100 percent; for CY15 the submission rate stood at 63.5 percent. Submitted CORs are often unevenly written and composed. The causes for these shortfalls vary and are undefined. The culprits are likely operational tempo, personnel shortfalls, and/or concerns about information security. Perhaps commanders opted to err on the side of caution and avoid objectively documenting an unsuccessful operation, intra-service conflict, or inadequate leadership. Without foreseeing the potential impact and importance a COR may have on tomorrow’s Navy, responsibility for the report is often assigned as an additional duty for a junior officer juggling a myriad of responsibilities.
These data gaps have an adverse impact on present and future actions at both the individual and institutional level. For veterans, a gap in COR submissions may result in the denial of a benefits claim with the Department of Veteran’s Affairs, or in regard to awards or decorations with the Board for Correction of Naval Records.11For OPNAV, Fleet Forces Command, Pacific Fleet, or numbered fleets, lost CORs diminish the raw data needed for quality analysis, leaving analysts to generate products which may fail to accurately account for critical variables. What is lost is critical contextual information, retention of which is invaluable. “Solid historical record-keeping and analysis would help enlarge decision makers’ perspectives on current issues,” writes historian and retired Navy Captain David Rosenberg.12 Without rigorous records, historians such as Rosenberg cannot write books and articles to help leaders like Secretary Mattis and warfighters sufficiently learn about previous military endeavors. Consequently, past mistakes will inevitably be repeated with potentially adverse outcomes.
Current COR generation is arguably more difficult than ever. The information revolution has led to the proliferation of raw data without the benefit of summation or prior analysis. PowerPoint slide decks, rather than correspondence or memoranda, are all that an author or veteran might possess on a given topic. Rather than gathering critical teletypewriter message traffic from an operation, the author of a COR might need to collect email correspondence from multiple personnel throughout a unit bearing an array of security classifications. Gathering information from digital discussion boards, section newsletters, and untold quantities of data could be a full-time job.
Furthermore, the follow-on process of creating a coherent narrative from the raw data is a laborious process for a professional historian, much less for a Sailor fulfilling an additional duty and unfamiliar with the task. During World War II, the usual authors of aviation command histories were squadron intelligence officers. They understood how the information collected could be used for everything from operations to force development to technical improvements. Coupled with a familiarity of preparing narrative analyses and summary papers, the resulting command histories proved cogent and comprehensive. By comparing old and contemporary CORs, it is obvious that commanders must assign the COR responsibility to qualified individuals with the appropriate education, experience, and skills.
Increasing the operational tempo of naval forces naturally increases the generation of data. However, with limited time and personnel to gather and generate the data, it must come as no surprise that records about the Navy’s involvement in Operations Enduring Freedom (OEF) and Iraqi Freedom (OIF) have been irretrievably lost, to incalculable impact. Valuable Navy operational records from OEF and OIF do exist, but the data belongs to the respective combatant commands and is currently inaccessible to Navy analysts and research specialists.
The Past is Prologue
No individual or organization is infallible—errors can be extremely costly, and for military organizations they lead to the loss of blood and treasure. The operational records generated in peace and wartime provide raw materials for historical analysis, which distill lessons learned and generate studies to educate uniformed personnel. Mistakes always happen, but historical analysis can prevent the repetition of old errors. Incomplete data yielding subpar analysis will affect the resultant knowledge products and undermine history’s influence on future decisions. For example, in 1906, Lieutenant Commander William S. Sims incorporated battle observations and gunnery data to challenge the conclusions of Captain Alfred T. Mahan regarding gunnery at the Battle of Tsushima and advocated convincingly for a future fleet design dominated by all-big-gun battleships, thereby ushering the Navy into the “Dreadnought era.”13If the operational records of current efforts are being lost, are we not again jeopardizing future fleet designs?
Analysis of combat operations has proven instrumental in improving the warfighting abilities of the respective services. Combat provides the only hard evidence on the effectiveness of military doctrine and the integration of platforms and weapons. For example, the Battle of Tarawa (20-23 November 1943) tested the doctrine of amphibious assault against a fortified position. As historian Joseph Alexander details in his book Utmost Savagery, success in the amphibious invasion remained an “issue in doubt” for the Marines for the first thirty hours. The documentation and analysis of the battle prompted the Navy and Marine Corps to increase the amount of pre-invasion bombardment and to refine key aspects of their amphibious doctrine, among other changes. With evidence-turned-knowledge gleaned from Tarawa, the Navy and Marine Corps continued unabated in rolling back the Imperial Japanese Empire, assault by bloody assault.14
Similarly, the Vietnam War demonstrated how technology does not always triumph in an asymmetric clash of arms. In the skies over North Vietnam, American aircraft armed with sophisticated air-to-air missiles met cannon-firing MiG fighters. Neither the Air Force nor Navy enjoyed a high kill ratio, which at best favored them two-to-one until the cessation of Operation Rolling Thunder in November 1968. Disturbed by the combat results, CNO Admiral Tom Moorer tasked Captain Frank Ault to examine the Navy’s entire acquisition and employment process for air-to-air missile systems. After examining reams of available historical data, Ault’s May 1968 report recommended establishing a school to teach pilots the advanced fighter tactics of a seemingly bygone age of machine gun dogfights. This recommendation gave birth to the Navy Postgraduate Course in Fighter Weapons Tactics and Doctrine better known as TOPGUN. Using a curriculum developed by studying operational records, TOPGUN’s first graduates entered air combat over North Vietnam after the resumption of bombing in April 1972. When American air operations ceased in January 1973, the Navy enjoyed a kill ratio of six to one, due in large part to TOPGUN training in dogfighting and fighter tactics.15
Carrier aviation’s successes in OEF and OIF came in part due to the lessons gleaned from Operation Desert Storm (ODS). With carrier doctrine designed for blue water sea control against the Soviet Navy, the force was not tailored for sustained combat projection onto land. In the waters of the Persian Gulf and Red Sea in 1990-1991, however, six carrier battle groups found themselves operating in a coalition environment. Despite the lofty hopes envisioned with the passage of the Goldwater-Nichols Act in 1986, naval aviation found itself unprepared for joint and coalition interoperability. From the lessons of ODS, the Navy modified its F-14s to carry the Air Force’s LANTIRN targeting system, began purchasing precision-guided munitions, and modified the carrier air wing composition to better support operations on land per joint recommendations. From Operation Allied Force in 1999 to the launch of OEF and OIF in 2001 and 2003, respectively, naval aviation flew substantial numbers of deep-strike missions, fully integrated into joint and combined air operations.16
The History You Save Will Be Your Own
In terms of historical records, today’s Navy is in the Digital Dark Age, a situation drastically accelerated within the past twenty years by the immense generation of digital-only records. It retains only limited data and the service is actively losing access to its recent history, knowledge purchased at considerable cost. Valuable Navy operational records from OEF and OIF do exist, but the data is unobtainable from the combatant commands. Although COR submissions in the first year of each conflict were higher than in peacetime, they thereafter fell below a fifty percent submission rate. In some cases, there are no records of warships assigned to carrier strike groups for multiple years. While some data was captured, such as electromagnetic spectrum or targeting track information, the records involving “who, what, where, when, why, and how” are lacking. NR NCDD 206, together with NHHC staff, conducts oral histories with Sailors to collect data that researchers can use to capture information not included with CORs. Oral histories, however, supplement but do not completely substitute for textual records.
What exactly is being lost? Why does this matter if weapon- and platform-related data is available? The intangibles of decision-making and the organizational culture are captured in data generated through emails, memoranda, and operational reports. For example, as the Navy evolves its doctrine and tactics, techniques, and procedures (TTP) to maximize the potential of the distributed lethality concept, issues of decentralized command and control must be addressed.17 The ability to draw upon historical data to inform TTPs, training systems, and cycles is paramount to prepare commanding officers and crews for potential challenges over the horizon and to close learning gaps. As retired Marine Lieutenant Colonel Frank Hoffman notes, the World War II submarine community drew extensively upon the after-action and lessons learned reports to improve TTPs and promulgate best practices to educate the entire force.18
Navy culture successfully adapted to close learning gaps in World War II, and it can adapt to escape the Digital Dark Age. In the 1920s and 1930s, budgetary and treaty restrictions limited fleet design but the Navy experimented, evaluated, and used its data to improve its platforms and TTPs. One notable example was the evolution of how ships processed information at sea, culminating in 1944 with the Combat Information Center, an integrated human-machine system which Captain Timothy Wolters documents in his book, Information at Sea, as an innovative example of decades of research and development informed by history.19
Preserving critical historical data is the collective and legal responsibility of every Sailor and Department of Navy employee. Digitization poses challenges that cannot be met by only a small group of historians and archivists, a form of “distributed history.” If distributed lethality enables every ship to be a lion, digitization and computer-based tools enable every Sailor to take ownership of their unit’s accomplishments and play an active role in the generation of the COR. Command leadership must advocate for the COR rather than considering creation as merely an exercise in annual compliance. Responsibility and management of the annual COR must be a team effort. Include chief petty officers and junior enlisted and empower them to take an active role in collecting data and drafting the chronology and narrative. Not only must the COR be an objective, factual account but an inclusive report with contributions by officer and enlisted communities to ensure preservation of a thorough record of all actions, accomplishments, and key decisions.
Furthermore, data is generated continuously. A quality COR is rarely written following a frantic flurry of electronic messages requesting people forward files to the designated COR author. Assembling a dedicated COR team of officers and enlisted personnel to gather and organize records throughout the year will prove more beneficial. This team in turn can provide a valuable resource for an entire crew and commander, either to provide information for public relations, morale purposes, award nomination packets, or operational analysis.
Classified material poses an immediate concern when proposing this distributed history approach for COR generation. Such digital records, located on a variety of computer networks, rightfully pose challenges regarding operational security, either via aggregation or unauthorized access. Such concerns should not, however, jeopardize the overall effort. Generating classified CORs is encouraged and detailed in OPNAVINST 5750.12K; as thorough a narrative as possible is essential. Archivists at NHHC, trained to process and appropriately file classified material, can provide guidance to ensure the security and integrity of the data. When concerns over security result in a banal, unclassified COR, data about that unit’s activities is forever unavailable to the Navy for use in addressing future innovations, conflicts, or organizational changes, and the report’s utility to OPNAV, researchers, and veterans becomes essentially nil. With budgetary difficulties affecting the Navy, data—classified or not—serve as an intellectual, institutional investment for the future. In explaining to the Congress and the American people how and why the Navy is responsibly executing its budget for the national interest, availability and utilization of the data is paramount for the task.20
Transforming the Navy’s culture of collecting and preserving its historical data will be a long process. Digitization and the increasing volume of records will continue to pose challenges. These challenges, however, cannot be ignored any longer and require a unified front to ensure records are preserved and available for use. The Navy is not alone; its sister services experience similar problems in collecting data and using it to benefit current operations.21 In an era where reaction and decision times are rapidly diminished through advances in machine-to-machine and human-machine interactions, today’s data may help equip the warfighter with future kinetic or non-kinetic effects. As fleet design and tactics evolve to face new threats, the Navy can ill afford to ignore its past investments of blood and tax dollars. It must leverage its historical data to find solutions to current and future problems to ensure continued maritime superiority.
Dr. Frank A. Blazich, Jr. is a curator of modern military history at the Smithsonian Institution’s National Museum of American History. After receiving his doctorate in modern American history from The Ohio State University, he worked as a historian for Naval History and Heritage Command. Prior to joining the Smithsonian, he served as historian for Task Force Netted Navy.
1.Robert Benbow, Fred Ensminger, Peter Swartz, Scott Savitz, and Dan Stimpson, Renewal of Navy’s Riverine Capability: A Preliminary Examination of Past, Current and Future Capabilities (Alexandria, VA: CNA, March 2006), 104-21; Dave Nagle, “Riverine Force Marks One-Year Anniversary,” Navy Expeditionary Combat Command Public Affairs, 7 June 2007, http://www.navy.mil/submit/display.asp?story_id=29926; Matthew M. Burke, “Riverine Success in Iraq Shows Need for Naval Quick-Reaction Force,” Stars and Stripes, 29 October 2012, http://www.stripes.com/news/riverine-success-in-iraq-shows-need-for-naval-quick-reaction-force-1.195109.
6. “Who We Are,” Naval History and Heritage Command, https://www.history.navy.mil/about-us/organization/who-we-are.html.
7. Office of the Chief of Naval Operations, OPNAV Instruction 1001.26C, “Management of Navy Reserve Component Support to the Office of the Chief of Naval Operations,” 7 February 2011, https://doni.daps.dla.mil/Directives/01000%20Military%20Personnel%20Support/01-01%20General%20Military%20Personnel%20Records/1001.26C.pdf.
8. Office of the Chief of Naval Operations, OPNAV Instruction 5750.12, “Command Histories,” 8 November 1966, Post-1946 Command File, Operational Archives, Naval History and Heritage Command, Washington Navy Yard, DC.
9. Office of the Chief of Naval Operations, OPNAV Instruction 5750.12K, “Annual Command Operations Report,” 21 May 2012, https://www.history.navy.mil/content/dam/nhhc/about-us/instructions-and-forms/command-operation-report/pdf/OPNAVINST%205750.12K%20-%20Signed%2021%20May%202012.pdf.
10. Based on a review of OPNAVINST 5750.12 through OPNAVINST 5750.12K, in the holdings of Naval History and Heritage Command, Washington Navy Yard, DC.
11. Eric Lockwood, “Make History: Submit your Command Operations Report,” Naval History and Heritage Command, 10 February 2016, http://www.navy.mil/submit/display.asp?story_id=93031.
12.David Alan Rosenberg, “Process: The Realities of Formulating Modern Naval Strategy,” in Mahan is Not Enough: The Proceedings of a Conference on the Works of Sir Julian Corbett and Admiral Sir Herbert Richmond, eds. James Goldrick and John B. Hattendorf (Newport, RI: Naval War College Press, 1993), 174.
13.William Sims, “The Inherent Tactical Qualities of All-Big-Gun, One-Caliber Battleships of High Speed, Large Displacement, and Gun-Power” U.S. Naval Institute Proceedings 32, no. 4 (December 1906): 1337-66.
14.Joseph H. Alexander, Utmost Savagery: The Three Days of Tarawa (Annapolis, MD: Naval Institute Press, 1995), xvi-xvii, 232-37.
15. Marshall L. Michell III, Clashes: Air Combat over North Vietnam, 1965-1972 (Annapolis, MD: Naval Institute Press, 1997), 185-88, 277-78; John Darrell Sherwood, Afterburner: Naval Aviators and the Vietnam War (New York: New York University Press, 2004), 219-21, 248.
16. Benjamin S. Lambeth, American Carrier Air Power at the Dawn of a New Century (Santa Monica, CA: RAND Corporation, 2005), 1-8, 100-01; Edward J. Marolda and Robert J. Schneller, Jr., Shield and Sword: The United States Navy and the Persian Gulf War (Washington, DC: Naval Historical Center, 1998), 369-75, 384-85.
17. Kit de Angelis and Jason Garfield, “Give Commanders the Authority,” U.S. Naval Institute Proceedings 142, no. 10 (October 2016): 18-21.
18. Frank G. Hoffman, “How We Bridge a Wartime ‘Learning Gap,’” U.S. Naval Institute Proceedings 142, no. 5 (May 2016): 22-29.
19.Timothy S. Wolters, Information at Sea: Shipboard Command and Control in the U.S. Navy, from Mobile Bay to Okinawa (Baltimore: John Hopkins University Press, 2013), 4-5, 204-21.
20. Prior to World War I, the Navy recognized the need to secure public support for its expansion plans. See George W. Baer, One Hundred Years of Sea Power: The U.S. Navy, 1890-1990 (Stanford, CA: Stanford University Press, 1993), 35-48, 54-63.
21.Francis J. H. Park, “A Time for Digital Trumpets: Emerging Changes in Military Historical Tradecraft,” Army History 20-16-2, no. 99 (Spring 2016): 29-36.
Featured Image: Sunrise aboard Battleship Missouri Memorial at Ford Island onboard Joint Base Pearl Harbor-Hickam. (U.S. Navy photo by Mass Communication Specialist 2nd Class Katarzyna Kobiljak)